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+{"text":"\\section{Introduction}\n\nThe polaron physics in the presence of electron-phonon ({\\it e-ph}) and \nelectron-electron ({\\it e-e}) interactions\nis an important subject of interest in the condensed matter physics.\\cite{Alex3,mott1}\nEnormous amount of analytical and numerical work has been performed \nin an effort to unravel the intriguing polaron-related physics \nin various interesting systems, such as CMR manganites,\\cite{cmr1,cmr2}\norganic superconductors,\\cite{org1} and \nhigh-T$_c$ superconductors.\\cite{sc1,sc2}\nMicroscopic models employed for the polaron (many-polaron) physics\nin the above systems are the Holstein-Hubbard and Fr\\\"{o}hlich-Hubbard models. \n\nThe analytical approaches to solve the above Hamiltonians are \nmostly based on the many-body perturbation theory \nand so their applicabilities are often\nrestricted to weak and strong-coupling regimes of the {\\it e-ph} coupling.\nAccordingly, they are less applicable to the physically interesting crossover regime.\nInstead, precise numerical methods are employed, such as\nvariational approaches based on the exact-diagonalization (VAED), \nthe density matrix renormalization group, and the quantum Monte-Carlo scheme.\nThe VAED is highly accurate for the polarons and bipolarons\nin the dilute limit.\nThe first VAED calculations were reported\\cite{Trug3,Trug4}\nmore than a decade ago and\nthey were quite accurate for large polarons and more so in the physically\ninteresting crossover regime. \nA very rudimentary effort to increase the scope of\nthe VAED method to the strong coupling regime and to the crossover regime for the\nadiabatic polarons was made by Chakrabarti {\\it et al.},\\cite{Atis1}\nwho started with two initial states\n(the zero phonon state and the state with a large number of phonons at the \nelectron site) to meet with some success. \nMore recently, the Lang-Firsov (LF) idea has been incorporated\nin the variational scheme,\\cite{Alt2,Mono2} \nwhich makes the method more precise through out the parameter\nregimes at least for polaron and bipolaron in the one-dimension (1D). \nThe scheme of Alvermann {\\it et al.},\\cite{Alt1} in which a shifted oscillator\nstate (SOS) is considered over the traditional VAED states,\nis very precise to account for the most\ndifficult adiabatic polarons in the crossover regimes. \n\nThe VAED method has been highly successful in the dilute limit, \nbut is applicable to only one or two particle system.\nReal systems, however, require the study of {\\it e-ph} models \nwith more than two electrons.\\cite{hohenalder1,Fehske2}\nThe question we have addressed in this paper is whether there is further scope to improve\nthe VAED method that could study more than two electron systems.\nTo this end, we have developed a new scheme, the self-consistent VAED (SC-VAED) method,\nwhich is quite efficient and general.\nIn the SC-VAED,\ninstead of generating the variational basis in a single step\nas done in traditional VAED method, we start with a small basis to calculate the ground state,\nand then restart the whole process only with a few initial states, which \ncarry the significant probabilities of the ground state wave function. \nThis process is repeated till the desired accuracy is achieved. \n\nThis paper is organized as follows.\nIn section II, we introduce the Hamiltonian in its most general form,\nwhich incorporates the {\\it e-e} and {\\it  e-ph} interactions,\nwithin the Holstein-Hubbard and Fr\\\"{o}hlich-Hubbard model.\nIn section III, we describe the basis generation scheme in the SC-VAED method.\nIn section IV, we compare the ground-state energies of different Holstein and Fr\\\"{o}hlich systems \nobtained by using the SC-VAED with those available in the literature.\nWe also discuss the electron-lattice correlation function for a large polaron\nand the bipolaron mass in the strong {\\it  e-ph} coupling regime\nto highlight the applicability of the SC-VAED method to different regimes of {\\it e-e}\nand {\\it  e-ph} interactions.\nConclusion follows in Section V.\n\n\n\\section{The Hamiltonian}\n\n                The general Hamiltonian on a discrete  lattice,\\cite{Fehske1,Alex1}\nwhich includes both the {\\it e-e} and {\\it e-ph} interactions, \nis considered :\n\\begin{eqnarray}\nH = &&- \\sum_{i,\\sigma}(t c_{i,\\sigma}^{\\dag} c_{i+1,\\sigma} + h.c)\n+ \\omega \\sum_i a_i^{\\dag} a_i \\nonumber \\\\\n&&+ g\\omega \\sum_{i,j,\\sigma}f_{j}(i) n_{i,\\sigma} (a_{i+j}^{\\dag}\n+ a_{i+j}) \\nonumber \\\\\n&&+ U\\sum_{i}n_{i,\\uparrow}n_{i,\\downarrow},\n\\end{eqnarray}\n                              where $c_{i,\\sigma}^{\\dag}$($c_{i,\\sigma}$)\ncreates (annihilates) an electron of spin $\\sigma$,\nand $a_{i}^{\\dag}$ ($a_{i}$) creates (annihilates) a\nphonon at site $i$. The third term represents the coupling of\nan electron at site $i$ with an ion at site $j$, where $g$ is the\ndimensionless {\\it e-ph} coupling constant. \n$f_{j}(i)$ is the long-range {\\it e-ph} interaction, \nthe actual form of which is  given by\\cite{Fehske1}\n\\begin{eqnarray}\nf_{j}(i) = \\frac{1}{(|i-j|^{2} +1 )^{\\frac{3}{2}}}.\n\\end{eqnarray}\n$U$ is the on-site Hubbard {\\it e-e} interaction strength. \n We set the electron hopping $t$=$1$ for the numerical calculations\nand all energy parameters are expressed in units of $t$.\n\nThe Holstein model is recovered by setting $i$=$j$  in Eq. 2. Incorporating the\nwhole Fr\\\"{o}hlich interaction is numerically impossible. \nBonca and Trugman\\cite{Trug2} simplified this model by placing ions\nin the interstitial sites located between Wannier orbitals,\nand then considered just the nearest-neighbor {\\it e-ph} \ninteraction (F2H model), \\cite{Mono2}\nwhich corresponds to the case of $f_{i \\pm \\frac{1}{2}}(i)$=$1$ and zero otherwise. \nThis case has been discussed in detail by Bonca and Trugman\\cite{Trug2} \nand Chakraborty {\\it et al.}.\\cite {Mono2}\nChakraborty {\\it et al.}\\cite {Mono2} also investigated\nthe effect of extending the spatial extent of {\\it e-ph} interaction\n(F3H and F5H models).\nIn the presence of $f_{j}(i)$ interaction,\nthe {\\it e-ph} coupling constant $\\lambda$ is \ndefined by\\cite{Fehske1,Trug2} \n\\begin{eqnarray}\n\\lambda= \\frac{\\omega g^{2}\\sum_{l}f_{l}^{2}(0)}{2t}.\n\\end{eqnarray}\n\n\n\\begin{table*}[t]\n\\caption {\nThe ground state energies E$_{0}$'s for different {\\it e-ph} systems\nobtained by the present SC-VAED are compared with the most precise E$_{0}$'s obtained by the VAED in the literature. \nThe basis sizes $N_{Basis}$ used to obtain E$_{0}$'s are provided together.\nD, Model, and N$_\\mathrm{e}$ represent the dimension, the Hamiltonian (Holstein (H) \nor Fr\\\"{o}hlich-2 (F2)), and the number of electrons in the system, respectively. \n$\\omega$, $\\lambda$, {\\it U} denote phonon frequency, {\\it e-ph} coupling, Coulomb interaction,\nrespectively, in units of $t$. \n}\n\\begin{ruledtabular}\n\\begin{tabular}{c l c l | l l c | l l | l l l} \n Case & D & Model & N$_\\mathrm{e}$ &  $\\omega$ & $\\lambda$ & {\\it U} &  E$_{0}$(SC-VAED) & $N_{Basis}$ &  E$_{0}$(VAED) & $N_{Basis}$ & Literature \\\\  \\hline   \n 1&  1D& H  &   1  &  1& 0.5& 0 & -2.46968472393  &2.4$\\times 10^4$  & -2.469684723933  &8.8$\\times 10^4$ &  Ref.[\\cite{Trug3,Trug4,Atis1}] \\\\ \n 2&  1D& H  &   1  &0.1& 1.0& 0 & -2.53800667     &5.0$\\times 10^5$  & -2.53800669      &3.0$\\times 10^6$ &  Ref.[\\cite{Alt1,Mono2}] \\\\   \n 3&  2D& H  &   1  &  2& 0.5& 0 & -4.81473577884  &5.0$\\times 10^5$  & -4.814735778337  &5.5$\\times 10^6$ &  Ref.[\\cite{Trug4}] \\\\   \n 4&  3D& H  &   1  &  3& 0.5& 0 & -7.1623948637   &1.9$\\times 10^5$  & -7.1623948409    &7.0$\\times 10^6$ &  Ref.[\\cite{Trug2,Mono2}] \\\\   \n 5&  1D& H  &   2  &  1& 0.5& 0 & -5.4246528      &1.4$\\times 10^5$  & -5.4246528       &2.2$\\times 10^6$ &  Ref.[\\cite{Mono2}] \\\\   \n 6&  1D& H  &   2  &  1& 2.0& 0 & -16.25869250598 &2.0$\\times 10^5$  & -16.25869250598  &1.7$\\times 10^7$ &  Ref.[\\cite{Trug2,Mono2}] \\\\   \n 7&  1D& F2H&   2  &  1& 0.5& 1 & -5.82261974     &2.75$\\times 10^5$ & -5.822621        &3.0$\\times 10^6$ &  Ref.[\\cite{Mono2}] \\\\   \n\\end{tabular}\n\\end{ruledtabular}\n\\end{table*}\n\n\n\\section{The SC-VAED}\n\nFigure 1 provides a schematic picture of generating the basis state in the VAED.\nStarting from the initial state with two electrons and zero phonon,\nnew translationally invariant states are generated by a single operation \nof the Holstein Hamiltonian on the initial state.\nAs mentioned above, \nthe VAED method is restricted to one or two particle system. \nWe have thus tried to improve the VAED method \nto deal with systems with more than two electrons.\n\n\\begin{figure}[t]\n\\includegraphics[scale=0.30]{fig1.eps}\n\\caption{\\label{f1} (Color online)\nThe illustration of basis state generation from the initial singlet Holstein bipolaron state.\nTwo electrons with spin-up (red ball) and spin-down (blue ball) are located \nat the lattice site $1$.\nNew sates are generated by the single operation of off-diagonal term of the Holstein Hamiltonian. \nIf two states are related by translational symmetry, then a single state is retained.\\cite{Trug3,Trug1,Mono2}\nThe tilde mark represents the phonon.\n }\n\\end{figure}\n\n\\begin{figure}[b]\n\\includegraphics[scale=0.30]{fig2.eps}\n\\caption{\\label{f2} (Color online)\nThe electron-lattice correlation function $\\chi$(i-j) for\na large polaron at $\\omega$=$0.1$ and $\\lambda$=$0.05$. The inset shows the\nweight of $m$-phonon states for the ground state polaron.\\cite{Fehske1} \nWe compare the quantities calculated by using the SC-VAED and the VAED method. \nHere the size of the basis used in the SC-VAED is $26000$, \nwhereas the VAED requires much larger basis of $731027$ states.\\cite{Trug2,Atis1}\n}\n\\end{figure}\n\nWe have made systematic analyses of the ground state wave-functions\nof already well-studied systems, and found that most of the probability \nof the wave-function is contained in a few number of states. \nOn the basis of this finding, we devise a scheme that throws away not so\nimportant states and builds upon the higher weighted states.\nNamely, for a given lattice size, \ninstead of generating the variational space at once,\nwe first generate small number of states (say $10000$) and obtain \nthe ground state wave-function and energy. \nWe pick up a few of the states with the highest probability (say $1000$). \nNow a basis of bigger size than the first basis (say $12000$) is\ngenerated with these (say $1000$) states as the starting states. \nWe repeat this process with increasing the size of the basis at each step. \n\nThe result is quite encouraging.\nAs shown below, this scheme reproduces the best available results in all parameter regimes with a basis much\nsmaller than used before. The higher phonon number states are picked up by the\nself-consistency cycles. We check the convergence by comparing the converged\nenergies for different lattice sizes.  \n\n\\section{Results}\n\n\nThe notable  feature of our development is that we are in a position \nto reproduce the benchmark results at much lesser computational cost. \nTable 1 shows the ground state energies \nfor different {\\it e-ph} systems obtained by the SC-VAED, which are compared with\nthe best results available from literature. \nThe strength of the traditional VAED exists\nfor small {\\it e-ph} coupling and the intermediate phonon regime \n(case 1 in Table 1).\\cite{Trug1,Trug2,Trug3,Trug4} \nWe are able to obtain similar precision in the SC-VAED with a basis size much smaller. \nThe VAED fails to maintain its high standard for the adiabatic case \nwith intermediate {\\it e-ph} coupling. The SOS-VAED scheme of Alvermann {\\it et al.}\\cite{Alt1} \nis an excellent approach to overcome this limitation of the VAED \n(case 2 in Table 1). \nIncorporation of the LF idea\\cite{Mono2} also yields\nsimilar success, but with a much bigger basis size. \nNoteworthy is that the SC-VAED scheme obtains \nthe same precision in this regime too, again with a smaller basis size.  \nChakraborty {\\it et al.}\\cite{Mono2} showed that\nthe strong coupling regime could be handled efficiently \nwith the LF-VAED (case 6 in Table 1).\nThe SC-VAED describes two-electron Holstein-Hubbard bipolaron system \nas efficient as the LF-VAED but at a much lower computational cost. \nThe SC-VAED works equally well for the Fr\\\"{o}hlich system too (case 7 in Table 1).\n\n\n\\begin{figure}[b]\n\\vskip 0.5cm\n\\includegraphics[scale=0.30]{fig3.eps}\n\\caption{\\label{f3} (Color online)\nEffective mass of a Holstein bipolaron as a function of $U$ \nat $\\omega$=$1.0$ and $\\lambda$=$3.25$,\nwhich is normalized by twice the mass of polaron at the same parametric regime.\nThe SC-VAED results (solid line) are compared with analytic results (dotted line) obtained from \nthe second order strong coupling perturbation theory.\\cite{Alex1,Trug1,Mono2}\n}\n\\end{figure}\n\nThe comparison in Table 1 clearly manifests that the SC-VAED scheme\nindeed brings down the numerical burden and thus extends \nthe ambit of the method to more difficult parametric regimes \nand to more number of  particles.\nThe price that one has to pay for this method is \nto make the self-consistent basis at each parameter of the calculation. \nBut this is a small price to pay in view of its advantages.\n\n\n\nNow we consider two different systems\nin different regimes to explain the utility of our development. \nLet us first consider a typical large polaron system. \nFigure 2  shows the static electron-lattice correlation function \\cite{Trug3,Atis1,Mono1} \nin the adiabatic regime ($\\omega$=$0.1$)\nand at  very low {\\it e-ph} coupling ($\\lambda$=$0.05$). \nThe inset shows $|C_{0}^{m}|^{2}$, which corresponds to\nthe weight of the phonon states as defined by Fehske {\\it et al.}.\\cite{Fehske1} \nThe SC-VAED results match excellently with the VAED results.\\cite{Trug3,Atis1,Mono1}\nThe VAED results were calculated with a basis size of $731027$, whereas the SC-VAED\ncalculations were done with a basis size of $26000$. \nAlthough the lattices sizes are similar, \nthe self-consistent cycles get rid of the higher phonon number\nstates that do not contribute to the ground state wave-function significantly,\nthus keeping intact the accuracy with a much smaller basis.\n\n    \nWe next consider the case of extremely strong {\\it e-ph} coupling.\nFigure 3 shows the effective mass of a Holstein bipolaron \nas a function of on-site {\\it e-e} Hubbard interaction $U$ \nat $\\omega$=$1.0$ and $\\lambda$=$3.25$.\\cite{Trug1,Mono2}\nIt is normalized by twice the mass of the polaron at that parameter regime.\nIt is seen that the SC-VAED result is in close agreement with the\nanalytical calculation.\\cite{Alex2,Trug1,Mono2} \nIt should be noted that no prior numerical calculation\nhas been attempted at this regime for bipolarons.\n\nThe above two examples demonstrates the potential applicability of the SC-VAED scheme \nto any {\\it e-ph} coupling regime \nand to different polaron and bipolaron systems\nof both Holstein and Fr\\\"{o}hlich varieties. \n\n\n\n\\section{Conclusions}\n\nWe have developed the self-consistent variational approach (SC-VAED),\nwhich not only reproduces the most precise results with a much lesser computational effort\nbut also increases the scope of variational approach to much bigger systems. \nThe SC-VAED method is simple and easily implementable. \nThe real benefit of the SC-VAED scheme will become evident\nwhen applied to problems involving more electrons in higher dimension, \nsuggesting that the SC-VAED is a very promising method with a lot of applicability. \n\n\\acknowledgements\nThis work was supported by the NRF (No.2009- 0079947) and the\nPOSTECH Physics BK21 fund. \nStimulating discussions with H. Fehske and A. Alvermann are\ngratefully acknowledged. \n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\n\nJones analyzed the images of the braid group representations obtained from Temperley-Lieb algebras in \\cite{jones86} where, in particular, he determined when the braid group images are finite or not.  Braid group representations with finite image were also recognized in \\cite{jones89} and \\cite{GJ}.  Some 15 years later the problem of determining the closure of the image of braid group representations associated with Hecke algebras played a critical role in analyzing the computational power of the topological model for quantum computation \\cite{FLW}.  Following these developments the author and collaborators analyzed braid group representations associated with $BMW$-algebras \\cite{LRW} and twisted doubles of finite groups \\cite{ERW}.\n\nPartially motivated by empirical evidence the author conjectured that the braid group representations associated with an object $X$ in a braided fusion category $\\mathcal{C}$ has finite image if, and only if, the Frobenius-Perron dimension of $\\mathcal{C}$ is integral (see eg. \\cite[Conjecture 6.6]{RSW}).  In \\cite{NR,RUMA} various instances of this conjecture were verified.  This current work verifies this conjecture for the braided fusion category $\\mathcal{C}(\\mathfrak{sl}_3,6)$ obtained from the representation category of the quantum group $U_q\\mathfrak{sl}_3$ at $q=e^{\\pi \\im\/6}$ (see \\cite{Rsurvey} for details and notation).\n\nMore generally, Jimbo's \\cite{Jm} quantum Schur-Weyl duality establishes a relationship between the modular categories $\\mathcal{C}(\\mathfrak{sl}_k,\\ell)$ obtained from the quantum group $U_q\\mathfrak{sl}_k$ at $q=e^{\\pi \\im\/\\ell}$ and certain semisimple quotients $\\mathcal{H}_n(k,\\ell)$ of specialized Hecke algebras $\\mathcal{H}_n(q)$ (defined below).\nThat is, if we denote by $X\\in\\mathcal{C}(\\mathfrak{sl}_k,\\ell)$ the simple object analogous to the vector representation of $\\mathfrak{sl}_k$ then there is an isomorphism $\\mathcal{H}_n(k,\\ell)\\cong\\End(X^{\\otimes n})$ induced by $g_i\\rightarrow I_X^{\\otimes i-1}\\otimes c_{X,X}\\otimes I^{\\otimes n-i-1}$.\n\nIn particular, the braid group representations associated with the modular category $\\mathcal{C}(\\mathfrak{sl}_3,6)$ are the same as those obtained from $\\mathcal{H}_n(3,6)$.\nIt is known that braid group representations obtained from $\\mathcal{H}_n(3,6)$ have finite image (mentioned in \\cite{FLW,LR,NR}) but a proof has never appeared in print.  This fact was discovered by Goldschmidt and Jones during the writing of \\cite{GJ} and independently by Larsen during the writing of \\cite{FLW}.  We benefitted from the notes of Goldschmidt and Jones containing the description of the quaternionic braid representation below.  Our techniques follow closely those of \\cite{jones86,jones89,LR2}.\n\nThe rest of the paper is organized into three sections.  In Section \\ref{Hecke} we recall some notation and facts about Hecke algebras and their quotients.  The main results are in Section \\ref{quat}, and in Section \\ref{disc} we indicate how the category $\\mathcal{C}(\\mathfrak{sl}_3,6)$ is exceptional from topological and categorical points of view.\n\n\n\\section{Hecke Algebras}\\label{Hecke}\nWe extract the necessary definitions and results from \\cite{W} that we will need in the sequel.\n\\begin{definition}\nThe \\emph{Hecke algebra} $\\mathcal{H}_n(q)$ for $q\\in\\mathbb C$ is the $\\mathbb C$-algebra with generators $g_1,\\ldots, g_{n-1}$ satisfying relations:\n\n\\begin{enumerate}\n\\item[$(H1)^\\prime$] $g_ig_{i+1}g_i=g_{i+1}g_ig_{i+1}$ for $1\\leq i\\leq n-2$\n\\item[$(H2)^\\prime$] $g_ig_j=g_jg_i$ for $|i-j|>1$\n \\item[$(H3)^\\prime$] $(g_i+1)(g_i-q)=0$\n\\end{enumerate}\n\\end{definition}\n\nTechnically, $\\mathcal{H}_n(q)$ is the Hecke algebra of type $A$, but we will not be considering other types so we suppress this distinction.  One immediately observes that $\\mathcal{H}_n(q)$ is the quotient of the braid group algebra $\\mathbb C\\mathcal{B}_n$ by the relation $(H3)^\\prime$.\n$\\mathcal{H}_n(q)$ may also be described in terms of the generators $e_i:=\\frac{(q-g_i)}{(1+q)}$, which satisfy:\n\\begin{enumerate}\n \\item[$(H1)$] $e_i^2=e_i$\n \\item[$(H2)$] $e_ie_j=e_je_i$ for $|i-j|>1$\n \\item[$(H3)$] $e_ie_{i+1}e_i-q\/(1+q)^2e_i=e_{i+1}e_{i}e_{i+1}-q\/(1+q)^2e_{i+1}$ for $1\\leq i\\leq n-2$\n\\end{enumerate}\n\nFor any $\\eta\\in\\mathbb C$, Ocneanu \\cite{FYHLMO} showed that one may uniquely define a linear functional $\\tr$ on $\\mathcal{H}_\\infty(q):=\\cup_{n=1}^\\infty \\mathcal{H}_n(q)$\nsatisfying\n\\begin{enumerate}\n \\item $\\tr(1)=1$\n\\item $\\tr(ab)=\\tr(ba)$\n\\item $\\tr(xe_n)=\\eta\\tr(x)$ for any $x\\in\\mathcal{H}_n(q)$\n\\end{enumerate}\nAny linear function on $\\mathcal{H}_\\infty$ satisfying these conditions is called a \\emph{Markov trace} and is determined by the value $\\eta=\\tr(e_1)$.\n\nNow suppose that $q=e^{2\\pi i\/\\ell}$ and $\\eta=\\frac{(1-q^{1-k})}{(1+q)(1-q^k)}$ for some integers $k<\\ell$.  Then for each $n$, the (semisimple) quotient of $\\mathcal{H}_n(q)$ by the annihilator of the restriction of the trace $\\mathcal{H}_n(q)\/\\Ann(\\tr)$ is called the \\textit{$(k,\\ell)$-quotient}.  We will denote this quotient by $\\mathcal{H}_n(k,\\ell)$ for convenience.  Wenzl \\cite{W} has shown that $\\mathcal{H}_n(k,\\ell)$ is semisimple and described the irreducible representations $\\rho_{\\lambda}^{(k,\\ell)}$ where ${\\lambda}$ is a \\emph{$(k,\\ell)$-admissible} Young diagrams of size $n$.  Here a Young diagram ${\\lambda}$ is $(k,\\ell)$-admissible if ${\\lambda}$ has at most $k$ rows and ${\\lambda}_1-{\\lambda}_k\\leq \\ell-k$ where ${\\lambda}_i$ denotes the number of boxes in the $i$th row of ${\\lambda}$.  The (faithful) Jones-Wenzl representation is the sum: $\\rho^{(k,\\ell)}=\\bigoplus_{\\lambda} \\rho_{\\lambda}^{(k,\\ell)}$.    Wenzl \\cite{W} has shown that $\\rho^{(k,\\ell)}$ is a $C^*$ representation, i.e. the representation space is a Hilbert space (with respect to a Hermitian form induced by the trace $\\tr$) and $\\rho_{\\lambda}^{(k,\\ell)}(e_i)$ is a self-adjoint operator.\nOne important consequence is that each $\\rho_{\\lambda}^{(k,\\ell}$ induces an irreducible unitary representation of the braid group $\\mathcal{B}_n$ via composition with $\\sigma_i\\rightarrow g_i$, which is also called the Jones-Wenzl representation of $\\mathcal{B}_n$.\n\n\n\n\n\n\\section{A Quaternionic Representation}\\label{quat}\nConsider the $(3,6)$-quotient $\\mathcal{H}_n(3,6)$.  The $(3,6)$-admissible Young diagrams have at most $3$ rows and ${\\lambda}_1-{\\lambda}_3\\leq 3$.  For $n\\geq 3$ there are either $3$ or $4$ Young diagrams of size $n$ that are $(3,6)$-admissible, and  $\\eta=\\frac{(1-q^{1-3})}{(1+q)(1-q^3)}=1\/2$ in this case.\nDenote by $\\phi_n$ the unitary Jones-Wenzl representation of $\\mathcal{B}_n$ induced by $\\rho^{(3,6)}$.  Our main goal is to prove the following:\n\\begin{theorem}\\label{mainthm}\nThe image $\\phi_n(\\mathcal{B}_n)$ is a finite group.\n\\end{theorem}\nWe will prove this theorem by embedding $\\mathcal{H}_n(3,6)$ into a finite dimensional algebra (Lemma \\ref{isolemma}) and then showing that the group generated by the images of $g_1,\\cdots,g_{n-1}$ is finite (Lemma \\ref{finitelemma}).\n\nDenote by $[\\;,\\;]$ the multiplicative group commutator and let $q=e^{2\\pi \\im\/6}$.\nConsider the $\\mathbb C$-algebra $Q_n$ with generators\n$u_1,v_1,\\ldots,u_{n-1},v_{n-1}$ subject to the relations:\n\\begin{enumerate}\n \\item[(G1)] $u_i^2=v_i^2=-1$,\n\\item[(G2)] $[u_i,v_j]=-1$ if $|i-j|\\leq 1$,\n\\item[(G3)] $[u_i,v_j]=1$ if $|i-j|\\geq 2$\n\\item[(G4)] $[u_i,u_j]=[v_i,v_j]=1$\n\\end{enumerate}\nNotice that the group $\\{\\pm 1,\\pm u_i,\\pm v_i,\\pm u_iv_i\\}$ is isomorphic to the group of quaternions.\nWe see from these relations that $\\dim(Q_n)=2^{2n-2}$ since each word in the $u_i,v_i$ has a unique normal form\n\\begin{equation}\\label{normform}\n \\pm u_1^{\\epsilon_1}\\cdots u_{n-1}^{\\epsilon_{n-1}}v_1^{\\nu_1}\\cdots v_{n-1}^{\\nu_{n-1}}\n\\end{equation}\nwith $\\nu_i,\\epsilon_i\\in\\{0,1\\}$. Observe that a basis for $Q_n$ is given by taking all $+$ signs in (\\ref{normform}).  We define a $\\mathbb C$-valued trace $\\Tr$ on $Q_n$ by setting $\\Tr(1)=1$ and $\\Tr(w)=0$ for any non-identity word in the $u_i,v_i$. One deduces that $\\Tr$ is faithful from the uniqueness of the normal form (\\ref{normform}).\n\nDefine\n\\begin{equation}\\label{eqgj} s_i:=\\frac{-1}{2q}(1+u_i+v_i+u_iv_i)\\end{equation}\nfor $1\\leq i\\leq n-1$.\n\n\\begin{lemma}\\label{isolemma}\n The subalgebra $\\mathcal{A}_n\\subset Q_n$ generated by $s_1,\\ldots,s_{n-1}$ is isomorphic to $\\mathcal{H}_n(3,6)$.\n\\end{lemma}\n\n\\begin{proof}\n\nIt is a straightforward computation to see that the $s_i$ satisfy\n\\begin{enumerate}\n \\item[(B1)] $s_is_{i+1}s_i=s_{i+1}s_is_{i+1}$\n\\item[(B2)] $s_js_i=s_is_j$ if $|i-j|\\geq 2$\n\\item[(E1)] $(s_i-q)(s_i+1)=0$\n\\end{enumerate}\nIndeed, relation (B2) is immediate from relations (G3) and (G4).  It is enough to check (B1) and (E1) for $i=1$.  For this we compute:\n\\begin{eqnarray}\n&&s_1^{-1}=-\\frac{q}{2}(1-u_1-v_1-u_1v_1)\\nonumber\\\\\n&&s_1^{-1}u_1s_1=u_1v_1,\\quad s_1^{-1}v_1s_1=u_1,\\label{action1}\\\\\n&&s_1^{-1}u_2s_1=u_2v_1,\\quad s_1^{-1}v_2s_1=-u_1v_1v_2\\nonumber\n\\end{eqnarray}\nfrom which (B1) and (E1) are deduced.\n\nThus $\\varphi(g_i)=s_i$ induces an algebra homomorphism $\\varphi:\\mathcal{H}_n(q)\\rightarrow Q_n$ with $\\varphi(\\mathcal{H}_n(q))=\\mathcal{A}_n$.  Set $f_i:=\\varphi(e_i)=\\frac{(q-s_i)}{(1+q)}$ and let $b\\in Q_{n-1}$ that is, $b$ is in the span of the words in $\\{u_1,v_1,\\ldots,u_{n-2},v_{n-2}\\}$.  The constant term of $f_{n-1}b$ is the product of the constant terms of $b$ and $f_{n-1}$ since $f_{n-1}$ is in the span of $\\{1,u_{n-1},v_{n-1},u_{n-1}v_{n-1}\\}$, so $\\Tr(f_{n-1}b)=\\Tr(f_{n-1})\\Tr(b)$. For each $a\\in\\mathcal{H}_n(q)$ we define $\\varphi^{-1}(\\Tr)(a):=\\Tr(\\varphi(a))$, and conclude that $\\varphi^{-1}(\\Tr)$ is a Markov trace on $\\mathcal{H}_n(q)$.  Computing, we see that $\\Tr(f_{n-1})=1\/2$ so that by uniqueness $\\varphi^{-1}(\\Tr)=\\tr$ as functionals on $\\mathcal{H}_n(q)$.  Now if $a\\in\\ker(\\varphi)$ we see that $\\tr(ac)=\\Tr(\\varphi(ac))=0$ for any $c$ so that $\\ker(\\varphi)\\subset\\Ann(\\tr)$.  On the other hand, if $a\\in\\Ann(\\tr)$ we must have $\\Tr(\\varphi(ac))=\\tr(ac)=0$ for all $c\\in\\mathcal{H}_n(q)$.  If $\\varphi(a)\\neq 0$ then, by definition of $\\Tr$ and $\\varphi$, there exists an $a^\\dag\\in\\mathcal{H}_n(q)$ such that $\\Tr(\\varphi(a)\\varphi(a^\\dag))\\neq 0$ since $\\Tr$ is faithful.  Therefore  $\\Ann(\\tr)\\subset\\ker(\\varphi)$.  In particular, we see that $\\varphi$ induces:\n$$\\mathcal{H}_n(3,6)=\\mathcal{H}_n(q)\/\\Ann(\\tr)\\cong \\varphi(\\mathcal{H}_n(q))=\\mathcal{A}_n\\subset Q_n.$$\n\\end{proof}\n\n\n\\begin{lemma}\\label{finitelemma}\nThe group $G_n$ generated by $s_1,\\cdots,s_{n-1}$ is finite.\n\\end{lemma}\n\\begin{proof}\n\n  Consider the conjugation action of the $s_i$ on $Q_n$.  We claim that the conjugation action of $s_i$ on the words in the $u_i,v_i$ is by a signed permutation.  Since $s_i$ commutes with words in $u_j,v_j$ with $j\\not\\in\\{i-1,i,i+1\\}$, by symmetry it is enough to consider the conjugation action of $s_1$  on the four elements $\\{u_1,v_1,u_2,v_2\\}$, which is given in (\\ref{action1}).\n\nThus we see that $G_n$ modulo the kernel of this action is a (finite) signed permutation group.\nThe kernel of this conjugation action lies in the center $Z(Q_n)$ of $Q_n$.  Using the normal form above we find that the center $Z(Q_n)$ is either $1$-dimensional or $4$-dimensional.  Indeed, since the words:\n$$W:=\\{u_1^{\\epsilon_1}\\cdots u_{n-1}^{\\epsilon_{n-1}}v_1^{\\nu_1}\\cdots v_{n-1}^{\\nu_{n-1}}\\}$$\nfor $(\\epsilon_1,\\ldots,\\epsilon_{n-1},\\nu_1,\\ldots,\\nu_{n-1})\\in\\mathbb Z_2^{2n-2}$ form a basis for $Q_n$ and $tw=\\pm wt$ for $w,t\\in W$ we may explicitly compute a basis for the center as those words $w\\in W$ that commute with $u_i$ and $v_i$ for all $i$.  This yields two systems of linear equations over $\\mathbb Z_2$:\n\\begin{equation}\\label{eqnmod2u}\n\\begin{cases} \\epsilon_1+\\epsilon_2=0,&\\\\\n\\epsilon_{i}+\\epsilon_{i+1}+\\epsilon_{i+2}=0, & 1\\leq i\\leq n-3 \\\\\n\\epsilon_{n-2}+\\epsilon_{n-1}=0 &\\end{cases}\n\\end{equation} and\n\\begin{equation}\\label{eqnmod2v}\n \\begin{cases} \\nu_1+\\nu_2=0 &\\\\\n\\nu_{i-1}+\\nu_{i}+\\nu_{i+1}=0, & 1\\leq i\\leq n-3\\\\\n\\nu_{n-2}+\\nu_{n-1}=0.&\\end{cases}\n\\end{equation}\nNon-trivial solutions to (\\ref{eqnmod2u}) only exist if $3\\mid n$ since we must have $\\epsilon_1=\\epsilon_2=\\epsilon_{n-2}=\\epsilon_{n-1}=1$ as well as $\\epsilon_i=0$ if $3\\mid i$ and $\\epsilon_j=1$ if $3\\nmid j$ and similarly for (\\ref{eqnmod2v}).  Thus $Z(Q_n)$ is $\\mathbb C$ if $3\\nmid n$ and is spanned by $1,U,V$ and $UV$ where\n$U=\\prod_{3\\nmid i} u_i$ and $V=\\prod_{3\\nmid i} v_i$ if $3\\mid n$.\nThe determinant of the image of $s_i$ under any representation is a $6$th root of unity and hence the same is true for any element $z\\in Z(Q_n)\\cap G_n$.  Thus for $3\\nmid n$ the image of any $z\\in Z(Q_n)\\cap G_n$ under the left regular representation is a root of unity times the identity matrix, and thus has finite order.  Similarly, if $3\\mid n$, the restriction of any $z\\in Z(Q_n)\\cap G_n$ to any of the four simple components of the left regular representation is a root of unity times the identity matrix and so has finite order.  So the group $G_n$ itself is finite.\n\\end{proof}\nThis completes the proof of Theorem \\ref{mainthm}.\n\n\n\\begin{remark}  The proof of Lemma \\ref{finitelemma} shows that the projective image of $G_n$ is a (non-abelian) subgroup of the full monomial group $G(2,1,4^{n-1})$ of signed $4^{n-1}\\times 4^{n-1}$ matrices.  The main goal of this paper is to verify \\cite[Conjecture 6.6]{RSW} in this case, but with further effort one could determine the group $G_n$ more precisely.  It is suggested in \\cite{LR} that $G_n$ is an extension of $PSU(n-1,\\mathbb{F}_2)$ so that $$|G_n|\\approx \\frac{1}{3}2^{(n-1)(n-2)\/2}\\prod_{i=1}^{n-1}(2^i-(-1)^i)$$ but that such a result has not appeared in print.  Modulo the center, the generators $s_i$ have order $3$ so that $G_n\/Z(G_n)$ is a quotient of the factor group $\\mathcal{B}_n\/\\langle\\sigma_1^3\\rangle$ (here $\\sigma_i$ are the usual generators of $\\mathcal{B}_n$).  For $n\\leq 5$, Coxeter \\cite{cox} has shown that these quotients are finite groups and determined their structure.  In particular, the projective image of $\\mathcal{B}_5\/\\langle \\sigma_1^3\\rangle$ is $PSU(4,\\mathbb{F}_2)$, so $G_5$ is an extension of this simple group.  A strategy for showing $G_n$ is an extension of $PSU(n-1,\\mathbb{F}_2)$ for $n>5$ would be to find an $(n-1)$-dimensional invariant subspace of $Q_n$ so that the restricted action of the braid generators is by order $3$ pseudo-reflections (projectively).  A comparison of the dimensions of the simple $\\mathcal{H}_n(2,6)$-modules with those of $PSU(n-1,\\mathbb{F}_2)$ indicates that one must also restrict to those $n$ not divisible by $3$.\n\\end{remark}\n\n\n\\section{Concluding Remarks, Questions and Speculations}\\label{disc}\nThe category $\\mathcal{C}(\\mathfrak{sl}_3,6)$ does not seem to have any obvious generalizations.  We discuss some of the ways in which $\\mathcal{C}(\\mathfrak{sl}_3,6)$ appears to be exceptional by posing a number of (somewhat na\\\"ive) questions which we expect to have negative answers.\n\\subsection{Link Invariants}\nFrom any modular category one obtains (quantum) link invariants via Turaev's approach \\cite{Tur}.\nThe link invariant $P_L^\\prime(q,\\eta)$ associated with $\\mathcal{C}(\\mathfrak{sl}_k,\\ell)$ is (a variant of) the HOMFLY-PT polynomial (\\cite{FYHLMO}, where a different choice of variables is used).  For the choices $q=e^{2\\pi \\im\/6}$ and $\\eta=1\/2$ corresponding to $\\mathcal{C}(\\mathfrak{sl}_3,6)$ the invariant has been identified \\cite{LM}:\n$$P_L^\\prime(e^{2\\pi \\im\/6},1\/2)=\\pm\\im(\\sqrt{2})^{\\dim H_1(T_L;\\mathbb Z_2)}$$ where $T_L$ is the triple cyclic cover of the three sphere $S^3$ branched over the link $L$.  There is a similar series of invariants for any odd prime $p$: $\\pm\\im(\\sqrt{p})^{\\dim H_1(D_L;\\mathbb Z_p)}$ where $D_L$ is the double cyclic cover of $S^3$ branched over $L$ (see \\cite{LM,GJ}).  It appears that this series of invariants can be obtained from modular categories $\\mathcal{C}(\\mathfrak{so}_{p},2p)$.  This has been verified for $p=3,5$ (see \\cite{GJ} and \\cite{jones89}) and we have recently handled the $p=7$ case (unpublished, using results in \\cite{West}).\n\\begin{question}  Are there modular categories with associated link invariant:\n$$\\pm\\im (\\sqrt{p})^{\\dim H_1(T_L;\\mathbb Z_p)}?$$\n\\end{question}\nIn \\cite{LRW} it is suggested that if the braid group images corresponding to some ribbon category are finite then the corresponding link invariant is \\emph{classical}, i.e. equivalent to a homotopy-type invariant.  Another formulation of this idea is found in \\cite{twoparas} in which \\emph{classical} is interpreted in terms of computational complexity.\n\n\\subsection{Fusion Categories and $II_1$ Factors}\nThe category $\\mathcal{C}(\\mathfrak{sl}_3,6)$ is an \\emph{integral} fusion category, that is, the simple objects have integral dimensions.  The categories $\\mathcal{C}(\\mathfrak{sl}_k,\\ell)$ are integral for $(k,\\ell)=(3,6)$ and $(k,k+1)$ but no other examples are known (or believed to exist).   $\\mathcal{C}(\\mathfrak{sl}_3,6)$ has six simple (isomorphism classes of) objects: $\\{X_i,X_i^*\\}_{i=1}^3$ of dimension $2$ (dual pairs), three simple objects $\\mathbf{1},Z,Z^*$ of dimension $1$, and one simple object $Y$ of dimension $3$.  The Bratteli diagram for tensor powers of the generating object $X_1$ is given in Figure \\ref{brat}.  It is shown in \\cite{ENO} that $\\mathcal{C}$ is an integral fusion category if, and only if, $\\mathcal{C}\\cong \\Rep(H)$ for some semisimple finite dimensional quasi-Hopf algebra $H$, so in particular $\\mathcal{C}(\\mathfrak{sl}_3,6)\\cong\\Rep(H)$ for some quasi-triangular quasi-Hopf algebra $H$.  One wonders if strict coassociativity can be achieved:\n\\begin{question} Is there a (quasi-triangular) semisimple finite dimensional Hopf algebra $H$ with $\\mathcal{C}(\\mathfrak{sl}_3,6)\\cong\\Rep(H)$?\n\\end{question}\nOther examples of integral categories are the representation categories $\\Rep(D^\\omega G)$ of twisted doubles of finite groups studied in \\cite{ERW} (here $G$ is a finite group and $\\omega$ is a $3$-cocycle on $G$).  Any fusion category $\\mathcal{C}$ with the property that its Drinfeld center $\\mathcal{Z}(\\mathcal{C})$ is equivalent as a braided fusion category to $\\Rep(D^\\omega G)$ for some $\\omega,G$ is called \\emph{group-theoretical} (see \\cite{ENO,Nat}).  The main result of \\cite{ERW} implies that if $\\mathcal{C}$ is any braided group-theoretical fusion category then the braid group representations obtained from $\\mathcal{C}$ must have finite image.  In \\cite{NR} we showed that $\\mathcal{C}(\\mathfrak{sl}_3,6)$ is not group-theoretical and in fact has minimal dimension ($36$) among non-group-theoretical integral modular categories.\n\\begin{question}\nIs there a family of non-group-theoretical integral modular categories that includes $\\mathcal{C}(\\mathfrak{sl}_3,6)$?\n\\end{question}\n\\begin{figure}[t0]\n$\\xymatrix{ X_1\\ar@{-}[d]\\ar@{-}[dr]\\\\  X_1^*\\ar@{-}[d]\\ar@{-}[dr] & X_2\\ar@{-}[d]\\ar@{-}[dr] \\\\\n \\mathbf{1}\\ar@{-}[d] & Y\\ar@{-}[dl]\\ar@{-}[d]\\ar@{-}[dr] & Z\\ar@{-}[d] \\\\ X_1\\ar@{-}[d]\\ar@{-}[dr] & X_2^*\\ar@{-}[dl]\\ar@{-}[dr]& X_3\\ar@{-}[dl]\\ar@{-}[d]\\\\ X_1^*\\ar@{-}[d]\\ar@{-}[dr] & X_2\\ar@{-}[d]\\ar@{-}[dr] & X_3^*\\ar@{-}[dl]\\ar@{-}[dr]\\\\\n\\mathbf{1}\\ar@{-}[d] & Y\\ar@{-}[dl]\\ar@{-}[dr]\\ar@{-}[d] & Z\\ar@{-}[d] & Z^*\\ar@{-}[dll]\\\\\nX_1&X_2^*&X_3}$\n\\caption{Bratteli diagram for $\\mathcal{C}(\\mathfrak{sl}_3,6)$}\\label{brat}\n\\end{figure}\n\n\nNotice that $\\mathcal{C}(\\mathfrak{sl}_3,6)$ has a ribbon subcategory $\\mathcal{D}$ with simple objects $\\mathbf{1}, Z,Z^*$ and $Y$.  The fusion rules are the same as those of $\\Rep(\\mathfrak{A}_4)$: $Y\\otimes Y\\cong\\mathbf{1}\\oplus Z\\oplus Z^*\\oplus Y$.  However $\\mathcal{D}$ is not symmetric, and $\\mathcal{C}(\\mathfrak{sl}_3,6)$ has smallest dimension among modular categories containing $\\mathcal{D}$ as a ribbon subcategory (what M\\\"uger would call a \\emph{minimal modular extension} \\cite{Mu}).  One possible generalization of  $\\mathcal{C}(\\mathfrak{sl}_3,6)$ would be a minimal modular extension of a non-symmetric ribbon category $\\mathcal{D}_n$ similar to $\\mathcal{D}$ above.  That is, $\\mathcal{D}_n$ should be a non-symmetric ribbon category with $n$ $1$-dimensional simple objects $\\mathbf{1}=Z_0,\\ldots,Z_{n-1}$ and one simple $n$-dimensional object $Y_n$ such that $Y_n\\otimes Y_n\\cong Y_n\\oplus\\bigoplus_{i=0}^{n-1} Z_i$ and the $Z_i$ have fusion rules like $\\mathbb Z_n$.  For $\\mathcal{D}_n$ to exist even at the generality of fusion categories one must have $n=p^\\alpha-1$ for some prime $p$ and integer $\\alpha$ by \\cite[Corollary 7.4]{EGO}.  However, V. Ostrik \\cite{os} informs us that these categories do not admit non-symmetric braidings except for $n=2,3$.  So this does not produce a generalization.\n\n\nA pair of hyperfinite $II_1$ factors $A\\subset B$ with index $[B:A]=4$ can be constructed from $\\mathcal{C}(\\mathfrak{sl}_3,6)$ (see \\cite[Section 4.5]{wenzlcstar}).  The corresponding principal graph is the Dynkin diagram $E_6^{(1)}$ the nodes of which we label by simple objects:\n$$\\xymatrix{&& Z^* \\ar@{-}[d] \\\\ && X_3\\ar@{-}[d]\\\\\n\\mathbf{1}\\ar@{-}[r]&X_1\\ar@{-}[r]&Y\\ar@{-}[r]&X_2^*\\ar@{-}[r]& Z}$$\nThis principal graph can be obtained directly from Bratteli diagram in Figure \\ref{brat} as the nodes in the $6$th and $7$th levels and the edges between them.\nHong \\cite{Ho} showed that any $II_1$ subfactor pair\n$M\\subset N$ with principal graph $E_6^{(1)}$ can be constructed from some $II_1$ factor $P$ with an outer action of $\\mathfrak{A}_4$ as $M=P\\rtimes \\mathbb Z_3\\subset P\\rtimes \\mathfrak{A}_4=N$.  Subfactor pairs with principal graph $E_7^{(1)}$ and $E_8^{(1)}$ can also be constructed (see eg. \\cite{popa}).\nWe ask:\n\\begin{question}\\label{q:e7e8} Is there a unitary non-group-theoretical integral modular category with principal graph $E_7^{(1)}$ or $E_8^{(1)}$?\n\\end{question}\nEven a braided fusion category with such a principal graph would be interesting, and have interesting braid group image.\n\nNotice that the subcategory $\\mathcal{D}$ mentioned above plays a role here as $\\mathfrak{A}_4$ corresponds to the Dynkin diagram $E_6^{(1)}$ in the McKay correspondence.  A modular category $\\mathcal{C}$ with principal graph $E_7^{(1)}$ (resp. $E_8^{(1)}$) would contain a ribbon subcategory $\\mathcal{F}_1$ (resp. $\\mathcal{F}_2$) with the same fusion rules as $\\Rep(\\mathfrak{S}_4)$ (resp. $\\Rep(\\mathfrak{A}_5)$).  Using \\cite[Lemma 1.2]{EG} we find that such a category $\\mathcal{C}$ must have dimension divisible by $144$ (resp. $3600$).  The ribbon subcategory $\\mathcal{F}_2$ must have symmetric braiding (D. Nikshych's proof: $\\Rep(\\mathfrak{A}_5)$ has no non-trivial fusion subcategories so if it has a non-symmetric braiding, the M\\\"uger center is trivial.  But if the M\\\"uger center is trivial it is modular, which fails by \\cite[Lemma 1.2]{EG}).  This suggests that for $E_8^{(1)}$ the answer to Question \\ref{q:e7e8} is ``no.''  There is a non-symmetric choice for $\\mathcal{F}_1$ (as V. Ostrik informs us \\cite{os}), with M\\\"uger center equivalent to $\\Rep(\\mathfrak{S}_3)$.  By \\cite[Prop. 5.1]{Mu} a minimal modular extension $\\mathcal{C}$ of such an $\\mathcal{F}_1$ would have dimension $144$.\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\\label{sec:intro}\n\nAnalyzing spike trains from hundreds of neurons to find significant temporal patterns \nis an important current research problem \\cite{Brown2004,SS2006,Pipa2008}. \nBy using experimental techniques such as Micro Electrode Arrays or imaging of\nneural currents, spike data can be recorded\nsimultaneously from many neurons \\cite{Ikegaya2004,Potter2006}. Such multi-neuronal \nspike train data can \nnow be routinely gathered {\\em in vitro} from neural cultures or {\\em in vivo} from \nbrain slices, awake behaving animals and even humans. Such data would be a mixture \nof stochastic spiking activities of individual neurons as well as that due to correlated \nactivity of groups of neurons due to interconnections, possibly triggered by external inputs. \nAutomatically discovering patterns (regularities) in these spike trains can lead to better\nunderstanding of how interconnected neurons act in a coordinated manner to generate \nspecific functions. There has been much interest in techniques for analyzing the \nspike data so as to infer functional connectivity or \n the functional relationships within the \nsystem that produced the spikes \n\\cite{Abeles1988,Brillinger1992,Meister1996,Gerstein2004,Brown2004,Kass2005,Feber2007,sasaki2007,Ikegaya2004,Lee2004,SS2006,Pipa2008,FAHB2008}. \nIn addition to contributing towards our \nknowledge of brain function, \nunderstanding of functional relations embedded in spike trains leads to many\napplications, e.g., better brain-machine interfaces. Such an analysis\ncan also ultimately allow us to systematically address the \nquestion, \"is there a neural code?\".\n\nIn this paper, we consider the problem of discovering  {\\em statistically \nsignificant} patterns from multi-neuronal spike train data. The patterns we \nconsider here are ordered firing sequences by a group of neurons with \nspecific time-lags or delays between successive neurons. \nSuch a pattern (when it repeats many times) may denote a chain of \ntriggering events and hence unearthing such patterns from spike data can \nhelp understand the underlying functional connectivity. For example, memory traces are \nprobably embedded in such sequential activation of neurons and signals \nof this form have been found in hippocampal neurons \\cite{Lee2002}. \nSuch patterns of ordered firing sequences with fairly constant delays between \nsuccessive neuronal firings have been observed in many experiments  and there is \nmuch interest in detecting such patterns and assessing their statistical \nsignificance. (See \\cite{Abeles2001,Gerstein2004} and references therein). \n\nHere, we will call patterns of ordered firing sequences as {\\em sequential  \n patterns}. \nSymbolically, we denote such a pattern as, e.g., \n$A \\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$.  \nThis represents the pattern of ordered firing sequence of $A$ followed by $B$ \nfollowed by $C$ with a delay of $T_1$ time units between $A$ \\& $B$ and \n$T_2$ time units between $B$ \\& $C$. (We note here that within any occurrence of such \na firing pattern, there could be spikes by other neurons).  \n Such a pattern of firings may occur repeatedly in the spike train data \nif, e.g., there is an excitatory influence of total delay $T_1$ from $A$ to $B$ and an \nexcitatory influence of delay $T_2$ between $B$ and $C$. In general, the delays \nmay not be exactly constant because synaptic transmission etc. could have some random \nvariations. Hence, in our sequential patterns, we will allow the delays \nto be intervals  of small length. At the least, we can take the length of the \ninterval as the time resolution in our measurements. In general, such patterns can \ninvolve more than three neurons. The {\\em size} of a pattern is the number of \nneurons in it. Thus, the above example is that of a size 3 pattern or a 3-node \npattern.  \n\n One of the main computational methods for detecting \nsuch patterns that repeat often enough,  is due to \n Abeles and Gerstein \\cite{Abeles1988}. This \nessentially consists of sliding the spike train of one neuron with respect to \nanother and noting coincidences at specific delays. There are also some recent \nvariations of this method \\cite{Tetko2001a,Tetko2001b}. Most of the current \nmethods for detecting such patterns essentially use correlations among time-shifted \nspike trains (and some statistics computed from the correlation counts),  \nand these are computationally expensive when \n detecting large-size (typically greater than 4)  \npatterns \\cite{Gerstein2004}. Another approach to detecting \nsuch ordered firing sequences is considered in \\cite{Lee2004,SS2006} while analyzing \nrecordings from hippocampal neurons. Given a specific ordering on a set of neurons, they \nlook for longest sequences in the data that respect this order. This is similar to our \nsequential patterns which are somewhat more general because we can also specify different \ndelays between consecutive elements of the pattern. \n\n In this paper we use a method based on some \ntemporal datamining techniques that we have recently proposed \\cite{PSU2008}. \nThis method can automatically detect all sequential patterns whose {\\em frequency}  \nin the data is above a (user-specified) threshold where {\\em frequency} of the pattern \nis maximum number of non-overlapped occurrences\\footnote{We define this notion more \nprecisely in the next section} of the pattern in the spike data. The essence of \nthis algorithm is that instead of trying to count all occurrences of the pattern \nin the data we count only certain well-defined subset of occurrences and this makes \nthe process computationally efficient.  \nThe method is effective in detecting long patterns and it would detect only those \npatterns that repeat more than a given threshold. Also, the method can  \nautomatically decide on the most appropriate delays in each detected pattern by \nchoosing from a set of possible delays supplied by the user. \n (See \\cite{PSU2008} for details). \n\n\nThe main contribution of this paper is a method for assessing the statistical \nsignificance of such sequential patterns. The objective is to have a method \nso that we will detect only those patterns that repeat often enough to be \nsignificant (and thus fix the thresholds for the data mining algorithm automatically). \nWe tackle this issue in a classical hypothesis testing framework. \n\nThere have been many approaches for assessing the significance of detected firing \npatterns \\cite{Abeles2001,Gerstein2004,Lee2004,SS2006,FAHB2008}. \nIn the current analytical approaches, one generally employs a Null hypothesis \nthat the different spike trains are generated by independent processes. \nIn most cases one assumes (possibly inhomogeneous) Bernoulli or  \nPoisson processes. Then one can calculate the probability of observing the given \nnumber of repetitions of the pattern (or of any other statistic derived from such \n counts) under the null hypothesis of independent processes and hence calculate \na minimum number of repetitions needed to conclude that a pattern is significant \n in the sense of being able to reject the null hypothesis. There are also  \n some  empirical approaches suggested for assessing significance \n\\cite{date2001,Abeles2001,Gerstein2004,Nadasdy1999}. \nHere one creates many surrogate data streams from the \nexperimentally observed data by perturbing the individual spikes while keeping \ncertain statistics same and then assessing significance by noting whether or not \nthe patterns are preserved in the surrogate data. There are many possibilities  \n for the perturbations to be imposed to generate  \nsurrogate data \\cite{Gerstein2004}. In these empirical methods also, the implicit \nnull hypothesis assumes independence. \n\n\nThe main motivation for the approach presented here is the following. If a  \n sequential pattern repeats often enough to be significant then \none would like to think that there are strong influences among the \nneurons representing the pattern. However, different (detected) patterns  \nmay represent different \nlevels or strengths of influences among their constituent neurons. Hence it would \nbe nice to have a method of significance analysis that can rank order different \n(significant) patterns in terms some `strength of influence' among the neurons of \nthe pattern. For this, here we propose that the strength of influence of $A$ on $B$ \n is well represented by \nthe conditional probability that $B$ will fire after some prescribed delay given that \n$A$ has fired. We then employ a composite null hypothesis specified through \none parameter that denotes an upper bound on all such pairwise conditional \nprobabilities. Using this we would be able to decide whether or not a given \npattern is significant at various values for this parameter in the null \nhypothesis and thus be able to rank-order different patterns. \n\nThere is an additional and important advantage of the above approach that we propose here. \nOur composite null hypothesis is such that any stochastic model for a set of \nspiking neurons would be in the null hypothesis if all the relevant \npairwise conditional probabilities are below some bound. Since this bound  \n is a parameter that can be \nchosen by the user, the null hypothesis would include not only independent neuron \nmodels but also many models of interdependent neurons where the pair-wise \ninfluences among neurons are `weak'. Hence rejecting such a \nnull hypothesis is more attractive than rejecting a null hypothesis of independence  \nwhen we want to conclude that a significant pattern \nindicates `strong' interactions among the neurons. In this sense, the approach \npresented here extends the currently available methods for significance analysis. \n\nWe analytically derive some bounds on the probability that our counting process would\ncome up with a given number of repetitions of the firing pattern if the data is\ngenerated by any model that is contained in our compound null hypothesis. \n As mentioned earlier, we use the number of non-overlapped occurrences \nof a pattern as our test statistic instead of the total number of repetitions \nand employ a temporal datamining algorithm for counting non-overlapped occurrences of sequential  \n patterns \\cite{PSU2008}. \n This makes our method attractive for discovering significant \npatterns involving large number of neurons also.  \nWe show the effectiveness of the method through extensive simulation experiments \non synthetic spike train data obtained through a model of inter-dependent \nnon-homogeneous Poisson processes.  \n\nThe rest of the paper is organized as follows. In section~\\ref{sec:epi} we give a \nbrief overview of temporal datamining and explain our algorithm for detecting \nsequential patterns whose frequency is above some threshold. The full \ndetails of the algorithm are available elsewhere \\cite{PSU2008,archive-report} and we \nprovide only some details which are relevant for understanding the statistical \nsignificance analysis which is presented in section~\\ref{sec:stat}. \nIn section~\\ref{sec:simu}, \nwe present some simulation results on synthetic spike train data to show the \neffectiveness of our method.  \nWe present results to show that our method \n is  capable of ranking different patterns in terms of the synaptic \nefficacy of the connections. While we confine our attention in this paper to only \nsequential patterns, the statistical method we present can be generalized to \nhandle other types of patterns. We briefly indicate this and conclude the paper \nwith a discussion in section~\\ref{sec:dis}. \n\n\n\n\\section{Frequent Episodes Framework for discovery of sequential patterns}\n\\label{sec:epi}\n\nTemporal datamining is concerned with analyzing symbolic time series data to \ndiscover `interesting' patterns of temporal \ndependencies \\cite{Srivats-survey2005,Morchen2007}. Recently we have proposed \nthat some datamining techniques, based on the so called frequent episodes framework, \nare well suited for analyzing multi-neuronal spike train data \\cite{PSU2008}. \nMany patterns of interest in spike data such as synchronous firings by groups \nof neurons, the sequential patterns explained in the previous section, \nand synfire chains which are a combination of synchrony and ordered firings, can be \nefficiently discovered from the data using these datamining techniques. While \nthe algorithms are seen to be effective through simulations presented in \n\\cite{PSU2008}, no statistical theory was presented there to address the question \nof whether the detected patterns are significant in any formal sense which is the main \nissue addressed in this \npaper.  In this \nsection we first briefly outline the frequent episodes framework and then \nqualitatively describe this datamining technique for discovering frequently \noccurring sequential patterns. \n\nIn the frequent episodes framework of temporal datamining. \n the  data to be analyzed is a sequence of events\ndenoted by $\\langle(E_{1},t_{1}),(E_{2},t_{2}),\\ldots\\rangle$ where $E_{i}$\nrepresents an \\textit{event type} and $t_{i}$ the \\textit{time of occurrence} of\nthe $i^{th}$ event. $E_i$'s are drawn from a finite set of event types, $\\zeta$.\nThe sequence is ordered with respect to time of occurrences of the events so\nthat, $t_i\\le t_{i+1}$,  $\\forall i$. The following is an\nexample event sequence containing 11 events with 5 event types.\n\\begin{small}\n\\begin{equation}\n\\langle(A,1),(B,3),(D,5),(A,5),(C,6),(A,10),(E,15),(B,15),(B,17),(C,18),(C,19)\\rangle\n\\label{eq:data-seq}\n\\end{equation}\n\\end{small}\n\nIn multi-neuronal spike data, the event type of a spike event is the label of the \nneuron\\footnote{or the electrode\nnumber when we consider  multi-electrode array recordings without the\nspike sorting step} which\ngenerated the spike and the event has the associated time of occurrence.\nThe neurons in the ensemble under observation fire action potentials at\ndifferent times, that is, generate spike events. All these spike events are\nstrung together, in time order, to give a single long data sequence as needed for\nfrequent episode discovery. It may be noted that there can be more than one event \nwith the same time because two neurons can spike at the same time.  \n\nThe temporal patterns that we wish to discover in this\nframework are called episodes. In general, episodes are partially ordered \nsets of event types. Here we are only interested in {\\em serial episodes} which \nare totally ordered. \n\nA \\textit{serial episode} is an ordered tuple of event types. For example,\n$(A\\rightarrow B\\rightarrow C)$ is a {\\em 3-node} serial episode. (We also say \nthat the size of this episode is 3). The arrows in this\nnotation indicate the order of the events. Such an episode is said to\n\\textit{occur} in an event sequence if there are  corresponding events in the\nprescribed order in the data sequence.\nIn sequence (\\ref{eq:data-seq}), the events\n\\{${(A,1),(B,3),(C,6)}$\\} constitute an occurrence of the\nserial episode $(A\\rightarrow B \\rightarrow C)$ while\nthe events \\{$(B,3), (C,6), (A,10)$\\} do not.\nWe note here that occurrence of an episode does not\nrequire the associated event types to occur consecutively;\nthere can be other intervening events between them.\n\n In the multi-neuronal data, if neuron $A$ makes\nneuron $B$ to fire, then, we expect to see $B$ following $A$ often. However, in\ndifferent occurrences of such a substring, there may be different number of\nother spikes between $A$ and $B$ because many other neurons may also be spiking\nduring this time. Thus, the episode structure allows us to unearth patterns\nin the presence of such noise in spike data.\n\nThe objective in frequent episode discovery is to detect {\\em all} frequent episodes \n(of different lengths) from the data. \nA {\\em frequent episode} is one whose {\\em frequency} exceeds a \n (user specified) {\\em frequency threshold}.\nThe frequency of an episode can be defined in many ways. \nIt is intended\nto capture some measure of how often an episode occurs in an event\nsequence. One chooses a measure of frequency so that frequent episode discovery is\ncomputationally efficient and, at the same time, higher frequency would imply that\nan episode is occurring often.\n\nHere, we define frequency of an episode as the maximum number of non-overlapped  \noccurrences  of the episode in the data stream. \nTwo occurrences of an episode  are\nsaid to be \\textit{non-overlapped} if no event associated with one occurrence appears in\nbetween the events associated with the other. A set of occurrences is \nsaid to be non-overlapped if every pair of occurrences in it \nare non-overlapped. \nIn our example sequence (\\ref{eq:data-seq}), there are two non-overlapped \n occurrences of $A \\rightarrow B \\rightarrow C$ given by the events: \n$( (A,1),(B,3),(C,6))$  and $( (A,10),(B,15),(C,18))$. Note that there are three \ndistinct occurrences of this episode in the data sequence though we can have only a \nmaximum of two non-overlapped occurrences. We also note that \nif we take the occurrence of the episode given by \n$((A,1),(B,15),(C,18))$, then there is no other occurrence that is non-overlapped with this \noccurrence. That is why we define the frequency to be the maximum number of non-overlapped \noccurrences. \n\nThis definition of frequency results in very efficient\ncounting algorithms with some interesting theoretical\nproperties \\cite{Srivats2005,Srivats-kdd07}.  \nIn addition, in the context of our application, counting non-overlapped occurrences seems \nnatural because we would then be looking at chains that happen at\ndifferent times again and again. \n\nIn analyzing neuronal spike data, it is useful to consider\nmethods,\nwhere, while counting the frequency, we include only those occurrences which\nsatisfy some additional temporal constraints. Here we are interested in what we \ncall inter-event time constraint which is specified by giving an interval of \nthe form $(T_{low}, T_{high}]$. The constraint  \n requires that the difference between the times of\n every pair of successive events in any occurrence of a serial episode\nshould be in this interval.  In  general, we may have\ndifferent time intervals for different pairs of events in each serial episode. \nAs is easy to see, a serial episode with inter-event time constraints corresponds \nto what we called a {\\em sequential pattern} in the previous section. These are \nthe temporal patterns of interest in this paper. \n\nThe inter-event time constraint allows us to take care of delays involved in the process \nof one neuron influencing another through a synapse. Suppose \nneuron $A$ is connected to neuron $B$ which, in turn, is connected to neuron $C$,  \nthrough excitatory connections with delays $T_1$ and $T_2$ respectively. Then, we should be \ncounting only those occurrences of the episode $A\\rightarrow B \\rightarrow C$, where the \ninter-event times satisfy the delay constraint. This would be the sequential pattern \n$A\\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$. In general, the inter-event \nconstraint could be an interval. \nOccurrences of such serial episodes with inter-event constraints in spike data are shown schematically \nin fig.~\\ref{fig:ser-epi-fig}\n\n\\begin{figure}\n\\centering\n\\includegraphics[scale=1.0]{figs\/serial-pattern.eps}\n\\caption{ A schematic showing two occurrences of the sequential pattern \n$A\\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$ in the spike trains from \nneurons $A, B, C, D$. A small interval (usually 1 ms) is shown around the second and third spike \nto indicate possible variation in the delay. Note that within the duration of one occurrence \nof the pattern there may be other intervening spikes (from any of the neurons). }\n\\label{fig:ser-epi-fig}\n\\end{figure}\n\n \n\nIn any occurrence of the episode or \nsequential pattern, we call the difference between the times of the first and last \nevents as its {\\em span}. The span would be the total of all the delays. \nIf, in the above episode, \nthe span of all occurrences would be $T_1 + T_2$ and hence we may call it the span \nof the episode. If the inter-event time \nconstraints are intervals then the span of different occurrences could be different.   \n\n\nThere are efficient algorithms for discovering all frequent serial episodes with specified \ninter-event constraints \\cite{PSU2008}.  \nThat is, for discovering all episodes whose frequency (which \nis the number of non-overlapped occurrences of the episode) is above a given threshold.  \n\n{\\em Conceptually, the algorithm does the following}. \n Suppose, we are operating at a time resolution of $\\Delta T$. (That is, \n the times of  of events \nor spikes are recorded to a resolution of $\\Delta T$). \nThen we discretize the time axis into intervals of length $\\Delta T$.\n Then, for each episode whose frequency we want to find we \ndo the following. Suppose the episode is the one mentioned above. \nWe start with time instant 1. We check to see whether there is an \noccurrence of the episode starting from the current instant. For this, we need an $A$ at that \ntime instant and then we need a $B$ and a $C$ within appropriate time windows. If there \nare such $B$ and $C$, then we take the earliest  of the $B$ and $C$ to satisfy the \ntime constraints, increment the counter for the episode and start looking for the occurrence \nagain starting with the next time instant (after $C$). On the other hand, \nif we can not find such an occurrence (either because $A$ does not occur at the \ncurrent time instant or because there are no $B$ or $C$ at appropriate times following \n$A$), then we move by one time instant and start the search again. \n\nThe actual search process would be very inefficient if \nimplemented as described above. The algorithm itself does the search in a much more \nefficient manner.  There are two issues that the algorithm needs to address. Since, \na priori, we do not know what patterns to look for, we need to make a reasonable \nlist of candidate patterns and then obtain their frequencies so as to output only \nthose patterns whose frequency exceeds the preset threshold. The second issue is that \nin obtaining frequencies, the algorithm is required to count the frequencies of \nnot one but a set of candidates in one pass through the data  \n and we need to do this efficiently. \nIn generating the candidates, we need to tackle the combinatorial explosion \nbecause all possible serial episodes of a given size increases exponentially \nwith the size.  \nThis is tackled using an iterative procedure that is popular \nin datamining. To understand this, consider our example 3-node pattern \n $A\\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$. This can not \nbe frequent unless certain 2-node {\\em subepisodes} of this, namely, \n$A\\stackrel{T_1}{\\rightarrow} B$ and  $B \\stackrel{T_2}{\\rightarrow} C$ are \nfrequent. (This is because any two non-overlapped occurrences of the 3-node pattern \nalso gives us two non-overlapped occurrences of the two 2-node patterns mentioned \nabove).  Thus, we should allow this 3-node episode to be a candidate only if \nthe appropriate 2-node episodes are already found to be frequent. Based on this \nidea, we have the following structure for the algorithm. \n We first get frequent 1-node episodes which are then used to make candidate 2-node \nepisodes. Then, by one more pass over data, we find frequent 2-node episodes which are \nthen used to make candidate 3-node episodes and so on.  \nSuch a technique is quite effective in controlling combinatorial explosion and \n the number of candidates comes down drastically as the size increases. This is because, \nas the size increases, many of the combinatorially possible serial episodes of that \nsize would not be frequent.  This allows \nthe algorithm to find large size frequent episodes efficiently. \n At each stage of this process, we count frequencies \nof not one but a whole set of candidate episodes \n(of a given size) through one sequential pass over \nthe data. We do not actually traverse the time axis in time ticks once for each \npattern  whose occurrences we want to count. We traverse the \ntime-ordered data stream. As we traverse the data we remember enough from the data stream to \ncorrectly take care of all the occurrence possibilities of all episodes in the candidate set \nand thus compute all the frequent episodes of a given size through one pass over the data.  \nThe complete details of the algorithm are available in \\cite{PSU2008}. \n\n\n\n\n\\section{Statistical Significance of Discovered Episodes or Serial Firing Patterns}\n\\label{sec:stat}\n\nIn this section we address the issue of the statistical significance of the \nsequential patterns discovered by our algorithm. \nThe question is when are the discovered  \nepisodes significant, or, equivalently, what frequency threshold should we choose \nso that all discovered frequent episodes would be statistically significant. \n\nTo answer this question we follow a classical hypothesis testing framework. \nIntuitively we want significant sequential patterns to represent a \nchain of strong interactions among those neurons. \nSo, we have to essentially choose a {\\em null hypothesis} that asserts\nthat there is no `{\\em structure}' or `{\\em strong influences}' \nin the system of neurons generating the data. Also, as mentioned earlier, we want the \nnull hypothesis to contain a parameter that allows us to specify what we mean \nby saying that the influence one neuron has on another is not `strong'. \n\n\nFor this, we capture the strength of interactions among \nthe neurons in terms of conditional probabilities. Let  \n$e_s(A, B, T)$ denote the conditional probability that $B$ fires in a time \ninterval $[T, T + \\Delta T]$ given that $A$ fired at time zero.  $\\Delta T$ is \n essentially the time resolution at which we operate. \n(For example, $\\Delta T$ = 1ms). Thus, \n$e_s(A, B, T)$ is essentially, the conditional probability \nthat $B$ fires $T$ time units after $A$.\\footnote{For the analysis,  \nwe think of the delay, $T$, as a constant. However, in practice our method \ncan easily take care of the case where  \nthe actual delay is uniformly distributed over a small interval with \n$T$ as its expected value.}  If there is a strong excitatory  \nsynapse of delay $T$ between $A$ and $B$, then this conditional probability would be \nhigh. On the other hand if $A$ and $B$ are independent, then, this \nconditional probability is the same as the unconditional probability of $B$ firing \nin an interval of length $\\Delta T$.  We denote the \n(unconditional) probability that a neuron, $A$, \nfires in any interval of length $\\Delta T$ by $\\rho_A$. \n(For example, if we take $\\Delta T = 1ms$ and that\nthe average firing rate of $B$ is 20Hz, then $\\rho_B$ would be\nabout 0.02).  \n\nThe main assumption we make is that the conditional probability $e_s(A,B,T)$ is \nnot a function of time. That is, the conditional probability of $B$ firing at least \nonce in an interval $[t+T, \\ t+T+\\Delta T]$ given that $A$ has fired at $t$ \n is same for all $t$ within the \ntime window of the observations (data stream) that we are analyzing. We think this  \nis a reasonable assumption and some recent analysis of spike trains from \n neural cultures suggests that such an assumption is justified  \\cite{Feber2007}.\nNote that this assumption does not\nmean we are assuming that the firing rates of neurons are not time-varying. As a matter\nof fact, one of the main mechanisms by which this conditional probability is realized\nis by having a spike from $A$ affect the rate of firing by $B$ for a short duration\nof time. Thus, the neurons would be having time-varying firing rates even when the\nconditional probability is not time-varying. Essentially, the constancy of\n$e(A,B,T)$ would only mean that every time $A$ spikes, it has the same chance of\neliciting a spike from $B$ after a delay  of $T$. Thus our assumption only\nmeans that there is no appreciable change in synaptic efficacies during the period\n in which the data being analyzed  is gathered. \n\n\nThe intuitive idea behind our null hypothesis is that the conditional probability \n$e_s(A,B,T)$ is a good indicator of the `strength of interaction' between $A$ and \n$B$. For inferring functional connectivity from repeating sequential patterns, \nthe constancy of delays (between spikes by successive neurons) in multiple \nrepetitions is important. That is why we defined the conditional probability with \nrespect to a specific delay. Now, an assertion that the interactions \namong neurons is `weak' can \nbe formalized in terms of an upper bound on all such conditional probabilities. \nWe formulate our composite null hypothesis as follows. \n\n{\\em Our composite null hypothesis includes all models of interacting neurons for which \nwe have $e_s(x, y, T) < e_0$ for all pairs of neurons $x, y$ and for a set of \nspecified delays $T$, where $e_0$ is a fixed user-chosen number in \nthe interval $(0, \\ 1)$.}\n \nThus all models of inter-dependent neurons where the probability of $A$ causing \n$B$ to fire (after a  delay) is less that $e_0$,  \nwould be in our Null hypothesis. The actual mechanism by which spikes from $A$ affect \nthe  firing by $B$ is immaterial to us. Whatever may be this mechanism \nof interaction, if the resulting conditional probability is less than $e_0$, then that \nmodel of interacting neurons would be in our null hypothesis.\\footnote{We note here \n that this conditional probability is well defined whether or not the two \nneurons are directly connected. If they are directly connected then \n$T$ could be taken as a typical delay involved in the process; otherwise it can be taken as some \nintegral multiple of such delays. \n In any case, our interest is in deciding on the significance \nof sequential patterns with some given values for $T$.}  The user specified number, $e_0$, \n formalizes what we mean by interaction among neurons is strong. If $A$ and $B$ are \nindependent then this conditional probability is same as $\\rho_B$. As mentioned \nearlier, if $\\Delta T = 1ms$ and average firing rate for $B$ as 20 Hz, \nthen $\\rho_B=0.02$. So, if we choose $e_0=0.4$, it means that we agree to call the \ninfluence as strong if the conditional probability is 20 times what it would be if \nthe neurons are independent.  By having different values for $e_0$ in the null \nhypothesis, we can ask what patterns are significant at what value of $e_0$ and thus \nrank-order patterns. \n\nNow if we are able to reject this Null hypothesis then it is \nreasonable to assert that the episode(s) \ndiscovered would  indicate `strong' interactions among the appropriate neurons. \nThe `strength' of interaction is essentially chosen by us in terms of the \nbound $e_0$ on the conditional probability in our null hypothesis. \n\n\n\n\n\n\n\n\nWe now present a method for \n bounding the probability that the frequency (number \nof non-overlapped occurrences) of a given serial episode with inter-event constraints \nis more than a given threshold under the null hypothesis. To do this, we first compute \nthe expectation and variance (under the null hypothesis) \nof the random variable representing the  number of \nnon-overlapped  occurrences of a serial episode with inter-event constraints  \n by using the following stochastic model. \n\n\n Let $\\{X_i, \\ i=1,2,\\ldots \\}$ be {\\em iid} random \nvariables with distribution given by\n\\begin{eqnarray}\nP[X_i = T] &=&  p \\nonumber \\\\\nP[X_i = 1] &=& 1 - p \n\\label{eq:xi}\n\\end{eqnarray}\nwhere $T$ is a fixed constant (and $T>1$). Let $N$ be a random variable defined by \n\\begin{equation}\nN = \\min\\: \\{ n \\: : \\: \\sum_{i=1}^n X_i \\geq L\\}\n\\label{eq:N}\n\\end{equation}\nwhere $L$ is a fixed constant. \n\nLet the random variable $Z$ denote the number of $X_i$'s out of the first $N$ \nwhich have value $T$. Define the random variable $M$ by\n\\begin{eqnarray}\nM &=& Z \\ \\ \\mbox{~if~} \\ \\  \\sum_{i=1}^N X_i = L \\nonumber \\\\\nM &=& Z - 1 \\ \\ \\mbox{~if~} \\ \\  \\sum_{i=1}^N X_i > L \n\\label{eq:M}\n\\end{eqnarray}\n\nAll the random variables, $N, Z, M$ depend on the parameters $L, T, p$. When it \nis important to show this dependency we write $M(L, T, p)$ and so on. \n\nNow we will argue that $M(L,T,p)$ is the random variable representing \n the number of non-overlapped occurrences of an episode where $T$ is the span \n (or sum of all delays) of the episode and $L$ is the length of data (in \nterms of time duration). We would fix $p$ based on the bound $e_0$ in our null hypothesis \nas explained below. \n\n\\begin{figure}\n\\centering\n\\includegraphics[scale=0.5,clip]{figs\/count.ps}\n\\caption{ A schematic of the counting process for non-overlapped occurrences \nof the episode $A\\stackrel{T}{\\rightarrow}B$ superimposed on the spike trains \nfrom neurons $A$ and $B$. In the yellow region there are no occurrences of the pattern \nstarting with that time instant and the counting scheme moves forward by one time step. \nIn the blue region there is an occurrence and the counting process moves by $T$ time steps. \nThe random variables $X_i$, defined by eq.~(\\ref{eq:xi}), capture the evolution of the \ncounting process}  \n\\label{fig:counting}\n\\end{figure}\n\n\nConsider an episode $A \\stackrel{T}{\\rightarrow} B$ with an inter-event \n time constraint (or  delay)  \nof  $T$. Now, the sequence $X_i$ essentially captures the counting \nprocess of our algorithm. A schematic of the counting process (as relevant for this discussion) \nis shown in fig.~\\ref{fig:counting}. As explained earlier, the algorithm can be viewed \nas traversing a {\\em discretized} time axis in steps of $\\Delta T$, \nlooking for an occurrence of the episode \nstarting at each time instant.  At each time instant (which, on the discretized \ntime axis corresponds to an interval of length $\\Delta T$),  \nlet $q_1$ denote the probability of spiking by $A$ and let $q_2$ denote the \nconditional probability that $B$ generates a spike  $T$ instants later \ngiven that $A$ has spiked now. In terms of our earlier notation, $q_1 = \\rho_A$, \n$q_2 = e_s(A,B,T)$. \nThus, at any instant, $q_1q_2$ denotes the probability \nof occurrence of the episode starting at that instant. Now, in eq.(\\ref{eq:xi}) let \n$p=q_1q_2 (= \\rho_A  e_s(A, B, T))$. Then $p$ represents the probability that this \nepisode occurs starting with any given time instant.\\footnote{We note here that we actually \ndo not know this $p$ because we do not know the exact value for $e_s(A,B,T)$. But \nfinally we would bound the relevant probability by using $e_0$ to bound \n$e_s(A,B,T)$.}  \nLet $L$ in eq.(\\ref{eq:N}) denote the data length (in time units). Then the sequence, \n$X_1, X_2, \\ldots, X_N$,  represents our counting process. If, at the \nfirst instant there is an occurrence of the episode starting at that instant then \nwe advance by $T$ units on the time-axis and then look for another occurrence (since \nwe are counting non-overlapped occurrences); if there is no occurrence starting at the \nfirst instant then we advance by one unit and look for an occurrence. \nAlso,  whether or not there is \nan occurrence starting from the current instant is independent of how many occurrences are \ncompleted before the current instant (because we are counting only non-overlapped \noccurrences). \nSo, the counting process is well captured by accumulating the $X_i$'s defined above \ntill we reach the end of data. Hence $N$ captures the number of such $X_i$ that \nwe accumulate because $L$ is the data length in terms of time. \n Since $X_i$ take values $1$ or $T$, the \nonly way $\\sum X_i$ exceeds $L$ is if the last $X_i$ takes value $T$ which in turn \nimplies that when we reached end of data we have a partial occurrence of the episode. In \nthis case the total number of completed  occurrences is one less than the number \nof $X_i$ (out of $N$) that take value $T$. If the last $X_i$ has taken value 1 (and \nhence the sum is equal to $L$) then the number of completed  occurrences is equal to \nthe number of $X_i$ that take value $T$. Now, it is clear that $M$ is the \nnumber of non-overlapped occurrences counted. \n\nIt is easy to see that the model captures counting of episodes of arbitrary length also. \nFor example, if our episode is \n$A \\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$ then $T$ is eq.(\\ref{eq:xi}) \nwould be $T_1+T_2$ and $p$ would be $\\rho_A e_s(A,B,T_1) e_s(B,C,T_2)$.\\footnote{Here we are \n assuming that firing of $C$ after a delay of $T_2$ from $B$, conditioned on \nfiring of $B$,  is conditionally \nindependent of earlier firing of $A$. Since our objective is \nto unearth significant triggering chains, this is a reasonable assumption. Also, this allows \nus to capture the null hypothesis with a single parameter $e_0$. We discuss this further \nin section~\\ref{sec:dis}.}\n Suppose in a $n$-node episode the conditional probability \nof $j^{\\mbox{th}}$ neuron firing (after the prescribed delay) given that the previous \none has fired,   is equal to $e_s^j$. Let the successive delays be \n$T_i$. Let the (unconditional) probability of the first neuron (of the episode) \nfiring at any instant (that is, in any interval of length $\\Delta T$) is $\\rho$. \nThen we will take (for the $n$-node episode) $p=\\rho \\Pi_{j=2}^{n}(e_s^j)$ and $T= \\sum T_i$. \n\n\n\n\n\\subsection{ Mean and Variance of $M(L, T, p)$} \n\nNow, we first derive some recurrence relations to calculate the mean and variance of \n$M(L, T, p)$ for a given episode. Fixing an episode fixes the value of $p$ and $T$. \nLet $F(L,T,p) = E\\:M(L,T,p)$ where $E$ denotes expectation. \nWe can derive a recurrence relation for $F$ as follows.\n\n\\begin{eqnarray}\nE\\:M(L,T,p) & = & E\\: \\left[\\; E\\: [ M(L,T,p) \\; | \\; X_1 ] \\; \\right] \\nonumber \\\\\n & = & E\\: [M(L,T,p) \\; | \\; X_1 =1] (1-p) \\; + \\: E[M(L,T,p) \\; | \\; X_1 \\neq 1] p \\nonumber \\\\\n& = & (1-p) E\\:[M(L-1, T, p)] \\: + \\: p ( 1 \\: + \\: E[M(L-T, T,p)] ) \\nonumber \\\\\n& & \n\\end{eqnarray}\n\nIn words what this says is: if the first $X_i$ is $1$ (which happens with probability $1-p$), \nthen the expected number of occurrences is same as those in data of length $L-1$; on \nthe other hand, if first $X_i$ is not $1$ (which happens with probability $p$) then \nthe expected number of occurrences are 1 plus the expected number of occurrences in \ndata of length $L-T$. \n\nHence our recurrence relation is:\n\\begin{equation}\nF(L,T,p) = (1-p) F(L-1, T, p) + p ( 1 + F(L-T, L, p))\n\\label{eq:rec1}\n\\end{equation}\nThe boundary conditions for this recurrence are:\n\\begin{equation}\nF(x,y,p) = 0, \\ \\ \\mbox{if} \\ \\ x < y \\ \\ \\mbox{and} \\ \\  \\forall p.\n\\label{eq:bd-cn}\n\\end{equation}\n\n\nLet $G(L,T,p) = E[M^2(L,T,p)]$. That is $G(L,T,p)$ is the second moment of $M(L,T,p)$. \nUsing the \nsame idea as in case of $F$ we can derive recurrence relation for $G$ as follows. \n\\begin{eqnarray}\nE\\:[M^2(L,T,p)] & = & E\\: \\left[ E\\: [ M^2(L,T,p) \\; | \\; X_1 ] \\right] \\nonumber \\\\\n & = & E\\: [M^2(L,T,p) \\; | \\; X_1 =1] (1-p) \\; \\nonumber \\\\ \n  & & \\ \\ \\ \\ \\ \\ \\ \\ \\ \\ + \\: E[M^2(L,T,p) \\; | \\; X_1 \\neq 1] p \\nonumber \\\\\n& = & (1-p) E\\:[M^2(L-1, T,p)] \\: + \\: p E( 1 \\: + \\: M(L-T, T,p) )^2 \\nonumber \\\\\n& = & (1-p) E\\:[M^2(L-1, T,p)] \\: + \\nonumber \\\\ \n  & &  \\ \\ \\ \\ \\ \\ \\ \\ \\ \\  \\: p E( 1 \\: + \\: M^2(L-T, T,p) \\: + \\: 2 M(L-T, T,p)) \\nonumber \\\\ \n& & \n\\end{eqnarray}\nThus we get\n\\begin{equation}\nG(L,T,p) = (1-p) G(L-1, T,p) \\: + \\: p(1 \\: + \\: G(L-T, T,p) \\: + \\: 2 F(L-T, T,p))\n\\label{eq:var-rec1}\n\\end{equation}\n\nSolving the above, we get the second moment of $M$. Let, $V(L,T,p)$ be the \nvariance of $M(L,T, p)$. Then we have \n\\begin{equation}\nV(L,T,p) = G(L,T,p) \\: - \\: (F(L,T,p))^2 \n\\label{eq:var}\n\\end{equation}\n\n\nOnce we have the mean and variance we can bound the probability that the number \nof non-overlapped occurrences is beyond something. For example, we can use \nChebyshev inequality as\n\\begin{equation}\n\\mbox{Pr}\\left[|M(L.T,p) - F(L,T,p)| > k \\sqrt{V(L,T,p)}\\right] \\leq \\frac{1}{k^2}\n\\label{eq:cheb}\n\\end{equation}\nfor any positive $k$. \\footnote{This may be a loose bound. We may get better bounds by \nusing central limit theorem based arguments. But for our purposes here, this \nis not very important. Also, as we shall see from the empirical results \npresented in the next section, this bound seems to be adequate}. \nSuch bounds can be used for test of statistical significance as explained below. \n\n\\subsection{ Test for statistical significance} \n\nSuppose we are considering $n$-node episodes. Let the allowable Type I error for \nthe test be $\\epsilon$. Then what we need is a threshold, say, $m_{th}$ for \nwhich we have \n\\begin{equation}\n\\mbox{Pr}_n\\left[f_{epi} \\geq  m_{th} \\right] \\leq \\epsilon,  \n\\label{eq:test1}\n\\end{equation}\nwhere $f_{epi}$ is the frequency of any $n$-node episode and \n$\\mbox{Pr}_n$ denotes  probability under the null hypothesis models. \n\nThis would imply that if we find a $n$-node episode with frequency greater than \n$m_{th}$ then, with $(1 - \\epsilon)$ confidence we can reject our null hypothesis \nand hence assert that the discovered episode represents `strong' interactions    \namong those neurons. \n\nNow the above can be used for assessing statistical significance of any \nepisode as follows. Suppose \nwe are considering an $n$-node (serial) episode. Let the first node of this episode \nhave event type $A$. (That is, it corresponds to neuron $A$). Let $\\rho_A$ be the probability \nthat $A$ will spike in any interval of length $\\Delta T$. (We will fix $\\Delta T$ by \nthe time resolution being considered). \nLet $\\epsilon$ be the prescribed confidence level. Let $k$ be such that \n$k^2 \\geq \\frac{1}{\\epsilon}$. Fix $p= \\rho_A (e_0)^{n-1}$. Let $T$ be the sum of all inter-event \ndelay times in the episode. Let $L$ be the total length of data (as time span in units \nof $\\Delta T$).  \n\nOur null hypothesis is that the conditional probability for any pair of neurons \nis less than $e_0$. Further, our random variable $M$ is such that its probability \nof taking higher values increases monotonically with $p$. \nHence, with the above $p$, the probability of $M(L,T,p)$ being greater than any value \nis an upper bound on the probability of the episode frequency being greater than \nthat value under any of the models in our null hypothesis. \n\nThus, a threshold  for significance \nis $m_{th} = F(L,T,p) + k \\sqrt{V(L,T,p)}$ because, from \neq.~(\\ref{eq:cheb}) we have \n\\begin{equation}\n\\mbox{Pr}\\left[M(L.T,p) \\geq  F(L,T,p) + k \\sqrt{V(L,T,p)}\\right] \\leq \\frac{1}{k^2} \\leq \n\\epsilon. \n\\label{eq:cheb1}\n\\end{equation}\n\nThough we do not have closed form expressions for $F$ and $V$, using our recurrence \nrelations, we can calculate $F(L,T,p)$ and $V(L,T,p)$ for any given values of \n$L,T,p$ and hence can calculate the above threshold. \nThe only thing unspecified for this calculation is how do we get $\\rho_A$. \nWe can obtain $\\rho_A$ by either estimating \nthe average rate of firing for this neuron from the data or from other prior knowledge. \n\nThus, we can use \neq.~(\\ref{eq:cheb1}) either for assessing the significance of a specific \n$n$-node episode or for fixing a threshold of any $n$-node episode in our datamining \nalgorithm. In either case, this allows us to deduce the `strong connections' (if any) \nin the neural system being analyzed by using our datamining method. \n\nWe can summarize the the test of significance as follows. Suppose the allowed type-I error \nis $\\epsilon$. We choose integer $k$ such that $\\epsilon < \\frac{1}{k^2}$. Suppose we want \nto assess the significance of a n-node sequential pattern with the total delay being $T$ \nbased on its count. Suppose $e_0$ is the bound we \nuse in our null hypothesis. Let $L$ be the total data length in time units. Let $\\rho$ be \nthe average firing rate of the first neuron in the data. Let $p=\\rho (e_0)^{n-1}$. We calculate \n$F(L,T,p)$ and $V(L,T,p)$ using (\\ref{eq:rec1}), (\\ref{eq:var-rec1}) and (\\ref{eq:var}). Then \nthe pattern is declared significant if its count \n exceeds $F(L,T,p) + k \\sqrt{V(L,T,p)}$.\\footnote{This threshold for a pattern to be significant \ndepends on the size of the pattern with smaller size patterns needing higher count to be \nsignificant, as is to be expected. This also adds to the efficiency of our data mining algorithm for \ndiscovering sequential patterns. In the level-wise procedure described earlier, we would have higher \nthresholds for smaller size patterns thus further mitigating the combinatorial explosion in \nthe process of frequent episode discovery.} \n\n\n{\\em We like to emphasize that the threshold frequency (count)  given above for an episode \nto be significant (and hence represent strong interactions) is likely to be larger \nthan that needed. This is because it is obtained through a Chebyshev bound which \nis often loose.}\nThus, for example, if we choose $e_0=0.4$ then some strong connections which \nmay result in the effective conditional probability value of up to 0.5  may \nnot satisfy the test of significance at a particular significance level. This, in \ngeneral, is usual in any hypothesis testing framework. In practice, we found that \nwe can very accurately discover all connections whose strengths in terms of the \nconditional probabilities are about 0.2 more than $e_0$ at 5\\% confidence level. \nAt $\\epsilon = 0.05$, the threshold is about 4.5 standard deviations above the \nmean. In a specific application, for example, if we feel that three standard \ndeviations above the mean is a good enough threshold, then correspondingly we will \nbe able to discover even those connections whose effective conditional probability \nis only a little above $e_0$. \n\nThis test of significance allows us to rank order the discovered patterns. For this, \nwe run our datamining method with \ndifferent thresholds corresponding to different $e_0$ values. Then, by looking at the \nsets of episodes found at different $e_0$ values, we can essentially rank order \nthe strengths of different connections in the underlying system. Since any manner of \nassigning numerical values to strengths of connections is bound to be somewhat arbitrary, \nthis method of rank ordering different connections in terms of strengths can be much \nmore useful in analyzing microcircuits.  \n\nWe illustrate all these through our simulation experiments in section~\\ref{sec:simu}. \n\n\\subsection{Extension to the model}\n\nSo far in this section we have assumed that the individual  delays and hence \nthe span of an episode, $T$, to be constant. In practice, even if delay is \nrandom and varies over a small interval around $T$, the threshold we calculated \nearlier would be adequate. In addition to this, it is possible to  \n extend our model to take care of some random variations \nin such delays. \n\nSince we have assumed that $\\Delta T$ is the time resolution at which we are working, \nit is reasonable to assume that the  delay $T$ is actually specified in units of \n$\\Delta T$. Then we can think of the delay as a random variable taking \nvalues in a set $\\{ T-J, \\; T-J+1, \\; \\cdots, T+J \\}$ where $J$ is a small (relative to T) \ninteger. For example, suppose the delay is uniformly   \ndistributed over $\\{ T-1, \\; T, \\; T+1 \\}$. \n Now we can change our model as follows:\n\n The $\\{X_i, \\ i=1,2,\\ldots \\}$ will now be {\\em iid} random \nvariables with distribution \n\\begin{eqnarray}\n\\mbox{Prob}[X_i = 1]  & = &  1 - p \\nonumber \\\\\n\\mbox{Prob}[X_i = T-1]  =    \n\\mbox{Prob}[X_i = T]  = \n\\mbox{Prob}[X_i = T+1]  &=&  \\frac{p}{3} \\nonumber \n\\label{eq:xi-new}\n\\end{eqnarray}\nwhere we now assume that $T > 2$. \n\nWe will define $N$ as earlier by eq.~(\\ref{eq:N}). We will now define $Z$ as the number \nof $X_i$ out of first $N$ that {\\bf do not} take value 1. In terms of this $Z$, we \nwill define $M$ as earlier by eq.~(\\ref{eq:M}). \n\nNow it is easy to see that our $M(L,T,p)$ would again be the random variable \ncorresponding to number of non-overlapped occurrences in this new scenario where \nthere are random variations in the  delays. Now the recurrence relation for \n$F(L,T,p)$ would become   \n\\begin{eqnarray}\nF(L,T,p) &=& (1-p) F(L-1, T, p) + \\nonumber \\\\\n & & \\hspace*{-1.5cm} p \\left( 1 + \\frac{1}{3}(F(L-T+1, L, p)+F(L-T, L, p) + F(L-T-1, L, p))\\right) \\nonumber \\\\\n& & \n\\label{eq:rec1-ex}\n\\end{eqnarray}\n\nThe recurrence relation for variance of $M(L,T,p)$ can also be similarly derived. Now, we can \neasily implement the significance test as derived earlier. While the recurrence relations \nare a little more complicated, it makes no difference to our method of significance \nanalysis because these recurrence relations are anyway to be solved numerically. \n\nIt is easy to see that this method can, in principle, take care of any distribution of the \ntotal  delay (viewed as a random variable taking values in a finite set) by \nmodifying the recurrence relation suitably. \n\n\n\\section{Simulation Experiments}\n\\label{sec:simu}\n\n\nIn this section we describe some simulation experiments to show the effectiveness of \nour method of statistical significance analysis. We show that our stochastic model \nproperly captures our counting process and that the frequency threshold we calculate \nis effective for separating connections that are `strong' (in the sense of  \nconditional probabilities). We also show \nthat our frequency can properly rank order the strengths of connections \nin terms of conditional probabilities. As a matter of fact, our results provide good \njustification for saying that conditional probabilities provide a very good scale \nfor denoting connection strengths. For all our experiments we choose synthetically \ngenerated spike trains. This is  because then we know the ground truth about \nconnection strengths and hence can test the validity of our statistical theory. \nFor the simulations we use a data generation scheme \nwhere we model the spiking of each neuron as an inhomogeneous Poisson process on \nwhich is imposed an additional constraint of refractory period. (Thus the actual \nspike trains are not truly Poisson even if we keep the rate fixed). \nThe inhomogeneity in the Poisson process are due to\n the instantaneous firing rates being modified based on total \ninput spikes received by a neuron through its synapses. \n\nWe have shown elsewhere \\cite{PSU2008,archive-report} that our datamining algorithms \nare very efficient in discovering interesting patterns of firings from spike \ntrains and that we can discover patterns of more than ten neurons also. Since in this \npaper the focus is on statistical significance of the discovered patterns, we would \nnot be presenting any results for showing the computational efficiency of the method. \n\n\\subsection{Spike data generation}\n\nWe use a simulator for generating the spike data from a network of interconnected \nneurons. Let $N$ denote the number of neurons in the network. The spiking of each \nneuron is modelled as an inhomogeneous Poisson process whose rate of firing is \nupdated at time intervals of $\\Delta T$. (We normally take $\\Delta T$ to be 1ms). \nThe neurons are interconnected by synapses and each synapse is characterized by \na delay (which is in integral multiples of $\\Delta T$)  and a weight which is a \nreal number. All neurons also have a refractory period. The rate of the Poisson \nprocess is varied with time as follows.\n\\begin{equation}\n\\lambda_j(k) = \\frac{K_j}{1 + \\exp{(-I_j(k) + d_j)}}\n\\label{eq:lambda-update}\n\\end{equation}\nwhere $\\lambda_j(k)$ is the firing rate of $j^{th}$ neuron at time $k \\Delta T$, \n and $K_j, d_j$ are two parameters.  \n $I_j(k)$ is the total input into $j^{th}$ neuron at time $k \\Delta T$ and it is \ngiven by\n\\begin{equation} \nI_j(k) = \\sum_i O_i(k) w_{ij}\n\\label{eq:input}\n\\end{equation}\nwhere $O_i(k)$ is the output of $i^{th}$ neuron  (as seen by\nthe $j^{th}$ neuron) at time $k \\Delta T$\n and $w_{ij}$ is the weight of synapse from $i^{th}$ to $j^{th}$ neuron.\n$O_i(k)$ is taken to be the number of spikes by the $i^{th}$ neuron in the time\ninterval $(\\;(k-h_{ij}-1) \\Delta T, \\ (k-h_{ij}) \\Delta T]$ where $h_{ij}$ represents the\n delay (in units of $\\Delta T$) for the synapse from $i$ to $j$.\nThe parameter $K_j$ is chosen based on the dynamic range of firing rates that we \nneed to span. The parameter $d_j$ determines the `background' spiking\nrate, say,  $\\lambda_{0j}$. This is the firing rate of the $j^{th}$ neuron \nunder zero input. After choosing a suitable value for  $K_j$, \nwe fix the value of $d_j$ based on this \nbackground firing rate specified for each neuron. \n\nWe first build a network that has many random interconnections with low weight values \nand a few strong interconnections with large weight values. We then generate spike \ndata from the network and show how our method can detect all strong connections. \nTo build the network we specify the background firing rate (which we normally keep \nsame for all neurons) which then fixes the value of $d_j$ in (\\ref{eq:lambda-update}). \nWe specify all weights in terms of conditional probabilities. Given a conditional \nprobability we first calculate the needed instantaneous firing rate so that probability \nof at least one spike in the $\\Delta T$ interval is equal to the specified \nconditional probability. Then, using (\\ref{eq:lambda-update}) and \n(\\ref{eq:input}), \nwe calculate the value of $w_{ij}$ needed so that the receiving neuron ($j$)  \nreaches this instantaneous rate given that the sending neuron ($i$) spikes once \nin the appropriate interval and assuming that input into the receiving neurons from \nall other neurons is zero. \n\nWe note here that the background firing rate as well as the effective conditional \nprobabilities in our system would have some small random variations. As said above, \nwe fix $d_j$ so that on zero input the neuron would have the background firing rate. \nHowever, all neurons would have synapses with randomly selected other neurons and \nthe weights of these synapses are also random. Hence, even in the absence of any \nstrong connections, the firing rates of different neurons keep fluctuating around the \nbackground rate that is specified. Since we choose random weights from a zero mean \ndistribution, in an expected sense we can assume the input into a neuron to be \nzero and hence the average rate of spiking would be the background rate specified. \nWe also note that the way we calculate the effective weight for a given conditional \nprobability is also approximate and we chose it for simplicity. If we specify \na conditional probability for the connection from $A$ to $B$, then, the method stated \nin the previous paragraph fixes the weight of connection so that the probability of \n$B$ firing at least once in an appropriate interval given that $A$ has fired is equal \nto this conditional probability {\\em when all other input into $B$ is zero}. But since \n$B$ would be getting small random input from other neurons also, the effective \nconditional probability would also be fluctuating around the nominal value specified. \nFurther,  even if the random weights have zero mean, the fluctuations in the \nconditional probability may not have zero mean due to the nonlinear sigmoidal \nrelationship in (\\ref{eq:lambda-update}). The nominal conditional probability \nvalue determines where we operate on this sigmoid curve and  that determines \nthe bias in the excursions in conditional probability for equal fluctuations in either \ndirections in the random input into the neurons. We consider this as a noise in the \nsystem and show that our method of significance analysis is still effective. \n\n  \n\nThe simulator is run as follows. First, for any neuron we fix a fraction (e.g., 25\\%) of \nall other neurons that it is connected to. The actual neurons that are connected to any \nneuron are then selected at random using a uniform distribution. We fix the  delays \nand background firing rates for all neurons. \nWe then assign random weights to \nconnections by choosing uniformly from an interval. In our simulation experiments we \nspecify this range in terms of conditional probabilities. For example suppose the \nbackground firing rate is 20 Hz. Then with $\\Delta T = 1ms$, the probability of \nfiring in any interval of length $\\Delta T$ is (approximately) 0.02. Hence a conditional \nprobability of 0.02 would correspond to a weight value of zero. Then a range of \nconditional probabilities such as $[0.01, \\ 0.04]$ (increase or decrease by a \nfactor of 2 in either direction) would correspond to a weight range around zero. \nAfter fixing these random weights, we incorporate a few strong connections which \nvary in different simulation experiments. These weight values are also specified in \nterms of conditional probabilities. We then generate a spike train by simulating all \nthe inhomogeneous Poisson processes where rates are updated every $\\Delta T$ time instants. \nWe also fix refractory period for neurons (which is same for all neurons).\nOnce a neuron is fired, we will not let it fire till the refractory \nperiod is over. \n\n\n\\subsection{Results}\n\nFor the results reported here we used a network of 100 neurons with the nominal firing rate being \n20 Hz. Each neuron is connected to 25 randomly selected neurons with the effective conditional probability \nof the connection strength ranging over $[0.01, \\ 0.04]$. With 20Hz firing rate and 1ms time resolution, the \neffective conditional probability when two neurons are independent is 0.02. Thus the random connections \nhave conditional probabilities that vary by a factor of two on either side as compared to the independent case. \nWe then incorporated some strong connections among some neurons. For this we put in one 3-node episode, three \n4-node episodes, three 5-node episodes and one 6-node episode with different strengths for the connections. \nThe connection strengths are so chosen so that we have enough number of 3-node and 4-node episodes (as \npossibly subepisodes of the embedded episodes) spanning \nthe range of conditional probabilities from 0.1 to 0.8. All synaptic connections have a delay of 5ms. \nUsing our simulator described earlier, we generated \nspike trains for 20 sec of time duration (during which there are about 50,000 spikes typically), \n and obtained the counts of non-overlapped occurrences  of episodes \nof all sizes using our datamining algorithms. In all results presented below, all statistics are calculated \nusing 1000 repetitions of this simulation. Typically, on a data sequence for 20 Sec duration, the mining \nalgorithms (run on a dual-core Pentium machine) take about a couple of minutes. \n\nAs explained earlier, in our simulator, the rate of the Poisson process (representing the spiking of a \nneuron) is updated every 1ms based on the actual spike inputs received by that neuron. This would, in general, \nimply that many pairs of neurons (especially those with strong connections) are not spiking as independent \nprocesses. Fig.~\\ref{fig:corr} shows this for a few pairs of neurons. The figure shows the cross correlograms \n(with bin size of 1 ms and obtained using 1000 replications) for pairs of neurons that have \n weak connections and for pairs of neurons that have \nstrong connections. There is a marked peakiness in the cross correlogram for neurons with strong interconnections, \nas expected.   \n\n\\begin{figure}\n\\centering\n\\includegraphics[scale=0.75,clip]{figs\/unni-new-fig3.ps}\n\\caption{Normalized cross correlograms (obtained through 1000 replications) for four different pairs of \nneurons. The top two panels show pairs of neurons with weak interconnections while the two bottom panels \nshow neuron pairs with strong interconnections. For neurons pairs in the bottom two panels, the \ncross correlogram shows strong peak.} \n\\label{fig:corr}\n\\end{figure}\n\nFig.~\\ref{fig:acc-3-4-5} shows that our theoretical model for calculating the mean and variance of \nof the non-overlapped count (given by $F$ and $V$ determined through eqns. (\\ref{eq:rec1}) and \n(\\ref{eq:var}) ) are accurate. \nThe figure shows  plot of the mean ($F$) and \nmean plus three times standard deviation ($F+3\\sqrt{V}$) for different values of the connection \nstrength in terms of conditional probabilities ($e_0$), for the different episode sizes. Also shown are  \n the actual counts obtained for episodes of that size with different $e_0$ values. As is \neasily seen, the theoretically calculated mean and standard deviations are very accurate. \nNotice that \nmost of the observed counts are below the $F+k\\sqrt{V}$ threshold for $k=3$ even though this  \ncorresponds to a Type-I error of just over 10\\%. Thus our statistical test with \n$k=3$ or $k=4$ should be quite effective. \n\n\n\\begin{figure}\n\\centering \n\\begin{tabular}{cc}\n\\includegraphics[scale=0.5,clip]{figs\/theory_accuracy_2node_8_25_08.eps} &\n\\includegraphics[scale=0.5,clip]{figs\/theory_accuracy_3node_8_20_08.eps} \\\\\n\\includegraphics[scale=0.5,clip]{figs\/theory_accuracy_4node_8_20_08.eps} &\n\\includegraphics[scale=0.5,clip]{figs\/theory_accuracy_5node_8_20_08.eps} \\\\\n\\end{tabular}\n\\caption{The analytically calculated values for the mean (i.e., $F$)  \n and the mean plus 3 $\\sigma$ (i.e., $F+3\\sqrt{V}$),  \nas a function of the connection strength in terms of conditional probabilities. The top two panels \nshow plots for 2-node and 3-node patterns and bottom panels show plots for 4-node and 5-node patterns. For each \nvalue of the conditional probability, the actual counts as obtained by the algorithm are also shown \n These are obtained through 1000 replications. For these experimental counts, the mean value as well as the \n$\\pm 3 \\sigma$ range (where $\\sigma$ is the data standard deviation) are also indicated. \nAs can be seen, the calculated \nvalue of $F$ well captures the mean of the non-overlapped counts. The \n$F+3\\sqrt{V}$  line captures most of the count distribution.   }\n\\label{fig:acc-3-4-5}\n\\end{figure}\n\n\nAs explained earlier, using the formulation of our significance test we can infer \n a (bound on the) connection strength in terms of conditional probability  \nbased on the observed count. For this, given observed count of a sequential  \npattern or episode, we ask what is the value of the strength or  \nconditional probability of the connection at which this count is the threshold \nas per our significance test. This is illustrated in Fig.~\\ref{fig:infer-strength}. \nFor an $n$-node episode if the inferred strength is $q$ then we can assert (with the appropriate \nconfidence) that it is highly unlikely for this episode to have this count if connection strength between \nevery pair of neurons is less than $q$ \n\nIn Fig.~\\ref{fig:good-infer-strength} we show how good is this mechanism for inferring the strength of connection. \nHere we plot the actual value of the strength of connection in terms of the conditional probability as used in the \nsimulation against the inferred value of this strength from our theory based on the actual observed value of count. \nFor each value of the conditional probability, we have 1000 replications and these various inferred values are shown as \npoint clouds. Since the theory is based on a bound, the inferred value would always be lower than the actual strength.\nHowever, the results in this figure show the effectiveness of our approach to determining significance of \nsequential patterns based on counting the non-overlapped occurrences.   We emphasize here that this \ninferred value of strength is based on our significance test and \nthere is no  estimation of any conditional probabilities. \n\n\n\n\\begin{figure}\n\\centering\n\\includegraphics[scale=0.5]{figs\/sand-fig3-ver2.eps}\n\\caption{Illustration of inferring of a connection strength based on observed count for a \npattern. Given the curves of mean $F$, and the various levels of threshold ($F+3\\surd{V}$, $F+4\\surd{V}$, and $F+6\\surd{V}$), we can `invert' the \nobserved count to obtain a connection strength at which the observed count makes the episode just significant at a particular level. \nWe call this the inferred connection strength based on the observed count. }\n\\label{fig:infer-strength}\n\\end{figure}\n\n\n\\begin{figure}\n\\centering \n\\begin{tabular}{cc}\n\\includegraphics[scale=0.5]{figs\/inferred_strength_3node_8_20_08.eps} &\n\\includegraphics[scale=0.5]{figs\/inferred_strength_4node_8_20_08.eps} \\\\\n\\end{tabular}\n\\caption{Plot of the actual value of the conditional probability used in simulation versus the  \nvalue inferred from our test of significance as explained in text. (See fig.~\\ref{fig:infer-strength}. \nFor each value we do 1000 replications and the \ndifferent inferred values are shown as a point cloud. Also shown is a best fit line. The two panels show results \nfor episodes of size 3 and size 4. Our method is quite effective in inferring a connection strength \nbased on our count. }\n\\label{fig:good-infer-strength}\n\\end{figure}\n\nFinally, we present some results to illustrate the ability of our significance test to correctly rank order \ndifferent sequential patterns or episodes that are significant. For this we show the distribution of \ncounts for sequential patterns or episodes of different strength along with the thresholds as calculated \nby our significance test when the value of $e_0$ in the null hypothesis is varied. These results are shown for \n3-node, 4-node  and 5-node episodes  in fig.~\\ref{fig:rankorder-3-4-5}.  \n From the figure we can see that, by choosing a particular $e_0$ value in the \nnull hypothesis, our test will flag only episodes corresponding to strength higher than $e_0$ as significant. Thus, \nby varying $e_0$ we can rank-order different significant patterns that are found by the mining algorithm. \nWe note here that our threshold actually overestimates the count needed because it is based on a loose bound. \nHowever, these results show that we can reliably infer the relative strengths of different sequential patterns. \n\n\\begin{figure}\n\\centering\n\\begin{tabular}{cc}\n\\includegraphics[scale=0.5]{figs\/rankorder_3node_8_20_08.eps} & \n\\includegraphics[scale=0.5]{figs\/rankorder_4node_8_20_08.eps} \\\\\n\\includegraphics[scale=0.5]{figs\/rankorder_5node_8_20_08.eps} & \\\\\n\\end{tabular}\n\\caption{Plot showing the ability of our method of statistical significance test at inferring relative strengths \nof different patterns. Top two panel shows the distribution of counts (over 1000 replications) for four 3-node \nand 4-node  \nepisodes with connection strengths corresponding to 0.2, 0.4, 0.6 and 0.8. The dashed lines are the thresholds \non counts under our significance test (with $k=3$) corresponding to $e_0$ values of 0.05, 0.25, 0.45 and 0.65.\nThe bottom panel shows distributions for 5-node episodes with strengths 0.1, 0.3 and 0.5 with thresholds \ncorresponding to $e_0$=0.05, 0.15 and 0.35.  \n Since our test is based on Chebyshev inequality, it overestimates the needed count. However, it is easy to \nsee that we can detect significant episodes corresponding to different strengths by varying the $e_0$ in our \nnull hypothesis. \nAs can be seen, our method is able to reliably \ninfer the relative strengths of different patterns.  }\n\\label{fig:rankorder-3-4-5}\n\\end{figure}\n\n\n\n\n\n\n\n\n\\section{Discussion}\n\\label{sec:dis}\n\nIn this paper we addressed the problem of detecting statistically significant \nsequential patterns in multi-neuronal spike train data. We employed an efficient \ndatamining algorithm that detects all frequently occurring sequential patterns \nwith prescribed inter-neuron delays. A pattern is frequent if the number of \nnon-overlapping occurrences of the pattern is above a threshold. The strategy \nof counting only the non-overlapped occurrences rather than all occurrences makes \nthe method computationally attractive. The main contribution of the paper is a \nnew statistical significance test to determine when the count obtained by our \nalgorithm is statistically significant. Or, equivalently, the method gives a \nthreshold for different patterns so that the algorithm can detect only the \nsignificant patterns. \n\nThe novelty in assessing the significance in our approach is in the structure of \nthe null hypothesis. The idea is to use conditional probability as a mechanism to \ncapture strength of influence of one neuron on another. Our null hypothesis is specified in terms \nof a (user-chosen) bound on the conditional probability that $B$ will fire after \na specified delay given that $A$ has fired, for any pair of neurons $A$ and $B$. Thus this compound null \nhypothesis includes many models of inter-dependent neurons where the influences \namong neurons are `weak' in the sense that all such pairwise conditional probabilities \nare below the bound. Being able to reject such a null hypothesis makes a stronger \ncase for concluding that the detected patterns represent significant functional \nconnectivity. Equally interestingly, such a null hypothesis allows us to rank order \nthe different patterns in terms of their strengths of influence. If we chose this \nbound $e_0$ to be the value of the conditional probability when the different neurons \nare independent, then we get the usual null hypothesis of independent neuron model. \nBut since we can choose the $e_0$ to be much higher, we can decide which patterns are \nsignificant at different levels of $e_0$ and hence get an idea of the strength of \ninteraction they represent. Thus, the method presented here extends the current \ntechniques of significance analysis. \n\nWhile we specify our null hypothesis in terms of a bound on the conditional \nprobability, note that we are not in any way estimating such conditional \nprobabilities. Estimating all relevant conditional probabilities would be \ncomputationally intensive. Since our algorithm counts only non-overlapped \noccurrences and also uses the datamining idea of counting frequencies for only \nthe relevant candidate patterns, our counts do not give us all the pair-wise conditional \nprobabilities. However, the statistical analysis presented here allows us to \nobtain thresholds on the non-overlapped occurrences possible (at the \ngiven confidence level) if all the conditional probabilities are below our bound. \nThis is what gives us the test of significance. \n\nWe presented a method for bounding the probability that, under the null hypothesis, \na pattern would have more than some number of non-overlapped occurrences. Because \nwe are counting non-overlapped occurrences, we are able to capture our counting \nprocess in an interesting model specified in terms of sums of independent random variables. \nThis model allowed us to get recurrence relations for mean and variance of the \nrandom variable representing our count under the null hypothesis which allowed us \nto get the required threshold using Chebyshev inequality. While this may be a loose \nbound, as shown through our simulation results, the bound we calculate is very \neffective. \n\nOur method of analysis is quite general and it can be used in \nsituations other than what we considered here. By choosing the value of $p$ \nin eq.(\\ref{eq:xi}) appropriately we can realize this generality in the model. \n\n\nAs an illustration of this we will briefly describe one extension of the model. \nIn the method presented, while analyzing significance of a pattern \n$A\\stackrel{T_1}{\\rightarrow} B \\stackrel{T_2}{\\rightarrow} C$, we are assuming that \nfiring of $C$ after $T_2$ given that $B$ has fired is independent of $A$ having \nfired earlier. That is why we have used $p=\\rho_A (e_0)^2$ while calculating our \nthreshold. But suppose we do not want to assume this. Then we can have a null hypothesis \nthat is specified by bounds on different conditional probabilities. Suppose \n$e_2(x,y,T)$ is the conditional probability that $y$ fires after $T$ given $x$ has \nfired and suppose $e_3(x,y,z,T_1,T_2)$ be the probability that $y$ fires after $T_1$ and \n$z$ fires after another $T_2$ given $x$ has fired. Now we specify the null hypothesis \nin terms of two parameters as: $e_2(x,y,T) < e_{02}, \\ \\forall x,y$ and \n$e_3(x,y,z,T_1,T_2) < e_{03}, \\ \\forall x,y,z$. Now for assessing significance of \n3-node episodes we can use $p=\\rho_A e_{03}$. Our method of analysis is still \napplicable without any modifications. Of course, now the user has to specify two \nbounds on different conditional probabilities and he has to have some reasons for \ndistinguishing between the two conditional probabilities. But the main point here \nis that the model is fairly general and can accommodate many such extensions. \n\nThere are many other ways in which the idea presented here can be extended. Suppose \nwe want to assess significance of synchronous firing patterns rather than sequential \npatterns based on the count of number of non-overlapped occurrences of the synchronous \nfiring pattern. One possibility would be to use conditional probabilities of $A$ firing within an \nappropriate short time interval from $B$ in our null hypothesis and then use an \nappropriate expression for $p$ in our model. \nAnother example could be that of analyzing occurrences of neuronal firing sequences \nthat respect a pre-set order on the neurons as discussed in \\cite{SS2006}. Suppose \nwe want to assess the significance of count of such patterns of a fixed length. \nIf we use our type of non-overlapped occurrences count as the statistic, then the \nmodel presented here can be used to assess the significance. Now the parameter $p$ would \nbe the probability of occurrence of a sequence  of that length (which respects the \nglobal order on the neurons) starting from any time instant. \n For a given null hypothesis, e.g., of independence, this \nwould be a combinatorial problem similar to the one tackled in \\cite{SS2006}. Once we \ncan derive an expression for $p$ we can use our method for assessing significance. \n\nThough we did not discuss the computational issues in this paper, the data mining algorithms \nused for discovering sequential patterns are computationally efficient (see \\cite{PSU2008} \nfor details). One computational issue that may be relevant for this paper may be that of data  \nsufficiency. All the results reported here are on spike data of 20 sec duration with \nbackground spiking rate of 20 Hz. (That works out to about 400 spikes per neuron on the \naverage in the data). From fig.~\\ref{fig:acc-3-4-5} we can see that, with this much of data,  \nwe can certainly distinguish between connection strengths that differ by about 0.2 on the \nconditional probability scale. (Notice that, in the figure, the mean plus three sigma range \nof the count distribution at a connection strength is below our threshold (with $k=3$) at a \nconnection strength 0.2 more). In fig.~\\ref{fig:rankorder-3-4-5} we showed that we can \nreliably rank order connection strengths with about the same resolution. Thus we can say that \n20 sec of data is good enough for this level of discrimination. Obviously, if we need to distinguish \nbetween only widely different strengths, much less data would suffice. \n \nIn terms of computational issues, we feel that one of the important conclusions from this paper  \n is that temporal data mining may be an attractive approach for tackling the \nproblem of discovering firing patterns (or microcircuits) in multi-neuronal spike trains.   \nIn temporal data mining literature, episodes are, in general, partially ordered sets of \nevent types. Here we used the methods for discovery of serial episodes which correspond to \nour sequential patterns. A general episode would correspond to a graph of interconnections \namong neurons. However, at present, there are no efficient algorithms for discovering \nfrequently occurring graph patterns from a data stream of events. Extending our data mining \nalgorithm and our analysis technique to tackle such graph patterns is another interesting \nopen problem. This would allow for discovery of more general microcircuits from \n spike trains. \n\nIn summary, we feel that the general approach presented here \n has a lot of potential and it can \nbe specialized to handle many of the data analysis needs in multi-neuronal spike \ntrain data. We would be exploring many of these issues in our future work.\n\n\\begin{center}\n{\\bf Acknowledgments} \\\\\n\\end{center}\n\nWe wish to thank Mr. Debprakash Patnaik and Mr. Casey Diekman for their help \nin preparing this paper. The simulator described here as well as the data mining package \nfor analyzing data streams is written by \nMr. Patnaik  \\cite{PSU2008} and he has helped in running \nthe simulator. Mr. Diekman has helped in generating  all the \nfigures. The work reported here is partially supported by a project funded by \nGeneral Motors R\\&D Center, Warren through SID, Indian Institute of Science, \nBangalore.  \n\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\\section{Introduction}\nNetworked control systems (NCSs) are of significant importance to society as they have become part of our daily life. Examples include the power grids \\citep{singh2014stability}, and water supply networks \\citep{cembrano2000optimal}. However, due to the increased use of (possibly) un-secure open communication channels in NCS, they are prone to cyber-attacks. The social and economical consequences of such cyber-attacks can be disastrous \\citep{dibaji2019systems,sandberg2022secure}. Thus preventing, detecting, and mitigating such attacks is of utmost importance, and is currently an active research area with several contributions based on different approaches \\citep{ferrari2021safety}. \n\nIn the literature, there are different security concepts such as physical watermarking, moving target defense, and multiplicative watermarking \\citep{chong2019tutorial}. Such security concepts focus on detecting cyber attacks. On the other hand, various privacy concepts help reduce unauthorized access to the transmitted data \\citep{nekouei2019information}, thus mitigating attacks. \n\nHowever, except in a few works \\citep{mukherjee2021secure}, privacy and security are considered independently. In practice, a system operator prefers privacy (of data or system properties), and in the worst case, prefers to be secure (able to detect) cyber-attacks. Thus, inspired by internal model control \\citep{zhang2010advanced}, we propose an architecture for NCSs to provide a unified framework for privacy and security (which will be defined later). \n\nIn particular, we consider a Discrete-Time (DT) Linear Time-Invariant (LTI) description of a plant $(G)$ on one side of the network. The plant runs in parallel with simulations of $G$ and an arbitrary system ${S}$; these can be seen as being parts of a privacy filter layer or a smart sensor. On the other side of the network are the detector, the reference signal and controller, and similar simulations of $G$ and $S$ which can be thought of as being parts of a Digital Twin (DiT) \\citep{barricelli2019survey}. The exact mathematical description of the system is given in the next section, while a pictorial representation is given in Fig. \\ref{fig1}.  \n\nWith the architecture in Fig. \\ref{fig1}, referred to as dynamic masking architecture, we consider an adversary deploying an attack in a two-step procedure (similar to \\citet{mukherjee2021secure}): first learn the system dynamics, and then inject an attack which is not detected but deteriorates the system performance. The key contributions of our paper under the proposed architecture are the following:\\vspace{-0.1cm}\n\\begin{enumerate}\n    \\item We propose the Mean Squared Error (MSE) between the true plant and the system learnt by the adversary as a measure of privacy. That is, we define privacy in terms of the system parameters and not in terms of the signals themselves.\n    \\item We show that the operator can introduce an arbitrary amount of bias into the parameters of the model identified by the adversary. In other words, the adversary will only be able to identify the arbitrary system $S$ and not the plant $G$. \n    \\item We show that the attack performance deteriorates: the attack is effectively detected under some conditions on $S$. \n\\end{enumerate}\n\nOur approach is related to other works in the literature such as watermarking in that we require time-synchronization between the plant side and the controller side, and use dynamical filters in the cyber domain. However, to our knowledge, the use of dynamic watermarking for privacy was not considered before. Additionally, we do not require the invertibility of the filters used. Our work is also related to the 2-way coding \\citep{fang2019two}. However, they do not provide a measure of privacy.\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=8.4cm]{rep_new.pdf}\n    \\caption{Proposed dynamic masking architecture. Here $z$ represents the $Z-$transform operator. $D1$ and $D2$ represent the two possible locations of the detector. The arbitrary system $S(z)$ in the dotted box is the plant seen by the adversary.}\n    \\label{fig1}\n\\end{figure}\n\nThe remainder of this paper is organized as follows: we formulate our problem in Section \\ref{sec:problem_formulation}. Using the proposed system architecture, we discuss the privacy aspect in Section \\ref{sec:Privacy} and the security aspect in Section \\ref{sec:Security}. We depict the efficacy of the proposed architecture in Section \\ref{sec:NE}. Section \\ref{sec:Conclusion} concludes the paper and provides avenues for future research. \n\n\\textit{Notation:} Throughout this article, $\\mathbb{R}, \\mathbb{R}^{+}, \\mathbb{Z}$ and $\\mathbb{Z}^{+}$ represent the set of real numbers, positive real numbers, integers and non-negative integers respectively. Let $x: \\mathbb{Z} \\to \\mathbb{R}^n$ be a discrete-time signal with $x_k$ as the value of the signal $x$ at the time step $k \\in \\mathbb{Z}$. Let the time horizon be $[0,N]=\\{ k \\in \\mathbb{Z}^+|\\; 0 \\leq k\\leq N \\}$. The $\\ell_2$-norm of $x$ over the horizon $[0,N]$ is represented as $|| x ||_{\\ell_2, [0,N]}^2 \\triangleq \\sum_{k=0}^{N} x[k]^Tx[k]$. Let the space of square-summable signals be defined as $\\ell_2 \\triangleq \\{ x: \\mathbb{Z}^+ \\to \\mathbb{R}^n |\\; ||x||^2_{\\ell_2, [0,\\infty]} < \\infty\\}$ and the extended signal space be defined as $\\ell_{2e} \\triangleq \\{ x: \\mathbb{Z}^+ \\to \\mathbb{R}^n | \\;||x||^2_{[0,N]} < \\infty, \\forall N \\in \\mathbb{Z}^+ \\}$. \n\n\\section{Problem Background}\\label{sec:problem_formulation}\n\\input{.\/Problem_Formulation}\n\n\\section{Privacy under the proposed architecture}\\label{sec:Privacy}\n\\input{.\/Privacy}\n\n\\section{Security under the proposed architecture}\\label{sec:Security}\n\\input{.\/Security}\n\n\\section{Numerical Example}\\label{sec:NE}\n\\input{.\/NE}\n\n\\section{Conclusion}\\label{sec:Conclusion}\nIn this paper, we proposed a new architecture to enhance the privacy and security of NCS. We considered an adversary which first learns the plant dynamics, and then performs a ZDA. Under the proposed architecture, we show that it is possible to (i) introduce bias in the system knowledge of the adversary, and (ii) efficiently detect attacks. Through numerical simulations, we illustrate the efficacy of the proposed architecture. Future works include developing a systematic design procedure for $S$.\n\n\n\n\n\\subsection{Privacy concept}\nWe define privacy using Definition \\ref{defn:privacy}, so that a privacy leakage is understood as the ability of the attacker to infer a property $\\psi_G$ of the dynamics of the controlled system from a set of measurements of the transmitted signals over the network. This is similar to the work in \\cite{alisic2020ensuring}, where privacy was defined as the minimum variance\nof the estimator. Instead, here, we propose the use of the MSE as a measure of privacy. Recall that the MSE can be decomposed into two terms: the squared bias and the variance. As a privacy measure, it is thus a generalization of the variance\/Fisher information measure. We will be manipulating the bias instead of the variance. For the setup of NCSs, this is possible via\n the particular dynamic masking architecture in Figure \\ref{fig1}.\n\nWe consider a case where  1) the adversary has access to a  set of measurements collected via eavesdropping, 2) the adversary knows the correct model structure (number of poles and zeros) and is using a consistent estimation method (with respect to the data generating mechanism) to learn the dynamics of the model. Notice that consistency is a very weak asymptotic property that is required from any sensible estimator.\n\n\n\\subsection{Data generating mechanisms}\nAs explained in the previous section, the dynamic masking architecture changes the signals transmitted over the communication channel. While the input signal is transmitted without a change, a new signal $w$ is transmitted in lieu of the plant output. This distorts the adversary's perspective of the system according to the following proposition. \n\n\\begin{prop} Consider the dynamic masking architecture in Figure \\ref{fig1}. The data generating mechanisms from the point view of the attacker with data $\\mathcal{I}_i$ are as follows\n\\begin{itemize}\n\\item plant side: transfer function from $u$ to $w$\n\\[\n\\bar{G}(z) =  S(z)\n\\]\n\\item controller side: transfer function from $w$ to $u$\n\\[\n\\bar{C}(z) =  (I- C_\\circ(z)(G_\\circ(z) - S(z))^{-1}C_\\circ(z)\n\\]\nwith the same reference signal $r$.\n\\end{itemize}\n\\end{prop}\n\\begin{pf}\nThe result is established by straightforward manipulations which are omitted here.\n\\end{pf}\n\n\n\n\\subsection{Bias analysis}\n\nThe goal of this part is to characterize the bias in the estimated model when a consistent estimator such as the maximum-likelihood estimator or a prediction error method estimator is used.\n\nAssociate the complex frequency function\n\\begin{equation}\nS(e^{i\\omega})  = \\sum_{k=1}^\\infty s_k e^{-ki\\omega}, \\qquad -\\pi \\leq \\omega \\leq \\pi,\n\\end{equation}\nwith $i = \\sqrt{-1}$, to the data generating mechanism on the plant side. Let\n\\[\n\\hat{G}_N(e^{i\\omega}) = G(e^{iw}; \\hat{\\theta}_N)\n\\]\nbe a model of the system estimated by the adversary based on data set $\\mathcal{I}_N$ of size $N$, by estimating a parameter vector $\\theta$. The bias of the estimated model with respect to the data-generating mechanism is defined as\n\\begin{equation}\nB_N(\\omega) \\triangleq  \\mathbb{E}[\\hat{G}_N(e^{i\\omega})] - S(e^{i\\omega})\n\\end{equation}\nand the variance is defined as\n\\begin{equation}\n P_N(\\omega) \\triangleq    \\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega}) -  \\mathbb{E}[\\hat{G}_N(e^{i\\omega})]  |^2\\right]\n\\end{equation}\n\n\nIf the estimator used by the attacker is unbiased for the data generating mechanism, i.e., $B_N(\\omega)=0 \\;\\forall \\omega$, it holds that the MSE of the estimated model with respect to the true system is\n\\begin{equation}\n\\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega}) -   G_\\circ(e^{i\\omega}) |^2\\right] =  |S(e^{i\\omega}) - G_\\circ(e^{i\\omega})| ^2 +  P_N(\\omega)\n\\end{equation}\nOtherwise, it holds that\n\\begin{equation}\n\\label{eq:finite_MSE}\n\\begin{aligned}\n\\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega})\\right.& -    \\left.G_\\circ(e^{i\\omega}) |^2\\right] \\geq \\\\\n&\\left| B_N^2(\\omega) - |S(e^{i\\omega}) - G_\\circ(e^{i\\omega})| ^2\\right| + P_N(\\omega)\n\\end{aligned}\n\\end{equation}\nIn either case, the bias is directly controlled by $S$. \nNow, suppose the attacker is using an optimal prediction error framework with a quadratic cost function\\footnote{this is chosen to simplify the exposition. Notice that in that case, the optimal prediction error method coincides with the maximum likelihood when all disturbances\/noise follow Gaussian distributions}  \\citep{Ljung1999}, to construct an estimator of $\\theta$. Then, it is well-known that, under certain mild conditions on the data and the model parameterization, the  criterion function converges to the asymptotic criterion function\n\\begin{equation}\\label{eq:asymptotic_cost}\n\\bar{V}(\\theta) = \\frac{1}{2\\pi} \\int_{-\\pi}^\\pi \\Phi_\\varepsilon(\\omega, \\theta) d\\omega\n\\end{equation}\nwhere $\\Phi_\\varepsilon(\\omega, \\theta)$ is the spectrum of the parameterized prediction error, and the estimator $\\hat{\\theta}_N = \\hat{\\theta}(\\mathcal{I}_N)$ converges almost surely to $\\theta^\\ast$, the minimizer of \\eqref{eq:asymptotic_cost} over a compact set $\\Theta$.\n\nDue to linearity of the controller, the spectrum of the input signal $u$ can be decomposed as\n\\[\n\\Phi(\\omega) = \\Phi_u^r(\\omega) + \\Phi_u^e(\\omega)\n\\]\nwhere $\\Phi_u^r(\\omega) $ is the part originating from the reference signal, and $\\Phi_u^e(\\omega)$ is the part originating from the noise.\\smallskip\n\n\\begin{thm}[\\cite{Ljung1999}]\\label{thm:convergence}\n\\begin{equation}\n\\hat{\\theta}_N \\to \\arg\\min_\\theta \\bar{V}_1(\\theta) + \\bar{V}_2(\\theta) \\quad \\text{almost surely}\n\\end{equation}\n\\[\n\\bar{V}_1(\\theta) = \\int_{-\\pi}^\\pi |S(e^{i\\omega)}) - \\hat{G}(e^{i\\omega}; \\theta) + \\Pi(e^{i\\omega},\\theta)|^2 \\frac{\\Phi_u(\\omega)}{|H(e^{i\\omega}, \\theta)|^2} d\\omega\n\\]\n\\[\n\\bar{V}_2(\\theta) = \\lambda_\\circ \\int_{-\\pi}^\\pi \\frac{|H_\\circ(e^{i\\omega}) -H(e^{i\\omega}, \\theta)|^2}{|H(e^{i\\omega}, \\theta)|^2} \\frac{\\Phi_u^r(\\omega)}{\\Phi_u(\\omega)} d\\omega\n\\]\n\\[\n\\Pi(e^{i\\omega},\\theta) = \\frac{\\lambda_\\circ}{\\Phi_u(e^{i\\omega})} \\frac{\\Phi_u^e(e^{i\\omega})}{\\Phi_u(e^{i\\omega})} |H_\\circ(e^{i\\omega})-H(e^{i\\omega}, \\theta)|^2\n\\]\n\\end{thm}\n\nIt is easy to see that $\\Pi(e^{i\\omega},\\theta)$ in Theorem \\ref{thm:convergence} will be identically zero if the noise model coincides with the true one. This could be achieved with flexible noise models and then $\\bar{V}_2 =0$. If $G$ and $H$ are independently parameterized, the asymptotic estimate becomes the minimizer of\n\\[\n\\bar{V}_1(\\theta) = \\int_{-\\pi}^\\pi |S(e^{i\\omega}) - \\hat{G}(e^{i\\omega}; \\theta)|^2 \\frac{\\Phi_u(\\omega)}{|H_\\circ(e^{i\\omega})|^2} d\\omega\n\\]\nLet us assume that the adversary either has a correct\/flexible noise structure, or parameterizes $G$ and $H$ independently. \nThen, we get that asymptotically in the data size\n\\[\n\\hat{G}(e^{i\\omega}; \\theta^\\ast) = S(e^{i\\omega}) \\quad \\forall \\omega \\in [-\\pi, \\pi]\n\\]\nNamely, the identified model is consistent for the data-generating model $S$.\n\n\nThe main idea of this contribution is to make $S$ different from $G_\\circ$, and thus get that\n\\[\n\\hat{G}(e^{i\\omega}; \\theta^\\ast) \\neq G_\\circ(e^{i\\omega}).\n\\]\n\nNotice that the distribution of the bias over the frequency $\\omega$ is controlled by the system operator's choice of the filter $S$. And thus, by tuning $S$ one can achieve a desired lower bound for the achievable MSE (also for the finite data case; see \\eqref{eq:finite_MSE}). \nPrivacy is then achieved according to Definition \\ref{defn:privacy}. No matter how long data sequences the attacker uses to estimate the dynamics, the obtained estimates will be biased and the error will be lower bounded by an MSE which is a function of $S$.\n\n\\begin{rem}\n    The bias analysis provided above is nonparametric in the sense that it is defined for the transfer functions. Its translation into a parametric one is straightforward under the assumption that $S$ and $G_\\circ$ have the same number of zeros and poles.\n\\end{rem}\n\n\n\\begin{exmp}\nSuppose that $G(z) = \\frac{z-1.1}{(z-0.2)(z-0.5)}$, and let $S(z) = \\frac{z-(1.1+\\delta)}{(z-0.2)(z-0.5)}$ with $\\delta> 0$. Then, the non-minimum phase zero of $G$ is $\\delta$-private for any unbiased estimator of the zero.\n\\end{exmp}\n\n\n\\begin{rem}\nObserve that even in a case where the adversary knows the true architecture in use (Fig.~\\ref{fig1}), and successfully identified the cipher plant, it remains impossible to recover $G$ solely based on disclosed data: the plant is dynamically masked, and is not identifiable via $\\mathcal{I}_i$ regardless of its parameterization.   \n\\end{rem}\n\\subsection{Adversary description}\nIn the communication channel between the controller and the plant, we consider an adversary injecting false data into the actuator of the plant. Next, we discuss the resources the adversary has \\citep{teixeira2015secure}.\n\n\\subsubsection{Disclosure and disruption resources:} The adversary can eavesdrop on the communication channels and collect data. We represent the data available to the adversary at any time instant $i \\in \\mathbb{Z}^{+}$ as \n\\begin{equation}\n    \\mathcal{I}_i := \\cup_{t=0}^{i}\\{w_k,u_k\\}\n\\end{equation}\nThe adversary can also inject data into the control communication channels. This is represented by: \n\\begin{equation}\n    \\tilde{u}_k = u_k + a_{k}\n\\end{equation}\nwhere $a_{k}$ is the data injected by the adversary. Here $a \\in \\mathcal{L}_{2e}$ since the $\\mathcal{L}_{2e}$ space allows us to study a wider class of attack signals than  $\\mathcal{L}_{2}$.\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=8.4cm]{rep_ad.pdf}\n    \\caption{Architecture believed by the adversary.}\n    \\label{fig2}\n\\end{figure}\n\n\\subsubsection{Plant knowledge:} The adversary knows the order of the plant and the presence of at least one zero in the plant. Except for this, the adversary does not know anything about the NCS. They however devise an estimator of the plant $\\mathcal{I}_i \\mapsto \\hat{G}$, \n from the disclosed data, according to the believed model specifications in  Fig.~\\ref{fig2}. We explain in the next section, how the dynamic masking architecture distorts $\\hat{G}$. \n\n\\subsubsection{Attack goals and constraints:}\nThe adversary aims at deteriorating the system's performance while remaining undetected. Hence, the adversary injects attack signals to maximize the energy of the states of the system $\\hat{G}$ output while keeping the energy of the detection output lower than $\\epsilon_r$. The aim of maximizing the energy of the states is to consequently maximize the energy of the output $z$ (this objective is contradictory to the plant). \n\n\n\\subsection{Problem Formulation}\nMany methods can be used to construct stealthy data injection attacks \\citep{fotiadis2020constrained,anand2021stealthy}, and in this paper, we consider zero-dynamics attacks (ZDA). Thus, to help us define security and privacy for the operator, we make the following assumptions.\n\\begin{assum}\\label{ass_un_zero}\n$G$ has at least one zero. $\\hfill \\triangleleft$. \n\\end{assum}\n\nAs depicted in \\citep{teixeira2015secure}, a ZDA is constructed based on the location of the zero. Thus, we adopt the following definition of privacy in our paper.\n\\smallskip\n\n\\begin{defn}\\label{defn:privacy}(Privacy of a property of $G$ with respect to an adversary)\nLet $\\psi_G$ be any property of $G$ (e.g., a zero of $G$). Then $\\psi_G$ is said to be $\\delta$-private with some $\\delta>0$, if the estimator $\\widehat{\\psi_G}= \\psi_{\\hat{G}}$ of $\\psi_G$ used by the adversary, based on disclosed data $\\mathcal{I}_i$, is such that $\\mathbb{E}\\|{\\psi}_{\\hat{G}} - \\psi_G\\|^2\\geq \\delta$.  $\\hfill \\triangleleft$\n\\end{defn}\n\nAccording to the above definition, if $\\psi_G$ is $\\delta$-private, there is no way that the adversary can recover its exact true value based on  $\\hat{G}(\\mathcal{I}_i)$, even when $i\\to \\infty$. Note that $\\delta$-privacy is to be established for the particular estimator (or class of possible estimators) used by the adversary. It is implicitly assumed that any used estimator possesses well-defined first- and second-order moments with respect to the underlying probability measure of the disturbances\/noises. The key to establishing privacy is then to introduce bias into the adversary's inference procedure, via the dynamic masking architecture, as explained in Section \\ref{sec:Privacy}.\n\nAs previously described, we consider a detector that raises an alarm when $\\Vert d_k \\Vert_{\\ell_2}^2 > \\epsilon_r$. Then, we adopt the following definition of security:\n\\begin{defn}[Security of the NCS]\\label{defn:security}\nThe closed-loop NCS is said to be secure if one of the following holds in the presence of a ZDA:\n\\begin{enumerate}\n    \\item $\\Vert d_k \\Vert_{\\ell_2}^2 > \\epsilon_r$ if the performance deterioration is unbounded. \n    \\item The performance deterioration is bounded. $\\hfill \\triangleleft$\n\\end{enumerate}\n\\end{defn}\nThen we consider the following problem in this paper: \n\\begin{prob}\nShow that the dynamic masking NCS architecture proposed in Fig. \\ref{fig1} provides privacy and security with respect to Definition \\ref{defn:privacy} and Definition \\ref{defn:security}. $\\hfill \\triangleleft$ \n\\end{prob}\nIn the next section, we first show how the system architecture proposed in Fig. \\ref{fig1} provides privacy.\n\\subsection{Zero-dynamics attack}\nBefore describing the construction of a ZDA, we define zero-dynamics of a system $\\Sigma$ next.\n\\begin{defn}[ZDA \\citep{teixeira2015secure}]\nGiven a system $\\Sigma$ with the state-space matrices $(A_{\\Sigma}, B_{\\Sigma}, C_{\\Sigma}, D_{\\Sigma})$, the ZDA are a class of data injection attacks, which yield the output of $\\Sigma$ identically zero. The attack is of the form \n\\begin{equation}\\label{ZDA:attack}\n    a_{k}=g\\beta^k,\n\\end{equation}\nwith $g$ and $\\beta$ satisfying the following equation\n\\begin{equation}\\label{ZDA}\n\\begin{bmatrix}\n\\beta I-A_{\\Sigma} & -B_{\\Sigma}\\\\\nC_{\\Sigma} & D_{\\Sigma}\n\\end{bmatrix}    \n\\begin{bmatrix}\nx_0\\\\g\n\\end{bmatrix}=\n\\begin{bmatrix}\n0\\\\0\n\\end{bmatrix},\n\\end{equation}\nin which $x_0$ is the initial condition of the system $\\Sigma$. $\\hfill \\triangleleft$\n\\end{defn}\n\nWe also say that the attack $a$ lies in the output nulling space of $\\Sigma$. Now, given that the adversary has perfect knowledge about $S$ and the architecture in Fig. \\ref{fig2}, the adversary injects an attack which is the zero-dynamics of $S$. \nThis is a strategic attack since it does not raise an alarm since $d_k =0,\\;\\forall k\\in \\mathbb{R}^{+}$, and the states of $S$ will diverge: making the performance deterioration unbounded. For clarity, the attack vector is of the form $a_{k}=g_s\\beta_s^k$, where $\\beta_s$ and $g_s$ are the zero and the input directions of $S$ respectively, and they satisfy \n\\begin{equation}\n\\begin{bmatrix}\n\\beta_sI-A_{S} & -B_{S}\\\\\nC_{S} & D_{S}\n\\end{bmatrix}    \n\\begin{bmatrix}\nx_{0s}\\\\g_s\n\\end{bmatrix}=\n\\begin{bmatrix}\n0\\\\0\n\\end{bmatrix},\n\\end{equation}\n\nAnd, as we can see, the ZDA is dependent on the initial conditions of the plant. However, the adversary can drive the plant to the necessary initial conditions $x_0$ and then initiate a ZDA. Some works focus on a more detailed analysis on the effects of non-zero initial conditions on the stealthiness of the ZDA \\citep{teixeira2012revealing}.\n\nDuring the deployment of the attack, the attack might be easily detected if the reference changes. This is because the reference signal might interfere with the initial conditions necessary for the ZDA. To avoid this triviality, we make the following assumption\n\\begin{assum}\nDuring the attack, $r_k \\triangleq 0,\\forall k\\in \\mathbb{R}^{+}$. Also, it is known to the adversary that $r_k \\triangleq 0$ $\\hfill \\triangleleft$\n\\end{assum}\nThe above argument also highlights the necessity of ignoring the noise. Next, we describe how the ZDA is detected with the help of architecture in Fig. \\ref{fig1}. \n\\subsection{Detectability conditions}\nWe first present the detectability results of ZDA corresponding to an unstable zero.\n\\begin{thm}[Sufficient detectability conditions]\\label{thm:detect}\nLet $|\\beta_s|\\\\>1$. Then it holds that $||d_k||_{\\ell_2}^2 >\\epsilon_r$ for the architecture in Fig. \\ref{fig1} if, the unstable zeros of $S$ are not the unstable zeros of $G$.  \n\\end{thm}\n\\begin{pf}\nThe ZDA generated by the adversary lies in the output nulling space of $S$. The states of $S$ grow exponentially since the attack is exponential. However, in architecture Fig. \\ref{fig1}, the attack passes through the plant $G$ whose output is fed to the detector. Then the attack makes the output of the plant $G$ grow exponentially: this is true since the attack does not correspond to a ZDA of $G$. This concludes the proof. $\\hfill \\blacksquare$\n\\end{pf}\n\nThe increase in the performance energy is unbounded because the ZDA corresponds to an unstable zero \\citep{teixeira2015secure}. However, we showed in Theorem \\ref{thm:detect} that the architecture in Fig. \\ref{fig1} can provide security (with respect to (i) in Definition \\ref{defn:security}), under some conditions. \n\nTheorem \\ref{thm:detect} does not generalize to stable ZDA because the attack corresponding to a stable ZDA decays exponentially (since $|\\beta_s|\\leq 1$), and so does the output of $G$. Thus, if the threshold is sufficiently large, the attack is undetected. However, the increase in performance energy is bounded \\citep{teixeira2015secure}. Thus, security is guaranteed with respect to (ii) in Definition \\ref{defn:security}).\n\nUntil now, we considered the detector at the plant output ($D1$). This was justified by the increased use of smart sensors. However, one could also opt for the traditional architecture where the detector is present at the controller $(D2)$ with access to $\\tilde{y}$ and ${u}$. Then the detector can be assumed to be a Kalman filter-based detector (see (3) in \\citep{teixeira2015secure}). Now we show how the dynamic masking architecture proposed in Fig. \\ref{fig1} can be used to provide security in terms of Definition \\ref{defn:security}. Then, we state the following result which immediately follows from the fact that the adversary will only estimate $S$.\n\n\\begin{lem}\nLet $S$ only have stable zeros. Then the increase in performance energy under a ZDA is bounded.$\\square$\n\\end{lem}\n\nAlthough the results in this section provide a way to enhance attack detection, they do not provide a general design guideline for $S$. This is left for future work but we briefly comment on the design. We want to \\textit{trick} the adversary into believing that the data correspond to the plant. This can be partly achieved by setting the poles to be equal for $S$ and $G$. An additional condition is for $S$ to be internally stable. \n\nThus in this section, we showed that the dynamic masking architecture proposed in Fig \\ref{fig1} provides security in terms of Definition \\ref{defn:security} against ZDA by either making the attack detectable or by making the performance deterioration bounded. We next depict the results of this paper through numerical examples.\n\\subsection{Privacy concept}\nWe define privacy using Definition \\ref{defn:privacy}, so that a privacy leakage is understood as the ability of the attacker to infer a property $\\psi_G$ of the dynamics of the controlled system from a set of measurements of the transmitted signals over the network. This is similar to the work in \\cite{alisic2020ensuring}, where privacy was defined as the minimum variance\nof the estimator. Instead, here, we propose the use of the MSE as a measure of privacy. Recall that the MSE can be decomposed into two terms: the squared bias and the variance. As a privacy measure, it is thus a generalization of the variance\/Fisher information measure. We will be manipulating the bias instead of the variance. For the setup of NCSs, this is possible via\n the particular dynamic masking architecture in Figure \\ref{fig1}.\n\nWe consider a case where  1) the adversary has access to a  set of measurements collected via eavesdropping, 2) the adversary knows the correct model structure (number of poles and zeros) and is using a consistent estimation method (with respect to the data generating mechanism) to learn the dynamics of the model. Notice that consistency is a very weak asymptotic property that is required from any sensible estimator.\n\n\n\\subsection{Data generating mechanisms}\nAs explained in the previous section, the dynamic masking architecture changes the signals transmitted over the communication channel. While the input signal is transmitted without a change, a new signal $w$ is transmitted in lieu of the plant output. This distorts the adversary's perspective of the system according to the following proposition. \n\n\\begin{prop} Consider the dynamic masking architecture in Figure \\ref{fig1}. The data generating mechanisms from the point view of the attacker with data $\\mathcal{I}_i$ are as follows\n\\begin{itemize}\n\\item plant side: transfer function from $u$ to $w$\n\\[\n\\bar{G}(z) =  S(z)\n\\]\n\\item controller side: transfer function from $w$ to $u$\n\\[\n\\bar{C}(z) =  (I- C_\\circ(z)(G_\\circ(z) - S(z))^{-1}C_\\circ(z)\n\\]\nwith the same reference signal $r$.\n\\end{itemize}\n\\end{prop}\n\\begin{pf}\nThe result is established by straightforward manipulations which are omitted here.\n\\end{pf}\n\n\n\n\\subsection{Bias analysis}\n\nThe goal of this part is to characterize the bias in the estimated model when a consistent estimator such as the maximum-likelihood estimator or a prediction error method estimator is used.\n\nAssociate the complex frequency function\n\\begin{equation}\nS(e^{i\\omega})  = \\sum_{k=1}^\\infty s_k e^{-ki\\omega}, \\qquad -\\pi \\leq \\omega \\leq \\pi,\n\\end{equation}\nwith $i = \\sqrt{-1}$, to the data generating mechanism on the plant side. Let\n\\[\n\\hat{G}_N(e^{i\\omega}) = G(e^{iw}; \\hat{\\theta}_N)\n\\]\nbe a model of the system estimated by the adversary based on data set $\\mathcal{I}_N$ of size $N$, by estimating a parameter vector $\\theta$. The bias of the estimated model with respect to the data-generating mechanism is defined as\n\\begin{equation}\nB_N(\\omega) \\triangleq  \\mathbb{E}[\\hat{G}_N(e^{i\\omega})] - S(e^{i\\omega})\n\\end{equation}\nand the variance is defined as\n\\begin{equation}\n P_N(\\omega) \\triangleq    \\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega}) -  \\mathbb{E}[\\hat{G}_N(e^{i\\omega})]  |^2\\right]\n\\end{equation}\n\n\nIf the estimator used by the attacker is unbiased for the data generating mechanism, i.e., $B_N(\\omega)=0 \\;\\forall \\omega$, it holds that the MSE of the estimated model with respect to the true system is\n\\begin{equation}\n\\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega}) -   G_\\circ(e^{i\\omega}) |^2\\right] =  |S(e^{i\\omega}) - G_\\circ(e^{i\\omega})| ^2 +  P_N(\\omega)\n\\end{equation}\nOtherwise, it holds that\n\\begin{equation}\n\\label{eq:finite_MSE}\n\\begin{aligned}\n\\mathbb{E}\\left[|\\hat{G}_N(e^{i\\omega})\\right.& -    \\left.G_\\circ(e^{i\\omega}) |^2\\right] \\geq \\\\\n&\\left| B_N^2(\\omega) - |S(e^{i\\omega}) - G_\\circ(e^{i\\omega})| ^2\\right| + P_N(\\omega)\n\\end{aligned}\n\\end{equation}\nIn either case, the bias is directly controlled by $S$. \nNow, suppose the attacker is using an optimal prediction error framework with a quadratic cost function\\footnote{this is chosen to simplify the exposition. Notice that in that case, the optimal prediction error method coincides with the maximum likelihood when all disturbances\/noise follow Gaussian distributions}  \\citep{Ljung1999}, to construct an estimator of $\\theta$. Then, it is well-known that, under certain mild conditions on the data and the model parameterization, the  criterion function converges to the asymptotic criterion function\n\\begin{equation}\\label{eq:asymptotic_cost}\n\\bar{V}(\\theta) = \\frac{1}{2\\pi} \\int_{-\\pi}^\\pi \\Phi_\\varepsilon(\\omega, \\theta) d\\omega\n\\end{equation}\nwhere $\\Phi_\\varepsilon(\\omega, \\theta)$ is the spectrum of the parameterized prediction error, and the estimator $\\hat{\\theta}_N = \\hat{\\theta}(\\mathcal{I}_N)$ converges almost surely to $\\theta^\\ast$, the minimizer of \\eqref{eq:asymptotic_cost} over a compact set $\\Theta$.\n\nDue to linearity of the controller, the spectrum of the input signal $u$ can be decomposed as\n\\[\n\\Phi(\\omega) = \\Phi_u^r(\\omega) + \\Phi_u^e(\\omega)\n\\]\nwhere $\\Phi_u^r(\\omega) $ is the part originating from the reference signal, and $\\Phi_u^e(\\omega)$ is the part originating from the noise.\\smallskip\n\n\\begin{thm}[\\cite{Ljung1999}]\\label{thm:convergence}\n\\begin{equation}\n\\hat{\\theta}_N \\to \\arg\\min_\\theta \\bar{V}_1(\\theta) + \\bar{V}_2(\\theta) \\quad \\text{almost surely}\n\\end{equation}\n\\[\n\\bar{V}_1(\\theta) = \\int_{-\\pi}^\\pi |S(e^{i\\omega)}) - \\hat{G}(e^{i\\omega}; \\theta) + \\Pi(e^{i\\omega},\\theta)|^2 \\frac{\\Phi_u(\\omega)}{|H(e^{i\\omega}, \\theta)|^2} d\\omega\n\\]\n\\[\n\\bar{V}_2(\\theta) = \\lambda_\\circ \\int_{-\\pi}^\\pi \\frac{|H_\\circ(e^{i\\omega}) -H(e^{i\\omega}, \\theta)|^2}{|H(e^{i\\omega}, \\theta)|^2} \\frac{\\Phi_u^r(\\omega)}{\\Phi_u(\\omega)} d\\omega\n\\]\n\\[\n\\Pi(e^{i\\omega},\\theta) = \\frac{\\lambda_\\circ}{\\Phi_u(e^{i\\omega})} \\frac{\\Phi_u^e(e^{i\\omega})}{\\Phi_u(e^{i\\omega})} |H_\\circ(e^{i\\omega})-H(e^{i\\omega}, \\theta)|^2\n\\]\n\\end{thm}\n\nIt is easy to see that $\\Pi(e^{i\\omega},\\theta)$ in Theorem \\ref{thm:convergence} will be identically zero if the noise model coincides with the true one. This could be achieved with flexible noise models and then $\\bar{V}_2 =0$. If $G$ and $H$ are independently parameterized, the asymptotic estimate becomes the minimizer of\n\\[\n\\bar{V}_1(\\theta) = \\int_{-\\pi}^\\pi |S(e^{i\\omega}) - \\hat{G}(e^{i\\omega}; \\theta)|^2 \\frac{\\Phi_u(\\omega)}{|H_\\circ(e^{i\\omega})|^2} d\\omega\n\\]\nLet us assume that the adversary either has a correct\/flexible noise structure, or parameterizes $G$ and $H$ independently. \nThen, we get that asymptotically in the data size\n\\[\n\\hat{G}(e^{i\\omega}; \\theta^\\ast) = S(e^{i\\omega}) \\quad \\forall \\omega \\in [-\\pi, \\pi]\n\\]\nNamely, the identified model is consistent for the data-generating model $S$.\n\n\nThe main idea of this contribution is to make $S$ different from $G_\\circ$, and thus get that\n\\[\n\\hat{G}(e^{i\\omega}; \\theta^\\ast) \\neq G_\\circ(e^{i\\omega}).\n\\]\n\nNotice that the distribution of the bias over the frequency $\\omega$ is controlled by the system operator's choice of the filter $S$. And thus, by tuning $S$ one can achieve a desired lower bound for the achievable MSE (also for the finite data case; see \\eqref{eq:finite_MSE}). \nPrivacy is then achieved according to Definition \\ref{defn:privacy}. No matter how long data sequences the attacker uses to estimate the dynamics, the obtained estimates will be biased and the error will be lower bounded by an MSE which is a function of $S$.\n\n\\begin{rem}\n    The bias analysis provided above is nonparametric in the sense that it is defined for the transfer functions. Its translation into a parametric one is straightforward under the assumption that $S$ and $G_\\circ$ have the same number of zeros and poles.\n\\end{rem}\n\n\n\\begin{exmp}\nSuppose that $G(z) = \\frac{z-1.1}{(z-0.2)(z-0.5)}$, and let $S(z) = \\frac{z-(1.1+\\delta)}{(z-0.2)(z-0.5)}$ with $\\delta> 0$. Then, the non-minimum phase zero of $G$ is $\\delta$-private for any unbiased estimator of the zero.\n\\end{exmp}\n\n\n\\begin{rem}\nObserve that even in a case where the adversary knows the true architecture in use (Fig.~\\ref{fig1}), and successfully identified the cipher plant, it remains impossible to recover $G$ solely based on disclosed data: the plant is dynamically masked, and is not identifiable via $\\mathcal{I}_i$ regardless of its parameterization.   \n\\end{rem}\n\\subsection{Adversary description}\nIn the communication channel between the controller and the plant, we consider an adversary injecting false data into the actuator of the plant. Next, we discuss the resources the adversary has \\citep{teixeira2015secure}.\n\n\\subsubsection{Disclosure and disruption resources:} The adversary can eavesdrop on the communication channels and collect data. We represent the data available to the adversary at any time instant $i \\in \\mathbb{Z}^{+}$ as \n\\begin{equation}\n    \\mathcal{I}_i := \\cup_{t=0}^{i}\\{w_k,u_k\\}\n\\end{equation}\nThe adversary can also inject data into the control communication channels. This is represented by: \n\\begin{equation}\n    \\tilde{u}_k = u_k + a_{k}\n\\end{equation}\nwhere $a_{k}$ is the data injected by the adversary. Here $a \\in \\mathcal{L}_{2e}$ since the $\\mathcal{L}_{2e}$ space allows us to study a wider class of attack signals than  $\\mathcal{L}_{2}$.\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=8.4cm]{rep_ad.pdf}\n    \\caption{Architecture believed by the adversary.}\n    \\label{fig2}\n\\end{figure}\n\n\\subsubsection{Plant knowledge:} The adversary knows the order of the plant and the presence of at least one zero in the plant. Except for this, the adversary does not know anything about the NCS. They however devise an estimator of the plant $\\mathcal{I}_i \\mapsto \\hat{G}$, \n from the disclosed data, according to the believed model specifications in  Fig.~\\ref{fig2}. We explain in the next section, how the dynamic masking architecture distorts $\\hat{G}$. \n\n\\subsubsection{Attack goals and constraints:}\nThe adversary aims at deteriorating the system's performance while remaining undetected. Hence, the adversary injects attack signals to maximize the energy of the states of the system $\\hat{G}$ output while keeping the energy of the detection output lower than $\\epsilon_r$. The aim of maximizing the energy of the states is to consequently maximize the energy of the output $z$ (this objective is contradictory to the plant). \n\n\n\\subsection{Problem Formulation}\nMany methods can be used to construct stealthy data injection attacks \\citep{fotiadis2020constrained,anand2021stealthy}, and in this paper, we consider zero-dynamics attacks (ZDA). Thus, to help us define security and privacy for the operator, we make the following assumptions.\n\\begin{assum}\\label{ass_un_zero}\n$G$ has at least one zero. $\\hfill \\triangleleft$. \n\\end{assum}\n\nAs depicted in \\citep{teixeira2015secure}, a ZDA is constructed based on the location of the zero. Thus, we adopt the following definition of privacy in our paper.\n\\smallskip\n\n\\begin{defn}\\label{defn:privacy}(Privacy of a property of $G$ with respect to an adversary)\nLet $\\psi_G$ be any property of $G$ (e.g., a zero of $G$). Then $\\psi_G$ is said to be $\\delta$-private with some $\\delta>0$, if the estimator $\\widehat{\\psi_G}= \\psi_{\\hat{G}}$ of $\\psi_G$ used by the adversary, based on disclosed data $\\mathcal{I}_i$, is such that $\\mathbb{E}\\|{\\psi}_{\\hat{G}} - \\psi_G\\|^2\\geq \\delta$.  $\\hfill \\triangleleft$\n\\end{defn}\n\nAccording to the above definition, if $\\psi_G$ is $\\delta$-private, there is no way that the adversary can recover its exact true value based on  $\\hat{G}(\\mathcal{I}_i)$, even when $i\\to \\infty$. Note that $\\delta$-privacy is to be established for the particular estimator (or class of possible estimators) used by the adversary. It is implicitly assumed that any used estimator possesses well-defined first- and second-order moments with respect to the underlying probability measure of the disturbances\/noises. The key to establishing privacy is then to introduce bias into the adversary's inference procedure, via the dynamic masking architecture, as explained in Section \\ref{sec:Privacy}.\n\nAs previously described, we consider a detector that raises an alarm when $\\Vert d_k \\Vert_{\\ell_2}^2 > \\epsilon_r$. Then, we adopt the following definition of security:\n\\begin{defn}[Security of the NCS]\\label{defn:security}\nThe closed-loop NCS is said to be secure if one of the following holds in the presence of a ZDA:\n\\begin{enumerate}\n    \\item $\\Vert d_k \\Vert_{\\ell_2}^2 > \\epsilon_r$ if the performance deterioration is unbounded. \n    \\item The performance deterioration is bounded. $\\hfill \\triangleleft$\n\\end{enumerate}\n\\end{defn}\nThen we consider the following problem in this paper: \n\\begin{prob}\nShow that the dynamic masking NCS architecture proposed in Fig. \\ref{fig1} provides privacy and security with respect to Definition \\ref{defn:privacy} and Definition \\ref{defn:security}. $\\hfill \\triangleleft$ \n\\end{prob}\nIn the next section, we first show how the system architecture proposed in Fig. \\ref{fig1} provides privacy.\n\\subsection{Zero-dynamics attack}\nBefore describing the construction of a ZDA, we define zero-dynamics of a system $\\Sigma$ next.\n\\begin{defn}[ZDA \\citep{teixeira2015secure}]\nGiven a system $\\Sigma$ with the state-space matrices $(A_{\\Sigma}, B_{\\Sigma}, C_{\\Sigma}, D_{\\Sigma})$, the ZDA are a class of data injection attacks, which yield the output of $\\Sigma$ identically zero. The attack is of the form \n\\begin{equation}\\label{ZDA:attack}\n    a_{k}=g\\beta^k,\n\\end{equation}\nwith $g$ and $\\beta$ satisfying the following equation\n\\begin{equation}\\label{ZDA}\n\\begin{bmatrix}\n\\beta I-A_{\\Sigma} & -B_{\\Sigma}\\\\\nC_{\\Sigma} & D_{\\Sigma}\n\\end{bmatrix}    \n\\begin{bmatrix}\nx_0\\\\g\n\\end{bmatrix}=\n\\begin{bmatrix}\n0\\\\0\n\\end{bmatrix},\n\\end{equation}\nin which $x_0$ is the initial condition of the system $\\Sigma$. $\\hfill \\triangleleft$\n\\end{defn}\n\nWe also say that the attack $a$ lies in the output nulling space of $\\Sigma$. Now, given that the adversary has perfect knowledge about $S$ and the architecture in Fig. \\ref{fig2}, the adversary injects an attack which is the zero-dynamics of $S$. \nThis is a strategic attack since it does not raise an alarm since $d_k =0,\\;\\forall k\\in \\mathbb{R}^{+}$, and the states of $S$ will diverge: making the performance deterioration unbounded. For clarity, the attack vector is of the form $a_{k}=g_s\\beta_s^k$, where $\\beta_s$ and $g_s$ are the zero and the input directions of $S$ respectively, and they satisfy \n\\begin{equation}\n\\begin{bmatrix}\n\\beta_sI-A_{S} & -B_{S}\\\\\nC_{S} & D_{S}\n\\end{bmatrix}    \n\\begin{bmatrix}\nx_{0s}\\\\g_s\n\\end{bmatrix}=\n\\begin{bmatrix}\n0\\\\0\n\\end{bmatrix},\n\\end{equation}\n\nAnd, as we can see, the ZDA is dependent on the initial conditions of the plant. However, the adversary can drive the plant to the necessary initial conditions $x_0$ and then initiate a ZDA. Some works focus on a more detailed analysis on the effects of non-zero initial conditions on the stealthiness of the ZDA \\citep{teixeira2012revealing}.\n\nDuring the deployment of the attack, the attack might be easily detected if the reference changes. This is because the reference signal might interfere with the initial conditions necessary for the ZDA. To avoid this triviality, we make the following assumption\n\\begin{assum}\nDuring the attack, $r_k \\triangleq 0,\\forall k\\in \\mathbb{R}^{+}$. Also, it is known to the adversary that $r_k \\triangleq 0$ $\\hfill \\triangleleft$\n\\end{assum}\nThe above argument also highlights the necessity of ignoring the noise. Next, we describe how the ZDA is detected with the help of architecture in Fig. \\ref{fig1}. \n\\subsection{Detectability conditions}\nWe first present the detectability results of ZDA corresponding to an unstable zero.\n\\begin{thm}[Sufficient detectability conditions]\\label{thm:detect}\nLet $|\\beta_s|\\\\>1$. Then it holds that $||d_k||_{\\ell_2}^2 >\\epsilon_r$ for the architecture in Fig. \\ref{fig1} if, the unstable zeros of $S$ are not the unstable zeros of $G$.  \n\\end{thm}\n\\begin{pf}\nThe ZDA generated by the adversary lies in the output nulling space of $S$. The states of $S$ grow exponentially since the attack is exponential. However, in architecture Fig. \\ref{fig1}, the attack passes through the plant $G$ whose output is fed to the detector. Then the attack makes the output of the plant $G$ grow exponentially: this is true since the attack does not correspond to a ZDA of $G$. This concludes the proof. $\\hfill \\blacksquare$\n\\end{pf}\n\nThe increase in the performance energy is unbounded because the ZDA corresponds to an unstable zero \\citep{teixeira2015secure}. However, we showed in Theorem \\ref{thm:detect} that the architecture in Fig. \\ref{fig1} can provide security (with respect to (i) in Definition \\ref{defn:security}), under some conditions. \n\nTheorem \\ref{thm:detect} does not generalize to stable ZDA because the attack corresponding to a stable ZDA decays exponentially (since $|\\beta_s|\\leq 1$), and so does the output of $G$. Thus, if the threshold is sufficiently large, the attack is undetected. However, the increase in performance energy is bounded \\citep{teixeira2015secure}. Thus, security is guaranteed with respect to (ii) in Definition \\ref{defn:security}).\n\nUntil now, we considered the detector at the plant output ($D1$). This was justified by the increased use of smart sensors. However, one could also opt for the traditional architecture where the detector is present at the controller $(D2)$ with access to $\\tilde{y}$ and ${u}$. Then the detector can be assumed to be a Kalman filter-based detector (see (3) in \\citep{teixeira2015secure}). Now we show how the dynamic masking architecture proposed in Fig. \\ref{fig1} can be used to provide security in terms of Definition \\ref{defn:security}. Then, we state the following result which immediately follows from the fact that the adversary will only estimate $S$.\n\n\\begin{lem}\nLet $S$ only have stable zeros. Then the increase in performance energy under a ZDA is bounded.$\\square$\n\\end{lem}\n\nAlthough the results in this section provide a way to enhance attack detection, they do not provide a general design guideline for $S$. This is left for future work but we briefly comment on the design. We want to \\textit{trick} the adversary into believing that the data correspond to the plant. This can be partly achieved by setting the poles to be equal for $S$ and $G$. An additional condition is for $S$ to be internally stable. \n\nThus in this section, we showed that the dynamic masking architecture proposed in Fig \\ref{fig1} provides security in terms of Definition \\ref{defn:security} against ZDA by either making the attack detectable or by making the performance deterioration bounded. We next depict the results of this paper through numerical examples.\n\\section{Introduction}\nNetworked control systems (NCSs) are of significant importance to society as they have become part of our daily life. Examples include the power grids \\citep{singh2014stability}, and water supply networks \\citep{cembrano2000optimal}. However, due to the increased use of (possibly) un-secure open communication channels in NCS, they are prone to cyber-attacks. The social and economical consequences of such cyber-attacks can be disastrous \\citep{dibaji2019systems,sandberg2022secure}. Thus preventing, detecting, and mitigating such attacks is of utmost importance, and is currently an active research area with several contributions based on different approaches \\citep{ferrari2021safety}. \n\nIn the literature, there are different security concepts such as physical watermarking, moving target defense, and multiplicative watermarking \\citep{chong2019tutorial}. Such security concepts focus on detecting cyber attacks. On the other hand, various privacy concepts help reduce unauthorized access to the transmitted data \\citep{nekouei2019information}, thus mitigating attacks. \n\nHowever, except in a few works \\citep{mukherjee2021secure}, privacy and security are considered independently. In practice, a system operator prefers privacy (of data or system properties), and in the worst case, prefers to be secure (able to detect) cyber-attacks. Thus, inspired by internal model control \\citep{zhang2010advanced}, we propose an architecture for NCSs to provide a unified framework for privacy and security (which will be defined later). \n\nIn particular, we consider a Discrete-Time (DT) Linear Time-Invariant (LTI) description of a plant $(G)$ on one side of the network. The plant runs in parallel with simulations of $G$ and an arbitrary system ${S}$; these can be seen as being parts of a privacy filter layer or a smart sensor. On the other side of the network are the detector, the reference signal and controller, and similar simulations of $G$ and $S$ which can be thought of as being parts of a Digital Twin (DiT) \\citep{barricelli2019survey}. The exact mathematical description of the system is given in the next section, while a pictorial representation is given in Fig. \\ref{fig1}.  \n\nWith the architecture in Fig. \\ref{fig1}, referred to as dynamic masking architecture, we consider an adversary deploying an attack in a two-step procedure (similar to \\citet{mukherjee2021secure}): first learn the system dynamics, and then inject an attack which is not detected but deteriorates the system performance. The key contributions of our paper under the proposed architecture are the following:\\vspace{-0.1cm}\n\\begin{enumerate}\n    \\item We propose the Mean Squared Error (MSE) between the true plant and the system learnt by the adversary as a measure of privacy. That is, we define privacy in terms of the system parameters and not in terms of the signals themselves.\n    \\item We show that the operator can introduce an arbitrary amount of bias into the parameters of the model identified by the adversary. In other words, the adversary will only be able to identify the arbitrary system $S$ and not the plant $G$. \n    \\item We show that the attack performance deteriorates: the attack is effectively detected under some conditions on $S$. \n\\end{enumerate}\n\nOur approach is related to other works in the literature such as watermarking in that we require time-synchronization between the plant side and the controller side, and use dynamical filters in the cyber domain. However, to our knowledge, the use of dynamic watermarking for privacy was not considered before. Additionally, we do not require the invertibility of the filters used. Our work is also related to the 2-way coding \\citep{fang2019two}. However, they do not provide a measure of privacy.\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=8.4cm]{rep_new.pdf}\n    \\caption{Proposed dynamic masking architecture. Here $z$ represents the $Z-$transform operator. $D1$ and $D2$ represent the two possible locations of the detector. The arbitrary system $S(z)$ in the dotted box is the plant seen by the adversary.}\n    \\label{fig1}\n\\end{figure}\n\nThe remainder of this paper is organized as follows: we formulate our problem in Section \\ref{sec:problem_formulation}. Using the proposed system architecture, we discuss the privacy aspect in Section \\ref{sec:Privacy} and the security aspect in Section \\ref{sec:Security}. We depict the efficacy of the proposed architecture in Section \\ref{sec:NE}. Section \\ref{sec:Conclusion} concludes the paper and provides avenues for future research. \n\n\\textit{Notation:} Throughout this article, $\\mathbb{R}, \\mathbb{R}^{+}, \\mathbb{Z}$ and $\\mathbb{Z}^{+}$ represent the set of real numbers, positive real numbers, integers and non-negative integers respectively. Let $x: \\mathbb{Z} \\to \\mathbb{R}^n$ be a discrete-time signal with $x_k$ as the value of the signal $x$ at the time step $k \\in \\mathbb{Z}$. Let the time horizon be $[0,N]=\\{ k \\in \\mathbb{Z}^+|\\; 0 \\leq k\\leq N \\}$. The $\\ell_2$-norm of $x$ over the horizon $[0,N]$ is represented as $|| x ||_{\\ell_2, [0,N]}^2 \\triangleq \\sum_{k=0}^{N} x[k]^Tx[k]$. Let the space of square-summable signals be defined as $\\ell_2 \\triangleq \\{ x: \\mathbb{Z}^+ \\to \\mathbb{R}^n |\\; ||x||^2_{\\ell_2, [0,\\infty]} < \\infty\\}$ and the extended signal space be defined as $\\ell_{2e} \\triangleq \\{ x: \\mathbb{Z}^+ \\to \\mathbb{R}^n | \\;||x||^2_{[0,N]} < \\infty, \\forall N \\in \\mathbb{Z}^+ \\}$. \n\n\\section{Problem Background}\\label{sec:problem_formulation}\n\\input{.\/Problem_Formulation}\n\n\\section{Privacy under the proposed architecture}\\label{sec:Privacy}\n\\input{.\/Privacy}\n\n\\section{Security under the proposed architecture}\\label{sec:Security}\n\\input{.\/Security}\n\n\\section{Numerical Example}\\label{sec:NE}\n\\input{.\/NE}\n\n\\section{Conclusion}\\label{sec:Conclusion}\nIn this paper, we proposed a new architecture to enhance the privacy and security of NCS. We considered an adversary which first learns the plant dynamics, and then performs a ZDA. Under the proposed architecture, we show that it is possible to (i) introduce bias in the system knowledge of the adversary, and (ii) efficiently detect attacks. Through numerical simulations, we illustrate the efficacy of the proposed architecture. Future works include developing a systematic design procedure for $S$.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\\section{Introduction}\n\nGauge theories can in principle, up to anomalies, be formulated for all simple Lie groups. This property has been used often to gain insight into structures or simplify calculations. One salient example is the large-$N$ limit in QCD. Another option is to use the exceptional group G$_2$, leading to G$_2$ QCD.\n\nThe proposal to make this replacement was made \\cite{Holland:2003jy} to understand the role of the center of the gauge group, which was long assumed to play a central role for many of the salient features of QCD, especially confinement. However, the detailed investigations, to be presented in section \\ref{sym}, showed that most of these features are also present in the G$_2$ case.\n\nBesides these conceptual questions concerning the center, another property of G$_2$ QCD is interesting from a practical point of view. Since all its representations are real, no sign problem arises when simulating G$_2$ QCD with dynamical fermions. It is thus possible to investigate the whole phase diagram of the theory using lattice calculations \\cite{Maas:2012wr}. G$_2$ QCD is so far the theory most similar to QCD where this is possible in the continuum limit. The resulting phase diagram \\cite{Maas:2012wr} is rather similar to the one obtained in other such theories, like QCD with gauge group SU(2) (QC$_2$D) \\cite{Hands:2006ve,Hands:2011ye,Strodthoff:2011tz,Cotter:2012tt} or QCD in the strong coupling limit \\cite{deForcrand:2009dh,Fromm:2011zz}. Thus, G$_2$ QCD offers another perspective on the QCD phase diagram. This will be detailed in sections \\ref{sqcd} and \\ref{ssmall}.\n\nIt is, of course, an interesting question whether there can be established any direct connection between the G$_2$ case and the SU(3) world. Breaking the G$_2$ gauge group using a Higgs field works for the Yang-Mills case \\cite{Holland:2003jy}, as briefly outlined in section \\ref{shiggs}, but it is yet not clear whether this is also possible in the QCD case.\n\nThus, gauge theories with gauge group G$_2$ are very interesting from many perspectives, as will be summarized in section \\ref{sconclusion}. However, most investigations are yet on a qualitative and exploratory level, and many interesting questions have not even been addressed yet.\n\n\\section{Yang-Mills theory}\\label{sym}\n\n\\subsection{Zero temperature}\n\nThe simplest realization of a gauge theory with the gauge group G$_2$ is Yang-Mills theory. Since the adjoint representation of G$_2$ is 14-dimensional, there are 14 gluons. Using the Macfarlane representation \\cite{Macfarlane:2002hr} a G$_2$ link (or group element) $U$ in the 7-dimensional fundamental representation can be written as\n\\begin{equation}\nU=Z\\begin{pmatrix} u & 0 & 0 \\cr 0 & 1 & 0 \\cr 0 & 0 & u^* \\end{pmatrix},\\nonumber\n\\end{equation}\n\\noindent where $Z$ is a 7-dimensional representation of $S^6$ and $u$ is an element of SU(3). Thus, 8 of the gluons can be considered loosely as 'SU(3)'-like. This will become important in section \\ref{shiggs}. Due to this explicit SU(3) subgroup, lattice simulations of a G$_2$ theory are straightforward but expensive, see \\cite{Maas:2007af,Wellegehausen:2011sc,Maas:2012wr,Wellegehausen:2010ai} for the algorithms employed here.\n\n\\begin{figure}\n\\input{potential40}\\input{StringBreakingPot}\n\\caption{\\label{fig:pot}The Wilson potential $\\tilde{V}$ divide by the scale $\\mu$ for different representations $\\mathcal{R}$ (left) and its string-breaking, compared to hybrid masses for two representations (right), both in three dimensions, from \\cite{Wellegehausen:2010ai}.}\n\\end{figure}\n\nG$_2$ is the smallest rank 2 gauge group with a trivial center. As a consequence, every fundamental charge can be screened by three adjoint charges, and thus there is no infinitely rising Wilson potential, and thus no confinement in the sense of a Wilson area law \\cite{Holland:2003jy}. However, in practice the corresponding Polyakov loop is found to be very small at zero temperature, and in fact only upper bounds are known, though it follows that it must be non-zero. In fact, at intermediate distances a linear rising Wilson potential \\cite{Pepe:2006er,Greensite:2006sm}, including a characteristic Casimir scaling \\cite{Wellegehausen:2010ai,Liptak:2008gx}, is found. Thus, a string appears in the same way as in QCD with dynamical quarks, up to a distance where string-breaking sets in \\cite{Wellegehausen:2010ai}. Hence, G$_2$ Yang-Mills theory is in the same sense (non-)confining as is QCD. These facts are illustrated in figure \\ref{fig:pot}. Of course, since the theory has no anomaly, it is still a well-defined theory, with only colorless asymptotic states \\cite{Holland:2003jy,Pepe:2006er}, like glueballs \\cite{Wellegehausen:2010ai,Lacroix:2012pt}.\n\n\\begin{figure}\n\\includegraphics[width=0.5\\linewidth]{gp}\\includegraphics[width=0.5\\linewidth]{alpha}\n\\caption{\\label{fig:gluon}The minimal Landau-gauge gluon propagator $D$ (left panel) and running coupling $\\alpha$ (right panel) of G$_2$ Yang-Mills theory compared to SU(3) Yang-Mills theory in three dimensions as a function of momentum $p$, from \\cite{Maas:2012wr}.}\n\\end{figure}\n\nIt is thus an interesting question what the effective degrees of freedom are. On the level of the elementary particles, the gluons, no qualitative, and little quantitative difference is found \\cite{Maas:2007af,Maas:2010qw}. This also manifests itself in a qualitative similar running coupling, even in the far infrared, see figure \\ref{fig:gluon}\\footnote{For all results for Yang-Mills theory, the scale has been set by giving the intermediate distance fundamental string-tension a value of (440 MeV)$^2$ \\cite{Maas:2007af,Danzer:2008bk}.}. Thus, at the level of gluons, there is no distinct difference.\n\nAnother set of effective degrees of freedom often used in Yang-Mills theory are topological ones. Similarly, for G$_2$ Yang-Mills theory vortices \\cite{Greensite:2006sm}, monopoles \\cite{DiGiacomo:2008nt}, dyons \\cite{Diakonov:2010qg}, and instantons \\cite{Ilgenfritz:2012aa} have been constructed. Using lattice simulations and cooling, it is indeed possible to verify the existence of topological lumps, which are associated with action lumps and a non-vanishing topological susceptibility of roughly $(150$ MeV$)^4$ \\cite{Ilgenfritz:2012aa}, though yet with large systematic errors. Though there exist differences in details, e.\\ g.\\ vortices are not associated with a  center \\cite{Greensite:2006sm}, the salient features of these topological excitations are close to the ones in ordinary SU($N$) Yang-Mills theory. As one can expect from these observations, chiral symmetry is broken in the vacuum in the same way as in ordinary Yang-Mills theory \\cite{Danzer:2008bk}.\n\nThus in total, G$_2$ Yang-Mills theory in the vacuum is very similar to SU($N$) Yang-Mills theories.\n\n\\subsection{Finite temperature}\n\nSince the finite-temperature phase transition in SU($N$) Yang-Mills theories is associated with a center-symmetry breaking\/restoring phase transition, it was originally anticipated \\cite{Holland:2003jy} that there will not be a phase transition in G$_2$ Yang-Mills theory, though the gluonic sector suggested otherwise \\cite{Maas:2005ym}. Lattice simulations then indeed found a strong first-order phase transition in G$_2$ Yang-Mills theory \\cite{Pepe:2006er,Greensite:2006sm,Cossu:2007dk} using the free energy. However, in practice this is non-trivial due to a bulk transition requiring rather fine lattices \\cite{Pepe:2006er,Cossu:2007dk}. This phase transition is also reflected in the behavior of glueballs \\cite{Lacroix:2012pt}.\n\nAmazingly, though not being an order parameter, the Polyakov loop also reflected this phase transition. In fact, it is possible to use the Polyakov loops in various representations to describe the phase structure of G$_2$ Yang-Mills theory rather accurately \\cite{Wellegehausen:2009rq}. One of the main reasons seems to be that though there is no genuine center symmetry, a distorted three-fold structure is still preserved by G$_2$, which, when breaking the theory down to SU(3), yields the center symmetry, see section \\ref{shiggs} below.\n\nThis alone is already in remarkable agreement to ordinary Yang-Mills theory. But the similarities are even more pronounced. Since all representations are real, it would have been possible that the chiral transition, as is the case for the adjoint chiral condensate in SU($N$) \\cite{Karsch:1998qj,Bilgici:2009jy}, would not show a phase transition or only at a much higher transition temperature. This is not the case, and, within lattice resolution, the chiral condensate shows a response precisely at the same temperature as the Polyakov loop and the free energy \\cite{Danzer:2008bk}. As would be naively expected from the comparison to SU($N$) Yang-Mills theory, it is then also found that the topological properties change at the phase transition \\cite{Ilgenfritz:2012aa}, especially the topological susceptibility drops.\n\n\\begin{figure}\n\\includegraphics[width=\\linewidth]{pd-ym}\n\\caption{\\label{fig:phase-ym}The phase diagram of G$_2$ Yang-Mills theory. The critical temperature is taken from \\cite{Cossu:2007dk}, the Polyakov loop and chiral condensate from \\cite{Danzer:2008bk} and the topological susceptibility from \\cite{Ilgenfritz:2012aa}.}\n\\end{figure}\n\nThe resulting phase diagram is shown in figure \\ref{fig:phase-ym}. The first order nature is visible, though it requires a detailed study of scaling properties to ascertain it \\cite{Cossu:2007dk}. Thus, from the point of view of the phase diagram G$_2$ Yang-Mills theory behaves very similar to the SU(3) case, even though the phase transition is not related to a symmetry. This is one of the reasons why Yang-Mills theory is well suited as a stand-in for QCD thermodynamics, as discussed in section \\ref{sqcd-pd}. The reason for the existence of this similarity is besides the approximate three-fold structure \\cite{Wellegehausen:2009rq} the fact that the size of the gauge group appears to be more relevant for the phase structure than the center of the group \\cite{Pepe:2006er,Holland:2003kg}.\n\n\\section{Yang-Mills-Higgs theory}\\label{shiggs}\n\n\\begin{figure}\n\\includegraphics[width=\\linewidth]{phaseLines16x6_summary}\n\\caption{\\label{fig:phase-higgs}The phase diagram of G$_2$ Yang-Mills-Higgs theory, from \\cite{Wellegehausen:2011sc}, as a function of gauge coupling and Higgs hopping parameter at finite temperature.}\n\\end{figure}\n\nOne of the interesting features of G$_2$ is that it has SU(3) as a sub-group. Thus, it appears possible to somehow hide the S$^6$ part of the gauge group using the Higgs mechanism such that just SU(3) remains. In fact, it turns out that a single fundamental Higgs field is sufficient for this purpose \\cite{Holland:2003jy,Wellegehausen:2011sc}. In such a more complicated theory it is possible to follow the phase structure at finite temperature, and map a phase diagram in the temperature-Higgs mass plane at infinite four-Higgs coupling \\cite{Wellegehausen:2011sc}, as shown in figure \\ref{fig:phase-higgs}.\n\nThe phase structure is rather intricate at intermediate values of the couplings. Given the large systematic uncertainties encountered in such theories \\cite{Bonati:2009pf} a definite answer will remain hard to find. However, this question is highly relevant: If a continuous connection between the SU(3)-like domain and the G$_2$-like domain exists this would have significant implications for the physics of both theories.\n\nThe situation becomes much more complicated when introducing (fermionic) matter fields into the theory \\cite{Holland:2003jy}. In this case, a hiding with just one Higgs field will inevitably lead to an SU(3) theory with the matter fields in the wrong representation, in particular to real matter fields. Since the natural question is, whether a connection to ordinary QCD is possible, the hiding or breaking  mechanism must complexify the matter fields to lead to the inequivalent fundamental and anti-fundamental representations of QCD. This will likely only be possible, if at all, by manipulating the theory on the level of Weyl fermions, a topic under current investigation \\cite{Maas:2012aa}.\n\n\\section{G$_2$ QCD}\\label{sqcd}\n\n\\subsection{Vacuum structure}\n\nWhen adding $N_f$ fundamental fermions to G$_2$ Yang-Mills theory one arrives at G$_2$ QCD. The vacuum structure of this theory is yet little explored \\cite{Holland:2003jy,Maas:2012wr}, but has a number of highly interesting features. The first concerns the spectrum. Due to the group structure, there exists a richer set of color-neutral bound states than in QCD \\cite{Holland:2003jy}, both of fermionic and bosonic type. In the boson sector there are as in QCD the glueballs and mesons. In addition, there are also diquarks, since due to the reality of the G$_2$ representations such states are color-neutral, different from QCD, but similar to QC$_2$D. In addition, there are also tetraquarks and heptaquarks consisting out of four and six quarks. Besides these bosonic hadrons there are also fermionic ones. Most notably the hybrid, consisting out of one quark and three gluons, but also a nucleon from three quarks, as well as pentaquarks and heptaquarks from five and seven quarks.\n\nThe mass hierarchy of these states will depend strongly on the masses of the quarks, even for degenerate flavors. E.\\ g., at heavy quark mass the hybrid will be the lightest particle in the fermionic sector, while the nucleon is expected to take over this role at low quark masses, but will still be heavier than the diquark or mesons. The details of these hierarchy are a dynamical problem.\n\nThese bound states are also influenced by the pattern of chiral symmetry breaking. Due to the reality of quarks, G$_2$ has, similarly to QC$_2$D, an enlarged chiral symmetry of U(2$N_f$) \\cite{Kogut:2000ek,Holland:2003jy,Hands:2000ei,Maas:2012wr}. This symmetry can be viewed as a flavor symmetry on the level of the Weyl fermions. Of this symmetry an axial U(1) is expected to be broken in the same way as in ordinary QCD by the axial anomaly. Taking for the following a single flavor leaves, in contrast to QCD, still an SU(2) chiral symmetry. This symmetry is spontaneously broken \\cite{Maas:2012wr}, like in the quenched case \\cite{Danzer:2008bk}, leaving only an U(1) intact. This conserved U(1) can then be associated with a baryon number. The Goldstone bosons of this breaking are then expected to be two diquarks \\cite{Maas:2012wr}, just like in QC$_2$D \\cite{Strodthoff:2011tz}. These two diquarks represent a flavor-doublet on the level of Weyl fermions.\n\n\\begin{figure}\n\\includegraphics[width=0.5\\linewidth]{pion-fit}\\includegraphics[width=0.5\\linewidth]{masses}\n\\caption{\\label{fig:mass}The connected part of the diquark\/scalar meson correlator with a mass fit (left panel) and the masses for the diquark and the pion as a function of the gauge coupling (right panel), from \\cite{Maas:2012wr}. The lattice spacing is strongly-dependent on the lattice parameters.}\n\\end{figure}\n\nIn numerical simulations this is rater hard to identify, as for one Dirac flavor the scalar and the diquarks only differ by disconnected contributions. Furthermore, it turns out that G$_2$ QCD in the range of accessible parameters is very sensitive to both the gauge coupling and the hopping parameter, and has at rather low gauge coupling at fixed hopping parameters already a transition into an unphysical phase \\cite{Maas:2012aa}, possibly an Aoki-like phase. Nonetheless, mass determinations are possible, as is demonstrated for $N_f=1$ in figure \\ref{fig:mass}. The determination of the vacuum spectrum is thus a challenging task, even at a qualitative level, and an ongoing project \\cite{Maas:2012aa}. Especially the mass of the nucleon is relevant, when one turns to the phase diagram.\n\n\\subsection{Phase diagram}\\label{sqcd-pd}\n\nDue to reality of the representations and the enlarged chiral symmetry, the whole phase diagram for the $N_f=1$ case is both accessible in lattice simulations and relevant. Even besides the fact that G$_2$ QCD is an interesting theory on an intellectual level, there is a number of features which makes it also highly relevant on the level of applications in the continuum limit. First of all, as described in section \\ref{sym}, the theory is in the quenched limit very similar to SU($N$) Yang-Mills theories, in contrast to theories with adjoint matter \\cite{Karsch:1998qj,Bilgici:2009jy,Hands:2000ei}. Furthermore, the theory has nucleons, and in general fermionic baryons, and thus also nuclei. Hadronic Pauli effects at intermediate densities will thus play a role, in contrast to QC$_2$D \\cite{Hands:2006ve,Hands:2011ye,Strodthoff:2011tz,Cotter:2012tt}. No other gauge theory with this combination of features has yet been simulated on a lattice, except without continuum limit \\cite{deForcrand:2009dh,Fromm:2011zz}.\n\nThis provides the possibility of a number of unprecedented tests of lattice approaches to finite density QCD. It is possible to test explicitly to which extent investigations using analytical continuation in imaginary or isospin chemical potential work (see e.\\ g.\\ \\cite{deForcrand:2010he,Cea:2012ev}), and whether Taylor expansions (see e.\\ g.\\ \\cite{Karsch:2010hm,Borsanyi:2012cr}), Lee-Yang zeros (see e.\\ g.\\ \\cite{Fodor:2004nz}), or other methods (see e.\\ g.\\ \\cite{Fodor:2007vv}) are reliable tools.\n\nFurthermore, and possibly even more important, the G$_2$ QCD lattice phase diagram provides new benchmarks for both models \\cite{Leupold:2011zz,Buballa:2003qv,Pawlowski:2010ht} and continuum methods, in the latter case especially functional methods \\cite{Pawlowski:2010ht,Braun:2011pp,Maas:2011se}. Furthermore, if breaking G$_2$ QCD to ordinary QCD should be possible, this would be even more helpful, though, of course, at some point the sign problem will prevent a simulation of QCD.\n\n\\begin{figure}\n\\includegraphics[width=\\linewidth]{pd}\n\\caption{\\label{fig:pd}The G$_2$ QCD phase diagram for one flavor of quarks. The left panel shows the (unrenormalized) Polyakov loop, the middle panel the normalized chiral condensate, and the right panel the Baryon density, normalized to the saturation density of 14 quarks\/lattice site. For details and simulation parameters, see \\cite{Maas:2012wr}. Note that at $\\mu_{\\text{Quark}}\\approx 1$ GeV the system starts to become dominated by systematic effects \\cite{Maas:2012wr}.}\n\\end{figure}\n\nThe first step in this program is provided by a proof-of-principle showing the accessibility of the phase diagram in lattice calculations, see figure \\ref{fig:pd}\\footnote{The scale is here chosen to get a zero-density transition temperature of about 160 MeV, and the first excited meson state is used to set the scale scale. This procedure \\cite{Maas:2012wr} is strongly affected by systematic errors, and will be improved \\cite{Maas:2012aa}.} \\cite{Maas:2012wr}. Though so far at a qualitative level, it shows already a structure close to the expected one, including indications \\cite{Maas:2012aa} of a silver-blaze point \\cite{Cohen:2003kd}, see also section \\ref{ssmall}. A more quantitative description will require more detailed calculations, in particular concerning systematic errors \\cite{Maas:2012aa}. Nonetheless, the theory shows the low-temperature, low-density ordinary phase, has a transition, likely a cross-over, to a high-temperature phase, and also a transition at finite density. Whether any of these are phase transitions remains to be seen, but so far the finite-density transitions are stronger. Also, first signals of additional structure at zero temperature have been observed \\cite{Maas:2012aa}, which may correspond to various phase also observed in QC$_2$D \\cite{Strodthoff:2011tz,Cotter:2012tt}. However, more details studies, especially of systematic effects are necessary before definite statements can be made.\n\n\\begin{figure}\n\\includegraphics[width=\\linewidth]{eom}\n\\caption{\\label{fig:eom}The baryon density (left panel) of G$_2$ QCD, compared to that of continuum and lattice \\cite{Hands:2006ve} Stefan-Boltzmann results with the same mass or for massless quarks, and to leading order chiral perturbation theory \\cite{Hands:2006ve,Kogut:2000ek} with coefficients fitted to the G$_2$ case at intermediate densities. The middle panel shows the corresponding ratios (note the logarithmic scale), and the right-hand panel the integrated equation of state, normalized to the continuum Stefan-Boltzmann case. All results unpublished from \\cite{Maas:2012aa}. The value of the lattice constant $a$ is approximately 0.2 fm.}\n\\end{figure}\n\nFinally, an interesting question is, to which extent the low-temperature case is simple, so that e.\\ g., quasi-particle models would be a good description. For this purpose, a comparison to a system of free quarks and to chiral perturbation theory is shown in figure \\ref{fig:eom}. While the high-density region, which is dominated by lattice artifacts \\cite{Maas:2012wr}, is rather well described by the corresponding free lattice system of quarks, this is not the case at low densities. Here, the equation of state is much more similar to lattice or continuum versions of a gas of free massless quarks, instead of massive ones, though the deviations are still very large at the smallest densities. At the same time, at least leading-order chiral perturbation theory is not able to reproduce even qualitatively the physics of G$_2$ QCD. Thus, non-trivial effects play a dominant role at densities below $a\\mu\\approx 0.5$, which translates in this case to roughly 500 MeV of quark chemical potential. In this region, highly non-trivial effects have to be dealt with.\n\n\\section{Results on a smaller lattice}\\label{ssmall}\n\nSince many of the investigations above are limited by the number of different lattice settings which can be simulated, the use of smaller lattices may help in mapping the phase diagram on a finer grid. However, due to the unphysical bulk transition it is not possible to study the full phase diagram on smaller lattices, especially at finite temperature on lattices with $N_t<5$. \nNevertheless, at zero temperature $G_2$ QCD is investigated on a $8^3 \\times 16$ lattice in\nthe parameter region $\\beta=0.90\\ldots1.10$ and $\\mu=0\\ldots2$. The monopole\ndensity is already sufficiently small, such that the system stays outside the\nbulk phase for all values of $\\beta$ and $\\mu$. \n\\begin{figure}[htb]\n\\begin{center}\n\\scalebox{1.1}{\\includeEPSTEX{Mass}}\\hskip10mm\n\\scalebox{1.1}{\\includeEPSTEX{MassRatio}}\n\\caption{\\label{fig:massSmall}Diquark and nucleon mass (left panel) and its ratio (right panel) on a $8^3 \\times 16$ lattice. From \\cite{Maas:2012aa}.}\n\\end{center}\n\\end{figure}\nIn Fig.~\\ref{fig:massSmall} the diquark and nucleon (proton) mass together with its ratio are shown as a function of $\\beta$. Assuming a nucleon mass of about $1$ GeV, the diquark mass changes from $\\sim 500$ MeV at $\\beta=0.90$ to $\\sim 200$ MeV at $\\beta=1.10$.  On the small lattice the scale is set by\nthe ground state diquark mass $\\tilde{a}(\\beta) \\equiv m_\\text{diquark}(\\beta)$. The phase diagram at zero\ntemperature is then given as a function of the dimensionless parameter $\\tilde{\\mu}=\\mu\/m_\\text{diquark}$ and the\ndimensionless lattice spacing $\\tilde{a}$. \n\\begin{figure}[htb]\n\\begin{center}\n\\scalebox{1.1}{\\includeEPSTEX{pd816QND3D}}\\hskip10mm\n\\scalebox{1.1}{\\includeEPSTEX{pd8_16_QND_105}}\n\\caption{\\label{fig:QNDSmall}Quark number density as a function of the lattice spacing $\\tilde{a}$ (left panel) and at $\\beta=1.05$ (right panel) on a $8^3 \\times 16$ lattice. From \\cite{Maas:2012aa}.}\n\\end{center}\n\\end{figure}\nIn Fig.~\\ref{fig:QNDSmall} the\nquark number density is shown. Independent of the lattice spacing the quark number density takes it maximum value of $n_{q, \\text{sat}}=2 \\cdot N_c \\cdot N_f=14$ at large $\\tilde{\\mu}$. With decreasing lattice spacing, the saturation shifts to larger values of chemical potential, indicating that this saturation is only a lattice artifact. The Polyakov loop and the (renormalized) chiral condensate show almost the same behaviour as on the larger lattices, see Fig.~\\ref{fig:PolChiralSmall}.\n\\begin{figure}[htb]\n\\begin{center}\n\\scalebox{1.1}{\\includeEPSTEX{pd816Polyakov3D}}\\hskip10mm\n\\scalebox{1.1}{\\includeEPSTEX{pd816Chiral3D}}\n\\caption{\\label{fig:PolChiralSmall}Polyakov loop (left panel) and chiral condensate (right panel) on a $8^3 \\times 16$ lattice as a function of chemical potential $\\tilde{\\mu}$ and lattice spacing $\\tilde{a}$. From \\cite{Maas:2012aa}.}\n\\end{center}\n\\end{figure}\nFurthermore, the onset transition from the vacuum to nuclear matter is studied in\nFig.~\\ref{fig:onsetSmall}.\n\\begin{figure}[htb]\n\\begin{center}\n\\scalebox{1.1}{\\includeEPSTEX{pd816SBQND3D}}\\hskip10mm\n\\scalebox{1.1}{\\includeEPSTEX{onset}}\n\\caption{\\label{fig:onsetSmall}Quark number density (left panel) and onset transition compared to the diquark mass (right panel) on a $8^3 \\times 16$ lattice. From \\cite{Maas:2012aa}.}\n\\end{center}\n\\end{figure}\nAt $\\tilde{\\mu}_0\\approx0.5$, a transition in the quark number density\n(left panel) is observed. The value of the onset does almost not depend on the lattice\nspacing, indicating that at smaller values of $\\tilde{\\mu}$ finite size effects\nare less important than for larger values of the chemical potential. In the\nright panel, the transition (shaded region) is compared to half of the diquark\nmass, and a clear coincidence is visible. This indeed verifies that $G_2$ QCD possesses, as advertised above, the\nsilver blaze property \\cite{Cohen:2003kd} for baryon chemical potential, i.e. half of the \nmass of the lightest bound state carrying baryon number is a lower bound for the onset transition to nuclear matter.\nWith decreasing lattice spacing $\\tilde{a}$, a plateau develops for $\\tilde{\\mu}_0(\\tilde{a})<\\tilde{\\mu}<\\tilde{\\mu}_1(\\tilde{a})$, where the quark\nnumber density is almost constant. For $\\tilde{\\mu}>\\tilde{\\mu}_1(\\tilde{a})$ it\nstarts again to increase until it saturates at $\\tilde{\\mu}_\\text{sat}$.\n\n\n\\section{Conclusions}\\label{sconclusion}\n\nConcluding, G$_2$ QCD is a highly interesting arena to investigate both conceptual and practical questions. Conceptually, it has already taught us that the center of the gauge group is far less relevant than originally anticipated. Most of the salient features of Yang-Mills theory are also present for this case with trivial center. It can thus be expected that many other questions may be little affected by the center as well. However, it also taught us that the group structure and matter representation is important for the physics. \n\nInvestigating practical applications, which particularly involve benchmarks for models and continuum methods at finite densities and low temperatures, is only a newly emerging field. It has been shown that this is possible. It was furthermore already found that the low and intermediate density regime are quite different from simple systems, confirming the situation in QC$_2$D. To fully control this domain, so important for compact stellar objects, much progress will be needed. G$_2$ QCD will, almost certainly, play an important role in the support of this enterprise in the years to come.\n\n\\section{Acknowledgments}\n\nA.\\ M.\\ is grateful to Julia Danzer, Christof Gattringer, Ernst-Michael Ilgenfritz, and {\\v S}tefan Olejn\\'ik for the collaboration on these subjects. A.\\ M.\\ and B.\\ W.\\ are grateful to Lorenz von Smekal and Andreas Wipf for the collaboration on these subjects, especially on the yet unpublished results \\cite{Maas:2012aa} shown in figures \\ref{fig:eom}-\\ref{fig:onsetSmall}.\n\n\\bibliographystyle{bibstyle}\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n Rational approximation has been a research topic for a long time. In \\cite{Wa, Wa1} J. L. Walsh discussed the problem of approximating holomorphic functions by rational functions in one complex variable. A common problem is to find a rational approximation with a given error. Runge's\napproximation theorem (cf. \\cite{Co}) is one of the well-known\nresults in such direction. Best $n$-rational approximation, which is another\nclassical problem in rational approximation, can be formulated as\nfollows. Let $f$ be in the Hardy space $H^2(\\mathbb C_+)$, where\n$\\mathbb C_+=\\{z\\in \\mathbb C; z=x+iy, x\\in \\mathbb R, y>0\\}.$ Find\na pair of co-prime polynomials $p_1$ and $q_1$, where the degrees of $p_1$ and $q_1$\nboth are less or equal to $m,$ and $q_1$ dose not have zeros in $\\mathbb\nC_+$, such that\n\\begin{equation}\\label{best_n}\n\\Vert f-\\frac{p_1}{q_1} \\Vert_{H^2(\\mathbb C_+)}\\leq \\Vert\nf-\\frac{p}{q} \\Vert_{H^2(\\mathbb C_+)}\n\\end{equation}\namong all pairs of co-prime polynomials $p$ and $q$ satisfying\nthe same conditions. Although existence of such $p_1\/q_1$ in\n(\\ref{best_n}) was proved many decades ago (\\cite{Wa}), a\npractical algorithm to find a solution remains as an open problem till now. Some\nconditional solutions have been found (e.g. \\cite{BL,BSW,BW,QW,Q22}). The\nsignificance of studying rational approximation is not only theoretical,\nbut also practical. Rational approximation has direct applications in system\nidentification (e.g. \\cite{AN1,AN2,AN3}). In particular, system\nidentification is to identify the transform function, which itself is often a\nrational function. Identification of transform functions of several complex variables is a recent research topic (e.g. \\cite{Jiao}). For signal processing, people aim to\ndecompose a real-valued function $f\\in L^2(\\mathbb R) $ into a series $\\lq\\lq$ simple \" functions. One can have $f=\nf^+ + f^-$ by the Hardy decomposition, where $f^+$ and $f^-$ are\nnon-tangential boundary limits of certain functions in the respective Hardy\nspaces $H^2(\\mathbb C_+)$ and $H^2(\\mathbb C_{-}).$\nDue to the fact that the real part of $f^+$ is equal\nto $\\frac{1}{2}f,$ the problem is then reduced to decomposing $f^+$ and solved by finding a\nsequence of rational functions in $H^2(\\mathbb C_+)$ approximating\n$f^+.$\n\n Recently, T. Qian et al proposed a function decomposition method called adaptive Fourier decomposition (AFD) that has impacts to both theory and applications. AFD is based on a generalized backward shift process leading to an adaptive Takenaka-Malmquist (TM) system \\cite{Q1,QW}. AFD was originally established in the Hardy spaces of the unit disc and the upper half plane. Here we briefly give a revision of AFD in $H^2(\\mathbb C_+)$. A TM system in the upper half plane is defined as\n\\begin{align}\\label{TM}\nB_k(z)=B_{\\{b_1,...,b_k\\}}(z)=\\sqrt{\\frac{\\beta_k}{\\pi}}\\frac{1}{z-\\overline b_k}\\prod_{j=1}^{k-1}\\frac{z-b_j}{z-\\overline b_j},\\quad b_k=\\alpha_k+i\\beta_k\\in \\mathbb C_+,k=1,2,..., z\\in \\mathbb C_+.\n\\end{align}\nFor $f\\in H^2(\\mathbb C_+)$, and $\\{b_k\\}_{k=1}^m$ being $m$ given points in $\\mathbb C_+$, the main step of AFD is to select $b_{m+1}$ in the upper half complex plane to satisfy\n\\begin{align}\\label{MSP-AFD}\nb_{m+1} := \\arg \\sup_{b\\in \\mathbb C_+}|\\langle f, B_{\\{b_1,...,b_m,b\\}}\\rangle|,\n\\end{align}\nwhere $B_{\\{b_1,...,b_m,b\\}}(z)$ is defined in (\\ref{TM}) corresponding to $\\{b_1,...,b_m,b\\}.$ With a rigorous proof this turns to be realizable and is called the maximal selection principle. AFD offers the fast convergent rational approximation\n$$\n\\lim_{m\\to \\infty}||f-\\sum_{k=1}^m \\langle f, B_k\\rangle B_k||_{H^2(\\mathbb C_+)}=0,\n$$\nwhere each element of $\\{b_k\\}_{k=1}^\\infty$ is selected by the maximal selection principle (\\ref{MSP-AFD}). What AFD gives is rational approximation of functions in $H^2(\\mathbb C_+)$. AFD can be considered as a variation of greedy algorithm, but the main idea of AFD is not identical with any existing greedy algorithm (Pure Greedy Algorithm (PGA) and Orthogonal Greedy Algorithm (OGA), etc., \\cite{DT}).\nBy introducing the complete dictionary concept, Qian \\cite{Q-2D} proposed a new type of greedy algorithm called Pre-Orthogonal Greedy Algorithm (P-OGA) that develops the theory of AFD to abstract Hilbert spaces. As application it is shown that P-OGA is applicable to the Hardy space of the polydisc $H^2(\\mathbb D^2)$ (see \\cite{Q-2D}). Based on the methodology of P-OGA, in \\cite{MQ1} the counterpart of AFD is provided in complex reproducing kernel Hilbert spaces. The higher dimensional analogues of AFD have also been formulated respectively in the quaternionic analysis (see \\cite{QSW}) and Clifford analysis (see \\cite{WQ1}) settings. Among other things, the first setting is a generalization in the spirit of AFD. The second, however, is in the spirit of greedy algorithm, generalizing\n linear combinations of Szeg\\\" o kernels to approximating rational functions. What is in particular achieved in the quaternionic and the Clifford settings is that a global maximal selection of the parameters is attainable\n at each step of the recursive process. The difficulty with the general Clifford setting is caused by the fact that the inner product $\\langle f,f \\rangle$ is not necessarily scalar-valued. Note that in the quaternionic case we obtain rational approximation of functions, but in the Clifford case we can only achieve approximation by linear combination of the shifted Szeg\\\"o kernels: for odd Euclidean dimensions a Szeg\\\"o kernel is not a rational function. The right way of posting the approximation question would be linear combination of Szeg\\\"o kernels, Szeg\\\"o kernel-approximation in short, other than rational approximation.  For more information on AFD and its variations regarding Szeg\\\"o kernel-approximation see \\cite{Q1,QW,QLS,Q22}.\n\n  In this paper, we will study Szeg\\\"o kernel-approximation of functions in the Hardy spaces on the tube over the first octant $H^2(T_{\\Gamma_1})$. Unlike the Clifford case, in $H^2(T_{\\Gamma_1})$ the Cauchy-Szeg\\\"o kernels, as well as their higher order partial derivatives,  are rational functions. By extending the Szeg\\\"o kernel dictionary to its complete dictionary we involve the first and all higher order partial derivatives of the Szeg\\\"o kernels. The introduced complete dictionary is given by using the methodology of P-OGA.\n   Although in $H^2(\\mathbb D^2)$ the P-OGA was well established, the analogous theory in $H^2(T_{\\Gamma_1})$ needs to be independently discussed. Essentially, the reason is that $T_{\\Gamma_1}$ is an unbounded domain while $\\mathbb D^2$ is a bounded domain.  In this paper such rational approximation is called the AFD-type approximation since it can be regarded as AFD in the several complex variables setting. In addition, we will show the convergence of the AFD-type approximation, as well as the rate of convergence of it. As pointed out previously, the study of rational approximation in $L^2(\\mathbb R)$ can be reduced to the study of $H^2(\\mathbb C_+)$ by the decomposition $f=f^++f^-$. Similarly, rational approximation in $L^2(\\mathbb R^n)$ can be reduced to the study of the related $2^n$ Hardy spaces on tubes (also see \\cite{Q-2D}). In the last part of the paper, we will explore the AFD-type approximation in the Hardy spaces on tubes over regular cones $H^2(T_\\Gamma)$.\n\nThe writing plan is as follows. In Section 2, some basic results and\nnotations are given. In Sections 3, we devote to establishing the theory of AFD-type approximation in $H^2(T_{\\Gamma_1})$. In Section 4, several related problems are explored, where the problems include the convergent rate of AFD-type approximation, rational approximation of functions in $L^2(\\mathbb R^n)$, and the exploration of AFD-type approximation in $H^2(T_\\Gamma)$.\n\n\\section{Preliminaries}\nIn this section, we will fast review some basic concepts and properties of $H^2(T_{\\Gamma_1})$. For more information, see e.g. \\cite{SW} and \\cite{DLQ}.\n\nLet $B$ be an open subset in $\\mathbb R^n$. We say that $T_B$ is a\ntube over $B$, if each $z\\in T_B\\subset \\mathbb C^n$ is of the form\n$$\nz=(z_1,z_2,...,z_n)=(x_1+iy_1,x_2+iy_2,...,x_n+iy_n)=x+iy, x\\in\n\\mathbb R^n, y\\in B.\n$$\nIn this paper, we are mainly concerned with the following special tube\n$T_{\\Gamma_1}$, where\n$$\n\\Gamma_1=\\{y\\in \\mathbb R^n: y_1>0, y_2>0,...,y_n>0\\}.\n$$\nDenote by $H^2(T_{\\Gamma_1})$ the Hardy space on $T_{\\Gamma_1}$. We\nsay $F\\in H^2(T_{\\Gamma_1})$, if $F$ is holomorphic on\n$T_{\\Gamma_1}$ and satisfies\n$$\n\\Vert F \\Vert^2=\\sup_{y\\in \\Gamma_1}\\int_{\\mathbb{R}^n}\\vert\nF(x+iy)\\vert^2dx<\\infty.\n$$\n$H^2(T_{\\Gamma_1})$ is a Hilbert space equipped with the inner product\n$$\n\\langle F, G \\rangle =\\int_{\\mathbb R^n}F(\\xi)\\overline {G(\\xi)} d\\xi,\n$$\nwhere $F(\\xi)=\\lim_{\\eta\\in \\Gamma_1,\\eta\\to 0}F(\\xi+i\\eta)$ is the limit function in the $L^2$-norm, so is $G(\\xi)$.\nThroughout this paper, for $F\\in H^2(T_{\\Gamma_1})$ and $\\xi\\in \\mathbb R^n$, $F(\\xi)$ is the limit function in this sense.\n\nWe now present several fundamental properties of functions in $H^2(T_{\\Gamma_1})$ (see e.g. \\cite{SW}).\n\n\\begin{thm}[Paley-Wiener Theorem]\\label{PW}\nSuppose $\\Gamma_1$ is the first octant. Then $F\\in\nH^2(T_{\\Gamma_1})$ if and only if\n$$\nF(z)=\\int_{\\overline \\Gamma_1}e^{2\\pi i z\\cdot t}f(t)dt\n$$\nwhere $f$ is a measurable function on $\\mathbb R^n$ satisfying\n$$\n\\int_{\\overline \\Gamma_1}|f(t)|^2dt <\\infty.\n$$\nFurthermore,\n$$\n||F||=\\left (\\int_{\\overline \\Gamma_1}|f(t)|^2dt \\right\n)^{\\frac{1}{2}}.\n$$\n\\end{thm}\n$H^2(T_{\\Gamma_1})$ is a reproducing kernel Hilbert space whose reproducing kernel is the\nCauchy-Szeg\\\" o kernel\n$$\nK(w,\\overline z)= \\int_{\\overline \\Gamma_1}e^{2\\pi i \\omega \\cdot\nt}\\overline{e^{2\\pi iz \\cdot t}}dt = \\prod_{k=1}^n \\frac{-1}{2\\pi\ni(\\omega_k-\\overline z_k)}, \\quad w,z\\in T_{\\Gamma_1}.\n$$\nThe corresponding Poisson-Szeg\\\"o kernel is given by\n$$\nP_{y}(x)=\\frac{K(z,0)K(0, \\overline z)}{K(z,\\overline z)}=\n\\prod_{k=1}^n \\frac{y_k}{\\pi(x_k^2+y_k^2)}.\n$$\nMoreover, $P_y(x)\\in L^p,$ for $1\\leq p\\leq \\infty$.\\\\\nThe following results are reproducing formulas corresponding to the Cauchy-Szeg\\\"o and\nthe Poisson-Szeg\\\"o kernels, respectively.\n\\begin{thm}\\label{rf_s}\nIf $F\\in H^2(T_{\\Gamma_1})$ then\n$$\nF(z)=\\int_{\\mathbb R^n}F(\\xi) \\overline{K(\\xi, \\overline z)} d\\xi =\n\\int_{\\mathbb R^n}F(\\xi) {K(z,  \\xi)} d\\xi\n$$\nfor all $z=x+iy\\in T_{\\Gamma_1}$, where $F(\\xi)= \\lim_{\\eta\\to 0, \\eta\n\\in \\Gamma_1}F(\\xi+i \\eta)$ is the limit function in the $L^2$-norm.\n\\end{thm}\n\\begin{thm}\\label{rf_p}\nIf $F\\in H^2(T_{\\Gamma_1})$, then\n$$\nF(z)=  \\int_{\\mathbb R^n}F(\\xi) {P_y(x-\\xi)} d\\xi\n$$\nfor all $z=x+iy\\in T_{\\Gamma_1}$, where $F(\\xi)= \\lim_{\\eta\\to 0, \\eta\n\\in \\Gamma_1}F(\\xi+i \\eta)$ is the limit function in the $L^2$-norm.\n\\end{thm}\n\n\\section{Rational Approximation in $H^2(T_{\\Gamma_1})$: AFD-type Approximation}\n\nSuppose that $\\{z^{(k)}\\}_{k=1}^\\infty$ is a sequence of distinct points in $T_{\\Gamma_1}$. Under such assumption, $\\{K(\\cdot,\\overline {z^{(k)}})\\}_{k=1}^\\infty$ are linearly\nindependent.\n One can define\n\\begin{equation}\\label{appro_fun}\nF_{A_m}^{*}(z)=\\sum_{j=1}^m\\sum_{k=1}^m\nF(z^{(j)})\\widetilde{a_{j,k}^{(m)}}K(z,\\overline{z^{(k)}}), \\quad\nz\\in T_{\\Gamma_1},\n\\end{equation}\nwhere $A_m=(a_{j,k})_{m\\times m}$ with elements\n$a_{j,k}=K(z^{(j)},\\overline{z^{(k)}})$, and\n$\\widetilde{a_{j,k}^{(m)}}$s' are elements of\n$\\overline{A^{-1}_m}$.\\\\ By direct calculation, we have\n\\begin{equation}\\label{reprd}\n\\langle F_{A_m}^*, K(\\cdot, \\overline{z^{(k)}}) \\rangle\n=F^*_{A_m}(z^{(k)})= F(z^{(k)}), \\quad k=1,...,m.\n\\end{equation}\nMoreover, for $l>m$,\n\\begin{align*}\n\\Vert F_{A_l}^*-F_{A_m}^* \\Vert^2\n = \\Vert F_{A_l}^* \\Vert^2 - \\Vert F_{A_m}^* \\Vert^2.\n\\end{align*}\n\n Let $\\{ \\mathcal B_k\\}_{k=1}^m$ be the Gram-Schmidt (G-S)\northogonalization of $\\{K(\\cdot, \\overline{z^{(k)}})\\}_{k=1}^m$. The following formula is obvious\n\\begin{align}\\label{F_orth}\nF_{A_m}^*=\\sum_{k=1}^m\\langle F_{A_m}^*, \\mathcal B_k \\rangle\n\\mathcal B_k=\\sum_{k=1}^m\\langle F,\\mathcal  B_k \\rangle \\mathcal  B_k.\n\\end{align}\n(\\ref{F_orth}) indicates that $F_{A_m}^{*}$ is the orthogonal projection of\n$F$ to $\\overline{span\\{K(\\cdot, z^{(k)}), k=1,2,...,m\\}}$.\n\\smallskip\n\n\\begin{remark}\nLet $\\mathcal H(E)$ be a reproducing kernel Hilbert space defined on the set $E$ in $\\mathbb C$, $f\\in \\mathcal H(E)$, and $\\{a_k\\}_{k=1}^\\infty$ be a sequence of distinct points in $E$. In \\cite{Sa10} the so-called Aveiro method was proposed to construct an approximating function of $f$ in terms of $\\{a_k\\}_{k=1}^\\infty$, where the approximating function is with the interpolation property at $\\{a_k\\}_{k=1}^\\infty$. The convergence of such approximating function depends on the assumption that $\\{a_k\\}_{k=1}^\\infty$ is a uniqueness set of $\\mathcal H(E)$ (i.e. if $f\\in\\mathcal H(E)$ satisfies that $f(a_k)=0,k=1,2,...$, then $f\\equiv 0$). The formula of $F_{A_m}^*$ in (\\ref{appro_fun}) can be given by applying the Aveiro method to $H^2(T_{\\Gamma})$. However, the uniqueness set approach in higher dimensions is not easily available. In this study, we will show the convergence of $F_{A_m}^*$ corresponding to $\\{z^{(j)}\\}_{j=1}^\\infty$ that is not necessary being a uniqueness set.\n\\end{remark}\n\n  In the following discussion, we remove the restriction that all elements of $\\{z^{(k)}\\}_{k=1}^\\infty$ are distinct from each other, i.e. there may exist $k\\neq l$ such that $z^{(k)}=z^{(l)}.$ However, the original definition of $F_{A_m}^{*}$ is meaningless in such situation since the inverse of $A_m$ is meaningless. Therefore, we need to define the generalized $F_{A_m}^*$ that is denoted by $\\widetilde F_{A_m}^*$, so that $\\widetilde F_{A_m}^*$ does make sense in such situation. Our generalization is based on the methodology of P-OGA.\n\nSet $\\phi_{k}=K(\\cdot, \\overline{z^{(k)}})$. By the G-S orthogonalization process, we have\n\\begin{align}\\label{G-S}\n\\begin{split}\n\\beta_1&=\\beta_{\\{z^{(1)}\\}}= \\phi_{1},\\\\\n\\beta_l&=\\beta_{\\{z^{(1)},...,z^{(l)}\\}}=\\phi_{l}-\\sum_{k=1}^{l-1}{\\langle \\phi_l, \\frac{\\beta_k}{||\\beta_k||} \\rangle}\\frac{\\beta_k}{||\\beta_k||}, \\quad l\\geq 2\\\\\n\\mathcal B_l &=\\mathcal B_{\\{z^{(1)},...,z^{(l)}\\}}=\\frac{\\beta_l}{||\\beta_l||}.\n\\end{split}\n\\end{align}\nSpecifically, we derive the formula of $\\widetilde F_{A_m}^*$ by studying the property of $\\{\\mathcal B_k\\}_{k=1}^m$ for the case that $z^{(k)}=z^{(l)}, k\\neq l$. In fact, such kind of discussion on $\\{\\mathcal B_k\\}_{k=1}^m$ has been respectively made in the one complex variable \\cite{QWe}, quaternionic analysis \\cite{QSW} and several complex variables \\cite{Q-2D} settings. The general and complete discussion on such property of $\\{\\mathcal B_k\\}_{k=1}^m$ is included in \\cite{Q-2D}.\n  For simplicity, we interpret this for $z=(z_1, z_2)\\in \\mathbb C^2$ and $\\mathcal B_2=\\mathcal B_{\\{z^{(1)},w\\}}$. We identify $\\mathbb C^2$ with $\\mathbb R^4$ and set $w=z^{(1)}+(r\\cos\\theta, r\\sin\\theta \\cos \\zeta, r\\sin\\theta\\sin\\zeta\\cos\\eta,r\\sin\\theta\\sin\\zeta\\sin\\eta)=z^{(1)}+r\\vec l$, where $r>0$, $\\theta, \\zeta\\in [0,\\pi],\\eta\\in [0,2\\pi)$.\n  We consider\n\\begin{align*}\n\\lim_{r\\to 0} \\mathcal B_{\\{z^{(1)},w\\}}&=\\lim_{r\\to 0}\\frac{\\beta_{\\{z^{(1)},w\\}}}{||\\beta_{\\{z^{(1)},w\\}}||}\\\\\n&= \\lim_{r\\to 0}\\frac{\\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}}}{\\sqrt{\\langle \\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}},\\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}}\\rangle}}\\\\\n&= \\lim_{r\\to 0}\\frac{\\frac{\\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}}}{r}}{\\sqrt{\\langle \\frac{\\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}}}{r},\\frac{\\beta_{\\{z^{(1)},w\\}}-\\beta_{\\{z^{(1)},z^{(1)}\\}}}{r}\\rangle}}\\\\\n&= \\lim_{r\\to 0}\\frac{\\bigtriangledown_{\\vec l}\\beta_{\\{z^{(1)},z\\}}|_{z=z^{(1)}}}{||\\bigtriangledown_{\\vec l}\\beta_{\\{z^{(1)},z\\}}|_{z=z^{(1)}}||}\\\\\n&= \\frac{\\bigtriangledown_{\\vec l} \\phi_{z}|_{z=z^{(1)}}-\\langle \\bigtriangledown_{\\vec l} \\phi_{z}|_{z=z^{(1)}},\\frac{\\beta_{1}}{||\\beta_{1}||} \\rangle \\frac{\\beta_{1}}{||\\beta_{1}||} }{||\\bigtriangledown_{\\vec l}\\phi_{z}|_{z=z^{(1)}}-\\langle \\bigtriangledown_{\\vec l} \\phi_{z}|_{z=z^{(1)}},\\frac{\\beta_{1}}{||\\beta_{1}||} \\rangle \\frac{\\beta_{1}}{||\\beta_{1}||}||},\n\\end{align*}\nwhere \\begin{align*}\\bigtriangledown_{\\vec l} \\phi_{z}|_{z=z^{(1)}}&=\\frac{\\partial \\phi_{z}}{\\partial x_1}|_{z=z^{(1)}}\\cos\\theta+\\frac{\\partial \\phi_{z}}{\\partial y_1}|_{z=z^{(1)}}\\sin\\theta\\cos\\zeta\\\\\n& +\\frac{\\partial \\phi_{z}}{\\partial x_2}|_{z=z^{(1)}}\\sin\\theta\\sin\\zeta\\cos\\eta\n+\\frac{\\partial \\phi_{z}}{\\partial y_2}|_{z=z^{(1)}}\\sin\\theta\\sin\\zeta\\sin\\eta,\\end{align*} and it is the directional derivative of $\\phi_{z}$ in the direction $\\vec l$ as a function of $z$. This obversation indicates that the directional derivative of $\\phi_{z}$ should be involved in the G-S orthogonalization process, when $z^{(1)}=z^{(2)}$. Note that\n$\\frac{\\partial \\phi_{z}}{\\partial z_j}=\\frac{1}{2}\\left(\\frac{\\partial }{\\partial x_j}-i\\frac{\\partial}{\\partial y_j}\\right)\\phi_{z}=0,\\quad j=1,2$, which indicate that $\\frac{\\partial \\phi_{z}}{\\partial x_1}$ and $\\frac{\\partial \\phi_{z}}{\\partial y_1}$, as well as $\\frac{\\partial \\phi_{z}}{\\partial x_2}$ and $\\frac{\\partial \\phi_{z}}{\\partial y_2}$, are linearly dependent. We then define $\\mathcal B_{\\{z^{(1)},z^{(1)}\\}}^{\\vec l}$ as the limit in the above sense.\n Let $l_k$ be the cardinality of the set $\\{j:z^{(j)}=z^{(k)}, j\\leq k\\}$. Generally, for $\\frac{(h_k+1)h_k}{2}<l_k\\leq \\frac{(h_k+2)(h_k+1)}{2}$, the $h_k$-th order partial derivative of $\\phi_{z^{(k)}}$ should be involved in the G-S orthogonalization process.\nAs defined in \\cite{Q-2D}, we introduce $\\mathcal A_k,k=1,2,...,$ the function set consisting of all possible directional derivatives of the functions in $\\mathcal A_{k-1}$, where $\\mathcal A_0=\\{K(\\cdot,z): z\\in T_{\\Gamma_1}\\}.$ Denote by $\\mathcal A$ the set\n$$\n\\mathcal A=\\cup_{k=0}^\\infty \\mathcal A_k.\n$$\nThe definition of $\\mathcal A_k$ is slightly different from the one in \\cite{Q-2D} since we do not assume that the elements in $\\mathcal A_k$ are normalized.\nGiven a sequence of points $\\{z^{(k)}\\}_{k=1}^m$ in $T_{\\Gamma_1},$ we can find a sequence of elements $\\{\\Phi_{z^{(k)}}\\}_{k=1}^m$ in $\\mathcal A$ such that $\\{\\mathcal B_k\\}_{k=1}^m$ is the orthonormalization of $\\{\\Phi_{z^{(k)}}\\}_{k=1}^m$ in the above sense. The formula of $\\Phi_{z^{(k)}}$ depends on $l_k$.\nDefine\n\\begin{align}\\label{general_F}\n\\widetilde F_{A_m}^{*}(z)=\\sum_{k=1}^m \\langle F,\\mathcal B_k \\rangle \\mathcal B_k=\\sum_{j=1}^m\\sum_{k=1}^m\n\\langle F, \\Phi_{z^{(j)}}\\rangle\\widetilde{a_{j,k}^{(m)}} \\Phi_{z^{(k)}}(z), \\quad\nz\\in T_{\\Gamma_1},\n\\end{align}\nwhere $A_m$ is the matrix with elements $a_{j,k}=\\langle \\Phi_{z^{(k)}}, \\Phi_{z^{(j)}}  \\rangle$, and $\\widetilde {a_{j,k}^{(m)}}$s' are elements of $\\overline{A_m^{-1}}$.\n(\\ref{general_F}) is well defined since $$\\langle \\widetilde F_{A_m}^*, \\Phi_{z^{(k)}}\\rangle = \\langle F, \\Phi_{z^{(k)}}\\rangle, \\quad k=1,2,...,m.$$\nNote that $F_{A_m}^*=\\widetilde F_{A_m}^*$ if all $z^{(k)}$s' are distinct from each other.\n\n For $\\mathbb C^n,n>2$, we can conclude that if $\\binom{h_k-1+n}{n}<l_k\\leq \\binom{h_k+n}{n}$, the $h_k$-th order partial derivative of $\\phi_{z^{(k)}}$ should be involved in the G-S orthogonalization process. We can similarly define $\\mathcal A$ and $\\widetilde F_{A_m}^*$. Hereafter, we do not distinguish between $F_{A_m}^*$ and $\\widetilde F_{A_m}^*$, and then we adopt the notation $F_{A_m}^*$ for this matter.\n\nThe main procedure for constructing $F_{A_m}^*$ that tends to $F$ ($m\\to \\infty$) in the $H^2$-norm is as follows.\nLet $\\{z^{(j)}\\}_{j=1}^m$ be $m$ given points in $T_{\\Gamma_1}$\nand $A_m$ be the matrix with elements\n\\begin{align}\\label{matrix_A}\na_{j,k}=\\langle \\Phi_{z^{(k)}}, \\Phi_{z^{(j)}} \\rangle.\n\\end{align}\nWe are to select $z^{(m+1)}_*\\in T_{\\Gamma_1}$ satisfying\n\\begin{align}\\label{min_pro_revise}\n\\begin{split}\nz^{(m+1)}_* & :=\\arg \\min_{z^{(m+1)}\\in T_{\\Gamma_1}} ||F- F_{A_{m+1}}^*||^2\\\\\n& := \\arg\\min_{z^{(m+1)}\\in T_{\\Gamma_1}}||F||^2-|| F_{A_{m+1}}^*||^2.\n\\end{split}\n\\end{align}\n\nThe justification of the existence of $z_{*}^{(m+1)}$ is provided later. In fact, it follows from the boundary behaviors of functions in $H^2(T_{\\Gamma_1})$.\nAt this moment, we assume that $z^{(m+1)}_{*}$ can be achieved. The convergence of $F_{A_m}^{*}$ in the\n$H^2$-norm is given by the following result.\n\n\\bigskip\n \\begin{thm}\\label{thm1}\nFor $F\\in H^2(T_{\\Gamma_1})$, we have\n \\begin{align}\\label{convergence}\n ||F -\\sum_{j=1}^{m} \\sum_{k =1}^{m} \\langle F, \\Phi_{z^{(j)}}\\rangle \\widetilde{ a_{j,k}^{(m)}} \\Phi_{z^{(k)}}||\\to 0, \\text{as }  m\\to \\infty,\n \\end{align}\n where each element of $\\{z^{(k)}\\}_{k=1}^{\\infty}$ is selected by the principle $(\\ref{min_pro_revise})$.\n \\end{thm}\n\\begin{proof}\nBy (\\ref{general_F}) and the Riesz-Fischer theorem, we know that there\nexists $F_{A_\\infty}^{*}\\in H^2(T_{\\Gamma_1})$ satisfying\n\\begin{align}\\label{lim1}\nF_{A_\\infty}^{*}=\\lim_{m\\to \\infty}F_{A_m}^{*} \\quad \\text{in the\n$H^2$-norm}.\n\\end{align}\nIf $(\\ref{convergence})$ does not hold, then\n \\begin{align}\n g=F-F_{A_\\infty}^{*}\\not\\equiv 0.\n \\end{align}\n\nBy the Identity theorem, we must have $b\\not\\in \\{z^{(1)},...,z^{(m)}\\}$ such that\n\\begin{align}\\label{g_b}\n|g(b)|= \\delta_0>0.\n\\end{align}\n\nOn one hand,\n\\begin{align}\\label{two term}\n\\delta_0=|g(b)|=| F(b)-F_{A_\\infty}^{*}(b)|\\leq\n|F(b)-F_{A_m}^{*}(b)|+|F_{A_\\infty}^{*}(b)-F_{A_m}^{*}(b)|.\n\\end{align}\nBy $(\\ref{lim1})$, there exists $ N_1>0$ such that when $m>N_1$, the second term of\n$(\\ref{two term})$\n\\begin{align*}\n|F_{A_\\infty}^{*}(b)-F_{A_m}^{*}(b)| &=|\\langle F_{A_\\infty}^{*}(\\cdot)-F_{A_m}^{*}(\\cdot), K(\\cdot, \\overline b) \\rangle|\\\\\n&\\leq ||F_{A_\\infty}^{*}-F_{A_m}^{*}|| ||K(\\cdot, \\overline b)||\\\\\n&<\\frac{\\delta_0}{2},\n\\end{align*}\nwhere the second inequality follows from the Cauchy-Schwarz inequality.\nHence, we have\n$$\n|F(b)-F_{A_m}^{*}(b)|>\\frac{\\delta_0}{2}.\n$$\nOn the other hand, by (\\ref{general_F}) we have\n\\begin{align}\nF(b)=F_{A_{m,b}}^{*}(b),\n\\end{align}\nwhere $A_{m,b}$ is the matrix with elements given by\n$(\\ref{matrix_A})$ corresponding to $(z^{(1)},...,z^{(m)}, b)$.\\\\\nBy $(\\ref{min_pro_revise})$, we have\n\\begin{align}\n||F||^2-||F_{A_{m,b}}^{*}||^2=||F-F_{A_{m,b}}^{*}||^2\\geq\n||F-F_{A_{m+1}}^{*}||^2=||F||^2-||F_{A_{m+1}}^{*}||^2.\n\\end{align}\nTherefore, there exists $N_2>0$ such that when $m>N_2$,\n\\begin{align}\n\\begin{split}\n|F(b)-F_{A_m}^{*}(b)| &= |F^{*}_{A_{m,b}}(b)-F^{*}_{A_{m}}(b)|\\\\\n& \\leq ||F_{A_{m,b}}^{*}-F_{A_{m}}^{*}|| ||K(\\cdot, \\overline b)||\\\\\n& \\leq ||K(\\cdot, \\overline b)||(\\sqrt{||F_{A_{m,b}}^{*}||^2-||F_{A_m}^{*}||^2})\\\\\n& \\leq ||K(\\cdot, \\overline b)||(\\sqrt{||F_{A_{m+1}}^{*}||^2-||F_{A_{m}}^{*}||^2})\\\\\n& \\leq ||K(\\cdot, \\overline b)||{||F_{A_{m+1}}^{*}-F_{A_{m}}^{*}||}\\\\\n& <\\frac{\\delta_0}{2}.\n\\end{split}\n\\end{align}\nIf $m>\\max\\{N_1,N_2\\}$, then we arrive a contradiction. This proves\nthe theorem.\n\\end{proof}\n\nImmediately, we have the following corollary.\n\\begin{cor}\nIf all the conditions in Theorem \\ref{thm1} are fulfilled, then, for\nany compact subset $A$ in $T_{\\Gamma_1}$,\n$$\nF_{A_m}^*(z) =  \\sum_{j=1}^{m} \\sum_{k =1}^{m} \\langle F, \\Phi_{z^{(j)}}\\rangle\n\\widetilde{ a_{j,k}^{(m)}}\\Phi_{z^{(k)}}(z), \\quad z\\in A,\n$$\nuniformly converges to $F(z)$.\n\\end{cor}\n\n\\medskip\n\nDenote by $\\partial T_{\\Gamma_1}$ the boundary of $T_{\\Gamma_1}$. The next\nlemma offers a set of sufficient conditions of the existence of\n$z^{(m+1)}_*$.\n\\begin{lem}\\label{re-ex-lem}\nSuppose that $F\\in H^2(T_{\\Gamma_1})$ and and $z^{(j)}\\in T_{\\Gamma_1},\nj=1,...,m,$ are fixed. If\n\\begin{align}\\label{g-ex-cond}\n\\begin{split}\n\\lim_{z^{(m+1)} \\to \\beta} \\frac{|\\langle F, \\Phi_{z^{(m+1)}}\\rangle|}{||\\Phi_{z^{(m+1)}}||}\n&= 0,\\\\\n\\lim_{z^{(m+1)}\\to \\beta}\\frac{|\\langle \\Phi_{z^{(j)}},\\Phi_{z^{(m+1)}} \\rangle|}{||\\Phi_{z^{(m+1)}}||}&=0,\\quad j=1,2,...,m,\n\\end{split}\n\\end{align}\nwhere $\\beta\\in \\partial T_{\\Gamma_1}$, then\n\\begin{align}\\label{g-ex-boundary}\n\\lim_{z^{(m+1)} \\to \\beta}||F- F^{*}_{A_{m+1}}||=\n||F-F^{*}_{A_{m}}||,\n\\end{align}\nand if\n\\begin{align}\\label{g-ex-cond1}\n\\begin{split}\n\\lim_{|z^{(m+1)}| \\to \\infty}\n\\frac{|\\langle F, \\Phi_{z^{(m+1)}}\\rangle|}{||\\Phi_{z^{(m+1)}}||} &= 0,\\\\\n\\lim_{|z^{(m+1)}|\\to \\infty}\\frac{|\\langle \\Phi_{z^{(j)}},\\Phi_{z^{(m+1)}} \\rangle|}{||\\Phi_{z^{(m+1)}}||}&=0,\\quad j=1,2,...,m,\n\\end{split}\n\\end{align}\nthen\n\\begin{align}\\label{g-ex-infinity}\n\\lim_{|z^{(m+1)}| \\to \\infty}||F- F^{*}_{A_{m+1}}||=\n||F-F^{*}_{A_{m}}||.\n\\end{align}\n\\end{lem}\n\n\n\\begin{proof}\nWe adopt the notation given in (\\ref{G-S}). We know that $\\{\\mathcal B_k =\\frac{\\beta_k}{||\\beta_k||}\\}_{k=1}^{m+1}$ is an orthonormal system. Based on (\\ref{general_F}), we have\n$$\n\\Vert F-F_{A_{m+1}}^* \\Vert^2=\\Vert F-F_{A_m}^*\\Vert^2-|\\langle F, \\mathcal B_{m+1} \\rangle|^2.\n$$\nTo get (\\ref{g-ex-boundary}), we need to show $|\\langle F,\\mathcal B_{m+1} \\rangle|\\to 0$ as $z\\to \\beta$.\nIn fact,\n\\begin{align}\n\\begin{split}\n|\\langle F,\\mathcal B_{m+1}\\rangle| &= \\frac{|\\langle F, {\\beta_{m+1}}\\rangle|}{\\|\\beta_{m+1}\\|}\\\\\n& = \\frac{|\\langle F, \\Phi_{z^{(m+1)}} - \\sum_{k=1}^{m}\\langle \\Phi_{z^{(m+1)}}, \\mathcal B_k\\rangle\\mathcal B_k\\rangle|}{\\|\\Phi_{z^{(m+1)}} - \\sum_{k=1}^{m}\\langle \\Phi_{z^{(m+1)}}, \\mathcal B_k\\rangle\\mathcal B_k\\|}\\\\\n& = \\frac{|\\langle F, \\frac{\\Phi_{z^{(m+1)}}}{\\|\\Phi_{z^{(m+1)}}\\|} - \\sum_{k=1}^{m}\\langle \\frac{\\Phi_{z^{(m+1)}}}{\\|\\Phi_{z^{(m+1)}}\\|}, \\mathcal B_k\\rangle\\mathcal B_k\\rangle|}{1 - \\sum_{k=1}^{m}|\\langle \\frac{\\Phi_{z^{(m+1)}}}{\\|\\Phi_{z^{(m+1)}}\\|}, \\mathcal B_k\\rangle|^2}.\n\\end{split}\n\\end{align}\nBy (\\ref{g-ex-cond}), we can have (\\ref{g-ex-boundary}). We can also conclude (\\ref{g-ex-infinity}) in a similar way.\n\\end{proof}\n\nWe call\n$$\n\\lim_{z^{(m+1)} \\to \\beta} \\frac{|\\langle F, \\Phi_{z^{(m+1)}}\\rangle|}{||\\Phi_{z^{(m+1)}}||}=0\n$$\nand\n$$\n\\lim_{|z^{(m+1)}| \\to \\infty}\n\\frac{|\\langle F, \\Phi_{z^{(m+1)}}\\rangle|}{||\\Phi_{z^{(m+1)}}||} = 0\n$$\nthe \\lq\\lq boundary vanishing condition (BVC)\" in $H^2(T_{\\Gamma_1}),$ where $\\{z^{(k)}\\}_{k=1}^{m+1}$ is a sequence of points in $T_{\\Gamma_1}$. Since $\\{z^{(1)},...,z^{(m)}\\}$ are previously fixed in Lemma \\ref{re-ex-lem}, $z^{(m+1)}$ must be different $z^{(k)}, 1\\leq k\\leq m$ when $z^{(m+1)}$ tends to the points at boundary (including the point at infinity). Thus the conditions (\\ref{g-ex-cond}) and (\\ref{g-ex-cond1}) then follows from\n\\begin{align}\\label{weak-bvc-tube}\n\\begin{split}\n\\lim_{z^{(m+1)} \\to \\beta} \\frac{|\\langle F, \\phi_{z^{(m+1)}}\\rangle|}{||\\phi_{z^{(m+1)}}||} &=0\\\\\n\\lim_{|z^{(m+1)}| \\to \\infty}\n\\frac{|\\langle F, \\phi_{z^{(m+1)}}\\rangle|}{||\\phi_{z^{(m+1)}}||} &= 0,\n\\end{split}\n\\end{align}\nwhere (\\ref{weak-bvc-tube}) is called the weak BVC.\n\nOne can give another proof of Lemma \\ref{re-ex-lem} by using the argument given in  \\cite[Lemma 3.1]{MQ1}.\n Lemma \\ref{re-ex-lem} tells us that (\\ref{min_pro_revise}) can not achieve its minimum value at boundary point $\\beta$ or at infinity.\nTherefore, to justify the existence of $z^{(m+1)}_*$, we only\nneed to prove that the weak BVC holds. In fact, for $H^2(T_{\\Gamma_1})$, we can show the stronger result that the BVC holds.\n\nIn the following discussion we first reduce the BVC to a special case.\nDefine\n\\begin{align}\\label{D-element}\n\\phi_{\\alpha^{(k)},z^{(k)}}=\\frac{\\partial^{|\\alpha^{(k)}|}K(\\cdot, \\overline\n{z})}{\\partial{x_1}^{\\alpha_1^{(k)}}\\partial{x_2}^{\\alpha_2^{(k)}}\\cdots\n\\partial{x_n}^{\\alpha_n^{(k)}}}\\Big |_{z=z^{(k)}} =(\\frac{-1}{2\\pi i})^n \\prod_{j=1}^n\n\\frac{\\alpha_j^{(k)} !}{(w_j-\\overline z_j)^{\\alpha_j^{(k)}+1}}\\Big|_{z=z^{(k)}},\n\\end{align}\nwhere all elements of $n$-tuple $\\alpha^{(k)}=(\\alpha_1^{(k)},...,\\alpha_n^{(k)})$ are non-negative integers and $|\\alpha^{(k)}|=\\sum_{j=1}^n \\alpha_j^{(k)} \\geq 0$.\nNote that $\\frac{\\Phi_{z^{(m+1)}}}{||\\Phi_{z^{(m+1)}}||}$ is a finite linear combination of $\\phi_{\\alpha^{(k)},z^{(k)}}$ with $|\\alpha^{(k)}|=h_{m+1}$, where $h_{m+1}$ is determined by the cardinality of the set $\\{j:z^{(j)}=z^{(m+1)}, j\\leq m+1\\}.$ Specifically,\n$$\n\\frac{\\Phi_{z^{(m+1)}}}{||\\Phi_{z^{(m+1)}}||}=\\sum_{j=1}^{N_{m+1}} \\frac{||\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}||}{||\\Phi_{z^{(m+1)}}||}v_j \\frac{\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}}{||\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}||},\n$$\nwhere $N_{m+1}=\\binom{h_{m+1}+n}{n}-\\binom{h_{m+1}-1+n}{n},$ $|\\alpha^{j,(m+1)}|=h_{m+1}$ and $(v_1,..,v_{N_{m+1}})\\neq 0.$ One can show that $\\frac{||\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}||}{||\\Phi_{z^{(m+1)}}||}$ is not an obstacle while the conditions (\\ref{g-ex-cond}) and (\\ref{g-ex-cond1}) are considered. For instance, for $n=2$, we have\n\\begin{align}\\label{convert-to-K}\n||\\Phi_{z^{(m+1)}}||^2=||\\sum_{j=1}^{h_{m+1}+1}v_j \\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}||^2=||\\phi_{\\alpha^{k,(m+1)},z^{(m+1)}}||^2||\\sum_{j=1}^{h_{m+1}+1}v_j \\frac{\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}}{||\\phi_{\\alpha^{k,(m+1)},z^{(m+1)}}||}||^2.\n\\end{align}\nBy directly calculating, one can get that $||\\sum_{j=1}^{h_{m+1}+1}v_j \\frac{\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}}{||\\phi_{\\alpha^{k,(m+1)},z^{(m+1)}}||}||^2$ can be considered as a polynomial of $\\frac{y_1^{(m+1)}}{y_2^{(m+1)}}$ or $\\frac{y_2^{(m+1)}}{y_1^{(m+1)}}$ of degree $2 h_{m+1}.$ When $y\\to \\partial \\Gamma_1$ or $|y|\\to\\infty$, $\\frac{y_1^{(m+1)}}{y_2^{(m+1)}}$ may be $\\infty$, zero or a positive constant $H$. For the former two cases, $||\\sum_{j=1}^{h_{m+1}+1}v_j \\frac{\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}}{||\\phi_{\\alpha^{k,(m+1)},z^{(m+1)}}||}||^2$ is either $\\infty$ or a nonzero constant. For the last case, $||\\sum_{j=1}^{h_{m+1}+1}v_j \\frac{\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}}{||\\phi_{\\alpha^{k,(m+1)},z^{(m+1)}}||}||^2$ becomes a polynomial of $H$. However, such polynomial can not be zero on $(0,\\infty)$, otherwise, by the left hand-side of (\\ref{convert-to-K}) we get $(v_1,...,v_{h_{m+1}+1})= 0,$ which contradicts to $(v_1,...,v_{h_{m+1}+1})\\neq 0.$ For $\\frac{y_2^{(m+1)}}{y_1^{(m+1)}}$, we can use the same argument. We then conclude that $\\frac{||\\phi_{\\alpha^{j,(m+1)},z^{(m+1)}}||}{||\\Phi_{z^{(m+1)}}||}$ is either zero or a positive constant when $y\\to \\partial \\Gamma_1$ or $|y|\\to\\infty$. One can easily get similar conclusions for general $n>2$ by our argument.\n By the above discussion, it suffices to show that the BVC holds for $\\Phi_{z^{(m+1)}}=\\phi_{\\alpha^{(m+1)},z^{(m+1)}}.$\n\\begin{lem}\nFor $1<p<\\infty$, $z=x+iy\\in T_{\\Gamma_1}$ and $\\alpha=(\\alpha_1,...,\\alpha_n)$,\n$$\\int_{\\mathbb R^n} \\left| \\prod_{j=1}^n\n\\frac{1}{(\\xi_j-\\overline z_j)^{\\alpha_j+1}} \\right|^p d\\xi_1d\\xi_2 \\cdots d\\xi_n= \\pi^{\\frac{n}{2}}\\prod_{j=1}^n \\frac{\\Gamma(-\\frac{1}{2}+\\frac{p(\\alpha_j+1)}{2})}{\\Gamma(\\frac{p(\\alpha_j+1)}{2})}\\left(\\frac{1}{y_j}\\right)^{p(\\alpha_j+1)-1}.$$\n\\end{lem}\n\\begin{proof}\n\\begin{align*}\n\\int_{\\mathbb R^n}\\left|  \\prod_{j=1}^n\n\\frac{1}{(\\xi_j-\\overline z_j)^{\\alpha_j+1}} \\right|^p d\\xi_1d\\xi_2 \\cdots d\\xi_n &= \\int_{\\mathbb R^n}  \\prod_{j=1}^n\\left|\n\\frac{1}{(|\\xi_j-x_j|^2+|y_j|^2)} \\right|^{\\frac{p({\\alpha_j+1})}{2}} d\\xi_1d\\xi_2 \\cdots d\\xi_n\\\\\n &= \\prod_{j=1}^n\\int_{-\\infty}^\\infty  \\left|\n\\frac{1}{(|\\xi_j-x_j|^2+|y_j|^2)} \\right|^{\\frac{p({\\alpha_j+1})}{2}} d\\xi_j\\\\\n&= \\prod_{j=1}^n \\left(\\frac{1}{y_j}\\right)^{p(\\alpha_j+1)-1}\\int_{-\\infty}^\\infty  \\left|\n\\frac{1}{t_j^2+1} \\right|^{\\frac{p({\\alpha_j+1})}{2}} dt_j\\\\\n&= \\pi^{\\frac{n}{2}}\\prod_{j=1}^n \\frac{\\Gamma(-\\frac{1}{2}+\\frac{p(\\alpha_j+1)}{2})}{\\Gamma(\\frac{p(\\alpha_j+1)}{2})}\\left(\\frac{1}{y_j}\\right)^{p(\\alpha_j+1)-1},\n\\end{align*}\nwhere the third equality is due to changing variables by setting $t_j=\\frac{\\xi_j-x_j}{y_j}$, and $\\Gamma(\\cdot)$ is the Gamma function.\n\\end{proof}\\\\\nConsequently, we have\n\\begin{align}\\label{phi-norm}\n\\begin{split}\n||\\phi_{\\alpha,z}||^2 &=\\left(\\frac{1}{2\\pi}\\right)^n\\left(\\prod_{j=1}^n (\\alpha_j!)^2\\right) (\\pi)^{\\frac{n}{2}}\\prod_{j=1}^n \\frac{\\Gamma(\\alpha_j+\\frac{1}{2})}{\\Gamma(\\alpha_j+1)}\\left(\\frac{1}{y_j}\\right)^{2\\alpha_j+1}\\\\\n& = \\prod_{j=1}^n\\frac{(2\\alpha_j)!}{(2y_j)^{2\\alpha_j+1}}.\n\\end{split}\n\\end{align}\nThe following results imply that the conditions (\\ref{g-ex-cond}) and (\\ref{g-ex-cond1}) hold.\n\\begin{thm}\\label{first-app1}\nFor $F\\in H^2(T_{\\Gamma_1})$, and $\\alpha=(\\alpha_1,...,\\alpha_n)$,\n\\begin{align}\\label{app1}\n\\lim_{y\\in \\Gamma_1, y\\to \\beta}\\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0, \\quad z=x+iy\\in T_{\\Gamma_1},\n\\end{align}\nholds uniformly for $x\\in\\mathbb R^n$, where $\\beta\\in \\partial \\Gamma_1$.\n\\end{thm}\n\\begin{proof}\nSince\n$$\\langle F, \\phi_{\\alpha, z} \\rangle=\\int_{\\mathbb R^n} F(\\xi)\\overline {\\phi_{\\alpha, z}(\\xi)}d\\xi,$$ and $F(\\xi)$ is the limit of $F(\\xi+i\\eta)$ in the $L^2$-norm, we can find $G(\\xi)\\in L^2(\\mathbb R^n)\\cap L^p(\\mathbb R^n), 2< p<\\infty,$ such that for any $\\epsilon>0$, $||F-G||_{L^2(\\mathbb R^n)}<\\frac{\\epsilon}{2}$.\n We also have\n \\begin{align}\n \\begin{split}\n \\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha, z}||}&\\leq \\frac{|\\langle F-G,\\phi_{\\alpha,z} \\rangle|}{||\\phi_{\\alpha,z}||} + \\frac{|\\langle G, \\phi_{\\alpha,z}\\rangle| }{||\\phi_{\\alpha,z}||}\\\\\n & \\leq \\frac{||F-G||~||\\phi_{\\alpha,z}||}{||\\phi_{\\alpha,z}||} +\\frac{|\\langle G, \\phi_{\\alpha,z}\\rangle| }{||\\phi_{\\alpha,z}||}\\\\\n & \\leq \\frac{\\epsilon}{2} + \\frac{|\\langle G, \\phi_{\\alpha,z}\\rangle| }{||\\phi_{\\alpha,z}||}.\n \\end{split}\n \\end{align}\nIt suffices to prove that, for $y\\in \\Gamma_1, y\\to \\beta$,\n\\begin{align}\\label{app1-fact1}\n\\frac{\\int_{\\mathbb R^n}|G(\\xi)\\overline{\\phi_{\\alpha, z}(\\xi)}|d\\xi}{||\\phi_{\\alpha,z}||}<\\frac{\\epsilon}{2}.\n\\end{align}\nIndeed, by applying H\\\"older's inequality to $\\int_{\\mathbb R^n}|G(\\xi)\\overline{\\phi_{\\alpha, z}(\\xi)}|d\\xi$, (\\ref{app1-fact1}) follows from\n\\begin{align*}\n\\lim_{y\\in \\Gamma_1,y\\to \\beta}\\frac{(\\int_{\\mathbb R^n}|\\phi_{\\alpha, z}|^q d\\xi)^{\\frac{1}{q}}}{(\\int_{\\mathbb R^n}|\\phi_{\\alpha, z}|^2 d\\xi)^{\\frac{1}{2}}}&=\\lim_{y\\in \\Gamma_1,y\\to \\beta}\\frac{\\pi^{\\frac{n}{2q}}\\prod_{j=1}^n \\left(\\frac{\\Gamma(-\\frac{1}{2}+\\frac{q(\\alpha_j+1)}{2})}{\\Gamma(\\frac{q(\\alpha_j+1)}{2})}\\right)^{\\frac{1}{q}}\\left(\\frac{1}{y_j}\\right)^{(\\alpha_j+1)-\\frac{1}{q}}}{\\pi^{\\frac{n}{4}}\\prod_{j=1}^n \\left(\\frac{\\Gamma(\\alpha_j+\\frac{1}{2})}{\\Gamma(\\alpha_j+1)}\\right)^{\\frac{1}{2}}\\left(\\frac{1}{y_j}\\right)^{\\alpha_j+\\frac{1}{2}}}\\\\\n&=C\\lim_{y\\in \\Gamma_1,y\\to \\beta}\\prod_{j=1}^n y_j^{\\frac{1}{2}-\\frac{1}{p}}\\\\\n&=0,\n\\end{align*}\nwhere $C$ is a constant, and $q$ satisfies $\\frac{1}{p}+\\frac{1}{q}=1.$ The last equality is based on the fact that there exists $y_j\\to 0$ when $y\\to \\beta$.\n\\end{proof}\n\n\\begin{thm}\\label{second-app1}\nFor $F\\in H^2(T_{\\Gamma_1})$, and $\\alpha=(\\alpha_1,...,\\alpha_n)$,\n\\begin{align}\\label{app1-fact2}\n\\lim_{y\\in \\Gamma_1, |y|\\to \\infty} \\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0, \\quad z=x+iy\\in T_{\\Gamma_1},\n\\end{align}\nholds uniformly for $x\\in \\mathbb R^n$.\n\\end{thm}\n\\begin{proof}\nBy Theorem \\ref{rf_p}, for any $\\epsilon>0$, we can find $y^\\prime\\in \\Gamma_1$ such that\n$$\n\\int_{\\mathbb R^n}|F(\\xi)-F(\\xi+iy^\\prime)|^2 d\\xi<\\epsilon.\n$$\n\\begin{align}\\label{app1-fact2-ineq}\n \\begin{split}\n \\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha, z}||}&\\leq \\frac{|\\langle F(\\cdot)-F(\\cdot+iy^\\prime),\\phi_{\\alpha,z} \\rangle|}{||\\phi_{\\alpha,z}||} + \\frac{|\\langle F(\\cdot+iy^\\prime), \\phi_{\\alpha,z}\\rangle| }{||\\phi_{\\alpha,z}||}\\\\\n & \\leq \\frac{||F(\\cdot)-F(\\cdot+iy^\\prime)||~||\\phi_{\\alpha,z}||}{||\\phi_{\\alpha,z}||} +\\frac{|\\langle F, \\phi_{\\alpha,z+iy^\\prime}\\rangle| }{||\\phi_{\\alpha,z}||}\\\\\n & \\leq \\epsilon + \\frac{|\\langle F, \\phi_{\\alpha,z+iy^\\prime}\\rangle| }{||\\phi_{\\alpha,z}||}.\n \\end{split}\n \\end{align}\nBy applying the argument in Theorem \\ref{first-app1}, we can easily show that, for $y\\in \\Gamma_1$ and $|y|$ large enough, $$\\frac{|\\langle F, \\phi_{\\alpha,z+iy^\\prime}\\rangle| }{||\\phi_{\\alpha,z}||}<C\\epsilon,$$ where $C$ is a constant. The difference is that we need to find $G\\in L^2(\\mathbb R^n)\\cap L^p(\\mathbb R^n), 1<p<2$, such that, for any $\\epsilon>0$, $||F-G||_{L^2(\\mathbb R^n)}<\\epsilon$.\n \\end{proof}\n\n\\begin{thm}\\label{third-app1}\nFor $F\\in H^2(T_{\\Gamma_1})$, and $\\alpha=(\\alpha_1,...,\\alpha_n)$,\n\\begin{align}\\label{app1-fact3}\n\\lim_{|x|\\to \\infty} \\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0, \\quad z=x+iy\\in T_{\\Gamma_1},\n\\end{align}\nholds uniformly for $y\\in \\Gamma_1$.\n\\end{thm}\n\\begin{proof}\nBy Theorems \\ref{first-app1} and \\ref{second-app1}, it suffices to prove that\n \\begin{align}\\label{g-cone-fact2}\n\\lim_{|x|\\to \\infty} \\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0\n \\end{align}\n holds uniformly for $y\\in C_0$, where $C_0$ is a compact subset in $\\Gamma_1$.\n\n\n Since $\\overline{ {\\text span} \\{K(\\cdot,\\overline z), z\\in T_{\\Gamma_1}\\}}=H^2(T_{\\Gamma_1})$, we have $\\{w^{(j)}\\}_{j=1}^N$ in $T_{\\Gamma_1}$ such that\n $$\\|F-G_N\\|<\\frac{\\epsilon}{2},$$\n  where $G_N=\\sum_{j=1}^Nc_j K(\\cdot, \\overline {w^{(j)}})\\in H^2(T_{\\Gamma_1}).$\nHence, we have\n$$\n\\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}\\leq \\frac{|\\langle F-G_N, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}+ \\frac{|\\langle G_N, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}<\\frac{\\epsilon}{2}+ \\frac{|\\langle G_N, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}.\n$$\nIt suffices to show that, for a fixed $w=\\xi+i\\eta\\in T_{\\Gamma_1}$, when $|x|$ is large enough,\n\\begin{align*}\n\\frac{|\\langle K(\\cdot,\\overline w), \\phi_{\\alpha,z}\\rangle|}{||\\phi_{\\alpha,z}||}&=\\prod_{j=1}^n \\frac{(2y_j)^{\\alpha_j+\\frac{1}{2}}\\alpha_j!}{|z_j-\\overline w_j|^{\\alpha_j+1}\\sqrt{(2\\alpha_j)!}}\\\\\n&= \\prod_{j=1}^n \\frac{(2y_j)^{\\alpha_j+\\frac{1}{2}}\\alpha_j!}{|(x_j-\\xi_j)^2+(y_j+\\eta_j)^2|^{\\frac{\\alpha_j+1}{2}}\\sqrt{(2\\alpha_j)!}}\\\\\n& <\\frac{\\epsilon}{2}.\n\\end{align*}\nThe last inequality is based on the fact that there exists $x_j$ satisfying that $|x_j|\\to\\infty$ as $|x|\\to \\infty$.\n\\end{proof}\n\nWe now conclude that the existence of $z^{(m+1)}_*$ is evident by Theorems \\ref{first-app1} - \\ref{third-app1}. Although we can also give another proof of Theorem \\ref{first-app1} as well as Theorem \\ref{second-app1} by using the argument in Theorem \\ref{third-app1}, we will show that the technique used in Theorem \\ref{first-app1} is helpful in proving analogous results of Theorems \\ref{first-app1} - \\ref{third-app1} for $H^p(T_{\\Gamma}), 1<p<\\infty$ (see Section 4).\n\\medskip\n\n\\begin{remark}\nBy using Theorems \\ref{first-app1} - \\ref{third-app1} and the following lemma (Lemma \\ref{MP-first-case}), we can give another kind of rational approximation of functions in $H^2(T_{\\Gamma_1})$. Such rational approximation indeed is analogous to the one given in \\cite{WQ1}. Specifically, we apply the idea of greedy algorithm to $H^2(T_{\\Gamma_1})$ with the dictionary\n\\begin{align}\\label{dictionary}\n\\mathcal D=\\left\n\\{\\psi_{\\alpha,z}(w)=\\frac{\\phi_{\\alpha,z}(w)}{||\\phi_{\\alpha,z}||};\n|\\alpha|=\\sum_{j=1}^n \\alpha_j \\geq 0, z, w\\in T_{\\Gamma_1} \\right\n\\},\n\\end{align}\nwhere $\\phi_{\\alpha,z}(w)$ is defined in (\\ref{D-element}).\nWe briefly give an introduction to greedy algorithm with the dictionary $\\mathcal D$.\n\nLet $F\\in H^2(T_{\\Gamma_1})$. Then, by greedy\nalgorithm, one can have\n\\begin{align}\\label{mp}\nF=\\sum_{l=1}^m \\langle R^l F, \\psi_{\\alpha^{(l)},z^{(l)}}\\rangle\n\\psi_{\\alpha^{(l)},z^{(l)}}  + R^{m+1} F,\n\\end{align}\nwhere $R^l F$ is defined by\n$$\nR^0F=F, R^lF=R^{l-1}F- \\langle R^{l-1} F,\n\\psi_{\\alpha^{(l)},z^{(l)}}\\rangle \\psi_{|\\alpha^{(l)}|,z^{(l)}}, \\quad l\\geq 1,\n$$\n and $\\psi_{\\alpha^{(l)},z^{(l)}}$ satisfies\n\\begin{align}\\label{max-cond}\n|\\langle R^{l}F, \\psi_{\\alpha^{(l)},z^{(l)}} \\rangle|=\n\\sup_{\\psi_{\\alpha,z}\\in \\mathcal D}{ |\\langle R^{l}F,\n\\psi_{\\alpha,z} \\rangle|}.\n\\end{align}\n\nFor our case, (\\ref{max-cond}) does not automatically come into existence.\nIn the following discussion,  we focus on the existence of $\\psi_{\\alpha^{(l)},z^{(l)}}$ in (\\ref{max-cond}) for each $l\\geq 1$.\nTo this end, we show the following result by using the technique in \\cite[Lemma 4.8]{WQ1}.\n\\begin{lem}\\label{MP-first-case}\nFor $F\\in H^2(T_{\\Gamma_1})$,\n\\begin{align}\\label{MP-case1}\n\\lim_{|\\alpha|\\to \\infty}\\frac{|\\langle F, \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0\n\\end{align}\nholds uniformly for $z\\in T_{\\Gamma_1}$.\n\\end{lem}\n\\begin{proof}\nAs shown in Theorem \\ref{third-app1}, for any $\\epsilon>0$, there exists $G_N=\\sum_{j=1}^Nc_j K(\\cdot, \\overline {w^{(j)}})$ such that\n$$\n||F-G_N||<\\frac{\\epsilon}{2}.\n$$\nTherefore,\nwe only need to prove that for any fixed $w=\\xi+i\\eta \\in T_{\\Gamma_1}$\n$$\n\\lim_{|\\alpha|\\to \\infty}\\frac{|\\langle K(\\cdot, \\overline w), \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}=0.\n$$\nIn fact, we have\n\\begin{align}\\label{MP-case1-1}\n\\begin{split}\n\\frac{|\\langle K(\\cdot, \\overline w), \\phi_{\\alpha, z} \\rangle|}{||\\phi_{\\alpha,z}||}&=\\prod_{j=1}^n \\frac{(2y_j)^{\\alpha_j+\\frac{1}{2}}\\alpha_j!}{|z_j-\\overline w_j|^{\\alpha_j+1}\\sqrt{(2\\alpha_j)!}}\\\\\n&\\leq \\prod_{j=1}^n \\frac{(2y_j)^{\\alpha_j+\\frac{1}{2}}\\alpha_j!}{(y_j+\\eta_j)^{\\alpha_j+1}\\sqrt{(2\\alpha_j)!}}\\\\\n&\\leq \\prod_{j=1}^n \\frac{((\\alpha_j+\\frac{1}{2})\\eta_j)^{\\alpha_j+\\frac{1}{2}}2^{2\\alpha_j+1}\\alpha_j!}{((\\alpha_j+1)\\eta_j)^{\\alpha_j+1}2^{\\alpha_j+1}\\sqrt{(2\\alpha_j)!}}\\\\\n&= \\prod_{j=1}^n \\frac{(\\alpha_j+\\frac{1}{2})^{\\alpha_j+\\frac{1}{2}}2^{\\alpha_j}\\alpha_j!}{(\\alpha_j+1)^{\\alpha_j+1}\\sqrt{\\eta_j}\\sqrt{(2\\alpha_j)!}}\\\\\n&\\leq \\prod_{j=1}^n C_j \\eta_j^{-\\frac{1}{2}} \\alpha_j^{-\\frac{1}{4}},\n\\end{split}\n\\end{align}\nwhere $C_j$ is a constant that is independent of $\\alpha_j$. The second inequality is based on the fact that $\\frac{(2y_j)^{\\alpha_j+\\frac{1}{2}}}{(y_j+\\eta_j)^{\\alpha_j+1}}$ arrives its maximum value at $y_j=2(\\alpha_j+\\frac{1}{2})\\eta_j$ for $ 1\\leq j\\leq n$, and the last inequality follows from the Stirling's formula\n$$\\Gamma(h+1)\\sim h^{h+\\frac{1}{2}} e^{-h}\\sqrt{2\\pi}, \\quad h\\in \\mathbb R, h\\to \\infty.$$\n The proof is completed.\n\\end{proof}\n\nCombining Lemma \\ref{MP-first-case} and Theorems \\ref{first-app1} - \\ref{third-app1}, we conclude the existence of $\\psi_{\\alpha^{(l)},z^{(l)}},l\\geq 1.$\nNote that\n$$\n||F||^2=\\sum_{l=1}^m |\\langle R^l F,\n\\psi_{\\alpha^{(l)},z^{(l)}}\\rangle|^2 + ||R^{m+1}F||^2,\n$$\nalthough $\\{\\psi_{\\alpha^{(l)},z^{(l)}}, l=1,2...,m\\}$ is not an orthogonal system. Based on Theorem 1 in \\cite{MZ} and the fact that $\\overline {{\\text span} \\mathcal D}=H^2(T_{\\Gamma_1})$, we have\n\\begin{align}\\label{convergence-MP}\n\\lim_{m\\to \\infty}||R^mF||=0.\n\\end{align}\nFor further discussion on such approximation and greedy algorithm, please see e.g. \\cite{WQ1,DT, MZ,Te}.\n\\end{remark}\n\n\\section{Further Results}\nIn this section, several relevant problems of AFD-type approximation are explored. The rate of convergence is always a point of interest when a certain approximation is considered. Hence, we will show the rate of convergence of AFD-type approximation. We will also give rational approximation of functions in $L^2(\\mathbb R^n)$ based on the known results that describe the relationship between $L^2(\\mathbb R^n)$ and $H^2(T_{\\Gamma_1})$. Lastly, we will explore the AFD-type approximation in $H^2(T_{\\Gamma})$, where $\\Gamma$ is a regular cone.\n\\subsection{Rate of convergence}\nAs in \\cite{DT}, we first introduce the function class\n$$\nH^2(T_{\\Gamma_1},M)= \\left \\{F\\in H^2(T_{\\Gamma_1}): F=\\sum_{j=1}^\\infty c_j\\frac{\\phi_{w^{(j)}}}{||\\phi_{w^{(j)}}||}, w^{(j)}\\in T_{\\Gamma_1}, \\sum_{j=1}^\\infty |c_j|\\leq M \\right \\}.\n$$\nWe give the convergent rate of AFD-type approximation of functions in $H^2(T_{\\Gamma_1},M)$.\nThe result is stated as follows.\n\\begin{thm}\\label{con-rate}\nFor $F\\in H^2(T_{\\Gamma_1},M)$, and $F_{A_m}^*$ corresponding to the sequence $\\{z^{(k)}\\}_{k=1}^m$, where each element of $\\{z^{(k)}\\}_{k=1}^m$ is selected by the principle $(\\ref{min_pro_revise})$, we have\n$$\n\\| F-F^*_{A_m} \\|\\leq \\frac{M}{\\sqrt{m}}.\n$$\n\\end{thm}\n\nTo prove Theorem \\ref{con-rate}, we need the following result.\n\\begin{lem}[\\cite{DT}]\\label{DT-lem}\nLet $\\{d_k\\}_{k=1}^\\infty$ be a sequence of nonnegative numbers satisfying\n$$\nd_1\\leq A, \\quad d_{k+1}\\leq d_k\\left(1-\\frac{d_k}{A}\\right).\n$$\nThen there holds\n$$\nd_k\\leq \\frac{A}{k}.\n$$\n\\end{lem}\n{\\em Proof of Theorem \\ref{con-rate}:}\\\\\nFor $F\\in H^2(T_{\\Gamma_1}, M)$, we have $F=\\sum_{k=1}^\\infty c_k\\frac{\\phi_{w^{(k)}}}{\\|\\phi_{w^{(k)}}\\|}$ and\n$$\n||F||\\leq \\sum_{j=1}^\\infty |c_k|\\leq M.\n$$\nBy (\\ref{general_F}), we have\n$$\n\\|F_{A_{m}}^*\\|^2 =\\sum_{k=1}^{m} |\\langle F, \\mathcal B_k \\rangle|^2,\n$$\nand\n\\begin{align}\\label{F_m}\n\\|F_{m+1}\\|^2= \\|F_m\\|^2-|\\langle F, \\mathcal B_m \\rangle|^2=\\|F_m\\|^2-|\\langle F_m, \\mathcal B_m \\rangle|^2,\n\\end{align}\nwhere $F_{m+1}=F-F_{A_m}^*$.\nBy (\\ref{G-S}),\n\\begin{align}\\label{F_mB_m}\n\\begin{split}\n|\\langle F_m,\\mathcal B_m\\rangle| &= \\frac{|\\langle F_m, {\\gamma_m}\\rangle|}{\\|\\gamma_m\\|}\\\\\n& = \\frac{|\\langle F_m, \\Phi_{z^{(m)}} - \\sum_{k=1}^{m-1}\\langle \\Phi_{z^{(m)}}, \\mathcal B_k\\rangle\\mathcal B_k\\rangle|}{\\|\\Phi_{z^{(m)}} - \\sum_{k=1}^{m-1}\\langle \\Phi_{z^{(m)}}, \\mathcal B_k\\rangle\\mathcal B_k\\|}\\\\\n& = \\frac{|\\langle F_m, \\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|}\\rangle|}{\\|\\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|} - \\sum_{k=1}^{m-1}\\langle \\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|}, \\mathcal B_k\\rangle\\mathcal B_k\\|}\\\\\n&\\geq |\\langle F_m, \\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|}\\rangle|\\\\\n&\\geq |\\langle F_m, \\frac{\\phi_{z^{(m)}}}{\\|\\phi_{z^{(m)}}\\|}\\rangle|,\n\\end{split}\n\\end{align}\nwhere the first inequality is based on $$\\|\\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|} - \\sum_{k=1}^{m-1}\\langle \\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|}, \\mathcal B_k\\rangle\\mathcal B_k\\|^2 = 1-\\sum_{k=1}^{m-1}|\\langle \\frac{\\Phi_{z^{(m)}}}{\\|\\Phi_{z^{(m)}}\\|},\\mathcal B_k\\rangle|^2\\leq 1.$$\nCombining (\\ref{min_pro_revise}), (\\ref{F_m}) and (\\ref{F_mB_m}), we have\n\\begin{align}\\label{F_mB_m1}\n\\begin{split}\n|\\langle F_m, \\mathcal B_m \\rangle| &= \\sup_{z\\in T_{\\Gamma_1}}|\\langle F_m, \\mathcal B_{\\{z^{(1)},z^{(2)},...,z^{(m-1)},z\\}} \\rangle|\\\\\n&\\geq \\sup_{z\\in T_{\\Gamma_1}}|\\langle F_m, \\frac{\\phi_{z}}{\\|\\phi_{z}\\|} \\rangle|\\\\\n&\\geq \\sup_{z\\in \\{w^{(k)}\\}_{k=1}^\\infty}|\\langle F_m, \\frac{\\phi_{z}}{\\|\\phi_{z}\\|} \\rangle|.\\\\\n\\end{split}\n\\end{align}\nNotice that\n\\begin{align*}\n\\|F_m\\|^2&=|\\langle F_m, F\\rangle|\n=|\\langle F_m, \\sum_{k=1}^\\infty c_k\\frac{\\phi_{w^{(k)}}}{\\|\\phi_{w^{(k)}}\\|}\\rangle|\n\\leq M\\sup_{z\\in \\{w^{(k)}\\}_{k=1}^\\infty} |\\langle F_m, \\frac{\\phi_{z}}{\\|\\phi_{z}\\|}\\rangle|.\n\\end{align*}\nHence,\n\\begin{align*}\n\\|F_{m+1}\\|^2&=\\|F_m\\|^2-|\\langle F_m, \\mathcal B_m\\rangle|^2\\\\\n&\\leq \\|F_m\\|^2-\\sup_{z\\in \\{w^{(k)}\\}_{k=1}^\\infty}|\\langle F_m, \\frac{\\phi_{z}}{\\|\\phi_{z}\\|} \\rangle|^2\\\\\n&\\leq \\|F_m\\|^2-\\frac{\\|F_m\\|^4}{M^2}\\\\\n&=\\|F_m\\|^2\\left(1-\\frac{\\|F_m\\|^2}{M}\\right).\n\\end{align*}\nBy Lemma \\ref{DT-lem}, we conclude the desired result.\n\\quad \\hfill$\\Box$\\vspace{2ex}\n\n\\subsection{Rational approximation of functions in $L^2(\\mathbb R^n)$}\nIt is known that, for $f\\in L^2(\\mathbb R)$, one can have $f=f^+ + f^-$,  where $f^+$ and $f^-$ are non-tangential boundary limits of functions contained in $H^2(\\mathbb C_+)$ and $H^2(\\mathbb C_-)$, respectively. Then, rational approximation of functions in $L^2(\\mathbb R)$ can be easily obtained by rational approximations of functions in $H^2(\\mathbb C_+)$ and $H^2(\\mathbb C_-)$. Here we give rational approximation of functions in $L^2(\\mathbb R^n)$ in a similar manner.\nDefine $\\sigma_j=(\\sigma_j(1),\\sigma_j(2),...,\\sigma_j(n)),1\\leq j\\leq 2^n$, whose elements are $+$ and $-$,\nand $$\\Gamma_{\\sigma_j}=\\{y\\in \\mathbb R^n;y_k>0 \\text{ if } \\sigma_j(k)=+ \\text{ and } y_k<0 \\text{ if } \\sigma_j(k)=-, j=1,2,...,n\\}.$$\nObserve that\n $\\mathbb R^n=\\cup_{j=1}^{2^n}\\overline {\\Gamma_{\\sigma_j}}. $\nFor $F\\in L^2(\\mathbb R^n)$, the following result is known.\n\\begin{thm}[\\cite{P}]\\label{Hardy-dec-pro}\nFor $F\\in L^2(\\mathbb R^n),$ if\n\\begin{align}\\label{Hardy-projection}\n\\begin{split}\nF_{\\sigma_j}(z)=\\int_{\\mathbb R^n}F(\\xi)\\overline{K_{\\Gamma_{\\sigma_j}}(\\xi, \\overline z)}\nd\\xi=\\frac{(-1)^{m_j}}{(2\\pi i)^n}\\int_{\\mathbb R^n}F(\\xi)\\prod_{k=1}^n\n\\frac{1}{\\xi_k-z_k}d\\xi_1\\cdots d\\xi_n, \\quad z\\in T_{\\Gamma_{\\sigma_j}},\n\\end{split}\n\\end{align}\nwhere $m_j$ denotes the number of minus signs in $\\sigma_j$,\nthen $F_{\\sigma_j}(z)$ is holomorphic on $T_{\\Gamma_{\\sigma_j}}$, and for $F_{\\sigma_j}(x+iy)$ as a function of $x$,\n\\begin{align}\\label{Riesz-inequality}\n\\Vert F_{\\sigma_j}(\\cdot+iy) \\Vert_{L^2(\\mathbb R^n)}\\leq C \\Vert F\\Vert_{L^2(\\mathbb R^n)},\n\\end{align}\nwhere $C$ is a constant that is independent of $F$ and $y$.\\\\\nFurthermore,\n\\begin{align}\\label{Hardy-decomposition}\nF(x)=\\sum_{j=1}^{2^n}F_{\\sigma_j}(x),\\quad x\\in \\mathbb R^n, \\text{ in the } L^2 \\text{-sense,}\n\\end{align}\nwhere $F_{\\sigma_j}(x)=\\lim_{y\\in \\Gamma_{\\sigma_j},y\\to 0}F_{\\sigma_j}(x+iy)$ is the limit function in the $L^2$-norm.\n\\end{thm}\n\\begin{remark}\nIt is noted that Theorem \\ref{Hardy-dec-pro} is the summary of the results given in \\cite{P}. In fact, the result given in Theorem \\ref{Hardy-dec-pro} holds for $F\\in L^p(\\mathbb R^n), 1<p<\\infty$ (see \\cite{P}). For more information, we also refer to e.g. \\cite{Ti,Till,Vl}. Based on the definition of the Hardy spaces, (\\ref{Riesz-inequality}) implies that $F_{\\sigma_j}\\in H^2(T_{\\Gamma_{\\sigma_j}})$. (\\ref{Hardy-projection}) is called the Hardy projection of $F$. Hence, (\\ref{Hardy-decomposition}) means that $F$ can be decomposed into a sum of boundary limit functions of functions in the Hardy spaces on tubes over octants. Moreover, for $F\\in L^p(\\mathbb R^n), 1<p<\\infty$, $F_{\\sigma_j}(x)$ can be characterized as the Fourier transform of a function supported on $\\Gamma_{\\sigma_j}$ in distribution sense (see \\cite{P}). This can be regard as a generalization of the Paley-Wiener theorem (see Theorem \\ref{PW}). Recently, in \\cite{DLQ} the analogues of the Paley-Wiener theorem have been given for $H^p(T_\\Gamma), 1\\leq p\\leq\\infty$ (for $2<p\\leq\\infty$, the results are shown in distribution sense), where $\\Gamma$ is a regular cone.\n\\end{remark}\n\nDue to Theorem \\ref{Hardy-dec-pro} and the above discussion, we can reduce the relevant study to $F_{\\sigma_j}(1\\leq j\\leq 2^n$) when considering the rational approximation of $F\\in L^2(\\mathbb R^n)$. Therefore, for each $F_{\\sigma_j}$ we can obtain the AFD-type approximation of $F_{\\sigma_j}$. Although the AFD-type approximation is established in the first octant, one can apply it to the other octants without conflicts. Moreover, for the real-valued function $F$ we only need to deal with the related $2^{n-1}$ Hardy spaces.\nFor instance, we interpret this in $\\mathbb C^2$. If $\\{z^{(k)}=(z^{(k)}_1,z^{(k)}_2)\\}_{k=1}^\\infty$ is the sequence such that $F_{A_m,+,+}^{*}\\to F_{+,+}$ as $m\\to \\infty $ in $H^2(T_{\\Gamma_{+,+}})$, then we have that $\\{(\\overline {z^{(k)}_1},\\overline {z^{(k)}_2})\\}_{k=1}^\\infty$ is the sequence such that $F_{A_m,-,-}^{*}\\to F_{-,-}$ as $m\\to \\infty$ in $H^2(T_{\\Gamma_{-,-}})$. Similar conclusions can be drawn for the cases $F_{+,-}$ and $F_{-,+}$.\n\n\\subsection{AFD-type Approximation in $H^2(T_\\Gamma)$}\nIn this part, we will investigate the AFD-type approximation in $H^2(T_\\Gamma)$, where $\\Gamma$ is a regular cone. Based on the discussions in Section 3, we know that Theorems \\ref{first-app1} - \\ref{third-app1} play an important role in studying the AFD-type approximation. The techniques used in Theorem \\ref{thm1} and Lemma \\ref{re-ex-lem} still work for the proposed approximation in $H^2(T_{\\Gamma})$. Therefore, for a regular cone, we only need to consider the analogous results of Theorems \\ref{first-app1} - \\ref{third-app1}. It is difficult to show that the BVC holds in $H^2(T_\\Gamma)$ since we do not have the explicit formula of Cauchy-Szeg\\\"o kernel. However, as mentioned in Section $3$, the weak BVC is sufficient for us to obtain the AFD-type approximation. In this part, under the assumption that (\\ref{CS-infty}) holds, we will give certain properties of the boundary behaviors of functions in $H^p(T_{\\Gamma}),1<p<\\infty$, which can be regarded as special cases of the analogous results of Theorems \\ref{first-app1} - \\ref{third-app1}. When $p=2$, such property is indeed the weak BVC.\n\nWe first recall the definition of regular cones. Open cones are nonempty open subsets $\\Gamma\\in \\mathbb R^n$ satisfying\n(1) $0\\not \\in \\Gamma$, and (2) whenever $x,y \\in \\Gamma$ and $a, b>0$ then $a x +b y \\in \\Gamma.$\nA closed cone is the closure of an open cone. It is clear that if $\\Gamma$ is an open cone then $\\Gamma^{*}=\\{x\\in \\mathbb R^n; x\\cdot t \\geq 0, t\\in \\Gamma\\}$ is closed. Moreover, if $\\Gamma^{*}$ has a non-void interior, then it is a closed cone. In this case we say that $\\Gamma$ is a regular cone, and $\\Gamma^{*}$ is called the cone dual to $\\Gamma.$ Recall that the dual cone of  $\\Gamma_1$ is $\\Gamma_1^*=\\overline \\Gamma_1$. For more information on regular cones, see e.g. \\cite{JFAK}.\n\nWe still denote by $K(w,\\overline z)$ the Cauchy-Szeg\\\"o kernel of $H^2(T_\\Gamma)$. Using the notation $K_\\Gamma(w,\\overline z)$ if we want to emphasize the Cauchy-Szeg\\\"o kernel that corresponds to $\\Gamma$. We need the following results for preparation.\n\\begin{thm}[{\\cite[Theorem 5.6]{SW}}]\\label{g-rf-p}\nSuppose $\\Gamma$ is a regular cone in $\\mathbb R^n$, and $F\\in H^p(T_{\\Gamma}), 1\\leq p<\\infty$, then\n$$\n\\lim_{y\\in\\Gamma,y\\to 0}\\int_{\\mathbb R^n}|F(x+iy)-F(x)|^pdx=0,\n$$\nand\n$$\nF(x+iy)=\\int_{\\mathbb R^n}F(t)P_y(x-t)dt,\n$$\nwhere $F(x)$ is the limit function, whose existence is in the sense of that in \\cite[Theorem 5.5]{SW}.\n\\end{thm}\n\n\\begin{lem}\nSuppose that $\\Gamma$ is a regular cone in $\\mathbb R^n$. For $z=x+iy\\in T_{\\Gamma}$ and $1<p\\leq \\infty$, we have\n\\begin{align}\\label{P-S-estimate}\n\\|P_y(x-\\cdot)\\|_{L^p(\\mathbb R^n)}\\leq \\frac{1}{2^{\\frac{n}{p}}}K(z,\\overline z)^{1-\\frac{1}{p}}.\n\\end{align}\n\\end{lem}\n\\begin{proof}\nFor $2<p<\\infty$ and $z=x+iy\\in T_{\\Gamma}$, we have\n\\begin{align}\n\\int_{\\mathbb R^n}|K(\\xi,\\overline z)|^p d\\xi =\\sup_{\\xi\\in \\mathbb R^n}|K(\\xi,\\overline z)|^{p-2}\\int_{\\mathbb R^n}|K(\\xi,\\overline z)|^2d\\xi \\leq \\frac{1}{2^n}K(z,\\overline z)^{p-2}K(z,\\overline z)=\\frac{1}{2^n}K(z,\\overline z)^{p-1}\n\\end{align}\nHence, for $1<p<\\infty,$\n\\begin{align}\n\\int_{\\mathbb R^n}|P_y(x-\\xi)|^pd\\xi\\leq \\int_{\\mathbb R^n}\\frac{|K(\\xi,\\overline z)|^{2p}}{K(z,\\overline z)^p}d\\xi\\leq \\frac{1}{2^n}K(z,\\overline z)^{2p-1-p}=\\frac{1}{2^n}K(z,\\overline z)^{p-1}.\n\\end{align}\nObviously, when $p=\\infty$, we have $\\|P_y(x-\\cdot)\\|_{L^\\infty(\\mathbb R^n)}\\leq K(z,\\overline z)$.\n\\end{proof}\n\nUnlike the first octant, the estimates of $K(z,\\overline z)$ at points of $\\partial \\Gamma$ and at infinity are not obvious. The next lemma gives the estimate of $K(z,\\overline z)$ on $\\partial \\Gamma$.\n\\begin{lem}[{\\cite[Lemma 2]{AK},\\cite[Proposition I.3.2]{JFAK}}]\\label{AK_lemma}\nLet $\\Gamma$ be a regular cone in $\\mathbb R^n, n\\geq 3$, and $\\beta \\in \\partial \\Gamma$. Then\n\\begin{align}\\label{AK_formula}\n\\lim_{y\\in \\Gamma, y\\to \\beta}\\int_{\\Gamma^{*}}e^{-4y\\cdot t} dt=\n\\infty.\n\\end{align}\n\\end{lem}\n\\begin{remark} It is obvious that $(\\ref{AK_formula})$ is true when $n=1$. For $n=2,$ we only need to verify that (\\ref{AK_formula}) holds for a special class of regular cones in $\\mathbb R^2$\n\\begin{align}\\label{2-cone}\n\\Gamma^\\kappa=\\{y\\in \\mathbb R^2; |y_1|<\\kappa y_2\\}, \\quad 0<\\kappa<\\infty.\n\\end{align}\nChecking that the dual cone of $\\Gamma^\\kappa$ is\n$$\n\\Gamma^{\\kappa,*}=\\{t\\in \\mathbb R^2; |t_1|<\\frac{1}{\\kappa}t_2\\}\n$$\nis easy.\nBy direct calculation, we have $K_{\\Gamma^\\kappa}(z,\\overline z)=\\int_{\\Gamma^{\\kappa,*}}e^{-4\\pi y\\cdot t}dt=\\frac{\\kappa}{8\\pi^2(\\kappa^2y_2^2-y_1^2)}$. Obviously, for $\\beta\\in \\partial \\Gamma^\\kappa$, $\\lim_{y\\in \\Gamma^\\kappa, y\\to \\beta}K_{\\Gamma^\\kappa}(z,\\overline z)=\\infty$. In the following discussion, we write elements in $\\Gamma$ as column vectors.\nIf $\\Gamma$ is a regular cone in $\\mathbb R^2$, then, for $y\\in\n\\Gamma$, there exists a matrix $P\\in SO(2,\\mathbb R)=\\{Q\\in\nGL(2,\\mathbb R); QQ^{T}=Q^{T}Q=I, |Q|=1\\}$ and $\\Gamma^{\\kappa}$\nsuch that\n$$\n(y_1, y_2)^{T}= P(\\xi_1, \\xi_2)^{T}, \\quad\n\\xi=(\\xi_1, \\xi_2)^T\\in \\Gamma^{\\kappa}.\n$$\nThen we\nhave\n$\nK(z,\\overline z)= \\int_{\\Gamma^{*}}e^{-4\\pi y\\cdot t}dt\n= |P|\\int_{\\Gamma^{\\kappa,*}}e^{-4\\pi (P\\xi)\\cdot (Pt^{\\prime})}dt^{\\prime}\n = \\int_{\\Gamma^{\\kappa,*}}e^{-4\\pi \\xi\\cdot\nt^{\\prime}}dt^{\\prime}.\n$\n Since $P$ is nonsingular, $\\xi\\to \\partial \\Gamma^\\kappa$ as $y\\to \\partial \\Gamma$. Hence,\n $\n\\lim_{y\\in\\Gamma, y\\to \\beta} K(z,\\overline z)=\\infty.\n $\n\\end{remark}\n\\medskip\n\nWhat we are concerned with the estimate of Cauchy-Szeg\\\"o kernel at infinity is whether\n\\begin{align}\\label{CS-infty}\\lim_{\\widetilde y\\in \\widetilde{\\Gamma},|\\widetilde y|\\to\\infty}K(x+i\\widetilde y,\\overline{x+i\\widetilde y})=0\\end{align}\nholds, where $\\widetilde \\Gamma=\\overline{y^\\prime+\\Gamma}, y^\\prime\\in \\Gamma.$\nFor such estimate, we first consider the following two classes of cones. One of them is the polygonal cones that are the interior of the convex hull of a finite number of rays meeting at origin. If a polygonal cone is the interior of the convex hull of a finite number of $n$ linearly independent rays meeting at origin, we call it $n$-sided polygonal cone.  A polygonal cone indeed is a finite union of $n$-sided polygonal cones. The other one is the circular cones. We only need to consider the circular cones are of the form $\\Gamma=\\{y\\in\\mathbb R^n;\\sqrt{\\sum_{j=1}^{n-1}|y_j|^2}<\\kappa y_n\\},\\kappa>0,$ since we can move a general circular cone to this form after a rotation. In fact, these two classes of cones can be regarded as two different generalizations of $\\Gamma^\\kappa$ in $\\mathbb R^n,n\\geq 3.$ For simplicity, we show that (\\ref{CS-infty}) holds for $\\Gamma^\\kappa$ by two different ways. One can easily conclude that $(\\ref{CS-infty})$ holds for the polygonal and the circular cones.\n\nWe first show the way that can be utilized in proving that (\\ref{CS-infty}) holds for the circular cones. As shown previously, for $y\\in \\overline {\\Gamma^\\kappa}$,\n\\begin{align*}\nK_{\\Gamma^\\kappa}(x+i(y+y^\\prime),\\overline {x+i(y+y^\\prime)}) &=\\frac{\\kappa}{8\\pi^2(\\kappa^2(y_2+y_2^\\prime)^2-(y_1+y_1^\\prime)^2)}\\\\\n&=\\frac{\\kappa}{8\\pi^2[\\kappa(y_2+y_2^\\prime)-|y_1+y_1^\\prime|][\\kappa(y_2+y_2^\\prime)+|y_1+y_1^\\prime|]}\\\\\n&\\leq \\frac{\\kappa}{8\\pi^2\\delta_0[\\kappa(y_2+y_2^\\prime)+|y_1+y_1^\\prime|]},\n\\end{align*}\nwhere $\\delta_0=dist(\\widetilde{\\Gamma^\\kappa},\\Gamma^{\\kappa,c})>0$, and $\\Gamma^{\\kappa,c}$ is the complement of $\\Gamma^\\kappa$. Then, we get the desired conclusion.\nNote that there exist a linear transformation $Q$ that maps the first octant onto ${\\Gamma^{\\kappa}}$ (see e.g. \\cite{SW, Rudin}).\nHence we have\n$$\nK_{\\Gamma^\\kappa}(x+i\\widetilde y, \\overline{x+i\\widetilde y})=\\int_{\\Gamma^{\\kappa,*}} e^{-4\\pi\\widetilde y\\cdot t} dt = \\frac{1}{|Q|}\\int_{\\overline\\Gamma_1}e^{-4\\pi\\widetilde\\xi\\cdot t^\\prime} dt^\\prime= \\frac{1}{|Q|}K_{\\Gamma_1}(i\\widetilde\\xi,\\overline{\ni\\widetilde \\xi}).\n$$\nSince $|\\widetilde\\xi|\\to\\infty$ as $|\\widetilde y|\\to \\infty$, we conclude the desired result again. Since the interior of the dual cone of a polygonal cone $\\Gamma$ is polygonal, there exist $n$-sided polygonal cones $\\Gamma_{(k)},k=1,...,N,$ such that\n$$K_{\\Gamma}(w,\\overline z)=\\sum_{k=1}^N \\int_{\\Gamma_{(k)}^*}e^{-4\\pi(w-\\overline z)\\cdot t}dt=\\sum_{k=1}^N K_{\\Gamma_{(k)}}(w,\\overline z),$$\nwhere $\\Gamma^*=\\cup_{k=1}^N \\Gamma_{(k)}^*$, and for each $\\Gamma_{(k)}$ there exists a linear transformation mapping the first octant onto $\\Gamma_{(k)}$. Therefore, we can easily get that (\\ref{CS-infty}) holds for the polygonal cones.\n\nIn the following part, we would like to discuss whether (\\ref{CS-infty}) holds in general. For general regular cones, (\\ref{CS-infty}), however, does not seem to be so obvious. The following lemma gives a partial answer to this question.\n\n\\begin{lem}\\label{infty-lem}\nSuppose that $\\Gamma_0$ is a regular cone whose closure is contained in $\\Gamma\\cup \\{0\\}$. Then\n$$\n\\lim_{y\\in \\overline \\Gamma_0,|y|\\to \\infty}K(iy,\\overline {iy})=0.\n$$\n\n\\end{lem}\n\\begin{proof}\nWe first show that\n\\begin{align*}\n\\lim_{y\\in \\overline\\Gamma_0,|y|\\to\\infty}e^{-4\\pi y\\cdot t}=0.\n\\end{align*}\n\nWe claim that if $\\eta\\in \\overline \\Gamma_0$ and $t\\in \\Gamma^{*}$, then there\nexists a $\\delta>0$ such that $\\delta|\\eta||t|\\leq \\eta\\cdot t$. Denote by $\\Sigma$ the set $\\{\\xi\\in\\mathbb R^n;|\\xi|=1\\}$. Define a\nfunction $H(\\eta, t)=\\eta\\cdot t$, $\\eta\\in \\overline \\Gamma_0\\cap \\Sigma, t\\in\n\\Gamma^{*}\\cap \\Sigma$. From the definition of $\\Gamma^{*}$ and $\\overline\\Gamma_0$\nwe have $0< \\eta\\cdot t$. Since $\\overline\\Gamma_0\\cap \\Sigma$ and\n$\\Gamma^{*} \\cap \\Sigma$ are both compact, the existence of $\\delta\n>0$ follows from the fact that $0<\\eta\\cdot t=H(\\eta,t)$ and $H(\\eta,t)$ is a\ncontinuous function. Consequently, we have\n$$\n\\lim_{y\\in \\overline\\Gamma_0, |y|\\to \\infty}e^{-4\\pi y\\cdot t}\\leq \\lim_{y\\in \\overline\\Gamma_0,\n|y|\\to \\infty}e^{-4\\pi \\delta |y||t|}=0, \\quad t\\in \\Gamma^{*}\n$$\nand $$e^{-4\\pi\\delta |y||t|}\\leq e^{-4\\pi\\delta |t|},\\quad |y|\\geq 1,$$ where $\\int_{\\Gamma^*}e^{-4\\pi\\delta|t|}dt<\\infty.$\nTherefore, by the Lebesgue's dominated convergence theorem we have\n$$\n\\lim_{y\\in \\overline\\Gamma_0,|y|\\to\\infty}K(iy,\\overline{iy})=0.\n$$\n\\end{proof}\n\n\\begin{remark}\nOn one hand, the argument used in Lemma \\ref{infty-lem} can not be applied to $\\widetilde\\Gamma$ since the key point of such argument is that the union of all dilations of $\\overline \\Gamma_0\\cap\\Sigma$ is $\\overline\\Gamma_0$ while this is not the fact of $\\widetilde\\Gamma\\cap \\Sigma.$ On the other hand, Lemma \\ref{infty-lem} shows that (\\ref{CS-infty}) holds in most situations. The unsolved situation can be almost concluded as that $\\widetilde y\\in \\partial \\widetilde \\Gamma,|\\widetilde y|\\to \\infty.$ The case that $ \\widetilde y $ meets $\\partial \\widetilde\\Gamma$ at infinity can be considered as a special case of the above unsolved situation. The formula (\\ref{CS-infty}) should hold for more cones other than those discussed in this paper. For instance, one can easily check that (\\ref{CS-infty}) holds for the symmetric cone in $\\mathbb R^3$ given by $\\{y=(y_1,y_2,y_3)\\in\\mathbb R^3; y_1>0,y_1y_2-y_3^2>0 \\}$ (see \\cite{BBGNPR}).\n\\end{remark}\n\nUnder the assumption that (\\ref{CS-infty}) holds, the main result of this part is stated as follows.\n\\begin{thm}\\label{g-cone}\nSuppose that $\\Gamma$ is a regular cone such that (\\ref{CS-infty}) holds. For $F\\in H^p(T_\\Gamma), 1< p<\\infty,$ and $z=x+iy\\in T_{\\Gamma}$, we have the following results.\n\\begin{align}\\label{case1-general-cone}\n\\lim_{y\\in \\Gamma,y\\to\\beta}\\frac{|F(z)|}{K(z,\\overline z)^{\\frac{1}{p}}}=0\n\\end{align}\nholds uniformly for $x\\in \\mathbb R^n$, where $\\beta\\in \\partial \\Gamma$.\n\\begin{align}\\label{case2-general-cone}\n\\lim_{y\\in \\Gamma, |y|\\to \\infty}\\frac{|F(z)|}{K(z,\\overline z)^{\\frac{1}{p}}}=0\n\\end{align}\nholds uniformly for $x\\in \\mathbb R^n$.\n\\begin{align}\\label{case3-general-cone}\n\\lim_{|x|\\to \\infty}\\frac{|F(z)|}{K(z,\\overline z)^{\\frac{1}{p}}}=0\n\\end{align}\nholds uniformly for $y\\in \\Gamma$.\\\\\nIn particular, we do not need the assumption (\\ref{CS-infty}) for all regular cones in $\\mathbb R^2$, the polygonal and the circular cones in $\\mathbb R^n.$\n\\end{thm}\n\\begin{proof}\nBy Theorem \\ref{g-rf-p}, we have\n$$\nF(z)=\\int_{\\mathbb R^n}F(\\xi)P_y(x-\\xi)d\\xi\n$$\nwhere $F(\\xi)\\in L^p(\\mathbb R^n)$.\\\\\nTherefore, for any $\\epsilon>0$, we can find $G\\in L^r(\\mathbb R^n)\\cap L^p(\\mathbb R^n), p<r<\\infty,$ such that $$\\|F-G\\|_{L^p(\\mathbb R^n)}<\\epsilon.$$\nHence, for $q$ satisfying $\\frac{1}{p}+\\frac{1}{q}=1$ and $h$ satisfying $\\frac{1}{r}+\\frac{1}{h}=1$,\n\\begin{align}\\label{g-cone-fact}\n\\begin{split}\n\\frac{|F(z)|}{K(z,\\overline z)^{\\frac{1}{p}}}&\\leq \\frac{\\int_{\\mathbb R^n}|F(\\xi)-G(\\xi)|P_y(x-\\xi)d\\xi}{K(z,\\overline z)^{\\frac{1}{p}}}+\\frac{\\int_{\\mathbb R^n}|G(\\xi)|P_y(x-\\xi)d\\xi}{K(z,\\overline z)^{\\frac{1}{p}}}\\\\\n&\\leq \\|F-G\\|_{L^p(\\mathbb R^n)}\\frac{\\|P_y(x-\\cdot)\\|_{L^q(\\mathbb R^n)}}{K(z,\\overline z)^{\\frac{1}{p}}}+\\|G\\|_{L^r(\\mathbb R^n)}\\frac{\\|P_y(x-\\cdot)\\|_{L^h(\\mathbb R^n)}}{K(z,\\overline z)^{\\frac{1}{p}}}\\\\\n&< \\epsilon\\frac{\\frac{1}{2^{\\frac{n}{q}}}K(z,\\overline z)^{1-\\frac{1}{q}}}{K(z,\\overline z)^{\\frac{1}{p}}}+\\|G\\|_{L^r(\\mathbb R^n)}\\frac{\\frac{1}{2^{\\frac{n}{h}}}K(z,\\overline z)^{1-\\frac{1}{h}}}{K(z,\\overline z)^{\\frac{1}{p}}}\\\\\n&= \\frac{\\epsilon}{{2^{\\frac{n}{q}}}}+\\frac{\\|G\\|_{L^r(\\mathbb R^n)}}{2^{\\frac{n}{h}}}K(z,\\overline z)^{\\frac{1}{r}-\\frac{1}{p}},\n\\end{split}\n\\end{align}\nwhere the second inequality follows from H\\\" older's inequality.\\\\\nBy Lemma \\ref{AK_lemma} and the fact that $\\frac{1}{r}-\\frac{1}{p}<0$, we have $K(z,\\overline z)^{\\frac{1}{r}-\\frac{1}{p}}\\to 0$ as $y\\to \\beta$. Therefore, we complete the proof of (\\ref{case1-general-cone}).\n\nWe know that\n$$\nF(z)=\\int_{\\mathbb R^n} F(\\xi) P_y(x-\\xi)d\\xi.\n$$\nThen, for any given $\\epsilon>0$, we can find $y^\\prime\\in \\Gamma$ such that\n$$\n\\int_{\\mathbb R^n} |F(\\xi+iy^\\prime)-F(\\xi)|^p d\\xi <\\epsilon.\n$$\nSo\n\\begin{align*}\n\\frac{|F(z)|}{{K(z,\\overline z)}^{\\frac{1}{p}}} &= \\frac{|\\int_{\\mathbb R^n} \\left(F(\\xi)-F(\\xi+iy^\\prime)\\right)P_y(x-\\xi)d\\xi|+|\\int_{\\mathbb R^n} F(\\xi+iy^\\prime)P_y(x-\\xi)d\\xi|}{{K(z,\\overline z)}^{\\frac{1}{p}}}\\\\\n& < \\frac{\\epsilon}{2^{\\frac{n}{q}}}+ \\frac{|\\int_{\\mathbb R^n} F(\\xi)P_{y+y^\\prime}(x-\\xi)d\\xi|}{K(z,\\overline z)^{\\frac{1}{p}}}.\n\\end{align*}\nSimilar to (\\ref{g-cone-fact}), we have\n\\begin{align}\\label{g-cone-fact2-ineq}\n\\begin{split}\n\\frac{|\\int_{\\mathbb R^n} F(\\xi)P_{y+y^\\prime}(x-\\xi)d\\xi|}{K(z,\\overline z)^{\\frac{1}{p}}}\\leq \\frac{\\epsilon}{2^\\frac{n}{q}} \\frac{K(z+iy^\\prime,\\overline{z+iy^\\prime})^{1-\\frac{1}{q}}}{K(z,\\overline z)^{\\frac{1}{p}}}+\\frac{||G||_{L^r(\\mathbb R^n)}}{2^\\frac{n}{h}}\\frac{K(z+iy^\\prime,\\overline{z+iy^\\prime})^{1-\\frac{1}{h}}}{K(z,\\overline z)^{\\frac{1}{p}}},\n\\end{split}\n\\end{align}\nwhere $G\\in L^r(\\mathbb R^n)\\cap L^p(\\mathbb R^n), 1<r<p$, $\\frac{1}{p}+\\frac{1}{q}=1$ and $\\frac{1}{r}+\\frac{1}{h}=1$.\\\\\nNotice that $K(z+iy^\\prime,\\overline{z+iy^\\prime})<K(z,\\overline z)$. Hence, the first term in (\\ref{g-cone-fact2-ineq}) is strictly less than $\\frac{\\epsilon}{2^{\\frac{n}{q}}}$. For the second term in (\\ref{g-cone-fact2-ineq}), by $K(z+iy^\\prime,\\overline{z+iy^\\prime})<K(z,\\overline z),$ $\\lim_{y\\in\\Gamma,|y|\\to \\infty}K(z+iy^\\prime,\\overline {z+iy^\\prime})=0$ and $\\frac{1}{r}-\\frac{1}{p}>0,$ we can easily conclude that, for $|y|$ large enough,\n$$\n\\frac{K(z+iy^\\prime,\\overline{z+iy^\\prime})^{1-\\frac{1}{h}}}{K(z,\\overline z)^{\\frac{1}{p}}}<\\epsilon.\n$$\n\nBy the above discussions, the proof of (\\ref{case2-general-cone}) is completed.\\\\\n To prove (\\ref{case3-general-cone}), because of (\\ref{case1-general-cone}) and (\\ref{case2-general-cone}), we only need to show that\n \\begin{align}\\label{g-cone-fact2}\n \\lim_{|x|\\to\\infty}\\frac{|F(z)|}{K(z,\\overline z)^{\\frac{1}{p}}}=0\n \\end{align}\n holds uniformly for $y\\in C_0$, where $C_0$ is a compact subset in $\\Gamma$.\n Notice that\n$$\nK(z, \\overline z)= \\int_{\\Gamma^*}e^{-4\\pi y\\cdot\nt}dt=K(iy, -iy).\n$$\nand $y\\in C_0$. It suffices to show\n\\begin{align}\\label{suff-cond-third-case}\n\\lim_{|x|\\to \\infty} {|F(z)|}=0.\n\\end{align}\nSince $C_0$ is compact, there exists a constant $\\rho>0$\nsuch that $d(C_0,{\\Gamma}^{c})=\\inf\\{|y-\\xi|;y\\in C_{0}, \\xi\n\\not\\in \\Gamma\\}\\geq {\\rho}$, where ${\\Gamma}^c$ is the complement\nof $\\Gamma$. Let $C_1=\\overline {\\cup_{y\\in C_0}\\{\\eta;\n|\\eta-y|<\\frac{\\rho}{2}\\}}$. Obviously, $d(C_1,{\\Gamma}^c)\\geq\n\\frac{\\rho}{2}$ and $C_1$ is also compact. Based on the fact that $ \\int_{C_1}\\int_{\\mathbb\nR^n}|F(x+iy)|^p dx dy<\\infty$, and the definition of\nfunctions in $H^p(T_{\\Gamma}),$ we have\n\\begin{align}\\label{case3-fact1}\n\\int_{C_1}\\int_{\\mathbb |x|>N}|F(x+iy)|^p dx dy\\to 0, \\quad N\\to\n\\infty.\n\\end{align}\n Recall that $|F|^p$ is subharmonic.\nFor $z\\in T_{\\Gamma}$, we have\n\\begin{align}\\label{case3-fact2}\n|F(x+iy)|^p\\leq\n\\frac{1}{V(B_z(\\frac{\\rho}{4}))}\\int_{B_z(\\frac{\\rho}{4})}|F(\\xi+i\\eta)|^p d\\xi\nd\\eta,\n\\end{align}\nwhere $V(B_z(\\frac{\\rho}{4}))$ is the volume of the ball\n$B_z(\\frac{\\rho}{4})$ centered at $z$ with radius $\\frac{\\rho}{4}$. From (\\ref{case3-fact2}), for $y\\in C_0$, we\nhave\n\\begin{align}\\label{case3-fact3}\n\\begin{split} |F(x+iy)|^p &\\leq\n\\frac{1}{V(B_z(\\frac{\\rho}{4}))}\\int_{B_z(\\frac{\\rho}{4})}|F(\\xi+i\\eta)|^pd\\xi\nd\\eta\\\\\n&\\leq \\frac{1}{V(B_z(\\frac{\\rho}{4}))}\\int_{\\{\\eta; |\\eta-y|\\leq\n\\frac{\\rho}{4}\\}}\\int_{\\{\\xi;|\\xi-x|\\leq\n\\frac{\\rho}{4}\\}}|F(\\xi+i\\eta)|^pd\\xi\nd\\eta\\\\\n&\\leq\n\\frac{1}{V(B_z(\\frac{\\rho}{4}))}\\int_{C_1}\\int_{\\{\\xi;|\\xi-x|\\leq\n\\frac{\\rho}{4}\\}}|F(\\xi+i\\eta)|^pd\\xi\nd\\eta.\\\\\n\\end{split}\n\\end{align}\nSince $|\\xi-x|\\leq \\frac{\\rho}{4}$, we have $|x|-\\frac{\\rho}{4}\\leq\n|\\xi| \\leq |x|+\\frac{\\rho}{4}$. Therefore,\nwhen $|x|>N+\\frac{\\rho}{4}$, by (\\ref{case3-fact1}) we have\n(\\ref{case3-fact3}) tends to $0$ uniformly for $y\\in C_0$.\n\\end{proof}\n\n\\begin{remark}\n(1) When $p=2$, Theorem \\ref{g-cone} implies the existence of $z^{(m+1)}_*$ in the following minimization problem\n$$\nz^{(m+1)}_* :=\\arg \\min_{z^{(m+1)}\\in \\Gamma}\\|F-F_{A_{m+1}}^*\\|^2,\n$$\nHence, we obtain the AFD-type approximation in $H^2(T_\\Gamma)$ if $\\Gamma$ is one of the following cases: a regular cone in $\\mathbb R^2$; a polygonal cone in $\\mathbb R^n$; a circular cone in $\\mathbb R^n.$\\\\\n(2) Since $|F|^p$ is still subharmonic for $0<p\\leq 1$ and the technique used in Theorem \\ref{g-cone} still works, (\\ref{g-cone-fact2}) holds for $0<p<\\infty$. Note that Theorem \\ref{g-cone} plays an essential role in studying the AFD-type approximation. Moreover, Theorem \\ref{g-cone} indeed is analogous to the following known result in the Hardy spaces on the unit ball $H^p(\\mathbb B_n), 1<p<\\infty$ (cf. \\cite[page 123]{Z1}),\n$$\n\\lim_{|z|\\to 1^{-}}(1-|z|^2)^{\\frac{n}{p}}|F(z)|=0, \\quad F\\in H^p(\\mathbb B_n),\n$$\nwhere $K_{\\mathbb B_n}(w,\\overline z)=\\frac{1}{(1-\\sum_{k=1}^n w_k\\overline {z_k})^n}$ is the Cauchy-Szeg\\\"o kernel for $H^2(\\mathbb B_n).$\n\\end{remark}\n\n\n\\bigskip\n\n\n\\addcontentsline{toc}{section}{References}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\n\\IEEEPARstart{T}{he} use of deep neural network (DNN) techniques in intelligent vehicles has expedited the development of self-driving vehicles in research and industry. Self-driving cars  can operate automatically because equipped perception, planning, and control modules operate  cooperatively \\cite{Gri20, Tam20, Yur20}. The most common perception components used in autonomous vehicles include cameras and radar\/lidar devices; cameras are combined with DNN  to recognize relevant objects, and radars\/lidars  are mainly used for distance measurement \\cite{Yur20, YLi20}. Because of limitations related to sensor cost and size, current active driving assistance systems primarily rely on camera-based perception modules with supplementary radars  \\cite{Con20}.\n\n\n\n\n\\begin{figure}[t]\n\\centerline{\\includegraphics[scale=0.35]{overview.pdf}}\n\\caption{Proposed vision-based automated driving framework. The system comprises the following modules: a multi-task DNN for surrounding perception, a lateral\/longitudinal CILQR controller for automobile motion planning and adherence to driving commands (steering, acceleration, and brake), and a  proportional and integral (PI)  controller combined with the longitudinal CILQR algorithm for velocity  tracking.  These modules  take data from a front-facing camera  and a few cost-effective radars as inputs, and they operate collaboratively to achieve automated vehicle operation. The DNN and lateral\/longitudinal CILQR algorithms are run efficiently every 24.52 and 0.58\/0.65 (ms), respectively.\n}\n\\end{figure}\n\n\n\n\nTo understand complex driving scenes, multi-task DNN (MTDNN) models that output multiple predictions simultaneously are often applied in autonomous vehicles to reduce inference time and device power consumption. In \\cite{Tei18}, street classification, vehicle detection, and road segmentation problems were solved using a single MultiNet model. In \\cite{Piz19}, the researchers trained a MTDNN to detect drivable areas and road classes for vehicle navigation. DLT-Net, presented in \\cite{Qia20}, is a unified neural network for the simultaneous detection of drivable areas, lane lines, and traffic objects; it aims to provide vehicle' localization when an HD map is unavailable. The context tensors between subtask decoders in DLT-Net share mutual features learned from different tasks. A lightweight multi-task semantic attention network was proposed in \\cite{Lai21} to achieve object detection and semantic segmentation simultaneously; this network  boosts detection performance and reduces computational costs through the use of a semantic attention module. YOLOP \\cite{Don21} is a panoptic driving perception network that simultaneously performs traffic object detection, drivable area segmentation, and lane detection on an NVIDIA  TITAN XP  GPU at a speed of 41 FPS.\n\n\n\n\\begin{figure*}[!t]\n\\centerline{\\includegraphics[scale=0.5]{network.pdf}}\n\\caption{Overview of proposed MTUNet architecture. The input RGB image of size  228 $\\times$ 228 is fed into the model, which then performs lane line segmentation, ego vehicle's pose estimation,  and traffic object detection at the same time. The backbone-seg-subnet is a UNet-based network; three variants of UNet (UNet$\\_$2$\\times$ \\cite{Lee21a}, UNet$\\_$1$\\times$ \\cite{Nab20}, and MResUNet \\cite{Nab20}) are compared in this work. The ReLU  activation functions in  pose and det subnets are not shown for simplicity.\n}\n\\end{figure*}\n\n\n\n \n \n\nIn a modular self-driving system, the perceived results can be sent to a model predictive control (MPC) planner to generate spatio-temporal trajectories over a time horizon.  The  system then reactively selects a short interval of optimal solutions as control inputs to minimize the gap between target and current states \\cite{Pad16}. The MPC model, which can be applied using various methods [e.g., active set, conjugated gradient, gradient project, augmented Lagrangian, interior point, and sequential quadratic programming (SQP)] \\cite{Lim21,Gut17,Ma22}, seems to be a promising tool for dealing with  vehicle optimal control problems. In \\cite{Tur13}, a linear MPC control model was proposed that addresses vehicle lane-keeping and obstacle avoidance problems by using lateral automation. In \\cite{Kat13}, an MPC control scheme that combines longitudinal and lateral  dynamics was designed for velocity-trajectory-following problems. \\cite{SLi15}  proposed a scale reduction method for reducing the online computational efforts of MPC controllers, and they applied it to longitudinal vehicle automation, achieving an average  computational time of approximately 5 ms. In \\cite{Gut17}, a linear time-varying MPC scheme was proposed for solving automobile lateral  trajectory optimization problems. The cycle time required for the optimized trajectory to be communicated to the feedback controller was 10 ms. \\cite{Lim22} investigated automatic weight determination for car-following control, and the corresponding linear MPC algorithm was implemented using CVXGEN \\cite{Mat12}, which solves  the relevant problem  within 1 ms. \n\n\n\nThe constrained iterative linear quadratic regulator (CILQR) method  was proposed to solve online trajectory optimization problems with nonlinear system dynamics and general constraints \\cite{Che17,Che19}. The CILQR algorithm is also an MPC method, while it is constructed on the basis of differential dynamic programming (DDP) \\cite{Jac70}. The computational burden of the well-established SQP solver is higher than that of  DDP \\cite{Ma22}. Thus, the CILQR solver, which uses analytical derivations, outperforms  the SQP approach in terms of computational efficiency; SQP requires  40.4 times more computation time per iteration to solve automobile motion planning problems \\cite{Che19}.\n\n\n\n\nWe proposed an MTDNN in \\cite{Lee21} to directly perceive the ego vehicle's heading angle ($\\theta $) and its distance  to the lane centerline ($\\Delta $) for autonomous driving. However, this end-to-end driving approach performs poorly in environments that are not shown during the training phase \\cite{Yur20, Li19}. In \\cite{Lee21a}, we  proposed  an improved control algorithm based on a multi-task  UNet architecture (MTUNet) that comprises lane line segmentation and pose estimation subnets. A Stanley controller \\cite{Thr06} and an MPC controller that uses the SQP solver were then designed to respectively control the lateral and longitudinal automation of an automobile. The Stanley controller takes  $\\theta $ and  $\\Delta $ yielding from the network as it's input for lane-centering, and the MPC controller uses radar data for car-following. The improved algorithm outperforms the model in \\cite{Lee21} and is comparable to the reinforcement learning model in \\cite{Li19}. However, the algorithm still has some problems. For example, the Stanley controller does not consider vehicle dynamic models, the computational expense of the SQP algorithm is high, and the DNN module lacks object detection capabilities.\n\n \nTo address the aforementioned deficiencies in existing approaches, we propose a new integrated algorithm for real-time automated driving based on developments described in a previous work \\cite{Lee21a}. First, a YOLOv4  detector  \\cite{Ale20} was added to the MTUNet for object detection. Second, we increased the MTUNet inference speed by reducing the  input size without sacrificing network performance. Third, we used CILQR algorithms to perform fast motion planning and automobile control in both lateral and longitudinal directions. The main goal of this work was to design an  automated driving  system that can operate efficiently in real-time lane-keeping and car-following scenarios. The contributions of this paper are as follows:\n\\begin{enumerate}\n  \\item The running speed of the proposed MTDNN scheme achieves  40 FPS for executing multiple driving perception tasks, including lane line segmentation, ego vehicle's heading angle regression, road type classification, and traffic object detection.\n  \\item The proposed lateral and longitudinal CILQR controllers can operate with low online computational load,  efficiently responding to driving commands  within 1 ms.\n  \\item The proposed framework integrates MTDNN and CILQR controllers to operate a vehicle autonomously in challenging simulation environments, demonstrating the effectiveness of the proposed method.\n\\end{enumerate}\n\n\n\n\\section{Methodology}\nAs depicted in Fig. 1, the proposed self-driving system  is composed of several modules. The DNN is a  multi-task UNet network that can solve multiple perception problems simultaneously. The CILQR controllers  then take the data from the DNN and radar to compute driving commands in lateral and longitudinal directions. \n\n\n\n\\subsection{MTUNet network}\nAs indicated in Fig. 2, the proposed MTDNN is a neural network with an MTUNet architecture featuring a common backbone encoder and three  subnets for completing multiple tasks at the same time. The following sections describes each part.\n\n\n\n\\subsubsection{Backbone and segmentation subnet}\nThe shared backbone and segmentation (seg) subnet employ encoder-decoder UNet-based networks for  pixel-level lane line classification tasks. Two classical  UNets (UNet$\\_$2$\\times$ \\cite{Lee21a} and UNet$\\_$1$\\times$ \\cite{Nab20})  and one enhanced version (MultiResUNet \\cite{Nab20}, denoted as MResUNet throughout the paper)   were used to investigate the effects of model size and complexity on task performance. For UNet$\\_$2$\\times$ and UNet$\\_$1$\\times$, each repeated block includes two convolutional (Conv) layers, and the first UNet has twice as many filters as the second. For MResUNet, each modified block consists of three 3 $\\times$ 3 Conv layers and one 1 $\\times$ 1 Conv layer. Table I summarizes the  filter number and related kernel size of the Conv layers used in these models. The resulting total number of parameters of UNet$\\_$2$\\times$\/UNet$\\_$1$\\times$\/MResUNet is 31.04\/7.77\/7.26 M, and the corresponding total number of multiply-and-accumulates (MACs) is 38.91\/9.76\/12.67 G. All 3 $\\times$ 3 Conv layers we used are padded with one pixel to preserve the  spatial resolution after convolution operations \\cite{Sim15}. This setting  reduces the network input size from 400 $\\times$ 400 to 228 $\\times$ 228 but preserves  model performance and achieves faster inference compared with in our previous work \\cite{Lee21a} (the experimental results are presented in Section IV), where the network utilizes unpadded 3 $\\times$ 3 Conv layers \\cite{Ron15}, and  zero padding must be applied to the input to equalize the input-output resolutions \\cite{Bru18}. In the training phase, the weighted cross-entropy loss is adopted to deal with the lane detection sample imbalance problem  \\cite{Xie15, Zou20} and is represented as\n\\begin{eqnarray}\nL_S = &-& \\frac{N^{-}}{N^{+}+N^{-}}\\sum\\limits_{\\tilde y=1} \\log \\left(\\sigma(y) \\right)\\notag \\\\\n&-& \\frac{N^{+}}{N^{+}+N^{-}} \\sum\\limits_{\\tilde y=0} \\log \\left(1-\\sigma(y) \\right) ,\n\\end{eqnarray}\n where  $N^{+}$ and $N^{-}$ are numbers of foreground and background samples in a batch of images, respectively; $y$ is a predicted score; $\\tilde y$ is the corresponding label; and $\\sigma$ is the sigmoid function. \n\n\n\n\n\\begin{table}[!t]\n\\caption{Conv layers used in the UNet-based networks}\n\\begin{center}\n\\begin{tabular}{lccc}\n\\hline\n\\multirow{2}{*}{Conv-block}  &\\multirow{2}{*}{UNet$\\_$2$\\times$ \\cite{Lee21a}}   &\\multirow{2}{*}{UNet$\\_$1$\\times$ \\cite{Nab20}}  &\\multirow{2}{*}{MResUNet \\cite{Nab20}}   \\\\  \n & & &   \\\\  \\hline\n\\multirow{2}{*}{Block$1^{a}$\/9}  & 64 (3 $\\times$ 3)$^{b}$  & 32 (3 $\\times$ 3)  & 8 (3 $\\times$ 3), 17 (3 $\\times$ 3),   \\\\ \n   &  64 (3 $\\times$ 3)  & 32 (3 $\\times$ 3)   &  26 (3 $\\times$ 3), 51 (1 $\\times$ 1)  \\\\ \n\\multirow{2}{*}{Block2\/8}  & 128 (3 $\\times$ 3)  & 64 (3 $\\times$ 3)  & 17 (3 $\\times$ 3), 35 (3 $\\times$ 3),   \\\\ \n   &  128 (3 $\\times$ 3)  & 64 (3 $\\times$ 3)   &  53 (3 $\\times$ 3), 105 (1 $\\times$ 1)  \\\\ \n\\multirow{2}{*}{Block3\/7}  & 256 (3 $\\times$ 3)  & 128 (3 $\\times$ 3)  & 35 (3 $\\times$ 3), 71 (3 $\\times$ 3),   \\\\ \n   &  256 (3 $\\times$ 3)  & 128 (3 $\\times$ 3)   &  106 (3 $\\times$ 3), 212 (1 $\\times$ 1)  \\\\ \n\\multirow{2}{*}{Block4\/6}  & 512 (3 $\\times$ 3)  & 256 (3 $\\times$ 3)  & 71 (3 $\\times$ 3), 142 (3 $\\times$ 3),   \\\\ \n   &  512 (3 $\\times$ 3)  & 256 (3 $\\times$ 3)   &  213 (3 $\\times$ 3), 426 (1 $\\times$ 1)  \\\\ \n\\multirow{2}{*}{Block5}  & 1024 (3 $\\times$ 3)  & 512 (3 $\\times$ 3)  & 142 (3 $\\times$ 3), 284 (3 $\\times$ 3),   \\\\ \n   &  1024 (3 $\\times$ 3)  & 512 (3 $\\times$ 3)   &  427 (3 $\\times$ 3), 853 (1 $\\times$ 1)  \\\\ \\hline\n\n\\multicolumn{4}{l}{$^{a}$\\scriptsize{Block1 of UNet$\\_$2$\\times$\/UNet$\\_$1$\\times$ only contains one 3 $\\times$ 3 Conv layer}}  \\\\ \n\\multicolumn{4}{l}{$^{b}$\\scriptsize{The notation $n$ ($k$ $\\times$ $k$) represents a Conv layer with $n$ filters of kernal size $k$ $\\times$ $k$  }}\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\n\n\n\\begin{table}[!t]\n\\caption{Conv and FC layers used in the pose subnet of various MTUNets}\n\\begin{center}\n\\begin{tabular}{lcc}\n\\hline\n\\multirow{2}{*}{Layer}  & \\multirow{2}{*}{MTUNet$\\_$2$\\times$}   & MTUNet$\\_$1$\\times$ \\\\  \n &  & MTMResUNet  \\\\  \\hline\n\n Conv1  &  1024 (3 $\\times$ 3)  & 512 (3 $\\times$ 3)     \\\\ \n Conv2  &  1024 (3 $\\times$ 3)  & 512 (3 $\\times$ 3)     \\\\ \n FC1-2  &  256, 256  & 256, 256   \\\\ \n FC3-4  &  1, 3  & 1, 3   \\\\ \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\n\n\\begin{table}[!t]\n\\caption{Conv layers used in the detection subnet  of various MTUNets}\n\\begin{center}\n\\begin{tabular}{lcc}\n\\hline\n\\multirow{2}{*}{Layer}   & \\multirow{2}{*}{MTUNet$\\_$2$\\times$}   & MTUNet$\\_$1$\\times$ \\\\  \n &  & MTMResUNet  \\\\  \\hline\n Conv1-6  &  512 (3 $\\times$ 3)  & 384 (3 $\\times$ 3)   \\\\ \n Conv7-9  &  512 (1 $\\times$ 1)  & 384 (1 $\\times$ 1)     \\\\ \n Conv10-12  &  256 (1 $\\times$ 1)  & 256 (1 $\\times$ 1)     \\\\ \n Conv13-15  &  256 (1 $\\times$ 1)  & 256 (1 $\\times$ 1)     \\\\ \n Conv16-18  &  6 (1 $\\times$ 1)  & 6 (1 $\\times$ 1)     \\\\ \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\\subsubsection{Pose subnet} This subnet is mainly responsible for whole-image angle regression and road type classification problems, where the road involves three categories (left turn, straight, and right turn) designed to prevent the angle estimation from mode collapsing \\cite{Lee21a,Cui19}. The network architecture of the pose subnet is presented in Fig. 2; the pose subnet takes the fourth Conv-block output feature maps of the backbone as its input. Subsequently, the input maps are fed into shared parts including two consecutive Conv layers and one global average pooling (GAP) layer to extract general features. Lastly, the resulting vectors are passed  separately through two fully connected (FC) layers before being mapped into a sigmoid\/softmax activation layer for regression\/classification task. Table II summarizes the number of filters  and output units of the corresponding Conv and FC layers, respectively. The expression   MTUNet$\\_$2$\\times$\/MTUNet$\\_$1$\\times$\/MTMResUNet in Table II represents a multi-task UNet scheme in which subnets are built on the UNet$\\_$2$\\times$\/UNet$\\_$1$\\times$\/MResUNet model throughout the article. The pose task loss function, including L2 regression loss ($L_R$) and cross-entropy loss ($L_C$), is employed for network training; this function is represented as follows:\n\\begin{subequations}\n\\begin{equation}\nL_R  = \\frac{1}{{2B}}\\sum\\limits_{i = 1}^B {\\left| {\\sigma(\\tilde{\\theta}_i)- \\sigma(\\theta_i) } \\right|^2 },\n\\end{equation}\n\\begin{equation}\nL_C  =  \\frac{-1}{B}\\sum\\limits_{i = 1}^B \\sum\\limits_{j = 1}^3 \\tilde p_{ij} \\log(p_{ij}),\n\\end{equation}\n\\end{subequations}\nwhere $\\tilde \\theta $ and $\\theta$ are the ground truth and estimated value, respectively; $B$ is the input batch size; and $\\tilde p$ and $p$ are true and softmax estimation values, respectively.\n\n\n\n\n\n\n\\subsubsection{Detection subnet}\nThe detection (det) subnet takes advantage of a simplified YOLOv4 detector \\cite{Ale20} for real-time traffic object (leading car) detection. This fully-convolutional subnet that has three branches for multiscale detection takes the output feature maps of the backbone as its input, as illustrated in Fig. 2. The initial part of each branch is composed of single or consecutive 3 $\\times$ 3 filters for extracting contextual information at different scales, and a  shortcut connection with one 1 $\\times$ 1 filter from the input layer for residual mapping \\cite{Nab20}. The top of the addition layer contains sequential 1 $\\times$ 1 filters for reducing the number of channels. The resulting feature maps of each branch have six channels (five for bounding box offset and confidence score predictions, and one for class probability estimation) with a size of $K$ = 15 $\\times$ 15 to divide the input image into $K$ grids. In this article, we select $M$ = 3 anchor boxes, which are then shared between three branches according to the context size. Ultimately, spatial features from three detecting scales are concatenated together and sent to the output layer. Table  III presents the design of detection subnet of MTUNets. The overall  loss function for training comprises objectness ($L_{obj}$), classification ($L_{cls}$), and complete intersection over union (CIoU) losses ($L_{CIoU}$) \\cite{Zhe20, Ce21, Jun22}; these losses are constructed as follows:\n\\begin{subequations}\n\\begin{align}\n\\begin{split}\n L_{obj}  =  &- \\sum\\limits_{i = 0}^K {\\sum\\limits_{j = 0}^M {I_{ij}^{obj} \\left[ {\\tilde Q_i \\log \\left( {Q_i } \\right)} \\right.} }  \\\\ &\n \\left. { + \\left( {1 - \\tilde Q_i } \\right)\\log \\left( {1 - Q_i } \\right)} \\right] \\\\ &\n  - \\sum\\limits_{i = 0}^K {\\sum\\limits_{j = 0}^M {\\lambda_{noobj} I_{ij}^{noobj} \\left[ {\\tilde Q_i \\log \\left( {Q_i } \\right)} \\right.} }  \\\\ &\n \\left. { + \\left( {1 - \\tilde Q_i } \\right)\\log \\left( {1 - Q_i } \\right)} \\right], \\\\ \n\\end{split}\n\\end{align} \n\\begin{align}\n\\begin{split}\n L_{cls}   = &- \\sum\\limits_{i = 0}^{K} {    I_{ij}^{obj} \\sum\\limits_{n \\in classes} {\\left[ {\\tilde p_i \\left( n \\right)\\log \\left( {p_i \\left( n \\right)} \\right)} \\right.} }  \\\\ &\n \\left. { + \\left( {1 - \\tilde p_i \\left( n \\right)} \\right)\\log \\left( {1 - p_i \\left( n \\right)} \\right)} \\right],  \n\\end{split}\n\\end{align} \n\\begin{equation}\nL_{CIoU}  = 1 - IoU + \\frac{{E ^2 \\left( {{\\bf \\tilde o},{\\bf o}} \\right)}}{{\\beta ^2 }} + \\alpha \\gamma,\n\\end{equation}\n\\end{subequations}\nwhere $I_{ij}^{obj\/noobj}$ = 1\/0 or 0\/1 indicates that the $i$-th grid does or does not contain an object, respectively; $\\tilde Q_i$\/$Q_i$ and $\\tilde p_i$\/$p_i$ are the true\/estimated objectness and class scores corresponding to each grid, respectively; and $\\lambda_{noobj}$ is a hyperparameter intended for balancing positive and negative samples. With regard to CIoU loss, ${\\bf \\tilde o}$ and ${\\bf o} $ are the central points of the prediction ($B_p$) and ground truth ($B_{gt}$) boxes, respectively; $E$ is the related Euclidean distance; $\\beta $ is the diagonal distance of the smallest enclosing box covering $B_p$ and $B_{gt}$; $\\alpha$ is a  tradeoff hyperparameter; and $\\gamma$ is used to  measure  aspect ratio  consistency \\cite{Zhe20}.\n\n\n\n\n\\subsection{CILQR algorithm}\n\nThis section first briefly describes the concept behind  CILQR and related approaches based on Ref. \\cite{Che17,Che19,Tas12,Tas14}; it then presents the lateral\/longitudinal CILQR control algorithm  that takes the MTUNet inference and radar data as its inputs to yield driving decisions. \n\n\n\\subsubsection{Problem formulation}\nProvided  a sequence of states ${\\bf X} \\equiv \\left\\{ {{\\bf x}_0 ,{\\bf x}_1 ,...,{\\bf x}_N } \\right\\}$ and the corresponding control sequence ${\\bf U} \\equiv \\left\\{ {{\\bf u}_0 ,{\\bf u}_1 ,...,{\\bf u}_{N - 1} } \\right\\}$  are within the preview horizon $N$,  the  system's discrete-time dynamics ${\\bf f}$ are satisfied, with\n\\begin{equation}\n{\\bf x}_{i + 1}  = {\\bf f}\\left( {{\\bf x}_i ,{\\bf u}_i } \\right)\n\\end{equation}\nfrom time $i$ to $i+1$. The total cost denoted by $\\mathcal{J}$, including running costs $\\mathcal{P}$ and the final cost $\\mathcal{P}_f$, is presented as follows:\n\\begin{equation}\n\\mathcal{J}\\left( {{\\bf x}_0 ,{\\bf U}} \\right) = \\sum\\limits_{i = 0}^{N - 1} {\\mathcal{P}\\left( {{\\bf x}_i ,{\\bf u}_i } \\right) + \\mathcal{P}_f \\left( {{\\bf x}_N } \\right)}. \n\\end{equation}\nThe  optimal  control sequence is then written as \n\\begin{equation}\n{\\bf U}^* \\left( {{\\bf x}^* } \\right) \\equiv \\mathop {\\arg \\min }\\limits_{\\bf U} \\mathcal{J}\\left( {{\\bf x}_0 ,{\\bf U}} \\right)\n\\end{equation}\nwith an optimal trajectory ${{\\bf x}^* }$. The partial sum of $\\mathcal{J}$ from any time step $t$\nto $N$ is represented as\n\\begin{equation}\n\\mathcal{J}_t \\left( {{\\bf x},{\\bf U}_t } \\right) = \\sum\\limits_{i = t}^N {\\mathcal{P}\\left( {{\\bf x}_i ,{\\bf u}_i } \\right) + \\mathcal{P}_f \\left( {{\\bf x}_N } \\right)}, \n\\end{equation}\nand the optimal value function $\\mathcal{V}$ at time $t$ starting at ${\\bf x}$ takes the form\n\\begin{equation}\n\\mathcal{V}_t \\left( {\\bf x} \\right) \\equiv \\mathop {\\arg \\min }\\limits_{{\\bf U}_t } \\mathcal{J}_t \\left( {{\\bf x},{\\bf U}_t } \\right)\n\\end{equation}\nwith  the final time step value function  $\\mathcal{V}_N \\left( {\\bf x} \\right) \\equiv \\mathcal{P}_f \\left( {{\\bf x}_N } \\right)$.  \n\nIn practice, the  final step value function $\\mathcal{V}_N\\left( {\\bf x} \\right)$ is obtained by executing a forward pass using the current control sequence. Subsequently,  local control signal minimizations are performed in the proceeding backward pass using the following Bellman equation:\n\\begin{equation}\n\\mathcal{V}_i \\left( {\\bf x} \\right) = \\mathop {\\min }\\limits_{\\bf u} \\left[ {\\mathcal{P}\\left( {{\\bf x},{\\bf u}} \\right) + \\mathcal{V}_{i + 1} \\left( {{\\bf f}\\left( {{\\bf x},{\\bf u}} \\right)} \\right)} \\right].\n\\end{equation}\nTo compute the optimal  trajectory,  the perturbed function around the $i$-th state-control pair in Eq. (9) is used; this function is written as follows: \n\\begin{align}\n\\begin{split}\n\\mathcal{O}\\left( {\\delta {\\bf x},\\delta {\\bf u}} \\right) =& \\mathcal{P}_i \\left( {{\\bf x} + \\delta {\\bf x},{\\bf u} + \\delta {\\bf u}} \\right) - \\mathcal{P}_i \\left( {{\\bf x},{\\bf u}} \\right) \\\\ &+ \\mathcal{V}_{i + 1} \\left( {{\\bf f}\\left( {{\\bf x} + \\delta {\\bf x},{\\bf u} + \\delta {\\bf u}} \\right)} \\right) - \\mathcal{V}_{i + 1} \\left( {{\\bf f}\\left( {{\\bf x},{\\bf u}} \\right)} \\right)\n\\end{split}\n\\end{align} \nThis equation can  be  approximated to a quadratic function by employing a second-order Taylor expansion with the  following n coefficients:\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{O}_{\\bf x}  = \\mathcal{P}_{\\bf x}  + {\\bf f}_{\\bf x}^{\\rm T} \\mathcal{V}_{\\bf x}, \n\\end{equation}\n\\begin{equation}\n\\mathcal{O}_{\\bf u}  = \\mathcal{P}_{\\bf u}  + {\\bf f}_{\\bf u}^{\\rm T} \\mathcal{V}_{\\bf x},\n\\end{equation}\n\\begin{equation}\n\\mathcal{O}_{{\\bf xx}}  = \\mathcal{P}_{{\\bf xx}}  + {\\bf f}_{\\bf x}^{\\rm T} \\mathcal{V}_{{\\bf xx}} {\\bf f}_{\\bf x}  + \\mathcal{V}_{\\bf x}  \\cdot {\\bf f}_{{\\bf xx}},\n\\end{equation}\n\\begin{equation}\n\\mathcal{O}_{{\\bf ux}}  = \\mathcal{P}_{{\\bf ux}}  + {\\bf f}_{\\bf u}^{\\rm T} \\mathcal{V}_{{\\bf xx}} {\\bf f}_{\\bf x}  + \\mathcal{V}_{\\bf x}  \\cdot {\\bf f}_{{\\bf ux}}, \n\\end{equation}\n\\begin{equation}\n\\mathcal{O}_{{\\bf uu}}  = \\mathcal{P}_{{\\bf uu}}  + {\\bf f}_{\\bf u}^{\\rm T} \\mathcal{V}_{{\\bf xx}} {\\bf f}_{\\bf u}  + \\mathcal{V}_{\\bf x}  \\cdot {\\bf f}_{{\\bf uu}}. \n\\end{equation}\n\\end{subequations}\nThe second-order  coefficients of the system dynamics (${\\bf f}_{\\bf xx}$, ${\\bf f}_{\\bf ux}$, and ${\\bf f}_{\\bf uu}$) are omitted  to reduce computational effort \\cite{Ma22,Tas12}. The values of these  coefficients are zero for linear systems [e.g., Eq. (19) and Eq. (25)], leading to fast convergence in trajectory optimization. \n\nThe optimal control signal modification can  be obtained by minimizing the quadratic\n $\\mathcal{O}\\left( {\\delta {\\bf x},\\delta {\\bf u}} \\right)$:\n\\begin{equation}\n\\delta {\\bf u}^*  = \\mathop {\\arg \\min }\\limits_{\\delta {\\bf u}} \\mathcal{O}\\left( {\\delta {\\bf x},\\delta {\\bf u}} \\right) = {\\bf k} + {\\bf K}\\delta {\\bf x},\n\\end{equation}\nwhere \n\\begin{subequations}\n\\begin{equation}\n{\\bf k} =  - \\mathcal{O}_{{\\bf uu}}^{ - 1} \\mathcal{O}_{\\bf u},\n\\end{equation}\n\\begin{equation}\n{\\bf K} =  - \\mathcal{O}_{{\\bf uu}}^{ - 1} \\mathcal{O}_{{\\bf ux}}  \n\\end{equation}\n\\end{subequations}\nare optimal control gains. If the optimal control indicated in Eq. (12) is plugged into  the approximated $\\mathcal{O}\\left( {\\delta {\\bf x},\\delta {\\bf u}} \\right)$  to recover the quadratic value function, the corresponding coefficients can  be obtained \\cite{Pla17}:\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{V}_{\\bf x}  = \\mathcal{O}_{\\bf x}  - {\\bf K}^{\\rm T} \\mathcal{O}_{{\\bf uu}} {\\bf k},\n\\end{equation}\n\\begin{equation}\n\\mathcal{V}_{{\\bf xx}}  = \\mathcal{O}_{{\\bf xx}}  - {\\bf K}^{\\rm T} \\mathcal{O}_{{\\bf uu}} {\\bf K}.\n\\end{equation}\n\\end{subequations}\nControl gains at each state (${\\bf k}_i$, ${\\bf K}_i$) can then be estimated by recursively computing Eq. (11), (13), and (14) in a backward process. Subsequently, the modified  control and state sequences can be evaluated through a renewed forward pass: \n\\begin{subequations}\n\\begin{equation}\n{\\bf \\hat u}_i  = {\\bf u}_i  +\\lambda {\\bf k}_i  + {\\bf K}_i \\left( {{\\bf \\hat x}_i  - {\\bf x}_i } \\right),\n\\end{equation}\n\\begin{equation}\n{\\bf \\hat x}_{i + 1}  = {\\bf f}\\left( {{\\bf \\hat x}_i ,{\\bf \\hat u}_i } \\right),\n\\end{equation}\n\\end{subequations}\nwhere  ${\\bf \\hat x}_0  = {\\bf x}_0 $. Here $\\lambda$ is the backtracking parameter for line search; it is set to 1 in the beginning and  designed to be reduced gradually in  the   forward-backward propagation loops  until convergence is reached.\n\n\nIf the system has the constraint \n\\begin{equation}\n \\mathcal{C}\\left( {x,u} \\right) < 0,\n\\end{equation}\nwhich can be shaped using an exponential barrier function \\cite{Che17,Pan20}\n\\begin{equation}\n\\mathcal{B}\\left( {\\mathcal{C}\\left( {x,u} \\right)} \\right) = q_1 \\exp \\left( {q_2 \\mathcal{C}\\left( {x,u} \\right)} \\right)\n\\end{equation}\nor a logarithmic barrier function \\cite{Che19}, then \n\\begin{equation}\n\\mathcal{B}\\left( {\\mathcal{C}\\left( {x,u} \\right)} \\right) =  - \\frac{1}{t}\\log \\left( { - \\mathcal{C}\\left( {x,u} \\right)} \\right),\n\\end{equation}\nwhere $q_1$, $q_2$, and $t > 0$ are parameters. The barrier function can be added to the cost function as a penalty. Eq. (18) converges toward the ideal indicator function as $t$ increases iteratively. \n\n\n\n\n\n\\subsubsection{Lateral CILQR controller}\nThe lateral vehicle dynamic model \\cite{Lee19} is employed for steering control. The state variable and control input are defined as $\n{\\bf x} = \\left[ {\\begin{array}{*{20}c}\n   \\Delta  & {\\dot \\Delta } & \\theta  & {\\dot \\theta }  \\\\\n\\end{array}} \\right]^{\\rm T} \n$ and ${\\bf u} = \\left[  \\delta  \\right]$, respectively, where $\\Delta$ is the lateral offset, $\\theta $ is the angle between the ego vehicle's heading and the tangent of the road, and $\\delta$ is the steering angle. As described in  our previous work \\cite{Lee21a, Lee22},  $\\theta $ and $\\Delta$ can be obtained from MTUNets and related post-processing methods, and it is assumed that $\\dot \\Delta  = \\dot \\theta  = 0$. The corresponding discrete system model is written as follows: \n\\begin{equation}\n{\\bf x}_{t + 1}  \\equiv {\\bf f}\\left( {{\\bf x}_t ,{\\bf u}_t } \\right) = {\\bf Ax}_t  + {\\bf Bu}_t,\n\\end{equation}\nwhere\n\\[\n{\\bf A} = \\left[ {\\begin{array}{*{20}c}\n{\\alpha _{11} } & {\\alpha _{12} } & 0 & 0 \\\\\n0 & {\\alpha _{22} } & {\\alpha _{23} } & {\\alpha _{24} } \\\\\n0 & 0 & {\\alpha _{33} } & {\\alpha _{34} } \\\\\n0 & {\\alpha _{42} } & {\\alpha _{43} } & {\\alpha _{44} } \\\\\n\\end{array}} \\right],\\quad{\\bf B} = \\left[ {\\begin{array}{*{20}c}\n0 \\\\\n{\\beta _1 } \\\\\n0 \\\\\n{\\beta _2 } \\\\\n\\end{array}} \\right],\n\\]\nwith coefficients\n\\[\n\\begin{array}{l}\n\\alpha _{11} = \\alpha _{33} = 1, \\quad\\alpha _{12} = \\alpha _{34} = dt, \\\\\n\\alpha _{22} = {1 - \\frac{{2\\left( {C_{\\alpha f} + C_{\\alpha r} } \\right)dt}}{{mv }}},\\quad\\alpha _{23} = {\\frac{{2\\left( {C_{\\alpha f} + C_{\\alpha r} } \\right)dt}}{m}}, \\\\\n\\alpha _{24} = {\\frac{{2\\left( { - C_{\\alpha f} l_f + C_{\\alpha r} l_r } \\right)dt}}{{mv }}},\\quad\\alpha _{42} = {\\frac{{2\\left( {C_{\\alpha f} l_f - C_{\\alpha r} l_r } \\right)dt}}{{I_z v }}} , \\\\\n\\alpha _{43} = {\\frac{{2\\left( {C_{\\alpha f} l_f - C_{\\alpha r} l_r } \\right)dt}}{{I_z }}},\\quad\\alpha _{44} = {1 - \\frac{{2\\left( {C_{\\alpha f} l_f^2 - C_{\\alpha r} l_r^2 } \\right)dt}}{{I_z v }}}, \\\\\n\\beta _1 = {\\frac{{2C_{\\alpha f} dt}}{m}} ,\\quad\\beta _2 = {\\frac{{2C_{\\alpha f} l_f dt}}{{I_z }}}. \\\\\n\\end{array}\n\\]\nHere, $v$ is the ego vehicle's current speed along the heading direction and $dt$ is the sampling time. The model parameters for the experiments are as follows: vehicle mass $m$ = 1150 (kg), cornering stiffness ${C_{\\alpha f} }$ = 80\\thinspace000 (N\/rad), ${C_{\\alpha r} }$ = 80\\thinspace000 (N\/rad), center of gravity point $l_f$ = 1.27 (m), $l_r$ = 1.37 (m), and moment of inertia $I_z$ = 2000 (kgm$^{2}$). \n\nThe objective function $\\mathcal{J}$ containing the iterative linear quadratic regulator (ILQR) and constraint terms can be represented as\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{J} = \\mathcal{J}_{ILQR}  + \\mathcal{J}_{c}, \n\\end{equation}\n\\begin{equation}\n\\mathcal{J}_{ILQR}  = \\sum\\limits_{i = 0}^{N - 1} {\\left( {{\\bf x}_i  - {\\bf x}_{r} } \\right)^{\\rm T} {\\bf Q}\\left( {{\\bf x}_i  - {\\bf x}_{r} } \\right) + {\\bf u}_i^{\\rm T} {\\bf Ru}_i }, \n\\end{equation}\n\\begin{equation}\n\\mathcal{J}_{c}  = \\sum\\limits_{i = 0}^{N - 1} {\\mathcal{B} \\left( u_i \\right)  + \\mathcal{B} \\left( \\Delta_i  \\right) }.\n\\end{equation}\n\\end{subequations}\nHere,  the reference  state ${\\bf x}_{r}$ = $\\mathbf{0}$,  ${\\bf Q}$\/${\\bf R}$ is the weighting matrix, and $\\mathcal{B} \\left( u_i \\right)$ and $\\mathcal{B} \\left( \\Delta_i  \\right)$ are the corresponding barrier functions:\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{B} \\left( u_i \\right) =  - \\frac{1}{t}\\left[ {\\log \\left( {u_i  - \\delta_{\\min } } \\right) + \\log \\left( {\\delta_{\\max }  - u_i } \\right)} \\right],\n\\end{equation}\n\\begin{equation}\n\\mathcal{B}\\left( {\\Delta _i } \\right) = \\left\\{ \\begin{array}{l}\n\\exp \\left( {\\Delta _i - \\Delta _{i - 1} } \\right)\\quad\\text{for}\\quad \\Delta _0 \\ge 0, \\\\\n\\exp \\left( {\\Delta _{i - 1} - \\Delta _i } \\right)\\quad\\text{for}\\quad \\Delta _0 < 0, \\\\\n\\end{array} \\right.\n\\end{equation}\n\\end{subequations}\nwhere $\\mathcal{B}$($u_i$) is used to limit control inputs and the high (low) steer bound is $\\delta_{\\max } $ $\\left( {\\delta_{\\min } } \\right)$ = ${\\pi  \\mathord{\\left\/\n {\\vphantom {\\pi  6}} \\right.\n \\kern-\\nulldelimiterspace} 6}$ $\\left( { - {\\pi  \\mathord{\\left\/\n {\\vphantom {\\pi  6}} \\right.\n \\kern-\\nulldelimiterspace} 6}} \\right)$ (rad). The objective of  $\\mathcal{B} \\left( \\Delta _i \\right)$ is to control the ego vehicle moving toward the lane center. \n \n \n \n \n\n\\begin{table*}[!t]\n\\caption{Summary of data sets used in our experiments}\n\\begin{center}\n\\begin{tabular}{l|c|c|c|c}\n\\hline\nDataset &  No. of images&  Labels  & No. of traffic objects & Source   \\\\ \\hline\n \\multirow{2}{*}{LLAMAS}  & \\multirow{2}{*}{22714} & ego-lane lines, &  \\multirow{2}{*}{29442} & \\cite{Beh19},  \\\\\n  &  &  bounding boxes &  & this work \\\\\\hline\n \\multirow{4}{*}{TORCS}  & \\multirow{4}{*}{42747} & ego-lane lines, & \\multirow{4}{*}{30189}  & \\multirow{4}{*}{\\cite{Lee21a}} \\\\\n  &  & bounding boxes,  &   & \\\\\n &  & ego's heading,  &   & \\\\\n  &  & road type  &   & \\\\\\hline\n\\end{tabular}\n\\end{center}\n\\end{table*}\n\n\n \n \n \nThe first element of the optimal steering  sequence is then selected to define the normalized steering command at a given time  as\nfollows:\\begin{equation}\n{\\rm SteerCmd} = \\frac{{\\delta _0^*  }}{{{\\pi  \\mathord{\\left\/\n {\\vphantom {\\pi  6}} \\right.\n \\kern-\\nulldelimiterspace} 6}}}.\n\\end{equation}\n\n\n\n\n\n\\subsubsection{Longitudinal CILQR controller}\nIn the longitudinal direction, a proportional-integral (PI) controller \\cite{Sam21} \n\\begin{equation}\nPI(v) = k_P e  + k_I \\sum\\limits_i {e_i } \n\\end{equation}\nis first applied to the ego car for tracking  reference speed $v_r$ under cruise conditions,  \nwhere  $e=v-v_r$  and $k_P$\/$k_I$ are  the  tracking error and the proportional\/integral gain, respectively. The normalized acceleration command is then given as follows:  \n\\begin{equation}\n{\\rm AcclCmd} = \\tanh (PI(v)).\n\\end{equation}\nWhen a slower preceding vehicle is encountered, the AccelCmd must be updated to maintain a safe distance from that vehicle to avoid a collision; for this purpose, we use the following longitudinal CILQR algorithm.\n\nThe state variable and control  input for longitudinal inter-vehicle dynamics are defined as $\n{\\bf x'} = \\left[ {\\begin{array}{*{20}c}\n   D & v & a  \\\\\n\\end{array}} \\right]^{\\rm T}\n$ and $\n{\\bf u'} = \\left[ j \\right]$, respectively, where $a$, $j = \\dot a$, and $D$ are the ego vehicle's acceleration, jerk, and distance to the preceding car, respectively. The corresponding discrete-time system model is written as\n\\begin{equation}\n{\\bf x'}_{t + 1}  \\equiv {\\bf f'}\\left( {{\\bf x'}_t ,{\\bf u'}_t } \\right) = {\\bf A'x'}_t  + {\\bf B'u'}_t  + {\\bf C'w'}, \n\\end{equation}\nwhere\n\\[\n\\begin{array}{l}\n{\\bf A'} = \\left[ {\\begin{array}{*{20}c}\n1 & { - dt} & { - \\frac{1}{2}dt^2 } \\\\\n0 & 1 & {dt} \\\\\n0 & 0 & 1 \\\\\n\\end{array}} \\right],\\quad{\\bf B'} = \\left[ {\\begin{array}{*{20}c}\n0 \\\\\n0 \\\\\n{dt} \\\\\n\\end{array}} \\right], \\\\\n{\\bf C'} = \\left[ {\\begin{array}{*{20}c}\n0 & {dt} & {\\frac{1}{2}dt^2 } \\\\\n0 & 0 & 0 \\\\\n0 & 0 & 0 \\\\\n\\end{array}} \\right],\\quad{\\bf w'} = \\left[ {\\begin{array}{*{20}c}\n0 \\\\\n{v_l } \\\\\n{a_l } \\\\\n\\end{array}} \\right]. \\\\\n\\end{array}\n\\]\nHere, $v_l$\/$a_l$ is the preceding car's speed\/acceleration, and ${\\bf w'}$ is the measurable disturbance input \\cite{Qiu15}. The values of $D$ and $v_l$ are measured by the radar; $v$ is known; and $a = a_l  = 0$ is assumed. Here, MTUNets are used to recognize traffic objects,  and the radar is responsible for providing precise  distance measurements.\n\n\n\n\n\nThe objective function $\\mathcal{J}'$ for the longitudinal  CILQR controller can be written as,\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{J}' = \\mathcal{J}'_{ILQR}  + \\mathcal{J}'_{c},\n\\end{equation}\n\\begin{equation}\n\\mathcal{J}'_{ILQR}  = \\sum\\limits_{i = 0}^{N - 1} {\\left( {{\\bf x'}_i  - {\\bf x'}_r } \\right)^{\\rm T} {\\bf Q'}\\left( {{\\bf x'}_i  - {\\bf x'}_r } \\right) + {\\bf u'}_i^{\\rm T} {\\bf R'u'}_i }, \n\\end{equation}\n\\begin{equation}\n\\mathcal{J}'_{c}  = \\sum\\limits_{i = 0}^{N - 1} {\\mathcal{B}' \\left( {u'_i} \\right)  + \\mathcal{B}' \\left( D_i \\right) + \\mathcal{B}'\\left( {a_i } \\right)}.\n\\end{equation}\n\\end{subequations}\nHere,  the reference state ${\\bf x'}_r  = \\left[ {\\begin{array}{*{20}c}\n   {D_r } & {v_l } & {a_l }  \\\\\n\\end{array}} \\right]$, and $D_r$ is the reference distance for safety.  ${{\\bf Q'}}$\/${\\bf R'}$ is the weighting matrix, and $\\mathcal{B}' \\left( {u'_i} \\right)$, $\\mathcal{B}' \\left( D_i \\right),$ and $\\mathcal{B}'\\left( {a_i } \\right)$ are related  barrier functions:\n\\begin{subequations}\n\\begin{equation}\n\\mathcal{B}' \\left( {u'_i} \\right) =  - \\frac{1}{t'}\\left[ {\\log \\left( {u'_i  - j_{\\min } } \\right) + \\log \\left( {j_{\\max }  - u'_i } \\right)} \\right],\n\\end{equation}\n\\begin{equation}\n\\mathcal{B}' \\left( D_i \\right) = \\exp \\left( {D_r  - D_i } \\right),\n\\end{equation}\n\\begin{equation}\n\\mathcal{B}'\\left( {a_i } \\right) =  \\exp \\left( {a_{\\min }  - a_i } \\right) + \\exp \\left( {a_i  - a_{\\max } } \\right),\n\\end{equation}\n\\end{subequations}\nwhere $\\mathcal{B}' \\left( D_i  \\right)$  is used for  maintaining a safe distance, and $\\mathcal{B}'$($u'_i$) and $\\mathcal{B}'$($a_i$) are used to limit the ego vehicle's jerk and acceleration to [$-$1, 1] (m\/s$^3$) and  [$-$5, 5] (m\/s$^2$), respectively.\n\nThe first element of the optimal jerk sequence is then chosen to update AccelCmd in the car-following scenario as \n\\begin{equation}\n{\\rm AcclCmd} = \\tanh \\left( {PI\\left( v \\right)} \\right) + j_0^*.\n\\end{equation}\nThe brake command (BrakeCmd) gradually increases in value from 0 to 1 when $D$ is smaller than a certain critical value $D = D_c < D_r $ in times of emergency.\n\n\n\n\n\n\\begin{figure*}[t]\n\\centerline{\\includegraphics[scale=0.225]{example.jpg}}\n\\caption{Example traffic object and lane line detection results of the MTUNet$\\_$1$\\times$ network on  LLAMAS (first row) and TORCS (second row) images.\n}\n\\end{figure*}\n\n\n\n\n\n\\section{Experimental setup}\nThe proposed MTUNets extract  local and global contexts from input images to solve segmentation, detection, and pose tasks simultaneously. Because the learning rates of these tasks are different, the proposed MTUNets are trained in a stepwise manner rather than in an end-to-end manner to help  the backbone network gradually learn common features. Setups of the training strategy, image data, and dynamic validation are given as follows:  \n\n\\subsection{Network training strategy}\nThe MTUNets are trained through three stages. The pose subnet is first trained through stochastic gradient descent (SGD) with a batch size (bs) of 20, momentum (mo) of 0.9, and learning rate (lr) starting from $10^{ - 2}$ and decreasing by a factor of 0.9 every 5 epochs for a total of 100 epochs. Detection and pose subnets are then trained jointly based on the trained  parameters from the first stage using the SGD optimizer with bs = 4, mo = 0.9, and lr = $10^{ - 3}$, $10^{ - 4}$, and $10^{ - 5}$ for the first 60 epochs, the 61st to 80th epochs, and the last 20 epochs, respectively. All subnets (detection, pose, and segmentation) were trained together in the last stage using the  pretrained  model from the previous stage using the Adam optimizer. Bs and mo were set to 1 and 0.9, respectively. Lr was set to $10^{ - 4}$ for the first 75 epochs and $10^{ - 5}$ for the last 25 epochs. The total loss in each stage is a weighted sum of the corresponding losses \\cite{Lee17}.\n\n\n\\begin{table*}[!t]\n\\caption{Performance of trained MTUNets on test data}\n\\begin{center}\n\\begin{tabular}{l|c|c|c|c|c|c|c|c}\n\\hline\n\\multirow{3}{*}{Network} & \\multirow{3}{*}{Dataset} & \\multirow{3}{*}{Tasks}  &\\multicolumn{2}{c|}{Det}  &\\multicolumn{2}{c|}{Seg} & \\multicolumn{2}{c}{Pose} \\\\ \\cline{4-9}\n& &  & \\multirow{2}{*}{Recall} & \\multirow{2}{*}{AP (\\%)} & \\multirow{2}{*}{Recall} & \\multirow{2}{*}{F1 Score} & Heading & Road Type \\\\ \n& &  &         &  &                 &                           & MAE (rad)     & Accuracy (\\%)  \\\\ \\hline\nMTUNet$\\_$2$\\times$ & \\multirow{3}{*}{LLAMAS}  & \\multirow{3}{*}{Det+Seg} &0.942& 64.42 &0.935& 0.827 & - & - \\\\ \nMTUNet$\\_$1$\\times$ &   & & 0.946  &  59.96& 0.936& 0.831 & - & - \\\\ \nMTMResUNet  &   & & 0.950  & 57.40 & 0.736 & 0.748 & - & - \\\\  \\hline\n\nMTUNet$\\_$2$\\times$ & \\multirow{9}{*}{TORCS}  & \\multirow{3}{*}{Pose} &-& - &-& - & 0.004 & 90.42 \\\\ \nMTUNet$\\_$1$\\times$ &   &  &-& - &-& - & 0.005 & 90.48 \\\\ \nMTMResUNet &   &   &-& - &-& -& 0.006 & 83.77 \\\\ \\cline{3-9}\\cline{1-1}\n\n\nMTUNet$\\_$2$\\times$ &   & \\multirow{3}{*}{Det+Seg} &0.976& 71.51 &0.905& 0.889 & - & - \\\\ \nMTUNet$\\_$1$\\times$ &   &  &0.974& 66.14 &0.904& 0.894 & - & - \\\\ \nMTMResUNet &   &   &0.968& 66.12 &0.833& 0.869 & - & - \\\\ \\cline{3-9}\\cline{1-1}\nMTUNet$\\_$2$\\times$ &   & \\multirow{3}{*}{Det+Seg+Pose} &0.952& 65.83 &0.922& 0.883 & 0.005 & 87.08 \\\\ \nMTUNet$\\_$1$\\times$ &   &  &0.956& 59.25 &0.901& 0.882 & 0.004 & 94.30 \\\\ \nMTMResUNet &   &   &0.959& 51.88 &0.830& 0.855 & 0.007 & 80.46 \\\\ \n\\hline\n\\end{tabular}\n\\end{center}\n\\end{table*}\n\n\n\n\n\n\\begin{table}\n\\caption{Results for MTUNets in terms of parameters (Params), multiply-and-accumulates (MACs), and frames per second (FPS)}\n\\begin{center}\n\\begin{tabular}{l|c|c|c|c}\n\\hline\nNetwork  & Tasks & Params & MACs & FPS \\\\ \\hline\nMTUNet$\\_$$2\\times$ & \\multirow{3}{*}{Det+Seg+Pose} &  83.31 M & 50.55 B &  23.28  \\\\ \nMTUNet$\\_$$1\\times$  & &  25.50 M & 13.69 B & 40.77  \\\\\nMTMResUNet & & 26.56 M  & 16.95 B & 27.30  \\\\ \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\\subsection{Image data sets}\nWe conducted experiments on artificial TORCS \\cite{Lee21a} and real-world LLAMAS \\cite{Beh19} data sets; the corresponding statistics are summarized in Table IV. The customized TORCS data set has joint labels for all tasks. The highway scenario of the LLAMAS data set is close to that of TORCS;  however, the original LLAMAS data set only contained lane line labels. Thus, we annotated each LLAMAS image with traffic object  bounding boxes to imitate the TORCS data. The resulting numbers of labeled traffic objects in the TORCS and LLAMAS data sets were approximately 30\\thinspace000  and 29\\thinspace000, respectively. To determine  anchor boxes  for  the detection task, the $k$-means algorithm \\cite{Mac67} was applied to partition  ground truth boxes. Nevertheless, the LLAMAS data set still lacked the ego vehicle's angle labels; therefore, this data set could only be used for comparing  segmentation and detection tasks. The ratio of the number of images used in the training phase to that used in the test  phase was approximately 10 for both data sets, as in our previous works \\cite{Lee21a, Lee22}. Recall\/average precision (AP; IoU was set to 0.5) \\cite{Lia22}, recall\/F1 score \\cite{Zou20}, and accuracy\/mean absolute error (MAE) \\cite{Lee21a} were used to evaluate  model performance in detection, segmentation, and pose tasks, respectively.\n\n\n\n\\subsection{Autonomous driving simulation}\nThe open-source driving environment TORCS provides sophisticated physics and graphics engines, making it ideal for not only visual processing but also vehicle dynamics research \\cite{Wym00}. Thus, the ego vehicle controlled by our integrated algorithms comprising trained MTUNets and CILQR controllers was designed to drive autonomously in unseen TORCS roads (e.g., Track A and B in Fig. 4) to verify the effectiveness of our approach. All experiments, including MTUNets training, testing, and  driving simulation were conducted  on a PC equipped with an Intel i9-9900K CPU, 64 GB of RAM, and  an NVIDIA RTX 2080 Ti GPU. The control frequency for the ego vehicle in TORCS was approximately 150 Hz on our computer.\n\n\n\n\n\\section{Results and discussions}\nTable V presents the performance results of MTUNets on the testing data with different task configurations. MTUNet$\\_$2$\\times$\/MTUNet$\\_$1$\\times$ outperformed  MTMResUNet in both data sets when the models jointly performed detection and segmentation tasks (see the first and third row of Table V); this finding differs from single segmentation task analysis results for biomedical images \\cite{Nab20}. Because interference to task gradients  often lowers  MTDNN performance \\cite{Sta20, Kok17}, the  MTUNet$\\_$2$\\times$\/MTUNet$\\_$1$\\times$ model outperformed the complicated  MTMResUNet network owing to its elegant architecture. When the pose task is included (see the last row of Table V), MTUNet$\\_$2$\\times$\/MTUNet$\\_$1$\\times$ can also outperform  MTMResUNet in all evaluation metrics; the  descending AP scores for the detection task result from an increase in false positive (FP) detections. However, the recall scores of detection task of all models only decreased by approximately 0.02 after the pose task was added (see the last two rows of Table V); approximately 95$\\%$  of ground truth boxes can be detected when all tasks were considered yet. Additionally, as described in Section II,  although we reduced the input size of  MTUNets by using padded 3 $\\times$ 3 Conv layers, which do not influence model performance, MTUNet$\\_$2$\\times$\/MTUNet$\\_$1$\\times$ still had similar measurements to our previous model in segmentation and pose tasks \\cite{Lee21a}. For a comparison of computational efficiency, Table VI presents the number of parameters, the computational complexity, and the computation speed of all schemes; the MTUNet$\\_$1$\\times$ model had the fastest inference by 40.77 FPS (24.52 ms\/frame). This speed is comparable to that of the YOLOP model \\cite{Don21}. Because MTUNet$\\_$2$\\times$ slightly outperformed MTUNet$\\_$1$\\times$ in several metrics, as presented in Table V, we conclude that MTUNet$\\_$1$\\times$ is the most efficient model for collaborating with controllers to achieve automated driving. Fig. 3. presents example outputs for traffic object and lane detection using the MTUNet$\\_$1$\\times$ network on TORCS and LLAMAS data sets.\n\n\n\n\n\n\nTo objectively evaluate the dynamic performance  of algorithms related to autonomous driving, lane-keeping (lateral) and car-following (longitudinal) maneuvers were performed on challenging tracks A and B, as shown in  Fig. 4. MTUNet$\\_$1$\\times$ was then integrated with controllers to drive the ego vehicle and ensure it performed these maneuvers; we implemented SQP algorithms using  the ACADO toolkit \\cite{Hou11} to conduct comparisons with the CILQR controllers. The setting of both algorithms were the same, and the relevant parameters are summarized in Table VII. For lateral control experiments, automatic vehicles were designed to drive at a cruise speed of 70 and 50 (km\/h) on track A and B, respectively. The corresponding validation results of the CILQR\/SQP algorithm for $\\theta$ and $\\Delta$  are shown in Fig. 5\/6.  Both approaches with MTUNet$\\_$1$\\times$ model are able to  guide the ego car such that it drives along the lane center and completes one lap on Track A and B; this function is similar to that of a reinforcement learning model \\cite{Li19}. The discrepancy in the heading $\\theta$ between the MTUNet$\\_$1$\\times$ estimation  and  the ground truth trajectory was caused by curvy or shadowy road segments, which may induce vehicle jittering (see the $\\theta$ data on Track A of Fig. 5\/6) \\cite{Li19}. Nevertheless, $\\Delta$ estimated from lane line segmentation results was more robust to difficult scenarios than obtaining it via the end-to-end method  \\cite{Che15}. Therefore,  $\\Delta$ can help controllers effectively correct $\\theta$ errors, and bring ego car to the road center (see the $\\Delta$ data on Track A of Fig. 5\/6). Moreover, the resulting mean absolute error (MAE) of  $\\theta$ and $\\Delta$ are shown in Table VIII, where  lateral CILQR controller outperformed  SQP method in terms of $\\theta$- and $\\Delta$-MAE on both tracks. \n\n\n\n\\begin{figure}[!t]\n\\centerline{\\includegraphics[scale=0.5]{tracks.jpg}}\n\\caption{Tracks A (left) and B (right) for dynamically evaluating integrated MTUNet and control models. The  total length of Track A\/B was 2843\/3919 (m) with lane width 4 (m), and the maximum curvature was approximately 0.05\/0.03 (1\/m), which was curvier than a typical road \\cite{Fit94}. The self-driving car drove in a counterclockwise direction, and the starting locations are marked by green filled circle symbols. A self-driving vehicle \\cite{Li19} could not finish a lap on Track A using the direct perception approach  \\cite{Che15}.}\n\\end{figure}\n\n\n\n\\begin{table}[!t]\n\\caption{Dynamic system models and parameters for CILQR\/SQP controllers implementation}\n\\begin{center}\n\\begin{tabular}{lcc}\n\\hline\n  & Lateral & Longitudinal \\\\ \n  & CILQR\/SQP & CILQR\/SQP \\\\ \\hline\nDynamic model    & Eq. (19) & Eq. (25) \\\\ \nSampling time ($dt$)  & 0.05 (s)  & 0.1 (s)\\\\ \nPred. horizon ($N$) & 30  & 30 \\\\ \nRef. dist. ($D_r$) & -  &  11 (m)  \\\\ \nWeighting matrixes  & ${\\bf Q}$ = ${\\rm diag}\\left( {20 ,1 ,20 ,1 } \\right)$  & ${{\\bf Q'}}$ = ${\\rm diag}\\left( {20 ,20 ,1 } \\right)$ \\\\ \n  & ${\\bf R} = \\left[ 1 \\right]$ &${\\bf R'} = \\left[ 1 \\right]$\\\\ \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\\begin{figure}[!t]\n\\centerline{\\includegraphics[scale=0.33]{la_cilqr.pdf}}\n\\caption{Dynamic performance of lateral CILQR algorithm with MTUNet$\\_$1$\\times $ model in ego vehicle's heading $\\theta$ and lateral offset $\\Delta$ for lane-keeping maneuver in central lane of Track A\/B at speed 70\/50 (km\/h).}\n\\end{figure}\n\n\n\\begin{figure}[!t]\n\\centerline{\\includegraphics[scale=0.33]{la_sqp.pdf}}\n\\caption{Dynamic performance of lateral SQP algorithm with MTUNet$\\_$1$\\times $ model for lane-keeping maneuver in  central lane of  Track A\/B at the same speed as that in Fig. 5.}\n\\end{figure}\n\n\n\n\\begin{figure}[!t]\n\\centerline{\\includegraphics[scale=0.33]{lo_new.pdf}}\n\\caption{Experiment results of CILQR and SQP algorithms in car-following scenario after ego car travels 1075 (m) on Track B; $v$ and  $D$ are speed and inter-vehicle distance, respectively.}\n\\end{figure}\n\n\n\nFigure 7 presents the longitudinal experimental results related to the CILQR and SQP controllers. This maneuver was performed  on a section of Track B when the ego vehicle cruised at 76 (km\/h) initially and approached a slower preceding car with speed in the range of [63, 64] (km\/h). The ego vehicle with a CILQR\/SQP controller was able to regulate its speed, track the preceding vehicle, and maintain a safe distance from it. However, the uncertainty in optimal solutions led  to differences between  reference  and response trajectories \\cite{Lim22}. For the longitudinal  CILQR\/SQP controller, the $v$-MAE  was \n0.1885\/0.2605 (m\/s), and the $D$-MAE  was 0.4029\/0.4634 (m) (see Table VIII). CILQR outperformed SQP again in this experiment. Table IX presents the average time to arrive at a solution for lateral and longitudinal CILQR and SQP controllers; the iterative period of the SQP was longer than the ego vehicle control period (6.66 ms), and the SQP required 16.7$\\times$ and 21.5$\\times$ longer computation times per cycle to accomplish lane-keeping and car-following tasks, respectively. Therefore, the inferior performance of the SQP methods may be ascribed to slow reaction times, whereas the CILQR algorithms had higher computational efficiency in these cases. A supplementary video featuring lane-keeping and car-following simulations can be found at https:\/\/youtu.be\/pqQzEp1hKuQ.\n\n\n\n\n  \n\n\n\n\n\n\\begin{table}[!t]\n\\caption{Performance of CILQR\/SQP algorithm with MTUNet$\\_$1$\\times $ in terms of the mean absolute error (MAE) of parameters presented in Fig. 5\/6\/7 on Track A\/B }\n\\begin{center}\n\\begin{tabular}{lcccc}\n\\hline\n & \\multicolumn{2}{c}{CILQR} & \\multicolumn{2}{c}{SQP} \\\\\\hline\n  & $\\theta$ (rad) & $\\Delta $ (m) & $\\theta$ (rad) & $\\Delta $ (m) \\\\ \nTrack A    &  0.0087 &  0.1266   & 0.0104  &  0.1338 \\\\ \nTrack B    &  0.0081 &  0.0946   & 0.0089  &  0.1061 \\\\ \n\\hline\n  & $v$ (m\/s) & $D$ (m) & $v$ (m\/s) & $D$ (m) \\\\ \nTrack B$^{a}$    &  0.1885 &  0.4029   & 0.2605  &  0.4634 \\\\ \n\\hline\n\\multicolumn{4}{l}{$^{a}$\\scriptsize{Computation  from 1150 to 1550 (m)}} \n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\\begin{table}[!t]\n\\caption{Average computation time of CILQR and SQP controllers}\n\\begin{center}\n\\begin{tabular}{lcc}\n\\hline\n & CILQR & SQP \\\\ \\hline\nLateral    & 0.58 (ms) & 9.70 (ms)\\\\ \nLongitudinal  & 0.65 (ms) & 14.01 (ms) \\\\  \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\n\n\n\n\\section{Conclusion}\nIn this paper, we propose a vision-based self-driving framework that involves using a front-facing camera and  radars to collect sensing data; the framework comprises a MTUNet network and CILQR modules for  environment perception and  motion planning, respectively. The proposed MTUNet model is an improvement on our previous model \\cite{Lee21a}; we added a YOLOv4 detector and increased the network efficiency by reducing the network input size  for use with LLAMAS \\cite{Beh19} and TORCS data \\cite{Lee21a}. The most efficient MTUNet model, namely MTUNet$\\_$1$\\times $, achieved an inference speed of 40.77 FPS during the simultaneous operation of lane line segmentation, ego vehicle's pose estimation, and traffic object detection tasks. For vehicular automation, a lateral CILQR controller was designed to plan vehicle motion over a horizon based on ego's heading $\\theta$ and lateral offset $\\Delta$  produced by MTUNet$\\_$1$\\times$; then, the optimal steering angle was applied to guide the ego vehicle along the lane centerline; at this time, the longitudinal CILQR controller was activated when a slower preceding car was detected. The optimal jerk was then applied to regulate the ego vehicle's speed to avoid a collision. The MTUNet$\\_$1$\\times $ model and CILQR controllers can collaborate to operate the ego vehicle on challenge tracks in a TORCS environment; this model is comparable to an autonomous driving model that combines deep learning and reinforcement learning methods \\cite{Li19}. The CILQR modules can solve lane-keeping and car-following problems at a cycle time of 0.58 and 0.65 ms, respectively, outperforming SQP algorithms in not only computation speed  but also MAEs. These experiments validate the applicability of the proposed  system, which integrates  perception, planning, and control algorithms and is suitable for real-time autonomous vehicle applications.\n\n\n \n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\\label{sec:1}\n\\input{sections\/introduction}\n\\section{Governing equations of fluid dynamics}\n\\label{sec:2}\n\\input{sections\/governingEquationsAndNumericalMethods}\n\\section{The phantom domain mesh deformation method}\n\\label{sec:3}\n\\input{sections\/thePhantomDomainDeformationMeshUpdateMethod}\n\\section{Computational results}\n\\label{sec:4}\n\\input{sections\/computationalResults}\n\\section{Discussion}\n\\label{sec:5}\n\\input{sections\/discussion}\n\n\\begin{acknowledgement}\nThis work was supported by the German Research Foundation under the Cluster of Excellence \"Integrative production technology for high-wage countries\" (EXC128) as well as the  German Research Foundation under the Cluster of Excellence \"Internet of Production\". Computing resources were provided by the AICES graduate school and RWTH Aachen University Center for Computing.\n\\end{acknowledgement}\n\n\\input{referenc}\n\\end{document}\n\n\n\n\n\\subsection{Governing equations of fluid dynamics}\nConsider an incompressible fluid covering the deformable fluid domain $\\Omega_t^f \\subset  \\mathrm{R}^{n_{sd}}$, with $n_{sd}$ indicating the number of spatial dimensions. At every time instant $t\\in[0,T]$, the fluid's unknown velocity  $\\mathbf{u}(\\mathbf{x},t)$ and pressure $p(\\mathbf{x},t)$ are governed by the Navier-Stokes equations for incompressible fluids:\n\\begin{subequations}\n\\begin{align}\n\\rho^f \\left(\\frac{\\partial \\mathbf{u}^f}{\\partial t} \\,+\\, \\mathbf{u}^f \\cdot \\boldsymbol{\\nabla}  \\mathbf{u}^f \\,-\\, \\mathbf{f}^f \\right)\\,-\\, \\boldsymbol{\\nabla}\\cdot \\boldsymbol{\\sigma}^f\\,=\\, \\mathbf{0} &\\qquad\\text{on} ~\\Omega_t^f, \\forall t \\in \\left(0,T\\right),\\\\\n\\boldsymbol{\\nabla} \\cdot  \\mathbf{u}^f\\,=\\, 0 &\\qquad\\text{on}~ \\Omega_t^f, \\forall t \\in \\left(0,T\\right),\n\\end{align}\n\\label{Eq:NS}\n\\end{subequations}\nwith $\\rho^f$ denoting the fluid density and $\\mathbf{f}^f$ representing all external body forces per unit mass.\nFor Newtonian fluids, the stress tensor $\\boldsymbol{\\sigma}^f$ is defined as\n\\begin{equation}\n\\boldsymbol{\\sigma}^f\\,=\\,-p^f \\mathbf{I}\\,+\\,2\\rho^f\\nu^f \\boldsymbol{\\varepsilon}^f(\\mathbf{u}^f),\n\\end{equation}\nwith\n\\begin{equation}\n\\boldsymbol{\\varepsilon}^f(\\mathbf{u}^f)\\, =\\, \\frac{1}{2} \\left( \\boldsymbol{\\nabla} \\mathbf{u}^f + \\left(\\boldsymbol{\\nabla} \\mathbf{u}^f \\right)^T \\right),\n\\end{equation}\nwhere $\\nu^f$ denotes the dynamic viscosity. A well-posed system is obtained when boundary conditions are imposed on the external boundary  $\\Gamma^{f}_{t}$. Here, we distinguish between Dirichlet and Neumann boundary conditions given by:\n\\begin{subequations}\n\t\\begin{align}\n\t\\mathbf{u}^f \\,=\\,\\mathbf{g}^f &\\qquad\\text{on}~\\Gamma^{f}_{t,g},\\\\\n\t\\mathbf{n}^f\\cdot \\boldsymbol{\\sigma}^f \\,=\\,\\mathbf{h}^f &\\qquad\\text{on}~\\Gamma^{f}_{t,h},\n\t\\end{align}\n\\end{subequations}\nwhere $\\mathbf{g}^f$ and $\\mathbf{h}^f$ prescribe the velocity and stress values on complementary subsets of $\\Gamma^{f}_{t}$.\nWith regard to deformation of the fluid domain $\\Omega_t^f$ in time, the DSD\/SST method is applied to solve the Navier-Stokes equations.\n\\subsection{Deforming-spatial-domain\/stabilized space-time method}\\label{sec:DSDSST}\nThe DSD\/SST method is a space-time-based finite-element (FE) method, i.e., a FE discretization is applied to space and time.\nIt was first applied to flow problems with moving boundaries in \\cite{TezduyarBehrLiou1992,TezduyarEtAl1992}.\\\\\n\\\\\nThe advantage of the DSD\/SST method is, that the variational form of the governing equations implicitly incorporates the deformations of the domain.\nIn order to construct the interpolation and weighting function spaces used in the variational formulation of the problem, the time interval $(0,T)$ is split into $N$ subintervals $I_n=\\left[t_n,t_{n+1}\\right]$, where $t_n$  and $t_{n+1}$ belong to an ordered series of time levels.\nThus, the space-time continuum is divided into $N$ space-time slabs $Q_n$ as depicted in Figure \\ref{fig:SpaceTimeSlab}, bounded by the spatial configurations $\\Omega_t$ at time $t_n$ and $t_{n+1}$, and $P_n$ describing the course of the spatial boundary $\\Gamma^{f}_t$ as $t$ traverses $I_n$.\n\\begin{figure}[h]\n\t\\centering\n\t\\includegraphics{Figures\/spaceTimeSlab}\n\t\\caption{Space-time slab.}\n\t\\label{fig:SpaceTimeSlab}\n\\end{figure}\nThe boundary $P_n$ can be decomposed into two complementary subsets $(P_n)_g$ and $(P_n)_h$, representing the Dirichlet and Neumann boundary conditions of $\\Gamma^f_{t}~\\forall t \\in I_n$.\nThe space-time slabs are weakly coupled along their interfaces using jump terms.\nFor the spatial approximation $\\Omega^{f}_{t,h}$ of the domain $\\Omega^f_t$, the following finite element trial and weighting function spaces are constructed:\n\\begin{subequations}\n\t\\begin{align}\n\t\\mathcal{H}^{1h}(Q_n)&:= \\left\\{ \\mathbf{w}^h \\in \\mathcal{H}^1 \\left(Q_n\\right) \\left| \\mathbf{w}^h_T\\right| \\text{is a first-order polynominal }\\forall T\\in \\mathcal{T}^h \\right\\},\\\\\n\t\\mathcal{S}^h_u &:= \\left\\{ \\mathbf{u}^h | \\mathbf{u}^h \\in \\left[\\mathcal{H}^{1h}\\left(Q_n\\right) \\right]^{nsd}, \\mathbf{u}^h =\\mathbf{g} ~\\text{on} ~\\left(P_n\\right)_g \\right\\},\\\\\n\t\\mathcal{V}^h &:= \\left\\{ \\mathbf{w}^h | \\mathbf{w}^h \\in \\left[\\mathcal{H}^{1h} \\left(Q_n\\right) \\right]^{nsd}, \\mathbf{w}^h= \\mathbf{0} ~\\text{on} ~\\left(P_n\\right)_g \\right\\},\\\\\n\t\\mathcal{S}^h_p &=  \\mathcal{V}^h_p :=\\left\\{ {q}^h | {q}^h \\in \\mathcal{H}^{1h}\\left(Q_n\\right)  \\right\\}.\n\t\\end{align}\n\\end{subequations}\nThe interpolation functions are globally continuous in space, but discontinuous in time.\nUsing the following notational convention,\n\\begin{subequations}\n\\begin{align}\n\\left(\\mathbf{u}^h\\right)^{\\pm}_n\\,=\\,\\underset{\\epsilon \\rightarrow 0}{lim}~  \\mathbf{u}\\left(t_n \\pm \\epsilon \\right)\\\\\n\\int_{Q_n} \\cdots \\text{d} Q = \\int_{I_n} \\int_{\\Omega_t} \\cdots \\text{d}\\Omega \\text{d}t,\\\\\n\\int_{(P_n)} \\cdots \\text{d} P = \\int_{I_n} \\int_{\\Gamma_t} \\cdots \\text{d}\\Gamma \\text{d}t,\n\\end{align}\n\\end{subequations}\nand following references \\cite{TezduyarBehrLiou1992, HughesFrancaHulbert1989, PauliBehr2017}, the stabilized variational formulation of the Navier Stokes equations is obtained:\nGiven $\\left(\\mathbf{u}^h\\right)_n^-$ with $\\left(\\mathbf{u}^h\\right)_0^- = \\mathbf{u}_0$, find $\\mathbf{u}^h \\in \\mathcal{S}^h_\\mathbf{u}$ and $p^h\\in \\mathcal{S}^h_p$ such that $\\forall \\mathbf{w}^h \\in \\mathcal{V}^h_\\mathbf{u}$, $\\forall q\\in \\mathcal{V}^h_P$:\n\\begin{align}\n\\int_{Q_n} \\mathbf{w}^h \\cdot \\rho^f \\left( \\frac{\\partial \\mathbf{u}^h}{\\partial t} + \\mathbf{u} \\cdot \\boldsymbol{\\nabla} \\cdot \\mathbf{u}^h - \\mathbf{f}\\right) \\text{d}Q +\n\\int_{Q_n} \\boldsymbol{\\nabla}\\mathbf{w}^h : \\boldsymbol{\\sigma} ( p^h, \\mathbf{u}^h ) \\text{d}Q \\nonumber \\\\\n+ \\int_{Q_n} q^h \\boldsymbol{\\nabla}\\cdot \\mathbf{u}^h \\text{d}Q  +\n\\int_{\\Omega_n} \\left(\\mathbf{w}^h\\right)^+_n \\cdot \\rho^f \\left(\\left(\\mathbf{u}^h\\right)^+_n - \\left(\\mathbf{u}^h\\right)^-_n\\right)\\text{d}\\Omega \\nonumber \\\\\n+ \\sum_{e=1}^{n_{el}}\\int_{Q^e_n} \\frac{1}{\\rho^f} \\tau_{MOM}  \\left[\\rho^f \\mathbf{u}^h \\cdot \\boldsymbol{\\nabla} \\mathbf{w}^h + \\boldsymbol{\\nabla} q^h\\right] \\nonumber \\\\\n \\cdot \\left[\\rho^f \\left(\\frac{\\partial \\mathbf{u}^h}{\\partial t} + \\mathbf{u} \\cdot \\boldsymbol{\\nabla} \\cdot \\mathbf{u}^h - \\mathbf{f} \\right) - \\boldsymbol{\\nabla}\\cdot\\boldsymbol{\\sigma}(p^h, \\mathbf{u}^h) \\right]\\text{d}\\Omega \\nonumber\\\\\n+ \\sum_{e=1}^{n_{el}}\\int_{Q_n^e} \\boldsymbol{\\nabla} \\cdot \\mathbf{w}^h \\rho^f \\tau_{CONT} \\boldsymbol{\\nabla} \\cdot \\mathbf{u}^h \\text{d}\\Omega \\nonumber\\\\\n= \\int_{\\left(P_n\\right)_h} \\mathbf{w}^h \\cdot \\mathbf{h}^h\\text{d}P. \\label{eq:NS_WEAK}\n\\end{align}\nIn Equation \\eqref{eq:NS_WEAK}, the first three terms and the last term directly result from the variational formulation of Equation \\eqref{Eq:NS}, whereas the fourth term denotes the jump terms between the space-time slabs.\nTerms five and six result from a Galerkin-Least Squares (GLS) stabilization applied to the Navier-Stokes equations.\nThe stabilization approach used within this work and the choice of the stabilization parameters $\\tau_{CONT}$ and $\\tau_{MOM}$ are described in detail in \\cite{PauliBehr2017}.\\\\\n\\\\\nThough the DSD\/SST method implicitly accounts for the domain deformations in one time slab, a deformation rule is needed to deform the FE mesh according to the boundary movements.\n\\subsection{Elastic mesh update method}\\label{sec:EMUM}\nOne approach for the automatic mesh update in boundary conforming meshes is the elastic mesh update method (EMUM) introduced by \\cite{JohnsonTezduyar1994}, where the mesh is understood as an elastic body occupying the bounded region \\mbox{$\\Omega^\\# \\subset \\mathcal{R}^{n_{sd}}$} with boundary $\\Gamma^\\#$.\nThus, the deformation of the mesh is expressed in terms of the nodal displacements $\\mathbf{d}^\\#$ governed by the equilibrium equation of elasticity:\n\\begin{equation}\n\\boldsymbol{\\nabla} \\cdot \\boldsymbol{\\sigma}^\\#\\,=\\,\\mathbf{0},\n\\end{equation}\nwhere $\\boldsymbol{\\sigma}^\\#$ corresponds to the Cauchy stress tensor,\n\\begin{equation}\n\\boldsymbol{\\sigma}^\\# \\,=\\, \\lambda \\left( tr \\boldsymbol{\\epsilon}^\\# \\right) \\mathbf{I}\\,+\\,2\\mu\\boldsymbol{\\epsilon}^\\# ~,\\qquad\n\\boldsymbol{\\epsilon}^\\#\\,=\\, \\frac{1}{2} \\left( \\boldsymbol{\\nabla} \\mathbf{d}^\\# + \\left(\\boldsymbol{\\nabla} \\mathbf{d}^\\# \\right)^T \\right).\n\\end{equation}\nThe imposition of Dirichlet and Neumann boundary conditions yields a well-posed problem for the mesh deformation:\n\\begin{align}\n\\mathbf{d}^\\# \\,=\\,\\mathbf{g}^\\# &\\qquad\\text{on}~ \\left(\\Gamma\\right)^\\#_g,\\\\\n\\mathbf{n}\\cdot \\boldsymbol{\\sigma}^\\# \\,=\\,\\mathbf{h}^\\# &\\qquad\\text{on}~ \\left(\\Gamma\\right)^\\#_h,\n\\end{align}\nwhere $\\mathbf{g}^\\#$ and $\\mathbf{h}^\\#$ prescribe the displacements and normal stresses on the mesh boundaries.\\\\\n\\\\\nThe elasticity problem is solved with the Galerkin FE method and the resulting displacements are applied to the mesh nodes representing the upper mesh configuration of the current space-time slab.\n\n\n\n\\subsection{2D Poiseuille flow on moving background mesh}\nIn the first test case we examine the influence of the PD-DMUM on a flow problem with a well-known solution.\nFor this purpose, we consider a two-dimensional Poiseuille flow in a tube.\nThe topology of the fluid domain remains unchanged, yet a predefined motion is applied to the underlying mesh.\nThe PD-DMUM is used to perform the mesh update, but should not affect the flow field within the tube.\\\\\n\\\\\nThe geometric dimensions of the tube are chosen  according to Figure \\ref{fig:PoiseuilleGeometry}.\nIn the middle of the domain, we position a mesh section $\\Gamma_T$ by means of which the predefined mesh motion is imposed as a Dirichlet boundary condition.\nThe boundary $\\Gamma_T$ has no physical impact with respect to the flow problem.\nThe additional phantom domains required within the PD-DMUM are positioned along the upper and lower boundary of the tube.\n\\begin{figure}[h]\n\t\t\\resizebox {\\textwidth} {!}{\n\t\\includegraphics{Figures\/sketch2dChannel}}\n\t\\centering\n\t\\caption{Tube geometry for Poiseuille flow.}\n\t\\label{fig:PoiseuilleGeometry}\n\\end{figure}\nThe material properties of the fluid are chosen according to Table \\ref{tab:PoiseuilleFlow}.\n\\begin{table}[h]\n\t\\begin{tabular}{ccc}\n\t\t\\hline\n\t\tParameter & Identifier  & Value  \\\\\n\t\t\\hline\n\t\tdensity & $\\rho$  &  $1.0$ [kg\/m$^3$]\\\\\n\t\tviscosity & $\\nu$  & $0.001$ [kg\/m$\\cdot $s] \\\\\n\t\tmean velocity& $U$  & $2.5$ [m\/s]  \\\\\n\t\t\\hline\\\\\n\t\\end{tabular}\n\t\\caption{Properties of fluid in 2D Poiseuille flow.}\n\t\\label{tab:PoiseuilleFlow}\n\\end{table}\nRegarding boundary conditions of the flow, we impose no-slip condition along the walls of the tube.\nThis also applies to the boundary section $\\Gamma_{PF}$ at the interface between the phantom domain and the fluid domain.\nA parabolic inflow profile for the velocity is given at the inlet of the tube:\n\\begin{equation}\n\\mathbf{u}(y) \\,=\\,\\left( \\frac{4Uy(H-y)}{H^2}, 0 \\right).\n\\end{equation}\nWith respect to the mesh update, the position of the nodes at the inlet, the outlet, and the tube walls are fixed.\nHowever, this does not apply to $\\Gamma_{PF}$ and the remaining boundaries of the phantom domain, as these nodes should be able to move freely.\nFor the boundary $\\Gamma_T$ we prescribe the following sinusoidal movement:\n\\begin{equation}\n\\mathbf{d}(t) \\,=\\,\\left(0~,~ 0.1\\cdot\\text{sin}\\left(\\frac{2\\,\\pi\\, t}{T} \\right) \\right).\n\\end{equation}\nThe mesh deformation is examined for a period of $T=8$[s]. The time step size is $\\Delta t = 0.02$ [s].\nInitially, a fully developed flow profile is already present in the pipe.\\\\\n\\\\\nThe Poiseuille flow is computed on four mesh configurations with the PD-DMUM and for the purpose of comparison for one configuration by the EMUM.\nFor the comparison of the solutions we use the flow velocity.\nThe velocity is measured at a probe positioned at point $(1.1\\,,\\,0.2)$ inside the tube.\nTogether with the given analytical solution of the Poiseille flow, the relative error can be computed for the different mesh configurations.\\\\\n\\\\\nIn a first step, the relative error of the computed velocity is evaluated for the probe position.\nIn Figure \\ref{fig:RelativErrorPoiseuille} it can be observed that the relative error decreases as the mesh is refined.\nThe comparison between the solution of the EMUM and the PD-DMUM on similar grids shows that the relative error for the calculated velocity is of the same order of magnitude.\nThe fluctuations that can be observed for all computations can be explained by the linear interpolation of the parabolic velocity profile at the probe position.\nIn Figure \\ref{fig:ConvergencePoiseuille}, we can observe that the numerical solution converges for the PD-DMUM towards the analytic solution of the Poiseuille problem.\nBoth, the convergence of the PD-DMUM and the comparable results to the EMUM for moderate mesh deformations indicate that the PD-DMUM provides a valid mesh update.\n\\begin{figure}[h]\n\t\\resizebox{\\textwidth}{!}{\n\t\\includegraphics{Figures\/derivationVelocity}}\n\t\\centering\n\t\\caption{Relative error of velocity at probe position.}\n\t\\label{fig:RelativErrorPoiseuille}\n\\end{figure}\n\\begin{figure}[h]\n\t\\resizebox{\\textwidth}{!}{\n\t\\includegraphics{Figures\/convergence}}\n\t\\centering\n\t\\caption{Average relative error for different mesh resolutions.}\n\t\\label{fig:ConvergencePoiseuille}\n\\end{figure}\n\\subsection{Falling ring in a fluid-filled container}\nThe second test case is used to illustrate possible applications of the PD-DMUM.\nFor this purpose, we consider a fluid-structure interaction with large translational boundary movement.\nMore precisely, we simulate an elastic ring that falls inside a fluid-filled container until it hits the ground and rebounds.\nConcerning the mesh deformation, this is a demanding process, since the number of mesh cells, which are initially positioned between the ring and the bottom, must be reduced to zero by the time of contact.\nUsing previous mesh update methods it is not possible to simulate this process on boundary conforming meshes without frequent remeshing of the fluid domain.\\\\\n\\\\\nThe geometric dimensions of the container and the ring are chosen according to Figure \\ref{fig:SketchCylinder}.\nThe ring is represented by a non-uniform rational B-spline (NURBS) \\cite{PieglTiller1997} with 721 elements and second-order basis functions.\nIn total 13448 elements are used to discretize the fluid domain and the additional phantom domains.\nIn the flow problem no-slip conditions are prescribed along the walls and the bottom of the container, whereas the top of the container is assumed to be open.\nThe fluid velocity at the ring surface corresponds to the  structural velocity.\nIn terms of the mesh deformation problem the mesh nodes on the container and walls of the phantom domains are restricted to a vertical movement.\nThe structural deformation is prescribed as a Dirichlet value for the ring boundary.\\\\\n\\begin{figure}[!h]\n\t\t\\resizebox {0.48\\textwidth} {!}{\n\t\\includegraphics{Figures\/sketchCylinder}}\n\t\\centering\n\t\\caption{Geometry of container with ring.}\n\t\\label{fig:SketchCylinder}\n\\end{figure}\n\\\\\nThe FSI problem is solved in a partitioned solution approach \\cite{FelippaParkFarhat1998}.\nOn the structural side, the deformation of the ring are represented by a linear elastic problem solved with isogeometric analysis (IGA) \\cite{HughesCottrellBazilevs2004}.\nThe contact interaction between the ring and the bottom of the container is considered via the penalty method \\cite{TemizerWriggersHughes2011}.\nThe flow field induced by the motion of the ring is described by the Navier-Stokes equations which are solved by the DSD\/SST approach in combination with the presented PD-DMUM.\nThe two field problems are strongly coupled in time \\cite{Wall1999}, and for the spatial coupling we apply a NURBS-based coupling following \\cite{HostersEtAl2017}.\\\\\n\\\\\nIn Figures \\ref{fig:Ball1} to \\ref{fig:Ball5}, we present snapshots of the simulation at different points in time, starting from the initial position of the ring, via the moment when the ring is in contact with the bottom of the container, up to the point of maximal altitude after the first contact interaction.\nAs it can be guessed from the snapshot in Figure \\ref{fig:Ball3}, one element remains between the bottom of the container and the falling ring.\nThis element will not be removed because we cannot exactly comply with the contact conditions using the penalty method.\nNevertheless, it can be observed in every snapshot, that mesh cells experience large displacements but only little deformations.\nDue to the application of the PD-DMUM, the entire FSI problem was solved without remeshing.\n\\begin{figure}[h!]\n\t\\centering\n\t\\begin{minipage}{.4\\textwidth}\n\t\t\\centering\n\t\t\\includegraphics[width=\\textwidth]{Figures\/ringT1.eps}\n\t\t\\caption{Velocity at $t=0 ~\\text{s}$.}\n\t\t\\label{fig:Ball1}\n\t\\end{minipage}%\n\t\\begin{minipage}{.4\\textwidth}\n\t\t\\centering\n\t\t\\includegraphics[width=\\textwidth]{Figures\/ringT2.eps}\n\t\t\\caption{Velocity at $t=0.55~\\text{s}$.}\n\t\t\\label{fig:Ball2}\n\t\\end{minipage}\n\t\\\\\n\t\\begin{minipage}{.4\\textwidth}\n\t\t\\centering\n\t\t\\includegraphics[width=\\textwidth]{Figures\/ringT3.eps}\n\t\t\\caption{Velocity at $t=0.75~ \\text{s}$.}\n\t\t\\label{fig:Ball3}\n\t\\end{minipage}%\n\t\\begin{minipage}{.4\\textwidth}\n\t\t\\centering\n\t\t\\includegraphics[width=\\textwidth]{Figures\/ringT4.eps}\n\t\t\\caption{Velocity at $t=1.0 ~\\text{s}$.}\n\t\t\\label{fig:Ball4}\n\t\\end{minipage}\\\\\n\t\\centering\n\\end{figure}\n\\begin{figure}[h!]\n\t\\centering\n\t\\ContinuedFloat\n\t\\begin{minipage}{.4\\textwidth}\n\t\t\\centering\n\t\t\\includegraphics[width=\\textwidth]{Figures\/ringT5.eps}\n\t\t\\caption{Velocity at $t=1.45~\\text{s}$.}\n\t\t\\label{fig:Ball5}\n\t\\end{minipage}\n\\end{figure}\n\\\\\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{\\protect\\bigskip Introduction}\nThe literature contains numerous studies on generalisations of the familiar Einstein-Hilbert action of general relativity (GR) to more complicated functions of the curvature and higher-order invariants \\cite{ottewill, schmidt1, schmidt2}. Motivation for these studies comes from several sources, including astronomical phenomena which are currently inadequately explained by the standard model of general relativity, such as providing a natural source of inflation in the early universe \\cite{starob1}, or dark energy and the late-time acceleration of the universe's expansion \\cite{Carroll:2004de, Nojiri:2006be, Nojiri:2006su, Nojiri:2006jy, Nojiri:2006gh, Amendola:2006kh}, and also attempts to include quantum behaviour in the gravitational theory \\cite{stelle}. A review of one of the most common extensions to general relativity, the so-called $f(R)$ models, in which the Lagrangian is allowed to be a general function of the scalar curvature, may be found in \\cite{sot}. \n\nIt is of particular interest to discover the behaviour of these higher-order theories at high curvatures and it is in this limit when we might expect the influence of quantum corrections to become important. Therefore, where initial singularities are expected to involve infinities in one or more of the curvature invariants of the space-time, we expect that the addition\nof higher-order terms to the Lagrangian might produce a new dominant behaviour to such singularities. The (past) stability properties of special initial isotropic cosmological singularities were investigated in \\cite{midd2} for higher-order theories where the dominant term in the Lagrangian took the form $(R_{ab}R^{ab})^n$.\n\nIt is well known that contributions to the Lagrangian from terms dependent on the scalar curvature only are conformally equivalent to the presence of a minimally coupled scalar field in general relativity \\cite{conformal}, however, in theories in which the gravitational Lagrangian contains higher-order curvature invariants, a much richer diversity of anisotropic behaviour is possible. For example, specific counterexamples were found in \\cite{hervik} which demonstrate that the ``cosmic no-hair theorem'' of general relativity may be violated in higher-order theories. Furthermore, anisotropies diverge faster than isotropies at high curvatures and will tend to dominate the cosmological behaviour at early times. Thus, whilst the majority of previous studies of these modified theories of gravity have focussed on the behaviour of isotropic cosmologies, it is the role of anisotropy on approach to the initial singularity which we wish to investigate here.\n\nSome of the most important anisotropic cosmological solutions in general relativity are the vacuum Kasner solutions of Bianchi type I \\cite{kasner}. Since they are characterised by just a single free constant, they are geometrically special, but nevertheless they provide us with a very useful insight into the dynamics of anisotropies, since they give a good description of the evolution of more general anisotropic cosmological models over finite time intervals. The chaotic oscillatory behaviour of the spacetime on approach to the initial singularity exhibited by the Bianchi type VIII and type IX (``Mixmaster'') cosmologies can be approximated by a sequence of different Kasner epochs \\cite{bkl,Misner,PhysRevLett.46.963,Barrow:1981sx,Chernoff:1983zz,Rendall:1997dc}. Provided that at least one of the Kasner exponents is negative, inhomogeneities and perturbations from the Bianchi I anisotropies will grow as the singularity is approached and force the solution to switch from one set of Kasner exponents to another. If the solution must always have at least one negative Kasner exponent, as is the situation in general relativity, then these oscillations will continue infinitely as the singularity is approached. However, in some higher-order theories of gravity \\cite{deruelle, clifton1, clifton2} it may be possible for all of the Kasner indices to take positive values, whence after a sufficient (finite) number or permutations, the indices will reach such a configuration and the oscillatory behaviour will cease. Since all spatial directions will be contracting, the initial singularity will be reached monotonically.\n \n \nPreviously, Kasner-type cosmological models in quadratic gravity and in Lovelock theories of gravity in higher dimensions were investigated by Deruelle \\cite{deruelle}. Clifton and Barrow \\cite{clifton1, clifton2} discovered the conditions for the existence of Kasner-like solutions and the exact forms of these solutions for the particular cases where the Lagrangian is an arbitrary power of one of the curvature invariants, $R, R_{ab}R^{ab}$ or $R_{abcd}R^{abcd}$. One might expect that the dynamics and the asymptotic behaviour of any solution in a more general higher-order theory would be controlled by the highest powers of the curvature in the past, and the lowest powers of the curvature in the future. However, this assumption is not necessarily accurate \\cite{clifton3} and we wish to extend the investigation of \\cite{clifton1, clifton2} to include more general Lagrangians. \n\nThus, in this work, we wish to investigate, within this class of higher-order theories of gravity, the constraints on the Lagrangian for the existence of some simple anisotropic but homogeneous solutions of Bianchi Type I and to find all such solutions. In particular, our main focus will be to consider the possibility of anisotropic Kasner-like solutions in vacuum, and in the presence of a cosmological constant. We will also consider the properties of these solutions with respect to their relation to the behaviour of the more general Bianchi type VIII and IX cosmologies. In addition, we will also discover all solutions in these higher-order theories which are expanding anisotropically but exponentially in each of the three spatial directions.\n\n\\section{Field Equations}\n\nIn this paper we will consider theories of gravitation in which the field equations are derived from an arbitrary analytic function of the three possible linear and quadratic contractions of the Riemann curvature tensor; $R, R_{ab}R^{ab}$ and $R_{abcd}R^{abcd}$. The relevant action\nis given by\n\\begin{equation*}\nS=\\int d^{4}x\\sqrt{-g}\\left[ \\frac{1}{\\chi }f(X,Y,Z)+L_{m}%\n\\right] ,\n\\end{equation*}\nwhere $f(X,Y,Z)$ is an arbitrary function of $X, Y$ and $Z$ which are defined\n$X \\equiv R, Y \\equiv R^{ab}R_{ab}$ and $Z \\equiv R^{abcd}R_{abcd}$. Spacetime indices run from $0$ to $3$ and are denoted by roman letters, whilst Greek letters are used to denote purely spatial indices.\n\nUnlike the situation in general relativity, which may be recovered by choosing $f=R$, the Palatini and metric formalisms are not equivalent for a general choice of $f$. In what follows, we shall restrict attention to the metric formalism. The field equations obtained by\nvarying the action with respect to the metric are \\cite{clifton2}:\n\\begin{equation}\n        P_{b}^{a}= \\frac{\\chi }{2}T_{b}^{a}\\, ,\n\\end{equation}\nwhere\n\\begin{eqnarray*}\nP^{ab} & = &-\\frac{1}{2}f g^{ab}+f_X R^{ab}+2f_{Y} R^{c(a}R^{b)} \\, _{c}\n+2f_{Z} R^{edc(a}R^{b)}\\,_{cde}+(g^{ab}g^{cd}-g^{ac}g^{bd})f_{X;cd} \\\\\n&& +\\Box (f_{Y}R^{ab}) +g^{ab}(f_{Y} R^{cd})_{;cd} -2(f_{Y}R^{c(a})_;\n\\,^{b)}_{c} - 4(f_{Z}R^{d(ab)c})_{;cd} \\: ,\n\\end{eqnarray*}%\nwhere $f_X \\equiv \\frac{\\partial f}{\\partial X}$, $f_Y \\equiv \\frac{\\partial\nf}{\\partial Y}$ and $f_Z \\equiv \\frac{\\partial f}{\\partial Z}$. Whilst the focus of this work is on solutions in vacuum, with $T^a_b=0$, the study can be extended in a simple way to allow the possibility of a non-zero cosmological constant, $\\Lambda$, by including any such term in the gravitational part of the Lagrangian, $f(X,Y,Z)$. Furthermore, we will also consider the effects of including a perfect fluid for $f(R)$ theories of gravity.\n\n\\section{The Kasner Model}\nIn this paper, we consider homogeneous but anisotropic Bianchi I models, and in particular our main focus will be on those spacetimes described by the line element\n\\begin{equation}\nds^{2}=-dt^{2}+t^{2p_{1}}dx^{2}+t^{2p_{2}}dy^{2}+t^{2p_{3}}dz^{2} ,  \\label{kas}\n\\end{equation} where the Kasner exponents $p_{\\alpha}$ are constants and assumed to be real in order for the metric to be of physical significance. We define the useful quantities \\begin{eqnarray*}\nH & \\equiv & p_{1}+p_{2}+p_{3}  \\: ,\\\\\nJ & \\equiv & p_{1}\\!^2 + p_{2}\\!^2 + p_{3}\\!^2  \\quad \\text{and} \\\\\nK & \\equiv & p_{1}\\!^3 + p_{2}\\!^3 + p_{3}\\!^3\n\\end{eqnarray*}\n\nThe line element (\\ref{kas}) also describes the limiting case in which all three Kasner exponents are equal, $p_{1}=p_{2}=p_{3}$, and corresponds to isotropic, spatially flat Friedmann-Robertson-Walker solutions for which the scalefactor is a power-law in time. These solutions will be included for completeness. It is useful to note that for real-valued choices of $p_{\\alpha}$, $J\\geq \\frac{H^2}{3}$, with equality if and only if the solution is isotropic.  The three relevant curvature scalars with which we will be working take the values\n\\begin{eqnarray}\nX \\equiv R & = & \\frac{J-2H+H^2}{t^2} \\: , \\label{eq:x} \\\\\nY \\equiv R_{ab}R^{ab} &=& \\frac{J(H-1)^2+(J-H)^2}{t^4} \\: , \\label{eq:y}\\\\\nZ \\equiv R_{abcd}R^{abcd} &=& \\frac{(3J-H^2)^2 +12J+8K(H-3)}{3t^4}  \\label{eq:z} \\: .\n\\end{eqnarray}\n\nIn general relativity, the Kasner exponents for the vacuum solution must satisfy $H=J=1$ \\cite{kasner}. One solution of this is the Milne model \\cite{Milne}, which without loss of generality can be described using the choice of axes such that $p_{1}=1$, $p_{2}=p_{3}=0$. However, this solution is related to Minkowski space by a coordinate transformation; if we introduce new coordinates $\\tau =  t \\cosh{x}, \\chi=t \\sinh{x}$, then the usual form of the flat Minkowski metric is explicitly recovered \\cite{clifton2}. The Riemann tensor $R_{abcd}$ vanishes for Minkowski space, and therefore this is a vacuum solution in any higher-order theory of gravity of the form $f(X,Y,Z)$ for which $f(0,0,0)=0$.\n\nFor all other general relativistic Kasner solutions, one Kasner exponent must be negative, whilst the other two are positive. Thus, although the spacetime volume is expanding to the future, one of the spatial directions is contracting. Moreover, as the initial singularity is approached, inhomogeneities and deviations from the Bianchi type I anisotropies in the more general Bianchi type IX solution will grow and cause the Kasner exponents to be permuted to different values, leading to an infinite series of chaotic BKL oscillations between different Kasner epochs \\cite{bkl,Misner,PhysRevLett.46.963,Barrow:1981sx,Chernoff:1983zz,Rendall:1997dc}. \n\nHowever, this is not true in general for the higher-order theories considered in this paper. In \\cite{clifton1, clifton2}, Clifton and Barrow found some exact solutions, a subset of which permits all the Kasner exponents to take positive values. We will see that this such solutions exist in a much wider class of higher-order theories. In this scenario, it is possible that after a finite number of transitions between different Kasner epochs, the solution will reach a state in which all of the Kasner exponents are positive. Once this occurs, the perturbations from the Bianchi I model would not grow and the chaotic oscillations will cease. Thus, the solution will remain in this epoch and the initial singularity is then approached monotonically.\n\nBy considering those classes of theories in which only one curvature scalar - $\\Phi$, say - contributes a time scale to the Lagrangian, one can solve for the time coordinate $t$ in terms of the scalar $\\Phi$. In this way, time derivatives may be eliminated and the field equations may be re-written in terms of $\\Phi$, the Lagrangian $f(\\Phi)$, and its derivatives with respect to $\\Phi$. The resultant differential equation(s) can then be solved to find all possible forms of $f$. This technique, which was also used by Dunsby et al. in $f(R)$ theories \\cite{dunsby}, allows us to find all possible exact Kasner-like vacuum solutions within this general class of Lagrangians, with one exception, which may be dealt with separately. This exception is when quantity which usually determines the time scale becomes independent of time for some special choice of the parameters $p_{\\alpha}$. For example, in general for the metric (\\ref{kas}), the scalar curvature, $R$, is proportional to $t^{-2}$, and so in the context of $f(R)$ models one can substitute for the time coordinate $t$ using $R$, but it is necessary to consider separately those possible solutions with $R=0$.\n\nAs a consequence, we will find that the subset of metrics for which the curvature scalars are independent of time plays an important role and it is useful to discuss those metrics briefly now. Note from the expressions (\\ref{eq:x}), (\\ref{eq:y} and (\\ref{eq:z}), the scalars $R, R_{ab}R^{ab}$ and $R_{abcd}R^{abcd}$ are only constants if and when they are zero. A special case within this class of metrics is flat Minkowski space, which may be respresented by the metric (\\ref{kas}) with $p_{\\alpha}=0$, that is to say $g_{ab}=\\eta_{ab}$, for which the Riemann tensor, $R_{abcd}$, is identically zero, and thus $X=Y=Z=0$. This is a solution in all theories for which $f(0,0,0)=0$ and the discussion in subsequent sections will be concentrated on metrics describing curved spacetimes.\n\nBy expressing the Kretschmann scalar, $Z \\equiv R_{abcd}R^{abcd}$, as \\begin{equation*}\nZ=\\frac{4}{t^4}\\left(p_{1}\\!^{2}(p_{1}-1)^{2}+p_{2}\\!^{2}(p_{2}-1)^{2}+p_{3}\\!^{2}(p_{3}-1)^{2}+p_{1}\\!^2 p_{2}\\!^2+p_{1}\\!^2 p_{3}\\!^2+p_{2}\\!^2 p_{3}\\!^2 \\right) \\:,\n\\end{equation*}it can be seen that there are two possible real solutions to $Z=0$, given by Minkowski space, $p_{\\alpha}=0$, and $p_{1}=1, p_{2}=p_{3}=0$ (plus permutations). However, as we have seen, the latter solution is the Milne model, and is related to the former by the coordinate transformation $\\tau =  t \\cosh{x}, \\chi=t \\sinh{x}$.\nIn order to satisfy $Y \\equiv R_{abcd}R^{abcd}=0$, real solutions must have either $H=J=0$ or $H=J=1$. The only possibility in the former case is Minkowski space. The latter are the well-known Kasner solutions of general relativity \\cite{kasner}. Thus, $Z=0$ implies that $Y=0$.\n\n\nSolutions for which the scalar curvature, $X \\equiv R$, is zero require $J=2H-H^{2}$ and thus $Y=0$ implies that $X=0$. From this equation for $J$, one can see that real solutions must satisfy the constraint $J \\leq 1$. Furthermore, from our definitions, $J\\geq \\frac{H^2}{3}$ for all real-valued choices of the constants $p_{\\alpha}$, and so it is also necessary that $0\\leq H \\leq 3\/2$. According to these constraints, we see that the spacetime volume of any solution of this form must expand no faster than $t^{3\/2}$, and that the expansion rate in any one direction can be no faster than $t$. Finally, we note that solutions with $X=0$ and $H \\leq 1$ cannot have all three Kasner exponents positive and, except for Minkowski space and the Milne model, at least one exponent must be negative. This is the situation in general relativity and, except for the two cases above, implies that although the spacetime volume is expanding, space must be contracting in one direction. In contrast, if $X=0$ but $1 < H <3\/2$, then it is possible for all the Kasner exponents to be distinct and positive. Thus, as we have discussed, these solutions can avoid the infinite series of chaotic oscillations between different Kasner epochs on approach to the initial cosmological singularity seen in the BKL picture. The only solution with $X=0$ and $H=3\/2$ is the isotropic solution with $p_{1}=p_{2}=p_{3}=1\/2$.\n\nIn what follows, we shall consider in turn several commonly-studied classes of higher-order theories of gravity, obtaining the forms of the Lagrangian within these classes for which solutions of the form (\\ref{kas}) exist, and the conditions which the Kasner exponents are subject to in each case.\n\n\\subsection{$f=f(R)$}\nIf the Lagrangian depends on the scalar curvature only, $f=f(R)$, then it is well-known to be conformally equivalent to general relativity with a minimally coupled scalar field \\cite{conformal}. Thus, one does not expect a large range of anisotropic behaviour to be possible in such models; indeed for the case of quadratic corrections to the Einstein-Hilbert Lagrangian it is precisely the presence of the Ricci term, $R_{ab}R^{ab}$, which permits the existence of the anisotropic Bianchi I solutions found by Barrow and Hervik \\cite{hervik}.\n\nThe vacuum field equations are $P^a_b=0$, where, for the Kasner-like metric given by (\\ref{kas}), we have\n\\begin{eqnarray}\nP^0_0 &=& -\\frac{t^2 f+2(H - J)f_{R} + 2Ht \\dot{f_{R}}}{2t^2} \\: ,\\\\\nP^{\\alpha}_{\\alpha} &=& \\frac{-3t^2 f+2 H(H-1)f_R -4Ht\\dot{f_R}-6t^2 \\ddot{f_R}}{2t^2} \\:  ,\\\\\nP^{\\mu}_{\\mu}-P^{\\nu}_{\\nu} &=& \\frac{1}{t^2}(p_{\\mu} -\np_{\\nu}) \\left( (H-1)f_{R} + t\\dot{f_R} \\right )  \\qquad \\mbox{and} \\label{eq:anisor}\\\\\nR &=& \\frac{J-2H+H^2}{t^2} \\: ,    \\label{eq:r}\n\\end{eqnarray}where $\\mu, \\nu$ in equation (\\ref{eq:anisor}) for the anistropic stress are not indices to be summed over, but instead are used to label the Kasner exponents, taking values from $1$ to $3$. Otherwise summation convention is used as normal. Recall that we may allow $f$ to contain a cosmological constant term, $f_{R}$ is used to denote $\\frac{df}{dR}$ and overdots represent derivatives with respect to the coordinate time, $t$.\n\nGiven the form of equation (\\ref{eq:anisor}), in what follows we shall consider separately the situations where the metric is isotropic and where it is anisotropic, both for vacuum and with the inclusion of a perfect fluid.\n\n\\subsubsection{Isotropic power-law vacuum solutions}\nIf all the Kasner exponents are equal, the solution is isotropic, with $p_{1}=p_{2}=p_{3}=\\frac{H}{3}$,\n$R=\\frac{2H(2H-3)}{3t^2}$ and there is only one independent field equation:\n\\begin{equation} 3t^2 f-2H(H-3) f_{R}+ 6Ht\\dot{f_{R}} = 0 \\: .\n\\end{equation}\nFor a particular theory, that is to say a particular choice of $f(R)$, this equation\nmight appear to provide a constraint on $H$, the one free constant remaining.\nHowever, in general, it is algebraic in $H$ \\textit{and} $t$ and therefore one\nwill not always be able to find \\textit{constant} solutions of this equation\nfor $H$; in fact such solutions are rare.\n\nFor models with Lagrangians of the form $f=f(R)$, it is possible to summarise the full set of possible isotropic power-law vacuum solutions, and the conditions on the function $f$ for these to be valid, using the classification in table \\ref{tab:isoRv}.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n    \\begin{tabular}{ l || l | p{9.5cm} }   \nClass & Solution & Validity \\\\[2pt] \\hline \\hline \n\\textbf{0} & $H=0$ & Minkowski space is a vacuum solution in any model with $f(0)=0$. \\\\[4pt]\n\\textbf{I} & $H=3\/2$ & This solution, analagous to the radiation-dominated Friedmann universe of General Relativity, is a solution of the \\textit{vacuum} field equations for any model satisfying $f(0)=0$ and $f_{R}(0)=0$. \\\\[4pt]\n\\textbf{II} & $H=\\frac{3(2n-1)(n-1)}{2-n}$ & This class of solutions is possible if and only if the Lagrangian takes the form\n$f=\\alpha_{n} R^{n}+\\alpha_{m} R^{m}$, where $n \\notin \\{0,5\/4,2 \\}$, $m=\\frac{4n-5}{2(n-2)}$ and $\\alpha_{n}, \\alpha_{m}$ are constants, with $\\alpha_n \\neq 0$. These solutions are expanding to the future if $n< 1\/2$ or $1<n<2$. \\\\\n\\end{tabular}\\caption{Isotropic power-law vacuum solutions in $f(R)$ gravity.}\\label{tab:isoRv}\n\\end{center}\n\\end{table}\n\nThe class II solutions were found previously in \\cite{clifton1} in the context of models where the Lagrangian is a power of the scalar curvature, $f=R^n$. However, it is important to note that for all such models with $n>1$, the solution of class I, which has zero scalar curvature, also solves the vacuum field equations, a fact which was not stressed in \\cite{clifton1}. Furthermore, for any model in which the Lagrangian may be written as a power series in $R$, a non-zero linear term (i.e. an Einstein-Hilbert term) in the series precludes the possibility of isotropic power-law vacuum solutions other than Minkowski space.\n\n\\subsubsection{Isotropic power-law solutions with a perfect fluid}\nLet us now consider a universe filled with a comoving perfect fluid, with equation of state $p= w \\rho$, and energy density evolving as $\\rho (t) = \\rho_0 t^{-H(1+w)}$, where $\\rho_0$ is a constant. The possible isotropic power-law solutions of the field equations for a Lagrangian of the form $f=f(R)$ are similar to those found in the vacuum case and are summarised in table \\ref{tab:isoRf}.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n    \\begin{tabular}{ l || l | l | p{6cm} } \nClass & Solution & Equation of state & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $H=3\/2$ & $w=1\/3$ & This is a solution in any model satisfying $f(0)=0$ and $f_{R}(0)= constant \\neq 0$.  \\\\[4pt]\n\\textbf{II} & $H=\\frac{2n}{1+w}$ & $w \\neq -1$  & This class of solution exists iff the Lagrangian is a power of the scalar curvature, $f=\\alpha_{n} R^{n}$, where $n \\neq 0$ and $\\alpha_{n}$ is a constant. \\\\[4pt]\n\\textbf{III} & $H=\\frac{3(2n-1)(n-1)}{2-n}$ & $w=-1+\\frac{2p(2-n)}{3(2n-1)(n-1)}$ & This is a solution iff the Lagrangian takes the form\n$f=\\alpha_{n} R^{n}+\\alpha_{m} R^{m}+\\alpha_{p}R^{p}$, where $n \\notin \\{0,5\/4,2 \\}$, $m=\\frac{4n-5}{2(n-2)}$ and $\\alpha_{p}\\neq0 , \\alpha_{n}$ and $\\alpha_{m}$ are constants. For power-law Lagrangians ($\\alpha_m=\\alpha_n=0$), this solution reduces to a subset of the class II solutions. \\\\\n\\end{tabular}\\caption{Isotropic power-law solutions in $f(R)$ gravity with a comoving perfect fluid.} \\label{tab:isoRf}\n\\end{center}\n\\end{table}\n\nThe solution of class I is analagous to the radiation-dominated Friedmann universe of General Relativity, and also to the class I \\textit{vacuum} solution when an extra Einstein-Hilbert term is added to the Lagrangian.\n\nIt is apparent that the vacuum solutions found in the previous section correspond to fluid-filled solutions with an appropriate extra curvature term in the Lagrangian.\n\n\\subsubsection{Anisotropic vacuum solutions}\nWe have seen that if the Lagrangian is a function of the scalar curvature only, $f=f(R)$, there is a strong constraint on its form for the\nexistence of exact isotropic power-law solutions. We shall now turn our attention to the situation\nfor anisotropic Kasner-like solutions within these models, the main focus of this paper. In this case, the vacuum field equations can be reduced to \\begin{eqnarray}\n(H-1)f_{R}+t\\dot{f_{R}} &=& 0 \\label{c1} \\: , \\\\\nf &=& 0 \\label{c2} \\: ,\\\\\nRf_{R} &=& 0  \\label{c3} \\: .\n\\end{eqnarray}\n\nIf the arbitrary function $f$ is non-trivial and algebraic in the scalar curvature, $R$, then the only possible solutions for $R$ of $f(R)=0$ must be constants, and therefore any such solution satisfies $R=0$ and thus $J=2H-H^2$. Recall that from our definitions, solutions with zero scalar curvature for which the constants $p_{\\alpha}$ take real values must satisfy the constraints $0\\leq H \\leq 3\/2$ and $J \\leq 1$. According to these constraints, we see that the spacetime volume of any solution of this form must expand no faster than $t^{3\/2}$, and that the expansion rate in any one direction can be no faster than $t$.\n\n\nWhilst $f(0)=0$ is a necessary condition for a $f(R)$ model to contain anisotropic Kasner-like solutions in vacuum, and this also implies that equation (\\ref{c3}) is satisfied at $R=0$, it is not sufficient, since $f_R(0)$ is model-dependent. Thus it is not guaranteed that there will be solutions of equation (\\ref{c1}) with \\textit{constant} $H$ in models where $f_R(0)$ diverges; in this case, solutions will only exist if the divergent part of the Lagrangian is a power of the scalar curvature. If, however, $f_{R}(0)$ is zero, then equation (\\ref{c1}) is satisfied trivially. If $f_R(0)$ is a non-zero constant, as is the case in general relativity, defined by $f(R)=R$, then this gives the extra constraint $H=1$, whence $J=1$ and the only possible solutions are those of general relativity.\n\nTo exemplify the situation, we could consider a Lagrangian which can be expanded as a power series about $R=0$. A non-zero linear term - an effective Einstein-Hilbert term - in the series precludes the possibility of anisotropic Kasner-like vacuum solutions other than the general relativistic one, with $H=J=1$, whilst a non-zero constant term - an effective cosmological constant - would preclude the possibility of these solutions altogether.\n\nA summary of the conditions that must be satisfied by the model in order for solutions of this kind to exist and classification of the possible solutions is given in table \\ref{tab:kasR}.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n    \\begin{tabular}{ l || p{3cm} | p{9cm} } \nClass & Solution constraints & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $J=2H-H^2$ & These solutions are possible if $f(0)=0$ and $f_{R}(0)=0$. The exponents $p_{\\alpha}$ are real provided $0\\leq H \\leq 3\/2$. \\\\[4pt]\n\\textbf{II} & $H=J=1$  & If the model satisfies $f(0)=0$, but $f_{R}(0)$ is a non-zero constant, then the extra constraint from equation (\\ref{c1}) means that only this subset of the first class of solutions is possible. These are the solutions for the case of general relativity, $f(R)=R$. \\\\[4pt]\n\\textbf{III} & $H=2n-1$, \\newline $J=(2n-1)(3-2n)$ & This subset of the first class of solutions is relevant if $f(0)=0$, but $f_{R}(0)$ diverges due to a term which is a power of the scalar curvature. Thus, the Lagrangian is required to be of the form $f=\\alpha R^n+ \\hat{f}(R)$, with $0<n<1$ and $\\hat{f}(0)=\\hat{f}_R(0)=0$, although $\\hat{f}$ need not be identically zero. These solutions are complex and of limited physical interest if $n < 1\/2$. \\\\\n\\end{tabular} \\caption{Kasner-like vacuum solutions in $f(R)$ gravity.} \\label{tab:kasR}\n\\end{center}\n\\end{table}\n\nThe first class of solutions contains a subset for which all the Kasner indices may be positive; this is possible if $1<H<3\/2$.  We have seen that the existence of such solutions means that the infinite series of chaotic oscillations on approach to the initial singularity in the more general Bianchi type IX Mixmaster universe can be avoided. \n\nThe third class of these solutions are relevant for models in which the Lagrangian is an arbitrary power of the scalar curvature, $f=\\alpha R^n$, and were found in that context by Clifton and Barrow \\cite{clifton1}. However, for $n>1$, we have found here that there are additional exact Kasner-like solutions corresponding to $R=0$ which do not necessitate that $H=2n-1$ and are subject only to $J=2H-H^2$.\n\n\n\\subsubsection{Anisotropic solutions with perfect fluid}\nIt is interesting to also include the possibility of a comoving perfect fluid with a barotropic equation of state, $p=w \\rho$. The energy density of the fluid is given by\n\\begin{equation}\n \\rho = \\rho_0 t^{-H(1+w)} \\: .\n\\end{equation}\nIf the fluid is comoving, the spatial part of the energy-momentum tensor is isotropic and so equation (\\ref{c1}) still holds. This can be solved to give $f_R \\propto t^{1-H}$ and the remaining field equations simplify to\n\\begin{eqnarray}\n \\rho(1+w) &=& -R f_R  \\: ,\\\\\nw \\rho &=& -f\/2 \\:  .\n\\end{eqnarray}\nThe only solutions of these equations with constant non-zero energy density correspond to a cosmological constant, which was considered together with the vacuum case in the previous section. For all other fluid-filled solutions, $\\rho \\propto t^{-H(1+w)}$ and $R \\propto t^{-2}$, and thus the field equations can only have a solution of this sort if the Lagrangian is a power of the scalar curvature, $f(R)=R^n$, for some $n \\in \\mathbb{R} \\backslash \\{0\\}$, and $R \\neq 0$. For $f=R^{1\/2}$, the right hand sides of the above equations are identically equal, hence to allow a non-zero energy density, we further require $n \\neq 1\/2$.\n\nFor all $n \\neq 1\/2$, these equations have the solution $H=2n-1, w=(2n-1)^{-1}$. Since these solutions need $R \\neq 0$, it is also required that $J \\neq (2n-1)(3-2n)$, but otherwise it is unrestricted. \n\n\\subsubsection{Examples of solutions for specific choices of $f(R)$}\nTo summarise the results of the previous sections, in table \\ref{tab:existR} we consider some of the more commonly-studied choices for the Lagrangian, $f(R)$, and state whether these models contain Minkowski space, isotropic power-law solutions, and exact anisotropic Kasner-like solutions, both in vacuum and in the presence of a comoving perfect fluid, according to the classifications given in the preceeding sections. We include the choices of power-law Lagrangians \\cite{clifton1}, and two exact $f(R)$ models which have recently been proposed, by Starobinsky \\cite{starob2}, and by Hu and Sawicky \\cite{hu}. These models are of particular interest since they provide viable cosmologies and evade the known constraints on the form of $f(R)$ from solar system tests. They are given by\n\\begin{eqnarray}\nf(R) = f_{\\text{Star}}(R) & \\equiv & R-\\lambda R_{0}\\left(1-\\left(\\frac{1}{1+(R\/R_{0})^2}\\right)^{n}\\right) \\quad \\text{and}\\\\\nf(R) = f_{\\text{Hu}}(R) & \\equiv & R+\\lambda R_{0}\\frac{(R\/R_{0})^n}{1+\\alpha (R\/R_{0})^n}\n\\end{eqnarray}\nrespectively. The parameter $n$ is taken to be positive for both the Starobinsky and the Hu-Sawicky models, in order to ensure their viability with observations.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n\\begin{tabular}[ht]{l||c|c|c|c|c}\n $f(R)$ & Minkowski & \\multicolumn{2}{c|}{Power-law} & \\multicolumn{2}{c}{Kasner}\n\\\\\n & & in vacuum & with fluid & in vacuum & with fluid \\\\ \\hline\\hline\n $R$ & $\\checkmark$ & $\\times$ & Class I, II & Class II & $\\checkmark$  \\\\\n $R+\\Lambda$ & $\\times$ & $\\times$  & $\\times$    & $\\times$ & $\\times$ \\\\\n $R+\\alpha R^{2}$ & $\\checkmark$ & $\\times$ & Class I,III  & Class II & $\\times$ \\\\\n $R+\\alpha \/R$ & $\\times$ & $\\times$ & Class III  & $\\times$ & $\\times$ \\\\\n $R^{n}, n<0$ & $\\times$ & $\\times$ & Class II & $\\times$ & $\\checkmark$  \\\\\n $R^{n}, 0<n<\\frac{1}{2}$ & $\\checkmark$ & Class II & Class II & $\\times$ & $\\checkmark$ \\\\\n $R^{1\/2}$ & $\\checkmark$ & $\\times$ & $\\times$ & $\\times$ & $\\times$ \\\\\n $R^{n}, \\frac{1}{2}<n<1$ & $\\checkmark$ & Class II & Class II & Class III & $\\checkmark$  \\\\\n $R^{n}, n>1$ & $\\checkmark$ & Class I, II & Class II & Class I & $\\checkmark$  \\\\\n   $\\exp{(R\/R_{0})}$ & $\\times$ & $\\times$ & $\\times$     & $\\times$ & $\\times$ \\\\\n $f_{\\text{Star}}$ & $\\checkmark$ & $\\times$ & Class I     & Class II & $\\times$ \\\\\n $f_{\\text{Hu}}, n \\geq 1$ & $\\checkmark$ & $\\times$ & Class I     & Class II & $\\times$ \\\\\n   $f_{\\text{Hu}}, 1>n>0$ & $\\checkmark$ & $\\times$ & $\\times$     & $\\times$ & $\\times$ \\\\\n   $f_{\\text{Hu}}, n<0$ & $\\times$ & $\\times$ & $\\times$     & $\\times$ & $\\times$    \n\\end{tabular} \\caption{The existence of power-law and Kasner-like solutions in various models of $f(R)$ gravity.}   \\label{tab:existR}\n \\end{center}\n\\end{table}\n\n\n\\subsubsection{Remarks}\nFriedmann-Robertson-Walker power-law solutions in $f(R)$ gravity with a perfect fluid were investigated in \\cite{dunsby}. There, it was claimed that the only possible form of Lagrangian which admits these solutions and has the correct general relativistic limit is a power-law, $f=R^n$. In fact, there is another class of isotropic power-law solution (type I in our classification) corresponding to a radiation-filled universe, which is possible in any theory for which $f(0)=0$ and $f_{R}(0)$ is constant, however comoving perfect fluids with other equations of state are not possible. Furthermore, we have seen here that it is only the $R^{n}$ Lagrangians which allow anisotropic Kasner-like solutions with a perfect fluid. We can see, therefore, that these $R^{n}$ theories of gravity are special in admitting this sort of solution. Some Bianchi type I, III and Kantowski-Sachs solutions in $f(R)$ gravity have also been investigated recently by Farasat Shamir \\cite{Shamir:2010ee}.\n\nAnisotropic singularities of Bianchi Type I were recently studied in the context of more general Lagrangians of the type $f(R, \\phi, \\chi)$, with $\\chi = -\\frac{1}{2} g^{ab} \\partial _{a} \\phi \\partial _{b} \\phi$ \\cite{saa}, with particular focus on the anistropic instabilities related to the existence of the hypersurface $\\frac{\\partial f}{\\partial R} =0$ and solutions being able to cross this surface, leading to questions about the viability of these models. Here, it has been shown that exact anisotropic Kasner-like solutions in $f(R)$ theories must have $R=0$ and although they can live on the hypersurface defined by $\\frac{\\partial f}{\\partial R} =0$, they cannot cross it.\n\n\\subsection{$f=f(R^{ab}R_{ab})$}\nLet us now consider the case where the Lagrangian is a function of the Ricci invariant only. For isotropic cosmologies, the contributions to the field equations from the simplest such term, $R_{ab}R^{ab}$, are proportional to those from a term quadratic in the scalar curvature, $R^2$. However, this is not true more generally, and the Ricci term allows much more diverse anisotropic behaviour \\cite{hervik}.\n\n  For this class of theories, the relevant field equations for the metric (\\ref{kas}) in vacuum are $P^{a}_{b} = 0 $, where\n\\begin{eqnarray}\nP^0_0 & = & \\frac{1}{2t^4}\\left(-t^4 f +\n 2 (-H^2 + H^3 - HJ +2J^2-J) f_{Y} + 2(H^2 + J - 2 HJ) t \\dot{f_{Y}} \\right)\\: ,\\label{eqY1}\n\\\\\nP^{\\mu}_{\\mu}-P^{\\nu}_{\\nu} &=& \\frac{1}{t^4}(p_{\\mu} -\np_{\\nu}) \\left(2 (H-3)(J - 1) f_{Y} + (-4 + 2 J + 3 H - H^2)t\n\\dot{f_Y}+(1-H) t^2 \\ddot{f_{Y}} \\right)  \\label{eqY3} \\: , \\end{eqnarray}\nwhere as before $\\mu, \\nu$ in equation (\\ref{eqY3}) for the anistropic stress are not indices to be summed over, but are used here as labels, taking values from $1$ to $3$. Otherwise summation convention is used as normal. Recall that $f_{Y}$ is used to denote $\\frac{df}{dY}$ and overdots represent derivatives with respect to the time coordinate $t$. The Ricci term is given by\\begin{equation}\nY \\equiv R_{ab}R^{ab} = \\frac{J(H-1)^2+(J-H)^2}{t^4}  \\, .\\label{Y}\n\\end{equation}\n\nIt is useful to recall our earlier observation that for real-valued choices of the constants $p_{\\alpha}$, the Ricci term, $Y$, takes non-negative values, and is zero if and only if $H=J=1$ or $H=J=0$.\n\n\\subsubsection{Isotropic power-law solutions}\nFor $f=f(Y)$, and the special case of an isotropic metric, $p_{1}=p_{2}=p_{3}=H\/3$, so that $J=H^2 \/3$, the\nequations reduce to:\n\\begin{equation}\n-9 t^4 f + 4H^2((-6 + 3 H + H^2) f_Y - 3 (H-2) t \\dot{f_Y}) = 0 \\:  .\n\\end{equation}\nBy an argument analagous to that used before for the $f(R)$ theories, $f(Y)$ can be zero for all times only if $Y$ is a constant, and therefore zero. Using (\\ref{Y}), it is clear that Minkowski space is the only real isotropic power-law solution for which $Y=0$. If $Y$ is non-zero, then one can eliminate the time variable $t$ and instead consider this equation as a differential equation in $Y$. It may then be integrated to find that, in order to admit solutions of this sort, the Lagrangian is required to be of the form of a power of the Ricci invariant, or possibly a sum of two such terms.\n\nWe can now summarise the existence conditions for vacuum solutions of this type for theories with Lagrangians of the form $f=f(Y)$, using the definitions $H_{\\pm}(m)\\equiv \\frac{3- 9 m + 12 m^2 \\pm \\sqrt{3(-1 + 10 m - 5 m^2 - 40 m^3 + 48m^4)}}{2(1-m)}$ and $n_{\\pm}(m) \\equiv\n\\frac{2m-1}{2(m-1)}+\\frac{1}{2 + 10 m - 24 m^2 \\mp\n 2\\sqrt{3(-1 + 10 m - 5 m^2 - 40 m^3 + 48 m^4)}}$. This is found in table \\ref{tab:isoY}.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n    \\begin{tabular}{ l || l | p{9cm} } \nClass & Solution & Validity \\\\[2pt] \\hline \\hline \n\\textbf{0} & $H=0$ & Minkowski space is a solution in any model with $f(0)=0$. \\\\[4pt]\n\\textbf{I} & $H=3\/2$ & This is a solution if the Lagrangian is linear in $Y$, $f(Y) = \\alpha Y$, where $\\alpha$ is a non-zero constant.  \\\\[4pt]\n\\textbf{IIa} & $H=H_{+}(m)$ & This solution is possible if and only if the Lagrangian takes the form\n$f=\\alpha_{m} Y^{m}+\\alpha_{n} Y^{n}$, where $m \\neq 1$, $n=n_{+}(m$ and $\\alpha_{n}, \\alpha_{m}$ are constants, with $\\alpha_m \\neq 0$. These solutions are expanding to the future if $m<1$ \\\\[4pt]\n\\textbf{IIb} & $H=H_{-}(m)$ & This solution is possible if and only if the Lagrangian takes the form\n$f=\\alpha_{m} Y^{m}+\\alpha_{n} Y^{n}$, where $m \\neq 1$, $n=n_{-}(m)$ and $\\alpha_{n}, \\alpha_{m}$ are constants, with $\\alpha_m \\neq 0$. These solutions are expanding to the future if $m<1\/4$ or $m>1\/2$.\\\\\n\\end{tabular} \\caption{Isotropic power-law vacuum solutions in $f(R_{ab}R^{ab})$ gravity.} \\label{tab:isoY}\n\\end{center}\n\\end{table}\n\nAs with the situation for the Lagrangian $f=R^2$, we see that the radiation-dominated Friedmann universe of General Relativity is a vacuum solution of the higher-order quadratic theory. \n\nWhilst $H_{+}$ is unbounded as $n\\rightarrow \\pm \\infty$, $H_{-}$ is bounded and tends to $2$ in both these limits. For power-law Lagrangians in the Ricci term, both class IIa and IIb solutions are valid; these were found in \\cite{clifton2} and their stability on approach to the initial singularity under small perturbations of the metric was previously studied in \\cite{midd2}.\n\n\n\\subsubsection{Anisotropic vacuum solutions}\nFor anisotropic Kasner-like solutions, we again consider separately the cases $Y=0$ and $Y \\neq 0$, so that in the latter scenario, we can replace the time variable $t$ and treat the field equations (\\ref{eqY1}-\\ref{eqY3}) as differential equations in the Ricci term, $Y \\equiv R_{ab}R^{ab}$. Similarly to the situation for isotropic power-law metrics in these theories, anisotropic solutions of the field equations with $Y \\neq 0$ can only exist if the Lagrangian for the theory is a power of the Ricci term, with $f=\\alpha Y^n$.\n\nThe conditions for the existence of anisotropic Kasner-like solutions within this class of theories and the constraints that must be satisfied by the Kasner indices may be summarised as in table \\ref{tab:kasY}.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n    \\begin{tabular}{ l || p{4cm} | p{8cm} } \nClass & Solution constraints & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $H=J$ & There is a family of anisotropic solutions of this sort if $f(Y)=\\alpha Y^{1\/2}$.  The Kasner exponents $p_{\\alpha}$ are real provided that $0\\leq H \\leq 3$. \\\\[4pt]\n\\textbf{II} & $H=J=1$  & These solutions require that $f(0)=0$, and also that $f_{Y}(0)$ either converges to a constant or diverges slower than $Y^{-1\/2}$. \\\\[4pt]\n\\textbf{III} & $H=(1-2n)^2$, \\newline $J=(1-2n)(1-6n+4n^2)$ & These are solutions for Lagrangians of the form $f(Y) = \\beta Y^n$. In order for the Kasner exponents to be real, it is needed that $(1-2n) (1- 6n + 4n^3) \\geq 0$. \\\\\n\\end{tabular} \\caption{Kasner-like vacuum solutions in $f(R_{ab}R^{ab})$ gravity.} \\label{tab:kasY}\n\\end{center}\n\\end{table}\n\nThe first class of solutions have real Kasner exponents provided $0\\leq H \\leq 3$. The volume of these solutions can thus expand no faster than $t^{3}$, but the individual exponents must lie in the range $\\frac{1}{2}\\left( 1-\\sqrt{3}\\right) \\leq p_{\\alpha} \\leq \\frac{1}{2}\\left( 1+\\sqrt{3}\\right)$, and so the expansion may be faster than the speed of light in a particular direction.\n\nThe second class of solutions are the general relativistic solutions, with $H=J=1$; we have seen that these are the only anisotropic metrics of Kasner type for which the Ricci term is zero. It is interesting to compare these with the class II anisotropic vacuum solutions found in the previous section for $f(R)$ models, which also have $H=J=1$. In that context the solutions require that $f_{R} (0)$ is constant, and thus $f \\sim R$ as $R \\rightarrow 0$, whilst here $f \\sim Y^{1\/2}$ (or higher powers) as $Y \\rightarrow 0$.\n\nThe third class are the solutions found in \\cite{clifton2}, in which theories where the Lagrangian is a power of the Ricci term were previously investigated. The condition that the third class of solutions have real exponents is satisfied if either $n_{1} \\leq n \\leq n_{2}$ or $1\/2 \\leq n \\leq n_{3}$, where $n_{1}, n_{2}$ and $n_{3}$ are the roots of $(1- 6n + 4n^3)=0$, chosen such that $n_{1}<n_{2}<n_{3}$. These roots have approximate numerical values $n_{1}\\approx -1.30,  n_{2} \\approx 0.17$ and $n_{3} \\approx 1.13$. These boundaries correspond to isotropic solutions and one can see their relevance for the existence of isotropic solutions in \\cite{midd2}. For $n>0$, both $H$ and $J$ must be less than unity, and so for positive $n$ the expansion of the solution cannot accelerate. However, $H>1$ for these solutions if $n<0$, and in particular for models with $ n_{1} \\leq n \\leq \\frac{1}{2}\\left( 1-\\sqrt{3}\\right)$, $H$ will be greater than $3$ and so the volume of the spacetime must increase faster than $t^{3}$ and undergo an accelerated expansion. Whilst this third class of solutions includes the special case of quadratic gravity defined by $n=1$, it is easy to see that the conditions give the second class of solutions, $H=J=1$, and there is no additional set of solutions in this case. \n\n\n\\subsubsection{Examples for specific $f(R^{ab}R_{ab})$}\nWe are now able to summarise the possible vacuum Kasner-like solutions for various choices of Lagrangian of the form $f(Y)$. In table  \\ref{tab:existRic}, we consider several more common examples of this type of model and detail whether they allow isotropic power-law or Kasner-like solutions in vacuum, according to the classification systems we have used in the preceeding sections. In this table, use is also made of the definitions given in the previous section; recall that $n_{1}, n_{2}$ and $n_{3}$ are the roots of $(1- 6n + 4n^3)=0$, chosen such that $n_{1}<n_{2}<n_{3}$, and have approximate numerical values $n_{1}\\approx -1.30,  n_{2} \\approx 0.17$ and $n_{3} \\approx 1.13$.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n\\begin{tabular}[ht]{l||c|c|c}\n\n {$f(Y)$} & Minkowski & Power-law & Anisotropic Kasner \\\\ \\hline\\hline\n $Y$ & $\\checkmark$ & Class I & Class II \\\\\n $Y+\\Lambda$ & $\\times$ & $\\times$      & $\\times$ \\\\\n $Y^{n}, n<n_{1} $ & $\\times$ & Class II & $\\times$ \\\\\n $Y^{n}, n_{1}<n<0 $ & $\\times$ & Class II & Class III \\\\\n $Y^{n}, 0<n<n_{2} $ & $\\checkmark$ & Class II & Class II,III \\\\\n $Y^{n}, n_{2}<n<\\frac{1}{2} $ & $\\checkmark$ & Class II & Class II \\\\\n $Y^{1\/2}$ & $\\checkmark$ & Class II   & Class I \\\\\n $Y^{n}, \\frac{1}{2}<n<n_{3}, n\\neq 1 $ & $\\checkmark$ & Class II & Class II, III \\\\\n $Y^{n}, n_{3}<n$ & $\\checkmark$ & Class II  & Class II \\\\\n $Y+\\alpha Y^2$ & $\\checkmark$ & $\\times$      & Class II \\\\\n $exp(Y\/Y_{0})$ & $\\times$ & $\\times$      & $\\times$ \\\\\n $sin(Y\/Y_{0})$ & $\\checkmark$ & $\\times$      & Class II \n\\end{tabular}\\caption{The existence of power-law and Kasner-like vacuum solutions in various models of $f(R_{ab}R^{ab})$ theories of gravity.}     \\label{tab:existRic}\n\\end{center}\n\\end{table}\n\n\\subsection{$f=f(Z)$}\nFor functions of the Kretschmann scalar, $Z \\equiv R_{abcd}R^{abcd}$, only, the field equations for the metric (\\ref{kas}) in vacuum reduce to $P^{a}_{b}=0$, where\n\\begin{eqnarray}\n P^0_0\n &=& -\\frac{1}{2}f +2Z f_Z+\\frac{4}{t^4}(J-K)\\left((H-3)f_Z+t \\dot{f_Z}\\right)\\\\\nP^{\\mu}_{\\mu}-P^{\\nu}_{\\nu} &=& 2 \\frac{(p_{\\mu}-p_{\\nu})}{t^4} \\biggl(2 \\left(H-p_{\\mu}-p_{\\nu}\\right) t \\left((H-2) \\dot{f_Z}+t \\ddot{f_Z}\\right) + (3-H) (4 -2H + H^2- 3 J)f_Z \\nonumber \\\\\n&& + (-8 + 8H - 3 H^2+ 3 J)t\\dot{f_Z} + 2 (1 - H) t^2 \\ddot{f_Z}\\biggr) \\: , \\qquad \\text{with} \\label {eq:zaniso}\\\\\nZ\n&=& \\frac{(3J-H^2)^2 +12J+8K(H-3)}{3t^4} \\:  .\n\\end{eqnarray} Once again $\\mu, \\nu$ in equation (\\ref{eq:zaniso}) for the anisotropic stress are not indices to be summed, but are used to label the Kasner exponents, taking values from $1$ to $3$. Otherwise summation convention is used as normal. Recall that $f_{Z}$ denotes $\\frac{df}{dZ}$ and overdots are used to represent derivatives with respect to the time coordinate $t$.\n\nRecall also that, by expressing $Z$ explicitly in terms of the Kasner exponents, it can be seen that the only possible real solutions of $Z=0$ are Minkowski space and the Milne model, which may be defined by $p_{1}=1, p_{2}=p_{3}=0$ and is related to the Minkowski solution by the coordinate transformation $\\tau =  t \\cosh{x}, \\chi=t \\sinh{x}$. Thus, for all other Kasner-like metrics with $Z \\neq 0$, it is possible as before to substitute for the time variable $t$ using $Z$ and integrate to find the requirements on the Lagrangian $f=f(Z)$ in order to permit such metrics as solutions of the field equations. Using this method, it is found that in order for Kasner-like solutions to exist in vacuum, the Lagrangian must be a power of the scalar $Z$, or possibly a sum of two terms if they permit the same values of the Kasner exponents $p_{\\alpha}$. Such power-law Lagrangians were first investigated in \\cite{clifton2}.\n\n\\subsubsection{Anisotropic solutions}\nFor the previous two types of models that were considered, with $f=f(R)$ or $f=f(R^{ab}R_{ab})$, there was only one independent equation for the anisotropic stress. In contrast, for models with Lagrangians that are functions of the Kretschmann scalar, $f=f(R^{abcd}R_{abcd})$, there are in general \\emph{two} independent equations for the anisotropic stress. This appears to be due to the fact that the Kretschmann scalar cannot be expressed solely in terms of the parameters $H$ and $J$, unlike the scalar curvature and Ricci scalar. For the cases of interest, where the Lagrangian is specified by $f= \\alpha Z^n$, with $n \\neq 0$, these simplify to\n\\begin{eqnarray}\n0 &=& (p_{1}-p_{2}) (1+H-4n)(-4-3J + H(6+H-8n)+ 8n+8p_{3} (n-1)) \\: ,\\\\\n0 &=& (p_{2}-p_{3}) (1+H-4n)(-4-3J + H(6+H-8n)+ 8n+8p_{1} (n-1)) \\: .\n\\end{eqnarray}\nTogether, these imply that \n\\begin{equation}\n0 = (p_{1}-p_{2})(p_{1}-p_{3})(p_{2}-p_{3})(1+H-4n)(n-1) \\: , \\end{equation} and so fully anisotropic solutions with no two Kasner indices equal can be possible only if either $n=1$ or $H=4n-1$. However, substituting $H=4n-1$ into the remaining independent field equation $P^1_1=0$ leads to the further requirement that $Z=0$, for which we have seen that the only real solutions are Minkowski spacetime and the Milne model. The only other possibility for a fully anisotropic solution with $p_{\\alpha}$ all real and distinct is in the theory with $n=1$, i.e. $f=\\alpha Z$, a particular case of the commonly studied class of quadratic gravity theories, which will be discussed in more generality in the next section. Using the remaining independent field equation, such anisotropic solutions must have $H=J=1$. Recall that these were also solutions for the other special cases of quadratic gravity considered in the previous sections; $f=\\alpha R^{2}$ and $f=\\alpha Y$.\n\n\\subsubsection{Locally rotationally symmetric solutions}\nUnlike the situation for the previous two classes of model, with $f=f(R)$ or $f=f(R^{ab}R_{ab})$, there are, in general, two equations for the anisotropic stress in those models with $f=f(R^{abcd}R_{abcd})$. Consequently, in addition to the isotropic and fully anisotropic metrics one must also consider the scenario of locally rotationally symmetric (LRS) solutions which without loss of generality are described by $p_{2}=p_{3}=(H-p_{1})\/2$, $H\\neq 3p_{1}$.\n\nFor these LRS Kasner-like metrics, in the context of power-law Lagrangians, $f=\\alpha Z^n$, the field equations may be reduced to the two independent equations;\n\\begin{eqnarray}\n0&=& 8 - 8 p_{1} + 9 p_{1}\\!^2 - 4 H - 6 p_{1} H + H^2 + 8n(H+p_{1}-2) \\label{eq:lrs1}\\\\\n0 &=&  3 H^3 (n-1) - H^2 (4-23n-8n^2) +\n     2 H (1-2n)(20 -25n + 32 n^2) \\label{eq:lrs2}\\\\ && + (2n-1) (47-148n+128n^2) \n-     p_{1} (n-1) ((5 - 8 n) (13 - 16 n) - H (51 - 60 n)) \\: . \\nonumber \\end{eqnarray}\n\nFor all $n$, these equations are solved by $H=p_{1}=1$, giving $p_{2}=p_{3}=0$; this is the subset of the anisotropic solutions found in the previous section with $H=J=1$ which corresponds to the Milne model. For $n=1$ there are no other LRS solutions of this form. For $n \\neq 1$, the second of these equations is linear in $p_{1}$; substituting the solution one obtains for $p_{1}$ into the first equation gives a sixth order polynomial equation for $H$ in terms of $n$. However, factoring out the root $H=1$  leaves the fifth order polynomial:\n\\begin{eqnarray*}\n 0 &=& H^5 (n-1)^2 + H^4 (1-n) (15-41n + 8 n^2) +\n   H^3 (38 - 216 n + 283 n^2 + 56 n^3 - 80 n^4) \\\\ \n& & +\n   H^2 (-346 + 2156 n - 5421 n^2 + 7032 n^3 - 4560 n^4 + 896 n^5) \\\\\n&& + H (1-2n)^2 (653 - 2594 n + 3848 n^2 - 2688 n^3 + 1024 n^4)  \\\\\n&& - (1-2n)^2 (361 - 2104 n + 4768 n^2 - 4992 n^3 + 2048 n^4) \\:  . \n\\end{eqnarray*}\n\nConsequently, in addition to the Milne solution, there must always be at least one locally rotationally symmetric Kasner-like solution with real values for $p_{1}$ and $H$ for any real choice of $n$, other than $n=1$. For example, when $n=1\/2$, there is a solution given by $p_{1}=1, H=5$, giving $p_{2}=p_{3}=2$, whilst for $n=7\/8$ there are three real solutions, one of which is given by $p_{1}=-1\/2, H=1\/2$, so that $p_{2}=p_{3}=1\/2$. Thus it is dependent upon the choice of $n$ as to whether the signs of the Kasner exponents must all be positive or not. These solutions are new and were not found in \\cite{clifton2}.\n\n\n\\subsubsection{Isotropic power-law solutions}\nIn order to complete the discussion of this section, we consider the isotropic metrics, with $p_{1}=p_{2}=p_{3}=H\/3$. Except for Minkowski spacetime, which is a solution in any theory for which $f(0)=0$, the relevant equation for these metrics in vacuum in the context of a power-law Lagrangian, $f=\\alpha Z^n$, is\n\\begin{equation}\n0=-1+6n-8 n^2 + \\frac{2}{3}(1 - 2 n + 4 n^2) H + \\frac{2}{9} (n - 1) H^2 \\: . \\label{eq:isoz}\n\\end{equation} \nFor $n=1$, there is only one solution, with $H=3\/2$. For $n \\neq 1$, there are two solutions, given by\n\\begin{equation*}\nH=H_{\\pm} \\equiv \\frac{ \\left(-1 + 2 n -4n^2 \\pm \\sqrt{-1 +10n - 16 n^2 + 16n^4}\\right)}{6(n-1)} \\: ,\n\\end{equation*} which are real if $n\\leq n_{1} \\equiv -\\left(\\sqrt{5} + \\sqrt{3 + 2 \\sqrt{5}}\\right)\/4 \\approx -1.24$ or $n\\geq n_{2}\\equiv \\left(-\\sqrt{5} + \\sqrt{3 + 2 \\sqrt{5}}\\right)\/4 \\approx 0.12$.\n\nFinally, we note that if $H \\neq 3$, equation (\\ref{eq:isoz}) is quadratic in $n$ and so two values of $n$ correspond to the same value of $H$ and so Lagrangians which are a sum of two powers related by this equation also contain an isotropic power-law solution. Now $H=3$ for $n=\\frac{1}{4}$ and thus, for $f=\\alpha_{n} Z^n+\\alpha_{m} Z^m$, with $\\alpha_{n},\\alpha_{m} \\neq 0, (4n-1)(n-1)\\neq 0$ and $m=m_{\\mp} \\equiv \\frac{5-16n+20n^2 \\pm 3\\sqrt{-1+10n-16n^2+16n^4}}{8(4n-1)(n-1)}$, then there is a solution with $H=H_{\\mp}$.\n\n\\subsubsection{Summary}\n\nWe have seen that anisotropic Kasner-like solutions in higher-order theories of gravity where the Lagrangian depends only on the Kretschmann scalar, $Z \\equiv R_{abcd}R^{abcd}$, are possible only if the Lagrangian is of the form $f(Z)=Z^{n}$. Whilst it was claimed in an earlier work by Clifton and Barrow \\cite{clifton2} that there are no exact anisotropic solutions of the form (\\ref{kas}) in these theories, this is not quite correct. Firstly, for $n=1$, the Kasner solutions of general relativity, for which $H=J=1$, remain valid. This is to be expected, since the theory with $f=\\alpha Z$ is a special case of quadratic gravity and all vacuum solutions of general relativity must also be solutions of the pure quadratic theory \\cite{hervik2}. However, for all other values of $n$, fully anisotropic solutions of this form with the three Kasner exponents all real and distinct are not possibl\n. Nevertheless, for choices of $n$ other than $1$, we have seen that solutions which have local rotational symmetry but exhibit an anisotropic third spatial coordinate \\emph{are} possible and the Kasner indices are subject to equations (\\ref{eq:lrs1}) and (\\ref{eq:lrs2}). \n\nIn table \\ref{tab:existRiem}, these results are summarised to show whether isotropic power-law, locally rotationally symmetric and fully anisotropic Kasner-like solutions are possible for various choices of the Lagrangian $f(Z)$. Use is made of the definitions given in the previous section; $n_{1} \\equiv -\\left(\\sqrt{5} + \\sqrt{3 + 2 \\sqrt{5}}\\right)\/4 \\approx -1.24$ and $n_{2}\\equiv \\left(-\\sqrt{5} + \\sqrt{3 + 2 \\sqrt{5}}\\right)\/4 \\approx 0.12$.\n\n\\begin{table}[ht]\\small \n\\begin{center}\n\\begin{tabular}[ht]{l||c|c|c|c}\n$f(Z)$ & Minkowski & Power-law & LRS Kasner & Anisotropic Kasner \\\\ \\hline\\hline\n $Z$ & $\\checkmark$ & $\\checkmark$ & $\\times$ & $\\checkmark$ \\\\\n $Z+\\Lambda$ & $\\times$ & $\\times$ & $\\times$ & $\\times$ \\\\\n $Z^{n}, n <n_{1} $ & $\\times$ & $\\checkmark$ & $\\checkmark$ & $\\times$ \\\\\n  $Z^{n}, n_{1}<n <0 $ & $\\times$ & $\\times$ & $\\checkmark$ & $\\times$ \\\\\n   $Z^{n}, 0<n<n_{2} $ &$\\checkmark$ & $\\times$ & $\\checkmark$& $\\times$ \\\\\n  $Z^{n}, n>n_{2}, n\\neq 1 $ & $\\checkmark$ & $\\checkmark$ & $\\checkmark$ & $\\times$ \\\\\n $\\alpha Z^{n}+\\beta Z^{m_{\\pm}}, n>0, n\\neq \\frac{1}{4},1$ & $\\checkmark$ & $\\checkmark$ & $\\times$ & $\\times$ \n\\end{tabular} \\caption{The existence of power-law and Kasner-like vacuum solutions in various models of $f(R_{abcd}R^{abcd})$ theories of gravity.} \\label{tab:existRiem}\n\\end{center}\n\\end{table}\n\n\\subsection{Quadratic gravity; $f=\\kappa R+\\alpha R^2 +\\beta R_{ab}R^{ab} +\\gamma R_{abcd}R^{abcd} +\\Lambda$ \\label{quad}}\nThe theory of quadratic gravity, in which the Einstein-Hilbert Lagrangian of general relativity is supplemented by quadratic Riemann, Ricci and scalar curvature corrections, is a particularly interesting special case to consider. The Lagrangian is given by \\begin{equation}\nf=\\kappa R+\\alpha R^2 +\\beta R_{ab}R^{ab} +\\gamma R_{abcd}R^{abcd} +\\Lambda \\, . \\label{quadlag} \\end{equation} It was shown by Starobinsky \\cite{starob1} that addition of quadratic curvature corrections to the Einstein-Hilbert Lagrangian leads to the emergence of inflation. Furthermore, in contrast to general relativity, fourth-order gravity is renormalisable \\cite{stelle} and thus it is often motivated as a first-order quantum correction to Einstein's theory. A review of the history of the study of these models of gravity may be found in \\cite{schmidt2}. \n\nWithout loss of generality, one may immediately set $\\gamma=0$, since the Gauss-Bonnet term, defined by $G \\equiv  R^2-4R_{ab}R^{ab}+R_{abcd}R^{abcd}$, is a total divergence in four dimensions, so its variational derivative with respect to the metric does not contribute to the field equations. If the Ricci term is not present in the Lagrangian, i.e. $\\beta = 0$, then the theory is a special of the $f(R)$ theories studied earlier and, moreover, it is conformally equivalent to that of a minimally coupled scalar field in general relativity. Thus, one expects that the presence of the Ricci term in the Lagrangian might permit much more diverse anisotropic behaviour, as was found in \\cite{hervik}. The quadratic theory is scale-invariant iff $\\kappa \\Lambda = 0$ and conformally invariant iff $\\kappa = \\Lambda = 0$ and $3\\alpha+\\beta =0$.\n\nIn order to obtain the correct Newtonian limit in the slow-motion weak-field limit, it is necessary that the fourth-order terms contributed by the quadratic parts of the Lagrangian are exponentially vanishing, rather than oscillatory. To ensure that this is the case, the parameters must satisfy $\\beta \/ \\kappa \\leq 0$ and $(3\\alpha+\\beta)\/\\kappa \\geq 0$, with $\\kappa \\neq 0$.\n\n\\subsubsection{Field equations}\nFor the line element given by (\\ref{kas}), the vacuum field equations for the theory of quadratic gravity defined by the quadratic Lagrangian in equation (\\ref{quadlag}) are $P^{a}_{b}=0$, and the relevant independent quantities are given by \\begin{eqnarray}\nP^{a}_{a} &=& \\frac{1}{t^{4}}\\left((H^{2}-2H + J) (4 (H-3) (3 \\alpha + \\beta) - \n    \\kappa  t^2 ) + 4\\Lambda t^{4}\\right) \\\\\nP^{0}_{0}    &=& \\frac{1}{6t^{4}}\\bigl((3 J-H^2)\\left(3(J+H^{2})\\alpha +(3J-3+2H)\\beta \\right)+4H^{2}(2H-3)\\left(3\\alpha+\\beta \\right)  \\nonumber \\\\ && + 3(J-H^2) \\kappa t^2   + 6\\Lambda t^4  \\bigr) \\\\\n P^{\\mu}_{\\mu}- P^{\\nu}_{\\nu} &=& \\frac{1}{t^{4}}(p_{\\mu}-p_{\\nu})\\left((2 (H-3) ((H^{2}-2H + J) \\alpha + (J-1) \\beta) + (H-1)\\kappa t^2 \\right) \\, \\label{eq:qaniso} .\n\\end{eqnarray} \nAs before, $\\mu, \\nu$ in equation (\\ref{eq:qaniso}) for the anisotropic stress are not indices to be summed, but are used there as labels, taking values from $1$ to $3$. Otherwise summation convention is used as normal and overdots represent derivatives with respect to the coordinate time, $t$.\n\nOne can immediately see that the cosmological constant, $\\Lambda$, must be zero in order for any solutions of this sort to exist.\n\n\\subsubsection{$\\kappa \\neq 0$}\nIf the Einstein-Hilbert term is present in the Lagrangian, then the only possible isotropic power-law solution is Minkowski space, which requires $\\Lambda=0$. There is one family of anistropic solutions, that of general relativity, given by $H=J=1$, provided $\\Lambda =0$. In light of the results of the previous sections, this is not unexpected.\n\n\\subsubsection{$\\kappa = 0$}\nIn pure quadratic theories, with $\\kappa =0$, a non-zero energy-momentum tensor gives rise to a strong gravitational field and consequently spacetime is not asymptotically flat \\cite{pech}, but we include them for completeness of this discussion.\n\nAny isotropic solutions of the field equations require $\\Lambda =0$ and in general there are two such solutions; Minkowski space and the radiation-like solution with $H=3\/2$. For the special case of Weyl gravity, $3\\alpha +\\beta =0$, \\emph{all} power-law isotropic solutions are possible, since in the isotropic case, the contributions to the field equations from the $R^2$ and the Ricci terms in the Lagrangian are the same up to a constant multiple.\n\nThere are several possible families of anisotropic solutions; as we have pointed out they all require the cosmological constant, $\\Lambda$, to be zero. These solutions and the constraints that must be satisfied are summarised in table \\ref{tab:quad}\n\n\\begin{table}[ht]\\small\n\\begin{center}\n\\begin{tabular}{ l || p{5.5cm} | p{6.5cm} } \nClass & Solution constraints & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $H=J=1$ & This is a vacuum solution for all values of $\\alpha, \\beta$ and $\\kappa$. \\\\[4pt]\n\\textbf{II} & $J=\\frac{1}{2}(3-2H+H^2)$ & These are solutions for the Weyl theory of gravity only, that is if $3\\alpha+\\beta=0=\\kappa$. \\\\[4pt]\n\\textbf{III} & $H=3$, \\newline $J=\\frac{1}{\\alpha+\\beta}(-3\\alpha+\\beta-2\\sqrt{-2\\beta(3\\alpha+\\beta)})$ & These are valid with real exponents if $\\kappa = 0$ and $-\\beta \/3 < \\alpha < -\\beta$. \\\\[4pt]\n\\textbf{IV} & $H=3$, \\newline $J=\\frac{1}{\\alpha+\\beta}(-3\\alpha+\\beta+2\\sqrt{-2\\beta(3\\alpha+\\beta)})$ & These are valid with real exponents if $\\kappa = 0$ and $-\\beta  < \\alpha < -\\beta \/3$. \\\\[4pt]\n\\end{tabular}\n\\caption{Kasner-like vacuum solutions in pure quadratic gravity.} \\label{tab:quad}\n\\end{center}\n\\end{table}\n\n\n\nRecall that the first class of solutions are vacuum solutions in general relativity and so have vanishing Ricci tensor. As a consequence, they must also be vacuum solutions of the quadratic theory for all values of the parameters $\\alpha, \\beta$ and $ \\kappa$. Indeed, we have already seen that they are solutions for the special cases of quadratic Lagrangians within the more general models we have previously investigated. The constraint on the solutions of class II implies that $p_{3}= p_{1}+p_{2}-1 \\pm 2 \\sqrt{(p_{1}-1)(p_{2}-1)}$, and so all three Kasner exponents may be positive and greater than unity. Classes I-III were previously found by Deruelle \\cite{deruelle}.\n\n\\subsection{Gauss-Bonnet theories; $f=f(G), f=R+\\hat{f}(G)$}\nIn four dimensions, the Gauss-Bonnet term is a topological invariant and its variation does not contribute to the field equations, though it may give rise to interesting cosmological effects in higher dimensions \\cite{nojiri1}. These terms arise in the low energy effective actions of string theory, however modified Gauss-Bonnet theories have also been proposed as a form of gravitational dark energy capable of successfully describing cosmology at late times \\cite{nojiri2}. Here, we shall consider the situation where the Lagrangian is a general function of the Gauss-Bonnet invariant, i.e. $f=f(G)$ and also the case $f=R+\\hat{f}(G)$, where the Gauss-Bonnet term is defined by $G\\equiv R^2-4R_{ab}R^{ab}+R_{abcd}R^{abcd}$, and takes the form \\begin{equation}\nG=\\frac{4p_{1}}{t^4} (H-3) (2 p_{1}\\!^2 - 2 H p_{1} + H^2 - J)\n\\end{equation} for the metric given by (\\ref{kas}). \n\nThe contributions $\\hat{P}^a_b$ to the field equations due to a function $f(G)$ in the Lagrangian are given by \\begin{eqnarray}\n\\hat{P}^{0}_{0} &=& -\\frac{1}{2}f + 4\\frac{p_{1}p_{2}p_{3} }{t^4}\\left((H-3) f_G - 3 t \\dot{f}_{G} \\right) \\: ,\\\\\n\\hat{P}^{i}_{i} &=& -2f +\\frac{2}{t^4}(8 p_{1}p_{2}p_{3} (H-3) f_G + (J-H^2) ((H-2)t \\dot{f}_{G} + t^2 \\ddot{f}_{G}) \\: , \\\\\n\\hat{P}^{\\mu}_{\\mu}-\\hat{P}^{\\nu}_{\\nu} &=& \\frac{4}{t^3}\\left(p_{\\mu}-p_{\\nu}\\right)\\left(H-p_{\\mu}-p_{\\nu}\\right)\\left((H-2) \\dot{f}_G + t \\ddot{f}_{G} \\right) \\: , \\label{eq:gbaniso}\n\\end{eqnarray} where once again, $\\mu, \\nu$ in equation (\\ref{eq:gbaniso}) are not indices to be summed, but labels taking values from $1$ to $3$. Otherwise summation convention is used as normal. Here, $f_{G}$ is used to denote $ \\frac{df}{dG}$ and overdots represent derivatives with respect to the time coordinate $t$.\n\nThe anisotropic stress will vanish independently of $f$ both for isotropic solutions, ie $p_{1}=p_{2}=p_{3}$, and solutions in which two of the Kasner exponents are zero, and also in theories in which the Lagrangian is a power of the Gauss-Bonnet term, provided that $H$ is suitably chosen in this case.\n\n\\subsubsection{$f=f(G)$}\nExcept for the trivial case of $f(G)=G$, the only possible real anisotropic solutions have $G=0$. Furthermore, for any Kasner solutions to be possible, it is required that $f(0)=0$. Provided $f_{G}(0)$ does not diverge, then any solution of $G=0$ defines a two-parameter family of exact Kasner-like solutions. If, on the other hand, $f_{G}(0)$ is divergent, then for general such $f(G)$, there is a one-parameter family of solutions where the three Kasner indices are given by $p_{1}=p_{2}=0$, with the third index free, plus permuations. In the special case $f(G)=\\alpha G \\log{G}$, there are additional families of solutions given by $p_{1}=0$, with $p_{2}$ and $p_{3}$ free (and permutations), or $J=2 p_{1}\\!^2 - 2 H p_{1} + H^2$.\n\n\\subsubsection{$f=R+\\hat{f}(G)$}\nThe only real solutions with $G=0$ and $R_{ab}=0$ are Minkowski space and the Milne model, corresponding to $p_{1}=1, p_{2}=p_{3}=0$ (plus permutations), which are vacuum solutions whenever $\\hat{f}(0)=0$. Consequently, only these solutions can separately satisfy both the vacuum Einstein equations, $G_{ab}=0$, and the vacuum equations due to the purely Gauss-Bonnet terms, $\\hat{P}_{ab}=0$. Other solutions must have $G \\neq 0$ and the Einstein-Hilbert terms must balance the Gauss-Bonnet terms, that is to say they must be of the same order in time. Therefore, the possible real Kasner-like vacuum solutions in these theories may be summarised as in table \\ref{tab:gb}.\n\n\\begin{table}[ht]\\small \n\\begin{center}   \n \\begin{tabular}{ l || p{6cm} | p{6cm} } \nClass & Solution constraints & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $p_{1}=p_{2}=p_{3}=-1$ & This is a vacuum solution if $f=\\alpha \\sqrt {G}+\\frac{\\sqrt{3G}}{2} \\log {G}$. \\\\[4pt]\n\\textbf{II} & $p_{1}=p_{2}=p_{3}=-3$ & This is a vacuum solution if $f=\\alpha G \\log{G}- 3\\sqrt{2G}$. \\\\[4pt]\n\\textbf{III} & $p_{1}=p_{2}=p_{3}=\\frac{1}{6-\\alpha^2}(3+\\alpha^2 \\pm \\sqrt{12\\alpha^2+9})$ & This is a vacuum solution if $f=\\alpha \\sqrt{G}$. \\\\[4pt]\n\\textbf{IV} & $p_{1}=1, p_{2}=p_{3}=1+\\alpha^2$ \\newline (and permutations) & These are vacuum solutions if $f=\\alpha \\sqrt{G}$. \\\\[4pt]\n\\textbf{V} & $H=1, J=1 + 4 p_{1}\\alpha^2 + 4p_{1}\\alpha \\sqrt{1-p_{1}+\\alpha^2}$ & These are vacuum solutions if $f=\\alpha \\sqrt{G}$. \\\\[4pt]\n\\textbf{VI} &$H=1, J=1 + 4 p_{1}\\alpha^2 - 4p_{1}\\alpha \\sqrt{1-p_{1}+\\alpha^2}$ & These are vacuum solutions if $f=\\alpha \\sqrt{G}$. \\\\[4pt]\n\\end{tabular} \\caption{Power-law and Kasner-like vacuum solutions in a modified Gauss-Bonnet gravity.} \\label{tab:gb}\n\\end{center}\n\\end{table}\n\nWe can see that although there are several different and interesting types of Kasner-like solutions in these theories, they are only valid for a small set of Lagrangians. This is because only the Minkowski and Milne universes solve both the vacuum Einstein equations, $G_{ab}=0$, and the vacuum field equations due to the purely Gauss-Bonnet terms in the action. Thus, terms in the field equations due to the Einstein-Hilbert term must be balanced by those due to $\\hat{f}(G)$ and so these terms must be of the same order in time. \n\n\n\\subsection{Weyl theories of gravity}\nWe now consider the situation where the Lagrangian is a general function of the Weyl invariant, i.e. $f=f(W)$, where the Weyl term is defined by $W\\equiv \\frac{1}{3}R^2-2R_{ab}R^{ab}+R_{abcd}R^{abcd}$. We may write \\begin{equation*}\nW=\\frac{4}{3t^{4}}\\left(  (p_{1} - p_{3}) (p_{1} - p_{2})(p_{1}-1)^2  -(p_{2}-p_{3})(p_{1}-p_{2})(p_{2}-1)^2+(p_{1} - p_{3}) (p_{2}-p_{3})(p_{3} - 1)^2 \\right) \\end{equation*} If we assume, without loss of generality, $p_{1}\\geq p_{2} \\geq p_{3}$, then we see that the first and third terms are positive, but the second is negative. However, the middle term must be no greater in absolute magnitude than the third term if $p_{2}<1$ and similarly it must be no greater in magnitude than the first term if $p_{2}\\geq1$. Thus the Weyl tensor is non-negative and is zero only if each term vanishes separately. This requires that either the metric is locally rotationally symmetric with wlog $p_{2}=p_{3}$ and $p_{1}=1$, or it is isotropic, $p_{1}=p_{2}=p_{3}$. The vacuum field equations are $P^{a}_{b}=0$, with \\begin{eqnarray}\nP^{i}_{i} &=& -2f + 2W f_{W} \\: , \\\\\nP^{\\alpha}_{\\alpha} &=& -\\frac{3}{2} f + \n \\frac{2}{3t^4} (18 p_{1}p_{2}p_{3} + H^2 - 2 H^3 - 3 J + 4 H J) ((H-3) f_{W} + t \\dot{f}_{W})) \\: ,\\\\\n\\hat{P}^{\\mu}_{\\mu}-\\hat{P}^{\\nu}_{\\nu} &=& \\frac{1}{3t^4}\\left(p_{\\mu}-p_{\\nu}\\right)\\biggl(12t (H-p_{\\mu}-p_{\\nu}) ((H-2) \n\\dot{f}_{W} + t \n\\ddot{f}_{W})  + \n 4 (H - 3) (2 (J - 1) - (H - 1)^2) f_{W} \\nonumber \\\\ && + \n 2 (3 (H - 1)- 5 (H - 1)^2 + 4 (J - 1) ) t  \n\\dot{f}_{W} - 6 (H - 1) t^2 \n\\ddot{f}_{W} \\biggr) \\: , \\label{eq:weylaniso}\n\\end{eqnarray} where once again, $\\mu, \\nu$ in equation (\\ref{eq:gbaniso}) are not indices to be summed, but labels taking values from $1$ to $3$. Otherwise summation convention is used as normal, $f_{W}$ is used to denote $f'(W) \\equiv \\frac{df}{dW}$ and overdots represent derivatives with respect to the time coordinate $t$. The equations (\\ref{eq:weylaniso}) for the anisotropic stress may be combined to obtain \\begin{equation}\n0=\n \\frac{4}{t^3}\\left(p_{1}-p_{2}\\right)\\left(p_{1}-p_{3}\\right)\\left(p_{2}-p_{3}\\right) \\left((H-2) \\dot{f}_{W} + t \\ddot{f}_{W}\\right) \\: .\n\\end{equation}\n\nFor fully anisotropic solutions, the Weyl tensor is non-zero, and as before one can treat the field equations as differential equations for $f$, solving them to find the required form of Lagrangian for the higher-order theory to possess such solutions. It is found that the only possible choice is that of Weyl gravity, $f(W) = \\alpha W$, and that solutions require $p_{3}=p_{1}+p_{2}-1 \\pm 2\\sqrt{(p_{1}-1)(p_{2}-1)}$; this is a special case of the quadratic Lagrangians considered before in section \\ref{quad}, corresponding to $3\\alpha+\\beta=0$.\n\n\nFor solutions of the vacuum field equations where the Weyl tensor vanishes, it is necessary that $f(0) = 0$. In fact, if $f(0)=0$ and $f'(W)$ does not diverge at $W=0$, then all solutions of $W=0$ are solutions of the vacuum field equations. However, if $f(0)=0$ and $f'(0)$ diverges then we must consider both the isotropic and locally rotationally symmetric types of solution in turn as the existence of such solutions will depend upon the manner of this divergence.\n\nThese results are summarised in table \\ref{tab:weyl}.\n\n\\begin{table}[ht]\\small \n\\begin{center}   \n \\begin{tabular}{ l || p{5.5cm} | p{7cm} } \nClass & Solution constraints & Validity \\\\[2pt] \\hline \\hline \n\\textbf{I} & $p_{1}=p_{2}=p_{3}$ & These are vacuum solutions for all values of $p_{1}$ if $f(0)=0$ and either $f'(0)$ converges or diverges due to terms in $f(W)$ of the form $W^{n}$ with $1\/2 < n < 1$. \\\\[4pt]\n\\textbf{IIa} & $p_{1}=p_{2}=p_{3}=2n-1$ & This subset of the class I solutions remains a vacuum solution if $f(0)=0$ and the divergence in $f'(0)$ is due to terms in $f(W)$ of the form $W^{n}$ with $0 < n < 1\/2$.\n \\\\[4pt]\n \\textbf{IIb} & $p_{1}=p_{2}=p_{3}=(4n-1)\/3$ & This subset of the class I solutions remains a vacuum solution if $f(0)=0$ and the divergence in $f'(0)$ is due to terms in $f(W)$ of the form $W^{n}$ with $0 < n < 1\/2$.\n \\\\[4pt]\n \\textbf{III} & $p_{1}=1, p_{2}=p_{3}$ \\newline (and permutations) & These are vacuum solutions if $f(0)=0$ and $f'(0)$ either converges or diverges due to terms in $f(W)$ of the form $W^{n}$ with $1\/2 < n < 1$. \\\\[4pt]\n\\textbf{IV} & $p_{1}=1, p_{2}=p_{3}=2n-1$ \\newline (and permutations) & This subset of the class III solutions remains a vacuum solution if $f(0)=0$ and the divergence in $f'(0)$ is due to terms in $f(W)$ of the form $W^{n}$ with $0 < n < 1\/2$.\n \\\\[4pt]\n \\textbf{V} & $p_{3}=p_{1}+p_{2}-1 \\pm 2\\sqrt{(p_{1}-1)(p_{2}-1)}$ & This is a vacuum solution in Weyl gravity, $f(W)=\\alpha W$.\n \\\\[4pt]\n\\end{tabular} \\caption{Power-law and Kasner-like vacuum solutions in Weyl gravity.} \\label{tab:weyl}\n\\end{center}\n\\end{table}\nNote that if $f(W)$ contains a term $\\sqrt{W}$, i.e. $n=1\/2$, then the only solution is that of the Milne model, with metric given by\n\\begin{equation*}\n ds^2 = -dt^2+t^2 dx^2 + dy^2 + dz^2 \\: ,\n\\end{equation*} which we have seen is Minkowski space in a different coordinate system. Finally we point out that if the $f'(W)$ diverges at $W=0$ due to a type of term other than a power law, there are no vacuum Kasner-like solutions in that theory.\n\n\\subsection{Homogeneous Lagrangians \\label{sec:homogeneous}}\nThus far, this study has considered models in which the Lagrangian is a general function of one of the curvature scalars, $X\\equiv R$, $Y \\equiv R^{ab}R_{ab}$, or $Z \\equiv R^{abcd}R_{abcd}$, or of a particular combination of these. Consequently, in each case there has been only one timescale in the problem, and, by substituting for the time variable using the appropriate curvature invariant, it has proved possible to derive all possible solutions and their existence conditions within these wide classes of models.\n\nHowever, it is useful to also consider more general Lagrangians depending on more than just one variable. We may also conisder Lagrangians which are homogeneous in $X^{2}, Y$ and $Z$, that is to say for all values of $\\lambda$, $f(\\lambda X^2, \\lambda Y, \\lambda Z) = \\lambda^{n}f(X^2, Y, Z)$ for some $n$. $X^{2}$ is chosen as the argument here, rather than $X$, in order that each term in the function will be of the same order in time. Thus, functions of this form will be relevant where the dominant terms at early or late times are more complicated than in those Lagrangians studied previously, such as a monomial in $X,Y,Z$. We may write \n\\begin{equation}\nf\\left(X,Y,Z\\right)= X^{2n} \\alpha \\left(\\theta, \\phi \\right)  \\label{homogeneous},\n\\end{equation} where $\\alpha$ is a general differentiable function of $\\theta \\equiv \\frac{X^{2}}{Z}$ and $ \\phi \\equiv \\frac{Y}{Z}$, and further define \\begin{eqnarray}\n\\beta & \\equiv & \\frac{\\partial \\alpha}{\\partial \\theta} \\: ,\\\\\n\\gamma & \\equiv & \\frac{\\partial \\alpha}{\\partial \\phi}  \\: . \\end{eqnarray} \nIt is important to note that $\\alpha, \\beta$ and $\\gamma$ take constant values which are dependent upon the exact form of the Lagrangian $f$ and also the values of $\\theta$ and $\\phi$ for a particular solution. For example, in the case of the monomial given by \\begin{equation}\nf=\\xi X^{\\sigma} Y^{\\mu} Z^{\\nu} ,\n\\end{equation} we have\n\\begin{eqnarray}\n2n &=& \\sigma+2\\mu+2\\nu \\: , \\\\\n\\alpha &=& \\xi \\left(\\frac{X^{2}}{Z}\\right)^{-(\\mu+\\nu)}\\left(\\frac{Y}{Z}\\right)^{\\mu} \\: , \\\\\n\\beta &=& -(\\mu+\\nu)\\frac{Z}{X^{2}} \\alpha \\: , \\\\\n\\gamma &=& \\mu \\frac{Z}{Y} \\alpha \\: .\n\\end{eqnarray}\n\nInserting the general form (\\ref{homogeneous}) for the homogeneous Lagrangian into the vacuum field equations for the metric (\\ref{kas}), one obtains the equation\n\\begin{eqnarray}\n0 &=& \\left(p_{2}-p_{3}\\right)\\left(P^{1}_{1}-P^{3}_{3}\\right)-\\left(p_{1}-p_{3}\\right)\\left(P^{2}_{2}-P^{3}_{3}\\right) \\nonumber \\\\\n&=&\n\\frac{16 t^{4} X^{2n}}{Z^{2}}\\left(p_{1}-p_{2} \\right)\\left(p_{1}-p_{3}\\right)\\left(p_{2}-p_{3}\\right)(n-1)(1+H-4n)\\left(\\beta X^{2}+\\gamma Y \\right) \\: . \\label{eq:aniso}\n\\end{eqnarray}\nWe will consider in turn the solutions of this equation in the remaining field equations.\n\n\\subsubsection{Isotropic solutions}\nIn the isotropic case, $p_{1}=p_{2}=p_{3}$, there is only one independent field equation, given by\n\\begin{eqnarray*}0 & = & p_{1}\\left(p_{1}(2p_{1}-1)\\right)^{2n-1}\\bigl(\\alpha(2p_{1}^2-2p_{1}+1)^2(1+2p_{1}(n-1)-6n+8n^2)\\\\\n& & -(6\\beta+\\gamma) p_{1}(1-2p_{1})^2(1+3p_{1}-4n)\\bigr) \\: .\n\\end{eqnarray*}\n\nRecall that $\\alpha, \\beta$ and $\\gamma$ are constants which will depend upon $p_{1}$ according to the exact form of the Lagrangian $f$. Thus, given a choice of $f$, this equation provides a necessary and sufficient condition for there to be a isotropic power-law solution expanding as $t^{p_{1}}$.\n\n\\subsubsection{Locally rotationally symmetric solutions}\nIn the case of locally rotationally symmetric (LRS) solutions, there are two independent field equations. Without loss of generality, we set $p_{2}=p_{3} \\neq p_{1}$. \n\nLRS solutions with $X=0$ are a special case of the fully anisotropic ones of that kind and will satisfy the same existence conditions. Similarly, if $p_{1}+2p_{2}=4n-1$, then there are LRS solutions provided $\\alpha X^{2n}=0$ can be solved simultaneously. This requires either the additional constraint $\\alpha=0$ to be satisfied, or if $1\/4<n<5\/8$ then there are real solutions of this form with $X=0$.  Both these types of LRS solution satisfy the same constraints as in the fully anisotropic case, and so these will be discussed at greater length in the next section.\n\nIf we define $\\hat{X}\\equiv t^2 X, \\hat{Y}\\equiv t^4 Y$ and $\\hat{Z} \\equiv t^4 Z$ for convenience, then, for $X\\neq 0$, these may be reduced to\n\\begin{eqnarray*}\n0 &=& \\biggl(n \\alpha  \\hat{Z}^2 - 2 \\hat{X} (2-3p_{1}-2p_{2} +(p_{1}-p_{2})^2 + 4 n(p_{1}+p_{2}-1)) (\\beta \\hat{X}^2 + \\gamma \\hat{Y}) + \\beta \\hat{X}^2 \\hat{Z} \\\\ \n&& + \\gamma \\hat{X}\\hat{Z} (p_{1}\\!^2 + 2 p_{2}\\!^2 - 1 + 2(p_{1}+2p_{2}-1)(n-1)) \\biggr)(1+p_{1}+2p_{2}-4n) \\: , \\\\\n0&=& \\alpha \\hat{Z}^2\\left(4n \\left(p_{1}\\!^2 + 2p_{2}\\!^2+ (4n-3)(p_{1}+2p_{2})\\right) - \\hat{X} \\right) \\\\ \n&& +16\\hat{X} p_{2}\\!^2(1+p_{1}+2p_{2}-4n)  \\biggl(\\beta \\hat{X}\\left(p_{1}\\!^3 -2p_{1}\\!^2p_{2}+ p_{1}p_{2}\\!^2 -5p_{1}\\!^2-2p_{1}p_{2} - 2p_{2}\\!^2\\right) + \\gamma \\bigl( (2-3p_{2}) p_{2}\\!^3 \\\\\n&& +p_{1}\\!^5 + 2 p_{1} (p_{2}-1) p_{2}\\!^3 - 2 p_{1}\\!^4 (1 + p_{2}) + \n   p_{1}\\!^2 p_{2} (6 - 7 p_{2} - 4 p_{2}\\!^2) + p_{1}\\!^3 (1 - 4 p_{2} + 3 p_{2}\\!^2)\\bigr)\\biggr) \\: .\n\\end{eqnarray*}\n\nIn this way, the field equations give relationships between the theory-dependent constants $\\alpha, \\beta$ and $\\gamma$ which must be satisfied if the theory is to contain any other LRS solutions.\n\n\\subsubsection{Anisotropic solutions}\n\nWe now consider those solutions of equation (\\ref{eq:aniso}) which are fully anisotropic with $p_{\\alpha}$ all distinct. We have seen that for metrics described by the line element (\\ref{kas}), $Z=0$ only for Minkowski space and the Milne model. Thus for fully anisotropic solutions, $Z$ will be non-zero. The only real Kasner-like solutions with $X=Y=0$ are those of general relativity, which satisfy $H=J=1$. Since the leading order terms in the field equations as $X,Y \\rightarrow 0$ behave like $\\alpha(2n-1)X^{2n-1}$, then if $\\alpha$ diverges at $X=0$, faster than $X^{1-2n}$, there will be no solutions. However, if $\\alpha$ is finite at $Y=0$, one either requires that $n \\geq 1\/2$ or that $\\alpha=0$ and $n>0$ so that the next leading order terms do not diverge. For solutions with $X=0$ but $Y\\neq 0$, the leading order terms in the field equations as $X \\rightarrow 0$ behave like $\\alpha(H-4n+1) X^{2n-1}$, so if $\\alpha$ remains finite at $X=0$, one either requires that $n \\geq 1\/2$  or that either $H=4n-1$ or $\\alpha=0$ and $n>0$ so that the next leading order terms do not diverge.\n\nIf there are configurations of the Kasner exponents such that $\\alpha=\\beta=\\gamma=0$, then these will be solutions of the theory. Recall that $\\alpha, \\beta$ and $\\gamma$ depend on the explicit form of the Lagrangian.\n\nSubstituting $H=4n-1$ into the field equations leads to the necessary and sufficient condition $\\alpha X^{2n}=0$. For $X=0$ with $H=4n-1$, this implies that $J=16n(1-n)-3$ and requires that $1\/4 \\leq n \\leq 5\/8$ for these solutions to be real. Again, since $\\alpha$ depends on the explicit form of the Lagrangian and the values of the Kasner exponents and so $\\alpha=0$ defines an extra constraint on the solution.\n\nIn addition to those solutions which are a special case of the ones with $H=4n-1$ and $\\alpha=0$, there is another class of solutions if $n=1$. This class of solutions exists if\n\\begin{eqnarray} \\alpha &=&-\\frac{\\gamma}{4 Z}\\left(X^2-4Y+Z\\right)  \\quad \\text {and}\\\\\n\\beta &=&-\\frac{\\gamma}{4 X^2}\\left(4Y-Z\\right) \\: . \\end{eqnarray}\nAgain, $\\alpha, \\beta$ and $\\gamma$ will depend on the values of the Kasner exponents through the curvature scalars $X, Y$ and $Z$ and so these equations will typically give two further constraints on the possible set of solutions. However, if for example, $\\alpha=\\alpha(X^{2}\/(4Y-Z))$, then the second of these equations will be trivial and if $\\alpha=\\lambda(X^2-4Y+Z)\/X^{2}$ for some constant $\\lambda$, then both of these will be trivial.\n\nFinally, there are several additional solutions if $\\beta X^2 + \\gamma Y=0$. This equation is satisfied trivially if the Lagrangian $f$ is independent of $Z$. Otherwise, it provides a constraint on the solutions. The remaining field equations then show that if $n=1$ there are solutions subject to $H=1$ and \\begin{equation}\n\\alpha=\\frac{4\\beta}{Z t^{4}}(1-J) \\: .\n\\end{equation} If $n=1\/2$, there are solutions subject to \\begin{equation}\n\\alpha = 2\\beta \\frac{X^{2}}{t^{4}Y Z} (1-H) (H^2 - J) \\: . \\label{nhalf} \\end{equation} Finally, for general $n$ there are solutions of this sort if \\begin{eqnarray}\n\\alpha &=& 2\\beta \\frac{X^2}{n t^{4}Y Z}  (H-1) \\left(H-H^2 +n\\left(H^{2}-2H+J \\right)\\right) \\quad \\text{and}\\\\ \nJ &=& \\frac{1}{2n}\\left(1 - 2 H + H^2 - 6 n + 8 H n + 8 n^2 - 8 H n^2\\right)  \\: .\n\\end{eqnarray}\n\n\\subsubsection{An explicit example}\nAs an explicit example, we shall consider fully anisotropic Kasner-like solutions in the model of Br\\\"{u}ning, Coule and Xu \\cite{coule}, which is described by the Lagrangian \\begin{equation}\nf = X +\\lambda \\frac{Y}{X}+\\tau \\frac{Z}{X}\n\\: , \\label{f:coule} \\end{equation} where $\\lambda$ and $\\tau$ are constants, and was studied there in the context of FRW solutions. Note that the model reduces to general relativity in the limit  $\\lambda=\\tau=0$, so in the discussion that follows we will assume that $\\lambda$ and $\\tau$ are not both zero. In terms of our notation, \n\\begin{eqnarray*}\nn &=& \\frac{1}{2} \\: ,\\\\\n\\alpha &=& 1+\\lambda \\frac{Y}{X^{2}}+\\tau \\frac{Z}{X^{2}} \\: ,\\\\ \n\\beta &=& -\\frac{Z}{X^{4}}\\left(\\lambda Y+\\tau Z \\right) \\quad \\text{and} \\\\\n\\gamma &=& \\lambda \\frac{Z}{X^{2}} \\: .\n\\end{eqnarray*} Thus we can explicitly observe the dependence of $\\alpha, \\beta$ and $\\gamma$ upon the values of the Kasner parameters $p_{\\alpha}$ and in particular for this model we note that $\\alpha$ diverges for the general relativistic solution, $H=J=1$. \n\nFor anisotropic solutions in this model, with the Kasner exponents $p_{\\alpha}$ all distinct, equation (\\ref{eq:aniso}) reduces to \\begin{equation}\n0=\\tau \\left(\\frac{H-1}{H^2-2H+J}\\right) \\: ,\n\\end{equation}and so the possible solutions depend on the value of $\\tau$. For the special case when $\\tau$ is zero, the field equations reduce to the single equation \\begin{equation}\n\\frac{2 H^3 -3H^2+ J + 2 H J -H^{2}J- J^2 }{(H^2-2H+J)^{2}}\\lambda = 1 \\: .\n\\end{equation} This equation allows a two-parameter family of solutions to be found with real-valued Kasner exponents for all values of $\\lambda$ except those in the range $-1<\\lambda < 0$.\n\nFor the general case with $\\tau$ non-zero, solutions require $H=1$ and \n\\begin{equation}\n\\xi(J-1)^2 +8 p_{1}(J-1) - 16  p_{1}\\!^{2} (p_{1} - 1)=0 \\: ,\\label{ineq1} \\end{equation}\nwhere we have defined $\\xi \\equiv (1+3\\lambda+\\tau)\/\\tau$. These solutions therefore are described by the single free paramter $p_1$. Seeking solutions for which the Kasner exponents $p_{\\alpha}$ take real values, it is necessary to choose $p_{1}$ such that \\begin{equation}\n1+\\xi(p_{1}-1) \\geq  0 \\end{equation} and either \\begin{eqnarray}\n3p_{1}\\!^{2}+2\\left(\\frac{4}{\\xi}-1\\right)p_{1}-1 &<& 0 \\qquad \\text{or} \\label{ineq2}\\\\\n\\xi\\left(\\xi(1+3p_{1})^{2}-16p_{1}\\right) & < & 0 \\: . \\label{ineq3}\n\\end{eqnarray}It is possible to find $p_{1}$ such that the inequalities (\\ref{ineq1}) and (\\ref{ineq2}) may be satisfied simultaneously if $\\xi <5\/4$, whilst the inequalities (\\ref{ineq1}) and (\\ref{ineq3}) may be satisfied simultaneously provided $\\xi <4\/3$. Thus, this bound provides the restriction on the allowable choices of $\\lambda$ and $\\tau$ such that the general model (\\ref{f:coule}) will contain anisotropic Kasner-like solutions of the form (\\ref{kas}).\n\nIf we compare these findings with those in the previous section, when the general case of a homogeneous Lagrangian was discussed, we see that these correspond to the solutions of equation (\\ref{nhalf}). When $\\tau=0$, the equation $\\beta X^2 + \\gamma Y=0$ is trivial, but for non-zero $\\tau$, it provides an additional constraint and reduces the number of free parameters in the solution from two to one. There are no anisotropic solutions corresponding to $X=0$, since (except in the limiting case of general relativity) $\\alpha X$ diverges there.\n\n \n\\subsubsection{Remarks}\nIn this section, we have studied those Lagrangians which are homogeneous in time for the metrics (\\ref{kas}), and which may be written in the form (\\ref{homogeneous}). We have found the existence conditions for all possible Kasner-like solutions in this class of theories. Although it is impossible to find the exact forms of these solutions without explicitly defining the Lagrangian, and the dependence of the functionals $\\alpha, \\beta$ and $\\gamma$ on the Kasner parameters may be complicated, we have developed a general framework which can be used to obtain all possible solutions once the gravitational theory has been defined. This framework was then explicitly demonstrated for the model of Br\\\"{u}ning, Coule and Xu \\cite{coule}.\n \nSince the terms in the field equations must vanish at each order in time, then unless there exists a particular configuration of Kasner exponents such that the Lagrangian $f(X,Y,Z)$ is a constant, it is reasonable to expect that the solutions found in this section will be the \\emph{only} Kasner-like solutions with real Kasner indices that are possible in higher-order metric theories of gravity derived from Lagrangians with the general form $f(R, R_{ab}R^{ab}, R_{abcd}R^{abcd})$. \n\n\n\\section{Anisotropically Inflating Solutions}\nIn the preceeding sections, we have studied higher-order theories of gravity in which the Lagrangian is dependent upon the scalar curvature, $X \\equiv R$, the Ricci invariant, $Y \\equiv R_{ab}R^{ab}$, and the Kretschmann scalar, $Z \\equiv R_{abcd}R^{abcd}$, to find the conditions required on the form of the Lagrangian for a particular theory to contain Kasner-like vacuum solutions, where the line element is described by (\\ref{kas}). Within the context of this class of higher-order gravitational theories, it is interesting to also study the possibility of other simple anisotropic exact solutions. A natural yet simple extension is to consider a Bianchi type I solution which describes exponential but anisotropic expansion, where the metric is of an anisotropic deSitter-like form;\n\\begin{equation}\n ds^2=-dt^2+e^{2p_{1}t} dx^2 +e^{2p_{2}t} dy^2 +e^{2p_{3}t} dz^2 , \\label{ds}\n\\end{equation}\nand the exponents $p_{\\alpha}$ are real. \n\nIn this section, we shall investigate whether such metrics solve the vacuum field equations of these theories and we include also the possibility of a cosmological constant. Such solutions were found to be possible in theories with quadratic Lagrangians, provided that the Ricci term is present \\cite{hervik} and their existence demonstrates that the cosmic no-hair theorem of general relativity, which states that the presence of a positive cosmological constant drives the solution towards the deSitter one at late times, cannot be extended to higher-order theories in general.\n\nThe three curvature scalars $X,Y,Z$ are constants, and take the values\n\\begin{eqnarray*}\nX &=& H^2+J \\: , \\\\\nY &=& (H^2+J)J \\: ,\\\\\nZ &=& 2(J^2+M) \\: \n\\end{eqnarray*}\nwhere the useful definitions $H \\equiv p_{1}+p_{2}+p_{3}, J \\equiv p_{1}\\!^2+p_{2}\\!^2+p_{3}\\!^2$ and $M \\equiv p_{1}\\!^4+p_{2}\\!^4+p_{3}\\!^4$ have been made. Note that all three curvature scalars $X,Y$ and $Z$ are constant and also positive unless $p_{1}=p_{2}=p_{3}=0$, corresponding to Minkowski space. Thus, unlike the situation for the Kasner solutions discussed previously, it is not necessary for example that $R=0$ for $f(R)$ to be zero. Furthermore, since the curvature scalars are constant, the field equations simplify substantially \\cite{clifton4}, and for the isotropic case they reduce to the single equation\n\\begin{equation}\n\\frac{1}{2} f = \\frac{H^2}{3} f_{X}+\\frac{2}{9}H^4 f_{Y} +\\frac{4}{27}H^4 f_{Z} \\: ,\n\\end{equation} which must be satisfied by $f$ if the de Sitter universe is to be a solution in a particular higher-order theory of gravity of the form $f(X,Y,Z)$.\n\nFor all vacuum \\emph{anisotropic} solutions of the form (\\ref{ds}), they become\n\\begin{eqnarray}\nf &=& 8H p_{1}p_{2}p_{3} f_{Z} \\: ,  \\label{eq:ds1} \\\\\nf_X+ 2J f_Y &=& 2(H^2-3J) f_Z \\: , \\label{eq:ds2}\n\\end{eqnarray}\nwhere, as before, subscripts are used to denote differentiation of $f$ with respect to that curvature scalar, so that, for example, $f_{X} \\equiv \\frac{\\partial f}{\\partial X}$. Any cosmological constant is to be included in the function $f$.\n\nIf the Lagrangian is a function of only one of the three curvature invariants, $f=f(\\xi)$ say, where $\\xi \\in \\{ X, Y, Z \\}$, then the field equations for anisotropic solutions simplify further to\n\\begin{eqnarray}\nf &=& 0 \\: , \\\\\nf_{\\xi} &=& 0 \\: .\n\\end{eqnarray}\nThus the theory will contain a two-parameter family of exact anisotropic deSitter-like solutions if the Lagrangian, $f$, has a \\textit{positive} double root, $\\xi=\\xi_{0}>0$, the simplest example of which being a quadratic Lagrangian, $f=\\alpha(\\xi-\\xi_{0})^2$. It should be noted that for the case where $\\xi \\equiv R$, the scalar curvature, choosing the sign of the Lagrangian to give the correct Newtonian limit would give a negative cosmological constant due to the required positivity of $R_0$. \n\nIn this way, some degree of fine-tuning is required in the Lagrangian for such solutions to exist. However, more general types of model do not require such fine-tuning for solutions of this sort to exist. In particular, if the Lagrangian is of the form $f=f(Y\/X^{2})$, then equation (\\ref{eq:ds2}) is identically satisfied and so it is only required that there exist positive roots of $f=0$.\n\n\n\n\\section{Conclusions}\nWe have studied some aniosotropic cosmological Bianchi type I solutions to a wide class of higher-order theories of gravity derived from the three curvature invariants $R, R_{ab}R^{ab}$ and $R_{abcd}R^{abcd}$. Although general relativity is well-supported by solar system tests, in the high curvature limit, such as on approach to an initial cosmological singularity, we expect quantum effects to become important and to cause deviations from the standard behaviour in general relativity. At high curvatures, anisotropies diverge faster than isotropies and will tend to dominate the cosmological behaviour at early times. Furthermore, it has previously been shown \\cite{hervik} that anisotropies in these higher-order theories may display significantly different behaviour to that found in general relativity. Thus, in this work we have investigated the role of anisotropy on approach to the initial singularity.\n\nIn particular, we have found all Kasner-like solutions given by the Bianchi type I line element (\\ref{kas}) for several wide classes of higher-order theories of gravity, and also all of the similar Bianchi I solutions which are described by the line element (\\ref{ds}). Previously, Kasner-like solutions were known only for quadratic gravity \\cite{deruelle} and higher-order Lagrangians which were powers of one of the curvature invariants $R, R_{ab}R^{ab}$ and $R_{abcd}R^{abcd}$. We have extended this to much more general Lagrangians including those of the form $f(R), f(R_{ab}R^{ab})$ and $f(R_{abcd}R^{abcd})$, and \nin the course of this investigation, we have also found additional solutions to the previously-studied power-law Lagrangians which were not found in \\cite{clifton1, clifton2}. \n\nWe have further widened this study to include also those Lagrangians which are homogeneous in time for the metrics (\\ref{kas}), which may be written in the form (\\ref{homogeneous}), using the model of Br\\\"{u}ning, Coule and Xu \\cite{coule} as a particular example. Since the terms in the field equations must vanish at each order in time, then unless there exists a particular configuration of Kasner exponents such that the Lagrangian $f(X,Y,Z)$ is a constant, we expect that the solutions found in section \\ref{sec:homogeneous} will be the \\emph{only} Kasner-like solutions with real Kasner indices that are possible in higher-order metric theories of gravity derived from Lagrangians with the general form $f(R, R_{ab}R^{ab}, R_{abcd}R^{abcd})$. \n\nAlthough they are geometrically special, the Kasner-like solutions given by the Bianchi type I line element (\\ref{kas}) provide us with a very useful insight into the dynamics of anisotropies, and also they give a good description of the evolution of more general anisotropic cosmological models over finite time intervals. This is of particular interest when considering the behaviour on approach to the initial singularity exhibited by the Bianchi type VIII and type IX (``Mixmaster'') cosmologies, which can be approximated by a sequence of different Kasner epochs. We have considered the properties of the solutions found in relation to the behaviour of these more general anisotropic cosmologies and found that in general it is model-dependent as to whether the universe will experience an infinite sequence of oscillations between Kasner regimes as the singularity is approached. A more detailed analysis is required to understand the extent of the validity of these vacuum  solutions in the presence of a non-comoving perfect fluid.\n\nThe conditions for the existence of de Sitter solutions in higher-order theories of gravity were already known \\cite{clifton4}, and some examples of anistropically inflating solutions had previously been discovered for particular theories \\cite{hervik}. However, we have extended this work and explicitly discovered the existence conditions for anistropically inflating solutions of the form (\\ref{ds}) in all higher-order metric theories of gravity derived from Lagrangians with the general form $f(R, R_{ab}R^{ab}, R_{abcd}R^{abcd})$. For the simpler models in which the Lagrangian depends on just one of the curvature invariants $R, R_{ab}R^{ab}$, and $R_{abcd}R^{abcd}$, we found that some degree of fine-tuning is required in the Lagrangian for such solutions to exist, however this is not required in more general theories. These solutions explicitly demonstrate that the cosmic ``no-hair'' theorem of general relativity does not hold in general in higher-order theories.\n\n\n\\section*{Acknowledgements}The author wishes to thank John D. Barrow for useful discussions and acknowledges a STFC studentship.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nActive matter describes systems comprising individual units that exert propelling forces on their environment~\\cite{marchetti_hydrodynamics_2013,Bechinger2016RMP,o2022time}.  Examples  extend across scales, from molecular motors~\\cite{schaller2010polar,sanchez2012spontaneous} to animals~\\cite{ballerini2008interaction,calovi2014swarming}, including both biological~\\cite{bi2016motility,matoz2017nonlinear} and artificial systems~\\cite{geyer2019freezing,van2019interrupted}. Active systems have attracted a lot of interest recently due to their rich collective behaviors~\\cite{vicsek_novel_1995,cates_motility-induced_2015,marchetti_hydrodynamics_2013} and to their non-trivial interactions with passive boundaries and objects~\\cite{galajda_wall_2007,Tailleur2009EPL,Sokolov2010PNAS,di_leonardo_bacterial_2010,Solon2015NatPhys,granek2021anomalous,paul2022force}.\nUnlike in equilibrium settings, asymmetric objects generically induce long-ranged currents in active fluids which, in turn, mediate long-range interactions between inclusions~\\cite{baek_generic_2018,granek2020bodies}. These currents have been shown to play an important role in the context of motility-induced phase separation~\\cite{cates_motility-induced_2015} where random obstacles placed in the bulk of a system suppress phase separation in $d<4$ dimensions~\\cite{ro2021disorder}. Surprisingly, disordered obstacles localized on the boundaries also destroy phase separation in $d<3$ dimensions~\\cite{bendor2021far}, something impossible in equilibrium. \n\n\n\\begin{figure}\n\\includegraphics[width=8.6 cm]{trajectories_complete_uniform_same_enlarged4.eps}\n\t\\caption{Probability density of a semicircular mobile object surrounded by $N=10^3$ non-interacting run-and-tumble particles confined to a circular cavity of unit diameter. Particle speed and tumbling rate are set to $v=10^{-2}$ and $\\alpha=1$, respectively. The diameter of the semicircular object is equal to the particle persistence length $\\ell_p=10^{-2}$. The dynamics of the object is an overdamped Brownian motion at zero temperature with translational mobility set to unity and rotational mobility set to $\\gamma=10^2$ in (a) and $\\gamma=10^5$ in (b). The gray lines show typical trajectories of the object. The latter is displayed in black and enlarged by a factor of six. See Appendix~\\ref{app:numerics} for numerical details.}\n \t\\label{fig:body prob dist}\n\\end{figure}\n\nIn this article, we study another surprising role of boundaries. In Figure~\\ref{fig:body prob dist}, we show numerical simulations of an active fluid confined in a circular cavity in which a mobile asymmetric object has been inserted. Depending on the parameters, the object is either localized close to the cavity walls or in the middle of the cavity. As we show below, this is a direct consequence of the ratchet current induced by the object in the active bath and its interactions with the cavity walls. Note that, on general symmetry grounds, an isotropic object cannot be localized in a diffusive fluid. Indeed, the sole symmetry breaking field in the vicinity of an isotropic object is the gradient of the fluid density, $\\nabla \\rho$. The force ${\\bf F}$ exerted on the object thus satisfies ${\\bf F} \\propto \\nabla \\rho$. If the fluid is diffusive, it satisfies $\\nabla^2 \\rho = 0$ in the steady state so that $\\nabla \\cdot {\\bf F}=0$~\\cite{rohwer2020activated}. In analogy to Earnshaw's theorem in electrostatics, this rules out the possibility of a stable equilibrium for the passive tracer. In contrast, an asymmetric polar object introduces a symmetry-breaking vector along which it generically generates a ratchet current~\\cite{Galajda2007,Tailleur2009EPL,di_leonardo_bacterial_2010,Sokolov2010PNAS,baek_generic_2018}. This current is directly related to the non-vanishing mean force ${\\bf p}$ exerted by the object on the surrounding fluid~\\cite{nikola_active_2016}. Due to Newton's third law, one thus generically expects a contribution to $\\mathbf{F}$ along $-\\mathbf{p}$, which opens up the possibility of a localization transition. Figure~\\ref{fig:body prob dist} shows that this is indeed the case.\n\nTo uncover the mechanism behind this localization transition, we study the influence of boundaries on the coupling between asymmetric objects and active fluids. We start in Section~\\ref{subsec:density and current} by considering the case of an asymmetric polar object in the presence of a flat confining boundary. We show that the latter alters the far-field current and density modulation induced by the polar object, and that this effect can be rationalized using a generalized image theorem. As we show in Section~\\ref{subsec:force}, this leads to a repulsive force, which decays as a power-law, between the object and the wall. In Section~\\ref{sec:circular cavity} we then generalize our approach to the case of a polar object confined by a circular cavity. Finally, in Section~\\ref{sec:dynamics}, we consider a mobile object and show the existence of a localization transition. We note that our results could be tested experimentally by adapting a recent setup in which a \\textit{symmetric} object was immersed in a circular cavity confining active colloids~\\cite{paul2022force}. In this case, as expected on symmetry ground, no localization transition was observed and the interaction between the object and the wall is short ranged. We predict that employing a polar object should lead to rich physics. All derivations below are presented in two space dimensions but can easily be generalized to higher dimensions.\n\n\n\\section{An asymmetric object next to a flat wall}\\label{sec:flat wall derivation}\n\n\\begin{center}\n\\begin{figure}[t]\n    \\begin{tikzpicture}\n        \\fill[teal!20!white] (0,-1.5) rectangle (4,1.5);\n        \\fill[orange!65!white] (-0.2,-1.5) rectangle (0,1.5);\n        \\fill[pattern=north west lines, pattern color=black] (-0.2,-1.5) rectangle (0,1.5);\n        \n        \\fill[purple!70!white] (2.59611+0.15,0.00139995+0.4) arc(158:338:0.375) -- (3.17561+0.15,-0.217276+0.4) arc(338:158:0.25) -- cycle;\n        \n        \\draw[-stealth,thick] (0,0) -- (3,0) node[anchor=east, yshift=-3mm, xshift=3mm] {${\\bf r}_0=(d,0)$};\n        \\draw[-stealth,thick] (3,0) -- (3+0.26222,0.649029) node[anchor=east] {${\\bf p}$};\n        \\draw[thick] (3.35 ,0) arc(0:68:0.35) node[anchor=west, xshift=1.5mm] {$\\phi\\ $};\n        \n        \\draw[thick,->] (-.5,0) -- (4,0) node[anchor=north west] {$\\!x$};\n        \\draw[thick,->] (0,-1.5) -- (0,1.5) node[anchor=south east] {$y$};\n    \\end{tikzpicture}\n    \\caption{An asymmetric passive object in an active fluid next to a flat wall at $x=0$. The object is located at $\\vec{r}_0=(d,0)$. Due to its asymmetric shape, it experiences a force $-\\vec{p}$ from the active bath and thus exerts the opposite force $\\vec{p}$ on the active medium, whose orientation we denote by $\\phi$.}\\label{fig:configuration}\n\\end{figure}\n\\end{center}\n\nWe start by studying the influence of an infinite flat wall at $x = 0$ on an asymmetric object embedded inside the system in the neighborhood of ${\\bf r}_0{= (d,0)}$ (see Fig.~\\ref{fig:configuration}). We first determine in Sec. \\ref{subsec:density and current} how the presence of the wall influences the ratchet current and the density modulation induced by the asymmetric object in the active bath. Then in Section~\\ref{subsec:force}, we show how the density modulation translates into a net nonconservative force exerted on the object. We characterize the force in the far field limit and show its magnitude to depend on the distance from the wall and on the orientation of the object. \n\nIn most of what follows, we focus on a dilute active bath. We thus solve for a single active particle that interacts with the obstacle and the boundaries. The average density for a bath comprising $N$ active particles is then simply $\\rho_N(\\bfr)=N\\rho(\\bfr)$ where $\\rho(\\bfr)$ is the probability density of finding the active particle at position $\\bfr$. For the flat-wall case discussed in this section, our results are generalized to particles interacting via pairwise forces in Appendix~\\ref{app:PFAPs}.\n\nTo proceed, consider the master equation for the probability density $P_a(\\vec{r},\\theta)$ to find an Active Brownian Particle (ABP) or a Run-and-Tumble particle (RTP) at $\\vec{r}=(x,y)$ with orientation $\\vec{u}(\\theta)=(\\cos\\theta,\\sin\\theta)$:\n\\begin{align}\\label{eq:FP}\n    \\partial_t P_a({\\bf r},\\theta)= & -\\!\\nabla\\!\\cdot\\!\\left[-\\mu P_a \\nabla U + v{\\bf u}P_a \\!-\\!{D}_t\\nabla P_a\\right] \\\\\n\t&+{D}_r\\partial_{\\theta}^{2}P_a -\\alpha P_a +\\frac{\\alpha}{2\\pi} \\intop d\\theta' \\, P_a(\\vec{r},\\theta') \\;.\\nonumber\n\\end{align}\nHere $v$ is the self-propulsion speed of the active particle, $\\mu$ its mobility, and ${D}_t$  a translational diffusivity. The particle undergoes random reorientations with a (tumbling) rate $\\alpha$ and rotational diffusion with an angular diffusivity $D_r$. The object is described by the external potential $U(\\vec r)$. In what follows we denote by $\\tau=1\/(D_r+\\alpha)$ and $\\ell_p\\equiv v\\tau$ the particle's persistence time and length, respectively. The hard wall at $x=0$ imposes a zero-flux condition: \\begin{equation}\\label{eq:BCJ}\n    -\\mu\\Pa \\partial_x U  + v \\cos\\theta \\Pa - D_t\\partial_x \\Pa=0\\;.\n\\end{equation}\n\nIntegrating Eq. \\eqref{eq:FP} over $\\theta$ leads to a conservation equation for the density field $\\rho(\\bfr)=\\int d\\theta \\,P_a(\\vec{r},\\theta)$:\n\\begin{subequations}\\label{eq:rho}\n\\begin{align}\n    \\partial_t \\rho &= -\\nabla\\cdot\\vec{J}\\;, \\\\\n    \\vec{J} &= -\\mu \\rho \\nabla U + v\\vec{m} -{D}_t \\nabla \\rho\\ ,\\label{eq:current}\n\\end{align}\n\\end{subequations}\nwhere $\\vec{m} = \\int d\\theta\\,\\vec{u}(\\theta)P_a(\\vec{r},\\theta)$ is the polarization of the active particle and $\\vec{J}$ is the particle current in position space. The boundary condition~\\eqref{eq:BCJ} then translates into $J_x(x=0,y)=0$.\n\nThe dynamics of $\\vec{m}$ is then obtained by multiplying Eq.~\\eqref{eq:FP} by $\\vec{u}(\\theta)$ and integrating over $\\theta$, which gives:\n\\begin{equation}\\label{eq:m}\n        \\tau\\partial_t \\vec{m} = \\frac{\\mu}{v} \\nabla \\cdot \\boldsymbol{\\sigma^a} -  \\vec{m}\\;, \n\\end{equation}\nwhere we have introduced the active stress tensor $\\boldsymbol{\\sigma^a}$~\\cite{takatori_swim_2014,yang_aggregation_2014,Solon2015NatPhys,solon_pressure_2015-3,fily_mechanical_2017}:\n\\begin{subequations}\\label{eq:sigmas}\n\\begin{align}\n    \\sigma^a_{ij} &= - \\frac{v^2\\tau}{2\\mu}\\rho \\delta_{ij} + \\Sigma_{ij}\\;, \\label{eq:sigma}\\\\\n    \\Sigma_{ij} &= -\\frac{v\\tau }{\\mu}\\left[v Q_{ij}-\\left(\\mu \\partial_j U + D_t\\partial_j\\right) m_i\\right]\\;.\\label{eq:Sigma}\n\\end{align}\n\\end{subequations}\nHere $Q_{ij} = \\int d\\theta\\,\\left(u_iu_j - \\delta_{ij}\/2\\right)P_a(\\vec{r},\\theta)$ is the nematic tensor and we have singled out the contribution of the ideal gas pressure $v^2\\tau \\rho\/(2\\mu)$ in the active stress tensor. \n\nTo determine the steady-state density profile, we first note that, on large length scales and long times, far from both the confining wall and the asymmetric object, the motion of the active particle is diffusive with a diffusion coefficient ${D}_{\\rm eff}={D}_{t}+v^2\\tau\/2$. The corresponding probability current is then given by $\\vec{J} \\simeq - {D}_{\\rm eff} \\nabla\\rho$. As one moves closer to the object or the wall, this behavior is modified, which motivates us to define a residual field: the deviation $\\boldsymbol{\\mathcal{J}}$ from a diffusive current~\\cite{bendor2021far}\n\\begin{equation}\\label{eq:def diff J}\n    \\boldsymbol{\\mathcal{J}} \\equiv \\vec{J} + D_{\\rm eff} \\nabla\\rho\\;.\n\\end{equation}\nUsing Eqs.~\\eqref{eq:rho}-\\eqref{eq:m} in the steady state where $\\nabla\\cdot\\vec{J}=0$, one finds that the density $\\rho$ satisfies\n\\begin{subequations}\\label{eq:Poisson}\n\\begin{align}\n    D_{\\rm eff}\\nabla^2\\rho &= \\nabla\\cdot\\boldsymbol{\\mathcal{J}}\\;, \\\\\n    \\mathcal{J}_i &= -\\mu \\rho \\partial_i U + \\mu\\partial_j\\Sigma_{ij}\\;. \\label{eq:Poisson equation diff J}\n\\end{align}\n\\end{subequations}\nThe zero-flux boundary condition on the current at $x=0$ then reads\n\\begin{equation}\\label{eq:BC}\n    J_{x}(x=0,y) = \\left(\\mathcal{J}_{x}-D_{\\rm eff}\\partial_x \\rho\\right)\\big|_{x=0} = 0\\;.\n\\end{equation}\n\n\n\\subsection{Density profile and current}\\label{subsec:density and current}\n\nIn the absence of the obstacle, the solution $\\rho\\fw(\\bfr)$ to Eq.~\\eqref{eq:Poisson} with the boundary condition~\\eqref{eq:BC} is a homogeneous bulk complemented by a finite-size boundary layer near the wall where active particles accumulate on a scale comparable to the persistence length $\\ell_p$~\\cite{elgeti2009self}. In what follows, we denote by $\\boldsymbol{\\mathcal{J}}\\fw$ the corresponding source term in Eq.~\\eqref{eq:Poisson equation diff J} and by $\\boldsymbol\\Sigma\\fw$ the contribution~\\eqref{eq:Sigma} to the active stress.\nBy itself, determining $\\rho\\fw$ is already a difficult problem, whose exact solution is not known~\\cite{elgeti_wall_2013,lee2013active,Fily2015SM,ezhilan2015distribution,wagner_steady-state_2017,wagner2022steady}. To proceed, we thus work in the far field limit away from both the wall and the object, which is itself assumed to be far from the wall.\n\n\nWe first decompose the density field as $\\rho(\\bfr)=\\rho\\fw(\\bfr)+\\delta\\rho(\\bfr)$~\\footnote{In the semi-infinite system we consider here, $\\delta\\rho(\\bfr)$ vanishes at infinity. In a finite system, one would need to consider $\\rho=z \\rho\\fw +\\delta\\rho$ to ensure the proper normalization of the density field.}. Thanks to the linearity of Poisson's equation~\\eqref{eq:Poisson}, $\\delta\\rho$ satisfies\n\\begin{subequations}\\label{eq:Poisson difference}\n\\begin{align}\n    &D_{\\rm eff}\\nabla^2\\delta\\rho = \\nabla\\cdot\\boldsymbol{\\delta}\\boldsymbol{\\mathcal{J}}\\;, \\\\\n    &\\delta\\mathcal{J}_i = -\\mu \\rho \\partial_i U + \\partial_j \\delta\\Sigma_{ij}\\;,\n\\end{align}\n\\end{subequations}\nwhere we have defined $\\boldsymbol{\\delta}\\boldsymbol{\\mathcal{J}} \\equiv \\boldsymbol{\\mathcal{J}}-\\boldsymbol{\\mathcal{J}}\\fw$, and $\\delta\\boldsymbol{\\Sigma} \\equiv \\boldsymbol{\\Sigma}- \\boldsymbol{\\Sigma}\\fw$. The corresponding boundary conditions read:\n\\begin{equation}\\label{eq:BC difference}\n    D_{\\rm eff}\\partial_x \\delta\\rho\\big|_{x=0} = \\delta\\mathcal{J}_{x}(0,y)\\;.\n\\end{equation} \nEquations~\\eqref{eq:Poisson difference}-\\eqref{eq:BC difference} describe the density modulation created by the asymmetric object on the density profile induced by a flat wall. \nTo solve for $\\delta\\rho(\\bfr)$, we introduce the Neumann-Green's function in the right half-plane:\n\\begin{equation}\\label{eq:Neumann-Green's function flat wall}\n    G_N(\\vec{r};\\vec{r}') = -\\frac{1}{2\\pi} \\left[\\ln\\frac{|\\vec{r}-\\vec{r}'|}{\\ell_p} + \\ln\\frac{|\\vec{r}^\\perp-\\vec{r}'|}{\\ell_p}\\right]\\;.\n\\end{equation}\nHere the term involving $\\vec{r}^\\perp = (-x,y)$ can be interpreted as a mirror image created on the other side of the wall.\nNote that the Neumann-Green's function~\\eqref{eq:Neumann-Green's function flat wall} does not satisfy the boundary condition specified by Eq.~\\eqref{eq:BC difference}, since its $x$--derivative vanishes on the boundary. Using Green's second identity~\\cite{kevorkian1990partial,jackson_classical_1999}, this means that the solution $\\delta\\rho$ also includes a surface integral to enforce the correct boundary condition. All in all, it reads\n\\begin{subequations}\\label{eq:formal solution}\n\\begin{align}\n    \\delta \\rho(x,y) =& -\\frac{1}{D_{\\rm eff}}\\intop_0^\\infty dx'\\intop_{-\\infty}^\\infty dy'\\,G_N(x,y;x',y')\\nabla'\\cdot\\boldsymbol{\\delta}\\boldsymbol{\\mathcal{J}}'\\nonumber\\\\\n    & - \\intop_{-\\infty}^\\infty dy'\\,G_N(x,y;0,y')\\partial_x'\\delta\\rho'\\bigg|_{x'=0} \\nonumber \\\\\n    = &  -\\frac{\\mu}{D_{\\rm eff}}\\intop_0^\\infty dx'\\intop_{-\\infty}^\\infty dy'\\,\\rho'\\nabla'U \\cdot \\nabla' G_N(x,y;x',y')\\label{eq:rho2}\\\\\n    & -\\frac{\\mu}{D_{\\rm eff}}\\intop_0^\\infty dx'\\intop_{-\\infty}^\\infty dy'\\, G_N(x,y;x',y') \\partial_i'\\partial_j'\\delta\\Sigma_{ij}'\\label{eq:rho3} \\\\\n    & - \\frac{\\mu}{D_{\\rm eff}}\\intop_{-\\infty}^\\infty dy'\\,G_N(x,y;0,y')\\partial_j'\\delta\\Sigma_{xj}'\\bigg|_{x'=0}\\;, \\label{eq:rho4}\n\\end{align}\n\\end{subequations}\nwhere primed derivatives are taken with respect to $x'$ and $y'$. To obtain Eq.~\\eqref{eq:formal solution} we use Eqs. \\eqref{eq:Poisson difference} and \\eqref{eq:BC difference} and an integration by parts. As we now show, the leading-order contribution to $\\delta\\rho$ in the far field is given by~\\eqref{eq:rho2}. Noting that $\\nabla' U $ is localized at $\\bfr_0=(d,0)$, we  approximate the Green's function as $\\nabla' G_N(x,y;x',y')\\simeq \\nabla' G_N(x,y;x',y')|_{x'=d,y'=0}$ in the first integral. In the far field, where ${|\\vec{r}-\\vec{r}_0|,d\\gg a,\\ell_p}$ with $a$ the size of the object, this leads to\n\\begin{align}\\label{eq:density force monopole flat wall}\n    \\rho(\\vec{r}) \\simeq& \\rho_b + \\frac{\\mu }{2\\pi D_{\\rm eff}}\\left[\\frac{\\vec{p}\\cdot (\\vec{r}-\\vec{r}_0)}{\\left|\\vec{r}-\\vec{r}_0\\right|^2} + \\frac{\\vec{p}^\\perp \\cdot (\\vec{r}-\\vec{r}_0^\\perp)}{\\left|\\vec{r}-\\vec{r}_0^\\perp\n    \\right|^2}\\right] \\nonumber \\\\\n    & + \\mathcal{O}\\left(\\left|\\vec{r}-\\vec{r}_0\\right|^{-2},d^{-2}\\right)\\;,\n\\end{align}\nwhere $\\vec{p}^\\perp=(-p_x,p_y)$ and we have used both that \n$\\rho\\fw\\simeq \\rho_b$ far from the wall and that ${\\bf u} \\cdot {\\bf v} = {\\bf u}^\\perp \\cdot {\\bf v}^\\perp$. In Eq.~\\eqref{eq:density force monopole flat wall},  $\\vec{p}$ is a force monopole defined by\n\\begin{equation}\\label{eq:force monopole p flat wall}\n    \\vec{p} = -\\intop d\\vec{r}\\,\\rho\\nabla U\\;.\n\\end{equation}\nIt measures the force exerted on the active fluid by the object in a system without a wall, whose exact value depends on microscopic details of $U$.\nGoing back to Eq.~\\eqref{eq:formal solution}, we show in appendix~\\ref{app:multipole} that~\\eqref{eq:rho3} and~\\eqref{eq:rho4} are indeed negligible compared to~\\eqref{eq:density force monopole flat wall}. Intuitively, this relies both on the extra derivatives in Eq.~\\eqref{eq:rho3} and on the fact that we can use self-consistently the far-field approximation to $\\delta \\boldsymbol\\Sigma$ far away from the object.\n\n\\begin{center}\n\\begin{figure}[t]\n    \\begin{tikzpicture}\n        \\fill[teal!20!white] (-3,-1.5) rectangle (3,1.5);\n        \n        \\fill[purple!70!white] (2.59611-1.15,0.00139995+0.4) arc(158:338:0.375) -- (3.17561-1.15,-0.217276+0.4) arc(338:158:0.25) -- cycle;\n        \n        \\fill[purple!70!white] (-2.59611+1.15,0.00139995+0.4) arc(22:-158:0.375) -- (-3.17561+1.15,-0.217276+0.4) arc(-158:22:0.25) -- cycle;\n        \n        \\draw[-stealth,thick] (1.7,0) -- (1.7+0.26222,0.649029) node[anchor=east] {${\\bf p}$};\n        \\draw[thick] (2.05 ,0) arc(0:68:0.35) node[anchor=west, xshift=1.5mm] {$\\phi\\ $};\n        \n        \\draw[-stealth,thick] (-1.7,0) -- (-1.7-0.26222,0.649029) node[anchor=west, xshift=1mm] {${\\bf p}^\\perp$};\n        \\draw[thick] (-2.05 ,0) arc(180:180-68:0.35) node[anchor=east, xshift=-1mm] {$\\phi\\ $};\n        \n        \\draw[thick,->] (-3,0) -- (3,0) node[anchor=north west] {$\\!x$};\n        \\draw[thick,->] (0,-1.5) -- (0,1.5) node[anchor=south east] {$y$};\n    \\end{tikzpicture}\n    \\caption{The asymmetric object and the flat wall shown in Fig.~\\ref{fig:configuration} generate  density modulations and currents in the active medium, far away from both the object and the wall, equivalent to those generated by two force monopoles $\\bf p$ and $\\bf p^\\perp$ placed symmetrically with respect to the $x=0$ plane.}\\label{fig:configuration image}\n\\end{figure}\n\\end{center}\n\nThe far-field currents can then be obtained from the above result. We first note that, outside the object, $\\boldsymbol{\\mathcal{J}}$ is negligible compared to the diffusive current $-D_{\\rm eff} \\nabla \\rho$ (See Eq.~\\eqref{eq:def diff J}). One thus has that $\\vec{J}=\\boldsymbol{\\mathcal{J}}-D_{\\rm eff} \\nabla \\rho \\simeq -D_{\\rm eff} \\nabla \\rho$ so that, to leading order:\n\\begin{align}\n    \\vec{J} &\\underset{|\\vec{r}-\\vec{r}_0|,d\\gg a,\\ell_p}{\\simeq} \\frac{\\mu}{2\\pi |\\vec{r}-\\vec{r}_0|^2}\\left[\\frac{2[(\\vec{r}-\\vec{r}_0)\\cdot\\vec{p}](\\vec{r}-\\vec{r}_0)}{|\\vec{r}-\\vec{r}_0|^2} - \\vec{p}\\right]\\nonumber \\\\\n    & + \\frac{\\mu }{2\\pi |\\vec{r}^\\perp\n    -\\vec{r}_0|^2}\\left[\\frac{2[(\\vec{r}-\\vec{r}_0^\\perp)\\cdot\\vec{p}^\\perp\n    ](\\vec{r}-\\vec{r}_0^\\perp)}{|\\vec{r}^\\perp-\\vec{r}_0|^2} - \\vec{p}^\\perp\n    \\right]\\;.\n\\end{align}\n\nIn summary, to this order of the multipole expansion, the problem of finding the steady-state density in the far field is reduced to a much simpler problem\n\\begin{subequations}\\label{eq:reduced Poisson's equation}\n\\begin{align}\n    D_{\\rm eff}\\nabla^2  \\rho &= \\mu \\nabla\\cdot\\left[\\vec{p}\\delta(\\vec{r}-\\vec{r}_0)\\right]\\;,\\\\\n    \\partial_x \\rho\\big|_{x=0} &= 0\\;,\n\\end{align}\n\\end{subequations}\nwhich amounts to Eqs.~\\eqref{eq:Poisson difference} and~\\eqref{eq:BC difference} with $\\boldsymbol{\\mathcal{J}}\\simeq\\mu \\vec{p}\\delta(\\vec{r}-\\vec{r}_0)$. In the far field of both the object and the wall, the object thus appears as a force monopole ${\\bf p}$ at position $\\bfr_0$ driving the fluid while the wall is equivalent to an image monopole ${\\bf p}^\\perp$ at position $\\bfr_0^\\perp$, as can be read directly in Eq.~\\eqref{eq:density force monopole flat wall} (see Fig.~\\ref{fig:configuration image}).\n\n\n\\subsection{Nonconservative force induced on the object}\\label{subsec:force}\n\nAccording to Newton's third law, the object experiences a force $-{\\bf p}$ from the active fluid. Equation~\\eqref{eq:force monopole p flat wall} shows ${\\bf p}$ to depend on the local density of active particles $\\rho(\\bfr)$, which in turn depends on the distance $d$ from the wall through Eq.~\\eqref{eq:density force monopole flat wall}. It is thus convenient to decompose ${\\bf p}$ as: \n\\begin{equation}\\label{eq:F definition}\n    \\vec{p} \\equiv \\vec{p}_b - \\vec{F}\\;,\n\\end{equation}\nwith $\\vec{p}_b$ defined as the value of ${\\bf p}$ when $d \\to \\infty$. Then $\\vec{F}$ measures the change in the force due to the presence of the wall. Namely, $\\vec{F}$ is the force induced on the object by the wall, which is mediated by the active bath. \n\nSince the interaction with the wall is equivalent, to leading order, to the interaction with an image object, we can use the results of Refs.~\\cite{baek_generic_2018,granek2020bodies} to derive $\\vec{F}$. In the setting considered there, two objects, referred to as object 1 and object 2, are placed at positions $\\vec{r_1}$ and $\\vec r_2$, with  $\\vec{r}_{12}\\equiv\\vec{r}_1-\\vec{r}_2$. When $|\\vec{r}_{12}| \\to \\infty$ the objects experience forces $-\\vec{p}_1$ and $-\\vec{p}_2$ from the fluid, respectively. When $|\\vec{r}_{12}|$ is finite the force experienced by object 1 is $-\\vec{p}_1+\\vec{F}_{12}$, with $\\vec{F}_{12}$ the force exerted on object 1 due to the presence of object 2. In~\\cite{baek_generic_2018}, it was shown that, to leading order in the far field, the interaction force arises due to a density modulation $\\Delta \\rho (\\vec{r}_1)$ near object 1 due to object 2. This non-reciprocal interaction force takes the form:\n\\begin{equation} \\label{eq:F12}\n    \\vec{F}_{12} = -\\frac{\\Delta\\rho(\\vec{r}_1)}{\\rho_b}\\vec{p}_1\\;, \n\\end{equation}\nwith\n\\begin{equation} \\label{eq:Deltarho1}\n     \\Delta \\rho(\\vec{r}_1) = \\frac{\\mu}{2\\pi D_{\\rm eff}} \\frac{\\vec{r}_{12}\\cdot\\vec{p}_2}{|\\vec{r}_{12}|^2} + \\mathcal{O}(|\\vec{r}_{12}|^{-2})\\;.\n\\end{equation}\nHere, $\\bfr_{12}=(2d,0)$ and ${\\bf p}_2={\\bf p}_b^\\perp$ (see Fig.~\\ref{fig:configuration image}), leading to\n\\begin{equation} \\label{eq:F12-bare}\n    \\vec{F} = \\frac{\\mu} {2 \\pi D_{\\rm eff} \\rho_{b}} \\frac{p_{b,x} }{2 d}  \\vec{p}_b+\\mathcal{O}(d^{-2})\\;.\n\\end{equation}\nDenoting by $\\phi$ the orientation of ${\\bf p}_b$ relative to the $\\vec x$ axis then leads to:\n\\begin{align}\\label{eq:force flat wall}\n    \\vec{F} \n    = &\\frac{\\mu p_b^2}{8\\pi D_{\\rm eff} \\rho_b d} \\binom{1+\\cos(2\\phi)}{\\sin(2\\phi)}+{\\cal O}\n    (d^{-2})\\;,\n\\end{align} \nwith $p_b = |\\vec{p}_b|$. Note that this result implies that the wall \\textit{always repels the object}, irrespective of its orientation $\\phi$. It is easy to check that $\\partial_x F_y-\\partial_y F_x\\neq 0$, except when $\\phi\\in\\{0,\\pi\\}$, so that the interaction force is not conservative~\\footnote{The divergence of the force is negative throughout the domain, $\\nabla\\cdot{\\bf F}<0$, in principle allowing for possible stable fixed points if ${\\bf F}=0$.}.\n\n\\begin{center}\n\\begin{figure}[t]\n    \\begin{tikzpicture}[]\n    \n        \\fill[teal!20!white] (0,-1.5) rectangle (4,1.5);\n        \\fill[orange!65!white] (-0.2,-1.5) rectangle (0,1.5);\n        \\fill[pattern=north west lines, pattern color=black] (-0.2,-1.5) rectangle (0,1.5);\n        \n        \\node[color=purple!70!white, font=\\fontsize{50}{22.4}] at (2.5,0) {$\\uptau$};\n        \n        \\node[] at (2.55,1) {$\\tau_b$};\n        \\draw[thick,->] (1.9,0.3) arc(160:20:.7);\n        \n        \\draw[thick,->] (-.5,0) -- (4,0) node[anchor=north west] {$\\!x$};\n        \\draw[thick,->] (0,-1.5) -- (0,1.5) node[anchor=south east] {$y$};\n    \\end{tikzpicture}\n    \\caption{A $\\uptau$-shaped object generically experiences a non-zero self-torque $\\tau_b$.}\\label{fig:torque}\n\\end{figure}\n\\end{center}\n\nFinally, an asymmetric object may also experience a torque from the surrounding active fluid~\\cite{di_leonardo_bacterial_2010,Sokolov2010PNAS} (See Fig.~\\ref{fig:torque}). In two dimensions this torque is given by\n\\begin{equation}\\label{eq:torque}\n    \\boldsymbol\\tau = \\intop_\\Omega d\\vec{r}\\, \\rho(\\vec{r}) (\\vec{r}-\\vec{r}_{\\scriptstyle \\rm CM}) \\times \\nabla U\\;,\n\\end{equation}\nwhere $\\vec{r}_{\\scriptstyle \\rm CM}$ is the object's center of mass. Denoting the magnitude of $\\boldsymbol\\tau$ when $d\\to\\infty$ as $\\tau_b$ and using the image object along with the results of Refs.~\\cite{baek_generic_2018,granek2020bodies}, we find that the interaction torque $M$ due to the wall, defined through \n$\\tau=\\tau_b+M$, is given by\n\\begin{equation}\n    M = \\frac{\\mu p_b}{4\\pi D_{\\rm eff}\\rho_b} \\frac{\\cos(\\phi)}{d}\\tau_b + \\mathcal{O}(d^{-2})\\;.\n\\end{equation}\n\nNote that when the object is not chiral, $\\tau_b$ vanishes and there is no torque to order $\\mathcal{O}(d^{-1})$. Higher order contributions are, however, expected from symmetry considerations: the density modulation along $\\hat x$ due to the presence of the wall indeed breaks the chiral symmetry when $\\bf p$ is not along $\\hat x$. \n\n\n\\section{A object inside a circular cavity}\\label{sec:circular cavity}\n\n\nIn the previous section, we showed that, far from the object and away from a boundary layer created by a flat wall, the steady-state distribution and current of active particles are equivalent to those induced by two force monopoles placed symmetrically with respect to the plane of the wall. In turn, we showed that the object interacts with its mirror image, with an interaction force given by Eq.~\\eqref{eq:F12-bare}. \nWe now consider a different setup of an asymmetric object placed in a circular cavity (See Fig.~\\ref{fig:configuration circle}). We first determine in Section~\\ref{sec:CCdens} the long-ranged density modulation and current induced by object. Then, in Section~\\ref{sec:CCforce}, we compute the contribution of the force experienced by the object due to the circular confining boundary.\n\n\\begin{center}\n\\begin{figure}[t]\n    \\begin{tikzpicture}\n        \\clip (2-0.3,3.5) rectangle (5.5,-0.35);\n        \\filldraw[color=black,fill=orange!65!white] (2,0) circle (2.65);\n        \\filldraw[pattern=north east lines, pattern color=black] (2,0) circle (2.65);\n        \n        \\filldraw[color=black,fill=teal!20!white] (2,0) circle (2.5);\n    \n        \\draw[thick,->] (-1.1,0) -- (5.1,0) node[anchor=north west] {$\\!x$};\n        \\draw[thick,->] (2,-3) -- (2,3) node[anchor=south east] {$y$};\n        \n        \\fill[purple!70!white] (2.59611+.4,0.00139995+1) arc(158:338:0.375) -- (3.17561+.4,-0.217276+1) arc(338:158:0.25) -- cycle;\n        \n        \\draw[-stealth,thick] (3+.3,0+.6) -- (3+.3+0.26222,0.649029+.6) node[anchor=east, xshift=-1mm] {${\\bf p}$};\n        \\draw[-stealth,thick] (2,0) -- (3+.3,0+.6) node[anchor=south, xshift=-7mm, yshift=-3mm] {${\\bf r}_0$};\n        \\draw[dashed,thick] (3+.3,0+.6) -- (4.2699,1.04765);\n        \\draw[dashed,thick] (3+.3,0+.6) -- (4.35,.6);\n        \\draw[line width=1.2pt,blue] (3.3 - 0.02 + 0.363184 ,.6 + 0.167623) arc(25:68:0.4) node[anchor=west, xshift=1.5mm, yshift=1.5mm] {$\\psi\\; $};\n        \n        \\draw[thick] (3.3+.3 ,.6) arc(0:68:0.3) node[anchor=west, xshift=-2mm, yshift=-5mm] {$\\phi\\; $};\n        \n        \\draw[thick] (2+.7 ,0) arc(0:68:0.27) node[anchor=west, xshift=2mm, yshift=-.6mm] {$\\theta_0$};\n\n    \\end{tikzpicture}\n    \\caption{An asymmetric passive object in an active fluid placed inside a circular cavity of radius $R$. The object is located at $\\vec{r}_0$ at an angle $\\theta_0$ relative to the $\\boldsymbol{\\hat{x}}$ axis. The corresponding force monopole $\\vec{p}$  is directed along $\\psi=\\phi-\\theta_0$ relative to $\\hat {\\bf r}$.}\\label{fig:configuration circle}\n\\end{figure}\n\\end{center}\n\n\\subsection{Density profile and current}\n\\label{sec:CCdens}\nConsider a passive asymmetric object placed inside an active fluid confined by a circular cavity of radius $R$. To make progress we assume that the far-field density modulation is given, to leading order, by the solution of Eq.~\\eqref{eq:reduced Poisson's equation} together with the Neumann boundary condition $\\hat r \\cdot \\nabla \\rho(\\bfr)|_{|\\bfr|=R}=0$.\nThe Neumann-Green's function in this geometry can be obtained in several ways, for example, by using conformal transformations or by using the polar symmetry of the domain. It is given by~\\cite{kevorkian1990partial}\n\\begin{align}\n    G^{\\rm disk}_N(\\vec{r};\\vec{r}_0) = -\\frac{1}{2\\pi}&\\left[\\ln\\left(|\\vec{r}-\\vec{r}_0|\/\\ell_p\\right)\\right. \\nonumber \\\\\n    +&\\left. \\ln\\left(|\\vec{r}-\\tilde{\\vec{r}}_0|\/\\ell_p\\right) + \\ln\\left(r_0\/\\ell_p\\right)\\right]\\;,\n\\end{align}\nwith $\\tilde{\\vec{r}}_0 \\equiv (R\/r_0)^2\\vec{r}_0$. Again, we write  $\\rho=\\rho_b + \\delta\\rho$, with $\\rho_b$ the average density in the cavity. The leading order density modulation $\\delta\\rho(\\vec{r})$ is then given in the far field by\n\\if{\\begin{equation}\\label{eq:density disk}\n    \\delta\\rho \\simeq - \\frac{\\mu}{2\\pi D_{\\rm eff}}\\left[\\left(\\frac{\\vec{r}-\\vec{r}_0}{\\left|\\vec{r}-\\vec{r}_0\\right|^2} - \\frac{\\vec{r}_0}{r_0^2}\\right)\\cdot \\vec{p} - \\frac{(\\vec{r}-\\tilde{\\vec{r}}_0)\\cdot \\tilde{\\vec{p}}}{\\left|\\vec{r}-\\tilde{\\vec{r}}_0\\right|^2}\\right]\\;,\\nonumber\n\\end{equation}}\\fi\n\\begin{equation}\\label{eq:density disk}\n    \\delta\\rho \\simeq - \\frac{\\mu}{2\\pi D_{\\rm eff}}\\left[\\frac{(\\vec{r}-\\vec{r}_0)\\cdot \\vec{p}}{\\left|\\vec{r}-\\vec{r}_0\\right|^2} - \\frac{(\\vec{r}-\\tilde{\\vec{r}}_0)\\cdot \\tilde{\\vec{p}}}{\\left|\\vec{r}-\\tilde{\\vec{r}}_0\\right|^2}\\right]+\\frac{\\mu \\,\\bfr_0\\cdot \\vec{p}}{2 \\pi D_{\\rm eff}r_0^2}\\;,\n\\end{equation}\nwhere $\\tilde{\\vec{p}}\\equiv (R\/r_0)^2 p \\vec{u}(2\\theta_0-\\phi)$. The diffusive current is then obtained using $\\vec{J}\\simeq -D_{\\rm eff}\\nabla \\rho$, leading to\n\\begin{align}\n    \\vec{J} \\simeq \\frac{\\mu}{2\\pi} &\\left[\\frac{1}{|\\vec{r}-\\vec{r}_0|^2}\\left(\\frac{2[(\\vec{r}-\\vec{r}_0)\\cdot\\vec{p}](\\vec{r}-\\vec{r}_0)}{|\\vec{r}-\\vec{r}_0|^2} - \\vec{p}\\right) \\right. \\nonumber \\\\\n    - &\\;\\, \\left. \\frac{1}{|\\vec{r}-\\tilde{\\vec{r}}_0|^2}\\left(\\frac{2[(\\vec{r}-\\tilde{\\vec{r}}_0)\\cdot\\tilde{\\vec{p}}](\\vec{r}-\\tilde{\\vec{r}}_0)}{|\\vec{r}-\\tilde{\\vec{r}}_0|^2} - \\tilde{\\vec{p}}\\right) \\right]\\;.\\label{eq:Jcircular}\n\\end{align}\nAgain, the current in Eq.~\\eqref{eq:Jcircular} is equivalent to that generated by the force monopole and an image monopole $\\tilde {\\bf p}$  placed at $\\tilde \\bfr_0$. The same applies to the density modulation, which also experiences an additional uniform contribution that enforces mass conservation.\n\nWe verified our predictions using numerical simulations of RTPs which are shown in Figure~\\ref{fig:density and current}. Both density modulations and currents  are well described by Eqs.~\\eqref{eq:density disk} and~\\eqref{eq:Jcircular}. \n\n\\begin{figure}[h!]\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{density_and_current.eps}\n\t\\caption {Density and current profiles surrounding an asymmetric object inside a circular cavity. The object, shaped as a semicircular arc of diameter $d_{\\rm arc}=\\ell_p$, is located at $\\vec{r}_0=(0.45R,0)$ with an orientation making an angle $\\phi=0.6\\pi$ with the $\\boldsymbol{\\hat{x}}$ axis. \n\tThe object is displayed in orange and enlarged by a factor of six.\n\t(a) Steady-state density modulation relative to the bulk density, $\\delta\\rho\/\\rho_b$, compared with the analytical expression~\\eqref{eq:density disk} in gray. (b) Streamlines of the steady-state current. The measurement (in light blue) is compared with the theory (in gray), for the same parameters as in (a).\n    In both panels, the parameters were set as follows:  $N=10^5$ RTPs travel with speed $v=10^{-4}$ and tumble at rate $\\alpha = 10^{-2}$. \n    See Appendix~\\ref{app:numerics} for details.}\n \t\\label{fig:density and current}\n\\end{figure}\n\n\\subsection{Interaction force}\\label{sec:CCforce}\nNext we turn to derive the force induced on the object by the circular wall. To do this we first note that the presence of the wall leads to a density modulation\n\\begin{equation}\n    \\Delta\\rho(\\vec{r}_0) \\approx \\frac{\\mu}{2\\pi D_{\\rm eff}}\\left.\\left[ \\frac{\\vec{r}_0}{r_0^2}\\cdot \\vec{p} + \\frac{(\\vec{r}-\\tilde{\\vec{r}}_0)\\cdot \\tilde{\\vec{p}}}{\\left|\\vec{r}-\\tilde{\\vec{r}}_0\\right|^2}\\right]\\right|_{\\vec{r}=\\vec{r_0}}\\;,\n\\end{equation}\nwhen compared to the situation in an infinite space. The force due to the presence of the wall is then given by  Eq.~\\eqref{eq:F12}, which leads to:\n\\begin{equation}\\label{eq:force circular cavity}\n    \\vec{F} \\approx -\\frac{\\mu p_b^2}{2\\pi D_{\\rm eff}\\rho_b}\\frac{r_0\\cos(\\phi-\\theta_0)}{R^2-r_0^2}\\binom{\\cos(\\phi)}{\\sin(\\phi)}\\;,\n\\end{equation}\nwith $p_b$ the magnitude of the force monopole measured either in the center of the cavity or equivalently for $\\tilde{ r}_0 \\to \\infty$. As in the case of a flat wall, the force always repels the object away from the wall, as can be seen by setting $\\theta_0=0$. Figure~\\ref{fig:force collapse} shows a collapse of the force measured on the object for various orientations and distances from the wall, showing good agreement with the theory~\\eqref{eq:force circular cavity}.\n\n\\begin{figure}\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{force_collapse.eps}\n\t\\caption{Collapse of the interaction force exerted on the object. The data displayed here shows magnitude of the interaction force~\\eqref{eq:force circular cavity} divided by its angular dependence $\\cos(\\psi)=\\cos(\\phi-\\theta_0)$ relative to the strength of the force monopole $p$. \n\tThe solid black line shows the theoretical prediction with no parameter fitting.\n\tNote that the deviation from the theory near the walls is expected, due to higher-order interactions.\n\t}\n \t\\label{fig:force collapse}\n\\end{figure}\n\nFinally, as in the case of the flat wall, we can compute the interaction torque $M$ acting on the object, which is given by\n\\begin{equation}\n    M \\approx \\frac{\\mu p_b}{2\\pi D_{\\rm eff}\\rho_b}\\frac{r_0\\cos(\\phi-\\theta_0)}{R^2-r_0^2}\\tau_b\\;,\n\\end{equation}\nwhere $\\tau_b$ is the object's self-torque measured at $r_0=0$.\n\n\\section{Dynamics of an asymmetric object inside a circular cavity}\\label{sec:dynamics}\n\nIn the previous section, we computed  the density modulation and current induced by a polar object held fixed in a circular cavity. The presence of confining walls leads to a renormalization of the force felt by the object which depends on its position and orientation. When the object is mobile, it is thus endowed with a non-uniform propulsion force. In this section we use a toy model to capture the corresponding dynamics and characterize its steady-state distribution. We find that the interaction with the wall leads to a transition between two distinct behaviors: the object is  localized either in the center of the cavity or near the edges, as observed in Fig.~\\ref{fig:body prob dist}. \n\nTo lighten the notations, we drop the subscript \"0\" when refering to the object so that its position reads ${\\bf r}=r {\\bf u}(\\theta)$ and its orientation makes an angle $\\phi$ with $\\hat x$. We model the object's dynamics as an effective Langevin equation:\n\\begin{subequations}\\label{eq:body Langevin}\n\\begin{align}\n    \\dot{\\vec{r}} =& \\mu_0 p \\vec{u}(\\phi) + \\mu_0 \\vec{F}(r,\\theta,\\phi)  + \\sqrt{2D_t^e}\\boldsymbol{\\eta}(t) \\;,\\label{eq:dynpos}  \\\\\n    \\dot{\\phi} =& \\sqrt{2D_r^e} \\xi(t)\\;,\n\\end{align}\n\\end{subequations}\nwhere $\\mu_0$ is the mobility of the object, $p$ is the magnitude of $-{\\bf p}_b$, $D_t^e$ and $D_r^e$ are effective translational and rotational diffusivities, and $\\eta_i(t)$ and $\\xi(t)$ are Gaussian white noises of zero mean and unit variance. For simplicity, we consider a symmetric object whose self-torque is zero. \n\nWe now use the explicit expression of ${\\bf F}$ given in Eq.~\\eqref{eq:force circular cavity} and the angle $\\psi=\\phi-\\theta$ between the object and $\\hat {\\bf r}$ (see Fig.~\\ref{fig:configuration circle}) to rewrite  Eq.~\\eqref{eq:body Langevin} as a dynamics for $r$, $\\theta$ and $\\psi$. Since $r={\\bf r}\\cdot \\hat {r}$, It\\=o calculus implies that $\\dot r=\\dot{\\bf r}\\cdot \\hat r + D_t^e\/r$. Similar to the case of a particle in a harmonic well~\\cite{solon_active_2015}, the equations for $r$ and $\\psi$ decouple from the dynamics of $\\theta$, and read:\n\\begin{subequations}\\label{eq:body Langevin 2}\n\\begin{align}\n    \\dot r =& \\mu_0 p \\cos\\psi \\left[1 -\\frac{q r R \\cos(\\psi)}{ R^2-r^2}\\right]+\\frac{D_t^e}{r}+ \\sqrt{2D_t^e} \\eta_r(t) \\;,\\label{eq:dynposr}  \\\\\n    \\dot{\\psi} =& -\\frac{\\mu_0 p \\sin\\psi}{r} \\left[1 -\\frac{q r R \\cos(\\psi)}{ R^2-r^2}\\right]\\nonumber \\\\ &\\quad+\\sqrt{2\\left(\\frac{D_t^e}{r^2}+D_r^e\\right)} \\xi_\\psi(t)\\;\\label{eq:dynpospsi},\n\\end{align}\n\\end{subequations}\nwhere $\\eta_r$ and $\\xi_\\psi$ are Gaussian white noises of zero mean and unit variance and $q=\\mu p\/(2 \\pi D_{\\rm eff} \\rho_b R)$ is a dimensionless parameter.\n\n\\if{\nThis Langevin dynamics is equivalent to the Fokker-Planck equation:\n\\begin{subequations}\\label{eq:FP object}\n\\begin{align}\n    \\partial_t P =& - \\frac{1}{r_0}\\frac{\\partial}{\\partial r_0}\\left(r_0 J_r\\right) - \\frac{1}{r_0}\\frac{\\partial J_\\psi}{\\partial \\psi}\\;,\\\\\n    J_r =& \\mu_0 p \\cos(\\psi) \\left(1-\\frac{q R^2 r_0 \\cos(\\psi)}{R^2 - r_0^2}\\right) P - D_t^e \\partial_{r_0} P\\;,\\\\\n    J_\\psi =& -\\mu_0 p \\sin(\\psi) \\left(1-\\frac{q R^2 r_0 \\cos(\\psi)}{R^2 - r_0^2}\\right)P \\nonumber \\\\\n    &- \\left(\\frac{D_t^e}{r_0} + r_0 D_r^e\\right) \\partial_\\psi P\\;.\n\\end{align}\n\\end{subequations}\nHere $J_r$ is the radial current flowing in the system, $J_\\psi$ the current associated with the relative angle $\\psi$, and $q\\equiv \\mu p\/(2\\pi D_{\\rm eff}\\rho_b R^2)$ an inverse length scale associated with the interaction with the walls. It should further be noted that the probability distribution $P(r_0,\\psi)$ is normalized such that $\\int dr_0 d\\psi\\,r_0 P(r_0,\\psi)=1$.}\\fi\n\nSolving for the steady-state probability distribution $P(r,\\psi)$ remains a hard task. Instead, we study the dynamics~\\eqref{eq:body Langevin 2} in two limits: first when the object reorients so quickly that it is no longer persistent, $D_r^e\\to\\infty$, resulting in an effective equilibrium dynamics; and second, in the opposite limit, $D_r^e\\to0$, when the object is highly persistent. These two regimes lead to very different behaviors that explain the transition observed in Fig.~\\ref{fig:body prob dist}.\n\n\\textit{Effective equilibrium limit.}\nIn the large $D_r^e$ limit, the dynamics of $\\psi$ is dominated by the rotational diffusion, which leads to $P(r,\\psi)\\simeq P(r)\/(2\\pi)$. Taking the average of Eq.~\\eqref{eq:dynposr} with respect to $\\psi$ then leads to:\n\\begin{equation}\\label{eq:body Langevin 4}\n\\dot r = - \\frac{ \\mu_0 p  q r R}{2( R^2-r^2)}+ \\frac{D_t^e}{r}+\\sqrt{2D_t^e} \\eta_r(t) \\;.\n\\end{equation}\nThe steady-state distribution of $r$ is then given by\n\\begin{equation}\\label{eq:P diff scalar}\n P(r)\\propto r \\left(1-\\frac{r^2}{R^2}\\right)^{\\frac{\\mu_0 p q R}{4 D_t^e}}\\;,\n\\end{equation}\nwhere $P(r)$ is normalized as $\\int_0^R dr\\, P(r)=1$. Going back to the original ${\\bf r}$ variable, one thus gets\n\\begin{equation}\\label{eq:P diff}\n    P({\\bf r})\\propto  \\left(1-\\frac{|{\\bf r}|^2}{R^2}\\right)^{\\frac{\\mu_0 p q R}{4 D_t^e}}\\;,\n\\end{equation}\nwhose normalization in two dimensions reads $\\int d{\\bf r}\\,P({\\bf r})=1$. Importantly, as can be seen in Fig.~\\ref{fig:diffusive P}, the distribution is peaked around ${\\bf r}=0$ and perfectly matches microscopic simulations of Eq.~\\eqref{eq:body Langevin 2}. The result is reminiscent of the steady-state distribution of a run-and-tumble particle in a harmonic well in one space dimension~\\cite{Tailleur2008PRL,dhar2019run}. \n\n\nFinally, we note that this effective equilibrium regime allows for the localization of the object in the bulk of a non-equilibrium diffusive fluid. As mentioned in the introduction, this would be impossible in equilibrium due to Earnshaw's theorem. Here, when going from Eq.~\\eqref{eq:body Langevin 2} to Eq.~\\eqref{eq:body Langevin 4}, the `bare' self-propulsion force of the object has cancelled out and we are only left with the contribution from its image. The reason why the latter does not lead to a vanishing contribution is the strong anti-correlation between ${\\bf p}$ and its image.\n\n\\begin{figure}\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{diffusive_bfr.eps}\n\t\\caption{Steady-state probability distribution $P({\\bf r})$ of the dynamics~\\eqref{eq:body Langevin 2} in the large $D_r^e$ limit. Direct simulations of the Langevin dynamics~\\eqref{eq:body Langevin 2} (blue dots) agree perfectly with the analytic prediction of Eq.~\\eqref{eq:P diff} (orange solid line).\n\t}\n \t\\label{fig:diffusive P}\n\\end{figure}\n\n\\textit{Large-persistence regime}.\nWe now consider the opposite limit of a very small rotational diffusivity and set, for simplicity, $D_t^e=0$. In this limit, the dynamics~\\eqref{eq:body Langevin 2} reduce to:\n\\begin{subequations}\\label{eq:body Langevin 3}\n\\begin{align}\n    \\dot r =& \\mu_0 p \\cos\\psi \\left[1 -\\frac{q r R \\cos(\\psi)}{ R^2-r^2}\\right]\\;,  \\\\\n    \\dot{\\psi} =& -\\frac{\\mu_0 p \\sin\\psi}{r} \\left[1 -\\frac{q r R \\cos(\\psi)}{ R^2-r^2}\\right]\\;.\\label{eq:psi dynamics persistent}\n\\end{align}\n\\end{subequations}\nFollowing~\\cite{solon_active_2015}, we expect that, in this noiseless limit, the object's position and orientation remain close to the stable fixed points of the dynamics~\\eqref{eq:body Langevin 3}, found by requiring $\\partial_t r=\\partial_t \\psi = 0$.\nDirect inspection shows that all fixed points $(r^*,\\psi^*)$ satisfy\n\\begin{equation}\n    1 -\\frac{q r^* R \\cos(\\psi^*)}{ R^2-(r^*)^2} = 0\\;.\n\\end{equation}\nThere is thus a continuous line of fixed points, which can be parameterized as $r^*=r^*(\\psi^*)$:\n\\begin{equation}\\label{eq:r*}\n    r^*(\\psi^*) = \\frac R 2 \\left(\\sqrt{(q \\cos\\psi^*)^2+4} - q \\cos\\psi^*\\right)\\;,\n\\end{equation}\nwith $\\psi^*\\in[-\\pi\/2,\\pi\/2]$. The minimal value of $r^*(\\psi^*)$ corresponds to $\\psi^*=0$ and $r^*(0)=\\frac{R}2(\\sqrt{q^2+4}-q)>0$. This demonstrates that, in the steady state, the object is positioned at a finite distance from the origin, unlike in the effective equilibrium limit. By changing the rotational diffusion of the object, one can thus shift its most probable localization from the center of the cavity to its periphery.\nNote that Eq.~\\eqref{eq:body Langevin 3} relies on the far-field approximation, which is only valid far from the walls of confining boundaries. \\if{Ultimately, the only stable position of the object is at a distance close enough to the boundary where the continuum limit is no longer valid.}\\fi\nUltimately, the only stable position of the object is at a distance close enough to the boundary that the modulation of the density of active particles is of order of $\\rho_b$.\n\nWhile the above discussion already proves the existence of the localization transition, we characterize, for completeness, the stability of the line of fixed points of the large persistence regime. As a first step, we linearize the dynamics~\\eqref{eq:body Langevin 3} about $r^*(\\psi^*)$. This yields a dynamical system that can be written as\n\\begin{equation}\n    \\partial_t \\begin{pmatrix}\n                    \\delta r\\\\\n                    \\delta \\psi\n                \\end{pmatrix} = M(\\psi^*) \\begin{pmatrix}\n                    \\delta r\\\\\n                    \\delta \\psi\n                \\end{pmatrix} + \\mathcal{O}(\\delta r^2,\\delta\\psi^2,\\delta r \\delta\\psi)\\;,\n\\end{equation}  \nfor $\\delta r\\equiv r - r^*(\\psi^*)$ and $\\delta \\psi \\equiv \\psi - \\psi^*$, where \n\\begin{subequations}\n\\begin{align}\n    M_{11} =& -\\frac{\\mu_0p}{2q R}\\left[4 +q \\cos\\psi^*\\times \\right. \\\\ \n    & \\quad\\times\\left. \\left( \\sqrt{(q \\cos\\psi^*)^2+4}+q \\cos\\psi^*\\right)\\right]\\;,\\nonumber \\\\\n    M_{12} =& \\mu_0p\\sin\\psi^*\\;,\\\\\n    M_{21} =& \\frac{mu_0p}{2 q R^2}\\left[2 \\tan\\psi^* \\sqrt{(q \\cos\\psi^*)^2+4}+4 q \\sin\\psi^*\\right. \\nonumber \\\\\n    &\\left.+ \\frac{q^2}2 \\sin(2\\psi^*) \\left(\\sqrt{(q \\cos\\psi^*)^2+4}+q \\cos\\psi^*\\right)\\right]\\\\\n    M_{22} =& -\\frac{2 \\mu_0 p}{R}\\frac{ \\sin\\psi^*\\tan\\psi^*}{\\sqrt{(q \\cos\\psi^*)^2+4}-q \\cos\\psi^*}\\;.\n\\end{align}\n\\end{subequations}\nNote that the matrix $M$ depends on the value of $\\psi^*$. For a given value of $\\psi^*$, $M$ can be diagonalized. Its eigenvectors point in two different directions: ${\\bf v}_1(\\psi^*)$ is tangent to the curve $r^*(\\psi^*)$ and corresponds to a zero eigenvalue $\\lambda_1=0$;  ${\\bf v}_2(\\psi^*)$ points in a different direction and is associated to a negative eigenvalue $\\lambda_2$, given by\n\\begin{equation}\n    \\lambda_2(\\psi^*) = -\\frac{\\mu_0p}{2 q R}\\left(4 + q^2 + q\\frac{\\sqrt{(q\\cos\\psi^*)^2+4}}{\\cos\\psi^*}\\right)\\;.\n\\end{equation}\n\\if{It should be noted that when $\\psi^*=0$ the eigenvectors point along the directions of $\\delta r$ and $\\delta \\psi$, namely, ${\\bf v}_1(\\psi^*=0)=(0,1)$ and ${\\bf v}_2(\\psi^*=0)=(1,0)$.}\\fi The direction along the line of fixed point is thus, as expected, marginally stable, whereas the transverse direction is linearly stable. To find the most probable value of $\\psi^*$ and $r^*$, we thus need to go beyond the linear stability analysis and consider the non-linear dynamics of the perturbation along the line of fixed points. \n\n\\if{The linear stability of the fixed points can be studied using the eigenvalues and the eigenvectors of $M$. Since ${\\bf v}_2$ never points along $r^*(\\psi^*)$ and since $\\lambda_2(\\psi^*)$ is always negative, the direction of ${\\bf v}_2$ is stable, with a `restoring force' making the dynamics\n\\begin{equation}\n    \\partial_t {\\bf v}_2 = -\\lambda_2 {\\bf v}_2\\;.\n\\end{equation}\nA general perturbation will thus have a component parallel to ${\\bf v}_2$, that will take it back to the line $r^*(\\psi^*)$.\n\nThe dynamics along the other eigenvector is different. As the eigenvector ${\\bf v}_1(\\psi^*)$ has a null eigenvalue, it is only marginally stable: it is not clear whether the object moves along the line $r^*(\\psi^*)$, changing $\\psi^*$, or stays put. To study this point, one needs to go beyond the linear stability analysis and consider the non-linear effects of the perturbation. }\\fi\n\nTo do so, we expand the evolution of $\\delta\\psi$, given by Eq.~\\eqref{eq:psi dynamics persistent}, to second order in $\\delta r $ and $\\delta \\psi$.\nImposing a perturbation tangent to the curve $r^*(\\psi^*)$ then couples $\\delta r$ and $\\delta \\psi$. This leads to a closed dynamics for $\\delta\\psi$ given by\n\\begin{equation}\n    \\partial_t \\delta \\psi = \\Gamma(\\psi^*) \\delta \\psi^2\\;,\n\\end{equation}\nwhere $\\Gamma(\\psi^*)$ is given in Appendix~\\ref{app:numerics}. Figure~\\ref{fig:dtpsi} shows that $\\Gamma(\\psi^*)$ and $\\psi^*$ have opposite signs so that $\\psi^*=0$ is the sole stable fixed point.\n\nIn the steady state, we thus expect the object to point towards the wall, with $\\psi=0$, at a distance $r=\\frac{R}{2} (\\sqrt{q^2+4} - q)$ from the center of the cavity. Small deviations from this solution are expected mainly along the line of fixed points $r^*(\\psi^*)$. This behavior is verified by a direct numerical simulation of Eq.~\\eqref{eq:body Langevin 2} presented in Fig.~\\ref{fig:persistent P}.\n\n\\begin{figure}\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{Gamma_psi.eps}\n\t\\caption{ $\\Gamma(\\psi^*)$ as a function of $\\psi^*$, for $q=0.5$. The exact expression is given in Appendix~\\ref{app:numerics}. For $\\psi^*>0$, any perturbation $\\delta\\psi$ causes $\\psi^*$ to decrease. For $\\psi^*<0$, the opposite happens, leading to $\\psi^*=0$ as the sole stable fixed point.\n\t}\n \t\\label{fig:dtpsi}\n\\end{figure}\n\n\\begin{figure}\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{persistent.eps}\n\t\\caption{Steady-state behavior of the object in the small $D_r^e$ limit (with $D_t^e=0$).\n\t(a) The probability distribution $P({\\bf r},\\psi)$ measured by direct simulations of the Langevin dynamics~\\eqref{eq:body Langevin 2}. The dotted orange line corresponds to the line of fixed points $r^*(\\psi^*)$ given in Eq.~\\eqref{eq:r*}.\n\t(b) The corresponding marginal probability density $P({\\bf r})$. The dotted orange line marks the expected position of the object when $D_r^e=0$: $r=r^*(\\psi=0)$.\n\t}\n \t\\label{fig:persistent P}\n\\end{figure}\n\n\\if{The dynamics near the stable fixed point $(r^*,\\psi^*)=\\left(\\frac R 2 \\left[\\sqrt{q^2+4} - q\\right],0\\right)$ can be further described using a time-dependent Landau approach.}\\fi\n\n\nAll in all, the two limits of large and small rotational diffusivity show that there is a localization transition from a distribution where the object is localized close to the walls of the cavity to a distribution where the object is localized in its center. The latter occurs when the rotational diffusivity is large. \nFigure~\\ref{fig:body prob dist2} shows the probability distributions of a polar object in a bath of active particles, measured numerically for the two regimes illustrated in Fig.~\\ref{fig:body prob dist}, which indeed exhibits the corresponding transition.\n\n\\if{Importantly the distribution is either concave or convex near the origin depending on whether the object's persistence time $1\/D_r^e$ is larger or smaller than a characteristic time $1\/(2\\mu_0 p q)$, which is controlled by the active bath, the object's shape and the size of the cavity. \nFigure~\\ref{fig:body prob dist2} shows the probability distributions measured numerically for the two regimes that were illustrated in Fig.~\\ref{fig:body prob dist}.\n\nThe underlying physics can be qualitatively understood by inspection of the Langevin dynamics~\\eqref{eq:body Langevin}. In the limit of fast rotational diffusion, the `bare' self propulsion $p {\\bf u}(\\phi)$ averages out, while the repulsion from the wall does not. This effectively localizes the object in the center of the cavity. On the contrary, when the object is very persistent and ${\\rm Pe}\\ll1$, the weak correction ${\\bf F}$ to the self-propulsion does not prevent the object from reaching the wall.\n}\\fi\n\n\\begin{figure}\n \t\\centering\n\t\\includegraphics[width=8.6 cm]{prob_dist26_new_norm.eps}\n\t\\caption{Comparison between the probability density of the object's position $P(\\bfr)$ and a uniform distribution $P_U(\\bfr)=1\/(\\pi R^2)$ distribution. The two panels differ by the object's rotational mobility  $\\gamma=10^2$ in (a) and $\\gamma=10^5$ in (b). The panels correspond to Figs.~\\ref{fig:body prob dist} (a) and (b), respectively. The shaded region indicates scales smaller than the object's diameter, where the sampling is expected to fail. See Appendix~\\ref{app:numerics} for numerical details.\n\t}\n \t\\label{fig:body prob dist2}\n\\end{figure}\n\n\\section{Conclusion}\n\nIn this manuscript we have considered the influence of boundaries on the motion of an asymmetric tracer in an active bath. Specifically, we have shown that the tracer experiences a non-conservative force mediated by the active medium,  whose magnitude depends on the object's orientation. We then demonstrated how this force can be used to control the position of the object far in the bulk of the system.\n\nTo leading order, we have shown that the interaction with the walls can be accounted for using a generalized image theorem, which states that the passive object experiences long-range forces from its image. This holds despite the non-trivial boundary condition for the active fluid near the boundary. Using this result, we showed that, inside a circular cavity, two regimes can be observed depending on the parameters: either the object is confined in the center of the cavity or it is localized close to its boundaries. All the results above are in sharp contrast to the case of a symmetric object where no stable minima can be found. \n\nFrom a broader point of view, numerous mechanisms were suggested in the past to localize objects in the center of closed domains. This was studied extensively~\\cite{ierushalmi2020centering,wuhr2009does,mitchison2012growth,xie2020cytoskeleton}, in particular in the context of cell division~\\cite{grill2005spindle,gundersen2013nuclear}.\nOur work offers a new, simple and generic mechanism to localize a passive object in the center of a circular region without requiring any exotic interactions. While simplistic in nature, this robust mechanism might play a role in such processes. It is tempting to search for additional applications of these forces, for instance to engineer passive objects that could be controlled by modifying the boundaries of the confining system. \nFinally, it would be interesting to generalize our approach to domains of arbitrary shapes. The only non-trivial step seems to be the calculation of the Green's function, whose form can be derived using conformal mappings. \nThis, however, is harder than it might seem since the Neumann boundary condition may introduce fictitious sources through the conformal mapping. A full generalization of our approach to general domains thus remains an open challenging problem.\n\n\\acknowledgements{}\n\nYBD and YK are supported by an Israel Science Foundation grant (2038\/21). YBD, YK and MK are supported by an NSF5-BSF Grant No. DMR-170828008. JT acknowledges the financial support of ANR grant THEMA.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\nJets are produced by the hard scattering of two partons. Two scattered partons\npropagate nearly back-to-back in azimuth from the collision point and \nfragment into jet-like spray of final state particles (The schematic view\nis in Figure 1). These particles have a transverse momentum $j_{T}$ \nwith respect to the parent partons, with component $j_{Tz}$ projected onto \nthe azimuthal plane. The magnitude of $j_{Tz}$ measured at lower energies \nhas been found to be $\\sqrt{s_{NN}}$ and $p_{T}$ independent. \n\nIn collinear partonic collisions, the two partons emerge with the same\nmagnitude of transverse momentum in opposite directions. However, the partons\ncarry the ``intrinsic'' transverse momentum $k_{T}$ before the collision. This\nmomentum affects the outgoing transverse momentum $p_{T}$, resulting in a\nmomentum imbalance (i.e. transverse momentum of one jet does not lie in the\nplane determined by the transverse momentum of the second jet and the beam\naxes) and consequently affects the back-to-back correlations of final high\n$p_{T}$ hadrons \\cite{R.P.Feynman}.\n\n\\begin{figure}[h!]\n\\includegraphics[height=0.4\\textheight]{frag2}\n\\caption{Schematic view of a jet fragmentation, near-side jet (upper) and\n  away-side jet (lower)}\n\\end{figure}\n\nThe back-to-back azimuthal correlations of high $p_{T}$ hadrons is written as\n\n\\begin{equation}\n  C(\\Delta\\Phi)=\\frac{1}{N_{trigger}}\\int d \\Delta\\eta\\frac{dN}{d \n  \\Delta\\Phi d\\Delta\\eta}\n\\end{equation}\n\n\\hspace{-0.4cm}where $\\Delta\\Phi$ and $\\Delta\\eta$ are, respectively, the\nazimuthal angle and pseudorapidity between a trigger and their associated\nparticles.  The azimuthal correlation function displays a two-peak structure, \nwhere the width of the near-side peak is denoted by $\\sigma_{N}$ and the width \nof the away-side peak is $\\sigma_{A}$. The value of $\\sigma_{N}$ carries\ninformation on the fragmentation process only i.e. $j_{T}$. For particles with\naverage transverse momenta  $<p_{T, trigg}>$  and $<p_{T,  associate}>$ from\nthe same jet, the width of the near-side correlation,  $\\sigma_{N}$, can be\nrelated to $<j_{Tz}>$ as \\cite{Rak:2001}:\n\n\\begin{equation}\n  <j_{Tz}>=\\frac{<p_{T,trigger}><p_{T,associate}>}{\\sqrt{<p_{T,trigger}>^2+<p_{T,associate}>^2}} \\sigma_{N}\n\\end{equation}\n\nThe width of the away-side peak  $\\sigma_{A}$ contain the contribution of the \nintrinsic transverse momentum $k_{T}$. It has been characterized by a Gaussian\ndistribution \\cite{Wang:1998ww}\n\n\\begin{equation}\n g(k_{T})=\\frac{1}{2\\pi\\sigma^{2}}exp({-\\frac{k_{T}^{2}}{2\\sigma^{2}}})\n\\end{equation}\n\nThe azimuthal correlations are used extensively in heavy ions collisions to\nunderstand the parton suppression mechanisms. We have concentrated in this work\nto the simplest case i.e. p-p to understand the size and details of the peaks\nin azimuthal correlations.\n\n\\section{$k_{T}$ contribution in the azimuthal correlations}\n\nCorrelation function was calculated choosing $<k_{T}^{2}>$=0, 1, 4 $\nGeV^{2}\/c^{2}$ at 200 GeV in a mid-rapidity region ($\\mid\\eta\\mid <$ 0.7).\n Charged hadrons in 4 < $p_{T, trigg}$ < 6 GeV\/c and in \n2 GeV $<$ p$_{T,assoc} <$ 4 GeV are defined to be trigger and\n associated particles respectively. In the actual calculation, we use PYTHIA\n 6.325 \\cite{Sostrand2001} in AliRoot \\cite{ALICE} to simulate each hard scattering  \nwhere a Gaussian distribution is assuming for $k_{T}$. \nThe correlations functions were fitted  by the sum of two Gaussians, one for \nthe near-side component (around $\\Delta\\Phi$ = 0 radians) and one for the \naway-side component (around $\\Delta\\Phi$ = $\\pi$   radians) and a constant for\nthe uncorrelated pairs.\n\nFigure 2 compares experimental data \\cite{Adams:2003im} with different\n$<k_{T}^{2}>$ simulations. In the four cases is observed that can not\nreproduce experimental data. In order to reproduce the experimental data, we characterize the intrinsic momentum by two Gaussians distributions\n\n\\begin{figure}\n  \\includegraphics[height=.45\\textheight]{AzCor-4-6}\n  \\caption{Azimuthal distributions for p+p collisions at $\\sqrt{s_{NN}}$ = 200\n    GeV, experimental data \\cite{Adams:2003im} and\n    simulations with different $<k_{T}^{2}>$ }\n\\end{figure}\n\n\\begin{equation}\n  g(k_{T1},k_{T2})=\\frac{1}{2\\pi\\sigma_{1}^{2}}exp({-\\frac{k_{T1}^{2}}{2\\sigma_{1}^{2}}})+\n\\frac{1}{2\\pi\\sigma_{2}^{2}}exp({-\\frac{k_{T2}^{2}}{2\\sigma_{2}^{2}}})\n\\end{equation}\n\n\\hspace{-0.4cm}This distribution was adding in PYTHIA code and calculated the\nazimuthal correlations. The Figure 3 show the experimental data and the \nsimulation. The simulation is in good agreement with the experimental data. \nThe values of $<k_{T1}>$ and $<k_{T2}>$ are 0.558 $\\pm$ 0.042 and \n$<k_{T2}>$ = 0.099 $\\pm$ 0.050 respectively. In addition the magnitude of \nthe partonic transverse momentum $<j_{Tz}>$ was\n calculated. The values obtained of $<j_{Tz}>$ = 0.397 $\\pm$ 0.091  GeV\/c are in\n agreement with the average value  $<j_{Tz}>$ = 0.324 $\\pm$ 0.06 GeV\/c obtained\n experimentally \\cite{Rak:2004gk}.\n\n\\begin{figure}\n\\includegraphics[height=.4\\textheight]{AzCor-4-6-final}\n\\caption{Azimuthal distributions for p+p collisions, experimental data (line)\n  \\cite{Adams:2003im} and  simulations with two Gaussian distributions for the partons intrinsic\n    momentum (circle)}\n\\end{figure}\n\n\\section{Summary}\n\nWe report the analysis of experimental azimuthal correlations measured by STAR\nin p-p collisions at $\\sqrt{s_{NN}}$ = 200 GeV. Comparisons between\nexperimental data and simulation with different $<k_{T}^{2}>$ show that the\n$<k_{T}^{2}>$ characterized by a Gaussian distribution can not\nreproduce experimental data.\n\nAssuming two Gaussians distributions for $k_{T}$ the simulation \nis in agreement with the experimental data, as far as, we understand the use of\ntwo Gaussians. It has never been used before to explain the peaks observed in\nazimuthal correlations.\n\nIn addition the magnitude of the partonic transverse momentum $<j_{Tz}>$ was\n calculated. The values of $<j_{Tz}>$ =  0.397 $\\pm$ 0.091 GeV\/c are in\n agreement with the average value  $<j_{Tz}>$ = 0.324 $\\pm$ 0.06 GeV\/c obtained\n experimentally.\n\n\\begin{theacknowledgments}\nThe authors thanks A. Morsch for his valuable comments and\nsuggestions. Support for this work has been received by PAPIT-UNAM under grant\nnumber IN107105.\n\\end{theacknowledgments}\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nAs a concise mathematical tool, network is widely used to describe\nthe systems of interacting components \\cite{Watts1998,Barabasi1998,Newman2003},\nincluding social networks, World Wide Web and citation networks,\nto name a few. Among the studies on networks, much research\nattention has been paid to citation networks of papers, patents\nand legal cases \\cite{Price1965,Redner1998,Lehmann2003,Zhu2003,Redner2005}.\nIn particular, the scientific citation networks are the research subjects \nof much literature and it is believed that such studies can help us \nbetter understand the collaboration of scientists, the exchange of \nideas and create better scientific impact measures. In this paper, \nwe will focus on scientific citation networks. \n\nOne outstanding challenge of the studies on citation networks is\nto find the mechanism which governs the growth of citation networks.\nFor this purpose, many works have been done to investigate and model\nthe growth of citation networks \\cite{Sen2005,Hajra2005,Hajra2006,Cheng2007,Wang2008,Wang2009,Eom2011}.\nAmong the methods for citation network modeling, growth models are\nwidely used with the considerations that papers in citation network\nare added sequentially and all the out-links of a paper are generated\nwhen it joins the network. In a growth model, the key is to determine\nthe papers which will be cited by the new paper. Existing models\naddressed such problem using certain preferential attachment mechanisms,\ninvolving the in-degree \\cite{Price1965,Redner2005,Jeong2003},\nthe age \\cite{Zhu2003,Hajra2005,Hajra2006,Wang2008,Wang2009,Dorogovtsev2000}\nand the content similarity \\cite{Menczer2004,Cheng2009}.\nThese models perform well at reproducing the power-law degree distribution.\nHowever, they underestimate the number of triangles and thus\nfail to model the high clustering in citation networks,\nwhich is closely related with network transitivity and\nthe formation of communities \\cite{Kumpula2007}.\n\n\\begin{figure}\n\\begin{center}\n\\includegraphics[width=8cm]{1.eps}\n\\caption{\\label{fig1} Illustrations of (a) the forest fire model, (b) the\ntriadic closure model and (c) the DAC model proposed in this paper.\nHere the node $i$ is a new node and we assume its out degree is $3$.\nIn the forest fire model, $i$ firstly connects to an old node $j$ randomly\nand then links to some of $j$'s out- and in- neighbours, $k$ and $x$ for example.\nIn the triadic closure model, $i$ firstly connects to an old node $j$ through preferential attachment\nand then with some probability links to one of $j$'s neighbours, node $k$ as an example.\nThen $i$ attach an arc to one of $j$'s or $k$'s neighbours, $y$.\nIn the DAC model, $i$ firstly connects to an old node $j$ according to\npreferential attachment and then connects to $j$'s neighbours considering\nthe connecting pattern among them, such as the clique structure. Here,\nnodes $j$, $x$, $y$ form a clique and thus are preferred to be connected by node $i$.\n}\n\\end{center}\n\\end{figure}\n\n\nThe common practice to produce triangles is a copying strategy \\cite{Kumpula2007,Holme2002},\ni.e., a node copy the links of its neighbour as its own, \npartially or completely. Two typical models are the\nforest fire model proposed by Leskovec \\textit{et al.} \\cite{Leskovec2005} and the\ntriadic closure model proposed by Wu \\textit{et al.} \\cite{Wu2009},\nas shown in Fig.~\\ref{fig1}. In the forest fire model, a new paper\nrandomly cites an existing paper and then cites its references\nand its citing papers with certain probability. In the triadic\nclosure model, a new paper either cites an existing paper\naccording to certain preferential attachment mechanism or cites\nthe papers cited by the new paper's references. To our surprise,\nalthough these two typical models are designed with the goal to\nform abundant triangles, they highly underestimate the number of\ntriangles observed in real world networks, as shown in Fig.~\\ref{fig2}(a)\\footnote{\nIn \\cite{Wu2009} the number\nof triangles is claimed to agree with the real data. However,\nlots of the generated triangles are duplicate and in this paper the\nresults are calculated after removing those duplicates.}.\nOne possible cause of the underestimation lies in the copying strategy\nto form triangles. Specifically, when a new paper copies the links\nof its neighbours, it ignores the existing connections among the targets\nwhich are the papers citing or cited by the new paper's references.\nAs shown in Fig.~\\ref{fig1}, both the forest fire model and the triadic\nclosure based model are blind to the fact that there exits an link between\nthe target papers $x$ and $y$ and thus miss the chance to form more\ntriangles through citing them.\n\n\n\\begin{figure}\n\\begin{center}\n\\includegraphics[width=6cm]{2.a.eps}\n\\includegraphics[width=6cm]{2.b.eps}\n\\caption{\\label{fig2} (a) The growth of triangle number\n$T_i$ as a function of the network size $i$ of hep-th data, forest fire model\nand triadic closure model for the data. The\nhep-th data depict the citation relations among the preprints\non high-energy theory archive posted at www.arxiv.org between 1992\nand 2003. For the forest fire model the parameters are the\nsame as in \\cite{Leskovec2005}, and for the triadic closure model\nthe parameters are the same as in \\cite{Wu2009}. (b) The link density of\nthe reference graph as a function of node's out-degree in the hep-th data, forest fire model\nand triadic closure model for the data. $k_{out}$ denotes\nthe out-degree of the node and $\\overline{D}$ is the average link density of\nreference graphs of nodes with the same out-degree.\n}\n\\end{center}\n\\end{figure}\n\nIn this paper, by leveraging the knowledge ignored by the forementioned\ntwo models, we propose a new model to model the high clustering in\ncitation networks. We further verify the effectiveness of our model\nusing two real world citation networks, respectively from a\nspecial research area and a multidisciplinary research area.\nExperimental results demonstrate that our model can reproduce not\nonly the power-law degree distribution as traditional models\nbut also number of triangle, the high clustering coefficient and the\nsize distribution of co-citation clusters\nas observed in these real networks.\n\nThe rest of this paper is organized as follows. In Section~\\ref{sec2},\nwe analyze the structural characteristics of the reference graph of\npapers in a real citation network. Here, reference graph of a paper\ncharacterizes citation relations among the references of this paper.\nBased on the analysis results, in Section~\\ref{sec3}, we propose\nour DAC model to modeling the high clustering in citation networks.\nSection~\\ref{sec4} describes the experimental results by applying\nour model to model two real networks. Finally, Section~\\ref{sec5}\nconcludes this paper and gives some discussions.\n\n\\section{The reference graphs in the real data}\n\\label{sec2}\n\nBefore giving a model for citation network, we first analyze\na real world citation network, the hep-th network, \nto provide some intuitive indications for designing an appropriate \nmodel. Our analysis is conducted on the reference graph of\neach paper. A \\emph{reference graph} of a paper characterizes the\ncitation relations among the references of the paper. For a given paper,\nits reference graph can be viewed as its ``ego-graph'' or ``ego-network''\nbut excluding itself and the papers citing it. The structure of a reference\ngraph provides us a complete picture about the connecting status among\npapers before they are really cited. Therefore, the analysis on such a\ngraph is critical to find clues for the microscopic mechanisms \ngoverning the evolution of citation networks.\n\n\n\\begin{figure}\n\\begin{center}\n\\includegraphics[width=6cm]{3.a.eps}\n\\includegraphics[width=6cm]{3.b.eps}\n\\caption{\\label{fig3} (a) The reference graph\nof node $19000$ in the hep-th data. This node corresponds to\nthe paper ``Brane world from IIB matrices''\nwith DOI 10.1103\/PhysRevLett.85.4664. The graph contains $19$ nodes\nand $58$ arcs. (b) The cumulative distributions $P$ of\nthe average clique size and maximum clique size in the reference graphs.\nFor the average clique size of one reference graph, we find out\nall the maximal cliques in the reference graph, sum up their sizes and then\nmake an average. While for the maximum clique size, it refers to the size\nof the largest maximal clique in the reference graph. We can\nsee that about 58\\% reference graphs have a maximum clique with size\nno less than 5, and about 25\\% graphs have the average clique\nsize larger than 5. Moreover, 11\\% graphs have a maximum clique\nno less than 10. Old nodes have few out-degrees\nand to make observations clear here the result is gained\nusing the reference graphs of the newest 20\\% nodes.\n}\n\\end{center}\n\\end{figure}\n\nAs an example, Fig.~\\ref{fig3}(a) shows the reference graph of a paper\nin the hep-th data.\nWe can see that nodes in the graph are connected into a single component.\nThis indicates that when authors cite one paper they also tend to\ncite the paper's neighbours, i.e.,\npapers in the paper's references or papers citing the paper.\nThis phenomenon reflects the reading behaviour of researchers, i.e.,\nwhen they are interested in a paper they are very likely to be interested\nthe papers in its references and papers citing it. From Fig.~\\ref{fig3}(a),\nwe can also find that the reference graph has a very high link density.\nFig.~\\ref{fig2}(b) shows the link density of reference graphs with respect\nto the out degrees of papers. It is clear that the link density of a paper's\nreference graph is correlated with its out-degree. This phenomenon may be\nattributed to the facts that papers with high out-degrees are usually reviews\nor surveys and thus their reference graph have lower link density while\npapers with low out-degrees are papers on a specific topic. Furthermore,\nwe can find such a phenomenon cannot be well modeled by the existing two\ntypical models for high clustering in citation network. In particular,\nthe link density of the papers with high out-degrees are largely\nunderestimated.\n\nWe further find that the reference graph contains many cliques\nwith large sizes. A clique is a subgraph within which every two nodes\nare connected. Abundant cliques are crucial to high clustering \\cite{Cheng20102} and\ncommunity structure \\cite{Palla2005,Shen2009,Shen20092}.\nAs shown in Fig.~\\ref{fig3}(a), the reference graph contains\ntwo cliques with size $7$ and the\naverage clique size of the graph is about $4.56$. A large clique may\ncontain many smaller cliques. In this paper, we use the maximal\nclique to avoid the repetitive counting. Fig.~\\ref{fig3}(b) illustrates\nthe distribution of the size of maximal cliques.\nThe formation of these cliques roots in that authors\nalways cite a group of papers which are closely related.\nTake the literature of research on citation network as an\nexample:\nIn 2005, a paper $k$\n\\cite{Redner2005} revealed long-term systematic features of citation\nstatistics based the observations on a period of real data.\nLater on, a paper $j$ \\cite{Hajra2006} provided\na model for the aging characteristics in citation networks and\ncited $k$ as a reference. Recently, Wu \\emph{et al.}'s paper $i$ \\cite{Wu2009}\nintegrated the aging and triadic closure mechanisms to model\nthe citation patterns and cited both $j$ and $k$,\nwhich brings a 3-clique $ijk$.\nAs research on this problem goes on, new papers (such as this paper)\nwill cite these formers and larger cliques will emerge.\nThus, highly connected structure, such as clique, indicates topical\ncorrelations among the nodes in it. When a paper cites one node in a\nclique, with a high probability\nit will cite others also in the clique.\nBesides, a paper prefers to cite those with large in-degree (popular) and\nsmall age (undergoing recognition). Therefore, in a growth model\nin-degree and age are always taken into the preferential attachment.\n\n\n\\section{The DAC model}\n\\label{sec3}\n\nOn the basis of above observations, we propose our model\nfor citation networks - the \\emph{Degree}-\\emph{Aging} preferential attachment\nand \\emph{Clique} neighbourhood attachment model, DAC model for short.\nIt is a growth model in which nodes join the network sequentially and attach their\narcs to the old ones. In citation networks, nodes are ordered temporally, i.e., they joined\nthe network according to their ages. In our DAC model we\nkeep the orders and out-degree of nodes the same as in the original data.\nIt is innocuous to take the out-degree as given information because the out-degree\nof each paper is decided by its authors and most of the time we concern about the in-degree.\nAs its name explains, the DAC model is composed of two parts,\n\\begin{itemize}\n  \\item \\emph{the degree-aging preferential attachment}.\n  A new node $i$ firstly originates an arc to an old\n  node $j$ according to the probability $\\prod_{ij} \\propto k_{j}^{in} \\times t_{j}^{-\\alpha}$,\n  where $k_{j}^{in}$ is $j$'s in-degree, $t_{j}=i-j$ is the age of $j$\n  and $\\alpha>0$ is the decaying parameter. \n  Actually, this power-law form of probability function is widely \n  adopted to model degree-aging preferential attachment \n  in the literature, such as done in the Dorogovtsev-Mendes (DM) \n  model \\cite{Dorogovtsev2000} and the model in \\cite{Hajra2006}.\n\n  \\item \\emph{the clique neighbourhood attachment}.\n  With probability $\\beta$ ($0\\leq\\beta\\leq1$), node $i$ chooses to\n  link $j$'s \\emph{clique neighbours}, i.e., the nodes in the same\n  clique $j$ belongs to, as illustrated in Fig.~\\ref{fig1}(c).\n  Node $j$ may belong to many cliques\n  and $i$ randomly chooses one proportional to the clique's size and links\n  all the nodes in the clique.\n  Otherwise, i.e., with probability $1-\\beta$ or when there are no\n  clique neighbours $i$ can connect to, $i$ attaches an\n  arc using the degree-aging preferential attachment\n  as above. Here $j$ is one of $i$'s neighbours.\n\\end{itemize}\n\nWe repeat above attachment mechanisms to fill up the remaining out-degrees of $i$.\nObviously, the clique neighbourhood attachment takes the connecting patterns of\nthe potential neighbours into account and guides the formation of triangles.\nBy tuning the parameter $\\beta$ we can control the growth rate\nof clustering, i.e., larger $\\beta$ produces larger clustering.\n\n\\section{The data and modeling results}\n\\label{sec4}\n\nIn this section, we examine the DAC model on the following two real-world citation networks.\n\\begin{itemize}\n\\item \\texttt{hep-th} data, which comes from preprints on the high-energy theory\narchive posted at www.arxiv.org between 1992 and 2003. It contains $27,770$\npreprints after cleaning.\n\n\n\\item \\texttt{PNAS} data, which contains $23,572$\narticles published by the Proceedings of the National Academy of\nSciences (PNAS) of the United States of America from $1998$ to\n$2007$. We crawled the data at the journal's website\n(\\url{http:\/\/www.pnas.org}) in May 2008\\footnote{We removed the\nisolated nodes in the two data as we are going to model the citation patterns\nof citation networks and these nodes matter nothing in this study.}.\n\\end{itemize}\n\n\nWe choose the two networks because they provide data with\ndifferent types, i.e., one is on a special research area\nand the other is on multidisciplinary sciences.\nThe basic structural statistics of the two data are listed in\ntable~\\ref{tab:Data_description}. It shows that the two networks\nare comparable in network size while the hep-th network\nis much denser than PNAS. Since a large fraction\nof articles on the high-energy theory is put at www.arxiv.org,\nthe inner citations in the hep-th data is very dense. While for PNAS\ndata, papers broadly span physical, biological and social sciences,\ntherefore the inner citations are much lower.\n\nAs we intend to model the clustering features in citation networks,\nthree quantities are observed here: the number of triangles,\nthe clustering coefficient and the link density of reference graph.\nThe triangle number of the network is the basic statistic of\nclustering structures and its growth as a function of network size\nprovides insights of how the clustering evolves. The average clustering\ncoefficient for the network gives an overall indication of the\nclustering in the whole network. We also analyze the average clustering\ncoefficient of vertices with the same degree as a function of the degree,\nbecause this correlation is a useful function to understand the local\nstructure of the network. For the link density of reference graph,\nit is used to validate the matching of the real data and our model\nin selecting neighbours. Besides these statistics, the basic structural\nquantity, i.e., the in-degree distribution, is also measured here.\n\n\\begin{table}[ht]\n\\caption{\nBasic statistics of the hep-th data and PNAS data. $N$,\n$L$, $\\triangle$ and $\\overline{C}$ denote the number of nodes, arcs, triangles and\naverage clustering coefficient \\cite{Watts1998} in the empirical\nnetworks. $\\triangle_{ER}$ denotes the triangle number in the networks generated\nby the E-R random graph model. $\\triangle_{DAC}$ and $\\overline{C}_{DAC}$ denote\nthe triangle number and average clustering coefficient in the networks generated\nby the DAC model. The results of E-R model and DAC model are averaged over 100 independent realizations. }\n\\label{tab:Data_description}\n\\begin{center}\n\\begin{tabular}[]{ccc}\n\\hline \\hline\nMeasures\/Networks & hep-th   & PNAS \\\\\n\\hline\n$N$   & 27,770 & 23,572 \\\\\n$L$ & 352,768 & 40,853 \\\\\n$\\triangle$ & 1478,735 & 13,225 \\\\\n$ {\\triangle}_{DAC} $ & 1484,004$_{\\pm3813}$ & 13,336$_{\\pm172}$  \\\\\n$\\triangle_{ER}$ & 2742$_{\\pm51}$ & 7$_{\\pm2}$  \\\\\n$\\overline{C}$ &  0.312 & 0.171 \\\\\n$\\overline{C}_{DAC}$  & 0.354$_{\\pm0.005}$ & 0.186$_{\\pm0.002}$ \\\\\n\n\\hline \\hline\n\\end{tabular}\n\\end{center}\n\\end{table}\n\n\n\\begin{figure}\n\\centering\n\\includegraphics[width=5.5cm]{4.a.eps}\n\\includegraphics[width=5.5cm]{4.e.eps}\n\\includegraphics[width=5.5cm]{4.b.eps}\n\\includegraphics[width=5.5cm]{4.f.eps}\n\\includegraphics[width=5.5cm]{4.c.eps}\n\\includegraphics[width=5.5cm]{4.g.eps}\n\\includegraphics[width=5.5cm]{4.d.eps}\n\\includegraphics[width=5.5cm]{4.h.eps}\n\\caption{\\label{fig4} The in-degree distribution,\ngrowth of triangle number $T_i$ as a function of network size $i$,\nthe average clustering coefficient $\\overline{C}$ as a function of\nnode's degree $k$ and the link density of reference graph $\\overline{D}$\nas a function of node's out-degree $k_{out}$ of the two empirical networks and the DAC model.\nPlots (a), (b), (c) and (d) are for hep-th data and (e), (f), (g) and (h) are for PNAS data.\nParameters in the model are scanned in their reasonable ranges and gained by\nthe best fit for the empirical data, i.e., $\\alpha=1$ and $\\beta=0.48$ for hep-th data\nand $\\alpha=1$ and $\\beta=0.44$ for PNAS data. The results are averaged\nover 100 independent realizations.}\n\n\\end{figure}\n\n\nThe numerical results are shown in table~\\ref{tab:Data_description}\nand Fig.~\\ref{fig4}.\nWe find that although the two data are very different in nature,\nmany structural characteristics are shared,\ni.e., the in-degree distributions both follow a power law,\nthe triangle numbers are both much larger than random\nnetworks and the number of triangles both follow a\nsimilar growth law as a function of the network size.\nFor the performance of our DAC model, in table~\\ref{tab:Data_description}\nwe see the number of triangles and the average clustering coefficient\nare both matched for the two data, which confirms that our model\ncan reproduce the clustering features of citation networks.\nDetailed comparisons are shown in Fig.~\\ref{fig4}.\nFor the hep-th data, as Fig.~\\ref{fig4}(a) shows,\nthe in-degree distribution is well fitted.\nIn Fig.~\\ref{fig4}(b), we can see that not only the final number,\nbut also the growth of the triangle number is remarkably matched\nbetween our model and the empirical data. Fig.~\\ref{fig4}(c) reveals\nthat the average clustering coefficient decays with the node's degree in the\ndata and this feature is captured by our DAC model.\nThe fourth quantity is the link density of reference graph that we show\nin Fig.~\\ref{fig4}(d). The relationship between link density and\nout-degree is well reproduced by the DAC model.\nFor the PNAS data, the four statistics observed here are all\nwell reproduced by the model too.\n\nBesides the microscopic clustering statistics such \nas number of triangles and clustering coefficient, \nwe also investigate the size distribution of co-citation clusters \\cite{Chen2010} \nto verify the effectiveness of our model. For a given citation network, \nwe first construct a co-citation network, in which nodes are papers and two nodes \nadd one link once their corresponding papers are cited by a same paper. \nThe co-citation network is undirected and weighted with weight \non edge $e_{ij}$ measured in terms of cosine coefficients between \nthe two sets of papers that cite i and j respectively \\cite{Chen2010}.\nThen we use the clique percolation method (CPM) \\cite{Palla2005} to \nidentify co-citation clusters in the co-citation network. \nAs CPM requires the network to be unweighted, we remove all edges \nwith weights smaller than a threshold $w^*$ and $w^*$ is determined \nusing the method provided in \\cite{Palla2005}. \nFig.~\\ref{fig5} shows the size distributions of co-citation \nclusters for hep-th network and PNAS network. We can see that \nthe DAC model generates comparable size distributions as the\nreal data. Moreover, the size distributions of the two networks both have\nbroad ranges, which is in agreement with the results in \\cite{Palla2005}. \n\n\\begin{figure}\n\\centering\n\\includegraphics[width=5.5cm]{5.a.eps}\n\\includegraphics[width=5.5cm]{5.b.eps}\n\\caption{\\label{fig5} The cumulative size distribution of co-citation clusters\nfor the two empirical networks and the DAC model. The clusters are gained by \nclique percolation method \\cite{Palla2005} with $k=4$. In both figures, $P$ denotes \nthe cumulative distribution and $S$ denotes the size of clusters.}\n\n\\end{figure}\n\n\\section{Conclusion and Discussion}\n\\label{sec5}\n\nIn this paper, we focused on modeling the clustering features in citation networks.\nWe observed that the reference graphs are always highly connected and\ncontain lots of cliques, which helps the formation of clustering in the network.\nBased on these observations, we proposed a growth model, the DAC model, for citation networks.\nThe model adds nodes one by one and fills up the nodes' out-degrees taking\nadvantage of two attachment mechanisms: the degree-aging preferential attachment\nand the clique neighbourhood attachment. We validated the model by comparing\nfour quantities, the in-degree distribution, the growth of triangle number,\nthe average clustering coefficient, the link density of reference graphs and the size \ndistribution of co-citation clusters on two real-world citation \nnetworks. Good agreements are gained for both data\nby tuning parameters in the attachment mechanisms.\n\nThe results on the two real-world data suggest that the attachment mechanisms\nin the model capture the linking rules of scientific citation networks:\na paper prefers to cite recent and popular ones and this\nhelps to form the degree distribution of the network.\nMoreover, a paper tends to cite its neighbours' clique neighbours and this\nhelps to form the clustering. This work is a step forward in the modeling of citation\nnetworks and will provide insights for further studies such as the formation\nof subgraphs.\n\nIn this paper we provide one way to incorporate the topological information\nof the potential neighbours and better methods are worth being explored.\nNodes in citation networks are always documents, thus\ntextual or semantical information may be helpful\nin the preferential attachment mechanisms and\nthe previous works \\cite{Menczer2004,Cheng2009} give us\nsome indications. Moreover, high clustering is a common characteristic in many\nreal-world networks and we will further test our mechanisms in modeling\nthe evolutions of other kinds of network, such as the social network.\n\n\\section*{Acknowledgements}\nWe acknowledge Zhi-Xi Wu for providing code and discussion about\ntheir triadic closure model for citation networks. We also thanks Tao Zhou\nfor helpful suggestions. This work is partially\nsupported by the National Natural Science\nFoundation of China under grant numbers 60873245, 60933005 and 61173008.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nThe analysis of the counting statistics, which concerns the probability distribution $P_q(t)$ of $q$ charge transfer events during a measurement time $t$, has attracted a lot of interest, since it \nprovides information about interactions and correlations between electrons \\cite{nazarov,blanter}. While traditionally these studies have been devoted to the stationary regime (long \nmeasuring times), there has been an increasing interest on the understanding of the time-dependent regime, triggered by recent advances on single electron sources \\cite{feve,bocquillon,dubois} and the \nneed to characterize these sources for detecting single electrons \\cite{marquardt}.\n\nIn this context, some works have recently analyze the time-dependent transport statistics, studying the charge transferred cumulants \\cite{PNAS_Flindt,Fricke,Fricke2} and the factorial cumulants \\cite{Stegmann} in \nthe incoherent regime. However, the coherent regime has been much less investigated \\cite{Kambly}.  The existence of an universal scaling law for the higher order cumulants has been reported in both, the incoherent \\cite{PNAS_Flindt} and the coherent \\cite{DTA} regimes.  \n\nThe present work is devoted to the study of the full counting statistics in the time dependent regime, analyzing the origin and the robustness of the short time universal behavior. The system we consider is a spinless quantum dot (which will be referred to simply as \\emph{dot} in what follows) coherently coupled to metallic electrodes. \nIn order to study this system, we make use of Green function techniques, which are in principle the most appropriate tool to study the time-dependent properties for coherently coupled conductors both in the non-interacting \\cite{Mukamel1,tang,tang2} and the interacting \\cite{DTA} cases. \nWe will compare two different parameter regimes corresponding to the incoherent (accessible by setting temperature much bigger than the tunneling rates coupling the dot and the metallic electrodes) and the coherent (zero temperature) situations. \nIn the first part of the work we will focus on the uni-directional transport, considering that the voltage is the biggest energy scale in the system, while in  the final part we will relax this \ncondition, and analyze the situation of bidirectional transport through the system.\n\nTogether with the numerical results, new simplified expressions are presented for the charge and the current cumulants as a function of the zeros of the generating function. These expressions are \ncompletely general, being valid not only in the transient regime, but also can be extended to the long time stationary case.\n \nThe paper is organized as follows: in Sect. \\ref{Model} we introduce the theoretical model, together with the contour formalism and the simplified expressions for the charge and current characteristics.\nIn Sect. \\ref{results} we analyze the results for the uni-directional case with one and two electrodes coupled to the dot, and the bidirectional one, showing their dependence with the zeros of the \ngenerating function. Finally, Sect. \\ref{conclusions} is devoted to summarize the main conclusions of the work.\n\n\n\\section{Model and formalism}\n\\label{Model}\nThe system we consider is a quantum dot coupled to metallic electrodes, modeled by a single spinless level coupled to metallic electrodes. The Hamiltonian of the system \nis\n\\begin{equation}\n H=H_d+H_{leads}+H_T\n\\end{equation}\nbeing $H_d=\\epsilon d^{\\dagger} d$, where $\\epsilon$ is the bare electronic level and $d$ is the annihilation operator in the dot, \n$H_{leads}=\\sum_{\\nu k}\\epsilon_{\\nu k}c^{\\dagger}_{\\nu k} c_{\\nu k}$  ($\\nu =L,R$), where $\\epsilon_{\\nu k}$ are the leads electron energies, and $c^{\\dagger}_{\\nu k}$ are the corresponding creation \noperators acting on the electrodes. The bias voltage applied to the junction is imposed by shifting the chemical potentials of the electrodes $V=\\mu_L-\\mu_R$. The tunneling processes are described by \n\\begin{equation}\n H_T=\\theta(t)\\sum_{\\nu k}(\\gamma_{\\nu k}d^{\\dagger} c_{\\nu k}+\\mbox{h.c.})\\;,\n \\label{tunnel}\n\\end{equation}\nwhere $\\gamma_{\\nu k}$ are the tunneling amplitudes. Note that this part of the Hamiltonian has an explicit dependence on time through the Heaviside function. We define the tunneling rates \n$\\Gamma_\\nu=\\mbox{Im}\\sum_k|\\gamma_{\\nu k}|^2\/(w-\\epsilon_{\\nu k}-i0^+)$, which can be considered constant in the so-called wide band approximation, and $\\Gamma=\\Gamma_L+\\Gamma_R$.\n\nIn the present work we focus on the transient dynamics of the system from an initial $t=0$ configuration when the dot is suddenly connected to the electrodes\nas described by Eq. (\\ref{tunnel}). \nThis situation might become experimentally accessible in the situation when the tunnel\n barriers can be controlled in times much smaller than the typical tunneling time for electrons. \n\nThe corresponding properties can\nbe obtained form the Generating Function (GF), defined as\n\\begin{equation}\n Z(\\chi,t)=\\sum_{q}P_q(t)e^{iq\\chi}\\;,\n\\label{GF::prob}\n\\end{equation}\nwhere the $P_p(t)$ denotes the probability of transferring $q$ electrons through the dot in the measuring time, $t$. The GF is related to the cumulant Generating function (CGF) by\n$S(\\chi,t)=\\log\\,Z(\\chi,t)$ and all the charge transfer cumulants can be obtained from derivatives of this CGF as\n\\begin{equation}\n c_j(t)=\\left.\\left(\\frac{\\partial}{\\partial i\\chi}\\right)^j S(\\chi,t)\\right|_{\\chi=0}\\;.\n\\label{def::c_j}\n\\end{equation}\n\n\n\\subsection{Keldysh contour integration}\nThe GF (\\ref{GF::prob}) can be written \\cite{Mukamel1} as an average of the evolution operator over the Keldysh contour, shown in Fig. \\ref{Keldysh-contour}\n\\begin{equation}\n Z(\\chi,t)=\\left\\langle T_c\\exp\\left\\{-i\\int_c \\bar{H}_{T,\\chi}(t')dt'\\right\\}\\right\\rangle_0 \\;,\n\\end{equation}\nwhere $\\bar{H}_{T,\\chi}$ is the tunnel Hamiltonian with a counting field $\\chi(t)$ which takes the values $\\pm\\chi$ on the two branches of the Keldysh contour entering as a phase factor modulating the\ntunnel amplitude, i.e.\n\\begin{equation}\n \\bar{H}_{T,\\chi}=\\theta(t)\\sum_{\\nu k}\\left(e^{i\\chi_\\nu}\\gamma_{\\nu k}c_{\\nu k}^\\dagger d+\\mbox{h.c.}\\right)\\,.\n\\end{equation}\n\nNotice that the different charge and current cumulants can be defined depending on how the phase $\\chi(t)$ is distributed on the left and the right tunnel couplings. For instance, \ntaking $\\chi_L=\\chi(t)$ and $\\chi_R=0$, $Z(\\chi,t)$ generates the current and charge transfer cumulants through the interface between the left lead and the dot. This is the choice that we shall\nselect for the rest of the work.\n\nIn Refs.\\cite{utsumi,Mukamel1} it has been shown by path-integral methods that \nin the non-interacting case $Z(\\chi,t)$ can be expressed as the following \nFredholm determinant, defined on the Keldysh contour\n\\begin{equation}\nZ(\\chi,t) = \\det\\left(G \\tilde{G}^{-1} \\right)=\n\\det\\left[ G\\left(g^{-1}_0 - \\tilde{\\Sigma}\\right)\\right] \\; ,\n\\label{z-nonint}\n\\end{equation}\nwhere $\\tilde{G}$ and $G$ denote the dot Keldysh Green functions,   \n$g_0$ corresponds to the uncoupled dot case and \n$\\tilde{\\Sigma}$ are the self-energies due to the coupling to the leads.  \nIn the quantities $\\tilde{G}$ and $\\tilde{\\Sigma}$ the $tilde$ indicates \nthe inclusion of the counting field in the tunnel amplitudes.\n\nAs shown in \\cite{kamenev} a simple discretized version of the inverse free dot Green \nfunction on the Keldysh contour is \n\n\\begin{figure}\n     \\begin{minipage}{1.0\\linewidth}\n      \\includegraphics[width=0.9\\textwidth]{fig1.eps}\n     \\end{minipage}\n\\caption{Keldysh contour considered to analyze the transient regime. $\\chi$ indicates the counting field\nchanging sign on the two branches of the contour and $\\Delta t$ corresponds to the time step in the\ndiscretized calculation of the generating function $Z(\\chi,t)$.}\n\\label{Keldysh-contour}\n\\end{figure}\n\n\\begin{equation}\ni g^{-1}_0 = \\left(\\begin{array}{cccc|cccc} -1 & & & & & & & -\\rho \\\\\nh_- & -1 & & & & & &  \\\\\n& h_- & -1 & & & & &  \\\\\n& & \\ddots & \\ddots & & & &  \\\\\n\\hline  \n&  & & 1 & -1 & & &  \\\\\n&  & & & h_+ & -1 & &   \\\\\n&  &  &  & & \\ddots & \\ddots &  \\\\\n&  &  & & & & h_+ & -1 \\end{array} \\right)_{2N\\times2N} \\; ,\n\\label{kamenev}\n\\end{equation}\nwhere $h_{\\pm} = 1 \\mp i\\epsilon_0 \\Delta t$, $\\Delta t$ indicates\nthe time step in the discretization with $N=t\/\\Delta t$. In this\nexpression $\\rho$ determines the initial dot charge $n_d$ by $n_d = \\rho\/(1+\\rho)$.\n\nOn the other hand, the dot self-energies are given by\n\\begin{equation}\n\\tilde{\\Sigma}^{\\alpha\\beta}(t,t') = \\alpha\\beta \\theta(t)\\theta(t') \\sum_{\\nu k}\n\\gamma_{\\nu k}^2 e^{i\\left(\\alpha-\\beta\\right)\\chi_{\\nu}\/2}g^{\\alpha\\beta}_{\\nu k}(t,t') \\; ,\n\\label{non-interacting-sigma}\n\\end{equation} \nwhere $g^{\\alpha\\beta}_{\\nu k}(t,t') = -i \\langle T_{\\cal C} c_{\\nu k}(t_{\\alpha}) c^{\\dagger}_{\\nu k}(t'_{\\beta}) \\rangle$, \nwith $\\alpha,\\beta\\equiv+,-$, are the Keldysh Green functions of the uncoupled leads. These self-energies can be evaluated on the time discretized time contour with $t_j=j\\Delta t$\n\\begin{eqnarray}\n \\Sigma^{+-}_{jk}&=&2i\\sum_{\\nu=L,R}e^{i\\chi_\\nu}\\Gamma_\\nu f^{\\nu}_{jk}\\nonumber\\\\\n \\Sigma^{-+}_{jk}&=&2i\\sum_{\\nu=L,R}e^{i\\chi_\\nu}\\Gamma_\\nu\\left[ f^{\\nu}_{jk}-\\delta[j-k]\\right]\\;,\n\\end{eqnarray}\nwhere $f^{\\nu}_{jk}$ are the Fourier transformed Fermi functions evaluated at a time $t=t_j-t_k$ and $\\delta$ is the Kronecker delta function. The other two components are given by \n$\\Sigma^{++}_{jk}=-\\theta[j-k]\\Sigma^{-+}_{jk}-\\theta[k-j]\\Sigma^{+-}_{jk}$ and $\\Sigma^{--}_{jk}=-\\theta[k-j]\\Sigma^{-+}_{jk}-\\theta[j-k]\\Sigma^{+-}_{jk}$. The Fourier transformed Fermi function can be \nwritten as\n\\begin{eqnarray}\n f^{\\nu}_{jk}&=&i\\sum_{n=0}^{\\infty}R_n\\left[\\theta[j-k]e^{\\beta_n (j-k)\\Delta t}\\right.\\nonumber\\\\\n&&\\left.-\\theta[k-j]e^{-\\beta_n (j-k)\\Delta t}\\right]e^{-i\\mu_x (j-k)\\Delta t}+\\frac{\\delta[j-k]}{2}, \\nonumber\\\\ \n\\end{eqnarray}\nwhere $\\beta_n$ and $R_n$ represent the poles and the residues of the Matsubara expansion, respectively, which depend on the temperature $T$. The convergence speed can be improved by using the \napproximated poles and residues proposed by T. Ozaki \\cite{Ozaki} and computed using a continued fraction. The algorithm has been found to converge \nprovided that $\\Delta t\\lesssim 1\/(10\\Gamma)$.\n\n\\subsection{Charge and current cumulants}\nThe expression of the GF (\\ref{GF::prob}) can be seen as a generalized polynomial with real coefficients with $z=e^{i\\chi}$ as the variable, i.e.\n\\begin{equation}\n Z(\\chi,t)=z^{-q^-_{max}}\\sum_{q=-q^-_{max}}^{q^+_{max}}P_q(t)z^{q+q_{min}}\\;,\n\\label{GF::pol}\n\\end{equation}\nwhere the sum has been truncated considering that until the measuring time $t$ there is a maximum amount of charge $q^+_{max}$ transferred from the (left) electrode to the dot, and the corresponding one in the opposite direction\n$q^-_{max}$. The prefactor $z^{-q^-_{max}}$ has been taken outside the summation in order to avoid $1\/z$ terms in the remaining polynomial. Another equivalent expression for the GF in terms of the zeros of the \npolynomial, $z=\\alpha_k$ is\n\\begin{equation}\n Z(\\chi,t)=z^{-q^-_{max}}\\prod_{k=1}^N\\left(z-\\alpha_k\\right)\/P_{q^+_{max}}(t)\\;,\n\\end{equation}\n$N=q^+_{max}+q^-_{max}$ being the number of zeros of the GF. As \nshown in Refs. \\cite{Utsumi,Kambly2,Abanov} in the absence interactions the zeros of the GF, or equivalently the singularities of the CGF,\nare expected to appear in the real negative axis of the complex plane. Substituting this expression in Eq. (\\ref{def::c_j}) we find\n\\begin{equation}\n c_j(t)=\\left.\\left(\\frac{\\partial}{\\partial (i\\chi)}\\right)^j \\left[\\sum_k\\left(e^{i\\chi}-\\alpha_k\\right)+q^-_{max}\\,e^{-i\\chi}\\right]\\right|_{\\chi=0}\\;,\n\\label{cj_sum}\n\\end{equation}\nwhich can be expressed as a sum of the contributions from the zeros of the GF, $\\alpha_k$. This expression can be summed up exactly, finding\n\\begin{equation}\n c_j(t)=-\\sum_k\\mbox{Li}_{1-j}\\left(\\frac{1}{\\alpha_k}\\right)\\;,\n\\label{charge::cum}\n\\end{equation}\nwhere the $\\mbox{Li}_{1-j}$ is the polylogarithm of order $1-j$ and we have made use of the symmetry with respect to the inversion of their argument $(-1)^n\\mbox{Li}_{-n}(x)=\\mbox{Li}_{-n}(1\/x)$ (for \n$n>0$ and $x<0$).  Since $Li_{1-j}(0)=0$, the pole at $z=0$ due to the factorization in Eq. (\\ref{GF::pol}) does not contribute to the transport properties. In Ref. \\cite{DTA}, we\ndeveloped an approximate expression for Eq. (\\ref{cj_sum}) in the case when the transport is dominated by a single process (the CGF is characterized by a single pole) and for orders $j\\gg1$. Eq. (\\ref{charge::cum}) \nconstitutes a generalization of that expression for the case when more processes are involved and for any order $j$.\n\nIn the long-time regime, for the non-interacting case, the poles tend to accumulate on the negative real axis, defining two branch-cuts: one between $-\\infty$ to a \npoint $z^-$, and the other one between $z^+$ and $0$ \\cite{Utsumi}, being the branch-points symmetrically located with respect to the point $z=e^{-\\beta V\/2}$. In Eq. (\\ref{charge::cum}) the long time \nlimit can be taken finding\n\\begin{equation}\n\\lim_{t\\rightarrow\\infty}  c_j(t) = -\\int_{-\\infty}^{z^-}dz \\rho(z)\\mbox{Li}_{1-j}\\left(z\\right)-\\int_{z^+}^{0}dz \\rho(z)\\mbox{Li}_{1-j}\\left(z\\right)\\;,\n\\end{equation}\nwhere $\\rho(z)$ is the distribution function for the poles. This stationary limit will be discussed elsewhere.\n\n\nThe current cumulants are defined as $I_j(t)=\\frac{d}{dt}c_j(t)$, which recovers the zero-frequency steady state current cumulants when the measuring time $t\\to\\infty$. We can make use of the \nproperties of the polylogarithms to determine the expression for the current cumulants\n\\begin{equation}\n I_j(t)=\\frac{d}{dt}c_j=-\\sum_k\\frac{\\alpha'_k}{\\alpha_k}\\mbox{Li}_{-j}\\left(\\frac{1}{\\alpha_k}\\right)\\;,\n\\label{current::cum}\n\\end{equation}\nwhich depends on the position, $\\alpha_k$, and velocity of the pole drift, $\\alpha'_k=\\partial \\alpha_k\/\\partial t\\,$. \n\n\\section{Results}\n\\label{results}\n\\subsection{Universal features in uni-directional transport}\n\n\\begin{figure}\n\\includegraphics[width=1\\linewidth]{fig2.eps}\n\\caption{(Color online): High order charge transfer cumulants comparing numerical results obtained by evaluating the Eq. (\\ref{z-nonint}) (full lines) \nwith the analytical expression of Eq. (\\ref{charge::cum}) (dashed line) for the dot connected to only one electrode. The position of the pole is determined by Eq. \\ref{dominant_pole}, with \n$\\alpha_{long-t}=0$. The model parameters are $\\Gamma_L=0.5$, $\\Gamma_R=0$, $\\mu_L=3$, $\\epsilon=0$, $T=0.1$ and the dot is initially empty. (The same kind of oscillations are found in the sequential \nregime $\\mu_L\\gg k_bT\\gg \\Gamma$.)}\n\\label{fig1}\n\\end{figure}\n\nWe will first discuss the case where the transport in the short time regime trough the system is purely uni-directional. In order to force the system to exhibit an uni-directional transport, we consider \nthe simple situation where a quantum dot prepared on a given initial configuration is suddenly coupled to only one single electrode. In this particular case \nand in the short time regime the GF can be approximated as \n\\begin{equation}\n Z(\\chi,t) \\simeq P(0,t)+P(\\pm1,t)e^{\\pm i\\chi}\\;,\n\\end{equation}\nwhere the sign $\\pm$ denote the direction of the transport, determined by the initial population in the dot: positive for initially empty dot (transport from the electrode to the dot), and negative in the \nopposite case. Then, the charge cumulants can be obtained as derivatives of\nthe CGF as \n\\begin{equation}\n c_j(t)=\\left.\\left(\\frac{\\partial}{\\partial i\\chi}\\right)^j \\log\\left[1+\\frac{1}{\\alpha}e^{\\pm i\\chi}\\right]\\right|_{\\chi=0}\\;,\n\\end{equation}\nwhere $\\alpha=(-P(0,t)\/P(\\pm1,t))^{\\pm1}$ is the only pole of the CGF. By using Eq. (\\ref{charge::cum}), the charge cumulants have the simple expression\n\\begin{equation}\n c_j(t)=(-1)\\mbox{Li}_{1-j}\\left(\\frac{1}{\\alpha}\\right)\\;,\n\\label{charge_cum::1lead}\n\\end{equation}\nwhere the $\\mbox{Li }_{1-j}$ is the polylogarithm of order $1-j$. In Fig. \\ref{fig1} we show the numerical results for high order cumulants of the transferred charge, compared with the analytical results.\nThe numerical results have been obtained by discretizing the Keldysh contour and evaluating numerically Eq. (\\ref{z-nonint}). \nThe time evolution of the pole of the CGF can be well approximated by\n\\begin{equation}\n \\alpha_1\\approx  -\\frac{1}{(1-e^{-\\Gamma_Lt})e^{2\\Gamma_Lt}}+\\alpha_{long-t}\\;,\n\\label{dominant_pole}\n\\end{equation}\n with the only fitting parameter $\\alpha_{long-t}$, the value of the pole at long times. The expression includes an exponentially decaying term to take into account the short time effects of the switching, and an exponentially increasing \nterm to simulate the movement of the pole from $ -\\infty$ to $0$ in the real negative axis. \n\nNotice that the analytic expression of Eq. (\\ref{charge_cum::1lead}) is not only valid for the high order cumulants, but is also exact for any cumulant's order. As shown in Ref. \\cite{DTA}, the high order charge cumulants exhibit an oscillatory behavior with amplitudes which scales as $\\mbox{max}(c_j)\\sim(j-1)!\\pi^{(-j+1\/2)}$.\n\n\\begin{figure}\n\\includegraphics[width=1\\linewidth]{fig3.eps}\n\\caption{(Color online): Current cumulants for the same case as in fig \\ref{fig1} comparing the analytic results (discontinuous line) with the numerical ones (continuous).}\n\\label{fig_Icum}\n\\end{figure}\n\n\nAccording to Eq. (\\ref{current::cum}), the current cumulants have the simple expression\n\\begin{equation}\n I_j(t)=-\\frac{\\alpha'}{\\alpha}\\mbox{Li}_{-j}\\left(\\frac{1}{\\alpha}\\right)\\;.\n\\end{equation}\nThis expression is dependent not only on the position of the pole, but also on the\nvelocity of its movement, breaking the universality at short times. In order to \nrecover universality we can\nnormalize the current cumulants with the current, finding\n\\begin{equation}\n \\frac{I_j(t)}{I_1(t)}=\\frac{\\mbox{Li}_{-j}(1\/\\alpha)}{\\mbox{Li}_{-1}(1\/\\alpha)}\\;,\n\\end{equation}\nwhich, as the charge cumulants, exhibit an universal oscillatory behavior at short times (see Fig. \\ref{fig_Icum}). As in the case of the charge cumulants, there is an universal scaling law for the current\ncumulants $\\mbox{max}(I_j\/I_1)\\sim j!\\pi^{(-j-1\/2)}$.\n\n\n\\subsection{Coherent effects in uni-directional transport}\nIn this section, we will discuss the the effect of attaching the system to a second electrode  simultaneously at $t=0$, in the regime where the transport is mainly uni-directional: $V\\gg\\Gamma$. Two\nregimes are going to be considered: the \\emph{sequential} regime ($V\\gg T\\gg\\Gamma$) and the \\emph{coherent} regime ($V\\gg \\Gamma\\gg T$).\\newline\nWe will first analyze the sequential case. In Fig. \\ref{sequential::Fig} some of the high order charge cumulants are presented in the upper panel, comparing numerical results together with \nthe analytical ones. For the analytic results we have considered that at short times the transport phenomena is dominated by a single pole given by Eq. (\\ref{dominant_pole}).\nAt very short times, universal oscillations are observed (black shadowed region), which are \nsignatures of uni-directional transport due to the dot charging process. At longer times ($t\\sim 10\\Gamma^{-1}_{L}$), the universality is broken due to the appearance of higher order processes, and the \nsystem evolves towards the stationary regime. A similar behavior is found by using the CGF provided by Flindt et. al. in Ref. \\cite{PNAS_Flindt}.\n\n\\begin{figure}\n\\includegraphics[width=1\\linewidth]{fig4.eps}\n\\caption{(Color online): In the upper panel we represent the high order charge cumulants, $c_{10}$, $c_{11}$ and $c_{12}$ in the sequential regime comparing numeric results (continuous line) and the \nanalytic one considering contributions from a single pole (discontinuous line) approximated by eq. (\\ref{dominant_pole}) with $\\alpha_{long-t}\\approx-0.4$. In the lower panel we represent the time \nevolution of the dominant poles of the CGF and the approximated dominant pole (black discontinuous line),\n together with the polylogarithm $Li_{11}$ (related to the cumulant $c_{12}$). At short time, there is a single dominant pole (gray line) which leads to universality at short time (shadowed region in \nthe upper panel), broken when more poles appear. The model parameters are $V=40$, $T=6$, $\\epsilon=0$, $\\Gamma_L=\\Gamma_R=0.5$ and the dot is initially unpopulated.}\n\\label{sequential::Fig}\n\\end{figure}\nIn the lower panels of Fig. \\ref{sequential::Fig} we show the first poles of the CGF (left panel) and the polylogarithm $Li_{11}$ (right panel), which is related to the charge cumulant $c_{12}$. The \nbackground color is used to indicate the height of $Li_{11}(\\alpha)$. The dominant pole at short times (gray line), related to the dot charging process, appears at $z\\to-\\infty$ and \nevolves towards its stationary value, closer to $z=0$.\nIn its evolution, the pole crosses the region $z\\sim1$, where the polylogarithms exhibit a strongly oscillatory behavior, producing the short time universal oscillations in the charge cumulants. \nAt longer times, higher order processes become probable, leading to the appearance of more poles, breaking the universality and strong suppression the oscillations due to averaging over all the \npoles.\\newline\nAs a final remark, in the lower panel of Fig. \\ref{sequential::Fig}  there is a pole starting from $z=0$ and moving in the opposite direction than the dominant pole (blue curve).\nThis pole is caused by the bi-directionality of the transport through the system: due to the temperature there is a finite probability for the electron to be transferred in the opposite direction\nthan the bias voltage, due to the fact that T is not negligible compared to V ($V\/T\\sim6$). In the steady state, a gap at $e^{-\\beta\\mu_L\/2}$ appears between the poles generated at $z\\to-\\infty$ \nand the ones at $z\\to0$ \\cite{Utsumi}.\\newline\n\n\\begin{figure}\n\\includegraphics[width=1\\linewidth]{fig5.eps}\n\\caption{(Color online): Upper panel: charge cumulants $c_{10}$, $c_{11}$ and $c_{12}$ comparing numeric results (continuous line) and the analytic one (discontinuous line).For the analytic result\ntwo poles are considered, being the first one described by \\ref{dominant_pole} with $\\alpha_{long-t}=-0.1$, and the second one by eq. \\ref{second_pole} with $\\alpha_{2,long-t}=-0.15$.\nAt very short times, the universal oscillations are seen (black shadowed region), while at intermediate times a second family of (in general, non-universal) oscillations appear (yellow shadowed region). \nIn the lower panels we represent the poles of the CGF (left) determined numerically (continuous lines) together with approximated (discontinuous lines), and the polylogarithm $\\mbox{Li}_{11}(\\alpha)$ \n(right). The model parameters are $V=6$, $T=0.1$, $\\epsilon=0$, $\\Gamma_L=\\Gamma_R=0.5$ and the dot is initially unpopulated.}\n\\label{coherent::Fig}\n\\end{figure}\n\nIn the upper panel of Fig. \\ref{coherent::Fig} we represent the same charge cumulants in the coherent regime and when the transport is still mainly uni-directional \n($V\\gg\\Gamma\\gg T$). As in the incoherent case, at short times we observe the universal oscillatory behavior which is a signature of the dot charging process (black shadowed region). However, at \nintermediate times ($t\\sim \\Gamma\/\\Gamma_L\\Gamma_R$) a secondary set of oscillations (yellow shadowed region) is observed. The shape and the amplitude of these second oscillations is not universal, since \nthey depend, generally, on the model parameters.\\newline\nThe existence of these two sets of oscillations can be understood by analyzing the pole's evolution of the CGF (lower panels of Fig. \\ref{coherent::Fig}). Similarly to the sequential case, the universal \noscillations appearing at short times are produced by the evolution of the dominant pole (gray line). The origin of the second set of oscillations is the appearance of a second pole (yellow curve) \ncrossing the region of strong oscillations of the polylogarithm, approximated by\n\\begin{equation}\n \\alpha_2\\approx  -\\frac{1}{(1-e^{-\\tilde{\\Gamma} (t-\\tau)})e^{2\\tilde{\\Gamma}t}}+\\alpha_{2,long-t}\\;,\\quad t>\\tau\\;;\n\\label{second_pole}\n\\end{equation}\nwith an effective rate $\\tilde{\\Gamma}=\\Gamma_{L}^2\\Gamma_R\/\\Gamma^2$, which takes into account that the second pole at short times is dominated by third order processes, and a delay time given by \nthe characteristic time evolution of the first pole $\\tau\\approx 1\/2\\Gamma_L$. This second pole is related to a higher order process where the charge of the dot is relaxed through the right electrode, \nand the dot is charged again from the left one. The main difference with respect to the case studied before is the larger interval between the second pole and the next ones, avoiding them to interfere \nand producing the second set of oscillations. However, the poles are not totally independent and they can interfere, inducing a breaking on the universality on the second set of oscillations.\n\n\\subsection{Bidirectional transport}\n\n\\begin{figure}\n\\includegraphics[width=1\\linewidth]{fig6.eps}\n\\caption{(Color online): Upper panel, higher order charge cumulants (full line) showing their deviation with respect to the universal analytic result (dashed line) due to the \nbidirectional transport. The corresponding parameters are $V=0$, $\\Gamma_L=\\Gamma_R=0.5$, $\\epsilon=0$, $T=0.1$ and the dot is initially empty. In the lower panel the amplitude of the oscillations are \nshown for the universal case (red dots), exhibiting an universal scaling of $\\mbox{max}(c_j)\\sim (j-1)!\\pi^{(-j+1\/2)}$, and for the bidirectional transport (blue squares), where the universal scaling is \nbroken.}\n\\label{break_universality}\n\\end{figure}\n\nIn this section we will analyze the situation when the transport at short time is not uni-directional, but electrons are allowed to tunnel in both directions of the junction. This kind of situation\nis found for an initially occupied dot or for $V\\lesssim \\Gamma$. In this section we will consider the limiting case when $V\\approx 0$, where the effects are more pronounced.\\newline\nIn the upper panel of Fig. \\ref{break_universality} we show the higher order cumulants comparing the numerical results (full line) with the analytic ones corresponding to the case of a single pole is\ninvolved in the transport, as described by Eq. (\\ref{dominant_pole}) (dashed line). At very short times ($t\\lesssim \\Gamma^{-1}_L$) the dominant process corresponds to the dot charging and we observe \nagain the universal features generated by the movement of a single dominant pole. However, at longer times, the universality is broken and we observe a new kind of oscillations with a renormalized \namplitude. In the lower panel of Fig. \\ref{break_universality} we represent the amplitude of the charge transfer cumulants oscillations with respect to the order, for the universal case (red dots) and the \nbidirectional one (blue squares). In the universal case the amplitude follows the scaling law $\\mbox{max}(c_j)\\sim (j-1)!\\pi^{(-j+1\/2)}$, while this law is broken in the bidirectional case.\\newline\nThe breaking of the universality is due to the interference between two dominant poles: one starting at $z\\to-\\infty$, related to the dot charging from the left electrode, and another \none at $z\\to0$, related to the dot discharging through the left electrode. As the Fermi edges of the electrodes and the dot level are aligned, these two poles are equally dominant, since both processes \nare equally probable, leading to an interference that produces the universality breaking. The short time universality is recovered in the case when one of the two poles (or, equivalently, the transport \nin one of the directions) become more favorable, and one can estimate that this happens when the bias voltage becomes bigger than the tunneling rates ($V\\approx\\Gamma$).\n\n\n\n\\section{conclusions}\n\\label{conclusions}\nIn this work we have presented an analysis of the time dependent counting statistics of electron transport through a quantum dot coupled to metallic electrodes. We have focused on the analysis of the \nshort time universality, developing new simplified analytic expressions as a functions of the poles of the CGF. We have understood that the universal oscillatory behavior of the \nhigher order cumulants are generated by relaxation of the initial condition, which leads to a uni-directional transport. We have analyzed the sequential regime ($V\\gg T\\gg\\Gamma$), where universal \noscillations in the charge cumulants are observed at short time, and the coherent regime ($V\\gg\\Gamma\\gg T$), where two sets of oscillations are found. Finally, we have analyzed the breaking of \nuniversality in the case of short time bidirectional transport occurring when the dot is on resonance and $V \\lesssim \\Gamma$.\n\n\\section{Acknowledgements}\nThe authors Acknowledge funding from MINECO through the grant FIS2014-55486-P. The authors thankfully acknowledges the computer resources, technical expertise and assistance provided by the Supercomputing \nand Visualization Center of Madrid (CeSViMa) and the Spanish Supercomputing Network (RES).\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\\section{Introduction}\n\nIn \\cite{matroid_axioms}, Bruhn, Diestel, Kriesell, Pendavingh and Wollan introduced axioms for infinite matroids \nin terms of independent sets, bases, circuits, closure and relative rank. \nThese axioms allow for duality of infinite matroids as known from finite matroid theory, which settles an old problem of Rado. This breakthrough allowed the development of the basic theory of infinite matroids (see for example \\cite{RD:HB:graphmatroids, HB:PW:connectivity, NB:JC:PC}). \n\nIn \\cite{ADP:decomposition}, Aigner-Horev, Diestel and Postle showed that any (infinite) matroid has a canonical tree-decomposition over its 2-separations. More precisely, a {\\em tree-decomposition of adhesion 2} of a matroid $N$ consists of a tree $T$ and a partition $R = (R_t)_{t \\in V(T)}$ of the ground set $E$ of $N$ such that for any element $tt'$ of $T$ the partition of the ground set induced by that element is a 2-separation of $N$. At each node $t$ of $T$ this gives a {\\em torso}: a matroid on a set consisting of $R_t$ together with some new {\\em virtual elements} corresponding to the edges incident with $t$ in $T$. What Aigner-Horev, Diestel and Postle showed is that any connected matroid has a canonical tree-decomposition of adhesion 2 such that all torsos are either 3-connected or else are circuits or cocircuits.\n\nIf the matroid $N$ is finite then it can easily be reconstructed from this decomposition, by taking the 2-sum of all the torsos. This is no longer possible for matroids in general. Consider for example the graph $Q$ obtained by taking the 2-sum of a ray of copies of $K_4$, as in \\autoref{fig:quircuits2}. The finite-cycle matroid $M_{FC}(Q)$ of $Q$ has as its circuits the edge sets of finite cycles in $Q$. The topological-cycle matroid $M_{TC}(Q)$ has as its circuits the edge sets of finite cycles and double rays in $Q$ (see \\cite{RD:HB:graphmatroids} for the definition of topological-cycle matroids of general graphs). Both of these matroids have the same tree-decomposition into torsos, consisting of a ray along which all torsos are the cycle matroid of the graph $K_4$, as in \\autoref{fig:quircuits2}.\n\n\\begin{figure}[htb]\n\\begin{center}\n \\includegraphics[width=8cm]{.\/quircuits2.pdf}\n\\end{center} \n\\caption{The graph $Q$ as constructed from a ray of copies of $K_4$: solid edges are edges of $Q$, dotted edges are eliminated when we take 2-sums} \\label{fig:quircuits2}\n\\end{figure}\n\nThus in order to reconstruct these two matroids we would need some additional information distinguishing them: in this case, the choice of whether to allow circuits which go infinitely far along the ray. We shall show that if the matroid we have decomposed is {\\em tame} (that is, any intersection of a circuit with a cocircuit is finite) then such a choice, for each end of the tree, is all the extra information that we need.\n\n\\begin{thm}\\label{tamemain}\nLet $R = (R_t)_{t \\in V(T)}$ be a tree-decomposition of adhesion 2 of a tame matroid $N$. Let $\\Psi$ be the set of ends $\\omega$ of $T$ which are {\\em used by} circuits of $N$, in the sense that there is a circuit $o$ of $N$ for which $\\omega$ lies in the closure of $\\{t \\in V(T) | o \\cap R_t \\neq \\emptyset\\}$. Then $N$ is uniquely determined by the tree $T$, the torsos $(N_t | t \\in T)$ and the set $\\Psi$.\n\\end{thm}\n\nNote that this theorem applies to arbitrary adhesion 2 tree-decompositions of $N$, not just to the canonical one mentioned above. It applies only to tame matroids, but this is known to be a rich and very natural class of matroids, as explained in \\cite{BC:wildmatroids, BC:psi_matroids}.\n\nThe process by which the matroid $N$ can be rebuilt is a generalisation of 2-sums to infinite trees of matroids developed in \\cite{BC:psi_matroids}. This construction also provides a tool for building new matroids. In \\cite{BC:psi_matroids} we characterised, for a given tree of matroids as above, for which sets $\\Psi$ of ends of the tree we get a matroid by this infinitary 2-sum operation: in particular, this is true whenever $\\Psi$ is Borel. \n\nWhat if the matroid to be reconstructed is not tame? In this case, the information given by the tree of torsos and the set of ends which are used is woefully inadequate. Consider once more the graph $Q$ from \\autoref{fig:quircuits2}. We say that two edge sets of double rays of $Q$ are {\\em equivalent} if they have finite symmetric difference (this means that the double rays have the same tails). Let $\\Ccal$ be the union of any collection of equivalence classes with respect to this relation, together with the class of all edge sets of finite cycles in $Q$. We will show in \\autoref{sec:ray_case} that any such $\\Ccal$ is the set of circuits of a matroid. Furthermore, all these matroids have the same canonical tree-decomposition and the same torsos as $M_{FC}(Q)$ and $M_{TC}(Q)$. Accordingly, we need a great deal of new information to reconstruct the matroid.\n\nEven worse, we may need such information to be provided for each of uncountably many ends. In \\autoref{example_binary_tree}, we will construct a graph $W$ (pictured in \\autoref{fig:Wint}) by sticking together many copies of $Q$ along the rays of a binary tree. We will do this in such a way that any topological circuit of $W$ which uses an end $\\omega$ looks, in the vicinity of $\\omega$, like a double ray in the copy of $Q$ running to $\\omega$. If we choose a set of equivalence classes as above for each of these copies of $Q$ then we get a matroid whose circuits are the circuits of the topological cycle matroid of $W$ which match one of the chosen equivalence classes at each end they use. All of these matroids have the same tree-decomposition into the same torsos. This example is discussed in more detail in \\autoref{example_binary_tree}. Nevertheless, all the extra information used here is local to the ends, in the sense that the choices made at the end $\\omega$ only affect what circuits can do close to $\\omega$.\n\\begin{figure}[htb]\n\\begin{center}\n \\includegraphics[width=8cm]{.\/treeofK4.pdf}\n\\end{center} \n\\caption{The graph $W$.} \\label{fig:Wint}\n\\end{figure}\n\n\nWe show that this is true in general.\n\n\\begin{thm}\\label{main:thm_intro}\nLet $R = (R_t)_{t \\in V(T)}$ be a tree-decomposition of adhesion 2 of a (not necessarily tame) matroid $N$. Then $N$ is uniquely determined by the tree $T$, the torsos $(N_t | t \\in T)$ and local information at the ends of $T$.\n\\end{thm}\n\nThe precise form of this local information is explained in \\autoref{sec:main_result}. From this more general result we will deduce \\autoref{tamemain}, which says that  for tame matroids the only local information we need is which ends are used.\n\nThere is another case in which the local information collapses to simply the information about which ends are used. We say that a tree-decomposition of a matroid is {\\em planar} if each of the torsos can be represented as the finite cycle matroid of some finite graph embedded in the plane, in such a way that all of the virtual elements lie on the boundary of the outer face. \n\n\\begin{cor}\\label{cor:planar}\nLet $R = (R_t)_{t \\in V(T)}$ be a planar tree-decomposition of adhesion 2 of a matroid $N$. Then $N$ is uniquely determined by the tree $T$, the torsos $(N_t | t \\in T)$ and the set of ends of $T$ used by circuits of $N$. \n\\end{cor}\n\nThe wild matroids constructed from the graph $Q$ are of interest in their own right as counterexamples. In particular, there is a natural question if the characterisations of finite binary matroids are equivalent in the infinite setting. For the wild matroids arising from $Q$, these equivalences break dow; these matroids satisfy roughly half of the basic characterisations of finite binary matroids (see \\cite{Oxley} for many such characterisations). \nFor example, none of these matroids has a $U_{2,4}$-minor, and all of them have the property that any symmetric difference of two circuits is a disjoint union of circuits. But in one of them there is a set of three circuits whose symmetric difference is not a disjoint union of circuits. See \\autoref{repQ} for details.\n\nThe paper is organised as follows: In \\autoref{sec:prelims} we recall some basic facts and \ngive a new simple proof that the torso of a canonical decomposition is a matroid. \nBefore proving our main result in \\autoref{sec:main_result}, we first deal with the subcase where the torsos are glued together along a ray, see \\autoref{sec:ray_case}.\nFinally, in \\autoref{example_binary_tree} we explain the example indicated in the Introduction before the statement of \\autoref{main:thm_intro}.\n\n\\section{Preliminaries}\\label{sec:prelims}\n\\subsection{Infinite matroids}\n\nWe begin by recalling two of the axiomatisations of infinite matroids given in \\cite{matroid_axioms}.\n\nA set system $\\Ical\\subseteq \\Pcal(E)$ is the set of independent sets of a matroid iff it satisfies the following {\\em independence  axioms\\\/}.\n\\begin{itemize}\n\t\\item[(I1)] $\\varnothing\\in \\Ical(M)$.\n\t\\item[(I2)] $\\Ical(M)$ is closed under taking subsets.\n\t\\item[(I3)] Whenever $I,I'\\in \\Ical(M)$ with $I'$ maximal and $I$ not maximal, there exists an $x\\in I'\\setminus I$ such that $I+x\\in \\Ical(M)$.\n\t\\item[(IM)] Whenever $I\\subseteq X\\subseteq E$ and $I\\in\\Ical(M)$, the set $\\{I'\\in\\Ical(M)\\mid I\\subseteq I'\\subseteq X\\}$ has a maximal element.\n\\end{itemize}\n\nThe {\\em bases} of such a matroid are the maximal independent sets, and the {\\em circuits} are the minimal dependent sets.\n\nA set system $\\Ccal\\subseteq \\Pcal(E)$ is the set of circuits of a matroid iff it satisfies the following {\\em circuit  axioms\\\/}.\n\\begin{itemize}\n\\item[(C1)] $\\varnothing\\notin\\Ccal$.\n\\item[(C2)] No element of $\\Ccal$ is a subset of another.\n\\item[ (C3)](Circuit elimination) Whenever $X\\subseteq o\\in \\Ccal(M)$ and $\\{o_x\\mid x\\in X\\} \\subseteq \\Ccal(M)$ satisfies $x\\in o_y\\Leftrightarrow x=y$ for all $x,y\\in X$, \nthen for every $z \\in o\\setminus \\left( \\bigcup_{x \\in X} o_x\\right)$ there exists a  $o'\\in \\Ccal(M)$ such that $z\\in o'\\subseteq \\left(o\\cup  \\bigcup_{x \\in X} o_x\\right) \\setminus X$.\n\n\\item[(CM)] $\\Ical$ satisfies (IM), where $\\Ical$ is the set of those subsets of $E$ not including an element of $\\Ccal$.\n\\end{itemize}\n\nThe following basic lemmas may be proved as for finite matroids, see for example \\cite{BC:psi_matroids}.\n\n\n\\begin{lem}\\label{fdt}\n Let $M$ be a matroid and $s$ be a base.\nLet $o_e$ be a fundamental circuit with respect to $s$ and $b_f$ be a fundamental cocircuit with respect to $s$. Then:\n\\begin{enumerate}\n \\item $o_e\\cap b_f$ is empty or $o_e\\cap b_f=\\{e,f\\}$ and\n\\item $f\\in o_e$ if and only if $e\\in b_f$.\n\\end{enumerate}\n\\end{lem}\n\n\\begin{lem}\\label{o_cap_b}\n For any circuit $o$ with at least two elements $e$ and $f$, there is a cocircuit $b$ such that $o\\cap b=\\{e,f\\}$.\n\\end{lem}\n\n\\begin{lem} \\label{rest_cir}\n Let $M$ be a matroid with ground set $E = C \\dot \\cup X \\dot \\cup D$ and let $o'$ be a circuit of $M' = M \/ C \\backslash D$.\nThen there is an $M$-circuit $o$ with $o' \\subseteq o \\subseteq o' \\cup C$.\n\\end{lem}\n\n\nA \\emph{scrawl} is a union of circuits. In \\cite{BC:rep_matroids},\n(infinite) matroids are axiomatised in terms of scrawls. \nThe set $\\Scal(M)$ denotes the set of scrawls of the matroid $M$.\nDually a \\emph{coscrawl} is a union of cocircuits.\nSince no circuit and cocircuit can meet in only one element,\nno scrawl and coscrawl can meet in only one element. \nIn fact, this property gives us a simple characterisation of scrawls in terms of coscrawls and vice versa.\n\n\\begin{lem}\\label{is_scrawl}\nLet $M$ be a matroid, and let $w\\subseteq E$. The following are equivalent:\n\\begin{enumerate}\n \\item $w$ is a scrawl of $M$.\n \\item $w$ never meets a cocircuit of $M$ just once.\n \\item $w$ never meets a coscrawl of $M$ just once.\n\\end{enumerate}\n\\end{lem}\n\nThe dual of the statement proved in the following Lemma appears as axiom (O3$^*$) in an axiomatisation discussed in \\cite{BC:psi_matroids}. We will need that this statement holds in any matroid.\n\n\\begin{lem}\n Let $M$ be a matroid, and let $o$ be a circuit of $M$, $X$ a subset of the ground set $E$ of $M$ and $e \\in o \\setminus X$. Then there is a circuit $o_{min}$ of $M$ with $e \\in o_{min} \\subseteq X \\cup o$ and such that $o_{min} \\setminus X$ is minimised subject to these conditions.\n\\end{lem}\n\\begin{proof}\n$o \\setminus X$ never meets a cocircuit $b$ of $M \/ X$ just once: if it did, then the circuit $o$ of $M$ would meet the cocircuit $b$ of $M$ just once. So by \\autoref{is_scrawl}, $o \\setminus X$ is a union of circuits of $M\/X$. Let $o'$ be a circuit of $M\/X$ with $e \\in o' \\subseteq o \\setminus X$, and take $o_{min}$ to be a circuit of $M$ with $o' \\subseteq o_{min} \\subseteq o' \\cup X$ (which exists by \\autoref{rest_cir}). Then for any other circuit $\\tilde o$ of $M$ with $e \\in \\tilde o \\setminus X \\subseteq o_{min} \\setminus X$ we have that $\\tilde o \\setminus X$ is a nonempty union of circuits of $M\/X$ included in the circuit $o'$, so is equal to $o'$, so that $o_{min} \\setminus X \\subseteq \\tilde o \\setminus X$. This establishes the minimality of $o_{min} \\setminus X$.\n\\end{proof}\n\n\n\\begin{lem}\\label{cir_c_scrawl}\n Let $M$ be a matroid and $\\Ccal,\\Dcal\\subseteq \\Pcal(E)$\nsuch that every $M$-circuit is a union of elements of $\\Ccal$, every $M$-cocircuit is a union of elements of $\\Dcal$ and $|C\\cap D|\\neq 1$ for every $C\\in\\Ccal$ and every $D\\in\\Dcal$.\n\nThen $\\Ccal(M)\\subseteq \\Ccal\\subseteq \\Scal(M)$ and  $\\Ccal(M^*)\\subseteq \\Dcal\\subseteq \\Scal(M^*)$.\n\\end{lem}\n\n\\begin{proof}\nWe begin by showing that $\\Ccal(M) \\subseteq \\Ccal$. Let $o$ be a circuit of $M$ and $e$ be an element of $o$. Since $o$ is a union of elements of $\\Ccal$ there is some $o' \\in \\Ccal$ with $e \\in o' \\subseteq o$. Suppose for a contradiction that $o'$ is a proper subset of $o$, so that there is some $f \\in o \\setminus o'$. By \\autoref{o_cap_b} there is a cocircuit $b$ of $M$ with $o' \\cap b = \\{e\\}$. But then there is some $b' \\in \\Dcal$ with $e \\in b' \\subseteq b$ such that $o' \\cap b' = \\{e\\}$, giving the desired contradiction. Dually we obtain that $\\Ccal(M^*) \\subseteq \\Dcal$.\n\nThe fact that $\\Ccal \\subseteq \\Scal(M)$ is immediate from \\autoref{is_scrawl} since $\\Ccal(M^*) \\subseteq \\Dcal$, and the proof that $\\Dcal \\subseteq \\Scal(M^*)$ is similar.\n\\end{proof}\nWe will need a lemma showing that any circuit can be obtained from any other by a single application of (C3).\n\n\\begin{lem}\\label{good_cir_eli}\nLet $o$ and $o'$ be circuits of a matroid $M$, and let $z$ be in both $o$ and $o'$. Then there are a set $X \\subseteq o - z$ and a family $(o_x | x \\in X)$ of circuits of $M$ with $o_x \\cap (X \\cup \\{z\\}) = \\{x\\}$ for each $x \\in X$ such that the only circuit $o''$ with $z \\in o'' \\subseteq o \\cup (\\bigcup_{x \\in X} o_x) \\setminus X$ is $o'$.\n\\end{lem}\n\\begin{proof}\nLet $M' = M\/(o' - z)$, and let $s$ be a base of $o \\setminus o'$ in $M'$. We take $X = (o \\setminus o') \\setminus s$, and for each $x \\in X$ we take $\\hat o_x$ to be the fundamental circuit of $x$ with respect to $s$ and $o_x$ to be an $M$-circuit with $\\hat o_x \\subseteq o_x \\subseteq \\hat o_x \\cup (o' - z)$, which exists by Lemma \\ref{rest_cir}. Thus $o_x \\cap (X \\cup \\{z\\}) = \\{x\\}$ for each $x \\in X$, and $z \\in o' \\subseteq o \\cup (\\bigcup_{x \\in X} o_x) \\setminus X$. Now suppose for a contradiction that there is some other circuit $o''$ such that $z \\in o'' \\subseteq o \\cup (\\bigcup_{x \\in X} o_x) \\setminus X$, and let $e \\in o'' \\setminus o'$. Then also $e \\in o \\setminus o' \\setminus X = s$. Since $s$ is coindependent in $M'$, there must be some cocircuit $b$ of $M'$ with $b \\cap s = \\{e\\}$. Since $M'$ is a contraction of $M$, the cocircuit $b$ is also a cocircuit of $M$, and so it cannot meet $o''$ only in $e$, and hence it must contain some point of $o'$. But the only point of $o'$ that $b$ can contain is $z$, so \n$b \\cap o' = \\{z\\}$, which is the desired contradiction.\n\\end{proof}\n\n\\subsection{A hybrid axiomatisation}\n\n\nIn~\\cite{BC:psi_matroids}, the following axioms were used as part of an axiomatisation of countable matroids:\n\\begin{itemize}\n\\item[(O1)] $|C\\cap D|\\neq 1$ for all $C\\in \\Ccal$ and $D\\in \\Dcal$. \n\\item[(O2)] For all partitions $E=P\\dot\\cup Q\\dot\\cup \\{e\\}$\neither $P+e$ includes an element of $\\Ccal$ through $e$ or\n$Q+e$ includes an element of $\\Dcal$ through $e$.\n\\end{itemize}\n\nIn this paper, we will not restrict our attention to countable matroids, so we cannot use this axiomatisation. However, these two axioms will still be useful to us, because of the following lemma.\n\nFor a set $\\Ccal\\subseteq \\Pcal(E)$, let $\\Ccal^\\perp$\nbe the set of those subsets of $E$ that meet no element of $\\Ccal$ just once.\nNote that $(O1)$ is equivalent to $\\Dcal$ being a subset of $\\Ccal^\\perp$.\n\n\\begin{lem}[\\cite{BC:psi_matroids}]\\label{cireli_partitioning}\nLet $\\Ccal \\subseteq \\Pcal(E)$.\nThen $\\Ccal$ and $\\Ccal^\\perp$ satisfy $(O2)$ if and only if\n$\\Ccal$ satisfies circuit elimination $(C3)$. \n\\end{lem}\n\nThis means that if we know what the cocircuits of a matroid ought to be then we can use (O1) and (O2) as a more symmetric substitute for the circuit elimination axiom (C3). More precisely:\n\n\\begin{thm}\\label{hybrid}\nLet $\\Ccal$ and $\\Dcal$ be sets of subsets of a set $E$. Then there is a matroid whose set of circuits is $\\Ccal$ and whose set of cocircuits is $\\Dcal$ if and only if all of the following conditions hold:\n\\begin{enumerate}\n\\item Each of $\\Ccal$ and $\\Dcal$ satisfies (C1) and (C2).\n\\item $\\Ccal$ and $\\Dcal$ satisfy (O1) and (O2).\n\\item $\\Ccal$ satisfies (CM)\n\\end{enumerate}\n\\end{thm}\n\n\\begin{proof}\nIt is clear that all of these conditions are satisfied by the sets of circuits and cocircuits of any matroid. So it suffices to prove the reverse implications. Suppose that all 3 conditions hold. Then $\\Ccal$ satisfies (C1), (C2) and (CM) by assumption, and satisfies (C3) by Lemma \\ref{cireli_partitioning} and the fact that $\\Dcal \\subseteq \\Ccal^\\perp$. So there is a matroid $M$ whose set of circuits is $\\Ccal$. Then by (O1) and Lemma \\ref{is_scrawl}, every element $b$ of $\\Dcal$ is a coscrawl of $M$ and so, being nonempty by (C1), includes some cocircuit $b'$ of $M$. Let $e \\in b'$. On the other hand, for any cocircuit $b'$ of $M$ there is no circuit of $M$ meeting $b'$ exactly once, so by (O2) applied to the partition $E = (E \\setminus b') \\dot \\cup (b' - e) \\dot \\cup \\{e\\}$ there must be some $b'' \\in \\Dcal$ with $e \\in b'' \\subseteq b'$. Then by (C2) we have $b'' = b$ and hence $b = b'$, thus $b$ is a cocircuit of $\\Dcal$. We have now shown that every cocircuit of $M$ includes an element of $\\Dcal$, and it \nfollows that it must be that element. So $\\Dcal$ is the set of cocircuits of $M$, as required.\n\\end{proof}\n\n\\subsection{Trees of matroids}\\label{treesofmatroids}\n\nIn this section we review the relationship between trees of matroids and tree-decompositions of matroids.\n\n\\begin{dfn}\nA {\\em tree $\\Tcal$ of matroids} consists of a tree $T$, together with a function $M$ assigning to each node $t$ of $T$ a matroid $M(t)$ on ground set $E(t)$, such that for any two nodes $t$ and $t'$ of $T$, if $E(t) \\cap E(t')$ is nonempty then $tt'$ is an edge of $T$.\n\nFor any edge $tt'$ of $T$ we set $E(tt') = E(t) \\cap E(t')$. We also define the {\\em ground set} of $\\Tcal$ to be $E = E(\\Tcal) = \\left(\\bigcup_{t \\in V(T)} E(t)\\right) \\setminus \\left(\\bigcup_{tt' \\in E(T)} E(tt')\\right)$. \n\nWe shall refer to the elements which appear in some $E(t)$ but not in $E$ as {\\em virtual elements} of $M(t)$; thus the set of such virtual elements is $\\bigcup_{tt' \\in E(T)} E(tt')$.\n\\end{dfn}\n\nThe idea is that the virtual elements are to be used only to give information about how the matroids are to be pasted together, but they will not be present in the final pasted matroid, which will have ground set $E(\\Tcal)$. \n\n\\begin{dfn}\nA tree $\\Tcal = (T, M)$ of matroids is {\\em of overlap 1} if, for every edge $tt'$ of $T$, $|E(tt')| = 1$. In this case, we denote the unique element of $E(tt')$ by $e(tt')$.\n\nGiven a tree of matroids of overlap 1 as above, a {\\em precircuit} $(C, o)$ of $\\Tcal$ consists of a connected subtree $C$ of $T$ together with a function $o$ assigning to each vertex $t$ of $C$ a circuit of $M(t)$, such that for any vertex $t$ of $C$ and any vertex $t'$ adjacent to $t$ in $T$, $e(tt') \\in o(t)$ if and only if $t' \\in C$. Given a set $\\Psi$ of ends of $T$, such a precircuit is called a {\\em $\\Psi$-precircuit} if all ends of $C$ are in $\\Psi$. The set of $\\Psi$-precircuits is denoted $\\overline\\Ccal(\\Tcal, \\Psi)$. \n\nAny $\\Psi$-precircuit $(C, o)$ has an {\\em underlying set} $\\underline{(C, o)} = E \\cap \\bigcup_{t \\in V(C)} o(t)$. Minimal nonempty subsets of $E$ arising in this way are called {\\em $\\Psi$-circuits} of $\\Tcal$. The set of $\\Psi$-circuits of $\\Tcal$ is denoted $\\Ccal(\\Tcal, \\Psi)$.\n\\end{dfn}\n\n\\begin{dfn}\nLet $\\Tcal = (T, M)$ be a tree of matroids. Then the {\\em dual} $\\Tcal^*$ of $\\Tcal$ is given by $(T, M^*)$, where $M^*$ is the function sending $t$ to $(M(t))^*$. For a subset $P$ of the ground set, the tree of matroids $\\Tcal\/P$ obtained from  $\\Tcal$ by {\\em contracting} $P$ is given by $(T, M\/P)$, where $M\/P$ is the function sending $t$ to $M(t)\/(P \\cap E(t))$. For a subset $Q$ of the ground set, the tree of matroids $\\Tcal\\backslash Q$ obtained from  $\\Tcal$ by {\\em deleting} $Q$ is given by $(T, M \\backslash Q)$, where $M \\backslash Q$ is the function sending $t$ to $M(t) \\backslash (Q \\cap E(t))$. \n\\end{dfn}\n\nThe following lemma describes some basic properties of trees of matroids under duality, contraction and deletion. The proof is trivial from the definitions and hence is omitted.\n\n\\begin{lem}\nFor any tree $\\Tcal$ of matroids, $\\Tcal = \\Tcal^{**}$. For any disjoint subsets $P$ and $Q$ of the ground set of $\\Tcal$ we have $(\\Tcal \/ P)^* = \\Tcal^* \\backslash P$, $(\\Tcal \\backslash Q)^* = \\Tcal^* \/ Q$ and $\\Tcal \/ P \\backslash Q = \\Tcal \\backslash Q \/P$. If $\\Tcal$ has overlap 1 and $(\\Tcal, \\Psi)$ induces a matroid $M$, then $(\\Tcal\/P\\backslash Q, \\Psi)$ induces the matroid $M \/P \\backslash Q$ and $(\\Tcal^*, \\Psi^\\complement)$ induces the matroid $M^*$. \\qed\n\\end{lem}\n\nWe will sometimes use the expression {\\em $\\Psi^\\complement$-cocircuits of $\\Tcal$} for the $\\Psi^\\complement$-circuits of $\\Tcal^*$. If there is a matroid whose circuits are the  $\\Psi$-circuits of $\\Tcal$ and whose cocircuits are the $\\Psi^\\complement$-cocircuits of $\\Tcal$ then we will call that matroid the {\\em $\\Psi$-matroid} for $\\Tcal$, and denote it $M_{\\Psi}(\\Tcal)$.\n\nNote that if $\\Tcal$ is finite then we always get a matroid in this way, which is simply the 2-sum of the matroids $M(t)$ in the sense of \\cite{Oxley}.\n\n\\begin{lem}[Lemma 5.5,~\\cite{BC:psi_matroids}]\\label{2SumsO1}\nLet $\\Tcal = (T, M)$ be a tree of matroids, $\\Psi$ a set of ends of $T$, and let $(C, o)$ and $(D, b)$ be respectively a $\\Psi$-precircuit of $\\Tcal$ and a $\\Psi^\\complement$-precircuit of $\\Tcal^*$. Then $|\\underline{(C, o)} \\cap \\underline{(D, b)}| \\neq 1$.\n\\end{lem}\n\n\\begin{dfn}\n If $T$ is a tree, and $tu$ is a (directed) edge of $T$, we take $T_{t \\to u}$ to be the connected component of $T - t$ that contains $u$. If $\\Tcal = (T, M)$ is a tree of matroids, we take $\\Tcal_{t \\to u}$ to be the tree of matroids $(T_{t \\to u}, M \\restric_{T_{t \\to u}})$.\n\\end{dfn} \n\nSo far we have discussed how to construct matroids by gluing together trees of `smaller' matroids. Now we turn to a notion, taken from~\\cite{ADP:decomposition}, of a decomposition of a matroid into a tree of such smaller parts.\n\n\\begin{dfn}\nA {\\em tree-decomposition of adhesion 2} of a matroid $N$ consists of a tree $T$ and a partition $R = (R(v))_{v \\in V(T)}$ of the ground set $E$ of $N$ such that for any edge $tt'$ of $T$ the partition $(\\bigcup_{v \\in V(T_{t \\to t'})} R(v), \\bigcup_{v \\in V(T_{t' \\to t})} R(v))$ is a 2-separation of $N$.\n\nGiven such a tree-decomposition, and a vertex $v$ of $T$, we define a matroid $M(v)$, called the {\\em torso} of $T$ at $v$, as follows: the ground set of $M(v)$ consists of $R(v)$ together with a new element $e(vv')$ for each edge $vv'$ of $T$ incident with $v$. For any circuit $o$ of $N$ not included in any set $\\bigcup_{t \\in V(T_{v \\to v'})} R(v)$, we have a circuit $\\hat o(v)$ of $M(v)$ given by $(o \\cap R(v) )\\cup \\{e(vv') \\in E(v) | o \\cap \\bigcup_{t \\in V(T_{v \\to v'})} R(v)\\neq \\emptyset\\}$. These are all the circuits of $M(v)$.\n\nIn this way we get a tree of matroids $\\Tcal(N, T, R) = (T, v \\mapsto M(v))$ of overlap 1 from any tree-decomposition of adhesion 2. For any circuit $o$ of $N$ we get a corresponding precircuit $(S_o, \\hat o)$, where $S_o$ is just the subtree of $T$ consisting of those vertices $v$ for which $\\hat o(v)$ is defined. We shall refer to this precircuit as the {\\em canonical precircuit} of $o$.\n\\end{dfn}\n\nNote that $\\underline{(S_o, \\hat o)} = o$. It is shown in~\\cite[\\S4, \\S8]{ADP:decomposition} that each $M(v)$ really is a matroid, and we will show in \\autoref{torso_minor} that it is isomorphic to a minor of $N$, and that $\\Tcal(N^*, T, R) = (\\Tcal(N, T, R))^*$.\n\\cite{ADP:decomposition} also contains the following theorem.\n\n\\begin{thm}[Aigner-Horev, Diestel, Postle]\\label{deco}\n For any matroid $N$ there is a tree-decomposition $\\Dcal(N)$ of adhesion 2 of $N$ such that all torsos have size at least 3 and are either circuits, cocircuits or 3-connected, and in which no two circuits and no two cocircuits are adjacent in the tree. This decomposition is unique in the sense that any other tree-decomposition with these properties must be isomorphic to it.\n\\end{thm}\n\nThe above theorem is a generalisation to infinite matroids of a standard result about finite matroids~\\cite{findec1, findec2}. If $N$ is a finite matroid, it is possible to reconstruct $N$ from the decomposition $\\Dcal(N)$. However, as noted in the introduction, it is not in general possible to reconstruct $N$ from $\\Dcal(N)$ if $N$ is infinite. \n\n\n\\subsection{Tree-decompositions and $2$-separations in infinite matroids}\n\nOur aim in this subsection is to show that if $N$ is a matroid with a tree-decomposition of adhesion 2 over some tree $T$ and $S$ is a subtree of $T$ then the torso of $N$ when we cut off the parts of $N$ not corresponding to $S$ is a minor of $N$. In particular, all the torsos mentioned in \\autoref{deco} are minors of $N$, a statement which is claimed but not yet proved there. We begin by recalling that the familiar fact that 2-separations can be encoded by 2-sums extends straightforwardly to infinite matroids.\n\n\\begin{comment}\n\\begin{dfn}\n Let $N$ be a matroid with a tree-decomposition $(T,R)$ of adhesion 2,\nand let $o$ be an $N$-circuit.\nThe \\emph{canonical precircuit of $o$} is the pair $(S_o,\\hat o)$ \nwhere $S_o$ is the smallest subtree of $T$ connecting all those nodes $t$\nfor which $o\\cap R(t)$ is nonempty, and $\\hat o$ is a function assigning each $t\\in S_o$\nan $M(t)$-circuit obtained from $o\\cap R(t)$ by adding all virtual elements $e(tt')$ for $tt'\\in S_o$.\n\\end{dfn}\n\\end{comment}\n\n\n\n\n\\begin{lem}[\\cite{ADP:decomposition}, Lemma 3.6]\\label{gluing2}\nLet $(A,B)$ be a $2$-separation in a matroid $N$.\nThen there are two matroids $N(A)$ and $N(B)$ with \nground sets $A+e(A,B)$ and $B+e(A,B)$ where $e(A,B)$ is not in $E(N)$,\nso that $N=N(A)\\oplus_2 N(B)$. \n\\end{lem}\n\n\n\n\n\\begin{comment}\n \nWe do not need the following Lemma\n\n\\begin{lem}\\label{gluing}[Lemma 3.8 in TODO cite matroid decomposition]\nIf $o_1$ and $o_2$ are circuits of $N$ having elements on both sides of a $2$-separation \n$(A,B)$ of $N$, then $(o_1\\cap A)\\cup (o_2\\cap B)$ is a circuit of $N$. \n\\end{lem}\n\nTODO define matroid $N(A)$ and $N(B)$ with virtual element $e(A,B)$.\n\n\n\nMoreover, $N(A)$ and $N(B)$ are both isomorphic to a minor of $N$.\n\n\n\nLet $(A,B)$ be a $2$-separation in a matroid $N$.\nLet $o_A$ be a circuit of $N(A)$ using the element $e(A,B)$\nand $o_B$ be a circuit of $N(B)$ using the element $e(A,B)$.\nThen $o_A\\Delta o_B=o_A\\cup o_B-e(A,B)$ is an $N$-circuit.\nLet $N$ be a matroid with a tree-decomposition of adhesion 2. \n\\end{lem}\n\n\\end{comment}\n\n\n\n\\begin{dfn}\nLet $(T, R)$ be a tree-decomposition of a matroid $N$ of adhesion 2, and let $S$ be a subtree of $T$. The {\\em star-decomposition} $(T_S, R_S)$ of $N$ corresponding to $S$ is given by taking $T_S$ to be the star with central node $S$ and with a leaf $l(tt')$ for each edge $tt'$ of $T$ with $t \\in S$ but $t' \\not \\in S$, and taking $R_S(S) = \\bigcup_{v \\in S}R(v)$ and $R_S(l(tt')) = \\bigcup_{v \\in T_{t \\to t'}} R(v)$. The star-decomposition also has adhesion 2.\n\nWe define $N_S$ to be the torso of $T_S$ at $S$. For notational convenience, we will identify the virtual element $e(Sl(tt'))$ of this torso with the virtual element $e(tt')$ arising in the construction of $\\Tcal(N, T, R)$. There is a natural tree-decomposition $(S, R \\restric_S)$ of $N_S$, where we take $R \\restric_S(t)$ to consist of $R(t)$ together with all the virtual elements $e(tt')$ with $t'$ a neighbour of $t$ in $T$ such that $t' \\not \\in S$.\n\\end{dfn}\n\nBy~\\cite{ADP:decomposition}, Lemma 4.9, the tree-decomposition $(S, R \\restric_S)$ has adhesion 2. It is clear that $\\Tcal(N_S, S, R \\restric_S)$ is just the restriction of $\\Tcal(N, T, R)$ to $S$, and that the $N_S$-circuits are precisely the \nnonempty underlying sets of canonical precircuits of $N$-circuits restricted to $S$.\n(The dual statement is true for the $N'$-cocircuits.)\n\nWe say that two matroids are \\emph{realistically isomorphic} if \nthere is an isomorphism between them that is the identity when restricted to the intersection of their ground sets.\n\nWe are finally in a position to prove the main result of this subsection.\n\n\\begin{thm}\\label{X1}\nLet $N$ be a matroid with a tree-decomposition $(T,R)$ of adhesion 2.\nLet $S$ be a subtree of $T$.\nThen $N_S$ is realistically isomorphic to a minor of $N$.\n\\end{thm}\n\n\\begin{proof}\nWithout loss of generality, we may assume that $N$ is connected.\nIn particular all the separations associated to edges of $T$ are exact $2$-separations.\nLet $\\partial S$ be the set of those nodes \n$x$ of $T$ that have a neighbour $t(x)$ in $S$ but are not in $S$.\n\nFirst we define a minor $N'$ of $N$ from which we shall define a realistic isomorphism to $N_S$.\n\nFor each $x \\in \\partial S$, let $s(x)$ be a base of $N$ contracted onto $R_S(l(t(x)x))$. \nSince the separation associated to the edge $t(x)x$ is an exact 2-separation,\nwe can add a single element $e(x)$ to $s(x)$\nto make it a base of $N$ restricted onto $R_S(l(t(x)x))$.\n\nLet $K$ be the set of all those $e(x)$.\nWe obtain $N'$ from $N$ by contracting all \nthe sets $s(x)$ and then restricting onto $R_S(S)\\cup K$.\nLet the matroid $N''$ be obtained from $N'$ by replacing the element $e(x)$ by the virtual element $e(t(x)x)$. This defines a realistic isomorphism $\\alpha: N''\\to N'$. We will now show that $N_S = N''$.\nThis will be done using \\autoref{cir_c_scrawl} applied to $N''$, with $\\Ccal$ the set of $N_S$-circuits  and $\\Dcal$ the set of $N_S$-cocircuits.\nSo we first have to check that the assumptions of this Lemma are satisfied. The first assumption is proved as follows:\n\\begin{claim}\nEvery $N''$-circuit is an element of $\\Ccal$.\n\\end{claim}\n\\begin{proof}\nLet $o''$ be an $N''$-circuit. \nLet $o'=\\alpha(o'')$.\nThen $o'$ extends to an $N$-circuit $o$ using additionally only elements of sets $s(x)$ by \\autoref{rest_cir}. \n\n\nIt remains to show for each $e(x)\\notin o$ that $o$ does not use any element of $s(x)$, \nsince then the underlying set of the canonical precircuit of $o$ restricted to $S$ will be $o''$.\nNow $o\\cap R_S(l(t(x)x))$ must be a union of circuits of the contraction $N.R_S(l(t(x)x))$ of $N$ onto $R_S(l(t(x)x))$. For $e(x)\\notin o$ the set $o\\cap R_S(l(t(x)x))$ must be empty as $o\\cap R_S(l(t(x)x)) \\subseteq s(x)$ which is independent in that contraction. Thus every $N''$-circuit is the underlying set of the canonical precircuit of some $N$-circuit restricted to $S$.\n\\end{proof}\n\nThe dual argument shows that every $N''$-cocircuit is the underlying set of the canonical precircuit of some $N$-cocircuit restricted to $S$.\n\n \n\nThe last assumption of \\autoref{cir_c_scrawl}, that no $o'\\in \\Ccal$ meets some $b'\\in \\Dcal$ in a single element $e$, is true since $N_S$ is a matroid. Applying \\autoref{cir_c_scrawl} now gives that the $N''$-circuits are the minimal nonempty elements of $\\Ccal$, which is the same as saying that they are the elements of $\\Ccal$ since $\\Ccal$ is the set of circuits of the matroid $N_S$, and no circuit of a matroid is included in any other. Similarly, the $N''$-cocircuits are the elements of $\\Dcal$. This completes the proof.\n\n\n\n\\begin{comment}Older version of the proof.\n\\begin{proof}\nWithout loss of generality, we may assume that $N$ is connected.\nIn particular all the separations associated to edges of $T$ are exact $2$-separations.\nLet $\\partial S$ be the set of those nodes \n$x$ of $T$ that have a neighbour $t(x)$ in $S$ but are not in $S$.\n\nFirst we define a minor $N''$ of $N$ from which we shall define some realistic isomorphism to $N'$.\nLet $X$ be the set of those elements of $N$ that are non-virtual elements of some \nmatroid $M(t)$ with $t\\in S$. \nFor $x\\in \\partial S$, let $Y_x$ be the set of those elements of $N$ that are in \n$M(t)$ with $t\\in T_{t(x)\\to x}$.\n\nLet $s(x)$ be a base of $N$ contracted onto $Y_x$. \nSince the separation associated to the edge $t(x)x$ is an exact 2-separation,\nthere is a single element $e(x)$ that we can add to $s(x)$\nto make it a base of $N$ restricted onto $Y_x$.\n\nLet $K$ be the set of all those $e(x)$.\nWe obtain $N''$ from $N$ by contracting all \nthe sets $s(x)$ and then restricting onto $X\\cup K$.\nThe matroid $N'$ is obtained from $N''$ by replacing the element $e(x)$ by the virtual element $e(t(x)x)$. This defines a realistic isomorphism $\\alpha: N'\\to N''$. \n\n\\vspace{0.3 cm}\n\nLet $\\Ccal$ be the set of nonempty underlying sets of canonical precircuits of $N$-circuits restricted to $S$, and let $\\Dcal$ be the set of nonempty underlying sets of canonical precocircuits  of $N$-cocircuits restricted to $S$. \n\nHaving defined $N'$, it remains to show that $\\Ccal$ is the set of $N'$-circuits and $\\Dcal$\nis the set of $N'$-cocircuits. This will be done using \\autoref{cir_c_scrawl}.\nSo we first have to check that the assumptions of this Lemma are satisfied.\n\nFirst we show that every $N'$-circuit is an element of $\\Ccal$.\nLet $o'$ be an $N'$-circuit. \nLet $o''=\\alpha(o')$.\nThen $o''$ extends to an $N$-circuit $o$ using additionally only elements of sets $s(x)$ by \\autoref{rest_cir}. \n\n\nIt remains to show for each $e(x)\\notin o$ that $o$ does not use any element of $s(x)$, \nsince then the underlying set of the canonical precircuit of $o$ restricted to $S$ will be $o'$.\nNow $o\\cap Y_x$ must be a union of circuits of $N.Y_x$. For $e(x)\\notin o$ the set $o\\cap Y_x$ must be empty as $o\\cap Y_x\\subseteq s(x)$ which is independent in that contraction. Thus every $N'$-circuit is the underlying set of the canonical precircuit of some $N$-circuit restricted to $S$.\n\nThe dual argument shows that every $N'$-cocircuit is the underlying set of the canonical precircuit of some $N$-cocircuit restricted to $S$.\n\n \n\nThe last assumption of \\autoref{cir_c_scrawl} we have to check is that no $o'\\in \\Ccal$ meets some $b'\\in \\Dcal$ in a single element $e$.\nSuppose for a contradiction that there are such $o'$, $b'$ and $e$.\nLet $o$ be any $N$-circuit giving rise to $o'$, and let $b$ be any \n$N$-cocircuit giving rise to $b'$.\n\nIf $e$ is an element of $N$, then $o$ and $b$ meet just in $e$, which is a contradiction.\nHence we may assume that $e$ is not an element of $N$, say $e=e(t(x)x)$. \nThen $o$ and $b$ meet only in $Y_x$.\nNote that $o$ and $b$ have elements on both sides of the 2-separation $(Y_x,Y_x^\\complement)$ associated to $t(x)x$.\n\nApplying \\autoref{gluing2} to that 2-separation we get that $N=N(Y_x)\\oplus_2N(Y_x^\\complement)$.\nLet $e(Y_x)$ be the new virtual element in $N(Y_x)$ and $N(Y_x^\\complement)$.\nIn particular, there is an $N(Y_x)$-circuit $o_1$ and an  $N(Y_x^\\complement)$-circuit $o_2$ \nwhose symmetric difference is $o$. Similarly there is an $N(Y_x)$-cocircuit $b_1$ and an  $N(Y_x^\\complement)$-cocircuit $b_1$ \nwhose symmetric difference is $b$. All of $o_1$, $o_2$, $b_1$ and $b_1$ must contain $e(Y_x)$. By \\autoref{o_cap_b} applied to $N(Y_x)$ and $b_1$, there is an $N(Y_x)$-circuit\n$\\bar o_1$ that meets $b_1$ precisely in $e(Y_x)$ and some other element.\nBy \\autoref{gluing2}, $\\bar o_1\\Delta o_2$ is an $N$-circuit which meets $b$ in a single element,\nwhich is impossible.\nHence we have shown that no $o'\\in \\Ccal$ meets some $b'\\in \\Dcal$ in a single element.\n\n\\vspace{0.3 cm}\n\nNow we are in a position to apply \\autoref{cir_c_scrawl}: This shows that the $N'$-circuits are the minimal nonempty elements of $\\Ccal$ and the $N'$-cocircuits are the minimal nonempty elements of $\\Dcal$. Whilst defining $N'$ we had to make a lot of choices, namely the sets $s(x)$.\nHowever, the above characterization of the $N'$-circuits shows that $N'$ does not depend on these choices.\n\nIt remains to show that any element in $\\Ccal$ is minimal and any element in $\\Dcal$ is minimal since they are nonempty by definition.\nLet $o'\\in \\Ccal$, and let $o$ be an $N$-circuit witnessing that $o'\\in \\Ccal$. \nSince $N'$ does not depend on the choices we made for $e(x)$ and $s(x)$, we may assume \nthat for $e(t(x)x)\\in o'$ we have $e(x)\\in o$ and we have chosen $s(x)$  such that it includes $(o\\cap Y_x)-e(x)$. \n\n\nLet $o_1$ be some $N'$-circuit included in $o'$. \nThen $\\alpha(o_1)$ is an $N''$-circuit and extends to an $N$-circuit $o_2$ using additionally only elements of the $Y_x$.\n\nNow $o_2\\cap Y_x$ must be a union of circuits of $N.Y_x$. \nFor $e(x)\\in o_2$, the set $s(x)+e(x)$ includes a unique circuit, and since \n$o_2\\cap Y_x\\subseteq s(x)+e(x)$, it must be equal to that circuit. The same is true for $o$.\nIn particular, $o$ and $o_2$ agree on $Y_x$ if $e(x)\\in o_2$.\nA similar argument shows that $o$ and $o_2$ agree on $Y_x$ if $e(x)\\not\\in o_2$.\n\nThis shows that $o_2\\subseteq o$, and since both are $N$-circuits we must have $o_2=o$, which proves the minimality of $o'$.\nThe dual argument shows that each element of $\\Dcal$ is minimal. This completes the proof.\n\\end{comment}\n\n\\begin{comment}Taken from a yet older version.\n\nLet us again consider the matroid $N(Y_x)$ with new virtual element $e(Y_x)$ defined from the 2-separation corresponding to $e(t(x)x)$ via \\autoref{gluing2}. Since $s(x)+e(Y_x)+e(x)$ includes a unique circuit and that circuit includes $e(x)$, we must have that $o_2$ restricted to $Y_x$ is empty if $e(t(x)x)\\not\\in o_1$, and otherwise it must be equal to $o$ restricted to $Y_x$. This shows that $o_2\\subseteq o$, and since both are $N$-circuits we must have $o_2=o$, which proves the minimality of $o'$.\n\nThe dual argument shows that each element of $\\Dcal$ is minimal. This completes the proof.\n\n\\end{comment}\n\n\n\n\\begin{comment}Also from the yet older version\n \nxxxxxxxxxxxxxxxxxxxx\n\nwith $e(t(x)x)\\in o_1$\nand extends to an $N$-circuit using additionally only elements of the $Y_x$ \n\nTODO why is this true - also used above\n\n\nxxxxxxxxxxxxxx\n\n\nOur aim is to show that every nonempty underlying set of the canonical precircuit restricted to $S$ of some $N$-circuit is an $N'$-circuit and the dual statement at once using Lemma TODO cite magic lemma.  \n\n\nNext, we show that the $N'$-circuits are precisely the \nnonempty underlying sets of canonical precircuit restricted to $S$ of $N$-circuits.\n\n\n\n\n\n\n\nSince $N''$ is a minor of $N$, every $N''$-circuit is a nonempty restriction of an $N$-circuit.\nConversely, let $o$ be an $N$-circuit. \nIf $o\\subseteq X$, we are done. Otherwise $o\\cap X$ is independent in $\\tilde N$.\n\nLet $\\tilde o$ be $o\\cap E(\\tilde N)$. \nLet $(S_o,\\hat o)$ be the canonical precircuit of $o$.\nFirst we show for each $t(x)x\\in S_o$ that $\\tilde o$ contains $e(x)$ or an element parallel to it. \n\n\n\nxxxxxxxxxxxx\n\nLet $o'$ be an $N'$-circuit. Next we show that $o'$ restricted to $E(N)$ extends to an $N$-circuit using edges  \n\n\nLet $\\partial S$ be the set of those nodes \n$x$ of $T$ that have a neighbour $t(x)$ in $S$ but are not in $S$.\nThe ground set of $N'$ consists of those edges of $N$ that are non-virtual edges of a \nmatroid $M(t)$ with $t\\in S$ together with \n\n\n\nThe ground \n\n\nWe obtain \n\\end{comment}\n\n\\end{proof}\n\n\n\n\\begin{cor}\\label{torso_minor}\nLet $N$ be a matroid with a tree-decomposition of adhesion 2.\nThen every torso $M(v)$ of this tree-decomposition is isomorphic to a minor of $N$.\n\\end{cor}\n\n\\begin{proof}\n Apply \\autoref{X1} in the case that $S$ consists only of the node $v$.\n\\end{proof}\n\n\n\n\n\n\n\\section{Characterising the matroids arising from a nice ray of matroids}\\label{sec:ray_case}\n\nFor this section, we fix a ray ${\\cal R} = (M_i | i \\in \\Nbb)$ of matroids of overlap 1. We call the end of this ray $\\omega$. \nWe refer to the element shared by $M(i)$ and $M(i + 1)$ as $e(i)$. We say that a matroid is an {\\em ${\\cal R}$-matroid} if all of its circuits are circuits of $M_{\\{\\omega\\}}({\\cal R})$ (in which the circuits are permitted to use the end) and all of its cocircuits are cocircuits of $M_{\\emptyset}({\\cal R})$ (in which the circuits are not permitted to use the end). Our aim will be to give an explicit description of the collection of ${\\cal R}$-matroids. However, before we can do this we will impose a mild condition to exclude examples like the one below.\n\n\\begin{eg}\nHere the tree $T$ is a ray and each $M(t)=M(C_4)$, arranged as in \\autoref{fig:nice_needed}.\nThen $M_\\emptyset(\\Tcal)$ is the free matroid but $M_{\\Omega(T)}(\\Tcal)$\nconsists of a single infinite circuit. So any pair of elements forms an $M_{\\Omega(T)}(\\Tcal)$-cocircuit which is not an $M_\\emptyset(\\Tcal)$-cocircuit.\n\n \\begin{figure}\n\\begin{center}\n \\includegraphics[width=8cm]{.\/nice_needed.pdf}\n\\end{center} \n\\caption{A badly behaved tree of matroids}\\label{fig:nice_needed}\n\\end{figure}\n\\end{eg}\n\n\\begin{dfn}\nA precircuit $(S, o)$ for a tree $\\Tcal = (T, M)$ of matroids of overlap 1 is called a {\\em phantom precircuit} if there is an edge $tt'$ of $S$ such that $o(v) \\cap E(\\Tcal) = \\emptyset$ for $v \\in V(S_{t \\to t'})$.\n\n$\\Tcal=(T,M)$ is \\emph{nice} if neither $\\Tcal$ nor $\\Tcal^*$ has any phantom precircuits.\n\\end{dfn}\nInformally, a phantom precircuit is one which invisibly uses the nodes beyond some edge $tt'$, in that its supporting tree goes beyond that edge, but in such a way that this is not visible from its underlying set.\n\nNote that $\\Tcal=(T,M)$ is nice iff there is no $tt'\\in E(T)$ such that\nin $\\Tcal_{t \\to t'} = (T_{t \\to t'}, M \\restric_{V(T_{t \\to t'})})$ the element $e(tt')$ is either a loop in $M_{\\Omega(\\Tcal_{t \\to t'})}(\\Tcal_{t \\to t'})$ \nor a coloop $M_{\\emptyset}(\\Tcal_{t \\to t'})$.\n\n\\begin{lem}\\label{ray+td_nice}\n Let $N$ be a matroid with a tree-decomposition $(T,R)$ of adhesion 2.\n\\begin{enumerate}\n \\item For every $N$-circuit $o$ its corresponding precircuit $(S_o,\\hat o)$ is not phantom.\n\\item If $T$ is a ray, and there are a circuit $o$ and a cocircuit $b$ of $N$ that both have elements in infinitely many of the $R(v)$, then $\\Tcal(N,T,R)$ is nice.\n\\end{enumerate}\n\\end{lem}\n\n\\begin{proof}\n(1) follows from the definition of $S_o$.\n\nFor (2), let $T=t_1,t_2,\\ldots$ be a ray. \nNow suppose for a contradiction that \nthere is a phantom precircuit $(S_c,c)$. Then for all sufficiently large $n$,\nthe circuit $c(t_n)$ consists of $e(t_{n-1}t_n)$ and $e(t_{n}t_{n+1})$.\nIn other words, $e(t_{n-1}t_n)$ and $e(t_{n}t_{n+1})$ are in parallel.\n\nSo $c(t_n)\\subseteq \\hat o(t_n)$, hence $c(t_n)= \\hat o(t_n)$.\nThis contradicts (1).\nThe case that there is a phantom precocircuit $(S_c,c)$ is dual.\nHence $\\Tcal(N,T,R)$ is nice.\n\\end{proof}\n\n\n\n\n\\begin{lem}\\label{cir_in_omega_cir}\nLet $\\Tcal=(T,M)$ be a nice tree of matroids, then every $\\emptyset$-circuit is\nan $\\Omega(T)$-circuit. Dually, every $\\emptyset$-cocircuit is an $\\Omega(T)$-cocircuit.\n\\qed\n\\end{lem}\n\n\\begin{lem}\\label{cir_in_cir}\nLet $\\Tcal=(T,M)$ be a nice tree of matroids, and $N$ be a matroid such that \n$\\Ccal(N)\\subseteq \\Ccal(M_{\\Omega(T)}(\\Tcal))$ and  $\\Ccal(N^*)\\subseteq \\Ccal(M^*_{\\emptyset}(\\Tcal))$.\n\nThen $\\Ccal(M_{\\emptyset}(\\Tcal))\\subseteq \\Ccal(N)$ and  $\\Ccal(M^*_{\\Omega(T)}(\\Tcal))\\subseteq \\Ccal(N^*)$.\n\\end{lem}\n\n\\begin{proof}\n By duality, it suffices to prove only that $\\Ccal(M_\\emptyset(T))\\subseteq \\Ccal(N)$.\nSo let $o\\in \\Ccal(M_\\emptyset(T))$. \nSince $o$ never meets an element of $\\Ccal(M^*_{\\emptyset}(T))$ just once,\nit never meets an element of $\\Ccal(N^*)$ just once.\nHence $o$ includes an $N$-circuit $o'$ by \\autoref{is_scrawl}.\nThus $o'\\in  \\Ccal(M_{\\Omega(T)}(T))$. By \\autoref{cir_in_omega_cir},\nwe must have $o'=o$. So $o\\in \\Ccal(N)$, as desired.\n\\end{proof}\n\nFrom now on, we shall assume that ${\\cal R}$ is a nice ray of matroids, and that $N$ is an ${\\cal R}$-matroid. We shall refer to the nodes of the supporting ray of ${\\cal R}$ as $t_1, t_2, \\ldots$. For brevity, we shall denote $M_{t_i}$ by $M_i$ and $e(t_i)$ by $e(i)$ for any $i \\in \\Nbb$.\n\nWe say that a subset of $E({\\cal R})$ is {\\em prolonged} if it meets infinitely many of the sets $E(M_i)$ with $i \\in \\Nbb$.\n\nWe begin by defining a fundamental equivalence relation on the potential prolonged circuits and cocircuits of $N$. Let $\\Ccal_{\\infty}$ be the set of prolonged elements of $\\Ccal(M_{\\{\\omega\\}}({\\cal R}))$ and $\\Dcal_{\\infty}$ be the set of prolonged elements of $\\Ccal(M^*_{\\emptyset}({\\cal R}))$. We define a relation $\\sim$ from $\\Ccal_{\\infty}$ to $\\Dcal_{\\infty}$ by $o \\sim b$ if and only if $o \\cap b$ meets only finitely many of the sets $E(M_i)$. We can think of $\\sim$ as a relation on the set $\\Ccal_{\\infty} \\sqcup \\Dcal_{\\infty}$, and we define $\\simeq$ to be the equivalence relation generated by this relation. The relation $\\simeq$ restricts to equivalence relations on each of $\\Ccal_{\\infty}$ and $\\Dcal_{\\infty}$; we denote the equivalence class of $o$ in $\\Ccal_{\\infty}\/\\simeq$ by $[o]$ and the equivalence class of $b$ in $\\Dcal_{\\infty}\/\\simeq$ by $[b]$.\n\nThe first important fact about this relation is that the set of prolonged circuits of $N$ must be closed under $\\simeq$ (within $\\Ccal_{\\infty}$). This follows from the following lemmas.\n\n\\begin{lem}\\label{finfix}\nLet $o$ be a prolonged circuit of $N$, and let $o' \\in \\Ccal_{\\infty}$ such that their symmetric difference $o \\triangle o'$ meets only finitely many of the sets $E(M_i)$. Then $o'$ is also a circuit of $N$.\n\\end{lem}\n\\begin{proof}\nLet the circuits $o$ and $o'$ be represented by the precircuits $(I, \\hat o)$ and $(I', \\hat o')$.\n\nWe consider first of all the case where $o \\triangle o'$ is a subset of $E(M_1)$. We apply Lemma \\ref{good_cir_eli} to $\\hat o(1)$ and $\\hat o'(1)$, obtaining a set $X \\subseteq \\hat o(1) - e(1)$ and a family $(o_x | x \\in X)$ of circuits of $M_1$ with $o_x \\cap (X \\cup \\{e(1)\\}) = \\{x\\}$ for each $x \\in X$ such that the only circuit $\\bar o$ with $e(1) \\in \\bar o \\subseteq \\hat o(1) \\cup (\\bigcup_{x \\in X} o_x) \\setminus X$ is $\\hat o'(1)$. Each of the $o_x$ is a circuit of $M_{\\emptyset}({\\cal R})$, and so of $N$. Now we apply the circuit elimination axiom (C3) in $N$ to the circuit $o$ and the circuits $o_x$, eliminating the set $X$ and keeping some $e \\in o \\cap E(M_n)$ with $n > 1$. We obtain an \n$N$-circuit $o''$ with $e \\in o'' \\subseteq o \\cup (\\bigcup_{x \\in X} o'_x) \\setminus X$.\n\nLet $o''$ be represented by the precircuit $(I'', \\hat o'')$. For any $i > 1$ with $i \\in I''$, we have $\\{e(i-1), e(i)\\} \\subseteq \\hat o(i)$ and so $\\hat o''(i) \\subseteq \\hat o(i)$, which implies that $\\hat o''(i) = \\hat o(i)$ and in particular $\\{e(i-1), e(i)\\} \\subseteq \\hat o''(i)\\}$ so that both $i - 1$ and $i + 1$ must be in $I''$. So since $I''$ contains $n$, it must contain all natural numbers. Furthermore, since $e(k) \\in \\hat o''(k) \\subseteq \\hat o(k) \\cup (\\bigcup_{x \\in X} o_x) \\setminus X$ we must have $\\hat o''(k) = \\hat o'(k)$. Thus $o'' \\triangle o' \\subseteq \\bigcup_{i < k} E(M_i)$.\nThis completes the proof of the special case. \n\nWe can now reduce the more general statement of the lemma to the special case above as follows: for any $k$, we can obtain a new ray of matroids whose first element is the 2-sum of the first $k$ matroids along ${\\cal R}$ and where the $i$\\textsuperscript{th}\\ matroid with $i > 1$ is $M_{i - k + 1}$. Since $\\Ccal_{\\infty}$ is preserved under this operation, we can apply it to produce a new ray of matroids where the ground set of the first element includes $o \\triangle o'$. Arguing as above in this ray of matroids, we are done.\n\\end{proof}\n\n\n\\begin{lem}\\label{cir_closed}\nLet $o$ be a prolonged circuit of $N$, and let $b \\in \\Dcal_{\\infty}$ and $o' \\in \\Ccal_{\\infty}$ such that $o \\sim b$ and $o' \\sim b$. Then $o'$ is also a circuit of $N$.\n\\end{lem}\n\\begin{proof}\nLet the circuits $o$ and $o'$ be represented by the precircuits $(I, \\hat o)$ and $(I', \\hat o')$, and let the cocircuit $b$ be represented by the precocircuit $(J, \\hat b)$.\nChoose some $e \\in o \\cap E(M_n)$ for some $n$, and choose some $k > n$ such that for $i \\geq k$ we have $\\hat o(i) \\cap \\hat b(i) = \\hat o'(i) \\cap \\hat b(i) = \\{e(i-1), e(i)\\}$. For each $i \\geq k$, we may by Lemma \\ref{good_cir_eli} find a set $X_i \\subseteq \\hat o(i) - e(i-1)$ and a family $(o_x | x \\in X_i)$ of circuits of $M_i$ with $o_x \\cap (X_i \\cup \\{e(i-1)\\}) = \\{x\\}$ for each $x \\in X_i$ such that the only circuit $o$ with $e(i-1) \\in o \\subseteq \\hat o(i) \\cup (\\bigcup_{x \\in X_i} o_x) \\setminus X_i$ is $\\hat o'(i)$. Note that for $x \\in X_i$ we have $o_x \\cap \\hat b(i) \\subseteq \\{e(i)\\}$, so that $o_x \\cap \\hat b(i) = \\emptyset$ and in particular $e(i) \\not \\in o_x$. So $o_x$ is a circuit of $M_{\\emptyset}({\\cal R})$, and so of $N$. Now we apply the circuit elimination axiom (C3) in $N$ to the circuit $o$ and the circuits $o_x$ with $x \\in \\bigcup_{i \\geq k}X_i$, eliminating the set $\\bigcup_{i \\geq k}X_i$ and keeping the element $e$. We obtain an $N$-circuit $o''$ with $e \\in o'' \\subseteq o \\cup (\\bigcup_{i \\geq k}\\bigcup_{x \\in X_i} o_x) \\setminus \\bigcup_{i \\geq k}X_i$.\n\nLet $o''$ be represented by the precircuit $(I'', \\hat o'')$. Then for any $i < k$ in $I''$ we have $\\hat o''(i) \\subseteq \\hat o(i)$, and so $\\hat o''(i) = \\hat o(i)$, so that all neighbours of $i$ in $I$ are in $I''$. Thus since $n \\in I''$ we get $I'' \\cap \\{1, .., k\\} = I \\cap \\{1, .., k\\}$. Now we show by induction on $i$ that if $i \\geq k$ then $i \\in I$ and $\\hat o''(i) = \\hat o'(i)$. We begin by noting that $i \\in I$ and $e(i-1) \\in \\hat o''(i)$. For the base case this follows from the fact that $\\hat o''(k-1) = \\hat o(k-1)$ and otherwise it follows from the induction hypothesis. So we have $e(i-1) \\in \\hat o''(i) \\subseteq \\hat o(i) \\cup (\\bigcup_{x \\in X_i} o_x) \\setminus X_i$, which implies that $\\hat o''(i) = \\hat o'(i)$ as required. Thus $o'' \\triangle o' \\subseteq \\bigcup_{i < k} E(M_i)$ and so applying Lemma \\ref{finfix} we get that $o'$ is a circuit of $N$.\n\\end{proof}\n\nThus the set of circuits of $N$ must consist of $\\Ccal(M_{\\emptyset}({\\cal R}))$ together with a union of some $\\simeq$-equivalence classes\\footnote{As usual, we denote the union of the elements of a set $S$ of equivalence classes by $\\bigcup S$.} in $\\Ccal_{\\infty}$. In fact, we can show that this is the only restriction.\n\n\\begin{thm}\\label{ray_case}\nLet $\\Phi$ be any subset of $\\Ccal_{\\infty} \/ \\simeq$. Then there is an ${\\cal R}$-matroid $M_{\\Phi}({\\cal R})$ whose set of circuits is $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$. The set of cocircuits of this matroid is $\\Ccal(M^*_{\\{\\omega\\}}({\\cal R})) \\cup \\bigcup \\Phi^*$, where $\\Phi^* \\subseteq \\Dcal_{\\infty}\/\\simeq$ is the set of equivalence classes $[b]$ such that there is no $[o] \\in \\Phi$ with $o \\simeq b$. Conversely, the set of circuits of any ${\\cal R}$-matroid has the form $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ with $\\Phi$ a subset of $\\Ccal_{\\infty} \/\\simeq$.\n\\end{thm}\n\nThe remainder of this section will be devoted to proving this theorem. The last sentence is just a restatement of Lemma \\ref{cir_closed}, and it is clear that if this construction defines a matroid then that matroid is an ${\\cal R}$-matroid. So we just have to show that this construction gives a matroid. We will do this using Theorem \\ref{hybrid}. We must now show that the conditions of that theorem hold. (C0) and (C1) for $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ follow from the same axioms applied to $\\Ccal(M_{\\{\\omega\\}}({\\cal R}))$, and we get (C0) and (C1) for $\\Ccal(M^*_{\\{\\omega\\}}({\\cal R})) \\cup \\bigcup \\Phi^*$ from the same axioms applied to $\\Ccal(M^*_{\\emptyset}({\\cal R}))$. Checking the remaining conditions is the purpose of the following lemmas.\n\\begin{lem}[O1]\nThere do not exist $o \\in \\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ and $b \\in \\Ccal(M^*_{\\{\\omega\\}}({\\cal R})) \\cup \\bigcup \\Phi^*$ with $|o \\cap b| = 1$. \n\\end{lem}\n\\begin{proof}\nUsing (O1) in $M_{\\emptyset}({\\cal R})$ and $M_{\\{\\omega\\}}({\\cal R})$, we see that the only way this could be possible is if $o \\in \\bigcup \\Phi$ and $b \\in \\bigcup \\Phi^*$. But then $o \\sim b$, contradicting the definition of $\\Phi^*$.\n\\end{proof}\n\n\\begin{lem}[O2]\\label{R_O2}\nLet $E=P\\dot\\cup Q \\dot\\cup \\{e\\}$ be a partition of $E$, with $e \\in E(M_n)$. Then\neither $P+e$ includes an element of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ containing $e$ or\n$Q+e$ includes an element of $\\Ccal(M^*_{\\{\\omega\\}}({\\cal R})) \\cup \\bigcup \\Phi^*$ containing $e$.\n\\end{lem}\n\\begin{proof}\nSuppose for a contradiction that neither of these options holds. Applying (O2) in the matroid $M_{\\emptyset}({\\cal R})$ we obtain either $o \\in \\Ccal(M_{\\emptyset}({\\cal R}))$ with $e \\in o \\subseteq P + e$ or $b \\in \\Ccal(M^*_{\\emptyset}({\\cal R}))$ with $e \\in b \\subseteq Q + e$. The first of these is impossible by assumption, so there is such a $b$. Similarly, applying (O2) in the matroid $M_{\\{\\omega\\}}({\\cal R})$ we get a circuit $o$ of that matroid with $e \\in o \\subseteq Q + e$. Furthermore, by our assumptions $o \\in \\Ccal_{\\infty}$ and $b \\in \\Dcal_{\\infty}$. Since $o \\cap b = \\{e\\}$, we have $o \\sim b$, and so either $[o] \\in \\Phi$ or else $[b] \\in \\Phi^*$, as required.\n\\end{proof}\n\n\\begin{lem}\n$\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ satisfies (CM).\n\\end{lem}\n\\begin{proof}\nLet $I$ be a set not including any element of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$, and $X$ a set with $I \\subseteq X \\subseteq E$. Since $I$ is $M_{\\emptyset}({\\cal R})$-independent, we may apply $(CM)$ in that matroid to extend it to a maximal $M_{\\emptyset}({\\cal R})$-independent subset $J$ of $X$. If $J$ fails to include any element of $\\bigcup \\Phi$ then we are done, so suppose that it does include such an element $o$. Let $e$ be any element of $o$ not contained in $I$, and let $J' = J - e$. We will show that $J'$ is maximal amongst those subsets of $X$ including $I$ but not including any element of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$, which will complete the proof of (CM). It is clear that $I \\subseteq J' \\subseteq J$.\n\nFirst we show that $J'$ includes no element of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$. Suppose for a contradiction that it does include such an element $o'$. Since $J'$ is a subset of the $M_{\\emptyset}({\\cal R})$-independent set $J$ we must have $o' \\in \\bigcup \\Phi$. Now suppose that $e \\in E(M_i)$, let $o = \\underline{(S_o, \\hat o)}$ and let $o' = \\underline{(S_{o'}, \\hat o')}$. Choose $j > i$ with $j \\in S_o \\cap S_{o'}$, and such that $e(j+1), e(j+2)$ is not a cocircuit of $M_{j+1}$ (this is possible because ${\\cal R}$ is nice). Let $\\overline o$ be a circuit of $M_{j+1}$ with $e(j+1) \\in \\overline o$ but $e(j+2) \\not \\in \\overline o$. Then we can build an $\\emptyset$-precircuit $(S_o \\cap \\{k | k \\leq j + 1\\}, \\hat c)$ with $\\hat c(j + 1) = \\overline o$ and $\\hat c (k) = \\hat o(k)$ for $k \\leq j$. We take $c = \\underline{(S_o \\cap \\{k | k \\leq j + 1\\}, \\hat c)}$. We define an $\\emptyset$-circuit $c'$ in a similar way from $o'$. Applying circuit elimination in $M_{\\emptyset}$ to $c$ and $c'$, keeping \n$e$ and eliminating some element of $\\overline o$, we obtain an $\\emptyset$-circuit $o''$ with $e \\in o'' \\subseteq J \\cup \\overline o$. But since $o'' \\cap \\overline o$ is a proper subset of $\\overline o - e(j+1)$, we must have $o'' \\cap \\overline o = \\emptyset$, and so $o'' \\subseteq J$, which contradicts the $M_{\\emptyset}$-independence of $J$.\n\nNext we show that $J'$ is maximal. Suppose for a contradiction that there is some $e' \\in X \\setminus J'$ such that $J' + e'$ includes no element of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$. By maximality of $J$, there must be some $M_{\\emptyset}$-circuit $o'$ with $e' \\in o' \\subseteq J + e'$. Since $o' \\not \\subseteq J'$, we have $e \\in o'$. By Lemmas \\ref{cireli_partitioning} and \\ref{R_O2} we know that $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ satisfies circuit elimination. We apply this to $o'$ and $o$, keeping $e'$ and eliminating $e$. This gives an element $o''$ of $\\Ccal(M_{\\emptyset}({\\cal R})) \\cup \\bigcup \\Phi$ included in $J' + e'$, which is the desired contradiction.\n\\end{proof}\n\n\n\n\\section{Representability properties of $M_{\\Phi}(\\Qcal)$}\\label{repQ}\n\\begin{figure}\n\\begin{center}\n \\includegraphics[width=8cm]{.\/Qray.pdf}\n\\end{center} \n\\caption{The ray $\\Qcal$ of matroids}\\label{fig:Qray}\n\\end{figure}\nRecall from the introduction the ray $\\Qcal = (K_4 | i \\in \\Nbb)$ of matroids, in which the edge set of the $i$\\textsuperscript{th} copy of $K_4$ is $\\{a_i, b^0_i, b^1_i, c^0_i, c^1_i, a_{i + 1}\\}$, as shown in figure \\autoref{fig:Qray}. The results of the last section give us a simple characterisation of the set of $\\Qcal$-matroids. In this section, we shall investigate the extent to which these $\\Qcal$-matroids are binary. To make this more precise, we begin by recalling a theorem from~\\cite{BC:rep_matroids} excluded minors method:\n\n\\begin{thm}\\label{char_binary}\nLet $M$ be a tame matroid. Then the following are equivalent:\n\\begin{enumerate}\n\\item $M$ is a binary thin sums matroid.\n\\item For any circuit $o$ and cocircuit $b$ of $M$, $|o \\cap b|$ is even.\n\\item For any circuit $o$ and cocircuit $b$ of $M$, $|o \\cap b| \\neq 3$\n\\item $M$ has no minor isomorphic to $U_{2,4}$. \n\\item If $o_1$, $o_2$ are circuits then $o_1 \\triangle o_2$ is empty or includes a circuit.\n\\item If $o_1$, $o_2$ are circuits then $o_1 \\triangle o_2$ is a disjoint union of circuits.\n\\item If $(o_i | i \\in I)$ is a finite family of circuits then $\\bigtriangleup_{i \\in I}o_i$ is empty or includes a circuit.\n\\item If $(o_i | i \\in I)$ is a finite family of circuits then $\\bigtriangleup_{i \\in I}o_i$ is a disjoint union of circuits.\n\\item For any base $s$ of $M$, and any circuit $o$ of $M$, $o = \\bigtriangleup_{e \\in o \\setminus s} o_e$, where $o_e$ is the fundamental circuit of $e$ with respect to $s$.\n\\end{enumerate}\n\\end{thm}\n\nHowever, if $M$ is not tame, these conditions are not equivalent. We shall illustrate this by considering which of the conditions hold for each $\\Qcal$-matroid (most of which are not tame).\n\nFirst we give a simple description of the set of $\\Qcal$-matroids.\n\nLet $\\omega$ be the end of $\\Qcal$. For any sequence $(v(i) \\in \\{0, 1\\} | i \\in \\Nbb)$ there is an infinite circuit $o(0, v)$ of $M_{\\{\\omega\\}}(\\Qcal)$ consisting of $a_1$ and the $b_i^{v(i)}$ and $c_i^{v(i)}$ with $i \\in \\Nbb$. Also, for any $n \\in \\Nbb$, and any sequence $(v(i)| i \\geq n)$ there is such an infinite circuit $o(n, v)$ consisting of $b^{v(n)}_n$, $c^{1-v(n)}_n$ and the $b_i^{v(i)}$ and $c_i^{v(i)}$ with $i > n$. A typical such circuit with $n = 2$ is shown in \\autoref{fig:Qcircuit}. It is not hard to show that every infinite circuit arises in this way. Using the fact that $K_4$ is self-dual, we may also check that the sets $o(n, v)$ are precisely the infinite cocircuits of $M_{\\emptyset}(\\Qcal)$. It is clear that $o(n, v) \\sim o(n', v')$ if and only if for all sufficiently large $i$ we have $v(i) \\neq v'(i)$, so that the equivalence relation $\\simeq$ on $\\Ccal_{\\infty}$ is given by $o(n, v) \\simeq o(n', v')$ if and only if for all sufficiently large $i$ we have $v(i) = v'(i)$.\n\n\\begin{figure}\n\\begin{center}\n \\includegraphics[width=8cm]{.\/Qcircuit.pdf}\n\\end{center} \n\\caption{A $\\Qcal$-circuit}\\label{fig:Qcircuit}\n\\end{figure}\n\n\nApplying Theorem \\ref{main:thm_intro}, we obtain that for any set $\\Phi$ of $\\simeq$-equivalence classes, there is a matroid $M_{\\Phi}(\\Qcal)$ with circuit set $\\Ccal(M_{\\emptyset}(\\Qcal)) \\cup \\bigcup \\Phi$ and cocircuit set $\\Ccal(M^*_{\\{\\omega\\}}(\\Qcal)) \\cup \\bigcup \\Phi^*$, where $\\Phi^* \\subseteq \\Dcal_{\\infty} \/ \\simeq$ is the set of equivalence classes $[b]$ such that there is no $[o] \\in \\Phi$ with $o \\simeq b$. Furthermore, every $\\Qcal$-matroid arises in this way.\n\nWe now proceed to analyse which of the conditions of Theorem \\ref{char_binary} hold for these $\\Qcal$-matroids. If $\\Phi = \\emptyset$ then $M_{\\Phi}(\\Qcal)$ is finitary, and so is tame. Furthermore, in this case condition (3) is easy to check, and applying the theorem, we obtain that all the conditions hold. Similar arguments apply to $M_{\\Ccal_{\\infty}\/\\simeq}(\\Qcal)$, which is cofinitary. In the following list, we shall consider what happens for a typical $\\Phi$ with $\\emptyset \\subsetneq \\Phi \\subsetneq \\Ccal_{\\infty}\/\\simeq$. Let $E$ be the common ground set of the matroids $M_{\\Phi}(\\Qcal)$.\n\nIt will turn out that in these nontrivial cases, we always have (3-6) and never have (1-2) or (9), but sometimes have (7) and (8).\n\n\\begin{enumerate}\n\\item We shall show that $M_{\\Phi}(\\Qcal)$ is not a binary thin sums matroid. Suppose for a contradiction that it is: then there is a set $A$ and a family of functions $(\\phi_e \\colon A \\to \\Fbb_2 | e \\in E)$ such that the circuits of $M_{\\Phi}(\\Qcal)$ are the minimal nonempty supports of functions $c \\colon E \\to \\Fbb_2$ such that for any $a \\in A$ the sum $\\sum_{e \\in E} c(e) \\phi_e(a)$ is well defined and equal (when evaluated in $\\Fbb_2$) to 0. Equivalently, there is a set $\\Dcal$ of subsets of $E$ (given by $\\{\\{e \\in E | \\phi_e(a) = 1\\}| a \\in A\\}$) such that the circuits of $M_{\\Phi}(\\Qcal)$ are the minimal nonempty subsets of $E$ whose intersection with any element of $\\Dcal$ is finite and of even size.\n\nSince no intersection of any element of $\\Dcal$ with any circuit of $M_{\\Phi}(\\Qcal)$ has size 1, each element of $\\Dcal$ is a union of cocircuits of $M_{\\Phi}(\\Qcal)$. By our assumption that $\\Phi \\neq \\Ccal_{\\infty}\/\\simeq$, there must be some element $s$ of $\\Dcal$ which is not a union of cocircuits of $M_{\\{\\omega\\}}(\\Qcal)$, and so which includes some element $b$ of $\\bigcup \\Phi^*$. Let $o$ be any element of $\\bigcup \\Phi$. Then $o \\not \\sim b$, and so $o \\cap b$ is infinite, and so $o \\cap s$ is infinite, which is the desired contradiction.\n\n\\item Let $o \\in \\bigcup \\Phi$ and $b \\in \\bigcup \\Phi^*$. Then $|o \\cap b|$ is not even: it is infinite.\n\n\\item The only ways an intersection of a circuit $o$ with a cocircuit $b$ of $M_{\\Phi}(\\Qcal)$ can be finite are if $o \\in \\Ccal(M_{\\emptyset}(\\Qcal))$ or $b \\in \\Ccal(M^*_{\\{\\omega\\}}(\\Qcal))$, and in either case $|o \\cap b|$ is even. In particular, we never have $|o \\cap b| = 3$.\n\n\\item If $M_{\\Phi}(\\Qcal)$ had a minor isomorphic to $U_{2, 4}$, then in that minor there would be a circuit and a cocircuit with intersection of size 3. But then by \\autoref{rest_cir} we could extend these to a circuit and a cocircuit of $M_{\\Phi}(\\Qcal)$ with intersection of size 3, and we have just shown that this is impossible. So there is no such minor.\n\n\\item Let $o_1$ and $o_2$ be circuits of $M_{\\Phi}(\\Qcal)$. Using the fact that (5) holds in $M_{\\{\\omega\\}}(\\Qcal)$, we obtain that $o_1 \\triangle o_2$ includes some element $o_3$ of $\\Ccal_{\\infty}$. If both $o_1$ and $o_2$ are finite, so is $o_3$, so $o_3$ is a circuit of $M_{\\Phi}(\\Qcal)$. If $o_1$ is finite but $o_2$ is not, we have $o_2 \\simeq o_3$, so that $o_3$ is again a circuit of $M_{\\Phi}(\\Qcal)$. The case where $o_2$ is finite but $o_1$ is not is similar. If both are infinite, and $o_3$ is also infinite, then for any $i$ bigger than all of $n_1$, $n_2$ and $n_3$ we get that  $o_3$ meets $\\{b^0_i, b^1_i, c^0_i, c^1_i\\}$, so $(o_1 \\triangle o_2)$ also meets this set and so (by construction) must include it. But then we get a finite circuit $o_3' \\subseteq o_1 \\triangle o_2$ given by $(o_3 \\cap \\{a_1\\} \\cup \\bigcup_{j < i}\\{b^0_j, b^1_j, c^0_j, c^1_j\\}) \\cup \\{b^0_i, b^1_i\\}$ for any such $i$, and $o_3'$ is a circuit of $M_{\\Phi}(\\Qcal)$ because it is finite.\n\n\\item This is also true for any matroid $M_{\\Phi}(\\Qcal)$, by a similar argument to that for (5).\n\n\\item If $I$ contains an even number of infinite circuits we may proceed as for (5). But if $I$ contains an odd number of infinite circuits, this will fail for some choices of $\\Phi$. For example, for $i \\in \\{1, 2, 3\\}$, let $w_i \\colon \\Nbb \\to \\{0, 1\\}$ be defined by $w_i(n) = 1$ if $n$ is congruent to $i$ modulo 3 and $w(n) = 0$ otherwise. Let $o_i = o(0, w_i)$. Let $\\Phi = \\{[o_1], [o_2], [o_3]\\}$, so that each $o_i$ is a circuit of $M_{\\Phi}(\\Qcal)$. It is clear that $o_1 \\triangle o_2 \\triangle o_3 = o(0, n \\mapsto 1)$ includes no infinite circuit of $M_{\\Phi}(\\Qcal)$.\n\nIn order for this condition to be true of $M_{\\Phi}$, it is necessary and sufficient for $\\Phi$ to be closed under the ternary operation $$f: [o(1, v_1)], [o(1, v_2)], [o(1, v_3)] \\mapsto [o(1, \\chi_{\\{n \\in \\Nbb | \\{i | v_i(n) = 1\\} \\mbox{\\small\\ has 1 or 3 elements}\\}})]$$\n\n\\item Like (7), this condition holds of $M_{\\Phi}(\\Qcal)$ precisely when $\\Phi$ is closed under the ternary operation $f$.\n\n\\item Let $o = o(0, v)$ be some infinite circuit in $\\bigcup \\Phi$, and $s = o(0, w)$ some infinite circuit which is not in $\\bigcup \\Phi$. Then it is easy to check that $s$ is a base of $M_{\\Phi}(\\Qcal)$, and that whenever $v(i) \\neq w(i)$ the fundamental circuit of $b^{v(i)}_i$ with respect to $s$ contains $a_1$. Since this happens infinitely often, the expression $\\bigtriangleup_{e \\in o \\setminus s} o_e$ is not well defined (it is not a thin symmetric difference), so that this condition always fails for at least one base. \n\nHowever, there is also always at least one base $s$ for which we do have $o = \\bigtriangleup_{e \\in o \\setminus s}o_e$ for any circuit $o$ of $M_{\\Phi}(\\Qcal)$, namely $\\{a_1\\} \\cup \\{b^0_i | i \\in \\Nbb\\} \\cup \\{c^1_i | i \\in \\Nbb\\}$. This choice of base works because it is already a base in $M_{\\{\\omega\\}}(\\Qcal)$.\n\\end{enumerate}\n\n\n\nNote that the matroids constructed in \\autoref{ray_case} are almost never tame. In fact, any intersection of a circuit in $\\Phi$ with a cocircuit in $\\Phi^*$ must be prolonged and so infinite. Thus the only cases in which $M_{\\Phi}({\\cal R})$ might be tame are those with $\\Phi$ empty or equal to the whole set of prolonged circuits.\n\n\\section{Proof of the main result}\\label{sec:main_result}\n\nWe noted above that, if we have a matroid $N$ with a tree-decomposition $(T, R)$ of adhesion 2 then we often cannot reconstruct $N$ from the induced tree of matroids $\\Tcal(N,T,R)$. In this section we will explain what additional information is needed to reconstruct $N$. \n\nIn \\autoref{sec:ray_case}, we showed that if $T$ is a ray then the extra information we need is the set $\\Phi$ of $\\simeq$-equivalence classes containing canonical precircuits of circuits of $N$. For more general tree-decompositions $(T, R)$, we will need to make such a specification for each end of $T$.\n\nFor each ray $Q\\subseteq T$, by \\autoref{X1}, there is a minor $N_Q$ of $N$ with tree-decomposition $(Q,R_Q)$, with $R_Q$ chosen so that $\\Tcal(N_Q, Q, R_Q)$ is obtained by restricting $\\Tcal(N, T, R)$ to $Q$. Since $N_Q$ is a matroid, we get a set $\\Phi(Q)$ of $\\simeq$-equivalence classes containing canonical precircuits of circuits of $N_Q$. Note that the sets $\\Phi(Q)$ for the rays $Q$ in some end $\\omega$ are easily determined in terms of each other.\n\nThis suggests that the extra information we use should consist of a choice, for each end $\\omega$, of a set $\\Phi(Q_{\\omega})$ of $\\simeq$-equivalence classes for some chosen ray $Q_{\\omega}$ belonging to $\\omega$. This then determines a choice of $\\Phi(Q)$ for each other ray $Q$ of $T$. The construction we have just outlined gives a choice of such a $\\Phi$ for each tree-decomposition $(T,R)$ of a matroid $N$. We will denote this choice by $\\Phi(N, T, R)$.\n\nGiven a tree $\\Tcal = (T, M)$ of matroids and a specification of $\\Phi(Q_\\omega)$ for each end $\\omega$ of $T$ as above, we say that a $\\Tcal$-precircuit $(S_o, \\hat o)$ is a $\\Phi$-precircuit if and only if for each ray $Q$ of $S_o$ we have $(Q, \\hat o \\restric Q) \\in \\bigcup(\\Phi(Q))$. A $\\Phi$-circuit is a minimal nonempty underlying set of a $\\Phi$-precircuit. Dually, a $\\Tcal$-precocircuit $(S_b, \\hat b)$ is a $\\Phi^*$-precocircuit if and only if for each ray $Q$ of $S_b$ we have $(Q, \\hat b \\restric Q) \\in \\bigcup((\\Phi(Q))^*)$, and we define $\\Phi^*$-cocircuits dually to $\\Phi$-circuits. If there is a matroid whose circuits are the  $\\Phi$-circuits of $\\Tcal$ and whose cocircuits are the $\\Phi^*$-cocircuits of $\\Tcal$ then we will call that matroid the {\\em $\\Phi$-matroid} for $\\Tcal$, and denote it $M_{\\Phi}(\\Tcal)$.\n\nThe purpose of this section is to prove the following.\n\n\\begin{thm}\\label{recon:arbi}\n Let $(T,R)$ be a tree-decomposition of a matroid $N$ of adhesion $2$.\nThen $N$ is a $\\Phi$-matroid for $\\Tcal(N,T,R)$.\n\\end{thm}\n\nNote that this is stronger than the claim that each circuit of $N$ arises from a $\\Phi$-precircuit: we will show that the circuits of $N$ are precisely the $\\Phi$-circuits.\n\n\\vspace{0.3 cm}\n\nWe will now begin the proof of \\autoref{recon:arbi}. More precisely, we will now show that $N = M_{\\Phi}(\\Tcal(N, T, R))$, where $\\Phi = \\Phi(N, T, R)$. By definition, every $N$-circuit is the underlying set of some $\\Phi$-precircuit\nFor $N$-cocircuits, we get the analogous fact.\n\n\\begin{lem}\\label{cocir_underlying}\n Every $N$-cocircuit is an underlying set of a $\\Phi^*$-precocircuit.\n\\end{lem}\n\n\\begin{proof}\nSuppose not for a contradiction. That is, there are an $N$-cocircuit $b$ \nand an $N$-circuit $o$ such that the underlying set $S_b$ of the canonical\nprecocircuit $(S_b,\\hat b)$ for $b$ and the underlying set $S_o$ for $\\hat o$ have a common end $\\omega$ such that they are $\\simeq$-equivalent at $\\omega$. Thus there is a ray $Q=q_1q_2\\ldots$ converging to $\\omega$ in the intersection of $S_b$ and $S_o$.\n\nIf the decomposition tree is a ray, we obtain a contradiction to \\autoref{ray_case}.\nThe other case can be reduced to this case as follows:\nWe define $R^Q$ to be the following coarsening \nof the torsos $R$. We define $R^Q_{q_i}$ to be the union of all the $R_{v}$ such that in $T$ the vertices\n$v$ and $q_i$ can be joined by a path that does not contain any other $q_j$.\nThen $(Q,R^Q)$ is a tree-decomposition of $N$ of adhesion 2.\nBut the precircuit and precocircuit defined by $o$ and $b$ are also $\\simeq$-equivalent at $\\omega$ for the tree-decomposition $(Q,R^Q)$, contradicting \\autoref{ray_case}.\n\\end{proof}\n\nThe key lemma is the following:\n\n\\begin{lem}\\label{precir_give_scrawl}\n The underlying set $o$ of any $\\Phi$-precircuit $(S_o,\\hat o)$ is an $N$-scrawl.\n\nDually, the underlying set $b$ of any $\\Phi$-precocircuit $(S_b,\\hat b)$ is an $N$-coscrawl.\n\\end{lem}\n\nIn fact the theorem follows easily from this Lemma.\n\n\\begin{proof}[Proof that \\autoref{precir_give_scrawl} implies \\autoref{recon:arbi}.]\nBy \\autoref{precir_give_scrawl}, every $\\Phi$-circuit $o'$ is an $N$-scrawl and so includes an $N$-circuit $o$. By minimality, $o'$ must be $o$ since $o$  is the underlying set of the canonical precocircuit of $o$.\nConversely, every $N$-circuit $o$ is an underlying set of its canonical precircuit. Suppose for a contradiction that there is a $\\Phi$-precircuit whose underlying set is properly included in $o$. Then this underlying set is an $N$-scrawl, so $o$ properly includes an $N$-circuit, which is impossible. So $o$ is a $\\Phi$-circuit. Summing up, the $\\Phi$-circuits are precisely the $N$-circuits.\n\n\nThe dual argument shows that the $N$-cocircuits are precisely the $\\Phi$-cocircuits.\nThis completes the proof. \n\\end{proof}\n\nIn order to prove the first statement of \\autoref{precir_give_scrawl}, it suffices by \\autoref{is_scrawl} to prove that $|o\\cap b|\\neq 1$ for any underlying set $o$ of a $\\Phi$-precircuit $(S_o,\\hat o)$ and any $N$-cocircuit $b$ with canonical\nprecocircuit  $(S_b,\\hat b)$. \nNow suppose for a contradiction that there are such $o$, $(S_o,\\hat o)$, $b$ and $(S_b,\\hat b)$ with a single element $e$ in $o \\cap b$.\n\n\\begin{comment}\n The rest of this section is devoted to the proof of \\autoref{precir_give_scrawl}.\nFor the remainder of this section let us fix a $\\Phi$-precircuit $(S_o,\\hat o)$ with underlying set $o$, and an $N$-cocircuit $b$ with canonical\nprecircuit  $(S_b,\\hat b)$. In order to show the first part of \\autoref{precir_give_scrawl}, it suffices to prove that $|o\\cap b|\\neq 1$ for any such $o$ and $b$.\nNow suppose for a contradiction that $|o\\cap b|=1$.\n\\end{comment}\n\n\nLet $N'$ be the matroid obtained from $N$ by applying \\autoref{X1} to the subtree $S_o$ of $T$. Then $\\Phi(N', S_o, R\\restric_{S_o})$ is just $\\Phi$ restricted to the set of ends of $S_o$ by the characterization of the $N'$-circuits in \\autoref{X1}. \nClearly, $(S_o,\\hat o)$ is a $\\Phi(N', S_o, R\\restric_{S_o})$-precircuit.\nBy \\autoref{X1}, the underlying set of $(S_b\\cap S_o,\\hat b\\restric_{S_o})$ is an $N'$-cocircuit.\nThis construction shows that we may assume without loss of generality that $S_o=T$.\n\n\n\\begin{comment}\n TODO Sort out the construction in the next paragraph.\nUse Lemma X1\n\nLet $N'$ be the matroid obtained from $N$ by deleting all elements $e$ that are in matroids associated to\nnodes of $T$ that are not in $S_o$. The tree-decomposition $(T,R)$ induces a tree-decomposition $(S_o,R')$ of $N'$ with $R'(v)$ being obtained from $R(v)$ by deleting all virtual elements $e(vw)$ such that $vw\\not\\in E(S_o)$. Let $\\Phi'$ be defined from $N'$ and $(S_o, R')$ just as we defined $\\Phi$ from $N$ and $(T, R)$. Note that $b$ restricted to the ground set of $N'$ is a coscrawl, so it includes some cocircuit $b'$ containing $e$. We will show that $(S_o, o')$ is a $\\Phi'^*$-precircuit. For each end $\\omega$ of $S_o$, there is some circuit $o$ of $N$ with For any $N'$-circuit $o_1$, But $b'$ \nThis construction shows that we may assume without loss of generality that $S_o=T$.\n\\end{comment}\n\n\n\n\n\\begin{lem}\\label{binary_tree}\nThe tree $S_b$ includes a subdivision of the binary tree $T_2$.\n\\end{lem}\n\nBefore we prove \\autoref{binary_tree}, we need the following definition. Let $t_e$ be the node of $T$ containing $e$.\nWe say that a directed edge $tt'$ of $S_b$ \\emph{points away from $e$} if $t_e$ is not in the subtree $T_{t\\to t'}$.\nA node of a tree is called a \\emph{branching vertex} if it has degree at least 3.\n\n\\begin{proof}\nThe binary tree in $S_b$ will be built in two steps.\nFirst we show that for every directed edge $tt'$ of $S_b$ pointing away from $e$,\nthe subtree $S_{t\\to t'}$ includes a ray, then we show that it contains a branching vertex of $S_b$.\nThis will then show that $S_b$ includes a binary tree since $S_b$ includes at least one edge incident with $t_e$ as $\\hat o(t_e)$ and $\\hat b(t_e)$ have to intersect in an element different from $e$. Thus it remains to prove the following two sublemmas. \n\n\n\\begin{sublem}\\label{ray_in_S}\n Let $tt'$ be a directed edge $tt'$ of $S_b$ pointing away from $e$.\nThen the subtree $S_{t\\to t'}$ includes a ray.\n\\end{sublem}\n\n\\begin{proof}\nWe construct the ray as follows. Let $t_1=t$ and $t_2=t'$, and suppose that $t_i$ is already defined. Then for $t_{i+1}$ we pick a neighbour of $t_i$ in $S_b$ such that $t_it_{i+1}$ points away from $e$. There is such a choice since $\\hat o(t_i)$ and $\\hat b(t_i)$ have to intersect in an element different from $e(t_{i-1}t_i)$.\nThen $(t_i|i\\in\\Nbb)$ is the desired ray.\n\\end{proof}\n\n\\begin{sublem}\\label{branching_in_S}\n Let $tt'$ be a directed edge $tt'$ of $S_b$ pointing away from $e$.\nThen the subtree $S_{t\\to t'}$ contains a branching vertex of $S_b$.\n\\end{sublem}\n\n\n\n\\begin{proof}\nSuppose for a contradiction that $S_{t\\to t'}$ does not contain a branching vertex.\nThen by \\autoref{ray_in_S} it is a ray: $S_{t\\to t'}=q_1q_2\\ldots$. \nBy \\autoref{X1}, there is a minor $N'$ of $N$ that has a tree-decomposition of adhesion $2$\nwith tree $S_{t\\to t'}$ such that the matroid associated to $q_i$ is $R(q_i)$.\nThen $\\Phi(N', S_{t\\to t'}, R\\restric_{S_{t\\to t'}})$ is just $\\Phi$ restricted to \nthe end of $S_{t\\to t'}$. \nThe restrictions of $(S_o,\\hat o)$ and $(S_b,\\hat b)$ to $S_{t\\to t'}$ give a precircuit and a precocircuit for that new tree-decomposition which are not $\\simeq$-equivalent at the end. This contradicts\n\\autoref{ray_case}, which completes the proof.\n\\end{proof}\n\\end{proof}\n\nThe strategy for the rest of this proof will be to improve $b$ in two steps, first to $b_1$, then to $b_2$, both satisfying the same conditions as $b$.\nLet $(S_{b_1},\\hat b_1)$ and $(S_{b_2},\\hat b_2)$ be their canonical precocircuits. In the first step we force $S_{b_1}$ to have many vertices of degree 2. In the second step we force all but one of the vertices of $S_{b_2}$ to have degree 2 so that $S_{b_2}$ does not include a binary tree. By \\autoref{binary_tree}, we then get the desired contradiction.\n\nBefore defining $b_1$, we construct a set $B\\subseteq S_b$ satisfying the following conditions.\n\n\\begin{enumerate}\n \\item $t_e\\in B$.\n\\item Every ray in $S_b$ meets $B$.\n\\item Every ray in $S_b$ meets some connected component of $S_b\\setminus B$ such that one of its nodes contains a (non-virtual) element of $b$.\n\\item Every vertex of $B$ is a branching vertex of $S_b$. \n\\end{enumerate}\n\n\\begin{lem}\\label{there_is_B}\n There exists $B\\subseteq S_b$ satisfying 1-4.\n\\end{lem}\n\nWhilst the conditions 1 and 4 are easy to satisfy, the conditions 2 and 3 are in competition in the sense that putting more nodes into $B$ makes it more likely that condition 2 is true but  less likely that condition 3 is true.\n\n\\begin{proof}\nWe shall construct a sequence of nested rayless subtrees $T_n$ of $S_b$ that will exhaust the whole of $S_b$. The set $B$ will be a union of all the sets of leaves of the $T_n$ with $n$ odd (we will ensure that all such leaves lie outside $T_{n-1}$). \n\nTo start with the construction, let $T_1=T_2=\\{t_e\\}$. \nNow suppose that $T_n$ is already constructed, where $n$ is even. \nLet $\\partial T_n$ be the set of those nodes \n$x$ of $S_b$ that have a neighbour $t(x)$ in $T_n$ but are not in $T_n$, see \n\\autoref{fig:construction_B}. \n\n \\begin{figure}\n\\begin{center}\n \\includegraphics[width=5cm]{.\/construction_B.pdf}\n\\end{center} \n\\caption{The construction of $T_{n+1}$ for $n$ even.}\\label{fig:construction_B}\n\\end{figure}\n\nBy \\autoref{branching_in_S}, for each $x\\in \\partial T_n$ the subtree ${(S_b)}_{t(x)\\to x}$ contains a unique branching vertex $s(x)$ that is nearest to $x$. We obtain $T_{n+1}$ from $T_n$ \nby adding for every $x\\in \\partial T_n$ the unique $s(x)-T_n$-path. \nIn particular, $\\partial T_n\\subseteq T_{n+1}$.\n\nNow assume that $T_n$ is already constructed with $n\\geq 3$ odd. \nSince $(S_b,\\hat b)$ is the canonical precocircuit for $b$, for each $x\\in \\partial T_n$ the subtree \n${(S_b)}_{t(x)\\to x}$ includes a node $r(x)$ such that $b$ contains a non-virtual element of the matroid associated to $r(x)$, and by the choice of $\\partial T_n$ this subtree does not meet $T_n$. \nWe obtain $T_{n+1}$ from $T_n$ \nby adding for every $x\\in \\partial T_n$ the unique $r(x)-T_n$-path. \nThis completes the definition of the $T_n$.\n\n\n\n\nAs revealed above, $B$ is the union of all the sets of leaves of the $T_n$ with $n$ odd. \nClearly $B$ satisfies conditions 1 and 4.\n\nNext we show that $B$ satisfies condition 3.\nFor each $n$, the set $T_{2n}\\setminus T_{2n-1}$ is a forest with the property that each of its components includes one vertex $r(x)$.\nHence $B$ satisfies condition 3, since each ray meets $T_{2n}\\setminus T_{2n-1}$ for some sufficiently large $n$.\n\nIt remains to show that $B$ satisfies condition 2. \nBy construction, the $T_n$ form a sequence of nested rayless subtrees of $S_b$ that exhaust the whole of $S_b$. \nNow let $Q$ be a ray of $S_b$. Thus there is a large number $n$ such that \n$S_b$ has a node in $T_{2n}$. Let $x$ be the last node of $Q$ in $T_{2n+1}$.\nBy construction of $T_{2n+1}$, the node $x$ cannot have degree 2, so it is branching.\nSince $x$ is not in $T_{2n}$, it must be a leaf of $T_{2n+1}$, and thus is in $B$,\nwhich completes the proof.  \n \n\\begin{comment}\n We shall construct $B$ as a nested union of finite sets $B_n$ where $B_1=\\{e\\}$.\nNow suppose that $B_{n}$ is already constructed. Let $\\partial B_n$ be the set of all\n neighbours $\\bar t$ in $S_b$ of some $t\\in B_n$ such that ${(S_b)}_{t\\to \\bar t}$ avoids $B_n$. For each $\\bar t\\in \\partial\n B_n$ we pick some $t'\\in S_b$ such that $t'\\in {(S_b)}_{t\\to \\bar t}$ and $b$ uses\n a non-virtual element at the matroid associated to $t'$. Note that such a choice is possible since\n $(S_b,\\hat b)$ is the canonical precocircuit for $b$. Let $T'$ be the set of such $t'$. Let\n $\\partial T'$ be the set of all neighbours $t$ of some $t'\\in T'$ such that $t't$ points away from $e$.\nFor each such $x\\in \\partial T'$ we pick a node $t_x$ such that $t_x$ is further away from $e$ as $x$ is and $t_x$ is a branching vertex; such a choice \nis possible by \\autoref{branching_in_S}.\n\nNow let $B_{n+1}$ be the union of $B_n$ with all such $t_x$.\nLet $B=\\bigcup_{n\\in\\Nbb} B_n$. Then clearly $B$ satisfies 1-4 by construction.\n\\end{comment}\n\n\n\\end{proof}\n\nNow we are in a position to define $b_1$. Let $X=\\left[\\bigcup_{v\\in B} E(v)\\right]\\setminus o$.\nApplying $(O3)^*$ to $b,X$ and $e$ we get a cocircuit $b_1$ with $e\\in b_1\\subseteq b\\cup X$ with\n$b_1\\setminus X$ minimal subject to these conditions. Let $(S_{b_1},\\hat b_1)$ be the canonical cocircuit for $b_1$.\nIn the next few lemmas we collect some properties of $b_1$ and $S_{b_1}$.\n\n\\begin{lem}\\label{b_1_agree}\nFor any $v\\in S_{b_1}\\setminus B$, we have $\\hat b_1(v)=\\hat b(v)$.\n\\end{lem}\n\n\\begin{proof}\n It suffices to show that the possible elements for $\\hat b_1(v)$ are all in $\\hat b(v)$.\nSince $S_{b_1}\\subseteq S_b$, all possible virtual elements are in $\\hat b(v)$.\nThe possible non-virtual elements are in $\\hat b(v)$ since $v\\not\\in B$.\n\\end{proof}\n\n\n\\begin{lem}\\label{b_1_deg2}\nEach $v\\in S_{b_1}\\cap B$ has degree 2 in $S_{b_1}$.\n\\end{lem}\n\n\\begin{figure}\n\\begin{center}\n \\includegraphics[width=12cm]{.\/Sa.pdf}\n\\end{center} \n\\caption{The construction of $(S_a, \\hat a)$}\\label{fig:Sa}\n\\end{figure}\n\n\\begin{proof}\nSuppose for a contradiction, that there is some $v\\in S_{b_1}\\cap X$ such that its degree is not $2$. Since $S_{b_1}$ contains $t_e$, and $\\hat b_1(t_e)$ cannot meet $\\hat o(t_e)$ only in  $e$, the tree $S_{b_1}$ has at least one edge. As $S_{b_1}$ is also connected, the degree of $v$ in $S_{b_1}$ is at least $1$. Thus the degree is at least 2 because otherwise \n$\\hat b_1(v)$ and $\\hat o(v)$ would just intersect in a single element. \n\nNow suppose for a contradiction that the degree of $v$ in $S_{b_1}$ is at least $3$.\nSo there are three neighbours $u$, $w$ and $\\epsilon$ of $v$ such that \n$e(vu),e(vw),e(v\\epsilon)\\in \\hat b_1(v)$, and\nthe directed edges $vu$ and $vw$ point away from $e$, whilst $v\\epsilon$ points towards $e$.\n\nLet $d$ be an $M(v)$-cocircuit that meets $\\hat o(v)$ in precisely $e(vu)$ and $e(v\\epsilon)$; such exists by \\autoref{o_cap_b}.\nLet $S_a={(S_{b_1})}_{v\\to u}\\cup {(S_{b_1})}_{v\\to \\epsilon}+v$. \nWe obtain $\\hat a$ from the restriction of $\\hat b_1$ to $S_a-v$ by extending it to $S_a$ via \n$\\hat a(v)=d$. This construction is illustrated in \\autoref{fig:Sa}.\n\nApplying \\autoref{gluing2} twice, once to the separation corresponding to $vu$ and once\nto the separation corresponding to $v\\epsilon$, we get that $N=N(w)\\oplus_2 M(v) \\oplus_2 N(\\epsilon)$ where the ground set of $N(w)$ is the set of those elements that are in $R(t)$ with $t\\in T_{v \\to w}$. Thus the precocircuit $(S_a,\\hat a)$ is an $N$-cocircuit.\n\nBy \\autoref{ray_in_S}, the subtree ${(S_{b_1})}_{v\\to w}$ includes a ray $Q$. By condition 3, this ray meets a component $D$ of $S_b\\setminus B$ that includes a non-virtual element.\nBy \\autoref{b_1_agree} we have $D\\subseteq {(S_{b_1})}_{v\\to w}$, so there is a non-virtual element not in $X$ used by $b_1$ but not by this new $N$-cocircuit. Hence this new cocircuit violates the minimality of $b_1$,\nwhich gives the desired contradiction. Thus $v$ has degree  precisely 2 in $S_{b_1}$.\n\n\\end{proof}\n\n\n\n\n\\begin{lem}\\label{b_1_real}\nFor any $v\\in S_{b_1}\\cap B$, the cocircuit $\\hat b_1(v)$ includes at least one non-virtual element.\n\\end{lem}\n\n\\begin{proof}\nBy the property 4 of $B$, the cocircuit $\\hat b(v)$ includes at least 3 virtual elements. Hence \n$\\hat b_1(v)\\neq \\hat b(v)$ and $\\hat b_1(v)$ has to contain an element not in $\\hat b(v)$\nwhich must be real.\n\\end{proof}\n\nHaving collected some properties of $b_1$ and $S_{b_1}$, we next define $b_2$ in a similar way to $b_1$.\nLet $B'=V(S_{b_1})\\setminus B$, and let $X'=\\left[\\bigcup_{v\\in B'} E(v)\\right]\\setminus o$.\nApplying $(O3)^*$ to $b_1,X'$ and $e$ we get a cocircuit $b_2$ with $e\\in b_2\\subseteq b_1\\cup X'$ with\n$b_2\\setminus X'$ minimal subject to these conditions. Let $(S_{b_2},\\hat b_2)$ be the canonical cocircuit for $b_2$.\nJust as before, for every $v\\in (S_{b_2}\\setminus B')-t_e$, we have $\\hat b_2(v)=\\hat b_1(v)$.\n\n\\begin{lem}\\label{all_deg_2}\n Each $v\\in (S_{b_2}\\cap B')-t_e$ has degree 2 in $S_{b_2}$.\n\\end{lem}\n\n\\begin{proof}\nThis is proved in the same way as \\autoref{b_1_deg2} with $B'$, $X'$, $b_2$ and $S_{b_2}$ in place of $B$, $X$, $b_1$ and $S_{b_1}$. Indeed, $B'$ satisfies condition 2 since $B$ satisfies condition 3, and it satisfies condition 3 by \\autoref{b_1_real}.\nConditions 1 and 4 were not used in the proof of \\autoref{b_1_deg2}.\n\\end{proof}\n\nHence every vertex except for $t_e$ has degree 2 in $S_{b_2}$. Hence $S_{b_2}$ does not include a subdivision of the binary tree. Since $b_2$ is a legal choice for $b$, we get a contradiction to \\autoref{binary_tree}. This completes the proof of the first part of \\autoref{precir_give_scrawl}. The proof of the second part is the dual argument. (At first glace this might look strange since the definition of $\\Phi$ is asymmetric. However \\autoref{cocir_underlying} deals with this asymmetry and the last proof does not rely on the choice we made when defining $\\Phi$.) Hence this completes the proof of \\autoref{recon:arbi}.\n\nIf $N$ is tame then we need very little local information at the end. In fact, by the comments at the end of the last section, for any end $\\omega$ one of $\\Phi(Q_{\\omega})$ or $(\\Phi(Q_{\\omega}))^*$ must be empty, and \\autoref{tamemain} follows easily.\n\nWe need equally little information at the ends if the tree of matroids is planar.\n\n\\begin{proof}[Proof that \\autoref{cor:planar} follows from \\autoref{recon:arbi}]\nIt is enough to prove \\autoref{cor:planar} for a nice ray ${\\cal R}$ of matroids \nwith all local matroids being 2-connected and planar with both virtual elements on the outer face.\nLet $o$ be the element of $\\Ccal_\\infty$ which at each local matroid takes the outer face.\nIt now suffices to show that any prolonged circuit $o'\\in \\Ccal_\\infty$ of ${\\cal R}$ is $\\simeq$-equivalent to $o$.\n\nLet $b \\in \\Dcal_\\infty$ that is disjoint from $o'$, which exists as in each local matroid there is a cocircuit meeting the local circuit of $o'$ precisely in the virtual elements. \nThen $o\\sim b\\sim o'$, yielding that $o$ and $o'$ are $\\simeq$-equivalent.\n\\end{proof}\n\n\\begin{comment}\n\n\\section{An illustrative example}\\label{illex}\nIn this section, we sketch a construction which is close to giving a counterexample to \\autoref{recon:arbi}. In addition to illustrating the kind of odd almost-matroidal objects which can arise in trees of matroids, this near-counterexample demonstrates the independence of one of the axioms in the system of orthogonality axioms for countable matroids introduced in~\\cite{BC:psi_matroids}. The orthogonality axioms are given in terms of 2 sets $\\Ccal$ and $\\Dcal$ of subsets of a countable set $E$. The axioms hold if and only if there is some matroid with ground set $E$ whose set of circuits is $\\Ccal$ and whose set of cocircuits is $\\Dcal$. We reproduce the axiom system here for the convenience of the reader:\n\n\\begin{itemize}\n\t\\item[(C1)] $\\emptyset\\notin \\Ccal$\n\t\\item[(C2)] No element of $\\Ccal$ is a subset of another.  \n        \\item[(C1$^*$)] $\\emptyset\\notin \\Dcal$\n        \\item[(C2$^*$)] No element of $\\Dcal$ is a subset of another.  \n        \\item[(O1)] $|C\\cap D|\\neq 1$ for all $C\\in \\Ccal$ and $D\\in \\Dcal$. \n        \\item[(O2)] For all partitions $E=P\\dot\\cup Q\\dot\\cup \\{e\\}$\neither $P+e$ includes an element of $\\Ccal$ through $e$ or\n$Q+e$ includes an element of $\\Dcal$ through $e$.\n\\item[(O3)]For every $C\\in \\Ccal$, $e\\in C$ and $X\\subseteq E$, there is some $C_{min}\\in \\Ccal$ with $e\\in C_{min} \\subseteq X \\cup C$ such that $C_{min}\\setminus X$ is minimal.\n\\item [(O3$^*$)]For every $D\\in \\Dcal$, $e\\in D$ and $X\\subseteq E$, there is some $D_{min}\\in \\Dcal$ with $e\\in D_{min} \\subseteq X \\cup D$ such that $D_{min}\\setminus X$ is minimal.\n\\end{itemize}\n\nThe example in this section will be constructed in the tree of matroids $\\Tcal = (T_2, M)$, where $T$ is the infinite 3-regular tree and for $v \\in V(T_2)$ we have $E(v) = \\{e(vv') | vv' \\in E(T_2)\\} \\cup \\{a_1(v), a_2(v), a_3(v)\\}$, and $M(v)$ is the matroid isomorphic to $U_{3,6}$ on this 6-element set\\footnote{Recall that $U_{3,6}$ is the self-dual matroid whose circuits are the 4-element subsets of some 6-element set.}. It is clear that this tree of matroids is nice. For each $v \\in V(T_2)$, we take $A(v) = \\{a_1(v), a_2(v), a_3(v)\\}$.\n\nWe take $\\Ccal$ to be the set of all underlying circuits of precircuits $(S_o, \\hat o)$ such that $S_o$ includes no subdivision of $T_2$ and such that for any ray $R$ in $S_o$, all vertices $v$ sufficiently far along $R$ satisfy $\\hat o(v) = \\{e(vv') | vv' \\in E(T_2)\\} \\cup \\{a_1(v)\\}$. An element of $\\Ccal$ is illustrated in \\autoref{fig:example_circuit}. A 23-ray is a set of the form $\\{a_2(v) | v \\in R\\} \\cup \\{a_3(v) | v \\in R\\}$ for some ray $R$ of $T_2$. We take $\\Dcal$ to be the set of all $\\Tcal$-cocircuits that don't include any 23-rays.\n\n\\begin{figure}\n\\begin{center}\n \\includegraphics[width=8cm]{.\/example_circuit.pdf}\n\\end{center} \n\\caption{A circuit $\\underline{(S_o, \\hat o)}$ in $\\Ccal$. Only the subtree $S_o$ is shown. All non-virtual elements are used at vertices marked with a square, but only $a_1(v)$ is used at vertices $v$ marked with a circle. }\\label{fig:example_circuit}\n\\end{figure}\n\nIt is clear that $\\Dcal$ is the set of all $\\Phi^*$-cocircuits for a suitable $\\Phi$, and that $\\Ccal$ is almost the set of $\\Phi$-circuits, but with an extra condition saying that the supporting tree $S_o$ should not include a subdivision of $T_2$. Without this extra condition, (O1) would clearly not be satisfied (we could take $S_o = S_b = T_2$, $\\hat o(t) \\cap A(t) = \\{a_1(t)\\}$ everywhere and $\\hat b(t) \\cap A(t) = \\{a_2(t)\\}$ everywhere except at one vertex $t_0$, where $\\hat b(t_0) \\cap A(t_0) = \\{a_1(t_0)\\}$). But \\autoref{recon:arbi} implies that if we do impose this extra condition, not all of the orthogonality axioms can be satisfied. In fact, we will show that (O3$^*$) fails, but that all the others hold.\n\nTo see that (O3$^*$) fails, let $S_b$ be a subtree of $T_2$ which is isomorphic to that obtained from $T_2$ by subdividing each edge once, let $V_2$ be the set of vertices of $S_b$ of degree 2 and $V_3$ the set of vertices of $S_b$ of degree $3$, and let $\\hat b$ be the function sending a vertex $v$ of $V_2$ to $\\{e(vv') | vv' \\in E(S_b)\\} \\cup \\{a_2(v), a_3(v)\\}$ and sending a vertex $v$ of $V_3$ to $\\{e(vv')| vv' \\in E(S_b)\\} \\cup \\{a_2(v)\\}$. Let $b = \\underline{(S_b, \\hat b)}$, and let $X = \\bigcup_{v \\in V_3}\\{a_2(v), a_3(v)\\}$.\n\nLet $e$ be any element of $b$. Then any $b' \\in \\Dcal$ with $e \\in b' \\subseteq b \\cup X$ must be the underlying set of some $(S_{b'}, \\hat b')$ where $S_{b'}$ is a subtree of $S_b$ in which every vertex has degree at least $2$, and which must be a subdivision of $T_2$ (see \\autoref{fig:subtree}) since otherwise $b'$ would include a 23-ray. It is clear that we cannot choose such a $b'$ with $b' \\setminus X = \\bigcup_{v \\in V(S_{b'}) \\setminus V_3}\\{a_2(v), a_3(v)\\}$ minimal.\n\n\\begin{figure}\n\\begin{center}\n \\includegraphics[width=8cm]{.\/subtree.pdf}\n\\end{center} \n\\caption{A subdivision of $T_2$}\\label{fig:subtree}\n\\end{figure}\n\nThe axioms (C1), (C2), (C1$^*$) and (C2$^*$) are clear because the tree $\\Tcal$ is nice. We now check the remaining axioms.\n\\begin{itemize}\n        \\item[(O1)] Suppose for a contradiction that there are $o \\in \\Ccal$ and $b \\in \\Dcal$ with $o \\cap b = \\{e\\}$ for some element $e$. Let $o = \\underline{(S_o, \\hat o)}$ and $b = \\underline{(S_b, \\hat b)}$. Let $S = S_o \\cap S_b$ and let $t_0$ be the vertex of $S$ with $e \\in E(t_0)$.\n\nFor any vertex $t$ of $S$ other than $t_0$, since $\\hat o(t) \\cap \\hat b(t)$ cannot have just one element, $t$ cannot have degree 1 in $S$. So for any edge $tt'$ of $S$ for which $t_0 \\not \\in S_{t \\to t'}$, the tree $S_{t \\to t'}$ includes some ray $R$. By the definition of $o$ we may assume without loss of generality (by taking a tail of $R$ if necessary) that for any vertex $v$ of $R$ we have $\\hat o(v) = \\{e(vv') | vv' \\in E(T_2)\\} \\cup \\{a_1(v)\\}$, which implies that $a_1(v) \\not \\in \\hat b(v)$. Since the 23-ray $\\{a_2(v), a_3(v)\\}| v \\in R\\}$ is not a subset of $B$, there is some $v \\in R$ at which $\\hat b(v)$ contains only one non-virtual element, and so contains all three virtual elements. So the degree of $v$ in $S$ must be 3.\n\nIn summary, we have shown that for any edge $tt'$ of $S$ with $t_0 \\not \\in S_{t \\to t'}$ there is a vertex in $S_{t \\to t'}$ of degree 3. It follows that $S$ includes a subdivision of $T_2$, contradicting the assumption that $o \\in \\Ccal$.\n       \\item[(O2)] Suppose we have some partition $E=P\\dot\\cup Q \\dot\\cup \\{e\\}$ such that there is no $o \\in \\Ccal$ with $e \\in o \\subseteq P + e$. We must construct some $b \\in \\Dcal$ with $e \\in b \\subseteq Q + e$. Once more, let $t_0$ be the vertex of $T_2$ with $e \\in E(t_0)$.\n\nFor any edge $tt'$ of $T_2$, let $\\Ccal_{t \\to t'}$ be the set of $\\Tcal_{t \\to t'}$-circuits containing $e(tt')$ and satisfying the same conditions as for circuits in $\\Ccal$. We say that the edge $tt'$, directed away from $t_0$, is {\\em $P$-spanned} if there is $o \\in \\Ccal_{t \\to t'}$ with $o \\subseteq P + e(tt')$. Let $S_b$ be the subtree of $T_2$ on the vertices which can be joined to $t_0$ by a path none of the edges of which are $P$-spanned. By our assumption, $$|(P + e) \\cap A(t_0)\\}| + |\\{e(t_0t)| t_0t \\in E(T_2) \\setminus E(S_b)\\}| < 4$$ and so $$|(Q + e) \\cap A(t_0)| + |\\{e(t_0t) | t_0t \\in E(S_b)\\}| \\geq 4$$ and so we can pick a cocircuit $\\hat b(t_0)$ of $M(t_0)$ with $\\{e(t_0t) | t_0t \\in E(S_b)\\} + e \\subseteq \\hat b(t_0) \\subseteq Q \\cup \\{e(t_0t) | t_0t \\in E(S_b)\\} + e$.\n\nSimilarly, for any other vertex $t$ of $S_b$, let $t'$ be the unique neighbour of $t$ in $S_b$ with $t't$ directed away from $t_0$, and let $N^+(t)$ be the set of other neighbours of $t$ in $T_2$. Since $t't$ is not $P$-spanned, we have $$|P \\cap A(t)| + |\\{t'' \\in N^+(t) | tt'' \\not \\in E(S_b)\\}| < 3$$ and so $$|Q \\cap A(t)| + |\\{ t'' \\in N^+(t) | tt'' \\in E(S_b)\\}| \\geq 3$$\nand so we can choose some cocircuit $\\hat b(t)$ of $M(t)$ with $\\{e(t't)\\} \\cup \\{e(tt'')| t'' \\in N^+(t) \\wedge tt'' \\in E(S_b)\\} \\subseteq \\hat b(t) \\subseteq \\{e(t't)\\} \\cup \\{e(tt'')| t'' \\in N^+(t) \\wedge tt'' \\in E(S_b)\\} \\cup Q$. If possible, we also choose $\\hat b(t)$ to not include $\\{a_2(t), a_3(t)\\}$. Now we take $b = \\underline{(S_b, \\hat b)}$. It is clear that $b$ is a $\\Tcal$-cocircuit with $e \\in b \\subseteq Q + e$. In order to show that $b \\in \\Dcal$, which would complete the proof, it remains only to show that $b$ includes no 23-ray.\n\nSo suppose for a contradiction that $b$ includes some 23-ray $\\{a_2(v), a_3(v)\\}| v \\in R\\}$. We may suppose without loss of generality that $t_0$ is not a vertex of $R$. Let the vertices of $R$ in order be $(v_n | n \\in \\Nbb\\}$, and for each $n>1$ let $w_n$ be the neighbour of $v_n$ in $T_2$ other than $v_{n-1}$ and $v_{n+1}$. For each $n > 1$ we must have $\\hat b(v_n) = \\{a_2(v_n), a_3(v_n), e(v_{n-1}v_n), e(v_nv_n+1)\\}$, so that $v_nw_n$ is $P$-spanned: let $o_n \\in \\Ccal_{v_n \\to w_n}$ witness this. Since we were forced to take $\\{a_2(v_n), a_3(v_n)\\} \\subseteq \\hat b(v_n)$ we must have $a_1(v_n) \\in P$. But then $\\{a_1(v_n) | n > 1\\} \\cup \\bigcup_{n > 1} (o_n - e(v_nw_n)) \\in \\Ccal_{v_1 \\to v_2}$ witnesses that $v_1v_2$ is $P$-spanned, which is the desired contradiction.. \n\\item[(O3)]Suppose for a contradiction that there are $o\\in \\Ccal$, $e\\in o$ and $X\\subseteq E$ such that there is no $o_{min}\\in \\Ccal$ with $e\\in o_{min} \\subseteq X \\cup o$ such that $o_{min}\\setminus X$ is minimal. Let $o = \\underline{(S_o, \\hat o)}$ and let $t_0$ be the vertex of $S_o$ with $e \\in E(t_0)$. For any edge $tt'$ of $T_2$ directed away from $t_0$, let $X_{t \\to t'} = X \\cap \\bigcup_{t \\in (T_2)_{t \\to t'}}E(t)$ and let $o_{t \\to t'} = (o \\cap \\bigcup_{t \\in (T_2)_{t \\to t'}}E(t)) + e(tt')$. We say that $tt'$ is {\\em spanned} if there is some $o' \\in \\Ccal_{t \\to t'}$ with $o' \\subseteq X_{t \\to t'} \\cup o_{t \\to t'}$, and we say it is spanned {\\em awkwardly} if there is no $o_{min}$ with these properties such that $o_{min} \\setminus X_{t \\to t'}$ is minimal. Since if $tt'$ is not an edge of $s_o$ then $o_{t \\to t'} = \\{e(tt')\\}$, only edges of $S_o$ can be awkwardly spanned. Let $S$ be the subtree of $S_o$ on the vertices which can be joined to $t_0$ by a path all of the edges of which are \nawkwardly spanned.\n\nIf $S$ consists of only the vertex $t_0$, then let $X_0$ be the union of $X \\cap A(t_0)$ with the set of virtual elements $e(t_0t)$ such that $t_0t$ is spanned, and for each such edge $t_0t$ let $o_{min}(t)$ witness the fact that $t_0t$ is not awkwardly spanned. Let $\\hat o_{min}(t_0)$ be a circuit of $M(t_0)$ with $e \\in \\hat o_{min}(t_0) \\subseteq \\hat o(t_0) \\cup X_0$, chosen so as to minimise $\\hat o_{min}(t_0) \\setminus X_0$ (this is possible by (O3) applied to $M(t_0)$). Then $\\hat o_{min}(t_0) \\triangle (\\bigtriangleup_{t: e(t_0t) \\in \\hat o_{min}(t_0)} o_{min}(t))$ fulfils the conditions on $o_{min}$ in the statement of (O3), contradicting our assumption that $o$, $e$ and $X$ provide a counterexample to (O3).\n\nSo $S$ consists of more than just $t_0$. Since $S$ is a subtree of $S_o$ and $o \\in \\Ccal$, $S$ cannot include a subdivision of $T_2$. So there must be some edge $tt'$ of $S$, directed away from $t_0$, such that $S_{tt'}$ has no vertex of degree 3. We consider first the case that $S_{tt'}$ is finite. In this case, by changing our selection to a leaf of $S_{tt'}$ if necessary, we can assume without loss of generality that $S_{tt'}$ contains only the vertex $t'$. Now let $X_0$ be the union of $X \\cap A(t_0)$ with the set of virtual elements $e(t't'')$ with $t'' \\neq t$ such that $t't''$ is spanned, and for each such edge $t't''$ let $o_{min}(t'')$ witness the fact that $t't''$ is not awkwardly spanned. Let $\\hat o_{min}(t')$ be a circuit of $M(t')$ with $e(tt') \\in \\hat o_{min}(t') \\subseteq \\hat o(t') \\cup X_{t'}$, chosen so as to minimise $\\hat o_{min}(t') \\setminus X_{t'}$ (this is possible by (O3) applied to $M(t')$). Then $\\hat o_{min}(t') \\triangle (\\bigtriangleup_{t'' \\neq t: e(t't'') \\in \\hat o_{min}(t')} o_\n{min}(t''))$ witnesses that $tt'$ is not awkwardly spanned, contradicting our assumption that $t' \\in S$.\n\nLet $tt'$ be some edge of $S$, directed away from $t_0$. Then since $tt'$ is awkwardly spanned, there must be some neighbour $t''$ of $t'$ other than $t$ for which $t't''$ is awkwardly spanned. Applying this fact recursively, there must be a ray $(v_i | i \\in \\Nbb)$ of vertices of $S_{t \\to t'}$ with $v_1 = t'$. For each $n > 1$, let $w_n$ be the neighbour of $v_n$ in $T_2$ other than $v_{n-1}$ and $v_{n+1}$. Then since $v_1v_2$ is awkwardly spanned, we can show that for some $n>1$, $v_nw_n$ is awkwardly spanned. Suppose not for a contradiction. Let $K = \\{n > 1 | v_n w_n \\mbox{ is spanned}\\}$ and $L = \\{n > 1 | v_n w_n \\mbox{ is not spanned}\\}$. For each $n \\in K$, let $o^n_{min}$ witness the non-awkwardness of $v_nw_n$ and let $\\hat o_{min}(n)$ be a circuit in $M(v_n)$ with $e(v_{n-1}v_n) \\in \\hat o_{min}(n) \\subseteq X \\cup o \\cup \\{e(v_{n-1}v_n), e(v_nv_{n+1}), e(v_nw_n)\\}$. For each $n \\in L$, let $\\hat o_{min}(n)$ be a circuit in $M(v_n)$ with \n$e(v_{n-1}v_n) \\in \\hat o_{min}(n) \\subseteq X \\cup o \\cup \\{e(v_{n-1}v_n), e(v_nv_{n+1})\\}$. If there is some $n > 1$ with $e(v_nv_{n+1}) \\not \\in \\hat o_{min}(v_n)$ then, for $n$ minimal with this property, we get that $(\\bigtriangleup_{1 < m \\leq n}\\hat o_{min}(m)) \\triangle \\bigcup_{1< m \\leq n, w_m \\in \\hat o_{min}(m)} o_{min}^m$ witnesses non-awkwardness of $v_1v_2$. Otherwise, we get that the set given by $(\\bigtriangleup_{1 < m}\\hat o_{min}(m)) \\triangle \\bigcup_{1< m, w_m \\in \\hat o_{min}(m)} o_{min}^m$ witnesses non-awkwardness of $v_1v_2$. In neither case can $v_1v_2$ be spanned awkwardly, which is the desired contradiction. Hence there is some $n$ for which $v_nw_n$ is spanned awkwardly.\n\nWe have shown that for any edge $tt'$ of $S$ directed away from $t_0$ there is some vertex of $S_{t \\to t'}$ of degree 3. Since by assumption $S$ contains at least one other vertex than $t_0$, $S$ includes a subdivision of $T_2$, contradicting the assumption that $o \\in \\Ccal$.\n\\end{itemize}\n\n\n\\end{comment}\n\n\\section{Example showing that all our information at the ends is necessary}\\label{example_binary_tree}\n\n\nLet $T_2$ be the infinite binary tree. \nWhile the vertices of $T_2$ are the finite 0-1-sequences, the ends of $T_2$ are the infinite ones and $\\omega\\restric_{n}$ consists of the first n digits of $\\omega$. \n\nWe obtain $W$ from $T_2$ by replacing each vertex by two non-adjacent vertices and joining two new vertices by an edge if the vertices they come from are adjacent. \nThen we join the two vertices replacing the root, see \\autoref{fig:W}.\nFormally $V(G)=T_2\\times \\{1,2\\}$, where $(v,x)$ and $(w,y)$ are adjacent if $v$ and $w$ are or $v=w=\\text{root}$.\n\\begin{figure}[htb]\n\\begin{center}\n \\includegraphics[width=8cm]{.\/treeofK4.pdf}\n\\end{center} \n\\caption{The graph $W$.} \\label{fig:W}\n\\end{figure}\n\n\n\n\nThe canonical tree-decomposition of $W$ into 3-connected minors is the following:\n\\begin{itemize}\n\\item The decomposition-tree is $\\dot T_2$, the binary tree with each edge subdivided;\n\\item The torsos of the subdivided edges are $K_4$s, where the virtual elements are non-adjacent;\n\\item The torsos of the other vertices consist of 3 elements in parallel, which are all virtual elements.\n\\end{itemize}\n\nThe \\emph{bottom} virtual element of a torso of this tree-decomposition is the one whose corresponding element of $\\dot T_2$ is nearer to the root of $\\dot T_2$ (the root of $\\dot T_2$ is the vertex that is also the root of $T_2$). \nLet $\\Tcal$ be the tree of matroids with underlying tree  $\\dot T_2$, which has $M(K_4)$s at all subdivision vertices and $U_{1,3}$ at all other vertices. Once more the virtual elements of the $M(K_4)$s are not in a common triad. \n\nBy \\autoref{recon:arbi}, every matroid that has $\\Tcal$ as its canonical tree of matroids is a $\\Phi$-matroid.\nNext, we shall derive a more explicit description of the $\\Phi$-classes at each end.\nThere are natural bijections between the ends of $\\dot T_2$, $T_2$ and $W$, and we shall suppress them in our notation.\n\nBy $\\Fcal$ we denote the set of circuits of $M_{TC}(W)$: these are the edge sets of finite cycles of $W$, double rays of $W$ with both tails converging to the same end, and pairs of vertex-disjoint double rays which both go to the same ends.\n\nLet $o\\in \\Fcal$ converge to the end $\\omega$. Then $o$ \\emph{induces} a $\\{+,-\\}$-sequence of infinite length towards $\\omega$ as follows:\nthe $n$-th digit is + if both $(\\omega\\restric_{n},1) (\\omega\\restric_{n+1},1)$ and $(\\omega\\restric_{n},2) (\\omega\\restric_{n+1},2)$ are elements of $o$, otherwise it is -. Note that it is eventually true that if the $n$-th digit is -, then \n$(\\omega\\restric_{n},1) (\\omega\\restric_{n+1},2)$ and $(\\omega\\restric_{n},2) (\\omega\\restric_{n+1},1)$ are elements of $o$. \n\nIt is not difficult to check that two circuits are in the same $\\Phi$-class at $\\omega$ if and only if their induced $\\{+,-\\}$-sequences agree. \nThus every $\\Phi$-matroid of $\\Tcal$ is uniquely determined by a choice  for each end of $T_2$ of a subset of $\\{+,-\\}^{\\Nbb}$ that is closed under finite changes.\nFor any such choice $\\tau$, an element $o$ of $\\Fcal$ is $\\tau$-legal if $o$ induces only $\\{+,-\\}$-sequences in $\\tau$ at all ends to which $o$ converges. \n\nIn this section we prove that for any such choice $\\tau$ we do get a matroid.\n\n\\begin{thm}\\label{many_matroids}\nLet $\\tau$ be a choice  for each end of $T_2$ of a subset of $\\{+,-\\}^{\\Nbb}$ that is closed under finite changes.\nThen the set $\\Ccal$ of  $\\tau$-legal elements of $\\Fcal$ is the set of circuits of a matroid. \n\\end{thm}\n\nFirst we need some preparation.\nThe edge set of $K_4$ admits a unique 3-partition $E(K_4)=X_1\\dot \\cup X_2\\dot \\cup X_3$ into three pairs of non-adjacent edges. \nWe shall need the following property of $K_4$:\n\n\\begin{rem}\\label{parallel_edges}\nLet $Y_1\\dot \\cup Y_2$ be a partition of $X_1\\dot \\cup X_2$, and let $e\\in X_3$. Then $Y_1$ spans $e$, or $Y_2$ cospans $e$ or \n$\\{X_1,X_2\\}=\\{Y_1,Y_2\\}$.\n\\qed  \n\\end{rem}\n\n\n\\begin{proof}[Proof of \\autoref{many_matroids}.]\nLet $\\Dcal$ be the set of those bonds $b$ of $W$ that have infinite intersection with every $\\tau$-legal element\nof $\\Ccal$ converging to some end to which $b$ converges.\nWe shall apply \\autoref{hybrid} in order to show that $\\Ccal$ is the set of circuits of a matroid. Thus it remains to show that $\\Ccal$ and $\\Dcal$ satisfy (O2) and (CM). \nIndeed, (O1) is clear since if a topological cycle and a bond of a locally finite graph intersect just in a single edge, then there is an end to which they both converge, see for example \\cite[Lemma 2.6]{BC:ubiquity}.\\footnote{In this section all topological cycles will have that shape. However in general graphs topological cycles may be more complicated, see \\cite{RD:HB:graphmatroids} for a definition of the topological-cycle matroid of a locally finite graph.} \n\nFirst we check (O2) for some partition $E=P\\dot \\cup Q\\dot\\cup \\{e\\}$, where $e$ is the edge joining the two vertices replacing the root of $T_2$. We may assume that there is no finite $o\\in \\Ccal$ with $e\\in o\\subseteq P+e$ and that there is no finite \n$b\\in \\Dcal$ with $e\\in b\\subseteq Q+e$. \n\nWe say that a subdivided edge of $\\dot T_2$ is \\emph{blocking} if \n the bottom virtual element of its torso is cospanned by the elements of that torso that are in $Q$.\nIn order to study the torsos that are isomorphic to $K_4$, we shall use the 3-partition of $E(K_4)$ discussed above, where we follow the convention that $X_3$ consists of the virtual elements. \nWe say that a subdivided edge $u$ of $\\dot T_2$ is \\emph{undecided} if \n $\\{P\\cap E(u),Q\\cap E(u)\\}=\\{X_1,X_2\\}$. \n\n\nLet $U$ be the set of all subdivided edges of $\\dot T_2$ that are not separated by a blocking vertex from the root. \nAny $t\\in U$ is undecided. To see this just consider the first subdivided edge above the root and below $t$ that is not undecided and apply \\autoref{parallel_edges}. \n\nLet $\\bar U$ be the set of those blocking vertices that only have vertices in $U$ below them.\nFor each $r\\in \\bar U$ we pick a bond $b_r$ witnessing that $Q\\cap E(r)$ cospans the bottom element of the torso at $r$. \n\nLet $b'$ be the set of all edges of $Q$ that are in torsos for nodes in $U$ together with the non-virtual elements of all the bonds $b_r$ with $r\\in \\bar U$.\nBy construction $b=b'+e$ is a bond of $W$ containing $e$.\nWe may assume that some $\\tau$-legal element $o$\nof $\\Ccal$ has finite intersection with $b$ and converges to some end $\\omega$ to which $b$ converges.\nRelying on the particular description of $\\Fcal$, we can change $o$ so that we may assume without loss of generality that $o$ is a double ray and has only the end $\\omega$ in its closure\\footnote{We say that an end $\\omega$ of a graph $G$ is in the \\emph{closure of} an edge set $F$ if $F$ cannot be separated from $\\omega$ by removing finitely many vertices from $G$.}. \nWe get $o'$ from $o$ by changing $o$ to $E(u)\\cap P$ at the finitely many torsos $u$ at which $o$ intersects $b$.  \nSince all these torsos are undecided, $o'$ is a double ray and it is $\\tau$-legal as $\\tau$ is closed under finite changes. \nThus $o'$ witnesses (O2) in this case.\n\nHaving proved (O2) in the case where $e$ is the edge joining the two vertices replacing the root of $T_2$, it remains to consider the case where is $e$ is an edge of some torso $u$. Let $S$ and $S'$ be the two components of $\\dot T_2$ $- u$. The above argument yields (O2) at the virtual element of $\\Tcal$ restricted to $S$. \nThis and the corresponding fact for $S'$ imply (O2) in this case. We leave the details to the reader. \n\nHaving proved (O2), it remains to prove (CM). For that let $I\\subseteq X\\subseteq E(W)$ be given. \nLet $Z$ be the set of those subdivided edges $z$ of $\\dot T_2$ such that $X$ contains no non-virtual element of $E(z)$.\nLet $u$ be a subdivided edge of $\\dot T_2$ not in $Z$.\nThen we may assume that $I$ contains at least one edge in $E(u)$ since the set of the 4 non-virtual elements of $E(u)$ meets no element of $\\Fcal$ just once. \nLet $L$ consist of one edge of $I$ for each such torso.\n\nLet $W'=W- X$. Let $D$ be a connected component of $W'$. We abbreviate $I'=I\\cap E(D)$, $L'=L\\cap E(D)$ and $X'=X\\cap X'$, and our intermediate aim is to construct a set witnessing (CM) for $I'$ and $X'$. \n\nLet $W''=D'\/J'$.\nLet $K$ be the torso-matroid obtained from $M(K_3)$\nby adding the two virtual elements in parallel to two distinct elements. Note that $W''$ has a tree-decomposition along a subgraph of $\\dot T_2$\nsuch that all torsos at subdivided edges are $K$, the other torsos are  $U_{0,1}$ at leaves and else $U_{1,3}$.\nBy doing Whitney-flips\\footnote{The \\emph{Whitney-flip} of a graph $G$ which is a 2-sum of two graphs $H_1$ and $H_2$ is the other graph that is also a 2-sum of these graph buts with the endvertices of the gluing element identified the other way round.} at virtual elements if necessary, we may assume that each vertex of $W''$ has finite degree. \nLet $\\Ccal''$ consist of those topological circuits $o$ of $W''$ such that there is a subset $j$ of $J'$ such that $o\\cup j\\in \\Ccal$. \n\nNote that if two elements of $\\Ccal''$ have the same end in their closure, then their rays to that end eventually agree. \nIt is easy to check for a topological circuit $o$ of $W''$ that if all its ends are also in the closure of (possibly two different) elements of $\\Ccal''$, then\n$o$ is in $\\Ccal''$.\nLet $\\Psi$ be the set of ends in the closure of elements of  $\\Ccal''$. By the above argument,  $\\Ccal''$ is the set of $\\Psi$-circuits. \nBy \\cite[Lemma 6.11]{BC:psi_matroids}, $\\Ccal''$ is the set of circuits of a matroid (Actually the matroid here is a contraction-minor of the matroid in that theorem).\nSo let $J'$ witness (CM) for $I'\\setminus L'$ and $X'\\setminus L'$. \nThen $J'\\cup L'$ witnesses (CM) for $I'$ and $X'$.\nFurthermore it is easy to see that the union of all these witnesses for the different components $D$ of $W'$ witnesses (CM) for $I$ and $X$.\n\n\\end{proof}\n\n\n\n\n\\bibliographystyle{plain}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\n\n\n\nM13 was one of the first globular clusters identified as having unusually blue\nhorizontal branch (HB) stars, and it remains one of the prototypes of the\n``long blue tail'' with stars approaching the main sequence for helium stars.\nAs \\citet{smith} notes, differences\nbetween stars on both giant branches and stars on the horizontal branch can be\ndiscerned from data in papers as early as \\citet{barn09,barn14}. Along with\nthe nearby, massive, and little reddened cluster M3, M13 forms half of the\nbest known ``second parameter'' pair. The chemical composition of the hydrogen\nenvelopes of HB stars affects their observable properties via opacity and mean\nmolecular weight. The ``first parameter'' is heavy element content, where\nhigher metallicity produces higher envelope opacity and generally redder\nstars. Because M3 and M13 have nearly the same iron abundances\n($\\langle$[Fe\/H]$\\rangle = -1.53$ for M13 versus $\\langle$[Fe\/H]$\\rangle =\n-1.45$ for M3; \\citealt{sned}) but M3 has a much redder HB including a huge\nnumber of RR Lyrae variable stars, a second parameter is needed. In addition\nto the color shift between the HBs of M3 and M13, the HB stars in M13 show a\nbimodal distribution that is not present in M3. On its own, this fact implies\nthat the HB stars were produced by at least two different populations of\ncluster stars or involve different methods of producing HB stars.  M3 and M13\nshare a number of similarities beyond iron abundance, and we tabulate some of\ntheir characteristics in Table \\ref{m13m3}.\n\nMany theories have been proposed to explain the HB differences, and two of the\nmain goals of this paper are to 1) assemble a large and complete set of\nphotometric data for M13, and 2) use the photometric data to examine questions\nbearing on the production of M13's horizontal branch stars. Because of the\ncomplexity of the HB, it is very doubtful that one explanation can cover all\nof its aspects. Before we describe our results, we briefly\nsummarize the main hypotheses we will examining, and the primary reasons they\nare viable. We emphasize that they are not mutually exclusive.\n\n\\underline{The $\\Delta t$ Hypothesis.} Early models showed that as the\nmass of the hydrogen-rich envelope of an HB star is decreased, the\nsurface temperature increases with relatively little change in\nluminosity. In this hypothesis, age differences between populations of\nstars lead to differences in mass between stars leaving the main\nsequence and between stars reaching the HB. While it is natural to\nexpect that clusters in the Milky Way were born at different times,\nage differences are hard to prove except for clusters that are much\nyounger than the average. \\citet{rey} compared M13 with M3 and found\nthat turnoff-to-giant branch color differences and changes in HB\nmorphology were consistent with an age difference $\\Delta t = 1.7 \\pm\n0.7$ Gyr (with M13 older). \\citet{catrev} finds that the age\ndifferences implied by differences in the cluster CMDs near the\nturnoff can explain the HB morphology as long as M3 is younger than\nabout 12 Gyr and the EHB stars in M13 are presumed to arise from a\nprocess that is unrelated to the age. However, there are aspects of M13's\npopulation that cannot be explained in this hypothesis. For example, \nneither of the studies above could reproduce the bluest HB stars in M13 \nin synthetic HB simulations using the same chemical\ncomposition and dispersion in stellar mass used for M3. \n\n\\underline{The $\\Delta Y$ Hypothesis.}  Variations in helium content\n($Y$) result in differences in position on the HB, largely because\ngreater helium abundance allows lower mass stars to leave the main\nsequence at the present day \\citep{dant08b}. \\citet{jb} proposed that\na helium abundance difference $\\Delta Y \\sim 0.05$ (with M13 the more\nhelium rich) could be responsible for many of the unusual features of\nthe color-magnitude diagram (CMD), including an interesting difference\nin the slopes of the subgiant branch. \\citet{cda} also examined data\nfor M3 and M13, finding the luminosity of the red giant bump and RR\nLyrae stars relative to the cluster turnoff are consistent with an\nenhancement $\\Delta Y \\sim 0.04$. This picture has been taken very\nseriously with the discovery of multiple stellar populations in\nsome clusters. For example, NGC 2808 was\nfound to have at least three identifiable main sequences\n\\citep{pio07}, while $\\omega$ Cen has a blue main sequence\n\\citep{bed04} that appears to be helium enriched \\citep{pio05}.\n$\\omega$ Cen and NGC 2808 are among the most massive clusters known in\nthe Milky Way, which may enable them to retain gas that has been\nprocessed and released by a first generation of stars.\n\nWhile the helium abundance is very difficult to measure except in limited\ncircumstances, spectroscopic observations of other heavy element species lead\nto the belief that helium was probably enriched in some clusters.  Stars in\nM13 are well-known to have star-to-star abundance differences in O and Na that\ncan be traced from the giant branch \\citep{sbcn,yong,jkp,sbh,sned} to the main\nsequence turnoff \\citep{cm,briley}. O depletion and Na enrichment can\nonly be accomplished in hydrogen-fusion regions where significant production\nof helium is accomplished \\citep{dandd,lang}, and star-to-star variations on the main\nsequence require that they must have been present in the gas forming the\nstars.\n\nThe $\\Delta Y$ hypothesis is attractive for M13 because it may explain the\nblueward shift of the main body of HB stars compared to M3's population, and\nthe bimodality of the HB (as an additional population within\nthe cluster).  \\citet{dant08b} conducted a fit to M13's HB using\nhelium-enriched models, and found that a fit required 70\\% of the population\nto be enriched to $0.27 < Y < 0.35$ (a mean $\\Delta Y \\approx 0.04$), and the\nremaining 30\\% to be enriched to $Y \\sim 0.38$.  There are some difficulties\nwith this picture though. In the \\citeauthor{dant08b} models of M13, they\nstill needed to assume a rather large (but constant) total mass loss on the\nRGB ($0.18 M_\\sun$).  Because M13 has few HB stars in the instability strip or\nredward (where M3's HB is heavily populated), {\\it virtually all} of M13's HB\nstars must also be more helium rich than M3's.  This is in striking contrast\nto more massive clusters that show strongly bimodal HB star distributions in\nwhich the redder HB population is interpreted as a first generation of stars\nformed from primordial material, while subsequent generations have varying\ndegrees of enrichment and are bluer. The massive clusters that are inferred to\nhave such large spreads in $Y$ generally also have multiple main\nsequence or subgiant branch populations, whereas M13 has shown no sign of\nmultiple populations to date.  There is also not a clear bimodality in the\nspectroscopic abundances and a definite connection has never been made between\nthe abundances and HB morphology \\citep[although see][for indications that the\nmaximum $T_{\\rm eff}$ extent of the HB is correlated with the extent of observed\nNa-O anticorrelations]{carrb}. \\citet{rey} attribute some of \\citeauthor{jb}'s\nconclusions to slight missteps in the implementation of their relative age\ncomparison.\n\n\\underline{The $\\dot{M}$ Hypothesis.} From early models, it was recognized\nthat a significant amount of mass loss is needed, probably on the red giant\nbranch (RGB), to produce the colors of the majority HB populations in\nmost clusters. Dispersion in colors was then taken to mean\nthat there are star-to-star differences in mass loss, although a mechanism\nto produce these differences has not been identified.\n\nIndependent of the majority of HB stars, there is a population that seems to\n{\\it require} strong mass loss: the ``blue hook'' stars\n\\citep{cast93,dcruzbhk,cast06,millb}. In ultraviolet color-magnitude diagrams\nof some of the most massive clusters \\citep{dcruzomega,brown}, stars are found\nfainter and redder than the zero-age HB (ZAHB) at its blue end, meaning that\nthey must have almost no hydrogen envelope. If a star loses virtually all of\nits hydrogen envelope before reaching the tip of the RGB, it can leave the RGB\nwithout igniting core helium fusion. As the star contracts onto the He white\ndwarf cooling curve, a late He flash can be ignited that drives a convection\nzone that reaches hydrogen rich layers \\citep{brown}.\n\n\n\\underline{The Evolution Hypothesis.} As relatively cool HB stars convert He\ninto carbon and oxygen, they are expected to eventually evolve brightward and\nredward toward the asymptotic giant branch (AGB). Depending on the\ndistribution of stars on the HB, evolving HB stars could be mistaken for\nfainter, more slowly evolving HB stars, thereby misrepresenting the brightness\nof the HB. Clusters with large blue HB populations (like M13) are most\nsusceptible to this effect because evolutionary tracks may nearly parallel the\nZAHB at the blue end of the HB distribution where the relative number of\nunevolved stars drops rapidly. Because the HB is a frequently used standard\ncandle in astronomy, it is worth studying the degree to which this affects\nstellar populations.\n\nEvolutionary effects have been inferred from the pulsation properties of RR\nLyrae stars. For example, \\citet{jurc} used magnitudes and periods to identify\nRR Lyraes in different stages of their HB evolution.  \\citet{caccm3}\nidentified mean lines in the period-amplitude diagram for different subsets of\nM3 variables, and labeled them as regular or ``well-evolved''. They showed\nthat in at least some other clusters, the majority of variables could be\nidentified with one group or the other.\n\n\n\nFor the purposes of this paper we focused on post\nmain-sequence evolution. Using datasets from telescopes and\ninstruments having a wide range in spatial resolution and field size, \nwe attempted to completely survey the evolved stars from the\ncenter far into the outskirts of the cluster. We discuss the\nobservational material and the analysis of the photometry in \\S 2. In\n\\S 3, we describe the steps used to identify the evolutionary status\nof the evolved cluster stars. We examine the red giant branch and\nhorizontal branch populations in greater detail in \\S 4 and \\S 5,\nrespectively. In \\S \\ref{ratios} we look at population ratios and their\nrelationship to the evolution timescales for stars in different\nstages. Finally in \\S \\ref{disc} we discuss the body of evidence\ninvolving second parameter effects (cluster to cluster variations) and\nintracluster differences between stars.\n\n\\section{Datasets}\n\n\\subsection{Archival Hubble Space Telescope Imaging}\n\nWe used WFPC2 images taken in three different studies and ACS images from one\nadditional study for photometric measurements.  The principal investigators\nand filters used are listed in Table \\ref{tbl-1}.  The images from proposal\n8174 were composed of three partially overlapping fields that were reduced\nseparately and later combined.\n\nAll of the WFPC2 images were processed using the HSTPhot\\footnote{\\tt\n  http:\/\/purcell.as.arizona.edu\/hstphot\/} package (version 1.1.7b),\nwhich was described by \\citet{hstphot}.  Star positions for each set\nof processed data were derived using the IRAF task METRIC, which we\nused to convert the HSTPhot pixel coordinates to RA and DEC. METRIC\npositions often have absolute errors of up to 0\\farcs5, but absolute\nerrors are not important for our purposes.  The RA and DEC coordinates\nwere converted to a system relative to the cluster center\n(Fig. \\ref{fig1}).  The data for each star, including coordinates,\nflight system magnitudes, and errors, were extracted from each dataset\nand merged into one master file.  In cases where a star had multiple\nmeasurements in the same filter, the values were averaged using\nweights derived from the measurement errors.  This master dataset was\nused to construct CMDs that we used to identify post-MS stars.  \nThe F160BW images were reduced separately because the\nfilter distorts star positions relative to the rest of the images,\ncomplicating the matching of stars within HSTPhot.  After completing\nthe photometry, we were then able to match all of the stars with\npreviously identified HB and AGB stars.\n\nThe ACS Wide Field Camera (WFC) images were processed using the\nDOLPHOT\\footnote{\\tt http:\/\/purcell.as.arizona.edu\/dolphot\/} package\nwith its module for ACS data. DOLPHOT tasks mask bad pixels, correct\nfor effective pixel area, and do point-spread function photometry.\nIndividual frames (prior to drizzling in the ACS pipeline) were\nobtained from the HST Archive in order to get photometry on stars\ncovering the widest possible dynamical range (including stars that\nwere saturated on long exposures) and to avoid the pixel resampling\nthat goes along with the drizzling process.\n\nBecause the WFC sits far from the optical axis of {\\it HST}, there is\nsignificant geometric distortion of these images. For the purposes of\nthe photometry, the differences in effective pixel area were corrected\nwithin DOLPHOT through the use of a pixel area map provided on the ACS\nwebsite\\footnote{\\tt\n  http:\/\/www.stsci.edu\/hst\/acs\/analysis\/PAMS}. DOLPHOT, however, does\nnot currently correct pixel positions to sky coordinates. For the\npurposes of {\\it relative} astrometry, we used the fourth-order\npolynomial corrections provided in the most recent IDCTAB file for the\ndataset (qbu1641sj\\_idc.fits).  These corrections reduce distortions\nto about 0.1 pixels, which is more than adequate for our purposes. The\nstar positions were later put on a common coordinate system with\nphotometry from WFPC2 images as described below.\n\n\\subsection{Archival CFHT Images}\n\nThe Hubble Space Telescope is very effective at resolving the core of\nthe cluster, but its approximately 3\\arcmin ~ by 3\\arcmin ~ field of\nview is insufficient to capture most of the cluster stars.  We thus turned to\nthe archive of the Canada-France-Hawaii Telescope (CFHT) CFH12K camera\nfor data covering the majority of the globular cluster\n(Fig. \\ref{fig1}), with data collected by J.-H. Park, Y.-J. Sohn, and\nS. J. Oh in Feb. 2001 using $B$, $V$, and Cousins $I$ filters.  This\ncamera is composed of a mosaic of 12 CCD's, of which we only used\nnumbers 11 and 12 because these two chips covered the most heavily\npopulated parts of the cluster.  Each chip covers a roughly 7\\arcmin ~\nby 14\\arcmin ~ area of sky.  The images we obtained from the CFHT\narchive were already bias-subtracted and flat-fielded. For the\nphotometry, we used the DAOPHOT II\/ALLSTAR packages \\citep{daophot}.\nStar positions in the CFHT images, like the HST images, needed to be\ntransformed from pixel coordinates into angular offsets from the\ncluster center.  We cross-identified stars from the USNO A2.0 catalog,\ncovering an approximately 18.3\\arcmin ~ by 16.7\\arcmin ~ area of sky\naround the cluster that encompassed the CFHT field.  These catalog\nstars were used to convert the CFHT pixel positions into RA and DEC\ncoordinates relative to the core of M13.  In regions of overlap, the\nHST datasets were placed on the same coordinate system.\n\n\\subsection{KPNO 0.9m Imaging}\n\nWe also reduced imaging the KPNO 0.9 m telescope taken in $B$,\n$V$, and Cousins $I$ filters by Bolte and Sandquist on two nights in\nMay 1995. The camera used a single 2048 $\\times$ 2048 CCD with a scale\nof $0\\farcs68$ per pixel, for a field of view $23\\farcm2$ on a\nside. The photometry was done similarly to the CFHT dataset, and\ncoordinates were transformed to the CFHT system.\n\n\\subsection{Proper Motion (PM) Studies}\n\nWe cross identified all stars from the proper motion studies of \\citet{cmpm}\nand \\citet{cud}. The field covered by these studies is similar in size to that\nof the KPNO images. For the brightest stars, membership probabilities were\navailable to within about $1\\arcmin$ of the cluster center, while for fainter\nstars the innermost $2-3\\arcmin$ was effectively excluded. Their photometry\nhad a faint limit at $V \\sim 15.6$, which is about 0.5 mag fainter than the\nred end of the HB. As a result, the proper motion membership probabilities\nwere useful primarily for identifying bright stars that would otherwise\ncontaminate post-HB and giant star samples.\n\n\\subsection{Archival UIT Imaging}\n\nThe archive of the Ultraviolet Imaging Telescope contains aperture and\npoint-spread function photometry of M13 produced following the procedures\ndescribed in \\citet{stech}, and the images involved have previously\nbeen discussed by \\citet{par}.  However, in examining the UIT images,\nwe found a large number of sources that were not recorded by\n\\citeauthor{par} or in the UIT archive file, and these match up with\nhorizontal branch stars identified with optical photometry. It\nappears that the earlier photometry had an unnecessarily\nhigh faint limit.\n\nWe therefore rereduced the two longest exposure far UV images (using\nthe B5 filter with central wavelength 1620 \\AA) taken on the Astro 2\nmission (fuv2418, 192.5 s; fuv2419, 953.5 s). We downloaded archived IDL\nreduction routines called\nMOUSSE\\footnote{http:\/\/archive.stsci.edu.uit\/analysis.html} for use on\nlinearized, flat-fielded digitizations of the original photographic\nimages. The {\\it uit\\_find} routine identifies significant sources\nusing an algorithm based on DAOPHOT, and determines centroided\npositions for each. The {\\it uit\\_aper} routine conducts aperture photometry.\nWe used a 3 pixel radius aperture recommended by\n\\citet{par}\nand verified that the measurements matched the archived aperture\nphotometry to within 0.01 mag for sources in common. The shorter fuv2418\nexposure was analyzed to allow the brightest sources to be\nincorporated, as they were saturated on the longer exposure. \n\nMany sources could be identified in the core of the cluster because\ncrowding is relatively mild in the far UV. However, crowding does\nsignificantly modify the photometry, so we will generally restrict our\ndiscussion to stars more than 120\\arcsec ~ from the cluster center, as\ndid \\citet{par}. This partly resulted from the pixel scale (pixels in\nthe digitized photographs have a scale of about $1\\farcs14$) and\ntracking inaccuracy in the longer fuv2419 exposure. We identified a\nfew instances of blending in the UIT observations outside this radius\nwhen stars on the blue tail of the HB were close enough together on\nthe sky. We rated UIT detections by hand based on the apparent degree\nof contamination, and will only plot stars with the best ratings.\n\nWe note that only in one case (ID 72) did we find a star that was very\nlikely to be a proper motion nonmember, and in two other cases (UIT\nsource 568; ID 3904) did we find stars that could not be identified as\nHB or AGB stars. ID 72 has optical photometry that places it only\nabout 0.2 mag brighter than the HB level. We found no clear\ncounterpart to UIT source 568 ($m_{1620} = 15.98$), and hypothesize\nthat it might be related to the faint UV sources found in HST\nphotometry by \\citet{faintuv}. Source (ID 3904) corresponds to a\nbright blue straggler star in optical photometry.\n\n\\subsection{Photometry Calibration\\label{photcal}}\n\n\\subsubsection{CFHT\\label{cfhtcal}}\n\nWe calibrated the $BVI$ PSF photometry from CFHT to the standard system using\nstandard stars from M13 described in \\citet{stet}.  These standard stars are\nrigorously matched to the same photometric system as the earlier \\citet{lan92}\nstudy. We obtained the 2 May 2005 update star list from the CADC\nwebsite\\footnote{\\tt http:\/\/cadcwww.dao.nrc.ca\/standards\/}. The conditions for\nthe CFHT observations did not appear to be photometric, so the magnitude\nzeropoints for each image were free parameters in the calibration.\n\nStandard stars in the Stetson field cover almost the entire range of colors for\nevolved stars: from stars at the faint end of the HB distribution to a giant\nstar within 0.5 $V$ mag of the RGB tip. Three redder stars (probably field)\nwere included to extend the color calibration closer to the color of the tip\n($B-I \\approx 3.1$). We found it\nnecessary to calibrate the two CFHT12k CCD samples separately because of\nsignificant differences in color terms. (This is consistent with the results\nof other studies --- for an example, see \\citealt{kali}.)  Using the CCDSTD\n\\citep[e.g.,][]{stet92}\nprogram, the standard star transformation equations were found to be:\n\\[ b = B + a_{i}+(-0.025\\pm0.006)(B-I)+(0.0084\\pm0.0029)(B-I)^2\\]\n\\[ v = V + b_{i}+(-0.0038\\pm0.0026)(B-I)\\]\n\\[ i = I + c_{i}+(-0.0079\\pm0.0025)(B-I) \\]\nfor chip 11, and \n\\[ b = B + a_{i}+(-0.030\\pm0.004)(B-I)+(-0.0173\\pm0.0018)(B-I)^2\\]\n\\[ v = V + b_{i}+(-0.0084\\pm0.0013)(B-I)\\]\n\\[ i = I + c_{i}+(-0.0011\\pm0.0012)(B-I) \\]\nfor chip 12, where $b$, $v$, and $i$ are instrumental magnitudes, $B$, $V$, and\n$I$ are standard magnitudes, and $a_{i}$, $b_{i}$, and $c_{i}$ are the zero\npoints for individual frames. The $(B-I)$ color was chosen primarily for its\nwide wavelength spacing, which helps minimize the importance of photometric\nerrors in $B$ or $I$. We compared the final\ncalibrated measurements with the Stetson standard values, as shown in Fig.\n\\ref{rsdstet}. The comparisons include 417 stars from chip 11 and 286 stars\nfrom chip 12. The median residuals $\\Delta B$, $\\Delta V$, $\\Delta I$,\nand $\\Delta (B-I)$ were all less than 0.003 mag for the samples from both\nCCDs, and consistent with zero. There do not seem to be significant systematic\ntrends at the extremes of the color range either.\n\n\\subsubsection{HST}\n\nFor most purposes, we preferred to leave the HST datasets in flight\nsystem magnitudes using the VEGAMAG zeropoints in order to maintain\nthe relative precision of the original photometry and to make it\npossible for others to use improved transformations to a standard\nsystem in the future. However, to produce uniform samples of stars\nfrom photometric datasets in different regions of the cluster, we did\nneed to derive some transformations.\n\nBecause the CFHT photometry appears to be accurately matched to the\nstandard system and because the CFHT images had good spatial\nresolution in the cluster core, we use this dataset to examine the\ncalibration of the ACS WFC photometry in $V$ and $I$. The comparison\ninvolves HB and faint RGB stars because stars\nhigh on the RGB were heavily saturated even on the shortest\nexposures. In comparing the ACS flight system magnitudes to the CFHT\nphotometry, it was clear that second-order color terms in color were needed to\ntransform the F606W observations, but a first order term seemed sufficient\nto transform the F814W observations. This is in agreement with the\ntransformations derived by \\citet{sir}. However, we found that when we used\nthe \\citeauthor{sir} transforms, the RGB stars were systematically too faint\nby about 0.04 mag. We therefore derived our own transformations. It was\nnecessary to iterate the process, eliminating stars with large positive\nresiduals (most likely due to blending in the CFHT dataset).\nThe following transformations were derived from 437 stars:\n\\[ m_{606} = V + (0.010\\pm0.004)+(-0.0592\\pm0.0174)(V-I)+(-0.1553\\pm0.0207)(V-I)^2\\]\n\\[ m_{814} = I + (-0.005\\pm0.004)+(0.0290\\pm0.0053)(V-I) \\]\nFig. \\ref{rsdacs} shows the comparison between the CFHT photometry and the ACS\nphotometry calibrated to $VI$.\n\nFor a small number of stars, WFPC2 images were the primary\nsource for photometry, thanks to crowding and\/or gaps in sky coverage.\nWe used WFPC2 photometry in the VEGAMAG system, but have\ncalibrated measurements in the F555W and F785LP bands to $V$ and $I$. We first\nused the standard calibration of \\citet{hstcal}, but found that there were\nlarge color-dependent residuals. As a result, we determined new transformation\nequations using 153 RGB and HB stars in common with the CFHT data (eliminating\nstars that were most likely to be blended, as we did with the ACS data):\n\\[ m_{555} = V + (0.065\\pm0.009)+(0.0860\\pm0.0364)(V-I)+(0.0207\\pm0.0498)(V-I)^2\\]\n\\[ m_{785} = I + (0.051\\pm0.010)+(0.1346\\pm0.0413)(V-I)+(-0.2869\\pm0.0557)(V-I)^2 \\]\nThe transformed WFPC2 and CFHT datasets are compared in Fig. \\ref{rsdwfpc}.\nAlthough the formal errors on the quadratic term for the $m_{555}$ equation imply it has low significance, it was our qualitative judgement that it improved the transformation at the red end of the color range.\n\nFor a small number of stars at the faint end of the RGB in the cluster core,\nthe only reliable near-infrared measurements were in the WFPC2 field of\nproposal 8278, and so this was also calibrated to CFHT measurements using a\nsample of 87 RGB and HB stars:\n\\[ m_{555} = V + (0.052\\pm0.011)+(0.0538\\pm0.0428)(V-I)+(-0.0378\\pm0.0629)(V-I)^2\\]\n\\[ m_{814} = I + (0.021\\pm0.012)+(0.3233\\pm0.0481)(V-I)+(-0.3328\\pm0.0688)(V-I)^2 \\]\nIn the color range covered by the stars with WFPC2 photometry, the two\ncalibrations typically agree to better than 0.05 mag.\n\n\\subsubsection{KPNO}\n\nWe observed Landolt standard fields on one photometric night from the KPNO\nrun, and a standard star calibration using these data was used in calibrating\ncluster data from previous studies \\citep{har,pol,fek}. In this paper we have\nopted to calibrate the KPNO photometry directly against the well-observed\nStetson (2000) standards in the M13 field used to calibrate the CFHT data.  To\nensure the calibration of the evolved populations, we restricted the standard\nstar sample to 343 stars brighter than the approximate turnoff of the cluster\n($V < 19$).  The transformation equations are\n\\[ b = B + a_{i}+(-0.0279\\pm0.0018)(B-I)\\]\n\\[ v = V + b_{i}+(-0.0002\\pm0.0017)(B-I)\\]\n\\[ i = I + c_{i}+(-0.0130\\pm0.0020)(B-I)\\]\n\nThe residuals of the calibration are shown in Fig. \\ref{rsdkpno}.  The\nmedian residuals in all cases ($B$, $V$, $I$, $B-V$, and $V-I$) are\nless than 0.005 mag, and well within the uncertainty in the fit.\nThere may be some small systematic trends at the extreme ends of the\ncolor range for the standard stars: $(B-V) \\la -0.1$ and $(B-V) >\n1.2$. After additional experiments though, we found that second-order color\nterms or changes to the standard star sample (fewer main sequence\nturnoff standard stars, so that the giant and horizontal branch stars\ncarried more weight) did not significantly improve the fits.\n\nFor most of the scientific applications later in the paper, the relative\nprecision of photometric measurements within one dataset is most important.\nHowever, for the discussion of HB and RGB luminosity functions, it is\nimportant that there are not large systematic errors between the datasets we\nhave merged together.  The luminosity functions will employ the $I$-band\nmeasurements, so particular attention should be focused on that filter.\nFigures \\ref{rsdkc11} and \\ref{rsdkc12} show comparisons between the KPNO\nphotometry and the CFHT photometry from chip 11 and chip 12.  There appear to\nbe signs of systematic residuals in various places [notably some small offsets\nin $V$ and $I$ in chip 11, and a trend in $\\Delta (B-V)$ versus $(B-V)$ for chip\n12].  However, for the great majority of stars, the residuals are quite small\n($\\la 0.04$ mag). In the KPNO-CFHT comparisons, the $I$-band measurements seem\nto be well calibrated.\n\n\\section{Identification of Evolutionary Status\\label{sel}}\n\nOur first step was to first identify all known variable stars (RR\nLyrae, BL Her, bright giants) from \\citet{kopacki02} in order to\neliminate stars that might confuse classifications.  Our subsequent\nprocedure for separating stars by evolutionary stage involved all of\nthe datasets described above (from widest area coverage to smallest:\nPM, KPNO, CFHT, HST ACS, and HST WFPC2). We relied primarily on the\nobservations with the highest available spatial resolution for each portion of\nthe field. \n\nThe main CMDs used to identify giant stars (RGB and AGB) are shown in\nFig. \\ref{rgbsel}.  For the outermost portion of the field, the KPNO dataset\nwas used along with proper motion information. The CFHT dataset was used for\nthe bright RGB and AGB samples even within the core, driven by the fact that\nthe brightest cluster stars were saturated in the HST images (with the\nexception of some exposures in the ultraviolet). Crowding effects were minor\nfor the CFHT images, which were taken with good seeing and with a high\nresolution camera (0\\farcs2 pixels). Because giant stars (RGB and AGB) were\nall observed in $BVI$ filters and because the $B-I$ color covers the widest\nwavelength range, we used $B-I$ as their primary discriminant.  For fainter\nRGB stars ($I > 14.5$), HST photometry was available in the core, and so ACS\nWFC photometry was used when available, and WFPC2 photometry for all other\nstars falling between WFC chips or outside the WFC field.\n\n\nThe HB and AGB manqu\\'{e} are comprised of hotter stars, so we relied\non the shortest wavelength filters to identify them. For the portions\nof the core observed in the ultraviolet, the F160BW, F255W, and F336W\nfilters on HST are particularly good discriminants (see\nFig. \\ref{hbuv}), with the F160BW observations effectively selecting\n{\\it only} the hottest HB stars and a handful of manqu\\'{e} stars.\nOtherwise the HST ACS observations were the primary source for\nidentifications for the bluest horizontal branch stars in the core. HB\ncandidates in the core were selected based on CMD position, but\nderived $\\chi^2$, sharpness, and crowding values were used to flag\ncandidates that might be spurious.  Questionable candidates were also\nexamined by eye, and stars that clearly fell on chip defects or very\nclose to brighter stars were rejected. The crowding parameter in\nDOLPHOT (the change in measured brightness if close neighbors had not\nbeen simultaneously fit with point-spread functions) was very\neffective at flagging spurious stars. We found that a change of 0.4\nmag indicated a spurious star in nearly all cases. The optical CMDs\nused in the HB star selections are shown in Fig. \\ref{hbopt}.\n\nJust outside the observed HST fields, there is noticeable scatter in\nthe photometry measured from the CFHT images, as can be seen in the\nlower right panel of Fig. \\ref{hbopt}. To reliably identify blue HB\nstars in this region, we made use of UIT observations.  UIT\nobservations cover almost the entire field discussed in this paper,\nand even though blending sometimes made accurate photometry a problem\nin the core, the UIT observations allowed us to identify blue HB stars\neven there. As a result, we believe we have virtually all of the faint\nHB stars in our sample, all the way from the cluster center out to the\nedge of our large ground-based fields.\n\nAGB manqu\\'{e} ~ stars also deserve discussion. In optical CMDs these stars\n(post-HB stars that will not reach the traditional AGB) are predicted\nto evolve almost parallel to the zero-age HB (ZAHB), and the hottest\nones can sometimes be hard to distinguish from normal HB\nstars. Ultraviolet-optical CMDs can flatten out the blue HB and make\nit possible to identify AGB manqu\\'{e} stars by their relative\nbrightness. For the majority of the field we identified candidates\nfrom the HB sample in the highest resolution optical CMD first. We\nsubsequently used observations in F160BW and F255W for the core, and\nthe wide-field UIT observations elsewhere to validate most of the\ncandidates. We found that nearly all of the bluest candidates selected\nfrom the optical CMDs were verified with the ultraviolet observations,\nbut 5 additional manqu\\'{e} stars were identified first in the UV.\nFor the UV observations, we defined stars to be manqu\\'{e} if they were more\nthan about 0.8 mag brighter than the faintest HB stars at the same\ncolor. (This criterion is based on where theoretical tracks predict evolution\nslows again after core He exhaustion.) The UIT observations were subject to\nblending in the central regions and some candidates were rejected based on\nhigh-resolution optical photometry, but in all cases it was possible to\nidentify the stars that were the primary UV sources based on other photometry.\nIn addition, some of the \\citet{whit} sources did not appear to have cluster\ncounterparts at the tabulated positions. We do not have an explanation for\nthis. Two stars (HB 72 and 295) present reasonably strong cases in optical\nCMDs for being manqu\\'{e}, but are not discernibly unusual in the UV, so we have\nleft them as HB stars. Finally, two manqu\\'{e} ~ stars (AGB 12 and 26) were\nidentified using only optical photometry because they fell outside the HST\nultraviolet observations, but in a region of the cluster where the UIT images\nwere too crowded to yield reliable measurements. All of our cross\nidentifications are given in Table \\ref{idtab}. The photometry for the\nidentified stars can be found in Tables \\ref{hbtab}-\\ref{nmtab}. With the use\nof the UV observations, we believe we have isolated nearly all AGB manqu\\'{e}\nstars from the HB sample.\n\n\\section{The Red Giant Branch}\\label{rgb}\n\n\nWe assembled a comprehensive tabulation of the bright RGB stars in M13 from\nthe tip of the RGB to the base of the RGB, where it meets the subgiant branch.\nAs described in \\S \\ref{sel}, we eliminated AGB stars from the sample using\nthe best photometry available (see Fig. \\ref{rgbsel}). This is a relatively\neasy task in M13 because the AGB is well-separated in color from the RGB\nexcept near the bright end.\n\nIn a study of the cluster core using the HST Planetary Camera,\n\\citet{cohm13} previously found evidence that there was an excess of\nbright giants compared to models.  Though their photometry was not\nprecise enough to separate AGB and RGB stars, the excess appeared to\nbe too large to be explained by the AGB star population. To examine\nthe evolution rates of the bright giants, we followed the procedure\ndescribed by \\citet{sm}. In this method theoretical cumulative\nluminosity functions in $I$ band are shifted in magnitude so that the\ntip of the giant branch matches the brightest giant, and the\nluminosity function is then normalized to the total number of stars\nfound brighter than the RGB bump. \\citeauthor{sm} found that this has\nthe benefit of making the comparison extremely insensitive to chemical\ncomposition and age, which makes it possible to test the physics of\nthe upper giant branch in clusters with large giant populations. In\nthat study, \\citeauthor{sm} found that the giant population in NGC\n2808 was significantly depleted relative to the model predictions, and\nhypothesized that this could be due to underestimated neutrino\nemission rates or loss of the giant envelope (causing some giants to\nleave the RGB before undergoing a normal helium flash). We have\ntherefore tested whether M13's very blue HB morphology is\nreflected in the character of the giant population. \\citet{sh}\nrecently examined a large sample in the core of the distant cluster\nNGC 2419 (another cluster with a long blue HB tail), which showed only\nweak signs of a depleted bright giant population.\n\nTo conduct the test for M13, we shifted Victoria-Regina \\citep{vr} and\nTeramo \\citep{ter} models to the $I$ magnitude of the brightest giant. We need\nto be careful because almost all of the brightest giants in M13 are\nknown to vary irregularly on timescales of more than 40 d \\citep{kopacki02}.\nThe variability itself should be a relatively small effect based on the\nvariation amplitudes observed by \\citet{kopacki02}: $0.07 < \\Delta V < 0.38$\nfor the 12 stars studied, with most having amplitudes toward the low end of\nthat range. We identified all of the known RGB variables, and find that V11\nappears to be the brightest ($I \\approx 10.3$) in our study and most others.\n(Our $V$-band measurements appear to have been made in brighter periods in the\nstar's variation. According to \\citeauthor{kopacki02}, the star's mean $V$\nmagnitude is only a few hundredths of a magnitude different from other bright\ngiants.)\n\nFig. \\ref{fig9} shows the comparison for a model having [Fe\/H] $= -1.41$ and\n[$\\alpha$\/Fe] $= +0.3$. We tested models with different metallicity, but as\ndescribed earlier, the exact value does not significantly affect the results.\nIn addition, the Victoria-Regina and Teramo models agree well with\neach other.  The plotted Victoria-Regina model shows the best agreement with\nthe observed position of the RGB bump. We conducted Kolmogorov-Smirnov (K-S)\ntests with the observed and theoretical luminosity functions using different\nfaint cutoffs for the RGB sample. (Because the RGB sample increases\nexponentially with increasing magnitude, this was necessary to ensure that\ndeviations on the less-populated bright RGB are not washed out.) The test\nresults are presented in Table \\ref{tbl-2}. The probability $P$ that the\nobserved stars are consistent with being drawn from the theoretical\ndistribution reaches a minimum of about 5\\% when the cutoff is at $I = 12.76$\nin response to a clump of stars at $I \\approx 12$ (see below). Otherwise,\nthe probabilities remain greater than 15\\%, and the overall impression from\nthe test is that there is at most a slight deficit of stars compared to the\nmodel predictions, in contrast to the \\citet{cohm13} results.\n\nAs discussed by \\citet{sm}, this method of comparing with models is\ninsensitive to chemical composition for [Fe\/H] $\\la -1$, which means that it\nshould be possible to combine samples from different clusters to improve the\nstatistical significance of the comparisons. M5 has a readily available sample\nof RGB stars \\citep{sb04}, and issues related to combining the two samples are\nminimal.  For example, M5 and M13 have very similar distance moduli\n[$(m-M)_{0,M13} - (m-M)_{0,M5} \\approx 0.06$, \\citealt{ferr99}; $-0.02$,\n  \\citealt{reb}; $-0.08$, \\citealt{car}] and reddening [E$(B-V)_{M13} -\n  $E$(B-V)_{M5} = -0.01$, \\citealt{harris}; -0.02, \\citealt{reb}] values, and\ntheir metallicities are similar (with M13 universally identified as more metal\npoor by about 0.2 dex).  The M5 sample is similar in size to the M13 sample as\nwell. In the comparisons below we use a model with a compromise [Fe\/H] $=\n-1.31$, although once again the composition choice is not critical.  In light\nof the similar and relatively well-determined distance moduli, we have chosen\nto combine the samples after correcting for the small difference in distance\nmodulus. This is probably superior to shifting the cluster samples so that the\nbrightest giants in each cluster match because i) many of the brightest giants\nin M13 are variable, and ii) statistically speaking, the brightest giants may\nfall at different brightness levels fainter than the tip of the red giant\nbranch (TRGB).\n\nThe combined sample is shown in Fig. \\ref{clfcomb}.  K-S test probabilities\nonly go below 10\\% in small ranges of magnitude (for example, $P = 0.05$ for a\ncutoff at $I - I_{TRGB} = 3.00$).  Overall, we regard the agreement with the\nmodels as good, and a confirmation of the most recent plasmon neutrino\nemission rates \\citep{hrw,itoh}, which influence the evolution rates near the\nTRGB. There are variations in counts around the theoretical predictions, but\nare not significant at more than a 2$\\sigma$ level. With these samples, we see\nno reason to consider particles beyond the standard model with very large mean\nfree paths (such as axions and WIMPS) that could affect cooling of the\ndegenerate core \\citep[e.g.][]{cat96}.\n\nThe evolution rates for fainter giants can also be examined using star\nnumbers.  Using a sample covering a smaller portion of the cluster,\n\\citet{cho} found that M13 appeared to have ``extra'' stars in and\nslightly fainter than the RGB bump. On the other hand, in their study\nof the bumps of a large sample of clusters, \\citet{riello} found that\nM13 appeared to have a lower than expected number of bump stars (stars\nwith $V$ within $\\pm 0.4$ mag of the bump center) compared to giant\nstars between 0.5 and 1.5 $V$ magnitudes fainter than the bump. Both\n\\citeauthor{riello} and \\citet{bono} found M13 had a lower value than\nthe mean for their whole sample of clusters, and in the case of\n\\citeauthor{riello} the value was almost $3 \\sigma$ lower. Using\n$V_{bump} = 14.75$, our M13 samples are more than twice as large as\nthe ones tabulated by \\citeauthor{riello} We find $R_{bump} = 297 \/\n609 = 0.487 \\pm 0.034$, which is quite consistent with the mean value\nfound by \\citeauthor{riello} and with theoretical predictions\n\\citep{riello,bjork}. The slope of the lower giant branch in the\ncumulative luminosity function (which is related to the evolution\ntimescale) for M13 is also in very good agreement with the predictions\nof the Victoria-Regina and Teramo models. Based on our large sample,\nthe M13 giants are evolving at the rate predicted\nby models.\n\n\nAs mentioned above, the CLF of M13 also shows a slight enhancement in the\nnumber of RGB stars at $I \\approx 12.0$ or $V \\approx 13.15$. This feature can\nbe seen by eye in some of the CMDs (for example, see Fig. \\ref{ivi}). This is\nreminiscent of the ``heap'' feature seen in NGC 2808 by \\citet{heap}, which\nwas identified about 1.4 $V$ magnitudes brighter than the RGB bump. This\nfeature falls approximately where the RGB and AGB begin to overlap. While\nthere have been quite a number of spectroscopic studies of M13, there is not\nan unambiguous spectroscopic signature to separate AGB stars from RGB stars.\nFor example, \\citet{sbcn} find that photometrically-identified AGB stars had\nuniformly weak CN bands, indicative of O$\\longrightarrow$N conversion.\nHowever, there is a significant group of CN-weak RGB stars even fainter than\nthe level where they could reasonably be confused for AGB stars.\n\n\nWe present the differential luminosity function for the bright end of the RGB\nin Fig. \\ref{dlf}. As \\citeauthor{heap} found for NGC 2808, the heap is not\nstatistically significant. Its appearance in the CMD comes largely from the\ncontrast with slightly fainter RGB stars, which appear to be less common than\npredicted theoretically. In our M13 sample (which is close to as large as it\nwill get for this cluster), the heap appears to be significant at about the\n$2.5\\sigma$ level based on K-S tests on the cumulative luminosity function.\n\n\n\n\n\nTo summarize, after gathering the largest possible sample of giant stars in\nthe cluster, we see at most low-significance deviations from theoretical\nluminosity functions. We emphasize that our luminosity function comparisons\nhave been done in a relative sense, by forcing agreement between the\nbrightness of the observed and theoretical TRGB. In contrast to the case for\nNGC 2808 (but in agreement with NGC 2419), we do not see evidence of large\nnumbers of stars leaving the RGB early that could account for the\nbluest HB stars in the cluster.\n\n\\section{The Horizontal Branch}\n\n\\subsection{Brightness and Radial Distributions}\n\nM13 possesses a horizontal branch comprised mainly of stars bluer than the\ninstability strip (Fig. \\ref{hbopt}).  Before we turn to comparisons of the HB\npopulation with other post-main-sequence samples, we will first examine the\ndistribution of HB stars in the CMD and as a function of radius in the\ncluster.\n\nOur dataset has been derived from a wide-range of source material, but $V$\nphotometry is common to all of the sources, and $I$ photometry is available\nfor all but one of the sources (the proper motion data of \\citealt{cmpm}). We\nuse $I$ photometry to describe the relative positions of stars on the HB\nbecause it is an {\\it observable} quantity, and HB stars grow monotonically\nfainter in $I$ with decreasing mass. The relationship between $I$ magnitude\nand mass results from competition between decreasing radius and increasing\nsurface temperature as the mass of the star's envelope decreases, and from the\nrapidly increasing bolometric corrections that result. The use of a directly\nobservable coordinate for HB position also reduces the difficulties in\ncomparing models and observations \\citep{vargas}.\n\nBecause of the potential influence of blending, we drew the $I$ magnitude of a\nstar from the photometric dataset with the highest spatial resolution: ACS\nWFC, CFHT, and KPNO. Five stars fell in the gap between the two ACS WFC chips,\nand their photometry was derived from WFPC2 observations in F785LP (\\S\n\\ref{photcal}). In Fig. \\ref{ihist}, we show a histogram of the HB star\ndistribution in $I$, clearly showing the well-known bimodality. For conceptual\npurposes, we have broken the HB into three parts: $I < 16.25$ (the bright\npeak, hereafter P1), $16.25 < I < 18$ (intermediate stars), and $I > 18$ (the\nfaint peak, hereafter P2).  The break at $I = 18$ corresponds to gap G3\nidentified by \\citet{gaps}, while the break at $I = 16.25$ is slightly fainter\nthan their gap G1 and at approximately the same position as the ``$u$ jump''\nidentified by \\citet{ujumpm13}. \\citet{ujumps} tentatively identified this as\nthe place on the HB where radiative levitation of heavy elements becomes\nimportant, and spectroscopic studies \\citep{behr03,fabb05,pace07} confirmed a\nchange in the atmospheric abundances of heavy elements at similar positions in\na number of other clusters. The gap G1 appears to correspond to a local\nminimum in the HB distribution at $I \\approx 15.7$.  There is no doubt that\n\\citet{gaps} saw clear evidence of gap G1 in their dataset, but the gap in\ntheir data was fairly wide and it is difficult to assign a precise location\nusing their smaller dataset.\n\nBecause the well-studied cluster M3 shows a clear change in HB morphology with\ndistance from the center \\citep{catm3}, we examined the distribution for signs\nof radial variations. In the top panel of Fig.  \\ref{ihist}, we see that the\nHB and RGB distributions are essentially identical. In the lower panel,\nwe plot the\nHB distributions for samples with $r < r_h$ and $r > r_h$ (380 and 404 stars,\nrespectively). There appear to be slight differences between the sample\ndistributions, with the second peak at the end of the blue tail becoming less\nprominent in the outer portion of the cluster. As shown in the cumulative\nradial distributions in the bottom panel of Fig. \\ref{crd}, there are modest\ndifferences in the innermost 140\\arcsec ~ of the cluster, with the intermediate\nHB stars being the least centrally concentrated and the faint peak stars being\nthe most centrally concentrated. However, for this global comparison, a\nKolmogorov-Smirnov test indicates that there is still a 21\\% chance that those\ntwo distributions could be drawn from the same parent population.  When the\ncomparison is restricted to $r < r_c$ or $r_h$, the probability does not\nchange significantly.\n\n\n\nTable \\ref{tbl-hb} shows the number counts for different radial samples. The\ncounts show a tendency for stars in the faint peak to be more\ncentrally concentrated. They are almost as abundant as bright peak stars in\nthe very center of the cluster ($r < r_c \/ 2$), but the fraction drops quickly\nso that for $r \\ga r_c$, they are consistently about as abundant as the\nintermediate group. There is a marginal trend in the fraction of HB stars in\nthe faint blue peak ($f_{P2}$) as a function of distance, but a significant\nchange in the difference in the fractions in the bright red and faint blue\npeaks ($f_{P1} - f_{P2}$).\n\n\\citet{cohm13} found that the blue HB stars in M13 appear to be centrally\ndepleted relative to other types of stars for their sample with $r <\n60\\arcsec$.  We believe the difference is probably due to incompleteness at\nthe faint end of their horizontal branch sample.  The appearance of the\nhorizontal branch in their Fig. 4 clearly shows the bright peak, but there is\nlittle or no sign of the faint peak (most stars in $18 < V < 19$), which falls\nnear the completeness limit of their dataset.\n\n\n\\subsection{Notable Stars}\\label{notable}\n\nOnly nine RR Lyrae stars are known in the entire cluster, but there are stars\nredder than the instability strip. We find a conspicuous group of eight stars\njust bluer than the RGB but approximately 0.5 mag fainter than the AGB clump\n(seven are seen in Fig. \\ref{rhb}). A star at the red end of the theoretical\nZAHB locus plotted in Fig. \\ref{rhb} has a mass of $0.8 M_\\sun$, so HB stars in\nthis part of the CMD would be more massive than stars at the cluster turnoff\n(the HB is theoretically expected to curve back toward higher temperature and\nluminosity for more massive stars). We believe that these stars are probably\nevolved counterparts to blue straggler stars, as originally proposed by\n\\citet{fusi}. This possibility could be tested by comparing the number to the\nsize of the sample of cluster stragglers (and thereby comparing their relative\nlifetimes), but this is beyond the scope of the current work. Although field\nstars are relatively common in this part of the CMD, five of the eight stars\nhave proper motions indicating that they are high probability members\n\\citep{cud}. The remaining three stars are all within $45\\arcsec$ of the\ncluster center. Only one of the stars (HB 532) has UV observations --- in the\nF255W passband it is significantly brighter than the RGB but fainter than\nhotter HB stars, which rules out an optical blend of a hot HB and an RGB star.\n\nFrom careful examination of the photometry, we identified three additional\nstars that we believe may be red HB stars. \nHB 314 has proper motion information that identifies it\nas a high probability member and photometry that places it at $V$\nmagnitude nearly identical to stars blueward of the instability strip.  The\ntwo remaining stars do not have proper motion information, and their CMD\npositions give them greater probabilities of being field stars. HB 793 has a\n$V$ magnitude placing it at the cluster HB level, and it is fairly blue\ncompared to the known field stars of similar brightness, but it is outside the\nproper motion field ($r = 625\\arcsec$). HB 133 is closer to the cluster center\n($r = 103\\arcsec$), but has a $V$ magnitude placing it about 0.3 mag fainter\nthan the cluster's HB.  However, there are no other stars near it in the CMD,\nand there is a small possibility that it is an undetected variable star,\nalthough it was within the field studied by \\citet{kopacki02} using a\nsensitive image subtraction method.\n\n\n\nAlthough quite a few globular clusters have long blue horizontal branch tails\n(NGC 6752, M2, and M80 are examples), M13 is somewhat unusual in having a\nsecondary peak in its distribution of stars that falls near the\ntheoretically-predicted blue end of the HB. Clusters that have blue hook stars\n(such as $\\omega$ Cen, NGC 2808, and NGC 2419) have blue HB tails in optical\nCMDs that extend to fainter magnitudes. As a result, we have looked at the\nfaintest HB stars in the optical to gauge whether there are any\nblue hook stars present. \n\n\\citet{sh} noted that the M13 HB largely terminates at the approximate\nposition of a gap in the EHB population of NGC 2419 when the HBs are aligned\nat their brightest points in $B$.\nIn CMDs employing $B$, F439W, or F336W filters, we identified a handful of\ncandidates that were fainter than the faint HB peak P2. However, ultraviolet\nCMDs must be used in conjunction with the optical CMDs in order to get a\nfull picture of the spectral output of the stars.  In Fig. \\ref{hbuv}, we\npresent our UV CMDs for M13. As we progress from the near UV (F336W and F255W)\nto the far UV (B5 and F160BW), bolometric corrections become less severe for\nthe hottest stars, and the hottest HB stars match the rest of the blue HB in\nbrightness.  Although the WFPC2 F160BW and UIT B5 filters cover similar\nportions of the spectrum, and produce similar CMDs in Fig. \\ref{hbuv}, the\nF160BW filter reaches peak sensitivity more than 100 \\AA ~ shorter than the B5\nfilter. We believe this is responsible for the slight upturn near the blue end\nof the HB in F160BW.  In CMDs using even shorter wavelength observations, the\nhottest HB stars would continue to change their configuration.\n\n\\citet{dcruzomega} found a large group of blue hook stars in $\\omega$ Cen that\nwere subluminous in an (F160BW, F160BW-$V$) CMD compared to other stars at the\nend of the HB.  A similar structure does not exist in Fig. \\ref{hbuv} near\nF160BW$-$F555W$ \\approx -3.5$, but there are two stars that meet the typical\ndefinition of the blue hook: fainter than the ZAHB in the far UV.  The optical\nmeasurements for these two stars put them significantly fainter than the\npredicted hot end of the HB. The UIT source (HB 2) is approximately 0.7 mag\nfainter than the hot end of the HB in the B5 filter, and 1 magnitude fainter\nin $B$. (It is the faintest HB source in the KPNO panel of Fig. \\ref{hbopt}.)\nHB 431 is among the faintest sources in the three WFPC2 UV filters, but is\nfaintest only in F160BW. (It is the second faintest HB source in the ACS WFC\npanel of Fig. \\ref{hbopt}.)\n\nNine other stars are fainter than the EHB in optical bands and sit at the\nextreme blue\/faint end of the HB in ultraviolet bands (although fairly close\nto the extrapolated zero-age HB), and so we flag them as potentially\ninteresting stars. The UIT sources are HB 8, 56, 73, 86, and 757, \nwhile the WFPC2 sources are HB 373, 485, 611, and 636.\n\n\n\\subsection{Evolution of HB Stars}\n\nWith a large sample of HB stars, the sample of evolved HB stars also\ngrows, making it possible to trace post-HB evolution. The two most\ndensely populated portions of the HB contain 75\\% of the stars, and so\nto first order, post-HB stars will trace the evolution of these\ntwo groups.\n\nIn Fig. \\ref{hbter} and \\ref{hbtracks}, we show a comparison between\ntheoretical models of \\citet[hereafter, Teramo]{piet06} and \\citet[hereafter,\n  DSEP]{dsep} and our ground-based photometry in $(V,B-I)$ for $r >\n200\\arcsec$. To gauge the edges of the HB distribution, we used zero-age and\ncentral helium depletion ($Y_c = 0.05$ or 0.10) CMD positions as a function of\nmass.  Because there is some uncertainty about the precise chemical\ncomposition of M13 \\citep[e.g.,][]{jb}, we fitted the HB band to the\nphotometric data in order to better identify evolved stars in a differential\nsense. We emphasize, however, that the fit does not completely validate the\nmodels. In fact, there are mismatches between observation and theory that we\nwill examine below.\n\n\\subsubsection{The Reddest BHB Stars}\\label{redhb}\n\nBecause M13 has a blue HB, traditional photometric indicators of distance\n($M_V^{HB}$), age ($\\Delta V_{TO}^{HB}$, for example) and helium ($R = N_{HB}\n\/ N_{RGB}$) that have the $V$ magnitude of the HB in their definitions cannot\nbe used without corrections of uncertain accuracy. As a result, redder stars\nmay better define the brightness of the HB if they can be proven to reside\nnear the ZAHB in the CMD.\n\nAs shown in Fig. \\ref{vicmd}, we identified 55 stars redward of the most\nheavily populated part of the HB (the bright peak P1; 308 stars in $16.25 > I\n\\ga 14.9$). The stars stretch to the instability strip ($0.10 < V-I < 0.22$),\nand it is likely that at least some of the RR Lyrae stars belong to the same\ngroup. These stars have largely been ignored in previous studies of M13\nbecause many (but not all) are found in the cluster core.  The evidence of a\nsmall gap at $V-I \\approx 0.10$ between the reddest BHB stars and the bright\npeak makes it worth considering whether they represent a separate population\nand what their evolutionary status is. For the purpose of this section, we\nrestrict ourselves to comparisons with theoretical models, delaying additional\ndiscussion of the luminosity of the HB to \\S \\ref{lhb}.\n\nIn examining recent stellar models from different research groups, we found\nthat there is still a great deal of variation in the morphology of evolution\ntracks for stars that start their HB lives with $T_{\\rm eff} \\approx 10000$ K.  This\nis an important question because it affects the interpretation of the reddest\nBHB stars in M13. \\citet{swei87} asserted that the relative importance of the\nhelium-fusion luminosity ($L_{He} \/ L$) is the main influence on whether the\nevolution is primarily blueward or redward. Stars that have strong hydrogen\nfusion shells significantly increase the helium core mass during the HB phase,\nleading to higher $L_{He} \/ L$ and blueward evolution. As the helium becomes\ndepleted, the importance of core fusion is reduced and stars tend to evolve\nredward, becoming more giant-like.  For similar compositions, some models\npredict a modest blueward loop before the approach to the AGB\n\\citep[e.g.][]{swei87,dorman,yi} for HB evolution starting with $T_{\\rm eff} \\approx\n10000$ K, while the most recent models \\citep[e.g.  DSEP,][]{piet06} predict\nstars evolve redward (see Fig.  \\ref{hrcomp}). For the Teramo \\citep{piet06}\nmodels, slightly cooler HB stars (ones starting among the reddest blue HB\nstars) have short blue loops.  However, in the case of DSEP models, stars with\n$-2 \\le \\mbox{[Fe\/H]} \\le 0$ {\\it all} evolve strongly redward from the start,\nand remain close to the ZAHB during much of the HB phase. Consistent with\nSweigart's discussion, core helium burning remains significantly stronger than\nthe hydrogen fusion shell in DSEP models, even for stars starting quite close\nto the giant branch.  If the DSEP models are good representations of actual\nevolution, even the evolved HB stars in M13 could be reasonable indicators of\nwhere the ZAHB is. Clearly there are significant differences between these\nmodels that may help us to identify important physics.\n\nAlthough there are many small differences between the physics inputs in the\nDSEP and Teramo models, we believe the likely cause is diffusion. Diffusion\nwas consciously disabled in the Teramo models, while the DSEP models stop\ndiffusion in the outermost $0.05 M_\\sun$ of stars and linearly ramp their\ndiffusion algorithm to full strength at $0.10 M_\\sun$ below the surface. As\nseen in more metal poor $0.73 M_\\sun$ models with diffusion by \\citet{mich07},\nthe introduction of diffusion produces redward evolution for a star that would\notherwise evolve blueward. There is clear evidence of diffusive processes in\nthe surface compositions of bluer HB stars in globular clusters\n\\citep[e.g.][]{moe03,moni09}, but not among stars like the reddest BHB\nstars. Still, the surface layers are less likely to show chemical signatures\ndue to near-surface convection. The DSEP models may be demonstrating that\ndiffusion in the interior can be constrained by observations --- processes\nsuch as rotationally-induced mixing could inhibit the action of diffusion.\n\nThe numbers of stars can also constrain the models --- because the early\nstages of core helium fusion take the longest, the initial direction of the\nevolution in color should have a big effect on how many stars are found to the\nred of peak P1.  Fig. \\ref{p1shb} shows a representative synthetic horizontal\nbranch generated from DSEP web\ntools\\footnote{http:\/\/stellar.dartmouth.edu\/~models\/shb.html We used\n  ``empirical'' color transformations as these appear to do a better job than\n  ``synthetic'' transformations in reproducing photometry in and around the\n  subgiant branch \\citep{dsep,sara}.} with a number of stars in the primary\npeak comparable to observations.  We did not attempt to fully model the\nfainter parts of the primary peak because most of those stars are expected to\nexhaust their core helium before entering into the color range we are\nconsidering, becoming too bright to be considered HB stars (see \\S\n\\ref{supra}).  Even so, the number of stars actually observed is {\\it\n  considerably smaller} than predicted by the synthetic HB simulation. The\nmodels predict that the red population ($I < 14.9$) should be approximately\n28\\% the size of the primary peak population, whereas the M13 population is\nonly about 19\\%. Small variations in chemical composition (helium or heavy\nelements) also do not affect this conclusion. Whatever the reason, the DSEP\nevolutionary tracks do not seem to be accurately representing the evolution of\nstars from the primary peak. A small amount of blueward evolution would\nrelieve the discrepancy.\n\nTeramo tracks produce a somewhat better fit to the M13 data, but the\nobservations appear to need blueward evolution to continue at slightly higher\ntemperatures to explain the appearance of the rather sharp red edge at $(V-I)\n= 0.07$ (pure redward evolution would tend to smear out such a feature in\ncolor).  When the ZAHB and $Y_c = 0.05$ lines are fit to the magnitude extent\nof the primary peak, the reddest BHB stars and RR Lyrae stars fall near the\n$Y_c = 0.05$ line, implying they are significantly evolved (see\nFig. \\ref{hbtervi}).  \n\nWhile the Teramo models come close to explaining the appearance of the sharp\nred edge of the HB distribution, the underlying question remains {\\it why}\nthere should be such a sharp edge for M13's population.  Increased envelope\nmass, as well as increased helium and metal abundance are known to encourage\nblueward evolution. Helium enrichment has a significant effect on the HB\nluminosity and some effect on the evolution of red HB stars.  For modestly\nhelium-enriched ($Y = 0.30$) Teramo models in Fig. \\ref{hbterviy} (consistent\nwith the $\\delta Y$ hypothesis), a large (and probably unrealistic) distance\nmodulus of about 14.75 is required, and the evolution of stars at the red end\nof the bright peak P1 goes too bright to explain the reddest BHB stars. In\nfact these stars can't be satisfactorily reproduced in the current\nhelium-enhanced models.\n\n\\citet{piet} recently computed HB models for ``extreme'' CNONa abundance\nmixtures in which the sum of CNO elements is approximately a factor of two\nhigher at a given [Fe\/H] than for a typical $\\alpha$-enhanced mixture. The\nmixture is intended to be representative of pollution resulting from\nintermediate mass AGB stars, and N is by far the most abundant heavy element\ndue to nuclear processing.  An extreme CNONa mixture could realistically\nproduce blueward evolution for the dominant HB population.  However,\nmeasurements of oxygen abundances among the cool HB stars in M13 all indicate\n[O\/Fe] is normal for globular clusters and super-solar \\citep{pete}.\n\\citet{smith96} and \\citet{cm} also found that [(C+N+O)\/Fe] did not seem to\nvary significantly within their samples of CN-strong and CN-weak giants, and\nthe CNO elements do not show ``extreme'' enhancement (the average was about\n0.3 dex).  Similar results have been found for relatively unevolved stars in\nother clusters \\citep{car05},\nalthough stars in NGC 1851 show a significant 0.57 dex spread \\citep{yong09}.\n\nFrom the theoretical comparisons above, our preferred explanation is that the\nreddest BHB stars are stars with unenriched compositions that evolve somewhat\nto the blue after reaching the ZAHB. However, it must be admitted that the\ntheoretical models disagree to a greater extent than we would like. We return\nto the discussion of these stars in \\S \\ref{lhb}.\n\n\\subsubsection{Ultraviolet Bright Stars}\\label{uvb}\n\nWe next identified hotter ultraviolet-bright stars (the brightest\ncluster stars in $U$ band, but optically identifiable) from the study\nof \\citet{zng}.  ZNG 1 (Barnard 29) is a post-AGB star\n\\citep{con94,moe98,thom07}, and is the brightest star in the UV by\nalmost 3 mag (see the UIT panel of Fig. \\ref{hbuv}).\n\nIn the lower left panel of Fig. \\ref{hbuv}, ZNG 2, ZNG 6, and ZNG 7 sit at the\ncool side of a group of stars we identify as AGB manqu\\'{e} ~ stars, which are hot\nstars that are significantly brighter than the hot HB (see \\S \\ref{supra}).\nZNG 2 (G 43) was observed spectroscopically by \\citet{moe03}, and its low\ngravity ($\\log g \\approx 3$) clearly identifies it as being a post-HB star.\nZNG 7 falls slightly bluer than the ``knee'' of the HB in the upper right\npanel of Fig. \\ref{hbopt}, but is quite bright in the ultraviolet. ZNG 6 is\nthe only one of the UV bright stars that has HST ACS observations, which again\nplaces it significantly brighter than the HB (see the lower left panel of Fig.\n\\ref{hbopt}).\n\nIn optical CMDs, ZNG3 and ZNG 4\\footnote{For completeness, ZNG 5 is a\n  non-member according to proper motions, and is not considered here.} are\nabout a magnitude brighter than the knee of the HB, and part of a small group\nof stars seeming to parallel the HB. ZNG 3 and 4 are among the reddest objects\nwith reliable photometry detected using UIT (see Fig. \\ref{hbuv}). ZNG4 was\nobserved spectroscopically by \\citet{ambika}, who identified chemical\nsignatures of diffusion, which only shows up among blue HB stars with $T_{\\rm\n  eff} \\ga 11000$ K. A likely explanation is that ZNG 4 ($T_{\\rm eff} = 8500$\nK) was once a hot blue HB star that evolved, and the chemical signature is\nleftover from the earlier phase. A significant convective envelope is not\nlikely to appear until the star reaches lower $T_{\\rm eff}$. We identify both\nstars as supra-HB stars, which probably trace evolution from midway on M13's\nHB, as discussed in the next subsection.\n\n\\subsubsection{Hot Post-HB Stars}\\label{supra}\n\nThe origin and evolutionary behavior of the hottest HB stars has implications\nbeyond stellar evolution --- these stars contribute to, and perhaps dominate,\nthe ultraviolet light from old stellar populations in galaxies\n\\citep{dro}. Recently, \\citet{brownm32} used a STIS UV CMD of the dwarf\nelliptical M32 to study the main stellar contributors in the ultraviolet: the\nhot HB, the AGB manqu\\'{e}, and the post-AGB.  The authors found that the CMD could\nconstrain the chemical evolution of the population, but that the post-HB\nevolution did not seem to be in good agreement with models. Although galactic\npopulations provide better leverage on the shortest stages of post-HB\nevolution, a massive globular cluster with a simpler population and precise\nphotometry should also constrain theoretical models.\n\nUsing a combination of ultraviolet and optical CMDs, we attempted to identify\nall stars that have evolved away from the hotter parts of the HB. As discussed\nin \\S \\ref{redhb}, theoretical HB models \\citep{dsep,piet06} with no helium\nenrichment agree that stars originating from the primary peak in the HB\ndistribution produce AGB stars exclusively --- the evolution of the stars\nkeeps them within about 0.2 mag of the HB until shortly before central He\nexhaustion. Core helium exhaustion occurs over a large portion of the star's\ncore due to convection during helium fusion, causing a star to adjust its\nstructure rapidly (in about a Kelvin-Helmholtz timescale) and move to the AGB\nclump.  However, during the time leading up to core exhaustion, the core\nconvection zone is decreasing in size, leaving behind a composition gradient.\nIn typical AGB stars, almost half of the AGB lifetime is taken up while the\nnew He fusion shell eats through this composition gradient.  During this time\nthe star's evolution pauses, producing a fairly well populated AGB clump about\n1 $V$ mag brighter than the HB \\citep{ferr99}.\nFigs. \\ref{hbtracks} and \\ref{hbter} show illustrative theoretical tracks and\nsynthetic HB populations from DSEP and Teramo using canonical physics and\nreasonable choices for chemical composition (nearly primordial helium\nabundance, for example). The top rows in both plots show tracks for stars\nwhich evolve near the HB and have normal AGB phases including an AGB clump.\n\n\nThe middle rows in Figs. \\ref{hbtracks} and \\ref{hbter} show stars that\nproduce stars that spend part of their lives as somewhat bluer than average\nAGB stars, but do not have an AGB clump phase. For these stars, the evolution\nas the He fusion shell consumes the composition gradient take longer (more than a Kelvin-Helmholtz timescale) and occurs at higher\nsurface temperature. Most of these stars can be put into one of two categories\nbased on whether they have colors bluer or redder than the ``knee'' of the HB\nin optical CMDs ($B-I \\approx -0.1$).  One group of stars sitting\napproximately 1 mag above what would be the horizontal part of the normal HB\n($14 < B < 14.5$ in Fig.  \\ref{hbopt}; $V \\approx 14.1$) corresponds to\n``supra-HB'' stars previously identified by \\citet{ss} and \\citet{zinn}.  This\ngroup includes ZNG 3 (AGB 75) and ZNG 4 (AGB 8), as well as AGB 27, 32, and 33\n(detected in F160BW using HST, and the reddest post-HB star marked in the\nupper left panel of Fig.  \\ref{hbuv}), 50 (also detected in HST F160BW),\n81, and two of the known BL Her pulsating variable stars (V1 and V6;\n\\citealt{kopacki02}). Type II Cepheids (a group that includes BL Her stars)\nare only found among stellar populations having a significant blue HB\ncomponent, as was noted by \\citet{wall} and \\citet{smwhe}.  As reviewed by\n\\citet{wall02}, the great majority of well-studied Type II Cepheids show no\nperiod change or increasing period, consistent with evolution toward the red\nand larger size.\n\nEven hotter post-HB stars are harder to identify in optical CMDs because of the\nsteepness of the HB in magnitude. Relatively small color errors can cause\nnormal HB stars to overlap stars that have evolved significantly in luminosity\nfrom hotter on the HB. When ultraviolet observations are used, these stars are\nmuch more easily separated by brightness (see Fig. \\ref{hbuv}). So-called AGB\nmanqu\\'{e} ~ stars fall in this category --- they are stars that have evolved away\nfrom the HB that will not reach the traditional AGB because the star's\nenvelope does not have enough mass to produce a giant-like structure.\nObservationally, this definition is hard to use because it requires\nreliable knowledge of the star's future evolution in the CMD. However,\ntheoretical calculations imply that there is a big change in track morphology\non the blue HB. The bottom rows of Figs. \\ref{hbtracks} and\n\\ref{hbter} show stars that would not have an identifiable AGB phase. \n\n\nThe main difference in the models with total mass less than about 0.54 $M_\\sun$\nat M13's metallicity is that hydrogen shell fusion is unable to provide much\nof the luminosity even during the core contraction following helium\nexhaustion. It appears that if $L_H$ at maximum does not surpass $L_{He}$\nafter the H fusion shell has reignited and stabilized, the star will remain at\nhigh temperature during the relatively slow helium shell adjustment.\n\n\nThe supra-HB and AGB manqu\\'{e} ~ stars in M13 identified with crosses generally fall\nmore than a magnitude above the faint envelope of HB stars. So for a fairly\nstandard chemical composition, models predict that the only evolution tracks\nthat produce hot post-HB stars come from bluer than some point between the two\nHB peaks in M13.\nObservationally, there is an apparent gap between two sets of\n``UV-bright'' stars in the UIT CMD in Fig. \\ref{hbuv}. While individual\noptical CMDs in Fig. \\ref{hbopt} may leave the impression of color gaps\nbetween groups of hot post-HB stars, the union of the optical CMDs (see Fig.\n\\ref{hbtervi}) indicates that there is a thin, fairly uniformly populated band\nparalleling the HB from its bluest to its reddest colors with a couple of\npost-HB stars even closer to the AGB clump.  There are a few stars in the ACS\nfield without UV photometry that will partially fill the gap between the two\ngroups of ``UV bright'' stars in the UIT CMD. As a result, we believe these\nstars are tracing out the slowest phase of post-HB evolution for stars that do\nnot follow traditional AGB tracks. A relatively small change in envelope mass\nleads to a drastic change in the morphology of the tracks for these stars.\nBecause M13's HB is well-populated near the end of the canonical HB (more so\nthan many other clusters with extended blue HB tails), the cluster is\nproviding us with a means of observationally ``seeing'' where the post-HB\nevolution pauses for a little.\n\nIndependent of how believable the gap in the UIT CMD is, the usable portion of\nthe UIT field does contain the majority of the hot post-HB stars, and does\nperhaps allow us to observationally identify the transition between an AGB\nmanqu\\'{e} ~ track and an post-early AGB track. AGB manqu\\'{e} ~ evolution is expected\nto be largely in luminosity, with redward color evolution increasing for\ncooler, more massive HB stars. The red edge of the group ($m_{1620} - V\n\\approx -1.7$) is thus a conservative upper limit for the HB stars producing\nAGB manqu\\'{e} stars, and this limit is bluer than the blue end of the primary HB\npeak.  The numbers of post-HB stars help to constrain the tracks further (see\n\\S \\ref{r2}).\n\nAs can be seen from Fig. \\ref{hbterviy}, the shape of post-HB evolution tracks\ndoes not change drastically with a modest increase in helium abundance to $Y =\n0.30$. Increasing helium abundance creates a larger luminosity gap between the\nblue end of the HB and the AGB manqu\\'{e} ~ stars, greatly increases the number of\nAGB manqu\\'{e} ~ stars relative to HB stars, and produces bluer manqu\\'{e} ~ stars that\nare more concentrated in color \\citep{brownm32}.  Because models of M13's HB\ninvolving helium-enriched stars predict that the bluest HB stars have $Y\n\\approx 0.38$ \\citep{dant08b}, these effects could be tested. Detailed\nsimulations are beyond the scope of this study, but to first order, the number\nof hot post-HB stars is quite small compared to HB stars in the same color\nrange (17 \/ 191 = 0.09 for $m_{1620} - V < -1.9$), which argues against large\nhelium enrichment.\n\n\n\n\n\n\n\n\n\n\n\\section{Population Ratios}\\label{ratios}\n\nOne of the primary reasons for this study was to examine evolutionary\ntimescales for stars in different life stages. We first recalculate the HB\ntype $(N_{BHB} - N_{RHB}) \/ (N_{BHB} + N_{VHB} + N_{RHB})$. Here BHB, VHB, and\nRHB stand for stars bluer, within and redder than the RR Lyrae instability\nstrip.) For M13, $N_{VHB} = 9$, and we have identified five possible RHB\nstars. Thus we have HB$_{\\mbox{type}} = 0.976\\pm0.006$.\n\n\\subsection{The Helium-Sensitive $R$ Ratio}\\label{rrat}\n\nThe $R = N_{HB} \/ N_{RGB}$ ratio compares the evolutionary lifetimes of HB and\nRGB stars, and is a sensitive helium abundance indicator (e.g.\n\\citealt{cass03}). Because of the claim that M13 stars may have high helium\nabundances \\citep{jb,cda}, it is particularly important to examine this\npopulation ratio.  Following the definition of \\citet{sal04} and\n\\citet{zocc00}, we used $V_{ZAHB}$ (the magnitude of the zero-age HB) as the\ncutoff for the RGB sample.\nThe determination of the faint limit for the RGB sample is important because\nthe numbers of RGB stars rises quickly with increasing magnitude. \n\nTo determine $V_{ZAHB}$, we applied two methods. For the first, we\nfollowed the procedure of \\citet{reb}, using a\ntemplate cluster of comparable metallicity and a well-studied RR Lyrae\npopulation (used to define the reference HB level $\\langle V_{RR}\n\\rangle$) to determine a relative magnitude shift. \\citeauthor{reb} used NGC\n1904 as the template for clusters near M13's metallicity after first\ndetermining $\\langle V_{RR} \\rangle$ through a comparison with M3. In their\ncomparison of photometry for NGC 1904 and M13 from the WFPC2 camera, they\nfound that M13's sequences are 1.20 mag brighter in $V$ than NGC 1904, with no\nrelative shift in color.\nThe corresponding $\\langle V_{RR} \\rangle$ value for M13 is therefore\npredicted to be $14.97 \\pm 0.07$, which results in $V_{ZAHB} = 15.06$. \n\n\n\nFor the second method, we determined the ZAHB almost exclusively from data on\nthe reddest blue HB stars, under the assumption that they are relatively\nunevolved and unenriched HB stars. (Based on additional arguments in \\S\n\\ref{bimodal}, we believe this is incorrect.) Our photometry does not have\nadequate time-coverage for direct determination of $\\langle V_{RR} \\rangle$.\nThe value determined by \\citet{kopacki02} ($14.83\\pm0.02$) was set by\ncomparison to photometry by \\citet{rey} that was in turn calibrated to\n\\cite{lan92} standards. Zeropoint differences between our dataset and\n\\citeauthor{kopacki02} should therefore be small. However, nonvariable stars\nat the blue end of the instability strip have $V = 14.90$ on average. Using\nthis as representative of the average HB level, $V_{ZAHB} = 14.99$.\n\nWe find $N_{RGB} = 483$ using the first method, giving $R = 795 \/ 483 = 1.65\n\\pm 0.09$ (error estimate from Poisson statistics). For the second method,\n$N_{RGB} = 465$ and $R = 1.71 \\pm 0.10$. In both cases, M13's $R$ value is\nabout $3 \\sigma$ higher than the theoretical calibration presented in\n\\citet{sal04} for $Y = 0.245$, and in agreement with their measurement of\n$R = 1.719 \\pm 0.197$ using a considerably smaller sample.\n\nThis does not account for the effects of HB morphology, however.  Theoretical\nmodels uniformly predict that blue HB stars have longer evolutionary times\nthan RR Lyrae variables or redder HB stars, which would produce high $R$\nvalues in clusters with blue HB morphologies. \\citet{zocc00}, for example,\nconducted an early examination of the effect of HB lifetimes on the $R$ ratio,\nand \\citet{sal04} found that clusters with HB$_{type} \\geq 0.8$\nshow a larger spread around the mean than clusters with redder morphologies,\nwhich implied that the exact morphology of blue HB clusters might be influencing\nthe $R$ ratio.  In \\citet{sh}, we described a method for correcting $R$ for\nvariations in HB lifetimes in a way that is based on observable quantities and\nis largely independent of chemical composition. The reader should see that\narticle for more details, but we briefly summarize it below.\n\n\nAccording to theoretical models, HB lifetimes vary similarly as a function of\nstellar mass and effective temperature, although the absolute value of the\nlifetime does depend on composition (see the lefthand panels of Fig.\n\\ref{hblife}).\nBased on this behavior, we defined a weighting factor\nfor each star in the HB sample:\n\\[w_i = \\frac{t_{HB}(\\log T_{eff} = 3.85)}{t_{HB}(\\log T_{eff})} \\]\nThe largest portion of the variation in HB lifetimes occurs on the blue tail\nfor $T_{eff} \\ga 10^4$ K for stars with low-mass hydrogen envelopes. By\nchoosing $\\log T_{eff} = 3.85$ (near the blue edge of the instability strip)\nas the normalization point, we can correct the blue HB lifetimes back to\nvalues representative of the more common variable and red HB stars, and the\n$R$ value can be realistically compared to values from large studies of\nclusters with redder HBs \\citep{sal04,zocc00}. The variation of the weighting\nfactors with $T_{eff}$ is shown in the righthand panels of Fig. \\ref{hblife}.\nAlthough there is some variation in the weighting factors with composition,\nthey clearly describe the lifetime variation to first order, so that residual\nuncertainties are at the level of a few percent. Further, the weightings {\\it\n  only} remove the effects of position on the HB, and do not reference the\nabsolute value of the HB lifetime, which depends on composition and physics\ninputs to the stellar evolution codes (e.g., the\n$^{12}$C($\\alpha,\\gamma)^{16}$O reaction rate; \\citealt{cass03}).\n\nAlthough color-$T_{eff}$ relationships remain imperfect, it is much more\nreliable to derive $T_{eff}$ from photometry than it is to derive the stellar\nmass. For example, the Grundahl $u$-jump has been found in many clusters with\nblue HB stars with $T_{eff} \\ga 11500$ K \\citep{ujumps}. In addition, the\ncanonical HB also seems to have a reasonably well-defined termination near\n30000 K. For the purposes of this study of M13, we have used the $T_{eff}$\ndeterminations from \\citet{moe03} using Stromgren photometry.\n\\citeauthor{moe03} also measured $T_{eff}$ spectroscopically, and while the\nspectroscopic measurements are in good agreement with the photometric\nmeasurements, the spectroscopic measurements are subject to significant model\nuncertainties at the faint end and appear to deviate systematically from\nphotometric determinations at the red end of the HB. These measurements for\nM13 do not go all the way to the faint end of the HB, so we have assigned\n$T_{eff} = 31000$ K to stars at the cutoff in the distribution ($I = 19.5$)\nbased on measurements of NGC 6752 \\citep{moe00}, which has similar metallicity\nand HB extent.\n\nAs expected from the analysis above, the use of different sets of models has a\nsmall effect on the weighted HB star total. In the case of some model sets\n(DSEP, \\citealt{swei87}), we needed to extrapolate the weighting corrections\nin the range $4.4 \\le \\log T_{eff} \\le 4.5$ for an extremely small number of\nstars. Overall the models agree that the HB sample should be corrected\ndownward by approximately 10\\%, with \\citet{cass04} ($Y = 0.23, Z = 0.0006$)\nand Sweigart ($Y = 0.25, Z = 0.001$) models giving $N_{HB}^{\\prime} = 716$,\nand DSEP ($Y = 0.248$, [Fe\/H] = $-1.5$) and Sweigart ($Y = 0.30, Z = 0.001$)\nmodels producing a lower $N_{HB}^{\\prime} = 703$. Thus, the corrected ratio is\n$R \\approx 1.47 \\pm 0.09$ and $1.51 \\pm 0.10$ for our two methods of\ndetermining $V_{ZAHB}$.  (The uncertainty introduced by the choice of models\nis significantly smaller than the Poisson uncertainties.) These values deviate\nfrom theoretical models for $Y = 0.245$ by about $1 \\sigma$.  Based on these\narguments, the $R$ ratio appears to rule out a global helium enrichment of\n$\\Delta Y = 0.04$ at a $3\\sigma$ level (since $dR\/dY \\approx 10$;\n\\citealt{cass03}).\n\nThe value of $R$ produced by this analysis rests on the accuracy of\nthe weightings used to correct the HB star total and on the\ndetermination of the faint cutoff for the RGB sample. If incorrect\nweightings were hiding a helium enrichment of $\\Delta Y = 0.04$ among\nM13 HB stars, they would need to have been overestimated by about\n28\\%. We remind the reader that the weightings are corrections {\\it\n  relative} to HB stars near the instability strip and are independent\nof the absolute value of lifetimes, so we believe that an overestimate\nof this magnitude would be difficult to produce. In addition, because\nwe used weightings derived from models with $0.23 < Y < 0.25$, this\nwould {\\it overestimate} the weights for the bluest HB stars if those\nstars are actually helium-enriched, not underestimate them. If\nanything, our $R$ measurement is biased slightly too high.\n\nTo hide a helium enrichment through a systematic error in the RGB\nsample, it would be necessary to overestimate the number of stars, which would\nrequire a faint limit that was too faint. To produce a measured helium\nenrichment of $\\Delta Y = 0.04$, our faint limit would need to have\nbeen at $V = 14.79$, or 0.20 mag brighter than our brightest\nestimate. Only a gross error in judging the level of the HB could\nproduce an error this big, but the majority of the RR Lyrae stars in\nthe cluster dispute that, having $\\langle V \\rangle \\approx 14.85$\n\\citep{kopacki02}. Even if the RR Lyrae stars are somewhat evolved,\nthey are still {\\it fainter} than the ZAHB level needed to produce a\nresult of $\\Delta Y = 0.04$.  (The RR Lyrae stars will be discussed\nmore below.) From other indications (such as $\\Delta V_{TO}^{HB}$),\nthe HB of M13 is likely to be brighter than average for globular\nclusters if it is deviant at all. As a result, we don't see a clear\nreason to dispute the helium abundance implied by the $R$ ratio.\n\nTo avoid issues with systematic effects, it is worth doing a {\\it relative}\ncomparison between M13 and M3. We assembled photometry for M3 from\n\\citet{ferrm3} and \\citet{roodm3}, along with averaged photometry for the\nlarge population of RR Lyrae variables from \\citet{benko} and \\citet{ccm3}.\nThis sample completely covers a $7\\arcmin \\times 7\\arcmin$ area roughly\ncentered on the cluster core. This contains 602 HB stars, which we\nsubsequently corrected for lifetime effects. Because M3's HB morphology is\nmuch more horizontal than M13's, we have used the $V-I$ color to determine\nlifetime corrections, in part due to questions about the calibration of the\n$B$ data in this cluster \\citep{valm3}. For stars that had no $I$ measurement,\nwe determined an empirical transformation from $B-V$ to $V-I$ using\nnonvariable HB stars from the \\citet{ferrm3} data. For a handful of RR Lyrae\nvariables that did not have average brightness information, we assigned the\nstar a color equal to the average color of variables of the same type (RRab or\nRRc). The details are fairly unimportant because the normalization for the\nlifetimes is based on stars near the blue edge of the instability strip (near\nthe middle of M3's HB) and because lifetimes are theoretically predicted to\nvary little except on the blue tail. For M3, the total lifetime correction\namounted to just over 1\\%, with a corrected value of 594 stars.\n\nThe cutoff magnitude for the RGB sample ($\\langle V_{RR} \\rangle$) for M3 can\nbe determined quite accurately, so that we only need to worry about possible\nzeropoint differences between the variable and non-variable star photometry.\nWe used $V_{ZAHB} = 15.70 \\pm 0.03$ from \\citet{ferrm3}, which was also\nthe source of the zeropoint for the HST observations of \\citet{roodm3}. The\nRGB sample brighter than $V_{ZAHB}$ is 444 stars, which gives $R = 1.34 \\pm\n0.08$. According to this analysis, the M3 sample is consistent with having\nlower average helium abundance than M13, but the values differ by slightly\nmore than the error bars and the implied difference in $Y$ is only about\n0.015. This is not enough to explain morphological differences in the CMD on\nthe subgiant branch or HB.\n\nThis is an interesting and somewhat surprising result that contradicts a\nnumber of previous studies of M3 and M13 that indicated that M13 is enriched\nin helium compared to M3. For example, in their discussion of globular\nclusters with multiple stellar populations, \\citet{dant08} identified M13 as a\ncluster composed almost entirely of stars enriched in helium by about $\\Delta\nY = 0.04$. In a later simulation, \\citet{dant08b} also model M13's HB\npopulation exclusively with helium enriched stars, but in this case with 70\\%\nof stars having ranging from $0.27 < Y < 0.35$ and 30\\% having $Y = 0.38$.\nFor comparison, their interpretation of M3's populations involves 50\\% of the\nstars having a near-canonical value of $Y = 0.24$ and 50\\% having $0.26 < Y <\n0.28$.  Even if M13's $R$ value is not corrected for lifetime variations, it\nstill falls short of the value expected for the relatively small helium\nenrichment of $\\Delta Y = 0.04$. We will discuss the cluster helium abundance\nin \\S \\ref{disc}.\n\n\\subsection{The $R_2$ Population Ratio and Post-HB Evolution}\\label{r2}\n\nAs the morphology of the HB becomes more blue, the evolutionary tracks\nof stars after the HB phase start to shift from traditional AGB tracks\n(starting in a clump at the faint end of the AGB and subsequently\nfollowing a track paralleling the RGB) to abbreviated AGB tracks\n(having an evolutionary pause separate from the traditional clump,\ntouching on the traditional AGB at moderate luminosities, and peeling\naway before reaching the tip) to manqu\\'{e} ~ tracks (retaining a surface\ntemperature thousands of degrees higher than any part of the\ntraditional AGB). M13 contains HB stars that clearly span this range\naccording to the number of traditional AGB, supra-HB, and AGB manqu\\'{e} ~\nstars we identified in \\S 5. In view of the continuing difficulties in\nexplaining the blue HBs of clusters like M13, we consider whether the\nAGB stars can reveal anything about the evolution or structure of the\nprogenitor HB stars.\n\nAt the simplest level, the $R_2=N_{AGB}\/N_{HB}$ ratio compares the relative\nlifetimes in the AGB and HB evolutionary phases.  \\citet{vargas} found that\nfor a sample of clusters with large samples of evolved stars (more than 200 HB\nstars) that the population ratio $R_2$ dropped well below the theoretically\npredicted value of 0.12 \\citep{cass04} for clusters with a HB type $\\ga\n0.8$ (mostly bluer than the instability strip).  When we include supra-HB and\nAGB manqu\\'{e} ~ stars in the AGB population, \nwe derive a value $R_2 = 90 \/ 795 = 0.113\\pm0.012$.  For the 4 clusters with\nthe reddest morphologies (HB$_{type} < 0.2$), \\citet{sb04} found $\\langle R_2\n\\rangle = 0.106 \\pm0.011$.  Clusters with $0.2 < \\mbox{HB}_{type} < 0.8$ had\nhigher values (M5: $0.176 \\pm 0.018$, \\citealt{sb04}; M55: $0.156\\pm0.023$,\n\\citealt{vargas}). Values for bluer clusters may be underestimated due to the\ndifficulty of identifying AGB manqu\\'{e} ~ stars using only optical filters.  Had\nwe not included AGB manqu\\'{e} ~ and supra-HB stars in the AGB star counts, we\nwould have calculated $R_2 = 61 \/ 824 = 0.074 \\pm 0.009$, completely\nconsistent with the low values plotted there for M30 and NGC 6752. In the blue\nHB cluster NGC 2808, \\citet{castel} were able to identify manqu\\'{e} ~ stars, and\nfound an $R_2$ value similar to ours. With proper identification of the\ndifferent types of stars, the $R_2$ values are consistent with observational\nvalues for bluer clusters and with theoretical predictions.\n\n\nBased on the bimodal distribution of HB stars (approximately 47\\% of HB stars\nin the brighter peak, and about 28\\% in the fainter peak), we might expect to\nsee evidence of an almost bimodal distribution of AGB stars with the manqu\\'{e} and\nsupra-HB stars evolving from the bluest HB stars.  The detected AGB manqu\\'{e} and\nsupra-HB population is $N_{manq}\/N_{AGB} = 29 \/ 90 = 0.32\\pm0.06$ of the total\npopulation. If we assume as a first-order approximation that all AGB stars\nhave equal lifetimes, then this implies that the manqu\\'{e} stars originate in the\nbluest 32\\% of the HB stars ($I \\ga 17.75$; $V \\ga 17.55$). This excludes the\nbright peak and the majority of the intermediate HB population (see Fig.\n\\ref{ihist}). Taking into account that bluer stars have longer lives (and so\nare over-represented in the HB population), the red boundary for HB stars\nproducing manqu\\'{e} stars should be further to the red.  When this is accounted\nfor using the weighting factors discussed in \\S \\ref{rrat}, the boundary falls\nat $I \\approx 17.3$ ($V \\approx 17.15$; $m_{1620} - V \\approx -3$). Both imply\nthe track morphology switches between the two maxima of the HB distribution,\nbut closer to the fainter peak.\n\n\n\n\\section{Discussion}\\label{disc}\n\nM13 is distinguished by its horizontal branch, and its horizontal branch is\nnotable for two reasons: the fact that the stars are almost exclusively bluer\nthan the instability strip, and the fact that there is a secondary population\nof stars grouped near the extreme end of the horizontal branch. Below we\ndiscuss evidence bearing on each of these points and try to put M13 in context\nof other globular clusters. However, before we do, we would like to state that\nthis is not intended as a complete survey of the subject, and we apologize for\nour limited ability to reference the many previous studies.\n\n\\subsection{The Bimodal Horizontal Branch}\\label{bimodal}\n\nIndependent of the position of the primary peak of the HB star distribution,\nthe cause of blue HB tails has not been definitively identified. Some studies\nhave identified relationships between HB tails and cluster dynamical\nparameters such as central density \\citep{bluetail} and total luminosity\n\\citep{rb06}, although neither of these can clearly explain differences\nbetween M3 and M13 because of their structural similarities (see Table 1).\nWhile blue tails can plausibly result from a process (such as mass loss or\nchemical self-enrichment) producing a large dispersion in properties, M13 has\na clear secondary peak in its HB distribution and this requires multiple star\npopulations or the action of multiple physical processes.  For example,\ntheoretical models predict that varying amounts of mass loss on the RGB from\nstar to star can produce a spectrum of outcomes from normal HB stars to early\nhot flashers (stars which leave the RGB before the helium flash, but ignite\nhelium shortly afterward) to late hot flashers (stars which ignite helium on\nthe white dwarf cooling curve) to helium white dwarfs (which never ignite\nhelium). To produce a secondary HB peak in this way, some mechanism must be\nconcentrating stars in the CMD, and it is difficult to see how this can be\naccomplished without almost complete loss of the hydrogen envelope for many\nstars on the RGB. On the other hand, the self-enrichment hypothesis explains\npeaks on the HB (not only at the blue end) via discrete populations of stars\nwith different chemical compositions. A peak at the blue end of the HB can be\naccomplished with a population of stars having extreme helium abundances ($Y >\n0.35$) because enriched stars leave the main sequence with lower total mass,\nand if the mass is low enough they will have almost no envelope by the time\nthey reach the TRGB. He abundances for these hot stars probably can't answer\nthe question directly (due to the action of diffusive and mixing processes),\nbut correlated enrichment of helium and carbon among the hottest stars in\n$\\omega$ Cen and NGC 2808 \\citep{moe04,moeom} is not predicted in the self\nenrichment picture.  As yet, there is no clear way of distinguishing between\nthese scenarios for EHB stars. However, clearer understanding of these stars\nmay provide new clues, so we compare M13 with other clusters with blue HB\ntails below.\n\nLike {\\it some} of the most massive clusters [NGC 2419, NGC 2808, $\\omega$\n  Cen, and NGC 6273 (M19)], M13 has a clear second peak at the blue end of the\nHB in optical filter bands. Even so, there is a range in the way the secondary\npeak appears. Some of the best comparisons of different clusters (with HBs\naligned in the optical) can be found in \\citet{pio}, \\citet{dale}, and\n\\citet{sh}.  Often there is a gap or edge feature in the HB star distributions\nas a function of an optical magnitude ($M_V \\approx 4.5, M_B \\approx 4.2$) and\nthis feature appears to separate blue hook stars from the EHB. In M13 (and\nalso NGC 6752; \\citealt{sabbi}), the secondary peak is almost entirely\nbrighter than the position of the gap. The secondary peak in NGC 2419 reaches\nits maximum among the blue hook stars, but appears to straddle the gap. The\nsecondary peak in M19 straddles the position of the gap, but differential\nreddening prevents the clear identification of a feature.  $\\omega$ Cen shows\na sharp edge in the HB distribution at about the position of the gap in NGC\n2419, with a much smaller fraction of stars just brighter than the gap. NGC\n2808 on the other hand appears to have almost all of its hottest HB stars\nfainter than the gap, but its population is a considerably smaller fraction of\nits HB stars.  Many other clusters with long blue HB tails do not show a\nsecondary maximum at the blue end of the HB, however. M54 \\citep{momany} and\nM15 appear to have produced blue hook stars, but there is little or no sign of\na secondary maximum. M80 \\citep{gaps} and M2 \\citep{momany} have HBs with a\nsimilar extent to that of M13, but do not show maxima. So clusters are capable\nof producing EHB populations comprising from nearly 0 up to 30\\% (for NGC\n2419) of the total HB tally, with distinguishing features even among the\nvery bluest HB stars in different clusters.\n\nAs emphasized in models \\citep{brown} and observations \\citep{momany},\nevolution of hot HB stars is mostly in luminosity and this can allow\nthe evolved stars to masquerade as brighter but less evolved HB stars\nin optical photometry due to steep bolometric corrections. To better\ncharacterize the populations at the end of blue end of the HB,\nultraviolet observations are needed. In near UV photometry ($U$,\nF336W), the effects of luminosity evolution become better separated\nfrom color distribution. As can be seen in Fig. \\ref{hbuv}, far UV\nphotometry (UIT B5, F160BW) mostly flattens the blue end of the HB in\nmagnitude, and should allow the optimum separation of luminosity and\ncolor effects. Far UV observations are not very common, and it is even\nrarer to connect observations in different UV wavelength bands.\n\nA small number of clusters have archival data in the near and far UV as well\nas optical bands. HST WFPC2 data is available from proposals 5903 (M80; F.\nFerraro PI), 6804 (NGC 2808; F. Fusi Pecci PI), and 8709 (NGC 6752, M2; F.\nFerraro PI). We processed images using HSTPhot in a manner similar to the M13\nimages. To compare different clusters, we identified stars at the red end of\nthe Grundahl $u$ jump in $U$ band from HB morphology or with the help of\nspectroscopic information (NGC 6752, \\citealt{moni}; NGC 2808,\n\\citealt{moni09}). The $u$ jump appears to have a common $T_{\\rm eff}$ in all\nclusters \\citep{ujumps}, and so we used it to register the CMDs by\ntemperature. In addition, blue HBs have a long segment at nearly constant $U$\nmagnitude \\citep{ferruv} that includes the $u$ jump, and in the F160BW band\nthe $u$ jump falls near the red end of a fairly flat segment reaching nearly\nto the end of the HB. Thus, this registration provides a convenient means of\ncomparing the extent of blue HBs in color and magnitude. It also avoids the\nneed to make large and uncertain corrections for reddening in UV\nbands \\citep{ccm} or for the time dependence of WFPC2 throughput\nin the UV \\citep{holtz}. Fig. \\ref{cmduf1} shows sets of CMDs shifted so that\nthe red end of the $u$ jump is at (0,0).\n\nA few conclusions can be drawn from simple comparisons. First, the large\npopulation of blue hook stars in NGC 2808 falls in a portion of the CMD\n($\\Delta U > 2, \\Delta(U-V) < -1$) that is not occupied by more than a few\nstars in any other cluster. It is worth remembering that these are not the\nbluest stars in the $\\Delta$ F160BW, $\\Delta(\\mbox{F160BW} - V))$ CMD. They\nare fainter ($\\Delta$ F160BW$ > 0.5$) and slightly redder than the blue end.\nThis is the origin of the ``blue hook'' moniker, and it is thought to be the\nresult of a helium-rich atmosphere resulting from flash mixing \\citep{brown}.\n\nM13, M2, and M80 have similar morphologies at the blue end of the $\\Delta$\nF160BW, $\\Delta(\\mbox{F160BW} - V))$ CMD, though the distributions of stars\ndiffer. The HB sequence dips faintward in the range $-2.4 \\la\n\\Delta(\\mbox{F160BW} - V)) \\la -2$ before rising again up to $(\\mbox{F160BW} -\nV)) = -3$. Most of the stars in the rising portion are also in the Momany $U$\njump (see Fig. \\ref{uf1zoom}). The identification between the upturn in F160BW\nand the Momany $U$ jump is clearest in M13 because of the large population of\nstars at the end of the HB. Some stars are found to the red in the ($U, U-V$)\nCMD for M2 and M80, although these may be blends with main sequence stars in\n$V$ band\\footnote{Main sequence stars contribute very little light in UV\n  bands, and so blends shift almost horizontally to the red in the CMD.\n  Because the F160BW$-V$ color has a longer wavelength baseline than $U-V$,\n  blends don't shift stars as much.}.\n\nThe correlation between stars in the Momany jump and the upturn in F160BW is\nnot perfect, but it suggests that there is a coherent group of stars to be\nfound on the extreme blue HB. The group does not fall at the precise end of\nthe HB though, as we find in each cluster small numbers of stars that are\nbluer and fainter in the F160BW and $U$ CMDs. This interpretation differs from\nthat of \\citet{momany}, who stated that the HB sequence appeared to make an\nalmost discontinuous jump in color ($\\sim 0.3$ mag) at constant $U$ magnitude,\nand extending faintward in $U$ (by $\\sim 0.5 - 0.7$ mag) at nearly constant\ncolor. The color histograms make it clear that the three clusters have very\ndifferent distributions, with M2's distribution declining toward the blue end,\nM80 with a broad but evenly spread group, and M13 with a well-defined peak and\na large fraction of the stars in the Momany jump.\n\n\nWhile no spectroscopic data exists in the literature for M13 stars in\nthis range, \\citet{moe03} examined cooler HB stars (8000 K $\\la T_{\\rm eff}\n\\la$ 21000 K) and found evidence of strong helium depletion and iron\nenrichment for $T_{\\rm eff} \\ga$ 12000 K. We can get additional guidance by\ncontrasting spectroscopic results for NGC 6752 \\citep{moni} against\nthose for NGC 2808 \\citep{moe04} and $\\omega$ Cen \\citep{moeom}. NGC\n6752, $\\omega$ Cen, and NGC 2808 all have noticeable vertical jump\nfeatures in ($U, U-V$) CMDs, but the most obvious jumps occur at\nlarger $T_{\\rm eff}$ in NGC 2808 and $\\omega$ Cen. In NGC 6752, there is\nconsistently helium depletion in the atmospheres of stars hotter than\nthe Grundahl jump at $T_{\\rm eff} \\approx 11000$ K, including the hottest\nstars observed.  In NGC 2808 and $\\omega$ Cen, stars with near-solar\nand super-solar helium abundances (and concurrent carbon enrichment)\nappear at temperatures above those seen in NGC 6752 ($T_{\\rm eff} \\approx\n31000$ K). Both spectroscopic signatures are consistent with the\npredictions of ``late hot flashers'': stars that ignite helium on the\nwhite dwarf cooling curve, and initiating convective mixing of the\nenvelope.\n\nWe are led to the same conclusion reached by \\citet{momany}: that the\nstars in the second $U$ jump are likely to be ``early hot\nflashers''. In this case, the existence of a working hydrogen-fusion\nshell is thought to inhibit convective mixing into the outer envelope\nduring core helium ignition. As a result, no clear spectroscopic\nsignature is expected and none has been found to date. Because helium\nenrichment of the envelope plays a role in producing blue hook stars\n\\citep{brown} by reducing atmospheric opacity shortward of the Lyman\nlimit (and reducing redistribution of flux to longer wavelengths), we\nexamined the data for spectroscopically studied stars in the Momany\njump within NGC 6752 \\citep{moni}.  We found no correlation between\nmeasured helium abundances [which covered the range $-3.26 \\le \\log\n  (n_{He} \/ n_{H}) \\le -1.58$] and $U$ magnitude, which seems to\nconfirm that the envelope is still dominated by hydrogen. The scatter\nin helium abundance appears to be interesting, however --- when\n\\citet{moni09} combined their measurements for M80 and NGC 5986 stars\nwith those from NGC 6752, they found consistent helium depletion for\nstars hotter than the Grundahl jump at $T_{\\rm eff} \\approx 11000$ K, but\nalso found stars with larger depletions and generally larger\nstar-to-star scatter in two temperature ranges (13000 K $\\la T_{\\rm eff}\n\\la$ 18000 K and 25000 K $\\la T_{\\rm eff} \\la$ 31000 K).\n\nBoth of the helium depletion features appear to be associated with the $U$\njumps, although the details probably differ. For the Grundahl jump, stars that\nare hotter than the jump are uniformly brighter in the Stromgren $u$ filter\nthan a canonical ZAHB. By contrast the stars associated with the second $U$\njump in M13 are brighter than the majority of HB stars of similar (but higher\nor lower) temperature, as seen in the $U$ and F160BW filters.\nObservationally, the radiative levitation of heavy elements and the downward\ndiffusion of helium almost certainly must be involved because all stars with\n$T_{\\rm eff} \\la 11000$ K (excepting blue hook stars) are found to have some degree\nof surface helium depletion, but the mechanics are still being debated. The\ntransition at 11000 K is associated with the near-disappearance of the surface\nconvection zone, but recent models \\citep{mich} indicate a need for a low-mass\nmixed layer near the surface to moderate the build-up of metals. There may be\nreason to attend to the effects of rotation because a discontinuity in\naverage rotation speeds also appears at around this temperature (with hotter\nstars largely being slow rotators; \\citealt{pete,behr03}).\n\nBased on the evidence above, we considered whether progenitors of extreme HB\nstars such as early and late hot flashers can be identified on the RGB. Early\nhot flashers are theoretically expected to only leave the RGB near the tip,\nwhile late hot flashers could leave at lower luminosities. While M13 appears\nable to produce both kinds of hot flashers, the second $U$ jump\nstars (our early hot flasher candidates) are much more abundant. Thus, we\nwould expect that clusters with similar HB morphologies (like NGC 6752, M2,\nand M80) to show symptoms of this near the TRGB if anywhere.\n\nStrangely, \\citet{sned} found that M13's known ``super O-poor'' stars ([O\/Fe]\n$< -0.4$) have high Na abundances and most appear very close to the RGB tip\n($M_V^0 < -2.3$), indicating the possible exposure of heavily processed\ngas at the surface. For perspective, \\citet{carr06} summarize literature data\nfor the well-known anticorrelation between [O\/Fe] and [Na\/Fe] for stars in 20\nclusters, and \\citet{carbrag} present new spectroscopic data for 19 clusters.\nThe extent of the O-Na anticorrelation varies from cluster to cluster, but it\nprobably requires nuclear processing under conditions that cannot be produced\nin gas that can be mixed to the surface in low-mass stars. This has led to the\nsupposition that it results from pollution by previous generations of more\nmassive stars. Even so, super O-poor stars are quite rare and, to the best of\nour knowledge, have not been seen among relatively unevolved turnoff and\nsubgiant branch stars \\citep[see][]{carr06}, although this could be due to\ndifficulties in detecting low oxygen abundances among faint stars. \n\nIn addition, the cluster NGC 2808 has a large population of blue hook stars\nand seemingly few or no early hot flasher candidates, and contains super\nO-poor stars as well \\citep{carr06} but these are fairly uniformly spread down\nthe RGB (although those authors did not observe stars at the tip of the RGB).\n$\\omega$ Cen also has a large population of blue hook stars, and appears to\nhave a population of super O-poor stars \\citep{nda}. In the cases of NGC 2808\nand $\\omega$ Cen though, there is clear evidence of both self-enrichment and\nmultiple populations, which may complicate the interpretation.\n\nExamination of bright giants in NGC 6752 \\citep{yong03,carbrag} have\nrevealed no super O-poor stars. In addition, Mg isotope ratios in M13\n\\citep{sned} and NGC 6752 are correlated with the O depletions among bright\ngiants, but the conditions necessary to process Mg are not expected in RGB\nstars based on current nuclear reaction rates. The sample of \\citet{carbrag}\nhints at the possibility of smaller populations of super O-poor stars in\nclusters like NGC 3201 and M5, neither of which have extreme HB stars.\n\n\n\n\n\n\n\nThough there is strong evidence of mass loss effects on the extreme BHB, there\nis still little to connect this directly to the properties of stars still on\nthe RGB. One outstanding question that deserves theoretical attention involves\nthe position (redder than the extreme end of the HB) and clumping of the early\nhot flasher candidates in the CMD.  Even if helium is enriched overall in the\nbluest HB stars, some non-standard physics is probably required to produce\ntheir observed characteristics because helium-enriched EHB stars should be\nfainter than ones with primordial helium abundance. We can suggest two types\nof observations that might help to clarify the situation. First, in clusters\nwith stars concentrated near the blue end of the HB, stars at the TRGB may\nhave chemical peculiarities similar to those in M13 if they are preparing to\nhave early hot helium flashes. If found, this could result from excessive mass\nloss or from highly helium-enriched stars, but it would connect RGB and\nextreme HB stars. Second, in clusters with predominantly red HBs, spectra for\nblue HB stars in a limited range of $T_{eff}$ near the instability strip may\nreveal their initial helium abundances \\citep{villa}. This would be a direct\nobservational test of whether helium enrichment has produced {\\it any} blue HB\nstars. While there is circumstantial evidence of helium enrichment in clusters\nlike NGC 6388 and NGC 6441 \\citep{busso}, spectroscopic proof should be\npossible.\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\\subsection{``Second Parameter'' Effects on the HB}\n\nBecause the $R$ ratio seems to rule out previously suggestions of\nhelium enrichment in M13, we discuss the literature on M13 to see if the\nobservations can be reconciled.  The main evidence pointing toward a helium\nenrichment falls into several categories: 1) morphology of the HB, 2)\nluminosity of the HB and the RR Lyrae variables, and 3) morphology of the\nsubgiant branch.\n\n\\subsubsection{HB Morphology}\n\nM13 and M3 have long been a ``second parameter pair'' based on the\ndistribution of stars on their HBs --- the small difference in [Fe\/H]\n(the ``first parameter'') between the two clusters is unable to\nexplain the much bluer HB stars in M13. Before discussing further, we\nemphasize that we are mainly considering the shift in the CMD position\nof the ``most representative'' HB stars in the two clusters, and not\nthe differences in the shape of the HB distributions. Our goal is not\nto model the HB morphology in detail. M13 has an unexplained\nbimodal HB distribution as well as a significant number of stars\nbetween the two peaks, but arguably the brighter peak ($15 < V <\n15.5$; slightly bluer than the instability strip) is the most\nrepresentative based on star numbers.  By contrast, M3 has a unimodal\ndistribution with the peak of the distribution falling within the\ninstability strip \\citep{valm3}.\n\nEarlier studies \\citep{fusi93,bluetail} have used $(B-V)_{peak}$ (the\ndereddened color of the peak of the HB star distribution) as a way of\ndescribing the most representative HB stars in clusters, although this\nindicator starts to lose sensitivity on the steep blue tail. We used\nour earlier results from histogramming the $I$ magnitudes of HB stars,\nand then translated the resulting position to the $(B-V)$ color using\na fiducial line.  We find $I_{peak} \\approx 15.25$ and $(B-V)_{peak}\n\\approx -0.05$. For comparison, \\citet{bluetail} give $(B-V)_{peak} =\n0.30$ for M3. If the clusters have nearly identical chemical\ncompositions, this corresponds to a difference of about $0.06 M_\\sun$\nin HB star mass (Teramo models).  Unfortunately, this does not\ntransform to a similar mass difference at the cluster turnoff if\ncommon red giant mass loss formulas are applied because they are\nnonlinear with star mass. If M13 is helium enriched compared to M3 by\n$\\Delta Y = 0.05$, the mass difference is virtually the same. Helium\nenrichment in M13 does not remove the need for a difference in mean\nmass between its HB stars and those in M3.\n\nThe mass difference can be explained with reasonable assumptions in\nboth the $\\Delta t$ and $\\Delta Y$ hypotheses, and we refer the reader\nto \\S 1 for a brief summary of recent attempts to model M13's HB.  In\nthe $\\Delta t$ hypothesis, M13's stars are older than M3's. In the\n$\\Delta Y$ hypothesis, helium enrichment allows less massive stars to\nleave the main sequence earlier, {\\it but} a large amounts of mass\nloss is still necessary for each star. While this may be correct, the\npicture is not fully motivated by physical reasoning.  As discussed in\n\\S \\ref{redhb}, the sharp red edge of the bright peak and the population\nof redward-evolving HB stars may provide new constraints on fits in\nthe $\\Delta Y$ hypothesis. We encourage synthetic HB studies that pay\ncloser attention to these features.\n\n\\subsubsection{The Luminosity of the HB}\\label{lhb}\n\nThe luminosity of the HB is most strongly affected by metallicity and helium\nabundance ($\\delta V_{HB} \/ \\delta Y \\approx -4$ mag), and is insensitive to\nage. However, without accurate and independent measurements of distance and\nextinction, the luminosity must be determined relative to other cluster\nstars. Most commonly, the reference landmarks are found among MS stars (such\nas the turnoff or a fainter point identified with the help of the turnoff) or\nRGB stars (like the RGB bump).  These methods have generally indicated that\nM13's HB is luminous compared to other clusters, but the reference points\nusually have the disadvantage of having their own dependencies on\ncomposition and age that complicate the interpretation. In the discussion\nbelow, we will focus on the $\\Delta Y = 0.04$ \\citep{jb} and $\\Delta t = 1.7$\nGyr \\citep{rey} hypotheses for explaining differences between M3 and M13, but\nwe must consider the evolution hypothesis (see \\S 1) at the same time.\n\nWhen the cluster turnoff is used as a reference, it introduces a dependence on\nage ($\\delta V_{TO} \/ \\delta t \\approx 0.075$ mag \/ Gyr; \\citealt{cda}) and\nincreases the dependence on helium ($\\delta V_{TO} \/ \\delta Y \\approx 1.5$\nmag; \\citealt{cda}).  We determined $V_{TO} = 18.59\\pm0.05$, which gives\n$\\Delta V_{TO}^{HB} = 3.69 \\pm 0.07$ if we apply our value for $V_{HB}$ at the\nblue edge of the instability strip. This value is larger than any previously\nquoted (see \\citealt{jb} for a summary), and if we use the \\citet{kopacki02}\nvalue for $\\langle V_{RR}\\rangle$, the value would be higher still (3.76 mag).\nThe larger values of $\\Delta V_{TO}^{HB}$ depend entirely on\nwhether the RR Lyraes and ``reddest blue HB'' stars near the instability strip\n(see \\S \\ref{redhb}) are evolved or not. Both \\citet{jb} and \\citet{rey}\nobserved much smaller samples in M13, and an examination of their CMDs shows\nthat together they only observed two ``reddest BHB'' stars among the 55 we\nidentified --- understandable considering that most of these stars are in the\ncore of the cluster. As a result, \\citeauthor{jb} quote a value for $V_{HB}$\nthat is 0.19 mag fainter than ours.  We also note that like the studies of\n\\citeauthor{jb} and \\citeauthor{rey}, our photometry for the HB and turnoff\nregions are on a consistent zeropoint.  We see no reason to dispute earlier\nvalues of $\\Delta V_{TO}^{HB}$ for M3, given that M3's HB is well-populated on\neither side of the instability strip.  So if M13's reddest HB stars are not\nevolved, it has an extreme value for $\\Delta V_{TO}^{HB}$ (almost 0.2 mag\nlarger than that of M3), and this is consistent with both the $\\Delta t$ and\n$\\Delta Y$ hypotheses.  To find the cause (the HB, TO, or both), we need\nother reference points.\n\n\\citet{ferruv} conducted a similar comparison between M3 and M13 using HST $U$\nobservations. In $U$, the subgiant branch and a section of the blue HB become\nflat, making them excellent magnitude references. The authors found no\nsignificant difference between the $\\Delta U_{SGB}^{HB}$ derived for the two clusters.\nWhile this does not directly bear on the luminosity of the HB near the\ninstability strip, it is an indication that the bluer HB of M13 has a normal\nluminosity compared to M3.\n\nThe red giant bump can also be used as a reference point, dependent on helium\nabundance ($\\delta V_{bump} \/ \\delta Y \\approx 1.5 - 2 $ mag;\n\\citealt{riello,cda}) and age ($\\delta V_{bump} \/ \\delta t \\approx 0.035$ mag\n\/ Gyr; \\citealt{cda}).  The observed value for the difference $\\Delta\nV^{bump}_{HB}$ can be put in context using the catalogs of \\citet{ferr99} and\n\\citet{dice}. To ensure a reliable comparison, we calculated the correction\nfrom $V_{HB}$ to $V_{ZAHB} = 14.96$ according to the \\citeauthor{ferr99}\nprescription.  We therefore derive $\\Delta V_{HB}^{bump} = -0.21$, which falls\nright among those for clusters of similar metallicity (for example, M3 has\n$-0.23 \\pm 0.07$).  However, their tabulated value for $V_{ZAHB}$ is 0.14 mag\nfainter than ours --- this is partly a reflection that the photometry they\nused \\citep{palt} lacked stars near the instability strip, and partly that\nthey used synthetic HB calculations to derive the level of the ZAHB relative\nto the HB stars they did observe. Using the fainter ZAHB, M13's value for\n$\\Delta V_{HB}^{bump}$ becomes significantly different from M3's value, and\nfalls at the low end of the distribution for similar clusters. So if the RR\nLyraes are showing us the true ZAHB level, neither age nor helium changes are\nnecessary but can't be ruled out because the expected changes are $1 \\sigma$\nlevel. If the ZAHB has a fainter level, rather large differences are needed\n($\\Delta Y = 0.06 - 0.09$, or $\\Delta t = 3.5$ Gyr). The tabulation of\n\\citet{dice} measured values for both M3 and M13 using homogeneous photometry\nand a template-fitting method for determining $V_{ZAHB}$ for troublesome\nclusters like M13 that have very blue HBs. Their $\\Delta V_{HB}^{bump}$ values\nare in agreement to within the measurement errors.\\footnote{\\citet{cda} also\n  used the position of the RGB bump relative to the turnoff ($\\Delta\n  V_{TO}^{bump}$) as a potential helium indicator, with larger magnitude\n  differences implying higher helium. In their comparison, they found that M13\n  had a magnitude difference that was $0.14 \\pm 0.09$ larger than that of M3,\n  which they admitted had relatively low significance.  Because our photometry\n  of the bump and main sequence constitutes a homogeneous dataset with a much\n  larger number of stars, we checked their quoted bump and turnoff magnitudes\n  (derived from the photometry of \\citealt{palt}). We find there is a rather\n  large difference in color (0.08 mag) between the \\citeauthor{palt}\n  photometry and ours, but the $V$ magnitudes are almost identical to ours.\nOn their own, the RGB bumps of the M13-M3 pair do not give a strong constraint\non helium abundance, although \\citeauthor{cda} showed that clusters with\npredominantly blue HBs had larger $\\Delta V_{TO}^{bump}$ than clusters that\nhave strong populations in the instability strip.}\n\nThe brightness of the AGB clump is fairly independent of metallicity\n\\citep{ccp}, but when the magnitude difference with the HB is formed, the\ndependences on helium abundance and RGB progenitor mass almost completely\ndisappear \\citep{pulone,cass01}. Although M13 has a sparsely populated AGB\nclump, there is a fairly clear grouping of 12 stars at $V = 14.19$. Using the\nbright ZAHB level from the previous paragraph, we have $\\Delta V_{HB}^{AGB} = -0.77$.\nThis is slightly smaller than the value for M3 ($-0.88 \\pm 0.10$) from\n\\citet{ferr99}, but only about $1 \\sigma$ different. If the fainter ZAHB level\nis applied, the M3 and M13 values agree to within about 0.03 mag. The results\nmight also be affected by likely lower mean HB mass in M13 compared to M3,\nwhich affects how the clump is populated and would tend to reduce the\nluminosity of the clump. We consider this weak evidence in favor of the\nfainter ZAHB level.\n\nThe HB luminosity can be constrained using the end of canonical HB as a\nreference in clusters with long blue tails.  Like NGC 6752, M13's HB appears\nto terminate essentially at the end of the canonical HB, and we identified\nblue hook candidates (in \\S \\ref{notable}) and second $U$ jump stars (in \\S\n\\ref{bimodal}) that mark points in the HB near the end.  Models show that the\ndifference in magnitude between the termination of the blue HB and the blue\nend of the instability strip grows substantially larger with increasing helium\nabundance, mostly because the horizontal part of the HB gets brighter. The\nfaint end of the HB is fairly insensitive to helium abundance because the\nhydrogen-rich envelopes of the stars are almost gone.  If the end of\ntheoretical ZAHBs are shifted in magnitude to fit the end of M13's HB, the\nbright end is consistent with primordial helium values (see Fig.\n\\ref{hbends}). While the fit is understandably uncertain due to the gap\nbetween the HB stars and the blue hook stars in optical filters, the Teramo\nevolutionary tracks do go nearly parallel to the faint envelope of HB stars\n(see Fig. \\ref{hbtervi}).  The fit seems to rule against helium enrichment\namong stars within and redder than the primary peak.  Evolutionary effects\namong the reddest HB stars would tend to bias toward an indication of helium\nenrichment, so this result seems fairly robust. Spectroscopic measurements of\nstars near the red end of the HB in M13 and NGC 6752 also support the idea\nthat the outer envelopes have {\\it not} been significantly processed through\nthe CNO cycle, and (in NGC 6752) still have primordial helium abundance\n\\citep{villa}.\n\nAlternately, if the ZAHBs are fit to the red end of the HB, helium-enriched\nZAHBs are far too red at the faint end, lending additional credence to models\nwith canonical composition. However, current models of the bluest HB stars do\nnot fully incorporate important physics such as diffusion and radiative\nlevitation, and these effects seem to be responsible for the $u$ jump and the\nintra-peak HB stars that are brighter than canonical models. As a result, \nfits to the HB should be treated somewhat skeptically.\n\nFinally, we consider the distance moduli implied by the HB (specifically the\nRR Lyrae stars) and by the TRGB. Both of these features are in common use as\nstandard candles, and a comparison of the resulting values might also give us\nclues on whether the HB is unusually bright. The absolute magnitude of the\nTRGB in $I$ is almost independent of age and chemical composition. From the\ncalibration of \\citet{bella}, we calculate $M_I^{TRGB} = -4.07$, which gives\n$(m-M)_I = 14.35$. The distance modulus could be smaller than this if by\nchance M13 does not contain RGB stars very near the flash stage. To evaluate\nthis possibility, we can use a binomial distribution to calculate the\nprobability that at least one star is within a certain magnitude range of the\nTRGB. In our cluster-wide sample, there were 271 stars brighter than the RGB\nbump ($I < 13.6$).  Using theoretical RGB luminosity functions that fit M13's\npopulation (see \\S \\ref{rgb}), stars brighter than that level have an\napproximately 0.4\\% chance of being within 0.01 mag of the TRGB, so that a\ncalculation using the binomial distribution predicts a 70\\% chance of having\nat least one of the 271 stars within that interval. The probability rises to\nabout 90\\% that at least one star is within 0.05 mag of the TRGB, so this is\nprobably a minor source of error. \n\nAll of the brightest RGB stars are known to be semi-regular variables\nincluding the brightest (V11), having an amplitude of about 0.13 mag in $V$ and\na timescale for variability of about 30 d \\citep{kopacki02}. As a result, the\nvariability of the brightest giants is a significant source of error in our\ndetermination of $I_{TRGB}$. Though \\citeauthor{kopacki02} made observations\nover 70 d (more than two cycles for most giant variables), it is possible they\ndid not sample the full amplitude of variation.  Our CFHT $V$ measurement of\nV11 (which was used above) was 0.15 mag brighter than the average given by\n\\citeauthor{kopacki02}, while our KPNO observation was only about 0.06 mag\nbrighter (barring zeropoint differences). If we can assume that the $I$\nobservations are off by similar amounts, this gives $(m-M)_I \\approx 14.5$.\nThe range of variation for other bright RGB stars (V17, V24, V38, and V42)\noverlap that of V11, and all but one give corrected distance moduli within\n0.03 mag of the V11 value. V17 gives a significantly brighter value (14.37),\nbut it also has the largest amplitude (0.38 mag) of the red giant variables\ntabulated by \\citeauthor{kopacki02}.\nWe believe the agreement among 4 of the 5 variables is sufficient to\nidentify the TRGB, which in turn implies $(m-M)_0 = 14.48$ with a very\nconservative uncertainty of 0.10 mag.\n\nAlthough there is still considerable discussion of the RR Lyrae\n$M_V-$[Fe\/H] relation, recent consensus views \\citep[e.g.][]{catrr}\nimply a mean RR Lyrae value $M_V^{RR} = 0.62$ for M13's metallicity.\nWith $\\langle V_{RR}\\rangle$ from the \\citet{kopacki02} observations\nof M13 RR Lyraes, this gives $(m-M)_V = 14.21$ . The disagreement with\nthe TRGB distance modulus can again be relieved if the RR Lyraes in\nM13 were significantly evolved or were helium enriched ($\\Delta Y\n\\approx 0.05$). If we use the TRGB distance modulus and $M_V^{RR}$ to\ncalculate the brightness of the HB, we find $V_{HB} = 15.07$. This is\nfainter than all of the ``reddest BHB'' stars but approximately the\nsame brightness as the blue end of the primary peak.\n\nOnce again, a comparison with M3 is useful, thanks to that cluster's\nhuge RR Lyrae population. \\citet{jurc} identified 4 groups of RR\nLyraes with different brightness and light curve parameters, with the\nmost abundant group of 50 stars having $\\langle V\\rangle =\n15.67$. Their most evolved group (32 stars), which the authors\nhypothesized were evolving redward, had $\\langle V\\rangle =\n15.53$. The difference between $\\langle V\\rangle$ for the most evolved\nRR Lyraes in M3 and that of M13's RR Lyraes is most consistent with\nmagnitude differences derived from comparing points like the RGB bump\nand AGB clump \\citep{ferr99}.\n\nEvolution is also expected to affect the pulsational properties of stars\nwithin the instability strip because the mean density of evolved stars is\nlower than for unevolved stars, resulting in larger periods. We could expect\nto discern evolutionary effects in several ways: based on observations derived\nsolely from the light curves (such as the Bailey period-amplitude diagram),\nperiod-luminosity relationships (with luminous RR Lyraes having longer\nperiods), and color distributions (with evolved stars likely to be spread more\nevenly through the instability strip due to their short evolutionary timescale).\n\nIf variability information (such as period and variation amplitude) can give\nunambiguous evolutionary information, it should be preferred because such\nmeasurements can generally be made to higher precision than can determinations\nof average magnitude or color. Fig. \\ref{avp} shows $V$ amplitude and period\ndata for M13 RR Lyrae stars from \\citet{kopacki02} in the Bailey diagram. The\nsingle known RRab cluster variable (V8) has an even longer period than the\n``well-evolved'' stars in M3 identified by \\citep{caccm3}. Because V8 is also\nthe reddest RR Lyrae and evolutionary tracks in this part of the CMD are\nexpected to slope brightward toward the AGB, it would not be surprising if it\nshowed an evolution signature. In M13, the three BL Her stars (Population II\nCepheid variables) fall approximately in the part of the CMD where stars that\nhave evolved from the blue HB tail are predicted to pass, and their periods\n(all greater than a day) also support evolved status. However, V8's $\\langle V\n\\rangle$ is fainter than most of the RRc variables. Given the amount of\nscatter seen in larger samples of RR Lyraes (see below), this can't be\nconsidered evidence.\n\nRRc variables are more abundant in M13, so an evolutionary signature among\nthese stars would be more compelling. Four of the RRc variables have periods\nconsistent with the ``well-evolved'' RRc stars in M3, but with somewhat lower\namplitude (one exception falls on the M3 relation). The remaining 4 (V7, V31,\nV35, V36) have periods consistent with the regular variables in M3 but again\nwith low amplitudes. There is no evidence of separation in average $V$\nmagnitude between the two groups however, weakening the idea that evolutionary\neffects can be identified solely from the periods of the RRc variables.\n\nTo put M13 in better context, we assembled literature data for\nother Oosterhoff group II clusters (hereafter, OoII). For a few\nin this group, the instability strip is heavily populated, leading to\nan expectation (based on evolution timescales) that a large\nproportion of the RR Lyraes should be near the ZAHB. Clusters in this\ncategory include $\\omega$ Cen \\citep{kom,oom}, NGC 2419 \\citep{rip}, \nNGC 5286 \\citep{zoro}, M68 \\citep{walkm68,clemm68}, and M15\n\\citep{corm15,ssm15}. These clusters have relatively low HB$_{type}$ values\n($\\le 0.8$), and NGC 2419 and M68 have significant red HB populations as\nwell. Both of these factors imply that there are likely to be unevolved stars\nin the instability strip. This group of OoII clusters, however, is outnumbered\nby clusters like M13 that have almost exclusively blue HB stars. For example,\nM2 \\citep{lazm2,lcm2} is a massive cluster that has more RR Lyrae stars than\nM13, but still has a very small fraction of its stars in the instability\nstrip. For comparison, we compiled data for clusters with only a few RR\nLyraes, under the hypothesis that these stars are more likely to have evolved\nfrom the blue HB\\footnote{References for RR Lyraes in ``BHB Clusters'' are: M9\n  \\citep{csm9};\nM30 \\citep{pkm30}; M55\n  \\citep{olechm55}; M80 \\citep{wbhm80}; M92 \\citep{kopm92,cm92}; NGC\n  288 \\citep{kkn288}; NGC 5897 \\citep{wn5897,crn5897}; NGC 5986\n  \\citep{abon5986}. \n}.  The Bailey diagrams ($V$ amplitude versus\nperiod) for the different samples are shown in Fig. \\ref{avp}.\n\n\n\n\n\n\nM13 RRc variables fall in parts of the Bailey diagram that are commonly\noccupied by variables in other OoII clusters.  In the BHB cluster group and\nmost of the other clusters, a significant fraction of the RRc variables fall\nnear $(A_V, \\log P) = (0.45, -0.41)$.  This group appears largely independent\nof cluster metallicity.  The main exceptions are NGC 5286, which is more metal\nrich than M3 and has an analogous group that is much closer in period to M3\nRRc variables, and M2, which doesn't have a clear concentration of RRc\nvariables in the Bailey diagram.  The second identifiable group of M13 RRc\nvariables overlaps with groups in the BHB Cluster sample and in $\\omega$ Cen,\nand has $\\log P \\approx -0.5$ and $A_V \\le 0.5$. From these diagrams, we\nconclude that there are not clear evolutionary signatures that be inferred\nfrom the Bailey diagram alone.\n\nStrangely, there are proportionately few short period, low amplitude RRc\nvariables in the ``protoypical'' OoII clusters M15 and M68. In addition, both\nof these clusters have populations of double-mode RRd variables that largely\nreside in a small range of color between the RRab and RRc variables\n\\citep{ssm15,walkm68}.  Such a distribution is unlikely if most of the stars\nare evolved BHB stars --- evolution accelerates as a star moves redward toward\nthe AGB.  Conversely, we find that the shortest period ($\\log P \\la -0.46$)\nRRc stars are the bluest RR Lyrae stars in OoII clusters. Many of the known non-radial pulsators in OoII clusters\n\\citep{kopacki02,olechm55,kopm92} are also found within this group.\n\nAt best, we find that Bailey diagrams for OoII RRc stars provide some\ninformation about average colors. This is somewhat useful for\nexamining the effects of evolution within individual clusters because\nsome color distributions (especially ones biased toward the red) are\nincompatible with model predictions. However, the RRc don't appear to\nfollow patterns implied by M3, in which ``well evolved'' stars appear \nshifted to greater period.\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nIn summary, the majority of the evidence from photometric indicators implies\nthat the M13 RR Lyraes (and nonvariable stars of similar color) are\nsignificantly brighter than the ZAHB level. The most notable exception\ninvolves the comparison to the RGB bump, while the pulsation properties of the\nRR Lyraes themselves \nare somewhat ambiguous. If\nthe reddest HB stars are discounted as significantly evolved, then M13's blue\nHB appears to fall at approximately the same luminosity level as M3's and the\nevidence for helium enrichment or age differences from this is removed.\n\n\n\n\n\n\n\\subsubsection{Subgiant Branch Morphology}\n\nAs mentioned earlier, one of the more unusual aspects of M13's CMD is the\nsteeper slope of its subgiant branch in comparison to M3's. This was\ninterpreted as resulting either from helium enrichment \\citep{jb} or greater\nage \\citep{rey}. Both of the cited papers used the so-called ``horizontal\nmethod'' to compare the ages of clusters with other clusters or isochrones.\nHigher helium abundance or age tends to shorten the length of the subgiant\nbranch, so that if the turnoffs are aligned in color and fainter main\nsequence points (usually 0.05 mag redder than the turnoff) are subsequently aligned in\nmagnitude, the relative position of the giant branch reveals the difference.\nIt has been verified repeatedly that there is a difference between M3 and M13,\nbut the cause is unclear.\n\nWe can attempt to look at the problem from a different angle by realizing that\nage and helium enrichment affect the absolute colors of the turnoff and red\ngiant branch in different ways. An increase in helium\nabundance reduces the opacity of the stellar envelope, making surface\ntemperature higher at both the turnoff and on the red giant branch. On the\nother hand, increased age makes both the turnoff and red giant branch redder,\nalthough the effect on the giant branch is very small.\n\nBecause reddening and metal abundance differences have large effects, reliable\ncomparisons of absolute colors can only be done when these are\nwell-determined --- M3 and M13 are probably the best example of such a pair.\n\\citet{stet98} discusses them in this respect, but we expand on the\narguments here.  The reddenings for the two clusters appear to be small and\nvery similar (M13 probably with the larger reddening by $\\Delta E(B-V) <\n0.01$; \\citealt{schlegel}) and their metallicities appear to agree to within\n0.1 dex (with M13 being the more metal poor; \\citealt{sned}). One additional\nbenefit of using the M3\/M13 pair is that the effects of the reddening and\nmetallicity differences on the turnoff should partly cancel, with the\nmetallicity differences leading to an expectation that M13's turnoff should be\nbluer than M3's by about 0.01 in $B-I$, and less in other optical colors.\n\nA comparison in absolute colors also requires datasets for which the\ncalibration can be done uniformly for both clusters. While we are\nunable to do this because our deep exposures of M3 and M13 were not\ntaken on the same photometric night, it has been done in the most\nrecent studies, although using different colors. \\citet{jb} used $V-I$\nand found that M13 was bluer at the turnoff and giant branch by\nsimilar amounts ($0.01 - 0.02$). This implies a tiny helium enrichment\n($\\Delta Y \\approx 0.01$) at most. On the other hand, \\citet{rey} used\nthe $B-V$ color and found that the turnoff colors were virtually\nidentical, although M13's red giant branch was still significantly\nbluer. We examined the standard star photometry of \\citet{stet} for\nthe two clusters (8 November 2007 update), and found that in the $V-I$\ncolor M13 is bluer than M3 on the giant branch and at the turnoff (in\nagreement with \\citealt{jb}), while in $B-V$ or $B-I$ colors M13's\nturnoff is significantly {\\it redder} (even accounting for small\ndifferences in reddening) and the giant branches have nearly identical\ncolors (see Fig. \\ref{tos})\\footnote{While the Stetson standard stars\n  in M3 and M13 are rigorously tied to the system of Landolt standard\n  stars, the observations for the two clusters were taken under\n  varied conditions. M3 and M13 can be observed on\n  the same night using the same equipment, and so it should be\n  possible to get good relative photometry for the pair. We note that\n  \\citet{stet98} reported that M13 had a bluer turnoff than M3 by\n  0.014 mag in $B-I$ (about 0.04 mag when reddening was accounted for)\n  for images of the two clusters taken on the same night under\n  photometric conditions using the same equipment.}.  Based only on\nthe Stetson standard stars in $B-V$ and $B-I$ colors, an age\ndifference appears tenable.  With the $V-I$ color included, neither\nhelium nor age differences seem capable of explaining the observations\nbecause neither is expected to affect one color differently than\nothers.\nWe conclude that current photometric datasets do not paint a consistent\npicture, and may still be influenced by subtle systematic effects. To make\nthis a stringent test, effort should go into deep and carefully calibrated\nphotometry using filters with a wide wavelength baseline. The $B-I$ color still\nappears to be a good choice.\n\n\n\n\n\\section{Conclusions}\n\nTo our minds, some of the most important questions regarding M13 remain in\ndispute. One question that we have reopened here is whether the reddest of the\nblue HB stars in M13 are significantly evolved (and whether they are therefore\ngood representatives of the brightness of the horizontal branch). The weight\nof the observational and theoretical evidence leans toward the idea\nthat they are significantly evolved, and that the red edge of the primary HB\npopulation is a decent indicator of the true HB level. \n\nThe distribution of stars on the horizontal branch in M13 is complex,\nand the most notable questions regard 1) how the color of the primary\npeak in M13 could have been shifted so far relative to M3's when the\ngross composition of clusters appear nearly identical, and 2) how a\nlarge fraction of M13's RGB stars become blue stars near the end of\nthe canonical HB.  Our examination of the luminosity function shows\nlittle sign that a large fraction of stars leave the bright RGB before\nhaving a core flash, in agreement with the massive cluster NGC 2419\n\\citep{sh} but not with NGC 2808 \\citep{sm}.  We do not find any clear\nevidence of helium enrichment among the stars of the dominant (redder)\nHB population, and in fact, the helium abundance indicator $R$ and the\nrelative brightness of the HB argue against significant\nenrichment. The HB and RGB stars (and different subsets of these) do\nnot show significant signs of radial segregation within the\ncluster. The small color difference between the main sequence turnoff\nand the giant branch of M13 (in comparison to M3) remains unexplained,\nbut careful examination of the absolute colors of both clusters would\nprovide a new test.\n\nOur thorough search of M13's HB population has revealed second $U$\njump and blue hook stars that imply that many of these stars have very\nlow-mass hydrogen-rich envelopes. Far UV observations show that many\nof the stars in the second $U$ jump are more luminous than stars with\nsimilar colors at the end of the HB. The reason is unclear,\nhowever. Spectroscopic data on similar stars in NGC 6752 \\citep{moni}\nindicate that the excess brightness is not related to enhanced atmospheric\nhelium abundance, so further study is required.\n\nSpectroscopic measurements may help to clarify our understanding of\nextreme HB stars in a number of ways. We particularly encourage\nstudies of: stars near the red end of the HB in M13 where helium\nabundances can be accurately determined \\citep{villa}; stars in the\nextreme HB to look for signs of unusual Mg abundances (a species that\nappears to be minimally affected by diffusion) that could connect them\nto giant stars; O, Na, and Mg for stars at the red giant tip of other\nclusters to determine whether they are super O-poor; relatively\nunevolved turnoff and subgiant stars in M13 and NGC 2808 to search for\nlarge O depletions ([O\/Fe]$ < -0.4$) and check whether this is the\nresult of external pollution or not.\n\n\\acknowledgements We would like to thank D. Pollard for contributions to the\npaper, S. Cassisi for graciously providing tabulations of CMD positions of HB\nstars for various degrees of central helium depletion, and the anonymous\nreferee for a careful reading. This work has been funded through AST grants\n00-98696 and 05-07785 from the National Science Foundation to E.L.S. and\nM.B. M.G. was partially supported as part of a Research Experiences for\nUndergraduates (REU) program at San Diego State University under grant AST\n04-53609 from the National Science Foundation.\n\nThis research used the facilities of the Canadian\nAstronomy Data Centre operated by the National Research Council of\nCanada with the support of the Canadian Space Agency. Some of the data\npresented in this paper were obtained from the Multimission Archive at\nthe Sapce Telescope Science Institute (MAST). STScI is operated by the\nAssociation of Universities for Research in Astronomy, Inc., under\nNASA contract NAS5-26555. Support for MAST for non-HST data is\nprovided by the NASA Office of Space Science via grant NAG5-7584 and\nby other grants and contracts. \n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\nThis article is about a classical problem in hyperbolic geometry and its analogue in graph theory. In the language of graph theory, this problem concerns the existence of regular graphs with large \\emph{girth} (a graph is called $k$-regular if all of its vertices have degree $k$). Here, the girth of a graph is the length of its shortest cycle. It follows from an easy counting argument that the girth $h(\\Gamma)$ of a $k$-regular graph $\\Gamma$ is bounded from above by\\footnote{Here and throughout, the notation $f(n)\\lesssim g(n)$ indicates that $\\limsup_{n \\to \\infty} f(n)\/g(n)\\leq 1$.}\n\\begin{equation*}\nh(\\Gamma) \\lesssim 2\\log_{k-1}(n),\n\\end{equation*}\nin which $n$ is the number of vertices of $\\Gamma$. Surprisingly, it is actually possible to construct sequences of $k$-regular graphs with girth that grows logarithmically in the number of vertices.  The first constructions of such graphs are due to Erd\\H{o}s and Sachs \\cite{ES} and Sauer \\cite{Sau}, which provide graphs of girth roughly $\\log_{k-1}(n)$. The best known constructions have asymptotic girth\n\\begin{equation*}\n\\frac{4}{3}\\log_{k-1}(n),\n\\end{equation*}\nas $n\\rightarrow\\infty$. Examples of graphs that achieve this growth are the trivalent sextet graphs of \\cite{BiHo}, as proved by Weiss in \\cite{Wei}, and the Ramanujan graphs of Lubotzky, Philips, and Sarnak \\cite{LPS}. It is not known whether the constant $\\frac{4}{3}$ is optimal. For a survey on constructions of graphs of large girth, see \\cite{Big}.\n\nFrom the perspective of hyperbolic geometry, this question turns into a search for genus $g$ (either closed or of finite area) hyperbolic surfaces of large \\emph{systole}. Here, the systole of a hyperbolic surface is the length of a shortest homotopically non-trivial and non-peripheral\\footnote{Recall that non-peripheral means not homotopic to a puncture or boundary component.} curve.  \n\nBorrowing familiar arguments from the graph case, Buser proved that the systole $\\mathrm{sys}(S)$ of a closed hyperbolic surface $S$ satisfies\n\\begin{equation*}\n\\mathrm{sys}(S) \\lesssim 2\\log(g),\n\\end{equation*}\nwhere $g$ is the genus of $S$. A similar bound holds true when $S$ has punctures, however the proof in this case is less straightforward. The best known upper bounds are due to Schmutz-Schaller \\cite{SS} and Fanoni and Parlier \\cite{FP}. \n\nAs with graphs, there exist sequences of hyperbolic surfaces with systoles that grow logarithmically in the genus. Curiously, the best known constructions in this case also come with a factor $\\frac{4}{3}$. That is, there exist sequences of hyperbolic surfaces $\\seq{S_k}{k=0}{\\infty}$ such that\n\\begin{equation*}\n\\mathrm{sys}(S_k) \\gtrsim \\frac{4}{3}\\log(g_k),\n\\end{equation*}\nwhere $g_k$ is the genus of $S_k$ and $g_k\\rightarrow\\infty$ as $k\\rightarrow\\infty$. Buser and Sarnak \\cite{BS} were the first to construct such sequences, using congruence covers of specific closed arithmetic surfaces. Katz, Schaps, and Vishne \\cite{KSV} generalized their construction to principle congruence covers of any closed arithmetic surface. In \\cite{Mak}, Makisumi proved that the constant $\\frac{4}{3}$ is actually optimal for congruence covers. For a survey on surfaces of large systole, see \\cite{Par}.\n\nEspecially for closed surfaces, very few explicit examples of global and local maximizers of the systole as a function on moduli spaces of closed hyperbolic surfaces are known. The global maximizer is known only in genus $2$ \\cite{Jen} and examples of local maximizers are known in genus $3,6$ and $10$ \\cite{Ham}. For cusped surfaces, we know an infinite sequence of global maximizers: Schmutz-Schaller proved that the principal congruence subgroups of $\\mathrm{PSL}_2(\\mathbb{Z})$ are global maximizers in their moduli spaces \\cite{Sch}. \n\nThe main goal of this paper is to give a new construction of sequences of hyperbolic (both closed and cusped) surfaces with systoles that grow logarithmically in their genera (see Corollary \\ref{cor_mainresult}). The idea is to combine the graph theoretical construction by Erd\\H{o}s and Sachs with a count of the number of matrices of small trace in the semigroup of $\\mathrm{SL}_2(\\mathbb{Z})$-matrices with non-negative entries (see Proposition \\ref{prop_trace_growth}). \n\nConcretely, we construct cusped surfaces with systole at least:\n\\begin{equation*}\n\\log g-\\log\\log g-C,\n\\end{equation*}\nwhere $g$ is the genus of the corresponding surface and $C$ is some absolute constant. Furthermore, given natural numbers (traces) $k_1,\\ldots,k_r$, each exceeding the trace corresponding to the systole, and natural numbers (multiplicities) $m_1,\\ldots,m_r$ that are small enough (see Section \\ref{sec_construction}), we can construct these surfaces in such a way that they have at least $m_i$ curves of length\n\\begin{equation*}\n2\\cosh^{-1}(k_i\/2)\n\\end{equation*}\nfor $i=1,\\ldots,r$. These surfaces can be compactified, in essence by adding points in the cusps, in order to obtain closed surfaces. A result of Brooks (Lemma \\ref{lem_Brooks}) implies that the systole of these compactified surfaces remains close to their cusped counterparts.\n\nAs a consequence of their construction, these surfaces come with a triangulation that has a dual graph $\\Gamma$ of girth\n\\begin{equation*}\nh(\\Gamma) \\gtrsim \\tfrac{1}{2}\\log_{\\phi}(n) \\approx 1.039 \\log n,\n\\end{equation*}\nwhere $n$ is the number of vertices of $\\Gamma$ and $\\phi=(1+\\sqrt{5})\/2$ denotes the golden ratio.\n\n\\subsection*{Acknowledgement}\nPart of this research was carried out while the first author visited the Mathematics Department of Brown University. He thanks the Mathematics Department and in particular his host Jeff Brock for the hospitality during his stay. He is also grateful to the Swiss National Science Foundation for making this stay possible.\n\nWe would like to thank Ursula Hamenst\\\"adt, Ilya Gekhtman, Hugo Parlier, and Peter Sarnak for useful conversations.\n\n\n\\section{Preliminaries}\n\nIn this section we explain how to construct a surface from a cubic ribbon graph and how the geometry of such a surface depends on the combinatorics of the underlying graph. The construction we use is taken from \\cite{BM} (see also \\cite{Bro}).\n\\subsection{Surfaces from graphs}\nWe begin with the definition of a cubic ribbon graph:\n\\begin{dff} A graph $\\Gamma=(V,E)$ is called \\emph{cubic} if:\n\\[\\deg(v) = 3 \\text{ for all }v\\in V.\\]\nA \\emph{cubic ribbon graph} is a pair $(\\Gamma,\\mathcal{O})$, where $\\Gamma$ is a cubic graph and $\\mathcal{O}$ is a map that assigns a cyclic order to the triple of edges emanating from each vertex.\n\\end{dff}\n\nRibbon graphs are sometimes called \\emph{fatgraphs} or \\emph{oriented graphs}. It should be noted that these definitions do not distinguish between graphs and multigraphs: graphs in this text are allowed to have loops and multiple edges.\n\nGiven a cubic ribbon graph $(\\Gamma,\\mathcal{O})$ we construct a topological surface $S(\\Gamma,\\mathcal{O})$ as follows. To every vertex $v$ of $\\Gamma$ we assign a triangle, whose three sides correspond to the edges emanating from $v$. Then, for each edge $e$ of $\\Gamma$, we glue together the two triangle sides corresponding to $e$. We do this in such a way that the resulting surface is orientable. The orientation we pick is the one corresponding to the cyclic order on the edges emanating from each vertex (eg. via the right-hand rule). In this way, the pair $(\\Gamma,\\mathcal{O})$ uniquely determines the surface $S(\\Gamma,\\mathcal{O})$.\n\nWe observe that the graph $\\Gamma$ naturally embeds into the surface $S(\\Gamma,\\mathcal{O})$, and we will often think of it as such without mention.  In this setting the combinatorics of the underlying graph can be used to control the topology of the surface; for example, the following result of Beineke and Harary bounds the genus of $S(\\Gamma,\\mathcal{O})$ using solely combinatorial data:\n\n\\begin{prp}\\cite{BeHa}\\label{prp_graphgen} Let $\\Gamma$ be a connected graph with $p$ vertices, $q$ edges and girth $h$ that embeds into a surface $S$ of genus $g$. Then:\n$$\n1+\\frac{1}{2}\\left(1-\\frac{2}{h}\\right)q-\\frac{1}{2}p \\; \\leq \\; g\n$$\n\\end{prp}\n\nWe can turn $S(\\Gamma,\\mathcal{O})$ into a geometric surface by defining a metric on the underlying triangle. Here, the metric we choose is the metric of the ideal hyperbolic triangle. This metric extends to all of $S(\\Gamma, \\mathcal{O})$ so long as the gluing maps between the triangles are isometries. There are an uncountable number of such isometries, and in this article we choose the unique gluing such that the perpendiculars connecting the identified sides to the vertices opposite them meet, as in Figure \\ref{pic_gluing} below:\n\n\\begin{figure}[H]\n\\begin{center}\n\\begin{overpic}[scale=1]{Pic_Gluing.pdf}\n\\put (5,70) {$\\mathbb{H}^2$}\n\\end{overpic}\n\\end{center}\n\\caption{A shear $0$ gluing of two triangles.}\n\\label{pic_gluing}\n\\end{figure}\n\nIn a general gluing of ideal hyperbolic triangles, the signed distance between the two endpoints of the perpendiculars is called the \\emph{shear} of the gluing. In other words, we choose each of our gluings to have shear $0$. This implies that $S(\\Gamma,\\mathcal{O})$ is a punctured surface with a complete hyperbolic structure. The punctures of $S(\\Gamma, \\mathcal{O})$, called cusps, correspond one-to-one with cycles in $(\\Gamma,\\mathcal{O})$ that consist exclusively of lefthand turns.\n\nIt is also possible to turn $S(\\Gamma,\\mathcal{O})$ into a closed hyperbolic surface. To see this, we recognize the hyperbolic structure on $S(\\Gamma,\\mathcal{O})$ as a conformal structure in which the cusps are conformally equivalent to punctured disks. By adding points to these punctured disks, we can extend this conformal structure to a conformal structure of a closed surface. The uniformization theorem gives the existence of a unique complete hyperbolic structure in the equivalence class of this conformal surface (provided that the genus of $S$ is at least $2$, which we assume). Our surface, equipped with this specific hyperbolic structure, will be denoted $\\overline{S}(\\Gamma,\\mathcal{O})$.\n\n\\subsection{The geometry of curves}\n\nA particularly nice feature of the construction above is that the geometry of $S(\\Gamma,\\mathcal{O})$ is entirely determined by the combinatorics of the underlying ribbon graph $(\\Gamma,\\mathcal{O})$. In what follows we will explain how to understand the geometry of curves on $S(\\Gamma,\\mathcal{O})$ in terms of $(\\Gamma,\\mathcal{O})$.\n\nIt is a classical fact from hyperbolic geometry (see for example Theorem 1.6.6 in \\cite{Bus}) that the homotopy class of a non-peripheral, non-trivial closed curve $\\gamma$ contains a unique geodesic $\\widetilde{\\gamma}$. This geodesic minimizes the length among all curves in that homotopy class. Furthermore, if the surface is given by\n\\begin{equation*}\nS=\\mathbb{H}^2\/G\n\\end{equation*}\nwhere $G \\subset \\mathrm{PSL}_2(\\mathbb{R})$ is a torsion-free discrete subgroup, then we can find a hyperbolic element $g\\in G$ such that the axis of $g$ in $\\mathbb{H}^2$ projects to the $\\widetilde{\\gamma}$ in $S$. The length of $\\tilde{\\gamma}$ is equal to the translation length $T_g$ of $g$. This translation length is in turn given by:\n\\begin{equation*}\nT_g = 2\\cosh^{-1} \\left( \\frac{\\abs{\\tr{g}}}{2}\\right),\n\\end{equation*}\nin which $\\tr{g}$ denotes the trace of $g \\in \\mathrm{PSL}_2(\\mathbb{R})$.  \n\nThe construction of $S(\\Gamma,\\mathcal{O})$ allows us to recover the translation length for a given curve. Namely, given a curve $\\gamma$ on $S(\\Gamma,\\mathcal{O})$, we can homotope it to a cycle\\footnote{Here, a \\emph{cycle} is any closed path on a graph. A closed path that meets every vertex and edge in $\\Gamma$ at most once will be called a \\emph{circuit}.} $\\tilde{\\gamma}$ on the graph $\\Gamma \\subset S(\\Gamma,\\mathcal{O})$. Because $\\Gamma$ is oriented we can tell whether $\\gamma$ turns `left' or `right' at a given vertex. This means that traversing the curve $\\gamma$ once gives us a word $w(\\gamma)$ in letters $L$ and $R$. We set\n\\begin{equation} \\label{lr_def}\nL=\\left(\\begin{matrix} 1 & 1 \\\\ 0 & 1 \\end{matrix}\\right) \\text{ and } R=\\left(\\begin{matrix}1 & 0 \\\\ 1 & 1 \\end{matrix}\\right),\n\\end{equation}\nwhich turns $w(\\gamma)$ into a matrix. The length of the unique geodesic $\\tilde{\\gamma}$ homotopic to $\\gamma$ is now given by\n\\begin{equation*}\n\\ell(\\tilde{\\gamma}) := 2\\cosh^{-1} \\left( \\frac{\\tr{w(\\gamma)}}{2}\\right).\n\\end{equation*}\nNote that the word $w(\\gamma)$ is not well-defined: it depends on where we start to traverse $\\gamma$ and in which direction we do so. This has no effect on the trace, however, which means that $\\ell(\\tilde{\\gamma})$ \\emph{is} well-defined.\n\nWhen we consider $\\overline{S}(\\Gamma,\\mathcal{O})$ instead, we seem to lose the combinatorial description of the length of curves: the uniformization theorem tells us that there is a natural hyperbolic structure on $\\overline{S}(\\Gamma,\\mathcal{O})$, but it does not tell us anything about the geometry of this structure. However, there is a way to solve this problem, using a result of Brooks \\cite{Bro}. We first need the following definition:\n\\begin{dff} Let $S$ be a hyperbolic surface with at least one cusp and fix $r >0$. Then $S$ is said to have \\emph{cusp length} $\\geq r$ if for each cusp of $S$ there exists a non-self-intersecting horocycle of length $r$ about that cusp, such that no two horocycles intersect.\\end{dff}\n\nWe have the following Lemma:\n\\begin{lem}\\label{lem_Brooks} \\cite{Bro} Let $(\\Gamma,\\mathcal{O})$ be a cubic ribbon graph such that $S(\\Gamma,\\mathcal{O})$ has cusp length $\\geq r$, where $r$ is sufficiently large. Then for every non-peripheral and homotopically essential geodesic $\\overline{\\gamma}$ on $\\overline{S}(\\Gamma,\\mathcal{O})$ there exists a geodesic $\\gamma$ on $S(\\Gamma,\\mathcal{O})$ such that the image of $\\gamma$ under the map  $S(\\Gamma,\\mathcal{O})\\rightarrow  \\overline{S}(\\Gamma,\\mathcal{O})$  is homotopic to $\\overline{\\gamma}$ and\n$$\n\\ell(\\overline{\\gamma}) \\leq \\ell(\\gamma) \\leq (1+\\delta(r)) \\ell(\\overline{\\gamma}),\n$$\nwhere $\\delta(r)\\rightarrow 0$ as $r\\rightarrow\\infty$.\n\\end{lem}\n\n\n\\section{Words in $L$ and $R$}\n\nIn the previous section we have seen that in order to understand the lengths of curves on a surface $S(\\Gamma,\\mathcal{O})$ we need to understand which words in $L$ and $R$ appear as cycles on $(\\Gamma,\\mathcal{O})$. In this section we collect some basic properties of the set of words in $L$ and $R$ and use these properties to produce estimates for the number of words in $L$ and $R$ of bounded trace.\n\n\\subsection{Basic properties}\n\nWe start with some notation. The semigroup of words in $L$ and $R$ (as defined in line \\eqref{lr_def}) will be denoted\n\\begin{equation*}\n\\SemiGroup{L,R}.\n\\end{equation*}\nElements of this set will sometimes be interpreted as matrices and sometimes as strings in two letters. It will be clear from the context which of the two we mean. We define an equivalence relation on $\\SemiGroup{L,R}$ as follows:\n\\begin{dff} Let $w,w'\\in\\SemiGroup{L,R}$. We write $w\\sim w'$ if either of the following is true:\n\\begin{itemize}[leftmargin=0.2in]\n\\item[--] $w'$ is a cyclic permutation of $w$.\n\\item[--] $w'$ is a cyclic permutation of $w^*$, where $w^*$ is the word obtained by reading $w$ backwards and interchanging $L$ and $R$.\n\\end{itemize}\n\\end{dff}\n\nIn the previous section we noted that the map from cycles on $(\\Gamma,\\mathcal{O})$ to $\\SemiGroup{L,R}$ is not well-defined. The equivalence defined here solves this problem, since the compositions of maps into $\\SemiGroup{L,R}\/\\sim$ \\emph{is} well-defined. If $\\gamma$ is a cycle on $\\Gamma$ and its image under the given map is $[w]$ we say that $\\gamma$ \\emph{carries} $[w]$.\n\nThe following lemma provides various estimates on the trace of words in $\\SemiGroup{L,R}$:\n\n\\begin{lem}\\label{lem_basic} Let $w\\in \\SemiGroup{L,R}$. If $w'\\in \\SemiGroup{L,R}$ can be obtained from inserting letters from $\\{L,R\\}$ into $w$ then:\n\\[\\tr{w'} \\geq \\tr{w}.\\]\nMoreover, $\\tr{w} \\leq \\phi^{\\mathrm{len} w}+1$ in general, and $\\tr{w} \\geq \\mathrm{len}(w)+1$ unless $w \\sim L^m$ for some $m$.\n\\end{lem}\n\\begin{proof} By the identity\n\\begin{align} \\label{left_mult_identity}\n\\mathrm{tr}\\left(\\left(\\begin{matrix} 1 & 1 \\\\ 0 & 1 \\end{matrix}\\right)\\left(\\begin{matrix} a & b \\\\ c & d \\end{matrix} \\right)\\right) = \\mathrm{tr}\\left(\\begin{matrix} a & b \\\\ c & d \\end{matrix}\\right) +c,\n\\end{align}\nwe see that $\\tr{Lw} \\geq \\tr{w}$ with equality if and only if $c=0$, ie. if and only if $w = L^m$ for some $m$. Since any letter insertion is equivalent (modulo $\\sim$) to left-multiplication by $L$ and trace is well-defined on $\\SemiGroup{L,R}\/\\sim$, we see that trace is non-decreasing with letter insertion.\n\nTo prove the upper bound on $\\tr{w}$ we use the fact that among all words of $k$ letters, the trace is maximized by words of the form $(LR)^m$ and $R(LR)^m$ (depending on whether $k$ is even or odd). This in turn follows from an elementary but tedious case by case analysis. The fact that the traces of  $(LR)^m$ and $R(LR)^m$ satisfy the inequality follows by direct computation.\n\nIf $w \\not\\sim L^m$, choose $\\eta \\sim w$ ending in $LR$. For each letter of $\\eta$ prepended to $LR$, we augment our trace by at least $1$. (In the case of multiplication by $L$, this is line \\eqref{left_mult_identity}.) It follows that $\\tr{\\eta} \\geq \\mathrm{len}(\\eta)-2+ \\tr{LR} = \\mathrm{len}(\\eta)+1$.\n\\end{proof}\n\nIn particular, the insertion of letters into a word cannot decrease its trace. From this, we for instance conclude that the systole of $\\overline{S}(\\Gamma,\\mathcal{O})$ is always homotopic to a circuit in $\\Gamma$.\n\n\\subsection{Counting words by trace}\n\nLet $\\mathrm{SL}_2(\\mathbb{Z})^+$ denote the semigroup of integer matrices with determinant $1$ and non-negative coordinates. It's clear that $\\mathrm{SL}_2(\\mathbb{Z})^+$ contains $\\SemiGroup{L,R}$.\n\nLet $n(m)$ denote the number of elements in $\\SemiGroup{L,R}$ of trace $m$. The infinite collections $\\SemiGroup{L}$ and $\\SemiGroup{R}$ demonstrate that $n(2)$ is not finite. On the other hand, $n(m)$ is finite for $m \\geq 3$, as the following Proposition shows:\n\n\\begin{prp} \\label{upper_bound_prop}\nThe following inequality holds for all $m \\geq 3$:\n\\begin{align*}\nn(m) \\leq \\sum_{a=1}^{m-1} d\\left(a(m-a)-1\\right),\n\\end{align*}\nin which $d(k)$ is the number of divisors of $k$.\n\\end{prp}\n\\begin{proof} Let $n'(m)$ denote the number of elements of $\\mathrm{SL}_2(\\mathbb{Z})^+$ of trace $m$. Then $n(m) \\leq n'(m)$, whenever both are finite. To enumerate the elements of $\\mathrm{SL}_2(\\mathbb{Z})^+$ of trace $m$, consider a general matrix\n\\begin{align} \\label{matrix form}\n\\gamma :=\\left(\\begin{matrix} a & b \\\\ c & d \\end{matrix}\\right) \\in \\mathrm{SL}_2(\\mathbb{Z})^+\n\\end{align}\nof trace $m$. Free choice of $a$ in the interval $[1,m-1]$ determines $d=m-a$ by trace. As well, the determinant relation $ad-bc=1$ gives $ad-1=bc$, hence $b$ divides $a(m-a)-1$ (whereafter choice of $b$ determines $c$ uniquely). It follows that\n\\[n(m) \\leq n'(m) = \\sum_{a=1}^{m-1} d(a(m-a)-1),\\]\nas desired. \n\\end{proof}\n\nAs it happens, the upper bound in  Proposition \\ref{upper_bound_prop} is an equality. This follows from the non-obvious fact that the inclusion $\\SemiGroup{L,R} \\subset \\mathrm{SL}_2(\\mathbb{Z})^+$ is an equality:\n\n\\begin{prp} We have $\\SemiGroup{L,R} = \\mathrm{SL}_2(\\mathbb{Z})^+$.\n\\end{prp}\n\n\\begin{proof} Fix $\\gamma \\in \\mathrm{SL}_2(\\mathbb{Z})^+$, defined as in line \\eqref{matrix form}. For $\\gamma$ of trace $2$, we see that $\\gamma$ takes the form $L^k$ or $R^k$ for some integer $k \\geq 0$, hence $\\gamma \\in \\SemiGroup{L,R}$. Now, suppose by induction that $\\gamma \\in \\SemiGroup{L,R}$ for all matrices of trace less than $m>2$ and fix $\\gamma$ of trace $m$.\n\nComputation shows that $L^{-1} \\gamma \\in \\mathrm{SL}_2(\\mathbb{Z})^+$ provided $a > c$ and $b \\geq d$, while $R^{-1} \\gamma \\in \\mathrm{SL}_2(\\mathbb{Z})^+$ under the assumptions $c \\geq a$ and $d>b$. For the sake of contradiction, suppose that neither holds. If $a > c$ and $d>b$, then\n\\[\\det(\\gamma) = ad-bc \\geq (c+1)(b+1)-bc=b+c+1=1,\\]\nso that $b=c=0$ and $\\gamma = I$, which contradicts that $\\mathrm{tr}(\\gamma) =m$. Alternatively, suppose that $c \\geq a$ and $b \\geq d$. Then\n\\[\\det(\\gamma) = ad-bc \\leq cb-bc = 0,\\]\nanother contradiction. Thus $\\mathrm{SL}_2(\\mathbb{Z})^+$ contains at least one of $L^{-1} \\gamma$ or $R^{-1} \\gamma$, hence so does $\\SemiGroup{L,R}$ (by induction). In either case, it follows that $\\gamma \\in \\SemiGroup{L,R}$.\n\\end{proof}\n\n\\vspace{3 mm}\nTo estimate the growth of $n(m)$ we need only estimate the growth of the divisor function. It is well-known that $d(n) =O(n^\\varepsilon)$ for all $\\varepsilon > 0$, from which we immediately obtain that $n(m) = O(m^{1+\\varepsilon})$. \n\nWe denote by $N(m)$ the partial sums of $n(m)$, ie.\n\\[N(m)=\\sum_{k=3}^m n(k).\\]\nThis function satisfies the trivial upper bound $N(m) = O(m^{2+\\epsilon})$. With a bit more work, we obtain a more precise upper bound for this function:\n\n\\begin{prp} The function $N(m)$ is $O(m^2 \\log m)$. \\label{prop_trace_growth}\n\\end{prp}\n\n\\begin{proof} Interchanging the order of summation, we write\n\\begin{align} \\label{Nm_growth_1}\nN(m) = \\sum_{k \\leq m} \\sum_{a=1}^{k-1} d(a(k-a)-1) = \\sum_{a=1}^{m-1} \\sum_{n\\equiv -1 (a)}^{a(m-a-1)} d(n),\n\\end{align}\nso that the inner sum adds the contribution of the divisor function over the arithmetic progression $n \\equiv -1 \\mod a$. To continue, we require a well-known result due independently to Selberg and Hooley; that the Weil bound for the Kloosterman sum gives a uniform estimate\n\\[\\sum_{\\substack{n \\leq X \\\\n\\equiv -1(a)}} d(n) = \\frac{1}{\\varphi(a)} \\sum_{\\substack{n\\leq X \\\\ (n,a)=1}} d(n) + O\\left((a^{\\frac{1}{2}}+X^{\\frac{1}{3}})X^{\\epsilon}\\right),\\]\nas recounted by Fouvry and Iwaniec in \\cite{FI}, eg. Opening up the second divisor sum in the line above yields\n\\begin{align} \\label{Nm_growth_2}\n\\frac{1}{\\varphi(a)} \\sum_{\\substack{m_1\\leq X \\\\ (m_1,a)=1}} \\sum_{\\substack{ m_2 \\leq X\/m_1 \\\\(m_2,a)=1}} \\!\\!1 =  \\sum_{\\substack{m_1\\leq X \\\\ (m_1,a)=1}} \\frac{X}{a m_1} +O\\left(1\\right) \\ll \\frac{X \\log X}{a},\n\\end{align}\nin which we've abandoned coprimality to simplify our bound. Returning to line \\eqref{Nm_growth_1}, we take $X:=a(m-a-1)-1$, and end with the estimate\n\\[N(m) \\ll \\sum_{a < m} \\frac{a(m-a)}{a}\\log(a(m-a)) = O\\left(m^2 \\log m\\right),\\]\nas desired.\n\\end{proof}\n\n\\textit{Remark ---} Conversely, restricting the final $m_1$-sum in line \\eqref{Nm_growth_2} to the primes less than $X$ gives a lower bound in line in \\eqref{Nm_growth_2} of the form $X (\\log\\log X)\/a$. This propagates to show that $N(m) \\gg m^2 \\log\\log m$, ie. that $N(m)$ grows super-quadratically.\n\n\\section{Construction of surfaces with large systole} \\label{sec_construction}\n\nThe results from the previous section allow us to construct hyperbolic surfaces with systole logarithmic in their genus. The construction we present is a Riemann surface version of the construction for graphs of large girth by Erd\\H{o}s and Sachs \\cite{ES} and Sauer \\cite{Sau}, while our presentation is inspired by a version of these proofs given by Bollob\\'as \\cite{Bol} (see also \\cite{Big}). \n\nIn our theorem below we will speak of oriented circuits without reference to the specific oriented trivalent graphs containing them. An oriented circuit in this sense will be a circuit in which it is known whether one turns right or left when traversing a vertex in a given direction. Note that such a circuit naturally corresponds to a word in $L$ and $R$. In this way we are able to define the trace of a cycle or an oriented path. The data of an oriented path in this context includes the data of the direction the path turns in at its initial and final vertices. This means that an oriented path naturally runs between two edges instead of two vertices.\n\nWe have the following theorem:\n\n\\begin{thm}\\label{thm_construction} Let $\\varepsilon>0$ and let $H=(V,E)$ be an oriented graph in which every connected component is an oriented circuit such that:\n\\begin{itemize}[leftmargin=0.3in]\n\\item[1.] Each circuit in $H$ has trace at least $k$.\n\\item[2.] $H$ has an even number of vertices at least equal to $2\\cdot N(k-2)+4k-4$.\n\\end{itemize}\nThen we can complete $H$ to a trivalent ribbon graph $H'$, respecting the orientation of the circuits, in such a way that $H'$ contains no homotopically essential non-peripheral cycle carrying a word of trace less than $k$. Furthermore, the girth of $H'$ satisfies\n$$\nh(H') \\gtrsim \\log_{\\phi}(k),\n$$\nand every cusp in $H'$ has at least $k$ triangles around it.\n\\end{thm}\n\n\\begin{proof} Our proof is constructive. We will construct a set $E'$ of edges on $V$ that contains $E$ such that the graph $H'=(V,E')$ has the desired properties. Note that this construction does not add vertices, hence the orientation at every vertex in $H'$ is given by the initial data and does not change anywhere in the process that we will describe. As such, we will not mention it in the rest of the proof.\n\nWe shall consider sets $E'$ of edges on $V$ with the following properties:\n\\begin{itemize}\n\\item[(a)] $E\\subset E'$.\n\\item[(b)] Every cycle in $H'=(V,E')$ has trace at least $k$ or is a cycle of lefthand turns with at least $k$ edges.\n\\end{itemize} \nAn example of such a set is the set $E$ itself.\n\nWe will prove the following claim, which is sufficient to prove the theorem:\n\\begin{clm}\nIf $E'$ satisfies (a) and (b) and the graph $H'=(V,E')$ has a vertex of degree $2$ then there exists a set $E''$ of edges on $V$ that also satisfies (a) and (b) such that $\\card{E''}=\\card{E'}+1$.\n\\end{clm}\n\nIn order to prove the claim we need to define some specific subsets of $V$, depending on $E'$. Given $x,y\\in V$, a \\emph{forbidden $k$-path} between a degree $2$ vertex $x$ and a vertex $y$ will be a path in $H'$ of trace less than $k-1$ and with fewer than $k-1$ edges. We emphasize again that the trace of a path depends on the choice of the directions of the turns at $x$ and $y$. At $x$ we we will always choose the direction so that the path comes from the `missing' edge at $x$. This makes sense because of the fact that the orientation at $x$ is predefined. For a degree $2$ vertex $x$ we now define:\n\\begin{equation*}\nF_k(x) = \\{y\\in V : \\text{there exists a forbidden }k\\text{-path from }x\\text{ to } y \\}.\n\\end{equation*}\nThis set can be seen as some sort of $k$-ball around the missing edge at $x$.\n\nThe crucial observation is the following: if $x$ and $y$ have degree $2$ and $y \\in V \\smallsetminus F_k(x)$, then we do not introduce any (non-lefthand turn) cycles of trace $\\leq k$ by adding an edge between $x$ and $y$.\n\nTo see this, note that such a cycle necessarily builds upon a non-forbidden $k$-path from $x$ to $y$, hence has length $\\geq k$ or trace $ \\geq k$. This last case uses Lemma \\ref{lem_basic}, and gives our claim directly. If our cycle has length $\\geq k$, then it carries a word $w$ such that either\n\\pagebreak\n\\begin{enumerate}[leftmargin=0.3in]\n\\item[1.] $w \\sim L^m$ with $m \\geq k$, in which case the cycle corresponds to a cusp.\n\\item[2.] $w \\not\\sim L^m$, whereby Lemma \\ref{lem_basic} gives the inequality $\\tr w \\geq \\mathrm{len}(w)+1$, which implies that our cycle has trace $\\geq k$.\n\\end{enumerate}\n\nWe note as well that since the total number of vertices is even there will always be an even number of degree $2$ vertices. So, given $E'$, there are two cases:\n\\begin{itemize}[leftmargin=0.6in]\n\\item[\\textbf{Case 1.}] There exist two degree $2$ vertices $x$ and $y$ in $H'$ for which there does not exist a forbidden $k$-path connecting $x$ to $y$.\n\\item[\\textbf{Case 2.}] There exists no pair of such vertices.\n\\end{itemize}\nOur proof breaks into cases along these lines.\n\nCase $1$ is immediate. When we connect $x$ and $y$ by an edge, we obtain a set $E''$ that satisfies our requirements.\n\nFor Case $2$ our argument is more involved. If $y \\in F_k(x)$, then $x$ and $y$ may be joined by a path of trace at most $k-2$ and with at most $k-2$ edges. There are $N(k-2)$ paths of trace in $[3,k-2]$, and there are at most $2(k-2)+1$ paths of trace $2$ and length $\\leq k-2$. (Coming from the trivial path and the $2(k-2)$ paths of the form $L^m$ and $R^m$ with $m \\in [1,k-2]$.) Thus\n\\begin{equation*}\n\\vert F_k(x) \\vert \\leq N(k-2) +2k-3.\n\\end{equation*}\n\nNow take $x,y\\in V$ two vertices of degree $2$ in $H'$ and define the sets\n\\begin{equation*}\nU = F_k(x)\\cup F_k(y) \\quad \\text{and}\\quad I=F_k(x)\\cap F_k(y).\n\\end{equation*}\nInclusion-exclusion gives\n\\begin{align*}\n\\card{U} & = \\card{F_k(x)} + \\card{F_k(y)} - \\card{I} \\\\\n& \\leq 2N(k-2)+4k-6-\\card{I} \\\\\n& \\leq \\card{V}-2-\\card{I}.\n\\end{align*}\nThen, defining $W := V \\setminus U$, we have\n\\begin{equation*}\n\\card{W} = \\card{V} - \\card{U} \\geq \\card{I} + 2.\n\\end{equation*}\nUnder the assumptions of Case $2$, all vertices in $W$ have degree $3$ in $H'$. In particular, each vertex in $W$ is an endpoint to a unique edge in $E'\\setminus E$. Thus for every $w\\in W$ there exists a unique vertex $w'$ such that $w$ and $w'$ are endpoints of an edge in $E'\\backslash E$. Note as well that $w \\neq w'$, as equality forces $\\deg w \\geq 4$, a contradiction. Using this we define the set $W'$:\n\\begin{equation*}\nW' := \\{w'\\in V : \\exists\\, w\\in W\\text{ such that }w'\\text{ and }w\\text{ share an edge in }E'\\backslash E \\}.\n\\end{equation*}\nWe have\n\\begin{equation*}\n\\card{W'}=\\card{W} \\geq \\card{I}+2.\n\\end{equation*}\nThus there exists some $w'\\in W'$ not in $I$. In other words, there is either no forbidden $k$-path from $x$ to $w'$ or no forbidden $k$-path from $y$ to $w'$. Without loss of generality we assume the former. We now define the edge set\n\\begin{equation*}\nE'' := E'\\setminus ww' \\cup xw' \\cup yw,\n\\end{equation*}\nand claim that $E''$ satisfies (a) and (b). \n\nCondition (a) is immediate. For (b), we proceed by contradiction. Suppose $H''=(V,E'')$ contains a non-trivial, non-peripheral cycle of trace $< k$. This cycle necessarily contains both of the edges $xw'$ and $yw$. There are two options for the order of appearance of the vertices $x$, $y$, $w$, and $w'$ along this cycle:\n\\begin{align} \\label{two_options}\nx,w',y,w \\;\\; \\text{ or } \\;\\; w',x,y,w\n\\end{align}\n(up to the dihedral symmetry of the cycle).\n\nSince we have assumed that there is no forbidden $k$-path between $x$ and $w$ in $H'$, any non-trivial, non-peripheral cycle containing $x$ and $w$ in succession has trace at least $k$. This implies that the first option is impossible (by Lemma \\ref{lem_basic}).\n\nFor the second option, consider the following diagram:\n\\begin{figure}[H]\n\\begin{center}\n\\begin{overpic}[scale=1]{Pic_Twocircs.pdf}\n\\put (8,5) {$\\gamma_1$}\n\\put (68,23) {$\\gamma_2$}\n\\put (35,17) {$y$}\n\\put (54,17) {$w$}\n\\put (54,68) {$w'$}\n\\put (35,68) {$x$}\n\\end{overpic}\n\\end{center}\n\\caption{The second option in line \\eqref{two_options}.}\n\\label{pic_twocircs}\n\\end{figure}\nIn Figure \\ref{pic_twocircs} above, $\\gamma_1$ represents the offending cycle of trace $< k$ in $H''$, while the cycle $\\gamma_2$ lies in $H'$. Because the turns\n\\begin{equation*}\nw'\\rightarrow x \\;\\;\\text{and}\\;\\; w\\rightarrow y\n\\end{equation*}\nare in the same direction as the turns\n\\begin{equation*}\nw'\\rightarrow w \\;\\;\\text{and}\\;\\; w\\rightarrow w',\n\\end{equation*}\nrespectively, the word on $\\gamma_1$ can be obtained by concatenating the word on $\\gamma_2$ with some number of letters. \n\nSince $\\gamma_2 \\subset H'$, we have two options for the word $w_2$ carried by $\\gamma_2$: either $w_2 \\sim L^m$ for some $m \\geq k$, or $\\tr{w_2} \\geq k$. Either way, it follows from Lemma \\ref{lem_basic} that the word $w_1$ on $\\gamma_1$ has $\\tr{w_1}>k$ or that $w_1 \\sim L^m$ for some $m \\geq k$. This contradicts our assumptions on $\\gamma_1$, which proves that $E''$ satisfies (b). The chief Claim follows.\n\nFinally, to see that the graph we obtain in the end has girth $\\gtrsim \\log_{\\phi}(k)$  we note that all the circuits in $H'$ are either left hand turn circuits of at least $k$ edges or carry a word of trace at least $k$.  Lemma \\ref{lem_basic} tells us that a word with trace at least $k$ has at least  $\\sim \\log_{\\phi}(k)$ letters, which implies the statement.\n\\end{proof}\n\nAs a corollary, we obtain the following:\n\\begin{cor}\\label{cor_mainresult}The construction above gives rise to sequences of cusped hyperbolic surface $\\seq{S_{g_k}}{k=0}{\\infty}$ and sequences of closed hyperbolic surfaces $\\seq{\\overline{S}_{g_k}}{k=0}{\\infty}$ such that:\n\\begin{align} \\label{systole_asymptotics}\n\\liminf_{k\\rightarrow\\infty} \\frac{\\mathrm{sys}(S_{g_k})}{\\log(g_k)}  \\geq 1 \\quad \\text{ and } \\quad \\liminf_{k\\rightarrow\\infty} \\frac{\\mathrm{sys}(\\overline{S}_{g_k})}{\\log(g_k)}  \\geq 1\n\\end{align}\nin which $c_1 k^2 \\log\\log k\\leq g_k \\leq c_2 k^2 \\log k$ for some absolute constants $c_1,c_2 >0$.\n\\end{cor}\n\n\\begin{proof} Using Theorem \\ref{thm_construction} above, we can construct a sequence $\\seq{(\\Gamma_k,\\mathcal{O}_k)}{k=1}{\\infty}$ of cubic ribbon graphs such that $\\Gamma_k$ has $O\\left(k^2 \\log k\\right)$ vertices and that the trace of any essential non-trivial curve on $S(\\Gamma_k,\\mathcal{O}_k)$ is bounded from below by $k$. If $V_k$ denotes the number of vertices of $\\Gamma_k$, this means that\n\\begin{align*}\n\\mathrm{sys}\\left(S(\\Gamma_k,\\mathcal{O}_k)\\right) & = 2\\cosh^{-1}\\left(\\min\\left\\{\\tfrac{\\tr{\\gamma}}{2} : \\gamma \\text{ a cycle on }\\Gamma_k\\right\\} \\right) \\\\\n   & \\geq 2\\cosh^{-1}\\left(\\frac{k}{2}\\right) \\geq \\log(V_k)-\\log \\log k- \\log B,\n\\end{align*}\nwhere $B$ comes from the implied constant in the estimate $V_k = O(k^2 \\log k)$. It remains to relate the number of vertices of $(\\Gamma_k,\\mathcal{O}_k)$ to the genus of $S(\\Gamma_k,\\mathcal{O}_k)$. By construction, our surface $S(\\Gamma_k,\\mathcal{O}_k)$ comes with a triangulation, which means that we can compute its Euler characteristic. For each $k$, we have\n\\begin{equation*}\n2c - 2\\sum\\limits_{i=1}^c g_i = v-e+f\n\\end{equation*}\nwhere $c$ is the number of connected components of $S(\\Gamma_k,\\mathcal{O}_k)$, $g_i$ the genus of the $i^{th}$ connected component, $v$ the number of vertices in the triangulation, $e$ the number of edges, and $f$ the number of faces. We have\n\\begin{equation*}\nf = V_k \\quad \\text{and} \\quad e = \\frac{3}{2} \\cdot V_k,\n\\end{equation*}\nand thus\n\\begin{equation*}\n2\\sum_{i=1}^c g_i = 2c - v + \\frac{1}{2}V_k.\n\\end{equation*}\nSince $h(\\Gamma_k) \\gg \\log_\\phi k$, each connected component of $\\Gamma_k$ consists of at least $\\log_\\phi k$ vertices, hence $V_k \\gg c \\log_\\phi k$. It follows that\n\\[g_i \\leq 2\\sum_{i=1}^c g_i \\ll \\frac{V_k}{\\log_\\phi k} + \\frac{1}{2} V_k = O(V_k),\\]\nand hence\n\\begin{align} \\label{systole_bound_explicit}\n\\mathrm{sys}\\left(S(\\Gamma_k,\\mathcal{O}_k)\\right) \\geq \\log(g_k) -\\log\\log k- R,\n\\end{align}\nin which $R$ is a constant independent of $k$ and $g_k$ is the genus of any of the connected components of $S(\\Gamma_k,\\mathcal{O}_k)$ or the sum of all these genera, depending on the reader's preference. Line \\eqref{systole_bound_explicit} proves the first inequality of line \\eqref{systole_asymptotics}; for the second inequality, we need only recall Lemma \\ref{lem_Brooks}.\n\nTo prove that the genera of these surfaces actually grow super-quadratically in $k$, we use that the fact that $\\Gamma_k$ embeds into $S(\\Gamma_k,\\mathcal{O}_k)$. This puts restrictions on the genus $g_k$ of $S(\\Gamma_k,\\mathcal{O}_k)$. Concretely, Proposition \\ref{prp_graphgen} tells us that\n\\begin{equation*}\n1+\\left(\\frac{1}{4}-\\frac{3}{2h(\\Gamma_k)}\\right)V_k \\leq g_k.\n\\end{equation*}\nSince $h(\\Gamma_k) \\gg \\log k$, the lefthand side above tends to $1+V_k\/4$ as $k$ grows large, hence $g_k \\gg V_k$, which completes the proof.\n\\end{proof}\n\nFinally, we remark that Theorem \\ref{thm_construction} gives us some control over the bottom part of the length spectrum. That is, given $k_0\\leq k_1\\leq \\ldots \\leq k_r$ and $m_1,\\ldots,m_r \\in\\mathbb{N}$ such that there exist words $w_1,\\ldots,w_r\\in \\SemiGroup{L,R}$ satisfying\n\\begin{equation*}\n\\tr{w_i}=k_i \\;\\;\\text{and}\\;\\;\\sum_{i=1}^r m_i\\,\\mathrm{len} (w_i) \\leq 2\\cdot N(k_0-2)+4k_0-4\n\\end{equation*}\nfor $i=1,\\ldots,r$, we can construct our cusped surface in such a way that it has systole $\\geq 2\\cosh^{-1}(k_0\/2)$, genus $\\ll k_0^2\\log k_0$, and contains at least $m_i$ curves of length\n\\begin{equation*}\n2\\cosh^{-1}\\left(\\frac{k_i}{2}\\right),\n\\end{equation*}\nfor $i=1,\\ldots,r$. In the closed case we do not get such exact control, but we can choose to construct the surfaces such that they contain $m_i$ curves with lengths in a small interval around the values above. By Lemma \\ref{lem_Brooks} these intervals become arbitrarily small as $k_0$ becomes large.\n\nGiven words $w_1,\\ldots,w_r$, the condition on the multiplicities $m_i$ is easy to verify. However, without explicit examples of words, it is not easy to see whether a set of traces $k_0,k_1,\\ldots,k_r$ and multiplicities $m_1,\\ldots,m_r$ is `realizable'. A sufficient (but certainly not necessary) condition on the traces and multiplicities is\n\\begin{equation*}\n\\sum_{i=1}^r m_i (k_i-1) \\leq 2\\cdot N(k_0-2)+4k_0-4\n\\end{equation*}\nThis follows from the fact that $\\tr{L^{k-2}R}=k$. \n\n\\nocite{*}\n\\input{GS.bbl}\n\n\\end{document}","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{\\label{sec:level1}INTRODUCTION\\protect}\nMagnetic semiconductors have attracted strong attention in the last decade because of their potential \nto combine opto-electronic and magnetic properties in spintronic devices. \nThe most commonly investigated material as a magnetic semiconductor is GaAs doped \nwith transition metal Mn-impurities. Mn acts as an acceptor in GaAs and its \nmagnetic properties are mainly determined by the magnetic moment of the half filled d-shell \\cite{Soviet1982}. \nIn highly Mn doped GaAs, the observed ferromagnetism in GaMnAs has been shown to be hole mediated \\cite{PhysRevB.63.195205,Jungwirth_2005}, as a result of exchange coupling between the p-like acceptor holes residing in the valence band and the electrons in the d-shell which we will refer to as the Mn core from now on. On the other hand, for applications in spintronic devices, it is important to investigate methods \nto read, set and manipulate the magnetic orientation of the Mn core, especially at the level of a single Mn impurity. Spectacular results have been achieved with optical polarization and manipulation of low Mn doped GaAs\/AlGaAs quantum wells \\cite{MyersNMAT} and single Mn doped quantum dots \\cite{KudelskiPRL,MariettePRL}. Other important work in the field of single spin reading and manipulation has been done for single nitrogen-vacancy centers in diamond \\cite{AwschalomNature}.\n\nIn this paper, we investigate low-concentration Mn-doped GaAs. Because Mn has strongly coupled \nmagnetic and electric properties, spin manipulation by electric fields has been suggested as a possibility in addition to manipulation by magnetic and optical fields. Cross-sectional scanning tunneling microscopy (X-STM) \nhas been used in the past to study the Mn acceptor wave function at the atomic scale \nand to manipulate its charge state. The experimental study of the Mn acceptor wavefunction \nby X-STM showed a strongly anisotropic shape of the acceptor wavefunction \\cite{yakunin_prl04} as was predicted by tight binding calculations \\cite{FlattePRL2004}. \nThese experimental and theoretical results  proved that the observed anisotropy \nof the acceptor wavefunction is due to the cubic symmetry of the GaAs crystal.\nAdditional studies showed that the anisotropy of the Mn acceptor \nwavefunction is also influenced by (local) strain due to a nearby InAs \nquantum dot \\cite{paul_nature_2007} or the relaxation of the surface \\cite{celebi_prl10}. \n\nThese results indicate that STM can also be an excellent tool to investigate the effects of \nthe orientation of the magnetic moment of the Mn core on the \nacceptor wavefunction. In fact, theoretical work\\cite{tangflatte_prb05},\\cite{scm_MnGaAs_paper1_prb09}\nhas predicted that the local density of states (LDOS) of the acceptor-hole wavefunction can depend strongly\non the direction of the Mn moment. Since the LDOS is directly related to the tunneling current, these\npredictions suggest that it might be possible to control the STM electric current by manipulating the \nindividual Mn core spin, for example with an external magnetic field. An X-STM and X-STS study of the energetic level of Mn close to the GaAs [110] cleavage surface has already shown that the 3-fold degeneracy of the J=1 ground level is split because of the reduced symmetry \\cite{GarleffPRB2010}.\nMagnetic-field manipulation and control of atomic\nspins is presently undergoing fast progress, \nshowing great promise to selectively address individual atoms \\cite{yacoby_nat_phys_2011}. \nControl of atomic spin, combined with the aforementioned sensitivity of the STM current on the dopant magnetic\nmoment direction, could be a crucial step in realizing multifunctional spin-electronic devices based on individual\natoms. Apart from addressing electrical properties of single magnetic dopants, STM has been shown to be also well capable of positioning individual dopants within a semiconductor surface \\cite{yazdani_nat06,Gupta_NanoLett}.\n\nIn this paper we will use STM to explore the effect of an external magnetic field on the \nmagnetic orientation of the magnetic moment of a single Mn impurity in dilute Mn doped GaAs and compare \nthe results with tight-binding model calculations. \nIn Section~\\ref{review} we present a review of the theoretical work that \nhas been published in 2 papers \\cite{tangflatte_prb05},\\cite{scm_MnGaAs_paper1_prb09}. \nThese calculations are based on a tight binding model and show that a change \nin the spin orientation of the Mn core can sometimes give rise to a detectable\nchange in LDOS of the Mn acceptor wavefunction. \nIn Section~\\ref{exp_results}  we present experimental results of STM measurements on single Mn impurities in GaAs in a \nmagnetic field. We will show that\nthe LDOS of the Mn acceptor wavefunction is not significantly modified by magnetic fields up to 6 Tesla.\nIn Sections~\\ref{theo_model} and \\ref{theo_results} we present theoretical results \nof tight binding modelling of Mn in GaAs \nwhere a magnetic field has been explicitly included in the Hamiltonian. \nThese calculations support our experimental observations and show that \na dependence of LDOS on external magnetic is in fact expected only for Mn acceptors placed several\nlayers below the GaAs (110) and can be detected only with stronger magnetic \nfields than the ones presently available.\n\n\\section{Review}\n\\label{review}\nTang et al. \\cite{tangflatte_prb05} and Strandberg et al. \\cite{scm_MnGaAs_paper1_prb09} \nhave reported results of calculations of the dependence the Mn acceptor hole wavefunction \non the orientations of the Mn magnetic moment. \nThe paper by Tang et al. \\cite{tangflatte_prb05} describes the Mn LDOS in bulk GaAs \nwith an sp$^{3}$ tight binding model in which the Mn core spin is taken in calculation \nby a spin dependent term in the potential at the four nearest neighbor sites in a zinc-blende crystal. \nIt is found that the energy spectrum of the Mn is independent of the Mn core spin orientation. \nHowever, the LDOS of the Mn is found to be depending on the Mn spin orientation. \nA qualitative description of this dependence is given in terms of spin-orbit coupling between the spin of \nthe Mn core and the orbital character of the Mn acceptor hole. \nIn absence of spin-orbit interaction, the LDOS of the Mn acceptor state would have \nthe same T$_{d}$ symmetry as the surrounding zinc-blende crystal. \nHowever, the spin-orbit coupling is taken into account and the symmetry of \nthe Mn acceptor wavefunction is reduced. The contour surface of the acceptor \nLDOS for various Mn core spin directions show that in general, the LDOS has an \noblate shape with the short axis aligned with the Mn core spin axis. \nFor a quantitative comparison with X-STM experiments, cross sectional views of the \nLDOS are calculated in the (110) plane. The largest variation in the cross sectional \nimages of the LDOS is seen when the Mn core spin direction changes from [001] or [1$\\bar{1}$0] to [110]. \nA variation in LDOS of up to 90$\\%$ is predicted by these tight binding calculations \nwhen the Mn core spin switches from parallel to perpendicular to the (110) surface. \nThere is also a small difference of 15$\\%$ in the LDOS when the Mn core spin is aligned \nin the two directions parallel to the (110) plane. When the spin of Mn core can be \nchanged with an external magnetic field and possibly \nwith ESR techniques \\cite{schneider_prb87, yacoby_nat_phys_2011}, \nthe differences in the LDOS are expected to be visible in an X-STM experiment.\n\n \nThis model gives a good description of Mn in bulk GaAs but the effect of \nthe cleavage surface is completely neglected. In fact it has been shown experimentally\\cite{celebi_prl10} that \nthe wavefunction of a Mn near the (110) cleavage surface can be strongly affected \nby the strain from the surface relaxation. In the same paper, bulk tight binding calculations support the observation of a broken symmetry near the surface. The surface is taken into account by applying a uniform strain to the bulk model by shifting the Ga lattice with respect to the As lattice. The calculation results presented in that paper are the average of different Mn core spin orientations. In Fig. \\ref{fig:JMing}, the same results are presented but for individual Mn core spin orientations. Fig. \\ref{fig:JMing} was unpublished in this form. A clear difference in LDOS can be observed when the Mn core spin changes its orientation from the hard axis to the easy axis.\n\\begin{figure}[h]\n\\centering\n\\includegraphics[scale=0.7]{Fig1.eps}\n\\caption{(a) Magnetic Anisotropy Energy (MAE) of a Mn acceptor according to a tight binding calculation for strained bulk material. The energy level difference between the easy and the hard axis is about 23 meV, based on a uniform strain estimated in Ref. \\cite{celebi_prl10}. The angles $\\theta$ and $\\phi$ have the same definition as in Fig. \\ref{fig:crystal}. (b) Mn LDOS at five atomic layers from the Mn position when the core spin is oriented along the (b) easy axis or (c) hard axis.}  \n\\label{fig:JMing}\n\\end{figure}\n\nIn the paper by Strandberg et al. \\cite{scm_MnGaAs_paper1_prb09} the \nreconstructed surface is taken into account for the calculation of the LDOS dependence \nof the Mn acceptor state on the Mn core spin orientation using a tight binding model \nwhich includes the exchange interaction, spin-orbit coupling and Coulomb interaction. \nThis makes a direct comparison with X-STM experiments more justified and the results \nindeed show the same experimentally observed breaking of the symmetry of the wavefunction \ndue to the near presence of the surface. In Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09} \nMn acceptors in bulk GaAs\n(neglecting the surface) have also been considered. For Mn in bulk GaAs, the energy level \nof the Mn state calculated for different orientations of the Mn core spin \nshows a small magnetic anisotropy, in contrast to the results of\nRef.~\\onlinecite{tangflatte_prb05}, where no magnetic anisotropy was found for Mn in bulk. \nThe easy axis in Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09} for the Mn core spin is oriented along the [001] direction \nwhereas the hard axis is found to be lying in the (001) plane. The energy barrier between \nthe hard axis and the easy axis is found to be 4.35 $meV$ which is very small in comparison \nwith the Mn binding energy in GaAs (113 $meV$). At first, the presence of a magnetic anisotropy \nis surprising since there is no difference between the [001] and [010] or [100] \ndirections in a Zinc-Blende crystal. The observed anisotropy can be explained by the use \nof periodic boundary conditions on finite clusters used in this paper \\cite{scm_MnGaAs_paper1_prb09}. \nThe influence of other Mn atoms in the area may indeed introduce a small magnetic anisotropy \nand thus the observed magnetic anisotropy of Mn in bulk GaAs is artificial.\nIndeed, more recent calculations carried on out on much larger clusters show that the bulk magnetic\nanisotropy decreases monotonically with cluster size, down to a fraction of a meV for the\nlargest clusters of 40,000 atoms \\cite{rm_cmc_2012}.\n\nOn the other hand, the calculation of the LDOS for Mn in bulk GaAs in Ref. \\cite{scm_MnGaAs_paper1_prb09} shows good similarity \nwith the calculations in Ref. \\cite{tangflatte_prb05}. The LDOS is found to be spreading \nin the direction perpendicular to the Mn core spin axis. The change in the shape of \nthe LDOS is explained in terms of the p$_{x}$, p$_{y}$ and p$_{z}$ character of the Mn acceptor hole. \nFor different orientations of the Mn core spin, different components in the character dominate. \nWhen the Mn core spin direction is changed from [1$\\bar{1}$0] to [110] a drop \nin LDOS of 74$\\%$ is observed at 4 atomic layers from the Mn position. \nThis drop in LDOS is 25$\\%$ when the core spin direction changes from [1$\\bar{1}$0] to [001], \nwhich is again in good agreement with the other calculations in \\cite{tangflatte_prb05}.\n\nIn Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09} similar calculations have been done for \nMn in or below the GaAs (110) surface layer. \nFor Mn at the surface and the first subsurface layer, a strong localization of \nthe LDOS is observed and a magnetic easy axis in the [111] direction is found. \nThe difference in LDOS for different Mn core spin orientations is negligible. \nThus in an X-STM experiment, we expect to see no effect of the magnetic field on \nthe Mn atoms very close to the surface.\n\nFor Mn atoms deeper below the (110) surface, the LDOS becomes more extended and \nthe magnetic anisotropy shows a complex behavior for subsequent depths. \nHowever, from the fourth layer beneath the (110) surface and deeper, one can recognize the \nemergence of an easy plane with its normal in the [1$\\bar{1}$0] direction. \nThe anisotropy energy is found to be at least 15 meV. Images of the (110) surface LDOS \nshow that there is an increasing difference in LDOS for an increasing depth \nwhen the Mn core spin changes from the easy axis to the hard axis. \nFor Mn atoms placed on fourth subsurface layers and deeper, the difference in LDOS varies between 40$\\%$ and 82$\\%$.\n\nIn summary, both Refs. ~\\onlinecite{tangflatte_prb05} and ~\\onlinecite{scm_MnGaAs_paper1_prb09} \nhave treated the behavior of the Mn acceptor hole LDOS \nin the (110) plane for different Mn core spin orientations. In both papers it is found that \nwhen the Mn core spin direction is changed from [1$\\bar{1}$0] to [110], a drastic change \nin the LDOS is taking place. \nThe inclusion of the cleavage surface relaxation has resulted in similar observations.\n\nThe mechanism for the magnetic anisotropy in Refs.~\\onlinecite{tangflatte_prb05} \nand \\onlinecite{scm_MnGaAs_paper1_prb09} is the same --- the presence of the surface, \nor strain, lowers the energy of an orbital wave function with quantization axis along \na specific direction, and the spin-orbit interaction (which correlates the spin axis\nwith the orbital axis) causes that preferred orbital direction to select a preferred spin axis. \nThe effective energy associated with the correlation between spin axis and \norbital axis is of the same order as the binding energy \n(Refs.~\\onlinecite{FlattePRL2004, tangflatte_prb05,scm_MnGaAs_paper1_prb09} \nfound it to be $\\sim 40$~meV). \nAt magnetic fields required to overcome the magnetic anisotropy energy \nthe magnetic length is of order $3$~nm, which is three times larger than the \neffective Bohr radius of the acceptor ($\\sim 1$~nm). Therefore the overall distortion \nof the acceptor state wave function due to the direct effect of the magnetic field \non the orbital wave function is small compared with the spin-orbit term. \nWhat is not certain, however, is whether the effect of the magnetic field \non the acceptor state wave function can substantially change the magnetic anisotropy; \nthis will be examined in Section~\\ref{theo_results}.\n\nIn an X-STM experiment, one \ncan also check the results of\nthese calculations by applying a \nmagnetic field perpendicular and parallel to the (110) cleavage plane and by measuring \nthe Mn contrast, which can change with a factor as high as 90$\\%$. \nIn the next section, we discuss the X-STM experiments that have been performed \nto observe the predicted effects.\n\\section{Experiments}\n\\label{exp_results}\nA Mn doped layer of 500 $nm$ thick was grown on a p-type GaAs substrate at high temperature with Mn concentrations of about 3$\\times$10$^{19}$ $cm^{-3}$. The experiments are performed with an Omicron Cryogenic STM operating at a base temperature of 2.5 K. A magnetic field vector can be applied with fields of up to 6 T in the z-direction only or max. 2 T in the z-direction together with max. 1 T in the x- and y-directions. The x-, y- and z-direction are indicated in figure \\ref{Figure1}a where 2 Mn atoms at different depths below the cleaved surface are visible.\n\\begin{figure\n\\includegraphics[height=130mm,width=80mm]{Fig2.eps}\n\\caption{13x13 nm X-STM images of two Mn atoms at different depths below the (110)\n cleavage plane. \nThe x direction corresponds with the crystallographic [001] direction and the y-direction \ncorresponds with the [1$\\bar{1}$0] direction. The images are taken at +1.4 V and 50 pA \nat a temperature of about 2.5 K. In a) a magnetic field of 1 T is oriented \nin the [1$\\bar{1}$0] y-direction and in b) a magnetic field of -6 T is oriented \nin the [110] z-direction.}\n\\label{Figure1}\n\\end{figure}\nThe magnetic field is indicated in the vector notation in units of T: $\\vec{B}$=($B_{x}$,$B_{y}$,$B_{z}$).\\\\\nFrom Ref. \\cite{celebi_prl10}, we estimate that Mn A is approximately 8 atomic layers \nbelow the cleavage surface and that Mn B is at about 5 atomic layers below the cleavage surface. \nIn \\cite{scm_MnGaAs_paper1_prb09}, a change in contrast of 40$\\%$ is predicted for a \nMn A at 8 layers below the cleavage surface when the Mn core spin changes from the \n[110] direction to the [1$\\bar{1}$0] direction. For Mn B at 5 atomic layers beneath \nthe cleavage surface, a change of 60$\\%$ is predicted when the Mn core spin direction \nchanges from the [110] direction to the [1$\\bar{1}$0] direction. \nAs can be seen from the comparison of figures \\ref{Figure1}a and \\ref{Figure1}b, \nthere is no change at all in the Mn contrast for both Mn atoms when the magnetic \nfield is changed from 1 T in the y direction to -6 T in the z-direction.\n\\begin{figure\n\\begin{center}\n\\includegraphics[height=130mm,width=80mm]{Fig3.eps}\n\\caption{a) Contrast of Mn A along the [001] direction indicated with a dashed line in figure \\ref{Figure1}b. \nb) same plot for Mn B. Mn A has FWHM of about 4.5 $nm$ and Mn B has a FWHM of about 2.0 $nm$}\n\\label{ULCombined}\n\\end{center}\n\\end{figure}\nIn figure \\ref{ULCombined}, a more quantitative comparison is made by looking \nat the contrast of the Mn atoms in different magnetic fields through the \ndashed lines in figure \\ref{Figure1}b. Also in these plots, it can be seen that \nfor both Mn atoms, there is no difference at all in the contrast for different orientations of the magnetic field.\\\\\nFor Mn B, the plots for B=(0,1,0) and B=(0,0,-6) are slightly different from the rest \nbecause of a small tip modification that has taken place. \nThe tip has become slightly less sharp in the scan direction (the [001] x-direction) and \nthis difference is noticed when sharper objects like Mn B are imaged. \nMn A has FWHM of about 4.5 $nm$ in the scan direction,\nwhile Mn B has a sharper feature with a FWHM of about 2.0 $nm$. The different FWHM of\nthe Mn features has been related to the depth below the GaAs surface  \\cite{celebi_prl10} \\\\\n\n\\section{THEORETICAL MODEL}\n\\label{theo_model}\nWe model theoretically substitutional Mn impurities in GaAs following the procedure\nput forward in Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09}.\nOur second-quantized tight-binding Hamiltonian for\n(Ga,Mn)As takes the following form:%\n\\begin{align}\nH &  =\\sum_{ij,\\mu\\mu^{\\prime},\\sigma}t_{\\mu\\mu^{\\prime}}^{ij}a_{i\\mu\\sigma\n}^{\\dag}a_{j\\mu^{\\prime}\\sigma}+J_{pd}\\sum_{m}\\sum_{n[m]}\\vec{S}_{n}\\cdot\n\\hat{\\Omega}_{m}\\nonumber\\\\\n&  +\\sum_{i,\\mu\\mu^{\\prime},\\sigma\\sigma^{\\prime}}\\lambda_{i}\\langle\\mu\n,\\sigma|\\vec{L}\\cdot\\vec{S}|\\mu^{\\prime},\\sigma^{\\prime}\\rangle a_{i\\mu\\sigma\n}^{\\dag}a_{i\\mu^{\\prime}\\sigma^{\\prime}}\\nonumber\\\\\n&  +\\frac{e^{2}}{4\\pi\\varepsilon_{0}\\varepsilon_{r}}\\sum_{m}\\sum_{i\\mu\\sigma\n}\\frac{a_{i\\mu\\sigma}^{\\dag}a_{i\\mu\\sigma}}{|\\vec{r}_{i}\\mathbf{-}\\vec{R}%\n_{m}|}+V_{\\rm Corr},\\label{hamiltonian}%\n\\end{align}\nwhere $i$ and $j$ are atomic indices that run over all atoms, $m$ runs over\nthe Mn, and $n[m]$ over the nearest neighbors of Mn atom $m$. $\\mu$ and $\\nu$\nare orbital indices and $\\sigma$ is a spin index. The first term in\nEq.~(\\ref{hamiltonian}) contains the near-neighbor Slater-Koster tight-binding\nparameters\\cite{slaterkoster_pr54,papac_jpcm03} that reproduce the\nband structure of bulk GaAs\\cite{chadi_prb77} and that are\nrescaled\\cite{chadi_prl78,chadi_prb79,scm_MnGaAs_paper1_prb09} when needed to\naccount for the buckling of the (110) surface. \n\nThe second term implements the\nantiferromagnetic exchange coupling between \nthe Mn spin $\\hat{\\Omega}_{m}$ (treated as\na classical vector) and the nearest neighbor \nAs $p$-spins $\\vec{S}_n =  1\/2\\sum_{\\pi\\sigma{\\sigma'}} a_{n\\pi\\sigma}^\\dagger \n\\vec{\\tau}_{\\sigma{\\sigma'}} a_{n\\pi{\\sigma'}}$.\nThe exchange coupling $J_{pd}=1.5$ eV has been inferred from\ntheory \\cite{timmacd_prb05} and experiment \\cite{ohno_sci98}. As a result of\nthis term the acceptor hole that is weakly bound to the Mn will become spin\npolarized. \nThis\nmodel contains only $s$ and $p$ orbitals, and the effect of the Mn $3d^{5}$\nelectrons is encoded in the exchange term.\n\nNext, we include an on-site spin-orbit one-body term, where the\nrenormalized spin-orbit splittings are taken from\nRef.~\\onlinecite{chadi_prb77}. Spin-orbit coupling will cause the total\nenergy to depend on the Mn spin direction, defined by a collinear variation of\n$\\hat{\\Omega}_{m}$. \n\nThe fourth term is a long-range repulsive Coulomb part\nthat is dielectrically screened by the host material. To account in a simple way for weaker\ndielectric screening at the surface, the dielectric constant $\\epsilon_r$ for a Mn on the\nsurface is reduced from the bulk GaAs value 12 to 6 for the\naffected surface atoms. This crude choice is qualitatively supported by\nexperimental results \\cite{Teichmann_prl08,Gupta_NanoLett}.\\ \n\nThe last term $V_{\\rm Corr}$ is \na one-particle correction potential\nfor the Mn central cell. This term is the least known and understood theoretically. It consists \nof on- and off-site\nparts, $V_{\\mathrm{\\rm corr}}=V_{\\mathrm{\\rm on}}+V_{\\mathrm{\\rm off}}$ \nwhich influence\nthe Mn ion and its As nearest neighbors respectively. The on-site Coulomb\ncorrection is estimated to be $1.0$ eV from the ionization energy of Mn. The\noff-site Coulomb correction affects all the nearest-neighbor As atoms surrounding\nthe Mn ion and together with the exchange interaction, it reflects\nprimarily the $p$-$d$ hybridization physics and is the parameter \nthat in the model primarily controls the binding energy of the\nhole acceptor state.\nThe off-site Coulomb correction value is set by tuning the position of the\nMn-induced acceptor level in the bulk to the experimentally observed\nposition\\cite{schairer_prb74,lee_ssc64,chapman_prl67,linnarsson_prb97} at 113\nmeV above the first valence band level. \nThe value thus obtained is\n$V_{\\mathrm{\\rm off}}=2.4$ eV. \nWhen the Mn impurity is on the GaAs surface, the value\nof $V_{\\mathrm{\\rm off}}$ is reduced to ensure that the position of the acceptor\nlevel is consistent with the value attained via STM spectroscopy. \n\nThe off-site Coulomb correction is in fact a repulsive potential for the electrons. \nIf we use the bulk value (2.4 eV) for the surface, the acceptor level lies deep in \nthe gap at 1.3 eV above the valence band,  which means the acceptor wave function \nis now much more localized around the Mn than its bulk counterpart. In order to \nguarantee the experimentally observed position for the acceptor level, 0.85 eV \n\\cite{yazdani_nat06}, we have to decrease this repulsive potential for the \nelectrons, which causes the hole wave function to be less localized with a corresponding smaller\nbinding energy.\n\nThe electronic structure of GaAs with a single substitutional Mn atom \nis obtained by\nperforming a super-cell type calculation with a cubic cluster of a  few thousands atoms\nand periodic boundary conditions in either 2 or 3 dimensions, depending on\nwhether we are studying the $\\left(  110\\right)  $ surface or a bulk-like\nsystem. The $\\left(  110\\right)  $ surface of GaAs is simplified from both\ntheoretical and experimental points of view, by the absence of large surface\nreconstruction. In order to remove\nartificial dangling-bond states that would otherwise appear in the\nband gap, we include relaxation of surface layer positions \nfollowing a procedure introduced in \nRefs.~[\\onlinecite{chadi_prl78, chadi_prb79}].\nFor more details the reader is\nreferred to Ref.~[\\onlinecite{scm_MnGaAs_paper1_prb09}].\n\nWe would like to emphasize that the strength of the off-site Coulomb correction is the \nonly important fitting parameter of the model,\nand its value is fixed once for all by the procedure described above. \nAll the other parameters in Eq.~\\ref{hamiltonian} are either determined\nby theoretical considerations, or for the cases when this is not possible \n(e.g. short- range onsite potential) their values\nare extracted from experiment. In any case, they affect weakly the properties of the acceptor level.\nOnce the parameters of the Hamiltonian of\nEq.~\\ref{hamiltonian}\nare chosen in the way indicated above, the model has to be viewed as a microscopic description,\nwith predictive power, of the properties of Mn impurities in GaAs surfaces and subsurfaces.\nIn this sense the model of Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09} has been quite successful \nin capturing some of the salient features\nof the STM experiments \\cite{koenraad_prb08, GarleffPRB2010}, probing the Mn-dopant acceptor hole \nnear the GaAs (110) surface. For example, \nit correctly \ndescribes the dependence of the acceptor binding energy \\cite{GarleffPRB2010} \nand the shape of the hole wave function \\cite{koenraad_prb08} on the layer depth below \nthe surface on which the magnetic dopant is positioned. The model also makes a prediction\non how the magnetic anisotropy barrier for the Mn-impurity--hole magnetic complex changes as a function\nof the layer depth. These predictions can be indirectly checked by the magnetic-field studies that are\nthe main scope of the present paper.\n\nIn order to study the response \nof the system to an external magnetic field, we introduce the Zeeman term\n\\begin{eqnarray}\nH_{z} &=& - \\frac{\\mu_B}{ \\hbar} \\sum_i \\sum_{\\mu{\\mu'}\\sigma{\\sigma'}} \n \\bigg\\langle\\mu\\sigma\n\\bigg|(\\vec L+g_s\\vec S)\\cdot \\vec B\\bigg|{\\mu'}{\\sigma'}\n\\bigg\\rangle  a_{i\\mu\\sigma}^\\dagger a_{i{\\mu'}{\\sigma'}} \\nonumber \\\\\n && -g_s \\frac{\\mu_B}{\\hbar} \\sum_m  \\hat{\\Omega}_m \\cdot \\vec B\\;,\n\\label{eq:six} \n\\end{eqnarray}\nwhere the first term runs over all $s$ and $p$ orbitals of all atoms, \nand the second term represents the coupling of the magnetic field with the magnetic moment of the Mn \nimpurities, treated as a classical vector. \nHere $\\mu_B=  \\frac{\\hbar e} {2m} = 5.788 \\times 10^{-2}\\ {\\rm meV\\ T}^{-1}$ is the Bohr magneton, $g_s = 2$,\nand we follow the incorrect but common convention that spins and magnetic moments are parallel to each other\n\\footnote{Because the electron charge is negative, \nmagnetic moments and angular momentum are in fact oriented antiparallel to each other. \nIn a magnetic field the energetically favorable direction of the magnetic moment is parallel to the field\nwhile the direction of the spin is antiparallel. Assuming that magnetic moment and angular momentum are\nparallel is strictly speaking incorrect but does not change the physics.}.\nTherefore in the paper we will loosely refer to the direction of $\\hat \\Omega$ as the direction\nof the Mn magnetic moment. \n\n\n\\section{THEORETICAL RESULTS AND DISCUSSION}\n\\label{theo_results}\nWe start by analyzing the magnetic anisotropy properties for one Mn at the (110) GaAs surface layer and the immediate\nsubsurface layers, and see how these are modified by the presence of an external magnetic\nfield of a few Tesla. The magnetic anisotropy landscape as a function of $\\hat \\Omega$ \nfor one Mn at the surface and the first 9 subsurfaces\nhas been studied in detail in Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09}. Typically the system has an uniaxial\nanisotropy  with two minima separated by an energy barrier. We will refer to the $\\hat \\Omega$ direction of\nminimum energy as the {\\it easy} direction and the one of maximum energy as the {\\it hard} direction. \n\nWe first consider the case of one Mn impurity at the (110) surface.\nTo facilitate the comparison with the case in which a magnetic field is present, we recalculated\nand plotted here anisotropy landscapes and LDOS in the absence of the magnetic field, originally published \nin Ref.~\\onlinecite{scm_MnGaAs_paper1_prb09}, using an improved code.\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[scale=0.17]{Fig4.eps}\n\\caption{Color online -- The direction of $\\theta$ and $\\phi$ with respect to the crystal axis.}\n\\label{fig:crystal}\n\\end{figure}\n\n\\begin{figure\n\\centering\n\\includegraphics[scale=0.16]{Fig5.eps}\n\\caption{Color online -- The magnetic anisotropy energy (MAE) landscape and the Mn-acceptor-level \nlocal density of states (LDOS) for one Mn at \nthe [110] surface. \n(a) The MAE in the absence of an external magnetic field, as a function\nof the angles $\\theta$ and $\\phi$ defining the direction of the Mn spin $\\hat \\Omega$. The barrier (hard)\ndirection is marked with a circle and the minimum energy (easy direction) with a square.\n(b) and (c) LDOS of the Mn acceptor level when the Mn magnetic moment \npoints in the easy and hard direction respectively, as defined in panel (a). (d) The MAE in the presence \nof a 6 T external magnetic field applied along the hard direction ($ \\theta=3\\pi\/4,\\phi=\\pi\/4 $). \n(e) The LDOS\nin the presence of a 6 T magnetic field. Here the Mn magnetic moment is along the easy direction determined by\nthe landscape (d) modified by the presence of the external field. The barrier (hard)\ndirection is marked with a circle and the minimum energy (easy direction) with a solid line.}\n\\label{fig:Surface}\n\\end{figure}\nIn Fig.~\\ref{fig:Surface}(a) we plot the anisotropy energy landscape in the absence of the magnetic field, as a function\nof the angles $\\theta$ and $\\phi$ defining the direction of $\\hat \\Omega$.\nThe coordinate system used for this and the other plots in the paper has $\\theta=0$ parallel to the [001] axis,\n$\\left(  \\theta=\\pi\/2,\\phi=0\\right)  $ parallel to [100], and\n$\\left( \\theta=\\pi\/2,\\phi=\\pi\/2\\right) $ parallel to [010]. \nSee Fig.~\\ref{fig:crystal}.\n\nThe anisotropy landscape displays two minima, identifying the easy direction [111], separated by an energy barrier\nof the order of 1 meV. Note that these tight-binding results of the\nmagnetic anisotropy of a Mn at the (110) GaAs surface are consistent with recent \nfirst-principles estimates\\cite{fi_cmc_prb_2012}. \nPanels (b) and (c) of Fig.~\\ref{fig:Surface} show the LDOS for the Mn acceptor state\nwhen the Mn spins point along the easy and hard direction respectively, determined from the landscape in (a).\nAs discussed in Sec. II and shown clearly in the figures, \nthe acceptor state wavefunction for a Mn on the surface is very localized around the impurity,\nand the dependence of the LDOS on the Mn spin orientation is negligible.\nThe acceptor wavefunction, itself strongly anisotropic, seems to be completely decoupled from the\norientation of the Mn magnetic moment. \n\nFig.~\\ref{fig:Surface}(d) and (e) show the effect of a 6 T magnetic field on the anisotropy and LDOS\nrespectively, when the field is \napplied in the hard direction of the anisotropy landscape in (a).\n\nWe can see that the magnetic field changes considerably the anisotropy landscape, which has now an easy axis\nat $\\theta = \\pi$ (the direction of the field). Note that in the presence of the field the anisotropy barrier \nhas increased up to $~ 4$ meV.\nThe LDOS in Fig.~\\ref{fig:Surface}(e) is now calculated for $\\hat \\Omega$ pointing along\nthe new easy axis, determined by the magnetic field. Despite the strong change in the anisotropy landscape\nbrought about by the magnetic field, the acceptor LDOS is essentially identical to the one calculated in the\nabsence of the field, in agreement with the experimental results.\n\nBefore continuing our LDOS analysis, it is useful to consider how\nthe anisotropy-energy barrier depends on the Mn-impurity depth from the (110) surface.  \nIn Fig.~\\ref{fig: MAE vs layer} we plot the largest value of the anisotropy energy barrier as a function\nof the subsurface layer index (layer 0 is the (110) surface). In general, \nin the absence of a magnetic field (red dots in the picture) the anisotropy barrier increases\nwith Mn depth, reaching a maximum of $~15$ meV for layers 4 and 5. It then starts to decrease and it should eventually \nreach a very small value corresponding to the case where the Mn is effectively in the bulk.\nFor the finite clusters that we have considering here (20 layers in the z-direction), the\nanisotropy remains large also when the impurity is effectively in the middle \nof the cluster (corresponding to layer 9 from the surface). Bulk calculations on considerably larger clusters show that the anisotropy for impurities in the middle of the clusters does decrease to a fraction\nof one meV\\cite{rm_cmc_2012}. \nFor these larger clusters the magnetic anisotropy of the Mn positioned in\non layers $\\ge 8$ is expected to decrease a bit with cluster size. However the qualitative\nbehavior of the first 7-8 layers shown in Fig.~\\ref{fig: MAE vs layer}, and the corresponding numerical\nvalues of the magnetic anisotropy are controlled by the vicinity to the surface and as such\nshould not depend strongly on cluster size\\cite{rm_cmc_2012}.\n\nLayer 1 (the first subsurface layer)is a special case\nin the sense that the anisotropy is very small, on the order of 0.1 meV. \nThe first subsurface represents the cross over from the case in which the Mn is at the surface, with \nthree nearest neighbor As, to a bulk-like\nenvironment characterized by four nearest neighbor As atoms. The properties of the acceptor level \nfound in STM experiments for a Mn positioned on this \nsubsurface are also quite anomalous\\cite{gupta_science_2010}. \nWhen a magnetic field of 6 T is applied along the hard direction\n(blue dots in Fig.~\\ref{fig: MAE vs layer}) the anisotropy barrier increases by a couple of meV. \nThe exception is again the first subsurface (layer 1), whose anisotropy is now \ncompletely controlled by the magnetic field and behaves in a similar way to the surface layer.\nThe behavior of the first subsurface anisotropy landscape is shown explicitly in Fig.~\\ref{fig:First sublayer} (a), (d). \n\nAs for the case of a Mn atom placed at the (110) surface, \nthe acceptor LDOS for a Mn on the first subsurface (see Fig.~\\ref{fig:First sublayer}(b), (c) ) \nis completely insensitive to the direction of the Mn magnetic moment. Again a 6 T magnetic field, which is able to\ncompletely modify the magnetic anisotropy landscape and orient the Mn moment parallel to its direction, does not have\nany detectable effect on the acceptor wave function, as shown in Fig.~\\ref{fig:First sublayer}(d).\n\n\\begin{figure\n\\centering\n\\includegraphics[scale=0.23]{Fig6.eps}\n\\caption{Color online -- The maximum MAE barrier height\nas a function of the Mn depth. Red dots are the MAE barrier \nheight in the absence of an external magnetic field, while blue dots represent the height in the \npresence of a 6 T external magnetic field.}\n\\label{fig: MAE vs layer}\n\\end{figure}\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[scale=0.8]{Fig7.eps}\n\\caption{The MAE landscape and the Mn-acceptor-level LDOS for one Mn in the \nfirst subsurface (i.e., one layer below the [110] surface). (a) The MAE in the \nabsence of an external magnetic field. The barriers (hard)\ndirections are marked with a circle. (b) and (c) the Mn acceptor LDOS\nfor the case in which the Mn magnetic moment points in the easy and hard \ndirection respectively. (d) The MAE in the presence of a 6 T external \nmagnetic field pointing along the (original) hard direction ($ \\theta=0,\\phi=\\pi $).\nThe minimum energy (easy direction) is shown with a solid line. \n(e) The Mn acceptor LDOS\nin the presence of a 6 T magnetic field. \nHere the Mn magnetic moment points in the new easy direction\ndetermined by the magnetic field, as shown in (d). The colorscale in (b) and (c) is the same as in (e).}\n\\label{fig:First sublayer}\n\\end{figure}\n\n\\begin{figure\n\\centering\n\\includegraphics[scale=0.8]{Fig8.eps}\n\\caption{The magnetic anisotropy energy (MAE) and the LDOS for one Mn in the \nfourth subsurface (fourth layer below the [110] surface). (a) The MAE in the \nabsence of an external magnetic field. (b) and (c) the LDOS of Mn acceptor \nlevel for the case that Mn magnetic moment points in the easy and hard direction respectively. \n(d) The MAE in the presence of a 6 T external magnetic field which points along the hard direction($ \\theta=\\pi\/2,\\phi=3\\pi\/4 $). \n(e) The LDOS in the case that magnetic moment points in the easy direction in the presence of a 6 T magnetic field.\nThe barrier direction in (a) and (d) is marked with a circle and the easy direction with a square. The colorscale in (b) and (c) is the same as in (e).}\n\\label{fig:Fourth sublayer}\n\\end{figure}\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[scale=0.8]{Fig9.eps}\n\\caption{As in Fig.~\\ref{fig:Fourth sublayer}, but for the fifth subsurface (fifth layer below the\n [110] surface). The colorscale in (b) and (c) is the same as in (e).}  \n\\label{fig:Fifth sublayer}\n\\end{figure}\nAs the Mn is placed in successively deeper layers below the surface and the acceptor wavefunction becomes less localized \naround the impurity, the situation changes. In Figs.~\\ref{fig:Fourth sublayer} and \\ref{fig:Fifth sublayer}\nwe plot the anisotropy landscape and the acceptor LDOS for the fourth and fifth subsurface \n(layer 4 and 5 below the surface)\nrespectively. As we discussed before, when the direction of the Mn moment is forced to point in the\nhard direction (panel (c) of Fig.~\\ref{fig:Fourth sublayer}) the LDOS around the Mn increases sensibly. \nThe two cases, easy (panel b) and hard axis LDOS are now clearly distinguishable. Since the acceptor wavefunction\nis always normalized, an increase of the LDOS in the core region implies that the acceptor \nwavefunction is considerably\nmore localized\nwhen the Mn magnetic moment points in the hard direction. \nOn the other hand, in contrast to the surface and the first subsurface, the energy barrier in this case is considerably\nlarger. A magnetic field of the order of those applied experimentally are now not strong enough to modify appreciably\nthe anisotropy landscape. This can be seen\nby comparing panel (a) -- no magnetic field -- with panel (d), where magnetic field of 6 T \nis applied in the hard direction.\nConsequently, the direction of the easy axis is only slightly modified in the presence of a magnetic field, and as a result, the corresponding acceptor LDOS appears now very similar to the zero-magnetic field case [panel (b)].\nThis is again in agreement with the experiments presented in this paper.\n\nAs mentioned before, the experiments presented in \\cite{GarleffPRB2010} showed the energy level splitting of Mn in GaAs close to the cleavage surface. For a typical Mn position at 5th subsurface layer, a total splitting of 14 meV is found between the 3 peaks which are attributed to the different projections of the total momentum J=1 which is the result of anti-ferromagnetic coupling between the 5\/2 Mn core spin and 3\/2 Mn acceptor total angular momentum. In Fig. \\ref{fig:Fifth sublayer}, it can be seen that the MAE is indeed about 15 meV which corresponds well with the findings in \\cite{GarleffPRB2010}.\n\nIn Fig. \\ref{fig:JMing}, the MAE as calculated in another tight binding calculation (strained bulk GaAs) is about 23 meV. This is more than the 15 meV of the supercell calculations (Fig. \\ref{fig:Fifth sublayer}) possibly because of the overestimated strain or its assumed uniformity.\n\nWe conclude that, although the LDOS of deep-subsurface Mn acceptors is in principle \nstrongly dependent on the Mn magnetic moment direction, its actual manipulation with an external magnetic field\nis not suitable at field strengths presently used in experiment.\n\n\\section{Conclusions}\n\nIn conclusion, this work is the first systematic study of the effect of an external \napplied magnetic field on the acceptor properties of individual Mn impurities in GaAs. \nSpecifically, we have investigated theoretically and experimentally \nthe effect of an external magnetic field on the acceptor hole wavefunction and LDOS\nof Mn impurities placed near the (110) surface of GaAs. The acceptor LDOS is directly accessible via\nX-STM experiments. \n\nThe motivation of this study was in part provided by previous theoretical studies which predicted that\nthe LDOS in some cases strongly depends on the orientation of the magnetic impurity magnetic moment. \nThe theoretically model used in this analysis is essentially parameter-free, \nonce the energy of the surface acceptor state is fixed to reproduce the experimental value.\n\nExperimentally we find that there is no detectable difference in the STM images of the acceptor hole LDOS when\na magnetic field up to 6 T is applied in several directions with respect to the crystal structure.\nTo reconcile theory and experiment we have carried out a theoretical analysis of the magnetic anisotropy energy\nand acceptor hole wavefunction in the presence of a magnetic field. We have shown that for Mn impurities placed in \ndeep sub-layers below the surface, the calculated magnetic anisotropy landscape is characterized by energy barriers\nof the order of 10-20 meV, which are only minimally affected by magnetic fields used in experiment.\nWe estimate that one needs to employ much stronger fields \n(on the order of tens of Tesla) to modify significantly the \nanisotropy landscape and rotate the magnetic moment of the impurity. This estimate is based on the idea of manipulating a spin=5\/2 object with g-factor=2 with an external field to overcome an energy barrier of 15 meV.\n\nFor impurities placed near the surface,\nthe magnetic anisotropy is small enough to be considerably affected by a magnetic field of a few T. However,\nfor this case the acceptor hole LDOS is much less sensitive to the orientation of the Mn magnetic moment.\nThe combination of these two facts seem to explain the experimental finding that the the STM images of the\nacceptor hole wavefunction is essentially unaffected by an external magnetic field.\n\nOur studies show that the Mn-dopant behavior close to the GaAs surface depends on the\nlayer depth in a complex and highly non trivial way. These studies also suggest that it could be \ninteresting to carry out a similar investigation\nfor other magnetic dopants and other semiconductors. \nIt might be possible that for \nsome of these systems the acceptor wavefunction for a dopant near the surface \nbe more delocalized and amenable to an easier manipulation \nby a static magnetic field, displaying the effects \noriginally predicted for Mn in GaAs. It should also be possible \nto use resonant techniques, such as those commonly used \nin electron spin resonance and ferromagnetic resonance, \nto map out the anisotropy landscape presented \nhere for Mn near the GaAs surface. \nFinally, excitations of the spin that would correspond \nto the quantized spin in the anisotropy landscape \nhere should be visible in inelastic tunneling spectroscopy. \nThus these new predictions do not mean that Mn spin dynamics \nis impossible to see near the surface of GaAs, \nmerely that it is more challenging to observe.\n\n\n\\begin{acknowledgments}\nWe would like to thank W. van Roy and Z. Li for the Mn doped GaAs samples which they have provided and A. H. MacDonald for several useful discussions.\nWe would like to thank also B. Bryant for substantial experimental support during the X-STM measurements.\n\nThis work was supported by STW-VICI Grant No. 6631. We acknowledge support from the Engineering and Physical Sciences Research Council (EPSRC) through grants EP\/D063604\/1 (PS, SRS, NJC, and CFH) and EP\/H003991\/1 (SRS). This work was also supported  in part by the Faculty of Natural Sciences at Linnaeus University,\nby the Swedish Research Council under Grant Numbers: 621-2007-5019\nand 621-2010-3761 and by the Nordforsk research network: 08134, {\\it\nNanospintronics: theory and simulations}.\n\\end{acknowledgments}\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{The Kitaev limit \\label{app:kitaev}}\nTo get the Hamiltonian (\\ref{eq:eff_ham}) from Eqs.(\\ref{eq:genProxHam1})-(\\ref{eq:genProxHam}), let's write all four BdG equations explicitly \n\\begin{eqnarray}\n\\begin{cases}\n\\left( \\hat{\\xi} - Z_z  - E \\right) u_\\uparrow =\n\\left(\\hat{S} + Z_x \\right) u_\\downarrow - \\Delta_{ind} v_\\downarrow\n\\\\\n-\\left( \\hat{S}^\\dagger + Z_x \\right) u_\\uparrow + \\Delta_{ind} v_\\uparrow =\n\\left( E - \\hat{\\xi} - Z_z  \\right) u_\\downarrow\n\\\\\n\\Delta_{ind}^* u_\\uparrow -\\left( \\hat{S}^{*\\dagger} + Z_x \\right) v_\\uparrow =\n\\left( E + \\hat{\\xi}^* + Z_z \\right) v_\\downarrow\n\\\\\n\\left( -\\hat{\\xi}^* + Z_z  - E \\right) v_\\uparrow =\n-\\Delta_{ind}^* u_\\downarrow +\\left( \\hat{S}^* + Z_x \\right) v_\\downarrow\n\\end{cases},\n\\end{eqnarray}\nwhere $Z_{x,z}(\\theta)=g \\mu_B B_{x,z}(\\theta)$ are the components of the Zeeman term, $\\hat{S}=\\mathrm{i} u\\{\\mathrm{e}^{-\\mathrm{i} \\varphi(s)},\\hat{P}\\}\/2$ originates from the SOC term, $\\hat{\\xi} = \\hat{P}^2\/2m - \\mu_0$ is a kinetic term, $u_{\\uparrow\\downarrow}(s)$ and $v_{\\uparrow\\downarrow}(s)$ are the spin-up and spin-down electron and hole components of the eigenfunctions, and $E$ is the state's energy. \nAs a next step, we need to eliminate the off-diagonal contributions coming from the Zeeman interaction term by the following rotation of variables:\n\\begin{eqnarray}\n\\begin{cases}\nu_- = \\cos\\frac{\\theta}{2} u_\\uparrow + \\sin\\frac{\\theta}{2} u_\\downarrow \\ ,\n\\\\\nu_+ = -\\sin\\frac{\\theta}{2} u_\\uparrow + \\cos\\frac{\\theta}{2} u_\\downarrow \\ ,\n\\\\\nv_+ = \\cos\\frac{\\theta}{2} v_\\downarrow + \\sin\\frac{\\theta}{2} v_\\uparrow \\ ,\n\\\\\nv_- = -\\sin\\frac{\\theta}{2} v_\\downarrow + \\cos\\frac{\\theta}{2} v_\\uparrow \\ .\n\\end{cases}\n\\end{eqnarray}\nIn the new variables $u_\\pm$ and $v_\\pm$ we obtain:\n\\begin{eqnarray}\n\\begin{cases}\n\\left( \\hat{\\xi} - Z - \\hat{S}_\\parallel  - E \\right) u_- =\n\\hat{S}_\\perp u_+ - \\Delta_{ind} v_+\n\\\\\n-\\hat{S}_\\perp^\\dagger u_- + \\Delta_{ind} v_- =\n\\left( E - \\hat{\\xi} - Z -  \\hat{S}_\\parallel \\right) u_+\n\\\\\n\\Delta_{ind}^* u_- - \\hat{S}_\\perp^{*\\dagger} v_- =\n\\left( E + \\hat{\\xi}^* + Z + \\hat{S}_\\parallel^* \\right) v_+\n\\\\\n\\left( -\\hat{\\xi}^* + Z  - E + \\hat{S}_\\parallel^* \\right) v_- =\n-\\Delta_{ind}^* u_+ + \\hat{S}_\\perp^* v_+\n\\end{cases},\n\\end{eqnarray}\nwhere\n\\begin{eqnarray}\n\\hat{S}_\\parallel = \\frac{u \\sin\\theta }{2} \\Big\\{\\sin\\varphi(s),\\hat{P}\\Big\\},\n\\\\\n\\hat{S}_\\perp = \\mathrm{i} \\frac{u}{2} \\Big\\{ \\cos\\varphi(s) - \\mathrm{i} \\cos\\theta\\sin\\varphi(s),\\hat{P} \\Big\\}\n\\end{eqnarray}\nare the SOC components in the new basis and $Z=g\\mu_B B$ is the Zeeman energy. Excluding now the high-energy components $u_+(s)$ and $v_+(s)$, we can write the equations describing the behavior of the low-energy components as follows:\n\\begin{eqnarray}\n\\begin{cases}\n\\left( \\hat{\\xi} - Z - \\hat{S}_\\parallel  - E \\right) u_- = \\hat{T}_{ee}u_- + \\hat{T}_{eh} v_-\n\\\\\n\\left( -\\hat{\\xi}^* + Z  - E + \\hat{S}_\\parallel^* \\right) v_- = \\hat{T}_{he} u_- + \\hat{T}_{hh} v_-\n\\label{eq:A6}\n\\end{cases}.\n\\end{eqnarray}\nHere\n\\begin{eqnarray}\n\\begin{split}\n\\hat{T}_{ee} = - \\hat{S}_\\perp &\\left( E - \\hat{\\xi} - Z -  \\hat{S}_\\parallel \\right)^{-1} \\hat{S}_\\perp^\\dagger\n\\\\\n& -\\Delta_{ind} \\left( E + \\hat{\\xi}^* + Z + \\hat{S}_\\parallel^* \\right)^{-1} \\Delta_{ind}^*\n\\end{split},\n\\\\\n\\begin{split}\n\\hat{T}_{hh} = - \\Delta_{ind}^* &\\left( E - \\hat{\\xi} - Z -  \\hat{S}_\\parallel \\right)^{-1} \\Delta_{ind}\n\\\\\n& -\\hat{S}_\\perp^* \\left( E + \\hat{\\xi}^* + Z + \\hat{S}_\\parallel^* \\right)^{-1} \\hat{S}_\\perp^{*\\dagger}\n\\end{split},\n\\\\\n\\begin{split}\n\\hat{T}_{eh} = \\hat{T}_{he}^\\dagger = &\\hat{S}_\\perp \\left( E - \\hat{\\xi} - Z -  \\hat{S}_\\parallel \\right)^{-1} \\Delta_{ind}\n\\\\\n&+ \\Delta_{ind} \\left( E + \\hat{\\xi}^* + Z + \\hat{S}_\\parallel^* \\right)^{-1} \\hat{S}_\\perp^{*\\dagger}\n\\end{split}\n\\end{eqnarray}\nare the operators describing the scattering of the low-energy modes at the high-energy ones. \nGeneralizing the perturbative procedure described in \\cite{oppen14} for the case of the inhomogeneous angle $\\varphi (s)$\nwe omit the second order corrections in the operators $\\hat{S}$ and $\\Delta_{ind}$ and obtain the off-diagonal terms of the Hamiltonian (\\ref{eq:eff_ham}).\nIndeed, the diagonal terms $\\hat{T}_{ee}$ and $\\hat{T}_{hh}$ are proportional to the squares of the operators $\\hat{S}$ and $\\Delta_{ind}$ and, hence, can be neglected, while $\\hat{T}_{eh}$ can be rewritten in the form\n\\begin{eqnarray}\n\\hat{T}_{eh} \\simeq \\frac{1}{2Z} \\left( \\Delta_{ind} \\hat{S}_\\perp^{*\\dagger} - \\hat{S}_\\perp\\Delta_{ind} \\right).\n\\end{eqnarray}\nAfter some algebra, we obtain\n\\begin{eqnarray}\n\\hat{T}_{eh} \\simeq\n-\\left\\{ \\mathrm{i}\\frac{ u \\Delta_{ind}}{2 g\\mu_B B}\n\\Big( \\cos\\varphi(s) - \\mathrm{i} \\cos\\theta\\sin\\varphi(s) \\Big), \\hat{p} \\right\\},\n\\end{eqnarray}\ni.e. precisely the upper off-diagonal term of the Hamiltonian~(\\ref{eq:eff_ham}). Finally, redefining the vector and chemical potentials in the diagonal entries of the system (\\ref{eq:A6}) to get rid of the terms $\\hat S_\\parallel$ and $Z$ correspondingly as\n\\begin{eqnarray}\n\t\\tilde{A}_s = A_s + \\frac{m u c \\sin\\theta}{e} \\sin\\varphi(s),\n\t\\\\\n\t\\tilde\\mu = \\mu + Z + \\frac{m u^2}{2} \\sin^2\\theta \\sin^2\\varphi(s),\n\\end{eqnarray}\nwe arrive at the effective Hamiltonian in the form~(\\ref{eq:eff_ham}).\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{INTRODUCTION}\nFull waveform inversion (FWI) is a waveform matching procedure that is generally used to reconstruct subsurface models with wavelength resolution \\citep{Virieux_2009_OFW}. \nThe FWI optimization problem is commonly solved assuming that the positions of the controlled sources are known, while the temporal source signature is estimated together with the subsurface model by variable projection or in an alternating scheme \\citep{Pratt_1999_SWIb,Plessix_2011_GJI,Aravkin_2012_SEF,Rickett_2013_VPM}.\\\\\nThis paper focusses on the case where the source location and time signature are not known.  The source can be active (e.g., explosion) or passive (e.g., earthquake, microseismic). Our numerical examples focus on characterizing weak seismic events at different scales, especially for microseismic event (MSE) imaging, but the method can easily be tailored to tectonic earthquakes.  When estimating the source, we decompose it into a temporal signature and a spatial location function, both of which strongly influence the FWI results.  \\citet{Lee_2003_SIF} show that a small source error can seriously affect the estimated model parameters, and so source estimation is an important step in successful FWI.\n\nDuring oil and gas production, CO$_2$ injection, and geothermal applications, fluid injections generate fracturing and cause small earthquakes (microseismicity). Locating the MSEs and studying their focal mechanisms are important in monitoring flow mobility and optimizing production.  The seismic waves generated by these earthquakes are recorded continuously at the surface or in wells, and their traveltimes or waveforms are inverted to estimate the source time function (source signature) and the location of the MSEs, assuming a known subsurface model. This setting implies that the recorded wavefield has been triggered by a blended source with contributions from of all of the MSEs.\n\nPioneering methods for microseismic location rely on picking the traveltimes of different P and S components to locate the MSEs \\citep{Thurber_2000_AIS,Han_2009_HLU}.  These methods are time-consuming and may not be robust in the presence of noise \\citep{Thurber_2000_AIS,Han_2009_HLU}. \nMore recently, wavefield-based imaging techniques have received a lot of attention for the relocation of earthquakes and MSEs \\citep{McMechan_1982_DSP,Gajewski_2005_RMS,Michel_2014_GCF, Sjogreen_2014_SEF,Kaderli_2015_MEE,DeRidder_2018_FWI,Shanan_2019_FSM,Shekar_2019_FIM,Song_2019_MES}. The most basic approaches rely on time-reverse imaging, where the data are propagated backward in time using the adjoint of the wave-equation operator \\citep{McMechan_1982_DSP,Gajewski_2005_RMS,Nakata_2016_RTM,Shanan_2019_FSM}. The source location and the origin time are found by tracking where, in both space and time, the maximum focusing occurs. These approaches suffer from a lack of resolution and, as in any migration technique, require a kinematically accurate background velocity model.  To mitigate these problems, there has been some interest in applying FWI for imaging such microseismicity \\citep{Montgomery_2010_HFH,Li_2020_RAC}. \nMoving from migration-based techniques to FWI-based techniques opens the door to estimate the source signatures, the source locations and in some cases the subsurface properties, by solving a multivariate optimization problem.\nThis is possible because all of the wave information is involved in the FWI procedure. This multivariate optimization problem attempts to reconstruct wavefields, sources, and model parameters from partial measurements of the wavefield. \nHowever, this problem is highly under-determined, even when the subsurface parameters are processed as inactive parameters (i.e. are not updated). To mitigate this, the method requires some priors like the number of events, their approximate locations, the sparsity of the source distribution or an accurate background velocity model to tighten the null space of the inverse problem \\citep{Kaderli_2015_MEE,Kaderli_2018_SVF,Shekar_2019_FIM, Shanan_2019_FSM}.\n\\citet{Michel_2014_GCF} reviewed how to compute the FWI gradient for source parameters in VTI media. \n\\citet{Kaderli_2015_MEE,Shekar_2019_FIM, Shanan_2019_FSM} proposed robust FWI algorithms with sparsifying regularization to refine the location of MSEs and estimate their temporal signatures. Their approaches first estimate the location of the events by wavefield extrapolation with sparsifying regularization. Following this, the source signatures of the identified events are reconstructed separately.  These approaches do not require assumptions about the number or the nature of the events, but require a fairly accurate background velocity model. \\\\\nA few studies have been presented to jointly locate the events and update the subsurface velocity model \\citep{Sun_2016_FPF,Song_2019_MES}. \\citet{Sun_2016_FPF} update the source and the velocity model in an alternating manner. The descent direction of the under-determined source estimation problem is preconditioned by a weighting of the source term inferred from a cross-correlation time-reversal imaging condition. \\citet{Song_2019_MES} build the source image using the imaging condition of \\citet{Nakata_2016_RTM} and then update the velocity model by penalizing the energy of the source image away from the estimated source location with an annihilator. This approach requires one to process each event separately and hence to separately identify each event in the data. \n\\citet{Kaderli_2015_MEE} estimate the MSE locations and source signatures in an alternating way when the source is considered as a product of independent temporal source function and spatial source location function, while \\citet{Shanan_2019_FSM} update both of them jointly.  \\\\\nWe extend these past works by using a more general form of FWI. In this more general form, FWI can be cast as a constrained optimization problem that aims to estimate the wavefields and the subsurface parameters by fitting the recorded data subject to the constraint that the wave equation is satisfied \\citep{Haber_2000_OTS}. This approach was developed because even when the source location and time signature are known, it is well established that FWI is highly nonlinear. Part of this nonlinearity can be viewed as arising when the full search space encompassed by the wavefields and the subsurface parameters is projected onto the subsurface parameter space. This happens via an elimination of the wavefield variables, by assuming that the wavefields exactly satisfy the wave-equation at each FWI iteration. This variable elimination makes FWI prone to cycle skipping when the initial model is not accurate enough to predict recorded traveltimes with an error smaller than half a period \\citep{Virieux_2009_OFW}. To avoid this projection, some approaches implement the wave equation as a soft constraint with a penalty method such that the data can be closely matched with inaccurate subsurface models from the early FWI iterations by not requiring that the wave equation be satisfied exactly \\citep{Abubakar_2009_FDC,VanLeeuwen_2013_MLM,vanLeeuwen_2016_PMP}. Then, the subsurface model is updated by solving an overdetermined quadratic optimization problem, which consists of minimizing the source residuals generated by the relaxation of the constraint that the wavefields exactly solve the wave equation. In these extended approaches, the wavefields are reconstructed by solving,  in a least-squares sense, an overdetermined linear system comprised of the wave equation weighted by the penalty parameter and the observation equation relating the simulated wavefield to the data through a sampling operator. In other words, the wavefields are reconstructed with data assimilation, which makes them approach the true wavefields near the receivers, a helpful feature when the source is added as a new variable. This approach was called Wavefield Reconstruction Inversion (WRI) by \\citet{VanLeeuwen_2013_MLM}. A variant of WRI, based upon the method of multipliers or augmented Lagrangian method,  was proposed by \\citet{Aghamiry_2019_IWR} to increase the convergence rate and decrease the sensitivity of the algorithm to the choice of the relaxation (penalty) parameter. The augmented Lagrangian method combines a penalty method and a Lagrangian method, where the penalty term is used to implement the initial relaxation of the constraint, and the Lagrangian term automatically tunes the sensitivity of the optimization to the constraint in iterations. The Lagrange multipliers are updated with gradient ascent, which controls the constraint violations. This method is called Iteratively-Refined(IR)-WRI, where the prefix IR refers to the iterative refinement ( i.e. defect correction) action of the Lagrange multipliers. \\\\\nIn this study, we propose a new microseismic imaging algorithm for event location and velocity model building based on IR-WRI \\citep{Aghamiry_2019_IWR}. \nWe extend the IR-WRI method to solve for the signatures and locations of the MSEs as additional variables. \nBeginning from the initial velocity model, without any assumptions about the MSEs, the first data assimilated wavefield is reconstructed for a band of frequencies starting without a source term (namely, only the data drive the wavefield reconstruction). \nThen by using the extracted multi-frequency data-assimilated wavefields, we estimate a mean source term averaged over frequencies. \nDuring this mean source estimation, we use sparsifying denoising to focus the blended source and hence further facilitate the localization of the MSEs.\nAfter a few iterations of this two-step process alternating between wavefield reconstruction and mean source estimation, we apply a peak finder algorithm to the final predicted mean source to extract the location of the MSEs. Then, we jointly update the data assimilated wavefields as well as the source signatures of the picked MSEs keeping the velocity model as a fixed parameter. Finally, we update the velocity model by minimizing the wave-equation errors when the wavefields as well as the locations and signatures of MSEs are kept fixed.\nThe proposed algorithm does not require assumptions about the number or type of MSEs and their locations. However, it does require that the velocity model contains the low wavenumber components of the model. \\\\\nWe first review the different steps of the method. Then, we illustrate the method with the Marmousi synthetic example. Starting from an accurate version of the Marmousi model, we show how the method manages to locate a single source without updating the velocity model. Then, we repeat the same test with a highly-smoothed starting velocity model and show how velocity model updating allows for the accurate location of the event. Then, we complicate the latter test with two small clusters of point sources and the results confirm the potential of IR-WRI for MSE localization.  As a last example, we test the method on data with added random noise.\n\\section{METHOD}\nThis paper relies on the frequency-domain formulation of FWI. Accordingly, we review the method with a discrete matrix formalism \\citep{Pratt_1998_GNF}. \\\\\nIn passive experiments, the source $\\b$ is unknown and can be approximated as a superimposition of $\\spoints$ point sources (resembling a blended source).\nAccordingly, the source vector $\\b(\\w)$ for frequency $\\w$ reads\n\\begin{equation} \\label{source_term}\n\\b(\\w)=\\sum_{j=1}^{\\spoints} [\\s(\\w)]_j \\delta(\\x-\\x_j)=\\Loc\\bold{s}(\\w),\n\\end{equation} \nwhere $\\delta(\\x)$ is the delta function, $\\x_j$ is the point source position, $[\\s(\\w)]_j \\in \\mathbb{C}^{\\spoints \\times 1}$ denotes the source signature, at angular frequency $\\w$, associated to the $j$th point source (at location $\\x_j$), $\\Loc \\in \\mathbb{R}^{\\N \\times \\spoints}$ is a tall matrix, the columns of which contain shifted delta functions at the positions of the MSEs ($\\N$ is the number of discretization points in the model). The goal of microseismic imaging is to find the MSE location matrix $\\boldsymbol{\\Phi}$, the MSE signature vector $\\bold{{s}}_\\omega$ and the velocity model (provided that the data set provides a sufficient illumination of the model). \\\\\nFrequency-domain FWI with an unknown blended source $\\bold{b}(\\omega)$ can be written as \n\\begin{mini} \n{\\substack{\\m\\in \\mathcal{M},\\\\ \\u(\\w_1),\\b(\\w_1),\\hdots,\\\\ \\u(\\w_q),\\b(\\w_q)}}{\\reg_m(\\m)+\\sum_{\\w=w_1}^{\\w_q}\\reg_b(\\b(\\w))}\n{\\label{init}}{}\n\\addConstraint {\\A(\\m,\\w)\\u(\\w)}{=\\b(\\w), \\quad}{\\w =\\w_1 ,\\ldots ,\\w_\\fpoints}\n\\addConstraint {\\P\\u(\\w)}{=\\d(\\w),\\quad}{\\w =\\w_1 ,\\ldots ,\\w_\\fpoints}\n\\end{mini} \nwhere $\\m$ is the squared slowness, $\\reg_m$ and $\\reg_b$ are appropriate regularization functions, \n $\\A(\\m,\\w)=\\del+\\w^2 \\Diag(\\m) \\in \\mathbb{C}^{\\N\\times \\N}$ is the Helmholtz operator, $\\del$ is the Laplacian operator, $\\Diag(\\cdot)$ denotes a diagonal matrix with $\\cdot$ on its main diagonal, $\\u(\\w) \\in \\mathbb{C}^{\\N\\times 1}$ and $\\d(\\w) \\in \\mathbb{C}^{\\Nr\\times 1}$ denote the wavefield and the recorded data for frequency $\\w$,  respectively, $\\P \\in \\mathbb{R}^{\\Nr\\times \\N}$ is the observation operator that samples $\\u(\\w)$ at receiver locations, and $\\Nr$ is the number of receivers. Finally, $\\m\\in \\mathcal{M}$ is a bounding constraint on the model parameters where \n\\begin{equation}\n\\mathcal{M} = \\{\\bold{m} \\vert \\bold{m}_{min} \\leq \\bold{m} \\leq \\bold{m}_{max}\\}.\n\\end{equation}\\\\ \nThe classical implementation of the FWI as formulated in \\eqref{init} would enforce the wave-equation constraint, $\\u(\\w)=\\A(\\m,\\w)^{-1}\\b(\\w)$, in the observation-equation constraint and process the latter as a penalty term leading to the following optimization problem:\n\\begin{mini} \n{\\substack{ \\m\\in \\mathcal{M},\\b(\\w_1),\\hdots,\\b(\\w_q)}}{\\reg_m(\\m)+\\sum_{\\w=w_1}^{\\w_q}\\reg_b(\\b(\\w))+\\frac{\\penaltyparb}{2} \\sum_{\\w=w_1}^{\\w_q}\\|\\bold{G}(\\m,\\w)\\b(\\w)-\\d(\\w)\\|_2^2,}\n{\\label{pratt_FWI}}{}\n\\end{mini}\nwhere $\\penaltyparb$ is the penalty parameter and $\\bold{G}(\\m,\\w)=\\P\\A(\\m,\\w)^{-1}$.  \nThe problem in equation \\eqref{pratt_FWI} is severely underdetermined due to the unknown source and highly nonlinear due to the oscillatory nature of the Green's functions, which makes the waveform inversion prone to cycle skipping.\n\\citet{Michel_2014_GCF} solved this problem when they assume a good initial estimate of the number of the point sources, $p$, and their approximate locations, $\\Loc$.  \\citet{Kaderli_2015_MEE,Shekar_2019_FIM, Shanan_2019_FSM}  used the sparsity promoting $\\ell_1$-norm regularization, $\\reg_b(\\b(\\w))=\\|\\b(\\w)\\|_1$, to enforce the sparsity of the source term, i.e., predicting the data with a minimum number of point sources. They solved the problem using the time domain formulation of FWI.\n\nIn this paper, we extend the iteratively-refined wavefield reconstruction inversion (IR-WRI) \\citep{Aghamiry_2019_IWR} to solve problem \\eqref{init}. IR-WRI relies on the augmented Lagrangian method, which combines the penalty method with the Lagrangian method \\citep[][ Chapter 17]{Nocedal_2006_NO}. \nThe augmented Lagrangian function associated with problem in \\eref{init} is given by\n\\begin{align} \\label{eqpsi}\n\\AL(\\m,\\{\\u(\\w)\\},\\{\\b(\\w)\\},\\{\\dualb(\\w)\\},\\{\\duald(\\w)\\}) &=\n\\reg_m(\\m)+\\sum_{\\w=w_1}^{\\w_q}\\reg_b(\\b(\\w))  \\\\\n&+ \\sum_{\\w=w_1}^{\\w_q}\\langle \\dualb(\\w),\\A(\\m,\\w)\\u(\\w)-\\b(\\w)\\rangle  \n+ \\sum_{\\w=w_1}^{\\w_q}\\langle \\duald(\\w),\\P\\u(\\w)-\\d(\\w)\\rangle  \\nonumber \\\\\n& + \\frac{\\penaltyparb}{2} \\sum_{\\w=w_1}^{\\w_q}\\|\\A(\\m,\\w)\\u(\\w)-\\b(\\w)\\|_2^2 + \n\\frac{\\penaltypard}{2}\\sum_{\\w=w_1}^{\\w_q}\\|\\P\\u(\\w)-\\d(\\w)\\|_2^2, \\nonumber \n\\end{align}\nwhere the scalars $\\penaltyparb,\\penaltypard>0$ are the penalty parameters assigned to the wave equation and the observation equation constraints, respectively, and $\\dualb(\\w)$ and $\\duald(\\w)$ are the Lagrange multipliers.\nBeginning with an initial model $\\m^{0}$, $\\b^0(\\w)=0~\\forall \\w$, we compute an initial set of monochromatic wavefields $\\u^{0}(\\w)$ by solving the following overdetermined systems in a least-squares sense:\n\\begin{equation} \\label{close_U0}\n\\left(\n\\begin{array}{c}\n\\sqrt{\\penaltyparb} \\A(\\m^0,\\omega) \\\\\n\\sqrt{\\penaltypard}\\P \\\\\n\\end{array}\n\\right)\n\\bold{u}^{0}(\\omega)\n=\n\\left(\n\\begin{array}{c}\n0 \\\\\n\\sqrt{\\penaltypard}\\d(\\omega)\n\\end{array}\n\\right), ~~~~~~~~~~~~~~~~~~~~ \\omega=\\omega_1~,....,~\\omega_q.\n \\end{equation} \nThen, beginning with $\\dualb^{0}(\\omega)=\\bold{0}$ and $\\duald^{0}(\\omega)=\\bold{0}, \\forall \\omega$, \nwe solve the multivariate optimization problem, equation \\eqref{eqpsi}, iteratively by using the ADMM as\n\\begin{subequations}\n\\label{ADMM}\n \\begin{empheq}[left={\\empheqlbrace\\,}]{align}\n(\\{\\u(\\w)^{k+1}\\},\\{\\b(\\w)^{k+1}\\})=& \\underset{\\{\\u(\\w)\\},\\{\\b(\\w)\\}}{\\arg\\min} ~ \\AL(\\m^k,\\{\\u(\\w)\\},\\{\\b(\\w)\\},\\{\\dualb(\\w)^k\\},\\{\\duald(\\w)^k\\}) \\label{primal_sig+wavefield}\\\\\n\\bold{m}^{k+1} &= \\underset{\\bold{m}\\in \\mathcal{M}}{\\arg\\min} ~ \\AL(\\m,\\{\\u(\\w)^{k+1}\\},\\{\\b(\\w)^{k+1}\\},\\{\\dualb(\\w)^k\\},\\{\\duald(\\w)^k\\}) \\label{primal_sigma}\\\\\n\\dualb(\\omega)^{k+1} &= \\dualb(\\omega)^{k}  + \\penaltyparb (\\A(\\m^{k+1},\\w)\\u(\\omega)^{k+1} - \\b(\\omega)^{k+1}), ~\\omega=\\omega_1~,....,~\\omega_q \\label{dual_b}\\\\ \n\\duald(\\omega)^{k+1} &= \\duald(\\omega)^{k}   + \\penaltypard (\\P\\u(\\omega)^{k+1} - \\d(\\omega)), ~\\omega=\\omega_1~,....,~\\omega_q  \\label{dual_d}\n\\end{empheq}\n\\end{subequations} \nwhere $k$ is the (outer) iteration number. The penalty parameters $\\penaltyparb,\\penaltypard>0$ are tuned such that a dominant weight $\\penaltypard$ is given to the observation equation at the expense of violating the wave equation during the early iterations to guarantee a data fit that prevents cycle skipping at receivers even at early iterations. The iterative update of the Lagrange multipliers progressively corrects the errors introduced by these penalizations such that both the observation equation and the wave equation are satisfied at the convergence point with acceptable accuracies.\nIn the next two subsections, we review how to solve each of optimization subproblems \\eqref{primal_sig+wavefield}-\\eqref{primal_sigma}.\n\\subsection{Estimation of the sources and wavefields}\nDue to the ill-conditioning of the problem of estimating $\\{\\u(\\w)^{k+1}\\}$ and $\\{\\b(\\w)^{k+1}\\}$, we solve the subproblems \\eqref{primal_sig+wavefield} in a two step manner. \nSince the event location matrix $\\Loc$ in Eq. \\eqref{source_term} is frequency independent, we first solve the optimization problem for a mean source $\\bar{\\b}^k=\\frac{1}{q}\\sum_{\\w=w_1}^{\\w_q}\\b^k(\\omega)$ averaged over the frequency to reduce the search space.\n The optimization problem over $\\bar{\\b}$ reads \n\\begin{align} \\label{meansource}\n\\bar{\\b}^{k+1}&=\\underset{\\substack{\\bar{\\b}}}{\\arg\\min} ~~\n\\reg_{b}(\\bar{\\b})\n+ \\sum_{\\w=w_1}^{\\w_q}\\langle \\dualb(\\w)^{k},\\A(\\m^k,\\w)\\u(\\w)^{k}-\\bar{\\b}\\rangle  \n+ \\frac{\\penaltyparb}{2} \\sum_{\\w=w_1}^{\\w_q}\\|\\A(\\m^{k},\\w)\\u(\\w)^{k}-\\bar{\\b}\\|_2^2.\n\\end{align}\nBy adding and subtracting the term $\\|\\dualb(\\w)^{k}\\|^2_2$ to problem \\eqref{meansource}, we have \\citep[, Appendix A]{Aghamiry_2019_IBC}\n\\begin{align}\n\\bar{\\b}^{k+1}&=\\underset{\\substack{\\bar{\\b}}}{\\arg\\min} ~~\n\\reg_{b}(\\bar{\\b})\n+ \\frac{\\penaltyparb}{2} \\sum_{\\w=w_1}^{\\w_q}\\|\\A(\\m^{k},\\w)\\u(\\w)^{k}-\\bar{\\b}+\\frac{1}{\\penaltyparb}\\dualb(\\w)^{k}\\|_2^2 \\label{obj_phi}\\, ,\n\\end{align}\nwhere we have ignored the $-\\|\\dualb(\\w)^{k}\\|^2_2$-term as it does not impact the optimization result.\nEquation \\ref{obj_phi} is a denoising\/proximity problem \\citep{Parikh_2013_PA} applied to $\\bar{\\b}$, i.e.\n\\begin{equation} \\label{measo}\n\\bar{\\b}^{k+1}=\\underset{\\substack{\\bar{\\b}}}{\\arg\\min} ~~\n\\reg_{b}(\\bar{\\b}) + \n\\frac{\\penaltyparb q}{2} \\|(\\frac{1}{q}\\sum_{\\omega=\\omega_1}^{\\omega_q}\\A(\\m^{k},\\w)\\u(\\w)^{k}+\\frac{1}{\\penaltyparb}\\dualb(\\w)^{k}) - \\bar{\\b}\\|_2^2.\n\\end{equation}\nWe use the so called Berhu regularizer \\citep{Owen_2007_ARH}, which is a hybrid function combining the $\\ell_1$ norm for small values and the $\\ell_2$ norm for large values:\n\\begin{equation}\n\\reg_{b}(x)=\\begin{cases}\n|x|~~~~~~~~~~~~ |x| \\leq \\varepsilon,     \\\\\n\\frac{x^2+\\varepsilon^2}{2\\varepsilon}  ~~~~~~ |x| > \\varepsilon,\n\\end{cases}\n\\end{equation}\nwhere $\\varepsilon>0$ determines where the transition from $\\ell_1$ to $\\ell_2$ occurs. \nThis regularizer shrinks small coefficients with the $\\ell_1$ norm to promote sparsity while damping the large coefficients (Fig. \\ref{fig:Berhu}). \nUsing the Berhu regularizer, the proximity operator in Eq. \\eqref{measo} admits an explicit solution for each entry of the source vector \n\\begin{equation} \\label{updated_source}\n\\bar{\\b}^{k+1} =\\text{prox}_{\\frac{1}{\\lambda q}\\mathcal{B}}\\left(\\frac{1}{q}\\sum_{\\omega=\\omega_1}^{\\omega_q}\\A(\\m^{k},\\w)\\u(\\w)^{k}+\\frac{1}{\\penaltyparb}\\dualb(\\w)^{k}\\right), \n\\end{equation}\nwhere $\\text{prox}_{\\tau\\mathcal{B}}$ is the proximity operator of the Berhu function defined as\n\\begin{equation}\n\\text{prox}_{\\alpha\\mathcal{B}}(x)=\\begin{cases}\n\\max(1-\\frac{\\alpha}{|x|},0)x ~~~~~~~~~ |x| \\leq \\alpha+\\varepsilon, \\\\\n\\frac{\\varepsilon}{\\alpha + \\varepsilon}x ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ |x|> \\alpha +\\varepsilon.\n\\end{cases}\n\\end{equation}\nIn order to improve the accuracy of the locations, we repeat the process of estimating the locations and updating the wavefields several times.\nThe monochromatic wavefields are updated as follows\n\\begin{equation} \\label{close_UK}\n\\left(\n\\begin{array}{c}\n\\sqrt{\\penaltyparb} \\A(\\m^{k},\\w) \\\\\n\\sqrt{\\penaltypard}\\bold{P} \\\\\n\\end{array}\n\\right)\n\\u(\\w)^{k}\n=\n\\left(\n\\begin{array}{c}\n\\sqrt{\\penaltyparb}\\bar{\\b}^{k+1} \\\\\n\\sqrt{\\penaltypard}\\d(\\w)\n\\end{array}\n\\right),   ~~~~~~~~~~~~~~~~~~ \\omega=\\omega_1~,....,~\\omega_q,\n\\end{equation} \nand we alternate between solving Eq. \\eqref{close_UK} for $\\u(\\w)^{k}$ given $\\bar{\\b}^{k+1}$ and updating $\\bar{\\b}^{k+1}$ via Eq. \\eqref{updated_source} using $\\u(\\w)^{k}$ obtained from Eq. \\eqref{close_UK}. \n\nThe final $\\bar{\\b}^{k+1}$ is then used to construct the location matrix $\\Loc^{k+1}$. To do so, we apply a peak finder algorithm on $|\\bar{\\b}^{k+1}|$ to determine the location of the peaks. The number of peaks found (i.e., the number of MSE) determines the number of columns of $\\Loc^{k+1}$ and the location of each peak determines the location of the delta function in the corresponding column.\nOnce $\\Loc^{k+1}$ has been determined, the monochromatic wavefields and the time function of each MSE are updated simultaneously:\n\\begin{equation} \\label{closed_u_2}\n\\begin{pmatrix}\n\\sqrt{\\penaltyparb} \\bold{A}_\\omega^k & -\\sqrt{\\lambda}\\boldsymbol{\\Phi}^{k+1}  \\\\\n\\sqrt{\\penaltypard} \\bold{P} & \\bold{0} \n\\end{pmatrix}\n\\begin{pmatrix}\n\\u(\\w)^{k+1}\\\\\n\\s(\\w)^{k+1}\n\\end{pmatrix}\n=\n\\begin{pmatrix}\n \\frac{1}{\\sqrt{\\penaltyparb}}\\dualb(\\w)^k \\\\\n\\sqrt{\\penaltypard}\\d(\\w)+\\frac{1}{\\sqrt{\\penaltypard}}\\duald(\\w)^k\n\\end{pmatrix}.\n\\end{equation} \n\\begin{figure}\n\\centering\n\\includegraphics[width=0.7\\textwidth]{Berhu}\n\\caption{(left) Berhu regularization function and (right) the associated proximity operator. The dashed lines are due to the $\\ell_2$ norm, the solid lines are due to the $\\ell_1$ norm.}\n\\label{fig:Berhu}\n\\end{figure}\n\\subsection{Velocity model update}\nIf we have adequate illumination, we can update the velocity model to improve the source locations; otherwise, this step can be skipped.\nDue to the blended nature of microseismic data, the velocity update will contain noise from crosstalk. This high-frequency noise can be decreased by applying appropriate regularization.       \nIn this paper, we use the first-order isotropic TV regularization \\citep{Rudin_1992_NTV} for $\\bold{m}$. However, other regularizations such as compound or adaptive regularizations can be used in a similar way \\citep[see][]{Aghamiry_2019_CRO,Aghamiry_2020_FWI}. The isotropic TV regularizer is defined as \n\\begin{equation}\n\\mathcal{R}_m(\\m)=\\sum  \\sqrt{(\\nabla_{\\!x} \\m)^2 + (\\nabla_{\\!z}\\m)^2},\n\\end{equation}\nwhere $\\nabla_{\\!x}$ and $\\nabla_{\\!z}$ are respectively first-order difference operators in the horizontal and vertical directions with appropriate boundary conditions. \nThe problem \\ref{primal_sigma} with non-smooth TV regularization and bound constraints can be written as\n\\begin{equation} \\label{M_sub}\n\\bold{m}^{k+1}= \\underset{\\bold{m}\\in \\mathcal{M}}{\\arg\\min} ~ \\mathcal{R}_m(\\m)+ \\lambda\n(\\m^T\\H_k\\m - \\grad_k^T \\m),\n\\end{equation}\nwhere\n\\begin{eqnarray}\n&&\\H_k = \\sum_{\\omega=\\omega_1}^{\\omega_q}\\left(\\frac{\\partial \\A(\\m)}{\\partial \\m} \\u(\\w)^{k+1}\\right)^T \\left( \\frac{\\partial \\A (\\m)}{\\partial \\m} \\u(\\w)^{k+1} \\right),\\\\\n&&\\grad_k = \\sum_{\\omega=\\omega_1}^{\\omega_q}\\left(\\frac{\\partial \\A (\\m)}{\\partial \\m}\\u(\\w)^{k+1}\\right)^T \n(\\Loc^{k+1}\\s(\\w)^{k+1}-\\frac{1}{\\penaltyparb}\\dualb(\\w)^{k}-\\del \\u(\\w)^{k+1}).\n\\end{eqnarray}\nThe model subproblem in Eq. \\eqref{M_sub} requires a quadratic optimization with bound constrained TV regularization. There are many well documented algorithm to carry out this step \\citep{Goldstein_2009_SBM,Maharramov_2015_TVM,Aghamiry_2019_IBC,Aghamiry_2019_CRO,Gholami_2019_3DD}\n.\\\\\nThe proposed microseismic imaging algorithm is summarized in Algorithm~\\ref{Alg2cont0}. \nIt should be noted that the total algorithm consists of three main steps: (1) estimation of the source location (lines 5-9),\n(2) estimation of the source signatures and the wavefields (line 10) and (3) update of the model parameters (line 11).\nStep 3 can be skipped if a new sets of MSEs is processed with a sufficiently-accurate background subsurface model estimated during a prior inversion. The linear systems for data-assimilated wavefield reconstruction, equations~\\ref{close_U0}, \\ref{close_UK}, and \\ref{closed_u_2}, have one right-hand side. Therefore, they may be solved more efficiently with preconditioned iterative solvers instead of direct solvers to tackle large computational domain. However, if multiple datasets are processed over time with the same background subsurface model, it may be beneficial to use direct solvers to compute the Lower-Upper (LU) factors once and for all once a good background model has been estimated, store them on disk and re-use them to process a new dataset efficiently by forward\/backward elimination.\n\\begin{algorithm}[htb!]\n\\caption{\nADMM-based FWI for microseismic imaging.}\n\\label{Alg2cont0}\n\\scriptsize\n{\\fontsize{8}{8}\\selectfont\n\\begin{algorithmic}[1]\n\\STATE Begin with $k=0$ and an initial model $\\bold{m}^0$.\n\\STATE Set to zero the values of $\\dualb(\\w)^0$ and $\\duald(\\w)^0, \\forall \\w$.\n\\STATE Calculate $\\bold{u}(\\w)^{0}, \\forall \\w$ (Eq. \\eqref{close_U0}). \n\\item[]\n\\WHILE {convergence criteria  not satisfied}\n\\item[]\n\\FOR {$l=0:n_l$}\n\\item[]\n\\STATE Compute $\\bar{\\b}^{k+1}$ (Eq. \\eqref{updated_source})\n\\item[]\n\\STATE Update $\\u(\\w)^{k}$, $\\w=\\w_1,\\cdots,\\w_q$ (Eq. \\eqref{close_UK})\n\\hspace*{8.8em}%\n        \\rlap{\\smash{$\\left.\\begin{array}{@{}c@{}}\\\\{}\\\\{}\\\\{}\\\\{}\\\\{}\\\\{}\\\\{}\\end{array}\\color{black}\\right\\}%\n          \\color{black}\\begin{tabular}{l}Source location estimation.\\end{tabular}$}}\n\\item[]\n\\ENDFOR\n\\item[]\n\\STATE Build $\\boldsymbol{\\Phi}^{k+1}$ from $\\bar{\\b}^{k+1}$ using a peak finder algorithm.\n\\item[]\n\\STATE Update $\\s(\\w)^{k+1}$ and $\\u(\\w)^{k+1}$ for $\\w=\\w_1,\\cdots,\\w_q$ (Eq. \\eqref{closed_u_2}). \\hspace*{1.7em}%\n        \\rlap{\\smash{$\\left.\\begin{array}{@{}c@{}}\\end{array}\\color{black}\\right\\}%\n          \\color{black}\\begin{tabular}{l}Joint update of wavefields and source signatures.\\end{tabular}$}} \n\\item[]\n\\STATE Update $\\m^{k+1}$ (Eq. \\eqref{M_sub})\n\\hspace*{17.5em}%\n        \\rlap{\\smash{$\\left.\\begin{array}{@{}c@{}}\\end{array}\\color{black}\\right\\}%\n          \\color{black}\\begin{tabular}{l}Update velocity model.\\end{tabular}$}} \n\\item[]\n\\STATE Update the dual vectors $\\dualb$ and $\\duald$ (Eqs. \\eqref{dual_b} and \\eqref{dual_d})\n\\hspace*{5.5em}%\n        \\rlap{\\smash{$\\left.\\begin{array}{@{}c@{}}\\end{array}\\color{black}\\right\\}%\n          \\color{black}\\begin{tabular}{l}Iterative refinement.\\end{tabular}$}} \n\\item[]\n\\STATE $k = k+1$ ,\n\\item[]\n\\ENDWHILE\n \\end{algorithmic}\n}\n\\end{algorithm}\n\n\n\n\n\\section{NUMERICAL EXAMPLES}\n\\begin{figure}\n\\centering\n\\includegraphics[width=1\\textwidth]{true_initial}\n\\caption{True and initial velocity models and the locations of MSEs that are used for the numerical tests. (a) The Marmousi II velocity model, used to generate the data. The location of different MSEs, referred as MSEs 1 to 4, are shown by black asterisks. (b) Accurate initial model, called initial model 1. (c) Kinematically accurate velocity model, called initial model 2. (d) A direct comparison between true (black), initial model 1 (red), and initial model 2 (blue) at $X=1250~m$.}\n\\label{fig0}\n\\end{figure}\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4sources_wavefield}\n\\caption{Showing the ability of the data-assimilated wavefield to mimic the true wavefields when no information on the source is available. The Marmousi model with a source containing MSEs 1-4 is used. (a) True 7~Hz wavefield. (b) 7~Hz data-assimilated wavefield (Eq. \\ref{close_U0}) with initial model 2. (c-d) Same as (a-b), but for 15~Hz.}\n\\label{fig_wavefield}\n\\end{figure}\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{shot_gather-different_source}\n\\caption{Showing the match between the true and data assimilated seismograms when no information on the source is available. The Marmousi model with a source contains MSEs 1-4 is used. (a) True seismograms. (b) Seismograms created using data-assimilated wavefields (Eq. \\ref{close_U0}) with initial model 2.}\n\\label{fig_shot_gather}\n\\end{figure}\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{slice-different_source}\n\\caption{Showing the ability of data-assimilated wavefield to capture many features of the true wavefield above the MSEs when no information on the source is available. The Marmousi model with a source contains MSEs 1-4 is used. A time slices at 2.7 s for (a) the true wavefield, (b) the data-assimilated wavefield with initial model 2.}\n\\label{fig_time_slice}\n\\end{figure}\nWe assess the method on the selected target of the synthetic Marmousi II model \\citep{Martin_2006_M2E} with size $2.5~km \\times 1~km$ when the grid spacing is $5~m$ (Fig. \\ref{fig0}a). We use two different initial models for the tests: an accurate initial velocity model obtained by slightly smoothing the true model, referred to as initial model 1 (Fig. \\ref{fig0}b), and a highly-smoothed, albeit kinematically accurate, initial velocity model referred to as initial model 2 (Fig. \\ref{fig0}c). A direct comparison between the true model and initial models 1 and 2 at $X=1250~m$ is shown in Fig. \\ref{fig0}d.\nThe different MSEs, which are used in this section, are shown in Fig. \\ref{fig0}a using black asterisks and numbers. The MSEs of the right cluster are located at (520,1360)~m  [MSE 1] and (560,1380)~m [MSE 2], and those of the left cluster are located at (605,1150)~m [MSE 3], and (645,1175)~m [MSE 4]. The source signatures for MSEs 1 to 4 are Ricker wavelets with central frequencies [25, 31, 23, 29] Hz and central times [2.4, 2.56, 2.25, 2.2] s, respectively.\\\\   \n\nFor all of the numerical tests, we compute wavefields with a nine-point stencil finite-difference method implemented with anti-lumped mass, where the stencil coefficients are optimized for each frequency \\citep{Chen_2013_OFD}.  We use absorbing boundary conditions along the bottom, right and left sides of the model and a free-surface boundary condition at the surface.\\\\\nWe first illustrate how the initial data-assimilated wavefield is reconstructed (when no information on the source is available, eq. \\ref{close_U0}). The source contains MSEs 1 to 4 and we use model 2 as the starting velocity model (Fig. \\ref{fig0}c).  \nFig. \\ref{fig_wavefield} shows the true frequency-domain wavefields and the initial data-assimilated wavefields for the 7~Hz and 15~Hz frequencies which are reconstructed by back-propagating the data, eq. \\ref{close_U0}.\nThe ability of the data-assimilated wavefield to mimic the true wavefield can be assessed by comparing the left and right columns of this figure. This emphasizes how suitable the (transmission) microseismic configuration is to perform accurate wavefield reconstruction between the MSEs and the receivers using data assimilation in the initial model. The time-domain seismograms computed from the MSEs in the true model are shown in Fig. \\ref{fig_shot_gather}a, while those computed in the initial model with data assimilation, when no information about the source is available, are shown in Fig. \\ref{fig_shot_gather}b. These seismograms match almost perfectly because the data assimilated wavefield fits the data at the expense of the accuracy with which they satisfy the wave equation through the feedback term to the data (Eq. \\ref{close_U0}). Also, a comparison between the time slices at 2.7 s of the true (Fig. \\ref{fig_time_slice}a) and data-assimilated wavefields (Fig. \\ref{fig_time_slice}b) shows that the data-assimilated wavefield captures many features of the true wavefield above the MSEs which again emphasizes the ability of data-assimilation to reconstruct an accurate wavefield. \\\\\nWe continue by assessing the performance of Algorithm \\ref{Alg2cont0} in estimating the MSE location and signature estimation. We start by a simple setup and complicate it step by step. \nWe perform the first test with a source that contains only MSE 1 using model 1 as the starting model (Fig. \\ref{fig0}b). The source signature of this MSE is shown in Fig. \\ref{fig1}c in purple. \nNote that all the wavelets in this section are created with the inverse Fourier transform of a few discrete frequencies, those that are used for inversion in IR-WRI. \\\\\nWe invert frequency components between 5~Hz and 45~Hz with a 2-Hz frequency interval simultaneously. We perform the inner loop for source location estimation (lines 5-8 of Algorithm \\ref{Alg2cont0}) with 10 inner iterations ($n_l=9$).  The estimated $\\bar{\\bold{b}}^1$ at the final iteration of the inner loop is shown in Fig. \\ref{fig1}a. \nThe event location found by the peak finder algorithm is shown in Fig. \\ref{fig1}b in pink while the true one is shown in purple. The results are zoomed in from the full model; the limits of the zoom are shown with the black dashed lines in Fig. \\ref{fig1}a. We observe that the estimated MSE location is close to the true one because of the accuracy of the initial velocity model. Finally, the estimated source signature is shown in Fig. \\ref{fig1}c (pink curve), which matches the true one well. \\\\\n\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_1sources_acurate}\n\\caption{Marmousi test with initial model 1 when the source just contains MSE 1. (a) The predicted source at the first outer iteration ($\\bar{\\bold{b}}^1$). (b) The zoomed result of peak finder applied on $\\bar{\\bold{b}}^1$. The margins of the zoomed part are shown using black dashed lines in (a). Also, the location of the true source is indicated by a purple point. (c) The true source signature (purple) and the estimated one (pink).}\n\\label{fig1}\n\\end{figure}\nWe make this test more complicated by starting with initial velocity model 2. The estimated predicted source at the final inner iteration of outer iteration 1 ($\\bar{\\bold{b}}^1$) is shown in Fig. \\ref{fig2}a and the result of the application of the peak finder algorithm is shown in Fig. \\ref{fig2}b in pink. We see that the error in the estimated location is more than the previous case (Fig. \\ref{fig1}b) where the initial model was accurate. Also, the estimated source signature is shown in pink in Fig. \\ref{fig2}e. We can clearly see that neither the estimated MSE location nor the estimated signature are accurate. To improve the quality of these results, we should update the velocity model. The estimated predicted source after five outer iterations (at the final iteration of inner loop), $\\bar{\\bold{b}}^5$, and the result of peak finder algorithm are shown in Figs. \\ref{fig2}c-\\ref{fig2}d, respectively. Finally, the estimated source signature at outer iteration 5 is shown in green in Fig. \\ref{fig2}e. It can be seen that the quality of the estimated location and signature improved significantly. The updated velocity model at outer iteration five is shown in Fig. \\ref{fig2}f. Although the velocity update is not useful for geological interpretation due to the limited illumination provided by the single event, it improves the structures between the event and the receivers and, as a result, leads to an improved MSE location and signature estimation. \\\\\n\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_1sources_inacurate}\n\\caption{Marmousi test with initial model 2 when the source just contains MSE 1. (a) Predicted source at the final inner iteration of outer iteration 1 ($\\bar{\\bold{b}}^1$). (b) The zoomed result of peak finder applied on $\\bar{\\bold{b}}^1$. The margins of the zoomed part are shown using black dashed lines in (a). Also, the location of the true source is indicated by a purple point. (c-d) Same as (a-b) but for $\\bar{\\bold{b}}^5$.  (e) The true source signature (purple) and the estimated at outer iteration 1 (pink) and iteration 5 (green). (f) Updated velocity model after five iterations.}\n\\label{fig2}\n\\end{figure}\nTo make the test more representative of the microseismic scenario, we repeat the Marmousi test when the source gathers MSEs 1-4 (Fig. \\ref{fig0}a). We start with the initial model 1. The predicted source after 1 outer iteration ($\\bar{\\bold{b}}^1$) and the result of peak finder are shown in Figs. \\ref{fig3}a-\\ref{fig3}b, respectively. We see that, because of the good initial model, there are just 4 peaks of energy in Fig. \\ref{fig3}. Also, the estimated source signatures for MSEs 1 to 4 are shown in Figs. \\ref{fig3}c-\\ref{fig3}f, respectively, in pink. We have accurately recovered both the locations and signatures for all MSEs. \\\\\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4sources_acurate}\n\\caption{The Marmousi test with initial model 1 when the source contains MSEs 1-4. (a-b) $\\bar{\\bold{b}}^1$ and its selected peaks using the peak finder. (c-f) True source signatures (purple) and the estimated ones (pink) for MSEs 1 to 4, respectively.}\n\\label{fig3}\n\\end{figure}\nEven with a good initial model, the estimated predicted source has a lot of unwanted energy, and sparsifying regularization is necessary to find the locations of the MSEs from the predicted source. The predicted source for this test at inner iteration 1 ($k=0,~l=0$) before and after applying Berhu regularization are depicted in Figs. \\ref{fig3_1}a-\\ref{fig3_1}b, respectively. We can see the improvement, although it is not enough to have an accurate picking for the location of the MSEs. The same results after 10 inner iterations ($k=0,~l=9$) are shown in Figs. \\ref{fig3_1}c-\\ref{fig3_1}d. First, we see that the regularization has little effect on the predicted source in Fig. \\ref{fig3_1}d  (compare Fig. \\ref{fig3_1}c) because it is already sparse. Second, we see the improvement in Fig. \\ref{fig3_1}d compared to Fig. \\ref{fig3_1}b, where the regularization has significantly improved the MSE location selection.\\\\\n\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4_phi_acurate}\n\\caption{Showing the impact of sparsifying regularization on the estimated predicted sources for the Marmousi test with initial model 1 when the source contains MSEs 1-4. (a-b) The predicted source at $k=0~,l=0$ (a) before, (b) after Berhu regularization. (c-d) Same as (a-b) but for $k=0~,l=9$. $k$ and $l$ refer to the outer and inner iteration of algorithm~\\ref{Alg2cont0}, respectively.}\n\\label{fig3_1}\n\\end{figure}\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4sources_inacurate}\n\\caption{The Marmousi test with initial model 2 when the source contains MSEs 1-4. (a-b) $\\bar{\\bold{b}}^1$ and its selected peaks using peak finder. (c-d) $\\bar{\\bold{b}}^5$ and its selected peaks. (e-h) True MSE signatures (purple) and the estimated ones for MSEs 1 to 4, respectively, at outer iteration one (pink) and iteration five (green). (i) The updated velocity model after five iterations.}\n\\label{fig4}\n\\end{figure}\nWe repeat the Marmousi test with initial velocity model 2 when the source contains MSEs 1-4, and we use five outer iterations to update the velocity model to improve the quality of the estimated MSEs. The estimated $\\bar{\\bold{b}}^1$ (at the final inner iteration) and its located peaks are shown in Figs. \\ref{fig4}a-\\ref{fig4}b and the same results for outer iteration five are shown in Figs. \\ref{fig4}c-\\ref{fig4}d. At outer iteration 1, the peak finder algorithm finds more peaks (five) than the true number of MSEs because of the inaccurate velocity model (Fig. \\ref{fig4}b). Then, the data-assimilated wavefield and source signatures for all these selected MSEs are updated jointly using Eq. \\ref{closed_u_2}.  Because the selected MSE at the middle of Fig. \\ref{fig4}b does not contribute to the recorded data, the algorithm finds a small source signature for this fake MSE. As soon as the velocity model improves, we have a better predicted source (Fig. \\ref{fig4}c), and the peak finder algorithm selects four points close to the true MSEs (Fig. \\ref{fig4}d).  Also, the estimated MSE signatures at outer iterations 1 and 5 are shown in Figs. \\ref{fig4}e-\\ref{fig4}h, respectively, for MSEs 1 to 4 in pink for outer iteration one and in green for outer iteration five. Finally, the updated velocity model after five outer iterations is shown in Fig. \\ref{fig4}i.  First, the quality of the estimated signatures of the MSEs are improved by updating the velocity model. Second, the updated velocity model captures the trends of dominant structures, and is improved compared to the initial model 2.  \\\\\nLike the previous test, the estimated source locations at inner iteration 1 ($k=0,~l=0$) before and after applying Berhu regularization are depicted in Figs. \\ref{fig4_1}a-\\ref{fig4_1}b, respectively, and for inner iteration 10 ($k=0,~l=9$) shown in Figs. \\ref{fig4_1}c-\\ref{fig4_1}d. We see that the energy is less focused compared to the case with an accurate initial model (Figs. \\ref{fig3_1}a-\\ref{fig3_1}b). We also see that the regularization significantly improves the predicted source map, making it ready for MSEs location picking.\\\\\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4_phi_ini}\n\\caption{Same as Fig. \\ref{fig3_1}, but for Marmousi test with initial model 2 when the source contains MSEs 1-4.}\n\\label{fig4_1}\n\\end{figure}\n\\begin{figure}[htb]\n\\centering\n\\includegraphics[width=1\\textwidth]{fig_4sources_inacurate_noisy}\n\\caption{Same as Fig. \\ref{fig4} but with noisy data with SNR=$5~db$.}\n\\label{fig4_noisy}\n\\end{figure}\n\nWe assess now the robustness of the method against noise. We repeat the previous test (with initial model 2 and the source that contains MSEs 1-4) when Gaussian distributed random noise with SNR=$5~db$ is added to the data. We use the same configuration as for the noiseless test (Fig. \\ref{fig4}). The results are shown in Fig. \\ref{fig4_noisy}. In comparison with the noiseless case, we see that the predicted source has more peaks than the true number of MSEs at the first outer iteration (Fig. \\ref{fig4_noisy}a), but it is improved at the fifth outer iteration (Fig. \\ref{fig4_noisy}c). Also, we see that the estimated MSEs are not significantly changed in Fig. \\ref{fig4_noisy}c compared to the noiseless case (Fig. \\ref{fig4}c). For the estimated signatures, Figs. \\ref{fig4_noisy}e-\\ref{fig4_noisy}h, we see the quality of the estimated signatures are degraded compare to the noiseless case (Figs. \\ref{fig4}e-\\ref{fig4}h). Finally, the updated velocity model for this noisy test, Fig. \\ref{fig4_noisy}i, is close to the noiseless one in Fig. \\ref{fig4}i.\\\\\n\n\n\\section{Discussion}\n\n\nIn this paper, we have proposed an algorithm based on ADMM-based FWI for characterizing weak seismic events that is valid at any scale. We have focused on microseismic imaging to find the location and signature of MSEs, but the method is general and could be applied to tectonic events or any other situation in which the source location is unknown. The proposed algorithm does not require any information or assumptions about the sources, and it is able to find the location and time signature of seismic events and update the background velocity model if required. The proposed algorithm consists of three steps: 1- finding the number and location of seismic events, 2- jointly updating the data-assimilated wavefield and the signature of seismic events, 3- updating the background velocity model provided that the recorded data provides sufficient illumination of the model.\\\\\n\nIf the location of the seismic events are known, \\citet{Fang_2018_SEF,Aghamiry_2021_EES} have shown that it is possible to jointly estimate the data-assimilated wavefield and the event signatures with high accuracy by solving a linear least-squares problem. But, when the location and the number of seismic events are unknown, the first step of the proposed algorithm tries to find this information by applying a peak finder algorithm on the sparsified predicted source map. \nBy using Eq. \\eqref{close_U0} and considering the estimated source as $\\A(\\m^0,\\w)\\u(\\w)^{0}$, the predicted source locations are generated by first propagating the data backward in time from the receiver positions and then the blurring effects induced by the limited bandwidth of the data and the limited spread of the receivers are corrected with the sparsity-promoting regularization. The average of these estimated sources helps to find the number and the location of seismic events. However, the success of this step strongly depends on the sparsifying regularization that is applied on the estimated sources.\\\\ \nAt the second step of the algorithm, the seismic event signatures and data-assimilated wavefield are jointly updated from the estimated locations. When the algorithm finds incorrect seismic events in the first step, one contribution of this second step is to mitigate their footprint by assigning low-amplitude signatures to them.\nThis wavefield and signature refinement, as well as the updating of the background model, help the algorithm to better-estimate the source and seismic event locations in subsequent outer iterations.\\\\\n\nThe numerical results show that we should have at least a kinematically accurate initial model to have a good estimate of the seismic events. But, if the model is kinematically incorrect, we should have sufficient illumination of the model in the recorded data to update it during the outer iteration.  We note that we cannot update the velocity model everywhere, but the region in which we can update the model is the region through which the recorded waves travel.  Thus we can update the part of the model that is most important for the estimation of the source. \\\\\n\nThe proposed algorithm is in the frequency domain when the inversion is limited to a few frequencies. The computational burden of the proposed algorithm is primarily in solving the data-assimilated subproblem with a direct solver, Eqs. \\ref{close_UK}, \\ref{closed_u_2}. For problems with large computational domains, these subproblems can be solved efficiently with preconditioned iterative solvers. \\citet{Rezaei_2021_ALB} show that conjugate-gradient with additive Schwarz domain-decomposition preconditioner \\citep{Dryja_1987_AAV} has the best performance for solving data-assimilated subproblem in comparing it to other solvers. The computational burden of all the other steps of the algorithm are negligible. \n\\section{CONCLUSIONS} \nWe proposed a method based on ADMM-based FWI for characterizing weak seismic events at different scales. \nWhen the source is added to the unknowns of FWI, in addition to the wavefields and model parameters, it becomes a severely underdetermined problem, and it is challenging to uniquely determine the source without prior information. \nWe present a method to solve this problem that does not require prior information about the sources, although it does require a kinematically correct velocity model.  The proposed method consists of three steps:\nWith a finite band of frequencies and appropriate sparsifying regularizations on the source, seismic events are selected with a peak finder algorithm applied on the estimated average (over frequency) source.\nThe time signatures and wavefields are jointly updated for the selected seismic events by solving a linear least-squares problem.\nThe velocity model is updated by applying appropriate regularization on the model.  \nWe validate the proposed method with synthetic tests for microseismic event characterizations as a proof of concept.  The method works well, even for closely spaced events and has acceptable performance with extremely low signal-to-noise ratio data. The method can be tailored to earthquake relocation or microseismic monitoring. Ongoing work involves extending the method to 3D elastic physics and moment tensor estimation in the prospect of real data applications.\n\\section*{ACKNOWLEDGMENTS}  \nThis study was partially funded by the WIND consortium (\\textit{https:\/\/www.geoazur.fr\/WIND}), sponsored by Chevron, Shell and Total. The authors are grateful to the OPAL infrastructure from \nObservatoire de la C\u00f4te d'Azur (CRIMSON) for providing resources and support. This work was granted access to the HPC resources of IDRIS under the allocation A0050410596 made by GENCI.\nA. Malcolm acknowledges the NSERC Discovery Grant Program as well as Chevron, InnvoateNL and the NSERC Industrial Research Chair program.\n\n\\bibliographystyle{gji}\n\\newcommand{\\SortNoop}[1]{}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\\setcounter{equation}{0}\n      \nOne of the remarkable features of inflationary models\n\\cite{Blau} is that, besides\nsolving the classical problems of large scale homogeneity and flatness, it\nalso addresses the problem of creating the seeds of density inhomogeneity in\nthe early universe. These are the quantum fluctuations in energy density\nduring the inflationary epoch, which might have evolved to produce\nthe observed density inhomogeneity in the universe. Much work has naturally\nbeen devoted to a study of the evolution of the initial density perturbation\n\\cite{Hawk, Gupi, Bardeen}.\n\nThe difficulty here is that of constructing a realistic model \\cite{Kolb}.\nIn the original, the `old' inflationary model\n\\cite{Guth}, the bubbles of\ntrue phase, nucleated during the strongly first order phase transition,\ncannot percolate. The slow-rollover models \n\\cite{Linde} require too small a coupling \nconstant for reproducing the observed density fluctuation to cause problem\nof reheating. Finally the so-called `chaotic' models \n\\cite{Chaotic} require initial\nconditions having no resemblance to the thermal equilibrium condition\n(or definite departures therefrom), usually believed to prevail in the\nearly universe.\n\nThe extended inflationary models \\cite{La}\nare similar to the `old' model with the Einstein gravity replaced by the\ntheory of Jordan \\cite{Jordan} and\nof Brans and Dicke \\cite{Brans}.  The idea is to take\nadvantage of the time dependence of \ngravitational `constant' to solve the bubble\nnucleation problem. Though a realistic model still eludes \nconstruction \\cite{Liddle}, \nfurther work in this direction  is expected to lead to such\na model without violating astrophysical observations \\cite{Reas}.\n\nIn this work we examine the evaluation of density perturbation in the\ninflationary epoch\n\\cite{Bunch}. We first relate the density perturbation to the quantum\nfluctuations in the energy density operator from first principles\n\\cite{Kotu, Padma} . We then \nconsider the original model of extended inflation in the so-called Einstein\nframe \\cite{Ho}. By restricting the energy density \noperator to terms linear in the\nscalar field, the quantum fluctuations in the density reduce essentially to\nthe two point function of the scalar field. The density perturbation turns\nout to be an order of magnitude bigger than the earlier evaluations\n\\cite{Kosatu, Guja}.\n\nIn sec. 2 we derive the formula for the density perturbation from\nfirst principles. \nIn sec. 3 we consider the original model of extended inflation and\nderive the two point function for the scalar field. This is used to evaluate\nthe density perturbation in sec. 4. In sec. 5 we identify the points of\ndifference between the present and the earlier evaluations leading to an\norder of magnitude difference. Finally in sec. 6 we summarise our work\nemphasising these differences.\n\n\\section{Density fluctuation formula}\n\\setcounter{equation}{0}\nWe begin by reviewing the definitions of density inhomogeneity and quantum\nfluctuation to relate them from first principles \\cite{Kotu, Padma}. \nLet $\\rho (\\vec{x},t)$ be the energy density field of the Universe, which we\nassume for simplicity to be confined within a (large) volume $V$. The mean\nsquare fluctuation in $\\rho (\\vec{x},t)$ is defined as\n\\begin{equation}\n{\\left ({\\delta \\rho\\over {\\rho}} \\right )}^2 = \\left \\langle  \\left (  {{\\rho (\\vec{x},t) -\\bar{\\rho} (t)}\\over\n {\\bar{\\rho} (t)}}\\right )  ^2\\right \\rangle  _{\\vec{x}},\n\\end{equation}\nwhere ${\\langle \\cdots \\rangle}_x$ denotes average over all space and\n$\\bar{\\rho} (t) = \\langle \\rho (\\vec{x},t)\\rangle _x$, the averaged, homogeneous\nbackground density. One writes\n\\begin{equation}\n\\rho (\\vec{x},t) = \\bar{\\rho} (t)(1+\\delta (\\vec{x},t)),\n\\end{equation}\nwhere the density contrast $\\delta (\\vec{x},t)$ has the Fourier expansion\n\\begin{equation}\n\\delta (\\vec{x},t) ={1\\over \\sqrt{V}}\\sum_{k}  \\delta_k (t) \ne^{-i\\vec{k} \\cdot \\vec{x}}.\n\\end{equation}\nThen the mean square fluctuation (2.1) becomes\n\\begin{equation}\n\\left ({\\delta \\rho\\over {\\rho}} \\right )^2 = {1\\over V} \\sum_{k} |\\delta_k (t)|^2\n\\rightarrow \\int{{k^3 |\\delta_k (t)|^2}\\over {2\\pi^2}} d (\\ln k).\n\\end{equation}\nThe so-called fluctuation power per logarithmic interval\nin wavenumber is defined as\n\\begin{equation}\n\\left ({\\delta \\rho\\over {\\rho}} \\right )^2_k = {k^3|\\delta_k (t)|^2\\over {2\\pi^2}}.\n\\end{equation}\n\nFor our purpose it is useful to consider a related quantity, \nnamely, the mean square\nmass fluctuation on a given length scale. It measures the mass fluctuation\nwithin a certain volume $v$ by averaging \nthe squared excess mass in it over all points $x_0$\nthroughout the volume $V$ of the universe. To avoid sharp boundary, one\nsmears $v$ with a Gaussian window function. \nThe mass within such a smeared sphere placed at $\\vec{x}_0$ is\n\\begin{equation}\nm_l (\\vec{x}_0 ,t) = \\int d^3 y e^{-y^2 \/2l^2}  \\rho (\\vec{x}_0 +\\vec{y},t).\n\\end{equation}\nThe mean square mass fluctuation on length scale $l$ is then\n\\begin{equation}\n\\left ( {\\delta m\\over m} \\right )^2_{l,c} = {\\left \\langle  \\left (  \n{{m_l (\\vec{x}_0 ,t) - \\bar{m}_l (t)}\n\\over {\\bar{m}_l} (t)} \\right ) ^2 \\right \\rangle }_{\\vec{x}_0} .\n\\end{equation}\nHere  $\\bar{m_l} (t)= <m_l (\\vec{x_0},t)>_{\\vec{x_0}}$,\nthe average mass\nobtained by replacing $\\rho$ by $\\bar{\\rho}$ in (2.6). \nThe subscript c stands for classical and indicates the phenomenological\nnature of the evaluation. Inserting (2.3) in (2.6) we get \n\\begin{equation} \n\\left ({\\delta m\\over m} \\right )^2_{l,c} = \\int {d^3 k\\over {(2\\pi)^3}}  |\\delta_k (t)|^2 e^{-k^2 l^2}.\n\\end{equation}\n\nNow suppose that this density inhomogeneity has a quantum origin\nin the inflationary epoch. Then\nit should be calculable by considering the quantum fluctuations  \nin the energy density operator, $T_{00}$. This operator will be written\nexplicitly for the specific Lagrangian of extended inflation considered in\nthe next section. Here we write it as a sum of two parts,\n\\begin{equation}\nT_{00} (\\vec{x},t) =\\bar{\\rho} (t) + U(\\vec{x},t),\n\\end{equation}\nwhere $\\bar{\\rho}$, the classical part, is to be identified with the\nbackground density considered above and $U$, the quantum part, depends on\nthe quantum field operator.\n \nIn analogy with (2.6) let us define the mass operator,  \n\\begin{equation}\n\\hat{m}_l (t) = \\int d^3 x e^{-x^2 \/2 l^2} T_{00} (\\vec{x},t),\n\\end{equation}\nwhere the hat on $m$ emphasises that it is an operator. \nThe mean squared fluctuation in mass in the smeared sphere is\n\\begin{equation}\n{\\left ( {\\delta m\\over m} \\right )}^2_{l,q} = \\left \\langle  \\left (  {{\\hat{m}_l (t)\n-\\bar{m_l} (t)}\\over\n\\bar{m_l} (t)} \\right )  ^2 \\right \\rangle ,\n\\end{equation}\nwhere $\\langle \\cdots \\rangle $ denotes the quantum mechanical expectation\nvalue in the state with energy density $\\bar{\\rho}(t)$, which corresponds to\nthe vacuum of the conventional quantum field theory. The subscript $q$\ndistinguishes it from the phenomenological evaluation in (2.7-8).\nInserting the Fourier transform of the two point function of $U$\n\\begin{equation}\n\\langle U(\\vec{x},t) U(\\vec{x'},t) \\rangle \n= \\int {d^3 k\\over {(2\\pi)^3}} e^{-i\\vec{k} \\cdot (\\vec{x}-\\vec{x'})} D_k (t),\n\\end{equation} \nin eqn (2.11), we get\n\\begin{equation}\n\\left ( {\\delta m\\over m} \\right )^2_{l,q} = \\int {d^3 k\\over {(2\\pi)^3}} e^{-k^2 l^2} {D_k (t)\\over \n{\\bar{\\rho}^2 (t)}}.\n\\end{equation}\n\nIf we now identify the spatial averaging in (2.7) with the quantum mechanical\nexpectation value in (2.11), we get the desired relation,\n\\begin{equation}\n|\\delta _k (t)|^2 = {D_k (t)\\over {{\\bar{\\rho}}^2 (t)}},\n\\end{equation}\nallowing us to calculate the density fluctuation during inflation,\nwhen it is still within the Hubble length (causal horizon).\nIts evolution as superhorizon-sized perturbation, \nfrom the time $t_h$ when it leaves the Hubble radius until its re-entry\nwithin it later, is described by the constancy of the quantity\n$ \\zeta ={\\delta}_k (t) \/(1+ \\bar{p} \/ \\bar{\\rho})$ \\cite{Bardeen}.\n Assuming radiation dominance at\nthe time of re-entry, we finally get the density perturbation at that time\nas\n\\begin{equation}\n\\left ( {\\delta \\rho \\over \\rho} \\right)_H = \\frac{4 \\sqrt{ k^3 D_k (t_h)}}\n{3 \\sqrt{2} \\pi \n(\\bar{\\rho}+\\bar{p})_{t_h}}. \n\\end{equation}\n\n\\section{Extended inflation in Einstein frame}\n\\setcounter{equation}{0}\n\nBecause of the nonminimal coupling of the\nscalar field in the original \nBrans-Dicke (BD) Action \\cite{Brans}, it is not possible to\ndo calculations with it in the canonical framework of quantum field theory.\nIt \nhas, however, been shown \n\\cite{Ho} that an appropriate Weyl rescaling \\cite{Birrell} can\ntransform this action to a form where both the gravity and the kinetic term\nin the scaled BD field are canonical. In this so-called\nEinstein frame, the rescaled action becomes \n\\begin{equation}\nS=\\int d^4 x \\sqrt{g} \\left ({R\\over{16\\pi G}} + {1\\over 2}g^{\\mu \\nu}\n\\partial_{\\mu}\\Psi \\partial_{\\nu}\\Psi -V (\\Psi) \\right)\n\\end{equation}\nwhere $\\Psi (x)$ is the BD field in the Einstein frame and\n\\[ V(\\Psi) =M^4 e^{-2\\Psi \/\\psi_0}, \\qquad \\psi_0 =\\sqrt{{2\\omega +3}\\over 16\\pi}\nm_P ,\\]\n$ m_P \\equiv G^{-1\/2} $ being the present value of the Planck mass.\nThis form for the potential function results from assuming the matter\nLagrangian in the original \n(Jordan) frame to be dominated by the false vacuum energy\ndensity, $M^4$. The dimensionless parameter $\\omega$ appears in the original\nBD Lagrangian.\n\nWe decompose the BD field $\\Psi$ into a homogeneous, classical field $\\psi$\nand a quantum field $\\phi$,\n\\begin{equation}\n \\Psi (\\vec{x},t) =\\psi (t) +\\phi (\\vec{x},t). \n\\end{equation}\nIn the spatially flat FRW metric, $ ds^2 =dt^2 -a(t)^2\\vec{ dx}^2$,\nthe classical equations of motion for $\\psi (t)$ and the scale factor\n$a(t)$ are\n\\begin{equation}\n\\ddot{\\psi}+ 3 {\\dot{a}\\over a} + {d V\\over{d\\psi}} =0 \n\\end{equation}\n\\begin{equation}\n\\left (  {\\dot{a}\\over a} \\right )^2 = {8\\pi \\over{3 m_P^2}} \\left (\n{1\\over 2} \\dot{\\psi} ^2 + V(\\psi) \\right)\n\\end{equation}\nIn the Einstein frame, the extended inflation resembles  a slow-rollover \ninflation off an exponential potential \\cite{Kosatu}.\n\nThe solution to the coupled equations are \\cite{La, Ho}\n\\begin{equation}\n\\psi (t) =\\psi(0) +\\psi_0 \\ln (1+Ct), \n\\end{equation}\n\\begin{equation}\na(t) =a(0) (1 +Ct)^p, \\qquad p=(2\\omega +3)\/4.\n\\end{equation}\nwhere\n\\[C= {2M^2\\over q\\omega m_P} e^{-\\psi(0)\/ \\psi_0}, \\qquad q\\omega =\n\\sqrt{(6\\omega +5)(2\\omega +3)\\over {32\\pi}} .\\]\nWe note that the Hubble length in this model is,\n\\begin{equation}\nH(t)^{-1} =\\left (  {\\dot{a}\\over a} \\right )  ^{-1} ={{1+Ct}\\over Cp}.\n\\end{equation}\n\nWe now turn to the quantum theory. Expanding the Lagrangian around\nthe classical field $\\psi$, one gets an (infinite) series in powers of the\nquantum field $\\phi$, though the coefficient of expansion $(M \/ m_P)$\nis small. Such a Lagrangian is, of course, not perturbatively\nrenormalisable. Here we simply reject all higher order\nterms retaining, in fact, only the lowest (second) order terms to get\n\\begin{equation}\nS_q =\\int d^3x dt a^3(t) \\left ( {1\\over 2} \\dot{\\phi}^2 -{1\\over {2 a^2}}\n(\\nabla \\phi)^2 -{1\\over 2} {\\mu}^2 (t) \\right ),\n\\end{equation}\nwhere\n\\[ {\\mu}^2 (t) ={d^2 V\\over{d {\\psi}^2}} = {2(3p-1)\\over p^2} H^2(t).\\]\n \nWe calculate the Feynman propagator for $\\phi$ in the classical background\nfield $\\psi (t)$. Its Fourier transform in 3-space, \n\\begin{equation}\n\\langle T \\phi (\\vec{x},t) \\phi (\\vec{x'},t') \\rangle =\\int {d^3 k\\over {(2\\pi)^3}} \ne^{-i \\vec{k} \\cdot (\\vec{x}-\\vec{x'})} G_k (t,t'),\n\\end{equation}\nsatisfies the inhomogeneous equation\n\\begin{equation}\n\\left ( {d^2\\over {d t^2}} +3 {\\dot{a}\\over a} {d\\over {dt}}\n+ {k^2\\over a^2} + {\\mu}^2 (t)\n\\right ) G_k (t,t') = -{i\\over {a^3 (t)}} \\delta (t-t').\n\\end{equation}\nThe Green's function can be constructed by the familiar procedure. Let\n$f^{(+)} (t), f^{(-)} (t)$ be two linearly independent mode \nfunctions satisfying the\nhomogeneous part of the above equation and incorporating the boundary\nconditions that $ f^{(\\pm)}$ contain respectively positive and negative \nfrequencies during the initial period for not too low physical momenta\n\\cite{Foot1}. Their normalisation is fixed by \nthe value of the Wronskian of the two solutions derivable from (3.10).\nThen  we have \n\\begin{equation}\nG_k (t,t') =f^{(+)} (t) f^{(-)} (t') \\theta (t-t') +f^{(-)} (t) f^{(+)} (t')\n \\theta (t'-t).\n\\end{equation}\nThe equation for the mode functions can be solved exactly. With a change of\nvariable \\cite{Abbott}, $\\tau =(1+Ct)^{1-p}\/(p-1)$, it becomes\n\\begin{equation}\n\\left ({d^2\\over {d\\tau^2}} -{2p\\over {p-1}} {1\\over \\tau}{d\\over {d\\tau}}\n+{\\kappa}^2 + {2(3p-1)\\over {(p-1)^2 \\tau^2}} \\right ) f^{(\\pm)} (\\tau) =0,\n\\qquad \\kappa ={k\\over {a(o) C}}.\n\\end{equation}\nIt is now easy to cast it in the standard form of Bessel's equation. We get \n\\begin{equation} \nf^{(+,-)} (t) = {1\\over 2} \\sqrt{{p\\over {p-1}} { \\pi\\over H}}\n{H_{\\nu}^{(1,2)} (z)\\over {a(t)^{3\/2}}},\n\\end{equation}\nwhere $H_{\\nu}^{(1,2)} (z)$ are the Hankel functions of the first and second\nkind respectively \\cite{Abram, Foot2} and\n\\[ \\nu = \\frac{\\sqrt{3(3p-1)(p-3)}}{2(p-1)}, \\qquad\n z=\\kappa \\tau ={p\\over {p-1}}{k\\over {a H}}.  \\]\nTwo point functions involving  $\\phi$ and $\\dot {\\phi}$ are immediately\nobtainable from (3.11) and (3.13).\n\nWe also write here the expressions for the energy density and pressure,\nwhich can be obtained directly from the energy-momentum tensor,\n\\begin{equation}\nT_{\\mu \\nu} = \\partial_{\\mu} \\Psi \\partial_{\\nu} \\Psi -g_{\\mu \\nu} \n({1\\over 2} g^{\\alpha \\beta} \\partial_{\\alpha} \\Psi \\partial_{\\beta} \\Psi\n- V(\\Psi)) ,\n\\end{equation}\nfor the action (3.1). We have already split the energy density as the sum of\na homogeneous, classical part and a quantum part in (2.9). Inserting (3.2)\nin (3.14), they are\n\\begin{equation}\n \\bar{\\rho} ={1\\over 2} \\dot{\\psi}^2 + M^4 e^{-2\\psi (0) \/{\\psi_0}} \n= {3\\over 8 \\pi} m_p^2 H^2,\n\\end{equation}\n\\by\nU &=& -{M^4\\over {\\psi_0^2}} \\phi +  \\dot{\\psi} \\dot{\\phi} \\nonumber \\\\\n  &=& -{{m_p H^2}\\over {\\sqrt{{\\pi} (2\\omega +3)^3}}} [(6\\omega +5) \\phi + (2\\omega-1)\n\\tau {d\\over {d\\tau}} \\phi].\n\\end{eqnarray}\nIn $U$ we have only retained terms linear in $\\phi$. Higher order terms like \n$\\phi ^2$ would give rise to loops and hence divergence in the expression\nfor the density fluctuation. As already stated, such terms are multiplied by\nsmall coefficients. Thus in any reasonable renormalisation scheme , such\nterms are expected to produce small contributions.\nWe also note the expression for the homogeneous pressure,\n\\begin{equation}\n\\bar{p} = {1\\over 2} \\dot{\\psi}^2 -M^4 e^{-2\\psi(0)\/{\\psi_0}}\n=-{1\\over {8\\pi}} {{6\\omega +1}\\over {2\\omega +3}} m_P^2 H^2.\n\\end{equation}\n\\section{Evaluation of $\\delta \\rho \/ {\\rho}$}\n\\setcounter{equation}{0}\nSince the energy density operator $U(\\phi)$ is linear in $\\phi$, it is\nsimple to express the two point function of $U(\\phi)$ in terms of the mode\nfunctions $f^{(\\pm)} (t)$. Noting the symmetry of Hankel functions,\n$H_{\\nu}^{(2)} (z) = H_{\\nu}^{(1)*} (z) $ for real $z$, we can write its\nFourier transform (2.12) as\n\\by\nD_k (t) &=& {m_p^2 H^4\\over {\\pi (2\\omega +3)^3}} |(6\\omega +5) f^{(+)} (\\tau)\n+(2\\omega -1) \\tau {d\\over {d\\tau}}f^{(+)}|^2, \\nonumber  \\\\\n        &=& {m_p^2\\over {4(2\\omega -1) (2\\omega +3)^2}} \\left (  {H(t)\\over a(t)}\\right )  ^3\n |F(t)|^2,\n\\end{eqnarray}\nwhere \n\\[ F(t)={3\\over 2} (6\\omega +5) H_{\\nu}^{(1)} (z) + (2\\omega -1) z {d\\over {dz}}\nH_{\\nu}^{(1)} (z) .\\]\n\nLet $\\lambda _{phys} (t)$ be the physical wavelength characterising the \ndensity perturbation at time $t$,\nbelonging to the comoving wavenumber $k$, $\\lambda_{phys} (t) =2\\pi a(t)\/k$. \n At time $t_h$\nduring inflation, when it equals the Hubble length, its magnitude is \n$ \\lambda _{phys} (t_h) =H^{-1} (t_h)$, so that $k\/(aH)|_{t_h} =2\\pi.$\nThen eq.(2.15) becomes\n\\begin{equation}\n{\\left ({\\delta \\rho\\over {\\rho}} \\right )}_H ={4 {\\pi}^{3\/2} \\over{3\\sqrt{2\\omega-1}}} {H(t_h)\\over m_p} |F(t_h)|.\n\\end{equation}\n  \nAt time $t_h$ the argument of the Hankel function becomes\n $z(t_h)=2\\pi p\/(p-1)$, a value large enough to justify the use of \nasymptotic expansion\n\\cite{Abram}. Retaining terms in $z$ upto the first nonleading\none, it is simple to evaluate $F(t_h)$ giving\n\\begin{equation} \nF(t_h)= 2\\sqrt{(2\\omega-1)(2\\omega+3)} K(\\omega), \n\\end{equation}\nwhere $K$ is of order unity,\n\\[K^2(\\omega) =1+{3(20 \\omega^2 +48\\omega +27)\\over{4\\pi^2 (2\\omega +3)^2}}. \\]\n\nTo determine $t_h$, we follow earlier authors \\cite{Kosatu, Guja} to make \n certain simplifying assumptions.  It is assumed that the extended\n inflation ends at time $t_e$ and instantly gives rise to the radiation\ndominated era with an initial temprerature $T \\simeq M$. Further, since the\ngravitational `constant' ceases to vary in the radiation era, the\n(classical) BD field $\\psi$ is set equal to zero from the time $t_e$\nonwards \\cite{Foot3}. We then get from (3.5),\n\\begin{equation}\n{M\\over H(t_e)}={q\\omega\\over 2p} {m_p\\over M}.\n\\end{equation}\n The corresponding wavelengths at time $t_h$ and at the present time $t_p$\ncan be related as\n\\[ \\lambda_{phys} (t_h) ={a(t_h)\\over a(t_e)} {a(t_e)\\over a(t_p)}\n\\lambda_{phys} (t_p). \\]\nThe scale factors can now be evaluated to give\n\\begin{equation}\n{M\\over H(t_h)} = \\left ( {M\/H(t_h)\\over{M\/H(t_e)}} \\right ) ^p T_p\n{\\lambda}_{phys} (t_p),\n\\end{equation}\nwhere $T_p= 2.7 K$, the present temperature of the background radiation. \nSolving for $M(t_h)$ and using (4.4) we get\n\\begin{equation}\nH(t_h)=M \\left ( {2p\\over q\\omega} {M\\over m_P} \\right )^{p\\over (p-1)}\n\\left (T_p \\lambda_{phys} (t_p) \\right)^{1\\over (p-1)}.\n\\end{equation}\nInserting this value in (4.2) we finally get\n\\begin{equation}\n{\\left ({\\delta \\rho\\over {\\rho}} \\right )}_H = {8\\pi \\over 3} K \\sqrt{2\\pi} [(2\\omega +3)\/2]^{6\\omega +5 \\over\n{2(2\\omega-1)}} (q\\omega)^{-{{2\\omega+3}\\over {2\\omega -1}}} (M\/m_P)^{2(2\\omega +1)\\over\n{2\\omega-1}} (T_p {\\lambda} (t_p))^{4\\over {2\\omega -1}}.\n\\end{equation}\nThis result differs from what one finds in the literature \\cite{Kosatu,\nGuja}. In particular it is larger than the result by\nGuth and Jain \\cite{Guja} by a factor of \n$8\\pi K\/3 \\simeq 10$. The sources of this difference are discussed in the \nnext section.\n\n\n\\section{Comparison with earlier works}\n\\setcounter{equation}{0}\n\nThere are two major differences with earlier works, which contribute to the\nenhancement of our result. One is the time at which the mode functions are\nevaluated. As already stated, the argument of the Hankel functions around\nthe time of Hubble length crossing is sufficiently large for the asymptotic\nexpansion to apply,\n\\begin{equation}\nH_{\\nu} ^{1,2} (z) \\rightarrow \\sqrt{2\\over {\\pi z}} e^{\\pm iz},\n\\quad (z \\; large).\n\\end{equation}\nThen the fluctuation in these oscillatory Fourier components of the quantum\nfield is given by\n\\begin{equation}\n{k^3 |f^{\\pm)} (t) |^2\\over 2{\\pi}^2} = \\left (  {k\\over aH} {H\\over {2\\pi}}\\right ) \n^2,\n\\end{equation}\nwhich reduces to just $H^2$ at the time of horizon exit, independently of\nthe value of $\\nu$.\n\nBut in the literature, the evaluation at the Hubble length crossing is\n{\\it{actually}} carried out when the wavelength of the perturbation is much\nlarger than the Hubble length and the corresponding mode ceases to\noscillate. In this `frozen' state, the argument of the Hankel functions is\nsmall enough for expansion around the origin to apply,\n\\begin{equation}\nH_{\\nu}^{(1,2)} (z) \\rightarrow  \\pm i{\\Gamma (\\nu)\\over \\pi} \n({z\\over 2})^{-\\nu}, \\quad (z \\; small).\n\\end{equation}\nFurther $\\nu$ is assumed very close to $3\\over 2$ . Under these conditions the\nfluctuation in the quantum field is given by\n\\begin{equation}\n\\left ( {k^3 |f^{(\\pm)} (t)|^2 \\over {2 \\pi^2}} \\right )^{(o)}\n= \\left ( { {p-1}\\over p}{H\\over {2\\pi}} \\right )  ^2 .\n\\end{equation}\nThe superscript $(o) $\nindicates evaluation following literature. Thus our expression (5.2), though\nnot of this form in general, does reduce to this form at the time of Hubble\nlength crossing but is larger by a factor of $(2\\pi p\/(p-1))^2$.\n\nThe other difference is the omission of the $\\dot{\\phi}$ term in the energy\ndensity operator. Thus in the literature the energy density fluctuation is\nrelated to the field fluctuation by\n\\begin{equation}\n\\left ({k^3 D_k (t)\\over {2\\pi^2}} \\right )^{(o)} = \\left ( {\\partial V\\over\n{\\partial \\psi}} \\right ) ^2\n\\left ( {k^3 |f^{(\\pm)} (t)|^2 \\over {2 \\pi^2}} \\right )^{(o)} . \n\\end{equation}\nComparing with (4.1) we see that the neglected term is of the same order of\nmagnitude as the one retained for $z=2\\pi p \/(p-1)$.\n\nAt this point it is simple to obtain the standard expression for the density\nfluctuation and verify the enhancement factor. For the slow-rollover\nscenario, $(\\partial V\/\\partial \\psi)$ may be estimated from the classical\nequation of motion (3.3) as $(\\partial V\/\\partial \\psi) = -3H\\dot{\\psi}$.\nThen inserting (5.4-5) into (2.15) we recover the standard formula,\n\\begin{equation}\n{\\left ({\\delta \\rho\\over {\\rho}} \\right )}_H^{(o)}= \\left (  {H^2\\over {\\dot{\\psi}}} \\right )  _{t_h},\n\\end{equation}\non ignoring a factor of $2(p-1)\/{\\pi p}$. It can be immediately evaluated to\ngive\n\\begin{equation}\n{\\left ({\\delta \\rho\\over {\\rho}} \\right )}_H^{(o)} = \\sqrt{\\pi (2\\omega +3)} {H\\over m_P}\n\\end{equation}\n This standard result is clearly smaller than our result (4.2-3) by the\nfactor $8\\pi K\/3 $.\n\\section{Discussion}\n\nWe review from first principles the formula for the density perturbation due\nto quantum fluctuations in the energy operator. We then evaluate the\nresulting formula in the context of the original model of inflation in the\nEinstein frame, using the simplifying assumptions made by the earlier\nauthors.\n\nThe present evaluation of the density fluctuation differs from the earlier\nones in two respects.  One is the time at which the perturbation in the\ninflationary epoch is evaluated. We evaluate it exactly at the time when\nthe characteristic wavelength starts growing bigger than the Hubble\nlength. Then the mode functions are still oscillatory and physical\nquantities admit conventional interpretation. In the literature, however, \nthe perturbation is actually evaluated when the wavelength has grown several\ntimes bigger than the the Hubble length and the mode functions have ceased\nto oscillate.\n \nAlthough evaluated at two different times with qualitatively different mode\nfunctions, the density fluctuations turn out to have the same, nearly scale\nindependent, spectum. It is interesting to note that our evaluation leaves\nthe index $\\nu$ of the Hankel function free, while that in the literature\nrequires $\\nu$ to be equal to ${3\\over 2}$ to arrive at this spectrum. But the two\nevaluations do make a difference in the magnitude of the fluctuation, our\nresult being greater by a factor of $2\\pi$.\n \nThe other point of difference with the earlier evaluation is the inclusion\nof the $\\dot{\\phi}$ term in $T_{00}$. In our way of evaluation, this term is\nas important as the $\\phi$ term. These two sources of difference go to make\nour result larger by about a factor of 10.\n\nWe hope to have made it clear that these sources of enhancement \nin our calculation over the earlier ones,\nalthough discussed here in the context of a specific model, is,\nin fact, quite general. But to arrive at the physically correct magnitude of\n$(\\delta \\rho \/{\\rho})_H$, we need a better knowledge of the evolution of\nthe density perturbation than what the approximate constancy of $\\zeta$\nsuggests. Pending this investigation, a comparison of our result with the\nearlier ones indicates the magnitude of uncertainty in such a calculation.\n\n\\bigskip\n\nOne of us (SM) would like to thank Professor Paul J. Steinhardt for earlier \ndiscussions on related topics. He also gratefully acknowledges the hospitality\nat the Institute for theoretical Physics, University of Bern, which made\nthese discussions possible.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\nThe transition metal oxides represent a large class of materials with functional properties not only \nin the bulk but also in hetero-structures and nano-structures. In particular, the two-dimensional electron gas (2DEG)   \nat the (001) interface between $LaAlO_3$ (LAO) and $SrTiO_3$ (STO) band insulators has gained a continuously growing \ninterest in recent years, as an ideal playground to investigate the interplay between magnetism,  superconductivity, \nand spin-orbit coupling. Indeed, the 2DEG  hosts a complex phase diagram, depending on the electron density\n\\cite{Caviglia2,biscaras2}, on the temperature and {\\color{black} on the applied  magnetic field}.   \n\nIt is well known that LAO\/STO 2DEGs host an unconventional superconducting regime, achievable by tuning the applied gate voltage.  \nThe origin of the superconductivity is still not understood \\cite{Gorkov2016,Edge2015,Ruhman2016,gariglio2016,tafuri2017}, and various \nopen questions remain unsolved about  the role of quantum {\\color{black} electronic correlations} \\cite{maniv2015strong,Monteiro2019}, \n{\\color{black} of} multiband effects \\cite{Trevisan2018,Wojcik2020,zeg2020,jouan2021}, and of the spin-orbit coupling \n\\cite{Khalsa2013,Diez2015,Zhong2013,Shalom2010,Rout2017}. Moreover, the possibility of topological\nsuperconductivity is also under debate \\cite{Scheurer,Mohanta,Loder,Fukaya,settino2020,santamaria2021,tafuri2017,perroni2019}.\n\nEven more interestingly, the superconducting critical temperature, $T_c$, in the LAO\/STO 2DEG exhibits a dome-shape behavior, \nas a function of the applied gate voltage \\cite{Reyren,Rout2017,joshua2012universal,maniv2015strong,biscaras2,biscaras2010two,Caviglia2}. \nWhen the carrier density increases,  $T_c$ {\\color{black} first} increases up to a maximum value, $T_c^\\mathrm{max}$ $\\simeq$ 300 mK, at an optimal effettive doping, \nthen it starts to decrease. The resulting  phase diagram is qualitatively very similar to that of high $T_c$ cuprates,  of organic superconductors, \nof Fe-based superconductors, as well as of heavy fermions \\cite{taillefer,keimer}. \nRecently, the shape of the superconducting dome has been qualitatively explained by assuming \n{\\color{black} a  particular real-space potential, effectively attractive in suitable windows of momentum space, and resulting into an extended s-wave pairing \\cite{zeg2020}. \nMoreover, a forthcoming insightful work \n\\cite{paramekanti2020} showed that the formation of a similar dome (or even many of them, when multiband fermionic models are  considered) \nis related generically to an attractive potential with finite range.} The same work shed light on previous works, where the dome has been suggested \ninstead as an effect of the spin-orbit coupling \\cite{Shalom2010, Rout2017, Yin2019,singh2018gap}. Furthermore, an asymmetric\nresponse in shear-resistivity to an applied magnetic field (in-plane or out-of-plane) has been observed \\cite{caviglia2009}: a similar \nasymmetry can suggest a possible spatial asymmetry in the pairing. \n\nTo {\\color{black} address the open questions above, in this paper we discuss the superconductivity in \nLAO\/STO 2DEG, by making a singlet-triplet mixed ansatz for the pairing and by studying its physical consequences}.  \nThis possibility looks  pretty natural, due to the inversion symmetry breaking term of the \nheterostructure  which gives rise to an effective Rashba-like coupling, already known to favour mixed pairings \\cite{rashba2001,tafuri2017,alidoust2021}. Related notable effects are qualitative deviations of the standard BCS\/BEC crossover \\cite{pieri2019}. The same \npossibility has been corroborated quite recently, using a Monte-Carlo approach on a square lattice \\cite{rosenberg2017}: there, even a \nlocal (Hubbard) interaction proved sufficient for singlet-triplet mixing, provided that a Rashba coupling is added. Interestingly, \na singlet-triplet mixed pairing allows (but does not imply) edge excitations, protected by a nontrivial topology,  whose presence \nhas not been ruled out so far by current transport experiments. Moreover, it determines an asymmetric response to an applied magnetic field,\nqualitatively similar to that observed in  \\cite{caviglia2009}. We finally notice that, {\\color{black} while a pure triplet p-wave pairing  \nis ruled out by previous experiments which did not detect the expected nodes in the superconducting gap \\cite{hwang2018,sumita2020}, \ninstead  a singlet-triplet mixed pairing would not contradict the experimental results.}\n\nIn {\\color{black} this paper, we employ}  a tight-binding model including the low-energy electronic structure of {\\color{black} the LAO\/STO 2DEG} \nwith the ${d_{xy},d_{xz},d_{yz}}$  orbitals of the Ti atoms \\cite{popovic,delugas,scopigno,salluzzo,Khalsa2013}. Various papers have pointed out the close relation between \n{\\color{black} the onset of the} superconductivity\nand the filling of the degenerate $d_{xz\/yz}$ sub-bands, at an high density of states \\cite{valentinis,singh}.\nThen, we adopt an attractive static potential, with both local and nearest-neighbour terms, able to host all the pairing  configurations mentioned above. \nIn addition, we include  the atomic  spin-orbit and the inversion asymmetric potential associated with the orbital Rashba interaction. Finally,\nwe consider a magnetic field as a source of time reversal symmetry breaking.  To achieve our results, we perform a detailed analysis \nof the most favorable topological superconducting phases. This analysis is based on self-consistent computations of the order parameters,\nminimizing the mean-field free energy in the Hamiltonian parameters space, set by the electron filling, by the attraction strengths, \nand by the amplitude and orientation of the magnetic field. \n\nWe point out  how the interplay of singlet and triplet pairings is able to affect the superconducting properties of LAO\/STO 2DEGs. \nFirst,  we show that  the singlet order parameters are strongly reduced with increasing the role of triplet pairings,  thus acquiring a non-monotonic dependence \non the charge density.\nInterestingly, some notable effects are found related with not-linear corrections to the effective Rashba spin-orbit coupling.\nFor instance, in the absence of magnetic fields, the not-linear spin-orbit terms, combined with the triplet pairings, \nfavor a quite stable (time-reversal invariant) topological helical superconducting phase.\n The triplet pairings are also responsible\nfor an anisotropic behavior of the superconducting order parameters, when the magnetic field is applied in-plane and out-of-plane. \nFinally, in the presence of out-of-plane magnetic fields, we recover (time-reversal breaking) chiral topological superconducting phases,\nalso when the triplet pairings are vanishing.\n\nThe paper is organized as follows:\n \n\nIn Section \\ref{normalstate}, we report the main electronic properties of the normal state.\n \nIn Section \\ref{super}, we discuss the general set-up of the mean-analysis of superconductivity. \n \nIn Section \\ref{MFsol}, we analyze the superconducting solutions at zero magnetic field.\n \nIn Section \\ref{supermagnetic},  {\\color{black} we analyze} the effects of a magnetic field. \n \nFinally, we devote Section \\ref{conclusion} to our conclusions and outlook.\n\n\n\n\\section{Normal state}\n\\label{normalstate}\n\n\\subsection{Model Hamiltonian}\n\n\\label{modham}\nFollowing the derivation of \nRef. [\\onlinecite{perroni2019}], we write down  the general tight-binding Hamiltonian for the two-dimensional LAO\/STO-001 system by \nconsidering  the 2DEG  effectively confined on a square with lattice step $a = 3.9 \\, \\AA \\equiv 1$.\nThe system has also a broken out-of-plane inversion symmetry, having only the $t_{2g}$-orbitals close to the Fermi level.\nIn LAO\/STO systems, the transition metal (TM)-oxygen bond angle is almost ideal, and the three $t_{2g}$-bands are mainly decoupled in the momentum space ${\\bf k}$. \n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG1A_NEW_FIN.pdf}\n\\includegraphics[scale=0.28]{FIG1B_NEW_FIN.pdf}\n\\includegraphics[scale=0.28]{FIG1C_NEW_FIN.pdf}\n\\caption{Plot of $\\epsilon_{yz}{\\color{black} ( {\\bf k} )}$, $\\epsilon_{zx}{\\color{black} ( {\\bf k} )}$, and $\\epsilon_{xy}{\\color{black} ( {\\bf k} )}$ (left panel, in meV), and of the mixed bands\n$\\epsilon_{-,0,+}{\\color{black} ( {\\bf k} )}$ (middle and right panels), in the absence of magnetic field, for $k_y = 0$, and as functions of \n$k_x$ {\\color{black} (still around $k_x = 0$, then for $\\nu \\to 0$). In the middle panel, around $k_x \\approx 0.35$, we\nhave avoided crossings, due to the role of the atomic spin-orbit coupling and the breaking inversion symmetry term.}}\n\\label{bande}\n\\end{figure*}\n\nMoreover, the $d_{xy}$ band has a truly two-dimensional character, while the $d_{yz}$ and $d_{zx}$ bands are quasi one-dimensional.\nIn the following, we denote  with $H_0 ( {\\bf k} )$ the corresponding normal-state contribution to \nthe total system Hamiltonian in momentum space. Moreover, herewith we use the index $\\tau = \\{yz , zx, xy\\}$ \n to refer to the three different $t_{2g}$ orbitals $d_{yz}$, $d_{zx}$, and $d_{xy}$, respectively, while we label the spin with  $\\sigma  =\n\\{ \\uparrow , \\downarrow \\}$.  In addition, we add a term $H_{SO}$ to the total Hamiltonian, accounting for  the atomic spin-orbit coupling of the TM ions. \nFinally,  we include the \nmicroscopic couplings arising from the out-of-plane oxygen displacements around the TM, with the inversion asymmetry giving rise to an \neffective hybridization of $d_{xy}$ and $d_{yz}$ or $d_{zx}$-orbitals along the $y$ or $x$ directions, respectively. We denote this contribution  \nas $H_Z ( {\\bf k} )$.\n\n\nIn momentum space, we set \n\\begin{equation}\n{\\cal H} = \\hat{D}^\\dagger ( {\\bf k} ) H ( {\\bf k} ) \\hat{D} ( {\\bf k} )\n\\:\\: ,\n\\label{e.1}\n\\end{equation}\n\\noindent\nwith $\\hat{D} ( {\\bf k} )$ labelling the vector\n\\begin{equation}\n[ c_{yz , \\uparrow}  ( {\\bf k} ), c_{yz , \\downarrow}  ( {\\bf k} ), c_{zx , \\uparrow}  ( {\\bf k} ), \nc_{zx,  \\downarrow}  ( {\\bf k} ), c_{xy , \\uparrow}  ( {\\bf k} ), c_{xy , \\downarrow} ( {\\bf k} ) ]_t \\: , \n\\label{e.2}\n\\end{equation}\n(note the different grouping of the operators corresponding to the various orbitals with respect to \\cite{perroni2019}), and \n\\begin{equation}\nH ( {\\bf k} ) = \\sum_{\\tau} H_{\\tau} ( {\\bf k} ) = H_0 ( {\\bf k} ) + H_{\\rm SO} + H_Z ( {\\bf k} ) + H_M \n\\:\\:\\:\\:.\n\\label{e.3}\n\\end{equation}\n\n\\noindent\nThe various terms at the right-hand side of Eq. (\\ref{e.3}) are grouped as follows.\nThe first term $H_0 ( {\\bf k} )$ is the lattice band term\n\\begin{equation}\nH_0  ( {\\bf k} )  = \\left[ \\begin{array}{ccc}\n\\epsilon_{yz}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} & {\\bf 0 } \\\\\n{\\bf 0} & \\epsilon_{zx}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} \\\\\n{\\bf 0} & {\\bf 0} & \\epsilon_{xy}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} \n                         \\end{array} \\right] \\; ,                          \n\\label{e.4}\n\\end{equation}\n\\noindent\nwith \n\\begin{eqnarray}\n \\epsilon_{yz}{\\color{black} ( {\\bf k} )} &=& 2 t_{1y} [ 1 - \\cos ( k_y ) ] + 2 t_{2x} [ 1 - \\cos  ( k_x ) ] \\nonumber \\\\\n \\epsilon_{zx}{\\color{black} ( {\\bf k} )} &=&  2 t_{1x} [ 1 - \\cos ( k_x ) ] + 2 t_{2y} [ 1 - \\cos  ( k_y) ] \\nonumber \\\\\n \\epsilon_{xy}{\\color{black} ( {\\bf k} )} &=& 4 t_1 - 2 t_{1x} \\cos ( k_x ) - 2 t_{1y} \\cos ( k_y ) +  E_t \\, ,\n \\label{e.5}\n\\end{eqnarray}\n\\noindent\nand the parameters set so that \n\\begin{eqnarray}\n && t_{1x} = t_{1y} \\equiv t_1 = 300 \\: {\\rm meV} \\nonumber \\\\\n && t_{2x} = t_{2y} \\equiv t_2 = 20 \\: {\\rm meV} \\nonumber \\\\\n && E_t = -50 \\: {\\rm meV} \\, .\n \\label{e.6}\n\\end{eqnarray}\n\\noindent\n\nThe second term in Eq.(\\ref{e.3}) is the atomic $l-s$ spin-orbit coupling term,\ngiven by \n\\begin{equation}\nH_{\\rm SO}=w_{{\\rm SO}} \\, \\hat{{\\bf l}}  \\otimes {\\bf \\sigma},    \n\\end{equation}\nwith $\\hat{{\\bf l}}$ the vector operator describing the orbital angular momentum and ${\\bf \\sigma}$ (the Pauli matrices)\nthe spin angular momentum. In order to make the spin-orbit term explicit, we introduce the matrices $\\Hat{l}_{x}$, $\\Hat{l}_{y}$ and $\\Hat{l}_{z}$, \nwhich are the projections of the $l=2$ angular momentum operator onto the $t_{2g}$ subspace, \n\\begin{align}\n\\Hat{l}_{x}&=\n\\begin{pmatrix}\n0 & 0 & 0 \\\\\n0 & 0 & i \\\\\n0 & -i & 0\n\\end{pmatrix}, \\\\\n\\Hat{l}_{y}&=\n\\begin{pmatrix}\n0 & 0 & -i \\\\\n0 & 0 & 0 \\\\\ni & 0 & 0\n\\end{pmatrix}, \\\\\n\\Hat{l}_{z}&=\n\\begin{pmatrix}\n0 & i & 0 \\\\\n-i & 0 & 0 \\\\\n0 & 0 & 0\n\\end{pmatrix},\n\\end{align}\nassuming $\\{yz, zx, xy\\}$ as orbital basis. Using these operators,  we write the atomic spin-orbit coupling as\n\\begin{equation}\n{\\color{black}\nH_{\\rm SO} = i {\\color{black} w_{{\\rm SO}}} \\left[ \\begin{array}{ccc}\n{\\bf 0} & {\\bf \\sigma}_z & - {\\bf \\sigma}_y \\\\\n- {\\bf \\sigma}_z & {\\bf 0 } & {\\bf \\sigma}_x \\\\\n{\\bf \\sigma}_y & - {\\bf \\sigma}_x & {\\bf 0} \n                    \\end{array} \\right]\n}\n\\:\\:\\:\\: , \n\\label{e.7}\n\\end{equation}\n\\noindent\nwith ${\\color{black} w_{\\rm SO}} = 10 \\: {\\rm meV}$. \n\nThe third term in Eq. (\\ref{e.3}) is the inversion symmetry breaking term $H_Z ( {\\bf k} )$, given by\n{\\color{black}\n\\begin{equation}\nH_{Z} ( {\\bf k} )\n=\\gamma \\left[ \\Hat{l}_y \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\sin{k_x}-\\Hat{l}_x \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\sin{k_y} \\right],  \n\\end{equation}\n}\nor equivalently\n\\begin{equation}\nH_Z ( {\\bf k} ) = i \\gamma \\left[ \\begin{array}{ccc}\n{\\bf 0} & {\\bf 0} & - \\sin ( k_x ) {\\bf I}_{2 \\mathrm{x} 2} \\\\\n{\\bf 0} & {\\bf 0} & - \\sin ( k_y ) {\\bf I}_{2 \\mathrm{x} 2} \\\\\n\\sin ( k_x ) {\\bf I}_{2 \\mathrm{x} 2} & \\sin (k_y ) {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} \n                                  \\end{array} \\right]                              \n\\;\\;\\;\\; , \n\\label{e.8}\n\\end{equation}\n\\noindent\nwith $\\gamma = 20 \\: {\\rm meV}$. {\\color{black} This important term stems from the breakdown of a reflection\nsymmetry along a particular axis of the LAO\/STO compounds, due to a corresponding lattice distortion. The net effect is the mixing\nof the different orbitals $yz$, $zx$, and $xy$, having different parity under the mentioned reflection symmetry. More details are in \\cite{perroni2019}. \nFurthermore, the effects of the coupling $\\gamma$ on the stability of singlet and triplet superconducting order parameters will be discussed in Appendix 5}.\n\nThe last term in Eq. \\eqref{e.3} describes the coupling of the electron spin and orbital moments {\\color{black} with} \nan external magnetic field {\\bf B}, whose direction is given by the vector \n${\\bf M} =- \\mu_B {\\bf B}\/ \\hbar$, with $\\mu_B$ Bohr magneton: \n{\\color{black}\n\\begin{equation}\nH_M \n=  g_s \\, {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot \\frac{{\\bf \\sigma}}{2} +   {\\bf M} \\cdot {\\bf \\l}  \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\, ,\n\\label{e.9}\n\\end{equation}\n\u00a0which   includes  the gyromagnetic factor $g_s$ assumed equal to 2.  \n}\nIn the absence of  this term, the total Hamiltonian is time-reversal invariant:\n\\begin{equation}\n H ( {\\bf k} ) = U_T^{-1}  H^* (- {\\bf k} ) U_T \\, , \\quad  \\quad \\quad U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \n \\label{defUT}\n\\end{equation}\n ($\\sigma_y$ acting on the spin index $\\sigma$, ${\\bf I}_{3 \\mathrm{x} 3}$ on the $\\tau$ index, and $U_T \\,  U_T^* =- {\\bf I}_{3 \\mathrm{x} 3}$), \n as it can be straightforwardly  checked by expressing $H ( {\\bf k} )$ in terms e. g. of Gell-Mann matrices  (see Appendix 1).\nTherefore, in the absence of superconductive pairing, $ H ( {\\bf k} )$ belongs to the class AII of the classification for topological \ninsulators and superconductors, see e.g. \\cite{ludwig2009, ryu2016, Bernevigbook}. \n\nIn the following part of the Section, \nwe will analyze the bands in the normal state in the absence of the external magnetic field. The external field weakly\naffects the electronic structure of the normal state, but its role will be relevant in the analysis of the superconducting\nphases since the low energy induced by the field competes with those due to the superconducting pairings.  \n\n\n\\subsection{Band structure}\n\nIn  the left panel of Fig. \\ref{bande} we show the \"bare\"   $ \\tau$ bands, which we  derived by setting to zero\nboth  the spin-orbit coupling and the inversion symmetry breaking term. \nWe notice that the  lowest band is {\\color{black} the $xy$ one,} separated by the energy $|E_t|$ from the \n$yz$ and $zx$ bands, which are degenerate at $k_x=0$. In the same figure, \nwe plot the bands, as a function of $k_x$, at $k_y=0$. We identify the almost flat band with the   $yz$ one \nand we also note that the dispersion of the $zx$ band is negligible as a function of $k_y$ and at fixed $k_x$.  \n\nIntroducing the spin-orbit coupling and the inversion symmetry breaking term, the  $\\tau$-bands  are mixed together by the rotation matrix \n$M(\\bf{k})$ that diagonalizes $H(\\bf{k})$. Therefore, the orbital character is mixed, giving rise to a more complex spectrum \\cite{perroni2019}   and to new,\n``mixed'' bands, which in the following we label with the indices $\\eta_{\\{ -, 0, + \\}}$.\n In fact, we see that the spin-orbit coupling and the inversion symmetry breaking \nmostly affect the electronic bands at low densities. To evidence this fact,\nin the central and right panels of Fig. \\ref{bande}, we report these bands, which at finite values of the momentum exhibit avoided crossing.\nIn particular, in the right panel of Fig. \\ref{bande}, we focus on small values of the momenta. We see that \nthe $\\eta_{\\pm}$-bands\ndisplay minima at finite momenta,  which is traced back  to an emerging effective linear Rashba coupling (see Ref. [\\onlinecite{perroni2019}] and the next subsection). \nOn the other  hand, $\\eta_0$ shows a single minimum at ${\\bf k} = 0$, indicating an enhanced importance of not-linear corrections.\n\n In the following, we will carefully investigate the behavior of the $\\eta_0$-band at small values of ${\\bf k}$. \n In fact, the minima of the $\\eta_0$-band mark \n the density values  where superconductivity sets in.      \nIndeed, theoretical and experimental studies suggest the presence of superconducting phases in the range for the lattice average filling $\\nu$ approximately\nbetween the onset of the $\\eta_0$ band and that of the $\\eta_+$ band (see e.g. \\cite{gariglio2016}). \n\\begin{figure} [t]\n\\includegraphics[scale=0.37]{FIG2.pdf}\n\\caption{{\\color{black} Upper panel: density of states of the $\\tau$-bands, as a function of the single-particle energy. Lower panel: \ncarrier surface density, as a function of the chemical potential.}}\n\\label{DOS}\n\\end{figure} \n\nTherefore, we focus on the electronic properties within this density range. In the upper panel of Fig. \\ref{DOS}, we plot the density of states \n(DOS) of the $\\eta$-bands, as a function of the single-particle energy  (note that the density has the dimensions of the inverse of an energy, \nsince we  set the lattice step $a = 1$). The minima of the bands are characterized by steps in the density of states.  In the same panel, \nthe projection of the DOS on the orbital basis $xy$, $yz$, and $zx$  is also reported, such to highlight their contributions. We remark that the \nquasi-one-dimensional bands $yz$ and $zx$  provide the most relevant contribution to the density of states. Actually, within \nthis energy range, the density of states due to the $xy$ band is almost constant, after a step at much lower energy (of the order of $E_t$).  \nThis asymmetry in the density of states within this energy range will be fundamental for the interpretation of {\\color{black} \nsome superconducting properties, which are very sensitive to the magnitude of the available electronic states. Finally, \nwithin a slightly larger energy range, in the lower panel of Fig. \\ref{DOS}, we plot the carrier space density,  as a function\nof the chemical potential.} For the parameters of the tight-binding model used in this paper, the density at the minimum of \n{\\color{black} $yz$ and $zx$ bands} is about $2 \\cdot 10^{13}$ $cm^{-2}$. This value is in agreement with previous \nexperimental results \\cite{Stornaiuolo}. Moreover, we notice that, in analogy with the behavior of the \ndensity of states, as soon as the quasi-one-dimensional $yz$ and $zx$ bands start to be filled, {\\color{black} they rapidly \nbecome predominant. This occurs around zero energy, where a crossover in the densities is visible. There, the carrier\ndensity, of the order of $5 \\cdot 10^{13}$ $cm^{-2}$, results half from the $xy$ band and half from {\\color{black} the} $yz$ and $zx$ ones.}\n\n\n\n  \n\\subsection{Effective low-energy theories}\n\n\nIn order to better  spell out the following results, we now present an effective theory for the   $\\eta_-$- and $\\eta_0$-bands, around their \ncommon minima, at $k_x = k_y = 0$. To derive the corresponding Hamiltonians we exploit the second order degenerate perturbation theory. We \npresent the details of our derivation in Appendix 3. \nThe results are respectively:\n\\begin{equation}\nH_-^{(\\mathrm{eff})}  ({\\bf k}) = \\epsilon_- ({\\bf k}) \\, {\\bf I}  -  (a_1 \\, k_x + a_2 \\,  k_x^3)  \\, \\sigma_y +  (a_1 \\, k_y + a_2 \\, k_y^3)  \\, \\sigma_x \\, ,\n\\label{eff-} \n\\end{equation} \nwith $a_1 = 8$ meV (in units of the lattice step $a \\equiv 1$), $a_2 = 43.46$ meV, $ \\epsilon_- ({\\bf k}) = \\big(- 54. + 280.8 \\, (k_x^2 + k_y^2) \\big)$\nmeV (so that  $t_-^{(\\mathrm{eff})} = 280.8$ meV), and \n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\left[ \n\\begin{array}{c}\n\\epsilon_0 ({\\bf k})  \\quad  \\quad i \\, a_3 \\, k_- - i\\, a_4 \\, k_+^3 - a_5 \\, k_x k_y \\, k_+  \\\\\n {} \\\\\n-i \\, a_3 \\, k_+ + i\\, a_4 \\, k_-^3 - a_5 \\, k_x k_y \\, k_-  \\quad \\quad \\epsilon_0({\\bf k}) \\\\\n \\end{array} \n \\right] \\, ,\n \\label{eff0}\n\\end{equation}\nwith $k_{\\pm} = k_x \\pm i k_y$, $a_3= 0.8$ meV, $a_4 = 8.627$ meV, $a_5 = 22.8$ meV and  $\\epsilon_0 ({\\bf k}) = \n\\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV).\n\nWe notice that, around the minima of the $\\eta$ bands, $k_x= k_y = 0$, an effective linear Rashba-like spin-orbit \ncoupling appears in both the effective Hamiltonians, together with a not-linear spin-orbit term.  This second term\nis especially relevant for the first dome  on the $\\eta_0$ band,  already at vanishing filling, as the central and right panels of  Fig. \\ref{bande} suggest. \nIt is known \\cite{rashba2001} that  the linear coupling,  breaking space inversion symmetry (as $H_Z ( {\\bf k} )$ \nit derives from), favours triplet components for superconducting \npairings, inducing single-triplet mixings, see  e. g. \\cite{annett, brydon2015}.\nInstead, not-linear spin-orbit terms have been postulated to induce observable modifications on the spin\npolarization in inversion symmetric (001) $SrTiO_3$ \ncompounds \\cite{nakamura2012} and for Josephson junctions \\cite{alidoust2021}. Other notable effects will be described in the following. \n\nIn Fig. \\ref{bande2} of Appendix 3, we perform a  direct comparison of $H_-^{(\\mathrm{eff}) ({\\bf k})}$ and $H_0^{(\\mathrm{eff})}({\\bf k})$\nwith the exact spectrum of $H({\\bf k})$ in Eq. \\eqref{e.1}. We see that  \n the agreement is excellent up to $k_{x , y} \\approx 0.2$. This value must be compared with the typical momenta where the $\\eta_+$ \n band starts to be populated, around $k_{x , y} = 0.4$. \n The corresponding filling is estimated to be approximately the end of the superconductive dome \\cite{gariglio2016}. \n Therefore, we expect $H_0^{(\\mathrm{eff})}({\\bf k})$ to \n describe approximately a low-density half of the first dome.\nImportantly, $H_-^{(\\mathrm{eff})} ({\\bf k})$ and $H_0^{(\\mathrm{eff})}({\\bf k})$, that are a central result in \nthe present work, still act on the $\\sigma = \\{ \\uparrow , \\downarrow \\}$ \nindices, that are not mixed each others along the perturbation theory procedure.\n\n\n\n\n\\section{Mean-field analysis of superconductivity: general set-up}\n\\label{super}\n\nIn this Section we analyze the possible presence of superconducting phases, within the same energy and density ranges, \n and focusing in particular on the interplay of singlet and triplet pairings.\n\n\n\\subsection{{\\color{black} Setting up the effective interaction Hamiltonian}}\n\\label{supmulti}\n\n\nIn order to induce superconductivity in the 2DEG, in the following we {\\color{black} consider a pertinent,  nearly realistic, attractive electronic \ninteraction, together with its effects on  the bands of $H({\\bf k})$. In particular, in the absence of more specific coupling mechanism related to, \ne.g., antiferromagnetic correlations, we  rely on the ``natural''   mechanism, \nbased on phonon exchange plus screened Coulomb repulsion}. While the phonon attraction is expected to be\nindependent of the orbital index $\\tau$, the Coulomb repulsion is expected  to be more important within the same orbital, \ndue to the larger overlaps between the electronic wavefunctions.  Therefore, in the low density regime analyzed in this paper, \n{\\color{black} we choose the}  realistic attractive potential given by:\n\\begin{equation}\nW =  -  \\sum_{i,   j ,  \\tau, \\sigma , \\sigma^{\\prime}}   U_{i,j} \\, n_{i \\tau  \\sigma}  \\, n_{j \\tau \\sigma^{\\prime}} \n-  \\sum_{i,j, \\tau , \\tau^{\\prime} \\neq \\tau ,  \\sigma , \\sigma^{\\prime}}  Z_{i,j}\\, n_{i \\tau \\sigma}  \\, n_{j  \\tau^{\\prime} \\sigma^{\\prime} }  \\, ,\n \\label{potgen}\n\\end{equation}\nwith {\\color{black} the decay of $U_{i,j}$ and $Z_{i,j}$,  with the separation $i-j$, ruled by two} different lengths $\\xi_U$ and $\\xi_V$. \nThe same lengths depend on the electronic density $\\rho_e$, that is, {\\color{black} \non  the lattice average filling $\\nu$, and are expected to be of the order of a}\n few lattice steps. Moreover, {\\color{black} we assume a static potential, consistently with the low charge density in the regime of Fermi energies  that we are considering.}\nActually, the dynamic part of the potential from the phonon exchange can be extrapolated to the  low-energy limit, therefore the effective attractive potential at the Fermi energy can be assumes as static \\cite{mazin2011,cataudella2021}.\n\n\nThe bands  $\\tau$, $\\tau^{\\prime}$ are mixed together by the rotation matrix $M(\\bf{k})$ that diagonalizes $H(\\bf{k})$; {\\color{black} $M(\\bf{k})$ \naccordingly affects  the potential $W$ in Eq. \\eqref{potgen}, as well.}\nIt is difficult to {\\color{black} deal with the transformed potential}, since  $M(\\bf{k})$ depends on $\\bf{k}$ \nand the Fourier transform of $W$ contains 4 momenta $\\bf{k}_i$, $i = 1, \\dots, 4$.\n\nTherefore, in this paper  we analyze the effects, especially on the topology, \nof the full potential $W$, focusing on its first term, diagonal on the orbital index $\\tau$.  This choice \nis motivated by the energy gap between the $\\eta_-$ and $\\eta_0$ bands around ${\\bf k} = 0$, \nwhere the  superconductive dome is located \\cite{gariglio2016},\nbeing  approximately $\\delta E_{\\eta} = 43$ meV. This gap is an obstruction for the zero-momentum pairings between \n(unbalanced species in) the bands, and forbids them from attractions such that the superconductive gap, calculated at vanishing unbalance, \nis under a threshold around $\\delta E_{\\eta}$ (see \\cite{pethick,marchetti2007,rad2007} and references therein). Furthermore, \nnonzero-momentum balanced pairings are known to require at least a subtle fine-tuning between interaction and density \\cite{pethick,marchetti2007,rad2007,pieri2019}. \n\n\nWithin the tight-binding model, we focus on the on-site and the nearest neighbor contribution of the attractive potential {\\color{black} between   \nelectrons in states  with} the same orbital symmetry. The local interaction  necessarily couples {\\color{black} electrons with} opposite spins favoring spin-singlet symmetry. \nOn the other hand, we assume that the term due to the nearest neighbors takes into account the equal spin contribution controlling \nthe spin-triplet instability.\nHence, {\\color{black} we simplify  $W$ according to}\n\\begin{equation}\nW = -U \\sum_{i,\\tau}   n_{i \\tau \\uparrow} \\, n_{ i \\tau \\downarrow} \n- \\frac{V}{2}  \\sum_{i \\delta \\tau \\sigma}  n_{i \\tau \\sigma} \\, n_{ i+\\delta \\tau  \\sigma} \n\\label{hamilpair}\n\\end{equation} \nwhere  $i$ and $j$ label two dimensional vectors associated to the lattice sites,  $U$ and $V$ are\nthe local and nearest neighbor pairing energy, respectively, and $n_{i \\tau \\sigma} =c_{i \\tau \\sigma}^{\\dagger} c_{i \\tau \\sigma}$\nis the local density operator for the $\\sigma$ spin polarization and the $\\tau$ orbital, at a given position $i$, whose nearest neighbor sites are indicated by $\\delta$. {\\color{black} In Appendix 4, we discuss additional attractive terms which have not been introduced in Eq. (\\ref{hamilpair}).}\n\n\n\n{\\color{black} As specified in the subsection title, we have\nconsidered in Eq. \\eqref{hamilpair} an effective interaction, in particular an \nattractive local Hubbard term. We note that in \\cite{breit2010} a local repulsive Hubbard term, around 2 eV, has been predicted from  tunneling spectroscopy. In fact, this value of U is not large, but it is comparable with the electron bandwidth. Furthermore, in LAO\/STO systems analyzed in this paper, the typical densities per spin polarization are low compared to, e.g. ,  the half-filling regime. Accordingly,  the net contribution to the total energy  from Hubbard interaction is limited. Moreover, it is known that, in these density regimes, the effects from polaron dynamics are relevant on the electronic states \\cite{cancellieri2016,cataudella2021} giving rise to a net lowering of the  Hubbard interaction for the 2D quantum gas. Finally, our effective model for the local interaction has been widely used in the literature, for example \\cite{Mohanta,Loder,Fukaya,perroni2019,settino2020} quoted in the introduction. }\n\n\nIn the following, we will  check that {\\color{black} $W$ in Eq. \\eqref{hamilpair}  qualitatively reproduces}  the most \ninteresting features of superconductivity in LAO\/STO compounds \\cite{gariglio2016}, {\\color{black} with the values of $U$ and $V$, yielding \n  the superconducting behavior discussed in this paper always, being} of the order of hundreds of meV.\n\n\\subsection{Mean field analysis}\n\nWe now analyze,  within mean-field approximation, the Hamiltonian in Eq. \\eqref{e.1}, with the interaction in \nEq. \\eqref{hamilpair}, by mostly focusing onto the zero temperature case. \n\n Due to the introduction of the nearest neighbor attractive term $V$, it becomes important to \nproperly infer the profile of the superconducting order parameter in real space. \nIn the following, we do so by encompassing within our mean-field approach both the spin  and the orbital degrees of freedom.  \nIn particular, we recover the appropriate pairing {\\it ansatz} by analyzing the set of the irreducible representations of the point-group symmetry of the square lattice, by assuming \n over-all  translational invariance (we provide the details in Appendix 2).\n Moreover, in the absence of an externally-applied magnetic coupling,  we retain time-reversal invariance. \nAs a result, we obtain:\n\\begin{eqnarray}\nW & \\approx&  - U \\sum_{i,\\tau} D_{i \\tau} \\left[ c_{ i\\tau \\uparrow}^{\\dagger} c_{i \\tau,\\downarrow}^{\\dagger} + {\\color{black} \\mathrm{H. c.}} \\right] -\\nonumber \\\\\n&& - \\frac{V}{2} \\sum_{i, \\tau,\\delta, \\sigma} \\left[  F_{i \\tau \\sigma}(\\delta) c_{ i \\tau \\sigma}^{\\dagger} c_{i+\\delta \\tau \\sigma}^{\\dagger} + \n{\\color{black} \\mathrm{H. c.}} \\right] + \\nonumber \\\\\n&&+ \\, U \\sum_{i \\tau} D^2_{i \\tau} + \\frac{V}{2} \\sum_{i, \\tau, \\delta, \\sigma } |F_{i \\tau,\\sigma}(\\delta)|^2.\n\\label{hamilbogo}\n\\end{eqnarray}\nIn Eq. (\\ref{hamilbogo}), $D_{i \\tau}=\\langle c_{i \\tau \\downarrow}  \nc_{i \\tau \\uparrow}\\rangle$ {\\color{black} is} the singlet pairing amplitudes, depending on the orbital index $\\tau$, with $\\langle\\rangle$ {\\color{black} denoting}\nthe ground state average, and the {\\color{black} over-all gauge choice is made so that the} singlet order parameters {\\color{black} $ \\Delta_{i s}^{\\tau}=U \nD_{i \\tau}$} are  real. The local s-wave pairing {\\color{black} corresponds to} the most favored superconducting\ninstability \\cite{Michaeli,Nakamura,Loder1,Mohanta1}. \n{\\color{black} Finally, $F_{i \\delta \\sigma} (\\delta) = \\langle c_{i+\\delta \\tau \\sigma}  \nc_{i \\tau \\sigma}\\rangle$} are the equal spin triplet pairing complex amplitudes, depending on both $\\tau$ and $\\sigma$. \nDue to the space inversion symmetry of the  square lattice, $F_{i \\tau \\sigma}(\\delta)=F_{i \\tau \\sigma}(-\\delta)$, and the triplet amplitudes along the $y$-axis have \nonly a phase different from those along the $x$-axis: $F_{i \\tau \\sigma}(\\delta_y)=\\theta^{\\sigma} F_{i \\tau \\sigma}(\\delta_x)$, \nwith $F_{i \\tau \\sigma}(\\delta_x)=F_{i \\tau \\sigma}$ fixed real. \n{\\color{black} In Appendix 4, we discuss additional pairings which could be considered in the system.}\n\n{\\color{black}\nWe point out that our ansatz for the superconducting mean field is diagonal in bare bands $\\epsilon_i$, therefore inter-orbital pairing between the rotated bands $\\eta_i$ is present\nsince we get {\\color{black}  the corresponding gap parameters}  via a self-consistent procedure,\nminimizing the (free) energy of the system, where \nthe mixing between the $\\epsilon_i$ bands is included.\nThe statement is reinforced by the fact that, in the absence of inversion symmetry breaking term $\\gamma$,  the structure of the\ngaps is changed. Indeed, as discussed in Appendix 5, the coupling $\\gamma$ is relevant to control the interplay between singlet and triplet order parameters. }\n\n\n At the mean-field level, the triplet and the singlet-triplet mixed pairing  are  separately \ndetermined  by the nearest neighbour part of the potential in Eq. \\eqref{hamilpair}, \nand by the spin-orbit (Rashba-like and not-linear) terms in Eqs. \\eqref{eff-} and \\eqref{eff0} \\cite{rashba2001},  and their onset is  clearly enforced \nby  the  combined effect of the two terms. However,\nin the absence of the $V$ term  in Eq. \\eqref{hamilpair}\n(therefore with only an Hubbard attraction), mean-field decoupling does not yield triplet components \n{\\color{black} (indeed, recover these terms requires resorting to alternative approaches, such }as Monte-Carlo simulations, see e.g. \\cite{rosenberg2017}).  \nTherefore, we expect that  the mean-field  approach  overestimates the singlet components, \nwhile the {\\color{black} emergence} of triplet components appears even more substantiated.\n\n\nIn momentum space,  we describe the set of pairing configurations in Eq. \\eqref{hamilbogo} \nwithin the general matrix parametrization \\cite{annett}\n\\begin{equation}\n\\Delta^{\\tau} ({\\bf k}) =   \\left(\\begin{array}{c} c_{\\uparrow}  ({\\bf k}) \\\\ c_{\\downarrow}  ({\\bf k}) \\end{array} \\right)^{\\dagger}  \\, \\tilde{\\Delta}^{\\tau} ({\\bf k}) \\, \n\\left(\\begin{array}{c} c_{\\uparrow}  (-{\\bf k}) \\\\ c _{\\downarrow}  (-{\\bf k}) \\end{array} \\right)^* \\,  ,\n\\label{pairing0}\n\\end{equation}\nwith\n\\begin{equation}\n\\tilde{\\Delta}^{\\tau} ({\\bf k}) =  i \\,  \\Big(\\Delta_{s}^{\\tau} ({\\bf k}) \\, {\\bf I}_{2 \\mathrm{x} 2} + {\\bf d}^{\\tau} ({\\bf k}) \\cdot {\\bf \\sigma} \\Big) \\, \\sigma_y \\, .\n\\label{pairingmat}\n\\end{equation}\nIn particular, Eq. \\eqref{pairingmat} can be rewritten in components as (see {\\color{black} Appendix 1 for more details}): \n\\begin{align}\n\\label{pairing}\n\\color{black}\n&\\Big(\\Delta_{s}^{\\tau} \\, , \\, \\Delta_{t , \\uparrow \\downarrow}^{\\tau}  \\Big[ \\alpha \\, (s_x + i \\, s_y) + \\beta\\,  (s_x - i \\, s_y) \\Big] \\,  ,  \\nonumber \\\\\n{}  \\\\\n&  \\Delta_{t , \\uparrow}^{\\tau} (s_x + i \\, s_y)  \\, , \\, \\Delta_{t , \\downarrow}^{\\tau}\\, (s_x - i \\, s_y) \\Big) \\, , \\nonumber\n\\end{align}\nwith $\\Delta_{t , \\sigma}^{\\tau} = -  i V F_{\\tau \\sigma}$ {\\color{black} and $s_{\\{x,y\\}} \\equiv \\sin k_{\\{x,y\\}}$. Since no interaction term $\\propto V$ between {\\color{black}\u00a0electrons with } opposite spins\nis present in Eq. \\eqref{hamilpair}, then $\\Delta_{t , \\uparrow \\downarrow}^{\\tau} = 0$ in Eq. \\eqref{pairing}.}\n\n{\\color{black} In principle, all  the parameters in Eq. \\eqref{pairing} may have nonzero} phases. However, \ntime-reversal invariance, with the same $U_T$ for the positive-energy sector as in Eq. \\eqref{defUT}, \n{\\color{black} sets the phases to 0} (see \\cite{brydon2015} and Appendix 1).\nThe ansatz in Eq. \\eqref{pairing} perfectly reproduces the superconducting solutions known in the literature as $p_x+ip_y$ and $p_x-ip_y$, which are known to support topological \n helical superconductivity at zero magnetic field \\cite{qi2009,sato2017}. Moreover, from Eq. (\\ref{pairingmat}), the triplet pairing vector ${\\bf d}(\\bf{k})$ (giving the \n superconducting excitation gap, in the absence of the singlet pairing) is given by following components: \n\\begin{equation}\nd_x({\\bf k})=  2 V F_{r\\sigma} \\sin(k_y a), \\ \\ d_y({\\bf k})= - 2 V F_{r\\sigma} \\sin(k_x a),    \\label{dvector} \n\\end{equation}\nwith $d_z({\\bf k})=0$. Indeed, in \\cite{frigeri2004} it has been shown that \nthe superconducting transition\ntemperature is maximized when the spin-triplet pairing vector $d({\\bf k})$ is aligned with the polarization vector ${\\bf g}({\\bf k})$ (essentially two-dimensional) parametrizing  the spin-orbit coupling. {\\color{black} Additional details about the properties of the pairing vector  $d({\\bf k})$ will be provided  in Appendix 4.} \n\n{\\color{black} We comment finally that the possibility of helical phases \\cite{samokhin}, with Cooper pairs with nonzero momentum, has not been considered in the present work.\nSimilar phases are expected to be suppressed in the regime of small filling for the $\\eta_0$ band, where, \naround ${\\bf k} = 0$, effective Rashba terms are not linear but at least cubic in the momentum. We point out that the most interesting results discussed in the next sections focus just on this parameter regime.}\n\n\n\n\\section{Superconducting solutions at zero magnetic field}\n\\label{MFsol}\n\n In  this  Section,  we  analyze the interplay between the  triplet and the singlet \norder parameters, in the absence  of an external magnetic field. \n\n\\subsection{Emergence and stability of the superconducting solution}\n\nTo assess the presence and {\\color{black} the} stability of the superconducting states, we solve the self-consistent equations by using a variational method. \nSpecifically,  we study variationally the zero-temperature mean-field grand-canonical free-energy $\\Omega$ determined by the pairing in Eq. \\eqref{pairing}  plus \n the single-particle Hamiltonian in Eq. \\eqref{e.1}. In particular, we\n numerically  minimize $\\Omega$, \nvarying $D_{i \\tau}$, $F_{i \\tau \\sigma}$.  In the minimization procedure, we vary the superconductive amplitudes, the \ninteraction strength $U$ in Eq. \\eqref{hamilpair} in the interval $\\Delta U = [0, 500]$ meV, and the \ninteraction strength $V$  in the interval $\\Delta V = [0, 1000]$ meV. We consider  a square lattice with side-length $L$, \nwith $L = [40, 240]$ {\\color{black} sites}, finding a satisfying convergence starting from $L = 120$. Furthermore, \nwe set $\\mu = E_F$, $E_F$ being the Fermi energy at a fixed $\\nu$ and, typically, between the minima of the $\\eta_0$ and $\\eta_+$ bands. \n\\begin{figure} [t]\n\\includegraphics[scale=0.295]{FIG3.pdf}\n\\includegraphics[scale=0.29]{Energy.pdf}\n\\caption{Upper panel: Phase diagram in the plane $U-V$ to distinguish the normal state (absence of superconductivity), \nsinglet, triplet and singlet+triplet (S+P) superconducting phases at the chemical potential $\\mu=-9$ meV ( close to the\nonset of intermediate electronic bands).  Lower panel: Comparison between the \ngrand-canonical free energies of the normal state, of the singlet-pairing and the triplet-singlet superconductive ground-states, \nat  $U = 350$ meV and $V = 600$ meV.}\n\\label{phasefig}\n\\end{figure}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG4A.pdf}\n\\includegraphics[scale=0.28]{FIG4B.pdf}\n\\includegraphics[scale=0.28]{FIG4C.pdf}\n\\caption{{\\color{black} Left panel: Zero temperature singlet pairing amplitudes, for $U =350$ meV and $V = 0$ meV.  \nMiddle panel: The same as in the left panel, but for $U = 350$ meV and   $\\frac{V}{2} = 300$ meV. Right panel: Zero temperature triplet pairing amplitudes, \nagain for $U = 350$ meV, $\\frac{V}{2} = 300$ meV. Notice that, in the absence of magnetic field, $\\Delta^{\\tau}_{t}=\\Delta^{\\tau}_{t,\\uparrow}=\\Delta^{\\tau}_{t,\\downarrow}$.}}\n\\label{pairingpl}\n\\end{figure*}\n\n{\\color{black} By means of our variational procedure}, \nbeyond the normal state and a singlet-pairing regime, we find a range of values for $U$ \nand $V$ where the singlet and triplet pairings coexist. {\\color{black} Instead, as pointed out in the previous subsection, no triplet \npairing between different spins is found {\\color{black} (we will comment later on on this result).}  When the  coexistence} \ntakes place, the ratio between $U$ and $V$ can be tuned such that the triplet component of the order parameter is not negligible \n{\\color{black} or even dominant} (further details and insight on the solutions described below will be given in Section \\ref{topnoB}, \nvia the analysis of the effective Hamiltonian in Eq. \\eqref{eff0}).\n\n\nFirst, we focus on the regime of values for $U$ and $V$ where only the singlet pairing is stable. {\\color{black} As shown \nin Fig. \\ref{phasefig}, this occurs for {\\color{black} $U = [300, 400] \\:{\\rm meV}$  and for $V < 600$ meV.} Superconductivity becomes stable \nonce the chemical potential $\\mu$ is set above the minimum of the rotated band $\\eta_0$, around $-54$ meV. Conversely, no pairing \nis observed for lower values of $\\mu$. As reported in Fig. \\ref{phasefig}, for $U<300$ meV, superconductivity is not found  \n(that is true at any $\\mu$).} \n \n \nIn the left panel {\\color{black}  of Fig. \\ref{pairingpl}}, corresponding to {\\color{black} $U = 350$ meV and $V=0$,} we plot the singlet order parameters,\nshowing that they are different from zero, starting from the minimum of intermediate pair of bands ($\\mu$ goes from about $-10$ meV to about $20$ meV).\n{\\color{black} The obtained starting point for superconductivity is in agreement with the appearance of a finite density of states, shown in the previous Section, and with the experimentally measured behavior of the superconducting pairing \\cite{gariglio2016,singh}.} \nWe remark that we always find ${\\color{black} \\Delta_{s}^{yz}}={\\color{black} \\Delta_{s}^{zx}}$ in the self-consistent superconducting solutions. \nMoreover, as shown in the left panel of Fig. \\ref{pairingpl}, not only ${\\color{black} \\Delta_{s}^{yz}}$, but also ${\\color{black} \\Delta_{s}^{xy}}$ is different from zero, \nstarting from the the minimum of the $\\eta_0$  band.\nDue to the difference of mass and density of states in the normal state, ${\\color{black} \\Delta_{s}^{xy}}$ is smaller than ${\\color{black} \\Delta_{s}^{yz}}$. \n{\\color{black} We also point out that, increasing the carrier density, the order parameters \n get enhanced continuously: apparently, there is no dome, as a function of the density. {\\color{black} This finding matches the general \n result in \\cite{paramekanti2020}, relating the presence of superconducting  domes with finite-range potentials.}}    \n\nThen, we consider the effect of a {\\color{black} nonzero attractive term $ \\propto V$.}  \nAs reported in Fig. \\ref{phasefig},\nfor $V \\gg U$, the triplet is the dominant pairing, while the singlet pairing tends to vanish. However,  Fig. \\ref{phasefig} \nshows  an intermediate regime, from values of $V$ slightly smaller than $2U$, where  the order parameters coexist. \nIn the middle panel of Fig. \\ref{pairingpl}, we plot the singlet order parameters for the different orbitals in the same regime, \nas a function of the chemical potential.  At finite $V$, the appearance of a triplet pairing  parallels a reduction of the s-wave order parameters.\nIn particular, the smallest one, $ \\Delta_{s}^{xy}$ assumes values in agreement with experimental estimates, around $0.1$ meV. Therefore, there \nis a destructive interference between singlet and triplet amplitude pairings. Moreover, this interplay is also able to induce a dome, as a function of \nthe density, {\\color{black} beginning from the place where the density of states of the normal phase shows} a step. \nWe notice that a similar behavior takes place at higher densities, corresponding to the minimum  of the band $\\eta_+$, where \nthe density of states has another step. Therefore, our theoretical calculation predicts that, beyond the over-doped regime of the first dome,  \ncorresponding to the band $\\eta_0$, there is a possibility of a second dome with similar extent, related to the higher energy band $\\eta_+$. \n{\\color{black}\nWe observe finally the presence of a regime where $U \\neq 0$ and $V \\neq 0$ but the normal state is favoured. \nThis effect is due to a low  density of states in the analyzed range of chemical potential, much lower (at least two orders of magnitude) than in a standard metal.\n{\\color{black} To rule out the possibility that this would be due to finite-size effects, in our calculation, we analyzed $L \\times L$ square lattices up to $L = 160$, checking numerical convergence of the superconductive gap parameters.}\nAlso a MF analysis on the $\\eta_-$ and $\\eta_0$ bands, starting from the effective theory in Eq. \\eqref{eff0}, led to the same conclusion.  \n}\n\\begin{figure} [h!]\n\\includegraphics[scale=0.3]{FIG6A_NEW.pdf}\n\\includegraphics[scale=0.3]{FIG6B_NEW.pdf}\n\\caption{Upper Panel: Relative critical temperature for singlet order parameters, at $U = 350$ meV, $\\frac{V}{2} = 600$ meV, and $\\mu$ varying, starting from the bottom of $\\eta_0$ as calculate in this paper.\nLower Panel: Relative critical temperature taken from Ref. \\cite{Stornaiuolo}}\n\\label{temp}\n\\end{figure}\n\nFinally, in the right panel of Fig. \\ref{pairingpl}, we plot \nthe {\\color{black} $\\uparrow$ triplet amplitudes for the orbital $\\tau$, again at $U = 350$ meV and $\\frac{V}{2} = 300$ meV. \nIn analogy with the singlet pairing, we always find $\\Delta_{t , \\sigma}^{yz}=\\Delta_{t , \\sigma}^{zx}$}, therefore the orbital $yz$ and $zx$ are  strongly\n coupled also in the triplet channel. {\\color{black}  Moreover, since  there is no applied magnetic field,  \n $\\Delta_{t, \\uparrow}^{\\tau}=\\Delta_{t, \\downarrow}^{\\tau}$}. We notice that the triplet pairings always increase as a function \n of the density,  then the reduction of the singlet pairing is compensated by an enhancement of the triplet channel, for all the values of the chemical potentials. \n\\begin{figure} [t]\n\\includegraphics[scale=0.27]{FIG5A.pdf}\n\\includegraphics[scale=0.27]{FIG5B.pdf}\n\\includegraphics[scale=0.27]{FIG5C.pdf}\n\\caption{{\\color{black} Upper panel: Bogoliubov-de Gennes spectra at $\\mu=-9$ meV, for $U = V = 0$ meV. Central panel: The same as \nin the upper panel, but for $U = 350$ meV, $V = 0$ meV. Lower panel: The same as in th upper panel, but for $U = 350$ meV \nand  $\\frac{V}{2} = 300$ meV.}}\n\\label{contour}\n\\end{figure}\n\n{\\color{black} In the lower panel of Fig. (\\ref{phasefig}), we perform a comparison between the grand-canonical \nfree energies of the normal state, of the singlet-pairing and the triplet-singlet superconductive ground-states, \nat  $U = 350$ meV and $V = 600$ meV. We point out that  the grand-canonical potential can be lowered in a significant\nway if the triplet component is included in the energy balance.}\n\n{\\color{black}\nIn Fig. \\ref{temp} (upper panel), we plot the relative critical temperature for the singlet order parameters, obtained by employing the mean-field approach, and by varying the particle density and by setting  $U = 350$ meV and $\\frac{V}{2} = 300$ meV. Moreover, the range for the single-particle energy to \nstarts from the bottom of the $\\eta_0$ band.  We recover a dome-shaped plot, with the maximum critical temperature  \n$T_c^{\\mathrm{max}} \\simeq 1$ K.  At this critical temperature, the triplet order parameters are reduced, in comparison to their \nvalue at zero temperature, however they are not necessarily zero. }\n\n{\\color{black}\nMore in detail, we locate the beginning the first dome at energy $E = \\mu  = -10$ meV and electronic density $n = 2.14 \\cdot 10^{13}$ $\\mathrm{cm}^-2$, \nthe maximum of $T_c$ at E = - 7 meV and $n = 2.6 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$, and finally\nthe end of the first dome at E = -2.5 meV and  $n = 3.3 \\cdot10^{13}$ $\\mathrm{cm}^{-2}$. These values \ncan be compared e.g. with experimental data in \\cite{Stornaiuolo}, summed up in the lower panel of Fig. \\ref{temp}. There the same dome is measured\nbetween $n = 1.8 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$ and  $n = 3.1 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$,\nthe top of the dome being around $n = 2.4 \\cdot 10^{13}$ $\\mathrm{cm}^-2$.  \nTherefore,   we find a  reasonable agreement between theory and experiment. \nWe remark that experimental data \\cite{joshua2012universal,Stornaiuolo} have identified  a critical value $n_c$ of the density of the order of $1.8-1.9$ $10^{13}$ $\\mathrm{cm}^{-2}$, which characterizes  the underdoped superconducting regime.  \nActually, in comparison with experimental results, as reported in Fig. \\ref{temp}, the theoretical data show only a slight shift of the entire phase diagram. In our approach, this effect depends only on the energy $E_t$ which measures the energy distance between the band $xy$ and $yz$ in Hamiltonian \\ref{e.5}. If a  slightly smaller value than 50 meV had been chosen,  a perfect agreement with the experimental critical temperature would be obtained}. \n\n\nSince the triplet order parameter depends on the momentum ${\\bf k}$, it is interesting to plot the Bogoliubov-de Gennes spectrum  obtained\nby using the superconducting order parameters obtained \nfrom the minimization of the free energy $\\Omega$. In Fig. \\ref{contour}, we focus onto \n$\\mu=-9$ meV, that is, a chemical potential slightly higher than the minimum of the band $\\eta_0$. First, in the upper panel of \nFig.  \\ref{contour}, we plot the spectrum corresponding to the normal state.  The zeros correspond to the the center zone $\\eta_0$ \nand the finite momentum zone $\\eta_{-}$ whose origin is $xy$-like.  At finite momentum,\nthere is a small splitting of the zeroes, due to the fact that this value of the chemical potential is  close to the avoided crossing of the electronic bands.   \nIn the middle panel of  Fig. \\ref{contour}, we plot the spectrum corresponding to the singlet pairing. The gaps correspond to \nthe center zone $\\eta_0$ and the finite momentum zone $\\eta_{-}$ whose origin is $xy$-like. Therefore, the gaps at finite momentum are\nsmaller than those at center zone. However, when only the singlet is present,  along the $\\Gamma X$ ($k_y=0$ or $k_x=0$) and $\\Gamma M$ \n($k_x=k_y$) directions, the gaps are perfectly symmetric. Finally,  {\\color{black} in the left panel of Fig. \\ref{contour},} we consider the\ncombined effect of singlet and triplet pairings. We notice that the spectrum  drastically changes with respect to the case where only \nthe singlet is present. In particular, the gaps get reduced along $\\Gamma M$ direction. This behavior can be ascribed to the\n{\\color{black} $s_x$ and $s_y$ dependence of the order parameter given in Eq. (\\ref{pairing}): along the $\\Gamma M$ direction,} at finite wave-vector, \nthe gap is mainly given by singlet channel.\n\nTo conclude, we mention the interesting possibility to consider possible superconductive solutions from the continuum effective Hamiltonians in \nEqs. \\eqref{eff-} and \\eqref{eff0}. We analyzed their presence, by adding an attractive potential as in Eq. \\eqref{hamilpair}. Working with lattice sizes up\nto $L = 256$, we found only normal solutions in large ranges for $U$ and $V$ (as large as in Section \\ref{super}). We ascribe this outcome to \nrelevant finite-size effects at the considered low fillings $\\nu < 0.1$, required for the validities of the effective theories\nin Eqs. \\eqref{eff-} and \\eqref{eff0}.  \n\n\n\n\n\n\\subsection{Clues of emerging topology at zero magnetic field}\n\\label{topnoB}\n\n\n\nThe pairing in Eq. \\eqref{pairing},  preserving time-reversal invariance,\nleads to a Bogoliubov Hamiltonian in the class DIII of the classification for topological insulators and superconductors \n\\cite{ludwig2009, ryu2016, Bernevigbook}. Indeed $U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y$, \n$U_T \\,  U_T^* = {\\bf I}_{12 \\mathrm{x} 12}$ and $U_C = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\otimes \\sigma_y$, \n$U_C \\,  U_C^* =-{\\bf I}_{12 \\mathrm{x} 12}$ (the second matrices in the Kronecker products acting on the Nambu-Gorkov indices). The chiral symmetry $U_S = U_T \\, U_C = U_C \\, U_T$,  $U_S^2 = {\\bf I}_{12 \\mathrm{x} 12}$, \nis also realized, however not affecting the topology class (see Appendix 1).\nIn this class,  nontrivial topological configurations are possible. {\\color{black} Therefore, in the following we are going to {\\color{black} explore}\nthis possibility.}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG7A.pdf}\n\\includegraphics[scale=0.28]{FIG7B.pdf}\n\\includegraphics[scale=0.28]{FIG7C.pdf}\n\\caption{{\\color{black} Bogoliubov spectrum for varying $k_x$, $U = 350$ meV, $V = 600$ meV, at $\\mu = -9$ meV (first dome) in the left panel, \nat $U = 310$ meV, $V = 520$ meV $\\mu = 14$ meV (second dome) in the right panel. The probability P of the first edge state corresponding to the \nspectrum of the left panel as a function of the position y (in units of the lattice parameter $a$) for different values of $k_x$. For all the plots, \na finite size $L_y = 950$ along the $y$-axis is adopted.}}\n\\label{topofig1}\n\\end{figure*}\n\n{\\color{black} We have analyzed the topological features of the (minimal energy) mean-field superconducting solutions,\nwithin the tight-binding scheme exposed in the above}. \nIn particular, we have examined different values of chemical potential. {\\color{black} Correspondingly, we found signatures of helical superconductivity, \nboth in the first and second dome. As an example, in the left and middle panels of Fig. \\ref{topofig1},  we show the Bogoliubov spectrum at $\\mu=-9$ meV \n(that is,  in the correspondence of the second dome, \nthat means for the $\\eta_0$ bands),  for a lattice that is infinite along the  $x$-axis, but is finite along $y$-axis, \nthus breaking  translational invariance in that direction. \nIn particular, along the $y$-axis, we have considered a finite size of $L_y = 950$ sites, with hard-wall boundary conditions. Then,} we \nhave calculated the excitation spectrum at fixed $k_x$, finding that two {\\color{black} finite-energy edge states are present   within  the bulk gap,\nwhich become degenerate  at $k_x=0$}.  This can be ascribed to the fact that, at\nthe onset of the first  dome ($\\mu \\simeq -10$ meV), as shown in Fig. \\ref{bande}, the energy spectrum in the normal \nstate does not present a linear Rashba coupling. \nTherefore, in the limit of small wave-vectors, the dispersion of the edge states is not linear, as a function of $k_x$. \nRather, it is nearly flat. As shown in the middle panel of Fig.  \\ref{topofig1}, for small values of $k_x$, the wavefunctions \ncorresponding to the in-gap edge states are well localized close to an edge of the system.  With increasing $k_x$, their wave-function tends to spread over all the bulk.\n\nWe point out that the observed  behavior is mostly related to the triplet pairing. Indeed, at zero magnetic field, the singlet pairing term  \nalone is not able  to provide nontrivial topological phases. However, at  $\\mu=-9$ meV we have checked a topological phase transition, induced by \nthe attractive term $V$ in Eq. \\eqref{hamilpair} when the triplet order parameters are stable (see Fig. \\ref{phasefig}).  In particular, the results \nshown in Fig. \\ref{topofig1} are obtained when singlet and triplet pairings coexist above a critical value of the attractive potential $V$.   \n{\\color{black} In Section \\ref{emtop}, we discuss in detail the nature of those phase  transitions.}\n\nWe have also analyzed some features, possibly topological, at higher values of the carrier density. In the left panel of \nFig.  \\ref{topofig1}, we report the excitation spectrum, with  finite size along $y$-axis and at $\\mu=14$ meV. Even if\nthe excitation spectrum is more complex in comparison with that shown at lower densities,  at zero magnetic field, we still\nfind the presence of in-gap edge states, which gradually merge in the bulk continuum, with increasing $k_x$.\\\\\n \n\n\\subsection{Further insights from the  effective theory}\n\\label{emtop}\n\n\nStarting from the full multiband Hamiltonian in Eq. \\eqref{e.1}, it is rather cumbersome to characterize entirely \nthe full topology content of our system, since {\\color{black} it is tough to recover the required analytical form\nof the band wave-functions in momentum space \\cite{ludwig2009, ryu2016, Bernevigbook}.} However, this \ntask can be achieved, at least partially, starting from the effective Hamiltonians in Eqs. \\eqref{eff-} and especially \\eqref{eff0}.\nThis approaches demonstrates to be valuable also for a better characterization {\\color{black} of the entire phase diagram in the considered range of fillings,} \nas well as of the nature of the first superconducting dome.\n\nSince in most of the available literature \\cite{gariglio2016}, the superconducting dome is located approximately in correspondence  of \nthe $\\eta_0$ band, we focus mainly on $H_0^{(\\mathrm{eff})} ({\\bf k})$ in Eqs. \\eqref{eff0}, {\\color{black} with superconducting\npairings added. We recall that $H_0^{(\\mathrm{eff})} ({\\bf k})$ is expected to described properly at least the lower-density half of \nthe dome. Moreover, the resulting Bogoliubov Hamiltonian shares the same (time-reversal  and charge-conjugation) symmetry content as the \nmultiband one in Eq. \\eqref{hamilbogo}, therefore allowing (but not guaranteeing) the same topological phase structure. \nIndeed, a similar discussion  can be performed directly for the $\\tau$ bands, obtaining the same qualitative results: for a given pair content,\nthe effective spin-orbit ${\\bf g} ({\\bf k})$ (absent in the  $\\tau$ bands basis) has only quantitative effects on the phase diagram.\n\nWe assume again  a pairing ${\\bf \\Delta } ( \\bf{k} )$, in the form of\n Eq. \\eqref{pairingmat} ({\\color{black} at this stage, we do not need to specify  the precise form of the corresponding \n attractive potential, which instead we generically denote as $G$)}. \nThe resulting Bogoliubov Hamiltonian} is of the general form\n$H_0^{\\mathrm{BG}} = \\frac{1}{2} \\sum_{\\bf{k}}\n\\psi^{\\dag}_{\\bf{k}} \\mathcal{H} (\\bf{k}) \\psi^{\\ }_{\\bf{k}}$, \nwith\n\\begin{equation} \n\\label{bog0}\n\\mathcal{H} ( \\bf{k} )\n=\n\\left(\\begin{array}{cc}\nh_0 ( \\bf{k} ) & {\\bf \\Delta } ( \\bf{k} )\n \\\\\n{\\bf \\Delta}^{\\dag} ( \\bf{k} ) & - h_0^{T} ( - \\bf{k} ) \\, \n\\end{array}\\right)\n\\end{equation}\n$\\psi_{\\bf{k} } = ( c^{\\ }_{{\\bf k} \\uparrow}, c^{\\ }_{\\bf{k} \\downarrow}\nc^{\\dag}_{- \\bf{k} \\uparrow}, c^{\\dag}_{- \\bf{k} \\downarrow} )^{\\mathrm{T}}$\nand \n\\begin{equation}\nh_0 ( {{\\bf k}} )\n=\n\\xi_0 ({\\bf k} )  \\, {\\bf I}_{2 \\mathrm{x} 2} + {\\bf g} ({\\bf k}) \\cdot \\bm{\\sigma } \\, .\n\\label{eq:HnormalNCS}\n\\end{equation}\nwith $\\xi_0 ({\\bf k} ) = \\epsilon_0 ({\\bf k} ) -  \\mu$ ($\\mu$ measured from $\\epsilon_0 ({\\bf k} = 0)$).\nBy time-reversal-symmetry, it turns out  that $\\xi_0 ({\\bf k})$\nand ${\\bf g}({\\bf k})$ are symmetric and antisymmetric in ${\\bf k}$,\nrespectively \\cite{sato2006}. \nThe Hamiltonian in Eq. \\eqref{bog0} has the spectrum \\cite{sato2006}\n\\begin{equation}\nE_{\\pm}({\\bf k}) = \\sqrt{\\Big(\\xi_0 ({\\bf k} ) \\pm |{\\bf g} ({\\bf k})|\\Big)^2 + \\Big( \\Delta_{s} \\pm  |{\\bf d} ({\\bf k})|\\Big)^2}  \n\\label{spettrototale}\n\\end{equation} \nif  ${\\bf d}({\\bf k})$ (see Eq. \\eqref{pairingmat}) is aligned with ${\\bf g}({\\bf k})$, which is \nthe most likely  possibility, as we noted above.\nIn three dimensional systems, this spectrum can give rise to topologically-protected nodal lines, where $E_-({\\bf k}) = 0$,\nleading to nodal (non-centrosymmetric) superconductors. These systems require a partially different topological classification from the ten-fold way for fully gapped ones {\\color{black}\\cite{brydon2015,samokhin2015}, as well as for their edge modes \\cite{samokhin2016}.}\n{\\color{black} However, in two dimensions, only isolated zeros for  $E_{\\pm}({\\bf k}) = 0$ can occur, not topologically protected, and identified as transition points.}\n\nWe analyze separately {\\color{black} three configurations for ${\\bf d}({\\bf k})$:} {\\it i)} pure s-wave (spin singlet) pairing, {\\it ii)} pure p-wave (triplet) state, {\\it iii)} \nmixed s-p waves pairing. In the first configuration, no topology is realized: the phase is continuously connected with a purely BCS one, where ${\\bf g} ({\\bf k}) = 0$. Indeed,\nin spite of \n${\\bf g} ({\\bf k}) \\neq 0$, since $\\Delta_{s} \\neq 0$, no zeros of $E_{\\pm}({\\bf k})$ can occur in between {\\color{black} and for a certain ${\\bf k}$. This regime clearly \ncorresponds to that in Section \\ref{MFsol} for the multiband model in Eq. \\eqref{hamilbogo}, at $\\mu = -9$ meV, $U<300$ meV and $V = 0$.\n\nIn the normal state, due to the terms in Eqs. \\eqref{e.7} and \\eqref{e.8}, mixing the spins, only the sum of the spin currents\nis conserved, related to the global symmetry group\n$U(1)_V$, in turn defined by the transformations:  \n$c_{\\uparrow} ({\\bf k}) \\to e^{i \\theta} \\, c_{\\uparrow} ({\\bf k})$, $\\theta = [0, 2 \\pi)$, and the same for $c_{\\downarrow} ({\\bf k})$. \nTherefore, due to the bilinear pairing condensate $\\langle c_{\\uparrow} ({\\bf k}) c_{\\downarrow} (-{\\bf k}) \\rangle = \\Delta_s$, \nthe spontaneous symmetry breaking\n\\begin{equation}\nU(1)_{V}  \\to Z_{2 \\, V}\n\\label{pat1}\n\\end{equation}\noccurs, where for $Z_{2 \\, V}  \\in U(1)_{V}$, $\\theta = \\{ 0, \\pi \\}$.}\n\n\nSimilarly, in the configuration {\\it ii)}, when $\\Delta_{s} = 0$, two phases can be realized a  priori,  {\\color{black} in this scheme discerned by \nthe sign of $\\mu$ \\cite{readgreen,Bernevigbook}.  These two phases, one with non trivial and one with trivial topologies, are continuously connected with those \nat ${\\bf g} ({\\bf k}) = 0$.}  This because the unique zeros of $E_{\\pm}({\\bf k})$ can occur where ${\\bf d} ({\\bf k}) = 0$, that means at ${\\bf k} = 0$. In this\npoint, also ${\\bf g} ({\\bf k}) = 0$ and $\\epsilon_0 ({\\bf k}) = 0$, therefore $E_{\\pm}({\\bf k}) = \\mu$. Now, as {\\color{black} $G \\to 0$,} then $\\mu \\approx \nk_F >0$ (since the filling of the $\\eta_0$ band is positive), {\\color{black} while the condition $\\mu = 0$, separating the two phases, occurs for  $G$ large \nenough (similarly as in the previous Section).  Again, the breaking pattern in Eq. \\eqref{pat1} is realized.}\n\n\n\nThe data from the mean-field analysis on the lattice suggests that the topological phase sets in for\n$U \\geq 250$ and $V \\geq 550$ meV,  where we find the triplet pairing (see Fig. \\ref{phasefig}).   \nThe same phase, a superconducting counterpart of a quantum spin Hall phase, is the unique possible {\\color{black} topological} one in the DIII class \n{\\color{black} and in two dimensions} \\cite{ludwig2009, ryu2016, Bernevigbook}, and it is also known as helical superconducting phase. Moreover,\nthis is labelled by a topological index $n = 1$, witnessing the number of {\\it pairs} of edge states, related by the time-reversal conjugation \n\\cite{qi2009,Bernevigbook}. This index (written for the general case e.g. in \\cite{sato2017}) becomes, in the limit of decoupled spin sectors,\n${\\bf g} ({\\bf k}) \\to 0 , \\, \\, \\forall \\, {\\bf k}$, \\cite{Bernevigbook}:\n\\begin{equation}\nn  = \\frac{1}{2} \\, (n_{\\uparrow} - n_{\\downarrow}) \\quad \\mathrm{mod} \\, 2 \\, ,\n\\label{phase}\n\\end{equation}\nwhere $n_{\\uparrow} = 1$ and $ n_{\\downarrow} = -1$ label the topological phases (with broken time-reversal invariance, then in the D class of the ten-fold way \nclassification \\cite{ludwig2009, ryu2016, Bernevigbook}) described in \\cite{readgreen}.  The numbers $n_{\\uparrow \/ \\downarrow} = \\pm 1$  correspond to nontrivial \nelement of the first homotopy class \\cite{nakahara,coleman1,coleman2}, $\\pi_1(\\tilde{O)}$, on a circle $\\tilde{O}$ around the  high symmetry node at ${\\bf k} = 0$.\nIn particular, the nontrivial homotopies are related to the phase factors $e^{\\pm i \\, \\phi_{\\bf k}}$ parametrizing as follows the nonvanishing p-wave gaps\n(connected by time reversal conjugation): \n\\begin{equation}\n\\Delta_{t , \\uparrow  \/  \\downarrow} \\,  (k_x \\pm  i \\, k_y) =   \\Delta_{t , \\uparrow \/ \\downarrow} \\, |{\\bf k}| \\, e^{\\pm i \\, \\phi_{\\bf k}} \\, .\n\\label{phase2}\n\\end{equation}  \nTherefore, for instance, $n = 0$ for the extended s-wave case, considered in \\cite{zeg2020}.\nIn the more general case where the spin sectors are coupled together (as when ${\\bf g} ({\\bf k}) \\neq 0$, or in the presence of a superconducting pairing\nbetween the  two spin-species, as in the case {\\it iii)}), the topological index {\\color{black} $n = 1$} can be expressed in terms of Chern numbers of positive- \nand negative-energy eigenstates \\cite{sato2017}. Alternatively, the same index can be defined as a winding number of a phase \\cite{yokoyama2014}, exploiting \ndirectly the full Bogoliubov Hamiltonian $H_{\\mathrm{BG}}({\\bf k})$, instead of its bands ({\\color{black} see \\cite{notatop} for more details)}. \n \n\nFinally, in the configuration {\\it iii)}, where singlet and triplet pairings coexist, a trivial and a topological phase can be again realized a priori. \nReferring to the Hamiltonian in Eq. \\eqref{eq:HnormalNCS}, they are separated by the condition (on $G$, \n$\\mu$, $\\Delta_{s}$, and  ${\\bf d} ({\\bf k})$) that $E_-({\\bf k}) = 0$, for a certain $|{\\bf k}|$. This is expected for $|\\Delta_{s}| \\sim |\\Delta_{t , \\uparrow}| = |\\Delta_{t , \\downarrow}|$.\n Again, the breaking pattern in Eq. \\eqref{pat1} is realized.\nBeing again in the DIII class of the ten-fold way classification, the two phases belong respectively to the same topological classes of the phases in the case {\\it ii)},\nthen they are discerned by the same topological index \\cite{yokoyama2014,sato2017}. \n\nThis situation corresponds to the singlet-triplet coexisting regime, found in Section \\ref{MFsol}. \nCorrespondingly, the presence of edge states  indicates\n that between the two possible phases described above,  \nthe topological one is realized. In the following Section, we will analyze its response to an applied magnetic field.\n\\begin{figure} [t!]\n\\includegraphics[scale=0.32]{Magn_New1.pdf}\n\\includegraphics[scale=0.32]{Magn_New2.pdf}\n\\caption{{\\color{black} Upper panel: Singlet order parameter $\\Delta^{xy}_s$, as a function of the magnetic field along the $z$-axis \nfor $U = 350$ meV and for  different values of the attractive term $V$ and at $\\mu=-9$ meV.\nLower panel: Same as in the upper panel, but with the magnetic field along the $x$-axis (lower panel).\nWe recall that in Eq. \\eqref{hamilpair} the nearest neighbour pairing has coupling $\\frac{V}{2}$.}}\n\\label{magnfig}\n\\end{figure}\n\n\\section{Superconducting solutions in the presence of a magnetic field}\n\\label{supermagnetic}\n\n{\\color{black} It is important, on the experimental point of view as well, to consider how  the  above scenario is\nmodified under the application of a uniform  magnetic field, inducing  the Zeeman term in Eq. \\eqref{e.9}. For this purpose, we start with \ndiscussing how an applied magnetic field modifies the superconducting order parameter.} \n\n\\subsection{Effects of the magnetic field on the superconducting order parameter}\n\nThe first macroscopic effect \nis the breakdown of the time-reversal symmetry. {\\color{black} Along this direction,} \n we analyze the effects of an external magnetic field on the superconducting solutions, considering field orientations \nboth along the $z$-axis (out-plane) and the $x$-axis (in-plane). \n\nFirst, we focus on  the singlet order parameter related to the orbital $xy$, $\\Delta_{xy}^s$. We recall that this order parameter \nprovides an estimate of the minimal superconducting gap in the excitation spectrum. In the upper panel of Fig. \\ref{magnfig},  \nwe plot {\\color{black} this quantity}, as a function of $M_x$, \nand for different values of $V$.  \nIn particular, we focus on the under-doped regime of the first dome, at $\\mu=-9$ meV.\nFor $V=0$, there is a continuous curve, as a function of the magnetic field.  However, there is a range of values for $V$\nwhere the order parameter shows a discontinuity. Actually, this discontinuity marks the {\\color{black} onset} of the triplet pairing, \nwhich, on the other hand, start weakening the singlet order parameter (see Fig. \\ref{phasefig}). As shown below,  {\\color{black} the\ntriplet pairing can lower the ground-state energy, at increasing magnetic field and fixed $V$.}  Therefore, there is a transition between \na phase with only the singlet pairing to a phase with combined singlet and triplet {\\color{black} pairings}.  With increasing $V$, the triplet pairing \nbecomes stable at lower strengths of the magnetic field (Indeed,  \n{\\color{black}  we have shown above that, for  $V > 560$ meV, there is the formation of the triplet pairing even \nat $M_z=0$).  For these values of $V$, the reduction of the singlet order parameter is quite rapid as a function of the strength of $M_z$.} \n\nIn the lower panel of Fig. \\ref{magnfig},   we plot $\\Delta_{xy}^s$ as a function of  \n$M_x$, for different values of $V$. There is a different coupling between the in-plane magnetic field and the triplet order parameter. \n{\\color{black}  Therefore, the role of the triplet pairing is affected  not only by the density, but also by the orientation of the magnetic \nfield. Indeed, it can be responsible of the experimentally measured magnetic field anisotropy, in some \nsuperconducting properties, between the in-plane and out-of-plane field configurations \\cite{caviglia2009}. In particular, in the under-doped regime of the\nfirst dome, at $\\mu=-9$ meV, the anisotropy emerging from the comparison between the upper and lower panels of Fig. \\ref{magnfig} is present\nbut not marked. Indeed, the behavior of the order parameter, as a function of $M_x$, follows that as a function of $M_z$, the first behavior being characterized\nonly by slightly smaller values of critical fields (at different $V$).}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG9A.pdf}\n\\includegraphics[scale=0.28]{FIG9B.pdf}\n\\includegraphics[scale=0.28]{FIG9C.pdf}\n\\caption{Singlet (left panel) and triplet (right panel) pairing amplitudes, as a function of a constant magnetic field ${\\bf M}$ along the $z$-axis (out of plane) with \n $U =350$ meV and $\\frac{V}{2} = 300$ meV.\nMiddle panel: same as in the left panel, but with the magnetic field along $x$-axis (in-plane).}\n\\label{magnfig2}\n\\end{figure*}\n\nIn order to deeply analyze the role of the anisotropy of the superconducting solutions, we consider different fillings, comparing the behaviors of the order\nparameters between the first dome, beginning at the minimum of the $\\eta_0$ band  ($\\mu \\approx -10$ meV), and the second one, related to the $\\eta_+$ band \n($\\mu \\approx 10$ meV). Therefore, in the left and the middle panel of Fig. \\ref{magnfig2}, we consider two values of $\\mu$:  $\\mu=-4$ meV, \ncorresponding to the over-doped regime of the first dome, and $\\mu=-11$ meV, corresponding to the under-doped regime of the second dome. In the \nleft panel we analyze the behavior of $\\Delta_{xy}^s$, as a function of \n$M_z$,  and in the middle panel  we draw a similar plot, \nevidencing the  dependence on  $M_x$. Actually, as shown in Fig. \\ref{magnfig2}, at $\\mu=-4$ meV, there is an anisotropy favoring the stability along the $z$-axis.  O\nn the other hand, as discussed above, the triplet pairing  becomes stronger with increasing density, and it systematically weakens \nthe singlet amplitudes. Moreover, the triplet order parameters are more sensitive to the magnetic field  along the $z$-axis (as shown in the right panel of \nFig. \\ref{magnfig2})  than to the one  along the $x$-axis. Therefore, with increasing density, the anisotropy changes drastically. In particular, \nat $\\mu=11$ meV, the critical field along $z$  is less than 1 meV, while that along $x$  becomes larger than unity. \nTherefore, the results are in qualitative agreement with experimental  data, \\cite{caviglia2009} where the anisotropy is more marked.\nIndeed, even if the role of the triplet pairing can be relevant to inducing anisotropy in the superconducting order parameters,  \n{\\color{black} it is not enough} to explain all the relevant features found in {\\color{black} LAO\/STO-001} as a function of in-plane and out-of-plane magnetic fields.   \n\nFinally, in the right panel of Fig. \\ref{magnfig2}, we have carefully analyzed also the behavior of the triplet pairing,  as a function of $M_z$,\n{\\color{black} finding a remarkable linear dependence of the triplet} order parameters, opposite for the two spin components: one is enforced, the other one is weakened.\n\n\n\\subsection{Clues of emergent topology in the presence of a magnetic field}\n\n\\begin{figure} [t]\n\\includegraphics[scale=0.32]{Topo_New3.pdf}\n\\includegraphics[scale=0.32]{Topo_New4.pdf}\n\\caption{Upper panel: Bogoliubov spectrum for varying $k_x$, $V = 0$ meV,  $\\mu = 14$ meV and finite size $L_y = 950$\nsites along the $y$-axis. Lower panel: probability of the edge state as a function of the position (in units of the lattice parameter $a$)\nfor different values of $k_x$ (in units of $\\pi\/a$).  \nThe value of $M_z$, inducing a topological phase transition (see the main text), is smaller than the critical value suppressing the self-consistent superconducting solutions.}\n\\label{topofig2}\n\\end{figure}\n\nWe now focus on the possibility  of topology in the presence of a magnetic field. In these conditions, the breakdown \nof the time-reversal symmetry makes  the topology class of the system to change from DIII to D. In two dimensions, \nthe latter class still allows nontrivial topology, still labelled by a $Z$ index ($Z_2$ for 1D systems; in this case \nthe precise calculation of the related invariant has been performed in \\cite{perroni2019}). In this way, a magnetic field\ncan preserve the edge states {\\color{black} that we discuss} {\\color{black} in Section \\ref{topnoB}. \n \n \n Still analyzing the possible presence of edge states, we} find {\\color{black} that topological properties are favored \n  by an out-of-plane magnetic field, but disfavored by an\n in-plane one}. Indeed, they are weakened with changing the orientation of the magnetic field from the $z$-axis to $x$-axis,\n and there here are characteristic angles (around $\\frac{\\pi}{4}$) where a topological phase transition takes place. Eventually,\n {\\color{black} for a sufficiently intense} in-plane magnetic field, one only gets trivial  topological phases, in agreement with \\cite{Loder}.\n  \nIn order to detect the chiral topological superconducting phase when $M_x$ is sub-relevant, we {\\color{black} consider again} a lattice with \na finite size along the  $y$-axis. In this case, the increase of $M_z$ is able to induce a phase transition, {\\color{black} as \nsoon as it takes a value of the order of the chemical potential, as measured from the bottom of the sub-band: $M_z > \\sqrt{\\tilde{\\mu}^2 + \\Delta^2}$, where $\\tilde{\\mu}$ is the chemical potential measure from the bottom of the $\\eta_+$ sub-bands, and $\\Delta$ is the effective superconductive gap. \nThus, the critical values to enter   the topological phase depend in general on $U$, $V$, and $\\mu$}. In the upper and lower panels of \nFig. \\ref{topofig2}, we show the results obtained at $V=0$, {\\color{black} with only the singlet pairing present}. We remark that, in contrast with\nthe results of the previous Section at zero magnetic field, now the topological phases can be driven by the singlet order parameters only. \nWe find that the chiral Majorana edge states have a linear dispersion as a function of $k_x$, and are quite localized at the edge for small values of $k_x$,\nsimilarly as in  \\cite{Loder}.  As usual, with increasing $k_x$, these states merge into the bulk continuum.\n\n\nAgain the described picture can be understood in better qualitative details by analyzing the effective Hamiltonians in Eqs. \\eqref{eff-} and \\eqref{eff0}, \n{\\color{black} in analogy with the discussion at   ${\\bf M} = 0$ in Section \\ref{supmulti}.}\nSince the Zeeman term in Eq. \\eqref{e.9} has the form  $H_{M} = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot {\\bf \\sigma} $,  it is sufficient to add this \nterm to $H_0^{(\\mathrm{eff})}$, as described in the Appendix 3 (before Eq. \\eqref{e.4}), in spite of the fact  that \n the $zx$ and $yz$ bands are mixed to yield the $\\eta_0$ band: this mixing is diagonal on the spin $\\sigma$ index. In Eq. \\eqref{eq:HnormalNCS}, \n the same added term results in the shift ${\\bf g} ({\\bf k}) \\to {\\bf g} ({\\bf k}) + {\\bf M}$, losing explicitly the antisymmetry required by time-reversal invariance \\cite{sato2006}.\n\n\n\nA Zeeman term, $H^{(z)}_{M} = M_z \\sigma_z$, along the $z$-axis, orthogonal to the plane of our system,  \ncreates an effective unbalance in the chemical potentials {\\color{black} with respect to $\\sigma$}. This \nimbalance is known to spoil the s-wave pairing {\\color{black} $\\Delta^{\\tau}_{s}$ (as well as $\\Delta^{\\tau}_{p , \\uparrow \\downarrow}$},\nif present), leading to the normal phase, or at most {\\color{black} to a normal-superconductive mixed one} (a secondary possibility that we neglect, \nin the light of the stability of the p-wave pairing, see below) \\cite{pethick,marchetti2007,rad2007}. This transition occurs, {\\color{black} in the low-pairing limit,}\naround the value {\\color{black} $M_z = \\frac{\\mu_{\\uparrow} - \\mu_{\\downarrow}}{2} = \\frac{ \\Delta^{\\tau}_{s}}{\\sqrt{2}}$,} the so called\nChandrasekhar-Clogston limit  (strictly valid for perturbative Hubbard attractions) \\cite{pethick}.\nConcerning the triplet pairings  {\\color{black} $\\Delta_{t, \\uparrow}$ and $\\Delta_{t, \\downarrow}$,}\nthey are spoiled asymmetrically by the  $M_z$ term, mainly via the shift of the chemical potentials $\\mu_{\\uparrow , \\downarrow}$.\nIn particular, if $M_z > 0$, $\\mu_{\\downarrow}$ is decreased (at fixed {\\color{black} $\\Delta_{t, \\downarrow}$}). At a critical value\nof $M_z$, the condition $\\mu_{\\downarrow} = 0$ is realized. Then, the topological phase with $n_{\\downarrow} = -1$ \nis driven to a topologically trivial phase, still with p-wave pairing (the strongly-coupled phase in \\cite{readgreen}). At the point  $\\mu_{\\downarrow} = 0$,\na zero in the Bogoliubov gap is reached. The residual topology from the $\\uparrow$ contribution is encoded in the $n_{\\uparrow} = 1 \\in Z$\nphase, belonging to the D class of the ten-fold way classification.\n\n\nA qualitatively similar phase evolution, determined by the effective unbalances induced by $M_z$, is valid if the phases do not host \na nontrivial topology, a possibility {\\color{black} allowed} by symmetry considerations only, and possibly occurring  \nin certain coupling regions, as mentioned in Section \\ref{topnoB}.\n\n\n\n\\section{Conclusions and outlook}\n\\label{conclusion}\n\nIn this paper we have discussed  the onset and the physical consequences of a singlet-triplet  pairing in  the two dimensional \nelectron gas at LAO\/STO-001 interfaces. This configuration looks rather natural a priori, due to the  inversion symmetry breaking term \nin the tight-binding Hamiltonian of the system. We have made an extended superconducting mean-field analysis of this multi-band \ntight-binding Hamiltonian, as well as of effective electronic bands in the limit of low values of the momentum. We have included \nstatic on-site (favoring spin-singlet pairings) and inter-site (promoting spin-triplet order parameters) intra-band attractive \npotentials under applied magnetic fields. It is interesting to notice that a singlet-triplet mixed pairing here results \nrobust for {\\color{black} extended} regions of the analyzed space of parameters.\n\n\nWe have found various interesting features, as a reduction of the singlet order parameter, as a function of\nthe charge density, an asymmetric response to in-plane and out-of-plane magnetic fields (a fact already observed\nexperimentally \\cite{caviglia2009}), and the possibility on nontrivial topology and protected edge states.\nIn particular, not-linear spin-orbit couplings and inter-site attractive interactions make stable a time-reversal\ninvariant topological helical superconducting phase in the absence of a magnetic field.\n\nIn this paper, we have discussed the interplay between singlet and triplet order pairings in the the clean limit. Effects of dilute nonmagnetic impurities \ncan affect the properties of non-centrosymmetric superconductors \\cite{samokhin}. For example, the impurity effects on the critical temperature are similar to those in\nmulti-band centrosymmetric superconductors. Moreover, Anderson's theorem holds for singlet pairing \\cite{samokhin,anderson1959}. Indeed, \nwe expect that disorder effects can induce a reduction of the triplet order parameters changing only quantitatively the interplay between singlet and triplet pairings.\nThis is the reason why in the paper the focus has been on the properties related to the singlet order parameters.\n\nA natural development of the present work is the study of the effective shape of the dome, that means\nthe finite-temperature dependence. We mention here that we also performed mean-field calculations at finite temperature,\nfinding a first dome for the singlet order parameter, corresponding with the $\\eta_0$ band, and with a  shape qualitatively very \nsimilar to that reported in \\cite{gariglio2016}. However, to achieve reliable quantitative details,  the inclusion of\nfluctuations beyond mean field is required. On the same regard, we also mention a very recent paper \\cite{jouan2021},\nwhere two-different purely $s$-wave phases have been predicted around the optimal doping, where the critical temperature is maximized.\nThe relation with the present work surely deserves future attention.\nOther future generalizations of the present work are aimed to include the effect of the second term on the multiband potential\nin Eq. \\eqref{potgen}, that is inter-orbital attractive potentials. Closely related, a relevant issue consists of the possibility of\nnonzero-momentum superconductive couplings between different $\\eta$ bands. This feature extremely \nunlikely in translational invariant systems \\cite{pethick,marchetti2007,rad2007}, is known {\\color{black} to be} \nmore stable in lattice systems, see e. g. \\cite{moore2012,shi2013,mannarelli2018}.\n\n {\\color{black}\nFinally, we point out that effects due to unconventional superconductivity can be confirmed not only by thermodynamic properties but also by response properties such as the I-V characteristics of Josephson junctions \\cite{tafuri2017,alidoust2021}. In quasi one-dimensional systems,     \n notable properties can be deduced from anomalous Josephson effects \\cite{tagliacozzo2015,tagliacozzo2018} and local spectroscopic measurements \\cite{perroni_1d}.  These probes could be also used to disentangle superconducting topological features from trivial ones in the actual two dimensional case. }\n\n\n\\section*{Acknowledgements}\nThe authors thank Michele Burrello, Simone Paganelli, Marco Salluzzo, and Andrea Trombettoni for useful discussions.\nL. L., D. G. and C. A. P. acknowledge  financial support  from Italy's MIUR  PRIN project  TOP-SPIN (Grant No. PRIN 20177SL7HC).\nC.A.P. acknowledges funding from the project QUAN-TOX (QUANtum Technologies with 2D-OXides) of Quan-tERA ERA-NET Cofund in \nQuantum Technologies (GrantAgreement No. 731473) implemented within the European Union's  Horizon 2020 Programme. \nA. N. was financially supported  by POR Calabria FESR-FSE 2014\/2020 - Linea B) Azione 10.5.12,  grant no.~A.5.1.\n\n\n\n\\newpage\n\n\\onecolumngrid\n\n\n\n\\section*{APPENDIX 1: Hamiltonian symmetries}\nIn this Appendix, we discuss the symmetries of the normal Hamiltonians in Eqs. \\eqref{e.3} and \\eqref{eff0}, as well as the corresponding \nBogoliubov Hamiltonians with the pairing in Eq. \\eqref{pairing} added.\n\nThe normal Hamiltonians in Eqs. \\eqref{e.3} (here considered at vanishing Zeeman coupling $H_M$) can be expressed in terms of \n{\\color{black} Gell-Mann} matrices $\\{ \\lambda_i \\}$,\n{\\color{black}  acting on the on the $\\tau$ index, times the Pauli matrices acting on the spin index $\\sigma$:}\n\\begin{equation}\n\\Big(a ({\\bf k}) \\, {\\bf I}_{3 \\mathrm{x} 3} + b ({\\bf k})  \\, \\lambda_3 + c ({\\bf k}) \\,  \\lambda_8 \\Big) \\otimes \n{\\bf I}_{2 \\mathrm{x} 2} + w_{\\mathrm{SO}} \\, \\Big( - \\lambda_2 \\otimes \\sigma_z +  \\lambda_5 \\otimes \\sigma_y -\n\\lambda_7 \\otimes \\sigma_x  \\Big) + \\gamma \\, \\Big( \\sin k_x \\, \\lambda_5 \\otimes  {\\bf I}_{2 \\mathrm{x} 2} + \n\\sin k_y \\, \\lambda_5 \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\Big) \\, ,\n\\end{equation}\nthe precise expressions for $a ({\\bf k})$, $b ({\\bf k})$, and $c ({\\bf k})$ being unimportant here.\nExploiting now the property for the Pauli matrices, $\\{\\sigma_i , \\sigma_j\\} = \\delta_{ij}$, it is know immediate to prove (Eq. \\eqref{defUT}):\n\\begin{equation}\n H ( {\\bf k} ) = U_T^{-1}  H^* (- {\\bf k} ) U_T \\, , \\quad  \\quad \\quad U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\, .\n \\label{defUT2}\n\\end{equation} \nIn the Nambu-Gorkov basis $\\Psi({\\bf k}) = \\left(\\begin{array}{c} {\\bf c}({\\bf k}) \\\\ i \\sigma_y \\, {\\bf c}^{\\dagger}(-{\\bf k})\n\\end{array} \\right)$,  $c({\\bf k}) = \\left(\\begin{array}{c}  c_{\\uparrow}({\\bf k}) \\\\ c_{\\downarrow} ({\\bf k}) \\end{array} \\right)$,  \n$H ( {\\bf k} )$ is recast as follows:\n\\begin{equation}\n H ( {\\bf k} ) \\to  H_{\\mathrm{BG}} ( {\\bf k} ) = \\left(\\begin{array}{cc} H({\\bf k}) & {\\bf 0}_{2 \\, \\mathrm{x} \\, 2} \n \\\\ {\\bf 0}_{2 \\, \\mathrm{x} \\, 2} & -H (-{\\bf k}) \\end{array} \\right)\n \\label{HBog}\n\\end{equation}\nso that $U_T$ becomes $U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y $,\nthe second identity in the Kronecker product acting on the Nambu-Gorkov indices.\nThe normal effective Hamiltonian in Eq. \\eqref{eff0} for the $\\eta_0$ band, neglecting the out-of-diagonal \ncontribution with higher momentum power than one, reads (see the derivation in the Appendix 3):\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\Big( -10.8 +157.2 \\, (k_x^2 + k_y^2) \\Big) \\, {\\bf I}_{2 \\mathrm{x} 2} - a_3 \\, k_x \\, \\sigma_y + a_3 \\, k_y \\,  \\sigma_x \\, .\n\\end{equation}\nwith $\\epsilon_0 ({\\bf k}) = \\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV) and $a_3= 0.8$ meV.\nIt holds:\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) = \\tilde{U}_T^{-1}  H_0^{(\\mathrm{eff}) *} (- {\\bf k} ) \\tilde{U}_T \\, , \\quad  \\quad \\quad \\tilde{U}_T = \\sigma_y \\, ,\n \\label{defUTeff}\n\\end{equation}\n$\\tilde{U}_T = \\sigma_y$ acting on the spin index, as $\\sigma_y$ in Eq. \\eqref{defUT2}. In the Bogoliubov form, obtained as \nabove for $H ( {\\bf k} )$, $\\tilde{U}_T =  {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y$.\n\nThe next step is to include the pairing in Eqs. \\eqref{pairingmat} and \\eqref{pairing}. We have to consider the three spin channels:\n\\begin{equation}\n\\langle c^{\\tau}_{\\downarrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\downarrow \\downarrow}}\n\\,  {\\color{black} \\Delta_{t , \\downarrow}^{\\tau} }(k_x - i \\, k_y) \\, ,\n\\label{vev1}\n\\end{equation}\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\uparrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\uparrow \\uparrow} } \n\\,  {\\color{black} \\Delta_{t , \\uparrow}^{\\tau}} (k_x + i \\, k_y) \\, ,\n\\label{vev2}\n\\end{equation}\nand\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}} \n\\, \\Big({\\color{black} \\Delta_{s , \\uparrow}^{\\tau} + \\Delta_{t , \\uparrow}^{\\tau}}  \\Big[ \\alpha \\, (k_x + i \\, k_y) + \\beta\\,  (k_x - i \\, k_y) \\Big] \\Big) \\, .\n\\label{vev3}\n\\end{equation}\nTwo global phase factors between $ e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}}$, $e^{i\\, \\phi^{\\tau}_{\\uparrow \\uparrow}}$,\nand $e^{i\\, \\phi^{\\tau}_{\\downarrow \\downarrow}} $ can be reabsorbed overall via a phase redefinition of the  fermionic annihilation \noperators. However, even in this way the third phase cannot be  reabsorbed. This phenomenon a condensed matter counterpart to \n(minimal model for) the CP$\\sim$T violation in particle physics, via chiral fermion condensation \\cite{weinberg2}.  \nWe choose to keep the phase factor $e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}}$. \n\n{\\color{black} We notice that} time-reversal invariance, interchanging the spins, imposes {\\color{black} $\\Delta_{t , \\uparrow}^{\\tau} = \n\\Delta_{t , \\downarrow}^{\\tau}$}, a result also found by the minimization procedure of the mean-field free energy in the main text.\n{\\color{black} Dividing all the parameters in Eq. \\eqref{vev3} in real an imaginary parts, it is useful to parametrize them as follows:\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  \\Big(\\Delta_{1}^{\\tau} + i  \\, \\Delta_{2}^{\\tau}\n\\Big)+ \\Big(\\Delta_{3}^{\\tau} + i \\,  \\Delta_{4}^{\\tau} \\Big)  k_x + \\Big(\\Delta_{5}^{\\tau} + i \\,  \\Delta_{6}^{\\tau} \\Big)  k_y     \\, .\n\\label{veve4}\n\\end{equation}\nTherefore, for each $\\tau$ band, we obtain for the $4 \\, \\mathrm{x} \\, 4$ pairing block Hamiltonian $H^{\\tau}_{{\\bf \\Delta}}({\\bf k})$ \nof the total one  $H_{{\\bf \\Delta}}({\\bf k})$:\n\\begin{equation}\nH^{\\tau}_{{\\bf \\Delta}}({\\bf k}) = \\Delta_{1}^{\\tau} \\, \\big(\\sigma_x \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\big) + \\Delta_{2}^{\\tau} \\, \n\\big(\\sigma_y \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\big) + \\Big(\\Delta_{1}^{\\tau} \\, k_x +\\Delta_{1}^{\\tau} \\, k_y\\Big) \\, \\big(\\sigma_x \\otimes \\sigma_z \\big)  \n- \\Big(\\Delta_{2}^{\\tau} \\, k_x +\\Delta_{4}^{\\tau} \\, k_y\\Big)  \\, \\big(\\sigma_y \\otimes \\sigma_x \\big) \\, .\n\\end{equation}\nImposing now time reversal invariance of the total multiband Hamiltonian $H_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k})$ (see Eq. \\eqref{HBog}),  \n\\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = V_T^{-1} \\big(H^{*}_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{{\\bf \\Delta}}(- {\\bf k}) \\big) V_T \\, ,\n\\end{equation}\nwe immediately obtain that it must hold\n\\begin{equation}\n V_T =  U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y \\, ,\n\\end{equation}\nand importantly $\\Delta_2 = \\Delta_4 = \\Delta_6 = 0$. That means that all the pairing couplings in Eqs. \\eqref{vev1}-\\eqref{vev3} must be \nreal, as claimed in the main text. At this point is straightforward to obtain that $H_{\\mathrm{BG}} ( {\\bf k} ) + H^{\\tau}_{{\\bf \\Delta}}({\\bf k})$\nis also invariant under charge conjugation:\n \\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = - U_C^{-1} \\big(H^{*}_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{ {\\bf \\Delta} }\n(- {\\bf k}) \\big) U_C \\, ,  \\quad  \\quad {\\mathrm{with}} \\quad \\quad  U_C = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\otimes \\sigma_y \\, .\n\\end{equation}\nA further symmetry of the Bogoliubov Hamiltonian $\\big(H_{\\mathrm{BG}} ({\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) \\big)$ is the chiral symmetry\n\\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = U_S^{-1} \\big(H^*_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{{\\bf \\Delta}}(- {\\bf k}) \\big) U_S \\,\n, \\quad \\quad U_S = U_T \\, U_C = U_C \\, U_T \\, , \\quad \\quad  U_S^2 = {\\bf I}_{12 \\mathrm{x} 12} \\, ,  \n\\end{equation} \ncomposed by the product of time- and charge-conjugation symmetries. Chiral symmetry does not change the topology class of the  Bogoliubov Hamiltonian, remaining DIII.\n}\n\n\n\\section*{APPENDIX 2: setting the pairing ansatz}\n\n{\\color{black}\nOn a general lattice, the mean field approach to superconductivity proceeds identifying all the possible pairings corresponding to the irreducible representations of the point-group \nsymmetry of the lattice: the ansatzs for the pairings are expressed in terms of them \\cite{annett}. This procedure is analogous to the expansion in terms of\nspherical harmonics in the isotropic, $SO(3)$  invariant,  free space.\n\nThe spectra in Eq. \\eqref{e.5}, in the absence of the spin-orbit and inversion terms in Eqs. \\eqref{e.7} and \\eqref{e.8}, display a $D_2$ point group symmetry \\cite{dress_book}.\nHowever, due to the presence of the latter two terms, in order to implement the mean field approach, we have still to assume all the pairings allowed \nby the symmetry of the isotropic square lattice. This lattice has (finite) point group symmetry $D_4$, containing $D_2$ and composed by the group $C_4$ of the rotation \nof angles $\\theta_n = n \\, \\frac{\\pi}{2}, \\, \\, n = 0, \\dots,3$, and by the reflections around one (vertical or horizontal) axes (see e.g. \\cite{dress_book}).\n}\n\n In this case, the basis functions labelling the irreducible representations which the eight-fold regular representation decomposes in, are $k_x^2 + k_y^2$, $k_x^2 -\n k_y^2$, $k_x k_y$, $\\Big(\\begin{array}{c} k_x \\\\ k_y \\end{array}\\Big)$. The first three (parity even)  functions, together with the constant $c$,  can be assumed as\n a basis for the spin-singlet pairings, while the (parity odd) doublet can be assumed as a basis for the spin-triplet pairing. Summing up, the superfluid pairing can be generally assumed as:\n\\begin{equation}\n\\Delta = \\Delta_{s,0} + \\Delta_{s,1} \\, m(|{\\bf k}|) + \\Delta_{s,2} \\, f(|{\\bf k}|) \\, \\frac{k_x^2 - k_y^2}{|{\\bf k}|^2} + \\Delta_{s,3} \\,  g(|{\\bf k}|) \\, \n\\hat{k}_x \\hat{k}_y + {\\color{black} \\Delta_t} \\,  h(|{\\bf k}|) \\,  (\\hat{k}_x + i \\hat{k}_y) \\, ,\n\\label{totpar}\n\\end{equation}\nplus possible powers of these terms (required e. g. in the presence of a strong cubic Rashba-coupling, {\\color{black} as in \\cite{nakamura2012}}). \nNotice however that pairings involving higher powers than 1 should be less relevant around $k_x = k_y = 0$.\nBoth in the effective theories for $\\epsilon_-$ and $\\epsilon_0$ bands, {\\color{black} it is expected that the spin-orbit interaction (including \nthe relevant not-linear corrections) plays a critical role in determining the  pairings that set in}. The effect of a linear spin-orbit coupling has been studied in \\cite{rashba2001}, where a\nmixing (singlet-triplet and s-p wave) has been identified. The same situation could be expected here. However, the not-linear spin-orbit couplings could change the picture. \n\n\n\n\\section*{APPENDIX 3: derivation of the effective theories in Eqs. \\eqref{eff-} and  \\eqref{eff0}}\n\nIn order to probe the presence of non-BCS pairings, suggested by recent works, it is useful to restart considering the structure of the \n$\\epsilon_{yz}$, $\\epsilon_{zx}$, and $\\epsilon_{xy}$  bands (in the absence of Zeeman couplings), as well as the real bands  $\\epsilon_{+,i}$,\n$\\epsilon_{0,i}$, and $\\epsilon_{-,i}$ (in the following we will neglect the degeneracy index $i$, for sake of brevity) resulting from the mixing \nof them, according to the Hamiltonian in Eq. \\eqref{e.3}. The plots of them are given in Fig. \\ref{bande}.\n\nIt is clear that the mixing of the  $\\epsilon_{yz}$, $\\epsilon_{zx}$, and $\\epsilon_{xy}$ is relevant only around their band-touching points, \naround the momenta $k_x = k_y = 0$ and \n$k_x = k_0 \\approx \\pm 0.35 , k_y = 0$, as expected from the low ratios $\\frac{\\gamma}{t_1}$ and $\\frac{\\Delta_{so}}{t_1}$ in Eq. \\eqref{e.3}. \nClearly, the importance of the same mixing relatively to the three bands depends on which ones are touching each others: around $k_x = 0$, \nthe bands $\\epsilon_{yz}$, $\\epsilon_{zx}$ undergo an important mixing, while around the point  $k_x = k_0 , k_y = 0$ ($k_x = 0 , k_y \\approx \\pm 0.35$),\nthe bands $\\epsilon_{zx}$, and $\\epsilon_{xy}$ ($\\epsilon_{yz}$, and $\\epsilon_{xy}$) do.\n\n\n\nWe focus first around the point $k_x = k_y = 0$. In this region, due to the relatively small ratios $\\lambda_1 = \n\\frac{\\gamma}{{\\color{black} E_t}} = 0.4$ and $\\lambda_2 =\\frac{\\Delta_{so}}{{\\color{black} E_t}} = 0.2$ effective expressions \ncan be obtained for $\\epsilon_+$, $\\epsilon_0$, and $\\epsilon_-$, exploiting second-order perturbation theory (in standard notation):\n\\begin{equation}\nE_n (\\lambda) = E_n^{(0)}  +\n \\lambda^2 \\sum_{k \\neq n} \n \\frac{| \\langle k^{(0)}  | V | n^{(0)} \\rangle |^2}\n {E_n^{(0)} - E_k^{(0)}} \n+ O(\\lambda^3) \\, ,\n\\label{pert}\n\\end{equation}\nand, in the presence of two perturbations $\\lambda_1 \\, V_1$ and  $\\lambda_2 \\, V_2$:\n\\begin{equation}\nE_n (\\lambda) = E_n^{(0)}  +\n{\\color{black} E_t}^2 \\, \\sum_i \\lambda_i^2 \\sum_{k \\neq n} \n \\frac{| \\langle k^{(0)}  | V_i | n^{(0)} \\rangle |^2}\n {E_n^{(0)} - E_k^{(0)}} + {\\color{black} E_t}^2 \\, \\lambda_1 \\lambda_2 \\, \\sum_{k \\neq n} \n\\Bigg( \\frac{\\langle k^{(0)}  | V_1 | n^{(0)} \\rangle \\langle n^{(0)}  | V_2| k_0^{(0)} \\rangle}\n {E_n^{(0)} - E_k^{(0)}} + \\mathrm{H. c.} \\Bigg)\n+ O(\\lambda^3) \\, .\n\\label{pert2}\n\\end{equation}\n\n\\subsection*{Lower band}\nWe start with the derivation of the effective theory for the  $\\eta_-$ band. Exploiting Eq. \\eqref{pert2}, the couplings of  $\\epsilon_{xy}$ \nwith $\\epsilon_{yz}$ and  $\\epsilon_{zx}$, included perturbatively, yields to\n\\begin{equation}\nH_-^{(\\mathrm{eff})} = \\Big(\\epsilon_{xy} + {\\color{black} E_t}^2 \\, \\frac{\\lambda_1^2 \\sin^2  k_x+   \\lambda_2^2}{\\epsilon_{xy} - \\epsilon_{yz}} \n+{\\color{black} E_t}^2 \\,  \\frac{\\lambda_1^2 \\sin^2  k_y+  \\lambda_2^2}{\\epsilon_{xy} - \\epsilon_{zx}}\\Big) \\, {\\bf I} + 2 \\, {\\color{black} E_t}^2 \\, \n\\lambda_1 \\, \\lambda_2 \\, \\Big( \\frac{\\sigma_y \\sin k_x}{\\epsilon_{xy} - \\epsilon_{yz}} - \\frac{\\sigma_x \\sin k_y}{\\epsilon_{xy} - \\epsilon_{zx}}  \\Big)+  O(\\lambda_i^3) \\, ,\n\\end{equation}\nand, expanding in powers of $k_x$ and $k_y$:\n\\begin{equation}\nH_-^{(\\mathrm{eff})}  ({\\bf k}) = \\epsilon_- ({\\bf k}) \\, {\\bf I}  -  (a_1 \\, k_x + a_2 \\,  k_x^3)  \\, \\sigma_y +  (a_1 \\, k_y + a_2 \\, k_y^3)  \\, \\sigma_x \\, ,\n\\label{eff-bis} \n\\end{equation} \nwith $a_1 = 8$ meV (in units of the lattice step $a \\equiv 1$), $a_2 = 43.46$ meV, $ \\epsilon_- ({\\bf k}) = \\big(- 54. + 280.8 \\, (k_x^2 + k_y^2) \\big)$\nmeV (so that  $t_-^{(\\mathrm{eff})} = 280.8$ meV). \nThe spectrum of the effective Hamiltonian in Eq. \\eqref{eff-bis}, compared with the exact one, is shown in Fig. \\ref{bande2}. The agreement is excellent around $k_x = k_y = 0$.\n\n\n\n\\subsection*{Central band}\n\nThe derivation of the effective theory for the  $\\eta_0$ band is more subtle. Indeed, the  $\\epsilon_{yz}$, $\\epsilon_{zx}$ are degenerate at  $k_x = k_y = 0$, \nthen before applying second-order perturbation theory, some elaboration of the Hamiltonian \\eqref{e.3} is required. In particular,  we notice that $H_Z ( {\\bf k} )$ in  Eq. \\eqref{e.8} do not mix \n$\\epsilon_{zx}$  with $\\epsilon_{yz}$. Therefore we start diagonalizing {\\it exactly}  the partial Hamiltonian  $H_0 ( {\\bf k} ) + H_{SO}$ \nin the subspace $\\epsilon_{zx}$  with $\\epsilon_{yz}$, by a unitary transformation $O = \\mathrm{diag} (O_{2 \\mathrm{x} 2} , 1)$). This transformation \ndoes not mix the spins, {\\color{black} therefore $O$ can ne also written as $O = \\tilde{O}_{2 \\mathrm{x} 2} \\otimes {\\bf I}_{2 \\mathrm{x} 2}$.} In this way, we obtain\n\\begin{equation}\nH_0^{\\prime} + H_{SO}^{\\prime \\, (\\mathrm{rid})}  = \\left[ \\begin{array}{ccc}\n\\epsilon_{a} \\, {\\bf I} & {\\bf 0} & {\\bf 0 } \\\\\n{\\bf 0} & \\epsilon_{b} \\, {\\bf I} & {\\bf 0} \\\\\n{\\bf 0} & {\\bf 0} & \\epsilon_{xy} \\, {\\bf I} \n                         \\end{array} \\right] \n\\;\\;\\;\\; ,\n\\label{e.4t}\n\\end{equation}\n\\noindent\\, \nwith $\\epsilon_a < \\epsilon_b$ around $k_x = k_y = 0$. {\\color{black} At this level, the spins get mixed each others. The bands $\\epsilon_{a}$,\n$\\epsilon_{b}$, and $\\epsilon_{xy}$ are coupled further by the terms from $H_{SO}$ and $H_Z({\\bf k})$, rotated by $O$:\n\\begin{equation}\nH_0^{\\prime} + H_{SO}^{\\prime} + H^{\\prime}_Z  = \\left[ \\begin{array}{ccc}\n\\epsilon_{a} \\, {\\bf I} & {\\bf 0} &  V  \\\\\n{\\bf 0} & \\epsilon_{b} \\, {\\bf I} & W \\\\\n V^{\\dagger}  &  W^{\\dagger} & \\epsilon_{xy} \\, {\\bf I} \n                         \\end{array} \\right] \\, ,\n\\label{e.4bis}\n\\end{equation}\nwhere\n\\begin{equation}\n V ( {\\bf k})  \\equiv V = \\left[ \\begin{array}{cc}\n a( {\\bf k})  &  b( {\\bf k})   \\\\\n {} \\\\\n -  b^*( {\\bf k})   &  a( {\\bf k}) \\\\\n \\end{array} \\right] \n\\end{equation}\nis the matrix mixing the $\\epsilon_a$ and  $\\epsilon_{xy}$ bands, while $W$ is the matrix mixing $\\epsilon_{b}$ and $\\epsilon_{xy}$.\nThe precise expressions for its elements are rather involved and not immediately relevant here. No further coupling\nbetween $\\epsilon_{b}$ and $\\epsilon_{a}$ occurs from $H_{SO}$ and $H_Z({\\bf k})$. \n\n\nThe effect of $V$ and $W$ is introduced perturbatively, as above, obtaining for $\\epsilon_{a}$:\n\\begin{equation}\nH_0^{(\\mathrm{eff})}  = \\epsilon_a \\, {\\bf I} + \\frac{1}{\\epsilon_a - \\epsilon_{xy}} \\, \n\\left[ \\begin{array}{cc}\n |a( {\\bf k})|^2 + | b( {\\bf k})|^2  & - a( {\\bf k})  b( {\\bf k}) + a^*( {\\bf k})  b( {\\bf k})   \\\\\n {} \\\\\n - a^* ( {\\bf k})  b^*( {\\bf k}) + a( {\\bf k})  b^*( {\\bf k})   &  |a( {\\bf k})|^2 + | b( {\\bf k})|^2 \\\\\n \\end{array} \\right] \\,  \\, \n\\end{equation}}\n\n\nExpanding all these expressions around $k_x = k_y = 0$, we obtain approximately (and up to momentum powers bigger than 3):\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\left[ \n\\begin{array}{c}\n\\epsilon_0 ({\\bf k})  \\quad  \\quad a_3 \\, (i k_x+ k_y)  - a_4 \\, (i k_x -k_y)^3 - a_5 \\, k_x k_y (k_x + i k_y)  \\\\\n {} \\\\\na_3\\, (- i k_x+ k_y)  + a_4 \\, (i k_x + k_y)^3 - a_5 \\, k_x k_y (k_x -i k_y)   \\quad \\quad \\epsilon_0({\\bf k}) \\\\\n \\end{array} \n \\right] \\, ,\n \\label{eff0bis}\n\\end{equation}\nwith $a_3= 0.8$ meV, $a_4 = 8.627$ meV, $a_5 = 22.8$ meV and  $\\epsilon_0 ({\\bf k}) = \\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV).\nWe see that the dispersion is very close to that before the perturbative mixing. The spectrum of the effective Hamiltonian in Eq. \\eqref{eff0}, \ncompared with the exact one, is shown in Fig. \\ref{bande2}. The agreement is excellent around $k_x = k_y = 0$.\\\\\n\nAdding a Zeeman term as in Eq. \\eqref{e.9} is rather straightforward. Indeed, since the Zeeman term in the same equation has the form \n{\\color{black}$H_{M} = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot {\\bf \\sigma} $,  it is sufficient to add the term  $\\bf{M} \\cdot \\bf{\\sigma}$ } to $H_-^{(\\mathrm{eff})}$. \n\n\nThe same situation is realized for  $H_-^{(\\mathrm{eff})}$, since, as we described before Eq. \\eqref{e.4t}, the matrix $O$, mixing the $zx$ \nand $yz$ bands, is diagonal in the spin index $\\sigma$, $O = \\tilde{O}_{2 \\mathrm{x} 2} \\otimes {\\bf I}_{2 \\mathrm{x} 2}$.\nIn Fig. \\ref{bande2}, we compare the exact bands from Eq. (\\ref{e.1}) with the bands of the effective Hamiltonians in Eqs. (\\ref{eff-},\\ref{eff0}).\n\n\\begin{figure}[h!]\n\\includegraphics[scale=0.4]{bande_a1.png}\n\\caption{Comparison of the exact bands from Eq. (\\ref{e.1}) (black lines) with the bands of the effective Hamiltonians in Eqs. \\eqref{eff-} and \\eqref{eff0} (dashed lines). \n}\n\\label{bande2}\n\\end{figure}\n\n{\\color{black}\n\\section*{APPENDIX 4: Additional pairings}\n In this Appendix , we discuss additional pairings which could be considered in the system.\n\n\nIn Eq. \\eqref{hamilpair},  an  inter-site attraction between particles with opposite spins can be included, as well. Correspondingly,\nwe considered also a triplet term related to a pairing between opposite spins.\nHowever, the self-consistent solution of the superconducting phase showed that this term is always zero in the range of $U$ and $V$ that we have considered in this paper. \nActually, in the  triplet pairing  representation, this term would correspond to a vector $d_z ({\\bf k})$, which  comes out to  vanish. This is \nquite typical of two-dimensional superconductors  with in-plane spin-orbit coupling \\cite{frigeri2004,sato2010}, such as the one we consider here, while an  out-of-plane spin-orbit coupling tends to favour a nonzero $d_z$.\nThat  $d_z({\\bf k})=0$ can be  already inferred from Eq. \\eqref{eff0}. Indeed, in \\cite{frigeri2004} it has been shown that \nthe superconducting transition\ntemperature is maximized when the spin-triplet pairing vector $d({\\bf k})$ (see Eq. \\eqref{pairing}) is aligned with the polarization vector ${\\bf g}({\\bf k})$ parametrizing \nthe spin-orbit coupling \\big($H_{\\mathrm{SO}} ({\\bf k}) = {\\bf g}({\\bf k}) \\cdot {\\bf \\sigma}$\\big). For $H_0^{(\\mathrm{eff})}  ({\\bf k})$ in  Eq. \\eqref{eff0} \n(neglecting the out-of-diagonal terms with power in the momenta higher than one, subleading around ${\\bf k} = 0$), we have \n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) \\approx \\epsilon_0 ({\\bf k})  \\, {\\bf I}_{2 \\mathrm{x} 2}  + g_1 ({\\bf k}) \\, \\sigma_x + g_2 ({\\bf k}) \\, \\sigma_y \\, ,\n\\end{equation}\nwith $g_1({\\bf k}) = 0.8 \\, k_x$ and $g_2({\\bf k}) = - 0.8 \\, k_y$, and $g_3({\\bf k}) = 0$. Therefore it is expected that  $d_z({\\bf k}) = 0$.\n\nFinally, it is worth commenting on the fact that, strictly speaking, we make the ansatz in Eq. \\eqref{hamilbogo}  \nfor the unrotated  $\\tau$-bands.  However, the same ansatz can be adopted  at least for the low-density regime \nof the $\\eta_-$ and especially $\\eta_0$ bands, the latter doublet being the regime where superconductivity is postulated \\cite{gariglio2016}. \n Indeed, around ${\\bf k} = 0$, one gets (see Appendix 3 for details),\n\\begin{equation}\n\\eta_{0 , \\sigma} ({\\bf k}) = \\alpha_{(yz) , \\sigma} ({\\bf k}) \\, c_{(yz) , \\sigma} ({\\bf k}) + \\alpha_{(zx) , \\sigma} ({\\bf k}) \\, c_{(zx) , \\sigma} \\, ({\\bf k}) \\, ,\n\\end{equation} \n with $\\big( \\tau = (yz , zx)$\\big):\n\\begin{equation}\n|\\alpha_{\\tau , \\sigma} ({\\bf k} \\to 0) | = \\frac{1}{\\sqrt{2}} + O(k_x^2) + O(k_y^2) \\, .\n\\end{equation} \n Therefore, since the same mapping is also diagonal in $\\sigma$, it preserves, up to phases, the structure of the s-p pairing \n(at most linear in the momenta), at least around ${\\bf k} = 0$.  This behaviour is even strengthened for the $\\eta_-$ band, that results\nfrom the mixing around ${\\bf k} = 0$ of the $xy$ bands with the others:  in fact,\nthis mixing is suppressed by the energy gap $E_t$ in Eq. \\eqref{e.5}.\n\nIt is also worth stressing that we do not add a  spin-singlet intersite contribution. Indeed, our analysis focuses on the regime of low filling, where the occupied electronic states are close to ${\\bf k} = 0$.\nIn the small momentum limit, the spin-singlet intersite term would give rise to  extended s-wave order parameter (ruled by a sum of cosines of the momentum) which would result in just a subleading additive contribution to the standard s-wave parameter induced by on-site attractive terms. Therefore, we neglected it, adding instead the leading nonzero contribution with equal spins (that is also more relevant once one turns on a magnetic field).\n\n\n\n\\section*{APPENDIX 5: Effects of inversion-symmetry breaking term}\n\\label{APP_SPIN}\n}\n\nIn Section \\ref{MFsol} of the main text, we have found a large regime for $U$ and $V$, where triplet and singlet pairings coexist in the first dome.\nThen we inferred that this mixing, allowed by $V$, stems from the parallel\ncontributions of the spin-orbit term in Eq. \\eqref{e.7}  and of the inversion breaking one in Eq. \\eqref{e.8}. Indeed, at the effective level, \nthey result together in the Rashba-like coupling of Eq. \\eqref{eff0}, known to induce a mixing of pairings with different parity \\cite{rashba2001}.\nMore in detail, in the same regime of energies, the contribution of Eq. \\eqref{e.7} is dominant on that of Eq. \\eqref{e.8} (vanishing at ${\\bf k} = 0$), a fact can be inferred also in \nthe direct construction of Eq. \\eqref{eff0}.\n\nIt is important to investigate directly this effect of the  spin-orbit term in Eq. \\eqref{e.7} on the mixing of the pairings. For this purpose, we\nrepeat the mean field procedure performed above, switching off the same term.\nIn the resulting Fig. \\ref{SOC}, again at fixed $U = 350$ meV, $\\frac{V}{2} = 290$ meV, and $\\mu = -9$ meV, it appears clear that Eq. \\eqref{e.7}\ncollaborates to enforce the triplet pairing, correspondingly lowering the singlet component. However, this effect does not look critical, changing the \npreviously found behaviours only quantitatively.\nTherefore, the major role to the singlet-triplet mixing seems, in the analyzed regimes, to result from the $V$ term of the potential in Eq. \\eqref{hamilpair},\neven for chemical potentials close to the Lifshitz point where the first dome starts.  In turn, the $V$ term can be ascribed to the relatively \nlow charge densities at the location of the dome. For these reasons, similar results are obtained at higher chemical potentials going from the first to the second dome. \nWe ascribe the present result to the ability, described in Section \\ref{super}, of the mean-field approach to grasp the interplay between singlet and triplet components.\n\\begin{figure}[h!]\n\\includegraphics[scale=0.30]{FIG12A.pdf}\n\\includegraphics[scale=0.30]{FIG12B.pdf}\n\\caption{{\\color{black} Singlet (Left panel) and triplet (right panel) pairing amplitudes (in meV) for the $\\tau=zx$ bands, as a function of the chemical potential (in meV). \nThe attractive couplings in  Eq. \\eqref{hamilpair} are set as $U =350$ meV and $\\frac{V}{2} = 290$ meV.}}\n\\label{SOC}\n\\end{figure}\n\n\\newpage\n\n\\twocolumngrid\n\n\n\\section{Introduction}\n\nThe transition metal oxides represent a large class of materials with functional properties not only \nin the bulk but also in hetero-structures and nano-structures. In particular, the two-dimensional electron gas (2DEG)   \nat the (001) interface between $LaAlO_3$ (LAO) and $SrTiO_3$ (STO) band insulators has gained a continuously growing \ninterest in recent years, as an ideal playground to investigate the interplay between magnetism,  superconductivity, \nand spin-orbit coupling. Indeed, the 2DEG  hosts a complex phase diagram, depending on the electron density\n\\cite{Caviglia2,biscaras2}, on the temperature and {\\color{black} on the applied  magnetic field}.   \n\nIt is well known that LAO\/STO 2DEGs host an unconventional superconducting regime, achievable by tuning the applied gate voltage.  \nThe origin of the superconductivity is still not understood \\cite{Gorkov2016,Edge2015,Ruhman2016,gariglio2016,tafuri2017}, and various \nopen questions remain unsolved about  the role of quantum {\\color{black} electronic correlations} \\cite{maniv2015strong,Monteiro2019}, \n{\\color{black} of} multiband effects \\cite{Trevisan2018,Wojcik2020,zeg2020,jouan2021}, and of the spin-orbit coupling \n\\cite{Khalsa2013,Diez2015,Zhong2013,Shalom2010,Rout2017}. Moreover, the possibility of topological\nsuperconductivity is also under debate \\cite{Scheurer,Mohanta,Loder,Fukaya,settino2020,santamaria2021,tafuri2017,perroni2019}.\n\nEven more interestingly, the superconducting critical temperature, $T_c$, in the LAO\/STO 2DEG exhibits a dome-shape behavior, \nas a function of the applied gate voltage \\cite{Reyren,Rout2017,joshua2012universal,maniv2015strong,biscaras2,biscaras2010two,Caviglia2}. \nWhen the carrier density increases,  $T_c$ {\\color{black} first} increases up to a maximum value, $T_c^\\mathrm{max}$ $\\simeq$ 300 mK, at an optimal effettive doping, \nthen it starts to decrease. The resulting  phase diagram is qualitatively very similar to that of high $T_c$ cuprates,  of organic superconductors, \nof Fe-based superconductors, as well as of heavy fermions \\cite{taillefer,keimer}. \nRecently, the shape of the superconducting dome has been qualitatively explained by assuming \n{\\color{black} a  particular real-space potential, effectively attractive in suitable windows of momentum space, and resulting into an extended s-wave pairing \\cite{zeg2020}. \nMoreover, a forthcoming insightful work \n\\cite{paramekanti2020} showed that the formation of a similar dome (or even many of them, when multiband fermionic models are  considered) \nis related generically to an attractive potential with finite range.} The same work shed light on previous works, where the dome has been suggested \ninstead as an effect of the spin-orbit coupling \\cite{Shalom2010, Rout2017, Yin2019,singh2018gap}. Furthermore, an asymmetric\nresponse in shear-resistivity to an applied magnetic field (in-plane or out-of-plane) has been observed \\cite{caviglia2009}: a similar \nasymmetry can suggest a possible spatial asymmetry in the pairing. \n\nTo {\\color{black} address the open questions above, in this paper we discuss the superconductivity in \nLAO\/STO 2DEG, by making a singlet-triplet mixed ansatz for the pairing and by studying its physical consequences}.  \nThis possibility looks  pretty natural, due to the inversion symmetry breaking term of the \nheterostructure  which gives rise to an effective Rashba-like coupling, already known to favour mixed pairings \\cite{rashba2001,tafuri2017,alidoust2021}. Related notable effects are qualitative deviations of the standard BCS\/BEC crossover \\cite{pieri2019}. The same \npossibility has been corroborated quite recently, using a Monte-Carlo approach on a square lattice \\cite{rosenberg2017}: there, even a \nlocal (Hubbard) interaction proved sufficient for singlet-triplet mixing, provided that a Rashba coupling is added. Interestingly, \na singlet-triplet mixed pairing allows (but does not imply) edge excitations, protected by a nontrivial topology,  whose presence \nhas not been ruled out so far by current transport experiments. Moreover, it determines an asymmetric response to an applied magnetic field,\nqualitatively similar to that observed in  \\cite{caviglia2009}. We finally notice that, {\\color{black} while a pure triplet p-wave pairing  \nis ruled out by previous experiments which did not detect the expected nodes in the superconducting gap \\cite{hwang2018,sumita2020}, \ninstead  a singlet-triplet mixed pairing would not contradict the experimental results.}\n\nIn {\\color{black} this paper, we employ}  a tight-binding model including the low-energy electronic structure of {\\color{black} the LAO\/STO 2DEG} \nwith the ${d_{xy},d_{xz},d_{yz}}$  orbitals of the Ti atoms \\cite{popovic,delugas,scopigno,salluzzo,Khalsa2013}. Various papers have pointed out the close relation between \n{\\color{black} the onset of the} superconductivity\nand the filling of the degenerate $d_{xz\/yz}$ sub-bands, at an high density of states \\cite{valentinis,singh}.\nThen, we adopt an attractive static potential, with both local and nearest-neighbour terms, able to host all the pairing  configurations mentioned above. \nIn addition, we include  the atomic  spin-orbit and the inversion asymmetric potential associated with the orbital Rashba interaction. Finally,\nwe consider a magnetic field as a source of time reversal symmetry breaking.  To achieve our results, we perform a detailed analysis \nof the most favorable topological superconducting phases. This analysis is based on self-consistent computations of the order parameters,\nminimizing the mean-field free energy in the Hamiltonian parameters space, set by the electron filling, by the attraction strengths, \nand by the amplitude and orientation of the magnetic field. \n\nWe point out  how the interplay of singlet and triplet pairings is able to affect the superconducting properties of LAO\/STO 2DEGs. \nFirst,  we show that  the singlet order parameters are strongly reduced with increasing the role of triplet pairings,  thus acquiring a non-monotonic dependence \non the charge density.\nInterestingly, some notable effects are found related with not-linear corrections to the effective Rashba spin-orbit coupling.\nFor instance, in the absence of magnetic fields, the not-linear spin-orbit terms, combined with the triplet pairings, \nfavor a quite stable (time-reversal invariant) topological helical superconducting phase.\n The triplet pairings are also responsible\nfor an anisotropic behavior of the superconducting order parameters, when the magnetic field is applied in-plane and out-of-plane. \nFinally, in the presence of out-of-plane magnetic fields, we recover (time-reversal breaking) chiral topological superconducting phases,\nalso when the triplet pairings are vanishing.\n\nThe paper is organized as follows:\n \n\nIn Section \\ref{normalstate}, we report the main electronic properties of the normal state.\n \nIn Section \\ref{super}, we discuss the general set-up of the mean-analysis of superconductivity. \n \nIn Section \\ref{MFsol}, we analyze the superconducting solutions at zero magnetic field.\n \nIn Section \\ref{supermagnetic},  {\\color{black} we analyze} the effects of a magnetic field. \n \nFinally, we devote Section \\ref{conclusion} to our conclusions and outlook.\n\n\n\n\\section{Normal state}\n\\label{normalstate}\n\n\\subsection{Model Hamiltonian}\n\n\\label{modham}\nFollowing the derivation of \nRef. [\\onlinecite{perroni2019}], we write down  the general tight-binding Hamiltonian for the two-dimensional LAO\/STO-001 system by \nconsidering  the 2DEG  effectively confined on a square with lattice step $a = 3.9 \\, \\AA \\equiv 1$.\nThe system has also a broken out-of-plane inversion symmetry, having only the $t_{2g}$-orbitals close to the Fermi level.\nIn LAO\/STO systems, the transition metal (TM)-oxygen bond angle is almost ideal, and the three $t_{2g}$-bands are mainly decoupled in the momentum space ${\\bf k}$. \n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG1A_NEW_FIN.pdf}\n\\includegraphics[scale=0.28]{FIG1B_NEW_FIN.pdf}\n\\includegraphics[scale=0.28]{FIG1C_NEW_FIN.pdf}\n\\caption{Plot of $\\epsilon_{yz}{\\color{black} ( {\\bf k} )}$, $\\epsilon_{zx}{\\color{black} ( {\\bf k} )}$, and $\\epsilon_{xy}{\\color{black} ( {\\bf k} )}$ (left panel, in meV), and of the mixed bands\n$\\epsilon_{-,0,+}{\\color{black} ( {\\bf k} )}$ (middle and right panels), in the absence of magnetic field, for $k_y = 0$, and as functions of \n$k_x$ {\\color{black} (still around $k_x = 0$, then for $\\nu \\to 0$). In the middle panel, around $k_x \\approx 0.35$, we\nhave avoided crossings, due to the role of the atomic spin-orbit coupling and the breaking inversion symmetry term.}}\n\\label{bande}\n\\end{figure*}\n\nMoreover, the $d_{xy}$ band has a truly two-dimensional character, while the $d_{yz}$ and $d_{zx}$ bands are quasi one-dimensional.\nIn the following, we denote  with $H_0 ( {\\bf k} )$ the corresponding normal-state contribution to \nthe total system Hamiltonian in momentum space. Moreover, herewith we use the index $\\tau = \\{yz , zx, xy\\}$ \n to refer to the three different $t_{2g}$ orbitals $d_{yz}$, $d_{zx}$, and $d_{xy}$, respectively, while we label the spin with  $\\sigma  =\n\\{ \\uparrow , \\downarrow \\}$.  In addition, we add a term $H_{SO}$ to the total Hamiltonian, accounting for  the atomic spin-orbit coupling of the TM ions. \nFinally,  we include the \nmicroscopic couplings arising from the out-of-plane oxygen displacements around the TM, with the inversion asymmetry giving rise to an \neffective hybridization of $d_{xy}$ and $d_{yz}$ or $d_{zx}$-orbitals along the $y$ or $x$ directions, respectively. We denote this contribution  \nas $H_Z ( {\\bf k} )$.\n\n\nIn momentum space, we set \n\\begin{equation}\n{\\cal H} = \\hat{D}^\\dagger ( {\\bf k} ) H ( {\\bf k} ) \\hat{D} ( {\\bf k} )\n\\:\\: ,\n\\label{e.1}\n\\end{equation}\n\\noindent\nwith $\\hat{D} ( {\\bf k} )$ labelling the vector\n\\begin{equation}\n[ c_{yz , \\uparrow}  ( {\\bf k} ), c_{yz , \\downarrow}  ( {\\bf k} ), c_{zx , \\uparrow}  ( {\\bf k} ), \nc_{zx,  \\downarrow}  ( {\\bf k} ), c_{xy , \\uparrow}  ( {\\bf k} ), c_{xy , \\downarrow} ( {\\bf k} ) ]_t \\: , \n\\label{e.2}\n\\end{equation}\n(note the different grouping of the operators corresponding to the various orbitals with respect to \\cite{perroni2019}), and \n\\begin{equation}\nH ( {\\bf k} ) = \\sum_{\\tau} H_{\\tau} ( {\\bf k} ) = H_0 ( {\\bf k} ) + H_{\\rm SO} + H_Z ( {\\bf k} ) + H_M \n\\:\\:\\:\\:.\n\\label{e.3}\n\\end{equation}\n\n\\noindent\nThe various terms at the right-hand side of Eq. (\\ref{e.3}) are grouped as follows.\nThe first term $H_0 ( {\\bf k} )$ is the lattice band term\n\\begin{equation}\nH_0  ( {\\bf k} )  = \\left[ \\begin{array}{ccc}\n\\epsilon_{yz}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} & {\\bf 0 } \\\\\n{\\bf 0} & \\epsilon_{zx}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} \\\\\n{\\bf 0} & {\\bf 0} & \\epsilon_{xy}  {\\color{black} ( {\\bf k} )} {\\bf I}_{2 \\mathrm{x} 2} \n                         \\end{array} \\right] \\; ,                          \n\\label{e.4}\n\\end{equation}\n\\noindent\nwith \n\\begin{eqnarray}\n \\epsilon_{yz}{\\color{black} ( {\\bf k} )} &=& 2 t_{1y} [ 1 - \\cos ( k_y ) ] + 2 t_{2x} [ 1 - \\cos  ( k_x ) ] \\nonumber \\\\\n \\epsilon_{zx}{\\color{black} ( {\\bf k} )} &=&  2 t_{1x} [ 1 - \\cos ( k_x ) ] + 2 t_{2y} [ 1 - \\cos  ( k_y) ] \\nonumber \\\\\n \\epsilon_{xy}{\\color{black} ( {\\bf k} )} &=& 4 t_1 - 2 t_{1x} \\cos ( k_x ) - 2 t_{1y} \\cos ( k_y ) +  E_t \\, ,\n \\label{e.5}\n\\end{eqnarray}\n\\noindent\nand the parameters set so that \n\\begin{eqnarray}\n && t_{1x} = t_{1y} \\equiv t_1 = 300 \\: {\\rm meV} \\nonumber \\\\\n && t_{2x} = t_{2y} \\equiv t_2 = 20 \\: {\\rm meV} \\nonumber \\\\\n && E_t = -50 \\: {\\rm meV} \\, .\n \\label{e.6}\n\\end{eqnarray}\n\\noindent\n\nThe second term in Eq.(\\ref{e.3}) is the atomic $l-s$ spin-orbit coupling term,\ngiven by \n\\begin{equation}\nH_{\\rm SO}=w_{{\\rm SO}} \\, \\hat{{\\bf l}}  \\otimes {\\bf \\sigma},    \n\\end{equation}\nwith $\\hat{{\\bf l}}$ the vector operator describing the orbital angular momentum and ${\\bf \\sigma}$ (the Pauli matrices)\nthe spin angular momentum. In order to make the spin-orbit term explicit, we introduce the matrices $\\Hat{l}_{x}$, $\\Hat{l}_{y}$ and $\\Hat{l}_{z}$, \nwhich are the projections of the $l=2$ angular momentum operator onto the $t_{2g}$ subspace, \n\\begin{align}\n\\Hat{l}_{x}&=\n\\begin{pmatrix}\n0 & 0 & 0 \\\\\n0 & 0 & i \\\\\n0 & -i & 0\n\\end{pmatrix}, \\\\\n\\Hat{l}_{y}&=\n\\begin{pmatrix}\n0 & 0 & -i \\\\\n0 & 0 & 0 \\\\\ni & 0 & 0\n\\end{pmatrix}, \\\\\n\\Hat{l}_{z}&=\n\\begin{pmatrix}\n0 & i & 0 \\\\\n-i & 0 & 0 \\\\\n0 & 0 & 0\n\\end{pmatrix},\n\\end{align}\nassuming $\\{yz, zx, xy\\}$ as orbital basis. Using these operators,  we write the atomic spin-orbit coupling as\n\\begin{equation}\n{\\color{black}\nH_{\\rm SO} = i {\\color{black} w_{{\\rm SO}}} \\left[ \\begin{array}{ccc}\n{\\bf 0} & {\\bf \\sigma}_z & - {\\bf \\sigma}_y \\\\\n- {\\bf \\sigma}_z & {\\bf 0 } & {\\bf \\sigma}_x \\\\\n{\\bf \\sigma}_y & - {\\bf \\sigma}_x & {\\bf 0} \n                    \\end{array} \\right]\n}\n\\:\\:\\:\\: , \n\\label{e.7}\n\\end{equation}\n\\noindent\nwith ${\\color{black} w_{\\rm SO}} = 10 \\: {\\rm meV}$. \n\nThe third term in Eq. (\\ref{e.3}) is the inversion symmetry breaking term $H_Z ( {\\bf k} )$, given by\n{\\color{black}\n\\begin{equation}\nH_{Z} ( {\\bf k} )\n=\\gamma \\left[ \\Hat{l}_y \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\sin{k_x}-\\Hat{l}_x \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\sin{k_y} \\right],  \n\\end{equation}\n}\nor equivalently\n\\begin{equation}\nH_Z ( {\\bf k} ) = i \\gamma \\left[ \\begin{array}{ccc}\n{\\bf 0} & {\\bf 0} & - \\sin ( k_x ) {\\bf I}_{2 \\mathrm{x} 2} \\\\\n{\\bf 0} & {\\bf 0} & - \\sin ( k_y ) {\\bf I}_{2 \\mathrm{x} 2} \\\\\n\\sin ( k_x ) {\\bf I}_{2 \\mathrm{x} 2} & \\sin (k_y ) {\\bf I}_{2 \\mathrm{x} 2} & {\\bf 0} \n                                  \\end{array} \\right]                              \n\\;\\;\\;\\; , \n\\label{e.8}\n\\end{equation}\n\\noindent\nwith $\\gamma = 20 \\: {\\rm meV}$. {\\color{black} This important term stems from the breakdown of a reflection\nsymmetry along a particular axis of the LAO\/STO compounds, due to a corresponding lattice distortion. The net effect is the mixing\nof the different orbitals $yz$, $zx$, and $xy$, having different parity under the mentioned reflection symmetry. More details are in \\cite{perroni2019}. \nFurthermore, the effects of the coupling $\\gamma$ on the stability of singlet and triplet superconducting order parameters will be discussed in Appendix 5}.\n\nThe last term in Eq. \\eqref{e.3} describes the coupling of the electron spin and orbital moments {\\color{black} with} \nan external magnetic field {\\bf B}, whose direction is given by the vector \n${\\bf M} =- \\mu_B {\\bf B}\/ \\hbar$, with $\\mu_B$ Bohr magneton: \n{\\color{black}\n\\begin{equation}\nH_M \n=  g_s \\, {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot \\frac{{\\bf \\sigma}}{2} +   {\\bf M} \\cdot {\\bf \\l}  \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\, ,\n\\label{e.9}\n\\end{equation}\n\u00a0which   includes  the gyromagnetic factor $g_s$ assumed equal to 2.  \n}\nIn the absence of  this term, the total Hamiltonian is time-reversal invariant:\n\\begin{equation}\n H ( {\\bf k} ) = U_T^{-1}  H^* (- {\\bf k} ) U_T \\, , \\quad  \\quad \\quad U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \n \\label{defUT}\n\\end{equation}\n ($\\sigma_y$ acting on the spin index $\\sigma$, ${\\bf I}_{3 \\mathrm{x} 3}$ on the $\\tau$ index, and $U_T \\,  U_T^* =- {\\bf I}_{3 \\mathrm{x} 3}$), \n as it can be straightforwardly  checked by expressing $H ( {\\bf k} )$ in terms e. g. of Gell-Mann matrices  (see Appendix 1).\nTherefore, in the absence of superconductive pairing, $ H ( {\\bf k} )$ belongs to the class AII of the classification for topological \ninsulators and superconductors, see e.g. \\cite{ludwig2009, ryu2016, Bernevigbook}. \n\nIn the following part of the Section, \nwe will analyze the bands in the normal state in the absence of the external magnetic field. The external field weakly\naffects the electronic structure of the normal state, but its role will be relevant in the analysis of the superconducting\nphases since the low energy induced by the field competes with those due to the superconducting pairings.  \n\n\n\\subsection{Band structure}\n\nIn  the left panel of Fig. \\ref{bande} we show the \"bare\"   $ \\tau$ bands, which we  derived by setting to zero\nboth  the spin-orbit coupling and the inversion symmetry breaking term. \nWe notice that the  lowest band is {\\color{black} the $xy$ one,} separated by the energy $|E_t|$ from the \n$yz$ and $zx$ bands, which are degenerate at $k_x=0$. In the same figure, \nwe plot the bands, as a function of $k_x$, at $k_y=0$. We identify the almost flat band with the   $yz$ one \nand we also note that the dispersion of the $zx$ band is negligible as a function of $k_y$ and at fixed $k_x$.  \n\nIntroducing the spin-orbit coupling and the inversion symmetry breaking term, the  $\\tau$-bands  are mixed together by the rotation matrix \n$M(\\bf{k})$ that diagonalizes $H(\\bf{k})$. Therefore, the orbital character is mixed, giving rise to a more complex spectrum \\cite{perroni2019}   and to new,\n``mixed'' bands, which in the following we label with the indices $\\eta_{\\{ -, 0, + \\}}$.\n In fact, we see that the spin-orbit coupling and the inversion symmetry breaking \nmostly affect the electronic bands at low densities. To evidence this fact,\nin the central and right panels of Fig. \\ref{bande}, we report these bands, which at finite values of the momentum exhibit avoided crossing.\nIn particular, in the right panel of Fig. \\ref{bande}, we focus on small values of the momenta. We see that \nthe $\\eta_{\\pm}$-bands\ndisplay minima at finite momenta,  which is traced back  to an emerging effective linear Rashba coupling (see Ref. [\\onlinecite{perroni2019}] and the next subsection). \nOn the other  hand, $\\eta_0$ shows a single minimum at ${\\bf k} = 0$, indicating an enhanced importance of not-linear corrections.\n\n In the following, we will carefully investigate the behavior of the $\\eta_0$-band at small values of ${\\bf k}$. \n In fact, the minima of the $\\eta_0$-band mark \n the density values  where superconductivity sets in.      \nIndeed, theoretical and experimental studies suggest the presence of superconducting phases in the range for the lattice average filling $\\nu$ approximately\nbetween the onset of the $\\eta_0$ band and that of the $\\eta_+$ band (see e.g. \\cite{gariglio2016}). \n\\begin{figure} [t]\n\\includegraphics[scale=0.37]{FIG2.pdf}\n\\caption{{\\color{black} Upper panel: density of states of the $\\tau$-bands, as a function of the single-particle energy. Lower panel: \ncarrier surface density, as a function of the chemical potential.}}\n\\label{DOS}\n\\end{figure} \n\nTherefore, we focus on the electronic properties within this density range. In the upper panel of Fig. \\ref{DOS}, we plot the density of states \n(DOS) of the $\\eta$-bands, as a function of the single-particle energy  (note that the density has the dimensions of the inverse of an energy, \nsince we  set the lattice step $a = 1$). The minima of the bands are characterized by steps in the density of states.  In the same panel, \nthe projection of the DOS on the orbital basis $xy$, $yz$, and $zx$  is also reported, such to highlight their contributions. We remark that the \nquasi-one-dimensional bands $yz$ and $zx$  provide the most relevant contribution to the density of states. Actually, within \nthis energy range, the density of states due to the $xy$ band is almost constant, after a step at much lower energy (of the order of $E_t$).  \nThis asymmetry in the density of states within this energy range will be fundamental for the interpretation of {\\color{black} \nsome superconducting properties, which are very sensitive to the magnitude of the available electronic states. Finally, \nwithin a slightly larger energy range, in the lower panel of Fig. \\ref{DOS}, we plot the carrier space density,  as a function\nof the chemical potential.} For the parameters of the tight-binding model used in this paper, the density at the minimum of \n{\\color{black} $yz$ and $zx$ bands} is about $2 \\cdot 10^{13}$ $cm^{-2}$. This value is in agreement with previous \nexperimental results \\cite{Stornaiuolo}. Moreover, we notice that, in analogy with the behavior of the \ndensity of states, as soon as the quasi-one-dimensional $yz$ and $zx$ bands start to be filled, {\\color{black} they rapidly \nbecome predominant. This occurs around zero energy, where a crossover in the densities is visible. There, the carrier\ndensity, of the order of $5 \\cdot 10^{13}$ $cm^{-2}$, results half from the $xy$ band and half from {\\color{black} the} $yz$ and $zx$ ones.}\n\n\n\n  \n\\subsection{Effective low-energy theories}\n\n\nIn order to better  spell out the following results, we now present an effective theory for the   $\\eta_-$- and $\\eta_0$-bands, around their \ncommon minima, at $k_x = k_y = 0$. To derive the corresponding Hamiltonians we exploit the second order degenerate perturbation theory. We \npresent the details of our derivation in Appendix 3. \nThe results are respectively:\n\\begin{equation}\nH_-^{(\\mathrm{eff})}  ({\\bf k}) = \\epsilon_- ({\\bf k}) \\, {\\bf I}  -  (a_1 \\, k_x + a_2 \\,  k_x^3)  \\, \\sigma_y +  (a_1 \\, k_y + a_2 \\, k_y^3)  \\, \\sigma_x \\, ,\n\\label{eff-} \n\\end{equation} \nwith $a_1 = 8$ meV (in units of the lattice step $a \\equiv 1$), $a_2 = 43.46$ meV, $ \\epsilon_- ({\\bf k}) = \\big(- 54. + 280.8 \\, (k_x^2 + k_y^2) \\big)$\nmeV (so that  $t_-^{(\\mathrm{eff})} = 280.8$ meV), and \n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\left[ \n\\begin{array}{c}\n\\epsilon_0 ({\\bf k})  \\quad  \\quad i \\, a_3 \\, k_- - i\\, a_4 \\, k_+^3 - a_5 \\, k_x k_y \\, k_+  \\\\\n {} \\\\\n-i \\, a_3 \\, k_+ + i\\, a_4 \\, k_-^3 - a_5 \\, k_x k_y \\, k_-  \\quad \\quad \\epsilon_0({\\bf k}) \\\\\n \\end{array} \n \\right] \\, ,\n \\label{eff0}\n\\end{equation}\nwith $k_{\\pm} = k_x \\pm i k_y$, $a_3= 0.8$ meV, $a_4 = 8.627$ meV, $a_5 = 22.8$ meV and  $\\epsilon_0 ({\\bf k}) = \n\\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV).\n\nWe notice that, around the minima of the $\\eta$ bands, $k_x= k_y = 0$, an effective linear Rashba-like spin-orbit \ncoupling appears in both the effective Hamiltonians, together with a not-linear spin-orbit term.  This second term\nis especially relevant for the first dome  on the $\\eta_0$ band,  already at vanishing filling, as the central and right panels of  Fig. \\ref{bande} suggest. \nIt is known \\cite{rashba2001} that  the linear coupling,  breaking space inversion symmetry (as $H_Z ( {\\bf k} )$ \nit derives from), favours triplet components for superconducting \npairings, inducing single-triplet mixings, see  e. g. \\cite{annett, brydon2015}.\nInstead, not-linear spin-orbit terms have been postulated to induce observable modifications on the spin\npolarization in inversion symmetric (001) $SrTiO_3$ \ncompounds \\cite{nakamura2012} and for Josephson junctions \\cite{alidoust2021}. Other notable effects will be described in the following. \n\nIn Fig. \\ref{bande2} of Appendix 3, we perform a  direct comparison of $H_-^{(\\mathrm{eff}) ({\\bf k})}$ and $H_0^{(\\mathrm{eff})}({\\bf k})$\nwith the exact spectrum of $H({\\bf k})$ in Eq. \\eqref{e.1}. We see that  \n the agreement is excellent up to $k_{x , y} \\approx 0.2$. This value must be compared with the typical momenta where the $\\eta_+$ \n band starts to be populated, around $k_{x , y} = 0.4$. \n The corresponding filling is estimated to be approximately the end of the superconductive dome \\cite{gariglio2016}. \n Therefore, we expect $H_0^{(\\mathrm{eff})}({\\bf k})$ to \n describe approximately a low-density half of the first dome.\nImportantly, $H_-^{(\\mathrm{eff})} ({\\bf k})$ and $H_0^{(\\mathrm{eff})}({\\bf k})$, that are a central result in \nthe present work, still act on the $\\sigma = \\{ \\uparrow , \\downarrow \\}$ \nindices, that are not mixed each others along the perturbation theory procedure.\n\n\n\n\n\\section{Mean-field analysis of superconductivity: general set-up}\n\\label{super}\n\nIn this Section we analyze the possible presence of superconducting phases, within the same energy and density ranges, \n and focusing in particular on the interplay of singlet and triplet pairings.\n\n\n\\subsection{{\\color{black} Setting up the effective interaction Hamiltonian}}\n\\label{supmulti}\n\n\nIn order to induce superconductivity in the 2DEG, in the following we {\\color{black} consider a pertinent,  nearly realistic, attractive electronic \ninteraction, together with its effects on  the bands of $H({\\bf k})$. In particular, in the absence of more specific coupling mechanism related to, \ne.g., antiferromagnetic correlations, we  rely on the ``natural''   mechanism, \nbased on phonon exchange plus screened Coulomb repulsion}. While the phonon attraction is expected to be\nindependent of the orbital index $\\tau$, the Coulomb repulsion is expected  to be more important within the same orbital, \ndue to the larger overlaps between the electronic wavefunctions.  Therefore, in the low density regime analyzed in this paper, \n{\\color{black} we choose the}  realistic attractive potential given by:\n\\begin{equation}\nW =  -  \\sum_{i,   j ,  \\tau, \\sigma , \\sigma^{\\prime}}   U_{i,j} \\, n_{i \\tau  \\sigma}  \\, n_{j \\tau \\sigma^{\\prime}} \n-  \\sum_{i,j, \\tau , \\tau^{\\prime} \\neq \\tau ,  \\sigma , \\sigma^{\\prime}}  Z_{i,j}\\, n_{i \\tau \\sigma}  \\, n_{j  \\tau^{\\prime} \\sigma^{\\prime} }  \\, ,\n \\label{potgen}\n\\end{equation}\nwith {\\color{black} the decay of $U_{i,j}$ and $Z_{i,j}$,  with the separation $i-j$, ruled by two} different lengths $\\xi_U$ and $\\xi_V$. \nThe same lengths depend on the electronic density $\\rho_e$, that is, {\\color{black} \non  the lattice average filling $\\nu$, and are expected to be of the order of a}\n few lattice steps. Moreover, {\\color{black} we assume a static potential, consistently with the low charge density in the regime of Fermi energies  that we are considering.}\nActually, the dynamic part of the potential from the phonon exchange can be extrapolated to the  low-energy limit, therefore the effective attractive potential at the Fermi energy can be assumes as static \\cite{mazin2011,cataudella2021}.\n\n\nThe bands  $\\tau$, $\\tau^{\\prime}$ are mixed together by the rotation matrix $M(\\bf{k})$ that diagonalizes $H(\\bf{k})$; {\\color{black} $M(\\bf{k})$ \naccordingly affects  the potential $W$ in Eq. \\eqref{potgen}, as well.}\nIt is difficult to {\\color{black} deal with the transformed potential}, since  $M(\\bf{k})$ depends on $\\bf{k}$ \nand the Fourier transform of $W$ contains 4 momenta $\\bf{k}_i$, $i = 1, \\dots, 4$.\n\nTherefore, in this paper  we analyze the effects, especially on the topology, \nof the full potential $W$, focusing on its first term, diagonal on the orbital index $\\tau$.  This choice \nis motivated by the energy gap between the $\\eta_-$ and $\\eta_0$ bands around ${\\bf k} = 0$, \nwhere the  superconductive dome is located \\cite{gariglio2016},\nbeing  approximately $\\delta E_{\\eta} = 43$ meV. This gap is an obstruction for the zero-momentum pairings between \n(unbalanced species in) the bands, and forbids them from attractions such that the superconductive gap, calculated at vanishing unbalance, \nis under a threshold around $\\delta E_{\\eta}$ (see \\cite{pethick,marchetti2007,rad2007} and references therein). Furthermore, \nnonzero-momentum balanced pairings are known to require at least a subtle fine-tuning between interaction and density \\cite{pethick,marchetti2007,rad2007,pieri2019}. \n\n\nWithin the tight-binding model, we focus on the on-site and the nearest neighbor contribution of the attractive potential {\\color{black} between   \nelectrons in states  with} the same orbital symmetry. The local interaction  necessarily couples {\\color{black} electrons with} opposite spins favoring spin-singlet symmetry. \nOn the other hand, we assume that the term due to the nearest neighbors takes into account the equal spin contribution controlling \nthe spin-triplet instability.\nHence, {\\color{black} we simplify  $W$ according to}\n\\begin{equation}\nW = -U \\sum_{i,\\tau}   n_{i \\tau \\uparrow} \\, n_{ i \\tau \\downarrow} \n- \\frac{V}{2}  \\sum_{i \\delta \\tau \\sigma}  n_{i \\tau \\sigma} \\, n_{ i+\\delta \\tau  \\sigma} \n\\label{hamilpair}\n\\end{equation} \nwhere  $i$ and $j$ label two dimensional vectors associated to the lattice sites,  $U$ and $V$ are\nthe local and nearest neighbor pairing energy, respectively, and $n_{i \\tau \\sigma} =c_{i \\tau \\sigma}^{\\dagger} c_{i \\tau \\sigma}$\nis the local density operator for the $\\sigma$ spin polarization and the $\\tau$ orbital, at a given position $i$, whose nearest neighbor sites are indicated by $\\delta$. {\\color{black} In Appendix 4, we discuss additional attractive terms which have not been introduced in Eq. (\\ref{hamilpair}).}\n\n\n\n{\\color{black} As specified in the subsection title, we have\nconsidered in Eq. \\eqref{hamilpair} an effective interaction, in particular an \nattractive local Hubbard term. We note that in \\cite{breit2010} a local repulsive Hubbard term, around 2 eV, has been predicted from  tunneling spectroscopy. In fact, this value of U is not large, but it is comparable with the electron bandwidth. Furthermore, in LAO\/STO systems analyzed in this paper, the typical densities per spin polarization are low compared to, e.g. ,  the half-filling regime. Accordingly,  the net contribution to the total energy  from Hubbard interaction is limited. Moreover, it is known that, in these density regimes, the effects from polaron dynamics are relevant on the electronic states \\cite{cancellieri2016,cataudella2021} giving rise to a net lowering of the  Hubbard interaction for the 2D quantum gas. Finally, our effective model for the local interaction has been widely used in the literature, for example \\cite{Mohanta,Loder,Fukaya,perroni2019,settino2020} quoted in the introduction. }\n\n\nIn the following, we will  check that {\\color{black} $W$ in Eq. \\eqref{hamilpair}  qualitatively reproduces}  the most \ninteresting features of superconductivity in LAO\/STO compounds \\cite{gariglio2016}, {\\color{black} with the values of $U$ and $V$, yielding \n  the superconducting behavior discussed in this paper always, being} of the order of hundreds of meV.\n\n\\subsection{Mean field analysis}\n\nWe now analyze,  within mean-field approximation, the Hamiltonian in Eq. \\eqref{e.1}, with the interaction in \nEq. \\eqref{hamilpair}, by mostly focusing onto the zero temperature case. \n\n Due to the introduction of the nearest neighbor attractive term $V$, it becomes important to \nproperly infer the profile of the superconducting order parameter in real space. \nIn the following, we do so by encompassing within our mean-field approach both the spin  and the orbital degrees of freedom.  \nIn particular, we recover the appropriate pairing {\\it ansatz} by analyzing the set of the irreducible representations of the point-group symmetry of the square lattice, by assuming \n over-all  translational invariance (we provide the details in Appendix 2).\n Moreover, in the absence of an externally-applied magnetic coupling,  we retain time-reversal invariance. \nAs a result, we obtain:\n\\begin{eqnarray}\nW & \\approx&  - U \\sum_{i,\\tau} D_{i \\tau} \\left[ c_{ i\\tau \\uparrow}^{\\dagger} c_{i \\tau,\\downarrow}^{\\dagger} + {\\color{black} \\mathrm{H. c.}} \\right] -\\nonumber \\\\\n&& - \\frac{V}{2} \\sum_{i, \\tau,\\delta, \\sigma} \\left[  F_{i \\tau \\sigma}(\\delta) c_{ i \\tau \\sigma}^{\\dagger} c_{i+\\delta \\tau \\sigma}^{\\dagger} + \n{\\color{black} \\mathrm{H. c.}} \\right] + \\nonumber \\\\\n&&+ \\, U \\sum_{i \\tau} D^2_{i \\tau} + \\frac{V}{2} \\sum_{i, \\tau, \\delta, \\sigma } |F_{i \\tau,\\sigma}(\\delta)|^2.\n\\label{hamilbogo}\n\\end{eqnarray}\nIn Eq. (\\ref{hamilbogo}), $D_{i \\tau}=\\langle c_{i \\tau \\downarrow}  \nc_{i \\tau \\uparrow}\\rangle$ {\\color{black} is} the singlet pairing amplitudes, depending on the orbital index $\\tau$, with $\\langle\\rangle$ {\\color{black} denoting}\nthe ground state average, and the {\\color{black} over-all gauge choice is made so that the} singlet order parameters {\\color{black} $ \\Delta_{i s}^{\\tau}=U \nD_{i \\tau}$} are  real. The local s-wave pairing {\\color{black} corresponds to} the most favored superconducting\ninstability \\cite{Michaeli,Nakamura,Loder1,Mohanta1}. \n{\\color{black} Finally, $F_{i \\delta \\sigma} (\\delta) = \\langle c_{i+\\delta \\tau \\sigma}  \nc_{i \\tau \\sigma}\\rangle$} are the equal spin triplet pairing complex amplitudes, depending on both $\\tau$ and $\\sigma$. \nDue to the space inversion symmetry of the  square lattice, $F_{i \\tau \\sigma}(\\delta)=F_{i \\tau \\sigma}(-\\delta)$, and the triplet amplitudes along the $y$-axis have \nonly a phase different from those along the $x$-axis: $F_{i \\tau \\sigma}(\\delta_y)=\\theta^{\\sigma} F_{i \\tau \\sigma}(\\delta_x)$, \nwith $F_{i \\tau \\sigma}(\\delta_x)=F_{i \\tau \\sigma}$ fixed real. \n{\\color{black} In Appendix 4, we discuss additional pairings which could be considered in the system.}\n\n{\\color{black}\nWe point out that our ansatz for the superconducting mean field is diagonal in bare bands $\\epsilon_i$, therefore inter-orbital pairing between the rotated bands $\\eta_i$ is present\nsince we get {\\color{black}  the corresponding gap parameters}  via a self-consistent procedure,\nminimizing the (free) energy of the system, where \nthe mixing between the $\\epsilon_i$ bands is included.\nThe statement is reinforced by the fact that, in the absence of inversion symmetry breaking term $\\gamma$,  the structure of the\ngaps is changed. Indeed, as discussed in Appendix 5, the coupling $\\gamma$ is relevant to control the interplay between singlet and triplet order parameters. }\n\n\n At the mean-field level, the triplet and the singlet-triplet mixed pairing  are  separately \ndetermined  by the nearest neighbour part of the potential in Eq. \\eqref{hamilpair}, \nand by the spin-orbit (Rashba-like and not-linear) terms in Eqs. \\eqref{eff-} and \\eqref{eff0} \\cite{rashba2001},  and their onset is  clearly enforced \nby  the  combined effect of the two terms. However,\nin the absence of the $V$ term  in Eq. \\eqref{hamilpair}\n(therefore with only an Hubbard attraction), mean-field decoupling does not yield triplet components \n{\\color{black} (indeed, recover these terms requires resorting to alternative approaches, such }as Monte-Carlo simulations, see e.g. \\cite{rosenberg2017}).  \nTherefore, we expect that  the mean-field  approach  overestimates the singlet components, \nwhile the {\\color{black} emergence} of triplet components appears even more substantiated.\n\n\nIn momentum space,  we describe the set of pairing configurations in Eq. \\eqref{hamilbogo} \nwithin the general matrix parametrization \\cite{annett}\n\\begin{equation}\n\\Delta^{\\tau} ({\\bf k}) =   \\left(\\begin{array}{c} c_{\\uparrow}  ({\\bf k}) \\\\ c_{\\downarrow}  ({\\bf k}) \\end{array} \\right)^{\\dagger}  \\, \\tilde{\\Delta}^{\\tau} ({\\bf k}) \\, \n\\left(\\begin{array}{c} c_{\\uparrow}  (-{\\bf k}) \\\\ c _{\\downarrow}  (-{\\bf k}) \\end{array} \\right)^* \\,  ,\n\\label{pairing0}\n\\end{equation}\nwith\n\\begin{equation}\n\\tilde{\\Delta}^{\\tau} ({\\bf k}) =  i \\,  \\Big(\\Delta_{s}^{\\tau} ({\\bf k}) \\, {\\bf I}_{2 \\mathrm{x} 2} + {\\bf d}^{\\tau} ({\\bf k}) \\cdot {\\bf \\sigma} \\Big) \\, \\sigma_y \\, .\n\\label{pairingmat}\n\\end{equation}\nIn particular, Eq. \\eqref{pairingmat} can be rewritten in components as (see {\\color{black} Appendix 1 for more details}): \n\\begin{align}\n\\label{pairing}\n\\color{black}\n&\\Big(\\Delta_{s}^{\\tau} \\, , \\, \\Delta_{t , \\uparrow \\downarrow}^{\\tau}  \\Big[ \\alpha \\, (s_x + i \\, s_y) + \\beta\\,  (s_x - i \\, s_y) \\Big] \\,  ,  \\nonumber \\\\\n{}  \\\\\n&  \\Delta_{t , \\uparrow}^{\\tau} (s_x + i \\, s_y)  \\, , \\, \\Delta_{t , \\downarrow}^{\\tau}\\, (s_x - i \\, s_y) \\Big) \\, , \\nonumber\n\\end{align}\nwith $\\Delta_{t , \\sigma}^{\\tau} = -  i V F_{\\tau \\sigma}$ {\\color{black} and $s_{\\{x,y\\}} \\equiv \\sin k_{\\{x,y\\}}$. Since no interaction term $\\propto V$ between {\\color{black}\u00a0electrons with } opposite spins\nis present in Eq. \\eqref{hamilpair}, then $\\Delta_{t , \\uparrow \\downarrow}^{\\tau} = 0$ in Eq. \\eqref{pairing}.}\n\n{\\color{black} In principle, all  the parameters in Eq. \\eqref{pairing} may have nonzero} phases. However, \ntime-reversal invariance, with the same $U_T$ for the positive-energy sector as in Eq. \\eqref{defUT}, \n{\\color{black} sets the phases to 0} (see \\cite{brydon2015} and Appendix 1).\nThe ansatz in Eq. \\eqref{pairing} perfectly reproduces the superconducting solutions known in the literature as $p_x+ip_y$ and $p_x-ip_y$, which are known to support topological \n helical superconductivity at zero magnetic field \\cite{qi2009,sato2017}. Moreover, from Eq. (\\ref{pairingmat}), the triplet pairing vector ${\\bf d}(\\bf{k})$ (giving the \n superconducting excitation gap, in the absence of the singlet pairing) is given by following components: \n\\begin{equation}\nd_x({\\bf k})=  2 V F_{r\\sigma} \\sin(k_y a), \\ \\ d_y({\\bf k})= - 2 V F_{r\\sigma} \\sin(k_x a),    \\label{dvector} \n\\end{equation}\nwith $d_z({\\bf k})=0$. Indeed, in \\cite{frigeri2004} it has been shown that \nthe superconducting transition\ntemperature is maximized when the spin-triplet pairing vector $d({\\bf k})$ is aligned with the polarization vector ${\\bf g}({\\bf k})$ (essentially two-dimensional) parametrizing  the spin-orbit coupling. {\\color{black} Additional details about the properties of the pairing vector  $d({\\bf k})$ will be provided  in Appendix 4.} \n\n{\\color{black} We comment finally that the possibility of helical phases \\cite{samokhin}, with Cooper pairs with nonzero momentum, has not been considered in the present work.\nSimilar phases are expected to be suppressed in the regime of small filling for the $\\eta_0$ band, where, \naround ${\\bf k} = 0$, effective Rashba terms are not linear but at least cubic in the momentum. We point out that the most interesting results discussed in the next sections focus just on this parameter regime.}\n\n\n\n\\section{Superconducting solutions at zero magnetic field}\n\\label{MFsol}\n\n In  this  Section,  we  analyze the interplay between the  triplet and the singlet \norder parameters, in the absence  of an external magnetic field. \n\n\\subsection{Emergence and stability of the superconducting solution}\n\nTo assess the presence and {\\color{black} the} stability of the superconducting states, we solve the self-consistent equations by using a variational method. \nSpecifically,  we study variationally the zero-temperature mean-field grand-canonical free-energy $\\Omega$ determined by the pairing in Eq. \\eqref{pairing}  plus \n the single-particle Hamiltonian in Eq. \\eqref{e.1}. In particular, we\n numerically  minimize $\\Omega$, \nvarying $D_{i \\tau}$, $F_{i \\tau \\sigma}$.  In the minimization procedure, we vary the superconductive amplitudes, the \ninteraction strength $U$ in Eq. \\eqref{hamilpair} in the interval $\\Delta U = [0, 500]$ meV, and the \ninteraction strength $V$  in the interval $\\Delta V = [0, 1000]$ meV. We consider  a square lattice with side-length $L$, \nwith $L = [40, 240]$ {\\color{black} sites}, finding a satisfying convergence starting from $L = 120$. Furthermore, \nwe set $\\mu = E_F$, $E_F$ being the Fermi energy at a fixed $\\nu$ and, typically, between the minima of the $\\eta_0$ and $\\eta_+$ bands. \n\\begin{figure} [t]\n\\includegraphics[scale=0.295]{FIG3.pdf}\n\\includegraphics[scale=0.29]{Energy.pdf}\n\\caption{Upper panel: Phase diagram in the plane $U-V$ to distinguish the normal state (absence of superconductivity), \nsinglet, triplet and singlet+triplet (S+P) superconducting phases at the chemical potential $\\mu=-9$ meV ( close to the\nonset of intermediate electronic bands).  Lower panel: Comparison between the \ngrand-canonical free energies of the normal state, of the singlet-pairing and the triplet-singlet superconductive ground-states, \nat  $U = 350$ meV and $V = 600$ meV.}\n\\label{phasefig}\n\\end{figure}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG4A.pdf}\n\\includegraphics[scale=0.28]{FIG4B.pdf}\n\\includegraphics[scale=0.28]{FIG4C.pdf}\n\\caption{{\\color{black} Left panel: Zero temperature singlet pairing amplitudes, for $U =350$ meV and $V = 0$ meV.  \nMiddle panel: The same as in the left panel, but for $U = 350$ meV and   $\\frac{V}{2} = 300$ meV. Right panel: Zero temperature triplet pairing amplitudes, \nagain for $U = 350$ meV, $\\frac{V}{2} = 300$ meV. Notice that, in the absence of magnetic field, $\\Delta^{\\tau}_{t}=\\Delta^{\\tau}_{t,\\uparrow}=\\Delta^{\\tau}_{t,\\downarrow}$.}}\n\\label{pairingpl}\n\\end{figure*}\n\n{\\color{black} By means of our variational procedure}, \nbeyond the normal state and a singlet-pairing regime, we find a range of values for $U$ \nand $V$ where the singlet and triplet pairings coexist. {\\color{black} Instead, as pointed out in the previous subsection, no triplet \npairing between different spins is found {\\color{black} (we will comment later on on this result).}  When the  coexistence} \ntakes place, the ratio between $U$ and $V$ can be tuned such that the triplet component of the order parameter is not negligible \n{\\color{black} or even dominant} (further details and insight on the solutions described below will be given in Section \\ref{topnoB}, \nvia the analysis of the effective Hamiltonian in Eq. \\eqref{eff0}).\n\n\nFirst, we focus on the regime of values for $U$ and $V$ where only the singlet pairing is stable. {\\color{black} As shown \nin Fig. \\ref{phasefig}, this occurs for {\\color{black} $U = [300, 400] \\:{\\rm meV}$  and for $V < 600$ meV.} Superconductivity becomes stable \nonce the chemical potential $\\mu$ is set above the minimum of the rotated band $\\eta_0$, around $-54$ meV. Conversely, no pairing \nis observed for lower values of $\\mu$. As reported in Fig. \\ref{phasefig}, for $U<300$ meV, superconductivity is not found  \n(that is true at any $\\mu$).} \n \n \nIn the left panel {\\color{black}  of Fig. \\ref{pairingpl}}, corresponding to {\\color{black} $U = 350$ meV and $V=0$,} we plot the singlet order parameters,\nshowing that they are different from zero, starting from the minimum of intermediate pair of bands ($\\mu$ goes from about $-10$ meV to about $20$ meV).\n{\\color{black} The obtained starting point for superconductivity is in agreement with the appearance of a finite density of states, shown in the previous Section, and with the experimentally measured behavior of the superconducting pairing \\cite{gariglio2016,singh}.} \nWe remark that we always find ${\\color{black} \\Delta_{s}^{yz}}={\\color{black} \\Delta_{s}^{zx}}$ in the self-consistent superconducting solutions. \nMoreover, as shown in the left panel of Fig. \\ref{pairingpl}, not only ${\\color{black} \\Delta_{s}^{yz}}$, but also ${\\color{black} \\Delta_{s}^{xy}}$ is different from zero, \nstarting from the the minimum of the $\\eta_0$  band.\nDue to the difference of mass and density of states in the normal state, ${\\color{black} \\Delta_{s}^{xy}}$ is smaller than ${\\color{black} \\Delta_{s}^{yz}}$. \n{\\color{black} We also point out that, increasing the carrier density, the order parameters \n get enhanced continuously: apparently, there is no dome, as a function of the density. {\\color{black} This finding matches the general \n result in \\cite{paramekanti2020}, relating the presence of superconducting  domes with finite-range potentials.}}    \n\nThen, we consider the effect of a {\\color{black} nonzero attractive term $ \\propto V$.}  \nAs reported in Fig. \\ref{phasefig},\nfor $V \\gg U$, the triplet is the dominant pairing, while the singlet pairing tends to vanish. However,  Fig. \\ref{phasefig} \nshows  an intermediate regime, from values of $V$ slightly smaller than $2U$, where  the order parameters coexist. \nIn the middle panel of Fig. \\ref{pairingpl}, we plot the singlet order parameters for the different orbitals in the same regime, \nas a function of the chemical potential.  At finite $V$, the appearance of a triplet pairing  parallels a reduction of the s-wave order parameters.\nIn particular, the smallest one, $ \\Delta_{s}^{xy}$ assumes values in agreement with experimental estimates, around $0.1$ meV. Therefore, there \nis a destructive interference between singlet and triplet amplitude pairings. Moreover, this interplay is also able to induce a dome, as a function of \nthe density, {\\color{black} beginning from the place where the density of states of the normal phase shows} a step. \nWe notice that a similar behavior takes place at higher densities, corresponding to the minimum  of the band $\\eta_+$, where \nthe density of states has another step. Therefore, our theoretical calculation predicts that, beyond the over-doped regime of the first dome,  \ncorresponding to the band $\\eta_0$, there is a possibility of a second dome with similar extent, related to the higher energy band $\\eta_+$. \n{\\color{black}\nWe observe finally the presence of a regime where $U \\neq 0$ and $V \\neq 0$ but the normal state is favoured. \nThis effect is due to a low  density of states in the analyzed range of chemical potential, much lower (at least two orders of magnitude) than in a standard metal.\n{\\color{black} To rule out the possibility that this would be due to finite-size effects, in our calculation, we analyzed $L \\times L$ square lattices up to $L = 160$, checking numerical convergence of the superconductive gap parameters.}\nAlso a MF analysis on the $\\eta_-$ and $\\eta_0$ bands, starting from the effective theory in Eq. \\eqref{eff0}, led to the same conclusion.  \n}\n\\begin{figure} [h!]\n\\includegraphics[scale=0.3]{FIG6A_NEW.pdf}\n\\includegraphics[scale=0.3]{FIG6B_NEW.pdf}\n\\caption{Upper Panel: Relative critical temperature for singlet order parameters, at $U = 350$ meV, $\\frac{V}{2} = 600$ meV, and $\\mu$ varying, starting from the bottom of $\\eta_0$ as calculate in this paper.\nLower Panel: Relative critical temperature taken from Ref. \\cite{Stornaiuolo}}\n\\label{temp}\n\\end{figure}\n\nFinally, in the right panel of Fig. \\ref{pairingpl}, we plot \nthe {\\color{black} $\\uparrow$ triplet amplitudes for the orbital $\\tau$, again at $U = 350$ meV and $\\frac{V}{2} = 300$ meV. \nIn analogy with the singlet pairing, we always find $\\Delta_{t , \\sigma}^{yz}=\\Delta_{t , \\sigma}^{zx}$}, therefore the orbital $yz$ and $zx$ are  strongly\n coupled also in the triplet channel. {\\color{black}  Moreover, since  there is no applied magnetic field,  \n $\\Delta_{t, \\uparrow}^{\\tau}=\\Delta_{t, \\downarrow}^{\\tau}$}. We notice that the triplet pairings always increase as a function \n of the density,  then the reduction of the singlet pairing is compensated by an enhancement of the triplet channel, for all the values of the chemical potentials. \n\\begin{figure} [t]\n\\includegraphics[scale=0.27]{FIG5A.pdf}\n\\includegraphics[scale=0.27]{FIG5B.pdf}\n\\includegraphics[scale=0.27]{FIG5C.pdf}\n\\caption{{\\color{black} Upper panel: Bogoliubov-de Gennes spectra at $\\mu=-9$ meV, for $U = V = 0$ meV. Central panel: The same as \nin the upper panel, but for $U = 350$ meV, $V = 0$ meV. Lower panel: The same as in th upper panel, but for $U = 350$ meV \nand  $\\frac{V}{2} = 300$ meV.}}\n\\label{contour}\n\\end{figure}\n\n{\\color{black} In the lower panel of Fig. (\\ref{phasefig}), we perform a comparison between the grand-canonical \nfree energies of the normal state, of the singlet-pairing and the triplet-singlet superconductive ground-states, \nat  $U = 350$ meV and $V = 600$ meV. We point out that  the grand-canonical potential can be lowered in a significant\nway if the triplet component is included in the energy balance.}\n\n{\\color{black}\nIn Fig. \\ref{temp} (upper panel), we plot the relative critical temperature for the singlet order parameters, obtained by employing the mean-field approach, and by varying the particle density and by setting  $U = 350$ meV and $\\frac{V}{2} = 300$ meV. Moreover, the range for the single-particle energy to \nstarts from the bottom of the $\\eta_0$ band.  We recover a dome-shaped plot, with the maximum critical temperature  \n$T_c^{\\mathrm{max}} \\simeq 1$ K.  At this critical temperature, the triplet order parameters are reduced, in comparison to their \nvalue at zero temperature, however they are not necessarily zero. }\n\n{\\color{black}\nMore in detail, we locate the beginning the first dome at energy $E = \\mu  = -10$ meV and electronic density $n = 2.14 \\cdot 10^{13}$ $\\mathrm{cm}^-2$, \nthe maximum of $T_c$ at E = - 7 meV and $n = 2.6 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$, and finally\nthe end of the first dome at E = -2.5 meV and  $n = 3.3 \\cdot10^{13}$ $\\mathrm{cm}^{-2}$. These values \ncan be compared e.g. with experimental data in \\cite{Stornaiuolo}, summed up in the lower panel of Fig. \\ref{temp}. There the same dome is measured\nbetween $n = 1.8 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$ and  $n = 3.1 \\cdot 10^{13}$ $\\mathrm{cm}^{-2}$,\nthe top of the dome being around $n = 2.4 \\cdot 10^{13}$ $\\mathrm{cm}^-2$.  \nTherefore,   we find a  reasonable agreement between theory and experiment. \nWe remark that experimental data \\cite{joshua2012universal,Stornaiuolo} have identified  a critical value $n_c$ of the density of the order of $1.8-1.9$ $10^{13}$ $\\mathrm{cm}^{-2}$, which characterizes  the underdoped superconducting regime.  \nActually, in comparison with experimental results, as reported in Fig. \\ref{temp}, the theoretical data show only a slight shift of the entire phase diagram. In our approach, this effect depends only on the energy $E_t$ which measures the energy distance between the band $xy$ and $yz$ in Hamiltonian \\ref{e.5}. If a  slightly smaller value than 50 meV had been chosen,  a perfect agreement with the experimental critical temperature would be obtained}. \n\n\nSince the triplet order parameter depends on the momentum ${\\bf k}$, it is interesting to plot the Bogoliubov-de Gennes spectrum  obtained\nby using the superconducting order parameters obtained \nfrom the minimization of the free energy $\\Omega$. In Fig. \\ref{contour}, we focus onto \n$\\mu=-9$ meV, that is, a chemical potential slightly higher than the minimum of the band $\\eta_0$. First, in the upper panel of \nFig.  \\ref{contour}, we plot the spectrum corresponding to the normal state.  The zeros correspond to the the center zone $\\eta_0$ \nand the finite momentum zone $\\eta_{-}$ whose origin is $xy$-like.  At finite momentum,\nthere is a small splitting of the zeroes, due to the fact that this value of the chemical potential is  close to the avoided crossing of the electronic bands.   \nIn the middle panel of  Fig. \\ref{contour}, we plot the spectrum corresponding to the singlet pairing. The gaps correspond to \nthe center zone $\\eta_0$ and the finite momentum zone $\\eta_{-}$ whose origin is $xy$-like. Therefore, the gaps at finite momentum are\nsmaller than those at center zone. However, when only the singlet is present,  along the $\\Gamma X$ ($k_y=0$ or $k_x=0$) and $\\Gamma M$ \n($k_x=k_y$) directions, the gaps are perfectly symmetric. Finally,  {\\color{black} in the left panel of Fig. \\ref{contour},} we consider the\ncombined effect of singlet and triplet pairings. We notice that the spectrum  drastically changes with respect to the case where only \nthe singlet is present. In particular, the gaps get reduced along $\\Gamma M$ direction. This behavior can be ascribed to the\n{\\color{black} $s_x$ and $s_y$ dependence of the order parameter given in Eq. (\\ref{pairing}): along the $\\Gamma M$ direction,} at finite wave-vector, \nthe gap is mainly given by singlet channel.\n\nTo conclude, we mention the interesting possibility to consider possible superconductive solutions from the continuum effective Hamiltonians in \nEqs. \\eqref{eff-} and \\eqref{eff0}. We analyzed their presence, by adding an attractive potential as in Eq. \\eqref{hamilpair}. Working with lattice sizes up\nto $L = 256$, we found only normal solutions in large ranges for $U$ and $V$ (as large as in Section \\ref{super}). We ascribe this outcome to \nrelevant finite-size effects at the considered low fillings $\\nu < 0.1$, required for the validities of the effective theories\nin Eqs. \\eqref{eff-} and \\eqref{eff0}.  \n\n\n\n\n\n\\subsection{Clues of emerging topology at zero magnetic field}\n\\label{topnoB}\n\n\n\nThe pairing in Eq. \\eqref{pairing},  preserving time-reversal invariance,\nleads to a Bogoliubov Hamiltonian in the class DIII of the classification for topological insulators and superconductors \n\\cite{ludwig2009, ryu2016, Bernevigbook}. Indeed $U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y$, \n$U_T \\,  U_T^* = {\\bf I}_{12 \\mathrm{x} 12}$ and $U_C = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\otimes \\sigma_y$, \n$U_C \\,  U_C^* =-{\\bf I}_{12 \\mathrm{x} 12}$ (the second matrices in the Kronecker products acting on the Nambu-Gorkov indices). The chiral symmetry $U_S = U_T \\, U_C = U_C \\, U_T$,  $U_S^2 = {\\bf I}_{12 \\mathrm{x} 12}$, \nis also realized, however not affecting the topology class (see Appendix 1).\nIn this class,  nontrivial topological configurations are possible. {\\color{black} Therefore, in the following we are going to {\\color{black} explore}\nthis possibility.}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG7A.pdf}\n\\includegraphics[scale=0.28]{FIG7B.pdf}\n\\includegraphics[scale=0.28]{FIG7C.pdf}\n\\caption{{\\color{black} Bogoliubov spectrum for varying $k_x$, $U = 350$ meV, $V = 600$ meV, at $\\mu = -9$ meV (first dome) in the left panel, \nat $U = 310$ meV, $V = 520$ meV $\\mu = 14$ meV (second dome) in the right panel. The probability P of the first edge state corresponding to the \nspectrum of the left panel as a function of the position y (in units of the lattice parameter $a$) for different values of $k_x$. For all the plots, \na finite size $L_y = 950$ along the $y$-axis is adopted.}}\n\\label{topofig1}\n\\end{figure*}\n\n{\\color{black} We have analyzed the topological features of the (minimal energy) mean-field superconducting solutions,\nwithin the tight-binding scheme exposed in the above}. \nIn particular, we have examined different values of chemical potential. {\\color{black} Correspondingly, we found signatures of helical superconductivity, \nboth in the first and second dome. As an example, in the left and middle panels of Fig. \\ref{topofig1},  we show the Bogoliubov spectrum at $\\mu=-9$ meV \n(that is,  in the correspondence of the second dome, \nthat means for the $\\eta_0$ bands),  for a lattice that is infinite along the  $x$-axis, but is finite along $y$-axis, \nthus breaking  translational invariance in that direction. \nIn particular, along the $y$-axis, we have considered a finite size of $L_y = 950$ sites, with hard-wall boundary conditions. Then,} we \nhave calculated the excitation spectrum at fixed $k_x$, finding that two {\\color{black} finite-energy edge states are present   within  the bulk gap,\nwhich become degenerate  at $k_x=0$}.  This can be ascribed to the fact that, at\nthe onset of the first  dome ($\\mu \\simeq -10$ meV), as shown in Fig. \\ref{bande}, the energy spectrum in the normal \nstate does not present a linear Rashba coupling. \nTherefore, in the limit of small wave-vectors, the dispersion of the edge states is not linear, as a function of $k_x$. \nRather, it is nearly flat. As shown in the middle panel of Fig.  \\ref{topofig1}, for small values of $k_x$, the wavefunctions \ncorresponding to the in-gap edge states are well localized close to an edge of the system.  With increasing $k_x$, their wave-function tends to spread over all the bulk.\n\nWe point out that the observed  behavior is mostly related to the triplet pairing. Indeed, at zero magnetic field, the singlet pairing term  \nalone is not able  to provide nontrivial topological phases. However, at  $\\mu=-9$ meV we have checked a topological phase transition, induced by \nthe attractive term $V$ in Eq. \\eqref{hamilpair} when the triplet order parameters are stable (see Fig. \\ref{phasefig}).  In particular, the results \nshown in Fig. \\ref{topofig1} are obtained when singlet and triplet pairings coexist above a critical value of the attractive potential $V$.   \n{\\color{black} In Section \\ref{emtop}, we discuss in detail the nature of those phase  transitions.}\n\nWe have also analyzed some features, possibly topological, at higher values of the carrier density. In the left panel of \nFig.  \\ref{topofig1}, we report the excitation spectrum, with  finite size along $y$-axis and at $\\mu=14$ meV. Even if\nthe excitation spectrum is more complex in comparison with that shown at lower densities,  at zero magnetic field, we still\nfind the presence of in-gap edge states, which gradually merge in the bulk continuum, with increasing $k_x$.\\\\\n \n\n\\subsection{Further insights from the  effective theory}\n\\label{emtop}\n\n\nStarting from the full multiband Hamiltonian in Eq. \\eqref{e.1}, it is rather cumbersome to characterize entirely \nthe full topology content of our system, since {\\color{black} it is tough to recover the required analytical form\nof the band wave-functions in momentum space \\cite{ludwig2009, ryu2016, Bernevigbook}.} However, this \ntask can be achieved, at least partially, starting from the effective Hamiltonians in Eqs. \\eqref{eff-} and especially \\eqref{eff0}.\nThis approaches demonstrates to be valuable also for a better characterization {\\color{black} of the entire phase diagram in the considered range of fillings,} \nas well as of the nature of the first superconducting dome.\n\nSince in most of the available literature \\cite{gariglio2016}, the superconducting dome is located approximately in correspondence  of \nthe $\\eta_0$ band, we focus mainly on $H_0^{(\\mathrm{eff})} ({\\bf k})$ in Eqs. \\eqref{eff0}, {\\color{black} with superconducting\npairings added. We recall that $H_0^{(\\mathrm{eff})} ({\\bf k})$ is expected to described properly at least the lower-density half of \nthe dome. Moreover, the resulting Bogoliubov Hamiltonian shares the same (time-reversal  and charge-conjugation) symmetry content as the \nmultiband one in Eq. \\eqref{hamilbogo}, therefore allowing (but not guaranteeing) the same topological phase structure. \nIndeed, a similar discussion  can be performed directly for the $\\tau$ bands, obtaining the same qualitative results: for a given pair content,\nthe effective spin-orbit ${\\bf g} ({\\bf k})$ (absent in the  $\\tau$ bands basis) has only quantitative effects on the phase diagram.\n\nWe assume again  a pairing ${\\bf \\Delta } ( \\bf{k} )$, in the form of\n Eq. \\eqref{pairingmat} ({\\color{black} at this stage, we do not need to specify  the precise form of the corresponding \n attractive potential, which instead we generically denote as $G$)}. \nThe resulting Bogoliubov Hamiltonian} is of the general form\n$H_0^{\\mathrm{BG}} = \\frac{1}{2} \\sum_{\\bf{k}}\n\\psi^{\\dag}_{\\bf{k}} \\mathcal{H} (\\bf{k}) \\psi^{\\ }_{\\bf{k}}$, \nwith\n\\begin{equation} \n\\label{bog0}\n\\mathcal{H} ( \\bf{k} )\n=\n\\left(\\begin{array}{cc}\nh_0 ( \\bf{k} ) & {\\bf \\Delta } ( \\bf{k} )\n \\\\\n{\\bf \\Delta}^{\\dag} ( \\bf{k} ) & - h_0^{T} ( - \\bf{k} ) \\, \n\\end{array}\\right)\n\\end{equation}\n$\\psi_{\\bf{k} } = ( c^{\\ }_{{\\bf k} \\uparrow}, c^{\\ }_{\\bf{k} \\downarrow}\nc^{\\dag}_{- \\bf{k} \\uparrow}, c^{\\dag}_{- \\bf{k} \\downarrow} )^{\\mathrm{T}}$\nand \n\\begin{equation}\nh_0 ( {{\\bf k}} )\n=\n\\xi_0 ({\\bf k} )  \\, {\\bf I}_{2 \\mathrm{x} 2} + {\\bf g} ({\\bf k}) \\cdot \\bm{\\sigma } \\, .\n\\label{eq:HnormalNCS}\n\\end{equation}\nwith $\\xi_0 ({\\bf k} ) = \\epsilon_0 ({\\bf k} ) -  \\mu$ ($\\mu$ measured from $\\epsilon_0 ({\\bf k} = 0)$).\nBy time-reversal-symmetry, it turns out  that $\\xi_0 ({\\bf k})$\nand ${\\bf g}({\\bf k})$ are symmetric and antisymmetric in ${\\bf k}$,\nrespectively \\cite{sato2006}. \nThe Hamiltonian in Eq. \\eqref{bog0} has the spectrum \\cite{sato2006}\n\\begin{equation}\nE_{\\pm}({\\bf k}) = \\sqrt{\\Big(\\xi_0 ({\\bf k} ) \\pm |{\\bf g} ({\\bf k})|\\Big)^2 + \\Big( \\Delta_{s} \\pm  |{\\bf d} ({\\bf k})|\\Big)^2}  \n\\label{spettrototale}\n\\end{equation} \nif  ${\\bf d}({\\bf k})$ (see Eq. \\eqref{pairingmat}) is aligned with ${\\bf g}({\\bf k})$, which is \nthe most likely  possibility, as we noted above.\nIn three dimensional systems, this spectrum can give rise to topologically-protected nodal lines, where $E_-({\\bf k}) = 0$,\nleading to nodal (non-centrosymmetric) superconductors. These systems require a partially different topological classification from the ten-fold way for fully gapped ones {\\color{black}\\cite{brydon2015,samokhin2015}, as well as for their edge modes \\cite{samokhin2016}.}\n{\\color{black} However, in two dimensions, only isolated zeros for  $E_{\\pm}({\\bf k}) = 0$ can occur, not topologically protected, and identified as transition points.}\n\nWe analyze separately {\\color{black} three configurations for ${\\bf d}({\\bf k})$:} {\\it i)} pure s-wave (spin singlet) pairing, {\\it ii)} pure p-wave (triplet) state, {\\it iii)} \nmixed s-p waves pairing. In the first configuration, no topology is realized: the phase is continuously connected with a purely BCS one, where ${\\bf g} ({\\bf k}) = 0$. Indeed,\nin spite of \n${\\bf g} ({\\bf k}) \\neq 0$, since $\\Delta_{s} \\neq 0$, no zeros of $E_{\\pm}({\\bf k})$ can occur in between {\\color{black} and for a certain ${\\bf k}$. This regime clearly \ncorresponds to that in Section \\ref{MFsol} for the multiband model in Eq. \\eqref{hamilbogo}, at $\\mu = -9$ meV, $U<300$ meV and $V = 0$.\n\nIn the normal state, due to the terms in Eqs. \\eqref{e.7} and \\eqref{e.8}, mixing the spins, only the sum of the spin currents\nis conserved, related to the global symmetry group\n$U(1)_V$, in turn defined by the transformations:  \n$c_{\\uparrow} ({\\bf k}) \\to e^{i \\theta} \\, c_{\\uparrow} ({\\bf k})$, $\\theta = [0, 2 \\pi)$, and the same for $c_{\\downarrow} ({\\bf k})$. \nTherefore, due to the bilinear pairing condensate $\\langle c_{\\uparrow} ({\\bf k}) c_{\\downarrow} (-{\\bf k}) \\rangle = \\Delta_s$, \nthe spontaneous symmetry breaking\n\\begin{equation}\nU(1)_{V}  \\to Z_{2 \\, V}\n\\label{pat1}\n\\end{equation}\noccurs, where for $Z_{2 \\, V}  \\in U(1)_{V}$, $\\theta = \\{ 0, \\pi \\}$.}\n\n\nSimilarly, in the configuration {\\it ii)}, when $\\Delta_{s} = 0$, two phases can be realized a  priori,  {\\color{black} in this scheme discerned by \nthe sign of $\\mu$ \\cite{readgreen,Bernevigbook}.  These two phases, one with non trivial and one with trivial topologies, are continuously connected with those \nat ${\\bf g} ({\\bf k}) = 0$.}  This because the unique zeros of $E_{\\pm}({\\bf k})$ can occur where ${\\bf d} ({\\bf k}) = 0$, that means at ${\\bf k} = 0$. In this\npoint, also ${\\bf g} ({\\bf k}) = 0$ and $\\epsilon_0 ({\\bf k}) = 0$, therefore $E_{\\pm}({\\bf k}) = \\mu$. Now, as {\\color{black} $G \\to 0$,} then $\\mu \\approx \nk_F >0$ (since the filling of the $\\eta_0$ band is positive), {\\color{black} while the condition $\\mu = 0$, separating the two phases, occurs for  $G$ large \nenough (similarly as in the previous Section).  Again, the breaking pattern in Eq. \\eqref{pat1} is realized.}\n\n\n\nThe data from the mean-field analysis on the lattice suggests that the topological phase sets in for\n$U \\geq 250$ and $V \\geq 550$ meV,  where we find the triplet pairing (see Fig. \\ref{phasefig}).   \nThe same phase, a superconducting counterpart of a quantum spin Hall phase, is the unique possible {\\color{black} topological} one in the DIII class \n{\\color{black} and in two dimensions} \\cite{ludwig2009, ryu2016, Bernevigbook}, and it is also known as helical superconducting phase. Moreover,\nthis is labelled by a topological index $n = 1$, witnessing the number of {\\it pairs} of edge states, related by the time-reversal conjugation \n\\cite{qi2009,Bernevigbook}. This index (written for the general case e.g. in \\cite{sato2017}) becomes, in the limit of decoupled spin sectors,\n${\\bf g} ({\\bf k}) \\to 0 , \\, \\, \\forall \\, {\\bf k}$, \\cite{Bernevigbook}:\n\\begin{equation}\nn  = \\frac{1}{2} \\, (n_{\\uparrow} - n_{\\downarrow}) \\quad \\mathrm{mod} \\, 2 \\, ,\n\\label{phase}\n\\end{equation}\nwhere $n_{\\uparrow} = 1$ and $ n_{\\downarrow} = -1$ label the topological phases (with broken time-reversal invariance, then in the D class of the ten-fold way \nclassification \\cite{ludwig2009, ryu2016, Bernevigbook}) described in \\cite{readgreen}.  The numbers $n_{\\uparrow \/ \\downarrow} = \\pm 1$  correspond to nontrivial \nelement of the first homotopy class \\cite{nakahara,coleman1,coleman2}, $\\pi_1(\\tilde{O)}$, on a circle $\\tilde{O}$ around the  high symmetry node at ${\\bf k} = 0$.\nIn particular, the nontrivial homotopies are related to the phase factors $e^{\\pm i \\, \\phi_{\\bf k}}$ parametrizing as follows the nonvanishing p-wave gaps\n(connected by time reversal conjugation): \n\\begin{equation}\n\\Delta_{t , \\uparrow  \/  \\downarrow} \\,  (k_x \\pm  i \\, k_y) =   \\Delta_{t , \\uparrow \/ \\downarrow} \\, |{\\bf k}| \\, e^{\\pm i \\, \\phi_{\\bf k}} \\, .\n\\label{phase2}\n\\end{equation}  \nTherefore, for instance, $n = 0$ for the extended s-wave case, considered in \\cite{zeg2020}.\nIn the more general case where the spin sectors are coupled together (as when ${\\bf g} ({\\bf k}) \\neq 0$, or in the presence of a superconducting pairing\nbetween the  two spin-species, as in the case {\\it iii)}), the topological index {\\color{black} $n = 1$} can be expressed in terms of Chern numbers of positive- \nand negative-energy eigenstates \\cite{sato2017}. Alternatively, the same index can be defined as a winding number of a phase \\cite{yokoyama2014}, exploiting \ndirectly the full Bogoliubov Hamiltonian $H_{\\mathrm{BG}}({\\bf k})$, instead of its bands ({\\color{black} see \\cite{notatop} for more details)}. \n \n\nFinally, in the configuration {\\it iii)}, where singlet and triplet pairings coexist, a trivial and a topological phase can be again realized a priori. \nReferring to the Hamiltonian in Eq. \\eqref{eq:HnormalNCS}, they are separated by the condition (on $G$, \n$\\mu$, $\\Delta_{s}$, and  ${\\bf d} ({\\bf k})$) that $E_-({\\bf k}) = 0$, for a certain $|{\\bf k}|$. This is expected for $|\\Delta_{s}| \\sim |\\Delta_{t , \\uparrow}| = |\\Delta_{t , \\downarrow}|$.\n Again, the breaking pattern in Eq. \\eqref{pat1} is realized.\nBeing again in the DIII class of the ten-fold way classification, the two phases belong respectively to the same topological classes of the phases in the case {\\it ii)},\nthen they are discerned by the same topological index \\cite{yokoyama2014,sato2017}. \n\nThis situation corresponds to the singlet-triplet coexisting regime, found in Section \\ref{MFsol}. \nCorrespondingly, the presence of edge states  indicates\n that between the two possible phases described above,  \nthe topological one is realized. In the following Section, we will analyze its response to an applied magnetic field.\n\\begin{figure} [t!]\n\\includegraphics[scale=0.32]{Magn_New1.pdf}\n\\includegraphics[scale=0.32]{Magn_New2.pdf}\n\\caption{{\\color{black} Upper panel: Singlet order parameter $\\Delta^{xy}_s$, as a function of the magnetic field along the $z$-axis \nfor $U = 350$ meV and for  different values of the attractive term $V$ and at $\\mu=-9$ meV.\nLower panel: Same as in the upper panel, but with the magnetic field along the $x$-axis (lower panel).\nWe recall that in Eq. \\eqref{hamilpair} the nearest neighbour pairing has coupling $\\frac{V}{2}$.}}\n\\label{magnfig}\n\\end{figure}\n\n\\section{Superconducting solutions in the presence of a magnetic field}\n\\label{supermagnetic}\n\n{\\color{black} It is important, on the experimental point of view as well, to consider how  the  above scenario is\nmodified under the application of a uniform  magnetic field, inducing  the Zeeman term in Eq. \\eqref{e.9}. For this purpose, we start with \ndiscussing how an applied magnetic field modifies the superconducting order parameter.} \n\n\\subsection{Effects of the magnetic field on the superconducting order parameter}\n\nThe first macroscopic effect \nis the breakdown of the time-reversal symmetry. {\\color{black} Along this direction,} \n we analyze the effects of an external magnetic field on the superconducting solutions, considering field orientations \nboth along the $z$-axis (out-plane) and the $x$-axis (in-plane). \n\nFirst, we focus on  the singlet order parameter related to the orbital $xy$, $\\Delta_{xy}^s$. We recall that this order parameter \nprovides an estimate of the minimal superconducting gap in the excitation spectrum. In the upper panel of Fig. \\ref{magnfig},  \nwe plot {\\color{black} this quantity}, as a function of $M_x$, \nand for different values of $V$.  \nIn particular, we focus on the under-doped regime of the first dome, at $\\mu=-9$ meV.\nFor $V=0$, there is a continuous curve, as a function of the magnetic field.  However, there is a range of values for $V$\nwhere the order parameter shows a discontinuity. Actually, this discontinuity marks the {\\color{black} onset} of the triplet pairing, \nwhich, on the other hand, start weakening the singlet order parameter (see Fig. \\ref{phasefig}). As shown below,  {\\color{black} the\ntriplet pairing can lower the ground-state energy, at increasing magnetic field and fixed $V$.}  Therefore, there is a transition between \na phase with only the singlet pairing to a phase with combined singlet and triplet {\\color{black} pairings}.  With increasing $V$, the triplet pairing \nbecomes stable at lower strengths of the magnetic field (Indeed,  \n{\\color{black}  we have shown above that, for  $V > 560$ meV, there is the formation of the triplet pairing even \nat $M_z=0$).  For these values of $V$, the reduction of the singlet order parameter is quite rapid as a function of the strength of $M_z$.} \n\nIn the lower panel of Fig. \\ref{magnfig},   we plot $\\Delta_{xy}^s$ as a function of  \n$M_x$, for different values of $V$. There is a different coupling between the in-plane magnetic field and the triplet order parameter. \n{\\color{black}  Therefore, the role of the triplet pairing is affected  not only by the density, but also by the orientation of the magnetic \nfield. Indeed, it can be responsible of the experimentally measured magnetic field anisotropy, in some \nsuperconducting properties, between the in-plane and out-of-plane field configurations \\cite{caviglia2009}. In particular, in the under-doped regime of the\nfirst dome, at $\\mu=-9$ meV, the anisotropy emerging from the comparison between the upper and lower panels of Fig. \\ref{magnfig} is present\nbut not marked. Indeed, the behavior of the order parameter, as a function of $M_x$, follows that as a function of $M_z$, the first behavior being characterized\nonly by slightly smaller values of critical fields (at different $V$).}\n\\begin{figure*} [t!]\n\\includegraphics[scale=0.28]{FIG9A.pdf}\n\\includegraphics[scale=0.28]{FIG9B.pdf}\n\\includegraphics[scale=0.28]{FIG9C.pdf}\n\\caption{Singlet (left panel) and triplet (right panel) pairing amplitudes, as a function of a constant magnetic field ${\\bf M}$ along the $z$-axis (out of plane) with \n $U =350$ meV and $\\frac{V}{2} = 300$ meV.\nMiddle panel: same as in the left panel, but with the magnetic field along $x$-axis (in-plane).}\n\\label{magnfig2}\n\\end{figure*}\n\nIn order to deeply analyze the role of the anisotropy of the superconducting solutions, we consider different fillings, comparing the behaviors of the order\nparameters between the first dome, beginning at the minimum of the $\\eta_0$ band  ($\\mu \\approx -10$ meV), and the second one, related to the $\\eta_+$ band \n($\\mu \\approx 10$ meV). Therefore, in the left and the middle panel of Fig. \\ref{magnfig2}, we consider two values of $\\mu$:  $\\mu=-4$ meV, \ncorresponding to the over-doped regime of the first dome, and $\\mu=-11$ meV, corresponding to the under-doped regime of the second dome. In the \nleft panel we analyze the behavior of $\\Delta_{xy}^s$, as a function of \n$M_z$,  and in the middle panel  we draw a similar plot, \nevidencing the  dependence on  $M_x$. Actually, as shown in Fig. \\ref{magnfig2}, at $\\mu=-4$ meV, there is an anisotropy favoring the stability along the $z$-axis.  O\nn the other hand, as discussed above, the triplet pairing  becomes stronger with increasing density, and it systematically weakens \nthe singlet amplitudes. Moreover, the triplet order parameters are more sensitive to the magnetic field  along the $z$-axis (as shown in the right panel of \nFig. \\ref{magnfig2})  than to the one  along the $x$-axis. Therefore, with increasing density, the anisotropy changes drastically. In particular, \nat $\\mu=11$ meV, the critical field along $z$  is less than 1 meV, while that along $x$  becomes larger than unity. \nTherefore, the results are in qualitative agreement with experimental  data, \\cite{caviglia2009} where the anisotropy is more marked.\nIndeed, even if the role of the triplet pairing can be relevant to inducing anisotropy in the superconducting order parameters,  \n{\\color{black} it is not enough} to explain all the relevant features found in {\\color{black} LAO\/STO-001} as a function of in-plane and out-of-plane magnetic fields.   \n\nFinally, in the right panel of Fig. \\ref{magnfig2}, we have carefully analyzed also the behavior of the triplet pairing,  as a function of $M_z$,\n{\\color{black} finding a remarkable linear dependence of the triplet} order parameters, opposite for the two spin components: one is enforced, the other one is weakened.\n\n\n\\subsection{Clues of emergent topology in the presence of a magnetic field}\n\n\\begin{figure} [t]\n\\includegraphics[scale=0.32]{Topo_New3.pdf}\n\\includegraphics[scale=0.32]{Topo_New4.pdf}\n\\caption{Upper panel: Bogoliubov spectrum for varying $k_x$, $V = 0$ meV,  $\\mu = 14$ meV and finite size $L_y = 950$\nsites along the $y$-axis. Lower panel: probability of the edge state as a function of the position (in units of the lattice parameter $a$)\nfor different values of $k_x$ (in units of $\\pi\/a$).  \nThe value of $M_z$, inducing a topological phase transition (see the main text), is smaller than the critical value suppressing the self-consistent superconducting solutions.}\n\\label{topofig2}\n\\end{figure}\n\nWe now focus on the possibility  of topology in the presence of a magnetic field. In these conditions, the breakdown \nof the time-reversal symmetry makes  the topology class of the system to change from DIII to D. In two dimensions, \nthe latter class still allows nontrivial topology, still labelled by a $Z$ index ($Z_2$ for 1D systems; in this case \nthe precise calculation of the related invariant has been performed in \\cite{perroni2019}). In this way, a magnetic field\ncan preserve the edge states {\\color{black} that we discuss} {\\color{black} in Section \\ref{topnoB}. \n \n \n Still analyzing the possible presence of edge states, we} find {\\color{black} that topological properties are favored \n  by an out-of-plane magnetic field, but disfavored by an\n in-plane one}. Indeed, they are weakened with changing the orientation of the magnetic field from the $z$-axis to $x$-axis,\n and there here are characteristic angles (around $\\frac{\\pi}{4}$) where a topological phase transition takes place. Eventually,\n {\\color{black} for a sufficiently intense} in-plane magnetic field, one only gets trivial  topological phases, in agreement with \\cite{Loder}.\n  \nIn order to detect the chiral topological superconducting phase when $M_x$ is sub-relevant, we {\\color{black} consider again} a lattice with \na finite size along the  $y$-axis. In this case, the increase of $M_z$ is able to induce a phase transition, {\\color{black} as \nsoon as it takes a value of the order of the chemical potential, as measured from the bottom of the sub-band: $M_z > \\sqrt{\\tilde{\\mu}^2 + \\Delta^2}$, where $\\tilde{\\mu}$ is the chemical potential measure from the bottom of the $\\eta_+$ sub-bands, and $\\Delta$ is the effective superconductive gap. \nThus, the critical values to enter   the topological phase depend in general on $U$, $V$, and $\\mu$}. In the upper and lower panels of \nFig. \\ref{topofig2}, we show the results obtained at $V=0$, {\\color{black} with only the singlet pairing present}. We remark that, in contrast with\nthe results of the previous Section at zero magnetic field, now the topological phases can be driven by the singlet order parameters only. \nWe find that the chiral Majorana edge states have a linear dispersion as a function of $k_x$, and are quite localized at the edge for small values of $k_x$,\nsimilarly as in  \\cite{Loder}.  As usual, with increasing $k_x$, these states merge into the bulk continuum.\n\n\nAgain the described picture can be understood in better qualitative details by analyzing the effective Hamiltonians in Eqs. \\eqref{eff-} and \\eqref{eff0}, \n{\\color{black} in analogy with the discussion at   ${\\bf M} = 0$ in Section \\ref{supmulti}.}\nSince the Zeeman term in Eq. \\eqref{e.9} has the form  $H_{M} = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot {\\bf \\sigma} $,  it is sufficient to add this \nterm to $H_0^{(\\mathrm{eff})}$, as described in the Appendix 3 (before Eq. \\eqref{e.4}), in spite of the fact  that \n the $zx$ and $yz$ bands are mixed to yield the $\\eta_0$ band: this mixing is diagonal on the spin $\\sigma$ index. In Eq. \\eqref{eq:HnormalNCS}, \n the same added term results in the shift ${\\bf g} ({\\bf k}) \\to {\\bf g} ({\\bf k}) + {\\bf M}$, losing explicitly the antisymmetry required by time-reversal invariance \\cite{sato2006}.\n\n\n\nA Zeeman term, $H^{(z)}_{M} = M_z \\sigma_z$, along the $z$-axis, orthogonal to the plane of our system,  \ncreates an effective unbalance in the chemical potentials {\\color{black} with respect to $\\sigma$}. This \nimbalance is known to spoil the s-wave pairing {\\color{black} $\\Delta^{\\tau}_{s}$ (as well as $\\Delta^{\\tau}_{p , \\uparrow \\downarrow}$},\nif present), leading to the normal phase, or at most {\\color{black} to a normal-superconductive mixed one} (a secondary possibility that we neglect, \nin the light of the stability of the p-wave pairing, see below) \\cite{pethick,marchetti2007,rad2007}. This transition occurs, {\\color{black} in the low-pairing limit,}\naround the value {\\color{black} $M_z = \\frac{\\mu_{\\uparrow} - \\mu_{\\downarrow}}{2} = \\frac{ \\Delta^{\\tau}_{s}}{\\sqrt{2}}$,} the so called\nChandrasekhar-Clogston limit  (strictly valid for perturbative Hubbard attractions) \\cite{pethick}.\nConcerning the triplet pairings  {\\color{black} $\\Delta_{t, \\uparrow}$ and $\\Delta_{t, \\downarrow}$,}\nthey are spoiled asymmetrically by the  $M_z$ term, mainly via the shift of the chemical potentials $\\mu_{\\uparrow , \\downarrow}$.\nIn particular, if $M_z > 0$, $\\mu_{\\downarrow}$ is decreased (at fixed {\\color{black} $\\Delta_{t, \\downarrow}$}). At a critical value\nof $M_z$, the condition $\\mu_{\\downarrow} = 0$ is realized. Then, the topological phase with $n_{\\downarrow} = -1$ \nis driven to a topologically trivial phase, still with p-wave pairing (the strongly-coupled phase in \\cite{readgreen}). At the point  $\\mu_{\\downarrow} = 0$,\na zero in the Bogoliubov gap is reached. The residual topology from the $\\uparrow$ contribution is encoded in the $n_{\\uparrow} = 1 \\in Z$\nphase, belonging to the D class of the ten-fold way classification.\n\n\nA qualitatively similar phase evolution, determined by the effective unbalances induced by $M_z$, is valid if the phases do not host \na nontrivial topology, a possibility {\\color{black} allowed} by symmetry considerations only, and possibly occurring  \nin certain coupling regions, as mentioned in Section \\ref{topnoB}.\n\n\n\n\\section{Conclusions and outlook}\n\\label{conclusion}\n\nIn this paper we have discussed  the onset and the physical consequences of a singlet-triplet  pairing in  the two dimensional \nelectron gas at LAO\/STO-001 interfaces. This configuration looks rather natural a priori, due to the  inversion symmetry breaking term \nin the tight-binding Hamiltonian of the system. We have made an extended superconducting mean-field analysis of this multi-band \ntight-binding Hamiltonian, as well as of effective electronic bands in the limit of low values of the momentum. We have included \nstatic on-site (favoring spin-singlet pairings) and inter-site (promoting spin-triplet order parameters) intra-band attractive \npotentials under applied magnetic fields. It is interesting to notice that a singlet-triplet mixed pairing here results \nrobust for {\\color{black} extended} regions of the analyzed space of parameters.\n\n\nWe have found various interesting features, as a reduction of the singlet order parameter, as a function of\nthe charge density, an asymmetric response to in-plane and out-of-plane magnetic fields (a fact already observed\nexperimentally \\cite{caviglia2009}), and the possibility on nontrivial topology and protected edge states.\nIn particular, not-linear spin-orbit couplings and inter-site attractive interactions make stable a time-reversal\ninvariant topological helical superconducting phase in the absence of a magnetic field.\n\nIn this paper, we have discussed the interplay between singlet and triplet order pairings in the the clean limit. Effects of dilute nonmagnetic impurities \ncan affect the properties of non-centrosymmetric superconductors \\cite{samokhin}. For example, the impurity effects on the critical temperature are similar to those in\nmulti-band centrosymmetric superconductors. Moreover, Anderson's theorem holds for singlet pairing \\cite{samokhin,anderson1959}. Indeed, \nwe expect that disorder effects can induce a reduction of the triplet order parameters changing only quantitatively the interplay between singlet and triplet pairings.\nThis is the reason why in the paper the focus has been on the properties related to the singlet order parameters.\n\nA natural development of the present work is the study of the effective shape of the dome, that means\nthe finite-temperature dependence. We mention here that we also performed mean-field calculations at finite temperature,\nfinding a first dome for the singlet order parameter, corresponding with the $\\eta_0$ band, and with a  shape qualitatively very \nsimilar to that reported in \\cite{gariglio2016}. However, to achieve reliable quantitative details,  the inclusion of\nfluctuations beyond mean field is required. On the same regard, we also mention a very recent paper \\cite{jouan2021},\nwhere two-different purely $s$-wave phases have been predicted around the optimal doping, where the critical temperature is maximized.\nThe relation with the present work surely deserves future attention.\nOther future generalizations of the present work are aimed to include the effect of the second term on the multiband potential\nin Eq. \\eqref{potgen}, that is inter-orbital attractive potentials. Closely related, a relevant issue consists of the possibility of\nnonzero-momentum superconductive couplings between different $\\eta$ bands. This feature extremely \nunlikely in translational invariant systems \\cite{pethick,marchetti2007,rad2007}, is known {\\color{black} to be} \nmore stable in lattice systems, see e. g. \\cite{moore2012,shi2013,mannarelli2018}.\n\n {\\color{black}\nFinally, we point out that effects due to unconventional superconductivity can be confirmed not only by thermodynamic properties but also by response properties such as the I-V characteristics of Josephson junctions \\cite{tafuri2017,alidoust2021}. In quasi one-dimensional systems,     \n notable properties can be deduced from anomalous Josephson effects \\cite{tagliacozzo2015,tagliacozzo2018} and local spectroscopic measurements \\cite{perroni_1d}.  These probes could be also used to disentangle superconducting topological features from trivial ones in the actual two dimensional case. }\n\n\n\\section*{Acknowledgements}\nThe authors thank Michele Burrello, Simone Paganelli, Marco Salluzzo, and Andrea Trombettoni for useful discussions.\nL. L., D. G. and C. A. P. acknowledge  financial support  from Italy's MIUR  PRIN project  TOP-SPIN (Grant No. PRIN 20177SL7HC).\nC.A.P. acknowledges funding from the project QUAN-TOX (QUANtum Technologies with 2D-OXides) of Quan-tERA ERA-NET Cofund in \nQuantum Technologies (GrantAgreement No. 731473) implemented within the European Union's  Horizon 2020 Programme. \nA. N. was financially supported  by POR Calabria FESR-FSE 2014\/2020 - Linea B) Azione 10.5.12,  grant no.~A.5.1.\n\n\n\n\\newpage\n\n\\onecolumngrid\n\n\n\n\\section*{APPENDIX 1: Hamiltonian symmetries}\nIn this Appendix, we discuss the symmetries of the normal Hamiltonians in Eqs. \\eqref{e.3} and \\eqref{eff0}, as well as the corresponding \nBogoliubov Hamiltonians with the pairing in Eq. \\eqref{pairing} added.\n\nThe normal Hamiltonians in Eqs. \\eqref{e.3} (here considered at vanishing Zeeman coupling $H_M$) can be expressed in terms of \n{\\color{black} Gell-Mann} matrices $\\{ \\lambda_i \\}$,\n{\\color{black}  acting on the on the $\\tau$ index, times the Pauli matrices acting on the spin index $\\sigma$:}\n\\begin{equation}\n\\Big(a ({\\bf k}) \\, {\\bf I}_{3 \\mathrm{x} 3} + b ({\\bf k})  \\, \\lambda_3 + c ({\\bf k}) \\,  \\lambda_8 \\Big) \\otimes \n{\\bf I}_{2 \\mathrm{x} 2} + w_{\\mathrm{SO}} \\, \\Big( - \\lambda_2 \\otimes \\sigma_z +  \\lambda_5 \\otimes \\sigma_y -\n\\lambda_7 \\otimes \\sigma_x  \\Big) + \\gamma \\, \\Big( \\sin k_x \\, \\lambda_5 \\otimes  {\\bf I}_{2 \\mathrm{x} 2} + \n\\sin k_y \\, \\lambda_5 \\otimes  {\\bf I}_{2 \\mathrm{x} 2} \\Big) \\, ,\n\\end{equation}\nthe precise expressions for $a ({\\bf k})$, $b ({\\bf k})$, and $c ({\\bf k})$ being unimportant here.\nExploiting now the property for the Pauli matrices, $\\{\\sigma_i , \\sigma_j\\} = \\delta_{ij}$, it is know immediate to prove (Eq. \\eqref{defUT}):\n\\begin{equation}\n H ( {\\bf k} ) = U_T^{-1}  H^* (- {\\bf k} ) U_T \\, , \\quad  \\quad \\quad U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\, .\n \\label{defUT2}\n\\end{equation} \nIn the Nambu-Gorkov basis $\\Psi({\\bf k}) = \\left(\\begin{array}{c} {\\bf c}({\\bf k}) \\\\ i \\sigma_y \\, {\\bf c}^{\\dagger}(-{\\bf k})\n\\end{array} \\right)$,  $c({\\bf k}) = \\left(\\begin{array}{c}  c_{\\uparrow}({\\bf k}) \\\\ c_{\\downarrow} ({\\bf k}) \\end{array} \\right)$,  \n$H ( {\\bf k} )$ is recast as follows:\n\\begin{equation}\n H ( {\\bf k} ) \\to  H_{\\mathrm{BG}} ( {\\bf k} ) = \\left(\\begin{array}{cc} H({\\bf k}) & {\\bf 0}_{2 \\, \\mathrm{x} \\, 2} \n \\\\ {\\bf 0}_{2 \\, \\mathrm{x} \\, 2} & -H (-{\\bf k}) \\end{array} \\right)\n \\label{HBog}\n\\end{equation}\nso that $U_T$ becomes $U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y $,\nthe second identity in the Kronecker product acting on the Nambu-Gorkov indices.\nThe normal effective Hamiltonian in Eq. \\eqref{eff0} for the $\\eta_0$ band, neglecting the out-of-diagonal \ncontribution with higher momentum power than one, reads (see the derivation in the Appendix 3):\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\Big( -10.8 +157.2 \\, (k_x^2 + k_y^2) \\Big) \\, {\\bf I}_{2 \\mathrm{x} 2} - a_3 \\, k_x \\, \\sigma_y + a_3 \\, k_y \\,  \\sigma_x \\, .\n\\end{equation}\nwith $\\epsilon_0 ({\\bf k}) = \\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV) and $a_3= 0.8$ meV.\nIt holds:\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) = \\tilde{U}_T^{-1}  H_0^{(\\mathrm{eff}) *} (- {\\bf k} ) \\tilde{U}_T \\, , \\quad  \\quad \\quad \\tilde{U}_T = \\sigma_y \\, ,\n \\label{defUTeff}\n\\end{equation}\n$\\tilde{U}_T = \\sigma_y$ acting on the spin index, as $\\sigma_y$ in Eq. \\eqref{defUT2}. In the Bogoliubov form, obtained as \nabove for $H ( {\\bf k} )$, $\\tilde{U}_T =  {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y$.\n\nThe next step is to include the pairing in Eqs. \\eqref{pairingmat} and \\eqref{pairing}. We have to consider the three spin channels:\n\\begin{equation}\n\\langle c^{\\tau}_{\\downarrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\downarrow \\downarrow}}\n\\,  {\\color{black} \\Delta_{t , \\downarrow}^{\\tau} }(k_x - i \\, k_y) \\, ,\n\\label{vev1}\n\\end{equation}\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\uparrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\uparrow \\uparrow} } \n\\,  {\\color{black} \\Delta_{t , \\uparrow}^{\\tau}} (k_x + i \\, k_y) \\, ,\n\\label{vev2}\n\\end{equation}\nand\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}} \n\\, \\Big({\\color{black} \\Delta_{s , \\uparrow}^{\\tau} + \\Delta_{t , \\uparrow}^{\\tau}}  \\Big[ \\alpha \\, (k_x + i \\, k_y) + \\beta\\,  (k_x - i \\, k_y) \\Big] \\Big) \\, .\n\\label{vev3}\n\\end{equation}\nTwo global phase factors between $ e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}}$, $e^{i\\, \\phi^{\\tau}_{\\uparrow \\uparrow}}$,\nand $e^{i\\, \\phi^{\\tau}_{\\downarrow \\downarrow}} $ can be reabsorbed overall via a phase redefinition of the  fermionic annihilation \noperators. However, even in this way the third phase cannot be  reabsorbed. This phenomenon a condensed matter counterpart to \n(minimal model for) the CP$\\sim$T violation in particle physics, via chiral fermion condensation \\cite{weinberg2}.  \nWe choose to keep the phase factor $e^{i\\, \\phi^{\\tau}_{\\uparrow \\downarrow}}$. \n\n{\\color{black} We notice that} time-reversal invariance, interchanging the spins, imposes {\\color{black} $\\Delta_{t , \\uparrow}^{\\tau} = \n\\Delta_{t , \\downarrow}^{\\tau}$}, a result also found by the minimization procedure of the mean-field free energy in the main text.\n{\\color{black} Dividing all the parameters in Eq. \\eqref{vev3} in real an imaginary parts, it is useful to parametrize them as follows:\n\\begin{equation}\n\\langle c^{\\tau}_{\\uparrow} ({\\bf k})  c^{\\tau}_{\\downarrow} (- {\\bf k}) \\rangle =  \\Big(\\Delta_{1}^{\\tau} + i  \\, \\Delta_{2}^{\\tau}\n\\Big)+ \\Big(\\Delta_{3}^{\\tau} + i \\,  \\Delta_{4}^{\\tau} \\Big)  k_x + \\Big(\\Delta_{5}^{\\tau} + i \\,  \\Delta_{6}^{\\tau} \\Big)  k_y     \\, .\n\\label{veve4}\n\\end{equation}\nTherefore, for each $\\tau$ band, we obtain for the $4 \\, \\mathrm{x} \\, 4$ pairing block Hamiltonian $H^{\\tau}_{{\\bf \\Delta}}({\\bf k})$ \nof the total one  $H_{{\\bf \\Delta}}({\\bf k})$:\n\\begin{equation}\nH^{\\tau}_{{\\bf \\Delta}}({\\bf k}) = \\Delta_{1}^{\\tau} \\, \\big(\\sigma_x \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\big) + \\Delta_{2}^{\\tau} \\, \n\\big(\\sigma_y \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\big) + \\Big(\\Delta_{1}^{\\tau} \\, k_x +\\Delta_{1}^{\\tau} \\, k_y\\Big) \\, \\big(\\sigma_x \\otimes \\sigma_z \\big)  \n- \\Big(\\Delta_{2}^{\\tau} \\, k_x +\\Delta_{4}^{\\tau} \\, k_y\\Big)  \\, \\big(\\sigma_y \\otimes \\sigma_x \\big) \\, .\n\\end{equation}\nImposing now time reversal invariance of the total multiband Hamiltonian $H_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k})$ (see Eq. \\eqref{HBog}),  \n\\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = V_T^{-1} \\big(H^{*}_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{{\\bf \\Delta}}(- {\\bf k}) \\big) V_T \\, ,\n\\end{equation}\nwe immediately obtain that it must hold\n\\begin{equation}\n V_T =  U_T = {\\bf I}_{3 \\mathrm{x} 3} \\otimes {\\bf I}_{2 \\mathrm{x} 2} \\otimes \\sigma_y \\, ,\n\\end{equation}\nand importantly $\\Delta_2 = \\Delta_4 = \\Delta_6 = 0$. That means that all the pairing couplings in Eqs. \\eqref{vev1}-\\eqref{vev3} must be \nreal, as claimed in the main text. At this point is straightforward to obtain that $H_{\\mathrm{BG}} ( {\\bf k} ) + H^{\\tau}_{{\\bf \\Delta}}({\\bf k})$\nis also invariant under charge conjugation:\n \\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = - U_C^{-1} \\big(H^{*}_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{ {\\bf \\Delta} }\n(- {\\bf k}) \\big) U_C \\, ,  \\quad  \\quad {\\mathrm{with}} \\quad \\quad  U_C = {\\bf I}_{3 \\mathrm{x} 3} \\otimes \\sigma_y \\otimes \\sigma_y \\, .\n\\end{equation}\nA further symmetry of the Bogoliubov Hamiltonian $\\big(H_{\\mathrm{BG}} ({\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) \\big)$ is the chiral symmetry\n\\begin{equation}\nH_{\\mathrm{BG}} ( {\\bf k} ) + H_{{\\bf \\Delta}}({\\bf k}) = U_S^{-1} \\big(H^*_{\\mathrm{BG}} (- {\\bf k} ) + H^{*}_{{\\bf \\Delta}}(- {\\bf k}) \\big) U_S \\,\n, \\quad \\quad U_S = U_T \\, U_C = U_C \\, U_T \\, , \\quad \\quad  U_S^2 = {\\bf I}_{12 \\mathrm{x} 12} \\, ,  \n\\end{equation} \ncomposed by the product of time- and charge-conjugation symmetries. Chiral symmetry does not change the topology class of the  Bogoliubov Hamiltonian, remaining DIII.\n}\n\n\n\\section*{APPENDIX 2: setting the pairing ansatz}\n\n{\\color{black}\nOn a general lattice, the mean field approach to superconductivity proceeds identifying all the possible pairings corresponding to the irreducible representations of the point-group \nsymmetry of the lattice: the ansatzs for the pairings are expressed in terms of them \\cite{annett}. This procedure is analogous to the expansion in terms of\nspherical harmonics in the isotropic, $SO(3)$  invariant,  free space.\n\nThe spectra in Eq. \\eqref{e.5}, in the absence of the spin-orbit and inversion terms in Eqs. \\eqref{e.7} and \\eqref{e.8}, display a $D_2$ point group symmetry \\cite{dress_book}.\nHowever, due to the presence of the latter two terms, in order to implement the mean field approach, we have still to assume all the pairings allowed \nby the symmetry of the isotropic square lattice. This lattice has (finite) point group symmetry $D_4$, containing $D_2$ and composed by the group $C_4$ of the rotation \nof angles $\\theta_n = n \\, \\frac{\\pi}{2}, \\, \\, n = 0, \\dots,3$, and by the reflections around one (vertical or horizontal) axes (see e.g. \\cite{dress_book}).\n}\n\n In this case, the basis functions labelling the irreducible representations which the eight-fold regular representation decomposes in, are $k_x^2 + k_y^2$, $k_x^2 -\n k_y^2$, $k_x k_y$, $\\Big(\\begin{array}{c} k_x \\\\ k_y \\end{array}\\Big)$. The first three (parity even)  functions, together with the constant $c$,  can be assumed as\n a basis for the spin-singlet pairings, while the (parity odd) doublet can be assumed as a basis for the spin-triplet pairing. Summing up, the superfluid pairing can be generally assumed as:\n\\begin{equation}\n\\Delta = \\Delta_{s,0} + \\Delta_{s,1} \\, m(|{\\bf k}|) + \\Delta_{s,2} \\, f(|{\\bf k}|) \\, \\frac{k_x^2 - k_y^2}{|{\\bf k}|^2} + \\Delta_{s,3} \\,  g(|{\\bf k}|) \\, \n\\hat{k}_x \\hat{k}_y + {\\color{black} \\Delta_t} \\,  h(|{\\bf k}|) \\,  (\\hat{k}_x + i \\hat{k}_y) \\, ,\n\\label{totpar}\n\\end{equation}\nplus possible powers of these terms (required e. g. in the presence of a strong cubic Rashba-coupling, {\\color{black} as in \\cite{nakamura2012}}). \nNotice however that pairings involving higher powers than 1 should be less relevant around $k_x = k_y = 0$.\nBoth in the effective theories for $\\epsilon_-$ and $\\epsilon_0$ bands, {\\color{black} it is expected that the spin-orbit interaction (including \nthe relevant not-linear corrections) plays a critical role in determining the  pairings that set in}. The effect of a linear spin-orbit coupling has been studied in \\cite{rashba2001}, where a\nmixing (singlet-triplet and s-p wave) has been identified. The same situation could be expected here. However, the not-linear spin-orbit couplings could change the picture. \n\n\n\n\\section*{APPENDIX 3: derivation of the effective theories in Eqs. \\eqref{eff-} and  \\eqref{eff0}}\n\nIn order to probe the presence of non-BCS pairings, suggested by recent works, it is useful to restart considering the structure of the \n$\\epsilon_{yz}$, $\\epsilon_{zx}$, and $\\epsilon_{xy}$  bands (in the absence of Zeeman couplings), as well as the real bands  $\\epsilon_{+,i}$,\n$\\epsilon_{0,i}$, and $\\epsilon_{-,i}$ (in the following we will neglect the degeneracy index $i$, for sake of brevity) resulting from the mixing \nof them, according to the Hamiltonian in Eq. \\eqref{e.3}. The plots of them are given in Fig. \\ref{bande}.\n\nIt is clear that the mixing of the  $\\epsilon_{yz}$, $\\epsilon_{zx}$, and $\\epsilon_{xy}$ is relevant only around their band-touching points, \naround the momenta $k_x = k_y = 0$ and \n$k_x = k_0 \\approx \\pm 0.35 , k_y = 0$, as expected from the low ratios $\\frac{\\gamma}{t_1}$ and $\\frac{\\Delta_{so}}{t_1}$ in Eq. \\eqref{e.3}. \nClearly, the importance of the same mixing relatively to the three bands depends on which ones are touching each others: around $k_x = 0$, \nthe bands $\\epsilon_{yz}$, $\\epsilon_{zx}$ undergo an important mixing, while around the point  $k_x = k_0 , k_y = 0$ ($k_x = 0 , k_y \\approx \\pm 0.35$),\nthe bands $\\epsilon_{zx}$, and $\\epsilon_{xy}$ ($\\epsilon_{yz}$, and $\\epsilon_{xy}$) do.\n\n\n\nWe focus first around the point $k_x = k_y = 0$. In this region, due to the relatively small ratios $\\lambda_1 = \n\\frac{\\gamma}{{\\color{black} E_t}} = 0.4$ and $\\lambda_2 =\\frac{\\Delta_{so}}{{\\color{black} E_t}} = 0.2$ effective expressions \ncan be obtained for $\\epsilon_+$, $\\epsilon_0$, and $\\epsilon_-$, exploiting second-order perturbation theory (in standard notation):\n\\begin{equation}\nE_n (\\lambda) = E_n^{(0)}  +\n \\lambda^2 \\sum_{k \\neq n} \n \\frac{| \\langle k^{(0)}  | V | n^{(0)} \\rangle |^2}\n {E_n^{(0)} - E_k^{(0)}} \n+ O(\\lambda^3) \\, ,\n\\label{pert}\n\\end{equation}\nand, in the presence of two perturbations $\\lambda_1 \\, V_1$ and  $\\lambda_2 \\, V_2$:\n\\begin{equation}\nE_n (\\lambda) = E_n^{(0)}  +\n{\\color{black} E_t}^2 \\, \\sum_i \\lambda_i^2 \\sum_{k \\neq n} \n \\frac{| \\langle k^{(0)}  | V_i | n^{(0)} \\rangle |^2}\n {E_n^{(0)} - E_k^{(0)}} + {\\color{black} E_t}^2 \\, \\lambda_1 \\lambda_2 \\, \\sum_{k \\neq n} \n\\Bigg( \\frac{\\langle k^{(0)}  | V_1 | n^{(0)} \\rangle \\langle n^{(0)}  | V_2| k_0^{(0)} \\rangle}\n {E_n^{(0)} - E_k^{(0)}} + \\mathrm{H. c.} \\Bigg)\n+ O(\\lambda^3) \\, .\n\\label{pert2}\n\\end{equation}\n\n\\subsection*{Lower band}\nWe start with the derivation of the effective theory for the  $\\eta_-$ band. Exploiting Eq. \\eqref{pert2}, the couplings of  $\\epsilon_{xy}$ \nwith $\\epsilon_{yz}$ and  $\\epsilon_{zx}$, included perturbatively, yields to\n\\begin{equation}\nH_-^{(\\mathrm{eff})} = \\Big(\\epsilon_{xy} + {\\color{black} E_t}^2 \\, \\frac{\\lambda_1^2 \\sin^2  k_x+   \\lambda_2^2}{\\epsilon_{xy} - \\epsilon_{yz}} \n+{\\color{black} E_t}^2 \\,  \\frac{\\lambda_1^2 \\sin^2  k_y+  \\lambda_2^2}{\\epsilon_{xy} - \\epsilon_{zx}}\\Big) \\, {\\bf I} + 2 \\, {\\color{black} E_t}^2 \\, \n\\lambda_1 \\, \\lambda_2 \\, \\Big( \\frac{\\sigma_y \\sin k_x}{\\epsilon_{xy} - \\epsilon_{yz}} - \\frac{\\sigma_x \\sin k_y}{\\epsilon_{xy} - \\epsilon_{zx}}  \\Big)+  O(\\lambda_i^3) \\, ,\n\\end{equation}\nand, expanding in powers of $k_x$ and $k_y$:\n\\begin{equation}\nH_-^{(\\mathrm{eff})}  ({\\bf k}) = \\epsilon_- ({\\bf k}) \\, {\\bf I}  -  (a_1 \\, k_x + a_2 \\,  k_x^3)  \\, \\sigma_y +  (a_1 \\, k_y + a_2 \\, k_y^3)  \\, \\sigma_x \\, ,\n\\label{eff-bis} \n\\end{equation} \nwith $a_1 = 8$ meV (in units of the lattice step $a \\equiv 1$), $a_2 = 43.46$ meV, $ \\epsilon_- ({\\bf k}) = \\big(- 54. + 280.8 \\, (k_x^2 + k_y^2) \\big)$\nmeV (so that  $t_-^{(\\mathrm{eff})} = 280.8$ meV). \nThe spectrum of the effective Hamiltonian in Eq. \\eqref{eff-bis}, compared with the exact one, is shown in Fig. \\ref{bande2}. The agreement is excellent around $k_x = k_y = 0$.\n\n\n\n\\subsection*{Central band}\n\nThe derivation of the effective theory for the  $\\eta_0$ band is more subtle. Indeed, the  $\\epsilon_{yz}$, $\\epsilon_{zx}$ are degenerate at  $k_x = k_y = 0$, \nthen before applying second-order perturbation theory, some elaboration of the Hamiltonian \\eqref{e.3} is required. In particular,  we notice that $H_Z ( {\\bf k} )$ in  Eq. \\eqref{e.8} do not mix \n$\\epsilon_{zx}$  with $\\epsilon_{yz}$. Therefore we start diagonalizing {\\it exactly}  the partial Hamiltonian  $H_0 ( {\\bf k} ) + H_{SO}$ \nin the subspace $\\epsilon_{zx}$  with $\\epsilon_{yz}$, by a unitary transformation $O = \\mathrm{diag} (O_{2 \\mathrm{x} 2} , 1)$). This transformation \ndoes not mix the spins, {\\color{black} therefore $O$ can ne also written as $O = \\tilde{O}_{2 \\mathrm{x} 2} \\otimes {\\bf I}_{2 \\mathrm{x} 2}$.} In this way, we obtain\n\\begin{equation}\nH_0^{\\prime} + H_{SO}^{\\prime \\, (\\mathrm{rid})}  = \\left[ \\begin{array}{ccc}\n\\epsilon_{a} \\, {\\bf I} & {\\bf 0} & {\\bf 0 } \\\\\n{\\bf 0} & \\epsilon_{b} \\, {\\bf I} & {\\bf 0} \\\\\n{\\bf 0} & {\\bf 0} & \\epsilon_{xy} \\, {\\bf I} \n                         \\end{array} \\right] \n\\;\\;\\;\\; ,\n\\label{e.4t}\n\\end{equation}\n\\noindent\\, \nwith $\\epsilon_a < \\epsilon_b$ around $k_x = k_y = 0$. {\\color{black} At this level, the spins get mixed each others. The bands $\\epsilon_{a}$,\n$\\epsilon_{b}$, and $\\epsilon_{xy}$ are coupled further by the terms from $H_{SO}$ and $H_Z({\\bf k})$, rotated by $O$:\n\\begin{equation}\nH_0^{\\prime} + H_{SO}^{\\prime} + H^{\\prime}_Z  = \\left[ \\begin{array}{ccc}\n\\epsilon_{a} \\, {\\bf I} & {\\bf 0} &  V  \\\\\n{\\bf 0} & \\epsilon_{b} \\, {\\bf I} & W \\\\\n V^{\\dagger}  &  W^{\\dagger} & \\epsilon_{xy} \\, {\\bf I} \n                         \\end{array} \\right] \\, ,\n\\label{e.4bis}\n\\end{equation}\nwhere\n\\begin{equation}\n V ( {\\bf k})  \\equiv V = \\left[ \\begin{array}{cc}\n a( {\\bf k})  &  b( {\\bf k})   \\\\\n {} \\\\\n -  b^*( {\\bf k})   &  a( {\\bf k}) \\\\\n \\end{array} \\right] \n\\end{equation}\nis the matrix mixing the $\\epsilon_a$ and  $\\epsilon_{xy}$ bands, while $W$ is the matrix mixing $\\epsilon_{b}$ and $\\epsilon_{xy}$.\nThe precise expressions for its elements are rather involved and not immediately relevant here. No further coupling\nbetween $\\epsilon_{b}$ and $\\epsilon_{a}$ occurs from $H_{SO}$ and $H_Z({\\bf k})$. \n\n\nThe effect of $V$ and $W$ is introduced perturbatively, as above, obtaining for $\\epsilon_{a}$:\n\\begin{equation}\nH_0^{(\\mathrm{eff})}  = \\epsilon_a \\, {\\bf I} + \\frac{1}{\\epsilon_a - \\epsilon_{xy}} \\, \n\\left[ \\begin{array}{cc}\n |a( {\\bf k})|^2 + | b( {\\bf k})|^2  & - a( {\\bf k})  b( {\\bf k}) + a^*( {\\bf k})  b( {\\bf k})   \\\\\n {} \\\\\n - a^* ( {\\bf k})  b^*( {\\bf k}) + a( {\\bf k})  b^*( {\\bf k})   &  |a( {\\bf k})|^2 + | b( {\\bf k})|^2 \\\\\n \\end{array} \\right] \\,  \\, \n\\end{equation}}\n\n\nExpanding all these expressions around $k_x = k_y = 0$, we obtain approximately (and up to momentum powers bigger than 3):\n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) =  \n\\left[ \n\\begin{array}{c}\n\\epsilon_0 ({\\bf k})  \\quad  \\quad a_3 \\, (i k_x+ k_y)  - a_4 \\, (i k_x -k_y)^3 - a_5 \\, k_x k_y (k_x + i k_y)  \\\\\n {} \\\\\na_3\\, (- i k_x+ k_y)  + a_4 \\, (i k_x + k_y)^3 - a_5 \\, k_x k_y (k_x -i k_y)   \\quad \\quad \\epsilon_0({\\bf k}) \\\\\n \\end{array} \n \\right] \\, ,\n \\label{eff0bis}\n\\end{equation}\nwith $a_3= 0.8$ meV, $a_4 = 8.627$ meV, $a_5 = 22.8$ meV and  $\\epsilon_0 ({\\bf k}) = \\big(-10.8 +157.2 \\, (k_x^2 + k_y^2) \\big)$ meV (so that $t_0^{(\\mathrm{eff})} = 157.2$ meV).\nWe see that the dispersion is very close to that before the perturbative mixing. The spectrum of the effective Hamiltonian in Eq. \\eqref{eff0}, \ncompared with the exact one, is shown in Fig. \\ref{bande2}. The agreement is excellent around $k_x = k_y = 0$.\\\\\n\nAdding a Zeeman term as in Eq. \\eqref{e.9} is rather straightforward. Indeed, since the Zeeman term in the same equation has the form \n{\\color{black}$H_{M} = {\\bf I}_{3 \\mathrm{x} 3} \\otimes  {\\bf M} \\cdot {\\bf \\sigma} $,  it is sufficient to add the term  $\\bf{M} \\cdot \\bf{\\sigma}$ } to $H_-^{(\\mathrm{eff})}$. \n\n\nThe same situation is realized for  $H_-^{(\\mathrm{eff})}$, since, as we described before Eq. \\eqref{e.4t}, the matrix $O$, mixing the $zx$ \nand $yz$ bands, is diagonal in the spin index $\\sigma$, $O = \\tilde{O}_{2 \\mathrm{x} 2} \\otimes {\\bf I}_{2 \\mathrm{x} 2}$.\nIn Fig. \\ref{bande2}, we compare the exact bands from Eq. (\\ref{e.1}) with the bands of the effective Hamiltonians in Eqs. (\\ref{eff-},\\ref{eff0}).\n\n\\begin{figure}[h!]\n\\includegraphics[scale=0.4]{bande_a1.png}\n\\caption{Comparison of the exact bands from Eq. (\\ref{e.1}) (black lines) with the bands of the effective Hamiltonians in Eqs. \\eqref{eff-} and \\eqref{eff0} (dashed lines). \n}\n\\label{bande2}\n\\end{figure}\n\n{\\color{black}\n\\section*{APPENDIX 4: Additional pairings}\n In this Appendix , we discuss additional pairings which could be considered in the system.\n\n\nIn Eq. \\eqref{hamilpair},  an  inter-site attraction between particles with opposite spins can be included, as well. Correspondingly,\nwe considered also a triplet term related to a pairing between opposite spins.\nHowever, the self-consistent solution of the superconducting phase showed that this term is always zero in the range of $U$ and $V$ that we have considered in this paper. \nActually, in the  triplet pairing  representation, this term would correspond to a vector $d_z ({\\bf k})$, which  comes out to  vanish. This is \nquite typical of two-dimensional superconductors  with in-plane spin-orbit coupling \\cite{frigeri2004,sato2010}, such as the one we consider here, while an  out-of-plane spin-orbit coupling tends to favour a nonzero $d_z$.\nThat  $d_z({\\bf k})=0$ can be  already inferred from Eq. \\eqref{eff0}. Indeed, in \\cite{frigeri2004} it has been shown that \nthe superconducting transition\ntemperature is maximized when the spin-triplet pairing vector $d({\\bf k})$ (see Eq. \\eqref{pairing}) is aligned with the polarization vector ${\\bf g}({\\bf k})$ parametrizing \nthe spin-orbit coupling \\big($H_{\\mathrm{SO}} ({\\bf k}) = {\\bf g}({\\bf k}) \\cdot {\\bf \\sigma}$\\big). For $H_0^{(\\mathrm{eff})}  ({\\bf k})$ in  Eq. \\eqref{eff0} \n(neglecting the out-of-diagonal terms with power in the momenta higher than one, subleading around ${\\bf k} = 0$), we have \n\\begin{equation}\nH_0^{(\\mathrm{eff})} ({\\bf k}) \\approx \\epsilon_0 ({\\bf k})  \\, {\\bf I}_{2 \\mathrm{x} 2}  + g_1 ({\\bf k}) \\, \\sigma_x + g_2 ({\\bf k}) \\, \\sigma_y \\, ,\n\\end{equation}\nwith $g_1({\\bf k}) = 0.8 \\, k_x$ and $g_2({\\bf k}) = - 0.8 \\, k_y$, and $g_3({\\bf k}) = 0$. Therefore it is expected that  $d_z({\\bf k}) = 0$.\n\nFinally, it is worth commenting on the fact that, strictly speaking, we make the ansatz in Eq. \\eqref{hamilbogo}  \nfor the unrotated  $\\tau$-bands.  However, the same ansatz can be adopted  at least for the low-density regime \nof the $\\eta_-$ and especially $\\eta_0$ bands, the latter doublet being the regime where superconductivity is postulated \\cite{gariglio2016}. \n Indeed, around ${\\bf k} = 0$, one gets (see Appendix 3 for details),\n\\begin{equation}\n\\eta_{0 , \\sigma} ({\\bf k}) = \\alpha_{(yz) , \\sigma} ({\\bf k}) \\, c_{(yz) , \\sigma} ({\\bf k}) + \\alpha_{(zx) , \\sigma} ({\\bf k}) \\, c_{(zx) , \\sigma} \\, ({\\bf k}) \\, ,\n\\end{equation} \n with $\\big( \\tau = (yz , zx)$\\big):\n\\begin{equation}\n|\\alpha_{\\tau , \\sigma} ({\\bf k} \\to 0) | = \\frac{1}{\\sqrt{2}} + O(k_x^2) + O(k_y^2) \\, .\n\\end{equation} \n Therefore, since the same mapping is also diagonal in $\\sigma$, it preserves, up to phases, the structure of the s-p pairing \n(at most linear in the momenta), at least around ${\\bf k} = 0$.  This behaviour is even strengthened for the $\\eta_-$ band, that results\nfrom the mixing around ${\\bf k} = 0$ of the $xy$ bands with the others:  in fact,\nthis mixing is suppressed by the energy gap $E_t$ in Eq. \\eqref{e.5}.\n\nIt is also worth stressing that we do not add a  spin-singlet intersite contribution. Indeed, our analysis focuses on the regime of low filling, where the occupied electronic states are close to ${\\bf k} = 0$.\nIn the small momentum limit, the spin-singlet intersite term would give rise to  extended s-wave order parameter (ruled by a sum of cosines of the momentum) which would result in just a subleading additive contribution to the standard s-wave parameter induced by on-site attractive terms. Therefore, we neglected it, adding instead the leading nonzero contribution with equal spins (that is also more relevant once one turns on a magnetic field).\n\n\n\n\\section*{APPENDIX 5: Effects of inversion-symmetry breaking term}\n\\label{APP_SPIN}\n}\n\nIn Section \\ref{MFsol} of the main text, we have found a large regime for $U$ and $V$, where triplet and singlet pairings coexist in the first dome.\nThen we inferred that this mixing, allowed by $V$, stems from the parallel\ncontributions of the spin-orbit term in Eq. \\eqref{e.7}  and of the inversion breaking one in Eq. \\eqref{e.8}. Indeed, at the effective level, \nthey result together in the Rashba-like coupling of Eq. \\eqref{eff0}, known to induce a mixing of pairings with different parity \\cite{rashba2001}.\nMore in detail, in the same regime of energies, the contribution of Eq. \\eqref{e.7} is dominant on that of Eq. \\eqref{e.8} (vanishing at ${\\bf k} = 0$), a fact can be inferred also in \nthe direct construction of Eq. \\eqref{eff0}.\n\nIt is important to investigate directly this effect of the  spin-orbit term in Eq. \\eqref{e.7} on the mixing of the pairings. For this purpose, we\nrepeat the mean field procedure performed above, switching off the same term.\nIn the resulting Fig. \\ref{SOC}, again at fixed $U = 350$ meV, $\\frac{V}{2} = 290$ meV, and $\\mu = -9$ meV, it appears clear that Eq. \\eqref{e.7}\ncollaborates to enforce the triplet pairing, correspondingly lowering the singlet component. However, this effect does not look critical, changing the \npreviously found behaviours only quantitatively.\nTherefore, the major role to the singlet-triplet mixing seems, in the analyzed regimes, to result from the $V$ term of the potential in Eq. \\eqref{hamilpair},\neven for chemical potentials close to the Lifshitz point where the first dome starts.  In turn, the $V$ term can be ascribed to the relatively \nlow charge densities at the location of the dome. For these reasons, similar results are obtained at higher chemical potentials going from the first to the second dome. \nWe ascribe the present result to the ability, described in Section \\ref{super}, of the mean-field approach to grasp the interplay between singlet and triplet components.\n\\begin{figure}[h!]\n\\includegraphics[scale=0.30]{FIG12A.pdf}\n\\includegraphics[scale=0.30]{FIG12B.pdf}\n\\caption{{\\color{black} Singlet (Left panel) and triplet (right panel) pairing amplitudes (in meV) for the $\\tau=zx$ bands, as a function of the chemical potential (in meV). \nThe attractive couplings in  Eq. \\eqref{hamilpair} are set as $U =350$ meV and $\\frac{V}{2} = 290$ meV.}}\n\\label{SOC}\n\\end{figure}\n\n\\newpage\n\n\\twocolumngrid\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\n\\vspace{5pt}\nGlobular clusters (GCs) in our Milky Way are tightly bound groups of very old ($>\\!\\! 10$ Gyr) and metal-poor stars. They formed in the early Galaxy and can contain hundreds of thousands of stars, with extremely high stellar densities in the cores. At optical wavelengths, the luminosity of a GC is dominated by the large number of main sequence (MS) stars and evolved stars including red giant branch (RGB) stars and horizontal branch (HB) stars, as well as blue stragglers (BSs). Stellar exotica such as white dwarfs (WDs), binaries such as cataclysmic variables (CVs, consisting of a WD accreting mass from a companion) and low-mass X-ray binaries (LMXBs, containing a neutron star or a black hole accreting material from a low-mass companion) are optically faint and are therefore not easily detected in the cores of GCs in the visual wavebands. The spectral energy distribution of these hot exotic objects usually peaks at far-ultraviolet (\\textit{FUV}) wavelengths, where MS stars and RGBs are faint. As a result, the core of a GC appears less crowded in the \\textit{FUV} and the exotic sources can be more easily detected and examined. Several cores of Galactic GCs have been studied in the far-ultraviolet, including M2\\ \\citep{m2},\\ M15\\ \\citep{m15},\\ M80\\ \\citep{m80_2, m80}, NGC 1851 (\\citealt{ngc1851, zurek2009, maccarone, zurek, Subramaniam2017}), NGC 2808 \\citep{brown,ngc2808}, NGC 5466 \\citep{Sahu}, NGC 6397 \\citep{ngc6397}, NGC 6752 \\citep{ngc6752}, 47 Tuc \\citep{47tuc}. Also M3, M13 and M79 \\citep{dalessandro2013}, and the outskirts of GCs have been observed with the \\textit{Galaxy Evolution Explorer (GALEX)} survey of GCs \\citep{Dalessandro2012, Schiavon2012}, and the \\textit{Swift Gamma-Ray Burst Mission} UVOT survey \\citep{Siegel_2014,Siegel_2015}.\n\nWe are able to probe deeper into GCs by detecting stellar populations that shine brightly in specific wavelengths, particularly those populations which formed by dynamical interactions. For example, blue stragglers (BS) appear to be on the MS above the turnoff point, although the cluster's age indicates that they should have evolved away from the MS to become red giants. These sources likely have mass added by either mass transfer from a companion \\citep{mccrea}, or resulting from a direct collision \\citep{hills}, which adds hydrogen fuel to the core allowing these stars to remain on the MS for longer than they would have otherwise. The high density of stars in the cluster core allows frequent interactions resulting in various exotic sources such as BS stars, CVs, X-ray binaries and millisecond pulsars (MSPs, \\citealt{Shara_2006, Hurley_2007, ivanova, hong, kremer2020}). Detailed stellar-dynamical analyses can be found in \\citet{leigh2007,leigh2011,leigh2013,leigh2015,chatterjee2010,chatterjee2013,hypki,wang2016,belloni2017,belloni2018a,belloni2018b,Belloni2019} and \\citet{rui2021}. Binary systems are important for the dynamical evolution of the cluster \\citep{heggie,hut}, as the binding energy in the binary can be transferred to other stars in dense stellar systems, stabilising the cluster against deep core collapse \\citep{hills1975,hurley_shara2012,breen,rodriguez}, such that the initial binary population constitutes an essential aspect \\citep{belloni2017}. Thus the detection of binary systems is important for our understanding of the dynamical state of the cluster.\n\nM30 (NGC 7099) is a metal-poor globular cluster with a metallicity of [Fe\/H] = --2.12 \\citep{harris}. It is located 8.3\\:$\\pm$\\:0.2\\:kpc away from us in the Galactic halo and has an estimated age of 13.0\\:$\\pm$\\:0.1\\:Gyr \\citep{kains}. M30 has a retrograde orbit with an average orbital eccentricity of $\\langle e\\rangle$ = 0.316, average perigalactic and apogalactic distances of $\\langle r_{min}\\rangle$ = 3.94 kpc and $\\langle r_{max}\\rangle$\\:=\\:7.58\\:kpc respectively, and an average maximum distance from the Galactic plane of $\\langle|z|_{max}\\rangle$ = 4.95 kpc (\\citealt{allen2006}, based on a nonaxisymmetric (barred) Galactic potential). M30 has a cluster mass of\\:$\\approx$\\:1.6\\:$\\times$\\:10$^5$\\:M$_{\\odot}$ and is core-collapsed: it has dynamically evolved so that the most massive stars have fallen inward and are concentrated towards the cluster core within a radius of only 1.9$''$\\:(0.08\\:pc, \\citealt{sosin}). M30 has a very high central density ($\\approx$\\:10$^6$\\:M$_{\\odot}$\\:pc$^{-3}$, \\citealt{lugger}), indicating a high rate of stellar interactions and activity in the core region. This has resulted in a large bluer inward colour gradient, where the \\textit{B$-$V} colour profile has a strong inclination towards bluer magnitudes in the centre, resulting from the infall of BS stars and a depletion of RGs from the core \\citep{howell}. Optical studies on M30 have yet to find a significant CV or WD population.\n\n\nBased on the optical \\textit{Hubble Space Telescope (HST)} Wide Field Planetary Camera 2 (WFPC2) data, a significant BS population is observed in M30 \\citep{guhathakurta}, and \\citet{ferraro} suggest that these stars can be divided into two distinct blue straggler sequences in the \\textit{V\\,$-$\\,I} colour-magnitude diagram (CMD). The blue BS sequence aligns with the zero-age main sequence (ZAMS) and the red sequence lies at a brighter magnitude of $\\Delta V$\\:$\\approx$\\:0.75\\:mag. Isochrones from stellar evolution models representing collisions are found to lie along the blue BS sequence \\citep{ferraro,sills}, and the red BSs populate a region that can be reproduced with models which undergo mass transfer \\citep{xin}. \\citet{zwart} also\nproduced stellar simulations and show that red BSs form by mass transfer at a constant rate over the cluster lifetime, whereas the blue BSs may have formed by mergers during a short burst of activity when the core of the cluster collapsed roughly 3.2 Gyr ago. The burst of activity would have resulted from the increased likelihood for interactions between stars due to the collapsing cluster core. It remains unknown however why the two sequences are parallel and why the red sequence is\\:$\\approx$\\:0.75\\:mag brighter than the blue one. Double BS sequences have also been detected in NGC 362 \\citep{Dalessandro_2013} and NGC 1261\\citep{Simunovic_2014}.\n\n\nThis first work in our study of M30 aims at analysing \\textit{HST FUV} and $UV$ data using photometry and providing an ultraviolet CMD and an analysis of the radial distributions of the different stellar populations. The observations and data reduction are described for each filter in Sect. \\ref{observation} and the \\textit{FUV} $-$ \\textit{UV} CMD is presented in Sect. \\ref{cmd}. The optical counterpart matching is given in Sect. \\ref{opticalsec}, and radial distribution analysis in Sect. \\ref{radialsec}, followed by a summary in Sect. \\ref{summ}.\nA following publication in this study will include potential counterparts to known X-ray sources and an investigation into the variable sources in M30.\n\n\n\\section{Observations and image processing}\n\\label{observation}\n\n\\begin{table*}\n    \\centering\n \\caption{Log of the observation dates, the camera and filters used, and the total exposure times. \\label{obslog}}\n\\begin{footnotesize}\n\\begin{tabular}{ccccc}\n\\hline\nCamera&Filter&Data Set&Start Date&Exposure Time (s)\\\\\n\\hline\\hline\n    ACS\/SBC&F150LP&J9HC02011&29 May 2007 16:45:50&5040\\\\\n    ACS\/SBC&F150LP&J9HC04011&03 June 2007 11:51:14&5040\\\\\n    ACS\/SBC&F150LP&J9HC04021&03 June 2007 15:01:42&2520\\\\\n    ACS\/SBC&F150LP&J9HC06011&09 June 2007 02:10:34&7560\\\\\n\tWFPC2&F300W&U9HC0301M-U9HC0308M&29 May 2007 19:58:16&4000\\\\\n\tWFPC2&F300W&U9HC0501M-U9HC0508M&03 June 2007 16:39:16&4000\\\\\t \n\tWFPC2&F300W&U9HC0701M-U9HC0708M&09 June 2007 07:00:16&4000\\\\\t \n\n\n\\hline\n\\end{tabular}\n\\end{footnotesize}\n    \\label{observations}\n\\end{table*}\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{fuv3.jpg}\n    \\caption{Master image of the \\textit{FUV} ACS\/F150LP exposures of the core of M30, which spans 34.6$''$ $\\times$ 30.8$''$ (1.40 pc $\\times$ 1.24 pc). \n    North is up and east is to the left.}\n    \\label{fuv}\n\\end{figure}\n\n\\vspace{5pt}\n\\subsection{The ACS \\textit{FUV} data}\n\n\\vspace{5pt}\nThe far-ultraviolet (\\textit{FUV}) data was obtained with the Advanced Camera for Surveys (ACS) on board the \\textit{HST}, using the Solar Blind Channel (SBC) and F150LP filter (program GO-10561; PI: Dieball), in 15 orbits distributed over three visits,\nfrom the 29th May to the 9th June 2007. The SBC has a field of view of 34.6$''$ $\\times$  30.8$''$ and a pixel scale of 0.034$''$ $\\times$ 0.030$''$ pixel$^{-1}$. \nSixty-four images were taken, each with an exposure time of 315 s, resulting in a total exposure time of 20160 s, and are described in Table \\ref{obslog}. \nThermal breathing during the 96 minute day-night cycle of the \\textit{HST} for each visit, as well as guide star re-acquisition,\ncan create small shifts between the individual images taken at the same pointing position. As a first step, a master image is created  which realigns all individual images using the \\texttt{TWEAKREG} task from the \\texttt{DRIZZLEPAC} package running under \\texttt{PYRAF} \\citep{pyraf}. This task compares the world coordinate system (WCS) data in the header of each image to a reference image (the first in our list) and calculates the small residual shifts made by the pointing differences.\nThe threshold is adjusted to ensure the rms of the shifts is small and there is no correlation in the residual plots. \nThe images are then combined into a geometrically-corrected master image using the \\texttt{ASTRODRIZZLE} task from the \\texttt{DRIZZLEPAC} package. This task incorporates the processes of performing sky subtraction, drizzling, creating a median image, cosmic ray removal and final combination into the master image. In this instance, cosmic ray removal is not needed as the SBC is not sensitive to cosmic rays. The \\textit{FUV} master image is shown in Fig.~\\ref{fuv}. Although this shows the extremely dense core region of the cluster, the \\textit{FUV} image does not suffer from much crowding since the numerous MS stars are faint at these wavelengths.\n\n\n\n\\subsubsection{Object identification}\n\n\\vspace{5pt}\nMost of the potential sources are automatically detected using the \\texttt{DAOFIND} task in the \\texttt{DAOPHOT} package \\citep{stetson}, running under \\texttt{PYRAF}. This task determines if there is a source in a given pixel by applying a Gaussian profile on the surrounding pixels. A detection is recorded if there is a good fit with a large positive central height of the Gaussian, whereas a negative or minimal height resembles the edge of a star or an empty region of sky \\citep{stetson}. A FWHM\\:of\\:3 and zero readnoise is used for the ACS\/SBC. The coordinates of found sources are over-plotted onto the master image to be checked by eye. The threshold for \\texttt{DAOFIND} needs to be chosen such that it detects as many faint sources as possible without making too many false detections in the vicinity of the brightest stars. These false detections are then removed from the list by hand (along with some false detections at the edge of the image), and any of the faint sources missed by the \\texttt{DAOFIND} task are added. The resulting number of objects found in the \\textit{FUV} is 1934. \n\n\\subsubsection{Stellar photometry}\n\n\\vspace{5pt}\nAperture photometry was performed using the task \\texttt{DAOPHOT} \\citep{stetson} running under \\texttt{PYRAF}. An aperture of 4 pixels was used with a sky annulus of 8-12 pixels. A small aperture is needed for dense stellar systems, however in order to account for the limited percentage of flux contained in the small aperture, an aperture correction, ApCorr, is applied, which is the inverse of the encircled energy. The small sky annulus also contains light from the star itself,  and thus a sky correction, SkyCorr, is needed. Assuming that a larger sky annulus of 60-70 pixels contains only background flux, SkyCorr is determined by taking the magnitude ratio of the large sky annulus and the small sky annulus for several chosen isolated stars (see e.g. \\citealt{m15}). The fluxes are then converted into STMAGs using the formula:\n\n$$\\textnormal{STMAG =  - 2.5 $\\times$ log (flux $\\times$ SkyCorr $\\times$ ApCorr \/ ExpTime)}$$\n\n\\vspace*{-15pt}\n$$\\textnormal{+ ZPT},$$\n\n\\noindent where ZPT = --21.1 mag is the zero point for the STMAG system, and flux = counts $\\times$ PHOTFLAM, where PHOTFLAM is the inverse sensitivity of the instrument used to convert count rates into fluxes, and can be found in the image header. \nFor the ACS filter F150LP, this is:\n\n\\vspace*{-10pt}\n\\begin{equation*}\n \\rm{PHOTFLAM}_{ACS,F150LP} =  3.246305 \\times 10^{-17} \\rm{erg}\\ \\rm{cm}^{-2}\\ \\textup{\\AA}^{-1}\\ \\rm{count}^{-1}   \n\\end{equation*}\n\n\n\\vspace{5pt}\n\\noindent For an annulus of 4 pixels, the corrections are ApCorr\\:=\\:1.7636 \\citep{acs} and SkyCorr = 1.011. \n\n\\subsection{The WFPC2 F300W data}\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{nuv1.jpg}\n    \\caption{F300W master image of the WFPC2\/PC exposures of M30, with a field of view of $34\\arcsec \\times 34\\arcsec$ (1.37 pc $\\times$ 1.37 pc).  North is up and east is to the left.}\n    \\label{UV}\n\\end{figure}\n\n \n\\vspace{5pt}\nThe \\textit{UV} data was obtained using the WFPC2 which was on board the \\textit{HST} (program GO-10561; PI: Dieball) with the F300W filter in 15 orbits distributed over three visits,\nfrom the 29th May to the 9th June 2007. The WFPC2 consists of four cameras, the three Wide Field Cameras (WFCs) each with a field of view of $50'' \\times 50''$, and the Planetary Camera (PC) with a field of view of $34'' \\times 34''$, and a pixel scale of 0.046$''$ pixel$^{-1}$. The PC was centred on the cluster core. The exposures from these four chips are placed together into a mosaic image. Twenty-four mosaic images were taken with a total exposure time of 12000 s (Table \\ref{observations}).\n\n \\begin{figure*}\n    \\centering\n    \\includegraphics[scale=0.54]{CMD_detlimit.jpg}\n    \\caption{\\textit{FUV} -- \\textit{UV} CMD of M30. A theoretical ZAMS (solid orange line), ZAHB (dotted pink line), and a CO WD cooling sequence (dashed green line) have been added for orientation. The surface temperatures of WDs are also indicated. Additionally shown are sources measured in the \\textit{FUV} but with no \\textit{UV} counterpart (grey circles), using the detection limit of the \\textit{UV} to estimate their position on the CMD, which also represents the location of the detection limit.}\n    \\label{isochrones}\n\\end{figure*}\n\n\\subsubsection{Object identification and stellar photometry}\n\n\\vspace{5pt}\nA master image is created using the same method that was used for the \\textit{FUV} data, with the \\texttt{TWEAKREG} and \\texttt{ASTRODRIZZLE} tasks from the \\texttt{DRIZZLEPAC} package running under \\texttt{PYRAF} \\citep{pyraf}, and is shown in Fig.~\\ref{UV}. Photometry was performed using the package \\texttt{DOLPHOT} \\citep{dolphot}, running under \\texttt{IRAF} \\citep{iraf1,iraf2}. This program carries out the image alignment with respect to a reference image (our master image), source detection and  photometry directly on the 24  flat-fielded exposures. \\texttt{DOLPHOT} contains a specific module for the WFPC2 which performs PSF-fitting using a pre-calculated PSF model for the F300W filter\\footnote{\\url{http:\/\/americano.dolphinsim.com\/dolphot}}, and the output magnitudes are already flux corrected. As the ACS\/\\textit{FUV} field of view is contained within the field of view of the Planetary Camera, only the data from this chip is needed here. For the photometry, the recommended parameters for the WFPC2 module are first used, then optimised so that as many faint sources were measured as possible\\footnote{The optimised parameters are: imgRPSF = 10, RCentroid = 1}. The number of objects found in the PC\/F300W data is 10451, with 8836 of these within the \\textit{FUV} field of view.\n \n\n\n\n\\subsection{Catalogue matching}{\\label{transformation}}\n\n\\vspace{5pt}\nIn order to find objects that appear in both the \\textit{FUV} and \\textit{UV} data, the coordinates of the sources found in the \\textit{FUV} image are transferred into the \\textit{UV} frame. In order to make the conversion, the $x$ and $y$ positions of 30 reference stars easily identified in both images are used as input for the task \\texttt{GEOMAP} running under \\texttt{PYRAF}. This computes the spatial transformation which is used by the \\texttt{GEOXYTRAN} task to transform the coordinates of the \\textit{FUV} objects into the \\textit{UV} frame. This is checked by over-plotting the transformed \\textit{FUV} coordinates onto the \\textit{UV} image. The two catalogues are then compared for matching stars using the task \\texttt{TMATCH} which correlates the two lists for sources matching in coordinates within a radius of a given number of pixels. The average matching radius for sources in both frames is 0.35 pixels, and this procedure results in 1569 matching objects. The first 30 entries of the final list of sources are given in Table \\ref{fullcat}.\n\nA number of chance matches are expected, and can be estimated using the numbers of objects in the two wavelengths and the matching radius \\citep{knigge}. The estimated number of spurious matches is 74 pairs (4.6$\\%$ of all matches).\n\n\n\\section{The \\textit{FUV} -- \\textit{UV} CMD} \\label{cmd}\n\n\\vspace{5pt}\nThe \\textit{FUV} -- \\textit{UV} CMD is given in Fig. \\ref{isochrones}. A theoretical zero-age main sequence (ZAMS), zero-age horizontal branch (ZAHB), and WD cooling sequence with marked surface temperatures are included for orientation purposes. These are calculated using the fitting formulae of \\citet{tout}, the theoretical ZAHB models from \\citet{dorman} and the \\citet{wood} grid of WD cooling curves with a grid of synthetic WD spectra by \\citet{gansicke}. Kurucz models of stellar atmospheres are used for interpolation and the resulting spectra are then folded with the appropriate filter and detector combinations using \\texttt{PYSYNPHOT} running under \\texttt{PYRAF}. The cluster parameters used are a distance of 8.3 kpc, a metallicity of [Fe\/H]$=-2.12$ and a reddening of $E(B-V)=0.03$ mag.\n\n\\begin{figure}\n  \\centering\n    \\includegraphics[scale=0.13]{ferraro_BS_zams.jpg}\n    \\includegraphics[scale=0.13]{ferraro_BS_zams_lin.jpg}\n    \\caption{The BS sources that are found to be in a double BS sequence in the infrared by \\citet{ferraro}, marked according to whether they belonged to the blue (squares) or red (circles) BS sequence, on the $FUV - UV$ CMD (top) and their position verticalized along with respect to the ZAMS (bottom)}. \\label{ferraro}\n\\end{figure}\n\n\n\n\nThere is a well-defined main sequence, with turnoff at $FUV \\approx 22\\ \\textnormal{mag}$ and \\textit{FUV} -- \\textit{UV} $\\approx$ 3 mag. Many BS sources are seen along the ZAMS at brighter magnitudes than the turnoff. The RGB lies from the turnoff towards fainter and redder magnitudes. The HB reaches from the RGB up to \\textit{FUV} $\\approx$ 15 mag. The sources between the MS and WD cooling sequence are called gap objects and are likely to include CV candidates \\citep{m15}. Also included are 126 sources present in both $FUV$ and $UV$ fields of view with $FUV$ measurements but no $UV$ counterparts. The detection limit of $UV = $ 23.6 mag was used to estimate the position of these sources in the CMD, and as such they lie on the line representing this limit. \n\nFigure \\ref{ferraro} shows 16 of the BSs that are situated in the red BS sequence in \\citet{ferraro}, and 13 from the blue BS sequence. As the separations in colour are small, they are also plotted in Fig. \\ref{ferraro} in a verticalized CMD with respect to the theoretical ZAMS curve used in Fig. \\ref{isochrones}. The highest uncertainty in the  \\textit{FUV - UV} position for these sources was 0.024 mag, and 0.004 mag for the $FUV$. Of the two BS sources without counterparts from \\citet{ferraro}, the source at $FUV - UV \\approx 0$ mag (ID27) was just outside of their field of view, and the one at $FUV - UV \\approx -\\ 0.65$ mag (ID283) matched within 2 pixels to the position of a source that was between the double BS sequence and the RGB (\\citealp{ferraro}, their source \\#11002543), and as such was not included. The field of view in our study only included the cluster centre, thus further observations using a larger field of view of this cluster in \\textit{FUV} wavelengths is needed to fully explore the BS population, however we find that there is no clear distinction between the two BS sequences in our dataset. The sources that were attributed to the distinct sequences in \\citet{ferraro} appear to be well mixed in the ultraviolet, particularly as two of the red BS sources have a large blue excess compared to the other BSs (Fig. \\ref{ferraro}). As the sources on the red BS sequence are thought to be the result of mass transfer \\citep{xin}, the reason the two sub-populations appear mixed may be due to the sources on the red sequence being in an active state of mass transfer. \\citet{xin} detail a binary model which begins mass transfer at 7.54 Gyr, becomes brighter than the MS turnoff at around 10 Gyr, remains in the BS region for another 3-4 Gyr with mass transfer ceasing at 12.78 Gyr. Systems with active mass transfer emit $FUV$ radiation due to the hot material in the accretion disk which would give these sources a blue excess in the $FUV - UV$ CMD. These active systems  would then be shifted bluewards towards (and even beyond) the blue BS sequence in the ultraviolet.\n\n\n\\captionsetup[table]{labelfont={bf},name={Table},labelsep=period}\n\n\\begin{sidewaystable*}\n\n\n\\caption{The first 30 entries from the catalogue of sources in the \\textit{FUV} and \\textit{UV} field of view. The ID number is given in the first column, the position of the source in Cols. 2 and 3, the radial distance is given in Col. 4, and the pixel position of the source on the \\textit{FUV} image is in Cols. 5 and 6. The magnitudes are in Cols. 7 $-$ 9 and the resulting population type of each source (determined from the position in the \\textit{FUV} -- \\textit{UV} CMD) is given in Col. 10. Also included in Cols. 11$-$13 are the corresponding $B - V$ and $V$ magnitudes and ID number from the optical catalogue \\citep{guhathakurta}. This table is published in its entirety in the supplementary material (online).}\n\n\\small{\n\\begin{tabular}{ccccrrccccrcr}\n\\hline \n\nID & RA & Dec & $r^a$ & $x_{FUV}$ & $y_{FUV}$ & \\textit{FUV} & \\textit{UV} & \\textit{FUV}$-$\\textit{UV} & Type & B$-$V$^b$ & V$^b$ & ID$_{Optical}^b$\\\\\n & [h:m:s] & [$^{\\circ}$:$'$:$''$] & [arcmin] & [pixels] & [pixels] & [mag] & [mag] & [mag] & & [mag] & [mag]\\\\ \n\\hline\\hline \\\\\n1&21:40:20.94&-23:10:55.71&0.313&479.48&74.20&15.431\\ $\\pm$\\ 0.001&15.742\\ $\\pm$\\ 0.001&-0.311\\ $\\pm$\\ 0.002&HB&-0.09&15.63&755\\\\\n2&21:40:20.79&-23:10:48.11&0.314&794.64&81.69&22.464\\ $\\pm$\\ 0.030&18.868\\ $\\pm$\\ 0.004&3.596\\ $\\pm$\\ 0.034&MS& 0.34&18.69&635\\\\    \t\n3&21:40:20.87&-23:10:48.48&0.296&767.87&119.88&22.654\\ $\\pm$\\ 0.033&18.908\\ $\\pm$\\ 0.004&3.746\\ $\\pm$\\ 0.037&MS&0.37&18.74&699\\\\\t4&21:40:20.89&-23:10:47.74&0.291&793.36&137.83&22.550\\ $\\pm$\\ 0.039&18.654\\ $\\pm$\\ 0.004&3.896\\ $\\pm$\\ 0.036&MS&0.39&18.43&714\\\\\t\n5&21:40:20.81&-23:10:42.51&0.319&1005.74&157.13&22.583\\ $\\pm$\\ 0.033&18.852\\ $\\pm$\\ 0.004&3.731\\ $\\pm$\\ 0.037&MS&0.36&18.67&665\\\\\n6&21:40:20.92&-23:10:46.79&0.282&823.92&168.39&22.521\\ $\\pm$\\ 0.031&18.835\\ $\\pm$\\ 0.004&3.686\\ $\\pm$\\ 0.035&MS&0.34&18.69&746\\\\\n7&21:40:21.19&-23:10:57.86&0.283&358.25&182.20&18.495\\ $\\pm$\\ 0.005&18.027\\ $\\pm$\\ 0.003&0.468\\ $\\pm$\\ 0.008&BS&&&\\\\\n8&21:40:21.16&-23:10:56.00&0.270&434.47&187.06&21.511\\ $\\pm$\\ 0.020&15.513\\ $\\pm$\\ 0.002&5.998\\ $\\pm$\\ 0.022&RG&1.12&12.69&1005\\\\\n9&21:40:21.16&-23:10:54.62&0.256&485.79&207.67&22.478\\ $\\pm$\\ 0.031&18.767\\ $\\pm$\\ 0.004&3.711\\ $\\pm$\\ 0.035&MS&0.44&18.57&1025\\\\\t\n10&21:40:20.90&-23:10:42.02&0.301&1010.36&210.87&22.364\\ $\\pm$\\ 0.032&18.781\\ $\\pm$\\ 0.004&3.583\\ $\\pm$\\ 0.036&MS&0.29&18.57&730\\\\\n11&21:40:21.22&-23:10:56.63&0.264&400.37&213.90&22.314\\ $\\pm$\\ 0.029&16.099\\ $\\pm$\\ 0.001&6.215\\ $\\pm$\\ 0.030&RG&0.72&14.65&1107\\\\\t\n12&21:40:21.30&-23:10:58.23&0.266&325.55&240.04&22.390\\ $\\pm$\\ 0.030&18.784\\ $\\pm$\\ 0.004&3.606\\ $\\pm$\\ 0.034&MS&&&\\\\\n13&21:40:20.97&-23:10:40.17&0.298&1071.16&266.28&22.401\\ $\\pm$\\ 0.033&18.685\\ $\\pm$\\ 0.004&3.716\\ $\\pm$\\ 0.037&MS&0.33&18.48&796\\\\\n14&21:40:21.26&-23:10:53.33&0.226&520.49&272.55&21.896\\ $\\pm$\\ 0.023&18.325\\ $\\pm$\\ 0.003&3.571\\ $\\pm$\\ 0.026&MS&0.36&18.16&1163\\\\\n15&21:40:21.23&-23:10:51.75&0.223&586.04&273.16&22.376\\ $\\pm$\\ 0.029&18.568\\ $\\pm$\\ 0.004&3.808\\ $\\pm$\\ 0.033&MS&0.34&18.29&1120\\\\\t\n16&21:40:21.19&-23:10:50.02&0.223&658.10&274.11&22.578\\ $\\pm$\\ 0.032&18.921\\ $\\pm$\\ 0.004&3.657\\ $\\pm$\\ 0.036&MS&0.36&18.82&1070\\\\\n17&21:40:21.03&-23:10:42.37&0.270&976.93&274.68&19.812\\ $\\pm$\\ 0.009&18.346\\ $\\pm$\\ 0.003&1.466\\ $\\pm$\\ 0.012&BS&0.12&18.18&860\\\\\n18&21:40:21.01&-23:10:41.41&0.280&1016.38&276.28&15.187\\ $\\pm$\\ 0.001&15.758\\ $\\pm$\\ 0.001&-0.571\\ $\\pm$\\ 0.002&HB&-0.12&15.78&841\\\\\n19&21:40:21.36&-23:10:54.51&0.216&459.70&312.16&22.301\\ $\\pm$\\ 0.028&18.568\\ $\\pm$\\ 0.004&3.733\\ $\\pm$\\ 0.032&MS&0.57&18.27&1278\\\\\n20&21:40:21.31&-23:10:52.23&0.207&554.79&311.87&22.431\\ $\\pm$\\ 0.031&16.489\\ $\\pm$\\ 0.001&5.942\\ $\\pm$\\ 0.032&RG&0.69&15.14&1222\\\\\n21&21:40:21.23&-23:10:37.61&0.267&1127.68&436.35&22.270\\ $\\pm$\\ 0.028&23.859\\ $\\pm$\\ 0.276&-1.589\\ $\\pm$\\ 0.304&Gap&0.30&18.70&1221\\\\\t\t\n22&21:40:21.19&-23:10:45.25&0.222&841.07&327.62&22.445\\ $\\pm$\\ 0.030&18.627\\ $\\pm$\\ 0.004&3.818\\ $\\pm$\\ 0.034&MS&0.37&18.33&1075\\\\\n23&21:40:21.03&-23:10:37.57&0.307&1161.20&328.22&22.492\\ $\\pm$\\ 0.032&18.604\\ $\\pm$\\ 0.004&3.888\\ $\\pm$\\ 0.036&MS&0.43&18.32&865\\\\\n24&21:40:21.25&-23:10:47.84&0.205&732.63&329.89&22.497\\ $\\pm$\\ 0.031&18.814\\ $\\pm$\\ 0.004&3.683\\ $\\pm$\\ 0.035&MS&0.32&18.70&1158\\\\\t\n25&21:40:21.47&-23:10:57.80&0.235&316.94&331.07&22.390\\ $\\pm$\\ 0.030&18.640\\ $\\pm$\\ 0.004&3.750\\ $\\pm$\\ 0.034&MS&0.40&18.49&1459\\\\\n26&21:40:21.16&-23:10:43.49&0.235&913.04&333.06&22.618\\ $\\pm$\\ 0.034&18.496\\ $\\pm$\\ 0.003&4.122\\ $\\pm$\\ 0.037&RG&0.37&18.26&1036\\\\\n27&21:40:21.13&-23:10:41.56&0.254&992.76&335.06&17.353\\ $\\pm$\\ 0.003&17.345\\ $\\pm$\\ 0.002&0.008\\ $\\pm$\\ 0.005&BS&-0.01&17.37&987\\\\\n28&21:40:21.12&-23:10:40.56&0.262&1031.70&345.38&22.304\\ $\\pm$\\ 0.034&18.767\\ $\\pm$\\ 0.004&3.537\\ $\\pm$\\ 0.038&MS&0.32&18.70&983\\\\\n29&21:40:21.48&-23:10:56.31&0.213&371.12&357.70&22.529\\ $\\pm$\\ 0.032&18.961\\ $\\pm$\\ 0.004&3.568\\ $\\pm$\\ 0.036&MS&0.35&18.77&1482\\\\\n30&21:40:21.35&-23:10:49.55&0.185&651.59&362.87&21.075\\ $\\pm$\\ 0.016&18.783\\ $\\pm$\\ 0.004&2.292\\ $\\pm$\\ 0.020&BS&0.18&18.69&1269\\\\\n:& & & & & & & & & & & & \\\\\n\n\\hline\n\n\n\\end{tabular}}\\label{fullcat}\n\n\\vspace{5pt}\n\n(a) From the cluster centre at $x$ = $443.9$, $y$ = $362.8$ in the \\textit{UV} image, corresponding to RA = $21^h40^m22\\fs13,$ Dec = $- 23^{\\circ}10'47\\farcs40,$ determined as the centre of gravity by \\citet{ferraro}.\\\\\n(b) \\citet{guhathakurta}.\\\\\n\n\n\\end{sidewaystable*}\n\nThere are around 78 WD\/Gap objects blueward of the main sequence. We can make an estimate of the expected number of WDs in M30 by assuming that the number of stars in both of the HB and WD phases is proportional to the lifetime of these phases \\citep{Richer1997}:\n\n\\begin{equation}\n    \\frac{N_{WD}}{N_{HB}} \\approx \\frac{\\tau_{WD}}{\\tau_{HB}}\n\\end{equation}\n\n\\noindent If we assume that $\\tau_{HB} \\approx 10^8$ yr \\citep{dorman1992a}, the temperature of the WD cooling curve at the detection limit is 20,000 K $\\approx 5 \\times 10^7 \\textnormal{yr}$ \\citep{althaus}, and using the number of HB sources found in our sample $N_{HB} = 41$, we find that the estimated expected number of WDs is $N_{WD} \\approx 20$. This rough estimate is in agreement with the sources on or near the WD cooling curve (Fig. \\ref{cmd}) which have $UV$ counterparts, and there may also be a few WDs in the 23 sources with $FUV < 22$ but were not detected in the $UV$. \n\nThe other sources in the gap between the WD cooling curve and the MS are expected to include a number of CVs. A GC such as M30 should produce $\\approx 200$ CVs by 13 Gyr \\citep{ivanova}, through various formation channels such as primordial CVs in which the binary components are the original two stars, and also dynamical binary exchange encounters and tidal capture. However, in the dense core, interactions with other cluster members mean that the rate of destruction of CVs is greater than the formation rate \\citep{belloni}, and CVs are expected to have shorter lifetimes than their field counterparts by a factor of three \\citep{Shara_2006}. \\citet{belloni} find that around 45\\% of detectable CVs are within the half-light radius of a GC, which for M30 is $1.03'$ \\citep{harris}. After scaling down to our field of view, and taking the destruction rate into account, we have a predicted number of detectable CVs in our images of $\\approx 8$. The remaining sources in this region of the CMD that are not CVs or individual WDs are likely to be detached WD-MS binaries, where the hot emission from the WD surface and the cooler radiation from the MS surface places the combined flux of the binary in the region between these two populations. There is also the possibility of chance superpositions, and following the same prescription that was used for the whole dataset in Sect. \\ref{transformation}, the expected number of spurious matches in the WD\/Gap population is $\\approx 1$. Additionally, some sources which lie close to the MS and BS sequence may indeed be MS or BS stars. We stress that the predicted number of CVs is a rough estimate, and a closer investigation into the particular sources that are CV candidates is given in the following publication in this study.\n \nWe note that for the remainder of this study, most of the sources discussed have been determined as belonging to certain populations by their location in the $FUV - UV$ CMD. Yet there may be some sources which truly belong to a different group, as mentioned in the preceding paragraph of the gap sources close to the MS and BS sequence. This is especially true for the sources near the MS turnoff that have been included in the BS group for example, but may really be MS stars or gap objects, and vice versa. These initial distinctions allow us to make useful preliminary investigations into the cluster population, however supplementary tools such as spectroscopy and additional multi-wavelength observations would enable us to more accurately determine a star's true nature. \n\n\\begin{figure}\n    \n    \\includegraphics[scale=0.07]{fuv_cmd.jpg}\n    \n    \\includegraphics[scale=0.071]{bv_cmd.jpg}\n    \\caption{Comparison of the various stellar populations in the \\textit{FUV} -- \\textit{UV} CMD (top) and the optical CMD (bottom, based on the \\citealt{guhathakurta} catalogue). Only the sources present in both catalogues are marked in colour. Included are MS stars (yellow down triangles), red giants (red squares), HB stars (purple up triangles), BS stars (blue diamonds), and gap objects (which include CV candidates, green circles).}\n    \\label{optical}\n\\end{figure}\n\n\\section{Comparison to optical}\\label{opticalsec}\n\n\\vspace{5pt}\n\\citet{guhathakurta} presented an optical catalogue of 9507 sources for M30, the exposures of which were also taken with the WFPC2 on board the $HST$ (program GO-5324, PI: Yanny). Eight exposures were taken on 31st March 1994, two using the F336W filter with an 100 s exposure time, two using the F439W filter and 40\\:s exposure time and four using the F555W filter with 4 s exposure times. The data was accessed from VizeiR\\footnote{\\url{https:\/\/cdsarc.cds.unistra.fr\/viz-bin\/cat\/J\/AJ\/116\/1757}}, and by taking the well-defined group of HB stars in the optical CMD (Fig. \\ref{optical}), and over-plotting their coordinates onto the \\textit{FUV} image, it is easily seen that they corresponded to the brightest sources in the \\textit{FUV} image, albeit with a slight shift. After correcting for the shift, these are then used as reference stars to convert the coordinates of the optical catalogue into our \\textit{FUV} frame. The coordinates of the HB stars are given as input for the task \\texttt{GEOMAP} which computes the transformation. The \\texttt{GEOXYTRAN} task carries out the transformation of the optical catalogue into the \\textit{FUV} frame, and then also into the \\textit{UV} frame using the same transformation used in Sect. \\ref{transformation}. The optical coordinates are first converted into the \\textit{FUV} frame rather than directly into the \\textit{UV} frame, because it was easy to identify stars to use for the transformation, as the HB stars are the brightest objects in the \\textit{FUV} and as such are an efficient choice for the reference stars. \n\n\nThe resulting comparison is given in Fig. \\ref{optical}. Groups of sources belonging to both catalogues are plotted in colour. There are 1201 matching MS stars (yellow), 178 RGB stars (red), 44 BS sources (blue), all 41 HB stars (purple), and 42 WD\/Gap objects (green) which include CV candidates. The comparison illustrates the importance of far-ultraviolet observations in detecting and identifying stellar exotica such as WDs and CVs, as in the optical they are indistinguishable in position from the MS, but their hot emission in the $FUV$ shifts their location in the $FUV - UV$ CMD blueward and brighter than the MS.  This is also true for a few \\textit{FUV}-bright BS candidates that are in the MS region in the optical CMD. These sources appear brighter than the MS turnoff in the \\textit{FUV} suggesting that they could have a hot WD companion \\citep{sahu}. Additionally, two of our BS sources, ID7 and ID66, do not have an optical counterpart. Source ID7 was just out of the field of view in the optical exposures, and ID66 is close to the MS turnoff in the $FUV - UV$ CMD, and as such it may be a binary system with a hot WD that is bright in the ultraviolet but with an optically faint MS star companion \\citep{47tuc}. If this is the case, it would really be a Gap object rather than a BS star, as discussed at the end of Sect. \\ref{cmd}.\n\nSeveral sources at the top of the optical RGB do not have \\textit{FUV} counterparts as they are located outside the \\textit{FUV} field of view. Additionally there were 76 sources in the \\textit{FUV} that are undetected in the optical, including nearly half of the WD\/Gap objects. This is expected for the sources in the WD cooling region as WDs are optically very faint. The reason for the Gap objects not having optical counterparts may be due to them being CVs with very low-mass MS companions, as their radial distributions suggest, and as such were too faint to be detected in the optical. The MS stars given in the optical catalogue fainter than V $\\approx$ 20.5 mag are too faint to be detected in the \\textit{FUV}. The matched optical counterparts are identified in Table \\ref{fullcat}.\n\n\n\n\\section{Radial distribution}\\label{radialsec}\n\n\\vspace{5pt}\nFigure \\ref{radial} shows the cumulative radial distributions of the stellar populations found in both the \\textit{FUV} and \\textit{UV} images within a radius of 15.5$''$ from the cluster centre. The centre of the cluster used was   $\\alpha=21^h40^m22\\fs13,\\ \\delta=-23^{\\circ}10'47\\farcs40$ \\citep{ferraro} which corresponds to pixel coordinates $x$ = 443.9, $y$ = 362.8 in the \\textit{UV} frame and  $x$ = 612.1, $y$ = 800.1 in the $FUV$.\nThe numbers for each stellar population in the \\textit{FUV}\\:--\\:\\textit{UV} catalogue and those within 15.5$''$ radius of the cluster centre are given in Table \\ref{radialtable}. Included in the group WD\/Gap sources are all sources blueward of the MS\/BS sequence and \\textit{FUV} $>$ 19 mag.\n\nThe most prominent result in the radial distributions is the strong concentration of BS stars towards the centre, compared to the other populations. M30 is a core-collapsed cluster, meaning that over time the more massive stars have concentrated inward towards the centre (mass segregation). BS stars are the most massive stars out of these stellar populations, having gained mass by either mass transfer from a companion or by the merger of two stars \\citep{mccrea, hills}, and as they are still hydrogen burning they have not yet undergone the mass loss observed in the later stages of evolution. They are also likely to form in the cluster centre due to the high number of stellar interactions in this dense region. Thus the BS concentration towards the centre is expected evidence of the dynamical history of the core, and is also representative of the bluer inward colour gradient observed in M30 \\citep{howell}. \n\n\\begin{figure}\n    \\centering\n    \\vspace*{-7pt}\n    \\includegraphics[width=\\columnwidth]{mass_est.jpg}\n    \\caption{Cumulative radial distributions of the various stellar populations (top) with mass estimate models ranging from 0.4 $M_{\\odot}$ -- 2.0 $M_{\\odot}$ (middle), and the sources on the red and blue BS sequences (bottom) found by \\citet{ferraro}, within a radius of 15.5$''$ from the centre of M30.}\n    \n    \\label{radial}\n\\end{figure} \n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{BS_discrete_rad.jpg}\n    \\caption{Discrete radial distribution of the red and blue BS sources. The radius is split into 1 arcsec-sized bins, where any red (blue) BS sources appear on the left (right) side of each bin.}\n    \\label{radBS}\n\\end{figure}\n\n\n\n\nThe colour gradient also results from the central deficiency of RGB stars \\citep{howell}, which corresponds to the lack of central concentration of this population shown in Fig. \\ref{radial}. This may be due to the mass that stars typically lose during the RGB phase which could allow these stars to drift outwards. This may also be the case for the least centrally concentrated population, the HB stars, which evolve from the RGB stage. The HB stars are even absent within the inner core region of 1.9$''$ (0.08 pc), so whilst the high concentration of BS stars in the centre may add to the bluer inward colour gradient of M30, it seems that the numerous HB stars, which are similar to BS in colour magnitude, do not contribute to this gradient.\n\nThe group WD\/Gap sources includes $\\approx 20$ sources that are likely isolated WD stars that are located near the WD cooling curve (Fig. \\ref{isochrones}), an estimated number of $\\approx$ 8 CVs, and detached WD-MS binaries. Overall, the sources in this group are only slightly more centrally located than MS stars in M30, which is unexpected at first glance, since a central concentration was seen in other GCs such as NGC\\:2808 \\citep{ngc2808} and M15 \\citep{m15}, and as CVs can form from two-body interactions that are frequent in the high density centre of the cluster. CVs are binary systems, which along with the non-interacting WD-MS binaries, means a higher combined mass than the individual stars alone. Similarly to BS stars, these higher mass sources should concentrate towards the cluster centre over time. However, the segregation of WD\/Gap sources towards the centre is not observed, and a possible explanation for this might be that the combined mass of these binary systems is actually relatively low. This is true for old ($\\approx$ 10 Gyr) CVs where the WD has devoured almost all of the mass from their companion, leaving behind as little as $\\approx\\:0.1\\:\\textnormal{M}_{\\odot}$, a negligible mass relative to the WD (\\citealt{hillman}), and also mass is lost from the system over time due to wind and outbursts from the accretion disc \\citep{tout1991}. Additionally, as the destruction rate of CVs is higher than the formation rate in the dense cores of GCs \\citep{belloni2018b}, a number of the detached WD-MS binaries may also have undergone mass transfer in the past. Even if we also detect younger systems, it is likely that the MS companion has a low mass as otherwise the flux from the MS star would be high at the UV wavelength which is not the case for our Gap sources. As there is no central concentration seen in M30, this suggests that a large proportion of the Gap sources are binary systems with low combined masses.\n\n\n\n\n\\begin{table}\n    \\centering\n        \\caption{Numbers of sources for the stellar populations in the \\textit{FUV} -- \\textit{UV} catalogue and within a radius of 15.5$''$ of the cluster centre of gravity, along with their estimated masses.}\n    \\begin{tabular}{cccc}\n    \\hline\nPopulation & Catalogue & 15.5$''$ radius&Mass\\\\ \\hline\\hline\nMS         & 1218      & 1030 & 0.5 - 0.6 $M_{\\odot}$\\\\\nBS         & 47        & 42 & 1.0 - 1.2 $M_{\\odot}$\\\\\nRG         & 185       & 169 & 0.6 - 0.7 $M_{\\odot}$\\\\\nHB         & 41        & 34 & 0.6 - 0.8 $M_{\\odot}$\\\\\nWD\/Gap    & 78      & 70 & 0.5 - 0.6 $M_{\\odot}$\\\\\n\\hline\n    \\end{tabular}\n    \\label{radialtable}\n\\end{table}\n\nThe average masses of the various stellar populations can be estimated from the radial distributions by assuming the spatial distribution of a typical star is described by \\citet{king} models. Following the method by \\citet{heinke}, we compare our radial distributions using a maximum-likelihood fitting to generalised theoretical King models, with the radial profile of the source surface density:\n\n\\begin{equation}\n    S(r) = \\bigintss \\left(1 + \\left(\\frac{r}{r_{c\\star}}\\right)^2 \\right)^{\\frac{1-3q}{2}} dr\n\\end{equation}\n\n\\vspace{5pt}\n\\noindent where $q = M_X\/M_{\\star}$, with $M_X$ being the mass of the source population we wish to find and $M_{\\star}$ is the mass of the population within the core radius $r_{c\\star} = 1.9''$ \\citep{sosin}. After applying a correction to the distribution to cover the non-circular field of view of the images as a function of radius, models with masses $0.4 - 2.0\\:M_{\\odot}$ in steps of 0.2 $M_{\\odot}$ are calculated and shown in Fig. \\ref{radial}. The estimated masses for each stellar population are given in Table \\ref{radialtable}. The average mass of the BS stars is estimated to be $1.0 - 1.2\\:M_{\\odot}$ and the mass of the WD\/Gap sources is $0.5 - 0.6\\:M_{\\odot}$. Whilst only a slight overall concentration of WD\/Gap sources towards the centre was seen, the sources near to the core are estimated to be more massive than those further out. \n\nThe radial distribution of the red and blue BS sources identified as two distinct sequences in \\citet{ferraro} is also shown in Fig. \\ref{radial} which reveals no significant distinction in radial spread for the two BS sequences; both populations are centrally concentrated. \\citet{ferraro} show a slightly higher central concentration of red BS in M30, although they use a different cumulative radial range, therefore we also give the discrete red and blue BS radial distributions in Fig.\\:\\ref{radBS}, again displaying no significant difference between the two sub-populations. From the other two clusters known to have a double BS sequence, \\citet{Dalessandro_2013} find a higher central concentration of red BSs in NGC 362 and contrastingly, \\citet{Simunovic_2014} find a higher central concentration of blue BS stars in NGC 1261.\n\n\nThe similarity of the radial distributions of the various stellar populations is investigated using  \na Kolmogorov--Smirnov (KS) test. The KS test compares two populations and returns a probability that the two distributions are drawn from the same parent population. The higher the returned probability, the more likely the distributions are from the same population. The BS sources are comparable to the other stellar populations with KS probabilities of 0.54$\\%$ (BS to HB), 0.05$\\%$ (BS to RG), and 0.02$\\%$ (BS to WD\/Gap sources), suggesting that the BS sources formed through a different process to the HB and RG stars, i.e. from mergers or mass transfer rather than single star evolution. The results for all population comparisons are given in Table \\ref{KS}.\n\n\\begin{table}\n    \\centering\n\\caption{Probabilities that two populations of stars are from the same parent population.}\n    \\begin{tabular}{lc}\n    \n\\hline\n\nPopulation&Probabilities\\\\ \nComparison&\\%\\\\\n\\hline\\hline\nMS--BS &\\hspace{5pt}0.001\\\\\nMS--HB &47.996\\\\\nMS--RG &40.998\\\\\nMS--WD\/Gap &62.156\\\\\nBS--HB &0.5416\\\\\nBS--RG &0.0452\\\\\nBS--WD\/Gap &0.0201\\\\\nHB--RG &78.936\\\\\nHB--WD\/Gap &36.181\\\\\nRG--WD\/Gap &53.490\\\\\n\\hline\n    \\end{tabular}\n\n    \\label{KS}\n\\end{table}\n\n\n\\section{Summary} \\label{summ}\n\n\\vspace{5pt}\nFar-ultraviolet (\\textit{FUV}, ACS\/SBC\/F150LP) and mid-ultraviolet (\\textit{UV}, WFPC2\/F300W) exposures of the globular cluster M30 were\nphotometrically analysed. A total of 1934 sources are detected in the \\textit{FUV} image and 10451 sources in the \\textit{UV} image. Out of these, 1569 matching sources were found. Different stellar populations are well distinguished in the resulting \\textit{FUV} $-$ \\textit{UV} CMD. The MS turnoff lies at $\\textnormal{\\textit{FUV}} \\approx 22$ mag and $\\textnormal{\\textit{FUV} -- \\textit{UV}} \\approx 3$ mag. The horizontal branch consists of 41 sources, all of which have an optical counterpart from the catalogue by \\citet{guhathakurta}. The red giant branch extends towards fainter and redder magnitudes, with 185 RGB sources, 178 of which are also found in the optical. A sequence of 47 BS stars is observed, 44 of these having optical counterparts. Seventy-eight WD\/Gap objects are identified, 42 of which were in the optical catalogue. The $FUV - UV$ CMD allows us to easily distinguish the WD\/Gap sources from MS stars.\n\n\nThe double BS sequence suggested by \\citet{ferraro} in the $V - I$ CMD is not seen in the \\textit{FUV} $-$ \\textit{UV} CMD. The two sets of BS sources are mixed in the ultraviolet which may be a result of the sources on the red BS sequence experiencing active mass transfer and emitting $FUV$ radiation, shifting these sources blueward in the ultraviolet CMD.\n\nThe radial distributions of the stellar populations show a strong concentration of BS sources towards the centre of the cluster, implying that mass segregation has taken place. There is a deficiency of HB stars in the very centre of the cluster and no central concentration of CV\ncandidates is found which may be due to these being old systems with low-mass MS companions.\n\n\nThe \\textit{HST} data for this project is sensitive enough to detect a previously unseen, significant population of WD\/Gap objects, providing new insight into M30 in the ultraviolet. Investigations in the \\textit{FUV} continue to provide detailed detections and identifications of their stellar populations. \n\n\n\\section*{Data Availability}\n\n\\vspace{5pt}\nThe data underlying this article are available in the Mikulski Archive for Space Telescopes (MAST): \\url{https:\/\/archive.stsci.edu}. The datasets are derived from images in the public domain: \\url{https:\/\/archive.stsci.edu\/proposal\\_search.php?mission=hst&id=10561}. The catalogue of sources is available at CDS via anonymous ftp to cdsarc.u-strasbg.fr (130.79.128.5) or via \\url{https:\/\/cdsarc.unistra.fr\/viz-bin\/cat\/J\/MNRAS}. This research also made use of the optical data available at CDS: \\url{https:\/\/cdsarc.cds.unistra.fr\/viz-bin\/cat\/J\/AJ\/116\/1757}.\n\n\n\\section*{Acknowledgements}\n\n\\vspace{5pt}\nPK acknowledges support from the Grant Agency of the Czech Republic under grant number 20-21855S.\n\n\n\\raggedright\n\\bibliographystyle{mnras}\n\n\\section{Introduction}\n\nThe journal \\textit{Monthly Notices of the Royal Astronomical Society} (MNRAS) encourages authors to prepare their papers using \\LaTeX.\nThe style file \\verb'mnras.cls' can be used to approximate the final appearance of the journal, and provides numerous features to simplify the preparation of papers.\nThis document, \\verb'mnras_guide.tex', provides guidance on using that style file and the features it enables.\n\nThis is not a general guide on how to use \\LaTeX, of which many excellent examples already exist.\nWe particularly recommend \\textit{Wikibooks \\LaTeX}\\footnote{\\url{https:\/\/en.wikibooks.org\/wiki\/LaTeX}}, a collaborative online textbook which is of use to both beginners and experts.\nAlternatively there are several other online resources, and most academic libraries also hold suitable beginner's guides.\n\nFor guidance on the contents of papers, journal style, and how to submit a paper, see the MNRAS Instructions to Authors\\footnote{\\label{foot:itas}\\url{http:\/\/www.oxfordjournals.org\/our_journals\/mnras\/for_authors\/}}.\nOnly technical issues with the \\LaTeX\\ class are considered here.\n\n\n\\section{Obtaining and installing the MNRAS package}\nSome \\LaTeX\\ distributions come with the MNRAS package by default.\nIf yours does not, you can either install it using your distribution's package manager, or download it from the Comprehensive \\TeX\\ Archive Network\\footnote{\\url{http:\/\/www.ctan.org\/tex-archive\/macros\/latex\/contrib\/mnras}} (CTAN).\n\nThe files can either be installed permanently by placing them in the appropriate directory (consult the documentation for your \\LaTeX\\ distribution), or used temporarily by placing them in the working directory for your paper.\n\nTo use the MNRAS package, simply specify \\verb'mnras' as the document class at the start of a \\verb'.tex' file:\n\n\\begin{verbatim}\n\\documentclass{mnras}\n\\end{verbatim}\nThen compile \\LaTeX\\ (and if necessary \\bibtex) in the usual way.\n\n\\section{Preparing and submitting a paper}\nWe recommend that you start with a copy of the \\texttt{mnras\\_template.tex} file.\nRename the file, update the information on the title page, and then work on the text of your paper.\nGuidelines for content, style etc. are given in the instructions to authors on the journal's website$^{\\ref{foot:itas}}$.\nNote that this document does not follow all the aspects of MNRAS journal style (e.g. it has a table of contents).\n\nIf a paper is accepted, it is professionally typeset and copyedited by the publishers.\nIt is therefore likely that minor changes to presentation will occur.\nFor this reason, we ask authors to ignore minor details such as slightly long lines, extra blank spaces, or misplaced figures, because these details will be dealt with during the production process.\n\nPapers must be submitted electronically via the online submission system; paper submissions are not permitted.\nFor full guidance on how to submit a paper, see the instructions to authors.\n\n\\section{Class options}\n\\label{sec:options}\nThere are several options which can be added to the document class line like this:\n\n\\begin{verbatim}\n\\documentclass[option1,option2]{mnras}\n\\end{verbatim}\nThe available options are:\n\\begin{itemize}\n\\item \\verb'letters' -- used for papers in the journal's Letters section.\n\\item \\verb'onecolumn' -- single column, instead of the default two columns. This should be used {\\it only} if necessary for the display of numerous very long equations.\n\\item \\verb'doublespacing' -- text has double line spacing. Please don't submit papers in this format.\n\\item \\verb'referee' -- \\textit{(deprecated)} single column, double spaced, larger text, bigger margins. Please don't submit papers in this format.\n\\item \\verb'galley' -- \\textit{(deprecated)} no running headers, no attempt to align the bottom of columns.\n\\item \\verb'landscape' -- \\textit{(deprecated)} sets the whole document on landscape paper.\n\\item \\verb\"usenatbib\" -- \\textit{(all papers should use this)} this uses Patrick Daly's \\verb\"natbib.sty\" package for citations.\n\\item \\verb\"usegraphicx\" -- \\textit{(most papers will need this)} includes the \\verb'graphicx' package, for inclusion of figures and images.\n\\item \\verb'useAMS' -- adds support for upright Greek characters \\verb'\\upi', \\verb'\\umu' and \\verb'\\upartial' ($\\upi$, $\\umu$ and $\\upartial$). Only these three are included, if you require other symbols you will need to include the \\verb'amsmath' or \\verb'amsymb' packages (see section~\\ref{sec:packages}).\n\\item \\verb\"usedcolumn\" -- includes the package \\verb\"dcolumn\", which includes two new types of column alignment for use in tables.\n\\end{itemize}\n\nSome of these options are deprecated and retained for backwards compatibility only.\nOthers are used in almost all papers, but again are retained as options to ensure that papers written decades ago will continue to compile without problems.\nIf you want to include any other packages, see section~\\ref{sec:packages}.\n\n\\section{Title page}\n\nIf you are using \\texttt{mnras\\_template.tex} the necessary code for generating the title page, headers and footers is already present.\nSimply edit the title, author list, institutions, abstract and keywords as described below.\n\n\\subsection{Title}\nThere are two forms of the title: the full version used on the first page, and a short version which is used in the header of other odd-numbered pages (the `running head').\nEnter them with \\verb'\\title[]{}' like this:\n\\begin{verbatim}\n\\title[Running head]{Full title of the paper}\n\\end{verbatim}\nThe full title can be multiple lines (use \\verb'\\\\' to start a new line) and may be as long as necessary, although we encourage authors to use concise titles. The running head must be $\\le~45$ characters on a single line.\n\nSee appendix~\\ref{sec:advanced} for more complicated examples.\n\n\\subsection{Authors and institutions}\n\nLike the title, there are two forms of author list: the full version which appears on the title page, and a short form which appears in the header of the even-numbered pages. Enter them using the \\verb'\\author[]{}' command.\n\nIf the author list is more than one line long, start a new line using \\verb'\\newauthor'. Use \\verb'\\\\' to start the institution list. Affiliations for each author should be indicated with a superscript number, and correspond to the list of institutions below the author list.\n\nFor example, if I were to write a paper with two coauthors at another institution, one of whom also works at a third location:\n\\begin{verbatim}\n\\author[K. T. Smith et al.]{\nKeith T. Smith,$^{1}$\nA. N. Other,$^{2}$\nand Third Author$^{2,3}$\n\\\\\n$^{1}$Affiliation 1\\\\\n$^{2}$Affiliation 2\\\\\n$^{3}$Affiliation 3}\n\\end{verbatim}\nAffiliations should be in the format `Department, Institution, Street Address, City and Postal Code, Country'.\n\nEmail addresses can be inserted with the \\verb'\\thanks{}' command which adds a title page footnote.\nIf you want to list more than one email, put them all in the same \\verb'\\thanks' and use \\verb'\\footnotemark[]' to refer to the same footnote multiple times.\nPresent addresses (if different to those where the work was performed) can also be added with a \\verb'\\thanks' command.\n\n\\subsection{Abstract and keywords}\n\nThe abstract is entered in an \\verb'abstract' environment:\n\\begin{verbatim}\n\\begin{abstract}\nThe abstract of the paper.\n\\end{abstract}\n\\end{verbatim}\n\\noindent Note that there is a word limit on the length of abstracts.\nFor the current word limit, see the journal instructions to authors$^{\\ref{foot:itas}}$.\n\nImmediately following the abstract, a set of keywords is entered in a \\verb'keywords' environment:\n\\begin{verbatim}\n\\begin{keywords}\nkeyword 1 -- keyword 2 -- keyword 3\n\\end{keywords}\n\\end{verbatim}\n\\noindent There is a list of permitted keywords, which is agreed between all the major astronomy journals and revised every few years.\nDo \\emph{not} make up new keywords!\nFor the current list of allowed keywords, see the journal's instructions to authors$^{\\ref{foot:itas}}$.\n\n\\section{Sections and lists}\n\nSections and lists are generally the same as in the standard \\LaTeX\\ classes.\n\n\\subsection{Sections}\n\\label{sec:sections}\nSections are entered in the usual way, using \\verb'\\section{}' and its variants. It is possible to nest up to four section levels:\n\\begin{verbatim}\n\\section{Main section}\n \\subsection{Subsection}\n  \\subsubsection{Subsubsection}\n   \\paragraph{Lowest level section}\n\\end{verbatim}\n\\noindent The other \\LaTeX\\ sectioning commands \\verb'\\part', \\verb'\\chapter' and \\verb'\\subparagraph{}' are deprecated and should not be used.\n\nSome sections are not numbered as part of journal style (e.g. the Acknowledgements).\nTo insert an unnumbered section use the `starred' version of the command: \\verb'\\section*{}'.\n\nSee appendix~\\ref{sec:advanced} for more complicated examples.\n\n\\subsection{Lists}\n\nTwo forms of lists can be used in MNRAS -- numbered and unnumbered.\n\nFor a numbered list, use the \\verb'enumerate' environment:\n\\begin{verbatim}\n\\begin{enumerate}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{enumerate}\n\\end{verbatim}\n\\noindent which produces\n\\begin{enumerate}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{enumerate}\nNote that the list uses lowercase Roman numerals, rather than the \\LaTeX\\ default Arabic numerals.\n\nFor an unnumbered list, use the \\verb'description' environment without the optional argument:\n\\begin{verbatim}\n\\begin{description}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{description}\n\\end{verbatim}\n\\noindent which produces\n\\begin{description}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{description}\n\nBulleted lists using the \\verb'itemize' environment should not be used in MNRAS; it is retained for backwards compatibility only.\n\n\\section{Mathematics and symbols}\n\nThe MNRAS class mostly adopts standard \\LaTeX\\ handling of mathematics, which is briefly summarised here.\nSee also section~\\ref{sec:packages} for packages that support more advanced mathematics.\n\nMathematics can be inserted into the running text using the syntax \\verb'$1+1=2$', which produces $1+1=2$.\nUse this only for short expressions or when referring to mathematical quantities; equations should be entered as described below.\n\n\\subsection{Equations}\nEquations should be entered using the \\verb'equation' environment, which automatically numbers them:\n\n\\begin{verbatim}\n\\begin{equation}\n a^2=b^2+c^2\n\\end{equation}\n\\end{verbatim}\n\\noindent which produces\n\\begin{equation}\n a^2=b^2+c^2\n\\end{equation}\n\nBy default, the equations are numbered sequentially throughout the whole paper. If a paper has a large number of equations, it may be better to number them by section (2.1, 2.2 etc.). To do this, add the command \\verb'\\numberwithin{equation}{section}' to the preamble.\n\nIt is also possible to produce un-numbered equations by using the \\LaTeX\\ built-in \\verb'\\['\\textellipsis\\verb'\\]' and \\verb'$$'\\textellipsis\\verb'$$' commands; however MNRAS requires that all equations are numbered, so these commands should be avoided.\n\n\\subsection{Special symbols}\n\n\n\\begin{table}\n \\caption{Additional commands for special symbols commonly used in astronomy. These can be used anywhere.}\n \\label{tab:anysymbols}\n \\begin{tabular*}{\\columnwidth}{@{}l@{\\hspace*{50pt}}l@{\\hspace*{50pt}}l@{}}\n  \\hline\n  Command & Output & Meaning\\\\\n  \\hline\n  \\verb'\\sun' & \\sun & Sun, solar\\\\[2pt]\n  \\verb'\\earth' & \\earth & Earth, terrestrial\\\\[2pt]\n  \\verb'\\micron' & \\micron & microns\\\\[2pt]\n  \\verb'\\degr' & \\degr & degrees\\\\[2pt]\n  \\verb'\\arcmin' & \\arcmin & arcminutes\\\\[2pt]\n  \\verb'\\arcsec' & \\arcsec & arcseconds\\\\[2pt]\n  \\verb'\\fdg' & \\fdg & fraction of a degree\\\\[2pt]\n  \\verb'\\farcm' & \\farcm & fraction of an arcminute\\\\[2pt]\n  \\verb'\\farcs' & \\farcs & fraction of an arcsecond\\\\[2pt]\n  \\verb'\\fd' & \\fd & fraction of a day\\\\[2pt]\n  \\verb'\\fh' & \\fh & fraction of an hour\\\\[2pt]\n  \\verb'\\fm' & \\fm & fraction of a minute\\\\[2pt]\n  \\verb'\\fs' & \\fs & fraction of a second\\\\[2pt]\n  \\verb'\\fp' & \\fp & fraction of a period\\\\[2pt]\n  \\verb'\\diameter' & \\diameter & diameter\\\\[2pt]\n  \\verb'\\sq' & \\sq & square, Q.E.D.\\\\[2pt]\n  \\hline\n \\end{tabular*}\n\\end{table}\n\n\\begin{table}\n \\caption{Additional commands for mathematical symbols. These can only be used in maths mode.}\n \\label{tab:mathssymbols}\n \\begin{tabular*}{\\columnwidth}{l@{\\hspace*{40pt}}l@{\\hspace*{40pt}}l}\n  \\hline\n  Command & Output & Meaning\\\\\n  \\hline\n  \\verb'\\upi' & $\\upi$ & upright pi\\\\[2pt]\n  \\verb'\\umu' & $\\umu$ & upright mu\\\\[2pt]\n  \\verb'\\upartial' & $\\upartial$ & upright partial derivative\\\\[2pt]\n  \\verb'\\lid' & $\\lid$ & less than or equal to\\\\[2pt]\n  \\verb'\\gid' & $\\gid$ & greater than or equal to\\\\[2pt]\n  \\verb'\\la' & $\\la$ & less than of order\\\\[2pt]\n  \\verb'\\ga' & $\\ga$ & greater than of order\\\\[2pt]\n  \\verb'\\loa' & $\\loa$ & less than approximately\\\\[2pt]\n  \\verb'\\goa' & $\\goa$ & greater than approximately\\\\[2pt]\n  \\verb'\\cor' & $\\cor$ & corresponds to\\\\[2pt]\n  \\verb'\\sol' & $\\sol$ & similar to or less than\\\\[2pt]\n  \\verb'\\sog' & $\\sog$ & similar to or greater than\\\\[2pt]\n  \\verb'\\lse' & $\\lse$ & less than or homotopic to \\\\[2pt]\n  \\verb'\\gse' & $\\gse$ & greater than or homotopic to\\\\[2pt]\n  \\verb'\\getsto' & $\\getsto$ & from over to\\\\[2pt]\n  \\verb'\\grole' & $\\grole$ & greater over less\\\\[2pt]\n  \\verb'\\leogr' & $\\leogr$ & less over greater\\\\\n  \\hline\n \\end{tabular*}\n\\end{table}\n\nSome additional symbols of common use in astronomy have been added in the MNRAS class. These are shown in tables~\\ref{tab:anysymbols}--\\ref{tab:mathssymbols}. The command names are -- as far as possible -- the same as those used in other major astronomy journals.\n\nMany other mathematical symbols are also available, either built into \\LaTeX\\ or via additional packages. If you want to insert a specific symbol but don't know the \\LaTeX\\ command, we recommend using the Detexify website\\footnote{\\url{http:\/\/detexify.kirelabs.org}}.\n\nSometimes font or coding limitations mean a symbol may not get smaller when used in sub- or superscripts, and will therefore be displayed at the wrong size. There is no need to worry about this as it will be corrected by the typesetter during production.\n\nTo produce bold symbols in mathematics, use \\verb'\\bmath' for simple variables, and the \\verb'bm' package for more complex symbols (see section~\\ref{sec:packages}). Vectors are set in bold italic, using \\verb'\\mathbfit{}'.\n\nFor matrices, use \\verb'\\mathbfss{}' to produce a bold sans-serif font e.g. \\mathbfss{H}; this works even outside maths mode, but not all symbols are available (e.g. Greek). For $\\nabla$ (del, used in gradients, divergence etc.) use \\verb'$\\nabla$'.\n\n\\subsection{Ions}\n\nA new \\verb'\\ion{}{}' command has been added to the class file, for the correct typesetting of ionisation states.\nFor example, to typeset singly ionised calcium use \\verb'\\ion{Ca}{ii}', which produces \\ion{Ca}{ii}.\n\n\\section{Figures and tables}\n\\label{sec:fig_table}\nFigures and tables (collectively called `floats') are mostly the same as built into \\LaTeX.\n\n\\subsection{Basic examples}\n\\begin{figure}\n \\includegraphics[width=\\columnwidth]{example}\n \\caption{An example figure.}\n \\label{fig:example}\n\\end{figure}\nFigures are inserted in the usual way using a \\verb'figure' environment and \\verb'\\includegraphics'. The example Figure~\\ref{fig:example} was generated using the code:\n\\begin{verbatim}\n\\begin{figure}\n \\includegraphics[width=\\columnwidth]{example}\n \\caption{An example figure.}\n \\label{fig:example}\n\\end{figure}\n\\end{verbatim}\n\n\\begin{table}\n \\caption{An example table.}\n \\label{tab:example}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  Sun & 1.00 & 1.00\\\\\n  $\\alpha$~Cen~A & 1.10 & 1.52\\\\\n  $\\epsilon$~Eri & 0.82 & 0.34\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\nThe example Table~\\ref{tab:example} was generated using the code:\n\\begin{verbatim}\n\\begin{table}\n \\caption{An example table.}\n \\label{tab:example}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  Sun & 1.00 & 1.00\\\\\n  $\\alpha$~Cen~A & 1.10 & 1.52\\\\\n  $\\epsilon$~Eri & 0.82 & 0.34\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\n\\end{verbatim}\n\n\\subsection{Captions and placement}\nCaptions go \\emph{above} tables but \\emph{below} figures, as in the examples above.\n\nThe \\LaTeX\\ float placement commands \\verb'[htbp]' are intentionally disabled.\nLayout of figures and tables will be adjusted by the publisher during the production process, so authors should not concern themselves with placement to avoid disappointment and wasted effort.\nSimply place the \\LaTeX\\ code close to where the figure or table is first mentioned in the text and leave exact placement to the publishers.\n\nBy default a figure or table will occupy one column of the page.\nTo produce a wider version which covers both columns, use the \\verb'figure*' or \\verb'table*'  environment.\n\nIf a figure or table is too long to fit on a single page it can be split it into several parts.\nCreate an additional figure or table which uses \\verb'\\contcaption{}' instead of \\verb'\\caption{}'.\nThis will automatically correct the numbering and add `\\emph{continued}' at the start of the caption.\n\\begin{table}\n \\contcaption{A table continued from the previous one.}\n \\label{tab:continued}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  $\\tau$~Cet & 0.78 & 0.52\\\\\n  $\\delta$~Pav & 0.99 & 1.22\\\\\n  $\\sigma$~Dra & 0.87 & 0.43\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\nTable~\\ref{tab:continued} was generated using the code:\n\n\\begin{verbatim}\n\\begin{table}\n \\contcaption{A table continued from the previous one.}\n \\label{tab:continued}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  $\\tau$~Cet & 0.78 & 0.52\\\\\n  $\\delta$~Pav & 0.99 & 1.22\\\\\n  $\\sigma$~Dra & 0.87 & 0.43\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\n\\end{verbatim}\n\nTo produce a landscape figure or table, use the \\verb'pdflscape' package and the \\verb'landscape' environment.\nThe landscape Table~\\ref{tab:landscape} was produced using the code:\n\\begin{verbatim}\n\\begin{landscape}\n \\begin{table}\n  \\caption{An example landscape table.}\n  \\label{tab:landscape}\n  \\begin{tabular}{cccccccccc}\n    \\hline\n    Header & Header & ...\\\\\n    Unit & Unit & ...\\\\\n    \\hline\n    Data & Data & ...\\\\\n    Data & Data & ...\\\\\n    ...\\\\\n    \\hline\n  \\end{tabular}\n \\end{table}\n\\end{landscape}\n\\end{verbatim}\nUnfortunately this method will force a page break before the table appears.\nMore complicated solutions are possible, but authors shouldn't worry about this.\n\n\\begin{landscape}\n \\begin{table}\n  \\caption{An example landscape table.}\n  \\label{tab:landscape}\n  \\begin{tabular}{cccccccccc}\n    \\hline\n    Header & Header & Header & Header & Header & Header & Header & Header & Header & Header\\\\\n    Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit \\\\\n    \\hline\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    \\hline\n  \\end{tabular}\n \\end{table}\n\\end{landscape}\n\n\\section{References and citations}\n\n\\subsection{Cross-referencing}\n\nThe usual \\LaTeX\\ commands \\verb'\\label{}' and \\verb'\\ref{}' can be used for cross-referencing within the same paper.\nWe recommend that you use these whenever relevant, rather than writing out the section or figure numbers explicitly.\nThis ensures that cross-references are updated whenever the numbering changes (e.g. during revision) and provides clickable links (if available in your compiler).\n\nIt is best to give each section, figure and table a logical label.\nFor example, Table~\\ref{tab:mathssymbols} has the label \\verb'tab:mathssymbols', whilst section~\\ref{sec:packages} has the label \\verb'sec:packages'.\nAdd the label \\emph{after} the section or caption command, as in the examples in sections~\\ref{sec:sections} and \\ref{sec:fig_table}.\nEnter the cross-reference with a non-breaking space between the type of object and the number, like this: \\verb'see Figure~\\ref{fig:example}'.\n\nThe \\verb'\\autoref{}' command can be used to automatically fill out the type of object, saving on typing.\nIt also causes the link to cover the whole phrase rather than just the number, but for that reason is only suitable for single cross-references rather than ranges.\nFor example, \\verb'\\autoref{tab:journal_abbr}' produces \\autoref{tab:journal_abbr}.\n\n\\subsection{Citations}\n\\label{sec:cite}\n\nMNRAS uses the Harvard -- author (year) -- citation style, e.g. \\citet{author2013}.\nThis is implemented in \\LaTeX\\ via the \\verb'natbib' package, which in turn is included via the \\verb'usenatbib' package option (see section~\\ref{sec:options}), which should be used in all papers.\n\nEach entry in the reference list has a `key' (see section~\\ref{sec:ref_list}) which is used to generate citations.\nThere are two basic \\verb'natbib' commands:\n\\begin{description}\n \\item \\verb'\\citet{key}' produces an in-text citation: \\citet{author2013}\n \\item \\verb'\\citep{key}' produces a bracketed (parenthetical) citation: \\citep{author2013}\n\\end{description}\nCitations will include clickable links to the relevant entry in the reference list, if supported by your \\LaTeX\\ compiler.\n\n\\defcitealias{smith2014}{Paper~I}\n\\begin{table*}\n \\caption{Common citation commands, provided by the \\texttt{natbib} package.}\n \\label{tab:natbib}\n \\begin{tabular}{lll}\n  \\hline\n  Command & Ouput & Note\\\\\n  \\hline\n  \\verb'\\citet{key}' & \\citet{smith2014} & \\\\\n  \\verb'\\citep{key}' & \\citep{smith2014} & \\\\\n  \\verb'\\citep{key,key2}' & \\citep{smith2014,jones2015} & Multiple papers\\\\\n  \\verb'\\citet[table 4]{key}' & \\citet[table 4]{smith2014} & \\\\\n  \\verb'\\citep[see][figure 7]{key}' & \\citep[see][figure 7]{smith2014} & \\\\\n  \\verb'\\citealt{key}' & \\citealt{smith2014} & For use with manual brackets\\\\\n  \\verb'\\citeauthor{key}' & \\citeauthor{smith2014} & If already cited in close proximity\\\\\n  \\verb'\\defcitealias{key}{Paper~I}' &  & Define an alias (doesn't work in floats)\\\\\n  \\verb'\\citetalias{key}' & \\citetalias{smith2014} & \\\\\n  \\verb'\\citepalias{key}' & \\citepalias{smith2014} & \\\\\n  \\hline\n \\end{tabular}\n\\end{table*}\n\nThere are a number of other \\verb'natbib' commands which can be used for more complicated citations.\nThe most commonly used ones are listed in Table~\\ref{tab:natbib}.\nFor full guidance on their use, consult the \\verb'natbib' documentation\\footnote{\\url{http:\/\/www.ctan.org\/pkg\/natbib}}.\n\nIf a reference has several authors, \\verb'natbib' will automatically use `et al.' if there are more than two authors. However, if a paper has exactly three authors, MNRAS style is to list all three on the first citation and use `et al.' thereafter. If you are using \\bibtex\\ (see section~\\ref{sec:ref_list}) then this is handled automatically. If not, the \\verb'\\citet*{}' and \\verb'\\citep*{}' commands can be used at the first citation to include all of the authors.\n\n\\subsection{The list of references}\n\\label{sec:ref_list}\n\nIt is possible to enter references manually using the usual \\LaTeX\\ commands, but we strongly encourage authors to use \\bibtex\\ instead.\n\\bibtex\\ ensures that the reference list is updated automatically as references are added or removed from the paper, puts them in the correct format, saves on typing, and the same reference file can be used for many different papers -- saving time hunting down reference details.\nAn MNRAS \\bibtex\\ style file, \\verb'mnras.bst', is distributed as part of this package.\nThe rest of this section will assume you are using \\bibtex.\n\nReferences are entered into a separate \\verb'.bib' file in standard \\bibtex\\ formatting.\nThis can be done manually, or there are several software packages which make editing the \\verb'.bib' file much easier.\nWe particularly recommend \\textsc{JabRef}\\footnote{\\url{http:\/\/jabref.sourceforge.net\/}}, which works on all major operating systems.\n\\bibtex\\ entries can be obtained from the NASA Astrophysics Data System\\footnote{\\label{foot:ads}\\url{http:\/\/adsabs.harvard.edu}} (ADS) by clicking on `Bibtex entry for this abstract' on any entry.\nSimply copy this into your \\verb'.bib' file or into the `BibTeX source' tab in \\textsc{JabRef}.\n\nEach entry in the \\verb'.bib' file must specify a unique `key' to identify the paper, the format of which is up to the author.\nSimply cite it in the usual way, as described in section~\\ref{sec:cite}, using the specified key.\nCompile the paper as usual, but add an extra step to run the \\texttt{bibtex} command.\nConsult the documentation for your compiler or latex distribution.\n\nCorrect formatting of the reference list will be handled by \\bibtex\\ in almost all cases, provided that the correct information was entered into the \\verb'.bib' file.\nNote that ADS entries are not always correct, particularly for older papers and conference proceedings, so may need to be edited.\nIf in doubt, or if you are producing the reference list manually, see the MNRAS instructions to authors$^{\\ref{foot:itas}}$ for the current guidelines on how to format the list of references.\n\n\\section{Appendices and online material}\n\nTo start an appendix, simply place the \\verb'\n\\section{Introduction}\n\n\\vspace{5pt}\nGlobular clusters (GCs) in our Milky Way are tightly bound groups of very old ($>\\!\\! 10$ Gyr) and metal-poor stars. They formed in the early Galaxy and can contain hundreds of thousands of stars, with extremely high stellar densities in the cores. At optical wavelengths, the luminosity of a GC is dominated by the large number of main sequence (MS) stars and evolved stars including red giant branch (RGB) stars and horizontal branch (HB) stars, as well as blue stragglers (BSs). Stellar exotica such as white dwarfs (WDs), binaries such as cataclysmic variables (CVs, consisting of a WD accreting mass from a companion) and low-mass X-ray binaries (LMXBs, containing a neutron star or a black hole accreting material from a low-mass companion) are optically faint and are therefore not easily detected in the cores of GCs in the visual wavebands. The spectral energy distribution of these hot exotic objects usually peaks at far-ultraviolet (\\textit{FUV}) wavelengths, where MS stars and RGBs are faint. As a result, the core of a GC appears less crowded in the \\textit{FUV} and the exotic sources can be more easily detected and examined. Several cores of Galactic GCs have been studied in the far-ultraviolet, including M2\\ \\citep{m2},\\ M15\\ \\citep{m15},\\ M80\\ \\citep{m80_2, m80}, NGC 1851 (\\citealt{ngc1851, zurek2009, maccarone, zurek, Subramaniam2017}), NGC 2808 \\citep{brown,ngc2808}, NGC 5466 \\citep{Sahu}, NGC 6397 \\citep{ngc6397}, NGC 6752 \\citep{ngc6752}, 47 Tuc \\citep{47tuc}. Also M3, M13 and M79 \\citep{dalessandro2013}, and the outskirts of GCs have been observed with the \\textit{Galaxy Evolution Explorer (GALEX)} survey of GCs \\citep{Dalessandro2012, Schiavon2012}, and the \\textit{Swift Gamma-Ray Burst Mission} UVOT survey \\citep{Siegel_2014,Siegel_2015}.\n\nWe are able to probe deeper into GCs by detecting stellar populations that shine brightly in specific wavelengths, particularly those populations which formed by dynamical interactions. For example, blue stragglers (BS) appear to be on the MS above the turnoff point, although the cluster's age indicates that they should have evolved away from the MS to become red giants. These sources likely have mass added by either mass transfer from a companion \\citep{mccrea}, or resulting from a direct collision \\citep{hills}, which adds hydrogen fuel to the core allowing these stars to remain on the MS for longer than they would have otherwise. The high density of stars in the cluster core allows frequent interactions resulting in various exotic sources such as BS stars, CVs, X-ray binaries and millisecond pulsars (MSPs, \\citealt{Shara_2006, Hurley_2007, ivanova, hong, kremer2020}). Detailed stellar-dynamical analyses can be found in \\citet{leigh2007,leigh2011,leigh2013,leigh2015,chatterjee2010,chatterjee2013,hypki,wang2016,belloni2017,belloni2018a,belloni2018b,Belloni2019} and \\citet{rui2021}. Binary systems are important for the dynamical evolution of the cluster \\citep{heggie,hut}, as the binding energy in the binary can be transferred to other stars in dense stellar systems, stabilising the cluster against deep core collapse \\citep{hills1975,hurley_shara2012,breen,rodriguez}, such that the initial binary population constitutes an essential aspect \\citep{belloni2017}. Thus the detection of binary systems is important for our understanding of the dynamical state of the cluster.\n\nM30 (NGC 7099) is a metal-poor globular cluster with a metallicity of [Fe\/H] = --2.12 \\citep{harris}. It is located 8.3\\:$\\pm$\\:0.2\\:kpc away from us in the Galactic halo and has an estimated age of 13.0\\:$\\pm$\\:0.1\\:Gyr \\citep{kains}. M30 has a retrograde orbit with an average orbital eccentricity of $\\langle e\\rangle$ = 0.316, average perigalactic and apogalactic distances of $\\langle r_{min}\\rangle$ = 3.94 kpc and $\\langle r_{max}\\rangle$\\:=\\:7.58\\:kpc respectively, and an average maximum distance from the Galactic plane of $\\langle|z|_{max}\\rangle$ = 4.95 kpc (\\citealt{allen2006}, based on a nonaxisymmetric (barred) Galactic potential). M30 has a cluster mass of\\:$\\approx$\\:1.6\\:$\\times$\\:10$^5$\\:M$_{\\odot}$ and is core-collapsed: it has dynamically evolved so that the most massive stars have fallen inward and are concentrated towards the cluster core within a radius of only 1.9$''$\\:(0.08\\:pc, \\citealt{sosin}). M30 has a very high central density ($\\approx$\\:10$^6$\\:M$_{\\odot}$\\:pc$^{-3}$, \\citealt{lugger}), indicating a high rate of stellar interactions and activity in the core region. This has resulted in a large bluer inward colour gradient, where the \\textit{B$-$V} colour profile has a strong inclination towards bluer magnitudes in the centre, resulting from the infall of BS stars and a depletion of RGs from the core \\citep{howell}. Optical studies on M30 have yet to find a significant CV or WD population.\n\n\nBased on the optical \\textit{Hubble Space Telescope (HST)} Wide Field Planetary Camera 2 (WFPC2) data, a significant BS population is observed in M30 \\citep{guhathakurta}, and \\citet{ferraro} suggest that these stars can be divided into two distinct blue straggler sequences in the \\textit{V\\,$-$\\,I} colour-magnitude diagram (CMD). The blue BS sequence aligns with the zero-age main sequence (ZAMS) and the red sequence lies at a brighter magnitude of $\\Delta V$\\:$\\approx$\\:0.75\\:mag. Isochrones from stellar evolution models representing collisions are found to lie along the blue BS sequence \\citep{ferraro,sills}, and the red BSs populate a region that can be reproduced with models which undergo mass transfer \\citep{xin}. \\citet{zwart} also\nproduced stellar simulations and show that red BSs form by mass transfer at a constant rate over the cluster lifetime, whereas the blue BSs may have formed by mergers during a short burst of activity when the core of the cluster collapsed roughly 3.2 Gyr ago. The burst of activity would have resulted from the increased likelihood for interactions between stars due to the collapsing cluster core. It remains unknown however why the two sequences are parallel and why the red sequence is\\:$\\approx$\\:0.75\\:mag brighter than the blue one. Double BS sequences have also been detected in NGC 362 \\citep{Dalessandro_2013} and NGC 1261\\citep{Simunovic_2014}.\n\n\nThis first work in our study of M30 aims at analysing \\textit{HST FUV} and $UV$ data using photometry and providing an ultraviolet CMD and an analysis of the radial distributions of the different stellar populations. The observations and data reduction are described for each filter in Sect. \\ref{observation} and the \\textit{FUV} $-$ \\textit{UV} CMD is presented in Sect. \\ref{cmd}. The optical counterpart matching is given in Sect. \\ref{opticalsec}, and radial distribution analysis in Sect. \\ref{radialsec}, followed by a summary in Sect. \\ref{summ}.\nA following publication in this study will include potential counterparts to known X-ray sources and an investigation into the variable sources in M30.\n\n\n\\section{Observations and image processing}\n\\label{observation}\n\n\\begin{table*}\n    \\centering\n \\caption{Log of the observation dates, the camera and filters used, and the total exposure times. \\label{obslog}}\n\\begin{footnotesize}\n\\begin{tabular}{ccccc}\n\\hline\nCamera&Filter&Data Set&Start Date&Exposure Time (s)\\\\\n\\hline\\hline\n    ACS\/SBC&F150LP&J9HC02011&29 May 2007 16:45:50&5040\\\\\n    ACS\/SBC&F150LP&J9HC04011&03 June 2007 11:51:14&5040\\\\\n    ACS\/SBC&F150LP&J9HC04021&03 June 2007 15:01:42&2520\\\\\n    ACS\/SBC&F150LP&J9HC06011&09 June 2007 02:10:34&7560\\\\\n\tWFPC2&F300W&U9HC0301M-U9HC0308M&29 May 2007 19:58:16&4000\\\\\n\tWFPC2&F300W&U9HC0501M-U9HC0508M&03 June 2007 16:39:16&4000\\\\\t \n\tWFPC2&F300W&U9HC0701M-U9HC0708M&09 June 2007 07:00:16&4000\\\\\t \n\n\n\\hline\n\\end{tabular}\n\\end{footnotesize}\n    \\label{observations}\n\\end{table*}\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{fuv3.jpg}\n    \\caption{Master image of the \\textit{FUV} ACS\/F150LP exposures of the core of M30, which spans 34.6$''$ $\\times$ 30.8$''$ (1.40 pc $\\times$ 1.24 pc). \n    North is up and east is to the left.}\n    \\label{fuv}\n\\end{figure}\n\n\\vspace{5pt}\n\\subsection{The ACS \\textit{FUV} data}\n\n\\vspace{5pt}\nThe far-ultraviolet (\\textit{FUV}) data was obtained with the Advanced Camera for Surveys (ACS) on board the \\textit{HST}, using the Solar Blind Channel (SBC) and F150LP filter (program GO-10561; PI: Dieball), in 15 orbits distributed over three visits,\nfrom the 29th May to the 9th June 2007. The SBC has a field of view of 34.6$''$ $\\times$  30.8$''$ and a pixel scale of 0.034$''$ $\\times$ 0.030$''$ pixel$^{-1}$. \nSixty-four images were taken, each with an exposure time of 315 s, resulting in a total exposure time of 20160 s, and are described in Table \\ref{obslog}. \nThermal breathing during the 96 minute day-night cycle of the \\textit{HST} for each visit, as well as guide star re-acquisition,\ncan create small shifts between the individual images taken at the same pointing position. As a first step, a master image is created  which realigns all individual images using the \\texttt{TWEAKREG} task from the \\texttt{DRIZZLEPAC} package running under \\texttt{PYRAF} \\citep{pyraf}. This task compares the world coordinate system (WCS) data in the header of each image to a reference image (the first in our list) and calculates the small residual shifts made by the pointing differences.\nThe threshold is adjusted to ensure the rms of the shifts is small and there is no correlation in the residual plots. \nThe images are then combined into a geometrically-corrected master image using the \\texttt{ASTRODRIZZLE} task from the \\texttt{DRIZZLEPAC} package. This task incorporates the processes of performing sky subtraction, drizzling, creating a median image, cosmic ray removal and final combination into the master image. In this instance, cosmic ray removal is not needed as the SBC is not sensitive to cosmic rays. The \\textit{FUV} master image is shown in Fig.~\\ref{fuv}. Although this shows the extremely dense core region of the cluster, the \\textit{FUV} image does not suffer from much crowding since the numerous MS stars are faint at these wavelengths.\n\n\n\n\\subsubsection{Object identification}\n\n\\vspace{5pt}\nMost of the potential sources are automatically detected using the \\texttt{DAOFIND} task in the \\texttt{DAOPHOT} package \\citep{stetson}, running under \\texttt{PYRAF}. This task determines if there is a source in a given pixel by applying a Gaussian profile on the surrounding pixels. A detection is recorded if there is a good fit with a large positive central height of the Gaussian, whereas a negative or minimal height resembles the edge of a star or an empty region of sky \\citep{stetson}. A FWHM\\:of\\:3 and zero readnoise is used for the ACS\/SBC. The coordinates of found sources are over-plotted onto the master image to be checked by eye. The threshold for \\texttt{DAOFIND} needs to be chosen such that it detects as many faint sources as possible without making too many false detections in the vicinity of the brightest stars. These false detections are then removed from the list by hand (along with some false detections at the edge of the image), and any of the faint sources missed by the \\texttt{DAOFIND} task are added. The resulting number of objects found in the \\textit{FUV} is 1934. \n\n\\subsubsection{Stellar photometry}\n\n\\vspace{5pt}\nAperture photometry was performed using the task \\texttt{DAOPHOT} \\citep{stetson} running under \\texttt{PYRAF}. An aperture of 4 pixels was used with a sky annulus of 8-12 pixels. A small aperture is needed for dense stellar systems, however in order to account for the limited percentage of flux contained in the small aperture, an aperture correction, ApCorr, is applied, which is the inverse of the encircled energy. The small sky annulus also contains light from the star itself,  and thus a sky correction, SkyCorr, is needed. Assuming that a larger sky annulus of 60-70 pixels contains only background flux, SkyCorr is determined by taking the magnitude ratio of the large sky annulus and the small sky annulus for several chosen isolated stars (see e.g. \\citealt{m15}). The fluxes are then converted into STMAGs using the formula:\n\n$$\\textnormal{STMAG =  - 2.5 $\\times$ log (flux $\\times$ SkyCorr $\\times$ ApCorr \/ ExpTime)}$$\n\n\\vspace*{-15pt}\n$$\\textnormal{+ ZPT},$$\n\n\\noindent where ZPT = --21.1 mag is the zero point for the STMAG system, and flux = counts $\\times$ PHOTFLAM, where PHOTFLAM is the inverse sensitivity of the instrument used to convert count rates into fluxes, and can be found in the image header. \nFor the ACS filter F150LP, this is:\n\n\\vspace*{-10pt}\n\\begin{equation*}\n \\rm{PHOTFLAM}_{ACS,F150LP} =  3.246305 \\times 10^{-17} \\rm{erg}\\ \\rm{cm}^{-2}\\ \\textup{\\AA}^{-1}\\ \\rm{count}^{-1}   \n\\end{equation*}\n\n\n\\vspace{5pt}\n\\noindent For an annulus of 4 pixels, the corrections are ApCorr\\:=\\:1.7636 \\citep{acs} and SkyCorr = 1.011. \n\n\\subsection{The WFPC2 F300W data}\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{nuv1.jpg}\n    \\caption{F300W master image of the WFPC2\/PC exposures of M30, with a field of view of $34\\arcsec \\times 34\\arcsec$ (1.37 pc $\\times$ 1.37 pc).  North is up and east is to the left.}\n    \\label{UV}\n\\end{figure}\n\n \n\\vspace{5pt}\nThe \\textit{UV} data was obtained using the WFPC2 which was on board the \\textit{HST} (program GO-10561; PI: Dieball) with the F300W filter in 15 orbits distributed over three visits,\nfrom the 29th May to the 9th June 2007. The WFPC2 consists of four cameras, the three Wide Field Cameras (WFCs) each with a field of view of $50'' \\times 50''$, and the Planetary Camera (PC) with a field of view of $34'' \\times 34''$, and a pixel scale of 0.046$''$ pixel$^{-1}$. The PC was centred on the cluster core. The exposures from these four chips are placed together into a mosaic image. Twenty-four mosaic images were taken with a total exposure time of 12000 s (Table \\ref{observations}).\n\n \\begin{figure*}\n    \\centering\n    \\includegraphics[scale=0.54]{CMD_detlimit.jpg}\n    \\caption{\\textit{FUV} -- \\textit{UV} CMD of M30. A theoretical ZAMS (solid orange line), ZAHB (dotted pink line), and a CO WD cooling sequence (dashed green line) have been added for orientation. The surface temperatures of WDs are also indicated. Additionally shown are sources measured in the \\textit{FUV} but with no \\textit{UV} counterpart (grey circles), using the detection limit of the \\textit{UV} to estimate their position on the CMD, which also represents the location of the detection limit.}\n    \\label{isochrones}\n\\end{figure*}\n\n\\subsubsection{Object identification and stellar photometry}\n\n\\vspace{5pt}\nA master image is created using the same method that was used for the \\textit{FUV} data, with the \\texttt{TWEAKREG} and \\texttt{ASTRODRIZZLE} tasks from the \\texttt{DRIZZLEPAC} package running under \\texttt{PYRAF} \\citep{pyraf}, and is shown in Fig.~\\ref{UV}. Photometry was performed using the package \\texttt{DOLPHOT} \\citep{dolphot}, running under \\texttt{IRAF} \\citep{iraf1,iraf2}. This program carries out the image alignment with respect to a reference image (our master image), source detection and  photometry directly on the 24  flat-fielded exposures. \\texttt{DOLPHOT} contains a specific module for the WFPC2 which performs PSF-fitting using a pre-calculated PSF model for the F300W filter\\footnote{\\url{http:\/\/americano.dolphinsim.com\/dolphot}}, and the output magnitudes are already flux corrected. As the ACS\/\\textit{FUV} field of view is contained within the field of view of the Planetary Camera, only the data from this chip is needed here. For the photometry, the recommended parameters for the WFPC2 module are first used, then optimised so that as many faint sources were measured as possible\\footnote{The optimised parameters are: imgRPSF = 10, RCentroid = 1}. The number of objects found in the PC\/F300W data is 10451, with 8836 of these within the \\textit{FUV} field of view.\n \n\n\n\n\\subsection{Catalogue matching}{\\label{transformation}}\n\n\\vspace{5pt}\nIn order to find objects that appear in both the \\textit{FUV} and \\textit{UV} data, the coordinates of the sources found in the \\textit{FUV} image are transferred into the \\textit{UV} frame. In order to make the conversion, the $x$ and $y$ positions of 30 reference stars easily identified in both images are used as input for the task \\texttt{GEOMAP} running under \\texttt{PYRAF}. This computes the spatial transformation which is used by the \\texttt{GEOXYTRAN} task to transform the coordinates of the \\textit{FUV} objects into the \\textit{UV} frame. This is checked by over-plotting the transformed \\textit{FUV} coordinates onto the \\textit{UV} image. The two catalogues are then compared for matching stars using the task \\texttt{TMATCH} which correlates the two lists for sources matching in coordinates within a radius of a given number of pixels. The average matching radius for sources in both frames is 0.35 pixels, and this procedure results in 1569 matching objects. The first 30 entries of the final list of sources are given in Table \\ref{fullcat}.\n\nA number of chance matches are expected, and can be estimated using the numbers of objects in the two wavelengths and the matching radius \\citep{knigge}. The estimated number of spurious matches is 74 pairs (4.6$\\%$ of all matches).\n\n\n\\section{The \\textit{FUV} -- \\textit{UV} CMD} \\label{cmd}\n\n\\vspace{5pt}\nThe \\textit{FUV} -- \\textit{UV} CMD is given in Fig. \\ref{isochrones}. A theoretical zero-age main sequence (ZAMS), zero-age horizontal branch (ZAHB), and WD cooling sequence with marked surface temperatures are included for orientation purposes. These are calculated using the fitting formulae of \\citet{tout}, the theoretical ZAHB models from \\citet{dorman} and the \\citet{wood} grid of WD cooling curves with a grid of synthetic WD spectra by \\citet{gansicke}. Kurucz models of stellar atmospheres are used for interpolation and the resulting spectra are then folded with the appropriate filter and detector combinations using \\texttt{PYSYNPHOT} running under \\texttt{PYRAF}. The cluster parameters used are a distance of 8.3 kpc, a metallicity of [Fe\/H]$=-2.12$ and a reddening of $E(B-V)=0.03$ mag.\n\n\\begin{figure}\n  \\centering\n    \\includegraphics[scale=0.27]{ferraro_BS_zams.jpg}\n    \\includegraphics[scale=0.27]{ferraro_BS_zams_lin.jpg}\n    \\caption{The BS sources that are found to be in a double BS sequence in the infrared by \\citet{ferraro}, marked according to whether they belonged to the blue (squares) or red (circles) BS sequence, on the $FUV - UV$ CMD (top) and their position verticalized along with respect to the ZAMS (bottom)}. \\label{ferraro}\n\\end{figure}\n\n\n\n\nThere is a well-defined main sequence, with turnoff at $FUV \\approx 22\\ \\textnormal{mag}$ and \\textit{FUV} -- \\textit{UV} $\\approx$ 3 mag. Many BS sources are seen along the ZAMS at brighter magnitudes than the turnoff. The RGB lies from the turnoff towards fainter and redder magnitudes. The HB reaches from the RGB up to \\textit{FUV} $\\approx$ 15 mag. The sources between the MS and WD cooling sequence are called gap objects and are likely to include CV candidates \\citep{m15}. Also included are 126 sources present in both $FUV$ and $UV$ fields of view with $FUV$ measurements but no $UV$ counterparts. The detection limit of $UV = $ 23.6 mag was used to estimate the position of these sources in the CMD, and as such they lie on the line representing this limit. \n\nFigure \\ref{ferraro} shows 16 of the BSs that are situated in the red BS sequence in \\citet{ferraro}, and 13 from the blue BS sequence. As the separations in colour are small, they are also plotted in Fig. \\ref{ferraro} in a verticalized CMD with respect to the theoretical ZAMS curve used in Fig. \\ref{isochrones}. The highest uncertainty in the  \\textit{FUV - UV} position for these sources was 0.024 mag, and 0.004 mag for the $FUV$. Of the two BS sources without counterparts from \\citet{ferraro}, the source at $FUV - UV \\approx 0$ mag (ID27) was just outside of their field of view, and the one at $FUV - UV \\approx -\\ 0.65$ mag (ID283) matched within 2 pixels to the position of a source that was between the double BS sequence and the RGB (\\citealp{ferraro}, their source \\#11002543), and as such was not included. The field of view in our study only included the cluster centre, thus further observations using a larger field of view of this cluster in \\textit{FUV} wavelengths is needed to fully explore the BS population, however we find that there is no clear distinction between the two BS sequences in our dataset. The sources that were attributed to the distinct sequences in \\citet{ferraro} appear to be well mixed in the ultraviolet, particularly as two of the red BS sources have a large blue excess compared to the other BSs (Fig. \\ref{ferraro}). As the sources on the red BS sequence are thought to be the result of mass transfer \\citep{xin}, the reason the two sub-populations appear mixed may be due to the sources on the red sequence being in an active state of mass transfer. \\citet{xin} detail a binary model which begins mass transfer at 7.54 Gyr, becomes brighter than the MS turnoff at around 10 Gyr, remains in the BS region for another 3-4 Gyr with mass transfer ceasing at 12.78 Gyr. Systems with active mass transfer emit $FUV$ radiation due to the hot material in the accretion disk which would give these sources a blue excess in the $FUV - UV$ CMD. These active systems  would then be shifted bluewards towards (and even beyond) the blue BS sequence in the ultraviolet.\n\n\n\\captionsetup[table]{labelfont={bf},name={Table},labelsep=period}\n\n\\begin{sidewaystable*}\n\n\n\\caption{The first 30 entries from the catalogue of sources in the \\textit{FUV} and \\textit{UV} field of view. The ID number is given in the first column, the position of the source in Cols. 2 and 3, the radial distance is given in Col. 4, and the pixel position of the source on the \\textit{FUV} image is in Cols. 5 and 6. The magnitudes are in Cols. 7 $-$ 9 and the resulting population type of each source (determined from the position in the \\textit{FUV} -- \\textit{UV} CMD) is given in Col. 10. Also included in Cols. 11$-$13 are the corresponding $B - V$ and $V$ magnitudes and ID number from the optical catalogue \\citep{guhathakurta}. This table is published in its entirety in the supplementary material (online).}\n\n\\small{\n\\begin{tabular}{ccccrrccccrcr}\n\\hline \n\nID & RA & Dec & $r^a$ & $x_{FUV}$ & $y_{FUV}$ & \\textit{FUV} & \\textit{UV} & \\textit{FUV}$-$\\textit{UV} & Type & B$-$V$^b$ & V$^b$ & ID$_{Optical}^b$\\\\\n & [h:m:s] & [$^{\\circ}$:$'$:$''$] & [arcmin] & [pixels] & [pixels] & [mag] & [mag] & [mag] & & [mag] & [mag]\\\\ \n\\hline\\hline \\\\\n1&21:40:20.94&-23:10:55.71&0.313&479.48&74.20&15.431\\ $\\pm$\\ 0.001&15.742\\ $\\pm$\\ 0.001&-0.311\\ $\\pm$\\ 0.002&HB&-0.09&15.63&755\\\\\n2&21:40:20.79&-23:10:48.11&0.314&794.64&81.69&22.464\\ $\\pm$\\ 0.030&18.868\\ $\\pm$\\ 0.004&3.596\\ $\\pm$\\ 0.034&MS& 0.34&18.69&635\\\\    \t\n3&21:40:20.87&-23:10:48.48&0.296&767.87&119.88&22.654\\ $\\pm$\\ 0.033&18.908\\ $\\pm$\\ 0.004&3.746\\ $\\pm$\\ 0.037&MS&0.37&18.74&699\\\\\t4&21:40:20.89&-23:10:47.74&0.291&793.36&137.83&22.550\\ $\\pm$\\ 0.039&18.654\\ $\\pm$\\ 0.004&3.896\\ $\\pm$\\ 0.036&MS&0.39&18.43&714\\\\\t\n5&21:40:20.81&-23:10:42.51&0.319&1005.74&157.13&22.583\\ $\\pm$\\ 0.033&18.852\\ $\\pm$\\ 0.004&3.731\\ $\\pm$\\ 0.037&MS&0.36&18.67&665\\\\\n6&21:40:20.92&-23:10:46.79&0.282&823.92&168.39&22.521\\ $\\pm$\\ 0.031&18.835\\ $\\pm$\\ 0.004&3.686\\ $\\pm$\\ 0.035&MS&0.34&18.69&746\\\\\n7&21:40:21.19&-23:10:57.86&0.283&358.25&182.20&18.495\\ $\\pm$\\ 0.005&18.027\\ $\\pm$\\ 0.003&0.468\\ $\\pm$\\ 0.008&BS&&&\\\\\n8&21:40:21.16&-23:10:56.00&0.270&434.47&187.06&21.511\\ $\\pm$\\ 0.020&15.513\\ $\\pm$\\ 0.002&5.998\\ $\\pm$\\ 0.022&RG&1.12&12.69&1005\\\\\n9&21:40:21.16&-23:10:54.62&0.256&485.79&207.67&22.478\\ $\\pm$\\ 0.031&18.767\\ $\\pm$\\ 0.004&3.711\\ $\\pm$\\ 0.035&MS&0.44&18.57&1025\\\\\t\n10&21:40:20.90&-23:10:42.02&0.301&1010.36&210.87&22.364\\ $\\pm$\\ 0.032&18.781\\ $\\pm$\\ 0.004&3.583\\ $\\pm$\\ 0.036&MS&0.29&18.57&730\\\\\n11&21:40:21.22&-23:10:56.63&0.264&400.37&213.90&22.314\\ $\\pm$\\ 0.029&16.099\\ $\\pm$\\ 0.001&6.215\\ $\\pm$\\ 0.030&RG&0.72&14.65&1107\\\\\t\n12&21:40:21.30&-23:10:58.23&0.266&325.55&240.04&22.390\\ $\\pm$\\ 0.030&18.784\\ $\\pm$\\ 0.004&3.606\\ $\\pm$\\ 0.034&MS&&&\\\\\n13&21:40:20.97&-23:10:40.17&0.298&1071.16&266.28&22.401\\ $\\pm$\\ 0.033&18.685\\ $\\pm$\\ 0.004&3.716\\ $\\pm$\\ 0.037&MS&0.33&18.48&796\\\\\n14&21:40:21.26&-23:10:53.33&0.226&520.49&272.55&21.896\\ $\\pm$\\ 0.023&18.325\\ $\\pm$\\ 0.003&3.571\\ $\\pm$\\ 0.026&MS&0.36&18.16&1163\\\\\n15&21:40:21.23&-23:10:51.75&0.223&586.04&273.16&22.376\\ $\\pm$\\ 0.029&18.568\\ $\\pm$\\ 0.004&3.808\\ $\\pm$\\ 0.033&MS&0.34&18.29&1120\\\\\t\n16&21:40:21.19&-23:10:50.02&0.223&658.10&274.11&22.578\\ $\\pm$\\ 0.032&18.921\\ $\\pm$\\ 0.004&3.657\\ $\\pm$\\ 0.036&MS&0.36&18.82&1070\\\\\n17&21:40:21.03&-23:10:42.37&0.270&976.93&274.68&19.812\\ $\\pm$\\ 0.009&18.346\\ $\\pm$\\ 0.003&1.466\\ $\\pm$\\ 0.012&BS&0.12&18.18&860\\\\\n18&21:40:21.01&-23:10:41.41&0.280&1016.38&276.28&15.187\\ $\\pm$\\ 0.001&15.758\\ $\\pm$\\ 0.001&-0.571\\ $\\pm$\\ 0.002&HB&-0.12&15.78&841\\\\\n19&21:40:21.36&-23:10:54.51&0.216&459.70&312.16&22.301\\ $\\pm$\\ 0.028&18.568\\ $\\pm$\\ 0.004&3.733\\ $\\pm$\\ 0.032&MS&0.57&18.27&1278\\\\\n20&21:40:21.31&-23:10:52.23&0.207&554.79&311.87&22.431\\ $\\pm$\\ 0.031&16.489\\ $\\pm$\\ 0.001&5.942\\ $\\pm$\\ 0.032&RG&0.69&15.14&1222\\\\\n21&21:40:21.23&-23:10:37.61&0.267&1127.68&436.35&22.270\\ $\\pm$\\ 0.028&23.859\\ $\\pm$\\ 0.276&-1.589\\ $\\pm$\\ 0.304&Gap&0.30&18.70&1221\\\\\t\t\n22&21:40:21.19&-23:10:45.25&0.222&841.07&327.62&22.445\\ $\\pm$\\ 0.030&18.627\\ $\\pm$\\ 0.004&3.818\\ $\\pm$\\ 0.034&MS&0.37&18.33&1075\\\\\n23&21:40:21.03&-23:10:37.57&0.307&1161.20&328.22&22.492\\ $\\pm$\\ 0.032&18.604\\ $\\pm$\\ 0.004&3.888\\ $\\pm$\\ 0.036&MS&0.43&18.32&865\\\\\n24&21:40:21.25&-23:10:47.84&0.205&732.63&329.89&22.497\\ $\\pm$\\ 0.031&18.814\\ $\\pm$\\ 0.004&3.683\\ $\\pm$\\ 0.035&MS&0.32&18.70&1158\\\\\t\n25&21:40:21.47&-23:10:57.80&0.235&316.94&331.07&22.390\\ $\\pm$\\ 0.030&18.640\\ $\\pm$\\ 0.004&3.750\\ $\\pm$\\ 0.034&MS&0.40&18.49&1459\\\\\n26&21:40:21.16&-23:10:43.49&0.235&913.04&333.06&22.618\\ $\\pm$\\ 0.034&18.496\\ $\\pm$\\ 0.003&4.122\\ $\\pm$\\ 0.037&RG&0.37&18.26&1036\\\\\n27&21:40:21.13&-23:10:41.56&0.254&992.76&335.06&17.353\\ $\\pm$\\ 0.003&17.345\\ $\\pm$\\ 0.002&0.008\\ $\\pm$\\ 0.005&BS&-0.01&17.37&987\\\\\n28&21:40:21.12&-23:10:40.56&0.262&1031.70&345.38&22.304\\ $\\pm$\\ 0.034&18.767\\ $\\pm$\\ 0.004&3.537\\ $\\pm$\\ 0.038&MS&0.32&18.70&983\\\\\n29&21:40:21.48&-23:10:56.31&0.213&371.12&357.70&22.529\\ $\\pm$\\ 0.032&18.961\\ $\\pm$\\ 0.004&3.568\\ $\\pm$\\ 0.036&MS&0.35&18.77&1482\\\\\n30&21:40:21.35&-23:10:49.55&0.185&651.59&362.87&21.075\\ $\\pm$\\ 0.016&18.783\\ $\\pm$\\ 0.004&2.292\\ $\\pm$\\ 0.020&BS&0.18&18.69&1269\\\\\n:& & & & & & & & & & & & \\\\\n\n\\hline\n\n\n\\end{tabular}}\\label{fullcat}\n\n\\vspace{5pt}\n\n(a) From the cluster centre at $x$ = $443.9$, $y$ = $362.8$ in the \\textit{UV} image, corresponding to RA = $21^h40^m22\\fs13,$ Dec = $- 23^{\\circ}10'47\\farcs40,$ determined as the centre of gravity by \\citet{ferraro}.\\\\\n(b) \\citet{guhathakurta}.\\\\\n\n\n\\end{sidewaystable*}\n\nThere are around 78 WD\/Gap objects blueward of the main sequence. We can make an estimate of the expected number of WDs in M30 by assuming that the number of stars in both of the HB and WD phases is proportional to the lifetime of these phases \\citep{Richer1997}:\n\n\\begin{equation}\n    \\frac{N_{WD}}{N_{HB}} \\approx \\frac{\\tau_{WD}}{\\tau_{HB}}\n\\end{equation}\n\n\\noindent If we assume that $\\tau_{HB} \\approx 10^8$ yr \\citep{dorman1992a}, the temperature of the WD cooling curve at the detection limit is 20,000 K $\\approx 5 \\times 10^7 \\textnormal{yr}$ \\citep{althaus}, and using the number of HB sources found in our sample $N_{HB} = 41$, we find that the estimated expected number of WDs is $N_{WD} \\approx 20$. This rough estimate is in agreement with the sources on or near the WD cooling curve (Fig. \\ref{cmd}) which have $UV$ counterparts, and there may also be a few WDs in the 23 sources with $FUV < 22$ but were not detected in the $UV$. \n\nThe other sources in the gap between the WD cooling curve and the MS are expected to include a number of CVs. A GC such as M30 should produce $\\approx 200$ CVs by 13 Gyr \\citep{ivanova}, through various formation channels such as primordial CVs in which the binary components are the original two stars, and also dynamical binary exchange encounters and tidal capture. However, in the dense core, interactions with other cluster members mean that the rate of destruction of CVs is greater than the formation rate \\citep{belloni}, and CVs are expected to have shorter lifetimes than their field counterparts by a factor of three \\citep{Shara_2006}. \\citet{belloni} find that around 45\\% of detectable CVs are within the half-light radius of a GC, which for M30 is $1.03'$ \\citep{harris}. After scaling down to our field of view, and taking the destruction rate into account, we have a predicted number of detectable CVs in our images of $\\approx 8$. The remaining sources in this region of the CMD that are not CVs or individual WDs are likely to be detached WD-MS binaries, where the hot emission from the WD surface and the cooler radiation from the MS surface places the combined flux of the binary in the region between these two populations. There is also the possibility of chance superpositions, and following the same prescription that was used for the whole dataset in Sect. \\ref{transformation}, the expected number of spurious matches in the WD\/Gap population is $\\approx 1$. Additionally, some sources which lie close to the MS and BS sequence may indeed be MS or BS stars. We stress that the predicted number of CVs is a rough estimate, and a closer investigation into the particular sources that are CV candidates is given in the following publication in this study.\n \nWe note that for the remainder of this study, most of the sources discussed have been determined as belonging to certain populations by their location in the $FUV - UV$ CMD. Yet there may be some sources which truly belong to a different group, as mentioned in the preceding paragraph of the gap sources close to the MS and BS sequence. This is especially true for the sources near the MS turnoff that have been included in the BS group for example, but may really be MS stars or gap objects, and vice versa. These initial distinctions allow us to make useful preliminary investigations into the cluster population, however supplementary tools such as spectroscopy and additional multi-wavelength observations would enable us to more accurately determine a star's true nature. \n\n\\begin{figure}\n    \n    \\includegraphics[scale=0.07]{fuv_cmd.jpg}\n    \n    \\includegraphics[scale=0.071]{bv_cmd.jpg}\n    \\caption{Comparison of the various stellar populations in the \\textit{FUV} -- \\textit{UV} CMD (top) and the optical CMD (bottom, based on the \\citealt{guhathakurta} catalogue). Only the sources present in both catalogues are marked in colour. Included are MS stars (yellow down triangles), red giants (red squares), HB stars (purple up triangles), BS stars (blue diamonds), and gap objects (which include CV candidates, green circles).}\n    \\label{optical}\n\\end{figure}\n\n\\section{Comparison to optical}\\label{opticalsec}\n\n\\vspace{5pt}\n\\citet{guhathakurta} presented an optical catalogue of 9507 sources for M30, the exposures of which were also taken with the WFPC2 on board the $HST$ (program GO-5324, PI: Yanny). Eight exposures were taken on 31st March 1994, two using the F336W filter with an 100 s exposure time, two using the F439W filter and 40\\:s exposure time and four using the F555W filter with 4 s exposure times. The data was accessed from VizeiR\\footnote{\\url{https:\/\/cdsarc.cds.unistra.fr\/viz-bin\/cat\/J\/AJ\/116\/1757}}, and by taking the well-defined group of HB stars in the optical CMD (Fig. \\ref{optical}), and over-plotting their coordinates onto the \\textit{FUV} image, it is easily seen that they corresponded to the brightest sources in the \\textit{FUV} image, albeit with a slight shift. After correcting for the shift, these are then used as reference stars to convert the coordinates of the optical catalogue into our \\textit{FUV} frame. The coordinates of the HB stars are given as input for the task \\texttt{GEOMAP} which computes the transformation. The \\texttt{GEOXYTRAN} task carries out the transformation of the optical catalogue into the \\textit{FUV} frame, and then also into the \\textit{UV} frame using the same transformation used in Sect. \\ref{transformation}. The optical coordinates are first converted into the \\textit{FUV} frame rather than directly into the \\textit{UV} frame, because it was easy to identify stars to use for the transformation, as the HB stars are the brightest objects in the \\textit{FUV} and as such are an efficient choice for the reference stars. \n\n\nThe resulting comparison is given in Fig. \\ref{optical}. Groups of sources belonging to both catalogues are plotted in colour. There are 1201 matching MS stars (yellow), 178 RGB stars (red), 44 BS sources (blue), all 41 HB stars (purple), and 42 WD\/Gap objects (green) which include CV candidates. The comparison illustrates the importance of far-ultraviolet observations in detecting and identifying stellar exotica such as WDs and CVs, as in the optical they are indistinguishable in position from the MS, but their hot emission in the $FUV$ shifts their location in the $FUV - UV$ CMD blueward and brighter than the MS.  This is also true for a few \\textit{FUV}-bright BS candidates that are in the MS region in the optical CMD. These sources appear brighter than the MS turnoff in the \\textit{FUV} suggesting that they could have a hot WD companion \\citep{sahu}. Additionally, two of our BS sources, ID7 and ID66, do not have an optical counterpart. Source ID7 was just out of the field of view in the optical exposures, and ID66 is close to the MS turnoff in the $FUV - UV$ CMD, and as such it may be a binary system with a hot WD that is bright in the ultraviolet but with an optically faint MS star companion \\citep{47tuc}. If this is the case, it would really be a Gap object rather than a BS star, as discussed at the end of Sect. \\ref{cmd}.\n\nSeveral sources at the top of the optical RGB do not have \\textit{FUV} counterparts as they are located outside the \\textit{FUV} field of view. Additionally there were 76 sources in the \\textit{FUV} that are undetected in the optical, including nearly half of the WD\/Gap objects. This is expected for the sources in the WD cooling region as WDs are optically very faint. The reason for the Gap objects not having optical counterparts may be due to them being CVs with very low-mass MS companions, as their radial distributions suggest, and as such were too faint to be detected in the optical. The MS stars given in the optical catalogue fainter than V $\\approx$ 20.5 mag are too faint to be detected in the \\textit{FUV}. The matched optical counterparts are identified in Table \\ref{fullcat}.\n\n\n\n\\section{Radial distribution}\\label{radialsec}\n\n\\vspace{5pt}\nFigure \\ref{radial} shows the cumulative radial distributions of the stellar populations found in both the \\textit{FUV} and \\textit{UV} images within a radius of 15.5$''$ from the cluster centre. The centre of the cluster used was   $\\alpha=21^h40^m22\\fs13,\\ \\delta=-23^{\\circ}10'47\\farcs40$ \\citep{ferraro} which corresponds to pixel coordinates $x$ = 443.9, $y$ = 362.8 in the \\textit{UV} frame and  $x$ = 612.1, $y$ = 800.1 in the $FUV$.\nThe numbers for each stellar population in the \\textit{FUV}\\:--\\:\\textit{UV} catalogue and those within 15.5$''$ radius of the cluster centre are given in Table \\ref{radialtable}. Included in the group WD\/Gap sources are all sources blueward of the MS\/BS sequence and \\textit{FUV} $>$ 19 mag.\n\nThe most prominent result in the radial distributions is the strong concentration of BS stars towards the centre, compared to the other populations. M30 is a core-collapsed cluster, meaning that over time the more massive stars have concentrated inward towards the centre (mass segregation). BS stars are the most massive stars out of these stellar populations, having gained mass by either mass transfer from a companion or by the merger of two stars \\citep{mccrea, hills}, and as they are still hydrogen burning they have not yet undergone the mass loss observed in the later stages of evolution. They are also likely to form in the cluster centre due to the high number of stellar interactions in this dense region. Thus the BS concentration towards the centre is expected evidence of the dynamical history of the core, and is also representative of the bluer inward colour gradient observed in M30 \\citep{howell}. \n\n\\begin{figure}\n    \\centering\n    \\vspace*{-7pt}\n    \\includegraphics[width=\\columnwidth]{mass_est.jpg}\n    \\caption{Cumulative radial distributions of the various stellar populations (top) with mass estimate models ranging from 0.4 $M_{\\odot}$ -- 2.0 $M_{\\odot}$ (middle), and the sources on the red and blue BS sequences (bottom) found by \\citet{ferraro}, within a radius of 15.5$''$ from the centre of M30.}\n    \n    \\label{radial}\n\\end{figure} \n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth]{BS_discrete_rad.jpg}\n    \\caption{Discrete radial distribution of the red and blue BS sources. The radius is split into 1 arcsec-sized bins, where any red (blue) BS sources appear on the left (right) side of each bin.}\n    \\label{radBS}\n\\end{figure}\n\n\n\n\nThe colour gradient also results from the central deficiency of RGB stars \\citep{howell}, which corresponds to the lack of central concentration of this population shown in Fig. \\ref{radial}. This may be due to the mass that stars typically lose during the RGB phase which could allow these stars to drift outwards. This may also be the case for the least centrally concentrated population, the HB stars, which evolve from the RGB stage. The HB stars are even absent within the inner core region of 1.9$''$ (0.08 pc), so whilst the high concentration of BS stars in the centre may add to the bluer inward colour gradient of M30, it seems that the numerous HB stars, which are similar to BS in colour magnitude, do not contribute to this gradient.\n\nThe group WD\/Gap sources includes $\\approx 20$ sources that are likely isolated WD stars that are located near the WD cooling curve (Fig. \\ref{isochrones}), an estimated number of $\\approx$ 8 CVs, and detached WD-MS binaries. Overall, the sources in this group are only slightly more centrally located than MS stars in M30, which is unexpected at first glance, since a central concentration was seen in other GCs such as NGC\\:2808 \\citep{ngc2808} and M15 \\citep{m15}, and as CVs can form from two-body interactions that are frequent in the high density centre of the cluster. CVs are binary systems, which along with the non-interacting WD-MS binaries, means a higher combined mass than the individual stars alone. Similarly to BS stars, these higher mass sources should concentrate towards the cluster centre over time. However, the segregation of WD\/Gap sources towards the centre is not observed, and a possible explanation for this might be that the combined mass of these binary systems is actually relatively low. This is true for old ($\\approx$ 10 Gyr) CVs where the WD has devoured almost all of the mass from their companion, leaving behind as little as $\\approx\\:0.1\\:\\textnormal{M}_{\\odot}$, a negligible mass relative to the WD (\\citealt{hillman}), and also mass is lost from the system over time due to wind and outbursts from the accretion disc \\citep{tout1991}. Additionally, as the destruction rate of CVs is higher than the formation rate in the dense cores of GCs \\citep{belloni2018b}, a number of the detached WD-MS binaries may also have undergone mass transfer in the past. Even if we also detect younger systems, it is likely that the MS companion has a low mass as otherwise the flux from the MS star would be high at the UV wavelength which is not the case for our Gap sources. As there is no central concentration seen in M30, this suggests that a large proportion of the Gap sources are binary systems with low combined masses.\n\n\n\n\n\\begin{table}\n    \\centering\n        \\caption{Numbers of sources for the stellar populations in the \\textit{FUV} -- \\textit{UV} catalogue and within a radius of 15.5$''$ of the cluster centre of gravity, along with their estimated masses.}\n    \\begin{tabular}{cccc}\n    \\hline\nPopulation & Catalogue & 15.5$''$ radius&Mass\\\\ \\hline\\hline\nMS         & 1218      & 1030 & 0.5 - 0.6 $M_{\\odot}$\\\\\nBS         & 47        & 42 & 1.0 - 1.2 $M_{\\odot}$\\\\\nRG         & 185       & 169 & 0.6 - 0.7 $M_{\\odot}$\\\\\nHB         & 41        & 34 & 0.6 - 0.8 $M_{\\odot}$\\\\\nWD\/Gap    & 78      & 70 & 0.5 - 0.6 $M_{\\odot}$\\\\\n\\hline\n    \\end{tabular}\n    \\label{radialtable}\n\\end{table}\n\nThe average masses of the various stellar populations can be estimated from the radial distributions by assuming the spatial distribution of a typical star is described by \\citet{king} models. Following the method by \\citet{heinke}, we compare our radial distributions using a maximum-likelihood fitting to generalised theoretical King models, with the radial profile of the source surface density:\n\n\\begin{equation}\n    S(r) = \\bigintss \\left(1 + \\left(\\frac{r}{r_{c\\star}}\\right)^2 \\right)^{\\frac{1-3q}{2}} dr\n\\end{equation}\n\n\\vspace{5pt}\n\\noindent where $q = M_X\/M_{\\star}$, with $M_X$ being the mass of the source population we wish to find and $M_{\\star}$ is the mass of the population within the core radius $r_{c\\star} = 1.9''$ \\citep{sosin}. After applying a correction to the distribution to cover the non-circular field of view of the images as a function of radius, models with masses $0.4 - 2.0\\:M_{\\odot}$ in steps of 0.2 $M_{\\odot}$ are calculated and shown in Fig. \\ref{radial}. The estimated masses for each stellar population are given in Table \\ref{radialtable}. The average mass of the BS stars is estimated to be $1.0 - 1.2\\:M_{\\odot}$ and the mass of the WD\/Gap sources is $0.5 - 0.6\\:M_{\\odot}$. Whilst only a slight overall concentration of WD\/Gap sources towards the centre was seen, the sources near to the core are estimated to be more massive than those further out. \n\nThe radial distribution of the red and blue BS sources identified as two distinct sequences in \\citet{ferraro} is also shown in Fig. \\ref{radial} which reveals no significant distinction in radial spread for the two BS sequences; both populations are centrally concentrated. \\citet{ferraro} show a slightly higher central concentration of red BS in M30, although they use a different cumulative radial range, therefore we also give the discrete red and blue BS radial distributions in Fig.\\:\\ref{radBS}, again displaying no significant difference between the two sub-populations. From the other two clusters known to have a double BS sequence, \\citet{Dalessandro_2013} find a higher central concentration of red BSs in NGC 362 and contrastingly, \\citet{Simunovic_2014} find a higher central concentration of blue BS stars in NGC 1261.\n\n\nThe similarity of the radial distributions of the various stellar populations is investigated using  \na Kolmogorov--Smirnov (KS) test. The KS test compares two populations and returns a probability that the two distributions are drawn from the same parent population. The higher the returned probability, the more likely the distributions are from the same population. The BS sources are comparable to the other stellar populations with KS probabilities of 0.54$\\%$ (BS to HB), 0.05$\\%$ (BS to RG), and 0.02$\\%$ (BS to WD\/Gap sources), suggesting that the BS sources formed through a different process to the HB and RG stars, i.e. from mergers or mass transfer rather than single star evolution. The results for all population comparisons are given in Table \\ref{KS}.\n\n\\begin{table}\n    \\centering\n\\caption{Probabilities that two populations of stars are from the same parent population.}\n    \\begin{tabular}{lc}\n    \n\\hline\n\nPopulation&Probabilities\\\\ \nComparison&\\%\\\\\n\\hline\\hline\nMS--BS &\\hspace{5pt}0.001\\\\\nMS--HB &47.996\\\\\nMS--RG &40.998\\\\\nMS--WD\/Gap &62.156\\\\\nBS--HB &0.5416\\\\\nBS--RG &0.0452\\\\\nBS--WD\/Gap &0.0201\\\\\nHB--RG &78.936\\\\\nHB--WD\/Gap &36.181\\\\\nRG--WD\/Gap &53.490\\\\\n\\hline\n    \\end{tabular}\n\n    \\label{KS}\n\\end{table}\n\n\n\\section{Summary} \\label{summ}\n\n\\vspace{5pt}\nFar-ultraviolet (\\textit{FUV}, ACS\/SBC\/F150LP) and mid-ultraviolet (\\textit{UV}, WFPC2\/F300W) exposures of the globular cluster M30 were\nphotometrically analysed. A total of 1934 sources are detected in the \\textit{FUV} image and 10451 sources in the \\textit{UV} image. Out of these, 1569 matching sources were found. Different stellar populations are well distinguished in the resulting \\textit{FUV} $-$ \\textit{UV} CMD. The MS turnoff lies at $\\textnormal{\\textit{FUV}} \\approx 22$ mag and $\\textnormal{\\textit{FUV} -- \\textit{UV}} \\approx 3$ mag. The horizontal branch consists of 41 sources, all of which have an optical counterpart from the catalogue by \\citet{guhathakurta}. The red giant branch extends towards fainter and redder magnitudes, with 185 RGB sources, 178 of which are also found in the optical. A sequence of 47 BS stars is observed, 44 of these having optical counterparts. Seventy-eight WD\/Gap objects are identified, 42 of which were in the optical catalogue. The $FUV - UV$ CMD allows us to easily distinguish the WD\/Gap sources from MS stars.\n\n\nThe double BS sequence suggested by \\citet{ferraro} in the $V - I$ CMD is not seen in the \\textit{FUV} $-$ \\textit{UV} CMD. The two sets of BS sources are mixed in the ultraviolet which may be a result of the sources on the red BS sequence experiencing active mass transfer and emitting $FUV$ radiation, shifting these sources blueward in the ultraviolet CMD.\n\nThe radial distributions of the stellar populations show a strong concentration of BS sources towards the centre of the cluster, implying that mass segregation has taken place. There is a deficiency of HB stars in the very centre of the cluster and no central concentration of CV\ncandidates is found which may be due to these being old systems with low-mass MS companions.\n\n\nThe \\textit{HST} data for this project is sensitive enough to detect a previously unseen, significant population of WD\/Gap objects, providing new insight into M30 in the ultraviolet. Investigations in the \\textit{FUV} continue to provide detailed detections and identifications of their stellar populations. \n\n\n\\section*{Data Availability}\n\n\\vspace{5pt}\nThe data underlying this article are available in the Mikulski Archive for Space Telescopes (MAST): \\url{https:\/\/archive.stsci.edu}. The datasets are derived from images in the public domain: \\url{https:\/\/archive.stsci.edu\/proposal\\_search.php?mission=hst&id=10561}. The catalogue of sources is available at CDS via anonymous ftp to cdsarc.u-strasbg.fr (130.79.128.5) or via \\url{https:\/\/cdsarc.unistra.fr\/viz-bin\/cat\/J\/MNRAS}. This research also made use of the optical data available at CDS: \\url{https:\/\/cdsarc.cds.unistra.fr\/viz-bin\/cat\/J\/AJ\/116\/1757}.\n\n\n\\section*{Acknowledgements}\n\n\\vspace{5pt}\nPK acknowledges support from the Grant Agency of the Czech Republic under grant number 20-21855S.\n\n\n\\raggedright\n\\bibliographystyle{mnras}\n\n\\section{Introduction}\n\nThe journal \\textit{Monthly Notices of the Royal Astronomical Society} (MNRAS) encourages authors to prepare their papers using \\LaTeX.\nThe style file \\verb'mnras.cls' can be used to approximate the final appearance of the journal, and provides numerous features to simplify the preparation of papers.\nThis document, \\verb'mnras_guide.tex', provides guidance on using that style file and the features it enables.\n\nThis is not a general guide on how to use \\LaTeX, of which many excellent examples already exist.\nWe particularly recommend \\textit{Wikibooks \\LaTeX}\\footnote{\\url{https:\/\/en.wikibooks.org\/wiki\/LaTeX}}, a collaborative online textbook which is of use to both beginners and experts.\nAlternatively there are several other online resources, and most academic libraries also hold suitable beginner's guides.\n\nFor guidance on the contents of papers, journal style, and how to submit a paper, see the MNRAS Instructions to Authors\\footnote{\\label{foot:itas}\\url{http:\/\/www.oxfordjournals.org\/our_journals\/mnras\/for_authors\/}}.\nOnly technical issues with the \\LaTeX\\ class are considered here.\n\n\n\\section{Obtaining and installing the MNRAS package}\nSome \\LaTeX\\ distributions come with the MNRAS package by default.\nIf yours does not, you can either install it using your distribution's package manager, or download it from the Comprehensive \\TeX\\ Archive Network\\footnote{\\url{http:\/\/www.ctan.org\/tex-archive\/macros\/latex\/contrib\/mnras}} (CTAN).\n\nThe files can either be installed permanently by placing them in the appropriate directory (consult the documentation for your \\LaTeX\\ distribution), or used temporarily by placing them in the working directory for your paper.\n\nTo use the MNRAS package, simply specify \\verb'mnras' as the document class at the start of a \\verb'.tex' file:\n\n\\begin{verbatim}\n\\documentclass{mnras}\n\\end{verbatim}\nThen compile \\LaTeX\\ (and if necessary \\bibtex) in the usual way.\n\n\\section{Preparing and submitting a paper}\nWe recommend that you start with a copy of the \\texttt{mnras\\_template.tex} file.\nRename the file, update the information on the title page, and then work on the text of your paper.\nGuidelines for content, style etc. are given in the instructions to authors on the journal's website$^{\\ref{foot:itas}}$.\nNote that this document does not follow all the aspects of MNRAS journal style (e.g. it has a table of contents).\n\nIf a paper is accepted, it is professionally typeset and copyedited by the publishers.\nIt is therefore likely that minor changes to presentation will occur.\nFor this reason, we ask authors to ignore minor details such as slightly long lines, extra blank spaces, or misplaced figures, because these details will be dealt with during the production process.\n\nPapers must be submitted electronically via the online submission system; paper submissions are not permitted.\nFor full guidance on how to submit a paper, see the instructions to authors.\n\n\\section{Class options}\n\\label{sec:options}\nThere are several options which can be added to the document class line like this:\n\n\\begin{verbatim}\n\\documentclass[option1,option2]{mnras}\n\\end{verbatim}\nThe available options are:\n\\begin{itemize}\n\\item \\verb'letters' -- used for papers in the journal's Letters section.\n\\item \\verb'onecolumn' -- single column, instead of the default two columns. This should be used {\\it only} if necessary for the display of numerous very long equations.\n\\item \\verb'doublespacing' -- text has double line spacing. Please don't submit papers in this format.\n\\item \\verb'referee' -- \\textit{(deprecated)} single column, double spaced, larger text, bigger margins. Please don't submit papers in this format.\n\\item \\verb'galley' -- \\textit{(deprecated)} no running headers, no attempt to align the bottom of columns.\n\\item \\verb'landscape' -- \\textit{(deprecated)} sets the whole document on landscape paper.\n\\item \\verb\"usenatbib\" -- \\textit{(all papers should use this)} this uses Patrick Daly's \\verb\"natbib.sty\" package for citations.\n\\item \\verb\"usegraphicx\" -- \\textit{(most papers will need this)} includes the \\verb'graphicx' package, for inclusion of figures and images.\n\\item \\verb'useAMS' -- adds support for upright Greek characters \\verb'\\upi', \\verb'\\umu' and \\verb'\\upartial' ($\\upi$, $\\umu$ and $\\upartial$). Only these three are included, if you require other symbols you will need to include the \\verb'amsmath' or \\verb'amsymb' packages (see section~\\ref{sec:packages}).\n\\item \\verb\"usedcolumn\" -- includes the package \\verb\"dcolumn\", which includes two new types of column alignment for use in tables.\n\\end{itemize}\n\nSome of these options are deprecated and retained for backwards compatibility only.\nOthers are used in almost all papers, but again are retained as options to ensure that papers written decades ago will continue to compile without problems.\nIf you want to include any other packages, see section~\\ref{sec:packages}.\n\n\\section{Title page}\n\nIf you are using \\texttt{mnras\\_template.tex} the necessary code for generating the title page, headers and footers is already present.\nSimply edit the title, author list, institutions, abstract and keywords as described below.\n\n\\subsection{Title}\nThere are two forms of the title: the full version used on the first page, and a short version which is used in the header of other odd-numbered pages (the `running head').\nEnter them with \\verb'\\title[]{}' like this:\n\\begin{verbatim}\n\\title[Running head]{Full title of the paper}\n\\end{verbatim}\nThe full title can be multiple lines (use \\verb'\\\\' to start a new line) and may be as long as necessary, although we encourage authors to use concise titles. The running head must be $\\le~45$ characters on a single line.\n\nSee appendix~\\ref{sec:advanced} for more complicated examples.\n\n\\subsection{Authors and institutions}\n\nLike the title, there are two forms of author list: the full version which appears on the title page, and a short form which appears in the header of the even-numbered pages. Enter them using the \\verb'\\author[]{}' command.\n\nIf the author list is more than one line long, start a new line using \\verb'\\newauthor'. Use \\verb'\\\\' to start the institution list. Affiliations for each author should be indicated with a superscript number, and correspond to the list of institutions below the author list.\n\nFor example, if I were to write a paper with two coauthors at another institution, one of whom also works at a third location:\n\\begin{verbatim}\n\\author[K. T. Smith et al.]{\nKeith T. Smith,$^{1}$\nA. N. Other,$^{2}$\nand Third Author$^{2,3}$\n\\\\\n$^{1}$Affiliation 1\\\\\n$^{2}$Affiliation 2\\\\\n$^{3}$Affiliation 3}\n\\end{verbatim}\nAffiliations should be in the format `Department, Institution, Street Address, City and Postal Code, Country'.\n\nEmail addresses can be inserted with the \\verb'\\thanks{}' command which adds a title page footnote.\nIf you want to list more than one email, put them all in the same \\verb'\\thanks' and use \\verb'\\footnotemark[]' to refer to the same footnote multiple times.\nPresent addresses (if different to those where the work was performed) can also be added with a \\verb'\\thanks' command.\n\n\\subsection{Abstract and keywords}\n\nThe abstract is entered in an \\verb'abstract' environment:\n\\begin{verbatim}\n\\begin{abstract}\nThe abstract of the paper.\n\\end{abstract}\n\\end{verbatim}\n\\noindent Note that there is a word limit on the length of abstracts.\nFor the current word limit, see the journal instructions to authors$^{\\ref{foot:itas}}$.\n\nImmediately following the abstract, a set of keywords is entered in a \\verb'keywords' environment:\n\\begin{verbatim}\n\\begin{keywords}\nkeyword 1 -- keyword 2 -- keyword 3\n\\end{keywords}\n\\end{verbatim}\n\\noindent There is a list of permitted keywords, which is agreed between all the major astronomy journals and revised every few years.\nDo \\emph{not} make up new keywords!\nFor the current list of allowed keywords, see the journal's instructions to authors$^{\\ref{foot:itas}}$.\n\n\\section{Sections and lists}\n\nSections and lists are generally the same as in the standard \\LaTeX\\ classes.\n\n\\subsection{Sections}\n\\label{sec:sections}\nSections are entered in the usual way, using \\verb'\\section{}' and its variants. It is possible to nest up to four section levels:\n\\begin{verbatim}\n\\section{Main section}\n \\subsection{Subsection}\n  \\subsubsection{Subsubsection}\n   \\paragraph{Lowest level section}\n\\end{verbatim}\n\\noindent The other \\LaTeX\\ sectioning commands \\verb'\\part', \\verb'\\chapter' and \\verb'\\subparagraph{}' are deprecated and should not be used.\n\nSome sections are not numbered as part of journal style (e.g. the Acknowledgements).\nTo insert an unnumbered section use the `starred' version of the command: \\verb'\\section*{}'.\n\nSee appendix~\\ref{sec:advanced} for more complicated examples.\n\n\\subsection{Lists}\n\nTwo forms of lists can be used in MNRAS -- numbered and unnumbered.\n\nFor a numbered list, use the \\verb'enumerate' environment:\n\\begin{verbatim}\n\\begin{enumerate}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{enumerate}\n\\end{verbatim}\n\\noindent which produces\n\\begin{enumerate}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{enumerate}\nNote that the list uses lowercase Roman numerals, rather than the \\LaTeX\\ default Arabic numerals.\n\nFor an unnumbered list, use the \\verb'description' environment without the optional argument:\n\\begin{verbatim}\n\\begin{description}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{description}\n\\end{verbatim}\n\\noindent which produces\n\\begin{description}\n \\item First item\n \\item Second item\n \\item etc.\n\\end{description}\n\nBulleted lists using the \\verb'itemize' environment should not be used in MNRAS; it is retained for backwards compatibility only.\n\n\\section{Mathematics and symbols}\n\nThe MNRAS class mostly adopts standard \\LaTeX\\ handling of mathematics, which is briefly summarised here.\nSee also section~\\ref{sec:packages} for packages that support more advanced mathematics.\n\nMathematics can be inserted into the running text using the syntax \\verb'$1+1=2$', which produces $1+1=2$.\nUse this only for short expressions or when referring to mathematical quantities; equations should be entered as described below.\n\n\\subsection{Equations}\nEquations should be entered using the \\verb'equation' environment, which automatically numbers them:\n\n\\begin{verbatim}\n\\begin{equation}\n a^2=b^2+c^2\n\\end{equation}\n\\end{verbatim}\n\\noindent which produces\n\\begin{equation}\n a^2=b^2+c^2\n\\end{equation}\n\nBy default, the equations are numbered sequentially throughout the whole paper. If a paper has a large number of equations, it may be better to number them by section (2.1, 2.2 etc.). To do this, add the command \\verb'\\numberwithin{equation}{section}' to the preamble.\n\nIt is also possible to produce un-numbered equations by using the \\LaTeX\\ built-in \\verb'\\['\\textellipsis\\verb'\\]' and \\verb'$$'\\textellipsis\\verb'$$' commands; however MNRAS requires that all equations are numbered, so these commands should be avoided.\n\n\\subsection{Special symbols}\n\n\n\\begin{table}\n \\caption{Additional commands for special symbols commonly used in astronomy. These can be used anywhere.}\n \\label{tab:anysymbols}\n \\begin{tabular*}{\\columnwidth}{@{}l@{\\hspace*{50pt}}l@{\\hspace*{50pt}}l@{}}\n  \\hline\n  Command & Output & Meaning\\\\\n  \\hline\n  \\verb'\\sun' & \\sun & Sun, solar\\\\[2pt]\n  \\verb'\\earth' & \\earth & Earth, terrestrial\\\\[2pt]\n  \\verb'\\micron' & \\micron & microns\\\\[2pt]\n  \\verb'\\degr' & \\degr & degrees\\\\[2pt]\n  \\verb'\\arcmin' & \\arcmin & arcminutes\\\\[2pt]\n  \\verb'\\arcsec' & \\arcsec & arcseconds\\\\[2pt]\n  \\verb'\\fdg' & \\fdg & fraction of a degree\\\\[2pt]\n  \\verb'\\farcm' & \\farcm & fraction of an arcminute\\\\[2pt]\n  \\verb'\\farcs' & \\farcs & fraction of an arcsecond\\\\[2pt]\n  \\verb'\\fd' & \\fd & fraction of a day\\\\[2pt]\n  \\verb'\\fh' & \\fh & fraction of an hour\\\\[2pt]\n  \\verb'\\fm' & \\fm & fraction of a minute\\\\[2pt]\n  \\verb'\\fs' & \\fs & fraction of a second\\\\[2pt]\n  \\verb'\\fp' & \\fp & fraction of a period\\\\[2pt]\n  \\verb'\\diameter' & \\diameter & diameter\\\\[2pt]\n  \\verb'\\sq' & \\sq & square, Q.E.D.\\\\[2pt]\n  \\hline\n \\end{tabular*}\n\\end{table}\n\n\\begin{table}\n \\caption{Additional commands for mathematical symbols. These can only be used in maths mode.}\n \\label{tab:mathssymbols}\n \\begin{tabular*}{\\columnwidth}{l@{\\hspace*{40pt}}l@{\\hspace*{40pt}}l}\n  \\hline\n  Command & Output & Meaning\\\\\n  \\hline\n  \\verb'\\upi' & $\\upi$ & upright pi\\\\[2pt]\n  \\verb'\\umu' & $\\umu$ & upright mu\\\\[2pt]\n  \\verb'\\upartial' & $\\upartial$ & upright partial derivative\\\\[2pt]\n  \\verb'\\lid' & $\\lid$ & less than or equal to\\\\[2pt]\n  \\verb'\\gid' & $\\gid$ & greater than or equal to\\\\[2pt]\n  \\verb'\\la' & $\\la$ & less than of order\\\\[2pt]\n  \\verb'\\ga' & $\\ga$ & greater than of order\\\\[2pt]\n  \\verb'\\loa' & $\\loa$ & less than approximately\\\\[2pt]\n  \\verb'\\goa' & $\\goa$ & greater than approximately\\\\[2pt]\n  \\verb'\\cor' & $\\cor$ & corresponds to\\\\[2pt]\n  \\verb'\\sol' & $\\sol$ & similar to or less than\\\\[2pt]\n  \\verb'\\sog' & $\\sog$ & similar to or greater than\\\\[2pt]\n  \\verb'\\lse' & $\\lse$ & less than or homotopic to \\\\[2pt]\n  \\verb'\\gse' & $\\gse$ & greater than or homotopic to\\\\[2pt]\n  \\verb'\\getsto' & $\\getsto$ & from over to\\\\[2pt]\n  \\verb'\\grole' & $\\grole$ & greater over less\\\\[2pt]\n  \\verb'\\leogr' & $\\leogr$ & less over greater\\\\\n  \\hline\n \\end{tabular*}\n\\end{table}\n\nSome additional symbols of common use in astronomy have been added in the MNRAS class. These are shown in tables~\\ref{tab:anysymbols}--\\ref{tab:mathssymbols}. The command names are -- as far as possible -- the same as those used in other major astronomy journals.\n\nMany other mathematical symbols are also available, either built into \\LaTeX\\ or via additional packages. If you want to insert a specific symbol but don't know the \\LaTeX\\ command, we recommend using the Detexify website\\footnote{\\url{http:\/\/detexify.kirelabs.org}}.\n\nSometimes font or coding limitations mean a symbol may not get smaller when used in sub- or superscripts, and will therefore be displayed at the wrong size. There is no need to worry about this as it will be corrected by the typesetter during production.\n\nTo produce bold symbols in mathematics, use \\verb'\\bmath' for simple variables, and the \\verb'bm' package for more complex symbols (see section~\\ref{sec:packages}). Vectors are set in bold italic, using \\verb'\\mathbfit{}'.\n\nFor matrices, use \\verb'\\mathbfss{}' to produce a bold sans-serif font e.g. \\mathbfss{H}; this works even outside maths mode, but not all symbols are available (e.g. Greek). For $\\nabla$ (del, used in gradients, divergence etc.) use \\verb'$\\nabla$'.\n\n\\subsection{Ions}\n\nA new \\verb'\\ion{}{}' command has been added to the class file, for the correct typesetting of ionisation states.\nFor example, to typeset singly ionised calcium use \\verb'\\ion{Ca}{ii}', which produces \\ion{Ca}{ii}.\n\n\\section{Figures and tables}\n\\label{sec:fig_table}\nFigures and tables (collectively called `floats') are mostly the same as built into \\LaTeX.\n\n\\subsection{Basic examples}\n\\begin{figure}\n \\includegraphics[width=\\columnwidth]{example}\n \\caption{An example figure.}\n \\label{fig:example}\n\\end{figure}\nFigures are inserted in the usual way using a \\verb'figure' environment and \\verb'\\includegraphics'. The example Figure~\\ref{fig:example} was generated using the code:\n\\begin{verbatim}\n\\begin{figure}\n \\includegraphics[width=\\columnwidth]{example}\n \\caption{An example figure.}\n \\label{fig:example}\n\\end{figure}\n\\end{verbatim}\n\n\\begin{table}\n \\caption{An example table.}\n \\label{tab:example}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  Sun & 1.00 & 1.00\\\\\n  $\\alpha$~Cen~A & 1.10 & 1.52\\\\\n  $\\epsilon$~Eri & 0.82 & 0.34\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\nThe example Table~\\ref{tab:example} was generated using the code:\n\\begin{verbatim}\n\\begin{table}\n \\caption{An example table.}\n \\label{tab:example}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  Sun & 1.00 & 1.00\\\\\n  $\\alpha$~Cen~A & 1.10 & 1.52\\\\\n  $\\epsilon$~Eri & 0.82 & 0.34\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\n\\end{verbatim}\n\n\\subsection{Captions and placement}\nCaptions go \\emph{above} tables but \\emph{below} figures, as in the examples above.\n\nThe \\LaTeX\\ float placement commands \\verb'[htbp]' are intentionally disabled.\nLayout of figures and tables will be adjusted by the publisher during the production process, so authors should not concern themselves with placement to avoid disappointment and wasted effort.\nSimply place the \\LaTeX\\ code close to where the figure or table is first mentioned in the text and leave exact placement to the publishers.\n\nBy default a figure or table will occupy one column of the page.\nTo produce a wider version which covers both columns, use the \\verb'figure*' or \\verb'table*'  environment.\n\nIf a figure or table is too long to fit on a single page it can be split it into several parts.\nCreate an additional figure or table which uses \\verb'\\contcaption{}' instead of \\verb'\\caption{}'.\nThis will automatically correct the numbering and add `\\emph{continued}' at the start of the caption.\n\\begin{table}\n \\contcaption{A table continued from the previous one.}\n \\label{tab:continued}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  $\\tau$~Cet & 0.78 & 0.52\\\\\n  $\\delta$~Pav & 0.99 & 1.22\\\\\n  $\\sigma$~Dra & 0.87 & 0.43\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\nTable~\\ref{tab:continued} was generated using the code:\n\n\\begin{verbatim}\n\\begin{table}\n \\contcaption{A table continued from the previous one.}\n \\label{tab:continued}\n \\begin{tabular}{lcc}\n  \\hline\n  Star & Mass & Luminosity\\\\\n   & $M_{\\sun}$ & $L_{\\sun}$\\\\\n  \\hline\n  $\\tau$~Cet & 0.78 & 0.52\\\\\n  $\\delta$~Pav & 0.99 & 1.22\\\\\n  $\\sigma$~Dra & 0.87 & 0.43\\\\\n  \\hline\n \\end{tabular}\n\\end{table}\n\\end{verbatim}\n\nTo produce a landscape figure or table, use the \\verb'pdflscape' package and the \\verb'landscape' environment.\nThe landscape Table~\\ref{tab:landscape} was produced using the code:\n\\begin{verbatim}\n\\begin{landscape}\n \\begin{table}\n  \\caption{An example landscape table.}\n  \\label{tab:landscape}\n  \\begin{tabular}{cccccccccc}\n    \\hline\n    Header & Header & ...\\\\\n    Unit & Unit & ...\\\\\n    \\hline\n    Data & Data & ...\\\\\n    Data & Data & ...\\\\\n    ...\\\\\n    \\hline\n  \\end{tabular}\n \\end{table}\n\\end{landscape}\n\\end{verbatim}\nUnfortunately this method will force a page break before the table appears.\nMore complicated solutions are possible, but authors shouldn't worry about this.\n\n\\begin{landscape}\n \\begin{table}\n  \\caption{An example landscape table.}\n  \\label{tab:landscape}\n  \\begin{tabular}{cccccccccc}\n    \\hline\n    Header & Header & Header & Header & Header & Header & Header & Header & Header & Header\\\\\n    Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit & Unit \\\\\n    \\hline\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    Data & Data & Data & Data & Data & Data & Data & Data & Data & Data\\\\\n    \\hline\n  \\end{tabular}\n \\end{table}\n\\end{landscape}\n\n\\section{References and citations}\n\n\\subsection{Cross-referencing}\n\nThe usual \\LaTeX\\ commands \\verb'\\label{}' and \\verb'\\ref{}' can be used for cross-referencing within the same paper.\nWe recommend that you use these whenever relevant, rather than writing out the section or figure numbers explicitly.\nThis ensures that cross-references are updated whenever the numbering changes (e.g. during revision) and provides clickable links (if available in your compiler).\n\nIt is best to give each section, figure and table a logical label.\nFor example, Table~\\ref{tab:mathssymbols} has the label \\verb'tab:mathssymbols', whilst section~\\ref{sec:packages} has the label \\verb'sec:packages'.\nAdd the label \\emph{after} the section or caption command, as in the examples in sections~\\ref{sec:sections} and \\ref{sec:fig_table}.\nEnter the cross-reference with a non-breaking space between the type of object and the number, like this: \\verb'see Figure~\\ref{fig:example}'.\n\nThe \\verb'\\autoref{}' command can be used to automatically fill out the type of object, saving on typing.\nIt also causes the link to cover the whole phrase rather than just the number, but for that reason is only suitable for single cross-references rather than ranges.\nFor example, \\verb'\\autoref{tab:journal_abbr}' produces \\autoref{tab:journal_abbr}.\n\n\\subsection{Citations}\n\\label{sec:cite}\n\nMNRAS uses the Harvard -- author (year) -- citation style, e.g. \\citet{author2013}.\nThis is implemented in \\LaTeX\\ via the \\verb'natbib' package, which in turn is included via the \\verb'usenatbib' package option (see section~\\ref{sec:options}), which should be used in all papers.\n\nEach entry in the reference list has a `key' (see section~\\ref{sec:ref_list}) which is used to generate citations.\nThere are two basic \\verb'natbib' commands:\n\\begin{description}\n \\item \\verb'\\citet{key}' produces an in-text citation: \\citet{author2013}\n \\item \\verb'\\citep{key}' produces a bracketed (parenthetical) citation: \\citep{author2013}\n\\end{description}\nCitations will include clickable links to the relevant entry in the reference list, if supported by your \\LaTeX\\ compiler.\n\n\\defcitealias{smith2014}{Paper~I}\n\\begin{table*}\n \\caption{Common citation commands, provided by the \\texttt{natbib} package.}\n \\label{tab:natbib}\n \\begin{tabular}{lll}\n  \\hline\n  Command & Ouput & Note\\\\\n  \\hline\n  \\verb'\\citet{key}' & \\citet{smith2014} & \\\\\n  \\verb'\\citep{key}' & \\citep{smith2014} & \\\\\n  \\verb'\\citep{key,key2}' & \\citep{smith2014,jones2015} & Multiple papers\\\\\n  \\verb'\\citet[table 4]{key}' & \\citet[table 4]{smith2014} & \\\\\n  \\verb'\\citep[see][figure 7]{key}' & \\citep[see][figure 7]{smith2014} & \\\\\n  \\verb'\\citealt{key}' & \\citealt{smith2014} & For use with manual brackets\\\\\n  \\verb'\\citeauthor{key}' & \\citeauthor{smith2014} & If already cited in close proximity\\\\\n  \\verb'\\defcitealias{key}{Paper~I}' &  & Define an alias (doesn't work in floats)\\\\\n  \\verb'\\citetalias{key}' & \\citetalias{smith2014} & \\\\\n  \\verb'\\citepalias{key}' & \\citepalias{smith2014} & \\\\\n  \\hline\n \\end{tabular}\n\\end{table*}\n\nThere are a number of other \\verb'natbib' commands which can be used for more complicated citations.\nThe most commonly used ones are listed in Table~\\ref{tab:natbib}.\nFor full guidance on their use, consult the \\verb'natbib' documentation\\footnote{\\url{http:\/\/www.ctan.org\/pkg\/natbib}}.\n\nIf a reference has several authors, \\verb'natbib' will automatically use `et al.' if there are more than two authors. However, if a paper has exactly three authors, MNRAS style is to list all three on the first citation and use `et al.' thereafter. If you are using \\bibtex\\ (see section~\\ref{sec:ref_list}) then this is handled automatically. If not, the \\verb'\\citet*{}' and \\verb'\\citep*{}' commands can be used at the first citation to include all of the authors.\n\n\\subsection{The list of references}\n\\label{sec:ref_list}\n\nIt is possible to enter references manually using the usual \\LaTeX\\ commands, but we strongly encourage authors to use \\bibtex\\ instead.\n\\bibtex\\ ensures that the reference list is updated automatically as references are added or removed from the paper, puts them in the correct format, saves on typing, and the same reference file can be used for many different papers -- saving time hunting down reference details.\nAn MNRAS \\bibtex\\ style file, \\verb'mnras.bst', is distributed as part of this package.\nThe rest of this section will assume you are using \\bibtex.\n\nReferences are entered into a separate \\verb'.bib' file in standard \\bibtex\\ formatting.\nThis can be done manually, or there are several software packages which make editing the \\verb'.bib' file much easier.\nWe particularly recommend \\textsc{JabRef}\\footnote{\\url{http:\/\/jabref.sourceforge.net\/}}, which works on all major operating systems.\n\\bibtex\\ entries can be obtained from the NASA Astrophysics Data System\\footnote{\\label{foot:ads}\\url{http:\/\/adsabs.harvard.edu}} (ADS) by clicking on `Bibtex entry for this abstract' on any entry.\nSimply copy this into your \\verb'.bib' file or into the `BibTeX source' tab in \\textsc{JabRef}.\n\nEach entry in the \\verb'.bib' file must specify a unique `key' to identify the paper, the format of which is up to the author.\nSimply cite it in the usual way, as described in section~\\ref{sec:cite}, using the specified key.\nCompile the paper as usual, but add an extra step to run the \\texttt{bibtex} command.\nConsult the documentation for your compiler or latex distribution.\n\nCorrect formatting of the reference list will be handled by \\bibtex\\ in almost all cases, provided that the correct information was entered into the \\verb'.bib' file.\nNote that ADS entries are not always correct, particularly for older papers and conference proceedings, so may need to be edited.\nIf in doubt, or if you are producing the reference list manually, see the MNRAS instructions to authors$^{\\ref{foot:itas}}$ for the current guidelines on how to format the list of references.\n\n\\section{Appendices and online material}\n\nTo start an appendix, simply place the \\verb'","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nLow-energy collective nuclear excitations represent fundamental nuclear properties~\\cite{RoweWood}. \nRotational modes arranged in characteristic bands signify, quite obviously, deformation. \nOther low-energy collective modes are interpreted as surface vibrations in the collective model and are confirmed as such microscopically, within the random-phase approximation (RPA) and extensions tehreof. \nIn ordinary nuclei they are of predominately isoscalar character. \nThe best studied vibrational modes are the quadrupole and octupole ones, \npredominately represented by a strong, well-defined low-energy transition. \nThe properties of the latter reveal magicity or shape transitions. \nHexadecapole and coupled phonons lie at somewhat higher energies and are typically more fragmented, marking the limits of harmonicity. \n\n\nCould there be such a thing as a surface {\\em dipole} vibration? \nA surface dipole mode--an isoscalar one--is more difficult to visualize, because, to lowest order, the isoscalar dipole field \ninduces merely a translation of the nucleus as a whole. \nNonetheless, it is possible to imagine a dipole oscillation of a surface layer against a nuclear core. \nPrecisely such a picture has been used to describe the neutron-skin (or valence-neutron) mode; \nan {\\em isoscalar} mode would involve a surface layer which does not contain only neutrons, but both species of nucleons. \nRather than being simply surface-peaked, the transition density \nwhould need to have a node to ensure translational invariance--the inner peak being associated with the core's translation. \nThe node would result in low $E1$ strength. \n \nIn fact, a strong low-energy {\\em isoscalar dipole} excitation has been observed in a variety of stable nuclei, including isospin symmetric ones, since decades--cf. the results summarized in Ref.~\\cite{Hav}, as well as, more recently, experimental reports on the isospin content of pygmy dipole states~\\cite{SAZ2013,Der2013,Der2014,Cre2014} \n(data compiled in Fig.~\\ref{Fig:IS-LED}(a)). \nWe shall refer to this phenomenon as the isoscalar low-energy dipole (IS-LED) mode or strength. \nBeyond the RPA results summarized next, the IS-LED modes have received limited theoretical attention as such (with likely exceptions in Refs.~\\cite{Bas2008,Urb2012}). \nIn some studies focused on pygmy strength, the IS-LED strength is attributed to neutron-skin oscillations. \nThere are two serious problems with such an interpretation: \n1) microscopic models which associate the IS-LED strength with neutron excess severely overestimate the isovector (or $E1$) strength~\\cite{PVK2007,Cha1994}  \nand \n2) a neutron-skin vibration can obviously not account for the strong isoscalar modes observed in $N=Z$ nuclei.\n\nThe RPA calculations and related data surveyed here support an interpretation of the observed low-energy dipole transitions as collective surface vibrations.  \nSuch vibrations can therefore \naccount for the isoscalar segment of the pygmy dipole strength--with important implications in related studies. \nBeyond pygmy-strength studies, it shall be pointed out that such collective vibrations deserve interest for their own sake, for validating theoretical models, \nas well as \nfor possibly influencing the outcome of nuclear reactions. \n\n\n\\section{Experimental evidence and case studies} \nCompiling the experimental results for \n$^{12}$C~\\cite{Ajz1990}, \n$^{16}$O~\\cite{HaD1981,Ajz1986}, \n$^{40}$Ca~\\cite{Hav,Poe1992}, \n$^{48}$Ca~\\cite{Der2014}, \n$^{58}$Ni, \n$^{90}$Zr~\\cite{Hav,Poe1992}, \n$^{94}$Mo\\cite{Der2013}, \n$^{124}$Sn, \n$^{138}$Ba, \n$^{140}$Ce~\\cite{SAZ2013}, \n$^{208}$Pb~\\cite{Hav,Cre2014}--see Fig.~\\ref{Fig:IS-LED}(a)--we readily observe the following: \nThe excitation energy of the IS-LED is typically $6-7$~MeV--somewhat higher for the lightest nuclei\nor lower in open-shell nuclei. \n(In very light nuclei such as $^{12}$C a simplistic vibrational or shell-model picture may of course not apply.) \nIt lies \nabove the first octupole state, which is also an odd-parity $1\\hbar\\omega$ mode, \nbut below the empirical $1\\hbar\\omega$ value of $41A^{-1\/3}$~MeV. \nWhenever evaluated, the portion of the isoscalar energy-weighted sum rule exhausted by low-lying dipole transitions has been found to amount to a few percentage points~\\cite{Hav,HaD1981,Poe1992,Der2014,Cre2014}--a huge amount for states at such low energies. \n\n\\begin{figure}[t]\n\\includegraphics[angle=-90,width=80mm]{Fig1a.eps} \\,\\, \n\\includegraphics[angle=-90,width=60mm]{Fig1b.eps}\n\\caption{(a) The energy (approximately depicted) of the observed low-energy isoscalar $1^-$ transitions in \n$^{12}$C~\\cite{Ajz1990}, \n$^{16}$O~\\cite{HaD1981,Ajz1986}, \n$^{40}$Ca~\\cite{Hav,Poe1992}, \n$^{48}$Ca~\\cite{Der2014}, \n$^{58}$Ni, \n$^{90}$Zr~\\cite{Hav,Poe1992}, \n$^{94}$Mo\\cite{Der2013}, \n$^{124}$Sn, \n$^{138}$Ba, \n$^{140}$Ce~\\cite{SAZ2013}, \n$^{208}$Pb~\\cite{Hav,Cre2014} in comparison with the energy of the first $3^-$ state~\\cite{ADNDToct}, \nan average empirical energy of low-lying $3^-$ states, $30A^{-1\/3}$~MeV~\\cite{Hav}, and the empirical $1\\hbar\\omega$ value, 41$A^{-1\/3}$. \n(b) \nThe charge transition density of the IS-LED in $^{16}$O as extracted via electron scattering~\\cite{But1986}, \nand the point-proton transition density  \nas predicted: by RPA with the Gogny D1S interaction; \nand within a collective model~\\cite{Hav} for the reported excitation energy and portion of the energy-weighted sum rule (assuming here an equilibrium density profile of Woods-Saxon type with $\\rho_0=0.16$~fm$^{-3}$, $R=2.634$~fm and $a=0.465$~fm, such that the point-charge mean-square radius (r.m.s.) $R_{{\\mathrm r.m.s.}^{16}\\mathrm{O}}\\approx 2.7$~fm). \nThe RPA result for $^{132}$Sn is also shown, for the coordinate shown on the top axis $r(^{132}$Sn$)= r(^{16}$O$)\\times R_{{\\mathrm r.m.s.}^{132}\\mathrm{Sn}}\/R_{{\\mathrm r.m.s.}^{16}\\mathrm{O}}$ (point-proton r.m.s. radii as calculated with the Gogny D1S interaction). \n}\n\\label{Fig:IS-LED}\n\\end{figure}\n\nExperimentally the IS-LED strength is often found fragmented. In many cases one state dominates, especially in magic nuclei~\\cite{HaD1981,Poe1992,Hav,Der2014,Cre2014}. \nRPA and quasiparticle RPA (QRPA) calculations, in a harmonic-oscillator basis, of the IS-LED modes in $N=Z$ nuclei \\cite{PPR2011} and in Ca~\\cite{PHP2012,Der2014} and Sn~\\cite{PHP2014} isotopes \noverestimate the excitation energy by about 3~MeV~\\cite{PPR2011,PHP2012,Der2014,PHP2014}, \nwhich is not surprising for this type of calculations, \nbut reproduce the isoscalar strength rather well. \nThe Gogny D1S interaction roughly reproduces also the $E1$ strength and is used in the following discussion. \n\n\\subsection{$N=Z$ nuclei: Structure of the IS-LED vibration} \n \nIn the $N=Z$ nuclei $^{16}$O, $^{40}$Ca practically all isoscalar dipole strength below particle threshold is exhausted by one state, \nwhich coincides with the well-documented (see \\cite{PPR2011} and Refs. therein) isospin-forbidden $E1$ transition. \nThe electroexcitation form factor of the latter has been measured and, in the case of $^{16}$O, the charge transition density has been extracted (MIT-Bates, Ref.~\\cite{But1986}). \nThe result is shown in Fig.~\\ref{Fig:IS-LED}(b) along with predictions within RPA~\\cite{PPR2011} and a collective model~\\cite{HaD1981}. \nAll results point consistently to a transition density with a node close to the nuclear surface. \nThe neutron and total transition density (not shown), as calculated within RPA, have almost the same profile as the proton transition density.\nThe picture persists in $^{40}$Ca, $^{56}$Ni, and $^{100}$Sn. \nA small dissimilarity between the neutron and proton transition densities, as a result of the Coulomb force, gives rise to a non-vanishing $E1$ strength. \nThe heavier the $N=Z$ nucleus, the stronger the effect. \nCalculations of the corresponding velocity fields have revealed an intuitive semi-classical visualization of the collective mode's dynamics: \nAn oscillation of a surface layer against a denser core. \nAs expected at such low energies, the oscillation is not compressional, but is effectuated by a torus in the vicinity of the surface.  \n\nA question which arises is what happens to the IS-LED vibration as we add neutrons to the $N=Z$ core. \nDoes the mode disappear? \nIs there a critical number of excess neutrons required for it to disappear? \nDoes a neutron-skin oscillation appear in its place? \nIf so, how many neutrons would that take? \nRefs.~\\cite{PHP2012,PHP2014} set out to provide answers and the results are summarized below. \n\n\\subsection{Ca isotopes: Strong IS-LED trasnition confirmed in $^{48}$Ca} \nIn Ref.~\\cite{PHP2014} a highly non-trivial prediction was made, that a strong, almost pure isoscalar dipole resonance should persist up to  \nthe very asymmetric nucleus $^{48}$Ca, \nbelow particle threshold. \nThe presence of such a mode at $7.6$~MeV in $^{48}$Ca \nwas subsequently confirmed in a comparison between $(\\alpha ,\\alpha'\\gamma )$ and $(\\gamma ,\\gamma')$ experiments~\\cite{Der2014}. \nInterestingly, the comparison did not reveal an energetic isospin splitting of $E1$ strength familiar from studies of heavier nuclei~\\cite{SAZ2013}. \nRather, largely isovector transitions lie on both sides of the isoscalar mode--one of them almost purely isovector at close proximity. \n\n\\subsection{Sn isotopes: $^{132}$Sn not exotic enough?} \n\nThe dipole strength in Sn isotopes, below the neutron emmission threshold,\nwas studied theoretically in Ref.~\\cite{PHP2014}.  \nThe results are in line with the observed isospin splitting of $E1$ strength, with the IS-LED accounting for the isoscalar strength. \nComparisons with available data provided illuminating insights \nand led to further quantitative predictions in the isoscalar and the $E1$ sectors--e.g., that the summed $E1$ strength below threshold shall be of \ncomparable\nmagnitude for $A\\approx 114-132$. \nThe IS-LED mode was found to persist as such up to $^{132}$Sn, i.e., its properties vary smoothly up to that neutron-rich nucleus and the protons \nstill contribute to the transition density both in the nuclear interior and on the surface, even though the neutrons contribute more and more strongly--cf. the \nproton transition density in $^{132}$Sn in Fig.~\\ref{Fig:IS-LED}(b). \nA genuine structural change is predicted to take effect beyond the shell closure of $^{132}$Sn, with lower-energy transitions \ndominated by loosely bound neutrons. \n\n\\section{Where is the neutron-skin oscillation?} \n\nThe above studies have revealed that the presence of excess neutrons can affect moderately the structure of the IS-LED mode and supply it with some $E1$ strength, \nbut it is not at all instrumental in the mode's generation. \nFor dramatic structural changes to the {\\em lowest-energy} dipole states because of extra neutrons, \none has to look beyond the shell closures of $^{48}$Ca and $^{132}$Sn--a \nprediction in concordance with Skyrme-based studies~\\cite{ENI2013}. \nIt was also seen that most of the $E1$ strength below threshold is carried by transitions {\\em other than} the IS-LED--transitions which may or may not be of single-particle nature, \nand may largely lie close to the neutron-emission threshold. \n\nWe conclude that, if there is a {\\em collective} neutron-skin oscillation, \nthis is not to be found in ordinary nuclei (including $^{132}$Sn, pending empirical confirmation) well below threshold, \nbut either closer to threshold~\\cite{Rye2002,Adr2005,Wie2009} or in much more exotic nuclei (or both). \nThis conclusion certainly \nallows the resonances observed in $^{130,132}$Sn~\\cite{Adr2005}, $^{68}$Ni~\\cite{Wie2009} {\\em above threshold} to be attributed to a neutron skin. \n\n\\section{Summary and outlook} \n\nA strong isoscalar dipole resonance is known to be excited in a variety of nuclei, including isospin symmetric ones, at approximately 7~MeV. \nBased on microscopic calculations and existing data, \nthe resonance is interpreted as an elementary surface vibration.  \nHow such a strong low-lying mode (but well above the $3^-$ or $2^+$ ones) can affect low-energy reactions is under investigation. \n\nThe very different portions of the respective energy-weighted sum rules exhausted by the isoscalar and the isovector (or $E1$) transitions in \nisotopes studied experimentally point to very different mechanisms of generating isoscalar and $E1$ transitions, despite their energetic proximity.  \nThe IS-LED vibration can account for the observed isoscalar segment of pygmy dipole strength. \n\nIt is concluded that \ngenuine neutron-skin oscillations, if they exist, \nare not to be found in ordinary nuclei below threshold, but close to particle threshold~\\cite{Rye2002,Adr2005,Wie2009} or in very exotic nuclei. \n\nMeasurements on $^{132}$Sn should be able to confirm or refute \nthe suggested properties of the IS-LED and a modest amount of bound low-energy $E1$ strength in this nucleus. \nA future comparison between the dipole ($E1$ and isoscalar) spectra of, e.g., $^{132}$Sn and $^{134}$Sn below and around threshold would be very useful in verifying the influence of the neutron-shell closure. \n\n\n\\section*{Acknowledgements}\nI am thankful to all my collaborators for their help \nand valued interactions in this line of work. \nThis work and presentation at ARIS2014  \nwere supported by the Rare Isotope Science Project of the Institute for Basic Science funded by the Ministry of Science, ICT and Future Planning and the National Research Foundation of Korea (2013M7A1A1075766). \n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\t\t\n\t\tThe graph isomorphism problem is a long standing open problem in graph theory. Two graphs $G = (V(G), E(G))$ and $H = (V(H), E(H))$ are isomorphic if there is a bijective mapping $f: V(G) \\rightarrow V(H)$ such that $(f(u), f(v)) \\in E(H)$ if and only if $(u, v) \\in E(G)$. The graph isomorphism problem is to determine whether two given graphs are isomorphic or not. This problem was initially attempted with the help of graph spectra. The spectral graph theory elaborates the properties of graphs and eigenvalues of a matrix $M$ related to the graph. For instance, $M$ may be the adjacency matrix, Laplacian matrix, and signless Laplacian matrix. The spectra of a matrix $M$ is the multiset of its eigenvalues, which is denoted by $\\Lambda(M)$. The $M$-spectra of a graph is the spectra of the corresponding $M$ matrix. Graphs with equal $M$-spectra are called $M$-cospectral. A graph is determined by its $M$-spectra if there is no other non-isomorphic graph with equal $M$-spectra.\n\t\t\n\t\tA central question in spectral graph theory \\cite{bapat2010graphs} arises to know the sets of graphs which are determined by their eigenvalues \\cite{van2003graphs}. This question was originated from Chemistry. Initially, it was believed that every graph is determined by its eigenvalues. But, a pair of cospectral trees was exhibited \\cite{von1957spektren} in 1956. Nowadays a number of constructions of cospectral graphs are known for different $M$. A detailed list is available in the reference of \\cite{van2003graphs}. Computer estimation suggests that almost all the graphs are determined by their eigenvalues. But till date there is no efficient method to construct all non-isomorphic graph of a given order. Hence, there is a scope of research to develop new methods in this field which is expected to be accepted. Another important motivation to this problem comes from complexity theory. It is still unknown whether the graph isomorphism problem is computationally a hard or easy problem, in general. But checking whether two graphs are cospectral can be done in polynomial time. Recent works in this direction \\cite{babai2016graph} renew the interest for these questions. \n\t\t\n\t\tIt was believed that the eigenvalues of signless Laplacian matrix is more efficient in studying properties of graphs than other matrices \\cite{cvetkovic2009towards}. The signless Laplacian matrix $Q(G)$ of a graph $G$ is defined by $Q(G) = D(G) + A(G)$, where $A(G)$ and $D(G)$ are the adjacency, and degree matrices, respectively. In case of adjacency matrix, there are a number of well known methods for generating non-isomorphic cospectral graphs in literature, for instance, Godsil McKay switching \\cite{godsil1982constructing}. With the help of product graphs, it can be shown that exponentially large classes of non-isomorphic $Q$-cospectral graphs exist \\cite{carvalho2017exponentially}. \n\t\t\n\t\tIn quantum mechanics and information theory we use the idea of Partial Transpose (PT) \\cite{peres1996, horodecki1997} for detecting entanglement. A graph theoretic counterpart of partial transpose was developed in \\cite{wu2006conditions} and further developed by \\cite{hildebrand2008combinatorial, dutta2016bipartite}. It initiate another idea of graph switching which is  foundationally different from Godsil-McKay switching. As far as our knowledge, it is not a variant of any other switching techniques available in the literature. Earlier, we have employed this method for generating cospectral graphs with respect to the adjacency matrices \\cite{dutta2018construction}. Here, we find an efficient method for generating large classes of non-isomorphic $Q$-cospectral graphs using partial transpose. It is a promising candidate in this ground as it generates more than $70\\%$ of these graphs when $|V(G)| \\leq 8$. Also, these graphs follow a particular pattern which can be easily generalised for higher ordered graphs. Here, we utilize the connections between partial transpose and TU subgraphs of a graph. It makes this work purely graph theoretic and a number of constructions have no trivial matrix counterpart. \n\t\t\n\t\tThis article is distributed as follows. In the section 2, we briefly discuss all preliminary ideas related to this article. Here, we shall mainly concentrate on the coefficients of the characteristic polynomial of signless Laplacian matrix in terms of TU subgraphs. In the section 3, we introduce the idea of partial transpose of a graph and we describe a number of its properties to provide a clear idea of this switching to the readers. We compare partial transpose with Godsil-McKay switching. How many non-isomorphic $Q$-cospectral graphs are determined by partial transpose? We provide an estimate in the section 4. In the section 5, we state a number of theorems for generating these graphs. Every theorem follows a particular pattern in the structures of generated graphs. Then we conclude with a number of future problems in this direction.\n\t\t\n\t\t\n\t\\section{The coefficients of Q-polynomial}\n\t\t\n\t\tThroughout this article $n$ and $m$ denote the number of vertices and the number of edges of a graph, respectively. Eigenvalues of a matrix are roots of its characteristic equation. Here, we call the characteristic polynomial of $Q(G)$ as the $Q$-polynomial of the graph $G$ which is denoted and defined by,\n\t\t\\begin{equation}\n\t\tQ_G(\\lambda) = \\operatorname{det}(Q(G) - \\lambda I) = \\sum_{j = 0}^n p_j \\lambda^{n - j} = p_0 \\lambda^n + p_1 \\lambda^{n - 1} + \\dots p_n.\n\t\t\\end{equation}\n\t\tThe union of two given graphs $G_1 = (V(G_1), E(G_1))$ and $G_2 = (V(G_2), E(G_2))$ is denoted by $G_1 \\cup G_2$ consists of a vertex set $V(G_1 \\cup G_2) = V(G_1) \\cup V(G_2)$ and an edge set $E(G_1 \\cup G_2) = E(G_1) \\cup E(G_2)$. If $G$ can be expressed as $G = G_1 \\cup G_2$ then $Q_G(\\lambda) = Q_{G_1}(\\lambda) Q_{G_2}(\\lambda)$. \n\t\t\n\t\tA cycle in a graph is a finite sequence of distinct vertices $\\delta = (v_1, v_2, \\dots v_{|\\delta|})$ such that $(v_i, v_{i + 1}) \\in E(G)$ for $i = 1, 2, \\dots (|\\delta| - 1)$ and $(v_\\delta, v_1) \\in E(G)$. Here $|\\delta|$ denotes the length of cycle $\\delta$. A spanning subgraph of $G$ whose components are trees or odd unicyclic graph is called a TU subgraph of $G$. Let there be a TU-subgraph $H$ of $G$ containing $c$ unicyclic graphs, as well as trees $T_1, T_2, \\dots T_s$. The weight $W(H)$ of $H$ is defined by \\cite{guo2017coefficients, cvetkovic2007signless},\n\t\t\\begin{equation}\\label{TU_weight}\n\t\tW(H) = 4^c\\prod_{i = 1}^s(1 + |E(T_i)|),\n\t\t\\end{equation}\n\t\twhere $|E(T_i)|$ is the number of edges in the tree $T_i$. Let $H_j$ be TU subgraphs containing $j$ edges for $j = 1, 2, \\dots m$. It is proved that, if $m \\ge n$, then, $p_0 = 1$ and,\n\t\t\\begin{equation} \\label{char_coeff}\n\t\tp_j = \\sum_{H_j}(-1)^j W(H_j), ~\\text{for}~ j = 1, 2, \\dots n,\n\t\t\\end{equation}\n\t\twhere the summation runs over all TU graphs $H_j$. But the above equation may hold for $m < n$. Consider the following example.\n\t\t\\begin{example} \\label{critical_graphs}\n\t\t\tFor the following graphs $K$ and $K^\\tau$ we have,\n\t\t\t\\begin{equation}\n\t\t\t\\begin{split}\n\t\t\tQ_K(\\lambda) & = \\det(Q(K) - \\lambda I) = \\lambda^4 - 6\\lambda^3 + 9\\lambda^2 - 4\\lambda \\\\\n\t\t\t\\text{and}, Q_{K^\\tau}(\\lambda) & = \\det(Q(K^\\tau) - \\lambda I) = \\lambda^4 - 6\\lambda^3 + 9\\lambda^2 - 4\\lambda. \n\t\t\t\\end{split}\n\t\t\t\\end{equation}\n\t\t\t$$K = \\xymatrix{\\bullet_{11} \\ar@{-}[d] & \\bullet_{12} \\ar@{-}[dl] \\\\ \\bullet_{21} \\ar@{-}[r] & \\bullet_{22}} \\hspace{2cm} K^\\tau = \\xymatrix{\\bullet_{11} \\ar@{-}[d] \\ar@{-}[dr] & \\bullet_{12} \\\\ \\bullet_{21} \\ar@{-}[r] & \\bullet_{22}} $$\n\t\t\tNote that, both $K$ and $K^\\tau$ have three TU subgraphs with one edges, and three TU subgraphs of two edges. Therefore $p_1 = -6$ and $p_2 = 9$ for both the cases. The TU subgraph with three edges consists is a tree in $K$. Therefore, for $Q_K(\\lambda), p_3 = -4^0(1 + 3) = -4$. The TU subgraph with three edges in $K^\\tau$ is an odd cycle, such that, for $Q_{K^\\tau}(\\lambda), p_3 = -4^1(1 + 0) = -4$. Therefore, $K$ and $K^\\tau$ are non-isomorphic $Q$-cospectral graphs, such that, $n > m$. This example also shows that two non-isomorphic TU subgraphs may have equal weights.\n\t\t\\end{example}\n\t\t\t\t\n\n\t\\section{Properties of partial transpose}\n\t\n\t\tGraph theoretic partial transpose was first defined in \\cite{wu2006conditions}. In general we consider a graph with $n = p \\times q$ vertices. The vertex set is partitioned into $p$ clusters each containing $q$ vertices. In this work, we consider a special case of partial transpose. Let $G$ has even number of vertices, that is $n = 2 \\times q$. We can partition the vertex set into clusters as\n\t\t\\begin{equation} \\label{clustering}\n\t\t\\begin{split} \n\t\t& V(G) = C_1 \\cup C_2, ~\\text{such that}~ C_1 \\cap C_2 = \\emptyset, \\\\\n\t\t\\text{and}~ & C_1 = \\{v_{1, 1}, v_{1, 2}, \\dots v_{1, q}\\},\\\\\n\t\t& C_2 = \\{v_{2, 1}, v_{2, 2}, \\dots v_{2, q}\\}.\n\t\t\\end{split} \n\t\t\\end{equation}\n\t\tThe induced subgraph of $G$ generated by the vertex subset $C_1$ and $C_2$ are denoted by $\\langle C_1 \\rangle_G$ and $\\langle C_2 \\rangle_G$, respectively. The spanning subgraph of $G$ with edges $\\{(u, v): u \\in C_1, v \\in C_2\\}$ is denoted by $\\langle C_1 , C_2 \\rangle_G$. If there is no confusion with the graph $G$, for simplicity, we drop the suffixes and denote those subgraphs as $\\langle C_1 \\rangle$, $\\langle C_2 \\rangle$, and $\\langle C_1, C_2 \\rangle$, respectively.\n\t\t\n\t\t\\begin{definition}\n\t\t\tThe partial transpose of a clustered graph $G$ is denoted by $G^\\tau$ obtained by removing all existing edges $(v_{1, i}, v_{2, j})$ from $G$ and adding the corresponding non-existing edges $(v_{1, j}, v_{2, i})$ to $G$, for all $i \\neq j$.\n\t\t\\end{definition}\n\t\t\n\t\tFor instance, consider the graphs $K$ and $K^\\tau$ depicted in example 1. We replace the existing edge $(v_{1, 2}, v_{2, 1})$ with $(v_{1, 1}, v_{2, 2})$ to obtain the partial transpose $K^\\tau$ of $K$. \tNote that, partial transpose is labelling dependent. Therefore, one graph may produce different graphs after partial transpose. For example the following figure, the graph $G_0$ remains invarient under partial transpose. But, its isomorphic copy $G$ produces a non-isomorphic graph $G^\\tau$.\n\t\t\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (0, 1.5) {};\n\t\t\t\\node at (0, -.5) {};\n\t\t\t\\node at (-.5, .5) {$G_0 = $};\n\t\t\t\\draw[fill] (0, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw (2, 0) -- (0, 0) -- (0, 1) -- (1, 1);\n\t\t\t\n\t\t\t\\node at (3.5, .5) {$G = $};\n\t\t\t\\draw[fill] (4, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$21$};\n\t\t\t\\draw[fill] (5, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$22$};\n\t\t\t\\draw[fill] (6, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (6, 0) {$23$};\n\t\t\t\\draw[fill] (4, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$11$};\n\t\t\t\\draw[fill] (5, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$12$};\n\t\t\t\\draw[fill] (6, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (6, 1) {$13$};\n\t\t\t\\draw (6, 1) -- (5, 1) -- (4, 0) -- (6, 0);\n\t\t\t\n\t\t\t\\node at (7.5, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (8, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (8, 0) {$21$};\n\t\t\t\\draw[fill] (9, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (9, 0) {$22$};\n\t\t\t\\draw[fill] (10, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (10, 0) {$23$};\n\t\t\t\\draw[fill] (8, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (8, 1) {$11$};\n\t\t\t\\draw[fill] (9, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (9, 1) {$12$};\n\t\t\t\\draw[fill] (10, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (10, 1) {$13$};\n\t\t\t\\draw (10, 1) -- (9, 1);\n\t\t\t\\draw (8, 1) -- (9, 0) --(10, 0);\n\t\t\t\\draw (8, 0) -- (9, 0);\n\t\t\\end{tikzpicture}\n\t\t\n\t\tThe arrangement of vertices into clusters, and total number of vertices remains unchanged after partial transpose. It keeps $\\langle C_1 \\rangle$ and $\\langle C_2 \\rangle$ unaltered. If degree of a vertex $v_{\\mu, i}$ in the graph $G$ be $d(v_{\\mu, i})|_G$, then $\\sum_{i = 1}^q d(v_{\\mu, i})|_G = \\sum_{i = 1}^q d(v_{\\mu, i})|_{G^\\tau}$ for all $\\mu$. Changes in the graph is limited within the partially asymmetric edge set, $\\mathcal{A} = \\{(v_{1, i}, v_{2, j}) \\in E(G): i \\neq j ~\\text{and}~ (v_{1, j}, v_{2, i}) \\notin E(G)\\} \\subset E(\\langle C_1, C_2 \\rangle)$. \n\t\t\n\t\tIn this article, we call two isomorphic graphs $G$ and $H$ are equal if the identity mapping acts as the graph isomorphism and we denote $G = H$. A graph $G$ is called partially symmetric if $G = G^\\tau$. Clearly for a partially symmetric graph $\\mathcal{A} = \\emptyset$. A number of partial symmetric graphs are depicted below:\n\t\t$$\\xymatrix{\\bullet_{11} & \\bullet_{12} \\ar@{-}[d] \\\\ \\bullet_{21} & \\bullet_{22}} \\hspace{1cm} \\xymatrix{\\bullet_{11} \\ar@{-}[r] & \\bullet_{12} \\\\ \\bullet_{21} & \\bullet_{22}} \\hspace{1cm} \\xymatrix{\\bullet_{11} \\ar@{-}[dr] & \\bullet_{12} \\ar@{-}[dl] \\\\ \\bullet_{21} & \\bullet_{22}} \\hspace{1cm} \\xymatrix{\\bullet_{11} \\ar@{-}[d] \\ar@{-}[dr] & \\bullet_{12} \\ar@{-}[dl] \\\\ \\bullet_{21} \\ar@{-}[r] & \\bullet_{22}}$$\n\t\t\n\t\tThe partial symmetry is different from the usual idea of the symmetry in graph. For instance, the following graph is asymmetric, but, it is partially symmetric with respect to some vertex labelling.\n\t\t\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (0, 1.5) {};\n\t\t\t\\node at (0, -.5) {};\n\t\t\t\n\t\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (3, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (4, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\t\\draw (0, 1) -- (4, 1);\n\t\t\t\\draw (1, 1) -- (2, 0) -- (2, 1);\n\t\t\t\n\t\t\t\\node at (5.5, .5) {$\\equiv$};\n\t\t\t\n\t\t\t\\draw[fill] (7, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (8, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (9, 1) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (7, 0) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (8, 0) circle [radius= 1.5pt];\n\t\t\t\\draw[fill] (9, 0) circle [radius= 1.5pt];\n\t\t\t\\draw (7, 1) -- (9, 1) -- (8, 0) -- (7, 0);\n\t\t\t\\draw (8, 1) -- (9, 0) -- (9, 1);\n\t\t\\end{tikzpicture} \n\t\t\n\t\tIn this following lemma, we mention number of all possible combinations of edges which forms partially symmetric graphs. Recall that, two non-isomorphic graphs may have isomorphic subgraphs. Therefore, given two of these edge combinations may individually generate isomorphic graphs, but they may act as subgraphs of two non-isomorphic graphs. This lemma will help us in calculating number of non-isomorphic graphs with a partially symmetric subgraph.\n\t\t\\begin{lemma}\\label{partially_symmetric_count}\n\t\t\tFor any even integer $2q$ there are $2^{\\frac{q}{2}(3q - 1)}$ combinations of edges which construct partially symmetric graphs having $2$ clusters with $q$ vertices in each.\n\t\t\\end{lemma}\n\t\t\n\t\t\\begin{proof}\n\t\t\tWe classify the edges of a partially symmetric graph $G$ into the following partitions: $E(\\langle C_1 \\rangle), E(\\langle C_2 \\rangle)$, $A = \\{(v_{1i}, v_{2i}): i = 1, 2, \\dots q\\}$, and $B = \\{(v_{1i}, v_{2j}), (v_{1j}, v_{2i}): i = 1, 2, \\dots q ~\\text{and}~ i \\neq j\\}$. Note that all these edge sets remain invariant under partial transpose.\n\t\t\t\n\t\t\tAs $C_1$ has $q$ nodes, total number of possible edges in $\\langle C_1 \\rangle$ is $^qC_2 = \\frac{q(q - 1)}{2}$. The number of all possible combinations of edges in $E(\\langle C_1 \\rangle)$ is $2^{\\frac{q(q - 1)}{2}}$. Similarly, $E(\\langle C_1 \\rangle)$ also has $2^{\\frac{q(q - 1)}{2}}$ combinations of edges.\n\t\t\t\n\t\t\tNote that, number of all possible edges in class $A$ is $q$. In a partially symmetric edge combination any of them may be selected on not. Therefore, possible combinations of edges in class $A$ is $2^q$.\n\t\t\t\n\t\t\tEdges in class $B$ appears in a pair $(v_{1i}, v_{2j}), (v_{1j}, v_{2i})$. Two vertices with suffixes $i$ and $j$ from $q$ vertices can be selected in $^qC_2 = \\frac{q(q - 1)}{2}$ ways. Total number of possible combinations of edges in class $B$ is $2^{\\frac{q(q - 1)}{2}}$.\n\t\t\t\n\t\t\tTherefore, all possible combinations of edges which forms a partially symmetric graph is $2^{\\frac{q(q - 1)}{2}}2^{\\frac{q(q - 1)}{2}}2^q2^{\\frac{q(q - 1)}{2}} = 2^{\\frac{q}{2}(3q - 1)}$.\n\t\t\\end{proof}\n\t\t\n\t\tWe end up this section with the following example which will clarify the difference between partial transpose and Godsil-McKay switching \\cite{godsil1982constructing, van2003graphs}. \n\t\t\n\t\t\\begin{example}\n\t\t\tConsider the graph $G$ with $8$ vertices. To perform Godsil-McKay switching we arrange the vertex set into two clusters $C$ and $D$. Vertices in $D$ is either connected to all the vertices, or half of the vertices, or no vertex of $C$ \\cite{godsil1982constructing}. The resulting graph $G^{GM}$ and $G$ are depicted below:\n\t\t\t\n\t\t\t\\begin{tikzpicture}\n\t\t\t\t\\node at (0, 1.5) {};\n\t\t\t\t\\node at (0, -.5) {};\n\t\t\t\t\\node at (-1, .5) {$G = $};\n\t\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (3, 0);\n\t\t\t\t\\draw (1, 1) -- (2, 1);\n\t\t\t\t\\draw (0, 1) -- (1, 0) -- (3, 1);\n\t\t\t\t\\draw[dashed] (1.5, 0) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (2.5, -.35) {$D$};\n\t\t\t\t\\draw[dashed] (1.5, 1) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (2.5, 1.35) {$C$};\n\t\t\t\t\n\t\t\t\t\\node at (4, .5) {$G^{GM} = $};\n\t\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (6, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (7, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (8, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (6, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (7, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (8, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw (5, 0) -- (6, 0) -- (7, 0) -- (8, 0);\n\t\t\t\t\\draw (6, 1) -- (7, 1);\n\t\t\t\t\\draw (6, 1) -- (6, 0) -- (7, 1);\n\t\t\t\t\\draw[dashed] (6.5, 0) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (7.5, -.35) {$D$};\n\t\t\t\t\\draw[dashed] (6.5, 1) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (7.5, 1.35) {$C$};\t\t\t\t\n\t\t\t\\end{tikzpicture}\n\t\t\t\n\t\t\tNow we perform partial transpose on $G$ taking $C_1 = D$ and $C_2 = C$. \n\t\t\t\n\t\t\t\\begin{tikzpicture}\n\t\t\t\t\\node at (0, 1.5) {};\n\t\t\t\t\\node at (0, -.5) {};\n\t\t\t\t\\node at (-1, .5) {$G = $};\n\t\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (3, 0);\n\t\t\t\t\\draw (1, 1) -- (2, 1);\n\t\t\t\t\\draw (0, 1) -- (1, 0) -- (3, 1);\n\t\t\t\t\\draw[dashed] (1.5, 0) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (2.5, -.35) {$C_1$};\n\t\t\t\t\\draw[dashed] (1.5, 1) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (2.5, 1.35) {$C_2$};\n\t\t\t\t\n\t\t\t\t\\node at (4, .5) {$G^\\tau = $};\n\t\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (6, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (7, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (8, 0) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (6, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (7, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw[fill] (8, 1) circle [radius = 1.5pt];\n\t\t\t\t\\draw (5, 0) -- (6, 0) -- (7, 0) -- (8, 0);\n\t\t\t\t\\draw (6, 1) -- (7, 1);\n\t\t\t\t\\draw (5, 0) -- (6, 1) -- (8, 0);\n\t\t\t\t\\draw[dashed] (6.5, 0) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (7.5, -.35) {$C_1$};\n\t\t\t\t\\draw[dashed] (6.5, 1) ellipse (1.75cm and .2cm);\n\t\t\t\t\\node at (7.5, 1.35) {$C_2$};\t\t\n\t\t\t\\end{tikzpicture}\n\t\t\t\n\t\t\tClearly, $G^\\tau$ is non-isomorphic to $G^{GM}$.\n\t\t\\end{example}\n\t\n\t\t\n\t\\section{Number of non-isomorphic graphs which are $Q$-cospectral to their partial transpose}\n\t\t\t\t\n\t\tIn the example \\ref{critical_graphs}, we have seen that $K$ and $K^\\tau$ are $Q$-cospectral. Also, we have mentioned that $K^\\tau$ is the partial transpose of $K$. In fact, $K$ is the smallest graph which is non-isomorphic and $Q$-cospectral to its partial transpose. But, not all graphs are $Q$-cospectral to their partial transpose, for instance, consider the following graphs:\n\t\t$$G = \\xymatrix{\\bullet_{1,1} \\ar@{-}[d] \\ar@{-}[dr] & \\bullet_{1,2} \\ar@{-}[d] & \\bullet_{1,3} \\ar@{-}[d] \\ar@{-}[dl] \\\\ \\bullet_{2,1} \\ar@{-}[r]& \\bullet_{2,2} & \\bullet_{2,3} \\ar@{-}[l]} \\hspace{2cm} G^\\tau = \\xymatrix{\\bullet_{1,1} \\ar@{-}[d] & \\bullet_{1,2} \\ar@{-}[d] \\ar@{-}[dr] \\ar@{-}[dl] & \\bullet_{1,3} \\ar@{-}[d] \\\\ \\bullet_{2,1} \\ar@{-}[r] & \\bullet_{2,2} & \\bullet_{2,3} \\ar@{-}[l]}$$\n\t\tIt is easy to calculate that $Q$-spectra of $G$ and $G^\\tau$ are $\\{0.6277, 1, 1, 2, 3, 6.3723\\}$ and $\\{0.3542, 0.5858, 2, 2, 3.4142, 5.6458\\}$. Also, there is no vertex labelling, such that, any of the following two $Q$-cospectral graphs are partial transpose of another: \n\t\t$$\\xymatrix{\\bullet_1 \\ar@{-}[d] \\ar@{-}[r] \\ar@{-}[dr] \\ar@{-}[drr] & \\bullet_2 \\ar@{-}[d] \\ar@{-}[dr] \\ar@{-}[dl] & \\bullet_3 \\\\ \\bullet_4 & \\bullet_5 & \\bullet_6} \\hspace{2 cm} \\xymatrix{\\bullet_1 \\ar@{-}[d] \\ar@{-}[r] \\ar@{-}[dr] \\ar@{-}[drr] & \\bullet_2 \\ar@{-}[d] \\ar@{-}[dl] & \\bullet_3 \\\\ \\bullet_4 \\ar@{-}[r] & \\bullet_5 & \\bullet_6}$$\n\t\tWe can check this assertion by considering every vertex labellings on the above graphs using a suitable computer algebra system. \n\t\t\n\t\tThere are big families of graphs which are $Q$-cospectral to their partial transpose. The following table provides number of graphs which are non-isomorphic, and $Q$-cospectral to their partial transpose. We use Networkx library \\cite{schult2008exploring} for generating the following computational data and all examples which are included in this article.\n\t\t\\newpage\n\t\t\\begin{longtable}{|p{.15 \\textwidth}|p{.1 \\textwidth}| p{.2 \\textwidth}| p{.26 \\textwidth}| p{.1 \\textwidth}|}\n\t\t\t\\hline\n\t\t\tNumber of vertices & Number of edges & Number of non-isomorphic $Q$-cospectrals & Number of non-isomorphic $Q$-cospectrals to PT & Ratio\\\\\n\t\t\t\\hline\n\t\t\t4 & 3 & 2 & 2 & 1\\\\\n\t\t\t\\hline \n\t\t\t5 & 3 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 7 & 2 & 0 & 0 \\\\\n\t\t\t\\hline \n\t\t\t6 & 3 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 4 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 7 & 4 & 2 & .5 \\\\\n\t\t\t\\hline\n\t\t\t7 & 3 & 2 & 2 & 1\\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 4 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 5 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 6 & 2 & 0 & 0 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 7 & 6 & 4 & $.667$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 8 & 12 & 8 & $.667$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 9 & 14 & 10 & $.714$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 10 & 14 & 10 & $.714$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 11 & 14 & 12 & $.857$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 12 & 12 & 12 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 13 & 12 & 10 & $.833$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 14 & 6 & 2 & $.333$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 15 & 2 & 0 & 0 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 16 & 2 & 0 & 0 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 17 & 2 & 0 & 0 \\\\\n\t\t\t\\hline \n\t\t\t8 & 3 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 4 & 2 & 2 & 1 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 5 & 4 & 4 & 0 \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 6 & 12 & 8 & $.667$ \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 7 & 20 & 14 & $.7$  \\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 8 & 38 & 26 & .684\\\\\n\t\t\t\\cline{2 - 5}\n\t\t\t& 9 & 58 & 42 & .724\\\\\n\t\t\t\\hline\n\t\t\\end{longtable}\t\n\t\tThis statistics suggests that $75\\%$ among the non-isomorphic $Q$-cospectral graphs with $6$ vertices can be determined by partial transpose. For $7$ vertex graphs this ration is $71.15\\%$. For graphs with $8$ vertices the ratio is $71.01\\%$ which is computed up to our limitation. Therefore, a large class of graphs are non-isomorphic and $Q$-cospectral to their partial transpose. These graphs follows a number of patterns which we shall discuss in the following section.\n\t\t\n\t\t \n\t\\section{When $G$ and $G^\\tau$ are non-isomorphic and $Q$-cospectral?}\n\t\t\n\t\tTwo $Q$-cospectral graphs $G$ and $G^\\tau$ have equal $Q$-polynomials, that is, the coefficients of $Q_G(\\lambda)$, and $Q_{G^\\tau}(\\lambda)$ are equal. Recall that, the coefficients of $Q_G(\\lambda)$ depend on TU subgraphs of $G$. Let $\\mathcal{U}_j(G)$ be the set of all TU subgraphs of $j$ edges. Two sets of TU subgraphs $\\mathcal{U}_j(G)$ and $\\mathcal{U}_j(G^\\tau)$ are comparable if \n\t\t\\begin{equation}\n\t\t\t\\sum_{H \\in \\mathcal{U}_j(G)} W(H) = \\sum_{H \\in \\mathcal{U}_j(G^\\tau)} W(H),\n\t\t\\end{equation}\n\t\twhere $W(H)$ are determined by the equation (\\ref{TU_weight}). Now equation (\\ref{char_coeff}) suggests that, if $G$ and $G^\\tau$ are $Q$-cospectral the sets of their TU subgraphs are comparable for all $j = 1, 2, \\dots m$. We call two graphs $G$ and $H$ are comparable if $\\mathcal{U}_j(G)$ and $\\mathcal{U}_j(H)$ are comparable for all $j$. As an example two tree with equal number of edges are comparable. Similarly, two circles of equal lengths are comparable. In example \\ref{critical_graphs} we have already seen that the TU subgraphs of $G$ and $G^\\tau$ have equal weights but they are not isomorphic. Here, we find conditions on graphs which keep $\\mathcal{U}_j(G)$ and $\\mathcal{U}_j(G^\\tau)$ comparable for all $j$. \n\t\t\n\t\\begin{theorem}\\label{theorem1}\n\t\tLet the subgraphs $\\langle C_1 \\rangle_{G_0}$ and $\\langle C_2 \\rangle_{G_0}$ of the graph $G_0$ be two $q$-cycles as well as $\\langle C_1, C_2\\rangle_{G_0}$ be an empty graph. Also, let $v_{1, i}$ and $v_{1, j}$ be two non-adjacent vertices of $G_0$. We add the edges $(v_{1, i}, v_{1, j}), (v_{1, i}, v_{2, i})$ and $(v_{1, i}, v_{2, j})$ with $G_0$. The new graph $G$ is non-isomorphic and Q-cospectral to its partial transpose.\n\t\\end{theorem}\n\n\t\\begin{proof}\n\t\tClearly, $G = G_0 \\cup \\{(v_{1, i}, v_{1, j}), (v_{1, i}, v_{2, i}), (v_{1, i}, v_{2, j})\\}$. The set of all cycles in $G$ consists of two cycles of $G_0$. Call them $\\delta_1$ and $\\delta_2$. The following new cycles are generated by additional three edges and their incidence with existing edges in $G_0$:\n\t\t\\begin{enumerate}\n\t\t\t\\item \n\t\t\t\t$\\delta_3 = (v_{1, i}, v_{1, i+1}, v_{1, i + 2}, \\dots v_{1, j})$,\n\t\t\t\\item\n\t\t\t\t$\\delta_4 = (v_{1, 1}, v_{1, 2}, \\dots v_{1, i}, \\dots v_{1, j}, v_{1, j+1}, \\dots v_{1, q})$,\n\t\t\t\\item\n\t\t\t\t$\\delta_5 = (v_{1, i}, v_{2, i}, v_{2, i+ 1}, v_{2, i + 2}, \\dots v_{2, j})$, and\n\t\t\t\\item\n\t\t\t\t$\\delta_6 = (v_{2, 1}, v_{2,2}, \\dots v_{2, i}, v_{1, i}, v_{2, j}, v_{2, j + 1}, \\dots v_{2, q})$.\n\t\t\\end{enumerate}\n\t\tNote that, $\\langle C_1, C_2 \\rangle_G$ contains only two edges which are $(v_{1, i}, v_{2, i})$ and $(v_{1, i}, v_{2, j})$. Partial transpose replace $(v_{1, i}, v_{2, j})$ with $(v_{1, j}, v_{2, i})$. The cycles $\\delta_1, \\delta_2, \\delta_3$ and $\\delta_4$ remain invariant under partial transpose on $G$. Therefore, their TU subgrphs are isomorphic in $G$ and $G^\\tau$ and have equal contribution in $Q_G(\\lambda)$, and $Q_{G^\\tau}(\\lambda)$.\n\t\t\n\t\tNow $\\delta_5$ in $G$ is replaced by $\\delta_5' = (v_{1, i}, v_{2, i}, v_{1, j}, v_{1, j-1}, \\dots  v_{1, i+1})$ in $G^\\tau$. They have equal length and equal contribution in the characteristic coefficients. The circle $\\delta_6$ in $G$ and its counterpart $\\delta_6' = (v_{1, 1}, v_{1, 2}, \\dots v_{1, i}, v_{2,i}, v_{1, j}, v_{1, j+1}, \\dots v_{1, q})$ in $G^\\tau$ have equal lengths, $|\\delta_6| = |\\delta_6'| = q - (j - i) + 2$. If $(v_{2, k}, v_{2, k + 1}) \\in \\delta_6 \\cap c_2$ in $G$ then $(v_{1, k}, v_{1, k + 1}) \\in \\delta_6' \\cap c_1$ in $G^\\tau$. A TU subgraph containing more than $|\\delta_6|$ edges contains edges from $\\delta_1$ in $G$. The role of $\\delta_1$ in $G$ is replaced by the edges of $\\delta_2$ in $G^\\tau$. We have assumed that $\\delta_1$ and $\\delta_2$ have equal length. Therefore, replacement of $\\delta_6$ in $G^\\tau$ does not make any difference in the characteristic coefficients.\n\t\t\n\t\tThe new edges $K = \\{(v_{1, i}, v_{1, j}), (v_{1, i}, v_{2, i}), (v_{1, i}, v_{2, j})\\}$ forms a tree in $G$. It is replaced by an uni-cyclic TU subgraph $K^\\tau = (v_{1, i}, v_{1, j}, v_{2, i})$ in $G^\\tau$. They have equal contribution in $Q_G(\\lambda)$ and $Q_{G^\\tau}(\\lambda)$ that we have seen in example \\ref{critical_graphs}.\n\t\t\n\t\tTherefore, all the TU subgraphs of $G$ and $G^\\tau$ are comparable as well as they form equal characteristic polynomials. Hence, $G$ is $Q$-cospectral to its partial transpose.\n\t\\end{proof}\n\t\n\tNote that, if $v_{1,i}$ and $v_{1, j}$ are adjacent in $G_0$ we may construct $G = G_0 \\cup \\{(v_{1, i}, v_{2, i}), (v_{1, i}, v_{2, j})\\}$. We can easily prove that $G$ ad $G^\\tau$ are isomorphic and Q-cospectral.\n\t\n\tGiven any integer $q$ there is only one $q$-cycle which is considered as $\\langle C_1 \\rangle$, and $\\langle C_2 \\rangle$. For any vertex $v_{1, i} \\in C_1$ there are $(q - 2)$ non-adjacent vertices which are possible choice of $v_{1, j}$. Also, we can choose $v_{1,i}$ in $q$ ways, but it will generate isomorphic families of graphs. We can check it by considering two graphs generated by choosing $v_{1, 1}$ and $v_{1, i}$. Therefore, there are $2^{(q - 2)}$ non-isomorphic graphs which are non-isomorphic and $Q$-cospectral to their partial transposes.\n\t\n\t\\begin{example}\n\t\tConsider the following graph $G$ with its partial transpose $G^\\tau$:\n\t\t\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {$G = $};\n\t\t\t\\draw[fill] (0, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (1, 0) -- (1, 1) -- (3, 0);\n\t\t\t\\draw (0,0) .. controls (2, -.5) .. (4, 0);\n\t\t\t\\draw (0,1) .. controls (2, 1.5) .. (4, 1);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {and $G^\\tau = $};\n\t\t\t\\draw[fill] (0, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius= 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (1, 0) -- (1, 1);\n\t\t\t\\draw (1, 0) -- (3, 1);\n\t\t\t\\draw (0,0) .. controls (2, -.5) .. (4, 0);\n\t\t\t\\draw (0,1) .. controls (2, 1.5) .. (4, 1);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\\end{tikzpicture}\n\t\t\n\t\tHere, $q = 5$. Cycles in $G$ are:\n\t\t\\begin{enumerate}\n\t\t\t\\item \n\t\t\t\t$\\delta_1 = (v_{11}, v_{12}, \\dots v_{15})$ with $|\\delta_1| = 5$,\n\t\t\t\\item \n\t\t\t\t$\\delta_2 = (v_{21}, v_{22}, \\dots v_{25})$ with $|\\delta_2| = 5$,\n\t\t\t\\item \n\t\t\t\t$\\delta_3 = (v_{12}, v_{13}, v_{14})$ with $|\\delta_3| = 3$,\n\t\t\t\\item\n\t\t\t\t$\\delta_4 = (v_{11}, v_{12}, v_{14}, v_{15})$ with $|\\delta_4| = 4$,\n\t\t\t\\item\n\t\t\t\t$\\delta_5 = (v_{12}, v_{22}, v_{23}, v_{24})$ with $|\\delta_5| = 4$,\n\t\t\t\\item\n\t\t\t\t$\\delta_6 = (v_{21}, v_{22}, v_{12}, v_{24}, v_{25})$ with $|\\delta_6| = 5$.\n\t\t\\end{enumerate}\n\t\tThere are four uni-cyclic graphs which are $\\delta_1, \\delta_2, \\delta_3$, and $\\delta_6$. Here, $\\delta_1, \\delta_2, \\delta_3$ remains invariant under partial transpose. Also, $\\delta_6$ is replaced by $\\delta_6' = (v_{11}, v_{12}, $ $v_{22}, v_{14}, v_{15})$. There is only one change among trees. The subgraph $K$ in $G$ is transformed to the odd unicyclic graph $K^\\tau$ in $G^\\tau$. Therefore, all TU subgraphs of $G$ and $G^\\tau$ are comparable. Therefore, $G$ and $G^\\tau$ are cospectral. The subgraphs $K$ and $K^\\tau$ make the graphs $G$ and $G^\\tau$ non-isomorphic.\n\t\\end{example}\n\n\t\\begin{corollary}\\label{corollary1}\n\t\tLet the subgraphs $\\langle C_1 \\rangle_{G_0}$ and $\\langle C_2 \\rangle_{G_0}$ of the graph $G_0$ be two $q$-cycles as well as $\\langle C_1, C_2\\rangle_{G_0}$ be an empty graph. We add the edges $(v_{1, i}, v_{2, i})$ and $(v_{1, i}, v_{2, i + 1})$ as well as remove the edge $(v_{2, i}, v_{2, i+1})$. The new graph $G$ is non-isomorphic and $Q$-cospectral to its partial transpose.\n\t\\end{corollary}\n\t\n\t\\begin{proof}\n\t\tVerification of $Q$-cospectrality of $G$ and $G^\\tau$ is similar to the theorem \\ref{theorem1}. Non-existence of the edge $(v_{2, i}, v_{2, i+1})$ and alteration of $(v_{1, i}, v_{2, i + 1})$ during partial transpose makes $G$ non-isomorphic to $G^\\tau$.\n\t\\end{proof}\n\t\n\tHere if we do not remove $(v_{2, i}, v_{2, i+1})$, then $G$ is isomorphic and $Q$-cospectral to its partial transpose. One can check it by keeping edge $(v_{2,1}, v_{2,2})$ in the example below.\n\t\n\tWe can select a vertex $v_{1, i}$ from the vertices of $C_1$ in $q$ ways. For every such choice we may construct a graph $G$. We can check that all these graphs will be isomorphic to each other. Therefore, for any integer $q$ there is only $1$ graph $G$ constructed with this theorem which is non-isomorphic and $Q$-cospectral to its partial transpose.\n\t\n\t\\begin{example}\n\t\tIn the figure below\\\\\t\t\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\\node at (-.5, .5) {$G = $};\n\t\t\\draw[fill] (0, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\\draw[fill] (1, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\\draw (0, 1) -- (1, 1) -- (2, 1);\n\t\t\\draw (0, 1) -- (0, 0);\n\t\t\\draw (0, 1) -- (1, 0) -- (2, 0);\n\t\t\\draw (0, 0) .. controls (1, -.4) .. (2, 0);\n\t\t\\draw (0, 1) .. controls (1, 1.4) .. (2, 1);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\\node at (-1, .5) {and $G^\\tau = $};\n\t\t\\draw[fill] (0, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\\draw[fill] (1, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\\draw[fill] (2, 0) circle [radius= 1.5pt];\n\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\\draw[fill] (0, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\\draw[fill] (1, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\\draw[fill] (2, 1) circle [radius= 1.5pt];\n\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\\draw (0, 1) -- (1, 1) -- (2, 1);\n\t\t\\draw (0, 1) -- (0, 0);\n\t\t\\draw (1, 0) -- (2, 0);\n\t\t\\draw (0, 0) -- (1, 1);\n\t\t\\draw (0, 0) .. controls (1, -.4) .. (2, 0);\n\t\t\\draw (0, 1) .. controls (1, 1.4) .. (2, 1);\n\t\t\\end{tikzpicture}\\\\\n\t\tare $Q$-cospectral, non-isomorphic graphs. The graph $G$ is constructed by the above theorem.\n\t\\end{example}\n\n\t\\begin{corollary}\\label{corollary2} \n\t\tLet the subgraphs $\\langle C_1 \\rangle_{G_0}$ be a $q$-cycle and $\\langle C_2 \\rangle_{G_0}$ be a  path graph of length $q$ as well as $\\langle C_1, C_2\\rangle_{G_0}$ is an empty graph. Construct a new graph $G$ by adding $(v_{11}, v_{1q}), (v_{11}, v_{21})$ and $(v_{11}, v_{2q})$. In addition, any edge of the form $(v_{1k}, v_{2k})$ can be included in $G$. The new graph $G$ is $Q$-cospectral to its partial transpose.\n\t\\end{corollary}\n\t\n\t\\begin{proof}\n\t\tProof is similar to theorem \\ref{theorem1}. \n\t\\end{proof}\n\t\\begin{example}\n\t\tIn the graph $G$ we have taken a $5$-cycle as $\\langle C_1 \\rangle$ and a path of length $5$ as $\\langle C_2 \\rangle$. We have added the edges $(v_{11}, v_{25})$ and $(v_{11}, v_{12})$ for generating non-isomorphic graphs under partial transpose. Also, we have added $(v_{12}, v_{22}), (v_{13}, v_{23}), (v_{15}, v_{25})$ which remains unchanged under partial transpose. The resultant graph $G$ and its partial transpose are:\\\\\n\t\t\\begin{tikzpicture}\n\t\t\\node at (0, .5) {$G = $};\n\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (1,1) {$11$};\n\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (2,1) {$12$};\n\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (3,1) {$13$};\n\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (4,1) {$14$};\n\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (5,1) {$15$};\n\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (1,0) {$21$};\n\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (2,0) {$22$};\n\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (3,0) {$23$};\n\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (4,0) {$24$};\n\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (5,0) {$25$};\n\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0) -- (5, 0) -- (5, 1) -- (4, 1) -- (3, 1) -- (2, 1) -- (1, 1) -- (1, 0);\n\t\t\\draw (1, 1) -- (5, 0);\n\t\t\\draw (2, 1) -- (2, 0);\n\t\t\\draw (3, 1) -- (3, 0);\n\t\t\\draw (1,1) .. controls (3, 1.5) .. (5, 1); \n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}\n\t\t\\node at (0, .5) {$G^\\tau = $};\n\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (1,1) {$11$};\n\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (2,1) {$12$};\n\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (3,1) {$13$};\n\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (4,1) {$14$};\n\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\\node[below right] at (5,1) {$15$};\n\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (1,0) {$21$};\n\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (2,0) {$22$};\n\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (3,0) {$23$};\n\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (4,0) {$24$};\n\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\\node[below right] at (5,0) {$25$};\n\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0) -- (5, 0) -- (5, 1) -- (4, 1) -- (3, 1) -- (2, 1) -- (1, 1) -- (1, 0);\n\t\t\\draw (1, 0) -- (5, 1);\n\t\t\\draw (2, 1) -- (2, 0);\n\t\t\\draw (3, 1) -- (3, 0);\n\t\t\\draw (1,1) .. controls (3, 1.5) .. (5, 1); \n\t\t\\end{tikzpicture}\\\\\n\t\tIt can be easily verified that $G$ and $G^\\tau$ are $Q$-cospectral.\n\t\\end{example}\n\t\n\t\n\t\\section{Bigger families of non-isomorphic $Q$-cospectral graphs}\n\t\n\tIn the last section, we have mentioned structures of graphs which are non-isomorphic and $Q$-cospectral to their partial transpose. Given any graph of this kind there are infinitely many graphs of bigger size  which are also non-isomorphic and $Q$-cospectral to their partial transpose. Now we shall state a number of procedures for constructing these graphs.\n\t\n\t\\begin{procedure}\\label{procedure1}\n\t\tLet $G$ be $Q$-cospectral to its partial transpose $G^\\tau$. Construct a new graph $G_1 = G \\cup G'$ such that $G'$ is isomorphic to its partial transpose. Then, $G_1$ is $Q$-cospectral to $G_1^\\tau$.\n\t\\end{procedure}\t\t\n\t\n\t\\begin{proof}\n\t\tAs $G_1 = G \\cup G'$, $G_1^\\tau = G^\\tau \\cup (G')^\\tau = G^\\tau \\cup G'$, as $G'$ is isomorphic to its partial transpose. Now, $Q_{G_1}(\\lambda) = Q_{G \\cup G'}(\\lambda) = Q_G(\\lambda)Q_{G'}(\\lambda)$. Also, $Q_{G_1^\\tau}(\\lambda) =  Q_{G^\\tau}(\\lambda)Q_{G'}(\\lambda)$. We assumed that $G$ and $G^\\tau$ are cospectral. Hence, $Q_{G}(\\lambda) = Q_{G^\\tau}(\\lambda)$. Combining these all we get, $Q_{G_1}(\\lambda) = Q_{G_1^\\tau}(\\lambda)$. Therefore, $G_1$ and $G_1^\\tau$ are cospectral.\n\t\\end{proof}\n\t\n\tIf in the above theorem $G$ is non-isomorphic and $Q$-cospectral to $G^\\tau$ then the resultant graph $G_1$ is also non-isomorphic and $Q$-cospectral to $G_1^\\tau$. Note that, using the above result arbitrary large non-isomorphc and $Q$ cospectral graphs can be generated. For simplicity, one may consider any partially symmetric graph as $G'$.\n\t\n\t\\begin{example}\n\t\tConsider the graph $G = K$ depicted in example \\ref{critical_graphs}, for simplicity. Add vertices $v_{13}, v_{23}$ and an edge $(v_{13}, v_{23})$ to construct new graph $G_1$. Note that, here $G'$ consists of a single edge $(v_{13}, v_{23})$ which is a partial symmetric.  \n\t\t$$G_1 = \\xymatrix{\\bullet_{11} \\ar@{-}[d] & \\bullet_{12} \\ar@{-}[dl] & \\bullet_{13} \\ar@{-}[d] \\\\ \\bullet_{21} \\ar@{-}[r] & \\bullet_{22} & \\bullet_{23} } \\hspace{2 cm} G_1^\\tau = \\xymatrix{\\bullet_{11} \\ar@{-}[d] \\ar@{-}[dr] & \\bullet_{12} & \\bullet_{13} \\ar@{-}[d] \\\\ \\bullet_{21} \\ar@{-}[r] & \\bullet_{22} & \\bullet_{23} }$$\n\t\tWe can easily verify that $G_1$ and $G_1^\\tau$, depicted above, are non-isomorphic, and $Q$-cospectral graphs.\n\t\\end{example}\n\t\n\tThe above result can be visualised in terms of matrices. Let $A$ and $B$ be the signless Laplacian matrices of two $Q$-cospectral graphs $G$ and $G^\\tau$, that is, $\\Lambda(A) = \\Lambda(B)$. Let $C$ be signless Laplacian matrix of $G'$. Now the signless Laplacian matrices of $G_1$ and $G_1^\\tau$ are given by\n\t\\begin{equation}\n\tQ(G_1) = \\begin{bmatrix} A & 0 \\\\ 0 & C\\end{bmatrix} ~\\text{and}~ Q(G_1^\\tau) = \\begin{bmatrix} B & 0 \\\\ 0 & C\\end{bmatrix}.\n\t\\end{equation}\n\tFrom spectral properties of block matrices we come to the conclusion that $\\Lambda(Q(G_1)) = \\Lambda(Q(G_1^\\tau))$. \n\t\n\tAccording to the above procedure, the new graph $G_1$ is a disconnected graph with at least two components. One is isomorphic to its partial transpose. Another one makes $G_1$ and $G_1^\\tau$ non-isomorphic. Below we generate connected graphs which are non-isomorphic, and $Q$-cospectral to their partial transpose.\n\t\n\t\\begin{procedure}\\label{procedure2}\n\t\tLet $G$ be a graph derived by theorem \\ref{theorem1} or its corollaries which contains the edge $(v_{1, i}, v_{2, j})$ for $i \\neq j$. Now add any number of pairs of edges $\\{(v_{1, k}, v_{1, l}), (v_{2, k}, v_{2, l}): k, l \\notin \\{i, j\\}\\}$ with $G$. The new graph $G_1$ is $Q$-cospectral to its partial transpose. \n\t\\end{procedure}\n\t\n\t\\begin{proof}\n\t\tChecking $Q$-cospectrality of $G_1$ and $G_1^\\tau$ is similar to that of the theorem 2. Non-isomorphims is generated by the alteration of an edge $(v_{1, i}, v_{2, j}), i \\neq j$ during partial transpose and non existence of $(v_{2, i}, v_{2, j})$.\n\t\\end{proof}\n\n\tFor any vertex in a $q$-circle there are $(q - 2)$ non-adjacent vertices. Hence, there are $q(q - 2)$ possible edges which may construct inside $\\langle C_1 \\rangle$. But one pair $v_{1, i}, v_{1, j}$ will not be considered. For any choice $(v_{1, k}, v_{1, l})$ of these $(q(q - 2) - 1)$ edges in $\\langle C_1 \\rangle$ we need to add $(v_{2, k}, v_{2, l})$ in $\\langle C_2 \\rangle$. Therefore, given any graph generated by theorem \\ref{theorem1} there are at most $2^{(q(q - 2) - 1)}$ graphs constructed by procedure \\ref{procedure1}, which are non-isomorphic and $Q$-cospectral to their partial transpose.\n\t\n\t\\begin{example}\n\t\tThe graph $G$ in the figure below in generated by theorem 2 which is non-isomorphic and $Q$-cospectral to its partial transpose. Here $i = 3$ and $j = 4$.\\\\\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {$G = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (2,1) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0, 1) .. controls (2, 2) .. (4, 1);\t\t\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (2,1);\n\t\t\t\\draw (3, 0) -- (4, 0);\n\t\t\t\\draw (2, 0) -- (3, 1);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0, 1) .. controls (2, 2) .. (4, 1);\t\t\n\t\t\\end{tikzpicture}\n\t\tWe add a pair of edges $(v_{1 2}, v_{15})$ and $(v_{22}, v_{25})$ with $G$ to form $G_1$ below. It can be verified that $G_1$ and $G_1^\\tau$ are non-isomorphic and $Q$-cospectral.\\\\\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {$G_1 = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (2,1) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0, 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (1, 1) ..controls(2.5 , 1.5) .. (4, 1);\n\t\t\t\\draw (1, 0) ..controls(2.5 , -.5) .. (4, 0);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (-1, .5) {$G_1^\\tau = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 0) -- (1, 0) -- (2, 0) -- (2,1);\n\t\t\t\\draw (3, 0) -- (4, 0);\n\t\t\t\\draw (2, 0) -- (3, 1);\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0, 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (1, 1) ..controls(2.5 , 1.5) .. (4, 1);\n\t\t\t\\draw (1, 0) ..controls(2.5 , -.5) .. (4, 0);\t\n\t\t\\end{tikzpicture}\n\t\t\n\t\tWe can easily verify that the induced subgraphs generated by the vertex set $\\{v_{1, 3}, v_{1, 4}, v_{2, 3}, v_{2, 4}\\}$ in $G, G^\\tau, G_1, G_1^\\tau$ are non-isomorphic. This characteristic plays a key role to make $G$ and $G_1$ non-isomorphic to their partial transposes.\n\t\\end{example}\n\n\tPartial transpose also does not alter the partially symmetric structures inside $\\langle C_\\mu, C_\\nu \\rangle$. Therefore, we can induce partially symmetric subgraphs with $\\langle C_\\mu, C_\\nu \\rangle$ for generating new $Q$-cospectral graphs.\n\t\n\t\\begin{procedure}\\label{procedure3}\n\t\tLet $G$ be a graph generated by theorems \\ref{theorem1}, or its corollaries, or procedure \\ref{procedure2} containing the edge $(v_{1, i}, v_{2, j})$ for $i \\neq j$. Add edges from the set $\\{(v_{1, k}, v_{2, l}): \\forall k, l \\notin \\{i, j\\}\\}$ such that the new edges construct a partial symmetric subgraph among themselves with respect to the existing vertex labellings. Then the new graph $G_1$ is $Q$-cospectral to its partial transpose.\n\t\\end{procedure}\n\n\t\\begin{proof}\n\t\tWe can choose $Q$-cospectrality and non-negativity as earlier. A partial symmetric subgraph is unaltered during partial transpose. Also the newly added partially symmetric subgraph does not influence the edge $(v_{1, i}, v_{2, j})$ to generate non-isomorphic graphs $G_1$ and $G_1^\\tau$.\n\t\\end{proof}\n\n\tIn this procedure, we construct a partially symmetric subgraph inside the graph $G$ to construct new graph $G_1$. In the formation of partially symmetric subgraph $(q - 2) \\geq 0$ vertices of a cluster may participate. The lemma \\ref{partially_symmetric_count} suggests that $2^{\\frac{q - 2}{2}(3q - 7)}$ graphs may be considered by this procedure.\n\t\n\t\\begin{example}\n\t\tWe begin this example with a graph $G$ which is produced by procedure \\ref{procedure2}. Clearly, $G$ is non-isomorphic and $Q$-cospectral to $G^\\tau$, which are depicted below:\\\\\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (-1, .5) {$G = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (0, 1) -- (1, 0);\n\t\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0 , 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0 , 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (2 , 1) .. controls (3, 1.3) .. (4, 1);\n\t\t\t\\draw (2 , 0) .. controls (3, -.3) .. (4, 0);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (-1, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (1, 1) -- (0, 0);\n\t\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (0 , 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0 , 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (2 , 1) .. controls (3, 1.3) .. (4, 1);\n\t\t\t\\draw (2 , 0) .. controls (3, -.3) .. (4, 0);\n\t\t\\end{tikzpicture}\n\t\tNow we add a partially symmetric subgraph with $G$. It consists of the edge set $\\{(v_{13}, v_{23}), (v_{15}, v_{25}), (v_{13}, v_{25}), (v_{15}, v_{23})\\}$. The new graph $G_1$ is also non-isomorphic and $Q$-cospectral to its partial transpose, which are as follows:\\\\\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (-1, .5) {$G_1 = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (0, 1) -- (1, 0);\n\t\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (2, 0) -- (2, 1);\n\t\t\t\\draw (4, 0) -- (4, 1);\n\t\t\t\\draw (2, 0) -- (4, 1);\n\t\t\t\\draw (4, 0) -- (2, 1);\n\t\t\t\\draw (0 , 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0 , 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (2 , 1) .. controls (3, 1.3) .. (4, 1);\n\t\t\t\\draw (2 , 0) .. controls (3, -.3) .. (4, 0);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}\n\t\t\t\\node at (-1, .5) {$G_1^\\tau = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$15$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (1, 1) -- (0, 0);\n\t\t\t\\draw (1, 0) -- (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (2, 0) -- (2, 1);\n\t\t\t\\draw (4, 0) -- (4, 1);\n\t\t\t\\draw (2, 0) -- (4, 1);\n\t\t\t\\draw (4, 0) -- (2, 1);\n\t\t\t\\draw (0 , 0) .. controls (2, -1) .. (4, 0);\n\t\t\t\\draw (0 , 1) .. controls (2, 2) .. (4, 1);\n\t\t\t\\draw (2 , 1) .. controls (3, 1.3) .. (4, 1);\n\t\t\t\\draw (2 , 0) .. controls (3, -.3) .. (4, 0);\n\t\t\\end{tikzpicture}\n\t\\end{example}\n\t\n\tProcedure \\ref{procedure2} and \\ref{procedure2} increase the edges in a graph $G$ such that the new graph $G_1$ is $Q$-cospectral to its partial transpose. We can construct large families of graphs by adding both vertices and edges, which is discuss in the next procedure.\n\t\n\t\\begin{procedure}\\label{procedure4}\n\t\tLet $G$ be a graph generated by using any of the above theorems and procedures which has an edge $(v_{1, i}, v_{2, j})$ such that $(v_{1, j}, v_{2, i}) \\notin E(G)$. Add equal number of vertices with every clusters. New edges may be constructed by performing any one or more of the following operations:\n\t\t\\begin{enumerate}\n\t\t\t\\item\n\t\t\t\tAdd arbitrary set of edges joining the new vertices within the clusters.\n\t\t\t\\item\n\t\t\t\tEdges can be added between the old and new vertices inside the cluaters, such that, the vertices $v_{1, i}, v_{1, j}, v_{2, i}$, and $v_{2, j}$ are not adjacent to any of the new vertices.\n\t\t\t\\item\n\t\t\t\tNew edges can be included between the new vertices belonging to both clusters such that they form a partially symmetric subgraph.\n\t\t\\end{enumerate}\n\t\tThe new graph $G_1$ is non-isomorphic and $Q$-cospectral to its partial transpose.\n\t\\end{procedure}\n\t\n\t\\begin{proof}\n\t\tOne can check $G_1$ and $G_1^\\tau$ are $Q$-cospectral and non-isomorphic as earlier. Note that, the induced subgraph generated by new vertices and edges is a partially symmetric subgraph which does not influence in generating non-isomorphic $Q$-cospectral pairs.\n\t\\end{proof}\n\n\t\\begin{example}\n\t\tConsider the graph $G$ depicted in the example 4. It has an edge $(v_{11}, v_{22})$ such that $(v_{12}, v_{21})$ is missing. It has six vertices arranged into two clusters. We add three new vertices to every cluster. In the cluster $\\langle C_1 \\rangle$ we add a tree and in cluster $\\langle C_2 \\rangle$ we include a 3-cycle with a hair. They are connected to vertices $v_{13}$ and $v_{23}$ which are not in $\\{v_{11}, v_{22}, v_{12}, v_{21}\\}$. Also, we have added an edge $(v_{14}, v_{24})$, which forms a partially symmetric subgraph in $\\langle C_1, C_2 \\rangle$. The resultant graph: \\\\\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (-1, .5) {$G_1 = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0,1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1,1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2,1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3,1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4,1) {$15$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (5,1) {$16$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1,0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2,0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (5,0) {$26$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (0, 1) -- (1, 0);\n\t\t\t\\draw (1, 0) -- (2, 0);\n\t\t\t\\draw (0, 1) .. controls (1, 1.35) .. (2, 1);\n\t\t\t\\draw (0, 0) .. controls (1, -.35) .. (2, 0);\n\t\t\t\\draw (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (3, 1) .. controls (4, 1.35) .. (5, 1);\n\t\t\t\\draw (2, 0) .. controls (3, -.35) .. (4, 0);\n\t\t\t\\draw (4, 0) -- (5, 0);\n\t\t\t\\draw (3, 1) -- (3, 0);\n\t\t\\end{tikzpicture}\\\\\n\t\tIt is $Q$-cospectral to its partial transpose:\\\\\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (-1, .5) {$G_1^\\tau = $};\n\t\t\t\\draw[fill] (0, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0,1) {$11$};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1,1) {$12$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2,1) {$13$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3,1) {$14$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4,1) {$15$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (5,1) {$16$};\n\t\t\t\\draw[fill] (0, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (0, 0) {$21$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1,0) {$22$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2,0) {$23$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$24$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$25$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (5,0) {$26$};\n\t\t\t\\draw (0, 1) -- (1, 1) -- (2, 1);\n\t\t\t\\draw (0, 1) -- (0, 0);\n\t\t\t\\draw (0, 0) -- (1, 1);\n\t\t\t\\draw (1, 0) -- (2, 0);\n\t\t\t\\draw (0, 1) .. controls (1, 1.35) .. (2, 1);\n\t\t\t\\draw (0, 0) .. controls (1, -.35) .. (2, 0);\n\t\t\t\\draw (2, 1) -- (3, 1) -- (4, 1);\n\t\t\t\\draw (2, 0) -- (3, 0) -- (4, 0);\n\t\t\t\\draw (3, 1) .. controls (4, 1.35) .. (5, 1);\n\t\t\t\\draw (2, 0) .. controls (3, -.35) .. (4, 0);\n\t\t\t\\draw (4, 0) -- (5, 0);\n\t\t\t\\draw (3, 1) -- (3, 0);\n\t\t\\end{tikzpicture} \n\t\t\n\t\tAs an another example, consider the following graph $G$ which is generated by the theorem 4.\\\\\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw (3, 0) -- (2, 0) -- (1, 0) -- (1, 1) -- (2, 1) -- (3, 1);\n\t\t\t\\draw (1, 1) -- (3, 0);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw (3, 0) -- (2, 0) -- (1, 0) -- (1, 1) -- (2, 1) -- (3, 1);\n\t\t\t\\draw (1, 0) -- (3, 1);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\\end{tikzpicture}\n\t\t\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G_1 = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (6, 1) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 1) {$16$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw[fill] (6, 0) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 0) {$26$};\n\t\t\t\\draw (3, 0) -- (2, 0) -- (1, 0) -- (1, 1) -- (2, 1) -- (3, 1);\n\t\t\t\\draw (1, 1) -- (3, 0);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\t\\draw (2, 1) .. controls (3, 1.25) .. (4, 1);\n\t\t\t\\draw (4, 1) -- (5, 1);\n\t\t\t\\draw (4, 1) .. controls (5, 1.25) .. (6, 1);\n\t\t\t\\draw (2, 0) .. controls (3.5, -.25) .. (5, 0);\n\t\t\t\\draw (4, 0) -- (5, 0) -- (6, 0);\n\t\t\\end{tikzpicture}\n\t\t\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G^\\tau_1 = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (6, 1) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 1) {$16$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw[fill] (6, 0) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 0) {$26$};\n\t\t\t\\draw (3, 0) -- (2, 0) -- (1, 0) -- (1, 1) -- (2, 1) -- (3, 1);\n\t\t\t\\draw (1, 0) -- (3, 1);\n\t\t\t\\draw (1,1) .. controls (2, 1.25) .. (3, 1);\n\t\t\t\\draw (2, 1) .. controls (3, 1.25) .. (4, 1);\n\t\t\t\\draw (4, 1) -- (5, 1);\n\t\t\t\\draw (4, 1) .. controls (5, 1.25) .. (6, 1);\n\t\t\t\\draw (2, 0) .. controls (3.5, -.25) .. (5, 0);\n\t\t\t\\draw (4, 0) -- (5, 0) -- (6, 0);\n\t\t\\end{tikzpicture}\n\t\\end{example}\n\n\tThe graphs $K$ and $K^\\tau$, depicted in the example \\ref{critical_graphs}, play a key role in all these above constructions. They are subgraphs of all these graphs. But there are graphs which are non-isomorphic and $Q$-cospectral to their partial transpose but do not contain $K$ and $K^\\tau$ as their subgraphs. We construct a class of these graphs in the following procedure.\n\t\n\t\\begin{procedure}\\label{procedure5}\n\t\tLet $G_0$ be isomorphic to its partial transpose $G_0^\\tau$ by the mapping $f: V(G_0) \\rightarrow V(G_0^\\tau)$ defined by $f(v_{1i}) = v_{2i}$ and $f(v_{2i}) = v_{1i}$ for $i = 1, 2, \\dots q$. Also, let the set of partial asymmetry $\\mathcal{A}(G_0) \\neq \\emptyset$. Now add equal number of vertices to both the clusters of $G_0$ and perform any one or more of the following operations:\n\t\t\\begin{enumerate}\n\t\t\t\\item \n\t\t\t\tAdd arbitrary set of edges joining the new vertices within the clusters.\n\t\t\t\\item\n\t\t\t\tConsider a vertex $v_{ik}$ which is not incident to any edge in $\\mathcal{A}(G_0)$. Join $v_{ik}$ with the new vertices with arbitrary edges.\n\t\t\t\\item\n\t\t\t\tNew edges can be included between the new vertices belonging to both clusters such that they form a partially symmetric subgraph.\n\t\t\\end{enumerate} \n\t\tThe new graph $G$, after performing any or more of the above changes on $G_0$, is $Q$-cospectral to its partial transpose.\n\t\\end{procedure}\n\t\n\t\\begin{proof}\n\t\tThis procedure is generalization of theorem \\ref{theorem1} and procedure \\ref{procedure4}. We can compare TIU subgraphs of $G$ and $G^\\tau$ as we have done in theorem \\ref{theorem1}. Also adding new vertices and edges follows procedure \\ref{procedure4}.\n\t\\end{proof}\n\n\t\\begin{example}\n\t\tThe graph $G_0$ is isomorphic to its partial transpose. Note that, structures of TU subgraphs remains unaltered after and before partial transpose. Also, $\\mathcal{A}(G_0) = \\{(v_{12}, v_{23})\\}$.\\\\\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G_0 = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw (1, 1) -- (2, 1) -- (2, 0) -- (1, 0) -- (1, 1);\n\t\t\t\\draw (2, 1) -- (3, 0);\n\t\t\t\\draw (1, 1) .. controls (2, 1.35) .. (3, 1);\n\t\t\t\\draw (1, 0) .. controls (2, -.35) .. (3, 0);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (0, .5) {$G^\\tau_0 = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw (1, 1) -- (2, 1) -- (2, 0) -- (1, 0) -- (1, 1);\n\t\t\t\\draw (2, 0) -- (3, 1);\n\t\t\t\\draw (1, 1) .. controls (2, 1.35) .. (3, 1);\n\t\t\t\\draw (1, 0) .. controls (2, -.35) .. (3, 0);\n\t\t\\end{tikzpicture}\\\\\n\t\tFor simplicity, we add a node to both the clusters. We add $v_{11}$ to the new node in the cluster $C_1$. The new graph $G$ and its partial transpose $G^\\tau$ are non-isomorphic and $Q$-cospectral, which are depicted below:\\\\\n\t\t\\begin{tikzpicture}[scale = 1.25]\n\t\t\t\\node at (0, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw (1, 1) .. controls (2.5, 1. 25) .. (4, 1);\n\t\t\t\\draw (1, 1) -- (2, 1) -- (2, 0) -- (1, 0) -- (1, 1);\n\t\t\t\\draw (2, 1) -- (3, 0);\n\t\t\t\\draw (1, 1) .. controls (2, 1.35) .. (3, 1);\n\t\t\t\\draw (1, 0) .. controls (2, -.35) .. (3, 0);\n\t\t\\end{tikzpicture}\n\t\t\\begin{tikzpicture}[scale = 1.25]\n\t\t\t\\node at (0, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5 pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw (1, 1) .. controls (2.5, 1. 25) .. (4, 1);\n\t\t\t\\draw (1, 1) -- (2, 1) -- (2, 0) -- (1, 0) -- (1, 1);\n\t\t\t\\draw (2, 0) -- (3, 1);\n\t\t\t\\draw (1, 1) .. controls (2, 1.35) .. (3, 1);\n\t\t\t\\draw (1, 0) .. controls (2, -.35) .. (3, 0);\n\t\t\\end{tikzpicture}\\\\\n\t\\end{example}\n\n\t\t\n\t\\section{Problems in future}\n\t\t\n\t\tThe above discussion shows that partial transpose provides an useful tool in generating pair of non-isomorphic $Q$-cospectral graphs. One main challenge in this direction is to find out the vertex labelling such that $G$ and $G^\\tau$ remains cospectral. Interested reader may try to construct non-isomorphic pair of normalised Laplacian cospectral graphs using this method.\n\t\t\n\t\tThere are many other graphs which are $Q$-cospectral to their partial transpose, but do not follow the patterns, which we have discussed in the last two sections. Below we provide some of their examples. Interested readers may construct many such pairs of $Q$-cospectral graphs. Some of them we discuss below:\n\t\t\\begin{enumerate}\n\t\t\t\\item \n\t\t\tThe following graph $G$ is non-isomorphic and $Q$-cospectral to its partial transpose. Removing any or both of the edges $(v_{13}, v_{14})$ and $(v_{23}, v_{24})$ the resultant graph is non-isomorphic and $Q$-cospectral to its partial transpose.\\\\\n\t\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (.5, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (6, 1) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 1) {$16$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw[fill] (6, 0) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 0) {$26$};\n\t\t\t\\draw (1, 1) .. controls (3.5, 1.25) .. (6, 1);\n\t\t\t\\draw (6, 1) -- (1, 1) -- (1, 0) --(6, 0);\n\t\t\t\\draw (1, 1) -- (6, 0);\n\t\t\t\\end{tikzpicture}\n\t\t\t\n\t\t\t\\begin{tikzpicture}[scale = 1.5]\n\t\t\t\\node at (.5, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (6, 1) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 1) {$16$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw[fill] (6, 0) circle [radius  = 1.5pt];\n\t\t\t\\node[below right] at (6, 0) {$26$};\n\t\t\t\\draw (1, 1) .. controls (3.5, 1.25) .. (6, 1);\n\t\t\t\\draw (6, 1) -- (1, 1) -- (1, 0) -- (6, 0);\n\t\t\t\\draw (1, 0) -- (6, 1);\n\t\t\t\\end{tikzpicture}\n\t\t\t\\item\n\t\t\tSimilarly, the graph depicted below is non-isomorphic, $Q$-cospectral to its partial transpose. After removing all the edges $(v_{12}, v_{13}), (v_{13}, v_{14}), (v_{22}, v_{23})$ and $(v_{23}, v_{24})$ the new graphs are non-isomorphic, $Q$-cospectral to their partial transpose. Note that, removing less than four of those edges do not generate such pairs.\\\\\n\t\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (.5, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw (1, 1) .. controls (3, 1.25) .. (5, 1);\n\t\t\t\\draw (5, 1) -- (1, 1) -- (1, 0) --(5, 0);\n\t\t\t\\draw (1, 1) -- (5, 0);\n\t\t\t\\end{tikzpicture}\n\t\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (.5, .5) {$G^\\tau = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (5, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 1) {$15$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw[fill] (5, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (5, 0) {$25$};\n\t\t\t\\draw (1, 1) .. controls (3, 1.25) .. (5, 1);\n\t\t\t\\draw (5, 1) -- (1, 1) -- (1, 0) -- (5, 0);\n\t\t\t\\draw (1, 0) -- (5, 1);\n\t\t\t\\end{tikzpicture}\n\t\t\t\\item\n\t\t\tThe following pairs of graphs are also non-isomorphic and $Q$-cospectral determined by partial transpose.\\\\\n\t\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (.5, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw (1, 1) .. controls (2, 1.25) .. (3, 1);\n\t\t\t\\draw (3, 1) -- (1, 1) -- (1, 0);\n\t\t\t\\draw (1, 1) -- (2, 0);\n\t\t\t\\draw (1, 1) -- (3, 0);\n\t\t\t\\draw (3, 0) -- (4, 0);\n\t\t\t\\draw (1, 0) .. controls (2.5, -.5) .. (4, 0);\n\t\t\t\\draw (2, 0) .. controls (3, -.25) .. (4, 0);\n\t\t\t\\end{tikzpicture}\n\t\t\t\\begin{tikzpicture}[scale = 1]\n\t\t\t\\node at (.5, .5) {$G = $};\n\t\t\t\\draw[fill] (1, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 1) {$11$};\n\t\t\t\\draw[fill] (2, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 1) {$12$};\n\t\t\t\\draw[fill] (3, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 1) {$13$};\n\t\t\t\\draw[fill] (4, 1) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 1) {$14$};\n\t\t\t\\draw[fill] (1, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (1, 0) {$21$};\n\t\t\t\\draw[fill] (2, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (2, 0) {$22$};\n\t\t\t\\draw[fill] (3, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (3, 0) {$23$};\n\t\t\t\\draw[fill] (4, 0) circle [radius = 1.5pt];\n\t\t\t\\node[below right] at (4, 0) {$24$};\n\t\t\t\\draw (1, 1) .. controls (2, 1.25) .. (3, 1);\n\t\t\t\\draw (3, 1) -- (1, 1) -- (1, 0);\n\t\t\t\\draw (1, 0) -- (2, 1);\n\t\t\t\\draw (1, 0) -- (3, 1);\n\t\t\t\\draw (3, 0) -- (4, 0);\n\t\t\t\\draw (1, 0) .. controls (2.5, -.5) .. (4, 0);\n\t\t\t\\draw (2, 0) .. controls (3, -.25) .. (4, 0);\n\t\t\t\\end{tikzpicture}\n\t\t\\end{enumerate}\n\t\n\t\n\t\\section*{Acknowledgement}\n\t\t\n\t\tThe author is thankful to Dr. Bibhas Adhikari, and Prof. Ravindra B. Bapat for a number of discussions.\n\t\t\n\n\t","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n  The Loewner equation was introduced by Charles Loewner in $1923$ in and it was one of the important ingredients in the proof of the Bieberbach Conjecture that was done by Louis de Branges, years later in $1985$.\nIn $2000$, Oded Schramm introduced a stochastic version of the Loewner equation. The stochastic version of the Loewner evolution, i.e. the Schramm-Loewner evolution, $SLE_\\kappa$, generates a one parameter family of random fractal curves that are proved to describe scaling limits of a number of discrete models that appear in two-dimensional statistical physics.\nFor example, in ([17], $Sec.\\;1.1$) it is shown that the scaling limit of loop erased random walk, with the loops erased in a chronological order, converges in the scaling limit to $SLE_{\\kappa}$ with  $\\kappa = 2$. Moreover, other two dimensional discrete models from statistical mechanics including Ising model cluster boundaries, Gaussian free field interfaces, percolation on the triangular lattice at critical probability, and uniform spanning trees were proved to converge in the scaling limit to $SLE_{\\kappa}$ for values of $\\kappa=3$, $\\kappa=4$, $\\kappa=6$, and $\\kappa=8$ respectively in the series of works [20], [21], [22], [23]. \\par\n\nThere are various versions of Loewner equations. One of them is the forward Loewner equations defined in the upper half-plane $\\mathbb{H}$ and a fixed time interval $[0,T]$ \n\\begin{equation}\n\\partial_t g_t(z)=\\frac{2}{g_t(z)-\\lambda(t)},\n\\end{equation} \nwith the initial condition $g_0(z)=z,\\;\\text{for all}\\;z\\in\\mathbb{H}$ and the continuous driving force $\\lambda:[0,T]\\to\\mathbb{R}$.\n\n \nThe family of maps $(g_t)_{0\\leq t\\leq T}$ is called the forward Loewner chain. For all $z\\in\\mathbb{H}$, the solution of the above forward Loewner equation is uniquely defined up to $T_z=\\inf\\{t\\geq0,\\,g_t(z)=\\lambda(t)\\}$. Over time, the hulls, that is the sets $K_t=\\{z\\in\\mathbb{H},\\,T_z\\leq t\\}$ grow. It is also known that for all $t\\in[0,T],$ there is a unique conformal map $\\,g_t:\\mathbb{H}\\backslash K_t\\to\\mathbb{H}$ satisfying the hydrodynamic normalization\n\\begin{equation}\n\\lim\\limits_{z\\to\\infty}[g_t(z)-z]=0.\n\\end{equation}\nWe study $(g_t)_{0\\leq t\\leq T}$ parametrized by upper half-plane capacity \n\\begin{equation}\ng_t(z)=z+\\frac{2t}{z}+o(1\/\\abs{z}),\\;\\textit{as}\\;\\abs{z}\\to\\infty,\n\\end{equation}\nwhere by ([1], $Lem.\\;4.1$), the coefficient of the $z$-term is $1$ and each coefficient $a_k$ of the term $z^{-k},\\;k\\in\\mathbb{N}_+$ is real.\\par\nWe are particularly interested in the case when the Loewner chain $(g_t)_{0\\leq t\\leq T}$ is generated by a curve $\\gamma:[0,T]\\to\\mathbb{H}\\cup\\{\\lambda(T)\\}$. By ([2], $Thm.\\;4.1$), this is equivalent to the existence and continuity in $0<t<T$ of \n\\begin{equation}\n\\gamma(t)=\\lim\\limits_{\\epsilon\\to 0^+}g_t^{-1}(\\lambda(t)+i\\epsilon).    \n\\end{equation}\nThen, for each $t \\in [0, T].$ the domain of the map $g_t(z)$ is the unbounded component of $\\mathbb{H}\\backslash\\gamma([0,t])$.\n\nThroughout our paper, we work with stochastic Loewner chains and for this we introduce a standard probability space $(\\Omega,\\mathcal{F},\\mathbb{P})$, where the Brownian motion is defined. Furthermore,  for $\\kappa \\in \\mathbb{R}_+$, we consider the forward  Loewner chain driven by Brownian motion $\\sqrt{\\kappa}B_t,\\;\\text{with}\\;t\\in[0,1]$\n\\begin{equation}\n\\partial_t g_t(z)=\\frac{2}{g_t(z)-\\sqrt{\\kappa}B_t},\n\\end{equation} \nwith $g_0(z)=z.$ It was shown in ([2] $Sec.\\;5$ for $\\kappa \\neq 8,$ and in [23] for $\\kappa=8$) that the Loewner chains driven by Brownian motion are generated by a trace, that is, the following limit exists and is continuous in time a.s.\n\\begin{equation}\n\\gamma(t)=\\lim\\limits_{y\\to0^+}g_t^{-1}(\\sqrt{\\kappa}B_t+iy)=\\lim\\limits_{y\\to0^+}\\widehat{g}_t^{-1}(iy).\n\\end{equation}  \nWe call $\\gamma(t)$ the $SLE_{\\kappa}$ trace.\n\n\n\n  Throughout the proof we will use the backward Loewner equation which is related to the forward version $Eqn.\\;(1.1)$ and admits the form\n    \\begin{equation}\n        \\partial_th_t(z)=\\frac{-2}{h_t(z)-\\sqrt{\\kappa}(B_{1-t}-B_1)},\n    \\end{equation}\n    with $h_0(z)=z$ for all $z\\in\\mathbb{H}$. This backward Loewner equation generates a curve $\\eta:[0,1]\\to\\overline{\\mathbb{H}}$. Notice that $g_t(z)$ and $h_t(z)$ are both driven by Brownian motions with different time directions. In fact, there is a correspondence ([13], $Sec.\\;1.1$) between the two evolutions. The random set $\\eta([0,1])$ has the same law as the chordal $SLE_\\kappa$ trace $\\gamma([0,1])$ modulo a real scalar shift $\\sqrt{\\kappa}B_{T=1}(\\omega)$ for $\\omega\\in\\Omega$. For convenience, we call $\\eta(t)$ the shifted Loewner curve. We will simulate the Loewner curve $\\eta(t)$ instead of $\\gamma(t)$ for convenience, since the former curve preserves statistical properties of the latter curve.\\par\n    \nIn the last years, results on numerical schemes to approximate the $SLE_\\kappa$ traces, along with mathematical proofs of their convergence, appeared in the body of literature on the topic. For example, V. Beffara used a Euler Scheme to produce approximations of the $SLE_\\kappa$ hulls. For other methods of approximations of the SLE traces, we refer the reader to [3],[11],[18],[19].\n\n \nIn this paper, we study two schemes to simulate the SLE trace and we provide theoretical bounds of their convergence. The first one is the Ninomiya-Victoir and the second one is obtained from the linear-interpolation of the Brownian driver. The Ninomiya-Victoir Splitting Scheme in the context of simulations of the SLE traces was first considered in [3]. The Ninomiya-Victoir scheme is important when one is interested in the weak convergence of the approximations. For a step-size $h>0$, the Ninomiya-Victoir is known to achieve $O(h^2)$ weak convergence rate. To the best of our knowledge, the previous approximations of the SLE trace have not been shown to have such high order weak convergence. We believe that the Ninomiya-Victoir scheme is the first high order numerical method\nthat is applied in the context of simulating SLE traces. Furthermore, it was shown in [3] that this method preserves the second moment of the backward Loewner dynamics. Following [3], examples code for this method can be found at github.com\/james-m-foster\/sle-simulation\n\nThe paper is divided in several sections, the first one being the introduction. In the second section we introduce the Ninomiya-Victoir Splitting Scheme. In the third section we prove the strong convergence in probability of the Ninomiya-Victoir Splitting Scheme, and in the next section, we show the $L^p$ convergence of this scheme under a set of assumptions. In the last section, we discuss the linear-interpolation of the Brownian driver approximation scheme.\n\n\n\\textbf{Acknowledgements}\nWe would like to acknowledge Lukas Schoug from the University of Cambridge for his valuable comments and for reading preliminary versions of the manuscript. VM  acknowledges the support of the NYU-ECNU Mathematical Institute at NYU Shanghai. \n\n\\section{Ninomiya-Victoir Splitting Scheme}\nIn this section, we introduce the Ninomiya-Victoir Splitting Scheme. Before that, we will rephrase the forward and backward Loewner evolutions in a convenient manner. If we set $\\widehat{g}_t(z)\\coloneqq g_t(z)-\\sqrt{\\kappa}B_t\\;\\text{for all}\\;\\in\\mathbb{H}\\backslash K_t$, then the forward Loewner chain driven by Brownian motion can be rewritten as\n\\begin{equation}\\begin{aligned}\nd\\widehat{g}_t(z) &=\\frac{2}{\\widehat{g}_t(z)}dt-\\sqrt{\\kappa}dB_t,\\\\\n\\widehat{g}_0(z) &=z,\n\\end{aligned}\\end{equation}\nwith $z\\in\\mathbb{H}\\backslash K_t$.\n\n Moreover, let us consider $Z_t(z):=h_t(z)-\\sqrt{\\kappa}B_t$, for all $z\\in\\mathbb{H}$ (see [3], $Eqn.\\;6.5$). Then, the backward Loewner differential equation driven by Brownian motion can be rewritten as\n\\begin{equation}\\begin{aligned}\\label{2.5}\ndZ_t&=-\\frac{2}{Z_t}dt+\\sqrt{\\kappa}dB_t,\\\\\nZ_0&=iy,\n\\end{aligned}\\end{equation}\nFor the initial condition, we consider $y>0$ to be taken sufficiently small.\n\nWe are now ready to introduce the Ninomiya-Victoir Scheme.\n\n\\begin{definition}{\\textbf{Ninomiya-Victoir Scheme}}\\\\\nConsider $n$-dimensional SDE on $\\mathbb{R}_+$ with the form\n\\begin{equation}\\begin{aligned}\ndW_t&=L_0(W_t)dt+L_1(W_t)dB_t,\\\\\nW_0&=\\xi,\n\\end{aligned}\\end{equation}\nwhere $\\xi\\in\\mathbb{R}^n$ and $L_i:\\mathbb{R}^n\\to\\mathbb{R}^n$ are smooth vector fields. For all $t\\in\\mathbb{R}_+$ and $x\\in\\mathbb{R}^n$, let the flow $\\exp(tL_i)x,\\,i=1,2$, denote the unique solution at time $u=1$ to the ODE\n\\begin{equation}\\begin{aligned}\n\\frac{dy}{du}&=tL_i(y),\\\\\ny(0)&=x.\n\\end{aligned}\\end{equation}\nFor a fixed iteration step $n\\in\\mathbb{N}$, we choose an arbitrary, possibly non-uniform, partition $\\{t_0=0,t_1,\\ldots,t_n=1\\}$ with step-size $h_k=t_{k+1}-t_k$. We approximate a numerical solution $\\{\\widetilde{W}_{t_k}\\}_{0\\leq k\\leq n}$ in the sense that $\\widetilde{W}_0=\\xi$ and \n\\begin{equation}\n\\widetilde{W}_{t_{k+1}}=\\exp(\\frac{1}{2}h_kL_0)\\exp\\bigg(B_{t_k,t_{k+1}}L_1\\bigg)\\exp(\\frac{1}{2}h_kL_0)\\widetilde{W}_{t_k},\n\\end{equation}\nfor all $k=0,1,\\ldots,n$ and where $B_{t_k,t_{k+1}}$ is the abbreviation for $B_{t_{k+1}}-B_{t_k}$. In fact, the approximation $\\{\\widetilde{W}_{t_k}\\}_{0\\leq k\\leq n}$ enjoys an integral form between every two discretization points\n\\begin{equation}\n\\widetilde{W}_t=\\xi+\\frac{1}{2}\\displaystyle\\int_0^tL_0(\\widetilde{W}_s^{(2)})ds+\\int_0^tL_1(\\widetilde{W}_s^{(1)})dB_s+\\frac{1}{2}\\int_0^tL_0(\\widetilde{W}_s^{(0)})ds,  \n\\end{equation}\nwhere the above three discretization processes defined on each time interval $[t_k,t_{k+1}]$ admit the form\n\\begin{equation}\\begin{aligned}\n\\widetilde{W}^{(0)}_t&\\coloneqq\\exp(\\frac{1}{2}(t-t_k)L_0)\\widetilde{W}_{t_k},\\\\\n\\widetilde{W}^{(1)}_t&\\coloneqq\\exp\\bigg(B_{t_k,t}L_1\\bigg)\\widetilde{W}^{(0)}_{t_{k+1}},\\\\\n\\widetilde{W}^{(2)}_t&\\coloneqq\\exp(\\frac{1}{2}(t-t_k)L_0)\\widetilde{W}^{(1)}_{t_{k+1}}.\n\\end{aligned}\\end{equation}\n\\end{definition}\nLooking back at our backward Loewner equation, we write $L_0(z)=-2\/z\\;\\text{and}\\;L_1(z)=\\sqrt{\\kappa}$. Hence, by ([3], $Thm.\\;6.2\n$) the following form is immediate\n\\begin{equation}\\begin{aligned}\n\\exp(tL_0)z&=\\sqrt{z^2-4t},\\\\\n\\exp(tL_1)z&=z+\\sqrt{\\kappa}t.\n\\end{aligned}\\end{equation}\\par\nGiven the above arbitrary partition $\\{t_0=0,t_1,\\ldots,t_n=1\\}$, we could formulate an approximated solution $\\{\\widetilde{Z}_{t_k(t)}\\}_{0\\leq k\\leq n}$ via the Ninomiya-Victoir Splitting Scheme\n\\begin{equation}\n\\widetilde{Z}_{t_{k+1}}\\coloneqq\\sqrt{\\bigg(\\sqrt{\\widetilde{Z}_{t_k}^2-2{h_k}}+\\sqrt{\\kappa}B_{t_k,t_{k+1}}\\bigg)^2-2h_k}\\,,\n\\end{equation}\nwith the initial value $\\widetilde{Z}_0=iy$ specified at each $n^{th}$ iteration.\n\n\\section{Strong convergence in probability}\n\n \nIn the following, we use $\\norm{\\cdot}_{[0,1],\\infty}$ for the sup-norm on the interval $[0,1].$ In addition, we use $||\\cdot||$ to denote the mesh size of our partition of the time interval.\nIn this section we give a strong convergence in probability to the decay rate of the $\\norm{\\cdot}_{[0,1],\\infty}$ norm (\\textit{i.e. supremum norm}) between the original Loewner curve and our scheme. \n\n\n\n\n\\begin{definition}\n    Let $Z_t(iy_n)$ be the solution to $Eqn.\\;(1.5)$ started from $iy_n\\in\\mathbb{H}$, and $\\widetilde{Z}_t(iy_n)$ be its approximation following Ninomiya-Victoir Scheme, and let $\\eta(t)$ be the shifted Loewner curve defined before.\n\\end{definition}\n\n\n\n\nNotice that at each iteration step $n\\in\\mathbb{N}$, we specify an initial condition $y\\in\\mathbb{R}_+$ and let the approximated sample paths $(\\widetilde{Z}_t(iy))_{0\\leq t\\leq1}$ evolve according to the backward Loewner equation $(1.5)$. To ensure a $\\norm{\\cdot}_{[0,1],\\infty}$ convergence result, we do not only require the mesh of the partition tends to $0$, but also choose a sequence $\\{y_n\\}\\subset\\mathbb{R}_+$ so that $y_n\\to0^+$ strictly monotonically.\n\\begin{remark}\nNotice that we cannot let $y_n\\equiv y$ for some $y>0$, otherwise the convergence pattern breaks down and hence strict monotonicity of $\\{y_n\\}$ is necessary. On the other hand, the decay rate of $\\{y_n\\}$ should not be too fast to destroy the probability inequality w.r.t. the $\\norm{\\cdot}_{[0,1],\\infty}$ norm, which we will see in the following context.\n\\end{remark}\nIn this section, we manually set $y_n=n^{-1\/2}\\;\\text{for all}\\;n\\in\\mathbb{N}$. This choice of $\\{y_n\\}$ actually satisfies the requirements in the above $Rmk.\\;3.2$ for the initial conditions. We consider $\\mathcal{D}_n$ to be a uniform partition of $[0,1]$ with mesh-size $||\\mathcal{D}_n||.$\n\\begin{definition}\nFor all $t\\in[0,1]$, given an arbitrary uniform partition $\\mathcal{D}_n$, we define $\\{t_k(t),t_{k+1}(t)\\}\\subset\\mathcal{D}_n$ to be the neighboring two points in the partition $\\mathcal{D}_n$ between which $t$ resides, \\textit{i.e.} $t_k(t)\\leq t<t_{k+1}(t)$. \n\n\\end{definition}\nWe emphasize that the index $k$ is changing as the parameter $t$ evolves in the time interval. We preferred this notation to make it close to the notation used in the definition of the splitting scheme. \n\nWe are now reaching our main object: an upper bound for the probability of $\\norm{\\cdot}_{[0,1],\\infty}$ norm of $(\\eta(t)-\\widetilde{Z}_t(iy_n))_{0\\leq t\\leq1}$ to be small in the sense given by the following theorem.\n\\begin{theorem}\nLet $\\eta(t)$ be the backward SLE trace for $\\kappa \\neq 8$.\nThere exist two non-increasing functions $\\varphi_i:\\mathbb{Z}_+\\to\\mathbb{R}_+$ such that $\\lim_{n\\to\\infty}\\varphi_i(n)=0^+\\;\\text{with}\\;i=1,2$. If the mesh $||D_n||\\to0^+$ with $n\\to\\infty$, faster than a proper rate  $||D_n||=o(n^{-3})$, then\n\\begin{equation}\n\\mathbb{P}\\bigg(\\norm{\\eta(t)-\\widetilde{Z}_t(iy_n)}_{[0,1],\\infty}\\leq\\varphi_1(n)\\bigg)\\geq1-\\varphi_2(n).\n\\end{equation}\n\\end{theorem}\n\\noindent\nTo prove this theorem, we use\n\\begin{subequations}\n\\begin{equation}\\begin{aligned}\n    &\\abs{Z_t(iy_n)-\\widetilde{Z}_t(iy_n)}\\leq\\abs{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}\\\\&\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;+\\abs{Z_{t_k(t)}(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}+\\abs{\\widetilde{Z}_{t_k(t)}(iy_n)-\\widetilde{Z}_t(iy_n)},\n\\end{aligned}\\end{equation}\nin order to estimate\n\\begin{equation}\n\\abs{\\eta(t)-\\widetilde{Z}_t(iy_n)}\\leq\\abs{\\eta(t)-Z_t(iy_n)}+\\abs{Z_t(iy_n)-\\widetilde{Z}_t(iy_n)}.\\;\\;\\:\\:\n\\end{equation}\n\\end{subequations}\nThe $Ineq.\\;(3.2a)$ follows from the lemma below.\n\\begin{lemma}{{\\rm ([4], $Thm.\\;3.4.2$)}}\nThere exist $c_1,c_2>0$ such that if we consider the event\n\\begin{equation}\n    E_{n,1}^\\prime\\coloneqq\\bigg\\{\\text{osc}(\\sqrt{\\kappa}B_t,\\frac{1}{n})\\leq c_1\\sqrt{\\frac{\\log(n)}{n}}\\:\\bigg\\},\n\\end{equation}\nthen we have \n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,1}^\\prime\\big)\\geq1-\\frac{c_2}{n^2}.\n\\end{equation}\n\\end{lemma}\n\\begin{lemma}{{\\rm ([11], $Eqn.\\;21.$)}}\nThere exist $c_3,c_4>0\\;\\text{and}\\;\\beta_1\\in(0,1)$ such that if we consider the event \n\\begin{equation}\n    E_{n,1}^{\\prime\\prime}\\coloneqq\\bigg\\{\\abs{\\partial_z\\widehat{g}_t^{-1}(iv)}\\leq c_3\\cdot v^{-\\beta_1}\\;\\text{for all}\\;t\\in[0,1]\\;\\text{and}\\;v\\in[0,\\frac{1}{\\sqrt{n}}]\\bigg\\},\n\\end{equation}\nthen we have\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,1}^{\\prime\\prime}\\big)\\geq1-\\frac{c_4}{n^{c_3\/2}}.\n\\end{equation}\n\\end{lemma}\\noindent\nWe have an estimate to the first term to $Ineq.\\;(3.2a)$ with the form\n\\begin{equation}\\begin{aligned}\n    \\abs{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}&\\leq\\abs{Z_t(iy_n)-\\eta(t)}+\\abs{Z_{t_k(t)}(iy_n)-\\eta\\big(t_k(t)\\big)}\\\\&\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;\\;+\\abs{\\eta(t)-\\eta\\big(t_k(t)\\big)}.\n\\end{aligned}\\end{equation}\n\\noindent\nTo proceed our discussion, we remind our readers of the following definition.\n\\begin{definition}\nA continuous function $\\phi:\\mathbb{R}_+\\to\\mathbb{R}_+$ is called a subpower function if it is non-decreasing and satisfies\n\\begin{equation}\n    \\lim\\limits_{x\\to\\infty}x^{-\\nu}\\phi(x)=0,\\;\\text{for all}\\;\\nu>0.\n\\end{equation}\n\\end{definition}\n\\begin{remark}\nA typical subpower function is $\\phi(x)=(\\log x)^\\alpha,\\;\\text{for real}\\;\\alpha>0$.\n\\end{remark}\n\\noindent\nWith the notion of a subpower function, we have the following result.\n\\begin{proposition}\nLet $\\beta_1 \\in (0,1)$. There exists a subpower function $\\phi:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that if we consider the event\n\\begin{equation}\n    E_{n,1}^*\\coloneqq\\bigg\\{\\norm{\\eta(t)-\\eta\\big(t_k(t)\\big)}_{[0,1],\\infty}\\leq\\frac{2\\phi(\\sqrt{n})}{(1-\\beta_1)n^{(1-\\beta_1)\/2}}\\bigg\\},\n\\end{equation}\nand if $||\\mathcal{D}_n||\\leq n^{-1}$, then\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,1}^*\\big)\\geq1-\\frac{c_2}{n^2}-\\frac{c_4}{n^{c_3\/2}}.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\nIn the proof we omit the bracket in $t_k(t)$ and simply write this term as $t_k$, which will be clear from the context. In the proof, we follow the statement in ([11], $Lem.\\;2.5$) with some obvious changes of notations. Since $\\eta([0,1])$ has identical distribution to $\\gamma([0,1])$ modulo a scalar shift $\\sqrt{\\kappa}B_1$, it is immediate that $\\mathbb{P}\\big(E_{n,1}^*\\big)$ is equal to the probability of the event with an expression which we substitute $\\gamma(t)$ (\\textit{resp.} $\\gamma\\big(t_k(t)\\big)$) into $\\eta(t)$ (\\textit{resp.} $\\eta\\big(t_k(t)\\big)$). By ([11], $Lem.\\;2.5$) there exists a subpower function $\\phi:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that, on the event $E_{n,1}^\\prime\\cap E_{n,1}^{\\prime\\prime}\\subset\\Omega$, provided $0\\leq t-t_k(t)\\leq n^{-1}\\;\\text{for all}\\;t\\in[0,1]$, we have\n\\begin{equation}\\begin{aligned}\n    \\abs{\\gamma(t)-\\gamma(t_k(t))}&\\leq\\phi(\\sqrt{n})\\bigg(\\int_0^{n^{-1\/2}}\\abs{\\partial_z\\widehat{g}_t^{-1}(ir)}dr+\\int_0^{n^{-1\/2}}\\abs{\\partial_z\\widehat{g}_t^{-1}(ir)}dr\\bigg)\\\\&\\leq\\phi(\\sqrt{n})\\cdot\\frac{2}{1-\\beta_1}n^{-(1-\\beta_1)\/2},\n\\end{aligned}\\end{equation}\nwhere $\\beta_1 \\in (0,1).$\nHence $\\mathbb{P}\\big(E_{n,1}^*\\big)\\geq\\mathbb{P}\\big(E_{n,1}^\\prime\\cap E_{n,1}^{\\prime\\prime}\\big)$ and the conclusion follows.\n\\end{proof}\n\\noindent\nTo finish the evaluation of $Eqn.\\;(3.7)$ and then finishing the first term in $Ineq.\\;(3.2a)$, we have the following result\n\\begin{proposition}\nLet $\\epsilon_0\\in(0,1)$. If we choose $M_n=n^{(1-\\epsilon_0)\/4}$ and consider the event\n\\begin{equation}\n    E_{n,1}^{**}\\coloneqq\\bigg\\{\\norm{Z_t(iy_n)-\\eta(t)}_{[0,1],\\infty}\\leq M_n\\cdot y_n^{1-\\epsilon_0}=\\frac{1}{n^{(1-\\epsilon_0)\/4}}\\bigg\\},\n\\end{equation}\nthen there exists $\\epsilon_n\\to0^+$ monotonically such that\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,1}^{**}\\big)\\geq1-\\epsilon_n.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\nIt is stated in ([3], $Lem.\\;6.7$) that there exists $\\epsilon_0\\in(0,1)$ so that \\textit{almost surely}, we have\n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\eta(t)}\\leq C_1^\\prime(\\omega)\\cdot y_n^{1-\\epsilon_0},\n\\end{equation}\nwhere $C_1^\\prime(\\omega)$ is \\textit{almost surely} finite. Guaranteed with the existence of at least one $C_1^\\prime(\\omega)\\in\\mathbb{R}_+$ for almost all $\\omega\\in\\Omega$, we define the collection $\\mathcal{A}(\\omega)\\subset\\mathbb{R}_+$ for those $\\omega\\in\\Omega$ with which there exists at least one $C_1^\\prime(\\omega)$ satisfying $Ineq.\\;(3.14)$. Notice that the collection $\\mathcal{A}(\\omega)$ is defined except for a \\textit{measure-zero} event. The well-ordering principle tells us that $\\mathcal{A}(\\omega)$ has a lower bound. Hence it is legitimate to define \n\\begin{equation}\n    C_1(\\omega)\\coloneqq\\inf\\mathcal{A}(\\omega),\n\\end{equation}\n\\noindent\nwhich is \\textit{almost surely} defined. Hence, we could simply assume $C(\\omega)$ exists and is finite everywhere via subtracting a \\textit{measure-zero} event from $\\Omega$. With our choice of $M_n\\to\\infty$, there exists $\\epsilon_n\\in[0,1]$ with $\\epsilon_n\\coloneqq\\min\\{\\epsilon_1,\\ldots,\\epsilon_{n-1},\\mathbb{P}\\big(\\big(E_{n,1}^{**}\\big)^c\\big)\\}$ such that\n\\begin{equation}\n    \\mathbb{P}\\bigg(\\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\eta(t)}\\leq M_n\\cdot y_n^{1-\\epsilon_0}\\bigg)\\geq1-\\epsilon_n.\n\\end{equation}\nOn the event $E_{n,1}^{**}\\subset\\Omega$, we know then\n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\eta(t)}\\leq C_1(\\omega)\\cdot y_n^{1-\\epsilon_0}\\;\\text{and}\\;\\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\eta(t)}\\leq M_n\\cdot y_n^{1-\\epsilon_0}.\n\\end{equation}\nBy the definition of $C_1(\\omega)$, it is then clear that on the event $E_{n,1}^{**}$, we have\n\\begin{equation}\n    C_1(\\omega)\\leq M_n.\n\\end{equation}\nHence, on the event $E_{n,1}^{**}$, it is immediate that \n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_{n+1})-\\eta(t)}\\leq C_1(\\omega)\\cdot y_{n+1}^{1-\\epsilon_0}\\leq M_n\\cdot y_{n+1}^{1-\\epsilon_0}\\leq M_{n+1}\\cdot y_{n+1}^{1-\\epsilon_0}.\n\\end{equation}\nHence the event $E_{n+1,1}^{**}$ occurs and \n\\begin{equation}\n    \\mathbb{P}\\big(E_{n+1,1}^{**}\\big)\\geq\\mathbb{P}\\big(E_{n,1}^{**}\\big),\n\\end{equation}\nwhich justifies our choice of definition of $\\epsilon_n$, from which the monotonicity of $\\{\\epsilon_n\\}\\subset\\mathbb{R}_+$ is easily seen. To show that $\\epsilon_n\\to0^+$, we notice that $C_1(\\omega)$ is \\textit{almost surely} finite. Suppose $\\epsilon_n\\to\\sigma>0$. Then with probability $\\sigma$, the constant $C_1(\\omega)$ is greater than any $M_n,\\;n\\in\\mathbb{N}_+$. Since $M_n\\to\\infty$, we are forced to conclude that $C_1(\\omega)=\\infty$ with positive probability, which is impossible.\n\\end{proof}\nWe have now discussed every term in $Eqn.\\;(3.7)$, it is time to finalize the estimate of the first term in $Ineq.\\;(3.2a)$.\n\\begin{proposition}\nLet $\\beta_1 \\in (0,1)$. Given the assumptions that $||\\mathcal{D}_n||\\leq n^{-1}$ and $y_n=n^{-1\/2}$, if we define the event\n\\begin{equation}\n    E_{n,1}\\coloneqq\\bigg\\{\\norm{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}_{[0,1],\\infty}\\leq\\frac{2\\phi(\\sqrt{n})}{(1-\\beta_1)n^{(1-\\beta_1)\/2}}+\\frac{2}{n^{(1-\\epsilon_0)\/4}}\\bigg\\},\n\\end{equation}\nthen the following inequality holds\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,1}\\big)\\geq1-\\frac{c_2}{n^2}-\\frac{c_4}{n^{c_3\/2}}-2\\epsilon_n.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\n On the event $E_{n,1}^*\\cap E_{n,1}^{**}$, we know that for $\\beta_1 \\in (0,1)$, we have\n \\begin{equation}\\begin{aligned}\n     \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\eta(t)}&\\leq\\frac{1}{n^{(1-\\epsilon_0)\/4}},\\\\\n     \\sup\\limits_{t\\in[0,1]}\\abs{\\eta(t)-\\eta\\big(t_k(t)\\big)}&\\leq\\frac{2\\phi(\\sqrt{n})}{(1-\\beta_1)n^{(1-\\beta_1)\/2}}.\n \\end{aligned}\\end{equation}\n Looking back to $Eqn.\\;(3.7)$, we see $\\mathbb{P}\\big(E_{n,1}\\big)\\geq\\mathbb{P}\\big(E_{n,1}^*\\cap E_{n,1}^{**}\\big)\\geq1-c_2n^{-2}-c_4n^{-c_3\/2}-2\\epsilon_n$.\n\\end{proof}\nHence we have estimated the $\\norm{\\cdot}_{[0,1],\\infty}$ norm of the first term in $Ineq.\\;(3.2a)$. This is in fact the most complicated term among these three terms. Next, we will estimate the $\\norm{\\cdot}_{[0,1],\\infty}$ norm of the second term.\\par\nInspecting $Eqn.\\;(2.9)$, we observe that the evolution $\\widetilde{Z}_{t_{k}}\\mapsto\\widetilde{Z}_{t_{k+1}}$ resembles a Loewner map driven by constant forces on the sub-interval $[t_k,t_{k+1}]$. In fact, this is the case. We are going to split the total time interval $[0,1]$ into time sub-intervals $[t_k,t_{k+1}]$. On each time sub-interval, the evolution $\\widetilde{Z}_{t_{k}}\\mapsto\\widetilde{Z}_{t_{k+1}}$ is a composition of\ntwo local backward Loewner maps driven by constant forces with an intermediate parallel translation.\\par\n\\begin{lemma}{{\\rm ([10], $Sec.\\;2.$)}}\nGiven a constant driving force $t\\mapsto A$ on the time interval $[0,T]$, the forward Loewner chain admits the form\n\\begin{equation}\n    g_t(z)=A+\\big[(z-A)^2+4t\\big]^\\frac{1}{2}.\n\\end{equation}\nAnd this forward Loewner chain induces a time-reversed (\\textit{i.e.} backward) Loewner chain at the final moment $t=T$ with the form\n\\begin{equation}\n    h_T(z)=A+\\big[(z-A)^2-4T\\big]^\\frac{1}{2}.\n\\end{equation}\n\\begin{proof}\nWe know $g_T(z)\\circ h_T(z)=z$, for all $z\\in\\mathbb{H}$ by ([1], $Lem.\\;4.10$). The result immediately follows.\n\\end{proof}\n\\end{lemma}\n\\begin{lemma}\n    On each time sub-interval $[t_k,t_{k+1}]$, we consider the constant force $t\\mapsto0$ on time interval $[t_k,t_k+\\frac{h_k}{2}]$ and the constant force given by the corresponding value of the Brownian path at the end of the time sub-interval on  $[t_k+\\frac{h_k}{2},t_{k+1}]$. We denote the backward Loewner chain driven by these constant forces as $\\iota_{k,1}^\\prime$ and $\\iota_{k,1}^{\\prime\\prime}$, respectively. Consider the parallel translation $z\\xmapsto{\\iota_{k,2}}z+\\sqrt{\\kappa}B_{t_k,t_{k+1}}$. Then we have the composition\n    \\begin{equation}\n        \\widetilde{Z}_{t_{k+1}}(iy_n)=\\iota_{k,1}^{\\prime\\prime}\\circ\\iota_{k,2}\\circ\\iota_{k,1}^\\prime\\widetilde{Z}_{t_{k}}(iy_n).\n    \\end{equation}\n\\end{lemma}\n\\begin{proof}\nInspect $Eqn\\;(2.9)$ and $Eqn.\\;(3.25)$ and the conclusion follows.\n\\end{proof}\n\nWe have the following proposition.\n\n\\begin{proposition}\nIf we consider the perturbation event\n\\begin{equation}\n    E_{n,2}\\coloneqq\\bigg\\{\\norm{Z_{t_k(t)}(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}_{[0,1],\\infty}\\leq\\frac{1}{\\sqrt{4n+1}}\\bigg\\},\n\\end{equation}\nand if we  further restrict $||\\mathcal{D}_n||\\leq n^{-1}\\wedge (4n+1)^{-3}$, then\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,2}\\big)\\geq1-2e^{-(4n+1)\/\\kappa}.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\n  From $Sec.\\;2.$ we already know $Z_t(iy_n)=h_t(iy_n)-\\sqrt{\\kappa}B_t$. If we further choose $\\widehat{B}_t\\coloneqq B_{1-t}-B_1$, then $Eqn.\\;(2.2)$ can be written as\n  \\begin{equation}\n      \\partial_th_t(z)=\\frac{-2}{h_t(z)-\\sqrt{\\kappa}\\widehat{B}_t},\n  \\end{equation}\n  with $h_0(z)=z$ and where $\\widehat{B}_t$ has the law of a standard Brownian motion. We also comment that our splitting  scheme could be formulated in a similar fashion. Define the driver\n  \\begin{equation}\n      \\widetilde{\\lambda}(t)\\coloneqq0\\cdot\\mathbbm{1}_{[0,\\frac{h_1}{2})}+\\sum\\limits_{k\\geq1}\\sqrt{\\kappa}B_{t_k(t)}\\cdot\\mathbbm{1}_{[t_k(t)-\\frac{h_k}{2},t_k(t)+\\frac{h_k}{2}\\wedge1)}.\n  \\end{equation}\n  The random process $\\widetilde{\\lambda}(t)$ can be viewed as a step-function interpolation to the sample paths of Brownian motion $\\sqrt{\\kappa}B_t$ on $[0,1]$. In this regard, we denote by $\\widetilde{Z}_t^*(iy_n)$ the trajectory driven by the above driver similar to $Z_t(iy_n)$ being driven by $\\sqrt{\\kappa}\\widehat{B}_t$ in the following sense\n  \\begin{equation}\n      \\widetilde{Z}_t^*(iy_n)=\\widetilde{h}_t(iy_n)-\\widetilde{\\lambda}(t),\n  \\end{equation}\n  due to $Lem.\\;3.13$ and where $(\\widetilde{h}_t)_{t\\in[0,1]}$ is a backward Loewner chain constrained by\n  \\begin{equation}\n      \\partial_t\\widetilde{h}_t(z)=\\frac{-2}{\\widetilde{h}_t(z)-\\widehat{\\lambda}_t},\n  \\end{equation}\n  with $\\widetilde{h}_0(z)=z$ and $\\widehat{\\lambda}_t\\coloneqq\\widetilde{\\lambda}(1-t)-\\widetilde{\\lambda}(1)$. The above scheme brings us some consistency to some perturbation term $Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)$. And our first goal is to estimate\n  \\begin{equation}\n      \\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\abs{h_t(iy_n)-\\widetilde{h}_t(iy_n)}+\\abs{\\sqrt{\\kappa}B_t-\\widetilde{\\lambda}(t)}.\n  \\end{equation}\n  Define $\\epsilon\\coloneqq\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_t-\\widetilde{\\lambda}(t)}$, then it follows that\n  \\begin{equation}\n      \\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\abs{h_t(iy_n)-\\widetilde{h}_t(iy_n)}+\\epsilon.\n  \\end{equation}\n  To achieve this goal, we further define $H(t)\\coloneqq h_t(iy_n)-\\widetilde{h}_t(iy_n)$. And we will first estimate $\\abs{H(t)}$. Differentiate $H(t)$ \\textit{w.r.t.} $t\\in[0,1]$ and use $Eqn.\\;(2.2)$ and $Eqn.\\;(3.32)$ to obtain\n  \\begin{equation}\n      \\frac{d}{dt}H(t)-H(t)\\zeta(t)=(\\sqrt{\\kappa}\\widehat{B}_t-\\widehat{\\lambda}_t)\\zeta(t),\n  \\end{equation}\n  where we define $\\zeta(t)\\coloneqq\\big(h_t(iy_n)-\\sqrt{\\kappa}\\widehat{B}_t\\big)^{-1}\\cdot\\big(\\widetilde{h}_t(iy_n)-\\widehat{\\lambda}_t\\big)^{-1}$. Notice that the derivative of $H(t)$ \\textit{w.r.t.} time t is defined except for finitely many points because the driving force $\\widetilde{\\lambda}(t)$ is piecewise continuous. Integrating the above differential equation and choose $u(t)\\coloneqq e^{-\\int_0^t\\zeta(s)ds}$, we find\n  \\begin{equation}\n      H(t)=u(t)^{-1}\\bigg[H(0)-\\int_0^t(\\sqrt{\\kappa}\\widehat{B}_s-\\widehat{\\lambda}_s)u(s)\\zeta(s)ds\\bigg].\n  \\end{equation}\n  Since $H(0)=0$, we obtain\n  \\begin{equation}\n      \\abs{H(t)}\\leq\\int_0^t\\abs{\\sqrt{\\kappa}\\widehat{B}_s-\\widehat{\\lambda}_s}e^{\\int_s^t\\Re\\zeta(r)dr}\\abs{\\zeta(s)}ds.\n  \\end{equation}\n  Then, it is immediate that\n  \\begin{equation}\\begin{aligned}\n      \\abs{h_t(iy_n)-\\widetilde{h}_t(iy_n)}&\\leq\\epsilon\\cdot\\int_0^te^{\\int_s^t\\Re\\zeta(r)dr}\\abs{\\zeta(s)}ds\\\\\n      &\\leq\\epsilon\\cdot\\bigg(e^{\\int_s^t\\abs{\\zeta(r)}dr}-1\\bigg),\n  \\end{aligned}\\end{equation}\n  where the last inequality is due to ([15], $Lem.\\;2.3$) and ([15], $Eqn.\\;2.12$). Now turning attention to $Ineq.\\;(3.34)$, we have \n  \\begin{equation}\n     \\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\abs{h_t(iy_n)-\\widetilde{h}_t(iy_n)}+\\epsilon\\leq\\epsilon\\cdot e^{\\int_s^t\\Re\\zeta(r)dr}.\n \\end{equation}\n Furthermore, ([15], $Eqn.\\;2.12$) tells us that $\\int_0^t\\abs{\\zeta(s)}ds\\leq\\log(\\sqrt{4+y_n^2}\/y_n)$. Consequently, we have\n \\begin{equation}\n     \\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\epsilon\\cdot\\sqrt{4+y_n^2}\/y_n=\\epsilon\\cdot\\sqrt{4n+1}.\n \\end{equation}\n Notice that\n \\begin{equation}\n     \\epsilon=\\sup_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_t-\\widetilde{\\lambda}(t)}\\leq\\bigvee\\limits_{t_k(t)\\in\\mathcal{D}_n}\\sup_{t\\in[0,h_k]}\\sqrt{\\kappa}\\abs{B_t},\n \\end{equation}\nwhere the notation ``$\\vee$\" indicates we take the maximal value over all $t_k(t)\\in\\mathcal{D}_n$. By ([9], $Cor.\\;2.2$), for the supremum Brownian motion $S_t\\coloneqq\\sup\\limits_{0\\leq s\\leq t}B_s$ we have that\n \\begin{equation}\n     \\mathbb{P}\\bigg(S_t\\leq x\\bigg)=2\\Phi\\bigg(\\frac{x}{\\sqrt{t}}\\bigg)-1,\n \\end{equation}\n for all $x\\geq0$ and where $\\frac{d}{dx}\\Phi(x)\\coloneqq e^{-x^2\/2}\/\\sqrt{2\\pi}$ is the density of standard normal variable. It follows from the reflection principle that\n \\begin{equation}\n     \\mathbb{P}\\bigg(\\sup\\limits_{0\\leq t\\leq h_k}\\abs{\\sqrt{\\kappa}B_t}\\geq\\frac{1}{4n+1}\\bigg)=2\\mathbb{P}\\bigg(S_{h_k}\\geq\\frac{1}{\\sqrt{\\kappa}\\cdot(4n+1)}\\bigg)\\leq2\\sqrt{\\frac{2}{\\pi}}e^{-\\frac{(4n+1)^{-2}}{2h_k\\cdot\\kappa}},\n \\end{equation}\n if we restrict  $h_k\\leq n^{-1}\\wedge(4n+1)^{-3}$ for all $t_k(t)\\in\\mathcal{D}_n$. Then\n \\begin{subequations}\n  \\begin{equation}\n     \\bigg\\{\\epsilon>\\frac{1}{4n+1}\\bigg\\}\\subset\\bigcup\\limits_{t_k(t)\\in\\mathcal{D}_n}\\bigg\\{\\sup\\limits_{0\\leq t\\leq\\frac{h_k}{2}}\\abs{\\sqrt{\\kappa}B_t}>\\frac{1}{4n+1}\\bigg\\},\n \\end{equation}\n and we see\n \\begin{equation}\\begin{aligned}\n     \\mathbb{P}\\bigg(\\epsilon>\\frac{1}{4n+1}\\bigg)&\\leq\\sum\\limits_{t_k(t)\\in\\mathcal{D}_n}\\mathbb{P}\\bigg(\\sup\\limits_{0\\leq t\\leq\\frac{h_k}{2}}\\abs{\\sqrt{\\kappa}B_t}>\\frac{1}{4n+1}\\bigg)\\\\\n     &\\leq2(4n+1)^3\\cdot e^{-(4n+1)\/2\\kappa}.\n  \\end{aligned}\\end{equation}\n  \\end{subequations}\n Conditioned on event $\\{\\epsilon>(4n+1)^{-1}\\}^c\\in\\Omega$, following $Ineq.\\;(3.40)$, we have\n \\begin{equation}\n     \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\frac{1}{\\sqrt{4n+1}}.\n \\end{equation}\n Hence, by the strict inclusion of events in probability space, we have our estimate to the perturbation term \n \\begin{subequations}\n \\begin{equation}\n     \\mathbb{P}\\bigg(\\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\widetilde{Z}_t^*(iy_n)}\\leq\\frac{1}{\\sqrt{4n+1}}\\bigg)\\geq1-2(4n+1)^3\\cdot e^{-(4n+1)\/2\\kappa}.\n \\end{equation}\n We further observe that the splitting scheme $\\widetilde{Z}_t(iy_n)$ coincides with the trajectory $\\widetilde{Z}_t^*(iy_n)$ at the times $t_k(t)\\in\\mathcal{D}_n$, by virtue of $Lem.\\;3.13$. Hence we have the desired result\n \\begin{equation}\n     \\mathbb{P}\\big(E_{n,2}\\big)\\geq1-2(4n+1)^3\\cdot e^{-(4n+1)\/2\\kappa}.\n \\end{equation}\n  \\end{subequations}\n\\end{proof}\n\\begin{remark}\nThe perturbation in $Prop.\\;3.14$ in our splitting scheme is estimated via a probabilistic argument using ([15], $Lem.\\;2.2$). Notice that the time-reversed Loewner map $h_t(z)$ is different from the inverse of the forward map $g_t^{-1}(z)$, even though we do have the equality $h_{T=1}(z)=g_{T=1}^{-1}(z)$. In $Sec.\\;5.$ we are going to briefly discuss the linear interpolation of driving force. To prove its convergence, we will need ([15], $Lem.\\;2.2$) again under a different context.\n\\end{remark}\nHence we have estimated the sup-norm on $[0,1]$ of the second term in $Ineq.\\;(3.2a)$. Next, we will estimate the $\\norm{\\cdot}_{[0,1],\\infty}$ norm of the third term. Following $Eqn.\\;(2.8)$ with $L_0(z)=-2\/z\\;\\text{and}\\;L_1(z)=\\sqrt{\\kappa}$, we could explicitly calculate, with $t_k(t)\\leq s<t_{k+1}(t)$\n\\begin{equation}\\begin{aligned}\n\\widetilde{Z}^{(0)}_s&=\\exp\\bigg(\\frac{1}{2}(s-t_k(t))L_0\\bigg)\\widetilde{Z}_{t_k(t)}=\\sqrt{\\widetilde{Z}^2_{t_k(t)}-2(s-t_k(t))},\\\\\n\\widetilde{Z}^{(1)}_s&=\\exp\\bigg(B_{t_k(t),s}L_1\\bigg)\\widetilde{Z}^{(0)}_{t_{k+1}}=\\sqrt{\\widetilde{Z}^2_{t_k(t)}-2h_k}+B_{t_k(t),s},\\\\\n\\widetilde{Z}^{(2)}_s&=\\exp\\bigg(\\frac{1}{2}(s-t_k(t))L_0\\bigg)\\widetilde{Z}^{(1)}_{t_{k+1}}=\\sqrt{\\big(\\widetilde{Z}^{(1)}_{t_{k+1}(t)}\\big)^2-2(s-t_k(t))}, \n\\end{aligned}\\end{equation}\nwhich could be written into the form via solving $Eqn.\\;(2.6)$\n\\begin{subequations}\n\\begin{equation}\\begin{aligned}\n    &\\widetilde{Z}_t(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)\\\\\n    &\\;\\;\\,=\\frac{1}{2}\\int_{t_k(t)}^tL_0(\\widetilde{Z}_s^{(2)})ds+\\int_{t_k(t)}^tL_1(\\widetilde{Z}_s^{(1)})dB_s+\\frac{1}{2}\\int_{t_k(t)}^tL_0(\\widetilde{Z}_s^{(0)})ds,\\\\\n    &\\;\\;\\,=\\int_{t_k}^t\\sqrt{\\kappa}dB_s-\\int_{t_k}^t\\frac{1}{\\sqrt{(\\widetilde{Z}_{t_{k}})^2-2(s-t_k)}}ds-\\int_{t_k}^t\\frac{1}{\\sqrt{\\big(\\widetilde{Z}_{t_{k+1}}^{(1)}\\big)^2-2(s-t_k)}}ds,\n\\end{aligned}\\end{equation}\nwhere $t_k,t_{k+1}$ abbreviates $t_{k}(t),t_{k+1}(t)$ in the above expression, respectively. Solving these integrals, we have\n\\begin{equation}\\begin{aligned}\n    &\\widetilde{Z}_t(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)\\\\\n    &\\,=\\sqrt{\\kappa}B_{t_k(t),t}-\\frac{2(t-t_k(t))}{\\sqrt{\\widetilde{Z}_{t_k(t)}^2-2(t-t_k(t))}+\\widetilde{Z}_{t_k(t)}}\\\\&\\,-\\frac{2(t-t_k)}{\\sqrt{(\\sqrt{\\widetilde{Z}_{t_k}^2-2h_k}+\\sqrt{\\kappa}B_{t_k,t_{k+1}})^2-2(t-t_k)}+\\sqrt{\\widetilde{Z}_{t_k}^2-2h_k}+\\sqrt{\\kappa}B_{t_k,t_{k+1}}}.\n\\end{aligned}\\end{equation}\n\\end{subequations}\n\\noindent\nNotice that $Eqn.\\;(3.48b)$ provides an exact form of the approximated process $\\widetilde{Z}_t$, which leads us to the following result.\n\\begin{proposition} Let $\\kappa \\neq 8.$\nLet us consider the event\n\\begin{equation}\n    E_{n,3}\\coloneqq\\bigg\\{\\norm{\\widetilde{Z}_t(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}_{[0,1],\\infty}\\leq\\frac{2}{n^{1\/2}}+\\frac{1}{n^{1\/4}}\\bigg\\}.\n\\end{equation}\nThen as long as $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$, we have\n\\begin{equation}\n    \\mathbb{P}\\big(E_{n,3}\\big)\\geq1-\\frac{1}{n}-2e^{-\\sqrt{n}\/2\\kappa}.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\n  By ([3], $Sec.\\;6.1$), we have two general results $\\Im(z)\\leq\\Im(\\sqrt{z^2-c})$ and $\\Im(z)=\\Im(z+c)$ for all $z\\in\\mathbb{H}$ and $c\\in\\mathbb{R}$. Applying this two results to $Eqn.\\;(3.48b)$, we have\n  \\begin{equation}\\begin{aligned}\n      \\abs{\\widetilde{Z}_t(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}&\\leq\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}+\\frac{h_k}{\\Im\\widetilde{Z}_{t_k(t)}(iy_n)}+\\frac{h_k}{\\Im\\widetilde{Z}_{t_k(t)}(iy_n)},\\\\\n      &\\leq\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}+\\frac{2h_k}{y_n},\n  \\end{aligned}\\end{equation}\n  where the last inequality follows from ([1], $Lem.\\;4.9$), where it is shown that the map $t\\mapsto\\Im\\widetilde{Z}_t(iy)$ is strictly increasing. Using ([9], $Cor.\\;2.2$), we obtain that\n\\begin{equation}\n    \\mathbb{P}\\bigg(\\sup_{0\\leq t\\leq h_k}\\abs{\\sqrt{\\kappa}B_t}\\geq\\frac{1}{n^{1\/4}}\\bigg)=2\\mathbb{P}\\bigg(S_{h_k}\\geq \\frac{1}{\\sqrt{\\kappa}\\cdot n^{1\/4}}\\bigg)\\leq 2\\sqrt{\\frac{2}{\\pi}}e^{-\\frac{n^{-1\/2}}{2h_k\\cdot\\kappa}},\n\\end{equation}\nby reflection principle. Note that we have restricted $h_k\\leq n^{-1}\\wedge(4n+1)^{-3}$ for all $t_k(t)\\in\\mathcal{D}_n$. In this regard\n  \\begin{equation}\n      \\mathbb{P}\\bigg(\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}\\geq\\frac{1}{n^{1\/4}}\\bigg)\\leq2e^{-\\sqrt{n}\/2\\kappa},\n  \\end{equation}\n  and\n  \\begin{equation}\n      \\mathbb{P}\\big(E_{n,3}\\big)\\geq1-\\frac{1}{n}-2e^{-\\sqrt{n}\/2\\kappa}.\n  \\end{equation}\n\\end{proof}\nAt this point, we have evaluated the $\\norm{\\cdot}_{[0,1],\\infty}$ norm $w.r.t.$ all the three terms in $Ineq.\\;(3.2a)$. Therefore, we come to prove the main result.\n\\begin{proof}{{\\rm (\\textit{of Thm. 3.4})}} Denote $E_{n,4}\\coloneqq E^{**}_{n,1}$. On the event $E_{n,1}\\cap E_{n,2}\\cap E_{n,3}\\cap E_{n,4}\\subset\\Omega$, we observe from $Prop.\\;3.10,\\;Prop.\\;3.11,\\;Prop.\\;3.14,\\;\\text{and}\\;Prop.\\;3.16$ that\n\\begin{equation}\\begin{aligned}\n    &\\norm{\\eta(t)-Z_t(iy_n)}_{[0,1],\\infty}\\leq\\frac{1}{n^{(1-\\epsilon_0)\/4}},\\\\\n    &\\norm{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}_{[0,1],\\infty}\\leq\\frac{2\\phi(\\sqrt{n})}{(1-\\beta_1)n^{(1-\\beta_1)\/2}}+\\frac{2}{n^{(1-\\epsilon_0)\/4}},\\\\\n    &\\norm{Z_{t_k(t)}(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}_{[0,1],\\infty}\\leq\\frac{1}{(4n+1)^{1\/2}},\\\\\n    &\\norm{\\widetilde{Z}_{t_k(t)}(iy_n)-\\widetilde{Z}_t(iy_n)}_{[0,1],\\infty}\\leq\\frac{2}{n^{1\/2}}+\\frac{1}{n^{1\/4}},\n\\end{aligned}\\end{equation}\n given $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$ and $\\beta_1 \\in (0,1)$. If we define\n  \\begin{equation}\\begin{aligned}\n      &\\varphi_1(n)\\coloneqq\\frac{2\\phi(\\sqrt{n})}{(1-\\beta_1)n^{(1-\\beta_1)\/2}}+\\frac{3}{n^{(1-\\epsilon_0)\/4}}+\\frac{1}{(4n+1)^{1\/2}}+\\frac{2}{n^{1\/2}}+\\frac{1}{n^{1\/4}}\\to0,\\\\\n      &\\varphi_2(n)\\coloneqq\\frac{1}{n}+\\frac{c_2}{n^2}+\\frac{c_4}{n^{c_3\/2}}+2(\n      4n+1)^3\\cdot e^{-(4n+1)\/2\\kappa}+2e^{-\\sqrt{n}\/2\\kappa}+3\\epsilon_n\\to0,\n  \\end{aligned}\\end{equation}\n as $n\\to\\infty$. Then the following inequality proves our result\n \\begin{equation}\n     \\mathbb{P}\\bigg(\\norm{\\eta(t)-\\widetilde{Z}_t(iy_n)}_{[0,1],\\infty}\\leq\\varphi_1(n)\\bigg)\\geq\\mathbb{P}\\bigg(E_{n,1}\\cap \\cdots\\cap E_{n,4}\\bigg)\\geq1-\\varphi_2(n).\n \\end{equation}\n \n\\end{proof}\n\\begin{corollary}\nFor almost all $\\omega\\in\\Omega$, we have that\n\\begin{equation}\n    \\norm{\\eta(t)-\\widetilde{Z}_t(iy_n)}_{[0,1],\\infty}\\to0,\\;\\text{with}\\;n\\to\\infty.\n\\end{equation}\n\\end{corollary}\n\\begin{proof}\nThis corollary immediately follows from the strong convergence in probability in $Thm.\\;3.4$.\n\\end{proof}\n\n\\begin{remark}\nFrom a practical view-point, for a fixed level $n \\in \\mathbb{N}$, in order to achieve better precision one can choose a constant $\\tau>0$, called tolerance, to ensure that\n\\begin{equation}\n\\abs{\\widetilde{Z}_{t_{k+1}}-\\widetilde{Z}_{t_{k}}}\\leq\\tau\n\\end{equation}\nfor each $k$. To achieve this, we start by computing $\\widetilde{Z}_t$ along a prior uniform partition until $\\abs{\\widetilde{Z}_{t_{k+1}}-\\widetilde{Z}_{t_{k}}}>\\tau$. If this event occurs, we reduce the step size $h_k$ of the $SLE_\\kappa$ discretization, that is we insert the mid-point of this interval $[t_k(t),t_{k+1}]$ into the partition.\\par\n Notice that the choice of a refined partition actually depends on $\\omega\\in\\Omega$ because the evolution $(\\widetilde{Z}_t)_{0\\leq t\\leq1}$ contains Brownian motion.\n\\end{remark}\n\n\n\\section{$L^p$  norm convergence under assumptions}\nFollowing $Ineq.\\;(3.2a)\\;\\text{and}\\;Ineq.\\;(3.2b)$, we are going to estimate the $L^p$ norm to $\\big(\\eta(t)-\\widetilde{Z}_t(iy_n)\\big)$ with $p\\geq2$, given some technical assumptions. This approach can be thought of as a variant of the convergence, under the mentioned assumptions. We plan to investigate the proof of these assumptions in future work. Similar to the proof of strong convergence in probability, the first step is to estimate each of the four terms in $Ineq.\\;(3.55)$ individually.\n\\begin{assumption}\nThere exists $p_1\\geq2$ and $\\epsilon_0\\in(0,1)$ such that\n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{\\eta(t)-Z_t(iy_n)}\\leq C_1(\\omega)\\cdot y_n^{1-\\epsilon_0}, \n\\end{equation}\nwhere the constant $C_1(\\omega)$ is \\textit{almost surely} finite as in ([3], $Lem.\\;6.7$). Moreover, we assume that $C_1(\\omega)$ is $p_1$-integrable, \\textit{i.e.} $C_1(\\omega)\\in L^{p_1}(\\mathbb{P})$.\n\\end{assumption}\n\\begin{assumption}\nThere exists $p_2\\geq2$ and $\\beta_2\\in(0,1)$ such that the $SLE_\\kappa$ Loewner chain is generated by a curve when $\\kappa\\neq8$ with the following modulus of continuity\n\\begin{equation}\n    \\abs{\\eta(t+s)-\\eta(t)}\\leq C_2(\\omega)s^{(1-\\beta_2)\/2}\n\\end{equation}\nwhere the constant $C_2(\\omega)$ is \\textit{almost surely} finite as in ([5], $Prop.\\;4.3$). And moreover $C_2(\\omega)$ is $p_2$-integrable, \\textit{i.e.} $C_2(\\omega)\\in L^{p_2}(\\mathbb{P})$.\n\\end{assumption}\n\\begin{assumption}\nThe Ninomiya-Victoir Splitting Scheme satisfies the various regularity assumptions, including the ellipticity condition in {\\rm ([7], $Rmk.\\;4.1$)} and then admits the inequality\n\\begin{equation}\n    \\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-\\widetilde{Z}_t(iy_n)}^p\\bigg]\\leq\\frac{c_6}{n^p},\n\\end{equation}\nfor some constant $c_6>0$, and for all $p\\geq2$.\n\\end{assumption}\nIf these assumptions hold as expected, we could take a crucial step near the idea of $L^p$ convergence of our splitting scheme. In this section, we choose $p\\coloneqq p_1\\wedge p_2\\geq2$. We have the following propositions.\n\\begin{proposition}\nAdmitting $Asmp.\\;4.1$ with $||\\mathcal{D}_n|\\leq n^{-1}\\wedge(4n+1)^{-3}$ where $||\\mathcal{D}_n||$ is refined partition, then there exists a decreasing function $\\psi_1:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that $\\psi_1(n)\\to0$ as $n\\to\\infty$, and \n\\begin{equation}\n    \\mathbb{E}\\bigg[\\displaystyle\\int_0^1\\abs{\\eta (t)-Z_t(iy_n)}^{p}dt\\bigg]\\leq\\psi_1(n).\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\nBy ([3], $Lem.\\;6.7$), there exists $\\epsilon_0\\in(0,1)$ such that \\textit{almost surely}\n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{\\eta(t)-Z_t(iy_n)}\\leq C_1(\\omega)\\cdot y_n^{1-\\epsilon_0}.\n\\end{equation}\nIt is clear then\n\\begin{equation}\\begin{aligned}\n    \\mathbb{E}\\bigg[\\displaystyle\\int_0^1\\abs{\\eta (t)-Z_t(iy_n)}^{p}dt\\bigg]&\\leq\n    \\mathbb{E}\\bigg[\\displaystyle\\norm{\\eta(t)-Z_t(iy_n)}^{p}_{[0,1],\\infty}\\bigg]\\\\&\\leq\\mathbb{E}\\big[C_1(\\omega)^{p}\\big]\\cdot\\frac{1}{n^{(1-\\epsilon_0)p\/2}}\\coloneqq\\psi_1(n)\\stackrel{n\\to\\infty}{\\longrightarrow}0.\n\\end{aligned}\\end{equation}\n\\end{proof}\n\\begin{proposition}\nAdmitting $Asmp.\\;4.2$ with $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$, there exists a decreasing function $\\psi_2:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that $\\psi_2(n)\\to0$ as $n\\to\\infty$, and \n\\begin{equation}\n    \\mathbb{E}\\bigg[\\displaystyle\\int_0^1\\abs{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}^{p}dt\\bigg]\\leq\\psi_2(n).\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\n([5], $Prop.\\;3.8$) and ([5], $Prop.\\;4.3$) imply that there exists $\\beta_2\\in(0,1)$ such that \n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{\\eta(t)-\\eta\\big(t_k(t)\\big)}\\leq C_2(\\omega)\\cdot\\frac{1}{n^{(1-\\beta_2)\/2}}.\n\\end{equation}\nBy $Prop.\\;4.4$, it follows that \n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}\\leq\\frac{2C_1(\\omega)}{n^{(1-\\epsilon_0)\/2}}+\\frac{C_2(\\omega)}{n^{(1-\\beta_2)\/2}}.\n\\end{equation}\nIt is clear then\n\\begin{equation}\\begin{aligned}\n    &\\mathbb{E}\\bigg[\\displaystyle\\int_0^1\\abs{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}^{p}dt\\bigg]\\leq\\mathbb{E}\\bigg[\\displaystyle\\norm{Z_t(iy_n)-Z_{t_k(t)}(iy_n)}_{[0,1],\\infty}^{p}\\bigg]\\\\&\\;\\;\\;\\;\\;\\;\\;\\,\\:\\,\\leq\\mathbb{E}\\big[C_1(\\omega)^p\\big]\\cdot\\frac{2^{2p-1}}{n^{(1-\\epsilon_0)p\/2}}+\\mathbb{E}\\big[C_2(\\omega)^p\\big]\\cdot\\frac{2^{p-1}}{n^{(1-\\beta_2)p\/2}}\\coloneqq\\psi_2(n)\\stackrel{n\\to\\infty}{\\longrightarrow}0.\n\\end{aligned}\\end{equation}\n\\end{proof}\n\\begin{proposition}\nAdmitting $Asmp.\\;4.3$ with $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$, it is immediate that \n\\begin{equation}\n    \\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{Z_{t_k(t)}(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}^p\\bigg]\\leq\\frac{c_6}{n^p}.\n\\end{equation}\nIf we denote $\\psi_3(n)\\coloneqq c_6\/n^p$, then\n\\begin{equation}\n    \\mathbb{E}\\bigg[\\int_0^1\\abs{Z_{t_k(t)}(iy_n)-\\widetilde{Z}_{t_k(t)}(iy_n)}^pdt\\bigg]\\leq\\psi_3(n)\\stackrel{n\\to\\infty}{\\longrightarrow}0.\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\nThe proposition follows from $Eqn.\\;(4.3)$.\n\\end{proof}\nTo give an estimate to the last term in $Ineq.\\;(3.55)$, we quote the known interpolation inequality from ([8], $Sec.\\;6.5$) for Lebesgue spaces and another inequality $w.r.t.$ supremum Brownian motion.\n\\begin{lemma}\nFor all $1<p<r<q$, suppose $f\\in L^p\\cap L^q$. Then $f\\in L^r$ with\n\\begin{equation}\n    \\norm{f}_r\\leq\\big(\\norm{f}_p\\big)^{(1\/r-1\/q)\/(1\/p-1\/q)}\\big(\\norm{f}_q\\big)^{(1\/r-1\/q)\/(1\/p-1\/q)}.\n\\end{equation}\n\\end{lemma}\n\\begin{lemma}\nFor all $m\\in\\mathbb{N}$, we have\n\\begin{equation}\n    \\mathbb{E}\\bigg[\\sup\\limits_{s\\in[0,t]}\\abs{B_s}^{2m}\\bigg]=\\pi^{-\\frac{1}{2}}\\Gamma\\bigg(\\frac{1}{2}+m\\bigg)2^m\\cdot t^m,\n\\end{equation}\nwhere $B_t$ is a standard one-dimensional Brownian motion.\n\\end{lemma}\n\\begin{proof}\nThe proof follows if we revisit the supremum Brownian motion $S_t=\\sup_{0\\leq s\\leq t}B_s$ from ([9], $Cor.\\;2.2$), by computing all even order moments.\n\\end{proof}\n\\begin{proposition}\nWith $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$, there exists a decreasing function $\\psi_4:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that $\\psi_4(n)\\to0$ with $n\\to\\infty$, and\n\\begin{equation}\n    \\mathbb{E}\\bigg[\\int_0^1\\abs{\\widetilde{Z}_{t_k(t)}(iy_n)-\\widetilde{Z}_t(iy_n)}^pdt\\bigg]\\leq\\psi_4(n).\n\\end{equation}\n\\end{proposition}\n\\begin{proof}\nBy $Prop.\\;3.14$ and $Ineq.\\;(3.51)$, we know \\textit{almost surely} that\n\\begin{equation}\n    \\abs{\\widetilde{Z}_{t_k(t)}(iy_n)-\\widetilde{Z}_t(iy_n)}^p\\leq2\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^p+\\frac{2^{p+1}}{n^{p\/2}}.\n\\end{equation}\nSince $p\\geq2$, there exists $\\{m,m+1\\}\\subset\\mathbb{N}$ so that $2m\\leq p<2(m+1)$. Remember that $t-t_k(t)\\leq h_k\\leq n^{-1}$. Then, by $Lem.\\;4.8$\n\\begin{equation}\\begin{aligned}\n    &\\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^{2m}\\bigg]\\leq\\frac{2^m\\kappa^m\\Gamma\\big(\\frac{1}{2}+m\\big)}{\\pi^{\\frac{1}{2}}\\cdot n^m},\\\\\n    &\\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^{2m+2}\\bigg]\\leq\\frac{2^{m+1}\\kappa^{m+1}\\Gamma\\big(\\frac{3}{2}+m\\big)}{\\pi^{\\frac{1}{2}}\\cdot n^{m+1}}.\n\\end{aligned}\\end{equation}\nBy $Lem.\\;4.7$, we use the interpolation inequality in Lebesgue spaces and have\n\\begin{equation}\\begin{aligned}\n    &\\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^{p}\\bigg]\\\\&\\;\\leq\\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^{2m}\\bigg]^{m+1-\\frac{p}{2}}\\mathbb{E}\\bigg[\\sup\\limits_{t\\in[0,1]}\\abs{\\sqrt{\\kappa}B_{t_k(t),t}}^{2m+2}\\bigg]^{(m+1-\\frac{p}{2})\\cdot\\frac{m}{m+1}}\\\\&\\;\\leq\\frac{c_7}{n^{m(m+1-\\frac{p}{2})}}\\coloneqq\\psi_4(n)\\stackrel{n\\to\\infty}{\\longrightarrow}0,\n\\end{aligned}\\end{equation}\nwhere $c_7>0$ is a constant depending only on $p\\geq2$.\n\\end{proof}\nWe have, at this point, estimated the $L^p$ norm \\textit{w.r.t.} the four terms in $Ineq.\\;(3.55)$ under several assumptions. Combining them together, under the specified assumptions,  we obtain the following result.\n\\begin{theorem}\nAdmitting $Asmp.\\;4.1,4.2,\\;\\text{and}\\;4.3$, together with $||\\mathcal{D}_n||\\leq n^{-1}\\wedge(4n+1)^{-3}$, there exists a decreasing function $\\psi:\\mathbb{R}_+\\to\\mathbb{R}_+$ such that $\\psi(n)\\to0$ as $n\\to\\infty$, and\n\\begin{equation}\n    \\mathbb{E}\\bigg[\\int_0^1\\abs{\\eta(t)-\\widetilde{Z}_t(iy_n)}^p\\bigg]\\leq\\psi(n).\n\\end{equation}\n\\end{theorem}\n\\begin{proof}\nDefine $\\psi\\coloneqq\\psi_1+\\psi_2+\\psi_3+\\psi_4$, then the result follows.\n\\end{proof}\n\n\\section{Linear interpolation of the driving force}\n\n\n\n\nIn this last section we study the approximation obtained from the piece-wise linear interpolation of the Brownian driver. This method is independent from the study of the splitting scheme in the first part of the paper. Let us briefly discuss that idea to simulate the driving force $\\lambda(t)$ and its corresponding hull $K_t,\\;\\text{for all}\\;t\\in[0,T]$. The interpolation algorithm is based on the following observations. Fix $s>0$, let $(\\widetilde{g}_t)_{0\\leq t\\leq T}$ be the Loewner chain driven by the continuous driving force $\\widetilde{\\lambda}(t)=\\lambda(s+t),$ with $0\\leq t\\leq T-s$. Using the format of the forward Loewner Differential equation, we have that\n\\begin{equation}\n\\partial_tg_{s+t}\\circ g_s^{-1}(z)=\\frac{2}{g_{s+t}\\circ g_s^{-1}(z)-\\lambda(s+t)}=\\frac{2}{g_{s+t}\\circ g_s^{-1}(z)-\\widetilde{\\lambda}(t)},    \n\\end{equation}\nand $g_{s}\\circ g_s^{-1}(z)=z$ with $z\\in\\mathbb{H}\\backslash K_s$. The uniqueness property of Loewner chains implies that $\\widetilde{g}_t(z)=g_{s+t}\\circ g_s^{-1}(z)$. We denote $\\widetilde{K}_t$ to be the hull associated with the Loewner chain $\\widetilde{g}_t$, indeed \\begin{equation}\n\\mathbb{H}\\cap g_s(K_{s+t})=\\widetilde{K}_t\\;\\text{ and }\\; K_{s+t}=K_s\\cup g_s^{-1}(\\widetilde{K}_t).   \n\\end{equation}Hence, computing $K_s$, $g_s^{-1}$ and $\\widetilde{K}_t$ would enable us to compute $\\widetilde{K}_{s+t}$.\\par\n\n In order to implement the linear-interpolation of the Brownian driver, we consider the following driver that linearly interpolates $\\lambda_t=B_t.$ \n\\begin{equation}\n    \\lambda^{n}_{\\textit{linear}}(t)\\coloneqq n\\big(\\lambda(t_{k+1})-\\lambda(t_k)\\big)(t-t_k)+\\lambda(t_k)\\;\\text{on}\\;[t_k,t_{k+1}],\n\\end{equation}\nIn [11] there was previously considered the case of square-root interpolation of the Brownian driver\n\\begin{equation}\n    \\lambda^{n}_{\\textit{square-root}}(t)\\coloneqq\\sqrt{n}\\big(\\lambda(t_{k+1})-\\lambda(t_k)\\big)\\sqrt{t-t_k}+\\lambda(t_k)\\;\\text{on}\\;[t_k,t_{k+1}],\\;\\;\\:\\:\n\\end{equation}\nin order to approximate the SLE traces. \nThese methods are based on the fact that for driers of the form $c\\sqrt{t}+d$ for $c, d, \\in \\mathbb{R}$ and $ct$ for $c \\in \\mathbb{R}$ the Loewner maps and curves can be explicitly computed (see [10]). We refer the reader to [11] for more details.\n\n\n\n\\begin{definition}\nAs before, $\\mathcal{D}_n\\coloneqq\\{t_0=0,t_1,\\ldots,t_n=1\\}$ will denote a uniform partition on the time interval $[0,1]$.\n\\end{definition}\n\\begin{definition}\nGiven the Brownian sample paths $B_\\cdot(\\omega):[0,1]\\to\\mathbb{R}$, we write our linear interpolation in the following form\n\\begin{equation}\n    \\lambda^{n}(t)\\coloneqq n\\big(\\sqrt{\\kappa}B_{t_{k+1}}-\\sqrt{\\kappa}B_{t_k(t)}\\big)(t-t_k(t))+\\sqrt{\\kappa}B_{t_k(t)}\\;\\text{on}\\;[t_k(t),t_{k+1}].\n\\end{equation}\n\\end{definition}\n\\begin{definition}\nFollowing the convention in $Sec.\\;2.$ and $Sec.\\;3.$ we use the notation $\\gamma:[0,1]\\to\\mathbb{H}\\cup\\{\\sqrt{\\kappa}B_1\\}$ for the forward Loewner curve generated by the forward Loewner chain $(g_t)_{t\\in[0,1]}$ with driving force $\\sqrt{\\kappa}B_t$. We further let $\\gamma^n:[0,1]\\to\\mathbb{H}\\cup\\{\\sqrt{\\kappa}B_1\\}$ to denote the forward Loewner curve generated by the forward Loewner chain $(g^n_t)_{t\\in[0,1]}$, driven by the piecewise-linear force $\\lambda^n(t)$.\n\\end{definition}\n\\begin{remark}\n   Notice that in this section we will interpolate the forward Loewner chain and hence simulate the forward Loewner curve $\\gamma(t)$, whereas we have simulated the backward Loewner curve $\\eta(t)$ via Ninomiya-Victoir Scheme in $Sec.\\;2.$\n\\end{remark}\n\\begin{definition}\nWith $(g^n_t)_{t\\in[0,1]}$ the Loewner chain corresponding to $\\lambda^n(t)$, let $f^n_t:\\mathbb{H}\\to\\mathbb{H}\\backslash\\gamma^n([0,t])$ be the inverse map of $g^n_t(z)$ and denote $\\widehat{f}^n_t(z)\\coloneqq f^n_t\\big(z+\\lambda^n(t)\\big)$. Choose $G^n_k\\coloneqq(\\widehat{f}^n_{t_k(t)})^{-1}\\circ\\widehat{f}^n_{t_{k+1}}$. Then\n\\begin{equation}\n    \\widehat{f}^n_{t_k(t)}=G^n_0\\circ G^n_1\\circ\\cdots\\circ G^n_{k-1}.\n\\end{equation}\n\\end{definition}\n\\begin{definition}\nChoose $\\gamma^n_t(s)\\coloneqq g^n_t\\big(\\gamma^n(t+s)\\big)$ with $s\\in[0,1-t]$, for all $t\\in[0,1]$.\n\\end{definition}\n\\begin{lemma}\nConsider the event $F_{n,1}\\coloneqq E_{n,1}^\\prime$ and $F_{n,2}\\coloneqq E_{n,1}^{\\prime\\prime}$ as in $Eqn.\\;(3.3)$ and in $Eqn.\\;(3.5)$. Then we have\n\\begin{equation}\n    \\mathbb{P}\\big(F_{n,1}\\big)\\geq1-\\frac{c_2}{n^2}\\;\\;\\;\\text{and}\\;\\;\\;\\mathbb{P}\\big(F_{n,2}\\big)\\geq1-\\frac{c_4}{n^{c_3\/2}},\n\\end{equation}\nwhere $c_2,c_3,c_4>0$ are constants depending only on $\\kappa\\neq8$.\n\\end{lemma}\n\\begin{theorem}\nLet $\\gamma$ be the $SLE_{\\kappa}$ trace and let $\\gamma^n$ be the trace obtained by the linear interpolation of the Brownian driver.\nThere exist $c_6,c_7>0$ depending only on $\\kappa\\neq8$ such that if we consider the event \n\\begin{equation}\n    F_{n}\\coloneqq\\bigg\\{\\norm{\\gamma-\\gamma^n}_{[0,1],\\infty}\\leq\\frac{c_6(\\log n)^{c_7}}{n^{(1-\\sqrt{(1+\\beta_1)\/2})\/2}}\\bigg\\}.\n\\end{equation}\nThen we have $\\mathbb{P}\\big(F_n\\big)\\geq 1-c_2\\cdot n^{-2}-c_3\\cdot n^{-c_4\/2}$.\n\\end{theorem}\nThis theorem is our main result in the context of linearly interpolating Brownian driver. We will not give a detailed proof here because the proof is similar to the known result of square-root interpolation obtained in ([11], $Sec.\\;2.$). Instead, we outline the ideas to estimate the convergence in probability of the linear interpolation method.\\par\nOn the event $F_{n,1}\\cap F_{n,1}$, we want to give a uniform bound to $\\abs{\\gamma(t)-\\gamma^n(t)}$ with $t\\in[0,1]$. In fact, for all $t_k(t)\\in\\mathcal{D}_n$, we write\n\\begin{equation}\\begin{aligned}\n    &\\abs{\\gamma(r+t_k)-\\gamma^n(r+t_k)}\\leq\\abs{\\gamma(r+t_k)-\\gamma(s+t_k)}+\\abs{\\widehat{f}_{t_k}(z)-\\widehat{f}^n_{t_k}(w)}\\\\\n    &\\;\\;\\;\\;\\;\\;\\;\\;\\leq\\abs{\\gamma(r+t_k)-\\gamma(s+t_k)}+\\abs{\\widehat{f}_{t_k}(z)-\\widehat{f}_{t_k}(w)}+\\abs{\\widehat{f}_{t_k}(w)-\\widehat{f}_{t_k}^n(w)},\n\\end{aligned}\\end{equation}\nwhere $t_k$ abbreviates $t_k(t)$ and $w\\coloneqq\\gamma^n_k(r)$, $r$ is arbitrarily fixed in $[\\frac{1}{n},\\frac{2}{n}]$ and $z\\coloneqq\\gamma_k(s)$ is chosen to be the highest point in the arc $\\gamma_k([0,\\frac{2}{n}])$. The first term in $Ineq.\\;(5.9)$ is bounded by the uniform continuity of $\\gamma(t)$ on the event $F_{n,1}$.\\par\n\nThe estimate of the second term in $Ineq.\\;(5.9)$ is comparing the images of nearby points in $\\mathbb{H}$ very close to the real and the imaginary axis, under a conformal map. To proceed our discussion, we introduce, for any subpower function $\\phi:\\mathbb{R}_+\\to\\mathbb{R}_+$, constant $c>0$, and integer $n\\in\\mathbb{N}_+$ that\n\\begin{equation}\n    A_{n,c,\\phi}\\coloneqq\\bigg\\{x+iy\\in\\mathbb{H};\\;\\abs{x}\\leq\\frac{\\phi(n)}{\\sqrt{n}}\\;\\text{and}\\;\\frac{1}{\\sqrt{n}\\phi(n)}\\leq y\\leq\\frac{c}{\\sqrt{n}}\\bigg\\},\n\\end{equation}\nwhich is a box near the origin in  the upper half-plane. The reason we introduce this extra object is that the images of nearby points in $ A_{n,c,\\phi}$ will also be close to each other under certain conformal maps, in the sense of the following lemmas.\n\\begin{lemma}{{\\rm ([11], $Lem.\\;2.6$)}}\n    There exist constants $\\alpha>0$, and $c^\\prime>0$, depending only on $c>0$ in the definition of the box $A_{n,c,\\phi}$, such that for all $z_1,z_2\\in A_{n,c,\\phi}$ and conformal map $f:\\mathbb{H}\\to\\mathbb{C}$, we have\n    \\begin{equation}\\begin{aligned}\n        \\abs{f^\\prime(z_1)}&\\leq c^\\prime\\phi(n)^\\alpha\\cdot\\abs{f^\\prime(i\\Im z_1)},\\\\\n        d_{\\mathbb{H},hyp}(z_1,z_2)&\\leq c^\\prime\\log\\phi(n)+c^\\prime,\n    \\end{aligned}\\end{equation}\n    where $ d_{\\mathbb{H},hyp}(z_1,z_2)$ denotes the hyperbolic distance between $z_1$ and $z_2$ in $\\mathbb{H}$.\n\\end{lemma}\n\\begin{lemma}{{\\rm ([16], $Cor.\\;1.5$)}}\n    Suppose $f:\\mathbb{H}\\to\\mathbb{C}$ is a conformal map, then for all $z_1,z_2\\in\\mathbb{H}$, we have\n    \\begin{equation}\n        \\abs{f(z_1)-f(z_2)}\\leq2\\abs{(\\Im z_1)f^\\prime(z_1)}\\cdot\\exp\\big(4d_{\\mathbb{H},hyp}(z_1,z_2)\\big).\n    \\end{equation}\n\\end{lemma}\nTherefore, it is natural that we want to show  $\\{z,w\\}\\in A_{n,c,\\phi}$ with proper parameters. Indeed, this is the case in the square-root interpolation ([11], $Lem.\\;3.3$). The only non-trivial remark is the following.\n\\begin{remark}\n   In the linear interpolation, from ([10], $Sec.\\;3.$) we know that for a typical linear force $\\lambda(t)=t$ on the time interval $[0,\\infty)$, the Loewner curve admits the form\n   \\begin{equation}\n       t\\mapsto2-2\\rho_t\\cot\\rho_t+2i\\rho_t,\n   \\end{equation}\n   where $\\rho_t$ increases monotonously from $\\rho_0=0$ to $\\rho_\\infty=\\pi$. Indeed, the Loewner curve of a general linear force $t\\mapsto at+b$ requires some change of constant parameters depending on $a,b\\in\\mathbb{R}$, possibly with change in signs. Hence, we know the arc $\\gamma^n_k:[0,\\frac{1}{n}]\\to\\mathbb{H}\\cup\\{0\\}$ corresponding to the\n   piecewise-linear force $\\lambda^n(t_k(t)+t)-\\lambda^n(t_k(t))$ with $t\\in[0,\\frac{1}{n}]$ has an image which vertically stretches monotonically upward and horizontally either leftward or rightward. Hence, the images $\\gamma^n_k([0,\\frac{1}{n}])$ attains its maximal height at its tip $\\gamma^n_k(\\frac{1}{n})$, which justifies our choice of $z=\\gamma_k(s)$.\n\\end{remark}\nIn this regard we could use $Lem.\\;5.9$ and $Lem.\\;5.10$ to give an upper bound to the second term in $Ineq.\\;(5.5)$.\\par\nNow, let us turn our attention to the third term in $Ineq.\\;(5.9)$. This is actually a perturbation term: we need to measure the difference of one point in $\\mathbb{H}$ under two conformal maps. In order to estimate the third term in $Ineq.\\;(5.9)$, we use the following result.\n\\begin{lemma}{{\\rm ([15], $Lem.\\;2.2$)}}\n    Let $0<T<\\infty$. Suppose $f^{(1)}_t$ and $f^{(2)}_t$ are the inverse map to the forward Loewner chain satisfying $Eqn.\\;(2.1)$ with driving force $W^{(1)}_t$ and $W^{(2)}_t$, respectively. Define $\\epsilon\\coloneqq\\sup\\limits_{s\\in[0,T]}\\abs{W^{(1)}_s-W^{(2)}_s}$. Then if $u=x+iy\\in\\mathbb{H}$, we have\n    \\begin{sequation}\n        \\abs{f^{(1)}_T-f^{(2)}_T}\\leq\\epsilon\\exp\\bigg\\{\\frac{1}{2}\\bigg[\\log\\frac{I_{T,y}\\abs{\\partial_zf^{(1)}_T(u)}}{y}\\log\\frac{I_{T,y}\\abs{\\partial_zf^{(2)}_T(u)}}{y}\\bigg]^\\frac{1}{2}+\\log\\log\\frac{I_{T,y}}{y}\\bigg\\},\n    \\end{sequation}\n    where $I_{T,y}\\coloneqq\\sqrt{4T+y^2}.$ \n    \n\\end{lemma}\nApplying $Lem.\\;5.12$ to estimate the third term in $Ineq.\\;(5.9)$, combining the estimate to the first and the second terms,  on the event $F_{n,1}\\cap F_{n,2}$, we see that\n\\begin{equation}\n    \\sup\\limits_{t\\in[0,1]}\\abs{\\gamma(t)-\\gamma^n(t)}\\leq\\frac{c_6(\\log n)^{c_7}}{n^{(1-\\sqrt{(1+\\beta_1)\/2})\/2}},\n\\end{equation}\nfor $\\beta_1 \\in (0,1).$\nBy definition of the event $F_n\\in\\Omega$, we know $F_{n,1}\\cap F_{n,2}\\subset F_n$. Moreover using the probability bounds on the events $F_{n,1}$ and $F_{n,2}$ in $Ineq.\\;(5.7)$, we obtain $Thm.\\;5.8$.\n\n\n\n\n\n\n\n\n\n\n\n\\newpage\n\\begin{spacing}{1}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\nIn \\cite{HL2} and \\cite{HL1}, Hutchings and\nLee investigate circle-valued Morse theory for Riemannian manifolds\n$X$ with first Betti number $b_1 \\geq 1$.  Given a generic Morse\nfunction $\\phi\\co  X\\to S^1$ representing an element of infinite order in\n$H^1(X;\\zee)$ and having no extrema, they determine a relationship\nbetween the Reidemeister torsion $\\tau(X,\\phi)$ associated to\n$\\phi$, which is in general an element of the field $\\cue(t)$, and the\ntorsion of a ``Morse complex'' $M^*$ defined over the ring\n$L_\\zee$ of integer-coefficient Laurent series in a single\nvariable $t$. If $S$ is the inverse image of a regular value of\n$\\phi$ then upward gradient flow of $\\phi$ induces a return map\n$F\\co  S\\to S$ that is defined away from the descending manifolds of\nthe critical points of $\\phi$. The two torsions $\\tau(X,\\phi)$\nand $\\tau(M^*)$ then differ by multiplication by the zeta\nfunction $\\zeta(F)$. In the case that $X$ has dimension three,\nwhich will be our exclusive concern in this paper, the statement\nreads\n\\begin{equation}\n\\tau(M^*)\\zeta(F) = \\tau(X,\\phi),\n\\label{HLeqn}\n\\end{equation}\nup to multiplication by $\\pm t^k$. \nOne should think of the left-hand side as ``counting'' gradient flows \nof $\\phi$; $\\tau(M^*)$ is concerned with gradient flows between \ncritical points of $\\phi$, while $\\zeta(F)$, defined in terms of \nfixed points of the return map, describes the closed orbits of\n$\\phi$. It should be remarked that $\\tau(X,\\phi)\\in \\cue(t)$ is in\nfact a polynomial if $b_1(X)>1$, and ``nearly'' so if $b_1(X) =\n1$; see \\cite{MT} or \\cite{Turaev1} for details.\n\nIf the three--manifold $X$ is zero-surgery on a knot \n$K\\subset S^3$ and $\\phi$ represents a generator in $H^1(X;\\zee)$, \nthe \nReidemeister torsion $\\tau(X,\\phi)$\nis essentially (up to a standard factor) the Alexander polynomial \n$\\Delta_K$ of the knot. It has been proved by Fintushel and Stern \n\\cite{FS} that \nthe Seiberg--Witten invariant of $X\\times S^1$, which can be \nidentified with the Seiberg--Witten invariant of $X$, is also given by \nthe Alexander \npolynomial (up to the same standard factor). More generally, Meng and \nTaubes \\cite{MT} show that the Seiberg--Witten invariant of any closed \nthree--manifold with $b_1(X)\\geq 1$ can be identified with the Milnor \ntorsion \n$\\tau(X)$ (after summing over the action of the torsion subgroup of \n$H^2(X;\\zee)$), from which it follows that if $\\mathcal S$ denotes \nthe \ncollection of spin${}^c$ structures on $X$,\n\\begin{equation}\n\\sum_{\\alpha\\in {\\mathcal S}} SW(\\alpha) t^{c_1(\\alpha)\\cdot {S} \/2} \n= \n\\tau(X,\\phi),\n\\label{MTthm}\n\\end{equation}\nup to multiplication by $\\pm t^k$ (in \\cite{MT} the sign is specified). \nHere $c_1(\\alpha)$ denotes the first\nChern class of the complex line bundle $\\det \\alpha$ associated to\n$\\alpha$. \n\nThese results point to the natural conjecture, made in \\cite{HL1}, \nthat the left-hand side of (\\ref{HLeqn}) is equal to the \nSeiberg--Witten invariant of $X$---or more precisely to a combination \nof invariants as in (\\ref{MTthm})---independently of the results of \nMeng and Taubes. We remark that the theorem of Meng and Taubes\nannounced in \\cite{MT} depends on surgery formulae for\nSeiberg--Witten invariants, and a complete proof of these results\nhas not yet appeared in the literature. The conjecture of\nHutchings and Lee gives a direct interpretation of the\nSeiberg--Witten invariants in terms of geometric information,\nreminiscent of Taubes's work relating Seiberg--Witten invariants\nand holomorphic curves on symplectic 4--manifolds. The proof of\nthis conjecture is the aim of this paper; combined with the work\nin \\cite{HL1} and \\cite{HL2} it establishes an alternate proof of\nthe Meng--Taubes result (for closed manifolds) that does not\ndepend on the surgery formulae for Seiberg--Witten invariants used\nin \\cite{MT} and \\cite{FS}.\n\n\\begin{rem} In fact, the conjecture in \\cite{HL1} is more general, \nas follows: \nHutchings and Lee define an invariant $I\\co  {\\mathcal S} \\to \\zee$ of \nspin${}^c$ structures based on the counting of gradient flows, which \nis conjectured to agree with the Seiberg--Witten invariant. The proof \npresented in this paper gives only an ``averaged'' version of this \nstatement, ie, that the left hand side of (\\ref{HLeqn}) is equal \nto the left hand side of (\\ref{MTthm}). It can be seen from the \nresults \nof \\cite{HL1} that this averaged statement is in fact enough to \nrecover the full Meng--Taubes theorem: see in particular \\cite{HL1}, \nLemma \n4.5. It may also be possible to extend the methods of this paper to \ndistinguish the Seiberg--Witten invariants of spin${}^c$ structures \nwhose determinant lines differ by a non-torsion element $a\\in \nH^2(X;\\zee)$ with $a\\cdot {S} = 0$.\n\\end{rem}\n\nWe also show that the ``averaged'' Seiberg--Witten invariant is equal\nto the intersection number of a pair of totally real submanifolds in a\nproduct of symmetric powers of a slice for $\\phi$.  This is a\nsituation strongly analogous to that considered by Ozsv\\'ath and\nSzab\\'o in \\cite{OS1} and \\cite{OS2}, and one might hope\nto define a Floer-type homology theory along the lines of that work. \nSuch a construction would suggest a generalization of a conjecture of\nSalamon, namely that the Seiberg--Witten--Floer homology of $X$ agrees\nwith this new homology (which is a ``classical'' Floer homology in the\ncase that $X$ is a mapping torus---see \\cite{S}).\n\n\\section{Statement of results}\n\nBefore stating our main theorems, we need to recall a few definitions\nand introduce some notation.  First is the notion of the torsion of \nan acyclic\nchain complex; basic references for this material include \\cite{Milnor}\nand \\cite{Turaev1}.\n\n\\subsection{Torsion}\nBy a {\\it volume}\n $\\omega$ for a vector space $W$ of dimension $n$ we mean a\nchoice of nonzero element $\\omega\\in\\Lambda^n W$. Let $0\\to V'\\to\nV\\to V''\\to 0$ be an exact sequence of finite-dimensional vector\nspaces over a field $k$. For volumes $\\omega'$ on $V'$ and\n$\\omega''$ on $V''$, the induced volume on $V$ will be written\n$\\omega'\\omega''$; if $\\omega_1$, $\\omega_2$ are two volume\nelements for $V$, then we can write $\\omega_1 = c\\omega_2$ for\nsome nonzero element $c\\in k$ and by way of shorthand, write $c =\n\\omega_1\/\\omega_2$. More generally, let $\\{C_i\\}_{i=0}^n$ be a\ncomplex of vector spaces with differential $\\partial\\co  C_i\\to\nC_{i-1}$, and let us assume that $C_*$ is acyclic, ie,\n$H_*(C_*)=0$. Suppose that each $C_i$ comes equipped with a\nvolume element $\\omega_i$, and choose volumes $\\nu_i$ arbitrarily\non each image $\\partial C_i$, $i=2,\\ldots,n-1$. From the exact sequence\n\\[\n0\\to C_n \\to C_{n-1} \\to \\partial C_{n-1}\\to 0\n\\]\ndefine $\\tau_{n-1} = \\omega_n\\nu_{n-1}\/\\omega_{n-1}$. For $i= \n2,\\ldots, n-2$ use \nthe exact sequence\n\\[\n0\\to \\partial C_{i+1}\\to C_i\\to \\partial C_i\\to 0\n\\]\nto define $\\tau_i = \\nu_{i+1}\\nu_i\/\\omega_i$. Finally, from\n\\[\n0\\to \\partial C_2\\to C_1\\to C_0\\to 0\n\\]\ndefine $\\tau_1 = \\nu_2\\omega_0\/\\omega_1$. We then define\nthe {\\it torsion} $\\tau(C_*, \\{\\omega_i\\}) \\in k\\setminus\\{0\\}$\nof the (volumed) complex $C_*$ to be:\n\\begin{equation}\n\\tau(C_*) = \\prod_{i=1}^{n-1} \\tau_i^{(-1)^{i+1}}\n\\label{torsiondef}\n\\end{equation}\nIt can be seen that this definition does not depend on the choice of \n$\\nu_i$. \nNote that in the case that our complex consists of just two vector \nspaces, \n\\[\nC_* = 0\\to C_i\\stackrel{\\partial}{\\longrightarrow} C_{i-1}\\to 0,\n\\]\nwe have that $\\tau(C)= \\det(\\partial)^{(-1)^i}$. We extend the\ndefinition of $\\tau(C_*)$ to non-acyclic complexes by setting\n$\\tau(C_*) = 0$ in this case.\n\nAs a slight generalization, we can allow the chain groups $C_i$ to be \nfinitely generated free \nmodules over an integral domain $K$ with fixed ordered bases rather \nthan vector \nspaces with fixed volume elements, as \nfollows. Write $Q(K)$ for the field of fractions of $K$, then form \nthe complex of vector spaces $Q(K)\\otimes_K C_i$. The bases for \nthe $C_i$ naturally give rise to bases, and hence volumes, for\n$Q(K)\\otimes_K C_i$. We understand the torsion of the complex of\n$K$--modules $C_i$ to be the torsion of this latter complex, and\nit is therefore a nonzero element of the field $Q(K)$.\n\nLet $X$ be a connected, compact, oriented smooth manifold with a\ngiven CW decomposition. Following \\cite{Turaev1}, suppose\n$\\varphi\\co  {\\mathbb Z}[H_1(X;{\\mathbb Z})]\\to K$ is a ring homomorphism into an\nintegral domain $K$. The universial abelian cover $\\tilde{X}$ has\na natural CW decomposition lifting the given one on $X$, and the\naction of the deck transformation group $H_1(X;{\\mathbb Z})$ naturally\ngives the cell chain complex $C_*(\\tilde{X})$ the structure of a\n${\\mathbb Z}[H_1(X;{\\mathbb Z})]$--module. As such, $C_i(\\tilde{X})$ is free of\nrank equal to the number of $i$--cells of $X$. We can then form\nthe twisted complex $C_*^\\varphi(\\tilde{X}) = K\\otimes_\\varphi\nC_*(\\tilde{X})$ of $K$--modules. We choose a sequence $e$ of cells\nof $\\tilde{X}$ such that over each cell of $X$ there is exactly\none element of $e$, called a {\\it base} {\\it sequence}; this gives\na basis of $C_*^\\varphi(\\tilde{X})$ over $K$ and allows us to\nform the torsion $\\tau_\\varphi(X,e)\\in Q(K)$ relative to this\nbasis. Note that the torsion $\\tau_\\varphi(X,e')$ arising from a\ndifferent choice $e'$ of base sequence stands in the relationship\n$\\tau_\\varphi(X,e) = \\pm\\varphi(h)\\tau_\\varphi(X,e')$ for some\n$h\\in H_1(X;{\\mathbb Z})$ (here, as is standard practice, we write the\ngroup operation in $H_1(X;{\\mathbb Z})$ multiplicatively when dealing\nwith elements of ${\\mathbb Z}[H_1(X;{\\mathbb Z})]$). The set of all torsions\narising from all such choices of $e$ is ``the'' torsion of $X$\nassociated to $\\varphi$ and is denoted $\\tau_\\varphi(X)$.\n\nWe are now in a position to define the torsions we will need.\n\n\\begin{defn}(1)\\qua For $X$ a smooth manifold as above with $b_1(X)\\geq \n1$, \nlet $\\phi\\co  X\\to S^1$ be a map \nrepresenting an element $[\\phi]$ of infinite order in $H^1(X;{\\mathbb Z})$. \nLet $C$ \nbe the infinite cyclic group generated by the formal variable $t$, \nand let\n$\\varphi_1\\co  {\\mathbb Z}[H_1(X;{\\mathbb Z})]\\to {\\mathbb Z}[C]$ be the map induced \nby the \nhomomorphism $H_1(X;{\\mathbb Z})\\to C$, $a \\mapsto t^{\\langle \n[\\phi],a\\rangle}$. \nThen the {\\em Reidemeister torsion} $\\tau(X,\\phi)$ of $X$ associated\nto $\\phi$ is defined to be the torsion $\\tau_{\\varphi_1}(X)$.\n\n(2)\\qua Write $H$ for the quotient of $H_1(X;{\\mathbb Z})$ by its torsion \nsubgroup, and let $\\varphi_2\\co  {\\mathbb Z}[H_1(X;{\\mathbb Z})]\\to{\\mathbb Z}[H]$ be the map \ninduced by the projection $H_1(X;{\\mathbb Z})\\to H$. The {\\em Milnor \ntorsion} $\\tau(X)$ is defined to be $\\tau_{\\varphi_2}(X)$.\n\\label{torsiondefn} \n\\end{defn}\n\n\\begin{rem}(1)\\qua Some authors use the term {\\it Reidemeister torsion} \nto \nrefer to the torsion $\\tau_\\varphi(X)$ for arbitrary $\\varphi$; and other terms, \neg, \nReidemeister--Franz--DeRham torsion, are also in use.\n\n(2)\\qua The torsions in Definition \\ref{torsiondefn} are defined for \nmanifolds $X$ of arbitrary dimension, with or without boundary. We \nwill be concerned only with the case that $X$ is a closed manifold of \ndimension 3 with $b_1(X)\\geq 1$.  In the case $b_1(X)>1$, work of \nTuraev\n\\cite{Turaev1} shows that $\\tau(X)$ and $\\tau(X,\\phi)$, naturally\nsubsets of $\\cue(H)$ and $\\cue(t)$, are actually subsets of ${\\mathbb Z}[H]$\nand ${\\mathbb Z}[t, t^{-1}]$. Furthermore, if $b_1(X)=1$ and $[\\phi]\\in\nH^1(X;{\\mathbb Z})$ is a generator, then $\\tau(X) = \\tau(X,\\phi)$ \nand $(t-1)^2\\tau(X)\\in{\\mathbb Z}[t,t^{-1}]$. Rather than thinking of\ntorsion as a set of elements in a field we normally identify it\nwith a representative ``defined up to multiplication by $\\pm\nt^k$'' or similar, since by the description above any two\nrepresentatives of the torsion differ by some element of the\ngroup ($C$ or $H$) under consideration.\n\\end{rem}\n\n\\subsection{$S^1$--Valued Morse Theory}\n\\label{morsesec}\n\nWe review the results of Hutchings and Lee that motivate our theorems. \nAs in the introduction, let $X$ be a smooth closed oriented 3--manifold\nhaving $b_1(X)\\geq 1$ and let $\\phi\\co X\\to S^1$ be a smooth Morse\nfunction.  We assume (1) $\\phi$ represents an indivisible element of \ninfinite\norder in $H^1(X,{\\mathbb Z})$; (2) $\\phi$ has no critical points of index\n0 or 3; and (3) the gradient flow of $\\phi$ with respect to a\nRiemannian metric on $X$ is Morse--Smale. Such functions always exist\ngiven our assumptions on $X$.\n\nGiven such a Morse function $\\phi$, fix a smooth level set $S$ for\n$\\phi$. Upward gradient flow defines a return map $F\\co  S\\to S$\naway from the descending manifolds of the critical points of\n$\\phi$. The {\\it zeta function} of $F$ is defined by the series\n\\[\n\\zeta(F) = \\exp \\left(\\sum_{k\\geq 1} {\\mbox{\\rm Fix}}(F^k)\\frac{t^k}{k}\\right)\n\\]\nwhere ${\\mbox{\\rm Fix}}(F^k)$ denotes the number of fixed points (counted with\nsign in the usual way) of the $k$-th iterate of $F$.  One should think\nof $\\zeta(F)$ as keeping track of the number of closed orbits of\n$\\phi$ as well as the ``degree'' of those orbits.  For future\nreference we note that if $h\\co S\\to S$ is a diffeomorphism of a surface \n$S$ then \n\\begin{equation}\n\\zeta(h) = \\sum_k L(h^{(k)})t^k\n\\label{zetasym}\n\\end{equation}\nwhere $L(h^{(k)})$ is the Lefschetz number of the induced map on the\n$k$-th symmetric power of $S$ (see \\cite{S}, \\cite{IP}).\n\nWe now introduce a Morse complex that can be used to keep track of\ngradient flow lines between critical points of $\\phi$. Write \n$L_{{\\mathbb Z}}$ for the ring of Laurent series in \nthe variable $t$, and let $M^i$ denote the free $L_{{\\mathbb Z}}$--module \ngenerated by \nthe index-$i$ critical points of $\\phi$.  The differential $d_M\\co M^i\\to \nM^{i+1}$ is defined to be\n\\begin{equation}\nd_Mx_\\mu = \\sum_\\nu a_{\\mu\\nu}(t) y_\\nu\n\\label{diffdef}\n\\end{equation}\nwhere $x_\\mu$ is an index-$i$ critical point, $\\{y_\\nu\\}$\nis the set of index-$(i+1)$ critical points, and $a_{\\mu\\nu}(t)$ is a\nseries in $t$ whose coefficient of $t^n$ is defined to be the number\nof gradient flow lines of $\\phi$ connecting $x_\\mu$ with $y_\\nu$ that\ncross $S$ $n$ times.  Here we count the gradient flows with sign\ndetermined by orientations on the ascending and descending manifolds\nof the critical points; see \\cite{HL1} for more details.\n\n\\begin{thm}[Hutchings--Lee] In this situation, the relation \n(\\ref{HLeqn}) holds up to multiplication by $\\pm t^k$.\n\\label{HLthm}\n\\end{thm}\n\n\\subsection{Results}\n\nThe main result of this work is that the left hand side of\n(\\ref{HLeqn}) is equal to the left hand side of (\\ref{MTthm}),\nwithout using the results of \\cite{MT}. Hence the current work,\ntogether with that of Hutchings and Lee, gives an alternative\nproof of the theorem of Meng and Taubes in \\cite{MT}.\n\nOur proof of this fact is based on ideas of \nDonaldson for computing the Seiberg--Witten invariants of 3--manifolds. \nWe outline Donaldson's construction here; see Section \\ref{tqftsec} \nbelow for \nmore details. Given $\\phi\\co X\\to S^1$ a generic Morse \nfunction as above and $S$ the inverse image of a regular value, \nlet $W = X\\setminus nbd(S)$ be the complement of a small \nneighborhood of $S$. Then $W$ is a cobordism between two copies \nof $S$ (since we assumed $\\phi$ has no extrema---note we may \nalso assume $S$ is connected). Note that two spin${}^c$ structures on \n$X$ that \ndiffer by an element $a\\in H^2(X; {\\mathbb Z})$ with $a([S]) \n= 0$ \nrestrict to the same spin${}^c$ structure on $W$, in particular, \nspin${}^c$ \nstructures $\\sigma$ on $W$ are determined by their degree $m = \\langle\nc_1(\\sigma), S\\rangle$. Note that the degree of a {\\mbox{\\rm spin${}^c$}}  structure is \nalways even.\n\nNow, a solution of the Seiberg--Witten equations on $W$ restricts to a \nsolution of the {\\it vortex equations} on $S$ at each end of \n$W$ (more accurately, we should complete $W$ by adding infinite \ntubes $S\\times (-\\infty, 0]$, $S\\times [0,\\infty)$ to each \nend, and consider the limit of a finite-energy solution on this completed \nspace)---see \\cite{D2}, \\cite{MOY} for example. These equations have \nbeen extensively studied, and it is known that the moduli space of \nsolutions to the vortex equations on $S$ can be identified with \na symmetric power $\\mathrm{Sym}^n S$ of $S$ itself: see \\cite{B}, \\cite{JT}. Donaldson\nuses the restriction maps on the Seiberg--Witten moduli space of $W$ to\nobtain a self-map $\\kappa_n$ of the cohomology of\n$\\mbox{Sym}^{n}S$, where $n$ is defined by $n=g(S)-1-\\frac{1}{2}|m|$ if \n$b_1(X)>1$ and $n= g(S)-1 + \\frac{1}{2}m$ if $b_1(X) = 1$ (here\n$g(S)$ is the genus of the orientable surface $S$). The alternating trace\n${\\mbox{\\rm Tr}}\\,\\kappa_n$ is identified as the sum of Seiberg--Witten\ninvariants of spin${}^c$ structures on $X$ that restrict to the\ngiven spin${}^c$ structure on $W$---that is, the coefficient of\n$t^n$ on the left hand side of (\\ref{MTthm}). For a precise statement,\nsee Theorem \\ref{tracethm}.\n\nOur main result is the following. \n\n\\begin{thm} Let $X$ be a Riemannian 3--manifold with $b_1(X)\\geq 1$, \nand fix an integer $n\\geq 0$ as above.  Then we have\n\\begin{equation}\n{\\mbox{\\rm Tr}}\\,\\kappa_n = [\\tau(M^*)\\,\\zeta(F)]_{n},\n\\end{equation}\nwhere $\\tau(M^*)$ is represented by $t^N\\det(d_M)$, and $N$ is the \nnumber of index 1 critical points of $\\phi$. Here ${\\mbox{\\rm Tr}}$ denotes the \nalternating trace and $[\\,\\cdot\\,]_n$ denotes the coefficient of $t^n$ \nof the polynomial enclosed in brackets.\n\\label{mainthm}\n\\end{thm}\n\nThis fact immediately implies the conjecture of Hutchings and Lee. \nFurthermore, we will make the following observation:\n\n\\begin{thm}\nThere is a smooth connected representative $S$ for the Poincar\\'e dual\nof $[\\phi]\\in H^1(X;{\\mathbb Z})$ such that ${\\mbox{\\rm Tr}}\\, \\kappa_n$ is\ngiven by the intersection number of a pair of totally real embedded\nsubmanifolds in $\\mathrm{Sym}^{n+N}S \\times\\mathrm{Sym}^{n+N}S$.\n\\label{intthm}\n\\end{thm}\n\nThis may be the first step in defining a Lagrangian-type Floer \nhomology theory parallel to that of Ozsv\\'ath and Szab\\'o, one whose \nEuler \ncharacteristic is {\\it a priori} a combination of Seiberg--Witten \ninvariants. In the case that $X$ is a mapping torus, a program along \nthese lines has been initiated by Salamon \\cite{S}. In this \ncase the two totally real submanifolds in Theorem \\ref{intthm} reduce \nto the diagonal and the graph of a symplectomorphism of\n$\\mathrm{Sym}^n S$ determined by the monodromy of the mapping\ntorus, both of which are in fact Lagrangian.\n\nThe remainder of the paper is organized as follows: Section 3 gives a \nbrief overview of some elements of Seiberg--Witten theory and the \ndimensional reduction we will make use of, and Section 4 gives a few \nmore details on this reduction and describes the TQFT we use to \ncompute Seiberg--Witten invariants. Section 5 proves a theorem that \ngives a means of calculating as though a general cobordism coming from \nan $S^1$--valued Morse function of the kind we are considering posessed a \nnaturally-defined monodromy map; Section 6 collects a few other \ntechnical results of a calculational nature, the proof of one of \nwhich is the content of Section 9. In Section 7 we prove Theorem \n\\ref{mainthm} by a calculation that is fairly involved but is not \nessentially difficult, thanks to the tools provided by the TQFT. \nSection 8 proves Theorem \\ref{intthm}.\n\n\n\\section{Review of Seiberg--Witten theory}\n\nWe begin with an outline of some aspects of Seiberg--Witten \ntheory for a 3--manifolds. Recall that a {\\mbox{\\rm spin${}^c$}}  structure on \na 3--manifold $X$ is a lift of the oriented orthogonal frame bundle \nof $X$ to a principal ${\\mbox{\\rm spin${}^c$}} (3)$--bundle $\\sigma$. There are two \n representations of ${\\mbox{\\rm spin${}^c$}} (3) = \\mbox{Spin}(3)\\times \nU(1)\/\\pm1 = SU(2)\\times U(1)\/\\pm 1$ that will interest us, namely\nthe spin representation ${\\mbox{\\rm spin${}^c$}} (3)\\to SU(2)$ and also the\nprojection ${\\mbox{\\rm spin${}^c$}} (3)\\to U(1)$ given by $[g, e^{i\\theta}]\\mapsto\ne^{2i\\theta}$. For a {\\mbox{\\rm spin${}^c$}}  structure $\\sigma$ the first of these\ngives rise to the associated {\\it spinor bundle} $W$ which is a\nhermitian 2--plane bundle, and the second to the {\\it determinant\nline bundle} $L\\cong \\wedge^2 W$. We define $c_1(\\sigma) :=\nc_1(L)$. The Levi--Civita connection on $X$ together with a choice\nof hermitian connection $A$ on $L^{1\/2}$ gives rise to a\nhermitian connection on $W$ that is compatible with the action of\nClifford multiplication $c\\co  T^*_{\\mathbb C} X\\to \\mbox{End}_0 W$=\n\\{traceless endomorphisms of $W$\\}, and thence to a Dirac\noperator $D_A\\co  \\Gamma(W)\\to \\Gamma(W)$.\n\nThe {\\it Seiberg--Witten equations} are equations for a pair \n$(A,\\psi)\\in{\\cal A}(L)\\times \\Gamma(W)$ where ${\\cal A}(L)$ denotes \nthe space of hermitian connections on $L^{1\/2}$, and read:\n\\begin{equation}\n\\begin{array}{rcl} D_A \\psi &\\,\\,=\\,\\,& 0 \\\\\nc(\\star F_A + i\\star\\mu) &=& \\psi\\otimes\\psi^* - \\frac{1}{2}|\\psi|^2\n\\end{array}\n\\label{sweqns}\n\\end{equation}\nHere $\\mu\\in\\Omega^2(X)$ is a closed form used as a perturbation; if\n$b_1(X)>1$ we may choose $\\mu$ as small as we like.\n\nOn a closed oriented 3--manifold the {\\it Seiberg--Witten moduli space} is \nthe set of $L^{2,2}$ solutions to the \nabove equations modulo the action of the gauge group ${\\cal G}= \nL^{2,3}(X;S^1)$, which acts on connections by conjugation and on \nspinors by complex multiplication. For generic choice of \nperturbation $\\mu$ the moduli space ${\\cal M}_\\sigma$ is a compact \nzero--dimensional manifold that is smoothly cut out by its defining \nequations (if $b_1(X)>0$). There is a way to orient ${\\cal M}_\\sigma$ \nusing a so-called homology orientation of $X$, and the {\\it \nSeiberg--Witten invariant} of $X$ in the {\\mbox{\\rm spin${}^c$}}  structure $\\sigma$ is \ndefined to be the signed count of points of ${\\cal M}_\\sigma$. One \ncan show that if $b_1(X)>1$ then the resulting number is independent \nof all choices involved and depends only on $X$ (with its orientation); \nwhile if $b_1(X) = \n1$ there is a slight complication: in this case we need to make a\nchoice of generator $o$ for the free part of $H^1(X;{\\mathbb Z})$ and require\nthat $\\langle[\\mu]\\cup o, [X]\\rangle > \\pi \\langle c_1(\\sigma)\\cup o,\n[X]\\rangle$.\n\nSuppose now that rather than a closed manifold, $X$ is isometric to a \nproduct $\\Sigma\\times {\\mathbb R}$ for some Riemann surface $\\Sigma$. If $t$ \nis the coordinate in the ${\\mathbb R}$ direction, then Clifford \nmultiplication by $dt$ is an automorphism of square $-1$ of $W$ and \ntherefore splits $W$ into eigen-bundles $E$ and $F$ on which $dt$ \nacts \nas multiplication by $-i$ and $i$, respectively. In fact \n$F = K^{-1}E$ where $K$ is the canonical bundle of $\\Sigma$, and \n$2E-K = L$, the determinant line of $\\sigma$. Writing a section \n$\\psi$ \nof $W$ as $(\\alpha,\\beta)\\in\\Gamma(E\\oplus K^{-1}E)$, we can express \nthe Dirac operator in this decomposition as:\n\\[\nD_A\\psi = \\left(\\begin{array}{cc} -i\\frac{\\partial}{\\partial t} & \n\\bar{\\partial}_{B,J}^* \\\\ \\mbox{$\\bar{\\partial}$}_{B,J} & i\\frac{\\partial}{\\partial t} \n\\end{array}\\right)\\left( \\begin{array}{c} \\alpha \\\\ \\beta \n\\end{array}\\right)\n\\]\nHere we have fixed a spin structure (with connection) $K^{1\/2}$ on \n$\\Sigma$ \nand noted \nthat the choice of a connection $A$ on $L^{1\/2} = E-K^{1\/2}$ is \nequivalent \nto a choice of connection $B$ on $E$. The metric on \n$\\Sigma\\times{\\mathbb R}$ induces a complex structure $J$ and area form \n$\\omega_\\Sigma$ on $\\Sigma$. Then $\\mbox{$\\bar{\\partial}$}_{B,J}$ is the associated $\\mbox{$\\bar{\\partial}$}$\noperator on sections of $E$ with adjoint operator\n$\\mbox{$\\bar{\\partial}$}_{B,J}^*$.\n\nThe 2--forms $\\Omega^2_{\\mathbb C}(\\Sigma\\times{\\mathbb R})$ split as \n$\\Omega^{1,1}(\\Sigma)\n\\oplus \n[(\\Omega^{1,0}(\\Sigma)\\oplus\\Omega^{0,1}(\\Sigma))\\otimes\\Omega^1_{\\mathbb C}({\\mathbb R})]$,\nand we will write a form $\\nu$ as $\\Lambda\\nu\\cdot\\omega_\\Sigma +\n\\nu^{1,0} dt + \\nu^{0,1} dt$ in this splitting. Thus $\\Lambda\n\\nu$ is a complex function on $\\Sigma\\times{\\mathbb R}$, while\n$\\nu^{1,0}$ and $\\nu^{0,1}$ are 1--forms on $\\Sigma$. With these\nconventions, the Seiberg--Witten equations become\n\\begin{equation}\n\\begin{array}{rcl} i\\dot{\\alpha} &\\,\\,=\\,\\,& \\mbox{$\\bar{\\partial}$}^*_{B,J}\\beta \\\\\ni\\dot{\\beta} &=& -\\mbox{$\\bar{\\partial}$}_{B,J} \\alpha \\\\\n 2\\Lambda F_B- \\Lambda F_K + 2i\\Lambda\\mu &=& \ni(|\\alpha|^2-|\\beta|^2) \\\\\n(2F_B - F_K)^{1,0} + 2i\\mu^{1,0} &=& \\alpha\\otimes \n\\bar{\\beta} \n\\end{array}\n\\label{redsweqns}\n\\end{equation}\nOne can show \nthat for a finite-energy solution either $\\alpha$ or $\\beta$ must \nidentically vanish; apparently this implies any such solution is \nconstant, and the above system of equations descends to $\\Sigma$ when \nwritten in temporal gauge (ie, so the connection has no $dt$ component). \nThe above equations (with\n$\\beta=0$) therefore reduce to the {\\it vortex equations} in $E$,\nwhich are for a pair $(B, \\alpha)\\in {\\cal A}(E)\\times \\Gamma(E)$ and\nread\n\\begin{eqnarray}\n\\mbox{$\\bar{\\partial}$}_{B,J} \\alpha &=& 0 \\label{vortex1}\\\\\ni\\star F_B + \\frac{1}{2}|\\alpha|^2 &=& \\tau \\label{vortex2}\n\\end{eqnarray}\nwhere $\\tau$ is a function on $\\Sigma$ satisfying $\\int \\tau > \n2\\pi\\deg(E)$ and \nincorporates the curvature $F_K$ and perturbation above. These \nequations are well-understood, and it is known that the space of \nsolutions to the vortex equations modulo $\\mbox{Map}(\\Sigma, S^1)$ \nis isomorphic to the space of solutions $(B,\\alpha)$ of the single \nequation\n\\[\n\\mbox{$\\bar{\\partial}$}_{B,J} \\alpha = 0\n\\]\nmodulo the action of $\\mbox{Map}(\\Sigma, {\\mathbb C}^*)$. The latter is \nnaturally identified with the space of divisors of degree $d= \n\\deg(E)$ on $\\Sigma$ via the zeros of $\\alpha$, and forms a K\\\"ahler \nmanifold isomorphic to the $d$-th symmetric power $\\mathrm{Sym}^d\n\\Sigma$, which for brevity we will abbreviate as $\\Sigma^{(d)}$\nfrom now on. We write ${\\cal M}_d(\\Sigma,J)$ (or simply ${\\cal\nM}(\\Sigma)$) for the moduli space of vortices in a bundle $E$ of\ndegree $d$ on $\\Sigma$.\n\nThe situation for $\\alpha \\equiv 0$ is analogous to \nthe above: in this case $\\beta$ satisfies $\\mbox{$\\bar{\\partial}$}^*_{B,J}\\beta = 0$ so \nthat $\\star_2\\beta$ is a holomorphic section of $K\\otimes E^*$. \nReplacing $\\beta$ by $\\star_2\\beta$ shows that the Seiberg--Witten\nequations reduce to the vortex equations in the bundle $K\\otimes E^*$,\ngiving a moduli space isomorphic to $\\Sigma^{(2g-2-d)}$.\n\n\n\\section{A TQFT for Seiberg--Witten invariants}\n\\label{tqftsec}\n\nIn this section we describe Donaldson's ``topological quantum field \ntheory'' for computing the Seiberg--Witten invariants. Suppose $W$ is \na \ncobordism between two Riemann surfaces $S_-$ and $S_+$. We complete \n$W$ by adding tubes $S_\\pm\\times [0,\\infty)$ to the boundaries and \nendow the completed manifold $\\hat{W}$ with a Riemannian metric that \nis a product on the ends. By considering finite-energy solutions to \nthe Seiberg--Witten equations on $\\hat{W}$ in some {\\mbox{\\rm spin${}^c$}}  structure\n$\\sigma$, we can produce a Fredholm problem and show that such\nsolutions must approach solutions to the vortex equations on $S_\\pm$. \nFollowing a solution to its limiting values, we obtain smooth maps\nbetween moduli spaces, $\\rho_\\pm\\co  {\\cal M}(\\hat{W})\\to {\\cal\nM}(S_\\pm)$.  Thus we can form\n\\begin{eqnarray*}\n\\kappa_\\sigma = (\\rho_-\\otimes\\rho_+)_*[{\\cal M}(\\hat{W})]&\\in&\nH_*({\\cal M}(S_-)) \\otimes H_*({\\cal M}(S_+)) \\\\\n&\\cong& \\hom (H^*({\\cal M}(S_-)),H^*({\\cal M}(S_+))).\n\\end{eqnarray*}\nHere we use Poincar\\'e duality and work with rational coefficients.\n\nThis is the basis for our ``TQFT:'' to a surface $S$ we associate the\ncohomology of the moduli space ${\\cal M}(S)$, and to a\ncobordism $W$ between $S_-$ and $S_+$ we assign the homomorphism \n$\\kappa_\\sigma$:\n\\begin{eqnarray*}\nS&\\longmapsto & V_S = H^*({\\cal M}(S))\\\\\nW&\\longmapsto & \\kappa_\\sigma\\co  V_{S_-}\\to V_{S_+}\n\\end{eqnarray*}\nIn the sequel we will be interested only in cobordisms $W$ that\nsatisify the topological assumption $H_1(W,\\partial W) = {\\mathbb Z}$.  Under\nthis asssumption, gluing theory for Seiberg--Witten solutions provides a\nproof of the central property of TQFTs, namely that if $W_1$ and $W_2$\nare composable cobordisms then $\\kappa_{W_1\\cup W_2} =\n\\kappa_{W_2}\\circ\\kappa_{W_1}$.\n\nIf $X$ is a closed oriented 3--manifold with $b_1(X)>0$ then the above\nconstructions can be used to calculate the Seiberg--Witten invariants\nof $X$, as seen in \\cite{D1}.  We now describe the procedure involved. \nBegin with a Morse function $\\phi\\co  X\\to\nS^1$ as in the introduction, and cut $X$ along the level set $S$\nto produce a cobordism $W$ between two copies of $S$, which come\nwith an identification or ``gluing map'' $\\partial_- W\\to \\partial_+\nW$. Write $g$ for the genus of $S$. The cases $b_1(X)>1$ and $b_1(X)=1$ are\nslightly different and we consider them separately.\n\nSuppose $b_1(X)>1$, so the perturbation $\\mu$ in (\\ref{sweqns}) can\nbe taken to be small.  Consider the constant solutions to the equations\n(\\ref{redsweqns}) on the ends of $\\hat{W}$, or equivalently the\npossible values of $\\rho_\\pm$.  If $\\beta \\equiv 0$ then $\\alpha$ is a\nholomorphic section of $E$ and so the existence of a nonvanishing\nsolution requires $\\deg(E)\\geq 0$. Since $\\mu$ is small,\nintegrating the third equation in (\\ref{redsweqns}) tells us that\n$2E-K$ is nonpositive. Hence existence of nonvanishing solutions\nrequires $0\\leq \\deg(E)\\leq \\frac{1}{2}\\deg(K) = g-1$. If\n$\\alpha\\equiv 0$, then $\\star_2\\beta$ is a holomorphic section of\n$K-E$ so to avoid triviality we must have $0\\leq\\deg(K)-\\deg(E)$,\nie, $\\deg(E)\\leq 2g-2$. On the other hand, integrating the\nthird Seiberg--Witten equation tells us that $2E-K$ is\nnonnegative, so that $\\deg(E)\\geq g-1$. To summarize we have\nshown that constant solutions to the Seiberg--Witten equations on\nthe ends of $\\hat{W}$ in a {\\mbox{\\rm spin${}^c$}}  structure $\\sigma$ are just the\nvortices on $S$ (with the finite-energy hypothesis). If\n$\\det(\\sigma) = L$ a necessary condition for the existence of\nsuch solutions is $-2g+2\\leq \\deg(L) \\leq 2g-2$ (recall $L =\n2E-K$ so in particular $L$ is even). If this condition is\nsatisfied than the moduli space on each end is isomorphic to\n${\\cal M}_n(S) \\cong S^{(n)}$ where $n =\ng-1-\\frac{1}{2}|\\deg(L)|$. Note that by suitable choice of\nperturbation $\\mu$ we can eliminate the ``reducible'' solutions,\nie, those with $\\alpha \\equiv 0 \\equiv \\beta$, which otherwise\nmay occur at the extremes of our range of values for $\\deg(L)$.\n\nNow assume $b_1(X) = 1$.  Integrating the third equation in\n(\\ref{redsweqns}) shows\n\\[\n\\langle c_1(\\sigma), S\\rangle - \\frac{1}{\\pi}\\langle\n[\\mu],S\\rangle = \\frac{1}{2\\pi}\\int_S |\\beta|^2- |\\alpha|^2.\n\\]\nThe left hand side of this is negative by our assumption on $\\mu$, and\nwe know that either $\\alpha\\equiv 0$ or $\\beta \\equiv 0$.  The first\nof these possibilities gives a contradiction; hence $\\beta\\equiv 0$\nand the system (\\ref{redsweqns}) reduces to the vortex equations in $E$\nover $S$. Existence of nontrivial solutions therefore requires\n$\\deg(E)\\geq 0$, ie, $\\deg(L)\\geq 2-2g(S)$. Thus the moduli\nspace on each end of $\\hat{W}$ is isomorphic to ${\\cal\nM}_n(S) \\cong S^{(n)}$, where $n = \\deg(E) =\ng-1+\\frac{1}{2}\\deg(L)$ and $\\deg(L)$ is any even integer at\nleast $2-2g(S)$.\n\n\\begin{thm}[Donaldson] Let $X$, $\\sigma$, $\\phi$, $S$, and $W$ be\nas above. Write $\\langle c_1(\\sigma),[S]\\rangle = m$ and define\neither $n = g(S)-1 -\\frac{1}{2}|m|$ or $n = g(S) - 1\n+\\frac{1}{2}m$ depending whether $b_1(X)>1$ or $b_1(X) = 1$. Then\nif $n\\geq 0$,\n\\begin{equation}\n{\\mbox{\\rm Tr}} \\,\\kappa_\\sigma = \\sum_{\\tilde{\\sigma}\\in{\\cal S}_m}\nSW(\\tilde{\\sigma})\n\\label{traceeqn}\n\\end{equation}\nwhere ${\\cal S}_m$ denotes the set of {\\mbox{\\rm spin${}^c$}}  structures\n$\\tilde{\\sigma}$ on $X$ such that $\\langle\nc_1(\\tilde{\\sigma}),[S]\\rangle = m$. If $n<0$ then the right hand\nside of (\\ref{traceeqn}) vanishes. Here ${\\mbox{\\rm Tr}}$ denotes the graded\ntrace.\n\\label{tracethm}\n\\end{thm}\n\nNote that with $n$ as in the theorem, $\\kappa_\\sigma$ is a linear map \n\\[\n\\kappa_\\sigma\\co  H^*(S^{(n)})\\to H^*(S^{(n)});\n\\]\nas the trace of $\\kappa_\\sigma$ computes a sum of Seiberg--Witten \ninvariants rather than just $SW(\\sigma)$, we use the notation \n$\\kappa_n$ rather than $\\kappa_\\sigma$.\n\nSince $\\kappa_n$ obeys the composition law, in order to determine\nthe map corresponding to $W$ we need only determine the map generated\nby elementary cobordisms, ie, those consisting of a single 1-- or\n2--handle addition (we need not consider 0-- or 3--handles by our\nassumption on $\\phi$).  In \\cite{D1}, Donaldson uses an elegant\nalgebraic argument to determine these elementary homomorphisms.  To\nstate the result, recall that the cohomology of the $n$-th symmetric\npower $S^{(n)}$ of a Riemann surface $S$ is given over ${\\mathbb Z}$,\n$\\cue$, ${\\mathbb R}$, or ${\\mathbb C}$ by\n\\begin{equation}\nH^*(S^{(n)}) = \\bigoplus_{i=0}^n \\Lambda^iH^1(S)\\otimes\n{\\mbox{\\rm Sym}}^{n-i}(H^0(S)\\oplus H^2(S)).\n\\label{symprodcohom}\n\\end{equation}\nSuppose that $W$ is an elementary cobordism connecting two surfaces\n$\\Sigma_g$ and $\\Sigma_{g+1}$. Thus there is a unique critical point (of index 1) of the \nheight function \n$h\\co  W\\to {\\mathbb R}$, and the ascending manifold of this critical point \nintersects $\\Sigma_{g+1}$ in an essential simple closed curve that we will\ndenote by $c$.\n\nNow, $c$ obviously bounds a disk $D\\subset W$; the \nPoincar\\'e--Lefschetz dual \nof $[D]\\in H_2(W,\\partial W)$ is a 1--cocycle that we will denote \n$\\eta_0\\in H^1(W)$. It is easy to check that $\\eta_0$ is in the kernel \nof the restriction $r_1\\co H^1(W)\\to H^1(\\Sigma_g)$, so we may complete \n$\\eta_0$ to a basis $\\eta_0,\\eta_1,\\ldots,\\eta_{2g}$ of $H^1(W)$ with the \nproperty that\n$\\xi_1:=r_1(\\eta_1),\\ldots,\\hspace{1ex}\\xi_{2g}:=r_1(\\eta_{2g})$\nform a basis for $H^1(\\Sigma_g)$. Since the restriction\n$r_2\\co H^1(W)\\to H^1(\\Sigma_{g+1})$ is injective, we know\n$\\bar{\\xi}_0:=r_2(\\eta_0), \\ldots,\\hspace{1ex} \\bar{\\xi}_{2g}:=\nr_2(\\eta_{2g})$ are linearly independent; note that $r_2(\\eta_0)$\nis just $c^*$, the Poincar\\'e dual of $c$.\n\nThe choice of basis $\\eta_j$ with its restrictions $\\xi_j$, \n$\\bar{\\xi}_j$ gives rise to an inclusion $i\\co H^1(\\Sigma_g)\\to \nH^1(\\Sigma_{g+1})$ in the obvious way, namely $i(\\xi_j) = \n\\bar{\\xi_j}$.  One may check that this map is independent of the \nchoice of basis $\\{\\eta_j\\}$ for $H^1(W)$ having $\\eta_0$ as above.  \nFrom the decomposition (\\ref{symprodcohom}), we can extend $i$ to an \ninclusion $i\\co  H^*(\\Sigma_g^{(n)})\\hookrightarrow \nH^*(\\Sigma_{g+1}^{(n)})$.  Having produced this inclusion, we now \nproceed to suppress it from the notation, in particular in the \nfollowing theorem.\n\n\\begin{thm}[Donaldson] In this situation, and with $\\sigma$ and $n$ as\npreviously, the map $\\kappa_n$ corresponding to the elementary cobordism\n$W$ is given by\n\\[\n\\kappa_n(\\alpha) = c^*\\wedge\\alpha.\n\\]\nIf $\\bar{W}$ is the ``opposite'' cobordism between $\\Sigma_{g+1}$ and\n$\\Sigma_g$, the corresponding $\\kappa_n$ is given by the contraction\n\\[\n\\kappa_n(\\beta) = \\iota_{c^*}\\beta,\n\\]\n\\label{wedgethm}\nwhere contraction is defined using the intersection pairing on\n$H^1(\\Sigma_{g+1})$.\n\\end{thm}\n\nThis result makes the calculation of Seiberg--Witten invariants\ncompletely explicit, as we see in the next few sections.\n\n\n\n\\section{Standardization of $X$}\n\\label{stdsec}\n\nWe now return to the situation of the introduction: namely, we \nconsider a closed 3--manifold $X$ having $b_1(X)\\geq 1$, with its \ncircle-valued Morse function $\\phi\\co  X\\to S^1$ having no critical \npoints of index $0$ or $3$, and $N$ critical points of each index $1$ \nand $2$. We want to \nshow how to identify $X$ with a ``standard'' manifold $M(g, N, h)$ \nthat depends only on $N$ and a diffeomorphism $h$ of a Riemann \nsurface of genus $g+N$. This standard manifold will be obtained from two\n``compression bodies,'' ie, cobordisms between surfaces\nincorporating handle additions of all the same index. Two copies\nof the same compression body can be glued together along their\nsmaller-genus boundary by the identity map, then by a\n``monodromy'' diffeomorphism of the other boundary component to\nproduce a more interesting 3--manifold. Such a manifold lends\nitself well to analysis using the TQFT from the previous section,\nas the interaction between the curves $c$ corresponding to each\nhandle is completely controlled by the monodromy. We now will\nshow that every closed oriented 3--manifold $X$ having $b_1(X)>0$\ncan be realized as such a glued-up union of compression bodies.\n\nTo begin with, we fix a closed oriented genus 0 surface\n$\\Sigma_0$ (that is, a standard 2--sphere) with an\norientation-preserving embedding $\\psi_{0,0}\\co S^0\\times D^2\\to\n\\Sigma_0$. Here we write $D^n = \\{x\\in{\\mathbb R}^n||x|<1\\}$ for the\nunit disk in ${\\mathbb R}^n$. There is a standard way to perform surgery\non the image of $\\psi_{0,0}$ (see \\cite{milnor2}) to obtain a new\nsurface $\\Sigma_1$ of genus 1 and an orientation-preserving\nembedding $\\psi_{1,1}\\co S^1\\times D^1\\to \\Sigma_1$. In fact we can\nget a cobordism $(W_{0,1},\\Sigma_0,\\Sigma_1)$ with a\n``gradient-like vector field'' $\\xi$ for a Morse function\n$f\\co W_{0,1}\\to [0,1]$. Here $f^{-1}(0) = \\Sigma_0$, $f^{-1}(1) =\n\\Sigma_1$, and $f$ has a single critical point $p$ of index 1\nwith $f(p) = \\frac{1}{2}$. We have that $\\xi[f] >0$ away from $p$\nand that in local coordinates near $p$, $f = \\frac{1}{2} -{x_1}^2\n+ {x_2}^2 + {x_3}^2$ and $\\xi = -x_1\\frac{\\partial}{\\partial\nx_1}+x_2\\frac{\\partial}{\\partial x_2}\n+x_3\\frac{\\partial}{\\partial x_3} $. The downward flow of $\\xi$\nfrom $p$ intersects $\\Sigma_0$ in $\\psi_{0,0}(S^0\\times 0)$ and\nthe upward flow intersects $\\Sigma_1$ in $\\psi_{1,1}(S^1\\times\n0)$.\n\nChoose an embedding $\\psi_{0,1}\\co S^0\\times D^2\\to \\Sigma_1$ whose \nimage \nis disjoint from $\\psi_{1,1}(S^1\\times D^1)$. Then we can repeat the \nprocess above to get another cobordism $(W_{1,2}, \\Sigma_1, \n\\Sigma_2)$ \nwith Morse function $f\\co  W_{1,2}\\to [1,2]$ having a single critical \npoint of index 1 at level $\\frac{3}{2}$, and gradient-like vector \nfield $\\xi$ as before. \n\nContinuing in this way, we get a sequence of cobordisms \n$(W_{g,g+1},\\Sigma_g,\\Sigma_{g+1})$ between surfaces of genus \ndifference 1, with Morse functions $f\\co W_{g,g+1}\\to [g,g+1]$ \nand gradient-like vector fields $\\xi$. To each $\\Sigma_g$, $g\\geq 1$, is \nalso associated a pair of embeddings $\\psi_{i,g}\\co S^i\\times D^{2-i}\\to \n\\Sigma_g$, $i=0,1$. These embeddings have disjoint images, and are \norientation-preserving with respect to the given, fixed orientations \non the $\\Sigma_g$. Note that the orientation on $\\Sigma_g$ induced \nby $W_{g,g+1}$ is opposite to the given one, so the map \n$\\psi_{0,g}\\co S^0\\times D^2\\to -\\Sigma_g=\\partial_- W_{g,g+1}$ is\norientation-reversing.\n\nSince the surfaces $\\Sigma_g$ \nare all standard, we have a natural way to compose $W_{g-1,g}$ and \n$W_{g,g+1}$ to produce a cobordism $W_{g-1,g+1} = W_{g-1,g} + \nW_{g,g+1}$\n with a Morse function \nto $[g-1,g+1]$ having two index-1 critical points. Furthermore, by \nreplacing $f$ by $-f$ we can obtain cobordisms $(W_{g+1,g}, \n\\Sigma_{g+1}, \\Sigma_g)$ with Morse functions having a single \ncritical point of index 2, and these cobordisms may be naturally \ncomposed with each other or with the original index-1 cobordisms \nobtained before (after appropriately adjusting the values of the \ncorresponding Morse functions), whenever such composition makes sense. \nWe may think of $W_{g+1,g}$ as being simply $W_{g,g+1}$ with the \nopposite orientation.\n\nIn particular, we can fix integers $g,N\\geq 0$ and proceed as \nfollows. \nBeginning with $\\Sigma_{g+N}$, compose the cobordisms \n$W_{g+N,g+N-1}, \\ldots, W_{g+1, g}$ to form a ``standard'' \ncompression body, and glue this with the \ncomposition $W_{g,g+1}+\\cdots + W_{g+N-1,g+N}$ using the identity\nmap on $\\Sigma_g$. The result is a cobordism $(W, \\Sigma_{g+N},\\Sigma_{g+N})$\nand a Morse function $f\\co  W\\to {\\mathbb R}$ that we may rescale to have range $[-N,N]$,\nhaving $N$ critical points each of index 1 and 2. By our\nconstruction, the first half of this cobordism, $W_{g+N,g}$, is\nidentical with the second half, $W_{g,g+N}$: they differ only in\ntheir choice of Morse function and associated gradient-like\nvector field.\n\nNow, by our construction the circles $\\psi_{1,g+k}\\co S^1\\times 0\\to \nf^{-1}(-k) = \\Sigma_{g+k}\\subset W$, $1\\leq k\\leq N$, all survive to\n$\\Sigma_{g+N}$ under downward flow of $\\xi$. This is because the\nimages of $\\psi_{1,q}$ and $\\psi_{0,q}$ are disjoint for all $q$.\nThus on the ``lower'' copy of $\\Sigma_{g+N}$ we have $N$ disjoint\nprimitive circles $c_1,\\ldots, c_N$ that, under upward flow of\n$\\xi$, each converge to an index 2 critical point. Similarly,\n(since $W_{g,g+N} = W_{g+N,g}$) the circles $\\psi_{1,l}\\co S^1\\times\n0 \\to f^{-1}(k)=\\Sigma_{g+k}\\subset W$, $1\\leq k\\leq N$, survive to\n$\\Sigma_{g+N}$ under upward flow of $\\xi$, and intersect the\n``upper'' copy of $\\Sigma_{g+N}$ in the circles $c_1,\\ldots,c_N$.\n\nNow suppose $h\\co \\partial_+W =\\Sigma_{g+N}\\to \\Sigma_{g+N}=-\\partial_-W$ \nis a diffeomorphism; \nthen we can use $h$ to identify the boundaries $f^{-1}(-N)$, \n$f^{-1}(N)$ of $W$, and produce a manifold that we will denote by \n$M(g, N, h)$. Note that this manifold is entirely determined by the \nisotopy class of the map $h$, and that if $h$ preserves orientation \nthen $M(g, N, h)$ is an orientable manifold having $b_1\\geq 1$.\n\n\n\\begin{thm} Let $X$ be a closed oriented 3--manifold and $\\phi\\co X\\to \nS^1$ a circle-valued Morse function with no critical points of index \n0 \nor 3, and with $N$ critical points each of index 1 and 2. Assume \nthat $[\\phi]\\in H^1(X;{\\mathbb Z})$ is of infinite order and indivisible. \nArrange \nthat $0<\\arg\\phi(p)<\\pi$ for $p$ an index 1 critical point and \n$\\pi<\\arg\\phi(q)<2\\pi$ for $q$ an index 2 critical point, and let $S_g = \n\\phi^{-1}(1)$, where $S_g$ has genus $g$. Then $X$ is\ndiffeomorphic to $M(g, N, h)$ for some\n$h\\co \\Sigma_{g+N}\\to\\Sigma_{g+N}$ as above.\n\\label{stdthm}\n\\end{thm}\n\nNote that $S_g$ has by construction the smallest genus among smooth\nslices for $f$.\n\n\\proof By assumption $-1$ is a regular value of $\\phi$, so \n$S_{g+N} = \\phi^{-1}(-1)$ is a smooth orientable submanifold of $X$;\nit is easy to see that $S_{g+N}$ is a closed surface of genus $g+N$.\nCut $X$ along $S_{g+N}$; then we obtain a cobordism $(W_\\phi, S_-,\nS_+)$ between two copies $S_\\pm$ of $S_{g+N}$, and a Morse function $f\\co \nW_\\phi\\to [-\\pi,\\pi]$ induced by $\\arg\\phi$. The critical points\nof $f$ are exactly those of $\\phi$ (with the same index), and by\nour arrangement of critical points we have that $f(q)<0$ for any\nindex 2 critical point $q$ and $f(p)>0$ for any index 1 critical\npoint $p$. It is well-known that we can arrange for the critical\npoints of $f$ to have distinct values, and that in this case\n$W_\\phi$ is diffeomorphic to a composition of elementary\ncobordisms, each containing a single critical point of $f$. For\nconvenience we rescale $f$ so that its image is the interval\n$[-N,N]$ and the critical values of $f$ are the half-integers\nbetween $-N$ and $N$. Orient each smooth level set $f^{-1}(x)$ by\ndeclaring that a basis for the tangent space of $f^{-1}(x)$ is\npositively oriented if a gradient-like vector field for $f$\nfollowed by that basis is a positive basis for the tangent space\nof $W_\\phi$.\n\nWe will show that $W_\\phi$ can be standardized by working ``from the \nmiddle out.'' Choose a gradient-like vector field $\\xi_f$ for $f$, \nand \nconsider $S_g = f^{-1}(0)$---the ``middle level'' of \n$W_\\phi$, corresponding to $\\phi^{-1}(1)$. There is exactly one \ncritical point of $f$ in the region $f^{-1}([0,1])$, of index 1, and \nas above $\\xi_f$ determines a ``characteristic embedding'' \n$\\theta_{0,g}\\co  S^0\\times D^2\\to S_g$. Choose a diffeomorphism \n$\\Theta_0\\co  S_g\\to \\Sigma_g$ such that $\\Theta_0\\circ\\theta_{0,g} = \n\\psi_{0,g}$; then it follows from \\cite{milnor2}, Theorem 3.13, that \n$f^{-1}([0,1])$ is diffeomorphic to $W_{g,g+1}$ by some \ndiffeomorphism $\\Theta$\nsending $\\xi_f$ to $\\xi$. (Recall that $\\xi$ is the gradient-like\nvector field fixed on $W_{g,g+1}$.)\n\nLet $\\Theta_1\\co  S_{g+1}\\to \\Sigma_{g+1}$ be the restriction of  \n$\\Theta$\nto $S_{g+1} = f^{-1}(1)$, and let $\\mu_{0,g+1} = \n\\Theta_1^{-1}\\circ\\psi_{0,g+1}\\co S^0\\times D^2\\to S_{g+1}$.  Now \n$\\xi_f$ induces an embedding $\\theta_{0,g+1}\\co S^0\\times D^2\\to \nS_{g+1}$, by considering downward flow from the critical point in \n$f^{-1}([1,2])$.  Since { any two orientation-preserving \ndiffeomorphisms $D^2\\to D^2$ are isotopic} and $S_{g+1}$ is connected, \nwe have that $\\mu_{0,g+1}$ and $\\theta_{0,g+1}$ are isotopic.  It is \nnow a simple matter to modify $\\xi_f$ in the region \n$f^{-1}([1,1+\\epsilon])$ using the isotopy, and arrange that \n$\\theta_{0,g+1} = \\mu_{0,g+1}$.  Equivalently, \n$\\Theta\\circ\\theta_{0,g+1} = \\psi_{0,g+1}$, so the theorem quoted \nabove shows that $f^{-1}([1,2])$ is diffeomorphic to $W_{g+1, g+2}$.  \nIn fact, since the diffeomorphism sends $\\xi_f$ to $\\xi$, we get that \n$\\Theta$ extends smoothly to a diffeomorphism $f^{-1}([0,2])\\to \nW_{g,g+2}$.\n \nContinuing in this way, we see that after successive modifications of \n$\\xi_f$ in small neighborhoods of the levels $f^{-1}(k)$, $k = \n1,\\ldots, N-1$, we obtain a diffeomorphism $\\Theta\\co  f^{-1}([0,N])\\to \nW_{g,g+N}$ with $\\Theta_*\\xi_f = \\xi$.\n \nThe procedure is entirely analogous when we turn to the ``lower \nhalf'' of $W_\\phi$, but the picture is upside-down.  We have the \ndiffeomorphism $\\Theta_0\\co  S_g\\to \\Sigma_g$, but before we can extend \nit to a diffeomorphism $\\Theta\\co  f^{-1}([-1,0])\\to W_{g+1,g}$ we must \nagain make sure the characteristic embeddings match.  That is, \nconsider the map $\\theta'_{0,g}\\co  S^0\\times D^2\\to S_g$ induced by \nupward flow from the critical point, and compare it to \n$\\Theta_0^{-1}\\circ\\psi_{0,g}$.  As before we can isotope $\\xi_f$ in \n(an open subset whose closure is contained in) the region \n$f^{-1}([-\\epsilon, 0])$ so that these embeddings agree, and we then \nget the desired extension of $\\Theta$ to $f^{-1}([-1, N])$.  Then the \nprocedure is just as before: alter $\\xi_f$ at each step to make the \ncharacteristic embeddings agree, and extend $\\Theta$ one critical \npoint at a time.\n \nThus $\\Theta\\co  W_\\phi \\cong W = W_{g+N,g+N-1}+ \\cdots+ \nW_{g+1,g}+W_{g,g+1}+\\cdots + W_{g+N-1,g+N}$.  Since $W_\\phi$ was \nobtained by cutting $X$, it comes with an identification $\\iota\\co  \nS_+\\to S_-$.  Hence $X\\cong M(g, N, h)$ where $h = \n\\Theta\\circ\\iota\\circ\\Theta^{-1}\\co  \\Sigma_{g+N}\\to\\Sigma_{g+N}$.\n\\endproof\n\n\\begin{rem} The identification $X\\cong M(g, N, h)$ is not canonical, as it\ndepends on the initial choice of diffeomorphism $\\phi^{-1}(1)\\cong\n\\Sigma_g$, the final gradient-like vector field on\n$W_\\phi$ used to produce $\\Theta$, as well as the function $\\phi$.  As\nwith a Heegard decomposition, however, it is the existence of such a\nstructure that is important.\n\\end{rem}\n\n\\section{Preliminary calculations}\n\nThis section collects a few lemmata that we will use in the proof of\nTheorem \\ref{mainthm}.  Our main object here is to make the quantity\n$[\\zeta(F)\\det(d)]_n$ a bit more explicit.\n\nWe work in the standardized setup of the previous section, identifying\n$X$ with $M(g, N, h)$.  The motivation for doing so is mainly that our\ninvariants are purely algebraic---ie, homological---and the\nstandardized situation is very easy to deal with on this level.\n\nChoose a metric $k$ on $X=M(g, N, h)$; then gradient flow with\nrespect to $k$ on $(W, \\Sigma_{g+N},\\Sigma_{g+N})$ determines\ncurves $\\{c_i\\}_{i=1}^N$ and $\\{d_j\\}_{j=1}^N$ on $\\Sigma_{g+N}$,\nnamely $c_i$ is the intersection of the descending manifold of\nthe $i$th index-2 critical point with the lower copy of\n$\\Sigma_{g+N}$ and $d_j$ is the intersection of the ascending\nmanifold of the $j$th index-1 critical point with the upper copy\nof $\\Sigma_{g+N}$.\n\n\\begin{defn} The pair $(k,\\phi)$ consisting of a metric $k$ on $X$ \ntogether with the Morse function $\\phi\\co X\\to S^1$ is said to be \n{\\em symmetric}\nif the following conditions are satisfied.  Arrange the critical \npoints of $\\phi$ as in Theorem \\ref{stdthm}, so that all critical \npoints have distinct values. Write $W_\\phi$ for the cobordism \n$X\\setminus\\phi^{-1}(-1)$, and $f\\co W_\\phi\\to[-N,N]$ for the \n(rescaled) Morse function induced by $\\phi$ as in the proof of Theorem \n\\ref{stdthm}.  Write $I$ for the (orientation-reversing) involution \nobtained by swapping the factors in the expression $W_\\phi \\cong \nW_{g+N,g}\\cup W_{g,g+N}$.  We require:\n\\begin{enumerate}\n\\item $I^*f = -f$.\n\\item For every $x\\in W_{g+N,g}$ we have $(\\nabla f)_{I(x)} = -I_*(\\nabla \nf)_x$.\n\\end{enumerate}\n\\end{defn}\n\nSymmetric pairs $(k,\\phi)$ always exist: choose any metric on\n$X$, and then in the construction used in the proof of Theorem \n\\ref{stdthm}, take our gradient-like vector field $\\xi_f$ to be a \nmultiple of the gradient of $f$ with respect to that metric.  It is a \nstraightforward exercise to see that the isotopies of $\\xi_f$ needed in \nthat proof may be obtained by modifications of the metric.\n\nWe use the term ``symmetric'' here because the gradient flows of the \nMorse function $f$ on the portions $W_{g+N,g}$ and $W_{g,g+N}$ are \nmirror images of each other. We will also say that the flow of $\\nabla \nf$ or of $\\nabla\\phi$ is symmetric in this case.\n\nSuppose $M(g,N,h)$ is endowed with a symmetric pair, and consider the \ncalculation of $\\zeta(F)\\tau(M^*)$ in this case. Recall that $F$ is \nthe return map of the flow of $\\nabla\\phi$ from $\\Sigma_g$ to itself \n(though $F$ is only partially defined due to the existence of \ncritical points). Because of the symmetry of the flow, it is easy to see\nthat:\n\\begin{enumerate}\n\\item[(I)] The fixed points of iterates $F^k$ are in 1--1 correspondence \nwith fixed points of iterates $h^k$ of the gluing map in the \nconstruction of $W$, and the Lefschetz signs of the fixed points \nagree. Indeed, if $h$ is sufficiently generic, we can \nassume that the set of fixed points of $h^k$ for $1\\leq k\\leq n$ (an \narbitrary, but fixed, $n$) occur away from the $d_j$ (which \nagree with the $c_i$ under the identification \n$I$ by symmetry).  \\item[(II)] The $(i,j)$th entry of the matrix of \n$d_M\\co  M^1\\to M^2$ in the Morse complex is given by the series\n\\begin{equation}\n\\sum_{k\\geq 1} \\langle {h^k}^* c_i,c_j\\rangle t^{k-1},\n\\label{dformula}\n\\end{equation}\nwhere $\\langle \\cdot,\\cdot\\rangle$ denotes the cup product pairing on \n$H^1(\\Sigma_{g+N},{\\mathbb Z})$ and we have identified the curves $c_i$ with \nthe Poincar\\'e duals of the homology classes they represent.\n\\end{enumerate}\n\nWe should remark that a symmetric pair is not {\\it a priori} \nsuitable for calculating the invariant $\\zeta(F)\\tau(M^*)$ of \nHutchings and Lee, since it is not generic. Indeed, for a\nsymmetric flow each index-2 critical point has a pair of upward\ngradient flow lines into an index-1 critical point. However, this\nis the only reason the flow is not generic: our plan now is to\nperturb a symmetric metric to one which does not induce the\nbehavior of the flow just mentioned; then suitable genericity of\n$h$ guarantees that the flow is Morse--Smale.\n\n\\begin{lemma} Assume that there are no ``short'' gradient flow lines \nbetween critical points, that is, every flow line between critical \npoints intersects $\\Sigma_g$ at least once.\nGiven a symmetric pair $(g_0,\\phi)$ on $M(g, N, h)$ and suitable genericity \nhypotheses on $h$, there exists a $C^0$--small \nperturbation of $g_0$ to a metric $\\tilde{g}$ such that for given $n\\geq 0$ \n\\begin{enumerate}\n\\item The gradient flow of $\\phi$ with respect to $\\tilde{g}$ is \nMorse--Smale; in particular the hypotheses of Theorem \\ref{HLthm}\nare satisfied. \n\\item The quantity $[\\zeta(F)\\tau(M^*)]_m$, $m\\leq\nn$ does not change under this perturbation.\n\\end{enumerate}\n\\label{perturblemma}\n\\end{lemma}\n\nWe defer the proof of this result to Section \\ref{lemmapfsec}.\n\n\\begin{rem} We can always arrange that there are no short gradient \nflow lines, at the expense of increasing $g = \\mathrm{genus}(\\Sigma_g)$. \nTo see this, begin \nwith $X$ and $\\phi\\co  X\\to S^1$ as before, with $\\Sigma_g =\n\\phi^{-1}(1)$ and the critical points arranged according to\nindex. Every gradient flow line then intersects $\\Sigma_{g+N}$.\nNow rearrange the critical points by an isotopy of $\\phi$ that is\nconstant near $\\Sigma_{g+N}$ so that the index-1 points occur in\nthe region $\\phi^{-1}(\\{e^{i\\theta}|\\pi<\\theta<2\\pi\\})$ and the\nindex-2 points in the complementary region. This involves moving\nall $2N$ of the critical points past $\\Sigma_g$, and therefore\nincreasing the genus of the slice $\\phi^{-1}(1)$ to $g+2N$; we\nstill have that every gradient flow line between critical points\nintersects $\\Sigma_{g+N}$.  Cutting $X$ along this new $\\phi^{-1}(1)$ gives \na cobordism $\\tilde{W}$ between two copies of $\\Sigma_{g+2N}$ and thus \nstandardizes $X$ in the way we need while ensuring that there are no \nshort flows.\n\\end{rem}\n\n\\begin{cor} The coefficients of the torsion $\\tau(X,\\phi)$ may be\ncalculated homologically, as the coefficients of the quantity\n$\\zeta(h)\\tau(M^*_0)$ where $M^*_0$ is the Morse complex coming\nfrom a symmetric flow.\n\\label{symcor}\n\\end{cor}\n\nThat is, we can use properties I and II of symmetric pairs to\ncalculate each coefficient of the right-hand side of (\\ref{HLeqn}).\n\n\\begin{lemma}\\label{detlemma}\nIf the flow of $\\nabla\\phi$ is symmetric, the torsion \n$\\tau(M^*)$ is represented by a polynomial whose $k$th coefficient is given by\n\\[\n[\\tau(M^*)]_k = \\sum_{s_1+\\cdots + s_N = k \\atop \\sigma\\in{\\mathfrak \nS}_N} (-1)^{{\\mathrm{sgn}}(\\sigma)}\\langle {h^{s_1}}^*c_1,c_{\\sigma(1)}\\rangle\\cdots \n\\langle {h^{s_N}}^*c_N,c_{\\sigma(N)}\\rangle.\n\\]\n\\end{lemma}\n\n\\proof Since there are only two nonzero terms in the Morse \ncomplex, the torsion is represented by the determinant of the differential \n$d_M\\co M^1\\to M^2$.  Our task is to calculate a single coefficient of \nthe determinant of this matrix of polynomials.  It will be convenient \nto multiply the matrix of $d_M$ by $t$; this multiplies $\\det(d_M)$ by \n$t^N$, but $t^N\\det(d_M)$ is still a representative for $\\tau(M^*)$.  \nMultiplying formula (\\ref{dformula}) by $t$ shows\n\\begin{eqnarray*}\nt^N\\det(d_M) &=& \\sum_{\\sigma\\in{\\mathfrak S}_N} (-1)^{{\\mathrm{sgn}}(\\sigma)} \n\\prod_i \\left( \\sum_k \\langle {h^{k}}^* c_i,c_{\\sigma(i)}\\rangle \nt^k\\right) \\\\\n&=& \\sum_{k} \\sum_{\\sigma\\in{\\mathfrak S}_N} \\sum_{s_1+\\cdots s_N = \nk}(-1)^{{\\mathrm{sgn}}(\\sigma)} \\left( \\prod_i \\langle {h^{s_i}}^*c_i,\nc_{\\sigma(i)}\\rangle\\right) t^k\n\\end{eqnarray*}\nand the result follows.\\endproof\n\n\n\\section{Proof of Theorem \\ref{mainthm}}\n\nWe are now in a position to explicitly calculate ${\\mbox{\\rm Tr}} \\,\\kappa_n$ using Theorem\n\\ref{wedgethm} and as a result prove Theorem \\ref{mainthm}, assuming\nthroughout that $X$ is identified with $M(g, N, h)$ and the flow\nof $\\nabla\\phi$ is symmetric. Indeed, fix the nonnegative integer $n$ as\nin Section \\ref{tqftsec} and consider the cobordism $W_\\phi$ as\nabove, identified with a composition of standard elementary\ncobordisms. Using Theorem \\ref{wedgethm} we see that the first\nhalf of the cobordism, $W_{g+N,g}=f^{-1}([0,N])$, induces the map:\n\\begin{eqnarray*}\nA_1\\co  H^*(\\Sigma_{g+N}^{(n+N)})&\\to&\nH^*(\\Sigma_{g}^{(n)})\\\\\n\\alpha&\\mapsto&\\iota_{c_N^*}\\cdots\\iota_{c_1^*}\\,\\alpha\n\\end{eqnarray*}\nThe second half, $f^{-1}([N,2N])$, induces:\n\\begin{eqnarray*}\nA_2\\co  H^*(\\Sigma_g^{(n)})&\\to& H^*(\\Sigma_{g+N}^{(n+N)})\\\\\n\\beta&\\mapsto& c_1^*\\wedge\\cdots\\wedge c_N^*\\wedge\\beta\n\\end{eqnarray*}\nTo obtain the map $\\kappa_n$ we compose the above with the gluing\nmap $h^*$ acting on the symmetric power $\\Sigma_{g+N}^{(n+N)}$. The\nalternating trace ${\\mbox{\\rm Tr}} \\,\\kappa_n$ is then given by ${\\mbox{\\rm Tr}}(h^*\\circ\nA_2\\circ A_1)$.\n\nFollowing MacDonald \\cite{MD}, we can take a monomial basis for\n$H^*(\\Sigma_g^{(n)})$.  Explicitly, if $\\{x_i\\}_{i = 1}^{2g}$ is a\nsymplectic basis for $H^1(\\Sigma)$ having $x_i\\cup x_{j+g} =\n\\delta_{ij}$ for $1\\leq i,j\\leq g$, and $x_i\\cup x_j = 0$ for other\nvalues of $i$ and $j$, $1\\leq i<j\\leq 2g$, and $y$ denotes the\ngenerator of $H^2(\\Sigma_g)$ coming from the orientation class, the\nexpression (\\ref{symprodcohom}) shows that the set\n\\[\nB_g^{(n)} = \\{\\alpha\\} = \\{x_Iy^q = x_{i_1}\\wedge\\cdots\\wedge x_{i_k}\\cdot\ny^q| I = \\{i_1<\\ldots<i_k\\}\\subset\\{1,\\ldots,2g\\}\\},\n\\]\nwhere $q=1,\\ldots,n$ and $k=0,\\ldots,n-q$, forms a basis for\n$H^*(\\Sigma_g^{(n)})$.  We take $H^*(\\Sigma_{g+k}^{(n+k)})$ to have\nsimilar bases $B_{g+k}^{(n+k)}$, using the images of the $x_i$ under the inclusion\n$i\\co H^1(\\Sigma_{g+k-1})\\to H^1(\\Sigma_{g+k})$ constructed in section\n\\ref{tqftsec}, the (Poincar\\'e duals of the) curves $c_1,\\ldots,c_k$, \nand (the Poincar\\'e duals of) some chosen dual curves $d_i$ to the $c_i$ as a \nbasis for $H^1(\\Sigma_{g+k})$.  Our convention is that $c_i\\cup d_j = \n\\delta_{ij}$, where we now identify $c_i$, $d_j$ with their Poincar\\'e duals.\n\nThe dual basis for $B_{g+k}^{(n+k)}$ under the cup product pairing will be denoted\n${B}_{n+k}^{\\circ} = \\{\\alpha^{\\circ}\\}$.  Thus $\\alpha^\\circ\\cup \\beta =\n\\delta_{\\alpha\\beta}$ for basis elements $\\alpha$ and\n$\\beta$. By abuse of notation, we will write $B_g^{(n)}\\subset\nB_{h}^{(m)}$ for $g\\leq h$ and $n\\leq m$; this makes use of the\ninclusions on $H^1(\\Sigma_g)$ induced by our standard cobordisms.\n\nWith these conventions, we can write:\n\\begin{eqnarray*}\n{\\mbox{\\rm Tr}}\\,\\kappa_n &=& \\sum_{\\alpha\\in B_{g+N}^{(n+N)}}(-1)^{\\deg(\\alpha)}\n\\alpha^\\circ\\cup h^*\\circ A_2\\circ A_1(\\alpha)\\\\\n&=& \\sum_{\\alpha\\in B_{g+N}^{(n+N)}} (-1)^{\\deg(\\alpha)}\\alpha^\\circ\\cup\nh^*(c_1\\wedge\\cdots\\wedge c_N \\, \\iota_{c_N}\\cdots\\iota_{c_1}\n\\alpha)\n\\end{eqnarray*}\nFor a term in this sum to be nonzero, $\\alpha$ must be of a particular\nform.  Namely, we must be able to write $\\alpha = d_1\\wedge\\cdots\n\\wedge d_N\\wedge \\beta$ for some $\\beta\\in B_g^{(n)}$.  The sum then can\nbe written:\n\\begin{eqnarray}\n&=& \\sum_{\\beta\\in B_g^{(n)}}\n(-1)^{\\deg(\\beta)+N}(d_1\\wedge\\cdots \\wedge d_N\\wedge \\beta)^\\circ \\cup\nh^*(c_1\\wedge\\cdots \\wedge c_N\\wedge \\beta)\n\\label{traceform}\n\\end{eqnarray}\nIn words, this expression asks us to find the coefficient of\n$d_1\\wedge \\cdots \\wedge d_N\\wedge \\beta$ in the basis expression of\n$h^*(c_1\\wedge \\cdots \\wedge c_N \\wedge\\beta)$, and add up the results\nwith particular signs.  Our task is to express this coefficient in\nterms of intersection data among the $c_i$ and the Lefschetz numbers\nof $h$ acting on the various symmetric powers of $\\Sigma_g$. \n\nConsider the term of (\\ref{traceform}) corresponding to $\\beta = \nx_Iy^q$ for $I=\\{i_1,...,i_k\\}\\subset\\{1,...,2g\\}$ and $x_I = \nx_{i_1}\\wedge\\cdots\\wedge x_{i_k}$. The coefficient of \n$d_1\\wedge\\cdots\\wedge d_N\\wedge x_Iy^q$ in the basis expression of \n$h^*(c_1\\wedge\\cdots\\wedge c_N\\wedge x_Iy^q)$ is computed by pairing \neach of $\\{c_1,...,c_N,x_{i_1},...,x_{i_k}\\}$ with each of \n$\\{d_1,...,d_N,x_{i_1},...,x_{i_k}\\}$ in every possible way, and \nsumming the results with signs corresponding to the permutation \ninvolved. To make the notation a bit more compact, for given $I$ let $\\bar{I} = \n\\{1,...,N,i_1,...,i_k\\}$ and write the elements of $\\bar{I}$ as \n$\\{\\bar{\\imath}_m\\}_{m=1}^{N+k}$. Likewise, set $\\bar{I}' = \n\\{N+1,...,2N,i_1,...,i_k\\} = \n\\{\\bar{\\imath}'_1,...,\\bar{\\imath}'_{N+k}\\}$.\n\nWrite $\\{\\xi_i\\}_{i=1}^{2N+2g}$ for our basis of $H^1(\\Sigma_{g+N})$: \n\\begin{eqnarray*}\n& \\xi_1 = c_1, \\quad\\cdots,\\quad \\xi_N = c_N,\\,\\,\\xi_{N+1} = \nd_1,\\quad\\cdots,\\quad \\xi_{2N} = d_N &\\\\\n&\\xi_{2N+1} =x_1,\\quad\\cdots,\\quad \\xi_{2N+2g} = x_{2g}&\n\\end{eqnarray*}\nand let $\\{\\xi_i'\\}$ be the dual basis: $\\langle \\xi_i,\\xi'_j \n\\rangle = \\delta_{ij}$. Define $\\zeta_i = h^*(\\xi_i)$. \n\nThen since $\\deg\\beta = |I| = k$  modulo 2, the term of \n(\\ref{traceform}) corresponding to $\\beta = x_Iy^q$ is \n\\begin{equation}\n(-1)^{k+N} \\sum_{\\sigma\\in\\mathfrak{S}_{k+N}} (-1)^{{\\mathrm{sgn}}(\\sigma)} \n\\langle \\zeta_{\\bar{\\imath}_1}, \n\\xi'_{\\bar{\\imath}_{\\sigma(1)}'}\\rangle \\cdots \\langle \n\\zeta_{\\bar{\\imath}_{k+N}}, \\xi'_{\\bar{\\imath}'_{\\sigma(k+N)}}\\rangle,\n\\label{coeffform}\n\\end{equation}\nand (\\ref{traceform}) becomes\n\\begin{equation}\n{\\mbox{\\rm Tr}}\\,\\kappa_n =\\sum_{k=0}^{\\mathrm{min}(n,2g+2N)}\\hspace*{-1em}\n(2(n-k)+1)\\hspace{-2em}\\sum_{I\\subset\\{2N+1,\\ldots,2N+2g\\}\\atop\n|I| = k}\\hspace*{-1.5em} [\\mbox{formula (\\ref{coeffform})}].\n\\label{traceform2}\n\\end{equation}\n\nHere we are using the fact that for each $k =\n0,\\ldots,\\mathrm{min}(n,2g+2N)$ the space\n$\\Lambda^kH^1(\\Sigma_{g+N})$ appears in $H^*(\\Sigma^{(n)})$\nprecisely $2(n-k)+1$ times, each in cohomology groups of all the\nsame parity.\n\nNote that from (\\ref{traceform}) we can see that the result is unchanged\nif we allow not just sets $I\\subset\\{2N+1,\\ldots,2N+2g\\}$ in our\nsum as above, but extend the sum to include sets $I =\n\\{i_1,\\ldots,i_k\\}$, where $i_1\\leq\\cdots \\leq i_k$ and each\n$i_j\\in\\{1,\\ldots,2N+2g\\}$. That is, we can allow $I$ to include\nindices referring to the $c_i$ or $d_i$, and allow repeats: terms\ncorresponding to such $I$ contribute 0 to the sum. Likewise, we\nmay assume that the sum in (\\ref{traceform2}) is over $k =\n0,\\ldots,n$ since values of $k$ larger than $2g+2N$ necessarily\ninvolve repetitions in $\\bar{I}$.\n\nConsider the permutations $\\sigma\\in\\mathfrak{S}_{k+N}$ used in the \nabove. The fact that the first $N$ elements of $\\bar{I}$ and \n$\\bar{I}'$ are distinguished (corresponding to the $c_j$ and $d_j$, \nrespectively) gives such permutations an additional structure. \nIndeed, writing $A =\\{1,...,N\\}\\subset\\{1,...,N+k\\}$, let $\\bar{A}$ \ndenote the orbit of $A$ under powers of $\\sigma$, and set $B = \n\\{1,...,N+k\\}\\setminus \\bar{A}$. Then $\\sigma$ factors into a \nproduct $\\sigma = \\rho\\cdot\\tau$ where $\\rho = \\sigma|_{\\bar{A}}$ \nand $\\tau = \\sigma|_B$. By construction, $\\rho$ has the property that \nthe orbit of $A$ under $\\rho$ is all of $\\bar{A}$. Given any \nintegers $0\\leq m\\leq M$, we let $\\mathfrak{S}_{M;m}$ denote the collection \nof permutations $\\alpha$ of $\\{1,...,M\\}$ such that the orbit of \n$\\{1,...,m\\}$ under powers of $\\alpha$ is all of $\\{1,...,M\\}$.  The \ndiscussion above can be summarized by saying that if $\\bar{A} = \n\\{a_1,...,a_N,a_{N+1},...,a_{N+r}\\}$ (where $a_i = i$ for $i=1,...,N$) \nand $B = \\{b_1,...,b_t\\}$ then $\\sigma$ preserves each of $\\bar{A}$ \nand $B$, and $\\sigma(\\bar{A})= \\{a_{\\rho(1)},...,a_{\\rho(N+r)}\\}$, \n$\\sigma(B) = \\{b_{\\tau(1)},...,b_{\\tau(t)}\\}$ for some \n$\\rho\\in\\mathfrak{S}_{N+r;N}$, $\\tau\\in\\mathfrak{S}_t$.  Furthermore, \n${\\mathrm{sgn}}(\\sigma) = {\\mathrm{sgn}}(\\rho)+ {\\mathrm{sgn}}(\\tau)$ mod 2.\n\nFinally, for $\\rho\\in \\mathfrak{S}_{N+r;N}$ as above, we define\n\\[\ns_i = \\min\\{m>0|\\rho^m(i)\\in\\{1,...,N\\}\\}.\n\\]\nThe definition of $\\mathfrak{S}_{N+r;N}$ implies that $\\sum_{i=1}^N \ns_i = r+N$.\n\nIn (\\ref{traceform2}) we are asked to sum over all sets $I$ with $|I|=k$ and all \npermutations $\\sigma\\in\\mathfrak{S}_{N+k}$ of the subscripts of \n$\\bar{I}$ and $\\bar{I}'$. From the preceding remarks, this is\nequivalent to taking a sum over all sets\n$\\bar{A}\\supset\\{1,...,N\\}$ and $B$ with $|\\bar{A}|+|B|=N+k$, and\nall permutations $\\rho$ and $\\tau$,\n$\\rho\\in\\mathfrak{S}_{N+r;N}$, $\\tau\\in\\mathfrak{S}_t$ (where\n$|\\bar{A}| = N+r$, $|B| = t$). Since we are to sum over all $I$\nand $k$ and allow repetitions, we may replace $\\bar{I}$ by\n$\\bar{A}\\cup B$, meaning we take the sum over all $\\bar{A}$ and\n$B$ and all $\\rho$ and $\\tau$ as above, and eliminate reference\nto $I$. Thus, we replace $\\xi_{\\bar{\\imath}_{a_j}}$ by\n$\\xi_{a_j}$ and $\\xi_{\\bar{\\imath}_{a_j}'}$ by $\\xi_{a_j'}$ if we\ndefine $\\bar{A}' =\n\\{N+1,...,2N\\}\\cup(\\bar{A}\\setminus\\{1,...,N\\})$. (Put another\nway, pairs $(\\bar{I},\\sigma)$ are in 1--1 correspondence with\n4--tuples $(\\bar{A}, B, \\rho, \\tau)$.) Then we can write\n${\\mbox{\\rm Tr}}\\,\\kappa_n$ as:\n\\begin{eqnarray*}\n&&\\hspace*{-2em}\\sum_{k=0}^n\n(2(n-k)+1)(-1)^{k+N}\\hspace{-1em} \\sum_{\\bar{A},B\\atop |\\bar{A}|+|B| =\nk+N}\n\\sum_{\\rho\\in\\mathfrak{S}_{|A|;N}\\atop\\tau\\in\\mathfrak{S}_{|B|}}\n(-1)^{{\\mathrm{sgn}}(\\rho)}\\hspace{-1.1em}\\prod_{i=1,\\ldots,N\\atop\nm=0,\\ldots,s_i-1}\\langle\n\\zeta_{a_{\\rho^m(i)}},\\xi'_{a'_{\\rho^{m+1}(i)}}\\rangle\\\\\n&&\\hspace*{2in}\\times\n(-1)^{{\\mathrm{sgn}}(\\tau)}\\prod_{r=1}^{|B|}\\langle\\zeta_{b_r},\\xi'_{b_{\\tau(r)}}\\rangle\n\\end{eqnarray*}\nCarrying out the sum over all $B$ of a given size $t$ and all\npermutations $\\tau$, this becomes:\n\\begin{eqnarray*}\n&&\\hspace*{-2em}\\sum_{k=0}^n \\sum_{\\bar{A};\n|\\bar{A}| = k+N-t\\atop t=0,\\ldots,k}\n\\sum_{\\rho\\in\\mathfrak{S}_{|A|;N}}\n(-1)^{{\\mathrm{sgn}}(\\rho)+k+N}(2(n-k)+1)\\hspace{-1em}\\prod_{i=1,\\ldots,N\\atop\nm=0,\\ldots,s_i-1}\\langle\n\\zeta_{a_{\\rho^m(i)}},\\xi'_{a'_{\\rho^{m+1}(i)}}\\rangle\\\\\n&&\\hspace*{2in}\\times\n\\mathrm{tr}(h^*|_{\\Lambda^tH^1(\\Sigma_{g+N})})\n\\end{eqnarray*}\nReordering the summations so that the sum over $\\bar{A}$ is on\nthe outside and the sum on $t$ is next, we find that $k =\n|\\bar{A}|-N+t$ and the expression becomes:\n\\begin{eqnarray*}\n&&\\hspace*{-2em} \\sum_{\\bar{A}\\atop |\\bar{A}|-N =\n0,\\ldots,n}\\sum_{t=0}^{n-(|\\bar{A}|-N)}\n(-1)^{|\\bar{A}|+{\\mathrm{sgn}}(\\rho)}\\sum_{\\rho\\in\\mathfrak{S}_{|A|;N}}\n\\prod_{i=1,\\ldots,N\\atop m=0,\\ldots,s_i-1}\\langle\n\\zeta_{a_{\\rho^m(i)}},\\xi'_{a'_{\\rho^{m+1}(i)}}\\rangle\\\\\n&&\\hspace*{1in}\\times (-1)^t(2[n-(t-(|\\bar{A}|-N))]+1)\n\\mathrm{tr}(h^*|_{\\Lambda^tH^1(\\Sigma_{g+N})})\n\\end{eqnarray*}\nAgain using the fact that $\\Lambda^tH^1(\\Sigma_{g+N})$ appears exactly\n$2(|\\bar{A}|-t)+1$ times in $H^*(\\Sigma^{(|\\bar{A}|-N)})$ and \nwriting $|\\bar{A}| = N+r$, we can\ncarry out the sum over $t$ to get that ${\\mbox{\\rm Tr}}\\,\\kappa_n$ is:\n\\[\n\\sum_{r=0}^n \\left[\\sum_{\\bar{A}\\atop|\\bar{A}|-N =r}\n\\sum_{\\rho\\in\\mathfrak{S}_{r+N;N}}\n(-1)^{{\\mathrm{sgn}}(\\rho)+|\\bar{A}|}\\hspace{-1em}\\prod_{i=1,\\ldots,N \\atop\nm=0,\\ldots,s_i-1}\n\\langle\\zeta_{a_{\\rho^m(i)}},\\xi'_{a'_{\\rho^{m+1}(i)}}\\rangle \\right]\\cdot\nL(h^{(n-r)})\n\\]\nHere $L(h^{(n-r)})$ is the Lefschetz number of $h$ acting on\nthe $(n-r)$th symmetric power of $\\Sigma_{g+N}$ which, as remarked \nin (\\ref{zetasym}), is the $(n-r)$th coefficient of $\\zeta(h)$. In \nview of Corollary \\ref{symcor}, we will be done if we show\nthat the quantity in brackets is the $r$th coefficient of the \nrepresentative $t^N\\det(d_M)$ of $\\tau(M^*)$.  Recalling the definition \nof $\\bar{A}$, $\\zeta_i$, and $\\xi_i$, note that the terms that we are \nsumming in the brackets above are products over all $i$ of formulae \nthat look like\n\\begin{equation}\n\\langle c_i,\\xi'_{a'_{\\rho(i)}}\\rangle\\langle\nh^*(\\xi_{a_{\\rho(i)}}),\\xi'_{a'_{\\rho^2(i)}}\\rangle\\cdots\\langle\nh^*(\\xi_{\\rho^{s_i-1}(i)}),c_{\\tilde{\\rho}(i)}\\rangle\n\\label{example}\n\\end{equation}\nwhere $\\tilde{\\rho}(i)\\in\\{1,\\ldots,N\\}$ is defined to be\n$\\rho^{s_i}(i)$. If we sum this quantity over all $\\bar{A}$ and all\n$\\rho$ that induce the same permutation $\\tilde{\\rho}$ of\n$\\{1,\\ldots,N\\}$, we find that (\\ref{example}) becomes simply $\\langle\n{h^*}^{s_i}(c_i),c_{\\tilde{\\rho}(i)}\\rangle$. Therefore the\nquantity in brackets is a sum of terms like\n\\[\n(-1)^{{\\mathrm{sgn}}(\\rho)+r+N}\\langle{h^*}^{s_1}c_1,c_{\\tilde{\\rho}(1)}\\rangle\\cdots\\langle\n{h^*}^{s_N}(c_N),c_{\\tilde{\\rho}(N)}\\rangle,\n\\]\nwhere we have fixed $s_1,\\ldots,s_N$ and $\\tilde{\\rho}$ and carried out the\nsum over all $\\rho$ such that\n\\begin{enumerate}\n\\item $\\mathrm{min}\\{m>0|\\rho^m(i)\\in\\{1,\\ldots,N\\}\\} = s_i$, and\n\\item The permutation $i\\mapsto \\rho^{s_i}(i)$ of\n$\\{1,\\ldots,N\\}$ is $\\tilde{\\rho}$.\n\\end{enumerate}\n(As we will see, ${\\mathrm{sgn}}(\\rho)$ depends only on\n$\\tilde{\\rho}$ and $|\\bar{A}|$.) It remains to sum over partitions\n$s_1+\\cdots +s_N$ of $s = |\\bar{A}| = r+N$ and over permutations\n$\\tilde{\\rho}$. But from Corollary \\ref{symcor} and Lemma\n\\ref{detlemma}, the result of those two summations is precisely\n$[\\tau(M^*)]_r$, if we can see just that ${\\mathrm{sgn}}(\\tilde{\\rho}) =\n{\\mathrm{sgn}}(\\rho) + |\\bar{A}|$ mod 2. That is the content of the next lemma.\n\n\\begin{lemma}\nLet $A = \\{1,\\ldots,N\\}$ and $\\bar{A} = \\{1,\\ldots,s\\}$ for some\n$s\\geq N$. Let $\\rho\\in\\mathfrak{S}_{s;N}$ and define\n\\[\n\\tilde{\\rho}(i)\\in\\mathfrak{S}_N, \\,\\,\\tilde{\\rho}(i) = \\rho^{s_i}(i)\n\\]\nwhere $s_i$ is defined as above.\nThen ${\\mathrm{sgn}}(\\rho) = {\\mathrm{sgn}}(\\tilde{\\rho}) + m$ modulo 2.\n\\end{lemma}\n\n\\proof Suppose $\\rho = \\rho_1\\cdots\\rho_p$ is an expression\nof $\\rho$ as a product of disjoint cycles; we may assume that the\ninitial elements $a_1,\\ldots,a_p$ of $\\rho_1,\\ldots,\\rho_p$ are\nelements of $A$ since $\\rho\\in\\mathfrak{S}_{m;N}$. For convenience we \ninclude any 1--cycles among the $\\rho_i$, noting that the only elements \nof $\\bar{A}$ that may be fixed under $\\rho$ are in $A$. It is easy to\nsee that cycles in $\\rho$ are in 1--1 correspondence with cycles\nof $\\tilde{\\rho}$, so the expression of $\\tilde{\\rho}$ as a\nproduct of disjoint cycles is $\\tilde{\\rho} =\n\\tilde{\\rho}_1\\cdots\\tilde{\\rho}_p$ where each $\\tilde{\\rho}_i$\nhas $a_i$ as its initial element. For $a\\in A$, define\n\\begin{eqnarray*}\nn(a) &=& \\min\\{m>0| \\rho^m(a)\\in A\\} \\\\\n\\tilde{n}(a) &=& \\min\\{m>0 | \\tilde{\\rho}^m(a) = a\\}.\n\\end{eqnarray*}\nNote that $n(a_i) = s_i$ for $i=1,...,N$, $\\sum s_i = s$, \nand $\\tilde{n}(a_i)$ is the length of the cycle\n$\\tilde{\\rho}_i$. The cycles $\\rho_i$ are of the form\n\\[\n\\rho_i =\n(a_i\\cdots\\tilde{\\rho}(a_i)\\cdots\\tilde{\\rho}^2(a_i)\\cdots\\cdots\n\\tilde{\\rho}^{\\tilde{n}(a_i) - 1}(a_i) \\cdots)\n\\]\nwhere ``$\\cdots$'' stands for some number of elements of\n$\\bar{A}$. Hence the cycles $\\rho_i$ have length\n\\[\nl(\\rho_i)\\hspace{1ex} = \\sum_{m=0}^{\\tilde{n}(a_i) - 1}\n(n(\\tilde{\\rho}^m(a_i))+1) \\hspace{1ex}=\\hspace{1ex}\n\\tilde{n}(a_i) +\\hspace{-.5em}\n\\sum_{m=0}^{\\tilde{n}(a_i)-1}\\hspace{-.5em}n(\\tilde{\\rho}^m(a_i)).\n\\]\nModulo 2, then, we have\n\\begin{eqnarray*}\n{\\mathrm{sgn}}(\\rho) &=& \\sum_{i=1}^p (l(\\rho_i) - 1) \\\\\n&=& \\sum_{i=1}^p\\left[\\left(\\tilde{n}(a_i) +\n\\sum_{m=0}^{\\tilde{n}(a_i)-1}n(\\tilde{\\rho}^m(a_i))\\right) - 1\\right]\n\\\\\n&=& \\sum_{i=1}^p (\\tilde{n}(a_i)-1) +\n\\sum_{i=1}^p\\sum_{m=0}^{\\tilde{n}(a_i)-1} n(\\tilde{\\rho}^m(a_i)) \\\\\n&=& {\\mathrm{sgn}}(\\tilde{\\rho}) + s,\n\\end{eqnarray*}\nsince because $\\rho\\in\\mathfrak{S}_{s;N}$ we have \n$\\sum_{i=1}^p\\sum_{m=0}^{\\tilde{n}(a_i)-1} n(\\tilde{\\rho}^m(a_i)) = \n\\sum_{i=1}^N s_i = s$.\\endproof\n\n\n\\section{Proof of Theorem \\ref{intthm}}\n\nThe theorem of Hutchings and Lee quoted at the beginning of this\nwork can be seen as (or more precisely, the logarithmic derivative\nof formula (\\ref{HLeqn}) can be seen as) a kind of Lefschetz\nfixed-point theorem for partially-defined maps, specifically the\nreturn map $F$, in which the torsion $\\tau(M^*)$ appears as a\ncorrection term (see \\cite{HL1}). Now, the Lefschetz number of a\nhomeomorphism $h$ of a closed compact manifold $M$ is just the\nintersection number of the graph of $h$ with the diagonal in\n$M\\times M$; such consideration motivates the proof of Theorem\n\\ref{HLthm} in \\cite{HL1}. With the results of Section\n\\ref{stdsec}, we can give another construction.\n\nGiven $\\phi\\co X = M(g,N,h)\\to S^1$ our circle-valued Morse function, cut along\n$\\phi^{-1}(-1)$ to obtain a cobordism $W_\\phi$ between two copies\nof $\\Sigma_{g+N}$. Write $\\gamma_i$, $i=1,\\ldots,N$ for the\nintersection of the ascending manifolds of the index-1 critical\npoints with $\\partial_+W$ and $\\delta_i$ for the intersection of\nthe descending manifolds of the index-2 critical points with\n$\\partial_-W$. Since the homology classes $[\\gamma_i]$ and\n$[\\delta_i]$ are the same (identifying\n$\\partial_+W=\\partial_-W=\\Sigma_{g+N}$), we may perturb the\ncurves $\\gamma_i$ and $\\delta_i$ to be parallel, ie, so that they do not\nintersect one another (or any other $\\gamma_j$, $\\delta_j$ for\n$j\\neq i$ either). Choose a complex structure on $\\Sigma_{g+N}$\nand use it to get a complex structure on the symmetric powers\n$\\Sigma_{g+N}^{(k)}$ for each $k$. Write $T_\\gamma$ for the\n$N$--torus $\\gamma_1\\times\\cdots\\times \\gamma_N$ and let\n$T_\\delta = \\delta_N\\times\\cdots\\times\\delta_1$. Define a function\n\\[\n\\psi\\co  T_\\gamma\\times \\Sigma_{g+N}^{(n)}\\times T_\\delta\\to\n\\Sigma_{g+N}^{(n+N)}\\times\\Sigma_{g+N}^{(n+N)}\n\\]\nby mapping the point $(q_1,\\ldots,q_N,\\sum p_i,q'_N,\\ldots,q'_1)$ \nto $(\\sum p_i + \\sum q_j, \\sum p_i + \\sum q_j')$. \n\nThe perhaps unusual-seeming orders on the $\\delta_i$ and in the\ndomain of $\\psi$ are chosen to obtain the correct sign in the sequel.\n\n\\begin{prop} $\\psi$ is a smooth embedding, and $D =\n\\mathrm{Im}\\psi$ is a totally real submanifold of\n$\\Sigma_{g+N}^{(n+N)}\\times\\Sigma_{g+N}^{(n+N)}$.\n\\end{prop}\n\nThe submanifold $D$ plays the role of the diagonal in the\nLefshetz theorem. \n\n\\proof That $\\psi$ is one-to-one is clear since the\n$\\gamma_i$ and $\\delta_j$ are all disjoint. For smoothness, we\nwork locally. Recall that the symmetric power $\\Sigma_g^{(k)}$ is\nlocally isomorphic to ${\\mathbb C}^{(k)}$, and a global chart on the latter is\nobtained by mapping a point $\\sum w_i$ to the coefficients of the\nmonic polynomial of degree $k$ having zeros at each $w_i$. Given a\npoint $(\\sum p_i +\\sum q_j, \\sum p_i+\\sum q_j')$ \nof $\\mathrm{Im}(\\psi)$ we can choose a coordinate chart on \n$\\Sigma_{g+N}$ containing all the points $p_i,q_j,q_j'$ so that the $\\gamma_i$ and \n$\\delta_j$ are described by disjoint curves in ${\\mathbb C}$.  Thinking of \n$q_j\\in\\gamma_j\\subset{\\mathbb C}\\cong{\\mathbb C}^{(1)}$ and simlarly for $q_j'$, we \nhave that locally $\\psi$ is just the multiplication map:\n\\begin{eqnarray*}\n&&\\hspace*{-.5in}\\left(\n(z-q_1),\\ldots,(z-q_N),\\prod_{i=1}^n(z-p_i),(z-q_1'),\\ldots,(z-q_N')\\right)\\\\\n&&\\hspace*{.5in}\\mapsto \\left(\\prod_{i=1}^n\n(z-p_i)\\prod_{j=1}^N(z-q_j),\\hspace{1ex}\\prod_{i=1}^n(z-p_i)\\prod_{j=1}^N(z-q_j')\\right)\n\\end{eqnarray*}\nIt is clear that the coefficients of the polynomials on the right hand side\ndepend smooth\\-ly on the coefficients of the one on the left\nand on the $q_j$, $q_j'$.\n\nOn the other hand, if $(f(z),g(z))$ are the polynomials whose\ncoefficients give the local coordinates for a point in\n$\\mathrm{Im}(\\psi)$, we know that $f(z)$ and $g(z)$ share exactly\n$n$ roots since the $\\gamma_i$ and $\\delta_j$ are disjoint. If\n$p_1$ is one such shared root then we can write $f(z) =\n(z-p_1)\\tilde{f}(z)$ and similarly for $g(z)$, where\n$\\tilde{f}(z)$ is a monic polynomial of degree $n+N-1$ whose\ncoefficients depend smoothly (by polynomial long division!) on\n$p_1$ and the coefficients of $f$. Continue factoring in this way\nuntil $f(z) = f_0(z)\\prod_{i=1}^n(z-p_i)$, using the fact that\n$f$ and $g$ share $n$ roots to find the $p_i$. Then $f_0$ is a\ndegree $N$ polynomial having one root on each $\\gamma_i$, hence\nhaving all distinct roots.  Those roots (the $q_j$) therefore depend smoothly on \nthe coefficients of $f_0$, which in turn depend smoothly on the \ncoefficients of $f$.  Hence $D$ is smoothly embedded.\n\nThat $D$ is totally real is also a local calculation, and is a\nfairly straightforward exercise from the definition.\\endproof\n\nWe are now ready to prove the ``algebraic'' portion of Theorem\n\\ref{intthm}.\n\n\\begin{thm}\\label{algintthm}\nLet $\\Gamma$ denote the graph of the map $h^{(n+N)}$\ninduced by the gluing map $h$ on the symmetric product\n$\\Sigma_{g+N}^{(n+N)}$. Then\n\\[\nD.\\Gamma = {\\mbox{\\rm Tr}}\\,\\kappa_n.\n\\]\n\\end{thm}\n\n\\proof Using the notation from the previous section, we\nhave that in cohomology the duals of $D$ and $\\Gamma$ are\n\\begin{eqnarray*}\nD^* &=& \\sum_{\\beta\\in B_{g+N}^{(n)}} (-1)^{\\epsilon_1(\\beta)}\n(c_1\\wedge\\cdots \\wedge c_N\\wedge \\beta^{\\circ})\\times\n(c_1\\wedge\\cdots \\wedge c_N\\wedge\\beta) \\\\\n\\Gamma^*&=& \\sum_{\\alpha\\in B_{g+N}^{(n+N)}}(-1)^{\\deg(\\alpha)}\n\\alpha^\\circ\\times {h^*}^{-1}(\\alpha).\n\\end{eqnarray*}\n Here $\\epsilon_1(\\beta) =\n\\deg(\\beta)(N+1)+\\frac{1}{2}N(N-1)$. Indeed, since\nthe diagonal is the pushforward of the graph by $1\\times\nh^{-1}$, we get that the dual of the graph is the pullback of the\ndiagonal by $1\\times h^{-1}$. We will find it convenient to write\n\\[\nD^* = \\sum_\\beta (-1)^{\\epsilon_1(\\beta) + \\epsilon_2(\\beta)}\n(c_1\\wedge\\cdots \\wedge c_N\\wedge \\beta)\\times (c_1\\wedge\\cdots\n\\wedge c_N\\wedge\\beta^{\\circ}),\n\\]\nby making the substitution $\\beta\\mapsto\\beta^{\\circ}$ in the\nprevious expression. Since $\\beta^{\\circ\\circ} =\n\\pm\\beta$, the result is still a sum over the monomial basis with\nan additional sign denoted by $\\epsilon_2$ in the above but which\nwe will not specify.\n\nTherefore the\nintersection number is\n\\begin{equation}\\begin{split}\nD^*\\cup \\Gamma^* =& \\sum_{\\alpha,\\beta}\n(-1)^{\\epsilon_1 + \\epsilon_2+ \\epsilon_3(\\alpha,\\beta)}\\\\&\n(\\alpha^\\circ\\cup(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta))\\times\n({h^*}^{-1}\\alpha\\cup(c_1\\wedge\\cdots\\wedge\nc_N\\wedge\\beta^\\circ))\\end{split}\n\\label{intformula1}\n\\end{equation}\nwhere $\\epsilon_3(\\alpha,\\beta) = \\deg(\\alpha)(1+\\deg(\\beta) +\nN)$. Since this is a sum over a monomial basis $\\alpha$, the\nfirst factor in the cross product above vanishes unless $\\alpha = \nc_1\\wedge\\cdots\\wedge c_N\\wedge\\beta$, and in that case is 1.  \nTherefore $\\deg(\\alpha) = \\deg(\\beta)+N$, which gives \n$\\epsilon_3(\\alpha,\\beta) \\equiv 0$ mod 2, and (\\ref{intformula1}) becomes\n\\begin{eqnarray}\nD^*\\cup\\Gamma^* &=& \\sum_\\beta (-1)^{\\epsilon_1 + \\epsilon_2}\n{h^*}^{-1}(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta)\\cup\n(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta^\\circ)\\nonumber\\\\\n&=& \\sum_\\beta (-1)^{\\epsilon_1+\\epsilon_2}\n(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta) \\cup\nh^*(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta^\\circ)\\nonumber\\\\\n&=& \\sum_\\beta (-1)^{\\epsilon_1} (c_1\\wedge\\cdots\\wedge\nc_N\\wedge\\beta^\\circ) \\cup h^*(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta)\n\\label{intformula2}\n\\end{eqnarray}\nwhere we have again used the substitution\n$\\beta\\mapsto\\beta^\\circ$ and therefore cancelled the sign $\\epsilon_2$.\nNow, some calculation using the cup product structure of\n$H^*(\\Sigma_{g+N}^{(n+N)})$ derived in \\cite{MD} shows that\n\\[\nc_1\\wedge\\cdots\\wedge c_N\\wedge\\beta^\\circ =\n(-1)^{\\epsilon_4(\\beta)}(d_1\\wedge\\cdots\\wedge d_N\\wedge\\beta)^\\circ.\n\\]\nwhere $\\epsilon_4(\\beta) = N\\deg(\\beta) +\n\\frac{1}{2}N(N+1) \\equiv \\epsilon_1(\\beta) + \\deg(\\beta) + N$ mod 2.\nNote that ${(\\cdot)}^\\circ$ refers to duality in\n$H^*(\\Sigma_{g+N}^{(n)})$ on the left hand side and in\n$H^*(\\Sigma_{g+N}^{(n+N)})$ on the right. Returning with this to\n(\\ref{intformula2}) gives\n\\[\nD^*\\cup\\Gamma^* = \\sum_\\beta (-1)^{\\deg(\\beta)+N}\n(d_1\\wedge\\cdots\\wedge d_N\\wedge\\beta)^\\circ\\cup\nh^*(c_1\\wedge\\cdots\\wedge c_N\\wedge\\beta),\n\\]\nwhich is ${\\mbox{\\rm Tr}}\\,\\kappa_n$ by (\\ref{traceform}). Theorem\n\\ref{algintthm} follows.\\endproof\n\nTo complete the proof of Theorem \\ref{intthm}, we recall that we\nhave already shown that $D$ is a totally real submanifold of\n$\\Sigma_{g+N}^{(n+N)}\\times\\Sigma_{g+N}^{(n+N)}$. The graph of\n$h^{(n+N)}$, however, is not even smooth unless $h$ is an\nautomorphism of the chosen complex structure of $\\Sigma_{g+N}$:\nin general the set-theoretic map induced on a symmetric power by\na diffeomorphism of a surface is only Lipschitz continuous.\nSalamon \\cite{S} has shown that if we choose a path of\ncomplex structures on $\\Sigma$ between the given one $J$ and\n$h^*(J)$, we can construct a symplectomorphism of the moduli\nspace ${\\cal M}(\\Sigma,J)\\cong\\Sigma_{g+N}^{(n+N)}$ that is\nhomotopic to the induced map $h^{(n+N)}$. Hence $\\Gamma$ is\nhomotopic to a Lagrangian submanifold of\n$\\Sigma_{g+N}^{(n+N)}\\times-\\Sigma_{g+N}^{(n+N)}$. Since\nLagrangians are in particular totally real, and since\nintersection numbers do not change under homotopy, Theorem\n\\ref{intthm} is proved.\n\n\n\n\n\n\\section{Proof of Lemma \\ref{perturblemma}}\n\\label{lemmapfsec}\n\nWe restate the lemma:\n\n{\\sl Assume that there are no ``short'' gradient flow lines \nbetween critical points, that is, every flow line between critical \npoints intersects $\\Sigma_g$ at least once.\nGiven a symmetric pair $(g_0,\\phi)$ on $M(g, N, h)$ and suitable genericity \nhypotheses on $h$, there exists a $C^0$--small \nperturbation of $g_0$ to a metric $\\tilde{g}$ such that for given $n\\geq 0$ \n\\begin{enumerate}\n\\item The gradient flow of $\\phi$ with respect to $\\tilde{g}$ is \nMorse--Smale; in particular the hypotheses of Theorem \\ref{HLthm}\nare satisfied. \n\\item The quantity $[\\zeta(F)\\tau(M^*)]_m$, $m\\leq\nn$ does not change under this perturbation.\n\\end{enumerate}}\n\n\\proof\nAlter $g_0$ in a small neighborhood of $\\Sigma_g\\subset M(g, N, h)$ as \nfollows, working in a half-collar neighborhood of $\\Sigma_g$ diffeomorphic to \n$\\Sigma_g\\times (-\\epsilon, 0]$ using the flow of $\\nabla_{g_0}\\phi$ to \nobtain the product structure on this neighborhood.\n\nLet $p_1,\\ldots,p_{2N}$ denote the \npoints in which the ascending manifolds (under gradient flow of $f$ \nwith respect to the symmetric metric $g_0$) of the index-2 critical points \nintersect $\\Sigma_g$ in $W_\\phi$. Since $g_0$ is symmetric, these \npoints are the same as the points $q_1,\\ldots,q_{2N}$ in which the \ndescending manifolds of the index-1 critical points intersect \n$\\Sigma_g$. Let ${\\cal O}$ denote the union of all closed orbits of \n$\\nabla\\phi$ (with respect to $g_0$) of degree no more than $n$, and \nall gradient flow lines connecting index-1 to index-2 critical points. We may \nassume that this is a finite set. Choose small disjoint coordinate disks \n$U_i$ around each $p_i$ such that $U_i\\cap ({\\cal O}\\cap \\Sigma_g) = \n\\emptyset$. \n\nIn $U_i\\times (-\\epsilon,0]$, we may suppose the Morse function $f$ is given by \nprojection onto the second factor, $(u,t)\\mapsto t$, and the metric is \na product $g_0 = g_{\\Sigma_g}\\oplus (1)$. Let ${X}_i$ be a \nnonzero constant \nvector field in the coordinate patch $U_i$ and $\\mu$ a cutoff function \nthat is equal to $1$ near $p_i$ and zero off a small neighborhood of \n$p_i$ whose closure is in $U_i$.  Let $\\nu(t)$ be a bump function that \nequals 1 near $t = \\epsilon\/2$ and vanishes near the ends of the \ninterval $(-\\epsilon,0]$.  Define the vector field $v$ in the set \n$U_i\\times (-\\epsilon, 0]$ by $v(u,t) = \\nabla_{g_0}\\phi + \\nu(t)\\mu(u) \nX(u)$.  Now define the metric $g_{X_i}$ in $U_i\\times (-\\epsilon,0]$\n by declaring that $g_{X_i}$ agrees with $g_0$ \non tangents to slices $U_i\\times\\{t\\}$, but that $v$ is orthogonal to the \nslices.  Thus, with respect to $g_{X_i}$, the gradient $\\nabla\\phi$ is \ngiven by a multiple of $v(u,t)$ rather than $\\partial\/\\partial t$.\n\nIt is easy to see that repelacing $g_0$ by $g_{X_i}$ in $U_i\\times \n(-\\epsilon,0]$ for each $i = 1,\\ldots,2N$ produces a metric $g_X$ for \nwhich upward gradient flow of $\\phi$ on $W_\\phi$ does not connect index-2 \ncritical points to index-1 critical points with ``short'' gradient \nflow lines.  Elimination of gradient flows of $\\phi$ from index-2 to index-1 \npoints that intersect $\\Sigma_{g+N}$ is easily arranged by small \nperturbation of $h$, as are transverse intersection of ascending and \ndescending manifolds and nondegeneracy of fixed points of $h$ and its \niterates.  Hence the new metric $g_X$ satisfies condition (1) of the \nLemma.\n\nFor condition (2), we must verify that we have neither created nor \ndestroyed either closed orbits of $\\nabla\\phi$ or flows from index-1 \ncritical points to index-2 critical points. The fact that no such \nflow lines have been destroyed is assured by our choice of neighborhoods \n$U_i$. We now show that we can choose the  vector fields $X_i$ such \nthat no fixed points of $F^k$ are created, for $1\\leq k\\leq n$.\n\nLet $F_1\\co  \\Sigma_g\\to \\Sigma_{g+N} = \\partial_+W_\\phi$ be the map induced by gradient \nflow with respect to $g_0$, defined away from the $q_j$, and let \n$F_2\\co  \\Sigma_{g+N} = \\partial_-W_\\phi\\to\\Sigma_g$ be the similar map \nfrom the bottom of the cobordism, defined away from the $c_j$. Then \nthe flow map $F$, with respect to $g_0$, is given by the composition \n$F = F_2\\circ h\\circ F_1$ where this is defined.  The return map with \nrespect to the $g_X$--gradient, which we will write $\\tilde{F}$, is \ngiven by $F$ away from the $U_i$ and by $F + cX$ in the coordinates on \n$U_i$ where $c$ is a nonnegative function on $U_i$ depending on $\\mu$ \nand $\\nu$, vanishing near $\\partial U_i$.\n\nConsider the graph $\\Gamma_{F^k}\\subset \\Sigma_g\\times\\Sigma_g$. Since \n$F^k$ is \nnot defined on all of $\\Sigma_g$ the graph is not closed, nor is its \nclosure a cycle since $F^k$ in general has no continuous extension to \nall of $\\Sigma$. Indeed, the boundary of $\\Gamma_{F^k}$ is given by a \nunion of products of ``descending slices'' (ie, the intersection of \na descending manifold of a critical point with $\\Sigma_g$) with \nascending slices. Restrict attention to the neighborhood \n$U$ of $p$, where for convenience $p$ denotes any of the \n$p_1,\\ldots,p_{2N}$ above. We have chosen $U$ so that there are no fixed \npoints of $F^k$ in this neighborhood, ie, the graph and the diagonal \nare disjoint over $U$. If there is an open set around $\\Gamma_{F^k}\\cap \n(U\\times U)$ that misses the diagonal $\\Delta\\subset U\\times \nU$, then any sufficiently small choice of $X$ will keep $\\Gamma_{F^k}$ \naway from $\\Delta$ and therefore produce no new closed orbits of the \ngradient flow.  However, it may be that $\\partial \\Gamma_{F^k}$ has points \non $\\Delta$.  Indeed, if $c\\subset\\partial_+W_\\phi = \\Sigma_{g+N}$ is \nthe ascending slice of the critical point corresponding to $p=q$, \nsuppose $h^k(c)\\cap c\\neq \\emptyset$.  Then it is not hard to see that \n$(p,p)\\in\\partial\\Gamma_{F^k}$, and this situation cannot \nbe eliminated by genericity assumptions on $h$.  Essentially, $p$ is \nboth an ascending slice and a descending slice, so \n$\\partial\\Gamma_{F^k}$ can contain both $\\{p\\}\\times(\\mathrm{asc.  \nslice})$ and $(\\mathrm{desc.  slice})\\times\\{p\\}$, and ascending and \ndescending slices can have $p$ as a boundary point.\n\nOur perturbation of $F$ using $X$ amounts, over $U$, to a ``vertical'' \nisotopy of $\\Gamma_{F^k}\\subset U\\times U$. The question of whether there is an $X$ \nthat produces no new fixed points is that of whether there is a \nvertical direction to move $\\Gamma_{F^k}$ that results in the \n``boundary-fixed'' points like $(p,p)$ described above remaining \noutside of $int(\\Gamma_{F^k})$. The existence of such a direction is \nequivalent to the jump-discontinuity of $F^k$ at $p$. This argument is \neasy to make formal in the case $k=1$, and for $k>1$ the ideas are the \nsame, with some additional bookkeeping. We leave the general argument \nto the reader.\n\nTurn now to the question of whether any new flow lines between \ncritical points are created. Let $D = (h\\circ F_1)^{-1}(\\bigcup c_i)$ denote \nthe first time that the descending manifolds of the critical points \nintersect $\\Sigma_g$, and let $A = F_2\\circ h (\\bigcup c_i)$ be the \nsimilar ascending slices. Then except for short flows, the flow lines \nbetween critical points are in 1--1 correspondence with intersections \nof $D$ and $F^k(A)$, for various $k\\geq 0$. We must show that our \nperturbations do not introduce new intersections between these sets. \nIt is obvious from our constructions that only $F^k(A)$ is affected by \nthe perturbation, since only $F_2$ is modified. \n\nSince there are no short flows by assumption, there are no \nintersections of $h^{-1}(c_j)$ with $c_i$ for any $i$ and $j$. This means \nthat $D$ consists of a collection of embedded circles in $\\Sigma_g$, \nwhere in general it may have included arcs connecting various $q_i$. \nHence, we can choose our neighborhoods $U_i$ small enough that \n$U_i\\cap D = \\emptyset $ for all $i$, and therefore the perturbed \nascending slices $\\tilde{F}^k(A)$ stay away from $D$. Hence no new \nflows between critical points are created.\n\nThis concludes the proof of Lemma \\ref{perturblemma}.\\endproof\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nWe continue to study the properties of the steep-spectrum sources from the Grakovo \ndecametre survey (UTR-2 catalogue) within the frequency range 10 to 25 MHz (\n\\cite[Braude et al. 1978] {Braude_etal78}, \n\\cite[Braude et al. 1979] {Braude_etal79},\n\\cite[Braude et al. 1981a]{Braude_etal81a}, \n\\cite[Braude et al. 1981b]{Braude_etal81b}, \n\\cite[Braude et al. 2003] {Braude_etal03}). \nThis peculiar class of radio sources (the value of low-frequency spectral index\nexceeds 1) corresponds to conception of the long evolution, when the critical frequency\nof the synchrotron emission can displace to values less than 10 MHz. Befor (\n\\cite[Miroshnichenko 2012a] {Miroshnichenko12a},\n\\cite[Miroshnichenko 2012b] {Miroshnichenko12b},\n\\cite[Miroshnichenko 2013] {Miroshnichenko13})\nwe received estimates of the main physical parameters of quasars and galaxies \nwith steep radio spectrum over the sample of objects at the decameter band \n(at the frame of the Lambda-CDM model of the Universe). The sample of objects with \nlinear steep spectrum (type S) includes 78 galaxies and 55 quasars with flux \ndensity more than 10 Jy at the frequency 25 MHz. The sample of objects with break\nsteep spectrum (type C+) contains 52 galaxies and 36 quasars with flux density  \nmore than 10 Jy at the frequency 25 MHz. The optical and high-frequency data for \nexamined sources have been got from the NED database. The redshift range of \nobjects forms 0.017-3.570. Note, our calculations show that galaxies and quasars\nwith steep low-frequency spectra have the great luminosity (by order of $10^{28}$ \nW\/(Hz ster) at the frequency 25 MHz) and very extended radio structure with linear size \nby order of 1 Mpc, and characteristic age by order of 100 million years ( \n\\cite[Miroshnichenko 2012a] {Miroshnichenko12a},\n\\cite[Miroshnichenko 2012b] {Miroshnichenko12b},\n\\cite[Miroshnichenko 2013] {Miroshnichenko13}).\n\n\\section{Contribution of decametre emission in sources with S-type and C+ - type of steep spectra}\n\nIt is known that the decametre  emission of galaxies and quasars corresponds to \nemission of their extended regions, outlying from source's core. At the same time, \nthe source's emission at the higher frequencies, mainly, is connected with the \nemission from the central region of radio source. The ratio of low-frequency\nand high-frequency luminosities may be as characteristic of different substructures \nof objects indicating some features of their evolution. Moreover, one is not influenced\nby the Universe model. So, we determine the ratios of the flux densities of emission\nin the different bands: decametre (25 MHz), \ncentimetre (5000 MHz), infrared (IR, K-band), optical (opt, V),X-ray (1 keV) band for quasars and galaxies from the steep-spectrum sample. These are identical to the ratios of the corresponding monochromatic luminosities (Table \\ref{tab1}).\nIt is important that the mean values of the corresponding luminosity's ratios for \nconsidered quasars and galaxies in Table \\ref{tab1} have enough close quantities.\nThus, the obtained characteristics of sources with steep radio spectrum are in concordance \nwith the unified model of sources.\n\n\\begin{table}\n  \\begin{center}\n  \\caption{Mean values of the ratios of monochromatic luminosities at the different bands for quasars\n  and galaxies with steep spectrum.}\n  \\label{tab1}\n\n  \\begin{tabular}{|l|c|c|}\\hline \n{\\bf Mean value of ratio} & {\\bf Quasars} & {\\bf Galaxies} \n    \\\\ \\hline\n $<lg(S_25\/S_5000)>$ & $1.69 \\pm 0.08$ & $1.74 \\pm 0.05$\\\\ \\hline\n \n $<lg(S_25\/S_IR)>$ & $4.30 \\pm 0.11$ & $3.67 \\pm 0.19$)\\\\ \\hline\n  \n $<lg(S_25\/S_opt)>$ & $5.00 \\pm 0.10$ & $5.15 \\pm 0.12$\\\\ \\hline\n \n $<lg(S_25\/S_X)>$ & $7.78 \\pm 0.17$ & $7.89 \\pm 0.33$\\\\ \\hline\n \n $<lg(S_IR\/S_X)>$ & $3.54 \\pm 0.20$ & $4.68 \\pm 0.47$\\\\ \\hline\n\n\n  \\end{tabular}\n\n \\end{center}\n\n\\end{table}\n\n\nWe have received the relations for derived luminosity ratios of quasars and galaxies\nwith spectrum S and C+ versus the redshift, linear size, characteristic age \n(see Fig.\\ref{fig1}-\\ref{fig4}). These relations evidence for the essential cosmological \nevolution of luminosities of steep-spectrum sources. The interesting picture is displayed \nin the relation of infrared and X-ray luminosities versus the linear size of sample \nobjects (Fig. \\ref{fig2}). The founded two branches in this relation may testify on\nthe recurrence of the nucleus activity in galaxies and quasars with steep radio spectrum.  \n  \n\\begin{figure}[h]\n\\begin{center}\n\\begin{minipage}[h]{0.45\\linewidth}\n \\includegraphics[width=1\\linewidth]{Mirosh_fig1.eps} \n \\caption{The ratio of monochromatic luminosities of examined sources at the decametre \n and infrared bands versus the redshift (for type S).}\n \\label{fig1}\n\\end{minipage}\n\\hfill \n\\begin{minipage}[h]{0.45\\linewidth}\n \\includegraphics[width=1\\linewidth]{Mirosh_fig2.eps} \n \\caption{The ratio of monochromatic luminosities of examined sources at the infrared\n  and X-ray bands versus the linear size (for type S).}\n \\label{fig2}\n\\end{minipage}\n\\end{center}\n\\end{figure}\n        \n\\begin{figure}[h]\n\\begin{center}\n\\begin{minipage}[h]{0.45\\linewidth}\n \\includegraphics[width=1\\linewidth]{Mirosh_fig3.eps} \n \\caption{The ratio of monochromatic luminosities of examined sources at the decametre\n and infrared bands versus the redshift (for type C+).}\n   \\label{fig3}\n\\end{minipage}\n\\hfill \n\\begin{minipage}[h]{0.45\\linewidth}\n \\includegraphics[width=1\\linewidth]{Mirosh_fig4.eps} \n \\caption{The ratio of monochromatic luminosities of examined sources at the decametre \n and infrared bands versus the characteristic age (for type S).}\n   \\label{fig4}\n\\end{minipage}\n\\end{center}\n\\end{figure}\n\n\n\n\\section{Conclusions}\n\nGalaxies and quasars with steep radio spectrum display the essential cosmological\nevolution.\nThe relative contribution of the decametre emission in steep-spectrum sources increases\nfor more extended objects.\nThe revealed two branches in relation of the ratio of infrared and X-ray luminosity\nversus the linear size of steep-spectrum galaxies and quasars may indicate on the\nactivity recurrence of sources.\nMutual similarity of the structure and the physical parameters of steep-spectrum\ngalaxies and quasars corresponds to the unified model of sources.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nX-ray pulsars comprise two stars, a NS (descended from a star with initial mass $>$ 8 M$_\\odot$, \\citealt{ver95}), and a mass-losing companion star, also of large mass. The general picture of accretion onto X-ray pulsars consists of a flow in a wind or disk to the magnetosphere and then along the dipole field lines onto the magnetic poles of the NS.\nThe pulsed fraction (PF), i.e., the relative amplitude of the emerging pulse profile, bears key information on the relation between X-ray emission from the accretion column (pulsed emission) and other regions of the accretion flow or NS surface (un-pulsed emission), e.g., \\citet{bel02}. \n\n\nThe SMC pulsar SXP 5.05 was reported by \\citet{coe15} to show a positive correlation between the PF and luminosity, as shown in their Fig. 11. Those data were taken while SXP 5.05 was undergoing high levels of accretion. At low mass accretion rates, \\citet{cui97} reported two X-ray pulsars (GX 1+4 and GRO J1744-28) whose PF decreases as the X-ray flux drops below a certain threshold. This is an indication of the propeller effect \\citep{Illarionov and Sunyaev 1975} that takes place when the pulsar magnetosphere grows beyond the co-rotation radius, and the centrifugal force prevents accreting matter from reaching the magnetic poles.\n\n\n\n\n\\citet{tie05} observed an anti-correlation between PF and the corresponding flux of 1E 1048.1-5937 in the Milky Way. Spectral variations as a function of the pulse phase shows the hardest spectrum at pulse maximum.\n\\citet{lut09} presented marginal evidence for an anti-correlation of PF and energy in source 4U 0115+63 and Her X-1. Fig. 4 from \\citet{tsy07} shows the increase of energy in 4U 0115+63 is not uniform but has local maximum near the cyclotron line. A positive and an anti- correlation is observed at low and high energy, respectively. \n\n\\citet{tsy10} noted the PF of V 0332+53 increases with decreasing photon energy below 12--15 keV, which is difficult to explain. An anti- and a positive correlation is observed at low and high luminosities, respectively (see their Fig. 10). Below $\\sim$$10^{38}$ {erg~s$^{-1}$} the anti-correlation is in accordance with a geometry model in which the PF is determined by the luminosity-dependent visible areas of the accretion columns. However, In the photon energy range 25--45 keV the observed correlation does not fully conform to the model.\n\\citet{par89} applied a geometric model to describe the pulse shape of X-ray pulsar EXO 2030+375 and showed\nthat below a luminosity of 4 $\\times$ $10^{36}$ {erg~s$^{-1}$}, the pencil beam becomes dominant compared to the fan-beam, along with an increase in the un-pulsed component and a decrease in the luminosity. In \\citet{bel02}'s classes of pulse profiles, visibility of the two polar caps depends on the angle between the magnetic rotation axis and dipole axis. If both poles are continuously visible, it is possible to have no pulsations. As shown in the modeled light curves of Fig. 5 from \\citet{yan17b}, in classes 2 and 4 of the upper panel,\nand classes 3 and 4 of the middle panel, when\nboth hot spots are visible, the observed pulse shows a plateau. \n \n \nWe have collected and analyzed the comprehensive archive of {\\itshape XMM-Newton\\\/} (116), {\\itshape Chandra\\\/} Advanced CCD Imaging Spectrometer (ACIS-I) (151), and {\\itshape RXTE\\\/} (952) observations of the known pulsars in the Small Magellanic Cloud (SMC), spanning the years 1997-2014. Our pipeline generates a suite of products for each pulsar detection: spin period, flux, event list, high time-resolution light-curve, pulse-profile, periodogram, and spectrum. Combining all three satellites, we generated complete histories of the spin periods, pulse amplitudes, pulsed fractions and X-ray luminosities \\citep{yan17}. \nBased on this archive, the relationship between the pulsed fraction (PF) and luminosity of the Small Magellanic Cloud pulsars have drawn our attention.\nWe find a surprising anti-correlation between pulsed fraction (PF) and luminosity in SMC X-ray pulsars, for example, SXP 1323, SXP 893, SXP 756, SXP 726, SXP 701, SXP 348, SXP 323. In this work, we show an example (SXP 1323) of this phenomenon and discuss the mechanism behind these results. We selected this source because it has the most data points compared to the other pulsars with anti-correlations.\n\nSXP 1323 (a.k.a. RX J0103.6-7201) was discovered by \\citet{hab05} and shows one of the longest pulse periods known in the SMC. The names of the optical companion star are [MA93] 1393 \\citep{mey93} and [M2002] SMC 56901 \\citep{2002ApJS..141...81M}. \\citet{car17} found the orbital period of this Be\/X-ray binary (BeXB) to be 26.2 days, which is very short for such a long spin period pulsar. It is located at RA = 01:03:37.5 and Dec. = -72:01:33 with a positional uncertainty of 1.1 arcsec \\citep{lin12}. The spectral type of this X-ray binary counterpart is B0 with a luminosity class of \\Romannum{3}-\\Romannum{5} \\citep{mcb08}.\n\nIn this paper, we present the pulsed fraction dependence on luminosity from 15-years of X-ray monitoring for SXP 1323. We aim to have a deeper understanding of the accretion process under the anti-correlation of the PFs and luminosities.\n\n\n\n\n\\section{Observations and Methods}\n\n\\label{sec:obs}\n\\citet{yan17} have collected and analyzed 36 {{\\it XMM-Newton}} and 108 {{\\it Chandra}} X-ray observations up until 2014 for SXP 1323. {{\\it XMM-Newton}} has detected this source 36 times and in 10 of these observations its pulsations are found. As for {{\\it Chandra}}, we only used the ACIS-I detections: 63 out of 108 observations yield source detections and 14 observations have detected its pulsations. We are not including {{\\it RXTE}} observations in this analysis since RXTE does not provide the required PF information. The {{\\it RXTE}} Proportional Counter Array is a non-imaging detector and multiple sources are always in the field of view, so the un-pulsed component cannot be reliably measured. \n\nThe observations we used for SXP 1323 with pulsations detected are shown in Table~\\ref{tab:obsxmm}. The pulsations are with a significance of $s \\ge 99\\%$ according to equation (2) of \\citet{yan17}.\n\nIn order to test the correlation with luminosities and make the results convincible, 3 different definitions of PF were calculated by integrating over the pulse\nprofile. The simplified formulas are shown in equations~(\\ref{eq:pfa})-(\\ref{eq:pfs}). \n\n\n\\begin{table}\n\t\\centering\n\t\\caption{The {{\\it XMM-Newton}} and {{\\it Chandra}} ACIS-I X-ray observations in which the pulsations for SXP 1323 have been detected. The first column is the observation ID, the second and third columns show observing Modified Julian Date (MJD) and source flux, and the last two columns are the photon counts (for {xmm}, it is the medium value from the 3 EPIC instruments) and exposure time.\n\t\\label{tab:obsxmm}\n\t\\begin{tabular}{lcccr}\n\t\t\\hline\n\t\t{{\\it XMM-Newton}}  & MJD & flux &photon  & exposure \\\\\n\t\t    ID          &          &(erg~s$^{-1}$~cm$^{-2})$&counts&time (ks)\\\\\n\t\t\n\t\t\\hline\n135722401&53292.38 &7.32$\\times 10^{-13}$&458&31.11\\\\\n123110301&51651.15&1.50$\\times 10^{-12}$&2020&21.66\\\\\n135722701&53845.10&4.29$\\times 10^{-12}$&5096&30.48\\\\\n135720801&52268.75 &2.10$\\times 10^{-12}$&2190&35.02\\\\\n135721701&52959.26&1.41$\\times 10^{-12}$&3752&27.36\\\\\\\n135722501&53477.93 &4.69$\\times 10^{-12}$&9129&37.12\\\\\n412980201&54215.52&2.50$\\times 10^{-12}$&2407&36.42\\\\\n135721901&53123.30&3.21$\\times 10^{-13}$&1251&35.23\\\\\n412980501&54575.39&3.44$\\times 10^{-12}$&3383&29.92\\\\\n412980301&54399.41&1.80$\\times 10^{-12}$&2725&37.12\\\\\n\t\t\\hline\n\t\t\n{{\\it Chandra}} ID &-& - & - & - \\\\\n\t\t                    \n\t\t\\hline\n1533&52065.27& 2.33$\\times 10^{-12}$&984 & 7.42\\\\\n1536&52065.57 & 2.04$\\times 10^{-12}$&860 & 7.42\\\\\n1542&52065.76& 1.69$\\times 10^{-12}$&699& 7.42\\\\\n1786&51728.55&1.66$\\times 10^{-12}$&738&7.58\\\\\n2841&52249.09 &1.62$\\times 10^{-12}$&686&7.46\\\\\n6050&53352.15 &8.25$\\times 10^{-13}$&336&7.16\\\\\n6052&53353.37 &8.96$\\times 10^{-13}$&358&7.54\\\\\n6056&53356.31 &5.064$\\times 10^{-13}$&253&8.01\\\\\n6060&53534.55 & 9.00$\\times 10^{-13}$&1033&19.8\\\\\n6749& 53816.60&1.61$\\times 10^{-12}$&1830&19.51\\\\\n6757&53891.55& 5.24$\\times 10^{-13}$&582&19.8\\\\\n8361& 54136.10& 1.14$\\times 10^{-12}$&1283&19.79\\\\\n8364&54142.57&4.71$\\times 10^{-13}$&253&8.45\\\\\n9693&54501.17&1.55$\\times 10^{-12}$&657&7.68\\\\\n\t\t\\hline\t\t\n\t\t\n\t\\end{tabular}\n\\end{table}\n\n\n\n\n\n\n\n\n\\begin{equation}\n    PF_\\mathrm{A}=\\frac{f_\\mathrm{max}-f_\\mathrm{min}}{f_\\mathrm{max}},\n\t\\label{eq:pfa}\n\\end{equation} \nhere $f_\\mathrm{max}$ is the maximum photon count rate in the pulse profile and $f_\\mathrm{min}$ is the minimum value as demonstrated in an example of the pulsed profile in Fig.~\\ref{fig:pf-cal}. $PF_\\mathrm{A}$ is also usually called modulation amplitude. \n\n\\begin{equation}\n    PF_\\mathrm{B}=\\frac{f_\\mathrm{mean}-f_\\mathrm{min}}{f_\\mathrm{mean}},\n\t\\label{eq:pfb}\n\\end{equation} \n$f_{mean}$ is the average flux.\n\\begin{equation}\n    PF_\\mathrm{S}=\\frac{\\sqrt{2}f_\\mathrm{rms}}{f_\\mathrm{mean}},  ~  (and ~ f_\\mathrm{rms}=\\frac{\\sqrt{\\sum_i^{N}(f_i-f_\\mathrm{mean})^2}}{N})\n\t\\label{eq:pfs}\n\\end{equation} \nwhere $f_\\mathrm{rms}$ is the root mean square (rms) flux, N is the number of bins for each folded light curve,\nand $f_i$ is the mean photon count rate in each bin.\nFor a sinusoid wave, which is a good approximation to most accretion pulsars, the peak-to-peak pulsed flux $f_\\mathrm{pulsed} = f_\\mathrm{mean}-f_\\mathrm{min}$ = $\\sqrt{2}f_\\mathrm{rms}$; for a square wave $f_\\mathrm{pulsed} = f_\\mathrm{rms}$ \\citep{bil97}.\n\n\nThe error of the PF is calculated as following. Firstly get the error of the flux in each bin of the light curve,\n\\begin{equation}\n    error_i=\\frac{\\sqrt{\\sum_j^{n}(f_i-F_j)^2}}{n}, \n\t\\label{eq:erri}\n\\end{equation} \nwhere $F_j$ is the flux in the $i$th bin. n is the number of points in each bin.\nThen we could get the error of $f_\\mathrm{max}$ ($error_\\mathrm{max}$) as well as the error from $f_\\mathrm{min}$ ($error_\\mathrm{min}$). The error of $PF_\\mathrm{A}$ is:\n\\begin{equation}\n    error_\\mathrm{PFA}=\\sqrt{\\frac{error_\\mathrm{max}^2+error_\\mathrm{min}^2}{(f_\\mathrm{max}-f_\\mathrm{min})^2}+(\\frac{error_\\mathrm{max}}{f_\\mathrm{max}})^2}\\ast PF_\\mathrm{A}\n\t\\label{eq:erra}\n\n\\end{equation} \n\nIn order to calculate $error_\\mathrm{PFB}$ and $error_\\mathrm{PFS}$, first calculate the error of the pulsed flux:\n\\begin{equation}\n    e_\\mathrm{pulse}=\\frac{\\sum_i^{N}\\sqrt{error_\\mathrm{max}^2+error_i^2}}{N},\n\t\\label{eq:epulse}\n\n\\end{equation} \n\\begin{equation}\n    error_\\mathrm{PFB}=\\frac{e_\\mathrm{pulse}}{f_\\mathrm{mean}};\n\t\\label{eq:errb}\n\\end{equation} \n\\begin{equation}\n    error_\\mathrm{PFS}=\\sqrt{2}\\frac{e_\\mathrm{pulse}}{f_\\mathrm{mean}}\\ast PF_\\mathrm{S}.\n\t\\label{eq:errs}\n\\end{equation} \n\n\\begin{figure}\n\n\n\n\t\\includegraphics[width=0.397\\textwidth]{binned_data_1323-2006-4-20txt_lcPF.pdf}\n    \\caption{An example of pulse profile for SXP 1323 shows the values used for the PF calculation in equations~(\\ref{eq:pfa})-(\\ref{eq:pfs}); and $f_\\mathrm{rms}$ is the root mean square flux. It is an {{\\it XMM-Newton}} Observation (ID 135722701), observed on 2006-04-20.}\n    \\label{fig:pf-cal}\n\\end{figure}\n\nNote, in \\citet{yan17} the pulsed fraction from {{\\it XMM-Newton}} is $PF_\\mathrm{B}$ and the ones from {{\\it Chandra}} are $PF_\\mathrm{A}$. Here we used $PF_\\mathrm{A}$ and $PF_\\mathrm{B}$ for both {{\\it XMM-Newton}} and {{\\it Chandra}} observations. \n\n\n\n$PF_\\mathrm{A}$ has intuitive appeal, but it is more difficult to determine the $f_\\mathrm{min}$ than $f_\\mathrm{mean}$ \\citep{bil97}. People generally use $PF_\\mathrm{A}$ for light curves from long time exposures, where signal-to-noise ratio is large. $PF_\\mathrm{B}$ is smaller than $PF_\\mathrm{A}$, but more stable as $f_\\mathrm{mean}$ is easier to be determined than $f_\\mathrm{max}$. $PF_\\mathrm{S}$ is used for relatively short time exposure. \n\n\n\n\n\n\n\nThe PF as a function of luminosity for SXP 1323 is shown in Fig.~\\ref{fig:pf-lum}. Although the light-curves were extracted from the higher time-resolution EPIC-PN data \\citep{yan17}, the luminosities used in Fig.~\\ref{fig:pf-lum} were obtained from the total {{\\it XMM-Newton}} flux available in the 3 {{\\it XMM-Newton}} catalogue since they are more complete than the instrument-specific fluxes. These fluxes are based on a spectral model of a power-law of slope 1.7 absorbed by a Hydrogen column of $3 \\times 10^{20}$ cm$^{-2}$ (0.2-12 keV) \\footnote{\\url{https:\/\/www.cosmos.esa.int\/web\/xmm-newton\/uls-userguide}}.\n\n\n\n\n\nThe trend between $PF_\\mathrm{A}$ and luminosity is:\n\\begin{equation}\n    PF_\\mathrm{A}=-0.399~log (\\frac{L_\\mathrm{X}}{10^{35} ~\\text{erg\/s}})+0.850, \n\t\\label{eq:fit-a}\n\\end{equation} \n\nThe fit between $PF_\\mathrm{B}$ and luminosity is:\n\\begin{equation}\n    PF_\\mathrm{B}=-0.350~log (\\frac{L_\\mathrm{X}}{10^{35} ~\\text{erg\/s}})+0.669,\n\t\\label{eq:fit-b}\n\\end{equation} \n\n\n\\begin{figure}\n\n\n\n\t\\includegraphics[width=0.473\\textwidth]{3PF_Lx_Chandraxmm.pdf}\n    \\caption{The PF as the function of luminosity for SXP 1323. Green circles are the {{\\it XMM-Newton}} Detections and Blue square symbols present {{\\it Chandra}} observations. The 3 panels show the PFs with different calculations which are in equations~(\\ref{eq:pfa})-(\\ref{eq:pfs}).}\n    \\label{fig:pf-lum}\n\\end{figure}\n\n\nThe anti-correlation of $PF_\\mathrm{S}$ and luminosity is fitted as:\n\\begin{equation}\n    PF_\\mathrm{S}=-0.101~log (\\frac{L_\\mathrm{X}}{10^{35} ~\\text{erg\/s}})+0.173,\n\t\\label{eq:fit-s}\n\\end{equation} \nwhere $L_\\mathrm{X}$ is in erg\/s.\n\nThe trend with $PF_\\mathrm{A}$ is steeper than the one with $PF_\\mathrm{B}$, and even more steeper than $PF_\\mathrm{S}$. $PF_\\mathrm{A}$ is the most popular way to show the pulsed fraction of the X-ray pulse profiles, therefore, the linear regression is more convincing. However, all of them show the similar anti-correlation.\n\n\n\n\nMonte Carlo simulations are performed to estimate the false-positive detection rate for the correlation between these two observables, from which the significance level is estimated.\n\nFor the correlation in each panel of Fig.~\\ref{fig:pf-lum}, 4000 trial generates 4000 simulated data. Based on these data, the fitting is performed. One of the fitting parameters (slope) is shown in the histograms of Fig.~\\ref{fig:sig}. We interpret positive slopes as false positive detections of an\nanti-correlation in the real data. The number of false positives from\nFig.~\\ref{fig:sig} correspond to a probability of 95.43, 93.28 and, 92.68, for the\nanti-correlation found by using $PF_\\mathrm{A}$, $PF_\\mathrm{B}$, and $PF_\\mathrm{S}$,\nrespectively.\nTherefore, the fit of the correlations in Fig.~\\ref{fig:pf-lum} is around $\\sim$2 $\\sigma$ confidence. \n\n\n\n\\section{Theoretical mechanisms}\n\n\n\n\\citet{muk00} observed a decrease in the pulsed fraction with decreasing luminosity of the X-ray pulsar Cepheus X-4 (GS 2138+56).\n However, they argued that the decrease in the pulsed fraction, depending on the accretion flow geometry with respect to line of sight, is not a consequence of propeller effect. They propose as a more likely scenario a different mode of accretion occurring below a certain luminosity. These additional entry modes of plasma may affect the emission geometry to be more fan-beam like pattern, which will increase the un-pulsed flux, and the pulsed fractions end up being smaller.\n \n \n \\begin{figure}\n\n\n\n\t\\includegraphics[width=0.45\\textwidth]{mc.pdf}\n    \\caption{Frequency distribution of correlation slopes for $PF_\\mathrm{A}$ (upper), $PF_\\mathrm{B}$ (middle) and $PF_\\mathrm{S}$ (bottom) obtained using Monte Carlo method with 4000 simulations. The heights of bars indicate the number of parameter values in the equally spaced bins. The limit for false positive detections of an\nanti-correlation is shown as red solid lines at slope 0.0. The dashed lines are the slopes from Fig.~\\ref{fig:pf-lum}.}\n    \\label{fig:sig}\n\\end{figure}\n\nHowever, for SXP 1323, the PF increases as the luminosity decreases. The critical luminosity mentioned in \\citet{muk00} is the maximum luminosity $L_\\mathrm{X} (\\mathrm{min})$ at which the centrifugal inhibition dominates, resulting in the propeller effect \\citep[e.g.,][]{sht05, tsy16}:\n  \\begin{equation}\n  \\begin{split}\n    L_\\mathrm{X} (\\mathrm{min}) = & 2 \\times 10^{37}(\\frac{R}{10^6 cm})^{-1}(\\frac{M}{1.4M_{\\odot}})^{-\\frac{2}{3}} \\\\\n             &\\times(\\frac{\\mu}{10^{30}~ G~ cm^{3}})^{2}(\\frac{P_\\mathrm{s}}{1 s})^{-\\frac{7}{3}} erg~s^{-1},\n\t\\label{eq:lmin}\n\t\\end{split}\n\\end{equation} \nwhere R, M, $\\mu$ and P$_s$ are the radius, mass, magnetic moment and spin period of the NS, respectively. \n\nWe use a surface polar magnetic field strength $B=2.6\\times 10^{12}$ G \\citep{mih91} and $R = 10$ km, for a dipole-like field configuration, $\\mu=B\\times R^3=2.6\\times 10^{30}$ G cm$^3$.\nAssuming $M=1.4 M_{\\odot}$, we calculate the minimum luminosity below which the propeller effect will occur in SXP 1323 to be $L_\\mathrm{X} (\\mathrm{min})=7.03\\times 10^{30}$ {erg~s$^{-1}$}. In our analysis, all of the luminosities observed are higher than this critical value, therefore it is highly unlikely that the anti-correlation is the result of the propeller effect.\n   \n We can see the PF drops quickly as the luminosity increases up to $\\sim$$10^{36}$~{erg~s$^{-1}$}. This is consistent with \\citet{cam01}'s result above a certain critical luminosity of $\\sim$$10^{35}$~{erg~s$^{-1}$} in the X-ray pulsar 4U 0115+63 in our galaxy. \\citet{cam01} expressed the source accretion luminosity as two components: the luminosity of the disk extending down to the magnetospheric boundary, $L_{disk}$; and the luminosity released within the magnetosphere $L_{mag}$ by the mass inflow rate that accretes onto the NS surface. They claimed that the pulsed fraction is expected to remain unaltered as long as $L_{mag}$ dominates, while $L_{disk}$ is expected to be un-pulsed, resulting in a decreasing pulsed fraction as its luminosity increases. It explains the PF trend only at the luminosities larger than $\\sim$$10^{35}$~{erg~s$^{-1}$} in Fig. 2 of \\citet{cam01}.  \n\n\n   Assuming that there are two X-ray components: the accretion column ($L_\\mathrm{col}$) and the accretion disk ($L_\\mathrm{disk}$), the luminosity of the accretion column should be relatively stable since it would be locally Eddington, and the luminosity of the disk changes because at high mass accretion rate ($\\dot M$) the magnetospheric radius ($R_\\mathrm{mag}$) gets smaller and the $L_\\mathrm{disk}$ increases.\n   \n   From the relation between $R_{mag}$ and $\\dot M$ (for a given $P_s$ and magnetic field B) and feeding this through a standard Shakura-Sunyaev disk, we have that:\n   \n   \\begin{equation}\n  \\begin{split}\n  T_\\mathrm{disk} \\propto \\left \\{  \\frac{\\dot M}{R^3}[1-(\\frac{R_\\mathrm{mag}}{R})^{\\frac{1}{2}}] \\right \\}^{\\frac{1}{4}}\n  \t\\label{eq:lmin}\n\t\\end{split}\n\\end{equation} \n   \n    \\begin{equation}\n  \\begin{split}\n \n  \n    L_\\mathrm{disk} \\propto T_\\mathrm{disk}^{4}  \\centerdot R^{2}\\simeq \\dot M \\centerdot  R^{\\frac{5}{4}}\n\t\\label{eq:lmin}\n\t\\end{split}\n\\end{equation} \n\nIf luminosity from the accretion column $L_\\mathrm{col}$ is constant, $R_\\mathrm{mag}$ decreases, and $L_\\mathrm{disk}$ increases. The predicted PF should change with increasing luminosity due to the un-pulsed disk emission. \n\n   Our anti-correlation is still at odds with the trend reported for many other pulsars in the literature \\citep[e.g.,][]{muk00, coe15}. The possible reason is that the spin period matters, as the pulsars in \\citet{muk00} and \\citet{coe15} have short spin periods of 66.27s and 5.05s, respectively. It could be that the PF changes of the short period pulsars depend on their luminosities\n  \n   \n   In the following, we discuss the PF-luminosity anti-correlation in the context of different models for X-ray emission in accreting pulsars\n\n\\subsection{Spherical accretion}\nThe flow of material toward the pulsar might not take place through an accretion disk but instead via a spherical accretion flow, a natural consequence of wind-fed accretion, as opposed to Roche-lobe overflow. The spherical accretion should be outside the accretion column and would obscure it (unless highly ionized). Also at low luminosity, the magnetospheric radius should be large enough to truncate the accretion flow. This accretion model was applied to black holes by \\citet{nob91}. The accretion of gas onto the compact object can be a very efficient way of converting gravitational potential energy into radiation. Traditional spherical accretion is thought of as a good approximation for isolated compact objects. \n\\citet{ikh12} has applied the spherical accretion model to HMXBs, especially the long spin period pulsars. \\citet{zel69} presented a model to describe the gravitational energy of matter accreted onto a NS and released in a thin layer above the surface. Variations of this idea have also been applied in detailed models \\citep[e.g.,][for spherical accretion]{tur94}. The deep layers of the NS atmosphere are heated by the outer layer and produce soft thermal photons \\citep{cui98}. The hard X-ray photons are from the polar hot spots, which contribute to the pulsed flux observed. The soft X-ray photons from spherical accretion would mainly contribute to the un-pulsed component of flux. Spherical accretion becomes more prominent as the luminosity and mass accretion rate increases, which leads to a smaller PF.\n\n\n\\subsection{NS whole surface thermal emission}\nGenerally, there are two components of the X-ray emission from NSs: thermal emission and non-thermal emission. The non-thermal emission is caused by pulsar radiation in the magnetosphere and its own rotation activity, which is suppressed when accreting. Thermal emission is from the whole surface of a cooling NS and\/or from the small hot spots around the magnetic poles on the star surface \\citep{bec09}. It is also heated by accretion. The thermal radiation from the entire stellar surface can dominate at soft X-ray energies for middle-aged pulsars ($\\sim$100 kyr) and younger pulsars ($\\sim$10 kyr). \n\nIf thermal emission is a significant component of the X-rays from SXP 1323 and this component increases, it would represent and increase in un-pulsed flux such that the PF becomes smaller. \n\n\n\\subsection{Change in emission geometry}\n\\citet{gho79} found $\\dot{P}\\propto L_\\mathrm{X} ^{6\/7}$ assuming the effective inertial moment of the NS is constant, so a higher accretion rate and $L_\\mathrm{X} $ could cause the observed rapid spin-up rate of this pulsar. The accreted mass interacts with the magnetosphere and the accretion disk extends inward to some equilibrium radial distance above the NS's surface \\citep{mal89}. \\citet{yan17} has reported this pulsar's average spin-up rate as $6 \\pm 3$ millisecond\/day based on data from 3 X-ray satellites from 1997-2014. \\citet{car17} has presented an even faster spin-up of $\\sim$$59.3$ millisecond\/day based on recent observations from 2006 to 2016. The higher spin period and mass accretion rate could build up a higher accretion column above the polar caps. As the height of the accretion column increases, scattering of photons off in-falling electrons gets more prominent. This increases the fraction of emission escaping the column to the side, i.e., a fan-beam emerges \\citep[e.g.,][]{bec12}. Fan-beam emission becomes dominant, which reduces the eclipse of the accretion column. Furthermore, the contribution of the flux reflected by the NS surface is significant \\citep{mus18}. It raises the un-pulsed flux, therefore we see the luminosity increasing and the pulsed fraction decreasing. \n\n\\citet{rom08} used 3D MHD simulations for a star that might be in the stable or unstable regime of accretion. In the unstable regime, matter penetrates into the magnetosphere and is deposited at random places on the surface of the star, which made the pulsations intermittent or with no pulsations. Therefore, the PF is reduced when the overall X-ray flux increases which may be also due to the transition to the unstable accretion regime.\n\nIn this scenario, we predict that the slope of the PF versus the luminosity will decrease as the spin periods of the pulsars increase. We will further investigate all of the pulsars in our current library to test this prediction. \n\n\\section{Conclusions}\n\n\nThe anti-correlation between the PF and luminosity in SXP 1323 reveals that different accretion modes are possible. This could be related to the puzzle of the existence of long period pulsars\nwhich are hard to explain \\citep{Ikhsanov2014} without invoking non-standard accretion modes (such as spherical accretion). However, the significance of the anti-correlation is not high enough to prove its existence. SXP 1323 is the best example within our sample and more high quality data from the future observations are still needed to check up on the anti-correlation.\n\n\\section*{Acknowledgements}\nWe would like to thank the anonymous referee whose valuable suggestions and comments have significantly improved the quality of the paper.\n\n\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section*{Acknowledgement}\n\\footnotesize\nThis work is supported through the Deutsche Forschungsgemeinschaft (DFG, German Research Foundation) as FONDA (Project 414984028, SFB 1404) and HEIBRIDS - Helmholtz Einstein International Berlin Research School in Data Science under contract no. HIDSS-0001.\n\n\\bibliographystyle{IEEEtran}\n\n\\section{Introduction}\nThe amount of distributed devices, sensors and connectivity in the Internet of Things (IoT) is increasing steadily and has a decisive impact on a vast variety of application domains \\cite{FerrerB0TK21}. Especially in the area of Industry 4.0, the ever-increasing velocity and volume of data generated by Industrial Internet of Things (IIoT) devices combined with sophisticated analysis jobs can benefit the operational efficiency and manufacturing process \\cite{Sari2020} and subsequently enable intelligent industrial operations.\n\nIn order to enhance the reliability and allow for a cost effective maintenance, data generated by sensors directly connected to production machinery is often utilized by condition monitoring (CM) strategies to predict failures and identify abnormal behavior \\cite{kevinpaper}. CM employs a wide range of sensor components , i.e. vibration and temperature sensors, to monitor system characteristics from different domains, model the system behavior and detect i.e. outliers in the data, indicating a damage or degradation \\cite{carden_vibration_2004}.\nThis is especially important when considering that failures can have a significant and cascading impact on i.e. the manufacturing production cycle or the overall operation, which in turn results in the loss of profit and possibly high maintenance costs. An early detection of a failure can lead to a faster repair and reduced follow-up costs.\n\nTraditionally, the data is sent to external servers or the cloud and subsequently used to run analysis jobs like machine learning models, since plain sensors are not offering enough resources. As industry sites are often located far away from actual cloud data centers, the network capabilities might be limited and for instance affected by high latencies or bad network connectivity in general, resulting in congestion on the network link and delayed results. Furthermore, extending already existing industry environments is often done without introducing sophisticated network infrastructure to the cloud and instead mainly relies on remote and possibly unreliable communication means. Thus, especially for remote locations, that are i.e. only connected via 4G or satellite connections, the transmission of (training) data can also involve high costs. \n\nAlthough -- due to the increasing prevalence of more powerful smart devices in edge and IIoT environments -- the processing of data is progressively shifted to edge devices located in or in close proximity to industry sites, the actual training of the models is still often conducted in the cloud \\cite{becker_towards_2020,wang_toward_2019}.\nEspecially in the area of IIoT, the transmission of business-sensitive data to the cloud also results in data privacy issues \\cite{m_fusion_2021}, which is why recently distributed machine learning paradigms such as Federated Learning (FL) gain in popularity for the IIoT. In FL, the models are trained locally -- close to the actual data sources --  and then aggregated to a global model without exchanging any training data \\cite{fed-google}.\nThis enables the training of ML models in the organizational boundaries of IIoT sites while still allowing for the integration of knowledge of other faculties.\n\nTherefore, in our work we aim to combine condition monitoring technologies with the FL paradigm in order to enable an on-premise training of models directly in the respective IIoT sites, and an aggregation service located in the cloud, which facilitates an inter-site knowledge sharing.\nIn our paper, we are focusing on condition monitoring for rotating machines such as bearings or pumps and evaluate the resulting models in terms of condition monitoring and anomaly detection capabilities\non two real-world datasets as well as across different testbeds.   \n\n\n\\textit{Contributions}. Summarizing, as  main contribution of this paper we:\n\\begin{itemize}\n    \\item Provide a Federated Learning based approach for condition monitoring in the IIoT on the example of rotating machines.\n    \\item Conduct extensive experiments leveraging two real-world datasets and multiple testbeds.\n    \\item Evaluate the approach in terms of feasibility, accuracy, resource and network usage and compare it against a state of the art baseline method.  \n\\end{itemize}\n\n\\textit{Outline}. The remainder of this paper is structured as follows:\n\\cref{section:background} provides background on Condition Monitoring and presents the baseline method. In \\cref{section:contribution}, the FL approach is described in detail. An evaluation on two datasets is conducted in \\cref{section:evaluation}, while \\cref{section:related-work} puts our work into perspective. Finally, \\cref{section:conclusion} concludes our results.\n\\section{Evaluation}\n\\label{section:evaluation}\nWe conducted multiple experiments to evaluate the FL approach in general and compared it against the baseline model presented in \\cref{section:background}.\nTo simulate a real-life use case scenario for our evaluation, we leverage two real-world datasets consisting of vibration sensor data monitored from multiple machines. The datasets are described in more detail in the next section. \n\nIn addition, the evaluation was conducted in three different testbed settings: A \\emph{central server}, a \\emph{virtualized testbed} and an \\emph{edge testbed} respectively, consisting of the devices listed in \\cref{tab:devices}. The models were provided in multi-arch Docker containers in order to enable a deployment across heterogeneous devices and consequently fulfill the \\emph{deployability} requirement stated in \\cref{section:contribution}.\n\nAs evaluation metrics we utilize the effectiveness of the models, the respective resource utilization, as well as the general runtime across\ndifferent devices and settings.\n\n\\begin{table}[]\n\n\\caption{Devices used for the evaluation.}\n\\label{tab:devices}\n\\resizebox{\\columnwidth}{!}{%\n\\begin{tabular}{@{}cccc@{}}\n\\toprule\n              & Central server                                                  & Virtualized Testbed                                               & Edge Testbed                                                     \\\\ \\midrule\nMachine types & Commodity server                                                & \\begin{tabular}[c]{@{}c@{}}GCP VM \\\\ (e2-medium)\\end{tabular}     & Raspberry Pi 4B                                                  \\\\\nCPU           & \\begin{tabular}[c]{@{}c@{}}AMD EPYC 7282\\\\  2.8GHz\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}Intel Xeon CPU \\\\ 2.2 GHz\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}ARM Cortex-A72\\\\  1.5GHz\\end{tabular} \\\\\nCores         & 32                                                              & 1 vCPU                                                            & 4vCPU                                                            \\\\\nMemory        & 128 GB                                                          & 4 GB                                                              & 4 GB                                                             \\\\\n                                                        \\bottomrule\n\\end{tabular}%\n}\n\\end{table}\n\n\\subsection{Dataset descriptions}\n\\label{subsection:dataset-description}\nFor the evaluation we were using two different real-world datasets, explained in more detail in this section.\n\\paragraph{Bearing Dataset}\nThe first dataset is provided by \\emph{NASA IMS}, publicly available, and contains monitored vibration sensor metrics of four bearings \\cite{lee2007rexnord}.\nThe data was measured for 1 second every 10 minutes with a sampling rate of 20,480 Hertz, and the whole dataset consists of three independent run-to-failure experiments (\\emph{Set1-3}) in which the bearings were monitored until a failure occurred.\nTherefore, at the end of each experiment, a subset of the monitored bearings develops a degrading health state.\n\\cref{tab:nasadata} shows the properties of the collected data and the faulty bearings for every experiment.\nBecause of the very high-precision sampling rate, a downsampling resulting in a sample rate of 4096Hz has been applied.\n\\begin{table}[]\n\\centering\n\\caption{Overview of different experiments of IMS bearing vibration dataset.}\n\\label{tab:nasadata}\n\\begin{tabular}{@{}cccccc@{}}\n\\toprule\nExperiment & \\begin{tabular}[c]{@{}c@{}}Number\\\\  Batches\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}Sampling \\\\ Rate {[}Hz{]}\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}Batch \\\\ Size \\end{tabular}  & \\begin{tabular}[c]{@{}c@{}}Faulty\\\\  Bearings\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}Resampled\\\\  Size\\end{tabular}  \\\\ \\midrule\nSet1         & 2156                                                           & 20480                                & 20480                             & B3 \\& B4   & 4096                                                \\\\\nSet2         & 984                                                            & 20480                                & 20480                             & B1         & 4096                                                \\\\\nSet3         & 6324                                                           & 20480                                & 20480                             & B3         & 4096                                                \\\\ \\bottomrule\n\\end{tabular}\n\\end{table}\n\n\n\n\\paragraph{Rotating Machine Dataset}\nThis dataset was provided by an industry partner and contains vibration metrics collected from five different rotating machines (RM).\nThe vibration data was measured for three dimensions (x,y,z) over time, by utilizing an accelerometer sensor attached to the housing of the machine \\cite{kevinpaper}.\nAs in the previous dataset, the data was collected in batches and measured hourly. Additionally, the data was labeled depending on the condition of the machine during that time with either anomalous or normal behavior, albeit the labels were only used for the evaluation.\n\n\\begin{table}[]\n\\centering\n\\caption{Overview of different experiments of industry vibration dataset.}\n\\begin{tabular}{ccccc}\n\\toprule\nMachine & \\begin{tabular}[c]{@{}c@{}}Number\\\\ Batches\\end{tabular} & \\begin{tabular}[c]{@{}c@{}}Sampling\\\\ Rate [Hz]\\end{tabular} & Batch Size & Anomalies \\\\ \\midrule\nRM-1    & 1176                                                     & 4096                                                    & 10240      &    53       \\\\\nRM-2    & 1463                                                     & 4000                                                    & 800        &     4      \\\\\nRM-3    & 2204                                                     & 4000                                                    & 800        &     4      \\\\\nRM-4    & 1452                                                     & 4000                                                    & 800        &     4      \\\\\nRM-5    & 1452                                                     & 4000                                                    & 800        &     4      \\\\ \\bottomrule\n\\end{tabular}\n\\label{tab:industry-dataset}\n\\end{table}\n\nAlthough the machines are build-wise unique, they are from the same type which allows for a knowledge transfer between them in a federated learning setting. \\cref{tab:industry-dataset} shows the characteristics of the dataset. The data is measured with a sampling rate of 4000Hz for 0.2 seconds, resulting in 800 data points per batch with a varying amount of abnormal batches labeled for the different rotating machines.\n\n\n\n\\subsection{Experiment setup}\nFor the following experiments we distributed the datasets described in the previous section to the nodes mentioned in \\cref{tab:devices}.\nIn the \\emph{central server} setting we start the aggregator and training worker in different containers but on the same node, whereas we launch four respectively five different virtual machines in the Google Cloud Platform as training workers for the different bearings and rotating machines.\n\nAs parameter for the model training we use the following, obtained from the HPO presented in \\cref{subsection:hyperparameter}: A  \\emph{window size} of 100, \\emph{learning rate} of 0.001, as well as one outer LSTM-layer with a size of 128, a \\emph{hidden layer size} of 16, and a \\emph{batch size} of 64.\nAlthough we found that an LSTM layer size of 512 would have been optimal, we decided to use 128 layers as it achieved almost equivalent results while being significantly more efficient in terms of computation.\n\nWe conducted experiments with two different data availability scenarios: First, we assume a scenario in which historical sensor data is available. Therefore, during model training\nthe training worker use the whole dataset, split into 70\\% training data from which 8\\% are used as validation data and the rest for testing.\nFurthermore, also a \\emph{cold-start} scenario is considered, in which we do not assume any historical data. Therefore, for each federated training round, the amount of available training windows increases, simulating newly arriving measurement data.\n\nFor all experiments -- except the \\emph{cold-start} scenario -- we applied 25 federated training rounds in which each training node trained for a single epoch before aggregating the weights, and compared it against the baseline model which was trained on all available training data for 100 epochs.\n\n\\subsection{General applicability}\n\\begin{figure}\n    \\centering\n    \\includegraphics{figures\/s1-b0-example.pdf}\n    \\caption{Original data and reconstruction of a healthy and a defective bearing in \\emph{Set2} of the IMS bearing dataset. For the anomalous bearing the reconstructed signal differs significantly from the original data, hence indicating an anomaly.}\n    \\label{fig:e2chunk}\n\\end{figure}\nTo assess the general applicability for anomaly detection of the proposed approach, we compare the reconstructed signal of a healthy and faulty measurement.\n\nFigure \\ref{fig:e2chunk} visualizes two measurement periods of the same bearing in the IMS bearing dataset, during normal behavior and subsequently during an anomalous phase:\nIn blue we depict the original vibration sensor readings and the orange part shows the reconstructed signal by our model.\nAs can be seen, both vibration periods are of different amplitudes, with the anomalous data having a maximum amplitude of about two times the normal one.\nWhile our approach is able to reconstruct the normal vibration data rather closely, the reconstruction error increases significantly during an anomaly, hence allowing for a classification based on our model.\nThe model has shown that the structure of normal data is learned while the reconstruction of anomalous data is performing worse.\n\n\n\n\n\\subsection{Comparison between baseline and federated model}\n\nIn this section, we compare our achieved results to the baseline by Ahmad et al. \\cite{kevinpaper} described in \\cref{section:background}.\nFirst, we investigate the performance of our approach on the first dataset in terms of detection performance and subsequently, we compare the accuracy of the models for the industry dataset.\n\n\\begin{figure}[t]\n    \\centering\n    \\includegraphics{figures\/faulty-bearings.pdf}\n    \\caption{Anomaly predictions by the Federated Learning model for all different bearing faults in the \\emph{IMS bearing dataset}. A deteriorating behavior was detected as soon as the anomaly scores exceeded the threshold.}\n    \\label{fig:fedfaultynasa}\n\\end{figure}\n\\begin{figure}\n    \\centering\n    \\includegraphics{figures\/comparison_baseline_faulty.pdf}\n    \\caption{Comparison between anomaly scores and threshold of the federated and baseline models for a faulty bearing. Both models correctly detect deteriorating behavior at the end of the experiment.}\n    \\label{fig:E2-0_RE}\n\\end{figure}\n\n\\begin{figure}\n    \\centering\n    \\includegraphics{figures\/comparison_baseline_healthy.pdf}\n    \\caption{Comparison between anomaly scores and threshold of the federated and baseline models for a healthy bearing. No false positives were detected at the beginning of the experiment and only the propagating anomaly from another bearing was detected at the end of the experiment.}\n    \\label{fig:E2-1_RE}\n\\end{figure}\n\\begin{figure*}\n    \\centering\n    \\includegraphics{figures\/epoch-times-barplot.pdf}\n    \\caption{Average training times per epoch for all used datasets and evaluation settings when training on the whole datasets.}\n    \\label{fig:epoch_times}\n\\end{figure*}\nFor the IMS dataset, the model was trained on the initial healthy data of each bearing, assuming that historical data is available.\nIn Figure \\ref{fig:fedfaultynasa}, we can see the reconstruction error values and, therefore, predictions of the condition of the bearing for all faulty bearings of the experiment compared.\nIn every case, the federated learning model predicted a defect in the final stages of the experiment, with a strong increase in the RE.\nSimultaneously, the early stages of the experiment were predicted as normal up until the time of the detected anomaly.\nNo clear false positives were predicted in the early stages of the experiments, for which we know that no defects were present.\n\n\n\nAfterward, the detection of the faulty bearing \\emph{Set2} is compared to the baseline method.\nIn \\cref{fig:E2-0_RE} the anomaly scores of the first bearing of \\emph{Set2} are depicted in dependence of the measured batch number during the duration of the experiment.\nOur approach detects a deteriorating behavior at a comparable point in time to the baseline model.\nIn addition, for both models the anomaly scores rise significantly towards the end of the experiment, indicating a similar performance.\n\n\n\nMoreover, \\cref{fig:E2-1_RE} depicts the anomaly score of the second bearing of \\emph{Set2}:\nThis bearing had no failure during the experiment and showcases how the anomaly detector behaves for a healthy bearing.\nIt can be observed that the model reliably accepts normal data without indicating anomalies.\nOnly towards the end of the experiment, the vibration of the strongly anomalous behaving first bearing propagates to the second bearing, explaining the increase of anomaly scores.\n\n\nFor the industry dataset, the anomaly detection performance of the proposed approach in comparison to the baseline can be seen in \\cref{tab:comparison-federated-baseline}. \nThe results for F1 score, precision, and recall are nearly identical for the majority.\nAs the proposed approach works on smaller windows of the associated time series, our FL trained model is able to predict for a larger group of rotating machines.\nThus, we could include the RM-1 although it initially uses a different batch size, since the proposed model is not limited by it, contrary to the baseline.\nEvidently, it is important to mention that only very few anomalies exists in the RM datasets, resulting in an average F1-score of 99.4\\%. \nNevertheless, the achieved results are encouraging as the performance of the model is very competitive despite the much lower complexity compared to the baseline model.\n\n\\subsection{Knowledge Transfer}\nTo test the knowledge transfer capabilities of our approach, we used the resulting global model of \\emph{Set2} after a federated model training with 25 epochs and evaluated it against a faulty bearing in the first experiment set (\\emph{Set1}), therefore simulating a warm-start in another IIoT faculty for a bearing of the same type.\n\\begin{figure}\n    \\includegraphics{figures\/transfer_learning.pdf}\n    \\caption{Anomaly scores and threshold results from Bearing 4 in \\emph{Set1}, from a model which was was only trained on \\emph{Set2}, representing knowledge transfer between participating industry sites.}\n    \\label{fig:transfer-learning}\n\\end{figure}\n\n\\cref{fig:transfer-learning} shows the reconstruction errors and threshold of this experiment. As can be seen, the model of \\emph{Set2} is already able to detect the deteriorating behavior at the end of the experiment, although it was only trained on data from another experiment with significantly less available data points.\n\n\\subsection{Runtime and resource utilization}\nFor the IIoT use case, the resource utilization is a major limiting factor.\nDifferent hardware configurations have been tested for their needed time per training epoch, as depicted in \\cref{fig:epoch_times}.\nAs expected the training times for the commodity server are the lowest as it comes with the strongest CPU, followed by the GCP virtual machines, and the Raspberry Pis that are representative of edge nodes. \nUnfortunately, the whole dataset of the Set1 and Set3 dataset of the bearing dataset did not fit into the memory of the Raspberry Pi, therefore rendering the training on the whole dataset unfeasible.\n\nTherefore, the \\emph{cold-start} scenario has been implemented.\nHere, for every following epoch the number of available training windows is increased, reproducing a real-world scenario where more and more data is measured.\nThe first epoch starts with 64 windows, according to the $batch size$ of the LSTM Autoencoder training, for every subsequent epoch this is increased by further 64 windows.\nThe results can be seen in \\cref{fig:fed_round_times} for different configurations of how many epochs were trained per round.\nThe performance measures thereby achieved similar results to the full training runs.\nThus, also Raspberry Pis are able to train with the amount of data in a reasonable amount of time.\nFor example, the NASA bearing dataset delivered measurements every 10 minutes, whereas the computation time even for learning round 100 with 6400 windows lies well within this interval, rendering an online measuring and learning scenario feasible with the proposed approach.\n\n\n\n\nIn addition, the resource consumption of the proposed approach is compared to the baseline, as can be seen in \\cref{fig:resource-usages}.\nDepending on the size of the dataset, the FL workers require between 2 and 3GB of main memory to conduct a local model training. In comparison, \nthe baseline needs about 9 to 11GB of memory in average per dataset, thus rendering it not feasible for the execution on IIoT devices.\nEven more significant is the reduction in overall network utilization: In case of the FL approach, only model weights have to be communicated between the training and aggregation nodes, resulting in around 6.3MB for each tested machine and 25 training rounds.\nThe baseline requires transmission of all training data to the central server, depicted as \\emph{Raw} in \\cref{fig:resource-usages}, which in consequence enables a reduction of the overall network usage from up to 99.2\\%. We further also show a scenario where the data is pre-processed in the IIoT site (i.e. resampled and additional information such as temperature measurements are removed) and the FL approach is still able to significantly outperform the baseline or other centralized methods.\n\nSummarizing, the results show that the proposed method is able to achieve the requirements stated in \\cref{section:contribution}.\n\n\n\\begin{figure}[t]\n    \\includegraphics{figures\/fed_round_times.pdf}\n    \\caption{Average training time per round for RM 1-5 and different amounts of training epochs per round. The plot depicts the cold-start setting where the amount of available training windows increases per round, i.e. in round 10 the model uses 640 windows to train on and 6400 windows in round 100, respectively.}\n    \\label{fig:fed_round_times}\n\\end{figure}\n\n\\begin{figure}\n    \\includegraphics{figures\/resource_eval.pdf}\n    \\caption{Results of the resource utilization evaluation. The memory usage was monitored on the respective training nodes while training on the datasets and for \\emph{Set1-3} the average usage over all four bearings is shown. The network usage reduction was calculated by utilizing the dataset sizes before and after pre-processing (only for the actual vibration readings) and comparing it to the weight transmissions in case of the federated model. \n}\n    \\label{fig:resource-usages}\n\\end{figure}\n\n\n\\addtolength{\\tabcolsep}{-3pt}\n\\begin{table}[]\n\\centering\n\\caption{Model performance comparison between the federated and baseline models on the industry dataset.}\n\\begin{tabular}{|lclcclcclc|}\n\\hline\n                              & \\multicolumn{3}{c}{F1 Score}                                  & \\multicolumn{3}{c}{Precision}                                 & \\multicolumn{3}{c|}{Recall}                                   \\\\ \\hline\n\\multicolumn{1}{|l|}{Dataset} & \\multicolumn{2}{l}{Federated} & \\multicolumn{1}{l|}{Baseline} & \\multicolumn{2}{l}{Federated} & \\multicolumn{1}{l|}{Baseline} & \\multicolumn{2}{l}{Federated} & \\multicolumn{1}{l|}{Baseline} \\\\ \\hline\n\\multicolumn{1}{|l|}{RM-1}    & \\multicolumn{2}{c}{0.970}     & \\multicolumn{1}{c|}{-}        & \\multicolumn{2}{c}{0.942}     & \\multicolumn{1}{c|}{-}        & \\multicolumn{2}{c}{1.000}     & -                             \\\\\n\\multicolumn{1}{|l|}{RM-2}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & 1.000                         \\\\\n\\multicolumn{1}{|l|}{RM-3}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{0.997}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{0.997}    & \\multicolumn{2}{c}{1.000}     & 0.997                         \\\\\n\\multicolumn{1}{|l|}{RM-4}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & 1.000                         \\\\\n\\multicolumn{1}{|l|}{RM-5}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & \\multicolumn{1}{c|}{1.000}    & \\multicolumn{2}{c}{1.000}     & 1.000                         \\\\ \\hline\n\\end{tabular}\n\\label{tab:comparison-federated-baseline}\n\\end{table}\n\\addtolength{\\tabcolsep}{3pt}\n\n\\section{Conclusion}\n\\label{section:conclusion}\nIn this paper, we presented an Autoencoder-based Federated Learning approach for efficient condition monitoring of rotating machines in IIoT environments, utilizing monitored vibration data.\nOur method enables a collaborative and distributed model training on lightweight edge devices that are located in close proximity to the sensor data sources in industrial sites.\nWhile first learning to reconstruct the normal behaviour of the monitored sensor streams, it allows for an unsupervised anomaly detection based on reconstruction errors.\n\nThe conducted evaluation on two real-world datasets shows a competitive performance compared to a state of the art baseline and at the same time decreases the complexity enough to qualify low-powered edge devices as training nodes. Moreover, the network utilization is decreased by up to 99.22\\%, further benefiting remote industry sites with possibly unreliable or expensive network connections.\n\nIn future work, we plan to evaluate our method on additional datasets and to test further weight averaging algorithms.\n\n\n\n\n\\section{Background}\n\\label{section:background}\n\\paragraph{Condition Monitoring \\& Predictive Maintenance}\nCondition monitoring (CM) describes the field of monitoring and analyzing machines to deduct their current condition.\nThe condition of a machine is a critical information to plan a manual intervention or perform a maintenance task ahead of time, before a machine failure occurs.\nAmong a variety of approaches, modelling the normal behavior of the machine by incorporating sensor measurements into AI models has gained momentum in recent works \\cite{stetco2019machine,kudelina2021trends, BeckerSSK22}. \nOften consisting of multiple sensory features such as temperature, vibration, or sound, the sensor data streams can be analyzed using machine learning to detect unexpected behavior in the machine, signaling a need to intervene. \nPoints that deviate too far from the learned normal behavior can be viewed as anomalies in the data, rendering CM a subclass of the anomaly detection problem.\nAs the goal of CM is to support and improve the manual labor of domain experts, supervised learning approaches requiring fully labeled data are oftentimes not feasible in real-world applications.\nThis absence of labeled data poses a major challenge for machine learning models used in unsupervised CM, as they are not able to directly learn by comparison of their results against the ground truth of the data, in contrast to traditional machine learning architectures. Therefore, the normal behavior of the data is modeled and deviations are considered as anomalies.\n\n\n\\paragraph{Time series analysis}\nThe analysis of time series has been studied in many fields like monitoring cluster, machines, stock market analysis, and others \\cite{9659499,yadav2020optimizing}.\nHereby, the sensor readings are analyzed with different goals like the modeling or prediction of future development of the time series where the application of ML has been widely adapted. \nWithin this environment, Long Short-Term Memory neurons (LSTM) are especially suited for time-dependent contexts as they model the behavior of the process generating a time series by holding to the most relevant information.\n\n\n\\paragraph{Batch-wise Condition Monitoring}\n\\label{background:baseline}\nIn a similar work, Ahmad et al. \\cite{kevinpaper} have proposed a CM approach on vibration data in combination with temperature measurements. \nSimilar to our work, they propose a LSTM-Autoencoder based approach which exploits the time-dependence between batches to reconstruct the signal of high frequency accelerometer readings\nand subsequently detect abnormal behavior. Their evaluation showed promising results and demonstrated the effectiveness of the proposed model. Nevertheless, they rely on transmitting all sensory \ndata to a central server where the training is conducted on all monitored data, involving significant resources and therefore rendering it not feasible for an on-premise setup on lightweight edge devices in a remote industry site.\n\nWe consider this work as our baseline and aim to reduce the short-comings like a huge memory consumption that lies in the nature of considering multiple batches of sensor readings while training,\nas well as high network utilization due to  transferring all training data to the cloud.  \n\n\n\\section{Related Work}\n\\label{section:related-work}\nIn terms of general condition monitoring a variety of related work exist. For instance,\nSakib et al. \\cite{sakib2020migrating} achieved low-latency condition monitoring inference by deploying pre-trained models to IIoT devices. In their approach, the models are trained on centralized servers and the IIoT devices are only used for inference.\nHahn and Mechefske \\cite{hahn2021self} utilized a self-supervised approach of Condition Monitoring using a Variational-Autoencoder on the NASA milling data set, which does not require feature engineering and shows promising results on some parameters.\nIn addition, Mostafavi and Sadighi \\cite{mostafavi2021novel} proposed a condition monitoring framework which is fully located on IIoT devices.\nTheir framework, like ours, uses an LSTM-Autoencoder for anomaly detection while being resource-restricted.\nThese approaches, while overcoming the resource restriction, lack the advantages that FL has to offer, as they do not keep the data in the local sites nor do they share information between multiple devices.\n\nIn regards to FL approaches, Wang et al. and Yunfan et al. developed two generalized frameworks, In-Edge AI \\cite{wang2019edge} and EdgeFed\\cite{ye2020edgefed}, for improving FL at the edge. They explore different approaches to reduce the system communication load and partly offload resource-intensive work to the cloud to archive a more effective aggregation. \nWu et al. \\cite{wu2020personalized} proposed a framework for mitigating issues of strong heterogeneity by the usage of personalized FL methods.\nDhada et al. \\cite{dhada2020federated} used a FL approach for determining the remaining useful life of engines on a simulated turbofan data set, a topic strongly related to the basic idea of condition monitoring also using rotating machines.\nOur work, in contrast, deals with the application of such a use case while considering the resource limitation of edge devices, especially within an IIoT environment.\nZhang et al. \\cite{zhang2020blockchain} developed a blockchain-based FL solution for condition monitoring in the IIoT.\nTheir approach included a novel weighted federated averaging algorithm to mitigate the data heterogeneity issue and the utilization of smart contracts for client incentives.\nWe neglect utilizing a blockchain approach, since it would introduces new additional computational overhead.\n\n\n\n\\section{Contribution}\n\\label{section:contribution}\n\\begin{figure*}\n    \\centering\n    \\includegraphics[width=\\textwidth, keepaspectratio]{figures\/environment.pdf}\n    \\caption{We envision an environment consisting of several IIoT sites, in which rotating machines are monitored with vibration sensors. Each site has one or multiple edge devices which train a model on the locally available sensor data and share the updated model weights with an aggregation node that in turn averages the weights to a global model that is finally distributed to the sites again.}\n    \\label{fig:environment}\n\\end{figure*}\nWe assume an environment as depicted in \\cref{fig:environment}:\nMultiple remotely located IIoT sites employ machinery with rotating components such as bearings, pumps or blades and are connected to the internet using a low-bandwidth connection.\nDue to the wide availability of affordable sensors, these IIoT systems can be equipped with accelerometers, measuring i.e. vibrations of the machines.\nSuch measurements are often taken in batches, as a permanent recording is too costly in terms of energy management and detoriation of the sensor.\nIn addition, changes in the behavior of rotating machines, e.g. originating in the wear of a bearing, are expected to happen within days or hours and not within seconds.\nFinally, the recorded vibration data can be used to detect a variety of possible anomalies like bearing faults, misalignments, or cavitation.\n\nTherefore, we propose a FL-based approach to train the vibration data recorded on edge devices located in the IIoT site, which comes with several advantages and synergies:\nThe recorded data can stay locally as the training is not performed in the cloud.\nThus, the communication overhead is reduced to only share the model parameters instead of all recorded data.\n\nIn addition, anomaly data is very sparse for each individual machine.\nThis means that of all possible anomalies, only a small fraction on each individual machine will be observed within its life span.\nTransferring learned knowledge about either normal or abnormal behavior between machines is an inherent strength of the FL approach as the global model aggregates modelled information from a variety of machines, thus sharing the knowledge of a multitude of sensor measurements in different sites or environments.\n\nBased on these assumptions we state the following requirements for our approach:\n\n\\paragraph{Efficiency}\nThe proposed approach shall consist of a lightweight solution which is able to run on small edge devices.\nMoreover, already existing environments shall be easily integrable and extendable in a cost-effective way.\n\n\\paragraph{Network and privacy awareness}\nIn order to save network resources, the data should remain local to decrease the communication overhead of transmitting sensor data over LTE or other low-bandwidth connections.\nAdditionally, the sensor data might contain business-sensitive information and should therefore not leave the organizational boundaries.\n\n\\paragraph{Model Effectiveness}\nThe performance of the condition monitoring FL implementation need to be competitive with state of the art centralized methods.\n\n\\paragraph{Deployability}\nConsidering the heterogeneous nature of IIoT environments, the implementation should be deployable across a variety of edge devices, regardless of i.e. the CPU architecture.\n\nFinally, for this work, we assume the measurements to be largely equally distributed and independent and neglect further optimization of the FL approach itself:\nFor a real-world application, the amount of available data, the rate of measurements taken as well as the distribution of available datasets need to be taken into account while aggregating the different local models.\n\n\n\n\n\n\n\\subsection{Architecture}\n\\label{subsection:architecture}\n\\begin{figure*}[ht]\n    \\includegraphics[]{figures\/highlevel2.pdf}\n    \\caption{High level view on our approach: Batches, consisting of high-frequency vibration sensor measurements, are collected in specific time intervals, i.e. every hour, and then splitted into windows which are used as input for the model. Our methods works on single batches, instead of multiple preceding ones.}\n    \\label{fig:highlevel}\n\\end{figure*}\nEach vibration measurement is a set of high-frequency accelerometer readings and defined by the length of the measurement and the sampling rate in Hertz (Hz).\nA set of samples belonging to one measurement --  marked by a common timestamp --  is considered  a batch.\nTherefore, as also depicted in \\cref{fig:highlevel},  each batch is generated at a short interval and different batches are separated by larger time intervals like minutes or hours.\nFollowing the previous work \\cite{kevinpaper} described in \\cref{section:background}, we adapt an LSTM Autoencoder, which aims to learn the normal behavior of all features in the data and has previously shown promising results.\nThe Autoencoder consists of two parts, an encoder and a decoder, which both consist of a variable number of sequentially aligned LSTM-Layers.\nIn our proposed Autoencoder, the input is time series data from the vibration measurements themselves.\nThe LSTM layers are used to provide the model with the ability to understand the sequential aspect of time series data \\cite{siami2019performance}.\nThereby, the Autoencoder encodes a given measurement length of vibration data onto the size of the encoding from which the decoder learns to reconstruct healthy vibration data.\n\n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth, keepaspectratio]{figures\/model_architecture.pdf}\n    \\caption{Architecture of the proposed model for the federated training nodes.}\n    \\label{fig:modelarchitecture}\n\\end{figure}\nContrary to the baseline method \\cite{kevinpaper}, our proposed approach works only on the current measurement instead of multiple preceding batch measurements by exploiting the time-dependence of the data generating process within the vibrations of each batch. Consequently, as depicted in \\cref{fig:highlevel}, we split the current batch into windows and test different window size configurations in \\cref{subsection:hyperparameter}.\nThis change was made, as working on the level of single measurements requires significantly less memory usage compared to including multiple complete batch measurements into the CM model, and therefore directly benefits our \\emph{efficiency} requirement.\n\nThe general architecture of the proposed method can be seen in \\cref{fig:modelarchitecture}:\nInternally, the LSTM layers pass their entire output sequence to the following layer to provide them with their full interpretation of the data.\nIn terms of the encoder, a final inner LSTM layer encodes the  output of the last LSTM-layer into the reduced encoding size.\nFor the decoder, the output of the encoding LSTM-layer is passed through the hidden LSTM layers into the final Dense layer which reconstructs the encoded time series.\n\nTo add non-linearity, Rectified Linear Units (ReLU) have been used and a L2 regularization has been applied with a value of $10^{-7}$ \\cite{agarap2018deep}.\nThis regularisation penalizes the model for using excessively large weights or learning every aspect of the data, which is especially important in the case of small-scale vibration readings.\n\nIn order to detect anomalous and thus consequently deteriorating behavior, the prediction of the model is compared against the original input and used to compute a reconstruction error $RE_j$ for a given time period $j$, defined as the mean squared error (MSE) with original input signal $I$ and prediction $P$ with $I,P \\in \\mathbb{R}^{d}$ and the dimension of the measurement period $d$:\n\\begin{equation}\n  RE_j = \\frac{1}{d}\\sum_{k=1}^{d} (I_k - P_k)^2\n\\label{eq:reconstruction_error}\n\\end{equation}\n\nThis RE, in the remainder of the paper also called \\emph{anomaly score}, is used to evaluate the related time sequence in comparison to others by defining an accepted interval of values.\nAs the Autoencoder is trained on normal data, abnormal data is expected to deviate stronger.\nTo determine anomalies in the data, an \\emph{anomaly threshold} defining this interval is introduced to differentiate between normal and abnormal behavior, with $\\delta$ as a variable parameter indicating the sensitivity\nas:\n\n\\begin{equation}\n  \\text{with }\\overline{RE} = \\frac{1}{d} \\sum_{i=1}^{d} RE_{i}\n\\end{equation}\n\n\\begin{equation}\n  RE \\leq \\delta * \\sqrt{\\frac{1}{d-1} \\sum_{i=1}^d (RE_{i} - \\overline{RE})^2}\n\\end{equation}\n\nIf the RE is smaller than this determined threshold, the current measurement is considered to have recorded normal data, while a larger value results in a detected anomaly.\n\n\\subsection{Hyperparameter Optimization}\n\\label{subsection:hyperparameter}\n\\begin{table}[h]\n\\centering\n\\caption{Model Hyperoptimization}\n\\begin{tabular}{lc}\n    \\toprule\n    \\multicolumn{2}{c}{\\emph{Configuration and Search Space}}\\\\\n    \\midrule\n    Optimizer & Adam\\\\\n    Number Epochs & 100\\\\\n    Batch size & \\{32, 64, 128\\}\\\\\n    Window size & \\{50, 100, 200\\} \\\\\n    Outer layer size & \\{32, 64, 128, 256, 512\\} \\\\\n    Number Layers & \\{1, 2, 3, 4 \\} \\\\\n    Hidden layer size & \\{8, 16, 32\\} \\\\\n    Learning rate & \\{$3*10^{-2}, 3*10^{-4}, 10^{-2}, 10^{-3}$\\}\\\\\n    \\bottomrule\n\\end{tabular}\n\\label{tbl:hyperopt}\n\\end{table}\n\nIn regards to model optimization, we applied the Bayesian Optimization algorithm to test the performance of different hyperparameter combinations.\nThe search space of the Hyperparameter Optimization (HPO) is depicted in Table \\ref{tbl:hyperopt}.\nAll models created using these parameter combinations were trained for 100 epochs.\nThe evaluation of the models is based on the validation loss of data excluded from the training and contains no anomalies.\nFinally, a compromise of the smallest validation loss and smallest model size is made, depending on the dataset.\n\n\n\\subsection{Model Training}\nAs previously mentioned, the model is trained to reconstruct the normal vibration data accordingly.\nTherefore, during the training the input and expected output of the model consists of the same time series chunks.\nThe goal of the optimization process for the Autoencoder is to be able to encode the essential information of this chunk into the hidden encoding layer, so that the original time series can subsequently be optimally reconstructed.\nThus, the Autoencoder is expected to learn the essential information constraining the normal behavior of the system under observation.\n\nFor the process of training our model, we use the Adam optimizer. %\nIn conjunction with the previously described kernel regularization of our LSTM layers, we use gradient clipping to prevent the exploding gradient problem \\cite{zhang2019gradient}.\nFurther, we utilize an exponential learning rate scheduler which applies a stacking 1\\% reduction to the learning rate at each epoch.\nThe learning rate itself is determined by the HPO described in \\cref{subsection:hyperparameter} for the different datasets.\n\nThe loss function used for training and evaluation of the RE is the \\textit{mean squared error} defined as\n\\begin{equation}\n    MSE = \\frac{1}{n} \\sum_{j=1}^{n}RE_j\n\\end{equation}\nwith the RE as defined in Equation \\ref{eq:reconstruction_error} and the total number of reconstructed time series windows $n$.\nIt penalizes prediction errors with an increasing scaling in severity.\nThis incentivizes the model to prioritize minimizing large prediction outliers, learning to predict the general oscillation of the vibration data, as small prediction errors are, due to the nature of the Autoencoder architecture, unavoidable.\n\n\\subsection{Federated Learning}\n\\label{subsection:federatedlearning}\nIn order to adapt the developed model to FL, in which devices located on-premise and close to the monitored machinery are utilized \nto collaboratively train a global model, we divide the environment in lightweight \\textit{training nodes} and an \\textit{aggregation node}, that are described in more detail in the remainder of this section and can be followed in \\cref{fig:training-cycle,fig:aggregation-cycle}.\n\n\\subsubsection{Training Node}\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth, keepaspectratio]{figures\/training_node.pdf}\n    \\caption{Lifecycle of a training node: The node receives the current global weights, uses them to initialize the local model and starts a training round for a given number of epochs on the local data. After the round, the updated local weights are send to the aggregator node.}\n    \\label{fig:training-cycle}\n\\end{figure}\nThe training node is a lightweight edge device in which the sensor data monitored from one or more machines arrives, i.e. via a message queue or data stream, and is consequently used to train a local model.\nFollowing the first start, the device registers with the aggregation node, obtains the current global model, subsequently leverages it to further train \non the locally observed data and finally applies it on the newly monitored sensor metrics to detect anomalies or deteriorating behavior of the respective monitored machinery.\n\nAfter a configurable amount of training epochs, the training node shares the current local model weights with the aggregation node, where they are aggregated with the weights of other training workers.\nHere, only the difference of the weights to the previously distributed global model is shared to preserve privacy during the communication.\nThe aggregated weights then constitute the new global model.\nFinally, after the aggregation node has distributed the new global model weights to all participating training workers, the local models are re-instantiated with the respective weights and used for the condition monitoring process until a new model training is triggered.\n\nAs FL uses multiple training nodes, numerous instances of training workers exist and work in parallel, each training an instance of the same model architecture.\n\n\\subsubsection{Aggregation Node}\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\columnwidth, keepaspectratio]{figures\/aggregator_node.pdf}\n    \\caption{Lifecycle of the aggregation node: The node receives the updated model weights from the training nodes and averages them using the FedAvg algorithm. Finally, the new aggregated global weights are distributed to the training nodes again.}\n    \\label{fig:aggregation-cycle}\n\\end{figure}\nThe aggregation node acts as the controlling instance of the FL approach.\nIt manages multiple training worker instances as clients, where newly connected worker instances are provided with the current state of the global model.\nAfter completion of each training round, the global aggregation server receives model weight differences from every training node and aggregates them into the next iteration of the global model.\nThe aggregation of the received model weights is done via the FedAvg algorithm, as proposed by McMahan et al. \\cite{mcmahan2017communication} where the received weight differences are first averaged and then applied to the global model.\nIt is chosen as recent research has shown the FedAvg algorithm to show good results compared to most state-of-the-art federated aggregation algorithms \\cite{nilsson2018performance}.\n\n\n\nWith this approach, every training worker instance begins each iteration with an identical global model. \nAfter the next training round, the local model instances only differ in their model weights by the difference introduced through their training data during this iteration.\nThis continuous re-integration and aggregation of the local model instances allows for the general training to jointly converge towards the shared global optimum observed over the entirety of the training data available on the different IIoT nodes. \n\n\n\n\n\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nIt is now widely acknowledged that the availability of high-frequency data has led to a more accurate description of financial markets. Over the past decades, empirical studies have unveiled several aspects of the frictionless efficient price. Accordingly, the assumptions on the latter have been gradually weakened to the extent that it is common nowadays to represent it as a general It\\^{o} semi-martingale including jumps with infinite activity. Moreover, the sampling times are also often considered as asynchronous, random, and even sometimes endogenous, i.e. possibly correlated with the efficient price.\n\n\\smallskip\nThe accessibility of high-frequency data has also shed light on the frictions, which get prominent as the sampling frequency increases. A typical challenge that faces an econometrician today is to incorporate jumps, asynchronicity, endogeneity and frictions into the model. A frequent assumption on the market microstructure noise is that it is independent and identically distributed (i.i.d). The presence of noise usually makes the analysis more complex. Among many possible candidates, see the breakthrough work from \\cite{jacod2013quarticity} and \\cite{vetter2015estimation}, which to the best of our knowledge have no equivalent under frictions to respectively estimate general functionals of volatility\\footnote{The even power case is treated in \\cite{podolskij2009estimation}.} and volatility of volatility. \n\n\\smallskip\nA recent strand of papers (\\cite{li2016efficient}, \\cite{chaker2017high},  \\cite{clinet2017testing}) considers the following parametric form for the noise to estimate volatility:\n\\begin{eqnarray}\n\\underbrace{Z_{t_i}}_{\\text{observed price}}  =  \\underbrace{X_{t_i}}_{\\text{efficient price}} + \\underbrace{\\phi(Q_{t_i}, \\theta_0)}_{\\text{noise}},\n\\label{eqDecompositionAdditive0}\n\\end{eqnarray}\nwhere $\\phi$ is a known function and $Q_{t_i}$ includes  \\textit{observable} information at the observation time $t_i$ from the limit order book such as the trade type (\\cite{roll1984simple}), the trading volume  (\\cite{glosten1988estimating}), the bid-ask spread, the duration time between two trades (\\cite{almgren2001optimal}), the quoted depth (\\cite{kavajecz1999specialist}), the order flow imbalance (\\cite{cont2014price}), etc. Discussion and leading models are available in: \\cite{black1986noise}, \\cite{hasbrouck1993assessing}, \\cite{o1995market}, \\cite{madhavan1997security}, \\cite{madhavan2000market}, \\cite{stoll2000presidential} and \\cite{hasbrouck2007empirical} among other prominent works. One can also look at the review from \\cite{diebold2013correlation}. They provide several estimators of the parameter $\\theta_0$ with fast convergence rate which all satisfy \n\\begin{eqnarray}\n\\label{ratethetahat}\nN (\\widehat{\\theta} - \\theta_0) = O_\\mathbb{P} (1),\n\\end{eqnarray}\nwhere $N$ stands for the number of observations. Moreover, they also develop related statistical tests for the presence of residual error in the noise, and document empirically that the noise can be considered reasonably free from such error in 90-95 \\% of the case. In other words, the parametric form (\\ref{eqDecompositionAdditive0}), which might appear to imply a fairly strong relation between the noise and the limit order book at first sight, turns out not to be rejected most of the time in practice.\n\n\\smallskip\nAny i.i.d noise $\\epsilon_{t_i}$ can be expressed as a parametric noise if we set $\\phi = \\theta_0 Q_{t_i}$, with $\\theta_0 = 1$ and $Q_{t_i} = \\epsilon_{t_i}$, so that the class of parametric noise is more general. In particular, it allows for auto-correlation in the noise. Furthermore, we argue that the parametric assumption has three advantages over the more common i.i.d counterpart:\n\\begin{enumerate}\n\\itemsep-0.5em \n  \\item The form of our proposed parametric noise-robust estimators (i.e. of volatility, high-frequency covariance, etc.) is much simpler than the form of i.i.d noise-robust alternatives, which are typically quite hard to implement (see, e.g., the pre-averaging method in \\cite{jacod2009microstructure}).\n  \\item The estimators have faster rates of convergence.\n  \\item It eases the analysis of the problem at hand.\n\\end{enumerate}\nSpecifically this paper aims to enlighten those three points in a wide range of problems from the high-frequency econometrics literature.\n\n\\smallskip\nTo do so, we describe the general framework as follows. If we define the horizon time as $T$, one typically seeks to estimate the integrated parameter\n\\begin{eqnarray}\n\\label{object0}\n\\Xi = \\int_0^T \\xi_t dt,\n\\end{eqnarray}\nwhere the spot parameter $\\xi_t$ can correspond to the volatility, the high-frequency covariance, functionals of volatility and volatility of volatility, employing a given data-based estimator $\\widetilde{\\Xi}(X_{t_0}, \\cdots, X_{t_N})$. In the absence of noise, $\\widetilde{\\Xi}$ usually enjoys a stable central limit theorem of the form\n\\begin{eqnarray}\n\\label{convergence}\nN^{\\kappa} \\big(\\widetilde{\\Xi} - \\Xi \\big) & \\rightarrow & \\mathcal{MN}\\big(AB,AVAR \\big),\n\\end{eqnarray}\nwhere $\\kappa > 0$ corresponds to the rate of convergence, and ${\\cal M}{\\cal N}(AB,AVAR)$ designates a mixed normal distribution of random bias $AB$ and random variance $AVAR$. In addition, for the purpose of practical implementation, one typically provides a related studentized central limit theorem, i.e. data-based statistics $\\widetilde{AB}(X_{t_0}, \\cdots, X_{t_N})$ and $\\widetilde{AVAR}(X_{t_0}, \\cdots, X_{t_N})$ such that\n\\begin{eqnarray}\n\\label{studentizedconvergence}\nN^{\\kappa} \\frac{\\widetilde{\\Xi} - N^{- \\kappa} \\widetilde{AB} - \\Xi}{\\sqrt{\\widetilde{AVAR}}} & \\rightarrow & \\mathcal{N}(0,1).\n\\end{eqnarray}\n\n\\smallskip\nAccordingly, when observations are contaminated by the parametric noise, we propose to exploit the corresponding class of plug-in estimators to estimate the integrated parameter. They are constructed as $\\widehat{\\Xi} =\\widetilde{\\Xi}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N})$, $\\widehat{AB} = \\widetilde{AB}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N})$ and $\\widehat{AVAR} = \\widetilde{AVAR}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N})$, where as in \\cite{li2016efficient} and other related papers, the efficient price is estimated via\n\\begin{eqnarray}\n\\widehat{X}_{t_i}  =  Z_{t_i} - \\phi(Q_{t_i}, \\widehat{\\theta}).\n\\label{priceestimator}\n\\end{eqnarray}\nThis plug-in approach seems to be traced back to the framework of the model with uncertainty zones from \\cite{robert2010new} and \\cite{robert2012volatility}. \n \n\n\\smallskip\nThe main contribution of this paper is presented in Section 4, where we state that under parametric noise the central limit theorems (\\ref{convergence}) and (\\ref{studentizedconvergence}) still hold when we substitute the estimators by their related plug-in version in five leading examples of the literature. Depending on the problem at hand, price possibly features jumps with infinite activity and sampling times include asynchronicity and endogeneity. The first example considers the threshold realized volatility inspired by \\cite{andersen2001distribution}, \\cite{barndorff2002estimating} and \\cite{mancini2009non}. The second example deals with the threshold bipower variation from \\cite{barndorff2004power} and \\cite{vetter2010limit}. In the third example, we discuss the Hayashi-Yoshida (\\cite{hayashi2005covariance}) estimator to estimate high-frequency covariance. The fourth example is devoted to the local estimator from \\cite{jacod2013quarticity} which estimates functionals of volatility. Finally, we focus on the estimator of volatility of volatility introduced in \\cite{vetter2015estimation} in the last example. \n\n\\smallskip\nIn all those examples, the only required assumption on $\\widehat{\\theta}$ to obtain (\\ref{convergence}) and (\\ref{studentizedconvergence}) is the fast convergence (\\ref{ratethetahat}), so our results are somehow estimator-independent. Moreover, the asymptotic properties in both equations remain unchanged, whereas the rate of convergence is slower in the i.i.d latent noise case. It means that the parametric noise assumption induces faster rates of convergence than the i.i.d condition, which is not surprising as the plug-in estimators exploit supplementary data available from the limit order book.\n\n\\smallskip\nThe rest of this paper is structured as follows. Section 2 introduces the model. Section 3 is devoted to the estimation. The five examples are developed in Section 4. We conclude in Section 5. Proofs can be found in Section 6.\n\n\\section{Model}\nAlmost all the quantities defined in what follows are multi-dimensional. Accordingly, the notation $x^{(k)}$ refers to the $k$-th component of $x$. We define the horizon time as $T >0$, and the (possibly random) number of observations\\footnote{All the defined quantities are implicitly or explicitly indexed by $n$. For example $N$ should be thought and considered as $N_n$. Consistency and convergence in law refer to the behavior as $n \\rightarrow \\infty$. A full specification of the model also involves the stochastic basis ${\\cal B}=(\\Omega,\\mathbb{P},{\\cal F},{\\bf F})$, where ${\\cal F}$ is a $\\sigma$-field and ${\\bf F}=({\\cal F}_t)_{t\\in[0,T]}$ is a filtration, which will be example-specific. We assume that all the processes are ${\\bf F}$-adapted (either in a continuous or discrete meaning for $Q_{t_i}$) and that the observation times $t_i$ are ${\\bf F}$-stopping times. Also, when referring to It\\^{o}-semimartingale and stable convergence in law, we automatically mean that the statement is relative to ${\\bf F}$. Finally, we assume in (\\ref{efficientPrice}) that $W$ is also a Brownian motion under the larger filtration ${\\cal H}_t = {\\cal F}_t \\vee \\sigma\\{Q_{t_i}, 0\\leq i\\leq N\\}$.} as $N$. The observation times, which satisfy $0 = t_0 \\leq ...\\leq t_{N} \\leq T $, are possibly asynchronous, i.e. they may differ from one price component to the next (see Example \\ref{covariancesec}), and endogenous, i.e. correlated with $X_t$ (as in Example \\ref{volatilitysec} and Example \\ref{covariancesec}). When observations are regular and synchronous, we have $\\Delta_i t :=  t_i - t_{i-1} = T\/n := \\Delta$ (as in Example \\ref{bipowersec}, Example \\ref{functionalssec} and Example \\ref{sectionVolOfVol}), which implicitly means that $N=n$ and $t_i$ are 1-dimensional, although the price process can be multi-dimensional. The observations are contaminated by the parametric noise via \n\\begin{eqnarray*}\n\\underbrace{Z_{t_i}}_{\\text{observed price}}  =  \\underbrace{X_{t_i}}_{\\text{efficient price}} + \\underbrace{\\phi(Q_{t_i}, \\theta_0)}_{\\text{noise}},\n\\label{eqDecompositionAdditive}\n\\end{eqnarray*}\nwhere the parameter $\\theta_0 \\in \\Theta \\subset \\mathbb{R}^l$ with $\\Theta$ a compact set, the impact function $\\phi$ is known of class $C^3$ in its first argument, and $Q_{t_i} \\in \\mathbb{R}^q$ includes \\textit{observable} information\\footnote{Note that we don't assume that $Q_t$ exists for any $t \\in [0,T] - \\{t_0, \\cdots, t_N\\}$ as it is often the case in the i.i.d setting, see, e.g., the framework in \\cite{jacod2009microstructure}.} from the limit order book such as the trade type, the trading volume, the bid-ask spread, the duration time between two trades, the quoted depth, the order flow imbalance, etc. Finally, we assume that  \n\\begin{eqnarray}\n\\label{infoass}\n\\max_{i,j,k} \\big| Q_{t_i^{(k)}}^{(k,j)} \\big| = O_\\mathbb{P} (1),\n\\end{eqnarray}\nwhere $Q_{t_i^{(k)}}^{(k)} = (Q_{t_i^{(k)}}^{(k,1)}, \\cdots, Q_{t_i^{(k)}}^{(k,j_k)})$ corresponds to the information related to $X^{(k)}$ at time $t_i^{(k)}$. The latent $d$-dimensional log-price $X_t$ possibly including jumps and its related $d^2$-dimensional spot volatility $c_t = \\sigma_t \\sigma_t^T$ are It\\^{o}-semimartingales of the form \n\\begin{eqnarray}\n\\label{efficientPrice} X_t & = & X_0 + \\int_0^t b_s ds + \\int_0^t \\sigma_s dW_s + \\int_0^t \\int_\\mathbb{R} \\delta (s,z) \\mathbf{1}_{\\{\\mid \\mid \\delta (s,z) \\mid \\mid \\leq 1\\}} (\\mu - \\nu) (ds, dz)\\\\\n\\nonumber & & + \\int_0^t \\int_\\mathbb{R} \\delta (s,z) \\mathbf{1}_{\\{\\mid \\mid \\delta (s,z) \\mid \\mid > 1\\}} \\mu (ds, dz),\\\\\\label{volatilityDefinition}\nc_t & = & c_0 + \\int_0^t \\widetilde{b}_s ds + \\int_0^t \\widetilde{\\sigma}_s dW_s' + \\int_0^t \\int_\\mathbb{R} \\widetilde{\\delta} (s,z) \\mathbf{1}_{\\{\\mid \\mid \\widetilde{\\delta} (s,z) \\mid \\mid \\leq 1\\}} (\\mu - \\nu) (ds, dz)\\\\\n\\nonumber & & + \\int_0^t \\int_\\mathbb{R} \\widetilde{\\delta} (s,z) \\mathbf{1}_{\\{\\mid \\mid \\widetilde{\\delta} (s,z) \\mid \\mid > 1\\}} \\mu (ds, dz),\n\\end{eqnarray}\nwhere $W_t$ is a $d$-dimensional Brownian motion and $W_t'$ is a $d^2$-dimensional Brownian motion possibly correlated with $W_t$, the $d$-dimensional $b_t$ and $d^2$-dimensional $\\widetilde{b}_t$ drifts are locally bounded, $\\sigma_t$ and the $d^2$-dimensional $\\widetilde{c}_t = \\widetilde{\\sigma}_t \\widetilde{\\sigma}_t^T$ are locally bounded, $\\mu$ is a Poisson random measure on $\\mathbb{R}^{+} \\times E$ where $E$ is an auxiliary Polish space, with the related intensity measure, i.e. the nonrandom predictable compensator, $\\nu(dt,dz) = dt \\otimes \\lambda (dz)$ for some $\\sigma$-finite measure $\\lambda$ on $\\mathbb{R}^+$. Finally, $\\delta = \\delta(\\omega,t,z)$ (respectively $\\widetilde{\\delta}$) is a predictable $\\mathbb{R}^d$-valued ($\\mathbb{R}^{d \\times d}$-valued) function on $\\Omega \\times \\mathbb{R}^+ \\times \\mathbb{R}$ such that locally $\\sup_{\\omega,t} \\mid \\mid \\delta(\\omega,t,z) \\mid \\mid^r \\leq \\gamma(z)$ ($\\sup_{\\omega,t} \\mid \\mid \\widetilde{\\delta}(\\omega,t,z) \\mid \\mid^{\\widetilde{r}} \\leq \\gamma(z)$) for some nonnegative bounded $\\lambda$-integrable function $\\gamma$ and some\\footnote{Here the restriction $r < 1$ follows from \\cite{jacod2013quarticity}. Indeed, even for the realized volatility problem, the case $r > 1$ yields a different optimal rate of convergence as shown in \\cite{jacod2014remark}. The case $r=1$ is let aside. Such bordercase is examined in \\cite{vetter2010limit} when considering the bipower variation.} $r \\in [0,1)$ ($\\widetilde{r} = 2$). Furthermore, we define the \"genuine\" drift as $b_t' = b_t - \\int\\delta(t,z) \\mathbf{1}_{ \\{ \\mid \\mid \\delta(t,z) \\mid \\mid \\leq 1 \\}}\\lambda(dz)$, the continuous part of $X_t$ as \n$$X_t' =  X_0 + \\int_0^t b_s' ds + \\int_0^t \\sigma_s dW_s,$$\nand the jump part as $J_t = \\sum_{s \\leq t} \\Delta X_s$. Key to our analysis is the decomposition \n\\begin{eqnarray}\n\\label{decompoX0}\nX_t = X_t' + J_t.\n\\end{eqnarray}\n\n\n\n\\section{Estimation under parametric noise}\n\\subsection{Integrated parameter estimation}\nThe object of interest is\n\\begin{eqnarray}\n\\label{object}\n\\Xi = \\int_0^T \\xi_t dt,\n\\end{eqnarray}\nwhere $\\xi_t$ can correspond to the integrated volatility, the high-frequency covariance, the quarticity and other functionals of volatility, the volatility of volatility, etc. In the non-noisy version of the problem, the typical scenario is such that the high-frequency data user has a data-based estimator $\\widetilde{\\Xi} (X_{t_0}, \\cdots, X_{t_N})$ of (\\ref{object}),  such as the standard realized volatility (RV), i.e. $RV = \\sum_{i=1}^N \\Delta_i X^2$ where $\\Delta_i A = A_{t_i} - A_{t_{i-1}}$,  and possibly a related central limit theorem and a studentized version of it. In all generality, they respectively take the form of \n\\begin{eqnarray}\n\\label{convergence1}\nN^{\\kappa} \\big(\\widetilde{\\Xi} - \\Xi \\big) & \\rightarrow & \\mathcal{MN} \\big(AB,AVAR \\big),\n\\end{eqnarray}\nwhere $\\kappa > 0$ corresponds to the rate of convergence, and \n\\begin{eqnarray}\n\\label{studentizedconvergence1}\nN^{\\kappa} \\frac{\\widetilde{\\Xi} - N^{- \\kappa} \\widetilde{AB} - \\Xi}{\\sqrt{\\widetilde{AVAR}}} & \\rightarrow & \\mathcal{N}(0,1),\n\\end{eqnarray}\nwhere $\\widetilde{AB}(X_{t_0}, \\cdots, X_{t_N})$ and $\\widetilde{AVAR}(X_{t_0}, \\cdots, X_{t_N})$ are also data-based statistics which respectively correspond to the asymptotic bias and the asymptotic variance estimator. The aim of this section is to equip the high-frequency data user with noise-robust estimators which are based on $\\widetilde{\\Xi}$.\n\n\\smallskip\nTo estimate the integrated parameter, we first need an estimator of the noise parameter $\\theta_0$ defined as $\\widehat{\\theta}$. We assume that $\\widehat{\\theta}$ satisfies\n\\begin{eqnarray}\n\\label{thetahat}\nN (\\widehat{\\theta} - \\theta_0) = O_\\mathbb{P} (1).\n\\end{eqnarray}\nThe techniques of this paper are estimator independent and only require (\\ref{thetahat}). In Section \\ref{parameterestimation}, we provide the form of the estimators from the literature which satisfy (\\ref{thetahat}). Based on $\\widehat{\\theta}$, the efficient price is naturally estimated as\n\\begin{eqnarray}\n\\widehat{X}_{t_i}  =  Z_{t_i} - \\phi(Q_{t_i}, \\widehat{\\theta}).\n\\end{eqnarray}\nThis estimator was already used in \\cite{li2016efficient}, \\cite{chaker2017high} and \\cite{clinet2017testing}. The related plug-in estimator is constructed as \n\\begin{eqnarray}\n\\widehat{\\Xi} =\\widetilde{\\Xi}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N}).\n\\end{eqnarray}\nFor instance, in the case of RV, we obtain that $\\widehat{RV} = \\sum_{i=1}^N \\Delta_i \\widehat{X}^2$. Similarly, we introduce $\\widehat{AB} = \\widetilde{AB}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N})$ and $\\widehat{AVAR} = \\widetilde{AVAR}(\\widehat{X}_{t_0}, \\cdots, \\widehat{X}_{t_N})$.\n\n\\subsection{Noise parameter estimation}\n\\label{parameterestimation}\nSeveral estimators have been proposed by \\cite{li2016efficient}, \\cite{chaker2017high}, \\cite{clinet2017testing} in different settings. The estimator from \\cite{chaker2017high} coincides with the one from \\cite{li2016efficient} when $\\phi$ is linear (which is the related assumption of the former paper), and this leaves us with only two possible approaches.\n\n\\smallskip\nFor each component $k=1, \\cdots,d$ we consider the estimation of $\\theta_0^{(k)}$ the (possibly multi-dimensional) sub-parameter of $\\theta_0$ related to $X_t^{(k)}$ separately. Accordingly, we can assume that $d=1$ in what follows without loss of generality.\n\n\\smallskip\nWe first review the estimation procedure of \\cite{li2016efficient}, which is based on minimum mean square error (MSE). Specifically, the estimator $\\widehat{\\theta}^{(MSE)}$ is given by\n\\begin{eqnarray*}\n\\widehat{\\theta}^{(MSE)} & = & \\underset{\\theta \\in \\Theta}{\\text{argmin }} Q_N(Z,\\theta), \\text{ where}\\\\\nQ_N(Z,\\theta) & = & \\frac{1}{2} \\sum_{i=1}^N (\\Delta_i Z - \\mu_i (\\theta))^2,\n\\end{eqnarray*}\nwhere $\\mu_i(\\theta) = \\phi(Q_{t_i}, \\theta) - \\phi(Q_{{t_{i-1}}}, \\theta)$. We can show that $\\widehat{\\theta}^{(MSE)}$ satisfies (\\ref{thetahat}) in the general setting of our paper in view of Theorem 1 (p. 36) in \\cite{li2016efficient} along with the fact that the proofs adapt straightforwardly when adding small jumps.\n\n\\smallskip\nWe now examine the estimation procedure of \\cite{clinet2017testing} based on quasi-maximum likelihood estimation (MLE). In this case the quasi log-likelihood function related to $\\widehat{\\theta}^{(MLE)}$ is given by\n\\begin{eqnarray}\n\\label{loglikexp}\nl_{exp}(\\sigma^2, \\theta) = - \\frac{N}{2} \\textnormal{log}\\lambda(\\frac{\\sigma^2 T}{N} \\right) - \\frac{N}{2} \\log (2\\pi) -\\frac{N}{2\\sigma^2 T} \\widetilde{Y}(\\theta)^T  \\widetilde{Y}(\\theta),\n\\end{eqnarray}\nwhere $\\widetilde{Y}(\\theta) = (\\Delta_1 Z - \\mu_1 (\\theta), \\cdots, \\Delta_N Z - \\mu_N (\\theta))$. In the framework\\footnote{The framework is quite general, although no endogeneity in sampling times and no small jumps in price. Proving that (\\ref{thetahat}) still holds under endogeneity and small jumps is beyond the scope of this paper.} from the authors, we have that (\\ref{thetahat}) holds by virtue of Theorem 3.1.\n\n\\smallskip\nWhen $\\phi$ is linear, the problem boils down to a linear regression. As a result the MSE and the MLE coincide, and the estimator is explicitly given by \n\\begin{eqnarray}\n\\widehat{\\theta}^{(LR)} & = &  (\\mathbb{M}^T \\mathbb{M} )^{-1}\\mathbb{M}^T \\Delta Z,\n\\end{eqnarray}\nwhere $\\Delta Z := \\lambda(\\Delta_1 Z,\\cdots,\\Delta_N Z\\right)$, and as soon as the matrix \n\\begin{eqnarray*} \n\\mathbb{M} := \\big(\\Delta_i Q^{(j)}\\big)_{1 \\leq i \\leq N, 1 \\leq j \\leq l}\n\\end{eqnarray*} \nis such that $\\mathbb{M}^T\\mathbb{M}$ is invertible.\n\n\\section{Applications of the method}\nIn what follows, we state that the plug-in estimators are noise-robust for five leading examples taken from the literature, and that the central limit theorems (\\ref{convergence}) and (\\ref{studentizedconvergence}) hold under parametric noise. In Example \\ref{volatilitysec}, we study the threshold realized volatility in the case of infinite activity jumps in price and endogeneity in arrival times. Actually, there is no theory under such a general setting, and we first state the central limit theorems related to threshold realized volatility, and then the theory associated to the plug-in estimators. In Example \\ref{bipowersec}, we consider the threshold bipower variation under infinite activity jumps and regular observations. In Example \\ref{covariancesec}, we develop the Hayashi-Yoshida estimator of high-frequency covariance under finite-activity jumps, and asynchronous and endogenous observation times. In Example \\ref{functionalssec}, we consider the estimation of functionals of volatility when the price can exhibit jumps with infinite activity and observations are regular. Finally, we address the case of volatility of volatility for continuous price and volatility processes and regular observation times in Example \\ref{sectionVolOfVol}.\n\\subsection{Threshold realized volatility}\n\\label{volatilitysec}\nThe parameter is $\\xi_t = \\sigma_t^2$, and the rate of convergence $\\kappa = 1\/2$ if observations are not contaminated by the noise. Under i.i.d noise, the rate of convergence is slower equal to $1\/4$. When the price is continuous and observations are regular, a popular estimator of $\\Xi = \\int_0^T \\sigma_s^2 ds$ is RV considered in \\cite{andersen2001bdistribution}, \\cite{andersen2001distribution}, \\cite{barndorff2002econometric}, \\cite{barndorff2002estimating}, \\cite{meddahi2002theoretical}, etc. \\cite{jacod1998asymptotic} showed that \n$$n^{1\/2} \\Big(RV - \\int_0^T \\sigma_s^2 ds \\Big) \\rightarrow {\\cal M}\\mathcal{N} \\Big(0, 2 T\\int_0^T \\sigma_s^4 ds \\Big).$$\nWhen observations are not regular, the AVAR is equal to $2 T\\int_0^T \\sigma_t^4 dH_t$, where $H_t = \\lim N \\sum_{t_{i} \\leq t} (t_i - t_{i-1})^2$ is the so-called \"quadratic variation of time\" (see \\cite{zhang2001martingales} and \\cite{mykland2006anova}). When observations are endogenous, \\cite{li2014realized} show that the limit distribution of $n^{1\/2} (RV - \\Xi)$ includes an asymptotic bias and that the related AVAR is altered. In addition, they prove that the informational content of arrival times can be useful to estimate the asymptotic bias and the AVAR.\n\n\\smallskip\nOur aim is to allow for parametric noise in this endogenous setting, while also including jumps in the price process. As far as the authors know, no general theory\\footnote{Remark 6 (p. 36) in \\cite{li2016efficient} suggests that the threshold RV estimator can be used under endogeneity, but there is no formal proof and this is limited to the case of jumps with finite activity.} includes general endogeneity and jumps, even when observations are not noisy. Accordingly, we first extend the results of \\cite{li2014realized} when adding jumps. Then, we show that the technology of this paper applies in such a general setting.\n\n\\smallskip\nAlthough no theory exists under endogeneity, Theorem 13.2.4 (p. 383) in \\cite{jacod2011discretization} can be used when observations are regular. We consider a similar threshold RV, originally in the spirit of \\cite{mancini2009non} and \\cite{mancini2011speed}, and defined as $\\widetilde{\\Xi} = \\sum_{i=1}^N \\Delta_i X^2 \\mathbf{1}_{ \\{\\mid \\Delta_i X  \\mid \\leq w_i  \\} }$, where $w_i = \\alpha \\Delta_i t^{\\bar{\\omega}}$, $\\bar{\\omega} \\in (1\/(2(2-r)), 1\/2)$ and $\\alpha > 0$ is a tuning parameter. In the next theorem, we provide the related central limit theorem and show that the condition of our paper holds.\n\n\\begin{theorem*}\n\\label{volatility} We assume that $\\inf_{t \\in (0,1]} \\sigma_t > 0$. We further suppose that\n\\begin{eqnarray}\n\\label{volatilityass2} n \\sum_{0 < t_i \\leq t} \\Delta_i {X'}^4 & \\rightarrow^{\\mathbb{P}} & \\int_0^t \\widetilde{u}_s \\sigma_s^4 ds,\\\\\n\\label{volatilityass1}n^{1\/2} \\sum_{0 < t_i \\leq t} \\Delta_i {X'}^3 & \\rightarrow^{\\mathbb{P}} & \\int_0^t \\widetilde{v}_s \\sigma_s^3 ds,\n\\end{eqnarray}\n$\\widetilde{u}_t \\sigma_t^4$, $\\widetilde{v}_t \\sigma_t^3$ and $\\widetilde{v}_t^2 \\sigma_t^4$ are integrable, and $\\widetilde{v}_t$ locally bounded and bounded away from 0. Furthermore, we assume that $t_i$, $b_t$, $\\sigma_t$ and $\\delta$ are generated by finitely many Brownian motions\\footnote{i.e. we assume that $t_i$ are $\\mathbf{G}$-stopping times,  where $\\mathbf{G} =({\\cal G}_t)_{t \\in [0,T]}$ is a sub-filtration of $\\mathbf{F}$ generated by finitely many Brownian motions, and that $b_t$, $\\sigma_t$ and $\\delta$ are adapted to $\\mathbf{G}$.}. Finally we assume that $N\/n \\rightarrow^\\mathbb{P} F$ for some random variable $F$, and that $n \\Delta_i t$ are locally bounded and locally bounded away from 0. Then, stably in law as $n \\rightarrow \\infty$, we have \n\\begin{eqnarray}\n\\label{thRV3} N^{1\/2} ( \\widetilde{\\Xi} - \\Xi) \\rightarrow \\frac{2}{3} \\sqrt T\\int_0^T v_s \\sigma_s dX_s' + \\sqrt T\\int_0^T \\sqrt{\\frac{2}{3}u_s - \\frac{4}{9} v_s^2} \\sigma_s^2 dB_s,\n\\end{eqnarray}\nwhere $v_s = \\sqrt{F} \\widetilde{v}_s$, $u_s = F \\widetilde{u}_s$ and $B_t$ is a standard Brownian motion independent of the other quantities\\footnote{Here and in the other theorems, we mean that $B_t$ is independent of the underlying $\\sigma$-field $\\mathbf{F}$.}. Moreover, we have\n\\begin{eqnarray}\n\\label{thRV2}\nN^{1\/2} (\\widehat{\\Xi} - \\Xi) & \\rightarrow & \\frac{2}{3} \\sqrt T\\int_0^T v_s \\sigma_s dX_s' + \\sqrt T\\int_0^T \\sqrt{\\frac{2}{3}u_s - \\frac{4}{9} v_s^2} \\sigma_s^2 dB_s.\n\\end{eqnarray}\n\\end{theorem*}\n\\begin{remark*}\nIf observations are regular, (\\ref{thRV3}) and (\\ref{thRV2}) can be specified as\n\\begin{eqnarray}\nn^{1\/2} ( \\widetilde{\\Xi} - \\Xi) & \\rightarrow & {\\cal M}\\mathcal{N} \\Big(0, 2 T \\int_0^T \\sigma_s^4 ds \\Big),\\\\\nn^{1\/2} ( \\widehat{\\Xi} - \\Xi) & \\rightarrow & {\\cal M}\\mathcal{N} \\Big(0, 2 T \\int_0^T \\sigma_s^4 ds \\Big).\n\\end{eqnarray}\n\\end{remark*}\nWe provide now jump-robust estimators of $AB =(2\/3) \\sqrt T\\int_0^T v_s \\sigma_s dX_s'$ and $AVAR = T\\int_0^T (\\frac{2}{3}u_s - \\frac{4}{9} v_s^2) \\sigma_s^4 ds$ based on the non jump-robust estimators provided in  \\cite{li2014realized}. Accordingly, we chop the data into $B$ blocks of $h$ observations (except for the last block which might include less observations). We set $h=\\lfloor n^{\\beta} \\rfloor$, where $1\/2 < \\beta < 1$. We can estimate $v_{t_{hi}}\\sigma_{t_{hi}}$ as $$\\widetilde{v \\sigma}_{i} =  \\frac{N^{1\/2} \\sum_{j=h(i-1)+1}^{hi} \\Delta_j X^3 \\mathbf{1}_{ \\{\\mid \\Delta_j X  \\mid \\leq w_j  \\} }}{\\sum_{j=h(i-1)+1}^{hi} \\Delta_j X^2 \\mathbf{1}_{ \\{\\mid \\Delta_j X  \\mid \\leq w_j  \\} }},$$ \nand AB and AVAR as\n\\begin{eqnarray*}\n\\widetilde{AB} & = & \\sqrt T\\sum_{i=1}^{B} \\underbrace{\\frac{2}{3} \\widetilde{v \\sigma}_{i} \\Bigg\\{ \\sum_{j=h(i-1)+1}^{hi} \\Delta_j X \\mathbf{1}_{ \\{\\mid \\Delta_j X  \\mid \\leq w_j  \\} }  \\Bigg\\}}_{\\widetilde{AB}_i},\\\\\n\\widetilde{AVAR} & = & \\frac{2NT}{3}  \\sum_{i=1}^N \\Delta_i X^4 \\mathbf{1}_{ \\{\\mid \\Delta_i X  \\mid \\leq w_i  \\} }  - \\sum_{i=1}^{B} \\widetilde{AB}_{i}^2.\n\\end{eqnarray*}\nRecalling that $\\widehat{AB}$ and $\\widehat{AVAR}$ are constructed respectively as $\\widetilde{AB}$ and $\\widetilde{AVAR}$ when replacing $X$ by $\\widehat{X}$, we provide now the studentized version of the previous central limit theorems. \n\\begin{corollary*}\n\\label{volatilitystudent}\nWe have \n\\begin{eqnarray}\n\\label{volatilitystudent1} N^{1\/2} \\frac{ \\widetilde{\\Xi} - N^{-1\/2} \\widetilde{AB} - \\Xi}{\\sqrt{\\widetilde{AVAR}}} & \\rightarrow & \\mathcal{N} (0,1),\\\\\n\\label{volatilitystudent2} N^{1\/2} \\frac{ \\widehat{\\Xi} - N^{-1\/2} \\widehat{AB} - \\Xi}{\\sqrt{\\widehat{AVAR}}} & \\rightarrow & \\mathcal{N} (0,1).\n\\end{eqnarray}\n\\end{corollary*}\n\\begin{remark*} If observations are regular, there is no asymptotic bias and $AVAR$ can be estimated using the plug-in estimator of quarticity obtained in Example \\ref{functionalssec}. In view of the limit theory which implies the consistency of the plug-in estimator, we obtain directly that (\\ref{volatilitystudent2}) hold.\n\\end{remark*}\nConcurrent approaches to estimate integrated volatility under latent i.i.d noise include and are not limited to: the Quasi-Maximum Likelihood Estimator (QMLE) from \\cite{ait2005often}  which was later shown to be robust to time-varying volatility in \\cite{xiu2010quasi}, the Two-Scale Realized Volatility in \\cite{zhang2005tale}, the multi-Scale realized volatility in \\cite{zhang2006efficient}, the pre-averaging approach  in \\cite{jacod2009microstructure}, realized kernels in \\cite{barndorff2008designing} and the spectral approach considered in \\cite{altmeyer2015functional} based on \\cite{reiss2011asymptotic}. \\cite{clinet2017efficient} discussed AVAR reduction when considering local estimators. Moreover, \\cite{li2016efficient} document in finite sample that the plug-in threshold RV outperforms several concurrent approaches even in the case when the noise is simultaneously parametric and i.i.d. In addition, \\cite{li2013volatility} consider endogenous arrival times. In all those instances, the form of the estimators is quite involved compared to the form of the plug-in estimator, and the rate of convergence is equal to $1\/4$, to be compared with the faster rate $\\kappa = 1\/2$ obtained in (\\ref{thRV2}).\n\n\\subsection{Threshold bipower variation}\n\\label{bipowersec}\nHere again $\\xi_t = \\sigma_t^2$. The bipower variation $BV = \\frac{\\pi}{2} \\sum_{i=2}^N \\mid\\Delta_i X \\mid \\mid \\Delta_{i-1} X \\mid$ (more generally  multipower variation from \\cite{barndorff2004power} and \\cite{barndorff2006econometrics}) was originally introduced as an alternative measure robust to finite-activity jumps. In case of regular observations and no jump, \\cite{barndorff2006central} and \\cite{barndorff2006limit} established the central limit theory. See also \\cite{kinnebrock2008note} for related development. In case of finite-activity jumps, see also \\cite{barndorff2006limit2}.\n\n\\smallskip \nIf jumps exhibit infinite activity,  \\cite{vetter2010limit} shows that BV is no longer consistent, but that the jump-robust threshold estimator \n$$\\widetilde{\\Xi} = \\frac{\\pi}{2} \\sum_{i=2}^N \\mid \\Delta_i X \\mid \\mathbf{1}_{ \\{\\mid \\Delta_i X  \\mid \\leq w  \\} } \\mid \\Delta_{i-1} X \\mid \\mathbf{1}_{ \\{\\mid \\Delta_{i-1} X  \\mid \\leq w  \\} },$$\nwhere  $v = \\alpha \\Delta^{\\bar{\\omega}}$, $\\bar{\\omega} \\in (0, 1\/2)$, is. Moreover, he also shows the related central limit theory. See also \\cite{corsi2010threshold} for related work. Finally, the general theory (Theorem 13.2.1 (p. 380)) from \\cite{jacod2011discretization} can be applied too. All those papers have in common that they assume regular observations, and we follow the same setting to show that the techniques of this paper can be used in this example too. We provide the formal result in what follows.\n\n\\begin{theorem*} \\label{bipower}\nWe have that \n\\begin{eqnarray}\n\\label{bipowereq0}\nn^{1\/2} \\big(\\widehat{\\Xi} - \\widetilde{\\Xi} \\big) \\rightarrow^\\mathbb{P} 0.\n\\end{eqnarray}\n In particular,  \n stably in law as $n \\rightarrow \\infty$, \n \\begin{eqnarray}\n \\label{bipowereq}\n n^{1\/2} (\\widehat{\\Xi} - \\Xi ) \\rightarrow \\frac{\\pi}{2}\\sqrt{\\lambda(1+\\frac{4}{\\pi} - \\frac{12}{\\pi^2}\\right)T} \\int_0^T \\sigma_s^2 d B_s ,\n \\end{eqnarray}\n where $B_t$ is a Brownian motion independent of the other quantities.\n\\end{theorem*}\nIn this example, we have that $AVAR = \\frac{\\pi^2}{4}(1+\\frac{4}{\\pi} - \\frac{12}{\\pi^2})T \\int_0^T \\sigma_s^4 ds$, which can be estimated by $\\widehat{AVAR} = \\frac{\\pi^2}{4}(1+\\frac{4}{\\pi} - \\frac{12}{\\pi^2})T \\widehat{\\int_0^T \\sigma_s^4 ds}$, where the plug-in estimator of quarticity $\\widehat{\\int_0^T \\sigma_s^4 ds}$ is defined as a particular case of Example \\ref{functionalssec}. We also provide the related studentized central limit theorem.\n\\begin{corollary*}\n\\label{bipowerstudent}\nWe have \n\\begin{eqnarray}\n\\label{bipowerstudent0} n^{1\/2} \\frac{ \\widehat{\\Xi} - \\Xi}{\\sqrt{\\widehat{AVAR}}} & \\rightarrow & \\mathcal{N} (0,1).\n\\end{eqnarray}\n\\end{corollary*}\n\n\\subsection{Hayashi-Yoshida estimator of high-frequency covariance}\n\\label{covariancesec}\nWe assume here that $X_t$ is 2-dimensional and that $\\xi_t = \\rho_t \\sigma_t^{(1)} \\sigma_t^{(2)}$, where the high-frequency correlation $\\rho_t$ satisfies $d \\langle W^{(1)}, W^{(2)} \\rangle_t = \\rho_t dt$. The rate of convergence is $\\kappa = 1\/2$ in this problem too, whereas slower equal to $1\/4$ if the noise is i.i.d. We consider that observations are non-synchronous. In this framework and assuming that the price is continuous, \\cite{hayashi2005covariance} bring forward the so-called Hayashi-Yoshida estimator and establish the consistency in case sampling times are independent from the price process. This is extended in an endogenous setting in \\cite{hayashi2008consistent}. The related central limit theory can be found in \\cite{hayashi2008asymptotic}, \\cite{hayashi2011nonsynchronous} and \\cite{potiron2017estimation}, where the latter work considers general endogenous arrival times. See also the remarkable work from \\cite{koike2014estimator}, \\cite{koike2014limit} and \\cite{koike2016estimation} which incorporates jumps, noise and some kind of endogeneity into the model.\n\n\\smallskip\nAs we want to allow for quite exotic endogenous models, we follow \\cite{potiron2017estimation}. In particular, jumps are assumed to be of finite activity and independent from the other quantities. We describe the hitting boundary with time process (HBT) model introduced in the subsequent paper in what follows. For the process $k=1,2$ we introduce the continuous observation time process $Y_t^{(k)}$ which drives the observation times related to $X_t^{(k)}$. We assume that $(X_t, Y_t)$ is a 4-dimensional It\\^{o}-process. We further introduce the down process $d_t^{(k)}(s)$ and the up process $u_t^{(k)}(s)$.  We assume \nthat the down process takes only negative values and that the up \nprocess takes only positive values. A new observation time will be generated whenever one of those two processes is hit by the increment of the observation time process. \nThen, the increment of the observation time process will be reset to $0$, and the next observation time will be produced whenever the up or the down process is hit again. Formally, if we let $\\alpha > 0$ stand for the tick size, we define the first observation time as $t_0^{(k)} := 0$ and recursively $t_i^{(k)}$ as\n\\begin{eqnarray}\n \\label{generateobstimes} t_i^{(k)} := \\inf \\Big\\{ t > t_{i-1}^{(k)} : \\Delta Y_{[t_{i-1}^{(k)}, t]}^{(k)} \\notin \\big[ \\alpha d_{t}^{(k)} \n \\big( t - t_{i-1}^{(k)} \\big), \\alpha u_{t}^{(k)} \\big(t - t_{i-1}^{(k)} \\big) \n\\big] \\Big\\},\n\\end{eqnarray}\nwhere $\\Delta Y_{[a,b]}^{(k)} := Y_b^{(k)} - Y_a^{(k)}$. We define the Hayashi-Yoshida estimator as\n\\begin{eqnarray}\n\\label{HY0} \\widetilde{\\Xi} := \\sum_{0 < t_{i}^{(1)}\\text{ , } t_{j}^{(2)} < T} \n\\Delta_i X^{(1)} \\Delta_j X^{(2)} \n\\mathbf{1}_{ \\big\\{ [ t_{i-1}^{(1)}, t_{i}^{(1)} ) \\cap [ t_{j-1}^{(2)}, \nt_{j}^{(2)} ) \\neq \\emptyset \\big\\} }.\n\\end{eqnarray}\nIn the asymptotic theory, we let $\\alpha \\rightarrow 0$. For the sake of Remark 5 (p. 25) in \\cite{potiron2017estimation}, $\\alpha^{-1}$ is of the same order as $n^{1\/2}$. We can now show that the techniques of this paper hold in this case too.\n\\begin{theorem*} \\label{covariance}\nWe assume that $\\mathbb{E} [ \\psi_i^{(1)} (\\theta) \\mid X^{(2)}] = 0$. As the tick size $\\alpha \\rightarrow 0$, we have that \n\\begin{eqnarray}\n\\label{proof201710301135} \\alpha^{-1} \\big(\\widehat{\\Xi} - \\widetilde{\\Xi} \\big) \\rightarrow^\\mathbb{P} 0.\n\\end{eqnarray}\n In particular, under the assumptions of \\cite{potiron2017estimation}, there exist $AB$ and a process $AV_t$ such that \n stably in law as the tick size $\\alpha \\rightarrow 0$, \n \\begin{eqnarray}\n \\label{theorem}\n \\alpha^{-1} (\\widehat{\\Xi} - \\Xi ) \\rightarrow AB + \\int_0^T \\left( \n AV_s \\right)^{1\/2} d B_s ,\n \\end{eqnarray}\n where $B_t$ is a Brownian motion independent of the other quantities, $AB$ and $AV_t$ are defined in Section 4.3 of \\cite{potiron2017estimation}.\n\\end{theorem*}\nWe define $\\widetilde{AB}$ and $\\widetilde{AVAR}$ following respectively (46) and (47) in \\cite{potiron2017estimation} (Section 5, p. 28). Note that $\\widetilde{AB}$ and $\\widetilde{AVAR}$ are already of the right asymptotic order in the sense that $\\alpha^{-1} \\widetilde{AB} \\rightarrow^\\mathbb{P} AB$ and $\\alpha^{-2} \\widetilde{AVAR} \\rightarrow^\\mathbb{P} \\int_0^T \\left( \n AV_s \\right)^{1\/2} d B_s$ (see (48) and (49) in Corollary 4 of the cited paper). We provide now the studentized version of (\\ref{theorem}).\n\n\\begin{corollary*}\n\\label{covariancestudent}\nWe have \n\\begin{eqnarray}\n\\label{covariancestudent0} \\frac{ \\widehat{\\Xi} - \\widehat{AB} - \\Xi}{\\sqrt{\\widehat{AVAR}}} & \\rightarrow & \\mathcal{N} (0,1).\n\\end{eqnarray}\n\\end{corollary*}\n\n\\subsection{Functionals of volatility local estimator}\n\\label{functionalssec}\nThe spot parameter is $\\xi_t = g(c_t)$ for a given smooth function $g$ on ${\\cal M}_d^+$, the set of all non-negative symmetric $d\\times d$ matrices.\nThe problem was initiated by \\cite{barndorff2002econometric}. See also \\cite{barndorff2006central}, \\cite{mykland2012econometrics} (Proposition 2.17, p. 138) and \\cite{renault2017efficient} for related developments. Here, the rate of convergence is $\\kappa = 1\/2$ again, with slower rate equal to $1\/4$ if noise is i.i.d.\n\n\n\\smallskip\nLocal estimation (\\cite{mykland2009inference}, Section 4.1, p. 1421-1426) can make\nthe mentioned estimators efficient. \\cite{jacod2013quarticity} extended the method in several ways. To do that, they first propose an estimator of the spot volatility  $\\widetilde{c}_i$, and then take a Riemann sum of $g(\\widetilde{c}_i)$. \n\n\\smallskip\nFor any matrix $a \\in {\\cal M}_d^+$, the related $a^{ij}$ stands for the $(i,j)$-component of $a$. Moreover, for $b \\in \\mathbb{R}$, $[a]$ stands for the floor of $a$. Several results are of interest in \\cite{jacod2013quarticity}. In its most useful form (from our point of view), the estimator takes on the form\n\\begin{eqnarray} \n\\widetilde{\\Xi} = \\Delta \\sum_{i=1}^{[T\/\\Delta]-k+1}\\lambda\\{g(\\widetilde{c}_{i}) - \\inv{2k}\\sum_{j,q,l,m=1}^d \\partial_{jq,lm}^2g(\\widetilde{c}_{i})\\lambda(\\widetilde{c}_{i}^{jl}\\widetilde{c}_{i}^{qm}+\\widetilde{c}_{i}^{jm}\\widetilde{c}_{i}^{ql}\\right)\\right\\},\n\\label{eqGEstimator}\n\\end{eqnarray} \nwith \n$$\\widetilde{c}_{i}^{lm}=\\inv{k \\Delta} \\sum_{j=0}^{k-1}\\Delta_{i+j} X^l\\Delta_{i+j} X^m \\mathbf{1}_{\\{\\|\\Delta_{i+j} X\\| \\leq w\\}}, $$\nfor two sequences of integers $k$ and $w = \\alpha \\Delta^{\\bar{\\omega}}$ for some $\\alpha >0$, and \n$$\\frac{2p-1}{2(2p-r)}\\leq\\bar{\\omega}<\\frac{1}{2},$$ \nwhere we suppose that \n\\begin{eqnarray} \n\\|\\partial^jg(x)\\| \\leq K(1+\\|x\\|^{p-j}),\\textnormal{  } j=0,1,2,3\n\\label{momentG}\n\\end{eqnarray} \nfor some constants $p \\geq 3$, $K>0$.\nIn Equation (\\ref{eqGEstimator}), $\\widetilde{c}_{i}$ corresponds to an estimator of the spot volatility matrix, the first term is part of the Riemann sum, while the second term is required to remove the asymptotic bias of the first term in $\\widetilde{\\Xi}$, which explodes asymptotically. We show that the associated plug-in estimator $\\widehat{\\Xi}$ enjoys the same limit theory as $\\widetilde{\\Xi}$. More precisely, we have the following result.\n\n\\begin{theorem*}\\label{theoremG}\nAssume that $k^2\\Delta \\to0$, $k^3\\Delta \\to\\infty$. Let $\\widetilde{\\Xi}'$ be the estimator defined as in (\\ref{eqGEstimator}) where $X_t$ is replaced by its continuous part $X_t'$. Then, we have the convergence\n\\begin{eqnarray}\nn^{1\/2}\\lambda(\\widehat{\\Xi} - \\widetilde{\\Xi}'\\right) \\to^\\mathbb{P} 0.\n\\end{eqnarray}\nMoreover, stably in law, we have the convergence\n\\begin{eqnarray}\n n^{1\/2}\\lambda(\\widehat{\\Xi} -  \\Xi \\right) \\rightarrow \\int_0^T{\\sqrt{T\\overline{h}(c_s)}dB_s},\n\\end{eqnarray}\nwhere for $x \\in {\\cal M}_d^+$,\n$$ \\overline{h}(x) = \\sum_{j,q,l,m=1}^d \\partial_{jq}g(x)\\partial_{lm}g(x)(x^{jl}x^{qm}+x^{jm}x^{ql}),$$\nand where $B$ is a standard Brownian motion independent of the other quantities. \n\\end{theorem*}\nIn particular, note that the asymptotic variance in the stable convergence can be expressed as\n\\begin{eqnarray*} \nAVAR = T\\int_0^T{\\overline{h}(c_s)ds},\n\\end{eqnarray*} \nso that we naturally define the asymptotic variance estimator as \n\\begin{eqnarray*} \n\\widehat{AVAR} =  T \\Delta \\sum_{i=1}^{[t\/\\Delta]-k+1} \\overline{h}(\\widehat{c}_{i}).\n\\end{eqnarray*}  \n\nWe easily deduce from Corollary 3.7 p. 1471 in \\cite{jacod2013quarticity} the following studentized version of the above central limit theorem. \n\\begin{corollary*}\\label{corolStudentG}\nUnder the assumptions of the previous theorem, we have the stable convergence in law\n\\begin{eqnarray*} \n\\frac{n^{1\/2}\\big(\\widehat{\\Xi} -  \\Xi \\big)}{\\sqrt{\\widehat{AVAR}}} \\to {\\cal N}(0,1).\n\\end{eqnarray*} \n\\end{corollary*}\n\n\\smallskip\nUnder i.i.d noise, no result with a general function $g(c_t)$ is available. Alternative approaches include: \\cite{jacod2010limit} for even power, \\cite{mancino2012estimation} and \\cite{andersen2014robust} in the special case of quarticity, and also \\cite{altmeyer2015functional} when considering the tricity. See also \\cite{potiron2016local} (Section 4.2) for a local maximum-likelihood estimation with noise variance vanishing asymptotically. \n\n\\subsection{Volatility of volatility}\\label{sectionVolOfVol}\nIn this section we assume that $X_t$ is 1-dimensional and we are interested in the spot parameter $\\xi_t = \\widetilde{\\sigma}_t^2$ which corresponds to the so-called volatility of volatility process defined in (\\ref{volatilityDefinition}). As far as we know, there is no result in the literature including noise into the model, but in the non-noisy scenario one can consult \\cite{vetter2015estimation} (Theorem 2.5 and Theorem 2.6) and \\cite{mykland2012efficient} (Theorem 7 and Corollary 2). We follow here the former author, and aim to show the robustness of Theorem 2.6 when using plug-in estimators. Accordingly, we hereafter assume that both $X_t$ and $c_t$ are continuous processes, i.e. $\\delta = \\widetilde{\\delta} = 0$ in (\\ref{efficientPrice})-(\\ref{volatilityDefinition}). To our knowledge, the case with jumps in $X_t$ and\/or $c_t$ remains an open question. The rate of convergence is $\\kappa = 1\/4$. Introducing the spot volatility estimator\\footnote{Note that the definition of $\\widetilde{c}_{i}$ slightly diverges from the previous section.} for $i \\in \\{0,\\cdots,n-k \\}$,\n\\begin{eqnarray*}\n\\widetilde{c}_{i} := \\frac{n}{k}\\sum_{j=1}^{k}\\Delta_{i+j}X^2, \n\\end{eqnarray*}\nand the spot quarticity estimator\n\\begin{eqnarray*} \n\\widetilde{q}_i := \\frac{n^2}{3k}\\sum_{j=1}^{k}\\Delta_{i+j}X^4,\n\\end{eqnarray*} \nthe author defines the volatility of volatility estimator (see (2.5) on p. 2399 in the cited work) as \n\\begin{eqnarray*}\n\\widetilde{\\Xi} := \\sum_{i=0}^{[t\/\\Delta] - 2k}\\lambda\\{\\frac{3}{2k}\\lambda(\\widetilde{c}_{i+k} - \\widetilde{c}_{i}\\right)^2 - \\frac{6}{k^2}\\widetilde{q}_i\\right\\}. \n\\end{eqnarray*} \nLetting $\\widehat{c}_i$, $\\widehat{q}_i$, and $\\widehat{\\Xi}$ be the corresponding plug-in estimators, we obtain the following results.\n\n\\begin{theorem*} \\label{thmVolofVol}\nAssume that $k = cn^{1\/2}+o(n^{1\/4})$ for some $c>0$. Then stably in law,\n\\begin{eqnarray*}\n\\sqrt{\\frac{n}{k}}\\lambda( \\widehat{\\Xi} - \\Xi \\right) \\to \\sqrt{T}\\int_0^T \\alpha_sdB_s,\n\\end{eqnarray*}\nwhere $B_t$ is a Brownian motion independent from the other quantities and\n\\begin{eqnarray*} \n\\alpha_s^2 = \\frac{48}{c^4}\\sigma_s^8 + \\frac{12}{c^2}\\sigma_s^4\\widetilde{\\sigma}_s^2 + \\frac{151}{70}\\widetilde{\\sigma}_s^4.\n\\end{eqnarray*} \n\\end{theorem*}\nMoreover, if we define\n\\begin{eqnarray*}\nG^{(1)} & = & \\frac{T}{n}\\sum_{i=0}^{[t\/\\Delta] - k} \\widehat{q}_i^2,\\\\\nG^{(2)} & = & T\\sum_{i=0}^{[t\/\\Delta] - 2k}\\lambda\\{\\frac{3}{2k}\\lambda(\\widehat{c}_{i+k} - \\widehat{c}_{i}\\right)^2 - \\frac{6}{k^2}\\widehat{q}_i\\right\\}\\widehat{q}_i,\\\\\nG^{(3)} & = & \\frac{Tn}{k^2}\\sum_{i=0}^{[t\/\\Delta] - 2k}\\lambda(\\widehat{c}_{i+k} - \\widehat{c}_{i}\\right)^4,\n\\end{eqnarray*}\nand finally\n\\begin{eqnarray*} \n\\widehat{AVAR} = \\frac{453}{280}G^{(3)} - \\frac{n}{k^2}\\frac{486}{35}G^{(2)}-\\frac{n^2}{k^4}\\frac{1038}{35}G^{(1)}, \n\\end{eqnarray*} \nwe can derive the following studentized version of the previous central limit theorem.\n\\begin{corollary*}\\label{corVolofVol}\nUnder the assumptions of the previous theorem, we have the stable convergence in law\n\\begin{eqnarray*} \n\\sqrt{\\frac{n}{k}}\\frac{  \\widehat{\\Xi} -  \\Xi  }{\\sqrt{\\widehat{AVAR}}} \\to {\\cal N}(0,1).\n\\end{eqnarray*} \n\\end{corollary*}\n\\section{Conclusion}\nThis paper brings forward plug-in estimators to estimate high-frequency quantities under parametric noise. When estimating volatility, high-frequency covariance, functionals of volatility and volatility of volatility, the robustness to parametric noise is established, indicating that the plug-in estimator can be considered as a simpler and faster alternative. It is clear that the plug-in estimator could also be used to estimate the continuous or discontinuous leverage effect, high-frequency regression, estimation of the jump component and co-jumps, etc. \n\n\\smallskip\nFrom a practical point of view, the techniques of this paper feature three main advantages compared to the alternative methods. First of all, they reduce the overall uncertainty about the noise using limit order book data, which is seldom used in the literature. Second, they provide noise-robust estimators which can be implemented at the highest frequency, compared to the safer 5-minute rule-of-basis if no noise is explicitly incorporated into the model. Finally, the implementation of the plug-in procedure based on the original estimator should be straightforward.\n\n\\section{Proofs}\n\n\\subsection{Preliminaries}\nDue to our assumptions of local boundedness on $b_t$, $\\widetilde{b}_t$, $c_t$ and $\\widetilde{c}_t$, (\\ref{infoass}) and (\\ref{thetahat}), it is sufficient (see, e.g., Lemma 4.4.9 along with Proposition 2.2.1 in \\cite{jacod2011discretization}) to assume throughout the proofs the following stronger assumption.\\\\\n\\textbf { (H) } We have that $b_t$, $\\widetilde{b}_t$, $c_t$ and $\\widetilde{c}_t$ are bounded. Moreover, there exists $K >0$ such that $\\|\\widehat{\\theta} -\\theta_0\\| \\leq K\/n$, and $\\max_{i,j,k} |Q_{t_i^{(k)}}^{(k,j)}| \\leq K$.\\\\\nAll along the proofs, $C$ is a constant that may vary from one line to the next. \nWe further provide some notation related to the decomposition  (\\ref{efficientPrice}) of the efficient price, i.e. that\n\\begin{eqnarray}\n\\nonumber X_t & = & X_0 + \\int_0^t b_s ds + \\int_0^t \\sigma_s dW_s + \\int_0^t \\int_\\mathbb{R} \\delta (s,z) \\mathbf{1}_{\\{\\mid \\mid \\delta (s,z) \\mid \\mid \\leq 1\\}} (\\mu - \\nu) (ds, dz)\\\\\n \\nonumber & & + \\int_0^t \\int_\\mathbb{R} \\delta (s,z) \\mathbf{1}_{\\{\\mid \\mid \\delta (s,z) \\mid \\mid > 1\\}} \\mu (ds, dz),\\\\\n\\label{decompoX} & := & X_0 + B_t + X_t^{c} + M_t + J_t^{b}.\n\\end{eqnarray}\nNote that in this decomposition $M_t$ is a purely discontinuous local martingale (see the discussion in Section 2.1.2 in \\cite{jacod2011discretization}). Finally, we introduce $\\Delta_i X(\\theta) := \\Delta_i X + \\psi_i(\\theta)$ where $\\psi_i(\\theta) := \\mu_i(\\theta) - \\mu_i(\\theta_0)$. In particular, note that  $\\Delta_i \\widehat{X} = \\Delta_iX(\\widehat{\\theta})$. Moreover, $\\mathbb{E}_s$ is defined as the conditional expectation given $\\mathcal{F}_s$.\n\\subsection{Proof of Theorem \\ref{volatility}}\nFor this proof, due to our assumptions and using the same argument as for Assumption \\textbf{(H)} we further assume the following assumption.\\\\ \n\\textbf{ (H') } We have that $n \\Delta_i t$ and $\\widetilde{v}_t$ are bounded and bounded away from 0.\\\\\nNote that (\\ref{thRV3}) is a particular case of (\\ref{thRV2}) when $\\phi = 0$. In what follows, we directly prove the general case (\\ref{thRV2}). First of all, as $N\/n \\rightarrow^{\\mathbb{P}} F$, it is sufficient to show the stable convergence in law \n\\begin{eqnarray}\n\\label{thRV30} n^{1\/2} ( \\widetilde{\\Xi} - \\Xi) \\rightarrow \\frac{2}{3} \\sqrt T\\int_0^T \\widetilde{v}_s \\sigma_s dX_s' + \\sqrt T\\int_0^T \\sqrt{\\frac{2}{3}\\widetilde{u}_s - \\frac{4}{9} \\widetilde{v}_s^2} \\sigma_s^2 dB_s.\n\\end{eqnarray}\nSecond, note that if we can prove that\n\\begin{eqnarray}\n\\label{proof1} n^{1\/2} \\sum_{i=1}^N \\Delta_i \\widehat{X}^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\} } = n^{1\/2} \\sum_{i=1}^N (\\Delta_i X^{'})^2 + o_\\mathbb{P} (1),\n\\end{eqnarray}\nthen (\\ref{thRV3}) holds in view of Theorem 1 (p. 585) in \\cite{li2014realized} together with  the assumptions of Theorem \\ref{volatility}. Accordingly, we show (\\ref{proof1}) in what follows. On the account of the decomposition (\\ref{decompoX0}), we have\n\\begin{eqnarray*}\nn^{1\/2} \\sum_{i=1}^N \\Delta_i \\widehat{X}^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\} } &=& n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\} } +2n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})\\Delta_i J  \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\} } \\\\\n& &+  n^{1\/2} \\sum_{i=1}^N \\Delta_i J^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\} },\\\\\n& := & I + II + III,\n\\end{eqnarray*}\nwhere for $\\theta \\in \\Theta$, we define $\\Delta_i X^{'}(\\theta) := \\Delta_i  X^{'} + \\psi_i(\\theta)$. We will show in what follows that $I = n^{1\/2} \\sum_{i=1}^N (\\Delta_i X^{'})^2 + o_\\mathbb{P} (1)$, $II = o_\\mathbb{P} (1)$,  and $III = o_\\mathbb{P}(1)$.\n\n\\smallskip\nWe start with $I$. By definition, we have \n\\begin{eqnarray*}\nI & = &  n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 - n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid > w_i  \\} }\n\\end{eqnarray*}\nWe show now that $n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid > w_i  \\} } = o_\\mathbb{P} (1)$. We have that \n\\begin{eqnarray*}\nn^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid > w_i \\} } & \\leq & n^{1\/2} \\sum_{i=1}^N \\Delta_i  X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid > w_i\/2  \\} } + n^{1\/2} \\sum_{i=1}^N \\Delta_i  X^{'}(\\widehat{\\theta})^2 \\mathbf{1}_{ \\{\\mid \\Delta_i J  \\mid > w_i\/2 \\} }\\\\\n& := & A + B.\n\\end{eqnarray*}\n\nWe first deal with $A$. By the domination $\\mathbf{1}_{ \\{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid > w_i\/2  \\} } \\leq 2^k \\mid \\Delta_i X^{'}(\\widehat{\\theta})\\mid^k w_i^{-k}$, we have for any $k > 0$:\n\\begin{eqnarray*}\n|A| & \\leq & Cn^{1\/2} \\sum_{i=1}^N w_i^{-k}|\\Delta_i X^{'}(\\widehat{\\theta})|^{2+k}\n\\end{eqnarray*}\nNow, note that by Assumption \\textbf{(H)} along with the fact that $\\psi_i$ is $C^3$ in $\\theta$ and that $\\Theta$ is a compact set, we easily obtain that for any $k \\geq 1$, $|\\psi_i(\\widehat{\\theta})|^k \\leq Cn^{-k}$. From here, by Assumption \\textbf{ (H') } we deduce by Burkh\\\"{o}lder-Davis-Gundy inequality that \n\\begin{eqnarray} \n\\mathbb{E} |\\Delta_i X^{'}(\\widehat{\\theta})|^k \\leq C(n^{-k\/2} + n^{k}) \\leq Cn^{-k\/2},\\label{devContinuousTheta}\n\\end{eqnarray}  \nand so we can conclude that taking $k$ large enough, $A = o_\\mathbb{P}(1)$ as a result of the boundedness of $n \\Delta_i t$, and $N\/n \\rightarrow F$.\n\n\\smallskip\nMoreover, the term $B$ can be shown following a similar line of reasoning along with H\\\"{o}lder's inequality taking an exponent sufficiently close to $1$ on the jump part $\\Delta_i J$. Now we conclude for $I$ by showing that we have \n\\begin{eqnarray} \nn^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})^2 = n^{1\/2} \\sum_{i=1}^N (\\Delta_i X^{'})^2 + o_\\mathbb{P}(1).\n\\label{deviationRVTheta}\n\\end{eqnarray} \nNote that\n\\begin{eqnarray*}\nn^{1\/2}\\sum_{i=1}^N \\lambda( \\Delta_i X^{'}(\\widehat{\\theta})^2 - (\\Delta_i X^{'})^2 \\right) = 2n^{1\/2} \\sum_{i=1}^N  \\Delta_i X^{'} \\psi_i(\\widehat{\\theta}) + n^{1\/2} \\sum_{i=1}^N \\psi_i(\\widehat{\\theta})^2,\n\\end{eqnarray*} \nand the second term in the right-hand side of the equation is negligible as a direct consequence of the domination $|\\psi_i(\\widehat{\\theta})| \\leq C\/n$. We show now that the first term is also negligible. By the mean value theorem, we also have for some $\\overline{\\theta} \\in [\\theta_0,\\widehat{\\theta}]$ that  \n\\begin{eqnarray*} \nn^{1\/2}\\sum_{i=1}^N  \\Delta_i X^{'} \\psi_i(\\widehat{\\theta}) = n^{1\/2}(\\widehat{\\theta} -\\theta_0)\\sum_{i=1}^N  \\Delta_i X^{'} \\partial_\\theta \\psi_i(\\theta_0) + \\frac{ n^{1\/2}(\\widehat{\\theta} -\\theta_0)^T}{2}\\sum_{i=1}^N  \\Delta_i X^{'} \\partial_\\theta^2 \\psi_i(\\overline{\\theta})(\\widehat{\\theta} -\\theta_0).\n\\end{eqnarray*} \nUsing that $\\widehat{\\theta} - \\theta_0 = O_\\mathbb{P}(1\/n)$, and the fact that $\\|\\partial_\\theta^2 \\psi(\\overline{\\theta})\\| \\leq C$ we deduce that the second term is negligible. Finally, note that $\\sum_{i=1}^N  \\Delta_i X^{'} \\partial_\\theta \\psi_i(\\theta_0)$ can be decomposed as the sum of $\\sum_{i=1}^N  \\Delta_i \\breve{B} \\partial_\\theta \\psi_i(\\theta_0)$, which is easily proved to be negligible given the local boundedness of $b$ and $\\delta$, and $\\sum_{i=1}^N  \\Delta_i X^{c} \\partial_\\theta \\psi_i(\\theta_0)$, which is a sum of martingale increments with respect to the filtration ${\\cal H}_t = {\\cal F}_t \\vee \\sigma \\{Q_{t_i}, 1 \\leq i \\leq N \\}$. Thus, by (2.2.35) in \\cite{jacod2011discretization}, proving that this term tends to 0 boils down to showing that\n\\begin{eqnarray*} \nn^{-1}\\sum_{i=1}^N \\mathbb{E} \\big[(\\Delta_i X^{c})^2 \\|\\partial_\\theta \\psi_i(\\theta_0)\\|^2 \\big] \\to 0,\n\\end{eqnarray*} \nwhich is immediate since $\\|\\partial_\\theta \\psi_i(\\theta_0)^2\\| \\leq C$, $N\/n \\to^\\mathbb{P} F$ and $\\mathbb{E} (\\Delta_i X^{c})^2 \\leq C\/n$ by Assumption \\textbf{(H')}.\n\\smallskip\n\nWe now turn to $II$. As by (\\ref{devContinuousTheta}) along with Assumption \\textbf{ (H') }, we have for any $k>0$ the inequality  $\\mathbb{P}\\lambda[|\\Delta_i X^{'}(\\widehat{\\theta})|^k > w_i\/2\\right] \\leq Cn^{k(\\bar{\\omega} - 1\/2)}$, it is easy to see that by taking $k$ sufficiently large, we can assume without loss of generality that we can add the indicator $\\ind{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid \\leq w_i\/2}$ in $II$, i.e. that \n\\begin{eqnarray*}  \nII &=& 2n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})\\Delta_i J  \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w_i  \\}} \\ind{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid \\leq w_i\/2}, \\\\\n&\\leq& 2n^{1\/2} \\sum_{i=1}^N \\Delta_i X^{'}(\\widehat{\\theta})\\Delta_i J  \\mathbf{1}_{ \\{\\mid \\Delta_i J  \\mid \\leq 3w_i\/2  \\}} \\ind{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid \\leq w_i\/2},\n\\end{eqnarray*} \nso that \n\\begin{eqnarray*} \n|II| &\\leq& 2n^{1\/2} \\sum_{i=1}^N  |\\Delta_i X^{'}(\\widehat{\\theta})| |\\Delta_i J|^{1-r}|\\Delta_i J|^{r} \\mathbf{1}_{ \\{\\mid \\Delta_i J  \\mid \\leq 3w_i\/2  \\}} \\ind{\\mid \\Delta_i X^{'}(\\widehat{\\theta})  \\mid \\leq w_i\/2},\\\\\n&\\leq& Cn^{1\/2 -\\bar{\\omega}(2-r)} \\underbrace{\\sum_{i=1}^N |\\Delta_i J|^r}_{O_\\mathbb{P}(1)}. \n\\end{eqnarray*}  \nGiven that $\\bar{\\omega} \\in (1\/(2(2-r)), 1\/2)$, we immediately deduce that $II =o_\\mathbb{P}(1)$. \nFinally, we can show that $III = o_\\mathbb{P} (1)$ with the same line of reasoning as for $II$.\n\n\n\n\n\n\n\n\n\n\n\n\\subsection{Proof of Corollary \\ref{volatilitystudent}}\nWe show (\\ref{volatilitystudent2}), as (\\ref{volatilitystudent1}) is a particular case where $\\phi = 0$. This amounts to proving that $\\widehat{AB}$ and $\\widehat{AVAR}$ are consistent.\n\n\\smallskip\nWe show first that $\\widehat{AB}$ is consistent. As in the previous proofs (in this case this is actually quite easier as we only show the consistency), we can remove the truncation and the parametric noise part and replace $\\Delta_i \\widehat{X}$ by $\\Delta_i  X'$. We obtain that\n\\begin{eqnarray*}\n\\widehat{AB} & = & \\sum_{i=1}^{B} \\frac{2}{3} \\overline{v \\sigma}_{i} (X_{t_{ih}}' -X_{t_{(i-1)h}}') + o_\\mathbb{P} (1),\n\\end{eqnarray*}\nwhere  \n$$\\overline{v \\sigma}_{i} = \\frac{N^{1\/2} \\sum_{j=h(i-1)+1}^{hi} (\\Delta_j  X^{'})^3}{\\sum_{j=h(i-1)+1}^{hi} (\\Delta_j X^{'})^2}.$$ \nA Taylor expansion on the function $f(x,y) = x\/y$ along with the convergence (\\ref{volatilityass1}), the fact that $\\sum_{i=1}^N (\\Delta_i X^{'})^2 \\rightarrow^\\mathbb{P} \\Xi$, that $\\sigma_t$ and $v_t$ are bounded and bounded away from 0 and that $N\/n \\rightarrow^\\mathbb{P} F$ yields\n\\begin{eqnarray*}\n\\widetilde{AB} & = & \\sum_{i=1}^{B} \\frac{2}{3} v_{t_{i-1}} \\sigma_{t_{i-1}} ( X_{t_{ih}}' -  X_{t_{(i-1)h}}') + o_\\mathbb{P} (1).\n\\end{eqnarray*}\nApplying Theorem I.4.31 (iii) on p. 47 in \\cite{JacodLimit2003} together with the fact that $\\sigma_t$ and $v_t$ are bounded and bounded away from 0, we conclude that $\\widehat{AB} \\to^\\mathbb{P} AB$. \n\n\\smallskip\nWe show now that $\\widehat{AVAR}$ is consistent. In this case we can again by similar arguments remove the truncation and substitute $\\Delta_i \\widehat{X}$ by $\\Delta_i X'$, i.e. it holds that \n\\begin{eqnarray*}\n\\widehat{AVAR} & = & \\frac{2N}{3}  \\sum_{i=1}^N (\\Delta_i X')^4  - \\frac{4}{9} \\sum_{i=1}^{B} (\\overline{v \\sigma}_{i})^2 (X_{t_{ih}}' - X_{t_{(i-1)h}}')^2 + o_\\mathbb{P} (1).\n\\end{eqnarray*}\nBy (\\ref{volatilityass2}) together with the fact that $N\/n \\rightarrow^\\mathbb{P} F$, we deduce that \n$$\\frac{2N}{3}  \\sum_{i=1}^N (\\Delta_i X')^4 \\rightarrow^\\mathbb{P} \\frac{2}{3} \\int_0^T u_s \\sigma_s^4 ds.$$\nFurthermore, using similar techniques as for $\\widetilde{AB}$, we obtain that \n$$\\frac{4}{9} \\sum_{i=1}^{B} (\\overline{v \\sigma}_{i})^2 (X_{t_{ih}}' - X_{t_{(i-1)h}}')^2 \\rightarrow^\\mathbb{P} \\frac{4}{9} \\int_0^T v_s^2 \\sigma_s^4 ds.$$\nWe have thus shown that $\\widehat{AVAR} \\to^\\mathbb{P} AVAR$.\n\n\n\\subsection{Proof of Theorem \\ref{bipower}}\nIt is immediate to see that (\\ref{bipowereq}) holds as a consequence of (\\ref{bipowereq0}) along with Theorem 3.3 in \\cite{vetter2010limit}. Accordingly, we show that (\\ref{bipowereq0}) holds in what follows, i.e. that\n$$n^{1\/2} \\widehat{\\Xi} = n^{1\/2} \\widetilde{\\Xi} + o_\\mathbb{P}(1).$$\nFirst, we show that we can assume without loss of generality that the price process $X$ is continuous, i.e. $J=0$. To do so, we introduce $\\widehat{\\Xi}^{'}$ as the estimator applied to $X^{'}$ in lieu of $X$. We show that \n\\begin{eqnarray} \nn^{1\/2}\\lambda( \\widehat{\\Xi} - \\widehat{\\Xi}'  \\right) \\to^\\mathbb{P} 0.\n\\label{removeJumpsBivariate}\n\\end{eqnarray} \nFrom (\\ref{decompoX0}), we can easily obtain the key decomposition\n\\begin{eqnarray} \n\\Delta_i \\widehat{X} = \\Delta_iX(\\widehat{\\theta}) = \\underbrace{\\Delta_i \\breve{B} +  \\psi_i(\\widehat{\\theta})}_{\\Delta_iB^{'}} + \\Delta_i X^c + \\Delta_i J,\n\\label{keyDecompositionBivariate}\n\\end{eqnarray} \nwhere $\\breve{B}_t = \\int_0^t b_s' ds$, and by assumption \\textbf{(H)}, also recall that we have $ |\\psi_i(\\widehat{\\theta})| \\leq \\lambda|\\sup_{\\theta \\in \\Theta}\\partial_\\theta \\psi_i(\\theta) \\right||\\widehat{\\theta}-\\theta_0| \\leq C\/n$ almost surely. Thus, remark that all usual conditional moment estimates for $\\Delta_i B$ are also true for $\\Delta_i B^{'}$. More precisely, replacing $\\Delta_i B$ by $\\Delta_i B^{'}$ and ${\\cal F}_i$ by ${\\cal G}_i = {\\cal F}_i \\vee \\sigma\\{Q_{t_i}, 0  \\leq i \\leq n\\}$ in the proof of Lemma 13.2.6 (p. 384) in \\cite{jacod2011discretization}, all the conditional estimates are preserved and thus the lemma holds true in the presence of the error term $\\psi_i(\\widehat{\\theta})$. Applied with $F(x_1,x_2) = |x_1||x_2|$, $k=2$, $p' = s'  =2$, $s=1$ and $\\epsilon = 0$, this directly yields that for all $q \\geq 1$ and for some deterministic sequence $a_n$ going to 0,\n\\begin{eqnarray*}  \n\\mathbb{E}\\lambda||\\Delta_i \\widehat{X}||\\Delta_{i-1} \\widehat{X}| \\ind{|\\Delta_i\\widehat{X}| \\leq w}\\ind{|\\Delta_{i-1}\\widehat{X}|  \\leq w} - |\\Delta_i \\widehat{X}^{'}||\\Delta_{i-1} \\widehat{X}^{'}| \\ind{|\\Delta_i\\widehat{X}^{'}| \\leq w} \\ind{|\\Delta_{i-1}\\widehat{X}^{'}| \\leq w} \\right|^q \\leq  Ca_n \\Delta_n^{(2q-r)\\bar{\\omega} + 1},\n\\label{removeJumpBivariate}\n\\end{eqnarray*} \nand given the definition of $\\widehat{\\Xi}$ and $\\widehat{\\Xi}'$, applying the above domination with $q=1$, we directly deduce the estimate\n\\begin{eqnarray*} \nn^{1\/2} \\mathbb{E} |\\widehat{\\Xi} - \\widehat{\\Xi}^{'}| &\\leq& a_n n^{1\/2 - (2-r)\\bar{\\omega}} \\to 0,\n\\end{eqnarray*} \nsince $\\bar{\\omega} \\in (1\/(2(2-r)),1\/2)$. From now on, by (\\ref{removeJumpsBivariate}) we assume that $J=0$ and we write indifferently $\\widehat{\\Xi}$ for $\\widehat{\\Xi}^{'}$, $X$ for $X^{'}$, and so on. By definition, we have that   \n\\begin{eqnarray*}\nn^{1\/2} \\widehat{\\Xi} & = & \\frac{\\pi n^{1\/2}}{2} \\sum_{i=2}^n \\big| \\Delta_i \\widehat{X} \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} } \\big| \\Delta_{i-1} \\widehat{X} \\big| \\mathbf{1}_{ \\{\\mid \\Delta_{i-1} \\widehat{X}  \\mid \\leq w  \\} },\n\\\\ & = & \\frac{\\pi n^{1\/2}}{2} \\sum_{i=2}^n \\big| (\\Delta_i X + \\psi_i(\\widehat{\\theta})) (\\Delta_{i-1} X + \\psi_{i-1}(\\widehat{\\theta})) \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} } \\mathbf{1}_{ \\{\\mid \\Delta_{i-1} \\widehat{X}  \\mid \\leq w  \\} }.\n\\end{eqnarray*}\nIf we introduce $\\breve{\\Xi}  = \\frac{\\pi}{2} \\sum_{i=2}^n \\big| \\Delta_i X \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} } \\big| \\Delta_{i-1} X \\big| \\mathbf{1}_{ \\{\\mid \\Delta_{i-1} \\widehat{X}  \\mid \\leq w  \\} }$, we obtain by triangular inequality that \\begin{eqnarray*}\n n^{1\/2} \\big| \\widehat{\\Xi} - \\breve{\\Xi} \\big| & \\leq & C n^{1\/2} \\sum_{i=2}^n  \\big| \\psi_i(\\widehat{\\theta}) \\big| \\big|\n \\psi_{i-1}(\\widehat{\\theta}) \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} } + C n^{1\/2} \\sum_{i=2}^n \\big| \\Delta_i X \\big| \\big| \\psi_{i-1}(\\widehat{\\theta}) \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} } \\\\ & & + C n^{1\/2} \\sum_{i=2}^n \\big| \\Delta_{i-1} X \\big| \\big| \\psi_{i}(\\widehat{\\theta}) \\big| \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} }, \\\\\n& := & I + II + III.\n\\end{eqnarray*}\nWe prove (\\ref{bipowereq0}) in two steps in what follows. First, we show that $n^{1\/2} \\big| \\widetilde{\\Xi} - \\breve{\\Xi} \\big| = o_\\mathbb{P} (1)$. Second, we prove that $I = o_\\mathbb{P} (1)$, $II = o_\\mathbb{P} (1)$ and $III = o_\\mathbb{P} (1)$.\n\n\\smallskip\nWe have \n\\begin{eqnarray*} \nn^{1\/2} \\big| \\widetilde{\\Xi} - \\breve{\\Xi} \\big| = \\frac{\\pi n^{1\/2}}{2}\\sum_{i=2}^n |\\Delta_iX||\\Delta_{i-1}X||\\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X}  \\mid \\leq w  \\} }\\mathbf{1}_{ \\{\\mid \\Delta_{i-1} \\widehat{X}  \\mid \\leq w  \\} } -\\mathbf{1}_{ \\{\\mid \\Delta_i  X  \\mid \\leq w  \\} }\\mathbf{1}_{ \\{\\mid \\Delta_{i-1}  X  \\mid \\leq w  \\} }|,\n\\end{eqnarray*} \nso that by standard inequalities we can deduce $n^{1\/2} \\big| \\widetilde{\\Xi} - \\breve{\\Xi} \\big| \\to^\\mathbb{P} 0$ if\n\\begin{eqnarray} \n\\mathbb{E} \\lambda|\\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid \\leq w  \\} } - \\mathbf{1}_{ \\{\\mid \\Delta_i X \\mid \\leq w  \\} }\\right|  \\leq n^{-\\beta}\n\\label{devIndicator}\n\\end{eqnarray}\nfor any $\\beta >0$. Let us thus show now (\\ref{devIndicator}). Introducing $\\breve{\\Delta}$ as the symmetric difference operator, we have\n\\begin{eqnarray*} \n  \\lambda|\\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid \\leq w  \\} } - \\mathbf{1}_{ \\{\\mid \\Delta_i X \\mid \\leq w  \\} }\\right|  &=&   \\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid \\leq w  \\} \\breve{\\Delta} \\{\\mid \\Delta_i  X \\mid \\leq w  \\}}, \\\\\n&\\leq&   \\ind{|\\Delta_iX -w| \\leq |\\psi_i(\\widehat{\\theta})|},\\\\\n&\\leq&  \\ind{|\\Delta_iX -w| \\leq C\/n}.\\\\\n\\end{eqnarray*} \nNow, letting $\\gamma \\in (\\bar{\\omega},1\/2)$ and $q >0$, since $\\{|\\Delta_iX - w| \\leq C\/n\\} \\cap \\{|\\Delta_iX | \\leq n^{-\\gamma}\\} = \\emptyset$ for $n$ large enough, we automatically have\n\\begin{eqnarray*} \n \\ind{|\\Delta_iX - w| \\leq C\/n} \\leq    \\ind{|\\Delta_iX | > n^{-\\gamma}} \\leq n^{\\gamma q}|\\Delta_i X|^q,\n \\end{eqnarray*} \nhence\n \\begin{eqnarray*} \n\\mathbb{E} \\lambda|\\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid \\leq w  \\} } - \\mathbf{1}_{ \\{\\mid \\Delta_i X \\mid \\leq w  \\} }\\right| &\\leq& n^{\\gamma q}\\mathbb{E}  |\\Delta_iX |^q\\\\\n&\\leq& Cn^{q(\\gamma-1\/2)},\n\\end{eqnarray*} \nand taking $q$ large enough we get (\\ref{devIndicator}).\\\\\n\n\\smallskip \n\nFinally, we prove that $I = o_\\mathbb{P} (1)$, $II = o_\\mathbb{P} (1)$ and $III = o_\\mathbb{P} (1)$. We start with $I$. First, it is straightforward to see that $I \\leq  n^{1\/2} \\sum_{i=2}^N  \\big| \\psi_i(\\widehat{\\theta}) \\big| \\big|\n \\psi_{i-1}(\\widehat{\\theta}) \\big|$. In addition, since $\\phi$ is $C^3$ in $\\theta$, and because $\\max_i \\| Q_{t_i} \\|$ is bounded, \n\n$$I \\leq C n^{3\/2}  \\| \\widehat{\\theta} - \\theta_0 \\|^2,$$\nand this is $o_\\mathbb{P} (1)$ by (\\ref{thetahat}). To prove that $II$ and $III$ are negligible, we can follow the proof of Theorem 2 (p. 46) in \\cite{li2016efficient}.\n\n\\subsection{Proof of Corollary \\ref{bipowerstudent}}\nThe proof amounts to showing that $\\widehat{AVAR}$ is consistent, but this is actually a corollary to Theorem \\ref{theoremG}.\n\n\\subsection{Proof of Theorem \\ref{covariance}}\nFollowing the discussion at the beginning of Appendix A.2 (p. 30) in \\cite{potiron2017estimation}, we can assume without loss of generality that the drift $b_t$ is null. Furthermore, following the proof in the jump case in Appendix A.6 (p. 40), it is clear that the following proof adapts straightforwardly to the jump case, and then we assume without loss of generality that $X_t$ is continuous in what follows. \n\n\\smallskip\nFirst, note that (\\ref{theorem}) is a straightforward consequence of (\\ref{proof201710301135}) together with Theorem 1 (p. 25) in \\cite{potiron2017estimation}. Consequently, we only need to show (\\ref{proof201710301135}). We now provide the proof of (\\ref{proof201710301135}), i.e. that $$\\alpha^{-1} \\widehat{\\Xi} = \\alpha^{-1} \\widetilde{\\Xi} + o_\\mathbb{P} (1).$$\nFirst, note that as a result of Remark 5 (p. 25) in \\cite{potiron2017estimation}, $n^{1\/2}$ and $\\alpha^{-1}$ are of the same order, and thus it is sufficient to show that \n$$n^{1\/2} \\widehat{\\Xi} = n^{1\/2} \\widetilde{\\Xi} + o_\\mathbb{P} (1).$$\nSecond, we have to reexpress the Hayashi-Yoshida estimator (\\ref{HY0}). To do so, we follow the beginning of Section 4.3 in \\cite{potiron2017estimation} and introduce some (common) definition in the Hayashi-Yoshida literature. For any positive integer $i$, we consider the \n$i$th sampling time of the first asset $t_{i}^{(1)}$. We define two related random times, $t_{i}^{-}$ \nand $t_{i}^{+}$, which correspond respectively to the closest sampling time of the second asset that is strictly smaller than \n$t_{i}^{(1)}$, and the closest sampling time of the second asset that is (not necessarily strictly) bigger than $t_{i}^{(1)}$. Formally, they are defined as\n\\begin{eqnarray}\n\\label{tau-0s} t_{0}^{-} & = & 0, \\\\\n\\label{tau-0} t_{i}^{-} & = & \\max \\{ t_{j}^{(2)} : t_{j}^{(2)} < t_{i}^{(1)} \\} \\text{ for } i \\geq 1, \\\\\n\\label{tau+0} t_{i}^{+} & = & \\min \\{ t_{j}^{(2)} : t_{j}^{(2)} \\geq t_{i}^{(1)} \\}.\n\\end{eqnarray}\nRearranging the terms in (\\ref{HY0}) gives us\n\\begin{eqnarray}\n\\label{HY01}  \\widetilde{\\Xi} = \\sum_{t_{i}^{+} < t} \\Delta_i X^{(1)} \n(X_{t_{i}^{+}}^{(2)} - X_{t_{i-1}^{-}}^{(2)}) + o_\\mathbb{P}(n^{-1\/2}). \n\\end{eqnarray}\nWe deduce that \n\\begin{eqnarray*}\nn^{1\/2} \\widehat{\\Xi} & = & n^{1\/2} \\sum_{t_{i}^{+} < t} \\Delta_i \\widehat{X}^{(1)} \n(\\widehat{X}_{t_{i}^{+}}^{(2)} - \\widehat{X}_{t_{i-1}^{-}}^{(2)}) + o_\\mathbb{P}(1), \\\\\n& = & n^{1\/2} \\widetilde{\\Xi} + n^{1\/2} \\sum_{t_{i}^{+} < t} \\psi_i^{(1)} (\\widehat{\\theta}^{(1)}) \\big((\\phi(Q_{t_i^+}^{(2)}, \\widehat{\\theta}^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\widehat{\\theta}^{(2)})) - (\\phi(Q_{t_i^+}^{(2)}, \\theta_0^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\theta_0^{(2)})) \\big)  \\\\ & & + n^{1\/2} \\sum_{t_{i}^{+} < t} \\Delta_i X^{(1)} \\big((\\phi(Q_{t_i^+}^{(2)}, \\widehat{\\theta}^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\widehat{\\theta}^{(2)})) - (\\phi(Q_{t_i^+}^{(2)}, \\theta_0^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\theta_0^{(2)})) \\big) \\\\\n & & + n^{1\/2} \\sum_{t_{i}^{+} < t}  \\psi_i^{(1)} (\\widehat{\\theta}^{(1)}) (X_{t_{i}^{+}}^{(2)} - X_{t_{i-1}^{-}}^{(2)}) + o_\\mathbb{P} (1), \\\\\n& := & n^{1\/2} \\widetilde{\\Xi} + I + II + III + o_\\mathbb{P} (1).\n\\end{eqnarray*}\nOur aim is to show that $I = o_\\mathbb{P} (1)$, $II = o_\\mathbb{P} (1)$ and $III = o_\\mathbb{P} (1)$. We start with $I$. On the account that $\\phi \\in C^3$ in $\\theta$, and because $\\max_i \\|Q_{t_i} \\|$ is bounded, \n$$I \\leq C n^{1\/2} N \\| \\widehat{\\theta} - \\theta_0 \\|^2,$$\nand this is $o_\\mathbb{P} (1)$ by (\\ref{thetahat}), Remark 5 (p. 25) and Lemma 8 (p. 31) in \\cite{potiron2017estimation}.\n\n\\smallskip\nAs for $II$, the proof of Theorem 2 (p. 46) in \\cite{li2016efficient} in the volatility case goes through with one minor change. To prove (69) in the cited paper, we need to bound $(\\Delta g(Z_{t_k}; \\theta_1) - \\Delta g(Z_{t_k}; \\theta_2))^2$ (in the notation of the cited paper) prior to using Burkh\\\"{o}lder-Davis-Gundy inequality since $$\\big((\\phi(Q_{t_i^+}^{(2)}, \\widehat{\\theta}^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\widehat{\\theta}^{(2)})) - (\\phi(Q_{t_i^+}^{(2)}, \\theta_0^{(2)}) - \\phi(Q_{t_{i-1}^-}^{(2)}, \\theta_0^{(2)})) \\big)$$\nis not $\\mathcal{F}_{t_i}$-measurable.\n\n\\smallskip\nWe turn out to $III$, which is slightly more complicated to deal with. We decompose the increment of the second asset in three parts and rewrite $III$ as\n$$III = n^{1\/2} \\Big( \\sum_{t_{i}^{+} < t}  \\psi_i^{(1)} (\\widehat{\\theta}^{(1)}) (X_{t_{i}^{+}}^{(2)} - X_{t_{i}^{(1)}}^{(2)}) + \\sum_{t_{i}^{+} < t}  \\psi_i^{(1)} (\\widehat{\\theta}^{(1)}) (X_{t_{i}^{(1)}}^{(2)} - X_{t_{i-1}^{(1)}}^{(2)}) + \\sum_{t_{i}^{+} < t} \\psi_i^{(1)} (\\widehat{\\theta}^{(1)}) (X_{t_{i-1}^{(1)}}^{(2)} - X_{t_{i-1}^{-}}^{(2)}) \\Big).$$\nAs a result of (\\ref{thetahat}), along with Remark 5 (p. 25) and Lemma 8 (p. 31) in \\cite{potiron2017estimation}, it suffices to show that\n\\begin{eqnarray}\nn^{1\/2} & \\underset{\\|\\theta - \\theta_0^{(1)} \\| < K\/n}{\\sup} & \\Big( \\sum_{t_{i}^{+} < t}  \\psi_i^{(1)} (\\theta) (X_{t_{i}^{+}}^{(2)} - X_{t_{i}^{(1)}}^{(2)}) + \\sum_{t_{i}^{+} < t}  \\psi_i^{(1)} (\\theta) (X_{t_{i}^{(1)}}^{(2)} - X_{t_{i-1}^{(1)}}^{(2)}) + \\sum_{t_{i}^{+} < t} \\psi_i^{(1)} (\\theta) (X_{t_{i-1}^{(1)}}^{(2)} - X_{t_{i-1}^{-}}^{(2)}) \\Big) \\nonumber \\\\ \\label{proof201710311123}\n & = o_\\mathbb{P}(1). &\n\\end{eqnarray}\nThe problem with the first term in (\\ref{proof201710311123}) is that it is not adapted to a simple filtration. To circumvent this difficulty, we need to rearrange the terms of the sum again. We follow \\cite{potiron2017estimation} (Section 4.3) and we define the new sampling \ntimes $t_{i}^{1C}$ as\n$t_{0}^{1C} := t_{0}^{(1)}$, \nand recursively for $i$ any nonnegative integer\n\\begin{eqnarray}\n\\label{algo1C} t_{i+1}^{1C} := \\min \\big\\{ t_{u}^{(1)} : \\text{ there exists } j \\in \\mathbb{N} \\text{ such that } \nt_{i}^{1C} \\leq t_{j}^{(2)} < t_{u}^{(1)} \\big\\} .\n\\end{eqnarray}\nIn analogy with (\\ref{tau-0s}), (\\ref{tau-0}) and (\\ref{tau+0}), we introduce the following times\n\\begin{eqnarray}\n\\label{tau1C-0s} t_{0}^{1C,-} & := & 0, \\\\\n\\label{tau1C-0} t_{i-1}^{1C,-} & := & \\max \\{ t_{j}^{(2)} : t_{j}^{(2)} < t_{i-1}^{1C} \\} \\text{ for } i \\geq 2\\\\\n\\label{tau1C+0} t_{i-1}^{1C,+} & := & \\min \\{ t_{j}^{(2)} : t_{j}^{(2)} \\geq t_{i-1}^{1C} \\} \\text{ for } i \\geq 1.\n\\end{eqnarray}\nIn light of this definition, we can rewrite the first term (up to $o_\\mathbb{P} (1)$ coming from the edge effect) in (\\ref{proof201710311123}) as\n\\begin{eqnarray}\n\\nonumber n^{1\/2}  \\underset{\\| \\theta - \\theta_0^{(1)} \\| < K\/n}{\\sup}  \\sum_{t_{i}^{1C,+} < t}  \\underbrace{\\big((\\phi(Q_{t_i^{1C}}^{(1)}, \\theta) - \\phi(Q_{t_{i-1}^{1C}}^{(1)}, \\theta)) - (\\phi(Q_{t_i^{1C}}^{(1)}, \\theta_0^{(1)}) - \\phi(Q_{t_{i-1}^{1C}}^{(1)}, \\theta_0^{(1)})) \\big) (X_{t_{i}^{1C,+}}^{(2)} - X_{t_{i}^{1C}}^{(2)})}_{M_{i}(\\theta)},\n\\end{eqnarray}\nwhere $M_{i}(\\theta)$ is $\\mathcal{F}_{t_{i+1}^{1C}}$-measurable. We obviously have that \n\\begin{eqnarray*}\n\\mathbb{E}_{t_i^{1C}} \\big[ M_{i}(\\theta) \\big] & = & \\big((\\phi(Q_{t_i^{1C}}^{(1)}, \\theta) - \\phi(Q_{t_{i-1}^{1C}}^{(1)}, \\theta)) - (\\phi(Q_{t_i^{1C}}^{(1)}, \\theta_0^{(1)}) - \\phi(Q_{t_{i-1}^{1C}}^{(1)}, \\theta_0^{(1)})) \\big) \\mathbb{E}_{t_i^{1C}} \\big[ (X_{t_{i}^{1C,+}}^{(2)} - X_{t_{i}^{1C}}^{(2)}) \\big]\\\\\n& = & 0,\n\\end{eqnarray*}\nand thus $\\sum_{t_{i}^{1C,+} < T} M_{i}(\\theta)$ is a martingale. Using Sobolev's inequality, conditional Cauchy-Schwarz inequality along with (\\ref{thetahat}), since $\\phi \\in C^3$ in $\\theta$, and because $\\max \\mid Q_{t_i} \\mid$ is bounded, and Burkh\\\"{o}lder-Davis-Gundy inequality, we can deduce that $\\sum_{t_{i}^{1C,+} < T} \\mathbb{E}_{t_i^{1C}} \\big[M_{i}(\\theta)^2 \\big] \\rightarrow^\\mathbb{P} 0$ uniformly in $\\| \\theta - \\theta_0^{(1)} \\| < K\/n$, which implies that $\\sum_{t_{i}^{1C,+} < T} M_{i}(\\theta) = o_\\mathbb{P}(1)$ by Lemma 2.2.11 in \\cite{jacod2011discretization}. This in turn implies that the first term in (\\ref{proof201710311123}) is $o_\\mathbb{P}(1)$.\n\n\\smallskip\nThe second term in (\\ref{proof201710311123}) can be shown $o_\\mathbb{P}(1)$ following exactly the proof of Theorem 2 (p. 46) in \\cite{li2016efficient}. Regarding the third term, we can show that it is a martingale since $\\mathbb{E} [ \\psi_i^{(1)} (\\theta) \\mid X^{(2)}] = 0$. We can then show that the bracket of this martingale goes to $0$ in probability uniformly in $\\theta$ using that $\\phi $ is $ C^3$ its first argument, that $\\max_i \\| Q_{t_i} \\|$ is bounded, along with the scaling property of the Brownian motion and local methods as in the proof of Lemma 10 (p. 32) in \\cite{potiron2017estimation}, and finally conclude with Sobolev's inequality.\n\n\\subsection{Proof of Corollary \\ref{covariancestudent}}\nAlthough the quantities introduced are quite involved to formally define $\\widetilde{AB}$ and $\\widetilde{AVAR}$, the proof works the same way as for the proof of (\\ref{volatilitystudent2}) in Corollary \\ref{volatilitystudent}, along with techniques and estimates from \\cite{potiron2017estimation}.\n\\subsection{Proof of Theorem \\ref{theoremG}}\n\nAll along this proof, we use the notations $k_n$, $\\Delta_n$, $w_n$ in lieu of respectively $k$, $\\Delta$ and $w$ in order to emphasize their dependence on $n$. We have to show that $n^{1\/2}\\lambda(\\widehat{\\Xi} - \\widetilde{\\Xi}\\right) = o_\\mathbb{P}(1)$ where \n\\begin{eqnarray}  \n\\widehat{\\Xi} = \\Delta_n \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{g(\\widehat{c}_{i}) - \\inv{2k_n}\\sum_{j,k,l,m=1}^d \\partial_{jk,lm}^2g(\\widehat{c}_{i})\\lambda(\\widehat{c}_{i}^{jl}\\widehat{c}_{i}^{km}+\\widehat{c}_{i}^{jm}\\widehat{c}_{i}^{kl}\\right)\\right\\},\n\\label{eqGEstimatorRobust}\n\\end{eqnarray}  \nwith \n\\begin{eqnarray}\n\\widehat{c}_{i}^{lm}= \\inv{k_n\\Delta_n}\\sum_{j=0}^{k_n-1}\\Delta_{i+j} \\widehat{X}^l\\Delta_{i+j} \\widehat{X}^m \\mathbf{1}_{\\{\\|\\Delta_{i+j} \\widehat{X}\\| \\leq w_n\\}}. \n\\label{defcHat}\n\\end{eqnarray}\nWe start by showing that we can assume without loss of generality that $X$ is continuous, i.e. $J=0$. To do so, consider $\\widehat{\\Xi}'$ and $\\widehat{c}_i'$ the estimators applied to the continuous part $X'$ in lieu of $X$. Without loss of generality, we assume in what follows that $X$, $\\widehat{\\theta}$ and $\\theta_0$ are $1$-dimensional quantities. The multi-dimensional case can be derived by a straightforward adaptation.  \n\n\\begin{lemma*}\\label{removeJumpG}\nWe have \n$$ n^{1\/2}\\lambda(\\widehat{\\Xi} - \\widehat{\\Xi}^{'}\\right) \\to^\\mathbb{P} 0.$$\n\\end{lemma*}\n\n\\begin{proof}\nRecall that we have the key decomposition\n\\begin{eqnarray} \n\\Delta_i \\widehat{X} = \\Delta_iX(\\widehat{\\theta}) = \\underbrace{\\Delta_i\\breve{B} +  \\psi_i(\\widehat{\\theta})}_{\\Delta_iB^{'}} + \\Delta_i X^c + \\Delta_i J,\n\\label{keyDecomposition}\n\\end{eqnarray} \nwhere $\\breve{B}_t = \\int_0^t b_s' ds$. Now, we apply exactly the same line of reasoning as for the proof of Theorem \\ref{bipower}. We replace again $\\Delta_i B$ by $\\Delta_i B^{'}$ and ${\\cal F}_i$ by ${\\cal G}_i = {\\cal F}_i \\vee \\sigma\\{Q_{t_i}, 0  \\leq i \\leq n\\}$ in the proof of Lemma 13.2.6 (p. 384) in \\cite{jacod2011discretization}, all the conditional estimates are preserved and thus the lemma remains valid in the presence of the term $\\psi_i(\\widehat{\\theta})$. Applied with $F(x) = x^2$, $k=1$, $p' = s'  =2$, $s=1$ and $\\epsilon = 0$, this directly yields that for all $q \\geq 1$ and for some deterministic sequence $a_n$ shrinking to 0, we have that \n\\begin{eqnarray} \n\\mathbb{E}\\lambda||\\Delta_i \\widehat{X}|^2 \\ind{|\\Delta_i\\widehat{X}| \\leq w_n} - |\\Delta_i \\widehat{X}^{'}|^2 \\ind{|\\Delta_i\\widehat{X}^{'}| \\leq w_n} \\right|^q \\leq  Ca_n \\Delta_n^{(2q-r)\\bar{\\omega} + 1},\n\\label{removeJump1}\n\\end{eqnarray}\nwhere $\\Delta_i \\widehat{X}^{'} := \\Delta_i \\widehat{X} - \\Delta_iJ $. As a by-product, we also deduce\n\\begin{eqnarray} \n\\mathbb{E}\\lambda| \\widehat{c}_i - \\widehat{c}_i'\\right|^q \\leq C a_n \\Delta_n^{(2q-r)\\bar{\\omega} + 1 - q}.\n\\label{removeJump2}\n\\end{eqnarray} \n Moreover, replacing again ${\\cal F}_i$ by ${\\cal G}_i$ and $\\Delta_i B$ by $\\Delta_i B'$ in the calculation we can also see that the second inequality of (4.10) in \\cite{jacod2013quarticity} remains true in the presence of $\\psi_i(\\widehat{\\theta})$, that is, introducing $\\alpha_i = |\\Delta_i \\widehat{X}'|^2 - \\sigma_{t_i}^2 \\Delta_n$, we have \n\\begin{eqnarray} \n\\lambda|\\mathbb{E}[\\alpha_i | {\\cal G}_i]\\right| \\leq C \\Delta_n^{3\/2}.\n\\label{removeJump3}\n\\end{eqnarray} \nNow, remark that by the proof of Lemma 4.4 (p. 1479, case $v=1$) in \\cite{jacod2013quarticity},  $ n^{1\/2}\\big(\\widehat{\\Xi} - \\widehat{\\Xi}^{'}\\big) \\to^\\mathbb{P} 0$ is an immediate consequence of our estimates (\\ref{removeJump2}) and (\\ref{removeJump3}), along with the polynomial condition (\\ref{momentG}) on $g$.\n\\end{proof}\n\nFrom now on, by virtue of Lemma \\ref{removeJumpG}, we will always assume that $J=0$, i.e. $X = X^{'}$. We thus write indifferently $\\Xi$ for $\\Xi^{'}$, $\\widehat{c}_i$ for $\\widehat{c}_i'$ and so on. We now want to show that in the definition (\\ref{eqGEstimatorRobust}), we can substitute $\\widehat{c}_{i}$ by $\\overline{c}_{i}$, where \n\\begin{eqnarray}\n\\overline{c}_{i}^{lm}= \\inv{k_n\\Delta_n}\\sum_{j=0}^{k_n-1}\\Delta_{i+j} \\widehat{X}^l\\Delta_{i+j} \\widehat{X}^m \\mathbf{1}_{\\{\\|\\Delta_{i+j} X\\| \\leq w_n\\}},\n\\label{defcBar}\n\\end{eqnarray}\nthat is when the indicator function is applied to $X$ itself instead of $\\widehat{X}$. We first state a technical lemma.\n\n\\begin{lemma*}\\label{lemmaBoundc}\nWe have, for any $i \\in \\{1,\\cdots,n\\}$, any $j \\in \\{1,\\cdots,3\\}$, and any $q \\geq 1$, \n\\begin{eqnarray*} \n  \\mathbb{E}|\\partial^j g(\\widehat{c}_i)|^q  \\leq C \\textnormal{ and } \\mathbb{E}|\\partial^j g(\\overline{c}_i)|^q  \\leq C.\n\\end{eqnarray*}\n\n\\end{lemma*}\n\n\\begin{proof}\nIn view of (\\ref{momentG}), it is sufficient to prove that for any $q \\geq 1$,\n\\begin{eqnarray*} \n\\mathbb{E}|  \\widehat{c}_i |^q \\leq C\\textnormal{ and }\\mathbb{E}|\\overline{c}_i |^q \\leq C.\n\\end{eqnarray*} \nMoreover, since $|  \\widehat{c}_i |^q \\leq C( |\\widehat{c}_i  -  \\overline{c}_i|^q + |\\overline{c}_i  -  \\widetilde{c}_i|^q +|\\widetilde{c}_i |^q  )$, and as $\\mathbb{E} |\\widetilde{c}_i|^q \\leq C$ as an easy consequence of (4.11) in \\cite{jacod2013quarticity} (p. 1476) and the boundedness of $c$ in Assumption $\\mathbf{(H)}$, it suffices to show the $\\mathbb{L}_q$ boundedness of \n \\begin{eqnarray}\n \\label{proof201712001924}\n \\widehat{c}_i  -  \\overline{c}_i = \\inv{k_n\\Delta_n}\\sum_{j=0}^{k_n-1}\\Delta_{i+j} \\widehat{X}^2\\lambda(\\mathbf{1}_{\\{|\\Delta_{i+j} \\widehat{X}| \\leq w_n\\}} - \\mathbf{1}_{\\{|\\Delta_{i+j}  X| \\leq w_n\\}}\\right)\n \\end{eqnarray}\nand \n\\begin{eqnarray}\n  \\overline{c}_i-\\widetilde{c}_i   &=&  \\frac{2}{k_n\\Delta_n}\\sum_{j=0}^{k_n-1}\\Delta_{i+j}\\widehat{X}\\psi_{i+j}(\\widehat{\\theta})\\mathbf{1}_{\\{|\\Delta_{i+j}  X| \\leq w_n\\}} + \\inv{k_n\\Delta_n}\\sum_{j=0}^{k_n-1} \\psi_{i+j}(\\widehat{\\theta})^2, \\label{proof20171201925}\\\\\n&:=& I + II. \\nonumber\n\\end{eqnarray}\nWe first show the $\\mathbb{L}_q$ boundedness of (\\ref{proof201712001924}). First recall that in (\\ref{devIndicator}) we proved that\n\\begin{eqnarray*}  \n\\mathbb{E} \\lambda|\\mathbf{1}_{ \\{\\mid \\Delta_i \\widehat{X} \\mid \\leq w_n  \\} } - \\mathbf{1}_{ \\{\\mid \\Delta_i X \\mid \\leq w_n  \\} }\\right|  \\leq n^{-\\beta}\n\\end{eqnarray*}\nfor any $\\beta >0$.\nThus, by Cauchy-Schwarz inequality and Jensen's inequality we easily get that $\\mathbb{E} |\\widehat{c}_i  -  \\overline{c}_i|^q \\leq C$ considering $\\beta$ large enough. \n\nWe prove now the $\\mathbb{L}_q$ boundedness of (\\ref{proof20171201925}). By Jensen's inequality applied to $$|k_n^{-1}\\sum_{j=0}^{k_n-1}\\Delta_{i+j}\\widehat{X}\\psi_{i+j}(\\widehat{\\theta})|^q,$$ we have \n\\begin{eqnarray*} \n\\mathbb{E} |I|^q &\\leq& \\frac{Cn^{q}}{k_n} \\sum_{j=0}^{k_n-1}\\mathbb{E}|\\Delta_{i+j}\\widehat{X}|^q\\underbrace{|\\psi_{i+j}(\\widehat{\\theta})|^q}_{C\/n^q}\\\\\n&\\leq& C n^{-q\/2}.\n\\end{eqnarray*} \nFor $II$ we have \n\\begin{eqnarray*} \n\\mathbb{E} |II|^q &\\leq& \\frac{Cn^{q}}{k_n}\\mathbb{E}\\sum_{j=0}^{k_n-1} |\\psi_{i+j}(\\widehat{\\theta})|^{2q}\\\\\n&\\leq& C n^{-q},\n\\end{eqnarray*} \nand thus this yields the $\\mathbb{L}_q$ boundedness of $\\overline{c}_i-\\widetilde{c}_i$, which concludes the proof. \n\\end{proof}\n\n\\begin{lemma*}\\label{lemmaReplaceIndicator}\nLet $\\overline{\\Xi}$ be defined as $\\widehat{\\Xi}$ where $\\widehat{c}_{i}$ is replaced by $\\overline{c}_{i}$. Then \n$$ n^{1\/2}\\lambda(\\widehat{\\Xi} - \\overline{\\Xi}\\right) \\to^\\mathbb{P} 0.$$\n\\end{lemma*}\n\n\\begin{proof}\nWe have \n\\begin{eqnarray} \n\\label{proof201712011018}n^{1\/2}\\lambda(\\widehat{\\Xi} - \\overline{\\Xi}\\right) &=& n^{1\/2}\\Delta_n \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{g(\\widehat{c}_{i}) - g(\\overline{c}_{i}) \\right\\} \\\\\n\\nonumber &+& \\frac{n^{1\/2}\\Delta_n}{2k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\lambda\\{ h(\\overline{c}_{i})- h(\\widehat{c}_{i})\\right\\},\n\\end{eqnarray}\nwith $h(x) =   2\\partial^2g(x)x^2$, so that proving our claim boils down to showing that both terms in the right-hand side of (\\ref{proof201712011018}) are negligible. For the first one, we have  \n\\begin{eqnarray*} \n\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda|g(\\widehat{c}_{i}) - g(\\overline{c}_{i})  \\right| &\\leq&   \\inv{k_n\\Delta_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\sum_{j=0}^{k_n-1} \\lambda|\\partial g(a_{i,j})\\right|   \\Delta_{i+j} \\widehat{X}^2 \\lambda|\\mathbf{1}_{\\{\\lambda|\\Delta_{i+j} \\widehat{X}\\right| \\leq w_n\\}} - \\mathbf{1}_{\\{\\lambda|\\Delta_{i+j} X\\right| \\leq w_n\\}}\\right|  \n\\end{eqnarray*} \nfor some $a_{i,j}$ by the mean value theorem. Now, by a straightforward adaptation of Lemma \\ref{lemmaBoundc} we easily get $\\mathbb{E}|\\partial g(a_{i,j})|^q \\leq C$, and thus by   Cauchy-Schwarz inequality we will have \n$$n^{1\/2}\\Delta_n \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{g(\\widehat{c}_{i}) - g(\\overline{c}_{i}) \\right\\} \\to^\\mathbb{P} 0$$\nif we can prove that     \n$$ \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\sum_{j=0}^{k_n-1} \\lambda(\\mathbb{E}\\lambda[\\Delta_{i+j} \\widehat{X}^{4} \\lambda|\\mathbf{1}_{\\{\\lambda|\\Delta_{i+j} \\widehat{X}\\right| \\leq w_n\\}} - \\mathbf{1}_{\\{|\\Delta_{i+j} X| \\leq w_n\\}}\\right|\\right]\\right)^{1\/2} = o(k_nn^{-1\/2}),$$\ni.e. that \n$$ \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda(\\mathbb{E}\\lambda[\\Delta_{i } \\widehat{X}^{4} \\lambda|\\mathbf{1}_{\\{\\lambda|\\Delta_{i } \\widehat{X}\\right| \\leq w_n\\}} - \\mathbf{1}_{\\{|\\Delta_{i} X| \\leq w_n\\}}\\right|\\right]\\right)^{1\/2} = o( n^{-1\/2}).$$\nRecalling $\\Delta_i\\widehat{X}^{4} \\leq C(|\\Delta_i X|^{4} +   |\\psi_i(\\widehat{\\theta}) |^{4} )$, we have that \n$$ \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}  \\lambda(\\mathbb{E}\\lambda[\\Delta_{i }  X^{4} \\lambda|\\mathbf{1}_{\\{\\lambda|\\Delta_{i } \\widehat{X}\\right| \\leq w_n\\}} - \\mathbf{1}_{\\{|\\Delta_{i} X| \\leq w_n\\}}\\right|\\right]\\right)^{1\/2} = O (n^{   -\\beta\/4}) = o( n^{-1\/2})$$ since $\\beta$ can be taken arbitrary big, using again Cauchy-Schwarz inequality along with the fact that $\\mathbb{E} |\\Delta_{i } X|^q\\leq C n^{-q\/2}$, and (\\ref{devIndicator}).\nFinally, it is immediate to prove\n$$ \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda(\\mathbb{E}\\lambda[|\\psi_i(\\widehat{\\theta})|^{4} \\lambda|\\mathbf{1}_{\\{|\\Delta_{i } \\widehat{X}| \\leq w_n\\}} - \\mathbf{1}_{\\{|\\Delta_{i } X| \\leq w_n\\}}\\right|\\right]\\right)^{1\/2} = o\\lambda(n^{-1\/2}\\right),$$\ngiven that $|\\psi_i(\\widehat{\\theta})|^{4} \\leq K\/n^4$. The second term on the right-hand side of (\\ref{proof201712011018}) is proved in the same way.\n\\end{proof}\n In the $1$-dimensional setting, we now introduce the following notation for $\\theta \\in \\Theta$:\n$$ c_i(\\theta) = \\inv{k_n\\Delta_n}\\sum_{j=0}^{k_n-1}\\Delta_{i+j} X^2(\\theta) 1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}},$$\nwhere we recall that for any $i \\in \\{1,\\cdots,n\\}$, $\\Delta_iX(\\theta) = \\Delta_iX + \\psi_i(\\theta)$. Note that $\\overline{c}_{i}  = c_i(\\widehat{\\theta})$, and $\\widetilde{c}_{i}  =c_i( \\theta_0 )$. We define \n$$E_n := n^{1\/2}\\Delta_n\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{g(\\overline{c}_{i}) - g(\\widetilde{c}_{i}) \\right\\}.$$\nBy the mean value theorem we have for some $\\overline{\\theta} \\in [\\theta_0,\\widehat{\\theta}]$,  \n\\begin{eqnarray*} \n   E_n &=& \\frac{2n^{1\/2}}{k_n }(\\widehat{\\theta} - \\theta_0)\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial g(\\widetilde{c}_{i})\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X \\partial_\\theta \\psi_{i+j}(\\theta_0)1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}}\\\\\n&+& \\frac{n^{1\/2}}{k_n}(\\widehat{\\theta} - \\theta_0)^2\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial g(c_i(\\overline{\\theta}))\\sum_{j=0}^{k_n-1}\\Delta_{i+j} X(\\overline{\\theta}) \\partial_\\theta^2 \\psi_{i+j}(\\overline{\\theta})1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}} \\\\\n&+& \\frac{n^{1\/2}}{k_n}(\\widehat{\\theta} - \\theta_0)^2\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial g(c_i(\\overline{\\theta}))\\sum_{j=0}^{k_n-1}  \\partial_\\theta \\psi_{i+j}(\\overline{\\theta})^2\\\\\n&+&\\frac{2n^{1\/2}}{k_n^2\\Delta_n}(\\widehat{\\theta} - \\theta_0)^2 \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial^2g(c_i(\\overline{\\theta}))\\lambda\\{\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X(\\overline{\\theta}) \\partial_\\theta \\psi_{i+j}(\\overline{\\theta})1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}}\\right\\}^2,\\\\\n&:=&I + II + III + IV.\n\\end{eqnarray*} \nWe now show that each term is $o_\\mathbb{P}(1)$.\n\n\\begin{lemma*}\\label{lemmaTermI}\nWe have \n$$I = \\frac{2n^{1\/2}}{k_n }(\\widehat{\\theta} - \\theta_0)\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial g(\\widetilde{c}_{i})\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X \\partial_\\theta \\psi_{i+j}(\\theta_0)1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}} \\to^\\mathbb{P} 0.$$\n\\end{lemma*}\n\n\\begin{proof}\nSince Assumption \\textbf{(H)} yields $\\frac{2n^{1\/2}}{k_n }(\\widehat{\\theta} - \\theta_0) = O_\\mathbb{P}(k_n^{-1}n^{-1\/2})$, it suffices to prove that \n\\begin{eqnarray} \n\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial g(\\widetilde{c}_{i})\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X \\partial_\\theta \\psi_{i+j}(\\theta_0)1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}} = o_\\mathbb{P}(k_n n^{1\/2}). \n\\label{convTermDeriv}\n\\end{eqnarray} \nRecalling the decomposition $\\Delta_{i+j}X = \\Delta_{i+j}B +\\Delta_{i+j}X^c$, \nwe first show that the above term is negligible when $\\Delta_{i+j}X$ is replaced by $\\Delta_{i+j}X^c$. In that case, by virtue of the domination $1_{\\{|\\Delta_{i+j} X | \\geq w_n\\}} \\leq w_n^{-1}|\\Delta_{i+j} X|$, Burkh\\\"{o}lder-Davis-Gundy inequality, H\\\"{o}lder's inequality, along with the fact that $|\\partial g(\\widetilde{c}_{i})|$ is $\\mathbb{L}_q$ bounded by Lemma \\ref{lemmaBoundc}, the indicator function can be removed without loss of generality. Thus, introducing \n$$A_n = \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial g(\\widetilde{c}_{i})\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X^c \\partial_\\theta \\psi_{i+j}(\\theta_0), $$\nand\n$$B_n = \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial g(c_{t_i})\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X^c \\partial_\\theta \\psi_{i+j}(\\theta_0), $$\nwe show that $A_n - B_n = o_\\mathbb{P}(k_n n^{1\/2})$ and $B_n = o_\\mathbb{P}(k_n n^{1\/2})$ separately. We have for some $\\xi_i \\in [\\widetilde{c}_i,c_{t_i}]$,\n\\begin{eqnarray*} |A_n - B_n| &\\leq&   \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\lambda|\\partial^2 g(\\xi_i)\\right| \\lambda| \\widetilde{c}_{i}- c_{t_i}\\right|\\sum_{j=0}^{k_n-1} |\\Delta_{i+j} X^c| |\\partial_\\theta \\psi_{i+j}(\\theta_0)|.\n\\end{eqnarray*} \nMoreover, by (4.11) in \\cite{jacod2013quarticity} (p. 1476), we have the estimate\n\\begin{eqnarray} \n\\mathbb{E}\\lambda[\\lambda|\\widetilde{c}_i - c_{t_i} \\right|^2\\right] \\leq C\\lambda(k_n^{-1} + k_n\\Delta_n\\right).\n\\label{eqDevVol}\n\\end{eqnarray} \nThus, by a straightforward application of H\\\"{o}lder's inequality, the fact that $\\partial^2 g(\\xi_i)$ is $\\mathbb{L}_q$ bounded by Lemma \\ref{lemmaBoundc}, and that for any $q\\geq1$:\n\\begin{eqnarray*} \n\\mathbb{E} \\lambda[|\\Delta_{i+j} X^c|^q |\\partial_\\theta \\psi_{i+j}(\\theta_0)|^q\\right] &\\leq&   C \\mathbb{E}[|\\Delta_{i+j} X^c|^q]\\\\\n&\\leq& C n^{-q\/2},\n\\end{eqnarray*} \nwe deduce that \n\\begin{eqnarray*} \n\\mathbb{E}|A_n - B_n| \\leq Ck_nn^{1\/2}\\lambda(k_n^{-1} + k_n\\Delta_n\\right)^{1\/2} = o_\\mathbb{P}(k_nn^{1\/2}).\n\\end{eqnarray*} \nAs for $B_n$, we note that it can be expressed as a sum of martingale increments with respect to the filtration ${\\cal H}_t = {\\cal F}_t \\vee \\sigma\\{Q_{t_i}, i =0,\\cdots,n\\}$, and we have $B_n = \\sum_{i=1}^{[T\/\\Delta_n]} \\chi_i$ with \n$$\\chi_i =  \\sum_{l= (i-k_n+1) \\wedge 1}^i \\partial g(\\sigma_{t_l}^2) \\partial_\\theta\\psi_{i}(\\theta_0) \\Delta_{i} X^c.$$ \nThus, by property (2.2.35) p. 56 in \\cite{jacod2011discretization}, proving that $B_n = o_\\mathbb{P}(k_nn^{1\/2})$ boils down to showing that \n\\begin{eqnarray} \n\\widetilde{B}_n := n^{-1 }k_n^{-2}\\sum_{i=1}^{[T\/\\Delta_n] } \\mathbb{E}\\chi_i^2 \\to  0.\n\\label{eqMartBtilde}\n\\end{eqnarray} \nNow, using the boundedness of $c$, we have \n\\begin{eqnarray*}\n\\mathbb{E} \\chi_i^2 &\\leq& Ck_n^2 \\mathbb{E} \\partial_\\theta\\psi_{i}(\\theta_0)^2 \\lambda(\\Delta_{i} X^c\\right)^2 \\\\\n&\\leq& C k_n^2 n^{-1}. \n\\end{eqnarray*} \nTherefore $\\widetilde{B}_n = O_\\mathbb{P}(n^{-1})$ which proves (\\ref{eqMartBtilde}) and thus (\\ref{convTermDeriv}) when replacing $\\Delta_{i+j}X$ by $\\Delta_{i+j}X^c$.\nFinally, the case where we consider the drift term $\\Delta_{i+j} B$ in lieu of $\\Delta_{i+j} X$ is easier.\n\\end{proof}\n\n\\begin{lemma*}\\label{lemmaTermII}\nWe have that $II = o_\\mathbb{P}(1)$, $III = o_\\mathbb{P}(1)$, $IV = o_\\mathbb{P}(1)$.\n\\end{lemma*}\n\n\\begin{proof}\nProving the first claim is equivalent to showing that \n\\begin{eqnarray*}\n\\widetilde{II} := \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial g(c_i(\\overline{\\theta}))\\sum_{j=0}^{k_n-1}\\Delta_{i+j} X(\\overline{\\theta}) \\partial_\\theta^2 \\psi_{i+j}(\\overline{\\theta})1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}}  = o_\\mathbb{P}(k_nn^{3\/2}).\n\\end{eqnarray*} \nNote, again, that by Assumption \\textbf{(H)} and the fact that $\\overline{\\theta}$ belongs to a compact set, we have $|\\partial_\\theta^2\\psi_{i+j}(\\overline{\\theta})| \\leq C$. Thus \n\\begin{eqnarray*} \n\\mathbb{E}\\lambda|\\widetilde{II}\\right| &\\leq& C\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\mathbb{E}\\lambda[|\\partial g(c_i(\\overline{\\theta}))|\\sum_{j=0}^{k_n-1}|\\Delta_{i+j} X(\\overline{\\theta})| \\right]\\\\\n&\\leq& C \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\sum_{j=0}^{k_n-1}\\lambda(\\mathbb{E}\\partial g(c_i(\\overline{\\theta}))^2\\right)^{1\/2}\\lambda(\\mathbb{E}\\Delta_{i+j} X(\\overline{\\theta})^2 \\right)^{1\/2}\\\\\n&\\leq& C k_n n^{1\/2} = o_\\mathbb{P}(k_n n^{3\/2}),\n\\end{eqnarray*} \nwhere we have used Lemma \\ref{lemmaBoundc}, and the fact that for any $q \\geq 1$,  \n\\begin{eqnarray} \n\\mathbb{E} |\\Delta_{i+j}X(\\overline{\\theta})|^q \\leq C\\lambda(\\mathbb{E} \\Delta_{i+j}X^q +\\mathbb{E}\\lambda[ \\underbrace{(\\overline{\\theta}-\\theta_0)^q}_{\\leq K\/n^q} \\underbrace{\\sup_{\\theta \\in \\Theta}|\\partial_\\theta \\psi_i(\\theta)|^q}_{\\leq K}\\right] \\right) \\leq C\\lambda(n^{-  q\/2} + n^{-q}\\right).\n\\label{devXtheta}\n\\end{eqnarray} \nFor the second claim, we have directly the estimate \n\\begin{eqnarray*} \n\\widetilde{III} &:=& \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial g(c_i(\\overline{\\theta}))\\sum_{j=0}^{k_n-1}  \\partial_\\theta \\psi_{i+j}(\\overline{\\theta})^2\\\\\n&\\leq& C k_n\\underbrace{\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}|\\partial g(c_i(\\overline{\\theta}))|}_{O_\\mathbb{P}(n)}\\\\\n&=& O_\\mathbb{P}(k_n n) = o_\\mathbb{P}(k_n n^{3\/2}),\n\\end{eqnarray*} \nso that $III=o_\\mathbb{P}(1)$. Finally we show that $IV = o_\\mathbb{P}(1)$, that is\n\\begin{eqnarray} \n\\widetilde{IV} := \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\partial^2g(c_i(\\overline{\\theta}))\\lambda\\{\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X(\\overline{\\theta}) \\partial_\\theta \\psi_{i+j}(\\overline{\\theta})1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}}\\right\\}^2 = o_\\mathbb{P}(k_n^2 n^{1\/2}).\n\\label{estIV}\n\\end{eqnarray} \nBy Cauchy-Schwarz inequality and the fact that $|\\partial_\\theta\\psi_{i+j}(\\overline{\\theta})|^2 \\leq C$ almost surely, we get the domination\n\\begin{eqnarray*} \n\\mathbb{E}|\\widetilde{IV}| &\\leq& Ck_n\\mathbb{E}\\lambda[\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}|\\partial^2g(c_i(\\overline{\\theta}))|\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X(\\overline{\\theta})^2\\right]\\\\\n&\\leq&Ck_n \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\sum_{j=0}^{k_n-1} \\underbrace{\\lambda(\\mathbb{E}\\partial^2g(c_i(\\overline{\\theta}))^{2} \\right)^{1\/2}}_{\\leq C} \\underbrace{\\lambda(\\mathbb{E}|\\Delta_{i+j} X(\\overline{\\theta})|^{4}\\right)^{1\/2}}_{O(n^{-1})}\\\\\n&\\leq& Ck_n^2 = o(k_n^2n^{1\/2}), \n\\end{eqnarray*} \nwhere we have used (\\ref{devXtheta}) with $q = 4$, and we are done. \n\\end{proof}\nSimilarly we have by the mean value theorem that\n$$\\frac{n^{1\/2}\\Delta_n}{k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{h(\\overline{c}_{i}) - h(\\widetilde{c}_{i}) \\right\\}$$ \nis equal to\n$$\\frac{2n^{1\/2}}{k_n^2 }(\\widehat{\\theta} - \\theta_0)\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\partial h( c_{i}(\\overline{\\theta}))\\sum_{j=0}^{k_n-1} \\Delta_{i+j} X(\\overline{\\theta}) \\partial_\\theta \\psi_{i+j}(\\overline{\\theta})1_{\\{|\\Delta_{i+j} X | \\leq w_n\\}}.$$\n\n\\begin{lemma*}\\label{lemmaH}\nWe have \n\\begin{eqnarray*} \n  \\frac{n^{1\/2}\\Delta_n}{k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{h(\\overline{c}_{i}) - h(\\widetilde{c}_{i}) \\right\\} \\to^\\mathbb{P} 0.\n\\end{eqnarray*} \n\\end{lemma*}\n\\begin{proof}\nBy Assumption \\textbf{(H)} we have \n\\begin{eqnarray*} \n  \\mathbb{E}\\lambda|\\frac{n^{1\/2}\\Delta_n}{k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{h(\\overline{c}_{i}) - h(\\widetilde{c}_{i}) \\right\\}\\right| &\\leq&  \\frac{C}{n^{\n  1\/2}k_n^2 } \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\sum_{j=0}^{k_n-1} \\mathbb{E} \\lambda[|\\partial h( c_{i}(\\overline{\\theta}))||\\Delta_{i+j} X(\\overline{\\theta})|\\right].\n\\end{eqnarray*}\nSince $\\partial h$ is also of polynomial growth, we deduce as for Lemma \\ref{lemmaBoundc} that for any $q \\geq 1$, $\\mathbb{E}|\\partial h(c_i(\\overline{\\theta}))|^q \\leq C$, and so an application of Cauchy-Schwarz inequality yields\n\\begin{eqnarray*} \n\\mathbb{E}\\lambda|\\frac{n^{1\/2}\\Delta_n}{k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{h(\\overline{c}_{i}) - h(\\widetilde{c}_{i}) \\right\\}\\right| \\leq C\/k_n \\to0.\n\\end{eqnarray*} \n\\end{proof}\nWe prove now the theorem.\n\n\\begin{proof}[Proof of Theorem \\ref{theoremG}.] \nRecall that by Lemma \\ref{removeJumpG} we can assume without loss of generality that $X = X^{'}$ and thus that $\\widetilde{\\Xi} = \\widetilde{\\Xi}^{'} $. We have \n$$ n^{1\/2}\\lambda(\\widehat{\\Xi} - \\widetilde{\\Xi}\\right) = n^{1\/2} \\lambda(\\widehat{\\Xi} - \\overline{\\Xi}\\right) + n^{1\/2} \\lambda(\\overline{\\Xi} - \\widetilde{\\Xi} \\right). $$\nThe first term above is negligible by virtue of Lemma \\ref{lemmaReplaceIndicator}. Moreover, since\n\\begin{eqnarray*} \nn^{1\/2}\\lambda(\\overline{\\Xi} - \\widetilde{\\Xi}\\right) &=& n^{1\/2}\\Delta_n \\sum_{i=1}^{[T\/\\Delta_n]-k_n+1}\\lambda\\{g(\\overline{c}_{i}) - g(\\widetilde{c}_{i}) \\right\\} \\\\\n&+& \\frac{n^{1\/2}\\Delta_n}{2k_n}\\sum_{i=1}^{[T\/\\Delta_n]-k_n+1} \\lambda\\{ h(\\widetilde{c}_{i})- h(\\overline{c}_{i})\\right\\},\n\\end{eqnarray*}\nthe assertion $n^{1\/2}\\lambda(\\overline{\\Xi} - \\widetilde{\\Xi}\\right) \\to^\\mathbb{P} 0$ is an immediate consequence of Lemma \\ref{lemmaTermI}, Lemma \\ref{lemmaTermII} and Lemma \\ref{lemmaH}. Combined with Theorem 3.2  (p. 1469, applied to $X^{'}$) in \\cite{jacod2013quarticity}, this yields the central limit theorem.\n\\end{proof}\n\n\\subsection{Proof of Corollary \\ref{corolStudentG}} \nBy Slutsky's Lemma, all we need to prove is that $\\widehat{AVAR} \\to^\\mathbb{P} AVAR$. Given the form of $\\widehat{AVAR}$, this can be shown using exactly the same line of reasoning as for the general theorem replacing $g$ by $\\overline{h}$ in all our estimates and combining the results with Corollary 3.7 in \\cite{jacod2013quarticity} in lieu of Theorem 3.2, except that there is no scaling by $n^{1\/2}$ in front of the estimates and no bias term. Since the $C^3$ property of $g$ is only used once when handling the bias term in Lemma  \\ref{lemmaH}, the fact that $\\overline{h}$ is only of class $C^2$ is not problematic. \n\n\\subsection{Proof of Theorem \\ref{thmVolofVol} and Corollary \\ref{corVolofVol}}\n\nIn \\cite{vetter2015estimation}, the author introduces \n\\begin{eqnarray*} \nA_i = \\frac{2n}{k_n}\\sum_{j=1}^{k_n} \\int_{(i+j-1)T\/n}^{(i+j)T\/n}(X_s-X_{(i+j-1)T\/n})dX_s\n\\end{eqnarray*} \nand \n\\begin{eqnarray*}\nB_i := \\frac{n}{k_n}\\int_{iT\/n}^{(i+k_n)T\/n}\\sigma_s^2ds.\n\\end{eqnarray*} \nAccordingly, we define\n\\begin{eqnarray*} \n\\widehat{A}_i &:=& \\frac{2n}{k_n}\\sum_{j=1}^{k_n}\\lambda\\{\\int_{(i+j-1)T\/n}^{(i+j)T\/n}(X_s-X_{(i+j-1)T\/n})dX_s +  \\psi_{i+j}(\\widehat{\\theta})\\Delta_{i+j}X    \\right\\},\\\\\n \\widehat{B}_i &:=& \\frac{n}{k_n}\\lambda\\{\\int_{iT\/n}^{(i+k_n)T\/n}\\sigma_s^2ds+ \\sum_{j=1}^{k_n}\\psi_{i+j}(\\widehat{\\theta})^2\\right\\} ,\n\\end{eqnarray*} \nalong with the approximated increments for some arbitrary $p \\geq 1$ and  $1 \\leq l \\leq J(p) := [[nt\/T - 2k_n]\/((p+2)k_n)]$, where $[x]$ is defined as the floor function of $x$,\n\\begin{eqnarray*} \n\\widetilde{A}_{i+k_n} - \\widetilde{A}_{i} := \\frac{n}{k_n}\\sigma_{a_l(p)T\/n}\\sum_{j=1}^{k_n} \\lambda(\\Delta_{i+k_n+j}W^2 - \\Delta_{i+j}W^2\\right), \n\\end{eqnarray*} \nand\n\\begin{eqnarray*} \n\\widetilde{B}_{i+k_n} - \\widetilde{B}_{i} := \\frac{n}{k_n}\\int_{iT\/n}^{(i+k_n)T\/n} \\widetilde{\\sigma}_{a_l(p)T\/n}(W_{(s+k_nT\/n)}^{'} - W_{ s }^{'})ds,\n\\end{eqnarray*} \nwhere $a_l(p) := (l-1)(p+2)k_n$. Note that $\\widehat{c}_{i} = A_i + B_i$, and that the approximated increments are independent of the information process and of $\\widehat{\\theta}$. Now note that the general proof in \\cite{vetter2015estimation} is conducted in the following two steps.\n\n\\begin{itemize}\n    \\item Compute an estimate for the deviations $ A_{i+k_n} - A_i - (\\widetilde{A}_{i+k_n} - \\widetilde{A}_{i} )$ (resp. $ B_{i+k_n} - B_i - (\\widetilde{B}_{i+k_n} - \\widetilde{B}_{i} )$).\n    \\item Systematically use the previous estimate to replace $A_i$ (resp. $B_i$) by its counterpart $\\widetilde{A}_i$ (resp. $\\widetilde{B}_i$) in all the encountered expressions.\n\\end{itemize}\nSince $\\widetilde{A}_i$ and $\\widetilde{B}_i$ are independent of the information process and $\\widehat{\\theta}$, the second step holds in our setting as well with no modification in the proofs of \\cite{vetter2015estimation}. Thus, all we have to do in order to prove the theorem is to adapt the first step replacing $A_i$ and $B_i$ by $\\widehat{A}_i$ and $\\widehat{B}_i$. More precisely, we adapt Lemma A.1 in \\cite{vetter2015estimation} as follows.\n\n\\begin{lemma*}\\label{lemmaVolofVol}\nWe have\n\\begin{eqnarray*} \n\\mathbb{E}\\lambda[\\lambda|\\widehat{A}_{i+k_n} - \\widehat{A}_i-(\\widetilde{A}_{i+k_n} - \\widetilde{A}_{i} )\\right|^r\\right] \\leq C(pn^{-1})^{r\/2},\n\\end{eqnarray*} \n\\begin{eqnarray*}\n\\mathbb{E}\\lambda[\\lambda|\\widehat{B}_{i+k_n} - \\widehat{B}_i-(\\widetilde{B}_{i+k_n} - \\widetilde{B}_{i} )\\right|^r\\right] \\leq C(pn^{-1})^{r\/2},\n\\end{eqnarray*} \n\\begin{eqnarray*} \n\\mathbb{E}\\lambda[\\lambda|\\widehat{A}_{i+k_n} - \\widehat{A}_i\\right|^r\\right] \\leq Cn^{-r\/2},\n\\end{eqnarray*} \nand\n\\begin{eqnarray*} \n\\mathbb{E}\\lambda[\\lambda|\\widehat{B}_{i+k_n} - \\widehat{B}_i\\right|^r\\right] \\leq Cn^{-r\/2},\n\\end{eqnarray*} \nfor any $r\\geq1$, $p\\geq1$.\n\\end{lemma*}\n\n\\begin{proof}\nBy Lemma A.1 in \\cite{vetter2015estimation}, it suffices to prove that we have \n\\begin{eqnarray*} \n\\mathbb{E}\\lambda[\\lambda|\\widehat{A}_{i+k_n} - \\widehat{A}_i-( A _{i+k_n} -  A _{i} )\\right|^r\\right] \\leq C(pn^{-1})^{r\/2},\n\\end{eqnarray*} \nand a similar statement for $\\widehat{B}_i$. Since $|\\psi_{k}(\\widehat{\\theta})| \\leq K\/n $ for all $1\\leq k \\leq n$, we obtain\n\\begin{eqnarray*} \n\\mathbb{E}\\lambda[\\lambda|\\widehat{A}_{i+k_n} - \\widehat{A}_i-( A _{i+k_n} -  A _{i} )\\right|^r\\right] &\\leq& \\frac{2n^r}{k_n^r}\\mathbb{E}\\lambda[\\lambda| \\sum_{j=1}^{k_n}\\lambda\\{\\psi_{i+k_n+j}(\\widehat{\\theta})\\Delta_{i+k_n+j}X -  \\psi_{i +j}(\\widehat{\\theta})\\Delta_{i +j}X\\right\\}\\right|^r\\right],\\\\\n&\\leq & \\frac{ Cn^r}{k_n} \\sum_{j=1}^{k_n} \\mathbb{E}  \\lambda[\\lambda|  \\psi_{i+k_n+j}(\\widehat{\\theta})\\Delta_{i+k_n+j}X\\right|^r +  \\lambda|\\psi_{i +j}(\\widehat{\\theta})\\Delta_{i +j}X \\right|^r\\right],\\\\\n&\\leq& \\frac{ C }{k_n} \\sum_{j=1}^{k_n} \\underbrace{\\mathbb{E} \\lambda[\\lambda|   \\Delta_{i+k_n+j}X\\right|^r +  \\lambda| \\Delta_{i +j}X \\right|^r\\right]}_{\\leq C n^{-r\/2}},\\\\\n&\\leq& Cp^{r\/2}n^{-r\/2},\n\\end{eqnarray*}\nsince $p \\geq 1$, where we used Jensen's inequality at the second step and the domination $|\\psi_i(\\widehat{\\theta})|^r \\leq C\/n^r$ at the third step. Proving the other three inequalities can be done by similar calculation.\n\\end{proof}\nNow, to prove Theorem \\ref{thmVolofVol}, it is sufficient to follow closely the proof of Theorem 2.6 in \\cite{vetter2015estimation} replacing all occurrences of $A_i$ and $B_i$ by $\\widehat{A}_i$ and $\\widehat{B}_i$, and accordingly all applications of Lemma A.1 by Lemma \\ref{lemmaVolofVol} above. \n\n\\smallskip\nA similar line of reasoning yields Corollary \\ref{corVolofVol}.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\nMuch of the recent progress in understanding the connection between the strong and weak coupling   regimes\nin the ${\\cal N}=4$ SYM was achieved using the Bethe ansatz technique within the AdS\/CFT correspondence \\cite{malda}.\nNot only is this useful in the gauge theory, but it should also give the spectrum\nof the free strings in the $AdS_5 \\times S^5$ background.\n\nWhile at weak coupling the Bethe ansatz description appeared as appropriate for the associated spin chain \\cite{MZ}, at strong coupling, namely in the dual string theory picture, it was first proposed at the classical level\nin \\cite{afs}. An important ingredient in the all loop Bethe ansatz equations is the coupling dependent\ndressing phase. Using $1$-loop string results near particular states \\cite{ptt}, a few leading terms\n in the 1-loop dressing phase were found in \\cite{bt}. In \\cite{hl, FK} the full 1-loop strong coupling expansion of the coupling dependent coefficient $c_{r,s}(g)$ entering the dressing phase was found and tested. Further progress in understanding the next orders in strong coupling expansion of $c_{r,s}(g)$ was made in \\cite{j} which lead to the finding of all strong coupling expansion coefficients of $c_{r,s}(g)$ \\cite{bhl}.\n\n  For the particular $SL(2)$ sector, the all loop Bethe ansatz (BES)\nequations were proposed in \\cite{bes}.  This ansatz is only asymptotic as it is only supposed to work for large values of the length of the spin chain $J$.\nThe all loop Bethe ansatz was tested by computing the one-cut large $S$ anomalous dimensions for the operators of the type ${\\rm tr}(\\Phi D_{+}^S \\Phi)$.   More specifically, the all loop anomalous dimension was shown to be \\cite{K, km, es,bes}\n\\begin{equation}\nE- S= f(\\lambda) \\ln S + \\mathcal{O}(S^{0})  \\label{yat}\n\\end{equation}\nThe all loop Bethe ansatz equations for this solution lead to an integral equation for the universal function $f(\\lambda)$. The  weak coupling expansion of $f(\\lambda)$ was checked at weak coupling to four loops against a direct gauge theory computation \\cite{bcdks}. The function $f(\\lambda)$ is related to the cusp anomaly of light-like Wilson loops \\cite{K, km} which can also be computed at strong coupling using AdS\/CFT \\cite{kru, m}. The logarithmic scaling was studied at weak\nand strong coupling \\cite{BGK, FTT, CK}.\nThe complicated integral equation for $f(\\lambda)$ obtained in \\cite{bes} was solved at strong coupling in \\cite{bkk}. Remarkably, it matches the expansion obtained directly on the string side to two loops in strong coupling expansion \\cite{ft1,rtt}. The validity of the asymptotic all loop Bethe ansatz was checked to next order in large $S$ expansion \\cite{fz, fgr} for the folded string solution corresponding to twist two operators, and also for a class of more complex solutions, namely  the spiky string solutions \\cite{fkt}.\n\nAlthough the asymptotic Bethe ansatz was tested for certain states in the $SL(2)$ sector, a direct rigorous proof of the conjectured relationship between the strong and weak coupling expansions of $c_{r,s}(g)$ for all $r,s$ was not obtained. For $r=2,s=3$ a proof was obtained in \\cite{bes}. A further attempt to prove the relationship was made in \\cite{gh} only for certain coefficients of the expansion of $c_{2,s}$. In \\cite{kl, fr} a relationship between the weak and strong coupling expansions of $c_{r,s}(g)$ was found but the strong coupling expansion was treated in a non rigorous way. It is the goal of this paper to study in detail the properties of $c_{r,s}(g)$, and to give a proof of the conjectured expansions for all $r,s$.\n\nStarting with the weak coupling expansion of $c_{r,s}(g)$ we sum the series, and then we obtain a single integral representation formula in the complex plane for $c_{r,s}(g)$. This allows us to systematically analyze weak and strong coupling expansions by simply deforming the contour as appropriate for the expansion we want. As was pointed out already in \\cite{bes}, we show that at strong coupling the expansion of $c_{r,s}(g)$ is an asymptotic  series. We obtain a well defined integral for the remainder, which can be evaluated in principle as precise as desired.  We estimate the remainder integral to behave exponentially as $g^{-3\/2} e^{-8 \\pi g}$. Exponential behavior was obtained for the cusp anomaly $f(\\lambda)$ at strong coupling in \\cite{bk}. The non-perturbative scale obtained in \\cite{bk} is consistent with the mass gap of the two-dimensional bosonic O(6) sigma model embedded into the $AdS_5 \\times S^5$ string theory \\cite{am1}.\n\nAs a byproduct of the integral representations that we find, we are able to sum the dressing phase and therefore obtain all weak and strong coupling expansions of the dressing phase in terms of finite sums, which can be readily be performed at any order as needed. In addition, we found explicitly the exponentially suppressed part of the dressing phase. It would be interesting to use these results in the computation of the function $f(\\lambda)$, especially to recover the non-perturbative scale obtained in \\cite{bk}.\n\nThe paper is organized as follows. In section 2 we review the all loop dressing phase  in the $SL(2)$ Bethe ansatz, as well as the expansions of $c_{r,s}(g)$ proposed in \\cite{bes}. In section 3 we find a double integral representation of $c_{r,s}$ by summing the weak coupling expansion. The main result of this paper, i.e. a single integral representation of $c_{r,s}$ suitable for any expansion is obtained in section 4. In section 5 we study the properties of $c_{r,s}$, perform weak\/strong coupling expansions, and thus prove the relationship  between them. The summing of the dressing phase and its $g$ expansions are done in section 6. Finally, in section 7 we present a summary of the results while in Appendix A we check by a different method the expansions of a simple illustrative example that we use.\n\n\n\n\n\n\n\\section{Dressing phase}\n\n\nAs mentioned, the phase $\\theta(x^\\pm_1,x^\\pm_2)$ defined as\n\\begin{equation}\n\\theta(x^\\pm_1,x^\\pm_2)=\\sum_{r=2}^{\\infty}\\sum_{s=r+1}^{\\infty} c_{r,s}(g) [q_r (x_1^{\\pm}) q_s (x_2^{\\pm})-q_s (x_1^{\\pm}) q_r (x_2^{\\pm})]\n\\end{equation}\nplays an important role in the all-loop Bethe-ansatz. Here\n\\begin{equation}\nq_r = \\frac{i}{r-1}\\bigg(\\frac{1}{(x^{+})^{r-1}}-\\frac{1}{(x^{-})^{r-1}}\\bigg)\n\\end{equation}\nand the coefficients $c_{r,s}(g)$ are given below. $x^\\pm(u)$ are $g$-dependent and defined through $u\\pm\\tfrac{i}{2}=x^\\pm(u)+\\tfrac{g^2}{x^\\pm(u)}$.\n\nIt is convenient to write the dressing phase in the following way \\cite{bhl}\n\\begin{eqnarray}\n\\theta(x^\\pm_1,x^\\pm_2,g) &=& \\chi(x_1^{+},x_2^{+},g)-\\chi(x_1^{+},x_2^{-},g)-\\chi(x_1^{-},x_2^{+},g)+\\chi(x_1^{-},x_2^{-},g)\\nonumber\\\\\n&-&\\chi(x_2^{+},x_1^{+},g)+\\chi(x_2^{-},x_1^{+},g)+\\chi(x_2^{+},x_1^{-},g)-\\chi(x_2^{-},x_1^{-},g)\n\\end{eqnarray}\nwhere\n\\begin{equation}\n\\chi(x_1,x_2,g)=-2 \\sum_{r=2}^{\\infty}\\sum_{s=r+1}^{\\infty}  \\frac{\\tilde{c}_{r,s}(g)}{x_1^{r-1} x_2^{s-1}}\n\\end{equation}\nand, for convenience, we defined\n\\begin{equation}\n\\tilde{c}_{r,s}(g) = \\frac{1}{2} \\frac{1}{(r-1)(s-1)} c_{r,s}(g),\n\\end{equation}\n  It turns out that the coefficients $c_{r,s}$ vanish unless $r+s$ is odd. Therefore we can define two integers\n\\begin{equation}\n m = \\frac{1}{2}(r+s-3), \\ \\ \\ \\bar{m} = \\frac{1}{2}(s-r-1), \\ \\ \\ \\ s=m+\\bar{m}+2, \\ \\ \\ \\  r=m-\\bar{m}+1, \\quad m \\geq \\bar{m}+1\n\\label{mmbar}\n\\end{equation}\nand express $\\chi(x_1,x_2,g)$ as\n\\begin{equation}\n\\chi(x_1,x_2,g) =-2 \\sum_{\\bar{m}=0}^{\\infty}\\sum_{m=\\bar{m}+1}^{\\infty} \\frac{\\tilde{c}_{m,\\bar{m}}(g) }{x_1^{m-\\bar{m}} x_2^{m+\\bar{m}+1}}\n\\end{equation}\nwhere\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g) =  \\tilde{c}_{r,s}(g), \\ \\ \\ \\ r=m-\\bar{m}+1, \\quad m \\geq \\bar{m}+1\n\\end{equation}\nBy a slight abuse of notation we still call the coefficients as $\\tilde{c}$. To avoid confusion, from now on we are going to use always the notation\n$\\tilde{c}_{m,\\bar{m}}$, or equivalently\n\\begin{equation}\nc_{m,\\bar{m}} = 2(m-\\bar{m})(m+\\bar{m}+1) \\tilde{c}_{m,\\bar{m}}\n\\label{cct}\n\\end{equation}\nFor small coupling $g<\\frac{1}{4}$ the coefficients $\\tilde{c}_{m,\\bar{m}}(g)$ can be expanded\\footnote{We define the coefficients as the straight-forward expansion of $\\chi(x_1,x_2,g)$. As a result there is an overall minus sign with respect to \\cite{bes}} in powers\nof $g$:\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g) = \\sum_{k=1}^\\infty \\tilde{c}^{(2k)}_{m,\\bar{m}}\\, g^{2k+1}\n\\end{equation}\n From \\cite{bes}, we find that the coefficients  $\\tilde{c}^{(n)}_{m,\\bar{m}}$, have a nice symmetric form:\n\\begin{equation}\n \\tilde{c}^{(2k)}_{m,\\bar{m}}  = \\frac{(-)^{k+m+\\bar{m}} \\zeta(1+2k)}{(2+2k)^2(1+2k)B(1-m+k,2+m+k)B(1-\\bar{m}+k,2+\\bar{m}+k)}\n\\label{CS}\n\\end{equation}\nwhere $B(x,y)=\\frac{\\Gamma(x)\\Gamma(y)}{\\Gamma(x+y)}$ is Euler's beta function.\n These coefficients also have an asymptotic expansion for large $g$ as\n\\begin{equation}\n \\tilde{c}_{m,\\bar{m}}(g) = \\sum_{n=0}^N \\tilde{c}^{(-n)}_{m,\\bar{m}}\\, g^{1-n} +R_N\n\\label{lec}\n\\end{equation}\n where, for $n>1$\n\\begin{equation}\n \\tilde{c}^{(-n)}_{m,\\bar{m}} = \\frac{\\zeta(n)}{2(-2\\pi)^n \\Gamma(n-1)} \\\n      \\frac{\\Gamma\\left(m+\\frac{1}{2} n\\right)\\Gamma\\left(\\bar{m}+\\frac{1}{2} n\\right)}{\\Gamma\\left(m+2-\\frac{1}{2} n\\right)\\Gamma\\left(\\bar{m}+2-\\frac{1}{2} n\\right)}\n\\label{CL}\n\\end{equation}\nand\n\\begin{equation}\n\\tilde{c}^{(0)}_{m,\\bar{m}} = \\frac{1}{2m(m+1)} \\delta_{\\bar{m},0}, \\ \\ \\ \\tilde{c}^{(-1)}_{m,\\bar{m}} =-\\frac{1}{\\pi}\\frac{1}{(2m+1)(2\\bar{m}+1)}\n\\label{CL01}\n\\end{equation}\nSince the expansion is only asymptotic we should sum a finite number of terms and include a residue $R_N$ to have an equality between both sides of eq. (\\ref{lec}).\n Obviously it is quite important that both, small and large coupling expansions correspond to the same function. However, up to know, this was only a conjecture except for\n$\\bar{m}=0$, $m=1$ (or $r=2$, $s=3$) where it was proved in \\cite{bes}. Moreover, since the strong coupling expansion is only asymptotic, it\nis important to give an expression for the residue $R_N$ so that we can estimate the error. In the following we give a proof of the equivalence of\nboth expansions by considering an expression valid for all values of the coupling and such that it can be easily expanded at large and small $g$ with the expected results.\nIt also provides an exact expression for the residue $R_N$.\n\nMoreover, we extend these results to the function $\\chi(x_1,x_2,g)$. Such function can also be expanded in powers of $g$ as\n\\begin{eqnarray}\n\\chi(x_1,x_2,g) &=& \\sum_{k=1}^\\infty \\chi^{(2k)}(x_1,x_2) g^{2k+1}, \\ \\ \\ \\ g<\\frac{1}{4}  ,\\\\\n\\chi(x_1,x_2,g) &=& \\sum_{n=0}^N \\chi^{(-n)}(x_1,x_2) g^{1-n} + R_N, \\ \\ \\ \\ g\\rightarrow\\infty  .\n\\end{eqnarray}\nAgain, the second expansion is only asymptotic. For given $g$ there is an optimal value of $N$ such that the residue $R_N$ is smallest. In this paper we find explicit expressions for\nall the coefficients of such expansion as well as for the residue $R_N$. The coefficients are in terms of finite sums or alternatively in terms of the residue of given functions at certain poles.\n\n\n\\section{A double integral representation for $c_{m,\\bar{m}}(g)$}\n\n As a first step we are going to construct a generating function for the coefficients  $\\tilde{c}^{(2k)}_{m,\\bar{m}}$ of the small coupling expansion.\nWhen computing $\\chi(x_1,x_2,g)$ we only need to consider $m>\\bar{m}\\ge0$ but there is nothing wrong with extending the formulas to all values of $m,\\bar{m}$.\nIn fact, for fixed $n=2k$, if we vary $m$ (or $\\bar{m}$) most coefficients vanish, the only ones that survive are such that\n\\begin{equation}\n -k-1 \\leq m \\leq k, \\ \\ \\ \\ -k-1 \\leq \\bar{m} \\leq k .\n\\end{equation}\n We can therefore define a double periodic generating function\n\\begin{equation}\n\\tilde{C}^{(n)}(\\mu,\\nu) = \\sum_{m,\\bar{m}=-\\infty}^{\\infty} \\tilde{c}^{(n)}_{m,\\bar{m}} e^{2im\\mu+2i\\bar{m}\\nu} .\n\\end{equation}\nNotice that the series trivially converges since it actually has a finite number of terms.\nGiven $\\tilde{C}^{(n)}(\\mu,\\nu)$ we can recover the coefficients by Fourier analysis. Now we need to compute\n\\begin{equation}\n\\sum_{m=-k-1}^{k} (-)^m \\frac{e^{2im\\mu}}{B(1-m+k,2+m+k)} = 2^{2k+1}(2k+2) i e^{-i\\mu} (\\sin\\mu)^{1+2k}\n\\end{equation}\nWe then get\n\\begin{equation}\n\\tilde{C}^{(n)}(\\mu,\\nu) = (-)^{k+1} \\frac{\\zeta(1+2k)}{1+2k} 4^{2k+1} e^{-i\\mu-i\\nu} (\\sin\\mu\\sin\\nu)^{2k+1}\n\\end{equation}\n Now we can sum over $k$ and define\n\\begin{equation}\n \\tilde{C}(\\mu,\\nu;g) =  \\sum_{k=1}^{\\infty} \\tilde{C}^{(2k)}(\\mu,\\nu) g^{2k+1}\n                      =  - e^{-i\\mu-i\\nu} \\sum_{k=1}^{\\infty} (-)^k  \\frac{\\zeta(1+2k)}{1+2k} (4g\\sin\\mu\\sin\\nu)^{2k+1}\n\\end{equation}\n This sum can be done explicitly and we get\n\\begin{eqnarray}\n \\tilde{C}(\\mu,\\nu;g) &=&  -e^{-i\\mu-i\\nu} \\left[ -\\gamma \\bar{g} + \\frac{i}{2} \\ln\\left(\\frac{\\Gamma(1+i\\bar{g})}{\\Gamma(1-i\\bar{g})}\\right)\\right] \\\\\n              &=& e^{-i\\mu-i\\nu} \\left[ \\gamma \\bar{g} + \\arg(\\Gamma(1+i\\bar{g})) \\right]\n\\end{eqnarray}\nwhere we defined\n\\begin{equation}\n\\bar{g} = 4 g \\sin\\mu\\sin\\nu\n\\end{equation}\nThe statement is that if one expands this last function in powers of $\\bar{g}$ and then Fourier analyze it in $\\mu,\\nu$, the coefficients, by construction,\nare precisely the $c^{(n)}_{m,\\bar{m}}$ at small coupling. The function $\\tilde{c}_{m,\\bar{m}}(g)$ can be obtained as\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g)=\\int_{0}^{\\pi}\\frac{d \\mu}{\\pi} \\int_{0}^{\\pi}\\frac{d \\nu}{\\pi}e^{-2 i \\mu m - 2 i \\nu \\bar{m}} \\tilde{C}(\\mu,\\nu; g)\n\\label{cmmbar}\n\\end{equation}\nIf we wish, from eq.(\\ref{cct}), we can also find the coefficients $c_{m,\\bar{m}}$ as\n\\begin{equation}\nC(\\mu,\\nu;g) =\n 2 \\left(-\\frac{1}{4}\\partial_\\mu^2 -\\frac{i}{2}\\partial_\\mu  + \\frac{1}{4}\\partial_\\nu^2 +\\frac{i}{2}\\partial_\\nu \\right) \\tilde{C}(\\mu,\\nu,g)\n\\end{equation}\nSome algebra gives\n\\begin{equation}\n C(\\mu,\\nu;g) = -8 g^2 (\\sin^2\\nu-\\sin^2\\mu)\\ \\partial_{\\bar{g}}^2 \\tilde{C}(\\mu,\\nu,g)\n\\end{equation}\nWe finally get\n\\begin{equation}\n C(\\mu,\\nu;g) = 8 g^2 e^{-i\\mu-i\\nu} (\\sin^2\\nu-\\sin^2\\mu)\\ \\mbox{Im} \\psi'(1+i\\bar{g})\n\\label{genfun}\n\\end{equation}\nwhere $\\psi'$ denotes the derivative of the $\\psi$ function, $\\psi(x)=\\Gamma'(x)\/\\Gamma(x)$.\nTherefore\n\\begin{equation}\nc_{m,\\bar{m}}(g)=\\int_{0}^{\\pi}\\frac{d \\mu}{\\pi} \\int_{0}^{\\pi}\\frac{d \\nu}{\\pi}e^{-2 i \\mu m - 2 i \\nu \\bar{m}} C(\\mu,\\nu; g)\n\\label{gen2}\n\\end{equation}\nOf course given $\\tilde{c}_{m,\\bar{m}}$ we can get $\\tilde{c}_{m,\\bar{m}}$ multiplying by the corresponding factor (\\ref{cct}) and vice-versa,\nthe purpose of deriving the last equation is that it is somewhat easier to work with the generating function $C(\\mu,\\nu;g)$.\nWe are interested now in finding the strong coupling expansion. If we naively try to expand $\\psi'(1+i\\bar{g})$ in eq.(\\ref{genfun})\nfor large $\\bar{g}$ we find that the resulting integrals over $\\mu$ and $\\nu$ diverge. The reason being that we need $\\bar{g}=4g\\sin\\mu\\sin\\nu$\nto be large but, even if $g$ is large, close to $\\mu=0$ or $\\nu=0$ we can have $\\bar{g}$ as small as we want.  Notice that in \\cite{bes}, the\nalternative expression in term of Bessel functions (here we use our sign convention and redefine the indices according to eq.(\\ref{mmbar}))\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}} = \\cos(\\pi \\bar{m}) \\int_0^\\infty dt \\frac{J_{m-\\bar{m}}(2gt)J_{m+\\bar{m}+1}(2gt)}{t(e^t-1)} \\label{bessel}\n\\end{equation}\nwas given. However such expression does not give an obvious large $g$ expansion either since we cannot assume that $2gt$ is large around $t=0$.\n\nIn the next section we derive an alternative expression for the coefficients valid for all $g$ and which allows for a simple expansion,\nboth at large and small $g$.\n\n\\section{A single integral representation formula for $c_{m, \\bar{m}}(g)$}\n\nConsider an integral of the type\n\\begin{equation}\nf(g)= \\int_0^{\\pi} d\\mu  \\int_0^{\\pi} d\\nu\\ \\sin\\mu\\sin\\nu F(\\mu,\\nu)\\, \\mbox{Im}\\psi'(1+4ig\\sin\\mu\\sin\\nu)\n\\label{fdef}\n\\end{equation}\nas we had in the previous section.  Using the following integral representation\n\\begin{equation}\n\\psi'(x)=\\int_0^{\\infty}dt \\frac{t e^{-x t}}{1-e^{-t}}\n\\end{equation}\nwe can rewrite $f(g)$ as:\n\\begin{equation}\nf(g) = \\int_0^\\infty d\\zeta \\sin(4g\\zeta) H(\\zeta)\n\\end{equation}\nwith\n\\begin{equation}\nH(\\zeta) = -\\zeta \\int_0^{\\pi} \\int_0^{\\pi} \\frac{d\\mu d\\nu}{\\sin\\mu\\sin\\nu} \\frac{F(\\mu,\\nu)}{e^{\\frac{\\zeta}{\\sin\\mu\\sin\\nu}}-1}\n\\end{equation}\nNotice the integral converges because near $\\mu=0,\\pi$ or $\\nu=0,\\pi$ there is an exponential suppression ($\\zeta>0$).\nNow let us manipulate this integral\n\\begin{equation}\nH(\\zeta) = - \\zeta \\int_0^\\infty du \\int_0^{\\pi} \\int_0^{\\pi} \\frac{d\\mu d\\nu}{\\sin\\mu\\sin\\nu}\n          \\delta(u-\\sin\\mu\\sin\\nu) \\frac{F(\\mu,\\nu)}{e^{\\frac{\\zeta}{\\sin\\mu\\sin\\nu}}-1}\n\\end{equation}\nWhich is the same since the integral over $u$ is 1. Since $u>0$ we can use\n\\begin{equation}\n\\delta(u-u_0)=\\frac{1}{u}\\delta(\\ln u-\\ln u_0) = \\frac{1}{u} \\int_{-\\infty}^{+\\infty} \\frac{d\\eta}{2 \\pi}\\, e^{-i\\eta(\\ln u -\\ln u_0)}\n             = \\frac{1}{u} \\int_{-\\infty}^{+\\infty} \\frac{d\\eta}{2 \\pi} \\, \\left(\\frac{u_0}{u}\\right)^{i\\eta+c}\n\\end{equation}\nwhere $c$ is an arbitrary real number $0< c <1$ that we introduce to ensure the convergence of the integral below. It is arbitrary since the\ndelta function assures $u=u_0$ and therefore $(u\/u_0)^c=1$.\nWe get\n\\begin{equation}\nH(\\zeta) = -\\zeta \\int_{-\\infty}^{+\\infty} \\frac{d\\eta}{2 \\pi} \\int_0^\\infty du \\int_0^{\\pi} d\\mu \\int_0^{\\pi} d\\nu\n \\frac{u^{-i\\eta-2-c}}{e^{\\frac{\\zeta}{u}}-1} \\left(\\sin\\mu\\sin\\nu\\right)^{i\\eta+c} F(\\mu,\\nu)\n\\end{equation}\nNow define\n\\begin{equation}\n\\phi(s) = \\int_0^{\\pi} d\\mu \\int_0^{\\pi} d\\nu  \\left(\\sin\\mu\\sin\\nu\\right)^{s} F(\\mu,\\nu)\n\\label{phidef}\n\\end{equation}\nand compute\n\\begin{equation}\n\\int_0^\\infty du \\frac{u^{-i\\eta-2-c}}{e^{\\frac{\\zeta}{u}}-1}\n= \\zeta^{-i\\eta-1-c}\\int_0^\\infty dx\\frac{x^{i\\eta+c}}{e^x-1} = \\zeta^{-i\\eta-1-c} \\Gamma(1+c+i\\eta)\\zeta(1+c+i\\eta)\n\\end{equation}\nwhich converges in virtue of $c>0$. We therefore obtain\n\\begin{equation}\nH(\\zeta) = - \\int_{-\\infty}^{+\\infty} \\frac{d\\eta}{2\\pi}  \\zeta^{-i\\eta-c} \\Gamma(1+c+i\\eta)\\zeta(1+c+i\\eta)\\phi(i\\eta+c)\n\\end{equation}\nWe still need now to do the (sine) Fourier transform\n\\begin{equation}\n\\int_0^\\infty d\\zeta \\sin (4 g \\zeta) \\zeta^{-i\\eta-c} = (4g)^{i \\eta +c-1} \\cos \\frac{\\pi (i \\eta+c)}{2}\\Gamma(1-c-i \\eta)\n\\label{sineF}\n\\end{equation}\nNotice that this integral is well defined for $g>0$ and $0<c<1$ \\footnote{In fact it is well defined for $0<c<2$ however since $c$ is arbitrary we take\nit between zero and one. This simplifies the notation further on and also keeps the formula valid if we use the real part of $\\psi'$ instead of the imaginary\npart in eq.(\\ref{fdef}). We just need to replace sine by cosine in (\\ref{sineF}).}.\nFinally we obtain\n\\begin{eqnarray}\nf(g) &=& - \\int_{-\\infty}^\\infty \\frac{d\\eta}{2 \\pi} (4g)^{ i \\eta+c-1}\n        \\cos \\frac{\\pi (i \\eta+c)}{2} \\zeta(1+i\\eta+c)\\Gamma(1-i\\eta-c)\\Gamma(1+i\\eta+c)\\phi(i\\eta+c) \\\\\n     &=& i \\int_{c-i\\infty}^{c+i\\infty} \\frac{ds}{2 \\pi}\\, (4g)^{s-1} \\cos \\frac{\\pi s}{2} \\zeta(1+s) \\Gamma(1-s)\\Gamma(1+s) \\phi(s) \\\\\n     &=& \\frac{i}{2} \\int_{c-i\\infty}^{c+i\\infty} \\frac{ds}{2 \\pi}\\, (4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\zeta(1+s) \\phi(s)  \\label{fg}\n\\end{eqnarray}\nThe integral is independent of $c$ in the interval $0<c<1$. Now we need to consider $\\phi(s)$. From the definition (\\ref{phidef}) we find\n\\begin{equation}\n|\\phi(i\\eta+c)| \\l_{\\rm eff} \\int_0^{\\pi} d\\mu \\int_0^{\\pi} d\\nu  \\left(\\sin\\mu\\sin\\nu\\right)^{c} |F(\\mu,\\nu)| = M, \\ \\ \\ \\forall \\eta\\in \\mathbb{R}.\n\\label{phibound}\n\\end{equation}\nwhere we assume that the integral on the right hand side is finite. For any given $F(\\mu,\\nu)$ this should be checked. It follows that\n\\begin{equation}\n|f(g)| \\l_{\\rm eff} \\frac{\\pi M}{2} (4g)^{c-1} \\int_{-\\infty}^{+\\infty} \\frac{d\\eta}{2 \\pi}\\,\n    \\sqrt{\\frac{\\eta^2+c^2}{\\sinh^2 \\frac{\\pi \\eta}{2}+\\sin^2\\frac{\\pi c}{2}}} |\\zeta(1+i\\eta+c)|\n\\label{fbound}\n\\end{equation}\nFrom the properties of the $\\zeta$-function we know that $|\\zeta(1+i\\eta+c)| $ is bounded and goes to one for $\\eta\\rightarrow\\pm\\infty$.\nWe have then proven that, under the assumptions in eq.(\\ref{phibound}), the integral defining $f(g)$ is absolutely convergent for any value of $g>0$.\n\nThis is quite generic, in our case, from eqs.(\\ref{genfun}), (\\ref{gen2}) and(\\ref{cct}) we find that\n$\\tilde{c}_{m \\bar{m}}$ can be expressed as\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g)= -4  g^2 \\int_{0}^{\\pi}\\frac{d \\mu}{\\pi} \\int_{0}^{\\pi}\\frac{d \\nu}{\\pi}\n\\frac{(\\sin^2 \\mu - \\sin^2 \\nu)}{(m-\\bar{m})(m+\\bar{m}+1)} e^{- (2 m+1)i \\mu} e^{-(2 \\bar{m}+1)i\\nu} \\mbox{Im}\\psi'(1+ i \\bar{g})\n\\end{equation}\nwith $\\bar{g} = 4 g \\sin\\mu\\sin\\nu$. Comparing with (\\ref{fdef}) we define\n\\begin{equation}\n\\tilde{F}_{m\\bar{m}}(\\mu,\\nu)= -\\frac{4g^2}{\\pi^2}\\frac{\\sin^2 \\mu -\\sin^2 \\nu}{\\sin \\mu \\sin \\nu} \\frac{e^{-(2m+1) i \\mu} e^{-(2\\bar{m}+1) i \\nu}}{(m-\\bar{m})(m+\\bar{m}+1)}\n\\end{equation}\nand\n\\begin{equation}\n\\tilde{\\phi}_{m\\bar{m}}(s)=  \\int_{0}^{\\pi}  \\int_{0}^{\\pi} d \\mu d \\nu (\\sin \\mu \\sin \\nu)^s \\tilde{F}_{m,\\bar{m}}(\\mu,\\nu) \\label{phi1}\n\\end{equation}\nwhich is well defined for $\\mbox{Re}(s)>0$. In fact we can evaluate it to be\n\\begin{equation}\n\\tilde{\\phi}_{m\\bar{m}}(s) = \\frac{g^2 (-1)^{m+\\bar{m}}}{4^{s-1} s (s+2)}\n                    \\frac{\\Gamma(s+1)\\Gamma(s+3)}\n                        {\\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  m})\\Gamma(\\frac{s}{2}{ \\scriptstyle + 2 + m})\n                          \\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  \\bar{m}})\\Gamma(\\frac{s}{2} {\\scriptstyle + 2 + \\bar{m}})}\n\\label{phitdef}\n\\end{equation}\nFor later use we notice the large $s$ behavior of $\\tilde{\\phi}_{m\\bar{m}}(s)$ which is\n\\begin{equation}\n\\tilde{\\phi}_{m\\bar{m}}(s) =\n\\left\\{\\begin{array}{lcl} \\frac{32g^2(-)^{m+\\bar{m}}}{\\pi s^3} &\\mbox{\\ \\ for\\ \\ }& s\\rightarrow\\infty, \\ \\ (|\\mbox{Arg}(s)|<\\pi) \\\\ \\\\\n          -\\frac{32g^2(-)^{m+\\bar{m}}}{\\pi s^3} \\tan^2\\frac{\\pi s}{2}&\\mbox{for}& s\\rightarrow\\infty, \\ \\ (\\mbox{Arg}(s)\\neq0)    \\end{array}    \\right.\n\\label{phiap}\n\\end{equation}\nThe functions $\\tilde{c}_{m,\\bar{m}}$ can be written as $(0<c<1)$:\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g)=\\frac{1}{2} i g (-1)^{m+\\bar{m}}  \\int_{c-i\\infty}^{c+i\\infty} \\frac{ds}{2 \\pi}\\, g^{s} \\frac{(1+s) \\pi}{\\sin \\frac{\\pi s}{2}}\n\\zeta(1+s) \\frac{\\Gamma^2(1+s)}{\\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  m})\\Gamma(\\frac{s}{2}{ \\scriptstyle + 2 + m})\n                          \\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  \\bar{m}})\\Gamma(\\frac{s}{2} {\\scriptstyle + 2 + \\bar{m}})}  \\label{exp}\n\\end{equation}\nwhich is the main result of our paper. As mentioned, it is an absolutely convergent integral for any real value of $g$, in fact, it converges exponentially at infinity\nso it is a very good expression for numerical evaluation (for such purpose we can take {\\it e.g.}\\ $c=\\frac{1}{2}$). Moreover, as seen below, it can be trivially expanded at large and small coupling by shifting the contour of integration\nto the right and to the left. We derived (\\ref{exp}) from the generating function (\\ref{gen2}) but it also can be derived from (\\ref{bessel}) by using a similar procedure\\footnote{We thank G. Korchemsky for pointing this out to us based on his unpublished notes together with B.~Basso and J.~Kotanski.}. In fact after submitting this paper we learnt\\footnote{We thank A. Kotikov for pointing out reference \\cite{kl}.} that, in  \\cite{kl}, it was already shown that an expression similar to (\\ref{exp}) leads to the correct weak coupling expansion. However, in \\cite{kl}, the strong coupling expansion was treated differently. It was considered as a formal series which was defined to be (\\ref{exp}) and therefore an expansion such as (\\ref{lec}) was not derived.  \n\n\\section{Small and large coupling expansions for $\\tilde{c}_{m\\bar{m}}$}\n\nIn this section we expand the expression (\\ref{exp}) for the coefficients at large and small $g$. We start by proposing a method to expand expressions of the type (\\ref{fg})\nand apply it to a simple example in order to check and illustrate the idea. After that we apply it to the case of interest.\n\n\\subsection{General considerations} \\label{sec:gc}\n To extract the weak coupling expansion ($g\\rightarrow 0$) of $f(g)$ as given in (\\ref{fg}) we shift the contour by an integer $K_1$ to the right, as shown in figure \\ref{poles}. The calculation is similar to the one in Appendix A of \\cite{kl}. \nFrom eq.(\\ref{phibound}), and since $0<\\sin\\mu\\sin\\nu<1$ we find $|\\phi(i\\eta+c+K_1)|<M$. The same analysis that leads to the bound (\\ref{fbound})\ngives now that the integral over the lines extending from $c+i\\eta$ to $K_1+i \\eta$ with $\\eta$ fixed (dashed line in the figure) go to zero exponentially\nas $\\eta\\rightarrow\\pm\\infty$, so they can be ignored. Therefore we find that the shifted and original integral differ by (minus) the sum of the residues of\nall the poles crossed, namely,\n\\begin{equation}\nf(g) = \\frac{1}{2} \\sum_{k} \\mbox{Res}\\left[(4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\zeta(1+s) \\phi(s), s=s_k\\right] + R(K_1)\\label{weak}\n\\end{equation}\nwhere the remainder is given by the function $R(K)$ defined as\n\\begin{equation}\nR(K) = \\frac{i}{2} \\int_{K+c-i\\infty}^{K+c+i\\infty}  \\frac{ds}{2 \\pi}\\, (4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\zeta(1+s) \\phi(s)  \\label{Rdef}\n\\end{equation}\nwhere $K_1 \\geq 1$ and the sum is over all poles of the integrand $s_k$ such that $c<\\mbox{Re}(s_k)<c+K_1$. Typically, from the denominator\n$\\sin \\frac{\\pi s}{2}$ we will have poles for positive even $s$. This gives an expansion in odd powers of the coupling.\n\n\\begin{figure}\n\\epsfig{file=Poles_all_loops.eps, height=10cm}\n\\caption{Complex $s$-plane. The contour of integration is $(c-i\\infty,c+i\\infty)$. Shifting it to the right we obtain the weak coupling expansion\nand shifting it to the left the strong coupling expansion.}\n\\label{poles}\n\\end{figure}\n\nIf the residual integral vanishes as $K_1\\rightarrow\\infty$ then we find an expression for $f(g)$ as an infinite series in powers of $g$. We are going\nto see later that in the case of interest this only happens if $g<\\frac{1}{4}$.\n\nNow, more interestingly, we shift the contour by an integer $K_2>0$ to the left. To discard the integrals for large fixed imaginary part\nwe need to check later that the specific $\\phi(s)$ that we have stays bounded in that region. Then those integrals also vanish exponentially\nwhen taken to infinity. What we obtain is therefore\n\\begin{equation}\nf(g) =  -\\frac{1}{2} \\sum_{k} \\mbox{Res}\\left[(4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\zeta(1+s) \\phi(s), s=s_k\\right] + R(-K_2)\n \\label{strong}\n\\end{equation}\n where $s_k$ are the poles of the integrand such that $c-K_2<\\mbox{Re}(s_k)<c$. The remainder $R(-K_2)$ is given by the same function defined in (\\ref{Rdef}). Typically, for the $\\phi(s)$ that we consider we have poles at negative\neven $s$ from the denominator $\\sin \\frac{\\pi s}{2}$ but also for negative odd $s$ from $\\phi(s)$. This results in the strong coupling expansion\ncontaining odd and even powers of $g$. Notice also the minus sign in front of the sum over poles since now the poles are crossed form right to left.\nThis method actually explains the conjecture in \\cite{bes} that the coefficients of the small and large coupling expansions are related by an analytic\ncontinuation and an extra minus sign. Although this is not always the case, for certain functions $\\phi(s)$, the residues are simply related by\nanalytic continuation and the minus sign, as mentioned, is from closing the contour to the right or left.\n\n  As we describe below, for the $\\phi(s)$ of interest the integral on the right hand side in (\\ref{strong}) does not vanish as $K_2\\rightarrow\\infty$.\nIn fact it gets smaller as $K_2$ increases up to a minimum point and then starts growing if we go further. Thus, we get an asymptotic series for\nthe expansion of $\\tilde{c}_{m\\bar{m}}(g)$. The integral is an exact expression for the residue of the series. This procedure is actually\nsimilar in spirit to the integration by parts technique sometimes used to obtain asymptotic series.  To validate this approach now\nwe are going to study a simple example where we can check the result since we can find the same asymptotic series by using a different procedure.\n\n\\subsection{A simple example}\n\n A very simple example that allow us to illustrate the technique just described is provided by the function\n\\begin{equation}\n\\phi(s) = \\frac{1}{(s+m)^2}\n\\end{equation}\nwhere $m=2p+1$ is a positive odd integer. We then have\n\\begin{equation}\nf(g) =  \\frac{i}{2} \\int_{c-i\\infty}^{c+i\\infty} \\frac{ds}{2 \\pi}\\, (4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\frac{\\zeta(1+s)}{(s+m)^2}\n\\end{equation}\nFor positive real part of $s$ the only poles of the integrand in (\\ref{fg}) are at even $s$. We find\n\\begin{eqnarray}\nf(g) &=& \\frac{1}{2} \\sum_{k=1}^\\infty \\mbox{Res}\\left[(4g)^{s-1} \\frac{s \\pi}{\\sin \\frac{\\pi s}{2}} \\zeta(1+s) \\phi(s), s=2k\\right] \\\\\n     &=& 2 \\sum_{k=1}^\\infty k (4g)^{2k-1} (-)^k \\frac{\\zeta(1+2k)}{(m+2k)^2}\n\\end{eqnarray}\nFor $\\mbox{Re}(s)<\\frac{1}{2}$ the poles are at negative even $s$, at $s=0$ and at $s=-m$. Since $m$ is odd the pole at $s=-m$ is a simple pole since,\nin that case, $\\zeta(1-m)=0$. We find\n\\begin{eqnarray}\nf(g) &=& -\\frac{1}{4gm^2}+ 2 \\sum_{k=1}^{K_2} k (4g)^{-2k-1} (-)^k \\frac{\\zeta(1-2k)}{(m-2k)^2} - \\frac{m\\pi}{2} (-)^{\\frac{m-1}{2}} (4g)^{-m-1} \\zeta'(1-m) \\\\\n     &&     + \\frac{i}{2} \\int_{-K_2+c-i\\infty}^{-K_2+c +i\\infty} \\frac{d s}{2 \\pi}\\, (4g)^{s-1} \\frac{s\\pi}{\\sin \\frac{s\\pi}{2}}\n            \\frac{\\zeta(1+s)}{(m+s)^2}\n\\label{sel}\n\\end{eqnarray}\nWe see a typical result. Odd powers appear but there is one term  proportional to $ g^{-m-1}$, namely an even power ($m$ is odd).\nA more detailed analysis similar to what we present below  shows that we cannot take $K_2\\rightarrow\\infty$ since the integral grows for very large $K_2$.\nFor given $g\\gg1$ an optimal value of $K_2$ exists such that the integral is at a minimum and can be discarded without significant error. Such error\nhowever is perfectly quantified since one can put bounds to the residual integral or it can be evaluated numerically.\nThe point of this calculation is that in the appendix we compute this expansion using a different technique and obtaining the same result.\nIt is also useful to check numerically that the expansions are actually quite a good  approximation.\n\nIt is illustrative to consider also the case where $m$ is even. In that case there is a triple pole at $s=-m$ and we obtain a term proportional to $\\ln g$ and $(\\ln g)^2$. It can be worked out\nbut we leave it as an exercise for the interest reader.\n\n\n\\subsection{Small coupling expansion of $c_{m,\\bar{m}}(g)$}\n\nWe can now apply the technique to the function $\\tilde{\\phi}_{m\\bar{m}}$ defined in (\\ref{phitdef}). For weak coupling we close the contour on the right hand side and pick up the simple poles\nat $s=2 k$, with integer $k \\geq 1$. The residues at those poles give the weak coupling expansion\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g)= (-1)^{m+\\bar{m}} \\sum_{k=1}^{\\infty}g^{2 k+1} \\frac{(2k+1) \\zeta(2k+1) \\cos(\\pi k) \\Gamma^2 (2 k+1)}{\\Gamma(k+1-m)\\Gamma(k+2+m)\\Gamma(k+1-\\bar{m})\\Gamma(k+2+\\bar{m})}  \\label{qho}\n\\end{equation}\nwhich agrees precisely with (\\ref{CS}). Interestingly, the required extra minus sign just comes from closing the contour on the right.\nThe result in (\\ref{qho}) is not the full result, we need to add to it the contribution from the second term in (\\ref{weak}). Using the approximation\n(\\ref{phiap}), and assuming for simplicity that $K_1$ is even, we find for $R(K_1)$:\n\\begin{equation}\nR(K_1) \\simeq i(4g)^{K_1+2} (-)^{\\frac{1}{2} K_1+m+\\bar{m}} \\int_{c-i\\infty}^{c+i\\infty}\\frac{ds}{2\\pi}\\, \\frac{K_1+s}{\\sin\\frac{\\pi s}{2}}\\, \\frac{(4g)^{s-1}}{s^3}, \\ \\ \\ (K_1\\rightarrow\\infty)\n\\end{equation}\nwhich clearly vanishes when $K_1\\rightarrow\\infty$ if $g<\\frac{1}{4}$. Otherwise it diverges and consequently the series does not converge.\n\n\n\n\\subsection{Large coupling expansion of $c_{m,\\bar{m}}(g)$}\n\n\nAs we already pointed out, to expand $c_{m, \\bar{m}}$ at strong coupling we close the contour on the left side according to the discussion in\nsec.\\ref{sec:gc}. The poles are at $s=-n$ with $n=0,1,2,...$ and with a careful analysis of the residues we obtain precisely the coefficients expected\nat strong coupling (\\ref{CL}), which proves the conjecture in \\cite{bes} for any $m,\\bar{m}$. The analysis is slightly different for even and odd $n$.\n\n\nThe most straight-forward case is $s=-2 k-1$, $k\\ge 1$, when there are simple poles due to the factor $\\zeta(1+s) \\Gamma^2 (1+s)$ which has\nresidue $\\zeta'(-2 k)\/((2 k)!)^2$. The result (\\ref{CL}) is obtained directly, in fact for this case it is evident that the coefficients\nare the analytical continuation of the small coupling ones.\n\nAt the particular value $s=-1$, the apparent double pole of $\\zeta(1+s) \\Gamma^2 (1+s)$ is reduced to a simple pole by the factor $(s+1)$.\nWorking out the residue it gives the coefficient\n\\begin{equation}\n\\bar{c}_{m, \\bar{m}}^{(1)} = - \\frac{1}{\\pi}\\frac{1}{(2 m+1) (2 \\bar{m}+1)}\n\\end{equation}\nwhich indeed is the right strong coupling coefficient (\\ref{CL01}).\n\nNow we consider the case $s=-2 k$, with $k \\geq 0$ integer. Again we have only simple poles.\nLet us first look at the pole at $s=0$. We observe that, in the denominator, $\\Gamma(1- m)$ always has a pole for $m \\geq 1$, which is the allowed\nrange for $m$. In addition if $\\Gamma(1-\\bar{m})$ also has a pole so there will be no overall pole at $s=0$ and the function is zero.\nTo have non-zero coefficients $\\Gamma(1- \\bar{m})$ has to have no pole. This sets $\\bar{m}=0$. Computing the residue in this case\nwe obtain the coefficient proportional to $g$\n\\begin{equation}\nc_{m,\\bar{m}}^{(0)}= \\delta_{\\bar{m},0}\n\\end{equation}\nwhich matches the corresponding strong coupling coefficient as obtained from string theory \\cite{afs} (see also (\\ref{CL01})).\n\n\nFor $s=-2 k$, $k=1,2,3,...$ we observe that both  $\\Gamma(-k+1-m)$ and $\\Gamma(-k+1 - \\bar{m})$ always have poles for the range of interest\n$m \\geq 1$, $\\bar{m}\\geq 0$. The other two gamma functions in the denominator will not have poles for small enough values of $k$ such\nthat $-k +2 +\\bar{m}>0$. Therefore, for $k< 2+ \\bar{m}$ there is a simple pole at $s= - 2 k$. The residue is\n\\begin{equation}\n \\mbox{Res}\\bigg[\\frac{\\Gamma^2(1+s)}{\\sin \\frac{\\pi s}{2} \\ \\Gamma(\\frac{s+2 - 2 m}{2}) \\ \\Gamma(\\frac{s+2 - 2 \\bar{m}}{2})}, s=-2 k \\bigg]\n = \\frac{(-1)^{m+\\bar{m}+k} \\ \\Gamma(m+k) \\ \\Gamma(\\bar{m}+k)}{2 \\pi \\ \\Gamma^2 (2 k)}\n\\end{equation}\nUsing this residue we find that the coefficients agree with the strong coupling expansion coefficients $c_{m,\\bar{m}}^{(n)}$ obtained in \\cite{bhl}\n(see eq.(\\ref{CL})). For $-k +2 +\\bar{m} \\leq 0$, the pole of $\\Gamma(-k +2 +\\bar{m})$ starts contributing resulting in no net pole.\nThus, the series terminates at $k=2+\\bar{m}$, which again is in agreement with the strong coupling coefficients.\n\n\nAs in the case of weak coupling there is a remainder $R(-K_2)$. That integral gets smaller as we increase $K_2$ but after certain value of $K_2$ it\nstarts increasing regardless of what large the value of $g$. A lengthy but simple computation shows that such value is $K_2=8\\pi g$ and therefore\nthe maximum precision that we can obtain at strong coupling is\n\\begin{equation}\nR(-8\\pi g) = (-)^{m+\\bar{m}+1} \\frac{5}{32\\pi^3} \\frac{e^{-8\\pi g}}{g^{\\frac{3}{2}}} \\left(1+\\mathcal{O}\\left(\\frac{1}{g}\\right)\\right)  \\label{mp}\n\\end{equation}\nwhere we only kept the leading term in the large $g$ expansion of $R(-8\\pi g)$.\n\n\\bigskip\n\nAs we explain at the beginning of this section, this derivation proves the conjecture made in \\cite{bes} that the coefficients of the strong and weak\ncoupling are simply related. This comes out naturally from the integral representation (\\ref{exp}) of $c_{m, \\bar{m}}$ by closing up the\ncontour differently for strong and weak coupling.\n\n\n\n\\section{Summing the dressing phase}\n\nIn this section we assume $|x_1|>1$, $|x_2| > 1$ as appropriate for the problem we are studying \\cite{bes}. $x_1, x_2$ are $g$-dependent, however, here\nwe assume them fixed and consider only the $g$-dependence of the phase through $c_{m, \\bar{m}}(g)$. One needs to consider further the $g$-dependence of $x_1, x_2$, which depending on\nsolution one is interested in may give different terms, such as $\\ln g$ terms\\footnote{We thank A. Tseytlin for pointing this out to us.} \\cite{rs}.\nGiven that\n\\begin{eqnarray}\n\\chi(x_1,x_2,g) =-2 \\sum_{\\bar{m}=0}^{\\infty}\\sum_{m=\\bar{m}+1}^{\\infty} \\frac{\\tilde{c}_{m,\\bar{m}}(g) }{x_1^{m-\\bar{m}} x_2^{m+\\bar{m}+1}}\n\\end{eqnarray}\nand using eq.(\\ref{cmmbar}) we obtain, by performing the sums explicitly\\footnote{Although we followed a different route, we arrive at an expression very similar to the one obtained by Dorey, Hofman and Maldacena \\cite{dhm}. In fact they are related by a change of variables. Another related integral representation was found in \\cite{ksv}. The weak coupling expansion of the DHM representation was discussed in \\cite{Bajnok}.\nOur main contribution in this section is in how to systematically expand the function $\\chi(x_1,x_2,g)$ at weak and strong coupling.}:\n\\begin{equation}\n\\chi(x_1,x_2)\n= -2 x_2 \\int_0^{\\pi} \\frac{d \\mu}{\\pi}\\int_0^{\\pi} \\frac{d \\nu}{\\pi} \\frac{e^{i(\\mu+\\nu)}}{(x_1 x_2 e^{2 i \\mu}-1)(x_2^2 e^{2 i (\\mu+\\nu)}-1)}[\\gamma \\bar{g}+\n\\arg \\Gamma(1+ i \\bar{g})]  \\label{qoi}\n\\end{equation}\nIt is more convenient to analyze the derivative\n\\begin{equation}\n\\partial^2_g \\chi(x_1,x_2)=32  x_2 \\int_0^{\\pi} \\frac{d \\mu}{\\pi}\\int_0^{\\pi} \\frac{d \\nu}{\\pi} \\frac{e^{ i (\\mu+\\nu)}(\\sin \\mu \\sin \\nu)^2}{(x_1 x_2 e^{2 i \\mu}-1)(x_2^2 e^{2 i (\\mu+\\nu)}-1)}\\mbox{Im}[\\psi'(1+ i \\bar{g})]\n\\end{equation}\nwhich has the form (\\ref{fdef}) with\n\\begin{equation}\nF_{\\chi}(\\mu,\\nu) = \\frac{32  x_2}{\\pi^2}  \\frac{e^{ i (\\mu+\\nu)} \\sin \\mu \\sin \\nu }{(x_1 x_2 e^{2 i \\mu}-1)(x_2^2 e^{2 i (\\mu+\\nu)}-1)}\n\\label{Fchidef}\n\\end{equation}\nWe can now use the method described in the previous section to make a straight-forward small and large coupling expansion  of $\\chi(x_1,x_2,g)$.\n\n\n\\subsection{Small coupling expansion}\n\n First we find the weak coupling expansion of $\\chi$. This can be obtained by using the method of shifting the contour or by\nsimply expanding (\\ref{qoi}) in small $g$\n\\begin{equation}\n\\chi(x_1,x_2) = \\sum_{k=1}^{\\infty}\\chi^{(k)}(x_1,x_2) g^{2 k+1}\n\\end{equation}\nwhere\n\\begin{equation}\n\\chi^{(k)}(x_1,x_2) =\\frac{1}{2} \\frac{(-1)^{k+1} 4^{2 k-1}  \\zeta(2k+1) }{2 k+1}\\, \\phi(k)\n\\end{equation}\nand\n\\begin{equation}\n\\phi(k)=32 x_2  \\int_0^{\\pi} \\frac{d \\mu}{\\pi}\\int_0^{\\pi} \\frac{d \\nu}{\\pi}\\frac{(\\sin \\mu \\sin \\nu)^{2 k+1}e^{i (\\mu+\\nu)}}{(x_1 x_2 e^{2 i \\mu}-1)(x_2^2 e^{2 i (\\mu+\\nu)}-1)}\n\\end{equation}\nUsing $y= e^{2 i \\mu}, z=e^{2 i \\nu}$ we can write this integral as a double integral over two unit circles\n\\begin{equation}\n\\phi(k)= \\frac{2 x_2}{ \\pi^2 4^{n}}\\oint dy dz \\frac{(y-1)^{n+1} (z-1)^{n+1}}{y^{\\frac{n}{2}+1} z^{\\frac{n}{2}+1}}\\frac{1}{(x_1 x_2 y -1)(x_2^2 y z - 1)}\n\\label{chismall}\n\\end{equation}\nwhere $n=2k$ is the position of the pole.  We use $n$ instead of $k$ for later use, now we can replace $n=2k$.\nThe simplest way to evaluate this integral is to expand it over the domain outside the unit circles. The only poles are those at infinity.\nFor convenience we consider further $y \\rightarrow 1\/y$, and $z \\rightarrow 1\/z$, then the integral becomes\n\\begin{equation}\n\\phi(k)= \\frac{2 x_2}{\\pi^2 4^{2 k}}\\oint dy dz \\frac{(1-y)^{2 k+1} (1-z)^{2k+1}}{y^k z^{k+1}}\\frac{1}{(x_1 x_2 -y)(x_2^2 - y z)}\n\\end{equation}\n Computing the residues of the poles at zero we obtain\n\\begin{equation}\n\\chi^{(k)}(x_1,x_2)=  \\frac{2x_2 (-1)^{k+1} \\zeta(2 k+1)}{2k+1}\\frac{1}{k! (k-1)!}\\frac{d^{k}}{d z^k} \\frac{d^{k-1}}{d y^{k-1}}[\\frac{(1-y)^{2 k+1} (1-z)^{2 k+1}}{(x_1 x_2 -y)(x_2^2- y z)}]\\bigg|_{z=0,y=0}  \\label{qko}\n\\end{equation}\nThe expansion coefficients at any order can be extracted right away from (\\ref{qko}). For example the first ones are\n\\begin{equation}\n\\chi^{(1)}(x_1,x_2)=-2\\frac{\\zeta(3)}{x_1 x_2^2}, \\quad \\quad \\chi^{(2)}(x_1,x_2)=2\\frac{x_1-2 x_2 +10 x_1 x_2^2}{x_1^2 x_2^4}\\zeta(5)\n\\end{equation}\nWe can write the result (\\ref{qko}) in terms of a finite double sum as\n\\begin{equation}\n\\chi^{(k)}(x_1,x_2)= 2 \\frac{ (-1)^{k+1} \\zeta(2 k+1)}{(2k+1)x_2^{2 k+1}}\\sum_{p=0}^{q-1} \\sum_{q=0}^k \\bino{2k+1}{p}\\bino{2k+1}{q} (-x_1 x_2)^p \\left(-\\frac{x_2}{x_1}\\right)^q\n\\end{equation}\n\n\n\n\n\n\\subsection{Large coupling expansion, odd coefficients}\n\nTo perform the strong coupling expansion let us use the same method as in the previous section. Analyzing eq.(\\ref{strong}) for $s=-2k-1$,\n$k=0,1,2, \\ldots$ the factor in front of $\\phi(s)$ actually vanishes because $\\zeta(-2k)=0$. It turns out, however, that $\\phi(s)$ has double poles\nthere. This is generic and can be seen by rewriting eq.(\\ref{phidef}) as\n\\begin{equation}\n\\phi(s) = \\int_0^\\pi d\\mu \\int_0^\\pi d\\nu \\,\\mu^s \\nu^s \\left(\\frac{\\sin\\mu\\sin\\nu}{\\mu\\nu}\\right)^s F(\\mu,\\nu)\n\\end{equation}\nWhen $s$ gets close to a negative integer $-n$ we can expand\n\\begin{equation}\n\\left(\\frac{\\mu\\nu}{\\sin\\mu\\sin\\nu}\\right)^n F(\\mu,\\nu) = \\sum_{l,l'} F_{l,l'} \\mu^{l} \\nu^{l'}\n\\end{equation}\nand perform the integrations\n\\begin{equation}\n\\phi(s) = \\sum_{l,l'}  F_{l,l'} \\frac{\\pi^{l+l'+2s+1}}{(l+s+1)(l'+s+1)}\n\\end{equation}\nwhich can now be extended to arbitrary values of $s$. It is clear that there are double poles at negative integers $s=-n$ and the coefficient is\nsimply $F_{(n-1),(n-1)}$. Therefore, the coefficients of the double poles are the diagonal coefficients of the double Taylor expansion.\n There is one point still to take into account which is that there are potential contributions also from the $\\mu=\\pi$ or $\\nu=\\pi$ limits. In fact\nit is convenient to express everything in terms of integrals from $0$ to $\\frac{\\pi}{2}$ only\n\\begin{equation}\n\\partial^2_g \\chi(x_1,x_2)= \\int_0^{\\frac{\\pi}{2}} d \\mu \\int_0^{\\frac{\\pi}{2}} d \\nu \\,\n \\sin \\mu \\sin \\nu\\, \\mbox{Im}[\\psi'(1+ i \\bar{g})]B_{\\chi}(\\mu,\\nu)\n\\end{equation}\nwhere\n\\begin{equation}\nB_{\\chi}(\\mu,\\nu) =F_{\\chi}(\\mu,\\nu)+F_{\\chi}(-\\mu,\\nu)+F_{\\chi}(\\mu,-\\nu)+F_{\\chi}(-\\mu,-\\nu)\n\\end{equation}\nwith $F_{\\chi}$ as defined in (\\ref{Fchidef}). When expanding in powers of $\\mu,\\nu$ we only get even powers which then means that the\ndouble poles are at odd values of $n$. This explains why we only get even powers of the coupling this way. For odd powers (namely $s$ even),\nthere are poles in the factor in front of $\\phi(s)$, not in $\\phi(s)$ itself. Going back to the odd powers we can simply write for the coefficient\n\\begin{equation}\n\\partial_g^2\\chi^{(-2k-1)}(x_1,x_2) = -2 (4g)^{-2k-2} (2k+1) \\pi (-)^k \\zeta'(-2k) \\bar{\\phi}(-2k-1)\n\\end{equation}\nwhere $\\bar{\\phi}(-2k-1)$ is the coefficient of the double pole which as we just said can be computed by a double Taylor expansion. There is a factor of\nfour in front since each term in $B_{\\chi}(\\mu,\\nu)$ contributes the same.\nMore precisely, extending $\\mu$, $\\nu$ to complex values we can compute it as\n\\begin{equation}\n\\bar{\\phi}(-2k-1) =  \\frac{128 x_2}{\\pi^2}\\frac{1}{(2\\pi i)^2} \\oint_{\\mathcal{C}_0} \\frac{d\\mu}{\\mu^{2k+1}} \\oint_{\\mathcal{C}_0} \\frac{d\\nu}{\\nu^{2k+1}}\n                     \\left(\\frac{\\mu\\nu}{\\sin\\mu\\sin\\nu}\\right)^{2k+1}\n                        \\frac{e^{ i (\\mu+\\nu)} \\sin \\mu \\sin \\nu }{(x_1 x_2 e^{2 i \\mu}-1)(x_2^2 e^{2 i (\\mu+\\nu)}-1)}\n\\end{equation}\nwhere ${\\mathcal{C}_0}$ denotes a small contour surrounding the origin. It is convenient to change variables to $y=e^{2i\\mu}$, $z=e^{2i\\nu}$ such that\n\\begin{equation}\n\\bar{\\phi}(-2k-1) =\n-4 \\frac{2 x_2}{ \\pi^2 4^{n}}\\frac{1}{(2\\pi i)^2}\\oint_{\\mathcal{C}_1} dy dz \\frac{(y-1)^{n+1} (z-1)^{n+1}}{y^{\\frac{n}{2}+1}\n             z^{\\frac{n}{2}+1}}\\frac{1}{(x_1 x_2 y -1)(x_2^2 y z - 1)}\n\\label{phiodd}\n\\end{equation}\nwhere $n=-2k-1$. We write it in this way to show that the integrand is similar to the one at small coupling (\\ref{chismall}).\nThe difference is that the integral is done now over contours surrounding $y=z=1$ whereas before they where at infinity. To obtain an explicit expression\nis now convenient to change variables to $\\omega_1=y-1$, $\\omega_1=(z-1)y$ and then expand the integrals in powers of $\\omega_{1,2}$ to get\n\\begin{equation}\n\\bar{\\phi}(-n) = -\\frac{4^{n+2}}{2\\pi^2 x_1 x_2^2} \\sum_{a=0}^{n-2} \\sum_{b=0}^a\\sum_{c=0}^{2n-4-a}\n               \\bino{n-2}{a-b}\\bino{\\frac{1}{2} n-1}{2n-4-a-c}\\bino{2n-4-a}{n-2-a}\n               \\left(\\frac{x_1x_2}{1-x_1x_2}\\right)^{b+1}\\left(\\frac{x_2^2}{1-x_2^2}\\right)^{c+1}\n\\end{equation}\nwhere we now used $n=2k+1$. Notice that all sums are over a finite range. The final formula is therefore\n\\begin{eqnarray}\n\\lefteqn{\\chi^{(-n)}(x_1,x_2) = \\frac{1}{\\pi} g^{-n-1}  (-)^{\\frac{n-1}{2}} \\frac{\\zeta'(1-n)}{n-1}  \\frac{1}{x_1 x_2^2} }\\ \\ \\ \\ \\  &&  \\\\\n                     && \\sum_{a=0}^{n-2} \\sum_{b=0}^a\\sum_{c=0}^{2n-4-a}\n               \\bino{n-2}{a-b}\\bino{\\frac{1}{2} n-1}{2n-4-a-c}\\bino{2n-4-a}{n-2-a}\n               \\left(\\frac{x_1x_2}{1-x_1x_2}\\right)^{b+1}\\left(\\frac{x_2^2}{1-x_2^2}\\right)^{c+1}  \\label{kio}\n\\end{eqnarray}\nfor $n$ odd. In the last step we integrated twice over $g$ since we were computing $\\partial_g^2 \\chi(x_1,x_2,g)$. The expression (\\ref{kio}) is not valid for $n=1$; however, this case can be considered separately and summations can be performed \\cite{af}. Although we derived this last expression for $n$ odd,\nit can be seen to also capture the correct $x_{1,2}$ dependence for $n$ even as we discuss below.\n\n\\subsection{Large coupling expansion, even coefficients}\n\nThe results in the previous section can be obtained in a simpler way for even $n=2k$. We take $k\\geq 1$; the case $n=0$ can be treated separately and the result is well known \\cite{af}. Using (\\ref{CL}) we can write\n\\begin{equation}\n\\chi^{(-2k)}(x_1,x_2)=-\\frac{\\zeta(2k)}{x_2 (-2 \\pi)^{2 k} \\Gamma(2k-1)}\\sum_{\\bar{m}=0}^{\\infty}\\sum_{m=\\bar{m}+1}^{\\infty}\\frac{\\Gamma(m+k)}{\\Gamma(m+2-k)}\\frac{\\Gamma(\\bar{m}+k)}{\\Gamma(\\bar{m}+2-k)}\n\\frac{1}{(x_1 x_2)^m}\\left(\\frac{x_1}{x_2}\\right)^{\\bar{m}}\n\\end{equation}\nAs in section 3 where we summed the weak coupling expansion, here we can extend the sum and compute\n\\begin{equation}\n\\tilde{D}^{(-2 k)}(y,z) \\equiv \\sum_{\\bar{m}=0}^{\\infty}\\sum_{m=0}^{\\infty}\\tilde{c}^{(-2k)}_{m, \\bar{m}} y^m z^{\\bar{m}}=\n\\frac{\\zeta(2k) \\Gamma(2k-1)}{2 (-2 \\pi)^{2 k}}(y-1)^{1-2k} y^{k-1} (z-1)^{1-2 k} z^{k-1}\n\\end{equation}\nIn order to perform the sums above we took $|y|<1$, $|z|<1$. We can then obtain back the coefficients $\\tilde{c}^{(-2k)}_{m, \\bar{m}}$ from\n\\begin{equation}\n\\tilde{c}^{(-2k)}_{m, \\bar{m}}=-\\frac{1}{4 \\pi^2}\\oint d y d z y^{-m-1} z^{-\\bar{m}-1}\\tilde{D}^{(-2 k)}(y,z)\n\\end{equation}\nwhere the integrals are over circles with radius smaller than unity. Replacing in  $\\chi^{(-2k)}(x_1,x_2)$ and performing the sums over $m, \\bar{m}$ we obtain\n\\begin{equation}\n\\chi^{(-2k)}(x_1,x_2)= \\frac{x_2 \\zeta(2k) \\Gamma(2k-1)}{4 \\pi^2 (-2 \\pi)^{2 k}}\\oint d y dz \\frac{(y-1)^{1-2k} y^{k-1}(z-1)^{1-2k} z^{k-1}}{(x_1 x_2 y-1)(x_2^2 y z -1)}\n\\end{equation}\nComparing with eq.(\\ref{phiodd}) and since there are no poles at infinity, we see why the result (\\ref{kio}) has the right $x_{1,2}$ dependence for $n$\neven. In this case, however\\footnote{For $n$ odd there are cuts so the following procedure does not give a simpler answer.}, we can find a simpler expression if we perform first the integral in $z$. We only have a simple pole at $z= \\frac{1}{x_2^2 y}$. Computing the residue at the pole we obtain an integral over $y$\n\\begin{equation}\n\\chi^{(-2k)}(x_1,x_2)= \\frac{i x_2^{2k-1} \\zeta(2k) \\Gamma(2k-1)}{2 \\pi (-2 \\pi)^{2k}}\\oint dy \\frac{y^{2k-2} (y-1)^{1-2k}}{(x_1 x_2 y-1)(1-x_2^2 y)^{2k-1}}\n\\end{equation}\nThere is a simple pole at $y=\\frac{1}{x_1 x_2}$ and a pole of order $2k-1$ at $y=\\frac{1}{x_2^2}$. Computing the residues we obtain\n\\begin{eqnarray}\n \\chi^{(-2k)}(x_1,x_2)&=& - \\frac{\\zeta(2k) \\Gamma(2k-1)x_2^{2k-1}}{(-2 \\pi)^{2k}}\\bigg[(1-x_1 x_2)^{1-2k} (1-\\frac{x_2}{x_1})^{1-2k}\\nonumber\\\\\n &+&\n \\frac{1}{x_2^{4k-2}(2k-2)!}\\frac{d^{2k-2}}{d y^{2k-2}} \\frac{y^{2k-2} (y-1)^{1-2k}}{1- x_1 x_2 y} \\bigg|_{y=\\frac{1}{x_2^2}}\\bigg]\n\\end{eqnarray}\nWe can further express the derivative term in terms of a finite double sum\n\\begin{eqnarray}\n\\chi^{(-2k)}(x_1,x_2)&=& - \\frac{\\zeta(2 k) \\Gamma(2k-1) x_2^{2k-1}}{(-2 \\pi)^{2 k}}\\bigg[(1- x_1 x_2)^{1-2 k} (1-\\frac{x_2}{x_1})^{1-2 k}\\\\\n&-& \\frac{x_2 (x_2^2-1)^{1-2 k}}{x_2-x_1}\\sum_{p=0}^{2k-2}\\sum_{m=0}^p  \\bino{2k-2}{p}\\bino{2k-2+m}{m} \\left(\\frac{x_1}{x_2-x_1}\\right)^p\n\\left(\\frac{x_1 (x_2^2-1)}{x_2-x_1}\\right)^{-m}\\bigg] \\nonumber\n\\end{eqnarray}\nThe result can be extracted right away for any $k$. For example $\\chi^{(-2)}(x_1,x_2)$ is\n\\begin{equation}\n\\chi^{(-2)}(x_1,x_2)=-\\frac{x_2}{24 (x_1 x_2-1)(x_2^2-1)}\n\\end{equation}\nThe results for $ \\chi^{(-2k)}(x_1,x_2)$ that we obtain match the corresponding expressions obtained in \\cite{bhl}.\n\n\\subsection{Large coupling expansion, exponential terms}\n\nFor the maximum precision at strong coupling we found in (\\ref{mp}) that $N=8 \\pi g$. Thus $N=8 \\pi g$ terms are to be summed in this case. The remainder $R_N$ can be summed over $m, \\bar{m}$ and we obtain exponential corrections\n\\begin{equation}\nR_N= - \\frac{5}{16 \\pi^3} \\frac{x_2}{(1+x_1 x_2)(x_2^2-1)}\\frac{e^{-8 \\pi g}}{g^{\\frac{3}{2}}} \\left(1+\\mathcal{O}\\left(\\frac{1}{g}\\right)\\right)\n\\end{equation}\nSuch exponential corrections appear in the all loop Bethe Ansatz, therefore they need to be included in the study of any particular solution.\n\n\n\\section{Summary and Outlook}\n\n In this paper we have analyzed the function $\\chi(x_1,x_2,g)$ that enters in the all-loop Bethe Ansatz for the $SL(2)$ sector of\n$\\mathcal{N}=4$ SYM theory. We found that the coefficients of its expansion in inverse powers of $x_1$ and $x_2$ can be written as\n\\begin{equation}\n\\tilde{c}_{m,\\bar{m}}(g)=\\frac{1}{2} i g (-1)^{m+\\bar{m}}  \\int_{c-i\\infty}^{c+i\\infty} \\frac{ds}{2 \\pi}\\, g^{s} \\frac{(1+s) \\pi}{\\sin \\frac{\\pi s}{2}}\n\\zeta(1+s) \\frac{\\Gamma^2(1+s)}{\\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  m})\\Gamma(\\frac{s}{2}{ \\scriptstyle + 2 + m})\n                          \\Gamma(\\frac{s}{2}{\\scriptstyle+1 -  \\bar{m}})\\Gamma(\\frac{s}{2} {\\scriptstyle + 2 + \\bar{m}})}\n\\end{equation}\nwhere $0<c<1$, which are well defined expressions for any $g$ real and positive. Moreover, by shifting the contour to the right or to the left,\nwe obtain an expansion for small or large $g$ that agrees with the known expressions. This proves the conjectured equivalence of both \nexpansions. For clarity we remind the reader that these coefficients are usually denoted as $c_{r,s}=2(r-1)(s-1) \\tilde{c}_{r,s}$ and $r,s$ are related to\n$m$, $\\bar{m}$ by $s=m+\\bar{m}+2$, $r=m-\\bar{m}+1$. The large coupling expansion is only asymptotic and we find that it is convenient to sum a\nnumber $K=8\\pi g$ of terms. In that case, the remainder, that we compute explicitly, can be estimated to be\n$R_K \\simeq (-)^{m+\\bar{m}+1} \\frac{5}{32\\pi^3} \\frac{e^{-8\\pi g}}{g^{\\frac{3}{2}}}$. The computation of the remainder gives a precise meaning to the\nstrong coupling expansion whose status was unclear in previous work \\cite{kl,fr}.\n\nWe then considered the expansion of $\\chi(x_1,x_2,g)$ in powers of $g$ for large and small coupling. We obtain that, for small coupling\n\\begin{equation}\n\\chi(x_1,x_2,g) = \\sum_{k=1}^\\infty \\frac{1}{2} \\frac{(-)^{k+1} 4^{2k-1}\\zeta(2k+1)}{2k+1} \\phi(k) g^{2k+1}\n\\end{equation}\nwhere\n\\begin{equation}\n\\phi(k)= \\frac{2 x_2}{ \\pi^2 4^{n}}\\oint_{\\mathcal{C}_\\infty} dy dz \\frac{(y-1)^{n+1} (z-1)^{n+1}}{y^{\\frac{n}{2}+1} z^{\\frac{n}{2}+1}}\\frac{1}{(x_1 x_2 y -1)(x_2^2 y z - 1)}\n\\end{equation}\nwith $n=2k$ and the integrals are done for a contour around infinity.\nFor large coupling we get an asymptotic expansion\n\\begin{equation}\n\\chi(x_1,x_2,g) = \\sum_{n=0}^N \\chi^{(-n)}(x_1,x_2) g^{1-n} + R_N\n\\end{equation}\nwhere, for odd $n$ we find\n\\begin{equation}\n\\chi^{-2k-1}(x_1,x_2) = -2\\ 4^{-2k-2} (2k+1) \\pi (-)^k \\zeta'(-2k) \\phi(-2k-1)\n\\end{equation}\nwhere\n\\begin{equation}\n\\phi(n) =-4 \\frac{2 x_2}{ \\pi^2 4^{n}}\\frac{1}{(2\\pi i)^2}\\oint_{\\mathcal{C}_1} dy dz \\frac{(y-1)^{n+1} (z-1)^{n+1}}{y^{\\frac{n}{2}+1}\n             z^{\\frac{n}{2}+1}}\\frac{1}{(x_1 x_2 y -1)(x_2^2 y z - 1)}\n\\end{equation}\nwhich is similar to the small coupling expression but with the contours now surrounding the point $y=z=1$. Finally, for even $n$ we find\n\\begin{equation}\n\\chi^{(-n)}(x_1,x_2)= \\frac{x_2 \\zeta(n) \\Gamma(n-1)}{4 \\pi^2 (-2 \\pi)^{n}}\\oint_{\\mathcal{C}_{1^-}} d y dz \\frac{(y-1)^{1-n} y^{\\frac{n}{2}-1}(z-1)^{1-n} z^{\\frac{n}{2}-1}}{(x_1 x_2 y-1)(x_2^2 y z -1)}\n\\end{equation}\nwhere $n=2k$ and the contours are circles around the origin with radius slightly smaller than $1$. All the residues can be evaluated very\nsimply in terms of finite sums of combinatorial symbols and appropriate functions of $x_1$, $x_2$.  Many of these functions were known but,\nto our knowledge, no generic expression was given for all of them such as the one we present here. We hope that the use of these results\nwould simplify the study of the all-loop Bethe Ansatz and its small and large coupling expansions.\n\n\n\n\\section{Acknowledgments}\n\nWe are  grateful to G. Korchemsky, A. Kotikov and  A. Tseytlin  for useful comments on the first version of this paper. \nThis work was supported in part by NSF under grant PHY-0805948, DOE under grant DE-FG02-91ER40681 and by the Alfred P. Sloan foundation.\nM.K. is grateful to the Aspen Center for Physics for hospitality during the initial stages of this work.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nClustering of data is one of the central problems, and it arises in many fields of science and engineering.\nAmong many related problems, \\emph{community recovery in graphs} has received considerable attention with applications in numerous domains such as social networks~\\cite{girvan2002community, fortunato2010community,porter2009communities}, computational biology~\\cite{chen2006detecting}, and machine learning~\\cite{huang2013consistent,shi2000normalized}. \nThe goal of the problem is to cluster data points into different communities based on \\emph{pairwise} information. Among a variety of models for the community recovery problem,\nthe stochastic block model (SBM)~\\cite{holland1983stochastic} and the censored block model (CBM)~\\cite{abbe2013conditional} have received significant attention in recent years.\nIn SBM, two data points in the same communities are more likely to be connected by an edge than the other edges. \nIn the case of CBM, each measurement returns the modulo-$2$ sum of the values assigned to the two nodes, possibly corrupted by Bernoulli noise.\n\n\nWhile these models reflect interactions between a pair of two nodes, there are numerous applications in which interactions occur across more than two nodes.\nOne such application is a folksonomy, a social network in which users can annotate items with different tags~\\cite{ghoshal2009random}.\nIn this application, the graph consists of nodes corresponding to different users, different items, and different tags. \nWhen user $i$ annotate item $j$ with tag $k$, one can view this as a hyperedge connecting node $i$, node $j$ and node $k$.\nTherefore, in order to cluster nodes of such a graph based on such interactions, one needs a model that can capture such three-way interactions. \nAnother application is molecular biology, in which multi-way interactions between distinct systems capture complex molecular interactions~\\cite{michoel2012alignment}.\nThere are also a broad range of applications in other domains including computer vision~\\cite{agarwal2006higher}, VLSI circuits~\\cite{karypis2000multilevel}, and categorical databases~\\cite{gibson1998clustering}.\n\n\n\n\nThese applications naturally motivate us to investigate a \\emph{hypergraph} setting in which measurements are of \\emph{multi-way} information type.\nSpecifically, we consider a simple yet practically-relevant model, which we name the generalized censored block model (GCBM).\nIn the GCBM, the $n$ data points are modeled as nodes in a \\emph{hypergraph}, and their interactions are encoded as hyperedges between the nodes. \nAs an initial effort, we focus on a simple setting in which there are two communities: each node taking either 0 or 1 depending on its affiliation.\nMore concretely, we consider a random $d$-uniform hypergraph in which each hyperedge connecting a set of $d$ nodes exists with probability $p$ and takes a function of the values assigned to the $d$ nodes.\nIn this work, inspired by applications in machine learning and channel coding, we study the following two types of measurements:\n\\begin{itemize}\n\t\\item  \\emph{the homogeneity measurement} that reveals whether or not the $d$ nodes are in the same community; and\n\t\\item \\emph{the parity measurement} that reveals the modulo-$2$ sum of the affiliation of the $d$ nodes.\n\\end{itemize}\nFurther, we study both the noiseless case and the noisy case.\t\n\n\n\\subsection{Main contributions}\nSpecialized to the $d=2$ case, the above two measurement models reduce to the CBM, in which the information-theoretic limit on the expected number of edges required for exact recovery is characterized as $p \\binom{n}{2}=\\frac{1}{2}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$~\\cite{abbe2014decoding, 7523889}. \nOn the other hand, the information-theoretic limits for the case of arbitrary $d$ has not been settled.\nThis precisely sets the goal of our paper:\nWe seek to characterize the information-theoretic limits on the sample complexity for exact recovery under the two models. \nA summary of our findings is as follows. For a fixed constant $d$, the information-theoretic limits are: \n\\begin{itemize}\n\t\\item  (the homogeneity measurement~case) $p {n \\choose d} =\\frac{2^{d-2}}{d}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ if $d$ is a fixed constant; and\n\t\\item (the parity measurement~case) $p {n \\choose d} =\\frac{1}{d}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ if $d$ is a fixed constant.\n\\end{itemize}\nFor the parity measurement~case, we also characterize the information-theoretic limits for a more general setting where $d$ can arbitrarily scale with $n$. \n\\begin{itemize}\n\t\\item (the parity measurement~case) $p {n \\choose d} =\\Theta \\left(\\frac{n \\log n}{d}\\right)$ if $d = o(\\log n)$; and\n\t\\item (the parity measurement~case) $p {n \\choose d} = \\Theta( n)$ if $d = \\Omega(\\log n)$.\n\\end{itemize}\n\n\\begin{table*}[t]\n\t\\caption{{\\bf Summary of main results.} The information-theoretic limits on sample complexity ($p\\binom{n}{d}$) are summarized. Here, $n$ denotes the number of nodes, $\\theta$ denotes the noise probability, and $d$ denotes the size of hyperedges. ``$d=f(n)$'' means that $d$ can scale with $n$, and ``$\\Theta_{\\theta,d}$'' implies that the constant involved depends on $\\theta$ and $d$.}\n\t\\label{table1}\n\t\\begin{center}\n\t\t\\begin{tabular}{| c || c | c| c| }\n\t\t\t\\hline\t\t\n\t\t\t  &$d=2$ &$d>2$ (const.) & $d=f(n)$\\\\\n\t\t\t \\hline \\hline\n\t\t\tHomogeneity & $\\frac{1}{2}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ & $\\frac{2^{d-2}}{d}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ & N\/A\\\\\n\t\t\tParity &$\\frac{1}{2}\\cdot\\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ & $\\frac{1}{d}\\cdot \\frac{n \\log n}{\\left(\\sqrt{1-\\theta}-\\sqrt{\\theta}\\right)^2}$ & $\\Theta_{\\theta,d}\\left( \\max\\left\\{n,~ \\frac{n\\log n}{d}\\right\\}\\right)$\\\\\n\t\t\t\\hline  \t\t\n\t\t\\end{tabular}\n\t\\end{center}\n\\end{table*}\n\n\n\n\nThese results provide some interesting implications to relevant applications such as subspace clustering and channel coding. \nIn particular, the results offer concrete guidelines as to how to choose $d$ that minimizes sample complexity while ensuring successful clustering. \nSee details in Sec.~\\ref{sec:model_just} and Sec.~\\ref{sec:MainResults}. \n\n\n\\subsection{Related work}\n\n\\subsubsection{The $d=2$ case} \nThe exact recovery problem in standard graphs ($d=2$) has been studied in great generality. \nIn SBM, both the fundamental limits and computationally efficient algorithms are investigated initially for the case of two communities~\\cite{abbe2016exact,7523889,MNS14a}, and recently for the case of an arbitrary number of communities~\\cite{abbe2015community}.\nIn CBM, \\cite{abbe2014decoding} characterizes the sample complexity limit, and \\cite{7523889} develops a computationally efficient algorithm that achieves the limit. \n\n\nAnother important recovery requirement is \\emph{detection}, which asks whether one can recover the clusters better than a random guess. The modern study of the detection problem in SBM is initiated by a paper by Decelle et al.~\\cite{decelle}, which conjectures\nphase transition phenomena for the detection problem\\footnote{In the paper, it is also conjectured that an information-computation gap might exist for the case of more than $3$ communites ($k\\geq 4$). This conjecture is also extensively studied in~\\cite{YC14, NN14, Mon15,BM16}, and is recently settled in~\\cite{abbe2015detection}.}.\nThis conjecture is initially tackled for the case of two communities. \nThe impossibility of the detection below the conjectured threshold is established in~\\cite{mossel2015reconstruction}, and it is proved in~\\cite{MNS14b, Mas14,bordenave} that the conjectured threshold can be achieved efficiently.\nThe conjecture for the arbitrary number of communities is recently settled by Abbe and Sandon~\\cite{abbe2015detection}.\nFor another line of researches, minimax-optimal rates are derived in~\\cite{zhang2016minimax}, and algorithms that achieve the rates are developed in~\\cite{gao2015achieving}. \nWe refer to a recent survey by Abbe~\\cite{abbe2017community} for more exhaustive information.\n\n\n\n\n\n\n\n\n\n\n\n\\subsubsection{The homogeneity measurement case}\n Recently, \\cite{JMLR:v18:16-100,ghoshdastidar2015consistency} consider a general model that includes our model as a special case (to be detailed in Sec.~\\ref{sec:PF}), and provide an upper bound on sample complexity for \\emph{almost exact} recovery, which allows a vanishing fraction of misclassified nodes.\nApplying their results to our model, their upper bound reduces to $p {n \\choose d}= \\Omega(n \\log^2n)$.\nWhether or not the sufficient condition is also necessary has been unknown.\n In this work, we show that it is not the case, demonstrating that the minimal sample complexity even for exact recovery is $\\Theta (n \\log n)$.\n  \nWe note that the homogeneity measurement case is closely related to subspace clustering, one of the popular problems in computer vision~\\cite{govindu2005tensor, chen2009spectral,agarwal2006higher}; See Sec.~\\ref{sec:subspace} for details. \n\n\n\n\n\\subsubsection{The parity measurement case} \nThe parity measurement case has been explored by~\\cite{watanabe2013message} in the context of random constraint satisfaction problems.\nThe case of $d=3$ has been well-studied: it is shown that the maximum likelihood decoder succeeds if $p{n \\choose 3} \\geq 2\\cdot \\frac{n\\log n}{(0.5-\\theta)^2}$~\\cite{watanabe2013message}. \nUnlike the prior result which only considers the case of $d=3$, we cover an arbitrary constant $d$, and characterize the sharp threshold on the sample complexity.  \n\nAbbe-Montanari~\\cite{abbe2013conditional} relate the parity measurement model to a channel coding problem in which random LDGM codes with a constant right-degree $d$~are employed.\nBy proving the concentration phenomenon of the mutual information between channel input and output, they demonstrate the existence of phase transition for an even $d$.\nOur results span \\emph{any} fixed $d$, and hence fully settle the phase transition (see Sec.~\\ref{sec:MainResults}).\n\n\\subsubsection{The stochastic block model for\n\thypergraphs}\nThere are several works which study the community recovery under SBM for hypergraphs.\nIn~\\cite{florescu2015spectral},  the authors explore the case of two equal-sized communities\\footnote{Actually, the main model in the paper is \\emph{the bipartite stochastic block model}, which is not a hypergraph model. However, the result for the hypergraph case follows as a corollary (see Theorem 5 therein).}. Specializing it to our model, one can readily show that detection is possible if $\\binom{n}{d}p =\\Omega(n)$. \nMoreover, \\cite{angelini} recently conjectures phase transition thresholds for detection.\nLastly, \\cite{wangetal} derives the minimax-optimal error rates, and generalizes the results in \\cite{zhang2016minimax} to the hypergraph case.\n\n\n\\subsubsection{Other relevant problems}\nCommunity recovery in hypergraphs bears similarities to other inference problems, in which the goal is to reconstruct data from multiple queries. Those problems include crowdsourced clustering~\\cite{vesdapunt2014crowdsourcing,ashtiani2016clustering}, group testing~\\cite{dorfman1943detection} and data exactration from histogram-type information~\\cite{7852208,7541526}. Here, one can make a connection to our problem by viewing each query as a hyperedge measurement. \nHowever, a distinction lies in the way that queries are collected. For instance, an adaptive measurement model is considered in the crowdsourced setting~\\cite{vesdapunt2014crowdsourcing,ashtiani2016clustering} unlike our non-adaptive setting in which hyperedges are sampled uniformly at random. \nHistogram-type information acts as a query in~\\cite{dorfman1943detection,7852208,7541526}.\n\n\\subsection{Paper organization}\nSec.~\\ref{sec:PF} introduces the considered model; \nin Sec.~\\ref{sec:MainResults}, our main results are presented along with some implications;\nin Sec.~\\ref{pf:thm1},~\\ref{pf:thm2} and~\\ref{pf:thm3}, we provide the proofs of the main theorems;\nSec.~\\ref{sec:simulation} presents experimental results that corroborate our theoretical findings and discuss interesting aspects in view of applications;\nand in Sec.~\\ref{sec:conclusion}, we conclude the paper with some future research directions. \n\n\\subsection{Notations}\nFor any two sequences $f(n)$ and $g(n)$: $f(n) = \\Omega(g(n))$ if there exists a positive constant $c$ such that $f(n)\\geq cg(n)$;\n $f(n)=O(g(n))$ if there exists a positive constant $c$ such that $f(n)\\leq c g(n)$;\n$f(n) = \\omega(g(n))$ if $\\lim_{n\\rightarrow \\infty} \\frac{f(n)}{g(n)} =\\infty$; $f(n) = o(g(n))$ if $\\lim_{n\\rightarrow \\infty} \\frac{f(n)}{g(n)} =0$;\n and $f(n)\\asymp g(n)$ or $f(n)=\\Theta(g(n))$ if there exist positive constants $c_1$ and $c_2$ such that $c_1g(n)\\leq f(n)\\leq c_2g(n)$.\n\n\n\n For a set $A$ and an integer $m\\leq |A|$, we denote $\\binom{A}{m} := \\{B \\subset A \\,:\\, |B|=m \\}.$ \n Let $[n]$ denote $\\{1,\\cdots,n\\}$.\n  Let $\\mathbf{e}_i$  be the $i^{\\text{th}}$ standard unit vector. \n  Let $\\mathbf{0}$ be the all-zero-vector and $\\mathbf{1}$ be the all-one-vector. \n We use $\\mathbb{I}\\{\\cdot\\}$ to denote an indicator function.\n Let ${\\sf D_{KL}}(p\\|q)$ be the Kullback-Leibler (KL) divergence between ${\\sf Bern}(p)$ and ${\\sf Bern}(q)$, i.e., ${\\sf D_{KL}}(p\\|q) := p\\log \\frac{p}{q}+(1-p)\\log\\frac{1-p}{1-q}$.\n We shall use $\\log(\\cdot)$ to indicate the natural logarithm.\n We use ${H}(\\cdot)$ to denote the binary entropy function.\n\n\n\n\\section{Generalized censored block models}\n\\label{sec:PF}\n \n \n Consider a collection of $n$ nodes $\\mathcal{V} = [n]$, each represented by a binary variable $X_i\\in\\{0,\\,1\\}$, $1\\leq i \\leq n$.  \nLet $\\mathbf{X}:=\\{X_i\\}_{1\\leq i \\leq n}$ be the ground-truth vector.\nLet $d$ denote the size of a hyperedge. \n Samples are obtained as per a \\emph{measurement hypergraph} $\\mathcal{H} = (\\mathcal{V},\\mathcal{E})$ where $\\mathcal{E}\\subset \\binom{[n]}{d}$.\nWe assume that each element in $\\binom{[n]}{d}$ belongs to $\\mathcal{E}$ independently with probability $p\\in[0,1]$. \\emph{Sample complexity} is defined as the number of hyperedges in a random measurement hypergraph, which is concentrated around  $p\\binom{n}{d}$ in the limit of $n$.\nEach sampled edge $E\\in \\mathcal{E}$ is associated with a noisy binary measurement $Y_E$:\n\\begin{align}\nY_{E} = f(X_{i_1},X_{i_2},\\cdots, X_{i_d}) \\oplus Z_E, \\label{def:model}\n\\end{align} where $f: \\{0,1\\}^d \\to \\{0,1\\}$ is some binary-valued function, $\\oplus$ denotes modulo-2 sum, and $Z_E \\overset{\\text{i.i.d.}}{\\sim} {\\sf Bern}(\\theta)$ is a random variable with noise rate $0\\leq \\theta<\\frac{1}{2}$. \nFor the choice of $f$, we focus on the two cases:\n\\begin{itemize}\n\\item \\emph{the homogeneity measurement:} \n\\begin{align*}\n~~~\\,f_h(X_{i_1},X_{i_2},\\cdots, X_{i_d}) = \\mathbb{I} \\{X_{i_1}= X_{i_2}=\\cdots= X_{i_d} \\}; \n\\end{align*}\n\\item \\emph{ the parity measurement:} \n\t\\begin{align*}\n\tf_p(X_{i_1},X_{i_2},\\cdots, X_{i_d}) = X_{i_1}\\oplus X_{i_2}\\oplus \\cdots \\oplus X_{i_d}.\n\t\\end{align*}\n\t\n\\end{itemize} \nLet $\\mathbf{Y}:= \\{Y_{E}\\}_{E\\in\\mathcal{E}}.$\nWe remark that when $d=2$, this reduces to CBM~\\cite{abbe2014decoding}. \n\nThe goal of this problem is to recover $\\mathbf{X}$ from $\\mathbf{Y}$. \nIn this work, we will focus on the case of even $d$ since the case of odd $d$ readily follows from the even case~\\cite{ahn2016community}.\nWhen $d$ is even, the conditional distribution of $\\mathbf{Y}|\\mathbf{X}$ is equal to that of $\\mathbf{Y}|\\mathbf{X}\\oplus\\mathbf{1}$.\nHence, given a recovery scheme $\\psi$, the probability of error is defined as \n\\[\nP_e(\\psi) := \\max_{\\mathbf{X}\\in \\{0,1\\}^n}  \\Pr\\left(\\psi(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}\\right).\n\\]\nWe intend to characterize the minimum sample complexity, above which there exists a recovery algorithm $\\psi$ such that \n$P_e(\\psi) \\to 0$ as $n$ tends to infinity, and under which $P_e(\\psi) \\nrightarrow 0$ for all algorithms. \n\n\\subsection{Relevant applications}\\label{sec:model_just}\n\n\\subsubsection{Subspace clustering and the homogeneity measurement} \\label{sec:subspace}\n\t\\begin{figure}\n\t\t\\centering\n\t\t\\includegraphics[width=.45\\textwidth]{figs\/fig1.pdf}\n\t\t\\caption{\\footnotesize{\\textbf{Connection to subspace clustering.} Subspace clustering is illustrated for a simple scenario in which the entire signal space is two-dimensional and data points are approximately lying on a union of two $1$-dimensional affine spaces (lines). A common procedure in the existing algorithms includes construction of a $d$-th order affinity tensor ($d\\geq 2$) each entry of which represents a quantity that captures a level of similarity across $d$ data points, so taking either 0 or 1 depending on the similarity level. For instance, the four points involved in $E_1$ in the figure lie near the same affine space, so the similarity measure is decided as $1$; on the other hand, the four points in $E_2$ span different affine spaces, so the similarity measure is decided as $0$.\n\t\tSince each data point does not exactly lie in a subspace, an error can occur in the decision---the similarity measurement can be noisy. Hence one can view this problem as the GCBM under the homogeneity measurement model.}\n\t\t\t\\label{fig:main1}}\n\t\\end{figure}\n\tSubspace clustering is a popular problem of which the task is to cluster $n$ data points that approximately lie in a union of lower-dimensional affine spaces.\n\tThe problem arises in a variety of applications such as motion segmentation~\\cite{vidal2008multiframe} and face clustering~\\cite{ho2003clustering}, where data points corresponding to the same class (tracked points on a moving object or faces of a person) lie on a single lower-dimensional subspace; for details, see~\\cite{vidalsurvey} and references therein.\n\tA common procedure of the existing algorithms for subspace clustering~\\cite{chen2009spectral, elhamifar2013sparse, dyer2013greedy,heckel2015robust} begins construction of a $d$-th order affinity tensor ($d\\geq 2$) whose entries represent \\emph{similarities} between every $d$ data points.\n\tSince this construction incurs a complexity that scales like $n^d$, sampling-based approaches are proposed in~\\cite{govindu2005tensor, chen2009spectral,agarwal2006higher}. \n\t\n\t\tA similarity between $d$ data points in prior works~\\cite{govindu2005tensor, chen2009spectral,agarwal2006higher} is defined such that it tends to $1$ if all of the $d$ points are on the same subspace and $0$ otherwise. Hence, restricted to the two-subspace case, one can view a similarity over a $d$-tuple $E$ as a homogeneity measurement \\footnote{In subspace clustering, similarities can be sometimes noisy in that even though the $d$ data points are from the same (different) subspace, similarity can be $0$ ($1$). Note that $Z_E$ in \\eqref{def:model} precisely captures this noise.}. \n\t\tBy setting the probability of each entry being sampled as $p$, one can relate this to our homogeneity measurement model; see Fig.~\\ref{fig:main1} for visual illustration.\n\n\t\n\n\t\n\t\n\t\n\t\n \\subsubsection{Channel coding and the parity measurement}\n\t\\begin{figure}\n\t\t\\centering\n\t\t\\includegraphics[width=.45\\textwidth]{figs\/fig2.png}\n\t\t\\caption{\\footnotesize{\\textbf{Connection to channel coding.} GCBM with the parity information can be seen as a channel coding problem which employs random LDGM codes with a constant right-degree $d$.\n\t\tTo see this, we first draw a random $d$-uniform hypergraph with $n$ nodes, where each edge of size $d$ appears with probability $p$. \n\t\tGiven the input sequence of $n$ information bits, the parity bits corresponding to all the sampled hyperedges are concatenated, forming a codeword. \n\t\tThe noisy measurement can be mapped to the output of a binary symmetric channel (BSC) with crossover probability $\\theta$, when fed by the codeword.\n\t\tA recovery algorithm $\\psi$ corresponds to the decoder which wishes to infer the $n$ information bits from the received signals. \n\t\tOne can then see that recovering communities in hypergraphs is equivalent to the above channel coding problem.}\n\t\t\t\\label{fig:main}}\n\t\\end{figure}\n\t\n\tThe community recovery problem has an inherent connection with channel coding problems~\\cite{abbe2014decoding, abbe2016exact}. \nTo see this, consider a communication setting which employs random LDGM codes with a constant right-degree $d$. \n\tTo make a connection, we begin by constructing a random $d$-uniform hypergraph with $n$ nodes, where each edge of size $d$ appears with probability $p$. \n\tGiven the input sequence of $n$ information bits, we then concatenate the parity bits with respect to the sampled hyperedges to form a codeword of average length $p \\binom{n}{d}$. \n\tNote that the expected code rate is $\\frac{n}{p{n \\choose d}}$.\nThe noisy measurement can be mapped to the output of a binary symmetric channel (BSC) with crossover probability $\\theta$, when fed by the codeword.\n\tA recovery algorithm $\\psi$ corresponds to the decoder which wishes to infer the $n$ information bits from the received signals. \n\tOne can then see that recovering communities in hypergraphs is equivalent to the above channel coding problem; see Fig.~\\ref{fig:main} for visual illustration.\n\t\n\t\n\n\t\n\n\n\n\n\\section{Main results}\n\\label{sec:MainResults}\n \n\\subsection{The homogeneity measurement\n\t case}\n\\begin{theorem}\\label{thm:main1}\n\tFix $d \\geq 2$ and $\\epsilon >0$. Under the homogeneity measurement case ($f = f_h$),\n\t\\begin{align*}\n\t\t\\begin{cases}\n\t\t\t\\inf_{\\psi}P_e(\\psi) \\to 0 & \\text{if}~ \\binom{n}{d}p \\geq (1+\\epsilon)\\frac{2^{d-2}}{d} \\frac{n \\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}; \\\\\n\t\t\t\\inf_{\\psi}P_e(\\psi) \\not\\rightarrow 0 &\\text{if}~ \\binom{n}{d}p \\leq (1-\\epsilon)\\frac{2^{d-2}}{d} \\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}.\n\t\t\\end{cases}\n\t\\end{align*}\n\\end{theorem}\n\\begin{IEEEproof} See Sec.~\\ref{pf:thm1}.\\end{IEEEproof}\n\nWe first make a comparison to the result in~\\cite{JMLR:v18:16-100}.\nWhile~\\cite{JMLR:v18:16-100} models a fairly general similarity measurement, it considers a more relaxed performance metric, so called almost exact recovery, which allows a vanishing fraction of misclassified nodes; and provides a sufficient condition on sample complexity under the setting~\\cite{hajek2016information}. \nOn the other hand, we identify the sufficient and necessary condition for \\emph{exact} recovery, thereby characterizing the fundamental limit.\nSpecializing their result to the model of our interest, the sufficient condition in~\\cite{JMLR:v18:16-100} reads $\\Omega(n \\log^2n)$, which comes with an extra $\\log n$ factor gap to the optimality. \n\n\nOne interesting observation in Theorem~\\ref{thm:main1} is that the sample complexity limit is proportional to $\\frac{2^{d-2}}{d}$.\nThis suggests that the amount of information that one hyperedge reveals on average is approximately $\\frac{d}{2^{d-2}}$ bits.\nTo understand why this is the case, consider a setting in which $\\theta=0$ and an hyperedge $E=\\{i_1,i_2,\\cdots, i_d\\}$ is observed.\nThe case of $Y_E=1$ implies $X_{i_1} = X_{i_2} = \\cdots = X_{i_d}$, in which there are only two uncertain cases (all zeros and all ones), i.e., the $d-1$ bits of information are revealed. \nOn the other hand, the case of $Y_E=0$ provides much less information as it rules out only two possible cases ($X_{i_1} = X_{i_2} = \\cdots = X_{i_d} = 0$ and $X_{i_1} = X_{i_2} = \\cdots = X_{i_d} = 1$) out of $2^d$ possible candidates. This amounts to roughly $d\\cdot \\frac{2}{2^{d}}$ bits.\nSince $Y_E=1$ occurs with probability $\\frac{1}{2^{d-1}}$, the amount of information that one hyperedge can carry on average should read about $\\frac{1}{2^{d-1}}(d-1) + \\left(1 - \\frac{1}{2^{d-1}}\\right)\\frac{d}{2^{d-1}} \\approx \\frac{d}{2^{d-2}}$.\n\nRelying on the connection to subspace clustering elaborated in Sec.~\\ref{sec:model_just}, one can make an interesting implication from Theorem~\\ref{thm:main1}. The result offers a detailed guideline as to how to choose $d$ for sample-efficient subspace clustering.\nIn the case where the measurement quality reflected in $\\theta$ is irrelevant of the number $d$ of data points involved in a measurement, the limit increases in $d$.\nIn practical applications, however, $\\theta$ may depend on $d$. Actually, the quality of similarity measure can improve as more data points get involved, making $\\theta$ decrease as $d$ increases. \nIn this case, choosing $d$ as small as possible minimizes $\\frac{2^{d-2}}{d}$ but may make $\\theta$ too large.\nHence, there might be a \\emph{sweet spot} on $d$ that minimizes the sample complexity.\nIt turns out this is indeed the case in practice. \nActually we identify such optimal $d^*$ for motion segmentation application; see Sec.~\\ref{sec:exhom} for details.\n\n\n\\subsection{The parity measurement case}\n\n\\begin{theorem}\n\t\\label{thm:main2}\nFix $d \\geq 2$ and $\\epsilon >0$. Under the parity measurement case ($f = f_p$),\n\t\\begin{align*}\n\t\\begin{cases}\n\\inf_{\\psi}P_e (\\psi) \\rightarrow 0 & \\text{if}~ \\binom{n}{d}p \\geq  (1+\\epsilon)\\frac{1}{d}\\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}\\,; \\\\\n\t\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0 & \\text{if}~ \\binom{n}{d}p \\leq (1+\\epsilon)\\frac{1}{d}\\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}\\,.\n\t\\end{cases}\n\t\\end{align*}\n\\end{theorem}\n\\begin{IEEEproof} See Sec.\\ref{pf:thm2}.\\end{IEEEproof}\n\nNotice that for a fixed $\\theta$ and $n$, the minimum sample complexity is proportional to $\\frac{1}{d}$, hence decreases in $d$ unlike the homogeneity measurement~case. \n\nIn view of the connection made in Sec.~\\ref{sec:model_just}, a natural question that arises in the context of channel coding is to ask how far the rate of the random LDGM code is from the capacity of the BSC channel.\nThe connection can help immediately answer the question. \nWe see from Theorem~\\ref{thm:main2} that the rate of the LDGM code is\n\\begin{align*}\n\\frac{n}{p{n \\choose d}} = \\frac{d(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}{\\log n}.\n\\end{align*} \nThis suggests that the code rate increases in $d$. Note that as long as $d$ is constant, the rate vanishes, being far from the capacity of BSC channel $1-H(\\theta)$.\nOn the other hand, it is not clear as to whether or not the random LDGM code can achieve a non-vanishing code rate possibly by increasing the value of $d$.\n To check this, we explore the case where $d$ can scale with $n$. \nBy symmetry, it suffices to consider the case $2\\leq d\\leq n\/2$.\nMoreover, to avoid pathological cases where $d$ fluctuates as $n$ increases, we assume that $d$ is a monotone function. \n\\begin{theorem}\n\\label{thm:main3}\nFix $d$, a monotone function of $n$ such that $2\\leq d \\leq n\/2$, and $\\epsilon > 0$.\nUnder the parity measurement case ($f = f_p$),\n\\begin{itemize}\n\t\\item(upper bound) $\\inf_{\\psi}P_e (\\psi) \\rightarrow 0$ if \n\t\\begin{align}\n\t\\binom{n}{d}p &\\geq (1+\\epsilon) \\frac{5\/2}{d}\\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}~\\text{and} \\label{ubb1}\\\\\n\t\\binom{n}{d}p &\\geq (1+\\epsilon) 5\\log 2\\frac{n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}\\,;\\label{ubb2}\n\t \\intertext{\\item(lower bound)  $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ if}\n\t\\binom{n}{d} p &\\leq (1-\\epsilon) \\frac{1}{d} \\frac{n\\log n }{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}~\\text{or}\\label{lbb1}\\\\\n\t\\binom{n}{d} p &\\leq \\frac{n}{1-H(\\theta)}\\,. \\label{lbb2}\n\t\\end{align}\n\\end{itemize}\n\\end{theorem}\n\\begin{IEEEproof} See Sec.~\\ref{pf:thm3}.\\end{IEEEproof}\n\nTo see what these results mean, consider the two cases: $d = \\Omega(\\log n)$ and $d = o(\\log n)$.\nIn the case $d = \\Omega(\\log n)$, the theorem says that for a fixed $\\theta$,\n\\begin{align*}\n\\inf_{\\psi}P_e(\\psi)\\to 0 &\\text{ if } \\binom{n}{d}p > \\beta_1 n~\\text{and}\\\\\n\\inf_{\\psi}P_e(\\psi)\\not\\to 0 &\\text{ if } \\binom{n}{d}p < \\beta_2 n\n\\,,\n\\end{align*} where $\\beta_1 = \\max\\left\\{\\frac{5\/2 \\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2 d},~ \\frac{5\\log 2}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2} \\right\\}\\asymp 1$ and $\\beta_2=\\max\\left\\{ \\frac{\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2d},~ \\frac{1}{1-H(\\theta)}\\right\\}\\asymp 1$. \nThis suggests that as long as $d$ grows asymptotically larger than $\\log n$, we can  achieve an order-wise tight sample complexity that is linear in $n$.\n On the other hand, in the case $d = o(\\log n)$, the theorem asserts that \\begin{align*}\n\\inf_{\\psi}P_e(\\psi)\\to 0 &\\text{ if }\\binom{n}{d}p >\\frac{5\/2}{d} \\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}~\\text{and}\\\\\n\\inf_{\\psi}P_e(\\psi) \\not\\to 0 &\\text{ if }\\binom{n}{d}p < \\frac{1}{d} \\frac{n\\log n }{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}\\,.\n\\end{align*} \nThis implies that one cannot achieve the linear-order sample complexity if $d$ grows slower than $\\log n$. \n The implication of the above two can be formally stated as follows. \n\n\n\n\\begin{corollary}\n\t\\label{thm:main_dstar}\n\tFor $d=o(\\log n)$, reliable recovery is impossible with linear-order sample complexity, while it is possible for $d=\\Omega(\\log n)$. \n\\end{corollary}\n\n\nFrom this, we see that the random LDGM code can achieve a constant rate as soon as $d=\\Omega(\\log n)$.\n\n\n\n\n\\section{Proof of Theorem~\\ref{thm:main1}}\n\\label{pf:thm1}\n\nThe achievability and converse proofs are streamlined with the help of Lemmas~\\ref{lem:bound} and \\ref{lem:ind}, of which the proofs are left in Appendix~\\ref{appenA}. \nFor illustrative purpose, we focus on the noisy case $(\\theta > 0)$ and assume that $n$ is even.\nFor a vector $\\mathbf{V}:=\\{V_i\\}_{1\\leq i\\leq n} \\in \\{0,1\\}^{n}$, we define\n\\begin{align}\n\\begin{cases}\nf_{\\{i_1,i_2,\\cdots, i_d \\}} ({\\bf V}) &:=  f(V_{i_1}, V_{i_2},\\cdots , V_{i_d}); \\\\\n\\mathbf{F}(\\mathbf{V})& :=  \\{f_E(\\mathbf{V})\\}_{E\\in \\mathcal{E}};\\\\\n{\\sf d_H}(\\mathbf{V}) & :=  \\|\\mathbf{Y}-\\mathbf{F}\\mathbf{(V)}\\|_1\\,.\n\\end{cases}\\label{defs}\n\\end{align}\nLet $\\psi_{\\text{ML}}$ be the maximum likelihood (ML) decoder.\n One can easily verify that \n\\begin{align*}\n\\psi_\\text{ML}(\\mathbf{Y}) = \\arg \\min _{\\mathbf{V} \\in \\{0,1\\}^{n}} {\\sf d_H}(\\mathbf{V}),\n\\end{align*}\nwhere ties are randomly broken.\n\n\n\\subsection{Achievability proof}\n We intend to prove that\n\\begin{align*}\n\\max_{\\mathbf{X}\\in \\{0,1\\}^{n}} \\Pr(\\psi_{\\text{ML}}(\\mathbf{Y})\\notin  \\{\\mathbf{X},\\mathbf{X}\\oplus \\mathbf{1}\\} ) \\rightarrow 0\n\\end{align*}\nunder the claimed condition.\nLet $ \\mathbf{A} \\in \\{0,1\\}^n$ be the ground-truth vector. Without loss of generality, assume that the first $k$ coordinates are $0$'s and the next $n-k$ coordinates are $1$'s, where $ 0 \\leq k \\leq n\/2$.  \n\nLet $\\mathcal{A}_{i,j}$ denote the collection of all vectors whose coordinates are different from that of $\\mathbf{A}$ in $i$ many positions among the first $k$ coordinates and in $j$ many positions among the next $n-k$ coordinates.\nNote that $\\mathcal{A}_{0,0} =\\{\\mathbf{A}\\}$ and $\\mathcal{A}_{k,n-k} =\\{\\mathbf{A}\\oplus \\mathbf{1}\\}$.\nThus, a decoding algorithm $\\psi$ is successful if and only if the output $\\psi(\\mathbf{Y}) \\in\\mathcal{A}_{0,0} \\cup \\mathcal{A}_{k,n-k}$.\nLet $\\mathcal{I}:=\\{(i,j)~:~ (i,j)\\notin \\{ (0,0), (k,n-k)\\},~0\\leq i \\leq k,~ \\text{and}~0\\leq j\\leq n-k \\} $.\nWe also define\n\\begin{align*}\n\\mathbf{V}_{i,j} := ( \\underbrace{\\underbrace{1,\\cdots,1}_{i},0,\\cdots, 0}_{k}, \\underbrace{\\underbrace{0,\\cdots ,0}_{j},1,\\cdots,1}_{n-k} )\\,,\n\\end{align*}\nwhich is a representative vector of $\\mathcal{A}_{i,j}$.\n\nUsing these notations and the union bound, we get:\n\\begin{align}\n\t&\\Pr(\\psi_{\\text{ML}}(\\mathbf{Y})\\notin \\{\\mathbf{X},\\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} =\\mathbf{A} ) \\nonumber \\\\\n\t&\\overset{(a)}{\\leq}    \\Pr\\left(\\bigcup_{(i,j)\\in \\mathcal{I}}\\bigcup_{ \\mathbf{V} \\in \\mathcal{A}_{i,j}} \\left[ {\\sf d_H}(\\mathbf{V}) \\leq {\\sf d_H}(\\mathbf{A}) \\right] \\right) \\nonumber\\\\\n\t&\\leq \\sum_{(i,j)\\in \\mathcal{I}}~~\\sum_{\\mathbf{V} \\in \\mathcal{A}_{i,j}}\\Pr\\left( {\\sf d_H}(\\mathbf{V}) \\leq {\\sf d_H}(\\mathbf{A})  \\right) \\nonumber\\\\\n\t&= \\sum_{(i,j)\\in \\mathcal{I}} \\binom{k}{i} \\binom{n-k}{j}\\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A})  \\right) \\label{upperbound},\n\\end{align}\nwhere  the step ($a$) follows from the fact that the ML decoder outputs $\\mathbf{V} \\notin \\{\\mathbf{A},\\mathbf{A}\\oplus \\mathbf{1}\\}$ if ${\\sf d_H}(\\mathbf{V}) \\leq {\\sf d_H}(\\mathbf{A})$.\n\nTo compare ${\\sf d_H}(\\mathbf{V}_{i,j})$ with ${\\sf d_H}(\\mathbf{A})$, we define the set of \\emph{distinctive} hyperedges, i.e., the set of hyperedges such that $f_E (\\mathbf{A}) \\neq f_E (\\mathbf{V}_{i,j})$:\n \\begin{align}\n\\mathcal{F}_{i,j}:= \\left\\{ E\\in \\binom{[n]}{d} ~:~f_E(\\mathbf{A})\\neq f_E(\\mathbf{V}_{i,j}) \\right\\} \\label{comparison}\n\\end{align} and $\\mathcal{E}_{i,j}: = \\mathcal{E} \\cap \\mathcal{F}_{i,j}$.\nBy definition, for $E\\in\\mathcal{E}_{i,j} $, $Y_E =f_E(\\mathbf{A})$ if $Z_E =0$; $Y_E =f_E(\\mathbf{V}_{i,j})$ otherwise. Hence, ${\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A})$ if and only if $ \\sum_{E\\in \\mathcal{E}_{i,j} } Z_E \\geq \\frac{|\\mathcal{E}_{i,j}|}{2}$. This leads to:\n\\ifdefined1\n\t\\begin{align}\n\t\t&\\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A})  \\right)\\nonumber\\\\ &= \\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|}\\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A}) ~| ~ |\\mathcal{E}_{i,j}| = \\ell\\right) \\Pr(|\\mathcal{E}_{i,j}| = \\ell) \\label{expansion}\\\\\n\t\t&=\\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|}\\Pr\\left( \\sum_{E\\in \\mathcal{E}_{i,j} } Z_E \\geq \\frac{\\ell}{2} ~\\bigg| ~ |\\mathcal{E}_{i,j}| = \\ell\\right)\\cdot \\binom{|\\mathcal{F}_{i,j}|}{\\ell}p^{\\ell}(1-p)^{|\\mathcal{F}_{i,j}|-\\ell} \\nonumber\\\\\n\t\t&\\overset{(a)}{\\leq}  \\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|} e^{-\\ell D(0.5\\| \\theta)} \\binom{|\\mathcal{F}_{i,j}|}{\\ell}p^{\\ell}(1-p)^{|\\mathcal{F}_{i,j}|-\\ell} \\nonumber\\\\\n\t\t&= (1-(1-e^{-D(0.5\\| \\theta )})p)^{|\\mathcal{F}_{i,j}|}\\,, \\label{exp1}\t\n\t\\end{align} \n\\else\n\t\\begin{align}\n\t\t&\\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A})  \\right)\\nonumber\\\\ &= \\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|}\\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A}) ~| ~ |\\mathcal{E}_{i,j}| = \\ell\\right) \\Pr(|\\mathcal{E}_{i,j}| = \\ell) \\label{expansion}\\\\\n\t\t&=\\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|}\\Pr\\left( \\sum_{E\\in \\mathcal{E}_{i,j} } Z_E \\geq \\frac{\\ell}{2} ~\\bigg| ~ |\\mathcal{E}_{i,j}| = \\ell\\right)\\nonumber\\\\\n\t\t&~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~\\cdot \\binom{|\\mathcal{F}_{i,j}|}{\\ell}p^{\\ell}(1-p)^{|\\mathcal{F}_{i,j}|-\\ell} \\nonumber\\\\\n\t\t&\\overset{(a)}{\\leq}  \\sum_{\\ell=1}^{|\\mathcal{F}_{i,j}|} e^{-\\ell D(0.5\\| \\theta)} \\binom{|\\mathcal{F}_{i,j}|}{\\ell}p^{\\ell}(1-p)^{|\\mathcal{F}_{i,j}|-\\ell} \\nonumber\\\\\n\t\t&= (1-(1-e^{-D(0.5\\| \\theta )})p)^{|\\mathcal{F}_{i,j}|}\\,, \\label{exp1}\t\n\t\\end{align} \n\\fi\n\nwhere ($a$) is due to Chernoff-Hoeffding~\\cite{hoeffding1963probability}. \nBy letting $p' := (1-e^{-D(0.5\\| \\theta )})p$ and applying this to \\eqref{upperbound}, we get:\n\\begin{align}\n\t&\\Pr(\\psi_{\\text{ML}}(\\mathbf{Y})\\notin \\{\\mathbf{X},\\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} =\\mathbf{A} ) \\nonumber\\\\\n\t&\\leq \\sum_{(i,j)\\in \\mathcal{I}} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} \\label{upperbound2}.\n\\end{align}  \n\nTo give a tight upper bound on \\eqref{upperbound2}, one needs a tight lower bound on the size of the set of distinctive hyperedges, i.e., $|\\mathcal{F}_{i,j}|$. \nIt turns out that bounding $|{\\cal F}_{i,j}|$ when $d > 2$ requires non-trivial combinatorial counting.\nNote that this was not the case when $d = 2$ since $|{\\cal F}_{i,j}|$ can be exactly computed via simple counting.\nIndeed, one of our main technical contributions lies in the derivation of tight bounds on $|{\\cal F}_{i,j}|$, which we detail below.\n\n\n\n\\begin{fact} \\label{fact1} The number of distinctive hyperedges can be calculated as follows:\n\\ifdefined1\n\t\\begin{align}\n\t\t&|\\mathcal{F}_{i,j}| =  \\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{k-i}{d-\\ell} +\\sum_{\\ell=1}^{d-1} \\binom{j}{\\ell}\\binom{n-k-j}{d-\\ell} +\\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{n-k-j}{d-\\ell}+ \\sum_{\\ell=1}^{d-1} \\binom{k-i}{\\ell}\\binom{j}{d-\\ell}. \\label{count}\n\t\\end{align}\n\\else\n\t\\begin{align}\n\t\t&|\\mathcal{F}_{i,j}| =  \\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{k-i}{d-\\ell} +\\sum_{\\ell=1}^{d-1} \\binom{j}{\\ell}\\binom{n-k-j}{d-\\ell} \\nonumber\n\t\t\\\\&+\\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{n-k-j}{d-\\ell}+ \\sum_{\\ell=1}^{d-1} \\binom{k-i}{\\ell}\\binom{j}{d-\\ell}. \\label{count}\n\t\\end{align}\n\\fi\n\t\n\\end{fact}\n\\begin{IEEEproof}\nConsider a hyperedge $E = \\{i_1, i_2, \\cdots, i_d\\}$ such that $f_E(\\mathbf{A}) = 1$. That is, the hyperedge is connected only to a subset of the first $k$ nodes or only to a subset of the last $n-k$ nodes. \nThat is, $\\{i_1, i_2, \\cdots, i_d\\} \\subset \\{1,2,\\cdots, k\\}$ or $\\{i_1, i_2, \\cdots, i_d\\} \\subset \\{k+1,k+2,\\cdots, n\\}$.\nConsider the first case, i.e., $\\{i_1, i_2, \\cdots, i_d\\} \\subset \\{1,2,\\cdots, k\\}$. \nIn order for this hyperedge to be distinctive, i.e., $f_E(\\mathbf{V}_{i,j}) = 0$, at least one element of $E$ must be in $\\{1,2,\\cdots,i\\}$, and at least one element of $E$ must be in $\\{i+1, \\cdots, k\\}$.\nThus, the total number of such distinctive hyperedges is $\\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{k-i}{d-\\ell}$.\nSimilarly, one can count the number of distinctive hyperedges for the case $\\{i_1, i_2, \\cdots, i_d\\} \\subset \\{k+1,k+2,\\cdots, n\\}$: $\\sum_{\\ell=1}^{d-1} \\binom{j}{\\ell}\\binom{n-k-j}{d-\\ell}$.\nBy considering the opposite case where $f_E(\\mathbf{A}) = 0$ and $f_E(\\mathbf{V}_{i,j}) = 1$, one can also obtain the remaining two terms, proving the statement. \\end{IEEEproof}\n\n\n\n\nBy symmetry, we see that  $|\\mathcal{F}_{i,j}| = |\\mathcal{F}_{k-i,n-k-j}|$.\nHence,\n\\begin{align}\n&\\sum_{(i,j)\\in \\mathcal{I}} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} \\\\\n&\\leq \\sum_{(i,j)\\in \\mathcal{I},~j\\leq\\lfloor\\frac{n-k}{2} \\rfloor} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} + \\sum_{(i,j)\\in \\mathcal{I},~j\\geq\\lceil\\frac{n-k}{2} \\rceil} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|}\\\\\n&= \\sum_{(i,j)\\in \\mathcal{I},~j\\leq\\lfloor\\frac{n-k}{2} \\rfloor} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} + \\sum_{(i,j)\\in \\mathcal{I},~j\\leq\\lfloor\\frac{n-k}{2} \\rfloor} \\binom{k}{k-i} \\binom{n-k}{n-k-j}(1-p')^{|\\mathcal{F}_{k-i,n-k-j}|}\\\\\n&= 2\\sum_{(i,j)\\in \\mathcal{I},~j\\leq\\lfloor\\frac{n-k}{2} \\rfloor} \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} =: 2V.\n\\end{align}\n\n\n\nIn order to bound $V$, for a fixed constant $\\delta >0$, we define the following index sets: $\\mathcal{I}_\\text{big} := \\{(i,j)\\in \\mathcal{I} : \\left[j \\leq \\frac{n-k}{2}\\right] \\cap \\left(\\left[i \\geq \\delta n\\right] \\cup \\left[j \\geq \\delta n\\right]\\right)\\}$ and $\\mathcal{I}_\\text{small} := \\{(i,j)\\in \\mathcal{I} : \\left[j \\leq \\frac{n-k}{2}\\right] \\cap \\left(\\left[i < \\delta n\\right] \\cap \\left[j < \\delta n\\right]\\right)\\}$.\nThen, \n\\begin{align}\nV &= \\sum_{(i,j)\\in \\mathcal{I}_\\text{big} \\cup \\mathcal{I}_\\text{big}}  \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|}\\\\\n&= \\sum_{(i,j)\\in \\mathcal{I}_\\text{big}}  \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|} \\label{upperfirst}\\\\\n&+ \\sum_{(i,j)\\in \\mathcal{I}_\\text{small}}  \\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|}.\\label{uppersec}\n\\end{align}\nLet us first consider \\eqref{upperfirst}. \nWithout loss of generality, assume $i\\geq \\delta n$.\nThen it follows from \\eqref{count} that \n\\begin{align*}\n\t|\\mathcal{F}_{i,j}| &\\geq \\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{n-k-j}{d-\\ell} \\overset{(a)}{\\geq} \\sum_{\\ell=1}^{d-1} \\binom{i}{\\ell}\\binom{n\/4}{d-\\ell}\\\\ \n\t&\\geq\\binom{i}{1}\\binom{n\/4}{d-1} \\geq \\delta n \\binom{n\/4}{d-1} = \\Omega(n^d), \n\\end{align*}\nwhere ($a$) follows from the hypothesis that $j\\leq \\frac{n-k}{2}$ and $k\\leq \\frac{n}{2}$.\nThen it is easy to show that \\eqref{upperfirst}$\\to 0$:\n\\begin{align*}\n\t\\eqref{upperfirst} &\\leq \\sum_{(i,j)\\in \\mathcal{I}} \\binom{k}{i} \\binom{n-k}{j}e^{-p'\\Omega(n^d)} \\\\\n\t&\\overset{(a)}{=}e ^{-\\Omega(n\\log n )}\\sum_{(i,j)\\in \\mathcal{I}} \\binom{k}{i} \\binom{n-k}{j}\\leq e ^{-\\Omega(n\\log n )} 2^{n} \\to 0, \n\\end{align*}\nwhere ($a$) follows from the fact that $p'\\Omega(n^d)\\asymp p\\binom{n}{d} =\\Omega(n\\log n)$.\n\nNow we consider \\eqref{uppersec}. \nThe following lemma gives a tight lower bound on $|\\mathcal{F}_{i,j}|$ for this case:\n\\begin{lemma}\\label{lem:bound}\n\tFor $i< \\delta n$ and $j<\\delta n $,\n\t\\[\n\t|\\mathcal{F}_{i,j}|\\geq (i+j)\\cdot\\frac{(1-2\\delta)^{d-1}}{2^{d-2}}  \\binom{n-1}{d-1}.\n\t\\]\n\\end{lemma}\n\\begin{IEEEproof}\n\tSee Sec.~\\ref{app1}.\n\t\\end{IEEEproof}\nApplying Lemma~\\ref{lem:bound} to \\eqref{uppersec}, we get:\n\\begin{align}\n\t\\eqref{uppersec}\n\t&=\\sum_{(i,j)\\in \\mathcal{I}_\\text{small}}\\binom{k}{i} \\binom{n-k}{j}(1-p')^{|\\mathcal{F}_{i,j}|}\\nonumber\\\\\n\t&\\overset{(a)}{\\leq} \\sum_{(i,j)\\in \\mathcal{I}_\\text{small}} n^i n^j e^{-p'(i+j)\\cdot\\frac{(1-2\\delta)^{d-1}}{2^{d-2}}  \\binom{n-1}{d-1}} \\nonumber\\\\\n\t&= \\sum_{(i,j)\\in \\mathcal{I}_\\text{small}} \\exp\\left((i+j)\\left\\{\\log n-\\frac{p'(1-2\\delta)^{d-1}\\binom{n-1}{d-1}}{2^{d-2}} \\right\\} \\right), \\label{c1}\n\\end{align}\nwhere ($a$) follows due to $\\binom{k}{i}\\leq n^i$, $\\binom{n-k}{j}\\leq n^j$ and Lemma~\\ref{lem:bound}.\nA straightforward computation yields $(1-e^{-{\\sf D_{KL}}(0.5\\| \\theta )})= (\\sqrt{1-\\theta}-\\sqrt{\\theta})^2$, so the claimed condition \\begin{align*}\n\\binom{n}{d}p \\geq (1+\\epsilon)\\frac{2^{d-2}}{d} \\frac{n \\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}\n\\end{align*} becomes \n\\begin{align}\n\t\\binom{n}{d}p' \\geq (1+\\epsilon) \\frac{2^{d-2}}{d} n\\log n\\,.\\label{suff}\n\\end{align}\nUnder the claimed condition, we get:\n\\begin{align*}\n\t\\frac{p'(1-2\\delta)^{d-1}\\binom{n-1}{d-1}}{2^{d-2}} &=\\frac{p'(1-2\\delta)^{d-1}\\binom{n}{d}\\frac{d}{n}}{2^{d-2}}\\\\\n\t&\\overset{(a)}{\\geq} (1+\\epsilon)(1-2\\delta)^{d-1} \\log n\\\\\n\t&\\overset{(b)}{\\geq} (1+\\epsilon\/2) \\log n,\n\\end{align*}\nwhere ($a$) follows from \\eqref{suff}; ($b$) follows by choosing $\\delta $ sufficiently small ($(1-2\\delta)^{d-1}\\to 0$ as $\\delta\\to 0$).\nThus, \\eqref{c1} converges to $0$ as $n$ tends to infinity. This completes the proof.\n\n\\subsection{Converse proof}\nLet $\\mathcal{V}_{1\/2}$ be the collection of $n$-dimensional vectors, each consisting of $n\/2$ number of $0$'s and $n\/2$ number of $1$'s.   Moreover, let $\\mathbf{X}_{1\/2}$ be the random vector sampled uniformly at random over $\\mathcal{V}_{1\/2}$. For any scheme $\\psi$, by definition of $P_e (\\psi)$, we see that \n\\begin{align*}\n\t\\Pr\\left(\\psi(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{X}_{1\/2} \\right)  \\leq P_e(\\psi)\n\\end{align*}\nand hence\n\\begin{align*}\n\t\\inf_{\\psi } \\Pr\\left(\\psi(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{X}_{1\/2} \\right)  \\leq \\inf_{\\psi }P_e(\\psi).\n\\end{align*}\nRelying on this inequality, our proof strategy is to show that the left hand side is strictly bounded away from $0$.\nNote that the infimum in the left hand side is achieved by $\\psi_{\\text{ML},1\/2}$:\n\\begin{align*}\t\\psi_{\\text{ML},1\/2}(\\mathbf{Y}) = \\arg \\min _{\\mathbf{V} \\in \\mathcal{V}_{1\/2}} {\\sf d_H}(\\mathbf{V})\\,.\n\\end{align*}\t\nBy letting $\\mathbf{A} = ( \\underbrace{0,\\cdots, 0}_{n\/2}, \\underbrace{1,\\cdots,1}_{n\/2} )$, \nwe obtain \n\\begin{align*}\n\t&\\Pr\\left(\\psi_{\\text{ML},1\/2}(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{X}_{1\/2} \\right)\\\\\n\t= &\\Pr\\left(\\psi_{\\text{ML},1\/2}(\\mathbf{Y}) \\notin \\{\\mathbf{A},~ \\mathbf{A}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{A}\\right).\n\\end{align*}\nLet $S$ be the success event:\n\\begin{align*}\nS :=\\bigcap_{\\mathbf{V}\\in \\mathcal{V}_{1\/2}\\setminus \\{\\mathbf{A}, \\mathbf{A}\\oplus \\mathbf{1}\\} } \\left[{\\sf d_H}(\\mathbf{V})> {\\sf d_H}(\\mathbf{A})\\right]\\,.\n\\end{align*}\nOne can show that $\\Pr\\left(\\psi_{\\text{ML},1\/2}(\\mathbf{Y}) \\notin \\{\\mathbf{A},~ \\mathbf{A}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{A}\\right) \\geq \\frac{1}{3} \\Pr(S^c)$.\nThis is due to the fact that given $S^c$, there are more than two candidates for $\\arg\\min_{\\mathbf{V}\\in \\mathcal{V}_{1\/2}}{\\sf d_H}(\\mathbf{V})$, so \n\\[\n\\Pr\\left(\\psi_{\\text{ML},1\/2}(\\mathbf{Y}) \\notin \\{\\mathbf{A},~ \\mathbf{A}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{A},~S^c\\right) \\geq \\frac{1}{3}.\n\\]\nHence, it suffices to show $\\Pr(S)\\to 0$.\nTo give a tight upper bound on $\\Pr(S)$, we construct a subset of nodes  such that any two nodes in the subset do not share the same hyperedge. To this end, we use the deletion technique (alteration technique)~\\cite{alon2004probabilistic}.\nWe first choose a big subset \n\\[\n\\mathcal{R}_{\\text{big}}=\\left\\{1,2,\\cdots,r \\right\\} \\bigcup \\left\\{\\frac{n}{2}+1,\\frac{n}{2}+2,\\cdots, \\frac{n}{2}+r  \\right\\},\n\\]\nwhere $r=\\lceil \\frac{n}{\\log^7 n} \\rceil$; then erase every node in $\\mathcal{R}_{\\text{big}}$ which shares hyperedges with other nodes in $\\mathcal{R}_{\\text{big}}$ to obtain $\\mathcal{R}_{\\text{res}}$. The following lemma guarantees that $\\mathcal{R}_{\\text{res}}$ has a comparable size as that of $\\mathcal{R}_{\\text{big}}$ with high probability. For the later usage, we allow $d$ to scale with $n$. \n\\begin{lemma} \\label{lem:ind}\n\tSuppose $\\binom{n}{d}p=O(n\\log n)$ and $d=O(\\log n)$. Let $\\mathcal{R}_{\\text{big}}$ be a subset of $[n]$ and $\\mathcal{R}_{\\text{res}}$ be a subset obtained from $\\mathcal{R}_{\\text{big}}$ by deleting every node which shares hyperedges with other nodes in $\\mathcal{R}_{\\text{big}}$.\n\tIf $|\\mathcal{R}_{\\text{big}}| = O(n\/\\log^7 n)$, then \n\twith probability approaching $1$, \n\t\\begin{align*} \n\t\t|\\mathcal{R}_{\\text{res}}|=(1-o(1))|\\mathcal{R}_{\\text{big}}|\\,.\n\t\\end{align*}\n\\end{lemma}\n\\begin{IEEEproof}\n\tSee Sec.~\\ref{pf:ind}.\n\\end{IEEEproof}\nLet $\\Delta$ be the event that $|\\mathcal{R}_{\\text{res}}|\\geq (1-o(1))|\\mathcal{R}_{\\text{big}}|$.\nGiven the event $\\Delta$, both $\\{1,2,\\cdots,n\/2\\} \\cap \\mathcal{R}_{\\text{res}} \\label{set1}$ and $\\left\\{\\frac{n}{2}+1,\\frac{n}{2}+2,\\cdots,n\\right\\} \\cap \\mathcal{R}_{\\text{res}} \\label{set2}$ contain more than $r\/2$ elements.\nWe collect $r\/2$ elements from each of these sets and denote by $\\{ b_1, b_2 , \\cdots, b_{r\/2} \\}$ and $\\{ c_1, c_2 , \\cdots, c_{r\/2} \\}$, respectively. \nSuppose that there exist ($k,\\ell$) such that ${\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_k}) \\leq {\\sf d_H}(\\mathbf{A})$ and ${\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{c_\\ell}) \\leq {\\sf d_H}(\\mathbf{A})$. \nConditioning on $\\Delta$, there are no hyperedges that contain both $b_k$ and $c_\\ell$, so ${\\sf d_H}(\\mathbf{A} \\oplus\\mathbf{e}_{b_k} \\oplus \\mathbf{e}_{c_\\ell} )\\leq {\\sf d_H}(\\mathbf{A})$. Hence conditioning on $\\Delta$,\n\\begin{align*}\n\tS &\\subset   \\bigcap_{k=1}^{r\/2} \\left[ {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_k}) >{\\sf d_H}(\\mathbf{A}) \\right] \\bigcup \\bigcap_{k=1}^{r\/2} \\left[ {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{c_k}) >{\\sf d_H}(\\mathbf{A}) \\right]\\\\\n\t&=:S'.\n\\end{align*}\nSince the event $\\Delta$ occurs with probability approaching $1$ and $S \\subset S'$, $\\Pr(S) \\simeq \\Pr(S~|~\\Delta) \\leq \\Pr(S'~|~\\Delta)$. \nHence, \n\\begin{align*}\n\t\\Pr(S) &\\lesssim \\Pr\\left (S' ~|~ \\Delta \\right)\\\\\n\t&\\leq 2\\Pr\\left ( \\bigcap_{k=1}^{r\/2} \\left[ {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_k}) >{\\sf d_H}(\\mathbf{A}) \\right] ~\\bigg|~ \\Delta \\right) \\\\ \n\t&\\overset{(a)}{=} 2\\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)^{r\/2}, \n\\end{align*}\nwhere $(a)$ follows from the fact that the events $\\{[{\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_k}) >{\\sf d_H}(\\mathbf{A})]\\}_{1\\leq k \\leq r\/2 }$ are mutually independent conditioned on $\\Delta$.\nLet $p' = (1-e^{-{\\sf D_{KL}}(0.5\\| \\theta )})p$ as in the achievability proof. We intend to give an upper bound on $\\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)$,\ni.e., a lower bound on $\\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)$.\nRecall from the proof of achievability (see \\eqref{exp1}) that\n\\begin{align*}\n \\Pr\\left( {\\sf d_H}(\\mathbf{V}_{i,j}) \\leq {\\sf d_H}(\\mathbf{A})  \\right) \\leq (1-(1-e^{-{\\sf D_{KL}}(0.5\\| \\theta )})p)^{|\\mathcal{F}_{i,j}|}\\,.\n\\end{align*}\nFor the case of $\\mathbf{V}_{i,j} =\\mathbf{A} \\oplus \\mathbf{e}_{b_1}$, $|\\mathcal{F}_{i,j}|=  \\binom{n\/2-1}{d-1} + \\binom{n\/2}{d-1}$ (note that $k=n\/2, i=1, j=0$). So we get:\n\\begin{align}\n\\Pr\\left( {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A})  \\right) \\leq e^{-p'\\left( \\binom{n\/2-1}{d-1} + \\binom{n\/2}{d-1}\\right)}\\,. \\label{exp:6}\n\\end{align} \n On the other hand, what we need for the converse proof is a lower bound. In what follows, we will show that \\eqref{exp:6} is tight enough, more precisely, \n\\begin{align}\n&\\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)\\geq (1-o(1))e^{-2p' \\binom{n\/2-1}{d-1}}\\,. \\label{tight}\n\\end{align}\nWhat this means at a high level is that Chernoff-Hoeffding is tight enough.\nLet us condition on the event $\\Delta$ for the time being. As in \\eqref{comparison}, we define the following sets:\n\\begin{align*}\n&\\mathcal{F}_{b_1}:= \\left\\{ E\\in \\binom{[n]}{d} ~:~ f_E(\\mathbf{A})\\neq f_E(\\mathbf{A} \\oplus \\mathbf{e}_{b_1})\\right\\}\n\\end{align*}\n and $\\mathcal{E}_{b_1}: = \\mathcal{E} \\cap \\mathcal{F}_{b_1}$. \n By definition, for $E\\in\\mathcal{E}_{b_1}$, $Y_E =f_E(\\mathbf{A})$ if $Z_E =0$; $Y_E =f_E(\\mathbf{A} \\oplus \\mathbf{e}_{b_1})$ otherwise. We see that\n \\[\n {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A}) \\Leftrightarrow  \\sum_{E\\in \\mathcal{E}_{b_1}} Z_E \\geq \\frac{|\\mathcal{E}_{b_1}|}{2}\\,.\n \\] \n Now we want to manipulate $\\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)$ as we did in \\eqref{expansion}.\n However, here we need to give a careful attention to the range of summation as $\\mathcal{E}_{b_1}$ cannot be equal to $\\mathcal{F}_{b_1}$ due to the following reason. Since we conditioned on $\\Delta$, no hyperedge in $\\mathcal{E}_{b_1}$ intersects $\\mathcal{R}_{\\text{big}}$ at more than one node (indeed, $b_1$ is the only node where they intersect); in other words, $\\mathcal{E}_{b_1}$ is always contained in a proper subset of $\\mathcal{F}_{b_1}$: \n\\begin{align}\n\\mathcal{E}_{b_1} &\\subset \\mathcal{F}_{b_1} \\setminus \\left\\{E\\in \\binom{[n]}{d}~:~ |E\\cap \\mathcal{R}_{\\text{big}}| \\geq 2  \\right\\} =:\\mathcal{G}_{b_1}. \\label{def:G}\n\\end{align}\n\n\nNow a manipulation similar to~\\eqref{expansion} yields:\n\\begin{align*}\n&\\Pr\\left( {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A}) ~|~ \\Delta\\right)\\nonumber\\\\ \n&= \\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|}\\Pr\\left({\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A}) ~\\big| ~ |\\mathcal{E}_{b_1}| = \\ell,~\\Delta\\right) \\Pr(|\\mathcal{E}_{b_1}| = \\ell| \\Delta).\n\\end{align*}\nSince the event $\\Delta$ is related to the occurrence of edges in \n\\begin{align*}\n\\left\\{E\\in \\binom{[n]}{d}~:~ |E\\cap \\mathcal{R}_{\\text{big}}| \\geq 2  \\right\\}\n\\end{align*}\nand ${\\cal E}_{b_1}$ is subject to \\eqref{def:G}, \n$\\Delta$ and $[|\\mathcal{E}_{b_1}|=\\ell]$ are independent. \n Thus, we get:\n\\begin{align}\n&\\Pr\\left( {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A}) ~|~ \\Delta\\right)\\nonumber\\\\ \n&= \\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|}\\Pr\\left({\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{A}) ~\\big| ~ |\\mathcal{E}_{b_1}| = \\ell, ~\\Delta\\right) \\Pr(|\\mathcal{E}_{b_1}| = \\ell) \\nonumber\\\\\n&=\\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|}\\Pr\\left( \\sum_{E\\in \\mathcal{E}_{b_1} } Z_E \\geq \\frac{\\ell}{2} \\bigg|  |\\mathcal{E}_{b_1}| = \\ell\\right) \\binom{|\\mathcal{G}_{b_1}|}{\\ell}\\frac{p^{\\ell}}{(1-p)^{\\ell-|\\mathcal{G}_{b_1}|}}. \\label{e1}\t\n\\end{align} \nBy the reverse Chernoff-Hoeffding bound~\\cite{hoeffding1963probability}, for a fixed $\\delta>0$, there exists $n_{\\delta}>0$ such that\n\\begin{align*}\n\\Pr\\left( \\sum_{E\\in \\mathcal{E}_{b_1} } Z_E \\geq \\frac{\\ell}{2} \\bigg|  |\\mathcal{E}_{b_1}| = \\ell\\right) \\geq e^{-(1+\\delta)\\ell {\\sf D_{KL}}(0.5\\|\\theta)}\n\\end{align*}\nfor all $\\ell \\geq n_{\\delta}$. Let $g_n$ be a sequence (to be determined) such that $g_n\\to \\infty$ as $n\\to \\infty$. For sufficiently large $n$, \n\\begin{align}\n\\eqref{e1}&\\geq \\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|} \\binom{|\\mathcal{G}_{b_1}|}{\\ell}\\frac{(e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)}p)^{\\ell}}{(1-p)^{\\ell-|\\mathcal{G}_{b_1}|}}  \\label{firstex1} \\\\\n&-\\sum_{\\ell=1}^{g_n-1} \\binom{|\\mathcal{G}_{b_1}|}{\\ell}\\frac{(e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)}p)^{\\ell}}{(1-p)^{\\ell-|\\mathcal{G}_{b_1}|}}\\,.\\label{secondex1} \n\\end{align} \n\nActually one can choose $g_n$ so that \\eqref{secondex1} is negligible compared to \\eqref{firstex1}. To see this, we consider:\n\\begin{align}\n\\frac{\\eqref{secondex1}}{ \\eqref{firstex1}}  &\\leq \n\\frac{(1-p)^{|\\mathcal{G}_{b_1}|}\\sum_{\\ell=1}^{g_n-1}\\left(\n\t|\\mathcal{G}_{b_1}|\\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right)^\\ell}{ (1-p)^{|\\mathcal{G}_{b_1}|}\\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|}\\binom{|\\mathcal{G}_{b_1}|}{\\ell} \\left(\\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right)^\\ell} \\nonumber\\\\\n&= \\frac{\\sum_{\\ell=1}^{g_n-1}\\left(\n\t|\\mathcal{G}_{b_1}|\\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right)^\\ell}{\\left( 1+ \\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right)^{|\\mathcal{G}_{b_1}|} }\\nonumber\t\\\\\n&\\overset{(a)}{=}   \\frac{\\sum_{\\ell=1}^{g_n-1}\\left(\n\t|\\mathcal{G}_{b_1}|\\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right)^\\ell}{(1+o(1))\\exp\\left( |\\mathcal{G}_{b_1}| \\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\right) } \\nonumber \\\\\n&=: \\frac{\\sum_{\\ell=1}^{g_n-1} q^\\ell }{(1+o(1))e^q} \\label{thirdex1},\n\\end{align}\nwhere ($a$) follows from the fact that $\\lim_{x\\to 0+}\\frac{1+x}{e^{x}}=1$, and the last equation is due to the following definition: $q:= |\\mathcal{G}_{b_1}| \\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}$.\nOne can easily verify that\n$|\\mathcal{F}_{b_1}| =  \\binom{n\/2-1}{d-1} + \\binom{n\/2}{d-1}$ and $|\\mathcal{G}_{b_1}| =  \\binom{n\/2-1-r}{d-1} + \\binom{n\/2-r}{d-1}$.\nSince $r = o(n)$, $\\lim_{n\\to \\infty}|\\mathcal{G}_{b_1}|\/|\\mathcal{F}_{b_1}| \\to 1$. \nThus, \n\\begin{align}\nq &=|\\mathcal{G}_{b_1}| \\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\\\\n&\\asymp |\\mathcal{F}_{b_1}| \\frac{pe^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)}}{1-p}\\asymp n^{d-1} p = \\Omega(\\log n)\\,. \\label{div}\n\\end{align} \n\nTherefore, if one chooses $g_n=\\left\\lfloor \\log q\\right \\rfloor$, \n\t$$\\frac{\\eqref{secondex1}}{ \\eqref{firstex1}} = \\frac{\\sum_{\\ell=1}^{g_n-1} q^\\ell}{e^q} \\leq \\frac{g_n q^{g_n}}{e^q} \\leq \\frac{\\log q \\cdot q^{\\log q}}{e^q} = \\frac{\\log q \\cdot e^{(\\log q)^2}}{e^q} \\rightarrow 0,$$\n\tand thus $\\eqref{secondex1} = o(1)\\cdot \\eqref{firstex1}$.\n\nHence, we get:\n\\begin{align*}\n\\eqref{e1}&=\\eqref{firstex1}-\\eqref{secondex1}\\\\  &\\geq (1-o(1))  \\sum_{\\ell=1}^{|\\mathcal{G}_{b_1}|} \\binom{|\\mathcal{G}_{b_1}|}{\\ell}\\frac{(e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)}p)^{\\ell}}{(1-p)^{\\ell-|\\mathcal{G}_{b_1}|}}\\\\\n& = (1-o(1)) \\left(1- (1-e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)})p \\right)^{|\\mathcal{G}_{b_1}|} \\\\\n&\\overset{(a)}{\\geq} (1-o(1)) \\left(1- (1-e^{-(1+\\delta){\\sf D_{KL}}(0.5\\|\\theta)})p \\right)^{2\\binom{n\/2}{d-1}} \\\\\n&\\overset{(b)}{=} (1-o(1)) \\exp\\left(- 2\\binom{n\/2}{d-1} (1-e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)})p \\right),\n\\end{align*}\t\nwhere ($a$) follows since $|\\mathcal{G}_{b_1}|\\leq |\\mathcal{F}_{b_1}| \\leq  2\\binom{n\/2}{d-1}$; ($b$) follows from the fact that $\\lim_{x\\to 0+}\\frac{1+x}{e^{x}}=1$. As $\\delta>0$ can be chosen arbitrarily small, the term $e^{-(1+\\delta) {\\sf D_{KL}}(0.5\\|\\theta)}$ can be made arbitrarily close to $e^{- {\\sf D_{KL}}(0.5\\|\\theta)}$, which in turn ensures that the last term is essentially equal to \n\\[\n(1-o(1)) e^{-2p'\\binom{n\/2}{d-1}}.\n\\]\nApplying this to the previous upper bound on $\\Pr(S)$, we get:\n\\begin{align*}\n\t\\Pr(S) &\\leq \\Pr\\left (  {\\sf d_H}(\\mathbf{A} \\oplus \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{A})  ~\\big|~ \\Delta \\right)^{r\/2}\\nonumber\\\\\n\t&\\leq \\left(1-(1-o(1))e^{-2p' \\binom{n\/2}{d-1}}\\right)^{r\/2}\\nonumber\\\\\n\t&\\leq  \\exp\\left(-(1-o(1))\\frac{r}{2} e^{-2p' \\binom{n\/2}{d-1}} \\right)\\nonumber\\\\\n\t&= \\exp\\left(-(1-o(1))\\frac{n}{2\\log ^7 n} e^{-(1+o(1))\\cdot \\frac{p' d\\binom{n}{d}}{2^{d-2}n} } \\right),\n\\end{align*} \nwhere the last equality follows from the fact that\n\\begin{align*}\n\\lim_{n\\to \\infty}\\frac{2p' \\binom{n\/2}{d-1}}{\n\tp' d\\binom{n}{d}\/2^{d-2}n} \\to 1~\\text{and}~ r=\\left\\lceil \\frac{n}{\\log^7 n} \\right\\rceil.\n\\end{align*}\nThe last term converges to $0$ as $p'\\leq (1-\\epsilon)\\frac{2^{d-2}}{d} \\frac{n\\log n}{\\binom{n}{d}}$.\n\n\\section{Proof of Theorem~\\ref{thm:main2} } \\label{pf:thm2}\n\n\n\nIn this section, we prove a similar statement for the parity measurement case. \n\n\n\\subsection{Achievability proof}\nNote that the parity measurement is \\emph{symmetric} in a sense that for any two vector $\\mathbf{A}$ and $\\mathbf{B}$, $\\Pr\\left(\\psi_{\\text{ML}}(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{A}\\right) = \\Pr\\left(\\psi_{\\text{ML}}(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{B}\\right)$.\nHence, we will prove that\n\\begin{align*}\n\\Pr\\left(\\psi_{\\text{ML}}(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{0}\\right) \\rightarrow 0\n\\end{align*}\nunder the claimed condition.\nConditioning on $\\mathbf{X}=\\mathbf{0}$,\n\\begin{align}\n&\\Pr\\left(\\psi_{\\text{ML}}(\\mathbf{Y}) \\notin \\{\\mathbf{0}, \\mathbf{1}\\}\\right) \\nonumber\\\\\n&\\leq \\Pr\\left (\\bigcup_{\\mathbf{A}\\neq \\mathbf{0},\\mathbf{1}}\\left[{\\sf d_H}(\\mathbf{A})\\leq {\\sf d_H}(\\mathbf{0})\\right]\\right) \\nonumber \\\\\n&=\\Pr\\left(\\bigcup_{k=1}^{n-1}\\bigcup_{\\|\\mathbf{A}\\|_1 =k}\\left[{\\sf d_H}(\\mathbf{A})\\leq  {\\sf d_H}(\\mathbf{0})\\right]\\right)  \\nonumber\\\\\n&\\leq \\sum_{k=1}^{n-1} \\sum_{\\|\\mathbf{A}\\|_1=k}\\Pr\\left({\\sf d_H}(\\mathbf{A})\\leq  {\\sf d_H}(\\mathbf{0})\\right)  \\nonumber\\\\\n&\\overset{(a)}{=} 2\\cdot \\sum_{k=1}^{n\/2} \\sum_{\\|\\mathbf{A}\\|_1=k}\\Pr\\left({\\sf d_H}(\\mathbf{A})\\leq  {\\sf d_H}(\\mathbf{0})\\right)  \\nonumber\\\\\n&\\overset{(b)}{=}2\\cdot\\sum^{n\/2}_{k=1}\\binom{n}{k}\\Pr\\left({\\sf d_H}\\left(\\sum_{i=1}^k\\mathbf{e}_i\\right)\\leq  {\\sf d_H}(\\mathbf{0}) \\right), \\label{eq:3}\n\\end{align}\nwhere ($a$) follows form the fact that $\\Pr\\left({\\sf d_H}(\\mathbf{A})\\leq  {\\sf d_H}(\\mathbf{0})\\right) = \\Pr\\left({\\sf d_H}(\\mathbf{A}\\oplus \\mathbf{1})\\leq  {\\sf d_H}(\\mathbf{0})\\right) $; ($b$) follows due to symmetry.\nTo compare ${\\sf d_H}\\left(\\sum_{i=1}^k\\mathbf{e}_i\\right)$ and ${\\sf d_H}(\\mathbf{0})$, we define \\begin{align*}\n\\mathcal{F}_{k}:= \\left\\{ E\\in \\binom{[n]}{d} ~:~f_E(\\mathbf{0})\\neq f_E\\left(\\sum_{i=1}^k\\mathbf{e}_i\\right) \\right\\}\n\\end{align*} and $\\mathcal{E}_{k}: = \\mathcal{E} \\cap \\mathcal{F}_{k}$.\nAs in \\eqref{exp1}, we obtain\n\\begin{align*}\n\\Pr\\left( {\\sf d_H}\\left(\\sum_{i=1}^k\\mathbf{e}_i\\right) \\leq {\\sf d_H}(\\mathbf{0})  \\right)\n&\\leq (1-(1-e^{-{\\sf D_{KL}}(0.5\\| \\theta )})p)^{|\\mathcal{F}_{k}|}\\\\\n&=(1-p')^{|\\mathcal{F}_{k}|}\t\\,,\n\\end{align*} \nyielding\n\\begin{align}\n\\frac{1}{2}\\cdot \\eqref{eq:3} \\leq \\sum_{k=1}^{n\/2} \\binom{n}{k}(1-p')^{|\\mathcal{F}_{k}|} \\label{ub2}.\n\\end{align}  \nWe again count $|\\mathcal{F}_{k}|$ in an effort to obtain a tight upper bound on \\eqref{ub2}. Notice that $E\\in\\mathcal{F}_k$ if $|E\\cap [k]|$ is odd, and hence\n\\begin{align}\n|\\mathcal{F}_k|=\\sum_{\\substack{i \\leq d \\\\ i\\text{ is odd}}}\\binom{k}{i}\\cdot\\binom{n-k}{d-i}\\,. \\label{counting}\n\\end{align} \nLet $\\delta >0$ be a small constant that will be determined later. For the case $k\\geq \\delta n$, it follows that \n\\begin{align*}\n&|\\mathcal{F}_{k}| \\geq \\binom{k}{1} \\binom{n-k}{d-1}\\geq \\delta n \\binom{n\/2}{d-1} = \\Omega(n^d)\\,. \n\\end{align*}\nThen it is easy to show \\eqref{ub2}$\\to 0$ for this case:\n\\begin{align*}\n& \\sum_{k=\\delta n}^{n\/2} \\binom{n}{k}(1-p')^{|\\mathcal{F}_{k}|} \\leq \\sum_{k=\\delta n}^{n\/2} \\binom{n}{k}e^{-p'\\Omega(n^d)}\\\\\n&\\overset{(a)}{=}e ^{-\\Omega(n\\log n )}\\sum_{k=\\delta n}^{n\/2} \\binom{n}{k} \\leq e ^{-\\Omega(n\\log n )} 2^{n} \t\\to 0\\,,\n\\end{align*}\nwhere ($a$) follows from the fact that $p'\\Omega(n^d)\\asymp p\\binom{n}{d} =\\Omega(n\\log n)$.\nFor the case $k<\\delta n$, we see that \n\\begin{align}\n&|\\mathcal{F}_{k}| \\geq \\binom{k}{1} \\binom{n-k}{d-1}\\geq k \\binom{(1-\\delta)n}{d-1} \\nonumber \\\\\n& \\underset{n\\to \\infty}{\\overset{(a)}{=}} (1+o(1))k (1-\\delta)^{d-1}\\binom{n-1}{d-1}\\,, \\label{lb1}\n\\end{align}\nwhere ($a$) follows since\n\\begin{align}\n\\lim_{n\\to \\infty} \\frac{\\alpha^{d-1} \\binom{n-1}{d-1}}{\\binom{\\alpha n}{d-1}}=1\n\\end{align} holds for a fixed $d$ and $\\alpha\\in(0,1)$. Hence, we get \n\\begin{align}\n& \\sum_{k=1}^{\\delta n} \\binom{n}{k}(1-p')^{|\\mathcal{F}_{k}|} \\leq \\sum_{k=1}^{\\delta n} n^k e^{-(1+o(1))p'k (1-\\delta)^{d-1} \\binom{n}{d-1}} \\nonumber\\\\\n&= \\sum_{k=1}^{\\delta n}  e^{k\\cdot \\left\\{\\log n -(1+o(1))p'(1-\\delta)^{d-1} \\binom{n}{d-1} \\right\\}}\\,. \\label{ub4}\n\\end{align}\nBy choosing $\\delta$ arbitrarily small, under the claimed condition, one can make\n\\begin{align*}\n&p'(1-\\delta)^{d-1} \\binom{n}{d-1} = (1+o(1)) (1-\\delta)^{d-1} \\binom{n}{d}p'  \\frac{d}{n} \\\\\n&\\geq  (1+\\epsilon\/2) \\log n\\,,\n\\end{align*}\nwhich implies that \\eqref{ub4} converges to $0$ as $n$ tends to infinity.\n\\subsection{Converse proof} As the parity measurement is symmetric,\n\\begin{align*}\n\\inf_{\\psi}P_e(\\psi) \n&=\\Pr\\left(\\psi_{\\text{ML}}(\\mathbf{Y}) \\notin \\{\\mathbf{X},~ \\mathbf{X}\\oplus \\mathbf{1}\\}~|~ \\mathbf{X} = \\mathbf{0}\\right)\\,.\n\\end{align*}\nAs before, we define the success event as: \n\\begin{align}\nS :=\\bigcap_{\\mathbf{V}\\neq \\mathbf{0}, \\mathbf{1} } \\left[{\\sf d_H}(\\mathbf{V})> {\\sf d_H}(\\mathbf{0})\\right]\\,. \\label{def:s}\n\\end{align}\nAgain, it suffices to show that $\\Pr(S)\\to 0$, and to this end, we construct a subset of nodes  such that any two nodes in the subset do not share the same hyperedge. Unlike the previous case, the subset is now defined as:\n\\begin{align}\n\\mathcal{R}_{\\text{big}}:=\\left\\{1,2,\\cdots,r \\right\\} \\label{def:rbig}\n\\end{align}\nwhere $r=\\lceil \\frac{n}{\\log^7 n} \\rceil$, and we erase every node in $\\mathcal{R}_{\\text{big}}$ which shares hyperedges with other nodes in $\\mathcal{R}_{\\text{big}}$ to obtain $\\mathcal{R}_{\\text{res}}$. In view of Lemma~\\ref{lem:ind}, we have $|\\mathcal{R}_{\\text{res}}| \\geq (1-o(1))r$ almost surely; let $\\Delta$ be such event. Conditioning on $\\Delta$, we enumerate $r\/2$ many elements of $\\mathcal{R}_{\\text{res}}$ by $b_1,\\cdots, b_{r\/2}$. As there are no hyperedges that connect two nodes in $\\mathcal{R}_{\\text{res}}$, the events $\\{[{\\sf d_H}( \\mathbf{e}_{b_k}) >{\\sf d_H}(\\mathbf{0})]\\}_{1\\leq k \\leq r\/2 }$ are mutually independent conditioned on $\\Delta$.\nHence, we get:\n\\begin{align}\n\\Pr(S) &\\lesssim \\Pr\\left (S ~|~ \\Delta \\right)\\nonumber\\\\\n&\\leq \\Pr\\left ( \\bigcap_{k=1}^{r\/2} \\left[ {\\sf d_H}(\\mathbf{e}_{b_k}) >{\\sf d_H}(\\mathbf{0}) \\right] ~\\bigg|~ \\Delta \\right) \\nonumber \\\\ \n&= \\Pr\\left (  {\\sf d_H}( \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{0})  ~\\big|~ \\Delta \\right)^{r\/2}\\,. \\label{ubcon} \n\\end{align}\nLet $p' = (1-e^{-{\\sf D_{KL}}(0.5\\| \\theta )})p$ as before. \nUsing similar arguments used in the previous section, we have\n\t\\begin{align}\n\t\\Pr\\left (  {\\sf d_H}( \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{0})  ~\\big|~ \\Delta \\right)\\geq (1-o(1))e^{-p'\\binom{n-1}{d-1}}\\,. \\label{keylb}\n\t\\end{align}\nThis gives:\n\\begin{align*}\n& \\Pr\\left (  {\\sf d_H}( \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{0})  ~\\big|~ \\Delta \\right)^{r\/2}\\\\\n&\\leq \\left(1-(1-o(1))e^{-p' \\binom{n-1}{d-1}}\\right)^{r\/2}\\\\\n&\\leq  \\exp\\left(-(1-o(1))\\frac{r}{2} \\exp\\left\\{-p' \\binom{n-1}{d-1} \\right\\} \\right)\\\\\n&\\leq  \\exp\\left(-(1-o(1))\\frac{n}{2\\log ^7 n} \\exp\\left\\{-(1+o(1))\\cdot \\frac{p' \\binom{n}{d}d}{n} \\right\\} \\right)\\,.\n\\end{align*} \nNotice that the last term converges to $0$ as $\\binom{n}{d}p'\\leq (1-\\epsilon)\\frac{n\\log n}{d}$, which completes the proof.\n\n\n\n\n\n\n\n\n\n\n\n\\section{Proof of Theorem~\\ref{thm:main3}}\n\\label{pf:thm3}\n\n\nWhen $d$ scales with $n$, a technical challenge arises, and we will focus on such technical difficulties, skipping most of the redundant parts.\n\\subsection{Proof of  the upper bound}\nFrom \\eqref{ub2} and \\eqref{counting}, we get \n\\begin{align}\nP_e(\\psi_{\\text{ML}}) \\leq \\sum_{k=1} ^{n\/2} \\binom{n}{k}(1-p')^{N_k}\\,, \\label{exp:key}\n\\end{align}\nwhere \\begin{align}\n\tN_k:= \\sum_{\\substack{1 \\leq i \\leq d \\\\ i\\text{ is odd}}}\\binom{k}{i}\\cdot\\binom{n-k}{d-i} \\label{exp:nk}\n\t\\end{align}\n\t and $p':= (\\sqrt{1-\\theta } -\\sqrt{\\theta})^2 p$.\nLet us focus on counting $N_k$. When $d\\asymp 1$, $\\binom{n}{d} \\approx \\frac{n^d}{d!}$ suffices to obtain a proper bound on $N_k$.\nHowever, in the general case where $d$ scales with $n$, one needs a more delicate bounding technique to obtain sharp results. \nThe following lemma presents our new bound. \n\\begin{lemma} ~\\label{lemma:general}\n\tLet $\\beta :=  \\lceil \\frac{n-d+1}{2d+1}  \\rceil < n\/2$ and $\\alpha:=\\frac{n-d+1}{d}$.\n\tThen \n\t\\begin{align*}\n\t\\sum_{\\substack{1 \\leq i \\leq d \\\\ i \\text{ is odd}}} \\binom{k}{i}\\binom{n-k}{d-i}&\\geq \n\t\\begin{cases}\n\t\\frac{2k}{5\\alpha}\\binom{n}{d}, & \\hbox{$k < \\beta$;} \\\\\n\t\\frac{1}{5}\\binom{n}{d}, & \\hbox{$\\beta \\leq k \\leq n\/2$\\,.} \n\t\\end{cases}\n\t\\end{align*}\n\\end{lemma}\n\\begin{IEEEproof}\n\tSee Sec.~\\ref{pf:tech}. The proof requires an involved combinatorial counting, which is one of our main technical contributions.\n\\end{IEEEproof}\n\n\nEmploying Lemma~\\ref{lemma:general}, we get:\n\\begin{align}\n\\eqref{exp:key} \\leq& \\sum_{k=1}^{\\beta-1} \\binom{n}{k} (1-p')^{N_k} \\nonumber + \\sum_{k=\\beta}^{n\/2} \\binom{n}{k} (1-p')^{N_k} \\nonumber\\\\\n\\leq & \\sum_{k=1}^{\\beta-1} \\binom{n}{k} (1-p')^{\\frac{2k}{5\\alpha}\\binom{n}{d}}+\\sum_{k=\\beta}^{n\/2} \\binom{n}{k} (1-p')^{\\frac{1}{5}\\binom{n}{d}} \\nonumber\\\\\n\\leq & \\sum_{k=1}^{\\beta-1} n^k e^{-p' \\frac{2k}{5\\alpha}\\binom{n}{d}}+ 2^n e^{-\\frac{1}{5}p'\\binom{n}{d}} \\nonumber\\\\\n\\leq & \\sum_{k=1}^{\\beta-1} \\exp\\left \\{k\\left(\\log n- \\frac{2p'\\binom{n}{d}}{5\\alpha}\\right)\\right \\} \\label{one}\n\\\\ &+\\exp \\left \\{n\\log 2 -\\frac{1}{5}p'\\binom{n}{d} \\right \\}.\\label{two} \n\\end{align}\nNote that \\eqref{two} vanishes due to \\eqref{ubb2}.\nIn order to show that \\eqref{one} vanishes as well, we consider two cases: $d=o(n)$ and $d\\asymp n$.\nWhen $d=o(n)$,\n\\begin{align*}\n&\\sum_{k=1}^{\\beta-1} \\exp\\left \\{k\\left(\\log n- \\frac{2p'\\binom{n}{d}}{5\\alpha}\\right)\\right \\}\t\\\\\n\\leq &\\sum_{k=1}^{\\beta-1} \\exp\\left \\{k\\left(\\log n- \\frac{2dp'\\binom{n}{d}}{5n}\\right)\\right \\} \\\\\n\\leq & \\frac{\\exp{\\left(\\log n - \\frac{2dp'\\binom{n}{d}}{5n}\\right)}}{1 - \\exp{\\left(\\log n - \\frac{2dp'\\binom{n}{d}}{5n}\\right)}} \\rightarrow 0,\n\\end{align*}\nsince $\\log n - \\frac{2dp'\\binom{n}{d}}{5n} \\rightarrow -\\infty$.\n\nIf $d\\asymp n$, \n\t$$\\sum_{k=1}^{\\beta-1} \\exp\\left \\{k\\left(\\log n- \\frac{2p'\\binom{n}{d}}{5\\alpha}\\right)\\right \\} \\leq \\beta \\max_{1\\leq k \\leq \\beta-1}{\\exp\\left \\{k\\left(\\log n- \\frac{2p'\\binom{n}{d}}{5\\alpha}\\right)\\right \\} } = \\beta \\exp\\left(\\log n- \\frac{2p'\\binom{n}{d}}{5\\alpha}\\right),$$\n\twhere the last equality holds since $\\log n - \\frac{2p'\\binom{n}{d}}{5\\alpha} < 0$, and hence $k=1$ achieves the maximum value. \n\tNote that this vanishes since $\\beta$ is asymptotically bounded by a constant.\nTherefore, \\eqref{one} always vanishes, completing the proof.\n\n\n\n\n\\subsection{Proof of the lower bound}\n\nThe lower bound statement can be rewritten as follows: $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ if $\\binom{n}{d} p \\leq \\max\\left( (1-\\epsilon) \\frac{1}{d} \\frac{n\\log n }{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}, \\frac{n}{1-H(\\theta)} \\right)$.\n\tNote that when $d = \\omega(\\log n)$, the condition reduces to $\\binom{n}{d} p \\leq \\frac{n}{1-H(\\theta)}$.\n\tHence, it is sufficient to show the following two statements.\n\t\\begin{itemize}\n\t\t\\item If $d = O(\\log n)$: $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ if $\\binom{n}{d} p \\leq \\max\\left( (1-\\epsilon) \\frac{1}{d} \\frac{n\\log n }{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}, \\frac{n}{1-H(\\theta)} \\right)$.\n\t\t\\item If $d = \\omega(\\log n)$: $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ if $\\binom{n}{d} p \\leq \\frac{n}{1-H(\\theta)}$.\n\t\\end{itemize}\n\t\n\tWe first show that $\\binom{n}{d} p \\leq \\frac{n}{1-H(\\theta)}$ implies $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ for all $d$.\n\tBy rearranging terms, we have $\\binom{n}{d} p \\leq \\frac{n}{1-H(\\theta)} \\Leftrightarrow \\frac{n}{\\binom{n}{d} p} \\geq 1-H(\\theta)$. \n\tOne can immediately observe that this implies $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ since $\\frac{n}{\\binom{n}{d} p}$ (which can be viewed as the rate of a code) cannot exceed the Shannon capacity of the channel $1 - H(\\theta)$.\n\t\n\tWe now prove that $\\binom{n}{d} p \\leq (1-\\epsilon) \\frac{1}{d} \\frac{n\\log n }{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2}$ implies $\\inf_{\\psi}P_e (\\psi) \\not\\rightarrow 0$ if $d = O(\\log n)$.\n\tFurther, we will focus on the case of $\\binom{n}{d}p \\asymp \\frac{n\\log n}{d}$ since this is the regime where the largest amount of information is available.\nAgain, it is enough to show that $\\Pr(S)\\to 0$, where $S$ is defined as \\eqref{def:s}. By defining $\\mathcal{R}_{\\text{big}}, \\mathcal{R}_{\\text{res}},\\Delta$ and $b_1,\\cdots, b_{r\/2}$ as before, we again obtain~\\eqref{ubcon}: \n\\begin{align}\n\\Pr(S)\\leq \\Pr\\left (  {\\sf d_H}( \\mathbf{e}_{b_1}) >{\\sf d_H}(\\mathbf{0})  ~\\big|~ \\Delta \\right)^{r\/2}\\,.\n\\end{align}\n\n\nWe finish the proof by showing the following for the considered case:\n\\begin{align}\n\\Pr\\left (  {\\sf d_H}( \\mathbf{e}_{b_1}) \\leq {\\sf d_H}(\\mathbf{0})  ~\\big|~ \\Delta \\right)\\geq (1-o(1))e^{-2p'\\binom{n-1}{d-1}}\\,. \\nonumber\n\\end{align}\nWhile following the proof of \\eqref{tight}, the key technical difficulty arises when checking $q=\\Omega(\\log n)$ (see \\eqref{div}): a simple calculation yields $|\\mathcal{F}_{b_1}|=\\binom{n-1}{d-1}$ and $|\\mathcal{G}_{b_1}|=\\binom{n-|\\mathcal{R}_{\\text{big}}|}{d-1}$, but here it is not clear whether $\\binom{n-|\\mathcal{R}_{\\text{big}}|}{d-1}\\asymp \\binom{n-1}{d-1}$ when $d$ is not a constant.\n We resolve this using a careful estimation as follows.\n\tAs  $|\\mathcal{R}_{\\text{big}}|=\\Theta(\\frac{n}{\\log^7 n})$ and $d=O(\\log n)$, it is straightforward to verify\n\\begin{align*}\n 1-\\frac{1}{\\log^2 n}\\leq \\frac{n-|\\mathcal{R}_{\\text{big}}|-j}{n-1-j}\n\\end{align*}\nfor $0\\leq j \\leq d-2$. \nThis simple yet crucial inequality concludes: \n\\begin{align*}\n&\\frac{\\binom{n-|\\mathcal{R}_{\\text{big}}|}{d-1}}{\\binom{n-1}{d-1}} = \\prod_{j=0}^{d-2}\\frac{n-|\\mathcal{R}_{\\text{big}}|-j}{n-1-j}\\\\\n&\\geq \\left(1-\\frac{1}{\\log^2 n}\\right)^{d-1}\\approx \\exp\\left\\{-\\frac{d-1}{\\log^2 n}\\right\\} \\to 1.\n\\end{align*}\n \n\n\\subsection{Proof of Lemma~\\ref{lemma:general}}\n\\label{pf:tech}\nWithout loss of generality, we prove the lemma assuming that $k \\geq d$. \nThe proof for the other cases is similar. \n\nWe wish to obtain lower bounds on\n\\begin{align}\nN_k=\\sum_{\\substack{1 \\leq i \\leq d \\\\ i\\text{ is odd}}}\\binom{k}{i}\\binom{n-k}{d-i} = \\underbrace{\\binom{k}{1}\\binom{n-k}{d-1}}_{\\text{boundary odd term}}+ \\underbrace{\\sum_{i=1,3,\\cdots,d-3,d-1} \\binom{k}{i}\\binom{n-k}{d-i}}_{\\text{intermediate odd terms}} + \\underbrace{\\binom{k}{d-1}\\binom{n-k}{1}}_{\\text{boundary odd term}} \\label{odd1}\n\\end{align}\nin terms of $\\binom{n}{d}$.\nFirst, observe that\n\\begin{align}\n\\binom{n}{d} =\\sum_{0\\leq i\\leq d} \\binom{k}{i}\\binom{n-k}{d-i}=\\underbrace{\\binom{k}{0}\\binom{n-k}{d}}_{\\text{boundary term}}+ \\underbrace{\\sum_{i=1,2,\\cdots,d-2,d-1} \\binom{k}{i}\\binom{n-k}{d-i}}_{\\text{intermediate terms}} + \\underbrace{\\binom{k}{d}\\binom{n-k}{0}}_{\\text{boundary term}}. \\label{intact}\n\\end{align}\nSuppose we have the following bounds:\n\\begin{align}\n\\underbrace{\\binom{k}{0}\\binom{n-k}{d} + \\binom{k}{d}\\binom{n-k}{0}}_{\\text{sum of boundary terms}}&\\leq A_1\\underbrace{\\left[ \\binom{k}{1}\\binom{n-k}{d-1} + \\binom{k}{d-1}\\binom{n-k}{1}  \\right]}_{\\text{sum of boundary odd terms}}; \\label{bd:bdy}\\\\\n\\underbrace{\\sum_{i=1,2,\\cdots,d-2,d-1} \\binom{k}{i}\\binom{n-k}{d-i}}_\\text{intermediate terms} &\\leq A_2 \\underbrace{\\cdot \\sum_{i=1,3,\\cdots,d-3,d-1} \\binom{k}{i}\\binom{n-k}{d-i}}_\\text{intermediate odd terms} + A_3N_k\\,, \\label{bd:int}\n\\end{align}\nfor some quantities $A_1,A_2, A_3>0$.\nThen, by summing up the two inequalities, one can obtain a lower bound on $N_k$: \n\\begin{align}\\label{eq:alltogether}\n\\binom{n}{d} \\leq \\left(\\max(A_1,A_2) + A_3\\right) N_k\\,.\n\\end{align}\nThus, the proof is completed as long as one can find the quantities $A_1, A_2$ and $A_3$ that satisfy \\eqref{bd:bdy} and \\eqref{bd:int}.\n\nWe begin with \\eqref{bd:int}.\nThe following lemma asserts that $A_2 = 2$ and $A_3 = 3$ satisfy \\eqref{bd:int}.\n\\begin{lemma}\\label{lem:body} For $1 \\leq k \\leq n\/2$, \n\t$$\\sum_{i=1,2,\\cdots,d-2,d-1} \\binom{k}{i}\\binom{n-k}{d-i} \\leq 2 \\cdot \\sum_{i=1,3,\\cdots,d-3,d-1} \\binom{k}{i}\\binom{n-k}{d-i} + 3N_k.$$\n\\end{lemma}\n\\begin{IEEEproof}\n\tSee Sec.~\\ref{pf:body}.\n\\end{IEEEproof}\n\n\nFor \\eqref{bd:int}, the following lemma characterizes $A_1$. \n\\begin{lemma}\\label{lem:tail1}\n\tLet $\\beta := \\left\\lceil  \\frac{n-d+1}{2d+1} \\right\\rceil$.\n\tFor $\\beta \\leq k \\leq n\/2$, \n\t\\begin{align}\n\t\\binom{k}{0}\\binom{n-k}{d} + \\binom{k}{d}\\binom{n-k}{0} \\leq 2\\left[ \\binom{k}{1}\\binom{n-k}{d-1} + \\binom{k}{d-1}\\binom{n-k}{1}  \\right].\n\t\\end{align}\n\tFor $k< \\beta$, \n\t\\begin{align}\n\t\\binom{k}{0}\\binom{n-k}{d} + \\binom{k}{d}\\binom{n-k}{0} \\leq \\frac{\\alpha}{k}\\left[ \\binom{k}{1}\\binom{n-k}{d-1} + \\binom{k}{d-1}\\binom{n-k}{1}  \\right]\n\t\\end{align}\n\tand \n\t\\begin{align}\n\t\\frac{\\alpha}{k}\\geq 2\\,,\n\t\\end{align}where $\\alpha = \\frac{n-d+1}{d}$.\n\\end{lemma}\n\\begin{IEEEproof}\n\tSee Sec.~\\ref{pf:tail1}.\n\\end{IEEEproof}\nThat is, $A_1 = 2$ if $\\beta \\leq k \\leq n\/2$, and $A_1 = \\frac{\\alpha}{k}$ if $k < \\beta$.\n\n\n\nWe now are ready to prove Lemma~\\ref{lemma:general} with the help of Lemma~\\ref{lem:body}, Lemma,~\\ref{lem:tail1} and \\eqref{eq:alltogether}.\nWhen $\\beta \\leq k<n\/2$, $$\\binom{n}{d} \\leq 5 N_k.$$\nWhen $k <\\beta$, \n$$\\binom{n}{d}\\leq \\left(\\max\\left(2, \\frac{\\alpha}{k}\\right) + 3\\right)N_k \\leq \\frac{5\\alpha}{2k} N_k,$$\nwhere the last inequality holds since $\\frac{\\alpha}{k} \\geq 2$.\nThis completes the proof.\n\n\n\n\\section{Experimental results}\n\\label{sec:simulation}\n\n\\subsection{The homogeneity measurement case} \\label{sec:exhom}\n\\subsubsection{Efficient algorithms} \nWe also develop a computationally-efficient algorithm that achieves the information-theoretic limit characterized in Theorem~\\ref{thm:main1}. Here we only present the algorithm while deferring a detailed analysis to our companion paper~\\cite{ahn2017hypergraph}. The algorithm operates in two stages, beginning with a decent initial estimate from Hypergraph Spectral Clustering~\\cite{ahn2017hypergraph} followed by iterative refinement. Detailed procedures are presented in Algorithm~\\ref{alg}. \nOur algorithm is inspired by two-stage approaches that have been applied to a wide variety of problems including matrix completion~\\cite{keshavan2010matrix,jain2013low}, phase retrieval~\\cite{netrapalli2013phase,candes2015phase}, robust PCA~\\cite{yi2016fast}, community recovery~\\cite{abbe2016exact,abbe2015community,chen2016community,chin2015stochastic,gao2015achieving}, EM-algorithm~\\cite{balakrishnan2017}, and rank aggregation~\\cite{chen2015spectral}.\n\n\n\\begin{algorithm}\n\t\\caption{}\n\t\\label{alg}\n\t\\begin{algorithmic}[1]\n\t\t\\State For $E\\in \\binom{[n]}{d}$, define \n\t\t\\begin{align*}\n\t\t\tW_E := \\begin{cases}\n\t\t\t Y_E & \\text{if } E\\in\\mathcal{E}; \\\\\n\t\t\t 0,  & \\text{otherwise}.\n\t\t\t\\end{cases}\n\t\t\\end{align*}\n\t\t\\State  Apply Spectral Hypergraph Clustering~\\cite{ahn2017hypergraph} to a weighted hypergraph $([n], \\{W_E\\}_{E\\in \\binom{[n]}{d}})$ to obtain $\\mathbf{X}^{(0)} =\\{X^{(0)}_i\\}_{1\\leq i \\leq n} \\in \\{0,1\\}^n$.  \n\t\t\\State For $t=0,1,\\cdots, T-1$ ($T = c \\log n$ for some constant $c>0$), update $\\mathbf{X}^{(t)}= \\{X^{(t)}_i\\}_{1\\leq i \\leq n} $  as per\n\t\t\\begin{align*}\n\t\t\t&X^{(t+1)}_i  = \\begin{cases} X^{(t)}_i &\\text{if}~{\\sf d_H}(\\mathbf{X}^{(t)}) <{\\sf d_H}(\\mathbf{X}^{(t)}\\oplus \\mathbf{e}_i);\\\\ X^{(t)}_i \\oplus 1 &\\text{if}~{\\sf d_H}(\\mathbf{X}^{(t)}) \\geq {\\sf d_H}(\\mathbf{X}^{(t)}\\oplus \\mathbf{e}_i), \\end{cases}\t\t\\end{align*}\n\t\tfor $i=1,2,\\cdots, n$, where ${\\sf d_H}(\\cdot)$ is defined in \\eqref{defs}.\n\t\t\\State Output $\\mathbf{X}^{(T)}= \\{X^{(T)}_i\\}_{1\\leq i \\leq n}$.\n\t\\end{algorithmic}\n\\end{algorithm}\n\n\n\\subsubsection{Performance of Algorithm~\\ref{alg}}\nWe demonstrate the performance of Algorithm~\\ref{alg} by running Monte Carlo simulations. \n\\begin{figure}\n\t\\centering\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\\includegraphics[width=\\textwidth]{figs\/fig3a.eps}\n\t\t\\caption{\\footnotesize{Varying $\\theta$}}\n\t\t\\label{fig:3-a}\n\t\\end{subfigure}\t\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\\includegraphics[width=\\textwidth]{figs\/fig3b.eps}\n\t\t\\caption{\\footnotesize{Varying $d$}}\n\t\t\\label{fig:3-b}\n\t\\end{subfigure}\t\n\t\\caption{\\footnotesize{\\textbf {Algorithm~\\ref{alg} achieves the optimal sample complexity.} We run Monte Carlo simulations to estimate the probability of success when: (a) $n=1000$, $d=4$, and for various choices of $\\theta$; (b) $n=1000$, $\\theta=0.05$, and for various choices of $d$. For each curve, we normalize the number of samples by the respective information theoretic limits, characterized in Theorem~\\ref{thm:main1}. Observe that the probability of success quickly approaches $1$ as the normalized sample complexity crosses $1$.}}\n\t\\label{fig:3}\t\n\\end{figure}\nEach point plotted in Fig.~\\ref{fig:3-a} and Fig.~\\ref{fig:3-b} indicates an empirical success rate. \nWe take $100$ Monte Carlo trials. \nFig.~\\ref{fig:3-a} shows the probability of success when $n=1000$, $d=4$, and for various choices of $\\theta$.\nShown in Fig.~\\ref{fig:3-b} is the performance of our algorithm with $n=1000$, $\\theta=0.05$, and for various choices of $d$.\nFor both figures, the $x$-axis denotes the number of samples normalized by the respective information-theoretic limits, characterized in Theorem~\\ref{thm:main1}. \nOne can observe that the success probability due to Algorithm~\\ref{alg} quickly approaches $1$ as the normalized sample complexity crosses $1$, which corroborates our theoretical findings.\n\n\n\n\\begin{figure}\n\t\\centering\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\t\\includegraphics[width=\\textwidth]{figs\/fig4a.eps}\n\t\t\\caption{\\footnotesize{Estimated empirical noise rate $\\hat{\\theta}$}}\n\t\t\\label{fig:4-a}\n\t\\end{subfigure}\t\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\\includegraphics[width=\\textwidth]{figs\/fig4b.eps}\n\t\t\\caption{\\footnotesize{$d^*$}}\n\t\t\\label{fig:4-b}\n\t\\end{subfigure}\t\n\t\n\t\\caption{\\footnotesize{\\textbf{Existence of $d^*$ in motion segmentation.} (a) We estimate the empirical noise rate $\\hat{\\theta}$ as a function of $d$ in motion segmentation. (b) We plug $\\hat{\\theta}$ to the limit characterized in Theorem~\\ref{thm:main1} and verify that $d^*=6$.}}\n\t\\label{fig:4}\t\n\\end{figure}\n\\begin{figure}\n\t\\centering\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\\includegraphics[width=\\textwidth]{figs\/fig5a.eps}\n\t\t\\caption{\\footnotesize{Randomly generated data set}}\n\t\t\\label{fig:5-a}\n\t\\end{subfigure}\t\n\t\\begin{subfigure}[b]{0.4\\columnwidth}\n\t\t\\includegraphics[width=\\textwidth]{figs\/fig5b.eps}\n\t\t\\caption{\\footnotesize{Varying $d$}}\n\t\t\\label{fig:5-b}\n\t\\end{subfigure}\t\n\t\n\t\\caption{\\footnotesize{\\textbf{Optimal choice of $d$ when $\\theta$ decays with $d$.} We run Monte Carlo simulations to estimate the probability of success with the data set shown in (a). We observe that the effective noise rate decreases as $d$ increases. For varying $d$ from $3$ to $6$, the success probability of Algorithm~\\ref{alg} is shown in (b): the best performance of the algorithm is observed when $d=4$.}}\n\t\\label{fig:5}\t\n\\end{figure}\n\n\\subsubsection{Optimal $d$ for subspace clustering}\nWe observe how the fundamental limit varies as a function of $d$. \nAs we briefly discussed in Sec.~\\ref{sec:MainResults}, if the noise rate $\\theta$ is irrelevant to $d$, the optimal choice of $d$ would be the minimum possible value of $d$.\nHowever, if the noise quality $\\theta$ depends on $d$, there may be a sweet spot for $d$.\n\nWe demonstrate the existence of a sweet spot in one of subspace clustering applications: motion segmentation. We use the benchmark Hopkins 155~\\cite{tron2007benchmark} dataset to compute an empirical noise rate ${\\theta}$ as a function $d$ as follows. \nFor each sampled hyperedge $E=\\{i_1,\\cdots, i_d\\}$, we adopt the method proposed in~\\cite{chen2009spectral} to evaluate similarity between the corresponding $d$ data points that we denote by $D$. Then, we set $Y_E = 1$ if and only if $D$ is less than a fixed threshold, which is appropriately chosen so that $\\Pr(Y_E=0 ~ |~ i_1,i_2,\\cdots, i_d \\text{ are from the same line})\\approx \\Pr(Y_E=1  ~|~ i_1,i_2,\\cdots, i_d \\text{ are not from the same line}).$\nWe estimate the effective noise rate $\\hat{\\theta} := \\Pr(Y_E=0 ~ |~ i_1,i_2,\\cdots, i_d \\text{ are from the same line})$ for various $d$, and observe that $\\hat{\\theta}$ quickly decreases as $d$ increases; see Fig.~\\ref{fig:4-a}.\nWe then plug these $\\hat{\\theta}$'s to the limit characterized in Theorem~\\ref{thm:main1}; see Fig.~\\ref{fig:4-b}. Note that $d=5$ is not the optimal choice, but $d=6$ is the sweet spot.\n\nWe also corroborate the existence of a sweet spot in a synthetic data set for subspace clustering, shown in Fig.~\\ref{fig:5-a}. Here the goal is to cluster $n~(=200)$ $2$-dimensional data points approximately lying on a union of two lines ($1$-dimensional subspaces).\nWe compute $Y_E$ as above and evaluate the performance of Algorithm~\\ref{alg}, shown in Fig.~\\ref{fig:5-b}.\nAs a result, we observe that the optimal choice of $d$ here is $4$ rather than $3$. \n\n\\subsection{The parity measurement case}\\label{sim:parity}\n\\subsubsection{Efficient algorithms} \\label{eff:parity}\nFor the parity measurement~case, there are two efficient algorithms in the literature~\\cite{watanabe2013message,jain2014provable}. In~\\cite{watanabe2013message}, it is shown that for $d=3$, a variant of message passing algorithm successfully recovers the ground-truth vector provided that $\\binom{n}{3}p =\\Omega(n^2 \/\\log n)$.\nAnother efficient algorithm is based on a low-rank tensor factorization algorithm proposed in~\\cite{jain2014provable}, and it is proved that reliable community recovery is feasible if $\\binom{n}{3}p =\\Omega(n^{1.5}\\log^4 n)$. \nIn either of the two cases, the sufficient condition comes with a polynomial term ($n$ or $n^{1\/2}$) to the fundamental limit characterized in Theorem~\\ref{thm:main1}.\nIn fact, it is conjectured in~\\cite{florescu2015spectral} (see Conjecture 1 therein) that at least $n^{1.5}$ many samples are required for exact recovery. \n\n\nOn the other hand, focusing on the $\\theta =0$ case, recovering the ground-truth vector from the measurement vector $\\mathbf{Y}$ is essentially the same as solving linear equations over the Galois field of two elements $\\mathbb{F}_2$.\nHence it immediately follows that efficient algorithms for solving linear equations such as Gaussian elimination can be employed in the noiseless case.\n\n\\begin{figure}\n\t\\centering\n\t\\includegraphics[width=.45\\textwidth]{figs\/fig6.eps}\n\t\\caption{\\footnotesize{We run the Monte Carlo simulations to estimate the probability of success for $n=1000$, varying $d$, and $\\theta=0$. For each $d$, we normalize the number of samples by  $\\max({n, n\\log n\/d})$. Observe that the probability of success quickly approaches $1$ as the normalized sample complexity crosses $1$.}\n\t\t\\label{fig:6}}\n\\end{figure}\n\\begin{figure}\n\t\\centering\n\t\\includegraphics[width=0.45\\textwidth]{figs\/fig7.eps}\n\t\\caption{\\footnotesize{We run the Monte Carlo simulations to estimate the probability of success for varying $n$, varying $d$, $\\theta=0$, and $p = {1.1n}\/{n \\choose d}$.\n\t\t\tNote that when $n$ increases by a multiplicative factor of $4$, the curve shifts rightward about the same amount, supporting our result in Corollary~\\ref{thm:main_dstar}}\n\t\t\\label{fig:7}}\n\\end{figure}\n\n\\subsubsection{Information-theoretic limit} \nWe first provide Monte Carlo simulation results which corroborate our theoretical findings in Theorem~\\ref{thm:main2}.\nEach point plotted in Fig.~\\ref{fig:6} and Fig.~\\ref{fig:7} is an empirical success rate. \nAll results are obtained with $50$ Monte Carlo trials. \nIn Fig.~\\ref{fig:6}, we plot the probability of successful recovery for $n=1000$, varying $d$, and $\\theta=0$. For each $d$, we normalize the number of samples by  $\\max({n, n\\log n\/d})$. \nOne can observe that the probability of success quickly approaches $1$ as the normalized sample complexity crosses $1$. \n\n\\subsubsection{Minimum $d$ for linear sample complexity} Plotted in Fig.~\\ref{fig:7} are the simulation results for varying $n$, varying $d$, $\\theta=0$, and $p = {1.1n}\/{n \\choose d}$. \nWe note that when $n$ increases by a multiplicative factor of $4$, the curve shifts rightward about the same amount, supporting our result in Corollary~\\ref{thm:main_dstar}. \n\n\n\n\n\\section{Conclusion}\n\\label{sec:conclusion}\n\nIn this paper, we investigate the problem of community recovery in hypergraphs under the two generalized censored block models (GCBM), one based on the homogeneity measurement~and the other based on the parity measurement. For these two models, we fully characterize the information-theoretic limits on sample complexity as a function of the number of nodes $n$, the size of edges $d$, the noise rate $\\theta$, and the edge observation probability $p$. \nWe also corroborate our theoretical findings via experiments. \n\n\nWe conclude our paper by highlighting  a few interesting open problems.\nOne interesting question is whether or not one can sharpen Theorem~\\ref{thm:main3} to characterize exact information-theoretic limits for the scaling $d$ case. \nFrom the simulation results in Sec.~\\ref{sim:parity}, we make the following conjecture: Under the setting of Theorem~\\ref{thm:main3}, the information-theoretic limits is $\\max\\left\\{ \\frac{n}{1-H(\\theta)},~ \\frac{1}{d} \\frac{n\\log n}{(\\sqrt{1-\\theta}-\\sqrt{\\theta})^2} \\right\\}$.\nAnother interesting open problem is about the computational gap for the parity measurement~case: Investigating efficient algorithms for this case would shed some light on the study of information-computation gaps.\n\n\n\n\n\n\n\n\n\\bibliographystyle{IEEEtran}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\\label{sec:intro}\n\n\n\nThe axion was introduced \nto solve the strong $CP$ problem~\\cite{Peccei:1977hh,Peccei:1977ur,Weinberg:1977ma,Wilczek:1977pj}, but has since matured into a broader concept addressing many open questions in particle physics and cosmology. These axion-like particles\\footnote{In the following, we will for brevity refer to all axion-like particles simply as `axions', using the term `QCD axion' to refer to the axion addressing the strong $CP$ problem.} are pseudoscalars which couple to the Standard Model (SM) gauge fields and fermions via (classically) shift-symmetric couplings mediated by dimension five operators. For example, in the context of cosmic inflation, this shift symmetry ensures a sufficiently flat direction in field space suitable to drive the exponential expansion of the very early Universe~\\cite{Freese:1990rb}. In the context of dark matter, these small interactions with the SM ensure that an axion dark matter candidate is sufficiently long lived, while simultaneously providing an avenue for detection~\\cite{PRESKILL1983127,ABBOTT1983133,DINE1983137}. In the context of string theory, axions are ubiquitous and typically arise as a result of the compactification~\\cite{Banks:2003sx,Svrcek:2006yi,Ibanez:1986xy}.\n\n\nBeyond all this, axions provide all the ingredients necessary to generate the matter antimatter asymmetry of our Universe via spontaneous baryogenesis: a non-vanishing velocity of a classical axion field spontaneously breaks $CPT$, which, in the presence of baryon number violating interactions, can generate a baryon asymmetry~\\cite{Cohen:1987vi,Cohen:1988kt}.\nThis idea has been pursued \\textit{e.g.}, in Refs.~\\cite{Chiba:2003vp,Takahashi:2003db,Kusenko:2014uta,Ibe:2015nfa,Takahashi:2015waa,Jeong:2018jqe,Bae:2018mlv,Co:2019wyp}. There are two main points which differ among these works. Firstly, the motion of the axion may happen at any time between cosmic inflation or the electroweak phase transition, with correspondingly different physical processes responsible for triggering this motion. Secondly, different studies chose different couplings of the axion to the SM particle content, \\textit{i.e.}, different linear combinations of the possible shift-symmetric operators.\n   \nIn this paper we provide a simple formalism to study this class of models in a more systematic way. Starting from an axion $a$ coupling to an arbitrary combination of classically shift-symmetric operators (with coefficients encoded in the source charge vector $n_S$) we compute the final baryon asymmetry taking into account all the SM equilibration processes. \nA non-vanishing velocity of the axion biases the SM processes by acting as an effective chemical potential, thus modifying the equilibrium state of the system. As long as the baryon violating processes are involved in attaining this new equilibrium, the baryon asymmetry becomes non-zero and\nits final value is conserved when the baryon violating processes freeze-out (see Fig.~\\ref{fig:schematic} as an illustration).\nTherefore this mechanism generically leads to a generation of a baryon asymmetry even if there is no direct coupling between the axion and any baryon or lepton number violating operator.\\footnote{\nA similar idea was discussed in Refs.~\\cite{Chiba:2003vp, Takahashi:2003db}, \nwhere a baryon (and\/or) lepton asymmetry is generated from a scalar field that is not coupled to the baryon nor lepton current. \nThey consider the case of\nan operator $O_V$ that violates both a global Peccei-Quinn symmetry U(1)$_{\\rm PQ}$\nand the baryon (and\/or lepton) symmetry U(1)$_B$,\n\\textit{i.e.}, $\\partial_\\mu J_\\text{PQ}^\\mu = \\Delta_\\text{PQ} O_V$ and $\\partial_\\mu J_{B}^\\mu = \\Delta_{B} O_V$\nwith $\\Delta_{\\rm PQ}$ and $\\Delta_B$ characterizing the amounts of violation of each symmetry.\nAn axion coupling of $a \\partial_\\mu J_\\text{PQ}^\\mu$ can generate the baryon (and\/or lepton) asymmetry because one can rewrite $a \\partial_\\mu J_\\text{PQ}^\\mu$ as $a \\partial_\\mu J_B^\\mu$ by performing a field rotation associated with $Q_\\text{PQ} - (\\Delta_\\text{PQ}\/\\Delta_B) Q_B$.\nIn this paper, we will show that adding such an operator is not necessary for baryogenesis if we introduce an additional ingredient. See Fig.~\\ref{fig:schematic}.\nThere we illustrate our idea with a toy model: $\\partial_\\mu J_B^\\mu = \\partial_\\mu (J_1^\\mu + J_2^\\mu) = O_V$ and $\\partial_\\mu J_2^\\mu = O_X$. As explained in the caption, a derivative coupling of $a \\partial_\\mu J_2^\\mu$ can generate $Q_B$ although $J_2$ is not broken by $O_V$.\nBy applying this mechanism to a more realistic case, we show, for instance, the SU$(3)$ Chern-Simons coupling $a G \\tilde G$ can source the baryon asymmetry, although it has nothing to do with baryon number violation.\n}\n\n\n\\begin{figure}[t]\n\t\\centering\n \t\\includegraphics[width=0.65\\linewidth]{.\/fig\/orthogonality.pdf}\n\t\\caption{ \n\tA schematic figure of our baryogenesis mechanism. Since the SM involves many particle species and interactions,\n\there we consider a toy model composed of two species and two interactions as an illustration.\n\tIts current equations are $\\partial_\\mu J_1^\\mu = - O_X + O_V$ and $\\partial_\\mu J_2^\\mu = O_X$, and the degrees of freedom for $Q_1$ and $Q_2$ are assumed to be the same.\n\tWe would like to generate $Q_B = Q_1 + Q_2$, which is violated by $O_V$ as $\\partial_\\mu J^\\mu_B = O_V$.\n\tConventional spontaneous baryogenesis introduces a direct coupling of a scalar field $a$ to the $Q_B$-violating operator as $a O_V$ or equivalently $a \\partial_\\mu J_B^\\mu$.\n\tHowever, a coupling of $a O_X$ (or equivalently $a \\partial_\\mu J_2^\\mu$) which is not directly related to the $J_B$-current is enough for baryogenesis.\n\tA non-vanishing velocity ($\\dot a \\neq 0$) biases $Q_1$ and $Q_2$ through $a O_X$ while $O_V$ tries to wash out $Q_1$. As a result, the new equilibrium solution ({\\color[rgb]{0.147398,0.511420,0.836949}eq}) is different from the thermal equilibrium ({\\color[rgb]{0.185048,0.192302,0.272102}th-eq}) and has a non-vanishing $Q_B$.\n\tAfter $O_V$ freezes-out, $Q_B$ becomes conserved, and we end up with $Q_B \\neq 0$ ({\\color[rgb]{0.942597,0.388320,0.387950}final}) when $\\dot a = 0$. \n\tThe only way to \\textit{avoid} generating $Q_B \\neq 0$ is to couple the axion as $a(c_XO_X + c_V O_V)$ with $c_X+2c_V = 0$.\n\tThen the axion velocity only biases $Q_1 - Q_2$ violated by $-2 O_X + O_V$, which is orthogonal to $Q_B$.\n\t}\n\t\\label{fig:schematic}\n\\end{figure}\n\n\n\nWe formulate this process by an algebraic matrix equation with the entries of the matrix encoding the various SM processes and the source vector $n_S$ corresponding to the axion coupling.\nThe only condition for baryogenesis is that the source charge vector $n_S$ should not be fully orthogonal to the charge vector of the baryon number violating process, \\textit{i.e.}, a baryon number violating process needs to be involved either directly in the axion coupling or in the subsequent equilibration of the asymmetry. \nOur formalism correctly accounts for two important technical points: i) the transport equation, which describes the equilibration process, is independent of the choice of field basis related by field redefinitions and ii) the charge vectors of the involved processes are a priori not linearly independent.\nIn particular,  point i) implies that performing a  field rotation \nmapping the axion coupling to one operator (\\textit{e.g.}, the electroweak sphaleron $a W \\tilde W$) to another (such as the lepton current $a \\partial_\\mu J_L^\\mu$) \ndoes not change the dynamics of baryogenesis. Such operations, if performed correctly, can therefore never change the condition for baryogenesis, and hence the resulting baryon asymmetry should be given in a form invariant under this transformation.\\footnote{A similar point was noted in Ref.~\\cite{Abel:2018fqg}. Our analysis extends this result to non-equilibrium situations, which in particular arise when marginally relevant processes are involved in the generation of the baryon asymmetry.}\nAlso, if marginally relevant processes are involved, we have to track the time-evolution of the baryon asymmetry in order to determine its final value, but our condition remains as a necessary condition for successful baryogenesis.\n\nAs a concrete example we apply this formalism to baryogenesis around the electroweak phase transition, invoking the original Peccei-Quinn axion and an Affleck-Dine type mechanism to trigger the axion motion (see Ref.~\\cite{Co:2019wyp}). In this case, a notable subtlety arises because the charge vectors of the up-Yukawa, the down-Yukawa and the strong sphaleron and not linearly independent. As a consequence, the generated charge asymmetries in principle backreact on the axion equation of motion,\\footnote{\n\tThe backreaction to the axion is correctly taken into account in Refs.~\\cite{McLerran:1990de,Co:2019wyp} in the case where the axion couples to the strong Chern-Simons term, $a G \\tilde G$.\n\tOur formalism generalizes this to an arbitrary transport equation with an arbitrary axion couplings.\n} though in the parameter space of interest this is not of phenomenological importance.\n\n\n\nAs a second example, we consider high-scale baryogenesis invoking the lepton-number violating Weinberg operator as well as a coupling to the lepton current or to $\\tilde W W$ during reheating (see Ref.~\\cite{Kusenko:2014uta}). Since the electroweak sphaleron comes into equilibrium only when the Weinberg operator drops out of equilibrium, the final baryon asymmetry (obtained by numerically solving the appropriate differential equation) is suppressed compared to the equilibrium solution (see also Ref.~\\cite{Daido:2015gqa}). \nWe point out that, in the presence of the lepton-number violating Weinberg operator, the couplings to the lepton current and to $\\tilde W W$ are not equivalent. This is a consequence of the invariance of the transport equation under  field rotations.\n\nIn addition, by deriving a general condition for the axion coupling to trigger successful baryogenesis, we show that other couplings such as the coupling of the axion to gluons, $a \\tilde G G$, which itself preserves baryon and lepton number, can account for the present baryon asymmetry both in electroweak-scale~\\cite{Co:2019wyp} and high-scale baryogenesis.\\footnote{\n\tSoon after we uploaded our paper on the arXiv, Ref.~\\cite{Co:2020jtv} appeared, independently also pointing out that $a G \\tilde G$ can source the $B-L$ asymmetry in the presence of the Weinberg operator.\n}\n\n\nThe remainder of this paper is organized as follows. In Sec.~\\ref{sec:transport} we derive the transport equation describing the time evolution of chemical potentials in the presence of an axion coupling to a set of operators (see Appendix~\\ref{sec:derivation} for details). Without making any assumptions on the particle content and operator involved, we lay out the framework to compute the equilibrium solution and the final asymmetries. We explicitly demonstrate the invariance of the transport equation under field rotations which seemingly change the axion coupling\nand discuss backreaction of the induced chemical potentials on the axion equation of motion (see Appendix~\\ref{sec:br_pr} for details). In Sec.~\\ref{sec:SM-transport} we specify the relevant Standard Model (SM) processes as well as their equilibration temperatures, extending the discussion in Ref.~\\cite{Garbrecht:2014kda} by including the renormalization group running of the Yukawa couplings. Sections~\\ref{sec:b+l} and \\ref{sec:b-l} are dedicated to two concrete examples of baryogenesis around the electroweak phase transition and reheating, respectively. We conclude in Sec.~\\ref{sec:conc}. \n\n\n\n\\section{Transport equation and basis independence}\n\\label{sec:transport}\n\n\n\\subsection{Transport equation}\n\\label{subsec:transport}\n\nIn this section, we discuss the general structure of the transport equation without specifying a particular system. We take a rather general attitude and derive several properties that hold for any transport equation in a homogeneous and isotropic system. Starting from the current equation and symmetry properties, which follow immediately from the Lagrangian of a given system, we invoke linear response theory to obtain a simple linear algebra system describing the equilibrium solution for all chemical potentials.\nSome concrete examples will be considered in Secs.~\\ref{sec:b+l} and \\ref{sec:b-l}, with a particular focus on the resulting asymmetries in the total baryon number.\nFor the convenience of readers, we summarize our definitions of indices and symbols in Appendix.~\\ref{sec:symbols}. \n\n\n\\paragraph{Current equation.}\nOur starting point is the following operator\nequation:\n\\begin{align}\n\t\\partial_{\\mu} J^{\\mu}_{i} (x) = \\sum_{\\alpha} n^{\\alpha}_{i} O_{\\alpha} (x)\\,.\n\t\\label{eq:current-eq}\n\\end{align}\nHere $J_{i}^{\\mu}$ is the current corresponding to a particle species $i$ (with $i = 1, \\cdots, N$) and the operator $O_{\\alpha}$ encodes \\textit{e.g.}, the anomalous contribution $F \\tilde F$ or Yukawa interactions.\nFor each $O_\\alpha$, there exists a vector $n_{i}^{\\alpha}$ that specifies the charge of each species $i$ involved in the process of $O_{\\alpha}$ (see Sec.~\\ref{sec:SM-transport} for details on these operators in the SM).\nFor conserved currents, the right-hand side of Eq.~\\eqref{eq:current-eq} vanishes.\n\n\\paragraph{Transport equation.}\nWe can derive a transport equation by taking the expectation value of both sides of this equation.\nAs usual, we assume that the chemical equilibration associated with the current equations is much slower than typical scatterings.\nThis justifies the approximation of kinetic equilibrium for the system, and hence the deviation from the chemical equilibrium can be characterized by slowly varying chemical potentials $\\mu_{i}$ for each charge $J_{i}^{0}$.\nLet $q_{i}$ be a charge density of species $i$ defined by\n\\begin{align}\n\tq_{i} (t) \\equiv \\frac{1}{\\operatorname{vol} (\\mathbb{R}^{3})} \\int \\mathrm{d}^{3} x \\,\\vev{J_{i}^{0} (t, \\bm{x})} = \\vev{J_{i}^{0} (t, \\bm{0})}\\,.\n\t\\label{eq:q_i}\n\\end{align}\nThroughout this paper, we assume homogeneity and isotropy of the system.\nWe use this property in the second equality.\nThe connection to the chemical potential is given by\n\\begin{align}\n\tq_{i} (t) = g_{i} \\mu_{i} (t) \\frac{T^{2}}{6}\\,,\n\t\\label{eq:mu_i}\n\\end{align}\nwhere $T$ is the temperature of the ambient plasma and the multiplicity is $g_{i}  = 1, 2$ for a chiral fermion and a complex scalar, respectively. \nWe assume $\\mu_i \\ll T$ for all $i$ throughout this paper.\nNote that one should introduce different chemical potentials for each species which are distinguishable by any of the relevant interactions.\n\n\nThe left-hand side of Eq.~\\eqref{eq:current-eq} gives\n\\begin{align}\n\t\\frac{1}{\\operatorname{vol} (\\mathbb{R}^{3})} \\int \\mathrm{d}^{3} x\\, \\partial \\cdot \\vev{J_{i} (t, \\bm{x})}\n\t= \\dot q_{i} (t)\\,.\n\\end{align}\nOne may evaluate the right-hand side {by computing the linear response of the system to a small perturbation $\\mu_{i} \/ T \\ll 1$.}\nAs can be seen from Eq.~\\eqref{eq:current-eq}, an operator $\\alpha$ involves $n^{\\alpha}_{i}$ charges for each species $i$.\nTherefore, the expectation value of $O_{\\alpha}$ is given by\n\\begin{align}\n\t\\frac{1}{\\operatorname{vol} (\\mathbb{R}^{3})} \\int \\mathrm{d}^{3} x \\, \\vev{O_{\\alpha} (t, \\bm{x})} = -\n\t\\Gamma_{\\alpha} \\sum_{j} n^{\\alpha}_{j} \\frac{\\mu_{j}}{T}\\,,\n\t\\label{eq:transport-coef}\n\\end{align}\nwhere\n\\begin{align}\n\t\\Gamma_{\\alpha} \\equiv - \\left. \\frac{T G_{\\alpha}^{\\rho} (\\omega, \\bm{0})}{2 \\omega} \\right|_{\\omega = 0} \\,, \\quad \n\tG_{\\alpha}^{\\rho} (\\omega,\\bm{p}) \\equiv \\int \\mathrm{d}^4 x\\, e^{i\\omega x^0 - i \\bm{p} \\cdot \\bm{x}} \\vev{ \\left[ O_{\\alpha} (x), O_{\\alpha} (0) \\right] }.\n\t\\label{eq:Gamma_alpha}\n\\end{align}\nat the linear response.\\footnote{\nThis $\\Gamma_\\alpha$ is the linear response coefficient of interaction processes to a chemical potential. Regarding sphaleron processes, one may alternatively define $\\Gamma$ by the diffusion constant per unit volume of Chern-Simons number. The latter one is twice larger than the former one by a fluctuation dissipation relation. The difference comes from the average between the forward and backward sphaleron rates~\\cite{McLerran:1990de}. \n}\nSee Appendix.~\\ref{sec:derivation} for the derivation and a more precise definition of correlators.\n$\\Gamma_{\\alpha}$ represents the rate per unit time-volume for $O_{\\alpha}$.\nFor later convenience, we also define the rate per unit time by\n\\begin{align}\n\t\\gamma_{\\alpha} \\equiv \\frac{\\Gamma_{\\alpha}}{T^{3}\/6}\\,.\n\t\\label{eq:gamma_alpha}\n\\end{align}\nTherefore the transport equation corresponding to the current equation \\eqref{eq:current-eq} can be expressed as\n\\begin{align}\n\t\\dot q_{i} = - \\sum_{j} \\Gamma_{ij} \\frac{\\mu_{j}}{T}\\, , \\qquad\n\t\\Gamma_{ij} \\equiv \\sum_{\\alpha} \\Gamma_{\\alpha} n_{i}^{\\alpha} n_{j}^{\\alpha}\\, .\n\t\\label{eq:transport}\n\\end{align}\n\n\\paragraph{Conserved quantities.}\nIn general, this matrix $\\Gamma_{ij}$ can have vanishing eigenvalues.\nLet $\\{n_{i}^{A}\\}$ be a set of eigenvectors with zero eigenvalues.\nThe presence of these eigenvectors indicates that, if one pumps up a chemical potential as $\\sum_{i} n^{A}_{i} J^{0}_{i}$, it does not induce any chemical reactions.\nTherefore this set corresponds to the conserved charges in this system.\nOne can see this by multiplying this vector from the left to both sides of Eq.~\\eqref{eq:transport}, leading to\n\\begin{align}\n\t0 = \\sum_{i} n^{A}_{i} \\dot q_{i} \\quad \\longrightarrow \\quad\n\tq_{A} = \\text{const.}\\,, \\quad q_{A} \\equiv \\sum_{i} n^{A}_{i} q_{i}\\, ,\n\t\\label{eq:q_A}\n\\end{align}\nwhich is equivalent to\n\\begin{align}\n\t\\sum_{i} n^{A}_{i} g_{i} \\frac{\\mu_{i}}{T} = c_{A}\\,,\n\t\\label{eq:conservation}\n\\end{align}\nwith $c_A$ being a constant.\nHere a constant $c_{A}$ sets the conserved charge $A$ of this system as\n$q_{A} = c_{A} T^{3} \/ 6$.\n\n\\paragraph{Interaction basis.}\nIn general, some charge vectors can be expressed as a linear combination of the others.\nOne may choose a complete set of vectors $n^{\\alpha}_{i}$ (associated with $O_{\\alpha}$) that are linearly independent, which we denote as $\\{ n_i^{\\hat\\alpha} \\}$.\nFor later convenience, we denote the rest of the charge vectors as $n_i^{\\alpha_\\Delta}$ which can be expressed as a linear combination of $\\{n_i^{\\hat \\alpha}\\}$.\nNow the set of $\\{ n^{\\hat\\alpha}_{i}\\}$ and $\\{n^{A}_{i} \\}$ forms a complete basis of the chemical potential space.\nNote here that the vector spaces spanned by $\\{ n_i^{\\hat \\alpha} \\}$ and $\\{ n_i^A \\}$ are orthogonal because $0 = \\sum_i n_i^{\\hat \\alpha} n_i^A$ for any $\\hat \\alpha$ and $A$.\nSince the sets of basis vectors $\\{ n_i^{\\hat \\alpha} \\}$ and $\\{ n_i^A \\}$ are not orthonormal,\nwe define dual basis vectors $\\{ \\bar{n}_i^{\\hat \\alpha} \\}$ and $\\{ \\bar{n}_i^A \\}$ respectively such that $\\sum_i \\bar{n}_i^{\\hat \\alpha} n_i^{\\hat\\beta} = \\delta_{\\hat \\alpha \\hat \\beta}$ and $\\sum_i \\bar{n}_i^A n_i^{B} = \\delta_{AB}$.\nNote that we also have $0 = \\sum_i \\bar{n}_i^{\\hat \\alpha} n_i^A = \\sum_i \\bar{n}_i^A n_i^{\\hat \\alpha} = \\sum_i \\bar{n}_i^{\\hat \\alpha} \\bar{n}_i^{A}$ because the vector spaces spanned by $\\{ n^{\\hat\\alpha}_{i}\\}$ and $\\{n^{A}_{i} \\}$ are orthogonal.\nFor notational brevity, we introduce a collective notation $\\{ n^{X}_{i} \\} \\equiv \\{ n^{\\hat\\alpha}_{i}, n^{A}_{i} \\}$ and $\\{ \\bar n^{X}_{i} \\} \\equiv \\{ \\bar n^{\\hat\\alpha}_{i}, \\bar n^{A}_{i} \\}$ with\n\\begin{align}\n\t\\sum_{i} \\bar n^{X}_{i} n^{Y}_{i} = \\delta_{XY}\\,, \\quad\n\t\\sum_{X = \\hat\\alpha, A} \\bar n^{X}_{i} n^{X}_{j}  = \\delta_{ij}\\,.\n\t\\label{eq:orthogonality}\n\\end{align}\nWe denote the number of the basis vectors $\\{ n^{\\hat\\alpha}_{i} \\}$ ($\\{ n^{A}_{i} \\}$) as $N_{\\hat\\alpha} (N_{A})$.\nBy definition, we have $N = N_{\\hat\\alpha} + N_{A}$. \nFor later convenience, we further divide the basis vectors  $n_i^{\\hat\\alpha}$ into $\\{ n_i^{\\hat \\alpha_\\perp} \\} \\equiv \\{ n_i^{\\hat \\alpha} | \\sum_i \\bar{n}_i^{\\hat \\alpha} n_i^{\\alpha_\\Delta} = 0~\\text{for all}~\\alpha_\\Delta\\}$ and $\\{ n_i^{\\hat \\alpha_\\parallel} \\} \\equiv \\{ n_i^{\\hat \\alpha} | \\sum_i \\bar{n}_i^{\\hat \\alpha} n_i^{\\alpha_\\Delta} \\neq 0 ~\\text{for some}~\\alpha_\\Delta\\}$. The latter set $\\{n_i^{\\hat\\alpha_\\parallel}\\}$ involves a linear dependent relation with $n_i^{\\alpha_\\Delta}$ as $n_i^{\\alpha_\\Delta} = \\sum_{\\hat\\alpha_\\parallel} U^T_{\\alpha_\\Delta \\hat\\alpha_\\parallel} n_i^{\\hat\\alpha_\\parallel}$ with $U^T_{\\alpha_\\Delta \\hat\\alpha_\\parallel} \\neq 0$.\nNote that the dual vector $\\bar{n}_i^{\\hat\\alpha}$ is related to a conserved charge \nin the case where the interaction $\\hat\\alpha$ is turned off if $\\hat \\alpha \\in \\{ \\alpha_\\perp\\}$. In this case the conserved charge\nis $q_{\\hat\\alpha} = \\sum_i \\bar{n}_i^{\\hat\\alpha} q_i$ and the corresponding chemical potential is $\\mu_{\\hat\\alpha} = \\sum_i g_i \\bar{n}_i^{\\hat\\alpha}$.\\footnote{\nThese conserved charges provide the physical intuition behind distinguishing between linearly independent and dependent basis vectors, namely $\\sum_i \\bar{n}_i^{\\hat\\alpha} n_i^{\\alpha_\\Delta} = 0$ and $\\sum_i \\bar{n}_i^{\\hat\\alpha} n_i^{\\alpha_\\Delta}\\neq 0$, respectively. A linearly dependent basis vector implies a reduced number of conserved charges when we turn off its corresponding interaction.}\n\n\n\n\n\\subsection{Transport equation including an axion}\n\\label{sec:basis-indep}\n\nNow we shall include a coupling to an axion. In particular, we will provide a general transport equation in the presence of a non-vanishing velocity of the axion by assuming that the change of the axion velocity is much slower than the typical interactions in the ambient plasma (see Appendix.~\\ref{sec:derivation} for the details of derivation and assumptions).\nAs an aside, we show that the resulting transport equation is invariant under field redefinitions associated with charges in the current equation, which seemingly change the coupling to the axion.\n\n\n\\paragraph{Coupling to the axion.}\n\n\nBefore discussing the coupling to the axion, let us briefly recall the derivation of~\\eqref{eq:current-eq}.\nLet $\\{\\Phi\\}$ be a set of fields in the action $S$ and\nconsider a U$(1)_k$ transformation: $\\{\\Phi'\\} = \\{e^{i \\theta_k Q_k} \\Phi\\}$.\nThe current equation follows if the path-integral fulfills \n\\begin{align}\n\t\\int \\left[ \\mathrm{d} \\mu' \\right] F[\\{\\Phi'\\}] e^{i S[\\{ \\Phi' \\}]}\n\t&= \\int \\left[ \\mathrm{d} \\mu \\right] F[\\{\\Phi\\}] e^{i S[\\{ \\Phi \\}] \n\t+ \\int \\mathrm{d}^4 x\\, i \\theta_k  \\left( \\partial \\cdot J_k - \\sum_\\alpha n_k^\\alpha O_\\alpha  \\right) + i R (\\theta_k)}\n\t\\label{eq:derivation_current}\n\t\\\\\n\t&= \\int \\left[ \\mathrm{d} \\mu \\right] F[\\{\\Phi\\}] e^{i S[\\{ \\Phi \\}] }\n\t\\left[ 1 + \\int \\mathrm{d}^4 x \\, i \\theta_k  \\left( \\partial \\cdot J_k - \\sum_\\alpha n_k^\\alpha O_\\alpha  \\right) + \\mathcal{O} (\\theta_k^2) \\right]\n\t\\,,\n\\end{align}\nwith $[\\mathrm{d} \\mu]$ being a measure of the path-integral and $F[\\{\\Phi\\}]$ being a functional of $\\{\\Phi\\}$ invariant under the U$(1)_k$ transformation.\\footnote{\n\tWe take $F[\\{\\Phi\\}]$ invariant under the U$(1)_k$ transformation just for simplicity. If $F[\\{\\Phi\\}]$ is charged under this, we get the anomalous Ward-Takahashi identity associated with the commutator $[Q_k,F]$.\n}\nHere $R$ in the first equation involves terms at a higher order in $\\theta_k$.\nDifferentiating with respect to $\\theta_k$ and taking $\\theta_k = 0$, we obtain the current equation \\eqref{eq:current-eq}.\n\n\nNow we are ready to couple the current equation \\eqref{eq:current-eq} to a homogeneous axion field $a(t)$ with a decay constant $f$.\nThere are two types of (classically) shift-symmetric couplings.\nOne is a direct coupling with the current:\n\\begin{align}\n\t\\mathcal{L}_a = - \\frac{a}{f} \\partial \\cdot J_k\n\t= \\frac{\\dot a}{f} J_{k}^{0} + (\\text{total derivative})\\,.\n\t\\label{eq:current-coupling}\n\\end{align}\nAfter integration by parts, this coupling can be regarded as an external chemical potential.\nThe other is an indirect coupling to the current with an operator $O_{\\beta}$ appearing in the current equation:\n\\begin{align}\n\t\\mathcal{L}_a = \n\t- \\frac{a}{f} O_{\\beta}\\,,\n\t\\label{eq:operator-coupling}\n\\end{align}\nat linear order in $a\/f$.\nThe second coupling respects the classical shift symmetry of $a$,\nif one can rewrite it as $(a\/f) O_{\\hat\\beta} =  (a\/f) \\sum_{i} \\bar n^{\\hat \\beta}_{i} \\partial \\cdot J_{i}$ by reversing the transformation in Eq.~\\eqref{eq:derivation_current} at linear order in $a\/f$\\footnote{\n\tIf we keep the nonlinear part appearing in the transformation~\\eqref{eq:derivation_current},\n\tthe equality should be $(a\/f) O_{\\hat\\beta} =  \\sum_{i}\\bar n^{\\hat\\beta}_{i} (a\/f) \\partial \\cdot J_{i} + R(\\{\\bar{n}_i^{\\hat\\beta} a\/f\\})$.\n\tHowever, throughout the main text, we assume that the axion mass originating from this coupling is negligible and the typical time scale of axion motion is much slower than $1\/T$.\n\tUnder these approximations, one may always rotate away a constant term in the axion, and also expand the resulting equations in $\\dot a \/ (fT)$.\n\tThese are the underlying reasons why we may use transport equations at linear order in the axion field.\n\tSince we restrict ourselves to this case in this paper anyway, we can drop the nonlinear part of $a\/f$ in this discussion.\n\\label{fn:axion_mass}\n}\nor if it is a total derivative of some other operator $O_{\\beta} = \\partial \\cdot K_{\\beta}$ (\\textit{e.g.}, $W \\tilde W = \\partial \\cdot K_\\text{WS}$).\\footnote{\n\tThe latter case could be broken quantum mechanically by the instanton.\n\tThis is why we said ``classically'' shift symmetric.\n}\nMore general couplings can be generated from a linear combination of the two couplings in Eqs.~\\eqref{eq:current-coupling} and \\eqref{eq:operator-coupling}, and hence these two are sufficient for our discussion.\nThese shift-symmetric couplings with the axion modify the transport equation as follows:\n\\begin{align}\n\t\\dot q_{i} = - \\sum_{j} \\Gamma_{ij} \\frac{\\mu_{j}}{T} + \\frac{\\dot a \/ f}{T} S_{i}\\,.\n\t\\label{eq:transport-with-a}\n\\end{align}\nIn the following, we discuss the source term $S_{i}$  for each case.\n\n\n\n\n\n\n\\paragraph{Axion source terms.}\nLet us start with the direct coupling to the current, given by Eq.~\\eqref{eq:current-coupling}. As already mentioned, this coupling can be regarded as an external chemical potential of $(\\dot a \/ f) J_{k}^{0}$.\nSuch an external chemical potential gives rise to a shift of $\\mu_{k} \\mapsto \\mu_{k} - \\dot a \/ f$, indicating $\\mu_{k} = \\dot a \/ f$ at equilibrium.\nThis observation implies the following form for the transport equation:\n\\begin{align}\n\t\\dot q_{i} = - \\sum_{j} \\Gamma_{ij} \\left( \\frac{\\mu_{j}}{T} - \\frac{\\dot a \/ f}{T} \\delta_{jk} \\right)\n\t\\qquad \\text{for the axion coupling} \\quad \\frac{\\dot a}{f} J_{k}^{0}\\,.\n\t\\label{eq:transport-eq-current}\n\\end{align}\nThis means that the source term in Eq.~\\eqref{eq:transport-with-a} is given by\n\\begin{align}\n\tS_{i} = \\sum_{j} \\Gamma_{ij} \\delta_{jk}\n\t\\qquad \\text{for the axion coupling} \\quad \\frac{\\dot a}{f} J_{k}^{0}\\,.\n\t\\label{eq:axion-chemical}\n\\end{align}\nas expected.\n\n\nNext we move on to the coupling with an operator $- (a \/ f) O_{\\beta}$ [see Eq.~\\eqref{eq:operator-coupling}]. \nIn linear response, this interaction introduces a bias on the processes involving this operator.\nTherefore, we expect\n\\begin{align}\n\t\\frac{1}{\\operatorname{vol}(\\mathbb{R}^{3})} \\int \\mathrm{d}^{3}x\\, \\vev{ O_{\\alpha} (t, \\bm{x}) |_{a\/f} } = -\\Gamma_{\\alpha} \\sum_{j} n_{j}^{\\alpha} \\frac{\\mu_{j}}{T} \n\t+ \\delta_{\\alpha \\beta} \\Gamma_{\\alpha} \\frac{\\dot a \/ f}{T}\\,,\n\t\\label{eq:axion-op-lr}\n\\end{align}\nwhere the expectation value with a superscript of $a \/ f$ implies the presence of the axion coupling.\nWe show that this relation indeed holds in Appendix.~\\ref{sec:derivation} by means of linear response theory.\nIn the derivation of the transport equation from Eq.~\\eqref{eq:current-eq}, the expectation value of the right-hand side should be replaced with Eq.~\\eqref{eq:axion-op-lr}.\nHence, the transport equation becomes\n\\begin{align}\n\t\\dot q_{i} =  - \\sum_{\\alpha} n^{\\alpha}_{i} \\Gamma_{\\alpha} \\left( \n\t \\sum_{j} n^{\\alpha}_{j} \\frac{\\mu_{j}}{T} - \\frac{\\dot a \/ f}{T} \\delta_{\\alpha \\beta} \n\t\\right)  \\qquad\n\t\\text{for the axion coupling} \\quad - \\frac{a}{f} O_{\\beta}\\,,\n\t\\label{eq:axion-op-transport}\n\\end{align}\nimplying that the corresponding source term in Eq.~\\eqref{eq:transport-with-a} is given by\n\\begin{align}\n\tS_{i} = \\sum_{\\alpha}  n^{\\alpha}_{i} \\Gamma_{\\alpha} \\delta_{\\alpha \\beta}\n\t\\qquad\n\t\\text{for the axion coupling} \\quad - \\frac{a}{f} O_{\\beta}\\,.\n\t\\label{eq:axion-op}\n\\end{align}\n\n\nFor a more general coupling, it is convenient to introduce a source vector $n_S^\\alpha$ such that \n\\begin{align}\n S_i \\equiv \\sum_\\alpha \\Gamma_\\alpha n_i^\\alpha n_S^\\alpha. \n \\label{eq:sourcevec}\n\\end{align}\nThen we obtain, \\textit{e.g.}, $n_S^\\alpha = \\delta_{\\alpha \\beta}$ for the coupling of $-(a\/f) O_\\beta$, and\n$n_S^\\alpha = n_k^\\alpha$ for $- (a \/ f) \\sum_{\\beta} n^{\\beta}_{k} O_{\\beta}$ or $- (a \/ f) \\del \\cdot J_k$. \nIf the axion couples to a current $J_Q$ ($= \\sum n_i^Q J_i$) where $n_i^Q$ is its charge vector, the source vector is given by $n_S^\\alpha = \\sum_i n_i^Q n_i^\\alpha$. \n\n\n\n\\paragraph{Basis independence.}\nSo far, we have seen how the shift-symmetric couplings of the axion given in Eqs.~\\eqref{eq:current-coupling} and \\eqref{eq:operator-coupling} give rise to the source terms in the transport equation.\nHowever, there are subtleties in this computation because the coupling to the axion has redundancies in its description owing to the current equations and the conserved charges.\n\n\nAs an illustration, let us consider a theory with $- (a\/f) \\partial \\cdot J_{k}$.\nOne may compute the source term of this coupling and then obtain Eq.~\\eqref{eq:axion-chemical}.\nInstead, one may perform a field rotation associated with the charge $J_{k}^{0}$,\nwhich yields $- (a\/f) \\sum_{i} n^{\\alpha}_{k} O_{\\alpha}$ at linear order in $a\/f$ [see Eq.~\\eqref{eq:derivation_current}].\\footnote{Also, one may consider other transformations such as a field rotation associated with a conserved charge. Then, one can replace the coupling with $a \\sum_{i\\neq k} n^{A}_{i} \\partial \\cdot J_{i}$.\nMoreover, one could perform a field rotation associated with other charges and then rewrite this coupling in a more complicated form.\nAll these transformations of a field basis (which we simply refer to as `field rotations' in this paper) give exactly the same transport equation.\n}\nThe transport equation computed in this field basis should be the same as the original transport equation sourced by $- (a\/f) \\partial \\cdot J_{k}$.\nIn the following, we directly confirm this \\emph{basis independence} of the axion coupling in the transport equation.\nIn other words, we will prove that the source vector $n_S^\\alpha$ does not depend on these redundancies of the axion-coupling related to a field rotation.\n\n\n\nThe fundamental building block of the independence under such basis transformations is an equivalence between $- a \\partial \\cdot J_{k}$ and $- a \\sum_{\\alpha} n^{\\alpha}_{k} O_{\\alpha}$.\nOnce we show this, other more complicated transformations are just given by considering linear combinations of these operators.\nHence, a proof for these two couplings is sufficient.\nFor the coupling of $-(a\/f) \\partial \\cdot J_{k}$, the source term is given in Eq.~\\eqref{eq:axion-chemical}:\n\\begin{align}\n\tS_{i} = \\sum_{j} \\Gamma_{ij} \\delta_{jk} = \\sum_{\\alpha} \\Gamma_{\\alpha} n^{\\alpha}_{i} n^{\\alpha}_{k}\\,.\n\t\\label{eq:basis1}\n\\end{align}\nOn the other hand, the source term for $- (a \/ f) \\sum_{\\beta} n^{\\beta}_{k} O_{\\beta}$ can be obtained from Eq.~\\eqref{eq:axion-op} by multiplying $n^{\\beta}_{k}$ and summing over $\\beta$.\nThis in the end gives\n\\begin{align}\n\tS_{i} = \\sum_{\\beta} n^{\\beta}_{k} \\sum_{\\alpha} n^{\\alpha}_{i} \\Gamma_{\\alpha} \\delta_{\\alpha \\beta} = \\sum_{\\alpha} \\Gamma_{\\alpha} n^{\\alpha}_{i} n^{\\alpha}_{k} \\,,\n\\end{align}\nwhich coincides with Eq.~\\eqref{eq:basis1}.\nTherefore these two couplings yield exactly the same transport equations as expected.\nThis proves that the transport equation is invariant under such field rotations, \\textit{i.e.}, the phenomenology of the axion couplings is basis independent.\n\n\n\n\\subsection{Asymmetry generation}\n\\label{sec:asymmetry_generation}\nIn this section, we discuss how the axion induces a non-vanishing asymmetry.\nAssuming that the equilibration is faster than the axion dynamics, we first sketch how to obtain an equilibrium solution of chemical potentials for a given set of conserved charges $\\{c_{A}\\}$ in the presence of non-vanishing $\\dot a$.\nThen, we derive a condition for the couplings to the axion so that the non-vanishing velocity $\\dot a$ yields an asymmetry for a specific charge.\nWe finally discuss how this dynamics gives rise to a friction term for the axion,\nand point out a special case where this friction term vanishes identically.\n\n\n\\paragraph{Equilibrium solution.}\nNow we sketch how to obtain the equilibrium solution for a given set of conserved charges $\\{c_{A}\\}$ in the presence of a source term.\nAn equilibrium solution is defined by $\\dot q_{i} = 0$ for all $i$.\nBy multiplying $\\bar n^{\\hat\\alpha}_{i}$ from the left to both sides of Eq.~\\eqref{eq:transport-with-a} we find the following set of equations :\n\\begin{align}\n\t\\sum_i \\bar{n}_i^{\\hat\\alpha} S_i \\frac{\\dot a \/ f}{T} = \\sum_{i,j} \\bar{n}_i^{\\hat\\alpha} \\Gamma_{ij} \\frac{\\mu_j}{T} \\quad \n\t\\longrightarrow\n\t\\quad\n\t\\sum_{\\beta} S_{\\hat\\alpha \\beta} n_S^{\\beta} \\frac{\\dot a \/ f}{T}\n\t= \\sum_{\\hat\\beta} \\Gamma_{\\hat\\alpha \\hat\\beta} \\sum_{j}  n_j^{\\hat\\beta} \\frac{\\mu_j}{T}\\,.\n\\end{align}\nHere we define\n\\begin{align}\n\t\\Gamma_{\\hat\\alpha \\hat\\beta} \\equiv \\sum_{i,j} \\bar{n}_i^{\\hat\\alpha} \\Gamma_{ij} \\bar{n}^{\\hat\\beta}_j = \\sum_\\gamma U_{\\hat\\alpha \\gamma} \\Gamma_\\gamma U^T_{\\gamma \\hat\\beta}\\,,\n\t\\quad\n\tS_{\\hat\\alpha \\beta} \\equiv \\sum_i \\bar{n}_i^{\\hat\\alpha} \\Gamma_\\beta n_i^\\beta \n\t= U_{\\hat\\alpha \\beta} \\Gamma_\\beta\\,.\n\t\\label{eq:transport_matrix}\n\\end{align}\nwith\n\\begin{align}\n\tU_{\\hat\\alpha \\beta} \\equiv \\sum_i \\bar{n}^{\\hat\\alpha}_i n^\\beta_i\\,.\n\t\\label{eq:conversion}\n\\end{align}\nNote that, if all the vectors $\\{ n_i^\\alpha \\}$ are linearly independent, \\textit{i.e.}, $\\hat \\alpha = \\alpha$, the matrix becomes diagonal, $\\Gamma_{\\alpha \\beta} = \\Gamma_\\alpha \\delta_{\\alpha \\beta}$, $S_{\\alpha \\beta} = \\Gamma_\\alpha \\delta_{\\alpha \\beta}$, because $U_{\\alpha \\beta} = \\sum_i \\bar{n}_i^\\alpha n_i^\\beta = \\delta_{\\alpha \\beta}$.\n\n\nSince the matrix $\\Gamma_{\\hat\\alpha \\hat\\beta}$ is invertible,\\footnote{\n\tSuppose that a vector $v^{\\hat{\\alpha}}$ satisfies $0 = \\sum_{\\hat\\alpha}v^{\\hat{\\alpha}}\\Gamma_{\\hat{\\alpha}\\hat\\beta}$.\n\tThe positivity of $\\Gamma_\\alpha$ implies that $0 = \\sum_{\\hat \\alpha}v^{\\hat\\alpha}U_{\\hat\\alpha \\beta}$.\n\tBy restricting $\\beta$ to $\\hat{\\beta}$, the matrix $U_{\\hat\\alpha\\hat\\beta}$ is invertible\n\tand hence $v^{\\hat\\alpha} = 0$. It follows that $\\Gamma_{\\hat\\alpha \\hat\\beta}$ is invertible.\n}\nwe obtain the following equation in  matrix notation [together with the conservation equations \\eqref{eq:conservation}], which determines the equilibrium solution:\n\\begin{align}\n\t\\left( M_{Xi} \\right)\n\t\\Bigg( \\frac{\\mu_{i}}{T} \\Bigg)\n\t=\n\t\\begin{pmatrix}\n\t\\sum_{\\hat \\beta, \\gamma} \\Gamma^{-1}_{\\hat \\alpha \\hat \\beta} S_{\\hat \\beta \\gamma} n_S^\\gamma \\frac{\\dot a \/ f}{T} \\\\\n\tc_{A}\n\t\\end{pmatrix}\n\t\\,, \\quad\n\t\\left( M_{Xi} \\right) \\equiv\n\t\\begin{pmatrix}\n\t\\left( n^{\\hat \\alpha}_i \\right) \\\\\n\t\\left( g_i n^A_i \\right)\n\t\\end{pmatrix}\\,.\n\t\\label{eq:matrix-equil}\n\\end{align}\nHere $\\hat\\alpha = 1, \\cdots, N_{\\hat\\alpha}$, $A = 1, \\cdots, N_A$, $i = 1, \\cdots, N$, and $X$ runs through $\\hat \\alpha$ and $A$. $c_A$ and $\\mu_i$ represent the $N_A$ and $N$ dimensional vectors, respectively. \n$(n^{\\hat\\alpha}_i)$ is an $N_{\\hat\\alpha} \\times N$ matrix, a $(g_i n^A_i)$ is $N_A \\times N$ matrix, and hence $M_{Xi}$ is an $N \\times N$  matrix.\nMultiplying an inverse matrix from the left,\\footnote{\n\tWe provide a proof that the $N \\times N$ matrix $M_{Xi}$ is invertible.\n\tSuppose that a vector $v^i$ satisfies $0 = \\sum_i M_{Xi} v^i$.\n\tBy definition, we have $\\sum_i M_{\\hat \\alpha i} \\bar{n}_i^{\\hat \\beta} = \\delta_{\\hat \\alpha \\hat \\beta}$ which is non-zero. Hence, $v^i$ can be expressed as a linear combination of $n_i^A$, \\textit{i.e.}, $v^i = \\sum_{A} n_i^A x_A$.\n\tNow, $0 = \\sum_i M_{Xi} v^i$ is rewritten as $0= \\sum_A x_A (\\sum_i n_i^A g_i n_i^{A'} )$.\n\tThe positivity of $g_i$ implies that $0 = \\sum_A x_A n^A_i$.\n\tBy multiplying $\\bar{n}_i^{A'}$ and summing over $i$, we find $x_A = 0$ for all $A$. It follows that $M_{Xi}$ is invertible.\n}\nwe obtain the equilibrium solution:\n\\begin{align}\n\t\\Bigg( \\frac{\\mu_{i}}{T} \\Bigg)_\\text{eq}\n\t=\n\t\\left( M^{-1}_{iX} \\right)\n\t\\begin{pmatrix}\n\t\\sum_{\\hat \\beta, \\gamma} \\Gamma^{-1}_{\\hat \\alpha \\hat \\beta} S_{\\hat \\beta \\gamma} n_S^\\gamma \\frac{\\dot a \/ f}{T} \\\\\n\tc_{A}\n\t\\end{pmatrix}\\,.\n\t\\label{eq:matrix-equil_sol}\n\\end{align}\nwhere $M^{-1}_{iX}$ is the inverse matrix of $M_{Xi}$ defined in Eq.~\\eqref{eq:matrix-equil}.\nNote that, if $n_S^\\gamma = c_{A} = 0$ for all $A$ and $\\gamma$, the solution is a trivial one, $\\mu_{i} = 0$ for all $i$. \nThis formula is useful when we calculate, \\textit{e.g.}, the resulting present-day baryon asymmetry.\n\n\n\\paragraph{Asymmetry generation.}\n\nHere we derive the condition to produce an asymmetry in a specific charge.\nSuppose that we are interested in generation of a certain charge $q_C$,\nwhose effective chemical potential is given by\n\\begin{align}\n\t\\mu_C = \\sum_i g_i n^C_i \\mu_i\\,.\n\t\\label{eq:mu_c}\n\\end{align}\nInserting Eq.~\\eqref{eq:matrix-equil_sol}, we can estimate the charge $q_C$ in the presence of the source term $n_S^\\alpha$ and non-vanishing conserved charges $c_A$:\n\\begin{align}\n\t\\frac{\\mu_C^\\text{eq}}{T} = \n\t\\begin{pmatrix}\n\t\t\\left( g_i n_i^C \\right)^T\n\t\\end{pmatrix}\n\t\\left( M^{-1}_{iX} \\right)\n\t\\begin{pmatrix}\n\t\\sum_{\\hat \\beta, \\gamma} \\Gamma^{-1}_{\\hat \\alpha \\hat \\beta} S_{\\hat \\beta \\gamma} n_S^\\gamma \\frac{\\dot a \/ f}{T} \\\\\n\tc_{A}\n\t\\end{pmatrix}\\,,\n\t\\label{eq:equilibrium_solution}\n\\end{align}\nwhere $(g_i n_i^C)^T$ is a $1 \\times N$ matrix.\nIn other words, this gives the condition on $n_S^\\alpha$ and $c_A$ to obtain non-vanishing $q_C$.\nIn particular, in the case with vanishing conserved charges $c_A = 0$ for all $A$, \nwe get non-vanishing $q_C$ if the vector $n_S^\\gamma$ fulfills\n\\begin{align}\n\t(n_S^\\gamma) \\not\\perp \n\t\\Bigg( \\sum_{i,\\hat \\alpha, \\hat \\beta} g_i n^C_i M^{-1}_{i\\hat\\alpha} \n\t\\Gamma^{-1}_{\\hat\\alpha \\hat\\beta} S_{\\hat\\beta \\gamma} \\Bigg) \\equiv v_\\gamma^C\\,.\n\t\\label{eq:cond_asym}\n\\end{align}\nIf all the vectors $n_i^\\alpha$ are linearly independent, this condition is further simplified as\n\\begin{align}\n\t(n_S^\\gamma) \\not\\perp  \n\t\\Bigg( \\sum_{i} g_i n^C_i M^{-1}_{i\\gamma} \\Bigg)\\,.\n\t\\label{eq:cond_asym_lind}\n\\end{align}\nThese general formulae will prove useful when we discuss the condition to generate the baryon asymmetry in Secs.~\\ref{sec:b+l} and \\ref{sec:b-l}. \n\n\n\nThe physical intuition behind this formula is the following: The $CPT$-violating motion of the axion biases the processes encoded in the source vector $n_S^\\alpha$ such that they induce non-vanishing chemical potentials $\\mu_i$ for the particles involved in these processes. Meanwhile other processes (encoded in $M_{i \\hat \\alpha}^{-1} \\Gamma^{-1}_{\\hat \\alpha \\hat \\beta} S_{\\hat \\beta \\gamma}$) try to wash-out these chemical potentials. This competition determines the equilibrium solution. In order to generate the charge $q_C$ (which could be \\textit{e.g.}, baryon number), we need a $q_C$-violating operator. The only way to obtain a \\textit{vanishing} $q_C$ in the equilibrium solution is by choosing specific couplings such that the $q_C$-violating operator is not involved in this equilibration process.\nEq.~\\eqref{eq:cond_asym} or Eq.~\\eqref{eq:cond_asym_lind} indicate this specific coupling. After the decoupling of the $q_C$-violating interactions, the non-zero value of $q_C$ freezes out and becomes a conserved charge.\nFrom this it is clear that, for $C$-genesis, we in particular do not have to couple the axion to the $q_C$-violating operator directly. This opens up a variety of couplings successful in creating $q_c$.\n\n\n\n\n\\paragraph{Backreaction to the axion.}\nSo far, we have assumed that the production of asymmetries does not affect the dynamics of the axion.\nHere we discuss the backreaction to the equation of motion for the axion, and derive the condition under which we can neglect it.\nSince we have already proven the invariance under field rotations, the coupling to the current can be rewritten as the coupling to a linear combination of operators $O_\\alpha$.\nHence, it is sufficient to discuss the case with $\\mathcal{L}_a = - (a\/f) \\sum_\\alpha n_S^\\alpha O_\\alpha$.\nThe equation of motion for the homogeneous mode of the axion then becomes\n\\begin{align}\n\t0 &= \\ddot a + V'(a) + \\frac{1}{f} \\sum_\\alpha n_S^\\alpha \\vev{ O_\\alpha |_{a\/f}  }= \\ddot a + V'(a) +  \\sum_\\alpha n_S^\\alpha\\frac{\\Gamma_\\alpha}{fT} \\left( n_S^\\alpha \\frac{\\dot a}{f} - \\sum_j n^\\alpha_j \\mu_j \\right)\\,,\n\t\\label{eq:axion_eom}\n\\end{align}\nwhere the axion potential is $V(a)$. \nIn the second equality, we have used Eq.~\\eqref{eq:axion-op-lr}.\n\n\nLet us assume that the equilibration for the chemical potentials is much faster than the axion dynamics.\nUnder this approximation, we can insert the equilibrium solution given in Eq.~\\eqref{eq:matrix-equil_sol} in the last term of Eq.~\\eqref{eq:axion_eom}.\nThroughout this paper, we are interested in the case where there are no primordial asymmetries for all the conserved quantities, \\textit{i.e.}, $c_A = 0$ for all $A$.\nIn this way, we can evaluate the last term in Eq.~\\eqref{eq:axion_eom}, which defines the effective dissipation rate for the axion as\n\\begin{align}\n\t\\sum_\\alpha n_S^\\alpha \\frac{\\Gamma_\\alpha}{fT} \\left(n_S^\\alpha \\frac{\\dot a}{f} - \\sum_j n^\\alpha_j \\mu_j^\\text{eq} \\right)\n\t=: \\sum_{\\alpha, \\beta} n_S^\\alpha \\gamma^{\\text{eff}}_{a,\\alpha \\beta} n_S^\\beta \\, \\dot a\\,,\n\\end{align}\nimplying\n\\begin{align}\n\t\\gamma^{\\text{eff}}_{a,\\alpha\\beta} = \\frac{\\Gamma_\\alpha}{f^2 T} \n\t\\left( \\delta_{\\alpha\\beta} -  \\sum_{i,\\hat \\gamma, \\hat \\rho} n_i^\\alpha M^{-1}_{i \\hat \\gamma} \\Gamma_{\\hat \\gamma \\hat \\rho}^{-1} S_{\\hat\\rho \\beta}  \\right)\n\t= \\frac{1}{f^2 T} \n\t\\left( \\Gamma_\\alpha \\delta_{\\alpha\\beta} -  \\sum_{\\hat \\gamma, \\hat \\rho} S_{\\alpha \\hat \\gamma}^T \\Gamma_{\\hat \\gamma \\hat \\rho}^{-1} S_{\\hat \\rho \\beta} \\right)\\,.\n\t\\label{eq:axion_dissipation}\n\\end{align}\nIn the second equality, we have used $n_i^\\alpha = \\sum_{\\hat \\beta} U^T_{\\alpha \\hat \\beta} n_i^{\\hat \\beta}$, $\\sum_{i} n_i^{\\hat\\beta} M_{i \\hat\\gamma}^{-1} = \\delta_{\\hat \\beta \\hat \\gamma}$, and the definition of $S_{\\hat \\gamma \\alpha} = U_{\\hat \\gamma \\alpha} \\Gamma_\\alpha$ in Eq.~\\eqref{eq:transport_matrix}.\nIf this rate is much slower than the typical interaction rate for chemical equilibration processes, the assumption of fast equilibration is justified a posteriori.\n\n\n\n\nWe remark that there is a special case where the effective dissipation, $\\sum_{ \\alpha  \\beta} n_S^{\\alpha} n_S^{\\beta} \\gamma_{a,\\alpha \\beta}^\\text{eff}$, vanishes identically. Let us see when this happens.\nAs shown in Appendix.~\\ref{sec:br_pr}, the condition where the effective dissipation term vanishes is given by\n\\begin{align}\n\t\\sum_{\\alpha \\beta} \\gamma^{\\text{eff}}_{a,  \\alpha  \\beta} n_S^{\\alpha} n_S^{\\beta} = 0 \\quad \\text{iff}~n_S^{\\alpha_\\Delta} = \\sum_{\\hat \\alpha_\\parallel} U^T_{\\alpha_\\Delta \\hat\\alpha_\\parallel} n_S^{\\hat\\alpha_\\parallel} \\,,\n\t\\label{eq:zero-friction}\n\\end{align}\nwhere we use the classification of charge vectors into linearly (in)dependent vectors, denoted by the superscripts $\\alpha_\\Delta, \\alpha_\\parallel, \\alpha_\\perp$, as introduced around Eq.~\\eqref{eq:orthogonality}.\nFor instance, if the axion only couples to the operators whose charge vectors are linearly independent with respect to all other interactions, \\textit{i.e}, $n_S^\\alpha \\neq 0$ only if $\\alpha \\in \\{\\hat{\\alpha}_\\perp\\}$, \nthe right-hand condition is trivially fulfilled and hence the effective friction term vanishes.\nThe non-vanishing effective friction term arises only if the axion couples to an operator whose charge vector lies in the span of the charge vectors of other interactions,\n\\textit{i.e}, $n_S^\\alpha \\neq 0$ for $\\alpha \\in \\{\\hat{\\alpha}_\\parallel, \\alpha_\\Delta\\}$. \nStill, in this case, we could have a cancellation among the source vectors because the corresponding charge vectors are linearly dependent, and if the cancellation occurs, the effective friction term vanishes.\nThe condition of $n_S^{\\alpha_\\Delta} = \\sum_{\\hat \\alpha_\\parallel} U^T_{\\alpha_\\Delta \\hat\\alpha_\\parallel} n_S^{\\hat\\alpha_\\parallel}$ takes into account when this cancellation happens.\nIf the condition \\eqref{eq:zero-friction} is fulfilled, the constant motion of the axion is never stopped by the asymmetry generation. This means that a non-vanishing $\\dot a$ together with $\\mu_i^\\text{eq}$ is a non-trivial equilibrium solution even after the inclusion of the backreaction.\n\n\n\nWe can roughly understand its physical reason as follows.\nLet us take the limit of $V(a) \\to 0$ to get insight into the nature of this property.\nAs we will see below, the above non-trivial equilibrium solution exists if we get a new conserved charge in the limit of $V(a) \\to 0$.\nBy multiplying the current equation \\eqref{eq:current-eq} by $\\bar n_i^{\\hat\\alpha}$ and taking a summation over $i$, \nwe obtain $\\sum_{i}\\bar{n}_i^{\\hat \\alpha} \\partial_\\mu J_i^\\mu = \\sum_{\\beta} U_{\\hat\\alpha \\beta} O_{\\beta} = O_{\\hat\\alpha} + \\sum_{\\alpha_\\Delta} U_{\\hat\\alpha \\alpha_\\Delta} O_{\\alpha_\\Delta} $.\nThis implies $O_{\\hat\\alpha} = \\sum_i \\bar{n}_i^{\\hat\\alpha} \\partial_\\mu J_i^\\mu - \\sum_{\\alpha_\\Delta} U_{\\hat\\alpha \\alpha_\\Delta} O_{\\alpha_\\Delta}$.\nUsing this equation, we can rewrite the equation of motion for the axion as\n\\begin{align}\n\t\\frac{\\mathrm{d}}{\\mathrm{d} t} \\left( f \\dot a + \\sum_{\\hat\\alpha ,i} n_S^{\\hat\\alpha} \\bar{n}_i^{\\hat\\alpha} q_i \\right)\n\t= \\sum_{\\alpha_\\Delta} \\left( \\sum_{\\hat\\alpha_\\parallel} n_S^{\\hat\\alpha_\\parallel} U_{\\hat\\alpha_\\parallel \\alpha_\\Delta} - n_S^{\\alpha_\\Delta} \\right)\n\t\\vev{O_{\\alpha_\\Delta} |_{a\/f}} \n\\end{align}\nNow it is clear that, if the condition \\eqref{eq:zero-friction} is satisfied, we have a new conserved charge that is a summation of the axion shift charge $f \\dot a$ and $\\sum_{\\hat\\alpha,i} n_S^{\\hat \\alpha}\\bar{n}^{\\hat\\alpha}_i q_i$.\nThe presence of this new charge in principle allows an equilibrium solution with both charges, $f \\dot a$ and $\\sum_{\\hat\\alpha,i} n_S^{\\hat \\alpha}\\bar{n}^{\\hat\\alpha}_i q_i$, non-vanishing, which implies $\\dot a \\neq 0$ in equilibrium.\nHowever, if the condition \\eqref{eq:zero-friction} is violated, this new charge should vanish in equilibrium.\nThis means that there must exist a process driving the axion velocity to zero, which is nothing but a non-zero effective friction term.\n\n\n\n\n\n\\section{Transport equation in the Standard Model}\n\\label{sec:SM-transport}\n\nIn this section, we review the transport equation within the SM in the symmetric phase, before discussing the coupling to the axion in the subsequent sections.\n\n\\subsection{Standard Model interactions and charge vectors}\n\\label{sec:SM-interactions}\n\n\nLet us first specify the number of chemical potentials required to describe the system.\nThe SM consists of the right-handed lepton $e_f$, the left-handed lepton $L_f$, the right-handed up-type quark $u_f$, the right-handed down-type quark $d_f$, the left-handed quark $Q_f$, and the Higgs $H$, where the index $f$ runs from $1$ to $N_f$ with the number of flavors being $N_f = 3$.\nThe vector of chemical potentials hence has $5 N_f + 1$ components:\n\\begin{align}\n\t\\left( \\mu_i \\right) = \\left( \\mu_{e_1}, \\mu_{e_2}, \\mu_{e_3}, \\mu_{L_1}, \\mu_{L_2}, \\mu_{L_3}, \\mu_{u_1}, \\mu_{u_2}, \\mu_{u_3},  \\mu_{d_1} ,  \\mu_{d_2} ,  \\mu_{d_3}, \\mu_{Q_1}, \\mu_{Q_2}, \\mu_{Q_3}, \\mu_H \\right)\\,.\n\\end{align}\nThe SM transport equation is written by means of this chemical potential vector: \n\\begin{align}\n\t\\dot q_i = - \\sum_\\alpha \\Gamma_\\alpha n_i^\\alpha \\sum_j n_j^\\alpha \\frac{\\mu_j}{T}\\,.\n\\end{align}\nHere $\\alpha$ runs over the SM interactions relevant for the chemical equilibrium, which are the electroweak sphaleron, the strong sphaleron, the lepton Yukawa, the up-type quark Yukawa, and the down-type quark Yukawa.\n\nAs we are interested in the evolution of the chemical potential in the early Universe, \nwe should take into account the effect of the expansion of the Universe. \nDenoting $H$ as the Hubble parameter, \nwe rewrite \nthe transport equation \\eq{eq:transport-with-a} by the replacement of $\\dot{q}_i \\to \\dot{q}_i + 3 H q_i$. \nAssuming the radiation-dominated era, \nwe obtain $\\dot{T} = - H T$\nand \n\\begin{align}\n\tH = \\sqrt{\\frac{g_* \\pi^2}{90}} \\frac{T^2}{M_{\\rm pl}}, \n\\end{align}\nwhere $g_*$ ($= 106.75$) is the effective degrees of freedom of relativistic particles. \nThe transport equation is now written as\\footnote{\nThis is not the case before the reheating completes. \nWe implicitly assume that the reheating temperature is much higher than $10^{13} \\,\\mathrm{GeV}$ throughout this paper for simplicity. \n}\n\\begin{align}\n\t- \\frac{\\mathrm{d}}{\\mathrm{d} \\ln T} \\lmk \\frac{\\mu_i}{T} \\right) = -\\frac{1}{g_i}\\sum_\\alpha n_{i}^{\\alpha} \\frac{\\gamma_\\alpha}{H}\n\t\\left[\\sum_{j}n_{j}^{\\alpha} \\lmk \\frac{\\mu_j}{T} \\right) - n_{S}^{\\alpha} \\lmk \\frac{\\dot{a}\/f}{T} \\right) \\right], \n\t\\label{eq:fulltransporteq}\n\\end{align}\nwhere we have included an axion source term. \nWhen the prefactor in the right-hand side becomes larger than of order unity, \nthe square bracket in the right-hand side is driven to be zero within of order one Hubble time. \nIt is thus convenient to define an equilibration temperature, below which a given interaction is in equilibrium within the time-scale of the Hubble expansion. \n\n\nLet us focus on an interaction $\\beta$ in the right-hand side of \\eq{eq:fulltransporteq}. \nMultiplying $n_i^\\beta$ and taking a summation over $i$, \nwe obtain \n\\begin{align}\n\t- \\frac{\\mathrm{d}}{\\mathrm{d} \\ln T} \\lmk \\sum_i n_i^\\beta \\frac{\\mu_i}{T} \\right) \n\t= - \\sum_i \\frac{1}{g_i} \\lmk n_{i}^{\\beta} \\right)^2 \\frac{\\gamma_\\beta}{H}\n\t\\left[\\sum_{j}n_{j}^{\\beta} \\lmk \\frac{\\mu_j}{T} \\right) - n_{S}^{\\beta} \\lmk \\frac{\\dot{a}\/f}{T} \\right) \\right] + \\dots, \n\\end{align}\nwhere the dots represent the other interaction terms. \nThen the quantity $\\sum_i n_i^\\beta \\mu_i \/ T$ does not change much by the interaction $\\beta$ if \n\\begin{align}\n  \\sum_i \\frac{1}{g_i} \\lmk n_{i}^{\\beta} \\right)^2  \\gamma_\\beta < H. \n  \\label{eq:T_alpha}\n\\end{align}\nWe define the equilibration temperature of the interaction $\\beta$ by the threshold of this condition.\\footnote{Ref.~\\cite{Garbrecht:2014kda} defines the equilibration temperature of the weak and strong sphaleron processes \nby $6 \\gamma_{WS} = H$ and $4 \\gamma_{SS} = H$, respectively. \nThese are equivalent to our definitions. However, they define those of Yukawa interactions by $\\gamma_i \/g_L = H$, where $g_L$ is the degrees of freedom of left-handed lepton (quark) for lepton (quark) Yukawa interaction. \nThis is different from ours by a factor of $7\/2$ for the lepton Yukawa \nand $18\/4$ for the quark Yukawa. \n\\label{footnote:equilibration_temp}\n}\n\n\n\n\n\n\n\n\n\nIn the following, we give the rate per unit time-volume $\\Gamma_\\alpha$, the charge vector $n_i^\\alpha$, and the equilibration temperature $T_\\alpha$ for each interaction,\nsee Tab.~\\ref{tab:equilibration_temperature}. \nIt is important to include the renormalization group (RG) flow of the parameters to evaluate these quantities,\nwhich we have done using \\texttt{SARAH}~\\cite{Staub:2013tta}. \n\nBefore going to the details of the interactions, \nwe comment on the differences of our calculation of the equilibration temperature with respect to Ref.~\\cite{Garbrecht:2014kda}. \nAs explained in footnote~\\ref{footnote:equilibration_temp}, \nwe include the factor of $\\sum_i \\lmk n_{i}^{\\beta} \\right)^2 \/ g_i$ in the definition of the equilibration temperature of Yukawa interactions rather than $1\/g_L$, the latter of which is used in Ref.~\\cite{Garbrecht:2014kda}. \nWe also take into account the renormalization-group running of the Yukawa (as well as gauge) couplings, \nnot only for top Yukawa but also the other Yukawas. \nThis is quite important especially for the bottom Yukawa, where $T_b$ decreases by an order of magnitude. \nWe also use updated sphaleron rates following Ref.~\\cite{Moore:2010jd}. \n\n\n\n\\begin{table}[t]\n\t\\centering\n\t\\begin{tabular}{c|c|c|c|c|c|c} \\hline\n  \t\tInteraction & Weinberg & WS & SS & $Y_e$ & $Y_\\mu$ & $Y_\\tau$ \n\t\t\\\\ \\hline\n  \\rule[-10pt]{0pt}{25pt}\n\t\t$\\Gamma_\\alpha\/T^4$ & $\\kappa_\\text{W} \\frac{m_\\nu^2 T^2  }{ v_{\\rm EW}^4} $& $\\frac{1}{2} \\kappa_\\text{WS} \\alpha_2^5 $ & $\\frac{1}{2} \\kappa_\\text{SS} \\alpha_3^5$ \n\t\t& $\\kappa_{Y_e}\\, y_{e}^2$ & $\\kappa_{Y_e}\\, y_{\\mu}^2$ & $\\kappa_{Y_e}\\, y_{\\tau}^2$\n\t\t\\\\ \\hline\n  \\rule[-10pt]{0pt}{25pt}\n\t\t$T_\\alpha\\,[\\mathrm{GeV}]$ & $6.0 \\times 10^{12}$ & $2.5 \\times 10^{12}$ & $2.8 \\times 10^{13}$\n\t\t& $1.1 \\times 10^{5}$ & $4.7 \\times 10^{9}$ & $1.3 \\times 10^{12}$ \\\\ \\hline\\hline\n  \t\tInteraction & $Y_u$ & $Y_c$ & $Y_t$ & $Y_d$ & $Y_s$ & $Y_b$ \n\t\t\\\\ \\hline\n  \\rule[-10pt]{0pt}{25pt}\n\t\t$\\Gamma_\\alpha\/T^4$ & $ \\kappa_{Y_u}\\, y_{u}^2$ & $ \\kappa_{Y_u}\\, y_{c}^2$  & $ \\kappa_{Y_t}\\, y_{t}^2$\n\t\t& $ \\kappa_{Y_d}\\, y_{d}^2$ & $\\kappa_{Y_d}\\, y_{s}^2$ & $\\kappa_{Y_d}\\, y_{b}^2$\n\t\t\\\\ \\hline\n  \\rule[-10pt]{0pt}{25pt}\n\t\t$T_\\alpha\\,[\\mathrm{GeV}]$ & $1.0 \\times 10^6$ & $1.2 \\times 10^{11}$ & $4.7 \\times 10^{15}$\n\t\t& $4.5 \\times 10^{6}$ & $1.1 \\times 10^{9}$ & $1.5\\times 10^{12}$ \\\\ \\hline\n  \t\\end{tabular}\n  \t\\caption{ \n\tA summary of the rate per unit-time volume $\\Gamma_\\alpha$ and the corresponding equilibration temperature $T_\\alpha$ for the SM interactions and $L$-violating interaction by the dimension five Weinberg operator [see \\eq{Gamma_W}]. \n\tSee the main text for the explicit values of the numerical coefficients $\\kappa_\\alpha$. The differences with respect to  Ref.~\\cite{Garbrecht:2014kda} are discussed in the main text. \n\t}\n  \t\\label{tab:equilibration_temperature}\n\\end{table}\n\n\n\\begin{figure}[t]\n\t\\centering\n \t\\includegraphics[width=0.65\\linewidth]{.\/fig\/equilibration_temp.pdf}\n\t\\caption{ \n\tEquilibration temperatures for individual SM interactions, $T_\\alpha$. \n\tEach dashed line indicates the range from $10 T_\\alpha$ to $T_\\alpha$, within which one can expect non-trivial effects due to partial equilibration. The solid arrows (starting from the vertical lines) indicate that the interactions are in equilibrium for $T < T_\\alpha$. \n\tAt the top of the figure, we also show the decoupling temperature of lepton number violating interaction via the dimension five Weinberg operator as a vertical line, above which it is in equilibrium [see Eq.~(\\ref{eq:T_W}))]. The dashed line starts from $T_\\alpha \/ 10$ in this case, as this interaction is weaker for lower temperature. \n\t}\n\t\\label{fig:equilibration_temp}\n\\end{figure}\n\n\n\\paragraph{Electroweak sphaleron.}\n\nThe electroweak sphaleron involves all the left-handed fermions, which are charged under SU$(2)_\\text{W}$.\nThe corresponding charge vector, $n_i^\\text{WS}$, is defined so that\n\\begin{align}\n\t\\sum_i n_i^\\text{WS} \\mu_i = \\sum_f \\left( \\mu_{L_f} + 3 \\mu_{Q_f} \\right)\\,.\n\t\\label{eq:ws}\n\\end{align}\nThe sphaleron rate per unit time-volume in SU($N_c$) gauge theory with $N_f$ vector fermions and $N_H$ complex scalars is  given by~\\cite{Bodeker:1999gx, Arnold:1999ux, Arnold:1999uy, Moore:2000mx, Moore:2000ara, Moore:2010jd} \n\\begin{align}\n& 2 \\Gamma_\\text{sphal} \\simeq 0.21 \n \\lmk \\frac{N_c g^2 T^2}{m_D^2} \\right) \n \\lmk \\ln \\frac{m_D}{\\gamma} + 3.0410 \\right) \n \\frac{N_c^2 - 1}{N_c^2} \\lmk N_c \\alpha \\right)^5 T^4, \n \\label{eq:sphaleron_rate}\n \\\\\n &\\gamma = N_c \\alpha T \\lmk \\ln \\frac{m_D}{\\gamma} + 3.041 \\right), \n \\\\\n &m_D^2 = \\frac{2 N_c + N_f + N_H}{6} g^2 T^2, \n\\end{align}\nwhere $g$ ($\\equiv \\sqrt{4 \\pi \\alpha}$) is a gauge coupling constant. \nUsing $m_D^2 = (11\/6) g_2^2 T^2$ in the SU(2) weak sector of the SM, \nwe thus estimate the rate as \n\\begin{align}\n\t\\Gamma_\\text{WS} = \\frac{\\kappa_\\text{WS}}{2} \\alpha_2^5 T^4\\,,\n\\end{align}\nwhere $\\kappa_\\text{WS} \\simeq 24$ for $T = 10^{12}\\,\\mathrm{GeV}$.\\footnote{\nThis sphaleron rate is about 1.3 times larger than the one reported in Ref.~\\cite{DOnofrio:2014rug}. \nIf one use the latter rate, $T_{\\rm WS}$ is estimated as $1.9 \\times 10^{12}\\,\\mathrm{GeV}$. \n}\nComparing the rate per unit time, $\\gamma_\\text{WS} \\sum_i (n_i^{\\rm WS})^2 \/ g_i = 36\\Gamma_\\text{WS} \/ T^3$,\nto the Hubble parameter, one may estimate the equilibration temperature as\n\\begin{align}\n\tT_\\text{WS} \\simeq 2.5 \\times 10^{12}\\,\\mathrm{GeV}\\,.\n\\end{align}\n\n\n\n\\paragraph{Strong sphaleron.}\n\nThe strong sphaleron involves both left- and right-handed quarks, which are charged under SU$(3)_\\text{C}$.\nThe charge vector, $n_i^\\text{SS}$, is given so that\n\\begin{align}\n\t\\sum_i n_i^\\text{SS} \\mu_i = \\sum_f \\left( 2 \\mu_{Q_f} - \\mu_{u_f} - \\mu_{d_f} \\right)\\,.\n\t\\label{eq:ss}\n\\end{align}\nSubstituting $m_D^2 = 2 g_3^2 T^2$ into \\eq{eq:sphaleron_rate}, \nwe can estimate the rate per unit time-volume as \n\\begin{align}\n\t\\Gamma_\\text{SS} = \\frac{\\kappa_\\text{SS}}{2} \\alpha_3^5 T^4\\,,\n\\end{align}\nwhere $\\kappa_\\text{SS} \\simeq 2.7 \\times 10^2$ for $T = 10^{13}\\,\\mathrm{GeV}$.\nComparing the rate per unit time, $\\gamma_\\text{SS} \\sum_i (n_i^{\\rm SS})^2 \/ g_i = 24 \\Gamma_\\text{SS} \/ T^3$,  \nto the Hubble parameter, we get the equilibration temperature:\n\\begin{align}\n\tT_\\text{SS} \\simeq 2.8 \\times 10^{13}\\,\\mathrm{GeV}\\,.\n\\end{align}\n\n\n\n\\paragraph{Lepton Yukawa.}\nIn general, the lepton Yukawa is an $N_f \\times N_f$ matrix, $Y_e^{ff'}$.\nIf the effect of the neutrino mass can be neglected, one may redefine the leptons fields so that the lepton Yukawa becomes diagonal, \\textit{i.e.}, \n$(Y_{e}^{f f'}) = {\\rm diag} (y_e, y_\\mu, y_\\tau)$.\nLet us take this field basis and denote the corresponding chemical potentials as $\\mu_{e_f}$ and $\\mu_{L_f}$.\nThe charge vector, $n_i^{Y_e^{ff}}$, is given so that\n\\begin{align}\n\t\\sum_i n_i^{Y_e^{ff}} \\mu_i = - \\mu_{e_f} + \\mu_{L_f} - \\mu_H\\,.\n\t\\label{eq:Ye}\n\\end{align}\nThe rate per unit time-volume is estimated as\n\\begin{align}\n\t\\Gamma_{Y_e^{ff}} = \\kappa_{Y_e} (\\alpha_2) \\, y_{e_f}^2 T^4\\,,\n\\end{align}\nwhere we have made the dependence of $\\kappa_{Y_e}$ on $\\alpha_2$ explicit, \nwhich arises from taking into account $2 \\leftrightarrow 2$ scattering processes with single gauge boson emission\/absorption \n(among others).\nThe prefactor $\\kappa_{Y_e}$ is estimated in Ref.~\\cite{Garbrecht:2014kda} \nas $\\kappa_{Y_e}(\\alpha_2) \\simeq 1.7\\times 10^{-3}$. \nFrom this, we obtain the equilibration temperature of the lepton Yukawa for each flavor:\n\\begin{align}\n\tT_{y_e} \\simeq 1.1 \\times 10^{5}\\,\\mathrm{GeV}\\,, \n\t\\quad \n\tT_{y_\\mu} \\simeq 4.7 \\times 10^{9}\\,\\mathrm{GeV} \\,, \n\t\\quad \n\tT_{y_\\tau} \\simeq 1.3 \\times 10^{12}\\,\\mathrm{GeV} \\,,\n\\end{align}\nwhere we have used $\\sum_i (n_i^{Y_e^{ff}})^2 \/ g_i = 7\/4$. \n\n\n\n\n\\paragraph{Quark Yukawa.}\nSince there exist two $N_f \\times N_f$ matrices corresponding to the up-type and down-type quark Yukawas, we cannot diagonalize them simultaneously. \nThis is the origin of the well-known CKM matrix which leads to flavor changing processes.\nAt very high temperature, only the top Yukawa is in equilibrium, and other quark Yukawa interactions start to become efficient as the Universe cools down.\nAs we discuss in the subsequent Sec.~\\ref{sec:SM-charges}, special care about the quantum coherence of different flavors is required in order to describe this process properly.\nAs a result, we have to take an appropriate field basis in each temperature regime.\nThese effects have been investigated in the context of flavored leptogenesis~\\cite{Abada:2006fw,Nardi:2006fx,Abada:2006ea,Dev:2017trv}.\nBelow, let us just neglect these subtleties for the moment, and estimate a typical size of transport coefficients.\n\n\n\nThe charge vector for the up-type quark Yukawa, $n_i^{Y_u^{ff'}}$, is given by:\n\\begin{align}\n\t\\sum_i n_i^{Y_{u}^{ff'}} \\mu_i = - \\mu_{u_f} + \\mu_{Q_{f'}} + \\mu_H\\,.\n\t\\label{eq:Yu}\n\\end{align}\nIn an appropriate field basis of quarks, the transport coefficient is dominated by its diagonal part, which is estimated as\n\\begin{align}\n\t\\Gamma_{Y_u^{ff}} = \\kappa_{Y_u} (\\alpha_2, \\alpha_3) \\, y_{u_f}^2 T^4\\,,\n\\end{align}\nwhere $\\kappa_{Y_u}$ is again estimated in Ref.~\\cite{Garbrecht:2014kda} as \n$\\kappa_{Y_u}  (\\alpha_2, \\alpha_3) \\simeq 1.0\\times 10^{-2}$ for $T \\simeq 10^{12}\\,\\mathrm{GeV}$, \n$1.2\\times 10^{-2}$ for $T \\simeq 10^9\\,\\mathrm{GeV}$,\nand $1.5\\times 10^{-2}$ for $T \\simeq 10^6\\, \\mathrm{GeV}$, respectively.\nWe estimate it as $\\kappa_{Y_u} \\simeq 8.0\\times 10^{-3}$ for $T \\simeq 10^{15}\\,\\mathrm{GeV}$\nfrom the running of $\\alpha_3$.\nAgain the dependence of $\\kappa_{Y_u}$ on $\\alpha_2$ and $\\alpha_3$ is made explicit.\nAs an indicator, let us estimate the corresponding equilibration temperature for the diagonal part:\n\\begin{align}\n\tT_{y_u} \\simeq 1.0 \\times 10^6\\,\\mathrm{GeV} \\,, \n\t\\quad T_{y_c} \\simeq 1.2 \\times 10^{11}\\,\\mathrm{GeV} \\,,\n\t\\quad T_{y_t} \\simeq 4.7 \\times 10^{15}\\,\\mathrm{GeV} \\,,\n\\end{align}\nwhere we have used $\\sum_i (n_i^{Y_u^{ff}})^2 \/ g_i = 3\/4$. \nThe equilibration temperature of the top Yukawa \nis comparable to the maximal temperature allowed by the constraints on the tensor-to-scalar ratio~\\cite{Akrami:2018odb}.\n\n\n\nThe charge vector for the down-type quark Yukawa, $n_i^{Y_d^{ff'}}$, is given by:\n\\begin{align}\n\t\\sum_i n_i^{Y_d^{ff'}} \\mu_i = - \\mu_{d_f} + \\mu_{Q_{f'}} - \\mu_H\\,.\n\t\\label{eq:Yd}\n\\end{align}\nAgain, in an appropriate field basis, the transport coefficient is dominated by its diagonal part, which is estimated as\n\\begin{align}\n\t\\Gamma_{Y_d^{ff}} = \\kappa_{Y_d} ( \\alpha_2,  \\alpha_3) \\, y_{d_f}^2 T^4\\,,\n\\end{align}\nwhere $\\kappa_{Y_d} \\simeq \\kappa_{Y_u}$~\\cite{Garbrecht:2014kda}. \nAs an indicator, we evaluate the equilibration temperature for the diagonal part:\n\\begin{align}\n\tT_{y_d} \\simeq 4.5 \\times 10^{6}\\,\\mathrm{GeV}\\,, \n\t\\quad \n\tT_{y_s} \\simeq 1.1 \\times 10^{9}\\,\\mathrm{GeV} \\,, \n\t\\quad \n\tT_{y_b} \\simeq 1.5 \\times 10^{12}\\,\\mathrm{GeV}\\,,\n\\end{align}\nwhere we have used $\\sum_i (n_i^{Y_d^{ff}})^2 \/ g_i = 3\/4$. \n\n\n\n\\subsection{Conserved quantities and decoupling}\n\\label{sec:SM-charges}\n\n\nAs we have seen in the previous section, some interactions in the SM may not be efficient in the early Universe.\nTherefore, we expect that the number of (approximately) conserved quantities depends on the temperature of the ambient plasma.\nIn Secs.~\\ref{sec:b+l} and \\ref{sec:b-l}, we discuss the generation of baryon asymmetry around $T\\gtrsim 10^2$\\,GeV and $T \\gtrsim 10^{13}\\, \\mathrm{GeV}$ respectively.\nIn the following, we summarize conserved quantities for these two cases.\nWe also mention the quantum coherence from different flavors.\n\n\n\\paragraph{$\\bm{T \\gtrsim 10^2}$\\,GeV.}\nAt the temperature right before the electroweak phase transition, all the SM interactions are in equilibrium.\nWithout loss of generality, we can take a basis of chemical potentials so that the transport coefficients for the up-type quark Yukawa become diagonal $(\\Gamma_{Y_u^{ff'}}) = \\kappa_{Y_u} y_{u_f}^2 T^4 \\delta_{ff'}$ while those for the down-type quark Yukawa have off-diagonal elements.\nThe unitarity of the CKM matrix implies $\\Gamma_{Y_d^{f1}} + \\Gamma_{Y_d^{f2}} + \\Gamma_{Y_d^{f3}} = \\kappa_{Y_d} y_{d_f}^2 T^4$.\nAs can be seen from Eqs.~\\eqref{eq:ws}, \\eqref{eq:ss}, \\eqref{eq:Ye}, \\eqref{eq:Yu},  and \\eqref{eq:Yd}, we have $17$ charge vectors in this basis.\nOut of $17$, $12$ charge vectors are linearly independent since we have the following $5$ relations among the charge vectors:\n\\begin{align}\n\t&n^\\text{SS}_i = n^{Y_u^{11}}_i + n^{Y_u^{22}}_i + n^{Y_u^{33}}_i + n^{Y_d^{11}}_i + n^{Y_d^{22}}_i +  n^{Y_d^{33}}_i\\,, \\quad\n\tn^{Y_d^{11}}_i + n^{Y_d^{22}}_i +  n^{Y_d^{33}}_i = n^{Y_d^{31}}_i + n^{Y_d^{12}}_i +  n^{Y_d^{23}}_i\\,, \\nonumber \\\\\n\t&n^{Y_d^{11}}_i + n^{Y_d^{22}}_i = n^{Y_d^{12}}_i + n^{Y_d^{21}}_i\\,, \\quad\n\tn^{Y_d^{22}}_i + n^{Y_d^{33}}_i = n^{Y_d^{23}}_i + n^{Y_d^{32}}_i\\,,  \\quad\n\tn^{Y_d^{11}}_i + n^{Y_d^{33}}_i = n^{Y_d^{13}}_i + n^{Y_d^{31}}_i\\,.\n\t\\label{eq:relations-ew}\n\\end{align}\nTherefore, the charge vectors of interactions span a $12$-dimensional subspace out of $16$, which indicates the presence of $4$ conserved quantities.\nThe $4$ charge vectors orthogonal to the charge vectors of interactions correspond to U$(1)_Y$, U$(1)_{B-L}$, U$(1)_{L_1 - L_2}$, U$(1)_{L_2 - L_3}$:\n\\begin{align}\n\t&( n_i^{Q_Y} ) = \\left( -1,-1,-1,- \\frac{1}{2},- \\frac{1}{2},- \\frac{1}{2},\\frac{2}{3},\\frac{2}{3},\\frac{2}{3}, - \\frac{1}{3}, - \\frac{1}{3}, - \\frac{1}{3}, \\frac{1}{6}, \\frac{1}{6}, \\frac{1}{6}, \\frac{1}{2} \\right)\\,, \\nonumber \\\\\n\t&( n_i^{Q_{B-L}} ) = \\left( -1,-1,-1,-1,-1,-1,\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},\\frac{1}{3},0 \\right)\\,, \\nonumber\\\\\n\t&( n_i^{Q_{L_1 - L_2}} ) = ( 1,-1,0,1,-1,0,0,0,0,0,0,0,0,0,0,0 )\\,, \\nonumber \\\\\n\t&( n_i^{Q_{L_2 - L_3}} ) = ( 0, 1, -1, 0, 1, -1, 0,0,0,0,0,0,0,0,0,0 )\\,.\n\t\\label{eq:consv_ewscale}\n\\end{align}\nThe set of (linearly independent) $12$ charge vectors and $4$ conserved charge vectors \\eqref{eq:consv_ewscale} forms a complete basis of the $16$-dimensional chemical potential space.\n\n\n\n\\paragraph{$\\bm{T \\gtrsim 10^{13}}$\\,GeV.}\nIn Sec.~\\ref{sec:b-l}, we discuss the $B-L$ asymmetry generation from the dimension five Weinberg operator, which gives the origin of the neutrino masses.\nSince the Weinberg operator is efficient above $T \\sim 10^{13}\\, \\mathrm{GeV}$, we are interested in the properties of the SM transport equation at this high temperature regime.\nIn this regime, many of the SM interactions are not efficient, and\nonly the following interactions are relevant:\nthe top Yukawa and the strong sphaleron are efficient;\nthe electroweak sphaleron, the bottom and tau Yukawa are marginal.\n\n\nLet us briefly mention an appropriate field basis to treat the quantum coherence from different flavors.\nFor $T \\sim 10^{13}\\, \\mathrm{GeV}$, the relevant quark Yukawa interactions are only the top and bottom Yukawas, and hence we can take a field basis of quarks which completely diagonalizes both the up\/down-type Yukawa matrices: $y_t \\overline{u}_3 Q_3 \\cdot H$ and $y_b \\overline{d}_3 Q_3 H^\\dag$.\nAside from these top and bottom Yukawa interactions, no interactions distinguish different flavors.\nTherefore, we expect that charges for $Q_3$, $u_3$, and $d_3$ in this field basis would differ from other quarks while the charges for the first and second generation quarks are the same.\nWe should take this field basis since otherwise we need to take into account the coherence of different flavors which is beyond the formalism developed in this paper as we see below.\nThe subtleties arise when one would like to use another field basis $d'_f$ which does not diagonalize the Yukawa interactions.\nAs an illustration, let us suppose that we take the field basis of the third generation down-type quark where the bottom Yukawa is not diagonal, \\textit{i.e.}, $y_b \\overline{d}_3 Q_3 H^\\dag$ with $d_3 = \\sum_f U_{3f} d_f'$.\nAs explained above, we expect a different charge density for a particular linear combination of $d_f'$, \\textit{i.e.}, $d_3 = \\sum_f U_{3f} d_f'$.\nTherefore we need to describe the evolution of ``charges'' among different flavors for $d_f'$\nbecause $Q_{d_3} = \\int_{\\bm{x}}\\sum_{f,f'} U^\\dag_{f3} U_{3f'} d_f^{\\prime\\dag} d_{f'}' \\equiv \\int_{\\bm{x}} \\sum_{f,f'} U^\\dag_{f3} U_{3f'} Q_{d_{ff'}'}$.\nOur transport equation is not applicable to this $d_f'$ basis because we assume that the charge densities do not develop coherence among different flavors.\nA sophisticated formalism to deal with this quantum coherence has been developed in the context of flavored leptogenesis. See Refs.~\\cite{Abada:2006fw,Nardi:2006fx,Abada:2006ea,Dev:2017trv} for more details.\n\n\nNow we are ready to discuss conserved quantities.\nAs explained, in this temperature regime, the first and second generation left-handed leptons are indistinguishable. The same statement holds for the the first and second generation left-\/right-handed quarks.\nOne may take common chemical potentials for them, \\textit{i.e.}, $\\mu_{L_1} = \\mu_{L_2} = \\mu_{L_{12}}$, $\\mu_{Q_1} = \\mu_{Q_2} = \\mu_{Q_{12}}$, $\\mu_{u_1} = \\mu_{u_2} = \\mu_{u_{12}}$, and $\\mu_{d_1} = \\mu_{d_2} = \\mu_{d_{12}}$.\nThe first and second generation right-handed leptons are decoupled from all the interactions relevant for their asymmetry production, and hence their corresponding charges $Q_{e_f}$ with $f = 1,2$ become separately conserved quantities.\nTherefore, we can focus on the chemical potentials of $10$ species, \\textit{i.e.}, $\\mu_i$ with $i = \\tau, L_{12}, L_3, u_{12}, t, d_{12}, b, Q_{12}, Q_3, H$.\nThe multiplicity factor is given by $g_i = 1, 4, 2, 6, 3, 6, 3, 12, 6, 4$ respectively.\nThe charge vectors of each interaction in this basis are\n\\begin{align}\n\t&( n_i^\\text{WS} ) = ( 0, 2, 1, 0,0,0,0, 6, 3, 0 )\\,, \\quad\n\t( n_i^\\text{SS} ) = ( 0,0,0, -2, -1, -2, -1, 4, 2, 0 )\\,, \\quad\n\t( n_i^{Y_\\tau} ) = ( -1,0,1,0,0,0,0,0,0,1 )\\,,\\nonumber\\\\\n\t&( n_i^{Y_t} )  = ( 0,0,0,0,-1,0,0,0,1,1 )\\,, \\quad\n\t( n_i^{Y_b} ) = ( 0,0,0,0,0,0, -1, 0, 1, -1 )\\,.\n\t\\label{eq:basis_WOscale}\n\\end{align}\nThese linearly independent vectors span a $5$-dimensional subspace out of $10$.\nThe remaining $5$ vectors orthogonal to Eq.~\\eqref{eq:basis_WOscale} correspond to U$(1)_Y$, U$(1)_{B-L}$, U$(1)_{u_{12}-d_{12}}$, U$(1)_{L_{12}-2 L_3}$, and U$(1)_{B_{12}-2 B_3}$:\n\\begin{align}\n\t&( n_i^{Q_Y} ) = \\left( -1, - \\frac{1}{2}, - \\frac{1}{2}, \\frac{2}{3}, \\frac{2}{3}, - \\frac{1}{3}, - \\frac{1}{3}, \\frac{1}{6}, \\frac{1}{6}, \\frac{1}{2} \\right)\\,, \\quad\n\t( n_i^{Q_{B-L}} ) = \\left( -1, -1, -1, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, 0 \\right)\\,, \\nonumber \\\\\n\t&( n_i^{Q_{u_{12} - d_{12}}} ) = ( 0,0,0,1,0,-1,0,0,0,0 )\\,,\\quad\n\t( n_i^{Q_{L_{12} - 2 L_3}} ) = ( -2, 1, -2, 0,0,0,0,0,0,0 )\\,, \\nonumber\\\\\n\t&( n_i^{Q_{B_{12} - 2 B_3}} ) = \\left( 0,0,0, \\frac{1}{3}, -\\frac{2}{3}, \\frac{1}{3}, -\\frac{2}{3},\\frac{1}{3}, -\\frac{2}{3}, 0 \\right)\\,.\n\t\\label{eq:consv_WOscale}\n\\end{align}\nThe set of $5$ charge vectors \\eqref{eq:basis_WOscale} and conserved charge vectors \\eqref{eq:consv_WOscale} forms a complete basis of the $10$-dimensional space of chemical potentials.\n\n\n\n\\section{Spontaneous $B+L$-genesis before the electroweak phase transition}\n\\label{sec:b+l}\n\nSince the $B+L$ symmetry is violated by the electroweak sphaleron within the SM, it is tempting to discuss the possibility where the present-day baryon asymmetry is generated via this process.\nAt high temperature but below $T_\\text{WS}$, the electroweak sphaleron is efficient and could source the $B+L$ asymmetry.\nAfter the electroweak symmetry breaking, its rate per unit time is exponentially suppressed and $B+L$ becomes an approximately conserved quantity.\nTherefore, if we could generate the $B+L$ asymmetry right before the electroweak phase transition, the resulting asymmetry can explain the present baryon density.\nThe minimal scenario in this context is electroweak baryogenesis, which is unfortunately excluded by the observed Higgs mass and the lack of the sufficient $CP$-violation in the CKM matrix.\nHowever, as is known in the literature, the presence of an axion can reopen the possibility of baryogenesis at the electroweak phase transition~\\cite{Servant:2014bla,Jeong:2018jqe,Co:2019wyp,Croon:2019ugf}.\n\n\nIn this section, we consider spontaneous $B+L$-genesis prior to the electroweak transition.\nSuppose that the axion, which couples to the SM particles with (classically) shift symmetric couplings, has a non-vanishing velocity around the electroweak phase transition.\nThough we do not specify the mechanism, one could for instance consider the coherent axion rotation initiated by a higher dimensional explicit breaking term~\\cite{Co:2019jts,Co:2019wyp} or the onset of coherent axion oscillations.\nAs demonstrated in Sec.~\\ref{sec:basis-indep}, the non-vanishing velocity of the axion biases the chemical potentials.\nConsequently, the $B+L$ asymmetry is generated by the $B+L$-violating electroweak sphaleron, which can account for the present baryon density - even if the axion is not directly coupled to the electroweak sphaleron.\nWe clarify the condition of the coupling to the axion in order to generate the $B+L$ asymmetry.\nWe will see that couplings to the axion which have seemingly nothing to do with $B+L$ current, \\textit{e.g.}, the coupling to the strong sphaleron $a G \\tilde G$, can generate the sufficient $B+L$ asymmetry as shown in Ref.~\\cite{Co:2019wyp}.\n\n\n\n\\subsection{Basic properties of the transport equation}\n\n\\paragraph{Reduction of chemical potentials.}\n\nAs discussed in Sec.~\\ref{sec:SM-charges}, all SM interactions are in equilibrium around the electroweak phase transition.\nThis yields four independent conserved quantities, namely $Q_{Y}, Q_{B-L}$, $Q_{L_1 - L_2}$, and $Q_{L_2-L_3}$.\nSince we are interested in a situation where they have no primordial asymmetries, we have $c_Y = c_{B-L} = c_{L_1 - L_2} = c_{L_2 - L_3} = 0$ [see Eq.~\\eqref{eq:conservation}].\nIn order to reduce the number of species in the chemical potential vectors,\n it is convenient to implement the last two conditions from the beginning.\nIf we do not have primordial asymmetries in $Q_{L_1 - L_2}$ and $Q_{L_2-L_3}$, leptons in different flavors have the same properties.\\footnote{\n\tFor a lepton-flavor dependent axion coupling, this is not the case.\n\tWe restrict ourselves to a lepton-flavor independent axion coupling throughout this paper for simplicity.\n}\nWe can take common chemical potentials, \\textit{i.e.}, $\\mu_{e_f} = \\mu_e$, $\\mu_{L_f} = \\mu_L$ for $f = 1, \\cdots, N_f$.\n\n\nAs we have seen in Sec.~\\ref{sec:SM-charges}, the charge vectors of the SM interactions involve $5$ non-trivial linearly dependent relations among the charge vectors \\eqref{eq:relations-ew}.\nIf the axion couples to operators $O_{\\hat\\alpha_\\perp}$, which are not involved in these relations,\nwe can simplify the equilibrium solution \\eqref{eq:matrix-equil_sol} as\n$\\mu_i^\\text{eq} = \\sum_{\\hat\\alpha_\\perp} M^{-1}_{i \\hat\\alpha_\\perp} n_S^{\\hat \\alpha_\\perp} \\dot a \/ f$ where the actual value of the transport coefficients does not matter.\nOn the other hand, if the axion couples to operators involved in these relations $O_{\\hat\\alpha_\\parallel}$ or $O_{\\alpha_\\Delta}$, the equilibrium solution cannot be simplified in this way, rather we have \n$\\mu_i^\\text{eq} = \\sum_{\\hat\\alpha_\\perp, \\hat\\beta_\\parallel, \\gamma} M^{-1}_{i \\hat\\alpha_\\parallel} \\Gamma^{-1}_{\\hat\\alpha_\\parallel \\hat\\beta_\\parallel} S_{\\hat\\beta_\\parallel \\gamma} n_S^{\\gamma} \\dot a \/ f$.\nHere the matrix $\\sum_{\\hat\\beta_\\parallel}\\Gamma^{-1}_{\\hat\\alpha_\\parallel \\hat\\beta_\\parallel} S_{\\hat\\beta_\\parallel \\gamma}$ does depend on the actual value of the transport coefficients.\nThis explicit dependence should be dominated by the smallest interaction among linearly dependent relations because we have $\\sum_{\\hat\\beta_\\parallel}\\Gamma^{-1}_{\\hat\\alpha_\\parallel \\hat\\beta_\\parallel} S_{\\hat\\beta_\\parallel \\gamma} \\to \\delta_{\\hat\\alpha_\\parallel \\gamma}$ once one of them is switched off.\nTherefore, while we need to keep a value of the smallest transport coefficient, we can take others to be infinite at the end of computations.\nSince we restrict ourselves to a quark-flavor independent axion coupling, \\textit{i.e.,} the axion can only couple to the entire up\/down-type quark Yukawa, the relation among the strong Sphaleron and quark Yukawas in Eq.~\\eqref{eq:relations-ew} is quite important.\nThe first generation up\/down-type Yukawa interactions are the smallest couplings among them.\nHence, in order to estimate the equilibrium solution at leading order, we can take common chemical potentials for the second and third generation right-handed quarks, $\\mu_{u_{23}} = \\mu_{u_2} = \\mu_{u_3}$ and $\\mu_{d_{23}} = \\mu_{d_2} = \\mu_{d_3}$, while those for the first generation take different values.\nMoreover, we can take $\\mu_Q = \\mu_{Q_1} = \\mu_{Q_2} = \\mu_{Q_3}$\nsince they are related by $\\alpha = Y_d^{3f}$ and $Y_d^{2f}$ that are controlled by\nthe second and third generation down-type Yukawa couplings.\n\n\n\n\n\n\n\nAs a result, we can reduce the number of species in the chemical potential $\\mu_i$ from $16$ to $8$ as $i = e, L, u_1, u_{23}, d_1, d_{23}, Q, H$.\nThe corresponding multiplicity factor is $g_i = 3, 6, 3,6, 3,6, 18, 4$ respectively.\nOne may readily read off the charge vectors in this basis from Eqs.~\\eqref{eq:ws}, \\eqref{eq:ss}, \\eqref{eq:Ye}, \\eqref{eq:Yu}, and \\eqref{eq:Yd}:\n\\begin{align}\n\t&(n_i^\\text{WS}) = ( 0, 3, 0, 0, 0, 0, 9, 0 )\\,, \\quad\n\t(n_i^\\text{SS}) = (0, 0, -1,-2, -1,-2, 6, 0)\\,, \\quad\n\t(n_i^{Y_e}) = ( -1, 1, 0, 0, 0, 0, 0, -1)\\,, \\nonumber \\\\\n\t&(n_i^{Y_{u_1}}) = ( 0, 0, -1, 0, 0, 0, 1, 1 )\\,, \\quad\n\t(n_i^{Y_{u_{23}}}) = ( 0, 0, 0, -1, 0, 0, 1, 1 )\\,, \\nonumber \\\\\n\t&(n_i^{Y_{d_1}}) = ( 0, 0, 0, 0, -1, 0, 1, -1 )\\,, \\quad\n\t(n_i^{Y_{d_{23}}}) = ( 0, 0, 0, 0, 0, -1, 1, -1 )\\,.\n\\end{align}\nHere we have $n_i^\\text{SS} = n_i^{Y_{u_1}} + 2 n_i^{Y_{u_{23}}} + n_i^{Y_{d_1}} + 2 n_i^{Y_{d_{23}}}$.\nTwo conserved quantities corresponding to $Q_Y$ and $Q_{B-L}$ provide\n\\begin{align}\n\t(n_i^{Q_Y}) = \\left( -1, - \\frac{1}{2}, \\frac{2}{3}, \\frac{2}{3}, - \\frac{1}{3}, - \\frac{1}{3}, \\frac{1}{6}, \\frac{1}{2} \\right)\\,, \\quad\n\t(n_i^{Q_{B-L}}) = \\left( -1, -1, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, 0 \\right)\\,.\n\\end{align}\n\n\n\\paragraph{Transport matrix.}\nHere we provide explicit forms of matrices \n$\\Gamma_{\\hat\\alpha \\hat\\beta}$ and $S_{\\hat\\alpha \\beta}$ that are useful in obtaining equilibrium solution.\nThroughout this section, we choose the complete basis of the charge vectors for interactions as $n_i^{\\hat\\alpha}$ with $\\hat\\alpha = \\text{WS}, Y_e, \\text{SS}, Y_{u_{23}}, Y_{d_{1}}, Y_{d_{23}}$.\nTogether with $n_i^A$ with $A = Q_Y, Q_{B-L}$, they form a complete basis, and\nit is straightforward to compute its dual basis $\\bar n_i^X$.\nFrom this, we obtain the inverse matrix of $M_{Xi}$ in Eq.~\\eqref{eq:matrix-equil} \nas\\small\n\\begin{align}\n\t(M_{iX}^{-1}) = \n\t\\begin{pmatrix}\n\t\t\\frac{22}{237} & -\\frac{55}{79} & -\\frac{13}{79} & 0 & \\frac{15}{79} & \\frac{30}{79} & -\\frac{5}{79} & -\\frac{3}{79} \\\\\n \\frac{25}{237} & \\frac{33}{158} & -\\frac{4}{79} & 0 & -\\frac{9}{158} & -\\frac{9}{79} & \\frac{3}{158} & -\\frac{7}{79} \\\\\n \\frac{7}{79} & -\\frac{13}{79} & -\\frac{206}{237} & 2 & \\frac{61}{79} & \\frac{122}{79} & \\frac{6}{79} & -\\frac{5}{237} \\\\\n \\frac{7}{79} & -\\frac{13}{79} & \\frac{31}{237} & -1 & -\\frac{18}{79} & -\\frac{36}{79} & \\frac{6}{79} & -\\frac{5}{237} \\\\\n \\frac{5}{79} & \\frac{2}{79} & -\\frac{23}{237} & 0 & -\\frac{58}{79} & \\frac{42}{79} & -\\frac{7}{79} & \\frac{19}{237} \\\\\n \\frac{5}{79} & \\frac{2}{79} & -\\frac{23}{237} & 0 & \\frac{21}{79} & -\\frac{37}{79} & -\\frac{7}{79} & \\frac{19}{237} \\\\\n \\frac{6}{79} & -\\frac{11}{158} & \\frac{4}{237} & 0 & \\frac{3}{158} & \\frac{3}{79} & -\\frac{1}{158} & \\frac{7}{237} \\\\\n \\frac{1}{79} & -\\frac{15}{158} & \\frac{9}{79} & 0 & -\\frac{39}{158} & -\\frac{39}{79} & \\frac{13}{158} & -\\frac{4}{79}\n\t\\end{pmatrix}\\,,\n\t\\label{eq:Minv_sec4}\n\\end{align}\n\\normalsize\nand also transport matrices $\\Gamma_{\\hat\\alpha \\hat\\beta}$ and $S_{\\hat\\alpha\\beta}$ in Eq.~\\eqref{eq:transport_matrix} as\\tiny\n\\begin{align}\t\n\t(\\Gamma_{\\hat\\alpha \\hat\\beta}) = \n\t\\begin{pmatrix}\n\t\t\\Gamma_\\text{WS} & & & & & \\\\\n & \\Gamma_{Y_e} & & & & \\\\\n & & \\Gamma_\\text{SS}+\\Gamma_{Y_{u_1}}& -2 \\Gamma_{Y_{u_1}}& -\\Gamma_{Y_{u_1}}& -2 \\Gamma_{Y_{u_1}}\\\\\n & & -2 \\Gamma_{Y_{u_1}}& 4 \\Gamma_{Y_{u_1}}+\\Gamma_{Y_{u_{23}}} & 2 \\Gamma_{Y_{u_1}}& 4 \\Gamma_{Y_{u_1}}\\\\\n & & -\\Gamma_{Y_{u_1}}& 2 \\Gamma_{Y_{u_1}}& \\Gamma_{Y_{d_1}}+\\Gamma_{Y_{u_1}}& 2 \\Gamma_{Y_{u_1}}\\\\\n & & -2 \\Gamma_{Y_{u_1}}& 4 \\Gamma_{Y_{u_1}}& 2 \\Gamma_{Y_{u_1}}& \\Gamma_{Y_{d_{23}}}+4 \\Gamma_{Y_{u_1}}\n\t\\end{pmatrix}\\,, \\quad\t\n\t(S_{\\hat\\alpha \\beta}) = \n\t\\begin{pmatrix}\n\t\t\\Gamma_\\text{WS} &  &  &  &  &  &  \\\\\n  & \\Gamma_{Y_e} &  &  &  &  &  \\\\\n  &  & \\Gamma_\\text{SS} &  &  &  & \\Gamma_{Y_{u_1}} \\\\\n  &  &  & \\Gamma_{Y_{u_{23}}} &  &  & -2 \\Gamma_{Y_{u_1}} \\\\\n  &  &  &  & \\Gamma_{Y_{d_1}} &  & -\\Gamma_{Y_{u_1}} \\\\\n  &  &  &  &  & \\Gamma_{Y_{d_{23}}} & -2 \\Gamma_{Y_{u_1}}\n\t\\end{pmatrix}\\,.\n\t\\label{eq:GammaS-sec4}\n\\end{align}\n\\normalsize\nHere $\\Gamma_{Y_{u_{23}}}$ and $\\Gamma_{Y_{d_{23}}}$ in this matrix may be expressed as functions of $\\Gamma_{Y_{u_f}}$ and $\\Gamma_{Y_{d_f}}$ with $f=2,3$ because we have taken common chemical potentials for the second and third generation right-handed quarks.\nAs  explained, the actual values of the transport coefficients only matter if the axion couples to an operator whose charge vector belongs to the set of linearly dependent charge vectors.\nMoreover, to evaluate the equilibrium solution at leading order in this case, we only need to keep the smallest interactions to be finite while taking the others to infinity at the end of the computation.\nTherefore, the precise values of $\\Gamma_{Y_{u_{23}}}$ and $\\Gamma_{Y_{d_{23}}}$ are not important as long as $\\Gamma_{Y_{u_{1}}}, \\Gamma_{Y_{d_{1}}} \\ll \\Gamma_{Y_{u_{23}}},\\Gamma_{Y_{d_{23}}}$, which is always fulfilled in our case because of $y_{u_1}, y_{d_1} \\ll y_{u_2}, y_{u_3}, y_{d_2}, y_{u_3}$.\nOne can check this explicitly starting from the full $16 \\times 16$ matrices and taking $y_{u_1}, y_{d_1} \\ll y_{u_2}, y_{u_3}, y_{d_2}, y_{u_3}$ at the end of the computation.\n\n\n\n\n\n\\subsection{Equilibrium solution including the axion}\nNow we are ready to discuss the equilibrium solution for the chemical potentials $\\mu_i$ in the presence of an axion with non-vanishing $\\dot a$.\nFrom this, we get the condition of the axion coupling in order to generate a baryon asymmetry.\nWe also discuss the condition so that the axion is not stopped by the backreaction.\n\n\n\\paragraph{Condition for baryogenesis.}\nThe $B+L$ asymmetry is given by\n\\begin{align}\n \tq_{B+L} = \\mu_{B+L} \\frac{T^2}{6}  \\qquad \\text{with} \\quad \\mu_{B+L} \n \t= 3\\left(\\mu_e + 2\\mu_L\\right) + \\mu_{u_1} + \\mu_{u_2} + 2\\left(\\mu_{u_{23}} + \\mu_{d_{23}}\\right) + 6\\mu_Q\\,.\n\\end{align}\nThe equilibrium solution for the chemical potentials $\\mu_i$ is given by Eq.~\\eqref{eq:matrix-equil_sol}, with the matrices $M_{iX}$, $\\Gamma_{\\hat \\alpha \\hat \\beta}$ and $S_{\\hat \\alpha \\beta}$ given in Eqs.~\\eqref{eq:Minv_sec4} and \\eqref{eq:GammaS-sec4}. Let's suppose for simplicity that we do not have any primordial asymmetries for $q_y$ or $q_{B-L}$, \\textit{i.e.}, $c_{Q_y} = c_{Q_{B-L}} = 0$. The baryon asymmetry can thus be expressed as a linear combination of the source terms appearing on the right-hand side of Eq.~\\eqref{eq:matrix-equil}, incorporating the couplings to the axion. A non-zero baryon asymmetry is generated as long as the source vector is \\textit{not} orthogonal to the direction in $\\alpha$-space which is subject to baryon number changing interactions, as derived in Eq.~\\eqref{eq:cond_asym}. \nAs mentioned, we assume that the axion couples to the SM particles in a flavor independent way, which means that the source vectors fulfill $n_S^{Y_u} = n_S^{Y_{u_1}} = n_S^{Y_{u_{23}}}$ and $n_S^{Y_d} = n_S^{Y_{d_1}} = n_S^{Y_{d_{23}}}$.\nInserting the expressions in Eqs.~\\eqref{eq:Minv_sec4} and \\eqref{eq:GammaS-sec4} we obtain the condition for generating a $B+L$ asymmetry:\n\\begin{align}\n \\left(n_S^\\text{WS}, n_S^{Y_e}, n_S^\\text{SS}, n_S^{Y_d}, n_S^{Y_u} \\right) \\not\\perp  v_\\gamma^{B+L}\n\\end{align}\nwith\n\\begin{align}\n v_\\gamma^{B+L} \n &\\simeq\n  \\frac{6}{79} \\left(24, -22,  \\frac{- 3 (7 \\Gamma_{Y_{d_1}} + 5 \\Gamma_{Y_{u_1}})}{\\Gamma_{Y_{u_1}} + \\Gamma_{Y_{d_1}}}, \\frac{18 \\Gamma_{Y_{d_1}}}{\\Gamma_{Y_{u_1}} + \\Gamma_{Y_{d_1}}},\\frac{-18 \\Gamma_{Y_{u_1}}}{\\Gamma_{Y_{\n  u_1}} + \\Gamma_{Y_{d_1}}}   \\right) \n\\end{align}\nThe appearance of the interaction rates for the strong sphaleron and up\/down-type Yukawas in the last three entries in the first line is due to the linear dependence between the respective charge vectors, as discussed above.\nHere we have used the fact that $\\Gamma_{Y_{u_1}},\\Gamma_{Y_{d_1}} \\ll \\Gamma_\\text{SS}, \\Gamma_{Y_{u_{23}}}, \\Gamma_{Y_{d_{23}}}$.  From Eq.~\\eqref{eq:equilibrium_solution}, the equilibrium solution for the $B+L$ asymmetry is now immediately obtained as\n\\begin{align}\n \\mu_{B+L}^\\text{eq} = \\sum_\\gamma v_\\gamma^{B+L} n^\\gamma_S \\frac{\\dot a}{f} \\,.\n\\end{align}\n\n\n\nTo give some concrete examples, the coupling to the electroweak sphaleron, $(n_S^\\alpha) = (1,0,0,0,0)$, or a direct coupling to the $B+L$ current [see below \\eq{eq:sourcevec}], \n\\begin{align}\n (n_S^{\\alpha}) \n &= \\sum_i n_i^{Q_{B+L}} (n_i^\\alpha) \n \\nonumber\\\\\n &= (n^\\alpha_{e}) + (n^\\alpha_L) + \\frac{1}{3} ( n_u^\\alpha + n_d^\\alpha + n_Q^\\alpha ) = (6,0,0,0,0)\\,,\n \\label{eq:nS_B+L}\n\\end{align}\nclearly satisfy the condition for generating a baryon asymmetry. This is not surprising since both operators violate $B+L$. \nBy performing a $B+L$ rotation of the SM fermions, the coupling to the electroweak sphaleron can be rewritten as the coupling to the $B+L$ current. The above two charge vectors $n_S^\\alpha$ coincide up to an overall factor reflecting the invariance under this field rotation.\n\n\n\nAccording to the condition above, a coupling to the strong sphaleron $(n_S^\\alpha) = (0,0,1,0,0)$, the lepton Yukawa $(n_S^\\alpha) = (0,1,0,0,0)$, and the up\/down-type quark Yukawas $(n_S^\\alpha) = (0,0,0,0,1), (0,0,0,1,0)$ will also generate a baryon asymmetry. The coupling to the strong sphaleron $a G \\tilde G$ is particularly interesting because it is present in QCD axion models.\nThese examples are more surprising since these operators do not violate $B+L$.\nHowever, they generate an asymmetry for the left-handed leptons\/quarks, which can then be converted into a baryon asymmetry by the electroweak sphaleron. \n\n\nMore generally, this result explicitly demonstrates that a generic shift-symmetric coupling of an axion to SM particles typically generates a baryon asymmetry - in fact there is only one particular linear combinations of operators which, when coupled to the axion, does not source a baryon asymmetry.  This is because, unless we choose a very specific coupling such that the electroweak sphaleron is not involved in achieving the equilibrium with $\\dot a \\neq 0$, the baryon asymmetry is generated.\nSince there is no reason for this specific coupling to be realized, we conclude that the generation of the baryon asymmetry is a generic consequence of the axion coupling to the SM particles if the homogeneous axion velocity is non-vanishing at the electroweak phase transition.\n\n\n\n\n\n\n\\paragraph{Backreaction to the axion.}\nLet us briefly discuss the effective friction term \\eqref{eq:axion_dissipation} for the axion.\\footnote{\n\tThroughout this paper, we assume that the SM particles are in equilibrium. This, however, implicitly assumes that the tachyonic instability of the gauge field via the Chern-Simons coupling $a W \\tilde W$ is suppressed.\n\tIn our case, this assumption is fulfilled because the typical axion velocity we have in mind is small, $\\dot a \/ f T \\sim 10^{-10}$, and the non-abelian gauge field acquires the magnetic mass term from the ambient plasma~(see \\textit{e.g.}\\cite{Hook:2016mqo}).\n}\nAs shown in Eq.~\\eqref{eq:zero-friction}, the effective friction term vanishes identically if the axion couples to the the electroweak Chern-Simons term or the lepton Yukawa:\n\\begin{align}\n\t\\gamma^\\text{eff}_{a, \\text{WS}} = \\gamma^\\text{eff}_{a, Y_e} = 0\\,.\n\\end{align}\nOn the other hand, the charge vectors for the strong sphaleron and the up\/down-type quark Yukawas are linearly dependent: $n_i^\\text{SS} = n_i^{Y_{u_1}} + 2 n_i^{Y_{u_{23}}} + n_i^{Y_{d_1}} + 2 n_i^{Y_{d_{23}}}$.\nHence, if the axion couples to these operators, the effective friction term becomes non-zero (for $\\gamma^\\text{eff}_{a, \\text{SS}} $ see also Ref.~\\cite{McLerran:1990de,Co:2019wyp}):\n\\begin{align}\n\t\\gamma^\\text{eff}_{a, \\text{SS}} \n\t\\simeq \\frac{1}{f^2 T} \\frac{1}{\\Gamma_{Y_{u_1}}^{-1} + \\Gamma_{Y_{d_1}}^{-1}} \\,,\\quad\n\t\\gamma^\\text{eff}_{a, Y_u} = \\gamma^\\text{eff}_{a, Y_d} \n\t\\simeq \\frac{1}{f^2 T} \\frac{9}{\\Gamma_{Y_{u_1}}^{-1} + \\Gamma_{Y_{d_1}}^{-1}}\\,.\n\\end{align}\nHere again we have used $\\Gamma_{Y_{u_1}},\\Gamma_{Y_{d_1}} \\ll \\Gamma_\\text{SS}, \\Gamma_{Y_{u_{23}}}, \\Gamma_{Y_{d_{23}}}$.\nOne can see that all of them have a similar value, \\textit{i.e.}, $\\gamma^\\text{eff}_{a, \\text{SS}} \\sim \\gamma^\\text{eff}_{a, Y_{u\/d}} \\sim \\kappa_{Y_u} y_u^2 T^3 \/ f^2$.\nBy comparing it with the Hubble parameter, we get the following condition for neglecting the backreaction:\n\\begin{align}\n\t\\frac{f^2}{T} \\gtrsim 10^6 \\,\\mathrm{GeV}\\,.\n\\end{align}\nRestricting the discussion to below the Peccei-Quinn breaking scale, $T\/f \\lesssim 1$, this implies that the backreaction can be neglected for $f \\gtrsim 10^6$~GeV.\n\n\n\n\n\\section{Spontaneous $B-L$-genesis around the reheating epoch}\n\\label{sec:b-l}\nIn this section, we consider an example of spontaneous baryogenesis\nat $T \\sim 10^{13}\\,\\mathrm{GeV}$, \\textit{i.e.}, during a much earlier epoch than the previous example in Sec.~\\ref{sec:b+l}.\nIt is well-known that the SM left-handed neutrinos are massive, which cannot be explained\nwithin the dimension four operators of the SM.\nA simple way to explain the neutrino masses is to introduce the dimension five Weinberg operator \n(suppressing species indices) as\n\\begin{align}\n\t\\mathcal{L}_{\\nu} = - \\frac{m_{\\nu}}{2v_{\\text{EW}}^{2}} \\left( L \\cdot H \\right)^{2} + \\text{H.c.}\\,,\n\t\\label{eq:LHLH}\n\\end{align}\nwhere $m_\\nu$ is the mass of the left-handed neutrino and $v_\\mathrm{EW} \\simeq 174\\,\\mathrm{GeV}$ \nis the Higgs vacuum expectation value.\nThis operator provides effective masses for the left-handed neutrinos after the electroweak symmetry breaking,\nand  may be obtained from integrating out heavy right-handed neutrinos. Being a dimension five operator, the Weinberg operator becomes more effective at high temperatures.\nAs it violates lepton number, \nit (with the help of an axion) \ncan be a source of $B-L$ asymmetry in the early universe.\n\nAn overview of our $B-L$-genesis scenario in this section is as follows.\nWe introduce an axion and its shift symmetric coupling to the SM sector,\n\\textit{e.g.}, $a W\\tilde{W}$ or $a G\\tilde{G}$.\nSuppose that the axion develops a non-vanishing velocity before the Weinberg operator decouples from equilibrium.\nThe chemical potentials for the SM particles are then biased toward nonzero values via the shift-symmetric couplings. \nAs a result, a $B-L$ asymmetry is generated by the lepton number violating Weinberg operator. \nAs we will see shortly, \nthe lepton number violating interaction  decouples at the temperature of order $10^{13}$\\,GeV. \nIf the axion keeps moving until this moment,\nthe produced $B-L$ asymmetry is never washed out afterwards,\nand is eventually converted to the baryon asymmetry of the present universe.\n\nMore explicitly, the baryon asymmetry in the present-day Universe, $Y_B$\n(= $9 \\times 10^{-11}$ from observation~\\cite{Ade:2015xua}),\nis given in terms of the final $B-L$ asymmetry as\n\\begin{align}\n Y_B = \\frac{q_B}{s} =  \\frac{T^3}{6 \\, s} \\frac{\\mu_B}{T} = - \\frac{C_\\text{sph} T^3}{6 \\, s} \\frac{\\mu_{B-L}}{T} \\simeq - 0.03 \\, \\frac{\\mu_{B-L}}{T}\n \\label{eq:B-LtoB}\n\\end{align}\nwhere $s= 2 \\pi^2\/45 g_* T^3$ denotes the entropy of the thermal bath with $g_{*,0} = 43\/11$ counting the effective degrees of freedom, and $C_\\text{sph} = 8\/23$ indicates the sphaleron conversion factor translating the $B-L$ asymmetry into a baryon asymmetry at the electroweak phase transition.\n\n\nIn this section, we compute the resulting $B-L$ asymmetry well after the decoupling of the Weinberg operator.\nWe also clarify the condition of the coupling to the axion so that the $B-L$ asymmetry is generated.\nWe will see, for instance, the coupling to the strong sphaleron, which at first glance has nothing to do with $B-L$ or $B+L$ charges, \ncan produce a sufficient $B-L$ asymmetry.\n\n\\subsection{Transport equation including the Weinberg operator}\n\\label{subsec:b-l_transport_eq}\n\n\\paragraph{Weinberg operator.}\nHere we summarize the basic properties of the Weinberg operator~\\eqref{eq:LHLH}.\nWe assume that it is flavor-universal for simplicity.\nThen the rate per unit volume is also flavor-blind and is estimated as\n\\begin{align}\n\t\\Gamma_\\mathrm{W} = \\kappa_{\\rm W} \\frac{m_{\\nu}^2 T^6}{v_{\\text{EW}}^{4}}. \n\t\\label{Gamma_W}\n\\end{align}\nwhere $\\kappa_{\\rm W} \\sim 3 \\times 10^{-3}$. \nWe define the decoupling temperature of the lepton number violating process mediated by the flavor-universal Weinberg operator, $T_{\\rm W}$,\nby looking at the coefficient of the transport equation for the total lepton number density: \n\\begin{align}\n\t- \\frac{\\mathrm{d}}{\\mathrm{d} \\ln T} \\lmk 2 \\frac{\\mu_{L_1} +\\mu_{L_2} + \\mu_{L_3}}{3T} - 2 \\frac{\\mu_H}{T} \\right) \n\t= - \\sum_i \\frac{1}{g_i} \\lmk n_{i}^{\\rm W} \\right)^2 \\frac{3 \\gamma_{\\rm W}}{H}\n \\lmk 2 \\frac{\\mu_{L_1} +\\mu_{L_2} + \\mu_{L_3}}{3T} - 2 \\frac{\\mu_H}{T} \\right) \n+ \\dots, \n\\end{align}\nWe thus define the decoupling temperature by $5 \\gamma_{W} = H$. \nIt is calculated as \n\\begin{align}\n\tT_\\mathrm{W} \\simeq 6\\times 10^{12}\\,\\mathrm{GeV}\\times \\left(\\frac{0.05\\,\\mathrm{eV}}{m_\\nu}\\right)^2. \n\t\\label{eq:T_W}\n\\end{align}\nNote that the lepton number violating interaction is in thermal equilibrium when the temperature is {\\it higher} than $T_{\\rm W}$. \nOn the other hand, the other (SM) interactions $\\alpha$ (the sphalerons and the Yukawa interactions) are in thermal equilibrium when the temperature is {\\it lower} than $T_\\alpha$.\nThis is the reason why we refer to $T_\\mathrm{W}$ as the decoupling temperature as opposed to the term equilibration temperature used for the other interactions.\n\n\n\\paragraph{Transport equation.}\nWe are interested in the transport equation around the temperature of $T \\sim T_W \\sim 10^{13}\\,\\mathrm{GeV}$.\nAs we discussed in Sec.~\\ref{sec:SM-charges}, \nwe can focus on the chemical potentials of $10$ species\nat such a high temperature,, \\textit{i.e.}, $\\mu_i$ with $i = \\tau, L_{12}, L_3, u_{12}, t, d_{12}, b, Q_{12}, Q_3, H$.\nWe further assume that there is no initial charge asymmetry between $u_{12}$ and $d_{12}$, or $c_{u_{12}-d_{12}} = 0$,\nin this section.\nIt allows us to combine $u_{12}$ and $d_{12}$ as $q_{12}$.\nIn summary, the chemical potentials of our interest are $\\mu_i$ with\n\\begin{align}\n\ti = \\tau, ~L_{12}, ~L_3, ~q_{12}, ~t, ~b, ~Q_{12}, ~Q_3, ~H,\n\\end{align}\nand the multiplicity factor is $g_i = 1, 4, 2, 12, 3, 3, 12, 6, 4$ respectively.\nThe charge vectors of the relevant interactions are\\footnote{\nWe should note that there are three lepton number violating interactions \nthough we combine two of them into a single charge vector $n_i^{W_{12}}$. \nThe interaction rate should be then given by $\\Gamma_{{\\rm W}_{12}} = 2 \\Gamma_{{\\rm W}_3} = 2 \\Gamma_{\\rm W}$. \n}\n\\begin{align}\n\t&( n_i^\\text{WS} ) = ( 0, 2, 1, 0,0,0, 6, 3, 0 )\\,, \\quad\n\t( n_i^\\text{SS} ) = ( 0,0,0, -4, -1, -1, 4, 2, 0 )\\,, \\quad\n\t( n_i^{Y_\\tau} ) = ( -1,0,1,0,0,0,0,0,1 )\\,,\\nonumber\\\\\n\t&( n_i^{Y_t} )  = ( 0,0,0,0,-1,0,0,1,1 )\\,, \\quad\n\t( n_i^{Y_b} ) = ( 0,0,0,0,0, -1, 0, 1, -1 )\\,, \\nonumber\\\\\n\t&( n_i^{W_{12}} )  = (0,2,0,0,0,0,0,0,2)\\,, \\quad\n\t( n_i^{W_3} ) = (0,0,2,0,0,0,0,0,2).\n\t\\label{eq:b-l_int_vectors}\n\\end{align}\nThese linearly independent vectors span a $7$-dimensional subspace out of $9$.\nNote that all the charge vectors $n_i^\\alpha$ are linearly independent,\nand hence the axion does not have any friction term in equilibrium.\nThe remaining $2$ vectors orthogonal to Eq.~\\eqref{eq:b-l_int_vectors} correspond \nto U$(1)_Y$ and U$(1)_{B_{12}-2 B_3}$:\n\\begin{align}\n\t&( n_i^{Q_Y} ) = \\left( -1, - \\frac{1}{2}, - \\frac{1}{2}, \\frac{1}{6}, \\frac{2}{3}, - \\frac{1}{3}, \\frac{1}{6}, \\frac{1}{6}, \\frac{1}{2} \\right)\\,, \\quad\n\t( n_i^{Q_{B_{12} - 2 B_3}} ) = \\left( 0,0,0, \\frac{1}{3}, -\\frac{2}{3}, -\\frac{2}{3},\\frac{1}{3}, -\\frac{2}{3}, 0 \\right)\\,.\n\\end{align}\nThese vectors form a complete basis of the $9$-dimensional chemical potential space.\nHere that $U(1)_{B-L}$ is no longer a conserved charge because of the Weinberg operator.\nThe transport equation of our system is given by Eq.~\\eqref{eq:fulltransporteq}, which we show here again for reader's convenience:\n\\begin{align}\n\t- \\frac{\\mathrm{d}}{\\mathrm{d} \\ln T} \\lmk \\frac{\\mu_i}{T} \\right) = -\\frac{1}{g_i}\\sum_\\alpha n_{i}^{\\alpha} \\frac{\\gamma_\\alpha}{H}\n\t\\left[\\sum_{j}n_{j}^{\\alpha} \\lmk \\frac{\\mu_j}{T} \\right) - n_{S}^{\\alpha} \\lmk \\frac{\\dot{a}\/f}{T} \\right) \\right],\n\t\\label{eq:transport_eq_sec5}\n\\end{align}\nwith the charge vectors $n_i^\\alpha$ defined above.\n\n\nSince the bottom\/tau Yukawa couplings and the electroweak sphaleron are only marginally relevant at $T \\sim 10^{13}\\,\\mathrm{GeV}$,\nwe may further ignore them when we discuss the equilibrium solutions in Sec.~\\ref{subsec:b-l_equilibrium}.\nThese interactions are however fully included in our numerical results in Secs.~\\ref{subsec:b-l_numerics} and~\\ref{subsec:axion_model}.\n\n\n\\subsection{Equilibrium solution including the axion}\n\\label{subsec:b-l_equilibrium}\n\nIn this subsection, we discuss the equilibrium solution\nto get a rough idea of the $B-L$ asymmetry generation in our system.\nOur primary goal here is to derive a condition for the axion source vector $n_S^\\alpha$\nto obtain a non-zero $B-L$ asymmetry in equilibrium.\n\n\nIn this subsection, we ignore the bottom and tau Yukawa interactions in order to simplify our analysis.\nThe right-handed tau lepton $\\tau$ then plays no role and hence we omit it.\nThe right-handed bottom quark $b$ can be combined with $q_{12}$ (we denote them as $q$) \nby assuming that there is no initial asymmetry between $b$ and $q_{12}$.\nWe can also combine $L_{12}$ and $L_3$ as $L$ by again assuming that there is no initial asymmetry between them,\nsince we take the lepton number violating process as flavor-universal.\nThus, the chemical potentials of our interest reduce to $\\mu_i$ with\n\\begin{align}\n\ti = L, ~q, ~t, ~Q_{12}, ~Q_3, ~H,\n\\end{align}\nand the multiplicity factors are $g_i = 6, 15, 3, 12, 6, 4$ respectively.\nThe charge vectors of the relevant interactions are\n\\begin{align}\n\t&( n_i^\\text{WS} ) = (3, 0, 0, 6, 3, 0 )\\,, \\quad\n\t( n_i^\\text{SS} ) = ( 0,-5, -1, 4, 2, 0 )\\,, \\nonumber\\\\\n\t&( n_i^{Y_t} )  = ( 0,0,-1,0,1,1 )\\,, \\quad\n\t( n_i^{W} ) = (2,0,0,0,0,2),\n\\end{align}\nand the conserved charges are  $Q_Y$ and  $Q_{B_{12} - 2 B_3}$ with their charge vectors\n\\begin{align}\n\t&( n_i^{Q_Y} ) = \\left(-\\frac{1}{2}, \\frac{1}{15}, \\frac{2}{3}, \\frac{1}{6}, \\frac{1}{6}, \\frac{1}{2} \\right)\\,, \\quad\n\t( n_i^{Q_{B_{12}-2B_3}} ) = \\left(0, \\frac{2}{15}, -\\frac{2}{3}, \\frac{1}{3}, -\\frac{2}{3}, 0 \\right)\\,.\n\\end{align}\nAs the electroweak sphaleron is only marginally relevant, we may further ignore it.\nIn such a case the baryon number $Q_B$ is also conserved,\nwhose charge vector is\n\\begin{align}\n\tn_{i}^{Q_{B}} = \\left(0, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, 0\\right).\n\\end{align}\nThe $B-L$ charge vector in this basis is expressed as \n\\begin{align}\n\tn_{i}^{Q_{B-L}} = \\left(-1, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, \\frac{1}{3}, 0\\right).\n\\end{align}\nIn this case, all the charge vectors of the interactions are linearly independent,\nand hence we can directly apply Eq.~\\eqref{eq:cond_asym_lind} \nas a condition for the source vector $n_S^\\alpha$\nto generate a non-zero $B-L$ asymmetry.\nThe condition reads\n\\begin{align}\n\t(n_S^{\\mathrm{WS}}, n_S^{\\mathrm{SS}}, n_S^{Y_t}, n_S^{W})\n\t\\not\\perp\n\t\\frac{1}{174} (92, -114, 270, -345),\n\t\\label{eq:b-l_with_ws}\n\\end{align}\nif the electroweak sphaleron is in equilibrium, and\n\\begin{align}\n\t(n_S^{\\mathrm{SS}}, n_S^{Y_t}, n_S^{W})\n\t\\not\\perp\n\t\\frac{3}{44} (-3, 18, -23),\n\t\\label{eq:b-l_without_ws}\n\\end{align}\nif the electroweak sphaleron is decoupled, respectively. \nAccordingly, the $B-L$ asymmetry is given by\n\\begin{align}\n\t\\frac{\\mu_{B-L}^\\mathrm{eq}}{T} \n\t=\n\t\\left(\\frac{46}{87}n_S^{\\mathrm{WS}}\n\t-\\frac{19}{29}n_S^{\\mathrm{SS}} + \\frac{45}{29}n_S^{Y_t} - \\frac{115}{58}n_S^{W}  \\right)\\frac{\\dot{a}\/f}{T} ,\n\\end{align}\nif the electroweak sphaleron is in equilibrium, and\n\n\\begin{align}\n\t\\frac{\\mu_{B-L}^\\mathrm{eq}}{T}\n\t=\n\t\\left(-\\frac{9}{44}n_S^{\\mathrm{SS}} + \\frac{27}{22}n_S^{Y_t} - \\frac{69}{44}n_S^{W}  \\right)\\frac{\\dot{a}\/f}{T},\n\\end{align}\nif the electroweak sphaleron is out of equilibrium, respectively.\nHere we have assumed $c_Y = c_{B_{12}-2B_3} = 0$ for the former case\nand $c_Y = c_{B_{12}-2B_3} = c_{B} = 0$ for the latter case.\n\nThe conditions~\\eqref{eq:b-l_with_ws} and~\\eqref{eq:b-l_without_ws}\ntell us that, in the presence of the Weinberg operator, it is difficult \\textit{not} to produce the $B-L$ asymmetry\nonce the axion has shift-symmetric couplings to the SM particles\nwhich are relevant at that temperature.\nIn order not to produce the $B-L$ asymmetry,\nthe axion has to couple to the operators in a specific form such that\nits source vector is orthogonal to the right hand side of Eq.~\\eqref{eq:b-l_with_ws} or \\eqref{eq:b-l_without_ws}.\nThere is no reason for this to be the case, \nand hence we conclude that the generation of the $B-L$ asymmetry is a rather generic consequence\nof the axion shift-symmetric couplings to the SM particles \nif the homogeneous axion velocity is non-vanishing around $10^{13} \\,\\mathrm{GeV}$.\n\nSo far we have studied the equilibrium solutions.\nIn the next section, \nwe study three concrete scenarios numerically, without assuming equilibrium.\nFirst, we study the scenario that the axion couples to the divergence of the $B-L$ current,\na scenario often considered in the context of  spontaneous baryogenesis.\\footnote{\n\tHere we consider the $B-L$ current, not the lepton current, to match with Ref.~\\cite{Kusenko:2014uta},\n\twhich does not incorporate the electroweak sphaleron in the transport equation.\n\tWe have numerically checked, however, that the final $B-L$ asymmetry is almost the same \n\tfor these two cases (the lepton current case tends to be slightly more suppressed).\n\tThis is because the axion directly couples to the Weinberg operator in both cases\n\twhich gives the dominant source of the $B-L$ asymmetry generation.\n}\nSecond, we study the coupling $a W \\tilde{W}$,\nwhich is also studied in Refs.~\\cite{Kusenko:2014uta,Takahashi:2015waa,Bae:2018mlv}.\nAs one can see from Eq.~\\eqref{eq:b-l_with_ws}, \nit can produce the $B-L$ asymmetry if the electroweak sphaleron is efficient enough.\nIn reality, however, the electroweak sphaleron is only marginally relevant when the Weinberg operator is efficient \n(or $T \\gtrsim 10^{13}\\,\\mathrm{GeV}$).\nThus, the resultant $B-L$ asymmetry is expected to be suppressed compared to the above estimation \nbased on the full equilibration of the electroweak sphaleron.\nWe will study this suppression factor numerically below.\nWe also clarify an issue in Refs.~\\cite{Kusenko:2014uta,Takahashi:2015waa} and its relation to the basis independence.\nFinally, we study the coupling $a G\\tilde{G}$,\nwhich might be the most non-trivial scenario.\nWe can see from Eqs.~\\eqref{eq:b-l_with_ws} and~\\eqref{eq:b-l_without_ws}\nthat a nonzero $B-L$ asymmetry is generated\neven if the axion couples only to the strong sphaleron or the top Yukawa coupling, \nwhich by them self cannot generate baryon nor lepton asymmetry. \nBelow we numerically confirm that it is also the case without assuming equilibrium.\n\n\n\n\\subsection{Numerical results}\n\\label{subsec:b-l_numerics}\nNow we study the $B-L$-genesis at $T \\sim 10^{13}\\,\\mathrm{GeV}$\nby solving the full transport equation~\\eqref{eq:transport_eq_sec5} numerically.\nAlthough we have ignored the bottom and tau Yukawa interactions in the previous Sec.~\\ref{subsec:b-l_equilibrium},\nwe fully take them into account in our numerical code.\nThus the chemical potentials of our interest are $\\mu_i$ with\n\\begin{align}\n\ti = \\tau, ~L_{12}, ~L_3, ~q_{12}, ~t, ~b, ~Q_{12}, ~Q_3, ~H,\n\\end{align}\nand we have solved the transport equation~\\eqref{eq:transport_eq_sec5} for them\nby assuming that there is no asymmetry at the end of the reheating,\n\\begin{align}\n\t\\mu_i(T = T_R) = 0,\n\\end{align}\nwhere $T_R$ is the reheating temperature.\n\nThe axion acts as an external force in Eq.~\\eqref{eq:transport_eq_sec5}.\nWe consider two types of the axion dynamics.\nFor the first case, we simply take\n\\begin{align}\n\t\\frac{\\dot{a}\/f}{T} = \\eta_0,\n\\end{align}\nwith $\\eta_0$ being a constant.\nWe also consider a more realistic case\nthat the axion starts to oscillate harmonically around its potential minimum \nat $T = T_\\mathrm{osc}$, and decays at $T = T_\\mathrm{dec}$.\nAn oscillating scalar field scales as\n\\begin{align}\n\t\\dot{\\phi} = v(t) \\sin\\left(m_\\phi t\\right),\n\t\\quad\n\t\\dot{v} = -\\frac{3H}{2}v.\n\\end{align}\nTherefore, we parametrize the axion dynamics assuming radiation domination as\n\\begin{align}\n\t\\frac{\\dot{a}\/f}{T} = \\eta_0 \\left(\\frac{T}{T_\\mathrm{osc}}\\right)^{1\/2}\n\t\\sin\\left[\\left(\\frac{T_\\mathrm{osc}}{T}\\right)^2 - 1\\right]\n\t\\Theta\\left[\\left(T_\\mathrm{osc}-T\\right)\\left(T-T_\\mathrm{dec}\\right)\\right],\n\\end{align}\nwhere we have taken the axion mass as $m_a = 2 H(T=T_\\mathrm{osc})$ and $\\Theta$ is the Heaviside theta function.\nHere $\\eta_0$ parametrizes the initial velocity of the axion.\nThe final $B-L$ asymmetry is proportional to $\\eta_0$ since the transport equation is linear.\nNote that $T_\\mathrm{osc} \\gtrsim T_W \\gtrsim T_\\mathrm{dec}$ is needed for the $B-L$-genesis\nsince otherwise either the produced asymmetry is washed out after the axion decay (for $T_\\mathrm{dec} \\gg T_W$),\nor no asymmetry is produced (for $T_\\mathrm{osc} \\ll T_W$).\n\nBelow we show our numerical results of the resulting $B-L$ asymmetry\nfor three shift-symmetric couplings: $a \\partial_\\mu J^\\mu_{B-L}$ where $J_{B-L}^\\mu$ is the $B-L$ current,\n$a W\\tilde{W}$ and $a G \\tilde{G}$.\nSince the lepton number violating process is well-decoupled at the end of our numerical computation\n(that is $T = 10^{10}\\,\\mathrm{GeV}$),\nit can be directly translated to the baryon asymmetry in the present universe.\nWe fix $T_R$ and $\\eta_0$ as\n\\begin{align}\n\tT_R = 10^{15}\\,\\mathrm{GeV}\\,,\n\t\\quad\n\t\\eta_0 = 10^{-9}\\,,\n\t\\label{eq:initial_cond}\n\\end{align}\nand the SM parameters as\n\\begin{align}\n\tg_2 = 0.55\\,,\n\t\\quad\n\tg_3 = 0.60\\,,\n\t\\quad\n\ty_\\tau = 1.0\\times 10^{-2}\\,\n\t\\quad\n\ty_t = 0.49\\,,\n\t\\quad\n\ty_b = 6.8\\times 10^{-3}\\,,\n\t\\quad\n\tm_\\nu = 0.05\\,\\mathrm{eV}\\,,\n\\end{align}\nin our numerical results below.\nFor the oscillating axion case, we fix the model parameters as\n\\begin{align}\n\tT_\\mathrm{osc} = 10^{13}\\,\\mathrm{GeV},\n\t\\quad\n\tT_\\mathrm{dec} = 10^{11}\\,\\mathrm{GeV},\n\\end{align}\nin this subsection. \nThe dependence of the final $B-L$ asymmetry on these parameters is studied in the next subsection.\n\n\\paragraph{$\\bm{B-L}$ current.}\n\nFirst, we consider the shift-symmetric coupling to the $B-L$ current: $(a\/f) \\partial_\\mu J^\\mu_{B-L}$.\nThis type of coupling is probably most common in the context of the spontaneous baryogenesis,\nsince it can be understood as a pure shift of the chemical potential of the lepton number charge \nas we saw in Sec.~\\ref{sec:basis-indep}.\nThe purpose to study this coupling here is two-fold. \nFirst, we demonstrate how our formalism applies to this most common example.\nSecond, we highlight a difference between this coupling and the coupling to the electroweak sphaleron $a W\\tilde{W}$,\nwhich we study next.\n\nSince this coupling shifts the chemical potential of the quarks and leptons, \nthe axion source vector is given by\n\\begin{align}\n\tn_S^\\alpha \n\t= \\sum_i n_i^{Q_{B-L}} n_i^\\alpha = -n_{\\tau}^{\\alpha} - n_{L_{12}}^{\\alpha} - n_{L_3}^{\\alpha}\n\t+\\frac{1}{3}\\left(n_{q_{12}}^{\\alpha} + n_{t}^{\\alpha} + n_{b}^{\\alpha} + n_{Q_{12}}^{\\alpha} + n_{Q_3}^{\\alpha}\\right).\n\\end{align}\nFrom Eq.~\\eqref{eq:b-l_int_vectors}, it is given as\n\\begin{align}\n\t( n_S^{\\alpha} ) = (0,0,0,0,0,-2,-2),\n\\end{align}\nwhere the ordering of the interactions is $\\alpha = \\mathrm{WS}, \\mathrm{SS}, Y_\\tau, Y_t, Y_b, W_{12}, W_{3}$.\nNote that it has non-zero entries only for the Weinberg operators.\nThis is due to the fact that they are the interactions that violate the $B-L$ symmetry, \nand hence enter into the $B-L$ current equation.\n\\begin{figure}[t]\n\t\\centering\n \t\\includegraphics[width=0.49\\linewidth]{.\/fig\/aJBL.pdf} \\hfill\n \t\\includegraphics[width=0.49\\linewidth]{.\/fig\/aWW.pdf}\n\t\\caption{ \n\tThe time evolution of the $B-L$ asymmetry  produced from the shift-symmetric coupling $(a\/f) \\partial_\\mu J^\\mu_{B-L}$ (left panel) and  $(a\/f) W \\tilde{W}$ (right panel) for constant $\\dot a\/(f T)$ (solid) and oscillating $\\dot a\/(f T)$ (dashed).\n\t}\n\t\\label{fig:b-l_aJBL}\n\\end{figure}\nWith this information, we can solve Eq.~\\eqref{eq:transport_eq_sec5} numerically.\nThe results are shown in the left panel of Fig.~\\ref{fig:b-l_aJBL}.\nWe can see from Eq.~\\eqref{eq:B-LtoB} that for parameters in the ball-park of Eq.~\\eqref{eq:initial_cond},  a sufficient amount of the $B-L$ asymmetry is produced from this coupling.\n\n\\paragraph{Electroweak sphaleron.}\n\nNext, we consider the shift-symmetric coupling to the electroweak sphaleron: $(a\/f) W\\tilde{W}$.\nThe axion source vector in this case is given by\n\\begin{align}\n\tn_S^{\\alpha} = (1,0,0,0,0,0,0),\n\t\\label{eq:source_vector_WS}\n\\end{align}\nwhere the ordering of the interactions is $\\alpha = \\mathrm{WS}, \\mathrm{SS}, Y_\\tau, Y_t, Y_b, W_{12}, W_{3}$.\n\n\n\nWe show our numerical result in the right panel of Fig.~\\ref{fig:b-l_aJBL}.\nIt can be seen that, although this coupling can produce the $B-L$ asymmetry, \nthe amount of the $B-L$ asymmetry is quite different from the coupling to the $B-L$ current.\nIn particular, the final $B-L$ asymmetry is suppressed\nby $\\mathcal{O}(10)$\n(notice the different $y$-axis normalizations n the two panels of Fig.~\\ref{fig:b-l_aJBL})\nfor both the constant case and the oscillation case \nwith $T_\\mathrm{osc} = 10^{13}\\,\\mathrm{GeV}$ and $T_\\mathrm{dec} = 10^{11}\\,\\mathrm{GeV}$.\nThis suppression can be understood as follows.\nThe Weinberg operator is only the source of the $B-L$ violation in our scenario,\nand hence it has to be effective to produce the $B-L$ asymmetry.\nAt the same time, the axion source term which in the current case is the electroweak sphaleron\nhas to be effective to produce the $B-L$ asymmetry.\nAs we saw in Secs.~\\ref{sec:SM-interactions} and~\\ref{subsec:b-l_transport_eq}, however,\nthe latter is at most only marginally relevant when the former is effective and vice versa, \nresulting in the suppression of the resulting $B-L$ asymmetry.\n\nHere we comment on Ref.~\\cite{Kusenko:2014uta}.\nThey started from the same coupling $(a\/f) W\\tilde{W}$ as we do.\nThey performed a chiral rotation of the leptons to remove this anomalous coupling,\nand wrote down the Boltzmann equation\nby assuming that the chemical potential of the lepton number charge \nis biased by the axion in the rotated basis.\nThis treatment is, however, not entirely correct in the presence of the Weinberg operator,\nsince the operators $W\\tilde{W}$ and the divergence of the lepton current are equivalent only when\nthere is no additional source of the lepton number violation.\\footnote{This was also noted in Ref.~\\cite{Shi:2015zwa}, based on explicitly examining the Boltzmann equations in these two particular field bases. In our formalism, this invariance is automatic for any basis transformations by definition as we have shown.}\nIn other words, once one performs a chiral rotation to remove the anomalous coupling,\nthe axion couples both to the lepton current and the Weinberg operator.\nIts couplings are such that the final expression of the source vector is still Eq.~\\eqref{eq:source_vector_WS}, \\textit{i.e.}, the same as the original coupling $(a\/f) W\\tilde{W}$,\nwhich follows from our general proof of the basis independence in Sec.~\\ref{sec:basis-indep}.\nThus, the coupling $(a\/f) W\\tilde{W}$ should not be interpreted as a pure shift of the chemical potential of the lepton number charge.\nThis subtlety is of phenomenological importance since the final $B-L$ asymmetry\ncan be quite different in the case of $(a\/f)W\\tilde{W}$ \ncompared to, \\textit{e.g.}, $(a\/f)\\partial_\\mu J^\\mu_{B-L}$,\nparticularly for the case in which the weak sphaleron is only marginally relevant at the decoupling of the $B-L$ violating process\nas we saw above. \n\n\nIn a similar spirit, it was noted in Ref.~\\cite{Takahashi:2015waa} that there can be \na strong suppression in baryon asymmetry for the case in which the weak sphaleron is not efficient at the decoupling of the $B-L$ violating process.\nBy using the same chiral rotation as Ref.~\\cite{Kusenko:2014uta} and discussing spontaneous baryogenesis, it was argued that this chiral rotation should not be performed if the weak sphaleron is not efficient.\nHere we emphasize that one can however always \nperform the chiral rotation without specifying a state with which one takes an expectation value.\nAs the transport equation is basis independent, a non-vanishing velocity of the axion just biases the weak sphaleron after we perform the chiral rotation completely.\nTo understand whether this bias on the weak sphaleron in the $B+L$ current is transferred to the $B-L$ asymmetry, we need to know how all the relevant SM interactions are involved in attaining equilibrium with $\\dot a \\neq 0$,\nand hence the chiral rotation, which leaves the transport equation unchanged, does not help us to understand this property.\n\n\n\n\n\\paragraph{Strong sphaleron.}\n\n\n\nFinally we consider the axion coupling to the strong sphaleron: $(a\/f) G \\tilde{G}$.\nThe axion source vector in this case is given by\n\\begin{align}\n\tn_S^{\\alpha} = (0,1,0,0,0,0,0),\n\\end{align}\nwhere the ordering of the interactions is $\\alpha = \\mathrm{WS}, \\mathrm{SS}, Y_\\tau, Y_t, Y_b, W_{12}, W_{3}$.\n\n\n\\begin{figure}[t]\n\t\\centering\n \t\\includegraphics[width=0.5\\linewidth]{.\/fig\/aGG.pdf}\n\t\\caption{\n\tThe time evolution of the $B-L$ asymmetry produced from the shift-symmetric coupling $(a\/f) G \\tilde{G}$\n\tfor constant $\\dot a\/(f T)$ (solid) and oscillating $\\dot a\/(f T)$ (dashed).\n\t}\n\t\\label{fig:b-l_aGG}\n\\end{figure}\n\nIn Fig.~\\ref{fig:b-l_aGG}, we show our numerical result.\nA sizable amount of the $B-L$ asymmetry can be produced from the coupling to the strong sphaleron.\nAt first sight, it might be surprising since the strong sphaleron has nothing to do with the $B-L$ nor $B+L$ symmetry.\nIt is nevertheless easily understood as follows.\nFirst of all, we have to use the Weinberg operator to create the $B-L$ asymmetry since it is the only source of $B-L$ violation.\nSince the Higgs and the leptons are involved in the Weinberg operator, \nthe chemical potentials of the Higgs and\/or \nthe leptons have to be biased to create the $B-L$ asymmetry. \nIn our case, the axion coupling $(a\/f) G\\tilde{G}$ \nfirst introduces a bias to the chemical potentials of the quarks.\nThis bias in the quark sector can be transferred into the Higgs sector by, \\textit{e.g.}, the top and bottom Yukawa couplings, \nand the lepton sector by, \\textit{e.g.} the electroweak sphaleron.\nOnce the Higgs and\/or the leptons have a bias in their chemical potentials, \nthe $B-L$ asymmetry is created through the lepton number violating process.\nIn short, a bias in a certain sector is eventually transferred to all the other sectors\nonce we have a sufficient variety of the interactions.\nIt is essentially what we have seen in Sec.~\\ref{subsec:b-l_equilibrium}.\n\n\\subsection{Dependence on axion model parameters}\n\\label{subsec:axion_model}\n\n\\begin{figure}[t]\n\t\\begin{minipage}{0.5\\linewidth}\n\t\\centering\n \t\\includegraphics[width=\\linewidth]{.\/fig\/TdecVsMuBL_Tosc1e13.pdf}\n\t\\end{minipage}\n\t\\begin{minipage}{0.5\\linewidth}\n\t\\centering\n \t\\includegraphics[width=\\linewidth]{.\/fig\/TdecVsMuBL_Tosc1e14.pdf}\n\t\\end{minipage}\n\t\\caption{\n\tThe final $B-L$ asymmetry produced for different values of the axion decay temperature $T_\\mathrm{dec}$.\n\tThe axion oscillation temperature is taken as $T_\\mathrm{osc} = 10^{13}\\,\\mathrm{GeV}$\n\tin the left panel, and $T_\\mathrm{osc} = 10^{14}\\,\\mathrm{GeV}$ in the right panel.\n\t}\n\t\\label{fig:b-l_TdecVsMuBL}\n\\end{figure}\n\n\nIn the previous Sec.~\\ref{subsec:b-l_numerics}, we have fixed the axion model parameters as\n$T_\\mathrm{osc} = 10^{13}\\,\\mathrm{GeV}$ and $T_\\mathrm{dec} = 10^{11}\\,\\mathrm{GeV}$.\nIn this subsection, we briefly discuss the dependence of the final $B-L$ asymmetry on these parameters.\n\n\\paragraph{Dependence on axion decay temperature.}\n\nFirst we study the dependence of the final $B-L$ asymmetry on the axion decay temperature $T_\\mathrm{dec}$.\nIn Fig.~\\ref{fig:b-l_TdecVsMuBL}, we plot the final $B-L$ asymmetry for different values of $T_\\mathrm{dec}$.\nThe axion oscillation temperature is $T_\\mathrm{osc} = 10^{13}\\,\\mathrm{GeV}$ in the left panel,\nand $T_\\mathrm{osc} = 10^{14}\\,\\mathrm{GeV}$ in the right panel, respectively.\n\nAs is clear from the figure, the final $B-L$ asymmetry does not depend on $T_\\mathrm{dec}$\nfor $T_\\mathrm{dec} \\lesssim 10^{13}\\,\\mathrm{GeV}$.\nThis is reasonable since the lepton number violating process decouples around this temperature,\nand the $B-L$ asymmetry is conserved irrespective of the axion dynamics afterwards.\nFor $T_\\mathrm{dec} \\gtrsim 10^{13}\\,\\mathrm{GeV}$, the final $B-L$ asymmetry is an oscillating function\nof $T_\\mathrm{dec}$, following the axion oscillation.\nIn particular, not only the first oscillation but also the later oscillations affect the final $B-L$ asymmetry,\nespecially for the coupling  $a \\partial_\\mu J^{\\mu}_{B-L}$ with $T_\\mathrm{osc} = 10^{14}\\,\\mathrm{GeV}$.\nThis is because, in this case, \nthe axion dynamics is directly coupled to the lepton number violating process that is quite effective at high temperatures\nand hence the chemical potentials can track (part of) the axion oscillations.\nNevertheless, the final $B-L$ asymmetry on average is within roughly an order of magnitude from the asymptotic value \nfor $T_\\mathrm{dec} \\ll 10^{13}\\,\\mathrm{GeV}$.\n\n\\paragraph{Dependence on axion oscillation temperature.}\n\n\\begin{figure}[t]\n\t\\centering\n \t\\includegraphics[width=0.5\\linewidth]{.\/fig\/ToscVsMuBL_Tdec1e11.pdf}\n\t\\caption{\n\tThe final $B-L$ asymmetry produced for different values of the axion oscillation temperature $T_\\mathrm{osc}$.\n\tThe axion decay temperature is taken as $T_\\mathrm{dec} = 10^{11}\\,\\mathrm{GeV}$.\n\t}\n\t\\label{fig:b-l_ToscVsMuBL}\n\\end{figure}\n\nNext we study the dependence of the final $B-L$ asymmetry on the axion oscillation temperature $T_\\mathrm{osc}$.\nIn Fig.~\\ref{fig:b-l_ToscVsMuBL}, we plot the final $B-L$ asymmetry for different values of $T_\\mathrm{osc}$.\nWe focus on the asymptotic value of the final $B-L$ asymmetry for $T_\\mathrm{dec} \\ll 10^{13}\\,\\mathrm{GeV}$ here,\nand hence the axion decay temperature is taken as $T_\\mathrm{dec} = 10^{11}\\,\\mathrm{GeV}$.\n\nWe can roughly divide the parameter space into two regimes: $T_\\mathrm{osc} \\lesssim 10^{13}\\,\\mathrm{GeV}$\nand $T_\\mathrm{osc} \\gtrsim 10^{13}\\,\\mathrm{GeV}$.\nIn the former regime, $T_\\mathrm{osc} \\lesssim 10^{13}\\,\\mathrm{GeV}$, \nthe final $B-L$ asymmetry is an increasing function of $T_\\mathrm{osc}$.\nThis is understood from the fact that the lepton number violating process decouples at $T \\sim T_W \\sim 10^{13}\\,\\mathrm{GeV}$,\nand hence its effect is suppressed by $\\gamma_W\/H$ afterwards.\nIndeed, the $B-L$ asymmetry depends roughly linearly on $T_\\mathrm{osc}$ in this regime,\nwhich is consistent with the above reasoning since $\\gamma_W\/H \\propto T$.\nIn the latter regime, $T_\\mathrm{osc} \\gtrsim 10^{13}\\,\\mathrm{GeV}$, \nthe final $B-L$ asymmetry is a decreasing function of $T_\\mathrm{osc}$.\nThis property is easy to understand for the couplings $a W\\tilde{W}$ and $a G\\tilde{G}$\nsince these interactions are not in equilibrium,\nand hence the produced $B-L$ asymmetry is suppressed by $\\gamma_{\\mathrm{WS}}\/H$ and $\\gamma_\\mathrm{SS}\/H$\nfor the first oscillation in this regime.\nA larger value of $T_\\mathrm{osc}$ (for fixed $\\eta_0$) thus translates to a smaller value of the axion velocity when the axion couplings become effective.\nThe situation is more tricky for the coupling $a \\partial_\\mu J^\\mu_{B-L}$.\nIn this case, the axion source term is effective even for the first oscillation \nsince the axion directly couples to the lepton number violating process that is more effective for higher temperature.\nStill, the final $B-L$ asymmetry is suppressed for a larger value of $T_\\mathrm{osc}$. \nThis is because the interaction is strong enough so that $\\mu_{B-L}$ follows\n(part of) the axion dynamics,\nas one can also anticipate from the right panel of Fig.~\\ref{fig:b-l_TdecVsMuBL}.\nSince the axion oscillates a lot, the produced $B-L$ asymmetry is cancelled in the course of the oscillation,\nresulting in the suppression shown in Fig.~\\ref{fig:b-l_ToscVsMuBL}.\n\n\n\\section{Conclusion}\n\\label{sec:conc}\nAxion-like particles not only solves the strong $CP$ problem but also has an ability to account for several cosmological issues\nsuch as inflation, the dark matter, and the baryon asymmetry of the universe.\nIn particular, the axion(-like particle) is likely to be in a motion in the early universe,\nproviding a source of the $CPT$ symmetry violation.\nIf the axion is coupled to the SM,\nthis $CPT$ violation is transferred to the SM sector and,\nwith the help of a baryon number violating process, \ncan be the origin of the baryon asymmetry of the present universe,\nreferred to as spontaneous baryogenesis~\\cite{Cohen:1987vi,Cohen:1988kt}.\nIn this paper, we have developed a formalism that systematically accounts for spontaneous baryogenesis \nby an axion with general (classically) shift-symmetric couplings to the SM sector.\nIt consists of charge vectors $n_i^\\alpha$ that characterize charges of particles\nthat are involved in a given operator $O_\\alpha$,\nand a source vector $n_S^\\alpha$ that encodes couplings of the axion\nto the operators $O_\\alpha$.\nAssuming thermal equilibrium, the final baryon asymmetry is obtained \nby solving simple linear algebraic equations [see Eq.~\\eqref{eq:equilibrium_solution}].\nOur formalism is also ready for numerical implementation \nso that the final baryon asymmetry is easily computed even without assuming equilibrium [see Eq.~\\eqref{eq:fulltransporteq}].\nEquipped with this formalism, we have revealed several aspects of spontaneous baryogenesis \non both the theoretical and the phenomenological side.\n\n\n\nOn the theoretical side, we have shown that the transport equation and hence the final baryon asymmetry are invariant \nunder a field rotation involving the axion (see Sec~\\ref{sec:basis-indep}).\nThe explicit form of the axion coupling depends on the choice of the field basis.\nFor instance, an anomalous coupling to the SU(2) Chern-Simons term, $a W \\tilde{W}$, can be eliminated \nby a chiral rotation of the leptons.\nThe axion then couples to the divergence of the lepton current, $a \\partial_\\mu J^\\mu_{L}$, \nand (if present) to other lepton number violating operators such as the dimension-five Weinberg operator $\\left( L \\cdot H \\right)^{2}$.\nSince the chiral rotation is merely a field redefinition, physical quantities should not depend on the choice of this field basis,\nwhich is automatically satisfied in our formalism.\nHere we emphasize that the basis independence is not just an academic exercise.\nWithout accounting for this properly,\none may be lead to a wrong estimation of the final baryon asymmetry.\nFor instance, one may be tempted to regard the coupling $a W\\tilde{W}$\njust as a chemical potential of lepton number by a chiral rotation.\nThis is, however, not appropriate in the presence of the Weinberg operator,\nsince the axion also couples to the Weinberg operator after the chiral rotation.\nTaking into account all the axion couplings properly which appear after this chiral rotation, one ends up with exactly the same transport equation as originally obtained with just the $a W \\tilde W$ coupling.\nThis demonstrates that the field redefinition never helps to understand the dynamical of spontaneous baryogenesis because it does not change the governing equation, namely transport equation.\nAs a result, we find the final baryon asymmetry originating from the coupling $a W\\tilde{W}$ (in the presence of the Weinberg operator) to be an order of magnitude smaller than the baryon asymmetry obtained for a coupling to the lepton current \nif the weak sphaleron is only marginally efficient at the decoupling of the lepton number violating process (see Sec.~\\ref{subsec:b-l_numerics}). \nSince our formalism is basis-independent, it automatically takes into account this sort of subtleties.\n\nWe have also discussed the backreaction of the SM processes to the dynamics of the axion.\nThe axion coupling to the SM operator may act as a friction term in the axion equation of motion,\nslowing and eventually stopping the motion of the axion.\nIn Sec.~\\ref{sec:asymmetry_generation}, \nwe have derived a condition \nunder which the axion friction term identically vanishes.\nThe condition essentially states that the friction term vanishes if one can define a new conserved charge from \na combination of the axion shift symmetry and the fermion rotation [see Eq.~\\eqref{eq:zero-friction} for its precise definition].\nThe parameter space of the axion to obtain the correct amount of the baryon asymmetry is less\nrestricted if this condition is met, \nalthough a non-zero friction term does not necessarily spoil the spontaneous baryogenesis.\n\n\n\nOn the phenomenological side,\nwe have derived a condition for the axion couplings\nto produce the baryon asymmetry [see Sec.~\\ref{sec:asymmetry_generation},\nin particular Eqs.~\\eqref{eq:cond_asym} and~\\eqref{eq:cond_asym_lind}],\nwhich is invariant under a field rotation involving the axion.\nIt turns out that, once the axion has shift-symmetric couplings to the SM sector,\nit is rather difficult \\textit{not} to produce the baryon asymmetry,\nas long as we have a baryon number violating process.\nIn particular, the axion does not have to couple directly to the baryon number violating operator.\nThe physical intuition behind this is as follows.\nThe axion coupling to one specific operator generates a bias in the chemical potential of particles\nthat are involved in that operator.\nThis bias is in general transferred to other particles via other interactions \nand eventually to the baryon number violating process,\nresulting in the production of the baryon asymmetry.\nAs concrete examples, we have considered baryogenesis at $T\\gtrsim 10^{2}\\,\\mathrm{GeV}$ in Sec.~\\ref{sec:b+l},\nand $T\\gtrsim 10^{13}\\,\\mathrm{GeV}$ in Sec.~\\ref{sec:b-l}, respectively,\nwhere the baryon number violation is sourced by the electroweak sphaleron in the former case,\nand the electroweak sphaleron together with the Weinberg operator in the latter case.\nWe have derived a condition of the baryon asymmetry production for these specific cases,\nand confirmed that the baryon asymmetry is indeed a generic outcome of the axion shift-symmetric couplings.\nFor instance, we have shown for both cases that an axion coupling to the SU(3) Chern-Simons term, $a G \\tilde{G}$,\nultimately leads to the generation of a baryon asymmetry,\nalthough this operator itself has nothing to do with the $\\mathrm{U}(1)_{B-L}$- nor $\\mathrm{U}(1)_{B+L}$-violation.\nOur findings open up a variety of new possibilities to produce the baryon asymmetry of the universe from axion-like particles.\n\n\nAlong the way, we have summarized the basic properties\nof the SM transport equation in Sec.~\\ref{sec:SM-transport}\nas they are required in Secs.~\\ref{sec:b+l} and~\\ref{sec:b-l}.\nIn particular, we have estimated the equilibration temperature of the SM processes,\n\\textit{i.e.}, the strong\/electroweak sphaleron and Yukawa interactions,\nbelow which they are effective\n(see Tab.~\\ref{tab:equilibration_temperature} and Fig.~\\ref{fig:equilibration_temp}).\nOur estimation improves Ref.~\\cite{Garbrecht:2014kda} by including \nthe RG running of the Yukawa couplings in addition to the gauge couplings.\nIt is important especially for the quark Yukawa couplings as the strong interaction drives them to smaller values at high energy.\nThis section may be useful not only for the spontaneous baryogenesis but also for other baryogenesis scenarios \nsuch as the flavored leptogenesis~\\cite{Abada:2006fw,Nardi:2006fx,Abada:2006ea,Dev:2017trv}.\n\n\n\n\\section*{Acknowledgments}\nIt is a pleasure to thank Kai Schmitz and Fuminobu Takahashi for helpful discussions and comments on the manuscript.\nThis work was partially funded by the Deutsche Forschungsgemeinschaft under Germany's Excellence Strategy - EXC 2121 ``Quantum Universe'' - 390833306.\nThis work was also supported by the ERC Starting Grant 'NewAve' (638528).\nM.~Y. was supported by Leading Initiative for Excellent Young Researchers, MEXT, Japan. \nM.~Y. thanks the hospitality during his stay at DESY. \n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{0pt}{12pt plus 4pt minus 4pt}{4pt plus 20pt minus 2pt}\n\\usepackage{xcolor}\n\\usepackage{braket}\n\\usepackage{amsmath}\n\\usepackage{comment}\n\\usepackage{physics}\n\\usepackage{afterpage}\n\\usepackage{placeins}\n\\usepackage{graphicx}\n\\usepackage{float}\n\\usepackage{booktabs}\n\\usepackage{multirow}\n\\usepackage{array}\n\\usepackage{setspace}\n\\graphicspath{{Figs\/}}\n\\usepackage{siunitx}\n\\usepackage{hhline}\n\\usepackage{xfrac}\n\\usepackage{float,graphicx}\n\\usepackage{mathtools}\n\\usepackage{listings}\n\\usepackage{amssymb}\n\\usepackage{titlesec}\n\\usepackage{amsfonts}\n\\usepackage[version=4]{mhchem}\n\\renewcommand\\thesubsection{\\Alph{subsection}}\n\\usepackage{epstopdf}\n\\catcode`@11\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{A\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{B\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{C\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{D\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{E\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{F\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{G\\arabic{equation}}}\n\\def\\@addtoreset{equation}{section{\\@addtoreset{equation}{section}\n\\defH\\arabic{equation}}{H\\arabic{equation}}}\n\\catcode`@11\n\n\n\n\\begin{document}\n\n\n\\title{Colossal anomalous Hall and Nernst effect from the breaking of nodal-line symmetry in Cu$_2$CoSn Weyl semimetal: A first-principles study}\n\n\\author{Gaurav K. Shukla}\n\\affiliation{School of Materials Science and Technology, Indian Institute of Technology (Banaras Hindu University), Varanasi 221005, India}\n\\author{Ujjawal Modanwal}\n\\author{Sanjay Singh*}\n\\affiliation{School of Materials Science and Technology, Indian Institute of Technology (Banaras Hindu University), Varanasi 221005, India}\n\n\n\n\\begin{abstract}\n  The presence of topological band crossings near the Fermi energy is essential for the realization of large anomalous transport properties in the materials. The topological semimetals (TSMs) host such properties owing to their unique topological band structure such as Weyl points or nodal lines (NLs), that are protected by certain symmetries of the crystal. When the NLs break out in the system due to perturbation in Hamiltonian, a large Berry curvature arises in the surrounding area of the gapped NL. In the present work, we studied anomalous transport properties of Cu$_2$CoSn compound, which has cubic Heusler crystal structure (space group: Fm$\\bar{3}$m). The  Cu$_2$CoSn full Heusler compound possesses three NLs in the absence of spin-orbit coupling close to the Fermi level. These NLs gap out with the consideration of the SOC and a large Berry curvature observed along the gapped NLs. The integral of Berry curvature gives the intrinsic anomalous Hall conductivity (AHC) about 1003 \\textit{S\/cm} and the anomalous Nernst conductivity (ANC) about 3.98 \\textit{A\/m-K} at the Fermi level. These values of AHC and ANC are comparable to the largest reported values for the Co$_2$MnGa Heusler compound. Therefore, Cu$_2$CoSn becomes a newborn member of the family of full Heusler compounds, which possesses giant  AHC and ANC that can be useful for the spintronics application.\n\\end{abstract}\n\n\\maketitle\n\\section{INTRODUCTION}\nThe discovery of the Dirac fermions in the topological insulators became a hotspot of research of the past decade in condensed matter physics \\cite{wang2017quantum,hasan2021weyl,RevModPhys.81.109,RevModPhys.82.3045}. In recent years, the discovery of the Weyl semimetals  (WSMs) and the related high-fold fermions materials have simulated immense research attention in the topological phase of materials \\cite{wang2017quantum,hasan2021weyl}. The WSM is a subset of the Dirac semimetal, where a pair of Weyl points forms due to the breaking of inversion and\/or time-reversal symmetry (TRS), which lifts the four-fold degeneracy of the Dirac point \\cite{vafek2014dirac,weyl1968gesammelte,burkov2016topological,hasan2017discovery}. WSMs show a variety of interesting phenomena such as chiral anomaly, chiral magnetotransport and anomalous transport response owing to their unique band topology \\cite{RevModPhys.90.015001,yan2017topological}. The WSMs due to the breaking of the inversion symmetry (IS) have been discovered widely \\cite{xu2015discovery,yang2015weyl,lv2015observation,PhysRevLett.117.146403,xu2015experimental}, while the WSMs result from the breaking of TRS symmetry called magnetic WSMs discovered recently \\cite{CTS,prb1}. The advantage of the magnetic WSM over the conventional WSM is that the band topology of magnetic WSMs can be easily tuned via manipulating the magnetic moment direction \\cite{CTS,Weyl}. Besides the zero dimension crossing of bands in the WSMs, the higher dimension crossing is also possible, where the bands cross each other along a closed curve called nodal lines (NLs) \\cite{burkov2011topological,PhysRevB.90.115111}. These NLs generally protected by the certain symmetry of the crystal. E.g., the TRS and IS can protect the NLs in the absence of spin-orbit coupling (SOC) \\cite{PhysRevB.92.081201,kim}. The mirror symmetries with opposite eigenvalues can also protect the NLs both in the presence and absence of SOC \\cite{bian2016topological,schoop2016dirac, PhysRevLett.117.016602}. \n\n\nAnomalous Hall effect (AHE) is a fundamental transport property, which describes the large transverse voltage drop in a current carrying ferromagnetic material even in the zero external magnetic field \\cite{nagaosa2006anomalous,nagaosa2010anomalous,tian2009proper,yue2017towards,manna2018heusler,sakuraba2020giant}. AHE got an immense interest in the condensed matter physics for its possible application in spintronic, Hall sensors and as a fundamental tool to detect the magnetization in a small volume, where the magnetometry measurements are not compatible \\cite{sensor,ning2020ultra,ohno2000electric}. The AHE arises due to the extrinsic mechanism related to the scattering events as well as the intrinsic mechanism related to the Berry curvature of Bloch bands \\cite{smit1955spontaneous,smit1958spontaneous,karplus1954hall, karplus1954hall,sundaram1999wave,xiao2010berry}. The Berry curvature is equivalent to the intrinsic pseudo-magnetic field in the reciprocal space which leads to the transverse deflection of spin-polarized moving charge carriers and develops the intrinsic AHE \\cite{xiao2010berry}. \n\nAnomalous Nernst effect (ANE); another interesting phenomenon that is a counterpart of AHE describes the generation of transverse voltage drop in the material with broken TRS, when subjected to a longitudinal temperature gradient \\cite{ikhlas2017large,guin2019anomalous,asaba2021colossal}. The ANE is closely analogous to the AHE \\textit{i.e.}  ANE also arises from intrinsic and extrinsic contributions \\cite{guin2019anomalous, mizuguchi2019energy}. Several experimental, as well as theoretical studies on ANE, have been reported on magnetic materials \\cite{guin2019anomalous,chen2022large,sakai2020iron,PhysRevMaterials.4.024202,guo2017large}.\nWSMs are prominent materials for the large AHE and ANE as the Weyl points in the momentum space act as the magnetic monopole and are the source and drain of the Berry curvature \\cite{manna2018heusler,guin2019anomalous}. \nBesides the Weyl points, if the  NLs present in the \\textit{k}-space gap out due to SOC, the Berry curvature introduces along the gapped NLs and creates the transverse voltage in the system \\cite{guin2019anomalous,manna2018heusler}. If the Weyl points or gapped NLs are near the Fermi level their signatures can be observed in the anomalous transport properties of materials  \\cite{prb1,liu2018giant}. For \\textit{e.g.}, the first discovered magnetic WSMs Co$_3$Sn$_2$S$_2$ shows the large anomalous Hall conductivity (AHC) due to the gapped NLs and the Weyl points present in the system \\cite{liu2018giant}. The ANE in the Co$_3$Sn$_2$S$_2$, Mn$_3$X  (X = Ge, Sn) and  Fe$_3$X  (X = Ga, Al) are interesting due to their characteristic low-energy electronics structure including Weyl points near to the Fermi energy \\cite{chen2022large,sakai2020iron,PhysRevMaterials.4.024202,guo2017large}. Among the different classes of materials, Heusler alloys are promising for their wide range of properties \\cite{graf2011simple,felser2015basics,felser2015heusler}. Recently, Heusler compound attracted much interest as quantum material because some of them are discovered as magnetic WSM due to the co-existence of the magnetism and the topology \\cite{prb1,guin2019anomalous,CTS, chang2016room,Weyl}. Heusler compounds also promise the large AHE and ANE due to large  Berry curvature associated with their topological band structure \\cite{guin2019anomalous,li2020giant}. The magnetic Heusler compounds also offer the possibility to tune the band topology via manipulating the magnetic moment direction and hence the AHE and ANE can be easily tuned by changing the magnetic moment \\cite{CTS}. The largest AHC ($\\sim$ 1260 \\textit{S\/cm} \\cite{guin2019anomalous} and 2000 \\textit{S\/cm} at 2T \\cite{sakai2018giant}) and anomalous Nernst conductivity (ANC) ($\\sim$ 4 \\textit{A\/m-k} \\cite{sakai2018giant}) so far, reported in the Co$_2$MnGa magnetic Heusler compound.\n\nCu$_2$CoSn Heusler compound has been identified as the topological semimetal in the topological material database and expected to exhibit large AHC \\cite{bradlyn2017topological,vergniory2019complete,ji2022spin}.  \nIn the present manuscript, we theoretically investigated the structural, magnetic, and anomalous transport properties \\textit{i.e.} AHE and ANE in the Cu$_2$CoSn Heusler compound. Cu$_2$CoSn is the ferromagnetic material, which exhibits three NLs in the absence of SOC due to the presence of the three relevant mirror reflection symmetries of the lattice. We found that by switching on the SOC the NLs gap out according to the magnetization direction and a strong Berry curvature originates along the gapped NL, which leads to the large Berry curvature in the system. The Berry curvature calculation gives the  AHC and ANC around $\\sim$1000 \\textit{S\/cm} and $\\sim$ 3.98  \\textit{A\/m-K} at the Fermi level, which is comparable to the largest reported AHC and ANC in the well known Co$_2$MnGa Heusler compound \\cite{guin2019anomalous}.\n\\section{COMPUTATIONAL DETAIL}\n The \\textit{ab initio} calculation for the electronic band structure of  Cu$_2$CoSn was performed by employing the density functional theory using the Quantum Espresso code \\cite{giannozzi2009quantum}. The Plane wave basis set and the Optimized norm-conserving Vanderbilt pseudo-potentials \\cite{PhysRevB.88.085117} were used for the calculation. The plane wave cutoff energy was chosen 80 Ry and the exchange-correlation functional was chosen in the generalized gradient approximation \\cite{perdew1996generalized}. The integration in \\textit{k}-space was carried out with 8$\\times$8$\\times$8 grid and the convergence criterion of total energy was chosen 10$^{-8}$ eV. The relaxed lattice parameter was used in the calculation. We extracted the Wannier functions from the DFT bands by Wannier90 code \\cite{marzari1997maximally,souza2001maximally}. The maximally localized Wannier functions (MLWFs) for s orbitals on Sn and d orbitals on Cu and Co have been used as the basis of the tight-binding Hamiltonian.  Wanniertool software was used to investigate the topological properties such as NLs and Berry curvature in the two dimensions (2D) reciprocal plane. The Kubo formula implemented in Wannier90 code was used for the calculation of the Berry curvature, which can be given as \\cite{Gradhand_2012} \n \\begin{eqnarray}\n\\Omega^n_{ij} = i \\sum_{n \\neq n'} \\frac{{\\langle n|\\frac{\\partial H}{\\partial R^i}|n'\\rangle} {\\langle n'|\\frac{\\partial H}{\\partial R^j}|n \\rangle}-(i\\xleftrightarrow{}j)}{(E_n - E_n')^2}\n\\end{eqnarray}\n Here E$_n$ and $\\ket{n}$ are the eigenvalue and eigenstate of the Hamiltonian H. \n \n The AHC can be calculated using equation;\n\\begin{equation}\n\\sigma_{ij} = -{\\frac{e^2}{\\hbar} \\sum_{n}\\int\\frac{d^{3}\\textit{k}}{(2\\pi)^3}\\Omega^n_{ij}f_n}.  \n\\end{equation}\nHere, f$_n$ represents the Fermi distribution function.\n\n\nThe expression for ANC can be given as \\cite{guin2019anomalous};\n\\begin{multline}\n\\alpha^A_{ij} (T, \\mu) = -\\frac{1}{T}\\frac{e}{\\hbar} \\sum_{n}\\int\\frac{d^{3}\\textit{k}}{(2\\pi)^3}\\Omega^n_{ij}[(E_n-{\\mu})f_n +\\\\\n K_BT\\, ln(1+exp(-\\frac{E_n-{\\mu}}{K{_B}T}))].    \n\\end{multline}\nNear zero temperature, the above equation can be written as\n\\begin{equation}\n    \\frac{\\alpha^A_{ij}}{T} = -\\frac{\\pi^2}{3}\\frac{K_{B}^2}{e}\\frac{d\\sigma\\textsubscript{ij}}{d\\mu}\n\\end{equation}\nwhere $\\alpha^A_{ij}$, $K_{B}$, $\\sigma\\textsubscript{ij}$ and $\\mu $ are the ANC, Boltzmann constant, AHC, and chemical potential, respectively.\n \n\\section{RESULTS AND DISCUSSION}\nThe unit cell of  Cu$_2$CoSn full Heusler compound (space group  Fm$\\bar{3}$m (No.225)) is shown in Fig.\\,\\ref{Fig1}(a).  The special Wyckoff's positions 8c (0.25, 0.25, 0.25), 4b (0.5, 0.5,0.5), and 4a (0, 0, 0) were considered for Cu, Co, and Sn atoms, respectively. The crystal structure has space inversion symmetry with three perpendicular relevant mirror planes. Figure \\ref{Fig1}(b) shows the energy versus lattice parameter curve, which suggests the lattice parameter a = b = c = 6.05 \u00c5 for the present system. The compound is ferromagnetic with a magnetic moment of 1.15 $\\mu_B$ per formula of the unit cell. The cobalt atom contributes exclusively to the magnetization ({$\\mu_{Co}$} = 1.147 $\\mu_B$\/f.u.) as Cu and Sn are the non-magnetic elements. The non-integer magnetic moment suggests that the system deviates from the half-metallic behavior. In the absence of SOC, the crystal symmetry of magnetic Cu$_2$CoSn full Heusler compound belongs to space group Fm$\\bar{3}$m, which exhibits three relevant mirror reflection symmetries \\textit{m}$_x$=0, \\textit{m}$_y$=0 and \\textit{m}$_z$=0 in the planes \\textit{k}$_x$=0, \\textit{k}$_y$=0 and \\textit{k}$_z$=0, respectively \\cite{prb1,PhysRevB.99.165117,PhysRevB.98.241106}. In each of these planes, there is a mirror symmetry protected NL in the Brillouin zone derived from the opposite eigenvalue of mirror symmetries and cross each other at six distinct points \\cite{PhysRevB.99.165117, PhysRevB.98.241106,Weyl}. These NLs gap out in the presence of SOC according to the magnetization direction, e.g., if the magnetization is considered along [001] direction, then the mirror symmetries \\textit{m$_x$} and \\textit{m$_y$} are no longer symmetry planes, while the \\textit{m$_z$} remains the symmetry plane, as the z-component of the spin S$_z$ is left invariant by \\textit{m$_z$}. Therefore, the NL in the \\textit{k}$_x$ = 0 and \\textit{k}$_y$ = 0 planes gap out, while the NL in the \\textit{k}$_z$=0 remain still protected by the mirror reflection symmetry. The total outward Berry flux from the gapless NL is zero, while the gapped NLs produce the non-zero Berry flux in the surrounding area \\cite{prb1,PhysRevB.100.054445}. The NLs in the \\textit{k}$_x$ = 0 and \\textit{k}$_y$ = 0 planes gapped out due to SOC result into the band anti-crossings, which restricts the Berry curvature to be aligned in magnetization direction \\cite{PhysRevX.8.041045}.\n\\begin{figure}[t]\n    \\centering\n    \\includegraphics[width=0.5\\textwidth]{Fig1.png}\n    \\caption{ (a) An unit cell of Cu$_2$CoSn Heusler compound. Blue, red, and green colors represent the Cu, Co, and Sn atoms, respectively. Three perpendicular mirror planes are designated as \\textit{m$_x$}, \\textit{m$_y$}, and \\textit{m$_z$}, respectively.\n  (b) Energy versus lattice parameter curve for the Cu$_2$CoSn Heusler compound.}\n    \\label{Fig1}\n\\end{figure}\n\nThe spin-polarized band structure (absence of SOC) of Cu$_2$CoSn is presented in Fig.\\,\\ref{fig2}(a). The red and blue colors represent the majority and minority states, respectively. In the band structure of the present system, we observed an interesting linear band crossing point at high-symmetry point K close to the Fermi energy (shown inside the circle). The crossing point is made from the minority spin bands and supposes to form the NL-like band structure in \\textit{k}-plane. \\textbf{We did the symmetry analysis to analyze the formation of the nodal line in the system. When SOC is not considered there is no symmetry relation between the spin-up and down states and can be treated separately. The analysis of band symmetry along \\textit{W}-\\textit{K}-\\textit{${\\Gamma}$} direction, which lie on the \\textit{k}$_z$=0 plane of conventional Brillouin zone of FCC lattice was done by Irrep software \\cite{iraola2022irrep}. The {\\lq searchcell\\rq} tag was enabled for the transformation of the crystal coordinate into the cartesian coordinate.  We found two symmetry operations for the interesting crossing point at high-symmetry point K  (i) Identity (E) and (ii) two-fold rotation symmetry along [001]  direction with an inversion center. The obtained matrix operation for the band was found  \n\\begin{equation*}\nR({\\theta}) =\n\\begin{bmatrix}\n1 & 0 & 0\\\\\n0 & 1 & 0\\\\\n0 & 0 &-1\\\\\n\\end{bmatrix},\n\\end{equation*}\nwhich is a matrix corresponding to the \\textit{m}$_z$ mirror reflection symmetry, that derives the nodal line in \\textit{k}$_z$ = 0 plane. The valence and conduction bands which meet at point K [ In DFT cell \\textit{i.e} crystal coordinate (0.375, 0.375, 0.750), Cartesian coordinate (-0.75, 0.75, 0) ] belong to the different irreducible groups B$_2$ and A$_1$, respectively and protected by C$_{2v}$ (mm2) point group symmetry in the space group Fm$\\bar{3}$m.  Hence the crossing point formed by the intersection of  B$_2$ and A$_1$ bands form the two-fold nodal point at high-symmetry point K.}\n\\begin{figure}[t]\n    \\centering\n    \\includegraphics[width=0.52\\textwidth]{Fig2.png}\n    \\caption{(a) Spin-polarized band structure (spin-up: red; spin-down: blue). (b) Band structure with spin-orbit coupling (SOC). The inset shows a zoomed view around the crossing point K. (c) The Brillouin zone in the conventional unit cell setting. (d) \\textit{k}-resolved Berry curvature for the Cu$_2$CoSn.}\n    \\label{fig2}\n\\end{figure}\nSince SOC plays a pivotal role to realize the anomalous transport in materials and is also ubiquitous in materials with 3d elements \\cite{prb1}, therefore it is necessary to study the band structure with non-vanishing SOC.\nWhen SOC is included, we consider the hybridization of the majority and minority spin bands. The spin-up and spin-down energy bands cannot be distinguished separately because the spin no longer remains a good quantum number in the presence of SOC. The band structure in presence of SOC is shown in Fig.\\,\\ref{fig2}(b). The crossing point which is the interest of feature seems fragile for the SOC, where the degeneracy of the band is lost due to SOC (B$_2$ and A$_1$ transform into $ \\Gamma$$^{3+}$) and a gap open between the bands (as \\textit{W}-\\textit{K}-\\textit{${\\Gamma}$} are not in the \\textit{k$_z$}=0 plane in the crystal coordinate).  The inset shows the enlarged view around the crossing point.  Figure\\,\\ref{fig2}(c) is for the Brillouin zone of FCC lattice, which shows that  \\textit{W}, \\textit{K}, and \\textit{${\\Gamma}$} high symmetry points lie on \\textit{k$_z$}=0 plane of conventional Brillouin zone. Next, we calculated the \\textit{k}-resolved Berry curvature along the same high-symmetry path chosen for band structure and found that a sharp peak of Berry curvature at point K and negligible Berry curvature from the other bands (Fig.\\,\\ref{fig2}d), therefore the Berry curvature distribution in surrounding the Fermi surface arises from gapped nodal line greatly affect the conduction electrons and produces a large AHC and ANC in the system (discussed later).  \n\n\\begin{figure*}[t]\n\\centering\n\\includegraphics[width=1\\textwidth]{Fig3.png}\n\\caption{ (a) Surface states spectrum of Cu$_2$CoSn obtained from the projection of the bulk band structure on the (001) surface. (b) The energy gap in the (i) \\textit{k}$_z$ = 0 plane, (ii) \\textit{k}$_x$ = 0 plane. The black color represents the vanishing gap between the bands.  Berry curvature distribution in the (iii) \\textit{k}$_z$ =0 plane, (iv) \\textit{k}$_x$ =0 plane. (c) The normalized Berry curvature for the Weyl points in \\textit{k}$_x$ = 0 plane. The Weyl points act as the source and drain of the Berry flux. (d) The variation of AHC with Fermi energy.} \n\\label{Fig3}\n\\end{figure*}\n\nTo inspect the topological states in our band structure, we projected the bulk band structure of Cu$_2$CoSn on the (001) surface along the  {$\\overline{X}$}-{$\\overline{\\Gamma}$}-$\\overline{X}$ direction (Fig.\\,\\ref{Fig3}(a)). A clear mark encircled in the surface spectrum suggests the presence of the topological band crossings, which corresponds to the linear crossing point at high-symmetry point K, and the red spot represents the gap opening at the crossing point. The small gap opening between the bands makes the denominator of Eq. (1) small and the large Berry curvature arises in the system. \nTo calculate the topological properties for \\textit{e.g.} Berry curvature, AHC, and ANC, etc., we constructed the MLWF from the Bloch states using Wannier90 code and found a good match between the electronic and Wannier interpolated band structure. The Wannier interpolation is an effective tool to calculate the \\textit{k}-space integrals, which are involved to find out several properties of materials such as AHC, ANC, spin Hall conductivity, optical properties, etc. The MLWF method is popular to construct the Wannier functions, which is implemented in the WANNIER90 code \\cite{marzari1997maximally,souza2001maximally}. In this method, the Wannier functions are generated by the unitary transformation of the Bloch wave and there is no chance of loss of information \\cite{PhysRevB.105.035124}.\n\nFor a better understanding of the nature of band crossing at high-symmetry point K, we calculated the band gap in the different two-dimensions \\textit{k}-planes considering the magnetization quantization axis along the [001] direction.\nFigure\\,\\ref{Fig3}b(i) shows the energy gap in the \\textit{k}$_z$ = 0 plane, which still preserves mirror symmetry. As a consequence, a closed NL is observed in this plane as shown in the black color, which is protected by the \\textit{m$_z$} mirror reflection symmetry. The Berry curvature was calculated in the same \\textit{k}$_z$ = 0 plane as presented in Fig.\\,\\ref{Fig3}b(iii), which shows that the Berry curvature around the preserved NL is very weak. \nIt is interesting to look at the NL and Berry curvature in the \\textit{k}$_x$ = 0 plane, which is not a plane of symmetry after considering the SOC and the magnetization direction. The NL, which was preserved in the \\textit{k}$_z$ = 0 plane, gapped out in the \\textit{k}$_x$ = 0 plane (Fig.\\,\\ref{Fig3}(b)(ii)), because of the mirror symmetry in this plane breaks upon considering the SOC and magnetization direction. The Berry curvature distribution in the same \\textit{k}$_x$ = 0 plane is shown in Fig.\\,\\ref{Fig3}b(iv). As expected, a strong Berry curvature induces along the gapped NL, which can manifest a large transverse response in the system. A similar kind of NLs and the Berry curvature is also expected in the \\textit{k$_y$} = 0 plane. Since the mirror symmetry is broken in both \\textit{k$_y$} = 0 and \\textit{k$_x$} = 0 planes upon considering SOC and [001] magnetization, hence the Weyl points may emerge in these planes. The mirror symmetry is still preserved in \\textit{k$_z$} = 0 plane, therefore the Weyl point cannot be in the \\textit{k$_z$} = 0 plane. Noteworthy, these Weyl points do not exist in the system naturally due to SOC but rather derived from the NLs, because at some \\textit{k}-points the NLs refuse to break out \\cite{Weyl,chang2016room}. The Berry curvature due to Weyl points derived from the gapped NL is typically small as sometimes they lie far away from the Fermi level and\/or due to other Weyl points present in the same plane \\cite{Weyl,chang2016room}. The energy and momentum space location of the Weyl points in possible \\textit{k}-planes are mentioned in Table 1.\n\nTo further confirm the obtained points as the Weyl points, we plotted the normalized Berry curvature enclosing the coordinates of the points in \\textit{k$_x$}=0 plane (Fig.\\,\\ref{Fig3}(c)). We found that the Weyl point of chirality + 1 acts as a source of Berry curvature (outward flux in Fig.\\,\\ref{Fig3}(c)) and the Weyl point with chirality -1 acts as a sink of Berry curvature (inward flux in Fig.\\,\\ref{Fig3}(c)). \nThe strong enhancement in the Berry curvature around the gaped NLs is supposed to create the large AHC in the system. For this, we calculated the AHC by the integration of Berry curvature of all occupied dispersion bands using Eq. (1) and Eq.(2). The underlying space group with the magnetization along [001] direction contains the 4$_{001}$ symmetry operation and after summing the Berry curvature over whole Brillouin zone forces $\\Omega_x$ = $\\Omega_y$ = 0 and follow the relation \\cite{samathrakis2022tunable}\n\\begin{equation}\n \\begin{split}  \n     -\\Omega_x(k_x,k_y,k_z) = \\Omega_x(-k_x,-k_y,k_z)\\\\\n     -\\Omega_y(k_x,k_y,k_z) = \\Omega_y(-k_x,-k_y,k_z)\\\\\n      \\Omega_z(k_x,k_y,k_z) = \\Omega_z(-k_x,-k_y,k_z).\n\\end{split}\n\\end{equation}\nTherefore, following the symmetry operation the z-component of AHC $\\sigma^A_z$ is unrestricted, while $\\sigma^A_x$ and $\\sigma^A_y$ identically vanish.\nThe variation of AHC with Fermi energy is shown in Fig.\\,\\ref{Fig3} (d). We found the giant intrinsic AHC ($\\sigma^A_z$) about 1003 \\textit{S\/cm} at the Fermi energy, which varies to 1120\\textit{S\/cm} just 0.05 eV below the Fermi level. This magnitude of AHC is larger than most of the investigated systems \\cite{prb1,chen2022large, mende2021large,asaba2021colossal,chen2021anomalous,wang2017anisotropic} and comparable to the highest AHC reported for Co$_2$MnGa Heusler compound \\cite{guin2019anomalous, sakai2018giant}.\n  \\begin{table}[htbp]\n  \\centering\n   \\begin{tabular}{lrrrrr}\n   \\midrule\\midrule\n   Weyl point & \\multicolumn{1}{l}\\,\\,{$k_x$ (2$\\pi$\/a)} & \\multicolumn{1}{l}\\,\\,{$k_y$ (2$\\pi$\/a)} & \n   \\multicolumn{1}{l}\\,\\,{$k_z$(2$\\pi$\/a)} & \\multicolumn{1}{l}{         \\,\\,E (eV)} &  \\\\\n   \\midrule\n     W$_{\\pm{A}}$    & \\,0.26     \\,\\,\\,& 0.00  & \\,\\,\\,$\\pm{0.95}$  & -0.240  &  \\\\\n    W$_{\\pm{B}}$    & 0.00     &\\,\\,\\, $\\pm{0.26}$  &\\,\\,\\, $\\mp{0.95}$ & 0.235   &  \\\\\n    W$_{\\pm{C}}$    & 0.00     & 0.00     &   $\\pm{0.51}$  & 0.73  &  \\\\\n   \\midrule\\midrule\n   \\end{tabular}%\n  \\caption{Representative coordinates of Weyl points in different planes in the momentum space with their chemical potentials with reference to the Fermi energy.}\n  \\label{tab:addlabel}%\n\\end{table}%\n\\begin{figure}[h]\n\\centering\n\\includegraphics[width=0.4\\textwidth]{Fig4.png}\n\\caption{Fermi surface and top of that (a) z-component of Berry curvature $\\Omega^z$ (b) y-component of Berry curvature $\\Omega^y$. (c) Fermi-level variation of anomalous Nernst conductivity.} \n\\label{Fig4}\n\\end{figure}\n\n Now we discuss the ANE in the present compound. The ANE is the thermometric counterpart of AHE, where the temperature gradient is used for the motion of charges instead of the electric field \\cite{PhysRevResearch.4.013215}. The origin of ANE is closely related to the AHE and the key difference is that the AHE is the summation of the Berry curvature over all occupied states, while the ANE is the sum of the Berry curvature of states close to the Fermi energy \\textit{i.e} the ANC is the sum of the Berry curvature on the Fermi surface \\cite{PhysRevB.98.241106,PhysRevResearch.4.013215}. The magnitude of ANC is related to the variation of the AHC near the Fermi energy. We plotted the z-component of Berry curvature ($\\Omega^z$) and y-component of Berry curvature ($\\Omega^y$) on the Fermi surface of the Cu$_2$CoSn system is shown in Fig.\\,\\ref{Fig4}(a)-(b) and using Eq.\\,(3) and (4) the ANC was calculated. We found the strong $\\Omega^z$ on the Fermi surface, while the $\\Omega^y$ identically cancels out due to the presence of the equal amount of positive and negative hotspot of the Berry curvature on the Fermi surface as shown in Fig.\\,\\ref{Fig4}(b).  This strong Berry curvature on the Fermi surface gives the $\\frac{\\alpha^A}{T}$ = 0.013 \\textit{A\/m-K$^2$} and the ANC reaches to the $\\sim$ 3.98 A\/m-K at 300\\, K, which is similar to the highest reported value of ANC is 4.0 \\textit{A\/m-K} in the Co$_2$MnGa experimentally. The variation of the ANC with the Fermi energy is shown in Fig.\\,\\ref{Fig4} (c), which shows a sudden increase in the ANC below -0.25 eV that might be related to the presence of flat band at this energy level in the band structure.\n  \\section{CONCLUSION}\nIn summary, we theoretically investigated the electronic, magnetic, and anomalous transport properties of Cu$_2$CoSn full Heusler compound. We found three NLs in the present compound, which are preserved by the mirror reflection symmetries of the system. Upon considering the SOC, the NLs gap out according to magnetization direction, consequently a strong Berry curvature develops along the gapped NL, which leads to the high AHC and ANC in the Cu$_2$CoSn Heusler compound. Therefore, the Cu$_2$CoSn is added as a new candidate in the family of Heusler compounds with high AHC and ANC. Our work provides a comprehensive understanding of the anomalous transport properties in the magnetic NL materials, specifically in the full Heusler compound, in context to the breaking of the protected mirror symmetries.\n\\section*{ACKNOWLEDGMENT}\nWe gratefully acknowledge the PARAMSHIVAY Supercomputing Centre of IIT(BHU) for cluster support. S.S. thanks the Science and Engineering Research Board\nof India for financial support through the \"CRG\" scheme (Grant No. CRG\/2021\/003256) and Ramanujan Fellowship (Grant No. SB\/S2\/RJN-015\/2017) and UGC-DAE CSR, Indore, for financial support through the \"CRS\" scheme. G.K.S. thanks the DST-INSPIRE scheme for support through a fellowship.\n\n*ssingh.mst@itbhu.ac.in \n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\n\n\n\n\n\n\n\\section{Introduction}\n\nThe usage of Monte Carlo simulations to study the transport and interaction of\nparticles and radiation is a powerful and popular technique, finding use\nthroughout a wide range of fields -- including but not limited to both high\nenergy and nuclear physics, as well as space and medical\nsciences~\\cite{mc_app_radphys_2000}. Naturally, a plethora of different\nframeworks and applications exist for carrying out these simulations\n(cf.\\ section~\\ref{sec:plugins} for examples), with implementations in different\nlanguages and domains ranging from general purpose to highly specialised field-\nand application-specific.\n\nA common principle used in the implementation of these applications is the\nrepresentation of particles by a set of state parameters -- usually including at\nleast particle type, time coordinate, position and velocity or momentum vectors\n-- and a suitable representation of the geometry of the problem (either via\ndescriptions of actual surfaces and volumes in a virtual three-dimensional\nspace, or through suitable parameterisations). In the simplest scenario where no\nvariance-reduction techniques are employed, simulations are typically carried\nout by proceeding iteratively in steps from an initial set of particles states,\nwith the state information being updated along the way as a result of the\npseudo-random or deterministic modelling of processes affecting the\nparticle. The modelling can represent particle self-interactions, interactions\nwith the material of the simulated geometry, or simply its forward transport\nthrough the geometry, using either straight-forward ray-tracing techniques or\nmore complicated trajectory calculations as appropriate.  In addition to a\nsimple update of state parameters, the modelling can result in termination of\nthe simulation for the given particle or in the creation of new secondary\nparticle states, which will in turn undergo simulation themselves.\n\nOccasionally, use-cases arise in which it would be beneficial to be able to\ncapture a certain subset of particle states present in a given simulation, in\norder to continue their simulation at a later point in either the same or a\ndifferent framework. Such capabilities have typically been implemented using\ncustom application-specific means of data exchange, often involving the tedious\nwriting of custom input and output hooks for the specific frameworks and\nuse-cases in question. Here is instead presented a standard format for exchange\nof particle state data, \\emph{Monte Carlo Particle Lists} (\\texttt{MCPL}), which\nis intended to replace the plethora of custom converters with a more convenient\nscenario in which experts of each framework implement converters to the common\nformat, as a one-time effort. The idea being that users of the various\nframeworks then gain the ability to simply activate those pre-existing and\nvalidated converters in order to carry out their work.\n\nThe present work originated in the needs for simulations at neutron scattering\nfacilities, where a multitude of simulation frameworks are typically used to\ndescribe the various components from neutron production to detection, but\nhistorically other conceptually similar formats have been and are used in high\nenergy physics to communicate particle states between event generators and\ndetector simulations~\\cite{hepevt1989,hepmc2000,leshoucheseventfiles}. However,\nthese formats were developed for somewhat different purposes than the one\npresented here, keeping simulation histories, focusing on the description of\nintermediate unphysical or bound particles, existing primarily in-memory rather\nthan on-disk, or implemented in languages not readily accessible to applications\nbased on different technologies. For instance, \\cite{hepevt1989} is defined as\nan in-memory \\texttt{FORTRAN} common block, \\cite{hepmc2000} provides a\n\\texttt{C++} infrastructure for in-memory data with customisable\npersistification, and \\cite{leshoucheseventfiles} defines a text-based format\nfocused on descriptions of intermediate particles and lacking particle\npositions. These existing solutions were thus deemed unfit for the\ngoals of the work presented here: a compact yet flexible on-disk binary format\nfor particle state information, portable, well-defined and able to accommodate a wide range of use-cases\nwith close to optimal storage requirements. The accompanying code with which to\naccess and manipulate the files should be small, efficient and easily integrated into\nexisting codes and build systems. Consequently, it was chosen to implement the\nformat through a set of \\texttt{C} functions declared in a single header file,\n\\texttt{mcpl.h}, and implemented in a single file, \\texttt{mcpl.c}. These two\nfiles will here be referred to as the \\emph{core} \\texttt{MCPL} code, and are\nmade freely available under the CC0 1.0 Universal Creative Commons\nlicense. Along with associated code examples, documentation, configuration files\n(cf.\\ section~\\ref{sec:buildanddeploy}) and application-specific interface code\nwhich is not embedded in the relevant upstream projects\n(cf.\\ sections~\\ref{sec:plugins_geant4} and \\ref{sec:plugins_mcnp}), these files\nconstitute the \\texttt{MCPL} distribution. The present text concerns the second\npublic release of \\texttt{MCPL}, version 1.1.0.  Future updates to the\ndistribution will be made available at the project website~\\cite{mcplwww}.\n\n\\section{The \\texttt{MCPL} format}\n\n\\texttt{MCPL} is a binary file format in which a header section, with\nconfiguration and meta-data, is followed by a data section, where the state\ninformation of the contained particles is kept. Data compression is available\nbut optional (cf.\\ section~\\ref{sec:compression}). The uncompressed storage size\nof a particle entry in the data section is determined by overall settings in the\nheader section, and depends on what exact information is stored for the\nparticles in a given file, as will be discussed shortly. Within a given file,\nall particle entries will always be of equal length, allowing for trivial\ncalculation of the absolute data location for a particle at a given index in the\nfile -- and thus for efficient seeking and skipping between particles if\ndesired. It is expected and recommended that \\texttt{MCPL} files will be\nmanipulated, directly or indirectly, by calls to the functions in\n\\texttt{mcpl.h} (cf.\\ section~\\ref{sec:progmcplaccess}), but for reference a\ncomplete specification of the binary layout of data in the files is provided in\n\\ref{appendix:mcpldetailedlayout}.\n\n\\subsection{Information available}\\label{sec:format_infoavail}\n\n\\input{graphics\/table_mcplhdr.tex}\n\nThe information available in the file header is indicated in\nTable~\\ref{tab:mcplhdr}: a unique 4-byte magic number identifying the format\nalways starts all files, and is followed by the format version, the endianness\n(\\emph{little} or \\emph{big}) in which numbers in the file are stored, and the\nnumber of particles in the file. The versioning provides a clear path for future\nupdates to the format, without losing the ability to read files created with\nprevious versions of the \\texttt{MCPL} code, and the endianness information\nprevents interpretation errors on different machines (although at present, most\nconsumer platforms are little-endian).\\footnote{In the current implementation,\n  reading a little-endian \\texttt{MCPL} file on a big-endian machine or vice\n  versa triggers an error message. It is envisioned that a future version of the\n  \\texttt{MCPL} code could instead transparently correct the endianness at load\n  time.} Next come five options indicating what data is stored per-particle,\nwhich will be discussed in the next paragraph. Finally, the header contains\nseveral options for embedding custom free-form information: first of all, the\nsource name, in the form of a single string containing the name and perhaps\nversion of the application which created the file. Secondly, any number of\nstrings can be added as human readable comments, and, thirdly, any number of\nbinary data blobs can be added, each identified by a string key. The\n\\texttt{MCPL} format itself provides no restrictions on what data, if any, can\nbe stored in these binary blobs, but useful content could for instance be a copy\nof configuration data used by the source application when the given file was\nproduced, kept for later reference. Also note that, for reasons of security, no\ncode in the \\texttt{MCPL} distribution ever attempts to interpret contents\nstored in such binary data blobs.\n\n\\input{graphics\/table_mcplpart.tex}\n\nTable~\\ref{tab:mcplpart} shows the state information available per-particle in\n\\texttt{MCPL} files, along with the storage requirements of each field. Particle\nposition, direction, kinetic energy and time are always stored.\\footnote{Note\n  that a valid alternative to storing the directional unit vector along with the\n  kinetic energy would have been the momentum vector. However, the choice here\n  is consistent with the variables used in interfaces of both \\texttt{MCNP} and\n  \\texttt{Geant4}, and means that the \\texttt{mcpl2ssw} converter discussed in\n  section~\\ref{sec:plugins_mcnp} can be implemented without access to an\n  unwieldy database of particle and isotope masses.} Polarisation vectors and\nso-called \\emph{user-flags} in the form of unsigned 32 bit integers are only\nstored when relevant flags in the header are enabled and weights are only stored\nexplicitly in each entry when no global common value was set in the\nheader. Likewise, the particle type information in the form of so-called PDG\ncodes is only stored when a global PDG code was not specified in the header. The\nPDG codes must follow the scheme developed by the Particle Data Group\nin~\\cite[ch.~42]{pdg2014}, which is inarguably the most comprehensive and widely\nadopted standard for particle type encoding in simulations. Finally, again\ndepending on a flag in the header, particle information uses either single- (4\nbytes) or double-precision (8 bytes) storage for floating point numbers. All in\nall, summing up the numbers in the last column of Table~\\ref{tab:mcplpart},\nparticles are seen to consume between 28 and 96 bytes of uncompressed storage\nspace per entry. The \\texttt{MCPL} format is thus designed to be flexible enough\nto handle use-cases requiring a high level of detail in the particle state\ninformation, without imposing excessive storage requirements on less demanding\nscenarios.\n\nNote that while the units for position, energy and time indicated in\nTable~\\ref{tab:mcplpart} of course must be respected, the choices themselves are\nsomewhat arbitrary and should in no way be taken to indicate the suitability of\nthe \\texttt{MCPL} format for a given simulation task. In particular, note that\nwithin the dynamic range of a given floating point representation, the relative\nnumerical precision is essentially independent of the magnitude of the numbers\ninvolved and is determined by the number of bits allocated for the\n\\emph{significand}~\\cite{IEEE754}. Thus, it is important to realise that\nusage of the \\texttt{MCPL} format to deal with a simulation task whose natural\nunits are many orders of magnitude different than the ones in\nTable~\\ref{tab:mcplpart} does \\emph{not} imply any detrimental impact on\nnumerical precision.\n\nPacking of the three-dimensional unit directional vector into just two floating\npoint numbers of storage is carried out via a new packing algorithm, tentatively\nnamed \\emph{Adaptive Projection Packing}, discussed in detail in\n\\ref{appendix:unitvectorpacking}. Unlike other popular packing strategies\nconsidered, the chosen algorithm provides what is for all practical purposes\nflawless performance, with a precision comparable to the one existing absent any\npacking (i.e.\\ direct storage of all coordinates into three floating point\nnumbers). It does so without suffering from domain validity issues, and the\nimplemented code is not significantly slower to execute than the alternatives.\n\n\\subsection{Accessing or creating \\texttt{MCPL} files programmatically}\\label{sec:progmcplaccess}\n\nWhile a complete documentation of the programming API provided by the\nimplementation of \\texttt{MCPL} in \\texttt{mcpl.h} and \\texttt{mcpl.c} can be\nfound in \\ref{appendix:reference_c_api}, the present discussion will restrict\nitself to a more digestible overview.\n\nThe main feature provided by the API is naturally the ability to create new\n\\texttt{MCPL} files and access the contents of existing ones, using a set of\ndedicated functions. No matter which settings were chosen when a given\n\\texttt{MCPL} file was created, the interface for accessing the header and\nparticle state information within it is the same, as can be seen in\nListing~\\ref{lst:readexample}: after obtaining a file handle via\n\\texttt{mcpl\\_open\\_file}, a pointer to an \\texttt{mcpl\\_particle\\_t}\n\\texttt{struct}, whose fields contain the state information available for a\ngiven particle, is returned by calling \\texttt{mcpl\\_read}. This also advances\nthe position in the file, and returns a null-pointer when there are no more\nparticles in the file, ending the loop. If a file was created with either\npolarisation vectors or user-flags disabled, the corresponding fields on the\nparticle will contain zeroes (thus representing polarisation information with\nnull-vectors and user-flags with an integer with no bits enabled). All floating\npoint fields on \\texttt{mcpl\\_particle\\_t} are represented with a\ndouble-precision type, but the actual precision of the numbers will obviously be\nlimited to that stored in the input file. In addition to the interface\nillustrated by Listing~\\ref{lst:readexample}, functions can be found in\n\\texttt{mcpl.h} for accessing any information available in the file header (see\nTable~\\ref{tab:mcplhdr}), or for seeking and skipping to particles at specific\npositions in the file, rather than simply iterating through the full file.\n\n\\lstinputlisting[float,language={[mcpl]C},\n  label={lst:readexample},\n  caption={Simple example for looping over all particles in an existing \\texttt{MCPL} file.}\n]{code_listings\/example_read.c}\n\nCode creating \\texttt{MCPL} files is typically slightly more involved, as the\ncreation process also involves deciding on the values of the various header\nflags and filling of free-form information like source name and comments. An\nexample producing a file with 1000 particles is shown in\nListing~\\ref{lst:writeexample}. The first part of the procedure is to obtain a\nfile handle through a call to \\texttt{mcpl\\_create\\_outfile}, configure the header\nand overall flags, and prepare a zero-initialised instance of\n\\texttt{mcpl\\_particle\\_t}. Next comes the loop filling the particles into the\nfile, which happens by updating the state information on the\n\\texttt{mcpl\\_particle\\_t} instance as needed, and passing it to\n\\texttt{mcpl\\_add\\_particle} each time. At the end, a call to\n\\texttt{mcpl\\_close\\_outfile} finishes up by flushing all internal buffers to\ndisk and updating the field containing the number of particles at the beginning\nof the file.\n\n\\lstinputlisting[float,language={[mcpl]C},\n  label={lst:writeexample},\n  caption={Simple example for creating an \\texttt{MCPL} file with 1000 particles.}\n]{code_listings\/example_write.c}\n\nShould the program abort before the call to\n\\texttt{mcpl\\_close\\_outfile}, particles already written into the output file\nare normally recoverable: upon opening such an incomplete file, the\n\\texttt{MCPL} code detects that the actual size of the file is inconsistent with\nthe value of the field in the header containing the number of particles. Thus,\nit emits a warning message and calculates a more appropriate value for the\nfield, ignoring any partially written particle state entry at the end of the\nfile. This ability to transparently correct incomplete files upon load also\nmeans that it is possible to inspect (with the \\texttt{mcpltool} command\ndiscussed in section~\\ref{sec:mcplfileaccesscmdline}) or analyse files that are\nstill being created. To avoid seeing a warning each time a file left over from\nan aborted job is opened, \\texttt{mcpl.h} also provides the function\n\\texttt{mcpl\\_repair} which can be used to permanently correct the header of the\nfile.\n\nLikewise, \\texttt{mcpl.h} also provides the function \\texttt{mcpl\\_merge\\_files} which\ncan be used to merge a list of compatible \\texttt{MCPL} files into a new one, which might\ntypically be useful when gathering up the output of simulations carried out via\nparallel processing techniques. Compatibility here means that the files must\nhave essentially identical header sections, except for the field holding the\nnumber of particles. Finally, the function \\texttt{mcpl\\_transfer\\_metadata} can\nbe used to easily implement custom extraction of particle subsets from existing\n\\texttt{MCPL} files into new (smaller) ones. An example of this is illustrated\nin Listing~\\ref{lst:editexample}.\n\n\\lstinputlisting[float,language={[mcpl]C},\n  label={lst:editexample},\n  caption={Example extracting low-energy neutrons (PDG code 2112) from an \\texttt{MCPL} file.}\n]{code_listings\/example_edit.c}\n\n\n\\subsection{Accessing \\texttt{MCPL} files from the command line}\\label{sec:mcplfileaccesscmdline}\n\nCompared with simpler text-based formats (e.g.\\ ASCII files with data formatted\nin columns), one potential disadvantage of a binary data format like\n\\texttt{MCPL} is the lack of an easy way for users to quickly inspect a file and\ninvestigate its contents. To alleviate this, \\texttt{mcpl.h} provides a function\nwhich, in a straight-forward manner, can be used to build a generic\n\\texttt{mcpltool} command-line executable:\n\\texttt{int~mcpl\\_tool(int~argc,char**~argv)}, for which full usage instructions\ncan be found in \\ref{appendix:reference_mcpltool_usage} or by invoking it with\nthe \\texttt{-{}-help} flag. Simply running this command on an\n\\texttt{MCPL} file without specifying other arguments, results in a short\nsummary of the file content being printed to standard output, which includes a\nlisting of the first 10 contained particles. An example of such a summary is\nprovided in Listing~\\ref{lst:mcpltool_example_output}: it is clear from the\ndisplayed meta-data that the particles in the given file represent a\ntransmission spectrum resulting from illumination of a block of lead by a\n\\SI{10}{GeV} proton beam in a \\texttt{Geant4}~\\cite{geant4a,geant4b}\nsimulation. The displayed header information and data columns should be mostly\nself-explanatory, noting that $(\\texttt{x},\\texttt{y},\\texttt{z})$ indicates the\nparticle position, $(\\texttt{ux},\\texttt{uy},\\texttt{uz})$ its normalised\ndirection, and that the \\texttt{pdgcode} column indeed shows particle types\ntypical in a hadronic shower: $\\pi^+$ (211), $\\gamma$ (22), protons (2212),\n$\\pi^-$ ($-211$) and neutrons (2112). If the file had user-flags or polarisation\nvectors enabled, appropriate columns for those would be shown as well. Finally,\nnote that the \\texttt{36~bytes\/particle} refers to uncompressed storage, and\nthat in this particular case the file actually has a compression ratio of\napproximately 70\\%, meaning that about 25 bytes of on-disk storage is used per\nparticle (cf.\\ section~\\ref{sec:compression}).\n\n\\afterpage{\\begin{landscape}\n \\lstinputlisting[float,language={},basicstyle={\\linespread{0.9}\\ttfamily\\ssmall},\n  label={lst:mcpltool_example_output},\n  caption={Example output of running \\texttt{mcpltool} with no arguments on a\n    specific \\texttt{MCPL} file.}\n]{code_listings\/mcpltool_39mb_example_compressed_27mb.txt}\n\\end{landscape}}\n\nBy providing suitable arguments (cf.~\\ref{appendix:reference_mcpltool_usage}) to\n\\texttt{mcpltool}, it is possible to modify what information from the file is\ndisplayed. This includes the possibility to change what particles from the file,\nif any, should be listed, as well as the option to extract the contents of a\ngiven binary data blob to standard output. The latter might be particularly\nhandy when entire configuration files have been embedded\n(cf.\\ sections~\\ref{sec:plugins_mcnp} and\n\\ref{sec:plugins_mcstasmcxtrace}). Finally, the \\texttt{mcpltool} command also\nallows file merging and repairing, as discussed in\nsection~\\ref{sec:progmcplaccess}, and provides functionality for selecting a\nsubset of particles from a given file and extracting them into a new smaller\nfile.\n\nAdvanced functionality such as graphics display and interactive GUI-based\ninvestigation or manipulation of the contents of \\texttt{MCPL} files is not\nprovided by the \\texttt{mcpltool}, since those would imply additional unwanted\ndependencies to the core \\texttt{MCPL} code, which is required by design to be\nlight-weight and widely portable. However, it is the hope that the existence of\na standard format like \\texttt{MCPL} will encourage development of such tools,\nand indeed some already exist in the in-house framework~\\cite{dgcodechep2013}\nof the Detector Group at the European Spallation Source\n(ESS)~\\cite{esscdr,esstdr}. It is intended for a future distribution of\n\\texttt{MCPL} to include relevant parts of these tools as a separate and\noptional component.\n\n\\subsection{Compression}\\label{sec:compression}\n\nThe utilisation of data compression in a format like \\texttt{MCPL} is\npotentially an important feature, since on-disk storage size could be a concern\nfor some applications. Aiming to maximise flexibility, transparency and\nportability, optional compression of \\texttt{MCPL} files is simply provided by\nallowing whole-file compression into the widespread \\texttt{GZIP}\nformat~\\cite{RFC1952_gzip} (changing the file extension from \\texttt{.mcpl} to\n\\texttt{.mcpl.gz} in the process). This utilises the \\texttt{DEFLATE}\ncompression algorithm~\\cite{RFC1951_deflate} which offers a good performance\ncompromise with a reasonable compression ratio and an excellent speed of\ncompression and decompression.\n\nRelying on a standard format such as \\texttt{GZIP} means that, if needed, users\ncan avail themselves of existing tools (like the \\texttt{gzip} and\n\\texttt{gunzip} commands available on most \\texttt{UNIX} platforms) to change\nthe compression state of an existing \\texttt{MCPL} file. However, when the code\nin \\texttt{mcpl.c} is linked with the ubiquitous\n\\texttt{ZLIB}~\\cite{zlib_libandwww,RFC1950_zlib}\n(cf.\\ section~\\ref{sec:buildanddeploy}), compressed \\texttt{MCPL} files can be\nread directly. For convenience, \\texttt{mcpl.h} additionally provides a function\n\\texttt{mcpl\\_closeandgzip\\_outfile}, which can be used instead of\n\\texttt{mcpl\\_close\\_outfile} (cf.\\ Listing~\\ref{lst:writeexample}) to ensure\nthat newly created \\texttt{MCPL} files are automatically compressed if possible\n(either through a call to an external \\texttt{gzip} command or through custom\n\\texttt{ZLIB}-dependent code, depending on availability).\n\n\\subsection{Build and deployment}\\label{sec:buildanddeploy}\n\nIt is the hope that eventually \\texttt{MCPL} capabilities will be included\nupstream in many applications, and that users of those consequently won't have\nto do anything extra to start using it. As will be discussed in\nsection~\\ref{sec:plugins}, this is at present the case for users of recent\nversions of \\texttt{McStas}~\\cite{mcstas1,mcstas2} and\n\\texttt{McXtrace}~\\cite{mcxtrace1}, and is additionally the case for users of\nthe in-house \\texttt{Geant4}-based framework of the ESS Detector\nGroup~\\cite{dgcodechep2013}.\n\nBy design, it is expected that most developers wishing to add \\texttt{MCPL}\nsupport to their application will simply place copies of \\texttt{mcpl.h} and\n\\texttt{mcpl.c} into their existing build system and include \\texttt{mcpl.h}\nfrom either \\texttt{C} or \\texttt{C++} code.\\footnote{Compilation of\n  \\texttt{mcpl.c} can happen with any of the following standards: \\texttt{C99},\n  \\texttt{C11}, \\texttt{C++98}, \\texttt{C++11}, \\texttt{C++14}, or later. In\n  addition to those, \\texttt{mcpl.h} is also \\texttt{C89} compatible. Note that\n  on platforms where the standard \\texttt{C} math function \\texttt{sqrt} is\n  provided in a separate library, that library must be available at link-time.}\nIn order to make the resulting binary code able to manipulate compressed files\ndirectly (cf.\\ section~\\ref{sec:compression}), the code in \\texttt{mcpl.c} must\nusually be compiled against and linked with an installation of \\texttt{ZLIB}\n(see detailed instructions regarding build flags at the top of\n\\texttt{mcpl.c}). Alternatively, the \\texttt{MCPL} distribution presented here\ncontains a ``fat'' auto-generated drop-in replacement for \\texttt{mcpl.c} named\n\\texttt{mcpl\\_fat.c}, in which the source code of \\texttt{ZLIB} has been\nincluded in its entirety.\\footnote{Note that all \\texttt{ZLIB} symbols have been\n  prefixed, to guard against potential run-time clashes where a separate\n  \\texttt{ZLIB} is nonetheless loaded.} Using this somewhat larger file enables\n\\texttt{ZLIB}-dependent code in \\texttt{MCPL} even in situations where\n\\texttt{ZLIB} might not be otherwise available.\n\nIn addition to the core \\texttt{MCPL} code, the \\texttt{MCPL} distribution also\ncontains a small file providing the \\texttt{mcpltool} executable, \\texttt{C++}\nfiles implementing the \\texttt{Geant4} classes discussed in\nsection~\\ref{sec:plugins_geant4}, \\texttt{C} files for the \\texttt{mcpl2ssw} and\n\\texttt{ssw2mcpl} executables discussed in section~\\ref{sec:plugins_mcnp}, and a\nfew examples show-casing how user code might look.\n\nBuilding of all of these parts should be straight-forward using standard tools,\nbut a configuration file for \\texttt{CMake}~\\cite{cmakebook2015} which builds\nand installs everything is nonetheless provided for reference and\nconvenience. Additionally, ``fat'' single-file versions of all command line\nutilities (\\texttt{mcpltool}, \\texttt{mcpl2ssw} and \\texttt{ssw2mcpl}) are also\nprovided, containing both \\texttt{MCPL} and \\texttt{ZLIB} code within as\nappropriate. Thus, any of these single-file versions can be compiled directly\ninto the corresponding command line executable, without any other dependencies\nthan a \\texttt{C} compiler. For more details about how to build and deploy,\nrefer to the \\texttt{INSTALL} file shipped with the \\texttt{MCPL} distribution.\n\n\\section{Application-specific converters and plugins}\\label{sec:plugins}\n\nWhile the examples in section~\\ref{sec:progmcplaccess} show how it is possible\nto manipulate \\texttt{MCPL} files directly from \\texttt{C} or \\texttt{C++} code,\nit is not envisioned that most users will have to write such code\nthemselves. Rather, in addition to using available tools (such as the\n\\texttt{mcpltool} described in section~\\ref{sec:mcplfileaccesscmdline}) to\naccess the contents of files as needed, users would ideally simply use\npre-existing plugins and converters written by application-specific experts, to\nload particles from \\texttt{MCPL} files into their given Monte Carlo\napplications, or extract particles from those into \\texttt{MCPL} files. At the\ntime of this initial public release of \\texttt{MCPL}, four such applications are\nalready \\texttt{MCPL}-aware in this manner: \\texttt{Geant4}, \\texttt{MCNP},\n\\texttt{McStas} and \\texttt{McXtrace}, and the details of the corresponding\nconverters and plugins are discussed in the following sub-sections, after a few\ngeneral pieces of advice for other implementers in the next paragraphs.\n\nIn order for \\texttt{MCPL} files to be as widely exchangeable as possible, code\nloading particles from \\texttt{MCPL} files into a given Monte Carlo application\nshould preferably be as accepting as possible. In particular, this means that\nwarnings rather than errors should result if the input file contains PDG codes\ncorresponding to particle types that can not be handled by the application in\nquestion. As an example, a detailed \\texttt{MCNP} or \\texttt{Geant4} simulation\nof a moderated neutron source will typically produce files containing not only\nneutrons, but also gammas and other particles. It should certainly be possible\nto load such a file into a neutron-only simulation application like\n\\texttt{McStas}, resulting in simulation of the contained neutrons (preferably\nwith a warning or informative message drawing attention to some particles being\nignored).\n\nApplications employing parallel processing techniques, must always pay\nparticular attention when implementing file-based I\/O, and this is naturally\nalso the case when creating \\texttt{MCPL}-aware plugins for them. However, the\navailable functionality for merging of \\texttt{MCPL} files makes the scenario of\nfile creation particularly simple to implement: each sub-task can simply write\nits own file, with the subsequent merging into a single file taking place during\npost-processing. For reading of particles in existing \\texttt{MCPL} files, it is\nrecommended that each sub-task performs a separate call to\n\\texttt{mcpl\\_open\\_file}, and use the skipping and seeking functionality to\nload just a subset of the particles within, as required. In the case of a\nmulti-threading application, it is of course also possible to handle concurrent\ninput or output directly through a single file handle. In this case, however,\ncalls to \\texttt{mcpl\\_add\\_particle} and \\texttt{mcpl\\_read} must be protected\nagainst concurrent invocations with a suitable lock or mutex.\n\nThe following three sub-sections are dedicated to discussions of presently\navailable \\texttt{MCPL} interfaces for specific Monte Carlo applications. The\ndiscussions will in each case presuppose familiarity with the application in\nquestion.\n\n\\subsection{\\texttt{Geant4} interface}\\label{sec:plugins_geant4}\n\nIn the most typical mode of working with the\n\\texttt{Geant4}~\\cite{geant4a,geant4b} toolkit, users create custom \\texttt{C++}\nclasses, sub-classing appropriate abstract interfaces, in order to set up\ngeometry, particle generation, custom data readout and physics modelling. At\nrun-time, those classes are then instantiated and registered with the\nframework. Accordingly, the \\texttt{MCPL}--\\texttt{Geant4} integration takes the\nform of two such sub-classes of \\texttt{Geant4} interface classes, which can be\neither directly instantiated or further sub-classed themselves as needed:\n\\texttt{G4MCPLGenerator} and \\texttt{G4MCPLWriter}. They are believed to be\ncompatible with any recent version of \\texttt{Geant4} and were explicitly tested\nwith versions 10.00.p03 and 10.02.p02.\n\nFirst, the \\texttt{G4MCPLGenerator}, the relevant parts of which are shown in\nListing~\\ref{lst:g4mcplgenerator}, implements a \\texttt{Geant4} generator by\nsub-classing the \\texttt{G4VUser\\-Primary\\-Generator\\-Action} interface class. The\nconstructor of \\texttt{G4MCPLGenerator} must be provided with the path to an\n\\texttt{MCPL} file, which will then be read one particle at a time whenever\n\\texttt{Geant4} calls the \\texttt{GeneratePrimaries} method, in order to\ngenerate \\texttt{Geant4} events with a single primary particle\nin each. If the file runs out of particles before the \\texttt{Geant4} simulation\nis ended for other reasons, the \\texttt{G4MCPLGenerator} graciously requests the\n\\texttt{G4RunManager} to abort the simulation. Thus, a convenient way in which\nto use the entire input file for simulation is to launch the simulation with a\nvery high number of events requested, as is done in the example in\nListing~\\ref{lst:example_g4gen}.\\footnote{Unfortunately, due to a limitation in\n  the \\texttt{G4RunManager} interface, this number will be limited by the\n  highest number representable with a \\texttt{G4int}, which on most modern\n  platforms is 2147483647.}\n\n\\lstinputlisting[float,language={[mcpl]C++},\n  label={lst:g4mcplgenerator},\n  caption={The \\texttt{G4MCPLGenerator} class.}\n]{code_listings\/G4MCPLGenerator_snippet.hh}\n\n\\lstinputlisting[float,language={[mcpl]C++},\n  label={lst:example_g4gen},\n  caption={Example showing how to load particles from an \\texttt{MCPL} file into\n    a \\texttt{Geant4} simulation.}\n]{code_listings\/example_geant4gen.cc}\n\nIn case the user wishes to use only certain particles from the input file for\nsimulation, the \\texttt{G4MCPLGenerator} class must be sub-classed and the\n\\texttt{UseParticle} method reimplemented, returning \\texttt{false} for\nparticles which should be skipped. Likewise, if it is desired to perform\ncoordinate transformations or reweighing before using the loaded particles, the\n\\texttt{ModifyParticle} method must be reimplemented.\n\nThe \\texttt{G4MCPLWriter} class, the relevant parts of which are shown in\nListing~\\ref{lst:g4mcplwriter}, is a \\texttt{G4VSensitiveDetector} which in the\ndefault configuration ``consumes'' all particles which, during a simulation,\nenter any geometrical volume(s) to which it is attached by the user and stores\nthem into the specified \\texttt{MCPL} file. At the same time it asks\n\\texttt{Geant4} to end further simulation of those particles (``killing''\nthem). This strategy of killing particles stored into the file was chosen as a\nsensible default behaviour, as it prevents potential double-counting in the\nscenarios where a particle (or its induced secondary particles) would otherwise\nbe able to enter a given volume multiple times. If it is desired to modify this\nstrategy, the user must sub-class \\texttt{G4MCPLWriter} and reimplement the\n\\texttt{ProcessHits} method, using calls to \\texttt{StorePreStep},\n\\texttt{StorePostStep} and \\texttt{Kill}, as appropriate. For reference, code\nresponsible for the default implementation is shown in\nListing~\\ref{lst:g4mcplwriter_processhits}. Likewise, to add \\texttt{MCPL}\nuser-flags into the file, the \\texttt{UserFlagsDescription} and\n\\texttt{UserFlags} methods must simply be reimplemented - the description\nnaturally ending up as a comment in the output file.\n\n\\lstinputlisting[float,language={[mcpl]C++},\n  label={lst:g4mcplwriter},\n  caption={The \\texttt{G4MCPLWriter} class.}\n]{code_listings\/G4MCPLWriter_snippet.hh}\n\n\\lstinputlisting[float,language={[mcpl]C++},\n  label={lst:g4mcplwriter_processhits},\n  caption={The default \\texttt{ProcessHits} implementation in the \\texttt{G4MCPLWriter} class.}\n]{code_listings\/G4MCPLWriter_snippet_ProcessHits.hh}\n\nIn Listing~\\ref{lst:example_g4write} is shown how the \\texttt{G4MCPLWriter} will\ntypically be configured and attached to logical volume(s) of the geometry.\n\n\\lstinputlisting[float,language={[mcpl]C++},\n  label={lst:example_g4write},\n  caption={Example showing how to produce an \\texttt{MCPL} file from a \\texttt{Geant4} simulation.}\n]{code_listings\/example_geant4write.cc}\n\n\\subsection{\\texttt{MCNP} interface}\\label{sec:plugins_mcnp}\n\nMost users of \\texttt{MCNP} are currently employing one of three distinct\nflavours: \\texttt{MCNPX}~\\cite{mcnpx2006,mcnpx2011}, \\texttt{MCNP5}~\\cite{mcnp5}\nor \\texttt{MCNP6}~\\cite{mcnp6}. In the most typical mode of working with any of\nthese software packages, users edit and launch \\texttt{MCNP} through the use of\ntext-based configuration files (so-called \\emph{input decks}), in order to set\nup details of the simulation including geometry, particle generation, and data\nextraction. The latter typically results in the creation of data files\ncontaining simulation results, ready for subsequent analysis.\n\nAlthough it would be conceivable to write in-process \\texttt{FORTRAN}-compatible\n\\texttt{MCPL} hooks for \\texttt{MCNP}, such an approach would require users to\nundertake some form of compilation and linking procedure. This would likely\nimpose a change in working mode for the majority of \\texttt{MCNP}\nusers, in addition to possibly requiring a special license for source-level\naccess to \\texttt{MCNP}. Instead, the \\texttt{MCNP}--\\texttt{MCPL} interface\npresented here exploits the existing \\texttt{MCNP} capability to stop and\nsubsequently restart simulations at a user-defined set of surfaces through the\n\\texttt{Surface Source Write\/Read} (\\texttt{SSW}\/\\texttt{SSR}) functionality. As\nthe name suggests, the state parameters of simulated particles crossing a given\nsurface are stored on disk in dedicated files, with the intentional use as a\nsurface source in subsequent simulations with the same \\texttt{MCNP}\nsetup. Presumably, these files (henceforth denoted ``\\texttt{SSW} files'' in the\npresent text) are intended for this internal intermediate usage only, since their\nformat differs between different flavours of \\texttt{MCNP}, and little effort\nhas been made to document the format in publicly available manuals. Despite\nthese obstacles, the \\texttt{SSW} format is stable enough that several existing\n\\texttt{MCNP}-aware tools\n(e.g.~\\cite{Klinkby2013106,kbat_mctools_2015,pyne2014}) have chosen to provide\nconverters for this format, with various levels of functionality, and it was\nthus deemed suitable also for the needs of the \\texttt{MCPL} project.\n\nThus, the \\texttt{MCPL} distribution presented here includes dependency-free\n\\texttt{C} code for two standalone executables, \\texttt{mcpl2ssw} and\n\\texttt{ssw2mcpl}, which users can invoke from the command-line in order to\nconvert between \\texttt{MCPL} and \\texttt{SSW} files.\\footnote{Prior work\n  in~\\cite{Klinkby2013106,kbat_mctools_2015} served as valuable input when\n  developing code for interpreting data sections in \\texttt{SSW} files.} The\nusage of these two executables will be discussed here, while users are referred\nto the relevant \\texttt{MCNP} manuals for details of how to set up their input\ndecks to enable \\texttt{SSW} input or output in their \\texttt{MCNP} simulations:\n\\cite[Ch.~II.3.7]{mcnp5man}, \\cite[Ch.~5.5.5]{mcnpxman} and\n\\cite[Ch.~3.3.4.7]{mcnp6man}. Note that through usage of \\texttt{ssw2mcpl} and\n\\texttt{mcpl2ssw}, it is even possible to transfer particles between different\nflavours and versions of \\texttt{MCNP}, which is otherwise not possible with\n\\texttt{SSW} files.\n\nFirst, the \\texttt{ssw2mcpl} command, for which the full usage instructions are\nshown in Listing~\\ref{lst:ssw2mcplusage}, is in its most base invocation\nstraight-forward to use. Simply provide it with the name of an existing\n\\texttt{SSW} file to run on, and it will result in the creation of a new\n(compressed) \\texttt{MCPL} file, \\texttt{output.mcpl.gz}, containing a copy of\nall particles found in the \\texttt{SSW} file. The \\texttt{MCNP} flavour\nresponsible for creating the \\texttt{SSW} file is automatically detected, the\nresulting differences in the file format are taken into account behind the\nscenes, and the detected \\texttt{MCNP} version is documented as a comment in the\nheader of the resulting \\texttt{MCPL} file.\n\n\\lstinputlisting[float,language={},\n  basicstyle={\\linespread{0.9}\\ttfamily\\scriptsize},\n  label={lst:ssw2mcplusage},\n  caption={Usage instructions for the \\texttt{ssw2mcpl} command.}\n]{code_listings\/ssw2mcpl_help.txt}\n\nThe only relevant piece of information which is by default not transferred from\nthe \\texttt{SSW} particle state into the \\texttt{MCPL} file is the numerical ID\nof the surface where the particle was registered in the \\texttt{MCNP}\nsimulation. By supplying the \\texttt{-s} option, \\texttt{ssw2mcpl} will transfer\nthose to the \\texttt{MCPL} user-flags field, and document this in the\n\\texttt{MCPL} header.  Additionally, while floating point numbers in the\n\\texttt{SSW} file are always stored in double-precision, the transfer to\n\\texttt{MCPL} will by default convert them to single-precision. This was chosen\nas the default behaviour to keep usual storage requirements low, as\nsingle-precision is arguably sufficient for most studies. By supplying the\n\\texttt{-d} option, \\texttt{ssw2mcpl} will keep the numbers in double-precision\nin the \\texttt{MCPL} file as well. Depending on compression and the applied\nflags, the on-disk size of the resulting \\texttt{MCPL} file will typically be\nsomewhere between 20\\% and 80\\% of the on-disk size of the \\texttt{SSW} file\nfrom which it was converted.\n\nFinally it is possible, via the \\texttt{-c~FILE} flag, to point the\n\\texttt{ssw2mcpl} command to the input deck file used when producing the\nprovided \\texttt{SSW} file. Doing so will result in a complete copy of that file\nbeing stored in the \\texttt{MCPL} header as a binary data blob under the string\nkey \\texttt{\"mcnp\\_input\\_deck\"}, thus providing users with a convenient\nsnapshot in the \\texttt{MCPL} file of the \\texttt{MCNP} setup used. Unfortunately,\nit was not possible to automate this procedure completely, and it thus relies\non the user to provide the correct input deck for a given \\texttt{SSW} file. But\nthe \\texttt{ssw2mcpl} command does at least check that the specified file is a\ntext-file and that it contains somewhere the correct value of the so-called \\emph{problem title}: a\ncustom free-form string which is specified by the user in the input deck and embedded in the\n\\texttt{SSW} file by \\texttt{MCNP}. The input deck embedded in a given \\texttt{MCPL} file can\nlater be inspected from the command line by invoking the command\n``\\texttt{mcpltool~-bmcnp\\_input\\_deck~<file.mcpl>}''.\n\nUsage of the \\texttt{mcpl2ssw} command, for which the full usage instructions\nare shown in Listing~\\ref{lst:mcpl2sswusage}, is slightly more involved: in\naddition to an input \\texttt{MCPL} file, the user must also supply a reference\n\\texttt{SSW} file in a format suitable for the \\texttt{MCNP} setup in which the\nresulting \\texttt{SSW} file is subsequently intended to be used as input. The\nneed for this added complexity stems from the constraint that the \\texttt{SSW}\nformat is merely intended as an internal format in which it is possible to stop\nand restart particles while remaining within a given setup of an \\texttt{MCNP}\nsimulation -- meaning at the very least that the \\texttt{MCNP} version and the\nconfiguration of the geometrical surfaces involved in the \\texttt{Surface Source\n  Write\/Read} procedure must be unchanged. Thus, for maximal robustness, the\nuser must supply a reference \\texttt{SSW} file which was produced by the setup\nin which the \\texttt{SSW} file created with \\texttt{mcpl2ssw} is to be used (it\ndoes not matter how many particles the reference file contains). What will\nactually happen is that in addition to the particle state data itself, the\nnewly created \\texttt{SSW} file will contain the exact same header as the one in\nthe reference \\texttt{SSW} file, apart from the fields related to the number of\nparticles in the file.\n\n\\lstinputlisting[float,language={},\n  basicstyle={\\linespread{0.9}\\ttfamily\\scriptsize},\n  label={lst:mcpl2sswusage},\n  caption={Usage instructions for the \\texttt{mcpl2ssw} command.}\n]{code_listings\/mcpl2ssw_help.txt}\n\nAdditionally, the user must consider carefully which \\texttt{MCNP} surface IDs\nthe particles from the \\texttt{MCPL} file should be associated with, once\ntransferred to the \\texttt{SSW} file. By default it will assume that the\n\\texttt{MCPL} user-flags field contains exactly this ID, but more often than\nnot, users will have to specify a global surface ID for all of the particles\nthrough the \\texttt{-s<ID>} command-line option for the \\texttt{mcpl2ssw}\ncommand.\n\nFinally, note that \\texttt{SSW} files do not contain polarisation information,\nand any such polarisation information in the input \\texttt{MCPL} file will\nconsequently be discarded in the translation. Likewise, in cases where the input\n\\texttt{MCPL} file contains one or more particles whose type does not have a\nrepresentation in the targeted flavour of \\texttt{MCNP}, they will be ignored\nwith suitable warnings.\n\n\\subsection{\\texttt{McStas} and \\texttt{McXtrace} interfaces}\\label{sec:plugins_mcstasmcxtrace}\n\nRecent releases of the neutron ray tracing software package\n\\texttt{McStas}~\\cite{mcstas1,mcstas2} (version 2.3 and later) and its X-ray\nsibling package \\texttt{McXtrace}~\\cite{mcxtrace1} (version 1.4 and later)\ninclude \\texttt{MCPL}-interfaces. Although \\texttt{McStas} and \\texttt{McXtrace}\nare two distinct software packages, they are implemented upon a common\ntechnological platform, \\texttt{McCode}, and the discussions here will for\nsimplicity use the term \\texttt{McCode} where the instructions are otherwise\nidentical for users of the two packages.\n\nThe particle model adopted in \\texttt{McCode} is directly compatible with\n\\texttt{MCPL}. In essence, apart from simple unit conversions, particles are read\nfrom or written to \\texttt{MCPL} files at one or more predefined logical points\ndefined in the \\texttt{McCode} configuration files (so-called \\emph{instrument\n  files}). Specifically, two new components, \\texttt{MCPL\\_input} and\n\\texttt{MCPL\\_output}, are provided, which users can activate by adding\nentries at relevant points in their instrument files as is usual when working\nwith \\texttt{McCode}.\n\nFirst, when using the \\texttt{MCPL\\_input} component, particles are directly\nread from an \\texttt{MCPL} input file and injected into the simulation at the\ndesired point, thus playing the role of a source. In\nListing~\\ref{lst:mccode_mcplinput1} is shown how, in its simplest form, users\nwould insert an \\texttt{MCPL\\_input} component in their instrument file. This\nwill result in the \\texttt{MCPL} file being read in its entirety, and all found\nneutrons (for \\texttt{McStas}) or gamma particles (for \\texttt{McXtrace}) traced\nthrough the \\texttt{McCode} simulation.  Listing~\\ref{lst:mccode_mcplinput2}\nindicates how the user can additionally impose an allowed energy range when\nloading particles by supplying the \\texttt{Emin} and \\texttt{Emax}\nparameters. The units are \\si{meV} and \\si{keV} respectively for \\texttt{McStas}\nand \\texttt{McXtrace}. Thus, the code in Listing~\\ref{lst:mccode_mcplinput2}\nwould select \\SIrange{12}{100}{meV} neutrons in \\texttt{McStas} and\n\\SIrange{12}{100}{keV} gammas in \\texttt{McXtrace}.  A particle from the\n\\texttt{MCPL} file is injected at the position indicated by its \\texttt{MCPL}\ncoordinates \\emph{relative} to the position of the \\texttt{MCPL\\_input}\ncomponent in the \\texttt{McCode} instrument. Thus, a user can impose coordinate\ntransformations by altering the positioning of \\texttt{MCPL\\_input} as shown in\nListing~\\ref{lst:mccode_mcplinput3}, which would shift the initial position of\nthe particles by $(X,Y,Z)$ and rotate their initial velocities around the $x$,\n$y$ and $z$ axes (in that order) by respectively $Rx$, $Ry$ and $Rz$\ndegrees. Furthermore, Listing~\\ref{lst:mccode_mcplinput3} shows a way to\nintroduce a time shift of \\SI{2}{s} to all particles, using an \\texttt{EXTEND}\ncode block.\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcplinput1},\n  caption={Code enabling \\texttt{MCPL} input in its simplest form.}\n]{code_listings\/mccode_mcplinput1.instr}\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcplinput2},\n  caption={Code enabling \\texttt{MCPL} input, selecting particles in a given energy range.}\n]{code_listings\/mccode_mcplinput2.instr}\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcplinput3},\n  caption={Code enabling \\texttt{MCPL} input, applying spatial and temporal transformations.}\n]{code_listings\/mccode_mcplinput3.instr}\n\nFor technical reasons, the number of particles to be simulated in\n\\texttt{McCode} must be fixed at initialisation time. Thus, the number of\nparticles will be set to the total number of particles in the input file, as\nthis is provided through the corresponding \\texttt{MCPL} header field. If and\nwhen a particle is encountered which can not be used (due to having a wrong\nparticle type or energy), it will lead to an empty event in which no particles\nleave the source. At the end of the run, the number of particles skipped over\nwill be summarised for the user. This approach obviates the need for running\ntwice over the input file and avoids the potential introduction of\nstatistical bias from reading a partial file.\n\nNote that if running \\texttt{McCode} in parallel processing mode using\nMPI~\\cite{mpi_standard_2015}, each process will operate on all particles in the\nentire file, but the particles will get their statistical weights reduced\naccordingly upon load. This behaviour is not specific to the\n\\texttt{MCPL\\_input} component, but is a general feature of how multiprocessing\nis implemented in \\texttt{McCode}.\n\n\nWhen adding an \\texttt{MCPL\\_output} component to a \\texttt{McCode} instrument\nfile, the complete state of all particles reaching that component is written to\nthe requested output file. In Listing~\\ref{lst:mccode_mcploutput1} is shown how,\nin its simplest form, users would insert such a component in their instrument\nfile, and get particles written with coordinates relative to the component\npreceding it, into the output file (replace \\texttt{RELATIVE PREVIOUS} with\n\\texttt{RELATIVE ABSOLUTE} to write absolute coordinates instead). For reference, a copy of the complete\ninstrument file is stored in the \\texttt{MCPL} header as a binary data blob\nunder the string key \\texttt{\"mccode\\_instr\\_file\"}. This feature provides users\nwith a convenient snapshot of the generating setup. The instrument file embedded\nin a given \\texttt{MCPL} file can be inspected from the command line by invoking\nthe command ``\\texttt{mcpltool -bmccode\\_instr\\_file <file.mcpl>}''.\n\nIf running \\texttt{McCode} in parallel processing mode using MPI, each process\nwill create a separate output file named after the pattern\n\\texttt{myoutput.node\\_idx.mcpl} where \\texttt{idx} is the process number (assuming\n\\texttt{filename=\"myoutput.mcpl\"} as in\nListing~\\ref{lst:mccode_mcploutput1}), and those files will be automatically\nmerged during post-processing into a single file.\\footnote{This automatic merging\nonly happens in \\texttt{McStas} version 2.4 or later and  \\texttt{McXtrace}\nversion 1.4 or later, and can be disabled by setting the parameter \\texttt{merge\\_mpi=0}. Users of earlier versions will have to use the\n\\texttt{mcpltool} command to perform the merging manually, if desired.}\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcploutput1},\n  caption={Code enabling \\texttt{MCPL} output in its simplest form.}\n]{code_listings\/mccode_mcploutput1.instr}\n\nTo avoid generating unnecessarily large files, the \\texttt{MCPL\\_output}\ncomponent stores particle state data using the global PDG code feature\n(cf.\\ section~\\ref{sec:format_infoavail}), uses single-precision floating point\nnumbers, and does \\emph{not} by default store polarisation vectors. The two\nlatter settings may be changed by the user through the \\texttt{polarisationuse}\nand \\texttt{doubleprec} parameters respectively, as shown in\nlisting~\\ref{lst:mccode_mcploutput2}.\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcploutput2},\n  caption={Code enabling \\texttt{MCPL} output with polarisation and double-precision numbers.}\n]{code_listings\/mccode_mcploutput2.instr}\n\nFinally, if desired, custom information might be stored per-particle into the\n\\texttt{MCPL} user-flags field for later reference. This could be any property,\nsuch as for instance the number of reflections along a neutron guide, or the\ntype of scattering process in a crystal,\netc. Listing~\\ref{lst:mccode_mcploutput3} shows a simple example of this where\nthe particle ID, in the form of its \\texttt{McCode} ray number (returned from\nthe \\texttt{McCode} library function \\texttt{mcget\\_run\\_num}), is stored into\nthe user-flags field. A string, \\texttt{userflagcomment}, is required in order\nto describe the significance of the extra data, and will end up as a comment in\nthe resulting \\texttt{MCPL} file.\n\n\\lstinputlisting[float,language={[mccode]C},\n  label={lst:mccode_mcploutput3},\n  caption={Code enabling \\texttt{MCPL} output with custom user-flags information.}\n]{code_listings\/mccode_mcploutput3.instr}\n\n\\section{Example scientific use cases}\\label{sec:examples}\n\nThe possible uses for \\texttt{MCPL} are envisioned to be many and varied,\nfacilitating both straight-forward transfers of particle data between different\nsimulations, as well as data reuse and cross-code comparisons. Actual scientific\nstudies are already being performed with the help of \\texttt{MCPL},\ndemonstrating the suitability of the format ``in the field''.  By way of\nexample, it will be discussed in the following how \\texttt{MCPL} is used in two\nsuch ongoing studies.\n\n\\subsection{Optimising the detectors for the LoKI instrument at ESS}\\label{sec:example_loki}\n\nThe ongoing construction of the European Spallation Source\n(ESS)~\\cite{esscdr,esstdr} has initiated significant development of novel\nneutronic technologies in the past 5 years. The performance requirements for\nneutron instruments at the ESS, in particular those resulting from the\nunprecedented cold and thermal neutron brightness, are at or beyond the\ncapabilities of detector technologies currently available~\\cite{kirstein2014}.\nAdditionally, shortage of $^3$He~\\cite{he3crisis1,he3crisis2}, upon which the\nvast majority of previous detectors were based, augments the need for\ndevelopment of new efficient and cost-effective detectors based on other\nisotopes with high neutronic conversion cross sections.\n\nA typical approach to instrument design and optimisation at ESS involves the\ndevelopment of a \\texttt{McStas}-based simulation of the instrument. Such a\nsimulation includes an appropriate neutron source description and detailed\nmodels of the major instrument components, such as benders, neutron guides,\nchopper systems, collimators, sample environment and sample. See~\\cite{carlile}\nfor an introduction to the role of the various instrument components. Detector\ncomponents in \\texttt{McStas} are, however, typically not implemented with any\ndetailed modelling, and are simply registering all neutrons as they\narrive. Thus, while the setup in \\texttt{McStas} allows for an efficient and\nprecise optimisation of most of the instrument parameters, detailed detector\noptimisation studies must out of necessity be carried out in a separate\nsimulation package, such as \\texttt{Geant4}.\n\nAs the detector development progresses in parallel with the general instrument\ndesign, it is crucial to be able to optimise the detector setup for the exact\ninstrument conditions under investigation in \\texttt{McStas}. The \\texttt{MCPL}\nformat, along with the interfaces discussed in sections~\\ref{sec:plugins_geant4}\nand \\ref{sec:plugins_mcstasmcxtrace}, facilitates this by allowing for easy\ntransfer of neutron states from the \\texttt{McStas} instrument simulation into\n\\texttt{Geant4} simulations with detailed setups of proposed detector designs.\n\nTechnically, this is done by placing the \\texttt{MCPL\\_output} component just\nafter the relevant sample component in the \\texttt{McStas} instrument\nfile. Additionally, using the procedure for creation and storage of custom\n\\texttt{MCPL} user-flags also discussed in\nsection~\\ref{sec:plugins_mcstasmcxtrace}, it is possible to differentiate\nneutrons that scattered on the sample from those which continued undisturbed, and\nto carry this information into the \\texttt{Geant4} simulations. This information\nis needed to understand the impact of the direct beam on the low angle\nmeasurements, in order to study the requirements for a so-called zero-angle\ndetector.\n\nFor example, in order to optimise the detector technology that the LoKI\ninstrument~\\cite{lokijackson2015, lokikanaki2013, lokikanaki2013corr} might adopt, a series of \\texttt{McStas}\nsimulations of the instrument components and the interactions in realistic\nsamples~\\cite{sasviewkernels} are performed (see Figure~\\ref{loki_mcstas} for a\nview of the instrument in \\texttt{McStas}). The parameters of the instrument and\nthe samples in the \\texttt{McStas} model are chosen in such a way, that various\naspects of the detector performance can be investigated, including rate\ncapability and spatial resolution. The neutrons emerging from the sample in\n\\texttt{McStas} are then transferred via \\texttt{MCPL} to the detector\nsimulation in \\texttt{Geant4}, where a detailed detector geometry and\nappropriate materials are implemented (see Figure~\\ref{loki_g4} for a\nvisualisation of the \\texttt{Geant4} model).\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[scale=0.4]{graphics\/loki-master-model-layout}\n  \\caption{Layout of the \\texttt{McStas} model of the LoKI instrument. Neutrons\n    originate at the source located at $z=0$ and progress through the various\n    instrument components toward the sample at $z=\\SI{22.5}{m}$.}\n  \\label{loki_mcstas}\n\\end{figure}\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[scale=0.4]{graphics\/loki-g4}\n  \\caption{\\texttt{Geant4} model of a potential detector geometry for the LoKI\n    instrument. Neutrons from the sample hitting the active detector area appear in red.}\n  \\label{loki_g4}\n\\end{figure}\n\nNeutrons traversing the detector geometry in \\texttt{Geant4} undergo\ninteractions with the materials they pass on their flight-path, according to the\nphysics processes and respective cross sections available in the setup. Special\nattention is needed when configuring the \\texttt{Geant4} physics modelling, to\nensure that all processes relevant for neutron detection are taken into account\nand handled correctly. Specifically, the setup utilises the\nhigh-precision neutron models in \\texttt{Geant4} extended with~\\cite{nxsg4}, and\nis implemented in~\\cite{dgcodechep2013}. In the solid-converter based detectors\nunder consideration, a neutron absorption results in emission of charged products which then\ntravel a certain range inside the detector and deposit energy in a counting\ngas. It is possible to extract position and time information from the energy\ndeposition profile and use these space-time coordinates for further analysis, in\nthe same way that measurements in a real detector would be treated. This way it becomes\npossible to reproduce the distributions of observable quantities relevant for\nSmall Angle Neutron Scattering (SANS) analysis~\\cite{sansfeigin, sansimae}.\n\nOne such observable quantity is the $Q$ distribution~\\cite[Ch.~2.3.3]{carlile},\nwhere $Q$ is defined as the momentum change of the neutron as it scatters on the\nsample, divided by $\\hbar$: $Q\\equiv|\\Delta\\vec{p}|\/\\hbar$. Figure~\\ref{loki_q}\ndemonstrates such a distribution, based on the simulated\noutput of the middle detector bank of LoKI (cf.\\ Figure~\\ref{loki_g4}), for a\ncertain instrument setup -- including a sample modelled as consisting of spheres\nwith radii of \\SI{200}{\\angstrom}.  The raw $Q$ distribution is calculated both\nbased on the neutron states as they emerge from the sample in \\texttt{McStas},\nand from the simulated measurements in \\texttt{Geant4}.  With such a procedure,\nresolution-smearing effects can be correctly attributed to their sources,\ngeometrical acceptance and detector efficiency can be studied in detail, and the\nimpact of engineering features such as dead space can be accurately considered.\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[scale=0.5]{graphics\/loki_q}\n  \\caption{Raw $Q$ distribution for a subset of the LoKI detectors\n    (middle detector bank of Figure~\\ref{loki_g4}). The\n    \\texttt{McStas} post-sample output appears in blue, while the distribution calculated\n    from the simulated measurements in \\texttt{Geant4} appears in red.}\n  \\label{loki_q}\n\\end{figure}\n\n\\subsection{Neutron spectra predictions for cosmogenic dating studies}\n\nThe use of radionuclides produced in-situ by cosmic rays for dating purposes\nhas, in the last two decades, revolutionised the earth surface\nsciences~\\cite{Dunai2010}. The precise determination of the production rate of\nsuch isotopes, like $^{10}$Be and $^{26}$Al, poses the key challenge for this\ntechnique and relies on a folding of cosmic fluxes with energy dependent\nproduction cross sections~\\cite{Reedy2013}. The present discussion will focus on\nthe evaluation of the neutron flux induced by cosmic radiation, and in\nparticular on how \\texttt{MCPL} can be exploited both to facilitate the reuse of\ncomputationally intensive simulations, and as a means for cross-code\ncomparisons.\n\nAt sea level, neutrons constitute the most abundant hadronic component of cosmic\nray induced showers, and possess relatively high cross sections for production\nof isotopes relevant for radionuclide dating. Thus, it is the dominant\ncontributor to the relevant isotopic production in the first few meters below\nthe surface~\\cite{Gosse2001}.  Extending further below the surface, the neutron\nflux decreases rapidly, and as a consequence the isotopic production rate\ninduced by cosmic muons eventually becomes the most significant\nfactor~\\cite{Heisinger2002a,Heisinger2002b}.  At a depth of approximately\n\\SI{3}{\\meter} below the surface, the production rate due to muons is comparable\nwith the rate from neutrons~\\cite{Gosse2001}. Considering non-erosive surfaces\nand samples at depths significantly less than \\SI{3}{\\meter}, the production\nrates can thus be estimated by considering just the flux of neutrons. Thus,\ngiven known cross sections for neutronic production of $^{10}$Be or $^{26}$Al,\nproperties such as the cosmic irradiation time of a given sample can be directly\ninferred from its isotopic content -- providing information about geological\nactivity. In the present study, Monte Carlo methods are used to simulate\natmospheric cosmic rays~\\cite{Masarik1999,Masarik2009} and subsequently estimate\nthe neutron flux spectra as a function of depth under the surface of the Earth.\n\nPrimary cosmic rays constantly bombard the solar system and initiate cosmic ray\nshowers in the Earth's atmosphere, leading to the production of atmospheric\nneutrons. Figure~\\ref{fShower} shows the trajectories of a simulated air shower\ninduced by a single \\SI{100}{\\GeV} proton in \\texttt{Geant4}: very large numbers\nof secondary particles are generated in each shower, all of which must\nthemselves undergo simulation. Full scale simulation of such showers is\ntherefore relatively time consuming.  On the other hand, simulations of the\npropagation of sea level neutrons in a few meters of solid material are\nrelatively fast.  In the present work of estimating neutron spectra for\ndifferent underground materials, \\texttt{MCPL} is used to record particle\ninformation at sea level. Using the recorded data as input, subsequent\nsimulations are dedicated to the neutron transport in different underground\nmaterials. In this way, repetition of the time consuming parts of the simulation\nis avoided.  \\texttt{Geant4} is used to simulate the air shower in this work,\nwhile both \\texttt{Geant4} and \\texttt{MCNPX} are used to simulate neutron\nspectra underground.\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=.6\\textwidth]{graphics\/shower}\n  \\caption{Cosmic shower simulated in \\texttt{Geant4}. The incident proton\n    energy is \\SI{100}{\\GeV} and the length of the $x$-axis is \\SI{2}{\\km}. The\n    straight grey trajectories are neutrinos. The yellow and green trajectories\n    are photons and neutrons, respectively.  }\n  \\label{fShower}\n\\end{figure}\n\nIn the \\texttt{Geant4} simulation of the Earth's atmosphere, the geometry is\nimplemented as a \\SI{100}{km} thick shell with an inner radius of \\SI{6387}{km},\nsub-divided into 50 equally thick layers, the effective temperatures and\ndensities of which are calculated using the ``U.S.  standard atmosphere, 1976''\nmodel~\\cite{Jursa1985}.  Using the plugins described in\nsection~\\ref{sec:plugins_geant4}, the simulation of any particle reaching the\ninner surface of the atmosphere is ended and its state stored in an\n\\texttt{MCPL} file.  To compare the simulated and measured~\\cite{Gordon2004}\nspectra at New York city, a lower cutoff of $E_c=\\SI{2.08}{GeV}$ on the kinetic\nenergy of the primary proton is applied, to take the geomagnetic field shielding\neffect at this location into account.  The relationship between the number of\nsimulated primary protons, $N$, and the real world time-span, ${\\delta}t$, to\nwhich such a sample-size corresponds, is given by the following equation:\n\\begin{equation*}\n{\\delta}t=\\frac{N}{\\int\\limits_{E_{c}}^{\\infty} J(E) dE \\times 2\\pi\\times 4\\pi r^2 }\n\\end{equation*}\nHere, $r$ is the outer radius of the simulated atmosphere and $J$ the\ndifferential spectrum of Usoskin's model~\\cite{Usoskin2005} using the\nparameterisation in~\\cite{Herbst2010}.\n\nIn the simulation of \\SI{4.20e6} primary protons, the resulting integral\nneutronic flux above \\SI{20}{\\MeV} at sea level was found to be\n\\SI{3.27e-15}{\\per\\square\\cm}, corresponding to an absolute surface flux at New\nYork city of \\SI{4.22e-3}{\\per\\square\\cm\\per\\second}.  Integrating the measured\nreference neutron spectrum tabulated in~\\cite{Gordon2004} above \\SI{20}{\\MeV},\nan integral flux of \\SI{3.15e-3}{\\per\\square\\cm\\per\\second} is obtained.  The\nsimulation thus overestimates the measured flux by 34\\%, which is a level of\ndisagreement compatible with the variation in the predicted value of the integral flux\nbetween different models of the local interstellar spectrum~\\cite{Herbst2010}.  Therefore,\nthe performance of the atmospheric simulation is concluded to be satisfactory.\n\nIn the subsequent underground simulations presented here, the Earth is for\nsimplicity modelled as consisting entirely of quartz (SiO$_2$), which is a\nsample material widely used in cosmogenic dating applications~\\cite{Dunai2010},\nas both $^{26}$Al and $^{10}$Be are produced within when subjected to neutron\nradiation -- normally via spallation.  The \\texttt{MCPL} files generated by the\ncomputationally expensive atmospheric shower simulation described above, is\ninput to the underground simulations implemented in both \\texttt{Geant4} and\n\\texttt{MCNPX}, using the interfaces described in\nsections~\\ref{sec:plugins_geant4} and \\ref{sec:plugins_mcnp}. The geometries in\nboth cases are defined as \\SI{20}{\\cm} thick spherical shells consisting of pure\nquartz.  As the threshold energies of the related spallation reactions are well\nabove \\SI{20}\\MeV, only spectra above this energy are compared in this study.\nThe simulated volume spectra in a few layers are compared in\nFigure~\\ref{fQuartz}. Good agreement between \\texttt{Geant4} and \\texttt{MCNPX}\nis observed.\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=.8\\textwidth]{graphics\/geant4_mcnpx_quartz}\n  \\caption{Comparisons of simulated neutron spectra in underground quartz.}\n  \\label{fQuartz}\n\\end{figure}\n\nIn conclusion, a useful method for disentangling the resource intensive\nsimulation of cosmic showers from subsequent faster simulations of neutron\ntransport in the Earth crust has been demonstrated using \\texttt{MCPL} as an\nintermediate stepping stone.  The simulation strategy thus employed eases the\nuse of computational resources, and provides a means for cross-comparison\nbetween simulation codes.  Given reliable energy dependent cross sections, many\nof the key parameters for cosmogenic dating applications can be provided based\non the work described in this section.\n\n\\section{Summary and outlook}\n\nThe \\texttt{MCPL} format provides flexible yet efficient storage of\nparticle-state information, aimed at simplifying and standardising interchange\nof such data between applications and processes. The core parts of \\texttt{MCPL}\nare implemented in portable and legally unencumbered \\texttt{C} code. This is\nintended to facilitate adoption into existing packages and build systems, and\nthe creation of application-specific converters and plugins.\n\nIn connection with the initial release presented here, \\texttt{MCPL} interfaces\nwere created for several popular Monte Carlo particle simulation packages:\n\\texttt{Geant4}, \\texttt{MCNP}, \\texttt{McStas} and \\texttt{McXtrace}. It is the\nintention and hope that the number of such \\texttt{MCPL}-aware applications will\nincrease going forward. A website~\\cite{mcplwww} has been set up for the\n\\texttt{MCPL} project, on which users will be able to locate future updates to\nthe \\texttt{MCPL} distribution, as well as relevant documentation.\n\n\\section*{Acknowledgements}\n\nThis work was supported in part by the European Union's Horizon 2020 research\nand innovation programme under grant agreement No 676548 (the BrightnESS\nproject) and under grant agreement No 654000 (the SINE2020 project).\n\n\\section*{References}\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\nA holomorphic motion in dimension one is a family of injections $f_{\\lambda}:A\\to \\hat{\\mathbb C}$ over a complex manifold $\\Lambda\\ni\\lambda$.  Holomorphic motions first appeared in \\cite{MSS,L} where they were used to show that a generic rational map $f:\\hat{\\mathbb C}\\to\\hat{\\mathbb C}$ is structurally stable.  This notion has since found numerous applications in holomorphic dynamics and  Teichm\\\"{u}ller Theory. \nIts usefulness comes from the fact that analyticity alone forces strong extendibility and regularity properties that are referred to as the $\\lambda$-lemma. Let $\\Delta$ be the unit disk in $\\mathbb C$. \n\n\\begin{theorem}$ $\n\\begin{itemize}\n\\item {\\bf Extension $\\lambda$-lemma} \\cite{L}, \\cite{MSS} Any holomorphic motion $f:\\Delta\\times A \\to \\hat\\C$ extends to a holomorphic motion  $\\Delta\\times \\bar A \\ra \\hat \\C$. \n\n\\item {\\bf QC $\\lambda$-lemma} \\cite{MSS} The map $f(\\lambda,a)$ is uniformly quasisymmetric in $a$.\n\\end{itemize}\n\\end{theorem}\n\nNote that when $A$ has interior, $f(\\lambda, a)$ is quasiconformal on the interior. For many applications it is important to know that a holomorphic motion can be extended to a holomorphic motion of the entire sphere.\nBers \\& Royden \\cite{BR} and Sullivan \\& Thurston\n\\cite{ST} proved that there exists a universal $\\delta>0$ such\nthat under the circumstances of the Extension $\\lambda$-lemma, the\nrestriction of $f$ to the parameter disk $\\Delta_{\\delta}$ of\nradius $\\delta$ can be extended to a holomorphic motion\n$\\Delta_{\\delta} \\times \\hat {{\\mathbb C}} \\mapsto \\hat{\\mathbb\nC}$. S\\l{}odkowski \n\\cite{Slodkowski} proved the strongest version asserting that $\\delta$ is\nactually equal to $1$:\n\n\\newtheorem*{Slod lemma}{$\\lambda$-lemma [S\\l{o}dkowski]}\n\\begin{Slod lemma}\nLet  $A\\subset \\hat{\\mathbb C}$. Any holomorphic motion\n$f:\\Delta\\times A \\to \\hat{\\mathbb C}$ extends to a holomorphic\nmotion $\\Delta\\times \\hat{\\mathbb C} \\mapsto \\hat{\\mathbb C}$.\n\\end{Slod lemma}\n\nS\\l{}odkowski's proof builds on the work by Forstneri\\v{c} \\cite{Forstneric} and \\v{S}nirel'man  \\cite{Snirelman}.\nAstala and Martin \\cite{AM} gave an exposition of S\\l{}odkowski's proof from the point of view of $1$-dimensional complex analysis. Chirka \\cite{ChirkaOka} gave an independent proof using solution to $\\bar{\\partial}$-equation. (See \\cite{Teich} for a detailed exposition of Chirka's proof.) The purpose of this paper is to give a more geometric approach to the proof of the $\\lambda$-lemma. \nWe take S\\l{}odkowski's approach and replace the major technical part in his proof (closedness, see \\cite[Theorem 4.1]{AM}) by a geometric pseudoconvexity argument.\n\nThe strongest $\\lambda$-lemma fails when the dimension of the base\nmanifold is greater than $1$, even if the base is topologically contractible. This follows from the results of Earl-Kra \\cite{EK} and Hubbard \\cite{Hu}.\n\nWe give the necessary background on holomorphic motions, pseudoconvexity and Hilbert transform in Section \\ref{sec:background}. In Section \\ref{sec:axiom_of_choice}, we show that the $\\lambda$-lemma when $A$ is finite implies the $\\lambda$-lemma for arbitrary $A$. We set up the notations and terminology in Section \\ref{sec:terminology}. We state the filling theorem for the torus, and explain how it implies the finite $\\lambda$-lemma in Section \\ref{sec:filling_theorem}. In Section \\ref{sec:trapping_disks} we prove H\\\"{o}lder estimates for disks trapped inside pseudoconvex domains and construct such trapping pseudoconvex domains for ``graphical tori''. We use these estimates to prove the filling theorem in Section \\ref{sec:proof}.\n\\subsection{Acknowledgments} We would like to thank Misha Lyubich, Yakov Eliashberg and the referee for fruitful discussions and useful suggestions.\n\n\n\\section{Background}\\label{sec:background}\n\n\\subsection{Holomorphic motion}\n\n\nLet $\\Delta$ be a unit disk. Let $A\\subset \\hat{\\mathbb C}$. A {\\it holomorphic motion} of  $A$ is a map\n$f$: $\\Delta\\times A \\to \\hat{\\mathbb C}$ such that\n\\begin{enumerate}\n\\item for fixed $a\\in A$, the map $\\lambda\\mapsto f(\\lambda,a)$ is holomorphic in $\\Delta$\n\\item for fixed $\\lambda\\in \\Delta$, the map $a\\mapsto f(\\lambda,a)=:f_{\\lambda}(a)$ is an injection and\n\\item the map $f_0$ is the identity on $A$.\n\\end{enumerate}\n\n\\subsection{Pseudoconvexity}\\label{sec:pseudo}\n\nBelow we give definitions that are sufficient for our purposes.\n\nA $C^2$ smooth function is {\\it (strictly) plurisubharmonic} (written (strictly) psh) if its restriction to every complex line is strictly subharmonic. In coordinates \n$z=(z_1,\\dots,z_n)$, $u(z)$ is strictly psh if the matrix $\\left(\\frac{\\partial^2 u}{\\partial z_j\\partial \\bar{z}_k}\\right)$ is positive definite.\n\nA smoothly bounded domain $\\Omega\\subset \\mathbb C^2$ is {\\it strictly pseudoconvex} if there is a smooth, strictly psh\nfunction $\\rho$ in a neighborhood of $\\bar{\\Omega}$ such that $\\{\\Omega=\\rho(z)<0\\}.$\n\n\\begin{lemma}\\label{lem:disk_trapping}Let $\\Omega_s\\subset \\mathbb C^2$ be a\nfamily of pseudoconvex domains with defining functions $\\rho_s$,\n$s\\in[0,1]$. We assume that the family $\\rho_s$ is continuous in\n$s$. Let $\\phi_s:\\Delta\\mapsto \\mathbb C^2$ be a continuous family\nof holomorphic non-constant functions that extend continuously to\n$\\bar{\\Delta}$. Set $D_s:=\\phi_s(\\Delta)$. Suppose $\\partial\nD_s\\subset\n\\partial \\Omega_s$, $s\\in [0,1]$. And suppose $D_s\\subset\n\\Omega_s,$ $s\\in [0,1)$. Then $D_1\\subset \\Omega_1$.\n\\end{lemma}\n\n\\begin{proof} Consider the restriction of the functions $\\rho_s$ to $D_s$. The functions $\\rho_s\\circ \\phi_s:\\Delta\\mapsto \\mathbb R$ are subharmonic functions, $\\rho_1\\circ \\phi_1$ is the limit of $\\rho_s\\circ \\phi_s$. By the hypothesis of the lemma, $\\rho_s\\circ \\phi_s\\leq 0$ on $\\Delta$. Therefore,\n$\\rho_1\\circ \\phi_1\\leq 0$. If the maximum value $0$ is attained\nin the interior point, $\\rho_1\\circ \\phi_1\\equiv 0$. It implies\nthat $D_1\\subset \\partial \\Omega_1$, which is impossible.\nTherefore, $\\rho_1\\circ\\phi_1<0$ on $\\Delta$, and $D_1\\subset\n\\Omega_1$.\n\\end{proof}\n\nLet $M\\subset \\mathbb C^2$ be a real two-dimensional\nmanifold. We say that $p\\in M$ is a {\\it totally real} point if\n$T_pM\\cap iT_pM=\\{0\\}$. $M$ is a totally real manifold if all its\npoints are totally real. If the manifold $M$ is totally real, it is in fact homeomorphic to the torus (see \\cite{Bishop} and \\cite{GW}).\nAssume $M\\subset \\partial \\Omega$, then one can define a\ncharacteristic field of directions on $M$.\n\nLet $p\\in M$. Let $H_p\\partial \\Omega:=T_p\\Omega\\cap iT_p\\Omega$ be the holomorphic tangent space.\n$\\langle\\xi_p\\rangle:=H_p\\partial \\Omega\\cap T_pM$ is called the {\\it characteristic\ndirection}. We denote by $\\chi(M, \\Omega)$ the characteristic field of directions\n(see \\cite[Section 16.1]{CE}).\n\n\\subsection{Hilbert transform}\n\nA function $u:\\mathbb S^1\\to \\mathbb C$ is {\\it H\\\"{o}lder continuous with exponent} $\\alpha$\nif there is a constant $A$ such that for all $x,y\\in \\mathbb S^1$:\n$$|u(x)-u(y)|<A |x-y|^{\\alpha}.$$\n\nWe will consider the space $C^{1,\\alpha}(\\mathbb S^1)$ of differentiable functions $u$ with $\\alpha$- H\\\"{o}lder continuous derivative. The norm on the space $C^{1, \\alpha}(\\mathbb S^1)$ is defined by the formula:\n\n$$||u||_{1, \\alpha}:=\\sup_{x\\in \\mathbb S^1}|u(x)|+\\sup_{x\\in \\mathbb S^1}|u'(x)|+\\sup_{x\\neq y\\in \\mathbb S^1}\\frac{|u'(x)-u'(y)|}{|x-y|^{\\alpha}}.$$\n\n\nThere exists a unique harmonic extension $u_h$ of the function $u$ to $\\Delta$. Let denote by $u_h^*$ the harmonic conjugate of $u_h$, normalized by the condition $u_h(0)=0$. The function $u_h^*$ extends to $\\mathbb S^1=\\partial \\Delta$ as a H\\\"{o}lder continuous function with exponent\n$\\alpha$.\n\nFor a function $u\\in C^{1, \\alpha}(\\mathbb S^1)$ we define its {\\it Hilbert transform} $Hu$ to be the boundary value of the harmonic conjugate function $u_h^*$. By definition, the function $u+iHu$ \nextends as a holomorphic function to the unit disk.\n\n\\begin{theorem} The Hilbert transform $H$ is a bounded linear operator on $C^{1,\\alpha}(\\mathbb S^1)$ and $C^{\\alpha}(\\mathbb S^1)$.\n\\end{theorem}\nThis Theorem makes it convenient for us to work with the spaces $C^{1,\\alpha}(\\mathbb S^1)$ and $C^{\\alpha}(\\mathbb S^1)$.\n\n\\section{Finite $\\lambda$ -lemma}\\label{sec:axiom_of_choice}\nThe first step in the proof of the $\\lambda$-lemma is to reduce it\nto the $\\lambda$-lemma for finitely many points, \\cite{MSS}.\n\n\\begin{theorem}{\\bf The Finite $\\lambda$-lemma} Assume $a_1, \\dots, a_{n+1}\\in \\hat{\\mathbb C}$, $a_i\\neq a_j$ for $i\\neq j$. Let\n$f:\\Delta\\times\\{a_1, \\dots, a_n\\}\\to \\hat{\\mathbb C}$ be a holomorphic motion. Then there exists a\nholomorphic motion $\\tilde{f}: \\Delta\\times\\{a_1,\\dots, a_{n+1}\\}\\to \\mathbb C$, so that\n$\\tilde{f}$ is an extension of $f$.\n\\end{theorem}\n\n\\begin{proof}[Reduction of the $\\lambda$-lemma to the finite $\\lambda$-lemma (assuming the Extension-$\\lambda$ lemma):]\nWe normalize the holomorphic motion $f$ so that three points $a_1, a_2, a_3$ stay fixed. We can assume $a_1=0$, $a_2=1$, $a_3=\\infty$.\n\nLet $\\{a_n\\}$ be a sequence of points that are dense in $\\bar{A}$.\nLet $\\{z_n\\}$ be a sequence of points that are dense in $\\mathbb C\\backslash \\bar{A}$. Let $f_n$ be a holomorphic motion of $a_1,\\dots, a_n,z_1,\\dots, z_n$, such that\n$$f_n(\\lambda,a_i)=f(\\lambda,a_i).$$\nThe existence of such holomorphic motion follows from the Finite\n$\\lambda$-lemma.\n\nFor any fixed $z_n$, for $k\\geq n$ and $n\\geq 3,$ maps $f_k$ are defined at the\npoint $z_n$, and functions $f_k(*, z_n):\\Delta\\to \\mathbb\nC\\backslash\\{0,1\\}$ form a normal family. So we can choose a\nconvergent subsequence $f_{k}(*,z_n)$. Using the diagonal method, we get\na holomorphic motion $\\tilde{f}$, that is well defined for all\n$a_n$ and $z_n$ and coincides with $f$ on $a_i$ for all $i$. By the Extension\n$\\lambda$-lemma, we extend it uniquely to the holomorphic motion\nof $\\hat{\\mathbb{C}}$. By construction,  it coincides with the\nholomorphic motion $f$ on the set $A$.\n\\end{proof}\n\n\\section{Notations and Terminology}\\label{sec:terminology}\n\nWe consider $\\mathbb C^2$ with coordinates $(\\lambda,w)$. The horizontal direction is parametrized by $\\lambda$, the vertical by $w$.\nThroughout the paper we consider disks of the form\n$$w=g(\\lambda)$$\nthat will depend on two different parameters.\nWe will use the following notations\n$$g:\\Delta\\times\\mathbb S^1\\times [0,t_0]\\to \\mathbb C^2$$\n$$g^t_{\\xi}(\\lambda):=g^t(\\lambda,\\xi):=g_{\\xi}(\\lambda,t):=g(\\lambda,\\xi,t).$$\n\n\n\n\n\\subsection{Graphical Torus}\n\nLet $\\pi:\\mathbb C^2\\to \\mathbb C$, $\\pi(\\lambda,w)=\\lambda$, be the projection to the first\ncoordinate.\n\nWe say that a torus $\\Gamma\\subset \\{\\partial \\Delta\\}\\times \\mathbb C$ is a {\\bf graphical torus} if\nfor each $\\lambda\\in\\partial \\Delta$, $C_{\\lambda}:=\\pi^{-1}(\\lambda)\\in \\mathbb C\\backslash \\{0\\}$ is a simple closed curve that\nhas winding number $1$ around $0$.\n\n\\begin{figure}[h!]\n\\begin{center}\n\\begin{tikzpicture}[scale =0.7]\n\\node at (0,-3) {$\\Delta$};\n\n\\draw (0,-2) ellipse (2cm and 0.6cm);\n\\draw (0,0) ellipse (2cm and 0.6cm);\n\n\\draw [very thick] (-2,0) to  [in=-90] (-2.2,0.5) to  [out=85, in=170] (-1.9,1.5) to [out=0, in=90] (-1.6,0) to [out=-90, in=0]\n(-1.9,-1.5) to [out=180, in=-90] (-2,0);\n\n\\node at (-2,2) {$C_{-1}$};\n\n\\draw [very thick] (-2+1.8,0+0.5) to  [out=90, in=-90] (-2.2+1.8,0.5+0.5) to  [out=85, in=220] (-1.9+1.8,1.8+0.5) to [out=0, in=90] (-1.6+1.8,0+0.5) to [out=-90, in=0]\n(-1.9+1.8,-1.5+0.5) to [out=180, in=-90] (-2+1.8,0+0.5);\n\n\\node at (0,2.7) {$C_{\\lambda}$};\n\n\\draw [very thick] (-2+3.6,0) to  [out=90, in=-90] (-2.2+3.6,0.5) to   [out=85, in=170] (-1.9+3.6,1.5) to [out=0, in=90] (-1.6+3.6,0) to [out=-90, in=0]\n(-1.9+3.6,-1.5+0) to [out=180, in=-90] (-2+3.6,0);\n\n\\node at (1.7,2) {$C_{1}$};\n\n\\draw [very thick] (-2+7,0+0.5) to  [out=90, in=-90] (-2.2+7,0.5+0.5) to  [out=85, in=220] (-1.9+7,1.8+0.5) to [out=0, in=90] (-1.6+7,0+0.5) to [out=-90, in=0]\n(-1.9+7,-1.5+0.5) to [out=180, in=-90] (-2+7,0+0.5);\n\n\\node at (5.5,2.5) {$C_{\\lambda}$};\n\n\\draw (4.5,-2.3) to (4.5,2.2) to (5.8,3.7) to (5.8, -0.8) to (4.5,-2.3);\n\n\\node at (6.2, 3) {$\\mathbb{C}$};\n\n\n\\end{tikzpicture}\n\\end{center}\n\\caption{Torus $\\Gamma$}\n\\end{figure}\n\nThus, the vertical slices $\\{C_{\\lambda}:\\ \\lambda\\in \\mathbb S^1\\}$ give a foliation of $\\Gamma$. We wish to construct a transverse foliation of $\\Gamma$. We will consider holomorphic functions $g_{\\xi}:\\Delta\\to \\mathbb C$, which extend continuously to $\\bar{\\Delta}$ and such that $\\gamma_{\\xi}:=g_{\\xi}(\\partial \\Delta)\\subset \\Gamma$. We will construct a family of holomorphic disks such that $\\{\\gamma_{\\xi}: \\xi \\in \\mathbb S^1\\}$ form another foliation of the torus $\\Gamma$ that is transverse to the original foliation.\n\n\\subsection{Family of Graphical Tori}\n\nLet $\\{C_{\\lambda}^t: t>0, \\lambda\\in \\partial \\Delta\\}$ be smooth curves, such that\n\\begin{enumerate}\n\\item $C^t_{\\lambda}$ have winding number $1$ around $0$;\n\\item for fixed $\\lambda$, $C^t_{\\lambda}$ form a smooth foliation of $\\mathbb C\\backslash\\{0\\}$;\n\\item there exists $\\epsilon>0$, so that $C^t_{\\lambda}=\\{|w|^2=t\\}$ for $t<\\epsilon$.\n\\end{enumerate}\n\nLet\n$$\\Gamma^t=\\{(\\lambda,w):\\ \\lambda\\in \\partial \\Delta, w\\in C^t_{\\lambda}\\}.$$\nWe set $\\Gamma^0=\\{(\\lambda, 0):\\ \\lambda\\in \\partial \\Delta\\}$. We refer to $\\Gamma^t$, $t\\geq 0$ as smooth family of graphical tori, though for $t=0$ it degenerates to a circle $\\Gamma^0$. The superscript $t$ will be applied to indicate the dependence on the torus $\\Gamma^t$.\n\n\\subsection{Holomorphic Transverse Foliation of a Graphical Torus}\n\n\\begin{figure}[h!]\n\\begin{center}\n\\begin{tikzpicture}[scale =0.7]\n\\node at (0,3) {$\\Gamma$};\n\n\\draw [very thick] (-3,0) to [out=90, in=180] (0,2) to [out=0, in=90] (3,0) to [out=-90, in=0] (0,-2) to [out=180, in=-90] (-3,0);\n\n\\draw [very thick] (-1.2,-0.2) to [out=30, in=150] (1.2,-0.2);\n\\draw [very thick] (-1.5,0) to (-1.2,-0.2) to [out=-30, in=-150] (1.2,-0.2) to (1.5,0);\n\n\\draw [thick] (-2.1,0) to [out=90, in=180] (-1,0.7) to [out=0, in=200] (0,1) to [out=20, in=100] (1.9,0) to [out=-80, in=0] (0,-1) to [out=180, in=0] (-1.1,-0.9) to [out=180, in=-90] (-2.1,0);\n\n\\draw [thick] (-2.6,0) to [out=90, in=180] (-1.3,1) to [out=0, in=200] (0,1.5) to [out=20, in=100] (2.4,0) to [out=-80, in=0] (0,-1.4) to [out=180, in=0] (-1.2,-1.2) to [out=180, in=-90] (-2.6,0);\n\n\n\\draw  (-0.9, -0.35) to [out=190, in=160] (-1.2,-1.84);\n\\draw  [dashed] (-0.9, -0.35) to [out=-10, in=-20] (-1.2,-1.84);\n\\node at (-1.2,-2.3) {$C_\\lambda$};\n\n\\draw [dashed] (0.9, -0.35) to [out=10, in=10] (1.0,-1.86);\n\\draw (0.9, -0.35) to [out=195, in=170] (1.0,-1.86);\n\\node at (1.4,-2.3) {$C_1$};\n\n\\draw [thick] (2.2,0.6)--(3.7,2);\n\\node at (3.9,2) {$\\gamma_\\xi$};\n\n\\draw [thick] (1.85,-0.4)--(3.5,0.5);\n\\node at (3.7,0.5) {$\\gamma_\\eta$};\n\n\\end{tikzpicture}\n\\end{center}\n\\caption{Holomorphic Transverse Foliation of the Torus $\\Gamma$}\n\\end{figure}\n\nLet $\\Gamma$ be a graphical torus. Let $g:\\Delta\\to \\mathbb C$ be a holomorphic function that extends continuously to the closure $\\bar{\\Delta}$.\nWe say that the function $g:\\bar{\\Delta}\\to \\mathbb C$ defines a {\\bf holomorphic disk} $D:=\\{(\\lambda,g(\\lambda)):\\lambda \\in \\Delta\\}\\subset \\mathbb C^2$ with a {\\bf trace} $\\gamma:=\\partial D$. \n\n\nWe will construct foliations of graphical tori by traces of holomorphic disks.   To do this, we will require additional properties:\n\nWe say that a function $g:\\bar{\\Delta}\\times \\mathbb S^1\\to\\mathbb C$ defines a {\\bf holomorphic transverse foliation} of a graphical torus\n$\\Gamma$ if\n\\begin{enumerate}\n\\item $g$ is continuous.  \n\\item for each $\\xi\\in \\mathbb S^1$, we let $\\{\\gamma_{\\xi}:=g(\\lambda,\\xi): \\lambda\\in \\partial \\Delta\\}$. The curves $\\gamma_{\\xi}$ are simple, pairwise disjoint and define a foliation of $\\Gamma$.\n\\item Let $g_{\\xi}(\\lambda):=g(\\lambda,\\xi)$, $g_{\\xi}:\\Delta\\to \\mathbb C$ is holomorphic, $g_{\\xi}\\in C^{1,\\alpha}(\\bar{\\Delta})$\n\\item $g_{\\xi}(\\lambda)\\neq 0$, for all $\\xi\\in \\mathbb S^1$, $\\lambda\\in \\Delta$\n\\item $g_{\\xi}(\\lambda)\\neq g_{\\eta}(\\lambda)$, for every $\\lambda\\in \\Delta$ and distinct $\\xi,\\eta\\in \\mathbb S^1$.\n\\end{enumerate}\n\nWe will also consider holomorphic transverse foliations of a smooth family graphical tori $\\{\\Gamma^t\\}$.  This refers to a smooth family of foliations of graphical tori $\\Gamma^t$ with the additional assumption that the disks from $\\Gamma^{t_1}$ are disjoint from the disks from $\\Gamma^{t_2}$ if $t_1\\ne t_2$.\n\nIn fact the leaves in all of our foliations will be closed, and thus they are also fibrations by curves.\n\n\n\n\\section{Holomorphic transverse foliations and the Finite $\\lambda$-lemma}\\label{sec:filling_theorem}\n\n\\newtheorem*{fill_th}{Filling Theorem} \n\n\\begin{fill_th} \\label{te:torus_foliation} Let $\\Gamma$ be a graphical\ntorus, then there exist a function $g:\\bar{\\Delta}\\times \\mathbb\nS^1\\to \\mathbb C$ that defines a holomorphic transverse foliation\nof $\\Gamma$. Moreover, the foliation is unique in the following strong\nsense: if there is a function $h:\\bar{\\Delta}\\to\\mathbb C$ that\ndefines a holomorphic disk with trace in $\\Gamma$, and if $h(\\lambda)\\neq 0$ for\n$\\lambda\\in \\Delta$, then there exists $\\xi\\in \\mathbb S^1$ so\nthat $h=g_{\\xi}$.\n\\end{fill_th}\n\nWe need the following slightly stronger statement to deduce the\nFinite $\\lambda$-lemma:\n\n\\newtheorem*{fill_th'}{Filling Theorem$'$}\n\n\\begin{fill_th'} Let $\\Gamma^t$, $t\\in [0,\\infty)$ be a family of graphical tori. There exists a function\n$g:\\bar{\\Delta}\\times \\mathbb S^1\\times [0,\\infty)\\to \\mathbb C$ that defines a\nholomorphic transverse foliation of the family $\\Gamma^t$. And the foliation is unique in the above mentioned strong sense.\n\\end{fill_th'}\n\nThe reduction of the Finite $\\lambda$-lemma to Filling Theorem$'$\ncan be found in \\cite{Slodkowski}. \n\\begin{proof}[Reduction of the Finite $\\lambda$-lemma to Filling Theorem$'$]\nLet $f$ be a holomorphic motion of the points $a_1,\\dots,a_n$. We\nneed to extend the motion $f$ to one more point $a_{n+1}$. To\nachieve that we construct a holomorphic motion of all of $\\mathbb\nC$ and pick the leaf that passes through the point $a_{n+1}$.\n\nWe normalize the motion so that $a_1=0$, $f(\\lambda,0)=0$ for all\n$\\lambda\\in \\Delta$. Let $\\lambda=re^{i\\theta}$. For each $r\\in\n[0,1)$, $e^{i\\theta}\\in \\mathbb S^1$ the derivative $\\frac{\\partial\nf}{\\partial r} (\\lambda, a_i)$ defines a vector $v_{\\theta}(r,a_i)$ in $\\mathbb C$. We\ncan extend it to a smooth family of vector fields $v_{\\theta}(r,\\cdot)$\non $\\mathbb C$. By integrating the vector field for $r\\in [0,1)$ and taking the union of solutions over\n$\\xi\\in \\mathbb S^1$,\nwe get a smooth motion $g:\\Delta\\times \\mathbb C\\to \\mathbb{C}$ such that\n$g(\\lambda,a_i)=f(\\lambda, a_i)$.\n\nLet $C_0^t$ be a smooth family of simple curves that foliate\n$\\mathbb C\\backslash \\{0\\}$. We choose the foliation so that\ndifferent $a_i$ belong to different curves $C_0^t$. Take $r<1$. Let\n$\\mathbb S_r=\\{\\lambda:\\,|\\lambda|=r\\}$. Let\n$C^{t}_\\lambda=g(\\lambda, C^t_0)$ for $\\lambda \\in \\mathbb S_r$.\n\nBy Filling Theorem$'$, there exists a holomorphic\nmotion with the prescribed traces $\\Gamma^t_r=\\{(\\lambda,\nC^t_{\\lambda}):\\,\\lambda\\in \\mathbb S_r\\}$. By the uniqueness, it\ncoincides with $f$ on points $a_1, \\dots, a_n$. By taking the\nlimit as $r\\to 1$, we obtain a holomorphic motion of $\\mathbb C$\nthat coincides with $f$ on $a_1,\\dots, a_n$.\n\\end{proof}\n\n\\section{Trapping holomorphic disks inside pseudoconvex domains} \\label{sec:trapping_disks}\n\nThe aim of the section is to prove a priori estimates for the derivative of a disk with the trace in a graphical torus (Corollary \\ref{cor:apriori}), which is the heart of our proof of the $\\lambda$-lemma. \n\n\\subsection{Estimates for holomorphic disks trapped inside strictly\npseudoconvex domains}\n\nThe next theorem is from \\cite{BK}, \\cite{BG}. We do not use the result of the theorem. We provide the proof to shed light on the technique we use and put the results in\na general context. \n\n\\begin{theorem} \\cite{BK}, \\cite{BG}\\label{te:angle_estimate} Let $\\Omega$ be a strictly pseudoconvex domain, and let $M$ be a totally real $2$-dimensional manifold,\n$M\\subset \\partial \\Omega$. Let $g:\\Delta\\to \\Omega$ be an injective\nholomorphic function that extends as a $C^1$ smooth function to the closure $\\bar{\\Delta}$. Set\n$D=g(\\Delta)$. Assume that $\\gamma:=\\partial D\\subset M$. Then there\nis a constant $\\alpha = \\alpha(M, \\Omega)$, so that the angle\n$\\angle(T_p\\gamma,\\xi_p)>\\alpha$ is uniformly large, independently of $D$.\n\\end{theorem}\n\n\n\n\\begin{lemma}\\label{lem:transv_ch} Under hypothesis of Theorem \\ref{te:angle_estimate}, for every point $p\\in \\gamma$, $T_p\\gamma$ is transverse to the characteristic field of directions $\\chi(M, \\Omega)$.\n\\end{lemma}\n\n\\begin{proof} Let $\\rho$ be a strictly psh function such that $\\Omega=\\{\\rho<0\\}$. The function $\\rho\\circ g:\\Delta\\to \\mathbb R$ is subharmonic. Let $p\\in \\partial \\Delta$. By the Hopf Lemma, the radial derivative $\\frac{\\partial \\left(\\rho\\circ g\\right)}{\\partial r}(p)>0$. Let $\\xi_p$ be a vector that defines the characteristic direction in a point $p$. The normal vector to the disk $g(\\Delta)$ in a point $p$ is $iT_p\\gamma$. It does not belong to the tangent plane to $\\partial \\Omega,$ so $iT_p\\gamma$ is transverse to $i\\xi_p$. Therefore, $T_p\\gamma$ is transverse to $\\xi_p$.\n\\end{proof}\n\nLet $n_p$ be the unit outward normal vector to the hypersurface $\\partial \\Omega$. The vectors $(\\xi_p, i\\xi_p, n_p, in_p)$ form an\northonormal basis in $\\mathbb C^2\\approx \\mathbb R^4$ with respect to Euclidean inner product $(\\cdot,\\cdot)$. The vectors $in_p$ and $\\xi_p$ form an orthonormal basis for $T_pM$.   Given $\\alpha$, we define a conical neighborhood of $\\xi_p$:\n$$K_{\\alpha}=\\{v\\in T_pM: (v,\\xi_p)>\\alpha(v,in_p)\\} \\subset T_pM.$$\n\n\\begin{lemma}\\label{lem:family_pseudoconvex} Let $\\Omega$ be a strictly pseudoconvex domain, and let $M\\subset \\partial \\Omega$ be totally real.  There\nexist $\\alpha>0$, and a continuous family of strictly\npseudoconvex domains $\\Omega_{\\epsilon}$ such that $M\\subset \\partial\n\\Omega_{\\epsilon}$, and the characteristic fields of directions $\\chi(M,\n\\Omega_{\\epsilon})$ fill the cone-fields $K_{\\alpha}$.\n\\end{lemma}\n\n\\begin{proof} The manifold $M$ separates $\\partial \\Omega$ into two parts\n$(\\partial \\Omega)_1$, $(\\partial \\Omega)_2$. Let $h$ be a smooth\nfunction such that\n\\begin{enumerate}\n\\item $h|_{M}=0$;\n\\item $h|_{(\\partial \\Omega)_1}>0$, $h_{(\\partial \\Omega)_2}<0$;\n\\item $\\frac{\\partial h}{\\partial (i\\xi_p)}>0$, for each $p\\in M$.\n\\end{enumerate}\nLet us denote by $\\vec{n}$ the normal field to the hypersurfaces\n$\\rho=const$. Since we can identify $T_p\\mathbb C^2$ with $\\mathbb\nC^2$, we can treat the normal vector field $n$ as a function\ndefined in a neighborhood of $\\partial \\Omega$. We use the same\nletter $n$ for this function. Let $\\rho_{\\epsilon}(z)=\\rho(z+\\epsilon h\\vec{n})$,\n$\\Omega_{\\epsilon}=\\{\\rho_{\\epsilon}<0\\}$. Then there exists $\\delta$, so that for\n$|\\epsilon|<\\delta$, $\\rho_{\\epsilon}$ are plurisubharmonic. Therefore, $\\Omega_{\\epsilon}$\nare strictly pseudoconvex, and characteristic fields of directions\nto $\\Omega_{\\epsilon}$ fill the cone field $K_{\\alpha}$.\n\n\\end{proof}\n\n\\begin{proof}[Proof of Theorem \\ref{te:angle_estimate}]\n\nLet $D\\subset \\Omega$, $\\partial D\\subset \\partial \\Omega$. Then\nby Lemma \\ref{lem:family_pseudoconvex}, there exists a continuous\nfamily of strictly pseudoconvex domains $\\Omega_{\\epsilon}$, $|\\epsilon|<\\delta$\nso that their characteristic fields of directions fill\n$C_{\\alpha}$, for some $\\alpha>0$. By Lemma\n\\ref{lem:disk_trapping}, $D\\subset \\Omega_{\\epsilon}$ for $|\\epsilon|<\\delta$.\nTherefore, an angle estimate follows.\n\\end{proof}\n\n\\subsection{Pseudoconvex domains for Graphical Tori}\nWe wish to obtain the angle estimates for graphical tori. Let $\\eta_p$ be a vector that is tangent to the curve\n$C_{\\lambda}$ in a point $p$. We want to think of $\\eta_p$ as a characteristic direction. However, a priori a graphical torus $\\Gamma$ does not belong\nto a pseudoconvex domain. It belongs to a Levi flat domain $\\{|\\lambda|=1\\}\\times \\mathbb{C}$. Our strategy is to curve this Levi\nflat domain to obtain a family of pseudoconvex domains whose boundaries contain the torus $\\Gamma$ and so that characteristic directions span a wedge around $\\eta_p$. \n\n\\begin{theorem}\\label{te:anlgle_estimate2} Let $\\Gamma$ be a graphical torus. Assume that $g:\\Delta\\to \\mathbb C$ defines a holomorphic disk $D$ with the trace $\\gamma\\subset \\Gamma$, $g(\\lambda)\\neq 0$. Then there exists a constant $\\alpha=\\alpha(\\Gamma)>0$ (independent of $D$) so that the angle $\\angle(\\eta_p,\nT_p\\gamma)$ is bounded below by $\\alpha$ independently of $D$. \n\\end{theorem}\n\nWe need Lemmas \\ref{lem:phi}, \\ref{lem:psi} and \\ref{lem:pseudo} to prove Theorem\n\\ref{te:anlgle_estimate2}.\n\nConsider a family of the graphical tori $\\Gamma^t$, $\\Gamma^1=\\Gamma$. Let $F:\\mathbb S^1\\times \\mathbb C\\to \\mathbb R$ be a defining function, $F^{-1}(t)=\\Gamma^t$. \nLet us extend $F$ to a smooth function $F: \\bar{\\Delta}\\times \\mathbb C\\to \\mathbb R$, so\nthat $F(\\lambda,w)=|w|^2$ for all $\\lambda\\in \\bar{\\Delta}$,\n$|w|\\leq \\epsilon$. We can also satisfy the condition $F'_w\\neq 0$.\n\n\\begin{lemma}\\label{lem:phi} There exists a function\n$\\phi:\\bar{\\Delta}\\times \\mathbb C\\to \\mathbb R_{\\geq 0}$, so that $\\phi$ is\nsmooth, $\\Delta_{w}\\phi>0$, and restriction of $\\phi$ to $\\mathbb S^1\\times \\mathbb C$ defines a foliation of $\\mathbb S^1\\times \\mathbb C$ by $\\Gamma^t$. We also require that for $|\\lambda|=1$\n$\\phi_{\\lambda}^{-1}(1)=C_{\\lambda}.$\n\\end{lemma}\n\n\\begin{proof} Let $F(\\lambda, w)$ be the extension defined earlier. Let $\\rho:\\mathbb R_+\\to \\mathbb R_+$\nbe an increasing convex function, $\\rho(0)=0,$ $\\rho(1)=1$. Then $\\phi=\\rho\\circ F$ is also an extension of a defining function of the foliation as well.\n\n\\begin{equation}\\label{eq:1}\n\\Delta_w(\\rho\\circ F)=\\frac14\\rho''|F_w|^2+\\frac14\\rho'\\Delta_w F\n\\end{equation}\n\nSince $F'_w(\\lambda, w)\\neq 0$, when $w\\neq 0$, so that $\\Delta_w(\\rho\\circ F)>0$ away from a neighborhood of $w=0$.  In a neighborhood of $0$, $\\Delta_w F=4$. By\ntaking $\\rho'(0)>0$, one can insure that $\\Delta(\\rho\\circ F)>0$.\n\nLet us set $\\phi=\\rho\\circ F$, then $\\phi_{\\lambda}^{-1}=C_{\\lambda}$.\n\\end{proof}\n\n\\begin{lemma}\\label{lem:psi} There exists a function $\\psi:\\bar{\\Delta}\\times \\mathbb C\\to \\mathbb R\\cup\\{-\\infty\\}$, so that $\\psi$ is smooth, $\\Delta_{w} \\psi<0$, and restriction of $\\psi$ to $\\mathbb S^1\\times \\mathbb C$ defines a foliation of $\\mathbb S^1\\times \\mathbb C$ by $\\Gamma^t$. We require that $\\psi(\\lambda,0)=-\\infty$ for all $\\lambda\\in \\bar{\\Delta}$. We also require that for $|\\lambda|=1$, $\\psi_{\\lambda}^{-1}(t)=C_{\\lambda}$.\n\\end{lemma}\n\n\\begin{proof}\nConsider a function $\\psi=c \\rho\\circ \\ln F$, where $\\rho$ is increasing, concave function, $\\rho(-\\infty)=-\\infty$.\n\n$$\\Delta_w(\\rho\\circ\\ln F)=\\frac14\\rho''\\frac{|F_w|^2}{F^2}+\\frac14\\rho' \\Delta_w (\\ln F)$$\n\nSince $F'_w\\neq 0$ when $w\\neq 0$, we can make $\\Delta_w(\\rho\\circ \\ln F)<0$. In a neighborhood of $w=0$, $\\Delta_w(\\ln F)=0$, therefore \n$\\Delta_w (\\rho\\circ \\ln F)<0$. By choosing a constant $c$, we can ensure that $\\psi_{\\lambda}^{-1}(1)=C_{\\lambda}$.\n\n\\end{proof}\n\nLet $T\\Gamma$ be the tangent space of the graphical torus $\\Gamma$. Let $K_{\\alpha}\\subset T\\Gamma$ be the cone field:\n\n$$K_{\\alpha}:=\\{(p, v):\\, v\\in T_pT, (v,\\eta_p)>\\alpha(v, \\frac{\\partial }{\\partial \\theta})\\}.$$\n$$K^{\\circ}_{\\alpha}:=\\{(p,v)\\in K_{\\alpha}:\\, v\\neq c \\eta_p, c\\in \\mathbb R \\}$$\n\n\\begin{lemma} \\label{lem:pseudo} For a graphical torus $\\Gamma$, there exist a family of pseudoconvex domains $\\Omega_{\\epsilon}$, $\\epsilon\\in [-\\delta, 0)\\cup(0,\\delta]$ and $\\alpha>0$, so that $\\Gamma\\subset \\partial \\Omega_{\\epsilon}$ and characteristic directions $\\chi(T,\\Omega_{\\epsilon})$ fill $K^{\\circ}_{\\alpha}$.\n\\end{lemma}\n\n\\begin{proof} Take\n$$\\omega_{\\epsilon}:=\\frac{1}{\\epsilon}(|\\lambda|^2-1)+\\phi,$$\nwhere $\\phi$ is a function constructed in Lemma \\ref{lem:phi}.\n\n$$\\mbox{Hess}\\,\\omega_{\\epsilon}=\\left( \\begin{array}{ll}\\frac{1}{\\epsilon}+\\frac{\\partial^2\\phi}{\\partial \\lambda\\partial\n\\overline{\\lambda}} & \\frac{\\partial^2\\phi}{\\partial w\\partial\\overline{\\lambda}}\\\\ \\frac{\\partial^2\\phi}{\\partial\\overline{w}\\partial\\lambda} & \\Delta_w\\phi\\end{array}\\right)$$\n\nFor small enough $\\epsilon$, the Hessian is positive definite, so the function $\\omega_{\\epsilon}$ is strictly plurisubharmonic.\nThe domains\n$$\\Omega_{\\epsilon}=\\{(\\lambda, w):\\,\\omega_{\\epsilon}(\\lambda, w)< 1\\}.$$\nare strictly pseudoconvex for small $\\epsilon$.\n\nLet $D$ be a holomorphic disk with the trace in $\\Gamma$.\nThe domains $\\Omega_{\\epsilon}$ converge to\n$|\\lambda|<1$.  Therefore, by Lemma~\\ref{lem:disk_trapping}, the disk $D$ is trapped in\n$\\Omega_{\\epsilon}$ for all small enough $\\epsilon$.\n\nFor small $\\epsilon$, the function\n$$\\sigma_{\\epsilon}(\\lambda,w):=\\frac{1}{\\epsilon}(|\\lambda|^2-1)-\\psi$$\nis strictly plurisubharmonic.  By the same reasoning, the disks are trapped in\n$$\\Sigma_{\\epsilon}=\\{(\\lambda, w):\\, \\sigma_{\\epsilon}<-1\\}$$\nwhen $\\epsilon$ is sufficiently small.\n\\end{proof}\n\n\\begin{proof}[Proof of Theorem \\ref{te:anlgle_estimate2}]\nBy Lemma \\ref{lem:transv_ch}, the tangent $T_p\\gamma$ is transverse to characteristic directions. Therefore, the angle estimate follows.\n\\end{proof}\n\n\\begin{corollary} \\label{cor:apriori} Let $g:\\Delta\\to \\mathbb C$ define a holomorphic disk with the trace in $\\Gamma$, $g(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$. Assume that  $g\\in C^1(\\bar{\\Delta}).$  Then there exists $C$ depending only on $\\Gamma$ such\nthat $|g'(\\lambda)|<C$ for all $\\lambda\\in \\bar{\\Delta}$. The derivative estimate stays valid for graphical tori that are\nsmall perturbations of $\\Gamma$.\n\\end{corollary}\n\n\\begin{proof} It is enough to estimate $g'(\\lambda)$ for $|\\lambda|=1$. Then $\\lambda=e^{i\\theta}$,\nso $|g'_{\\lambda}|=|g'_{\\theta}|$. Let $u,v,\\theta,r$ be an\northornormal system of coordinates in a neighborhood of $\\Gamma$. We\nassume that $u|_{\\Gamma}$ is a coordinate along $C_{\\lambda}$ and $v,u$\nare coordinates in $\\lambda=const$ plane. Then\n$g'_{\\theta}=u'_{\\theta}$ and the angle estimate implies that\n$|u'_{\\theta}|$ is uniformly bounded from below.\n\\end{proof}\n\n\n\n\\section{Proof of the Filling Theorem}\\label{sec:proof}\n\nThe proof is by continuity method. At many points we follow the treatment of \\cite{AM}. For each $\\lambda\\in \\mathbb\nS^1$ we can foliate interior of $C^t_{\\lambda}\\backslash\n\\{0\\}$ by simple smooth curves $C_{\\lambda}^s$, $s\\in (0,t)$ so that\n\\begin{enumerate}\n\\item $C^s_{\\lambda}=\\{|z|=s\\}$ for $s\\leq \\epsilon$;\n\\item $C^s_{\\lambda}$ depend smoothly on $\\lambda$.\n\\end{enumerate}\n\nLet\n$$\\Gamma^t=\\{(\\lambda,w):\\, \\lambda\\in \\mathbb S^1, w\\in\nC^t_{\\lambda}\\}$$\n$$\\Gamma^0=\\{(\\lambda, 0):\\, \\lambda\\in \\mathbb S^1\\}$$\n\n$\\Gamma^t$ by definition is a smooth family of graphical tori, ${\\Gamma}^1=\\Gamma$.\nFor $t\\leq \\epsilon$, the tori $\\Gamma^t$ are foliated by the vertical\nleaves $w=\\mbox{const}$. We will prove that the set $S$ of\nparameters $t$ such that $\\Gamma^t$ is foliated is open and closed in\n$[0,1]$, so $S=[0,1]$, and the torus $\\Gamma$ is foliated. Moreover, we\nwill prove that the foliation is unique in the strong sense.\n\nLet $F:\\mathbb S^1\\times \\mathbb C\\to \\mathbb R$ be a\ndefining function of the foliations $C^t_{\\lambda}$. For each\nfixed $\\lambda$,\n$$C^t_{\\lambda}=\\{(\\lambda, w): F(\\lambda, w)=t\\}.$$\nThe function $F$ depends smoothly on $\\lambda$. We assume that\n$F'_{w}(\\lambda, w)\\neq 0$ for $w\\neq 0$, $\\lambda\\in \\mathbb\nS^1.$\n\n\\begin{lemma} \\label{lem:winding_number} Assume that the winding\nnumber of a curve $\\{\\gamma(\\lambda):\\lambda\\in \\mathbb\nS^1_{\\lambda}\\}$ around $0$ is equal to zero. Then the winding\nnumber of the curve $\\{F'_w(\\lambda,\n\\gamma(\\lambda)):\\,\\lambda\\in\\mathbb S^1\\}$ around $0$\nis equal to zero.\n\\end{lemma}\n\\begin{proof} There is a homotopy of the curve $\\gamma,$ $G:\\gamma\\times [0,1]\\to \\mathbb C\\backslash\\{0\\}$ so that $G(\\gamma\\times\\{0\\})=\\gamma$, $G(\\gamma\\times\\{1\\})=\\mbox{const}$. The winding\nnumber of the curves $\\{F'_w(\\lambda, \\gamma^t(\\lambda)):\\, \\lambda\n\\in \\mathbb S^1\\}$ around $0$ is well defined, so it stays constant. Hence, it\nis equal to zero.\n\\end{proof}\n\n\\subsection{Regularity} \n\n\\begin{theorem}\\label{te:regularity} Let $\\Gamma$ be a graphical torus. Let $g:\\bar{\\Delta}\\to \\mathbb C$ be a function that defines a holomorphic disk with the trace $g(\\partial \\Delta) \\in \\Gamma.$ Assume $g'\\in L^{\\infty}(\\Delta)$, $g\\neq 0$ $\\forall \\lambda\\in \\Delta$. Then $g\\in C^{1,\\alpha}(\\bar{\\Delta})$, $0<\\alpha<1$.\n\\end{theorem}\n\\begin{proof} We include $\\Gamma$ into a family of graphical tori $\\Gamma^t$ with $\\Gamma^1=\\Gamma$. Let $F:\\mathbb S^1\\times \\mathbb C\\to \\mathbb R$ be a defining function for $\\Gamma^t$, $F^{-1}(t)=\\Gamma^t$. \nSince the trace of $g$ is in $\\Gamma$ we have equation:\n\n\\begin{equation}\\label{eq:def}\nF(\\lambda,g(\\lambda))=1. \n\\end{equation}\n\nLet $\\lambda=e^{i\\theta}.$ Since $g'\\in L^{\\infty}(\\Delta)$, the bounded radial limits exist almost everywhere. The function $g$ extends to be $C^{\\alpha}$ on the closed disk, and the partial derivative $g_{\\theta}$ exist a.e. We differentiate equation (\\ref{eq:def}) a.e. with respect to $\\theta$ and obtain: \n\\begin{equation}\\label{eq:der}\\lambda i F_{\\lambda}(\\lambda,g(\\lambda))-\\mbox{Im}\\left(F_w(\\lambda,g(\\lambda))g'(\\lambda)\\lambda\\right)=0.\\end{equation}\n\nThe winding number of $\\{g(\\lambda):\\lambda\\in \\mathbb S^1\\}$ around $0$ is zero, and by Lemma \\ref{lem:winding_number}, the winding number of $\\{F_w(\\lambda,g(\\lambda)):\\,\\lambda \\in\\mathbb S^1\\}$ around $0$ is zero as well. Thus we can take the logarithm and obtain \n$$F_w(\\lambda, g(\\lambda))=e^{a(\\lambda)+ib(\\lambda)}.$$\nThe left hand-side is $\\alpha$-H\\\"{o}lder continuous, so $b(\\lambda)$ is $\\alpha$-H\\\"{o}lder continuous function, and so is its Hilbert transform $Hb(\\lambda)$. Thus equation (\\ref{eq:der}) becomes\n$$\\mbox{Im} \\left(\\lambda e^{Hb(\\lambda)-ib(\\lambda)} g'(\\lambda)\\right)=e^{-a(\\lambda)}F'_{\\lambda}(\\lambda, g(\\lambda))\\lambda$$ for almost every $\\theta$. Since the right hand side is $C^{\\alpha}$, so is the\nleft hand side. Further the left hand side is the imaginary part of an analytic function \nso the function  \n$\\lambda e^{Hb(\\lambda)-ib(\\lambda)} g'(\\lambda)$ itself is $C^{\\alpha}$. Therefore, $g'\\in C^{\\alpha}(\\bar{\\Delta})$.\n\\end{proof}\n\n\\subsection{Openness}\n\nIn \\cite{B}, the stability of foliation by holomorphic disks is proved if one starts from the standard torus.\n\n\\begin{theorem}\\label{te:open} Let $\\Gamma^t$ be a family of graphical tori, $t\\in\n[0,\\infty)$. Assume that a function $g^{t_0}:\\bar{\\Delta}\\times \\mathbb\nS^1\\to \\mathbb C$ defines a holomorphic transverse foliation of a\ngraphical torus $\\Gamma^{t_0}$. Then there exists $\\delta$ and\na function $\\tilde{g}:\\bar{\\Delta}\\times \\mathbb S^1\\times\n(t_0-\\delta,t_0+\\delta)\\to \\mathbb C$ that defines a transverse\nholomorphic foliation of $\\Gamma^t$ for $|t-t_0|<\\delta$.\n\\end{theorem}\n\n\\begin{proof}\nHilbert transform\n$$H:C^{1,\\alpha}(\\mathbb S^1)\\to C^{1,\\alpha}(\\mathbb S^1)$$\nis a bounded linear operator. We change the standard normalization $Hu(0)=0$ to $Hu(1)=0$. We denote by $C_{\\mathbb R}^{1,\\alpha}(\\mathbb S^1)\\subset C^{1,\\alpha}(\\mathbb S^1)$ be the subspace of real-valued functions. The curve\n$\\{g^{t_0}_{\\xi}(\\lambda), \\lambda\\in \\mathbb S^1\\}$\nhas winding number $0$ around zero, since\n$g^{t_0}_{\\xi}(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$. Therefore, by Lemma \\ref{lem:winding_number}, the curve\n$\\{F_w(\\lambda,g^{t_0}_{\\xi}(\\lambda)):\\, \\lambda \\in \\mathbb S^1\\}$ has winding number $0$\naround $0$:\n$$F_w(\\lambda,g_{\\xi}^{t_0}(\\lambda))=e^{a_{\\xi}(\\lambda)+ib_{\\xi}(\\lambda)},$$\nwhere $\\alpha_{\\xi}(\\lambda)$, $b_{\\xi}(\\lambda)$ are H\\\"{o}lder continuous\nwith exponent $\\alpha$. Thus, $Hb_{\\xi}(\\lambda)$ is H\\\"{o}lder\ncontinuous as well.\n\n$X_{\\xi}(\\lambda):=e^{Hb_{\\xi}(\\lambda)-ib_{\\xi}(\\lambda)}$ is a holomorphic\nfunction on $\\Delta$ and is proportional to the normal vector to\n$C^t_{\\lambda}$ in points $(\\lambda,g^t_{\\xi}(\\lambda))$.\n\nFunctions of the form $(u(\\lambda)+iHu(\\lambda))X_{\\xi}(\\lambda)$ give\nall holomorphic functions that are H\\\"{o}lder continuous up to the\nboundary with the condition that $(u_{\\xi}(1)+i Hu_{\\xi}(1))X_{\\xi}(1)$ is proportional\nto the normal vector to $C_1^t$ in a point $g^t_{\\xi}(1)$. There\nexists an $\\epsilon$ such that for each point $\\eta\\in C^t_1$,\n$|t-t_0|<\\epsilon$, there is only one normal vector that\nintersects $C_1^t$ in a point $\\eta$.\n\nThe space $C^0(\\mathbb S^1, C^{1,\\alpha}(\\mathbb\nS^1))$ is a Banach space with the norm\n$$||u||=\\sup_{\\xi\\in \\mathbb S^1, \\lambda\\in \\mathbb S^1} |u_{\\xi}(\\lambda)|+\\sup_{\\xi\\in \\mathbb S^1, \\lambda\\in \\mathbb S^1} |u'_{\\xi}(\\lambda)|+\\sup_{\\xi\\in \\mathbb S^1,\\lambda_1\\neq \\lambda_2\\in \\mathbb S^1}\\frac{|u'_\\xi(\\lambda_1)-u'_{\\xi}(\\lambda_2)|}{|\\lambda_1-\\lambda_2|^{\\alpha}}.$$\nConsider an operator \n$${\\mathcal F}:\\mathbb R_t\\times C^0(\\mathbb S^1_{\\xi},\nC_{\\mathbb R}^{1,\\alpha}(\\mathbb S^1_{\\lambda}))\\to C^0(\\mathbb S_{\\xi}^1,\nC_{\\mathbb R}^{1,\\alpha}(\\mathbb S_{\\lambda}^1)):$$\nwhere ${\\mathcal F}$ is a function of two variable $(t,u_{\\xi})$. We consider function $u_\\xi(\\lambda)$ as an element of $C^0({\\Bbb S}_\\xi^1,C^{1,\\alpha}({\\Bbb S}_\\lambda^1)).$ \n$${\\mathcal F}(t,u): {\\Bbb S}^1\\ni (t,\\xi)\\to F \\left(  \\lambda, g_\\xi(\\lambda) + (u_\\xi + i H u_\\xi)X_\\xi(\\lambda) \\right)   - t  \\in C^{1,\\alpha}({\\Bbb S}_\\lambda^1) $$\nFor $0<\\alpha<1$, $H$ is a bounded linear operator, so ${\\mathcal F}$ is a continuous mapping of Banach spaces.  Further, when ${\\mathcal F}$ is considered as a \nmap from ${\\Bbb R}\\times {\\Bbb S}^1_\\xi$ to $C^{0,\\alpha}({\\Bbb S}^1_\\lambda)$, it is  differentiable, and we compute the differential of ${\\mathcal F}$ at $u_\\xi=0$ in the direction $\\delta u_\\xi$: \n$$D{\\mathcal F}(t,0; \\delta u_\\xi) = e^{a_\\xi(\\lambda) - Hb_\\xi(\\lambda)}\\delta u_\\xi(\\lambda).$$\nSince  ${\\mathcal F}(t,0; \\delta u_\\xi)$ is an invertible linear operator, we can define $u^t_{\\xi}$ as the unique element of $C^0({\\Bbb S}_\\xi^1,C^{1,\\alpha}({\\Bbb S}_\\lambda^1))$ satisfying\n${\\mathcal F}(t, u_{\\xi}^t)=0.$ \nAnd the function $\\tilde{g}(\\lambda, \\xi,t)=g^{t_0}_{\\xi}(\\lambda)+u_{\\xi}^t(\\lambda)$ defines a\nholomorphic transverse foliation and is of class $C^{1,\\alpha}$ on\n$\\bar{\\Delta}$. By continuity, for $\\xi\\neq \\eta$, $g^t_{\\xi}(\\lambda)\\neq g^{t}_{\\eta}(\\lambda)$ for $\\lambda\\in \\Delta$.\n\n\\end{proof}\nThis also gives us the openness for one disk.\n\n\\begin{theorem}\\label{te:open_leaf} Let $\\Gamma^t$, $t\\in I$ be a family of graphical tori. Let $g^{t_0}:\\bar{\\Delta}\\to \\mathbb C$ be a function that defines a holomorphic disk with the trace in the torus $\\Gamma^{t_0}$. Assume that $g^{t_0}\\in C^{1,\\alpha}(\\bar{\\Delta})$, \n$g^{t_0}(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$. \nThen there exists $\\delta$ and a continuous function $g:\\bar{\\Delta}\\times(t_0-\\delta,t_0+\\delta)\\to \\mathbb C$ such that $g^t(\\lambda):=g(\\lambda,t)$ defines a holomorphic disk with the trace in $\\Gamma^t$ and $g^t\\in C^{1,\\alpha}(\\bar{\\Delta})$, $g^t(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$.\n\\end{theorem}\n\n\\subsection{Closedness}\n\n\\begin{theorem} Let $\\Gamma^t$, $t\\in [0, \\infty)$ be a family of graphical tori.\nSuppose that there exists $g:\\bar{\\Delta}\\times \\mathbb S^1\\times\n[0,t_0)\\to \\mathbb C$ that defines a holomorphic transverse\nfoliation of $\\Gamma^t$. Then $g$ can be extended to\n$g:\\bar{\\Delta}\\times \\mathbb S^1\\times [0,t_0]\\to \\mathbb C$ that\ndefines a holomorphic transverse foliation.\n\\end{theorem}\n\n\\begin{proof} By Corollary \\ref{cor:apriori}, there exists $C$ that depends only on $\\Gamma^{t_0}$ so that $|\\left(g_{\\xi}^t\\right)'|<C$ for $t<t_0$ close to $t_0$. Since the space of bounded holomorphic\nfunctions on $\\Delta$ is compact, we can pass to the limit. Let $g_{\\xi}^{t_0}$ be the limits, $|\\left(g^{t_0}_{\\xi}\\right)'|\\leq C$. By Regularity Theorem \\ref{te:regularity}, \n$g_{\\xi}^{t_0}\\in C^{1,\\alpha}(\\bar{\\Delta})$.\n\\end{proof}\n\nThis also give us closedness for a family of disks.\n\n\\begin{theorem}\\label{te:close_leaf} Let $\\Gamma^t$, $t\\in [0, \\infty)$ be a family of graphical tori.\nAssume that $g:\\bar{\\Delta}\\times [0,t_0)\\to \\mathbb C$ is a\ncontinuous function such that $g^t(\\lambda):=g(\\lambda,t)$ defines\na holomorphic disk with the trace in $\\Gamma^t$, $g^t\\in C^{1,\\alpha}(\\bar{\\Delta})$, $g^t(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$. Then $g$ can be extended\nto a continuous $g:\\bar{\\Delta}\\times [0,t_0]\\to \\mathbb C$ such\nthat $g^{t_0}$ defines a holomorphic disk with the trace in $\\Gamma^{t_0}$, $g^{t_0}(\\lambda)\\neq 0$ for $\\lambda\\in \\Delta$.\n\\end{theorem}\n\n\n\n\\subsection{Uniqueness} \n\nLet $\\Gamma^c=\\{(\\lambda, w):\\, |w|=c, |\\lambda|=1\\}$ be standard tori.\nLet $g:\\Delta\\to \\mathbb C$ be a function that defines a holomorphic disk with the trace of $g(\\partial \\Delta)\\in \\Gamma^c$. By the Minimum Modulus \nTheorem, $\\min$ of $g$ is attained on the boundary.\nMaximum modulus is attained on the boundary as well. So\n$|g(\\lambda)|=\\mbox{const}$. Therefore, $g(\\lambda)=\\mbox{const}$.\n\n\\begin{theorem}\\label{te:loc_uniqueness} Let $\\Gamma$ be a graphical torus. Let $g,h:\\bar{\\Delta}\\to \\mathbb\nC$ be functions that define holomorphic disks with traces in $\\Gamma$, $g(\\lambda)\\neq 0$, $h(\\lambda)\\neq 0$ for $\\lambda \\in \\Delta$.\nAssume that $g(1)=h(1)$. Then there exists $\\epsilon$ such that $|g(\\lambda)-h(\\lambda)|<\\epsilon\\, \\mbox{for}\\, \\lambda\\in \\mathbb\nS^1$ implies $g(\\lambda)\\equiv h(\\lambda)$.\n\nNote that the same $\\epsilon$ works for tori close to $\\Gamma$.\n\\end{theorem}\n\n\\begin{proof}\n\nLet $a(\\lambda,s)=F(\\lambda,g(\\lambda)+s(h(\\lambda)-g(\\lambda)))$,\n$a(\\lambda,0)=a(\\lambda, 1)=t$. Then\n\\begin{equation}\\label{eq:nrh}\n\\int_0^1 a_s ds=0=Re(h(\\lambda)-g(\\lambda))\\int_0^1 F_w\n\\big(g(\\lambda)+s(h(\\lambda)-g(\\lambda))\\big)ds.\n\\end{equation}\n\nThe winding number of the curve $\\{g(\\lambda):\\lambda\\in \\mathbb\nS^1\\}$ around $0$ is equal to zero. Hence, by Lemma\n\\ref{lem:winding_number}, the winding number of \n$$\n\\{F_w(\\lambda, g(\\lambda)):\\,\\lambda \\in \\mathbb S^1\\}\n$$\naround $0$ is\nequal to zero.\n\nTherefore, for small enough $\\epsilon$, the winding number of the curve\n$$\\left\\{\\int_0^1 F_w\\left(g(\\lambda)+s(h(\\lambda)-g(\\lambda)\\right)ds:\\,\\lambda \\in \\mathbb S^1 \\right\\}$$ around $0$ is equal to zero, so\n\n$$\n\\int_0^1 F_w\\big(g(\\lambda)+s(h(\\lambda)-g(\\lambda))\\big)ds=e^{a(\\lambda)+ib(\\lambda)}.$$\n\nThe function $b(\\lambda)$ is a bounded H\\\"{o}lder continuous function.\n\nBy equation (\\ref{eq:nrh}), $\\arg \\left(g(\\lambda)-h(\\lambda)\\right)=\\frac{\\pi}{2}-b(\\lambda)$, where $b(\\lambda)$ is a bounded function. It contradicts the fact that $g(1)-h(1)=0$. \n\\end{proof}\n\n\\subsection{Global Uniqueness}\n\\begin{theorem}\\label{te:uniqueness} Let $\\Gamma$ be a graphical torus. Let $g^1,h^1:\\bar{\\Delta}\\to \\mathbb\nC$ be functions that define holomorphic disks with traces in $\\Gamma$, $g^1, h^1\\in C^{1,\\alpha}(\\bar{\\Delta})$.\nAssume that $g^1(1)=h^1(1)$. Then $g^1(\\lambda)=h^1(\\lambda)$.\n\\end{theorem}\n\n\\begin{proof}\nWe include torus $\\Gamma$ into a family of\ngraphical tori $\\Gamma^t$, $t\\in [0,1]$, $\\Gamma^1=\\Gamma$. By Theorems\n\\ref{te:open_leaf}, \\ref{te:close_leaf}, there exist functions\n$g,h:\\bar{\\Delta}\\times[0,1]\\to \\mathbb C$ such that $g(\\lambda, 1)=g^1$, $h(\\lambda,1)=h^1$ and\n$g^t(\\lambda):=g(\\lambda, t)$ define holomorphic disks with the traces in tori $\\Gamma^t$, . There\nexists $\\epsilon$ such that for $t<\\epsilon$, $\\Gamma^t=\\{(\\lambda, w):\\, |w|=t, \\lambda \\in \\mathbb S^1_{\\lambda}\\}$, $t\\in [0,1]$ are standard tori with uniqueness of solutions. For $t<\\epsilon$, $g^t\\equiv h^t$. Let $t_0=\\sup \\{t:\\, h^t\\equiv g^t\\}$. If $t_0\\neq 1$, then by applying Theorem \\ref{te:loc_uniqueness}, we get a contradiction.\n\\end{proof}\n\nAt this point we have proved the Filling theorem. For Filling Theorem$'$ the only statement remains is to show that disks for $\\Gamma^{t_1}$ are disjoint from disks\nfor $\\Gamma^{t_2}$ when $t_1\\neq t_2$. Suppose $D^{t_j}$ is a disk with boundary in $\\Gamma^{t_j}$. If $D^{t_1}\\cap D^{t_2}\\neq \\emptyset$, then since the traces are in \n$\\Gamma^{t_1}$ and $\\Gamma^{t_2}$ we will have \n$D_{\\xi_1}^{t_1}\\cap D_{\\xi_2}^{t_1}\\neq \\emptyset$ for all $\\xi_1,\\xi_2\\in \\mathbb S^1$. By Filling Theorem, the disks $D_{\\xi_1}^{t_1}\\cap D_{\\xi_2}^{t_1}=\\emptyset$ for $\\xi_1\\neq\\xi_2$. However, there is a continuous family of disks $D_{\\xi}^t$, $t\\in [t_1,t_2]$, which is a contradiction.\n\n\\bibliographystyle{plain}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\\label{section:aa}\n\\input{aa}\n\n\\paragraph*{Outline}\nIn \\cref{section:python}, we apply Grigore's reduction to Python type hints and deduce that they are Turing complete.\n\\Cref{section:real} introduces an alternative design for subtyping machines that simulate the TMs in real time, i.e., make $O(1)$ operations for each TM transition.\nFinally, \\cref{section:implementation} presents our Python implementations of Grigore's original reduction and the new reduction and compares their performances.\n\n\\section{Python Subtyping is Undecidable}\n\\label{section:python}\n\\input{python}\n\n\\section{Real-Time Subtyping Machines}\n\\label{section:real}\n\\input{real}\n\n\\section{Implementation and Performance Experiment}\n\\label{section:implementation}\n\\input{implementation}\n\n\\newpage\n\n\\bibliographystyle{plain}\n\n\\subsection{Nominal Subtyping with Variance}\n\nSubtyping is a type system decision problem.\nGiven types $t$ and $s$, the type system should decide whether type $t$\nis a subtype of $s$, \\[\n    t \\subtype s,\n\\] meaning that every $t$ object is also a member of $s$.\nFor example, every string is an object, $\\text{\\lstinline\/str\/}\\subtype \\text{\\lstinline\/object\/}$, but not every object is a string, $\\text{\\lstinline\/str\/}\\nsubtype \\text{\\lstinline\/object\/}$.\nSubtyping is found, e.g., in variable assignments:\n\\begin{lstlisting}[language=python]\nx: t = ...\ny: s = x  # t$\\color{comment}\\subtype$s\n\\end{lstlisting}\nThe second assignment compiles if and only if $t \\subtype s$.\n\nObject-oriented languages such as Scala, C\\#, and Python use \\emph{nominal subtyping with variance} \\cite{Kennedy:2007}.\n\\emph{Nominal} means that subtyping is guided by inheritance.\nType \\inline{c1} is a subtype of type \\inline{c2} if class \\inline{c1} is a descendant of \\inline{c2}:\n\\begin{lstlisting}[language=python]\nclass s: ...\nclass t(s): ...\nx: t = ...\ny: s = x  # vvv\n\\end{lstlisting}\n\\emph{Variance} enables variability in type arguments.\nBy default, type \\inline{t[v]} is a subtype of \\inline{t[w]} if and only if $\\text{\\inline{v}}=\\text{\\inline{w}}$.\nIf \\inline{t}'s type parameter is covariant, then \\inline{v} can be any subtype of \\inline{w}, $\\text{\\inline{v}}\\subtype\\text{\\inline{w}}$;\nIf it is contravariant, then $\\text{\\inline{v}}\\suptype\\text{\\inline{w}}$.\nIn Python, variance is specified in an argument to \\inline{TypeVar} (the constructor of type parameters).\nFor example, the following Python program uses contravariance and is correctly typed:\n\\begin{lstlisting}\nX = TypeVar(\"X\", contravariant=True)\nclass t(Generic[X]): ...\nx: t[int] = t[object]()  # vvv (int$\\color{comment}\\subtype$object)\n\\end{lstlisting}\n\nKennedy and Pierce showed that nominal subtyping with variance is undecidable \\cite{Kennedy:2007} using a reduction from the Post correspondence problem (PCP) \\cite{Post:1946}.\nTheir work focused on three subtyping features (characteristics):\n\\begin{enumerate}\n    \\item \\emph{Contravariance}:\n        The presence of contravariant type parameters, as described above.\n    \\item \\emph{Expansively recursive inheritance}:\n        The closure of types under the inheritance relation and type decomposition ($\\text{\\inline{t[v]}} \\rightarrow \\text{\\inline{v}}$) is unbounded.\n        (The concept of expansive inheritance was introduced by Viroli using a different definition \\cite{Viroli:2000}.)\n    \\item \\emph{Multiple instantiation inheritance}:\n        Class \\inline{t} is allowed to derive class \\inline{s[$\\cdot$]} multiple times using different type arguments:\n\\begin{lstlisting}[language=python]\nclass t(s[object], s[int]): ...  # not legal in Python\n\\end{lstlisting}\n\\end{enumerate}\nKennedy and Pierce proved that subtyping becomes decidable when contravariance or expansive inheritance are removed, but they were uncertain about the contribution of multiple instantiation inheritance to undecidability.\n\n\\subsection{Subtyping Machines}\n\nTen years later, Grigore showed that Java subtyping is Turing complete using a direct reduction from TMs \\cite{Grigore:2017}.\nThis reduction uses a subset of Java that conforms to Kennedy and Pierce's nominal subtyping with variance.\nGrigore's result settles Kennedy and Pierce's open problem since Java does not support multiple instantiation inheritance \\cite[\\S8.1.5]{JLS:2015}.\n(Intuitively, multiple instantiation inheritance corresponds to non-deterministic subtyping \\cite{Kennedy:2007,Roth:2021}, so while it was useful in the PCP reduction, it is redundant in the TM reduction because deterministic TMs are as expressive as non-deterministic TMs.)\n\nGrigore's reduction can be described as a function\n\\begin{equation}\\label{eq:encoding:function}\n    e(M, w) = \\Delta \\cdot q\n\\end{equation}\nthat encodes TM $M$ and input word $w$ as program $P=\\Delta \\cdot q$ consisting of class table $\\Delta$ and subtyping query $q$.\nThe encoding ensures that TM $M$ accepts $w$ if and only if query $q$ type-checks against $\\Delta$.\n\nThe idea behind the reduction is to encode the TM configuration in the subtyping query $q$.\nRecall that the configuration of TM $M$ comprises \\1 the content of the memory tape, \\2 the location of the machine head on the tape, and \\3 the current state of the machine's finite control.\nFor example, \\cref{figure:tm:configuration} illustrates the initial configuration of $M$:\nThe input word $w=a_1a_2\\ldots a_m$ is written on the tape, the machine head points to the first letter $a_1$, and the current state is the initial state $q_I$.\n\n\\begin{figure}[ht]\n  \\vspace{1ex}\n  \\centering\n  \\begin{tikzpicture}\n    \\tikzstyle{cell}=[draw,minimum width=5ex,minimum height=3.5ex,text=#1]\n    \\tikzstyle{bcell}=[cell=botcolor]\n    \\tikzstyle{scell}=[cell=symbcolor]\n    \\node[text=botcolor] (dots1) {$\\cdots$};\n    \\node[bcell] (b1) [right=0pt of dots1] {$\\bot$};\n    \\node[bcell] (b2) [right=-.5pt of b1] {$\\bot$};\n    \\node[scell] (a1) [right=-.5pt of b2] {$a_1$};\n    \\node[scell] (a2) [right=-.5pt of a1] {$a_2$};\n    \\node[text=symbcolor] (dots2) [right=0pt of a2] {$\\cdots$};\n    \\node[scell] (am) [right=0pt of dots2] {$a_m$};\n    \\node[bcell] (b3) [right=-.5pt of am] {$\\bot$};\n    \\node[bcell] (b4) [right=-.5pt of b3] {$\\bot$};\n    \\node[text=botcolor] (dots3) [right=0pt of b4] {$\\cdots$};\n    \\draw[->,thick,headcolor] ([yshift=-2ex]a1.south)--(a1.south);\n    \\node[draw,circle,text=statecolor] (state) [below=2ex of a1.south] {$q_I$};\n  \\end{tikzpicture}\n  \\caption{The initial configuration of a Turing machine}\n  \\label{figure:tm:configuration}\n\\end{figure}\n\nTo explain how configurations are encoded as subtyping queries, let us first introduce some syntax (adopted from Grigore's paper).\nWe write a generic type \\inline{A<B<C>>} as $ABC$ for short.\nThe use of $\\fsubtype$ instead of $\\subtype$ in a subtyping query means that the type on the left-hand side should be read in reverse (the same goes for $\\fsuptype$ and $\\suptype$), e.g., $ABC \\fsubtype DE$ is equivalent to $CBA \\subtype DE$.\n\nThe initial TM configuration, depicted in \\cref{figure:tm:configuration}, is encoded by the following subtyping query:\n\\begin{equation}\\label{eq:initial:query}\n  {\\color{botcolor}ZEEL_ \\#}N{\\color{headcolor}M^L}N{\\color{symbcolor}L_{a_1}}N{\\color{symbcolor}L_{a_2}}N \\cdots\n  N{\\color{symbcolor}L_{a_m}}N{\\color{botcolor}L_ \\#}{\\color{statecolor}Q_I^{wR}}\n  \\fsubtype {\\color{botcolor}EEZ}\n\\end{equation}\nObserve that the types in \\cref{eq:initial:query} have the same colors as the machine configuration elements in \\cref{figure:tm:configuration} which they encode.\nFor example, the type $L_{a_1}$ encodes the tape symbol $a_1$, and both are colored in purple.\nAs the type on the left-hand side is written in reverse, it is possible to obtain the content of the encoded tape by reading the $L$ types from the left to the right.\nThe type $EEZ$ at both ends of the query encodes an infinite sequence of blank symbols.\nThe machine state $q_I$ is encoded by the type $Q^{wR}_I$, and the machine head by the type $M^L$ (the superscripts vary).\n\nGrigore referred to the subtyping query in \\cref{eq:initial:query} as a \\emph{subtyping machine} because when the subtyping algorithm tries to resolve it, it simulates the computation steps of the original TM.\nThe state type $Q_I$ is moved along the tape until it reaches the head type $M^L$.\nAt that point, the subtyping algorithm simulates a single TM transition by overwriting the current tape cell $L_{a_1}$, moving the machine head, and changing the machine state.\nThe resulting subtyping query correctly encodes the next configuration in the TM run.\nThis process continues until the machine accepts, and the query is resolved, or the machine aborts and a compilation error is raised.\nIf the machine runs indefinitely, the subtyping algorithm does not terminate.\n\nWhile TMs move the machine head to the left or right freely, subtyping machines can change direction only when reaching the end of the tape $EEZ$.\nAfter simulating a TM transition, the subtyping machine must reach the end(s) of the tape, rotate, and then reach the location of the machine head $M$ in the right orientation, before it can simulate the next transition.\nIn general, Grigore's subtyping machines can make $O(m)$ operations for every computation step of the TM they simulate, where $m$ is the number of symbols on the tape, resulting in a substantial slowdown.\nFor example, Grigore's simulation of the CYK algorithm, which usually runs in $O(n^3)$, takes $O(n^9)$ subtyping deduction steps to be completed.\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nIn the classical Boolean continuum \npercolation model (see \\cite{MR} for an overview), \none considers \na homogeneous Poisson process $\\eta$ of rate $\\lambda>0$ in ${\\mathbb{R}}^d$, \nand around each point $x\\in \\eta$ one places a ball $B(x,r)$ of radius $r.$ \nThe main object of study is then \n\\begin{equation} \\label{eqn:Cdef}\n{\\mathcal{C}}:=\\bigcup_{x\\in \\eta}B(x,r),\n\\end{equation}\nwhich is referred to as the {\\em occupied} set.\nIt is well known (see \\cite{MR}, Chapter 3) that there exists an \n$r_c=r_c(d)\\in(0,\\infty)$ such that \n\\[\nr_c:=\\inf\\{r:{\\mathbb{P}}({\\mathcal{C}}(r) \\textrm{ contains an unbounded component})>0\\}.\n\\]\nIt is also well known that \n${\\mathbb{P}}({\\mathcal{C}}(r) \\textrm{ contains an unbounded component})\\in \\{0,1\\}.$\nAn immediate scaling argument shows that varying $\\lambda$ is equivalent\nto varying $r,$ and so one can fix $\\lambda=1.$\nThis model was introduce by Gilbert in \\cite{Gilbert} and further studied \nin \\cite{Alexander}, \\cite{BenSchramm}, \\cite{MenshSid} and \\cite{Roy}\n(to name a few), while a dynamical version of this model was studied \nin \\cite{ABGM}.\n\nWe consider a natural extension of this model. \nLet $\\eta$ be a Poisson process with rate $\\lambda$ in\n${\\mathbb{R}}^d,$ and let $x\\in \\eta$ denote a point in this process\n(here we use the standard abuse of notation by writing \n$x\\in \\eta$ instead of $x\\in {\\rm supp}(\\eta)$).\nFurthermore, let $l:(0,\\infty) \\to (0,\\infty)$ be a non-increasing function \nthat we will call the {\\em attenuation} function.\nWe then define the random field \n$\\Psi=\\Psi(l,\\eta)$ at any point $y\\in {\\mathbb{R}}^d$ by\n\\begin{equation} \\label{eqn:Psidef}\n\\Psi(y):=\\sum_{x\\in \\eta}l(|x-y|).\n\\end{equation}\nIn order for this to be well defined at every point, we let \n$l(0):=\\lim_{r \\to 0}l(r)$ (which can possibly be infinite). \nOne can think of $\\Psi$ as a random potential field where the \ncontribution form a single point $x\\in \\eta$ is determined \nby the function $l.$\n\nFor any $0<h<\\infty,$ we define \n\\[\n\\Psi_{\\geq h}:=\\{y\\in {\\mathbb{R}}^d: \\Psi(y)\\geq h\\},\n\\]\nwhich is simply the part of the random field $\\Psi$  \nwhich is at or above the level $h.$ Sometimes we also need \n\\[\n\\Psi_{> h}:=\\{y\\in {\\mathbb{R}}^d: \\Psi(y)> h\\}.\n\\]\n\nWe note that if we consider our general model with $l(|x|)=I(|x|\\leq r)$ \n(where $I$ is an indicator function), we have that \n${\\mathcal{C}}$ and $\\Psi_{\\geq 1}$ have the same distribution, so the Boolean \npercolation model can be regarded \nas a special case of our more general model. \n\nWhen $l$ has unbounded support, adding or removing\na single point of $\\eta$ will affect the field $\\Psi$ at every point\nof ${\\mathbb{R}}^d.$ Thus, our model does not have a so-called finite\nenergy condition\nwhich is the key \nto many standard proofs\nin percolation theory. This is what makes studying $\\Psi$\nchallenging (and in our opinion interesting). However, if we assume \nthat $l$ has bounded support, a version of finite energy is recovered \n(see also the remark in Section \\ref{sec:uniqueness} after the proof of \nour uniqueness result, Theorem \\ref{thm:uniqueness}).\n\n\nIt is easy to see that varying $h$\nand varying $\\lambda$ is {\\em not} equivalent. However, we will \nnevertheless restrict our attention to the case $\\lambda=1$. \nIn fact, there are many different sub-cases \nand generalizations that can be studied.\nFor instance: We can let $\\lambda\\in {\\mathbb{R}},$ we can study $l$ having bounded\nor unbounded support, we can let $l$ be a bounded or unbounded function,\nlet $l$ be continuous or discontinuous and we can study $\\Psi_{\\geq h}$\nor $\\Psi_{> h}$, to name a few possibilities.\nWhile some results (Theorems \\ref{thm:hcfinite} and \\ref{thm:hcNT}) \ninclude all or most of the cases listed, others \n(Proposition \\ref{prop:contfield} and Theorems \\ref{thm:uniqueness}\nand Theorem \\ref{thm:thetacont}) require more specialized proofs.\nThe purpose of this paper is {\\em not} to handle all different cases. \nInstead, we will focus on the extension of the classical Boolean percolation model\nthat we find to be the most natural\nand interesting; when $l$ is continuous and with \nunbounded support.\\\\\n\n\nWe will now proceed to state our results, but first we \nhave the following natural definition.\n\\begin{definition}\nIf $\\Psi_{\\geq h}$ ($\\Psi_{> h}$) contains an unbounded connected component, \nwe say that \n$\\Psi$ {\\em percolates} at (above) level $h,$ or simply that $\\Psi_{\\geq h}$\n($\\Psi_{> h}$) percolates.\n\\end{definition}\nOne would of course expect that percolation occurs either with probability 0 \nor with probability 1, and indeed, our next result shows just that.\n\\begin{proposition} \\label{prop:perc01}\nWe have that \n\\[\n{\\mathbb{P}}(\\Psi_{\\geq h} \\textrm{ percolates})\\in\\{0,1\\}\n\\textrm{ and } {\\mathbb{P}}(\\Psi_{>h} \\textrm{ percolates})\\in\\{0,1\\}.\n\\]\n\\end{proposition}\n\n\\medskip\\noindent\n{\\bf Proof.} \nThis follows from a classical \nergodicity argument. Indeed, the random field $\\Psi$ is ergodic with \nrespect to the \ngroup of translations of the space, see for instance the argument \nin \\cite{MR}, Section 2.1, \nwhere it is formulated for the Boolean model and the random connection \nmodel, but the \nargument applies to our case as well. Since the event that \n$\\Psi_{\\geq h}$ percolates \nis invariant under translations, it must then have probability 0 or 1. \n\\fbox{}\\\\\n\nWe now define\n\\[\nh_c:=\\sup\\{h:\\Psi_{\\geq h} \\textrm{ percolates with probability 1}\\}.\n\\]\nIf we define $\\tilde{h}_c$ as above, but with $\\Psi_{\\geq h}$\nreplaced by $\\Psi_{>h},$ we see that $h_c=\\tilde{h}_c.$ Indeed, \nif $h<h_c$ then $h\\leq \\tilde{h}_c$ so that $h_c\\leq \\tilde{h}_c.$\nAlso, if $h_c<\\tilde{h}_c$ then we can find $h_c<g<\\tilde{h}_c$\nso that $\\Psi_{>g}$ percolates while $\\Psi_{\\geq g}$ does not.\nThis is clearly impossible since $\\Psi_{\\geq g} \\subset \\Psi_{>g}.$\n\nOne of the main efforts of this paper is to establish conditions \nunder which $h_c$ is nontrivial. \nAs we will see, our results are qualitatively different depending on \nwhether the attenuation function $l$ has bounded support or not. \nOur first main result is the following. \n\n\\begin{theorem} \\label{thm:hcfinite}\nIf the attenuation function $l$ satisfies $\\int_{1}^\\infty r^{d-1}l(r)dr<\\infty,$\nthen $h_c<\\infty.$ If instead $\\int_{1}^\\infty r^{d-1}l(r)dr=\\infty,$\nthen almost surely $\\Psi(y)=\\infty$ for every $y\\in {\\mathbb{R}}^d$, and so $h_c=\\infty.$\n\\end{theorem}\n\\noindent\n{\\bf Remark:} The choice of the lower integral boundary 1 in $\\int_{1}^\\infty r^{d-1}l(r)dr$ \nis somewhat arbitrary, as replacing it with $\\int_{c}^\\infty r^{d-1}l(r)dr$ for any \n$0<c<\\infty,$ would give the same result. \nNote also that if $l$ has bounded support, we must have that \n$\\int_{1}^\\infty r^{d-1}l(r)dr<\\infty.$\n\\bigskip\n\nOur next result concerns the positivity of $h_c.$ The proof is \nvery straightforward and complements Theorem \\ref{thm:hcfinite}. \nWe define $r_l:=\\sup\\{r:l(r)>0\\}$.\n\n\\begin{theorem} \\label{thm:hcNT}\nFor $d=2,$ then $h_c>0$ iff $r_l> r_c.$\nFor $d\\geq 3,$ $h_c>0$ if $r_l> r_c$ while\n$h_c=0$ if $r_l< r_c.$\n\\end{theorem}\n\\noindent\n{\\bf Remark:} As is clear from the proof, the gap when $r_l=r_c$\nfor $d\\geq 3,$ is simply due to the fact that for $d \\geq 3$ it is unknown whether \n${\\mathbb{P}}({\\mathcal{C}}(r_c) \\textrm{ contains an unbounded component})$ is 0 (as when $d=2)$ \nor 1.\n \n\\bigskip\n\nWe highlight our interest in the case when $l$ has unbounded support by formulating the following \nimmediate corollary.\n\\begin{corollary}\nIf the attenuation function $l$ has unbounded support, \nthen $0<h_c<\\infty$ if and only if \n $\\int_{1}^\\infty r^{d-1}l(r)dr<\\infty.$\n\\end{corollary}\nFor the rest of this section, we will only consider functions $l$\nsatisfying $\\int_1^\\infty r^{d-1}l(r)dr<\\infty$.\n\nWe remark that mere a.s.\\ finiteness of the field $\\Psi$ does not guarantee that \nthere is a nontrivial phase transition. Indeed, one can construct an example \n(following the examples of \\cite{MR} Chapter 7.7)\nof a stationary process together with a suitable attenuation function so that the \nensuing field is finite a.s., while $h_c=\\infty.$ \n\nNext, we turn to the everywhere continuity of the field $\\Psi$. \nOf course, if $l$ is not continuous, everywhere continuity of $\\Psi$ cannot hold. \nHowever, if $l$ is continuous then everywhere \ncontinuity of the field $\\Psi$ would be expected. We note that in the case of \n$l$ being unbounded (i.e. $\\lim_{r \\to 0}l(r)=\\infty$), we simply define\n$\\Psi(y)=\\infty$ for every $y\\in \\eta.$\n\n\\begin{proposition} \\label{prop:contfield}\nIf $l$ is continuous, then\nthe random field $\\Psi$ is a.s.\\ everywhere continuous.\n\\end{proposition}\n\nProposition \\ref{prop:contfield}\nwill be of use when proving our next result concerning uniqueness of the \nunbounded component.\n\n\\begin{theorem}\n\\label{thm:uniqueness}\nLet $h$ be such that $\\Psi_{\\geq h}$ ($\\Psi_{>h}$) contains an \nunbounded component.\nIf $l$ is continuous and with unbounded support, then for $d=2$,\nthere is a unique such unbounded component.\n\\end{theorem}\n\\noindent\n{\\bf Remarks:} \nWe will prove this theorem first for $\\Psi_{>h}$ and then infer it for \n$\\Psi_{\\geq h}$, see also the discussion before the proof of the theorem.\n\nThere are of course a number of possible generalizations of \nthis statement, and perhaps the most interesting\/natural would be to investigate\nit for $d\\geq 3.$ We discuss this in some detail after the proof of \nTheorem \\ref{thm:uniqueness}. \\\\\n\nLet ${\\mathcal{C}}_{o,\\geq}(h)$ (${\\mathcal{C}}_{o,>}(h)$) be the connected component of \n$\\Psi_{\\geq h}$ ($\\Psi_{> h}$) that contains the origin $o.$ Define \nthe percolation function\n\\[\n\\theta_{\\geq}(h):={\\mathbb{P}}({\\mathcal{C}}_{o,\\geq}(h) \\textrm{ is unbounded}),\n\\]\nand similarly define $\\theta_>(h)$. Our last result is the following.\n\n\\begin{theorem} \\label{thm:thetacont}\nThe functions $\\theta_{\\geq}(h)$ and $\\theta_{>}(h)$ are equal and \ncontinuous for $h<h_c$.\n\\end{theorem}\n\n\n\\medskip\n\nThe rest of the paper is organized as follows. \nIn Section \\ref{sec:phasetransition}\nwe prove Theorems \\ref{thm:hcfinite} and \\ref{thm:hcNT}. The continuity of \n$\\Psi$ (Proposition \\ref{prop:contfield})\nis proved in Section \\ref{sec:cont} and this results is then used in \nSection \\ref{sec:uniqueness} in order to prove Theorem \\ref{thm:uniqueness},\nwhich in turn will allow us to prove Theorem \\ref{thm:thetacont}.\n\n\n\\section{Conditions for the non-triviality of $h_c$} \\label{sec:phasetransition}\nWe start by proving Theorem \\ref{thm:hcNT} as this is easily done. \n\n\\medskip\n{\\bf Proof of Theorem \\ref{thm:hcNT}.}\nRecall the constructions \\eqref{eqn:Cdef} and \\eqref{eqn:Psidef}, and observe \nthat by using the same realization of $\\eta,$ we can couple $\\Psi$ and ${\\mathcal{C}}$\non the same probability space in the natural way. By using this coupling, we see that \nfor any $h>0,$ $\\Psi_{\\geq h}\\subset {\\mathcal{C}}(r_l).$ In the case $d=2,$\nit is known (see \\cite{MR}, Theorem 4.5) that ${\\mathcal{C}}(r_c)$ does not \npercolate, showing that $h_c=0$ when $d=2$ and $r_l\\leq r_c.$\nFor $d\\geq 3,$ the statement follows by \nobserving that ${\\mathcal{C}}(r)$ does not percolate for $r<r_c$ by definition \nof $r_c.$\n\nAssume instead that $r_l> r_c.$ Let $r_c<r<r_l,$ and  $h=h(r)$\nbe any $h$ such that \n\\[\nB(0,r) \\subset \\{y:l(|y|)\\geq h\\}.\n\\]\nWith this choice of $h,$ we see that any point $y$ within radius $r$ from some \n$x\\in \\eta$ will also belong to $\\Psi_{\\geq h}$ so that\n\\[\n{\\mathcal{C}}(r)\\subset \\Psi_{\\geq h}.\n\\]\nSince $r>r_c,$ ${\\mathcal{C}}(r)$ a.s.\\ contains an unbounded component and hence so does \n$\\Psi_{\\geq h}.$\n\\fbox{}\\\\\n\nThe proof of Theorem \\ref{thm:hcfinite} is much more involved, and will require\na number of preliminary lemmas to be established first. In order to see what the \npurpose of these will be, we start by giving an outline of the \nstrategy of our proof along with introducing some of the relevant notation.\nLet $\\alpha {\\mathbb{Z}}^d$ denote the lattice with \nspacing $\\alpha>0.$ For any $z\\in \\alpha {\\mathbb{Z}}^d,$ let $B(z,\\alpha)$\ndenote the closed box of side length $\\alpha$ centered at $z,$ and define\n${\\mathcal{B}}_\\alpha:=\\{B(z,\\alpha):z\\in \\alpha {\\mathbb{Z}}^d\\}.$\nFor convenience, we assume from now on that $\\alpha<1.$ \n \n\\medskip\\noindent\n{\\bf Claim:} There exists an $\\epsilon>0$ such that if for \nany $0<\\alpha<1$ and every $k$ and \ncollection of distinct cubes $B_1,\\ldots,B_k\\in {\\mathcal{B}}_\\alpha,$ we have that\n\\begin{equation} \\label{eqn:epsest}\n{\\mathbb{P}}(\\sup_{y\\in B_1}\\Psi(y)\\geq h, \\ldots, \\sup_{y\\in B_k}\\Psi(y)\\geq h)\n\\leq \\epsilon^k,\n\\end{equation}\nthen $\\Psi_{\\geq h}$ does a.s.\\ not contain an unbounded component. \\\\\n\nThis claim can be proved using standard percolation arguments as follows. \nLet $B^o\\in {\\mathcal{B}}_\\alpha$ be the cube containing the origin $o$ and let \n${\\mathcal{O}}$ denote the event that $B^o$ intersects an\nunbounded component of $\\Psi_{\\geq h}$. If ${\\mathcal{O}}$ occurs, then\nfor any $k,$ there must exist a sequence\n$B_1,B_2,\\ldots B_k\\in {\\mathcal{B}}_\\alpha$ such that $B_1=B^o,$\n$B_i \\neq B_j$ for every $i\\neq j,$  $B_i\\cap B_{i+1}\\neq \\emptyset$\nfor every $i=1,\\ldots,k-1$ and with the property that \n$\\sup_{y\\in B_i}\\Psi(y)\\geq h$ for every $i=1,\\ldots,k.$\nWe note that the number of such paths must be bounded\nby $3^{dk}$, as any box has fewer than $3^d$ 'neighbors'. \nThus, from \\eqref{eqn:epsest} we get that \n${\\mathbb{P}}({\\mathcal{O}})\\leq 3^{dk}\\epsilon^k,$ and since this holds for\narbitrary $k$ this proves the claim by taking $\\epsilon<3^{-d}$.\n\nOne issue when proving \\eqref{eqn:epsest} is that we want\nto consider the supremum of the field within the boxes $B_1,\\ldots,B_k.$\nHowever, this is fairly easily dealt with by introducing an auxiliary \nfield $\\tilde{\\Psi}$ with the property that for any $B\\in {\\mathcal{B}}_\\alpha$\n$\\tilde{\\Psi}(y_c(B))\\geq \\sup_{y\\in B} \\Psi(y)$ where $y_c(B)$\ndenotes the center of $B$ (see further \\eqref{eqn:Psisup}). This allows us\nto consider $k$ fixed points of the new field $\\tilde{\\Psi}$ rather than \nthe supremums involved in \\eqref{eqn:epsest}.\n\nOne of the main problems in proving \\eqref{eqn:epsest} is the \nlong range dependencies involved whenever $l$ has unbounded support \n(as discussed in the introduction). The strategy to resolve this issue\nis based on the simple observation that \n\\begin{equation} \\label{eqn:supsumbound}\n\\left\\{\\sup_{y\\in B_1}\\Psi(y)\\geq h, \\ldots, \\sup_{y\\in B_k}\\Psi(y)\\geq h\\right\\}\n\\subset \\left\\{ \\sum_{l=1}^k \\tilde{\\Psi}(y_c(B_l))\\geq kh \\right\\}.\n\\end{equation}\nThe event on the right hand side of \\eqref{eqn:supsumbound} can be analyzed \nusing a version of Campbell's theorem (see e.g.\\ \\cite{Kingman} p. 57-57). An obvious\nproblem with this is that if $l$ is unbounded and if a single point of \n$\\eta$ falls in $\\bigcup_{l=1}^k B_l$, then the sum in \\eqref{eqn:supsumbound} is \ninfinite. However, by letting $\\alpha$ above be very small, we can make sure that \nwith very high probability, ``most'' of the boxes $B_1,\\ldots,B_k$ will \nnot contain any points of $\\eta$ (and in fact there will not even be a point\nin a certain neighborhood of the box). \nWe then use a more sophisticated version of \n\\eqref{eqn:supsumbound} (i.e. \\eqref{eqn:prelest}) where we condition \non which of the boxes $B_1,\\ldots,B_k$ have a point of $\\eta$ in their neighborhood,\nand then sum only over the boxes whose neighborhoods are vacant of points.\nThis in turn introduces another problem, namely that we now have to deal \nwith a Poisson process conditioned on the presence and absence of points\nof $\\eta$ in the neighborhoods of the boxes $B_1,\\ldots,B_k.$ \nIn particular, we have to control the\ndamage from knowing the presence of such points. This is the purpose of \nLemmas \\ref{lemma:elemPoisdom} and \\ref{lemma:elemPoisdom2}, which will tell\nus that our knowledge is not worse than having no information at all plus\nadding a few extra points to the process. Later, Lemma \n\\ref{lemma:bndedfield} will enable us to control the effect of this addition \nof extra points.\n\n\\bigskip\n\nWe now start presenting the rigorous proofs. Our first lemma \nis elementary, and the result is presumably folklore. However,\nwe give a proof for sake of completeness.\n\\begin{lemma} \\label{lemma:elemPoisdom}\nLet $X$ be a Poisson distributed random variable with parameter $\\lambda.$ \nWe have that for any $k\\geq 0,$\n\\begin{equation}\\label{eqn:Poiconddom}\n{\\mathbb{P}}(X\\geq k | X\\geq 1)\\leq {\\mathbb{P}}(X\\geq k-1).\n\\end{equation}\n\\end{lemma}\n\n\\noindent\n{\\bf Proof.}\nWe claim that for any $X^n\\sim$ Bin($n,p$) where $np=\\lambda,$ and \nany $0\\leq k \\leq n,$ we have that \n\\begin{equation} \\label{eqn:Binconddom}\n{\\mathbb{P}}(X^n\\geq k| X^n \\geq 1)\\leq {\\mathbb{P}}(X^n\\geq k-1).\n\\end{equation}\nWe observe that from \\eqref{eqn:Binconddom} we get that \n\\[\n{\\mathbb{P}}(X\\geq k | X\\geq 1)\n=\\lim_{n \\to \\infty}{\\mathbb{P}}(X^n\\geq k| X^n \\geq 1)\n\\leq \\lim_{n \\to \\infty}{\\mathbb{P}}(X^n\\geq k-1)= {\\mathbb{P}}(X \\geq k-1).\n\\]\nThis establishes \\eqref{eqn:Poiconddom}, and so we need to prove \n\\eqref{eqn:Binconddom}.\n\nWe will prove \\eqref{eqn:Binconddom} through induction, and we start by observing\nthat it trivially holds for $n=1$ and $k=0,1.$ Assume therefore that \n\\eqref{eqn:Binconddom} holds for $n$ and any $k=0,\\ldots,n.$\nWe will write $X^n=X_1+\\ldots+X_{n}$ where $\\left(X_i\\right)_{i\\geq 1}$ is an \ni.i.d. sequence with ${\\mathbb{P}}(X_i=1)=1-{\\mathbb{P}}(X_i=0)=p.$ Of course, \n\\eqref{eqn:Binconddom} trivially holds for $n+1$ and $k=0.$ Furthermore, \nwe have that for any $k=1,\\ldots,n,$\n\\begin{eqnarray*}\n\\lefteqn{{\\mathbb{P}}(X^{n+1} \\geq k | X^{n+1}\\geq 1)}\\\\\n& & ={\\mathbb{P}}(X^{n+1} \\geq k | X^{n+1}\\geq 1, X_{n+1}=1){\\mathbb{P}}(X_{n+1}=1 |X^{n+1}\\geq 1)\\\\\n& & \\ \\ \\ \\ +{\\mathbb{P}}(X^{n+1} \\geq k | X^{n+1}\\geq 1, X_{n+1}=0){\\mathbb{P}}(X_{n+1}=0 |X^{n+1}\\geq 1)\\\\\n& & ={\\mathbb{P}}(X^{n} \\geq k-1){\\mathbb{P}}(X_{n+1}=1 |X^{n+1}\\geq 1)\n +{\\mathbb{P}}(X^{n} \\geq k | X^{n}\\geq 1){\\mathbb{P}}(X_{n+1}=0 |X^{n+1}\\geq 1)\\\\\n& & \\leq {\\mathbb{P}}(X^{n} \\geq k-1),\n\\end{eqnarray*}\nwhere we use the induction hypothesis that ${\\mathbb{P}}(X^{n} \\geq k | X^{n}\\geq 1)\n\\leq {\\mathbb{P}}(X^{n} \\geq k-1)$ in the last inequality. Finally, \n\\[\n{\\mathbb{P}}(X^{n+1} =n+1 | X^{n+1}\\geq 1)\n={\\mathbb{P}}(X^{n} = n){\\mathbb{P}}(X_{n+1}=1 |X^{n+1}\\geq 1)\n\\leq {\\mathbb{P}}(X^{n} = n),\n\\]\nand this establishes \\eqref{eqn:Binconddom} for $n+1$ and any $k=0,\\ldots,n+1.$\n\\fbox{}\\\\\n\nLet $A_1,A_2,\\ldots,A_n$ be subsets of ${\\mathbb{R}}^d, $ and let $C_1,\\ldots,C_m$\nbe a partition of $\\cup_{i=1}^n A_i$ such that for any $i,$ \n\\begin{equation} \\label{eqn:Aipart}\nA_i=\\cup_{k=1}^l C_{i_k},\n\\end{equation}\nfor some collection $C_{i_1},\\ldots,C_{i_l}.$ Let $\\eta_A$ be a homogeneous \nPoisson process of rate $\\lambda>0$ on $\\cup_{i=1}^n A_i$ conditioned \non the event $\\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\},$ and \nlet $\\eta'_A$ be a homogeneous (unconditioned) Poisson process of \nrate $\\lambda>0$ on $\\cup_{i=1}^n A_i.$ Furthermore, let \n$\\xi_A$ be a point process on $\\cup_{i=1}^n A_i$ consisting of\nexactly one point in each of the sets $C_1,\\ldots,C_m$ such that \nthe position of the point in $C_i$ is uniformly distributed within \nthe set, and so that this position is independent between sets.\n\nOur next step is to use Lemma \\ref{lemma:elemPoisdom} to prove \na result relating the conditioned Poisson process $\\eta_A$ to \nthe sum $\\eta'_A+\\xi_A,$ where $\\eta'_A$ and $\\xi_A$ are independent.\nFor two point processes $\\eta_1,\\eta_2$ in ${\\mathbb{R}}^d$, we write $\\eta_1\\preceq \\eta_2$ if there exists a coupling \nof $\\eta_1,\\eta_2$ so that ${\\mathbb{P}}(\\eta_1\\subset \\eta_2)=1.$\n\\begin{lemma} \\label{lemma:elemPoisdom2}\nLet $\\eta_A,\\eta'_A$ and $\\xi_A$ be as above, and let \n$\\eta'_A$ and $\\xi_A$ be independent. We have that \n\\[\n\\eta_A \\preceq \\eta'_A+\\xi_A.\n\\]\n\\end{lemma}\n\nInformally, Lemma \\ref{lemma:elemPoisdom2} tells us that if \nwe consider a homogeneous Poisson process conditioned on the presence\nof points in $A_1,\\ldots,A_k$, it is not worse than taking an unconditioned\nprocess and adding single points to all the sets $C_1,\\ldots,C_m$ (which are \nused as the building blocks for the sets $A_1,\\ldots,A_k$).\n\n\\medskip\n\n\\noindent\n{\\bf Proof of Lemma \\ref{lemma:elemPoisdom2}.}\nAs usual, let $\\eta$ be a homogeneous Poisson process on ${\\mathbb{R}}^d.$\nLet $J=(j_1,\\ldots,j_m)\\in\\{0,1\\}^m$ and define\n\\[\n{\\mathcal{C}}_J=\\bigcap_{l:j_l=1}\\{\\eta(C_l)\\geq 1\\}\\bigcap_{l:j_l=0}\\{\\eta(C_l)=0\\}.\n\\]\nWe note that either ${\\mathcal{C}}_J \\subset \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\},$ or \n${\\mathcal{C}}_J \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\}=\\emptyset,$ which follows from \n\\eqref{eqn:Aipart}. Indeed, if for any $i$ and $J\\in \\{0,1\\}^m,$ \nall of the sets $C_{i_k}$ in \n\\eqref{eqn:Aipart} have $\\eta(C_{i_k})=0$, then \n${\\mathcal{C}}_J \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\}=\\emptyset.$ On the other hand, if for \nevery $i,$ there exists some set $C_{i_k}$ in \\eqref{eqn:Aipart} such that \n$\\eta(C_{i_k})=1$ this implies that $\\{\\eta(A_i)\\geq 1\\}$ \noccurs for every $i.$\n\nUsing this, we have that for any $(k_1,\\ldots,k_m)\\in {\\mathbb{N}}^m,$ \n\\begin{eqnarray} \\label{eqn:CJineq}\n\\lefteqn{{\\mathbb{P}}(\\eta(C_1)\\geq k_1,\\ldots, \\eta(C_m)\\geq k_m \n|\\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\})} \\\\\n& & =\\sum_{J\\in \\{0,1\\}^m}{\\mathbb{P}}(\\eta(C_1)\\geq k_1,\\ldots, \\eta(C_m)\\geq k_m \n|{\\mathcal{C}}_J){\\mathbb{P}}({\\mathcal{C}}_J | \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\}), \\nonumber\n\\end{eqnarray}\nsince ${\\mathbb{P}}({\\mathcal{C}}_J | \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\})=0$ if \n${\\mathcal{C}}_J \\not \\subset \\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\}.$\nFurthermore, for any $J\\in \\{0,1\\}^m$\n\\begin{equation} \\label{eqn:CJineq2}\n{\\mathbb{P}}(\\eta(C_1)\\geq k_1,\\ldots, \\eta(C_m)\\geq k_m |{\\mathcal{C}}_J)\n\\leq {\\mathbb{P}}(\\eta(C_1)\\geq k_1-1,\\ldots, \\eta(C_m)\\geq k_m-1),\n\\end{equation}\nby using Lemma \\ref{lemma:elemPoisdom} and a trivial bound.\n\nCombining \\eqref{eqn:CJineq} and \\eqref{eqn:CJineq2} yields\n\\begin{eqnarray*}\n\\lefteqn{{\\mathbb{P}}(\\eta_A(C_1)\\geq k_1,\\ldots, \\eta_A(C_m)\\geq k_m )}\\\\\n& & ={\\mathbb{P}}(\\eta(C_1)\\geq k_1,\\ldots, \\eta(C_m)\\geq k_m \n|\\cap_{i=1}^n\\{\\eta(A_i)\\geq 1\\})\\\\\n& & \\leq \n{\\mathbb{P}}(\\eta(C_1)\\geq k_1-1,\\ldots, \\eta(C_m)\\geq k_m-1)\\\\\n& & ={\\mathbb{P}}((\\eta'_A+\\xi_A)(C_1)\\geq k_1,\\ldots, (\\eta'_A+\\xi_A)(C_m)\\geq k_m).\n\\end{eqnarray*}\nThe statement follows by the elementary property of a Poisson process,\nthat conditioned on a certain number of points falling within a fix set\nD, these points are independently and uniformly distributed within that set.\n\\fbox{}\\\\\n\n\nWe now turn to the issue of taking the\nsupremum of the field over a box. Therefore, let $0<\\alpha<1,$ and\ndefine the auxiliary attenuation function $\\tilde{l}_\\alpha$ by \n\\[\n\\tilde{l}_\\alpha(r)=\n\\left\\{\n\\begin{array}{ll}\nl(0) & \\textrm{if } r\\leq \\alpha \\sqrt{d}\/2 \\\\\nl(r-\\alpha\\sqrt{d}\/2) & \\textrm{if } r\\geq \\alpha\\sqrt{d}\/2,\n\\end{array}\n\\right.\n\\]\nfor every $r\\geq 0.$ If $y_{c}(B)$ denotes the center of the box $B\\in {\\mathcal{B}}_\\alpha,$\nwe note that for any $y\\in B$ and $x\\in {\\mathbb{R}}^d,$ \n\\[\n\\tilde{l}_\\alpha(|x-y_c(B)|)\n\\geq \\tilde{l}_\\alpha(|x-y|+|y-y_c(B)|)\n\\geq \\tilde{l}_\\alpha(|x-y|+\\alpha\\sqrt{d}\/2)\n= l(|x-y|).\n\\]\nTherefore, if we let $\\tilde{\\Psi}$ be the field we get by using $\\tilde{l}$\nin place of $l$ in \\eqref{eqn:Psidef}, we get that \n\\begin{equation}\\label{eqn:Psisup}\n\\tilde{\\Psi}(y_c(B))=\\sum_{x\\in \\eta}\\tilde{l}_\\alpha(|x-y_c(B)|)\n\\geq \\sup_{y\\in B}\\sum_{x\\in \\eta} l(|x-y|)=\\sup_{y\\in B} \\Psi(y).\n\\end{equation}\n\nOur next lemma will be a central ingredient of the proof of \nTheorem \\ref{thm:hcfinite}. It will deal with the effect to the field \n$\\tilde{\\Psi}$ of adding extra points to $\\eta$. To that end, \nlet $A_o$ be the box of side length $\\alpha(4\\lceil\\sqrt{d}\\rceil+1)$ \ncentered around the origin $o$. For any box $B\\in {\\mathcal{B}}_\\alpha$ with \n$B\\cap A_o=\\emptyset,$\nplace a point $x_B$ in $B$ at the closest distance to the origin, and let \n$\\xi$ denote the corresponding (deterministic) point set. Let\n\\[\n\\tilde{\\Psi}_{A_o}(y):=\\sum_{x \\in \\xi}\\tilde{l}_\\alpha(|x-y|),\n\\]\nbe the corresponding deterministic field. \n\n\\begin{lemma} \\label{lemma:bndedfield}\nThere exists a constant $C<\\infty$ depending on $d$ but not on $\\alpha$ and\nsuch that for every $0<\\alpha<1,$\n\\[\n\\tilde{\\Psi}_{A_o}(o)\\leq \\frac{C}{\\alpha^d} I_\\alpha,\n\\]\nwhere \n\\[\nI_\\alpha=\\int_{\\alpha\/2}^\\infty r^{d-1} l(r)dr<\\infty.\n\\]\n\\end{lemma}\n\\noindent\n{\\bf Proof.}\nConsider some $B\\in {\\mathcal{B}}_\\alpha$ such that $B\\cap A_o=\\emptyset.$\nWe have that \n\\[\n\\tilde{l}_\\alpha(|x_B|)\\leq \\frac{1}{Vol(B)}\\int_{B}\\tilde{l}_\\alpha(|x|-{\\rm diam}(B))dx\n=\\frac{1}{\\alpha^d}\\int_{B}\\tilde{l}_\\alpha(|x|-\\alpha \\sqrt{d})dx.\n\\]\nTherefore, \n\\begin{eqnarray*}\n\\lefteqn{\\tilde{\\Psi}_{A_o}(o)\n\\leq \\frac{1}{\\alpha^d}\\int_{{\\mathbb{R}}^d\\setminus A_o}\\tilde{l}_\\alpha(|x|-\\alpha \\sqrt{d})dx}\\\\\n& & \\leq \\frac{C}{\\alpha^d}\\int_{\\alpha(2\\lceil\\sqrt{d}\\rceil+1\/2)}^\\infty\nr^{d-1}l(r-2\\alpha \\sqrt{d})dr \\\\\n& & \\leq \\frac{C}{\\alpha^d}\\int_{\\alpha\/2}^\\infty (r+\\alpha(2\\lceil\\sqrt{d}\\rceil))^{d-1}\nl(x) dr \\nonumber \\\\\n& & \\leq \\frac{C}{\\alpha^d}\\int_{\\alpha\/2}^\\infty (r+r(4\\sqrt{d}+2))^{d-1}\nl(r) dr \\nonumber \\\\\n& & = \\frac{C}{\\alpha^d}\\int_{\\alpha\/2}^\\infty r^{d-1} l(r)dr\n\\end{eqnarray*}\nwhere the constant $C=C(d)<\\infty$\nis allowed to vary in the steps of the calculations. \nFinally, the fact that $I_\\alpha<\\infty,$ follows easily from the fact that \n$\\int_{1}^\\infty r^{d-1} l(r)dr<\\infty.$\n\\fbox{}\\\\\n\n\nWe have now established all necessary tools in order to prove Theorem \n\\ref{thm:hcfinite}. However, since the proofs of the two statements of \nTheorem \\ref{thm:hcfinite} are very different, we start by proving the \nfirst one as a separate result.\n\n\\begin{theorem}\\label{thm:hcfinite_aux}\nIf $\\int_1^\\infty l^{d-1}l(r)<\\infty,$ then $h_c<\\infty.$\n\\end{theorem}\n\\noindent\n{\\bf Proof.}\nWe shall prove that for any $\\epsilon>0,$ \\eqref{eqn:epsest} holds\nfor $\\alpha$ small enough and $h$ large enough. This will prove our\nresult as explained just below \\eqref{eqn:epsest}.\n\nFor any $B\\in {\\mathcal{B}}_\\alpha,$ let $A_\\alpha(B)$ be the box concentric \nto $B$ and with side length $\\alpha(4\\lceil \\sqrt{d}\\rceil+1)$.\nLet $E(B)$ be the event that $\\eta(A_\\alpha(B))=0,$ and observe that \nif $c={\\mathbb{P}}(E(B)),$\nwe have that $c=c(\\alpha)\\to 1$ as $\\alpha \\to 0$. We say that the box \n$B$ is {\\em good} if the event $E(B)$ occurs. Goodness of the boxes \n$B\\in {\\mathcal{B}}_\\alpha$ naturally induces a percolation model on ${\\mathbb{Z}}^d$ with \na finite range dependency. Since the marginal probability $c(\\alpha)$ of being \ngood can be made to be arbitrarily close to 1 by taking \n$\\alpha$ small enough, we can use Theorem B26 of \\cite{SIS}\nto dominate an i.i.d.\\ product measure with density $p=p(\\alpha)$ on \nthe boxes $B\\in {\\mathcal{B}}_\\alpha.$\nFurthermore, by the same theorem, we can take $p(\\alpha)\\to 1$ as $\\alpha \\to 0.$\n\nFix $k$ and a collection $B_1,B_2,\\ldots, B_k$ as in \\eqref{eqn:epsest}. \nFor any $B_i,$ let $A_i=A_\\alpha(B_i)$, and let $\\Gamma_i:=I(B_i)$ \nwhere $I$ denotes an indicator function.\nIf we take $\\Gamma=\\sum_{i=1}^k \\Gamma_i,$ then\nby the above domination of a product measure of density $p,$ \nwe see that $\\Gamma$ is \nstochastically larger than $\\Gamma'\\sim$Bin$(p,k).$ Furthermore, \nwe have that \n\\begin{eqnarray*}\n\\lefteqn{{\\mathbb{P}}\\left(\\Gamma'\\leq \\frac{k}{2}\\right)}\\\\\n& & ={\\mathbb{P}}\\left(e^{\\log(1-p)\\Gamma'}\\geq e^{\\log(1-p)k\/2}\\right)\n\\leq e^{-\\log(1-p)k\/2}{\\mathbb{E}}\\left[e^{\\log(1-p)\\Gamma'}\\right]\\\\\n& & =e^{-\\log(1-p)k\/2}\\left(pe^{\\log(1-p)}+1-p\\right)^k\n\\leq 2^k e^{\\log(1-p)k\/2}=e^{-d(\\alpha)k},\n\\end{eqnarray*}\nwhere we can take $d(\\alpha)\\to \\infty$ as $\\alpha \\to 0,$ by \ntaking $p(\\alpha)\\to 1.$\nIf we define $G_k$ to be the event that at least $k\/2$ of the boxes \n$B_1,B_2,\\ldots, B_k$\nare good, we thus have that ${\\mathbb{P}}(G_k)\\geq 1-e^{-d(\\alpha)k}.$\n\nLet $J=J(\\eta)\\in\\{0,1\\}^k$ be such that $J_j=1$ iff $B_j$ is good, and identify \n$J$ with the corresponding subset of $\\{1,\\ldots,k\\}.$ Thus we write $j\\in J$\niff $B_j$ is good. For any fixed\n$J\\in \\{0,1\\}^k,$ we let $\\CD_J$ denote the event \n\\[\n\\bigcap_{j\\in J} E_j \\bigcap_{j\\in J^c} E_j^c\n\\]\nso that $\\CD_J$ is the event that each set $A_j$ such that $j\\in J$\nis vacant of points, while each set $A_j$ such that $j\\in J^c$\ncontains at least one point of $\\eta$.\nWe then have that \n\\begin{eqnarray} \\label{eqn:prelest}\n\\lefteqn{{\\mathbb{P}}(\\sup_{y\\in B_1}\\Psi(y)\\geq h, \\ldots, \\sup_{y\\in B_k}\\Psi(y)\\geq h)}\\\\\n& & \\leq \\sum_{J\\in \\{0,1\\}^k}\n{\\mathbb{P}}(\\tilde{\\Psi}(y_c(B_1))\\geq h,\\ldots,\\tilde{\\Psi}(y_c(B_k))\\geq h|\\CD_J){\\mathbb{P}}(\\CD_J)\\nonumber \\\\\n& & \\leq \\sum_{|J|\\geq k\/2}\n{\\mathbb{P}}(\\tilde{\\Psi}(y_c(B_1))\\geq h,\\ldots,\\tilde{\\Psi}(y_c(B_k))\\geq h|\\CD_J)\n{\\mathbb{P}}(\\CD_J)+e^{-d(\\alpha)k}, \\nonumber \n\\end{eqnarray}\nby using \\eqref{eqn:Psisup} in the first inequality and that \n${\\mathbb{P}}(|J|<k\/2)={\\mathbb{P}}(G_k^c)$ in the last.\n\nFor any $J\\in \\{0,1\\}^k,$ we let $\\eta_J$ be a Poisson process on \n${\\mathbb{R}}^d$ of rate 1, \nconditioned on the event $\\CD_J.$ Furthermore, for $j\\in J^c,$ let \n\\[\nD_j:=A_j \\setminus \\bigcup_{i\\in J} A_i.\n\\]\nWe see that $\\eta_J$ can be expressed as the sum of $\\tilde{\\eta}$ \nand $\\eta_D$ where $\\tilde{\\eta}$ is a Poisson process on \n${\\mathbb{R}}^d \\setminus \\bigcup_{n=1}^k A_n$ of unit rate, while $\\eta_D$ is \na Poisson process on $\\bigcup_{j\\in J^c} D_j$ conditioned on the \nevent $\\bigcap_{j\\in J^c} \\{\\eta(D_j)\\geq 1\\}.$ We let\n$C_1,\\ldots,C_m\\in {\\mathcal{B}}_\\alpha$ be a partition (up to sets of measure zero) of $\\bigcup_{j\\in J^c} D_j$,\nand use Lemma \\ref{lemma:elemPoisdom2} to see that \n$\\eta_D\\preceq \\eta_D'+\\xi_D$. Here of course, $\\eta'_D$ is Poisson process\non $\\bigcup_{j\\in J^c} D_j$ while $\\xi_D$ is a point process consisting of \none point added uniformly and independently to every box \n$C_i$ for $i=1,\\ldots,m.$ As in Lemma \\ref{lemma:elemPoisdom2} \n$\\eta'_D$ and $\\xi_D$ are independent.\n\nWe conclude that \n$\\eta_J=\\eta_D+\\tilde{\\eta} \\preceq \\eta'_D+\\xi_D+\\tilde{\\eta}$,\nand observe that $\\eta'_D+\\tilde{\\eta}$ is just a homogeneous Poisson\nprocess on ${\\mathbb{R}}^d\\setminus A_J$ where $A_J:=\\bigcup_{j\\in J} A_j.$\nWriting $\\eta_{A_J^c}$ for this sum, we have that \n$\\eta_J\\preceq \\xi_D+\\eta_{A_J^c}$ and by\nfirst using this, and then Markov's inequality, we get that\n\\begin{eqnarray} \\label{eqn:Markov}\n\\lefteqn{{\\mathbb{P}}(\\tilde{\\Psi}(y_c(B_1))\\geq h,\\ldots,\\tilde{\\Psi}(y_c(B_k))\\geq h\n|\\CD_J)}\\\\\n& & \\leq {\\mathbb{P}}_{\\xi_D+\\eta_{A_J^c}}\n(\\tilde{\\Psi}(y_c(B_1))\\geq h,\\ldots,\\tilde{\\Psi}(y_c(B_k))\\geq h) \\nonumber \\\\\n& & \\leq {\\mathbb{P}}_{\\xi_D+\\eta_{A_J^c}}\n\\left(s\\sum_{j\\in J}\\tilde{\\Psi}(y_c(B_j))\\geq h|J|s\\right)\n\\leq e^{-h|J|s}{\\mathbb{E}}_{\\xi_D+\\eta_{A_J^c}}\n\\left[e^{s\\sum_{j\\in J}\\tilde{\\Psi}(y_c(B_j))}\\right], \\nonumber\n\\end{eqnarray}\nwhere ${\\mathbb{P}}_{\\xi_D+\\eta_{A_J^c}}$ is the probability measure \ncorresponding to $\\xi_D+\\eta_{A_J^c},$ and where \n${\\mathbb{E}}_{\\xi_D+\\eta_{A_J^c}}$ denotes expectation with \nrespect to this probability measure. We have\n\\begin{eqnarray*}\n\\lefteqn{\\tilde{\\Psi}(y_c(B_j))=\\sum_{x\\in\\xi_D+\\eta_{A_J^c}}\n\\tilde{l}_\\alpha(|y_{c}(B_j)-x|)}\\\\\n& & =\\sum_{x\\in \\eta_{A_J^c}}\\tilde{l}_\\alpha(|y_{c}(B_j)-x|)\n+\\sum_{x\\in \\xi_D}\\tilde{l}_\\alpha(|y_{c}(B_j)-x|) \\\\\n& & =\\tilde{\\Psi}_{\\eta_{A_J^c}}(y_c(B_j))\n+\\tilde{\\Psi}_{\\xi_D}(y_c(B_j)),\n\\end{eqnarray*}\nusing obvious notation. Thus, using independence, we have that \n\\begin{equation} \\label{eqn:etaxi}\n{\\mathbb{E}}_{\\xi_D+\\eta_{A_J^c}}\n\\left[e^{s\\sum_{j\\in J}\\tilde{\\Psi}(y_c(B_j))}\\right]\n={\\mathbb{E}}_{\\eta_{A_J^c}}\n\\left[e^{s\\sum_{j\\in J}\\tilde{\\Psi}_{\\eta_{A_J^c}}(y_c(B_j))}\\right]\n{\\mathbb{E}}_{\\xi_D}\\left[e^{s\\sum_{j\\in J}\\tilde{\\Psi}_{\\xi_D}(y_c(B_j))}\\right].\n\\end{equation}\nConsider the function $g_J(y):=\\sum_{j\\in J} \\tilde{l}_\\alpha(|y_{c}(B_j)-y|),$ \nso that\n\\[\n\\sum_{x\\in \\eta_{A_J^c}} g_J(x)\n=\\sum_{x\\in \\eta_{A_J^c}}\\sum_{j\\in J} \\tilde{l}_\\alpha(|y_{c}(B_j)-x|)\n=\\sum_{j\\in J}\\sum_{x\\in \\eta_{A_J^c}}\\tilde{l}_\\alpha(|y_{c}(B_j)-x|)\n=\\sum_{j\\in J}\\tilde{\\Psi}_{\\eta_{A_J^c}}(y_{c}(B_j)),\n\\]\nand similarly \n\\[\n\\sum_{x\\in \\xi_D} g_J(x)=\\sum_{j\\in J}\\tilde{\\Psi}_{\\xi_D}(y_{c}(B_j)).\n\\]\nBy Campbell's theorem (see \\cite{Kingman} p 57-58, \\cite{D-VJ} Sections 2.4 and 9.4)\nwe get that\n\\begin{equation} \\label{eqn:cambeta}\n{\\mathbb{E}}_{\\eta_{A_J^c}}\n\\left[e^{s\\sum_{j\\in J} \\tilde{\\Psi}_{\\eta'_D+\\tilde{\\eta}}(y_{c}(B_j))}\\right]\n=\\exp\\left({\\int_{{\\mathbb{R}}^d\\setminus A_J}e^{sg_J(x)}-1 dx}\\right).\n\\end{equation}\nWe proceed by bounding the right hand side of this expression and \nstart by noting that for $x\\in {\\mathbb{R}}^d\\setminus A_J,$\n\\[\ng_J(x)\\leq \\tilde{\\Psi}_{A_o}(o)\\leq C I_\\alpha \\alpha^{-d}\n\\]\nso that by Lemma \\ref{lemma:bndedfield}, $g_J(x)$ is uniformly \nbounded by $CI_\\alpha\/\\alpha^d$ where $CI_\\alpha<\\infty$ is as in \nthat lemma. We can therefore use that $e^x-1\\leq 2x$ \nfor $x\\leq 1,$ to see that for $0<s\\leq \\alpha^d\/(CI_\\alpha),$ we have\n$e^{sg_J(x)}-1\\leq 2sg_J(x).$\nHence,\n\\begin{eqnarray} \\label{eqn:gboundeta}\n\\lefteqn{\\int_{{\\mathbb{R}}^d\\setminus A_J}e^{sg_J(x)}-1 dx \n\\leq \\int_{{\\mathbb{R}}^d\\setminus A_J}2sg_J(x) dx}\\\\\n& & = 2s\\int_{{\\mathbb{R}}^d\\setminus A_J}\\sum_{j\\in J} \n\\tilde{l}_\\alpha(|y_{c}(B_j)-x|) dx\n\\leq 2s\\sum_{j\\in J}\\int_{{\\mathbb{R}}^d\\setminus A(B_j)}\n\\tilde{l}_\\alpha(|y_{c}(B_j)-x|) dx \\nonumber \n=2sD|J|, \\nonumber\n\\end{eqnarray}\nwhere by using that the side length of $A(B_j)$ is \n$\\alpha(4\\lceil\\sqrt{d}\\rceil+1)$, we have that \n\\begin{eqnarray*}\n\\lefteqn{D=\\int_{{\\mathbb{R}}^d\\setminus A(B_j)}\\tilde{l}_\\alpha(|y_{c}(B_j)-x|) dx}\\\\\n& & =\\int_{{\\mathbb{R}}^d\\setminus A_o}\\tilde{l}_\\alpha(|x|)dx\n\\leq \\int_{{\\mathbb{R}}^d\\setminus A_o}\\tilde{l}_\\alpha(|x|-\\alpha \\sqrt{d})dx\n\\leq CI_\\alpha\n\\end{eqnarray*}\nas in the proof of Lemma \\ref{lemma:bndedfield}. \nUsing \\eqref{eqn:gboundeta} in \\eqref{eqn:cambeta}, we get that \n\\begin{equation} \\label{eqn:expetaest}\n{\\mathbb{E}}_{\\eta_{A_J^c}}\\left[e^{s\\sum_{j\\in J} \n\\tilde{\\Psi}_{\\eta_{A_J^c}}(y_{c}(B_j))}\\right]\n\\leq e^{2sCI_\\alpha|J|}.\n\\end{equation}\n\nWe now turn to the second factor on the right hand side of \\eqref{eqn:etaxi}.\nObserve that for any $k,$ $J\\in \\{0,1\\}^k$ and $j\\in J$ we have that \n\\[\n\\tilde{\\Psi}_{\\xi_D}(y_{c}(B_j))\\leq \\tilde{\\Psi}_{A_o}(o).\n\\]\nUsing Lemma \\ref{lemma:bndedfield}, it follows that \n\\begin{equation} \\label{eqn:expxiest}\n{\\mathbb{E}}_{\\xi_D}\\left[e^{s\\sum_{j\\in J} \\tilde{\\Psi}_{\\xi_D}(y_{c}(B_j))}\\right]\n\\leq e^{2sCI_\\alpha|J|\/\\alpha^d}.\n\\end{equation}\nUsing \\eqref{eqn:expetaest} and \\eqref{eqn:expxiest}, with \\eqref{eqn:etaxi}\nwe see from \\eqref{eqn:Markov} that \n\\[\n{\\mathbb{P}}(\\tilde{\\Psi}(y_c(B_1))\\geq h,\\ldots,\\tilde{\\Psi}(y_c(B_k))\\geq h|\\CD_J)\n\\leq \ne^{-h|J|s}e^{2sCI_\\alpha|J|}e^{2s|J|CI_\\alpha \/\\alpha^d}.\n\\]\nInserting this into \\eqref{eqn:prelest}\n\\begin{eqnarray*} \n\\lefteqn{{\\mathbb{P}}(\\sup_{y\\in B_1}\\Psi(y)\\geq h, \\ldots, \\sup_{y\\in B_k}\\Psi(y)\\geq h)}\\\\\n& & \\leq \\sum_{|J|\\geq k\/2}\ne^{-h|J|s}e^{2sCI_\\alpha|J|}e^{2s|J|CI_\\alpha\/\\alpha^d}\n{\\mathbb{P}}(\\CD_J)+e^{-d(\\alpha)k} \\nonumber \\\\\n& & \\leq e^{-C'I_\\alpha hsk\/\\alpha^d}+e^{-d(\\alpha)k},\n\\end{eqnarray*}\nfor some $C'>0.$ Finally, by first letting $\\alpha$ be so small \nthat $e^{-d(\\alpha)}\\leq \\epsilon\/2,$\nand then taking $h$ large enough, \\eqref{eqn:epsest} follows.\n\\fbox{}\\\\\n\nWe will now prove Theorem \\ref{thm:hcfinite} in its entirety. \\\\\n\n\\medskip\n{\\bf Proof of Theorem \\ref{thm:hcfinite}.}\nThe first statement is simply Theorem \\ref{thm:hcfinite_aux} and so we \nturn to the second statement.\n\nConsider the auxiliary attenuation function $l'(r):=l(r+1)$, and let\n$\\Psi'$ denote the corresponding random field. We observe that \nfor any $y\\in B(o,1)$ and $x\\in {\\mathbb{R}}^d,$\n$l'(|x|)=l(|x|+1)\\leq l(|x-y|-|y|+1)\\leq l(|x-y|),$\nso that \n\\[\n\\Psi'(o)=\\sum_{x\\in \\eta}l'(|x|)\n\\leq \\inf_{y\\in B(o,1)}\\sum_{x\\in \\eta}l(|x-y|)\n=\\inf_{y\\in B(o,1)}\\Psi(y).\n\\] \nWe proceed to show that ${\\mathbb{P}}(\\Psi'(o)=\\infty)=1,$ since then it follows that \n${\\mathbb{P}}\\left(\\inf_{y\\in {\\mathbb{R}}^d}\\Psi(y)=\\infty\\right)=1$ by a standard \ncountability argument. Therefore, let $A_0:=B(o,1),$ and \n$A_k:=B(o,k+1)\\setminus B(o,k)$ and note that \n$Vol(A_k)=\\kappa_d((k+1)^d-k^d)\\geq d\\kappa_d k^{d-1},$\nwhere $\\kappa_d$ denotes the volume of the unit ball in dimension $d.$\nFurthermore, let ${\\mathcal{A}}_k$ denote the event that $\\eta(A_k)\\geq \\kappa_d k^{d-1}.$\nFor any $X\\sim Poi(\\lambda),$ a standard Chernoff type bound yields\n\\[\n{\\mathbb{P}}(X\\leq \\lambda\/2)\\leq \\frac{e^{-\\lambda}\\left(e\\lambda\\right)^{\\lambda\/2}}\n{\\left(\\lambda\/2\\right)^{\\lambda\/2}}\n=\\left(\\frac{e}{2}\\right)^{-\\lambda\/2}=e^{-c\\lambda},\n\\]\nfor some $c>0.$ Therefore, ${\\mathbb{P}}({\\mathcal{A}}_k^c)\\leq e^{-cd\\kappa_d k^{d-1}}$ so that \n${\\mathbb{P}}({\\mathcal{A}}_k^c \\textrm{ i.o.})=0$ by the Borell-Cantelli lemma.\nThus, for a.e. $\\eta,$ there exists a $K=K(\\eta)<\\infty,$ so that \n${\\mathcal{A}}_k$ occurs for every $k\\geq K.$ Furthermore, we have that \nif ${\\mathcal{A}}_k$ occurs, then for any $k\\geq 3,$\n\\begin{eqnarray*}\n\\lefteqn{\\sum_{x\\in \\eta(A_k)}l'(|x|)\\geq \\kappa_d k^{d-1}l'(k+1)}\\\\\n& & =\\kappa_d k^{d-1}l(k+2)\n\\geq \\kappa_d \\frac{k^{d-1}}{(k+3)^{d-1}}\\int_{k+2}^{k+3}r^{d-1}l(r)dr\n\\geq \\frac{\\kappa_d}{2}\\int_{k+2}^{k+3}r^{d-1}l(r)dr.\n\\end{eqnarray*}\nTherefore we get that by letting $K\\geq 3,$\n\\[\n\\Psi'(o)=\\sum_{x\\in \\eta}l'(|x|)\n\\geq \\sum_{k=K}^\\infty \\frac{\\kappa_d}{2}\\int_{k+2}^{k+3}r^{d-1}l(r)dr\n=\\frac{\\kappa_d}{2}\\int_{K+2}^{\\infty}r^{d-1}l(r)dr=\\infty.\n\\]\n\\fbox{}\\\\\n\n\\section{Continuity of the field $\\Psi$} \\label{sec:cont}\n\nIn this section we will prove Proposition\n\\ref{prop:contfield}.\nWe will often use the following well known equality (see for instance \\cite{Kingman} p. 28)\n\\begin{equation} \\label{eqn:VanCamp}\n{\\mathbb{E}}\\left[\\sum_{x\\in \\eta} g(x)\\right]=\\int_{{\\mathbb{R}}^d} g(x)\\mu(dx),\n\\end{equation}\nwhere $\\eta$ is a Poisson process in ${\\mathbb{R}}^d$ with intensity measure $\\mu.$ \\\\\n\n\\noindent\n{\\bf Proof of Proposition \\ref{prop:contfield}.}\nWe start by proving the statement in the case when $l$ is bounded.\nFix $\\alpha,\\epsilon>0$, let $g_{y,z}(x)=|l(|x-y|)-l(|x-z|)|,$  \nand let $\\{D_n\\}_{n\\geq 1}$ be a sequence of bounded subsets of ${\\mathbb{R}}^d$\nsuch that $D_n \\uparrow {\\mathbb{R}}^d.$\nObserve that for any $\\delta>0,$\n\\begin{eqnarray} \\label{eqn:alphaprel}\n\\lefteqn{{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} |\\Psi(y)-\\Psi(z)|\\geq \\epsilon\\right)}\\\\\n& & \\leq \n{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta} g_{y,z}(x)\\geq \\epsilon\\right) \\nonumber\\\\\n& & \\leq \n{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta(D_n)} g_{y,z}(x)\\geq \\epsilon\/2\\right)\n+{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta(D_n^c)} g_{y,z}(x)\\geq \\epsilon\/2\\right).\\nonumber\n\\end{eqnarray}\nWe will proceed by bounding the two terms on the right hand side of \\eqref{eqn:alphaprel}.\nConsider therefore the second term \n\\begin{eqnarray} \\label{eqn:alpha1}\n\\lefteqn{\n{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta(D_n^c)} g_{y,z}(x)\\geq \\epsilon\/2\\right)}\\\\\n& & \\leq {\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta(D_n^c)} l(|x-y|)+l(|x-z|)\\geq \\epsilon\/2\\right) \\nonumber\\\\\n& & \\leq {\\mathbb{P}}\\left(\\sup_{y\\in B(o,1)} \\sum_{x\\in \\eta(D_n^c)} l(|x-y|)+\n\\sup_{z\\in B(o,1)} \\sum_{x\\in \\eta(D_n^c)}l(|x-z|)\\geq \\epsilon\/2\\right) \\nonumber\\\\\n& & ={\\mathbb{P}}\\left(\\sup_{y\\in B(o,1)} \\sum_{x\\in \\eta(D_n^c)} l(|x-y|)\\geq \\epsilon\/4\\right).\n\\nonumber\n\\end{eqnarray}\nFurthermore, we have that for any\n$\\epsilon>0,$\n\\begin{eqnarray} \\label{eqn:Dnlimit}\n\\lefteqn{{\\mathbb{P}}\\left(\\sup_{y\\in B(o,1)} \\sum_{x\\in \\eta(D_n^c)}l(|x-y|)\\geq \\epsilon\\right)\n\\leq \\frac{1}{\\epsilon}{\\mathbb{E}}\\left[\\sup_{y\\in B(o,1)} \\sum_{x\\in \\eta(D_n^c)}l(|x-y|)\\right]}\\\\\n& & \\leq \\frac{1}{\\epsilon}{\\mathbb{E}}\\left[ \\sum_{x\\in \\eta(D_n^c)}\\sup_{y\\in B(o,1)}l(|x-y|)\\right]\n=\\frac{1}{\\epsilon} \\int_{{\\mathbb{R}}^d\\setminus D_n} \\sup_{y\\in B(o,1)}l(|x-y|) dx \\nonumber \\\\\n& & \\leq \\frac{1}{\\epsilon} \\int_{{\\mathbb{R}}^d\\setminus D_n} l\\left(\\max(|x|-2,0)\\right) dx\n\\to 0 \\textrm{ as } n\\to \\infty, \\nonumber\n\\end{eqnarray}\nwhere we use \\eqref{eqn:VanCamp} in the equality and the fact \nthat the intensity measure of $\\eta(D_n^c)$ is Lebesgue measure outside\nof $D_n.$ We also use the integrability assumption \n$\\int_0^\\infty r^{d-1}l(r)dr<\\infty$ when taking the limit.\nBy combining \\eqref{eqn:alpha1} and \\eqref{eqn:Dnlimit}, we see that by taking \n$n$ large enough, the second term of \\eqref{eqn:alphaprel} is smaller than $\\alpha.$\n\nFor the first term, we get that \n\\begin{eqnarray} \\label{eqn:alpha2}\n\\lefteqn{\n{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} \\sum_{x\\in \\eta(D_n)} g_{y,z}(x)\n\\geq \\epsilon\/2\\right)}\\\\\n& & \\leq \\frac{1}{\\epsilon}\n{\\mathbb{E}}\\left[ \\sum_{x\\in \\eta(D_n)}\\sup_{y,z\\in B(o,1):|y-z|<\\delta} |l(|x-y|)-l(|x-z|)|\\right]\n\\nonumber \\\\\n& & =\\frac{1}{\\epsilon}\n\\int_{D_n}\\sup_{y,z\\in B(o,1):|y-z|<\\delta} |l(|x-y|)-l(|x-z|)| dx.\n\\nonumber\n\\end{eqnarray}\nSince $D_n$ is bounded, we have that for any $x\\in D_n,$\n\\[\n\\sup_{y,z\\in B(o,1):|y-z|<\\delta} |l(|x-y|)-l(|x-z|)|\n\\leq \\sup_{(r_1,r_2)\\in E_n}(l(r_1)-l(r_2))\n\\]\nwhere $E_n=\\{(r_1,r_2)\\in {\\mathbb{R}}^2:0\\leq r_1<r_2\\leq 2{\\rm diam}(D_n),|r_1-r_2|<\\delta\\}$. Since \n$l(r)$ is continuous, it is uniformly continuous on $[0,2{\\rm diam}(D_n)]$.\nTherefore, for any fixed $n,$ the right hand side of \\eqref{eqn:alpha2} is \nsmaller than $\\alpha$ for $\\delta$ small enough.\n\nWe conclude that for any $\\epsilon,\\alpha>0,$ there exists \n$\\delta>0,$ small enough so that\n\\begin{equation} \\label{eqn:2alpha}\n{\\mathbb{P}}\\left(\\sup_{y,z\\in B(o,1):|y-z|<\\delta} |\\Psi(y)-\\Psi(z)|\\geq \\epsilon\\right)\n\\leq 2 \\alpha.\n\\end{equation}\nTo conclude the proof, assume that $\\Psi(y)$ is not a.s. \ncontinuous everywhere. Then, with positive probability, there\nexists $\\epsilon>0$ and a point $w\\in B(o,1\/2)$ such that for \nany $\\delta>0$\n\\[\n\\sup_{y:|y-w|<\\delta} |\\Psi(y)-\\Psi(w)|\\geq \\epsilon,\n\\]\ncontradicting \\eqref{eqn:2alpha}.\n\nWe now turn to the case where $l$ is unbounded.\nThen, for any $M<\\infty,$ we let $l_M(r)=\\min(l(r),M),$\nand define $\\Psi_M(y)$ to be the random field obtained by using $l_M$ instead of $l.$\nIf we let  \n\\[\nB_M(x)=\\{y\\in {\\mathbb{R}}^d:l(|x-y|)\\geq M\\},\n\\]\nwe see that $\\Psi_M(y)=\\Psi(y)$ for every $y\\in {\\mathbb{R}}^d\\setminus\\cup_{x\\in \\eta}B_M(x).$\nBy the first case, $\\Psi_M(y)$ is continuous everywhere,\nand so  $\\Psi(y)$ is continuous for any \n$y\\in {\\mathbb{R}}^d\\setminus\\cup_{x\\in \\eta}B_M(x).$\nSince $M<\\infty$ was arbitrary, the statement follows after observing that \n$\\lim_{y \\to x}\\Psi(y)=\\infty$ whenever $x\\in \\eta.$\n\\fbox{}\\\\\n\n\n\\section{Uniqueness} \\label{sec:uniqueness}\n\n\nIn this section we restrict ourselves to $d=2$. We will first \nconsider the case of $\\Psi_{> h}$, and then explain how the second\ncase of Theorem \\ref{thm:uniqueness} quickly follows from it. For convenience\nwe formulate the following separate statement.\n\n\\begin{theorem}\n\\label{groter}\nLet $h$ be such that $\\Psi_{> h}$ contains an unbounded component.\nIf $l$ is continuous and with unbounded support, then for $d=2$,\nthere is a unique such unbounded component.\n\\end{theorem} \nOur strategy will be to adapt the argument in \\cite{GKR} which proves uniqueness \nfor a class of models on ${\\mathbb{Z}}^d$. In order to perform this adaptation\nit is much easier to work with {\\em arcwise} connectedness rather than \nconnectedness. The reason for this is that we can easily form new arcs from intersecting \narcs, while the corresponding result for connectedness is rather challenging topologically.\n\n\nHowever, in our continuous context, we have defined percolation in terms of \nconnectedness, as is usually done. But, since $\\Psi$ is a.s.\\ continuous by Proposition \n\\ref{prop:contfield}, the set $\\Psi_{>h}$ is a.s.\\ an open set. For \nopen sets, connected and arcwise connected are the same thing, as is \nwell known. Hence, if $x$ and $y$ are in the same connected component \nof $\\Psi_{>h}$, then there is a continuous curve from $x$ to $y$ in \n$\\Psi_{>h}$. This observation makes $\\Psi_{>h}$ easier to study than $\\Psi_{\\geq h}$ \ndirectly, and is the reason for proving Theorem \\ref{groter} separately.\n\nIn the sequel we try to balance between \nthe fact that we do not want or need to repeat the whole argument of \n\\cite{GKR} on the \none hand, and the need to explain in detail what changes are to be made and \nwhat these changes constitute on the other hand.\n\nIn \\cite{GKR}, uniqueness of the infinite cluster in two-dimensional \ndiscrete site percolation is proved under four conditions. Consider a probability \nmeasure $\\mu$ on $\\{0,1\\}^{\\mathbb{Z}^2}$ and let \n$\\omega\\in \\{0,1\\}^{\\mathbb{Z}^2}$ be a configuration. If $\\omega(x)=1$\nwe call $x\\in {\\mathbb{Z}}^2$ {\\em open} and if $\\omega(x)=0$ we call it {\\em closed}.\nThe four conditions which together imply uniqueness of the infinite \nopen component are:\n\n\\begin{enumerate}\n\\item $\\mu$ is invariant under horizontal and vertical translations and under axis reflections.\n\\item $\\mu$ is ergodic (separately) under horizontal and vertical translations.\n\\item $\\mu(E \\cap F) \\geq \\mu(E)\\mu(F)$ for events $E$ and $F$ which are both increasing or both decreasing (The FKG inequality).\n\\item The probability that the origin is in an infinite cluster is non-trivial, that is, strictly between 0 and 1.\n\\end{enumerate}\n\nIn our context, conditions analogous to Conditions 1 and 2 clearly hold. Some \ncare is needed for Condition 3 though. We will say that an event $E$ is \nincreasing if a configuration in $E$ remains in $E$ if we add additional \npoints to the point process $\\eta$ (and adapt the field accordingly). \nFurthermore, $E$ is decreasing if $E^c$ is increasing. With these \ndefinitions, one can prove the analogue of the FKG inequality as in \nthe proof of Theorem 2.2 in \\cite{MR}.\n\nCondition 4 is natural in the discrete context. Indeed, if the probability that the origin is in an infinite cluster is 0, then by translation invariance, no infinite cluster can exist a.s. The case in which the probability that the origin is in an infinite cluster is 1 was excluded only for convenience, and this assumption is not used in the proof in \\cite{GKR}. In our continuous context, we need to be slightly more careful. Suppose that $\\Psi_{>h}$ contains an unbounded component with positive probability. Since $\\Psi_{>h}$ is an open set by continuity of the field, any such unbounded component must be open as well. Hence there must be an $\\epsilon>0$ and an $x \\in {\\mathbb{R}}^2$ so that $B(x,\\epsilon)$ is contained in an infinite component with positive probability, since a countable collection of such balls covers the plane. By translation invariance, the same must then be true for any $x\\in {\\mathbb{R}}^2$. Hence, any point $x \\in {\\mathbb{R}}^2$ is contained in an infinite component with positive probability, and Condition 4 holds. \n\nGandolfi, Keane and Russo prove uniqueness by showing that there exists a $\\delta>0$ such that any box $B_n=[-n,n]^2$ is surrounded by an open path with probability at least $\\delta$. Hence the probability that all such boxes are surrounded by an open path is at least $\\delta$, and since the latter event is translation invariant it must have probability one. This ensures uniqueness, as is well known since 1960, see \\cite{Harris}. For the proof of Theorem \\ref{groter}, we can \nin principle follow the structure of their argument, with a number \nof modifications, as follows.\n\n\n\n\n\n\\medskip\n\\noindent\n{\\bf Proof of Theorem \\ref{groter}.}\nFor any set $A\\subset {\\mathbb{R}}^d,$ we will let $\\Gamma_A:=\\sup_{x\\in A} \\Psi(x).$\n\nThe first step is to show that it is impossible to have percolation in a \nhorizontal strip $Q_M$ of the form\n$$\nQ_M: =\\{(x,y) \\in {\\mathbb{R}}^2; -M \\leq y \\leq M\\},\n$$\nand similarly for vertical strips. In their case this claim simply follows \nfrom the fact that closed sites exist (by virtue of Condition 4) and \nthen it follows from  Condition 3 that there is a positive probability \nthat a strip is blocked completely by closed sites. Finally, ergodicity \n(or rather stationarity) shows that a strip is blocked infinitely many \ntimes in either direction.\n\nSince we work in a continuous setting, this argument does not go through \nimmediately. However, we can adapt it to our context. To this end, consider the \nset $C= C(N,M):=[N,N+1] \\times [-M, M]$, that is, a vertical ``strip\" in $Q_M$.  \nSince the field is a.s.\\ finite, by deleting points one by one from $\\eta$, \nsay in increasing order with respect to distance to $C$, we have that \nupon deleting these points, $\\Gamma_C \\downarrow 0$. Hence, after \ndeleting sufficiently many points it must be the case that \n$\\Gamma_C <h$, for any given $h >0$. If we let $\\CD^o(L)$\ndenote the event that the contribution of points outside the \nbox $B_{L}$ to $\\Gamma_C$ is at most $h$, we conclude that for some\n(random) number $L$, $\\CD^o(L)$ occurs. It then follows that \nfor some deterministic $L_0,$ ${\\mathbb{P}}(\\CD^o(L_0))>0.$ Note also that \n$\\CD^o(L_0)$ only depends on the points of $\\eta$ outside $B_{L_0}$. \n\nLet $\\CD^i(L_0)$ denote the event that there are no points of $\\eta$\nin $B_{L_0}$ itself. Then ${\\mathbb{P}}(\\CD^i(L_0))>0$ and by independence of\n$\\CD^i(L_0)$ and $\\CD^o(L_0)$, it also follows that \n${\\mathbb{P}}(\\CD^i(L_0) \\cap \\CD^o(L_0))>0$. Furthermore, on the event  \n$\\CD^i(L_0) \\cap \\CD^o(L_0),$ we have that $\\Gamma_C <h$, and \nwe conclude that for any $h>0$ there is positive probability that \nthe field $\\Psi$ does not exceed $h$ on $C$. \nSo any vertical strip in $C(N,M) \\subset Q_M$ has positive \nprobability to satisfy $\\Gamma_C <h$ and by stationarity there must \nbe infinitely many of such strips in both directions. So there \ncan not be percolation in $Q_M$. \n\n\\medskip\n\nHaving established this, we now turn to the second step of the argument.\nAs mentioned above, in \\cite{GKR}, they construct open paths whose union, by virtue of \ntheir specific construction, surround a given box. They show that \nfor any given box, such a construction can be carried out with a \nuniform positive probability. It is at this point of the argument \nthat two-dimensionality is crucial as the two-dimensional topology \nforces certain paths to intersect.\n\nThe remainder of the proof of uniqueness proceeds in two steps. \nFirst we prove uniqueness under the assumption that the half-plane \n$H^+:=\\{(x,y); y \\geq 0\\}$ percolates. After that, \nwe prove uniqueness under the assumption that $H^+$ does not percolate. \n\nFor $x \\in {\\mathbb{R}}^2, A, B \\subset {\\mathbb{R}}^2$, we write $E(x, A, B)$ for the event \nthat there is a continuous path in  $\\Psi_{>h}$ from $x$ to $A$ which is \ncontained in $B$, and $E(x, \\infty, B)$ if there is an unbounded \ncontinuous path from $x$ in $B$. We write $L_N:=\\{(x,y); y=N\\}$,  \n$L_N^+:=\\{(x,y); y=N, x \\geq 0\\}$ and  $L_N^-:=\\{(x,y); y=N, x \\leq 0\\}$. \nFinally we write $H_N^+:=\\{(x,y); y \\geq N\\}$, so that $H_0^+ = H^+$.\n\nLet $E :=E(0,\\infty, H^+)$, let $D$ be a box centered at the origin, and \nlet $D_N := D + (0,N)$. \nFinally, let $\\tilde{E}_N := E(0, \\infty, H^+ \\backslash D_N)$. Now,\n\\[\n{\\mathbb{P}}(E){\\mathbb{P}}(\\Gamma_{D}) \\geq {\\mathbb{P}}(\\tilde{E}_N){\\mathbb{P}}(\\Gamma_{D_N}) \n\\geq {\\mathbb{P}}(\\tilde{E}_N \\cap \\Gamma_{D_N})= {\\mathbb{P}}(E \\cap  \\Gamma_{D_N}).\n\\]\nSince our system is mixing (see e.g.\\ \\cite{MR} p. 26\nplus the fact that the field is a deterministic function of the Poisson process), \nwe have that $\\lim_{N \\to \\infty} {\\mathbb{P}}(E \\cap  \\Gamma_{D_N})\n={\\mathbb{P}}(E){\\mathbb{P}}(\\Gamma_{D})$. It follows that when $N \\to \\infty$, ${\\mathbb{P}}(\\tilde{E}_N) \\to {\\mathbb{P}}(E)$. \nIn words, if we have percolation from the origin in $H^+$, the conditional probability that \nthere is an unbounded path avoiding $D_N$ tends to 1 as $N \\to \\infty$.\n\nHence, if the probability that $y_{-N}:=(0,-N)$ percolates in $H^+_{-N}$ is  $\\delta >0$, then\nfor $N$ large enough,\n$$\n{\\mathbb{P}}(E(y_{-N}, \\infty, H_{-N}^+\\backslash D))\\geq \\delta\/2.\n$$ \nSince the strip $Q_N$ does not percolate, if $y_{-N}$ percolates in \n$H^+_{-N}\\backslash D$, we conclude that the event \n$E(y_{-N}, L_N, Q_N\\backslash D)$ must occur, so that \n${\\mathbb{P}}(E(y_{-N}, L_N, Q_N\\backslash D)) \\geq \\delta\/2$. \n\nThe endpoint of the curve in the event $E(y_{-N}, L_N, Q_N\\backslash D)$\nis either in $L_N^+$ or in $L_N^-$, and by reflection symmetry, both \noptions have the same probability. Hence, \n$$\n{\\mathbb{P}}(E(y_{-N}, L_N^+, Q_N\\backslash D))\\geq \\delta\/4.\n$$\nBy reflection symmetry, it then follows that also\n$$\n{\\mathbb{P}}(E(y_{N}, L_{-N}^+, Q_N\\backslash D))\\geq \\delta\/4,\n$$\nand by combining the curves in the last two displayed formulas and the \nFKG inequality, we find that\n\\begin{equation}\n\\label{curves}\n{\\mathbb{P}}(E(y_{N}, y_{-N}, Q_N\\backslash D))\\geq \\delta^2\/16.\n\\end{equation}\nAny curve in the event $E(y_{N}, y_{-N}, Q_N\\backslash D)$\neither has $D$ on the left or on the right (depending whether it has \npositive or negative winding number) and again by reflection symmetry, \nboth possibilities must have probability at least $\\delta^2\/32$.  \nLet $J^+$ ($J^-$) be the sub-event of $E(y_{N}, y_{-N}, Q_N\\backslash D)$\nwhere there exists a curve with positive (negative) winding number.\nBy the FKG inequality, we \nhave that ${\\mathbb{P}}(J^+ \\cap J^-) \\geq \\delta^4\/1024$. But on $J^+ \\cap J^-$, \nthe box $D$ is surrounded by a continuous curve in $\\Psi_{>h}$, and we are done. \n\nFinally, we consider the case in which the half space does not percolate. \nWe can modify the argument in \\cite{GKR} similarly and we do not spell out \nall details. In the first case we showed that if we have percolation from \nthe origin in $H^+$, the conditional probability that there is an unbounded \npath avoiding $D_N$ tends to 1 as $N \\to \\infty$. In this second case it \nturns out that we need to show that this remains true if we in addition \nalso want to avoid $D_{-N}$. For this, the usual mixing property that we \nused above, does not suffice, and a version of 3-mixing is necessary. As \nin \\cite{GKR}, we use Theorem 4.11 in \\cite{Fu} for this, in which it is \nshown that ordinary weak mixing implies 3-mixing along a sequence of density 1. \nSince our system is weakly mixing, this application of Theorem 4.11 in \n\\cite{Fu} is somewhat simpler than in \\cite{GKR}, but other than that \nour argument is the same, and we do not repeat it here.\n\\fbox{}\\\\\n\n\n\\medskip\nFinally we show how Theorem \\ref{groter} implies Theorem \\ref{thm:uniqueness}.\n\n\\medskip\n\\noindent\n{\\bf Proof of Theorem \\ref{thm:uniqueness}}.\nWe first claim that $\\Psi_{>h}$ percolates if and only if $\\Psi_{\\geq h}$ percolates. The ``only if\" is \nclear, since $\\Psi_{> h} \\subset \\Psi_{\\geq h}$. \n\nNext, suppose that $\\Psi_{\\geq h}$ percolates. By definition, this implies that $\\Psi_{\\geq h}$ a.s.\\ contains an unbounded connected component. Let us denote this event by $C_h$. Let $A$ be a bounded region with positive volume. Since the probability of $C_h$ is 1, it must be the case that \n$$\n{\\mathbb{P}}(C_h| \\eta(A)=0)=1,\n$$\nwhere $\\eta(A)$ is the number of points of the Poisson process in $A$.\nSince we can sample from the conditional distribution of the process given $\\eta(A)=0$ by first sampling unconditionally and then simply remove all points in $A$, it follows that we cannot destroy the event of percolation by removing all points in $A$.\n\nHence if we take all points out from $A$, the resulting field $\\Psi^A$, say, will be such that $\\Psi^A_{\\geq h}$ percolates a.s. But if $\\eta(A) >0$, then it is the case that \n$\\Psi^A_{\\geq h} \\subseteq \\Psi_{>h}$, and it is precisely here we assume that \nthe attenuation function $l$ has unbounded support. Hence, with positive probability we have that $\\Psi_{>h}$ percolates, and by ergodicity this implies that $\\Psi_{>h}$ contains an infinite component a.s.\n\nWe can now quickly finish the proof. Suppose that $\\Psi_{\\geq h}$ percolates. Then, as we just saw, also \n$\\Psi_{>h}$ percolates. Hence we can apply the proof of Theorem \\ref{groter}, and conclude that \n$\\Psi_{>h}$ does contain continuous curves around each box. Since $\\Psi_{\\geq h}$ is an even larger set, the \nsame must be true for $\\Psi_{\\geq h}$ and uniqueness for this latter set follows as before.\n\\fbox{}\\\\\n\n\\noindent \n{\\bf Remark:}In light of Theorem \\ref{thm:uniqueness}, it is of course natural to expect \nthat uniqueness should hold also for $d\\geq 3.$ The classical argument for uniqueness\nin various lattice models and continuum percolation consists of two parts. Below\nwe examine these separately.\n\n\nLet $N_h$ be the number of unbounded components in $\\Psi_{\\geq h}$. \nFollowing the arguments of \\cite{NS} (which is for the lattice case \nbut can easily be adapted to the setting of Boolean percolation, see \n\\cite{MR} Proposition 3.3) one starts by observing that\n${\\mathbb{P}}(N_h=k)=1$ for some $k\\in\\{0,1,\\ldots\\}\\cup\\{\\infty\\}.$  \nAssume for instance that ${\\mathbb{P}}(N_h=3)=1$, and proceed by taking a \nbox $[-n,n]^d$ large enough so that \nat least two of these\ninfinite components intersect the box with positive probability. Then, glue these \ntwo components together by the use of a finite energy argument. That is, turn all \nsites in the box to state $1$ in the discrete case, or add balls to \nthe box in the \nBoolean percolation case. In this way, we reduce $N_h$ by (at least) 1, \nshowing that \n${\\mathbb{P}}(N_h=3)<1,$ a contradiction. If one attempts to repeat this procedure \nin our setting (with the support of $l$ being unbounded), \none finds that by adding points to the field, the gluing of two \ninfinite components might at the same\ntime result in the forming of a completely new infinite component \nsomewhere outside the box. \nTherefore, one cannot conclude that ${\\mathbb{P}}(N_h=3)<1$.\n\nThe second difficulty occurs when attempting to rule out the possibility that \n${\\mathbb{P}}(N_h=\\infty)=1.$ For the Boolean percolation model one uses an argument by Burton and Keane in \\cite{BK},\nadapted to the case of Boolean percolation (see \\cite{MR} proof of Theorem 3.6). \nHowever this argument hinges on the trivial\nbut crucial fact that for this model any unbounded component must contain infinitely many \npoints of the Poisson process $\\eta$. This is not the case in our setting. An unbounded component\ncan in principle contain only a finite number of points of $\\eta$, \nor indeed none at all. \\\\\n\n\nWe now turn to the last result of this paper, Theorem \\ref{thm:thetacont}.\nIn order to prove continuity, we will give separate arguments for \nleft- and right-continuity. The strategy to prove right-continuity \nwill be similar to the corresponding result (i.e. left-continuity)\nfor discrete lattice percolation (see \\cite{Grimmett}, Section 8.3).\nHowever, while the other case is trivial for discrete percolation, \nthis is where most of the effort in proving Theorem \\ref{thm:thetacont}\nlies. Before giving the full proof, we will need to establish two \nlemmas that will \nbe used to prove left-continuity. See also the remark after the end of \nthe proof of Theorem \\ref{thm:thetacont}.\n\n\nLet $X^0\\sim$Poi$(\\lambda)$, and let $X^1=X^0+1.$ The following\nlemma provides a useful coupling.\n\\begin{lemma} \\label{lemma:Poicouple}\nThere exist random variables $Y^0\\stackrel{d}{=}X^0$ and \n$Y^1\\stackrel{d}{=}X^1$ coupled so that \n\\[\n{\\mathbb{P}}(Y^0\\neq Y^1)\n=\\frac{\\lambda^{\\lfloor \\lambda \\rfloor}+1}{(\\lfloor \\lambda \\rfloor+1)!}\ne^{-\\lambda}.\n\\]\n\\end{lemma}\n\\noindent\n{\\bf Proof.}\nIn what follows, sums of the form $\\sum_{l=M}^{M-1} a_l$ is understood to be 0,\nand in order not to introduce cumbersome notation, expressions such as\n$\\lambda^k\/k!$ will be interpreted as 0 for $k<0.$\nNote also that \n\\begin{equation} \\label{eqn:Poiratio}\n\\frac{{\\mathbb{P}}(X^0=k)}{{\\mathbb{P}}(X^1=k)}\n=\\frac{\\frac{\\lambda^k}{k!}e^{-\\lambda}}\n{\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}}\n=\\frac{\\lambda}{k}\\geq 1 \\textrm{ iff } k\\leq \\lambda.\n\\end{equation}\n\n\nWe start by giving the coupling and then verify that it is well defined\nand has the correct properties.\nLet $U \\sim U[0,1]$ and for $1\\leq k \\leq \\lambda$ let $Y^0=Y^1=k$ if\n\\begin{equation} \\label{eqn:Poi1}\n\\sum_{l=0}^{k-2}\\frac{\\lambda^{l}}{l!}e^{-\\lambda}\n<U\\leq \\sum_{l=0}^{k-1}\\frac{\\lambda^{l}}{l!}e^{-\\lambda}\n\\end{equation}\nwhile for $k>\\lambda$ we let $Y^0=Y^1=k$ if\n\\begin{equation} \\label{eqn:Poi2}\n\\sum_{l=0}^{\\lfloor\\lambda\\rfloor}\\frac{\\lambda^l}{l!}e^{-\\lambda}\n+\\sum_{l=\\lfloor\\lambda\\rfloor +2}^{k-1}\\frac{\\lambda^l}{l!}e^{-\\lambda}\n<U\\leq \\sum_{l=0}^{\\lfloor\\lambda\\rfloor}\\frac{\\lambda^l}{l!}e^{-\\lambda}\n+\\sum_{l=\\lfloor\\lambda\\rfloor +2}^{k}\\frac{\\lambda^l}{l!}e^{-\\lambda}\n\\end{equation}\nFurthermore, we let $Y^0=k$ if $k\\leq \\lambda$ and\n\\begin{equation} \\label{eqn:Poi3}\n1-\\frac{\\lambda^k}{k!}e^{-\\lambda}\n< U\\leq 1-\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}\n\\end{equation}\nwhile $Y^1=k$ if $k> \\lambda$ and\n\\begin{equation} \\label{eqn:Poi4}\n1-\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}<U\n\\leq 1-\\frac{\\lambda^{k}}{k!}e^{-\\lambda}.\n\\end{equation}\nConsider now \\eqref{eqn:Poi3}. Since $k\\leq \\lambda$ it follows from \n\\eqref{eqn:Poiratio} that \n\\[\n1-\\frac{\\lambda^k}{k!}e^{-\\lambda} \n\\leq 1-\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda},\n\\]\nwith equality iff $k=\\lambda.$ It follows that \\eqref{eqn:Poi3}\nis well defined, and similarly we can verify that \\eqref{eqn:Poi4}\nis also well defined.\n\nWe proceed to verify that \\eqref{eqn:Poi1}--\\eqref{eqn:Poi4} \ngives the correct distributions of $Y^0$ and $Y^1$. \nTo this end, observe that from \\eqref{eqn:Poi1} and \\eqref{eqn:Poi3} \nwe have that for $0\\leq k\\leq \\lambda$ \n\\[\n{\\mathbb{P}}(Y^0=k)=\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}\n+\\frac{\\lambda^{k}}{k!}e^{-\\lambda}-\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}\n=\\frac{\\lambda^{k}}{k!}e^{-\\lambda}.\n\\]\nFurthermore, from \\eqref{eqn:Poi1} we get that for $k>\\lambda,$\n\\[\n{\\mathbb{P}}(Y^0=k)=\\frac{\\lambda^{k}}{k!}e^{-\\lambda}\n\\]\nso that indeed $Y^0\\sim$Poi$(\\lambda).$\n\n\nSimilarly, we see from \\eqref{eqn:Poi1} that for \n$1\\leq k \\leq \\lambda$ we have that \n\\[\n{\\mathbb{P}}(Y^1=k)=\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda},\n\\]\nwhile by summing the contributions from \\eqref{eqn:Poi2}\u00a8and \n\\eqref{eqn:Poi4} we get that for $k>\\lambda$\n\\[\n{\\mathbb{P}}(Y^1=k)\n=\\frac{\\lambda^k}{k!}e^{-\\lambda}+\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda}\n-\\frac{\\lambda^{k}}{k!}e^{-\\lambda}\n=\\frac{\\lambda^{k-1}}{(k-1)!}e^{-\\lambda},\n\\]\nso that $Y^1$ has the desired distribution.\n\nFinally, the lemma follows by observing that \n\\[\n{\\mathbb{P}}(Y^0\\neq Y^1)={\\mathbb{P}}\\left(U>\\sum_{l=0}^{\\lfloor\\lambda\\rfloor}\\frac{\\lambda^l}{l!}e^{-\\lambda}\n+\\sum_{l=\\lfloor\\lambda\\rfloor+2}^{\\infty}\\frac{\\lambda^l}{l!}e^{-\\lambda}\\right)\n=\\frac{\\lambda^{\\lfloor \\lambda \\rfloor}+1}{(\\lfloor \\lambda \\rfloor+1)!}\ne^{-\\lambda}.\n\\]\n\\fbox{}\\\\\n\nLet $\\eta^0_n$ be a homogeneous Poisson process in ${\\mathbb{R}}^2$ with rate \n1, and let $\\eta^1_n$ be a point process such that \n$\\eta^1_n\\stackrel{d}{=} \\eta^0_n+\\delta_{V_n}$ where $V_n\\sim$U$(B_n)$\nand $B_n=[-n,n]^2$.\nThus $\\eta^1_n$ is constructed by adding a point uniformly located within \nthe box $B_n$ to a homogeneous Poisson process in ${\\mathbb{R}}^2$.\nLet ${\\mathbb{P}}_n^i$ be the distribution of $\\eta^i_n$ for $i=0,1$\nand let \n\\[\nd_{TV}({\\mathbb{P}}_n^0,{\\mathbb{P}}_n^1):=\\sup_{A}|{\\mathbb{P}}_n^0(A)-{\\mathbb{P}}_n^1(A)|\n\\]\nbe the total variation distance between ${\\mathbb{P}}_n^0$ and ${\\mathbb{P}}_n^1$, where the supremum\nis taken over all measurable events $A$.\n\n\\begin{lemma} \\label{lemma:PoiTV}\nFor any $n\\geq 1$ we have that \n\\[\nd_{TV}({\\mathbb{P}}_n^0,{\\mathbb{P}}_n^1)\\leq \\frac{(4n^2)^{4n^2+1}}{(4n^2+1)!}e^{-4n^2}\n\\leq n^{-1}.\n\\]\n\\end{lemma}\n\\noindent\n{\\bf Proof.}\nLet $\\lambda=4n^2$ and pick $Y^0,Y^1$ as in Lemma \\ref{lemma:Poicouple}.\nFurthermore, let $\\eta$ be a homogeneous Poisson process in ${\\mathbb{R}}^2,$\nindependent of $Y^0$ and $Y^1,$\nand let $(U_k)_{k\\geq 1}$ be an i.i.d. sequence independent of $Y^0,Y^1$\nand $\\eta$ and such that $U_k\\sim$U$(B_n)$. Then, define \n\\[\n\\eta_n^0:=\\eta(B_n^c)+\\sum_{k=1}^{Y^0}\\delta_{U_k},\n\\]\nand\n\\[\n\\eta_n^1:=\\eta(B_n^c)+\\sum_{k=1}^{Y^1}\\delta_{U_k}.\n\\]\nIt is easy to see that $\\eta_n^i\\sim {\\mathbb{P}}_n^i$ and that \n\\begin{equation} \\label{eqn:etaY}\n{\\mathbb{P}}(\\eta_n^0\\neq \\eta_n^1)={\\mathbb{P}}(Y^0\\neq Y^1).\n\\end{equation}\nThus, for any measurable event $A$, we have that \n\\[\n|{\\mathbb{P}}_n^0(A)-{\\mathbb{P}}_n^1(A)|={\\mathbb{P}}(\\eta_n^0\\in A, \\eta_n^1 \\not \\in A)\n+{\\mathbb{P}}(\\eta_n^1\\in A, \\eta_n^0 \\not \\in A)\\leq \n{\\mathbb{P}}(\\eta_n^0\\neq \\eta_n^1)\n\\leq \\frac{(4n^2)^{4n^2+1}}{(4n^2+1)!}e^{-4n^2},\n\\]\nby using \\eqref{eqn:etaY} and Lemma \\ref{lemma:Poicouple}.\n\nFurthermore, by Stirling's approximation, we see that \n\\[\n\\frac{(4n^2)^{4n^2+1}}{(4n^2+1)!}e^{-4n^2}\n\\leq \\frac{(4n^2)^{4n^2}}{4n^2!}e^{-4n^2}\n\\leq \\frac{(4n^2)^{4n^2}}{\\sqrt{2\\pi}(4n^2)^{4n^2+1\/2}e^{-4n^2}}e^{-4n^2}\n\\leq n^{-1}.\n\\]\n\\fbox{}\\\\\n\\noindent\n{\\bf Remark:} Although we choose to state and prove this only for $d=2,$\na version of this lemma obviously holds for all $d\\geq 1.$ \\\\\n\nWe are now ready to give the proof of our last result.\\\\\n\\noindent\n{\\bf Proof of Theorem \\ref{thm:thetacont}.} \nWe start by proving the left-continuity of $\\theta_{>}(h).$ \nWe claim that \n\\begin{equation} \\label{eqn:uplimg1}\n\\lim_{g \\uparrow h} \\theta_{>}(g)={\\mathbb{P}}({\\mathcal{C}}_{o,>}(g) \\textrm{ is unbounded for every }\ng<h)={\\mathbb{P}}({\\mathcal{C}}_{o,\\geq}(h) \\textrm{ is unbounded}).\n\\end{equation}\nTo see this, observe first that trivially \n\\[\n\\{{\\mathcal{C}}_{o,\\geq}(h) \\textrm{ is unbounded}\\} \\subset \n\\bigcap_{g<h} \\{{\\mathcal{C}}_{o,>}(g) \\textrm{ is unbounded}\\}.\n\\]\nSecondly, assume that ${\\mathcal{C}}_{o,\\geq}(h)$ is bounded. Since \n${\\mathcal{C}}_{o,\\geq}(h)$ and $\\Psi_{\\geq h} \\setminus {\\mathcal{C}}_{o,\\geq}(h)$\nare disconnected, there exist open sets $G_1,G_2$ such that $G_1$ is connected,\n${\\mathcal{C}}_{o,\\geq}(h) \\subset G_1$, $\\Psi_{\\geq h} \\setminus {\\mathcal{C}}_{o,\\geq}(h)\\subset G_2$\nand $G_1 \\cap G_2=\\emptyset.$ Therefore, the set $G_3=G_1\\setminus {\\mathcal{C}}_{o,\\geq}(h)$\nis an open connected set separating the origin $o$ from $\\infty.$ Since \n$G_3$ is then also arcwise connected, it follows that it \n must contain a circuit surrounding the origin.\nThat is, there exists a continuous function $\\gamma:[0,1] \\to {\\mathbb{R}}^2$ such \nthat $\\gamma(0)=\\gamma(1)$ and $\\gamma$ separates $o$ from $\\infty.$\nSince $\\gamma$ is continuous,\nthe image of $\\gamma$ (Im$(\\gamma)$) is compact, and so \n$\\sup_{t\\in[0,1]}\\Psi(\\gamma(t))$ is obtained, since $\\Psi$ is continuous\nby Proposition \\ref{prop:contfield}. By construction, $G_3 \\subset {\\mathbb{R}}^2\\setminus \n\\Psi_{\\geq h}$ and so \nIm$(\\gamma) \\subset {\\mathbb{R}}^2 \\setminus \\Psi_{\\geq h}.$ We conclude that \n$\\sup_{t\\in[0,1]}\\Psi(\\gamma(t))<h.$ Therefore, for any $g$ such that\n$\\sup_{t\\in[0,1]}\\Psi(\\gamma(t))<g<h$ we must have that ${\\mathcal{C}}_{o,>}(g)$ is bounded.\nThis proves \\eqref{eqn:uplimg1}.\n\n\nLet $n$ be any integer and take\n\\[\n\\eta\\in \\{{\\mathcal{C}}_{o,\\geq}(h) \\textrm{ is unbounded}\\} \\setminus \n\\{{\\mathcal{C}}_{o,>}(h) \\textrm{ is unbounded}\\}.\n\\]\nLet $\\eta^1_n=\\eta+\\delta_{V_n}$ where $V_n\\sim$U$(B_n)$ and observe \nthat since $l$ has unbounded support,\n\\[\n\\eta_n^1\\in \\{{\\mathcal{C}}_{o,>}(h) \\textrm{ is unbounded}\\}.\n\\]\nUsing Lemma \\ref{lemma:PoiTV} we get that \n\\begin{eqnarray*}\n\\lefteqn{{\\mathbb{P}}({\\mathcal{C}}_{o,\\geq}(h) \\textrm{ is unbounded})} \\\\\n& & \\leq {\\mathbb{P}}^1_n({\\mathcal{C}}_{o,>}(h) \\textrm{ is unbounded})\n\\leq {\\mathbb{P}}^0_n({\\mathcal{C}}_{o,>}(h) \\textrm{ is unbounded})+n^{-1}\n=\\theta_{>}(h)+n^{-1}.\n\\end{eqnarray*}\nThis together with \\eqref{eqn:uplimg1} yields\n\\[\n\\lim_{g \\uparrow h} \\theta_{>}(g)\\leq \\lim_{n \\to \\infty}\\theta_{>}(h)+n^{-1}\n=\\theta_{>}(h).\n\\]\n\n\nIt remains to prove that \n\\begin{equation} \\label{eqn:downlimg1}\n\\lim_{g \\downarrow h} \\theta_{>}(g)=\\theta_{>}(h),\n\\end{equation}\nfor $h<h_c,$ and we will use a similar approach as above.\n We note that \n\\begin{equation} \\label{eqn:downlimg2}\n\\lim_{g \\downarrow h} {\\mathbb{P}}({\\mathcal{C}}_{o,>}(g) \\textrm{ is unbounded})\n={\\mathbb{P}}({\\mathcal{C}}_{o,>}(g) \\textrm{ is unbounded for some } g>h).\n\\end{equation}\nAssume that ${\\mathcal{C}}_{o,>}(h)$ contains an unbounded component, and consider any \n$h<g<h_c.$ Since $\\Psi_{>g}$ also must contain an unbounded component $I_g,$\nand since by Theorem \\ref{thm:uniqueness} we know that this is unique, \nwe conclude that $I_g \\subset {\\mathcal{C}}_{o,>}(h).$ As above, ${\\mathcal{C}}_{o,>}(h)$\nis an open set, and therefore arcwise connected. Thus, for $z\\in I_g,$\nthere exists a continuous function $\\phi:[0,1]\\to {\\mathbb{R}}^2$ \nsuch that $\\phi(0)=o$ and $\\phi(1)=z.$ Since $\\phi$ is continuous,\nthe Im$(\\phi)$ is compact, and so \n$\\inf_{t\\in[0,1]}\\Psi(\\phi(t))$ is obtained, since $\\Psi$ is continuous\nby Proposition \\ref{prop:contfield}. Furthermore, since \nIm$(\\phi) \\subset {\\mathcal{C}}_{o,>}(h),$ we conclude that \n$\\inf_{t\\in[0,1]}\\Psi(\\phi(t))>h.$ Therefore, for some \n$h<g'<h_c$ we also have that $\\inf_{t\\in[0,1]}\\Psi(\\phi(t))>g'$,\nand so ${\\mathcal{C}}_{o,>}(g')$ contains an unbounded component.\nWe conclude that \n\\begin{equation} \\label{eqn:someg}\n{\\mathbb{P}}({\\mathcal{C}}_{o,>}(g) \\textrm{ is unbounded for some } g>h)\n={\\mathbb{P}}({\\mathcal{C}}_{o,>}(h) \\textrm{ is unbounded}).\n\\end{equation}\nCombining equations \\eqref{eqn:downlimg2} and \\eqref{eqn:someg} we conclude\nthat \\eqref{eqn:downlimg1} holds.\n\nIn order to complete the proof, we simply observe that for any \n$g<h$ we have that $\\theta_>(h)\\leq \\theta_{\\geq}(h)\\leq \\theta_>(g)$\nso that \n\\[\n\\theta_>(h)\\leq \\theta_{\\geq}(h) \n\\leq \\liminf_{g \\uparrow h} \\theta_{>}(g)=\\theta_>(h),\n\\]\nso that indeed $\\theta_>(h)=\\theta_{\\geq}(h)$ for every $h<h_c.$\n\\fbox{}\\\\\n\n\\noindent\n{\\bf Remark:}\nConsider the event $\\{o\\leftrightarrow \\partial B_n\\}$, that the \norigin is connected to the boundary of $B_n.$\nIn the discrete case, it is trivial that \n${\\mathbb{P}}_p(o \\leftrightarrow \\partial B_n)$ is continuous as a function of the percolation\nparameter $p,$  since it is an event that depends on the state of only finitely many\nedges. This then gives an easy proof of right-continuity (corresponding to left-continuity \nin our case). In our model, points of $\\eta$ at any distance contribute to \nthe field in $B_n.$ Therefore, we cannot claim immediate continuity of \n${\\mathbb{P}}(o \\leftrightarrow \\partial B_n)$, although our methods above can be used to prove\nit.\n\n\n \n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\n\\section{General aspects of baryogenesis}\n\nThe cosmological baryon asymmetry, the ratio of the baryon density to the\nentropy density of the universe,\n\\begin{equation}\nY_B = {n_B\\over s} = (0.6 - 1)\\cdot 10^{-10}\\;,\n\\end{equation}\ncan be understood as a consequence of baryon number violation, C and\nCP violation, and a deviation from thermal equilibrium\\cite{sac}. The\npresently observed value of the baryon asymmetry is then explained as a \nconsequence of the spectrum and interactions of elementary particles, \ntogether with the cosmological evolution.\n\nA crucial ingredient of baryogenesis is the connection between baryon number\n($B$) and lepton number ($L$) in the high-temperature, symmetric phase of\nthe standard model. Due to the chiral nature of the weak interactions $B$ and\n$L$ are not conserved\\cite{thoo}. At zero \ntemperature this has no observable effect due to the smallness of the weak \ncoupling. However, as the temperature approaches the critical temperature \n$T_c$ of the electroweak phase transition, $B$ and $L$ violating processes \ncome into thermal equilibrium\\cite{krs}. The rate of these processes is\nrelated to the free energy of sphaleron-type field configurations which carry\ntopological charge. In the standard model they lead to an effective\ninteraction of all left-handed fermions (cf. fig.~\\ref{fig_sphal}) which \nviolates baryon and lepton number by three units, \n\\begin{equation} \n    \\Delta B = \\Delta L = 3\\;. \\label{sphal1}\n\\end{equation}\nThe evaluation of the sphaleron rate in the symmetric high temperature phase is\na challenging problem\\cite{arn}. Although a complete theoretical understanding\nhas not yet been achieved, it is generally believed that $B$ and $L$ violating\nprocesses are in thermal equilibrium for temperatures in the range\n\\begin{equation} \nT_c^{EW} \\sim 100\\ \\mbox{GeV} < T < T_{SPH} \\sim 10^{12}\\ \\mbox{GeV}\\;.\n\\end{equation}\n\n  \\begin{figure}[t]\n    \\begin{center}\n      \\scaleboxto(7,7){\n        \\parbox[c]{9cm}{\\input{Fig01.tex}}\n      }\n    \\end{center}\n    \\caption{\\it One of the 12-fermion processes which are in thermal \n      equilibrium in the high-temperature phase of the standard model.\n      \\label{fig_sphal}\n    }\n  \\end{figure}\n  \nSphaleron processes have a profound effect on the generation of the\ncosmological baryon asymmetry.  Eq.~\\ref{sphal1} suggests that any\n$B+L$ asymmetry generated before the electroweak phase transition,\ni.e., at temperatures $T>T_c^{EW}$, will be washed out. However, since\nonly left-handed fields couple to sphalerons, a non-zero value of\n$B+L$ can persist in the high-temperature, symmetric phase if there\nexists a non-vanishing $B-L$ asymmetry. An analysis of the chemical potentials\nof all particle species in the high-temperature phase yields the following\nrelation between the baryon asymmetry\n$Y_B = (n_B-n_{\\overline{B}})\/s$ and the corresponding\n$L$ and $B-L$ asymmetries $Y_L$ and $Y_{B-L}$, respectively\\cite{chem},\n\\begin{equation}\\label{basic}\nY_B\\ =\\ C\\ Y_{B-L}\\ =\\ {C\\over C-1}\\ Y_L\\;.\n\\end{equation}\nHere $C$ is a number ${\\cal O}(1)$. In the standard model with three \ngenerations and one Higgs doublet one has $C=28\/79$. \n  \nWe conclude that $B-L$ violation is needed if the baryon asymmetry is\ngenerated before the electroweak transition, i.e. at temperatures \n$T > T_c^{EW} \\sim 100$~GeV.\nIn the standard model, as well as its supersymmetric version and its unified \nextensions based on the gauge group SU(5), $B-L$ is a conserved quantity. \nHence, no baryon asymmetry can be generated dynamically in these models.\n\n  \\begin{figure}[b]\n     \\input{Fig03.tex}\n     \\caption{\\it Lepton number violating lepton Higgs scattering\n       \\label{lept_fig}}\n  \\end{figure}\n\nThe remnant of lepton number violation in extensions of the standard model\nat low energies is the appearance of an effective $\\Delta L=2$ interaction \nbetween lepton and Higgs fields,\n  \\begin{equation}\\label{dl2}\n  {\\cal L}_{\\Delta L=2} = {1\\over 2}\\overline{l_L}\\,\\phi\\,g_{\\nu}\\,{1\\over M}\\,\n         g_{\\nu}^T\\,\\phi\\,l_L^c +\\mbox{ h.c.}\\;.\\label{intl2}\n  \\end{equation}\nSuch an interaction arises in particular from the exchange of heavy Majorana\nneutrinos (cf.~fig.~\\ref{lept_fig}). In the Higgs phase of the standard\nmodel, where the Higgs field aquires a vacuum expectation value, it gives\nrise to Majorana masses of the light neutrinos $\\nu_e$, $\\nu_\\mu$ and $\\nu_\\tau$.   \n\nAt finite temperature the $\\Delta L=2$ processes described by (\\ref{dl2}) take\nplace with the rate\\cite{fy1}\n  \\begin{equation}\n    \\Gamma_{\\Delta L=2} (T) = {1\\over \\pi^3}\\,{T^3\\over v^4}\\, \n    \\sum_{i=e,\\mu,\\tau} m_{\\nu_i}^2\\; .\n  \\end{equation}\nIn thermal equilibrium this yields an additional relation between the\nchemical potentials which implies\n\\begin{equation}\nY_B\\ =\\ Y_{B-L}\\ =\\ Y_L\\ =\\ 0 \\; .\n\\end{equation}\n\nTo avoid this conclusion, the $\\Delta L=2$ interaction (\\ref{intl2}) must not \nreach thermal equilibrium. For baryogenesis at very high temperatures, \n$T > T_{SPH} \\sim 10^{12}$ GeV, one has to require \n$\\Gamma_{\\Delta L=2} < H|_{T_{SPH}}$,\nwhere $H$ is the Hubble parameter. This yields a stringent upper bound on\nMajorana neutrino masses,\n\\begin{equation}\\label{nbound}\n\\sum_{i=e,\\mu,\\tau} m_{\\nu_i}^2 < (0.2\\ \\mbox{eV})^2\\;.\n\\end{equation}\nThis bound is comparable to the upper bound on the electron neutrino mass \nobtained from neutrinoless double beta decay. Note, however, that the bound\nalso applies to the $\\tau$-neutrino mass. In supersymmetric\ntheories two chiral U(1) symmetries in addition to baryon and lepton number\nare approximately conserved at temperatures above \n$T_{SS} \\sim 10^7$ GeV\\cite{iba}. This relaxes the upper bound (\\ref{nbound})\nfrom 0.2~eV to about 60~eV.\n  \nThe connection between lepton number and the baryon asymmetry is lost\nif baryogenesis takes place at or below the Fermi scale\\cite{dol}. However, \ndetailed studies of the thermodynamics of the electroweak transition have\nshown that, at least in the standard model, the deviation from thermal\nequilibrium is not sufficient for baryogenesis\\cite{jansen}. In the minimal \nsupersymmetric extension of the standard model (MSSM) such a scenario \nappears still possible for a limited range of parameters\\cite{dol}.\n\n\\section{Decays of heavy Majorana neutrinos}\n\nBaryogenesis above the Fermi scale requires $B-L$ violation, and therefore \n$L$ violation. Lepton number violation is most simply realized by adding \nright-handed Majorana neutrinos to the standard model.  Heavy right-handed \nMajorana neutrinos, whose existence is predicted by theories based on gauge \ngroups containing the Pati-Salam symmetry\\cite{pat} \nSU(4)$\\otimes$SU(2)$_L\\otimes$SU(2)$_R$, can also explain the smallness of \nthe light neutrino masses via the see-saw mechanism\\cite{seesaw}.\n\nThe most general lagrangian for couplings and masses of charged\nleptons and neutrinos reads \n  \\begin{equation}\\label{yuk}\n    {\\cal L}_Y = -\\overline{l_L}\\,\\wt{\\phi}\\,g_l\\,e_R\n            -\\overline{l_L}\\,\\phi\\,g_{\\nu}\\,\\nu_R\n            -{1\\over2}\\,\\overline{\\nu^C_R}\\,M\\,\\nu_R\n            +\\mbox{ h.c.}\\;.\n  \\end{equation}\nThe vacuum expectation value of the Higgs field $\\VEV{\\varphi^0}=v\\ne0$\ngenerates Dirac masses $m_l$ and $m_D$ for charged leptons and neutrinos,\n$m_l=g_lv$ and $m_D=g_{\\nu}v$, respectively, which are assumed to be much \nsmaller than the Majorana masses $M$.\nThis yields light and heavy neutrino mass eigenstates\n  \\begin{equation}\n     \\nu\\simeq K^{\\dg}\\nu_L+\\nu_L^C K\\quad,\\qquad\n     N\\simeq\\nu_R+\\nu_R^C\\, ,\n  \\end{equation}\nwith masses\n  \\begin{equation}\n     m_{\\nu}\\simeq- K^{\\dg}m_D{1\\over M}m_D^T K^*\\,\n     \\quad,\\quad  m_N\\simeq M\\, .\n     \\label{seesaw}\n  \\end{equation}\n  Here $K$ is a unitary matrix which relates weak and mass eigenstates. \n  \n  The right-handed neutrinos, whose exchange may erase any lepton\n  asymmetry, can also generate a lepton asymmetry by means of\n  out-of-equilibrium decays. This lepton asymmetry is then partially \n  transformed into a baryon asymmetry by sphaleron processes\\cite{fy}.  \n  The decay width of the heavy neutrino $N_i$ reads at tree level,\n  \\begin{eqnarray}\n    \\Gamma_{Di}&=&\\Gamma\\left(N^i\\to\\phi^c+l\\right)+\\Gamma\\left(N^i\\to\\phi+l^c\\right)\\nonumber\\\\\n           &=&{1\\over8\\pi}{(m_D^{\\dg}m_D)_{ii}\\over v^2}M_i\\;.\n    \\label{decay}\n  \\end{eqnarray}\nFrom the decay width one obtains an upper bound on the light neutrino masses\n  via the out-of-equilibrium condition\\cite{fisch}.\n  Requiring $\\Gamma_{D1}< H|_{T=M_1}$ yields the constraint\n  \\begin{equation}\\label{ooeb}\n  \\wt{m}_1\\ =\\ {{(m_D^{\\dg}m_D)_{11}}\\over M_1}\\ < \\ 10^{-3}\\, \\mbox{eV}\\;.\n  \\end{equation}\nMore direct bounds on the light neutrino masses depend on the structure\nof the Dirac neutrino mass matrix as we shall discuss below.\n\nInterference between the tree-level amplitude and the one-loop \nself-energy and vertex corrections yields the $CP$ asymmetry\\cite{cov,bp2}\n\\begin{eqnarray}\n\\varepsilon_1&=&{\\Gamma(N_1\\rightarrow l \\phi^c)-\\Gamma(N_1\\rightarrow l^c \\phi)\\over\n         \\Gamma(N_1\\rightarrow l \\phi^c)+\\Gamma(N_1\\rightarrow l^c \\phi)}\\nonumber\\\\\n     &\\simeq&{3\\over16\\pi v^2}\\;{1\\over\\left(m_D^{\\dag}m_D\\right)_{11}}\n      \\sum_{i=2,3}\\mbox{Im}\\left[\\left(m_D^{\\dag}m_D\\right)_{1i}^2\\right]\n      {M_1\\over M_i}\\label{cpa}\\;.\n\\end{eqnarray}\nHere we have assumed $M_1\\ll M_2,M_3$. For very small mass differences,\nwhich are comparable to the decay widths, one obtains a resonance \nenhancement\\cite{pil}. \n\nThe CP asymmetry (\\ref{cpa}) leads to the generated lepton \nasymmetry\\cite{kw},\n\\begin{equation}\nY_L\\ =\\ {n_L-n_{\\overline{L}}\\over s}\\ =\\ \\kappa\\ {\\varepsilon_1\\over g_*}\\;.\n    \\label{esti}\n\\end{equation}\nHere the factor $\\kappa<1$ represents the effect of washout processes. In order\nto determine $\\kappa$ one has to solve the full Boltzmann equations. In the\nexamples discussed below one has $\\kappa\\simeq 0.1\\ldots 0.01$.\n\nThe CP asymmetry (\\ref{cpa}) is given in terms of the Dirac and the Majorana\nneutrino mass matrices. One can always choose a basis for the right-handed\nneutrinos where the Majorana mass $M$ is diagonal with real and positive \neigenvalues. $m_D$ is a general complex matrix, which can be diagonalized by \na biunitary transformation. One then has\n\\begin{equation}\n    m_D=V\\,\\left(\\begin{array}{ccc}m_1&0&0\\\\0&m_2&0\\\\0&0&m_3\n              \\end{array}\\right)\\,U^{\\dag} \\;,\\quad\n    M=\\left(\\begin{array}{ccc}M_1&0&0\\\\0&M_2&0\\\\0&0&M_3\n    \\end{array}\\right)\\;,\n\\end{equation}\n  where $V$ and $U$ are unitary matrices and the $m_i$ are real and\n  positive. In the absence of a Majorana mass term $V$ and $U$ would \n  correspond to Kobayashi-Maskawa type mixing matrices of left- and \n  right-handed charged currents, respectively.\n\n \\begin{figure}[t]\n    \\mbox{ }\\hfill\n    \\epsfig{file=Fig06a.eps,width=8.2cm}\n    \\hfill\\mbox{ }\n    \\caption{\\it Time evolution of the neutrino number density and the\n     B-L asymmetry for $\\lambda\\simeq 0.1$ and $m_3\\simeq m_t$\\label{asyNS}}\n  \\end{figure} \n  \n  Note, that according to eqs.~(\\ref{decay}) and (\\ref{cpa}) the $CP$\n  asymmetry is determined by the mixings and phases present in the\n  product $m_D^{\\dg}m_D$, where the matrix $V$ drops out.  Hence, to\n  leading order, the mixings and phases which are responsible for\n  baryogenesis are entirely determined by the matrix $U$.\n  Correspondingly, the mixing matrix $K$ in the leptonic charged\n  current, which determines $CP$ violation and mixings of the light\n  leptons, depends on mass ratios and mixing angles and phases of $U$\n  and $V$.  This implies that there exists no direct connection\n  between $CP$ violation and generation mixing which are relevant at high\n  energies and at low energies, respectively.\n \nIn many models the quark and lepton mass hierarchies and mixings are \nparametrised in terms of a common mixing parameter $\\lambda \\sim 0.1$. Assuming\na hierarchy for the right-handed neutrino masses similar to the one\nsatisfied by up-type quarks,\n\\begin{equation}\n{M_1\\over M_2}\\ \\sim\\ {M_2\\over M_3}\\ \\sim\\ \\lambda^2\\;,\n\\end{equation}\nand a corresponding CP asymmetry \n\\begin{equation}\n\\varepsilon_1\\ \\sim\\ {\\lambda^4\\over 16\\pi}\\ {m_3^2\\over v^2}\\ \n       \\sim\\ 10^{-6}\\ {m_3^2\\over v^2} \\;,\n\\end{equation} \none obtains indeed the correct order of magnitude for the baryon \nasymmetry\\cite{bp} if one chooses $m_3\\simeq m_t\\simeq 174$ GeV, as expected \nin theories with Pati-Salam symmetry. Using as a constraint the \nvalue for the $\\nu_{\\mu}$-mass which is preferred by the MSW \nexplanation\\cite{msw} of the solar neutrino deficit\\cite{tot}, \n$m_{\\nu_{\\mu}}\\simeq 3\\cdot10^{-3}$~eV, the ansatz\\cite{bp} implies for the \nother light and the heavy neutrino masses \n\\begin{equation}\nm_{\\nu_e}\\simeq 8\\cdot 10^{-6}\\ \\mbox{eV}\\;,\n\\quad m_{\\nu_{\\tau}}\\simeq 0.15\\ \\mbox{eV}\\;, \n\\qquad M_3 \\simeq 2\\cdot10^{14}\\ \\mbox{GeV}\\;. \\label{nmass} \n\\end{equation}\nConsequently, one has $M_1\\simeq 2\\cdot10^{10}$ GeV and\n$M_2\\simeq 2\\cdot10^{12}$ GeV. The solution of the Boltzmann equations \nthen yields the baryon asymmetry (see fig.~\\ref{asyNS}),\n  \\begin{equation}\n     Y_B \\simeq 9\\cdot10^{-11}\\; , \\label{nonsusy_res1}\n  \\end{equation}\nwhich is indeed the correct order of magnitude. The precise value\ndepends on unknown phases.\n\n  \\begin{figure}[t]\n     \\begin{center}\n     \\epsfig{file=Fig10a.eps,width=8.2cm}\n     \\end{center}\n     \\caption{\\it Time evolution of the neutrino and the scalar neutrino\n       number densities, and of the lepton asymmetries for $\\lambda\\simeq 0.1$\n       and $m_3\\simeq m_t$. \\label{asyS}}\n  \\end{figure}\n  \nThe large mass $M_3$ of the heavy Majorana neutrino $N_3$\n(cf.~(\\ref{nmass})), suggests that $B-L$ is already broken at the\nunification scale $\\Lambda_{\\mbox{\\scriptsize GUT}} \\sim 10^{16}$\nGeV, without any intermediate scale of symmetry breaking. This large\nvalue of $M_3$ is a consequence of the choice $m_3 \\simeq m_t$. This\nis indeed necessary in order to obtain  sufficiently large CP asymmetry.\n\nThe recently reported atmospheric neutrino anomaly\\cite{kamio} may be\ndue to $\\nu_\\mu$-$\\nu_\\tau$ oscillations. The required mass difference is\n$\\Delta m^2_{\\nu_\\mu \\nu_\\tau} \\simeq (5\\cdot 10^{-4}-6\\cdot 10^{-3})$ eV$^2$,\ntogether with a large mixing angle $\\sin^2{2\\Theta}>0.82$. In the case\nof hierarchical neutrinos this corresponds to a $\\tau$-neutrino mass \n$m_{\\nu_\\tau} \\sim (0.02-0.08)$ eV. Within the theoretical uncertainties\nthis is consistent with the $\\tau$-neutrino mass (\\ref{nmass}) obtained from \nbaryogenesis. The $\\nu_\\tau$-$\\nu_\\mu$ mixing angle is not constrained by \nleptogenesis and therefore a free parameter in principle. The large value,\nhowever, is different from the mixing angles known in the quark sector\nand requires an explanation. An possible framework are U(1) family\nsymmetries\\cite{sat}. A large mixing angle can also naturally occur \ntogether with a mass hierarchy of light and heavy Majorana \nneutrinos\\cite{kug,buy}.\n\nWithout an intermediate scale of symmetry breaking, the unification\nof gauge couplings appears to require low-energy supersymmetry.\nSupersymmetric leptogenesis\\cite{camp} has recently been studied in detail,\ntaking all relevant scattering processes into account, which is necessary \nin order to get a reliable relation between the input parameters and the \nfinal baryon asymmetry\\cite{plue}. It turns out that the lepton number \nviolating scatterings are qualitatively more important than in the \nnon-supersymmetric case and that they can also account for the generation of \nan equilibrium distribution of heavy neutrinos at high temperatures.\n   \nThe supersymmetric generalization of the lagrangian (\\ref{yuk}) is\nthe superpotential\n\\begin{equation}\n    W = {1\\over2}N^cMN^c + \\mu H_1\\epsilon H_2 + H_1 \\epsilon L \\lambda_l E^c \n        + H_2 \\epsilon L \\lambda_{\\nu} N^c\\;,\n\\end{equation}\nwhere, in the usual notation, $H_1$, $H_2$, $L$, $E^c$ and $N^c$ are\nchiral superfields describing spin-0 and spin-${1\\over 2}$ fields.\nThe vacuum expectation value $v_2=\\left\\langle H_2\\right\\rangle$ of the \nHiggs field $H_2$ generates the Dirac mass matrix $m_D=\\lambda_{\\nu}v_2$ for \nthe neutrinos and their scalar partners.\n\nThe heavy neutrinos $N_i$ and their scalar partners $\\wt{N_i}$ decay with\ndifferent probabilities into final states with different lepton number. \nThe generated lepton asymmetries are shown in fig.~\\ref{asyS}\\cite{plue}. \n$Y_{L_f}$ and $Y_{L_s}$ denote the absolute values of the asymmetries stored \nin leptons and their scalar partners, respectively. They are related\nto the baryon asymmetry by\n\\begin{equation}\n    Y_B = - {8\\over 23}\\ Y_L\\quad, \\qquad Y_L = Y_{L_f} + Y_{L_s}\\;.\n\\end{equation} \n$Y_{N_1}$ is the number of heavy neutrinos per comoving volume\nelement, and\n\\begin{equation}\n    Y_{1\\pm} = Y_{\\widetilde{N_1^c}}\\pm Y_{\\wt{N}_1},\n\\end{equation}\nwhere $Y_{\\widetilde{N_1^c}}$ is the number of scalar neutrinos per comoving\nvolume element. As fig.~\\ref{asyS} shows, the generated baryon\nasymmetry has the correct order of magnitude, as in the non-supersymmetric \ncase.\n\nFrom the discussion of the out-of-equilibrium condition we know that the \ngenerated baryon asymmetry is very sensitive to the decay width $\\Gamma_{D1}$ \nof $N_1$, and therfore to ${(m_D^{\\dg}m_D)_{11}}$. In fact, the asymmetry essentially depends \non the effective neutrino mass $\\wt{m}_1$\\cite{plue}. For the case of \nhierarchical neutrino masses described above, one has\\cite{bp}\n\\begin{equation}\n\\wt{m}_1\\ =\\ {{(m_D^{\\dg}m_D)_{11}}\\over M_1}\\ \\simeq\\ m_{\\nu_\\mu}\\;.\n\\end{equation}\nIt turns out that a sufficiently large baryon asymmetry is generated in the\nrange\\cite{plue}\n\\begin{equation}\n    10^{-5}\\;\\mbox{eV}\\;\\ltap\\;\\wt{m}_1\\;\\ltap\\;\n    5\\cdot10^{-3}\\;\\mbox{eV}\\;,\n\\end{equation}\nwhich is consistent with the rough bound (\\ref{ooeb}).\nThis result is independent of any assumptions on the mass matrices. It is \nvery interesting that the $\\nu_{\\mu}$-mass preferred by the MSW explanation \nof the solar neutrino deficit lies indeed in the interval allowed by \nbaryogenesis!\n\nComparing non-supersymmetric and supersymmetric leptogenesis one sees \nthat the larger $CP$ asymmetry and the additional contributions from the \nsneutrino decays in the supersymmetric scenario are compensated by the \nwash-out processes which are stronger than in the non-supersymmetric case. \nThe final asymmetries are the same in the non-supersymmetric and in the \nsupersymmetric case.\n\nLeptogenesis can also be considered in extended models which contain\nheavy SU(2)-triplet Higgs fields in addition to right-handed \nneutrinos\\cite{ma,laz}. Decays of the heavy scalar bosons can in principle\nalso contribute to the baryon asymmetry. However, since these Higgs particles\ncarry gauge quantum numbers they are strongly coupled to the plasma and\nit is difficult to satisfy the out-of-equilibrium condition. The resulting\nlarge baryogenesis temperature is in conflict with the \n`gravitino constraint'\\cite{del}.\n\n\\section{SUSY mass spectrum and dark matter}\n\nThe out-of-equilibrium condition for the decay of the heavy Majorana\nneutrinos, the see-saw mechanism and the experimental evidence for small\nneutrino masses are all consistent and suggest rather large heavy neutrino\nmasses and a correspondingly large baryogenesis temperature. Within the\nansatz described in the previous section one obtains\n\\begin{equation}\nT_B\\ \\sim\\ M_1\\sim\\ 10^{10}\\ \\mbox{GeV}\\;.\n\\end{equation}\nSuch a large baryogenesis temperature can only be avoided in the very\nspecial case of a strong resonant amplification of the CP violating \ndecays\\cite{pil}. \n\nIn the particularly attractive supersymmetric version of leptogenesis one \nalso has to consider the following two issues: the size of other\npossible contributions to the baryon asymmetry and the consistency of\nthe large baryogenesis temprature with the `gravitino constraint'\\cite{khl}.\nA large asymmetry may potentially be generated by coherent oscillations\nof scalar fields which carry baryon and lepton number\\cite{din}. However,\nit appears likely that\nthe interactions of the right-handed neutrinos are sufficient to erase\nsuch large primordial baryon and lepton asymmetries\\cite{jak}. \n\n\\begin{figure}[t]\n\\begin{center}\n\\epsfig{file=Gluon_t.ps}\n\\end{center}\n\\caption{\\it Typical gravitino production processes mediated by gluon \nexchange. \\label{gravprod}}\n\\end{figure}\n\nThe `gravitino contraint' is particularly interesting since it is model \nindependent to a large extent, and it therefore provides very interesting\ninformation about possible extensions of the standard model.\nThe production of gravitinos ($\\tilde{G}$) at high temperatures is dominated\nby two-body processes involving gluinos ($\\gl$) (cf.~fig.~\\ref{gravprod}). \nOn dimensional grounds the production rate has the form\n\\begin{equation}\n\\Gamma(T)\\ \\propto\\ {1\\over M^2}\\ T^3\\;,\n\\end{equation}\nwhere $M = (8\\pi G_N)^{-1\/2} = 2.4\\cdot 10^{18}$ GeV is the Planck mass. \nHence, the density of thermally produced gravitinos increases strongly with \ntemperature.\n\nThe production cross section is enhanced by a factor \n$(m_{\\gl}\/m_{\\tilde{G}})^2$ for light gravitinos\\cite{mor}.\nThe thermally averaged cross section has recently been evaluated for arbitrary\ngravitino masses. The result reads\\cite{bol}\n\\begin{eqnarray}\nC(T) &=& \\VEV{\\sigma_{(L)} v\\sbs{rel}} \\nonumber\\\\\n&=& {21 g^2(T)\\over 32\\pi\\zeta^2(3) M^2}((N^2-1)C_A + 2n_f N C_F)\n\\left(1+{m_{\\gl}^2(T) \\over 3 m_{\\tilde{G}}^2}\\right)\\nonumber\\\\\n&&\\hspace{2cm}\\left(\\ln{1\\over g^2(T)} + {5\\over 2} + 2\\ln{2} -2\\gamma_E\\right)\\;.\n\\end{eqnarray}\nHere $C_A$ and $C_F$ are the usual colour factors for the group SU(N) and \n$2n_f$ is the number of colour-triplet chiral multiplets, i.e. $2n_f=12$ in \nthe MSSM. The logarithmic collinear singularity of the cross section has\nbeen regularized by a plasma mass $m \\sim g(T)T$ for the gluon. \nThe unknown constant part of the thermally averaged cross section is expected\nto be of the same size as the term proportional to $\\ln(1\/g^2(T))$.\nFor QCD (N=3) one has\n\\begin{equation}\\label{eq:2}\nC(T) \\simeq 10 {g^2(T)\\over M^2}\\left(1+{m_{\\gl}^2(T) \\over 3 m_{\\tilde{G}}^2}\\right)\n\\left(\\ln{1\\over g^2(T)} + 2.7\\right)\\;.\n\\end{equation}.\n\nThe cross section $C(T)$ enters in the Boltzmann equation, which \ndescribes the generation of a gravitino density $n_{\\tilde{G}}$ in the thermal \nbath\\cite{kol},\n  \\begin{equation}\n    \\frac{dn_{\\tilde{G}}}{dt} + 3 H n_{\\tilde{G}} = C(T) n\\sbs{rad}^2\\;.\n    \\label{eq:3}\n  \\end{equation}\nHere $H(T)$ is the Hubble parameter and $n\\sbs{rad}=\\frac{\\zeta(3)}{\\pi^2}T^3$ \nis the number density of a relativistic bosonic degree of freedom. \nFrom eqs.~(\\ref{eq:2}) and (\\ref{eq:3}) one obtains for the density of\nlight gravitinos and the corresponding contribution to $\\Omega h^2$ at\ntemperatures $T<1$~MeV, i.e. after nucleosynthesis, \n  \\begin{equation}\n    Y_{\\tilde{G}}\\simeq 3.2\\cdot 10^{-10}\n    \\left(\\frac{T_B}{10^{10}\\,\\mbox{GeV}}\\right)\n    \\left(\\frac{100\\,\\mbox{GeV}}{m_{\\tilde{G}}}\\right)^2\n    \\left(\\frac{m_{\\gl}(\\mu)}{1\\,\\mbox{TeV}}\\right)^2,\n    \\label{eq:6}\n  \\end{equation}\n\n  \\begin{eqnarray}\n    \\Omega_{\\tilde{G}}h^2 & = & m_{\\tilde{G}} Y_{\\tilde{G}}(T) n\\sbs{rad}(T) \\rho_c^{-1} \\nonumber \\\\\n    & \\simeq & 0.60\n    \\left(\\frac{T_B}{10^{10}\\,\\mbox{GeV}}\\right)\n    \\left(\\frac{100\\,\\mbox{GeV}}{m_{\\tilde{G}}}\\right)\n    \\left(\\frac{m_{\\gl}(\\mu)}{1\\,\\mbox{TeV}}\\right)^2.    \n    \\label{eq:7}\n  \\end{eqnarray}\nHere we have used $g(T_B)=0.85$; $\\rho_c=3H_0^2M^2$ is the critical energy\ndensity, and $m_{\\gl}(T)=\\frac{g^2(T)}{g^2(\\mu)} m_{\\gl}(\\mu)\\gg m_{\\tilde{G}}$,\nwith $\\mu \\sim 100$GeV. \n\nThe primordial synthesis of light elements (BBN) yields stringent\nconstraints on the amount of energy which may be released after\nnucleosynthesis by the decay of heavy nonrelativistic particles into\nelectromagnetically  and strongly interacting relativistic particles. These \nconstraints have been studied in detail by several groups\\cite{ell,kaw,holt}. \nDepending on the lifetime of the decaying particle $X$ its\nenergy density cannot exceed an upper bound. Sufficient conditions\\cite{ell}\nare\n  \\begin{eqnarray}\n    \\mbox{(I)} & m_X Y_X(T) < 4\\cdot 10^{-10}\\,\\mbox{GeV}, &\n    \\tau < 2\\cdot 10^6\\,\\mbox{sec},\n    \\label{eq:8} \\\\\n    \\mbox{(II)} & m_X Y_X(T) < 4\\cdot 10^{-12}\\,\\mbox{GeV}, &\n    \\tau\\,\\,\\mbox{arbitrary},\n    \\label{eq:9}\n  \\end{eqnarray}\nwhere $Y_X(T) = n_X(T)\/n\\sbs{rad}(T)$.\n\n\\begin{figure}[tb]\n\\begin{center}\n    \\vskip .1truein\n    \\centerline{\\epsfysize=10cm {\\epsffile{oh2co-mx.eps}}}\n    \\vskip -0.1truein\n    \\caption{\\it Neutralino relic density versus neutralino mass. The\n     horizontal lines bound the region $0.025<\\Omega_{\\chi}h^2<1$.}\\label{vary}\n\\end{center}\n\\vspace{-0.5cm}\n\\end{figure}\n\nGravitinos interact only gravitationally. Hence, their existence leads\nalmost unavoidably to a density of heavy particles which decay after\nnucleosynthesis. The partial width for the decay of an unstable\ngravitino into a gauge boson $B$ and a bino $\\bi$ is given by\n($m_{\\bi}\\ll m_{\\tilde{G}}$)\\cite{kaw},\n  \\begin{equation}\n    \\Gamma(\\tilde{G} \\rightarrow B\\bi)  \\simeq  \n    \\frac{1}{32\\pi}\\frac{m_{\\tilde{G}}^3}{M^2} \n    \\simeq  \\left[ 4\\cdot10^8\\left( \\frac{100\\,\\mbox{GeV}}{m_{\\tilde{G}}}\n    \\right)^3\\,\\mbox{sec}\\right]^{-1}.\n    \\label{eq:10}\n  \\end{equation}\nIf for a fermion $\\psi$ the decay into a final state with a scalar $\\phi$ in\nthe same chiral multiplet and a gravitino is kinematically allowed, \nthe partial width reads ($m_{\\psi}\\gg m_{\\phi}$),\n\\begin{equation}\n    \\Gamma(\\psi \\rightarrow \\tilde{G} \\phi) =\\Gamma(\\psi \\rightarrow \\tilde{G} \\phi^*)\n     \\simeq \\frac{1}{96\\pi}\\frac{m_{\\psi}^5}{m_{\\tilde{G}}^2M^2}\\;. \n    \\label{eq:11}\n  \\end{equation}\nGiven these lifetimes and the mass spectrum of superparticles in the\nMSSM one can examine whether one of the conditions (I) and (II)\non the energy density after nucleosynthesis is satisfied.\n\nConsider first a typical example of supersymmetry breaking masses in\nthe MSSM, $m_{\\bi}<m_{\\tilde{G}}\\simeq 100\\,\\mbox{GeV}<m_{\\gl}\\simeq 500\\,\n\\mbox{GeV}$, and $T_B \\simeq 10^{10}$~GeV.\nFrom eqs.~(\\ref{eq:6}) and (\\ref{eq:10}) we conclude $\\tau_{\\tilde{G}}\\simeq\n4\\cdot10^8$~sec, $m_{\\tilde{G}}Y_{\\tilde{G}}(T)\\simeq 4\\cdot10^{-9}$~GeV. \nAccording to condition (II) (\\ref{eq:9}) this energy density\nexceeds the allowed maximal energy density by 3 orders of\nmagnitude. This clearly illustrates the `gravitino problem'!\nThe stringent constraints from BBN can be evaded for very light \ngravitinos\\cite{pag}, with $m_{\\tilde{G}}< 1$ keV and possibly also for very heavy\ngravitinos, with $m_{\\tilde{G}} = {\\cal O}(10$~TeV). \n\n\\begin{figure}[tb]\n\\begin{center}\n    \\vskip .1truein\n    \\centerline{\\epsfysize=10cm {\\epsffile{zgzh-mxco.eps}}}\n    \\vskip -0.1truein\n    \\caption{\\it Neutralino composition $Z_g\/(1-Z_g)$ versus neutralino mass\n     for $0.025<\\Omega_{\\chi}h^2<1$.}\\label{hole}\n\\end{center}\n\\vspace{-0.5cm}\n\\end{figure}\n\nAnother interesting possiblity is the case where the gravitino is the LSP\nwith a mass ${\\cal O}(100$~GeV)\\cite{bol}. In this case\none has to worry about the decays of the next-to-lightest\nsuperparticle (NSP) after nucleosynthesis. The lifetime constraint of\ncondition (I), $\\tau\\sbs{NSP}<2\\cdot10^6$~sec, yields a lower bound on\nthe NSP mass which depends on the gravitino mass $m_{\\tilde{G}}$ \n(cf.~eq.~(\\ref{eq:11}) and fig.~\\ref{fig:1}).\n\nFor a large range  of parameters the NSP is a neutralino $\\chi$, \ni.e. a linear combination of higgsinos and gauginos,\n  \\begin{equation}\n    \\chi = N_1 \\bi + N_2 \\wi + N_3 \\hi + N_4 \\hj\\;. \n    \\label{eq:12}\n  \\end{equation}\nThe NSP density after nucleosynthesis has been studied in great detail\nby a number of authors \\cite{dre}, since the density of stable neutralinos\nwould contribute to dark matter. A systematic study for a large range of\nMSSM parameters has been carried out by Edsj\\\"o and Gondolo\\cite{eds}. \nVarying the MSSM parameters, $\\Omega_\\chi h^2$ varies over eight orders of \nmagnitude, from $10^{-4}$ to $10^4$ (see fig.~\\ref{vary}\\cite{eds}). Note, \nthat for a large part of parameter space one has $\\Omega_\\chi h^2 < 0.025$. In \nparticular this is the case for a higgsino-like neutralino, i.e. \n$Z_g=|N_1|^2+|N_2|^2<\\frac{1}{2}$, in the mass range\n$80\\,\\mbox{GeV}<m_\\chi <450\\,\\mbox{GeV}$\\cite{eds}. For these parameters \nneutralino pair annihilation into $W$ boson pairs is very efficient, which\nleads to the `higgsino hole' in fig.~\\ref{hole}\\cite{eds}.\n\n\\begin{figure}[tb]\n\\begin{center}\n   \\vskip .1truein\n    \\centerline{\\epsfysize=10cm {\\epsffile{fig1.eps}}}\n    \\vskip -0.3truein\n\\caption{\\it Upper and lower bounds on the NSP mass as function of the\ngravitino mass. The full lines represent the upper bound on the gluino \nmass $m_{\\gl}(\\mu) > m_{NSP}$ for different reheating \ntemperatures. The dashed line is the lower bound on $m_{NSP}$ which follows\nfrom the NSP lifetime. A higgsino-like NSP with a mass in the shaded area\nsatisfies all cosmological constraints including those from primordial\nnucleosynthesis.}\n    \\label{fig:1}\n\\end{center}  \n\\vspace{-0.5cm}\n\\end{figure}\n\nThe bound $\\Omega h^2<0.008$, which corresponds to the bound on the mass density \n$m_\\chi Y_\\chi (T)<4\\cdot10^{-10}$~GeV of condition (I),\nis satisfied for higgsino-like neutralinos\nin the mass range $80\\,\\mbox{GeV}<m_\\chi <300\\,\\mbox{GeV}$\\cite{gon}.\nWe conclude that higgsino-like NSPs in this mass range and with a lifetime\n$\\tau<2\\cdot10^6$~sec are compatible with the constraints from\nprimordial nucleosynthesis.\nNote that this is a sufficient, yet not necessary condition for satisfying\nthe bound $\\Omega h^2<0.008$. Very small neutralino densities are also obtained\nfor other sets of MSSM parameters.  \n  \\begin{figure}[tb]\n\\begin{center}\n    \\vskip .1truein\n    \\centerline{\\epsfysize=10cm {\\epsffile{fig2.eps}}}\n    \\vskip -0.1truein\n    \\caption{\\it Contribution of gravitinos to the density parameter $\\Omega h^2$\n     for different gravitino masses $m_{\\tilde{G}}$ as function of the reheating\n     temperature $T_B$. The gluino mass has been set to $m_{\\gl}(\\mu)=500$~GeV.}\n    \\label{fig:2}\n\\end{center}\n\\vspace{-0.5cm}\n  \\end{figure}\n\nFinally, we have to discuss the necessary condition that gravitinos do\nnot overclose the universe,\n  \\begin{equation}\n    \\Omega_{\\tilde{G}} h^2 < 1\\;.\n    \\label{eq:13}\n  \\end{equation}\nSince $m_{\\tilde{G}}<m_\\chi <m_{\\gl}$, the gravitino density is given by\neq.~(\\ref{eq:7}). Hence, the condition (\\ref{eq:13}) yields an upper bound on\nthe NSP mass $m_\\chi$ which depends on the gravitino mass and the baryogenesis \ntemperature. The different constraints are summarized in \nfig.~\\ref{fig:1}\\cite{bol} which illustrates that for a wide range of MSSM \nparameters, where\n  \\begin{equation}\n    m_{\\tilde{G}}<m_\\chi <m_{\\gl}\\;,  \\label{eq:14}\n  \\end{equation}\nand $80\\,\\mbox{GeV}<m_\\chi <300\\,\\mbox{GeV}$, the baryogenesis\ntemperature may be as large as ${\\cal O}(10^{10})$~GeV.\n\nIt is remarkable that for temperatures $T_B=10^8\\dots 10^{11}$~GeV,\nwhich are natural for leptogenesis, and for gravitino masses in the range\n$m_{\\tilde{G}}=10^0\\dots 10^3$~GeV, which is expected for gravity induced\nsupersymmetry breaking, the relic density of gravitinos is cosmologically\nimportant (cf.~fig.~\\ref{fig:2}).\nAs an example, for $T_B\\simeq10^{10}$~GeV, $m_{\\gl}(\\mu)\\simeq 500$~GeV, and\n$m_{\\tilde{G}}\\simeq 50$~GeV, one has $\\Omega_{\\tilde{G}} h^2 \\simeq 0.30$.\\\\\n\n\\section{Summary}\n\nDetailed studies of the thermodynamics of the electroweak interactions at\nhigh temperatures have shown that in the standard model and most of its\nextensions the electroweak transition is too weak to affect the \ncosmological baryon asymmetry. Hence, one has to search for baryogenesis\nmechanisms above the Fermi scale. \n\nDue to sphaleron processes baryon number and lepton number are related\nin the high-temperature, symmetric phase of the standard model. As a\nconsequence, the cosmological baryon asymmetry is related to neutrino\nproperties. Baryogenesis requires lepton number violation, which occurs\nin extensions of the standard model with right-handed neutrinos and\nMajorana neutrino masses. \n\nAlthough lepton number violation is needed in order to obtain a baryon\nasymmetry, it must not be too strong since otherwise any baryon and lepton\nasymmetry would be washed out. This leads to stringent upper bounds on\nneutrino masses which depend on the particle content of the theory.\n\nThe solar and atmospheric neutrino deficits can be interpreted as a result\nof neutrino oscillations. For hierarchical neutrinos the corresponding\nneutrino masses are very small. Assuming the see-saw mechanism, this suggests\nthe existence of very heavy right-handed neutrinos and a large scale of\n$B-L$ breaking.\n\nIt is remarkable that these hints on the nature of lepton number violation\nfit very well together with the idea of leptogenesis.\nFor hierarchical neutrino masses, with $B-L$ broken at the\nunification scale $\\Lambda_{\\mbox{\\scriptsize GUT}}\\sim 10^{16}\\;$GeV,  \nthe observed baryon asymmetry $n_B\/s \\sim 10^{-10}$ is naturally\nexplained by the decay of heavy Majorana neutrinos. The corresponding\nbaryogenesis temperature is $T_B \\sim 10^{10}$ GeV. \n\nIn supersymmetric models implications for the mass spectrum of superparticles \ncan be derived. The rather large baryogenesis temperature leads to a high\ndensity of gravitinos. Depending on the masses of the other superparticles \ntheir late decay may change the primordial abundances of light elements in\ndisagreement with observation. This `gravitino problem' can be avoided for\nvery light gravitinos, with $m_{\\tilde{G}}< 1$ keV, and possibly also for very\nheavy gravitinos, with $m_{\\tilde{G}} = {\\cal O}(10$~TeV). Another interesting\npossibility is that the gravitino is the LSP, with a higgsino as NSP.\nIt is intriguing that for a mass range $m_{\\tilde{G}}=10^0\\dots 10^2$~GeV and\nreheating temperatures $T_B=10^8\\dots 10^{11}$~GeV, which naturally occur\nafter inflation, one obtains a gravitino contribution to cold dark matter \nwith $\\Omega h^2 = {\\cal O}(1)$.   \n\n\\mbox{ }\\vspace{4ex}\\\\\n\\noindent\n\\setlength{\\parskip}{1ex}\n{\\bf Acknowledgments}\\\\\n\\mbox{ }\\\\    \nThe author would like to thank H.~J.~de~Vega and N.~S\\'anchez for\norganizing an enjoyable and stimulating colloquium.\n\\mbox{ }\\\\\\noindent\n\n\\clearpage\n\\mbox{ }\\vspace{4ex}\\\\\n\\noindent\n{\\bf\\Large References}\n\\noindent\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nFor many years the  Ly$\\alpha$~ forest has been\nconsidered a different class of objects with respect to galaxies.\nThe available \nsensitivity was too low to detect any sign of non--primordial\ncomposition in the intergalactic gas clouds at  high redshift.\nThanks to the advent of high resolution and signal--to--noise\nspectroscopy, the old idea on the majority of quasar absorption lines \nhas been \nrevisited and opened in the last few years a still pending debate\non the connection between the Ly$\\alpha$~ forest and the\ngalaxy formation of the early Universe. The detection of ions\ndifferent from CIV in optically thin\nLy$\\alpha$~ clouds \nis made complicated by harder\nobservational conditions, whereas the still too poor knowledge of the\nionisation mechanisms which determine the ion abundances in those\nclouds has often discouraged attempts of\nmetal content estimations as a function of\nredshift and of HI column density.\nHowever abundance investigation of the Ly$\\alpha$~ clouds has fundamental\nimplications in the understanding of the enrichment processes in the IGM\nby Pop III stars in the $z>5$ Universe.\n\n\\section{Metallicity measurements}\n\n\\begin{figure}\n\\centerline{\\vbox{\n\\psfig{figure=savaglioF1.ps,height=4cm,angle=0}\n}}\n\\caption[]{\\label{f0} Carbon abundance relative to solar as a function\nof redshift in the\noptically thin Ly$\\alpha$~ lines which both show CIV and\nSiIV doublets.}\n\\end{figure}\n\nThe sample of optically thin\nabsorption lines with  $14.5 < \\log N_{\\rm HI} < 16.5$ \nhas been obtained by high resolution spectroscopy, mainly HIRAS\/Keck\n(Songaila 1997b) but also by EMMI\/NTT for the $z\\gsim 3.7$ systems \n(Savaglio et al. 1997). For all the systems  CIV and\/or SiIV and CII\ndetections or upper limits are given in redshift coverage\n$2 < z < 4.5$. \nThe lower bound in $N_{\\rm HI}$ \nis due to the very rare metal detection in lower\ncolumn density systems. In this range even if the line can\nbe saturated (depending on the Doppler width)\n Monte Carlo simulations showed that fitting procedures\nof synthetic individual lines with similar resolution and S\/N ratio\nof the observed spectra give HI column density errors which are less\nthan a few tens of $dex$\n(for $b=25$ km~s$^{-1}$, $\\log N_{\\rm HI} = 15.5$, FWHM = 12 km~s$^{-1}$\nand S\/N = 20 this is typically 0.1 $dex$). The blending effect has a much\nmore dramatic impact on column density uncertainties\nand for this reason, we consider in the\ncase of complex structures as an individual cloud \nthe total column densities of HI and of\nmetal lines.\n\nEstimating the heavy element  content in the Ly$\\alpha$~ clouds is mostly\ncomplicated by the poor knowledge of the ionising sources. As a first\nsimplification, we assume that this is dominated by photoionisation\nof the UV background and neglect any other\nmechanism. \nCollisional ionisation is important when the gas temperature \nexceeds $10^5$ K. At that temperature, the\nDoppler parameter for HI is 41 km~s$^{-1}$, well above the mean value\ntypically found\nin Ly$\\alpha$~ clouds. The analysis of metal lines in Ly$\\alpha$~ clouds (Rauch\net al., 1997) shows that the mean ``Doppler'' temperature in these clouds is\n$\\sim4\\times10^4$ K, making any evidence of collisional ionisation\nhard to justify. \nOnce the photoionisation equilibrium is assumed, we first\nconsider the subsample of Ly$\\alpha$~ clouds which show both CIV and SiIV\nabsorption. To calculate the metallicity we use CLOUDY and assume six\ndifferent shapes for the UV background normalized to the value at\nthe Lyman limit ($J_{912} = 5\\times10^{-22}$ erg s$^{-1}$ cm$^{-2}$\nHz$^{-1}$ sr$^{-1}$) changing the parameter $S_L =\nJ_{912}\/J_{228}$ in the range $200-3000$. We varied \nthe [C\/H] and gas density in such a\nway to reproduce the observed CIV. We also assume the\nrelative silicon--to--carbon abundance to be between 0 and three times solar\nand consider the cloud size along the line of sight to be in the\nrange 1 kpc $\\lsim R \\lsim 50$ kpc. Given these assumptions, we\nobtain for this subsample a set of 18 [C\/H] measurements shown in\nFig.~\\ref{f0}.  Carbon abundance in clouds with detected\ncarbon and silicon  has a large spread with\nmean values of [C\/H] $= -1.8$ and no evidence of redshift evolution.  We\nnotice that this sample might consist of metal--rich Ly$\\alpha$~ clouds\nsince it has been selected because of the SiIV detection \nand might not be representative of the whole population of Ly$\\alpha$~ clouds. \nIn a recent work, Songaila (1997a) \nhas estimated the total universal metallicity\nat $z\\sim3$ (assuming that at that time the baryonic matter of the\nUniverse mostly resides in the Ly$\\alpha$~ forest)\nto be in the range 1\/2000 and 1\/630 relative to solar.\n\n\\begin{figure}\n\\centerline{\\vbox{\n\\psfig{figure=savaglioF2.ps,height=8.5cm,angle=0}\n}}\n\\caption[]{\\label{f1} Ion column density ratios as a function of\nredshift. Solid curves are models assuming the UVB \nas described by the first two panels ($\\log N_{\\rm HI} =\n15$ and [C\/H] $=-1.8$). Dashed curves are the same but for [C\/H] \n$=-1.8\\pm0.8$.}\n\\end{figure}\n\n\\begin{figure}\n\\centerline{\\vbox{\n\\psfig{figure=savaglioF3.ps,height=4.9cm,angle=0}\n}}\n\\caption[]{\\label{f2} Ion column density ratios as a function of\nHI column density. Solid and dashed curves \nare model calculations assuming the UVB\nat $z=3$ of Fig.~\\ref{f1}  ([C\/H] $=-1.8\\pm0.8$). Straight lines\nrepresent detection limits.}\n\\end{figure}\n\nIn a different approach, we consider the whole sample\nand regard the global observed properties instead of the individual\n systems and compare with models. Results of column density ratios on the $z$ and\n$N_{\\rm HI}$ planes are shown in Figs.~\\ref{f1} and\n\\ref{f2}. In Fig.~2 we investigate the redshift evolution of\nobserved column densities in the case of $S_L$ and $J_{912}$ as reported.\nThe discussed trend of SiIV\/CIV (Cowie et al., this\nconference proceedings) can be\nreproduced by a redshift evolution of $S_L$ from 200 at $z\\sim2$ to 3000\nat $z\\sim4$. The same model can take into account other observed ion ratios.\nIn Fig.~3 we compare observations with CLOUDY\nmodels assuming that all the clouds of the sample are at the same mean\nredshift of $z=3$ with $S_L=800$ \nand the gas density proportional to the square root of\n$N_{\\rm HI}$, as given in the case of spherical clouds in\nphotoionisation equilibrium with the UVB. In both figures the solid\nlines are obtained for metallicity [C\/H] $= -1.8$ and [Si\/C] = [O\/C] =\n0.5, [N\/C] = 0. Models of photoionisation equilibrium \ncan include the majority of metal\ndetections (also considering the metallicity spread) but\nCII\/HI which, as function of $N_{\\rm HI}$, looks to be\nsteeper than calculated. Additional observations of CII would probably\ncast further light on the discussion on the ionisation state and metal content\nin the Ly$\\alpha$~ clouds. \nIn both figures, the numerous upper limits falling below the dashed curve\n[C\/H] $= -2.6$ is an indication that in many clouds the\nmetallicity is lower than the values found in the selected sample.\n\n\\section{The future}\n\nThe investigation of low and\nintermediate redshift ($z=1-2.5$) \nobservations of OVI and NV in $\\log N_{\\rm HI}\\lsim 14$\nLy$\\alpha$~ clouds might succeed in answering the question of how efficient the mixing\nprocesses\nin the IGM at high redshift has been. Relative abundances can\nprovide new hints on the study of metal production by Pop III\nstars. In particular NV since it has been predicted to be underproduced in\nmassive stars with low initial metallicity (Arnett 1995).\nMore observations of the SiIV\/CIV ratio for $z<2$\nand $z>4$ are a challenging probe of the redshift evolution of the UVB,\nthough this can be one of the many possible reasons for the\nobserved SiIV\/CIV trend (another would be redshift evolution\nof the gas density being lower at lower redshift). \nMore interesting conclusions await outcomes\nfrom new high quality data of Keck observations.\n\n\\begin{iapbib}{}{\n\n\\bibitem{}\nArnett D., 1995, ARA\\&A, 33, 115\n\\bibitem{}\nRauch M., Sargent W.L.W., Womble D.S., Barlow T.A., 1997, ApJ, 467, L5\n\\bibitem{}\nSavaglio S., Cristiani S., D'Odorico S., Fontana A., Giallongo E.,\nMolaro P., 1997, A\\&A, 318, 347\n\\bibitem{}\nSongaila A., 1997a, ApJL, {\\it in press}, astro--ph\/9709046\n\\bibitem{} \nSongaila A., 1997b, {\\it in preparation}\n}\n\\end{iapbib}\n\n\\end{document}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{introduction}\n\nThe hallmark of superfluidity is the possibility of dissipationless \nflow in situations where the flow of a normal fluid would\ndegrade as a result of viscosity. The textbook example of this\nis the flow of a superfluid through a narrow\ncapillary~\\cite{Wilks70}. According to the Landau \ncriterion~\\cite{Lifshitz80}, the superfluid component\nflows without dissipation provided the\nsuperfluid velocity does not exceed some critical value. In this\nsituation, the normal component remains locked to the walls of\nthe capillary whereas the superfluid component, carrying zero\nentropy, flows as if the\nwalls of the capillary behaved as a perfectly smooth conduit.\nIf the capillary is now bent into a torus, one can imagine\nthat a flow, once established, could persist indefinitely.\n\nThe conditions under which persistent currents can occur for a\nbosonic mixture in the ring geometry is the subject of this\npaper. The usual analysis~\\cite{Lifshitz80} leading to the \nLandau criterion is not\nobviously applicable since one cannot\ninvoke Galilean invariance for this closed system. However, for\na system having a single component, Bloch~\\cite{Bloch73} presented \ngeneral arguments based on an analysis of the quantum mechanical \nmany-body wave function which provided a criterion for\npersistent currents. He considered an\nidealized one-dimensional ring of radius $R$ in which the particles\ninteract via an arbitrary pair-wise interaction. Since the total\nangular momentum  commutes with the Hamiltonian of the system,\nthe stationary states have energies $E_\\alpha(L)$ which are\nfunctions of the angular momentum quantum number $L$; all other\nquantum numbers are subsumed in the index $\\alpha$. Bloch\nshowed that these energy eigenvalues take the form\n\\begin{equation}\nE_\\alpha(L)=\\frac{L^2}{2M_{\\rm T}R^2}+e_\\alpha(L)\n\\label{spec_E}\n\\end{equation}\nwhere $M_{\\rm T}=NM$ is the total mass of the system containing $N$\nparticles of mass $M$.\nThe first term on the right hand side of Eq.~(\\ref{spec_E}) is\ninterpreted as the kinetic energy of a rigid ring rotating with\nangular velocity $\\Omega = L\/M_TR^2$. The second term,\n$e_\\alpha(L)$, corresponds \nto internal excitations of the system; it has the periodicity\nproperty\n\\begin{equation}\ne_\\alpha(L+N\\hbar)=e_\\alpha(L).\n\\label{e_period}\n\\end{equation}\nThis implies that the system can\nfind itself in the same internal state for angular momenta that\ndiffer from each other by multiples of $N\\hbar$. In addition,\n$e_\\alpha(L)$ has the inversion property\n\\begin{equation}\ne_\\alpha(-L)=e_\\alpha(L),\n\\label{e_inversion}\n\\end{equation}\nwhich reflects the fact that the energy does not depend on the\nsense of the angular momentum.\n\nThe state with the lowest energy for a given $L$ will be given\nthe label $\\alpha = 0$. In the noninteracting limit,\n$e_0(L)$ has a local minimum at $L=0$~\\cite{Bloch73}; one expects \nthis property to persist with repulsive interactions. The\nperiodicity of this function then implies that $E_0(L)$ can\nexhibit local minima at certain multiples of $N\\hbar$. If and\nwhen such minima occur, Bloch argued that the system is capable\nof sustaining persistent currents.\nConversely, if $E_0(L)$ is not at a local minimum,\nnonidealities will induce transitions which change the angular\nmomentum  and hence the flow of the superfluid around the ring.\n\n\nIn Sec.~\\ref{Bloch}, we extend Bloch's analysis to a two-species\ngas containing $N_A$ particles of type $A$ and $N_B$ particles\nof type $B$. Here the term ``species'' can\nrefer either to different kinds of atoms or to atoms\ndistinguished by their hyperfine states. \nWhen the masses of the two species are\ndifferent, we find that the energy can still be written\nin the form of Eq.~(\\ref{spec_E}) but in general, $e_0(L)$\nis no longer\na periodic function of $L$. However, if the masses are equal,\n$e_0(L)$ is found to have the same periodicity as for the\nsingle-species case with $N=N_A+N_B$. In the case that the mass \nratio $M_A\/M_B$\nis a rational number, $e_0(L)$ remains a periodic function\nof $L$ but with a periodicity that differs from $N\\hbar$. For\nthese special cases, Bloch's arguments for the possibility of\npersistent currents goes through as for the single-species case. \nFor arbitrary mass ratios, $E_0(L)$ may still exhibit a local\nminimum at some finite value of $L$ but there is no general \nargument which can be used to determine where such a local \nminimum might occur.\n\nWe go on to show that Bloch's criterion for persistent currents\ncan be phrased in terms of the more familiar Landau criterion.\nFor $M_A = M_B$, $e_0(L)$ is periodic and\na Landau criterion can be formulated at the discrete set of angular\nmomenta $L = L_n = n N\\hbar$, with $n$ an integer, where\nthe system can be taken to be in its internal \nground state. The Landau criterion then imposes a constraint on\nthe spectrum of the elementary excitations with angular momentum\n$m\\hbar$ and energy $\\varepsilon(m)$. In Sec.~\\ref{Bogoliubov},\nthese excitation energies are determined for the two-species\nsystem in the Bogoliubov approximation. In general there are two\nBogoliubov modes which are usually phonon-like at long\nwavelengths. For the case $M_A = M_B$, the Landau criterion then \nsuggests\nthat persistent currents may be stable for certain values of $n$.\nHowever, if the interaction parameters satisfy\na certain relation (given in Sec.~\\ref{Bogoliubov}),\none of the Bogoliubov modes has a particle-like\ndispersion and the Landau criterion leads to the conclusion that\npersistent currents are unstable for all $n$.\n\nThe above conclusion was arrived at earlier by Smyrnakis {\\it et\nal.}~\\cite{Smyrnakis09} based on an analysis of\nthe mean-field Gross-Pitaevskii (GP)\nenergy functional for the two-species system. With the\nassumption that all interaction parameters are equal, these\nauthors determine $E_0(L)$ by minimizing the GP energy functional\nsubject to the constraint that the average angular momentum of\nthe system is $L$. Although persistent currents are destabilized\nat $L=L_n$, the authors find that $E_0(L)$ can exhibit local minima\nat non-integral values of $l = L\/N\\hbar$. In particular, they\nshow that persistent currents are stable at $l = x_A =\nN_A\/(N_A+N_B)$, provided the interactions are sufficiently\nstrong. Furthermore, their analysis leads to the conclusion that\npersistent currents are unstable for $l>1$ even when the\nconcentration of the minority component is arbitrarily small.\nThis latter conclusion seems at odds with what one might expect\nin the pure single-species limit ($x_B \\to 0$).\n\nIn Sec.~\\ref{GP-Theory}, we present the analysis of the GP\nenergy functional in somewhat more detail than was provided by\nSmyrnakis {\\it et al.}~\\cite{Smyrnakis09} This analysis essentially confirms all of\ntheir analytical results, however, we find that the information\nregarding the behaviour of\n$e_0(L)$ in the vicinity of $L = N_A\\hbar$ is not sufficient to\nestablish whether or not persistent currents are actually\nstable. In fact, a more global analysis of $e_0(L)$ shows that\npersistent currents can exist when $l>1$. Our work also\nclarifies how the single-species results are recovered in the\n$x_B \\to 0$ limit.\n\n\\section{Bloch's criterion for persistent currents in a \ntwo-species gas}\n\\label{Bloch}\nIn this section we extend\nBloch's analysis to a two-species system consisting of $N_A$\nparticles of type $A$ and $N_B$ particles of type \n$B$. The masses of the particles are $M_A$ and $M_B$. In\naddition, we assume an idealized one-dimensional ring geometry.\nThe Hamiltonian $H$ for this system is taken to be\n\\begin{equation}\n\\label{Two-comp hamiltonian}\n{H} = \\sum\\limits_{i=1}^{N_A}\\frac{\\hat{l}_i^2}{2M_AR^2} + \n\\sum\\limits_{i=N_A+1}^{N_A+N_B}\\frac{\\hat{l}_i^2}{2M_BR^2}\n+\\sum\\limits_{i<j}v_{ij}(\\theta_i - \\theta_j),\n\\end{equation}\nwhere the angular momentum operator of the $i$-th particle \nabout the centre of the ring is\n\\begin{equation}\n\\label{ang_momentum_ring}\n\\hat{l}_i = \\frac{\\hbar}{i}\\frac{\\partial}{\\partial \\theta_i}.\n\\end{equation}\nThe index $i$ denotes an $A$-type particle for $1\\le i\\le N_A$\nand a $B$-type particle for $N_A+1 \\le i \\le N_A+N_B \\equiv N$.\nThe subscripts on the interaction potential $v_{ij}$ allow for\nthe interactions between the particles to be species-dependent.\nFor the pair-wise interactions assumed, the total angular\nmomentum\n\\begin{equation}\n\\label{total_ang_momentum}\n\\hat{L} = \\sum\\limits_{i=1}^{N}\\hat{l}_i = \\sum\\limits_{i=1}^N \\frac{\n\\hbar}{i}\\frac{\\partial}{\\partial \\theta_i}\n\\end{equation}\ncommutes with the Hamiltonian. The stationary states \n$\\Psi(\\theta_1,...,\\theta_N)$ of the Hamiltonian can thus be chosen \nto be simultaneous eigenstates of the total angular momentum. \n\nA suitable basis of states can be constructed from the following\nproduct states for noninteracting particles:\n\\begin{equation}\n\\label{wave_function_Phi}\n\\Phi(\\theta_1, ..., \\theta_N) =  \n\\phi_{m_1}(\\theta_1)\\phi_{m_2}(\\theta_2)\\cdots\n\\phi_{m_N}(\\theta_N).\n\\end{equation}\nHere $m_i$ is an integer and\n\\begin{equation}\n\\phi_m(\\theta) = \\frac{e^{im\\theta}}{\\sqrt{2\\pi}}.\n\\label{s_p_basis}\n\\end{equation}\nThe wave function in\nEq.~(\\ref{wave_function_Phi}) is an eigenfunction of $\\hat L$ with \neigenvalue $L = \\hbar \\sum_i m_i$.  It can be written in\ndifferent ways. One possibility is\n\\begin{equation}\n\\label{wave_function_Phi_II}\n\\Phi(\\theta_1, ..., \\theta_N) = (2\\pi)^{-N\/2}\n\\exp (iNl\\Theta )\\exp \\bigg [\\frac{i}{N}\\sum_{ij}\nm_i(\\theta_i-\\theta_j)\\bigg]\n\\end{equation}\nwhere\n\\begin{equation}\nl = \\frac{1}{N} \\sum_{i=1}^N m_i\n\\end{equation}\nis the angular momentum per particle in units of $\\hbar$ and\n\\begin{equation}\n\\Theta = \\frac{1}{N}\\sum_{i=1}^N \\theta_i\n\\end{equation}\nis the mean angular coordinate. The above wave function is\nidentical in form to that of a single species system.\nBy construction, the first exponential in Eq. \n(\\ref{wave_function_Phi_II}) is an eigenfunction of\n$\\hat L$ with eigenvalue $L = Nl\\hbar$. The second exponential\nis a function of\nthe coordinate differences $\\theta_i-\\theta_j$ and as such\nis a zero total angular momentum wave function.\n\nProperly symmetrized functions are obtained from Eq. \n(\\ref{wave_function_Phi_II}) with the\napplication of the symmetrization operator\n\\begin{equation}\n\\label{symmetrization_two-species}\n\\hat{S} = \\hat{S}_A\\hat{S}_B\n\\end{equation}\nwhere\n\\begin{eqnarray}\n\\label{Symm_A}\n&&\\hat{S}_A = \\frac{1}{N_A!}\\sum\\limits_{P_A}\\hat{P}_A \\\\\n\\label{Symm_B}\n&&\\hat{S}_B = \\frac{1}{N_B!}\\sum\\limits_{P_B}\\hat{P}_B. \n\\end{eqnarray}\nThe operator $\\hat{P}_A$ permutes the coordinates of the $A$ particles, \nwhereas $\\hat{P}_B$ does the same for $B$ particles. Applying the \nsymmetrization operator to the wave function $\\Phi(\\theta_1, ..., \n\\theta_{N})$ yields\n\\begin{equation}\n\\label{Phi_two-species}\n\\Phi_{\\{m_i\\}}( \\theta_1, ..., \\theta_N ) = \\exp\\left( iNl\\Theta \n\\right) \\tilde \\chi_{\\{m_i\\}}(\\theta_1, ..., \\theta_N),\n\\end{equation}\nwhere $ \\tilde \\chi_{\\{m_i\\}}$ is a normalized function of the \ncoordinate differences $\\theta_i - \\theta_j$. The \nfunctions in Eq.~(\\ref{Phi_two-species}) provide a basis of properly\nsymmetrized $N$-particle states, with $N= N_A+N_B$.\n\nThe stationary state solutions of $\\hat H \\Psi = E\\Psi$ with\nangular momentum $L$ will be denoted\n$\\Psi_{L\\alpha}(\\theta_1,...,\\theta_N)$, where $\\alpha$ indicates \nthe rest of the\nquantum numbers.\nThese states can be expanded in terms of the basis functions \nEq.~(\\ref{Phi_two-species}) as\n\\begin{eqnarray}\n\\label{Psi_L}\n\\nonumber\n&&\\Psi_{L\\alpha}(\\theta_1, ..., \\theta_N) = {\\sum_{\\{m_i\\}}}'\nC_{L\\alpha}(\\{m_i\\})\\Phi_{\\{m_i\\}}(\\theta_1, ..., \\theta_N)\\\\\n&&\\hspace{2.15cm}\\equiv \\exp\\left[ iNl\\Theta \\right] \n\\tilde \\chi_{L\\alpha}(\\theta_1, \n..., \\theta_N),\n\\end{eqnarray}\nwhere the prime on the summation implies the restriction\n$\\sum_{i=1}^{N}m_i=Nl$.\nIt is clear from the way $\\tilde \\chi_{L\\alpha}(\\theta_1,...,\n\\theta_N)$ is defined that it is a function of \nthe relative angular coordinates $\\theta_i-\\theta_j$. \nSubstituting Eq. (\\ref{Psi_L}) into the Schr\\\"odinger equation for \n$\\Psi_{L\\alpha}$, we\nfind that $\\tilde \\chi_{L\\alpha}$ satisfies the equation\n\\begin{equation}\n\\label{chi_L_SE}\nH_L\\tilde \\chi_{L\\alpha} = \\tilde e_\\alpha(L)\\tilde \\chi_{L\\alpha},\n\\end{equation}\nwhere \n\\begin{equation}\nH_L = H +\n\\frac{L}{NR^2}\\left(\\frac{\\hat{L}_A}{M_A}+ \n\\frac{\\hat{L}_B}{M_B}\\right)\n\\end{equation}\nand\n\\begin{equation}\n\\label{epsilon of L}\n\\tilde e_\\alpha(L) = E_\\alpha(L) - \\left( \\frac{\\hbar^2 l^2 N_A}{2M_AR^2} + \n\\frac{\\hbar^2 l^2 N_B}{2M_BR^2} \\right) = E_\\alpha(L) - \n\\frac{L^2}{2N^2R^2}\\left( \n\\frac{N_A}{M_A} + \\frac{N_B}{M_B} \\right).\n\\end{equation}\nSince $\\hat L \\tilde \\chi_{L\\alpha} = 0$, $H_L$ in \nEq.~(\\ref{chi_L_SE}) can be expressed equivalently as\n\\begin{equation}\n\\label{H_L}\nH_L = H +\n\\frac{L}{NR^2}\\left(\\frac{1}{M_A}- \n\\frac{1}{M_B}\\right )\\hat L_A.\n\\end{equation}\nWe observe that this Hamiltonian is in general $L$-dependent\nwhich has important consequences for $\\tilde e_\\alpha(L)$.\n\nEq.~(\\ref{chi_L_SE}) must be solved with appropriate boundary\nconditions. Since the\nwave function $\\Psi_{L\\alpha}$ is required to be single-valued with \nrespect to each of the angular variables, it satisfies\n\\begin{equation}\n\\label{Periodicity_Psi}\n\\Psi_{L\\alpha}(...,\\theta_i+2\\pi,...) = \\Psi_{L\\alpha}(...,\\theta_i,...).\n \\end{equation}\nEq.~(\\ref{Periodicity_Psi}) then implies\n\\begin{equation}\n\\label{periodicity_chi}\n\\tilde \\chi_{L\\alpha}(..., \\theta_i+2\\pi, ...) = \\exp\\left[ \n-i2\\pi l \\right]\\tilde \\chi_{L\\alpha}( ..., \\theta_i, ... )\n\\end{equation}\nfor $i = 1, ..., N$. From this we see that the boundary\nconditions are periodic as a function of $L$ with period\n$N\\hbar$. With the basis functions written in the form given in\nEq.~(\\ref{wave_function_Phi_II}), they are the {\\it same} \nboundary conditions that apply in \nthe single-species case. In the $N_B = 0$ limit, $\\tilde\ne_\\alpha(L) = E_\\alpha(L) - L^2\/2M_T R^2 \\equiv e_\\alpha(L)$\nwith $M_T = NM_A$. In addition, the\nHamiltonian $H_L$ reduces to $H$ since $\\hat L_A \\to\n\\hat L$ and $\\hat L \\tilde \\chi_{L\\alpha} = 0$. As a result,\n$\\tilde \\chi_{L'\\alpha}$ with\n$L' = L+N\\hbar$ satisfies the same Schr\\\"odinger equation and\nboundary conditions as $\\tilde \\chi_{L\\alpha}$. This implies that the \neigenvalue spectrum for these two functions is identical. As\nconcluded by Bloch~\\cite{Bloch73}, the eigenvalues $e_\\alpha(L)$ for the\nsingle-component system are then periodic functions of $L$ with\nperiod $N\\hbar$. In particular, the ground state energy is given\nby\n\\begin{equation}\nE_0(L) = \\frac{L^2}{2NM_AR^2} + e_0(L).\n\\label{E_0}\n\\end{equation}\nThe same considerations apply to the two-species situation for\nthe special case $M_A = M_B$ since $H_L$ in Eq.~(\\ref{H_L}) also \nreduces\nto $H$ in this limit and Eq.~(\\ref{E_0}) is still valid. In both of \nthe above situations, \nthe periodicity of the eigenvalues $e_\\alpha(L)$ means physically \nthat the ``internal\" excitations can be the same for distinct\nmacroscopic flows whose angular momenta differ by some\nmultiple of $N\\hbar$. However, $\\tilde e_0(L)$ is no longer \nperiodic when $M_A \\ne M_B$, since the Hamiltonian $H_L$ in\nEq.~(\\ref{chi_L_SE}) depends explicitly on $L$.\n\nAn alternative analysis is provided by \nwriting the wave function in (\\ref{Psi_L}) as\n\\begin{equation}\n\\label{Psi_L_cm}\n \\Psi_{L\\alpha}(\\theta_1, ..., \\theta_N)=\\exp (iNl\\Theta_{\\rm cm})\n\\chi_{L\\alpha}(\\theta_1, ..., \\theta_N),\n\\end{equation}\nwhere $\\Theta_{\\rm cm}$ is the `centre-of-mass' angular coordinate\ndefined as\n\\begin{equation}\n\\Theta_{\\rm cm} =\\frac{1}{M_T}\\sum_{i=i}^N M_i\\theta_i\n\\end{equation}\nand \n\\begin{equation}\n\\chi_{L\\alpha}(\\theta_1, ..., \\theta_N)=\\exp\\left [ \n-i\\frac{l}{M_T}\\sum_{ij}^N M_i(\\theta_i-\\theta_j)\\right \n]\\tilde \\chi_{L\\alpha}(\\theta_1, ..., \\theta_N).\n\\end{equation}\nHere and in the following, $M_i$ is equal to $M_A$ for $i\\leq N_A$ \nand $M_B$ for $i> N_A$; $M_T = N_A M_A + N_B\nM_B$ is the total mass. We observe that the exponential in\nEq.~(\\ref{Psi_L_cm}) is still an eigenfunction of $\\hat L$ \nwith eigenvalue $L$ and\nthat $\\chi_{L\\alpha}$ is a function of coordinate\ndifferences and therefore a zero-angular momentum function.\nEq.~(\\ref{Psi_L_cm})\namounts to a separation of the centre-of-mass motion from \nthe internal degrees of freedom.\nIndeed, substitution of Eq.~(\\ref{Psi_L_cm}) into the Schr\\\"odinger \nequation for $\\Psi_{L\\alpha}$ \nyields\n\n\n\n\\begin{equation}\n\\label{tilde_chi_L_SE}\nH \\chi_{L\\alpha} = e_\\alpha(L)\\chi_{L\\alpha},\n\\end{equation}\nwhere \n\\begin{equation}\n\\label{tilde_eps}\ne_\\alpha(L)=E_\\alpha(L)-\\frac{L^2}{2M_TR^2}.\n\\end{equation}\nEqs.~(\\ref{tilde_chi_L_SE}) and (\\ref{tilde_eps}) suggest that \n$\\chi_{L\\alpha}$ and $e_{\\alpha}(L)$ can be viewed,\nrespectively, as the \n``internal'' wave function and ``internal\" excitation energy.\nThe boundary conditions imposed on \n$\\chi_{L\\alpha}(\\theta_1,...,\\theta_N)$ can be derived from Eq. \n(\\ref{Psi_L_cm}) and are given by\n\\begin{equation}\n\\label{tilde_chi_bc}\n\\chi_{L\\alpha}(\\cdots,\\theta_i+2\\pi,\\cdots)=\\exp\\left \n(-i2\\pi\\frac{\\nu M_i}{M_{T}}\\right \n)\\chi_{L\\alpha}(\\cdots,\\theta_i,\\cdots),\n\\end{equation}\nwhere $\\nu=Nl$.\nWhen $M_A=M_B=M$, these boundary conditions revert to those of \nthe single-species case where\n\\begin{equation}\n\\chi_{L\\alpha}(\\cdots,\\theta_i+2\\pi,\\cdots)=\\exp\\left (-i2\\pi l\\right \n)\\chi_{L\\alpha}(\\cdots,\\theta_i,\\cdots).\n\\end{equation}\nThis, together with Eq.~(\\ref{tilde_chi_L_SE}) implies that \n$\\chi_{L+N\\hbar,\\alpha}=\\chi_{L\\alpha}$ and $\ne_\\alpha(L+N\\hbar)= e_\\alpha(L)$. In fact, in this case\n$e_\\alpha(L)$ and $\\chi_{L\\alpha}$ coincide with \n$\\tilde e_n(L)$ and $\\tilde \\chi_{L\\alpha}$, respectively.\n\nWhen $M_A\\neq M_B$, $e_\\alpha(L)$ \nis not in general a periodic function of $L$. However, it can be\nif the boundary conditions in Eq.~(\\ref{tilde_chi_bc}) remain\nunaltered when $\\nu$ is augmented by some number $\\tilde{N}$ \n(i.e., $L\\rightarrow L+\\tilde{N}\\hbar$) such that \n\\begin{equation}\n\\frac{\\tilde{N}M_A}{M_{\\rm T}}=p,\n\\end{equation}\nand\n\\begin{equation}\n\\frac{\\tilde{N}M_B}{M_{\\rm T}}=q,\n\\end{equation}\nwhere $p$ and $q$ are both integers. This implies that $M_A\/M_B$\nmust be equal to the rational number $p\/q$. The lowest possible\nvalue of $\\tilde N$ is obtained when $p$ and $q$ have no common\ndivisor and is then given by \n\\begin{equation}\n\\tilde {N}=pN_A+qN_B.\n\\end{equation} \nWith this choice of $\\tilde N$, $e_\\alpha(L)$ is a periodic\nfunction of $L$ with periodicity $\\tilde N \\hbar$. In this \nsituation, it is possible to impart a definite angular momentum to \nthe two-species system without altering its ``internal\" state.\nFor two different atomic species, the mass ratio\n$M_A\/M_B$ is never strictly a rational number and thus\n$e_\\alpha(L)$ cannot be strictly periodic. However, if\n\\begin{equation}\nM_A\/M_B \\simeq p\/q + \\delta\n\\end{equation}\nwhere $|\\delta| << p\/q$, one would expect $e_\\alpha(L)$,\nby continuity, to be quasi-periodic with a periodicity\nclose to $(N_Ap+N_Bq)\\hbar$. For example, a\nmixture of $^{85}{\\rm Rb}$ ($A$) and $^{39}{\\rm K}$ \n($B$) has a mass ratio\n\\begin{equation}\nM_A\/M_B  \\simeq 2 + 0.07,\n\\end{equation}\nin which case\nthe quasi-periodicity of $e_\\alpha(L)$ would be $(2N_A+N_B)\\hbar$.\n\n\n\nIn the rest of this section we discuss the close connection between \nBloch's argument on persistent currents and Landau's criterion for\nsuperfluidity. Our analysis mainly concerns the single-species and \nequal-mass two-species systems, where there is strict periodicity for \n$e_\\alpha(L)$. However, it also applies to the two-species system with \nunequal masses, insofar as it is a good approximation to regard \n$e_0(L)$ as quasi-periodic. According to Bloch, persistent\ncurrents can occur at the angular momenta $L_n = n N\\hbar$, \nfor integral $n$, if $E_0(L)$ has a local minimum at $L= L_n$.\nWe thus examine the behaviour of $E_0(L)$ in the neighbourhood \nof $L_n$. From Eqs.~(\\ref{spec_E}) and (\\ref{e_period}) one \nhas\n\\begin{eqnarray}\nE_0(L_n+\\Delta L)&=&\\frac{(L_n+\\Delta\nL)^2}{2M_{T}R^2}+e_0(L_n+\\Delta \nL) \\nonumber \\\\\n&=&\\frac{L_n^2}{2M_{ T}R^2}+\\Omega_n\\Delta L+E_0(\\Delta L),\n\\label{E_0(L)}\n\\end{eqnarray}\nwhere $\\Omega_n\\equiv L_n\/(M_{\\rm T}R^2)$ is the angular velocity \nof the centre of mass of the system at $L_n$. This expression\nfor the energy is analogous to the expression obtained via a\nGalilean transformation for a homogeneous system in which an\nexcitation is produced in the rest frame of the\nsuperfluid~\\cite{Lifshitz80}. To\nmake this correspondence evident, we define the velocity $v_n\n\\equiv L_n\/M_T R$ and write the energy in Eq.~(\\ref{E_0(L)}) as\n\\begin{equation}\nE_0(L_n+\\Delta L)=\n\\frac{1}{2}M_T v_n^2 + \\left (\\frac{\\Delta L}{R} \\right )\nv_n+ E_0(\\Delta L).\n\\end{equation}\nThe first term on the right hand side is identified as\nthe kinetic energy of the superfluid moving with velocity\n$v_n$. Likewise, the last term is identified as the energy \nof a stationary superfluid containing an excitation with\n``momentum\" $\\Delta L\/R$. It should be noted, however, that the\nanalogy is not complete since for a homogeneous system the\nsuperfluid velocity $v_n$ can take arbitrary values whereas \nfor the ring geometry the angular momentum is restricted to the \ndiscrete values $L_n$. \n\nWith this correspondence in mind, we take\n$E_0(\\Delta L)$ to be the energy of the system with a single\nquasi-particle excitation with angular momentum $\\Delta L = \n\\hbar m$ and energy $\\varepsilon(m)$, i.e.,\n\\begin{equation}\nE_0(\\Delta L)=E_0(0)+\\varepsilon(m).\n\\end{equation}\nWe thus have \n\\begin{equation}\nE_0(L_n+\\Delta L)=E_0(L_n)+\n\\varepsilon(m)+ \\Omega_n  \\hbar m. \n\\end{equation}\nThe stability of the state with energy $E_0(L_n)$ is then\nassured if the excitations lead to an increase in energy.\nIn other words, the system will sustain \npersistent currents at $L_n$ for an arbitrary excitation\nof the system if\n\\begin{equation}\n\\varepsilon(m)+\\hbar \\Omega_n m>0\n\\label{lc1}\n\\end{equation}\nfor all $m$. Since $\\varepsilon(-m) = \\varepsilon(m)$, the left\nhand side has a minimum for negative values of $m$ and we thus\nrequire\n\\begin{equation}\n\\Omega_n < \\left (\\frac{\\varepsilon(m)}{\\hbar |m|}\\right )_{\\rm{min}}.\n\\label{lc2}\n\\end{equation}\nWe have thus shown that Bloch's argument for persistent currents \nin the one-dimensional ring geometry\nnaturally leads to the more familiar Landau criterion for \nsuperfluidity.\nIf $\\varepsilon(m)$ has a positive curvature as a function of\n$m$, which precludes a roton-like minimum,\nthe inequality in Eq.~(\\ref{lc2}) can be replaced by\n\\begin{equation}\n\\Omega_n<\\frac{\\varepsilon(m=1)}{\\hbar}.\n\\label{lc3}\n\\end{equation}\nIt is clear from this expression that the inequality must\neventually fail\nwhen $n$ exceeds some critical value $n_{\\rm cr}$.\n\n\\section{Bogoliubov excitations, dynamic stability and Persistent \ncurrents at integer values of angular momentum per particle}\n\\label{Bogoliubov}\nThe Landau criterion derived in the previous section focuses\nattention on the elementary excitations of the system. \nIn this section, we obtain these excitations for a \ntwo-species gas in a one-dimensional ring geometry in the\nBogoliubov approximation. We then apply \nEq.~(\\ref{lc3}) to discuss persistent currents at integer values of \nangular momentum per particle for an equal-mass two-species system.\n\nIn the following, we assume that the particles interact via\ncontact interactions with strengths $U_{ss'}$, where \n$s,s'=A,B$ specify the species. Using the single-particle basis\nin Eq.~(\\ref{s_p_basis}), the Hamiltonian in Eq.~(\\ref{Two-comp \nhamiltonian}) can be written in the second-quantized form\n\\begin{eqnarray}\n\\hat H &=&\\sum_s\\sum_m \\epsilon_s \\hat \na^\\dag_{s,m}\\hat \na_{s,m}+\\sum_{s,s'}\\sum_{m,m',n}\\frac{U_{ss'}}{4\\pi}\\hat \na^\\dag_{s,m}\\hat a^\\dag_{s',n-m}\\hat a_{s',m'}\\hat a_{s,n-m'},\n\\end{eqnarray}\nwhere $m$ is the angular momentum quantum number and $\\epsilon_s\n=\\hbar^2m^2\/2M_sR^2$. Assuming both species to be Bose-condensed in\nthe $m=0$ state, the\ncorresponding Bogoliubov Hamiltonian can be written as\n\\begin{eqnarray}\n\\label{H_Bog_0}\n\\hat H_{\\rm\nBog}&=&\\frac{1}{2}\\sum_{s,s'}\\sqrt{N_sN_{s'}}\ng_{ss'}\n+\\sum_{s}\\sum_{m\\neq 0}\\left [ (\\epsilon_s+g_{ss})\\hat \na^\\dag_{s,m}\\hat a_{s,m} +\\frac{1}{2}g_{ss}\\hat a^\\dag_{s,m}\\hat \na^\\dag_{s,-m}+\\frac{1}{2}g_{ss}\\hat a_{s,m}\\hat a_{s,-m}\\right ] \n\\nonumber \\\\\n&&\\hskip 1.45truein +\\sum_{s\\neq s'}\\sum_{m\\neq 0}g_{ss'}\\left [ \\hat \na^\\dag_{s,m}\\hat a_{s',m}+\\frac{1}{2}\\hat a^\\dag_{s,m}\\hat \na^\\dag_{s',-m}+\\frac{1}{2}\\hat a_{s,m}\\hat a_{s',-m}\\right ],\n\\end{eqnarray}\nwhere \n$g_{ss'}= U_{ss'} \\sqrt{N_s N_{s'}}\/2\\pi$. \n\nThe diagonalization of a Hamiltonian similar to Eq.~(\\ref{H_Bog_0}) \nfor a three-dimensional system was carried out in~\\cite{Tommasini03}. \nHere we present a different method \nof determining the Bogoliubov quasiparticle operators.\nThis is done in three \nsteps. First, we perform a Bogoliubov transformation for each of\nthe species treated individually. The transformation is defined\nby\n\\begin{eqnarray}\n\\label{Bog_tran_0}\n&&\\hat a_{s,m}=u^{(0)}_{s,m}\\hat \\beta_{s,m}-v^{(0)}_{s,m}\\hat \n\\beta^\\dag_{s,-m}  \\nonumber \\\\\n&&\\hat a_{s,-m}=u^{(0)}_{s,m}\\hat \n\\beta_{s,-m}-v^{(0)}_{s,m}\\hat \\beta^\\dag_{s,m},\n\\end{eqnarray}\nwith\n\\begin{equation}\n\\label{bare_Bog_amp}\n\\big ({u^{(0)}_{s,m}} \\big )^2= \n\\frac{1}{2} \\left (\\frac{\\epsilon_s+g_{ss}}{E_s}+1  \\right ) = \n\\frac{(E_s+\\epsilon_s)^2}{4E_s \\epsilon_s},\\qquad \n\\big ( {v^{(0)}_{s,m}}\\big )^2=\n\\frac{1}{2} \\left (\\frac{\\epsilon_s+g_{ss}}{E_s}-1  \\right ) = \n\\frac{(E_s-\\epsilon_s)^2}{4E_s \\epsilon_s},\n\\end{equation}\nwhere\n\\begin{equation}\nE_s=\\sqrt{\\epsilon_s^2+2\\epsilon_s g_{ss}}.\n\\label{Bog_freq}\n\\end{equation}\n$E_s$ is the Bogoliubov excitation energy for independent\ncomponents.\nSubstituting Eq.~(\\ref{Bog_tran_0}) into Eq.~(\\ref{H_Bog_0}) and \ndropping all constant terms, we obtain\n\\begin{eqnarray}\n\\label{H_Bog_1}\n\\hat H_{\\rm Bog\n=\\sum_{s}\\sum_{m\\neq 0}E_s\\hat\\beta^\\dag_{s,m}\\hat \n\\beta_{s,m} +\\sum_{s\\neq s'}\\sum_{m\\neq 0}\n\\tilde g\n\\left [ \\hat \n\\beta^\\dag_{s,m}\\hat \\beta_{s',m} +\\frac{1}{2}\\hat \\beta^\\dag_{s,m}\\hat \n\\beta^\\dag_{s',-m}+\\frac{1}{2}\\hat \\beta_{s,m}\\hat \\beta_{s',-m}\\right \n],\n\\end{eqnarray}\nwhere $\\tilde g \\equiv\n\\sqrt{\\epsilon_A\\epsilon_B\/E_AE_B}g_{AB}$. The second term in\nthis Hamiltonian describes the coupling between the Bogoliubov \nexcitations defined for each of the species. It is convenient\nto write the Hamiltonian (again to within a constant) in the matrix form\n\\begin{equation}\n\\label{H_Bog_1_matr}\n\\hat H_{\\rm Bog}=\\sum_{m>\n0}\\hat{\\bf{\\Phi}}^\\dag_m\\mathcal{M}\\hat{\\bf{\\Phi}}_m,\n\\end{equation}\nwhere \n\\begin{eqnarray}\n&&\\hat {\\bf{\\Phi}}_m\\equiv (\\hat \\beta_{A,m}\\quad \\hat \n\\beta^\\dag_{A,-m}\\quad\\hat \\beta_{B,m}\\quad \\hat \\beta^\\dag_{B,-m} \n)^{\\rm T} \\nonumber \\\\\n&&\\hat {\\bf{\\Phi}}^\\dag_m\\equiv (\\hat \\beta^\\dag_{A,m}\\quad \\hat \n\\beta_{A,-m}\\quad\\hat \\beta^\\dag_{B,m}\\quad \\hat \\beta_{B,-m} )\n\\end{eqnarray} and \n\\begin{equation}\n\\mathcal{M} = \\left( \\begin{array}{cccc}\nE_A & 0 & \\tilde{g} & \\tilde{g} \\\\\n0 & E_A & \\tilde{g} & \\tilde{g}  \\\\\n\\tilde{g} & \\tilde{g} & E_B & 0 \\\\\n\\tilde{g} & \\tilde{g} & 0 & E_B\n\\end{array} \\right).\n\\end{equation}\n\nTo complete the diagonalization process we introduce the\nfollowing transformations\n\\begin{eqnarray}\n&&\\hat\\beta_{s,m}=\\tilde{u}^{(+)}_{s,m}\\hat \n\\beta_{+,m}-\\tilde{v}^{(+)}_{s,m}\\hat\\beta^\\dag_{+,-m}+\\tilde{u}^{(-)}_{\ns,m}\\hat \\beta_{-,m}-\\tilde{v}^{(-)}_{s,m}\\hat \\beta^\\dag_{-,-m} \\nonumber \\\\\n&&\\hat\\beta_{s,-m}=\\tilde{u}^{(+)}_{s,m}\\hat \n\\beta_{+,-m}-\\tilde{v}^{(+)}_{s,m}\\hat\\beta^\\dag_{+,m}+\\tilde{u}^{(-)}_{\ns,m}\\hat \\beta_{-,-m}-\\tilde{v}^{(-)}_{s,m}\\hat \\beta^\\dag_{-,m},\n\\end{eqnarray}\nwhere the amplitudes are chosen to be real. \nThe Hamiltonian is reduced to the diagonalized form\n\\begin{equation}\n\\label{H_Bog_2}\n\\hat H_{\\rm Bog}=\\sum_{m\\neq 0}E_+\\hat\\beta^\\dag_{+,m}\\hat \n\\beta_{+,m}\n+\\sum_{m\\neq 0}E_-\\hat\\beta^\\dag_{-,m}\\hat \\beta_{-,m},\n\\end{equation}\nif the amplitudes satisfy the matrix equation\n\\begin{equation}\n\\label{Bogo_equ}\n\\sigma_z\\mathcal{M}\\tilde{{\\bf w}}_{\\pm}=\\omega_\\pm \\tilde{{\\bf \nw}}_{\\pm}\n\\end{equation}\nwith the normalization condition\n\\begin{equation}\n\\label{Normalization}\n\\tilde{{\\bf w}}^{\\rm T}_{\\pm}\\sigma_z\\tilde{{\\bf w}}_{\\pm}=1.\n\\end{equation}\nHere, $\\tilde{{\\bf w}}_{\\pm}\\equiv \n(\\tilde{u}^{(\\pm)}_{A,m}\\quad -\\tilde{v}^{(\\pm)}_{A,m}\\quad \n\\tilde{u}^{(\\pm)}_{B,m}\\quad -\\tilde{v}^{(\\pm)}_{B,m})^{\\rm T}$\nand the matrix $\\sigma_z$ is defined as\n\\begin{equation}\n\\sigma_z=\\left ( \\begin {array} {cccc}\n1&0&0&0 \\\\\n0&-1&0&0 \\\\\n0&0&1&0 \\\\\n0&0&0&-1\n                 \\end {array}\n\\right ).\n\\end{equation}\nIt should be noted that Eqs.~(\\ref{Bogo_equ}) and \n(\\ref{Normalization}) guarantee that the Bose commutation\nrelations of the new operators $\\hat \\beta_{+,m}$  and $\\hat\n\\beta_{-,m}$ are preserved.\n\nThe Bogoliubov excitation energies $E_\\pm$ are\ndetermined by the characteristic equation\n\\begin{equation}\n\\label{Char_Equ1}\n{\\rm det}(\\sigma_z\\mathcal{M}-E \\mathcal{I})=0,\n\\end{equation}\t\nwhich yields\n\\begin{equation}\n\\label{Char_Equ2}\n\\left(E^2-E_A^2 \\right) \\left(E^2-E_B^2 \\right) - \n4\\epsilon_A\\epsilon_B g_{AB}^2= 0.\n\\end{equation} \nThis quadratic equation in $E^2$ has the two\nroots~\\cite{Ao00,Pethick08}\n\\begin{equation}\n\\label{Bog_spec}\nE_{\\pm}^2 = \\frac{1}{2}\\left( E_A^2 + E_B^2 \\right) \n\\pm \\frac{1}{2}\\sqrt{\\left(E_A^2 + E_B^2 \\right)^2\n+4\\left(4\\epsilon_A\\epsilon_B g_{AB}^2 \n-E_A^2E_B^2\\right)}.\n\\end{equation}\nThe dispersion of these modes is `phonon-like' for small $m$\n($E_\\pm \\propto |m|$) and `particle-like' for large $m$ ($E_\\pm\n\\propto m^2$). The upper branch has the higher sound speed\nand evolves continuously into $\\hbar^2m^2\/2M_<R^2$ where $M_<$\nsignifies the smaller of the two masses.\n\nThe Bogoliubov excitations of the two-component system \nare dynamically stable provided\n$E^2 >0$. Since only $E_-^2$ can become negative, the\ncriterion for dynamic stability is\n\\begin{equation}\n\\label{dynamic stability condition}\nE_A^2E_B^2-4\\epsilon_A \\epsilon_B g_{AB}^2 > 0.\n\\end{equation}\nIn view of Eqs.~(\\ref{Char_Equ1}) and (\\ref{Char_Equ2}), this is\nequivalent to the condition\n\\begin{equation}\n{\\rm det}(\\sigma_z\\mathcal{M}) = {\\rm det}(\\mathcal{M})\n> 0,\n\\end{equation}\nsince ${\\rm det}(\\sigma_z) =1$.\nUsing the definition of $E_s^2$ in Eq.~(\\ref{Bog_freq}) and defining\n\\begin{equation}\n\\gamma_{ss'} \\equiv \\frac{2\\sqrt{M_sM_{s'}}R^2}{\\hbar^2}\ng_{ss'},\n\\label{gamma}\n\\end{equation}\nEq.~(\\ref{dynamic stability condition}) becomes\n\\begin{equation}\n\\label{dynamic stability condition final}\n\\left (\\gamma_{AA}+ \\frac{1}{2}m^2\\right ) \\left (\\gamma_{BB}+\n\\frac{1}{2} m^2\\right ) > \n\\gamma_{AB}^2.\n\\end{equation}\nFor repulsive interactions, this inequality is satisfied for all\n$m$ if it is satisfied for $m=1$. This limiting case gives the\ncondition\n\\begin{equation}\n\\left (\\gamma_{AA}+ \\frac{1}{2}\\right ) \\left (\\gamma_{BB}+\n\\frac{1}{2}\\right ) > \n\\gamma_{AB}^2.\n\\end{equation}\nA criterion of this form was obtained in~\\cite{Smyrnakis09} \nfor $M_A=M_B$ but is also seen to be valid for $M_A \\ne M_B$\nwith the definition of $\\gamma_{ss'}$ given in Eq.~(\\ref{gamma}). \n\nTo complete our discussion of the Bogoliubov excitations we\npresent the results for the Bogoliubov amplitudes. It is\nstraightforward to show that\nEqs.~(\\ref{Bogo_equ}) and (\\ref{Normalization}) lead to\n\\begin{eqnarray}\n\\big (\\tilde{u}^{(\\pm)}_{s,m}\\big )^2&=&\\frac{(E_\\pm+E_s)^2\n(E^2_\\pm-E^2_{\\bar s})}{4E_\\pm E_s(2E^2_\\pm- E^2_A-E^2_B)} \n\\label{interm_Bog_amp_u}\n\\\\\n\\big ( \\tilde{v}^{(\\pm)}_{s,m}\\big )^2&=&\\frac{(E_\\pm-E_s)^2\n(E^2_\\pm-E^2_{\\bar s})}{4E_\\pm E_s(2E^2_\\pm- E^2_A-E^2_B)}.\n\\label{interm_Bog_amp_v}\n\\end{eqnarray}\nwhere $\\bar s$ denotes the species complementary to $s$.\nFinally, the relation of the original creation and annihilation\noperators to the Bogoliubov quasiparticle operators is defined via\n\\begin{eqnarray}\n&&\\hat a_{s,m}=u^{(+)}_{s,m}\\hat \n\\beta_{+,m}-v^{(+)}_{s,m}\\hat\\beta^\\dag_{+,-m}+u^{(-)}_{s,m}\\hat \n\\beta_{-,m}-v^{(-)}_{s,m}\\hat \\beta^\\dag_{-,-m} \\nonumber \\\\\n&&\\hat a_{s,-m}=u^{(+)}_{s,m}\\hat \n\\beta_{+,-m}-v^{(+)}_{s,m}\\hat\\beta^\\dag_{+,m}+u^{(-)}_{s,m}\\hat \n\\beta_{-,-m}-v^{(-)}_{s,m}\\hat \\beta^\\dag_{-,m}.\n\\end{eqnarray}\nThese amplitudes can be obtained from Eq.~(\\ref{bare_Bog_amp}) and \nEqs.~(\\ref{interm_Bog_amp_u}) and (\\ref{interm_Bog_amp_v}) \nwith the result\n\\begin{eqnarray}\n\\label{Bog_amp}\n\\big ( {u^{(\\pm)}_{s,m}} \\big\n)^2=\\frac{(E_\\pm+\\epsilon_s)^2(E^2_\\pm-E^2_{\\bar s})\n}{4E_\\pm \\epsilon_s(2E^2_\\pm-E^2_A-E^2_B)} \\\\\n\\big ({v^{(\\pm)}_{s,m}}\\big )^2=\\frac{(E_\\pm-\\epsilon_s)^2(E^2_\\pm-E^2_{\\bar\ns}) }{4E_\\pm \\epsilon_s(2E^2_\\pm-E^2_A-E^2_B)}.\n\\end{eqnarray}\nIt can be shown that these expressions are equivalent to those\ngiven in Ref.~\\cite{Tommasini03} in the one-dimensional limit.\nThe amplitudes can be used to evaluate the mode density fluctuations\n$\\delta n_{s,m}^{(\\pm)}(\\theta)$ of each species. We find that the\n$A$ and $B$ density fluctuations are {\\it in-phase} for the\n(+) mode and {\\it out-of-phase} for the (--) mode.\n\nWe now make use of these results in Eq.~(\\ref{lc3})\nto investigate the possibility of persistent currents at the \nangular momenta $L_n=n N\\hbar$ for the equal-mass system.\nThe lower of the two branches in Eq.~(\\ref{Bog_spec}) is the branch\nrelevant to determining the stability of the current. For\n$M_A=M_B=M$, the energy of this branch reads\n\\begin{equation}\nE_-(m)=\\frac{\\hbar^2}{2MR^2}\\sqrt {m^4+m^2\\left \n(\\gamma_{AA}+\\gamma_{BB}-\\sqrt{(\\gamma_{AA}-\\gamma_{BB})^2+4\\gamma_{AB}^\n2}\\right )}.\n\\label{lower_branch}\n\\end{equation}\nAccording to Eq. (\\ref{lc3}), the stability of persistent\ncurrents at $L_n$ requires\n\\begin{equation}\n\\frac{n\\hbar}{MR^2}<\\frac{\\hbar}{2MR^2}\\sqrt \n{1+\\gamma_{AA}+\\gamma_{BB}-\\sqrt{(\\gamma_{AA}-\\gamma_{BB})^2+4\\gamma_{AB\n}^2}}.\n\\end{equation}\nThis inequality is satisfied if the following two inequalities\n\\begin{eqnarray}\n\\left (\\gamma_{AA}-\\frac{4n^2-1}{2}\\right )\\left \n(\\gamma_{BB}-\\frac{4n^2-1}{2}\\right )&>&\\gamma^2_{AB} \n\\label{cri_g1} \\\\\n\\gamma_{AA}+\\gamma_{BB}&>&4n^2-1 ,\n\\label{cri_g2}\n\\end{eqnarray}\nare simultaneously satisfied. In the limit $\\gamma_{AB}=0$, we\nhave two independent components and we observe that the\ninequalities are satisfied if $\\gamma_{\\rm min} = {\\rm\nmin}(\\gamma_{AA},\\gamma_{BB})$ satisfies\n\\begin{equation}\n\\gamma_{\\rm min} > \\frac{1}{2}(2n+1)(2n-1).\n\\label{gamma_crit}\n\\end{equation}\nFor $n =1$ this gives the critical interaction strength\n$\\gamma_{\\rm cr} = 3\/2$ which is the value quoted in\nRef.~\\cite{Smyrnakis09}.\n\nFor the two-species system with equal masses, the inequalities\nin Eqs.~(\\ref{cri_g1}) and (\\ref{cri_g2}) can usually be satisfied for\nsuitable choices of the interaction parameters, implying the\npossible stability of persistent currents at any $L_n$.\nThe only exception occurs when \n\\begin{equation}\n\\gamma_{AA}\\gamma_{BB}=\\gamma^2_{AB},\n\\end{equation}\nor equivalently \n\\begin{equation}\nU_{AA}U_{BB}=U_{AB}^2.\n\\label{U_ij_equality}\n\\end{equation}\nIn this case, the coefficient of $m^2$ in Eq.~(\\ref{lower_branch})\nvanishes and the lower branch has a free particle dispersion\nwhich destabilizes persistent currents for any value of $n$.\nThis conclusion was arrived at earlier by Smyrnakis {\\it et\nal.}~\\cite{Smyrnakis09} for the special case $U_{AA} = U_{BB} = U_{AB}$; \nwe see here how it follows from the Landau criterion for the\nmore general relation in Eq.~(\\ref{U_ij_equality}).\nHowever, this does not preclude the possibility of persistent\ncurrents at non-integral values of angular momentum per particle. \nIn the next\nsection we reconsider the problem from the point of view of\nmean-field theory, following closely the work of Smyrnakis {\\it\net al.}~\\cite{Smyrnakis09}\n\n\\section{Persistent currents at non-integer angular momentum per \nparticle: mean-field theory}\n\\label{GP-Theory}\n\nThe analysis in this section is based on the mean-field\nGross-Pitaevksii energy functional for the two-component system\nin the ring geometry:\n\\begin{eqnarray}\n\\label{4.2_energy_1}\n&&\\hspace{-9mm}E[\\psi_A, \\psi_B] = \\int_{0}^{2\\pi} d\\theta \\left( \n\\frac{N_A\\hbar^2}{2M_AR^2} \\left| \\frac{d \\psi_A}{d \\theta} \\right|^2 + \n\\frac{N_B\\hbar^2}{2M_BR^2} \\left| \\frac{d \\psi_B}{d \\theta} \\right|^2 \n\\right) \\nonumber \\\\\n&& \\hspace{18mm}+\\hspace{1mm} \n\\frac{1}{2}U_{AA}N_A^2\\int_{0}^{2\\pi} d\\theta |\\psi_A|^4 + \n\\frac{1}{2}U_{BB}N_B^2\\int_{0}^{2\\pi} d\\theta |\\psi_B|^4 \n+ U_{AB}N_A N_B\\int_{0}^{2\\pi} d\\theta \n|\\psi_A|^2 |\\psi_B|^2.\n\\end{eqnarray}\nHere the condensate wave functions $\\psi_A$ and $\\psi_B$ are\nnormalized as\n\\begin{equation}\n\\int_0^{2\\pi} d\\theta |\\psi_A(\\theta)|^2 =  \\int_0^{2\\pi}\nd\\theta |\\psi_B(\\theta)|^2 = 1.\n\\end{equation}\nAs discussed in the previous section, Bloch's argument allows for \npersistent currents at integral values of $l=L\/N\\hbar$ when \n$M_A=M_B=M$ except when Eq.~(\\ref{U_ij_equality}) is true. Here,\nfollowing Smyrnakis {\\it et al.}~\\cite{Smyrnakis09}, \nwe consider the special case\n$U_{AA}=U_{BB}=U_{AB}=U$. In units of the energy $N\\hbar^2\/(2MR^2)$, \nEq.~(\\ref{4.2_energy_1}) becomes\n\\begin{eqnarray}\n\\label{4.2_energy_2}\n&&\\hspace{-9mm}\\bar{E}[\\psi_A, \\psi_B] =  \\int_{0}^{2\\pi} d\\theta \n\\left( x_A \\left| \\frac{d \\psi_A}{d \\theta} \\right|^2 + x_B \\left| \n\\frac{d \\psi_B}{d \\theta} \\right|^2 \\right) \\nonumber \\\\\n&& \\hspace{18mm}+  \\hspace{1mm} x_A^2\\pi\\gamma \\int_{0}^{2\\pi} d\\theta \n|\\psi_A|^4 + x_B^2\\pi\\gamma\\int_{0}^{2\\pi} d\\theta |\\psi_B|^4 \n+  \\hspace{1mm}2x_Ax_B\\pi\\gamma \\int_{0}^{2\\pi}d\\theta \n|\\psi_A|^2 |\\psi_B|^2,\n\\label{GP_functional}\n\\end{eqnarray}\nwhere $x_A=N_A\/N$, $x_B=N_B\/N$ are the relative fractions of the two \nspecies in the system and $\\gamma \\equiv NMR^2U\/\\pi\\hbar^2$ is\na dimensionless interaction parameter. For definiteness, we \ntake $N_A > N_B$.\n\nThe objective is to minimize the energy functional in\nEq.~(\\ref{GP_functional}) with the constraint that \nthat the average value of the total angular\nmomentum has a fixed value $L\\equiv lN\\hbar$. This is achieved\nby expanding the condensate wave functions as\n\\begin{eqnarray}\n\\label{4.2_wfA}\n&&\\psi_A(\\theta) = \\sum\\limits_{m}c_m\\phi_m(\\theta) \\\\\n\\label{4.2_wfB}\n&&\\psi_B(\\theta) = \\sum\\limits_{m}d_m\\phi_m(\\theta),\n\\end{eqnarray}\nwhere the basis functions $\\phi_m(\\theta)$ are given in\nEq.~(\\ref{s_p_basis}).\nThe normalization of the wave functions requires\n\\begin{equation}\n\\label{4.2_normalization}\n\\sum\\limits_{m}|c_m|^2=1,\\hspace{7mm} \\sum\\limits_{m}|d_m|^2=1.\n\\end{equation}\nSuch a superposition implies\nthat the wave functions are in general nonuniform around the\nring. In addition, \nthe expansion coefficients $c_m$ and $d_m$ must satisfy\nthe angular momentum constraint\n\\begin{equation}\nl = x_Al_A+x_Bl_B \\equiv x_A \\sum\\limits_{m}m|c_m|^2 +\nx_B \\sum\\limits_{m}m|d_m|^2.\n\\label{ang_mom_constraint}\n\\end{equation}\n$l_A$  ($l_B$) represents the average angular momentum in units \nof $\\hbar$ of an $A$ ($B$)-species particle. The minimization\nof the energy with respect to the expansion coefficients in\nEqs.~(\\ref{4.2_wfA}) and (\\ref{4.2_wfB})\nwas first considered by Smyrnakis {\\it et al.}~\\cite{Smyrnakis09}. \nIt will be clear from\nthe following that much of our analysis closely follows theirs.\nHowever, we have expanded on their discussion in order to obtain a\nnumber of results that are not given explicitly in their paper.\n\nSubstituting the wave functions in Eqs.~(\\ref{4.2_wfA}) and \n(\\ref{4.2_wfB}) into Eq.~(\\ref{4.2_energy_2}), we obtain\n\\begin{eqnarray}\n&&\\bar{E}_0(l) = \nx_A\\sum\\limits_{m}m^2|c_m(l)|^2+x_B\\sum\\limits_{m}m^2|d_m(l)|^2+x_A^2\\pi\n\\gamma\\int_0^{2\\pi}d\\theta\\Big|\\sum\\limits_{m}c_m(l)\\phi_m(\\theta) \n\\Big|^4 \\nonumber \\cr\n&&\\hspace{15mm}+\\hspace{1mm}x_B^2\\pi\\gamma\\int_0^{2\\pi}d\\theta\\Big|\\sum\n\\limits_{m}d_m(l)\\phi_m(\\theta) \\Big|^4 \n+ 2x_Ax_B\\pi\\gamma\\int_0^{2\\pi}\\Big|\\sum\\limits_{m}c_m(l)\\phi_\nm(\\theta) \\Big|^2\\Big|\\sum\\limits_{m}d_m(l)\\phi_m(\\theta)\n\\Big|^2 \\nonumber \\cr\n&&\\hspace{9mm} \\equiv l^2 + \\bar e_0(l).\n\\label{4.2_energy_3}\n\\end{eqnarray}\nAccording to Bloch's argument, $\\bar e_0(l)$ should exhibit the\nperiodicity $\\bar e_0(l+n) = \\bar e_0(l)$ where $n$\nis an integer. This periodicity is ensured if the expansion\ncoefficients satisfy the periodicity conditions\n\\begin{equation}\nc_{m+n}(l+n)=c_m(l), \\quad d_{m+n}(l+n)=d_m(l).\n\\label{periodicity}\n\\end{equation}\nThe fact that $\\bar E_0(l)$ must remain unchanged when the\nwave functions $\\psi_\\alpha^*(\\theta)$ \nwith angular momenta $-l_\\alpha$ are used to evaluate the energy\nfunctional leads to the relations\n\\begin{equation}\nc_m(-l)=c_{-m}^*(l), \\quad d_m(-l)=d_{-m}^*(l).\n\\label{reflection}\n\\end{equation}\nThese two conditions are the mean-field counterparts of\nEqs.~(\\ref{e_period}) and (\\ref{e_inversion}).\n\nThe function $\\bar e_0(l)$ is the central quantity determining the\npossibility of persistent currents and its detailed evaluation\nis taken up next.\nTo begin, we consider wave functions $\\psi_A$ and $\\psi_B$ containing \nonly two components, that is,\n\\begin{eqnarray}\n\\label{4.2_wfA_01}\n&&\\psi_A = c_0\\phi_0+c_1\\phi_1 \\\\\n\\label{4.2_wfB_01}\n&&\\psi_B = d_0\\phi_0+d_1\\phi_1.\n\\end{eqnarray}\nThe coefficients $c_m$ and $d_m$ are normalized according to \nEq.~(\\ref{4.2_normalization}) and the angular momentum constraint\nbecomes\n\\begin{equation}\n\\label{4.2_ang_mom_01_full}\nx_A|c_1|^2+x_B|d_1|^2=l.\n\\end{equation}\nExpressing the complex coefficients in the form \n\\begin{eqnarray}\n\\label{4.2_complex_form_coeff_c}\n&&c_m = |c_m|e^{i\\alpha_m}\\\\\n\\label{4.2_complex_form_coeff_d}\n&&d_m = |d_m|e^{i\\beta_m},\n\\end{eqnarray}\nthe GP energy becomes\n\\begin{equation}\n\\label{4.2_energy_5}\n\\bar{E}_0(l) = \nl+\\frac{\\gamma}{2}+\\gamma\\left(x_A^2|c_0|^2|c_1|^2 \n+x_B^2|d_0|^2|d_1|^2 \n+2x_Ax_B|c_0||c_1||d_0||d_1| \\cos\\chi\\right )\n\\end{equation}\nwhere $\\chi = \\alpha_0 -\\alpha_1-\\beta_0+\\beta_1$.\nThe choice of $\\chi$ which minimizes $\\bar{E}_0(l)$ is $\\pi$ \nand we then have\n\\begin{equation}\n\\bar{E}_0(l) = \nl+\\frac{\\gamma}{2}+\\gamma\\left(x_A|c_0||c_1| \n-x_B|d_0||d_1|\\right )^2.\n\\end{equation}\nThe lowest possible value of this energy is~\\cite{Smyrnakis09}\n\\begin{equation}\n\\label{4.2. energy simplified}\n\\bar{E}_0(l)=l+\\gamma\/2,\n\\end{equation}\nwhich occurs for \n\\begin{equation}\n\\label{4.2. simplification}\nx_A|c_0||c_1| = x_B|d_0||d_1|.\n\\end{equation}\nThis relation, together with the normalization and angular\nmomentum constraints, yields the coefficients\n\\begin{eqnarray}\n\\label{4.2_coeff_csq}\n&&|c_0|^2 = \\frac{(x_A -l)(1-l)}{x_A(1-2l)}, \\quad \n|c_1|^2 = \\frac{l(x_B -l)}{x_A(1-2l)} \\\\\n\\label{4.2_coeff_dsq}\n&&|d_0|^2 = \\frac{(x_B -l)(1-l)}{x_B(1-2l)}, \\quad\nd_1|^2 = \\frac{l(x_A -l)}{x_B(1-2l)}.\n\\end{eqnarray}\nThese quantities are positive \nprovided $l$ is in the range $0 \\leq l \\leq x_B$ \nor $x_A\\leq l \\leq 1$. Assuming the validity of \nEq.~(\\ref{4.2. energy simplified}) for $l$ in these ranges, we see\nthat $\\bar E_0(l)$ does not have a local minimum\nat $l =1$. Thus, persistent currents are not possible at $l=1$,\nand by virtue of the periodicity of $\\bar e_0(l)$, at all integral \nvalues of $l$. These conclusions are consistent with our\nearlier discussion based on the Landau criterion; the validity of\nEq.~(\\ref{U_ij_equality}) implies the existence of\nparticle-like excitations and the absence of persistent currents\nat integral values of $l$.\n \nAlthough Eq.~(\\ref{4.2. energy simplified}) was obtained for the\nsimplest possible variational wave function, it in fact is\nexact when $l$ is restricted to the above\nranges~\\cite{Smyrnakis09}.\nTo show this,\nwe consider normalized wave functions of the form \n\\begin{equation}\n\\label{4.2_wf_perturbed}\n\\tilde \\psi_A(\\theta) = \\psi_A(\\theta)+\\delta\\psi_A, \\hspace{1cm} \n\\tilde \\psi_B(\\theta) = \\psi_B(\\theta)+\\delta\\psi_B,\n\\end{equation}\nwhere $\\psi_A$ and $\\psi_B$ are defined by Eqs.~(\\ref{4.2_wfA_01}) and\n(\\ref{4.2_wfB_01}) with the coefficients given\nin Eqs.~(\\ref{4.2_coeff_csq})-(\\ref{4.2_coeff_dsq}).\nIf the deviations are expressed in the form\n\\begin{equation}\n\\label{4.2_wf_deviations}\n\\delta\\psi_A = \\sum\\limits_{m}\\delta c_m\\phi_m, \\hspace{1cm} \n\\delta\\psi_B = \\sum\\limits_{m}\\delta d_m\\phi_m,\n\\end{equation}\nthe angular momentum constraint in Eq.~(\\ref{ang_mom_constraint})\nleads to\n\\begin{equation}\n\\label{4.2_deviations_coeff_cancel}\nx_Ac_1(\\delta c_1+\\delta c_1^*) + x_Bd_1(\\delta d_1+\\delta d_1^*)= \n-x_A\\sum\\limits_{m}m|\\delta c_m|^2-x_B\\sum\\limits_{m}m|\\delta d_m|^2.\n\\end{equation}\nWe next observe that the density $n_0(\\theta)\n=N_A|\\psi_A|^2+N_B|\\psi_B|^2$ is in fact uniform, that is,\n$n_0(\\theta) = N\/(2\\pi)$.\nUsing these results, the energy is found to be given by\n\\begin{equation}\n\\bar{E}[\\tilde\\psi_A,\\tilde \\psi_B] = \\bar E_0(l) \n+ x_A\\sum_{m}(m^2-m)|\\delta \nc_m|^2+x_B\\sum\\limits_{m}(m^2-m)|\\delta d_m|^2 \n+ \\frac{\\pi\\gamma}{N^2}\\int_0^{2\\pi} \nd\\theta |\\delta n(\\theta)|^2,\n\\end{equation}\nwhere $\\delta n(\\theta) = n(\\theta)-n_0$. We thus see that $\\bar\nE[\\tilde\\psi_A,\\tilde \\psi_B] > \\bar E_0(l)$, implying that the \nstate defined by Eqs.~(\\ref{4.2_wfA_01}) and (\\ref{4.2_wfB_01})\nis indeed the ground state of the\nsystem for the assumed ranges of the angular momentum. It should\nbe noted that this result depends crucially on the assumption of\nequal interaction parameters between all components. The weaker\ncondition in Eq.~(\\ref{U_ij_equality}) still precludes the possibility\nof persistent currents at integral values of $l$, but the energy\ndoes not have the simple form shown in Eq.~(\\ref{4.2. energy\nsimplified}).\n\nWe next analyze the energy for $x_B\\leq l\\leq x_A$. In \nparticular we consider the situation when $l$ is close to $x_A$, that \nis $l-x_A=-\\varepsilon$, where $\\varepsilon$ is a small positive\nquantity. For $l=x_A$ we see from \nEqs.~(\\ref{4.2_coeff_csq})-(\\ref{4.2_coeff_dsq}) that \n\\begin{eqnarray}\n\\label{4.2._coeff small c}\n&&|c_0|^2=0, \\hspace{1cm} |c_1|^2=1\\\\\n\\label{4.2._coeff small d}\n&&|d_0|^2=1, \\hspace{1cm} |d_1|^2=0.\n\\end{eqnarray}\nAs $\\varepsilon$ increases from zero, we therefore expect deviations \nfrom these limiting values and additional components in the expansion \nof the $\\psi_A$ and $\\psi_B$ wave functions. To be specific, we \nconsider the three-component wave functions  \n\\begin{eqnarray}\n\\label{4.2 3comp wfA}\n&&\\psi_A=c_0\\phi_0+c_1\\phi_1+c_2\\phi_2 \\\\\n\\label{4.2 3comp wfB}\n&&\\psi_B=d_{-1}\\phi_{-1}+d_0\\phi_0+d_1\\phi_1.\n\\end{eqnarray}\nWe anticipate that $|c_0|^2$, $|c_2|^2$, $|d_{-1}|^2$ and $|d_1|^2$ are \nall of order $\\varepsilon$. With this assumption, \nthe energy to first order in $\\varepsilon$ is found to be\n\\begin{eqnarray}\n\\label{E_3_component}\n&&\\hspace{-9mm}\\bar{E}_0(l) =  x_A\\left(|c_1|^2 + 4|c_2|^2 \\right) + \nx_B\\left(|d_{-1}|^2 + |d_1|^2 \\right) +\\frac{\\gamma}{2}\\\\ \\nonumber\n&&+\\hspace{1mm}x_A^2\\gamma\\left(|c_0|^2+|c_2|^2 + \n2|c_0||c_2|\\cos\\chi_1 \\right)\n+x_B^2\\gamma\\left(|d_{-1}|^2+|d_1|^2 + \n2|d_{-1}||d_1|\\cos\\chi_2 \\right) \\\\ \\nonumber\n&&+\\hspace{1mm}2x_Ax_B\\gamma\\left[ \n\\frac{1}{2}+|c_0||d_{-1}|\\cos\\chi_3 + \n|c_0||d_1|\\cos(\\chi_3-\\chi_2)\n+|c_2||d_{-1}|\\cos(\\chi_3-\\chi_1)\n+|c_2||d_1|\\cos(\\chi_3-\\chi_1-\\chi_2)\\right],\n\\end{eqnarray}\nwhere we have defined the phase angles\n$\\chi_1 = \\alpha_0-2\\alpha_1+\\alpha_2$, $\\chi_2 =\n\\beta_{-1}-2\\beta_0+\\beta_1$ and $\\chi_3 =\n\\alpha_0-\\alpha_1-\\beta_{-1}+\\beta_0$. This energy is an\nextremum with respect to the phase angles if they are all 0 or\n$\\pi$. If we choose them arbitrarily to be 0, we obtain\n\\begin{equation}\n\\label{4.2. E new 2}\n\\bar{E}_0(l) \\simeq x_A\\left(|c_1|^2 + 4|c_2|^2 \\right) + \nx_B\\left(|d_{-1}|^2 + |d_1|^2 \\right) +\\frac{\\gamma}{2}\n+\\gamma\\left[ x_A(|c_0| + |c_2|)+ x_B(|d_{-1}| + |d_1|) \\right]^2,\n\\end{equation}\nwhich must now be minimized with respect to the coefficients $|c_0|$, \n$|c_2|$, $|d_{-1}|$ and $|d_1|$ subject to the angular momemtum\nconstraint\n\\begin{equation}\n\\label{4.2. ang mom new}\nl =x_A - \\varepsilon = x_A\\left(|c_1|^2 + 2|c_2|^2 \\right) + \nx_B\\left(|d_{1}|^2 -|d_{-1}|^2 \\right)= x_A\\left(1-|c_0|^2 +\n|c_2|^2 \\right) + x_B\\left(|d_{1}|^2 -|d_{-1}|^2 \\right).\n\\end{equation}\nIf this minimization in the end leads \nto coefficients that are negative, the phases have to be\nadjusted accordingly to yield coefficients with positive\nvalues. As we shall see, this will indeed be necessary.\n\nUsing Eq.~(\\ref{4.2. ang mom new}) to eliminate $|c_1|$ from\nEq.~(\\ref{4.2. E new 2}), and introducing a Lagrange multiplier\n$\\lambda$ to account for the angular momentum constraint, the\nfunctional to be minimized is\n\\begin{eqnarray}\n\\label{4.2. lagrange 00}\n&&\\hspace{-24mm}F(|c_0|, |c_2|, |d_{-1}|, |d_1|) = \n2x_A|c_2|^2 + 2x_B|d_{-1}|^2\n+ \\gamma\\Big[ x_A\\left( |c_0| + |c_2| \n\\right) + x_B\\left( |d_{-1}| + |d_1| \\right) \\Big]^2 \\nonumber \\\\ \n&&\\hspace{27.5mm}+ \\hspace{1mm}\\lambda \\Big[ x_A\\left(1- |c_0|^2 + \n|c_2|^2 \\right) + x_B\\left( -|d_{-1}|^2 +|d_1|^2 \\right) \\Big],\n\\end{eqnarray}\nwhere the variations of the coefficients are now unconstrained.\nThis variation leads to the results\n\\begin{equation}\n\\label{4.2. lambda cd1}\n\\left |\\frac{c_2}{c_0}\\right | =\n-\\frac{\\lambda}{\\lambda+2},\\quad\n\\left | \\frac{d_{1}}{c_0}\\right | = -1,\\quad\n\\left |\\frac{d_{-1}}{c_0}\\right |=\\frac{\\lambda}{\\lambda-2},\n\\end{equation}\nwhere the Lagrange multiplier $\\lambda$ is the solution of the cubic\nequation~\\cite{Smyrnakis09}\n\\begin{equation}\n\\label{4.2 f of lambda}\nf(\\lambda)\\equiv \\lambda(\\lambda^2-4)-2\\gamma\\lambda \n+4\\gamma(x_A-x_B)=0.\n\\end{equation}\nThe roots of this equation are to be determined for \n$\\gamma>0$ and $0\\leq (x_A-x_B)\\leq 1$. \n\n\\begin{figure*}[!ht]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{cubic_gamma_2.ps}}\n\\caption{Plot of the cubic $f(\\lambda)$ vs. $\\lambda$. The\ncurves from bottom to top correspond to \n$x_A-x_B = 0$, 0.5 and 1.0. The interaction parameter is $\\gamma\n= 2$.\n}\n\\label{fig:cubic_gamma_2} \n\\end{figure*}\n\\begin{figure*}\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{cubic_gamma_8.ps}}\n\\caption{As for Fig.~\\ref{fig:cubic_gamma_2} but for an interaction\nparameter of $\\gamma = 8$.\n}\n\\label{fig:cubic_gamma_8}\n\\end{figure*}\nIn Fig.~\\ref{fig:cubic_gamma_2}, $f(\\lambda)$ is plotted for \n$(x_A-x_B)=0$, 0.5 and 1 and for $\\gamma = 2$;\nFig.\\ref{fig:cubic_gamma_8} is a similar plot for $\\gamma = 8$. For \n$(x_A-x_B)=0$, $f(\\lambda)=\\lambda(\\lambda^2-4-2\\gamma)$, which has the \nroots $\\lambda=0$ and $\\lambda=\\pm\\sqrt{4+2\\gamma}$. For $(x_A-x_B)=1$, \n$f(\\lambda)=(\\lambda-2)[\\lambda(\\lambda+2)-2\\gamma]$, which has the \nroots $\\lambda=2$ and $\\lambda=-1\\pm\\sqrt{1+2\\gamma}$. The\nlatter two values \nare the Lagrange multipliers in the single-species limit as obtained \nfrom the minimization of Eq.~(\\ref{4.2. lagrange 00}) for $x_B = 0$.\nSince the term $4\\gamma(x_A-x_B)$ in $f(\\lambda)$ simply \nshifts the curves in Figs.~\\ref{fig:cubic_gamma_2} and\n\\ref{fig:cubic_gamma_8} vertically, it is clear that there are \nalways three real roots for the physical range of $(x_A-x_B)$ values.\nFor any positive value of $\\gamma$,\none root is always less than $-2$, a second lies in the range $0\\le\n\\lambda \\le 2$ (more precisely in the range $0\\le \\lambda \\le\n2(x_A-x_B)$) and a third in the range $\\lambda \\ge 2$.\nSubstituting the coefficients given in Eq.~(\\ref{4.2. lambda cd1}) \ninto Eq.~(\\ref{4.2. ang mom\nnew}) we find\n\\begin{equation}\n\\label{4.2. c0 as eps}\n|c_0|^2\n=\\frac{\\varepsilon(\\lambda^2-4)^2}{4[x_A(\\lambda+1)\n(\\lambda-2)^2+x_B(\\lambda-1)(\\lambda+2)^2]}.\n\\end{equation}\nIt is clear from this expression that the $\\lambda<-2$ root makes \n$|c_0|^2$ negative. This root is therefore physically inadmissible \nand only the positive $\\lambda$ roots are relevant.\nEq.~(\\ref{4.2. c0 as eps}) together with Eq.~(\\ref{4.2. lambda cd1})\ncan be used in Eq.~(\\ref{4.2. E new 2}) to evaluate the energy. One\nfinds the remarkably simple result\n\\begin{equation}\n\\label{4.2. E new 5 simple}\n\\bar{E}_0(l)-\\frac{\\gamma}{2} =\nx_A-\\varepsilon+\\lambda\\varepsilon = x_A+(l-x_A)(1-\\lambda).\n\\end{equation}\nWe now see that the smaller of the two positive $\\lambda$ roots gives \nthe lowest possible energy. This thus identifies the root in the range \n$0<\\lambda <2$ as the one that is physically\nrelevant~\\cite{Smyrnakis09}. For $\\lambda$ in this range we\nobserve that the \nratios in Eq.~(\\ref{4.2. lambda cd1}) are negative, indicating that\nthe phases in Eq.~(\\ref{E_3_component}) were chosen incorrectly. The\nproper phases are $\\chi_1=\\pi$, $\\chi_2=0$ and $\\chi_3=\\pi$.\n\nThe criterion for the existence of persistent currents at\n$l=x_A$ used in Ref.~\\cite{Smyrnakis09} is that the slope \nof $\\bar E_0(l)$ in Eq.~(\\ref{4.2. E new 5 simple}) at\n$l=x_A^-$ is negative, i.e., $\\lambda > 1$. The critical condition\nis thus $\\lambda = 1$, which from Eq.~(\\ref{4.2 f of lambda}) gives\nthe critical interaction strength~\\cite{Smyrnakis09}\n\\begin{equation}\n\\label{4.2. gamma cr}\n\\gamma_{cr} =\\frac{3}{4(x_A-x_B)-2} = \\frac{3}{2(4x_A-3)}.\n\\end{equation}\nIn the $x_A =1$ limit this reduces to $\\gamma_{cr} = 3\/2$ which\nis the value obtained at $l=1$ for the single-species system.\nTo obtain the critical coupling at $l=x_A+n-1$, where $n =\n1$, 2,.., we write $\\bar E_0(l) = l^2 +\\bar e_0(l)$ and\nuse the fact that $\\bar e_0(l)$ is periodic. The slope at\n$l=(x_A+n-1)^-$ is thus found to be\n\\begin{equation}\n\\label{4.2. denergy prime}\n\\left. \\frac{d\\bar{E}_0(l)}{dl}\\right|_{l=(x_A+n-1)^-} = \n2n-1-\\lambda.\n\\end{equation}\nIf the root in the range $0<\\lambda<2(x_A-x_B)$ is used, \nthe slope cannot be zero for any $n>1$. This is the basis of\nthe claim made in Ref.~\\cite{Smyrnakis09} that \npersistent currents are not possible for $l>1$; seemingly,\nan arbitrarily small amount of\nthe minority component $B$ has a profound effect on the\npossibility of persistent currents. For the single-species case,\nthe energy is given by Eq.~(\\ref{4.2. E new 5\nsimple}) with $x_A=1$, but the appropriate value of $\\lambda$ is\n$\\lambda =-1+\\sqrt{1+2\\gamma}$, which is not bounded as a\nfunction of $\\gamma$. Using this value in Eq.~(\\ref{4.2. denergy\nprime}), one finds that persistent currents are\npossible for all $n$ in this case, with a critical interaction\nstrength of $\\gamma_{cr,n}={(2n+1)(2n-1)}\/{2}$. This is the\nresult found earlier (Eq.~(\\ref{gamma_crit})) \nusing the Landau criterion. This comparison indicates an\ninconsistency. On the one hand,\nEq.~(\\ref{4.2. denergy prime}) does allow for\npersistent currents for $l>1$ in the single-species limit if the\nappropriate value of $\\lambda$ is used. However, the two-species\nanalysis requires that the root in the range $0<\\lambda<2$\nbe used, which precludes the possibility of persistent\ncurrents for $l>1$ for any nonzero value of $x_B$. Since the\nenergy functional in Eq.~(\\ref{4.2_energy_2}) reduces to the\nsingle-species case when $x_B=0$, it would appear that taking\nthe $x_B\\to 0$ limit of the two-species analysis is problematic.\n\nIn order to explain this discrepancy it is\nuseful to examine the behaviour of the coefficients in\nEqs.~(\\ref{4.2. lambda cd1}) and (\\ref{4.2. c0 as eps}) in the $x_A\n\\to 1$ limit in more detail. These coefficients are determined\nby the root $\\lambda$ that lies in the range\n$0 \\le \\lambda < 2$. If $\\gamma < 4$, the limiting value of this\nroot for $x_A\\to 1$ is $\\lambda = -1 +\\sqrt{1+2\\gamma}$.\nThis is the $\\lambda$ value for the single-species\ncase. Thus for this range of $\\gamma$, one recovers the\nsingle-species values for all the coefficients. However, for\n$\\gamma > 4$, the root in the range $0 \\le \\lambda < 2$ has the\nlimiting value of 2 which is less than the $\\lambda =\n-1+\\sqrt{1+2\\gamma}$ root. The limiting values of the\ncoefficients do not correspond to the single-species values in\nthis case.\n\nThe distinction between $\\gamma < 4$ and $\\gamma>4$ is revealed\nmore clearly by plotting the coefficients in these two cases as\na function of $x_B$. We observe that\nthe angular momenta carried by each of the species is given by\n\\begin{equation}\n\\label{4.2. la}\nl_A = x_A\\left( |c_1|^2+2|c_2|^2 \\right) = x_A+x_A\\left( \n|c_2|^2-|c_0|^2\\right)\n\\end{equation}\nand\n\\begin{equation}\n\\label{4.2. lb}\nl_B = x_B\\left( -|d_{-1}|^2+|d_1|^2 \\right).\n\\end{equation}\nThe change in angular momentum as $l$ is reduced from $x_A$ \nis associated with the transfer of weight from\none angular momentum component to another. For example, for the\n$A$ species, the transfer takes place from the $m=1$ state\nto the $m=0$ or $m=2$ states, with respectively, a decrease or\nincrease in angular momentum. For the $B$ species, the transfer\ntakes place from the $m=0$ state to the $m=-1$ and $m=1$ states.\nOf interest is the relative magnitude of the\nangular momentum change $\\Delta l_{s,m}$\nthat is associated with each angular\nmomentum component. We therefore define the ratios $\\Delta\nl_{s,m}\/(-\\varepsilon)$ where for example, $\\Delta\nl_{A,0}\/(-\\varepsilon) = (-x_A|c_0|^2)\/(-\\varepsilon)$.\nThese\nratios represent the fraction of the angular momentum\nchange $-\\varepsilon = l-x_A$\nattributable to each of the angular momentum components.\n\\begin{figure*}[t]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{coeff_gamma_2.ps}}\n\\caption{The angular momentum change carried by each of the wave\nfunction components relative to the total angular momentum\nchange of $-\\varepsilon$ as a function of $x_B$: red ($\\Delta\nl_{A,0}$), black ($\\Delta l_{A,2}$), green ($\\Delta l_{B,-1}$),\nblue ($\\Delta l_{B,1}$). The interaction parameter is $\\gamma\n=2$.\n}\n\\label{fig:coeff_gamma_2} \n\\end{figure*}\n\\begin{figure*}[!ht]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{coeff_gamma_8.ps}}\n\\caption{As in Fig.~\\ref{fig:coeff_gamma_2} but for $\\gamma =8$.\n}\n\\label{fig:coeff_gamma_8} \n\\end{figure*}\nIn Fig.~\\ref{fig:coeff_gamma_2} we plot \nthese ratios as a function of $x_B$ for $\\gamma =2$;\nFig.~\\ref{fig:coeff_gamma_8} gives similar plots for \n$\\gamma =8$. For $\\gamma =2 $, we see that species $B$ carries a\nrelatively small contribution of the angular momentum change.\nThis contribution vanishes in the \n$x_B\\rightarrow 0$ limit and the situation reverts to that of\nthe single species which, as discussed above, is generally the case \nfor $\\gamma < 4$. The situation for $\\gamma >4$, however, is\nquite different. Fig.~\\ref{fig:coeff_gamma_8} for $\\gamma = 8$ \nshows that the angular \nmomentum change is carried entirely by the $m=-1$ component of\nthe $B$ species in the \n$x_B\\rightarrow 0$ limit. The reason for this surprising result is that \nthe relevant $\\lambda$ root approaches 2 for $x_B\\rightarrow 0$\nwhen $\\gamma > 4$. Eq.~(\\ref{4.2. c0 as eps}) then gives\n$|c_0|^2 \\simeq\n(2-\\lambda)^2\\varepsilon\/(4x_B)$ and from Eq.~(\\ref{4.2. lambda\ncd1}) we find\n$|d_{-1}|^2\\simeq \\varepsilon\/x_B$ for $x_B\\rightarrow 0$, i.e.\n$l_B = -\\varepsilon$ in this limit. \nThe divergence of $|d_{-1}|^2$ as \n$x_B\\rightarrow 0$ is indicating that the result can only be valid for \na decreasingly smaller range of $\\varepsilon$ since the normalization \n$1=|d_{-1}|^2+|d_0|^2+|d_1|^2$ must be preserved.\nIn other words, the energy\n$\\bar E_0(l)$, as given by\nEq.~(\\ref{4.2. E new 5 simple}), is meaningful in\nan interval of $l$ of decreasing size as $x_B\\to 0$. \n\nThe above results call into question any\nconclusion regarding the possibility of persistent currents at\nhigher angular momenta when $x_A$ approaches 1. In this limit, a\nmore global perspective regarding the behaviour of the energy as a\nfunction of $l$ in the interval $x_B \\le l \\le x_A$ is required.\nWe now give a general argument for the possibility of persistent\ncurrents at $l>1$ based on the assumption of continuity of the \nGP energy as a function of $x_B$.  To exhibit this dependence we\nwrite $\\bar E_0(l,x_B)$ and consider this function in the limit\nof small $x_B$. In particular, we have $\\bar E_0(n,x_B) = \\bar\nE_0^A(n)+\\delta_1(x_B)$ and $\\bar E_0(n-\\Delta l,x_B) = \\bar\nE_0^A(n-\\Delta l)+\\delta_2(x_B)$ where $\\bar E_0^A(l)= \\bar\nE_0(l,x_B=0)$ is the energy of the single-species system. \nThe assumption of continuity implies that\n$\\delta_1(x_B)$ and $\\delta_2(x_B)$ approach 0 as $x_B\\to 0$.\nWe then have $\\bar E_0(n-\\Delta l,x_B) - \\bar E_0(n,x_B) = \\bar\nE_0^A(n-\\Delta l) - \\bar E_0^A(n) + \\delta_2(x_B) -\n\\delta_1(x_B)$. By choosing $\\gamma > \\gamma_{{\\rm cr},n}$,\n$\\bar E_0^A(n-\\Delta l) - \\bar E_0^A(n)$ will have some fixed\n{\\it positive} value. Thus, we can say that $\\bar E_0(n-\\Delta\nl,x_B) - \\bar E_0(n,x_B) > 0$ for $x_B$ sufficiently small.\nSince $\\partial \\bar E_0(l,x_B)\/\\partial l|_{l=n^-}< 0$, we\nconclude that $\\bar E_0(l,x_B)$ must have a local minimum\nbetween $l=n-\\Delta l$ and $l=n$. This argument can be used for\nany $n$ and shows that persistent currents must be stable in the\nvicinity of $l =n$ if $x_B$ is sufficiently small and $\\gamma$\nis sufficiently large.\n\nAlthough it is difficult to evaluate $\\bar E_0(l,x_B)$ for \narbitrary $l$, the above general argument can be illustrated\nquantitatively by evaluating the energy at $l = 1\/2$.\nTo do so, it is sufficient to assume four-component \nwave functions of the form\n\\begin{eqnarray}\n\\label{4.2. 4 comp wf 2 species A}\n&&\\psi_A = c_{-1}\\phi_{-1}+c_0\\phi_0+c_1\\phi_1+c_2\\phi_2 \\\\\n\\label{4.2. 4 comp wf 2 species B}\n&&\\psi_B = d_{-1}\\phi_{-1}+d_0\\phi_0+d_1\\phi_1+d_2\\phi_2.\n\\end{eqnarray}\nSubstituting these wave functions into Eq.~(\\ref{4.2_energy_2}), we have\n\\begin{eqnarray}\n\\label{4.2. 4 comp energy 1}\n&&\\hspace{-1.5cm}\\bar{E}_0(l=1\/2) = x_A\\left( |c_{-1}|^2 + |c_1|^2 + 4|c_2|^2 \n\\right) + x_B\\left( |d_{-1}|^2 + |d_1|^2 + 4|d_2|^2 \\right)\\nonumber\\\\\n&&\\hspace{-0.6cm}+\\hspace{1mm}x_A^2\\pi\\gamma\\int_0^{2\\pi}d\\theta \n|c_{-1}\\phi_{-1}+c_0\\phi_0+c_1\\phi_1+c_2\\phi_2|^4\n+x_B^2\\pi\\gamma\\int_0^{2\\pi}d\\theta \n|d_{-1}\\phi_{-1}+d_0\\phi_0+d_1\\phi_1+d_2\\phi_2|^4\\nonumber \\\\\n&&\\hspace{-0.6cm}+\\hspace{1mm}2x_Ax_B\\pi\\gamma\\int_0^{2\\pi}d\\theta \n|c_{-1}\\phi_{-1}+c_0\\phi_0+c_1\\phi_1+c_2\\phi_2|^2 \n|d_{-1}\\phi_{-1}+d_0\\phi_0+d_1\\phi_1+d_2\\phi_2|^2.\n\\end{eqnarray}\nThe periodicity and reflection\nproperties imply $c_0\\left(\\frac{1}{2}\\right) =\nc_1^*\\left (\\frac{1}{2}\\right )$ and $c_{-1}\\left\n(\\frac{1}{2}\\right ) = c_2^*\\left (\\frac{1}{2}\\right )$, with \nanalogous relations for the $d_m$ amplitudes. These relations\nreduce the number of variational parameters by half. We have in\nparticular\n\\begin{eqnarray}\n\\nonumber |c_0|=|c_1|\\equiv x,&& \\quad |c_{-1}|=|c_2|\\equiv y \\\\\n\\nonumber \\alpha_1=-\\alpha_0,&& \\quad \\alpha_{-1}=-\\alpha_2 \\\\\n\\nonumber |d_0|=|d_1|\\equiv u,&& \\quad |d_{-1}|=|d_2|\\equiv v \\\\\n\\chi_1=-\\chi_0, && \\quad \\chi_{-1}=-\\chi_2.\n\\end{eqnarray}\nUsing these definitions, the normalization constraints reduce to\n\\begin{equation}\n\\label{4.2.2. xy norm cons}\nx^2+y^2 = \\frac{1}{2},\\quad u^2+v^2 = \\frac{1}{2}.\n\\end{equation}\nFurthermore, the angular momentum of each species is given by\n\\begin{eqnarray}\n\\label{4.2. 4 comp la}\n&&l_A = x_A(-|c_{-1}|^2 + |c_1|^2 + 2|c_2|^2) = x_A(x^2 + y^2)\\\\ \n\\label{4.2. 4 comp lb}\n&&l_B = x_B(-|d_{-1}|^2 + |d_1|^2 + 2|d_2|^2) = x_B(u^2 + v^2).\n\\end{eqnarray}\nWe thus see that normalization ensures that the total angular \nmomentum has the required value of 1\/2.\n\nUsing these results, the expression for the energy becomes\n\\begin{eqnarray}\n\\label{4.2.2 energy final}\n&&\\hspace{-1cm}\\bar{E}_0(1\/2) = \\frac{1}{2}+ \\frac{1}{2}\\gamma\n+ 4x_Ay^2+4x_Bv^2 \\nonumber \\\\\n&&\\hspace{2.3mm}+ \\hspace{1mm}x_A^2\\gamma\\Big[x^4 +y^4+ \n8x^2y^2+4x^3y\\cos\\beta\\Big]\n+x_B^2\\gamma\\Big[u^4+v^4+ 8u^2v^2+4u^3v\\cos\\xi\\Big] \\nonumber \\\\ \n&&\\hspace{2.3mm}+\\hspace{1mm}x_Ax_B\\gamma\\Big [8xyuv \\left \\{\n\\cos(\\theta-\\beta+\\xi)+ \\cos(2\\theta-\\beta+\\xi)\\right \\}\n+\\hspace{1mm}4xyu^2\\cos(\\theta-\\beta) + \n4x^2uv\\cos(\\theta+\\xi) \\Big . \\nonumber \\\\\n\\Big.&&\\hspace{2.5cm}+\\hspace{1mm}2x^2u^2\\cos\\theta + \n2y^2v^2\\cos(3\\theta-2\\beta+2\\xi)\\Big],\n\\end{eqnarray}\nwhere we have defined the phase angles $\\beta =\n3\\alpha_0+\\alpha_2$, $\\xi = 3\\chi_0+\\chi_2$ and $\\theta =\n2(\\alpha_0-\\chi_0)$.\nWe see that the energy depends on these three independent phases\nand the two amplitudes $x$ and $u$. It clearly reduces \nto the single-species result in the $x_B\\rightarrow 0$ limit.\n\nFor $x_A=1$, the energy \nis minimized for $\\beta=\\pi$ and a value of $x$ which is close\nto $1\/\\sqrt{2}$.. We do not expect this conclusion \nto change when $x_A$ is close to, but not exactly equal to 1. For these \nvalues of $x_A$, the term in Eq.~(\\ref{4.2.2 energy final}) \nproportional to \n$x_B^2$ is small and can be neglected. Setting $\\beta=\\pi$, the energy \nis approximately\n\\begin{eqnarray}\n&&\\hspace{-1cm}\\bar{E}_0(1\/2) \\simeq \\frac{1}{2}+ \\frac{1}{2}\\gamma\n+ 4x_Ay^2+4x_Bv^2\n+ \\hspace{1mm}x_A^2\\gamma\\Big[x^4 +y^4+ \n8x^2y^2-4x^3y\\Big] \\nonumber \\\\ \n&&\\hspace{2.3mm}+\\hspace{1mm}x_Ax_B\\gamma\\Big [-8xyuv \\left \\{\n\\cos(\\theta+\\xi)+ \\cos(2\\theta+\\xi)\\right \\}\n-\\hspace{1mm}4xyu^2\\cos\\theta + \n4x^2uv\\cos(\\theta+\\xi) \\Big . \\nonumber \\\\\n\\Big.&&\\hspace{2.5cm}+\\hspace{1mm}2x^2u^2\\cos\\theta + \n2y^2v^2\\cos(3\\theta+2\\xi)\\Big],\n\\label{E_0_approx}\n\\end{eqnarray}\nFrom this we see that the phases $\\theta$ and $\\xi$ only appear in the \nlast term proportional to $x_B$. It is clear that $\\bar{E}_0$ \nis stationary with respect to \nthese phases when they take the values 0 and $\\pi$.\nTo explore the various possibilities, we define the function\n\\begin{eqnarray}\n\\label{4.2.2 f function}\n\\nonumber\n&&\\hspace{-2.5cm}f(x,u,\\xi,\\theta) = \n-\\hspace{1mm}8xyuv[\\cos(\\theta+\\xi)+\\cos(2\\theta+\\xi)]-4xyu^2\n\\cos\\theta \\\\ \n&&\\hspace{0.05cm}+\\hspace{1mm} 4x^2uv\\cos(\\theta+\\xi) \n+2x^2u^2\\cos\\theta + 2y^2v^2\\cos(3\\theta+2\\xi),\n\\end{eqnarray}\nwhich is the quantity multiplying $x_Ax_B\\gamma$ in\nEq.~(\\ref{E_0_approx}). This function is tabulated in\nTable~\\ref{table} for various values of $\\xi$ and $\\theta$. \n\\begin{table}\n\\linespread{1}\n\\begin{center}\n\\begin{tabular}{ | l | l | l |}\n    \\hline\n    $\\xi$ & $\\theta$ & $f(x,u,\\xi,\\theta)$ \\\\ \\hline\n    0 & 0 & $-16xyuv-4xyu^2+4x^2uv+2x^2u^2+2y^2v^2$ \\\\ \\hline\n    0 & $\\pi$ & $4xyu^2-4x^2uy-2x^2u^2-2y^2v^2$ \\\\ \\hline\n    $\\pi$ & 0 & $+16xyuv-4xyu^2-4x^2uv+2x^2u^2+2y^2v^2$ \\\\     \\hline\n     $\\pi$ & $\\pi$ & $4xyu^2+4x^2uy-2x^2u^2-2y^2v^2$\\\\     \\hline\n    \\end{tabular}\n    \\end{center}\n    \\caption{The function $f(x,u,\\xi,\\theta)$ defined in Eq.~(\\ref{4.2.2 f function}) tabulated for various \nvalues of $\\xi$ and $\\theta$.}\n\\label{table}\n\\end{table}\nFrom this table it is clear that $\\xi=0$, $\\theta=\\pi$ will give a \nlower energy than $\\xi=\\pi$, $\\theta=\\pi$. For $\\xi=0$, $\\theta=0$ we \nhave\n\\begin{equation}\n\\label{4.2.2 f 1}\nf(x,u,0,0)-f(x,-u,0,0) = 8xuv(x-4y).\n\\end{equation}\nSince $x_A$ is close to 1, Eq.~(\\ref{E_0_approx}) is minimized for a\nvalue of $x$ close to $1\/\\sqrt{2}$ which is much larger than $y$.\nThis implies that any minima of the function $f(x,u,0,0)$ will\noccur for\n\\textit{negative} values of $u$. But $u$ must be positive (recall \n$u=|d_0|$), so this case must be rejected.\nFinally, for $\\xi=\\pi$, $\\theta=0$, we have\n\\begin{equation}\n\\label{4.2.2 f 2}\nf(x,u,\\pi,0)-f(x,-u,\\pi,0) = -8xuv(x-4y).\n\\end{equation}\nThe same argument implies that minima of $f(x,u,\\pi,0)$ must\noccur at\n\\textit{positive} $u$. We are thus left with the two\npossibilities $\\xi = 0$, $\\theta = \\pi$ and $\\xi = \\pi$ and\n$\\theta = 0$. A comparison of the contour plots of \n$\\bar E_0(x,u,\\pi,0)$ and $\\bar E_0(x,u,0,\\pi)$ shows that \nthe latter is the one that \nprovides the lowest energy. \nFor $x_A=0.95$ and $\\gamma=2$, $\\bar E_0(x,u,0,\\pi)$ is\nminimized for $x_{min}\\simeq 0.697$ and $u_{min}\\simeq 0.677$. \nThe value of $x_{min}$ found here is close to the value of 0.696 found \nfor $x_A= 1$. Not surprisingly, the $|c_m|^2$ coefficients\nare close to the values obtained in the single-species limit.\n\nWe will now use the value of $\\bar E_0(1\/2)$ to show that\npersistent currents are possible for $l >1$. To be specific, we\nconsider $l=1+l^{\\prime}$ with $0\\leq l^{\\prime} \\leq 1$. Using the\nperiodicity of $\\bar \\epsilon_0(l)$, we have\n\\begin{equation}\n\\label{4.2.2. e0 l}\n{E}_0(1+l^{\\prime}) = \n1+2l^{\\prime}+\\bar{E}_0(l^{\\prime}).\n\\end{equation}\nAt $l=x_A$, Eq.~(\\ref{4.2. energy simplified}) gives \n$\\bar{E}_0(x_A)=x_A+\\gamma\/2$. We then find that \n$\\bar{E}_0(1+x_A)-\\gamma\/2=1+3x_A=3.85$ for $x_A=0.95$. As\nexplained earlier, this value is exact within the mean-field \nanalysis. We next use Eq.~(\\ref{4.2.2. e0 l}) to obtain\n\\begin{equation}\n\\bar{E}_0\\left(3\/2 \\right) = 2+ \\bar{E}_0\\left( 1\/2 \\right).\n\\end{equation}\n\\begin{figure*}[t]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{E_0_vs_gamma.ps}}\n\\caption{The energy at $l=3\/2$ vs $\\gamma$ for $x_A = 0.95$. The\nhorizontal line is the value of $\\bar E_0(1+x_A)-\\gamma\/2$.\n}\n\\label{fig:E_0_vs_gamma} \n\\end{figure*}\n{\\noindent In Fig.~\\ref{fig:E_0_vs_gamma} we show }\nthe behaviour of $\\bar{E}_0(3\/2)-\\gamma\/2$ as a function of \n$\\gamma$ for $x_A = 0.95$. We see that $\\bar E_0(3\/2)$ becomes\nlarger than $\\bar E_0(1.95)$ at a value of $\\gamma \\simeq 15$.\nThis implies the existence of a local minimum in the range $1.5\n< l < 1.95$ and hence the possibility of persistent currents.\nThe value $\\gamma \\simeq 15$ is clearly an upper bound to\n$\\gamma_{cr}$ for this value of $x_A$.\n\nThe approximate behaviour of $\\bar E_0(l)$ as a function of $l$\ncan be obtained by generating approximations to $\\bar\ne_0(l)$. For $0\\le l \\le x_B$ and $x_A \\le l \\le 1$, $\\bar\ne_0(l) - \\gamma \/2 = l(1-l)$. From Eq.~(\\ref{4.2. E new 5\nsimple}) we have $\\bar\ne'_0|_{l=x_A^-} = 1-2x_A - \\lambda$. The\nsimplest approximation to $\\bar e_0(l)$ in\nthe range $x_B\\le l\\le x_A$ consistent with this information is\n\\begin{equation}\n\\bar e_0^{(1)}(l) -\\gamma\/2 = l(1-l) + \\lambda \n{(x_A-l)(l -x_B)\\over x_A-x_B}\n\\end{equation}\nAn improved approximation is a fit that reproduces the value of\n$\\bar e_0(l)$ at $l = 1\/2$. It takes the form\n\\begin{equation}\n\\bar e_0^{(2)}(l) -\\gamma\/2 = l(1-l) + \n\\lambda {(x_A-l)(l -x_B)\\over x_A-x_B}\n+\\mu {(x_A-l)^2(l -x_B)^2\\over (x_A-x_B)^4}\n\\end{equation}\nwhere $\\mu =\n16[\\bar e_0(1\/2)-\\gamma\/2-1\/4-\\lambda(x_A-x_B)\/4]$.\nA third approximation ignores the information about the slope of\n$\\bar \\epsilon_0(l)$ at $l=x_A$ but includes the value at\n$l=1\/2$. This approximation gives\n\\begin{equation}\n\\bar e_0^{(3)}(l) -\\gamma\/2 = l(1-l) + \n\\nu {(x_A-l)(l-x_B)\\over (x_A-x_B)^2},\n\\end{equation}\nwhere $\\nu = 4(\\bar e_0(1\/2) -\\gamma\/2 -1\/4)$.\nThese various approximations are plotted in Fig.~\\ref{fig:epsilon}\nfor $\\gamma = 16$. We expect the correct variation of \n$\\bar e_0(l)$ to be bounded by the \n$\\bar e_0^{(2)}(l)$ and $\\bar e_0^{(3)}(l)$ curves; for $l\\to\n0.95$, $\\bar e_0(l)$ should be closer to the $\\bar e_0^{(2)}(l)$\ncurve but for $l\\to 0.5$ it should be closer to the \n$\\bar e_0^{(3)}(l)$ curve. We note that $\\bar e_0^{(3)}(l)$ must \ngive the correct behaviour in the $x_A\\to 1$ limit. \n\n\\begin{figure*}[t]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{epsilon.ps}}\n\\caption{ The function $\\bar e_0(l) -\\gamma\/2$ plotted vs $l$ in\ndifferent approximations. The blue curve is the function\n$l(1-l)$; the red, black and green curves are $\\bar e_0^{(1)}$,\n$\\bar e_0^{(2)}$ and $\\bar e_0^{(3)}$ respectively. $\\gamma =16$\nand $x_A=0.95$.\n}\n\\label{fig:epsilon} \n\\end{figure*}\n\\begin{figure*}[!ht]\n\\centering \\scalebox{0.4}\n{\\includegraphics[50,200][575,575]{energy.ps}}\n\\caption{The energy $\\bar E_0(l)-\\gamma\/2$ vs $l$ for $\\gamma\n=16$ and $x_A=0.95$. The various curves correspond to the\nvarious approximations to $\\bar e_0(l)$ shown in\nFig.~\\ref{fig:epsilon}.\n}\n\\label{fig:energy} \n\\end{figure*}\nThese different approximations can be used to determine\ncorresponding approximations to $\\bar\nE_0(l)$, which is plotted in Fig.~\\ref{fig:energy} in the range\n$0\\le l \\le 2$ for $\\gamma =16$. The red curve based on\n$\\bar e_0^{(1)}(l)$ does not show a local minimum at $l=1.95$ as\npredicted by considerations of the slope of $\\bar E_0(l)$ at this point.\nOn the other hand, the black curve based on $\\bar e_0^{(2)}(l)$\nwhich includes the information about $\\bar e_0(1\/2)$ shows a\nlocal minimum below $l=1.95$ and demonstrates \nthat persistent currents should be possible for $l$ between 1.5\nand 2. Regarding persistent currents at $l=0.95$, the critical\ninteraction strength according to Eq.~(\\ref{4.2. gamma cr}) \nfor $x_A = 0.95$ is $\\gamma_{\\rm cr} \\simeq 1.9$. For this value\nof $\\gamma$, $\\bar e_0^{(1)}(1\/2)$ is actually quite close to \nto the true value $\\bar e_0(1\/2)$ as determined by the\nfour-component wave function analysis. Thus the prediction of the\ncritical interaction strength based on the slope of $\\bar\nE_0(l)$ remains quite accurate in this case. However, it is\nclear that the slope of $\\bar{E}_0(l)$ calculated at\n$l=(x_A+n-1)^-$, although correct, is not sufficient to provide\na criterion for the existence of persistent currents for $n>1$.\nWe have also extended the analysis to slightly smaller values of\n$x_A$ and arrive at similar conclusions. However, increasingly larger\nvalues of $\\gamma$ are then required to achieve a local minimum\nbetween $l=1.5$ and $l=1+x_A$.\n \nWe finally mention the behaviour of $\\bar{E}_0(l=1\/2)$ when $x_A=1\/2$. \nIn this limit the expression for $\\bar{E}_0(l)$ given in Eq.~(\\ref{4.2. \nenergy simplified}) is correct for \\textit{all} $l$ and gives in \nparticular $\\bar{E}_0(l=1\/2,x_A=1\/2)=1\/2+\\gamma\/2$. This value is \nreproduced by Eq.~(\\ref{4.2.2 energy final}) at $x_A=1\/2$ \nirrespective of \nthe phases $\\beta$ and $\\xi$ since the minimum occurs for $\\theta=\\pi$ \nand $x=u=1\/\\sqrt{2}$, where all the $\\beta$ and $\\xi$ dependent terms \nhave no effect since $y=v=0$. We note that the minimizing value of\n$\\theta$ is the same as in the $x_A\\to 1$ limit and anticipate\nthat this will remain true for intermediate values of $x_A$ between \n$x_A=1\/2$ and $x_A=1$. However, a more careful analysis of \nEq.~(\\ref{4.2.2 energy \nfinal}) would be required to confirm this and to determine the\nremaining variational parameters that minimize the GP energy.\n\n\\section{Conclusions}\nIn this paper we have extended to the two-species system Bloch's \noriginal argument regarding the possibility of persistent\ncurrents in the idealized\none-dimensional ring geometry. Strict periodicity of the energy\n$e_\\alpha(L)$ defined in Eq.~(\\ref{spec_E}) is found to arise\nwhen the mass ratio $M_A\/M_B$ is a rational number. By making a\nconnection to the Landau criterion for the special case\n$M_A=M_B$, we show that persistent currents are in general\npossible at the discrete set of total angular momenta $L_n =\nnN\\hbar$, except when\nthe interaction parameters satisfy the condition in\nEq.~(\\ref{U_ij_equality}). The underlying reason for this\nlimitation is the existence of excitations with a \nparticle-like dispersion. This\nconclusion is consistent with the predictions of a mean-field\nanalysis based on the GP energy functional. A detailed analysis\nof the GP energy in the vicinity of $l = x_A$, first carried out by\nSmyrnakis {\\it et al.}~\\cite{Smyrnakis09}, indicates that persistent\ncurrents are possible at this angular momentum per particle if\nthe interaction parameter exceeds the critical value given in\nEq.~(\\ref{4.2. gamma cr}). These authors go on to\nclaim that persistent currents cannot arise for $l>1$ in\nthe two-species system. However, a more detailed analysis of the\nglobal behaviour of the GP energy demonstrates that\nthis conclusion is not valid. Quite generally, the properties of\nthe two-species system evolve continuously to those of the\nsingle-species system as the concentration of the minority\ncomponent is reduced. It would of course be of interest to\nverify these theoretical predictions experimentally. The recent\nexperimental realization of toroidal Bose-Einstein\ncondensates~\\cite{Ryu07,Ramanathan11} would suggest that\nexperiments on two-species systems may soon be feasible.\n\n\\acknowledgments\nThis work was supported by a grant from the Natural Sciences and\nEngineering Research Council of Canada.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nThe impressive experimental progress in fabricating micromechanical and nanomechanical devices have opened a route towards the exhibition of quantum behavior at macroscopic scales. The interaction between micro- or nanomechanical oscillators and the optical field via the radiation pressure force is the basis of a wide variety of optomechanical phenomena. Despite their variety in the system sizes, parameters, and configurations, optomechanical systems (OMSs) share common features. Almost all OMSs are described by the same physics. OMSs offer further insights into the issues concerning the development of quantum memory for quantum computers \\cite{Cole}, high precision position, mass or force sensing \\cite{Krause,Motazedi,Murch,Purdy,Chaste}, quantum transducers \\cite{Bochmann}, classical and quantum communication \\cite{Palomaki}, ground state cooling of mechanical oscillators \\cite{Chan2011,Teufel2011}, nonclassical correlations between single photons and phonons \\cite{Riedinger}, generation of nonclassical states \\cite{Brooks} and testing of the foundations of quantum mechanics \\cite{Bawaj,Pikovski,Vivoli,Marinkovi}. For a recent review and current areas of focus of quantum optomechanics see Refs. \\cite{Aspelmeyer,Bowen}.\n\n\nThe extension to multimode systems is an attractive route for quantum optomechanics. A group of mechanical oscillators interacting via the radiation pressure with a common optical mode \\cite{Xuereb,Holmes,Xuereb2,Xuereb3,Seok,Bhattacharya,Tomadin,Bemani18}, or a group of mechanical oscillators locally interacting with a single optical mode involving the tunneling of photons and phonons between neighboring sites \\cite{Heinrich,Ludwig,SafaviNaeini2011,Chan,Safavi,Chang2011,Ludwig2013,Chang2011,Schmidt,Chen,Schmidt2015,Schmidt15,Peano} are the two realizations of multimode optomechanics. The former is realized in a single optical cavity containing multiple membranes while the latter is realized experimentally in the so-called optomechanical crystals (OMCs) in one and two dimensions.\n\nCooperative behaviors, emerging due to the mutual coupling, are beneficial to investigate many-body physics of photons or phonons in OMCs. An OMC is usually fabricated from a thin film of silicon membranes where an engineered defect in the crystal is used to localize an optical and a mechanical mode. OMCs usually have a large single photon optomechanical coupling \\cite{Eichenfield,SafaviNaeini2010,Gavartin,SafaviNaeini2014}. Several aspects of the array of coupled OMSs have already been investigated in the literature, involving synchronization dynamics \\cite{Ludwig,Heinrich,Zhang,Bemani18,Mari}, slowing and stopping light \\cite{Chang2011}, long-range collective interactions \\cite{Xuereb}, correlated quantum many-body states \\cite{Ludwig2013}, reservoir engineering and dynamical phase transitions \\cite{Tomadin}, squeezing, entanglement and state transfer between modes \\cite{Schmidt,Akram}, transport in a one-dimensional chain \\cite{Chen,Gan,Xiong}, superradiance and collective gain \\cite{Kipf}, graphene-like Dirac physics \\cite{Schmidt2015}, creation of artificial magnetic fields for photons on a lattice \\cite{Schmidt15}, quantum simulation of the propagation of the collective excitations of the photon fluid in a curved spacetime \\cite{Bemani:17}, and topological phases of sound and light \\cite{Peano}.\n\nQuantum correlations, in particular entanglement, have many applications in superdense coding, quantum teleportation \\cite{Bouwmeester} and protocols of quantum cryptography \\cite{Ekert1991}. The generation and manipulation of entanglement in many-body systems are of great importance for quantum information processing. Furthermore, quantum correlations are valuable in characterizing various phases and corresponding quantum phase transitions in quantum many-body systems \\cite{Dillenschneider,Sylju,Osborne}. Bipartite entanglement plays an important role in characterizing, classifying and simulating quantum many-body systems \\cite{Chiara}. Physical systems such as Bose-Einstein condensates \\cite{Sorensen,Esteve,Eckert2008}, cold or thermal atoms \\cite{Chaudhury,Fernholz}, and trapped ions \\cite{Leibfried,Molmer} represent promising platforms for the investigation of many-particle quantum entanglement. In the past decade, much of the attention has been devoted to entanglement in OMSs. Entanglement is one of the consequences of the coherent photon-phonon interaction in OMSs \\cite{Muller,Hartmann,Vitali,Vitali1,Palomaki,Paternostro,Mazzola,Barzanjeh}. For instance, continuous variables entanglement between two mechanical modes has recently been realized \\cite{Riedinger2,Ockeloen-Korppi2018}.  Since it is a possible resource for quantum technologies, quantum discord in many-body systems also requires attention.\n\nDespite considerable efforts to understand the quantum correlations in OMSs \\cite{Muller,Hartmann,Vitali,Vitali1,Palomaki,Paternostro,Mazzola,Riedinger2,Ockeloen-Korppi2018}, a full picture of the behavior of entanglement and of quantum discord in OMCs remain elusive. Based on the above motivations, in this paper, we consider the dynamics of coupled OMSs with a view towards quantum correlations. Employing the Heisenberg-Langevin (HL) approach and linearizing HL equations, we separate the deterministic dynamics and the quantum fluctuation dynamics. We then use HL equations to obtain the covariance matrix (CM) in order to study quantum correlations. With the CM in hand, we can investigate the degree of steady-state entanglement and the Gaussian quantum discord between different optical and mechanical modes under different conditions. We study the influence of the presence of a thermal reservoir and we show a nonmonotonic behavior of quantum correlations as a function of the heat bath temperature.\n\nThe paper is organized as follows. In Sec. \\ref{sec:Sec2}, we begin with describing the system under consideration, i.e., an OMC. In Sec. \\ref{sec:Sec3}, we derive the HL equations of motion.  We then discuss the classical equations of motion and the linearized quantum equations. In Sec. \\ref{sec:Sec4}, we discuss the presence of entanglement and Gaussian discord in OMCs. Finally, in Sec. \\ref{sec:Sec5}, we present our concluding remarks.\n\\section{\\label{sec:Sec2} Array of coupled OMS$\\textrm{s}$}\n\\begin{figure}\n\t\\includegraphics[scale=1]{Fig1.pdf}\n\t\\caption{Schematic illustration of  a one-dimensional OMC. Localized photonic and phononic modes couple locally via the optomechanical interaction with strength $ g_0$ at each lattice site.  Photon and phonons hop between near neighbor sites with rates $J$ and $K$, respectively. A laser at frequency $ \\omega_L $ and amplitude $ \\eta_j $ drives  each site.}\n\t\\label{Fig:Fig1}\n\\end{figure}\nAs depicted in Fig.~\\ref{Fig:Fig1}, the system under consideration is a finite one-dimensional OMC where each site consists of a localized photonic and phononic mode coupled locally via the standard optomechanical interaction. The modes of nearby sites are connected via photon and phonon tunneling. The Hamiltonian of such a system is then given by ($ \\hbar=1 $) \\cite{Ludwig,Chen,Peano,Gan}\n\\begin{equation}\n{H}  = H_0+ H_t+ H_p\\,,\n\\label{Eq:Optomechanical_Array_Hamiltonian}\n\\end{equation}\nwhere\n\\begin{subequations}\n\t\\begin{align}\n\tH_0 &=\\sum\\limits_j {\\left[ {{\\omega _c} a_j^\\dag {a_j} + {\\omega _m} b_j^\\dag {b_j} - {g_0} a_j^\\dag {a_j}( b_j^\\dag  + {b_j})} \\right]},\\\\\n\tH_t&=- \\sum\\limits_{\\left\\langle {j,l} \\right\\rangle } \\big({{J} a_j^\\dag } {a_l} +{K b_j^\\dag } {b_l}\\big)\\,,\\\\\n\tH_p&= \\sum\\limits_j {\\big({\\rm i}\\eta _je^{ - {\\rm i}\\omega _L t} a_j^\\dag  - {\\rm i}\\eta _j^*e^{{\\rm i}\\omega _Lt}  a_j\\big)} \\,.\n\t\\end{align}\n\\end{subequations}\nHere, $  H_0 $ includes the free energy of each optical mode with frequency $\\omega_c$, denoted by the photon operators ${a}_{j}$ and ${a}_{j}^\\dag$, the harmonic motion of each mechanical modes with frequency $\\omega_m$, denoted by phonon operators ${b}_{j}$ and ${b}_{j}^\\dag$, and the usual optomechanical interaction with strength $g_0$.\nFurther, $ {H}_t $ represents the hopping of photons and phonons between adjacent lattice sites with hopping strengths $J$ and $K$, respectively. The notation $\\sum\\nolimits_{\\left\\langle {j,l} \\right\\rangle } {} $ denotes the summation over all adjacent lattice sites.\nFinally, $ H_p$ denotes that each lattice site is optically driven by a laser with frequency $ \\omega_L $ and amplitude $\\eta_j$.\n\\section{\\label{sec:Sec3} Heisenberg-Langevin equations}\nThe HL equations of motion for the optical and mechanical modes in the frame rotating at the laser frequency are, respectively, given by\n\\begin{align}\n{{\\dot a}_j} &= \\left( {{\\rm i}\\Delta  - \\kappa } \\right){a_j} + {\\rm i}{g_0}(b_j^\\dag  + {b_j}){a_j} + {\\rm i}J\\left( {{a_{j - 1}} + {a_{j + 1}}} \\right)\\nonumber \\label{Eq:Heisenberg_Equation10}\\\\\n&\\qquad\\qquad\\qquad\\qquad\\qquad\\qquad\\qquad\\,\\,\\,+ {\\eta _j} - \\sqrt \\kappa  a_j^{\\rm in}(t)\\,,\\\\\n{{\\dot b}_j} &=  - \\left( {{\\rm i}{\\omega _{\\rm m}} + \\gamma } \\right){b_j} + {\\rm i}{g_0}a_j^\\dag {a_j} + {\\rm i}K({b_{j - 1}} + {b_{j + 1}}) - \\sqrt \\gamma  b_j^{\\rm in}(t)\\,,\\label{Eq:Heisenberg_Equation20}\n\\end{align}\nwhere we have defined the laser detuning $ \\Delta={\\omega _L} - {\\omega _c}$.  Besides, $ \\kappa $ and $ \\gamma $ characterize, respectively, the dissipation of optical and mechanical modes.\nThe zero-mean value operators $a_{j}^{\\rm in}(t)$ and $b_j^{\\rm in}(t)$ that describe, respectively, the vacuum optical input noise and the mechanical noise operator, satisfy the commutation relations\n\\begin{equation}\\label{Eq:commutation_relations}\n[ { a_{j}^{\\rm in}( t), a_{j'}^{{\\rm in},\\dag }( t')}] = [ {{b_j^{\\rm in}}( t),{b_{j'}^{{\\rm in},\\dag }}( t')}] = \\delta_{jj'}\\delta (t - t'),\n\\end{equation}\nand the Markovian correlation functions\n\\begin{align}\n\\langle {{b_j^{{\\rm in},\\dag }}( t ){b_{j'}^{{\\rm in}}}( t')}\\rangle & = {\\bar{n}}_{\\rm m}\\delta_{jj'}\\delta (t - t'), \\label{Eq:second_order_correlations1}\\\\\n\\langle { a_{j}^{{\\rm in}}( t) a_{j'}^{{\\rm in},\\dag }( t')} \\rangle  &= \\delta_{jj'}\\delta ( t - t'),\\label{Eq:second_order_correlations}\n\\end{align}\nwhere we have assumed that each cavity is at zero temperature and $\\bar{n}_{\\rm m}=[\\exp(\\hbar \\omega_{\\rm m} \/k_{\\rm{B}}T)-1]^{-1}$ is the mean number of thermal phonons of each mechanical mode at temperature $ T $, with $ k_{\\rm{B}}$ being the Boltzmann constant.\n\\subsection{Classical dynamics}\nWe now employ the mean-field approximation to linearize the dynamics around the classical solutions by decomposing the quantum field operators as $a_j = \\alpha_j+ c_j$ and $b_j= \\beta_j+ d_j$ where $\\alpha_j$ and $ \\beta_j$ are the steady-state mean fields describing, respectively, the classical behavior of the optical and mechanical modes, and $c_j$ and $d_j$ are the quantum fluctuations with zero-mean value.\nFor the aim of this paper, it is enough to consider only the translational symmetry $ \\alpha_j=\\alpha_{j\\pm 1} $ and $ \\beta_j=\\beta_{j\\pm 1} $, which is obtained with an approximately uniform optical driving $\\eta_j \\simeq \\eta$ which therefore excites a background with a small wave vector $ k\\approx0 $. Using this assumption, the system dynamics is then simplified to the single-site case. The equations of motion for the steady-state classical mean fields can be obtained by averaging Eqs.~(\\ref{Eq:Heisenberg_Equation10}) and (\\ref{Eq:Heisenberg_Equation20}) over classical and quantum fluctuations\n\\begin{align}\n{\\alpha _j} =\\alpha &\\simeq  \\frac{{{{\\rm i} \\eta }}}{{\\left( {\\Delta  + {\\rm i}\\kappa  + 2J + 2{g_0}  {\\mathfrak{R} \\beta}} \\right)}}\\,, \\label{Eq:SteadyState10}\\\\\n{\\beta _j}=\\beta &\\simeq \\frac{{{g_0}{{\\left| {{\\alpha }} \\right|}^2}}}{{\\left( {{\\omega _m} - {\\rm i}\\gamma  - 2K} \\right)}}{\\mkern 1mu} ,\n\\label{Eq:SteadyState20}\n\\end{align}\nwhere $\\mathfrak{R} $ denotes the real part.\n\n\\subsection{Linearized quantum dynamics}\n\\begin{figure}\n\t\\begin{center}\n\t\t\\includegraphics[scale=1]{Fig2.pdf}\n\t\\end{center}\n\t\\caption{Stability domain as a function of the normalized input power $ \\eta\/J $ and normalized detuning $ \\Delta\/J $. The white and blue areas correspond to the unstable and stable correlated regimes, respectively. The normalized parameters are set with respect to $J$, $\\kappa\/J=0.1$, $ g_0\/J=10^{-4} $, $\\gamma\/J= 0.002$, $\\omega_{\\rm m}\/J=0.1$ and $K\/J=0.05$. Temperatures of the photonic and phononic heat baths are considered to be zero.}\n\t\\label{Fig:Fig2}\n\\end{figure}\nWe study the quantum statistical properties of the system through the small fluctuations of the operators around the steady-state classical mean values given by Eqs.~(\\ref{Eq:SteadyState10}) and (\\ref{Eq:SteadyState20}). Using the standard definition of the optical and mechanical mode quadratures $ {{ X}_j} = ({{{ c}_j} +  c_{j}^\\dag })\/{{\\sqrt 2 }}$, ${{ Y}_j} = ({{{ c}_j} -  c_{j}^\\dag })\/{{{\\rm i}\\sqrt 2 }}$, ${{ x}_j} = ({{{ d}_j} +  d_{j}^\\dag })\/{{\\sqrt 2 }}$ and ${{ y}_j} = ({{{ d}_j} -  d_{j}^\\dag })\/{{{\\rm i}\\sqrt 2 }}$, the equations of motion for the quantum fluctuations are given by\n\\begin{align}\\label{key}\n{{\\dot X}_j} &=  - \\left( {\\Delta  + 2 {g_0} \\mathfrak{R}{\\beta}} \\right){Y_j}  - \\kappa {X_j} - 2{g_0}\\mathfrak{I}{\\alpha}{x_j} \\nonumber\\\\& \\qquad \\qquad \\qquad \\quad\\quad - J\\left( {{Y_{j - 1}} + {Y_{j + 1}}} \\right) - \\sqrt \\kappa  X_j^{{\\rm{in}}}\\left( t \\right){\\mkern 1mu} ,\\\\\n{{\\dot Y}_j} &= \\left( {\\Delta  + 2 {g_0}\\mathfrak{R} {\\beta}} \\right){X_j} - \\kappa {Y_j} + 2{g_0}\\mathfrak{R} {\\alpha}{x_j} \\nonumber\\\\& \\qquad \\qquad \\qquad \\qquad\\quad+ J\\left( {{X_{j - 1}} + {X_{j + 1}}} \\right) - \\sqrt \\kappa  Y_j^{{\\rm{in}}}\\,,\\\\\n{{\\dot x}_j} &=  - \\gamma {x_j} + {\\omega _m}{y_j} - K\\left( {{y_{j - 1}} + {y_{j + 1}}} \\right) - \\sqrt \\gamma  x_j^{{\\rm{in}}}{\\mkern 1mu} ,\\\\\n{{\\dot y}_j} &=  - {\\omega _m}{x_j} - \\gamma {y_j} + 2{g_0}\\left( {\\mathfrak{R} \\alpha {X_j} + \\mathfrak{I} \\alpha {Y_j}} \\right) \\nonumber\\\\& \\qquad \\qquad \\qquad \\quad\\qquad + K\\left( {{x_{j - 1}} + {x_{j + 1}}} \\right) - \\sqrt \\gamma  y_j^{{\\rm{in}}}{\\mkern 1mu} ,\n\\end{align}\nwhere $\\mathfrak{I} $ denotes the imaginary part. We now express the linearized HL equations in the following compact matrix form\n\\begin{equation}\\label{eq:LinearizedLangevin}\n\\dot {\\bf u}(t)={\\bf A}{\\bf u}(t)+{\\bf n}(t)\\,,\n\\end{equation}\nwhere we have defined the vector of fluctuation operators $ {\\bf u} = {\\left[ \\cdots\t{{{\\bf v}}_{j - 1}},{{{ {\\bf v}}_j}},\t{{\\bf v}_{j + 1}},\\cdots \\right]^T}$ with $ {\\bf v}_j = {[{X}_j,{Y}_{j},x_j,y_j]}$ and the corresponding vector of noises $ {\\bf n} = {\\left[ \\cdots\t{{{{\\bf m}}_{j - 1}}},{{{ {\\bf m}}_j}},\t{{{{\\bf m}}_{j + 1}}},\\cdots \\right]^T}$ with $ {\\bf m}_j = {[\\sqrt \\kappa X_j^{\\rm in},\\sqrt \\kappa Y_{j}^{\\rm in},\\sqrt \\gamma x_j^{\\rm in},\\sqrt \\gamma y_{j}^{\\rm in} ]}$, in which  $ {{ X}_j^{\\rm in}} = ({{{ a}_j^{\\rm in}} +  a_{j}^{\\dag,{\\rm in}} })\/{{\\sqrt 2 }}$, ${{ Y}_j^{\\rm in}} = ({{{ a}_j^{\\rm in}} -  a_{j}^{\\dag,{\\rm in}} })\/{{{\\rm i}\\sqrt 2 }}$, ${{ x}_j^{\\rm in}} = ({{{ b}_j^{\\rm in}} +  b_{j}^{\\dag,{\\rm in}} })\/{{\\sqrt 2 }}$ and ${{ y}_j^{\\rm in}} = ({{{ b}_j^{\\rm in}} -  b_{j}^{\\dag,{\\rm in}} })\/{{{\\rm i}\\sqrt 2 }}$ are the input noise quadratures of the optical and mechanical modes. Furthermore, we define the drift matrix ${\\bf A}$ as\n\\begin{equation}\\label{key}\n{\\bf A} = \\left[ {\\begin{array}{*{20}{c}}\n\t\\ddots & \\ddots &0&0&0\\\\\n\t\\ddots &{{{\\bf B}}}&{\\bf C}&0&0\\\\\n\t0&{\\bf C}&{{{\\bf B}}}&{\\bf C}&0\\\\\n\t0&0&{\\bf C}&{{{\\bf B} }}& \\ddots \\\\\n\t0&0&0& \\ddots & \\ddots\n\t\\end{array}} \\right]\\,,\n\\end{equation}\nwith the blocks\n\\begin{equation}\\label{key}\n{\\bf B} = \\left[ {\\begin{array}{*{20}{c}}\n\t{ - \\kappa }&-{\\left( {\\Delta  +2 {g_0}\\mathfrak{R}  {\\beta }} \\right)}&{ - 2{g_0}\\mathfrak{I} {\\alpha }}&0\\\\\n\t{  \\left( {\\Delta  +2 {g_0}\\mathfrak{R} {\\beta }} \\right)}&{ - \\kappa }&{2{g_0}\\mathfrak{R} {\\alpha }}&0\\\\\n\t0&0&{ - \\gamma }&{{\\omega _m}}\\\\\n\t{2{g_0}\\mathfrak{R} \\alpha }&{2{g_0}\\mathfrak{I} \\alpha }&{ - {\\omega _m}}&{ - \\gamma }\n\t\\end{array}} \\right]\\,,\n\\end{equation}\n\\begin{equation}\\label{key}\n{\\bf C} = \\left[ {\\begin{array}{*{20}{c}}\n\t0&-J&0&0\\\\\n\t{  J}&0&0&0\\\\\n\t0&0&0&-K\\\\\n\t0&0&{  K}&0\n\t\\end{array}} \\right]\\,.\n\\end{equation}\n\\section{\\label{sec:Sec4} Steady-state quantum correlations}\nDue to the Gaussian nature of the quantum noises and to the linearized dynamics, the steady state of the quantum fluctuations of the OMCs is a continuous variable $ 2N $-partite Gaussian state, which is completely determined by its $ 4 N\\times 4N $ CM. The formal solution of Eq.~(\\ref{eq:LinearizedLangevin}) is\n\\begin{equation}\\label{key}\n{\\bf u}(t) = {\\bf M}(t)  {\\bf u}(0) + \\int\\limits_0^t {{{\\bf M}(t-s)}{{ {\\bf n}}}(s)ds} \\,,\n\\end{equation}\nwith ${\\bf M}(t)= \\exp[{{t{\\bf A}}}] $. The CM defined as\n\\begin{equation}\n{{\\bf V}_{pq}}(t) = \\frac{1}{2}\\left\\langle {{{ {\\bf u}}_p}(t){{ {\\bf u}}_q}(t) + {{ {\\bf u}}_q}(t){{ {\\bf u}}_p}(t)} \\right\\rangle \\, ,\n\\end{equation}\ncontains all information about the quantum correlation between various mechanical and optical modes where $ { {\\bf u}}_p(t) $ is the $p$th component of the vector ${{\\bf u}}(t)$.\n\nThe system reaches its steady state when ${\\bf M}(\\infty)=0$. Our analysis is restricted to the stable regime where all the eigenvalues of the drift matrix have negative real parts. In Fig.~\\ref{Fig:Fig2}, we plot the region of stability as a function of the normalized laser pump intensity and detuning. For large laser drive, the system enters the unstable region. In the steady state, one gets the CM elements as\n\\begin{equation}\\label{key}\n{\\bf V}_{ij} = \\sum\\limits_{k,l} \\int\\limits_0^\\infty  {ds\\int\\limits_0^\\infty  {ds'{{\\bf M}_{ik}}(s){{\\bf M}_{jl}}( s')\\Phi _{kl}(s - s')}},\n\\end{equation}\nwhere\n\\begin{align}\n\\Phi _{kl}(s) &=\\frac{1}{2}\\! \\left\\langle {{ {\\bf n}_k}(s) {\\bf n}_l(s') +  {\\bf n}_l(s'){ {\\bf n}_k}(s)} \\right\\rangle \\nonumber\\\\\n&= {\\bf D}_{kl}\\delta ( s - s'),\n\\end{align}\nwhere ${\\bf D} = {\\rm diag} {\\left[ \\cdots\t{\\bf F},{\\bf F},{\\bf F},\\cdots \\right]^T}$ with $ {\\bf F}= {\\rm diag} {[\\kappa,\\kappa,\\gamma(2 \\bar n_{\\rm m}+1),\\gamma(2 \\bar n_{\\rm m}+1)]}$. When the stability conditions are satisfied so that $ {\\bf M}(\\infty)=0$, the steady-state CM, $ {\\bf V} $, can be obtained by solving the linearized HL equation~(\\ref{eq:LinearizedLangevin}) for the quantum fluctuations, which fullfil the following Lyapunov equation\n\\begin{equation}\n{{\\bf A}}{\\bf V} + {\\bf V}{{\\bf A}}^T = - {\\bf D}\\,.\n\\end{equation}\nWith these classical and quantum steady-state solutions in hand, we next employ the CM formalism to calculate the steady-state quantum correlations. We check the presence of the quantum correlations between the mechanical and optical modes on the same site, as well as between the mechanical or optical modes with different site indices. Considering the following reduced CM of the two modes\n\\begin{equation}\n{\\bf V}_R = \\left[ {\\begin{array}{*{20}{c}}\n\t{{{\\bf V}_{A}}}&{{{\\bf V}_{C}}}\\\\\n\t{{{\\bf V}_{C}^T}}&{{{\\bf V}_{B}}}\n\t\\end{array}} \\right]\\,,\n\\end{equation}\none can calculate the quantum correlations. Here, ${{\\bf V}_{A}}$, ${{\\bf V}_{B}}$ and ${{\\bf V}_{C}}$ are $2 \\times 2$  matrices where ${{\\bf V}_{A}}$ and ${{\\bf V}_{B}}$  account for the local properties of modes  $A$ and $B$, respectively, while  ${\\bf V}_{C}$  describes intermode correlations. $ A $ and $ B $ may stand for two different modes.\n\\begin{figure}\n\t\\includegraphics[width=9cm]{Fig3}\n\t\\caption{The degree of entanglement between optical and mechanical modes in terms of the logarithmic negativity for various values of the laser detuning: (a) $ \\Delta\/J=-2.5 $, (b) $ \\Delta\/J=-2.1 $, (c) $ \\Delta\/J=-1.7 $ and (d) $ \\Delta\/J=-1.3 $ for 101 coupled OMSs. (e) The logarithmic negativity between the two optical and mechanical modes with the same site index $ j=-50 $ or $ j=50 $  (blue solid line) and $ j=0 $ (red dashed line) versus the laser detuning. We set normalized parameters with respect to $J$, $\\kappa\/J=0.1$, $\\eta\/J=15$, $ g_0\/J=10^{-4} $, $\\gamma\/J= 0.002$, $\\omega_{\\rm m}\/J=0.1$ and $K\/J=0.05$. Temperatures of the photonic and phononic heat baths are considered to be zero.}\n\t\\label{Fig:Fig3}\n\\end{figure}\n\\subsection{Steady-state entanglement}\nWe quantify the degree of entanglement in terms of the logarithmic negativity, which is an entanglement monotone, and it is given by ${E_N} = \\max \\{ 0, - \\ln 2{\\tilde \\nu_- }\\} $  with   $ \\tilde{\\nu}_- = 2^{-1\/2}  \\left( \\Sigma _-  - \\sqrt {\\Sigma _ - ^2 - 4\\det {\\bf V}_R}\\right)^{1\/2} $ being the smallest of the two symplectic eigenvalues of the partially transposed transposed CM and  ${\\Sigma _ \\pm } = \\det {\\bf V}_{A} + \\det {\\bf V}_{B} \\pm 2\\det {\\bf V}_{C}$.\n\n\n\\subsubsection{Photon-phonon entanglement}\n The degree of entanglement between optical and mechanical modes in terms of the logarithmic negativity for various laser detuning at zero temperature of both the photonic and phononic heat baths is shown in Fig.~\\ref{Fig:Fig3}~(a)-(d). We can see that one has mostly on-site optomechanical entanglement, i.e., between modes at the same sites, and that there is no long-range photon-phonon entanglement. However, as suggested by the zoomed insets, one has that, due to the combined action of the on-site optomechanical interaction and of tunneling of the photons and phonons between lattice sites, there is some amount of off-site entanglement between optical and mechanical modes. For instance, the optical mode at the site $ j=0 $ is entangled with the neighbor mechanical modes at sites $|j|<1$, $|j|< $, $|j|<3$, and $|j|<4$ for $ \\Delta\/J=-2.5 $, $ \\Delta\/J=-2.1 $, $ \\Delta\/J=-1.7 $ and  $ \\Delta\/J=-1.3 $. It is also evident the detuning has a significant effect on the optomechanical entanglement. We address this issue in Fig.~\\ref{Fig:Fig3}~(e) where we have plotted the logarithmic negativity between the two optical and mechanical modes with the same site index $ j=-50 $ or $ j=50 $ and $ j=0 $ versus the laser detuning.\n\n Our choices for the detuning and laser-drive intensity correspond to the stable region of Fig.~\\ref{Fig:Fig2}. Furthermore, since we did not consider the periodic boundary conditions one can see a non-uniform behavior at the lattice edges.\n\n\\begin{figure}\n\t\\includegraphics[width=9cm]{Fig4}\n\t\\caption{The degree of entanglement between optical and mechanical modes in terms of the logarithmic negativity for various values of the laser intensity: (a) $ \\eta\/J=50 $, (b) $ \\eta\/J=150 $, (c) $ \\eta\/J=250 $ and (d) $ \\eta\/J=350 $ for 101 coupled OMSs. We set $\\Delta\/J=1.5$, other parameters are the same as Fig.~\\ref{Fig:Fig3}. Panels (e) and (f) show the logarithmic negativity between the two optical and mechanical modes with the same index $ j=-50 $ or $ j=50 $ (blue solid line) and $ j=0 $ (red dashed line)  versus the laser-drive intensity\n\t\tfor two values of the laser detuning: (e) $ \\Delta\/J=-1.5 $ and  (f) $ \\Delta\/J=1.5 $.}\n\t\\label{Fig:Fig4}\n\\end{figure}\nIn Fig.~\\ref{Fig:Fig4}~(a)-(d), we show how the photon-phonon entanglement varies as a function of the laser pump intensity for a fixed laser detuning, $\\Delta\/J=1.5$. By increasing the laser intensity the entanglement first tends to increase and then to decrease as we approach the unstable region. Therefore,  there is a non-monotonic behavior of on-site entanglement. We show this fact in Figs~\\ref{Fig:Fig4}(e) and \\ref{Fig:Fig4}(f) where we have plotted the logarithmic negativity between the two optical and mechanical modes with the same site index at the lattice edge ($ j=-50$ or $50 $) and at the lattice center ($ j=0 $) versus the laser-drive intensity for two values of the laser detuning.\n\nFinally we have also studied the eventual presence of photon-photon or phonon-phonon entanglement between different sites. We have verified that for all choices of the parameters this kind of inter-site entanglememt is always zero.\n\n\\begin{figure}\n\t\\includegraphics[scale=1]{Fig5.pdf}\n\t\\caption{\n\t\tSteady-state photon-phonon entanglement for the site index $ j=-50 $ or $ j=50 $ versus the thermal phonon number $\\bar{n}_{\\rm m}$ for two values of the normalized laser detuning $ \\Delta\/J=-2 $ (red dashed line) and $ \\Delta\/J=-2.1 $ (blue solid line) for 101 coupled OMSs. We have considered here mechanical resonators with frequency $\\omega_m\/2\\pi = 9~\\rm{GHz}$ and the other parameters are the same as in Fig.~\\ref{Fig:Fig3}. }\n\t\\label{Fig:Fig5}\n\\end{figure}\n\\subsubsection{Thermal effects on the generated entanglement}\nUsually, quantum correlations and entanglement in particular are fragile with respect to thermal noise. Therefore, the investigation of the effect of thermal fluctuations on the bipartite quantum correlations in OMCs is of particular relevance for applications.\n\nIn Fig.~\\ref{Fig:Fig5}, we show how the on-site photon-phonon entanglement changes with increasing thermal phonon number $\\bar{n}_{\\rm m}$. Evidently, the on-site photon-phonon entanglement decays for increasing temperatures and it persists at ultra-cryogenic temperatures achievable in dilution refrigerators (for example $ \\bar n_{\\rm m}\\simeq 0.06 $ for mechanical resonance frequencies $\\omega_m\/2\\pi = 9~\\rm{GHz}$  at a temperature of $ T = 0.15 K $).\n\n\\begin{figure}\n\t\\includegraphics[width=9cm]{Fig6}\n\t\\caption{Steady-state symmetrized Gaussian quantum discord between optical and mechanical modes for various laser detuning values: (a) $ \\Delta\/J=-2.5 $, (b) $ \\Delta\/J=-2.1 $, (c) $ \\Delta\/J=-1.7 $ and (d) $ \\Delta\/J=-1.3 $ for 101 coupled OMSs. Panel (e) shows the symmetrized Gaussian quantum discord between the two optical and mechanical modes with the same index $ j=0 $ (blue solid line) and $ j=50 $ (red dashed line) versus the laser detuning. The heat bath temperatures for mechanical and optical modes are considered to be zero. Other parameters are the same as Fig.~\\ref{Fig:Fig3}.}\n\t\\label{Fig:Fig6}\n\\end{figure}\n\\begin{figure}[t]\n\t\\includegraphics[width=9cm]{Fig7}\n\t\\caption{Steady-state Gaussian quantum discord between optical and mechanical modes for various laser intensity values: (a) $ \\eta\/J=50 $, (b) $ \\eta\/J=200 $, (c) $ \\eta\/J=350 $ and (d) $ \\eta\/J=500 $ for 101 coupled OMSs. Here, we set $\\Delta\/J=1.5$, and other parameters are the same as Fig.~\\ref{Fig:Fig3}. Panels (e) and (f) show the Steady-state Gaussian quantum discord  between the two optical and mechanical modes with the same site index $ j=50 $ or $ j=-50 $ (red dashed line) and $ j=0 $ (blue solid line)  versus the laser-drive intensity\n\t\tfor two values of the laser detuning: (e) $ \\Delta\/J=-1.5 $ and  (f) $ \\Delta\/J=1.5 $.}\n\t\\label{Fig:Fig7}\n\\end{figure}\n\\subsection{Steady-state Gaussian quantum discord}\n\\begin{figure}\n\t\\includegraphics[width=9cm]{Fig8}\n\t\\caption{Steady-state Gaussian quantum discord between (a)-(c) optical modes and (e)-(f) mechanical modes for various values of the laser intensity: (a) and (d) $ \\eta\/J=80 $, (b) and (e) $ \\eta\/J=100 $, and (c) and (f) $ \\eta\/J=120 $ for 101 coupled OMSs. The normalized laser detuning is set $ \\Delta\/J=-1.5 $. Other parameters are the same as Fig.~\\ref{Fig:Fig2}\n\t}\n\t\\label{Fig:Fig8}\n\\end{figure}\n\\begin{figure}\n\t\\includegraphics[width=9cm]{Fig9.pdf}\n\t\\caption{\n\t\tSteady-state Gaussian quantum discord under different heat bath phonon number for normalized laser detuning $ \\Delta\/J=1.5 $, driving $ \\eta\/J=500 $, and mechanical resonance frequency $\\omega_m\/2\\pi = 9~\\rm{GHz}$:  (a) $ \\bar n_{\\rm m}=0.1 $ ($ T=0.18 K $), (b) $ \\bar n_{\\rm m}=0.5 $ ($ T=0.39 K $), (c) $ \\bar n_{\\rm m}=2.5 $ ($ T=1.28 K $), and (d) $ \\bar n_{\\rm m}=12.5 $ ($ T=5.59 K $) for 101 coupled OMSs. Legend bar is the same for (a)-(c).\nParameters are the same as Fig.~\\ref{Fig:Fig2}. See Fig.~\\ref{Fig:Fig7}(d) for zero heat-bath temperature. Panel (e) shows the Steady-state Gaussian quantum discord  between the two optical and mechanical modes with the same site index $ j=50 $ or $ j=-50 $ (red dashed line), $ j=0 $ (blue solid line) and with the different site index $ j=0 $ and $ j=50 $ (green dotted line) versus heat bath phonon number. }\n\n\t\t\\label{Fig:Fig9}\n\\end{figure}\nIt is also interesting to examine if quantum discord \\cite{Zurek,Henderson}, a measure of the quantumness of correlations, is present in the steady state of the system. The Gaussian quantum discord is an asymmetric quantity and the Gaussian quantum A-discord of the Gaussian state of two modes, $A$ and $B$, is given by \\cite{Adesso,Giorda}\n\\begin{equation}\n{\\mathfrak{D}}^\\rightarrow = f\\left( {\\sqrt {\\beta} } \\right) - f\\left( {{\\upsilon _ - }} \\right) - f\\left( {{\\upsilon _ + }} \\right) - f\\left( {\\sqrt \\varepsilon  } \\right)\n\\end{equation}\nwhere\n\\begin{equation}\nf\\left( x \\right) \\!=\\! \\left( {\\frac{{x \\!+\\! 1\\!}}{2}} \\right)\\log_{10} \\left( {\\frac{{x \\!+\\! 1\\!}}{2}} \\right) \\!-\\! \\left( {\\frac{{x \\!-\\! 1\\!}}{2}} \\right) \\log_{10} \\left( {\\frac{{x \\!-\\! 1\\!}}{2}} \\right),\n\\end{equation}\n\\begin{equation}\n{\\upsilon _ \\pm } =\\sqrt{\\dfrac{{\\Sigma _+ } \\pm \\sqrt {{\\Sigma_+^{ 2}} - 4\\det {\\bf V}_R}}{2}  }\n\\end{equation}\nare the two symplectic eigenvalues of the two-mode CM and\n\t\\begin{equation}\n\\varepsilon  = \\left\\{ {\\begin{array}{*{20}{c}}\n\t{\\frac{{2{\\gamma ^2} + \\left( {\\beta  - 1} \\right)\\left( {\\delta  - \\alpha } \\right) + 2\\left| \\gamma  \\right|\\sqrt {{\\gamma ^2} + \\left( {\\beta  - 1} \\right)\\left( {\\delta  - \\alpha } \\right)} }}{{{{\\left( {\\beta  - 1} \\right)}^2}}},}&{\\frac{{{{\\left( {\\delta  - \\alpha \\beta } \\right)}^2}}}{{\\left( {\\beta  + 1} \\right){\\gamma ^2}\\left( {\\alpha  + \\delta } \\right)}} \\le 1;}\\\\\n\t{\\frac{{\\alpha \\beta  - {\\gamma ^2} + \\delta  - \\sqrt {{\\gamma ^4} + {{\\left( {\\delta  - \\alpha \\beta } \\right)}^2} - 2{\\gamma ^2}\\left( {\\delta  + \\alpha \\beta } \\right)} }}{{2\\beta }},}&{{\\rm{otherwise}},}\n\t\\end{array}} \\right.\n\\end{equation}\nwhere  $\\alpha  = {{\\mathop{\\rm det {\\bf V}}\\nolimits} _A}$, $\\beta  = {{\\mathop{\\rm det {\\bf V}}\\nolimits} _B}$, $\\gamma  = {{\\mathop{\\rm det {\\bf V}}\\nolimits} _C}$ and $\\delta  = \\det {\\bf V}_R$ are  the symplectic invariants. One can obtain the Gaussian quantum B-discord $ {\\mathfrak{D}}^\\leftarrow $ by swapping the roles of the two modes, $A$ and $B$, which is equivalent to swap $\\alpha$ and $\\beta$ in the above formulas. Since we are interested in quantum correlations in general between the different modes in the one-dimensional array, from now on we will consider the symmetrized quantum discord, $D_{\\mathcal{G}}= {\\rm max} \\left\\lbrace   {\\mathfrak{D}}^\\leftarrow , {\\mathfrak{D}}^\\rightarrow  \\right\\rbrace   $.\n\\subsubsection{Photon-phonon steady-state Gaussian quantum discord}\nFig.~\\ref{Fig:Fig6} shows the behavior of the symmetrized quantum discord $D_{\\mathcal{G}}$ for various laser detuning values at zero temperature of both photonic and phononic modes. Similarly to what occurred for entanglement, changing the laser detuning has a significant effect on the photon-phonon Gaussian quantum discord, and again we have a similar behavior with that of entanglement with the above choice of parameters, with the presence of larger on-site discord between the mechanical and the optical mode and which extends for few sites. One starts to see a different behavior between Gaussian discord and entanglement when looking at the dependence upon the driving power and specifically if we consider increasing values of the laser drive $\\eta $.\nIn Fig.~\\ref{Fig:Fig7}, we show how steady-state photon-phonon Gaussian quantum discord varies with the laser intensity for a fixed laser detuning, $\\Delta\/J=1.5$. In contrast with the behavior of entanglement, we have that by increasing the laser intensity one has a significant increase of Gaussian quantum discord between optical and mechanical sites (see Figs.~\\ref{Fig:Fig7}(e) and \\ref{Fig:Fig7}(f)). Moreover, at larger values one can see a long-range correlation between optical and mechanical modes appearing (see Fig.~\\ref{Fig:Fig7}(d)).\n\n\\subsubsection{Photon-photon and phonon-phonon steady-state Gaussian quantum discord}\nThe appearance of long-range quantum correlations occurs also when considering either only optical modes or only mechanical modes, at each site of the OMC, in clear contrast with the case of entanglement which is instead completely absent, even between neighboring sites. This fact is shown in Fig.~\\ref{Fig:Fig8}. As can bee seen, for a fixed laser detuning, by increasing the laser intensity the steady-state Gaussian quantum discord between modes of the same nature increases.\n\n\\subsubsection{Thermal effects on the steady state Gaussian quantum discord}\nIt is relevant to study the robustness of the Gaussian quantum discord with respect to temperature as we did it already for entanglement. The steady-state Gaussian quantum discord under different heat-bath phonon number for normalized laser detuning $ \\Delta\/J=1.5 $ and laser intensity $ \\eta\/J=500 $ is depicted in Fig.~\\ref{Fig:Fig9}. One can see a non-monotonic behavior in Gaussian quantum discord by increasing the thermal phonon number. It first tends to increase, then decreases and finally increases again. This behavior is somehow unexpected and it can be regarded as the evidence of thermally induced Gaussian quantum discord in OMCs. This is not completely novel however in quantum many-body systems; for instance, the transverse-field $ XY $ model, also shows non-monotonic behavior of its quantum correlations (for instance see \\cite{Chanda2018} and references therein). We remark however that our model is not exactly the same as $ XY $ model for what concerns the effects of the thermal environment because in the latter the involved excitations has similar frequencies and therefore similar thermal effects, while in our case, due to the large difference in frequencies between optical and mechanical modes, only the phonon modes are appreciably affected by a nonzero reservoir temperature. The phenomenon investigated here shares instead some similarity with what has been already underlined in \\cite{Ciccarello,Korolkova} where it has been shown that for continuous-variable bipartite systems, quantum discord can increase for increasing thermal noise because they represent nonclassical correlations which are induced and maintained thanks to the mediating action of the local dissipative bath.\n\n\\section{\\label{sec:Sec5} Conclusions}\nIn conclusion, our investigation clearly demonstrates the presence of appreciable quantum correlations in an OMC where each site consists of two localized, optical and mechanical, modes coupled locally via the optomechanical interaction. The modes of nearby sites are connected via both photon and phonon tunneling. In particular, the generation of on-site or short-range entanglement between optical and mechanical modes that rely on the optomechanical interactions in OMCs seems feasible at ultracryogenic temperatures. The generated entanglement is very fragile with respect to thermal noise. We have also shown that there is no long-range entanglement between optical and mechanical modes. Moreover, there is no photon-photon or phonon-phonon entanglement in the system. \nFor what concerns the absence of strong entanglement between modes of the same nature, this is due to the quantum dynamics realized by the chosen model Hamiltonian). In fact, it does not contain terms of the form of $ a_j^\\dagger a_{j\\pm1}^\\dagger+a_j a_{j\\pm1} $ for the photonic modes (or $ b_j^\\dagger b_{j\\pm1}^\\dagger+b_j b_{j\\pm1} $ for phononic modes). It only contains hopping terms which cannot directly entangle modes of the same nature.\n\nWe have then examined a weaker form of quantum correlation, i..e., Gaussian quantum discord, and we have studied if quantum discord is present in the steady-state of the system for various control parameters. The Gaussian quantum discord behavior is completely different, one has long-range features in all the three possible cases of correlations, i.e., photon-phonon, photon-photon, and phonon-phonon, at variance with what occurs with entanglement. A further interesting aspect is the thermal activation of quantum discord, i.e., the fact that photon-phonon discord \\emph{increases} with increasing temperature. In our opinion this is a manifestation of the transfer of nonclassical correlations mediated by the thermal reservoir, as already discussed for continuous variable systems in \\cite{Ciccarello,Korolkova}.\n\nThe present study which paves the way toward the investigation of many-body entanglement, can be considered as the first step toward controlled quantum correlations between different quantum processors across the lattice sites with potential applications in quantum information possessing and storage. The proposed scheme also provides a suitable platform for quantum simulation of various many-body systems with optomechanical crystals by tuning the system parameters.\n\nIt should be noted that we did not consider the disorder effect in our study. As an outlook, the system under consideration can be generalized to a more realistic case where the lattice disorder is also present in the system. Another outlook may be the generalization to the case of two-dimensional lattices of coupled optomechanical systems.\n\n\\begin{acknowledgments}\nWe would like to thank the Vice President for Research of the University of Isfahan for its support. DV acknowledges the support of the European Union Horizon 2020 Programme for Research and Innovation through the Project No. 732894 (FET Proactive HOT).\n\\end{acknowledgments}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nRough set theory~\\cite{Pawlak82Rough} was proposed by Pawlak to deal with granularity in information systems.\nIt is based on equivalence relations.\nHowever, the equivalence relation is rather strict, hence the applications of the classical rough set theory are quite limited.\nFor this reason, rough set theory has been extended to generalized rough set theory based on tolerance relation~\\cite{SkowronStepaniuk96tolerance}, similarity relation~\\cite{SlowinskiVanderpooten00AGeneralized} and arbitrary binary relation~\\cite{LiuZhu08TheAlgebraic,Yao98OnGeneralizing,Yao98Relational,Yao98Constructive,ZhuWang06ANew}.\nThrough extending a partition to a covering, rough set theory is generalized to covering-based rough sets~\\cite{QinGaoPei07OnCovering,WangZhuZhu10Structure,ZhuWang02Some,WangZhu12Quantitative}.\nBecause of its high efficiency in many complicated problems such as attribute reduction and rule learning in incomplete information\/decision~\\cite{QianLiangLiWangMa10Approximation}, covering-based rough set theory has been attracting increasing research interest~\\cite{YaoYao12Covering,WangYangYangWu12Relationships}.\n\nLattice is suggested by the form of the Hasse diagram depicting it.\nIn mathematics, lattice are partially ordered sets in which any two elements have a unique supremum (also called a least upper bound or join) and a unique infimum (also called a greatest lower bound or meet). They encode the algebraic behavior of the entailment relation and such basic logical connectives as ``and\" (conjunction) and ``or\"(disjunction), which result in adequate algebraic semantics for a variety of logical systems.\nLattices, especially geometric lattices, are one of the most important algebraic structures and are used extensively in both theoretical and\napplicable fields, such as data analysis, formal concept analysis~\\cite{WangLiuCao10ANew,Wille82Restructuring,YaoChen04Rough} and domain theory~\\cite{Birhoff95Lattice}.\n\nMatroid theory~\\cite{Oxley93Matroid,Lai01Matroid} borrows extensively from linear algebra and graph theory.\nThere are dozens of equivalent ways to define a matroid.\nSignificant definitions of matroid include those in terms of independent sets, bases, circuits, closed sets or flats, closure operators, and rank functions, which provides well-established platforms to connect with other theories.\nIn application, matroids have been widely used in many fields such as combinatorial optimization, network flows, and algorithm design, especially greedy algorithm design~\\cite{Lawler01Combinatorialoptimization,Edmonds71Matroids}.\nSome works on the connection between rough sets and matroids have been conducted~\\cite{WangZhu11Matroidal,WangZhuMin11Transversal,WangZhuZhuMin12Matroidal,ZhuWang11Matroidal}.\n\nIn this paper, we pay our attention to geometric lattice structures of covering based-rough sets through matroids.\nFirst, a geometric lattice in covering-based rough sets is generated by the transversal matroid induced by a covering.\nMoreover, we study the characteristics of the geometric lattice, such as atoms, modular elements and modular pairs.\nWe also point out a one-to-one correspondence between this type of geometric lattices and transversal matroids in the context of covering-based rough sets.\nSecond, generally, covering upper approximation operators are not necessarily closure operators of matroids.\nThen we present sufficient and necessary conditions for three types of covering upper approximation operators to be closure operators of matroids, and exhibit representations of corresponding special coverings.\nWe study the properties of these matroids, and their closed-set lattices which are also geometric lattices.\nThird, we compare these four geometric lattices through corresponding matroids.\nFurthermore, some core concepts such as reducible and immured elements in covering-based rough sets are studied by geometric lattices.\n\nThe rest of this paper is organized as follows.\nIn Section~\\ref{Preliminaries}, we recall some fundamental concepts related to covering-based rough sets, lattices and matroids.\nSection~\\ref{S:Thepropertiesoftheclosedsetlatticeofmatroidinducedbycovering} establishes a geometric lattice structure of covering-based rough sets through the transversal matroid induced by a covering.\nIn Section~\\ref{S:Matroidalstructuresbasedonthreetypesofupperapproximations}, we present three geometric lattice structures of covering-based rough sets through three types of approximation operators.\nSection~\\ref{S:Therelationshipamongfourtypesofmatroidalstructuresandclosedsetlatticestructures} studies the relationship among these four geometric lattice structures.\nThis paper is concluded and further work is pointed out in Section~\\ref{S:Conclusions}.\n\n\\section{Preliminaries}\n\\label{Preliminaries}\n\nIn this section, we review some basic concepts of matroids, lattices and covering-based rough sets.\n\n\\subsection{Matriod}\n\n\\begin{definition}(Matroid)~\\cite{Oxley93Matroid}\nA matroid is an ordered pair $(E,\\mathcal{I})$ consisting of a finite set $E$ and a collection $\\mathcal{I}$ of subsets of $E$ satisfying the following three conditions:\\\\\n(1) $\\emptyset \\in \\mathcal{I}$;\\\\\n(2) If $I\\in \\mathcal{I}$ and $I^{'}\\subseteq I$, then $I^{'}\\in \\mathcal{I}$;\\\\\n(3) If $I_{1},I_{2}\\in \\mathcal{I}$ and $|I_{1}|<|I_{2}|$, then there is an element $e\\in I_{2}-I_{1}$ such that $I_{1}\\bigcup e\\in \\mathcal{I}$, where $|X|$ denotes the cardinality of $X$.\n\\end{definition}\n\nLet $M(E,\\mathcal{I})$ be a matroid.\nThe members of $\\mathcal{I}$ are the independent sets of $M$.\nA set in $\\mathcal{I}$ is maximal, in the sense of inclusion, is called a base of the matroid $M$.\nIf $A\\notin \\mathcal{I}$, $A$ is called dependent set.\nIn the sense of inclusion, a minimal dependent subset of $E$ is called a circuit of the matroid $M$.\nIf $\\{a\\}$ is a circuit, we call $\\{a\\}$ a loop.\nMoreover, if $\\{a,b\\}$ is a circuit, then $a$ and $b$ are said to be parallel.\nA matroid is called simple matroid if it has no loops and no parallel elements.\nThe rank function of a matroid is a function $r_{M}:2^{E}\\rightarrow N$ defined by $r_{M}(X)=max\\{|I|: I\\subseteq X, I\\in \\mathcal{I}\\}$ $(X\\subseteq E)$.\nFor each $X\\subseteq E$, we say $cl_{M}(X)=\\{a\\in E:r_{M}(X)=r_{M}(X\\bigcup \\{a\\})\\}$ is the closure of $X$ in $(E,\\mathcal{I})$.\nWhen there is no confusion, we use the symbol $cl(X)$ for short.\n$X$ is called a closure set if $cl(X)=X$.\n\nThe rank function of a matriod, directly analogous to a similar theorem of linear algebra, has the following proposition.\n\n\\begin{proposition}\\cite{Oxley93Matroid}\nLet $M(E,\\mathcal{I})$ be a matroid and $r_{M}$ is rank function of $M$. For all $X,Y\\subseteq E$, the following properties hold:\\\\\n(R1) For all $X\\in 2^{E}$, $0\\leq r_{M}(X)\\leq|X|$;\\\\\n(R2) If $X\\subseteq Y\\subseteq E$, then $r_{M}(X)\\leq r_{M}(Y)$;\\\\\n(R3) If $X,Y\\subseteq E$, then $r_{M}(X\\bigcup Y)+r_{M}(X\\bigcap Y)\\leq r_{M}(X)+r_{M}(Y)$.\n\\end{proposition}\n\nThe following proposition is the closure axiom of a matroid.\nIt means that a operator satisfies (1)-(4) if and only if the operator is the closure operator of a matroid.\n\n\\begin{proposition}\\cite{Oxley93Matroid}\nLet $E$ be a set. A function $cl_{M}:2^{E}\\rightarrow 2^{E}$ is the closure operator of a matroid on $E$ if and only if it satisfies the following conditions:\\\\\n(1) If $X\\subseteq E$, then $X\\subseteq cl_{M}(X)$.\\\\\n(2) If $X\\subseteq Y\\subseteq E$, then $cl_{M}(X)\\subseteq cl_{M}(Y)$.\\\\\n(3) If $X\\subseteq E$, $cl_{M}(cl_{M}(X))=cl_{M}(X)$.\\\\\n(4) If $X\\subseteq E,x\\in E$, and $y\\in cl_{M}(X\\bigcup \\{x\\})-cl_{M}(X)$, then $x\\in cl_{M}(X\\bigcup \\{y\\})$.\n\\end{proposition}\n\nTransversal theory is a branch of a matroid theory. It shows how to induce a matroid, namely, transversal matroid, by a family of subsets of a set. Hence, the transversal matroid establishes a bridge between collections of subsets of a set and matroids.\n\n\\begin{definition}(transversal)\\cite{Oxley93Matroid}\nLet $S$ be a nonempty finite set, $J=\\{1,2,\\cdots,m\\}$. $\\mathcal{F}$ denotes the family $\\{F_{1},F_{2},\\cdots,F_{m}\\}$ of subsets of $S$. A transversal or system of distinct representatives of $\\{F_{1},F_{2},\\cdots,F_{m}\\}$ is a subset $\\{e_{1},e_{2},\\cdots,e_{m}\\}$ of $S$ such that $e_{i}\\in F_{i}$ for all $i$ in $J$. If for some subset $K$ of $J$, $X$ is a transversal of $\\{F_{i}:i\\in K\\}$, then $X$ is said to be a partial transversal of $\\{F_{1},F_{2},\\cdots,F_{m}\\}$.\n\\end{definition}\n\n\\begin{example}\nLet $S=\\{1,2,3,4\\}$, $F_{1}=\\{2,3\\},F_{2}=\\{4\\},F_{3}=\\{2,4\\}$. For $\\mathcal{F}=\\{F_{1},F_{2},F_{3}\\}$, $T=\\{2,3,4\\}$ is a transversal of $\\mathcal{F}$, since $2\\in F_{3}$, $3\\in F_{1}$, $4\\in F_{2}$. $T^{'}=\\{2,4\\}$ is a partial transversal of $\\mathcal{F}$, since there exists $K=\\{1,2\\}\\subseteq J$ such that $T^{'}$ is a transversal of $\\{F_{i}:i\\in K\\}$.\n\\end{example}\n\n\\begin{proposition}\\cite{Oxley93Matroid}\nLet $\\mathcal{F}=\\{F_{i}:i\\in J\\}$ be a family of subsets of $E$. $M(\\mathcal{F})=(E, \\mathcal{I}(\\mathcal{F}))$ is a matroid where $\\mathcal{I}(\\mathcal{F})$ is the family of all partial transversals of $\\mathcal{F}$.\n\\end{proposition}\n\n\\begin{definition}\\cite{WangZhuMin11Transversal}\nLet $\\mathcal{F}=\\{F_{i}:i\\in J\\}$ be a family of subsets of $E$. We say $M(\\mathcal{F})=(E,\\mathcal{I}(\\mathcal{F}))$ is the transversal matroid induced by $\\mathcal{F}$.\n\\end{definition}\n\n\\subsection{Lattice}\n\nLet $P$ be an ordered set and $a,b \\in P$.\nWe say that $a$ is covered by $b$ (or $b$ covers $a$) if $a<b$ and there is no element $c$ in $P$ with $a<c<b$.\nA chain in $P$ from $x_{0}$ to $x_{n}$ is a subset $\\{x_{0},x_{1},\\cdots,x_{n}\\}$ of $P$ such that $x_{0}<x_{1}<\\cdots<x_{n}$.\nThe length of such a chain is $n$, and the chain is maximal if $x_{i}$ covers $x_{i-1}$ for all $i\\in \\{1,2,\\cdots,n\\}$.\nA poset $(\\mathcal{L},\\leq)$ is a lattice if $a\\bigvee b$ and $a\\bigwedge b$ exist for all $a,b\\in \\mathcal{L}$. If $\\mathcal{L}$ is a lattice with zero element $0$, then $a\\in \\mathcal{L}$ is called an atoms of $\\mathcal{L}$ if $a$ covers $0$. If, for every pair $\\{a,b\\}$ of elements of $P$ with $a<b$, all maximal chains from $a$ to $b$ have the same length, then $P$ is said to satisfy the Jordan-Dedekind chain condition. The height $h_{P}(y)$ of an element $y$ of $P$ is the maximum length of a chain from $0$ to $y$. Thus, in particular, the atoms of $P$ are precisely the elements of height one. It is not difficult to check that every finite lattice has a zero and the one. A finite lattice $\\mathcal{L}$ is called semimodular if it satisfies the Jordan-Dedekind chain condition and for every pair $x,y$ of elements of $\\mathcal{L}$, the equality $h_{\\mathcal{L}}(x)+h_{\\mathcal{L}}(y)\\geq h_{\\mathcal{L}}(x\\bigvee y)+h_{\\mathcal{L}}(x\\bigwedge y)$ holds. A geometric lattice is a finite semimodular lattice in which every element is join of atoms.\n\n\\begin{definition}\\cite{Birhoff95Lattice}\nLet $\\mathcal{L}$ be a lattice, $a,b\\in \\mathcal{L}$.\\\\\n(ME) For all $x, z\\in \\mathcal{L}$, $x\\geq z$ implies $x\\bigwedge(a\\bigvee z)=(x\\bigwedge a)\\bigvee z$, $a$ is called a modular element of $\\mathcal{L}$.\\\\\n(MP) For all $z\\in \\mathcal{L}$, $b\\geq z$ implies $b\\bigwedge(a\\bigvee z)=(b\\bigwedge a)\\bigvee z$, $(a,b)$ is called a modular pair of $\\mathcal{L}$.\n\\end{definition}\n\n\\begin{lemma}\\cite{Birhoff95Lattice}\nLet $\\mathcal{L}$ be a semimodular lattice, then $(a,b)$ is a modular pair if and only if $h_{\\mathcal{L}}(a \\bigvee b)+h_{\\mathcal{L}}(a \\bigwedge b)=h_{\\mathcal{L}}(a)+h_{\\mathcal{L}}(b)$ for all $a,b \\in \\mathcal{L}$\n\\end{lemma}\n\\subsection{Closed-set lattice of matroid}\n\nIf $M$ is a matroid, then $\\mathcal{L}(M)$ will denote the set of all closed sets of $M$ ordered by inclusion. For a matroid $M$, the zero of $\\mathcal{L}(M)$ is $cl_{M}(\\emptyset)$, while the one is $E$.\n\n\\begin{lemma}\\cite{Oxley93Matroid}\n$\\mathcal{L}(M)$ is a lattice, for all closed sets $X$ and $Y$ of $M$,\n$X\\bigwedge Y=X\\bigcap Y$ and $X\\bigvee Y=cl_{M}(X\\bigcup Y)$.\n\\end{lemma}\n\n\\begin{lemma}\\cite{Oxley93Matroid}\nLet $h_{\\mathcal{L}(M)}$ be the height function of lattice $\\mathcal{L}(M)$, $r_{M}$ the rank function of $M$. For all $X\\in \\mathcal{L}(M)$, $h_{\\mathcal{L}(M)}(X)=r_{M}(X)$.\n\\end{lemma}\n\n\\begin{lemma}\\cite{Oxley93Matroid}\nA lattice $\\mathcal{L}$ is geometric if and only if it is the lattice of closure sets of a matroid.\n\\end{lemma}\n\nLemma 4 give another definition of a geometric lattice.\nIn face, it is the closed-set lattice of a matroid.\n\n\\subsection{Covering-based rough sets}\n\n\\begin{definition}(Covering and partition)\nLet $E$ be a universe of discourse, $\\mathcal{C}$ a family of subsets of $E$ and none of subsets in $\\mathcal{C}$ be empty. If $\\bigcup \\mathcal{C}=E$, $\\mathcal{C}$ is called a covering of $E$. The member of $\\mathcal{C}$ is called a covering block. If $\\mathcal{P}$ is a covering of $E$ and it is a family of pairwisely disjoint subsets of $E$, $P$ is called a partition of $E$.\n\\end{definition}\n\nIt is clear that a partition of $E$ is certainly a covering of $E$, so the concept of a covering is an extension of the concept of a partition.\n\nLet $E$ be a finite set and $R$ be an equivalent relation on $E$. $R$ will generate a partition $E\/R=\\{Y_{1}, Y_{2},\\cdots, Y_{m}\\}$ on $E$, where $Y_{1},Y_{2},\\cdots Y_{m}$ are the equivalence classes generated by $R$. $\\forall X\\subseteq U$, the lower and upper approximations of $X$, are, respectively, defined as follows:\\\\\n$R_{\\ast}(X)=\\bigcup\\{Y_{i}\\in U\/R: Y_{i}\\subseteq X\\}$\\\\\n$R^{\\ast}(X)=\\bigcup \\{Y_{i}\\in U\/R: Y_{i}\\bigcap X\\neq \\emptyset\\}$.\n\n\\begin{definition}(Indiscernible neighborhood and neighborhood)~\\cite{ZhuWang07OnThree,Zhu07Topological}\nLet $\\langle E, \\mathcal{C}\\rangle$ be a covering approximation space, $x\\in U$.\\\\\n$\\bigcup\\{K:x\\in K\\in \\mathcal{C}\\}$ is called the indiscernible neighborhood of $x$ and denoted as $I(x)$.\\\\\n$\\bigcap \\{K:x\\in K\\in \\mathcal{C}\\}$ is called the neighborhood of $x$ and denoted as $N(x)$.\n\\end{definition}\n\n\\begin{definition}~\\cite{ZhuWang03Reduction}\nLet $\\mathcal{C}$ be a covering of a domain $E$ and $K\\in \\mathcal{C}$. If $K$ is a union of some sets in $\\mathcal{C}-\\{K\\}$, we say $K$ is reducible in $\\mathcal{C}$; otherwise $K$ is irreducible. If every element in $\\mathcal{C}$ is irreducible, we say $\\mathcal{C}$ is irreducible; otherwise $\\mathcal{C}$ is reducible.\n\\end{definition}\n\n\\begin{definition}~\\cite{ZhuWang03Reduction}\nFor a covering $\\mathcal{C}$ of a universe $E$, the new irreducible covering through the above reduction is called the reduct of $\\mathcal{C}$ and denoted by $reduct(\\mathcal{C})$.\n\\end{definition}\n\n\\begin{definition}~\\cite{ZhuWang07OnThree}\nLet $\\mathcal{C}$ be a covering of $E$ and $K$ an element of $\\mathcal{C}$. If there exists another element $K^{'}$ of $\\mathcal{C}$ such that $K\\subset K^{'}$, we say that $K$ is an immured element of covering $\\mathcal{C}$.\n\\end{definition}\n\n\\begin{definition}~\\cite{ZhuWang07OnThree}\nLet $\\mathcal{C}$ be a covering of $E$. When we remove all immured elements from $\\mathcal{C}$, the set of all remaining elements is still a covering of $E$, and this new covering has no immured element. We called this new covering an exclusion of $\\mathcal{C}$, and it is denoted by $exclusion(\\mathcal{C})$.\n\\end{definition}\n\nZakowski first extended Pawlak's rough set theory from partition to covering~\\cite{Zakowski83Approximations}. Pomykala studied the second type of covering rough set model~\\cite{Pomykala87Approximation}. While the sixth type of covering-based upper approximation was first defined in~\\cite{XuWang05On}. Qin et al. first defined the seventh type of covering-based upper approximation in \\cite{QinGaoPei07OnCovering}.\n\n\\begin{definition}\nLet $\\mathcal{C}$ be a covering of $E$.\nThe covering upper approximation operators $SH,XH,VH:P(E)\\rightarrow P(E)$ are defined as follows: $\\forall X\\in P(E)$,\\\\\n$SH(X)=\\bigcup \\{K\\in \\mathcal{C}:K\\bigcap X\\neq \\emptyset\\}=\\bigcup\\{I(x):x\\in X\\}$.\\\\\n$XH(X)=\\{x:N(x)\\bigcap X \\neq \\emptyset\\}$.\\\\\n$VH(X)=\\bigcup\\{N(x):N(x)\\bigcap X \\neq \\emptyset\\}$\\\\\n$SH_{\\mathcal{C}},XH_{\\mathcal{C}},VH_{\\mathcal{C}}$ are called the second, the sixth, the seventh covering upper approximation operators with respect to the covering $\\mathcal{C}$, respectively. When there is no confusion, we omit $\\mathcal{C}$ at the lowercase.\n\\end{definition}\n\n\n\\section{A geometric lattice structure of covering-based rough sets through transversal matroid}\n\\label{S:Thepropertiesoftheclosedsetlatticeofmatroidinducedbycovering}\n\nAs we know, if $M$ is a matroid and $\\mathcal{L}(M)$ denotes the set of all closed set of $M$ ordered by inclusion, then $\\mathcal{L}(M)$ is a geometric lattice.\nIn this section, we study the properties such as atoms, modular elements and modular pairs of this type of geometric lattice through transversal matroid induced by a covering.\nWe also study the structure of matroid induced by this type of geometric lattice.\nIt is interesting to find that there is a one-to-one correspondence between this type of geometric lattices and transversal matroids in the context of covering-based rough sets.\n\nLet $E$ be a nonempty finite set and $\\mathcal{C}$ a covering of $E$.\nAs shown in Definition 3, $M(\\mathcal{C})=(E, \\mathcal{I}(\\mathcal{C}))$ is the transversal matroid induced by covering $\\mathcal{C}$. $\\mathcal{L}(M(\\mathcal{C}))$ is the set of all closed sets of $M(\\mathcal{C})$.\nEspecially, $\\mathcal{L}(M(\\mathcal{P}))$ is the set of all closed sets of the transversal matroid induced by partition $\\mathcal{P}$.\nBased on Lemma 4, we know $\\mathcal{L}(M(\\mathcal{C}))$ and $\\mathcal{L}(M(\\mathcal{P}))$ are geometric lattice.\n\nThe theorem below connects a covering with the closure of $\\emptyset$.\nIn fact, $\\emptyset\\in \\mathcal{L}(M(\\mathcal{F}))$ if and only if $\\mathcal{F}$ is a covering.\n\n\\begin{theorem}\nLet $M(\\mathcal{F})$ be a transversal matriod induced by $\\mathcal{F}=\\{F_{1},F_{2},\\cdots,F_{m}\\}$, $\\forall 1\\leq i\\leq m$, $F_{i}\\neq \\emptyset$.\n$cl_{\\mathcal{F}}(\\emptyset)=\\emptyset$ if and only if $\\mathcal{F}$ is a covering.\n\\end{theorem}\n\n\\begin{proof}\n\"$\\Leftarrow$\": According to the definition of transversal matroid, any partial transversal is an independent set of transversal matroid.\nSince $\\mathcal{F}$ is a covering, any single-point set is an independent set.\nBased on the definition of closure operator of a matriod, we have $cl_{M(\\mathcal{F})}(\\emptyset)=\\emptyset$.\n\n\"$\\Rightarrow$\": Since $cl_{M(\\mathcal{F})}(\\emptyset)=\\emptyset$, any single-point set is an independent set, that is, for all $x\\in E$, there exists $1 \\leq i_{x}\\leq m$ such that $x\\in F_{i_{x}}\\subseteq E$.\nHence, $E=\\bigcup_{x\\in E}\\{x\\}\\subseteq \\bigcup_{x\\in E}F_{i_{x}}\\subseteq \\bigcup_{i=1}^{m}F_{i}\\subseteq E$.\nThus $\\bigcup_{i=1}^{m}F_{i}=E$.\nFor all$ 1\\leq i \\leq m$, $F_{i}\\neq \\emptyset$ and $\\bigcup_{i=1}^{m}F_{i}=E$, hence $\\mathcal{F}$ is a covering.\n\\end{proof}\n\n\\begin{lemma}\nLet $\\mathcal{C}$ be a covering of $E$. For all $x\\in E$, $cl_{M(\\mathcal{C})}(\\{x\\})$ is an atom of $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{lemma}\n\n\\begin{proof}\nSince $\\mathcal{C}$ is a covering and the definition of transversal matroid, we konw any single-point set is an independent set.\nThus $\\forall x\\in E$, $r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x\\}))=r_{M(\\mathcal{C})}(\\{x\\})=1$. Hence, $\\{cl_{M(\\mathcal{C})}(x):x\\in E\\}$ is the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{proof}\n\nLemma 5 does not establish the concrete form of $cl_{M(\\mathcal{C})}(\\{x\\})$.\nIn order to solve that problem, we define two sets as follows.\n\n\\begin{definition}\nLet $\\mathcal{C}=\\{K_{1}, K_{2},\\cdots, K_{m}\\}$ be a covering of a finite set $E=\\{x_{1}, x_{2},\\\\ \\cdots, x_{n}\\}$.\nWe define\\\\\n(i) $A=\\{K_{i}-\\bigcup_{j=1,j\\neq i }^{m}K_{j}:K_{i}-\\bigcup_{j=1,j\\neq i }^{m}K_{j} \\neq \\emptyset, i\\in \\{1, 2, \\cdots, m\\}\\}\\\\\n~~~~~~~~~=\\{A_{1},A_{2},\\cdots, A_{s}\\}$.\\\\\n(ii) $B=E-\\bigcup_{i=1}^{s} A_{i}$.\n\\end{definition}\n\n\\begin{remark}\nFor all $i\\in \\{1, 2, \\cdots, s\\}$, $\\forall x\\in A_{i}$, there exists only one block such that $x$ belongs to it, and there exist at least two blocks such that $y$ belongs to them for all $y\\in B$.\n\\end{remark}\n\nThe following two propositions establish the characteristics of $A$ and $B$.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering of $E$. $\\{A_{1},A_{2},\\cdots,A_{s}\\}\\bigcup \\{\\{x\\}:{x\\in B}\\}$ forms a partition of $E$.\n\\end{proposition}\n\n\\begin{proof}\nLet $P=A\\bigcup \\{\\{x\\}:x\\in B\\}=\\{A_{1},A_{2},\\cdots,A_{s}\\}\\bigcup \\{\\{x\\}:{x\\in B}\\}$.\nAccording to Definition 12, we know $\\bigcup_{i=1}^{s}A_{i}\\bigcup \\{\\{x\\}:x\\in B\\}=E$.\nNow we need to prove $\\forall P_{1}, P_{2}\\in P$, $P_{1}\\bigcap P_{2}=\\emptyset$.\nAccording to the definition of $A$, if $P_{1},P_{2}\\in A$, then $P_{1}\\bigcap P_{2}=\\emptyset$.\nIf $P_{1},P_{2}\\in \\{\\{x\\}:x\\in B\\}$, then $P_{1}\\bigcap P_{2}=\\emptyset$ because $P_{i}$ and $P_{j}$ are single-points.\nIf $P_{1}\\in A, P_{2}\\in  \\{\\{x\\}:x\\in B\\}$, then $P_{1}\\bigcap P_{2}=\\emptyset$ because $B\\bigcap \\bigcup_{k=1}^{s}A_{k}=\\emptyset$ and $A_{i}\\subseteq \\bigcup_{k=1}^{s}A_{k}$ and $A_{j}\\subseteq B$.\n\\end{proof}\n\n\\begin{proposition}\n$\\mathcal{C}$ is a partition if and only if $B=\\emptyset$.\n\\end{proposition}\n\n\\begin{proof}\nAccording to the definition of $A$ and $B$, the necessity is obvious.\nNow we prove the sufficiency.\nIf $\\mathcal{C}$ is not a partition, then there exist $K_{i},K_{j}\\in \\mathcal{C}$ such that $K_{i}\\bigcap K_{j}\\neq \\emptyset$.\nThus there exists $x\\in E$ such that $x\\in K_{i}\\bigcap K_{j}$, that is, there exist at least $K_{i},K_{j}\\in\\mathcal{C}$ such that $x$ belongs to them, hence $x\\in B$.\nThat contradicts the assumption that $B=\\emptyset$.\n\\end{proof}\n\nThe following theorem shows the concrete form of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering of $E$.\n$\\{A_{1},A_{2},\\cdots,A_{s}\\}\\bigcup \\{\\{x\\}:{x\\in B}\\}$ is the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{theorem}\n\n\\begin{proof}\nAccording to the definition of $A_{i}$, we may as well suppose $A_{i}=K_{h}-\\bigcup_{j=1,j\\neq h}^{m}\\\\K_{j}$.\nBased on $\\mathcal{C}$ is a covering and the definition of transversal matroid, we know any single-point set is an independent set, thus $\\forall x\\in A_{i}$, $\\{x\\}$ is an independent set.\n$\\forall y\\in A_{i}$ and $y\\neq x$, we know $x,y\\in K_{h}$ and $x,y\\notin K_{j}$ for all $1 \\leq j\\leq m,~j\\neq h$, thus $x$ and $y$ cannot be chosen from different blocks in the covering $\\mathcal{C}$.\nThat shows that $\\{x,y\\}$ is not an independent set according to the definition of transversal matroid.\nHence, $\\{x\\}$ is a maximal independent set included in $A_{i}$, that is, $r_{M(\\mathcal{C})}(A_{i})=1$.\nNext, we need to prove $A_{i}$ is a closed set.\nSince $A_{i}\\subseteq cl_{M(\\mathcal{C})}(A_{i})$, we need to prove $cl_{M(\\mathcal{C})}(A_{i})\\subseteq A_{i}$, that is, $x\\notin A_{i}$ implies $x\\notin cl_{M(\\mathcal{C})}(A_{i})$.\nIf $y\\notin A_{i}$, based on the fact that $\\mathcal{C}$ is a covering and the definition of $A_{i}$, then there exists $j\\neq h$ such that $y\\in K_{j}$.\nThus $\\{x,y\\}$ is an independent set.\nThat implies $y\\notin cl_{M(\\mathcal{C})}(A_{i})$, thus $cl_{M(\\mathcal{C})}(A_{i})=A_{i}$.\nHence, $A_{i}\\in \\mathcal{L}(M(\\mathcal{C}))$.\nCombining Lemma 3 with $r_{M(\\mathcal{C})}(A_{i})=1$, we know for all $1 \\leq i \\leq m$, $A_{i}$ is an atom of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\nAccording to the definition of transversal matroid and the fact that $\\mathcal{C}$ is a covering, any single-point set is an independent set.\nThus for all $x\\in B$, $r_{M(\\mathcal{C})}(\\{x\\})=1$.\n$\\forall y\\in E$ and $y\\neq x$, if $y\\in B$, then there exist at least two blocks containing $y$ according to the definition of $B$.\nWe may as well suppose $y\\in K_{k},K_{t}$ and $x\\in K_{l},K_{p}$, where $\\{K_{k}, K_{t}\\}$ may be the same as $\\{K_{l}, K_{p}\\}$.\nBased on this, $\\{x,y\\}$ is an independent set.\nThis implies $y\\notin cl_{M(\\mathcal{C})}(\\{x\\})$.\nIf $y\\notin B$, then we may as well suppose $y\\in A_{i}$, thus $y\\in K_{h}$ for the definition of $A_{i}$, where $K_{h}$ may be the same with $K_{l}$ or $K_{p}$.\nBased on this, $x$ and $y$ can be chosen from different blocks in covering $\\mathcal{C}$, thus $\\{x,y\\}$ is an independent set. That implies  $y\\notin cl_{M(\\mathcal{C})}(\\{x\\})$.\nFrom above discussion, we have $cl_{M(\\mathcal{C})}(\\{x\\})=\\{x\\}$.\nHence, $\\{x\\}\\in \\mathcal{L}(M(\\mathcal{C}))$ for all $x\\in B$.\nCombining Lemma 3 with $r_{M(\\mathcal{C})}(\\{x\\})=1$, we know $\\{x\\}$ is an atom of lattice $\\mathcal{L}(M(\\mathcal{C}))$ for all $x\\in B$.\n\nNext, we will prove the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$ can not be anything but $\\{A_{1},A_{2},\\cdots,A_{s}\\}\\bigcup \\{\\{x\\}:{x\\in B}\\}$.\nAccording to Lemma 5, we know $\\{cl_{M(\\mathcal{C})}(\\{x\\}):x\\in E\\}$ is the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\nSimilar to the proof of the second part, we know that if $x\\in B$ then $cl_{M(\\mathcal{C})}(\\{x\\})=\\{x\\}$.\nIf $x\\notin B$, then $x$ belongs to one of elements in $A$.\nWe may as well suppose $x\\in A_{i}$.\nCombining $A_{i}$ is an atom with $\\emptyset \\subseteq cl_{M(\\mathcal{C})}(\\{x\\})\\subseteq cl_{M(\\mathcal{C})}(A_{i})=A_{i}$, we have $cl_{M(\\mathcal{C})}(\\{x\\})=A_{i}$.\nHence, $\\{A_{1},A_{2},\\cdots,A_{s}\\}\\bigcup \\{\\{x\\}:{x\\in B}\\}$ is the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{proof}\n\nThe proposition below connects simple matroid and the cardinal number of $A_{i}$.\nIn fact, a matroid is simple if and only if $\\forall 1\\leq i\\leq s$, $|A_{i}|=1$.\n\n\\begin{lemma}\n$\\forall 1\\leq i\\leq s$, if $|A_{i}|\\geq 2$, then $\\forall x,y\\in A_{i}$, $x,y$ are parallel .\n\\end{lemma}\n\n\\begin{proof}\nAccording to the definition of $A_{i}$, we may as well suppose $A_{i}=K_{h}-\\bigcup_{j=1,j\\neq h}^{m}\\\\K_{j}$, where $1\\leq h\\leq m$.\nFor all $x,y\\in A_{i}$, then $x,y\\in K_{h}$ and $\\forall 1\\leq j\\leq m, j\\neq h$, $x\\notin K_{j}$ and $y\\notin K_{j}$.\nThus $\\{x,y\\}$ is not an independent set.\nBased on the definition of transversal matroid and the fact that $\\mathcal{C}$ is a covering, any single-point set is an independent set.\nThus $\\{x\\}$ or $\\{y\\}$ is an independent set.\nHence, $x,y$ are parallel.\n\\end{proof}\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering and $M(\\mathcal{C})$ the transversal matroid induced by $\\mathcal{C}$.\n$M(\\mathcal{C})$ is a simple matroid if and only if $|A_{i}|=1$ for all $1 \\leq i\\leq s$.\n\\end{proposition}\n\n\\begin{proof}\n\"$\\Rightarrow$\": Since $M(\\mathcal{C})$ is a simple matroid, it dose not contain parallel elements.\nIf there exists $1\\leq i\\leq s$ such that $|A_{i}|\\neq 1$, then $|A_{i}|\\geq 2$ because $A_{i} \\neq \\emptyset$.\nAccording to Lemma 6, $\\forall x,y\\in A_{i}$, $x,y$ are parallel which contradicts the assumption that $M(\\mathcal{C})$ is a simple matroid.\nHence, $\\forall 1 \\leq i\\leq s$, $|A_{i}|=1$.\n\n\"$\\Leftarrow$\": According to the definition of parallel element, if $|A_{i}|=1$, then $M(\\mathcal{C})$ does not contain parallel elements.\nIf $M(\\mathcal{C})$ has parallel elements, we may as well suppose $x,y$ are parallel, then there exists only one block which contains $x,y$.\nHence, there exists $1\\leq i\\leq s$ such that $x,y\\in A_{i}$, that is, $|A_{i}|\\geq 2$.\nThis contradicts the fact that $\\forall 1 \\leq i\\leq s$, $|A_{i}|=1$.\nBased on the definition of transversal matroid  and the fact that $\\mathcal{C}$ is a covering, any single-point set is an independent set, thus $M(\\mathcal{C})$ dose not contain loops.\nHence, $M(\\mathcal{C})$ dose not contain parallel elements and loops which implies that $M(\\mathcal{C})$ is a simple matroid.\n\\end{proof}\n\nThe following two corollaries show that we also have the above results when a covering degenerates into a partition.\n\n\\begin{corollary}\nLet $\\mathcal{P}=\\{P_{1},P_{2},\\cdots,P_{m}\\}$ be a partition.\n$\\mathcal{P}$ is the set of atoms of lattice $\\mathcal{L}(M_{\\mathcal{P}})$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{P}=\\{P_{1}, P_{2}, \\cdots, P_{m}\\}$ be a partition of $E$ and $M(\\mathcal{P})$ the transversal matroid induced by $\\mathcal{P}$. $M(\\mathcal{P})$ is a simple matroid if and only if $|P_{i}|=1$.\n\\end{corollary}\n\nFor a geometric lattice $\\mathcal{L}(M(\\mathcal{C}))$, its atoms are the set of closure of single-points.\nHowever, the closure of any two elements of $E$ may not be the set which covers atoms in this lattice.\nThe following proposition shows in what condition $cl_{M(\\mathcal{C})}(\\{x,y\\})$ covers atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$.\n\n\\begin{proposition}\nFor all $x,y \\in E$, $cl_{M(\\mathcal{C})}(\\{x,y\\})$ covers $cl_{M(\\mathcal{C})}(\\{x\\})$ if and only if there dose not exist $1 \\leq i\\leq s$ such that $x,y \\in A_{i}$.\n\\end{proposition}\n\n\\begin{proof}\n\"$\\Leftarrow$\": $\\forall x,y\\in E$, from $\\{x\\}\\subseteq \\{x,y\\}$, we can obtain $cl_{M(\\mathcal{C})}(\\{x\\})\\subseteq cl_{M(\\mathcal{C})}(\\{x,y\\})$ and $1=r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x\\}))\\leq r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x,y\\}))=r_{M(\\mathcal{C})}(\\{x,y\\})\\leq |\\{x,y\\}|=2$. Now we need to prove $r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x,y\\}))$ $=2$.\nIf $r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x,y\\}))=r_{M(\\mathcal{C})}(\\{x,y\\})=1=r_{M(\\mathcal{C})}(\\{x\\})$, then $y\\in cl_{M(\\mathcal{C})}(\\{x\\})$, thus $x,y \\notin \\mathcal{I}(\\mathcal{C})$, that is, there is only one block contains $x,y$.\nIt means that there exists $A_{i}$ such that $x,y\\in A_{i}$. That contradicts the hypothesis.\nHence, $r_{M(\\mathcal{C})}(cl_{M(\\mathcal{C})}(\\{x,y\\}))=2$, that is, $cl_{M(\\mathcal{C})}(\\{x,y\\})$ covers $cl_{M(\\mathcal{C})}(\\{x\\})$.\n\n\"$\\Rightarrow$\": $\\forall x,y \\in E$, if there exists $A_{i}$ such that $x,y\\in A_{i}$, then there is only one block contains $x,y$, thus $x,y\\notin \\mathcal{I}(\\mathcal{C})$, hence $\\{x,y\\}\\subseteq cl_{M(\\mathcal{C})}(\\{x\\})$.\nThat implies $cl_{M(\\mathcal{C})}(\\{x,y\\})\\subseteq cl_{M(\\mathcal{C})}(\\{x\\})$ which contradicts the assumption that $cl_{M(\\mathcal{C})}(\\{x,y\\})$ covers $cl_{M(\\mathcal{C})}(\\{x\\})$.\n\\end{proof}\n\nThe modular element and the modular pair are core concepts in lattice.\nThe following theorem shows the relationship among modular element, modular pair and rank function of a matriod.\n\n\\begin{theorem}\nLet $M$ be a matriod and $\\mathcal{L}(M)$ the set of all closed sets of $M$.\\\\\n(1) For all $X,Y\\in \\mathcal{L}(M)$, $X$ and $Y$ is a modular pair if and only if $r_{M}(X\\bigcup Y)+r_{M}(X\\bigcap Y)=r_{M}(X)+r_{M}(Y)$.\\\\\n(2) For all $X\\in \\mathcal{L}(M)$, $X$ is a modular element of $\\mathcal{L}(M)$ if and only if $r_{M}(X\\bigcup Y)+r_{M}(X\\bigcap Y)=r_{M}(X)+r_{M}(Y)$, for all $Y\\in \\mathcal{L}(M)$.\n\\end{theorem}\n\n\\begin{proof}\n(1) According to Lemma 1 and Lemma 3, we know $(X,Y)$ is a modular pair if and only if $r_{M}(X)+r_{M}(Y)=r_{M}(X\\bigvee Y)+r_{M}(X\\bigwedge Y)=r_{M}(cl_{M}(X\\bigcup Y))+r_{M}(X\\bigcap Y)=r_{M}(X\\bigcup Y)+r_{M}(X\\bigcap Y)$.\n\n(2) It comes from the definition of modular element and (1).\n\\end{proof}\n\nLet $\\{A_{i}:i\\in \\Gamma\\}$ be the set of atoms of lattice $\\mathcal{L}(M(\\mathcal{C}))$, where $\\Gamma$ denotes the index set.\nThe following theorem shows the relationship among atoms, modular pairs and modular elements.\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering and $\\mathcal{L}(M(\\mathcal{C}))$ the set of all closed sets of transversal matroid $M(\\mathcal{C})$ induced by $\\mathcal{C}$.\nFor all $i,j\\in \\Gamma$\\\\\n(1) $(A_{i},A_{j})$ is a modular pair of $\\mathcal{L}(M(\\mathcal{C}))$.\\\\\n(2) $A_{i}$ is a modular element of $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{theorem}\n\n\\begin{proof}\n(1) Since $\\mathcal{C}$ is a covering, $cl_{M(\\mathcal{C})}(\\emptyset)=\\emptyset$.\n$A_{i}$ and $A_{j}$ are atoms, so $A_{i}\\bigcap A_{j}=\\emptyset$.\nAccording to Theorem 3, we need to prove $r_{M(\\mathcal{C})}(A_{i}\\bigcup A_{j})+r_{M(\\mathcal{C})}(A_{i}\\bigcap A_{j})=r_{M(\\mathcal{C})}(A_{i})+r_{M(\\mathcal{C})}(A_{j})$, that is, $r_{M(\\mathcal{C})}(A_{i}\\bigcup A_{j})=2$.\nAccording to the submodular inequality of $r_{M(\\mathcal{C})}$, we have $r_{M(\\mathcal{C})}(A_{i}\\bigcup A_{j})+r_{M(\\mathcal{C})}(A_{i}\\bigcap A_{j})\\leq r_{M(\\mathcal{C})}(A_{i})+r_{M(\\mathcal{C})}(A_{j})$, that is, $1 \\leq r_{M(\\mathcal{C})}(A_{i}\\bigcup A_{j})\\leq 2$.\nIf $r_{M(\\mathcal{C})}(A_{i}\\bigcup A_{j})=1=r_{M(\\mathcal{C})}(A_{i})$, then $A_{j}\\subseteq cl_{M(\\mathcal{C})}(A_{i})=A_{i}$ which contradicts that $A_{i}\\bigcap A_{j}=\\emptyset$.\\\\\n(2) $A_{i}$ is a modular element of $\\mathcal{L}(M(\\mathcal{C}))$ if and only if $r_{M(\\mathcal{C})}(A_{i}\\bigcup A)+r_{M(\\mathcal{C})}(A_{i}\\bigcap A)\\\\=r_{M(\\mathcal{C})}(A_{i})+r_{M(\\mathcal{C})}(A)$ for all $A\\in \\mathcal{L}(M(\\mathcal{C}))$.\n\nCase 1: If $A_{i}$ and $A$ are comparable, that is, $A_{i}\\subseteq A$, then $r_{M(\\mathcal{C})}(A_{i}\\bigcup A)+r_{M(\\mathcal{C})}(A_{i}\\bigcap A)=r_{M(\\mathcal{C})}(A_{i})+r_{M(\\mathcal{C})}(A)$.\n\nCase 2: If $A_{i}$ and $A$ are not comparable, there are two cases.\nOne is that $A$ is an atom of $\\mathcal{L}(M(\\mathcal{C}))$, the other is that $A$ is not an atom of $\\mathcal{L}(M(\\mathcal{C}))$.\nIf $A$ is a atom of $\\mathcal{L}(M(\\mathcal{C}))$, then we obtain the result from (1).\nIf $A$ is not an atom of $\\mathcal{L}(M(\\mathcal{C}))$, then $A\\bigcap A_{i}=\\emptyset$.\nHence, $r_{M(\\mathcal{C})}(A)\\leq r_{M(\\mathcal{C})}(A\\bigcup A_{i})\\leq r_{M(\\mathcal{C})}(A)+1$.\nIf $r_{M(\\mathcal{C})}(A\\bigcup A_{i})= r_{M(\\mathcal{C})}(A)$, then $A_{i}\\subseteq cl_{M(\\mathcal{C})}(A)=A$ which contradicts that $A_{i}\\bigcap A=\\emptyset$.\nHence, $r_{M(\\mathcal{C})}(A\\bigcup A_{i})=r_{M(\\mathcal{C})}(A)+1$.\n\nIn a word, for all $A\\in \\mathcal{L}(M(\\mathcal{C}))$, $r_{M(\\mathcal{C})}(A_{i}\\bigcup A)+r_{M(\\mathcal{C})}(A_{i}\\bigcap A)=r_{M(\\mathcal{C})}(A_{i})+r_{M(\\mathcal{C})}(A)$, that is, $A_{i}$ is a modular element of $\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{proof}\n\n\\begin{corollary}\nLet $\\mathcal{L}(M(\\mathcal{P}))$ be the set of all closed sets of transversal matroid induced by $\\mathcal{P}$.\nFor all $P_{i},P_{j}\\in \\mathcal{P}$\\\\\n(1) $(P_{i},P_{j})$ is a modular pair of $\\mathcal{L}(M(\\mathcal{P}))$.\\\\\n(2) $P_{i}$ is a modular element of $\\mathcal{L}(M(\\mathcal{P}))$.\n\\end{corollary}\n\nThe following lemma shows how to induce a matroid by a lattice.\nIn fact, if a function $f$ on a lattice is a non-negative, inter-valued, submodular and  $f(\\emptyset)=0$, then it can determine a matroid.\n\n\\begin{lemma}\\cite{Oxley93Matroid}\nLet $\\mathcal{L}_{E}$ be a lattice such that $\\mathcal{L}_{E}$ is closed under intersection, and contains $\\emptyset$ and $E$.\nSuppose that $f$ is a non-negative, inter-valued, submodular function on $\\mathcal{L}_{E}$ for which $f(\\emptyset)=0$.\nLet $\\mathcal{I}(\\mathcal{L}_{E},f)=\\{X\\subseteq E:f(X)\\geq |X\\bigcap T|, \\forall T\\in \\mathcal{L}_{E}\\}$.\n$\\mathcal{I}(\\mathcal{L}_{E},f)$ is the collection of independent sets of a matroid on $E$.\n\\end{lemma}\n\nAccording to the definition of $\\mathcal{L}(M(\\mathcal{C}))$, we find that $\\mathcal{L}(M(\\mathcal{C}))$ is closed under intersection, and contains $\\emptyset$ and $E$.\nMoreover, the rank function is a non-negative, inter-valued, submodular function on $\\mathcal{L}(M(\\mathcal{C})$ for which $r_{M(\\mathcal{C})}(\\emptyset)=0$.\nSimilar to Lemma 7, we can obtain the following theorem.\n\n\\begin{theorem}\nLet $\\mathcal{L}(M(\\mathcal{C}))$ be the set of all closed sets of transversal matroid induced by $\\mathcal{C}$.\nWe define $\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C})), r_{M(\\mathcal{C})})=\\{X\\subseteq E:r_{M(\\mathcal{C})}(Y)\\geq |X\\bigcap Y|,\\forall Y\\in \\mathcal{L}(M(\\mathcal{C}))\\}$, then $M(E,\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}),r_{M(\\mathcal{C})}))$ is a matriod.\n\\end{theorem}\n\nFrom above theorem, we find that the matroid induced by a geometric lattice is the same as the transversal matroid which generates the geometric lattice. While the concert form of rank function of transversal matroid is difficult to be expressed.\nThe following theorem solves this problem.\n\n\\begin{theorem}\nLet $\\mathcal{L}(M(\\mathcal{C}))$ be the set of all closed sets of transversal matriod induced by covering $\\mathcal{C}$ and $r_{\\mathcal{L}(M(\\mathcal{C}))}$ the rank function of $M(E,\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}),r_{M(\\mathcal{C})}))$. $r_{\\mathcal{L}(M(\\mathcal{C}))}\\\\(X)=min_{Y\\in \\mathcal{L}(M_{\\mathcal{C}})}(r_{M(\\mathcal{C})}(X)+|X-Y|)$.\n\\end{theorem}\n\n\\begin{proof}\n$X\\in \\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}), r_{M(\\mathcal{C})}) \\Leftrightarrow \\forall Y\\in \\mathcal{L}(M(\\mathcal{C}))$, $r_{M(\\mathcal{C})}(Y)\\geq |X\\bigcap Y|=|X|-|X-Y| \\Leftrightarrow \\forall Y\\in \\mathcal{L}(M(\\mathcal{C}))$, $|X|\\leq r_{M(\\mathcal{C})}(Y)+|X-Y| \\Leftrightarrow \\forall Y\\in \\mathcal{L}(M(\\mathcal{C})$, $r_{\\mathcal{L}(M(\\mathcal{C}))}(X)=|X|\\leq r_{M(\\mathcal{C})}(Y)+|X-Y| \\Leftrightarrow r_{\\mathcal{L}(M(\\mathcal{C}))}(X)=min_{Y\\in \\mathcal{L}(M(\\mathcal{C}))}(r_{M(\\mathcal{C})}\\\\(X)+|X-Y|)$.\n\\end{proof}\n\nFor any given matroid $M$, we know that for all $X\\subseteq E$, $X$ is an independent set if and only if $r_{M}(X)=|X|$.\nBased on the properties of rank function, we have $r_{M}(X)\\leq |X|$.\nHence, $X$ is an independent set if and only if $r_{M}(X)\\geq |X|$.\n\n\\begin{lemma}\nLet $M$ be a matroid.\n$X$ is an independent set of $M$ if and only if for all closed set of $Y$, $r_{M}(Y)\\geq |X\\bigcap Y|$.\n\\end{lemma}\n\n\\begin{proof}\n\"$\\Rightarrow$\": Since $X\\bigcap Y\\subseteq X$ for all closed set $Y$ and $X$ is an independent set, $X\\bigcap Y$ is an independent set of $M$.\nHence, $r_{M}(Y)\\geq r_{M}(X\\bigcap Y)\\geq |X\\bigcap Y|$.\n\n\"$\\Leftarrow$\": For all closed set $Y$, $r_{M}(Y)\\geq |X\\bigcap Y|$. Especially, for $Y=cl_{M}(X)$, we have $r_{M}(X)=r_{M}(cl_{M}(X))=r_{M}(Y)\\geq |X\\bigcap Y|=|X|$.\nHence, $X$ is an independent set of matroid $M$.\n\\end{proof}\n\nThe following theorem shows that there is a one-to-one correspondence between geometric lattices and transversal matroids in the context of covering-based rough sets.\n\n\\begin{theorem}\nLet $r_{\\mathcal{L}(M(\\mathcal{C}))}$ be the rank function of $M(E,\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}),r_{M(\\mathcal{C})}))$. $\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}),\\\\r_{M(\\mathcal{C})})=\\mathcal{I}(M(\\mathcal{C}))$ and $r_{\\mathcal{L}(M(\\mathcal{C}))}(X)=r_{M(\\mathcal{C})}(X)$ for all $X\\subseteq E$.\n\\end{theorem}\n\n\\begin{proof}\nAccording to Lemma 8, we know that $\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}), r_{M(\\mathcal{C})})=\\{X\\subseteq E:r_{M(\\mathcal{C})}(Y)\\\\\\geq |X\\bigcap Y|,\\forall Y\\in \\mathcal{L}(M(\\mathcal{C}))\\}$ and $\\mathcal{I}(\\mathcal{C})=\\{X\\subseteq E:r_{M(\\mathcal{C})}(X)= |X|\\}$ are equivalent, that is, $M(E,\\mathcal{I}(\\mathcal{L}(M(\\mathcal{C}),r_{M(\\mathcal{C})}))$ and $M(E,\\mathcal{I}(\\mathcal{C}))$ are equivalent. So does $r_{\\mathcal{L}(M(\\mathcal{C}))}(X)=r_{M(\\mathcal{C})}(X)$ for all $X\\subseteq E$.\n\\end{proof}\n\nWe know that $\\mathcal{I}(\\mathcal{P})=\\{X\\subseteq E:|X\\bigcap P_{i}|\\leq 1\\}$ is the family of all partial transversal of partition $\\mathcal{P}$. For all $X\\subseteq E$, $r_{M(\\mathcal{P})}(X)=max \\{|I|: I\\subseteq X, I\\in \\mathcal{I}(\\mathcal{P})\\}=|\\{P_{i}: P_{i}\\bigcap X\\neq \\emptyset\\}|$.   According to Lemma 2, we know that for all closed set $X,Y$ of matroid $M$, $X\\bigvee Y=cl_{M}(X\\bigcup Y)$.\nIf the matroid is $M(\\mathcal{P})$, then $X\\bigwedge Y=X\\bigcup Y$.\n\n\\begin{lemma}\\cite{ZhuWang11Matroidal}\nIf $R$ is an equivalence relation on $E$ and $M$ is the matroid, then $cl_{M}=R^{\\ast}$ for all $X\\subseteq E$.\n\\end{lemma}\n\n\\begin{lemma}\nLet $M(\\mathcal{P})$ be a transversal matroid induced by $\\mathcal{P}$ and $\\mathcal{L}(M(\\mathcal{P}))$ the set of all closed sets of transversal matriod induced by $\\mathcal{P}$, $X,Y\\in \\mathcal{L}(M(\\mathcal{P}))$. $X\\bigvee Y=X\\bigcup Y$.\n\\end{lemma}\n\n\\begin{proof}\n$X\\bigvee Y=cl_{M(\\mathcal{P})}(X\\bigcup Y)=R^{\\ast}(X\\bigcup Y)=R^{\\ast}(X)\\bigcup R^{\\ast}(Y)=cl_{M(\\mathcal{P})}(X)\\bigcup\\\\ cl_{M(\\mathcal{P})}(Y)=X\\bigcup Y$.\n\\end{proof}\n\n\\begin{proposition}\nLet $r_{\\mathcal{L}(M(\\mathcal{P}))}$ be the rank function of $M(E,\\mathcal{I}(\\mathcal{L}(M(\\mathcal{P}),r_{M(\\mathcal{P})}))$. $\\mathcal{I}(\\mathcal{L}\\\\(M(\\mathcal{P}),r_{M(\\mathcal{P})})=\\mathcal{I}(M(\\mathcal{P}))$ and $r_{\\mathcal{L}(M(\\mathcal{P}))}(X)=r_{M(\\mathcal{P})}(X)$ for all $X\\subseteq E$.\n\\end{proposition}\n\n\\begin{proof}\nWe need to prove only $\\mathcal{I}(\\mathcal{L}(M(\\mathcal{P}),r_{M(\\mathcal{P})})=\\mathcal{I}(M(\\mathcal{P}))$.\n$\\forall X\\in \\mathcal{I}(\\mathcal{L}(M(\\mathcal{P}),\\\\r_{M(\\mathcal{P})})$, $r_{M(\\mathcal{P})}(Y)\\geq |X\\bigcap Y|$ for all $Y\\in \\mathcal{L}(M(\\mathcal{P}))$.\nSince $P_{i}\\in \\mathcal{L}(M(\\mathcal{P}))$, $|X\\bigcap P_{i}|\\\\\\leq r_{M(\\mathcal{P})}(P_{i})=1$. Thus $X\\in \\mathcal{I}(M(\\mathcal{P}))$.\nHence, $\\mathcal{I}(\\mathcal{L}(M(\\mathcal{P}),r_{M(\\mathcal{P})})\\subseteq \\mathcal{I}(M(\\mathcal{P}))$.\nAccording to Lemma 4 and Lemma 10, for all $Y\\in \\mathcal{L}(M(\\mathcal{P}))$, there exists $K\\subseteq \\{1,2,\\cdots m\\}$ such that $Y=\\bigvee_{i\\in K}P_{i}=\\bigcup_{i\\in K}P_{i}$, $r_{M(\\mathcal{P})}(Y)=|K|$ and $|X\\bigcap Y|=|X\\bigcap (\\bigcup_{i\\in K}P_{i})|=|\\bigcup_{i\\in K}(X\\bigcap P_{i})|=\\sum_{i\\in K}|X\\bigcap P_{i}|$.\nFor all $X\\in \\mathcal{I}(M(\\mathcal{P}))$, $|X\\bigcap P_{i}|\\leq 1$, $|X\\bigcap Y|=\\sum_{i\\in K}|X\\bigcap P_{i}|\\leq |K|=r_{M(\\mathcal{P})}(Y)$, that is, $\\mathcal{I}(M(\\mathcal{P}))\\subseteq \\mathcal{I}(\\mathcal{L}(M(\\mathcal{P}),r_{M(\\mathcal{P})})$.\n\\end{proof}\n\n\n\\section{Three geometric lattice structures of covering-based rough sets through approximation operators}\n\\label{S:Matroidalstructuresbasedonthreetypesofupperapproximations}\n\nA geometric lattice structure of covering-based rough sets is established through the transversal matroid induced by the covering, and its\ncharacteristics including atoms, modular elements and modular pairs are studied in Section~\\ref{S:Thepropertiesoftheclosedsetlatticeofmatroidinducedbycovering}.\nIn this section, we study the matroid and the structure of geometric lattice of a matroid from the viewpoint of upper approximations.\nThe condition of three types of upper approximations to be a matroidal closure operator is obtained and the properties of matroids and their geometric lattice structures induced by them are also established.\n\nPomykala first studied the second type of covering rough set model~\\cite{Pomykala87Approximation}. Zhu and Wang studied the axiomatization of this type of approximation and the relationship between it and the $Kuratowski$ closure operator in \\cite{ZhuWang07OnThree}.\nProposition 9 below gives some properties of this operator.\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering on $E$. $SH$ has the following properties:\\\\\n(1) $SH(\\emptyset)=\\emptyset$\\\\\n(2) $X\\subseteq SH(X)$ for all $X\\subseteq E$\\\\\n(3) $SH(X\\bigcup Y)=SH(X)\\bigcup SH(Y)$\\\\\n(4) $x\\in SH(\\{y\\})\\Leftrightarrow y\\in SH(\\{x\\})$\\\\\n(5) $X\\subseteq Y\\subseteq E\\Rightarrow SH(X)\\subseteq SH(Y)$\\\\\n(6) $\\forall x,y \\in E, y \\in SH(X\\bigcup \\{x\\})-SH(X)$, then $x\\in SH(X\\bigcup \\{y\\})$.\n\\end{proposition}\n\n\\begin{proof}\n$(1)-(5)$ were shown in~\\cite{Pomykala87Approximation,Zakowski83Approximations,ZhangLiWu10OnAxiomatic}.\nHere we prove only (6).\nAccording to (3), we know $SH(X\\bigcup \\{x\\})-SH(X)=SH(X)$ $\\bigcup SH(\\{x\\})-SH(X)=SH(\\{x\\})-SH(X)$.\nIf $y\\in SH(X\\bigcup \\{x\\})-SH(X)$, then $y\\in SH(\\{x\\})$.\nAccording to (4) and (5), we have $x\\in SH(\\{y\\})\\subseteq SH(X\\bigcup \\{y\\})$.\n\\end{proof}\n\nWe find that the idempotent of $SH$ is not valid, so what is the conditions that guarantee it holds for $SH$?\nWe have the following conclusion.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. $SH(SH(X))=SH(X)$ if and only if $\\{I(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{proposition}\n\n\\begin{proof}\n\"$\\Leftarrow$\": According to (2), (5) of Proposition 9, we have $SH(X)\\subseteq SH(SH(X))$.\nNow we prove $SH(SH(X))\\subseteq SH(X)$.\nFor all $x\\in SH(SH(X))$, there exists $y\\in SH(X)$ such that $x\\in I(y)$.\nSince $y\\in SH(X)$, there exists $z\\in X$ such that $y\\in I(z)$.\nAccording to the definition of $I(y)$, we know $y\\in I(y)$, thus $I(z)\\bigcap I(y)\\neq \\emptyset$.\nFor $\\{I(x):x\\in E\\}$ forms a partition, $I(z)=I(y)$.\nSince $x\\in I(y)$, $x\\in I(z)$, that is, $x\\in SH(X)$, thus $SH(SH(X))\\subseteq SH(X)$.\n\n\"$\\Rightarrow\"$: In order to prove $\\{I(x):x\\in E\\}$ forms a partition, we need to prove that for all $x, y \\in E$, if $I(x)\\bigcap I(y)\\neq \\emptyset$, then $I(x)=I(y)$.\nIf $I(x)\\bigcap I(y)\\neq \\emptyset$, then there exists $z\\in I(x)\\bigcap I(y)$.\nFor $SH(SH(\\{x\\}))=\\bigcup\\{I(u):u\\in I(x)\\}$ and $z\\in I(x)$, then $I(z)\\subseteq SH(SH(\\{x\\}))=SH(\\{x\\})=I(x)$.\nBased on the definition of $I(z)$ and $z\\in I(x)$, we have $x\\in I(z)$, thus $I(x)\\subseteq SH(SH(\\{z\\}))=SH(\\{z\\})=I(z)$.\nHence, $I(x)=I(z)$.\nSimilarly, we can obtain $I(y)=I(z)$, thus $I(x)=I(z)=I(y)$.\n\\end{proof}\n\nFrom the above proposition, it is easy to obtain the following theorem.\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering. $SH$ is a closure operator of matriod if and only if $\\{I(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{theorem}\n\n\\begin{proof}\nIt comes from (2),(5) and (6) of Proposition 2, 9 and 10.\n\\end{proof}\n\n\\begin{definition}\nLet $\\mathcal{C}$ be a covering. If $\\{I(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition, then we define $\\mathcal{I}^{'}=\\{I\\subseteq E: |I\\bigcap I(x_{i})|\\leq 1,\\forall i\\in \\{1,2,\\cdots,s\\}\\}$.\n\\end{definition}\n\nAs we know, if $\\{I(x):x\\in E\\}$ forms a partition, then $M(E, \\mathcal{I}^{'})$ is a matroid.\nUnder this condition, we know that $SH$ is a closure operator of a matroid, thus it can determine a matroid, and its independent set is established as follows.\n\\begin{center}\n $\\mathcal{I}_{SH}(\\mathcal{C})=\\{I\\subseteq E: \\forall x\\in I, x\\notin SH(I-\\{x\\})\\}$.\n\\end{center}\nThe following proposition shows $M(E, \\mathcal{I}_{SH})=M(E, \\mathcal{I}^{'})$ under the condition that $\\{I(x):x\\in E\\}$ forms a partition.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. If $\\{I(x):x\\in U\\}$ induced by $\\mathcal{C}$ forms a partition, then $M(E, \\mathcal{I}_{SH}(\\mathcal{C}))$ is a matroid and $\\mathcal{I}_{SH}(\\mathcal{C})=\\mathcal{I}^{'}$.\n\\end{proposition}\n\n\\begin{proof}\nLet $\\mathcal{I}_{cl}=\\{I\\subseteq E: \\forall x\\in I, x\\notin cl(I-\\{x\\})\\}$.\nwe know that if an operator $cl$ satisfies $(1)-(4)$ of Proposition 2, $M(E, \\mathcal{I}_{cl})$ is a matroid.\n$\\{I(x):x\\in U\\}$ induced by $\\mathcal{C}$ forms a partition, hence, $M(E, \\mathcal{I}_{SH}(\\mathcal{C}))$ is a matroid.\nSince $SH(I)=\\bigcup_{y\\in I}I(y)$, $SH(I-\\{x\\})=\\bigcup_{y\\in I-\\{x\\}}I(y)$.\nAccording to the definition of $I(x)$, we know $x\\in I(x)$.\nOn one hand, for all $I\\in \\mathcal{I}_{SH}(\\mathcal{C})$, we know that $\\forall x\\in I$, $x\\notin SH(I-\\{x\\})$, that is, $\\forall y\\in I$ and $y\\neq x$, $x\\notin I(y)$.\nIf $I\\notin \\mathcal{I}^{'}$, that is, there exists $1 \\leq i \\leq s$ such that $|I\\bigcap I(x_{i})|\\geq 2$, then we may as well suppose there exist $u, v$ such that $u,v\\in I(x_{i})$ and $u,v\\in I$.\nSince $u\\in I(u), v\\in I(v)$ and $\\{I(x):x\\in E\\}$ forms a partition, $I(u)=I(v)=I(x_{i})$.\nBased on that, we know there exists $u\\in I$ and $u\\neq v$ such that $u\\in I(v)$, that implies contradiction. Hence, $I\\in \\mathcal{I}^{'}$, that is, $\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq\\mathcal{I}^{'}$.\nOn the other hand, if $I\\notin \\mathcal{I}_{SH}(\\mathcal{C})$, then there exists $x\\in I$ such that $x\\in SH(I-\\{x\\})=\\bigcup_{y\\in I-\\{x\\}}I(y)$. That implies that there exists $y\\in I$ and $y\\neq x$ such that $x\\in I(y)$.\nSince $x\\in I(x)$ and $\\{I(x):x\\in U\\}$ forms a partition,  $I(x)=I(y)$.\nThus $x,y\\in I\\bigcap I(x)$, that implies $|I\\bigcap I(x)|\\geq 2$, i.e., $I\\notin \\mathcal{I}^{'}$.\nHence, $\\mathcal{I}^{'}\\subseteq \\mathcal{I}_{SH}(\\mathcal{C})$.\n\\end{proof}\n\nIn the following proposition, we study some properties of $M(E, \\mathcal{I}_{SH})$.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. If $\\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s})\\}$ induced by $\\mathcal{C}$ forms a partition and $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ is the matriod induced by $SH$, then\\\\\n(1) $X$ is a base of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ if and only if $|X\\bigcap I(x_{i})|=1$ for all $i\\in \\{1,2,\\cdots,s\\}$. Moreover, $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ has $|I(x_{1})||I(x_{2})|\\cdots |I(x_{s})|$ bases.\\\\\n(2) For all $X\\subseteq E$, $r_{SH}(X)=|\\{I(x_{i}):I(x_{i})\\bigcap X\\neq \\emptyset,i=1,2,\\cdots,s\\}|$.\\\\\n(3) $X$ is a dependent set of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ if and only if there exists $I(x_{i})$ such that $|I(x_{i})\\bigcap X|>1$.\\\\\n(4) $X$ is a circuit of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ if and only if there exists $I(x_{i})$ such that $X\\subseteq I(x_{i})$ and $|X|=2$.\n\\end{proposition}\n\n\\begin{proof}\n(1) According to the definition of base of a matroid, we know that $X$ is a base of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ $\\Leftrightarrow$ $X\\in max(\\mathcal{I}_{SH}(\\mathcal{C}))$ $\\Leftrightarrow$ $|X\\bigcap I(x_{i})|=1$ for all $i\\in \\{1,2,\\cdots,s\\}$ according to the definition of $\\mathcal{I}_{SH}(\\mathcal{C})$.\nSince $X$ is a base of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ and $\\{I(x_{1}),\\\\I(x_{2}), \\cdots, I(x_{s})\\}$ are different, $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$ has $|I(x_{1})||I(x_{2})|\\cdots |I(x_{s})|$ bases.\n\n(2) According to the definition of rank function, we know $r_{SH}(X)=|B_{X}|=|\\{I(x_{i}):|B_{X}\\bigcap I(x_{i})|=1\\}|\\leq |\\{I(x_{i}): X\\bigcap I(x_{i})\\neq \\emptyset\\}|$, where $B_{X}$ is a maximal independent set included in $X$.\nNow we just need to prove the inequality $|\\{I(x_{i}):|B_{X}\\bigcap I(x_{i})|=1\\}|< |\\{I(x_{i}): X\\bigcap I(x_{i})\\neq \\emptyset\\}|$ dose not hold;\notherwise, there exists $1\\leq i\\leq s$ such that $I(x_{i})\\bigcap X\\neq\\emptyset$ and $I(x_{i})\\bigcap B_{X}=\\emptyset$.\nThus there exists $e_{i}\\in I(x_{i})\\bigcap X$ such that $B_{X}\\bigcup \\{e_{i}\\}\\subseteq X$ and $B_{X}\\bigcup \\{e_{i}\\}\\in \\mathcal{I}_{SH}(\\mathcal{C})$.\nThat contradicts the assumption that $B_{X}$ is a maximal independent set included in $X$.\nHence, $r_{SH}(X)=|\\{I(x_{i}):I(x_{i})\\bigcap X\\neq \\emptyset,i=1,2,\\cdots,s\\}|$.\n\n(3) According to the definition of dependent set, we know that $X$ is a dependent set $\\Leftrightarrow$ $X\\notin \\mathcal{I}_{SH}(\\mathcal{C})$ $\\Leftrightarrow$ there exists $1 \\leq i\\leq s$ such that $|X\\bigcap I(x_{i})|> 1$.\n\n(4) \"$\\Rightarrow$\": As we know, a circuit is a minimal dependent set.\n$X$ is a circuit of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$, there exists $1\\leq i\\leq s$ such that $|I(x_{i})\\bigcap X|=2$.\nNow we just need to prove $|X|=2$; otherwise, we may as well suppose $X=\\{x,y,z\\}$ where $x,y\\in I(x_{i})\\bigcap X$.\nThus we can obtain $|(X-\\{z\\})\\bigcap I(x_{i})|=2$, that is, $X-\\{z\\}\\notin \\mathcal{I}_{SH}(\\mathcal{C})$.\nThat contradicts the minimality of circuit.\nCombining $|X|=2$ with $|I(x_{i})\\bigcap X|=2$, we have $X\\subseteq I(x_{i})$.\n\n\"$\\Leftarrow$\": Since $|X|=2$, we may as well suppose $X=\\{x,y\\}$.\n$|X\\bigcap I(x_{i})|=2$ because there exists $I(x_{i})$ such that $X\\subseteq I(x_{i})$, thus $X$ is a dependent set.\nFor all $1\\leq j\\leq s$, $|\\{x\\}\\bigcap I(x_{j})|\\leq 1$ and $|\\{y\\}\\bigcap I(x_{j})|\\leq 1$.\nThat implies $\\{x\\}$ and $\\{y\\}$ are independent sets, hence $X$ is a circuit of $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$.\n\\end{proof}\n\nWe denote $\\mathcal{L}_{SH}(M(\\mathcal{C}))$ as the set of all closed sets of $M(U,\\mathcal{I}_{SH}(\\mathcal{C}))$.\nWhen $\\{I(x_{1}),\\\\\nI(x_{2}), \\cdots,I(x_{s}\\}$ forms a partition, for all $X,Y\\in \\mathcal{L}_{SH}(M(\\mathcal{C}))$, $X\\bigwedge Y=X\\bigcap Y$, $X\\bigvee Y=SH(X\\bigcup Y)=SH(X)\\bigcup SH(Y)=X\\bigcup Y$ and $SH(\\emptyset)=\\emptyset$.\n\n\\begin{proposition}\nIf $\\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s}\\}$ forms a partition, then\\\\\n(1) $\\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s})\\}$ are all atoms of $\\mathcal{L}({\\mathcal{M}_{SH}})$.\\\\\n(2) There dose not exist $z\\in U$ such that $x,y\\in I(z)$ if and only if $SH(\\{x,y\\})$ covers $SH(\\{x\\})$ or $SH(\\{y\\})$.\\\\\n(3) $\\forall 1\\leq i,j \\leq s,(I(x_{i}),I(x_{j}))$ is a modular pair of $\\mathcal{L}_{SH}(M(\\mathcal{C}))$.\\\\\n(4) $\\forall 1\\leq i\\leq s,I(x_{i})$ is a modular element of $\\mathcal{L}_{SH}(M(\\mathcal{C}))$.\n\\end{proposition}\n\n\\begin{proof}\n(1) comes from Corollary 1, Theorem 8 and Proposition 11.\nBased on Proposition 4 and Theorem 8, we can obtain (2).\nAccording to Corollary 3, Theorem 8 and proposition 11, it is easy to obtain (3) and (4).\n\\end{proof}\n\nBased on Theorem 8, we know that the condition on which $SH$ becomes a closure operator of a matroid is that $\\{I(x):x\\in E\\}$ forms a partition.\nProposition 14 and 15 below show what kinds of coverings can satisfy this condition.\n\n\\begin{lemma}\nLet $\\mathcal{C}$ be a covering, $K\\in \\mathcal{C}$.\nIf $K$ is an immured element, then $I(x)$ is the same in $\\mathcal{C}$ as in $\\mathcal{C}-\\{K\\}$.\n\\end{lemma}\n\n\\begin{proof}\nIf $x\\notin K$, then $I_{\\mathcal{C}}(x)=I_{\\mathcal{C}-\\{K\\}}(x)$.\nIf $x\\in K$, then $I_{\\mathcal{C}}(x)=\\bigcup_{x\\in K^{'}}K^{'}\\bigcup K$.\nSince $K$ is an immured element, there exists $x\\in K^{'}$ such that $K\\subseteq K^{'}$.\nThus $I_{\\mathcal{C}}(x)=\\bigcup_{x\\in K^{'}}K^{'}\\bigcup K=\\bigcup_{x\\in K^{'}}K^{'}=I_{\\mathcal{C}-\\{K\\}}(x)$.\nHence, $I(x)$ is the same in $\\mathcal{C}$ as in $\\mathcal{C}-\\{K\\}$.\n\\end{proof}\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering.\nIf $exclusion(\\mathcal{C})$ is a partition, then $\\{I(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{proposition}\n\n\\begin{proof}\nSince $exclusion(\\mathcal{C})$ is a partition of $E$, $\\{I(x):x\\in E\\}$ induced by $exclusion(\\mathcal{C})$ forms a partition.\nSuppose $\\{K_{1},K_{2},\\cdots, K_{s}\\}$ is the set all immured elements of $\\mathcal{C}$.\nAccording to Lemma 11, we have $\\forall x\\in E$, $I(x)$ is the same in $exclusion(\\mathcal{C})$ as in $exclusion(\\mathcal{C})\\bigcup \\{K_{1}\\}$.\nThus $\\{I(x):x\\in E\\}$ induced by $exclusion(\\mathcal{C})\\bigcup\\{K_{1}\\}$ forms a partition.\nAnd the rest may be deduced by analogy, we know that $\\forall x\\in E$, $I(x)$ is the same in $exclusion(\\mathcal{C})$ as in $\\mathcal{C}$, thus $\\{I(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{proof}\n\nThe proposition below establishes the necessary and sufficient condition of $\\{I(x):x\\in E\\}$ forms a partition.\n\n\\begin{proposition}\n$\\{I(x):x\\in E\\}$ induced by $\\mathcal {C}$ forms a partition if and only if $\\mathcal{C}$ satisfies\n$(TRA)$ condition: $\\forall x,y,z \\in E$, $x,z\\in K_{1}\\in \\mathcal{C}$, $y,z\\in K_{2}\\in \\mathcal{C}$, there exists $K_{3}\\in \\mathcal{C}$ such that $x,y\\in K_{3}$.\n\\end{proposition}\n\n\\begin{proof}\n\"$\\Leftarrow$\": $\\forall x,y\\in E$, $I(x)\\bigcap I(y)=\\emptyset$ or $I(x)\\bigcap I(y)\\neq \\emptyset$.\nIf $I(x)\\bigcap I(y)\\neq \\emptyset$, then there exists $z\\in I(x)$ and $z\\in I(y)$.\nAccording to the definition of $I(x)$ and $I(y)$, there exist $K_{1}, K_{2}$ such that $x,z\\in K_{1}$ and $y,z\\in K_{2}$.\nAccording to hypothesis, we know $\\exists K_{3}\\in \\mathcal{C}$ such that $x,y\\in K_{3}$.\nNow we need to prove only $I(x)=I(y)$. $\\forall u\\in I(x)$, there exists $K$ such that $u, x\\in K$.\nSince $x,y\\in K_{3}$, there exists $K^{'}$ such that $u,y\\in K^{'}$, that is, $u\\in I(y)$, thus $I(x)\\subseteq I(y)$.\nSimilarly, we can prove $I(y)\\subseteq I(x)$.\nHence, $I(x)=I(y)$, that is, $\\{I(x):x\\in E\\}$ forms a partition.\n\n\"$\\Rightarrow$\": $\\forall x,y,z \\in E$, $x,z\\in K_{1}\\in \\mathcal{C}$ and $y,z\\in K_{2}\\in \\mathcal{C}$, we can obtain $z\\in I(x)$ and $z\\in I(y)$. That implies $I(x)\\bigcap I(y)\\neq \\emptyset$.\nSince $\\{I(x):x\\in E\\}$ forms a partition, $I(x)=I(y)$.\nThus there exists $K_{3}\\in \\mathcal{C}$ such that $x,y\\in K_{3}$.\n\\end{proof}\n\n\\begin{theorem}\n$\\mathcal{C}$ satisfies $(TRA)$ condition if and only if $SH$ induced by $\\mathcal{C}$ is a closure operator of a matroid.\n\\end{theorem}\n\n\\begin{proof}\nIt comes from Theorem 8 and Proposition 15.\n\\end{proof}\nThe sixth type of covering-based upper approximation was first defined in~\\cite{XuWang05On}.\nXu and Wang introduced this type of covering-based rough set model and studied the relationship between it and binary relation based rough set model. Proposition 16 below gives some properties of this covering upper approximation operator.\n\n\\begin{proposition}\\cite{Zhu09RelationshipBetween}\nLet $\\mathcal{C}$ be a covering of $U$. $XH$ has the following properties:\\\\\n(1) $XH(U)=U$\\\\\n(2) $XH(\\emptyset)=\\emptyset$\\\\\n(3) $X\\subseteq XH(X)$\\\\\n(4) $XH(X\\bigcup Y)=XH(X)\\bigcup XH(Y)$\\\\\n(5) $XH(XH(X))=XH(X)$\\\\\n(6) $X\\subseteq Y \\Rightarrow XH(X)\\subseteq XH(Y)$\n\\end{proposition}\n\n\\begin{proposition}\n$XH$ satisfies: $\\forall x,y\\in E$, $X\\subseteq E$,\n\\begin{center}\n$y \\in XH(X \\bigcup \\{x\\})-XH(X)\\Rightarrow x\\in XH (X\\bigcup \\{y\\})$\n\\end{center}\nif and only if $\\{N(x):x\\in E\\}$ forms a partition.\n\\end{proposition}\n\n\\begin{proof}\n$\\Rightarrow$: $\\forall x,y\\in E$, if $N(x)\\bigcap N(y)\\neq \\emptyset$, then there exists $z\\in N(x)\\bigcap N(y)$.\nLet $X=\\emptyset$.\nAccording to $(2)$ of Proposition 16, we know that if $y\\in XH(\\{x\\})$ then $x\\in XH(y)$, that is, if $x\\in N(y)$ then $y\\in N(x)$.\nSince $z\\in N(y)$, $N(z)\\subseteq N(y)$.\nAccording to the assumption, we also have $y\\in N(z)$, that is, $N(y)\\subseteq N(x)$.\nThus $N(x)=N(z)$.\nSimilarly, $z\\in N(y)$, we have $N(z)=N(y)$.\nThus $N(x)=N(z)=N(y)$.\nHence, $\\{N(x):x\\in E\\}$ forms a partition.\n\n$\\Leftarrow$: Since $XH(X \\bigcup Y)=XH(X)\\bigcup XH(Y)$ for all $X,Y\\subseteq U$, $y\\in XH(X\\bigcup \\{x\\})\\\\-XH(X)=XH(X)\\bigcup XH\\{x\\})-XH(X)=XH\\{x\\})-XH(X)$.\nNow we prove $x\\in XH(\\{y\\})$.\nSince $y\\in XH(\\{x\\})$, $x\\in N(y)$.\nBecause the fact that $\\{N(x):x\\in E\\}$ forms a partition, $x\\in N(x)$ and $x\\in N(y)$, we have $N(x)=N(y)$, thus $y\\in N(x)$, that is, $x\\in XH(\\{y\\})$.\nHence $x\\in XH(\\{y\\})\\subseteq XH(X\\bigcup \\{y\\})$.\n\\end{proof}\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering. $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition if and only if $XH$ is a closure operator of matroid.\n\\end{theorem}\n\n\\begin{proof}\nIt comes from (3), (5) and (6) of Proposition 16 and Proposition 17.\n\\end{proof}\n\n\\begin{definition}\nLet $\\mathcal{C}$ be a covering. If $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition, then we define $\\mathcal{I}^{''}=\\{I\\subseteq E: |I\\bigcap N(x_{i})|\\leq 1,\\forall i\\in \\{1,2,\\cdots,t\\}\\}$.\n\\end{definition}\n\nSuppose $N(x_{1}),N(x_{2}),\\cdots,N(x_{t})$ are all different neighborhoods on $E$.\nAs we know, if $N(x_{1}),N(x_{2}),\\cdots,N(x_{t})$ forms a partition, then $XH$ is a closure operator of a matroid.\nMoreover, $XH$ can determine a matroid, and its independent set is shown as follows:\n\\begin{center}\n$\\mathcal{I}_{XH}(\\mathcal{C})$ $=\\{I\\subseteq E: \\forall x\\in I,x\\notin XH(I-\\{x\\})\\}$\n\\end{center}\nSimilar to the case of $SH$, we can obtain the following results.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. If $N(x_{1}),N(x_{2}),\\cdots,N(x_{t})$ induced by $\\mathcal{C}$ forms a partition, then $M(E,\\mathcal{I}_{XH}(\\mathcal{C})$ is a matroid and $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}^{''}$.\n\\end{proposition}\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. If $\\{N(x_{1}),N(x_{2}),\\cdots,N(x_{t})\\}$ induced by $\\mathcal{C}$ forms a partition and $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$ is the matriod induced by $XH$, then\\\\\n(1) $X$ is a base of $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$ if and only if $|X\\bigcap N(x_{i})|=1$ for all $1 \\leq i\\leq t$, and $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$ has $|N(x_{1})||N(x_{2}|\\cdots |N(x_{s})|$ bases.\\\\\n(2) For all $X\\subseteq E$, $r_{XH}(X)=|\\{N(x_{i}):N(x_{i})\\bigcap X\\neq \\emptyset,1 \\leq i\\leq t\\}|$.\\\\\n(3) $X$ is a circuit of $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$ if and only if there exists $N(x_{i})$ such that $X\\subseteq N(x_{i})$ and $|X|=2$.\\\\\n(4) $X$ is a dependent set of $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$ if and only if there exists $N(x_{i})$ such that $|N(x_{i})\\bigcap X|>1$.\\\\\n(5) $\\{N(x_{1}),N(x_{2}),\\cdots,N(x_{t})\\}$ is the set of all atoms of lattice $\\mathcal{L}_{XH}(M(\\mathcal{C}))$.\\\\\n(6) There dose not exist $z\\in E$ such that $x,y\\in N(z)$ if and only if $XH(\\{x,y\\})$ covers $XH(\\{x\\})$ or $XH(\\{y\\})$.\\\\\n(7) $\\forall 1\\leq i,j\\leq t$, $(N(x_{i}),N(x_{j}))$ is a modular pair of lattice $\\mathcal{L}_{XH}(M(\\mathcal{C}))$.\\\\\n(8) $\\forall 1\\leq i\\leq t$, $N(x_{i})$ is a modular element of lattice $\\mathcal{L}_{XH}(M(\\mathcal{C}))$.\n\\end{proposition}\n\nThe proof of Proposition 18 and 19 is similar to that of Proposition 11 and Proposition 12 and 13, respectively.\nSo we omit the proof of them.\n\nSimilar to the case of $SH$, we also study what kind of covering can make $\\{N(x):x\\in E\\}$ form a partition.\nThis paper establishes only two kinds of coverings.\nAs for others we can refer to \\cite{YunGeBai11Axiomatization,HuXiaoZhang12Study}.\n\n\\begin{lemma}\nLet $\\mathcal{C}$ be a covering on $E$, $K$ reducible in $\\mathcal{C}$.\n$\\forall x\\in U$, $N(x)$ is the same in $\\mathcal{C}$ as in $\\mathcal{C}-\\{K\\}$.\n\\end{lemma}\n\n\\begin{proof}\n$\\forall x\\in E$, $Md(x)$ is the same for covering $\\mathcal{C}$ and covering $\\mathcal{C}-\\{K\\}$, so $N(x)=\\bigcap Md(x)$ is the same for the covering $\\mathcal{C}$ and covering $\\mathcal{C}-\\{K\\}$.\n\\end{proof}\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering.\nIf $reduct(\\mathcal{C})$ is a partition, then $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ is also a partition.\n\\end{proposition}\n\n\\begin{proof}\nSince $reduct(\\mathcal{C})$ is a partition of $E$, $\\{N(x):x\\in E\\}$ induced by $reduct(\\mathcal{C})$ forms a partition.\nSuppose $\\{K_{1},K_{2},\\cdots, K_{s}\\}$ is the set all reducible elements of $\\mathcal{C}$.\nAccording to Lemma 12, we know that $\\forall x\\in E$, $N(x)$ is the same in $reduct(\\mathcal{C})$ as in $reduct(\\mathcal{C})\\bigcup \\{K_{1}\\}$, thus $\\{N(x):x\\in E\\}$ induced by $reduct(\\mathcal{C})\\bigcup\\{K_{1}\\}$ forms a partition.\nAnd the rest may be deduced by analogy, then we can obtain $\\forall x\\in E$, $N(x)$ is the same in $reduct(\\mathcal{C})$ as in $\\mathcal{C}$, thus $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{proof}\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering on $E$. If $\\mathcal{C}$ satisfies the $(EQU)$ condition:\n$\\forall K\\in \\mathcal{C}$, $\\forall x,y \\in K$, the number of blocks which contain $x$ is equal to that of blocks which contain $y$, then $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\n\\end{proposition}\n\n\\begin{proof}\n$\\forall x, y\\in E$, if $N(x)\\bigcap N(y)\\neq \\emptyset$, then there exists $z\\in E$ such that $z\\in N(x)$ and $z\\in N(y)$, that is, the blocks which contain $x$ also contain $z$ and the blocks which contains $y$ also contain $z$.\nHence, there exist $K_{i}, K_{i}^{'}$ such that $x,z\\in K_{i}$ and $y,z\\in K_{i}^{'}$.\nWithout loss of generality, we suppose $\\{K_{1}, K_{2}, \\cdots, K_{s}\\}$ is the set of all blocks which contain $x$ and $\\{K_{1}^{'},K_{2}^{'},\\cdots, K_{t}^{'}\\}$ is the set of all blocks which contain $y$.\nSince the number of blocks which contain $z$ is equal to that of blocks which contain $x$, $\\{K_{1}, K_{2}, \\cdots, K_{s}\\}$ is the set of all blocks which contain $z$, thus $\\{K_{1}^{'},K_{2}^{'},\\cdots, K_{t}^{'}\\}\\subseteq \\{K_{1}, K_{2}, \\cdots, K_{s}\\}$.\nHence, $N(x)\\subseteq N(y)$.\nSimilarly, we can prove $N(y)\\subseteq N(x)$.\nHence, $N(x)=N(y)$, that is, $\\{N(x):x\\in E\\}$ forms a partition.\n\\end{proof}\n\nQin et al. first defined the seventh type of covering-based upper approximation in \\cite{QinGaoPei07OnCovering}.\nThey also discussed the relationship between it and other types of approximations.\nProposition 22 below gives some properties of the covering upper approximation operator $VH$.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering of $E$. $VH$ has the following properties:\\\\\n(1) $VH(\\emptyset)=\\emptyset$\\\\\n(2) $X\\subseteq VH(X)$ for all $X\\subseteq E$\\\\\n(3) $VH(X\\bigcup Y)=VH(X)\\bigcup VH(Y)$\\\\\n(4) $x\\in VH(\\{y\\})\\Leftrightarrow y\\in VH(\\{x\\})$\\\\\n(5) $X\\subseteq Y\\subseteq E\\Rightarrow VH(X)\\subseteq VH(Y)$\\\\\n(6) $\\forall x,y \\in E, y \\in VH(X\\bigcup \\{x\\})-VH(X)$, then $x\\in VH(X\\bigcup \\{y\\})$\n\\end{proposition}\n\n\\begin{proof}\n(1)-(3) were shown in \\cite{QinGaoPei07OnCovering}, so we prove only (4), (5) and (6).\\\\\n(4) $y\\in VH(\\{x\\})\\Leftrightarrow$ there exists $z\\in U $ such that $x,y \\in N(z)\\Leftrightarrow x\\in VH(\\{y\\})$.\\\\\n(5) $\\forall x\\in VH(X)$, there exists $y \\in E$ such that $x\\in N(y)$ and $N(y)\\bigcap X\\neq \\emptyset$.\nSince $X\\subseteq Y$, $N(y)\\bigcap Y\\neq \\emptyset$. Hence, $x\\in VH(Y)$, that is, $VH(X)\\subseteq VH(Y)$.\\\\\n(6) According to (3), we have $VH(X\\bigcup \\{x\\})-VH(X)=VH(X)\\bigcup VH(\\{x\\})-VH(X)=VH(\\{x\\}-VH(X)$.\nIf $y\\in VH(\\{x\\}-VH(X)$, then $y\\in VH(\\{x\\})$.\nBase on (4), we know $x\\in VH(\\{y\\})\\subseteq VH(X)\\bigcup VH(\\{y\\})=VH(X\\bigcup \\{y\\})$.\nHence, (5) holds.\n\\end{proof}\n\n\\begin{proposition}\n$VH(VH(X))=VH(X)$ if and only if $\\{VH(\\{x\\}):x\\in E\\}$ forms a partition of $E$.\n\\end{proposition}\n\n\\begin{proof}\n\"$\\Leftarrow$\": According to (2) and (5) of Proposition 22, we know $VH(X)\\subseteq VH(VH\\\\(X))$.\nFor all $x\\in VH(VH(X))$, there exists $y\\in VH(X)$ such that $x\\in VH(\\{y\\})$.\nSince $y\\in VH(X)$, there exists $z\\in E$ such that $y\\in VH(\\{z\\})$.\nBased on $y\\in VH(\\{y\\})$ and $\\{VH(\\{x\\}):x\\in E\\}$ forms a partition, we have $VH(\\{y\\})=VH(\\{z\\})$.\nThus $x\\in VH(\\{z\\})$ because $x\\in VH(\\{y\\})$.\nHence, $x\\in VH(X)$, that is, $VH(VH(X))\\\\\\subseteq VH(X)$.\n\n\"$\\Rightarrow$\": In order to prove $\\{VH(\\{x\\}):x\\in E\\}$ forms a partition, we need to prove that for all $x,y\\in E$, if $VH(\\{x\\})\\bigcap VH(\\{y\\})\\neq \\emptyset$, then $VH(\\{x\\})=VH(\\{y\\})$.\nIf $VH(\\{x\\})\\bigcap VH(\\{y\\})\\neq \\emptyset$, then there exists $z\\in VH(\\{x\\})\\bigcap VH(\\{y\\})$.\nFor $VH(VH$ $(\\{x\\}))=\\bigcup \\{VH(\\{u\\}):u\\in VH(\\{x\\})\\}$ and $z\\in VH(\\{x\\})$, $VH(\\{z\\})\\subseteq VH(VH\\\\(\\{x\\}))=VH(\\{x\\})$.\nBased on (4) of Proposition 15 and $z\\in VH(\\{x\\})$, we have $x\\in VH(\\{z\\})$.\nThus it is easy to obtain $VH(\\{x\\})\\subseteq VH(VH(\\{z\\}))=VH(\\{z\\})$.\nHence, $VH(\\{x\\})=VH(\\{z\\})$.\nSimilarly, we can obtain $VH(\\{y\\})=VH(\\{x\\})$, thus $VH(\\{x\\})=VH(\\{z\\})=VH(\\{y\\})$.\n\\end{proof}\n\n\\begin{theorem}\n$VH$ is a closure operator of matroid $M$ if and only if $\\{VH(\\{x\\}):x\\in E\\}$ forms a partition $E$.\n\\end{theorem}\n\n\\begin{proof}\nIt comes from (2), (5) and (6) of Proposition 2, 22 and 23.\n\\end{proof}\n\n\\begin{definition}\nLet $\\mathcal{C}$ be a covering. If $\\{VH(\\{x\\}):x\\in E\\}$ forms a partition, then we define $\\mathcal{I}^{'''}=\\{I\\subseteq E:|I\\bigcap VH$ $(\\{x_{i}\\})|\\leq 1,\\forall i\\in \\{1,2,\\cdots, t\\}\\}$.\n\\end{definition}\n\nIf $\\{VH(\\{x\\}):x\\in E\\}=VH(\\{x_{1}\\}),VH(\\{x_{2}\\}),\\cdots,$ $VH$ $(\\{x_{r}\\})$ forms a partition of $E$, then $VH$ is a closure operator of a matroid, and the matroid's independent set is shown as follows:\n\\begin{center}\n$\\mathcal{I}_{VH}(\\mathcal{C})=\\{I\\subseteq E:\\forall x\\in I, x\\notin VH(I-\\{x\\})\\}$\n\\end{center}\nSimilar to Proposition 11, 12 and 13, we can also obtain the following two results.\n\n\\begin{proposition}\nIf $VH(\\{x_{1}\\}),VH(\\{x_{2}\\}),\\cdots,VH(\\{x_{r}\\})$ forms a partition on $E$, then $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ is a matroid and $\\mathcal{I}_{VH}(\\mathcal{C})=\\mathcal{I}^{'''}$.\n\\end{proposition}\n\n\\begin{proposition}\nIf $\\{VH(\\{x_{1}\\}),VH(\\{x_{2}\\}),\\cdots,VH(\\{x_{r}\\})\\}$ forms a partition on $E$ and $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ is the matriod induced by $VH$, then\\\\\n(1) For all $X\\subseteq E$, $r_{VH}(X)=|\\{VH(\\{x_{i}\\}):VH(\\{x_{i}\\})\\bigcap X\\neq \\emptyset,i=1,2,\\cdots,r\\}|$.\\\\\n(2) $X$ is a base of $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ if and only if $|X\\bigcap VH(\\{x_{i}\\})|=1$ for all $1\\leq i\\leq r$, and $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ has $|VH(\\{x_{1}\\})||VH(\\{x_{2}\\})|\\cdots |VH(\\{x_{r}\\})|$ bases.\\\\\n(3) $X$ is a circuit of $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ if and only if there exists $VH(\\{x_{i}\\})$ such that $X\\subseteq VH(\\{x_{i}\\})$ and $|X|=2$.\\\\\n(4) $X$ is a dependent set of $M(E,\\mathcal{I}_{VH}(\\mathcal{C}))$ if and only if there exists $VH(\\{x_{i}\\})$ such that $|VH(\\{x_{i}\\})\\bigcap X|>1$.\\\\\n(5) $\\{VH(\\{x_{1}\\}),VH(\\{x_{2}\\}),\\cdots,VH(\\{x_{r}\\})\\}$ are all atoms of $\\mathcal{L}_{VH}(M(\\mathcal{C}))$.\\\\\n(6) There dose not exists $z\\in E$ such that $x,y\\in \\{VH(\\{z\\}$ if and only if $VH(\\{x,y\\})$ covers $VH(\\{x\\})$ or $VH(\\{y\\})$.\\\\\n(7) $\\forall 1\\leq i,j\\leq r, (\\{VH(\\{x_{i}\\}),\\{VH(\\{x_{j}\\}))$ is a modular pair of lattice $\\mathcal{L}_{VH}(M(\\mathcal{C}))$.\\\\\n(8) $\\forall 1\\leq i\\leq r, VH(x_{i})$ is a modular element of lattice $\\mathcal{L}_{VH}(M(\\mathcal{C}))$.\n\\end{proposition}\n\nThe proof of Proposition 24, 25 is similar to that of Proposition 11,12 and 13, respectively.\nWe omit it here.\n\nAs we know, the seventh type of upper approximation is defined by neighborhood, and the sixth and the seventh types of upper approximations are\nequivalent when $\\{N(x):x\\in E\\}$ forms a partition.\nThus the covering which make the sixth type of upper approximation be a closure of a\nmatroid is the covering which make the seventh type of upper approximation be a closure operator of a matroid, hence we omit the discussion about what kind of covering can make the seventh type of upper approximation be a closure operator of a matroid.\n\n\\section{Relationships among four geometric lattice structures of covering-based rough sets}\n\\label{S:Therelationshipamongfourtypesofmatroidalstructuresandclosedsetlatticestructures}\n\nIn Section~\\ref{S:Thepropertiesoftheclosedsetlatticeofmatroidinducedbycovering}, the properties of the geometric lattice have been studied by\nmatroid $M(E, \\mathcal{I}(\\mathcal{C}))$, and we also have studied the properties of matroids $M(E,\\mathcal{I}_{SH}(\\mathcal{C}))$, $M(E,\\mathcal{I}_{XH}(\\mathcal{C}))$.\nSection~\\ref{S:Matroidalstructuresbasedonthreetypesofupperapproximations} presents sufficient and necessary conditions for three types of covering upper approximation operators to be closure operators of matroids.\nMoreover, we exhibit three types of matroids through closure axioms, and then obtain three geometric lattice structures of covering-based rough sets\nIn this section, we compare above four types of geometric lattices through corresponding matroids.\nWe also discuss the reducible element and the immured element's influence on the relationship among this four types of matroidal structures and geometric lattice structures.\n\nThe following proposition shows the relationship between $\\mathcal{I}_{SH}(\\mathcal{C})$ and $\\mathcal{I}(\\mathcal{C})$, and the relationship between $\\mathcal{L}_{SH}(M(\\mathcal{C}))$ and $\\mathcal{L}(M(\\mathcal{C}))$.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. if $SH$ induced by $\\mathcal{C}$ is a closure operator, then $\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq \\mathcal{I}(\\mathcal{C})$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))\\subseteq \\mathcal{L}(M(\\mathcal{C}))$.\n\\end{proposition}\n\n\\begin{proof}\nSince $SH$ induced by $\\mathcal{C}$ is a closure operator, $\\{I(x_{1}),I(x_{2}),\\cdots,\\\\I(x_{s})\\}$ forms a partition.\n$\\forall I\\in \\mathcal{I}_{SH}(\\mathcal{C})$, suppose $I=\\{i_{1},i_{2},\\cdots,i_{\\alpha}\\}(\\alpha \\leq s)$ such that $i_{1} \\in I(x_{i_{1}}), i_{2} \\in I(x_{i_{2}}),\\cdots,i_{\\alpha} \\in I(x_{i_{\\alpha}})$ and $\\{I(x_{i_{1}}),I(x_{i_{2}}),\\cdots,I(x_{i_{\\alpha}})\\}\\subseteq \\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s})\\}$.\nAccording to the definition of $I(x)=\\bigcup_{x\\in K}K$, there exists $\\{K_{i_{1}}, K_{i_{2}},\\cdots K_{i_{\\alpha}}\\}\\subseteq \\mathcal{C}$ such that $i_{1}\\in K_{i_{1}}, i_{2}\\in K_{i_{2}}, \\cdots, i_{\\alpha}\\in K_{i_{\\alpha}}$.\nSince $\\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s})\\}$ forms a partition, thus $\\{K_{i_{1}}, K_{i_{2}},\\cdots K_{i_{\\alpha}}\\}$ are different bloc-ks.\nAccording to the definition of transversal matroid, we have $I\\in \\mathcal{I}$.\nHence, $\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq \\mathcal{I}(\\mathcal{C})$.\n\n$\\forall X\\in \\mathcal{L}_{SH}(M(\\mathcal{C}))$, $X=SH(X)=\\bigcup_{x\\in X}I(x)$.\nNow we prove $X\\in \\mathcal{L}(M(\\mathcal{C}))$, that is, $cl_{M(\\mathcal{C})}(X)=X=\\{x|r_{M(\\mathcal{C})}(X)=r_{M(\\mathcal{C})}(X\\bigcup \\{x\\})\\}$. Since $X\\subseteq cl_{M(\\mathcal{C})}(X)$, if $cl_{M(\\mathcal{C})}(X)\\neq X$, then $cl_{M(\\mathcal{C})}(X)\\nsubseteq X$, that is, there exists $y\\in E$ such that $r_{M(\\mathcal{C})}(X)=r_{M(\\mathcal{C})}(X\\bigcup \\{y\\})$ and $y\\notin X$.\nSuppose $T=\\{t_{1}, t_{2}, \\cdots, t_{t}\\}(t\\leq s)$ is a maximal independent set included in $X$, then $\\{t_{1}, t_{2}, \\cdots, t_{t}\\}\\subseteq X=\\bigcup_{x\\in X}I(x)$ and there exist different $K_{1},K_{2},\\cdots, K_{t}$ such that $\\forall i\\in \\{1,2,\\cdots,t\\}, t_{i}\\in K_{i}$.\nSince $y\\notin X$, $\\forall x\\in X$, $I(x)\\bigcap I(y)=\\emptyset$.\nBased on $\\{I(x_{1}),I(x_{2}),\\cdots,I(x_{s})\\}$ forms a partition, there exists $K\\subseteq I(y)$ such that $K_{1},K_{2},\\cdots, K_{t}, K$ are different blocks and $y\\in K$, thus $T\\bigcup \\{y\\}$ is a maximal independent set included in $X\\bigcup \\{y\\}$.\nHence, we have $r_{M(\\mathcal{C})}(X\\bigcup \\{y\\})=r_{M(\\mathcal{C})}(X)+1$ which contradicts $r_{M(\\mathcal{C})}(X)=r_{M(\\mathcal{C})}(X\\bigcup \\{y\\})$.\nThus we can obtain $cl_{M(\\mathcal{C})}(X)=X$.\n\\end{proof}\n\nThe following proposition illustrates that in what condition the indiscernible neighborhoods are included in the closed-set lattice induced by $\\mathcal{C}$.\n\n\\begin{proposition}\nLet $\\mathcal{C}$ be a covering. If $SH$ induced by $\\mathcal{C}$ is a closure operator, then $\\forall x\\in E, I(x)\\in \\mathcal{L}(\\mathcal{M}(\\mathcal{C}))$.\n\\end{proposition}\n\n\\begin{proof}\nSince $SH$ induced by $\\mathcal{C}$ is a closure operator, $\\{I(x):x\\in E\\}$ forms a partition.\nThus, for all $x\\in E$, $SH(I(x))=\\bigcup_{y\\in I(x)}I(y)=I(x)$, that is, $I(x)\\in \\mathcal{L}_{SH}(M(\\mathcal{C}))$.\nAccording to proposition 26, $I(x)\\in \\mathcal{L}(\\mathcal{M}_{\\mathcal{C}})$.\n\\end{proof}\n\n\\begin{example}\nLet $\\mathcal{C}=\\{\\{1,2\\},\\{1,3\\},\\{2,3\\},\\{4,5\\}\\}$.\n$I(1)=I(2)=I(3)=\\{1,2,3\\}$, $I(4)=I(5)=\\{4,5\\}$.\n$\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\{\\emptyset, \\{1,2,3\\},\\{4,5\\},\\{1,2,3,4,5\\}\\}$.\n$\\mathcal{L}(M(\\mathcal{C}))\\\\=\\{\\emptyset, \\{1\\},\\{2\\},\\{3\\},\\{4,5\\},\\{1,2\\},\\{1,3\\},\\{2,3\\},\\{1,4,5\\},\\{2,4,5\\},\\{3,4,5\\},\\{1,2,3\\},\\\\\\{1,2,4,5\\},\\{1,3,4,5\\},\\{2,3,4,5\\},\\{1,2,3,4,5\\}\\}$, the structures of $\\mathcal{L}(\\mathcal{M}_{SH})$ and $\\mathcal{L}(\\mathcal{M}_{\\mathcal{C}})$ are showed in figure 1.\n\\begin{figure*}[ht]\n\n   \\begin{center}\n   \\includegraphics[width=5in]{lattice.pdf}\n   \\caption{The lattice of $\\mathcal{L}(M(\\mathcal{C}))$(resp.$\\mathcal{L}_{XH}(M(\\mathcal{C}))$) and $\\mathcal{L}_{SH}(M(\\mathcal{C}))$}\n\n    \\end{center}\n\n\\end{figure*}\n\\end{example}\n\n\\begin{remark}\nLet $\\mathcal{C}$ is a covering and $XH$ induced by $\\mathcal{C}$ a closure operator. However, it has no relationship between $\\mathcal{I}_{XH}(\\mathcal{C})$ and $\\mathcal{I}(\\mathcal{C})$, and has no relationship between $\\mathcal{L}_{XH}(M(\\mathcal{C}))$ and $\\mathcal{L}(M(\\mathcal{C}))$.\nSimilarly, those conclusions also hold for $VH$.\n\\end{remark}\n\nThe following example illustrates the above statements.\n\n\\begin{example}\n$\\mathcal{C}=\\{K_{1},K_{2},K_{3},K_{4}\\}$ is a covering of $E$, Where $K_{1}=\\{a,b,i\\}, K_{2}=\\{a,b,c,d,e,f\\}, K_{3}=\\{f,g,h\\}, K_{4}=\\{c,d,e,g,h,i\\}$.\nThen $VH(\\{a\\})=VH(\\{b\\})=N(a)=N(b)=\\{a,b\\},VH(\\{c\\})=VH(\\{d\\})=VH(\\{e\\})=N(c)=N(d)=N(e)=\\{c,d,e\\}, VH(\\{f\\})=N(f)=\\{f\\}, VH(\\{g\\})=VH(\\{h\\})=N(g)=N(h)=\\{g,h\\}, VH(\\{i\\})=N(i)=\\{i\\}$.\nLet $T=\\{a,c,f,g,i\\}$.\nIt is clear that $T\\in \\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$, but $T\\notin \\mathcal{I}(\\mathcal{C})$, thus $\\mathcal{I}_{XH}(\\mathcal{C})\\nsubseteq \\mathcal{I}(\\mathcal{C})$ and $\\mathcal{I}_{VH}(\\mathcal{C})\\nsubseteq \\mathcal{I}(\\mathcal{C})$.\nLet $T^{'}=\\{a,c,d\\}$.\nIt is clear that $T^{'}\\in \\mathcal{I}(\\mathcal{C})$, but $T^{'}\\notin \\mathcal{I}_{XH}\\mathcal{I}_{VH}$ for $|T^{'}\\bigcap N(a)|=2$ and $|T^{'}\\bigcap VH(\\{a\\})|=2$, thus $\\mathcal{I}(\\mathcal{C})\\nsubseteq \\mathcal{I}_{XH}\\mathcal{C}$ and $\\mathcal{I}(\\mathcal{C})\\nsubseteq \\mathcal{I}_{VH}(\\mathcal{C})$.\nLet $X=\\{a,b,i\\}$. $X\\in \\mathcal{L}_{XH}(M(\\mathcal{C}))$ for $XH(X)=X$.\nHowever, $X\\notin \\mathcal{L}(M(\\mathcal{C}))$ for $cl_{M(\\mathcal{C})}(X)=\\{a,b,c,d,e,i\\}$.\nLet $X=\\{a\\}$. $X\\in \\mathcal{L}(M(\\mathcal{C}))$ for $cl_{M(\\mathcal{C})}(X)=X$.\nHowever, $X\\notin \\mathcal{L}_{XH}(M(\\mathcal{C}))$ for $XH(X)=\\{a,b\\}\\neq X$.\n\\end{example}\n\n\\begin{proposition}\nLet $\\mathcal {C}$ be a covering. If $XH$ induced by $\\mathcal{C}$ is a closure operator, then $VH$ induced by $\\mathcal{C}$ is also a closure operator.\nMoreover, $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$ and $\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(\\mathcal{C}))$.\n\\end{proposition}\n\n\\begin{proof}\nSince $XH$ induced by $\\mathcal{C}$ is a closure operator, $\\{N(x):x\\in E\\}$ forms a partition.\n$\\forall X\\subseteq E$, $XH(X)=\\{x:N(x)\\bigcap X\\neq \\emptyset\\}$ and $VH(X)=\\bigcup\\{N(x):N(x)\\bigcap X\\neq \\emptyset\\}$.\nIt is clear that $XH(X)\\subseteq VH(X)$.\n$\\forall x\\in VH(X)$, there exists $y\\in E$ such that $x\\in N(y)$ and $N(y)\\bigcap X\\neq \\emptyset$.\nBased on $x\\in N(x)$ and $\\{N(x):x\\in E\\}$ forms a partition, $N(x)=N(y)$ and $N(y)\\bigcap X\\neq \\emptyset$, thus $x\\in XH(X)$, that is, $VH(X)\\subseteq XH(X)$.\nHence, $VH(X)=XH(X)$.\nAccording to the definition of $\\mathcal{L}_{XH}(M(\\mathcal{C}))$ and $\\mathcal{L}_{VH}(M(\\mathcal{C}))$, we can obtain $\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(\\mathcal{C}))$.\n$\\forall X\\subseteq E$, the equality $XH(X)=VH(X)$ holds, so $\\forall x\\in E$, $VH(\\{x\\})=N(x)$.\nAccording to the definition of $\\mathcal{I}_{XH}(\\mathcal{C})$ and $\\mathcal{I}_{VH}(\\mathcal{C})$, we have $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$.\n\\end{proof}\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering. If $XH$ and $SH$ induced by $\\mathcal{C}$ are closure operators, then\n$\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq \\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))\\subseteq \\mathcal{L}_{XH}(M(\\mathcal{C}))= \\mathcal{L}_{VH}(M(\\mathcal{C}))$.\n\\end{theorem}\n\n\\begin{proof}\nIf $XH$ and $SH$ induced by $\\mathcal{C}$ are closure operators, then $\\{N(x):x\\in E\\}$ and $\\{I(x):x\\in E\\}$ forms a partition of $E$, respectively.\n$\\forall x\\in X$, $N(x)=\\bigcap_{x\\in K}K\\subseteq \\bigcup_{i\\in K}K=I(x)$, thus $\\{N(x):x\\in E\\}$ is finer than $\\{I(x):x\\in E\\}$.\nBased on this, we can obtain $\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq \\mathcal{I}_{XH}(\\mathcal{C})$.\nAccording to Proposition 28, we have  $\\mathcal{I}_{SH}(\\mathcal{C})\\subseteq \\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$.\n\nFor all $X\\in \\mathcal{L}_{SH}(M(\\mathcal{C}))$, $X=SH$$(X)=\\bigcup_{x\\in X}I(x)$.\nSince $x\\in N(x)\\subseteq I(x)$, $X=\\bigcup_{x\\in X}\\{x\\}\\subseteq \\bigcup_{x\\in X}N(x)\\subseteq \\bigcup_{x\\in X}I(x)=X$, thus, $X=\\bigcup_{x\\in X}N(x)$, that is, $X\\in \\mathcal{L}_{XH}(M(\\mathcal{C}))$.\nHence, $\\mathcal{L}_{SH}(M(\\mathcal{C}))\\subseteq \\mathcal{L}_{XH}(M(\\mathcal{C}))$.\nBy the fact that $\\{N(x):x\\in E\\}$ forms a partition and Proposition 28, $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})$.\nThus $\\mathcal{L}_{SH}(M(\\mathcal{C}))\\subseteq \\mathcal{L}_{XH}(M(\\mathcal{C}))= \\mathcal{L}_{VH}(M(\\mathcal{C}))$.\n\\end{proof}\n\n\\begin{example}\nFrom Example 2, we know $N(1)=\\{1\\}, N(2)=\\{2\\}, N(3)=\\{3\\}, N(4)\\\\=N(5)=\\{4,5\\}$ and $I(1)=I(2)=I(3)=\\{1,2,3\\}$, $I(4)=I(5)=\\{4,5\\}$. $\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\{\\emptyset, \\{1,2,3\\},\\{4,5\\},\\{1,2,3,4,5\\}\\}$ and $\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\{\\emptyset, \\{1\\},\\\\\\{2\\},$ $\\{3\\},\\{4,5\\},\\{1,2\\},\\{1,3\\},\\{2,3\\},\\{1,4,5\\},\\{2,4,5\\},\\{3,4,5\\},\\{1,2,3\\},\\{1,2,4,5\\},\\\\\\{1,3,4,5\\},\\{2,3,4,5\\},\\{1,2,3,4,5\\}\\}$.\nThe structures of them are showed in figure 1.\n\\end{example}\n\nWhen a covering degenerates into a partition, we can obtain the following result.\n\n\\begin{theorem}\nIf $\\mathcal{C}$ is a partition, then $\\mathcal{I}_{SH}(\\mathcal{C})=\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})=\\mathcal{I}(\\mathcal{C})$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(\\mathcal{C}))=\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{theorem}\n\n\\begin{proof}\nSince $\\mathcal{C}$ is a partition, $\\forall x\\in E$, $I(x)=N(x)=VH(\\{x\\})=K$ where $x\\in K$, and $\\forall X\\subseteq E$, $SH(X)=XH(X)=VH(X)$.\nThus $\\mathcal{I}_{SH}(\\mathcal{C})=\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C})=\\mathcal{I}(\\mathcal{C})$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(\\mathcal{C}))=\\mathcal{L}(M(\\mathcal{C}))$.\n\\end{proof}\n\nNext, we discuss the reducible element and immured element's influence on the independent set and the closed-set lattice.\n\n\\begin{theorem}\nLet $\\mathcal{F}$ be a family subset on $E$, $K\\in \\mathcal{F}$.\n$\\mathcal{I}(\\mathcal{F}-\\{K\\})\\subseteq \\mathcal{I}(\\mathcal{F})$.\n\\end{theorem}\n\n\\begin{proof}\nFor all $I\\in \\mathcal{I}(\\mathcal{F}-\\{K\\})$, we may as well suppose $I=\\{i_{1}, i_{2}, \\cdots, i_{t}\\}, i_{1},i_{2},\\cdots\\\\ i_{t}\\in E$.\nAccording to the definition of transversal matroid, there exist different blocks $K_{1},K_{2},\\cdots, \\\\K_{t}\\in \\mathcal{F}$ satisfy $K_{i}\\neq K$ and $i_{j}\\in K_{j}$ for all $1\\leq j\\leq t$.\nThus $I\\in \\mathcal{I}(\\mathcal{F})$.\n\\end{proof}\n\nThe following example illustrates $\\mathcal{I}(\\mathcal{F})\\nsubseteq \\mathcal{I}(\\mathcal{F}-\\{K\\})$.\n\n\\begin{example}\nLet $\\mathcal{F}=\\{K_{1},K_{2},K_{3}\\}$ be a family subset of $E=\\{1,2,3,4\\}$, where $K_{1}=\\{1,2\\}$, $K_{2}=\\{1,3\\}$, $K_{3}=\\{3\\}$. $\\mathcal{I}(\\mathcal{F})=P(E)$, $\\mathcal{I}(\\mathcal{F}-\\{K_{3}\\})=\\{\\emptyset,\\{1\\},\\{2\\},\\\\\\{3\\},\\{1,3\\},\\{1,2\\} \\{2,3\\}\\}$.\nHence, $\\mathcal{I}(\\mathcal{F})\\nsubseteq \\mathcal{I}(\\mathcal{F}-\\{K\\})$.\n\\end{example}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$, $K\\in \\mathcal{C}$.\nIf $K$ is reducible, then $\\mathcal{I}(\\mathcal{C}-\\{K\\})\\subseteq \\mathcal{I}(\\mathcal{C})$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering.\n$\\mathcal{I}(reduct(\\mathcal{C}))\\subseteq \\mathcal{I}(\\mathcal{C})$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering, $K\\in \\mathcal{C}$.\nIf $K$ is an immured element, then $\\mathcal{I}(\\mathcal{C}-\\{K\\})\\subseteq \\mathcal{I}(\\mathcal{C})$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering.\n$\\mathcal{I}(exclusion(\\mathcal{C}))\\subseteq \\mathcal{I}(\\mathcal{C})$\n\\end{corollary}\n\n\\begin{theorem}\nLet $\\mathcal{F}$ be a family subset on $E$, $\\forall K\\in \\mathcal{F}$.\n$\\mathcal{L}(M(\\mathcal{F}-\\{K\\}))\\subseteq \\mathcal{L}(M(\\mathcal{F}))$.\n\\end{theorem}\n\n\\begin{proof}\nFirst, we prove the result $cl_{\\mathcal{F}}(\\{x\\})\\subseteq cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})$.\nFor all $y\\notin cl_{\\mathcal{F}-\\{K\\}}$, $\\{x,y\\}\\in \\mathcal{I}_{\\mathcal{F}-\\{K\\}}$.\nSince $\\{x,y\\}\\in \\mathcal{I}_{\\mathcal{F}}$, thus $y\\notin cl_{\\mathcal{F}}(\\{x\\})$.\nThat implies that $cl_{\\mathcal{F}}(\\{x\\})\\subseteq cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})$.\n\nSecond, we prove that any atom of $\\mathcal{L}(M(\\mathcal{F}-\\{K\\}))$ is a closed set of $\\mathcal{L}(M(\\mathcal{F}))$, that is, $cl_{\\mathcal{F}}(cl_{\\mathcal{F}-\\{K\\}}(\\{x\\}))=cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})$.\nSince $cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})\\subseteq cl_{\\mathcal{F}}(cl_{\\mathcal{F}-\\{K\\}}(\\\\\\{x\\}))\\subseteq cl_{\\mathcal{F}-\\{K\\}}(cl_{\\mathcal{F}-\\{K\\}}(\\{x\\}))=cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})$,\n$cl_{\\mathcal{F}}(cl_{\\mathcal{F}-\\{K\\}}(\\{x\\}))=cl_{\\mathcal{F}-\\{K\\}}\\\\(\\{x\\})$.\n\nThird, we prove that $\\mathcal{L}(M(\\mathcal{F}-\\{K\\}))\\subseteq \\mathcal{L}(M(\\mathcal{F}))$.\n$\\forall X\\subseteq \\mathcal{L}(M(\\mathcal{F}-\\{K\\}))$,  $X=\\bigvee_{i=1}^{m}cl_{\\mathcal{F}-\\{K\\}}(\\{x\\})=\\bigvee_{i=1}^{m}\\bigvee_{j=1}^{s_{i}}cl_{\\mathcal{F}}\\\\(\\{x_{j}\\})$ because $\\mathcal{L}(M(\\mathcal{F}-\\{K\\}))$ is a atomic lattice, thus $X\\in \\mathcal{L}(M(\\mathcal{F}))$.\n\\end{proof}\n\n\\begin{example}\nBased on Example 5, we have $\\mathcal{L}(M(\\mathcal{F}))=P(E)$ and $\\mathcal{L}(M(\\mathcal{F}-\\{K_{3}\\}))=\\{\\emptyset, \\{1\\},\\\\\\{2\\},\\{3\\},\\{1,2,3\\}\\}$.\nIt is clear that $\\mathcal{L}(M(\\mathcal{F}))\\nsubseteq \\mathcal{L}(M(\\mathcal{F}-\\{K_{3}\\}))$.\n\\end{example}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$, $K\\in \\mathcal{C}$.\nIf $K$ is reducible, then $\\mathcal{L}(M(\\mathcal{C}-\\{K\\}))\\subseteq \\mathcal{L}(M(\\mathcal{C}))$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$.\n$\\mathcal{L}(M(reduct(\\mathcal{C})))\\subseteq \\mathcal{L}(M(\\mathcal{C}))$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$, $K\\in \\mathcal{C}$.\nIf $K$ is an immured element, then $\\mathcal{L}(M(\\mathcal{C}-\\{K\\}))\\subseteq \\mathcal{L}(M(\\mathcal{C}))$.\n\\end{corollary}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$.\n$\\mathcal{L}(M(exclusion(\\mathcal{C})))\\subseteq \\mathcal{L}(M(\\mathcal{C}))$.\n\\end{corollary}\n\n\\begin{remark}\nLet $\\mathcal{C}$ is a covering and $SH$ induced by $\\mathcal{C}$ a closure operator.\nIf a reducible element $K$ is removed from the covering $\\mathcal{C}$, then $\\mathcal{C}-\\{K\\}$ may not still be a covering such that $SH$ is a closure operator.\nHence, it is difficult to discuss the relationship between $\\mathcal{I}_{SH}(\\mathcal{C})$ and $\\mathcal{I}_{SH}(\\mathcal{C}-\\{K\\})$.\n\\end{remark}\n\n\\begin{example}\nLet $E=\\{1,2,3\\}$ and $\\mathcal{C}=\\{K_{1}, K_{2}, K_{3}\\}$ where $K_{1}=\\{1,2\\},K_{2}=\\{1,3\\},K_{3}=\\{1,2,3\\}$.\n$I(1)=I(2)=I(3)=\\{1,2,3\\}$, thus $\\{I(x):x\\in E\\}$ forms a partition.\nHence, $SH$ is a closure operator induced by $\\mathcal{C}$.\nIt is clear that $K_{3}$ is a reducible element, $\\mathcal{C}-\\{K_{3}\\}=\\{K_{1},K_{2}\\}$.\nThen the indiscernible neighborhoods induced by $\\mathcal{C}-\\{K_{3}\\}$ are $I(1)=\\{1,2,3\\},I(2)=\\{1,2\\},I(3)=\\{1,3\\}$.\nwe find that $\\{I(x):x\\in E\\}$ can not form a partition.\nHence, $SH$ is not a closure operator induced by $\\mathcal{C}-\\{K_{3}\\}$.\n\\end{example}\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering on $E$ and $K$ an immured element. If $SH$ induced by $\\mathcal{C}$ is a closure operator, then $SH$ induced by $\\mathcal{C}-\\{K\\}$ is also a closure operator.\nMoreover, $\\mathcal{I}_{SH}(\\mathcal{C})=\\mathcal{I}_{SH}(\\mathcal{C}-\\{K\\})$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\mathcal{L}_{SH}(M(\\mathcal{C}-\\{K\\}))$.\n\\end{theorem}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$. If $SH$ induced by $\\mathcal{C}$ is a closure operator, then $SH$ induced by\n$exclusion(\\mathcal{C})$ is also a closure operator.\nMoreover, $\\mathcal{I}_{SH}(\\mathcal{C})=\\mathcal{I}_{SH}(exclusion(\\mathcal{C}))$ and $\\mathcal{L}_{SH}(M(\\mathcal{C}))=\\mathcal{L}_{SH}(M(exclusion(\\mathcal{C})))$.\n\\end{corollary}\n\n\\begin{remark}\nLet $\\mathcal{C}$ be a covering and $XH$ induced by $\\mathcal{C}$ a closure operator.\nIf an immured element $K$ is removed from the covering $\\mathcal{C}$, then $\\mathcal{C}-\\{K\\}$ may not still be a covering which makes $XH$ and $VH$ be closure operators.\nSo we omit the discussion of the relationship between $\\mathcal{I}_{XH}(\\mathcal{C})$ and $\\mathcal{I}_{XH}(\\mathcal{C}-\\{K\\})$, and the relationship between $\\mathcal{I}_{VH}(\\mathcal{C})$ and $\\mathcal{I}_{VH}(\\mathcal{C}-\\{K\\})$.\n\\end{remark}\n\nThe following example illustrates the above remark.\n\n\\begin{example}\nSuppose $K_{1}=\\{1\\}, K_{2}=\\{1,2\\}, K_{3}=\\{2,3\\}, K_{4}=\\{3\\}, K_{5}=\\{1,2,3\\}$, $\\mathcal{C}_{1}=\\{K_{1}, K_{2}, K_{3}, K_{4}\\}$.\n$N(1)=\\{1\\}, N(2)=\\{2\\}, N(3)=\\{3\\}$, thus $\\{N(x):x\\in E\\}$ forms a partition of $E$.\nHence, $XH$ is a closure operator.\nIt is clear that $K_{1}$ is an immured element, and the neighborhoods induced by $\\mathcal{C}-\\{K_{1}\\}$ are $N(1)=\\{1,2\\}, N(2)=\\{2\\}, N(3)=\\{3\\}$, thus $\\{N(x):x\\in E\\}$ can not form a partition of $E$.\nHence, $\\mathcal{C}-\\{K_{1}\\}$ is not a covering which makes $XH$ be a closure operator.\nLet $\\mathcal{C}_{2}=\\{K_{1}, K_{2}, K_{3}, K_{5}\\}$.\n$N(1)=\\{1\\}, N(2)=\\{2\\}, N(3)=\\{2,3\\}, VH(\\{1\\})=\\{1\\}, VH(\\{2\\})= VH(\\{3\\})=\\{2,3\\}$, thus $\\{VH(\\{x\\}:x\\in E)\\}$ forms a partition of $E$.\nHence, $\\mathcal{C}_{2}$ is a covering such that $VH$ is a closure operator.\nHowever, $\\{VH(\\{x\\}):x\\in E\\}$ induced by $\\mathcal{C}_{2}-\\{K_{1}\\}$ does not form a partition because $VH(\\{1\\})=\\{1,2\\}, VH(\\{2\\})=\\{1,2,3\\}, VH(\\{3\\})=\\{2,3\\}$.\nIt is clear that $K_{1}$ is an immured element in $\\mathcal{C}_{2}$ and $\\mathcal{C}_{2}-\\{K_{1}\\}$ is a covering which dose not make $VH$ be a closure operator.\n\\end{example}\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering on $E$ and $K$ be a reducible element. If $XH$ induced by $\\mathcal{C}$ is a closure operator, then $XH$ induced by\n$\\mathcal{C}-\\{K\\}$ is also a closure operator.\nMoreover, $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{XH}(\\mathcal{C}-\\{K\\})$ and $\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{XH}(M(\\mathcal{C}-\\{K\\}))$.\n\\end{theorem}\n\n\\begin{proof}\nSince $XH$ induced by $\\mathcal{C}$ is a closure operator, $\\{N(x):x\\in E\\}$ induced by $\\mathcal{C}$ forms a partition.\nBased on the definition of $\\mathcal{I}_{XH}(\\mathcal{C})$ and Lemma 12, $XH$ induced by $\\mathcal{C}-\\{K\\}$ is also a closure operator and $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{XH}(\\mathcal{C}-\\{K\\})$.\n\\end{proof}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$. If $XH$ is a closure operator, then\n$XH$ induced by $reduct(\\mathcal{C})$ is a closure operator.\nMoreover, $\\mathcal{I}_{XH}(\\mathcal{C})=\\mathcal{I}_{XH}(reduct(\\mathcal{C}))$ and $\\mathcal{L}_{XH}(M(\\mathcal{C}))=\\mathcal{L}_{XH}(M(reduct(\\mathcal{C})))$.\n\\end{corollary}\n\n\\begin{theorem}\nLet $\\mathcal{C}$ be a covering of $E$ and $K\\in \\mathcal{C}$ a reducible element. If $VH$ induced by $\\mathcal{C}$ is a closure operator, then\n$VH$ induced by $\\mathcal{C}-\\{K\\}$ is also a closure operator.\nMoreover, $\\mathcal{I}_{VH}(\\mathcal{C})=\\mathcal{I}_{VH}(\\mathcal{C}-\\{K\\})$ and $\\mathcal{L}_{VH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(\\mathcal{C}-\\{K\\}))$.\n\\end{theorem}\n\n\\begin{corollary}\nLet $\\mathcal{C}$ be a covering on $E$. If $VH$ induced by $\\mathcal{C}$ is a closure operator, then $XH$ induced by $reduct(\\mathcal{C})$ is also a closure operator.\nMoreover, $\\mathcal{I}_{VH}(\\mathcal{C})=\\mathcal{I}_{VH}(reduct(\\mathcal{C}))$ and $\\mathcal{L}_{VH}(M(\\mathcal{C}))=\\mathcal{L}_{VH}(M(reduct(\\mathcal{C})))$.\n\\end{corollary}\n\n\n\\section{Conclusions}\n\\label{S:Conclusions}\nThis paper has studied the geometric lattice structures of covering based-rough sets through matroids.\nThe important contribution of this paper is that we have established a geometric lattice structure of covering-based rough sets through the transversal matroid induced by a covering and have presented three geometric lattice structures of covering-based rough sets through three types of approximation operators. Moreover, we have discussed the relationship among the four geometric lattice structures.\nTo study other properties of this type of geometric lattice structure and to study other geometric lattices from the viewpoint of other upper approximation operators is our future work.\n\n\\section{Acknowledgments}\nThis work is supported in part by the National Natural Science Foundation of China under Grant No. 61170128,  the Natural Science Foundation of Fujian Province, China, under Grant Nos. 2011J01374 and 2012J01294, and the Science and Technology Key Project of Fujian Province, China, under Grant No. 2012H0043.\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nAdvances in the realm of Generative Adversarial Networks (GANs) \\cite{goodfellow_generative_2014} have led to architectures capable of producing amazingly realistic images such as StyleGAN2  \\cite{karras_analyzing_2020}, which, when trained on the FFHQ dataset \\cite{karras_style-based_2019}, generates images of human faces from random vectors in a lower-dimensional latent space. Unfortunately, this space is entangled -- translating a latent vector along its axes does not correspond to a meaningful transformation in the output space  (e.g., smiling mouth, squinting eyes). The model behaves as a black box, providing neither control over its output nor insight into the structures it has learned from the data. \n\nHowever, the smoothness of the mappings from latent vectors to faces plus empirical evidence \\cite{shen_interpreting_2020,creswell_inverting_2018} suggest that manifolds of meaningful transformations are in fact hidden inside the latent space but obscured by not being axis-aligned or even linear. Travelling along these manifolds would provide puppetry-like abilities to manipulate faces while studying their geometry would provide insight into the nature of the face variations present in the dataset -- revealing and quantifying the degrees-of-freedom of eyes, mouths, \\emph{etc}.\n\nWe present a method to explore the manifolds of changes of spatially localized regions of the face. Our method discovers smoothly varying sequences of latent vectors along these manifolds suitable for creating animations. Unlike existing disentanglement methods that either require labelled data \\cite{shen_interpreting_2020,wei_maggan_2020} or explicitly alter internal model parameters \\cite{alharbi_disentangled_2020,broad_network_2020}, our method is an optimization-based approach guided by a custom loss function and manually defined region of change. Our code is open-sourced, which can be found, along with supplementary results, on our project page\\footnote{\\url{https:\/\/github.com\/bmolab\/masked-gan-manifold}}. \n\n\\section{Method}\n\nWe design functions defined on the images generated by our pre-trained model (we will continue to work with the example of StyleGAN2 trained on FFHQ). The desired property of these functions is that they are at their minimum when only the target region of the face (for instance, the mouth) has changed. We then use standard optimization techniques to discover smoothly varying paths through the latent space that lie on the manifold.\n\nWe start with a user-provided initial generated image $\\vec{x}^* = G(\\vec{z}^*)$, where $G$ is the generator network and $\\vec{z}^*$ some latent vector (note that in this work we use StyleGAN2's higher-dimensional intermediate latent space $\\vec{z}^* \\in \\mathcal{W+}$, refer to \\cite{karras_style-based_2019} for details). We then define a rectangular mask region $M$ over the image, for instance around the mouth, and define $\\vec{x}^*_{M}$ as the image formed by cropping $\\vec{x}^*$ to $M$, and $\\vec{x}^*_{\\overline{M}}$ as its complement (i.e. the rest of the image). We seek a manifold containing \nimages which have primarily changed in the mouth region $M$ but not in the rest of the image $\\overline{M}$. We can define this manifold as minima of the function\n\\begin{equation}\n    \\mathcal{L}_X(\\vec{x}^*,\\vec{x}_i; M) = |D(\\vec{x}^*_M, \\vec{x}_{i,M})-c| + D(\\vec{x}^*_{\\overline{M}},\\vec{x}_{i,\\overline{M}})\n\\end{equation}\nwhere $D(\\cdot, \\cdot)$ is a distance function between images. We have experimented with both $L^2$ pixel-wise distance and the LPIPS perceptual loss \\cite{zhang_unreasonable_2018}. $\\mathcal{L}_X$ satisfies our requirement as it is minimal when the target region has changed by a factor of $c$ while the rest of the image remains unchanged.\n\nIn order to create smoothly varying animations that explore this manifold, we use a physically-inspired model of masses connected by springs. Take a matrix of $n$ latent vectors $Z = [\\vec{z}_1, \\ldots, \\vec{z}_n]^T \\in \\mathbb{R}^{n \\times w}$ where $w$ is the dimension of the latent space. The vectors are connected by springs of rest-length $\\sigma$ (an adjustable parameter) in series, encouraging each to be similar, but not too similar, to its neighbours. We further encourage the path to have minimal curvature by also adding higher-order ``stiffener'' springs connecting to vectors that are further apart. This system can be formalized as follows,\n\\begin{equation}\n    \\mathcal{L}_{spring}(Z;k) = \\sum_{i=1}^{n-k} \\left( || \\vec{z}_i - \\vec{z}_{i+k} ||_2 - k\\,\\sigma \\right)^2\n\\end{equation}\n\nFor our experiments, we include $k=1,2$. Putting everything together, given a reference latent vector $\\vec{z}^*$ and mask region $M$, we use the L-BFGS \\cite{liu_limited_1989} algorithm to optimize and find $\\tilde{Z}$, as seen in Equation \\ref{final_eqn}, where $\\alpha, \\beta, \\gamma$ are tuneable parameters controlling the importance of each term. The result of this optimization is visually represented in Figure \\ref{fig:image_grid}, left. \n\n\\begin{equation}\\label{final_eqn}\n    \\tilde{Z} = \\argmin_{Z}\\; \\alpha\\sum_{i=1}^n\\mathcal{L}_X(G(\\vec{z}^*), G(\\vec{z}_i); M) + \\beta \\mathcal{L}_{spring}(Z; 1) + \\gamma \\mathcal{L}_{spring}(Z; 2)\n\\end{equation}\n\n\n\\section{Results and discussion}\n\n\n\\begin{figure}[t]\n  \\centering\n \\begin{subfigure}{.49\\textwidth}\n    \\centering\n    \\includegraphics[width=\\linewidth]{landscape.png}\n   \n\\end{subfigure}\\hfill\n \\begin{subfigure}{.49\\textwidth}\n  \\centering\n  \\includegraphics[width=\\linewidth]{Figures\/three_faces.jpg}\n \n\\end{subfigure}\n  \\caption{\\textbf{Left}: A choice of seed vector $\\vec{z}^*$, shown as an orange dot, and mask region $M$ creates a function $\\mathcal{L}_X$ illustrated here on the latent space of the generative model. The optimization seeks a set of vectors $\\{\\vec{z}_i\\}$, shown as red dots, that lie along the minima of this landscape. They are encouraged to be evenly spaced along a path with minimal curvature by the spring loss $\\mathcal{L}_{spring}$, where springs of order $k=1, 2$ are shown as green and blue connectors respectively. \\textbf{Right}: Various results of our algorithm. Each row consists of a different seed vector and mask region as shown in the first column. The other columns are selected images from the generated sequences $\\{\\vec{z}_i\\}$. Note that the change in the images is well localized to the masked region. Also note that we use a large value of $c$ to exaggerate the changes for clarity. Refer to the Appendix for many more results.} \n\\label{fig:image_grid}\n\\end{figure}\n\n\nFigure \\ref{fig:image_grid}, right, shows some of our experimental results. It can be seen that changes to the face are all localized within the mask region while minimal change occurs outside. More importantly, we demonstrate that our method is generalizable to any mask region of choice as well as initial face (see Figures \\ref{fig:boy_mouth} to \\ref{fig:woman_mouth} in the Appendix for additional experiments). The spring constraints of our method are designed to generate smooth videos, please refer to our supplementary material to experience this qualitatively.\n\nThis work is a small contribution towards the larger vision of exploring and characterizing the semantic manifolds lurking in the latent spaces of generative models. Generalizing to different models, different dimensionalities of manifolds, and more controls than just rectangular masks are a small sampling of the natural extensions of this line of inquiry.\n\n\\section{Ethical implications}\nThe StyleGAN2 model we use is capable of generating realistic faces while also demonstrating a proficient understanding of how faces tend to vary in the dataset. Given these qualities, GANs can be used as a popular tool for modelling and promulgating what is considered to be ``normal'', which if used uncritically, could marginalize people labelled ``abnormal'' by these systems \\cite{crawford_trouble_2017}.\n\nFurthermore, there has been much popular discussion about whether we are entering a post-truth contemporary era, where generative tools such as the one we present here have raised fears of hyper-realistic ``deepfake'' videos impersonating real people, poisoning the information ecology and further eroding trust in any consensus reality \\cite{vincent_watch_2018}.\n\nPerhaps more subtly, our method and others like it can create very physically plausible videos of faces changing in ``unnatural'' ways, such as shifting bone structure, smoothly varying a face from one identity to another. If such videos become commonplace in our culture, might this contribute to a reconfiguring of our traditional conception of separate, fixed, and individual identities towards fluid, overlapping, and changeable ones? The consequences of such a fundamental shift, be they negative, positive, or neutral are difficult to anticipate but worthy of consideration.\n\n\\printbibliography\n\n\\newpage\n\\section{Appendix}\n\nBelow are some additional figures of experiments with different faces and masks. For all figures below, the first column is the reference image $\\vec{x}^*$ with mask region shown. Unless its value is explicitly stated, we use a large value of $c$ to exaggerate the changes for clarity. \n\nWe encourage readers to view our video animations, from which stills were taken to create these figures below. An important aspect of our method is that it creates smooth animations while exploring the manifolds. As a result, the video animations convey much more visual information, whereas some of that is lost with still figures. Refer to supplementary materials for the animations.\n\n\n\\begin{figure}[ht]\n     \\centering\n     \\begin{subfigure}{\\textwidth}\n         \\centering\n         \\includegraphics[width=\\textwidth]{Supplementary\/boy_mouth_0.15.png}\n         \\caption{$c=0.15$}\n         \\label{fig:boy_mouth_0.15}\n     \\end{subfigure}\n     \\hfill\n     \\begin{subfigure}{\\textwidth}\n         \\centering\n         \\includegraphics[width=\\textwidth]{Supplementary\/boy_mouth_0.25.png}\n         \\caption{$c=0.25$}\n         \\label{fig:boy_mouth_0.25}\n     \\end{subfigure}\n     \\hfill\n     \\begin{subfigure}{\\textwidth}\n         \\centering\n         \\includegraphics[width=\\textwidth]{Supplementary\/boy_mouth_0.35.png}\n         \\caption{$c=0.35$}\n         \\label{fig:boy_mouth_0.35}\n     \\end{subfigure}\n     \\hfill\n     \\begin{subfigure}{\\textwidth}\n         \\centering\n         \\includegraphics[width=\\textwidth]{Supplementary\/boy_mouth_0.45.png}\n         \\caption{$c=0.45$}\n         \\label{fig:boy_mouth_0.45}\n     \\end{subfigure}\n        \\caption{Each row represents an experiment with a different offset $c$ value on the same face and mask region.}\n        \\label{fig:boy_mouth}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/boy_eyes.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the eyes.}\n    \\label{fig:boy_eyes}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/boy_half_face.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the right half of the face.}\n    \\label{fig:boy_half_face}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/boy_non_eye.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around everything except the eye region (i.e., eye region remains unchanged).}\n    \\label{fig:boy_non_eye}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/man_half_face.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the right half of the face.}\n    \\label{fig:man_half_face}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/man_mouth.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the mouth.}\n    \\label{fig:man_mouth}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/woman2_mouth_chin.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the mouth and chin.}\n    \\label{fig:woman2_mouth_chin}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/woman2_half_face.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the right half of the face.}\n    \\label{fig:woman2_half_face}\n\\end{figure}\n\n\\begin{figure}[ht]\n    \\centering\n    \\includegraphics[width=\\textwidth]{Supplementary\/woman_mouth.png}\n    \\caption{Experiment with a single offset $c$ value with mask region around the mouth.}\n    \\label{fig:woman_mouth}\n\\end{figure}\n\n\n\\begin{comment}\n\n\\paragraph{Paragraphs}\n\nThere is also a \\verb+\\paragraph+ command available, which sets the heading in\nbold, flush left, and inline with the text, with the heading followed by 1\\,em\nof space.\n\n\\section{Citations, figures, tables, references}\n\\label{others}\n\nThese instructions apply to everyone.\n\n\\subsection{Citations within the text}\n\nThe \\verb+natbib+ package will be loaded for you by default.  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For example,\n\\begin{verbatim}\n   \\citet{hasselmo} investigated\\dots\n\\end{verbatim}\nproduces\n\\begin{quote}\n  Hasselmo, et al.\\ (1995) investigated\\dots\n\\end{quote}\n\nIf you wish to load the \\verb+natbib+ package with options, you may add the\nfollowing before loading the \\verb+neurips_2020+ package:\n\\begin{verbatim}\n   \\PassOptionsToPackage{options}{natbib}\n\\end{verbatim}\n\nIf \\verb+natbib+ clashes with another package you load, you can add the optional\nargument \\verb+nonatbib+ when loading the style file:\n\\begin{verbatim}\n   \\usepackage[nonatbib]{neurips_2020}\n\\end{verbatim}\n\nAs submission is double blind, refer to your own published work in the third\nperson. That is, use ``In the previous work of Jones et al.\\ [4],'' not ``In our\nprevious work [4].'' 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It is permissible to reduce the font size to \\verb+small+ (9 point)\nwhen listing the references.\n{\\bf Note that the Reference section does not count towards the eight pages of content that are allowed.}\n\\medskip\n\n\\small\n\n[1] Alexander, J.A.\\ \\& Mozer, M.C.\\ (1995) Template-based algorithms for\nconnectionist rule extraction. In G.\\ Tesauro, D.S.\\ Touretzky and T.K.\\ Leen\n(eds.), {\\it Advances in Neural Information Processing Systems 7},\npp.\\ 609--616. Cambridge, MA: MIT Press.\n\n[2] Bower, J.M.\\ \\& Beeman, D.\\ (1995) {\\it The Book of GENESIS: Exploring\n  Realistic Neural Models with the GEneral NEural SImulation System.}  New York:\nTELOS\/Springer--Verlag.\n\n[3] Hasselmo, M.E., Schnell, E.\\ \\& Barkai, E.\\ (1995) Dynamics of learning and\nrecall at excitatory recurrent synapses and cholinergic modulation in rat\nhippocampal region CA3. {\\it Journal of Neuroscience} {\\bf 15}(7):5249-5262.\n\n\\end{comment}\n\n\\end{document}","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction and statement of results}\n\\label{sect:intro}\n\nA space which has the minimal model isomorphic to the minimal model of its cohomology ring \nis called formal. In other words, the \"rational homotopy type\" of the space is a formal consequence \nof its cohomology ring. Compact K\\\"ahler manifolds (in particular, smooth complex projective varieties) \nare important examples of formal spaces. See Deligne-Griffiths-Morgan-Sullivan \\cite{DGMS} for details.\n\n\nIt seems natural to introduce a more relaxed version, namely $k$-\\textit{formality}\n(see Definition \\ref{s-formality}), following \\cite{DGMS}. For $k=1$, it coincides with \nthe usual notion of $1$-formality present in the literature (see \\cite{ABC}). \nSee \\cite{ABC} for the equivalence between $1$-formality of a space and quadratic presentability \nof the Malcev Lie algebra associated to the fundamental group of that space, and also \\cite{CT}.\n\nOur notion of partial formality is strictly weaker, despite the terminology, than the one introduced \nby Fern\\'{a}ndez-Mu\\~{n}oz in \\cite[ Definition 2.2]{FM}. For instance, in the case of nilmanifolds, \nformality is equivalent to $1$-formality in the sense of \\cite{FM} (see \\cite[Lemma 2.6]{FM}), \nwhich is not the case with our definition (see Corollary \\ref{c1}). This is due to the fact that \nthe test of partial formality in \\cite{FM} is global, in the sense that it involves the whole minimal model,\nwhereas our $k$-formality test is a finite one, using only information provided by the $k$-minimal model, \nup to degree $k+1$; see Proposition \\ref{art}(1), and the discussion following it.\n\nIt is well-known that $1$-formality (in our sense) is the first general obstruction in \nthe Serre problem regarding the characterization of \\textit{projective groups} \n(fundamental groups of smooth projective complex varieties).\nA difficult particular case of this problem turns out to be the one of nilpotent groups. \nA positive answer is given by Campana \\cite{C} for a certain class of $2$-step nilpotent groups, \nthe Heisenberg groups $\\mathcal{H}_{n \\geq 4}$ (see Definition \\ref{heisenberg}).\nAs for the remaining Heisenberg groups, $\\mathcal{H}_{1}$ does not pass the $1$-formality criterion \n(see Corollary \\ref{c1} for a slightly more general result);  $\\mathcal{H}_{2}$ and $\\mathcal{H}_{3}$ \nare also non-projective groups  (see Carlson-Toledo \\cite[Corollary 4.5]{CT}). \nWhen passing to $3$-step nilpotent groups, \nthe answer is not known, according to \\cite{CT}.\n\n We approach in Corollary \\ref{T} the solution to the Serre problem given by Campana, \n to point out some  homotopic features of the projective smooth \n complex varieties constructed in \\cite{C}.\n This is actually a consequence of a more general result (where partial formality for \n a group $G$ is defined via the classifying space $K(G,1)$).\n \n\\begin{theorem}\n\\label{Thm}\nLet $M$ be a $k$-formal space such that $\\pi_1(M)$ is not $k$-formal $(k\\ge 2)$. Then \nthere exists $2 \\leq i \\leq k$ such that $\\pi_i(M) \\neq 0$.\n\\end{theorem}\n\nNote that the above result no longer holds if partial formality is taken in the sense of \\cite{FM}; \nsee Remark \\ref{remFM}.\n\nSome of the results presented in Section \\ref{obstr}, such as passing from partial to \nfull formality (Proposition \\ref{k+2}) and Proposition \\ref{art}\\eqref{ii} are inspired by \nthe similar results obtained in the $1$-connected case by Papadima in \\cite{P2}.\n\nFor nilpotent groups we find obstructions to (partial) formality involving either \ngenerators of the cohomology ring (up to a degree) or certain \\textit{resonance varieties} \n(see Definition \\ref{var-res}) associated to the cohomology ring.\n\n\\begin{theorem}\n\\label{B}\nLet $G$ be a finitely generated nilpotent group.\n\\begin{enumerate}\n\\item \\label{motz} \nIf $G$ is k-formal , then $H^{\\leq k+1}(G)$ is generated as an algebra by $H^1(G)$.\n\\item \\label{converse}\nFor 2-step nilpotent groups, the converse also holds.\n\\end{enumerate}\n\\end{theorem}\n\nFor $k=1$, the first part of Theorem \\ref{B} follows from \\cite{ABC}, Lemma 3.17 on page 35.\nThe second part of Theorem \\ref{B}, for the case $k=1$, follows from \\cite{CT}, Corollary $0.2.1$.\nAs explained in Remark \\ref{rem=noteq}, the second part may fail, if $G$ is not\n2-step nilpotent, even for $k=1$. \n\nAnother obstruction to partial formality can be expressed in terms of the resonance varieties\n${\\mathcal R}_1^i (G)\\subseteq H^1(G, \\k)$, over a field $\\k$ of characteristic zero.\n\n\\begin{theorem}\n\\label{zerores}\nLet $G$ be a nilpotent, finitely generated, $s$-formal group. \nThen the resonance varieties of $G$ are trivial up to degree $s$, that is,\n${\\mathcal R}_1^i (G)\\subseteq \\{ 0\\}$ for $i\\le s$.\n\\end{theorem}\n\nNote that this result, via our Lemma \\ref{non}, generalizes  \\cite[Lemma 2.4]{CT}, \ncorresponding to the case $s=1$. \n \nFor fundamental groups of complements of arrangements of complex hyperplanes, \nit is well-known that 1-formality holds. It turns out \nthat our nilpotency test from Theorem \\ref{zerores}, via resonance, is faithful (see Example \\ref{arr}).\n\nIn Section \\ref{section:heisenberg} we make an analysis of the formality properties for \nHeisenberg-type groups from a double perspective - generators of the cohomology ring and resonance varieties.\n\n\\section{Partial minimal models and formality properties}\n\\label{sect:2step}\n\nFor D. Sullivan's theory of minimal models  we refer to \\cite{S} (see also \n\\cite{DGMS}, \\cite{FHT}, \\cite{HS} and \\cite{M}).\n\nLet $({A}^{*}, d_A)$ be a differential graded algebra (D.G.A.) over a field $\\k$ of characteristic \nzero, such that $H^0(A^*, d_A)$ is the ground field. A minimal model for ${A}^{*}$ is a minimal \nD.G.A. $(\\mathcal{M}, d_{\\mathcal{M}})$ such that there exists a morphism of D.G.A.'s \n$\\rho : \\mathcal{M} \\longrightarrow A^{*}$ inducing isomorphism on cohomology. There is a \nunique (up to isomorphism) $\\mathcal{M}=\\mathcal{M}(A)$ satisfying the conditions in the definition.\n\nLet $K$ be a space having the homotopy type of a connected simplicial complex. We call \nthe minimal model of $K$, denoted $\\mathcal{M}(K)$, the minimal model associated to the D.G.A. \nof p.l. forms  $\\Omega ^{*}(K)$.\n\nA D.G.A. $A^*$ as above is called formal if there exists a D.G.A. morphism  \n$(\\mathcal{M}(A), d_{\\mathcal{M}}) \\longrightarrow (H^{*}(A),d=0)$ \nwhich induces isomorphism in cohomology.\n\n$K$ is formal if and only if the minimal model of $K$ is a formal D.G.A, i.e. \n$ \\mathcal{M}(K)=\\mathcal{M}(H^{*}(K), d=0)$.\n\n\\begin{definition}\n\\label{k-mod}\n A minimal algebra $\\mathcal{M}$ generated by elements of degree $\\leq k$ is called \n a $k$-minimal model of a D.G.A. $(A^*, d_A)$ if there exists a D.G.A. map \n $\\rho: \\mathcal{M} \\longrightarrow A$ such that it  induces in cohomology isomorphisms \n up to degree $k$ and a monomorphism in degree $k+1$. Again, such an object exists and is \n uniquely determined, up to isomorphism, for any D.G.A. $(A^*, d_A)$. \n Notation: $\\mathcal{M}=\\mathcal{M}_k(A)$.\n\\end{definition}\n \n \\begin{remark}\n \\label{scale}\n If $\\mathcal{M}=(\\wedge V,d)$ is a minimal algebra, then \n $\\mathcal{M}_k(\\mathcal{M})= (\\wedge V^{\\leq k},d)$. For a space $K$, \n set $\\mathcal{M}_k(K):=\\mathcal{M}_k(\\mathcal{M}(K))$.\n \\end{remark}\n \n \\begin{example}\n \\label{ex:gr}\n Assume $H^*(K)=\\wedge (x_1, \\dots, x_n)$, as rings.\n Then the minimal model of $K$ is $\\mathcal{M}(K)=(\\wedge (x_1, \\dots, x_n), d=0)$, \n hence $K$ is formal. \n If deg$(x_i)=1$, for all $i$, then $\\mathcal{M}_1(K)=\\mathcal{M}(K)$; it follows from \\cite{S} \n that the rational associated graded Lie algebra of $G=\\pi_1(K), \\; \\gr(G) \\otimes \\mathbb{Q}$, is abelian,\n concentrated in degree $1$ (i.e. $\\gr(G)_{\\ge 2} \\otimes \\mathbb{Q}=0$).\n \\end{example}\n \n \\begin{definition}\n \\label{DGA k-formal}\n A D.G.A. $(A^*,d_A)$ is called $k$-{\\em formal} if there exists a D.G.A. morphism  \n $(\\mathcal{M}_k(A), d) \\to (H^{*}(A),0)$ which induces isomorphisms in cohomology up to degree $k$ \n and a monomorphism in degree $k+1$.\n \\end{definition}\n \n\\begin{definition}\n\\label{s-formality}\nThe space $K$ is called $k$-{\\em formal} if $\\mathcal{M}(K)$ is a $k$-formal D.G.A. \nIn other words, $\\mathcal{M}_k(K)=\\mathcal{M}_k(H^*(K),0)$.\n\\end{definition}\n\n\nA group $G$ is called formal (respectively $k$-formal) if the associated Eilenberg-MacLane \nspace $K(G,1)$ is formal (respectively $k$-formal).\nThis convention (replace the  $K(G,1)$ space by  the group $G$) will be used from now on.\n\n\nNote that a formal space is $k$-formal, for any $k$. \nA partial converse will be proved later, in Proposition \\ref{k+2}.\n\nRecall from \\cite{W} that a continuous map between connected $CW$-complexes \n$f:X \\longrightarrow Y$ is called a \n$k$-homotopy equivalence if it induces isomorphisms on homotopy groups up to degree $k-1$ \nand a surjection in degree $k$.\n Up to homotopy, we can see $f$ as an inclusion. Then from the long exact homotopy sequence \n associated to the pair $(Y,X)$ we get $\\pi _{\\leq k}(Y,X)=0$, hence, by  the Hurewicz theorem \n (relative version), $H_{\\leq k}(Y,X)=0$. It follows that $H^{\\leq k}(Y,X)=0$, and we can apply \n the long exact cohomology sequence of the pair to conclude that we have \n $H^{\\leq k-1}(X)\\cong H^{\\leq k-1}(Y)$  and an injection $H^k(Y)\\hookrightarrow H^k(X)$, \n both induced by the inclusion $f$.\n Therefore a $k$-homotopy equivalence is a \\textit{homology $k$-equivalence} \n (that is, a map which induces isomorphisms on cohomology groups \n up to degree $k-1$ and a monomorphism in degree $k$).\n\n\\begin{prop}\n\\label{L}\nLet $f:X \\longrightarrow Y$ be a homology $k$-equivalence. Then \n\\begin{equation}\n\\label{k-1}\n\\mathcal{M}_{k-1}(X) \\cong \\mathcal{M}_{k-1}(Y)\n\\end{equation}\nand \n\\begin{equation}\n\\label{m^k-1}\n\\mathcal{M}_{k-1}(H^*(X),0) \\cong \\mathcal{M}_{k-1}(H^*(Y),0)\n\\end{equation}\n\\end{prop}\n\n\\begin{proof}\n Let  $\\rho :\\mathcal{M}_{k-1}(Y) \\longrightarrow \\Omega^{*}(Y) $ be a map as \n in the definition of the $k$-minimal model. Since $f$ is a homology $k$-equivalence, the map  \n $f^* \\circ \\rho: \\mathcal{M}_{k-1}(Y) \\longrightarrow \\Omega^*(X)$ satisfies \n the conditions from the definition of the $k$-minimal model, so $\\mathcal{M}_{k-1}(Y)$ \n is also the $(k-1)$-minimal model of $X$.\n A similar proof shows that $\\mathcal{M}_{k-1}(H^*(X),0) \\cong \\mathcal{M}_{k-1}(H^*(Y),0)$. \n\\end{proof}\n\n\n\\begin{corollary}\n\\label{form}\nAssume $f$ is a homology $k$-equivalence. Then $X$ is $(k-1)$-formal \nif and only if $Y$ is $(k-1)$-formal.\n\\end{corollary}\n\n\n\\begin{remark}\n\\label{remFM}\nThe previous result is similar to \\cite[Theorem 5.2(i)]{FM}, where only \n\"$Y$ $(k-1)$-formal $\\Rightarrow$ $X$ $(k-1)$-formal\" is shown, but uses a different notion \nof partial formality, as explained in Remark \\ref{FernandezMunoz}. With the definition \nof partial formality in the sense of \\cite{FM}, Theorem \\ref{Thm} no longer holds. \nThis can be seen by considering $M$ to be the projective smooth complex variety with \nfundamental group a Heisenberg group $\\mathcal{H}_{n \\geq 4}$ (see Definition \\ref{heisenberg}), \nconstructed by Campana (\\cite{C}). Then $M$ is formal, hence $k$-formal in the sense of \n\\cite[Definition 2.2]{FM}, for any $k$, but $\\pi_1 (M)$ is not even $1$-formal in the sense of \\cite{FM} \n(by \\cite[Lemma 2.6]{FM}). Were Theorem \\ref{Thm} true for $k=2$ it would imply that $\\pi_2(M) \\neq 0$. \nOne can deduce that $\\pi_2(M)=0$ from the construction of $M$ \n(see \\cite{C}, or \\cite[Section 5]{CT}), when $n \\geq 6$.\n\\end{remark}\n\n\nTheorem \\ref{Thm} follows from the result below:\n\\begin{theorem}\n\\label{thm:1.1strong}\nAssume either $M$ is a $k$-formal space such that $\\pi_1(M)$ is not $k$-formal or \n$M$ is not $k$-formal and $\\pi_1(M)$ is $k$-formal, where $k\\ge 2$. Then there exists \n$2 \\leq i \\leq k$ such that $\\pi_i(M) \\neq 0$.\n\\end{theorem}\n\n\\begin{proof}\nAssume $\\pi_i(M)=0, \\; \\forall \\; 2 \\leq i \\leq k$ and set $\\pi_1(M):=H$.\nConsider the classifying map $f:M \\longrightarrow K(H,1)$ such that $\\pi_1(f)=\\id_{H}$. \nThis map is then a $(k+1)$-homotopy equivalence. Then $M$ is $k$-formal if and only if $H$ is $k$-formal, \nby Corollary \\ref{form}, contradicting our hypothesis.\n\\end{proof}\n\n\n\\section{Obstructions to partial formality}\n\\label{obstr}\n\n We begin by giving an alternative characterization of (partial) formality, along the lines \n from \\cite{DGMS} and \\cite{FM}.\n \n We will need several basic properties of the bigraded minimal model of a connected, \n graded-commutative algebra $H^*$, extracted from \\cite{HS}.\n\nAs an algebra, $\\mathcal{B}= \\wedge Z$, where $Z$ is bigraded by \n$Z= \\oplus_{i \\geq 0,\\;p \\geq 1}Z^p_i$. The differential $d$ has degree $+1$ with respect to \nupper degrees and is of degree $-1$ with respect to lower degrees. Moreover,\n\n\\begin{equation}\n\\label{basic}\nH_{+}(\\mathcal{B}, d)=0\n\\end{equation}\n\n The $k$-minimal model of $\\mathcal{B}$ will be denoted by \n $_{k} \\mathcal{B}:= (\\wedge Z^{\\leq k},d)$.\n \n For a D.G.A. $(\\wedge V, d)$, set $C^*= \\Ker (d|_{V^*})$.\n\n\\begin{prop}\n\\label{art}\nThe following hold.\n\\begin{enumerate}\n\\item \\label{i} \nA D.G.A. $(A^*, d_A)$  is $k$-formal ($1 \\leq k \\leq \\infty$) \nif and only if it has a $k$-minimal model $\\mathcal{M}_k=( \\wedge V^{\\leq k}, d)$ with \na decomposition $V^{\\leq k}=C^{\\leq k} \\oplus N^{\\leq k}$ such that \n$(N  \\cdot \\mathcal{M}_k \\cap \\Ker\\;d)^{\\leq k+1} \\subset d\\mathcal{M}_k$, \nwhere $N=\\oplus_{1 \\leq i \\leq k}N^i$.\n\\item \\label{ii}\nAssume  $\\mathcal{M}_k=( \\wedge V^{\\leq k}, d)$ has the property from Part \\eqref{i} above.\nLet $\\phi: \\wedge C^{\\leq k} \\longrightarrow H^*(\\mathcal{M}_k)$ be the map of \ngraded algebras which associates to an element in $\\wedge C^{\\leq k}$  its cohomology class. \nThen $\\phi$ is surjective up to degree $k+1$.\n\\item \\label{iii}\nIf $M$ is a $k$-formal space and a rational $K(\\pi,1)$, then the cohomology algebra of $M$ \nis generated by $H^1(M)$, up to degree $k+1,\\; i.e.$ $H^{\\leq k+1}(M)=(H^1(M))^{ \\leq k+1}$.\n\\end{enumerate}\n\\end{prop}\n \n\\begin{proof} \n\\eqref{i} \n If $A^*$ is $k$-formal, then there is a D.G.A. isomorphism \n $ \\mathcal{M}_k(A) \\cong \\;_{k}\\mathcal{B}$, where $\\mathcal{B}$ is the bigraded model \n of $H^*(A)$. The required decomposition of $Z^{\\le k}$ is as follows: $C^q=Z_0^q$ and \n $N^q= \\oplus_{i>0}Z^q_i$, for $q \\leq k$. Let $ x \\in N \\cdot_k\\mathcal{B} \\cap \\Ker\\;d$, \n be homogeneous of upper degree $q \\leq k+1$. The lower degree of each component of $x$ \n is strictly positive, hence $x=d(z)$, for some $z \\in \\mathcal{B}^{q-1}= \\;_k\\mathcal{B}^{q-1}$, \n since  $H_+(\\mathcal{B})=0$ and $q \\leq k+1$.\n \n To prove the converse claim, define a G.A. map \n \\begin{equation}\n \\label{ro}\n \\rho: \\;\\mathcal{M}_k  \\longrightarrow H^*(\\mathcal{M}_k)\n \\end{equation}\n by $c \\mapsto [c]$  and $n \\mapsto 0$, for $c \\in C^{\\leq k}, \\; n \\in N^{\\leq k}$.\n\nWe begin by showing that $\\rho$ is in fact a D.G.A. map, that is $\\rho(d(v))=0$, \nfor any $v \\in V^{\\leq k}$. \n\n \nFor  $c \\in C^{\\leq k}$ this is true, since $d(c)=0$.\n\nTake $n\\in N^{\\leq k}$. We can write \n$d(n)= \\overline{n} +\\overline{c}, \\; \\overline{n} \\in N \\cdot \\mathcal{M}_k, \\; \\overline{c} \\in \\wedge C^{\\leq k}$. \nThen $\\overline{n} \\in (N \\cdot \\mathcal{M}_k \\cap \\Ker\\;d)^{\\leq k+1}$, so $\\overline{n}$ \nis a boundary in $\\mathcal{M}_k$, which implies $\\rho(d(n))=[\\overline{c}]=0$.\n\nLet us prove now the injectivity of the map $H^q(\\rho)$, for $q \\leq k+1$. Take \n$\\alpha \\in \\; \\mathcal{M}_k= \\wedge V^{\\leq k}$ homogeneous of degree $q$, such that \n$H^q(\\rho)([\\alpha])=0$ and write $\\alpha$ as a sum $\\alpha= \\alpha_1+ \\alpha_2$, where \n$\\alpha_1 \\in \\wedge C^{\\leq k}$ and $\\alpha_2 \\in N \\cdot \\mathcal{M}_k$. It follows that \n$d(\\alpha_2)=d(\\alpha-\\alpha_1)=0$, hence $\\alpha_2=d(z), \\; z \\in \\mathcal{M}_k$, so \n$[\\alpha]=[\\alpha_1]$. This last equality, together with $H^q(\\rho)([\\alpha])=0$ implies \n$[\\alpha]=[\\alpha_1]=0$, hence $H^q(\\rho)$ is injective.\n\nWe prove the surjectivity of $H^q(\\rho)$, for $q \\leq k+1$. Let $[\\alpha] \\in H^q(\\mathcal{M}_k)$, \nwith $\\alpha$ written just as before as a sum $\\alpha=\\alpha_1+\\alpha_2$. Again $\\alpha_2$ is exact \nin $\\mathcal{M}_k$, and $H^q(\\rho)([\\alpha_1])= [\\alpha]$, hence surjectivity is proven.\n\nTo end the proof, consider the composition of $\\rho$ with the map induced in cohomology by \nthe map in Definition \\ref{k-mod}.  \n\n \n\\eqref{ii}\nThe proof of the fact that $\\phi$ is surjective up to degree $k+1$ goes  the same way as \nthe proof of the surjectivity of $H^q(\\rho)$ in Part \\eqref{i}.\n\n\n\\eqref{iii} We infer from $k$-formality the existence of a $k$-minimal model of $M,\\; \\mathcal{M}_k$, \nhaving the property from Part \\eqref{i}. Since $M$ is a rational $K(\\pi,1)$, \n$V^{\\leq k}=V^1$ and $C^{\\le k}=C^1$. Moreover, $\\mathcal{M}_k$ is actually the minimal model of $M$. \nOur claim follows by considering the map $\\phi: \\wedge C^1 \\longrightarrow H^*(M)$ \ndefined in Part \\eqref{ii}.\n\\end{proof}\n\n \nProposition \\ref{art}(1) \nshows that our notion of $k$-formality from Definition \\ref{DGA k-formal} is less\nrestrictive than the one from \\cite[Definition 2.2]{FM}. Actually, the requirements in\n\\cite{FM} are strictly stronger than ours;\nsee Remark \\ref{FernandezMunoz}. In \\ref{art}(2) we assume less than in \\cite{FM}, and we obtain more.\n  \n\\begin{definition}\n\\label{2-step}\nA 2-step nilpotent group is a group $G$ such that \n$[G, [G,G]]=0$, where $[,]$ denotes the group commutator.\n\\end{definition}\n\n\\begin{remark}\n\\label{alt}\nTo say that $G$ is a finitely generated 2-step nilpotent group is equivalent to say that \n$G$ is a central  extension of some finite rank abelian group by another finite rank abelian group.\n\\end{remark}\n\n  \n{\\bf Proof of Theorem \\ref{B}}\n\\eqref{motz}\nFollows from Proposition \\ref{art} Part \\eqref{iii}, due to the fact that \n$K(G,1)$ is a rational $K(\\pi,1)$.\n\n\\eqref{converse}\n  Since $G$ is two-step nilpotent, we can choose the generators of the minimal model \n  such that $\\mathcal{M}(G)= \\wedge (x_1, \\dots, x_m) \\otimes \\wedge (y_1, \\dots, y_n)$, \n  deg$(x_i)=$ deg$(y_j)=1$, \n  $d(y_j) \\in \\wedge^2(x_1, \\dots ,x_m), \\forall j$ and $C^1=<x_1, \\dots, x_m>$.\n \n Define then a map $\\phi$ (see Definition \\ref{DGA k-formal}),  \n $\\phi : (\\mathcal{M},d) \\longrightarrow (H^*(G),0)$\n by $x_i \\mapsto [x_i]$ and $y_j \\mapsto 0$. It is easy to see that $\\phi$ is a D.G.A. \n morphism and $H^1(\\phi)$ is the identity. As a consequence of the fact that \n $H^{\\leq k+1}(G)=(H^1(G))^{ \\leq k+1}$, $H^{\\leq k+1}(\\phi)$ is also the identity, \n being induced by $H^1(\\phi)$. This proves the $k$-formality of $G$. \\hfill $\\square$\n\n\\begin{corollary}[\\cite{Has}]\n\\label{nilmanifold} \nIf $G$ is a finitely generated nilpotent group, then $G$ is formal \nif and only if it is rationally abelian.\n\\end{corollary}\n\n\\begin{proof}\nTo justify the less obvious implication, assume the minimal model of the \nfinitely generated nilpotent group $G$ is \n$\\mathcal{M}= \\wedge (x_1, \\dots, x_n, y_{n+1}, \\dots, y_p)$, with $C^1=<x_1, \\dots, x_n>$. \nOne knows that $\\dim H^p(\\mathcal{M})=1$, since $\\mathcal{M}$ has the same cohomology \nas a $p$-dimensional nilmanifold. On the other hand, from Theorem \\ref{B}, Part \\eqref{motz}, \nfor $k= \\infty$, we get that $H^*(\\mathcal{M})$ is a quotient of the algebra $\\wedge^*(x_1, \\dots, x_n)$, \nhence $p=n$, which proves our claim.  \n\\end{proof}\n\nWe will also need the following lemma:\n \n\\begin{lemma}\n\\label{sem}\nLet $(A^*,d_A)$ be a D.G. algebra. Any $k$-minimal model \n$\\mathcal{M}_k=( \\wedge V^{\\leq k},d) \\overset{\\phi_k}{\\longrightarrow} (A^*,d_A)$ \ncan be extended to a $(k+1)$-minimal model \n$\\mathcal{M}_{k+1}=( \\wedge V^{\\leq k+1},d) \\overset{ \\phi_{k+1}}\\longrightarrow (A^*,d_A)$ \nsuch that for any $v \\in V^{k+1}, \\; d(v) \\in d(\\mathcal{M}_k)$ if and only if $d(v)=0$. \nMoreover, $V^{k+1}= \\oplus_{i \\geq 0}V^{k+1}_i$ and $d(v)=0$ if and only if $v \\in V_0^{k+1}$.\n\\end{lemma}\n\n\\begin{proof}\n Following a standard technique we gradually define the vector space of \n degree $k+1$ generators $V^{k+1}$.\n \n Set $V_0^{k+1}:= \\coker H^{k+1}(\\phi_k)$, with $d|_{V_0^{k+1}}=0$. Assume we have already  \n defined $V_i^{k+1}$ such that there is an extension \n $\\phi_{ki}: \\wedge (V^{\\leq k} \\oplus V^{k+1}_{\\leq i}) \\rightarrow (A^*, d_A)$ of the morphism \n $\\phi_k$ and set $V^{k+1}_{i+1}:= \\Ker H^{k+2}(\\phi_{ki})$ with transgression given by the inclusion  \n $[d]:V^{k+1}_{i+1} \\hookrightarrow H^{k+2}(\\wedge (V^{\\leq k} \\oplus V^{k+1}_{\\leq i}))$.\n Define $V^{k+1}= \\oplus_{i \\geq 0} V_i^{k+1}$.\n \n It remains to see that the extension just defined satisfies the property claimed in the lemma.\n Let $v= \\sum_{i=0}^{n}v_i \\in V^{k+1}, \\; v_i \\in V^{k+1}_i$. If $d(v)=d(\\alpha)$, \n for some $\\alpha \\in \\mathcal{M}_k$, then \n $d(v_n)=d(\\alpha - \\sum_{i=1}^{n-1}v_i) \\in d( \\wedge (V^{\\leq k} \\oplus V_{<n}^{ k+1}))$. \n This forces $v_n=0$, if $n>0$. A downward induction on $n$ shows $v=v_0$.\n\\end{proof}\n\n\n\\begin{prop}\n\\label{k+2} \nA k-formal space  $M$ with $H^{\\geq k+2}(M)=0$ is formal.\n\\end{prop}\n \n \n\\begin{proof} \n\nWe use a result of  \\cite{DGMS} to deduce the formality of $M$, corresponding to \nthe case $k=\\infty$ from our Proposition \\ref{art}, Part \\eqref{i}. That is, we have \nto find a minimal model $\\mathcal{M}=(\\wedge V,d)$ that admits a decomposition \n$V^i=C^i \\oplus N^i$ for any $i$, such that $C^i= \\Ker(d|_{V^i})$ and any closed element \nin the ideal generated by $\\oplus N^i$, denoted  $I(\\oplus_{i \\geq 1} N^i)$, is exact in $\\mathcal{M}$.\n\nThe $k$-formality is characterized on the other hand by Proposition \\ref{art}, Part \\eqref{i}, \nhence we choose $\\mathcal{M}_k= (\\wedge V^{\\leq k}, d)$ a $k$-minimal model with a decomposition  \n$V^i=C^i \\oplus N^i$ for $i \\leq k$ such that any closed element of degree at most $k+1$ in \n$N^{\\leq k} \\cdot  \\mathcal{M}_k$ is exact in $\\mathcal{M}_k$. \nExtend $\\mathcal{M}_k$ to a minimal model $\\mathcal{M}$, such that the $\\mathcal{M}_{k+1}$ \nextension is constructed as in Lemma \\ref{sem}.\n\nFor $i \\geq k+2$ take $\\alpha \\in V^i, \\; d(\\alpha)=0$. Since $H^{\\geq k+2}(\\mathcal{M})=0$, \nthere is $z \\in \\mathcal{M}$, such that $\\alpha=d(z)$. \nDue to the decomposability of the differential \nof the minimal algebra $\\mathcal{M}$, $\\alpha=0$. Therefore \n$C^{\\geq k+2}=0$ and we may take $N^{\\geq k+2}=V^{\\geq k+2}$.\n\nFor $i=k+1$, we know from Lemma \\ref{sem} that $C^{k+1}= V_0^{k+1}$. \nTake  $N^{k+1} = \\oplus_{i>0}V^{k+1}_i$.\n\nIt remains to see that every closed homogeneous element $\\alpha \\in I(\\oplus_{i \\geq 1} N^i)$, \nis exact in $\\mathcal{M}$.\nIf $\\alpha$ has degree $\\geq k+2$, this is clear, since $H^{\\geq k+2}(\\mathcal{M})=0$. \nIf $\\alpha$ is of degree $\\leq k$, then $\\alpha \\in N^{\\leq k} \\cdot \\mathcal{M}_k$ and \n$\\alpha$ must be exact in $\\mathcal{M}_k$, hence in $\\mathcal{M}$, \nby Proposition \\ref{art}, Part \\eqref{i}.\n\nThe last case to be solved is when $\\alpha$ is homogeneous of degree $k+1$.  In this case, \n$\\alpha=\\alpha_1+\\alpha_2$, with $\\alpha_1 \\in (N^{\\leq k} \\cdot \\mathcal{M}_k)^{k+1}$ and \n$\\alpha_2 \\in N^{k+1}$.  Then $d(\\alpha)=0$ implies $d(\\alpha_2)=d(-\\alpha_1)$, hence \n$\\alpha_2=0$, by Lemma \\ref{sem}. The exactness of $\\alpha= \\alpha_1$ follows again \nby Proposition \\ref{art} \\eqref{i}. \n\\end{proof}\n\nWe remark that \\cite[Lemma 2.10]{FM} is a consequence of the above result.\n\n\\begin{corollary}\n\\label{new}\nComplex plane projective curve complements are formal spaces.\n\\end{corollary}\n\n\\begin{proof}\nOne knows that the complements of plane projective curves are 1-formal spaces, \nhaving the homotopy type of a CW-complex with cells of dimension $\\leq 2$; see \n\\cite{K} and \\cite{DP} respectively, for more details. Hence their cohomology is trivial \nin dimension $\\geq 3$ and we  can apply Proposition \\ref{k+2}.\n\\noindent \\end{proof}\n\nThe same result was proved in \\cite{CM}, using a different approach.\n\n\\section{Partial formality and resonance}\n\\label{section:partial formality}\n \n\\begin{definition}\n\\label{var-res}\nLet  $M$ be a (finite type) connected CW complex. Define the resonance variety  \n$\\mathcal{R}^{q}_{k}(M)$ as the subset (homogeneous subvariety) of all cohomology classes \n$w \\in H^{1}(M, \\k)$ such that  \n$\\dim_{\\k} H^{q}(H^*(M), \\mu_{w}) \\geq k$, where $\\mu_{w}$ is \nthe differential induced by the multiplication by $w$. \n\\end{definition}\n\n\nTo obtain another type of obstruction to formality, related to resonance varieties, \nwe begin with a lemma on bigraded minimal models.\n\n\\begin{lemma}\n\\label{bigrad}\nLet $H^*$ be a connected  graded-commutative algebra and denote by $\\mathcal{B}$ its \nbigraded minimal model as defined and constructed in \\cite{HS}.  If \n$\\mathcal{R}_1^q(H^*) \\nsubseteq \\{0\\}$, \nthen the vector space $\\mathcal{B}^q$ has infinite dimension.\n\\end{lemma}\n\n\\begin{proof}\n\nWe evaluate first the resonance varieties of $H^* \\cong H^*(\\mathcal{B})$.\n\n Take $[\\omega] \\in H^1(\\mathcal{B})$  and $[\\eta] \\in H^q (\\mathcal{B})$ with \n $d(\\omega)=0, \\;d(\\eta)=0$ and $[\\omega \\eta]=0$ in $H^{q+1}(\\mathcal{B})$. Note that\n $\\omega \\in Z_0^1$: write $ \\omega= \\sum _{i \\geq 0}\\omega_i, \\; \\omega_i \\in Z^1_i$, \n with almost all $\\omega_i=0$. Now $d(\\omega)=0$ implies $d(\\omega_i)=0,\\; \\forall i$; \n moreover, for $i>0$, all $\\omega_i$ are boundaries, as follows from \\eqref{basic}, \n so $\\omega_i=0$, by minimality.\n The same type of argument  shows that we can take $\\eta \\in \\mathcal{B}_0^q$.\n\nThe equality $[\\omega \\eta]=0$ in $H^{q+1}$  translates into $\\omega \\eta =d(\\alpha)$ \nin $\\mathcal{B}^{q+1}$, for some $\\alpha \\in \\mathcal{B}^{q}_1$. Now suppose $\\omega \\neq 0$ \nand $[\\eta] \\notin [\\omega]H^{q-1}(\\mathcal{B})$.\n\n\nIf $\\alpha =0$, then $\\omega \\eta=0$ in the free graded commutative algebra $\\mathcal{B}$, \nhence $\\eta = \\overline{\\eta} \\omega$ with $\\overline{\\eta} $  of lower degree 0, \nhence $d(\\overline{\\eta})=0$. But this implies $[\\eta]= \\pm [\\omega][\\overline{\\eta}]$, a contradiction.\n\nSo,  $\\alpha:= \\alpha_1 \\neq 0$. We construct a sequence \n$(\\alpha_i)_{i \\geq0}, \\;\\alpha_i \\in \\mathcal{B}^q_i, \\; \\alpha_0:=\\eta$, such that \n$d(\\alpha_{i+1})=\\omega \\alpha_{i}$ and $\\alpha_i \\neq 0 \\;\\forall i$. Assume $\\alpha_n$ \nalready defined and satisfying the required properties for some fixed $n \\geq 1$. Then \n$d( \\omega \\alpha_n)=0$, so there is $\\alpha_{n+1} \\in \\mathcal{B}^q_{n+1}$ such that \n$d(\\alpha_{n+1})= \\omega \\alpha_{n}$. Also $\\alpha_{n+1}=0$ implies $\\omega \\alpha_{n}=0$. \n\nThe last equality will lead to a contradiction.\n If $\\omega \\alpha_{n}=0$, then $\\alpha_n= \\omega \\beta, \\; \\beta \\in \\mathcal{B}^{q-1}_n$. \n Differentiating the last equality we obtain $\\omega \\alpha_{n-1} = \\pm \\omega d(\\beta)$, \n hence $\\alpha_{n-1} \\pm d(\\beta)= \\omega \\zeta_{n-1}$, with  $\\zeta_{n-1} \\in \\mathcal{B}_{n-1}^{q-1}$.\n Differentiating again we get $\\omega \\alpha_{n-2} = \\pm \\omega d(\\zeta_{n-1})$, which implies \n $\\alpha_{n-2} \\pm d(\\zeta_{n-1})= \\omega \\zeta_{n-2}$ with $\\zeta_{n-2} \\in \\mathcal{B}_{n-2}^{q-1}$. \n A downward induction shows that eventually we obtain the equality \n $\\eta \\pm d(\\zeta_{1})= \\omega \\zeta_{0}$, with $\\zeta_{1} \\in \\mathcal{B}_{1}^{q-1}$ and \n $\\zeta_{0} \\in \\mathcal{B}_{0}^{q-1}$, which implies $[\\eta]=[\\omega][\\zeta_0]$, again a contradiction.\n \n  This ends the construction of the sequence $(\\alpha_i)_{i \\geq0}, \\;\\alpha_i \\in \\mathcal{B}^q_i$ , \n  with nonzero elements $\\alpha_i$ and the conclusion follows.\n\\end{proof}\n\n\n{\\bf Proof of Theorem \\ref{zerores}}\nLet us denote by $\\mathcal{B}$ the bigraded minimal model of the cohomology algebra \n$H^*(G)$, and by $_{s}\\mathcal{B}$ the $s$-minimal model of $H^*(G)$.\nAccording to the previous lemma, it is enough to show that $\\mathcal{B}^q$ \nhas finite dimension, for $q \\leq s$. The $s$-formality of $G$ implies that the $s$-minimal model \nof $G$ coincides with the  $s$-minimal model of $H^*(G)$, that is $\\mathcal{M}_s(G) =\\;_{s}\\mathcal{B}$. \nSince $G$ is finitely generated and nilpotent, $\\mathcal{M}(G)=\\mathcal{M}_1(G)=\\mathcal{M}_s(G)$ \nis a finite dimensional vector space. Clearly, $\\mathcal{B}^q= _s\\mathcal{B}^q$, for $q \\leq s$. \nOur proof is complete. \\hfill $\\square$\n\n\n\\begin{example}\n\\label{arr}\nThe nilpotency condition in Theorem \\ref{zerores} is necessary. We consider \n$G_{\\mathcal{A}}=\\pi_1(M_{\\mathcal{A}})$ to be the fundamental group of \nthe complement of a central complex hyperplane arrangement \n$\\mathcal{A} \\subset \\mathbb{C}^n$, $n \\geq 3$.\nThen $G_{\\mathcal{A}}$ is finitely generated (see for instance \\cite{OT}) and 1-formal \n($M_{\\mathcal{A}}$ is a formal space -see for example \\cite{OT}- hence 1-formal, \nso $G_{\\mathcal{A}}$ is also 1-formal). \n\n In this setting, the properties below are equivalent:\n \\begin{enumerate}\n \\item \\label{e1}\n  The hyperplanes of $\\mathcal{A}$ are in general position in codimension 2.\n \\item \\label{e2}\n  The group $G_{\\mathcal{A}}$ is abelian.\n \\item \\label{e3}\n  The group $G_{\\mathcal{A}}$ is nilpotent.\n \\item \\label{e4}\n $\\dim_{\\mathbb{Q}} \\gr(G_{\\mathcal{A}}) \\otimes \\mathbb{Q} < \\infty$.\n \\item \\label{e5}\n  $\\mathcal{R}_1^1(G_{\\mathcal{A}}) \\subseteq \\{0\\}$.\n \\item \\label{e6}\n  $\\mathcal{V}_1^1(G_{\\mathcal{A}}) \\subseteq \\{1\\}$. \n \\end{enumerate}\n (Here $\\gr(G) \\otimes \\mathbb{Q}$ is the rational associated graded Lie algebra of\n a group $G$, and $\\mathcal{V}_1^1(G)$ denotes its (first) characteristic variety in\n degree one.)\n \nThe implication \\eqref{e1} $\\Rightarrow$ \\eqref{e2} follows from Hattori's Theorem \nfrom \\cite{Hat}, and \n\\eqref{e2} $\\Rightarrow$ \\eqref{e3}  $\\Rightarrow$ \\eqref{e4} are obvious. \nFor \\eqref{e4} $\\Rightarrow$ \\eqref{e1}, we refer to \\cite[Proposition 2.12]{F}. The implication \n\\eqref{e3} $\\Rightarrow$ \\eqref{e5} is given by our Theorem \\ref{zerores} and \n\\eqref{e5} $\\Rightarrow$ \\eqref{e1} is implicit in the proof of Proposition 2.12, \nfrom \\cite{F}. \\eqref{e3} $\\Rightarrow$ \\eqref{e6} follows from \\cite[Theorem 1.1]{MP}. \nFinally, \\eqref{e6} $\\Rightarrow$ \\eqref{e5}, since in the 1-formal case \n(which is the case for $G_{\\mathcal{A}}$) we have a local isomorphism  \n$\\mathcal{R}_1^1 \\cong \\mathcal{V}_1^1$ given by the exponential map; see \\cite[Theorem A]{DPS}.\n\\end{example}\n\n\n\\begin{remark}\nThe partial formality in the hypothesis of Theorem \\ref{zerores} is also\nessential.  The more precise claim is that for any finite connected CW-complex $M$, \nthere is a finitely generated 2-step nilpotent group $G$ such that \n$\\mathcal{R}_k^1(G)=\\mathcal{R}_k^1(M)$, for all $k$. See \\cite{MP}.\nNow take $M=M_{{\\mathcal A}}$, where the arrangement ${\\mathcal A}$ is not in general position in \ncodimension 2. Since $\\mathcal{R}_*^1(G_{{\\mathcal A}})=\\mathcal{R}_*^1(M_{{\\mathcal A}})$, by\nDefinition \\ref{var-res}, it follows from Example \\ref{arr} that ${\\mathcal R}_1^1(G)\\not\\subseteq \\{ 0\\}$. \n\nNotice that the case of resonance varieties of finitely generated nilpotent groups \n(even restricted to 2-step nilpotent groups) is very different \nfrom the one of characteristic varieties, \ndescribed in \\cite{MP}.\n\\end{remark}\n\nGiven a graded-commutative algebra $H^*$, let $K$ be the kernel of \nthe multiplication map $\\mu: H^1 \\wedge H^1 \\longrightarrow H^2$, called in\n\\cite{CT} the characteristic subspace of $H^*$.\n \n \\begin{lemma}\n \\label{non}\n The subspace $K$ contains  no nontrivial decomposables if and only if \n %\n \\begin{equation}\n \\label{incl}\n \\{ \\omega \\in K | \\omega^2=0 \\in \\wedge^4 H^1\\} \\subseteq \\{0\\}\n \\end{equation}\n Both properties are equivalent to $\\mathcal{R}_1^1(H^*) \\subseteq \\{0\\}$.\n \\end{lemma}\n\n \\begin{proof}\n Assume there is $0 \\neq \\omega = \\sum_{i=1}^m x_i y_i$, written in canonical form, \n satisfying $\\omega^2=0$. Since \n $\\omega^i= i! \\sum_{1 \\leq k_1< \\dots <k_i \\leq m} x_{k_1}y_{k_1} \\dots x_{k_i}y_{k_i} \\neq 0$ \n if $i \\leq m$  we conclude that $m+1=2$, that is $\\omega$ is a nontrivial decomposable. \n \n The converse implication is immediate: a decomposable element $ \\omega= \\alpha_1 \\alpha_2 \\neq 0$ \n satisfies $\\omega^2=0$.\n \n It is equally easy to see that the fact that $K$ does not contain nontrivial decomposables \n is equivalent to  $\\mathcal{R}_1^1(H^*) \\subseteq \\{0\\}$:\n \n \n Assume there is $\\alpha \\in \\mathcal{R}_1^1(H^*),\\; \\alpha \\neq 0$, hence there exists \n $\\beta \\in H^1,\\; \\alpha \\wedge \\beta \\neq 0$ such that $\\alpha \\beta =0 $ in $H^2$. \n This implies $\\alpha \\wedge \\beta$ is a nontrivial decomposable element of $K$.\n \n On the other hand, if for some $\\alpha, \\; \\beta \\in H^1$ we have \n $0 \\neq \\alpha \\wedge \\beta \\in K$, then $\\alpha \\beta =0$ in $H^2$, hence \n $\\mathcal{R}_1^1(H^*)$ contains nonzero elements.\n \\end{proof}\n \n We see in the next Example that the triviality of the resonance varieties, up to a degree, \n is not a sufficient condition for partial formality,\n even when the cohomology is partially generated in degree one.\n \n\\begin{example}\n\\label{contr}\nLet $\\mathcal{B}= \\wedge(x_1, x_2, y_1, y_2, z, \\omega_1, \\omega_2, \\alpha)$, \n$d(x_i)=d(y_i)=d(z)=0,\\; d(\\omega_1)=x_1y_1+x_2z,\\;d(\\omega_2)=x_2y_2+x_1z$,\n$d(\\alpha)=x_1\\omega_1+x_2 \\omega_2$, be the $1$-formal minimal model generated \nin degree $1$ from \\cite{CT}, Example 2.8.\n\nThen $\\mathcal{B}$, in the notations from \nthe beginning of Section \\ref{obstr}, admits a bigrading  compatible with $d$,\nwith $Z_0=<x_i, y_i, z>,\\; Z_1=<\\omega_1, \\omega_2>, \\; Z_2=<\\alpha>$.\nOne can check that $H_+^{\\leq 2}(\\mathcal{B})=0$.\nConsider now a \"deformation\" of $\\mathcal{B}, \\;\\mathcal{M}=\\wedge(Z_0 \\oplus Z_1 \\oplus Z_2)$, \nwith differential $D$ defined as follows: $D|_{Z_0,Z_1} = d|_{Z_0,Z_1}$ and \n$D(\\alpha)=d(\\alpha)+p, \\; p \\in \\wedge^2Z_0$.  \nA direct computation shows that  $D^2 = 0$.\n\nNext we will prove that $H^{\\leq 2}\\mathcal{M} \\cong H^{\\leq 2}\\mathcal{B}$, \nas algebras. As explained in \\cite{S}, ${\\mathcal B}$ is the minimal model of a finitely presentable\n(3-step) nilpotent group $G_{{\\mathcal B}}$.\nHence, via Proposition \\ref{art}, Part \\eqref{iii} and Theorem \\ref{zerores}, \napplied for $M=K(G_{{\\mathcal B}}, 1)$, one finds that $H^{\\leq 2}\\mathcal{M}$ is generated in degree $1$ \nand $\\mathcal{R}_1^1(\\mathcal{M}) \\subseteq \\{0\\}$.\n\nObviously $H^1 \\mathcal{M}= H^1 \\mathcal{B}=Z_0$. Take $w=\\overline{w}+ \\xi \\alpha$ such that \n$d(w)=0, \\; \\overline{w} \\in \\wedge^2 (Z_0 \\oplus Z_1)$ and $\\xi \\in \\wedge^1 (Z_0 \\oplus Z_1)$. Then \n$d(w)=d(\\overline{w}) + d(\\xi) \\alpha - \\xi d(\\alpha)=0$ implies $d(\\xi)=0$, hence \n$\\xi \\in \\wedge^1(x_i, y_i,z)$. It follows that \n\\begin{equation}\n\\label{*}\nd(\\overline{w}) - \\xi x_1 \\omega_1 - \\xi x_2 \\omega_2=0.\n\\end{equation}\nNotice that there are monomials in $d(\\overline{w})$ containing $\\omega_i$ if and only if \n$\\overline{w}$ has a monomial $a \\omega_1 \\omega_2$with  $a \\neq 0$; \ngrouping the monomials in \\eqref{*} which contain $\\omega_1$ (respectively $\\omega_2$), \nwe conclude that $\\xi x_1 =0$ and $\\xi x_2=0$, which is possible only when $\\xi=0$.\n\nSo $d(w)=0$ implies $w \\in \\wedge^2(x_i, y_i, z, \\omega_i)$. The same way $D(w)=0$ implies \n$w \\in \\wedge^2(x_i, y_i, z, \\omega_i)$, hence $d(w)=0 \\Leftrightarrow D(w)=0$, \nso $w$ is a cocycle in $\\mathcal{B}$ if and only if $w$ is a cocycle in $\\mathcal{M}$. \nSince $\\im d|_{\\mathcal{B}^{1}} \\cong \\im D|_{\\mathcal{M}^{1}}$, \nwe obtain a vector space isomorphism:\n\\begin{equation}\n\\label{B=M}\nH^{\\leq 2}\\mathcal{M} \\cong H^{\\leq 2}\\mathcal{B}\n\\end{equation}\n\nWe still need a graded algebra isomorphism. Using the previous notations, consider \nthe graded algebra $\\mathcal{C}^*:=\\frac{\\wedge^*Z_0}{\\wedge^*Z_0\\cdot dZ_1}$. Notice that \nwe have $H^{\\le 2}\\mathcal{B} \\cong \\mathcal{C}^{\\le 2}$, as algebras, \nsince $H_+^{\\leq 2}(\\mathcal{B})=0$. Define a graded algebra morphism\n\\begin{equation}\n\\label{GAlg}\n\\psi : \\mathcal{C}^* \\longrightarrow H^*(\\mathcal{M})\n\\end{equation}\ngiven by $\\psi(z)=[z], \\; \\forall z \\in Z_0$. It is clear that $\\psi^1$ is\na linear isomorphism, and $\\psi^2$ is a surjection between vector spaces of the same dimension, \naccording to the above computations (see \\eqref{B=M}).\n\n\nHowever, we will see that the 1-minimal model $\\mathcal{M}$ is not $1$-formal, if $p=y_1 y_2$. \nAssuming the contrary, we have an isomorphism of D.G. algebras \n$\\phi: \\mathcal{B} \\longrightarrow \\mathcal{M}$ \n(since $\\mathcal{B}$ is the $1$-minimal model of the cohomology algebra of $\\mathcal{M}$).\n\nMoreover, we can choose $\\phi$ such that $\\phi|_{Z_0}=\\id$. Indeed, \nlet $\\tilde{h}: \\mathcal{B} \\overset{\\sim}\\longrightarrow \\mathcal{B}$ be \nthe 1-minimal model of the graded algebra automorphism induced by \n$\\phi, \\; h:H^{\\leq 2}({\\mathcal B})\\overset{\\sim}\\longrightarrow H^{\\leq 2}(\\mathcal{M}) \\equiv H^{\\leq 2}({\\mathcal B})$. \nReplacing an arbitrary $\\phi$ by $\\phi \\circ \\tilde{h}^{-1}$, we obtain the desired property.\n \nChecking the equality $D \\phi =\\phi d$ on the generators $\\omega_i$, one gets \n$\\phi(\\omega_i) - \\omega_i \\in \\wedge^1(x_i, y_i, z)$. Clearly, \n$\\phi(d(\\alpha))$ is a sum of monomials, each containing either $x_1$ or $x_2$.\nLet $\\phi(\\alpha)=a_1x_1+a_2x_2+b_1y_1+b_2y_2+cz+d_1 \\omega_1+d_2 \\omega_2+e \\alpha$, \nwith $a_i, b_i, c, d_i, e \\in \\k$. Notice that $e \\neq 0$, otherwise \n$\\phi :\\mathcal{B}^1 \\rightarrow \\mathcal{M}^1$ would not be a linear isomorphism. \nThen $D(\\phi(\\alpha))$ necessarily contains the monomial $y_1y_2$, with nontrivial coefficient $e$. \nBut this contradicts the fact that $\\phi$ is a D.G.A. morphism.\n\\end{example}\n\n\\begin{remark}\n\\label{rem=noteq}\nLet $G$ be a finitely presentable group, with 1-minimal model $\\mathcal{M}$. In Lemma 3.17 \non page 35, implication $(i) \\Rightarrow (ii)$, the authors of \\cite{ABC} note that\n$H^2(\\mathcal{M})= (H^1(\\mathcal{M}))^2$, if $G$ is 1-formal. This can be recovered from our\nProposition \\ref{art}\\eqref{i}-\\eqref{ii}, case $k=1$.\n\nOn the other hand, this implication cannot be reversed, contrary to the claim from \n\\cite[Lemma 3.17]{ABC}. Indeed, the 1-minimal model $\\mathcal{M}$ constructed in \nExample \\ref{contr} above can be realized as $\\mathcal{M}= \\mathcal{M}(G) =\\mathcal{M}_1(G)$,\nwhere $G$ is a finitely presentable (3-step) nilpotent group, by the general theory from\n\\cite{S}. It follows from Example \\ref{contr} that \n$H^2(\\mathcal{M})= (H^1(\\mathcal{M}))^2$, yet $G$ is not 1-formal. \n\\end{remark}\n\n\\section{Heisenberg-type groups}\n\\label{section:heisenberg}\n \n \n\\begin{definition}\n\\label{heisenberg}\nThe integral Heisenberg group $\\mathcal{H}_n$ is given by the central extension \n\\begin{equation}\n\\label{sir}\n0 \\longrightarrow \\mathbb{Z} \\longrightarrow \\mathcal{H}_n \\longrightarrow \\mathbb{Z}^{2n} \\longrightarrow 0,\n\\end{equation}\ncorresponding to the cohomology class \n$\\omega \\in H^2(\\mathbb{Z}^{2n}, \\mathbb{Z})=\\wedge^2_{\\mathbb{Z}}(x_1, y_1,\\dots, x_n, y_n)$, \nwhere $\\omega=x_1 \\wedge y_1+ \\dots +x_n \\wedge y_n$.\n\\end{definition}\n\nIt is immediate that the minimal model of $\\mathcal{H}_n$ is the minimal DG algebra  \ngenerated in degree 1,  $\\mathcal{M}=\\wedge(x_{1}, y_{1}, \\dots ,x_{n}, y_{n}, z)$, \nwith differential $d(x_{i})=d(y_{i})=0, \\forall i$ and $d(z)=x_{1}\\wedge y_{1} +\\dots +x_{n}\\wedge y_{n}$.\nNote that the multiplication by \n$\\omega$ in the exterior algebra $E^*=\\wedge^*(x_{1}, y_{1}, \\dots ,x_{n}, y_{n})$, \n$E^i \\overset {\\mu_{\\omega}}  \\longrightarrow E^{i+2}$, is injective for $i\\leq n-1$, \nby the hard Lefschetz theorem, see \\cite{We}.\n\n\n\\begin{lemma}\n\\label{1-formality}\nThe cohomology of the Heisenberg group $\\mathcal{H}_{n}$ is given by \n\\begin{equation}\n\\label{H^q}\nH^{q}(\\mathcal{H}_{n}) \\cong \\frac{\\wedge^{q}(x_i, y_i)}{\\omega \\wedge^{q-2}(x_i, y_i)} \n\\oplus \\{\\eta z \\; |  \\; \\eta \\omega =0, \\; \\eta \\in \\wedge^{q-1}(x_i,y_i) \\} , \\; \\forall q.\n\\end{equation} \nThe second summand is trivial, for $q \\leq n$, and non-trivial, for $q=n+1$.\n\\end{lemma}\n\n\\begin{proof}\nIt is clear  that \n\\begin{equation}\n\\label{H^1}\nH^{1}(\\mathcal{H}_{n})=\\wedge^1(x_i, y_i) \n\\end{equation}\nLet us compute $H^q(\\mathcal{H}_n)$, for $2 \\leq q$.\nAny $q$-form $\\xi\\in \\wedge^{q}(x_i, y_i, z)$ is of the type $\\xi = \\eta_1 +\\eta_2z$, where \n$\\eta_1 \\in \\wedge^{q}(x_i,y_i)$ and $\\eta_2 \\in \\wedge^{q-1}(x_i,y_i)$. Hence \n$\\xi$ is a cocycle if and only if $ \\pm d(\\xi)=\\eta_2 \\omega =0$. In case $q \\leq n$ \nthe last equality implies $\\eta_2=0$. Moreover we get that any $q$-coboundary is of the type \n$\\eta_2 \\omega$,  $\\eta_2 \\in \\wedge^{q-2}(x_i,y_i)$. \nConsequently, $H^q(\\mathcal{H}_n)$ has the asserted form. Clearly, $\\eta=y_1 \\cdots y_n$ \ncreates a nontrivial contribution of the second summand, in degree $n+1$.\n\\end{proof}\n\n\\begin{remark}\n\\label{FernandezMunoz}\n\nThe above Lemma shows that $\\mathcal{H}_n$ is $(n-1)$-formal \n(use Theorem \\ref{B}, Part \\eqref{converse}), \nbut not $n$-formal (as follows from Theorem \\ref{B}, Part \\eqref{motz}).\nAt the same time, it shows that the notion of partial formality from \\cite{FM} is strictly stronger \nthan the one used here.\n\nConsider the 1-formal (in the sense of our Definition \\ref{s-formality}) group $\\mathcal{H}_2$. \nThe 1-formality of $\\mathcal{H}_2$ in the sense of  \\cite[Definition 2.2]{FM} would imply\na decomposition of the space of degree 1 generators \n$<x_1, x_2, y_1, y_2, z>$ as a direct sum $C^1 \\oplus N^1$, satisfying the conditions:\\\\\n\\textit{(i)} $d(C^1)=0$;\\\\\n\\textit{(ii)} the restriction of the differential $d$ to $N^1$ is injective;\\\\\n\\textit{(iii)} any closed element in the ideal generated by $N^1$ in \n$\\mathcal{M}= \\mathcal{M}_1(\\mathcal{H}_2)= \\mathcal{M} (\\mathcal{H}_2)$ \nis exact in $\\mathcal{M}(\\mathcal{H}_2)$.\n\nIn this case $C^1$ is the subspace $<x_1, x_2, y_1, y_2>$ and $N^1$ \nmust be generated by $z+\\alpha$ with $\\alpha \\in \\wedge^1(C^1)$. Plainly, \n$(z+ \\alpha)x_1x_2y_1y_2$ is closed, but not exact.\n\\end{remark}\n \n  Let us compute some resonance varieties for Heisenberg groups:\n\n\\begin{prop}\n\\label{H-char}\n$\\mathcal{R}^*_{1}(\\mathcal{H}_n)=\\{0\\}$, for $* \\leq n-1$ and \n$\\mathcal{R}^n_{1}(\\mathcal{H}_n)=\\k^{2n}$. \n\\end{prop}\n\n\\begin{proof}\nWe know the additive structure of $H^*(\\mathcal{H}_n)$ (see Lemma \\ref{1-formality}). \nWe have to compute the cohomology of the complex $H^*(\\mathcal{H}_n)$ with differential \ngiven by the multiplication with the class of an element $0 \\neq \\xi \\in \\wedge^1(x_i,y_i)$.\n\nWe may assume $\\xi=x_1$, by a linear change of coordinates. The $n$-class $[y_1\\dots y_n]$ \ncannot be obtained by multiplying some $(n-1)$-class by $[x_1]$: \nthe equality $y_1\\dots y_n= x_1 \\eta + \\omega \\beta$, with $\\eta  \\in \\wedge ^{n-1}(x_i, y_i)$ \nand $\\beta \\in \\wedge ^{n-2}(x_i, y_i)$ is impossible, since at the right hand side \nall monomials contain some $x_i$ component. \n \n However $ x_1 y_1 \\dots y_n=\\omega  y_2 \\dots y_n$, hence $[x_1y_1 \\dots y_n]=0$ \n in $H^{n+1}(\\mathcal{H}_n)$; so $[x_1] \\in \\mathcal{R}^n_{1}(\\mathcal{H}_n)$. This proves \n that $\\mathcal{R}^n_{1}(\\mathcal{H}_n)=\\wedge^1 (x_i, y_i)$.\n\nWe can apply Theorem \\ref{zerores} \nand deduce $\\mathcal{R}^{*}_{1}(\\mathcal{H}_n) \\subseteq \\{0\\}$, for $*<n$.\n\n\nIt remains to see that $0 \\in \\mathcal{R}^{*}_{1}(\\mathcal{H}_n) $, if $*<n$. \nAssuming the contrary, it follows from Lemma \\ref{1-formality} that $H^n(\\mathcal{H}_n)=0$. \nBut this implies $\\mathcal{R}^{n}_{1}(\\mathcal{H}_n)= \\emptyset$, \ncontradicting the first computation.\n\\end{proof}\n\nHowever, the triviality of the resonance varieties and the property of having \nthe cohomology generated in degree 1 are independent in general, as we can see below:\n\n\\begin{example}\n\\label{initial}\nLet $G$ be a finitely generated 2-step nilpotent group with minimal model generated in degree 1, \n$\\mathcal{N}=\\wedge(x_1,x_2, y_1, y_2, z)\\otimes \\wedge (\\omega_1, \\omega_2)$ with differentials \n$dz=dx_i=dy_i=0,\\; i=1,2$ and $d\\omega_1=x_1y_1+x_2z, \\;d\\omega_2=x_2y_2+x_1z$; \nsee Example \\ref{contr}. Then \n$\\mathcal{R}^1_1(G)=\\{0\\}$, but $H^2(G) \\neq (H^1(G))^2$.\n\nSet $K:=K(G,1)$.  \nFirst we compute the cohomology of $K$ in low degrees. \nIt is immediate that $H^1(K)=\\wedge^1(x_i, y_i, z)$ and \n$H^2(K)= H_0^2(K)\\oplus H_1^2(K)\\oplus H_2^2(K)$, where \n$H_0^2(K) = \\frac{\\wedge^2(x_i, y_i, z)}{<d\\omega_1, d\\omega_2>}$. A direct computation\nshows that $H_1^2(K) = <x_1 \\omega_1+x_2\\omega_2>$, and $H_2^2(K) =0$.\n\nHence \n$H^2(K)=\\frac{\\wedge^2(x_i, y_i, z)}{<d\\omega_1, d\\omega_2>}\\oplus <x_1 \\omega_1+x_2\\omega_2> \\neq (H^1(K))^2$.\n\nAs for the resonance variety $\\mathcal{R}^1_1(K)$, take a one-cycle $\\xi \\neq 0$  and  \na one-cycle $\\eta$ such that $[\\eta\\xi]=0$  in cohomology. This can happen only if \n$\\eta\\xi=a d\\omega_1+b d\\omega_2$ for some $a,b \\in \\k$.\n\nIf $\\eta\\xi=a d\\omega_1+b d\\omega_2$, then \n$0=(\\eta \\xi)^2= a^2(d\\omega_1)^2+ 2ab d \\omega_1 d \\omega_2+b^2(d\\omega_2)^2$, i.e. \n$0=2a^2x_1y_1x_2z+ 2ab x_1y_1x_2y_2+2b^2x_2y_2x_1z$, so $a=b=0$. Consequently  \n$\\eta \\xi=0$ in $\\wedge(x_1,x_2, y_1, y_2, z)$. Since $\\xi \\neq 0,\\;\\eta \\in <\\xi>$.\n\nTherefore, $\\mathcal{R}^1_1(K)=\\{0\\}$.\n\\end{example}\n\n\n \n Let $G$ be the 2-step nilpotent group defined by the central extension:\n\\begin{equation}\n\\label{sir'}\n0 \\longrightarrow B\\longrightarrow G \\longrightarrow A \\longrightarrow 0,\n\\end{equation}\nwhere $B$ is an abelian group of rank 1, and \n$A$ is an abelian group of finite rank $n$.\n\n\nThe minimal model of $G$ from \\eqref{sir'} is of the form \n$\\mathcal{M}(G)=\\wedge(t_1, \\dots, t_n) \\otimes \\wedge(z)$, with differentials \n$d(t_i)=0, \\; \\forall i$ and $d(z):= \\omega \\in \\wedge^2(t_1, \\dots, t_n)$.\n\n\n\\begin{definition}\n\\label{nilp}\n$G$ is called of Heisenberg-type if $\\omega \\neq 0$.\n\\end{definition}\n\nMoreover we may assume $\\omega$ has the canonical form  $\\omega= x_1y_1+ \\dots +x_my_m$, \nwhere $2m=\\rk(\\omega)$; consequently:\n\\begin{equation}\n\\label{htype}\n\\mathcal{M}(G)=\\mathcal{M}({\\mathcal{H}_{m}}) \\otimes (\\wedge(t_{2m+1}, \\dots, t_n),d=0).\n\\end{equation}\n\nTo obtain information on the resonance varieties associated to Heisenberg-type groups, \nwe will use the following result:\n\n\\begin{prop}\n\\label{ref}\nLet $A^*,\\; B^*$ be graded-commutative connected algebras. Then\n\\begin{equation}\n\\label{R^q}\n\\mathcal{R}_1^q(A^*\\otimes B^*)=\\bigcup _{m+n=q}\\mathcal{R}^m_1(A^*) \\times \\mathcal{R}^n_1(B^*)\n\\end{equation}  \n\\end{prop}\n\n\\begin{proof}\nSet $C^*=A^* \\otimes B^*$. If $\\xi=\\xi_A+\\xi_B \\in C^1=A^1 \\oplus B^1$ is \nan arbitrary degree 1 element, then the multiplication by $\\xi$ on $C^*$ is given by:\n\\begin{equation}\n\\label{kun}\n\\mu_{\\xi}(a\\otimes b)=\\mu_{\\xi_{A}}(a)\\otimes b+(-1)^{|a|}a\\otimes \\mu_{\\xi_B}( b), \n\\; a \\in A^*, \\;b \\in B^* \\, .\n\\end{equation}\nConsequently, by K\\\"{u}nneth, \n\\begin{equation}\n\\label{H}\nH^q(C^*, \\mu_\\xi)= \\oplus_{m+n=q} H^m(A^*, \\mu_{\\xi_A}) \\otimes H^n(B^*, \\mu_{\\xi_B})\\, .\n\\end{equation}\n\nBy definition, $\\mathcal{R}^q_1(A^* \\otimes B^*)= \\{ \\xi \\in A^1 \\oplus B^1 \\; |\\;\nH^q(A^* \\otimes B^*, \\mu_{\\xi}) \\neq 0\\}= \\\\\n\\{ (\\xi_A, \\xi_B) \\in A^1 \\times B^1| \\oplus_{m+n=q} H^m(A^*, \\mu_{\\xi_A}) \\otimes H^n(B^*, \\mu_{\\xi_B}) \\neq 0 \\}=\\\\\n\\{ (\\xi_A, \\xi_B) \\in A^1 \\times B^1| \\;\\exists (m,n)\\, , m+n=q, \\;H^m(A^*, \\mu_{\\xi_A})\\neq 0 \\; \\& \n\\; H^n(B^*, \\mu_{\\xi_B}) \\neq 0\\}= \\\\\n\\{(\\xi_A, \\xi_B) \\in A^1 \\times B^1|\\; \\exists (m,n)\\, , m+n=q, \\;\\xi_A \\in \\mathcal{R}^m_1(A^*) \\; \n\\& \\; \\xi_B \\in \\mathcal{R}^n_1(B^*)  \\}= \\\\\n\\bigcup _{m+n=q}\\mathcal{R}^m_1(A^*) \\times \\mathcal{R}^n_1(B^*)$.\n\\end{proof}\n\n\\begin{corollary}\n\\label{gr}\nLet $G$ be a Heisenberg-type group, with minimal model described in \\eqref{htype}. \nThen $\\mathcal{R}^*_{1}(G)=\\{0\\}$, for $* \\leq m-1$ and $\\mathcal{R}^m_{1}(G)=\\k^{2m}$.\n\\end{corollary}\n\n\\begin{proof}\nBy \\eqref{htype} and Proposition \\ref{ref}, $\\mathcal{R}^k_1(G)$ equals\n\\begin{center}\n$\\mathcal{R}^k_1(H^*(\\mathcal{H}_{m}) \\otimes \\wedge^*(t_{2m+1}, \\dots, t_n))= \n\\bigcup_{p+q=k}\\mathcal{R}^p_1(\\mathcal{H}_m) \\times \\mathcal{R}^q_1(\\wedge^*(t_{2m+1}, \\dots, t_n))$.\n\\end{center}\nSince \nthe resonance for the exterior algebra is trivial, the corollary follows from Proposition \\ref{H-char}.\n\\end{proof}\n\n\\begin{corollary}\n\\label{c1}\nA Heisenberg-type group $G$  with $\\rk (\\omega)=2m$ is $(m-1)$-formal, but not $m$-formal.\n\\end{corollary}\n\\begin{proof}\n\nOne can easily see from Theorem \\ref{zerores}, via Corollary \\ref{gr}, that $G$ is not $m$-formal. \nThe $(m-1)$-formality follows from Theorem \\ref{B}, Part \\eqref{converse} and Lemma \\ref{1-formality}, \nusing again \\eqref{htype} to describe the cohomology ring of $G$ up to degree $m$.\n\\end{proof}\n\n\\begin{corollary}\n\\label{T}\nA Heisenberg-type group $G$ with $\\rk (\\omega)=2m$ cannot be realized as the fundamental group \nof a smooth projective complex variety $M$ with $\\pi_{ \\leq m}(\\tilde{M})=0$, \nwhere $ \\tilde{M}$ is the universal covering of $M$.\n\\end{corollary}\n\n\\begin{proof}\nAssume $G= \\pi_1(M)$, with $M$ a smooth projective complex variety. By the main result \nof \\cite{DGMS}, $M$ is a formal space, hence $m$-formal, while $G$ is not $m$-formal \n(see Corollary \\ref{c1}). Then there is $2 \\leq i \\leq m$ such that  \n$\\pi_i(\\tilde{M}) \\cong \\pi_i(M) \\neq 0$; see Theorem \\ref{Thm}.\n\\end{proof}\n\n\n\\begin{ack}\nI would like to thank Professor \\c{S}. Papadima for his guidance during the elaboration of this work.\n\\end{ack}\n\n\\bibliographystyle{amsplain}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\\noindent Detecting anomalies in real-time data sources is critical thanks to the steady rise in the complexity of modern systems, ranging from satellite system monitoring to cyber-security. Such systems often produce multi-channel time series data that automatically detecting anomalous moments can be quite challenging to any anomaly detection (AD) system due to its intrinsic inter-correlation, seasonality, trendiness, and irregularity traits. Speedy detection, along with timely corrective measures before any catastrophic failure, are also key considerations for time-series AD systems.\n\n Multivariate time-series (MTS) AD on seasonality-heavy data can be challenging to most techniques proposed in the literature. Classical time-series forecasting techniques, such as Autoregressive Integrated Moving Average (ARIMA) \\cite{arima} and Statistical Process Control (SPC) \\cite{spc}, in general cannot adequately capture the inter-dependencies among MTS. Also, classical density or distance-based models, such as K-Nearest Neighbors (KNN) \\cite{knn}, usually ignore the effect of temporal dependencies and\/or seasonality in time series. In recent years, deep learning architectures have achieved great success due to their ability to learn the latent representation of normal samples, such as Auto-encoders \\cite{deep-ae} and Generative Adversarial Networks (GAN) \\cite{gan2}. However, such advanced AD methods suffer from high false positive rate (FPR) when applied to seasonal MTS \\cite{season-fpr}. Furthermore, majority of the existing AD methods are built on an unrealistic assumption that the training data is contamination free, which is rarely the case in real-world applications.\n\n\\begin{figure}[t!]\n  \\centering \n  \\includegraphics[width=0.83\\columnwidth]{Figures\/GAN_architecture2.png}\n  \\caption{RSM-GAN architecture with loss definitions}\n  \\label{fig:GAN} \n\\end{figure}\n\n This paper explores some of the challenges in real-world MTS, namely multi-period seasonality and training data contamination, by proposing a GAN-based architecture, named Robust Seasonal Multivariate GAN (RSM-GAN), that has an encoder-decoder-encoder structure as shown in Figure \\ref{fig:GAN}. Co-training of an additional encoder enables this model to be robust against noise and contamination in training data. A novel smoothed attention mechanism is employed in recurrent layers of the encoders to account for multiple seasonality patterns in a data-driven manner. Also, we propose a causal inference framework for root cause identification. We conduct extensive empirical studies on synthetic data with various levels of seasonality and contamination, along with a real-world encryption key dataset. The results show superiority of RSM-GAN for timely and precise detection of anomalies and root causes as compared to state-of-the-art baseline models.\n\n\n Contributions of our work can be summarized as follows: (1) we propose a convolutional recurrent Wasserstein GAN architecture (RSM-GAN) that detects anomalies in MTS data precisely\n; (2) we explicitly model seasonality as part of the RSM-GAN architecture through a novel smoothed attention mechanism; (3) we apply an additional encoder to handle the contaminated training data; (4) we propose a scoring and causal inference framework to accurately and timely identify anomalies and to pinpoint unspecified number of root cause(s). The RSM-GAN framework enables system operators to react to abnormalities swiftly and in real-time manner, while giving them critical information about the root cause(s) and severity of the anomalies.\n\n\n\n\\section{Related Work}\nMTS anomaly detection has long been an active research area because of its critical importance in monitoring high risk tasks. \nClassical time series analysis models such as Vector Auto-regression (VAR) \\cite{var}, and latent state based models such as Kalman Filters \\cite{kalman} have been applied to MTS, but they are sensitive to noise and prone to misspecification. Classical machine learning methods are also widely used that can be categorized into distance-based methods such as the KNN \\cite{knn}, classification-based methods such as One-Class SVM \\cite{one-svm}, and ensemble methods such as Isolation Forest \\cite{iforest}. These general purpose AD methods do not account for temporal dependencies nor the seasonality patterns that are ubiquitous in MTS, which lead to non-satisfactory performance in real applications. Recently, deep neural networks with architectures such as auto-encoder and GAN-based, have shown great promise for AD in various domains. Autoencoder-based models learn low-dimensional latent representations and utilize reconstruction errors as the score to detect anomalies \\cite{autoencoder1,autoencoder2,autoencoder3}. GAN-based models leverage adversarial learning for mapping high-dimensional training data to the latent space and later use latent space to calculate reconstruction loss as the anomaly score \\cite{ganomaly,gan3image,gan4image}.\n\nRecurrent neural network (RNN)-based approaches have been employed for MTS AD \\cite{lstmed,rnn-ad}. \\cite{madgan} proposed GAN-AD, which is the first work to apply recurrent GAN-based approach to MTS anomaly detection. However, the GAN-AD architecture is not efficient for real-time anomaly detection due to costly invert mapping step while testing. Multi-Scale Convolutional Recurrent Encoder-Decoder (MSCRED) is a deep autoencoder-based AD framework applied to MTS data \\cite{mscred}. MSCRED captures inter-correlation and temporal dependency between time-series by convolutional-LSTM networks and therefore, achieves state-of-the-art performance. However, non of these models account for seasonal and contaminated training data.\nA few studies have addressed seasonality by applying Fourier transform, such as Seasonal ARIMA \\cite{sarima}, or time-series decomposition methods \\cite{fourier-season}. Such treatments are inefficient when applied to high-dimensional MTS data while they do not account for multi-period seasonality. RSM-GAN is designed to address heavy seasonality using attention mechanism, and to improve robustness to severe levels of contamination by co-training of an encoder.\n \n\n\n\\section{Methodology}\\label{method}\nWe define an MTS as $X=(X_1,...,X_n)\\in\\mathbb{R}^{n\\times T}$, where $n$ is the number of time series, and $T$ is the length of the training data. We aim to predict two AD outcomes: 1) the time points $t$ after $T$ that are associated with anomalies, and 2) time series $ i \\in \\{1,..,n\\}$ causing the anomalies.\nIn the following, we first describe how we transform the raw MTS to be consumed by a convolutional recurrent GAN. Then we introduce the RSM-GAN architecture and the seasonal attention mechanism. Finally, we describe anomaly scoring and causal inference procedure to identify anomalies and the root causes in the prediction phase.\n\n\\subsection{RSM-GAN Framework}\n\\subsubsection{MTS to Image Conversion} To extend GAN to MTS and to capture inter-correlation between multiple time series, we convert the MTS into an image-like structure through construction of the so-called multi-channel correlation matrix (MCM), inspired by \\cite{song2018deep,mscred}.\nSpecifically, we define multiple windows of different sizes $W=(w_1,...,w_C)$, and calculate the pairwise inner product (correlation) of time series within each window. At a specific time point $t$, we generate $C$ matrices (channels) of shape $n\\times n$, where each element of matrix $S_t^c$ for a window of size $w_c$ is calculated by this formula:\n\\begin{equation}\n    s_{ij}=\\frac{\\sum_{\\delta=0}^{w_c}x_i^{t-\\delta}\\cdot x_j^{t-\\delta}}{w_c}\n\\end{equation}\n In this work, we select windows $W=(5, 10, 30)$. This results in $3$ channels of $n\\times n$ correlation matrices for time point $t$ noted as $S_t$. To convert the span of MTS into this shape, we consider a step size $p=5$. Therefore, $X$ is transformed to $S=(S_1,...,S_M)\\in\\mathbb{R}^{M \\times n\\times n\\times C}$, where  $M=\\lfloor\\frac{T}{p}\\rfloor$ steps represented by MCMs. Finally, to capture the temporal dependency between consecutive steps, we stack $h=4$ previous steps to the current step $t$ to prepare the input to the GAN-based model. Later, we extend MCM to also capture seasonality unique to MTS.\n\n\\subsubsection{RSM-GAN Architecture} \nThe idea behind using a GAN to detect anomalies is intuitive. During training, a GAN utilize adversarial learning to capture the distribution of the input data. Then, if anomalies are present during prediction, the networks would fail to reconstruct the input, thus produce large losses. In most deep AD literature, the training data is explicitly assumed to be normal with no contamination. In a study, \\cite{encoder} have shown that simultaneous training of an encoder with GAN improves the robustness of the model towards contamination. This is mainly because the joint encoder forces similar inputs to lie close to each other by optimizing the latent loss, and thus account for the contamination while training. To this end, we adopt an encoder-decoder-encoder structure \\cite{ganomaly}, with the additional encoder, to optimize input reconstruction in both original and latent space. Specifically, in Figure \\ref{fig:GAN}, the generator $G$ has autoencoder structure that the encoder ($G_E$) and decoder ($G_D$) interact with each other to minimize the contextual loss: the $l_2$ distance between input $x$ and reconstructed input $G(x)=x'$. An additional encoder $E$ is trained jointly with the generator to minimize the latent loss: the $l_2$ distance between latent vector $z$ and reconstructed latent vector $z'$. Finally, the discriminator $D$ is tasked to distinguish between the original input $x$ and the generated input $x'$. Following the recent advancements on GAN, we employ the Wasserstein GAN with gradient penalty (WGAN-GP) \\cite{wgan-gp} to ensure stable gradients, avoid the collapsing mode, and thus improve the training. \nTherefore, the final objective functions for the generator and discriminator are as following:\n\\begin{equation}\n\\begin{aligned}\n    L_G =  \\min_{G}\\min_{E} & \\Big(  w_1\\mathbb{E}_{x\\sim p_x} \\| x-x' \\|_2 +  w_2 \\mathbb{E}_{x\\sim p_x} \\| G_E(x)-E(x') \\|_2 \\\\ & +  w_3  \\mathbb{E}_{x\\sim p_x}[f_\\theta(x')]\\Big)\n\\end{aligned}\n\\end{equation}\n\\begin{equation}\n    L_D = \\max_{\\theta \\in \\Theta} \\mathbb{E}_{x\\sim p_x}[f_\\theta(x)] - \\mathbb{E}_{x\\sim p_x} [f_\\theta(x')]\n\\end{equation}\n\\noindent where $\\theta$ is the discriminator's parameter and ($w_1$, $w_2$, $w_3$) are weights controlling the effect of each loss. The choice of contextual loss weight, has the largest effect on training convergence and we chose (50, 1, 1) weights for optimal training. We employ Adam optimizer to optimize the above losses for $G$ and $D$ alternatively. Each encoder in Figure \\ref{fig:GAN} is composed of multiple convolutional layers, each followed by convolutional-LSTM layers to capture both spatial and temporal dependencies in input. The detailed inner structure of each component is described in Appendix \\ref{sec:apx_inner}.\n\n\n\\subsubsection{Seasonality Adjustment via Attention Mechanism} \nIn order to adjust the seasonality in MTS data, we stack previous seasonal steps to the input data, and allow the convolutional-LSTM cells in the encoder to capture temporal dependencies through an attention mechanism. Specifically, in addition to $h$ previous immediate steps, we append $m_i$ previous seasonal steps per seasonal pattern $i$. To illustrate, assume the input has both the daily and weekly seasonality. To prepare input for time step $t$, we stack MCMs of up to $m_1$ days ago at the same time, and up to $m_2$ weeks ago at the same time.  \nAdditionally, to account for the fact that seasonal patterns are often not exact, we smooth the seasonal steps by averaging over steps in a neighboring window of 6 steps.\\\\\nMoreover, even though the $h$ previous steps are closer to the current time step, but the previous seasonal steps might be a better indicator to reconstruct the current step. Therefore, an attention mechanism is employed to assign weights to each step based on the similarity of the hidden state representations in the last layer using:\n\\begin{equation}\n    \\mathcal{H'}_t = \\sum_{i\\in (t-N,t)} \\alpha_i \\mathcal{H}_i  \\text{, where } \n    \\alpha_i=\\mathrm{softmax}\\Big(\\frac{Vec(\\mathcal{H}_t)^T Vec(\\mathcal{H}_i)}{\\mathcal{X}}\\Big)\n\\end{equation}\nwhere $N=h+\\Sigma m_i$, $Vec(\\cdot)$ denotes the vector, and $\\mathcal{X}=5$ is the rescaling factor. Figure \\ref{fig:attention} presents the structure of the described smoothed attention mechanism.\nFinally, to make our model even more adaptable to real-world datasets that often exhibit holiday effects, we multiply the attention weight $\\alpha_i$ by a binary bit $b_i \\in \\{0,1\\}$, where $b_i=0$ in case of holidays or other exceptional behavior in previous steps. This way, we eliminate the effect of undesired steps from modeling the current step.\n\n\\begin{figure}[t]\n  \\centering \n  \\includegraphics[width=0.88\\columnwidth]{Figures\/attn.png} \n  \\caption{Smoothed attention mechanism}\n  \\label{fig:attention} \n\\end{figure}\n\n\\subsection{Prediction Phase}\n\\subsubsection{Anomaly Score Assignment} \\label{sec:AS_assign}\nThe residual MCM matrix from the first channel, $R_x=x_{:,:,0}-x_{:,:,0}'$, are indicative of anomalies while predicting. \nWe define broken tiles as the elements of $R_x$ that have error value of greater than $\\theta_b$. Previous studies have defined a scoring method based on the number of broken tiles in $R_x$ that we call context$_{b}$ \\cite{mscred}. However, this score is insensitive to non-severe anomalies, and lowering the threshold would result in high FPR. Since each row\/column in $R_x$ is associated with a time series, the ones with the largest number of broken tiles are contributing the most to the anomalies. Therefore, by defining a threshold $\\theta_h \\leq \\theta_b$, we propose to only count the number of broken tiles in rows\/columns with more than half broken and name this method context$_{h}$. The above thresholds $\\theta = \\beta \\times \\eta_{.996}(E_\\mathrm{train})$, which is calculated based on $99.6^{th}$ percentile of error in the training residual matrices, and the best $\\beta$ is chosen by a grid search on validation set.\n\n\n\\subsubsection{Root Cause Framework} Large errors in rows\/columns of $R_x$ are indicative of anomalous behavior in those time series. To identify which are contributing the most to anomalies, we need a root-cause scoring system to assign a score to each time series based on the severity of its errors. We present two different methods: 1) number of broken tiles (NB) (using the optimized $\\theta_b$), and 2) sum of absolute errors (AE). \n\n Furthermore, the number of root causes, $k$, is unknown in real-world applications. Despite previous studies, we allow the elbow method \\cite{elbow} to find the optimal $k$ number of time series from the root cause scores. In this approach, by sorting the scores and plotting the curve, we aim to find the point where the scores become very small and close to each other (elbow point). Time series associated with the scores greater than elbow point are identified as root causes. Thus, we define the elbow point as the point with maximum distance from a vector that connects the first and last scores. \n\n\n\\section{Experimental Setup}\n\\subsection{Data}\n\\textbf{Synthetic Data:} We generate synthetic sinusoidal-based multivariate time-series with different seasonal period and contamination levels to evaluate our model comprehensively. Ten time series with 2 months worth of data by minute sampling frequency are generated with length $T=80,640$. Also, anomalies with varying duration and intensity are injected to the training and test sets. The detailed data generation process in discussed in Appendix \\ref{sec:apx_synth}.\n\n\\textbf{Encryption Key Data:} Our encryption-key dataset contains $7$ time series generated from a project's encryption process. Each time series represents the number of requests for a specific encryption key per minute. The dataset contains $4$ months of data with length $T=156,465$. Four anomalies with various length and scales are identified in the test sequence by a security expert, and we randomly injected $5$ additional anomalies into both the training and test sets.\n\n\n\\subsection{Evaluation}\nRSM-GAN is compared against two classical machine learning models, i.e., One-class SVM (OC-SVM) \\cite{one-svm} and Isolation Forest \\cite{iforest}. and a deep autoencoder-based AD model called MSCRED \\cite{mscred}. MSCRED is run in a sufficient number of epochs and its best performance is reported. We also have tried GAN-AD \\cite{madgan} in multiple settings, but the results are not reported here due to its inefficient and faulty performance. For evaluation, in addition to precision, recall, FPR, and F1 score, we include the \\textbf{Numenta Anomaly Benchmark (NAB)} score \\cite{numenta}. NAB is a standard open source framework for evaluating real-time AD algorithms. The NAB assigns score to each true positive detection based on their relative position to the anomaly window (by a scaled \\textit{sigmoid} function), and negative score to false positives and false negatives.\n\n In all experiments, the first half of the time series are used for training and the remainder for validation\/test by 1\/5 ratio. RSM-GAN is implemented in Tensorflow and trained in 300 epochs, in batches of size $32$, on an AWS Sagemaker instance with four $16$GB GPUs.\nAll the results are produced by an average over five independent runs.\n\n\\section{Results and Discussion}\n\\subsection{Anomaly Score and Root Cause Assessment}\nIn this section, we first compare the performance of our RSM-GAN using the two context$_{b}$ and context$_{h}$ anomaly score assignment methods described in Section \\ref{sec:AS_assign}. Table \\ref{tab:scores} reports the performance on synthetic MTS with no contamination and seasonality with the optimized threshold as illustrated. As we can see, our proposed context$_{h}$ method outperforms context$_{b}$ for all metrics except of recall. Specifically, context$_{h}$ improves the precision and FPR by $6.2\\%$ and $0.08\\%$, respectively. Since the same result holds for other settings, we report the results based on context$_{h}$ scoring in the following experiments.\n\n\\begin{table}[tb]\n\\caption{Different anomaly score assignment performances}\n\\begin{adjustbox}{width=0.97\\columnwidth,center}\n\\begin{tabular}{c|c|ccccc}\n\\textbf{Score} &\\textbf{Threshold}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} \\\\ \\hline\ncontext$_{b}$ & 0.0019 & 0.784 & \\textbf{0.958} &\t0.862 &\t0.0023 &\t0.813 \\\\\ncontext$_{h}$ & 0.00026 &\\textbf{0.846} &\t0.916 &\t\\textbf{0.880} &\t\\textbf{0.0015} &\t\\textbf{0.859} \\\\\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:scores}\n\\end{table}\n\n Next, we compare the two root cause scoring methods for the baseline MSCRED and our RSM-GAN. Root causes are identified based on the average of $R_x$'s in an anomaly window. \nSynthetic data used in this experiment has two combined seasonal patterns and ten anomalies in training sequence. Overall, RSM-GAN outperforms MSCRED (marked by *). As the results suggest, the NB method performs the best for MSCRED. However, for RSM-GAN the AE leads to the best performance. Since the same results hold for other settings, we report NB for MSCRED and AE for RSM-GAN in subsequent sections.\n\n\\begin{table}[tb]\n\\caption{Different root cause identification performances}\n\\begin{adjustbox}{width=0.9\\columnwidth,center}\n\\begin{tabular}{c||c|ccc}\n\\textbf{Model} &\\textbf{Scoring}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} \\\\ \\hline\n\\multirowcell{2}{MSCRED} \n& Number of broken (NB) & 0.5154 &\t\\textbf{0.7933} &\t\\textbf{0.6249} \\\\\n& Absolute error (AE) & \\textbf{0.5504} &\t0.7066 &\t0.6188 \\\\ \\hline\n\n\\multirowcell{2}{RSM-GAN} \n& Number of broken (NB) & 0.4960 &\t0.8500 &\t0.6264 \\\\\n& Absolute error (AE) & \\textbf{0.6883*} &\t\\textbf{0.8666*} &\t\\textbf{0.7672*} \\\\ \n\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:rootcause}\n\\end{table}\n\n\n\n\\subsection{Contamination Resistance Assessment}\nWe assess the robustness of RSM-GAN towards different levels of contamination in training data. In this experiment, we start with no contamination and at each subsequent level, we add $5$ more random anomalies with varying duration to the training data. The percentages presented in the first column in Table \\ref{tab:contamination} shows the proportions of the anomalous time points in train\/test time span.  Results in Table \\ref{tab:contamination} suggest that our proposed model outperforms all baseline models at all contamination levels for all metrics except of the recall. Note that the 100\\% recall for classic baselines  are at the expense of FPR as high as $26.4\\%$. Furthermore, comparison of the NAB score shows that our model has more timely detection and less irrelevant false positives. Lastly, as we can see, the MSCRED performance drops drastically as the contamination level increases, due to the normal training data assumption and the encoder-decoder architecture.\n\n\\begin{table*}[hbt]\n\\caption{Model Performance on synthetic data with different levels of training contamination and random seasonality}\n\\begin{adjustbox}{width=0.69\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Contamination} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\\multirowcell{4}{No contamination \\\\ train: 0 (0) \\\\ test: 10 (\\%0.82)} & OC-SVM & 0.1581 &\t\\textbf{1.0000} &\t0.2730 &\t0.0473 &\t-8.4370 & - \\\\\n& Isolation Forest & 0.0326 &\t\\textbf{1.0000} &\t0.0631 &\t0.2640 &\t-51.4998 & - \\\\\n& MSCRED & 0.8000 &\t0.8450 &\t0.8219 &\t0.0018 &\t0.7495 & \\textbf{0.7533} \\\\\n& RSM-GAN & \\textbf{0.8461} &\t0.9166 &\t\\textbf{0.8800} &\t\\textbf{0.0015} &\t\\textbf{0.8598} &\t0.6333 \\\\ \\hline\n\n\\multirowcell{4}{Mild contamination \\\\ train: 5 (\\%0.43) \\\\ test: 10 (\\%0.76)} \n& OC-SVM & 0.2810 &\t\\textbf{1.0000} &\t0.4387 &\t0.0218 &\t-3.3411 & - \\\\\n& Isolation Forest & 0.3134 &\t\\textbf{1.0000} &\t0.4772 &\t0.0187 &\t-2.7199 & - \\\\\n& MSCRED & 0.6949 &\t0.6029 &\t0.6457 &\t0.0023 &\t0.2721 &\t0.5483 \\\\\n& RSM-GAN & \\textbf{0.8906} &\t0.7500 &\t\\textbf{0.8143} &\t\\textbf{0.0009} &\t\\textbf{0.8865} &\t\\textbf{0.7700} \\\\ \\hline\n\n\\multirowcell{4}{Medium contamination \\\\ train: 10 (\\%0.82) \\\\ test: 10 (\\%0.85)} \n& OC-SVM & 0.4611 &\t\\textbf{1.0000} &\t0.6311 &\t0.0113 &\t-1.2351 & - \\\\\n& Isolation Forest & 0.6311 &\t\\textbf{1.0000} &\t0.7739 &\t0.0056 &\t-0.1250 & - \\\\\n& MSCRED & 0.6548 &\t0.7143 &\t0.6832 &\t0.0036 &\t0.2712 &\t0.6217 \\\\\n& RSM-GAN & \\textbf{0.8553} &\t0.8442 &\t\\textbf{0.8497} &\t\\textbf{0.0014} &\t\\textbf{0.8511} &\t\\textbf{0.8083} \\\\ \\hline\n\n\\multirowcell{4}{Severe contamination \\\\ train: 15 (\\%1.19) \\\\ test: 15 (\\%1.18)} \n& OC-SVM & 0.5691 &\\textbf{\t1.0000} &\t0.7254 &\t0.0102 &\t-0.3365 & - \\\\\n& Isolation Forest & 0.8425 &\t\\textbf{1.0000} &\t\\textbf{0.9145} &\t0.0025 &\t0.6667 & - \\\\\n& MSCRED & 0.5493 &\t0.7290 &\t0.6265 &\t0.0080 &\t0.0202 &\t0.6611 \\\\\n& RSM-GAN & \\textbf{0.8692} &\t0.8774 &\t0.8732 &\t\\textbf{0.0018} &\t\\textbf{0.8872} &\t\\textbf{0.8133} \\\\ \\hline\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:contamination}\n\\end{table*}\n\n\n\n\n\n\n\n\\begin{table*}[htb!]\n\\caption{Model performance on synthetic data with different seasonal patterns and no training contamination}\n\\begin{adjustbox}{width=0.69\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Seasonality} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\n\\multirowcell{4}{Random seasonality} \n& OC-SVM & 0.4579 &\t0.9819 &\t0.6245 &\t0.0097 &\t-8.6320 & - \\\\\n& Isolation Forest & 0.0325 &\t\\textbf{1.0000} &\t0.0630 &\t0.2646 &\t-51.606 &- \\\\\n& MSCRED & 0.8000 &\t0.8451 &\t0.8219 &\t0.0019 &\t0.7495 & \\textbf{0.7533} \\\\\n& RSM-GAN & \\textbf{0.8462} &\t0.9167 &\t\\textbf{0.8800} &\t\\textbf{0.0015} &\t\\textbf{0.8598} & 0.6333 \\\\ \\hline\n\n\\multirowcell{4}{Daily seasonality} \n& OC-SVM & 0.1770 &\t\\textbf{1.0000} &\t0.3008 &\t0.0532 &\t-9.5465 &  - \\\\\n& Isolation Forest & 0.1387 &\t\\textbf{1.0000} &\t0.2436 &\t0.0710 &\t-13.107 & - \\\\\n& MSCRED & 0.7347 &\t0.7912 &\t0.7619 &\t0.0033 &\t0.3775 & \\textbf{0.7467} \\\\\n& RSM-GAN & \\textbf{0.9012} &\t0.7935 &\t\\textbf{0.8439} &\t\\textbf{0.0010} &\t\\textbf{0.5175} & 0.6717 \\\\ \\hline\n\n\\multirowcell{4}{Daily and weekly \\\\ seasonality} \n& OC-SVM & 0.1883 &\t\\textbf{0.9487} &\t0.3142 &\t0.0400 &\t-6.9745 &  - \\\\\n& Isolation Forest & 0.1783 &\t\\textbf{0.9487} &\t0.3002 &\t0.0428 &\t-7.5278 &  - \\\\\n& MSCRED & 0.6548 &\t0.7143 &\t0.6832 &\t0.0036 &\t0.2712 &\t\\textbf{0.6217} \\\\\n& RSM-GAN & \\textbf{0.9000} &\t0.6750 &\t\\textbf{0.7714} &\t\\textbf{0.0008} &\t\\textbf{0.5461} & 0.4650 \\\\ \\hline\n\n\\multirowcell{4}{Weekly and monthly \\\\ seasonality \\\\ with holidays} \n& OC-SVM & 0.2361 &\t\\textbf{0.9444} &\t0.3778 &\t0.0425 &\t-1.7362 & - \\\\\n& Isolation Forest & 0.2783 &\t0.8889 &\t0.4238 &\t0.0321 &\t-1.0773 &  - \\\\\n& MSCRED & 0.0860 &\t0.7059 &\t0.1534 &\t0.0983 &\t-5.1340 & 0.6067 \\\\\n& RSM-GAN & \\textbf{0.6522} &\t0.8108 &\t\\textbf{0.7229} &\t\\textbf{0.0063} &\t\\textbf{0.5617} & \\textbf{0.8667} \\\\ \\hline\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:seasonality}\n\\end{table*}\n\n\n\n\\begin{table*}[htb!]\n\\caption{Model performance on encryption key and synthetic two-period seasonal MTS with medium contamination}\n\\begin{adjustbox}{width=0.64\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Dataset} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\n\\multirowcell{4}{Encryption \\\\ key} \n& OC-SVM & 0.1532 &\t0.2977 &\t0.2023 &\t0.0063 &\t-17.4715& - \\\\\n& Isolation Forest & 0.3861 &\t\\textbf{0.4649} &\t0.4219 &\t0.0028 &\t-6.9343\t& - \\\\\n& MSCRED & 0.1963 &\t0.2442 &\t0.2176 &\t0.0055 &\t-1.1047\t& 0.4709 \\\\\n& RSM-GAN & \\textbf{0.6852} &\t0.4405 &\t\\textbf{0.5362} &\t\\textbf{0.0011} &\t\\textbf{0.2992}\t& \\textbf{0.5093} \\\\ \\hline\n\n\\multirowcell{4}{Synthetic} \n& OC-SVM & 0.6772 &\t0.9185 &\t0.7772 &\t0.0038 &\t-2.7621 & - \\\\\n& Isolation Forest & 0.7293 &\t\\textbf{0.9610} &\t0.8221 &\t0.0033 &\t-2.2490 & - \\\\\n& MSCRED & 0.6228 &\t0.7403 &\t0.6746 &\t0.0043 &\t0.2753 &\t0.6600 \\\\\n& RSM-GAN & \\textbf{0.8884} &\t0.8438 &\t\\textbf{0.8649} &\t\\textbf{0.0010} &\t\\textbf{0.8986} &\t\\textbf{0.7870} \\\\ \\hline\n\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:realworld}\n\\end{table*}\n\n\\subsection{Seasonality Adjustment Assessment}\n Next, we assess the performance of our proposed attention mechanism, assuming no training contamination exists. In the first experiment, synthetic MTS includes 2 months of data, sampled per minute, with only random seasonality. Daily and weekly seasonality patterns are added at each further step. In the last experiment, we simulate $3$ years of hourly data, and add special patterns to illustrate holiday effect in both training and test data. The test set of each experiment is contaminated with $10$ random anomalies. Comparing the results in Table \\ref{tab:seasonality}, RSM-GAN shows consistent performance due to the attention adjustment strategy. All the other baseline models, especially MSCRED's performance deteriorate with increased complexity of seasonal patterns.\nIn the last experiment in Table \\ref{tab:seasonality}, all of the abnormalities injected to holidays are misidentified by the baseline models as anomalies, since no holiday adjustment is incorporated in those models and thus, low precision and high FPR has emerged. In RSM-GAN, multiplying the binary vectors of holidays with the attention weights enables accountability for extreme events and leads to the best performance in almost all metrics. \n\n\n\n\n\n\n\n\n\\subsection{Performance on Real-world Dataset}\n\\noindent This section evaluates our model on a real-world encryption key dataset that has both daily and weekly seasonality. To be comprehensive, we also create a synthetic dataset with similar seasonality patterns and 10 anomalies in the training set. \nFrom Table \\ref{tab:realworld}, we make the following observations: 1) RSM-GAN consistently outperforms all the baseline models for anomaly detection and root cause identification recall in both datasets. 2) Not surprisingly, for all the models, performance on the synthetic data is better than that of encryption key data. It is due to the excessive irregularities and noise in the encryption key data. \n\\begin{figure}[bt]\n  \\centering \n  \\includegraphics[width=\\columnwidth]{Figures\/idps_final.png}\n   \\caption{Anomaly score assignment on encryption key data}\n   \\label{fig:final_plot}\n\\end{figure}\n3) Figure \\ref{fig:final_plot} illustrates the anomaly scores assigned to each time point in test dataset by each algorithm, with the bottom plot presenting the ground truth. As we can see, even though isolation forest has the highest recall rate, it also detects many false positives not related to the actual anomaly windows, leading to negative NAB scores. 4) By comparing our model to MSCRED in Figure \\ref{fig:final_plot}, we can see that MSCRED not only has much higher FPR, but it also fails to capture some anomalies. \n\n\n\n\n\n\n\\section{Conclusion}\nIn this work, we proposed a GAN-based AD framework to handle contaminated and seasonality-heavy multivariate time-series. RSM-GAN leverages adversarial learning to accurately capture temporal and spatial dependencies in the data, while simultaneously training an additional encoder to handle training data contamination. The novel attention mechanism in the recurrent layers of RSM-GAN enables the model to adjust complex seasonal patterns often found in the real-world data. We conducted extensive empirical studies and results show that our architecture together with a new score assignment and causal inference lead to an exceptional performance over advanced baseline models on both synthetic and real-world datasets.\n\n\n\n\\bibliographystyle{ACM-Reference-Format}\n\n\\section{Introduction}\n\\noindent Detecting anomalies in real-time data sources is critical thanks to the steady rise in the complexity of modern systems, ranging from satellite system monitoring to cyber-security. Such systems often produce multi-channel time series data that automatically detecting anomalous moments can be quite challenging to any anomaly detection (AD) system due to its intrinsic inter-correlation, seasonality, trendiness, and irregularity traits. Speedy detection, along with timely corrective measures before any catastrophic failure, are also key considerations for time-series AD systems.\n\n Multivariate time-series (MTS) AD on seasonality-heavy data can be challenging to most techniques proposed in the literature. Classical time-series forecasting techniques, such as Autoregressive Integrated Moving Average (ARIMA) \\cite{arima} and Statistical Process Control (SPC) \\cite{spc}, in general cannot adequately capture the inter-dependencies among MTS. Also, classical density or distance-based models, such as K-Nearest Neighbors (KNN) \\cite{knn}, usually ignore the effect of temporal dependencies and\/or seasonality in time series. In recent years, deep learning architectures have achieved great success due to their ability to learn the latent representation of normal samples, such as Auto-encoders \\cite{deep-ae} and Generative Adversarial Networks (GAN) \\cite{gan2}. However, such advanced AD methods suffer from high false positive rate (FPR) when applied to seasonal MTS \\cite{season-fpr}. Furthermore, majority of the existing AD methods are built on an unrealistic assumption that the training data is contamination free, which is rarely the case in real-world applications.\n\n\\begin{figure}[t!]\n  \\centering \n  \\includegraphics[width=0.83\\columnwidth]{Figures\/GAN_architecture2.png}\n  \\caption{RSM-GAN architecture with loss definitions}\n  \\label{fig:GAN} \n\\end{figure}\n\n This paper explores some of the challenges in real-world MTS, namely multi-period seasonality and training data contamination, by proposing a GAN-based architecture, named Robust Seasonal Multivariate GAN (RSM-GAN), that has an encoder-decoder-encoder structure as shown in Figure \\ref{fig:GAN}. Co-training of an additional encoder enables this model to be robust against noise and contamination in training data. A novel smoothed attention mechanism is employed in recurrent layers of the encoders to account for multiple seasonality patterns in a data-driven manner. Also, we propose a causal inference framework for root cause identification. We conduct extensive empirical studies on synthetic data with various levels of seasonality and contamination, along with a real-world encryption key dataset. The results show superiority of RSM-GAN for timely and precise detection of anomalies and root causes as compared to state-of-the-art baseline models.\n\n\n Contributions of our work can be summarized as follows: (1) we propose a convolutional recurrent Wasserstein GAN architecture (RSM-GAN) that detects anomalies in MTS data precisely\n; (2) we explicitly model seasonality as part of the RSM-GAN architecture through a novel smoothed attention mechanism; (3) we apply an additional encoder to handle the contaminated training data; (4) we propose a scoring and causal inference framework to accurately and timely identify anomalies and to pinpoint unspecified number of root cause(s). The RSM-GAN framework enables system operators to react to abnormalities swiftly and in real-time manner, while giving them critical information about the root cause(s) and severity of the anomalies.\n\n\n\n\\section{Related Work}\nMTS anomaly detection has long been an active research area because of its critical importance in monitoring high risk tasks. \nClassical time series analysis models such as Vector Auto-regression (VAR) \\cite{var}, and latent state based models such as Kalman Filters \\cite{kalman} have been applied to MTS, but they are sensitive to noise and prone to misspecification. Classical machine learning methods are also widely used that can be categorized into distance-based methods such as the KNN \\cite{knn}, classification-based methods such as One-Class SVM \\cite{one-svm}, and ensemble methods such as Isolation Forest \\cite{iforest}. These general purpose AD methods do not account for temporal dependencies nor the seasonality patterns that are ubiquitous in MTS, which lead to non-satisfactory performance in real applications. Recently, deep neural networks with architectures such as auto-encoder and GAN-based, have shown great promise for AD in various domains. Autoencoder-based models learn low-dimensional latent representations and utilize reconstruction errors as the score to detect anomalies \\cite{autoencoder1,autoencoder2,autoencoder3}. GAN-based models leverage adversarial learning for mapping high-dimensional training data to the latent space and later use latent space to calculate reconstruction loss as the anomaly score \\cite{ganomaly,gan3image,gan4image}.\n\nRecurrent neural network (RNN)-based approaches have been employed for MTS AD \\cite{lstmed,rnn-ad}. \\cite{madgan} proposed GAN-AD, which is the first work to apply recurrent GAN-based approach to MTS anomaly detection. However, the GAN-AD architecture is not efficient for real-time anomaly detection due to costly invert mapping step while testing. Multi-Scale Convolutional Recurrent Encoder-Decoder (MSCRED) is a deep autoencoder-based AD framework applied to MTS data \\cite{mscred}. MSCRED captures inter-correlation and temporal dependency between time-series by convolutional-LSTM networks and therefore, achieves state-of-the-art performance. However, non of these models account for seasonal and contaminated training data.\nA few studies have addressed seasonality by applying Fourier transform, such as Seasonal ARIMA \\cite{sarima}, or time-series decomposition methods \\cite{fourier-season}. Such treatments are inefficient when applied to high-dimensional MTS data while they do not account for multi-period seasonality. RSM-GAN is designed to address heavy seasonality using attention mechanism, and to improve robustness to severe levels of contamination by co-training of an encoder.\n \n\n\n\\section{Methodology}\\label{method}\nWe define an MTS as $X=(X_1,...,X_n)\\in\\mathbb{R}^{n\\times T}$, where $n$ is the number of time series, and $T$ is the length of the training data. We aim to predict two AD outcomes: 1) the time points $t$ after $T$ that are associated with anomalies, and 2) time series $ i \\in \\{1,..,n\\}$ causing the anomalies.\nIn the following, we first describe how we transform the raw MTS to be consumed by a convolutional recurrent GAN. Then we introduce the RSM-GAN architecture and the seasonal attention mechanism. Finally, we describe anomaly scoring and causal inference procedure to identify anomalies and the root causes in the prediction phase.\n\n\\subsection{RSM-GAN Framework}\n\\subsubsection{MTS to Image Conversion} To extend GAN to MTS and to capture inter-correlation between multiple time series, we convert the MTS into an image-like structure through construction of the so-called multi-channel correlation matrix (MCM), inspired by \\cite{song2018deep,mscred}.\nSpecifically, we define multiple windows of different sizes $W=(w_1,...,w_C)$, and calculate the pairwise inner product (correlation) of time series within each window. At a specific time point $t$, we generate $C$ matrices (channels) of shape $n\\times n$, where each element of matrix $S_t^c$ for a window of size $w_c$ is calculated by this formula:\n\\begin{equation}\n    s_{ij}=\\frac{\\sum_{\\delta=0}^{w_c}x_i^{t-\\delta}\\cdot x_j^{t-\\delta}}{w_c}\n\\end{equation}\n In this work, we select windows $W=(5, 10, 30)$. This results in $3$ channels of $n\\times n$ correlation matrices for time point $t$ noted as $S_t$. To convert the span of MTS into this shape, we consider a step size $p=5$. Therefore, $X$ is transformed to $S=(S_1,...,S_M)\\in\\mathbb{R}^{M \\times n\\times n\\times C}$, where  $M=\\lfloor\\frac{T}{p}\\rfloor$ steps represented by MCMs. Finally, to capture the temporal dependency between consecutive steps, we stack $h=4$ previous steps to the current step $t$ to prepare the input to the GAN-based model. Later, we extend MCM to also capture seasonality unique to MTS.\n\n\\subsubsection{RSM-GAN Architecture} \nThe idea behind using a GAN to detect anomalies is intuitive. During training, a GAN utilize adversarial learning to capture the distribution of the input data. Then, if anomalies are present during prediction, the networks would fail to reconstruct the input, thus produce large losses. In most deep AD literature, the training data is explicitly assumed to be normal with no contamination. In a study, \\cite{encoder} have shown that simultaneous training of an encoder with GAN improves the robustness of the model towards contamination. This is mainly because the joint encoder forces similar inputs to lie close to each other by optimizing the latent loss, and thus account for the contamination while training. To this end, we adopt an encoder-decoder-encoder structure \\cite{ganomaly}, with the additional encoder, to optimize input reconstruction in both original and latent space. Specifically, in Figure \\ref{fig:GAN}, the generator $G$ has autoencoder structure that the encoder ($G_E$) and decoder ($G_D$) interact with each other to minimize the contextual loss: the $l_2$ distance between input $x$ and reconstructed input $G(x)=x'$. An additional encoder $E$ is trained jointly with the generator to minimize the latent loss: the $l_2$ distance between latent vector $z$ and reconstructed latent vector $z'$. Finally, the discriminator $D$ is tasked to distinguish between the original input $x$ and the generated input $x'$. Following the recent advancements on GAN, we employ the Wasserstein GAN with gradient penalty (WGAN-GP) \\cite{wgan-gp} to ensure stable gradients, avoid the collapsing mode, and thus improve the training. \nTherefore, the final objective functions for the generator and discriminator are as following:\n\\begin{equation}\n\\begin{aligned}\n    L_G =  \\min_{G}\\min_{E} & \\Big(  w_1\\mathbb{E}_{x\\sim p_x} \\| x-x' \\|_2 +  w_2 \\mathbb{E}_{x\\sim p_x} \\| G_E(x)-E(x') \\|_2 \\\\ & +  w_3  \\mathbb{E}_{x\\sim p_x}[f_\\theta(x')]\\Big)\n\\end{aligned}\n\\end{equation}\n\\begin{equation}\n    L_D = \\max_{\\theta \\in \\Theta} \\mathbb{E}_{x\\sim p_x}[f_\\theta(x)] - \\mathbb{E}_{x\\sim p_x} [f_\\theta(x')]\n\\end{equation}\n\\noindent where $\\theta$ is the discriminator's parameter and ($w_1$, $w_2$, $w_3$) are weights controlling the effect of each loss. The choice of contextual loss weight, has the largest effect on training convergence and we chose (50, 1, 1) weights for optimal training. We employ Adam optimizer to optimize the above losses for $G$ and $D$ alternatively. Each encoder in Figure \\ref{fig:GAN} is composed of multiple convolutional layers, each followed by convolutional-LSTM layers to capture both spatial and temporal dependencies in input. The detailed inner structure of each component is described in Appendix \\ref{sec:apx_inner}.\n\n\n\\subsubsection{Seasonality Adjustment via Attention Mechanism} \nIn order to adjust the seasonality in MTS data, we stack previous seasonal steps to the input data, and allow the convolutional-LSTM cells in the encoder to capture temporal dependencies through an attention mechanism. Specifically, in addition to $h$ previous immediate steps, we append $m_i$ previous seasonal steps per seasonal pattern $i$. To illustrate, assume the input has both the daily and weekly seasonality. To prepare input for time step $t$, we stack MCMs of up to $m_1$ days ago at the same time, and up to $m_2$ weeks ago at the same time.  \nAdditionally, to account for the fact that seasonal patterns are often not exact, we smooth the seasonal steps by averaging over steps in a neighboring window of 6 steps.\\\\\nMoreover, even though the $h$ previous steps are closer to the current time step, but the previous seasonal steps might be a better indicator to reconstruct the current step. Therefore, an attention mechanism is employed to assign weights to each step based on the similarity of the hidden state representations in the last layer using:\n\\begin{equation}\n    \\mathcal{H'}_t = \\sum_{i\\in (t-N,t)} \\alpha_i \\mathcal{H}_i  \\text{, where } \n    \\alpha_i=\\mathrm{softmax}\\Big(\\frac{Vec(\\mathcal{H}_t)^T Vec(\\mathcal{H}_i)}{\\mathcal{X}}\\Big)\n\\end{equation}\nwhere $N=h+\\Sigma m_i$, $Vec(\\cdot)$ denotes the vector, and $\\mathcal{X}=5$ is the rescaling factor. Figure \\ref{fig:attention} presents the structure of the described smoothed attention mechanism.\nFinally, to make our model even more adaptable to real-world datasets that often exhibit holiday effects, we multiply the attention weight $\\alpha_i$ by a binary bit $b_i \\in \\{0,1\\}$, where $b_i=0$ in case of holidays or other exceptional behavior in previous steps. This way, we eliminate the effect of undesired steps from modeling the current step.\n\n\\begin{figure}[t]\n  \\centering \n  \\includegraphics[width=0.88\\columnwidth]{Figures\/attn.png} \n  \\caption{Smoothed attention mechanism}\n  \\label{fig:attention} \n\\end{figure}\n\n\\subsection{Prediction Phase}\n\\subsubsection{Anomaly Score Assignment} \\label{sec:AS_assign}\nThe residual MCM matrix from the first channel, $R_x=x_{:,:,0}-x_{:,:,0}'$, are indicative of anomalies while predicting. \nWe define broken tiles as the elements of $R_x$ that have error value of greater than $\\theta_b$. Previous studies have defined a scoring method based on the number of broken tiles in $R_x$ that we call context$_{b}$ \\cite{mscred}. However, this score is insensitive to non-severe anomalies, and lowering the threshold would result in high FPR. Since each row\/column in $R_x$ is associated with a time series, the ones with the largest number of broken tiles are contributing the most to the anomalies. Therefore, by defining a threshold $\\theta_h \\leq \\theta_b$, we propose to only count the number of broken tiles in rows\/columns with more than half broken and name this method context$_{h}$. The above thresholds $\\theta = \\beta \\times \\eta_{.996}(E_\\mathrm{train})$, which is calculated based on $99.6^{th}$ percentile of error in the training residual matrices, and the best $\\beta$ is chosen by a grid search on validation set.\n\n\n\\subsubsection{Root Cause Framework} Large errors in rows\/columns of $R_x$ are indicative of anomalous behavior in those time series. To identify which are contributing the most to anomalies, we need a root-cause scoring system to assign a score to each time series based on the severity of its errors. We present two different methods: 1) number of broken tiles (NB) (using the optimized $\\theta_b$), and 2) sum of absolute errors (AE). \n\n Furthermore, the number of root causes, $k$, is unknown in real-world applications. Despite previous studies, we allow the elbow method \\cite{elbow} to find the optimal $k$ number of time series from the root cause scores. In this approach, by sorting the scores and plotting the curve, we aim to find the point where the scores become very small and close to each other (elbow point). Time series associated with the scores greater than elbow point are identified as root causes. Thus, we define the elbow point as the point with maximum distance from a vector that connects the first and last scores. \n\n\n\\section{Experimental Setup}\n\\subsection{Data}\n\\textbf{Synthetic Data:} We generate synthetic sinusoidal-based multivariate time-series with different seasonal period and contamination levels to evaluate our model comprehensively. Ten time series with 2 months worth of data by minute sampling frequency are generated with length $T=80,640$. Also, anomalies with varying duration and intensity are injected to the training and test sets. The detailed data generation process in discussed in Appendix \\ref{sec:apx_synth}.\n\n\\textbf{Encryption Key Data:} Our encryption-key dataset contains $7$ time series generated from a project's encryption process. Each time series represents the number of requests for a specific encryption key per minute. The dataset contains $4$ months of data with length $T=156,465$. Four anomalies with various length and scales are identified in the test sequence by a security expert, and we randomly injected $5$ additional anomalies into both the training and test sets.\n\n\n\\subsection{Evaluation}\nRSM-GAN is compared against two classical machine learning models, i.e., One-class SVM (OC-SVM) \\cite{one-svm} and Isolation Forest \\cite{iforest}. and a deep autoencoder-based AD model called MSCRED \\cite{mscred}. MSCRED is run in a sufficient number of epochs and its best performance is reported. We also have tried GAN-AD \\cite{madgan} in multiple settings, but the results are not reported here due to its inefficient and faulty performance. For evaluation, in addition to precision, recall, FPR, and F1 score, we include the \\textbf{Numenta Anomaly Benchmark (NAB)} score \\cite{numenta}. NAB is a standard open source framework for evaluating real-time AD algorithms. The NAB assigns score to each true positive detection based on their relative position to the anomaly window (by a scaled \\textit{sigmoid} function), and negative score to false positives and false negatives.\n\n In all experiments, the first half of the time series are used for training and the remainder for validation\/test by 1\/5 ratio. RSM-GAN is implemented in Tensorflow and trained in 300 epochs, in batches of size $32$, on an AWS Sagemaker instance with four $16$GB GPUs.\nAll the results are produced by an average over five independent runs.\n\n\\section{Results and Discussion}\n\\subsection{Anomaly Score and Root Cause Assessment}\nIn this section, we first compare the performance of our RSM-GAN using the two context$_{b}$ and context$_{h}$ anomaly score assignment methods described in Section \\ref{sec:AS_assign}. Table \\ref{tab:scores} reports the performance on synthetic MTS with no contamination and seasonality with the optimized threshold as illustrated. As we can see, our proposed context$_{h}$ method outperforms context$_{b}$ for all metrics except of recall. Specifically, context$_{h}$ improves the precision and FPR by $6.2\\%$ and $0.08\\%$, respectively. Since the same result holds for other settings, we report the results based on context$_{h}$ scoring in the following experiments.\n\n\\begin{table}[tb]\n\\caption{Different anomaly score assignment performances}\n\\begin{adjustbox}{width=0.97\\columnwidth,center}\n\\begin{tabular}{c|c|ccccc}\n\\textbf{Score} &\\textbf{Threshold}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} \\\\ \\hline\ncontext$_{b}$ & 0.0019 & 0.784 & \\textbf{0.958} &\t0.862 &\t0.0023 &\t0.813 \\\\\ncontext$_{h}$ & 0.00026 &\\textbf{0.846} &\t0.916 &\t\\textbf{0.880} &\t\\textbf{0.0015} &\t\\textbf{0.859} \\\\\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:scores}\n\\end{table}\n\n Next, we compare the two root cause scoring methods for the baseline MSCRED and our RSM-GAN. Root causes are identified based on the average of $R_x$'s in an anomaly window. \nSynthetic data used in this experiment has two combined seasonal patterns and ten anomalies in training sequence. Overall, RSM-GAN outperforms MSCRED (marked by *). As the results suggest, the NB method performs the best for MSCRED. However, for RSM-GAN the AE leads to the best performance. Since the same results hold for other settings, we report NB for MSCRED and AE for RSM-GAN in subsequent sections.\n\n\\begin{table}[tb]\n\\caption{Different root cause identification performances}\n\\begin{adjustbox}{width=0.9\\columnwidth,center}\n\\begin{tabular}{c||c|ccc}\n\\textbf{Model} &\\textbf{Scoring}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} \\\\ \\hline\n\\multirowcell{2}{MSCRED} \n& Number of broken (NB) & 0.5154 &\t\\textbf{0.7933} &\t\\textbf{0.6249} \\\\\n& Absolute error (AE) & \\textbf{0.5504} &\t0.7066 &\t0.6188 \\\\ \\hline\n\n\\multirowcell{2}{RSM-GAN} \n& Number of broken (NB) & 0.4960 &\t0.8500 &\t0.6264 \\\\\n& Absolute error (AE) & \\textbf{0.6883*} &\t\\textbf{0.8666*} &\t\\textbf{0.7672*} \\\\ \n\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:rootcause}\n\\end{table}\n\n\n\n\\subsection{Contamination Resistance Assessment}\nWe assess the robustness of RSM-GAN towards different levels of contamination in training data. In this experiment, we start with no contamination and at each subsequent level, we add $5$ more random anomalies with varying duration to the training data. The percentages presented in the first column in Table \\ref{tab:contamination} shows the proportions of the anomalous time points in train\/test time span.  Results in Table \\ref{tab:contamination} suggest that our proposed model outperforms all baseline models at all contamination levels for all metrics except of the recall. Note that the 100\\% recall for classic baselines  are at the expense of FPR as high as $26.4\\%$. Furthermore, comparison of the NAB score shows that our model has more timely detection and less irrelevant false positives. Lastly, as we can see, the MSCRED performance drops drastically as the contamination level increases, due to the normal training data assumption and the encoder-decoder architecture.\n\n\\begin{table*}[hbt]\n\\caption{Model Performance on synthetic data with different levels of training contamination and random seasonality}\n\\begin{adjustbox}{width=0.69\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Contamination} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\\multirowcell{4}{No contamination \\\\ train: 0 (0) \\\\ test: 10 (\\%0.82)} & OC-SVM & 0.1581 &\t\\textbf{1.0000} &\t0.2730 &\t0.0473 &\t-8.4370 & - \\\\\n& Isolation Forest & 0.0326 &\t\\textbf{1.0000} &\t0.0631 &\t0.2640 &\t-51.4998 & - \\\\\n& MSCRED & 0.8000 &\t0.8450 &\t0.8219 &\t0.0018 &\t0.7495 & \\textbf{0.7533} \\\\\n& RSM-GAN & \\textbf{0.8461} &\t0.9166 &\t\\textbf{0.8800} &\t\\textbf{0.0015} &\t\\textbf{0.8598} &\t0.6333 \\\\ \\hline\n\n\\multirowcell{4}{Mild contamination \\\\ train: 5 (\\%0.43) \\\\ test: 10 (\\%0.76)} \n& OC-SVM & 0.2810 &\t\\textbf{1.0000} &\t0.4387 &\t0.0218 &\t-3.3411 & - \\\\\n& Isolation Forest & 0.3134 &\t\\textbf{1.0000} &\t0.4772 &\t0.0187 &\t-2.7199 & - \\\\\n& MSCRED & 0.6949 &\t0.6029 &\t0.6457 &\t0.0023 &\t0.2721 &\t0.5483 \\\\\n& RSM-GAN & \\textbf{0.8906} &\t0.7500 &\t\\textbf{0.8143} &\t\\textbf{0.0009} &\t\\textbf{0.8865} &\t\\textbf{0.7700} \\\\ \\hline\n\n\\multirowcell{4}{Medium contamination \\\\ train: 10 (\\%0.82) \\\\ test: 10 (\\%0.85)} \n& OC-SVM & 0.4611 &\t\\textbf{1.0000} &\t0.6311 &\t0.0113 &\t-1.2351 & - \\\\\n& Isolation Forest & 0.6311 &\t\\textbf{1.0000} &\t0.7739 &\t0.0056 &\t-0.1250 & - \\\\\n& MSCRED & 0.6548 &\t0.7143 &\t0.6832 &\t0.0036 &\t0.2712 &\t0.6217 \\\\\n& RSM-GAN & \\textbf{0.8553} &\t0.8442 &\t\\textbf{0.8497} &\t\\textbf{0.0014} &\t\\textbf{0.8511} &\t\\textbf{0.8083} \\\\ \\hline\n\n\\multirowcell{4}{Severe contamination \\\\ train: 15 (\\%1.19) \\\\ test: 15 (\\%1.18)} \n& OC-SVM & 0.5691 &\\textbf{\t1.0000} &\t0.7254 &\t0.0102 &\t-0.3365 & - \\\\\n& Isolation Forest & 0.8425 &\t\\textbf{1.0000} &\t\\textbf{0.9145} &\t0.0025 &\t0.6667 & - \\\\\n& MSCRED & 0.5493 &\t0.7290 &\t0.6265 &\t0.0080 &\t0.0202 &\t0.6611 \\\\\n& RSM-GAN & \\textbf{0.8692} &\t0.8774 &\t0.8732 &\t\\textbf{0.0018} &\t\\textbf{0.8872} &\t\\textbf{0.8133} \\\\ \\hline\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:contamination}\n\\end{table*}\n\n\n\n\n\n\n\n\\begin{table*}[htb!]\n\\caption{Model performance on synthetic data with different seasonal patterns and no training contamination}\n\\begin{adjustbox}{width=0.69\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Seasonality} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\n\\multirowcell{4}{Random seasonality} \n& OC-SVM & 0.4579 &\t0.9819 &\t0.6245 &\t0.0097 &\t-8.6320 & - \\\\\n& Isolation Forest & 0.0325 &\t\\textbf{1.0000} &\t0.0630 &\t0.2646 &\t-51.606 &- \\\\\n& MSCRED & 0.8000 &\t0.8451 &\t0.8219 &\t0.0019 &\t0.7495 & \\textbf{0.7533} \\\\\n& RSM-GAN & \\textbf{0.8462} &\t0.9167 &\t\\textbf{0.8800} &\t\\textbf{0.0015} &\t\\textbf{0.8598} & 0.6333 \\\\ \\hline\n\n\\multirowcell{4}{Daily seasonality} \n& OC-SVM & 0.1770 &\t\\textbf{1.0000} &\t0.3008 &\t0.0532 &\t-9.5465 &  - \\\\\n& Isolation Forest & 0.1387 &\t\\textbf{1.0000} &\t0.2436 &\t0.0710 &\t-13.107 & - \\\\\n& MSCRED & 0.7347 &\t0.7912 &\t0.7619 &\t0.0033 &\t0.3775 & \\textbf{0.7467} \\\\\n& RSM-GAN & \\textbf{0.9012} &\t0.7935 &\t\\textbf{0.8439} &\t\\textbf{0.0010} &\t\\textbf{0.5175} & 0.6717 \\\\ \\hline\n\n\\multirowcell{4}{Daily and weekly \\\\ seasonality} \n& OC-SVM & 0.1883 &\t\\textbf{0.9487} &\t0.3142 &\t0.0400 &\t-6.9745 &  - \\\\\n& Isolation Forest & 0.1783 &\t\\textbf{0.9487} &\t0.3002 &\t0.0428 &\t-7.5278 &  - \\\\\n& MSCRED & 0.6548 &\t0.7143 &\t0.6832 &\t0.0036 &\t0.2712 &\t\\textbf{0.6217} \\\\\n& RSM-GAN & \\textbf{0.9000} &\t0.6750 &\t\\textbf{0.7714} &\t\\textbf{0.0008} &\t\\textbf{0.5461} & 0.4650 \\\\ \\hline\n\n\\multirowcell{4}{Weekly and monthly \\\\ seasonality \\\\ with holidays} \n& OC-SVM & 0.2361 &\t\\textbf{0.9444} &\t0.3778 &\t0.0425 &\t-1.7362 & - \\\\\n& Isolation Forest & 0.2783 &\t0.8889 &\t0.4238 &\t0.0321 &\t-1.0773 &  - \\\\\n& MSCRED & 0.0860 &\t0.7059 &\t0.1534 &\t0.0983 &\t-5.1340 & 0.6067 \\\\\n& RSM-GAN & \\textbf{0.6522} &\t0.8108 &\t\\textbf{0.7229} &\t\\textbf{0.0063} &\t\\textbf{0.5617} & \\textbf{0.8667} \\\\ \\hline\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:seasonality}\n\\end{table*}\n\n\n\n\\begin{table*}[htb!]\n\\caption{Model performance on encryption key and synthetic two-period seasonal MTS with medium contamination}\n\\begin{adjustbox}{width=0.64\\textwidth,center}\n\\begin{tabular}{c||c|ccccc|c}\n\\textbf{Dataset} &\\textbf{Model}&\\textbf{Precision}& \\textbf{Recall} & \\textbf{F1} &\\textbf{FPR} & \\textbf{NAB Score} & \\textbf{Root Cause Recall} \\\\ \\hline\n\n\\multirowcell{4}{Encryption \\\\ key} \n& OC-SVM & 0.1532 &\t0.2977 &\t0.2023 &\t0.0063 &\t-17.4715& - \\\\\n& Isolation Forest & 0.3861 &\t\\textbf{0.4649} &\t0.4219 &\t0.0028 &\t-6.9343\t& - \\\\\n& MSCRED & 0.1963 &\t0.2442 &\t0.2176 &\t0.0055 &\t-1.1047\t& 0.4709 \\\\\n& RSM-GAN & \\textbf{0.6852} &\t0.4405 &\t\\textbf{0.5362} &\t\\textbf{0.0011} &\t\\textbf{0.2992}\t& \\textbf{0.5093} \\\\ \\hline\n\n\\multirowcell{4}{Synthetic} \n& OC-SVM & 0.6772 &\t0.9185 &\t0.7772 &\t0.0038 &\t-2.7621 & - \\\\\n& Isolation Forest & 0.7293 &\t\\textbf{0.9610} &\t0.8221 &\t0.0033 &\t-2.2490 & - \\\\\n& MSCRED & 0.6228 &\t0.7403 &\t0.6746 &\t0.0043 &\t0.2753 &\t0.6600 \\\\\n& RSM-GAN & \\textbf{0.8884} &\t0.8438 &\t\\textbf{0.8649} &\t\\textbf{0.0010} &\t\\textbf{0.8986} &\t\\textbf{0.7870} \\\\ \\hline\n\n\\end{tabular}\n\\end{adjustbox}\n\\label{tab:realworld}\n\\end{table*}\n\n\\subsection{Seasonality Adjustment Assessment}\n Next, we assess the performance of our proposed attention mechanism, assuming no training contamination exists. In the first experiment, synthetic MTS includes 2 months of data, sampled per minute, with only random seasonality. Daily and weekly seasonality patterns are added at each further step. In the last experiment, we simulate $3$ years of hourly data, and add special patterns to illustrate holiday effect in both training and test data. The test set of each experiment is contaminated with $10$ random anomalies. Comparing the results in Table \\ref{tab:seasonality}, RSM-GAN shows consistent performance due to the attention adjustment strategy. All the other baseline models, especially MSCRED's performance deteriorate with increased complexity of seasonal patterns.\nIn the last experiment in Table \\ref{tab:seasonality}, all of the abnormalities injected to holidays are misidentified by the baseline models as anomalies, since no holiday adjustment is incorporated in those models and thus, low precision and high FPR has emerged. In RSM-GAN, multiplying the binary vectors of holidays with the attention weights enables accountability for extreme events and leads to the best performance in almost all metrics. \n\n\n\n\n\n\n\n\n\\subsection{Performance on Real-world Dataset}\n\\noindent This section evaluates our model on a real-world encryption key dataset that has both daily and weekly seasonality. To be comprehensive, we also create a synthetic dataset with similar seasonality patterns and 10 anomalies in the training set. \nFrom Table \\ref{tab:realworld}, we make the following observations: 1) RSM-GAN consistently outperforms all the baseline models for anomaly detection and root cause identification recall in both datasets. 2) Not surprisingly, for all the models, performance on the synthetic data is better than that of encryption key data. It is due to the excessive irregularities and noise in the encryption key data. \n\\begin{figure}[bt]\n  \\centering \n  \\includegraphics[width=\\columnwidth]{Figures\/idps_final.png}\n   \\caption{Anomaly score assignment on encryption key data}\n   \\label{fig:final_plot}\n\\end{figure}\n3) Figure \\ref{fig:final_plot} illustrates the anomaly scores assigned to each time point in test dataset by each algorithm, with the bottom plot presenting the ground truth. As we can see, even though isolation forest has the highest recall rate, it also detects many false positives not related to the actual anomaly windows, leading to negative NAB scores. 4) By comparing our model to MSCRED in Figure \\ref{fig:final_plot}, we can see that MSCRED not only has much higher FPR, but it also fails to capture some anomalies. \n\n\n\n\n\n\n\\section{Conclusion}\nIn this work, we proposed a GAN-based AD framework to handle contaminated and seasonality-heavy multivariate time-series. RSM-GAN leverages adversarial learning to accurately capture temporal and spatial dependencies in the data, while simultaneously training an additional encoder to handle training data contamination. The novel attention mechanism in the recurrent layers of RSM-GAN enables the model to adjust complex seasonal patterns often found in the real-world data. We conducted extensive empirical studies and results show that our architecture together with a new score assignment and causal inference lead to an exceptional performance over advanced baseline models on both synthetic and real-world datasets.\n\n\n\n\\bibliographystyle{ACM-Reference-Format}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nIn order to tackle the problem of quantum gravity, instead of studying the full theory of general relativity, it is possible to study simpler models. One such model is pure 3d gravity, which describes a simplified universe with only 2 spatial dimensions and 1 dimension of time and without matter. Since classical 3d gravity is a topological theory (it does not have local degrees of freedom), its quantum theory is much more tractable as was originally noticed by Witten \\cite{Witten:1988hc}. Since then, the model has been studied in various other manners, including using Loop Quantum Gravity techniques \\cite{Freidel:2002hx,Noui:2004iy}. Several directions can be considered from there. One could use the techniques developed to consider a four-dimensional theory and therefore follow the LQG developments. Or it is possible to try and couple 3d gravity to matter, in order to get a more complete model.\n\nThis last direction is however rather difficult since the main property of 3d gravity, namely its topological nature, is generically lost when coupling to matter. In the context of Loop Quantum Gravity, no complete model of 3d gravity coupled to matter, even a simple scalar field, is known \\cite{Date:2011bg} \\footnote{There is however substantial work trying to use matter as a clock \\cite{Giesel:2012rb,Bilski:2017sze}. In that case, the scalar field is used to fix the gauge and the resulting theory is formulated as a diffeomorphism invariant theory. This actually evades the problem of Dirac observable we mention a bit later.}. This is partially due to difficulties in quantizing scalar fields in LQG \\cite{Thiemann:1997rq,Ashtekar:2002vh,Kaminski:2005nc,Kaminski:2006ta}, partially due to difficulties in constructing Dirac observables \\cite{Dittrich:2004cb} but also simply to the difficulties in writing the Hamiltonian constraints involving an inverse metric \\cite{Thiemann:1996ay,Livine:2013wmq}.\n\nIt does not mean that no reasonable conjecture is known. A surprising number of elements, at least from an LQG perspective \\cite{Freidel:2005bb,Freidel:2005me,Ashtekar:1998ak}, converge towards the idea that spacetime in 3d quantum gravity is best described by a non-commutative manifold when coupled to matter. In this regard, non-commutative field theory (see for instance \\cite{Szabo:2001kg}) would be the right effective field theory to describe quantum gravity phenomena, at least in three dimensions. This new non-commutative structure is particularly interesting because it seems to be specific to quantum gravity phenomena and as such, it does provide potential insights for studying the full 4d theory. Our goal in this paper is therefore to work towards the goal of developing a rigorous, non-perturbative theory of 3d quantum gravity coupled to matter (most probably just a scalar field) in the context of LQG. If such a theory can be developed, we will finally be able to test the conjectures regarding the non-commutative structure of spacetime, at least in 3d.\n\nIn this paper and as a first step in this project, we will study the quatum theory of matter coupled to 3d \\textit{linear} gravity. The \\textit{linear} term here refers to the fact that we will consider a simplification on the gravity side, by considering an abelian gauge group (rather than the usual local Lorentz invariance). This model is inspired by Smolin's remark on the $G \\rightarrow 0$ limit of gravity (where $G$ is Newton's constant) \\cite{Smolin:1992wj}. This model, called the $\\mathrm{U}(1)^3$ model, corresponds to the usual linearized gravity theory but expressed in a diffeomorphism invariant manner. This simplification might seem quite drastic, especially in 3d for which linearized gravity is quite trivial. Still, it does serve two purposes. First, pure 3d gravity, which has been studied so far, can be considered a simplification on the matter side. Here, we are trying to keep matter but rather simplify the gravity side in order to get new insights. Second, as we will see, and perhaps unsurprisingly, this linear theory is exactly solvable and exactly quantizable (at least with a few assumptions on the topology). The way it is solved however is interesting. Indeed, by writing every expressions in a diffeomorphism invariant manner, we will get formulas that are starting points for the full theory, either by deforming them accordingly, or as initial point for a perturbative study. On top of these expected benefits, we will also get interesting results and insights on how quantum matter and quantum spacetime interacts. In particular, our work reveals more precisely the role of the BF representation \\cite{Dittrich:2014wpa,Bahr:2015bra} of the holonomy-flux algebra with respect to the solutions of the theory but also the role of unconventional representations (inspired from \\cite{Koslowski:2007kh,Sahlmann:2010hn,Koslowski:2011vn}) in the construction of the field operators.\n\nThe main result of this paper is that, in this simplified setting of a scalar field coupled to 3d linear gravity, two sectors entirely decouple. One of the sector correspond to the matter sector. Its structure is exactly equivalent to the free scalar field though expressed in a diffeomorphism invariant way. The second sector roughly corresponds to gravity and is governed by equations similar to BF theory. This separation is possible because we can write the equivalent of creation and annihilation operators of the free field theory, with the additional property of commuting with all the constraints. The first sector correspond to the states explored by the ladder operators while the second sector correspond to the part on which the constraints act. This separation allows the definition of an explicit exact (though trivial) quantum theory. It is noteworthy however that the scalar field operators (the field operator and its canonically conjugated momentum) cannot be expressed in the natural representations of the algebra we found, even though the ladder operators can. The problem is linked to the definition of the inverse of the determinant of the triad, a problem widely encountered in LQG \\cite{Thiemann:1996ay,Livine:2013wmq}. It is possible to solve this problem in this simplified context by appealing to representations that are peaked on classical solutions of the Gau\u00df constraints. This result might indicate a possible route for solving similar problems in non-linear or 4d theories.\n\nThe paper is organized as follows. The first section gives a bird eye view on the ideas of the paper, staying quite general but still giving more technical details than this introduction. The second section is devoted to the classical study of the theory, in particular the decoupling of the two sectors classically. The third section is concerned with the quantization of the theory. Two approaches are provided: the naive approach that correspond to the previous study and a second approach that allows the development of all the fundamental operators. Finally, the last section discusses various implications of the results with regard to future work.\n\n\\section{Overview}\n\nThe model we intend to study in the end is 3d quantum gravity coupled to matter. More specifically here, we want to couple a scalar field to gravity in a quantum theory. For this, we can start from the standard action:\n\\begin{equation}\nS[e,A,\\phi] = \\int_{\\mathcal{S}} \\left(\\alpha \\epsilon_{IJK} e^I \\wedge F^{JK}[A] + \\frac{\\Lambda}{6} \\epsilon_{IJK} e^I \\wedge e^J \\wedge e^K + \\frac{1}{2} \\star \\mathrm{d}\\phi \\wedge \\mathrm{d}\\phi + \\frac{m^2}{2} \\star \\phi \\wedge \\phi \\right) .\n\\end{equation}\nHere, $\\mathcal{S}$ is the spacetime manifold. $e$ is the triad. It is an $\\mathbb{R}^3$-valued $1$-form that can be interpreted as an $\\mathfrak{su}(1,1)$-valued one using the Levi-Civita symbol. $A$ is the spin connection. It is naturally an $\\mathfrak{su}(1,1)$-valued one form. $F[A]$ is then its curvature. $\\phi$ is the scalar field. $\\alpha$, $\\Lambda$ and $m$ are coupling constants. $\\alpha$ contains the gravity coupling constant $G$ and is, up to numerical factors $\\frac{1}{G}$. $\\Lambda$ is the cosmological constant and $m$ is the mass of the field. Finally, $\\star$ is the Hodge dual associated to the metric constructed out of the triad. We will choose the signature $(-\\ +\\ +\\ +)$, which goes with the sign in front of the mass term. There is a slight subtlety here. Normally, if $g$ is the metric and $\\omega$ is a $p$-form, then:\n\\begin{equation}\n(\\star \\omega)_{\\mu_1 ... \\mu_{n-p}} = \\frac{1}{p! \\sqrt{|\\det g|}} \\omega_{\\nu_1 ... \\nu_p} \\epsilon^{\\nu_1 ... \\nu_p \\rho_1 ... \\rho_{n-p}} g_{\\mu_1 \\rho_1} ... g_{\\mu_{n-p} \\rho_{n-p}}.\n\\end{equation}\n$\\epsilon^{\\mu\\nu\\rho}$ is not a tensor here and is simply the Levi-Civita symbol (it is a tensor multiplied by a density). Namely, $\\epsilon^{012} = 1$ and all the other terms can be deduced by full anti-symmetry. But we have used the first order expression for the action which uses $\\det e$ and not the square-root of the determinant of the metric, which are equal only up to a sign. Here, we will rather use the following expression, which also solves the sign problem:\n\\begin{equation}\n(\\star \\omega)_{\\mu_1 ... \\mu_{n-p}} = \\frac{1}{p! (\\det e)} \\omega_{\\nu_1 ... \\nu_p} \\epsilon^{\\nu_1 ... \\nu_p \\rho_1 ... \\rho_{n-p}} g_{\\mu_1 \\rho_1} ... g_{\\mu_{n-p} \\rho_{n-p}}.\n\\end{equation}\n\nAs we discussed, one can hope that this theory is exactly quantizable (or at least in some special cases like $m = 0$). It is however rather difficult because of a few road-blocks:\n\\begin{itemize}\n\t\\item The gauge group is non-abelian. This leads to various difficulties when constructing well-defined version of operators.\n\t\\item The classical theory is not always solvable. For instance, a simple homogeneous scalar field coupled to 3d quantum gravity does not have an exact solution linking the volume of the universe to the value of the field. Though this is not an argument against the existence of a quantum version of the model exists, it is a noteworthy difficulty.\n\t\\item Even in the classical case of point particles coupled to 3d gravity, the exact solution is rather difficult to implement and involves a lot of book-keeping. \\cite{tHooft:1992izc}\n\\end{itemize}\nThe main idea of this paper is then to study a simpler model. We will study a scalar field coupled to \\textit{linear} gravity. This model is taken from Lee Smolin work \\cite{Smolin:1992wj}. It can be understood as a limit $G \\rightarrow 0$ (that is $\\alpha \\rightarrow \\infty$) of usual gravity with the additional constraint that $\\frac{A}{G}$ (or $\\alpha A$) is constant. This leads to the following (detailed) action:\n\\begin{eqnarray}\nS[e,A,\\phi] &=& \\int_{\\mathcal{S}} \\Big[ \\frac{\\alpha}{2} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I (\\partial_\\nu A_\\rho^{JK} - \\partial_\\rho A_\\nu^{JK}) + \\frac{\\Lambda}{6} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\nonumber \\\\\n&-& \\frac{1}{12} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\left( e^\\sigma_M e^\\tau_N \\eta^{MN} \\right) \\partial_\\sigma \\phi \\partial_\\tau \\phi - \\frac{m^2}{12} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\phi^2 \\Big] \\mathrm{d}^3 x .\n\\end{eqnarray}\nIn this writing, $\\epsilon_{IJK}$ is the standard Levi-Civita symbol. $\\epsilon^{\\mu\\nu\\rho}$ is not a tensor though, and follows the same convention as the one we used for defining the Hodge star. Also, we have used the standard notation of $e^\\mu_I$ to write the inverse of the triad.\n\nIn practice, we see that this amounts to removing the non-abelian term from the curvature of $A$. Everything else is left untouched. This theory is particularly interesting because, while still diffeomorphism invariant, with some natural constraints, it is equivalent to the free scalar field. Indeed, assuming that $\\mathcal{S} \\simeq \\mathbb{R}^3$, that the various fields behave properly at infinity (vanish quickly at infinity with their derivatives or converge at infinity for the triad), and that the triad is invertible everywhere (which we have more or less assumed when writing its inverse), then we can solve the equations of motion. They are:\n\\begin{itemize}\n\t\\item $\\mathrm{d} e^I = 0$ for all $I$. This means that, since $\\mathcal{S}$ is simply connected, there is a collection of fields $\\Psi^I$ such that $e^I = \\mathrm{d} \\Psi^I$.\n\t\\item The usual equation of motion for the scalar field on a curved background: $\\star \\mathrm{d} (\\star \\mathrm{d} \\phi) - m^2 \\phi = 0$.\n\t\\item For $A$, we get:\n\t\\begin{equation}\n\t\\frac{\\alpha}{2} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} F_{\\nu\\rho}^{JK}[A] + (\\det e) \\Lambda e^\\mu_I = (\\det e)\\left[ \\frac{1}{2} e^\\mu_I \\left( g^{\\sigma\\tau} \\partial_\\sigma \\phi \\partial_\\tau \\phi + m^2 \\phi^2 \\right) - e^\\sigma_I \\partial_\\sigma \\phi \\partial^\\mu \\phi \\right].\n\t\\end{equation}\n\tThis equation always has a solution as long as the right term has a vanishing divergence, which is just the conservation of energy.\n\\end{itemize}\nWe see then, that $A$ is completely fixed by the rest of the fields, that the equation on $\\phi$ are correct as soon as we can show that the space is flat. This is actually not always true. Indeed, all we have is: $e^I = \\mathrm{d} \\Psi^I$ and $e$ is invertible. This translates to $\\epsilon_{IJK} \\mathrm{d}\\Psi^I \\wedge \\mathrm{d}\\Psi^J \\wedge \\mathrm{d}\\Psi^K \\neq 0$ which means that the transformation from $\\mathcal{S}$ to $\\mathbb{R}^3$ encoded by $\\Psi$ is \\textit{locally} invertible. This sadly does not imply global invertibility. It should be noted however that this is part of the space of solutions. And when it is globally invertible, then is true that space is flat and we get the standard free field theory.\n\nSo we still get something interesting: the free scalar field is an entire sector of our theory. At this stage, it is quite unclear if this sector can be quantized independently from the others, but it is surely a fair assumption. We have a theory, therefore, that is diffeomorphism invariant and still contains the free scalar field. We should notice here similarities with parametrized field theory (PFT) \\cite{Kuchar:1989bk,Kuchar:1989wz,Varadarajan:2006am}. And indeed, working with PFT really corresponds to directly working with $\\Psi^I$. Compared to PFT, in addition to using directly the triad, we will also develop new directions for quantizing such a theory.\n\nAs the goal at this point is to write the corresponding quantum theory, we should be able to find quantities more or less equivalent to the creation and annihilation operators in standard quantum field theory. Indeed, if the free scalar field is an entire sector of the theory, this sector should be in correspondence with the usual solutions. We expect in particular corresponding ladder operators acting in this sector, though these quantities should probably be amended to accommodate the new symmetries.\n\nWhat do we expect? A nice way to look at this is to consider an even simpler theory. Let's study a simple harmonic oscillator, that we can describe by the following action:\n\\begin{equation}\nS = \\int \\left(\\frac{1}{2}m\\dot{x}^2 - \\frac{1}{2}kx^2\\right) \\mathrm{d}t .\n\\end{equation}\nLet's write this in a Hamiltonian manner. The momentum is:\n\\begin{equation}\np = m\\dot{x} .\n\\end{equation}\nThis leads to the following Hamiltonian:\n\\begin{equation}\nH = \\frac{p^2}{2m} + \\frac{kx^2}{2}.\n\\end{equation}\nIf we define $\\omega = \\sqrt{\\frac{k}{m}}$, we can now write:\n\\begin{equation}\nH = \\frac{p^2}{2m} + m \\frac{\\omega^2 x^2}{2}.\n\\end{equation}\nNow let's define the complex quantity:\n\\begin{equation}\na = \\sqrt{\\frac{m\\omega}{2}} x  + \\mathrm{i} \\frac{p}{\\sqrt{2m\\omega}}\n\\end{equation}\nAnd we finally have:\n\\begin{equation}\nH = \\omega a \\overline{a} .\n\\end{equation}\nIt is now well-known that $a$ and $\\overline{a}$ becomes creation and annihilation operators in the quantum theory.\n\nLet's now turn to a diffeomorphism invariant version of this problem, starting with:\n\\begin{equation}\nS = \\int \\left(\\frac{1}{2}m\\frac{\\dot{x}^2}{\\dot{t}} - \\frac{1}{2}kx^2 \\dot{t}\\right) \\mathrm{d}s ,\n\\end{equation}\nwhere now $t$ is a variable depending on the parameter $s$ and all derivatives are taken with respect to $s$. A reparametrization will leave the action invariant which is therefore promoted to a diffeomorphism invariant one. We now have two momenta $p_x$ and $p_t$. And a complete Hamiltonian analysis will reveal that they must now satisfy a (first class) constraint which is:\n\\begin{equation}\np_t + \\frac{p_x^2}{2m} + \\frac{kx^2}{2} = 0 ,\n\\end{equation}\nwhich is quite unsurprisingly the Shcr\u00f6dinger equation (in its classical form). The interesting question though is can we adapt the $a$ quantity so that it commutes with this constraint?\n\nYes we can. The commutator of the current $a$ and our constraint is nearly zero already. In fact, the commutator with $p_t$ is zero but there is a constant (which is just the quanta of energy) for the second part. We must therefore add a term that does not commute with $p_t$. There are various ways to do that. The most interesting to us, is to just consider the time dependent expression for $a$. Indeed, $a$ follows the following equation of motion:\n\\begin{equation}\n\\frac{\\mathrm{d}a}{\\mathrm{d}t} = - \\mathrm{i}\\omega a .\n\\end{equation}\nAs a consequence:\n\\begin{equation}\na(t) = \\left( \\sqrt{\\frac{m\\omega}{2}} x  + \\mathrm{i} \\frac{p}{\\sqrt{2m\\omega}} \\right) \\mathrm{e}^{-\\mathrm{i}\\omega t} .\n\\end{equation}\nTaken without modification, and by interpreting the $t$ as the conjugate to $p_t$, this quantity directly commutes with the constraint. This observation is what motivates our construction for the full system.\n\nOur goal will be to reexpress the usual creation and annihilation operators in standard quantum field theory, so that the quantities linked to position and time can be reinterpreted in function of our new variables (the triad and the connection). If such a quantity can be constructed, it is by definition equal to the creation and annihilation operators when the gauge is fixed. But if it also commutes with the constraints, as our small study suggests, then it is a gauge-unfixed version of these operators and are really the natural operators in the diffeomorphism invariant world.\n\nWhat we need to do then, is to get the Hamiltonian version of our problem. Then we will need to extract all the interesting operators as we just illustrated. This is what we do in the next section.\n\n\\section{Classical model}\n\n\\subsection{Hamiltonian analysis}\n\nOk, we now have the action we want to study. Let's start the Hamiltonian analysis proper. There are various mathematical difficulties we will just ignore for now. Namely, there are questions surrounding the behaviour of the fields at infinity or the various possible topologies for $\\mathcal{S}$ the spacetime manifold. We will concentrate on the simplest possibility. All the other possibilities will just create a richer theory for which we will have neglected various sectors.\n\nWe will assume that $\\mathcal{S}$ is homeomorphic to $\\mathbb{R}^3$. We will also assume that all the matter fields vanish at infinity. Granted all this, we choose some decomposition of $\\mathcal{S}$ as $\\mathbb{R}\\times\\Sigma$ with corresponding coordinates $(t,\\sigma)$. $t$ will be our time variable and $\\sigma$ will be the coordinates on the spatial slice $\\Sigma$. We do assume that $\\Sigma$ is homeomorphic (and even diffeomorphic) to $\\mathbb{R}^2$ but not necessarily a flat slice though. We also make the strong assumption that $\\Sigma$ is spacelike with respect to the metric and nowhere degenerate. This last assumption is reasonable though as, in a hamiltonian analysis, we are interested in parametrizing the space of solutions which should correspond to the variables on a Cauchy slice of spacetime.\n\nThis allows the following writing:\n\\begin{equation}\nS[e,A,\\phi] = \\int_\\mathbb{R} L \\mathrm{d}t,\n\\end{equation}\nwith:\n\\begin{eqnarray}\nL &=& \\int_{\\Sigma} \\Big[ \\frac{\\alpha}{2} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I (\\partial_\\nu A_\\rho^{JK} - \\partial_\\rho A_\\nu^{JK})+ \\frac{\\Lambda}{6} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\nonumber \\\\\n&-& \\frac{1}{12} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\left( e^\\sigma_M e^\\tau_N \\eta^{MN} \\right) \\partial_\\sigma \\phi \\partial_\\tau \\phi - \\frac{m^2}{12} \\epsilon_{IJK} \\epsilon^{\\mu\\nu\\rho} e_\\mu^I e_\\nu^J e_\\rho^K \\phi^2 \\Big] \\mathrm{d}^2 \\sigma .\n\\end{eqnarray}\nFrom there, we proceed as usual: define the momenta, reverse the expressions that can be, keep the rest as primary constraints. The details of the computation can be found in appendix \\ref{app:hamil}. Once all this is done, we can write the Legendre transform of the Lagrangian which is the Hamiltonian.\n\nAfter some computations (detailed in the appendix), we finally get:\n\\begin{eqnarray}\nH &=& \\int_{\\Sigma} \\Big[ \\frac{1}{2} \\partial_0 A_0^{IJ} B^0_{IJ} + \\frac{1}{2} \\partial_0 A_a^{IJ} \\left( B^a_{IJ}  - 2 \\alpha \\epsilon_{IJK} \\epsilon^{ab} e_b^K\\right) + X^\\mu_I \\partial_0 e_\\mu^I - \\frac{1}{2} A_0^{JK} \\left(- 2 \\alpha \\epsilon_{IJK} \\epsilon^{ab} \\partial_b e_a ^I \\right)  \\nonumber \\\\\n&-& e_0^I \\Big(\\alpha \\epsilon_{IJK} \\epsilon^{ab} F_{ab}^{JK}[A] + \\Lambda n_I - \\frac{1}{2} n_I h^{cd} \\partial_c \\phi \\partial_d \\phi - \\frac{m^2}{2} n_I \\phi^2 - \\frac{n_I}{2 \\det h} \\Pi^2 \\nonumber \\\\\n&-& \\frac{n_J \\eta^{JK} \\epsilon^{cd} \\epsilon_{IKL} e_d^L}{\\det h} \\Pi \\partial_c \\phi \\Big) \\Big] \\mathrm{d}^2 \\sigma ,\n\\end{eqnarray}\nwith the following primary constraints:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\nX^0_I &=& 0, \\\\\nB^0_{IJ} &=& 0, \\\\\nX^a_I &=& 0, \\\\\nB^a_{IJ} &=& 2\\alpha \\epsilon_{IJK} \\epsilon^{ab} e_b^K.\n\\end{array}\\right.\n\\end{equation}\nHere, summations on small latin indices cover only spatial coordinates. Capital latin indices do cover the $3$ dimensions. $X$ is the natural conjugate with respect to $e$, $B$ the conjugate with respect to $A$ and $\\Pi$ the conjugate of $\\phi$. We have also used the following notations in the Hamiltonian:\n\\begin{itemize}\n\t\\item $h_{ab}$ is the induced metric on $\\Sigma$ and can be written as $h_{ab} = e_a^I e_b^J \\eta^{IJ}$. Due to our assumptions, it is spacelike. $h^{ab}$ is the corresponding inverse metric.\n\t\\item $n_I$ is the natural normal to $\\Sigma$. It is a vector valued density and reads: $n_I = \\frac{1}{2} \\epsilon_{IJK} \\epsilon^{ab} e_a^J e_b^K$.\n\\end{itemize}\n\nFrom there, we can pursue the constraint analysis. After some lengthy, but straightforward, computations (see appendix \\ref{app:hamil}), we get the following system of constraints:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n0 &=& X^0_I, \\\\\n0 &=& B^0_{IJ}, \\\\\n0 &=& X^a_I, \\\\\n0 &=& B^a_{IJ} - 2\\alpha \\epsilon_{IJK} \\epsilon^{ab} e_b^K, \\\\\n0 &=& -\\alpha \\epsilon_{IJK} \\epsilon^{ab} F_{ab}^{JK}[A] - \\Lambda n_I + \\frac{1}{2} n_I h^{cd} \\partial_c \\phi \\partial_d \\phi + \\frac{m^2}{2} n_I \\phi^2 + \\frac{n_I}{2 \\det h} \\Pi^2 + \\frac{n_J \\eta^{JK} \\epsilon^{cd} \\epsilon_{IKL} e_d^L}{\\det h} \\Pi \\partial_c \\phi, \\\\\n0 &=& 2 \\alpha \\epsilon_{IJK} \\epsilon^{ab} \\partial_b e_a^I.\n\\end{array}\\right.\n\\end{equation}\nIt can then be separated into first and second class constraints. We get two sets of second class constraints which are the equivalent of the simplicity constraints in 3d \\cite{Charles:2017srg}:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n0 &=& X^a_I, \\\\\n0 &=& B^a_{IJ} - 2\\alpha \\epsilon_{IJK} \\epsilon^{ab} e_b^K.\n\\end{array}\\right.\n\\end{equation}\nAnd we get a system of first class constraints:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n0 &=& X^0_I, \\\\\n0 &=& B^0_{IJ}, \\\\\n0 &=& \\partial_b B^b_{IJ}, \\\\\n0 &=& \\alpha \\epsilon_{IJK} \\epsilon^{ab} F_{ab}^{JK}[A] + \\Lambda \\tilde{n}_I - \\frac{1}{2} \\tilde{n}_I \\tilde{h}^{cd} \\partial_c \\phi \\partial_d \\phi - \\frac{m^2}{2} \\tilde{n}_I \\phi^2 - \\frac{\\tilde{n}_I}{2 \\det \\tilde{h}} \\Pi^2 - \\frac{\\tilde{n}_J \\eta^{JK} \\epsilon^{cd} \\epsilon_{IKL} \\tilde{e}_d^L}{\\det \\tilde{h}} \\Pi \\partial_c \\phi. \n\\end{array}\\right.\n\\end{equation}\nwhere the tilded quantitites are constructed out of $B$ rather than $e$.\n\nThis allows the computation of the Dirac brackets:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n\\{e^I_0(x), X_J^0(y)\\}_D &=& -\\delta^I_J \\delta(x-y),\\\\\n\\{A^{IJ}_0(x), B_{KL}^0(y)\\}_D &=& -(\\delta^I_K \\delta^J_L - \\delta^I_L \\delta^J_K) \\delta(x-y),\\\\\n\\{A^{IJ}_a(x), e^{K}_b(y)\\}_D &=& \\frac{1}{2\\alpha \\det h} \\epsilon_{ab} \\epsilon^{IJK} \\delta(x-y),\\\\\n\\{A^{IJ}_a(x), B_{KL}^b(y)\\}_D &=& -\\delta_a^b (\\delta^I_K \\delta^J_L - \\delta^I_L \\delta^J_K) \\delta(x-y),\\\\\n\\{\\phi(x), \\Pi(y)\\}_D &=& -\\delta(x-y),\n\\end{array}\\right.\n\\end{equation}\nall other (non-fundamental) brackets being zero (including brackets dealing with $X_I^a$). With these brackets, it is rather obvious that the second class constraints commute with all the other constraints. Interestingly, they can be solved, and the system can finally be rewritten as:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n0 &=& \\alpha \\epsilon_{IJK} \\epsilon^{ab} F_{ab}^{JK}[A] + \\Lambda n_I - \\frac{1}{2} n_I h^{cd} \\partial_c \\phi \\partial_d \\phi - \\frac{m^2}{2} n_I \\phi^2 - \\frac{n_I}{2 \\det h} \\Pi^2 - \\frac{n_J \\eta^{JK} \\epsilon^{cd} \\epsilon_{IKL} e_d^L}{\\det h} \\Pi \\partial_c \\phi, \\\\\n0 &=& \\epsilon^{ab} \\partial_b e_a^I,\n\\end{array}\n\\right.\n\\end{equation}\nwith the following brackets:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n\\{A^{IJ}_a(x), e^{K}_b(y)\\} &=& \\frac{1}{2\\alpha \\det h} \\epsilon_{ab} \\epsilon^{IJK} \\delta(x-y),\\\\\n\\{\\phi(x), \\Pi(y)\\} &=& -\\delta(x-y).\n\\end{array}\\right.\n\\end{equation}\nThe $B$ variables have been removed thanks to the second class constraints and the time component variables have been removed as they decouple from the rest and can be trivially solved. We now have the Hamiltonian formulation of our problem.\n\nHow is this theory supposed to be linked to the free field theory? It is quite obvious that the constraint on the triad really carries the information that space is flat. There are a few subtleties linked to the problem of global invertibility we mentionned earlier but appart from this, it should be interpreted as the fact that the integral of $e$ is a vector that embed of surface $\\Sigma$ into $\\mathbb{R}^3$. The second constraint is familiar in its form (it is really the Einstein equation) but only set the value of the spin connection $A$. Apart from topological obstructions (which we avoided by choosing the simplest case), this equation always has a solution. So, where is the dynamics of the field encoded?\n\nThe point we have to remember is that the dynamics do not impose anything on a given Cauchy surface. As a consequence, $\\phi$ and $\\Pi$ are completely free. The only constraint will come from the evolution in time which should be encoded here as an action of the diffeomorphism constraints (they can be constructed out of the Einstein equation by projecting using $e$ and $n$). Therefore, the dynamics is not encoded in a constraint \\textit{per se} but rather in their action. The constraint must be contained in the brackets with the curvature constraints. Because the equivalence has been established using the equations of motion earlier, we won't dwell into the equivalence here, which would require a careful analysis of possible gauge fixation. Rather, we will admit that this Hamiltonian theory should at least contain the free field theory and try from there to construct interesting quantities. In particular, we will study in the next section if it is possible to construct the equivalent of the creation and annihilation operators.\n\n\\subsection{Creation and annihilation operators}\n\\label{sec:basic_ops}\n\nSo we are looking for operators that should reduce in the correct gauge fixing to the standard creation and annihilation operator for the scalar field. In the diffeomorphism invariant context though, we expect them to commute with the constraints but still preserve a nice algebra among them, as was suggested on our simple harmonic oscillator study.\n\nThe difficulty resides in that the space manifold $\\Sigma$ is not necessarily flat. The expression must therefore be adapted. We can go about two methods of construction. A first method would be to take advantage of the fact that $\\Sigma$, though not flat, is supposed to be a Cauchy surface. This means that the field in the entire spacetime can be reconstructed from $\\Pi$ and $\\phi$ on the surface. The creation and annihilation operators could then be deduced as coefficient of the Fourier transform. This method would actually work (and it will be explored in section \\ref{subsec:Fourier} to prove a couple of interesting properties) but is more complicated than necessary for now. A second idea is just to make a simple ansatz and check that the resulting operators have the correct algebra, among themselves but also with the constraints.\n\nLet's go back to the standard free field theory for a moment. We have the following action:\n\\begin{equation}\nS = -\\int \\frac{1}{2} \\left(\\eta^{\\mu \\nu} \\partial_\\mu \\phi \\partial_\\nu \\phi + m^2 \\phi^2\\right) \\mathrm{d}^2 x \\mathrm{d} t.\n\\end{equation}\nThis action leads to the following Hamiltonian:\n\\begin{equation}\nH = \\frac{1}{2} \\int \\left( \\Pi^2 + (\\vec{\\nabla} \\phi)^2 + m^2\\phi^2 \\right) \\mathrm{d}^2 x ,\n\\end{equation}\nwhere, once again $\\Pi$ is conjugate to $\\phi$. Normally, we define:\n\\begin{equation}\na_{\\vec{k}} = \\frac{1}{\\sqrt{4\\pi\\omega_{\\vec{k}}}}\\int \\left(\\omega_{\\vec{k}} \\phi  + \\mathrm{i} \\Pi \\right) \\exp\\left( -\\mathrm{i} \\vec{k}\\cdot \\vec{x} \\right) \\mathrm{d}^2 x ,\n\\end{equation}\nwhere $\\omega_{\\vec{k}} = \\sqrt{\\vec{k}^2 + m^2}$. This allows the simple expression:\n\\begin{equation}\nH = \\int \\omega_{\\vec{k}} \\overline{a_{\\vec{k}}} a_{\\vec{k}} \\mathrm{d}^2 k .\n\\end{equation}\nAnd of course, we have the well-known algebra:\n\\begin{equation}\n\\left\\{\\begin{array}{rcl}\n\n\\{a_k, \\overline{a_{k'}}\\} &=& \\mathrm{i} \\delta(k-k') , \\\\\n\\{H, a_k\\} &=& -\\mathrm{i} \\omega_k a_k , \\\\\n\\{H, \\overline{a_k}\\} &=& \\mathrm{i} \\omega_k \\overline{a_k} .\n\n\\end{array}\\right.\n\\end{equation}\n\nCan we have a similar algebra with the coupling to linear gravity? The problem comes from the Hamiltonian which no longer exists but is replaced by a collection of constraints. The curvature constraints (which contain the Einstein equation projected on $\\Sigma$) are however local. We can show the problem with this in the non-gravitational case, by looking at the commutator not with the Hamiltonian $H$ but rather with $H(x) = \\frac{1}{2}\\left(\\Pi^2 + (\\vec{\\nabla} \\phi)^2 + m^2\\phi^2\\right)$ which is the integrand. We get:\n\\begin{equation}\n\\{H(x), a_k\\} = \\frac{1}{\\sqrt{4\\pi\\omega_k}} \\left(- \\vec{\\nabla}\\phi \\cdot \\vec{k} - \\mathrm{i} m^2 \\phi + \\omega_k \\Pi\\right) \\exp\\left( -\\mathrm{i} \\vec{k}\\cdot \\vec{x} \\right) .\n\\end{equation}\nThe resulting expression is not integrated over space, depends on the derivatives of $\\phi$ and cannot simply be expressed in terms of the creation and annihilation operators. How can we solve these problems?\n\nWhat must happen is similar to what we have seen in the case of the harmonic oscillator: the curvature of  $A$ in the curvature constraint will not commute with the operators and will exactly compensate. This is possible if some part of the creation-annihilation operators uses the triad. The natural way to do this, is to use the integral of the triad as a position operator.\n\nSo, let's start from this kind of expressions:\n\\begin{equation}\na_k = \\int \\left(f(k,\\sigma,e,A) \\phi + g(k,\\sigma,e,A) \\Pi\\right)\\mathrm{d}^2\\sigma .\n\\end{equation}\nThis is just the most generic linear expression. Can we go further? Well somewhat yes. We want two additionnal properties:\n\\begin{enumerate}\n\t\\item The expression should be covariant with respect to local gauge transforms.\n\t\\item The expression should be covariant (or even invariant) with respect to diffeomorphism transforms.\n\\end{enumerate}\nConcerning the first point, we do expect some covariance. Basically, $k$ should be expressed in some local reference frame and when it is changed, $k$ should change meaning some covariance for $a_k$. In the linear gravity scenario though, the reference frames cannot change by gauge transform (an interpretation of this is that only infinitesimal changes have been kept). We therefore expect full invariance. This leads to the simple condition that $a_k$ should commute with the Gau\u00df constraint ($\\mathrm{d}e = 0$). As $e$ is invariant under Gau\u00df transforms, then this means that $a_k$ can depend on $A$ only through its curvature.\n\nSomething similar can be said for diffeomorphism invariance. In principle, in the full theory, we only expect some kind of covariance. One problem for instance is that the integral of (parallel transported) $e$ depends on the path and so the annihilation operator could be linked to some integration path choice. In that case, diffeomorphism transform might lead to some transformation of the operators. We are in the linear gravity case though. And in that case, it is way easier to solve. The integral of $e$ does not depend on the choice of path (thanks to the Gau\u00df constraint). So we can make similarly the reasonnable assumption that $a_k$ should be invariant under diffeomorphism transforms.\n\nThis leads to the following expression:\n\\begin{equation}\na_k = \\int \\left(\\tilde{f}(k,\\sigma,e,F[A]) \\phi + \\tilde{g}(k,\\sigma,e,F[A])\\Pi\\right)\\mathrm{d}^2\\sigma .\n\\end{equation}\nwith the additional constraint that $a_k$ commutes with the curvature constraints. We can make one additional assumption: that $a_k$ does not depend on $A$ at all. This seems reasonable enough since we don't really see how this would enter the equation anyway and the standard creation operator doesn't have any dependence on curvature (at least for scalars).\n\nSo, we have the following working hypothesis. The annihilation operator has the following form:\n\\begin{equation}\na_k = \\int \\left(h_1(k,\\sigma,e) \\phi + h_2(k,\\sigma,e)\\Pi\\right)\\mathrm{d}^2\\sigma .\n\\end{equation}\nAnd:\n\\begin{equation}\n\\{D_I, a_k\\}_D = 0.\n\\end{equation}\nA nice addition is to use our guess about the depency in the triad for the position operators.. We offer the following ansatz:\n\\begin{equation}\na_k = \\frac{1}{\\sqrt{2}\\pi}\\int \\left(A(k,e,\\sigma) k^I n_I \\phi + \\mathrm{i} B(k,e,\\sigma) \\Pi\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma} \\vec{e}} \\mathrm{d}^2\\sigma .\n\\end{equation}\nThis expression is directly inspired from the standard expression for the annihilation operator. Let's explain a few bits:\n\\begin{itemize}\n\t\\item The factor $k^I n_I$ is a density. This way $A$ is a scalar. It might not be the right density to put (for instance $\\sqrt{n^I n_I}$ would work too) but this doesn't matter since it can be corrected with the right expression for $A$ (which would then be the ratio between two densities). It is a natural\\footnote{There are other possibilities that reflect this though: for instance $k^I n_I(Q) \\sqrt{n^I n_I}$ where $Q$ is some fixed reference point on the manifold. But once more, this can be done by adjusting $A$, thought this might be taken as some explicit dependancy on $\\sigma$. So let's not forget this possibility later on.} density to consider though since it very much looks like the energy component of $k$.\n\t\\item The integral term $\\int^{\\sigma} \\vec{e}$ is a bit weird to say the least. First, $\\vec{e}$ is simply the triad taken to be a vector-valued one-form. Now the integral only has an end point of coordinates $\\sigma$. But the fact that there is no start point is actually important: we \\textit{cannot} take a specific point as reference. Indeed, the exponential of the triad creates curvature at one point and destroys it at the other. Here, we need an operator that only create curvatures at a specific point.\n\t\n\tThis operator really corresponds to the $\\Psi$ we encountered earlier such that $\\mathrm{d}\\Psi^I = e^I$. Because of this relation ship with the triad, there is still a sense in which the difference of $2$ $\\Psi$ is an integral of the triad. By extension, we use this notation with only one end-point to the integral.\n\t\n\tThere is a way to make this more rigorous for a non-compact spatial slice. Because, all the information is contained in a Dirac bracket, we can consider the action of the integral as the start points goes to infinity. Though the integral is not well-defined, its Dirac bracket still exists and correspond exactly to what we need.\n\\end{itemize}\nIt turns out that the correct values are:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\nA(k,e,\\sigma) &=& 1, \\\\\nB(k,e,\\sigma) &=& 1.\n\\end{array}\n\\right.\n\\end{equation}\nThis leads to the following, and in fact quite familiar, expression:\n\\begin{equation}\na_k = \\frac{1}{\\sqrt{2}\\pi}\\int \\left(k^I n_I \\phi + \\mathrm{i}\\Pi\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma} \\vec{e}} \\mathrm{d}^2\\sigma .\n\\end{equation}\nA lengthy - but not difficult - computation shows that indeed (see appendix \\ref{app:operators}):\n\\begin{equation}\n\\{D_I, a_k\\}_D = 0.\n\\end{equation}\nMore interestingly, the algebra of these operators can be computed explicitly. It requires some technology we will develop in the next section.\n\n\n\\subsection{Fourier transform and full algebra}\n\n\\label{subsec:Fourier}\n\nA point must be underlined here: in usual free field theory, the creation and annihilation operators have a nice interpretation as Fourier coefficients of the 3d field solution of the equation of motion. A similar property holds true here, granted a few assumptions.\n\nOur spacetime is $\\mathbb{R}^3$ (this was one of our simplifying assumptions). We also assumed that $\\Sigma$ (the space manifold) is homeomorphic to $\\mathbb{R}^2$. We will go a bit further here and assume that the embedding of $\\Sigma$ into $\\mathbb{R}^3$ given by the integrals of the triads $\\int \\vec{e}$ is a Cauchy surface for the free field theory. This assumption is reasonable: when we choose a slice $\\Sigma$ of spacetime, our goal is not to break diffeomorphism invariance but to parameterize the space of solutions for the problem. It is natural therefore to choose a Cauchy surface to do so. It is even natural to think that if we don't choose a Cauchy surface, the Hamiltonian analysis will not be well-defined. We will leave this question open however and just assume a correct choice of $\\Sigma$.\n\nWhat we mean by this assumption is the following. Let $\\phi : \\mathbb{R}^3 \\mapsto \\mathbb{R}$ be a field that satisfies the standard free scalar field equation:\n\\begin{equation}\n-\\partial_t^2 \\phi + \\Delta \\phi - m^2 \\phi = 0.\n\\end{equation}\nLet's now interpret $\\Sigma$ as a submanifold of $\\mathbb{R}^3$ with embedding given by $\\vec{\\Psi} = \\int \\vec{e}$. We assume that knowing $\\phi$ and its derivative along the normal on this embedding is sufficient (and also necessary) to know $\\phi$ on the whole $\\mathbb{R}^3$. This means that we can now extend naturally some fields on $\\Sigma$ to the whole $\\mathbb{R}^3$ spacetime.\n\nOn the $\\Sigma$ slice, we have two fields we are interested in $\\phi$ and $\\Pi$. $\\Pi$ can naturally be connected to a derivative of $\\phi$ in the time-direction (see appendix \\ref{app:hamil}):\n\\begin{equation}\n\\Pi = -(\\det e)g^{0\\tau} \\partial_\\tau \\phi = -\\vec{n} \\cdot \\vec{\\nabla} \\phi.\n\\end{equation}\nHere, $\\vec{n}$ is the normal density on $\\Sigma$ induced by the triad and $\\vec{\\nabla} \\phi$ is the gradient of $\\phi$ (as a spacetime field) expressed in the coordinates we used for the embedding. This means that $\\phi$ and $\\Pi$ on $\\Sigma$ can naturally be extended to a field on the whole spacetime $\\mathbb{R}^3$. Now, we can use the Fourier transform as usual on $\\mathbb{R}^3$ and get coefficients that will turn out to be the $a_k$ we defined earlier (up to some Dirac deltas factor). But of course, the formula will be more general and apply to any couple of fields we might define on $\\Sigma$.\n\nNow, let's turn back to our expression for $a_k$:\n\\begin{equation}\na_k = \\frac{1}{\\sqrt{2}\\pi}\\int \\left(k^I n_I \\phi + \\mathrm{i}\\Pi\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma} \\vec{e}} \\mathrm{d}^2\\sigma .\n\\end{equation}\nOur claim is that, this is (up to a factor we will make explicit shortly) the Fourier coefficients for the extension of $\\phi$ in $\\mathbb{R}^3$ according to the previous rules. There is a rather simple way to check this thanks to linearity. We just have to consider the case of:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n\\phi(\\sigma) &=& A\\frac{\\delta(\\sigma-\\sigma_0)}{\\sqrt{\\det h}}, \\\\\n\\Pi(\\sigma) &=& B\\delta(\\sigma - \\sigma_0).\n\\end{array}\n\\right.\n\\label{eq:ini}\n\\end{equation}\nWe have put the determinant for $\\phi$, because $\\phi$ is a scalar and we want $A$ not to depend on the choice of coordinates. $\\Pi$ however is a density, and so to have $B$ coordinate independent, the determinant factor should be avoided. In that case:\n\\begin{equation}\na_k = \\frac{1}{\\sqrt{2}\\pi} \\left(\\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}} A + \\mathrm{i}B\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma_0} \\vec{e}} .\n\\end{equation}\nLet's now consider a field $\\Phi(x,t)$ solution of the equation of motion in $\\mathbb{R}^3$. We can write it in a general form as follows:\n\\begin{equation}\n\\Phi(\\vec{x}) = \\int \\delta(k^2 + m^2)b_k \\mathrm{e}^{\\mathrm{i}\\vec{k}\\cdot \\vec{x}} \\mathrm{d}^3 k.\n\\end{equation}\nThe $b_k$ are therefore the Fourier coefficients (up to a Dirac delta factor) of $\\Phi$. Let's now consider the plane $\\mathcal{P}$ going through $\\int^\\sigma_0 \\vec{e}$ and tangent to $\\Sigma$ (or more precisely tangent to its embedding) at this point. This plane is spacelike and as such can be used as a Cauchy surface for the field $\\Phi$.\n\nThere is always a Lorentz transformation sending $(1,0,0)$ to the normalized normal of the plane $\\mathcal{P}$, granted the chosen orientation is the same (there is an infinite amount of such transformation but anyone will do, we can for instance take a boost). Let's note such a Lorentz transformation $L$. We can now write a parametrisation of the points of $\\mathcal{P}$ as follows:\n\\begin{equation}\n\\vec{x}_\\mathcal{P}(\\tilde{X}) = \\overrightarrow{L\\triangleright(0,\\tilde{X})}+\\int^{\\sigma_0} \\vec{e}.\n\\end{equation}\nHere we chose the following notation: to a vector $\\vec{z}$ can be associated a 2d spatial vector $\\tilde{z}$ and a time component $z_t$. By extension, any 2d vector will be written $\\tilde{w}$ as we used for the coordinates on the plane denoted $\\tilde{X}$. Also, $\\triangleright$ is used to indicate the action of the Lorentz group onto 3d vectors. We can now write initial conditions on the plane $\\mathcal{P}$ for $\\Phi$:\n\\begin{equation}\n\\forall \\tilde{X}\\in\\mathbb{R}^2,\\ \\left\\{\\begin{array}{rcl}\n\\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) &=& A\\delta(\\tilde{X}), \\\\\n-\\overrightarrow{L\\triangleright(1,0,0)}\\cdot\\vec{\\nabla}\\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) &=& B\\delta(\\tilde{X}).\n\\end{array}\n\\right.\n\\end{equation}\nThese initial conditions correspond to the values of equation \\ref{eq:ini}. Indeed, thanks to the Minkowski structure of spacetime, nothing can propagate faster than light. With the conditions of equation \\ref{eq:ini}, this translates to $\\Phi(x) = 0$ for any point outside of the lightcone of the point at $\\sigma_0$. Now, the transformations laws under diffeomorphism are completely local which guarantees that $\\Phi$ is a Dirac delta on any Cauchy surface passing through $\\sigma_0$. The fact that $\\Phi$ is a scalar even gives the coefficient of transformation which is $1$. We must however be careful, as the Dirac delta is a density, which is why the determinant is eaten up. A similar result holds for the derivative: it is zero nearly everywhere and locally can be expressed with respect to the gradient on $\\Sigma$ and $\\Pi$. Because, we chose a surface tangent to $\\Sigma$, the gradient does not appear and we can conclude.\n\nWe can now use the standard derivation of $b_k$ in terms of $A$ and $B$. Let $\\vec{k}$ be a 3d vector with $k^2 + m^2 = 0$ and $k_t > 0$. Then, we get:\n\\begin{equation}\n\\int \\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2 \\tilde{X} = A\\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)}.\n\\end{equation}\nWe can also compute:\n\\begin{eqnarray}\n& & \\int \\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2 \\tilde{X} \\nonumber \\\\\n&=& \\int \\int \\delta((k')^2 + m^2)b_{k'} \\mathrm{e}^{\\mathrm{i}\\vec{k'}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^3 k' \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2  \\tilde{X} \\nonumber \\\\\n&=& \\int \\int \\delta((k')^2 + m^2)b_{k'} \\mathrm{e}^{\\mathrm{i}\\left(L^{-1} \\triangleright (\\vec{k'} - \\vec{k})\\right)\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{X})\\right)} \\mathrm{d}^3 k' \\mathrm{d}^2  \\tilde{X} \\nonumber \\\\\n&=& \\int \\int \\delta((L\\triangleright k')^2 + m^2)b_{L\\triangleright k'} \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{X})\\right)} \\mathrm{d}^3 k' \\mathrm{d}^2  \\tilde{X} \\nonumber \\\\\n&=& \\int \\int \\delta((k')^2 + m^2)b_{L\\triangleright k'} \\mathrm{e}^{\\mathrm{i}(\\tilde{k'} - (\\tilde{L^{-1} \\triangleright \\vec{k}}))\\cdot \\tilde{X}} \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)} \\mathrm{d}^3 k' \\mathrm{d}^2  \\tilde{X} \\nonumber \\\\\n&=& (2\\pi)^2 \\int \\delta((k')^2 + m^2)b_{L\\triangleright k'}\\delta(\\tilde{k'} - (\\tilde{L^{-1} \\triangleright \\vec{k}})) \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)} \\mathrm{d}^3 k' \\nonumber \\\\\n&=& (2\\pi)^2 \\int \\frac{\\delta\\left(k'_t - \\sqrt{\\vec{k'}^2 + m^2}\\right) + \\delta\\left(k'_t + \\sqrt{\\vec{k'}^2 + m^2}\\right)}{2|k'_t|}b_{L\\triangleright k'}\\delta(\\tilde{k'} - (\\tilde{L^{-1} \\triangleright \\vec{k}})) \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)} \\mathrm{d}^3 k'.\n\\end{eqnarray}\nThis last line splits into two terms.\nFor the first line, the main observation is that:\n\\begin{equation}\n\\delta\\left(k'_t - \\sqrt{\\vec{k'}^2 + m^2}\\right)\\delta(\\tilde{k'} - (\\tilde{L^{-1} \\triangleright \\vec{k}})) = \\delta(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\n\\end{equation}\nas there is a unique vector of square norm $-m^2$ with given spatial support and with positive time component. The second term is more involved. We get:\n\\begin{equation}\n\\delta\\left(k'_t + \\sqrt{(-\\vec{k'})^2 + m^2}\\right)\\delta(\\tilde{k'} - (\\tilde{L^{-1} \\triangleright \\vec{k}})) = \\delta(\\vec{k'} - \\overline{L^{-1} \\triangleright \\vec{k}}) ,\n\\end{equation}\nwhere $\\overline{\\vec{x}}$ is the vector deduced from $\\vec{x}$ by inverting its time component, namely $(-x_t, \\tilde{x})$. This leads to:\n\\begin{eqnarray}\n& & \\int \\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2 \\tilde{X} \\nonumber \\\\\n&=& (2\\pi)^2 \\int \\frac{1}{2|k'_t|}\\delta(\\vec{k'} - L^{-1} \\triangleright \\vec{k})b_{L\\triangleright k'} \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)} \\mathrm{d}^3 k' \\nonumber \\\\\n&+& (2\\pi)^2 \\int \\frac{1}{2|k'_t|}\\delta(\\vec{k'} - \\overline{L^{-1} \\triangleright \\vec{k}})b_{L\\triangleright k'} \\mathrm{e}^{\\mathrm{i}(\\vec{k'} - L^{-1} \\triangleright \\vec{k})\\cdot \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)} \\mathrm{d}^3 k' \\nonumber \\\\\n&=& \\frac{2\\pi^2}{2(L\\triangleright k)_t}\\left( b_k + b_{\\overline{k}}\\mathrm{e}^{-2\\mathrm{i} \\left(L^{-1}\\triangleright k\\right)_t \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)_t} \\right)\n\\end{eqnarray}\nSimilarly, we can compute:\n\\begin{equation}\n\\int -\\overrightarrow{L\\triangleright(1,0,0)}\\cdot\\vec{\\nabla}\\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2 \\tilde{X} = B\\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)},\n\\end{equation}\nand also:\n\\begin{equation}\n-\\int \\overrightarrow{L\\triangleright(1,0,0)}\\cdot\\vec{\\nabla}\\Phi(\\vec{x}_\\mathcal{P}(\\tilde{X})) \\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(\\tilde{X})} \\mathrm{d}^2 \\tilde{X} = -2\\mathrm{i}\\pi^2 (b_k - b_{\\overline{k}}\\mathrm{e}^{-2\\mathrm{i} \\left(L^{-1}\\triangleright k\\right)_t \\left(L^{-1} \\triangleright\\vec{x}_\\mathcal{P}(\\tilde{0})\\right)_t}).\n\\end{equation}\nWe can conclude:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\nb_k &=& \\frac{1}{2\\pi^2}\\left( (L^{-1}\\triangleright k)_t A + iB \\right)\\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)}, \\\\\nb_{\\overline{k}} &=& \\frac{1}{2\\pi^2}\\left( (L^{-1}\\triangleright k)_t A - iB \\right)\\mathrm{e}^{-\\mathrm{i}\\overline{\\vec{k}}\\cdot \\vec{x}_\\mathcal{P}(0)}.\n\\end{array}\n\\right.\n\\end{equation}\nNow:\n\\begin{eqnarray}\n(L^{-1}\\triangleright k)_t &=& (L^{-1}\\triangleright \\vec{k})\\cdot\\overrightarrow{(1,0,0,)} \\nonumber \\\\\n&=& \\vec{k}\\cdot(L^{-1}\\triangleright \\overrightarrow{(1,0,0,)}) \\nonumber \\\\\n&=& \\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}},\n\\end{eqnarray}\nwhere we used $n$ divided by its norm as an expression for the normal to $\\mathcal{P}$. Thus:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\nb_k &=& \\frac{1}{2\\pi^2}\\left( \\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}} A + iB \\right)\\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)}, \\\\\nb_{\\overline{k}} &=& \\frac{1}{2\\pi^2}\\left( \\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}} A - iB \\right)\\mathrm{e}^{-\\mathrm{i}\\overline{\\vec{k}}\\cdot \\vec{x}_\\mathcal{P}(0)}.\n\\end{array}\n\\right.\n\\end{equation}\nWe can finally rewrite this in the more traditional manner:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\nb_k &=& \\frac{1}{2\\pi^2}\\left( \\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}} A + iB \\right)\\mathrm{e}^{-\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)}, \\\\\nb_{-k} &=& \\frac{1}{2\\pi^2}\\left( -\\frac{k^I n_I(\\sigma_0)}{\\sqrt{\\det h(\\sigma_0)}} A - iB \\right)\\mathrm{e}^{\\mathrm{i}\\vec{k}\\cdot \\vec{x}_\\mathcal{P}(0)}.\n\\end{array}\n\\right.\n\\end{equation}\nAnd then:\n\\begin{equation}\nb_k = \\frac{\\mathrm{sgn}(k_t)}{\\sqrt{2}\\pi}a_k,\n\\end{equation}\nand this is true for any $k$ such that $k^2 + m^2 = 0$.\n\nAll this means that, up to a numerical factor, the sign of $k_t$ and a Dirac delta, the $a_k$ coefficients really are the Fourier coefficients of the field we get by specifying the initial conditions of $\\Phi$ and $\\Pi$ on $\\Sigma$ embedded into $\\mathrm{R}^3$. This is especially useful to compute the brackets between the $a_k$ coefficients. Let's compute the following bracket:\n\\begin{eqnarray}\n& & \\{\\delta(k^2 + m^2)a_k, \\delta(k'^2 + m^2)a_{k'}\\} \\nonumber \\\\\n&=& \\delta(k^2 + m^2) \\delta(k'^2 + m^2) \\{a_k, a_{k'}\\} \\nonumber \\\\\n&=& \\delta(k^2 + m^2) \\delta(k'^2 + m^2) \\frac{1}{2\\pi^2} \\int \\int \\{k^I n_I(x) \\phi(x) + \\mathrm{i}\\Pi(x), k'^J n_J(y) \\phi(y) + \\mathrm{i}\\Pi(y)\\} \\mathrm{e}^{- \\mathrm{i} \\vec{k}\\cdot \\int^{x} \\vec{e} - \\mathrm{i}\\vec{k'}\\cdot \\int^{y} \\vec{e} } \\mathrm{d}^2 x \\mathrm{d}^2 y\\nonumber \\\\\n&=& \\delta(k^2 + m^2) \\delta(k'^2 + m^2) \\frac{\\mathrm{i}}{2\\pi^2} \\int \\int \\left( - k^I n_I(x) \\delta(x-y) + k'^J n_J(y) \\delta(x-y) \\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k}\\cdot \\int^{x} \\vec{e} - \\mathrm{i}\\vec{k'}\\cdot \\int^{y} \\vec{e} } \\mathrm{d}^2 x \\mathrm{d}^2 y\\nonumber \\\\\n&=& \\delta(k^2 + m^2) \\delta(k'^2 + m^2) \\frac{\\mathrm{i}}{2\\pi^2} \\int (k' - k)^I n_I \\mathrm{e}^{- \\mathrm{i} (\\vec{k} + \\vec{k'})\\cdot \\int^{x} \\vec{e}} \\mathrm{d}^2 x.\n\\end{eqnarray}\nThough this last form is pretty compact, it is better to expend it back a bit as follows:\n\\begin{eqnarray}\n & \\{\\delta(k^2 + m^2)a_k, \\delta(k'^2 + m^2)a_{k'}\\} = \\nonumber \\\\\n & \\delta(k'^2 + m^2) \\left[ \\delta(k^2 + m^2) \\frac{1}{\\sqrt{2}\\pi} \\int \\left((-\\frac{\\mathrm{i}}{\\sqrt{2}\\pi} \\mathrm{e}^{- \\mathrm{i} \\vec{k'}\\cdot \\int^{x} \\vec{e}})k^I n_I + \\mathrm{i} (\\frac{1}{\\sqrt{2}\\pi}k'^I n_I \\mathrm{e}^{- \\mathrm{i} \\vec{k'}\\cdot \\int^{x} \\vec{e}})\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k}\\cdot \\int^{x} \\vec{e}} \\mathrm{d}^2 x \\right]\n\\end{eqnarray}\nFrom what we just saw, the term in large square brackets is (up to a numerical factor and a sign) the Fourier coefficient of a field with initial values on $\\Sigma$ given by:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n\\phi &=& -\\frac{\\mathrm{i}}{\\sqrt{2}\\pi} \\mathrm{e}^{- \\mathrm{i} \\vec{k'}\\cdot \\int^{x} \\vec{e}}, \\\\\n\\Pi &=& \\frac{1}{\\sqrt{2}\\pi}k'^I n_I \\mathrm{e}^{- \\mathrm{i} \\vec{k'}\\cdot \\int^{x} \\vec{e}}. \n\\end{array}\n\\right.\n\\end{equation}\nBut we know such a field: it is simply the field $\\Phi(x) = -\\frac{\\mathrm{i}}{\\sqrt{2}\\pi} \\mathrm{e}^{- \\mathrm{i} k'\\cdot x}$ on the whole $\\mathbb{R}^3$ spacetime. And its Fourier transform is proportional to a Dirac delta $\\delta(k+k')$. From that, we conclude (with the factors correctly computed):\n\\begin{equation}\n\\{\\delta(k^2 + m^2)a_k, \\delta(k'^2 + m^2)a_{k'}\\} = -\\mathrm{i}\\mathrm{sgn}(k_t)\\delta(k'^2 + m^2)\\delta(k+k').\n\\end{equation}\nThis is exactly the kind of algebra we wanted for creation-annihilation operators. It is correctly adapted to the diffeomorphism invariant case as no frame of reference can be preferred. Let's note here that the sign is the reverse from the usual since we have:\n\\begin{equation}\n\\overline{a_k} = -a_{-k}\n\\end{equation}\nwith the extra sign coming from the fact that we put the $\\mathrm{sgn}(k_t)$ factor out of $a_k$.\n\n\\section{Quantization}\n\n\\subsection{First approach}\n\n\\label{sec:firstapproach}\n\nWe can now turn to the quantization of the system. In principle, we should start with some natural construction of the algebra of observables, starting with canonical variables. This is however notoriously difficult for matter coupled to gravity \\cite{Ashtekar:2002vh,Kaminski:2005nc,Kaminski:2006ta}. As a first approach, let's avoid the usual difficulties by choosing another set of fundamental variables.\n\nThe first point to note is that we have the creation and annihilation operators which are quite natural. They are for instance used in the construction of the Fock space and it does make sense to keep them as fundamental. The second point to note is that the creation and annihiliation operators, by construction, commute with the triad operators and with the curvature constraints. They commute with the triad because they do not depend on the connection, and we devoted a large part of this paper (see appendix \\ref{app:operators}) to prove it commutes with the curvature constraints. Conversely, the triad operators and the curvature constraints are particularly interesting as fundamental variables since they are conjugate to each other. Finally, we have proven previously that the $a_k$ can be interpreted as Fourier coefficients (section \\ref{subsec:Fourier}), which means we can reconstruct (at least classically) the field $phi$ and its momentum $\\Pi$. This also means that, classically, if we now the triad and the curvature constraints, we can reconstruct the curvature of the connection everywhere. This is enough to reconstruct the spin connection up to a gauge. Therefore, the following collection:\n\\begin{itemize}\n\t\\item $a_{k}$ for all $k \\in \\mathbb{R}^3$ such that $k^2 + m^2 = 0$ (which contains both creation and annihilation operators based on the sign of $k^0$),\n\t\\item $D_I(x)$ for all $I$ and $x$,\n\t\\item and $e_a^I(x)$ for all $I$, $a$ and $x$\n\\end{itemize}\ngives a complete description of the gauge invariant phase-space. This collection divides into two sectors that commute with each other and that, remarkably, we know how to quantize separately. The creation-annihilation algebra leads to the well-known Fock quantization (with a few caveats). And the algebra of the curvature and triad operators can lead to a quantization around a state similar to the BF vacuum \\cite{Dittrich:2014wpa,Bahr:2015bra} as we will shortly show.\n\nThere is one important point to underline here: all this works only when restricting to the gauge-invariant subspace of the phase space. It is not always possible to solve for this subspace explicitly, and it is not possible for the non-abelian case. In the abelian case however, not only is it possible, it greatly simplifies a number of expressions. Indeed, the algebra between the $D_I$ is only simple if the Gau\u00df constraints is checked. The same thing holds for the brackets between $D_I$ and $a_k$ which in all generality is linear in the Gau\u00df constraints. In general then, we would have to deal with partial gauge-fixing, the choice of path and other niceties. And such a treatment will be \\textit{necessary} for the non-abelian case. However, as a first approach, and when considering our simple linear theory, it is possible to avoid such consideration. And this is what will do in all the constructions from now on.\n\n\\medskip\n\nLet's start with the Fock quantization. We have shown that the creation-annihilation operators respect an algebra similar to the standard one. There is a caveat though, as this algebra is labeled by vectors in $\\mathbb{R}^3$ (rather than $\\mathbb{R}^2$) but with the additional constraint of being on the mass shell. This corresponds to functions living on the two-sheet hyperboloid, with the condition that reflection with respect to the origin gives rise to a complex conjugation.\n\nIf we want to map this algebra onto the usual one, we have to project these functions over the hyperboloid onto the plane $\\mathbb{R}^2$. This can be done quite easily (though not in a covariant way) by considering only one sheet of the hyperboloid (the other one can be recovered by conjugation) and forgetting about the time component of the momentum $k$. For instance, let's restrict to the $k_t > 0$ sheet. We can define:\n\\begin{equation}\nc_{\\tilde{k}} = a_{(\\sqrt{\\tilde{k}^2 + m^2},\\tilde{k})}.\n\\end{equation}\nThe $c$ operators now check an algebra that is even more familiar:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n\\{c_{\\tilde{k}}, c_{\\tilde{k}'}\\} &=& 0, \\\\\n\\{\\overline{c_{\\tilde{k}}}, \\overline{c_{\\tilde{k}'}}\\} &=& 0, \\\\\n\\{c_{\\tilde{k}}, \\overline{c_{\\tilde{k}'}}\\} &=& 2\\mathrm{i}\\sqrt{\\tilde{k}^2 + m^2} \\delta(\\tilde{k}-\\tilde{k}').\n\\end{array}\n\\right.\n\\end{equation}\nWe notice here an energy factor. This is due to the unusual convention used for the $a$ as we did not divide by the square root of the energy. Though this was natural to preserve a covariant expression, this means that the square of $a$ operators (that is $N_k = a_k^\\dagger a_k$) does not count particles but rather directly counts energy quantas. From there, the usual Fock quantization is known. It is useful however, for the sake of completeness, to develop it in a language closer to our originally found algebra, that is with:\n\\begin{equation}\n\\{\\delta(k^2 + m^2)a_k, \\delta(k'^2 + m^2)a_{k'}\\} = -\\mathrm{i}\\mathrm{sgn}(k_t)\\delta(k'^2 + m^2)\\delta(k+k').\n\\end{equation}\nThis will lead to a more covariant expression more suited to the quantum gravity problem.\n\nWe must start with the one particle Hilbert space $\\mathcal{H}$. First let $\\mathbb{H}$ be the two-sheet hyperboloid embedded in $\\mathbb{R}^3$ defined by:\n\\begin{equation}\nt^2 - x^2 - y^2 = m^2\n\\end{equation}\nwhere $(t,x,y)$ are the coordinates in $\\mathbb{R}^3$. Now, $\\mathcal{H}$ will be the space of functions from $\\mathbb{H}$ into $\\mathbb{C}$ equipped with the following scalar product:\n\\begin{equation}\n\\langle \\psi | \\phi \\rangle = \\int \\delta(k^2 + m^2)\\overline{\\psi}(k)\\phi(k) \\mathrm{d}^3 k.\n\\end{equation}\nThis is the momentum representation for our one-particle. Because, we are interested in real valued fields, we will add the following constraint:\n\\begin{equation}\n\\forall k \\in \\mathbb{R}^3,\\ \\forall \\phi \\in \\mathcal{H},\\ \\overline{\\phi(k)} = -\\phi(-k).\n\\end{equation}\nNote the minus sign corresponding to the fact that $\\overline{a_k} = -a_{-k}$. With this definition $\\mathcal{H}$ is trivially a pre-Hilbertian space. By choosing a plane in $\\mathbb{R}^3$ to parametrize $\\mathbb{H}$, we get however that:\n\\begin{equation}\n\\langle \\psi | \\phi \\rangle = \\int \\frac{1}{2\\sqrt{\\vec{k}^2 + m^2}}\\overline{\\psi}(k)\\phi(k) \\mathrm{d}^2 k.\n\\end{equation}\nThis shows that $\\mathcal{H}$ is isomorphic to $\\mathrm{L}^2(\\mathbb{R}^2)$ with the caveat that the wave-functions must be divided $\\sqrt{2E}$ in the mapping. This factor is actually quite important as it appeared in our algebra for the $a_k$ and this will allow a simpler representation of the creation-annihilation operators.\n\nNow, we define the following sequence of Hilbert spaces:\n\\begin{enumerate}\n\t\\item $\\mathcal{H}_0 = \\mathbb{C}$, the $0$-particle Hilbert space, also called the vacuum Hilbert space,\n\t\\item $\\mathcal{H}_1 = \\mathcal{H}$, the $1$-particle Hilbert space as previously explained.\n\t\\item $\\mathcal{H}_n = \\mathrm{Sym}(\\mathcal{H}^{\\otimes n})$, for $n \\ge 2$, the symmetric part of the tensor product of $n$ copies of $\\mathcal{H}$ and represents the $n$-particle Hilbert space for bosonic particles..\n\\end{enumerate}\nThe Fock space $\\mathcal{H}_\\phi$ is defined by:\n\\begin{equation}\n\\mathcal{H}_\\phi = \\bigoplus_{n\\in\\mathbb{N}} \\mathcal{H}_n .\n\\end{equation}\n\nNow, we can define the creation and annihilation operators $a_k$. There are two cases. First, let's consider $k$ such that $k^2 + m^2 = 0$ and $k_t < 0$. We define $\\hat{a}_k$ by its restriction $\\hat{a}_{k,n}$ on $\\mathcal{H}_n$. For $n \\ge 1$, we define $\\hat{b}_{k,n}$:\n\\begin{equation}\n\\hat{b}_{k,n} : \\left\\{\n\\begin{array}{rcl}\n\\mathcal{H}^{\\otimes n} &\\rightarrow& \\mathcal{H}^{\\otimes (n-1)} \\\\\n| v_1 \\rangle \\otimes | v_2 \\rangle \\otimes \\cdots \\otimes | v_n \\rangle &\\mapsto& \\frac{1}{\\sqrt{n}}\\sum_{i=1}^n v_i(k) | v_1 \\rangle \\otimes | v_2 \\rangle \\otimes \\cdots \\otimes \\widehat{| v_i \\rangle} \\otimes \\cdots \\otimes | v_n \\rangle\n\\end{array}\n\\right.\n\\end{equation}\nAs standard, $\\widehat{| v_i \\rangle}$ means that $| v_i \\rangle$ is omitted from the list. $\\hat{a}_{k,n}$ is the restriction of $\\hat{b}_{k,n}$ to $\\mathcal{H}_n$. For $n=0$, we have:\n\\begin{equation}\n\\hat{a}_{k,0} : \\left\\{\n\\begin{array}{rcl}\n\\mathcal{H}_0 &\\rightarrow& \\mathcal{H}_{0} \\\\\nv &\\mapsto& 0\n\\end{array}\n\\right.\n\\end{equation}\nwhich corresponds to the fact that the vacuum is annihilated by all annihilation operators.\n\nSimilarly, we can define $a_k$ for $k$ such as $k^2 + m^2 = 0$ and $k_t > 0$. This will act in the (algebraic) dual spaces. Let's define $\\hat{b}_{k,n}$:\n\\begin{equation}\n\\hat{b}_{k,n} : \\left\\{\n\\begin{array}{rcl}\n(\\mathcal{H}^\\star)^{\\otimes n} &\\rightarrow& (\\mathcal{H}^\\star)^{\\otimes (n+1)} \\\\\n\\langle v_1 | \\otimes \\langle v_2 | \\otimes \\cdots \\otimes \\langle v_n | &\\mapsto& \\frac{1}{\\sqrt{n+1}}\\sum_{i=1}^{n+1} \\langle v_1 | \\otimes \\langle v_2 | \\otimes \\cdots \\otimes \\langle u | \\otimes \\langle v_i | \\otimes \\cdots \\otimes \\langle v_n | ,\n\\end{array}\n\\right.\n\\end{equation}\nwith:\n\\begin{equation}\n\\forall | v \\rangle \\in \\mathcal{H},\\ \\langle u | v \\rangle = v(k).\n\\end{equation}\n$\\hat{a}_{k,n}$ is the restriction of $\\hat{b}_{k,n}$ to $\\mathcal{H}_n$. This concludes the matter sector.\n\n\\medskip\n\nFor the gravity sector, we have two sets of observables. We have the curvature constraints which, as long as we don't restrict to the constraint surface, are legitimate observables. We will write $D_I(x)$ from now on and remember that they are densities. And we have the triad $e_a^I(x)$. They are not exactly conjugate. The conjugate arise when we integrate them along a line (possibily starting from infinity as mentioned in section \\ref{sec:basic_ops}). Then $\\int^{P(\\sigma)} e^I$ is conjugate to $D_I(x)$ and commutes with the $a$ operators. When we integrate, we loose some information. But it is remarkable that we don't loose gauge-invariant information: thanks to gauge-invariance, the integral of $e$ only depends on the end-point of the integral. That means we completely characterize the subspace defined by $de^I = 0$. This is this subspace that we will quantize.\n\nThe curvature constraints $D_I(x)$ are densities while, the integral of the triad acts as a scalar function. This setup is similar to Loop Quantum Gravity where conjugate quantities are carried by dual geometrical constructs. It is in fact exactly equivalent to the usual Loop Quantum Gravity setup except that here, because we have used gauge-invariant quantities, the support is on surfaces and points rather than lines. As a first approach however, we will not quantize in the standard fashion - that is using the Ashtekar-Lewandowski representation or its equivalent -  but will rather consider the equivalent of the BF representation \\cite{Dittrich:2014wpa,Bahr:2015bra}. Indeed, we have two choices: either we start from a vacuum state where $e=0$ everywhere or we start with a vacuum state that has $D_I(x) = 0$ everywhere. The second case is akin to the BF vacuum and is very relevant to our problem: this vacuum state is precisely the solution to the constraints. So let's quickly sum up the construction in the abelian case.\n\nLet's define the Hilbert space $\\mathcal{H}_G$. Let $\\mathcal{R}$ be the space of functions over $\\Sigma$ valued in $\\mathbb{R}^3$ that are zero everywhere except for a finite number of points. Now $\\mathcal{H}_G$ is the space of square integrable functions over $\\mathcal{R}$ equipped with the following scalar product:\n\\begin{equation}\n\\langle \\Psi_1 | \\Psi_2 \\rangle = \\sum_{\\vec{f} \\in \\mathcal{R}} \\overline{\\Psi_1(\\vec{f})} \\Psi_2(\\vec{f}).\n\\end{equation}\nThe sum is well-defined (though possibly infinite) thanks to the square integrable condition. Note that this space can be constructed by a projective limit (as it is standard in Loop Quantum Gravity). In that case, we would have functions depending on $\\mathbb{R}^3$ labels for a finite number of points. Two functions with support on a different set of points would be equivalent (regarding cylindrical consistency) if they do not depend on the labels of the points that are no shared and if the dependency is the same for shared points. This is however not needed here thanks to the combination of two properties. First, because we look at the gauge-invariant subspace, the support is points rather than graph, things are greatly simplified. And because the gauge group is abelian, much simpler expressions can be given still. Nonetheless, the construction is similar in spirit: we have a normalized vacuum state which is:\n\\begin{equation}\n\\Psi_0(f) = \\left\\{\n\\begin{array}{rl}\n1 &\\textrm{if }f = \\vec{0}, \\\\\n0 &\\textrm{otherwise.}\n\\end{array}\n\\right.\n\\end{equation}\nHere $\\vec{0}$ is understood to be the function that is constant over $\\Sigma$ and equal to the vector $\\vec{0}$. Then, excitations can be constructed with the action of the exponential of the integrated triad (which we will construct shortly). The Hilbert space is then the completion of the linear span of these excitations. This means that we have an Hilbertian basis given by the indicator functions once more. A member $\\Psi_f$ of the basis is given for each function $f$ of $\\mathcal{R}$ and is defined by:\n\\begin{equation}\n\\Psi_f(g) = \\left\\{\n\\begin{array}{rcl}\n1 &\\textrm{if}& g = f, \\\\\n0 &\\textrm{if}& g \\neq f.\n\\end{array}\n\\right.\n\\end{equation}\n\nThe operator corresponding to $D_I(x)$ must be regularized. As $D_I(x)$ is a density, it is natural to consider the following integrated quantities: $\\int N(x) D_I(x) \\mathrm{d}^2\\sigma$ where $N$ is some test function. We will therefore define the operator $\\hat{D}_I[N]$. It is defined by its action on the basis in the following manner:\n\\begin{equation}\n\\hat{D}_I[N]\\Psi_f = \\left(\\sum_{P \\in \\Sigma} N(P) f(P)_I\\right)\\Psi_f.\n\\end{equation}\nThis action is not always well-defined but it is on a dense subset of the space (namely the span of states $\\Psi_f$ with functions $f$ that have finitely many non-zero points). We see here that the basis we constructed diagonalizes the $\\hat{D}_I[N]$ operator. Similarly, we can defined the exponentiated operator for the triad. We do not need to regularize this time (except through the integral). Let $\\vec{k}$ be in $\\mathbb{R}^3$ and $P$ on $\\Sigma$. We define $\\hat{E}(\\vec{k}, P)$ by its action of the basis:\n\\begin{equation}\n\\hat{E}(\\vec{k}, P)\\Psi_f = \\Psi_{\\tilde{f}},\n\\end{equation}\nwhere:\n\\begin{equation}\n\\tilde{f}(Q) = \\left\\{\n\\begin{array}{rcl}\nf(Q) &\\textrm{if}& Q \\neq P, \\\\\nf(P)+\\vec{k} &\\textrm{if}& Q = P.\n\\end{array}\n\\right.\n\\end{equation}\nAs such $\\hat{E}(\\vec{k}, P)$ is the quantization of $\\exp \\left(-\\mathrm{i}\\vec{k}\\cdot \\int^P \\vec{e}\\right)$.\n\nNote that the non-exponentiated version of the operator does not exist. In practice, this means we have used the Bohr compactification of $\\mathbb{R}^3$ for the values of the integrals. This can be seen by the fact that the dual (present in eigenvalues of the curvature constraints) is $\\mathbb{R}^3$ equipped with a discrete topology. This trick is handy to circumvent the problem of using non-compact groups. Sadly, the Bohr compactification is only injective for maximally almost periodic groups which the gauge group of the non-abelian theory ($\\mathrm{SU}(1,1)$) is not. This is what prevents the standard Ashtekar-Lewandowski construction for non-compact gauge group. It should be noted however that such an obstruction is not present for the BF vacuum \\cite{Bahr:2015bra}. It might very well be then, that the current construction generalizes to the non-abelian case.\n\nFinally, the kinematical Hilbert space is simply $\\mathcal{H}_G \\otimes \\mathcal{H}_\\phi$ with the operators naturally extended. The solution to the constraints is simply: $(\\mathbb{C} \\Psi_0)\\otimes \\mathcal{H}_\\phi \\simeq \\mathcal{H}_\\phi$ where $\\Psi_0$ is the vacuum for $\\mathcal{H}_G$. It is trivial to see that this space is isomorphic to the standard Hilbert space for a free field theory. Though this construction is interesting to get a feel of how the theory works in the quantum realm, it is not satisfying on at least two accounts:\n\\begin{enumerate}\n\t\\item First, it relies too much on a change of variable. Normally, to get a direct link with the classical theory, one would start with canonical variables and represent them, and then try to express constraints and similar operators. Here, not only have we not done that, it is not even possible to express the original operators. For instance, it is incredibly difficult (if not outright impossible) to extract the curvature operator out of the constraints. Indeed, to do that, we require both the fields operators (which we don't have) and the inverse of the metric (which does not even exist as an operator). Similarly, the natural expression for the momentum operator for the field depends on the normal operator, which does not exist because of the Bohr compactification we used.\n\t\\item Second, it relies heavily on the abelian structure of the theory. All this approach was only possible because we can decouple completely two sectors that we might want to call the gravitational and the matter sector (though the curvature cosntraint has a bit of matter in it). This is not something we can hope for in a non-abelian theory. So the method is way too specific to our case.\n\\end{enumerate}\nIt does not mean it is not useful though: this acts as a guideline. We now know what the theory looks like and what to expect from different constructions.\n\nThe ideal construction however would start from the curvature operator, the triad and the field operators and then get the constraints. At least, it should be possible to reconstruct all these operators. This is however not possible in our case. Indeed, the curvature operator (or the holonomy operator) appears only in the curvature operator for now. As a consequence, we will first need the scalar field operator and the momentum operator to be able to retrieve it. However, from the work done in section \\ref{subsec:Fourier}, we can use the Fourier transform in $\\mathbb{R}^3$ to get expressions of $\\phi$ and $\\Pi$ in terms of the creation and annihilation operators. We get:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n\\phi(\\sigma) &=& \\int \\delta(k^2 + m^2) \\frac{\\mathrm{sgn}(k_t)}{\\sqrt{2}\\pi}a_k \\mathrm{e}^{\\mathrm{i} \\vec{k} \\cdot \\int^\\sigma \\vec{e}} \\mathrm{d}^3 k, \\\\\n\\Pi(\\sigma) &=& \\int \\delta(k^2 + m^2) (\\vec{k} \\cdot \\vec{n}) \\frac{\\mathrm{sgn}(k_t)}{\\sqrt{2}\\pi}a_k \\mathrm{e}^{\\mathrm{i} \\vec{k} \\cdot \\int^\\sigma \\vec{e}} \\mathrm{d}^3 k.\n\\end{array}\n\\right.\n\\end{equation}\nThe expression of $\\Pi$ is particularly problematic as it relies on the existence of an operator for the normal $n$, which does not exists in our representation.\n\nOne might want to try and use the more standard Ashtekar-Lewandowski representation $\\mathcal{H}_{AL}$. In that case, it is possible to construct a normal operator $n$ in a way similar to the area operator in LQG \\cite{Ashtekar:1996eg}. However, in that case, we face another problem: given a state of the form $|0\\rangle \\otimes |\\phi\\rangle \\in \\mathcal{H}_{AL}\\otimes\\mathcal{H}_\\phi$ where $|0\\rangle$ is the AL vacuum and $|\\phi\\rangle$ is some state in $\\mathcal{H}_\\phi$, we have $\\hat{\\Pi}|0\\rangle \\otimes |\\phi\\rangle = 0$ irrespective of the state $|\\phi\\rangle$. This might be possible to cure, by forgetting about classical expressions and rather concentrating on reproducing the algebra at the quantum level. This would be however surprising since the expression for $\\Pi$ is quite regular involving only exponentials and polynomials in the triad that commute among themselves and should not require regularization.\n\nWe want to suggest another direction in this paper, that we will start exploring in the next section. Though, we do not have a complete proof for a successful construction, the arguments we just laid out fail in this context. This solution, though it seems unnatural at first, has - in hindsight - geometrical justification. The idea is to use the work done by Koslowski and Sahlmann \\cite{Koslowski:2007kh,Sahlmann:2010hn,Koslowski:2011vn} and to develop a representation peaked on a classical non-degenerate spatial metric. Though perfect diffeomorphism invariance (for the vacuum) is lost, there is still a notion of diffeomorphism covariance available and the geometrical interpretation we will offer justifies the choice of a particular background, at least for abelian gravity. We develop this approach in the following section.\n\n\\subsection{Ashtekar-Lewandowski representation peaked on a classical vacuum}\n\n\\label{sec:newrep}\n\nThe difficulty we face is linked to the non-existence of non-exponentiated versions of the triad operators on the Hilbert space. This is quite standard in Loop Quantum Gravity: the standard constructions only allow for one operator out of a conjugated pair to be defined, the other one is only defined through its exponentials. In the usual Ashtekar-Lewandowski representation \\cite{Ashtekar:1996eg,Ashtekar:1997fb,Ashtekar:1998ak} for instance, the holonomy operators are well-defined but only the exponentiated versions are defined. In the BF representation defined by Dittrich \\textit{et al.} \\cite{Dittrich:2014wpa,Bahr:2015bra}, the triad is only defined through its exponentials, but some version of the logarithm of the holonomies are defined\\footnote{There are in fact technical difficulties in this case because of the non-abelian nature of the gauge group. However, the limit for loops going to zero is usually well-defined (though group-valued) and play the same role.}. In our case, we have developed the equivalent of the BF representation, since the conjugate to the triad is defined. Moving to the standard Ashtekar-Lewandowski representation will not help however. Indeed, our problem is not only linked with the possibility of writing a simple triad operator but also the possibility of inverting it, at least to some extent as we want to be able to write the inverse determinant of the spatial metric. And the usual Ashtekar-Lewandowski representation does not allow for that (at least not in any known ways\\footnote{Though Thiemann developed some ideas in this regard \\cite{Thiemann:1996ay}, there are severe questions on whether his approach is successful \\cite{Livine:2013wmq}.}) since the vacuum is degenerate everywhere and all the excited states are degenerate almost everywhere. If we want to write the inverse determinant, we will therefore need a new representation of the holonomy-flux algebra (or of its equivalent in our case - since we considered only the gauge-invariant sector).\n\nIt is noteworthy that some other representations have been discussed already in Loop Quantum Gravity, most notably \\cite{Koslowski:2007kh,Sahlmann:2010hn,Koslowski:2011vn}. This representation is very similar to the Ashtekar-Lewandowski representation, except the vacuum is not peaked on degenerate geometry but rather on a given classical metric. Of course, diffeomorphism invariance of the vacuum is lost, which explains how the LOST theorem \\cite{Lewandowski:2005jk} is evaded, and is replaced by a notion of diffeomorphism covariance. This representation is however very interesting to us because the metric is everywhere non-degenerate for the vacuum. Even for most of the excited states, the metric is non-degenerate and when it is not, it is only degenerate on a finite number of points. As long as we can reproduce the classical algebras correctly, this leads to very natural expressions for the inverse determinant of the metric. However, we have now traded another issue which is the choice of the background metric, which seems a bit counter-productive with regard to the standard Loop Quantum Gravity approach.\n\n\\medskip\n\nBefore tackling this problem however, let's sum up Koslowski's and Sahlmann's approach in \\cite{Koslowski:2007kh,Sahlmann:2010hn,Koslowski:2011vn} and adapt it to our case. The construction uses the dual structure to the one we have done in section \\ref{sec:firstapproach}. In the previous construction, the operators acting on surfaces (the constraints) were diagonal, and excitations were created by acting on points. Here, it is the reverse: the point operators are diagonal and the surface operators create the excitations. This means we need some projective techniques to deal with it correctly.\n\nWe can define a Hilbert space $\\mathcal{H}_\\Delta$ for a given triangulation $\\Delta$ of $\\Sigma$. This Hilbert space is the completion of the span of the basis given by $\\mathbb{R}^3$ labels of the triangles that are non-zero for a only finite number of triangles. We can make this precise in the following manner: let $\\mathcal{F}_\\Delta$ be the space of functions for the triangles of $\\Delta$ into $\\mathbb{R}^3$ such that the values are non-zero for a finite number of triangles. This is the space of labels on the triangulation. The elements of $\\mathcal{H}_\\Delta$ are functions from $\\mathcal{F}_\\Delta$ into $\\mathbb{C}$ that are square integrable for:\n\\begin{equation}\n\\langle \\psi | \\phi \\rangle = \\sum_{f \\in \\mathcal{F}_\\Delta} \\overline{\\psi(f)} \\phi(f).\n\\end{equation}\nThe full (continuous) Hilbert space is defined as:\n\\begin{equation}\n\\mathcal{H}_{KS} = \\left(\\bigcup_{\\Delta} \\mathcal{H}_\\Delta \\right)\\Big\\slash \\sim.\n\\end{equation}\nHere the union is a disjoint union over all possible triangulations of $\\Sigma$. We must now define the equivalence relation~$\\sim$.\n\nFor this, we need the notion of a refinement of a triangulation. A triangulation $\\Delta'$ is a refinement of $\\Delta$ if for any triangle in $\\Delta$ is the union of triangles in $\\Delta'$. We can then map any function of $\\mathcal{F}_\\Delta$ into $\\mathcal{F}_{\\Delta'}$. For $f \\in \\mathcal{F}_\\Delta$, we define $f' \\in \\mathcal{F}_{\\Delta'}$ as:\n\\begin{equation}\nf'(t) = f(T)\\textrm{, with }t \\subseteq T.\n\\end{equation}\nSimilarly, we can write extend a state $\\psi \\in \\mathcal{H}_\\Delta$ into $\\psi' \\in \\mathcal{H}_{\\Delta'}$ as follows:\n\\begin{equation}\n\\psi'(f) = \\left\\{\n\\begin{array}{rl}\n\\psi(g)&\\textrm{if }g'=f, \\\\\n0 &\\textrm{otherwise.}\n\\end{array}\\right.\n\\end{equation}\nWe can finally get to our equivalence relation necessary to define $\\mathcal{H}_{KS}$. Two states $\\psi \\in \\mathcal{h}_\\Delta$ and $\\psi' \\in \\mathcal{H}_{\\Delta'}$ are equivalent if and only if there exists a refinement $\\Delta''$ of both $\\Delta$ and $\\Delta'$ such that the extension of $\\psi$ and $\\psi'$ in $\\mathcal{H}_{\\Delta''}$ are identical. Note that if this is true, it is true for any refinement of both triangulations. Note also that there is always a refinement of both triangulations but there is no guarantee that the extension of $\\psi$ and $\\psi'$ will match.\n\nUp to this point, the definition actually follows the techniques of the BF vacuum in order to adapt the construction to quantities carried by surfaces and points (rather than lines). But what will distinguish $\\mathcal{H}_{KS}$ from both the BF representation and the standard AL representation is the construction of the operators.\n\nFirst, let's start with the simplest operator: the integrated curvature constraint. Let $\\Delta$ be a triangulation of $\\Sigma$ and $\\phi$ a function from the triangles into $\\mathbb{R}^3$ non-zero only a finite number of triangles. If $\\Delta'$ is a refinement of $\\Delta$, we define:\n\\begin{equation}\n\\widehat{\\mathrm{e}^{\\mathrm{i} D[\\phi]}} : \\left\\{\n\\begin{array}{rcl}\n\\mathcal{H}_{\\Delta'} &\\rightarrow& \\mathcal{H}_{\\Delta'} \\\\\n\\psi &\\mapsto& \\psi'\n\\end{array}\n\\right.\n\\end{equation}\nwith:\n\\begin{equation}\n\\psi'(f) = \\psi(f + \\phi).\n\\end{equation}\nThe final sum is done by extending $\\phi$ to $\\Delta'$. This is standard action, completely equivalent, so far, to the one in the AL-representation. This action can be extended on coarser representation. It is compatible with the quotient and therefore carries to whole space $\\mathcal{H}_{KS}$.\n\nSecond, we can consider the triad operator. This is done in two steps. As a first step, let $\\Delta$ be a triangulation. Let's denote$| \\psi_f \\rangle$ the state in $\\mathcal{H}_{\\Delta}$ defined by:\n\\begin{equation}\n\\psi_f(g) = \\left\\{\n\\begin{array}{rl}\n1 &\\textrm{if }f=g,\\\\\n0 &\\textrm{otherwise,}\n\\end{array}\n\\right.\n\\end{equation}\nwith $f \\in \\mathcal{F}_{\\Delta}$. These states form a (Hilbertian) basis of $\\mathcal{H}_{\\Delta}$. We can now define:\n\\begin{equation}\n\\widehat{\\mathcal{O}[\\phi]} | \\psi_f \\rangle = \\sum_{\\sigma \\in \\Sigma} \\phi(\\sigma) \\cdot f(\\sigma) | \\psi_f \\rangle,\n\\end{equation}\nwith $\\phi$ is a function from $\\Sigma$ into $\\mathbb{R}^3$ with finitely many non-zero values. Thus $\\sum_{\\sigma \\in \\Sigma} \\phi(\\sigma) \\cdot f(\\sigma)$ is understood as a sum over these finitely many values and $f(\\sigma)$ is the label for the triangle of $\\Delta$ that $\\sigma$ belongs to\\footnote{In practice, this means that this sums is not well-defined if the point $\\sigma$ fulls on an edge or a vertex of the triangulation. This is not important for us as we can just reduce the domain of the operator.}. We recognize here the definition of the triad operator in the standard AL-representation. But now, as a second step, let's define a background field $\\tilde{e} : \\Sigma \\rightarrow \\mathbb{R}^3$. And consider the following operator:\n\\begin{equation}\n\\widehat{e[\\phi]} = \\int \\phi\\cdot\\tilde{e} + \\widehat{\\mathcal{O}[\\phi]}.\n\\end{equation}\nThis operator trivially has the same algebra but is peaked on a classical configuration for the triad. This is the main difference of the KS representation (compared to the usual AL one).\n\n\\medskip\n\nNow, all this construction relies on a choice of background metric and even, to be more precise, a choice of background triad. This choice seems arbitrary at first, but in our case there is a very natural way to select a class of metrics. Indeed, we have to remember that we are considering the gauge-invariant subspace which translates to the condition:\n\\begin{equation}\n\\mathrm{d}\\mathrm{e}^I = 0.\n\\end{equation}\nThis condition entails that, if we restrict once more to a simply connected manifold, the triad derives from a potential $\\Psi^I$. This functions acts as an embedding of $\\Sigma$ into $\\mathbb{R}^3$ (if the metric is invertible). But it also means that the integrated triad is zero on any closed loops. And this is valid also on the vacuum state. This means that the background triad must satisfy all these conditions and in particular correspond to an embedding into $\\mathbb{R}^3$. Up to topological questions, that we have discarded as we are considering the simplest case, this means that the metric is fixed up to diffeomorphism. This entails in turn that the construction will indeed depend on the metric but once the diffeomorphism constraints will be enforced, diffeomorphism invariance will be restored in a way which is independent from the choice of the initial metric (as long as it is invertible). So, from now on, let's just choose a background embedding into $\\mathbb{R}^3$ and use the triad that derives from it.\n\nLet's turn back to the full representation, including the matter sector. Our goal was to able to write expressions like:\n\\begin{equation}\n\\left\\{\n\\begin{array}{rcl}\n\\phi(\\sigma) &=& \\int \\delta(k^2 + m^2) \\frac{\\mathrm{sgn}(k_t)}{\\sqrt{2}\\pi}a_k \\mathrm{e}^{\\mathrm{i} \\vec{k} \\cdot \\int^\\sigma \\vec{e}} \\mathrm{d}^3 k, \\\\\n\\Pi(\\sigma) &=& \\int \\delta(k^2 + m^2) (\\vec{k} \\cdot \\vec{n}) \\frac{\\mathrm{sgn}(k_t)}{\\sqrt{2}\\pi}a_k \\mathrm{e}^{\\mathrm{i} \\vec{k} \\cdot \\int^\\sigma \\vec{e}} \\mathrm{d}^3 k.\n\\end{array}\n\\right.\n\\end{equation}\nThis suggested that the gravity sector needed a new representation. The Fock space used for matter is however completely equipped for such expressions. We will therefore rather keep it. This leads to the full Hilbert space:\n\\begin{equation}\n\\mathcal{H}_{\\textrm{Full}} = \\mathcal{H}_{KS}\\otimes\\mathcal{H}_\\phi.\n\\end{equation}\nBefore moving to the next section, let's make a final remark: though this representation gives natural inverse operators, in a sense, this does not matter. What matters is the algebra of the operators. In the end, we must find two natural pairs of collections of operators, corresponding to the field and momentum operator on the one hand and to the triad and curvature operator on the other. Moreover, these operator should lead to expressions for the constraints that match the previously found algebra. If the naive inversion fails, this will mean that this technique fails. This is what in the end should guide such construction. And these tests are still to be done with the method we just suggested.\n\n\\section{Discussion \\& Future work}\n\nGranted the previous idea can be made to work, the natural question is whether this can be extended outside of the abelian theory. Indeed, the representation we chose depended on a background which, for the abelian case, can be chosen naturally. This however depended on the resolution of the Gau\u00df constraints. In the non-abelian case, such a procedure might not be that well-defined. A few points are encouraging though: this representation gives a natural understanding of how matter propagates on an (abelian) quantum spacetime. Indeed, as we mentioned early on in this paper, the theory we developed is, at least in some sector, equivalent to a free scalar field theory. With such a theory, spacetime is completely classical. Our theory however is completely quantum mechanical, including spacetime. On the constraint surface, the triad in particular is completely ill-defined (in a quantum mechanical sense) and only the curvature has a precise value. We might wonder how a field might propagate freely here. The answer, according to the construction we have just done, is simple: spacetime really is flat. The degeneracy of the triad does not come from a true quantum degeneracy but rather is caused by the superposition of all the states coming from the action of the diffeomorphism constraints. The final state therefore is a superposition of classical flat space but seen from all possible coordinate systems. This is of course possible only because there are no local degrees of freedom in 3d gravity. Though, it might be possible to extend these techniques to non-abelian 3d gravity, the implications are not quite as clear for the 4d case. An interesting idea, that has been explored almost accidentally in the context of cosmology (see for instance \\cite{mukhanov2007introduction}) as a first approach, is that only local degrees of freedom (that is gravitational waves) are quantum in that sense.\n\n\\medskip\n\nLet's get back to the 3d problem. Even in that case, once we want to get to the full non-abelian theory, a few roadblocks appear. One of the major problem is path-dependency. Indeed, we defined the following operator as a creation operator:\n\\begin{equation}\na_k = \\frac{1}{\\sqrt{2}\\pi}\\int \\left(k^I n_I \\phi + \\mathrm{i}\\Pi\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma} \\vec{e}} \\mathrm{d}^2\\sigma .\n\\end{equation}\nThere we used the integral $\\int^\\sigma \\vec{e}$ which did not depend on the path chosen as long as the Gau\u00df constraints were satisfied. A natural extension to the non-abelian case would be:\n\\begin{equation}\nb_k = \\frac{1}{\\sqrt{2}\\pi}\\int \\left(k^I n_I \\phi + \\mathrm{i}\\Pi\\right) \\mathrm{e}^{- \\mathrm{i} \\vec{k} \\cdot \\int^{\\sigma} g \\triangleright \\vec{e}} \\mathrm{d}^2\\sigma ,\n\\end{equation}\nwhere $g$ is the holonomy of the connection along the integration path and acts as parallel transport. Though this expression is gauge-invariant, it depends on the path chosen for the integration, even when the Gau\u00df constraints are checked. This makes the correct generalization quite unclear. Two points should be underlined here however. First, similar problem have been dealt with in the construction of the BF representation and have been solved by a systematic choice of paths for gauge-fixing \\cite{Dittrich:2014wda}. This is moreover close to book-keeping techniques needed for the classical solution of the problem \\cite{tHooft:1992izc} which seems to support such an approach. Second, this problem can be partially recovered in the abelian case, if one wants to define the theory more generally without imposing first the Gau\u00df constraints. This might be needed anyway to be able to check the brackets of all the quantum operators we are interested in from the end of section \\ref{sec:newrep}. This will therefore be an interesting intermediate step to consider.\n\n\\medskip\n\nThe abelian case also relied on the commutativity between the operators $a_k$ and the constraints $D_I$. It would be surprising, to say the least, that such a setup could be possible in the non-abelian case, for the operators $b_k$ and the corresponding constraints $\\tilde{D}_I$. Several scenarios can be envisioned, the most probable to our eyes though is that, though the $b_k$ will not commute with the constraints, it should still be possible to make them into the algebra of creation and annihilation operator for some non-commutative field theory. In that case, they would allow us to write a basis of states on which it is reasonable to to a perturbative study. Ideally of course, some exact cases could be found, like a $m \\rightarrow 0$ limit, one-particle states or maybe some cosmological setup. In any case, the non-commutativity is not a problem as long as we can interpret it to be almost commutative in some limit. This, however, will only be possible if we can develop the full set of operators $\\phi$, $\\Pi$, $e$ and $A$ independently from the techniques we have employed in the commutative case. This means that one of the most important point moving forward is concluding the program opened by section \\ref{sec:newrep}.\n\n\\medskip\n\nLet's mention one last point before wrapping up: the idea of studying the abelian theory as a starting point, possibly for perturbative expansion is not new and was originally introduced by Smolin \\cite{Smolin:1992wj}. In our case however, we wanted it in particular to be able to study the geometry of the quantum spacetime. According to Connes'work (for instance \\cite{Chamseddine:1996zu}), this is better encoded in the Dirac operator governing the propagation of fermions rather than just the metric. A similar approach would then start with fermions coupled to abelian gravity. This is however rather ill-defined at the moment. Indeed, the gauge group does share the same topology as $\\mathrm{SU}(1,1)$, making the distinctions between bosons and fermions less clear. Moreover, it is not completely straightforward how the abelian connection should be coupled to the fermions. This is therefore an interesting point to explore further in future work.\n\n\\section{Conclusion}\n\nIn this paper, we considered a simplified model for 3d quantum gravity coupled to a scalar field. The model was taken from Smolin work \\cite{Smolin:1992wj}, corresponds to a specific $G \\rightarrow 0$ limit of standard 3d gravity, and can be formulated as standard BF theory (coupled to a scalar field in our case) but with an abelian gauge group. In four dimensions, this corresponds to a linearization of gravity but still expressed in a diffeomorphism invariant way. In three dimensions, the theory is still topological, but the dynamics is simplified. We showed in this paper in particular that a full sector of the theory is completely equivalent to a free scalar field, the gravity field only being there to allow for a diffeomorphism covariant formulation. This sector is actually fairly similar to what was already developed with parametrized field theories \\cite{Kuchar:1989bk,Kuchar:1989wz,Varadarajan:2006am}, although in higher dimensions and with a different language.\n\n\\medskip\n\nWe showed furthermore that this equivalence with a free scalar field theory leads to the formulation of a creation-annihilation algebra of operators, even in a diffeomorphism invariant setting. This algebra can in principle be extended to other sectors of the theory as long as the metric is everywhere invertible. Though the natural formulation is a bit different due to diffeomorphism invariance, the algebra is completely equivalent to the standard one for the free scalar field. The interesting point is that all these operators commute with the constraints for the abelian theory. This means they allow the construction of a set of solutions of the constraints, and mirror the fact that the classical abelian gravity theory (coupled to a scalar field) is equivalent, at least in some sector, to the classical free scalar field theory. This also means that these expressions are a good starting point for studying the non-abelian theory, for instance to try and quantize the theory perturbatively. This also allows the construction of a full quantization of the linear theory based on these operators as new variables. The quantum theory splits into two sectors. One is the sector that encodes the various excitation of the scalar field, and can be mapped one to one to the free scalar field theory. The second can be understood as the gravity sectors that more or less decouples in this abelian theory. It can be mapped onto the BF theory and be solved exactly.\n\n\\medskip\n\nThe drawback of such an approach is that some natural operators do not exist or are extremely difficult to construct. In particular, the momentum operator for the scalar field, and the holonomy operator for the gravity field, require the definition of (non-exponentiated) triad operators and an inverse-metric operator. This implies in particular, that even the canonical variables of the theory cannot be expressed simply or may be downright impossible to write. This is not really a specific problem of our approach: we used the equivalent of the BF representation in our construction which has similar difficulties for constructing triad operators or inverse-triad operators. However, in our case, these difficulties become a problem when trying to write a correlation operator for the scalar field for instance, which is a quantity we will eventually want to be able to compute. Using the older and somewhat more standard Ashtekar-Lewandowski representation only partially solves the problem. If it is indeed possible to define a non-exponentiated triad operator, the fact that the metric is degenerate almost everywhere for almost all states create huge problems with our approach which precisely requires the opposite. Moreover, natural expressions for the momentum operator of the scalar field are pathological, even though they only require exponential and polynomial terms in the triads, which should not need any regularization for the quantum case.\n\n\\medskip\n\nWe offered a possible way out. Though the construction needs to be studied more thoroughly, the drawbacks of the previous two approaches disappear. The idea is to construct a representation peaked on a given classical state for the spatial metric. This idea was explored by Koslowski and Sahlmann \\cite{Koslowski:2007kh,Sahlmann:2010hn,Koslowski:2011vn} as an equivalent to condensed state around a classical configuration. Though strict diffeomorphism invariance of the vacuum was lost, a sens of diffeomorphism covariance can still be retained. However, if this breaking was natural in their case, it seems more dubious when studying the theory from a more fundamental standpoint. We showed however that a specific vacuum can be selected using the Gau\u00df constraints in the linear case and corresponds to a flat space. Because the vacuum is nowhere degenerate, all the problems with the previously mentioned representations are lifted. Interestingly, the construction also allows a very nice interpretation of how the spacetime on which a free scalar field propagates is recovered in a setup where the triad is supposed to be completely degenerate in a quantum sense. In fact (in the abelian case), the classical spacetime is there all along and the degeneracy only comes from the superposition of all the diffeomorphism equivalent way of describing the system.\n\n\\medskip\n\nFinally, we left several questions open for further inquiry. Most notably, as we just said, the new representation we offered should be studied further. Indeed, even though the straightforward problems have been lifted, the study of the construction of the full operator set is still to be done. We left it ou however because a full and complete study would include a more complete treatment of the Gau\u00df constraints which we just assume to be satisfied. Lifting this condition requires dealing with gauge fixing, choice of path when integrating, etc. These points must be considered at some point as they are needed for the non-abelian theory but were left out of this first investigation. Similarly, we have left out all questions regarding the various possible sectors of the theory, the role of topology, the possible restrictions when considering compact spaces, etc. Though this is certainly worth investigating on its own merit, our goal was to get a first grap on how to develop a non-abelian theory. In this regard, though all this is very important, it will most probably be quite different when changing the Lorentz gauge group.\n\n\\section*{Acknowledgements}\n\nI would like to thank Stefan Hohenegger for the numerous discussions that helped and guided this project, and without whom none of this would have been possible. I would also like to thank John Barrett for the various conversations that launched the initial idea for this paper.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nThe envelope instability as a space-charge driven collective \ninstability presents a potentially great danger in high intensity\naccelerators by causing beam size blow up\nand quality degradation.\nIt has been studied theoretically~\\cite{ingo1,jurgen,ingo3,davidson,okamoto,fedotov0,fedotov,lund} and \nexperimentally~\\cite{tiefenback,gilson,groening} since 1980s. \nIn recent years, there was growing interest in further understanding\nthis instability and other structural resonances~\\cite{jeon1,fukushima,li0,li,ingo2,jeon2,oliver,ingoprab17,ito,yuan,ingo4}.\nSome of those studies were summarized in a recently published monograph~\\cite{ingobook}.\nHowever, most of those theoretical studies were based on a two-dimensional\nmodel. Three-dimensional macroparticle simulations were carried out\nfor a bunched beam under the guidance of the two-dimensional\nenvelope instability model~\\cite{ingo2,ingoprab17}.\nIt was found in reference~\\cite{ingo2} that the instability stopband from the \n3D macroparticle simulation\nis broader than that from the 2D envelope model.\nFurthermore, the effect of the longitudinal synchrotron motion has not been systematically\nstudied in those macroparticle simulations and is missed in \nthe 2D envelope instability model. \nIn this paper, we proposed a three-dimensional\nenvelope instability model in periodic focusing channels.\nSuch a model can be used to systematically study the effect of longitudinal\nsynchrotron motion on the instability stopband for a bunched beam.\nIt can also be used to explore the stability in a fully\n3D parameter space and to provide guidance for 3D macroparticle simulations.\n\nThe organization of this paper is as follows: after the introduction, we \nreview the 2D envelope instability model in Section II; we present\nthe 3D envelope instability model in Section III; we present numerical\nstudy of the envelope instability in a periodic transverse solenoid\nand longitudinal RF focusing channel in Section IV; \nwe present numerical study of \nthe envelope instability in a periodic transverse quadrupole and longitudinal\nRF focusing channel in Section V; and draw conclusions in Section VI.\n\n\\section{Two-dimensional envelope instability model}\n\nFor a two-dimensional coasting beam subject to external periodic focusing\nforces and linear space-charge forces, the two-dimensional envelope equations \nare given as\\cite{kv,jurgen}:\n\\begin{eqnarray}\n\t\\frac{d^2 X}{d s^2} + k_x^2(s) X - \\frac{K\/2}{X+Y} - \\frac{\\epsilon_x^2}{X^3} & = & 0 \\\\\n\t\\frac{d^2 Y}{d s^2} + k_y^2(s) Y - \\frac{K\/2}{X+Y} - \\frac{\\epsilon_y^2}{Y^3} & = & 0 \n\t\\label{2denv}\n\\end{eqnarray}\nwhere $X$ and $Y$ are horizontal and vertical rms beam sizes\nrespectively, $k_x^2$ and $k_y^2$ represent the external periodic focusing forces, \n$\\epsilon_x$ and $\\epsilon_y$ denote unnormalized rms emittances, and \n$K$ is the generalized perveance associated with the space-charge strength \ngiven by:\n\\begin{eqnarray}\n\t K & = & \\frac{q I}{2 \\pi \\epsilon_0 p_0 v_0^2 \\gamma_0^2}\n\\end{eqnarray}\nwhere $I$ is the current of the beam, $q$ is the charge of the particle,\n$\\epsilon_0$ is the vacuum permittivity, $p_0$ is the momentum\nof the reference particle, $v_0$ is the speed of the reference particle,\nand $\\gamma_0$ is the relativistic factor of the reference particle.\n\nThe above equations can be linearized with respect to a periodic solution\n(i.e. matched solution) as:\n\\begin{eqnarray}\n\tX(s) & = & X_0(s) + x(s)  \\\\\n\tY(s) & = & Y_0(s) + y(s) \n\\end{eqnarray}\nwhere $X_0$ and $Y_0$ denote the periodic matched envelope solutions \nand $x$ and $y$ denote small perturbations\n\\begin{equation}\n\tx(s) \\ll X_0(s), \\ \\ \\ \\ y(s) \\ll Y_0(s)\n\\end{equation}\nThe equations of motion for the small perturbations are given by:\n\\begin{eqnarray}\n\t\\frac{d^2 x(s)}{d s^2} + a_1(s) x(s) + a_{12}(s) y(s) = 0  \\\\\n\t\\frac{d^2 y(s)}{d s^2} + a_2(s) y(s) + a_{12}(s) x(s) = 0  \n\\end{eqnarray}\nwhere\n\\begin{eqnarray}\n\ta_{12}(s) & = & 2K\/(X_0(s) + Y_0(s))^2  \\\\\n\ta_1(s) & = & k_x^2(s) + 3 \\epsilon_x^2\/X_0^4(s) + a_{12}(s)  \\\\\n\ta_2(s) & = & k_y^2(s) + 3 \\epsilon_y^2\/Y_0^4(s) + a_{12}(s)  \n\\end{eqnarray}\nWith $\\xi = (x,x',y,y')^T$, the prime denotes derivative with respect to $s$, \nand $T$ denotes the transpose of a matrix, \nthe above equations can be rewritten in matrix notation as:\n\\begin{eqnarray}\n\t\\frac{d \\xi}{d s} & = & A_4(s) \\xi(s)\n\t\\label{2deq}\n\\end{eqnarray}\nwith the periodic matrix\n\\begin{eqnarray}\n\tA_4(s) & = & \\begin{pmatrix}\n\t\t0 & 1 & 0 & 0 \\\\\n\t\t-a_1(s) & 0 & -a_{12}(s) & 0 \\\\\n\t\t0 & 0 & 0 & 1 \\\\\n\t\t-a_{12}(s) & 0 & -a_2(s) & 0 \\\\\n\t\t \\end{pmatrix}\n\\end{eqnarray}\nLet $\\xi(s) = M_4(s) \\xi(0)$ be the solution of above equation,\nsubstituting this equation into \nEq.~\\ref{2deq} results in\n\\begin{eqnarray}\n\t\\frac{d M_4(s)}{ds} & = & A_4(s) M_4(s)  \n\\end{eqnarray}\nwhere $M_4(s)$ denotes the $4 \\times 4$ transfer matrix solution of $\\xi(s)$ and\n$M_4(0)$ is a $4\\times 4$ unit matrix. The matrix $A_4(s)$ is a periodic function of $s$\nwith a length of period $L$. Following the Floquet's theorem, the\nsolution of $M_4(s)$ after $n$ lattice periods can be written as\n\\begin{eqnarray}\n\tM_4(s+nL) & = & M_4(s)M_4(L)^n \n\\end{eqnarray}\nThis matrix solution will remain finite as $n->\\infty$, only if all amplitudes \nof the eigenvalues of the matrix $M_4(L)$ be less than or equal to one.\nSince the matrix $M_4(L)$ is a real symplectic matrix, the eigenvalues\nof the matrix occur both as reciprocal and as complex-conjugate pairs.\nTherefore, for stable solutions, \nall eigenvalues of the matrix $M_4(L)$ have to lie on a\nunit circle in the complex plane. \nThe eigenvalues of the matrix $M_4(L)$ can be expressed in polar coordinates as:\n\\begin{eqnarray}\n\t\\lambda & = & |\\lambda| \\exp{(i \\phi)}\n\\end{eqnarray}\nwhere the amplitude $|\\lambda|$ of the eigenvalue gives the growth rate\n(or damping rate) of the envelope eigenmode through one lattice period and the\nphase shift $\\phi$ of the eigenvalue gives the phase of the envelope mode\noscillation through one period.\nFor an unstable envelope mode, there are two possibilities~\\cite{jurgen}:\n\\begin{enumerate}\n\t\\item one or both eigenvalue pairs lie on the real axis: $\\phi_{1,2}=180^\\circ$,\n\t\\item the phase shift angles are equal: $\\phi_1 = \\phi_2$.\n\\end{enumerate}\nThe first case can be seen as a half-integer parametric resonance between\nthe focusing lattice and the envelope oscillation mode. The second\ncase is a confluent resonance between two envelope oscillation modes since they\nhave the same oscillation frequencies. \n\n\\section{Three-dimensional envelope instability model}\nThe 3D envelope equations have been used to study the halo particle formation\nmechanism (e.g. particle-core model) for a bunched beam in high intensity \naccelerators~\\cite{bongardt,allen,qiang0,comunian}.\nThere, the mismatched envelope oscillation resonates with a test particle and\ndrives the particle into large amplitude becoming a halo particle.\nThe mismatched envelope oscillation itself is stable in that case. \nIn this paper, \nwe study the stability\/instability of the mismatched envelope \noscillation itself in periodic focusing channels.\n\nFor a 3D uniform density ellipsoidal beam inside a periodic focusing channel without acceleration, \nthe three-dimensional envelope equations are given as~\\cite{sacherer,ryne}:\n\\begin{eqnarray}\n\t\\frac{d^2 X}{d s^2} + k_x^2(s) X - I_x(X,Y,Z)X - \\frac{\\epsilon_x^2}{X^3} & = & 0 \\\\\n\t\\frac{d^2 Y}{d s^2} + k_y^2(s) Y - I_y(X,Y,Z)Y - \\frac{\\epsilon_y^2}{Y^3} & = & 0   \\\\\n\t\\frac{d^2 Z}{d s^2} + k_z^2(s) Z - I_z(X,Y,Z)Z - \\frac{(\\epsilon_z\/\\gamma^2)^2}{Z^3} & = & 0 \n\t\\label{3denv}\n\\end{eqnarray}\nwith\n\\begin{eqnarray}\n\tI_i(X,Y,Z) = C\\int_0^{\\infty} \\frac{dt}{(e_i^2+t)\\sqrt{(X^2+t)(Y^2+t)(\\gamma^2 Z^2+t)}}\n\\end{eqnarray}\nwhere $X$, $Y$, and $Z$ are horizontal, vertical, and longitudinal rms beam \nsizes respectively, $e_i = X, Y, \\gamma Z$, for $i=x,y,z$, and $C = \\frac{1}{2}\\frac{3}{4\\pi \\epsilon_0}\\frac{q}{mc^2}\\frac{I}{f_{rf} \\beta^2 \\gamma^2}\\frac{1}{5\\sqrt{5}}$. Here, $\\epsilon_0$ is the\nvacuum permittivity, $q$ the charge, $mc^2$ the rest energy of the particle, $c$ the light speed in vacuum, $I$ the average beam current, $f_{rf}$ the RF\nbunch frequency, $\\beta = v\/c$, $v$ the bunch velocity, and the relativistic\nfactor $\\gamma = 1\/\\sqrt{1-\\beta^2}$.\n\nThe above equations can be linearized with respect to periodic solutions\n(i.e. matched solutions) as:\n\\begin{eqnarray}\n\tX(s) & = & X_0(s) + x(s)  \\\\\n\tY(s) & = & Y_0(s) + y(s)  \\\\\n\tZ(s) & = & Z_0(s) + z(s)  \n\\end{eqnarray}\nwhere $X_0$, $Y_0$ and $Z_0$ denote the periodic matched envelope solutions \nand $x$, $y$ and $z$ denote small perturbations\n\\begin{equation}\n\tx(s) \\ll X_0(s), \\ \\ \\ \\ y(s) \\ll Y_0(s), \\ \\ \\ \\ z(s) \\ll Z_0(s)\n\\end{equation}\nThe equations of motion for these small perturbations are given by:\n\\begin{eqnarray}\n\t\\frac{d^2 x}{d s^2} + a_1(s) x(s) + a_{12}(s) y(s) + \\gamma^2 a_{13}(s) z(s) = 0  \\\\\n\t\\frac{d^2 y}{d s^2} + a_{12}(s) x(s) + a_2(s) y(s)  +\\gamma^2 a_{23}(s) z(s) = 0   \\\\\n\t\\frac{d^2 z}{d s^2} + a_{13}(s) x(s) + a_{23}(s) y(s)  + a_3(s) z(s) = 0  \n\\end{eqnarray}\nwhere\n\\begin{eqnarray}\n\ta_1(s) & = &  k_x^2 + 3 \\epsilon_x^2\/X_0^4 - I_{x}(X_0,Y_0,Z_0) + 3 X_0^2 F_{xx} \\\\\n\ta_{12}(s) & = & X_0 Y_0 F_{xy} \\\\\n\ta_{13}(s) & = & X_0 Z_0 F_{xz} \\\\\n\ta_2(s) & = &  k_y^2 + 3 \\epsilon_y^2\/Y_0^4 - I_{y}(X_0,Y_0,Z_0) + 3 Y_0^2 F_{yy} \\\\\n\ta_{23}(s) & = & Y_0 Z_0 F_{yz} \\\\\n\ta_3(s) & = &  k_z^2 + 3 (\\epsilon_z\/\\gamma^2)^2\/Z_0^4 - I_{z}(X_0,Y_0,Z_0) + 3 \\gamma^2 Z_0^2 F_{zz} \n\\end{eqnarray}\nwhere \n\\begin{eqnarray}\n\tF_{xx} & = & C\\int_0^{\\infty} (X_0^2+t)^{-5\/2}(Y_0^2+t)^{-1\/2}(Z_0^2 \\gamma^2+t)^{-1\/2} dt  \\\\\n\tF_{xy} & = & C\\int_0^{\\infty} (X_0^2+t)^{-3\/2}(Y_0^2+t)^{-3\/2}(Z_0^2 \\gamma^2+t)^{-1\/2} dt  \\\\\n\tF_{xz} & = & C\\int_0^{\\infty} (X_0^2+t)^{-3\/2}(Y_0^2+t)^{-1\/2}(Z_0^2 \\gamma^2+t)^{-3\/2} dt  \\\\\n\tF_{yy} & = & C\\int_0^{\\infty} (X_0^2+t)^{-1\/2}(Y_0^2+t)^{-5\/2}(Z_0^2 \\gamma^2+t)^{-1\/2} dt  \\\\\n\tF_{yz} & = & C\\int_0^{\\infty} (X_0^2+t)^{-1\/2}(Y_0^2+t)^{-3\/2}(Z_0^2 \\gamma^2+t)^{-3\/2} dt  \\\\\n\tF_{zz} & = & C\\int_0^{\\infty} (X_0^2+t)^{-1\/2}(Y_0^2+t)^{-1\/2}(Z_0^2 \\gamma^2+t)^{-5\/2} dt  \n\\end{eqnarray}\n\nWith $\\xi = (x,x',y,y',z,z')^T$, \nthe above equations can be rewritten in matrix notation as:\n\\begin{eqnarray}\n\t\\frac{d \\xi}{d s} & = & A_{6}(s) \\xi(s)\n\t\\label{3deq}\n\\end{eqnarray}\nwith the periodic matrix\n\\begin{eqnarray}\n\tA_{6}(s) & = & \\begin{pmatrix}\n\t\t0 & 1 & 0 & 0 & 0 & 0 \\\\\n\t\t-a_1(s) & 0 & -a_{12}(s) & 0 & -\\gamma^2 a_{13}(s) & 0 \\\\\n\t\t0 & 0 & 0 & 1 & 0 & 0 \\\\\n\t\t-a_{12}(s) & 0 & -a_2(s) & 0 & -\\gamma^2 a_{23}(s) & 0 \\\\\n\t\t0 & 0 & 0 & 0 & 0 & 1 \\\\\n\t\t-a_{13}(s) & 0 & -a_{23}(s) & 0 & -a_{3}(s) & 0 \\\\\n\t\t \\end{pmatrix}\n\\end{eqnarray}\nLet $\\xi(s) = M_{6}(s) \\xi(0)$, substituting this equation into Eq.~\\ref{3deq}\nresults in\n\\begin{eqnarray}\n\t\\frac{d M_6(s)}{ds} & = & A_6(s) M_6(s)  \n\\end{eqnarray}\nwhere $M_6(s)$ denotes the $6\\times 6$ transfer matrix solution of \n$\\xi(s)$ and $M_6(0)$ is a $6\\times 6$ unit matrix. \nThe above ordinary differential equation can be solved using the matched\nenvelope solutions and numerical integration.\nSimilar to the 2D envelope instability model, the stability of these envelope \nperturbations is determined by the eigenvalues of the transfer matrix $M_6(L)$\nthrough one lattice period.\nFor the envelope oscillation to be stable, \nall eigenvalues of the $M_6(L)$ have to stay on the unit circle.\nThe amplitude of the eigenvalue gives the envelope mode growth \n(or damping) rate through one lattice period, while the phase of \nthe eigenvalue yields the \nmode oscillation frequency. When the amplitude of any eigenvalue is\ngreater than one, the envelope oscillation becomes unstable.\n\n\n\\section{Envelope Instability in a periodic solenoid and RF channel}\n\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{sol3d.png}\n\t\\caption{Schematic plot of a periodic solenoid and RF channel. }\n   \\label{sol3d}\n\\end{figure}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{sol80rf3d1amp.png}  \n   \\includegraphics*[angle=0,width=210pt]{sol80rf3d2amp.png}  \n   \\includegraphics*[angle=0,width=210pt]{sol100rf3d1amp.png}\n   \\includegraphics*[angle=0,width=210pt]{sol100rf3d2amp.png}\n   \\includegraphics*[angle=0,width=210pt]{sol120rf3d1amp.png}\n   \\includegraphics*[angle=0,width=210pt]{sol120rf3d2amp.png}\n   \\includegraphics*[angle=0,width=210pt]{sol140rf3d1amp.png}\n   \\includegraphics*[angle=0,width=210pt]{sol140rf3d2amp.png}\n   \\caption{The 3D envelope mode amplitudes as a function of \n\tdepressed transverse phase advance with $20$, $40$,\n\t$60$, $80$, $100$, $120$, and $140$ degree zero current \n\tlongitudinal phase advances\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances in\n\ta periodic solenoid-RF channel.\n\t}\n   \\label{sol3damp}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{sol80rf80phs.png} \n   \\includegraphics*[angle=0,width=210pt]{sol100rf100phs.png} \n   \\includegraphics*[angle=0,width=210pt]{sol120rf120phs.png} \n   \\includegraphics*[angle=0,width=210pt]{sol140rf140phs.png} \n   \\caption{The 3D envelope mode phases as a function of \n\tdepressed transverse phase advance with (a) \n\t$80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current longitudinal\n\tand transverse phase advances in a periodic solenoid-RF channel.\n\t}\n   \\label{sol3dphase}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{cst2d80amp.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d100amp.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d120amp.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d140amp.png}\n   \\caption{The 2D envelope mode amplitudes as a function of \n\tdepressed transverse phase advance\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances \n\tin a periodic solenoid channel.  }\n   \\label{sol2damp}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{cst2d80phs.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d100phs.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d120phs.png}\n   \\includegraphics*[angle=0,width=210pt]{cst2d140phs.png}\n   \\caption{The 2D envelope mode phases as a function of \n\tdepressed transverse phase advance\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances \n\tin a periodic solenoid channel.  }\n   \\label{sol2dphase}\n\\end{figure*}\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{sol80rf120phs.png} \n   \\includegraphics*[angle=0,width=210pt]{sol120rf80phs.png} \n\t  \\caption{The 3D envelope mode phases as a function of \nthe depressed transverse phase advance for zero current (a) \n\ttransverse $80$ degree and longitudinal $120$ degree, \n\t(b) transverse $120$ degree and longitudinal $80$ degree\n\tphase advance in a periodic solenoid channel. }\n   \\label{sol80120phase}\n\\end{figure}\n\nWe first studied the envelope instability in a transverse solenoid focusing\nand longitudinal RF focusing periodic channel.\nA schematic plot of this periodic channel is shown in Fig.~\\ref{sol3d}.\nEach period of the channel consists of a $0.2$ meter solenoid and a $0.1$\nmeter RF bunching cavity.\nThe total length of the period is $0.5$ meters.\nThe proton bunch has a kinetic energy of $150$ MeV and normalized rms emittances\nof $0.2$ um, $0.2$ um, and $0.2$ um in horizontal, vertical, and longitudinal\ndirections respectively.\nFigures~\\ref{sol3damp}-\\ref{sol3dphase} show the 3D envelope mode amplitudes and phases\nas a function of transverse depressed phase advance for different\nzero current transverse and longitudinal phase advances.\nAs a comparison, we also show in Figs.~\\ref{sol2damp}-\\ref{sol2dphase}\nthe 2D envelope mode amplitudes and phases as a function of depressed \ntransverse phase advance for the same zero current transverse phase advances. \nHere, the 2D periodic solenoid channel has the same length of period \nas the 3D channel. It is seen that in the 2D periodic solenoid channel, the envelope instability \noccurs when the zero current phase advance is over $90$ degrees. In the\n3D periodic solenoid-RF channel, the envelope instability occurs even with\nthe zero current transverse phase advance $80$ degrees but longitudinal \nphase advance beyond $90$ degrees as shown in Fig.~\\ref{sol3damp} (a2). \nThere is no \ninstability if both the transverse zero current phase advance and the longitudinal\nzero current phase advance are below $90$ degrees as seen \nin Fig.~\\ref{sol3damp} (a1).\nFor the 3D envelope modes, when the longitudinal zero current\nphase advance below $90$ degrees and the transverse zero\ncurrent phase above $90$ degrees as shown in Figs~\\ref{sol3damp} (b1, c1, and d1), \nthe instability stopband\nbecomes broader as the zero current longitudinal phase advance increases.\nThis is probably because the longitudinal synchrotron motion\nhelps bring particles with different depressed transverse tunes into the resonance.\nA faster synchrotron motion might result in more particles falling \ninto the resonance \nand hence a broader instability stopband. \nFor small longitudinal zero current phase advance (e.g. $20$\ndegrees), the 3D envelope mode show the stopband\nsimilar to that of the 2D envelope mode.\nWhen the longitudinal\nzero current phase advance is above $90$ degrees, as shown in \nFig.~\\ref{sol3damp} (b2, c2, and d2), the 3D\nenvelope instability shows more complicated structure and larger instability stopband width\nthan the 2D envelope instability. \n\nIn the 2D periodic transverse solenoid focusing channel, for a coasting beam\nwith equal horizontal and vertical emittances,\nit is seen in Fig.~\\ref{sol2dphase}, the envelope instabilities are due to\nthe $180$ degree half-integer parametric resonance. \nHowever, for a bunched beam, as shown in Fig.~\\ref{sol3dphase}, \nbesides the $180$ degree half-integer\nresonance, there are also confluent resonances where two\nenvelope modes have the same frequencies and resonate with each other.\nThe existence of both instability mechanisms results in more complicated\nstructure as shown in Figs.~\\ref{sol3damp} (b2, c2, and d2).\n\nThe 3D envelope instability shows asymmetry between the\ntransverse direction and the longitudinal direction in \nthe 3D periodic solenoid\nand RF channel. Figure~\\ref{sol80120phase} shows the envelope mode phases as a \nfunction of depressed transverse phase advance for a case with zero current\n$80$ degree transverse phase advance and $120$ degree longitudinal\nphase advance, and a case with zero current $120$ degree transverse phase advance\nand $80$ degree longitudinal phase advance. The envelope mode amplitudes \nfor both cases are shown in Fig.~\\ref{sol3damp} (a2 and c1).\nFor the $80$ degree zero current transverse\nphase advance, there is\nonly one major unstable stopband below $30$ degree depressed transverse \nphase advance\ndue to half-integer parametric resonance as shown in the left plot\nof Fig.~\\ref{sol80120phase}.\nFor the $120$ degree zero current transverse phase advance, there are three \nunstable regions, two due to the half-integer parameter resonance and\none due to the confluent resonance as shown in the right plot of \nFig.~\\ref{sol80120phase}.\nThis asymmetry is probably related to the two degrees of fredom in the\ntransverse plane while only one in the longitudinal direction.\n\n\\section{Envelope Instability in a periodic quadrupole-RF channel}\n\nNext, we studied the 3D envelope instability\nin a periodic transverse quadrupole focusing and longitudinal RF focusing\nchannel for the same bunched proton beam. \n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=300pt]{fd3d.png}\n\t\\caption{Schematic plot of a periodic quadrupole and RF channel. }\n   \\label{fd3d}\n\\end{figure}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{res0adv80L3d1.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv80L3d2.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv100L3d1.png}\n   \\includegraphics*[angle=0,width=210pt]{res0adv100L3d2.png}\n   \\includegraphics*[angle=0,width=210pt]{res0adv120L3d1.png}\n   \\includegraphics*[angle=0,width=210pt]{res0adv120L3d2.png}\n   \\includegraphics*[angle=0,width=210pt]{res0adv140L3d1.png}\n   \\includegraphics*[angle=0,width=210pt]{res0adv140L3d2.png}\n\t   \\caption{The 3D envelope mode amplitudes as a function of \n\tdepressed transverse phase advance with $20$, $40$,\n\t$60$, $80$, $100$, $120$, and $140$ degree zero current \n\tlongitudinal phase advances\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances in\n\ta periodic quadrupole-RF channel.\n\t}\n   \\label{fd3damp}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{res0adv80L80phs.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv100L100phs.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv120L120phs.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv140L140phs.png} \n\t  \\caption{The 3D envelope mode phases as a function of \n\tdepressed transverse phase advance with (a) \n\t$80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current longitudinal\n\tand transverse phase advances in a periodic quadrupole-RF channel.\n\t}\n   \\label{fd3dphase}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{fd2d80amp.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d100amp.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d120amp.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d140amp.png}\n\t  \\caption{The 2D envelope mode amplitudes as a function of \n\tdepressed transverse phase advance\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances in \n\ta periodic quadrupole channel.  }\n   \\label{fd2damp}\n\\end{figure*}\n\\begin{figure*}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{fd2d80phs.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d100phs.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d120phs.png}\n   \\includegraphics*[angle=0,width=210pt]{fd2d140phs.png}\n\t  \\caption{The 2D envelope mode phases as a function of \n\tdepressed transverse phase advance\n\tfor (a) $80$ degree, (b) $100$ degree, (c) $120$ degree,\n\tand (d) $140$ degree zero current transverse phase advances in \n\ta periodic quadrupole channel.  }\n   \\label{fd2dphase}\n\\end{figure*}\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{fd3d80L120phs.png} \n   \\includegraphics*[angle=0,width=210pt]{fd3d120L80phs.png} \n\t\t  \\caption{The 3D envelope mode phases as a function of \n\tdepressed transverse phase advance for zero current (a) \n\ttransverse $80$ degree and longitudinal $120$ degree, \n\t(b) transverse $120$ degree and longitudinal $80$ degree\n\tphase advance in a periodic quadrupole channel. }\n   \\label{quad80120}\n\\end{figure}\nA schematic plot of this periodic channel is shown in Fig.~\\ref{fd3d}.\nEach peroid of the channel consists of a $0.2$ meter focusing quadrupole,\n\ta $0.1$ meter RF focusing cavity, a $0.2$ meter defocusing\n\tquadrupole and another $0.1$\nmeter RF bunching cavity.\nThe total length of the period is $1.0$ meters.\nFigures~\\ref{fd3damp}-\\ref{fd3dphase} show the 3D envelope mode amplitudes and phases\nas a function of transverse depressed phase advance for different\nzero current transverse and longitudinal phase advances.\nAs a comparison, we also show in Figs~\\ref{fd2damp}-\\ref{fd2dphase}\nthe 2D envelope mode amplitudes and phases as a function of the depressed \nphase advance for different zero current phase advances. Here, the \n2D periodic quadrupole channel has the same length of period as the 3D channel.\nIt is seen that in the 2D periodic quadrupole channel, the envelope instability \noccurs when the zero current phase advance is over $90$ degrees. \nThere is no instability when the zero current phase advance is below $90$ \ndegrees. In the\n3D periodic quadrupole-RF channel, the envelope instability occurs even with\nthe zero current transverse phase advance $80$ degrees but the longitudinal \nphase advance beyond $100$ degrees in Fig.~\\ref{fd3damp} (a2). \nThere is no \ninstability if both the transverse zero current phase advance and the longitudinal\nzero current phase advance are below $90$ degrees.\n\tFor the 3D envelope modes, when the longitudinal zero current\nphase advance is below $90$ degrees and the transverse zero\ncurrent phase above $90$ degrees as shown in Fig.~\\ref{fd3damp} (b1, c1, and d1), \n\tthe instability stopband width\nincreases with the increase of the zero current longitudinal phase advance.\nFor small longitudinal zero current phase advance (e.g. $20$\ndegrees), the 3D envelope modes instability stopband\nis similar to that of the 2D envelope modes.\nFor the $100$ degree zero current transverse phase advance case, when\nthe zero current longitudinal phase advance is beyond $90$ degrees,\nthe stopband becomes more complicated and shows multiple stopbands.\nFor the transverse zero current $120$ and $140$ degree\nphase advances, the instability stopbands do not change\nsignificantly with the increase of zero current longitudinal phase\nadvance. \nThis is probably due to the fact that when the transverse\nzero current phase advance is beyond $100$ degrees, most parameter space \n(transverse depressed tune) below $90$ degrees becomes unstable\ncaused by the confluent resonance. Further increasing the\nzero current longitudinal phase advance beyond $90$ degrees \nwill not enlarge that stopband any more.\n\n\nIn the periodic transverse quadrupole focusing channel,\nit is seen in Fig.~\\ref{fd2dphase}, the 2D envelope instabilities are mainly due to\nthe confluent resonance between the two envelope modes when their phases \nbecome equal. This appears still to be valid in the 3D periodic\nquadrupole-RF channel as shown in Fig.~\\ref{fd3dphase}.\n\nThe 3D envelope instability shows asymmetry between the\ntransverse and the longitudinal direction in the 3D periodic quadrupole\nand RF channel too. Figure~\\ref{quad80120} shows the envelope mode phases as a \nfunction of depressed transverse phase advance for a case with zero current\n$80$ degree transverse phase advance and $120$ degree longitudinal\nphase advance, and a case with zero current $120$ degree transverse phase advance\nand $80$ degree longitudinal phase advance. The envelope mode amplitudes \nare shown in Fig.~\\ref{fd3damp} (a2 and c1) for this comparison. \nFor the $80$ degree zero current transverse\nphase advance, there is\nonly one major unstable region around $60$ degree depressed transverse \nphase advance\ndue to the confluent resonance.\nFor the $120$ degree zero current phase advance, there are two \nunstable regions due to two confluent resonances.\n\nIn the above periodic quadrupole and RF channel, we assumed that \nthe two RF cavities have the same longitudinal focusing strength.\nThe longitudinal focusing period is half of the transverse\nfocusing period. This accounts for the absence of the envelope\ninstability for the zero current $80$ degree transverse phase \nadvance and $100$ degree longitudinal phase in the periodic\nquadrupole and RF channel.\nThe envelope instability stopband\nis observed in the periodic solenoid and RF channel with the \nsame zero current phase advances as shown in Fig.~\\ref{sol3damp} (a2). \nThe absence of instability for longitudinal zero current phase advance\n$100$ degrees was also observed in 3D macroparticle simulations in\nreference~\\cite{ingo4}. Now, we break the symmetry of two RF longitudinal \nfocusing cavities, the longitudinal focusing period becomes the\nsame as the transverse focusing period.\nThe envelope instability occurs for these zero\ncurrent phase advances in a periodic quadrupole and RF channel.\nFigures~\\ref{quad80100} show the envelope mode amplitudes and phases as a \nfunction of transverse depressed phase advances with about\n$10\\%$, $20\\%$, and $30\\%$ deviation from the original setting of the two\nRF cavities (one cavity plus that percentage and the other one minus \nthat percentage).\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{res0adv80L100Neqrfamp1.png} \n   \\includegraphics*[angle=0,width=210pt]{res0adv80L100Neqrfphs1.png}\n\t\\caption{The 3D envelope mode (left) amplitudes and (right) phases as a \nfunction of the transverse depressed phase advance \nwith $10\\%$, $20\\%$, and $30\\%$ deviations from the original RF cavity setting\n\tin a periodic quadrupole-RF channel.}\n   \\label{quad80100}\n\\end{figure}\nIt is seen that as the asymmetry between the two RF cavity increases,\nthe instability stopband width also increases. \nBefore breaking of the symmetry of two RF cavities, the longitudinal\nphase advance per longitudinal period is $50$ degrees. After the breaking of the symmetry,\nthe longitudinal period becomes the same as the lattice period\nand the phase advance becomes $100$ degrees. \nSuch a zero current phase advance results in half integer parametric resonance\nas shown in Fig.~\\ref{quad80100}. \n\nIn above 3D periodic solenoid\/quadrupole and RF transport channels, \nwe have assumed that in transverse plane, the zero current phase advances in\nhorizontal direction and the vertical direction are the same.\nFurthermore, the bunch has the same emittances in both horizontal and\nvertical directions. This might imply a two-dimensional \n\ttransverse and longitudinal periodic system (i.e. $r-z$).\nAs a comparison, we also calculated the\nenvelope mode amplitudes and phases for a true\ntwo-dimensional periodic quadrupole\nchannel with different zero\ncurrent phase advances in the horizontal and the vertical direction \n($120$ degrees\nin the horizontal direction and $80$ degrees in the vertical direction). \nFigure~\\ref{fd2d80120} shows the 2D envelope mode amplitudes and\nphases as a function of the depressed horizontal and vertical phase advance.\nComparing the 2D envelope mode amplitudes and phases in above plot with those \nof the 3D envelope mode with the same zero current phase\n\tadvances in Figs.~\\ref{sol3damp} (a2) and \\ref{fd3damp} (a2) \n($80$ degrees in transverse and $120$ in longitudinal)\n\tand Fig.~\\ref{sol3damp} (c1) and \\ref{fd3damp} (c1) \n($120$ degrees in transverse and $80$ in longitudinal),\nwe see that the 2D envelope instability shows somewhat similar structure to\nthe 3D envelope instability in a periodic solenoid-RF channel with\ntransverse zero current phase advance $80$ degrees and longitudinal phase advance $120$ degrees. The major instabilities in both cases are caused\nby the half-integer parametric resonance.\nThe 3D envelope modes in a periodic quadrupole-RF channel shows quite \ndifferent\ninstability stopband from the 2D envelope modes. Also the 3D\nenvelope instability in quadrupole channel is caused by the confluent\nresonance while the 2D asymmetric envelope instability in the quadrupole\nchannel is\nmainly caused by the half-integer parametric resonance.\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{fd2d120-80amp.png} \n   \\includegraphics*[angle=0,width=210pt]{fd2d120-80amp2.png} \n   \\includegraphics*[angle=0,width=210pt]{fd2d120-80phs.png} \n   \\includegraphics*[angle=0,width=210pt]{fd2d120-80phs2.png} \n\t\\caption{The 2D envelope mode (top) amplitudes and (bottom) phases as a \nfunction of depressed phase advance with asymmetric zero current \n\tphase advances ($80$ degrees in one direction and $120$ degrees\n\tin another direction) in a periodic quadrupole channel.}\n   \\label{fd2d80120}\n\\end{figure}\n\nWe also explored 3D envelope instabilities with non-equal\ntransverse zero current phase advances in the horizontal\ndirection and the vertical direction.\nFigure~\\ref{quad3d11012080} shows the 3D envelope mode amplitudes and phases as a \nfunction of the depressed horizontal tune with zero current phase advance \n$120$ degrees\nin the horizontal direction, $110$ degrees in the vertical direction,\nand $80$ degrees in the longitudinal direction in the periodic quadrupole\nand RF channel.\n\\begin{figure}[!htb]\n   \\centering\n   \\includegraphics*[angle=0,width=210pt]{fd3d120-110L80amp.png} \n   \\includegraphics*[angle=0,width=210pt]{fd3d120-110L80phs.png} \n\t\\caption{The 3D envelope mode (left) amplitudes and (right) phases as a \nfunction of the horizontal depressed phase advances \nwith zero current phase advances $120$ degrees in horizontal, $110$ in vertical,\nand $80$ in longitudinal direction\n\tin a periodic quadrupole-RF channel.}\n   \\label{quad3d11012080}\n\\end{figure}\nComparing the above figure with the zero current $120$ degree transverse phase \n\tadvance and $80$ degree longitudinal phase advance case in Fig.~\\ref{fd3damp} (c1),\nwe see that 3D instability stopband from the nonequal transverse focusing \nbecomes broader. \nInstead of one major instability stopband and a minor stopband in\nthe equal transverse phase advance case, now there are four\nstopbands (two major stopbands and two minor stopbands) for the transverse\n$120$ and $110$ degree phase advances.\nBesides the confluent resonance,\nthere also appears a half-integer parametric resonance when the transverse\nsymmetry is broken. Breaking the transverse symmetry results in\nmore resonances of these envelope modes.\n\tThis suggests that keeping the same zero\ncurrent phase advance in both the horizontal and the vertical directions\nmight help reduce the parameter region of the envelope instability.\n\n\\section{Conclusions}\nIn this paper, we proposed a three-dimensional envelope instability\nmodel to study the instability for a bunched beam\nin a periodic solenoid and RF focusing channel and a periodic quadrupole and RF focusing channel.\nThis study showed that when the transverse zero current phase advance \nis below $90$ degrees, the beam envelope can still become unstable if\nthe longitudinal zero current phase advance is beyond $90$ degrees.\nFor the transverse zero current phase advance beyond $90$ degrees, \nthe instability stopband becomes broader with the increase of \nlongitudinal focusing strength and even shows different\nstructure from the 2D case \nwhen the longitudinal zero current phase advance is\nbeyond $90$ degrees. \n\nThe 3D envelope instability shows asymmetry between the longitudinal\nfocusing and the transverse focusing.\nThe instability shows broader stopband when the transverse zero current\nphase advance is beyond $90$ degrees than that when the longitudinal\nzero current phase advance is beyond $90$ degrees.\nIn the 3D periodic quadrupole and RF channel, for the transverse \nzero current phase advance $80$ degree, the envelope modes stay stable \nfor the longitudinal $100$ degree zero current phase advance due to\nthe symmetry of two longitudinal focusing RF cavities. Breaking the symmetry\nof two cavities results in the envelope instability with a finite stopband.\nBreaking the horizontal and vertical focusing symmetry in the transverse \nplane also increases the \nenvelope instability stopband width. This suggests that a\nmore symmetric accelerator lattice design might help reduce the parameter space of the\nenvelope instability.\n\n\\section*{ACKNOWLEDGEMENTS}\nWork supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231.\nWe would like to thank Dr. R. D. Ryne for the use of his 2D and 3D envelope codes.  This research used computer resources at the National Energy Research\nScientific Computing Center.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nClassical and quantum systems show new phases with unexpected properties when driven by an external time-dependent periodic field. \nIn many cases, these phases do not have any counterpart in static systems. \nFor example, periodic driving in a one dimensional\nsystems generates chaotic motion of particles \\cite{chaos1,chaos2,chaos3,chaos4}.\nIn molecular systems, temporal changes of microscopic parameters or bias voltage\nmay lead to various exotic non-equilibrium states \\cite{Fainshtein}. The ratio between kinetic and potential energy as well as lattice spacing can be\nvaried in optical lattices to create non-trivial states \\cite{coldatom1, \ncoldatom2}. \nRecently, periodically driven systems have\ngiven rise new phases \\cite{ drive1,drive2,drive3,drive4,drive5,drive6,drive7,drive8,\ndrive9,drive10}, such\nas, Floquet block-states in topological insulator \\cite{ftimat1,ftimat2},\noptical lattices \\cite{ftiopt}, and cold-atom \\cite{fticold} systems.\nTopological insulators have metallic edge states due to the spin-orbit coupling\nand non-trivial topology of the band structure, while sustaining an insulating gap in the bulk. Material such as\nBi\\textsubscript{2}Se\\textsubscript{3} and Bi\\textsubscript{2}Si\\textsubscript{3} shows topologically protected Dirac cone, resulting from the properties of these edge states \\cite{ti1,ti2,ti3}. Moreover, due to spin-momentum locking, back-scattering off potential impurities is prevented. In other words, the definite chirality of the edge states does not allow transitions between the states $|{\\bf k}\\uparrow\\rangle$ and $|-{\\bf k}\\downarrow\\rangle$ assisted by scattering off time-reversal symmetric (non-magnetic) impurities.\n\nThe robustness of these edge mode has been proven theoretically by examining the \nbackscattering due to potential impurity in continuum and lattice model \n\\cite{edge1, edge2, edge3,edge4,edge5,edge6}. The protection of the Dirac \nsurface states against disorder is also seen in various experiments \n\\cite{edge7,edge8,edge9}. Magnetic impurities, on the other hand, do not keep \nthese edge modes intact which results in imperfect quantization of the \nconductance \\cite{mag-im1, mag-im2, mag-im3}. \n \nEven though there are many theoretical and experimental \nstudies of the effects of static  impurities on topological insulator, the effects of dynamical impurities have not been considered previously. \nDynamical local interaction can give rise to various non-linear phenomena such \nas multi-photon dissociation or excitation of\natom or molecule when exposed under strong laser field \\cite{lesser1, \nlesser2,lesser3}.\nIn this article, we consider an atomically sharp time-dependent impurity potential, simulating the conditions of a local, yet extremely focused, monochromatic laser field, affecting a single lattice site. We show the emergence of impurity resonances, in accordance with previously discussed for impurity resonances for stationary conditions \\cite{edge4,edge5,edge6,PhysRevB.94.075401}, which give rise to strong modifications of the local density of electron states near the impurity site, with an increasing number of resonance features with increasing amplitude and frequency of the driving field. While the metallic edge states tend to develop a sharp density peak around the Fermi level for impurities interacting with the edge states, the density gap of the bulk states become increasingly filled up with increasing scattering potential strength, for impurities directly perturbing the bulk sites.\n\n\n\\section{Model and Floquet-Green Function}\nIn this section, we describe the general formalism of the Floquet Green function \nmethod. The Hamiltonian of the full quantum system is a periodic function in \ntime, $H(t) = H(t+\\tau)$, where $\\tau  = 2\\pi\/\\Omega$ is the period of the \nexternal driving field. As a direct consequence of the periodicity, we can use \nthe Floquet theorem \\cite{Floquet1,Floquet2,Floquet3} which can be regarded as \na time domain equivalent to the Bloch theorem.\nDue to the explicit time-dependence of the Hamiltonian, electrons can be excited to different energy states. However, if the time-dependent potential is characterized by a single frequency ($\\Omega$), the energy difference between the final and initial state should be an integer multiple of $\\Omega$. This restriction gives rise to an energy space representation of the Hamiltonian, the corresponding Green function, as well as of operators.\n\nWe define the Floquet Hamiltonian, a Hermitian operator, for the generic time-dependent Hamiltonian\n$H(x,t)$\n\\begin{align}\n H^F(x,t) = H(x,t) - i\\hbar\\frac{\\partial}{\\partial t}\n \t,\n\\end{align}\nwhich gives the Floquet green function written as\n\\begin{align}\n\\Bigl(\n\t\\epsilon - H^F(x,t)\n\t\\Bigr)\n\tG^F(x,x';t,t')=\\delta(x-x')\\delta(t-t')\n\t.\n\\end{align}\nThe time periodicity of the Hamiltonian is inherited in the Floquet Green\nfunction, which becomes periodic in both $t$ and $t'$. Hence, we can Fourier expand both the Green function and Hamiltonian into\n\\begin{subequations}\n\\begin{align}\nH^F(x,t)=&\n\t\\sum_\\gamma\n\t\tH^F_{\\gamma}(x)e^{i\\epsilon_\\gamma t}\n\t,\n\\\\\nG^F(x,x';t,t')=&\n\t\\sum_{\\alpha,\\beta}\n\t\tG_{\\alpha\\beta}^F(x,x')e^{i\\epsilon_\\alpha t-i\\epsilon_\\beta t'}\n\t.\n\\end{align}\n\\end{subequations}\nHere, the quasi-energy $\\epsilon_\\alpha$ is a conserved quantity. In this way, a time-periodic driven system is reduced to an algebraic matrix equation. \nAlthough the Fourier expansion reduces the complexity of the problem, the dimensions of the corresponding Hilbert space is infinite. Therefore, there is no exact analytical closed form of the Green function. In fact, even the exact solution of a two-level system driven with linearly polarized light is not known \\cite{shirley}.\n\nDue to this intrinsic complexity, we approach the Floquet Green function numerically, by considering a harmonic monochromatic time-dependent driving field. The Hamiltonian, then, assumes the form\n\\begin{align}\n \\mathbf{H} = \\mathbf{H}^0 + 2\\mathbf{V}\\cos\\Omega t\n \t,\n\\end{align}\nwhere $\\mathbf{H}^0$ is the time-independent part of the Hamiltonian whereas $\\mathbf{V}$ represents the coupling to the time-dependent driving field. The corresponding Floquet Hamiltonian for the assumed driving field has block tri-diagonal structure, according to\n\\begin{align}\nH^F_{\\alpha\\beta}=\n\t(\\mathbf{H}^0 - \\alpha\\hbar\\Omega)\\delta_{\\alpha\\beta}\n\t+\n\t\\mathbf{V}(\\delta_{\\alpha+1\\beta} + \\delta_{\\alpha-1\\beta})\n\\end{align}\nThe Floquet green function becomes\n\\begin{align}\n(\\mathbf{1}E_\\alpha - \\mathbf{H}^0)G_{\\alpha\\beta}\n\t-\n\t\\mathbf{V}(G_{\\alpha+1\\beta}\n\t+\n\tG_{\\alpha-1\\beta})\n\t=\n\t\\mathbf{1}\\delta_{\\alpha\\beta}\n\t,\n\\end{align}\nwhere $E_\\alpha = \\epsilon +\\alpha\\hbar\\Omega$. This matrix equation can be \nsolved iteratively by using the \\emph{matrix continued fraction} method \n\\cite{martinez1,martinez2}. As a result, we obtain a recursive matrix equation \nfor the Green function\n\\begin{subequations}\n\\begin{align}\n\\Big[\\mathbf{1}E_\\alpha\n\t-\n\t\\mathbf{H}^0\n\t-\n\t\\mathbf{V}_\\text{eff}(E_{\\alpha})\\Big]G_{\\alpha,\\alpha}\n\t=&\n\t\\mathbf{1}\n\t,\n\\\\\n\\mathbf{V}_\\text{eff}(E_{\\alpha})=&\n\t \\mathbf{V}^+_\\text{eff}(E_{\\alpha})\n\t +\n\t \\mathbf{V}^-_\\text{eff}(E_{\\alpha})\n\t .\n\\end{align}\n\\end{subequations}\nHere, the effective potential is given by\n\\begin{align}\n\\mathbf{V}^\\pm_\\text{eff}(E_{\\alpha})=&\n\t\\mathbf{V}\\frac{1}{\\mathbf{C}_{\\alpha\\pm1}\n\t-\n\t\\mathbf{V}\\frac{1}{\\mathbf{C}_{\\alpha\\pm2}\n\t-\n\t\\mathbf{V}\\frac{1}{\\vdots}\\mathbf{V}}\\mathbf{V}}\\mathbf{V}\n\t,\n\\end{align}\nwhere $\\mathbf{C}_{\\alpha} = \\mathbf{1}E_{\\alpha} - \\mathbf{H}^0$.\nAssuming that the impurity sit at the origin $(\\mathbf{r} = 0)$, the effective potential can be written\n\\begin{align}\n\\mathbf{V}^\\pm_\\text{eff}(E_{\\alpha})=&\n\t|0\\rangle\\langle 0|\n\t\t\\frac{1}{\\mathbf{C}_{\\alpha\\pm1}-|0\\rangle\\langle 0|\\frac{1}{\\mathbf{C}_{\\alpha\\pm2}-\\frac{1}{\\vdots}}|0\\rangle\\langle 0|}\n\t|0\\rangle\\langle 0|\n\\nonumber\\\\=&\n\t|0\\rangle\\langle 0|\n\t\t\\frac{1}{\\mathbf{C}_{\\alpha\\pm1}-|0\\rangle\\langle 0|\\mathbf{V}^\\pm_\\text{eff}(E_{\\alpha\\pm1})|0\\rangle\\langle 0|}\n\t|0\\rangle\\langle 0|\n\\nonumber\\\\=&\n\tV^\\pm_\\text{eff}(E_{\\alpha})|0\\rangle\\langle 0|\n\t.\n\\end{align}\nIn general, we compute these effective potentials numerically by setting a maximum frequency $E_M$ above which the effective potentials are zero, that is, $\\mathbf{V}^\\pm_\\text{eff}(E_{m}) = 0 $, for all $E_m>E_M$. Typically we take $m$ to be on the order of 100, which normally is sufficient for convergence.\n\n \n\\section{Topological insulator surface}\nFirst, we will investigate the effect of time-dependent impurity on the edge of three-dimensional topological insulators. The low energy effective model within $k\\cdot p$ approximation  can be described  by\n \\begin{align}\n  H= v\\sum_k\n\\Psi_\\mathbf{k}^\\dag[\\mathbf{k}\\times\\vec{e}_3]\\cdot\\sigma\\Psi_\\mathbf{k}\n \\end{align}\nWe are interested in the local properties of this system such as density of states $N({\\bf r},\\omega)$, which is related to the (retarded) Green function through the identity $N({\\bf r},\\omega)=-\\tr\\im{\\bf G}^r({\\bf r},{\\bf r};\\omega)\/\\pi$. As a function of the effective potential, we write the Green function in momentum space as\n\\begin{align}\nG_{k,k'}=&\n\t\\delta_{kk'}G_{k}^0\n\t+\n\tG^0_k\n\t\\frac{V_\\text{eff} }{1-V_\\text{eff} G^0_0}\n\tG^0_{k'}\n\t,\n\\end{align}\nwhere $G$, $G^0$, and $V$ are implicit functions of the energy.\n \nWe consider the driving potential $ \\mathbf{V}=2A\\delta(\\mathbf{r}-\\mathbf{r}_0)\\sigma^0\\cos\\Omega t$ with frequency $\\Omega $, amplitude $A$, at the position $\\mathbf{r}_0$. In Fig. \\ref{fig:cont1}, we plot the local density of electron states for increasing impurity amplitude $A$, panels (a) through (d). In absence of the impurity, Fig. \\ref{fig:cont1} (a), we retain the typical Dirac-like density of states with vanishing density of state at the Fermi energy, as expected. However, the linear density of states around the Fermi energy is preserved also at finite driving amplitudes, Fig. \\ref{fig:cont1} (b) -- (d). In addition to the linear low energy spectrum, high energy features emerge with increasing $A$. These features, which appear symmetrically around the Dirac point, are direct consequences of the excitations that are generated by the time-dependent potential, much in analogy with the impurity side resonances that are caused by vibrational defects on Dirac materials \\cite{PhysRevLett.110.026802,PhysRevB.87.245404}.\nIn fact, the symmetric appearance of the excitations is caused by the combination of positive and negative scattering potentials $\\bfV^+_\\text{efft}$ and $\\bfV^-_\\text{efft}$, respectively, each of which is responsible for the equally distributed set of excitations on either the valence \\emph{or} the conduction side of the electronic band structure.\nMoreover, the number of excitations increases substantially with increasing $A$, which we understand to be an effect the increased order of $\\mathbf{C}_\\alpha$ that contributes to the effective potential $\\mathbf{V}_\\text{eff}$. Therefore, the Green function picks up an increasing number of higher energy modes. We also notice that the bandwidth of the local density of states increases the stronger the driving force. We refer this to the increasing number of contributing excitations that become available for in the scattering processes and which necessitates a redistribution of the total density onto an increased set of excitations.\n\n\\begin{figure}[t]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{out.pdf}\n \\caption{Local density of electron states at the impurity site with driving frequency $\\Omega=0.50$  for different values of the driving amplitude $A =$ 0.0 (a), 0.5 (b), 1.0 (c), 2.0 (d). }\n\\label{fig:cont1}\n\\end{figure}\n\n\n\n\\section{Kane-Mele model}\n\nIn the second part of this article, we  will consider a lattice, Kane-Mele, model for a topological insulator. The model pertains to a tight-binding Hamiltonian  on a honeycomb lattice which is a straight forward generalization of the Haldane model \\cite{haldane}. Here, we write\n\\begin{align}\nH=&\n\t-t\\sum_{\\langle ij\\rangle\\sigma}c^\\dag_{i\\sigma}c_{j\\sigma}\n\t+\n\ti\\lambda_{so}\\sum_{\\langle\\langle ij\\rangle\\rangle\\sigma}c^\\dag_{i\\sigma}\\sigma^zc_{j\\sigma}\n\t+\n\t\\mu \\sum_{i\\sigma}c^\\dag_{i\\sigma}c_{i\\sigma}\n\t,\n\\end{align}\nwhere $t$ is the nearest-neighbor (NN) hopping integral, $\\lambda $ is the spin-orbit coupling which act as a next-nearest-neighbor hopping element, whereas $\\mu $ is the chemical potential which fixes the number of particle of the system. Here, we consider a half-filled system for which $\\mu=0$. Note that spin-orbit coupling act as a purely imaginary hopping integral and differ by a sign for up and down spin component. We set $t$ as our absolute energy scale, and we have imposed open boundary conditions in the $x$-direction and periodic boundary conditions along the $y$-direction. We calculate $V_\\text{eff}$ iteratively for a lattice size $100\\times50$. We consider the same driving potential as above, $\\mathbf{V}=\\delta(\\mathbf{r}-\\mathbf{r}_0)2A\\sigma^0\\cos\\Omega t$, with the frequency $\\Omega$,  amplitude $A$ at $\\mathbf{r}_0$.\n\n\\begin{figure}[t]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{rdos.pdf}\n\\caption{(a) Total density of state of the Kane-Mele model for the  topological insulator with a single impurity at the middle of the lattice. The vertical lines indicate the energy at which local density of state is plotted in the bottom panel. Real space map of the local density of state for different  values of energy  E=0.0 (b), 0.5 (c), 1.0 (d).}\n\\label{fig:kane1}\n\\end{figure}\n\nThe plots in Fig. \\ref{fig:kane1} display the total density of states of the\nKane-Mele model with a single impurity located at the center of the lattice. The\nred vertical line signifies the energy values at which the spacial maps of the local density of state are plotted in panels (b) through (d). The density of states for this tight binding model on a honeycomb lattice vanishes at the Fermi energy and increases linearly away from the Fermi energy. A finite spin-orbit coupling opens up a gap in the spectrum. Due to the non-trivial topological nature of this system, this gap only appears in the bulk while metallic edge states appear at the boundary. In Fig. \\ref{fig:kane1} (b), (c), this can be seen as an enhanced density of states at the edges $x=0$ and $x=100$. Moreover, one should notice the finite density of states around the impurity, a density which oscillates and decays far away from it. At higher energies, however, bulk states appear which displays a uniform density of states throughout the whole system, see Fig. \\ref{fig:kane1} (d). \n\n\\begin{figure}[b]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{tmat.pdf}\n\\caption{$T$-matrix of an impurity at the middle of the lattice with driving\n\tamplitude $A = 5.00$. The bulk gap in the spectrum induced by finite spin-orbit coupling reflects in the $T$-matrix. When the driving frequency is small the gap remains intact and no states appear within the gap. With increasing driving frequency states appear in the gap.}\n\\label{fig:tmat1}\n\\end{figure}\n\nThe properties of the spectrum can be better understood by considering the imaginary part of the $T$-matrix, defined by\n\\begin{align}\n{\\cal T}=&\n\t\\frac{V_\\text{eff} }{1-V_\\text{eff} G^0_0}\n\t,\n\\end{align}\nas a function of energy. In Fig. \\ref{fig:tmat1} we plot $-\\im\\, {\\cal T}$ as  a function of the energy for six different frequencies $\\Omega$ of the driving field. The $T$-matrix contains scattering effects of all orders, and the plots in Fig. \\ref{fig:tmat1} show $-\\im\\, {\\cal T}$ for an impurity located at the center of the lattice. Since the bulk of a topological insulator does not have any states available near the Fermi energy, the imaginary part of the $T$-matrix remains gapped for small driving frequencies. Hence, the spectral content of the $T$-matrix only marginally deviates from the expected spectral properties of the pristine lattice. However, huge resonances appear symmetrically outside the bulk gap, providing coherent resonance peaks. These resonances can be thought of as in similar terms as the impurity resonances induced in Dirac materials by particle scattering off  local defects \\cite{AdvPhys.63.1,Nature.403.746,PhysRevLett.104.096804,PhysRevB.81.233405,PhysRevB.85.121103,edge6,PhysRevB.94.075401}.\n\nBy contrasts, it can be noticed from the plots in Fig. \\ref{fig:tmat1} that, with increasing frequency of the driving field, a finite number of states emerge within the bulk gap which tends to become filled up by these states. Simultaneously, the coherent peaks vanish with increased driving frequency as a result of the necessary charge redistribution which follows from the emergence of additional resonances in the spectrum.\n\nNext, we consider the impurity to be located at the edge of the lattice, that\nis, $(x,y)=(0,25)$, resulting in the plots $-\\im\\, {\\cal T}$ shown in Fig.\n\\ref{fig:tmat2} for six different frequencies of the driving field. In stark contrast to the situation discussed, the coherence peaks outside the bulk gap become are turned into dips. The metallic nature of the edge states gives rise to finite scattering states even for small driving frequencies. As the driving frequency is increased, an increased number of Floquet modes contribute to the scattering process, which leads to a non-monotonic oscillation pattern in the $T$-matrix.  \n\n\\begin{figure}[t]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{tedge.pdf}\n\\caption{$T$-matrix of an impurity at the edge of the lattice with driving amplitude  $A = 0.50$.  Topological Insulators have edge state at the boundary of the sample and a finite no of scattering states appear within the bulk gap. $T$-matrix also, show similar behavior with a finite weight within the gap even for small frequency region.}\n\\label{fig:tmat2}\n\\end{figure}\n\n\n\\section{Local density of states}\n\nIn this section, we consider the effect of impurity on the local density of electron \nstates, something which might be useful for local probing experiments, such as scanning \ntunneling microscopy. First, we focus on the case where the impurity is located\nat the  \ncenter of the lattice. In Fig. \\ref{fig:ldos1}, we plot the local density of electron states at the impurity site for a sequence of \ndifferent values of the amplitude $A$ of the driving field for a fixed frequency $\\Omega$.  \nIn the absence of the impurity, $A=0$, the local density of states at the center (in bulk, far from the edge) of the lattice \nhas a gap (not shown), which is caused by the finite spin-orbit coupling.\nFor a weak driving amplitude, the local density of electron states shows \na hard gap, which is reminiscent of the bulk gap in the unperturbed case.\nSurprisingly, however, even by increasing the driving amplitude by more than an order \nof magnitude, the local density of electron states does not change appreciably within the \ngap. This difference is in stark contrast when compared to the T-matrix results, where a finite weight \nappears when the impurity is located at the center of the lattice. \nThe local density of electron states increases away from the Fermi energy, which can be seen by zooming in inside the gap, while the local density of electron states remains constant at the Fermi energy.  This implies that even though \nthere is a finite number of states appearing within the bulk gap due to impurity scattering, \nthe density of states at the Fermi level does not change. The coherence peaks emerging at the edges of the gap, become less prominent with increasing amplitude of the driving field.\n\\begin{figure}[t]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{ldos1.pdf}\n\\caption{Local density of electron states for a single impurity with driving\n\tfrequency $\\Omega=0.50$ at the impurity site which is located in the\n\tmiddle of the lattice for small energy. The inset figure shows the local density of electron states in a large energy range.}\n\\label{fig:ldos1}\n\\end{figure}\n\nIn Fig. \\ref{fig:ldos2}, we plot the local density of electron states for the case where the impurity is located at \nthe edge of the lattice. It is clear that this set-up leads to completely different kinds of features in \nthe local density of electron states, as compared to the previous one.\nThe non-trivial nature of the metallic TI metallic \nedge states, due to the chirality, becomes more significant at the boundary of\nthe lattice. As can be seen in Fig. \\ref{fig:ldos2}, the local density of electron states is not gapped in the absence of impurities, $A=0$. This property is preserved for weak driving fields, $0<A\\lesssim2$, although it is also clear that both the density of states at the Fermi level as well as the sharp resonances ($|\\omega|\\approx1$) become slightly weaker, there is, nonetheless, a finite local density of electron states inside the bulk gap. With even larger amplitudes, the overall low energy local density of electron states becomes simultaneously broadened and suppressed in amplitude.\n\n\\section{Summary and conclusions} \nIn this paper, we have studied the effects of a time-dependent potential \nimpurity in two-dimensional topological insulators. By employing a numerically \nexact  matrix continued fraction method, which takes into account higher order \nFloquet modes, we capture the low energy physics throughout a wide range between \nweak and strong driving fields. This approach is implemented for both continuum \nand lattice models of the topological insulator.\n\nRegarding the continuum model, we find that the low lying energy states remain unaffected by driving fields with weak to moderate strength, whereas the higher lying energy states become strongly modified. The linear property of the local density of electron states disappears with increasing amplitude of the driving field. Many more oscillations emerge in the local density of electron states due to contributions from the higher Floquet modes at larger driving amplitude, as well as a slight increase in the bandwidth.\n\n\\begin{figure}[t]\n\\centering\n\\includegraphics[width=0.8\\columnwidth]{ldos2.pdf}\n\\caption{Local density of electrons states for a single impurity with driving frequency $\\Omega = 2.00$ at the impurity site which is located at the edge of the lattice for small energy. Inset figure show local density of electron states in a large energy range.}\n\\label{fig:ldos2}\n\\end{figure}\n\nWe have imposed open boundary condition for the two-dimensional lattice model of\nthe topological insulator along with $x$-direction, which gives metallic edge\nstates. Here, we have analyzed the effect of an impurity at two different\nlocations, namely, at the center and an edge of the lattice. The bare local\ndensity of electron states has insulating and metallic properties at these two lattice sites, respectively. The imaginary part of the $T$-matrix has very different responses for impurities located at these two positions. For a weakly perturbing impurity located at the center of the lattice, the bulk gap of the lattice is preserved in the $T$-matrix, while a finite density grows up within the gap at stronger driving fields caused by increased impurity scattering. For strong enough fields, this density eventually fills up the gap.\nOn the other hand for an impurity located at the edge of the lattice, the $T$-matrix and, hence, the impurity scattering, largely impacts the electronic density around the Fermi energy already for weak driving fields.\n\nWe conclude that despite the apparent simplicity of the model and some\nsimilarities with the physics originating from single impurity interacting with\nthe surfaces states of a three dimensional topological insulator, there is\nincreased complexity in the present set-up which can be directly linked to the\ntime-dependent potential. This should have bearing on issues related to vibrational defects as well as the external driving field we have in mind here. However, since the driving frequencies in the two situations should be expected to differ by orders of magnitude, we can, nonetheless, conjecture that our low frequency results should be applicable to vibrational impurities. We anticipate that studies of the time-dependent using different methods should corroborate our findings.\n\n\\acknowledgments\nWe thank Stiftelsen Olle Engqvist Byggm\\\"astare and Vetenskapsr\\aa det for financial support.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nOptimal stopping problems (OSP) with cost depending on the mean of the stopped process arise for instance when the goal is to minimize the variance. In the work by Pedersen and Peskir \\cites{pedersen11, pedersenpeskir16}), the problems of optimal variance stopping and optimal mean-variance stopping  have been investigated in the case where the underlying process is e.g. a Geometric Brownian motion, highlighting connections with portfolio choice. Despite the fact that the OSP of the variance is {\\it time-inconsistent} i.e. for which the value-process is not a supermartingale, they succeeded to solve the problem i.e. derive a variational inequality for the value function with an explicit stopping region.  \nMore recently, the interest in optimal stopping problems with a more general mean-field type interaction such as the dependence on the law of the stopped process increased significantly, due mainly to the connection with the theory of mean-field games and mean-field optimal control (see e.g. \\cites{carmonadelarue1} for a systematic presentation of the topic). The first contribution in this direction is the work by Bertucci \\cite{bertucci} where an optimal stopping problem for a mean-field game is studied using mainly PDE techniques. Then, other results and extensions have been obtained with different techniques in \\cites{carmona2017mean, nutz2018mean, bouveretdumitrescutankov20, dumitresculeutschertankov21} and in the recent papers \\cites{talbitouzizhang21, dumitresculeutschertankov22, agram22osp}. \n\nA powerful tool to study optimal stopping problems is based on the Snell envelope of processes (see \\cites{bismut1977, elkaroui79} and Appendix D in \\cite{karatzasshreve98}). Given the general OSP \n\\begin{equation*}\n\tY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\, \\mathbb{E}\\left[L_\\tau\\right]\n\\end{equation*}\nwhere the reward (a.k.a. the barrier or obstacle) process $(L_t)_{t\\in[0,T]}$ is right continuous with left limits (c{\\`a}dl{\\`a}g) and adapted to a filtration $\\mathbb{F}=\\{\\mathcal{F}_t\\}_{t\\in[0,T]}$ which satisfies the usual conditions, the Snell envelope of the process $L$ is defined by\n\\begin{equation*}\n\tY_t=\\underset{\\tau\\in \\mathcal{T}_t}{\\esssup}\\, \\mathbb{E}\\left[L_\\tau\\,|\\,\\mathcal{F}_t\\right],\n\\end{equation*}\nwhere $\\mathcal{T}_t$ is set of $\\mathbb{F}$-stopping times with values in $[t,T]$. Under mild uniform integrability conditions on $L$, it turns out that $Y$ is the smallest supermartingale that dominates $L$, an important property which implies that, when $L$ has only nonnegative jumps, then $Y$ is continuous and it is optimal to stop when $Y$ hits $L$ i.e. the hitting time\n\\begin{equation}\\label{tau-intro}\n\t\\tau^*_t = \\inf\\{s\\ge t, \\,\\, Y_s=L_s\\}\\wedge T\n\\end{equation}\nis optimal after t. In particular, $\\tau^*:=\\tau^*_0$\nis optimal for $Y_0$.\n\nIn the recent papers \\cites{djehicheeliehamadene, djehichedumitrescuzeng}, this result could be successfully applied to a large class of mean-field OSPs  whose value-process solves a mean-field reflected BSDEs i.e. it is a supermartingale. That class of OSPs includes the following recursive OSP (we ignore the integral term)\n\\begin{equation*}\n\tY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\, \\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{P}_{Y_{s}}\\lvert_{s=\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right],\n\\end{equation*}\nwhere the mean-field coupling is in terms of the marginal law of $Y$ {\\it evaluated} at a stopping time i.e. it is not the law of the random variable $Y_{\\tau}$. \nAnother example of a mean-field OSP for which the supermartingale property is preserved is considered in the recent work by Talbi, Touzi and Zhang \\cite{ talbitouzizhang21} where the mean-field OSP for a mean-field diffusion is studied in a weak (or relaxed) formulation i.e. in terms of the joint marginal law of the stopped underlying process $X$ and the survival process $I$ associated with the stopping time. Moreover, the performance function is a deterministic function of the marginal laws of $(X,I)$. They characterized the value function by a dynamic programming equation on the Wasserstein space.\n\nBut, the above result does not immediately apply if e.g. the stopped obstacle is of the form $L_{\\tau}=(X_{\\tau}-\\mathbb{E}[X_{\\tau}])^2$ as in the OSP of the variance of a process $X$ or more generally when $L_{\\tau}=h(X_{\\tau},\\mathbb{P}_{X_{\\tau}})$, for which the value-process is no longer a supermartingale.  Nevertheless, Pedersen and Peskir \\cites{pedersen11, pedersenpeskir16}) could solve the OSP of the variance of an underlying Markov diffusion process  by embedding it into an auxiliary standard OSP whose value function solves a standard variational inequality. \n\n\\medskip\nIn present paper, we consider the following class of time-inconsistent mean-field OSPs beyond the mean-variance case.   \nLet $T>0$ be a finite time horizon, $W$ a Brownian motion defined on a probability space $(\\Omega, \\mathcal{F},\\mathbb{P})$ and $\\mathbb{F}=\\{\\mathcal{F}_t\\}_{t\\in[0,T]}$ the complete Brownian filtration. On the filtered probability space $(\\Omega, \\mathcal{F},\\mathbb{F},\\mathbb{P})$ let $X$ be a diffusion process of mean-field type:\n\\begin{equation*}\nX_t=X_0+\\int_0^tb(s,X_s, \\mathbb{P}_{X_{s}})ds+\\int_0^t \\sigma(s,X_s,\\mathbb{P}_{X_{s}})dW_s.\n\\end{equation*}\nFor a certain $\\mathcal{F}_T$-measurable final condition $\\xi$ and a performance function $h$, we consider the following OSPs:\n\\begin{itemize}\n    \\item[(OSPa)] Optimal stopping of a mean-field diffusion:\n    \\begin{equation}\\label{Y-0-d-intro}\n\tY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\,\\mathbb{E}\\left[h(X_{\\tau},\\mathbb{P}_{X_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right],\n\\end{equation}\n    \n    \\item[(OSPb)] Optimal stopping of a  recursive utility function defined on $(\\Omega, \\mathcal{F},\\mathbb{F},\\mathbb{P})$:\n\\begin{equation}\\label{Y-0-intro}\nY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\,\\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{P}_{Y_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation} \n\\end{itemize}\nThe main purpose of the present work is to show under certain conditions that an optimal stopping time for each of the OSPs \\eqref{Y-0-d-intro} and \\eqref{Y-0-intro}\ncan be charaterized as a hitting time similar to $\\tau^*$ in \\eqref{tau-intro}. A straightforward extension is to consider the combination of \\eqref{Y-0-d-intro} and \\eqref{Y-0-intro} given by\n\\begin{equation}\\label{Y-0-comb-intro}\nY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\,\\mathbb{E}\\left[h(X_{\\tau},\\mathbb{P}_{X_{\\tau}},Y_{\\tau},\\mathbb{P}_{Y_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\n\nTo solve the above problems we use a limit approach which consists of introducing a family of interacting Snell envelopes $\\{Y^{i,n}\\}_{i=1}^n$ (see Section \\ref{sec-formulation} for a precise definition for (OSPb) and Section \\ref{ssec-diffusion} for (OSPa)) as approximation of the value-process of the mean-field OSP. For example we approximate the OSP \\eqref{Y-0-intro} with the following family of interacting OSPs:\n\\begin{equation*}\n\tY^{i,n}_0=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n \\delta_{Y^{j,n}_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right],\\quad i=1,2,\\ldots,n.\n\\end{equation*}\nThese problems are time-consistent and it can be shown (see Corollary \\ref{opt-i-n}, below) that  it is optimal to stop at the hitting time $\\hat{\\tau}^{i,n}$ at which the value-process (which is now a Snell envelope) $(Y^{i,n}_t)_{t\\geq 0}$ hits the barriere  $(\\mathbb{E}[h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n \\delta_{Y^{j,n}_{t}})\\, \\lvert\\,\\mathcal{F}^i_t])_{t\\in[0,T]}$. In Theorem  \\ref{optimality-tau-i} below we prove that the stopping time\n\\begin{equation}\\label{tau-opt}\n\t\\tau^{*}=\\inf\\{t\\ge 0, \\,\\, Y_t=h(Y_{t},\\mathbb{P}_{Y_{t}})\\}\\wedge T\n\\end{equation}\nis optimal for $Y_0$ given by \\eqref{Y-0-intro}, by showing that it is  the limit in probability of $\\hat{\\tau}^{1,n}$ as $n\\to\\infty$. Thus,  in this time-inconsistent framework an optimal stopping is also given by the usual hitting time. To derive this result, we need to investigate the convergence of $\\{Y^{i,n}_0\\}_{n\\geq1}$ to $Y_0$ (Proposition \\ref{conv-1}) and the convergence of the associated optimal stopping times (Lemma \\ref{conv-os-prob}). To have a more clear exposition, we prove our results in the simplified case of dependence on the mean of the stopped process, and then in Subsection \\ref{ssec-law-dep} we discuss the general case.\n\n\\medskip\nBy embedding this class of OSPs into the ones w.r.t. the set of randomized stopping times which is compact in the Baxter-Chacon topology (cf. \\cite{baxter77}), following many papers including Edgar, Millet and Sucheston \\cite{edgar82}, Arenas \\cite{arenas90} and El Karoui, Lepeltier and Millet \\cite{millet92}, one can show that there exists an optimal randomized stopping time for $Y_0$ without further characterization compared to the explicit optimal stopping time \\eqref{tau-opt}.  \n\n\n\\medskip\nThe paper is organized as follows. In Section \\ref{sec-formulation} we state precisely the simplified version of (OSPb) and the assumptions we need for the remaining part of the section. Then we discuss the well-posedness of the studied system of interacting optimal stopping problems, which is not obvious due to the recursive form of the utility function. In Section \\ref{sec-convergence} we present our main results about the convergence of the family of time-consistent problems. In particular, the convergence of the related optimal stopping times is discussed in Subsection \\ref{ssec-conv-ost}. These results are extended in Subsection \\ref{ssec-law-dep} to the more general case where the mean-field interaction is in terms of the law of the stopped process. Finally, in Section \\ref{ssec-diffusion} we discuss how to apply the suggested techniques to the problem (OSPa) associated to a mean-field  diffusion process. In particular, we obtain the same stopping region of the OSP of the variance as the one derived in \\cite{pedersen11} for Markov diffusion processes, we mentioned above. \n\n\\medskip\n\nThroughout this paper we only consider the one-dimensional Brownian motion and diffusion processes. The generalization to the multidimensional case is straightforward.\n\n\n\\subsection*{Notation.}\nLet $(\\Omega, \\mathcal{F},\\mathbb{P})$ be a complete probability space and $T>0$ a finite time horizon.  $W=(W_t)_{t\\in[0,T]}$  is a standard one-dimensional Brownian motion. We denote by $\\mathbb{F} = \\{\\mathcal{F}_t\\}_{t\\in[0,T]}$ the (completed) natural filtration of the Brownian motion $W$, with $\\mathcal{F}_0=\\{\\emptyset, \\Omega\\}$. In particular, $\\mathbb{F}$ is continuous i.e. for each $t\\ge 0$  $\\mathcal{F}_{t^-}=\\mathcal{F}_t$. Let $\\mathcal{P}$ be the $\\sigma$-algebra on $\\Omega \\times [0,T]$ of $\\mathcal{F}_t$-progressively measurable sets. \nNext, we introduce the following spaces. \\smallskip\n\\begin{itemize} \n    \\item $\\mathcal{T}_t$ is the set of $\\mathbb{F}$-stopping times $\\tau$ such that\n    $\\tau \\in [t,T]$ a.s. \\medskip\n    \\item \\textcolor{black}{$L^2(\\mathcal{F}_T)$ is the set of random variables $\\xi$ which are $\\mathcal{F}_T$-measurable and $\\mathbb{E}[|\\xi|^2]<\\infty$.} \\medskip\n    \\item $\\mathcal{S}^2$ is the set of real-valued $\\mathcal{P}$-measurable processes $y$ for which \\newline $\\|y\\|^2_{\\mathcal{S}^2} :=\\mathbb{E}[\\underset{ u\\in[0,T]}{\\sup} |y_u|^2]<\\infty$.  \\medskip\n    \\item $\\mathcal{S}_{c}^{2}$ is the space of $\\mathcal{S}^{2}$-valued continuous  processes. This space is complete and separable.  \\medskip\n\\begin{comment}\n    \\item $\\mathbb{L}_{\\beta}^2$, $\\beta\\ge 0$, is the set of $\\mathbb{F}$-adapted, real-valued and continuous processes $y$ such that $\\|y\\|^2_{\\mathbb{L}_{\\beta}^2} :=\\underset{\\tau\\in\\mathcal{T}_0}{\\sup}\\mathbb{E}[e^{2\\beta  \\tau}|y_{\\tau}|^2]<\\infty$. $\\mathbb{L}_{\\beta}^2$ is a Banach space (see Theorem 22 in \\cite{dellacheriemeyer82}, \n    pp. 83 for the space $\\mathbb{L}^1$). We set $\\mathbb{L}^2=\\mathbb{L}_{0}^2$. \\\\\n    \n \\item $\\mathcal{H}^{p,d}$ is the set of $\\mathcal{P}$\n   \\medskip\n    \\item $\\mathcal{B}(\\mathbb{R}^d)$ is the Borel $\\sigma$-algebra on $\\mathbb{R}^d$.  \\medskip\n\\end{comment}\n    \\item $C([0,T];\\mathbb{R})$ is the  space of continuous functions over $[0,T]$ endowed with the supremum norm. It is a separable Banach space.  \\medskip\n    \\item $\\mathcal{P}_2(\\mathbb{R})$ is the set of probability measures with finite second moment, i.e. $\\mu\\in\\mathcal{P}_2(\\mathbb{R})$ if and only if $\\int_\\mathbb{R} \\lvert x\\rvert^2\\mu(dx)<\\infty$. We endow this space with the $2$-Wasserstein metric $\\mathcal{W}_2$, defined by\n    \\begin{equation*}\n    \t\\mathcal{W}_2(\\mu,\\nu) = \\inf\\left\\{\\mathbb{E}[\\lvert X - Y\\rvert^2]^{\\frac{1}{2}}, {Law}(X)=\\mu, {Law}(Y)=\\nu\\right\\},\\quad \\mu,\\nu\\in\\mathcal{P}_2(\\mathbb{R}).\n    \\end{equation*}\n    The space $(\\mathcal{P}_2(\\mathbb{R}),\\mathcal{W}_2)$ is a complete separable metric space (see e.g. Theorem 6.18 in \\cite{villani}).\n\\end{itemize}\n\\medskip\n\\section{Optimal stopping of a  recursive utility function}\\label{sec-formulation}\nConsider the following (simplified) finite horizon optimal stopping problem (OSP) of mean-field type: \n\\begin{equation}\\label{Y-0}\nY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\, \\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{E}[Y_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right],\n\\end{equation}\nwhere $h$ is a sufficiently smooth cost (see Assumption \\ref{A1} below) and  $\\xi\\in L^2(\\mathcal{F}_T)$. \n\nThe OSP \\eqref{Y-0} is time-inconsistent i.e. the associated value-process is no longer a supermartingale, due to the presence of expected value (law) of the stopped random variable $Y_{\\tau}$. \n\nWe associate to \\eqref{Y-0} the following value-process:\n\\begin{equation}\\label{Y}\nY_t=\\underset{\\tau\\in \\mathcal{T}_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{E}[Y_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}_t\\right].\n\\end{equation}\n\nWe would like to investigate whether the value-process $Y$ is well-defined i.e. whether there exists a unique solution to \\eqref{Y} and whether there exists a optimal stopping time $\\tau^*$ to the OSP \\eqref{Y-0}:\n\\begin{equation}\\label{stop}\n    \\tau^*=\\underset{\\tau\\in \\mathcal{T}_0}{\\arg\\max}\\, \\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{E}[Y_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\n\n\\medskip\nWe suggest to solve this problem by using a limit approach based on approximating $\\mathbb{E}[Y_{\\cdot}]$ by its empirical mean $\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\cdot}$ for some suitable sample $Y^{i,n},\\,i=1,2,\\ldots,n$ of 'interacting' value-processes which solve a system of standard OSPs.\n\n\\medskip\nTo this end we set $W^1=W$ and let $\\{W^i\\}_{i\\ge 1}$ be independent Brownian motions and denote by $\\mathbb{F}^n:=\\{\\mathcal{F}_t^n\\}_{t \\in [0,T]}$ the completion of the filtration generated by $\\{W^i\\}^n_{i=1}$. Thus, for each $1\\le i\\le n$, the filtration generated by $W^i$ is a sub-filtration of $\\mathbb{F}^n$, and we denote by ${\\mathbb{F}}^i:=\\{{\\mathcal{F}}^i_t\\}_{t\\in[0,T]}$ its completion. Let $\\mathcal{T}^n_t$ (resp. $\\mathcal{T}^i_t$) be the set of $\\mathbb{F}^n$ (resp. $\\mathbb{F}^i$) stopping times with values in $[t,T]$. \n\n\\medskip\nConsider the following family of finite horizon stopping problems.\n\\begin{equation}\\label{Y-i-n}\nY^{i,n}_t=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right],\\quad i=1,2,\\ldots,n,\n\\end{equation}\nand\n\\begin{equation}\\label{Y-i}\nY^{i}_t=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^{i}_{\\tau},\\mathbb{E}[Y^{i}_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right],\\quad i\\ge 1,\n\\end{equation}\nwhere $h$ and $\\{\\xi^i\\}_{i\\geq1}$ satisfies the following conditions.\n\n\\begin{Assumption}\\label{A1} The coefficients $h$ and $\\{\\xi^i\\}_{i\\geq 1}$ satisfy the following conditions:\n\\begin{enumerate}[(i)]\n\t\t\\item For each $i\\ge 1$, $\\xi^i\\in L^2(\\mathcal{F}^i_T)$. Moreover, the $\\xi^i$'s are independent copies of $\\xi$, with $\\xi^1=\\xi$; \\\\\n\t\t\\item the function  $h\\colon\\Omega\\times\\mathbb{R}\\times\\mathbb{R}\\to\\mathbb{R}$ \\\\\n  \\begin{itemize} \n      \\item[(ii-a)]\n  is Lipschitz continuous w.r.t. $(y,z)$: there exist two positive constants $\\gamma_1$ and $\\gamma_2$ such that \n\t\t\\begin{equation*}\n\t\t\t\\lvert h(\\omega,y_1,z_1) - h(\\omega,y_2,z_2)\\rvert\\leq \\gamma_1\\lvert y_1 - y_2\\rvert + \\gamma_2\\lvert z_1 - z_2\\rvert, \n\t\t\\end{equation*}\n\t\tfor any $\\omega\\in\\Omega$ and any $y_1,y_2,z_1,z_2\\in\\mathbb{R}$. \\\\\n  \\item[(ii-b)] $h(\\cdot,0,0)\\in L^2(\\mathbb{P})$. \n  \\end{itemize}\n\t\\end{enumerate}\n\\end{Assumption}\n\n\\subsection{Existence and uniqueness of the value-processes}\\label{sec-existence-uniq}\nIn this section we show the well-posedness of the systems \\eqref{Y-i} and \\eqref{Y-i-n}, since in both cases the performance function depends also on the value-process. \n\\begin{theorem}\\label{Y-i-well-def} Suppose that Assumption \\ref{A1} is in force. Assume further that  $\\gamma_1$ and $\\gamma_2$ satisfy\n\t\\begin{equation}\\label{cond_gagb}\n\t\t\\gamma_1^2 + \\gamma_2^2<\\frac{1}{2}.\n\t\\end{equation}\nThen there exists a unique solution in $\\mathcal{S}_c^2$ to each of the systems \\eqref{Y-i-n} and \\eqref{Y-i}.\n\\end{theorem}\n\nThe proof of Theorem \\eqref{Y-i-well-def} is based on  the fixed point argument used in the proof of Theorem 2.1 in \\cite{djehichedumitrescuzeng}. We omit to reproduce it here. \n\n\\begin{corollary}\\label{opt-i-n} For each $i=1,\\ldots n$, the $\\mathcal{F}^i$-stopping time\n\\begin{equation}\\label{tau-i-n}\n    \\hat{\\tau}^{i,n}=\\inf\\left\\{t\\ge 0, \\,\\, Y^{i,n}_t=\\mathbb{E}[h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t})\\, \\lvert\\,\\mathcal{F}^i_t]\\right\\}\\wedge T\n    \\end{equation}\nis optimal for $Y_0^{i,n}$.\n\\end{corollary}\n\\begin{proof} \nSince each of the processes $Y^{i,n}$ is in $\\mathcal{S}_c^2$, by Assumption \\ref{A1} (ii) and Doob's inequality, it follows that the obstacle process $\\mathcal{X}^{i,n}_t:=\\mathbb{E}[h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t})\\, \\lvert\\,\\mathcal{F}^i_t]$ is also in $\\mathcal{S}^2$ and thus is of class D. Moreover, since for each $t\\in [0,T]$, both $h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t})$ and $\\mathcal{F}^i_t$ are continuous, the optional and predictable projections of $h(Y^{i,n}_{\\cdot},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\cdot})$ w.r.t. $\\mathbb{F}^i$ coincide. This implies that the obstacle process $\\mathcal{X}^{i,n}$ is a.s. continuous.  Therefore, by  e.g. Theorem D.19 in Appendix D in \\cite{karatzasshreve98} or Proposition 1.1.8 in \\cite{pham} (see also \\cite{bismut1977} and \\cite{elkaroui79} for a more general set up), for each $i=1,2,\\ldots,n$, the stopping time $\\tau^{i,n}$ given by \\eqref{tau-i-n} is optimal for $Y^{i,n}_0$.\n\\end{proof}\n\n\n\\section{Convergence results}\\label{sec-convergence}\nThe main aim of this section is to characterize an optimal stopping time for the time inconsistent problem \\eqref{Y-0}. The idea is to exploit the time consistency of the system of interacting optimal stopping problems\n\\begin{equation*}\n\tY^{i,n}_0=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\sup}\\, \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right],\\quad i=1,2,\\ldots,n,\n\\end{equation*} to obtain an explicit sequence of optimal stopping times, and then to show that this sequence converges to an optimal stopping time for the OSP \\eqref{Y-0}.\n\\subsection{Convergence of the particle system}\\label{ssec_convergence}\nThis subsection is concerned with the convergence of the process $Y^{i,n}$, solution of the particle system \\eqref{Y-i-n}, to the solution $Y^{i}$ of the mean-field system \\eqref{Y-i}.\n\n\\begin{definition}[Exchangeable r.v.] The random variables $X^1,X^2,\\dots,X^n$ are said to be exchangeable if the law of the random vector $(X^1,X^2,\\dots,X^n)$ is the same as that of the random vector $(X^{\\sigma(1)},X^{\\sigma(2)},\\dots,X^{\\sigma(n)})$ for every permutation $\\sigma$ of the set $\\{1,2,\\dots,n\\}$. We write\n\\begin{equation*}\n\t{Law}(X^1,X^2,\\dots,X^n) = Law(X^{\\sigma(1)},X^{\\sigma(2)},\\dots,X^{\\sigma(n)}).\n\\end{equation*}\n\\end{definition}\nIn the following proposition, we show that the exchangeability property of the final conditions $\\{\\xi^i\\}_{i\\geq1}$, entailed by Assumption \\ref{A1} (i), transfers to the solutions of the systems \\eqref{Y-i-n} and \\eqref{Y-i}.\n\\begin{proposition}[Exchengeability property]\\label{exchangeability} Let Assumption \\ref{A1} hold. Then the processes $\\{Y^{i,n}\\}_{i=1}^n$ solution of the system \\eqref{Y-i-n} are exchangeable. Moreover, the processes $\\{Y^{i}\\}_{i\\geq1}$ solution of the system \\eqref{Y-i} are independent and equally distributed and hence exchangeable.\n\\end{proposition}\n\\begin{proof}\n\tFirst let us focus on  $\\{Y^{i,n}\\}_{i=1}^n$. For any permutation $\\sigma$ of the set $\\{1,2,\\dots,n\\}$, we have for any $t\\in[0,T]$ \n\t\\begin{equation*}\n\t\t\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_t = \\frac{1}{n}\\sum_{j=1}^n Y^{\\sigma(j),n}_t,\n\t\\end{equation*}\n\tand thanks to the uniqueness result in Theorem \\ref{Y-i-well-def} we have\n\t\\begin{equation*}\n\t\t(Y^{1,n},Y^{2,n},\\dots,Y^{n,n}) = (Y^{\\sigma(1),n},Y^{\\sigma(2),n},\\dots,Y^{\\sigma(n),n}),\\quad\\hbox{\\rm a.s.{ }}, \n\t\\end{equation*}\n i.e. the processes $\\{Y^{i,n}\\}_{i=1}^n$ are exchangeable.\n\n\tRegarding the processes $\\{Y^{i}\\}_{i\\geq1}$, from \\eqref{Y-i} we may write $Y_{t}^i=\\varphi(\\xi^i,(W^i_{s})_{0\\le s\\le t})$ for some Borel measurable function $\\varphi$. But, the pairs $(W^i,\\xi^i)$  are independent and  equally distributed. Therefore, the $Y^i$'s are independent and equally distributed and thus exchangeable.\n\\end{proof}\n\\begin{proposition}\\label{conv-1}\n\tAssume that $\\gamma_1$ and $\\gamma_2$ satisfy\n\t\\begin{equation}\\label{cond_gagb_3}\n\t\t\\gamma_1^2 + \\gamma_2^2<\\frac{1}{16}. \n\t\\end{equation}\n\tThen, under Assumption \\ref{A1} we have\n\t\\begin{equation*}\n\t\t\\Lim_{n\\to\\infty}\\mathbb{E}\\left[\\sup_{t\\in[0,T]}\\lvert Y^{i,n}_t - Y^{i}_t\\rvert^2\\right] = 0,\\quad i\\geq1.\n\t\\end{equation*}\n\\end{proposition}\n\\begin{proof}\nFor any $t\\leq T$, we have\n\\begin{equation}\n\\begin{aligned}\n\t\\lvert Y^{i,n}_t - Y^i_t \\rvert& = \\Bigg\\lvert \\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\,\\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right] \\\\\n\t&\\quad- \\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^i_{\\tau},\\mathbb{E}[Y^i_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right] \\Bigg\\rvert\\\\\n\t&\\leq  \\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\Bigg \\lvert \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right] \\\\\n\t&\\quad-\\mathbb{E}\\left[h(Y^i_{\\tau}, \\mathbb{E}[Y^i_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right]\\Bigg\\rvert\\\\\n\t&\\leq \\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[\\left\\lvert h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau}) - h(Y^i_{\\tau}, \\mathbb{E}[Y^i_{\\tau}])\\right\\rvert\\,|\\,\\mathcal{F}^i_t\\right]\\\\\n\t&\\leq \\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[\\left(\\gamma_1\\lvert Y^{i,n}_{\\tau} - Y^i_{\\tau} \\rvert + \\gamma_2\\lvert \\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau} - \\mathbb{E}[Y^i_{\\tau}] \\rvert\\right)\\,|\\,\\mathcal{F}^i_t\\right]\\\\\n\t&\\leq \\mathbb{E}\\left[\\gamma_1\\sup_{s\\in[0,T]}\\lvert Y^{i,n}_{s} - Y^i_{s} \\rvert + \\gamma_2\\sup_{s\\in[0,T]}\\lvert \\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{s} - \\mathbb{E}[Y^i_{s}] \\rvert\\,|\\,\\mathcal{F}^i_t\\right]\n\t\\\\\n\t&\\leq \\mathbb{E}\\left[\tG^{i,n}_T+\\gamma_2\\sup_{s\\in[0,T]}\\lvert \\frac{1}{n}\\sum_{j=1}^n Y^{j}_{s} - \\mathbb{E}[Y^i_{s}] \\rvert\\,|\\,\\mathcal{F}^i_t\\right],\n \\end{aligned}\n\\end{equation}\nwhere\n\\begin{equation*}\n\tG^{i,n}_T:= \\gamma_1\\sup_{s\\in[0,T]}\\lvert Y^{i,n}_{s} - Y^i_{s} \\rvert +  \\frac{\\gamma_2}{n}\\sum_{j=1}^n \\sup_{s\\in[0,T]}\\lvert Y^{j,n}_{s}-Y^j_{s}\\rvert.\n\\end{equation*}\nBy Doob's inequality, we have\n\\begin{equation*}\n\t\\mathbb{E}[\\sup_{t\\in[0,T]} \\lvert  Y^{i,n}_t - Y^i_t  \\rvert^2]\\leq 4\\mathbb{E}\\left[\\left(G^{i,n}_T+\\gamma_2\\sup_{s\\in[0,T]}\\lvert \\frac{1}{n}\\sum_{j=1}^n Y^{j}_{s} - \\mathbb{E}[Y^i_{s}] \\rvert\\right)^2\\right].\n\\end{equation*}\nTherefore,\n\\begin{equation}\\label{sup_ineq}\n\\begin{aligned}\n\t\\mathbb{E}[\\sup_{t\\in[0,T]} \\lvert  Y^{i,n}_t - Y^i_t  \\rvert^2] &\\leq 8\\gamma_2^2\\mathbb{E}\\left[\\Lambda_n\n\\right] + 16\\mathbb{E}\\left[\\gamma_1^2\\sup_{s\\in[0,T]}\\lvert Y^{i,n}_{s} - Y^i_{s} \\rvert^2  \\right.  \\\\   & \\qquad\\qquad\\qquad\\qquad\\qquad\\qquad\\qquad + \\left. \\frac{\\gamma_2^2}{n}\\sum_{j=1}^n \\sup_{s\\in[0,T]}\\lvert Y^{j,n}_{s} - Y^{j}_{s}\\rvert^2\\right],\n\\end{aligned}\n\\end{equation}\nwhere, since the $Y^i$'s are identically distributed, we have\n\\begin{equation}\\label{Lambda-n}\n\t\\Lambda_n:= \\sup_{s\\in[0,T]} \\lvert \\frac{1}{n}\\sum_{j=1}^n Y^{j}_{s} - \\mathbb{E}[Y^i_s]\\rvert^2= \\sup_{s\\in[0,T]} \\lvert \\frac{1}{n}\\sum_{j=1}^n (Y^{j}_{s} - \\mathbb{E}[Y^j_s])\\rvert^2.\n\\end{equation}\nIn view of the exchangeability of the processes $\\{Y^{i,n}\\}_{i=1}^n$ and $\\{Y^i\\}_{i\\geq1}$ (see Proposition \\ref{exchangeability}), we have \n\\begin{equation*}\n\\mathbb{E}\\left[\\frac{1}{n}\\sum_{j=1}^n \\sup_{s\\in[0,T]}\\lvert Y^{j,n}_{s} - Y^{j}_{s}\\rvert^2\\right]=\\mathbb{E}\\left[\\sup_{t\\in[0,T]} \\lvert  Y^{i,n}_t - Y^i_t  \\rvert^2\\right].\n\\end{equation*}\n\\begin{comment}\\begin{equation*}\n\t\\mathbb{E}\\left[\\left(G^{i,n}_T\\right)^2\\right]\\leq 4(\\gamma_1^2 + \\gamma_2^2)\\mathbb{E}[\\sup_{s\\in[0,T]}\\lvert Y^{i,n}_{s} - Y^i_{s} \\rvert^2] + \\mathbb{E}[\\Lambda_n].\n\\end{equation*}\n\\end{comment}\nThus, from \\eqref{sup_ineq} we obtain\n\\begin{equation*}\n\t\\mathbb{E}[\\sup_{t\\in[0,T]} \\lvert  Y^{i,n}_t - Y^i_t  \\rvert^2]\\leq16(\\gamma_1^2+\\gamma_2^2)\\mathbb{E}[\\sup_{s\\in[0,T]}\\lvert Y^{i,n}_{s} - Y^i_{s} \\rvert^2] +  32\\gamma_2^2\\mathbb{E}[\\Lambda_n],\n\\end{equation*}\nwhere, by \\eqref{cond_gagb_3}, $16(\\gamma_1^2+\\gamma_2^2)<1$. So\n\\begin{equation*}\n\t\\mathbb{E}[\\sup_{t\\in[0,T]} \\lvert  Y^{i,n}_t - Y^i_t  \\rvert^2]\\leq 32(1-16(\\gamma_1^2+\\gamma_2^2))^{-1}\\mathbb{E}[\\Lambda_n].\n\\end{equation*} \nFinally, since the processes $\\{Y^j\\}_{j\\geq1}$ are i.i.d. $C([0,T];\\mathbb{R})$-valued random variables with finite second moments (since they are in $\\mathcal{S}^2$), by the strong law of large numbers for Banach valued r.v. (see Theorem 4.1.1 in \\cite{padgett-taylor06}) and dominated convergence we have  \n\\begin{equation}\\label{L-conv}\n\t\\Lim_{n\\to\\infty} \\mathbb{E}[\\Lambda_n]=0,\n\\end{equation}\nwhich yields the desired result. \n\\end{proof}\n\n\n\\subsection{Convergence of the optimal stopping times}\\label{ssec-conv-ost}\nIn Section \\ref{ssec_convergence} we proved that $Y^{i,n}$ converges to $Y^i$ as $n$ goes to  infinity in the $\\mathcal{S}^2$ norm. This entails the convergence of the values of the OSPs $Y^{i,n}_0$ to $Y^i_0$, as $n\\to\\infty$, for every $i\\geq1$. Furthermore, by Corollary \\ref{opt-i-n}, for each $i=1,\\ldots,n$, the stopping time $\\hat{\\tau}^{i,n}$ given by \\eqref{tau-i-n} is optimal for the OSP $Y^{i,n}_0$, that is\n\\begin{equation}\n    \\hat{\\tau}^{i,n} =\\underset{\\tau\\in \\mathcal{T}^i_0}{\\arg\\max}\\, \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\tau})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\n\nFor every $i\\geq 1$, let us introduce the stopping time\n\\begin{equation}\\label{tau-i}\n    \\hat{\\tau}^{i}=\\inf\\{t\\ge 0, \\,\\, Y^{i}_t=h(Y^{i}_{t},\\mathbb{E}[Y^i_{t}])\\}\\wedge T.\n\\end{equation}\nDue to the time-inconsistency of the problem \\eqref{Y-i}, it is not immediate to conclude that $\\hat{\\tau}^{i}$ is optimal, i.e. that it coincides with the optimal stopping $\\tau^{i,*}$ defined by \n\\begin{equation}\\label{stop-i}\n    \\tau^{i,*}=\\underset{\\tau\\in \\mathcal{T}_0}{\\arg\\max}\\, \\mathbb{E}\\left[h(Y^i_{\\tau},\\mathbb{E}[Y^i_{\\tau}])1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\nThe main result of this section is to show that \\eqref{stop-i} actually holds.\nIn particular, since $W^1=W$ and $\\xi^1=\\xi$ , we have $Y^1=Y$ i.e. $Y^1$ is the value-process $Y$ given by \\eqref{Y} and $\\tau^{1,*}$ is the associated optimal stopping time given by \\eqref{stop} i.e. $\\tau^*:=\\tau^{1,*}$.\n\\begin{theorem}\\label{optimality-tau-i}\n\tLet Assumption \\ref{A1} hold and assume that $\\gamma_1$ and $\\gamma_2$ satisfy \\eqref{cond_gagb_3}.\n\n\n\n\tThen for any $i\\geq 1$ the stopping time $\\hat{\\tau}^i$ defined by \\eqref{tau-i} is optimal for the OSP \\eqref{stop-i}.\n\\end{theorem}\n\nTo prove this statement, we rely on the next proposition  about the convergence of optimal stopping times and its corollary.  \n\\begin{proposition}\\label{conv-os-prob}\n    For any $i\\geq 1$, let $\\{\\hat{\\tau}^{i,n}\\}_{n\\geq 1}$ be the sequence of optimal stopping times defined by \\eqref{tau-i-n} and let $\\hat{\\tau}^{i}$ be defined by \\eqref{tau-i}. Let Assumption \\ref{A1} and \\eqref{cond_gagb_3} hold. Then $\\hat{\\tau}^{i,n}$ converges to $\\hat{\\tau}^{i}$ in probability, as $n$ goes to infinity.\n\\end{proposition}\n\\begin{proof}\nTo keep the notation lighter, we hide the dependence on $i$ and set\n    \\begin{equation}\\label{Z}\n        Z^n_t:= Y^{i,n}_t - \\mathbb{E}[h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t})\\, \\lvert\\,\\mathcal{F}^i_t],\\quad Z_t = Y^{i}_t - h(Y^{i}_t,\\mathbb{E}[Y^i_t]),\\quad t\\in[0,T].\n    \\end{equation}\n    We notice that, for every $t\\in[0,T]$, $Z^n_t\\geq0$ a.s.  and that $\\hat{\\tau}^n =\\inf\\{t\\ge 0, \\,\\, Z^n_t = 0\\} \\wedge T$. The same holds for $Z$ and $\\hat{\\tau}$.\n    \n    For any $\\varepsilon>0$, we have \n    \\begin{equation}\\label{conv-prob-term}\n        \\mathbb{P}\\left(\\lvert \\hat{\\tau}^n - \\hat{\\tau}\\rvert>\\varepsilon\\right) = \\mathbb{P}\\left(\\hat{\\tau}^n-\\hat{\\tau}>\\varepsilon\\right) + \\mathbb{P}\\left(\\hat{\\tau}-\\hat{\\tau}^n>\\varepsilon\\right).\n    \\end{equation}\n    We first show that $\\mathbb{P}\\left(\\hat{\\tau}^n-\\hat{\\tau}>\\varepsilon\\right)\\to 0$ as $n\\to\\infty$. The event \n    \\begin{equation*}\n        \\left\\{\\hat{\\tau}^n-\\hat{\\tau}>\\varepsilon\\right\\}\n    \\end{equation*}\n    means that $Z^n$ attains $0$ at a time which is  larger than the time $\\hat{\\tau}$  at which $Z$ attains the same level 0 with at least $\\varepsilon>0$. In other words,\n    \\begin{equation}\n        \\mathbb{P}\\left(\\hat{\\tau}^n-\\hat{\\tau}>\\varepsilon\\right) = \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z^n_t > 0 ,Z_{\\hat{\\tau}} = 0\\right).\n    \\end{equation}\n    Notice that, for the limit process $Z$, it trivially holds that\n    \\begin{equation}\n        \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z_t > 0 ,Z_{\\hat{\\tau}} = 0\\right) = 0.\n    \\end{equation}\n    So, it remains to prove that \n    \\begin{equation}\\label{conv-prob}\n        \\Lim_{n\\to\\infty}\\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z^n_t > 0 ,Z_{\\hat{\\tau}} = 0\\right) = \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z_t > 0 ,Z_{\\hat{\\tau}} = 0\\right).\n    \\end{equation}\n    Indeed, by Assumption \\ref{A1} (ii), we have\n    \\begin{equation*}\n    \\begin{aligned}\n        \\left\\lvert \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z^n_t - \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z_t\\right\\rvert\n    & \\leq \\sup_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon}\\lvert Z^n_t - Z_t\\rvert\\\\\n    & \\leq \\sup_{t\\in[0,T]}\\lvert Y^{i,n}_t - Y^i_t\\rvert + \\sup_{t\\in[0,T]}\\lvert \\mathbb{E}[h(Y^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t})\\, \\lvert\\,\\mathcal{F}^i_t] - h(Y^i_t,\\mathbb{E}[Y^i_t])\\rvert \\\\\n    &\\leq (1 + \\gamma_1)\\sup_{t\\in[0,T]}\\lvert Y^{i,n}_t - Y^i_t\\rvert + \\gamma_2 \\sup_{t\\in[0,T]}\\mathbb{E}[\\sup_{s\\in[0,T]}\\lvert\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{s} - \\mathbb{E}[Y^i_s] \\rvert\\,\\lvert\\, \\mathcal{F}_t^ i].\n    \\end{aligned}\n    \\end{equation*}\nUsing Doob's inequality, we obtain\n    \\begin{equation*}\n    \\begin{aligned}\n\\mathbb{E}\\left[\\left( \\sup_{t\\in[0,T]}\\mathbb{E}[\\sup_{s\\in[0,T]}\\lvert\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{s} - \\mathbb{E}[Y^i_s] \\rvert\\,\\lvert\\, \\mathcal{F}_t^ i] \\right)^2\\right] \\le 4 \\mathbb{E}\\left[\\left(\\sup_{t\\in[0,T]}\\lvert\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{t} - \\mathbb{E}[Y^i_t] \\rvert \\right)^2\\right] \\\\ \\le 8 \\mathbb{E}\\left[\\left(\\frac{1}{n}\\sum_{j=1}^n \\sup_{t\\in[0,T]}\\lvert Y^{j,n}_{t} - Y^j_t\\rvert\\right)^2\\right]+8\\mathbb{E}\\left[\\left(\\sup_{t\\in[0,T]}\\lvert\\frac{1}{n}\\sum_{j=1}^n \\lvert Y^{j}_{t} - \\mathbb{E}[Y^j_t]\\lvert\\right)^2\\right] \\\\ \\le  8\\left[  \\sup_{t\\in[0,T]}\\lvert Y^{i,n}_t - Y^i_t\\rvert^2\\right] + 8\\mathbb{E}[\\Lambda_n],\n    \\end{aligned}\n    \\end{equation*}\n    where the first term of the last inequality  follows from the Cauchy-Schwarz inequality and the exchangeability of the processes $\\{Y^{i,n}\\}_{i=1}^n$ and $\\{Y^i\\}_{i\\geq1}$ (by Proposition \\ref{exchangeability}) and $\\Lambda_n$ is given by \\eqref{Lambda-n}.\n    \nTherefore, we have\n   \\begin{equation*}\n   \\begin{aligned}\n   \t\\mathbb{E}\\left[ \\left\\lvert \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z^n_t - \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z_t\\right\\rvert^2\\right]\\leq 2\\left((1 + \\gamma_1)^2 + 8\\gamma_2^2\\right)\\mathbb{E}\\left[  \\sup_{t\\in[0,T]}\\lvert Y^{i,n}_t - Y^i_t\\rvert^2\\right] + 16\\gamma_2^2\\mathbb{E}[\\Lambda_n].\n   \\end{aligned}\n   \\end{equation*}\n    Thus, thanks to Proposition \\ref{conv-1} and  \\eqref{L-conv}, it holds that\n    \\begin{equation}\\label{conv-mean-sup}\n        \\Lim_{n\\to\\infty}\\mathbb{E}\\left[\\left\\lvert \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z^n_t - \\inf_{0\\leq t\\leq\\hat{\\tau}+\\varepsilon} Z_t\\right\\rvert^2\\right] = 0,\n    \\end{equation}\n    which entails \\eqref{conv-prob}. \n    \n    Let us now focus on the second term on the right hand side of \\eqref{conv-prob-term}. We have\n    \\begin{equation*}\n        \\begin{aligned}\n            \\mathbb{P}\\left(\\hat{\\tau}-\\hat{\\tau}^n>\\varepsilon\\right) &= \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}^n + \\varepsilon} Z_t > 0, Z^n_{\\hat{\\tau}^n} = 0\\right)\\\\\n            & = \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}^n + \\varepsilon} Z_t  - Z_{\\hat{\\tau}^n} > 0, Z^n_{\\hat{\\tau}^n} = 0\\right)\\\\\n            &\\leq \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}^n + \\varepsilon} Z_t  - Z^n_{\\hat{\\tau}^n} > 0\\right)\\\\\n            &\\leq \\mathbb{P}\\left(\\inf_{0\\leq t\\leq\\hat{\\tau}^n + \\varepsilon} Z_t  - \\inf_{0\\leq t\\leq\\hat{\\tau}^n + \\varepsilon} Z^n_{t} > 0\\right)\\\\\n            &\\leq \\mathbb{P}\\left ( \\sup_{t\\in[0,T]}\\lvert Z_t - Z^n_t \\rvert>0\\right).\n        \\end{aligned}\n    \\end{equation*}\n    Now, similarly to the first part of the proof, by combining Assumption \\ref{A1} (ii) with Proposition \\ref{conv-1} we obtain that the sequence of random variables $\\{\\sup_{t\\in[0,T]}\\lvert Z_t - Z^n_t\\rvert\\}_{n\\geq 1}$ converges in probability to zero as $n\\to\\infty$, and thus $\\mathbb{P}\\left(\\hat{\\tau}-\\hat{\\tau}^n>\\varepsilon\\right)\\to 0$ as well.\n\\end{proof}\n\n\\begin{corollary}\\label{conv-os-prob-1}\nWe have, for every $i\\ge 1$,\n\\begin{equation}\\label{BC-1}\n\\lim_{n\\to\\infty}\\mathbb{E}[Y^i_{\\hat{\\tau}^{i,n}}]=\\mathbb{E}[Y^i_{\\hat{\\tau}^{i}}].\n\\end{equation}\nMoreover, up to a subsequence, it holds that \n\\begin{equation}\\label{BC-2}\n\\lim_{n\\to\\infty}\\mathbb{E}\\left[h(Y^{i,n}_{\\hat{\\tau}^{i,n}},\\frac{1}{n}\\sum_{j=1}^n Y^{j,n}_{\\hat{\\tau}^{j,n}})1\\!\\!1_{\\{\\hat{\\tau}^{i,n}<T\\}}+\\xi^i1\\!\\!1_{\\{\n\\hat{\\tau}^{i,n}=T\\}}\\right]=\\mathbb{E}\\left[h(Y^i_{\\hat{\\tau}^i},\\mathbb{E}[Y^i_{\\hat{\\tau}^i}])1\\!\\!1_{\\{\\hat{\\tau}^i<T\\}}+\\xi^i1\\!\\!1_{\\{\\hat{\\tau}^i=T\\}}\\right].\n\\end{equation}\n\\end{corollary}\n\\begin{proof}\n   We derive \\eqref{BC-1} by contradiction. Assume that $\\hat{\\tau}^{i,n}$ converges in probability to $\\hat{\\tau}^{i}$ with $|\\mathbb{E}[Y^i_{\\hat{\\tau}^{i,n}}]-\\mathbb{E}[Y^i_{\\hat{\\tau}^{i}}]|\\ge \\varepsilon >0$ for all $n$. But, then we can extract a subsequence $\\hat{\\tau}^{i,n_k}$ which converges to $\\hat{\\tau}^{i}$ a.s. Since the continuous process  $Y^i$ is in $\\mathcal{S}^2$, by dominated convergence, we arrive at a contradiction.\n   \n   To derive \\eqref{BC-2}, we note that since the process $Y^i$ is continuous and  $\\hat{\\tau}^{i,n}, \\hat{\\tau}^i$  are $\\mathbb{F}^i$-stopping times, it holds that the sequence $(Y^{i,n},\\hat{\\tau}^{i,n})$ converges in probability to $(Y^{i},\\hat{\\tau}^{i})$. Therefore, in view of \\cite{aldous81}, Corollary 16.23, $(\\hat{\\tau}^{i,n}, Y^{i,n}_{\\hat{\\tau}^{i,n}})$ converges in distribution to $(\\hat{\\tau}^{i}, Y^{i}_{\\hat{\\tau}^{i}})$. For each $i\\ge 1$, let $\\{\\hat{\\tau}^{i,n_k}\\}_{k\\geq1}$ be a subsequence of the sequence of stopping times $\\{\\hat{\\tau}^{i,n}\\}_{n\\geq 1}$, which converges a.s. to $\\hat{\\tau}^{i}$. \n   We claim that for every $i\\ge 1$, $\\frac{1}{n_k}\\sum_{j=1}^{n_k} Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}}\\overset{L^1}\\to Y^{i}_{\\hat{\\tau}^{i}}$ as $k\\to \\infty$.\n   Indeed, noting that  $(Y^i,\\tau^i),\\,i=1,2,\\ldots$ are i.i.d., we have\n   $$\\begin{array}{lll}\n   \\mathbb{E}\\left[\\left\\lvert \\frac{1}{n_k}\\sum_{j=1}^{n_k} Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}}- \\mathbb{E}[Y^{i}_{\\hat{\\tau}^{i}}]\\right\\rvert\\right] & \\leq \\mathbb{E}\\left[\\left\\lvert \\frac{1}{n_k}\\sum_{j=1}^{n_k} (Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}}-Y^j_{\\hat{\\tau}^{j,n_k}})\\right\\lvert\\right]+\\frac{1}{n_k}\\sum_{j=1}^{n_k}\\mathbb{E}\\left[\\left\\lvert  Y^j_{\\hat{\\tau}^{j,n_k}}-Y^j_{\\hat{\\tau}^{j}}\\right\\lvert\\right] \\\\ &\\quad + \\mathbb{E}\\left[\\left\\lvert \\frac{1}{n_k}\\sum_{j=1}^{n_k} (Y^j_{\\hat{\\tau}^{j}}-\\mathbb{E}[Y^j_{\\hat{\\tau}^{j}}])\\right\\lvert\\right].\n   \\end{array}\n  $$\n  We have\n  $$\n  \\mathbb{E}\\left[\\left\\lvert \\frac{1}{n_k}\\sum_{j=1}^{n_k} (Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}}-Y^j_{\\hat{\\tau}^{j,n_k}})\\right\\lvert\\right]\\le \\frac{1}{n_k}\\sum_{j=1}^{n_k}\\mathbb{E}\\left[\\underset{t\\in [0,T]}{\\sup}|Y^{j,n_k}_t-Y^j_t|\\right]\\to 0, \\quad k\\to\\infty,\n  $$\n  by the Cesaro Mean Lemma. Moreover, in view of the dominated convergence theorem, for every $j\\ge 1$, $\\mathbb{E}\\left[\\left\\lvert  Y^j_{\\hat{\\tau}^{j,n_k}}-Y^j_{\\hat{\\tau}^{j}}\\right\\lvert\\right] \\to 0$ as $k\\to\\infty$. Thus, again by the Cesaro Mean Lemma, we have \n  $\\frac{1}{n_k}\\sum_{j=1}^{n_k}\\mathbb{E}\\left[\\left\\lvert  Y^j_{\\hat{\\tau}^{j,n_k}}-Y^j_{\\hat{\\tau}^{j}}\\right\\lvert\\right] \\to 0$ as $k\\to\\infty.$\n  \nSince $(Y^i,\\tau^i),\\,i=1,2,\\ldots,$ are i.i.d., the r.v. $Y^i_{\\hat{\\tau}^i},\\,i=1,2,\\ldots$ are i.i.d. By the strong law of large numbers and dominated convergence we have $\\mathbb{E}\\left[\\left\\lvert \\frac{1}{n_k}\\sum_{j=1}^{n_k} (Y^j_{\\hat{\\tau}^{j}}-\\mathbb{E}[Y^j_{\\hat{\\tau}^{j}}])\\right\\lvert\\right]\\to 0$ as $k\\to\\infty$. Therefore, as $k\\to \\infty$, $h(Y^{i,n_k}_{\\hat{\\tau}^{i.n_k}},\\frac{1}{n_k}\\sum_{j=1}^n Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}})1\\!\\!1_{\\{\\hat{\\tau}^{i,n_k}<T\\}}+\\xi^i1\\!\\!1_{\\{\n\\hat{\\tau}^{i,n_k}=T\\}}$ converges almost surely to $h(Y^i_{\\hat{\\tau}^i},\\mathbb{E}[Y^i_{\\hat{\\tau}^i}])1\\!\\!1_{\\{\\hat{\\tau}^i<T\\}}+\\xi^i1\\!\\!1_{\\{\\hat{\\tau}^i=T\\}}$. The claim \\eqref{BC-2} follows by dominated convergence.\n\\end{proof}\n\n\\medskip\n\\begin{proof}[Proof of Theorem \\ref{optimality-tau-i}]\nLet $\\{\\hat{\\tau}^{i,n_k}\\}_{k\\geq 1}$ be a subsequence of the sequence of stopping times $\\{\\hat{\\tau}^{i,n}\\}_{n\\geq1}$, which converges a.s. to $\\hat{\\tau}^{i}$. In view of \\eqref{BC-2} and the optimality of $\\{\\hat{\\tau}^{i,n_k}\\}_{k\\geq 1}$, we have \n\\begin{multline*}\nY_0^i=\\underset{k\\to\\infty}{\\lim}Y_0^{i,n_k}=\\underset{k\\to\\infty}{\\lim}\\mathbb{E}\\left[h(Y^{i,n_k}_{\\hat{\\tau}^{i.n_k}},\\frac{1}{n_k}\\sum_{j=1}^{n_k} Y^{j,n_k}_{\\hat{\\tau}^{j,n_k}})1\\!\\!1_{\\{\\hat{\\tau}^{i,n_k}<T\\}}+\\xi^i1\\!\\!1_{\\{\n\\hat{\\tau}^{i,n_k}=T\\}}\\right] \\\\ =\\mathbb{E}\\left[h(Y^i_{\\hat{\\tau}^i},\\mathbb{E}[Y^i_{\\hat{\\tau}^i}])1\\!\\!1_{\\{\\hat{\\tau}^i<T\\}}+\\xi^i1\\!\\!1_{\\{\\hat{\\tau}^i=T\\}}\\right].\n\\end{multline*}\n\\end{proof}\n\n\\subsection{Extension to the general mean-field case}\\label{ssec-law-dep}\nThe aim of this section is to extend the results we proved in Sections \\ref{sec-existence-uniq} and \\ref{sec-convergence} to the more general case where the performance function depends on the law of the stopped process and not only on its mean. More precisely, we want to solve the OSP\n\\begin{equation}\n\tY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\, \\mathbb{E}\\left[h(Y_{\\tau},\\mathbb{P}_{Y_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right],\n\\end{equation} \nwhere $\\mathbb{P}_{\\zeta}$ denotes the law of the random variable $\\zeta$ under $\\mathbb{P}$. To this end, as in Section \\ref{sec-formulation}, we introduce two families of value-processes: \n\\begin{equation}\\label{Y-i-n-law}\nY^{i,n}_t=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n \\delta_{Y^{j,n}_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right],\\quad i=1,2,\\ldots,n,\n\\end{equation}\nwhere $\\delta_x$ is the Dirac measure centered at $x\\in\\mathbb{R}$, and\n\\begin{equation}\\label{Y-i-law}\nY^{i}_t=\\underset{\\tau\\in \\mathcal{T}^i_t}{\\esssup}\\, \\mathbb{E}\\left[h(Y^{i}_{\\tau},\\mathbb{P}_{Y_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\,|\\,\\mathcal{F}^i_t\\right],\\quad i=1,2,\\ldots.\n\\end{equation}\nSince now $h$ is also a function of  probability measures, we have to modify Assumption \\ref{A1}(ii) but keep \\ref{A1}(i). \n\n\\begin{Assumption}\\label{A2} The coefficients $h$ and $\\{\\xi^i\\}_{i\\geq 1}$ satisfy\n\t\\begin{enumerate}[(i)]\n\t\t\\item for each $i\\ge 1$, $\\xi^i\\in L^2(\\mathcal{F}^i_T)$. Moreover, the $\\xi^i$'s are independent copies of $\\xi$, with $\\xi^1=\\xi$; \n\t\t\\item $h\\colon\\Omega\\times\\mathbb{R}\\times\\mathcal{P}_2(\\mathbb{R})\\to\\mathbb{R}$ \n\t\t\\begin{itemize}\n\t\t\\item[(ii-a)] is Lipschitz w.r.t. $(y,\\mu)$, i.e. there exist two positive constants $\\gamma_1$ and $\\gamma_2$ such that \n\t\t\\begin{equation*}\n\t\t\t\\lvert h(\\omega,y_1,\\mu_1) - h(\\omega,y_2,\\mu_2)\\rvert\\leq \\gamma_1\\lvert y_1 - y_2\\rvert + \\gamma_2\\mathcal{W}_2(\\mu_1,\\mu_2), \n\t\t\\end{equation*}\n\t\tfor any $\\omega\\in\\Omega$, any $y_1,y_2\\in\\mathbb{R}$ and any $\\mu_1,\\mu_2\\in\\mathcal{P}_2(\\mathbb{R})$.\n\t\t\\item[(ii-b)] $h(\\cdot,0,\\delta_0)\\in L^2(\\mathbb{P})$.\n\t\t\\end{itemize}\n\t\\end{enumerate}\n\\end{Assumption}\n\nWith Assumption \\ref{A2} instead of \\ref{A1}, we can recover Theorem \\ref{Y-i-well-def}, Corollary \\ref{opt-i-n} and Theorem \\ref{optimality-tau-i}, as well as all the intermediate results, for this more general framework by using the following inequalities  satisfied by the $2$-Wasserstein distance:\n\\begin{enumerate}\n\t\\item Given two random variables $X,Y \\in L^2(\\mathbb{P})$,\n\t\\begin{equation*}\n\t\t\\mathcal{W}_2^2(\\mathbb{P}_X,\\mathbb{P}_Y)\\leq\\mathbb{E}[\\lvert X - Y\\rvert^2],\n\t\\end{equation*}\n\tand in particular $\\mathcal{W}_2(\\mathbb{P}_X,\\delta_0)\\leq\\mathbb{E}[\\lvert X\\rvert^2]^{\\frac{1}{2}}$;\n\t\\item for any $x,y\\in\\mathbb{R}^n$, \n\t\\begin{equation*}\n\t\t\\mathcal{W}^2_2\\left(\\frac{1}{n}\\sum_{i=1}^n\\delta_{x^i},\\frac{1}{n}\\sum_{i=1}^n\\delta_{y^i}\\right)\\leq\\frac{1}{n}\\sum_{i=1}^n\\lvert x^i - y^i\\rvert^2.\n\t\\end{equation*}\n\tIn particular, $\\mathcal{W}^2_2\\left(\\frac{1}{n}\\sum_{i=1}^n\\delta_{x^i},\\delta_{0}\\right)\\leq\\frac{1}{n}\\sum_{i=1}^n\\lvert x^i\\rvert^2$.\n\\end{enumerate}\nThis inequality allows to show that the process $t\\mapsto h(Y_t^{i,n},\\frac{1}{n}\\sum_{j=1}^n \\delta_{Y^{j,n}_{t}})$ is continuous a.s., a condition needed to derive a similar result as Corollary \\ref{opt-i-n}.\n\nFor the convergence results we also need the following law of large numbers (see e.g. Lemma 4.1 in \\cite{djehichedumitrescuzeng} for a proof):\n\\begin{lemma} \n\tLet $Y^1,Y^2,\\dots,Y^n$ be solutions to the system \\eqref{Y-i-law} (notice that they are independent and equally distributed with common probability law $Q$). Then, \n\t\\begin{equation*}\n\t\t\\Lim_{n\\to\\infty}\\mathbb{E}\\left[\\widetilde{\\mathcal{W}}^2_2\\left(\\frac{1}{n}\\sum_{i=1}^n\\delta_{Y^i},Q\\right)\\right] = 0,\n\t\\end{equation*} \n where $\\widetilde{\\mathcal{W}}_2$ is the Wasserstein metric on the space of probability measure on the space $C([0,T]; \\mathbb{R})$ endowed with the supremum norm.\n\\end{lemma} \n\n\\section{Optimal stopping of mean-field SDEs}\\label{ssec-diffusion}\nLet us consider the following mean-field extension of the standard optimal stopping problem of one-dimensional a diffusion process $X$.\nFind a stopping time $\\tau^*$ such that \n\\begin{equation}\\label{Y-0-d}\n\\tau^*=\\underset{\\tau\\in \\mathcal{T}_0}{\\arg\\max}\\, \\mathbb{E}\\left[h(X_{\\tau},\\mathbb{P}_{X_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right],\n\\end{equation}\nwhere $X$ is a diffusion process of mean-field type\n\\begin{equation}\\label{mf-sde}\nX_t=X_0+\\int_0^tb(s,X_s, \\mathbb{P}_{X_{s}})ds+\\int_0^t\\sigma(s,X_s,\\mathbb{P}_{X_{s}})dW_s,\\quad t\\in [0,T],\n\\end{equation}\nwhere $X_0$ is square-integrable and independent of $W$. Here, $\\mathcal{F}_t$ is the $\\mathbb{P}$-completion of $\\sigma(X_0,W_s,s\\le t)$.\n\nThe OSP associated with the MF-SDE \\eqref{mf-sde} is\n\\begin{equation}\\label{Y-0-sde}\nY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\esssup}\\, \\mathbb{E}\\left[h(X_{\\tau}, \\mathbb{P}_{X_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\n\nThe particle system to use to solve this OSP is simply the i.i.d. processes $\\{X^i\\}_{i\\geq1}$ which solve \n\\begin{equation}\\label{mf-sde-i}\nX^i_t=X^i_0+\\int_0^tb(s,X^i_s, \\mathbb{P}_{X^i_{s}})ds+\\int_0^t\\sigma(s,X^i_s,\\mathbb{P}_{X^i_{s}})dW^i_s,\\quad t\\in [0,T],\n\\end{equation}\n and vector $(X^{1,n},\\ldots,X^{n,n})$ of $n$ weakly interacting diffusions defined by\n\\begin{equation}\\label{sde-i-n}\nX^{i,n}_t=X_0^{i}+\\int_0^tb(s,X^{i,n}_s, \\frac{1}{n}\\sum_{j=1}^n \\delta_{X^{j,n}_s})ds+\\int_0^t\\sigma(s,X^{i,n}_s, \\frac{1}{n}\\sum_{j=1}^n \\delta_{X^{j,n}_s})dW^i_s,\\quad t\\in[0,T],\n\\end{equation}\nwhere $(X^1_0,W^1)=(X_0,W)$, which implies that $X^1=X$, and $(X_0^i,W^i)$ are independent and equally distributed.\n\nTo the system \\eqref{mf-sde-i} we associate the OSP\n\\begin{equation}\\label{Y-i-sde}\nY^{i}_0=\\underset{\\tau\\in \\mathcal{T}^i_0}{\\esssup}\\, \\mathbb{E}\\left[h(X^{i}_{\\tau},\\mathbb{P}_{X^i_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right],\\quad i\\ge 1,\n\\end{equation}\nand the associated family of optimal stopping times \n\\begin{equation}\\label{tau-i-sde}\n    \\hat{\\tau}^{i}=\\inf\\left\\{t\\ge 0, \\,\\, Y^{i,n}_t=h(X^{i}_{t},\\mathbb{P}_{X^i_t})\\right\\}\\wedge T.\n    \\end{equation}\nMoreover, to the system \\eqref{sde-i-n} we associate the family of  OSPs\n\\begin{equation}\\label{Y-i-n-sde}\nY^{i,n}_0=\\underset{\\tau\\in \\mathcal{T}^i_0}{\\esssup}\\, \\mathbb{E}\\left[h(X^{i,n}_{\\tau},\\frac{1}{n}\\sum_{j=1}^n \\delta_{X^{j,n}_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi^i1\\!\\!1_{\\{\\tau=T\\}}\\right],\\quad i=1,2,\\ldots,n,\n\\end{equation}\n and the associated family of optimal stopping times \n\\begin{equation}\\label{tau-i-n-sde}\n    \\hat{\\tau}^{i,n}=\\inf\\left\\{t\\ge 0, \\,\\, Y^{i,n}_t=\\mathbb{E}[h(X^{i,n}_{t},\\frac{1}{n}\\sum_{j=1}^n \\delta_{X^{j,n}_{t}})\\, \\lvert\\,\\mathcal{F}^i_t]\\right\\}\\wedge T.\n    \\end{equation}\n\nProvided that $b$ and $\\sigma$ satisfy conditions which yield (see e.g. Theorem 3 in \\cite{meleard08}):\n\\begin{Assumption}\\label{A3}\\quad\n\\begin{itemize}\n\\item[(1)] Each of the $X^i$'s and $X^{i,n}$'s is in $\\mathcal{S}_c^2$,\n\\medskip\n    \\item[(2)] $\n\\underset{n\\to\\infty}{\\lim}\\mathbb{E}\\left[\\underset{t\\in[0,T]}{\\sup}|X^{i,n}_t-X^i_t|^2\\right]=0,\\quad i\\ge 1,$\n\\end{itemize}\n\\end{Assumption}\nbased on the above results, we obtain the following \n\\begin{theorem}\nUnder Assumptions \\ref{A2} and \\ref{A3}, the hitting time\n\\begin{equation*}\n\\tau^*=\\inf \\{s\\ge 0;\\,\\,  Y_s=h(X_s,\\mathbb{P}_{X_s})\\}\\wedge T\n\\end{equation*}\nsatisfies\n\\begin{equation*}\n\\tau^*=\\underset{\\tau\\in \\mathcal{T}_0}{\\arg\\max}\\, \\mathbb{E}\\left[h(X_{\\tau},\\mathbb{P}_{X_{\\tau}})1\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation*}\n\\end{theorem}\n\n\\subsection{Optimal stopping of the variance of a mean-field diffusion}\nFor $h(\\omega,x,\\mu):=(x-\\int_{\\mathbb{R}^d} y \\mu(d y))^2$ and $\\xi\\ge 0$, we obtain an OSP of the variance:\n\\begin{equation}\\label{Y-0-v}\nY_0=\\underset{\\tau\\in \\mathcal{T}_0}{\\sup}\\,\\mathbb{E}\\left[\\left(X_{\\tau}-\\mathbb{E}[X_{\\tau}]\\right)^21\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\nSince $h$ is not Lipschitz continuous we cannot directly apply the above results to claim that the hitting time\n\\begin{equation}\\label{var-tau}\n\\tau^*=\\inf \\{s\\ge 0;\\,\\,  Y_s=(X_s-\\mathbb{E}[X_s])^2\\}\\wedge T\n\\end{equation}\nsatisfies\n\\begin{equation}\\label{var-tau-1}\n\\tau^*=\\underset{\\tau\\in \\mathcal{T}_0}{\\arg\\max}\\, \\,\\mathbb{E}\\left[\\left(X_{\\tau}-\\mathbb{E}[X_{\\tau}]\\right)^21\\!\\!1_{\\{\\tau<T\\}}+\\xi1\\!\\!1_{\\{\\tau=T\\}}\\right].\n\\end{equation}\n\n\\medskip We note that when $X$ is one of the Markov processes considered in \\cite{pedersen11}, the stopping region defined by $\\tau^*$ is the same as the one given in Theorems 3.2, 4.1 and 5.1 in \\cite{pedersen11}.\n \n \\medskip \n Below, we provide a proof that the hitting time $\\tau^*$ defined by \\eqref{var-tau} satisfies \\eqref{var-tau-1}. To this end, using the notation above, we need to show similar results as Proposition \\ref{conv-os-prob} and Corollary \\ref{conv-os-prob-1} which follow  provided that \n\\begin{equation}\\label{var-ex-1}\n\\underset{n\\to\\infty}{\\lim}\\mathbb{E}\\left[\\underset{t\\in[0,T]}{\\sup}\\lvert Y^{1,n}_{t}- Y_{t}\\lvert\\right]=0,\\qquad \\underset{n\\to\\infty}{\\lim}\\mathbb{E}\\left[\\underset{t\\in[0,T]}{\\sup}\\lvert Z^{n}_{t}- Z_{t}\\lvert\\right]=0,\n\\end{equation}\nwhere $Z^n$ and $Z$ are defined as in \\eqref{Z} and\n\\begin{equation}\\label{Y-i-n-example}\nY^{1,n}_t=\\underset{\\tau\\in \\mathcal{T}^1_t}{\\esssup}\\, \\mathbb{E}\\left[(X^{1,n}_{\\tau}-\\frac{1}{n}\\sum_{j=1}^nX^{j,n}_{\\tau})^2\\, \\lvert\\,\\mathcal{F}_t\\right],\\quad Y_t=\\underset{\\tau\\in \\mathcal{T}_t}{\\esssup}\\, \\mathbb{E}\\left[(X_{\\tau}-\\mathbb{E}[X_{\\tau}])^2\\, \\lvert\\,\\mathcal{F}_t\\right].\n\\end{equation}\nIn view of the proofs of Propositions \\ref{conv-1} and \\ref{conv-os-prob}, the limits \\eqref{var-ex-1} hold provided that\n\\begin{equation}\\label{var-ex-2}\n\\underset{n\\to\\infty}{\\lim}\\mathbb{E}\\left[\\underset{t\\in[0,T]}{\\sup}\\lvert \\mathbb{E}[(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t})^2\\, \\lvert\\,\\mathcal{F}_t]-(X_t-\\mathbb{E}[X_t])^2\\lvert \\right]=0.\n\\end{equation}\nLet us show \\eqref{var-ex-2}. We have\n\\begin{equation*}\n\\begin{aligned}\n    &\\underset{t\\in[0,T]}{\\sup} \\lvert \\mathbb{E}[(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t})^2\\, \\lvert\\,\\mathcal{F}_t]-(X_t-\\mathbb{E}[X_t])^2\\lvert \\\\\n    &= \\underset{t\\in[0,T]}{\\sup} \\lvert \\mathbb{E}[((X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) - (X_t-\\mathbb{E}[X_t]))  ((X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) + (X_t-\\mathbb{E}[X_t])) \\lvert\\,\\mathcal{F}_t]\\lvert\\\\\n    &\\leq \\underset{t\\in[0,T]}{\\sup}  \\mathbb{E}[\\underset{s\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{s}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{s}) - (X_s-\\mathbb{E}[X_s])\\rvert\\lvert(X^{1,n}_{s}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{s}) + (X_s-\\mathbb{E}[X_s])\\rvert \\lvert\\,\\mathcal{F}_t]\\\\\n    &\\leq \\underset{t\\in[0,T]}{\\sup}  \\left(\\mathbb{E}[\\underset{s\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{s}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{s}) - (X_s-\\mathbb{E}[X_s])\\rvert^2\\lvert\\,\\mathcal{F}_t]\\right)^{\\frac{1}{2}}\\\\\n    &\\quad\\quad \\underset{t\\in[0,T]}{\\sup}\\left(\\mathbb{E}[\\underset{s\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{s}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{s}) + (X_s-\\mathbb{E}[X_s])\\rvert^2\\lvert\\,\\mathcal{F}_t]\\right)^{\\frac{1}{2}},\n\\end{aligned}\n\\end{equation*}\nwhere in the last inequality we used the Cauchy-Schwarz inequality for the conditional expectation. Then, again by Doob's inequalities, we obtain\n\\begin{equation*}\n\\begin{aligned}\n     &\\mathbb{E}\\left[\\underset{t\\in[0,T]}{\\sup}\\lvert \\mathbb{E}[(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t})^2\\, \\lvert\\,\\mathcal{F}_t]-(X_t-\\mathbb{E}[X_t])^2\\lvert\\right]\\\\\n     &\\leq 4 \\left(\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) - (X_t-\\mathbb{E}[X_t])\\rvert^2]\\right)^\\frac{1}{2}\\\\\n     &\\quad\\quad \\left(\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) + (X_t-\\mathbb{E}[X_t])\\rvert^2]\\right)^\\frac{1}{2}\\\\ & \\qquad\\qquad\\qquad\\qquad\\leq C \\left(\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) - (X_t-\\mathbb{E}[X_t])\\rvert^2]\\right)^{1\/2},\n\\end{aligned}\n\\end{equation*}\nwhere in the last inequality we have used the fact that the term $\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) + (X_t-\\mathbb{E}[X_t])\\rvert^2]$ is bounded by a constant $C$ which only depends on the  $\\mathcal{S}^2$-norm of $X$, due to Assumption \\ref{A3} (ii) and the exchangeability of the sequence $\\{X^{j,n}\\}^n_{j=1}$. Furthermore, we have\n\\begin{equation*}\n\\begin{aligned}\n     &\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert(X^{1,n}_{t}-\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}) - (X_t-\\mathbb{E}[X_t])\\rvert^2] \\\\ &\\le 2 \\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert X^{1,n}_{t}-X_t\\lvert^2]  +2\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert\\frac{1}{n}\\sum_{j=1}^n X^{j,n}_{t}-\\mathbb{E}[X_t])\\rvert^2]\\\\ & \\le 2 \\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert X^{1,n}_{t}-X_t\\lvert^2] + 4\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert\\frac{1}{n}\\sum_{j=1}^n (X^{j,n}_{t}-X^{j}_{t})\\rvert^2] +4\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert\\frac{1}{n}\\sum_{j=1}^n (X^{j}_{t}-\\mathbb{E}[X_t])\\rvert^2].\n\\end{aligned}\n\\end{equation*}\nAgain, by Assumption \\ref{A3} (ii) and the exchangeability of the process $\\{X^{j,n}-X^j\\}^n_{j=1}$,  the first two terms in the last inequality  go 0 as $n$ goes to infinity. Now,  since the processes $\\{X^j\\}_{j\\geq1}$ are i.i.d. $C([0,T];\\mathbb{R})$-valued random variables with finite second moments (since they are in $\\mathcal{S}^2$), by the strong law of large numbers for Banach-valued r.v. (see Theorem 4.1.1 in \\cite{padgett-taylor06}) and dominated convergence, it holds that\n\\begin{equation*}\n    \\underset{n\\to\\infty}{\\lim}\\mathbb{E}[\\underset{t\\in[0,T]}{\\sup}\\lvert\\frac{1}{n}\\sum_{j=1}^n (X^{j}_{t}-\\mathbb{E}[X_t])\\rvert^2]=0.\n\\end{equation*}\nThis finishes the proof of \\eqref{var-ex-2}.\n\n\n\n\\medskip\n\n\n\\bibliographystyle{plain}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\n\n\\subsection{Isoperimetric problems on the Hamming cube}\n\nThis paper deals with {\\it discrete isoperimetric inequalities} on graphs. Let a graph $G = (V,E)$ be given, and let $A \\subseteq V$ be a set of vertices in $G$. An isoperimetric inequality addresses the question of how small the boundary $\\partial A$ of $A$ can be, given the cardinality of $A$, by lower bounding the size of $\\partial A$ by an appropriate function of $|A|$.  There are various ways do define and measure the boundary of the set, two salient examples being the {\\it vertex boundary} of $A$, consisting of\nthe vertices of $A$ which have neighbors outside $A$, and the {\\it edge\nboundary} of $A$, which is the set of edges crossing from $A$ to its\ncomplement. In both these cases, the size of the boundary is the cardinality of the corresponding set of vertices (or edges). However, one can also think of examples of a somewhat different nature, some of which will be considered below.\n\nIn this paper we deal with\na specific graph - the Hamming cube $\\{0,1\\}^n$. This is a graph with $2^n$ vertices\nindexed by boolean strings of length $n$. Two vertices are\nconnected by an edge if they differ only in one coordinate. The\nmetric defined by this graph is called the Hamming distance. In other words, two vertices $x$\nand $y$ are at distance $d$ if they differ in $d$ coordinates. Let us define two important families of subsets of $\\{0,1\\}^n$. A {\\it Hamming ball} is a ball in the Hamming metric. A {\\it subcube} is a\nsubset of the vertices obtained by fixing the value in some of the\ncoordinates. The number of fixed coordinates is called the co-dimension of\nthe subcube. It turns out \\cite{Harper,Harp, Hart} that a Hamming ball has the smallest vertex boundary for its\nsize, and a subcube has the smallest edge boundary.\n\nWe will consider several versions of the edge-isoperimetric inequality\nfor the cube. Let $|\\partial A|$ be the cardinality of the edge\nboundary of $A$, normalized, for convenience, by $2^{n-1}$.\nThe standard version of the inequality \\cite{Harp, Hart} states that for\nany subset $A \\subseteq \\{0,1\\}^n$ we have\n\\footnote{We use natural logarithms throughout the paper.}\n\\begin{equation}\n\\label{set_isop}\n|\\partial A|~ \\ge~ \\frac{2}{\\log 2} \\cdot \\frac{|A|}{2^n} \\log\n\\frac{2^n}{|A|}.\n\\end{equation}\nThis is tight if $A$ is a subcube of an arbitrary co-dimension $0\\le t\n\\le n$.\n\n\n\\noindent {\\it A logarithmic Sobolev inequality} \\cite {Gr} establishes a relation\nbetween two (appropriately defined) notions: the variation of a function\nand its entropy. For a function $f$ on the Hamming cube $\\{0,1\\}^n$ endowed\nwith the uniform measure, this\ntranslates to\n\\begin{equation}\n\\label{ineq_Sob}\n\\mathbb E_x \\sum_{y \\sim x} (f(x) - f(y))^2 \\ge 2 \\cdot Ent\\(f^2\\) = 2\\cdot \\(\\mathbb E f^2\n\\log f^2 - \\mathbb E f^2 \\log \\mathbb E f^2\\)\n\\end{equation}\nIt is useful to view (\\ref{ineq_Sob}) as an isoperimetric\ninequality. In particular (\\cite{FS}), it implies a functional form of the\nedge-isoperimetric inequality (\\ref{set_isop}). For a non-zero\nfunction $f:~\\{0,1\\}^n \\rightarrow \\mathbb R$ holds\n\\begin{equation}\n\\label{func_isop}\n\\mathbb E_x \\sum_{y \\sim x} (f(x) - f(y))^2 \\ge 2 \\cdot \\mathbb E f^2 \\log \\frac{\\mathbb E\n  f^2}{\\mathbb E^2 |f|}\n\\end{equation}\nChoosing $f$ in (\\ref{func_isop}) to be the\ncharacteristic function of a subset $A$ of the cube, we recover the\nedge-isoperimetric inequality (\\ref{set_isop}) with a somewhat worse\nconstant on the right hand side, replacing $2\/\\log 2$ with $2$. On the\nother hand, there are examples (\\cite{FS}) of real-valued functions $f$ for which the constant $2$ in (\\ref{func_isop}) is tight.\n\nLet us now briefly sketch the results in this paper, before discussing them in fuller detail in subsection~\\ref{subsec:res} below. We will show that the constant $C = 2$ at the right hand side of the logarithmic Sobolev inequality (\\ref{ineq_Sob}) can be replaced by a function $C(\\rho)$ depending on $\\rho = \\frac1n \\frac{Ent\\(f^2\\)}{\\mathbb E f^2}$. The function $C(\\rho)$ will be given explicitly. It is a convex function which increases from $2$ to $2\/\\log 2$ as $\\rho$ goes from $0$ to $\\log 2$. We will also observe that $C(\\rho)$ gives the correct dependence on $\\rho$, describing functions on $\\{0,1\\}^n$ for which the modified inequality is tight.\n\nThis will imply a corresponding modification of the functional isoperimetric inequality (\\ref{func_isop}). Here, as well as in (\\ref{ineq_Sob}), it will be possible to replace the constant $C = 2$ by the function $C(\\rho)$.\n\nThe modified version of (\\ref{func_isop}) is used to derive a discrete analogue of the classical Faber-Krahn inequality\nin $\\mathbb R^n$ for small subsets of the Hamming cube $\\{0,1\\}^n$, answering\\footnote{Up to an error which becomes negligible as the dimension of the cube grows.} a question from \\cite{FT}. We will introduce, following \\cite{FT}, the notion of a fractional edge-boundary size of a subset of $\\{0,1\\}^n$, and show Hamming balls of radius at most $n\/2 - \\tilde{\\Omega}\\(n^{3\/4}\\)$ to be sets with (asymptotically) the smallest fractional edge-boundary for their size.\n\nThe question in \\cite{FT} is a part of an approach to obtain upper bounds on the cardinality of binary error-correcting codes. We will now take a brief detour to the theory of error-correcting codes in order to provide a natural framework in which this question can be discussed.\n\n\\subsection{Bounds on binary error correcting codes}\n\nA binary error-correcting code of length $n$ and minimal distance $d$\nis a subset $C$ of the boolean cube $\\{0,1\\}^n$ such that the distance between\nany two distinct points in $C$ is at least $d$. In other words, the\npoints in $C$ can be taken as centers in a disjoint packing of Hamming\nballs of raduis $\\lceil \\frac{d-1}{2} \\rceil$ into $\\{0,1\\}^n$.\n\nThe question of the maximal possible cardinality $A(n,d)$ of such a packing is\none of the central questions of coding theory. The best known upper\nbounds on $A(n,d)$ were obtained in \\cite{MRRW} following Delsarte's\nlinear programming approach \\cite{dels}. The analysis in \\cite{MRRW}\nuses theory of orthogonal polynomials and is somewhat complicated.\n\nA different approach to obtain some of the bounds in \\cite{MRRW}\nwas presented in \\cite{FT}. The appeal of\nthis new approach is in showing the possibility to work with Delsarte's linear\ninequalities without resorting to language and tools of orthogonal\npolynomial theory. In particular, \\cite{FT} establishes a connection\nbetween packing bounds and isoperimetric questions in the Hamming\ncube.\nTo describe this connection, we need a notion of the {\\it fractional\nedge boundary size} of a subset of\nthe cube \\footnote{This is a reformulation of a closely related notion of the maximal eigenvalue of\na subset introduced in \\cite{FT}.}.\n\nFor $A \\subseteq \\{0,1\\}^n$, the fractional edge boundary size of $A$ is defined as\n\\begin{equation}\n\\label{dfn:frac-bound}\n|\\partial^* A| = \\min\\left\\{\\mathbb E_x \\sum_{y\\sim x} (f(x)-f(y))^2:~\\mbox{supp}(f) \\subseteq\nA,~\\mathbb E f^2 = \\frac{|A|}{2^n}\\right\\}\n\\end{equation}\nThe right hand side of this definition computes a minimum of the variation of $f$\nover a certain family of functions. Note that this family contains the characteristic\nfunction of $A$ whose variation equals the (normalized) cardinality of the edge boundary $\\partial A$.\nConsequently, the fractional boundary of $A$ is at most as large as its boundary.\n\nThe following result is proved in \\cite{NS, NS1}, following the approach of \\cite{FT}. Let us mention that this claim was proved in \\cite{FT} for an important special case of linear codes.\n\n\\begin{theorem}\n\\label{thm:ns}\nLet $A$ be a subset of the boolean cube $\\{0,1\\}^n$ such that\n$$\n|\\partial^* A| \\le (2d+1) \\cdot \\frac{|A|}{2^{n-1}}\n$$\nLet $C$ be a binary error-correcting code with minimal distance $d$. Then\n$$\n|C| \\le n |A|\n$$\n\\end{theorem}\n\nThis suggests a way to obtain upper bounds for codes by finding\nsubsets of the cube with a small fractional boundary. Natural\ncandidates to try are the isoperimetric sets, that is Hamming balls\nand subcubes. Their fractional boundaries are analyzed in\n\\cite{FT}. It turns out that among these two options, a Hamming ball has the smaller fractional\nedge boundary. Note that this pinpoints an intriguing difference between\nthe notions of the fractional edge-boundary and that of the 'ordinary' edge-boundary, for which the subcubes are the optimal sets.\n\nLet $B$ denote a Hamming ball of radius $r$. It is shown in \\cite{FT} that\n\\begin{equation}\n\\label{ineq:ball_bound}\n|\\partial^* B | \\le 4\\(\\frac n2 - \\sqrt{r(n-r)} +o(n)\\) \\cdot \\frac{|B|}{2^n}\n\\end{equation}\nCombined with Theorem~\\ref{thm:ns}, this shows that a\nbinary error-correcting code with minimal distance $d$ is at most as large, up to\nnegligible multiplicative factors, as a Hamming ball of radius $r =\nn\/2 - \\sqrt{d(n-d)}$. This provides an alternative proof of the {\\it first\nlinear programming bound} for binary codes \\cite{MRRW}.\n\nThis concludes our detour into coding theory. We are now ready to state the isoperimetric problem of \\cite{FT}.\n\n\\subsection{An isoperimetric problem for the Hamming cube}\nIn order to obtain the best possible bounds on codes via Theorem~\\ref{thm:ns}, we need to find subsets of the Hamming cube with the smallest possible fractional edge-boundary. In particular, an existence of subsets whose fractional boundary is noticeably smaller than that of Hamming balls of the same cardinality, would imply an improvement on the best currently known bounds. This naturally leads to the following questions \\cite{FT}\n\n{\\bf A fractional edge-isoperimetric problem for the Hamming cube}:\n\\begin{itemize}\n\\item\nWhat is the smallest possible fractional\nboundary of a subset of $\\{0,1\\}^n$ of a given cardinality?\n\\item\nWhich sets have the smallest fractional boundaries?\n\\end{itemize}\n\nThese questions were the starting point of our investigation. Before describing our results, let us mention a connection to the classical Faber-Krahn inequality in $\\mathbb R^n$, as pointed out in \\cite{FT}.\n\nFirst, here is a brief description of the Euclidean space inequality, following \\cite{Chavel}.\nFor an open set $\\Omega$ in $\\mathbb R^n$, consider the functional\n\\begin{equation}\nF[\\phi] = \\frac{\\|grad ~\\phi\\|^2_2}{\\|\\phi\\|^2_2}\n\\label{cont_fk}\n\\end{equation}\nwhere $\\phi$ ranges over smooth functions supported in $\\Omega$, and\nthe associated infimum\n$\n\\lambda^*(\\Omega) = inf_{\\phi} F[\\phi]\n$.\n\n$\\lambda^*(\\Omega)$ is referred to as the fundamental tone of\n$\\Omega$. The Faber-Krahn inequality states that among all sets\n$\\Omega$ of the same measure, Euclidean ball has the minimal\nfundamental tone.\n\nIn the discrete setting of the Hamming cube, a reasonable\ninterpretation of (\\ref{cont_fk}) is to consider the functional\n$$\nF[f] = \\frac{\\mathbb E_x \\sum_{y\\sim x} (f(x) - f(y))^2}{\\mathbb E f^2}\n$$\nwhere $f$ ranges over functions supported in a subset $A$ of $\\{0,1\\}^n$. In\nour terminology, the ``fundamental tone'' of $A$ is\n$$\n\\lambda^*(A) = \\min_f F[f] = \\frac{2^n}{|A|} \\cdot |\\partial^* A|\n$$\nHence, the set with the smallest fractional boundary for its size has the minimal fundamental tone, and vice versa.\n\nFollowing \\cite{FT} we will refer to the fractional edge-isoperimetric\nproblem as the discrete Faber-Krahn problem for the Hamming cube.\n\n\\subsection{Main results}\n\\label{subsec:res}\nOur main technical result is a modified version of the logarithmic Sobolev inequality (\\ref{ineq_Sob}). Let $H(x) = -x\\log x - (1-x) \\log(1-x)$ be the \"natural\" (i.e., using natural logarithms) entropy function.\n\\begin{theorem}\n\\label{thm:log-Sobolev}\n\\begin{itemize}\n\\item\nLet $f:~\\{0,1\\}^n \\rightarrow \\mathbb R$ be a non-zero function, and let $\\rho = \\frac 1n \\frac{Ent\\(f^2\\)}{\\mathbb E f^2}$. Then\n\\begin{equation}\n\\label{ineq:l_sob}\n\\mathbb E_x \\sum_{y \\sim x} (f(x) - f(y))^2 \\ge C(\\rho) \\cdot Ent\\(f^2\\),\n\\end{equation}\nwhere\n$$\nC(x) = \\frac{4}{x} \\cdot \\(\\frac12 - \\sqrt{H^{-1}(\\log 2 - x)\\Big (1 -\n  H^{-1}(\\log 2 - x)\\Big )}\\)\n$$\n\\item\nThe function $C(\\cdot)$ is an increasing convex function, taking $[0, \\log 2]$ to\n$[2,2\/\\log 2]$.\n\\end{itemize}\n\\end{theorem}\n\nInequality (\\ref{ineq:l_sob}) is tight in\nthe following sense: for each $\\rho \\in [0, \\log 2]$ there exists a non-constant\nfunction $f = f_{\\rho}$ such that $Ent\\(f^2\\) \\ge \\rho n \\mathbb E f^2$ and\n\\begin{equation}\n\\label{ineq:sob-tight}\n\\mathbb E_x \\sum_{y \\sim x} (f(x) - f(y))^2 \\le (1 + o_n(1)) \\cdot C(\\rho)\n\\cdot Ent\\(f^2\\)\n\\end{equation}\nThis follows from the tightness of inequality (\\ref{ineq:fk}) below (see the second part of Theorem~\\ref{thm:fk}), since that inequality is a corollary of (\\ref{ineq:l_sob}). The fact that (\\ref{ineq:fk}) is tight for Hamming balls follows from (\\ref{ineq:ball_bound}). The functions $f_{\\rho}$ are the minimal variation functions supported on a Hamming ball of an appropriate radius. They are constructed explicitly in \\cite{FT}.\n\nTheorem~\\ref{thm:log-Sobolev} together with the observation $Ent\\(f^2\\) \\ge \\mathbb E f^2 \\log \\frac{\\mathbb E f^2}{\\mathbb E^2 |f|}$ (\\cite{FS}), implies a corresponding modification of the functional isoperimetric inequality (\\ref{func_isop}).\n\\begin{corollary}\n\\label{cor:ineq:isop}\n\\begin{equation}\n\\label{ineq:isop}\n\\mathbb E_x \\sum_{y \\sim x} (f(x) - f(y))^2 \\ge C(\\rho) \\cdot \\mathbb E f^2 \\log,\n\\frac{\\mathbb E f^2}{\\mathbb E^2 |f|}\n\\end{equation}\n\\end{corollary}\nwhere $\\rho = \\frac 1n \\log \\frac{\\mathbb E f^2}{\\mathbb E^2 |f|}$. Inequality (\\ref{ineq:isop}) is tight in the same sense and for the same reasons (\\ref{ineq:sob-tight}) is tight.\n\nLet us briefly discuss this inequality. It implies, in particular, that as the ratio $\\frac{\\mathbb E f^2}{\\mathbb E^2 f}$ grows (the function $f$ becomes less \"flat\") its edge-isoperimetric constant approaches the isoperimetric constant $C = \\frac{2}{\\log 2}$ in the edge-isoperimetric inequality (\\ref{func_isop}) for $0$-$1$ functions. One possible partial explanation for this phenomenon is that, for functions supported on a small set $A \\subseteq \\{0,1\\}^n$, the main contribution to the variation $\\mathbb E_x \\sum_{y\\sim x} (f(x) - f(y))^2$ is likely to come from edges $(x,y)$ which belong to the edge-boundary of $A$.\n\nIt is now straightforward to derive the fractional edge-isoperimetric inequality (\\ref{ineq:fk}) from Corollary~\\ref{cor:ineq:isop}.\nLet $f$ be a function supported on a subset $A$ of $\\{0,1\\}^n$. Then, by the Cauchy-Schwarz inequality, $\\frac{\\mathbb E f^2}{\\mathbb E^2 f} \\ge \\frac{2^n}{|A|}$. Since the function $C(\\cdot)$ is monotone, we have\n$$\n\\mathbb E_x \\sum_{y\\sim x} (f(x)-f(y))^2 \\ge C\\(\\frac 1n \\log \\frac{2^n}{|A|}\\) \\cdot \\log \\frac{2^n}{|A|} \\cdot \\mathbb E f^2\n$$\nRecalling the definition of the fractional edge boundary (\\ref{dfn:frac-bound}), and substituting the explicit expression for $C(\\cdot)$, gives (\\ref{ineq:fk}).\n\nThe inequality (\\ref{ineq:fk}), together with the second part of Theorem~\\ref{thm:fk},\nprovide an asymptotic solution to the Faber-Krahn problem for the Hamming cube, at least in the range of interest to the coding theory. It turns out that, up to an error which becomes negligible as the dimension $n$ grows, Hamming balls of radius $0 \\le r \\le \\frac n2 -  o(n)$ are the sets with the smallest fractional boundary (fundamental tone) for their size.\n\nFrom the viewpoint of coding theory, this implies that Theorem~\\ref{thm:ns} cannot lead to an improvement on the best currently known bounds for binary codes \\cite{MRRW}. Let us briefly discuss one implication of this fact. The bounds in \\cite{MRRW} are obtained following Delsarte's linear programming approach, and there are claims in coding theory (\\cite{BJ,NS}) which seem to indicate that these are the best bounds attainable with this approach. Since Theorem~\\ref{thm:ns} is derived within the same linear programming framework, inequality (\\ref{ineq:fk}) may be interpreted as an additional evidence in this direction\\footnote{and it is not, in this sense, very surprising.}. It seems worthwhile to point out that, in this manner, the coding theory provides both the question prompting this investigation and an indication of what the answer might be, by suggesting the putative optimality of Hamming balls for the Faber-Krahn problem.\n\n\\begin{theorem}\n\\label{thm:fk}\n\\begin{itemize}\n\\item\nLet $H(x) = -x \\log x - (1-x) \\log(1-x)$ be the entropy function. Then for any subset $A$ of $\\{0,1\\}^n$ holds\n\\begin{equation}\n\\label{ineq:fk}\n|\\partial^* A| \\ge 4n \\(\\frac12 - \\sqrt{H^{-1}\\(\\frac{\\log\n    |A|}{n}\\)\\(1 - H^{-1}\\(\\frac{\\log |A|}{n}\\)\\)}\\) \\cdot \\frac{|A|}{2^n}\n\\end{equation}\n\\item\nOn the other hand, let $B$ be a Hamming ball. Then\n$$\n|\\partial^* B| \\le 4n \\(\\frac12 - \\sqrt{H^{-1}\\(\\frac{\\log\n    |B|}{n}\\)\\(1 - H^{-1}\\(\\frac{\\log |B|}{n}\\)\\)} +o_n(1)\\) \\cdot \\frac{|B|}{2^n}\n$$\n\\end{itemize}\n\\end{theorem}\n\nThe second part of this theorem is due to \\cite{FT}. It follows from (\\ref{ineq:ball_bound}) and the fact that the cardinality of a Hamming ball of radius $r$ is at least $\\exp\\{n H\\(\\frac{r}{n}\\) - o(n)\\}$ \\cite{vLint}.\n\nThe bound in (\\ref{ineq:fk}) is not very good for balanced subsets $A$, for which $\\frac{\\log |A|}{n}$ is close to $\\log 2$. For instance, for $|A| = 2^{n-1}$, the bound gives $|\\partial^* A| \\ge \\log 2$. On the other hand, it is not hard to see that the correct bound in this case is $|\\partial^* A| \\ge 1$. Equality is attained on a subcube of co-dimension one (but not on a Hamming ball of radius $n\/2$).\n\nOn the other hand, (\\ref{ineq:fk}) is interesting, as long as the error term $o(1)$ in the second part of Theorem~\\ref{thm:fk} is of order lower than that of the main term. This error term is of order $n^{-1\/2}$, up to poly-logarithmic terms\\footnote{This could be derived from the computation in \\cite{FT}, or, alternatively, from the estimates on the minimal roots of Krawchouk polynomials \\cite{FS, NS}.}. Therefore, the theorem provides a satisfactory lower bound for the fractional edge boundary size of $A$ as long as\n$$\n\\Big |\\frac{\\log |A|}{n} - \\log 2 \\Big | \\ge \\tilde{\\Omega}\\(n^{-1\/2}\\)\n$$\nIn particular, Hamming balls of radius at most $n\/2 - \\tilde{\\Omega}\\(n^{3\/4}\\)$ have (asymptotically) the smallest fractional edge-boundary for their size.\n\n\\noindent {\\bf Questions}:\n\\begin{itemize}\n\\item\nHow small can the fractional edge boundary size of a balanced subset $A$ of $\\{0,1\\}^n$ be?\n\\item\nWhich balanced sets have the smallest fractional edge-boundary?\n\\end{itemize}\n\nFinally, let us briefly mention an additional application of inequality (\\ref{ineq:l_sob}), of a somewhat different nature. The 'standard' logarithmic Sobolev inequality (\\ref{ineq_Sob}) is used in \\cite{Gr} to derive a hypercontractive inequality for functions on the discrete cube (see also \\cite{Bonami, Beckner}).\nIn order to describe this inequality, let $\\{w_S\\}_{S\\in \\{0,1\\}^n}$ be the character basis in the space of real-valued functions on the Hamming cube.\nLet $0 \\le t \\le 1$ and let $T = T_t$ be\na linear operator taking a function $f = \\sum_S \\hat{f}(S) w_S$ to $Tf\n= \\sum_S t^{|S|} \\hat{f}(S) w_S$. Then (\\cite{Gr})\n\\begin{equation}\n\\label{ineq:beckner}\n\\|Tf\\|_2 \\le \\|f\\|_{1+t^2}\n\\end{equation}\n\nSubstituting  (\\ref{ineq:l_sob}) instead of  (\\ref{ineq_Sob}) in the proof in \\cite{Gr} leads to a modified version of (\\ref{ineq:beckner}). It turns out that the exponent $2$ on the right hand side of the inequality can be replaced by a function $e(\\rho)$, depending on $\\rho = \\frac1n \\frac{Ent\\(f^2\\)}{\\mathbb E f^2}$. The function $e(\\rho)$ is decreasing, with $e(0) = 2$.\\footnote{Hence, for functions with high entropy, this gives a strengthening of (\\ref{ineq:beckner}).} This modified inequality might be useful in coding theory, following the applications of (\\ref{ineq:beckner}) in \\cite{KL, ACKL}.\n\n\n\\section{The proof of Theorem~\\ref{thm:log-Sobolev}}\nLet us start with a brief overview.\nThe main goal of this section is to prove the logarithmic Sobolev inequality (\\ref{ineq:l_sob}).\nOur proof follows the outline of the proof of (\\ref{ineq_Sob}) in \\cite{Gr}. We will prove an inequality (\\ref{ineq:tech}), which will imply (\\ref{ineq:l_sob}) as a corollary, first for the base case $n=1$, and then for general $n$, using subadditivity of entropy. Compared to \\cite{Gr}, we need to prove a bit more for the base case (see Remark~\\ref{rem:diff} below) and to carry this additional information along to the general case. This seems to complicate things somewhat, making it necessary to go through the intermediate inequality (\\ref{ineq:tech}).\n\nWe will prove the second claim of the theorem, on the properties of the function $C(\\rho)$ in (\\ref{ineq:l_sob}), along the way, in Lemma~\\ref{lem:functions}.\n\nWe may and will assume from now on that we deal only with nonnegative functions on $\\{0,1\\}^n$, since substituting $|f|$ instead of $f$ in (\\ref{ineq:l_sob}) decreases the left hand side and does not affect the right hand side.\n\nSeveral functions on the real line play an important role in the proof. We start by defining these functions and stating some of their properties. Let $\\psi$ be defined on $[0,1]$ by\n\\begin{equation}\n\\label{def:psi}\n\\psi(t) = \\frac12 (1-\\sqrt t)^2 \\log (1-\\sqrt t)^2 + \\frac12\n(1+\\sqrt t)^2 \\log (1+\\sqrt t)^2 - (1+t)\\log(1+t)\n\\end{equation}\nIn other words, $\\psi(t) = Ent\\(f^2\\)$, where $f$ is a function on\n$\\{0,1\\}$ with $f(0) = 1 - \\sqrt t$, $f(1) = 1 + \\sqrt t$.\n\nThe following main technical lemma lists the relevant properties of $\\psi$ and several derived functions, including the function $C$. The proof of the lemma is rather long and is postponed till the next section.\n\\begin{lemma}\n\\label{lem:functions}\n\\begin{enumerate}\n\\item\nThe function $\\psi$ is strictly increasing and concave on $[0,1]$, taking this interval onto $[0, 2\\log 2]$. This allows us to define the inverse function $\\phi = \\psi^{-1}$. This is a strictly increasing convex function taking $[0,2\\log 2]$ onto $[0,1]$.\n\\item\nThe function $\\psi(t)\/(1 + t)$ is strictly increasing and concave on $[0,1]$, taking this interval onto $[0, \\log 2]$. This allows us to define the inverse function $\\alpha(t) = \\(\\frac{\\psi(t)}{1 + t}\\)^{-1}$. This is a strictly increasing convex function taking $[0, \\log 2]$ to $[0,1]$.\n\\item\nThe function $c(t) = \\frac{4 \\alpha(t)}{t(1 + \\alpha(t))}$ is strictly increasing and convex on $[0, \\log 2]$, taking this interval onto $[2, 2\/\\log 2]$.\\footnote{Here, as usual, we take $c(0) = \\lim_{t\\rightarrow 0} \\frac{4 \\alpha(t)}{t(1 + \\alpha(t))} = 2$.}\n\\item\nThe function $c(t)$ has an explicit representation\n$$\nc(t) = \\frac{4}{t} \\cdot \\(\\frac12 - \\sqrt{H^{-1}(\\log 2 - t)\\Big (1 -\n  H^{-1}(\\log 2 - t)\\Big )}\\).\n$$\nIn other words $c = C$, where $C$ is the function in (\\ref{ineq:l_sob}).\n\\end{enumerate}\n\\end{lemma}\nNote that the second claim of Theorem~\\ref{thm:log-Sobolev} follows from the third and the fourth claims of this lemma.\n\n\\begin{remark}\n\\label{rem:diff}\nWe mentioned a difference between the proof of the base case $n=1$ here and in \\cite{Gr}. Let us give some details. In \\cite{Gr},  (\\ref{ineq_Sob}) is shown for $\\{0,1\\}$, which, in our notation, amounts to proving an inequality $\\psi(t) \\le 2t$ on $[0,1]$. We show, in addition, that $\\psi$ is concave on $[0,1]$. This additional convexity property turns out to be crucial for our proof.\n\\vrule height7pt width4pt depth1pt\\end{remark}\n\nNext, we introduce additional notation, and prove a simple auxiliary inequality.\n\nFor a function $f$ on $\\{0,1\\}^n$ let $D^2(f) = \\mathbb E_x \\sum_{y \\sim x} (f(x) -\nf(y))^2$, and let $K^2(f) = \\frac 14 \\cdot \\mathbb E_x \\sum_{y \\sim x} (f(x) +\nf(y))^2$. Note that $K^2(f) = n \\mathbb E f^2 - \\frac14 \\cdot D^2(f)$. Note\nalso that for a non-zero nonnegative function $f$, $K^2(f)$ is strictly positive.\n\n\\begin{lemma}\n\\label{lem:ent_and_k}\nFor a nonnegative function $f$ on $\\{0,1\\}^n$ holds\n$$\nEnt\\(f^2\\) \\le 2\\log 2 \\cdot K^2(f)\n$$\n\\end{lemma}\n\\noindent{\\bf Proof:} \nWe will prove the claim for the base case $n=1$ and then use subadditivity of entropy to deduce it for the general case.\n\nThe case $n = 1$. We may assume $f$ is non-zero, since the claim is trivially true otherwise. Both sides of the inequality are\n$2$-homogeneous, and consequently we may assume $\\mathbb E f = 1$. Without loss of generality,  $f(0) = 1 - s$,\n$f(1) = 1 + s$ for some $0 \\le s \\le 1$. We need to show\n$$\nEnt\\(f^2\\) = \\psi\\(s^2\\) \\le 2 \\log 2 \\cdot K^2(f) = 2\\log 2,\n$$\nand this is indeed true by the first claim of Lemma~\\ref{lem:functions}, since $\\psi$ is increasing and $\\psi(1) = 2\\log 2$.\n\nThe general case $n \\ge 1$. Let $1 \\le i \\le n$ be an index of a coordinate and let $x \\in \\{0,1\\}^n$. Fixing all the coordinates $j \\not = i$ to be $x_j$ we obtain a copy of $\\{0,1\\}$. Let $f^{(x)}_i$ be the restriction of $f$ to this one-dimensional cube.\n\nRecall (\\cite{Ledoux}) that entropy is subadditive, namely\n$$\n\\sum_{i=1}^n \\mathbb E_{x} Ent\\(f^{(x)}_i\\) \\ge Ent(f),\n$$\nwhile $D^2(f)$ is additive, that is\n$$\n\\sum_{i=1}^n \\mathbb E_{x} D^2\\(f^{(x)}_i\\) = D^2(f).\n$$\n$K^2(f)$ is also\nadditive, since $\\sum_{i=1}^n \\mathbb E_x K^2\\(f^{(x)}_i\\) = \\sum_{i=1}^n\n\\mathbb E_x \\(\\mathbb E \\(f^{(x)}_i\\)^2 - 1\/4 D^2\\(f^{(x)}_i\\)\\) = n \\mathbb E f^2 - 1\/4 D^2(f) = K^2(f)$.\n\nFrom this and the base case, we have\n$$\nEnt\\(f^2\\) \\le \\sum_{i=1}^n \\mathbb E_x Ent\\(\\(f^{(x)}_i\\)^2\\) \\le 2\\log 2 \\cdot \\sum_{i=1}^n \\mathbb E_x K^2\\(f^{(x)}_i\\) = 2\\log 2\n\\cdot K^2(f)\n$$\n\\vrule height7pt width4pt depth1pt\n\nLet us now pass to the main technical claim in this section. Note that the right hand side in (\\ref{ineq:tech}) is well-defined, due to the preceding lemma.\n\n\\begin{proposition}\n\\label{thm:technical}\nLet $f$ be a non-zero nonnegative function on $\\{0,1\\}^n$. Then\n\\begin{equation}\n\\label{ineq:tech}\nD^2(f) \\ge 4 \\cdot K^2(f) ~\\phi\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\)\n\\end{equation}\n\\end{proposition}\nThe proof follows the same outline. First we prove the base case $n = 1$.\nIn this case, we will show equality\n$$\nD^2(f) = 4 \\cdot K^2(f) ~\\phi\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\).\n$$\nIndeed, since $f$ is non-zero, we may assume $\\mathbb E f = 1$. This implies $K^2(f) = 1$. Thus we have to prove $D^2(f) = 4\n\\phi\\(Ent\\(f^2\\)\\)$. Let $0 \\le s \\le 1$, and $f(0) = 1 - s$, $f(1) =\n1 + s$. Then $D^2(f) = 4s^2$ and\n$4\\phi\\(Ent\\(f^2\\)\\) = 4\\phi \\(\\psi\\(s^2\\) \\) = 4s^2$,\nverifying the base case.\n\nWe also need to deal with a slight technicality, the case $f$ is the zero function, because in the general case below, some of the one-dimensional restrictions of $f$ might be zero. In this case, we formally define $Ent\\(f^2\\)\/K^2(f)$ to be zero. Then (\\ref{ineq:tech}) remains valid (as equality) in the one-dimensional case. It is easy to see that this formal definition does not affect the computation below.\n\nThe general case. Let $n \\ge 1$. Then, by the base case, by\nsubadditivity of the entropy, and by convexity and monotonicity of $\\phi$:\n$$\nD^2(f) = \\sum_{i=1}^n \\mathbb E_x D^2\\(f^{(x)}_i\\)  =\n4 \\cdot \\sum_{i=1}^n \\mathbb E_x K^2\\(f^{(x)}_i\\)\n\\phi\\(\\frac{Ent\\(\\(f^{(x)}_i\\)^2\\)}{K^2\\(f^{(x)}_i\\)}\\) =\n$$\n$$\n4 K^2(f) \\cdot \\sum_{i=1}^n \\mathbb E_x \\frac{K^2\\(f^{(x)}_i\\)}{K^2(f)}\n\\phi\\(\\frac{Ent\\(\\(f^{(x)}_i\\)^2\\)}{K^2\\(f^{(x)}_i\\)}\\) \\ge\n$$\n$$\n4 K^2(f) \\cdot\n\\phi\\( \\frac{1}{K^2(f)} \\cdot \\sum_{i=1}^n \\mathbb E_x Ent\\(\\(f^{(x)}_i\\)^2\\)\\) \\ge\n4 K^2(f) \\cdot \\phi\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\)\n$$\n\\vrule height7pt width4pt depth1pt\n\nWe proceed to derive (\\ref{ineq:l_sob}) from (\\ref{ineq:tech}). By homogeneity, we may assume $\\mathbb E f^2 = 1$. Let $0 \\le \\rho\n\\le \\log 2$. Consider the functional\n$$\nR[f] = \\frac{D^2(f)}{Ent\\(f^2\\)}\n$$\nwhere $f$ ranges over the non-empty\\footnote{Recall $Ent\\(f^2\\) \\ge \\mathbb E f^2 \\log \\frac{\\mathbb E f^2}{\\mathbb E^2 f}$ (\\cite{FS}).} compact set of nonnegative non-zero functions satisfying $\\mathbb E f^2 = 1$ and $Ent\\(f^2\\) \\ge \\rho n$, and the associated minimum\n$$\nm(\\rho) = \\min_f R[f]\n$$\nTo complete the proof of (\\ref{ineq:l_sob}) and of Theorem~\\ref{thm:log-Sobolev}, we will show\n\\begin{equation}\n\\label{ineq:mc}\nm(\\rho) \\ge c(\\rho),\n\\end{equation}\nwhere $c$ is the function defined in the third part of Lemma~\\ref{lem:functions}.\n\nIndeed, fix $\\rho$ and let $m = m(\\rho)$. Let $f$ be a function at which $R[f]$ attains its minimum, that is: $\\mathbb E f^2 = 1$, $Ent\\(f^2\\) \\ge \\rho n$ and $D^2(f) = m Ent\\(f^2\\)$. Then\n$$\nD^2(f) = m Ent\\(f^2\\) \\ge m \\rho n.\n$$\nThis means $K^2(f) = n \\mathbb E f^2 - 1\/4 D^2(f) \\le \\( 1 - (m\\rho)\/4\\) n$, and therefore $\\frac{Ent\\(f^2\\)}{K^2(f)} \\ge \\frac{4\\rho}{4 - m\\rho}$.\n\nRecall $\\phi$ is an increasing convex function on $[0,2 \\log 2]$ with\n$\\phi(0) = 0$. Therefore the function $\\tau(y) = \\phi(y)\/y$ is\nincreasing. This implies\n$$\n\\phi\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\) = \\frac{Ent\\(f^2\\)}{K^2(f)} \\tau\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\) \n\\ge \\frac{Ent\\(f^2\\)}{K^2(f)}\n\\tau\\(\\frac{4\\rho}{4 - m\\rho}\\)\n$$\nand, by Proposition~\\ref{thm:technical},\n$$\nD^2(f) \\ge 4 K^2(f) \\phi\\(\\frac{Ent\\(f^2\\)}{K^2(f)}\\) \\ge 4\n\\tau\\(\\frac{4\\rho}{4 - m\\rho}\\) Ent\\(f^2\\)\n$$\nwhich means\n$$\nm \\ge 4 \\tau\\(\\frac{4\\rho}{4 - m\\rho}\\)\n$$\nThe rest is simple algebra. Recall $\\tau = \\phi(y)\/y$ and $\\psi\n= \\phi^{-1}$. Since $\\psi$ is increasing, the last inequality is equivalent to\n$$\n\\psi\\(\\frac{m\\rho}{4 - m\\rho}\\) \\ge \\frac{4\\rho}{4 - m\\rho}.\n$$\nSubstituting  $y = \\frac{m\\rho}{4 - m\\rho}$, this translates to\n$\\psi(y)\/(y+1) \\ge \\rho$. Recall $\\alpha = \\(\\frac{\\psi(y)}{1 +\n  y}\\)^{-1}$. Since $\\alpha$ is increasing, we obtain\n$$\n\\frac{m\\rho}{4 - m\\rho} \\ge \\alpha(\\rho)\n$$\nThis is the same as\n$$\nm \\ge \\frac{4 \\alpha(\\rho)}{\\rho(\\alpha(\\rho) + 1)}.\n$$\nThis is equivalent to (\\ref{ineq:mc}), completing the proof of (\\ref{ineq:l_sob}) and of Theorem~\\ref{thm:log-Sobolev}.\n\\vrule height7pt width4pt depth1pt\n\n\\section{Proof of Lemma~\\ref{lem:functions}}\nLet\n\\begin{equation}\nh(t) = \\frac12 (1-t)^2 \\log (1-t)^2 + \\frac12 (1+t)^2 \\log (1+t)^2 - \\(1+t^2\\)\\log\\(1+t^2\\).\n\\label{def:h}\n\\end{equation}\nIn other words, $h(t) = \\psi\\(t^2\\)$. We will start with some useful properties of the function $h$.\n\n\\begin{lemma}\n\\label{lem:h-prop}\n\\begin{enumerate}\n\\item\n$$\nh' \\ge h \\ge 0\n$$\n\\item\n$$\n\\(1-t^2\\) h' \\ge t h''\n$$\n\\end{enumerate}\n\\end{lemma}\n\\noindent{\\bf Proof:} \nWe have $h'(t) = 2\\cdot\\((1+t)\\log(1+t) - (1-t)\\log(1-t) - t \\log\\(1+t^2\\)\\)$ and $h''(t) = \\frac{4}{1+t^2} - 2\\log\\(\\frac{1+t^2}{1-t^2}\\)$.\n\nThe first claim of the lemma is easy. Nonnegativity of $h$ follows from nonnegativity of $\\psi$, and\n$$\nh'(t) - h(t) = \\(1-t^2\\) \\log(1+t) - (1-t)(3-t) \\log(1-t) + \\(1-t^2\\) \\log\\(1+t^2\\) \\ge 0\n$$\nThe second claim is somewhat harder. We have, rearranging and simplifying:\n$$\n\\frac12 \\cdot \\(\\(1-t^2\\) h' - t h''\\) = t^3 \\log\\(\\frac{1+t^2}{1-t^2}\\) + \\(1-t^2\\)\\log\\(\\frac{1+t}{1-t}\\) - \\frac{2t}{1+t^2}\n$$\nThat is, we need to show\n$$\n\\(1+t^2\\) t^3 \\log\\(\\frac{1+t^2}{1-t^2}\\) + \\(1-t^4\\) \\log\\(\\frac{1+t}{1-t}\\) \\ge 2t\n$$\nIn fact, an even stronger inequality\n$$\nt^3 \\log\\(\\frac{1+t^2}{1-t^2}\\) + \\(1-t^4\\) \\log\\(\\frac{1+t}{1-t}\\) \\ge 2t\n$$\nis valid for $t \\in [0,1]$. This is easy to check for $t=1$. To see this for $0 \\le t < 1$, recall that for $-1 < x < 1$ holds $\\log\\(\\frac{1+x}{1-x}\\) = 2\\sum_{k=0}^{\\infty} \\frac{x^{2k+1}}{2k+1}$. Substituting these series in the inequality above, we need to show\n$$\nt^3 \\cdot \\sum_{k=0}^{\\infty} \\frac{t^{4k+2}}{2k+1} + \\(1-t^4\\) \\cdot \\sum_{k=0}^{\\infty} \\frac{t^{2k+1}}{2k+1} \\ge t,\n$$\nand this is easily verified by observing that all the higher coefficients of the power series on the left hand side are nonnegative.\n\\vrule height7pt width4pt depth1pt\n\nWe pass to the proof of Lemma~\\ref{lem:functions}\n\n\n\\noindent {\\bf Claim 1}\n\n\\noindent\n\nWe will prove $\\psi$ is concave by showing $\\psi''$ is negative on $(0,1)$. We have for $0 < t < 1$:\n$$\n\\psi''(t) = -\\frac{1}{4t^{3\/2}} \\cdot h'\\(\\sqrt t\\) + \\frac{1}{4t}\n\\cdot h''\\(\\sqrt t\\) < 0\n$$\nThe last inequality follows from the second claim of Lemma~\\ref{lem:h-prop}.\n\nTo see that $\\psi$ is increasing, it suffices to verify $\\psi' \\ge 0$ at\n$1$. Indeed,\n$\n\\psi'(1) = \\frac{1}{2} h'(1) = \\log 2 > 0\n$,\ncompleting the proof of Claim 1.\n\n\\noindent {\\bf Claim 2}\n\n\\noindent Let $\\xi(t) = \\frac{\\psi}{1+t}$. We will verify $\\xi' > 0$ on $(0,1)$. Indeed,\n$$\n\\xi' = \\frac{(1+t)\\psi' - \\psi}{(1+t)^2}\n$$\nso we need to check that $\\psi' > \\frac{\\psi}{1+t}$. Substituting\n$\\psi(t) = h(\\sqrt t)$, this amounts to checking\n$$\nh'(\\sqrt t) \\ge \\frac{2\\sqrt t}{1 + t} \\cdot h(\\sqrt t)\n$$\nSince $\\frac{2\\sqrt t}{1 + t} < 1$ on $(0,1)$, it suffices to\nshow $h' \\ge h$, which is true by the first claim of Lemma~\\ref{lem:h-prop}.\n\nTo show concavity of $\\xi$, we will prove that\n\\begin{equation}\n-\\xi'' > 2\\xi,\n\\label{about-xi}\n\\end{equation}\nimplying $\\xi'' < 0$ on $(0,1)$. Direct calculation gives\n$$\n\\xi''(t) = \\frac{(1+t)^2 \\psi'' - 2\\((1+t)\\psi' - \\psi\\)}{(1+t)^3}\n$$\nSimplifying, $-\\xi'' > 2 \\xi'$ reduces to\n$$\n2t \\psi > 2t(1+t) \\psi' + (1+t)^2 \\psi''\n$$\nSince $\\psi'' < 0$ we have $(1+t)^2 \\psi'' < 4t \\psi''$. Therefore, it suffices to prove\n$$\n\\psi \\ge (1+t) \\psi' + 2 \\psi''\n$$\nAgain, since $\\psi$ is concave with $\\psi(0) = 0$, we have $\\psi \\ge t \\psi'$. Therefore, we only need to prove\n$$\n-2 \\psi'' \\ge \\psi'\n$$\nWriting this in terms of $h$, this is equivalent to $\\(1-s^2\\) h' \\ge s h''$ which is given by the second claim of Lemma~\\ref{lem:h-prop}.\n\n\n\\noindent {\\bf Claim 4}\n\nWe will show this claim before the third claim of the lemma. That claim is somewhat more involved, and its proof is relegated to the end of this section.\n\nHere we need to verify $$\\frac{\\alpha(t)}{1+\\alpha(t)} = \\frac12 - \\sqrt{H^{-1}\\(\\log 2 - t\\)\\(1-H^{-1}\\(\\log 2 -t\\)\\)}$$ for all $t \\in [0,\\log 2]$. This is equivalent to\n$$\nH^{-1}\\(\\log 2 - t\\) = \\frac12 - \\sqrt{\\frac{\\alpha}{1+\\alpha}\\(1 - \\frac{\\alpha}{1+\\alpha}\\)} = \\frac{\\(1-\\sqrt{\\alpha}\\)^2}{2(1+\\alpha)}\n$$\nRecall that $\\alpha = \\alpha(t)$ is defined to satisfy\n$t = \\frac{\\psi(\\alpha)}{1 + \\alpha}$, where $\\psi(\\alpha) =\nEnt\\(f^2\\)$, and $f$ is a function on $\\{0,1\\}$ with $g(0) = 1\n- \\sqrt \\alpha$, $g(1) = 1 + \\sqrt \\alpha$. It is not hard to verify the identity\n$$\n\\frac{\\psi(\\alpha)}{1 + \\alpha} = \\ln 2 - H\\(\\frac{\\(1-\\sqrt \\alpha\\)^2}{2(1 + \\alpha)}\\)\n$$\nfor all $\\alpha \\in [0,1]$, and we are done.\n\n\\noindent {\\bf Claim 3}\n\nFirst, we show that $c$ is increasing. Direct computation gives that $c'$ is positive on $(0,\\log 2)$ iff $t \\alpha' > \\alpha + \\alpha^2$ on this interval. Both sides of this inequality are $0$ at\n$0$, and we compare derivatives, that is, show  $t \\alpha'' > 2 \\alpha \\alpha'$.\n\nSince $\\alpha$ is convex with $\\alpha(0) = 0$, we have $\\alpha \\le t \\alpha'$ in the interval.\nHence, it suffices to show $\\alpha'' > 2\\(\\alpha'\\)^2$.\n\nRecall $\\alpha = \\xi^{-1}$. Consequently, $\\alpha'(\\xi(t)) =\n\\frac{1}{\\xi'(t)}$, and $\\alpha''(\\xi(t)) =\n-\\frac{\\xi''(t)}{\\(\\xi'(t)\\)^3}$. Therefore, $\\alpha'' >\n2\\(\\alpha'\\)^2$ is equivalent to $-\\xi'' > 2\\xi'$, which is given by (\\ref{about-xi}).\n\nIt remains to show that $c$ is convex. This turns out to be significantly harder than the other proofs in this Section. We provide a somewhat sketchy argument below.\n\nDirect computation shows that $c'' >0$ on $(0,\\log 2)$ iff\n\\begin{equation}\nt^2 (1 + \\alpha) \\alpha'' + 2\\alpha (1+\\alpha)^2 >\n2t^2\\(\\alpha'\\)^2 + 2t (1+\\alpha)\\alpha'\n\\end{equation}\nFirst, we rewrite this inequality in terms of $\\xi = \\alpha^{-1}$. Let $t = \\xi(x)$, that is $\\alpha(t) = x$, $\\alpha'(t) = \\frac{1}{\\xi'(x)}$, $\\alpha''(t) = -\\frac{\\xi''(x)}{\\(\\xi'(x)\\)^3}$. Substituting and simplifying, one gets\n$$\n-(1+x) \\xi^2 \\xi'' + 2x(1+x)^2 \\(\\xi'\\)^3 > 2\\xi^2 \\xi' + 2(1+x) \\xi \\(\\xi'\\)^2,\n$$\nwhich has to hold for all $x$ in $(0,1)$.\n\nNext, we rewrite this in terms of $\\psi = (1+x) \\xi$, obtaining\n$$\n(1+x)\\psi^2\\(-\\psi''\\) > 2\\((1+x)\\psi' - \\psi\\)^2 \\(\\psi- x\\psi'\\)\n$$\nNote that all the expressions in the brackets are positive, since $\\psi$ is concave and $\\xi$ is increasing, as we saw in the proofs of Claims 1 and 2 above. We simplify this inequality, replacing $\\psi$ with $x \\psi'$ on the left hand side and in the first term on the right hand side, and arriving to the stronger inequality\n$$\nx(1+x)\\psi\\(-\\psi''\\) > 2 \\psi' \\(\\psi - x \\psi'\\)\n$$\nWe rewrite this in terms of the function $h$, defined in (\\ref{def:h}) above. As in the proof of Claim 1, expressing $\\psi$ and its derivatives in terms of $h$, leads to the following equivalent inequality:\n\\begin{equation}\n2x(h')^2 > \\(3-x^2\\)hh' + x\\(1+x^2\\) h h''\n\\label{interms:h}\n\\end{equation}\nFrom now on we concentrate on the proof of (\\ref{interms:h}). It will be convenient to write $h$ and its derivatives in terms of two new functions $L_1(x) = \\log{\\frac{1+x}{1-x}}$ and $L_2(x) = \\log{\\frac{1+x^2}{1-x^2}}$. Recalling the expressions for $h$ and its derivatives (as in the proof of Lemma~\\ref{lem:h-prop} above, we have\n\\begin{itemize}\n\\item\n$\nh(x) = 2xL_1 - \\(1+x^2\\)L_2\n$\n\\item\n$\nh'(x) = 2L_1 - 2xL_2\n$\n\\item\n$\nh''(x) = \\frac{4}{1+x^2} - 2L_2\n$\n\\end{itemize}\n\nRewriting (\\ref{interms:h}) in terms of $L_1$ and $L_2$, and simplifying, one arrives to\n$$\n\\(3-x^2\\)\\(1+x^2\\)L_1 L_2 + 2x\\(1+x^2\\)L_2 > 2x\\(1-x^2\\)L^2_1 + 4xL^2_2 + 4x^2L_1\n$$\nWe expand both sides of this inequality as power series for $x \\in (0,1)$. Recall that $L_1(x) = 2\\sum_{k=0}^{\\infty} \\frac{1+x^{2k+1}}{2k+1}$, and, consequently, $L_2(x) = 2\\sum_{k=0}^{\\infty} \\frac{1+x^{4k+2}}{2k+1}$. Therefore, both sides of this inequality have only odd terms.\n\nLet the left hand side be equal to\n$$\nF(x) = 4 \\cdot \\sum_{k=0}^{\\infty} \\ell_{2k+1} x^{2k+1}\n$$\nand the right hand side be equal to $$\nG(x) = 4 \\cdot \\sum_{k=0}^{\\infty} r_{2k+1} x^{2k+1}\n$$\nWe will argue that\n\\begin{enumerate}\n\\item\nAll the coefficients $\\ell_{2k+1}$ and $r_{2k+1}$ are nonnegative.\n\\item\n$\\ell_1 = r_1 = 0$, $\\ell_3 = r_3 = \\ell_5 = r_5 = 4$.\n\\item\nFor all odd $k$ starting from $k = 3$:\n$$\n\\ell_{2k+1} > r_{2k+1}~~~and~~~\\ell_{2k+1} + \\ell_{2k+3} > r_{2k+1} + r_{2k+3}\n$$\n\\end{enumerate}\n\n\\noindent This will imply\n$$\nF(x) - G(x) = 4\\cdot \\sum_{k=3}^{\\infty} \\(\\ell_{2k+1} - r_{2k+1}\\) x^{2k+1} = 4\\cdot \\sum_{odd~k \\ge 3} \\(\\(\\ell_{2k+1} - r_{2k+2}\\) - \\(\\ell_{2k+3} - r_{2k+3}\\)x^2 \\) \\cdot x^{2k+1} >\n$$\n$$\n4\\cdot \\sum_{odd~k \\ge 3} \\(\\ell_{2k+1} - r_{2k+2}\\)\\(1-x^2\\) \\cdot^{2k+1} > 0,\n$$\ncompleting the proof of (\\ref{interms:h}) and of Claim 3. Hence it remains to prove the properties of the coefficients.\n\nIn fact, the coefficients can be computed explicitly, which makes it possible to verify the required properties. We omit the (easy but cumbersome) details. For completeness sake, we do list explicit expressions for the coefficients below\\footnote{Our apologies to the reader.}.\n\\begin{itemize}\n\\item\nFor an odd $k \\ge 3$:\n$$\n\\ell_{2k+1} = \\(\\frac{8k - 20}{(2k-3)(2k+1)}\\) \\cdot \\sum_{m=1}^{(k-1)\/2} \\frac{1}{4m-3} ~~~+~~~ \\frac{4}{2k-1} \\cdot \\sum_{m = 1}^{k-2} \\frac{1}{2m+1} ~~~+~~~\n$$\n$$\n\\(\\frac{3}{2k+1} +\n\\frac{2}{2k-1} - \\frac{1}{2k-3}\\) \\cdot \\sum_{m = 1}^{(k-1)\/2} \\frac{1}{2m-1} ~~~+~~~ \\(\\frac{1}{k} + \\frac{3}{k(2k+1)} + \\frac{6}{(2k-1)(2k+1)}\\)\n$$\nand\n$$\nr_{2k+1} = \\frac{2k+2}{k(2k-1)} ~~~-~~~ \\frac{2}{k(k-1)} \\cdot \\sum_{m = 1}^{k-1} \\frac{1}{2m-1}\n$$\n\\item\nFor an even $k \\ge 4$:\n$$\n\\ell_{2k+1} = \\(\\frac{8k - 20}{(2k-3)(2k+1)}\\) \\cdot  \\sum_{m = 1}^{k-2} \\frac{1}{2m+1} ~~~+~~~ \\frac{4}{2k-1} \\cdot  \\sum_{m=1}^{k\/2} \\frac{1}{4m-3}~~+~~\n$$\n$$\n\\(\\frac{3}{2k+1} + \\frac{2}{2k-1} - \\frac{1}{2k-3}\\) \\cdot \\sum_{m = 1}^{(k-2)\/2} \\frac{1}{2m-1} ~+~ \\(\\frac{1}{k-1} + \\frac{6}{(2k-1)(2k+1)} +  \\frac{10k-1}{(k-1)(2k-1)(2k+1)} \\)\n$$\nand\n$$\nr_{2k+1} = \\frac{8}{k} \\cdot \\sum_{m=1}^{k\/2} \\frac{1}{2m - 1} ~~~+~~~ \\frac{2k+2}{k(2k-1)} ~~~-~~~ \\frac{2}{k(k-1)} \\cdot \\sum_{m = 1}^{k-1} \\frac{1}{2m-1}\n$$\n\\end{itemize}\n\nIt remains to compute the coefficients for $k = 1, 2$. This is easily done directly, verifying the property 2 above.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nLet $R$ be a root system in $\\R^d$, $d\\geq1$, and we fix a positive subsystem $R_+$ of $R$ and a nonnegative multiplicity function $k:R\\to\\R_+$.\nFor every $\\alpha\\in R$, let $H_\\alpha$ be the hyperplane  orthogonal to $\\alpha$ and $\\sigma_\\alpha$ be the reflection with respect to~$H_\\alpha$, that is, for every~$x\\in\\R^d$,\n$$\n\\sigma_\\alpha x=x-2 \\frac{\\langle x,\\alpha\\rangle}{|\\alpha|^2}\\alpha\n$$\nwhere $\\langle\\cdot,\\cdot\\rangle$ denotes the Euclidean inner product of $\\R^d$.\nThe Dunkl Laplacian $\\Delta_k$ is defined \\cite{dunkl1},  for  $f\\in C^2(\\R^d)$, by\n$$\n\\Delta_kf(x)=\\Delta f(x)+2\\sum_{\\alpha\\in R_+}k(\\alpha)\\left(\\frac{\\langle\\nabla f(x),\\alpha\\rangle}{\\langle\\alpha,x\\rangle}-\\frac{|\\alpha|^2}2\\frac{f(x)-f(\\sigma_\\alpha x)}{\\langle\\alpha,x\\rangle^2}\\right),\n$$\nwhere $\\nabla$ denotes the  gradient on~$\\R^d$. Obviously, $\\Delta_k=\\Delta$ when $k\\equiv0$.\n\nGiven a bounded open subset $D$ of $\\R^d$, we consider the following Dirichlet problem~:\n\\begin{equation}\\label{ddp}\n\\displaystyle\\left\\{\n\\begin{array}{rcll}\n \\Delta_kh & = & 0 & \\mbox{on }\\;D, \\\\\n  h & = & f& \\mbox{on }\\; \\R^d\\setminus D,\n\\end{array}\n\\right.\n\\end{equation}\nwhere\n  $f$ is a continuous function on $\\R^d\\setminus D$. When $D$ is invariant under all reflections $\\sigma_\\alpha$, it was shown in \\cite{mbke}, using probabilistic  tools from potential theory, that  there exists a unique continuous function $h$ on $\\R^d$, twice differentiable on~$D$ and such that both equations in~(\\ref{ddp}) are pointwise fulfilled.  In this paper, we shall investigate problem (\\ref{ddp}) for a bounded domain $D$  which is not invariant. Let $D$ be a bounded open set such that its closure $\\overline{D}$ is in some Domain of $\\R^d\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha$.\nWe mean by a solution of problem (\\ref{ddp}), every function $h : \\R^d\\to\\R$ which is continuous on $\\R^d$ such that $h=f$ on $\\R^d\\setminus D$ and\n$$\n\\int_{\\R^d}h(x)\\Delta_k\\varphi(x) w_k(x) dx =0\\quad \\textrm{ for every }\\; \\varphi \\in C^\\infty_c(D),\n$$\nwhere $C^\\infty_c(D)$ denotes the space of infinitely differentiable functions on $D$  with compact support  and $w_k$ is the invariant weight function defined on $\\R^d$ by\n$$\nw_k(x)=\\prod_{\\alpha\\in\nR_+}\\langle x,\\alpha\\rangle^{2k(\\alpha)}.\n$$\nThe set $D$ is called $\\Delta_k$-regular if, for every continuous function $f$ on $\\R^d\\setminus D$, problem (\\ref{ddp}) admits one and only one solution; this solution will be denoted by $H_D^{\\Delta_k}f$.\nBy transforming  problem (\\ref{ddp})  to a  boundary value problem associated with Schr\\\"{o}dinger's operator $\\Delta-q$, we show that $D$ is $\\Delta_k$-regular provided it is $\\Delta$-regular. We also give an analytic formula characterizing the solution $H_D^{\\Delta_k}f$ (see Theorem \\ref{t1} below). We derive from this formula that, for every $x\\in D$, $H_D^{\\Delta_k}f(x)$ depends only on the values of $f$ on $\\cup_{\\alpha\\in R_+}\\sigma_\\alpha(D)$ and on $\\partial D$ the Euclidean boundary of $D$.\nIf, in addition, we assume that $f$ is locally H\\\"{o}lder continuous on $\\cup_{\\alpha\\in R_+}\\sigma(D)$ then  $H_D^{\\Delta_k}f$ is continuously twice differentiable on $D$ and therefore the first equation in~(\\ref{ddp}) is  fulfilled by $H_D^{\\Delta_k}f$ not only in the sense of distributions but also pointwise.\n\nIt was shown in \\cite{kh,hmkt} that the operator $\\Delta_k$ is hypoelliptic on all invariant open subset $D$ of $\\R^d$. However, if $D$ is not invariant, the question whether $\\Delta_k$ is hypoelliptic on $D$ or not remaind open. For $\\Delta_k$-regular open set $D$, we show that if $D$ is not invariant then $\\Delta_k$ is not hypoelliptic in $D$. Hence the condition \" $D$ is invariant\" is necessary and sufficient for the hypoellipticity of  $\\Delta_k$ on $D$.\n\\section{Main results}\nWe first present various facts on the Dirichlet boundary value problem associated with Schr\\\"{o}dinger's operator which are needed for our approach.\nWe refer to \\cite{abwhhh,kczz} for  details.\nLet $G$ be the Green function on $\\R^d$, but without the constant factors :\n$$\nG(x,y)=\n\\left\\{\n  \\begin{array}{ll}\n    |x-y|^{2-d} & \\hbox{if}\\; d\\geq 3; \\\\\n    \\ln\\frac{1}{|x-y|} & \\hbox{if}\\; d=2; \\\\\n    |x-y| & \\hbox{if}\\; d=1.\n  \\end{array}\n\\right.\n$$\nLet $D$ be a bounded domain of $\\R^d$ and let $q\\in J(D)$ the Kato class on $D$, i.e., $q$ is a Borel measurable function on $\\R^d$ such that $G(1_D|q|)$ the Green potential of $1_D|q|$ is continuous on $\\R^d$.\nNote that the Kato class $J(D)$ contains all bounded Borel measurable functions on $D$.\nAssume that  $D$ is $\\Delta$-regular. Then, for every continuous function $f$ on  $\\partial D$, there exists a unique continuous function $h$ on  $\\overline{D}$  such that $h=f$ on $\\partial D$ and\n\\begin{equation}\\label{shr}\n\\int h(x)(\\Delta-q)\\varphi(x) dx=0 \\quad \\textrm{ for every}\\; \\varphi\\in C^\\infty_c(D).\n\\end{equation}\nIn the sequel, we denote $H_D^{\\Delta-q}f$ the unique continuous extension on $\\overline{D}$ of $f$ which satisfies the Schr\\\"{o}dinger's equation (\\ref{shr}).\nLet $G_D^\\Delta$ and $G_D^{\\Delta-q}$ denotes, respectively, the Green potential operator in $D$ of  $\\Delta$ and  $\\Delta-q$. The operator $G_D^{\\Delta-q}$ acts as a right inverse of the Schr\\\"{o}dinger's operator $-(\\Delta-q)$, i.e., for every Borel bounded function $g$ on $D$, we have\n$$\n\\int G_D^{\\Delta-q}g(x)(\\Delta-q)\\varphi(x) dx= -\\int g(x)\\varphi(x) dx \\quad \\textrm{ for every}\\; \\varphi\\in C^\\infty_c(D).\n$$\nThen the unique continuous function $h$ on $\\overline{D}$ such that $h=f$ on $\\partial D$ and\n\\begin{equation}\\label{shrg}\n\\int h(x)(\\Delta-q)\\varphi(x) dx= -\\int g(x)\\varphi(x) dx \\quad \\textrm{ for every}\\; \\varphi\\in C^\\infty_c(D)\n\\end{equation}\nis given, for $x\\in D$, by\n\\begin{equation}\\label{ss}\nh(x)= H_D^{\\Delta-q}f(x)+G_D^{\\Delta-q}g(x).\n\\end{equation}\nThe function $G_D^{\\Delta-q}g$ is continuous on $\\overline{D}$, vanishing on $\\R^d\\setminus D$ and, for every $x\\in D$,\n\\begin{equation}\\label{vgd}\nG_D^{\\Delta-q}g(x)=G_D^\\Delta g(x)- G_D^\\Delta(qG_D^{\\Delta-q}g)(x).\n\\end{equation}\nMoreover, if, in addition, we assume  that $q\\in C^\\infty(D)$ then, proceeding by induction, it follows from (\\ref{vgd}) that $G_D^{\\Delta-q}g\\in C^n(D)$ if and only if $G_D^\\Delta g\\in C^n(D),\\; n\\in \\N$.\n\nNow we are ready to establish our first main result giving a characterization of solutions of the Dirichlet boundary value problem associated with the Dunkl Laplacian $\\Delta_k$.\n\n\\begin{theorem}\\label{t1}\nLet $D$ be a bounded open set such that $\\overline{D}$ is in some Domain of $\\R^d\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha$. If $D$ is $\\Delta$-regular then $D$ is $\\Delta_k$-regular. Moreover, for every continuous function $f$ on $\\R^d\\setminus D$ and for every $x\\in D$,\n\\begin{equation}\\label{solhar}\nH_D^{\\Delta_k}f(x)=\\frac{1}{\\sqrt{w_k(x)}}\\left(H_D^{\\Delta-q}(f\\sqrt{w_k})(x)+G_D^{\\Delta-q}\\left(\\sqrt{w_k}Nf\\right)(x)\\right),\n\\end{equation}\nwhere $q$ and $Nf$ are the functions defined, for $x\\in D$, by\n$$\nq(x):=\\sum_{\\alpha\\in R_+}\\left(\\frac{|\\alpha|k(\\alpha)}{\\langle x,\\alpha\\rangle}\\right)^2\n$$\nand\n$$\nNf(x):=\\sum_{\\alpha\\in R_+}\\frac{|\\alpha|^2k(\\alpha)}{\\langle x,\\alpha\\rangle^2}f(\\sigma_\\alpha x).\n$$\n\\end{theorem}\n\n\\begin{proof}\nLet $f$ be a continuous function on $\\R^d\\setminus D$. We intend to prove existence and uniqueness of a continuous function $h$ on $D$ such that $h=f$ on $\\R^d\\setminus D$ and\n\\begin{equation}\\label{har}\n\\int h(x)\\Delta_k\\varphi(x) w_k(x) dx=0 \\quad \\textrm{ for every}\\; \\varphi\\in C^\\infty_c(D).\n\\end{equation}\nIt is clear that\n$$\n\\nabla\\left(\\sqrt{w_k}\\right)(x)= \\sqrt{w_k(x)}\\sum_{\\alpha\\in R_+}\\frac{k(\\alpha)}{\\langle x,\\alpha\\rangle}\\alpha.\n$$\nThen, using the fact that \\cite{dunkl1}\n$$\n\\sum_{\\alpha, \\beta\\in R_+}k(\\alpha)k(\\beta)\\frac{\\langle\\alpha , \\beta\\rangle}{\\langle x , \\alpha\\rangle\\;\\langle x , \\beta\\rangle}=\\sum_{\\alpha\\in R_+}\\frac{|\\alpha|^2k^2(\\alpha)}{\\langle x,\\alpha\\rangle^2},\n$$\ndirect computation  shows that\n$$\n\\Delta\\left(\\sqrt{w_k}\\right)(x)= \\sqrt{w_k(x)}\\sum_{\\alpha\\in R_+}|\\alpha|^2\\frac{k^2(\\alpha)-k(\\alpha)}{\\langle x,\\alpha\\rangle^2}.\n$$\nThus, for every $\\varphi\\in C^\\infty_c(D)$,\n\\begin{eqnarray*}\n\\Delta\\left(\\varphi\\sqrt{w_k}\\right)(x)&=& \\sqrt{w_k(x)}\\left(\\Delta\\varphi(x)+ 2\\sum_{\\alpha\\in R_+}k(\\alpha)\\left(\\frac{\\langle\\nabla \\varphi(x),\\alpha\\rangle}{\\langle\\alpha,x\\rangle}-\\frac{|\\alpha|^2}{2}\\frac{\\varphi(x)}{\\langle\\alpha,x\\rangle^2}\\right)\\right)\\\\\n   & & +\\; q(x)\\varphi(x)\\sqrt{w_k(x)},\n\\end{eqnarray*}\nand thereby\n\\begin{equation}\\label{ddk}\n\\sqrt{w_k(x)}\\Delta_k\\varphi(x)=\\left(\\Delta\\left(\\varphi\\sqrt{w_k}\\right)(x)- q(x)\\varphi(x)\\sqrt{w_k(x)}\\right)+ \\sqrt{w_k(x)}N\\varphi(x).\n\\end{equation}\nSince the map $ \\varphi\\to\\varphi\\sqrt{w_k}$ is invertible on the space $C^\\infty_c(D)$ and the function $x\\to\\frac{w_k(x)}{\\langle x,\\alpha\\rangle^2}$ is invariant under the reflection $\\sigma_\\alpha$, equation (\\ref{har}) is equivalent to the following Schr\\\"{o}dinger's equation : For every $\\psi\\in C^\\infty_c(D)$,\n$$\n\\int h(x)\\sqrt{w_k(x)}\\left(\\Delta-q\\right)\\psi(x) dx= -\\int \\sqrt{w_k(x)}Nf(x)\\psi(x) dx.\n$$\nFinally, since $q$ is bounded on $D$ and therefore is in $J(D)$, the statements follow from (\\ref{shrg}) and (\\ref{ss}).\n\\end{proof}\n\nTo construct a $\\Delta$-regular set $D$, it suffices to choose $D$ such that its Euclidean boundary $\\partial D$  satisfies the the geometric assumption known as \" cone condition\", i.e.,   for every $z\\in \\partial D$ there exists a cone $C$ of vertex $z$ such that $C\\cap B(z,r)\\subset \\R^d\\setminus D$ for some $r>0$, where $B(z,r)$ is the ball of center $z$ and radius $r$  (see, for example, \\cite{kczz}).\n\\begin{remark}\\rm\nNote that, in order to obtain $q\\in J(D)$, the hypothesis of the above theorem \"$\\overline{D}\\subset\\R^d\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha$\" is nearly optimal. Indeed, assume that there exists a cone $C_z$ of vertex $z\\in \\overline{D}\\cap H_\\alpha$ for some $\\alpha\\in R_+$ with $k(\\alpha)\\neq 0$ such that $C_z^r := C_z\\cap B(z,r)\\subset D$ for some $r>0$. Then,\n\\begin{eqnarray*}\nG(1_Dq)(z) & \\geq & |\\alpha|^2k^2(\\alpha)\\int_{C_z^r}G(z,y)\\frac{1}{\\langle y,\\alpha\\rangle^2} dy\\\\\n& = & |\\alpha|^2k^2(\\alpha)\\int_{C_z^r}G(z,y)\\frac{1}{\\langle z-y,\\alpha\\rangle^2} dy\\\\\n&\\geq& k^2(\\alpha) \\int_{C_z^r-z}G(0,y)\\frac{1}{|y|^2} dy \\\\\n&=& \\infty.\n\\end{eqnarray*}\n\\end{remark}\nIt is easy to see  that for every $x\\in D$ the map $f\\to H_D^{\\Delta_k}f(x)$ defines a positive Radon measure on $\\R^d\\setminus D$. We denote this measure by $H_D^{\\Delta_k}(x,dy)$. The following results are obtained in a convenient way by using formula (\\ref{solhar}) of the above theorem.\n\\begin{corollary}\n For every $x\\in D$, $H_D^{\\Delta_k}(x,dy)$ is a probability measure supported by\n$$\n\\partial D\\cup \\left(\\cup_{\\alpha\\in R_+}\\sigma_\\alpha(D)\\right)\n$$\nand satisfies\n$$\n\\frac{\\sqrt{w_k(x)}}{\\sqrt{w_k(y)}}H_D^{\\Delta_k}(x,dy)=H_D^{\\Delta-q}(x,dy)+\\sum_{\\alpha\\in R_+}\\frac{|\\alpha|^2k(\\alpha)}{\\langle y,\\alpha\\rangle^2}G_D^{\\Delta-q}(x,\\sigma_\\alpha y) dy.\n$$\n\\end{corollary}\n\n\\begin{corollary}\nLet $D$ be a $\\Delta$-regular bounded open set such that $\\overline{D}$ is in some Domain of $\\R^d\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha$.\nLet $f$ be a continuous function on $\\partial D\\cup \\left(\\cup_{\\alpha\\in R_+}\\sigma_\\alpha(D)\\right)$. If $f$ is locally H\\\"{o}lder continuous on $\\cup_{\\alpha\\in R_+}\\sigma(D)$ then $H_D^{\\Delta_k}f\\in C^2(D)$ and, for every $x\\in D$,\n$$\n\\Delta_k\\left(H_D^{\\Delta_k}f\\right)(x)=0.\n$$\n\\end{corollary}\n\n\\begin{proof}\nSince $H_D^{\\Delta-q}(f\\sqrt{w_k})$ is a solution of the Schr\\\"{o}dinger's equation (\\ref{shr}), the hypoellipticity of the operator $\\Delta-q$ on $D$ implies that $H_D^{\\Delta-q}(f\\sqrt{w_k})\\in C^\\infty(D)$. Moreover, since $Nf$ is locally H\\\"{o}lder continuous on $D$, $G_D^\\Delta\\left(\\sqrt{w_k}Nf\\right) \\in C^2(D)$  and consequently $G_D^{\\Delta-q}\\left(\\sqrt{w_k}Nf\\right)\\in C^2(D)$. Then it follows from (\\ref{solhar}) that $H_D^{\\Delta_k}f\\in C^2(D)$. For every $\\varphi\\in C^\\infty_c(D)$, direct computation using  (\\ref{ddk}) yields\n$$\n \\int \\Delta_k\\left(H_D^{\\Delta_k}f\\right)(x)\\varphi(x) w_k(x) dx=\\int H_D^{\\Delta_k}f(x)\\Delta_k\\varphi(x) w_k(x) dx.\n$$\nThis completes the proof.\n\\end{proof}\n\nLet $D$ be an open subset of $\\R^d$. The operator $\\Delta_k$ is said to be hypoelliptic on $D$ if, for every $f\\in C^\\infty(D)$, every continuous function $h$ on $\\R^d$ which satisfies\n$$\n\\int_{\\R^d}h(x)\\Delta_k\\varphi(x) w_k(x) dx =\\int  f(x)\\varphi(x) w_k(x) dx \\quad \\textrm{ for every }\\; \\varphi \\in C^\\infty_c(D)\n$$\nis infinitely differentiable on $D$. We note that the problem of the hypoellipticity of $\\Delta_k$  is discussed in \\cite{kh,hmkt}, where the authors show that  $\\Delta_k$ is hypoelliptic on $D$ provided  $D$ is  invariant under all reflections $\\sigma_\\alpha$. However, if $D$ is not invariant, the question whether $\\Delta_k$ is hypoelliptic on $D$ or not remaind open.\n\n\\begin{theorem}\nLet $D$ be a $\\Delta_k$-regular open set. Then $\\Delta_k$ is  hypoelliptic on $D$ if and only if $D$ is invariant.\n\\end{theorem}\n\\begin{proof}\nIt is obviously sufficient to prove that $\\Delta_k$ is not hypoelliptic on $D$ provided $D$ is not invariant. Assume that $D$ is not invariant. Since\n the open set $D\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha$ is also not invariant, there exists a nonempty  open ball $B$\nsuch that\n$$\n\\overline{B}\\subset D\\setminus\\cup_{\\alpha\\in R_+}H_\\alpha\\quad\\textrm{and}\\quad\\sigma_\\alpha(B)\\subset \\R^d\\setminus D\\;\\textrm{ for some }\\;\\alpha\\in R_+.\n$$\n We also choose the ball $B$ small enough such that, for every $\\alpha\\in R_+$,\n$$\n\\sigma_\\alpha(B)\\subset D \\quad \\textrm{ or } \\quad \\sigma_\\alpha(B)\\subset\\R^d\\setminus D.\n$$\nLet $I :=\\{\\alpha\\in R_+;\\; \\sigma_\\alpha(B)\\subset\\R^d\\setminus D\\}$ and $J :=R_+\\setminus I$.\nLet $f$ be a continuous function on $\\R^d\\setminus D$ and denote $H_D^{\\Delta_k}f$ by $h$.\nSince $B$ is $\\Delta$-regular and $h$ satisfies\n$$\n\\int h(x)\\Delta_k\\varphi(x) w_k(x) dx=0 \\quad \\textrm{ for every}\\; \\varphi\\in C^\\infty_c(B),\n$$\n it follows from Theorem \\ref{t1} that $B$ is $\\Delta_k$-regular and, for every $x\\in B$,\n\\begin{equation}\\label{hyp}\nh(x)=\\frac{1}{\\sqrt{w_k(x)}}\\left(H_B^{\\Delta-q}(h\\sqrt{w_k})(x)+G_B^{\\Delta-q}\\left(\\sqrt{w_k}Nh\\right)(x)\\right).\n\\end{equation}\nLet $g_1$ and $g_2$ be the functions defined on $B$ by\n\n$$\ng_1(x)=\\sum_{\\alpha\\in J}\\frac{|\\alpha|^2k(\\alpha)}{\\langle x,\\alpha\\rangle^2}h(\\sigma_\\alpha x)\\quad\n\\textrm{and}\n\\quad\ng_2(x)=\\sum_{\\alpha\\in I}\\frac{|\\alpha|^2k(\\alpha)}{\\langle x,\\alpha\\rangle^2}f(\\sigma_\\alpha x).\n$$\nIt is clear that the function $g_2$ is not trivial and $Nh=g_1+g_2$.\nNow, assume that $h\\in C^\\infty(D)$. Then $g_1\\in C^\\infty(B)$ and therefore $G_B^{\\Delta-q}\\left(\\sqrt{w_k}g_1\\right)\\in C^\\infty(B)$. Furthermore, since $H_B^{\\Delta-q}(h\\sqrt{w_k})\\in C^\\infty(B)$, it follows from  (\\ref{hyp}) that $G_B^{\\Delta-q}\\left(\\sqrt{w_k}g_2\\right)\\in C^\\infty(B)$. Thus $-(\\Delta-q)G_B^{\\Delta-q}\\left(\\sqrt{w_k}g_2\\right)=\\sqrt{w_k}g_2\\in C^\\infty(B)$ and therefore $g_2\\in C^\\infty(B)$, a contradiction.\nHence $h$ is not infinitely differentiable on $D$ and consequently the Dunkl Laplacian $\\Delta_k$ is not hypoelliptic on $D$.\n\\end{proof}\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nProstate cancer detection is a longstanding challenge in medical imaging for which, many algorithms have been proposed using conventional machine learning algorithms~\\cite{Khalvati2015a,Khalvati2016,Khalvati2018,Hussain2018}. With the advent of deep Convolutional Neural Networks (CNNs) and the promising results achieved by CNNs in computer vision tasks, there has been a shift in designing computer-aided detection algorithms for prostate cancer toward CNN architectures~\\cite{Kwak2017,Song2018,Wang2017,Yang2017,Yoo2019}. From Machine learning perspective, prostate cancer detection is a binary classification task. To evaluate performance of such a binary classification model, Area Under Receiver Operating Characteristic (ROC) curve (AUC) is usually used. In medical imaging in particular, AUC is widely used as a performance measure~\\cite{Park2004}.\n\nConventional approach for training a CNN is backpropagation~\\cite{nref1}. For a loss function to work in backpropagation, it must be differentiable~\\cite{nref2}. However, AUC is not differentiable and therefore, CNNs are usually trained using a loss functions based on other performance metrics such as cross entropy. During the training process, while loss is being minimized, AUC is monitored and the best performing model is selected based on the highest AUC~\\cite{Wang2017,Yang2017,Yoo2019}. The challenge here is that a model optimized for minimum loss may not necessarily produce the best possible AUC. To address this issue, we propose an evolution-based method to fine-tune a CNN that has been trained for prostate cancer detection. \n\nGenetic algorithms (GAs) are a class of evolutionary methods which have been used for optimization in machine learning for a number of years~\\cite{ref9, DBLP:journals\/corr\/XieY17}. GAs do not rely on the derivative of the loss function (called fitness function in evolutionary algorithms domain). High computational cost of GAs has limited their application in CNN optimization~\\cite{Castillo_g-prop-iii:global}. Nevertheless, there are efforts for using GAs for optimizing CNNs for image classification~\\cite{ref10,Sun2018}. \n\nIn this paper, we use a GA to fine-tune a CNN, which has been trained for prostate cancer detection using Diffusion-Weighted Magnetic Resonance Imaging (DW-MRI). The GA is applied to the fully connected (FC) layers of the CNN, thus the computational cost is significantly reduced. Although more sophisticated CNN architectures have been used for prostate cancer detection~\\cite{Wang2017,Yang2017,Yoo2019}, we developed a simple CNN with 3 convolutional layers and 3 FC layers to demonstrate capability of the proposed method in improving the performance of CNN architectures. The proposed evolutionary fine-tuning algorithm improves AUC of the CNN by 9.3\\% in the test set, which includes 1,334 slices of DW-MRI images of prostate.\n\n\\section{Methods}\n\nDW-MRI images from 414 prostate cancer patients (5,706 2D slices) were used as the dataset. Institutional review board approval was obtained for this study. Six DWI sequences were included for each slice: apparent diffusion coefficient (ADC) map, and five different b-value images (0, 100, 400, 1000, and 1600 $sm^{-2}$). Images were preprocessed and prostate regions were cropped using manual contours of the prostate. Each prostate region was resized to $64 \\times 64$ pixels. The dataset was divided into training (217 patients, 2,955 slices), validation (102 patients, 1,417 slices), and test sets (95 patients, 1,334 slices). Label for each slice was generated based on the targeted biopsy results where a clinically significant prostate cancer (Gleason score>6) was considered a positive label.\n\nFigure~\\ref{figure:1} shows the CNN architecture that we used for the experiments. The configuration of the CNN is shown in Table~\\ref{table:1}. Padding was not used in the architecture and stride was equal to one. Weights of CNN layers were initialized by Xavier method~\\cite{Glorot10understandingthe}. All biases and weights of FC layers were randomly initialized from a uniform distribution over [0, 1]. The model was trained based on Cross Entropy loss function and optimized by Stochastic Gradient Descent (SGD)~\\cite{Ruder2016}. We used Python 3.7.3, PyTorch 1.1.0, and Ubuntu 19.04 for the experiments.\n\n\\begin{figure}[htp]\n  \\centering\n  \\includegraphics[scale=0.45]{Fig1.JPG}\n  \\caption{The Proposed GA-CNN Architecture}\n  \\label{figure:1}\n\\end{figure}\n\n\\begin{table}\n  \\caption{Configuration of the CNN}\n  \\label{table:1}\n  \\centering\n  \\begin{tabular}{ll}\n    \\toprule\n    Layer     & Configuration \\\\\n    \\midrule\n    CNN-1\t&input channels=6, output channels=16, kernel size=7 \\\\\n    Max Pooling-1\t&kernel size=2 \\\\\n    Dropout-1\t&probability=0.1\\\\\n    CNN-2\t&input channels=16, output channels=32, kernel size=5\\\\\n    Max Pooling-2\t&kernel size=2\\\\\n    Dropout-2\t&probability=0.1\\\\\n    CNN-3\t&input channels=32, output channels=64, kernel size=4\\\\\n    Max Pooling-3\t&kernel size=2\\\\\n    Dropout-3\t&probability=0.1\\\\\n    Fully Connected-1\t&input size=1024, output size=256\\\\\n    Fully Connected-2\t&input size=256, output size=64\\\\\n    Fully Connected-3\t&input size=64, output size=2\\\\\n    \\bottomrule\n  \\end{tabular}\n\\end{table}\n\n\nConvolution layers can be considered as feature extractors, which are optimized by SGD. However, FC layers are in fact classifiers, which may not reach an optimum point in terms of AUC by SGD. Thus, we hypothesize that by introducing a GA to FC layers, the classifier portion of the CNN is further optimized for AUC. Therefore, our proposed approach is similar to freezing shallow layers (feature extractors) of CNNs in Transfer Learning~\\cite{Shie2015}.\n\nThe initial population of our GA includes 512 instances of the classifier (3 FC layers of the CNN). One instance is extracted from the trained CNN model while the remaining 511 instances are randomly initialized. Classifiers (instances) are ranked based on their AUC performance for the training set. Top half of the instances are transferred to the next generation. They are then crossed over and mutated to produce two remaining quarters of the generation. Mutation occurs with probability of 1\\%. As long as the maximum AUCs on the validation and training sets are improved, this process continues.\n\nEven with targeting FC layers, computational cost and memory requirements of the GAs are still high. To mitigate this, we applied the crossover and mutation operations at layer level, instead of individual nodes (Figure~\\ref{figure:2}). In other words, we do not optimize each individual weight and bias of the classifier and instead, parents and offsprings are in the form of an entire layer.\n\\begin{figure}[htp]\n  \\centering\n  \\includegraphics[scale=0.25]{Fig2.JPG}\n  \\caption{High-level GA application: (a) Crossover (b) Mutation}\n  \\label{figure:2}\n\\end{figure}\n\n\\section{Evaluation and Results}\nBased on a grid search performed for selecting optimum hyper-parameters, we set learning rate to 0.001, and momentum equal to 0.8. L2 penalty of 0.001 and batch size of 1 were used. Although the maximum epoch number was 50, the best AUC was achieved in 10$^{th}$ epoch. Once he CNN was optimized by SGD, the model attained an AUC of 0.794 on the validation set and 0.707 on the test set. Our best model after applying the GA was achieved in the third generation. The AUC performance was 0.815 and 0.773 on the validation and test sets, respectively, which is a 9.3\\% of AUC improvement on the test set. Table~\\ref{table:2} lists the results in detail. We ran the GA algorithm on GeForce GTX 1060 and it took 10 min to reach the optimal AUC result.\n\n\n\\begin{table}[h!]\n  \\caption{AUC performance for SGD and proposed GA-based Method}\n  \\label{table:2}\n  \\centering\n  \\begin{tabular}{lll}\n    \\toprule\n\t& SGD\t&GA\\\\\n    \\midrule\n    AUC on train set\t&0.867\t&0.877\\\\\n    AUC on validation set\t&0.794\t&0.815\\\\\n    AUC on test set\t&0.707\t&0.773\\\\\n    \\bottomrule\n  \\end{tabular}\n\\end{table}\n\n\n\n\\section{Conclusion}\nIn this work, we proposed a GA-based method to fine-tune CNNs for prostate cancer detection. Monitoring validation set AUC during conventional training of CNNs results in a sub-optimal model. By applying a GA to FC layers, and performing crossover and mutation on the entire layer instead of individual coefficients, the proposed evolution-based fine-tuning procedure becomes feasible even for low-end GPUs such as GeForce GTX 1060. We demonstrated that for a simple CNN architecture with 3 convolutional layers and 3 FC layers, our proposed evolutionary algorithm can improve the AUC of test dataset by 9.3\\%.\n\n\\bibliographystyle{unsrt}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nThe question of the stability of the shock structure has regained recent interest with the advent of multipoint measurements at the Earth's bow shock. Numerical simulations have indicated for a long time that even under steady upstream conditions and for a broad range of parameters collisionless shocks can exhibit dramatic structural changes and eventually self-reform quasi-periodically \\citep{BW72JGR,Bur89GRL,LGS04SSR}. However experimental evidence of this kind of behaviour in space plasmas have been limited. For instance, \\citet{TGB90JGRa} and \\citet{TGO93JGR} have observed quasi-periodic variations on a time-scale of approximately two upstream proton gyroperiods in the ion velocity distributions downstream of the quasi-parallel Earth's bow shock which they have attributed to shock reformation. Using multipoint Cluster measurements, \\citet{LHD08JGR} have studied the scales and growth of large amplitude pulsations (Short Large Amplitude Magnetic Structures, SLAMS) thought to be part of the quasi-parallel shock transition region. At the quasi-perpendicular shock, \\citet{HCL01AG} have noticed on some Cluster crossings a significant variability in magnetic field profiles, particularly in the foot, despite a relatively small spacecraft separation. A large variability in magnetic and electric field time series was also observed by \\citet{LKB07GRL} at a high Mach number quasi-perpendicular shock crossing, complemented with bursty variations in reflected ions occuring on a time scale comparable to a proton gyroperiod. Another form of non-stationarity was found by \\citet{MBH06JGR} who have identified coherent oscillations with a wavelength of a few tens of upstream ion inertial length confined to the shock layer and propagating along it.\n\nThe general problem of the shock stationarity is complicated by the importance of the shock geometry. Quasi-parallel and quasi-perpendicular shocks are indeed distinguished by significantly different structure, scales and dissipative processes\n(e.g. \\citep{Sch06SSR}). At least for supercritical shocks resistivity is insufficient to provide the required dissipation, which is then provided in a first step by reflecting upstream part of incoming ions. Assuming a specular reflection process and a step-like shock transition one finds out that the limit between quasi-perpendicular and quasi-parallel shocks $\\theta_{Bn}=45^{\\circ}$ corresponds to the angle below which the guiding-centre of the reflected ions is directed upstream instead of being directed back towards the shock \\citep{GTB82GRL}. However specularly reflected ions at shocks only slightly below $\\theta_{Bn}=45^{\\circ}$ may still re-encounter the shock front during the course of their gyromotion unless the shock angle is actually lower than $\\sim 40^{\\circ}$ \\citep{STG83JGR}. Only then are these reflected ions able to escape upstream, and by backstreaming against the solar wind flow they excite upstream waves (e.g. \\citep{Que88JGR}). As these low-frequency waves grow to large amplitudes they interact with the incoming solar wind, giving quasi-parallel shocks a more extended and visibly more complex and dynamic structure than quasi-perpendicular ones. Clearly there is more to collisionless shock dissipation than simple specular reflection. In the case of curved shocks such as the Earth's bow shock this picture is further complicated by ions streaming from other parts of the shock which also contribute to instabilities near the quasi-parallel shock. \\citet{BLS05SSR} provide a recent review of observations of quasi-parallel shock structure and processes (see also \\citep{Bur95ASR}).\n\nObservations have therefore shown that the bow shock can significantly deviate from the textbook picture of a locally planar and stationary structure and that it may eventually reform. However the scales and complexity of shock reformation combined with the limited number of measurement points have not provided so far direct evidence by following sequentially the reformation of a shock front.\n\nThis paper presents a case study of a crossing by the Cluster fleet \\citep{EFG01AG} of a shock with $\\theta_{Bn}\\approx 45^{\\circ}$. The region upstream of the shock exhibits a low-frequency quasi-monochromatic wave as more commonly observed upstream of quasi-parallel shocks. The wave cycle nearest to the shock ramp is found to steepen and grow into a pulse-like structure which we argue corresponds to the formation of a new shock-ramp.  The four Cluster spacecraft were able to sequentially observe this process which we interpret to be shock reformation.\n\n\n\\section{Data}\n\nThis study concentrates on a shock crossing on 16 March 2005 around 1530 UT by Cluster occurring during a data burst mode interval. The quartet was in a tetrahedron configuration with inter-spacecraft separations of the order of 1300 km.\nThe magnetic field data from the Flux-Gate Magnetometer (FGM) \\citep{BCA01AG}  used in this study was averaged at a resolution of one vector per spin-period (4 s) or 10 vectors per second, averaged from a 67 vectors\/second sampling frequency in burst mode. The electric field data from the Electric Field and Wave (EFW) \\citep{GBH97SSR} instrument used here has a temporal resolution of approximately 2 ms. Ion data was provided by the Hot Ion Analyzer (HIA) of the Cluster Ion Spectrometer (CIS) \\citep{RAB01AG} which measures fluxes of positive ions irrespective of species in the energy range 0.005-26 keV\/e and takes a spin period to build a full 3d distribution (transmitted to the ground every spin in burst mode) and has an angular resolution of $22.5^{\\circ}\\times 22.5^{\\circ}$. However during this interval the instrument was in a magnetospheric mode not optimized for the solar wind, and CIS\/HIA data were available on spacecraft 1 and 3 only. Electron data came from the Low Energy Electrostatic Analyzer (LEEA) of the Plasma Electrons And Current Experiment (PEACE) \\citep{JAB97SSR}. In this burst mode, a 3d distribution with reduced polar resolution (3DX1) was transmitted to the ground every spin, and consists of 26 energy levels in the range 0.007-1.7 keV, 6 polar and 32 azimuthal angular bins. This data was then reduced on the ground to pitch-angle distributions using high-resolution FGM data, and corrected for the spacecraft potential effect using spin-resolution EFW data. Magnetic field and particle from the MAG and SWEPAM instruments onboard the Advanced Composition Explorer (ACE) spacecraft \\citep{SFM98SSR} were used to compute the upstream solar wind parameters. The time delay taken by the solar wind to travel from the Lagrange point to the Earth's bow shock was taken into account assuming it moves with a constant velocity parallel to the GSE $x$-axis. \n\n\n\\section{Shock observations}\n\n\\subsection{Global shock properties and Cluster configuration}\n\n\\begin{table*}[ht]\n\\caption{\n  Main shock parameters at the asymptotic upstream and downstream locations. Upstream parameters were taken from ACE data.\n  Frame-dependent quantities are given in the Normal Incidence frame (the shock rest frame where the upstream \n  solar wind velocity is directed along the shock normal). \n}\n\\begin{tabular}{llll}\n    \\tableline\n    Parameters                                               & units          & upstream                   & downstream               \\\\  \\hline\n    $B$                                                      & nT & 9     & 27   \\\\ \n    $n_p$                                                    & cm$^{-3}$      & 5.6                      & 19.6     \\\\\n    Proton ram energy                   & eV             & 946                    & 78                    \\\\ \n    $T_p$                                                    & eV             & 4                      & 198                   \\\\ \n    $\\beta_p$                                                & --             & 0.1                      & 2.2                     \\\\ \n\n    $T_e$                                                    & eV             & 17                     & 54                    \\\\ \n    $\\beta_e$                                                & --             & 0.5                      & 0.6                     \\\\  \n    Proton gyrofrequency, $f_{gp}$                           & Hz             & 0.14                      & 0.41                     \\\\ \n    Proton inertial length, $\\lambda_{p}$                   & km             & 96                     & 51                    \\\\ \n    Thermal proton gyroradius, $\\rho_{p}$                    & km             & 22                     & 54                    \\\\ \n    Convected proton gyroradius, $v_{p1}\/\\Omega_{gp}$        & km             & 493                    & 167                   \\\\ \n    Specularly-reflected proton gyroradius                   & km             & 4536                   & --                       \\\\ \n    Phase-standing whistler wavelength, $\\lambda_w$          & km             & 75                     & --                       \\\\ \n    $\\theta_{Bn}$                                            & deg            & 47                     & 77                    \\\\ \n    Alfv\\'en velocity, $c_A$                                 & km\/s           & 77                     & 122                   \\\\ \n    Alfv\\'en Mach number, $M_A$                              & --             & 5.5                      & 1.00                     \\\\ \n    Magnetosonic Mach number, $M_{ms}$                       & --             & 4.6                      & 0.8                     \\\\ \n    \\\\ \\tableline\n\\end{tabular}\\label{tab:shock_params}\n\\end{table*}\n\n\n\\begin{figure}\n  \\includegraphics[width=18pc]{2009ja014268-p01_orig.eps}\n  \\caption{Shock crossing configuration. Top panels show the upstream magnetic field lines and the location of the crossing (black square) in the GSE $xy$ and $xz$ planes. The main panels show the asymptotic magnetic fields, solar wind velocity in the normal incidence shock frame, and projection onto the coplanarity (NL) plane of spacecraft locations and direction of the upstream wavector. The grey area corresponds to the main shock ramp, and distances are normalized to the upstream proton inertial length $\\lambda_p$. Spacecraft in this plane are approximately aligned along the shock normal for C1 (black), 3 (green) and 4 (blue), while C2 (red) crosses the shock nearly simultaneously to C1 but approximately $10 \\lambda_{p}$ away along the shock front. The spacecraft travel from downstream to upstream.}\n  \\label{fig:config}\n\\end{figure}\n\nThe solar wind as monitored by ACE, time-shifted by the solar wind travel time from the Lagrange point to the shock, remains steady and quiet during the whole time interval and for nearly half an hour before, in particular with a velocity around 400 km\/s and no important change in magnetic field direction. Because of the presence of large amplitude fluctuations extending far upstream of the shock (and of the CIS instrument mode), the asymptotic upstream field and particle parameters are estimated from the ACE measurements (taking into account the solar wind travel time to the shock).\n\nThe crossing occurs at $(12.7, 0, 4.6)Re$ (GSE), from downstream to upstream (outbound crossing). The shock timing analysis (which assume a planar surface moving at constant speed) \\citep{Sch00Book} yields a normal $\\hat{\\mathbf{n}} = (0.93, -0.12, 0.35)$ (GSE), a shock angle between the upstream magnetic field and the normal $\\theta_{Bn} = 45^{\\circ}$ and a velocity along normal of -13 km\/s in the spacecraft frame. The Abraham-Shauner method \\citep{Sch00Book} which makes use of the MHD jump (Rankine-Hugoniot) conditions for the magnetic and velocity fields (and assumes as well a planar surface and shock stationarity) yields a similar result, $\\hat{\\mathbf{n}} = (0.93, -0.10,  0.35)$ and $\\theta_{Bn} = 46.5^{\\circ}$. The shock is therefore within experimental errors at the formal limit of quasi-perpendicular and quasi-parallel shocks, and we shall generically call it an oblique shock.\n\nThe projected spacecraft locations onto the coplanarity plane show that Cluster-1 (C1), 3 and 4 are approximately aligned along the shock normal while C1 and 2 are perpendicular to it and cross the ramp nearly simultaneously (fig.\\ \\ref{fig:config}). The shock is crossed first by C4, then by C1 and 2 together and finally by C3.\n\nThe shock is super-critical with an Alfv{\\'e}n Mach number $M_A=5.5$. The proton thermal to magnetic pressure ratio for this shock is low, $\\beta_p=0.1$. Other shock and plasma parameters are summarized in Table \\ref{tab:shock_params}.\n\n\\begin{figure}\n  \\includegraphics[width=18pc]{2009ja014268-p02_orig.eps}\n  \\caption{4s-resolution magnetic field intensity (top panel) and components in shock normal coordinates on all four spacecraft. Data are time-shifted to allow comparisons of the shock structure and upstream wavetrain measured by the spacecraft. Time information is translated into distance assuming the whole structure travels at the constant shock velocity estimated from the timings.}\n  \\label{fig:lowresshock}\n\\end{figure}\n\n\n\\subsection{The upstream low-frequency wave}\n\nAn upstream ultra-low frequency wave (ULF) with a period $\\sim$42 s ($f=24$ mHz) in the spacecraft frame is observed for over 10 minutes from the ramp (fig.\\ \\ref{fig:lowresshock}). The time-series appear quasi-monochromatic at 4 s-resolution, but considerable broadband higher-frequency fluctuations are seen in the higher-resolution data. The ULF oscillations can be seen in the magnetic field intensity as well as all three components and strongly increase in amplitude in the vicinity of the ramp. For instance, at the shock ramp the magnetic field fluctuations along the shock normal reach $\\delta B_N \/ B_N\\approx 1.7$, and the fluctuations in the non-coplanar component of the magnetic field $\\delta B_M$ are nearly as large as the overall difference between upstream and downstream magnetic field component in the maximum variance direction $B_L$. \nThe general shock profile, ULF wave characteristics and its relative location with respect to the shock seem remarkably similar on all four spacecraft despite the large spacecraft separation and temporal spread of the crossings (the first and last shock crossings are approximately 80 s apart). This gives to the wave an unexpected appearance of phase-stationarity with respect to the shock (to be discussed in the final section). Oscillations extend over one or two periods downstream of the ramp with a shorter period $\\sim$36 s, although it is not entirely clear whether they correspond to a transmitted wave or to the overshoot-undershoot cycle.\n\nMinimum Variance Analysis (MVA, see e.g. \\citep{SR09SSR}) applied suggests that the wavevector is roughly aligned with the magnetic field (the deviation, $\\theta_{kB}\\approx 24^{\\circ}$, is mainly in the out of coplanarity plane direction), \n$\\mathbf{k}\/k = \\pm (0.63, 0.38, 0.67)$ (NML). \nThe wave has a high degree of polarization (0.92), is left-hand polarized (with respect to the magnetic field) in the spacecraft frame with ellipticity $\\varepsilon = -0.81$ and has a low compression ratio $C_e=\\left(\\delta n\/n_0\\right)^2(B_0^2\/\\delta B^2)=0.12$ (tab. \\ref{tab:wave_params}).\n\nMore properties can be derived from the time delays between spacecraft assuming a planar wavefront. Although in general for a monochromatic wave the time delays can only be determined modulo the wave period, we find that the smallest delays determined from the time-series provide a direction close to that of the MVA, namely \n$\\mathbf{k}\/k = (0.66,  0.37,  0.65)$ in NML coordinates\n(2$^{\\circ}$ away from the MVA result). The corresponding phase velocity in the spacecraft frame is 142 km\/s which yields a wavelength of 5930 km. From the wavevector and the mean upstream plasma velocity, the frequency in the plasma frame is found to be 0.01 Hz and the plasma frame phase velocity is 56 km\/s, lower than but comparable to the upstream Alfv\\'en speed (76 km\/s). In this frame, the wave propagates against the solar wind flow and therefore is right-hand polarized. The properties summarized in table \\ref{tab:wave_params} such as wavelength $\\sim R_E$, upstream propagation direction and right-hand polarization are fairly typical of ULF waves studied using ISEE \\citep{HR83JGR} or Cluster \\citep{EBD02GRL,AHL05JGR} datasets, and are thought to result from an electromagnetic ion\/ion right-hand resonant instability due to ions backstreaming from the shock. Finally, the phase velocity along the shock normal in any shock rest frame is estimated to be $\\mathbf{v}_{\\varphi}^{\\mathrm{(shock)}}\\cdot\\hat{\\mathbf{n}}\\approx -80$ km\/s showing that as expected the wave is not phase-standing but convected towards the shock by the solar wind.\n\nApplying MVA to shorter time intervals (2 wave periods) however reveals that these properties change closer to the shock front. As shown in fig.\\ \\ref{fig:running_mva} the wavevector approximately aligns itself with the shock normal, the polarization becomes less circular and the compression ratio increases. These changes appear during intervals which do not yet include the shock ramp, corresponding to specific properties of the cycle nearest to the ramp which may be affected by the shock foot and reflected ions. Since the wave is assumed to be planar and has a high degree of polarization, an effect of the alignment of the wavevector with the shock normal should be to diminish the perturbations due to the wave to the planarity of the shock surface. In addition the oscillations seem to remain in-phase with the shock as if the ramp was part of one cycle and other cycles were phase-standing next to it. Indeed, the timings of the pulse nearest to the shock ramp confirm the wavevector alignment with the normal (consequently $\\theta_{kB}\\approx 40^{\\circ}$) and a velocity nearly identical to that of the shock, about -13 km\/s in the spacecraft frame. This yields a wavelength an order of magnitude lower than further upstream, $\\lambda\\approx 500 km \\approx 5 \\lambda_p$. \n\nBesides changes in wavevector and velocity, the wave experiences a strong amplification near the shock. The cycle standing nearest to the ramp indeed nearly reaches shock-like amplitudes and displays an interesting behaviour detailed in the next section.\n\n\n\\begin{table*}[ht]\n\\caption{Properties of the upstream ultra-low frequency wave in spacecraft and plasma frames.}\n\\begin{tabular}{lll}\n    \\tableline\n              & Spacecraft & Plasma \\\\\n    \\tableline\n    Frequency $\/f_{gp}$ & 0.14  &  0.07  \\\\\n    Wavelength $\/\\lambda_p$ & 62 & 62 \\\\\n    Phase velocity $\/c_A$ &  1.8 & 0.74 \\\\\n    Polarization degree & 0.92 & 0.92 \\\\\n    Polarization & Left-hand & Right-hand \\\\\n    Ellipticity & -0.81 & + 0.81 \\\\\n    Compression ratio & 0.12 & 0.12 \\\\\n    \\tableline\n\\end{tabular}\\label{tab:wave_params}\n\\end{table*}  \n\n\n\\begin{figure}\n  \\includegraphics[width=18pc]{2009ja014268-p03_orig.eps}\n  \\caption{Wave properties in spacecraft frame derived from MVA on 84s intervals of 4s resolution data. The top panel shows the magnetic field intensity. Next panel shows the polar angle $\\theta$ between $\\mathbf{k}$ and $\\hat{\\mathbf{n}}$, and $\\phi$ which is the azimuthal angle in the LM plane with respect to the L axis. The dotted lign indicates $\\theta_{Bn}$. Lower panels show the ellipticity and electron compression ratio.}\n  \\label{fig:running_mva}\n\\end{figure}\n\n\n\n\\subsection{The growing and steepening pulse upstream of the shock ramp}\n\n\\begin{figure}\n  \\includegraphics[width=19pc]{2009ja014268-p04_orig.eps}\n  \\caption{Main shock ramp and upstream pulse, shown with 4 s resolution FGM data. The pulse growth rate is approximately $0.03f_{cpu}$.}\n  \\label{fig:pulse_growth}\n\\end{figure}\n\nAs noted in the previous paragraph, upstream magnetic field fluctuations reach their largest amplitude at the wave cycle nearest to the shock front. This large amplitude pulse-like structure is crossed by the spacecraft in the same order as the shock ramp (C4 first, followed nearly simultaneously by C1 and C2 and then C3), showing that it is not a partial recrossing of the shock front but a distinct upstream structure. The time delay between the crossings of the shock ramp and the feature is nearly the same for all four spacecraft (about 20s), suggesting that this structure extends parallel to the shock ramp and remains at a constant distance from it.\n\nAs shown in fig.\\ \\ref{fig:pulse_growth} the magnetic field intensity of the structure is the lowest at the crossing by C4, larger at C1 and C2 (and slightly more so at C2 than C1) and largest at C3 where its amplitude is comparable to that of shock itself. The same observation applies to $B_L$. The structure is therefore growing in time. An exponential fit to the peak amplitudes yields a growth rate of $\\gamma\\approx 4\\cdot 10^{-3}$ Hz $\\approx 0.03 f_{gpu}$. The amplitudes are equally well fit by a linear curve with slope $0.011B_u$ s$^{-1}$ $\\approx 0.08B_uf_{gpu}$. Both models estimate that it takes up to $\\sim 35$ upstream proton gyroperiods for the pulse to grow to shock-like amplitudes.\n\n\\begin{figure}\n  \\includegraphics[width=19pc]{2009ja014268-p05_orig.eps}\n  \\caption{High-resolution (10 vectors per-second) magnetic field measurements of the growing structure in shock NML coordinates. The structure is not only found to grow in amplitude but also to steepen while emitting whistlers, and measured electric field intensities correspondingly increase to reach ramp-like values.}\n  \\label{fig:bump_highres}\n\\end{figure}\n\nHigh-resolution magnetic field data show that besides growing in amplitude the structure is found to steepen (fig.\\ \\ref{fig:bump_highres}). The steepening is most visible in $B_L$ and occurs on the upstream edge of the pulse (apart perhaps from C2 on which the \"downstream\" side of the pulse seems at least as steep as its upstream side). As the steepening proceeds quasi-periodic whistler-like fluctuations (at $\\approx 0.15$ Hz, best seen on $B_M$) are emitted upstream and the measured electric field magnitude $(E_x^2+E_y^2)^{1\/2}$ increases too and reaches on C3 values comparable to those in the ramp. Furthermore, high-resolution data reveal that the pulse is seen slightly earlier on C2, consistent with its position slightly upstream of C1 as sketched in Fig 1. However, that data also shows the pulse's growth and steepening to be more advanced at C2. This shows that at this separation scale the pulse's structure and growth is not perfectly homogeneous along the shock plane.\n\nFinally one notes on C1 and C2 in between the pulse and the shock ramp localized dips in $B_L$ reaching negative values, similar to that observed  during the reformation cycle in 1d \\citep{Bur89GRL,WTO90JGR} and 2d \\citep{SFK93JGR} quasi-parallel shock hybrid simulations.\n\n\n\\subsection{Particles and cross-shock potential}\n\n\n\\begin{figure}\n  \\includegraphics[width=19pc]{2009ja014268-p06_orig.eps}\n  \\caption{Energy spectrograms of ions from CIS\/HIA, summed over all angles. Upstream, both solar wind and energetic ions are strongly affected by the wave. At the shock, a distinct population of reflected ions around 3 keV is observed at the shock ramp on C1 but not on C3, where it is observed on the upstream steepened structure instead.}\n  \\label{fig:hia_spectro}\n\\end{figure}\n\nIf the growing feature is indeed becoming a new shock front, then it should affect the heating and reflection of incoming solar wind particles and correspondingly develop an electric potential jump. fig.\\ \\ref{fig:hia_spectro} shows magnetic intensity profile and ion energy spectra (from CIS\/HIA, all species and summed over all view angles) on C1 and C3. Two distinct ion populations are clearly observed in the solar wind. The lowest energy one ($\\approx 1$ keV) is the incoming solar wind beam which undulates under the effect of the wave, yielding large oscillations of the velocity moment. It seems however that the wave results in little or no ion heating (which is nevertheless difficult to check quantitatively in the absence of reliable temperature estimates due to the particular CIS instrument mode). \n\nThere is also a higher energy ($\\approx 3$ keV), less dense but hotter population which is strongly modulated by the wave suggesting that some of these energetic ions could be trapped by the large-amplitude wave. The highest count rate of energetic ions on C1 appears during the shock ramp crossing around 15:28:40 UT. This distinct ion population has an energy around 3 keV and should consist of gyrating specularly-reflected protons. A similar but lower count-rate group of ions is observed on the next peak of magnetic intensity. The situation on C3 is slightly different however. There is no distinct energetic population of energetic gyrating ions observed at the \"old\" shock ramp. These are only seen at the upstream steepened structure, as if it became a new shock front where most of the ion reflection occurs. One notes however that there is little appreciable ion heating between this structure and the old ramp, suggesting that some solar wind plasma is not processed by a full ramp structure but caught in between. \n\n\\begin{figure}\n  \\includegraphics[width=19pc]{2009ja014268-p07_orig.eps}\n  \\caption{Magnetic field intensity (top) and estimated electric potential (bottom) time-shifted in order to make the magnetic ramps coincide. The downstream cross-shock potential values are very similar on all four spacecraft. However the location of main potential jump seems to move upstream of the main magnetic ramp.}\n  \\label{fig:cspot}\n\\end{figure}\n\n\nSpecular ion reflection being associated to the cross-shock potential at least part of the potential jump must occur at the new front. One of the most reliable ways to estimate the electric potential across a shock is to use electron data combined with Liouville mapping (\\citep{LSF07JGR} and references therein). Based on assumptions of conservation of electron energy in the de Hoffmann-Teller frame and first adiabatic invariant, this technique relates the changes in electron velocity distributions between two locations to the unknown potential difference. A variant of this technique is used which takes into account the field maxima in between the two locations \\citep{LSF07JGR}.\n\nThe estimated cross-shock potentials on all four-spacecraft in the de Hoffmann-Teller frame are shown in fig.\\ \\ref{fig:cspot}, where time-series have been shifted in order to make the main magnetic ramps coincide. Their downstream values are remarkably similar on all four spacecraft despite the shock non-stationarity. However the location of the main potential jump with respect to the main magnetic ramp seems to differ from spacecraft to spacecraft. During the C4 crossing, when the new ramp was just starting to form, the potential jump occurs at the magnetic ramp. It is then observed further upstream on C1 and C2 crossings, and near the newly formed ramp on C3. \n\n\n\\subsection{Large-amplitude downstream perturbations and indications of a reformation cycle}\n\n\\begin{figure*}\n  \\includegraphics[width=0.7\\textwidth]{2009ja014268-p08_orig.eps}\n  \\caption{Time-shifted high-resolution magnetic field intensity and electric field ($|E_{xy}|=(E_x^2+E_y^2)^{1\/2}$). Spacecraft are ordered in the order by which they cross the shock. Besides the growth of the upstream pulse which becomes a new ramp, data show strong perturbations approximately one wavelength downstream of the main ramp. This can be interpreted as remnants of an old shock front from a previous reformation cycle.}\n  \\label{fig:cycle}\n\\end{figure*}\n\nLarge perturbations are also found downstream of the main shock ramp as shown in fig. \\ref{fig:cycle}, localised at approximately the same distance from the main ramp as the upstream pulse. On all four spacecraft a depression in the mean magnetic field intensity is observed. Large magnetic field and electric field fluctuations are present within this depression. The amplitudes of the electric field fluctuations are comparable to or even larger than at the main ramp. The depth of the depression and amplitude of the fluctuations are also decreasing in time, being the lowest on C3 which is the last to cross the shock. The decrease occurs on time scales comparable to the growth of the upstream pulse. These perturbations can be interpreted as remnants of an older shock ramp which decays in time, showing that the previously described formation of a new ramp is not an isolated event but part of a quasi-periodic reformation cycle. Based on the growth rate of the upstream pulse and the decay of downstream perturbations, the reformation period can be estimated as several tens of upstream proton gyroperiods, and could be a few periods of the upstream low-frequency wave. This is significantly longer than the period of variations of the downstream ion populations ($\\sim 2 f_{pu}^{-1}$) observed by \\citet{TGB90JGRa}, although the shocks studied by these authors have slightly different parameters and in particular higher Mach number.\n\n\n\n\\section{Summary and discussion}\n\nThe shock analysed in this paper is oblique ($\\theta_{Bn}\\approx 45^{\\circ}$), moderate Mach number ($M_A\\approx 5.5$) and low-$\\beta$ ($\\beta_i\\approx 0.1$).\n\nUpstream of the shock a long-wavelength ($\\lambda\\approx 62\\lambda_p$), low-frequency ($f\\approx 0.07f_p$ in the plasma frame) and right-hand polarized in the plasma frame quasi-monochromatic wave propagates against the solar wind flow approximately parallel to the upstream magnetic field ($\\theta_{kB}\\approx 24^{\\circ}$). Its properties are consistent with a magnetosonic-like wave excited by a weak ($n_b\\ll n$) and cool ($v_{Tb}<v_b$) ion beam backstreaming from the shock through an electromagnetic ion\/ion right-hand resonant instability \\citep{Gar91SSR}. Such an instability has its maximum growth rate for field-aligned wavevectors and obeys the linear dispersion relation in the cold plasma approximation $\\omega = k_{\\parallel}v_b - \\Omega_p$ (real part). In the low frequency limit $\\omega\\ll \\Omega_p$ one therefore has $k_{\\parallel}\\approx\\Omega_p\/v_b$. Assuming that the energetic ion population seen in fig.\\ \\ref{fig:hia_spectro} ($\\sim$3 keV in the spacecraft frame) corresponds to the backstreaming ions yields an estimate for the phase velocity $\\omega\/k_{\\parallel}\\approx (\\omega\/\\Omega_p)v_b\\approx 80$ km\/s in good agreement with the timing results, but the wavelength is found to be $\\lambda\\approx 8300$ km which is larger than the observed wavelength of 5900 km. It is therefore likely that the 3 keV population (which actually spreads from 2 to 10 keV) is modulated by the wave but not its source. Instead the wave may have been generated further upstream by a beam of ions coming from another part of the shock. Indeed the wave properties described in this paragraph are also similar to those of ULF waves in the ion foreshock \\citep{HR83JGR,EBD02GRL}, waves which are generally not observed simultaneously to the field-aligned beams but in association to diffuse-ions or gyrating beams in cyclotron resonance with the wave \\citep{MML03PSS}. The observed high energy ion population modulated by the wave is therefore more likely to be either a gyrating beam of reflected ions which managed to escape from the shock or gyrating ions trapped by the wave. \n\n\\begin{figure}\n  \\includegraphics[width=12pc]{2009ja014268-p09_orig.eps}\n  \\caption{Illustration of the wave refraction near the shock. The wavefronts (dashed lines) become nearly parallel to the shock surface (thick grey line), which requires a lower phase velocity in the shock frame at location 1 (near the shock) than at 2 (further upstream).}\n  \\label{fig:alignment}\n\\end{figure}\n\nDue to its small phase velocity the wave is swept back by the solar wind, and closer to the shock the wave properties change significantly. The wavevector aligns itself with the shock normal, which could be due to an increase of refraction index in the foot region. A similar alignment was found in the 2D hybrid simulations of \\citet{SFK93JGR}, which they attributed to an increase in density of the diffuse ions near the shock. This alignment makes the perturbations of the shock due to the wave more homogeneous along the shock surface. It is this greater deviation from parallel propagation which allows the wave to become more compressional and steepen, an effect which was conjectured by \\citet{HKT87JGR} to happen as ULF waves are convected into areas of the foreshock with higher densities of diffuse ions (see also \\citep{BCO06JGR,EBL05JGR}). Besides, the wave has all the appearance of phase-standing with respect to the shock. From a velocity identical to that of the shock in this region, the wavelength is found to be 10 times shorter than further upstream. This slowing down of the wave in the shock frame is entirely consistent with its wavevector alignment with the shock normal, as illustrated by fig.\\ \\ref{fig:alignment}.\n\nIn addition to refractive effects an instability could be operating near the shock front, partly accounting for the changes in wave properties and its strong amplification. This could involve, as dicussed by \\citet{WTO90JGR}, a relatively dense and cold beam of specularly reflected ions observed near the shock front during the reformation process in the simulations, or an instability localized at the shock front resulting from the interaction between upstream and some of downstream heated ions. This \"interface instability\" generates waves on the magnetosonic branch with wavelength intermediate between whistlers and ULF waves. For $M_A=5$ the maximum growth rate corresponds to $k\\lambda_p\\approx 0.5$ or $\\lambda\\approx4\\pi\\lambda_p$. This wavelength ($\\lambda\\approx 5\\lambda_p$) estimated near the shock is smaller, but still in the range where the growth rate is close to its maximum value. The instability is weakly dependant on $\\theta_{Bn}$ and tends to have its wavector aligned with the shock normal. However the exact mechanism(s) operating on the wave near the shock front is (are) certainly more complicated since we are dealing with very large-amplitude (nonlinear) waves and a highly inhomogeneous situation. One can however note that because the wavelength near the shock is about 6 times the theoretical wavelength of the phase-standing whistler the mechanism leading to reformation is distinct from the whistler-mediated reformation discussed for oblique and quasi-perpendicular shocks by \\citet{BW72JGR,KLS02POP,SB07POP}.\n\nDue to the strong amplification of the wave near the shock, its last cycle before the shock acquires an amplitude comparable to that of the shock itself. This pulsation grows in time, steepens and in the process it emits whistlers, reflects more and more ions and contributes more significantly to the cross-shock potential jump. Reasons for this growth and steepening can be the change in refractive index, a localized instability near the shock front such as the interface instability or nonlinear dynamics of the pulse and its interaction with the shock. Furthermore the amplification mechanism may not operate steadily in time. The negative dips in $B_L$ seen only on C1 and C2 during the intermediate growth stage of the pulse may indeed be the signature of a transient dense ion beam reflected from the shock at this stage of the shock reformation (e.g. as in the simulations of \\citet{TWO90JGR}). At least this indicates an unusual and transient processing of ions in between the main ramp and the pulse during the pulse growth.\n\nWhatever mechanism operates here, these observations give strong evidence that the wave cycle standing nearest to the shock is forming a new shock front on a time scale $\\sim 35f_{gpu}^{-1}$ or less, comparable to that observed in hybrid simulations of quasi-parallel shocks (e.g. \\citep{Bur89GRL,TWO90JGR,SFK93JGR}). The reformation scale (distance between the shock front and pulsation) is $\\sim 5\\lambda_p$, also in good agreement with simulation results. Assuming that the real shock front thus jumps forward such a distance in a time of $35f_{gpu}^{-1}$, its velocity is found to be only a few km\/s larger than that of the \"former\" shock front in the solar wind frame, which does not induces a significant change in effective Mach number. At approximately the same distance from the main shock ramp but on the downstream side there are magnetic and electric field fluctuations with amplitudes comparable to those at the main ramp. These can be naturally interpreted as remnants of an older ramp which decays on a time scale of at least a few wave periods, which is comparable to the one of the new front formation. These remnants show that the observed reformation is not an isolated event but part of a quasi-periodic reformation cycle.\n\nThe reformation process appears quite coherent along the shock surface at the spacecraft separation scale, $\\sim 10\\lambda_p$, thanks to the wavevector alignment with the shock normal. Some differences in the pulse shape between C1 and C2 measurements are nevertheless observed. The cause of this inhomogeneity could be the finite transverse correlation length of the upstream ULF wave, which is typically of the order of 1$R_E$ according to \\citet{LR90JGR} or between 8 and 18 $R_E$ according to \\citet{AHL05JGR}. This is however a bit large to account for the inhomogeneity, even when projected on the shock front. It is nevertheless possible that the ULF waves are unstable to transverse perturbations above some threshold, which would reduce their perpendicular correlation length as their amplitude grows. Another reason could be fluctuations or ripples of the shock surface and the inhomogeneity of the ion reflection\/wave amplification process. The scale is indeed more consistent with the ripple wavelength (a few tens of $\\lambda_p$) estimated by \\citet{MBH06JGR} at the quasi-perpendicular bow shock. In any case this inhomogeneity along the shock front is small since the differences between C1 and C2 observations are much smaller than differences with the other two spacecraft. To a first approximation the reformation thus occurs coherently along the shock front on scales of at least $10\\lambda_p$.\n\n\n\\section{Conclusion}\n\nThe global picture is thus in general agreement with the scenario of quasi-parallel shock reformation proposed by \\citet{Bur89GRL}: as some of the specularly reflected ions escape far upstream they generate waves on the magnetosonic branch which are then convected back into the shock and destabilize it. The major difference between the 1d simulations which inspired this scenario and the observations lies in the changes in the wave properties as it nears the shock, where wave refraction, an additional localized instability mechanism such as the interface instability and probably nonlinear phenomena participate in deflecting, slowing down and amplifying the wave cycle which ultimately forms a new shock front. The wave refraction results in a more coherent reformation along the shock surface. On a longer time-scale, this reformation process has no reason to stop unless there is a major change in the upstream conditions and may be repeated quasi-periodically. In this picture the elementary reformation cycle consists of a shock front and wave locally receding at the same speed while the pulse nearest to the \"old\" shock grows to actually become the \"new\" shock front upstream of the previous one, the ramp effectively making a jump forward. The old shock slowly vanishes and a new pulse grows upstream of the new one, repeating the reformation cycle.\n\nFinally one may list two key elements which conspire to create this particular shock structure and dynamics lending themselves unusually well to analysis.\n\nFirst, there is the shock angle $\\theta_{Bn}\\approx 45^{\\circ}$. It means that relatively small changes in this angle have important consequence on the kinematics of the reflected ions, which either cross the shock after half a gyration and thermalise downstream as in quasi-perpendicular shocks or escape upstream and feed ULF waves as in quasi-parallel shocks. Since on average very few of the reflected ions are expected to escape upstream, this angle may be the reason why there is such a large gradient in the reflected ion density near the shock front and therefore why the wave undergoes such large changes in this region. In some sense this leads to a simpler and compacted version of lower-angle shocks. For instance the growing pulse shares some characteristics with SLAMS \\citep{SB91GRL}. Indeed evidence suggests that SLAMS grow very rapidly, picking up energy from shock-produced energetic ions, and very possibly only in close proximity to the shock \\citep{LHD08JGR}. In addition, they are well-defined entities that propagate from upstream into the nominal shock and give rise to the reformation of the local shock transition. As such, they are\nmanifestations of the dynamic, structured nature of collisionless shocks under oblique geometries. However their growth mechanism differs from that of the pulse described in this paper, in that they are found in more turbulent ULF wave fields and grow off of gradients in diffuse ion populations rather than the quite mono-energetic ions observed here.\n\nSecond, there is the low $\\beta_i$. A consequence of this is that specularly reflected ions form a relatively cold beam well distinct from the background ions, helping to shape unstable ion distributions. But the low $\\beta$ also makes the specular reflection itself more delicate by making it more difficult for the shock to adjust the electric potential in order to reflect the right amount of ions required for the dissipation of the incoming solar wind kinetic energy. In the zero temperature limit specular reflection even results in a \"all or nothing\" situation which clearly cannot be steadily sustained, similarly to the 100\\% ion reflection or transmission occuring in the high Mach number perpendicular shock simulations of \\cite{Que85PRL}. The excess of reflected ions near the shock front is again a likely possibility to explain the wave changes in this region, leading to the formation of a new shock front. \n\nThese two factors show that the shock is in a situation where small changes in $\\theta_{Bn}$ or electric potential have major consequences, making the shock unstable and poorly adaptable to changes in the incoming plasma. As it is perturbed major variations in reflected ions strongly modify the energy flow and structure of the shock. The dynamical modifications of the shock scales and structure may then be viewed as a first order attempt by the shock to correct an inappropriate reflection of ions while trying to maintain on average the asymptotic downstream state.\n\n\n\\begin{acknowledgments}\nThe authors thank M. Fujimoto, S. P. Gary, T. Horbury and I. Shinohara for fruitful discussions.\nParts of this work were supported by a grant to Imperial College from the UK Science and Technology Facilities Council. BL also acknowledges partial support from DOE grant DE-FG02-07ER54941.\n\\end{acknowledgments}\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\tMonolayer graphene is a thoroughly investigated material and boasts exotic applications due to its fundamentally unique physical electronic and optical properties \\cite{Novoselov2004}. For example graphene possesses a gapless Dirac-type band structure \\cite{Tombros2007}, high carrier mobilities and universal broadband optical conductivities \\cite{Koppens2011}. Recently, staggered 2D semiconductors materials \\cite{Castellanos-Gomez2017,Zhao2016} have also attracted intensive attention due to their unusual topological properties \\cite{Zhao2016,Grazianetti2016}. These materials include silicene \\cite{Molle2017}, germanene \\cite{Vogt2012}, stanene \\cite{Davila2014}, and plumbene \\cite{Saxena2016}. Graphene in general shares some common properties with these materials. For example, these 2D materials have stable honeycomb lattice structures \\cite{Cahangirov2009,Cai2015} and are therefore called the graphene family or graphene's siblings. Second, due to larger ionic size of silicon, germanium and tin atoms, they have buckled structures and therefore possess large band gaps. Third, the strong spin-orbit interaction (SOI) is responsible for endowing mass to the Dirac fermions. The strengths of this interaction in silicene \\cite{Ezawa2012,Liu2011}, germanene \\cite{Vogt2012} and tinene \\cite{Xu2013}, are of the order of 1.55\\textendash7.9, 24\\textendash93, and 100 meV respectively. Further, a static external electric field can also tune the band gap for each spin and valley rendering the Dirac mass controllable in both the $K$ and $K'$ valleys. Under the influence of an electric field, the staggered materials are also known to exhibit different topological phase transitions \\cite{Ezawa2013}. Last, analogous to electronics and spintronics, valleytronics provides another degree of freedom (DOF) in these systems, the valley pseudospin, which can be used to store and carry information with implications for quantum information processing \\cite{Schaibley2016,Xiao2007}. These materials therefore provide an accessible playground for valleytronics and the possibility to realize novel tuneable magneto-optic (MO) devices \\cite{Xiao2012,Zeng2012}.\n\t\n\tGoos-H\\\"{a}nchen (GH) and Imbert-Fedorov (IF) shifts are special beam shift phenomena which occur when a finite extent polarized beam of light is incident on the interface of two dielectric media and the reflected beam undergoes longitudinal (parallel to the plane) and transverse (perpendicular to the plane) shifts, respectively \\cite{Goos1947,Imbert1972,Fedorov2013}. These effects are shown in Fig.~\\ref{fig1}. During the last decade, the GH shift has been extensively studied in many different systems, such as photonics \\cite{He2006,Soboleva2012}, plasmonics \\cite{Yin2004,Yin2006}, chiral materials \\cite{Huang2017}, metamaterials \\cite{Longhi2011} and quantum systems \\cite{Lee2014}. The potential applications of GH shift are in biosensors \\cite{Yin2006}, optical measurement and optical heterodyne sensors \\cite{Hashimoto1989}. For example, controlling the Fermi energy in THz region, L. Jiang \\emph{et. al} theoretically studied electrically tunable GH shifts of monolayer graphene \\cite{Fan2016}. The magnetic field and Fermi energy modulated giant quantized GH effect on the surface of graphene in the quantum Hall regime was recently predicted \\cite{Wu2017}. T. Tang \\emph{et. al} proposed an experimental scheme based on a prism-graphene coupling structure for MO tunable GH effect sensing \\cite{Tang2014,Tang12018}. Recently the GH shift on the surface of silicene \\cite{Wu2018}, TMDCs \\cite{Das2018} and Weyl semimetals \\cite{Ye2019} has also been investigated. From an application perspective, Farmani \\emph{et. al} designed a bidirectional and tunable graphene plasmonic switch in a modified Kretchmann configuration in THz range \\cite{Farmani2018}. In the THz to mid-infrared range, the observation of GH effect in graphene may find significant new and interesting applications in extremely sensitive optical sensors \\cite{Li2013,Li2014}. Many works are devoted to study the electronic analog of the valley and spin polarized GH shift in silicene and gapped graphene structures \\cite{Azarova2017, Wu2011}.\n\n     The novelty of this current work lies in obtaining large spin and valley resolved GH shifts simultaneously in staggered 2D materials in the presence of applied electric and magnetic fields, a scenario not comprehensively covered in previous works. The present study details the impact of magnetic field, chemical potential, incident frequency, electric field and incident angle modulation of the valley- and spin-polarized GH shifts in staggered 2D semiconductors materials.\n\n\n    Furthermore, the Brewster effect is a fundamental electromagnetic and optical phenomenon in which $p$ polarized light experiences zero reflection \\cite{Brewster1815,Lakhtakia1989}. Controlling the Brewster angle is extremely important in broadband devices such as the solid-state modulator \\cite{Chen2018}. We also show that the Brewester effect in the silicenic atomic layer is strongly influenced by magnetic fields. Last, we find that angular and spatial GH shifts can be significantly enhanced by tuning the chemical potential, incident beam frequency and the electric field which can render the system in various regimes such as the topological insulator (TI), valley-spin polarized metal (VSPM) and band insulator (BI).\n\t\n\t\\subsection{Model and Theory}\n\t\\begin{figure*}[!htb]\n\t\t\\centering\n\t\t\\begin{tabular}{cc}\n\t\t\t\\includegraphics[width=0.5\\linewidth]{GH1-v3.eps}\n\t\t\t\t\\includegraphics[width=0.5\\linewidth]{GH2-v3.eps}\n\t\t\\end{tabular}\n\t\t\\caption{Schematic representation of the beam reflection at a\n\t\t\t2D staggered material-substrate interface in the presence of an external electric and magnetic fields are shown for partial reflection (PR) and total internal reflection (TIR) conditions. The spatial and angular GH shifts for (a) PR and for (b) TIR. The incident, classically pridected and reflected beams are denoted by a, b and c respectively.}\n\t\t\\label{fig1}\n\t\\end{figure*}\n\tWe consider a well-collimated, monochromatic Gaussian beam of frequency $\\Omega$ with a finite beam width impinging from a medium of refractive index $n_{1}$ onto a staggered 2D semiconductor-substrate system as shown in Fig.~\\ref{fig1}. The incident angle is $\\theta_{1}$ at the interface with a medium of refractive index $n_{2}$. Consider that the $z$ axis of the laboratory Cartesian frame $(x,y,z)$ is normal to the air-staggered 2D monolayer-substrate interface (at $z=0$). A static magnetic field may be applied perpendicularly to the monolayer-substrate system in the $z$ direction. The wave vectors are $k_1$ and $k_2$ where $k_{n}=\\Omega\\sqrt{\\mu_{n}\\varepsilon_{n}}$, $Z_n=Z_0\\sqrt{\\mu_{n}\/\\varepsilon_{n}}$ and $Z_0=\\sqrt{\\mu_{0}\/\\varepsilon_{0}}$, where $\\mu_{0}$ and $\\varepsilon_{0}$ are the vacuum permeability and permittivity respectively and $n=$1, 2 denote the incident and refracted media.\n\tThe low-energy effective Dirac Hamiltonian for the staggered graphene system can be written as \\cite{Tabert2013}\n\t\\begin{equation}\\label{a11}\n\t\\hat{H}_{\\xi \\sigma}=\\hbar v_{F}(\\xi k_x \\hat{\\tau}_{x}+k_y \\hat{\\tau}_{y})-\\frac{1}{2}\\xi \\sigma \\Delta_{so}\\hat{\\tau}_{z}+\\frac{1}{2}\\Delta_{z}\\hat{\\tau}_{z}\\cdot\n\t\\end{equation}\n\tHere, $\\xi=\\pm 1$ denotes the $K$ or $K'$ valley, $v_{F}$ is the Fermi velocity, $\\Delta_{so}$ is the intrinsic spin-orbit coupling and $\\Delta_z=aE_z$ is the staggered electric potential. The vector operators $\\vec{\\sigma}=(\\hat{\\sigma}_{x},\\hat{\\sigma}_{y},\\hat{\\sigma}_{z})$ and $\\vec{\\tau}=(\\hat{\\tau}_{x},\\hat{\\tau}_{y},\\hat{\\tau}_{z})$ represent Pauli matrices of the true and pseudo spin lattice DOF respectively. For Landau level (LL) quantization imposed by an external magnetic field $B$, we introduce the Landau gauge so that the magnetic vector potential $A = (-yB, 0,0)$, and the energy spectrum take the form,\n\t\\begin{equation}\\label{a12}\n\tE(\\xi,\\sigma, n,t)=\\begin{cases}\n\tt\\sqrt{2 v_{F}^{2} \\hbar e B |n|+\\Delta_{\\xi\\sigma}^{2}}, & \\text{if $n\\neq 0$}.\\\\\n\t-\\xi \\Delta_{\\xi\\sigma}, & \\text{if $n=0$}.\n\t\\end{cases}\n\t\\end{equation}\n\tHere, $t=\\textrm{sgn(n)}$ denotes the electron\/hole band, $\\Delta_{\\xi\\sigma}=-\\frac{1}{2}\\xi \\sigma \\Delta_{so}+\\frac{1}{2}\\Delta_{z}$ and $n$ is an integer, the quantum number denoting Landau quantization.\tThe Fresnel reflection coefficients of the staggered 2D monolayer-substrate system in the presence of magnetic field have been spelled out in several previous works and can be expressed as \\cite{Kort-Kamp2015,Wu2017}\n\t\\begin{eqnarray}\\label{b1}\n\n\tr_{pp} &=& \\frac{\\alpha_{+}^{T}\\alpha_{-}^{L}+\\beta}{\\alpha_{+}^{T}\\alpha_{+}^{L}+\\beta}, \\\\\n\t\\label{b2}\n\tr_{ss} &=& -\\bigg(\\frac{\\alpha_{-}^{T}\\alpha_{+}^{L}+\\beta}{\\alpha_{+}^{T}\\alpha_{+}^{L}+\\beta}\\bigg), \\\\\n\t\\label{b3}\n\tr_{sp}=r_{ps}&=&\\frac{-2Z_{0}^{2}\\mu_{0}\\mu_{1}\\mu_{2}k_{1z}k_{2z}(\\sigma_{xy}^{antisym}+\\sigma_{xy}^{sym})}{Z_{1}(\\alpha_{+}^{T}\\alpha_{+}^{L}+\\beta)},\n\t\\end{eqnarray}\n\twhere,\n\t\\begin{eqnarray}\\label{b4}\n\n\t\\alpha_{\\pm}^{L} &=& (k_{1z}\\varepsilon_{2}\\pm k_{2z}\\varepsilon_{1}+k_{1z}k_{2z}\\sigma_{L}\/(\\varepsilon_{0}\\Omega)), \\\\\n\t\\label{b5}\n\t\\alpha_{\\pm}^{T} &=& (k_{2z}\\mu_{1}\\pm k_{1z}\\mu_{2}+\\mu_{0}\\mu_{1}\\mu_{2}\\sigma_{T}\\Omega), \\\\\n\t\\label{b6}\n\t\\beta &=& Z_{0}^{2}\\mu_{1}\\mu_{2}k_{1z}k_{2z}[(\\sigma_{xy}^{antisym})^2-(\\sigma_{xy}^{sym})^{2}] \\cdot\n\t\\end{eqnarray}\n\tHere, $k_{1z}=k_{1}\\cos(\\theta_{1})$ and $k_{2z}=k_{2}\\cos(\\theta_{2})$. The conductivities $\\sigma_{L}(\\sigma_{T})$ are the longitudinal (transverse) components. In fact, the Hall conductivity $\\sigma_{xy}$ has symmetric $\\sigma_{xy}^{sym}$ and asymmetric $\\sigma_{xy}^{antisym}$ parts. Here, we are interested only in the antisymmetric part of the conductivity since the symmetric $\\sigma_{xy}^{sym}$=0. The corresponding real and imaginary parts of the longitudinal and transverse magneto-optical conductivities of the graphene family computed at $T=0$ K are given by\n\t\\begin{widetext}\n\t\t\\begin{multline}\\label{a6}\n\t\t\\frac{\\textrm{${\\textrm{Re} \\above 0pt \\textrm{Im}}$}\\big\\} \\big(\\sigma_{xx}(\\Omega)\\big)}{\\sigma_{0}}=\\frac{2 v_{F}^{2}\\hbar e B}{\\pi}\\sum_{\\xi, \\sigma}\\sum_{m,n}\\frac{\\Theta(E_{n}-\\mu_{F})-\\Theta(E_{m}-\\mu_{F})}{E_{n}-E_{m}}\\\\\\times\\bigg[(A_{m}B_{n})^{2}\n\t\t\\delta_{|m|-\\xi,|n|}+(B_{m}A_{n})^{2}\\delta_{|m|+\\xi,|n|}\\bigg]\\bigg\\{\\textrm{${\\textrm{F} \\above 0pt \\textrm{G}}$},\n\t\t\\end{multline}\n\t\twhere, $\\sigma_{0}=e^2\/4\\hbar$, $F=\\Gamma\/\\bigg((\\hbar\\Omega-(E_n-E_m))^{2}+\\Gamma^{2}\\bigg)$ and $G=\\big(\\hbar\\Omega-(E_n-E_m)\\big)\/\\bigg((\\hbar\\Omega-(E_n-E_m))^{2}+\\Gamma^{2}\\bigg)$. In these expressions, the Kronecker deltas ensure the rules for electric dipole transitions between the LL's are satisfied. The absolute values of $m$ and $n$ inside the Kronecker deltas generalizes the case in Ref. \\cite{Tabert2013} to both positive and negative chemical potentials $\\mu_{F}$, \\emph{i.e.} n and p-type 2D materials.\n\t\tThe Heaviside functions $\\Theta(E_{n}-\\mu_{F})$ ensure that transitions across the Fermi level are possible, hence they effectively account for the so called Pauli blocking \\cite{Grigorenko2012}. Similarly, the real and imaginary parts of the transverse conductivity are\n\t\t\\begin{multline}\\label{a7}\n\t\t\\frac{\\textrm{${\\textrm{Re} \\above 0pt \\textrm{Im}}$}\\big\\} \\big(\\sigma_{xy}(\\Omega)\\big)}{\\sigma_{0}}=\\frac{2 v_{F}^{2}\\hbar e B}{\\pi}\\sum_{\\xi, \\sigma}\\sum_{m,n}\\xi\\frac{\\Theta(E_{n}-\\mu_{F})-\\Theta(E_{m}-\\mu_{F})}{E_{n}-E_{m}}\\\\\\times\\bigg[(A_{m}B_{n})^{2}\n\t\t\\delta_{|m|-\\xi,|n|}-(B_{m}A_{n})^{2}\\delta_{|m|+\\xi,|n|}\\bigg]\\bigg\\{\\textrm{${\\textrm{-G} \\above 0pt \\textrm{F}}$}\\cdot\n\t\t\\end{multline}\n\t\\end{widetext}\n\tIn the limit $\\Delta_{so}=\\Delta_{z}=0$, we recover graphene's Hall conductivity \\cite{Gusynin2005}, as expected.\n\t\n\tThe $p$ polarized angular and spatial GH of the reflected light from the staggered 2D monolayer-substrate system can be written as \\cite{Wu2017}\n\t\\begin{equation}\\label{d2}\n\t\\Theta_{GH}=-\\frac{2(R_{pp}^{2}\\rho_{pp}+R_{ps}^{2}\\rho_{ps})}{2k_{1}(R_{ps}^{2}+R_{pp}^{2})\\Lambda_{R}+\\chi_{pp}+\\chi_{ps}},\n\t\\end{equation}\n\t\\begin{equation}\\label{d3}\n\t\\Delta_{GH}=\\frac{2(R_{pp}^{2}\\varphi_{pp}+R_{ps}^{2}\\varphi_{ps})\\Lambda_{R}}{2k_{1}(R_{ps}^{2}+R_{pp}^{2})\\Lambda_{R}+\\chi_{pp}+\\chi_{ps}}.\n\t\\end{equation}\n\twhere, $\\Lambda_{R}=\\pi w_{0}^2\/\\lambda$ is the Rayleigh range,  $r_\\lambda=R_\\lambda\\exp(i\\phi_{\\lambda})$, $\\lambda \\in (pp,ps,ss,sp)$, $\\rho_\\lambda=\\textrm{Re}(\\partial \\ln r_{\\lambda}\/\\partial\\theta_{1})$, $\\varphi_\\lambda=\\textrm{Im}(\\partial \\ln r_{\\lambda}\/\\partial\\theta_{1})$ $\\chi_\\lambda=R_{\\lambda}^{2}(\\varphi_{\\lambda}^{2}+\\rho_{\\lambda}^{2})$, $R_\\lambda$ is the amplitude and $\\phi_{\\lambda}$ is the phase of reflection coefficients.\n\t\n\\section{Results and Discussion}\n\\subsection{Magnetic field modulated GH under PR and TIR conditions}\n\\begin{figure*}[!t]\n\t\\centering\n\t\\begin{tabular}{cc}\n\t\t\\includegraphics[width=0.9\\linewidth]{LLS.eps}\n\t\\end{tabular}\n\t\\caption{Schematic representation of the allowed transitions between LL's for three\n\t\tdifferent magnetic fields in the $K$ valley at (a) 1 T (b) 2 T (c) 3 T. Blue lines represent Landau levels for spin up ($\\sigma=\\uparrow$) and red lines represent Landau level for spin down ($\\sigma=\\downarrow$). The same color scheme applies for the Landau levels transitions. (d) Longitudinal conductivity as a function of photon frequency. The parameters used are $\\Delta_{z}=0.5\\Delta_{so}$ and chemical potential $\\mu_{F}=0$.}\n\t\\label{fig2}\n\\end{figure*}\nWe quickly recount the effect of the magnetic field on the energy level structure and subsequently the MO response. Schematic diagrams showing the allowed transitions between Landau levels (LL's) for three different magnetic field ($B=$1, 3 and 5 T) all in the topological insulator regime $(\\Delta_{z} < \\Delta_{so})$ and in the $K$ valley are shown in Fig.~\\ref{fig2}(a)\\textendash(c). The transition energy is determined from the energy difference between LL's obeying certain selection rules namely $|n|-|m|=\\pm1$ and the conservation of real spin implying that transitions between $\\sigma=+1$ and $-1$ levels are spin forbidden. The excitation energies corresponding to the different transitions, $E_{m,K (K'),\\uparrow(\\downarrow)}\\rightarrow E_{n,K (K'),\\uparrow(\\downarrow)}$ are labelled as $\\Delta_{mn,K (K'),\\uparrow(\\downarrow)}$. Blue lines represent Landau levels for spin up ($\\sigma=\\uparrow$) and red lines represent Landau levels for spin down ($\\sigma=\\downarrow$). In each of the depicted transitions, one of the participating levels is an $n$=0 level. For example for $B=1$ T, the first and second magneto-excitation energies correspond to the $\\Delta_{-10,K, \\uparrow}$ and $\\Delta_{01,K, \\downarrow}$ for spin up and spin down respectively and are calculated at 20.3 meV (4.9 THz) and 25.1 meV (6.1 THz) respectively. For higher $n$, the LL's are closely spaced, we ignore these transitions for the time being. Similarly for $B=3$ and 5 T, the allowed transitions between LL's are shown in Fig.~\\ref{fig2}(b) and (c). In fact, Table I summarizes magneto-excitation frequencies within the $n=-1,0,1$ manifold for the magnetic fields considered. In Fig.~\\ref{fig2}(d), we have shown the variation of the longitudinal conductivity as a function of photon frequency for three different magnetic fields also shown exclusively for the TI regime. We can see resonant peaks when the incident $\\hbar\\Omega$ hits the magneto-excitation energy. As we increase the strength of the applied magnetic field, the MO excitations shift towards higher frequencies. For practicality and simplicity, we will restrict ourselves to the lowest magneto-excitation transition frequency, originating only from the $\\Delta_{-10,K, \\uparrow}$ transition while investigating the GH shift in this article, unless otherwise specified.\n\n\\begin{figure*}[!ht]\n\t\\centering\n\t\\begin{tabular}{cc}\n\t\t\\includegraphics[width=0.9\\linewidth]{Rss.eps}&\n\t\\end{tabular}\n\t\\caption{Modulus and phase of the $s$ and $p$ polarized reflection coefficients for 2D staggered graphene-substrate system as a function of incident angle for different magnetic fields in $K$ valley for PR: (a) $R_{ss}$, (b)$R_{pp}$, (c) $\\phi_{pp}$ and (d) $\\phi_{ss}$. The parameters used are $\\Gamma=0.2\\Delta_{so}$, refractive index $n_{2}=1.84$ and chemical potential $\\mu_{F}=0$.}\n\t\\label{fig3}\n\\end{figure*}\n\nWith knowledge of the LL transitions and magneto optical conductivities of the 2D materials for different magnetic fields at hand, we are now capable to studying the spatial and angular GH shifts. We first discuss the reflectivity and phases of the reflected $s$ and $p$ polarized waves for incident light. Clearly, if the impinging Gaussian beam frequencies are smaller than all Dirac gaps, then no electrons can be excited from the valence to the conduction band. On the other hand, a resonant Gaussian wave will excite a electron-hole pair. As the resonance condition is spin-dependent, so spins of only one kind (say up spin) electrons will be excited. The resonant excitation energies (frequencies) for the $\\Delta_{-10,K, \\uparrow}$ transition are 20.3 meV (4.9 THz) at $B = 1$ T; 33.5 meV (8.1 THz) at $B = 3$ T and 42.6 meV (10.3 THz) at $B = 5$ T. Fig.~\\ref{fig3} illustrates the magnetic field modulated reflectivity ($R_{ss}$ and $R_{pp}$) and their phases ($\\phi_{ss}$ and $\\phi_{pp}$) as a function of incident angle in the TI regime. In Fig.~\\ref{fig3}(a) and (b), the moduli of $R_{pp}$ and $R_{ss}$ are shown for various magnetic fields indicating that for $p$ polarized incident light, $R_{pp}$ achieves a minimum value at a certain $\\theta_{1}$ and rises again. This is called the pseudo-Brewster angle $\\theta_{B}=\\tan^{-1}(n_{2}\/n_{1})$, whereas $R_{ss}$ increases smoothly as the angle of incidence is increased.  At $\\theta_{B}$, the magnitude of reflection coefficient $R_{pp}$ intensity for the uncoated surface (without 2D material) reaches zero, as shown in Fig.~\\ref{fig3}(a) by dashed line. For the 2D staggered atomic layer, $R_{pp}$ at the Brewster angle $\\theta_{B}$ is non-zero, because the MO conductivity of the graphene-family is complex. The phase $\\phi_{pp}$ shows transition from $0$ to $-\\pi$ in the vicinity of $\\theta_{B}$ for different magnetic fields. A similar variation has been reported in 2D-TMDC \\cite{Das2018}. The phase $\\phi_{ss}$ shows an increasing trend with $\\theta_{1}$ in the TI regime, as shown in Fig.~\\ref{fig3}(d). Note that we haven't shown results in the VSPM state and BI regime, for which $R_{ss}$ and $R_{pp}$ don't appreciably change for magnetic fields. In the reminder of this section, we will only discuss the magnetically induced spatial and angular shifts for the interesting case of $p$ polarized light. The shifts for the charge neutral graphene-family ($\\mu_{F}=0$ meV) are plotted as a function of incident angle for different magnetic fields in the TI regime in Fig.~\\ref{fig4}(a), whereas the angular GH shifts are represented in Fig.~\\ref{fig4}(b). Since $\\partial\\phi_{p}\/\\partial\\theta_{1}\\ne 0$ and is accentuated in the vicinity of $\\theta_{B}$, the spatial shifts are dominant in the vicinity of the pseudo-Brewster angle.\n\n\t\\begin{table*}[!htbp]\n\t\\textbf{\\caption{Table of allowed transitions in $K$ valley in the $n=-1,0,1$ subspace, for different magnetic fields in the TI regime with $\\Delta_{so}=0.5\\Delta_{z}$.}}\n\t\\centering\n\t\\begin{tabular}{lllll}\n\t\t\\hline\n\t\t$\\Delta_{mn, K(K'),\\uparrow(\\downarrow)}$  &~~~~~~ $B$ (T)  &~~~~~~~~~~~~Frequency (THz) \\\\ \\hline\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~1 &~~~~~~~~~~~~~~~~~~~~~$4.9$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~1 &~~~~~~~~~~~~~~~~~~~~~$6.1$  \\\\\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~3 &~~~~~~~~~~~~~~~~~~~~~$8.1$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~3 &~~~~~~~~~~~~~~~~~~~~~$9.2$  \\\\\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~5 &~~~~~~~~~~~~~~~~~~~~~$10.3$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~5 &~~~~~~~~~~~~~~~~~~~~~$11.4$  \\\\\n\t\\end{tabular}\n\\end{table*}\n\n\\begin{figure*}[!t]\n\t\\centering\n\t\\begin{tabular}{cc}\n\t\t\\includegraphics[width=0.90\\linewidth]{GHPR.eps}\n\t\\end{tabular}\n\t\\caption{The $p$ polarized spatial and angular GH shifts for charge neutral staggered graphene-substrate system as a function of incident angle for different magnetic fields in the $K$ valley in the TI regime for PR and TIR. (a) The $p$ polarized spatial GH shifts for PR, (b) the $p$ polarized angular GH shifts for PR, (c) the $p$ polarized spatial GH shifts for TIR and (d) the $p$ polarized angular GH shifts for TIR. The dashed lines represents the values of $\\theta_{B}$ and $\\theta_{C}$ for the native dielectric substrate. The parameters used are identical across all figures, unless stated otherwise. (A color version of this figure can be viewed online).}\n\t\\label{fig4}\n\\end{figure*}\n\nTo better visualize the dependence of the GH shifts with respect to the magnetic field consider the $p$ polarized spatial GH shifts in Fig.~\\ref{fig4}(a), for the three different magnetic fields. We observe giant negative spatial beam shifts in the TI regime. If we look at the $\\phi_{pp}$ spectra in Fig.~\\ref{fig3}(c) together with these shifts, we observe that $\\phi_{pp}$ shows a change of $-\\pi$ resulting in negative spatial GH shifts. The magnitude of spatial GH shifts are larger for smaller magnetic fields and smaller for large magnetic fields values; however, the extent of the spatial GH shifts for $p$ polarization on a 2D staggered monolayer graphene-substrate system is larger compared to the case of the graphene-coated surface \\cite{Grosche2015}. It is also worth noting that the Brewster angle is also sensitive to the applied magnetic field. From the results shown in Fig.~\\ref{fig4}(a), we observe that the Brewster angle of the spatial GH shifts can be tuned from $62^{\\circ}$ to $63^{\\circ}$ by modulating magnetic field for the three proposed magnetic fields.\n\nSimilarly in Fig.~\\ref{fig4}(b), we also plot the angular GH shifts as a function of the incident angle. The angular GH shift $\\Theta_{GH}^{p}$ is positive and gradually increases with incident angles, but as the incident angle reaches $\\theta_{B}$, $\\Theta_{GH}^{p}$ decreases rapidly and results in a negative GH shift. By tuning the angle of incidence of the $p$ polarized THz beam and the applied magnetic field, one can therefore control the polarity of the angular GH shift as well as its amplitude. Similar to the spatial counterpart, the amplitude of the angular GH decreases for increasing magnetic fields and this finding is in good agreement with purely graphene-coated surfaces \\cite{Grosche2015}. Once again, the tuning of the Brewster angle $\\theta_{B}$ with magnetic field is also clearly observable.\n\n\nSimilarly we plot the $p$ polarized spatial and angular GH shifts under the total internally reflected (TIR) condition in Figs~\\ref{fig4}(c) and (d) respectively. Notable deviations from external reflection and certain additional features are vividly observable here. From Fig.~\\ref{fig4}(c) we observe that for magnetic fields of 1, 3 and 5 T, we have peaks in the vicinity of $\\theta_{B}$ and sharply precipiced dips at the critical angle $\\theta_{C}=\\sin^{-1}(n_{2}\/n_{1})$, in the TI regime. Once again, the amplitude of the spatial GH shift is attenuated for larger magnetic fields. Similarly the magnetic field modulated $p$ polarized angular GH shifts for TIR geometry are depicted in Fig~\\ref{fig4}(d) wherein we expect unusual behavior of the GH shifts in the vicinity of both the Brewster and the critical angle. The angular GH shift $\\Theta_{GH}^{p}$ is positive when the incidence angle is smaller than the Brewster angle and negative beyond. Similarly, just prior to the critical angle, the angular shift acquires a large negative spike and diminishes immediately after. Furthermore, near $\\theta_{B}$, the angular GH decreases in size with increasing magnetic field values.\n\n\\begin{figure*}[!t]\n\t\\centering\n\t\\begin{tabular}{cc}\n\t\t\\includegraphics[width=0.90\\linewidth]{GHE.eps}\n\t\\end{tabular}\n\t\\caption{(a) Longitudinal conductivity as a function of incident photon frequency and the $p$ polarized spatial and angular GH shifts for the staggered graphene-substrate system as a function of incident angle for magnetic field $B=1$ T in the $K$ valley in three distinct topological regimes and for four different chemical potentials. The incidence is external PR, while (b) and (c) show the $p$ polarized spatial and angular GH shifts with modulation of the external electric field, for the TI, VSPM and BI at a magnetic field of 1 T. (d) Schematic representation of the allowed transitions between LL's for three different values of chemical potential $\\mu_{F}$=0, 10 and 22 meV, and (e) and (f) are the $p$ polarized spatial and angular GH shifts with modulation of the chemical potential in the TI and classical regimes for a magnetic field of 1 T.}\n\t\\label{fig5}\n\\end{figure*}\n\n\n\\begin{table*}[!htb]\n\t\\textbf{\\caption{Table of allowed transitions in $K$ valley in the $n=-1,0,1$ subspace, for $B=1$ T in three different topological regimes for $\\Delta_{so}=8$ meV.}}\n\t\\centering\n\t\\begin{tabular}{lllll}\n\t\t\\hline\n\t\t$\\Delta_{mn, K(K'),\\uparrow(\\downarrow)}$  &~~~~~~ $\\Delta_{z}$ (meV) &~~~~~~ Regime &~~~~~~~~~~~~Frequency (THz) \\\\ \\hline\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~0 &~~~~~~~~~TI &~~~~~~~~~~~~~~~~~~~~~$5.6$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~0 &~~~~~~~~~TI &~~~~~~~~~~~~~~~~~~~~~$5.6$  \\\\\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~4 &~~~~~~~~~TI &~~~~~~~~~~~~~~~~~~~~~$4.9$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~4 &~~~~~~~~~TI &~~~~~~~~~~~~~~~~~~~~~$6.1$  \\\\\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~8 &~~~~~~~VSPM &~~~~~~~~~~~~~~~~~~~~~$4.4$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~8 &~~~~~~~VSPM &~~~~~~~~~~~~~~~~~~~~~$6.7$  \\\\\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~16 &~~~~~~~~~BI &~~~~~~~~~~~~~~~~~~~~~$5.5$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~16 &~~~~~~~~~BI &~~~~~~~~~~~~~~~~~~~~~$8.2$  \\\\\n\t\\end{tabular}\n\t\\label{11}\n\\end{table*}\n\n\\subsection{Electric field modulated GH shift}\nA static electric field $E_{z}$, controls the electronic band structure of the 2D staggered graphene family by generating a staggered sublattice potential $\\Delta_{z}$. An increase in the electric field triggers a well known quantum phase transition occurs from topological insulator to band insulator state \\cite{Ezawa2012}. Fig.~\\ref{fig5}(a) shows the longitudinal conductivity verses photon energy for various values of $\\Delta_{z}$. As we increase the applied electric field $\\Delta_{z}$, each interband peak splits into two spin-polarized peaks in the TI regime $(\\Delta_{z} < \\Delta_{so})$. Concomitantly, due to a redistribution of spectral weight, the intensity of the peaks is reduced for larger fields values. When $\\Delta_{z} = \\Delta_{so}$, the gap of one of the spin-split bands closes and a new type of metallic phase emerges called the valley-spin polarized metal (VSPM) state. At the VSPM point, the lowest frequency peaks, move apart: the $\\Delta_{-10,K, \\uparrow}$ peak is red shifted while the $\\Delta_{01,K, \\downarrow}$ peak is blue shifted. The excitation energies corresponding to the first two peaks at the VSPM point are now 18.2 meV (4.4 THz) and 27.8 meV (6.7 THz) for spin up and down, respectively. Further increasing $\\Delta_{z}$ results in re-opening of the gaps and the system transitions from the VSPM to the band insulator (BI) state. In BI regime all interband peaks move to higher energies. The magneto-excitations frequencies are presented in Table II for the first two transitions in the three different regimes. The main role of the electric field is that it controls the band structure and is responsible for spin and valley polarized responses, and therefore, similar to magnetic fields, also controls the magneto-optic excitation energies.\n\nIn Figs.~\\ref{fig5}(b) and (c), we show the $p$ polarized spatial and angular GH shifts as a function of the incident angle in the TI, VSPM and BI regimes, illustrating selective excitation of spin up carriers in the $K$ valley. From Fig.~\\ref{fig5}(b), it is obvious that $p$ polarized incident light produces giant negative spatial GH shifts. For example, in the TI regime when all Dirac gaps are open and at the magneto-excitation frequency of 4.9 THz, a maximum value of $\\Delta_{GH}^{p}\\approx222$ $\\mu$m is attained for scattering rate of $\\Gamma=0.2\\Delta_{so}$. Further increasing $\\Delta_{z}$ results in reopening the lowest energy gaps and the system undergoes a topological phase transition from VSPM state to the BI regime. After band inversion, we observed smaller shifts, $\\Delta_{GH}^{p}=130$ $\\mu$m. By increasing the electric field, the locations of the Brewster angle does not change but the spatial GH shifts diminish in size.\n\n\nThe $p$ polarized angular GH shift as a function of the incident angle in the TI, VSPM and BI regimes can also be seen in Fig.~\\ref{fig5}(c), showing first, the sign inversion of the angular displacement across Brewster's angle and second, illustrating that the impact of the electric field is to suppress the size of the angular shifts.\n\n\\subsection{Controlling the magnitude, sign and the position of GH shifts through the  chemical potential}\nThe THz magneto-optical conductivity is heavily influenced by the chemical potential $\\mu_{F}$. We examine the $p$ polarized beam shifts by modulating the chemical potential solely in the $K$ valley. Results for the $K'$ valley are analogous. We observe that the magnitude, sign and position of the Brewster's angle can all be controlled by this external stimulus. For this purpose we choose three different values of chemical potential of $\\mu_{F}$=0, 10 and 22 meV, while keeping the magnetic field 1 T positioning the system in the TI regime. In contrast to neutral staggered graphene ($\\mu_{F}$=0 meV), we now have interband as well as intraband transitions. For $\\mu_{F}$=10 meV the chemical potential lies in between the $n$=0 and $n$=1 LL's and for $\\mu_{F}$=22 meV the chemical potential is in between the $n$=1 and $n$=2 LL's. A schematic diagram which helps us to understand the possible LL's transitions for this chemical potential adaptation is shown in Fig.~\\ref{fig5}(d). Moving from left to right, we can see the LL's interband transitions for $\\mu_{F}=0$ meV are energies $\\Delta_{-10,K,\\uparrow}=20.3$ meV and $\\Delta_{01,K,\\downarrow}=25.1$ meV. As $\\mu_{F}$ increases to $10$ meV, then according to selection rules, certain transitions become Pauli blocked. For instance, the interband transition $\\Delta_{-10,K,\\uparrow}$ becomes forbidden which is shown by the dashed upward pointing arrow in the middle. In its lieu, the intra-band transition $\\Delta_{01,K,\\uparrow}=16.0$ meV emerges whereas for the spin down electron, we still have the allowed interband transition $\\Delta_{01,K,\\downarrow}=25.1$ meV, shown by a solid arrow. If the chemical potential $\\mu_{F}$ is further enhanced to $22$ meV, so that it lies between the $n$=1 and $n$=2 manifolds, then both of the transitions $\\Delta_{-10,K,\\uparrow}$ and $\\Delta_{01,K,\\downarrow}$ become Pauli blocked, which are again indicated by the dashed arrows in the rightmost part of Fig.~\\ref{fig5}(d). In this case, the excitation energies (frequencies) corresponding to the first two intra-band transitions $\\Delta_{12,K,\\uparrow}$ and $\\Delta_{12,K,\\downarrow}$ are 7.5 meV (1.8 THz) and 7.2 meV (1.6 THz), respectively. Table III summarizes these results.\n\n\\begin{table*}[!htb]\n\t\\textbf{\\caption{Table of allowed transitions in $K$ valley in the $n=-1,0,1$ subspace, for different chemical potentials in the TI regime with $\\Delta_{so}=8$ meV.}}\n\t\\centering\n\t\\begin{tabular}{lllll}\n\t\t\\hline\n\t\t$\\Delta_{mn, K(K'),\\uparrow(\\downarrow)}$  &~~~~~~ $\\mu_{F}$ (meV)  &~~~~~~  Inter\/intraband &~~~~~~~~~~~~Frequency (THz) \\\\ \\hline\n\t\t$\\Delta_{-10, K, \\uparrow}$ &~~~~~~~~~0 &~~~~~~  Inter &~~~~~~~~~~~~~~~~~~~~~$4.9$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~~0 &~~~~~~  Inter &~~~~~~~~~~~~~~~~~~~~~$6.1$  \\\\\n\t\t$\\Delta_{01, K, \\uparrow}$ &~~~~~~~~10 &~~~~~~  Intra &~~~~~~~~~~~~~~~~~~~~~$4.0$  \\\\\n\t\t$\\Delta_{01, K, \\downarrow}$ &~~~~~~~~10 &~~~~~~  Inter &~~~~~~~~~~~~~~~~~~~~~$6.1$  \\\\\n\t\t$\\Delta_{12, K, \\uparrow}$ &~~~~~~~~22 &~~~~~~  Intra &~~~~~~~~~~~~~~~~~~~~~$1.8$  \\\\\n\t\t$\\Delta_{12, K, \\downarrow}$ &~~~~~~~~22 &~~~~~~ Intra &~~~~~~~~~~~~~~~~~~~~~$1.6$  \\\\\n\t\\end{tabular}\n\\end{table*}\n\n\nFigs.~\\ref{fig5}(e) and (f) depicts the impact of altering the chemical potential (e.g. by chemical doping) on the GH shifts.  Only the $K$ valley is demonstrated for the sake of brevity. For these results, we selected the resonance frequency that excites only the first allowed LL transition for the spin up electrons. The $p$ polarized spatial GH shifts as a function of incident angle for different chemical potentials are shown in Fig.~\\ref{fig5}(e). For $\\mu_{F}$=0 meV, we have negative spatial GH shifts originating from the $\\Delta_{-10,K,\\uparrow}$ transition, which is purely interband. When the chemical potential $\\mu_{F}$=10 meV, we have the intra-band transition and the magnitude of the $p$ polarized spatial GH shift is larger. As we further increase to $\\mu_{F}$=22 meV, we have purely intraband transitions. Here the sign of GH shift switches which is a remarkable demonstration of chemical potential modulated angular GH shifts. Note that an intraband transition is responsible for the giant positive GH shift, precisely $\\Delta_{12, K, \\uparrow}$ and whose resonant frequency is 1.8 THz. With a further increase of chemical potential, the magnitude of the $p$ polarized spatial GH shift decreases while its full width half maximum increases. Furthermore, we conclude that the pseudo-Brewster angles shifts to larger incidence angles due to the chemical modification. The inversion of sign of the GH shift from negative to positive has significant applications in optoelectronic devices and chemical potential measurement.\n\n\n\\begin{figure*}[!htb]\n\t\\centering\n\t\\begin{tabular}{c}\n\t\t\\includegraphics[width=0.90\\linewidth]{SGHV.eps}\n\t\\end{tabular}\n\t\\caption{The valley and spin polarized spatial and angular GH shifts for staggered 2D material-substrate system as a function of incident angle for $K$ and $K'$ valleys in the TI regime. (a) The spatial GH shifts for both spins and for both valleys, (b) the $p$ polarized angular GH shifts for both spins and valleys. The spatial and angular GH shifts for staggered 2D material-substrate system as a function of photon energy in the $K$ valley for different magnetic and electric fields. (c) the $p$ polarized spatial and angular GH shifts for three different magnetic fields in the TI regime, (d) the spatial and angular GH shifts for $B=1$ T in three distinct topological regimes. The $p$ polarized response is shown only.}\n\t\\label{fig6}\n\\end{figure*}\n\nIn the semiclassical approximation the LL spacing becomes unimportant, which occur when $|\\mu_{F}|\\gg|E_{0}|$, or another words when $\\mu_{F}$ is high up in the conduction band or deep down in the valance band \\cite{Shah2019}. In this regime, the conductivities can be modeled by classical Drude-like peaks. For example we suppose that $\\mu_{F}$=55 meV which places the chemical potential between the $n$=9 and $10$ LL's. According to the selection rules, only two transitions $\\Delta_{-9~10}$ and $\\Delta_{9~10}$ are allowed \\cite{Shah2019}. The magneto excitation frequencies for $\\Delta_{-9~10}$ and $\\Delta_{9~10}$ are 27.1 and 0.71 THz respectively. We plot the spatial and angular GH shifts for this semi-classical scenario in Figs.~\\ref{fig5}(e) and (f). We can see in Figs.~\\ref{fig5}(e) a giant negative and minuscule spatial GH shift for the incident beam exciting the $\\Delta_{-9~10}$ and $\\Delta_{9~10}$ transitions respectively. We also observe that the Brewster angle is strongly influenced by the chemical potential and dramatically changes in the classical regime for the two different transitions. Similarly we plot the $p$ polarized angular GH shifts in Fig.~\\ref{fig5}(f) for the two mentioned transitions. Remarkably, we get giant angular shift for $\\Delta_{9~10}$ transition as compared to a small effect for the $\\Delta_{-9~10}$ transition.\n\n\n\\subsection{Spin and valley polarized GH shifts}\nIn addition to charge and spin degree of freedom, the Dirac electrons in staggered 2D atomic layers possess a valley degree of freedom which acts like a fictitious spin $1\/2$ particle. The valley information for our system is actually embodied in the variable $\\xi$, which is described in the system Hamiltonian in Eq.~(\\ref{a11}). Since the MO excitation energies are spin and valley dependent, one can selectively address the valley pseudospin in these materials to achieve fully spin and valley-polarized GH shifts. For instance, by impinging right or left handed circularly polarized light of the correct frequency, we can selectively excite spin up or spin down electrons in either of the $K$ or $K'$ valleys. Hence we have full freedom to choose spin or valley by tuning the frequency and helicity of the impinging radiation.\n\nIn this vein, the valley and spin-dependence of the spatial GH shifts are depicted in Fig~\\ref{fig6}(a), indicating positive and negative GH shifts for both $K$ and $K'$ valleys. It is clear that this valley-dependent response is quite interesting. The sign of the lateral GH shift is inverted across the two valleys for the same spin identity. However, the angular shift does \\emph{not} undergo sign-inversion across the two valleys. Therefore for experimental verification, the direction of the lateral shift can allow probing of the valley polarization tuning it into a prospective readout modality for the valley qubit in quantum information processing schemes.\n\n\n\n\\subsection{Incident photon frequency dependence of GH shifts}\nAs we vary the magnetic field imposed on the 2D atomic layer, the energy and hence the MO excitation energies manifold change. It is therefore instructive, to examine the dependence of the spatial and angular GH shifts on the frequency (energy) of the incident THz beam. In Fig.~\\ref{fig6}, we plot the beam shifts as a function of incident photon energy. In Fig.~\\ref{fig6}(c) we show the response for three different values of $B=$1, 3 and 5 T, while keeping $\\mu_{F}=0$ and $\\theta_{1}=61^{\\circ}$ (near the Brewster angle) and keeping the electric field fixed to assign the system to the TI regime. Only the $K$ valley spin up polarized response is demonstrated. The beam shifts display an oscillating dependence moving gradually to higher frequencies as the magneto excitation energy is increased. This is shown in Fig.~\\ref{fig6}(c). Likewise for a fixed magnetic field ($B=1$ T), as the electric field is changed, rendering the system into various topological regimes, the position as well as the magnitudes of the beam shifts change. From the TI$\\rightarrow$VSPM$\\rightarrow$BI progression, the GH shifts increase and then decreases. This is shown in Fig.~\\ref{fig6}(d).\n\n\\section{Conclusion}\n\nIn summary, we have systematically investigated the novel spatial and angular mechanical Goos-Hanchen shifts by impinging a Gaussian beam on the surface of a staggered 2D monolayer of the graphene family. The lateral shifts are modulated by electric and magnetic fields and are analyzed in the THz frequency range. By taking into account the fascinating tunable electro-optic and MO properties of these materials, we have studied the effect of chemical potential, spin, valley and incident photon frequency dependence on the silicenic layer, with the particular enhancement of the GH shift in the vicinity of Brewster angle. Furthermore, we have found that the Brewster angle is sensitive to changing magnetic field and chemical potential.\n\nThe MO controlled Brewster angle can be used to develop a highly tunable solid-state modulator. More interestingly, the valleys and spins indices can be used for the switching of the GH shift from negative to positive and vice versa.  In conclusion, the GH shift in staggered 2D materials paves the way of realizing spin and valley dependent devices and systems that can be useful optical readout markers for experiments in quantum information processing, biosensing, spintronics and valleytronics in the THz regime. Moreover, the demonstrated electro-optic and MO tunable GH shifts can be used for the detection of electric field and magnetic fields sensing and also for the determination of the doping level of these 2D staggered layers.\n\n\\section*{Acknowledgements}\nThe authors would like to acknowledge financial support from the National Research program for Universities (NRPU), scheme number 10375 funded by the Higher Education Commission of Pakistan.\n\n\t","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\nHomotopy associative algebra, or $A_{\\infty}$-algebra is a certain generalization of a differential graded associative algebra. For the first time this concept appeared in the 1960s in the works of Jim Stasheff \\cite{stasheff}, \\cite{stashbook} in the context of Algebraic Topology. The theory continued developing both in the 1970s and the 1980s, but it wasn't until the 1990s that people realized that the same structures appeared in String Physics and Geometry, e.g. in the context of String Field Theory \\cite{zwiebach} and Mirror Symmetry \\cite{konts}. In this article, we are studying several examples of such algebraic objects related to the basic gauge (Super) Field Theories, following previous results obtained in  \\cite{lzgauge}, \\cite{azjpa}, \\cite{azcomm},  and related articles devoted to $L_{\\infty}$-algebras, e.g. \\cite{sftz}, \\cite{azjhep}, \\cite{azijmpa}, see also  \\cite{movshev} and recent paper \\cite{hohm}. \n\nFirst, let us give an idea of what $A_{\\infty}$-algebra is and present one of the reasons why it is a natural object from a mathematical point of view. Suppose, $\\mathcal{F} $ is a differential graded algebra (DGA), i.e. $\\mathcal{F} $ is a chain complex that has an associative bilinear operation satisfying the Leibniz rule with a differential. Assume, there is another complex $\\mathfrak{K}$, homotopically equivalent to $\\mathcal{F} $. Therefore, we can deduce that the cohomology of $\\mathfrak{K}$ is isomorophic to $\\mathcal{F} $, and both have the structure of an associative algebra. The natural question is the following: what happens on the level of chain complexes? It appears that we have a transfer of the algebraic structure from $\\mathcal{F} $ to $\\mathfrak{K}$ but in general the transferred product will not be associative. The structure induced from the bilinear operation and the homotopical equivalence is what we call an $A_{\\infty}$-algebra \\cite{gug}, \\cite{merk},\\cite{konts}. The induced bilinear operation $\\mu_2$ on $\\mathcal{F} $ will satisfy an associativity condition up to homotopy that is described by a trilinear operation $\\mu_3$. Moreover, \n(see e.g.~\\cite{merk},\\cite{konts},\\cite{markltransf},\\cite{hu},\\cite{keller}) one can continue and construct operations $\\mu_n$, satisfying ``higher\" bilinear associativity relations. Thus, if we are given the operations $\\mu_n$, $n=(1, 2,3, ...)$ satisfying such bilinear relations, we say that there is the structure of $A_{\\infty}$-algebra on $\\mathfrak{K}$. In fact, all these relations can be summarized in one: $\\partial^2=0$ (see Appendix A for details). \n\nAn important feature of the $A_{\\infty}$-algebras is that one can define a generalization of the generalized Maurer-Cartan (GMC) equation: \n\\begin{eqnarray}\nQ\\Phi+\\mu_2(\\Phi,\\Phi)+\\mu_3(\\Phi, \\Phi,\\Phi)+...=0,\n\\end{eqnarray}\nwhere $\\Phi$ has degree $1$. This equation possesses the following infinitesimal symmetry transformation:\n\\begin{eqnarray}\n&&\\Phi\\to Q\\Lambda+\\mu_2(\\Phi,\\Lambda)-\\mu_2(\\Lambda,\\Phi)+\\nonumber\\\\\n&&\\mu_3(\\Lambda,\\Phi,\\Phi)-\\mu_3(\\Phi,\\Lambda,\\Phi)+\\mu_3(\\Phi,\\Phi,\\Lambda)...,\n\\end{eqnarray}\nwhere $\\Lambda$ is infinitesimal and has degree 0.  \n\nIn physics, particularly in String Field Theory, $A_{\\infty}$-algebras appear in the context of the Batalin-Vilkovisky (BV) formalism (see e.g.~\\cite{kajiura}). Namely, for a given action functional satisfying the BV master equation, one can construct the nilpotent noncommutative odd vector field $\\mathbf{Q}$ encoding all the operations of the $A_{\\infty}$-algebra (see Appendix A).\n\nIn this article, we will be studying homotopy algebras related to (super)field theories, as well as their transfers. \n\nIn Section 2, as an invitation to the subject, we examine the $N=2$  D=3 Chern-Simons theory in the superfield formulation (this theory appears to be physically relevant, see e.g. \\cite{jafferis},\\cite{klebanov}). Using the corresponding BV action, we \nconstruct the superfield counterpart of the de Rham Complex in three dimensions that turns out to be a homotopy algebra instead of the usual DGA.\n\nIn Section 3, we consider the Yang-Mills (YM) theory in its usual second and  first order formulations. We describe the corresponding $A_{\\infty}$-algebras, for which GMC coincides with YM equations \nof motion, and show how they are related to the Batalin-Vilkovisky (BV) formalism. \nIn this case, the first order formulation gives us just a differential graded algebra, while the second order formulation leads to an $A_{\\infty}$-algebra where all the operations starting from the quadrilinear one vanish.\n\nIn the end of Section 3, we are showing that these two $A_{\\infty}$-algebras are related by the transfer formula. This is one of the simplest non-artificial examples of a transfer formula. \nThis way, we observe that some of the basic field theory reformulations, like the transfer from the second order action to the first order action, \ncan be explained purely on the level of homotopical algebra (see also \\cite{sftz}). \n\nIn Section 4, we generalize these results to the supersymmetric case. We use the superfield formulation of \n$N=1$ supersymmetric (SUSY) YM theory and study the homotopical algebras corresponding to the second and first order formulations. In this case, $A_{\\infty}$-algebras are ``richer\", i.e. we have an infinite chain of polylinear operations in both first and second order formulations. As in the previous example, they are related by the transfer formula.\nIn the end, we discuss some further developments and future tasks, in particular the meaning of the representation of real superfield via complex ones from the homotopical algebra point of view. \\\\\n\n\\noindent {\\bf Acknowledgements.} We are grateful to K. Costello, M. Markl, M. Movshev and J. Stasheff for illuminating discussions. We would like to express our gratitude to the wonderful environment of  Simons Summer Workshops where this work was partially done. A.M.Z. is supported by AMS Simons travel grant.\n\n\\section{ Homotopic de Rham complex in $N=2$ 3D superspace.}\n\\noindent{\\bf 2.1. De Rham complex in 3D and BV Chern-Simons.} Consider the DGA related to the de Rham complex in three dimensions:\n\\begin{eqnarray}\n0\\to\\Omega^0\\xrightarrow{d}\\Omega^1\\xrightarrow{d}\\Omega^2\\xrightarrow{d}\\Omega^3\\to 0,\n\\end{eqnarray}\nwhere $\\Omega^i$ is the space of differential forms of degree $i$. Moreover, this complex possesses a natural \npairing given by the integral of the wedge product of forms and trace, giving a cyclic structure of the de Rham DGA. The same DGA structure can be constructed for the forms with values in $U({\\mathfrak{g}})$ where $\\mathfrak{g}$ is some semisimple Lie algebra. \nThen the formal action functional, associated with this cyclic DGA (see Appendix A), corresponding to the element $\\Phi=c+\\mathbf{A} +\\mathbf{A} ^*+c^*$, where \n$c\\in \\Omega^{0}[1]\\otimes{\\mathfrak{g}}$, $\\mathbf{A} \\in \\Omega^1\\otimes{\\mathfrak{g}}$, $\\mathbf{A} ^*\\in \\Omega^2[-1]\\otimes{\\mathfrak{g}}$, $c^*\\in\\Omega^3[-2]\\otimes{\\mathfrak{g}}$ has the following form:\n\\begin{eqnarray}\nS[\\Phi]=S_{CS}[\\mathbf{A} ]+\\int d^3x{\\rm Tr}(d_{\\mathbf{A} }c\\wedge \\mathbf{A} ^*+[c,c]c^*),\n\\end{eqnarray}\nwhere $S_{CS}[\\mathbf{A} ]=\\int d^3x (\\mathbf{A}  \\wedge d\\mathbf{A} +\\frac{1}{3}[\\mathbf{A} ,\\mathbf{A} ]\\wedge\\mathbf{A} )$ is the usual 3D Chern-Simons action. \\\\\n\n\\noindent {\\bf 2.2. SUSY de Rham complex and SUSY Chern-Simons.} Let us consider N=2 3D Euclidean superspace. \nThis is a superspace where in addition to three even coordinates there are 4 odd coordinates that are the components of Weyl spinors $\\theta^{\\alpha}$, $\\bar\\theta^{\\alpha}$. As in the N=1 4D case, one can consruct  the superderivatives $D_{\\alpha}$, $\\bar D_{\\alpha}$. The difference is that one can make new Lorentz scalars out of them, like $D_{\\alpha}\\bar D^{\\alpha}$ (see Appendix B.3 for details). \nThe relations between superderivatives allow to construct the following complex:\n\\begin{eqnarray}\\label{susydr}\n0\\xrightarrow{ }\\Theta\\xrightarrow{id}\\Sigma\n\\xrightarrow{\\bar D^{\\alpha}D_{\\alpha}}\\t \\Sigma\\xrightarrow{{\\bar D}^2}\\t \\Theta\\to 0.\n\\end{eqnarray} \nHere $\\Theta\\cong\\t \\Theta$ is the space of chiral scalar fields (if $\\Lambda \\in \\Theta$, then $\\bar D_{\\alpha}\\Lambda=0$), and $\\Sigma\\cong\\t\\Sigma$ is the space of complex scalar fields. \nAfterwards, we will denote this complex $(SdR^{\\cdot}, d_{S})$. \nIt is not hard to show that the 3D de Rham complex can be embedded in \\rf{susydr}. Moreover,  one can define a nondegenerate pairing on \\rf{susydr} similar to $\\langle\\cdot, \\cdot \\rangle_\\mathcal{F} $:\n\\begin{eqnarray}\n&&\\langle\\cdot, \\cdot \\rangle: SdR^{i}\\otimes SdR^{3-i}\\to \\mathbb{C},\\nonumber\\\\\n&&\\langle{\\Lambda,\\t\\Lambda}\\rangle=\\int d^3 xd^2\\theta \\Lambda\\t \\Lambda,\\quad \\langle V,\\t V\\rangle=\\int d^3 x d^4\\theta V\\t V,\\nonumber\n\\end{eqnarray}\nwhere $\\Lambda\\in SdR^{0}$, $V\\in SdR^{2}$, $\\t V\\in SdR^{2}$, $\\t \\Lambda\\in SdR^{3}$. This pairing satisfies  \nthe  familiar property \\rf{cycpairing}. Therefore, we can hope for the existence of a cyclic $A_{\\infty}$-algebra related to the complex \\rf{susydr}. \nIn order to construct it, we can consider the following action giving the superfield formulation to the N=2 Chern-Simons theory \\cite{zupnik}:\n\\begin{eqnarray}\\label{zup}\nS_{susyCS}=\\int d^3 xd^4\\theta\\int_0^1dt(V\\bar D^{\\alpha}(e^{-tV}D_{\\alpha}e^{tV})),\n\\end{eqnarray}\nwhere $V\\in \\Sigma\\otimes \\mathfrak{g}$. This action has the symmetry that is the same for all the supersymmetric theories we are considering here, namely  \n\\begin{eqnarray}\ne^V\\to e^{\\Lambda}e^Ve^{\\bar \\Lambda},\n\\end{eqnarray}\nwhere $\\Lambda, \\bar \\Lambda$  are respectively chiral and atichiral scalar fields with values in Lie algebra $\\mathfrak{g}$. The corresponding infinitesimal version of the symmetry is:\n\\begin{eqnarray}\n&&V\\to V+\\delta_{\\Lambda, \\bar \\Lambda}V=V+\\frac{1}{2}L_{V}(\\Lambda-\\bar \\Lambda+\\coth(\\frac{1}{2}L_V)(\\Lambda+\\bar \\Lambda)),\n\\end{eqnarray} \nwhere $L_V\\cdot=[V,\\cdot]$. Let us restrict the symmetry to the chiral transformations: $e^V\\to e^{\\Lambda}e^V$. Then, the BV modification of the action \\rf{zup} is (cf. \\rf{bvsymact}):\n\\begin{eqnarray}\nS^{BV}_{susyCS}=S_{susyCS}+\\int d^3 x d^4 \\theta (\\delta_C (V) V^*)+\n\\int d^3x d^2\\theta ([C,C]C^*),\n\\end{eqnarray}\nwhere $C\\in SdR^{0}[+1]$, $V\\in SdR^{2}$, $V^*\\in SdR^{2}[-1]$, $C^*\\in SdR^{3}[-2]$. This action will generate the odd vector field that according to the results of Appendix B generates the $A_{\\infty}$-algebra. It is obvious that the corresponding chain complex, where the $A_{\\infty}$ operations act, is the one from \\rf{susydr}. \nTherefore, we have the following proposition. \\\\\n\n\\noindent {\\bf Proposition 2.1.} {\\it Complex $(SdR^{\\cdot}, d_{S})$ possesses a nontrivial $A_{\\infty}$ structure (with all the operations nonvanishing) provided by the action functional $S^{BV}_{susyCS}$}.\\\\\n\n\\noindent Let us express the bilinear operation explicitly:\n\n\\begin{center}\n$\\nu_2(f_1,f_2)$=\\\\\n\\vspace{5mm}\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{$ f_2$}{$f_1$}&          $\\Lambda_1$ & $V_1$ & $\\t V_1$ & $\\t\\Lambda_1$ \\\\\n\\hline\n$\\Lambda_2$ &                  $\\Lambda_1\\Lambda_2$    &$\\frac{1}{2}V_1\\Lambda_2$ & \n$\\frac{1}{2}\\t V_1\\Lambda_2$ &$\\t\\Lambda_1\\Lambda_2$\\\\\n\\hline\n$V_2$     &  $\\frac{1}{2}\\Lambda_1V_2 $ & $(V_1,V_2)_h$   &  $-\\frac{1}{2}\\bar D^2(\\t V_1V_2)$  &0\\\\\n                    \n\\hline\n$\\t V_2$ & $\\frac{1}{2}\\Lambda_1\\t V_2$ &  $-\\frac{1}{2}\\bar D^2(V_1\\t V_2)$ &    0&0\\\\\n\\hline\n$\\t\\Lambda_2$                     & $\\Lambda_1\\t\\Lambda_2$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\\end{center}\n\\noindent where $\\Lambda_1, \\Lambda_2\\in SdR^0$, $V_1, V_2\\in SdR^1$, $\\t V_1, \\t V_2\\in SdR^2$, $\\t \\Lambda_1, \\t \\Lambda_2\\in SdR^3$, and \n\\begin{eqnarray}\n(V_1,V_2)_h=-\\frac{1}{2}D_{\\alpha}V_1\\bar D^{\\alpha}V_2-\\frac{1}{2}\\bar D^{\\alpha}V_1D_{\\alpha}V_2.\n\\end{eqnarray}\n{\\bf Corollary 2.1.} {\\it The operation $\\nu_2$ is homotopy associative on $(SdR^{\\cdot}, d_{S})$}. \\\\\n\n\\noindent The equations of motion for $S_{susyCS}$ are \\cite{zupnik}:\n\\begin{eqnarray}\nf(L_V)\\bar D^{\\alpha}(e^{-V}D_{\\alpha}e^V)=0,\n\\end{eqnarray}\nwhere $f(x)=\\frac{e^{x}-1}{x}$. \nThis equation is the GMC equation for the resulting $A_{\\infty}$-algebra, which is the \nsuperfield generalization of the Maurer-Cartan equation in 3D: $d\\mathbf{A} +\\mathbf{A} \\wedge\\mathbf{A} =0$. \\\\\n\n\\noindent{\\bf Remark 2.1.} Also, we note that in principle, one can extend the complex \\rf{susydr} by means of the space of antichiral scalars (compare to the SUSY Yang-Mills case in subsection 3.4.). The resulting complex will be \n\\begin{eqnarray}\n\\xymatrixcolsep{40pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n0\\ar[r]&\\Theta \\ar[r]^{id} & \\Sigma \\ar[r]^{\\bar D^{\\alpha}D_{\\alpha}}  &\\tilde\\Sigma \\ar[r]^{\\bar D^2}\\ar[ddr]^{D^2} & \\tilde\\Phi\\ar[r]&0\\\\\n &\\oplus&&&\\oplus\n &&          &  &&\\\\\n &\\bar{\\Theta}\\ar[uur]^{-id}&   &&\\tilde{\\bar{\\Theta}}}\\nonumber\n\\end{eqnarray}\n\nThe resulting $A_{\\infty}$-algebra, generated by the action\n\\begin{eqnarray}\n&&S^{fullBV}_{susyCS}=S_{susyCS}+\\int d^3 x d^4 \\theta (\\delta_{C,\\bar C} (V) V^*)+\\nonumber\\\\\n&&\\int d^3x d^2\\theta ([C,C]C^* +[\\bar C,\\bar C]\\bar C^*).\n\\end{eqnarray}\n will describe the full symmetry of the action \\rf{zup}. \n\n\n\\section{Homotopy algebras of Yang-Mills theory.}\n\\noindent {\\bf 3.1. The $A_{\\infty}$-algebra of the Maxwell complex \\cite{lzgauge}.}\nWe consider Maxwell complex\n\\begin{eqnarray}\n0\\to\\mathcal{F}^{0}\\xrightarrow{\\mathcal{Q}}\\mathcal{F}^{1}\\xrightarrow{\n\\mathcal{Q}}\n\\mathcal{F}^{2}\\xrightarrow{\\mathcal{Q}}\\mathcal{F}^{3}\\to 0,\n\\end{eqnarray}\nwhere the spaces $\\mathcal{F}^i$ and the action of $\\mathcal{Q} $ are as follows:\n\\begin{eqnarray}\\label{maxwell}\n0\\xrightarrow{ }\\Omega^{0}(M)\\xrightarrow{\\mathrm{d}}\\Omega^{1}(M)\n\\xrightarrow{\\ud*\\ud}\\Omega^{3}(M)\\xrightarrow{\\mathrm{d}}\\Omega^{4}(M)\\to 0,\n\\end{eqnarray}\nwhere $M$ stands for any four dimensional (pseudo)Riemannian manifold (chain complex \\rf{maxwell} was studied also in \\cite{gover}, \\cite{waldron} in a different context). \nThis complex has a structure of homotopy commutative associative algebra \\cite{lzgauge}. Let us introduce the corresponding multilinear operations:\n\\begin{eqnarray}\n&&(\\cdot, \\cdot)_h: \\mathcal{F}^i\\otimes \\mathcal{F}^j\\to \\mathcal{F}^{i+j},\\nonumber\\\\\n&&(\\cdot, \\cdot, \\cdot)_h: \\mathcal{F}^i\\otimes \\mathcal{F}^j\\otimes \\mathcal{F}^k\\to \n\\mathcal{F}^{i+j+k-1}.\n\\end{eqnarray}\n\nThe bilinear operation is defined by means of the following table:\\\\\n\n$(f_1,f_2)_h$=\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{$ f_2$}{$f_1$}&\\makebox{$v$} & \\makebox{$\\mathbf{A} $} & \\makebox{$\\mathbf{V} $} & \\makebox{$a$} \\\\\n\\hline\n$w$ & $vw$& $\\mathbf{A}  w$& $\\mathbf{V}  w$&$a w$\\\\\n\\hline\n$\\mathbf{B} $ &$v\\mathbf{B} $  & $(\\mathbf{A} ,\\mathbf{B} )$   &   $\\mathbf{B} \\wedge\\mathbf{V} $&0\\\\\n\\hline\n$\\mathbf{W} $ & $v\\mathbf{W} $ &  $ \\mathbf{A} \\wedge\\mathbf{W} $ &    0&0\\\\\n\\hline\n$b$ & $vb$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\n\\noindent where $f_1$ takes values in the set $\\{v, \\mathbf{A} , \\mathbf{V} , a\\}$ from the first row, and $f_2$ takes values in the set $\\{w, \\mathbf{B} , \\mathbf{W} , b\\}$ from the first column. Other elements in the table represent the value of bilinear operation \n$(f_1,f_2)_h$ for appropriately chosen $f_1$ and $f_2$. In the table above $v,w\\in\\mathcal{F}^0$; \n$\\mathbf{A} ,\\mathbf{B} \\in \\mathcal{F}^1$; $\\mathbf{V} ,\\mathbf{W} \\in\\mathcal{F}^2$; $a,b\\in\\mathcal{F}^3$. \nThe bilinear operation $(\\mathbf{A} ,\\mathbf{B} )$ is defined as follows:\n\\begin{eqnarray}\n&&(\\mathbf{A} ,\\mathbf{B} )=\\mathbf{A} \\wedge(*\\mathrm{d}\\mathbf{B} )-(*\\mathrm{d}\\mathbf{A} )\\wedge\\mathbf{B} +\\mathrm{d} *(\\mathbf{A} \\wedge \\mathbf{B} ).\n\\end{eqnarray}\nThe operation $(\\ \\cdot, \\ \\cdot, \\ \\cdot)_h$ is defined to be nonzero only when all the arguments belong to $\\mathcal{F} ^1$. For $\\mathbf{A} $, \n$\\mathbf{B} $, $\\mathbf{C} $$\\in \\mathcal{F} ^1$ we have: \n\\begin{eqnarray}\n(\\mathbf{A} ,\\mathbf{B}  ,\\mathbf{C}  )_h=\\mathbf{A} \\wedge*(\\mathbf{B} \\wedge\\mathbf{C} )-(*(\\mathbf{A} \\wedge\\mathbf{B} ))\\wedge\\mathbf{C} .\n\\end{eqnarray}\nBy the direct calculations (see \\cite{lzgauge}), one can show that these operations satisfy the following relations providing the structure of homotopy commutative $A_{\\infty}$-algebra. \\\\\n\n\\noindent{\\bf Proposition 3.1.} {\\it Let $a_1,a_2, a_3, a_4,b, c$ $\\in$ $\\mathcal{F} $. Then the following relations hold:\n\\begin{eqnarray}\n&&\\mathcal{Q} (a_1,a_2)_h=(\\mathcal{Q}  a_1,a_2)_h+(-1)^{n_{a_1}}(a_1,\\mathcal{Q}  a_2)_h,\\nonumber\\\\\n&&(a_1,a_2)_h=(-1)^{n_{a_1}n_{a_2}}(a_2,a_1)_h,\\nonumber\\\\\n&&\\mathcal{Q} (a_1,a_2, a_3)_h+(\\mathcal{Q}  a_1,a_2, a_3)_h+(-1)^{n_{a_1}}(a_1,\\mathcal{Q}  a_2, a_3)_h+\\nonumber\\\\\n&&(-1)^{n_{a_1}+n_{a_2}}( a_1, a_2, \\mathcal{Q}  a_3)_h=((a_1,a_2)_h,a_3)_h-(a_1,(a_2,a_3)_h)_h\n,\\nonumber\\\\\n&&(-1)^{n_{a_1}}(a_1,(a_2,a_3,a_4)_h)_h+((a_1,a_2,a_3)_h,a_4)_h=\\nonumber\\\\\n&&((a_1,a_2)_h,a_3,a_4)_h-(a_1,(a_2,a_3)_h, a_4)_h+(a_1,a_2,(a_3,a_4)_h)_h,\n\\nonumber\\\\\n&&((a_1,a_2, a_3)_h,b,c)_h=0.\n\\end{eqnarray} }\nIf we tensor complex $(\\mathcal{F} ^{\\bf\\cdot},\\mathcal{Q} )$ with some universal enveloping algebra for some reductive Lie algebra $\\mathfrak{g}$, one obtains that inherited operations $(\\ \\cdot,\\ \\cdot)_h$ and $(\\ \\cdot,\\ \\cdot, \\ \\cdot)_h$ satisfy the relations of  $A_{\\infty}$-algebra on the resulting complex $(\\mathcal{F} _{\\mathfrak{g}}^{\\bf\\cdot},\\mathcal{Q} )$. \n\nIf the manifold $M$ is compact, or the fields are with the compact support, one can show that the Maxwell complex possesses a pairing \n\\begin{eqnarray}\n\\langle f_1,f_2\\rangle=\\int_M Tr(f_1\\wedge f_2),\n\\end{eqnarray}\n which makes the $A_{\\infty}$-algebra introduced above to be cyclic. \nNamely, one can define\n\\begin{equation}\n\\{\\cdot,..., \\cdot\\}_h: \\mathcal{F} _{\\mathfrak{g}}\\otimes ...\\otimes \\mathcal{F} _{\\mathfrak{g}}\\to \\mathbb{C} \n\\end{equation}\nin the following way:\n\\begin{eqnarray}\n&&\\{f_1,f_2\\}_h=\\langle \\mathcal{Q}  f_1, f_2\\rangle, \\quad \\{f_1,f_2,f_3\\}_h=\\langle (f_1, f_2)_h,f_3\\rangle,\\nonumber\\\\\n&&\\{f_1,f_2,f_3, f_4\\}_h=\\langle (f_1, f_2,f_3)_h,f_4\\rangle.\n\\end{eqnarray}\nFor more details about the cyclic structures see Appendix A. One of the most important applications of the cyclic structure is that one can write the following action functional in the form that is the ``homotopy'' generalization of the Chern-Simons action functional \n\\begin{eqnarray}\nS_{HCS}[f]=\\frac{1}{2}\\{f,f\\}+\\frac{1}{3}\\{f,f,f\\}+\\frac{1}{4}\\{f,f,f,f\\}\n\\end{eqnarray}\nsuch that $f\\in\\mathcal{F} _{\\mathfrak{g}}^1$ and the variation of this functional with respect to $f$ leads to the generalized Maurer-Cartan equation for $f$.\nThe Maurer-Cartan equation and its symmetries in the case of the $A_{\\infty}$-algebra considered above\n\\begin{eqnarray}\n\\mathcal{Q} \\mathbf{A} +(\\mathbf{A} ,\\mathbf{A} )_h+(\\mathbf{A} ,\\mathbf{A} ,\\mathbf{A} )_h=0\\nonumber\\\\\n\\mathbf{A} \\to \\mathbf{A} +\\epsilon (\\mathcal{Q}  u +(u,\\mathbf{A} )_h-(\\mathbf{A} ,u)_h),\n\\end{eqnarray}\nwhich lead to Yang-Mills equations and the gauge symmetry if $f=\\mathbf{A} $, where $\\mathbf{A} \\in\\mathcal{F} _{\\mathfrak{g}}^1$ and $u\\in\\mathcal{F} ^0_\\mathfrak{g}$.\n\nIn the case when $f=c+\\mathbf{A} +\\mathbf{A} ^*+c^*$, where $c\\in\\mathcal{F} _{\\mathfrak{g}}^0[1]$, $\\mathbf{A} \\in \\mathcal{F} _{\\mathfrak{g}}^1$, $\\mathbf{A} ^*\\in \\mathcal{F} _{\\mathfrak{g}}^2[-1]$,  $c^*\\in\\mathcal{F} ^3[-2]$, such that the grading of the element from $\\mathcal{F} ^i_{\\mathfrak{g}}[j]$ is $i+j$,\nthe action above leads to the BV Yang-Mills action:\n\\begin{eqnarray}\nS_{BVYM}=\\int_M{\\rm Tr}({\\bf F}\\wedge *{\\bf F}+\\mathbf{A} ^*\\wedge \\mathrm{d}_{\\mathbf{A} }c+[c,c]c^*).\n\\end{eqnarray}\nIt is well-known that this action satisfies the so-called BV master equation that, according to the general principle, leads to the $A_{\\infty}$-algebra on the complex $(\\mathcal{F} ^{\\cdot},\\mathcal{Q} )$ (see Appendix A). \n\n\n\n\n \nIn the next section, we will construct the associative algebra related to the first order Yang-Mills theory. \\\\\n \n\\noindent {\\bf 3.2. The first order Maxwell complex and the related associative algebra \\cite{costello}.} \nLet us consider the following complex: \n\\begin{eqnarray}\n0\\xrightarrow{ }\\mathfrak{K}^0\\xrightarrow{\\t\\mathcal{Q}  }\\mathfrak{K}^1\\xrightarrow{ \\t\\mathcal{Q} }\\mathfrak{K}^2\\xrightarrow{ \\t\\mathcal{Q} }\\mathfrak{K}^3\\xrightarrow{ }0\n\\end{eqnarray}\nsuch that $\\mathfrak{K}^0=\\Omega^{0}(M)$, $\\mathfrak{K}^{1}=\\Omega^{1}(M)\\oplus\\Omega_+^{2}(M)$, $\\mathfrak{K}^{2}=\\Omega^{3}(M)\\oplus\\Omega^{2}_+(M)$, \n$\\mathfrak{K}^{3}=\\Omega^{4}(M)$ and the differential $\\t \\mathcal{Q} $ acts as follows:\n\\[\n\\xymatrixcolsep{30pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n0\\ar[r]&\\Omega^0(M) \\ar[r]^\\mathrm{d} & \\Omega^1(M) \\ar[ddddr]  &\\Omega^3(M) \\ar[r]^\\mathrm{d} & \\Omega^4(M)\\ar[r]&0\\\\\n &\\quad &     & _{-\\mathrm{d}}\\quad    &&\\\\\n && \\bigoplus & \\bigoplus     &&\\\\\n &&           & _{\\mathrm{d}_{+}}\\quad    &&\\\\\n && \\Omega^2_+(M) \\ar[r]_{-Id} \\ar[uuuur]  & \\Omega^2_+(M)&\n}\n\\]\nwhere $\\mathrm{d}_{+}=\\mathrm{d}+*\\mathrm{d}$ and $\\Omega^2_+(M)$ is the space of self-dual 2-forms on the manifold $M$.  \nOne can define a bilinear operation on the resulting complex:\n\\begin{center}\n$\\mu (f_1,f_2)$=\n\\end{center}\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{ $f_2$}{$f_1$}&          $v_1$ & $(\\mathbf{A} _1,{\\bf F}_1)$ & $(\\mathbf{W} _1,{\\bf G}_1)$ & $a_1$ \\\\\n\\hline\n$v_2$ &                  $v_1v_2$    &$(v_2\\mathbf{A} _1,v_2 {\\bf F}_1)$ &$(v_2\\mathbf{W} _1,v_2{\\bf G}_1)$ &$v_2a_1$\\\\\n\\hline\n$(\\mathbf{A} _2,{\\bf F}_2)$     &  $(v_1\\mathbf{A} _2,v_1{\\bf F}_2)$ & $(\\mathbf{A} _2\\wedge {\\bf F}_1-$   &   $-\\mathbf{A} _2\\wedge \\mathbf{W} _1-$&0\\\\\n                               &                               &    $\\mathbf{A} _1\\wedge {\\bf F}_2,2P_{+}(\\mathbf{A} _1\\wedge\\mathbf{A} _2)$   & ${\\bf F}_2\\wedge {\\bf G}_1$&\\\\                    \n\\hline\n$(\\mathbf{W} _2,{\\bf G}_2)$ & $v_1\\mathbf{W} _2$ &  $-\\mathbf{A} _1\\wedge \\mathbf{W} _2-$ &    0&0\\\\\n&&                        ${\\bf F}_1\\wedge {\\bf G}_2$&&\\\\\n\\hline\n$a_2$                     & $v_1a_2$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\\vspace{3mm}\n\n\\noindent where $P_{+}=\\frac{1+*}{2}$ is the projection operator on $\\Omega_+^2(M)$. \nHere $f_1,f_2$ take values in the set of variables with prime and  double prime correspondingly. \nOther elements in the table correspond to the appropriate values of $\\mu(f_1,f_2)$. In the table above \n$v_1,v_2\\in \\mathfrak{K}^0$; $(\\mathbf{A} _1,{\\bf F}_2), (\\mathbf{A} _2,{\\bf F}_2)\\in\\mathfrak{K}^1=\\Omega^1(M)\\oplus \\Omega^2_+(M)$;  $(\\mathbf{W} _1,{\\bf G}_1),(\\mathbf{W} _2,{\\bf G}_2)\\in\\mathfrak{K}^2=\\Omega^{3}(M)\\oplus \\Omega_+^{2}(M)$;  $a_1,a_2\\in\\mathfrak{K}^3$. It is not hard to see that this operation gives to the complex above the structure of differential graded abelian algebra. If we tensor it with some Lie algebra $\\mathfrak{g}$, \nwe will find that it possesses the cyclic structure, where the corresponding pairing on $(\\mathfrak{K},\\t Q)$ is defined by the same formula as in the previous section. \nOne can obtain that it is related to the following action:\n\\begin{eqnarray}\nS=\\int_M{\\rm Tr}\\Big({\\bf F}\\wedge{\\bf F}+{\\bf F}\\wedge (\\mathrm{d} \\mathbf{A} +\\mathbf{A} \\wedge\\mathbf{A} )\\Big),\n\\end{eqnarray}\nwhere $F\\in\\Omega^{+}(M)$, which is equivalent to the usual YM theory. \nHere we note that we could choose the space of anti self-dual 2-forms $\\Omega^2_-(M)$ instead of $\\Omega^2_+(M)$ in the complex above, and the resulting complex will also have the structure of differential graded abelian algebra.\n\\\\\n\n\\noindent {\\bf 3.3. Transfer of the $A_{\\infty}$ structure.} \nSuppose, $\\mathcal{F} $ is a differential graded algebra (DGA), i.e. it is a chain complex with a differential $Q'$, and $m$ is an associative bilinear operation on $\\mathfrak{K}$. Suppose we have a chain complex $\\mathfrak{K}$ with a differential $Q'$, which is homotopically equivalent to $\\mathcal{F} $, i.e. there are chain maps $f: \\mathcal{F} \\to \\mathfrak{K}$ and $g:\\mathfrak{K}\\to \\mathcal{F} $, such that  $fg-id=Q'H+HQ'$, where $H$ is of degree $-1$. Then $\\mathcal{F} $ and $\\mathfrak{K}$ are quasiisomorhic, i.e. we have isomorphism on the level of cohomology: $H_{Q'}^*(\\mathfrak{K})\\cong H_{Q}^*(\\mathcal{F} )$ and $\\mu_2(\\cdot,\\cdot)=g\\circ m(f(\\cdot), f(\\cdot))$ is an associative bilinear operation on $H_{Q'}^*(\\mathfrak{K})$. Therefore, we have a $transfer$ of the associative multiplication on the level of cohomology. \nAs we explained in the introduction, there is a transfer on the level of complexes, but not of the associative algebra. The structure induced from the operation $m$ and the homotopical equivalence is the $A_{\\infty}$-algebra. An elementary calculation shows that \n\\begin{eqnarray}\n&&\\mu_2(\\mu_2(a,b),c)-\\mu_2(a,\\mu_2(b,c))=\\\\\n&&Q\\mu_3(a,b,c)+\\mu_3(Qa,b,c)+(-1)^{|a|}\\mu_3(a,Qb,c)+(-1)^{|a|+|b|}\\mu_3(a,b,Qc),\\nonumber\n\\end{eqnarray}\nwhere \n\\begin{eqnarray}\\label{tran}\n&&\\mu_3(a,b,c)=\\\\\n&&g\\circ m(H\\circ m(f(a),f(b)),f(c))-(-1)^{|a|}g\\circ m(f(a),H\\circ m(f(a),f(b))\\nonumber\n\\end{eqnarray}\nis a trilinear operation of degree $-1$. One can find that $\\mu_3$ also satisfies bilinear ``higher associativity\" relations with $\\mu_2$ and $\\mu_1\\equiv Q'$ and leads to next operation $\\mu_4$. One can continue the process and in general obtain the infinite amount of operations satisfying certain billinear relations. The general construction of such $\\mu_n$ can be described by \ncertain sum over the expressions parametrized by tree graphs with vertices corresponding to operation $m$ and edges corresponding to homotopy $H$ \\cite{merk}, \\cite{konts}. \nIn fact, there is the more general statement: the differential graded algebra structure can be replaced by $A_{\\infty}$ structure, and it again will be transferred to the $A_{\\infty}$-algebra (see Appendix A and e.g. \\cite{markltransf}). \n\nNow we will show that one can transfer the $A_{\\infty}$ structure from the first order complex to the Maxwell one, according to \\cite{markltransf}. Firstly, we will show that the Maxwell complex and the first order complex are quasiisomorphic.  \nNamely let us construct the maps $g:(\\mathfrak{K}^{\\cdot}, \\t \\mathcal{Q} )\\to  (\\mathcal{F} ^{\\cdot}, \\mathcal{Q} )$, $f:\n(\\mathcal{F} ^{\\cdot}, Q)\\to  (\\mathfrak{K}^{\\cdot}, \\t \\mathcal{Q} )$ such that their composition is homotopic to identity. \nThe explicit expression for $f$ and $g$ are:\n\\begin{eqnarray}\n&& f(u)=u,\\quad f(\\mathbf{A} )=(\\mathbf{A} ,2P_{+}\\mathrm{d} \\mathbf{A} ), \\quad f(\\mathbf{V} )=(\\mathbf{V} ,0),\\quad f(v)=v,\\nonumber\\\\\n&& g(u)=u, \\quad g((\\mathbf{A} ,{\\bf F}))=\\mathbf{A} ,\\quad g((\\mathbf{V} , \\mathbf{G}))=d\\mathbf{G}+\\mathbf{V} ,\\quad g(v)=v.\n\\end{eqnarray}\nHere $u\\in\\Omega^{0}$, $\\mathbf{A} \\in\\Omega^{1}$, ${\\bf F},\\mathbf{G}\\in\\Omega_{+}^2$, \n$\\mathbf{V} \\in \\Omega^3$, $v\\in\\Omega^4$.\nTherefore, \n\\begin{eqnarray}\ng\\circ f=id,\\quad  f\\circ g=id +\\t \\mathcal{Q}  H +H\\t \\mathcal{Q} \n\\end{eqnarray}\nHere $H$ is the homotopy on the complex $(\\mathfrak{K}^{\\cdot},\\t \\mathcal{Q} )$, i.e. the map \n$H: \\mathfrak{K}^{i}\\to\\mathfrak{K}^{i-1}$, and it is nonzero only on $\\mathfrak{K}^2$. The explicit formula is:\n\\begin{eqnarray}\n H((\\mathbf{V} ,\\mathbf{G}))=(0,\\mathbf{G})\n\\end{eqnarray}\nHence,\n\\begin{eqnarray}\n&& f\\circ g((\\mathbf{A} ,\\mathbf{F}))=(\\mathbf{A} ,2P_{+}d\\mathbf{A} ), \\quad f\\circ g((\\mathbf{V} ,\\mathbf{G}))=(d\\mathbf{G}+\\mathbf{V} ,0),\\nonumber\\\\\n&& \\t \\mathcal{Q}  H((\\mathbf{V} ,\\mathbf{G}))=(d\\mathbf{G},-\\mathbf{G}), \\quad H\\t \\mathcal{Q} ((\\mathbf{A} ,\\mathbf{F}))=(0,2P_{+}d\\mathbf{A} -\\mathbf{F}).\n\\end{eqnarray}\nTherefore we have a Proposition.\\\\\n\n\\noindent{\\bf Proposition 3.2.} {\\it \ni)The complexes $(\\mathcal{F} ^{\\cdot},\\mathcal{Q} )$, $(\\mathfrak{K}^{\\cdot}, \\t \\mathcal{Q} )$ are \nquasiisomorphic and homotopically equivalent provided by the maps $f,g$.\\\\\nii)Under the homotopy equivalence, the structure of DGA (from subsection 2.2) on $(\\mathfrak{K}^{\\cdot}, \\t \\mathcal{Q} )$ is transferred to the described above $A_{\\infty}$ structure (from subsection 2.1)on $(\\mathcal{F} ^{\\cdot},\\mathcal{Q} )$ .}\\\\\n\n\\noindent{\\bf Proof.} We have proved $(i)$ above. Let us prove $(ii)$. Namely, consider for example how the \n$A_{\\infty}$ structure is transferred from $(\\mathfrak{K}^{\\cdot},\\t \\mathcal{Q} )$ to $(\\mathcal{F} ^{\\cdot},\\mathcal{Q} )$. \nThe bilinear and trilinear operations that are transferred have the following form \\rf{tran}:\n\\begin{eqnarray}\n&&(a_1,a_2)'_h=g\\circ\\mu(f(a_1),f (a_2)), \\nonumber\\\\\n&&(a_1,a_2,a_3)'_h=g\\circ\\mu(f(a_1),H\\circ \\mu(f(a_2),f(a_3))-\\nonumber\\\\\n&&(-1)^{|a_1|}\\mu\\circ (H\\circ\\mu(f(a_1),f(a_2)), f(a_3)), \n\\end{eqnarray}\nwhere $a_i\\in (\\mathcal{F} ^{\\cdot},\\mathcal{Q} )$ $(i=1,2,3)$. The simple calculation shows that $(a_1,a_2)'_h$, $(a_1,a_2,a_3)'_h$ \ncoincide with the defined earlier $(a_1,a_2)_h$, $(a_1,a_2,a_3)_h$. $\\blacksquare$\\\\\n\n\\noindent  The example we have considered in this subsection shows that some of the field theory reformulations can be described in terms of homological algebra only. In the next section we will see the same picture in the case of supersymmetric four-dimensional Yang-Mills theory and its first order reformulation.\n\n\\section{$A_{\\infty}$-algebras of superforms in 4D.}\n\n\\noindent{\\bf 4.1. SUSY Maxwell complex for complex superfields.} We  claim that the Maxwell complex \n\n\\begin{equation}\\label{max}\n0\\xrightarrow{ }\\Omega^{0}(M)\\xrightarrow{\\mathrm{d}}\\Omega^{1}(M)\n\\xrightarrow{\\ud*\\ud}\\Omega^{3}(M)\\xrightarrow{\\mathrm{d}}\\Omega^{4}(M)\\to 0\n\\end{equation}\nand the complex of the first order theory:\n\\begin{eqnarray}\\label{fo}\n\\xymatrixcolsep{30pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n0\\ar[r]&\\Omega^0(M) \\ar[r]^\\mathrm{d} & \\Omega^1(M) \\ar[ddddr]  &\\Omega^3(M) \\ar[r]^\\mathrm{d} & \\Omega^4(M)\\ar[r]&0\\\\\n &\\quad &     & _{-\\mathrm{d}}\\quad    &&\\\\\n && \\bigoplus & \\bigoplus     &&\\\\\n &&           & _{\\mathrm{d}_{+}}\\quad    &&\\\\\n && \\Omega^2_+(M) \\ar[r]_{-Id} \\ar[uuuur]  & \\Omega^2_+(M)&\n}\n\\end{eqnarray}\nwhere $M=\\mathbb{R}^{1,3}$, can be naturally embedded into certain complex in N=1 superspace. This is a superspace where in addition to four even spacetime coordinates, there are two odd Weyl spinor coordinates \n$\\theta^{\\alpha}, \\theta^{\\dot\\alpha}$.  \nWe keep the notation close to \\cite{susybook}, see also Appendix B. Denote the space of complex scalar superfields $V(x,\\theta,\\bar \\theta)$ as $\\Sigma$ and the space of chiral spinor superfields  $W_{\\alpha}(x,\\theta)$ (corresponding to field strength) as $\\Theta$. Finally, we denote the space of chiral superfields corresponding to gauge transformations $\\Lambda(x,\\theta)$ as $\\Phi$. The following complex:\n\\begin{eqnarray}\\label{msusy}\n0\\xrightarrow{ }\\Xi\\xrightarrow{id}\\Sigma\n\\xrightarrow{D^{\\alpha}{\\bar D}^2D_{\\alpha}}\\t \\Sigma\\xrightarrow{{\\bar D}^2}\\t \\Xi\\to 0.\n\\end{eqnarray}\nwhere $\\Xi\\cong\\t \\Xi$ and $\\Sigma\\cong \\t\\Sigma$ is the supersymmetric generalization of the Maxwell complex, it is clear that the Maxwell complex \\rf{max} naturally embeds into the complex \\rf{msusy}. \nMoreover, one can consider the complex\n\\begin{eqnarray}\\label{sfo}\n\\xymatrixcolsep{30pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n0\\ar[r]&\\Xi \\ar[r]^{id} & \\Sigma \\ar[ddddr]  &\\tilde\\Sigma \\ar[r]^{\\bar D^2} & \\tilde\\Xi\\ar[r]&0\\\\\n &\\quad &     & _{\\widehat{div}}\\quad    &&\\\\\n && \\bigoplus & \\bigoplus     &&\\\\\n &&           & \\quad _{\\bar D^2D_{\\alpha}}  &&\\\\\n && \\Theta \\ar[r]_{Id} \\ar[uuuur]  & \\tilde\\Theta&\n}\n\\end{eqnarray}\nwhere  \n$\\widehat{div}{W}=D^{\\alpha}W_{\\alpha}$, $W$ is a chiral spinor field from \n$\\Sigma$ and $\\tilde\\Theta\\cong \\Theta$. One can show that \\rf{fo} can be embedded in \\rf{sfo}. \nAs we noted in the section 2.2, one could consider the first order Maxwell complex with antiselfdual 2-forms. This complex will be embedded into antichiral version of the \\rf{sfo} (i.e. the spaces $\\Xi$ and $\\Theta$ would be replaced by their antichiral counterparts). \n\nAfterwards, we will denote the supersymmetric Maxwell complex as  $(\\mathcal{F}_{susy} ^{\\cdot}, \\mathfrak{D})$ and the  \nsupersymmetric complex for the first order theory as $( \\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})$. \nAs one may suspect, these complexes are homotopy equivalent as in the previous case. \nOne can construct the supersymmetric version of maps $f,g$ from the previous subsection, i.e. maps $g^s:(\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})\\to  (\\mathcal{F}_{susy} ^{\\cdot},  \\mathfrak{D})$, $f^s: \n(\\mathcal{F}_{susy} ^{\\cdot},  \\mathfrak{D})\\to  (\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})$:\n\\begin{eqnarray}\\label{fsgs}\nf^s(\\Lambda)=\\Lambda, \\quad f^s(V)=(-V,\\bar D^2D_{\\alpha}V), \\quad f^s(\\t V)=(\\t V, 0),\\quad f^s(\\t \\Lambda)=\\t \\Lambda,\\\\\ng^s(\\Lambda)=\\Lambda, \\quad g^s((V,W))=-V, \\quad g^s((\\t V, \\t W_{\\alpha})=\\t V-D^{\\alpha}\\t W_{\\alpha},\\quad g^s(\\t \\Lambda)=\\t \\Lambda.\\nonumber\n\\end{eqnarray}\nMoreover, $g^s\\circ f^s=id$ and $f^s\\circ g^s=id +{\\mathbb{D}} H+H{\\mathbb{D}}$ where the homotopy operator is nonzero only on $\\mathcal{K}_{susy} ^2$ and is defined by the formula:\n\\begin{equation}\nH((V,W))=((0,-W)).\n\\end{equation}\nThe precise statement is the following.\\\\\n\n\\noindent{\\bf Proposition 4.1.} {\\it The complexes $(\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})$, $(\\mathcal{F}_{susy} ^{\\cdot},  \\mathfrak{D})$ are quasiisomorphic and homotopically equivalent where the corresponding maps $g^s:(\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})\\to  (\\mathcal{F}_{susy} ^{\\cdot},  \\mathfrak{D})$, $f^s:(\\mathcal{F}_{susy} ^{\\cdot}, Q)\\to  (\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})$ are given by \\rf{fsgs}.}\\\\\n\nAnother issue about two complexes above is that one can define graded antisymmetric bilinear forms on \n$\\mathcal{F} _{susy}$, $\\mathfrak{K}_{susy}$ such that \n\\begin{equation}\n\\langle\\cdot, \\cdot \\rangle_{\\mathfrak{K}}:  \\mathfrak{K}^i_{susy}\\otimes  \\mathfrak{K}^{3-i}_{susy}\\to \\mathbb{C},\\quad\n\\langle\\cdot, \\cdot \\rangle_{\\mathcal{F} }:  \\mathcal{F} ^i_{susy}\\otimes  \\mathcal{F} ^{3-i}_{susy}\\to \\mathbb{C}.\n\\end{equation}\nOn $\\mathfrak{K}_{susy}$ they are defined by the following formulas:\n\\begin{eqnarray}\n&&\\langle{\\Lambda,\\t\\Lambda}\\rangle_{\\mathfrak{K}}=\\int d^4 xd^2\\theta \\Lambda\\t \\Lambda,\\quad \\langle V,\\t V\\rangle{\\mathfrak{K}}=\\int d^4 x d^4\\theta V\\t V,\\nonumber\\\\\n&& \\langle W,\\t W\\rangle_{\\mathfrak{K}}=\\frac{1}{2}\\int d^4 xd^2\\theta W_{\\alpha}\\t W^{\\alpha}.\n\\end{eqnarray}\n\n\\noindent {\\bf Proposition 4.2.} {\\it The graded symmetric bilinear forms $\\langle\\cdot, \\cdot \\rangle_{\\mathcal{F} }$, $\\langle\\cdot, \\cdot \\rangle_{\\mathfrak{K}}$ obey the relation \n\\begin{eqnarray}\\label{cycpairing}\n\\langle a_1, Qa_2\\rangle+(-1)^{a_1+a_2+a_1a_2}\\langle a_2,Qa_1\\rangle=0, \n\\end{eqnarray}\nwhen $a_1,a_2\\in \\mathcal{F} ^r$ or $a_1,a_2\\in \\mathfrak{K}^r$ and $Q$ stands for $ \\mathfrak{D}$ or ${\\mathbb{D}}$.}\\\\\n\n\\noindent The bilinear form on $\\mathcal{F} _{susy}$ is defined by the restriction of the form on $\\mathfrak{K}_{susy}$. Therefore, from now on we suppress the index notation for the bilinear forms.\n\nOne of the immediate consequences of the Proposition above is that if one can construct the $A_{\\infty}$-algebra on the complex $(\\mathcal{K}_{susy} ^{\\cdot}, {\\mathbb{D}})$, then the $A_{\\infty}$ structure on \n$(\\mathcal{F}_{susy} ^{\\cdot},  \\mathfrak{D})$ can be obtained by the transfer procedure as in the previous section. \\\\\n\n\\noindent {\\bf 4.2. Reminder of N=1 SUSY YM.} Let us consider the action of the N=1 SUSY YM theory in 4 dimensions:\n\\begin{eqnarray}\\label{asusy}\nS_{SYM}[V]=\\frac{1}{2}\\int d^4xd^4 \\theta Tr (e^{-V}D_{\\alpha}e^V{\\bar D}^2(e^{-V}D_{\\alpha}e^V)),\n\\end{eqnarray}\nwhere $V$ is the real superfield, taking values in some Lie algebra $\\mathfrak{g}$, i.e. $V\\in\\Sigma\\otimes{\\mathfrak{g}}$. It is invariant under the following transformations:\n\\begin{eqnarray}\n\\label{transf}\ne^V\\to e^{\\bar\\Lambda}e^{V}e^{\\Lambda},\n\\end{eqnarray}\nwhere $\\Lambda$ is a chiral scalar superfield. \nIt is useful to define the supercurvature, i.e. the spinor chiral superfield $W\\in \\Theta\\otimes{\\mathfrak{g}}$\n\\begin{eqnarray}\nW_{\\alpha}=-\\bar D^2(e^{-V}D_{\\alpha}e^V).\n\\end{eqnarray} \nUsing the global transformation formula \\rf{transf}, one can find the infinitesimal transformations of $V$ and $W$:  \n\\begin{eqnarray}\n&&V\\to V+\\delta_{\\Lambda, \\bar \\Lambda}V=V+\\frac{1}{2}L_{V}(\\Lambda-\\bar \\Lambda+\\coth(\\frac{1}{2}L_V)(\\Lambda+\\bar \\Lambda))\\nonumber\\\\\n&&W_{\\alpha}\\to W_{\\alpha}+[W_{\\alpha},\\Lambda]\n\\end{eqnarray} \nwhere $\\Lambda, \\bar{\\Lambda}$ are infinitesimal and $L_V\\cdot=[V,\\cdot]$.\nVarying the action $S_{SYM}$ with respect to $V$, one finds the following expression:\n\\begin{eqnarray}\\label{eqm}\nf(L_V)[\\nabla_{\\alpha},W^{\\alpha}]=0, \n\\end{eqnarray}\nwhere $\\nabla_{\\alpha}=e^{-V}D_{\\alpha}e^V$, and $f(x)=\\frac{e^{x}-1}{x}$. \nOne can see that this equation is equivalent to the \"physically covariant\" equation $[\\nabla_{\\alpha},W^{\\alpha}]=0$ because operator $f(L_V)$ is invertible. \nHere we note (this is important for the next subsection) that the equation \\rf{eqm} is the equation of motion for the functional \\rf{asusy} even when $V$ is not real.  The reality condition gives the constraint:\n\\begin{eqnarray}\n[\\nabla_{\\alpha},W^{\\alpha}]=[\\nabla_{\\dot{\\alpha}},W^{\\dot{\\alpha}}].\n\\end{eqnarray}\nBelow we are showing that the equation \\rf{eqm} is covariant from the homological point of view, i.e. we \nare observing that it arises as GMC equation for the certain cyclic $A_{\\infty}$-algebra. \\\\\n\n\\noindent {\\bf 4.3. Chiral $A_{\\infty}$-algebra.} \nOne can also rewrite the action \\rf{asusy} in the first order form the way we we did in the case of usual Yang-Mills: \n\\begin{eqnarray}\n&&S_{fo}[V,W]=\\frac{1}{2}\\int d^4x d^2 \\theta \\frac{1}{2}Tr(W_{\\alpha}W^{\\alpha}+\\bar{D}^2 (e^{-V}D_{\\alpha}e^V)W^{\\alpha}).\n\\end{eqnarray} \nWe see that both actions $S_{SYM}$ and $S_{fo}$ in the case of abelian Lie algebra \ncan be written as $\\frac{1}{2}\\langle \\psi,Q\\psi\\rangle$, where $\\psi$ is an element of degree \n$1$ and $Q$ stands either for $ \\mathfrak{D}$ or ${\\mathbb{D}}$.\nLet us forget about $\\bar \\Lambda$-symmetry in this section and consider only the one, generated by chiral scalar superfields $\\Lambda$.  \nThen the BV generalization of the last action looks as follows:\n\\begin{eqnarray}\n&& S^{BV}_{fo}=S_{fo}+\\nonumber\\\\\n&&\\int d^4xd^4\\theta Tr(\\delta_{C}(V)V^*)+ \\int d^4x d^2\\theta Tr([W^{\\alpha},C]W^*_{\\alpha}+\\frac{1}{2}[C,C]C^*).\n\\end{eqnarray} \nHere, as usual, ghosts and antifields are $c^{+}\\in\\Phi[1], V^*\\in\\t \\Sigma[-1]$ and is a real superfield, $W^*\\in\\t \\Sigma[-1]$, $c\\in\\t \\Theta[-2]$. In the actions above $\\delta_{c}(V)=\\frac{1}{2}L_{V}(c+\\coth(\\frac{1}{2}L_V)(c))$. \nIt is feasible to check that these actions satisfy the Master equation. \nTherefore, an odd vector field ${\\bf Q}$ \nthat is defined by means of the formula ${\\bf Q}\\cdot=(S_{fo}^{BV},\\cdot)_{BV}$ acts on the fields \nin the following way:\n\\begin{eqnarray}\\label{bfq}\n&&{\\bf Q}c=\\frac{1}{2}[C,C],\\nonumber\\\\\n&&{\\bf Q}V=\\delta_{C}(V),\\nonumber\\\\\n&&{\\bf Q}V^*=f(L_V)[e^{-V}D_{\\alpha}e^V,W^{\\alpha}]+\\frac{\\delta}{\\delta V}\\delta_{C}(V)V^*,\\nonumber\\\\\n&&{\\bf Q}W_{\\alpha}=[W_{\\alpha},C],\\nonumber\\\\\n&&{\\bf Q}W_{\\alpha}^*=[W_{\\alpha}^*,C],\\nonumber\\\\\n&&{\\bf Q}{C^*}=[C,C^*]-\\frac{1}{2}L_V(V^*-\\coth(\\frac{1}{2}L_V)(V^*)) +[W_{\\alpha},{W^{\\alpha}}^*].\n\\end{eqnarray}\nThen we have the following Proposition.\\\\\n\n\\noindent{\\bf Proposition 4.3.} {\\it The odd vector field ${\\bf Q}$ satisfies the nilpotency condition ${\\bf Q}^2=0$ and therefore determines the $A_{\\infty}$ structure on the complex \\rf{fo}.}\\\\\n\n\\noindent Therefore, the action $S^{BV}_{fo}$  has the form of the homotopy Chern-Simons theory, \ni.e.:\n\\begin{eqnarray}\n\\frac{1}{2}\\langle\\psi,{\\mathbb{D}}\\psi\\rangle+\\sum_{n\\ge 2}\\frac{1}{n+1}\\langle\\mu_n(\\psi,...,\\psi),\\psi\\rangle,\n\\end{eqnarray}\nwhere $\\mu_n$ stand for bilinear and higher operations in the $A_{\\infty}$-algebra. \nOne of the specific features of the corresponding $A_{\\infty}$-algebra is that the \ncorresponding $L_{\\infty}$-algebra vanishes in the case of abelian Lie algebra \n$\\mathfrak{g}$. One can see that directly from \\rf{bfq} or from the fact that the BV action in this case becomes bilinear in fields. Therefore, for example, the bilinear operation for this  \n$A_{\\infty}$-algebra in the case of abelian $\\mathfrak{g}$ is commutative, like in the usual Yang-Mills case.  \nLet us write the expression for this bilinear operation explicitly.\n\n\\begin{center}\n$\\mu_2(f_1,f_2)$=\n\\end{center}\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{$ f_2$}{$f_1$}&          $\\Lambda_1$ & $(V_1,W_1)$ & $(\\t V_1,\\t W_1)$ & $\\t\\Lambda_1$ \\\\\n\\hline\n$\\Lambda_2$ &                  $\\Lambda_1\\Lambda_2$    &$(\\frac{1}{2}V_1\\Lambda_2,W_1\\Lambda_2)$ & \n$(\\frac{1}{2}\\t V_1\\Lambda_2,\\t W_1\\Lambda_2)$ &$\\t\\Lambda_1\\Lambda_2$\\\\\n\\hline\n$(V_2,W_2)$     &  $(\\frac{1}{2}\\Lambda_1V_2,\\Lambda_1W_2)$ & $((V_1,W_1), (V_2,W_2))_h$   &   $\\t W_{1,\\alpha}W_2^{\\alpha}$ &0\\\\\n                               &                               &       & $-\\frac{1}{2}\\bar D^2(\\t V_1V_2)$&\\\\                    \n\\hline\n$(\\t V_2,\\t W_2)$ & $(\\frac{1}{2}\\Lambda_1\\t V_2,\\Lambda_1\\t W_2)$ &  $-W_1^{\\alpha}\\t W_{2,\\alpha}$ &    0&0\\\\\n&&                        $-\\frac{1}{2}\\bar D^2(V_1\\t V_2)$&&\\\\\n\\hline\n$\\t\\Lambda_2$                     & $\\Lambda_1\\t\\Lambda_2$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\\vspace{3mm}\n\nHere $f_1,f_2$ take values in the set of variables with indices $1$ and $2$ correspondingly. In the table above $\\Lambda_i\\in \\mathcal{K}_{susy} ^0$, $(V_i,W_i)\\in \\mathcal{K}_{susy} ^1 (i=1,2)$, $(\\t V_i,\\t W_i)\\in \\mathcal{K}_{susy} ^2 (i=1,2)$, \n$\\t \\Lambda_i\\in \\mathcal{K}_{susy} ^3$, and \n\\begin{eqnarray}\n&&((V_1,W_1), (V_2,W_2))_h=\\\\\n&&(D_{\\alpha}V_1W_2^{\\alpha}+W_1^{\\alpha}D_{\\alpha}V_2+\\frac{1}{2}(V_1D_{\\alpha}W^{\\alpha}_2-D_{\\alpha}W^{\\alpha}_1V_2),-\\frac{1}{2}\\bar D^2(V_1D_{\\alpha}V_2-D_{\\alpha}V_1V_2).\\nonumber\n\\end{eqnarray}\n{\\bf Corollary 4.1.} {\\it The operation $\\mu$ on the complex \\rf{sfo} is homotopy associative on \n$(\\mathfrak{K}^{\\cdot}, \\tilde{\\mathfrak{D}})$}.\\\\\n\n\\noindent In Appendix B, we explicitly prove this proposition.\n\nKnowing all the operations of $A_{\\infty}$-algebra based on complex \\rf{sfo}, one can construct ones on the complex \\rf{msusy}. The resulting bilinear operation is:\n\\begin{center}\n$m_2(f_1,f_2)$=\n\\end{center}\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{$ f_2$}{$f_1$}&          $\\Lambda_1$ & $V_1$ & $\\t V_1$ & $\\t\\Lambda_1$ \\\\\n\\hline\n$\\Lambda_2$ &                  $\\Lambda_1\\Lambda_2$    &$\\frac{1}{2}V_1\\Lambda_2$ & \n$\\frac{1}{2}\\t V_1\\Lambda_2$ &$\\t\\Lambda_1\\Lambda_2$\\\\\n\\hline\n$V_2$     &  $\\frac{1}{2}\\Lambda_1V_2 $ & $(V_1,V_2)_h$   &  $-\\frac{1}{2}\\bar D^2(\\t V_1V_2)$  &0\\\\\n                    \n\\hline\n$\\t V_2$ & $\\frac{1}{2}\\Lambda_1\\t V_2$ &  $-\\frac{1}{2}\\bar D^2(V_1\\t V_2)$ &    0&0\\\\\n\\hline\n$\\t\\Lambda_2$                     & $\\Lambda_1\\t\\Lambda_2$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\n\\noindent where \n\\begin{eqnarray}\n&& (V_1,V_2)_h=\\frac{1}{2}D^{\\alpha}\\bar D^2(V_1D_{\\alpha}V_2-V_2D_{\\alpha}V_1)-D_{\\alpha}V_1\\bar D^2D^{\\alpha}V_2-\\nonumber\\\\\n&&D_{\\alpha}V_2\\bar D^2D^{\\alpha}V_1D_{\\alpha}V_2+\\frac{1}{2}(V_2D_{\\alpha}\\bar D^2D^{\\alpha}V_1-V_1D_{\\alpha}\\bar D^2D^{\\alpha}V_2).\n\\end{eqnarray}\n\n\\noindent Therefore, we have another proposition.\\\\\n\n\\noindent {\\bf Proposition 4.4.} {\\it Operation $m_2$ is homotopy associative on the supersymmetric generalization of the Maxwell complex \\rf{msusy}.}\\\\\n\n\\noindent As one could expect, the operation $m_2$ comes from the BV functional\n \\begin{eqnarray}\\label{bvsymact}\n&&S^{BV}_{SYM}[V]=\\frac{1}{2}\\int d^4xd^4 \\theta Tr(e^{-V}D_{\\alpha}e^V{\\bar D}^2(e^{-V}D_{\\alpha}e^V))+\\nonumber\\\\\n&&\\int d^4xd^4\\theta Tr(\\delta_{C}(V)V^*) +\\int d^4xd^2\\theta\\frac{1}{2}Tr([C,C]C^*).\n\\end{eqnarray}\n\nAgain, as in the case of nonsupersymmetric Yang-Mills, we see that the $A_{\\infty}$-algebras of the second and the first order theories are related by means of transfer formula. \\\\\n\n\\noindent {\\bf 4.4. Full symmetry and real representation.} So far we neglected the full symmetry \\rf{transf} of the action \\rf{asusy}. Namely, \nwe considered only the chiral part of the symmetry. In order to obtain full symmetry on the homological level there are two options. The first one is to consider the following extension of the complex \\rf{msusy}:\n\\begin{eqnarray}\n\\xymatrixcolsep{40pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n0\\ar[r]&\\Theta \\ar[r]^{id} & \\Sigma \\ar[r]^{D_{\\alpha}\\bar D^2D^{\\alpha}}  &\\tilde\\Sigma \\ar[r]^{\\bar D^2}\\ar[ddr]^{D^2} & \\tilde\\Theta\\ar[r]&0\\\\\n &\\oplus&&&\\oplus\n &&          &  &&\\\\\n &\\bar{\\Theta}\\ar[uur]^{-id}&   &&\\tilde{\\bar{\\Theta}}}\\nonumber\n\\end{eqnarray}\nHere $\\bar{\\Theta}\\cong \\bar{\\tilde \\Theta}$ is a space of antichiral superfields. From now on, we denote it as $(\\mathcal{F} _{full}^{\\cdot}, \\mathcal{D})$. \n To reproduce this complex, one should consider the full BV action:\n\\begin{eqnarray}\n&&S^{BV, full}_{SYM}[V]=\\nonumber\\\\\n&&\\frac{1}{2}\\int d^4x d^4 \\theta Tr(e^{-V}D_{\\alpha}e^V{\\bar D}^2(e^{-V}D_{\\alpha}e^V))+\\int d^4xd^4\\theta Tr(\\delta_{C,\\bar C}(V)V^*)+\\nonumber\\\\\n&&\\int d^4x d^2\\theta\\frac{1}{2}Tr([C,C]C^{*})+\\int d^4x d^2\\bar \\theta\\frac{1}{2}Tr([\\bar C,\\bar C]\\bar C^*).\n\\end{eqnarray}\nHere $\\delta_{C,\\bar C}(V)=\\frac{1}{2}L_V(C-\\bar C+coth(\\frac{1}{2}L_V)(C+\\bar C))$. The corresponding \nbilinear operation should be modified in this way:\n\\begin{center}\n$m^{full}_2(f_1,f_2)$=\n\\end{center}\n\\begin{tabular}{|l|c|c|c|r|}\n\\hline\n\\backslashbox{$ f_2$}{$f_1$}&          $(\\Lambda_1, \\bar\\Lambda_1)$ & $V_1$ & $\\t V_1$ & $(\\t\\Lambda_1, \n\\bar{\\t{\\Lambda}}_1)$ \\\\\n\\hline\n$(\\Lambda_2, \\bar \\Lambda_2)$ &                  $(\\Lambda_1\\Lambda_2, \\bar \\Lambda_1\\bar\\Lambda_2)$    &$\\frac{1}{2}V_1(\\Lambda_2+\\bar\\Lambda_2)$ & \n$\\frac{1}{2}\\t V_1(\\Lambda_2+\\bar\\Lambda_2)$ &$(\\t\\Lambda_1\\Lambda_2,\\bar{\\t{\\Lambda}}_1\\bar{\\t{\\Lambda}}_2)$\\\\\n\\hline\n$V_2$     &  $\\frac{1}{2}(\\Lambda_1+\\bar\\Lambda_1)V_2 $ & $(V_1,V_2)_h$   &  $(-\\frac{1}{2}\\bar D^2(\\t V_1V_2), \\frac{1}{2}D^2(\\t V_1V_2))$  &0\\\\\n                    \n\\hline\n$\\t V_2$ & $\\frac{1}{2}(\\Lambda_1+\\bar\\Lambda_1)\\t V_2$ &  $-\\frac{1}{2}\\bar D^2(V_1\\t V_2)$ &    0&0\\\\\n\\hline\n$(\\t\\Lambda_2, {\\bar{\\t\\Lambda}}_2)$                     & $(\\Lambda_1\\t\\Lambda_2, \\bar\\Lambda_1{\\bar{\\t\\Lambda}}_2)$ &   0 &    0&0\\\\\n\\hline\n\\end{tabular}\\\\\n\n\\noindent Using the transfer formula, one can find the modification for the bilinear operation of the first order model complex. \n\nSometimes it is useful to define the following representation of the field $V$:\n\\begin{eqnarray}\\label{chiral}\ne^V=e^{\\bar \\Omega}e^{\\Omega},\n\\end{eqnarray}\nsuch that under \\rf{transf}, the transformation of $\\Omega$ and $\\bar{\\Omega}$ is:\n\\begin{eqnarray}\ne^{\\Omega}\\to e^Ke^{\\Omega}e^{\\Lambda}, \\quad e^{\\bar \\Omega}\\to e^{\\bar \\Lambda}e^{\\bar \\Omega}e^{-K},\n\\end{eqnarray}\nwhere the new $K$-symmetry appears. \nTherefore, another approach to get full symmetry into the picture is to represent $V$ in terms of $\\Omega$ and $\\bar \\Omega$ and treat them as separate varibles in the BV action. The resulting $A_{\\infty}$-algebra is based on the following complex:\n\\begin{eqnarray}\n\\xymatrixcolsep{40pt}\n\\xymatrixrowsep{3pt}\n\\xymatrix{\n&\\Theta \\ar[r]^{id} & \\Sigma_c\\ar[ddddr] \\ar[r]^{D_{\\alpha}\\bar D^2D^{\\alpha}}  &\\tilde\\Sigma_c \\ar[ddr]^{id}\\ar[r]^{\\bar D^2} & \\tilde\\Theta\\\\\n &\\oplus&& &\\oplus&&          &  &&\\\\\n 0\\ar[r]&\\Upsilon\\ar[uur]^{id} \\ar[ddr]^{-id}&\\oplus&\\oplus&\\t \\Upsilon\\ar[r]&0\\\\\n &\\oplus&&&\\oplus\n &&          &  &&\\\\\n &\\bar{\\Theta}\\ar[r]^{-id}&\\bar\\Sigma_c\\ar[uuuur]  \\ar[r]^{D_{\\alpha}\\bar D^2D^{\\alpha}} &\\bar{\\tilde\\Sigma}_c\\ar[uur]^{-id}\\ar[r]^{D^2}&\\tilde{\\bar{\\Theta}}}\\nonumber\n\\end{eqnarray}\nHere all maps in the middle of the diagram are given by the action of the operator $D_{\\alpha}\\bar D^2D^{\\alpha}$, and the spaces $\\Sigma_r, \\tilde\\Sigma_r, \\bar\\Sigma_r, \\bar{\\tilde\\Sigma}_r,\\Upsilon$ are isomorphic to the space $\\Sigma$ (see above). \nWe will denote the resulting complex as $(\\mathcal{F} ^{\\cdot}_{real}, \\mathcal{D})$. The immediately arising interesting question is: how the $A_{\\infty}$ structure on this complex is related to $A_{\\infty}$-algebra on \n$(\\mathcal{F} _{full}^{\\cdot}, \\mathcal{D})$? Below  we will show that they are homotopically equivalent. \nLet us explicitly construct the chain maps $f:\\mathcal{F} _{full}^{\\cdot}\\to \\mathcal{F} _{real}^{\\cdot}$ and $g:\\mathcal{F} _{real}^{\\cdot}\\to \\mathcal{F} _{full}^{\\cdot}$:\n\\begin{eqnarray}\n&&f((\\Lambda, \\bar \\Lambda))=(\\Lambda, -\\frac{1}{2}(\\Lambda+\\bar \\Lambda), \\bar \\Lambda),\\quad \nf(V)=(\\frac{1}{2}V, \\frac{1}{2}V), \\nonumber\\\\\n&& f(\\t V)=(\\t V, \\t V), \\quad f((\\Lambda, \\bar \\Lambda))=(\\Lambda, 0, \\bar \\Lambda)\\nonumber\\\\\n&&\\nonumber\\\\\n&&g((\\Lambda, K, \\bar \\Lambda))=(\\Lambda, \\bar \\Lambda), \\quad g((\\Omega, \\bar \\Omega))=\\Omega+\\bar \\Omega\\nonumber\\\\\n&&g((\\t \\Omega, \\t{\\bar\\Omega}))=\\frac{1}{2}(\\t \\Omega+ \\t {\\bar\\Omega}), \\quad g((\\Lambda, K, \\bar \\Lambda))=\n(\\Lambda-\\frac{1}{2}{\\bar D}^2K, \\bar \\Lambda-\\frac{1}{2}{D}^2K)\n\\end{eqnarray}\nIt is feasible to check that $gf=id$ and $fg=id+[Q,H]$ where $H$ is an operator of degree $-1$ on the complex \n$\\mathcal{F} _{chiral}^{\\cdot}$ which is nonzero on $\\mathcal{F} ^1_{real}$ and $\\mathcal{F} ^3_{real}$, such that \n\\begin{eqnarray}\n&&H((\\Omega, \\bar \\Omega))=(0, \\frac{1}{2}(\\bar \\Omega-\\Omega),0),\\nonumber\\\\\n&&H((\\t \\Lambda, \\t K, \\t {\\bar \\Lambda}))=(-\\frac{1}{2}K,\\frac{1}{2}K) \n\\end{eqnarray}\nTherefore, one can formulate the following Proposition.\\\\\n\n\\noindent {\\bf Proposition 4.5.} {\\it Complex $(\\mathcal{F} _{full}^{\\cdot}, \\mathcal{D})$ is homotopically equivalent to \n$\\mathcal{F} _{real}^{\\cdot}$.}\\\\\n\nThis allows us to transfer the homotopy algebra structure from $\\mathcal{F} _{real}^{\\cdot}$ to $\\mathcal{F} _{full}^{\\cdot}$. Here we also note the following. If we look at  \"Baker-Campbell-Hausdorff\" change of variables \n$e^V=e^{\\bar\\Omega}e^{\\Omega}$ in the corresponding equation of motion (Maurer-Cartan equation), we find out that it becomes part of the transfer of the $A_{\\infty}$-algebra. \n\n\n\\section*{Appendix A: $A_{\\infty}$-algebras and the BV formalism.}\nIn this appendix we summarize all necessary information about $A_{\\infty}$-algebras. For more details see \ne.g. \\cite{stashbook}, \\cite{kajiura}, \\cite{markltransf}. \\\\\n\n\\noindent {\\bf A1. $A_{\\infty}$-algebras.} \nThe $A_{\\infty}$-algebra is a generalization of an associative algebra with a differential. Namely, consider a graded vector space $V=\\oplus_k V_k$ with a differential $Q$. Consider the multilinear operations $\\mu_r: V^{\\otimes r}\\to V$ of the degree $2-r$, such that $\\mu_1=Q$. \\\\\n\n\\noindent {\\bf Definition.}{\\it The space V is an $A_{\\infty}$-algebra if $\\mu_n$ satisfy the following bilinear identity:\n\\begin{eqnarray}\\label{arel}\n\\sum^{n-1}_{i=1}(-1)^{i}M_i\\circ M_{n-i+1}=0\n\\end{eqnarray}\non $V^{\\otimes n}$. \nHere $M_s$ acts on $V^{\\otimes m}$ ($m\\ge s$)  as the sum of all possible operators of the form \n${\\bf 1}^{\\otimes^l}\\otimes\\mu_s\\otimes{\\bf 1}^{\\otimes^{m-s-l}}$ taken with appropriate signs. In other words, \n$M_s:V^{\\otimes^m}\\to V^{\\otimes^{m-s+1}}$ and \n\\begin{eqnarray}\nM_s=\\sum^{m-s}_{l=0}(-1)^{l(s+1)}{\\bf 1}^{\\otimes^l}\\otimes\\mu_s\\otimes{\\bf 1}^{\\otimes^{m-s-l}}.\n\\end{eqnarray}}\nLet's write several relations which are satisfied by $Q$, $\\mu_1$, $\\mu_2$, $\\mu_3$:\n\\begin{eqnarray}\n&&Q^2=0,\\\\\n&&Q\\mu_2(a_1,a_2)=\\mu_2(Q a_1,a_2)+(-1)^{n_{a_1}}\\mu_2(a_1,Q a_2),\\nonumber\\\\\n&&Q\\mu_3(a_1,a_2, a_3)+\\mu_3(Q a_1,a_2, a_3)+(-1)^{n_{a_1}}\\mu_3(a_1,Q a_2, a_3)_h+\\nonumber\\\\\n&&(-1)^{n_{a_1}+n_{a_2}}\\mu_3( a_1, a_2, Q a_3)=\\mu_2(\\mu_2(a_1,a_2),a_3)-\\mu_2(a_1,\\mu_2(a_2,a_3)).\\nonumber\n\\end{eqnarray}\nIn such a way we see that if $\\mu_n=0$, $n\\ge 3$ , then we have just graded differential associative algebra. \nIt appears that the relations \\rf{arel} can be encoded into one equation $\\partial^2=0$. To see this, one applies the desuspension operation (the operation which shifts the grading $s^{-1}: V_{k}\\to V_{k-1}$) to $\\mu_n$, i.e. one can define operations of degree $1$: $\\nu_n=s\\nu_n {s^{-1}}^{\\otimes^n}$. \nMore explicitly, \n\\begin{eqnarray}\n\\nu_n(s^{-1} a_1,...,s^{-1} a_n)=(-1)^{s(a)}s^{-1}\\mu_n(a_1,...,a_n),\n\\end{eqnarray}\nsuch that $s(a)=(1-n)n_{a_1}+(2-n)n_{a_2}+...+a_{n-1}$. \nThe relations between $\\nu_n$ operations can be summarized in the following simple equations:\n\\begin{eqnarray}\\label{M2}\n\\sum^n_{i=1}N_i\\circ N_{n+1-i}=0.\n\\end{eqnarray}\non $V^{\\otimes n}$. Here each $N_s$ acts on $V^{\\otimes^m}$ ($m\\ge s$) as the sum of all operators ${\\bf 1}^{\\otimes^l}\\otimes\\nu_s\\otimes{\\bf 1}^{\\otimes^k}$, such that $l+s+k=m$.  Combining them into one operator $\\partial=\\sum_n\\nu_n$, acting on a space $\\oplus_kV^{\\otimes^k}$ the relations \\rf{arel} can be combined into one equation $\\partial^2=0$. \n\nAnother way to represent the relations \\rf{arel} as the nilpotency condition of some operator is by using the differential operators on a noncommutative manifold. Let the set $\\{e_i\\}$ be the homogeneous elements,  \nwhich form a basis of $V$. Introduce noncommutative supercoordinates $x^i$ such that $X=x^ie_i$ has degree degree 1 on $V$. One can write a noncommutative vector field, such that  \n\\begin{eqnarray}\\label{Q}\n{\\bf Q}x^i=\\nu_{n;j_1,...,j_n}x^{j_1}...x^{j_n},\n\\end{eqnarray}\nwhere $\\nu_{n;j_1,...,j_n}=\\nu_n(e_{j_1},...,e_{j_n})$. Then the relations \\rf{M2} can be formulated as \n${\\bf Q}^2=0$. \\\\\n\n\\noindent{\\bf A2. Cyclic structures, BV formalism and the generalized Maurer-Cartan equation.} \nFirst we define what cyclic structure is.\\\\\n\n\\noindent{\\bf Definition.} {\\it The $A_{\\infty}$-algebra on a space V is called $cyclic$ if there exists a nondegenenerate  pairing $\\langle\\cdot, \\cdot \\rangle$, such that it is graded symmetric\n\\begin{eqnarray}\n\\langle a, b \\rangle=-(-1)^{(n_a+1)(n_b+1)}\\langle b,a  \\rangle\n\\end{eqnarray}\nand satisfies the following conditions for $\\mu_n$:\n\\begin{eqnarray}\n&&\\langle a_1,\\mu_{n-1}(a_2,...,a_n)\\rangle=\\nonumber\\\\\n&&(-1)^{(n-1)(a_1+a_2+1)+a_1(a_2+...+a_n)}\\langle a_2,\\mu_{n-1}(a_3,...,a_n,a_1)\\rangle.\n\\end{eqnarray}}\nIt makes sense to define $\\psi_n(a_1,...,a_n)=\\langle a_1, \\mu_{n-1}(a_2, ..., a_n)\\rangle$. Consider again the element of degree 1 $X=x^ie_i$, where $x^i$ are noncommutative \nsupercoordinates and define the formal $action$ $functional$:\n\\begin{eqnarray}\\label{hcs}\nS[X]=\\sum^{\\infty}_{n=2}\\frac{1}{n}\\Psi_n(X,...,X).\n\\end{eqnarray}\nLet $\\omega_{ij}=\\langle e_i, e_j\\rangle$. Then one can define a BV bracket:\n\\begin{eqnarray}\n(\\alpha,\\beta)_{BV}=\\frac{{\\overleftarrow{\\partial}}\\alpha}{\\partial x^i}\\omega^{ij}\\frac{\\overrightarrow{\\partial}\\beta}{\\partial x^j}\n\\end{eqnarray}\non the space of polynomials of $x^i$, such that $S$ satisfies classical Master equation:\n\\begin{eqnarray}\n(S,S)_{BV}=0\n\\end{eqnarray}\nUsing this condition, one can find that $S$ defines an odd vector field such that\n\\begin{eqnarray}\n(S,x^i)_{BV}=\\nu_{n;j_1,...,j_n}x^{j_1}...x^{j_n},\n\\end{eqnarray}\nwhich coincides with odd vector field ${\\bf Q}$ was defined in \\rf{Q}. Moreover, for a given action \n\\begin{eqnarray}\nS=v_{i_1i_2}x^{i_1}x^{i_2}+\\sum_{n\\ge3}v_{i_1...i_n}x^{i_1}....x^{i_n},\n\\end{eqnarray}\nwhich is cyclic in $x^i$ and satisfies Master equation, we obtain the cyclic $A_{\\infty}$-algebra (see e.g. \\cite{kajiura},\\cite{zwiebach}).\n\nVarying the action \\rf{hcs} with respect to $X$, one finds the equation of motion which are known as generalized Maurer-Cartan equation:\n\\begin{eqnarray}\nQX+\\sum_{n\\ge2}\\mu_n(X,...,X)=0.\n\\end{eqnarray}\nThis equation is known to have the following symmetry\n\\begin{eqnarray}\nX\\to Q\\alpha+\\sum_{n\\ge2,k}(-1)^{n-k}\\mu_n(X,...,\\alpha,...,X),\n\\end{eqnarray}\nwhere $\\alpha$ is an element of degree 0 and $k$ means the position of $\\alpha$ in $\\mu_n$. \\\\\n\n\\noindent {\\bf A3. Transfer of the $A_{\\infty}$ structure.} Suppose you have two complexes which are quasiisomorphic and moreover homotopically equivalent. Moreover, suppose that on one of them there exists the structure of $A_{\\infty}$-algebra. Then there exists an $A_{\\infty}$-algebra on another complex. The explicit formulas are given in \\cite{markltransf} following the results of \\cite{konts} and \\cite{merk}.  \n\nIn fact, in \\cite{markltransf} there is even a more general statement. \nLet us formulate it in a precise way. Consider two complexes $(\\mathcal{F} ,Q)$ and $(\\mathfrak{K}, Q')$ such that there are maps \n$f:(\\mathcal{F} ,Q)\\to (\\mathfrak{K}, Q')$, $g:(\\mathfrak{K},Q')\\to (\\mathcal{F} ,Q)$ such that $fg$ is chain homotopic to identity. In other words, there exists a map $H: (\\mathfrak{K},Q')\\to (\\mathfrak{K}, Q')$ of degree ${-1}$, such that $fg=id+Q' H+H Q'$. Then, given an $A_{\\infty}$-algebra structure $\\hat{\\mu}_{\\{n\\}}$ on $\\mathfrak{K}$, such that $\\hat{\\mu}_1=Q'$, one can construct an $A_{\\infty}$-algebra on $(\\mathcal{F} ,Q)$ by means \nof the formula \n\\begin{eqnarray}\n\\mu_n=g\\circ p_n \\circ f^{\\otimes^n},\n\\end{eqnarray}\nwhere $p_n$ is obtained by means of consequtive recurrent procedure of applying the homotopy operators to $\\t \\mu_n$. The explicit formula is:\n\\begin{eqnarray}\np_n=\\sum_B(-1)^{\\theta(r_1,...,r_k)}\\hat{\\mu}_k(H\\circ p_{r_1},...,  H\\circ p_{r_k}),\n\\end{eqnarray}\nwhere $B=\\{k, r_1, . . . , r_k | 2 \\le k \\le n, r_1, ... , r_k \\ge 1, r_1 + ... + r_k = n\\}$, $\\theta(r_1,...,r_k)=\\sum_{1\\le\\alpha\\le\\beta\\le_r}r_{\\alpha}(r_{\\beta}+1)$ and $p_2\\equiv \\hat{\\mu}_2$, $p_1\\circ H\\equiv id$. \n\n\n\\section*{Appendix B: Explicit calculations for $A_{\\infty}$ superalgebras of superforms.}\n{\\bf B1.} {\\bf Notations for $N=1$ 4D superspace.} We keep the notations from \\cite{susybook}. \nThe world-volume metric in the 4D space with the coordinates $x^{\\mu}$  is $\\eta_{\\mu\\nu}=\\rm{diag}(-1,+1,+1,+1)$. \nThe $N=1$ four-dimensional space has two anticommutative Weyl spinor coordinates $\\theta^{\\alpha}, \\theta^{\\dot{\\alpha}}$. The spinor indices are raised and lowered by means of $C_{\\alpha\\beta}, C_{\\dot{\\alpha}\\dot{\\beta}}$, such that $C_{21}=-C_{12}=i$. One can define superderivatives: \n\\begin{eqnarray}\nD_{\\alpha}=\\partial_{\\alpha}+\\frac{i}{2}\\theta^{\\dot{\\beta}}\\partial_{\\alpha\\dot{\\beta}}, \\quad \\bar D_{\\dot{\\alpha}}=\\bar \\partial_{\\alpha}+\\frac{i}{2}{\\theta}^{\\beta}\\partial_{\\beta\\dot{\\alpha}},\n\\end{eqnarray}\nwhere $\\partial_{\\alpha\\dot{\\beta}}=\\sigma_{\\alpha\\dot{\\beta}}^{\\mu}\\partial_{\\mu}$. \nTherefore, one can introduce the (anti)chiral scalar superfields, which are defined by the nilpotency of certain antiderivatives $D_{\\dot{\\alpha}}\\Lambda(x,\\theta)=0$ ($D_{\\alpha}\\bar \\Lambda(x,\\theta)=0$)\nThe relations \nbetween superderivatives are:\n\\begin{eqnarray}\n\\{D_{\\alpha},D_{\\dot{\\beta}}\\}=i\\partial_{\\alpha\\dot{\\beta}}, \\quad \n\\{D_{\\alpha},D_{\\dot{\\beta}}\\}=0, \\quad \\{D_{\\dot{\\alpha}},\\bar D_{\\dot{\\beta}}\\}=0.\n\\end{eqnarray}\nFor calculations it is also useful to introduce operators $D^2=C^{\\alpha\\beta}D_{\\alpha}D_{\\beta}$, $\\bar D^2=C^{\\dot{\\alpha}\\dot{\\beta}}D_{\\dot{\\alpha}}D_{\\dot{\\beta}}$.\\\\\n\n\\noindent {\\bf B2.} {\\bf Explicit calculations for the $A_{\\infty}$-algebra of $N=1$ SUSY Yang-Mills theory.}  \nIn this subsection we show by explicit calculation that the bilinear operation we defined on the complex \\rf{fo} is homotopy associative and the differential acts on it as a derivation.\n\nFor simplicity we denote $\\mu_n(\\cdot, ..., \\cdot)$ as $(\\cdot, ..., \\cdot)_h$. \nWe remind that  we defined the graded symmetric bilinear operation $(\\cdot,\\cdot)_h$, i.e. \n$(a_1,a_2)_h=(-1)^{|a_1||a_2|}(a_2,a_1)_h$ on the complex \\rf{sfo} in the following way:\n\\begin{eqnarray}\n&&(\\Lambda_1,\\Lambda_2)_h=\\Lambda_1\\Lambda_2,\\nonumber\\\\\n&&(\\Lambda,V)_h=\\frac{1}{2}\\Lambda V,\\nonumber\\\\\n&&(\\Lambda,W_{\\alpha})_h=\\Lambda W_{\\alpha},\\nonumber\\\\\n&&(\\Lambda,\\tilde W_{\\alpha})_h=\\Lambda\\tilde W_{\\alpha},\\nonumber\\\\\n&&(\\Lambda,\\tilde V)_h=\\frac{1}{2}\\Lambda\\tilde V,\\nonumber\\\\\n&&(\\Lambda,\\tilde\\Lambda)_h=\\Lambda\\tilde\\Lambda,\\nonumber\\\\\n&&(V_1,V_2)_{h,{\\alpha}}=-\\frac{1}{2}\\bar D^2(V_1D_{\\alpha}V_2-D_{\\alpha}V_1V_2),\\nonumber\\\\\n&&(V,W)_h=D_{\\alpha}VW^{\\alpha}+\\frac{1}{2}D^{\\alpha}W_{\\alpha}V,\\nonumber\\\\\n&&(\\tilde W,W)_h=\\tilde W^{\\alpha}W_{\\alpha},\\nonumber\\\\\n&&(\\tilde V, V)=-\\frac{1}{2}{\\bar{D}}^2(\\t VV),\\nonumber\\\\\n&&(W_1,W_2)_h=0,\\quad (V, \\tilde W)_h=0,\n\\end{eqnarray}\nsuch that $\\Lambda_1,\\Lambda_2\\in \\Phi$; $V,V_1,V_2\\in \\Sigma$; $W,W_1,W_2\\in\\Theta$, \n$\\tilde W\\in \\tilde \\Theta$; $\\tilde V\\in \\tilde \\Sigma$; $\\tilde\\Lambda\\in \\tilde\\Xi$. \n\nNow we start checking that this operation satisfies all necessary relations of \nhomotopy associative algebra. The first relation is the Leibniz rule, i.e. \n\\begin{eqnarray}\n{\\mathbb{D}} (a_1,a_2)_h=({\\mathbb{D}} a_1,a_2)_h+(-1)^{|a_1|}(a_1,{\\mathbb{D}} a_2)_h.\n\\end{eqnarray}\nLet us check it step by step:\n\\begin{eqnarray}\n&&{\\mathbb{D}} (\\Lambda,V)_h=\\frac{1}{2}\\bar D^2D_{\\alpha}(\\Lambda V)=\\nonumber\\\\\n&&\\frac{1}{2}\\bar D^2(D_{\\alpha}\\Lambda V-\\Lambda \nD_{\\alpha}V)+\\Lambda{\\bar D}^2 D_{\\alpha}V=\\nonumber\\\\\n&&({\\mathbb{D}}\\Lambda,V)_h+(\\Lambda,{\\mathbb{D}} V)_h,\n\\end{eqnarray}\n\n\\begin{eqnarray}\n&&{\\mathbb{D}} (\\Lambda,W)_h=D^{\\alpha}(\\Lambda W_{\\alpha})+\\Lambda W_{\\alpha}=\\nonumber\\\\\n&& D_{\\alpha}\\Lambda W^{\\alpha}+\\frac{1}{2}\\Lambda D^{\\alpha}W_{\\alpha}+\\Lambda W_{\\alpha}+\n\\frac{1}{2}\\Lambda D^{\\alpha}W_{\\alpha}=\\nonumber\\\\\n&&({\\mathbb{D}}\\Lambda,W)_h+(\\Lambda,{\\mathbb{D}} W)_h,\n\\end{eqnarray}\n\n\\begin{eqnarray}\n{\\mathbb{D}} (V,W)_h=\\bar D^2(D_{\\alpha}VW^{\\alpha}+\\frac{1}{2}VD^{\\alpha}W_{\\alpha})=\\nonumber\\\\\n\\bar D^2 D^{\\alpha}VW_{\\alpha}+\\frac{1}{2}\\bar D^2VD^{\\alpha}W_{\\alpha}=\\nonumber\\\\\n({\\mathbb{D}} V,W)_h-(V,{\\mathbb{D}} W)_h,\n\\end{eqnarray}\n\n\\begin{eqnarray}\n{\\mathbb{D}} (\\Lambda,\\tilde V)_h=\\frac{1}{2}\\bar D^2(\\Lambda \\tilde V)=-\\frac{1}{2}\\Lambda \\bar D^2\\tilde V+\n\\Lambda \\bar D^2\\tilde V=\n({\\mathbb{D}}\\Lambda,\\tilde V)_h+(\\Lambda,{\\mathbb{D}}\\tilde V)_h.\n\\end{eqnarray}\n\nOur next task is to verify that $(\\cdot,\\cdot)_h$ satisfies homotopy associativity relation:\n\\begin{eqnarray}\n&& (a_1,(a_2,a_3)_h)_h-((a_1,a_2)_h,a_3)_h+{\\mathbb{D}} (a_1,a_2,a_3)_h+ ({\\mathbb{D}} a_1,a_2,a_3)_h+\\nonumber\\\\\n&&(-1)^{|a_1|}(a_1,{\\mathbb{D}} a_2,a_3)_h+(-1)^{|a_1|+|a_2|}(a_1,a_2,{\\mathbb{D}} a_3)_h=0,\n\\end{eqnarray}\n\nwhere $(\\cdot,\\cdot,\\cdot)_h$ is the trilinear operation we will derive below.\n\nLet us proceed as above, checking associativity step by step:\n\n\\begin{eqnarray}\n&&(\\Lambda,(V_1,V_2)_h)_h-((\\Lambda,V_1)_h,V_2)_h=\\nonumber\\\\\n&&-\\frac{1}{2}\\bar D^2(\\Lambda V_1D_{\\alpha}V_2-\\Lambda D_{\\alpha}V_1 V_2)+\n\\frac{1}{4}\\bar D^2(\\Lambda V_1D_{\\alpha}V_2-V_1D_{\\alpha}(\\Lambda V_2))=\\nonumber\\\\\n&&-\\frac{1}{4}\\bar D^2(\\Lambda(V_1D_{\\alpha}V_2-\nD_{\\alpha}V_1 V_2)+D_{\\alpha}\\Lambda V_1V_2)=\\nonumber\\\\\n&&-{\\mathbb{D}} (\\Lambda,V_1,V_2)_h-({\\mathbb{D}}\\Lambda,V_1,V_2)_h-(\\Lambda,{\\mathbb{D}} V_1,V_2)_h+(\\Lambda,V_1,{\\mathbb{D}} V_2)_h,\n\\end{eqnarray}\n\n\\begin{eqnarray}\n&&(V_1,(\\Lambda,V_2)_h)_h-((V_1,\\Lambda)_h,V_2)_h=\\nonumber\\\\\n&&-\\frac{1}{4}\\bar D^2 (V_1D_{\\alpha}(\\Lambda V_2)-D_{\\alpha}V\\Lambda V_2)+\\frac{1}{4}\\bar D^2 (V_1\\Lambda D_{\\alpha}V_2-D_{\\alpha}(V_1\\Lambda V_2)=\\nonumber\\\\\n&&-\\frac{1}{2}\\bar D^2(V_1D_{\\alpha}\\Lambda V_2)=\\nonumber\\\\\n&&-{\\mathbb{D}} (V_1,\\Lambda,V_2)_h-({\\mathbb{D}} V_1,\\Lambda,V_2)_h+(V_1,{\\mathbb{D}}\\Lambda,V_2)_h+(V_1,\\Lambda,{\\mathbb{D}} V_2)_h,\n\\end{eqnarray}\n\n\\begin{eqnarray}\n&&(\\Lambda_1,(\\Lambda_2,V)_h)_h-((\\Lambda_1,\\Lambda_2)_h,V)_h=\\frac{1}{4}(\\Lambda_1\\Lambda_2 V)-\\frac{1}{2}(\\Lambda_1\\Lambda_2V)=\\nonumber\\\\\n&&-\\frac{1}{4}\\Lambda_1\\Lambda_2 V=\\nonumber\\\\\n&&-{\\mathbb{D}} (\\Lambda_1,\\Lambda_2,V)_h-({\\mathbb{D}}\\Lambda_1,\\Lambda_2,V)_h-(\\Lambda_1,{\\mathbb{D}}\\Lambda_2,V)_h-(\\Lambda_1,\\Lambda_2,{\\mathbb{D}} V)_h.\n\\end{eqnarray}\nSince we have \n\\begin{eqnarray}\n((\\Lambda_1,V)_h,\\Lambda_2)_h=(\\Lambda_1,(V,\\Lambda_2)_h)_h,\n\\end{eqnarray}\nwe obtain \n\\begin{eqnarray}\n&&(V_1,V_2,V_3)_h=\\frac{1}{6}\\bar D^2(V_1V_2D_{\\alpha}V_3-2V_1(D_{\\alpha}V_2)V_3+(D_{\\alpha}V_1)V_2V_3)\\nonumber\\\\\n&&(\\Lambda,V_1,V_2)_h=(V_1,V_2,\\Lambda)_h=\\frac{1}{12}\\Lambda V_1 V_2\\nonumber\\\\\n&&(V_1,\\Lambda,V_2)_h=\\frac{1}{6}\\Lambda V_1V_2\n\\end{eqnarray}\n\nOne can check that these expressions fit the formulas above.\nThen we need to study the associativity relation involving \n$W$-terms, i.e.\n\\begin{eqnarray}\n&&(\\Lambda, (V,W)_h)_h-((\\Lambda,V)_h,W)_h=\\nonumber\\\\\n&&\\frac{1}{2}\\Lambda D_{\\alpha}VW^{\\alpha}+\\frac{1}{4}D^{\\alpha}W_{\\alpha}V\\Lambda-\\frac{1}{2}\nD_{\\alpha}(\\Lambda V)W^{\\alpha}-\\frac{1}{4}\\Lambda VD^{\\alpha}W_{\\alpha}=\\nonumber\\\\\n&&-\\frac{1}{2}D_{\\alpha}\\Lambda VW^{\\alpha}=\\nonumber\\\\\n&&-{\\mathbb{D}}(\\Lambda,V,W)_h-({\\mathbb{D}}\\Lambda,V,W)_h-(\\Lambda,{\\mathbb{D}} V,W)_h+(\\Lambda,V,{\\mathbb{D}} W)_h,\n\\end{eqnarray}\nwhere $(V_1,V_2, W)_h= \\frac{1}{2}D_{\\alpha}V_1V_2W^{\\alpha}+\\frac{1}{6}V_1V_2D_{\\alpha}W^{\\alpha}$ and $\n(\\Lambda, V, \\t V)=\\frac{1}{6}V_1V_2\\t V$. Another terms involving $W$ are\n\\begin{eqnarray}\n&&(V_1,(V_2,W)_h)_h-((V_1,V_2)_h,W)_h=\\nonumber\\\\\n&&-\\frac{1}{2}\\bar D^2(\\frac{1}{2}V_1(D_{\\alpha}V_2W^{\\alpha}+\\frac{1}{2}D^{\\alpha}W_{\\alpha}V_2)+\\frac{1}{2}\\bar D^2(V_1D_{\\alpha}V_2-D_{\\alpha}V_1V_2)W^{\\alpha})=\\nonumber\\\\\n&&-\\bar D^2(\\frac{1}{2}D_{\\alpha}V_1V_2W^{\\alpha}+\\frac{1}{4}V_1D^{\\alpha}W_{\\alpha}V_2)\\nonumber\\\\\n&&-{\\mathbb{D}} (V_1,V_2,W)_h-({\\mathbb{D}} V_1,V_2,W)_h+(V_1,{\\mathbb{D}} V_2,W)_h-(V_1,V_2,{\\mathbb{D}} W)_h,\n\\end{eqnarray}\n \\begin{eqnarray}\n&&(V_1, (W,V_2)_h)_h-((V_1, W)_h,V_2)_h)=\\frac{1}{2}{\\bar D^2}(V_1(D^{\\alpha}V_2W_{\\alpha}+\\frac{1}{2}D^{\\alpha}W_{\\alpha}V_2)+\\nonumber\\\\\n&&V_2(D^{\\alpha}V_1W_{\\alpha}+\\frac{1}{2}D^{\\alpha}W_{\\alpha}V_1)=\\nonumber\\\\\n&&-{\\mathbb{D}} (V_1,W,V_2)_h-({\\mathbb{D}} V_1,W,V_2)_h+(V_1,{\\mathbb{D}} W,V_2)_h-(V_1,W,{\\mathbb{D}} V_2)_h.\n\\end{eqnarray}\nHere \n\\begin{eqnarray}\n&& (V_1,V_2,W)_h=(W,V_1,V_2)_h\n=\\frac{1}{2}D_{\\alpha}V_1V_2W^{\\alpha}+\\frac{1}{6}V_1V_2D_{\\alpha}W^{\\alpha},\\nonumber\\\\\n&& (V_1,W,V_2)_h=-\\frac{1}{2}(V_1D_{\\alpha}V_2+D_{\\alpha}V_1V_2)W^{\\alpha}-\\frac{1}{3}V_1D^{\\alpha}W_{\\alpha}V_2,\\nonumber\\\\\n&& (V_1,V_2,\\t V)_h=(\\t V, V_1,V_2)=\\frac{1}{12}\\bar D^2(V_1V_2\\t V),\\nonumber\\\\\n&& (V_1,\\t V, V_2)=\\frac{1}{6}\\bar D^2 (V_1\\t V V_2).\n\\end{eqnarray}\n\n\nTherefore from the calculations above one can obtain that algebraically up to the third order these equations look as follows:\n\\begin{eqnarray}\n&&{\\mathbb{D}} U+(U,U)_h+(U,U,U)_h+...=0,\\nonumber\\\\\n&&U\\to U+{\\mathbb{D}}\\Lambda+(U,\\Lambda)_h+\\nonumber\\\\\n&&(U,U,\\Lambda)_h-(U,\\Lambda,U)_h+(\\Lambda,U,U)_h+...,\n\\end{eqnarray}\nwhere $U$ is the element of the grading 1 from the complex \\rf{fo} corresponding to the pair $(V,W)$.\\\\\n\n\\noindent{\\bf B.3. Notations for N=2 3D superspace.} We work with three-dimensional space with coordinates $x^{\\mu}$ and euclidean metric $\\eta_{\\mu\\nu}=\\rm{diag}(+1,+1,+1)$. The Dirac matrices are \n$(\\gamma^{\\mu})^{\\beta}_{\\alpha}=i(\\sigma_1,\\sigma_2,\\sigma_3)$. We can raise and lower the corresponding spinor indices via $C^{\\alpha\\beta}$, i.e. $\\xi^{\\alpha}=C^{\\alpha\\beta}\\xi_{\\beta}$ and $\\xi_{\\alpha}=C_{\\alpha\\beta}\\xi^{\\beta}$, such that $C^{12}=-C_{12}=i$. \n\nThe $N=2$ 3D superspace has two 2-component anticommuting coordinates $\\theta^{\\alpha}_1$ and $\\theta^{\\alpha}_2$. Therefore (this is similar to $N=1$ superspace) one can define complex coordinates $\\theta^{\\alpha}=\\theta^{\\alpha}_1-i\\theta^{\\alpha}_2$ and   $\\bar\\theta^{\\alpha}=\\theta^{\\alpha}_1+i\\theta^{\\alpha}_2$.  This allows to  define  superderivatives (cf. $N=1$ D=4 case):\n\\begin{eqnarray}\nD_{\\alpha}=\\partial_{\\alpha}+\\frac{i}{2}\\bar{\\theta}^{\\beta}\\partial_{\\alpha\\beta}, \\quad \\bar D_{\\alpha}=\\bar \\partial_{\\alpha}+\\frac{i}{2}{\\theta}^{\\beta}\\partial_{\\alpha\\beta}\n\\end{eqnarray}\nwhere $\\partial_{\\alpha\\beta}=\\gamma^{\\mu}_{\\alpha\\beta}\\partial_{\\mu}$. One defines the (anti)chiral scalar fields via the \nfamiliar equation: $\\bar D_{\\alpha}\\Lambda(x,\\theta)=0$, $D_{\\alpha}\\bar \\Lambda(x,\\theta)=0$.    \nFor the calculations we will need the following commutation relations between superderivatives:\n\\begin{eqnarray}\n\\{D_{\\alpha},\\bar D_{\\beta}\\}=i\\gamma^{\\mu}_{\\alpha\\beta}\\partial_{\\mu}=i\\partial_{\\alpha\\beta}, \\quad \n\\{D_{\\alpha},D_{\\beta}\\}=0, \\quad \\{\\bar D_{\\alpha},\\bar D_{\\beta}\\}=0.\n\\end{eqnarray}\nAs well as in $N=1$ D=4 case, it is useful to introduce operators $D^2=C^{\\alpha\\beta}D_{\\alpha}D_{\\beta}$, $\\bar D^2=C^{\\alpha\\beta}\\bar D_{\\alpha}\\bar D_{\\beta}$.\\\\\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nLattice QCD predicted that at sufficiently high temperatures\nand\/or densities the quarks and gluons confined inside\nhadrons get deconfined into a medium of quarks and gluons coined\nas quark-gluon Plasma. In the last few decades a large number\nof experiment has been involved in identifying this new state \nof matter in ultrarelativistic heavy-ion collisions (URHICs) at\nRHIC and LHC.  However, for the noncentral events in URHICs, \na strong \nmagnetic field is generated at the very early \nstages of the collisions due to very high relative velocities \nof the spectator quarks with respect to the fireball. \nDepending on the centralities of the collisions, the \nstrength of the magnetic fields may vary from $m_{\\pi}^2$ \n($\\sim 10^{18}$ Gauss) at RHIC to 10 $m_{\\pi}^2$ at \nLHC~\\cite{Skokov:IJMPA24'2009,Voronyuk:PRC83'2011}. \nMotivated by this, in the recent past many \ntheoretical works have started emerging to explore \nthe effects of this strong magnetic field on the various  \nQCD phenomena~\\cite{Fukushima:PRD78'2008,\nBraguta:PRD89'2014,Kharzeev:PRL106'2011,Gusynin:PRL73'1994}.\nEarlier the nascent strong magnetic field was thought to decay \nvery fast with time, resulting the magnetic field of weaker \nstrength. However, it was \nlater found that the realistic \nestimates of electrical conductivity of the medium \nmay elongate the life-time of the magnetic field\n~\\cite{Tuchin:AHEP2013'2013,Mclerran:NPA929'2014,\nRath:PRD100'2019}. It thus becomes imperative to investigate\nthe effects of both strong and weak magnetic field on the \nsignature of the novel matter produced in URHICs.\n\nThe heavy quarkonia is one of the \nprobe to study the properties of nuclear matter under\nextreme condition of temperature and magnetic field, because \nthe heavy quark pairs are formed in URHICs on a very short time-scale \n$\\sim 1\/2m_Q$ (where $m_Q$ is the mass of \nthe charm or bottom quark), which is similar to the \ntime-scale at which the magnetic field is generated. \nTherefore the study of the effects of magnetic field on the\nproperties of heavy quarkonia is worth of investigation.\nWe have recently studied the properties of quarkonia \nin strong magnetic field. However, as we know the quarkonia, \nthe physical resonances of $Q \\bar Q$ states, are formed in the \nplasma frame at a time, $t_F$ (=$\\gamma \\tau_F$), \nwhich is order of $1-2fm$ depending on the resonances and \ntheir momenta. By the time elapsed, the magnetic field may \nbecome weak, so in our present study, we aim to understand \ntheoretically the properties of heavy quarkonia and their \ndissociation in the presence of weak magnetic field\n($T^2>|q_fB|$, $T^2>m_f^2$, where $|q_f|$ ($m_f$) is the \nabsolute electric charge (mass) of \nthe $f$-th quark flavour). As we \nknow that, in order to study the dissociation of quarkonia \nthe perturbative computation of heavy quarkonium potential \nis needed. \n\nOur understanding of heavy quarkonium has taken a major step forward in computing effective field theories (EFT) from the underlying theory - QCD, such as non-relativistic QCD (NRQCD)\\cite{Bodwin:PRD51'1995} and potential NRQCD~\\cite{Brambilla:NPB566'2000}, which\nare synthesized successively by separating the intrinsic scales of heavy quark bound states (e.g. mass, velocity, binding energy) as well as the thermal medium-related scales (e.g. $T$, $gT$, $g^2 T$) in the weak-coupling system, in overall comparison with $\\Lambda_{QCD}$. However, in the relativistic collisions that are created at URHICs, the separation of scales in an EFT is not always apparent, meaning it is often difficult to construct a potential model. An alternative approach is a  first-principle lattice QCD simulation in which one studies spectral functions derived from Euclidean meson \ncorrelation~\\cite{Alberico:PRD77'2008}. The construction of spectral functions, however, is problematic\nbecause the temporal range at large temperatures decreases.\nFor this reason studies of quarkonia using finite temperature potential models are useful as a complement to lattice studies.\nThe perturbative computations of the potential at \nhigh temperatures show that the potential of \n$Q \\bar Q$ is complex~\\cite{Laine:JHEP03'2007 }, \nwhere the real part is screened due to the existence \nof deconfined color charges~\\cite{Matsui:PLB178'1986 } \nand the imaginary part ~\\cite{Beraudo:NPA806'2008 } \nassigns the thermal width to the resonance. Therefore \nthe physics of quarkonium dissociation in a medium \nhas been refined in the last two decades, where the \nresonances were initially thought to be dissociated \nwhen the screening is strong enough, {\\em i.e.} the \nreal-part of the potential is too weak to keep \nthe $Q\\bar Q$ pair together. Nowadays, the dissociation \nis thought to be  primarily because of the widening of \nthe resonance width arising either from the \ninelastic parton scattering mechanism mediated \nby the spacelike gluons, known as \nLandau damping~\\cite{Laine:JHEP03'2007 } or \nfrom the gluo-dissociation process during which\ncolor singlet state undergoes into a color octet \nstate by a hard thermal gluon\n~\\cite{Brambilla:JHEP1305'2013}. The latter processes \ntake precedence when the medium temperature\nis lower than the binding energy of the particular \nresonance. This dissociates the quarkonium even at \nlower temperatures where the probability of color \nscreening is negligible.\nRecently one of us estimated the imaginary-part of the potential \nperturbatively, where the inclusion of a \nconfining string term makes the (magnitude) imaginary component \nsmaller~\\cite{Lata:PRD89'2014,Lata:PRD88'2013}, compared to\nthe medium modification of the perturbative term alone\n\\cite{Adiran:PRD79'2009}. Gauge-gravity duality also indicates \nthat in strong coupling limit the potential also develops an \nimaginary component beyond a critical separation of \n$Q \\bar Q$ pair~\\cite{Binoy:PRD92'2015,Binoy:PRD91'2015}.\nMoreover lattice studies have also shown that the potential \nmay have a sizable imaginary part~\\cite{Rothkopf:PRL'2012}.\nThere are, however, other processes which may cause the \ndepopulation of the resonance states either through the \ntransition from ground state to the excited states during \nthe non adiabatic evolution of quarkonia~\\cite{Bagchi:MPLA30'2015} \nor through the swelling or shrinking of states due to the Brownian \nmotion of $Q \\bar Q$ states in the parton \nplasma~\\cite{Binoy:NPA708'2002}. Very recently the change in the \nproperties of heavy quarkonia immersed in a weakly-coupled\nthermal QCD medium has been described by HTL permittivity\n~\\cite{Lafferty:arxiv:1906.00035}. They used the generalized \nGauss law in conjunction to linear response theory to obtain \nthe real and imaginary parts of the heavy quark potential, \nwhere a logarithmic divergence in imaginary part is found \ndue to string contribution at large $r$.\nThey have circumvented by regularizing weak infrared\ndiverging ($1\/p$) term in the resummed gluon propagator \nby choosing the regulation scale in terms of Debye mass.\nThere is another recent work~\\cite{Guo:PRD100'2019}, where \na nonperturbative term induced by the dimension two gluon \ncondensate besides the usual HTL resummed contribution is \nincluded in the resummed gluon propagator to obtain \nthe string contribution in the potential, in \naddition to the Karsch Mehr Satz (KMS) potential~\\cite{KMS}.\n\nThe abovementioned studies are \nattributed for a thermal medium in the absence of a \nmagnetic field. However, as mentioned earlier that \na magnetic field is also \ngenerated in the heavy ion collisions, thus the influence of \na homogeneous and constant external magnetic field \non the heavy meson spectroscopy has been investigated \nquantum mechanically subjected to a three-dimensional harmonic \npotential and Cornell potential plus spin-spin \ninteraction term~\\cite{Alford:PRD88'2013,Bonati:PRD92'2015}.\nFurther, the effect of a constant uniform magnetic field \non the static quarkonium potential at zero and finite \ntemperature~\\cite{Bonati:PRD94'2016} and on the screening \nmasses~\\cite{Bonati:PRD95'2017} have been investigated. \nThe momentum diffusion coefficients of heavy quarks \nin a strong magnetic field along the directions parallel \nand perpendicular to the magnetic field at the leading order \nin QCD coupling constant has been \nstudied~\\cite{Fukushima:PRD93'2016}. Recently \nwe have explored the effects of strong magnetic \nfield on the properties of the heavy-quarkonium in \nfinite temperature by computing the real part of \nthe $Q \\bar Q$ potential~\\cite{Mujeeb:EPJC77'2017} \nin the framework of perturbative thermal QCD and \nstudied the dissociation of heavy quarkonia due to \nthe color screening. Successively, we made an attempt \nto study the dissociation of heavy quarkonia \ndue to Landau damping in presence\nof strong magnetic field by calculating the real\nand imaginary parts of the heavy quark potential in\npresence of strong magnetic field~\\cite{Mujeeb:NPA995'2020}.  \nThe complex heavy quark potential in presence of strong \nmagnetic field has also been obtained in~\\cite{Balbeer:PRD97'2018}. Very recently we have \nalso investigated the strong magnetic field-induced \nanisotropic interaction in heavy quark bound \nstates~\\cite{Salman:2004.08868}. The effects \nof strong magnetic field on the wakes in the induced charge density and in \nthe potential due to the passage of highly energetic \npartons through a thermal QCD medium has also been investigated~\\cite{Mujeeb:1901.03497}. \nRecently, the dispersion \nspectra of a gluon in hot QCD medium \nin presence of strong as well as weak magnetic field limit \nis studied~\\cite{karmakar:EPJC79'2019}. The effect of the \nstrong magnetic field on the collisional energy loss of heavy quark moving in a magnetized thermal partonic medium has \nbeen studied~\\cite{Balbeer:arxiv2002.04922}. Also the anisotropic momentum diffusion and the drag coefficients of heavy quarks have been computed in a strongly magnetized quark-gluon plasma beyond the static limit within the framework of Langevindynamics~\\cite{Balbeer:arxiv2004.11092}.\n\nIn the present study, we aim to obtain the complex heavy quark \nanti-quark potential in an environment of temperature and weak \nmagnetic field. For that purpose, we first start with the\nevaluation of gluon self energy in the similar environment\nusing the imaginary-time formalism.\nAs the quark-loop is only affected with the magnetic field \nthus, the quark-loop in the said environment \nis now dictated by both the scales namely the \nmagnetic field as well as  the \ntemperature, whereas for the gluon-loop, the temperature \nis the only available scale in the medium as the \ngluon-loop is not affected with the magnetic field. \nFurthermore, we have revisited the general structure of \ngluon self energy tensor in presence of weak magnetic field in \nthermal medium and obtained the relevant structure functions. \nHence the real and imaginary parts of the resummed gluon \npropagator have been obtained, which give the real and imaginary \nparts of the dielectric permittivity. The real and imaginary \nparts of the dielectric permittivity will inturn give the real \nand imaginary parts of the complex heavy quark potential. \nThe real part of the potential is \nused in the Schr\\\"{o}dinger equation to obtain the \nbinding energy of heavy quarkonia whereas the imaginary \npart is used to calculate the thermal width. Finally, \nwe have obtained the dissociation temperatures \nof heavy quarkonia and studied how the dissociation\ntemperatures get affected in presence of magnetic field. \n\nThus, our work proceeds as follows. In section 2, we will\ncalculate the gluon self energy in a weak magnetic field \nwherein, we will discuss the general structure of gluon \nself energy and resummed gluon propagator at finite \ntemperature in presence of weak magnetic field and will\ncalculate the relevant form factors in subsection 2.1 \nand subsection 2.2, respectively. Thus, the real and \nimaginary parts of the resummed gluon propagator will \ngive the real and imaginary parts of the dielectric \npermittivity in subsection 3.1, which gives the \nreal and imaginary parts of complex heavy quark potential \nin subsection 3.2. We will use the real and imaginary \nparts of the potential to obtain the binding energy and \nthermal width in subsection 4.1 and 4.2, respectively, \nwhich will then give the dissociation temperatures \nof heavy quarkonia in subsection 4.3. Finally,\nwe will conclude our findings in section 5.    \n\n\n\\section{Gluon self energy in a weak magnetic field}\nIn this section we will evaluate the gluon self energy in \na weak magnetic field. As we know that for the evaluation\nof gluon self energy, we need to evaluate both the quark\nloop and gluon loop contributions in presence of \nweak magnetic field. Because of weak magnetic field,\nonly the quark loop will get affected whereas the gluon \nloop remain as such. Now, we will first start with the \nquark-loop contribution to gluon self energy\n\\begin{eqnarray}\ni\\Pi^{\\mu\\nu}_{ab}(Q)&=&-\\int\\frac{d^4K}{(2\\pi)^4}Tr\n\\left[ i g t_b \\gamma^\\nu i S(K) i g t_a \\gamma^\\mu i S(P)\n\\right],\n\\nonumber\\\\\n&=&\\sum_f\\frac{g^2\\delta_{ab}}{2}\\int\\frac{d^4K}{(2\\pi)^4}Tr\n\\left[ \\gamma^\\nu i S(K) \\gamma^\\mu i S(P)\\right],\n\\label{self_energy}\n\\end{eqnarray}\nwhere $P=(K-Q)$ and $Tr(t_a t_b)=\\frac{\\delta_{ab}}{2}$. \nThe $S(k)$ is the quark propagator in a weak magnetic field\nwhich can be written upto order of $O(q_fB)^2$ as\n\\cite{ayala:1805.07344} \n\\begin{eqnarray}\niS(K)=i\\frac{(\\slashed{K}+m_f)}{K^2-m^2_f}-q_fB\n\\frac{\\gamma_1\\gamma_2(\\slashed{K}_\\parallel+m_f)}{(K^2-m_f^2)^2}\n-2i(q_f B)^2\\frac{[K_\\perp^2(\\slashed{K}_\\parallel+m_f)\n+\\slashed{K}_\\perp(m_f^2-K_\\parallel^2)]}\n{(K^2-m_f^2)^4},\n\\label{weak_propagator}\n\\end{eqnarray}\nwhere $m_f$ and $q_f$ are the mass and charge of the \n$f^{th}$ flavor quark. According to the following \nchoice of metric tensors,\n\\begin{eqnarray*}\ng^{\\mu\\nu}_\\parallel&=& {\\rm diag} (1,0,0-1),\\\\\n~g^{\\mu\\nu}_\\perp&=&{\\rm diag} (0,-1,-1,0),\n\\end{eqnarray*}\nthe four-momentum suitable in a magnetic field \ndirected along the $z$ axis, \n$n^\\mu =(0,0,0,-1)$, is given by\n\\begin{eqnarray}\nK^{\\mu}_\\parallel&=&(k_0,0,0,k_z),\\label{momentum_parallel}\\\\\nK^{\\mu}_\\perp&=&(0,k_x,k_y,0),\\label{momentum_perpendicular}\\\\\nK_{\\parallel}^2&=&k_{0}^2-k_{z}^2,\\\\ \nK_{\\perp}^2&=&k_{x}^2+k_{y}^2.\n\\end{eqnarray}\nThe above Eq.\\eqref{weak_propagator} can be recast in the \nfollowing form \n\\begin{eqnarray}\niS(K)=S_0(K)+S_1(K)+S_2(K), \n\\label{weak_propagator1}\n\\end{eqnarray}\nwhere \n$S_0(K)$ is the contribution of the order $O[(q_fB)^0]$,\n$S_1(K)$ is the contribution of the order $O[(q_fB)^1]$\nand $S_2(K)$ is the contribution of the order $O[(q_fB)^2]$.\nUsing Eq.\\eqref{weak_propagator1}, the Eq.\\eqref{self_energy} \ncan be written as\n\\begin{eqnarray}\n\\Pi^{\\mu\\nu}(Q)=-\\sum_f\\frac{ig^2}{2}\\int\\frac{d^4K}\n{(2\\pi)^4}Tr\\left[\\gamma^\\nu \\lbrace S_0(K)+S_1(K)+S_2(K)\n\\rbrace \\gamma^\\mu \\lbrace S_0(P)+S_1(P)+S_2(P)\\rbrace \n\\right].\n\\label{self_energy1}\n\\end{eqnarray}\nAfter simplifying, the above gluon self energy given by \nEq.\\eqref{self_energy1} can be expressed as follows\n\\begin{eqnarray}\n\\Pi^{\\mu\\nu}(Q)=\\Pi^{\\mu\\nu}_{(0,0)}(Q)+\\Pi^{\\mu\\nu}_{(1,1)}(Q)\n+2\\Pi^{\\mu\\nu}_{(2,0)}(Q)+O[(q_fB)^3],\n\\label{self_energy2}\n\\end{eqnarray}\nwhere \n\\begin{eqnarray}\n\\Pi^{\\mu\\nu}_{(0,0)}(Q)&=&-\\sum_f\\frac{ig^2}{2}\\int\\frac{d^4K}\n{(2\\pi)^4}Tr[\\gamma^\\nu S_0(K)\\gamma^\\mu S_0(P)],\\label{pi_00}\\\\\n\\Pi^{\\mu\\nu}_{(1,1)}(Q)&=&-\\sum_f\\frac{ig^2}{2}\\int\\frac{d^4K}\n{(2\\pi)^4}Tr\\lbrace \\gamma^\\nu S_1(K) \\gamma^\\mu S_1(P)\n\\rbrace,\\label{pi_11}\\\\\n\\Pi^{\\mu\\nu}_{(2,0)}(Q)&=&-\\sum_f\\frac{ig^2}{2}\\int\\frac{d^4K}\n{(2\\pi)^4}Tr\\left[\\gamma^\\nu S_2(K) \\gamma^\\mu S_0(P)\\right].\n\\label{pi_20}\n\\end{eqnarray}\nThe term $\\Pi^{\\mu\\nu}_{(0,0)}$ is of the order $O[(q_fB)^0]$, where \n$\\Pi^{\\mu\\nu}_{(1,1)}$ and $\\Pi^{\\mu\\nu}_{(2,0)}$ both are of the order \n$O[(q_fB)^2]$. The term which is of the order $O[(q_fB)^1]$ \nvanishes. Substituting the values of $S_0$, $S_1$ and $S_2$ \nin Eq.\\eqref{pi_00}, \nEq.\\eqref{pi_11} and Eq.\\eqref{pi_20} by comparing Eq.\\eqref{weak_propagator} \nwith Eq.\\eqref{weak_propagator1},  we get \n\n\\begin{eqnarray}\n\\Pi^{\\mu\\nu}_{(0,0)}(Q)&=&\\sum_f\\frac{ig^2}{2}\\int\\frac{d^4K}{(2\\pi)^4}\n\\frac{Tr[\\gamma^\\nu(\\slashed{K}+m_f)\\gamma^\\mu(\\slashed{P}+m_f)]}\n{(K^2-m^2_f)(P^2-m_f^2)},\\nonumber\\\\\n&=&\\sum_f i2g^2\\int\\frac{d^4K}{(2\\pi)^4}\\frac{\\left[P^\\mu K^\\nu+\nK^\\mu P^\\nu-g^{\\mu\\nu}(K\\cdot P-m_f^2)\\right]}\n{(K^2-m^2_f)(P^2-m_f^2)},\\\\\n\\Pi^{\\mu\\nu}_{(1,1)}(Q)&=&-\\sum_f\\frac{ig^2(q_fB)^2}{2}\\int\\frac{d^4K}\n{(2\\pi)^4}\\frac{Tr[\\gamma^\\nu\\gamma_1\\gamma_2\n(\\slashed{K}_\\parallel+m_f)\\gamma^\\mu\\gamma_1\\gamma_2\n(\\slashed{P}_\\parallel+m_f)]}\n{(K^2-m^2_f)^2(P^2-m_f^2)^2},\\nonumber\\\\\n&=&\\sum_f 2ig^2(q_fB)^2\\int\\frac{d^4K}{(2\\pi)^4}\n\\frac{\\left[P_\\parallel^\\mu K_\\parallel^\\nu +K_\\parallel^\\mu \nP_\\parallel^\\nu +(g_\\parallel^{\\mu\\nu}-g_\\perp^{\\mu\\nu})\n(m_f^2-K_\\parallel\\cdot P_\\parallel)\\right]}\n{(K^2-m^2_f)^2(P^2-m_f^2)^2},\\\\\n\\Pi^{\\mu\\nu}_{(2,0)}(Q)&=&-\\sum_f\\frac{2ig^2(q_fB)^2}{2}\\int\\frac{d^4K}{(2\\pi)^4}\n\\frac{Tr\\left[\\gamma^\\nu\\lbrace K_\\perp^2\n(\\slashed{K}_\\parallel+m_f)+\\slashed{K}_\\perp\n(m_f^2-K_{\\parallel}^2)\\rbrace\\gamma^\\mu(\\slashed{P}+m_f)\\right]}\n{(K^2-m_f^2)^4(P^2-m_f^2)},\n\\nonumber\\\\\n&=&-\\sum_f 4ig^2(q_fB)^2\\int\\frac{d^4K}{(2\\pi)^4}\n\\left[\\frac{M^{\\mu\\nu}}{(K^2-m_f^2)^4(P^2-m_f^2)}\\right],\n\\end{eqnarray}\nwhere\n\\begin{eqnarray}\nM^{\\mu\\nu}&=&K_\\perp^2\\left[P^\\mu K_\\parallel^\\nu+\nK_\\parallel^\\mu P^\\nu-g^{\\mu\\nu}(K_\\parallel\\cdot P-m_f^2)\\right]\n+(m_f^2-K_\\parallel^2)\\left[P^\\mu K_\\perp^\\nu +K_\\perp^\\mu \nP^\\nu-g^{\\mu\\nu}(K_\\perp\\cdot P)\\right].~~~\n\\end{eqnarray}\nHere the strong coupling $g$ runs with the magnetic field and \ntemperature both, which is recently obtained in~\\cite{ayala:PRD98'2018}\n\\begin{eqnarray}\n\\alpha_s(\\Lambda^2,eB)=\\frac{g^2}{4\\pi}=\\frac{\\alpha_s(\\Lambda^2)}{1+\nb_1\\alpha_s(\\Lambda^2)\\ln\\left(\\frac{\\Lambda^2}\n{\\Lambda^2+eB}\\right)},\n\\end{eqnarray}\nwith \n\\begin{eqnarray}\n\\alpha_s(\\Lambda^2)=\\frac{1}{\nb_1\\ln\\left(\\frac{\\Lambda^2}\n{\\Lambda_{\\overline{MS}}^2}\\right)},\n\\end{eqnarray}\nwhere $\\Lambda$ is set at $2\\pi T$, $b_1=\\frac{11N_c-2N_f}{12\\pi}$ and\n$\\Lambda_{\\overline{MS}}=0.176GeV$.\n\nBefore evaluating further, we will first discuss the structure\nof gluon self energy in thermal medium in presence of weak\nmagnetic field in the next subsection.\n \n\\subsection{Structure of gluon self energy and resummed gluon propagator \nfor thermal medium in the presence of weak magnetic field}\nIn this subsection, we will briefly discuss the general structure \nof gluon self energy tensor and resummed gluon propagator for thermal medium \nin the presence of weak\nmagnetic field. The general structure of gluon self energy in a \nthermal medium defined by the heat bath in local rest frame, \n$u^\\mu=(1,0,0,0)$ and in the presence of magnetic field directed \nalong the $z$-direction, $n_\\mu=(0,0,0,-1)$ is recently obtained \nas follows~\\cite{karmakar:EPJC79'2019} \n\\begin{eqnarray}\n\\Pi^{\\mu\\nu}(Q)=b(Q)B^{\\mu\\nu}(Q)+c(Q)R^{\\mu\\nu}(Q)+d(Q)M^{\\mu\\nu}(Q)\n+a(Q)N^{\\mu\\nu}(Q),\n\\label{self_decomposition}\n\\end{eqnarray}\nwhere \n\\begin{eqnarray}\nB^{\\mu\\nu}(Q)&=&\\frac{{\\bar{u}}^\\mu{\\bar{u}}^\\nu}{{\\bar{u}}^2},\\\\\nR^{\\mu\\nu}(Q)&=&g_{\\perp}^{\\mu\\nu}-\\frac{Q_{\\perp}^{\\mu}Q_{\\perp}^{\\nu}}\n{Q_{\\perp}^2},\\\\\nM^{\\mu\\nu}(Q)&=&\\frac{{\\bar{n}}^\\mu{\\bar{n}}^\\nu}{{\\bar{n}}^2},\\\\\nN^{\\mu\\nu}(Q)&=&\\frac{{\\bar{u}}^\\mu{\\bar{n}}^\\nu+{\\bar{u}}^\\nu{\\bar{n}}^\\mu}\n{\\sqrt{{\\bar{u}}^2}\\sqrt{{\\bar{n}}^2}},\n\\end{eqnarray}\nthe four vectors ${\\bar{u}}^\\mu$ and ${\\bar{n}}^\\mu$ used in the \nconstruction of above tensors are defined as follows\n\\begin{eqnarray}\n\\bar{u}^\\mu &=&\\left(g^{\\mu\\nu}-\\frac{Q^\\mu Q^\\nu}{Q^2}\\right)u_\\nu,\\\\\n\\bar{n}^\\mu &=&\\left(\\tilde{g}^{\\mu\\nu}-\\frac{\\tilde{Q}^\\mu\\tilde{Q}^\\nu}\n{\\tilde{Q}^2}\\right)n_\\nu,\n\\end{eqnarray}\nwhere ${\\tilde{g}}^{\\mu\\nu}=g^{\\mu\\nu}-u^\\mu u^\\nu$ and \n$\\tilde{Q}^\\mu=Q^\\mu-(Q.u)u^\\mu$. Using the properties of \nprojection tensors, the form factors appear in \n\\eqref{self_decomposition} can be obtained as\n\\begin{eqnarray}\nb(Q)&=&B^{\\mu\\nu}(Q)\\Pi_{\\mu\\nu}(Q),\n\\label{form_b}\\\\\nc(Q)&=&R^{\\mu\\nu}(Q)\\Pi_{\\mu\\nu}(Q),\n\\label{form_c}\\\\\nd(Q)&=&M^{\\mu\\nu}(Q)\\Pi_{\\mu\\nu}(Q),\n\\label{form_d}\\\\\na(Q)&=&\\frac{1}{2}N^{\\mu\\nu}(Q)\\Pi_{\\mu\\nu}(Q)\n\\label{form_a}.\n\\end{eqnarray}\nNow we can obtained the resummed gluon propagator in thermal medium\nin presence of weak magnetic field. The general form of the resummed \ngluon propagator in Landau gauge can be written \nas~\\cite{karmakar:EPJC79'2019} \n\\begin{eqnarray}\nD^{\\mu\\nu}(Q)=\\frac{(Q^2-d)B^{\\mu\\nu}}{(Q^2-b)(Q^2-d)-a^2}\n+\\frac{R^{\\mu\\nu}}{Q^2-c}+\\frac{(Q^2-b)M^{\\mu\\nu}}{(Q^2-b)(Q^2-d)-a^2}\n+\\frac{aN^{\\mu\\nu}}{(Q^2-b)(Q^2-d)-a^2}.\n\\end{eqnarray}\nThe point to be noted here is that, we required only the ``00''-component \nof resummed gluon propagator for deriving the heavy quark potential. \nHence the ``00''-component of the propagator can be obtained as \n\\begin{eqnarray}\nD^{00}(Q)=\\frac{(Q^2-d)\\bar{u}^2}{(Q^2-b)(Q^2-d)-a^2},\n\\label{propagator_00}\n\\end{eqnarray}\nwhere $R^{00}=M^{00}=N^{00}=0$. Now we will obtained the form factors\nappear in the above propagator \\eqref{propagator_00}. We will first\nstart with the form factor $a$, which can be obtained using Eq.\\eqref{form_a}\nwith Eq.\\eqref{self_energy2} as \n\\begin{eqnarray}\na(Q)=a_0(Q)+a_2(Q),\n\\end{eqnarray}\nwhere $a_0$ is of the order of $O(q_fB)^0$ and \n$a_2$ is of the order of $O(q_fB)^2$. An important point to be\nnoted here is that the zero magnetic field contribution of form \nfactor $a$ vanishes, that is $a_0=0$, whereas $a_2$ gives the \ncontribution of order $O(q_fB)^2$. However the contribution \nof form factor $a$ in the denominator of the \npropagator \\eqref{propagator_00} appear as $a^2$, which becomes \nof the order of $O(q_fB)^4$. Since in the current theoretical \ncalculation we are considering contribution upto $O(q_fB)^2$, \nso we can neglect the contribution appear from the form factor \n$a$. Thus, the ``00''-component of resummed gluon \npropagator upto $O(q_fB)^2$ can be written as\n\\begin{eqnarray}\nD^{00}(Q)=\\frac{\\bar{u}^2}{(Q^2-b)},\n\\label{propagator_final}\n\\end{eqnarray}\nso we end up with only one form factor $b$, which we will \nevaluate in the next subsection.\n    \n\\subsection{Real and imaginary parts of the form factor $b(Q)$}\nIn this subsection, we will calculate the real and imaginary\nparts of the form factor \n$b$. Using Eq.\\eqref{form_b}, the form factor $b$ \ncan be evaluated as follows \n\\begin{eqnarray}\nb(Q)&=&B_{\\mu\\nu}(Q)\\Pi^{\\mu\\nu}(Q),\\nonumber\\\\\nb(Q)&=&\\frac{{\\bar{u}}_\\mu{\\bar{u}}_\\nu}{{\\bar{u}}^2}\\Pi^{\\mu\\nu}(Q),\\nonumber\\\\\n&=&\\left[\\frac{u_\\mu u_\\nu}{{\\bar{u}}^2}-\\frac{(Q.u)u_\\nu Q_\\mu}{\\bar{u}^2Q^2}-\\frac{(Q.u)u_\\mu Q_\\nu}{\\bar{u}^2Q^2}+\\frac{(Q.u)^2Q_\\nu Q_\\mu}{\\bar{u}^2Q^4}\\right]\\Pi^{\\mu\\nu}(Q),\\nonumber\\\\\n&=&\\frac{u_\\mu u_\\nu}{{\\bar{u}}^2}\\Pi^{\\mu\\nu}(Q),\n\\label{correct_form}\n\\end{eqnarray}\nwhere we have used transversality condition $Q_\\mu\\Pi^{\\mu\\nu}(Q)=Q_\\nu\\Pi^{\\mu\\nu}(Q)=0$, to arrive at Eq.\n\\eqref{correct_form}. Thus using Eq.\\eqref{self_energy2}, the form factor b can be \nwritten upto $O[(q_fB)^2]$  as\n\\begin{eqnarray}\nb(Q)=b_0(Q)+b_2(Q),\n\\label{formfactor_b}\n\\end{eqnarray}\nwhere the form factors $b_0$ and $b_2$ are defined as follows\n\\begin{eqnarray}\nb_0(Q)&=&\\frac{u_\\mu u_\\nu}{\\bar{u}^2}\\Pi^{\\mu\\nu}_{(0,0)}(Q),\n\\label{formfactor_b0}\\\\\nb_2(Q)&=&\\frac{u_\\mu u_\\nu}{\\bar{u}^2}[\\Pi^{\\mu\\nu}_{(1,1)}(Q)+\n2\\Pi^{\\mu\\nu}_{(2,0)}(Q)].\n\\label{formfactor_b2}\n\\end{eqnarray}\n\\textbf{\\underline{Form factor $b_0(Q)$ (order of $O[(q_fB)^0]$)}}:\\\\\n\\\\\nHere we will solve the form factor $b_0$. Using \nEq.\\eqref{formfactor_b0}, the form factor can be\nwritten as\n\\begin{eqnarray}\nb_0(Q)&=&\\frac{u_\\mu u_\\nu}{\\bar{u}^2}\\Pi^{\\mu\\nu}_{(0,0)}(Q),\n\\nonumber\\\\\n&=&\\sum_f \\frac{i2g^2}{\\bar{u}^2}\\int\\frac{d^4K}{(2\\pi)^4}\\frac\n{\\left[2k_0^2-K^2+m_f^2\\right]}\n{(K^2-m^2_f)(P^2-m_f^2)}.\n\\end{eqnarray}\nNow we will solve the form factor $b_0$ using the imaginary-time \nformalism, the detailed calculation for which has been shown \nin appendix~\\ref{b_0}. \nThus, the real and imaginary parts of the \nform factor $b_0$ in the static limit \nare given as follows\n\\begin{eqnarray}\n{\\rm Re}~b_0(q_0=0)&=&g^2T^2\\frac{N_f}{6},\\\\\n\\left[\\frac{{\\rm Im}~b_0(q_0,q)}{q_0}\\right]_\n{q_0=0}&=&\\frac{g^2T^2N_f}{6}\\frac{\\pi}{2q}.\n\\end{eqnarray} \nNow we will evaluate the gluonic contribution. The \ntemporal component of gluon self energy due to the \ngluon-loop contribution can be calculated as\n~\\cite{Weldon:PRD26'1982,Pisarski:PRL63'1989},\n\\begin{eqnarray}\n\\Pi^{00}(q_0,q)=-g^2 T^2 \\frac{N_c}{3}\\left(\\frac{q_0}\n{2q}\\ln\\frac\n{q_0+q+i\\epsilon}{q_0-q+i\\epsilon}-1\\right)~,\n\\end{eqnarray}\nwhich gives the real and imaginary parts of form \nfactor $b_0$ due to the gluonic contribution in the\nstatic limit\n\\begin{eqnarray}\n{\\rm Re}~b_0(q_0=0)&=&g^2T^2\\left(\\frac{N_c}{3}\\right),\\\\\n\\left[\\frac{{\\rm Im}~b_0(q_0,q)}{q_0}\\right]_{q_0=0}\n&=&g^2T^2\\left(\\frac{N_c}{3}\\right)\\frac{\\pi}{2q}.\n\\label{img_b0}\n\\end{eqnarray}\nNow we add the quark and gluon-loop contributions together to\nobtain the real and imaginary parts of form factor $b_0$ in the \nstatic limit as follows \n\\begin{eqnarray}\n{\\rm Re}~b_0(q_0=0)&=&g^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right),\n\\label{real_b0}\\\\\n\\left[\\frac{{\\rm Im}~b_0(q_0,q)}{q_0}\\right]_{q_0=0}\n&=&g^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right)\\frac{\\pi}{2q}.\n\\label{img_b0}\n\\end{eqnarray}\nThus we can see that the form factor $b_0$ is independent of the\nmagnetic field as it is $O[(q_fB)^0]$ and depends only\non the temperature of the medium. This form factor $b_0$  \ncoincides with the HTL form factor $\\Pi_L$ in absence of \nthe magnetic field~\\cite{Weldon:PRD26'1982,Pisarski:PRL63'1989}.\n\n\\textbf{\\underline{Form factor $b_2(Q)$ (order of $O[(q_fB)^2]$)}}:\\\\\n\\\\\nHere we will discuss the form factor $b_2$, which is of the \norder of $O[(q_fB)^2]$. Using Eq.\\eqref{formfactor_b2}, the \nform factor is given by \n\\begin{eqnarray}\nb_2(Q)&=&\\frac{u_\\mu u_\\nu}{\\bar{u}^2}[\\Pi^{\\mu\\nu}_{(1,1)}(Q)+\n2\\Pi^{\\mu\\nu}_{(2,0)}(Q)],\n\\nonumber\\\\\n&=&\\sum_f \\frac{i2g^2(q_fB)^2}{\\bar{u}^2}\\left[\\int\\frac{d^4K}{(2\\pi)\n^4}\\left\\lbrace\\frac{\\left(2k_0^2-K_\\parallel^2+m_f^2\\right)}\n{(K^2-m^2_f)^2(P^2-m_f^2)^2}\n-\\frac{\\left(8k_0^2K_\\perp^2\\right)}{(K^2-m^2_f)^4(P^2-m_f^2)}\\right\n\\rbrace\\right].~~~\n\\end{eqnarray}\nWe have calculated the real and imaginary parts of the \nform factor $b_2$ in the appendix~\\ref{b_2}, which gives the \nreal and imaginary parts of the form factor $b_2$ in the \nstatic limit as follows\n\\begin{eqnarray}\n{\\rm Re}~b_2(q_0=0)=\\sum_f\\frac{g^2}{12\\pi^2 T^2}(q_fB)^2\n\\sum_{l=1}^{\\infty}(-1)^{l+1}l^2K_0(\\frac{m_fl}{T}).\n\\label{real_b2}\n\\end{eqnarray}\n\\begin{eqnarray}\n\\left[\\frac{{\\rm Im}~b_2(q_0,q)}{q_0}\\right]_\n{q_0=0}&=&\\frac{1}{q}\\left[\\sum_f\\frac{g^2(q_fB)^2}{16\\pi T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_0\\left(\\frac{m_f l}{T}\\right)\n\\right. \\nonumber\\\\ &&\\left. \n-\\sum_f\\frac{g^2(q_fB)^2}{96\\pi T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_2\\left(\\frac{m_f l}{T}\\right)\n\\right. \\nonumber\\\\ &&\\left.\n+\\sum_f\\frac{g^2(q_fB)^2}{768\\pi}\\frac{(8T-7\\pi m_f)}{m_f^2 T}\n\\right],\n\\label{img_b2}\n\\end{eqnarray}\nwhere $K_0$ and $K_2$ are the modified Bessel functions \nof second kind.\n\nAfter obtaining the real and imaginary parts of\nthe form factor $b_0$ and $b_2$, we can write the \nreal and imaginary parts of form factor $b$ using \nEq.\\eqref{formfactor_b} as follows\n\\begin{eqnarray}\n{\\rm Re}~b(q_0=0)&=&\ng^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right)+\n\\sum_f\\frac{g^2}{12\\pi^2 T^2}(q_fB)^2\n\\sum_{l=1}^{\\infty}(-1)^{l+1}l^2K_0(\\frac{m_fl}{T}),\n\\label{real_b}\\\\\n\\left[\\frac{{\\rm Im}~b(q_0,q)}{q_0}\\right]_\n{q_0=0}&=&g^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right)\\frac{\\pi}{2q}\n+\\frac{1}{q}\\left[\\sum_f\\frac{g^2(q_fB)^2}{16\\pi T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_0\\left(\\frac{m_f l}{T}\\right)\n\\right. \\nonumber\\\\ &-&\\left. \n\\sum_f\\frac{g^2(q_fB)^2}{96\\pi T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_2\\left(\\frac{m_f l}{T}\\right)\n+\\sum_f\\frac{g^2(q_fB)^2}{768\\pi}\\frac{(8T-7\\pi m_f)}{m_f^2 T}\n\\right],\n~~\\label{img_b}\n\\end{eqnarray}\nwhere Eq.\\eqref{real_b} is the real-part of the form factor \nin the static limit which gives the Debye screening mass in \nthe presence of weak magnetic field as follows\n\\begin{eqnarray}\nM_D^2=g^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right)+\n\\sum_f\\frac{g^2}{12\\pi^2 T^2}(q_fB)^2\n\\sum_{l=1}^{\\infty}(-1)^{l+1}l^2K_0(\\frac{m_fl}{T}).\n\\label{debyemass}\n\\end{eqnarray}\nThus, it is observed that Debye screening mass of the thermal \nmedium in the presence of weak magnetic field is affected \nby both the temperature and magnetic field. Now in order to see\nhow the Debye mass is changed in the presence of weak magnetic field \nwe have mentioned the leading order result of Debye mass \nfor thermal medium in absence of magnetic \n(termed as ``Pure Thermal'')~\\cite{Shuryak:ZETF'1978}.\n\\begin{eqnarray}\nM^2_D({\\rm Pure~Thermal})=g^2 T^2 \n\\left(\\frac{N_c}{3} +\\frac{N_f}{6}\\right).\n\\end{eqnarray}\nIn the left panel of Fig.\\ref{debye}, we have quantitatively\nstudied the variation of Debye mass with varying strength \nof weak magnetic field for a fixed value of temperature. We \nhave observed that the debye mass is found to increase\nwith the varying strength of magnetic field. On the other hand, \nin the right panel\nof Fig.\\ref{debye}, we have studied the variation with the \ntemperature for a fixed value of magnetic field and \nobserved that the Debye mass is also found to increase \nwith increasing temperature, but \nthe increase of Debye mass with temperature is fast \nas compared to the slow increase with magnetic field. In\naddition to this, we have also made a comparison of Debye\nmass in presence of magnetic field with the one in absence \nof magnetic field and observed that the Debye mass in presence \nof weak magnetic field is found to be slightly higher as \ncompared to the one in pure thermal case. \n\n\\begin{figure}[t]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.6cm,height=8.4cm]{debye_mag.eps}&~~~~~\n\\includegraphics[width=7.5cm,height=7.6cm]{debye_temp.eps}\\\\\n\\end{tabular}\n\\caption{Variation of Debye mass with magnetic field (left panel)\nand with temperature (right panel).}\n\\label{debye}\n\\end{center}\n\\end{figure}\n\n\n\\section{Medium modified heavy quark potential}\nIn this section we will discuss the medium modification to \nthe potential between a heavy quark $Q$ and its anti-quark \n$\\bar{Q}$ in the presence of weak magnetic field at \nfinite temperature.\nSince the mass of the heavy quark ($m_Q$) is very large, \nso the requirements - $m_Q \\gg T \\gg \\Lambda_{QCD}$ and \n$m_Q \\gg \\sqrt{eB}$ are satisfied for the description of \nthe interactions between a pair of heavy quark and \nanti-quark at finite temperature in a weak \nmagnetic field in terms of quantum mechanical \npotential, that leads to the validity of \ntaking the static heavy quark potential. \nThus we can obtain the \nmedium-modification to the vacuum potential in the \npresence of magnetic field by correcting both its \nshort and long-distance part \nwith a dielectric function $\\epsilon(q)$ \nas \n\\begin{equation}\nV(r;T,B)=\\int\\frac{d^3q}{(2\\pi)^{3\/2}}\n({e^{iq.r}-1})\\frac{V(q)}{\\epsilon(q)},\n\\label{pot_defn}\n\\end{equation}\nwhere the $r$-independent term has subtracted to renormalize \nthe heavy quark free energy, which is the perturbative \nfree energy of quarkonium at infinite separation. The Fourier \ntransform,  $V(q)$  of the perturbative part of the Cornell \npotential ($V(r)=-\\frac{4\\alpha_s}{3r}$) \nis given by\n\\begin{equation}\n{V}(q)=-\\frac{4}{3}\\sqrt{\\frac{2}{\\pi}} \n\\frac{\\alpha_s}{q^2},\n\\label{ft_pot}\n\\end{equation}\nand the dielectric permittivity, $\\epsilon(q)$, \nembodies the effects of confined medium in the presence of \nmagnetic field is to be calculated next. The important \npoint to be noted here is that we have taken the Fourier \ntransform of the perturbative part of the vacuum potential \nonly, the reason for this is that we can not use the same \nscreening scale for both Coulomb and string terms because \nof the non-perturbative \nnature of the string term. To include the non-perturbative \npart of the potential, we will use the method of dimension \ntwo gluon condensate. \n\\subsection{The complex permittivity for a hot QCD medium \nin a weak magnetic field}\nThe complex dielectric permittivity, $\\epsilon (q)$ is \ndefined by the static limit of ``00''-component \nof resummed gluon propagator from the linear\nresponse theory\n\\begin{equation}\n\\frac{1}{\\epsilon (q)}=-\\displaystyle\n{\\lim_{q_0 \\rightarrow 0}}{q}^{2}D^{00}(q_{0}, \nq).\n\\label{dielectric}\n\\end{equation}\nNow we will evaluate the ``00''-component of resummed \ngluon propagator. The real-part of the resummed \ngluon propagator in the static limit \ncan be evaluated by using \nEq.\\eqref{propagator_final} and Eq.\\eqref{real_b} \n\\begin{eqnarray}\n{\\rm Re}~D^{00}(q_0=0)=\\frac{-1}{q^2+M_D^2}.\n\\label{real_resummed}\n\\end{eqnarray}\nThe imaginary part of resummed\ngluon propagator can be written in terms\nof the real and imaginary parts of the \nform factor by using the following \nformula~\\cite{Weldon:PRD42'1990}\n\\begin{eqnarray}\n{\\rm Im}~D^{00}(q_0,q)=\\frac{2T}{q_0}\\frac{{\\rm Im}~b(q_0,q)}\n{(Q^2-{\\rm Re}~b(q_0,q))^2+({\\rm Im}~b(q_0,q))^2},\n\\end{eqnarray}\nwhich can be recast into the following form\n\\begin{eqnarray}\n{\\rm Im}~D^{00}(q_0,q)=2T\\frac{\\left[\\frac{{\\rm Im}~b(q_0,q)}\n{q_0}\\right]}\n{(Q^2-{\\rm Re}~b(q_0,q))^2+(q_0\\left[\\frac{{\\rm Im}~b(q_0,q)}\n{q_0}\\right])^2},\n\\end{eqnarray}\nin the static limit the above equation reduces to \nthe simplified form\n\\begin{eqnarray}\n{\\rm Im}~D^{00}(q_0=0)=2T\\frac{\\left[\\frac{{\\rm Im}~\nb(q_0,q)}{q_0}\\right]_{q_0=0}}{(q^2+M_D^2)^2},\n\\label{resummed}\n\\end{eqnarray}\nwhere we have substituted ${\\rm Re}~b(q_0=0)=M_D^2$. \nUsing Eq.\\eqref{img_b} and the above Eq.\\eqref{resummed}, \nthe imaginary part of ``00''-component of resummed gluon\npropagator can be written as follows \n\\begin{eqnarray}\n{\\rm Im}~D^{00}(q_0=0,q)=\\frac{\\pi T M^2_{(T,B)}}{q(q^2+M_D^2)^2},\n\\label{img_resummed}\n\\end{eqnarray}\nwhere we have defined the quantity $M^2_{(T,B)}$ as follows\n\\begin{eqnarray}\nM_{(T,B)}^2&=&g^2T^2\\left(\\frac{N_c}{3}+\\frac{N_f}{6}\\right)\n+\\left[\\sum_f\\frac{g^2(q_fB)^2}{8\\pi^2 T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_0\\left(\\frac{m_f l}{T}\\right)\n\\right. \\nonumber\\\\ &&-\\left. \n\\sum_f\\frac{g^2(q_fB)^2}{48\\pi^2 T^2}\n\\sum_{l=1}^\\infty(-1)^{l+1}l^2K_2\\left(\\frac{m_f l}{T}\\right)\n+\\sum_f\\frac{g^2(q_fB)^2}{384\\pi^2}\\frac{(8T-7\\pi m_f)}{m_f^2 T}\n\\right].~\n\\end{eqnarray}\nNow we will obtain the real and imaginary parts \nof dielectric permittivity, before evaluating them\nwe will discuss the procedure to handle the \nnonperturbative part of the heavy quark potential.\nThe handling of the nonperturbative part of the potential is recently \nbeen discussed in~\\cite{Guo:PRD100'2019}. The procedure \nis to include\na nonperturbative term in the real and imaginary parts\nof the ``00''-component of resummed gluon propagator along\nwith the usual Hard Thermal Loop (HTL) propagator which \nwe have obtained earlier. The real and imaginary parts of the \nnonperturbative (NP) term by using the dimension two gluon\ncondensate are given as follows\n\\begin{eqnarray}\n{\\rm Re}~D^{00}_{NP}(q_0=0,q)=-\\frac{m_G^2}{(q^2+M_D^2)^2},\\\\\n{\\rm Im}~D^{00}_{NP}(q_0=0,q)=\\frac{2\\pi TM^2_{(T,B)}m_G^2}\n{q(q^2+M_D^2)^3},\n\\end{eqnarray}\nwhere $m_G^2$ is a dimensional constant, which can be related \nto the string tension through the relation \n$\\sigma=\\alpha m_G^2\/2$. Thus, the real and \nimaginary parts of the ``00''-component of the \nresummed gluon propagator that consists of \nboth the HTL and the NP \ncontributions can be written as follows\n\\begin{eqnarray}\n{\\rm Re}~D^{00}(q_0=0,q)&=&-\\frac{1}\n{q^2+M_D^2}-\\frac{m_G^2}\n{(q^2+M_D^2)^2}\n\\label{real_propagator},\\\\\n{\\rm Im}~D^{00}(q_0=0,q)&=&\\frac{\\pi T M^2_{(T,B)}}\n{q(q^2+M_D^2)^2}+\\frac{2\\pi T M^2_{(T,B)}m_G^2}\n{q(q^2+M_D^2)^3}.\n\\label{imaginary_propagator}\n\\end{eqnarray}\nNow substituting Eq.\\eqref{real_propagator} and \nEq.\\eqref{imaginary_propagator} in Eq.\\eqref{dielectric} \ngives the real and imaginary parts of the dielectric \npermittivity, respectively\n\\begin{eqnarray}\n\\frac{1}{{\\rm Re}~\\epsilon (q)}&=&\\frac{q^2}\n{q^2+M_D^2}+\\frac{q^2 m_G^2}\n{(q^2+M_D^2)^2}\n\\label{real_dielectric},\\\\\n\\frac{1}{{\\rm Im}~\\epsilon (q)}&=&-\\frac{q\\pi T M^2_{(T,B)}}\n{(q^2+M_D^2)^2}-\\frac{2q\\pi T M^2_{(T,B)}m_G^2}\n{(q^2+M_D^2)^3}.\n\\label{imaginary_dielectric}\n\\end{eqnarray}\nWe are now going to derive the real and imaginary \nparts of the complex potential from the real and imaginary \nparts of dielectric permittivities, respectively in \nthe next subsection. The important point to be \nnoted here is that the non perturbative terms in the\nreal and imaginary parts of the dielectric permittivity\nwill lead to the string contribution in the \nreal and imaginary parts of the potential.\n\n\\subsection{Real and Imaginary parts of the potential}\nHere we will calculate the real and imaginary parts \nof the heavy quark potential in presence of weak magnetic field.\nThe real-part of the dielectric permittivity \nin Eq.\\eqref{real_dielectric} is substituted into the definition \nof potential in Eq.\\eqref{pot_defn} to obtain the real-part of \n$Q \\bar Q$ potential in the presence of weak magnetic \nfield \n(with $\\hat{r}=rM_{D}$)\n\\begin{eqnarray}\n\\rm{Re} V(r;T,B)&=&-\\frac{4}{3}\\alpha_s\\left(\\frac{e^{-\\hat{r}}}\n{r}+M_D\\right)+\\frac{4}{3}\\frac{\\sigma}{M_D}\n\\left(1-e^{-\\hat{r}}\\right),\n\\label{real_potential}\n\\end{eqnarray}\nwhere the temperature and magnetic field dependence in the\npotential enters through the \nDebye mass. While plotting the real-part of the \npotential we have excluded the non-local terms which are \nhowever, required to reduce the potential in the medium \n$V(r;T,B)$ to the vacuum potential in $(T, B) \\rightarrow 0 $ \nlimit. In Fig.\\ref{realb}, we have plotted the real-part of the \npotential as a function of interquark distance ($r$). In the left\npanel of Fig.\\ref{realb}, we have plotted the real-part of the \npotential for different strengths of weak magnetic field like \n$eB=0.5m_\\pi^2$ and $2m_\\pi^2$ for a fixed value of temperature \n$T=2T_c$. We observed that on increasing \nthe value of magnetic field the real-part become more screened.\nWhereas in the right panel of Fig.\\ref{realb}, the real-part\nis plotted for different strengths of temperature like $T=1.5T_c$\nand $T=2T_c$ and found to be more screened on increasing \nthe value of temperature. Thus, the real-part of the potential\nis found to be more screened on increasing the value of both \ntemperature and magnetic field. This observation of the \nreal-part of the potential can be understood in terms \nof the observation of the Debye mass which is found \nto be increased both with temperature and magnetic field \nas shown earlier in Fig.\\ref{debye}.\n\n\\begin{figure}[h]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7.5cm]{rpot_mag.eps}\n&~~~~~\n\\includegraphics[width=7.5cm,height=7.5cm]{rpot_temp.eps}\\\\\n\\end{tabular}\n\\caption{Real-part of the potential for different strengths of \nmagnetic field (left panel) and for different strengths of\ntemperature (right panel).}\n\\label{realb}\n\\end{center}\n\\end{figure}\n\\begin{figure}[h]\n\\begin{center}\n\\includegraphics[width=7.5cm,height=7.5cm]{rpot_mag_comp.eps}\n\\caption{Real-part of the potential in the absence and \npresence of weak magnetic field.}\n\\label{real_comp}\n\\end{center}\n\\end{figure}\nWe have made a comparison in \nFig.\\ref{real_comp} to see how the magnetic field \nwill affect the real-part of the potential, for \nthat we have plotted the real-part of the \npotential in presence of magnetic field with the \none for pure thermal case. As we have \nseen in the right panel of Fig.\\ref{debye} that the Debye \nmass in presence of magnetic field is slightly higher\nas compared to the Debye mass in pure thermal medium,\nthat leads to the slightly more screening of the \nreal-part of the potential in presence of weak magnetic \nfield as compared to the same in the pure thermal case.   \n\nWe will now evaluate the imaginary-part of the\npotential in presence of weak magnetic field. The \nimaginary-part of the potential is obtained by substituting \nthe imaginary part of dielectric permittivity from \nEq.\\eqref{imaginary_dielectric} into the \ndefinition of the potential Eq.\\eqref{pot_defn}\n\\begin{eqnarray}\n\\rm{Im} V_C(r;T,B)&=&-\\frac{4}{3}\\frac{\\alpha_s T M^2_{(T,B)}}{M_D^2}\\phi_2(\\hat{r}),\\\\\n\\rm{Im} V_S(r;T,B)&=&-\\frac{4 \\sigma T M^2_{(T,B)}}{M_D^4}\n\\phi_3(\\hat{r}),\n\\label{imaginary_potential}\n\\end{eqnarray}\nwhere the function $\\phi_2(\\hat{r})$ and $\\phi_3(\\hat{r})$\nare given in~\\cite{Guo:PRD100'2019}\n\\begin{eqnarray}\n\\phi_2(\\hat{r})&=&2\\int_0^{\\infty}\\frac{zdz}{(z^2+1)^2}\n\\left[1-\\frac{\\sin z\\hat{r}}{z\\hat{r}}\\right],\\\\\n\\phi_3(\\hat{r})&=&2\\int_0^{\\infty}\\frac{zdz}{(z^2+1)^3}\n\\left[1-\\frac{\\sin z\\hat{r}}{z\\hat{r}}\\right],\n\\end{eqnarray}\nand in the small $\\hat{r}$ limit $(\\hat{r}\\ll 1)$, the above functions \nbecome \n\\begin{eqnarray}\n\\phi_2(\\hat{r})&\\approx &-\\frac{1}{9}{\\hat{r}}^2\\left(3\\ln \\hat{r}-\n4+3\\gamma_E\\right),\\\\\n\\phi_3(\\hat{r})&\\approx&\\frac{{\\hat{r}}^2}{12}+\\frac{{\\hat{r}}^4}{900}\n\\left(15\\ln\\hat{r}-23+15\\gamma_E\\right).\n\\end{eqnarray}\nIt is worth mentioning that we considered the imaginary part of the potential within the\nsmall distance limit ($\\hat{r}=rM_D\\ll 1$), so that it can be viewed as a perturbation. This could be relevant for the bound states of very heavy quarks, where Bohr radii, $r_B$ (=$\\frac{n^2}{g^2 m_Q}$) of quarkonia are smaller than the Debye length, $\\frac{1}{M_D}$. As we know that the former ($r_B$) is related to the scales of nonrelativistic heavy quark bound states in vacuum ($T=0$) \nand the scales associated to the thermal medium. In fact, the above condition ($r_B < \\frac{1}{M_D}$) is translated to the hierarchy for the validity of potential approach ($m_Q> T~ {\\rm or}~ gT$).\n\nSimilar to the real-part of the potential we have plotted the \nimaginary-part of the potential as a function \nof interquark distance ($r$) in Fig.\\ref{imgb}. We have calculated \nthe imaginary-part of the potential for different strengths of \nweak magnetic field like $eB=0.5m_\\pi^2$ and $2m_\\pi^2$ in the left\npanel of Fig.\\ref{imgb}. We found that on increasing \nthe value of magnetic field the magnitude of imaginary-part \ngets increased. On the other hand, in the right panel of \nFig.\\ref{imgb}, the imaginary-part is calculated for different \nstrengths of temperature like $T=1.5T_c$\nand $T=2T_c$, here also the imaginary-part is found to increase \nwith the temperature. Hence the magnitude of the imaginary-part of \nthe potential gets increased with the value of temperature \nand magnetic field both. This observation also attributed to the \nfact that the Debye mass is found to be increased with temperature \nand magnetic field both.\n\\begin{figure}[t]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7.5cm]{ipot_mag.eps}\n&~~~~~\\includegraphics[width=7.5cm,height=7.5cm]{ipot_temp.eps}\\\\\n\\end{tabular}\n\\caption{Imaginary-part of the potential for different strengths of \nmagnetic field (left panel) and for different strengths of\ntemperature (right panel).}\n\\label{imgb}\n\\end{center}\n\\end{figure}\nHere also we have calculated the imaginary-part of the potential \nin presence of magnetic field with the one for pure thermal \ncase in Fig.\\ref{img_comp}, where we observed that the \nimaginary-part of the potential in presence of magnetic field \nis increased slightly as compared to the one in pure thermal \ncase. \n\\begin{figure}[h]\n\\begin{center}\n\\includegraphics[width=7.5cm,height=7.5cm]{ipot_mag_comp.eps}\n\\caption{Imaginary-part of the potential in the absence and \npresence of weak magnetic field.}\n\\label{img_comp}\n\\end{center}\n\\end{figure}\n\\newpage\n\n\n\\section{Properties of quarkonia}\nIn this section we first explore the effects of weak magnetic \nfield on the properties of heavy quarkonia. The obtained real\nand imaginary parts of the heavy quark potential will be \nused to evaluate the binding energy and thermal width of \nthe heavy quarkonia, respectively.\n\n\\subsection{Binding energy}\nIn this subsection, we have obtained the binding energy \nof $J\/\\psi$ and \n$\\Upsilon$. In order to calculate the \nbinding energy, the real part of \nthe potential Eq.\\eqref{real_potential} is put into the radial \npart of the Schr\\\"{o}dinger equation, which is then solved \nnumerically to obtain the energy eigenvalues that inturns give \nthe binding energies of quarkonia. To see how the presence of \nweak magnetic \nfield affects the binding of quarkonia, we have plotted the \nbinding energies of $J\/\\psi$ as a function of $T\/T_c$ for \ndifferent strengths of magnetic field in the left panel \nof Fig.\\ref{psi}. We observed that the binding energy is \nfound to decrease with the temperature and magnetic field\nboth, we can attribute this finding in terms of the increasing \nof screening with the temperature and magnetic field that \nwe have observed in the real-part of the potential. The point \nto be noted here is that the difference between the values \nof binding energies plotted for the magnetic field $eB=0.5m_\\pi^2$ \nand $eB=2m_\\pi^2$ is pronounced at higher\ntemperature, this is in accordance with the validity of our \nwork in the weak field limit $(T^2>|q_fB|)$. \n\\begin{figure}[t]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7cm]{binding_psi.eps}&\n~~~~~\\includegraphics[width=7.5cm,height=7cm]{binding_psi_comp.eps}\n\\end{tabular}\n\\caption{The binding energy of $J\/\\psi$ as a function of \ntemperature.} \n\\label{psi}\n\\end{center}\n\\end{figure}   \n\\begin{figure}[h]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7cm]{binding_upsilon.eps}&\n~~~~~\\includegraphics[width=7.5cm,height=7cm]{binding_upsilon_comp.eps}\n\\end{tabular}\n\\caption{The binding energy of $\\Upsilon$ as a function of temperature.}\n\\label{upsilon}\n\\end{center}\n\\end{figure} \n  \nIn the right panel of Fig.\\ref{psi}, we have also compared the \nbinding energy of $J\/\\psi$ in presence of weak magnetic field with\nthe pure thermal case. We found that the binding energy in presence \nof magnetic field is smaller as compared to the one in \npure thermal case, this is because the real-part of the potential\nin presence of magnetic becomes more screened as compared to \npure thermal case. The similar observation has also been\nobserved for $\\Upsilon$, except that the value of binding \nenergy for $\\Upsilon$ is higher as compared to the value for \n$J\/\\Psi$. The variation of binding energy for $\\Upsilon$ is \nstudied in the left and right panel of Fig.\\ref{upsilon}.  \n\\newpage\n\n\\subsection{Thermal width}\nWe will now use the imaginary part of the potential obtained in presence \nof weak magnetic field to estimate the broadening of the resonance states \nin a thermal medium. So\nusing the first-order time-independent perturbation theory, the width \n($\\Gamma$) has been evaluated by folding with ($\\Phi(r)$),\n\\begin{eqnarray}\n\\Gamma({\\rm T,B})=-2\\int_0^\\infty \\rm{Im}~V(r;T,B) |\\Phi(r)|^2 d\\tau,\n\\label{gammaT}\n\\end{eqnarray}\nthe wave function $\\Phi(r)$ is taken to be the Coloumbic wave function \nfor the ground state\n\\begin{eqnarray}\n\\Phi(r)=\\frac{1}{\\sqrt{\\pi a_0^3}}e^{-r\/a_0},\n\\end{eqnarray}\nwhere $a_0$ is the Bohr radius of the \nheavy quarkonium system. \nHere we have used the imaginary-part of the potential\nas a perturbation to obtain the thermal width, and for that \npurpose we have obtained the imaginary-part of the potential\nin the small distance limit.   \n \\begin{figure}[t]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7.5cm]{width_psi.eps}&\n~~~~\\includegraphics[width=7.5cm,height=7.5cm]{width_psi_comp.eps}\n\\end{tabular}\n\\caption{Variation of the thermal widths with the temperature for \n$J\/\\psi$.}\n\\label{decay_psi}\n\\end{center}\n\\end{figure}\n\\begin{figure}[h]\n\\begin{center}\n\\begin{tabular}{c c}\n\\includegraphics[width=7.5cm,height=7.5cm]{width_upsilon.eps}&\n~~~~\\includegraphics[width=7.5cm,height=7.5cm]{width_upsilon_comp.eps}\n\\end{tabular}\n\\caption{Variation of the thermal widths with the temperature for \n$\\Upsilon$.}\n\\label{decay_upsilon}\n\\end{center}\n\\end{figure}\nWe have obtained the thermal width numerically and observed that it depend on the temperature as well as the weak \nmagnetic field.\nTo explore the effects of the weak magnetic field on the \nthermal width of heavy quarkonia, we have plotted the \nthermal width of $J\/\\psi$ and $\\Upsilon$ as a function of \n$T\/T_c$ for different strengths of magnetic field in \nFig.\\ref{decay_psi} and Fig.\\ref{decay_upsilon}, respectively. \nWe observed that the thermal widths for $J\/\\psi$ and \n$\\Upsilon$ get increased both with the temperature and \nmagnetic field as depicted in the left panels of \nFig.\\ref{decay_psi} and Fig.\\ref{decay_upsilon}. We can \nunderstood this finding in terms of the increase of the \nimaginary-part of the potential, the magnitude of which \ngets enhanced both with temperature and magnetic field. \nWe also made a comparison of thermal width in presence \nof weak magnetic field with its counter part in absence \nof magnetic field in the right panels of \nFig.\\ref{decay_psi} and Fig.\\ref{decay_upsilon}, where we \nfound that the decay widths for $J\/\\Psi$ and $\\Upsilon$ \nget increased in the presence of magnetic field as compared \nto the pure thermal case.\n\n\\subsection{Dissociation of quarkonia}\nIn the previous subsections, we have obtained the binding energies \nand thermal widths of heavy quarkonia, $J\/\\psi$ and $\\Upsilon$. \nNow we will study the quasi-free dissociation of heavy quarkonia \nin a thermal QCD medium and see how the dissociation temperatures \nof quarkonia are affected in the presence of weak magnetic field. \nFor that purpose we use the criterion on the width of the resonance \n($\\Gamma$): $\\Gamma \\ge 2 ~{\\rm{BE}}$ \\cite{Mocsy:PRL99'2007} \n(where ${\\rm{BE}}$ is the binding energy of the heavy quarkonia) \nto estimate the dissociation temperature for $J\/\\psi$ \nand $\\Upsilon$.\n\\begin{table}[H]\n\\begin{center}\n\\begin{tabular}{|c|c|c|}\n\\hline\n&\\multicolumn{2}{|c|}{Dissociation Temperatures $T_d$ in $T_c$} \\\\\n\\hline\nState & $J\/\\psi$ & $\\Upsilon$ \\\\ \n\\hline \nPure Thermal ($eB=0$)& 1.80 & 3.50 \\\\ \n\\hline \n$eB=0.5m_\\pi^2$ & 1.74 & 3.43 \\\\ \n\\hline\n\\end{tabular}\n\\end{center}\n\\caption{Dissociation temperatures in absence and \npresence of weak magnetic field.} \n\\label{table_diss}\n\\end{table}\nWe have obtained the dissociation temperatures of \n$J\/\\Psi$ and $\\Upsilon$ in the absence and presence of \nweak magnetic field in Table.\\ref{table_diss}, and \nobserved that the dissociation temperatures become \nslightly lower in the presence of weak magnetic field.\n{\\em For example}, with $eB = 0m_\\pi^2$ the $J\/\\psi$ and \n$\\Upsilon$ are dissociated at $1.80T_c$ and $3.50T_c$, \nrespectively whereas with $eB = 0.5m_\\pi^2$ the $J\/\\psi$ \nand $\\Upsilon$ are dissociated at $1.74T_c$ and $3.43T_c$.\nThis observation leads to the slightly early dissociation \nof heavy quarkonia in the presence of the weak magnetic field.\n\n\\section{Conclusions}\nIn the present theoretical study, we have explored the \neffects of weak magnetic field on the dissociation of \nquarkonia in a thermal QCD by calculating the \ncomplex heavy quark potential perturbatively\nin the aforesaid medium. For that purpose, we first evaluate \nthe gluon self-energy in a similar environment \nusing the imaginary-time formalism.\nFurthermore, we have revisited the general structure of \ngluon self-energy tensor in the presence of weak magnetic field in \nthermal medium and obtained the relevant structure functions, that \nin turn give rise to the real and imaginary parts of the\nresummed gluon propagator, which give the real and imaginary \nparts of the dielectric permittivity. To include the medium \nmodification to the non-perturbative part of the vacuum heavy \nquark potential, we have included a non-perturbative term in \nthe resummed gluon propagator induced by the dimension two \ngluon condensate besides the usual hard thermal\nloop resummed contribution. Thus, the real and imaginary \nparts of the dielectric permittivity will be used to evaluate \nthe real and imaginary parts of the complex heavy quark \npotential. We have studied the effects of weak magnetic field\non the real and imaginary parts of the potential. We have \nfound that the real-part of the potential is found to be more \nscreened on increasing the value of temperature and magnetic field \nboth. In addition to this, we have observed that the real-part\ngets slightly more screened in the presence of weak magnetic \nfield as compared to its counter part in the \nabsence of magnetic field. \nOn the other hand,  \nthe magnitude of the imaginary-part of the potential gets \nincreased with the value of both temperature and magnetic field,\nand its magnitude also gets increased in the presence \nof weak magnetic field as compared to pure thermal case.\nThe real part of the potential is used in the Schr\\\"{o}dinger \nequation to obtain the binding energy of heavy quarkonia, \nwhereas the imaginary part is used to calculate the \nthermal width. We observed that the binding energies of \n$J\/\\Psi$ and $\\Upsilon$ are found to decrease with the \ntemperature and magnetic field both, we can attribute this \nfindings in terms of the increasing of screening of the\nreal-part of the potential. We also observed that the binding energy of $J\/\\Psi$\nand $\\Upsilon$ in the presence of magnetic field are \nsmaller as compared to the one in the pure thermal case. The \nincrease in the magnitude of the imaginary-part of the \npotential will leads to the increase of decay width with \ntemperature and magnetic field both. The thermal width for \n$J\/\\Psi$ and $\\Upsilon$ get increased in presence of magnetic \nfield as compared to pure thermal case. With the observations \nof binding energy and decay width in hands, we have \nfinally studied the dissociation of quarkonia in the presence \nof weak magnetic field. The dissociation temperatures for \n$J\/\\Psi$ and $\\Upsilon$ become slightly lower in the the presence \nof weak magnetic field. {\\em For example}, with $eB = 0 m_\\pi^2$ \nthe $J\/\\psi$ and $\\Upsilon$ \nare dissociated at $1.80T_c$ and $3.50T_c$, respectively whereas \nwith $eB = 0.5m_\\pi^2$ the $J\/\\psi$ and $\\Upsilon$ are \ndissociated at $1.74T_c$ and $3.43T_c$. This observation leads \nto the slightly early dissociation of quarkonia because of the \npresence of a weak magnetic field.\n\n\n\\section*{Acknowledgements}\nOne of the author BKP is thankful to the CSIR (Grant No.03 (1407)\/17\/EMR-II), \nGovernment of India for the financial assistance.\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n \n\nIn   the late 1990's, M. Gromov in \\cite{Gromov} introduced the notion of mean dimension for a topological dynamical system $(X,\\phi)$\n($X$ is a compact topological space and $\\phi$ is a continuous map on $X$), which is, as well as the topological entropy, an invariant under conjugacy.    In \\cite{lind}, Lindenstrauss and Weiss showed  that the mean dimension is zero if the topological dimension\nof $X$ is finite. They  gave some examples where the mean dimension is positive. For instance, they proved that the mean dimension of   $(([0,1]^m)^{\\mathbb{Z}}, \\sigma)$, where $\\sigma$ is the two-sided full shift map on $([0,1]^m)^{\\mathbb{Z}}$,  which has infinite topological entropy,   is equals to $m$ and that any non-trivial factor of  $( ([0,1]^m)^{\\mathbb{Z}},\\sigma)$\nhas positive mean dimension. \n\n\\medskip\n\n\nGiven a dynamical system  $(X,\\phi)$, an interesting question related to such a system is the following: under what conditions is it possible to imbed  such a system in the shift space $(([0,1]^\\mathbb{N})^{\\mathbb{Z}}, \\sigma)$? That is, what properties the system must have to guarantee the existence of a continuous map $i: X\\to ([0,1]^\\mathbb{N})^{\\mathbb{Z}}$  satisfying $\\sigma \\circ i = i \\circ \\varphi$?  In \\cite{lind} the authors proved that \n a necessary condition for an invertible system $(X,\\phi)$ to be embedded in \n$(([0,1]^m)^{\\mathbb{Z}},\\sigma)$   is   that $\\text{mdim}(X,\\phi)\\leq m$, where  $\\text{mdim}(X,\\phi)$ denotes the mean dimension of the system $(X,\\phi)$.\nIn \\cite{lind3}  it was  proved that if $ (X, \\phi)$ is an invertible system which is an extension of a minimal system, and $K$ is  a convex set with non-empty interior such that $\\text{mdim} (X,\\phi)< \\text{dim} K \/36$, then  $(X, \\phi)$ can be embedded in the shift space $(K^{\\mathbb{Z}},\\sigma)$. In particular, if $\\text{mdim} (X,\\phi)< m\/36$, then  $(X, \\phi)$ can be embedded in $(([0,1]^m)^{\\mathbb{Z}},\\sigma)$. More recently, Gutman and Tsukamoto  \\cite{Gutman} showed that, that if $(X, \\phi)$ is a minimal system with $\\text{mdim}(X, \\phi) <N\/\n2$ then we can embed it in\n$(([0, 1]^{N})^{\\mathbb{Z}},\\sigma)$. In \\cite[Theorem 1.3]{lind4}, Lindenstrauss and Tsukamoto \n constructed a minimal system with mean dimension equal to $N\/2$ which cannot be\nembedded into $(([0, 1]^{N})^{\\mathbb{Z}},\\sigma)$, showing that the constant $N\/2$ obtained in \\cite{Gutman} is optimal. \n\n\\medskip\n\nThe notion of metric mean dimension for a dynamical system $\\phi:(X,d)\\to (X,d)$ was   introduced in \\cite{lind},\nwhere $(X,d)$ is a compact metric space with metric $d$  and $\\phi$ is a continuous map. It refines the topological entropy for systems with infinite entropy,\nwhich, in the case of a manifold of dimension greater than one,  form a residual subset of the set consisting of   homeomorphisms   defined on the manifold (see \\cite{Yano}). In fact,\n every system with finite topological entropy has metric mean dimension equals to zero and\nfor any metric $d'$ equivalent to $d$ on $X$ one has $\\text{mdim}(X,\\phi)\\leq \\text{mdim}_M(X,\\phi,d')$, where $\\text{mdim}_M(X,\\phi,d')$\ndenotes the metric mean dimension of $(X,\\phi)$ with respect to  $d'$ (see \\cite{lind2}, \\cite{lind}). The metric mean dimension depends on the metric   $d$, therefore it is not a  topological invariant. However, for a metrizable topological space $X$,  $\\text{mdim}_M(X,\\phi)=\\inf _{d'}\\text{mdim}_M(X,\\phi,d')$ is invariant under topological conjugacy, where the infimum  is taken over all the metrics on $X$ which induce the topology on $X$. In  \\cite{lind2}, Theorem 4.3, the author  proved  that if $(X,\\phi)$  is an extension of a minimal system, then there exists a metric $d^{\\prime}$ on $X$, equivalent to $d$, \nsuch that $\\text{mdim}(X,\\phi) = \\text{mdim}_{M}(X,\\phi, d^{\\prime})$.  \n\n\\medskip\n\nB. Kloeckner (\\cite{BK}) studied the dynamical system $(\\mathcal{P}(\\mathbb S^1),\\Phi_{d\\sharp})$, where\n$\\mathcal{P}(\\mathbb S^1)$ is the space of probability measures on the circle $\\mathbb S^1$ and\n$\\Phi_{d\\sharp}$ is the push-forward map induced by a $d$-expanding map $\\Phi_d:\\mathbb S^1\\to\\mathbb S^1$.\nThe author shows   if we  take the Wasserstein metric with cost function\n$|\\cdot |^p$ ($p\\in[1,\\infty)$) on $\\mathcal{P}(\\mathbb S^1)$, denoted by $\\mathcal{W}_p$,   then\n$\\text{mdim}_M(\\mathcal{P}(\\mathbb S^1),\\Phi_{d\\sharp},\\mathcal{W}_p)\\geq p(d-1)$. H. Lee (in \\cite{HL})\nintroduced the mean dimension for continuous actions of countable sofic groups on compact metrizable spaces and proved that, in this setting, the  mean dimension is an important tool for distinguishing continuous actions of countable\nsofic groups with infinite entropy.\n\n\\medskip\n\nA \\emph{non-autonomous dynamical system} (or a sequential dynamical system) is a sequence $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}$  of continuous maps $f_n : X_n \\to X_{n+1}$, where $X_n$ is a compact topological space for every $n\\in \\mathbb N$.\nIn the last two decades, several authors have tried to extend some results that are valid for autonomous systems for the non-autonomous case. Kolyada and Snoda in \\cite{K-S} introduced the notion  of topological  entropy for this setting and proved that, just as in the case of autonomous systems, it is an invariant under equiconjugacy and furthermore  that it is concentrated in the non-wandering set of the  dynamics   (see \\cite{K-S} and \\cite{JeoCTE}). In a more recent work, Freitas et al \\cite{freitas} have analyzed the existence of Extreme Value Laws in this setting. In \\cite{Sta} Stadlbauer guarantees, under appropriate conditions, the existence of a spectral gap for transference operators associated with sequential systems.\n\n\\medskip\n\nAs we said above, the set consisting of continuous maps with infinite topological entropy is residual. On the other hand, it is easy to build non-autonomous dynamical systems with infinite topological entropy (take $\\phi$ a continuous map with positive topological entropy, then $(\\phi,\\phi^{2},\\phi^{2^{2}},\\phi^{2^3},\\dots)$ is a non-autonomous dynamical systems with infinite topological entropy).  This is the main reason to extend the concepts of mean dimension  and metric mean dimension to non-autonomous systems, since these become  a tool to classify non-autonomous dynamical systems with infinite topological entropy (see Theorem \\ref{edee344}).\n\n\n\n \n\n\\medskip\n\n {In the next two sections we will extend  the mean dimension and the metric mean dimension for  a non-autonomous dynamical system $ \\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$, which will be denoted by \n$ \\text{mdim}(X,\\textit{\\textbf{f}}\\,)$. Furthermore, we will prove  some properties   which are valid for  the entropy of non-autonomous dynamical systems  (see \\cite{K-S} and \\cite{JeoCTE}).  An application of these properties is that, for any continuous maps $\\phi$ and $\\psi$ on $X$, the    compositions $\\phi\\circ \\psi$ and $\\psi\\circ \\phi$  have the same mean dimension (see Corollary \\ref{desdede}). Furthermore, Remark \\ref{dgrdgrw} proves the inequality $\\text{mdim}_M(X,\\phi^{p},d)\\leq p\\, \\text{mdim}_M(X,\\phi,d)$ can be strict.  Proposition    \\ref{jsffeke}  proves  if  $X=[0,1]$ or $\\mathbb{S}^{1},$ then for each $a\\in [0,1]$, there exists a continuous map $\\phi_{a}$ on $X$  with metric mean dimension equals to $a$.  In Theorem \\ref{thm:non-wond} we show that, as the topological entropy,  the metric mean dimension is concentrated in the non-wandering set of the  dynamics.}  \n\n\n\n\n\n\n\\medskip\n\nIn Section 5 we will discuss some upper bounds for the metric mean dimension of both autonomous and non-autonomous dynamical systems. \n\n\n\n\\medskip\n\nAs we said above,  the metric mean dimension for single continuous maps, and consequently for non-autonomous dynamical systems, \ndepends on the metric $d$.  In Section \\ref{section6} we will discuss some properties related to the invariance of the metric mean dimension under topological  equiconjugacy.\n\n\\medskip\n\nIn the last section we will present some results related to the continuity of the metric mean dimension. \n\n\n\n\\medskip\n\nSome  ideas given to proof the results  that  are well-known for the autonomous case work or can be adapted for the non-autonomous case. We will present these  proofs for the sake of  comprehensiveness.\n\n\n\\section{Mean dimension for non-autonomous dynamical systems}\n\nLet $X$ be a compact metric space. In this section we will suppose that  $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}$  is a  non-autonomous\ndynamical system, where $f_n:X\\to X$\nis a continuous map for all $n\\geq 1$. We write $(X,\\textit{\\textbf{f}},d)$ to denote a non-autonomous dynamical system \\textit{\\textbf{f}} on $X$ endowed with the metric $d$. For $n,k\\in \\mathbb N$ define\n$$\nf_n^{(0)}:=I_X:= \\text{the identity on }X\\quad\\quad \\text{and} \\quad \\quad  f_n^{(k)}(x):=f_{n+k-1}\\circ \\dots \\circ f_n(x)\\quad\\text{for }k\\geq 1.\n$$\n\n Set\n\\[ \\mathcal{C}(X)=\\{ (f_{n})_{n=1}^{\\infty}: f_{n}:X\\rightarrow X \\text{ is a continuous map}\\}.\\]\n\n\n\\medskip\n\nGiven $\\alpha $ an open cover of $X$ define\n\\[\n\\alpha_{0}^{n-1}=\\alpha \\vee f^{-1}_1(\\alpha)\\vee (f_1^{(2)})^{-1}(\\alpha)\\vee \\dots \\vee (f_1^{(n-1)})^{-1}(\\alpha)\n\\]\nand set \n\\[\\text{ord}(\\alpha)=\\sup_{x\\in X}\\sum_{U\\in \\alpha }1_{U}(x)-1\\quad \\quad \\text{ and }\\quad \\quad \\mathcal D(\\alpha )\n                    =\\min_{\\beta  \\succ\\alpha}\\text{ord}(\\beta),\\]\n                   where $1_{U}$ is the indicator function and  $\\beta \\succ \\alpha$ means that $\\beta$ is an open cover  of $X$ finner than $\\alpha$.\n\\begin{definition} The \\textit{mean dimension} of $\\textit{\\textbf{f}}\\in\\mathcal{C}(X)$ is defined to be\n\\begin{equation*} \n\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=\\sup_{\\alpha}\\lim_{n\\to\\infty}\\frac{\\mathcal D(\\alpha_{0}^{n-1})}{n}.\n\\end{equation*}\\end{definition}\n\nBy Corollary 2.5 of \\cite{lind} we have that $\\mathcal D(\\alpha\\vee \\beta)\\leq \\mathcal D(\\alpha)+\\mathcal D(\\beta)$, for\nany open covers $\\alpha$ and $\\beta$. It follows that the limit that defines the mean dimension is well defined.\n\n\\begin{remark}\\label{tete} We present \n  a list of   some important properties  about the mean dimension for both autonomous and non-autonomous dynamical systems: \n\\begin{enumerate}\n\\item For a non-autonomous dynamical system given by the iterates of a single continuous map $f:X\\to X$, i.e.,\n  $\\textit{\\textbf{f}}=(f)_{n=1}^{\\infty}$, the definition of mean dimension coincides with\n  the one presented in \\cite{lind}, that is,\n   \\(  \\text{mdim}(X,(f)_{n=1}^{\\infty})= \\text{mdim}(X,f).\\)\n\\item Recall that for a topological space $X$, the \\textit{topological dimension} is defined as\n$$\n\\text{dim}(X)=\\sup_{\\alpha}\\mathcal{D}(\\alpha)\n$$\nwhere $\\alpha $ runs the open covers of $X$. If $\\text{dim}(X)<\\infty$, then $\\mathcal{D}(\\alpha_{0}^{n-1})\\leq \\text{dim}(X)$\nfor all $n\\in \\mathbb N$ and therefore $\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=0$ for any   $\\textit{\\textbf{f}}\\in  \\mathcal{C}(X)$.\n\\item  In  \\cite{lind}, Proposition 3.1, is proved that  $ \n\\text{mdim}(X^{\\mathbb{Z}},\\sigma)\\leq \\text{dim}( X),\n$\n where $\\sigma$ is the shift on $ X^{\\mathbb{Z}}$. Analogously we can prove  $ \n\\text{mdim}(X^{\\mathbb{N}},\\sigma)\\leq \\text{dim}( X).\n$\n\\item If $X=[0,1]^{m}$,  then $ \n\\text{mdim}(X^{\\mathbb{Z}},\\sigma)= m\n$ \n(see \\cite{lind},  Proposition 3.3).\n\\item It is clear that if $Y\\subseteq X$ is an invariant subset by a continuous map $\\phi:X\\rightarrow X$, then $\\text{mdim}(Y,\\phi)\\leq \\text{mdim}(X,\\phi)$. \nWe can define the mean dimension for any $Y\\subseteq X$ as follows: let $\\alpha$ be  an open cover  of\n$X$ and consider $\\alpha|_Y=\\{U\\cap Y:U\\in\\alpha\\}$, the open cover of $Y$ given by the restriction of $\\alpha$ to $Y$.\nThen define\n$$\n\\text{mdim}(Y,\\textit{\\textbf{f}}\\,|_Y)=\\sup_{\\alpha}\\lim_{n\\to\\infty}\\frac{\\mathcal D((\\alpha|_Y)_{0}^{n-1})}{n}.\n$$\nIt is clear   that $\\text{mdim}(Y,\\textit{\\textbf{f}}\\,|_Y)\\leq \\text{mdim}(X,\\textit{\\textbf{f}}\\,)$.\n\\item  A necessary condition for an invertible dynamical system  $\\phi:X\\rightarrow X$  to be imbeddable in $(([0, 1]^{m})^{\\mathbb{Z}},\\sigma )$ is that $\\text{mdim} (X,\\phi)\\leq  m$ (see \\cite{lind}, Corollary 3.4).\n\\item Any  nontrivial factor of $([0, 1]^{\\mathbb{Z}}, \\sigma)$ has positive mean dimension  (see \\cite{lind}, Theorem 3.6).\n\\end{enumerate}\n\\end{remark}\n \nWe will show some properties of the mean dimension which are   valid for the topological entropy. \nDenote by $h_{top}(\\textit{\\textbf{f}}\\,)$ the topological entropy of $\\textit{\\textbf{f}}$ (see \\cite{K-S}, \\cite{JeoCTE}).\n\n\\begin{definition}\\label{composision} For any $p\\geq 1$, set  $$ {\\textit{\\textbf{f}}^{\\,(p)}=\\{f_1^{(p)},f_{p+1}^{(p)},f_{2p+1}^{(p)},\\dots\\}=   \\{ f_{p}\\circ\\cdots \\circ f_{1}, f_{2p}\\circ\\cdots \\circ  f_{p+1},f_{3p}\\circ\\cdots \\circ  f_{2p+1},\\dots \\}}.$$\\end{definition}\n\nIt is well-known that    $  \n h_{top}(\\phi^{p})= p\\, h_{top}(\\phi)$ for any $p\\geq1 $, where $\\phi$ is any continuous map. For non-autonomous dynamical systems we have  $$\n h_{top}(\\textit{\\textbf{f}}^{\\,(p)})\\leq p\\, h_{top}(\\textit{\\textbf{f}}\\,)\\quad \\text{for any }p\\geq 1\n  $$ (see \\cite{K-S}, Lemma 4.2).  In general, the equality $\n h_{top}(\\textit{\\textbf{f}}^{\\,(p)})= p\\, h_{top}(\\textit{\\textbf{f}}\\,)$ is not valid, as we can see in the next example, which was given by Kolyada and Snoha in \\cite{K-S}.  \n \n \\begin{example} Take $\\psi: [0,1]\\rightarrow [0,1]$ defined by $ \\psi(x)=1-|2x-1|$ for any $x\\in [0,1]$. Consider $\\textbf{\\textit{f}}=(f_{n})_{n=1}^{\\infty}$, where  \n $$\nf_n(x)= \\begin{cases}\n    \\psi^{(n+1)\/2}(x), &  \\text{ if }n \\text{ is odd}, \\\\\n     x\/2^{n\/2}, & \\hbox{ if }n\\text{ is even},\n      \\end{cases}\n$$ for any $n\\in\\mathbb{N}$. \nThen $h_{top}(\\textbf{\\textit{f}}^{(2)})= 0 $ and   $h_{top}(\\textbf{\\textit{f}}) \\geq \\frac{\\log 2}{2}$.\n \\end{example}\n The equality $\n h_{top}(\\textit{\\textbf{f}}^{\\,(p)})= p\\, h_{top}(\\textit{\\textbf{f}}\\,)$ is valid  if the sequence $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ is equicontinuous (see \\cite{K-S}, Lemma 4.4). On the other hand, the equality always holds for the mean dimension. \n\n\n\n\\begin{proposition}\\label{pro:meandimension-periodic}\n  For any  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}\\in  \\mathcal{C}(X)$ and $p\\in \\mathbb{N}$   we have\n  $$\n  \\emph{mdim}(X,\\textit{\\textbf{f}}^{\\,(p)})=p\\, \\emph{mdim}(X,\\textit{\\textbf{f}}\\,).\n  $$\n\\end{proposition}\n\n\\begin{proof}\nLet  $\\alpha$ be an open cover of $X$. Note that, for $k\\in \\mathbb N$,\n\\[\n\\lim_{k\\to\\infty}\\frac{\\mathcal D(\\alpha\\vee (f_1^{(p)})^{-1}(\\alpha)\\vee\\dots \\vee (f_1^{((k-1)p)})^{-1}(\\alpha))}{k}\\leq\n\\lim_{k\\to\\infty} \\frac{\\mathcal D(\\alpha_0^{(k-1)p})}{k}\\leq p  \\lim_{k\\to\\infty} \\frac{\\mathcal D(\\alpha_0^{(kp-1)})}{kp},\n\\]\nwhich implies that  $\\text{mdim}(X,\\textit{\\textbf{f}}^{\\, (p)})\\leq p\\ \\text{mdim}(X,\\textit{\\textbf{f}}\\,)$. \nFor the converse, note   that\n\\begin{align*}\n  \\alpha_{0}^{kp-1} & = \\alpha_{0}^{p-1}\\vee (f_1^{(p)})^{-1}(\\alpha_{0}^{p-1})\\vee (f_1^{(2p)})^{-1}(\\alpha_{0}^{p-1})\\vee\\dots\\vee (f_1^{((k-1)p)})^{-1}(\\alpha_{0}^{p-1}) ,\n\\end{align*}\nand therefore\n\\[\n\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=\\sup_{\\alpha}\\lim_{k\\to\\infty}\\frac{\\mathcal D(\\alpha_0^{(k-1)p})}{kp}\\leq  \\frac{\\text{mdim}(X,\\textit{\\textbf{f}}^{\\,(p)})}{p},\n\\]\nwhich proves the proposition.\n\\end{proof}\n\n \n \n  In  \\cite{K-S}, Lemma 4.5, Kolyada and Snoha proved that $$ h_{top}(\\sigma^{i}(\\textit{\\textbf{f}}\\,))\\leq h_{top}(\\sigma^{j}(\\textit{\\textbf{f}}\\,))\\quad \\text{for any }i\\leq j,$$  where $\\sigma$ is the left shift   $\\sigma ((f_n)_{n=1}^{\\infty})=(f_{n+1})_{n=1}^{\\infty}$.  Furthermore, in \\cite{JeoCTE},  Corollary 5.6, the author showed that if each $f_{n}$ is an homeomorphism then the equality holds, that is, the topological entropy for non-autonomous dynamical systems is independent on the   first maps on a sequence of homeomorphisms  $\\textit{\\textbf{f}}=(f_{n})_{n\\in\\mathbb{Z}}$.\nNext proposition shows that these properties also hold for the mean dimension.\n \n\n\\begin{proposition}\\label{pro:shift}\nLet $i,j$ be two positive integers with $i\\leq j$. Then\n $$ \\emph{mdim}(X,\\sigma^i(\\textit{\\textbf{f}}\\,))\\leq  \\emph{mdim}(X,\\sigma^j(\\textit{\\textbf{f}}\\,)).$$ If each $f_{n}$ is a homeomorphism then the equality holds. \n\\end{proposition}\n\n\\begin{proof}\n It is enough to prove the proposition for $i=0$ and $j=1$. For  any open cover $\\alpha $ of $X$ we have\n\\begin{align*}\n  \\mathcal D(\\alpha_{0}^{n-1})&\\leq \\mathcal D(\\alpha) +\\mathcal D(f_1^{-1}(\\alpha\\vee (f_2)^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots\\vee (f_2^{(n-2)})^{-1}(\\alpha)))\\\\\n                              &=\\mathcal D(\\alpha)+\\mathcal D(\\alpha\\vee (f_2)^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots \\vee(f_2^{(n-2)})^{-1}(\\alpha)).\n\\end{align*}\nThus\n\\begin{align*}\n\\lim_{n\\to\\infty}\\frac{ \\mathcal{D}(\\alpha_{0}^{n-1})}{n}\n                     &\\leq \\lim_{n\\to\\infty}\\frac{ \\mathcal{D}(\\alpha)}{n}+ \\lim_{n\\to\\infty}\\frac{\\mathcal D(\\alpha\\vee f_2^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots\\vee (f_2^{(n-2)})^{-1}(\\alpha))}{n}\\\\\n                     &= \\lim_{n\\to\\infty}\\frac{n-1}{n}\\frac{\\mathcal D(\\alpha\\vee f_2^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots\\vee (f_2^{(n-2)})^{-1}(\\alpha))}{n-1}\\\\\n                     &\\leq\\text{mdim}(X,\\sigma(\\textit{\\textbf{f}}\\,)),\n\\end{align*}\nand therefore  $\\text{mdim}(X,\\textit{\\textbf{f}}\\,)\\leq \\text{mdim}(X,\\sigma(\\textit{\\textbf{f}}\\,)).$\n\n\nNext, suppose that each $f_{n}$ is a homeomorphism.  Note that if $\\beta $ refines $\\alpha$ then $ \\mathcal{D}(\\beta)\\geq  \\mathcal{D}(\\alpha)$.  Therefore, we have\n\\begin{align*}\n \\mathcal D(\\alpha\\vee (f_2)^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots ) &=  \\mathcal D(f_1^{-1}(\\alpha\\vee (f_2)^{-1}(\\alpha)\\vee (f_2^{(2)})^{-1}(\\alpha)\\vee\\dots ))\\\\\n                              &= \\mathcal D((f_{1})^{-1}(\\alpha)\\vee (f_1^{(2)})^{-1}(\\alpha)\\vee (f_1^{(3)})^{-1}(\\alpha)\\vee\\dots )\\\\\n                              &\\leq \\mathcal D(\\alpha \\vee(f_{1})^{-1}(\\alpha)\\vee (f_1^{(2)})^{-1}(\\alpha)\\vee (f_1^{(3)})^{-1}(\\alpha)\\vee\\dots ).\n\\end{align*}\nHence $\\text{mdim}(X,\\sigma(\\textit{\\textbf{f}}\\,))\\leq \\text{mdim}(X, \\textit{\\textbf{f}}\\,)$.\n\\end{proof}\n\nIf some $f_{n}$ is not a  homeomorphism, then the inequality above can be strict. In fact, take $f_{n}=f:X\\rightarrow X$ for any $n\\geq 2$, where $f$ is any continuous  map with positive mean dimension and $f_{1}:X\\rightarrow X$ a constant map. Then  $\\text{mdim}(X, \\textit{\\textbf{f}}\\,)=0$ and $ \\text{mdim}(X, \\sigma(\\textit{\\textbf{f}}\\,))= \\text{mdim}(X, f)$. \n\n\\medskip\n\n\nNext corollary follows from Propositions \\ref{pro:meandimension-periodic} and   \\ref{pro:shift}:\n\n\\begin{corollary}\\label{desdede}\n  Let $\\textit{\\textbf{f}}=(f,g,f,g,\\dots)$ and $\\textit{\\textbf{g}}=(g,f,g,f,\\dots)$, where $f,g:X\\to X$ are continuous maps.\n  Then\n  \\[\n   \\emph{mdim}(X,\\textit{\\textbf{f}}\\,)=\\emph{mdim}(X,\\textit{\\textbf{g}}).\n  \\]\nTherefore,  $$\\emph{mdim}(X,f\\circ g)=\\emph{mdim}(X,g\\circ f).$$\\end{corollary}\n\\begin{proof}\nIt follows directly from Proposition \\ref{pro:shift} that $\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=\\text{mdim}(X,\\textit{\\textbf{g}})$. Now, by Proposition \\ref{pro:meandimension-periodic}   we have\n\\begin{align*}\n  \\text{mdim}(X,f\\circ g)&=\\text{mdim}(X,\\textit{\\textbf{f}}^{\\,(2)})=2\\,\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=2\\,\\text{mdim}(X,\\textit{\\textbf{g}})\\\\\n  &=\\text{mdim}(X,\\textit{\\textbf{g}}^{\\,(2)})= \\text{mdim}(X,g\\circ f),\n  \\end{align*}\n  which proves the corollary.\n\\end{proof}\n\n It follows directly from Corollary \\ref{desdede} that if  $f$ and $g$  are topologically conjugate continuous maps, then\n  \\[\\text{mdim}(X,f)=\\text{mdim}(X,g),\\]\n since if $\\phi$ is a topological conjugacy between $f$ and $g$, that is, $ \\phi$ is a homeomorphism and $ \\phi \\circ f=g\\circ \\phi$, then\n \\[\\text{mdim}(X,f)=\\text{mdim}(X,\\phi^{-1}\\circ \\phi \\circ f)=\\text{mdim}(X, \\phi \\circ f\\circ \\phi^{-1})=\\text{mdim}(X,g).\\]\n\n\n\n \n\n\nFor any $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}\\in \\mathcal{C}(X)$, the \\emph{asymptotic  mean dimension} is defined by the limit \n\\begin{align*}\\label{eq:assymp1}\n\\text{mdim}(X,\\textit{\\textbf{f}}\\,)^*=\\lim_{n\\to\\infty} \\text{mdim}(X,\\sigma^n(\\textit{\\textbf{f}}\\,)).\n\\end{align*}\nIt follows from Proposition \\ref{pro:shift} that the asymptotic  mean dimension always  exists. \n\n\\begin{theorem}\\label{prop:unif-limit}\n Let $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}\\in  \\mathcal{C}(X)$. If $\\textit{\\textbf{f}}$\n  converges uniformly to a continuous map $f:X\\to X$, then\n\\[\n  \\emph{mdim}(X,\\textit{\\textbf{f}}\\,)^*\\leq \\emph{mdim}(X,f).\n  \\]\nIn particular, $\\emph{mdim}(X,\\textit{\\textbf{f}}\\,)\\leq \\emph{mdim}(X,f).$ \n\\end{theorem}\n\n\\begin{proof}\n  Let $(x_n)_{n\\in\\mathbb N}$ be a sequence of mutually different point converging to\n  a point $x_0$. Define the map $F:\\{x_n:n=0,1,\\dots\\}\\times X\\to\\{x_n:n=0,1,\\dots\\}\\times X$\n  by $F:(x,y)\\mapsto(\\phi(x),\\psi(x,y))$, where\n\\begin{align*}\n  \\phi(x_n)=\\left\\{\n         \\begin{array}{ll}\n           x_0, & \\hbox{ if }n=0 \\\\\n           x_{n+1}, & \\hbox{ if }n>0\n         \\end{array}\\;\\; \\text{ and }\\;\\;\n\\psi(x_n,y)=\\left\\{\n  \\begin{array}{ll}\n    f(y), & \\hbox{ if }n=0 \\\\\n    f_n(y), & \\hbox{ if }n>0.\n  \\end{array}\n\\right.\n       \\right.\n\\end{align*}\nNote that the non wandering set of $F$, $\\Omega(F)$, is a subset  of the fix fiber $x_0\\times X$. Since \n$$\\text{mdim}(\\{x_n:n=0,1,\\dots\\}\\times X,F)=\\text{mdim}(\\Omega(F) ,F)$$ (by \\cite[Lemma 7.2]{GTM}), we have that\n\\[\n\\text{mdim}(\\{x_n:n=0,1,\\dots\\}\\times X,F)= \\text{mdim}(\\{x_0\\}\\times X,F).\n\\]\n Therefore, $$\\text{mdim}(\\{x_m:m\\geq k\\}\\times X,F)\\leq \\text{mdim}(\\{x_0\\}\\times X,F)=\\text{mdim}(\\{x_n:n=0,1,\\dots\\}\\times X,F), $$ for all $k>0$ (see Remark \\ref{tete}, item (3)).\nNext, note that by the definition of   $F$\n we have that $$\\text{mdim}(\\{x_m:m\\geq k\\}\\times X,F)=\\text{mdim}(X,\\sigma^k(\\textit{\\textbf{f}}\\,)),\\quad \\text{ for }k>0,$$ and\n$\\text{mdim}(\\{x_0\\}\\times X,F)=\\text{mdim}(X,f)$. Hence, $\\text{mdim}( X,\\sigma^k(\\textit{\\textbf{f}}\\,))\n\\leq \\text{mdim}(X,f)$, for all $k$.\n\\end{proof}\n\nNext example proves that the inequality above can be strict. \n \n \\begin{example}\\label{egre}\nLet $\\phi: I^{\\mathbb{N}}\\rightarrow I^{\\mathbb{N}}$ be a continuous map with positive  mean dimension. For each $n\\geq 1$, set $f_{n}:I^{\\mathbb{N}}\\times I^{\\mathbb{N}}\\rightarrow I^{\\mathbb{N}}\\times I^{\\mathbb{N}}$ defined by $$f_{n}((x_{i})_{i\\in\\mathbb{N}},(y_{i})_{i\\in\\mathbb{N}})=((\\lambda_{n} x_{i})_{i\\in\\mathbb{N}},(x_{i}(\\phi(y))_{i})_{i\\in\\mathbb{N}} ),$$  where $\\lambda _{n}\\rightarrow 1$ and $\\lambda_{n} \\cdots \\lambda_{1}\\rightarrow 0$ as $n\\rightarrow \\infty$.\nNote that $f_{n}$ converges uniformly on $I^{\\mathbb{N}}\\times I^{\\mathbb{N}}$  to $f((x_{i})_{i\\in\\mathbb{N}},(y_{i})_{i\\in\\mathbb{N}})=((x_{i})_{i\\in\\mathbb{N}},(x_{i}(\\phi(y))_{i})_{i\\in\\mathbb{N}})$ as $n\\rightarrow \\infty$ and \\[ \\text{mdim}(I^{\\mathbb{N}}\\times I^{\\mathbb{N}},f)\\geq \\text{mdim}(\\{(\\dots,1,1,1,\\dots)\\}\\times I^{\\mathbb{N}},f)=\\text{mdim}(I^{\\mathbb{N}},\\phi)>0. \\]\nOn the other hand, note that $f_{k}^{n}(\\bar{x},\\bar{y})\\rightarrow (\\bar{0},\\bar{0})$ as $n\\rightarrow \\infty$ for any $(\\bar{x},\\bar{y})\\in I^{\\mathbb{N}}\\times I^{\\mathbb{N}}$ and $k\\geq 1$.  Hence $\\text{mdim}(I^{\\mathbb{N}}\\times I^{\\mathbb{N}},\\sigma^{k}( \\textit{\\textbf{f}}\\,))=0$\n for any $k\\geq 1$, where $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ and therefore  $\\text{mdim}(I^{\\mathbb{N}}\\times I^{\\mathbb{N}}, \\textit{\\textbf{f}}\\,)^{\\ast}=0$. \\end{example}\n\n\n\\section{Metric mean dimension for non-autonomous dynamical systems}\\label{section3}\nThroughout this  section,   we will fix $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}\\in  \\mathcal{C}(X)$ where $X$ is a compact metric space with metric $d$.   For any  $n\\in\\mathbb{N}$ let   $d_n:X\\times X\\to [0,\\infty)$ defined by\n$$\nd_n(x,y)=\\max\\{d(x,y),d(f_1(x),f_1(y)),\\dots,d(f_1^{(n-1)}(x),f_1^{(n-1)}(y))\\}.\n$$ \nThus $d_n$ is a metric on $X$ for all $n$ and generates the same topology induced by  $d$. Fix $\\varepsilon>0$. We say that $A\\subset X$ is an $(n,\\textit{\\textbf{f}},\\varepsilon)$-\\textit{separated} set\nif $d_n(x,y)>\\varepsilon$, for any two  distinct points  $x,y\\in A$. We denote by $\\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon)$ the maximal cardinality of an $(n,\\textit{\\textbf{f}},\\varepsilon)$-separated\nsubset of $X$.  {Given an open cover $\\alpha$ of $X$, we say that $\\alpha$ is an \n$(n,\\textit{\\textbf{f}},\\varepsilon)$-\\textit{cover} if the $d_n$-diameter of any element of $\\alpha$ is less than $\\varepsilon$.} Let $\\text{cov}(n,\\textit{\\textbf{f}},\\varepsilon)$  be the minimum number of elements in an  $(n,\\textit{\\textbf{f}},\\varepsilon)$-cover of $X$. We say that $E\\subset X$ is an $(n,\\textit{\\textbf{f}},\\varepsilon)$-\\textit{spanning} set for $X$ if \nfor any $x\\in X$ there exists $y\\in E$ such  that $d_n(x,y)<\\varepsilon$. Let $\\text{span}(n,\\textit{\\textbf{f}},\\varepsilon)$ be the minimum cardinality\nof any $(n,\\textit{\\textbf{f}},\\varepsilon)$-spanning subset of $X$.   By the compactness of $X$, $\\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon)$, $\\text{span}(n,\\textit{\\textbf{f}},\\varepsilon)$  and $\\text{cov}(n,\\textit{\\textbf{f}},\\varepsilon)$ are finite real numbers.\n\n \\begin{definition}\n  We define the \\emph{lower  metric mean dimension} of $(X,\\textit{\\textbf{f}},d)$  and the \\emph{upper metric mean dimension} of $(X,\\textit{\\textbf{f}},d)$ by\n\\begin{align*}\n \\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=\\liminf_{\\varepsilon\\to0} \\frac{\\text{sep}(\\textit{\\textbf{f}},\\varepsilon)}{|\\log \\varepsilon|}\\quad \\text{ and }\\quad\\overline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=\\limsup_{\\varepsilon\\to0} \\frac{\\text{sep}(\\textit{\\textbf{f}},\\varepsilon)}{|\\log \\varepsilon|},\n\\end{align*}\nrespectively, where $\\text{sep}(\\textit{\\textbf{f}},\\varepsilon)=\\underset{n\\to\\infty}\\limsup \\frac{1}{n}\\log \\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon)$. \\end{definition}\n\n\nIt is not difficult to see that\n$$\n\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=\\liminf_{\\varepsilon\\to0} \\frac{\\text{span}(\\textit{\\textbf{f}},\\varepsilon)}{|\\log \\varepsilon|}=\\liminf_{\\varepsilon\\to0} \\frac{\\text{cov}(X,\\varepsilon)}{|\\log \\varepsilon|},\n$$\nwhere $ \\text{span}(\\textit{\\textbf{f}},\\varepsilon)=\\underset{n\\to\\infty}\\limsup\\frac{1}{n}\\log \\text{span}(n,\\textit{\\textbf{f}},\\varepsilon)$ and  $\\text{cov}(\\textit{\\textbf{f}},\\varepsilon)=\\underset{n\\to\\infty}\\limsup\\frac{1}{n}\\log \\text{cov}(n,\\textit{\\textbf{f}},\\varepsilon).$\nThis fact holds for the upper metric mean dimension.\nWe will write $ {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)$ to refer to both  $ \\overline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)$  and $ \\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)$. \n\\medskip\n\nTopological entropy for non-autonomous dynamical systems is invariant under uniform equi\\-conjugacy (see \\cite{K-S} and \\cite{JeoCTE}). Metric mean dimension for single dynamical systems depends on the metric $d$ on $X$. Consequently, it is not an invariant under conjugacy and therefore it is not an invariant under uniformly equiconjugacy between   non-autonomous dynamical systems. Set $$\\mathcal{B}=\\{\\rho: \\rho \\text{ is a metric on }X\\text{ equivalent to }d \\}$$ and take  \n\\begin{equation}\\label{infmean}   {\\text{mdim}_M}(X, \\textit{\\textbf{f}}\\,)=\\inf_{\\rho\\in \\mathcal{B}}  {\\text{mdim}_M}(X,\\textit{\\textbf{f}},\\rho).\\end{equation}\n\nFor single maps, ${\\text{mdim}_M}(X, \\phi)$ is an  invariant under topological conjugacy. In Proposition \\ref{edee344} we will prove an analogous result for non-autonomous dynamical systems. \n\n\n\\begin{remark}\\label{nmvnrit}\nIt follows from  the definition of the topological entropy for non-autonomous dynamical systems introduced in \\cite{K-S} that \nif the topological entropy of the non-autonomous system $(X,\\textit{\\textbf{f}},d)$ is finite then its metric mean dimension is zero.\n\\end{remark}\n \n Next, we will present some examples of the  the metric mean dimension for  both  autonomous and non-autonomous dynamical systems. In Section \\ref{Section5} we will show more examples. \n \n \\medskip\n \n\nTake  $\\mathbb{K}=\\mathbb{N}$ or $ \\mathbb{Z}$.  Consider  the metric $\\tilde{d}$ on $X^{\\mathbb{K}}$ defined by \\begin{equation}\\label{mnvc}\\tilde{d}(\\bar{x},\\bar{y})= \\sum_{i\\in\\mathbb{K}}\\frac{1}{2^{|i|}}d(x_{i},y_{i}) \\quad\\text{ for }\\bar{x}=(x_{i})_{i\\in\\mathbb{K}}, \\bar{y}=(y_{i})_{i\\in\\mathbb{K}} \\in X^{\\mathbb{K}}.\\end{equation} \n \n  Take $X=[0,1]$, endowed with the metric $d(x,y)=|x-y|$ for $x,y\\in X.$ In \\cite{lind3}, Example E, is proved that  $    \\text{mdim}(X^{\\mathbb{Z}}, \\sigma, \\tilde{d}) = 1.$\nAnalogously,   we can prove that    $   \\text{mdim}(X^{\\mathbb{N}}, \\sigma, \\tilde{d}) = 1:$\n\n\\begin{lemma}\\label{bcbcbcbc}  Take $X=[0,1]$ endowed with the metric $d(x,y)=|x-y|$ for $x,y\\in X.$ Thus  $$   \\emph{mdim}(X^{\\mathbb{N}}, \\sigma, \\tilde{d}) = 1.$$ \\end{lemma}\n\\begin{proof}   Fix $\\varepsilon>0$ and take $l = \\lceil\\log(4\/\\varepsilon)\\rceil$, where $\\lceil x\\rceil =\\min\\{k\\in \\mathbb{Z}: x\\leq k\\}$. Note that $\\sum_{n>l} 2^{-n}\\leq \\varepsilon\/2$. Consider the open cover of $X$ given by \n$$I_{k}=\\left(\\frac{(k-1)\\varepsilon}{12},\\frac{(k+1)\\varepsilon}{12} \\right),\\quad\\text{for }0\\leq k\\leq \\lfloor  12\/\\varepsilon\\rfloor. $$\n  Note that $I_{k}$ has length \n$\\varepsilon\/6$. Let $n\\geq 1$. Next,  consider the following open cover  of $X^{\\mathbb{N}}$: \n$$I_{k_{1}}\\times I_{k_{2}}\\times \\cdots \\times I_{k_{n+l}}\\times X\\times X\\times\\cdots,\\quad  \\text{ where }0\\leq k_{1}, k_{2},\\dots, k_{n+l}\\leq \\lfloor  12\/\\varepsilon\\rfloor. $$ \nEach open set has diameter less than $\\varepsilon$ \n with respect to the\ndistance $\\tilde{d}_{n}$ (see \\eqref{mnvc}). Therefore  $$\\text{cov}(n,\\sigma,\\varepsilon)\\leq (1+ \\lfloor  12\/\\varepsilon\\rfloor)^{n+l}\\leq(2+12\/\\varepsilon)^{n+1 +  12\/\\varepsilon}.$$ \nHence \n$$\\text{cov}(\\sigma,\\varepsilon)=\\lim_{n\\rightarrow \\infty}\\frac{\\log\\text{cov}(n,\\sigma,\\varepsilon)}{n}\\leq \\lim_{n\\rightarrow \\infty}\\frac{(n+1 +  12\/\\varepsilon)\\log (2+12\/\\varepsilon)}{n}=\\log (2+12\/\\varepsilon).   $$ \nThus $$ \\text{mdim}(X^{\\mathbb{N}}, \\sigma, \\tilde{d}) =\\lim_{\\varepsilon \\rightarrow \\infty} \\frac{\\text{cov}(\\sigma,\\varepsilon)}{|\\log \\varepsilon|}\\leq 1. $$\n\nOn the other hand, any two distinct points in the sets \n$$ \\{(x_{i})_{i\\in\\mathbb{N}}\\in X^{\\mathbb{N}} : x_{i} \\in \\{0,\\varepsilon, 2\\varepsilon, \\dots ,\\lfloor  1\/\\varepsilon\\rfloor\\varepsilon\\} \\text{ for all }0\\leq i<n\\} $$ \nhave distance $\\geq \\varepsilon$ with respect to $d_{n}$. It follows that\n$$\\text{cov}(n,\\sigma,\\varepsilon)\\geq (1+\\lfloor  1\/\\varepsilon\\rfloor)^{n}\\geq (1\/\\varepsilon)^{n}.$$ Therefore\n$$\\text{cov}(\\sigma,\\varepsilon)\\geq \\lim_{n\\rightarrow \\infty}\\frac{\\log\\text{cov}(n,\\sigma,\\varepsilon)}{n}=|\\log \\varepsilon| .$$ \nHence  $\\text{mdim}_{M}(X^{\\mathbb{N}},\\sigma,d)=1.$\n\\end{proof}\n\n \n  {Next example proves that there exist dynamical systems on the interval with positive metric mean dimension (see also \\cite{VV}). } \n\n\\begin{example}\\label{exfagner} Take $g:[0,1]\\rightarrow [0,1]$, defined by $x\\mapsto |1-|3x-1||$, and  $0=a_{0}<a_{1}< \\cdots <a_{n}<\\cdots$, where $a_{n}=\\sum_{k=1}^{n}6\/\\pi ^{2}k^{2}$ for $n\\geq 1$. For each $n\\geq 1$, let \n $T_{n}: J_{n}:=[a_{n-1},a_{n}] \\rightarrow [0,1] $ be the unique increasing affine map from $J_{n}$ (which has length $6\/\\pi ^{2}n^{2}$)  onto $[0,1]$ and take any strictly increasing sequence of natural numbers $m_{n}$.\n Consider the continuous map  $\\phi:[0,1]\\rightarrow [0,1]$ such that, for each $n\\geq 1$, $\\phi|_{J_{n}}= T_{n}^{-1}\\circ g^{m_{n}}\\circ T_{n}$.  \n \\medskip\n \n Fix $n\\geq 1$. Note that $J_{n}$ can be divided into $3^{m_{n}}$ intervals with the same length  $J_{n}(1),\\dots,$ $  J_{n}({3^{m_{n}}})$, such that \n\\[ \\phi(J_{n}({i}))=J_{n} \\quad\\text{ for each } i\\in\\{1,\\dots ,3^{m_{n}}\\}.\\] \n\nNext, $J_{n}({i})$ can be divided into $3^{n}$ intervals with the same length  $J_{n}({i},1),\\dots,$ $  J_{n}({i},3^{n})$\nsuch that $$\\phi^{2}(J_{n}({i},s))=J_{n}\\quad \\text{for }i=1,\\dots,3^{n}\\quad\\text{ and } s=1,\\dots, 3^{n}.$$\nInductively, we can prove that for all $k\\geq 1$ and    $(i_{1},\\dots,i_{k})$, where  $i_{j}\\in \\{1,\\dots, 3^{n}\\}$,  we can divide  $J_{n}(i_{1},\\dots,i_{k})$   into $3^{n}$ intervals with the same length $J_{n}(i_{1},\\dots,i_{k},1),\\dots,$ $  J_{n}(i_{1},\\dots,i_{k},3^{n})$ such that \n$$\\phi^{k+1}(J_{n}(i_{1},\\dots,i_{k},i))=J_{n} \\quad \\text{for }i=1,\\dots,3^{n}.$$\nEach $J_{n}(i_{1},\\dots,i_{k})$ has length $|J_{n}|\/3^{kn}$ for each $k\\geq 1$. Furthermore, each $J_{n}(i_{1},\\dots,i_{k})$ has length $|J_{n}|\/3^{km_{n}}$ for each $k\\geq 1$.\n\n\\medskip\n\n Take $\\varepsilon_n= |J_{n}|\/3^{m_n}= 3\/\\pi ^{2}n^{2}3^{m_{n}}$ for each $n\\geq 1$. If $x\\in J_{n}(i_{1},\\dots,i_{k})$ and $y\\in J_{n}(j_{1},\\dots,j_{k})$ where $(i_{1},\\dots,i_{k})\\neq (j_{1},\\dots,j_{k})$ and each $i_{1},\\dots,i_{k},j_{1},\\dots,j_{k}$ is odd, then\n \\[ d_{n+k}(x,y)\\geq \\varepsilon_{n}.\\] \n For each $k\\geq1,$ there are more than $(3^{m_{n}}\/2)^{k}$ intervals $J_{n}(i_{1},\\dots,i_{k})$ with $i_{s}$ odd, $s=1,\\dots,k$. \n Hence    $\\text{sep}(n+k,\\phi, \\varepsilon_{n})\\geq (3^{m_{n}}\/2)^{k}$ and then\n$$\n\\text{sep}(\\phi,\\varepsilon_{n})\\geq \\lim_{k\\to\\infty}\\frac{\\log \\text{sep}(n+k,\\phi,\\varepsilon_{n})}{k} \\geq \\log (3^{m_{n}}\/2).$$ Therefore \n\\begin{align*}\n\\overline{\\text{mdim}_M}([0,1],\\phi,| \\cdot |)&\\geq \\lim_{n\\to\\infty}\\frac{\\log (3^{m_{n}}\/2)}{-\\log \\varepsilon_{n}}= \\lim_{n\\to\\infty}\\frac{\\log (3^{m_{n}}\/2)}{-\\log(3\/\\pi ^{2}n^{2}3^{m_{n}})}\\\\\n&= \\lim_{n\\to\\infty}\\frac{\\log (3^{m_{n}})+\\log2}{\\log(\\pi ^{2}n^{2}\/3)+\\log (3^{m_{n}})}=1,\\end{align*}\nhence $ \\overline{\\text{mdim}_M}([0,1],\\phi,|\\cdot |)\\geq1.$  We will obtain  from Proposition \\ref{erfdy}  that $ \\overline{\\text{mdim}_M}([0,1],\\phi,|\\cdot |)\\leq 1$. Therefore $  \\overline{\\text{mdim}_M}([0,1],\\phi,|\\cdot |)= 1.\n$  \\end{example}\n\nSince $\\phi(0)=0$ and $\\phi(1)=1$, the map $\\phi$ induces a continuous map on $\\mathbb{S}^{1}$ with metric mean dimension equal to 1. More generally, we have:\n  \n \\begin{proposition}\\label{jsffeke}  {Take $X=[0,1]$ or $\\mathbb{S}^{1}.$ For each $a\\in [0,1]$, there exists $\\phi_{a}\\in C^{0}(X)$ with $\\emph{mdim}_{M}(\\phi_{a})=a$.}\\end{proposition}\n \n\\begin{proof} Any constant map has metric mean dimension equal to 0. On the other hand, Example \\ref{exfagner} proves that there exist continuous maps on $X$ with metric mean dimension equal to 1.  Fix $a\\in (0,1)$ and take  $r=\\frac{1}{a}$.  Set $a_{0}=0$ and $a_{n}= \\sum_{i=1}^{n}C(3^{-ir})$ for $n\\geq 1$, where $C=1\/ \\sum_{i=1}^{\\infty}3^{-ri}=1\/(3^{r}-1)$. For each $n\\geq 1$, take $J_{n}$,   \n $T_{n}$ and $g$ as in Example \\ref{exfagner}.  \n Consider the continuous map  $\\phi_{a}:[0,1]\\rightarrow [0,1]$ such that, for each $n\\geq 1$, $\\phi_{a}|_{J_{n}}= T_{n}^{-1}\\circ g^{n}\\circ T_{n}$ (note that $\\phi_{a}(0)=0$ and $\\phi_{a}(1)=1$, consequently $\\phi_{a}$ induces a continuous map on $\\mathbb{S}^{1}$).    Fix $n\\geq 1$. Each $J_{n}$ can be divided into $3^{n}$ intervals with the same length  $J_{n}(1),\\dots,$ $  J_{n}({3^{n}})$, such that \n\\[ \\phi_{a}(J_{n}({i}))=J_{n} \\quad\\text{ for each } i\\in\\{1,\\dots ,3^{n}\\}.\\] \nNext, $J_{n}({i})$ can be divided into $3^{n}$ intervals with the same length  $J_{n}({i},1),\\dots,$ $  J_{n}({i},3^{n})$\nsuch that $$\\phi_{a}^{2}(J_{n}({i},s))=J_{n}\\quad \\text{for }i=1,\\dots,3^{n}\\quad\\text{ and } s=1,\\dots, 3^{n}.$$\nInductively, we can prove that for all $k\\geq 1$ and    $(i_{1},\\dots,i_{k})$, where  $i_{j}\\in \\{1,\\dots, 3^{n}\\}$,  we can divide  $J_{n}(i_{1},\\dots,i_{k})$   into $3^{n}$ intervals with the same length $J_{n}(i_{1},\\dots,i_{k},1),\\dots,$ $  J_{n}(i_{1},\\dots,i_{k},3^{n})$ such that \n$$\\phi_{a}^{k+1}(J_{n}(i_{1},\\dots,i_{k},i))=J_{n} \\quad \\text{for }i=1,\\dots,3^{n}.$$\nEach $J_{n}(i_{1},\\dots,i_{k})$ has length $|J_{n}|\/3^{kn}$ for each $k\\geq 1$.\n\n\\medskip\n\nTake $\\varepsilon_n= |J_{n}|= C\/3^{rn}$ for each $n\\geq 1$. Each $  J_{n}(i_{1},\\dots,i_{k})$ has $d_{k+1}$-diameter equal to  $\\varepsilon_n$. Consequently,   $\\text{cov}(k+1,\\phi_{a}, \\varepsilon_{n})\\geq 3^{{n}k}$ and then $$ \\text{cov}(\\phi_{a},\\varepsilon_{n})\\geq \\lim_{k\\to\\infty}\\frac{\\log \\text{cov}(k+1,\\phi_{a},\\varepsilon_{n})}{k+1} \\geq \\log 3^{{n}}.$$     Therefore \\begin{align*} {\\text{mdim}_M}([0,1],\\phi_{a},| \\cdot |)&\\geq \\lim_{n\\to\\infty}\\frac{\\log 3^{n}}{-\\log \\varepsilon_{n}}= \\lim_{n\\to\\infty}\\frac{\\log 3^{n}}{-\\log(C\/3^{nr})} = \\lim_{n\\to\\infty}\\frac{\\log 3^{n}}{\\log 3^{nr}}\\\\&=\\lim_{n\\to\\infty}\\frac{n\\log 3}{nr\\log3} = \\frac{1}{r}=a.\\end{align*}\n\nOn the other hand, fix $n\\geq 1 $.  Let $m\\geq n$ be such that $\\sum_{i=m}^{\\infty}C(3^{-ir})< \\varepsilon_{n}$. Therefore \\begin{equation}\\label{bdhekn3rf}\\text{cov}(\\cup_{i=m}^{\\infty}J_{i},k,\\phi_{a}, \\varepsilon_{n})=1\\quad \\text{ for any }k\\geq 1.\\end{equation}   Note that for each $k\\geq 1$ and    $(i_{1},\\dots,i_{k})$, where  $i_{j}\\in \\{1,\\dots, 3^{n}\\}$, the subintervals $J_{n}(i_{1},\\dots,i_{k})$ have diameter less than $\\varepsilon_n$ with the metric $d_{k}$ for any $k\\geq 1$.  \nConsequently, we have      \\begin{equation}\\label{bdheknrf}\\text{cov}({J}_{n},k,\\phi_{a}, \\varepsilon_{n})\\leq (3^{{n}})^{k} \\quad \\text{ for any }k\\geq 1.\\end{equation}\nFor each $i\\in\\{1,\\dots,n-1\\}$, divide each  interval $J_{i}$ into \n $(3^{n})^{k+1}\\lceil {|J_{i}|}\/{|J_{n}|}\\rceil$ subintervals with the same length, where $\\lceil x\\rceil =\\min\\{{j}\\in \\mathbb{Z}: x\\leq {j}\\}$. \nEach  subinterval  has $d_{k}$-diameter less than $\\varepsilon_{n}$, thus \\begin{equation}\\label{bdheknrf2}\\text{cov}(\\cup_{i=1}^{n-1}{J}_{i},k,\\phi_{a}, \\varepsilon_{n})\\leq \\sum_{i=1}^{n-1} (3^{{n}})^{k+1}\\lceil {|J_{i}|}\/{|J_{n}|}\\rceil.\\end{equation}\nFor  $i\\in\\{n+1,\\dots,m-1\\}$, each $J_{i}$    has $d_{k}$-diameter less than $\\varepsilon_{n}$, thus \\begin{equation}\\label{bdheknderf2}\\text{cov}(\\cup_{i=n+1}^{m-1}{J}_{i},k,\\phi_{a}, \\varepsilon_{n})\\leq m-n-1\\quad\\text{ for any }k\\geq 1.\\end{equation}\nBy \\eqref{bdhekn3rf}-\\eqref{bdheknderf2}, we have \n\\begin{align*}\\text{cov}(\\phi_{a}, \\varepsilon_{n})&\\leq \\lim_{k\\rightarrow\\infty}\\frac{\\log[1+(3^{{n}})^{k}+\\sum_{i=1}^{n-1} (3^{{n}})^{k+1}\\lceil {|J_{i}|}\/{|J_{n}|}\\rceil+ m-n-1]}{k-1}\\\\\n&\\leq  \\lim_{k\\rightarrow\\infty}\\frac{\\log[(\\sum_{i=1}^{n-1} \\lceil {|J_{i}|}\/{|J_{n}|}\\rceil+ m-n+1) (3^{{n}})^{k+1}]}{k-1}=\\lim_{k\\rightarrow\\infty}\\frac{\\log (3^{n})^{k+1}}{k-1}\\\\\n&=\\log(3^{{n}}).\\end{align*}\nHence  \n\\begin{align*}\n {\\text{mdim}_M}([0,1],\\phi_{a},| \\cdot |)&\\leq \\lim_{n\\to\\infty}\\frac{\\log (3^{{n}})}{-\\log \\varepsilon_{n}}=  \\lim_{n\\to\\infty}\\frac{\\log (3^{{n}})}{\\log(3^{{rn}})} =\\lim_{n\\to\\infty}\\frac{n\\log (3)}{(rn)\\log(3)}  =a.\\end{align*} \n Therefore $   {\\text{mdim}_M}([0,1],\\phi_{a},|\\cdot |)= a.$  \\end{proof}\n  \n\n\\begin{example}\\label{lkjhfg}\nLet $X=\\{0,1\\}^{\\mathbb N}$ with its usual metric  and consider $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$, where $f_n:\\{0,1\\}^{\\mathbb N}\\to\\{0,1\\}^{\\mathbb N}$ is given by $f_n(\\omega)=\\sigma^{2^n}(\\omega)$, for any  $n\\in\\mathbb{N}$.\nNote that $f_1^{(n)}(\\omega)=\\sigma^{2^{n+1}-2}(\\omega)$. We claim that $\\text{mdim}_{M}(X,\\textit{\\textbf{f}},d)=\\infty$. Fix $\\varepsilon>0$.  Take a  positive integer $k$\nso that $2^{-(k+1)}\\leq\\varepsilon<2^{-k}$.\n Now consider $A\\subset \\{0,1\\}^{\\mathbb N}$ a $ (2^{n+1}-2,\\varepsilon)$-separated set for the shift map $\\sigma$ of maximum cardinality and note that $A$ is\nan $(n,\\varepsilon)$-separated set for $\\textit{\\textbf{f}}$.\nTherefore,\n$  \\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon) \\geq 2^{2^{n+1}-2+k}$ and then\n\\begin{align*}\n \\frac{\\log\\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon) }{n\\log \\varepsilon}& \\geq \\frac{(2^{n+1}-2+k)\\log2}{nk}.\n\\end{align*}\nHence, by the definition of the upper metric mean dimension, we have\n$$\n {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=\\limsup_{\\varepsilon\\to0}\\limsup_{n\\to\\infty}\\frac{\\log\\text{sep}(n,\\textit{\\textbf{f}},\\varepsilon)}{n|\\log\\varepsilon|}=\\infty.\n$$\n\\end{example} \n\nIn \\cite{Zhu}, Zhu,   Liu,   Xu, and Zhang  showed that if $X$ is a  $k$-dimensional Riemannian manifold and $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ is \na sequence of $C^{1}$-maps on $X$   such that $a_{n}= \\underset{x\\in M}{\\sup}\\Vert D_{x}f_{n}\\Vert<\\infty$ for all $n\\in \\mathbb{N}$, then \n$$ h_{top}(\\textit{\\textbf{f}}\\, ) \\leq \\max\\left\\{0,  \\limsup_{n\\rightarrow \\infty}\\frac{k}{n}\\sum_{i=1}^{n-1}\\log a_{i} \\right\\}. $$\nHence, by Remark \\ref{nmvnrit}, we have: \n\\begin{proposition} If $\\limsup_{n\\rightarrow \\infty}\\frac{k}{n}\\sum_{i=1}^{n-1}\\log a_{i} <\\infty$, we have $ {\\emph{mdim}_M}(M,\\textit{\\textbf{f}},d)=0.$\\end{proposition}\n \n \n  Any  sequence of homeomorphisms on both the interval or   the circle has zero topological entropy (see \\cite{K-S}, Theorem D).   \nTherefore, the metric mean dimension of any $\\textbf{\\textit{f}}$ on both the interval or   the circle   is equal to zero.  In the next example we will see that there exist non-autonomous dynamical systems consisting of diffeomorphisms on a surface with infinite metric mean dimension.\n\n\\begin{example}\\label{hfkenrkflr} Let $\\phi:\\mathbb{T}^{2}\\rightarrow \\mathbb{T}^{2}$ be the diffeomorphism induced by a hyperbolic matrix $A$ with eigenvalue $\\lambda>1$, where $\\mathbb{T}^{2}$ is the torus endowed with the metric $d$ inherited from the plane.    Consider $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ where    $f_{n}=\\phi^{2^n} $ for each $i\\geq 1$.  We have $|\\text{Fix}(\\phi^{n})|=\\lambda^{n}+\\lambda^{-n}-2, $ where  $\\text{Fix}(\\psi)$ is the set consisting of fixed points of a continuous map $\\psi$ (see \\cite{Katok}, Proposition 1.8.1). Furthermore,  $$\\text{sep}(n,  \\textit{\\textbf{f}},1\/4)\\geq \\text{sep}(2^n,  \\phi,1\/4)\\geq \\text{Fix}(\\phi^{2^n})=\\lambda^{2^n}+\\lambda^{-2^n}-2$$\n(see \\cite{Katok}, \nChapter 3, Section 2.e). Therefore, \n$$\\lim_{n\\rightarrow \\infty}\\frac{\\text{sep}(n,  \\textit{\\textbf{f}},1\/4)}{n}\\geq \\lim_{n\\rightarrow \\infty}\\frac{\\log \\lambda^{2^n}}{n}=\\infty,$$\nand hence $\\text{mdim}_{M}(\\mathbb{T}^{2},\\textit{\\textbf{f}}, d)=\\infty$.\n\\end{example}\n \n \n  Suppose the   Hausdorff dimension of $X$ is finite. Let $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ be a non-autonomous dynamical system where each $f_{n}$ is a $C^{r}$-map on $X$.   We have that if $h_{top}(\\textit{\\textbf{f}}\\, )<\\infty$ then $  {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=0.$ Therefore, if $\\sup_{n\\in\\mathbb{N}}  L (f_{n})  <\\infty$, where $L(f_{n})$ is the Lipschitz constant of $f_{n}$, we have that $h_{top}(\\textit{\\textbf{f}}\\, )  <\\infty$ and hence $   {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=0.$ Thus if   $\\sup_{n\\in\\mathbb{N}}  L( f_{n})  <\\infty$, then $   {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=0.$ \nIn particular, if $X$ is a compact Riemannian manifold and $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ is a sequence of differentiable maps  that  $\\sup_{n\\in\\mathbb{N}}\\Vert D f_{n}\\Vert <\\infty$, where $Df_{n}$ is the derivative of $f_{n},$ we have that $h_{top}(\\textit{\\textbf{f}}\\, )  <\\infty$ and hence $   {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)=0.$ \n \n \\section{{Some fundamental properties of the metric mean dimension}}\\label{section4}\n      \n  \nIn this section we show some properties which are well-known for topological entropy and metric mean dimension for  dynamical systems.  \n In the next proposition we will consider $\\textit{\\textbf{f}}^{\\,(p)}$, which was defined in  Definition  \\ref{composision}. \n \n \\medskip\n \n It is well-known  that  $h_{top}(\\textit{\\textbf{f}}^{\\, (p)})\\leq p\\, h_{top}(\\textit{\\textbf{f}}\\, )$ and if the sequence  $(f_{n})_{n=1}^{\\infty}$ is equicontinuous, then the equality holds (see \\cite{K-S}, Lemma 4.2).  For the case of the metric mean dimension, we always have that  $\\text{mdim}_M(X,\\textit{\\textbf{f}}^{\\,(p)},d)\\leq p\\, \\text{mdim}_M(X,\\textit{\\textbf{f}},d)$.   However we will present an example where the inequality can be strict even for single continuous maps (see Remark \\ref{dgrdgrw}). \n \n \\begin{proposition}\\label{propo211}\nFor any $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}$ and  $p\\in \\mathbb N$, we have\n  $$\n  {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}^{\\,(p)},d)\\leq p\\,  {\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d).\n  $$\n  Consequently (see \\eqref{infmean}),  $$\n   {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}^{\\,(p)})\\leq p\\, {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,).\n  $$\n\\end{proposition}\n\\begin{proof}\nNote that, for any positive integer $m$, we have\n$$\\max_{0\\leq j<m}d(f_1^{(jp)}(x),f_1^{(jp)}(y))\\leq \\max_{0\\leq j<mp}d(f_1^{(j)}(x),f_1^{(j)}(y)).$$\nThus $\\mbox{span}(m,\\textit{\\textbf{f}}^{\\,(p)},\\varepsilon)\\leq \\mbox{span}(mp,\\textit{\\textbf{f}},\\varepsilon)$ and therefore \n$$\n\\text{span}(\\textit{\\textbf{f}}^{(p)},\\varepsilon)=\\limsup_{m\\to \\infty}\\frac{1}{m}\\log \\mbox{span}(m, \\textit{\\textbf{f}}^{(p)},\\varepsilon)\n                                    \\leq p\\limsup_{m\\to \\infty}\\frac{1}{mp}\\log \\mbox{span}(m ,\\textit{\\textbf{f}},\\varepsilon)=p\\ \\text{span}(\\textit{\\textbf{f}},\\varepsilon). $$ \nHence ${\\text{mdim}_M}(X,\\textit{\\textbf{f}}^{\\,(p)},d)\\leq p\\,{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d).$\n\\end{proof}\n\n\\begin{remark}\\label{dgrdgrw}\n In Example \\ref{exfagner} we  prove that there exists a continuous map $\\phi:[0,1]\\rightarrow [0,1]$ such that  $ \\underline{\\text{mdim}_M}([0,1],\\phi,d)=1$, where $d(x,y)=|x-y|$ for $x,y\\in [0,1]$.  It follows from Proposition  \\ref{erfdy} that for any $f:[0,1]\\rightarrow [0,1]$  we have \n$\\overline{\\text{mdim}_{M}}([0,1],f,d)\\leq1. $ Consequently, $\\overline{\\text{mdim}_{M}}([0,1],\\phi^{n},d)\\leq1$ for any $n\\geq 1$, which proves that the inequality  in Proposition \\ref{propo211} can be strict for autonomous systems and therefore for non-autonomous   systems.\n\\end{remark} \n  \n  \n   If $A,B\\subseteq X $ are invariant subsets  under a continuous map $\\phi$, then   $$h_{top}(\\phi)=\\max \\{ h_{top}(\\phi|_{A})  ,h_{top}(\\phi|_{B})\\}.$$ \nIt is clear this property is also valid for the metric mean dimension. \n\\begin{proposition}\\label{invariant}\n  If $A,B\\subseteq X $ are invariant subsets  under $\\phi$, then   $$\\emph{mdim}_{M}(X,\\phi,d)=\\max \\{\\emph{mdim}_{M}(X,\\phi|_{A},d)  ,\\emph{mdim}_{M}(X,\\phi|_{B},d)\\}.$$\n\\end{proposition}\n\n\nIf $A_{1}$, $A_{2}$, $\\dots$ is a sequence of invariant subsets under $\\phi$, then $$\\max_{n\\in\\mathbb{N}} \\{\\text{mdim}_{M}(X,\\phi|_{A_{n}},d) \\}\\leq \\text{mdim}_{M}(X,\\phi,d).$$ Example \\ref{exfagner} proves that the inequality can be strict (the sets $J_{1}$, $J_{2}$,  $ \\dots$ are invariant under $\\phi$, however   $\\text{mdim}_{M}(X,\\phi|_{J_{n}},d)=0$ for each $n$). \n\n\n \\medskip\n  \n  Metric mean dimension can be defined on any subset $A$ of $X$.   Kolyada  and  Snoha in \\cite{K-S}, Lemma 4.1, proved that if $X= \\cup_{i}^{n} A_{i}$, then  $$ h_{top}(\\textit{\\textbf{f}}\\,)= \\max_{i=1,\\dots,n}h_{top}(\\textit{\\textbf{f}}\\,|_{A_{i}}).$$\n  Analogously we can prove that: \n  \\begin{proposition}\n  If $X= \\cup_{i}^{n} A_{i}$, then  $$ \\emph{mdim}_{M}(X, \\textit{\\textbf{f}}\\, , d)= \\max_{i=1,\\dots,n}\\emph{mdim}_{M}(X,\\textit{\\textbf{f}}\\,|_{A_{i}},d).$$\n  \\end{proposition}\n  \n  \n \n\n\\begin{definition}\nWe say that $x\\in X$ is a \\textit{nonwandering point} for $\\textit{\\textbf{f}}$ if for every neighbourhood $U$ of $x$ there exist positive integers $k$ and $n$ with\n$f_n^{(k)}(U)\\cap U\\not=\\emptyset$. We denote by $\\Omega({\\textit{\\textbf{f}}}\\,)$ the set consisting of the nonwandering points of $\\textit{\\textbf{f}}$.\n\\end{definition} \n\n It is well-known that for any continuous map $\\phi:X\\rightarrow X$ we have $h_{top}(\\phi)=h_{top}(\\phi|_{\\Omega(\\phi)}).$ This fact  was proved  for  non-autonomous dynamical systems by Kolyada and Snoha in  \\cite{K-S}.  For mean dimension of single continuous maps this fact was proved by Gutman in \\cite{GTM},  Lemma 7.2.   For the metric mean dimension of non-autonomous dynamical systems we also have:  \n \n\n\\begin{theorem}\\label{thm:non-wond}\nWe have \n  \\[\n   {\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d)= {\\emph{mdim}_M}(\\Omega({\\textit{\\textbf{f}}\\,)},\\textit{\\textbf{f}},d).\n  \\]\n\\end{theorem}\n\n\\begin{proof}\nIt is clear that $ {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)\\geq {\\text{mdim}_M}(\\Omega({\\textit{\\textbf{f}}}\\,),\\textit{\\textbf{f}},d)$.\nFix $\\varepsilon>0$ and $n\\in\\mathbb N$. Let $\\alpha $ be an open $(n ,\\textit{\\textbf{f}},\\varepsilon)$-cover of $X$ with minimum cardinality. Take $\\beta$ a minimal finite open subcover of $\\Omega(\\textit{\\textbf{f}}\\,)$, chosen from $\\alpha$ (note that $\\beta$ is an $(n,\\textit{\\textbf{f}},\\varepsilon)$-cover of $\\Omega(\\textit{\\textbf{f}}\\,)$). By the minimality of $\\alpha$ we have that $\\beta $ is an $(n,\\textit{\\textbf{f}}, \\varepsilon)$-cover of $\\Omega(\\textit{\\textbf{f}}\\,)$  with minimum cardinality, which we denote by $ \\text{cov}(\\Omega(\\textit{\\textbf{f}}\\,),n,\\textit{\\textbf{f}}, \\varepsilon)$, i.e., $\\text{Card}(\\beta)=\\text{cov}(\\Omega(\\textit{\\textbf{f}}\\,),n,\\textit{\\textbf{f}}, \\varepsilon)$.\n\n\\medskip\n\nThe set $K=X\\backslash \\bigcup_{U\\in\\beta}U$ is compact and consists of wandering points. We can cover\n$K$ by a finite number of wandering  subsets, each of them contained in some element of  $\\alpha$. The sets defined before together\nwith $\\beta$ form a finite open cover $\\gamma(n)=\\gamma$ of $X$, finer than $\\alpha$. Consider, for each $k$, the open cover $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$\nassociated to the sequence $\\textit{\\textbf{f}}^{(n)}$. Note that each element of $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$ is of the form\n$$\nA_0\\cap (f_1^{(n)})^{-1}(A_1)\\cap (f_{1}^{(n)})\\circ (f_{n+1}^{(n)})^{-1}(A_2)\\cap\\dots\\cap(f_1^{(n)})^{-1}\\circ \\dots\\circ(f_{(k-2)n+1}^{(n)})^{-1}(A_{k-1}),\n$$\nwhere $A_i\\in\\gamma$, for $i=0\\dots,k-1$. It implies that $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$ is a $(k,\\textit{\\textbf{f}}^{(n)},\\varepsilon)$-cover of $X$. Let $A_i$ and $A_j$ be  nonempty  open sets of $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$  for\nsome $i<j$. If $A_i=A_j$, then $$(f_{(j-1)n+1}^{(n)}\\circ\\dots\\circ f_{in+1}^{(n)}) (A_i)=f_{in+1}^{(j-i)n}(A_i)$$ intersects $A_i=A_j$. In that case $A_i$ does not contain non-wandering points for $\\textit{\\textbf{f}}$ (and hence $A_i\\in \\beta$). Now we estimate the number of elements of $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$.\nSetting \\[{j:=\\text{Card} \\{A_{i}:i=0,1,\\dots k-1\\}\\quad \\text{and}\\quad  m:=\\text{Card}(\\gamma(k,\\textit{\\textbf{f}}^{(n)})\\backslash \\beta)}, \\] we have \n $0\\leq j\\leq m$.\nIn this case we have $\\binom{m}{j}$ possibilities of the choice of a $j$-element subset of $\\gamma(k,\\textit{\\textbf{f}}^{(n)})\\backslash \\beta$ and then these sets\ncan appear as various $A_i'$s in $k\\cdot(k-1)\\cdots(k-j+1)=k!\\slash(k-j)!$ ways. For the rest of $A_i'$s we can choice any element of $\\beta$.\nSo, the number of elements of $\\gamma(k,\\textit{\\textbf{f}}^{(n)})$ is bounded by\n$$\n\\sum_{j=0}^m\\binom{m}{j}\\frac{k!}{(k-j)!}\\cdot (\\text{Card}(\\beta))^{k-j}.\n$$\nSince $k!\\slash(k-j)!\\leq k^m$ and $\\binom{m}{j}\\leq m!$, this number is not larger than $(m+1)\\cdot m!\\cdot k^m\\cdot (\\text{Card}(\\beta))^{k}$.\nThus, using the fact that $\\text{cov}(k,\\textit{\\textbf{f}}^{(n)},\\varepsilon)\\leq \\text{Card}(\\gamma(k,\\textit{\\textbf{f}}^{(n)}))$, we have\n\\begin{align*}\n\\limsup_{k\\to\\infty}\\frac{1}{k}\\log \\text{cov}(k,\\textit{\\textbf{f}}^{(n)},\\varepsilon)\\leq \\limsup_{k\\to\\infty}\\frac{1}{k}\\log(m+1)\\cdot m!\\cdot k^m\\cdot (\\text{Card}(\\beta))^{k}=\\log(\\text{Card}(\\beta)).\n\\end{align*}\nAs\n\\begin{align*}\n\\limsup_{k\\to\\infty}\\frac{1}{k}\\log \\text{cov}(k,\\textit{\\textbf{f}}^{(n)},\\varepsilon)=n  \\limsup_{k\\to\\infty}\\frac{1}{k}\\log \\text{cov}(k,\\textit{\\textbf{f}},\\varepsilon),\n\\end{align*}\nit follows that\n\\begin{align*}\n\\limsup_{k\\to\\infty}\\frac{1}{k} \\log \\text{cov}(k,\\textit{\\textbf{f}},\\varepsilon)\n                                     &\\leq\\frac{1}{n} \\log \\text{cov}(\\Omega(\\textit{\\textbf{f}}\\,),n,\\textit{\\textbf{f}},\\varepsilon).\n\\end{align*}\nTaking the limsup as $n\\to\\infty$  we obtain $$\\text{cov}(\\textit{\\textbf{f}},\\varepsilon)\\leq \\limsup_{n\\rightarrow\\infty}\\frac{1}{n} \\log \\text{cov}(\\Omega(\\textit{\\textbf{f}}\\,),n,\\textit{\\textbf{f}},\\varepsilon):= \\text{cov}(\\Omega(\\textit{\\textbf{f}}\\,),\\textit{\\textbf{f}},\\varepsilon).$$ \nSo,\n\\begin{align*}\n {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)&=\\liminf_{\\varepsilon\\to0}\\frac{\\text{cov}(\\textit{\\textbf{f}},\\varepsilon)}{|\\log\\varepsilon|}\n                                         \\leq \\liminf_{\\varepsilon\\to0}\\frac{ \\text{cov}(\\Omega({\\textit{\\textbf{f}}}\\,),\\textit{\\textbf{f}},\\varepsilon)}{|\\log\\varepsilon|}\n                                         = {\\text{mdim}_M}(\\Omega(\\textit{\\textbf{f}}\\,),\\textit{\\textbf{f}},d),\n\\end{align*}\nwhich proves  the theorem.\n\\end{proof}\n\n \n \n\n \n\\begin{definition}\nA continuous map $\\psi:X\\to Y$ will be called $\\alpha$-\\textit{compatible} if it is possible to find a finite open\ncover $\\beta $ of $\\psi(X)$ such that $\\psi^{-1}(\\beta)\\succ\\alpha$.\n\\end{definition}\n\n\n\nLindenstrauss  and  Weiss in \\cite{lind}, Theorem 4.2, proved that for any metric $d$ compatible with the topology of $X$, we have \\[\n \\text{mdim}(X,\\phi)\\leq  \\underline{\\text{mdim}_M}(X,\\phi,d) \n\\] for any continuous map $\\phi:X\\rightarrow X$. These ideas work in order to show  the non-autonomous case: metric mean dimension is an upper bound for the mean dimension of non-autonomous dynamical systems. We will need the next proposition, whose proof  can be found in \\cite{lind}, Proposition 2.4. \n\\begin{proposition}\\label{alpha-comp}\nIf $\\alpha $ is an open cover of $X$, then $\\mathcal D(\\alpha)\\leq k$ if and only if\nthere exists an $\\alpha$-compatible continuous map $\\psi:X\\to K$, where $K$ has topological dimension $k$.\n\\end{proposition}\n\n \n \n\n\n\\begin{theorem}\\label{efgetrr}\nFor any metric $d$ on $X$  compatible with the topology of $X$ we have that\n\\[\n \\emph{mdim}(X,\\textit{\\textbf{f}}\\,)\\leq  \\underline{\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d).\n\\]\n\\end{theorem}\n\n\\begin{proof}\nLet $\\alpha $ be an open cover of $X$. We can assume that $\\alpha $ is of the form\n\\[\\alpha=\\{U_1,V_1\\}\\vee\\dots \\vee\\{U_\\ell,V_\\ell\\},\\]\nwhere each $\\{U_i,V_i\\}$ is  an open cover of $X$ with two elements. For each $1\\leq i\\leq \\ell$ define\n$\\omega_i:X\\to [0,1]$ by\n\\[\n\\omega_i(x)=\\frac{d(x, X\\backslash V_i)}{d(x, X\\backslash U_i)+d(x, X\\backslash V_i)}.\n\\]\nIt is not difficult to see that $\\omega_i$ is Lipschitz, $U_i=\\omega_i^{-1}([0,1))$ and $V_i=\\omega_i^{-1}((0,1])$.\n\nLet $C$ be a common bound for the Lipschitz constants of all $\\omega_i$. For each positive integer\n$N$ define $F(N,\\cdot ):X\\to[0,1]^{\\ell N}$ by\n\\[\nF(N,x)=(\\omega_1(x),\\dots, \\omega_\\ell (x),\\omega_1(f_1(x)),\\dots,\\omega_\\ell(f_1(x)),\\dots,\\omega_1(f_1^{(N)}(x)),\\dots,\\omega_\\ell(f_1^{(N)}(x))).\n\\]\nAs $U_i=\\omega_i^{-1}([0,1))$ and $V_i=\\omega_i^{-1}((0,1])$ we have that  $F(N,\\cdot)\\succ\\alpha_0^{N-1}$.\n\nNow for each $S\\subset \\{1,\\dots,\\ell N\\}$, for $x\\in X$, denote by $F(N,x)_S$ the projection of $F(N,x)$ to the coordinates of\nthe index set $S$.\n\n\\noindent \\textbf{Claim.} Let $\\varepsilon>0$ and $D=\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)$. There exists $N(\\varepsilon)>0$\nso that, for all $N>N(\\varepsilon)$ there exists $\\xi\\in (0,1)^{\\ell N}$ which satisfies\n$$\n\\xi_S\\notin F(N,X)_S,\n$$\nfor any subset $S\\subset\\{1,\\dots,\\ell N\\}$ that satisfies $|S|>(D+\\varepsilon)N$.\n\\begin{proof}\nLet $\\delta>0$ such that \\[\\delta<(2^\\ell(2C)^{2D})^{-2\\varepsilon} \\quad\\quad\\text{ and }\\quad \\quad\\frac{\\text{sep}(\\textit{\\textbf{f}},\\delta)}{\\log \\delta}=\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)+\\frac{\\varepsilon}{4}.\n\\]\nWe notice that for $N$ sufficiently large we can cover $X$ by $\\delta^{-(D+\\varepsilon\\slash2)N}$ dynamical balls\n$B(x,N,\\delta)=\\{y\\in X:d_N(x,y)<\\delta\\}$. Since $C$ is the common Lipschitz constant for all $\\omega_i$, \nwe conclude that\n\\[\nF(N,B(x,N,\\delta))\\subset\\{a\\in [0,1]^{\\ell N}:\\|F(N,x)-a\\|_\\infty<C\\delta\\},\n\\]\nwhere $\\|(a_1,\\dots,a_{\\ell N})-(b_1,\\dots,b_{\\ell N})\\|_\\infty=\\sup_i|a_i-b_i|$. This fact implies that $F(N,X)$ can\nbe covered by $\\delta^{-(D+\\varepsilon\\slash2)N}$ balls in the $\\| \\; \\cdot\\|_\\infty$ norm of radius $C\\delta$. Let\n$B(1),\\dots, B(K)$ be these balls, with $K=\\delta^{-(D+\\varepsilon\\slash2)N}$.\n\nChoose $\\xi \\in[0,1]^{\\ell N}$ with uniform probability and notice that\n\\begin{align*}\n  \\mathbb P(\\xi\\in F(N,X)_S) & \\leq\\sum_{j=1}^{K}\\mathbb{P}(\\xi\\in B(j)_S)\\leq  \\delta^{-(D+\\varepsilon\\slash2)N}(2C\\delta)^{|S|},\n\\end{align*}\nand so\n\\begin{align*}\n  \\mathbb P(\\exists S:|S|>(D+\\varepsilon)N \\text{ and }\\xi_S\\in F(N,X)_S)\n                & \\leq \\sum_{|S|>(D+\\varepsilon)N} \\mathbb{P}(\\xi_S\\in F(N,X)_S)\\\\\n                & \\leq (\\sharp \\text{ of such }S)\\delta^{-(D+\\varepsilon\\slash2)N}(2C\\delta)^{D+\\varepsilon}N \\\\\n                & \\leq 2^{\\ell N}((2C)^{2D}\\delta^{\\varepsilon\\slash2})^N\\ll1.\n\\end{align*}\nHence, with high probability, a random $\\xi$ will satisfies the requirements.\n\\end{proof}\n\n\\noindent \\textbf{Claim.} If $\\pi: F(N,X)\\to [0,1]^{\\ell N}$ satisfies for both $a=0$ and $a=1$, and all $\\xi\\in[0,1]^{\\ell N}$,\n\\[\n    \\{1\\leq k\\leq \\ell N:\\xi_k=a\\}\\subset \\{1\\leq k\\leq \\ell N:\\pi(\\xi)_S=a\\},\n\\]\nthen $\\pi\\circ F(N,X)$ is compatible with $\\alpha_0^{N-1}$.\n\n\\begin{proof}\n  Given  $\\xi\\in [0,1]^{\\ell N}$, define for $0\\leq j< N$ and $1\\leq i<\\ell$\n\\[\nW_{i,j}=\\left\\{\n         \\begin{array}{ll}\n           (f_1^{(j)})^{-1}(U_i), & \\hbox{ if }\\xi_{j\\ell+i}=0, \\\\\n           (f_1^{(j)})^{-1}(V_i), & \\hbox{ otherwise.}\n         \\end{array}\n       \\right.\n\\]\nBy the definition of $W_{i,j}$ we have that $(\\pi\\circ F(N,\\cdot))^{-1}(\\xi)\\subset \\displaystyle\\bigcap_{1\\leq i\\leq \\ell,\\\\ 0\\leq j<N}W_{i,j}\\in \\alpha_0^{N-1}$. It follows that $\\pi\\circ F(N,X)$ is compatible with $\\alpha_0^{N-1}$.\n\\end{proof}\nFor a fixed  $\\varepsilon>0$, consider $\\bar\\xi$ and $N$ as in the first Claim. Set\n\\[\n\\Phi=\\{\\xi\\in[0,1]^{\\ell N}:\\xi_k=\\bar{\\xi}_k \\text{ for more than }(D+\\varepsilon)N \\text{ indexes }k\\}.\n\\]\nThen, $F(N,X)\\subset \\Phi^C=[0,1]^{\\ell N}\\backslash \\Phi$.\n\nNow, for each $m=1,2,\\dots$, denote by $J_m$ the set\n$$\nJ_m=\\{\\xi\\in [0,1]^{\\ell N}:\\xi_i\\in\\{0,1\\} \\text{ for at least }m \\text{ indexes }1\\leq i\\leq\\ell N\\}.\n$$\n\nSince $\\bar\\xi $ is in the interior of $[0,1]^{\\ell N}$, one can define $\\pi_1:[0,1]^{\\ell N}\\backslash \\{\\bar\\xi\\}\\to J_1$\nby mapping each $\\xi$ to the intersection of the ray starting at $\\bar\\xi$ and passing through $\\xi$ and $J_1$.\nFor each of the $(\\ell N-1)$-dimensional cubes $I^t$ that comprises $J_1$ we can define a retraction on $I^t$ in a similar fashion\nusing as a center the projection of $\\bar\\xi$ on $I^t$. This will define a continuous retraction $\\pi_2$ of $\\Phi^C$ onto $J_2$.\nAs long as there is some intersection of $\\Phi$ with the cubes in $J_m$ this process can be continued, thus we finally get\na continuous projection $\\pi$ of $\\Phi^C$ onto $J_{m_0}$, a space of topological dimension equals to $m_0$, with\n$$\nm_0\\leq \\lfloor D+\\varepsilon\\rfloor N+1,\n$$\nwhere $\\lfloor x\\rfloor =\\max\\{k\\in \\mathbb{Z}: k\\leq x\\}$. \nBy construction,  $\\pi$ satisfies the hypotheses of the second claim.\n Thus $\\pi\\circ F(N,\\cdot)\\succ\\alpha_0^{N-1}$.\nMoreover, since $F(N,X)\\subset \\Phi^C$, we have   $\\pi(F(N,X))\\subset J_{m_0}$.\n\nPutting all together, we have constructed a $\\alpha_0^{N-1}$ compatible function from $X$ to a space of\ntopological dimension less or equal to $\\lfloor D+\\varepsilon\\rfloor N+1$, and so\n$$\n\\frac{D(\\alpha_0^{N-1})}{N}\\leq \\frac{\\lfloor D+\\varepsilon\\rfloor N+1}{N}.\n$$\nAs $\\varepsilon$ goes to zero we get that $\\text{mdim}(X,\\textit{\\textbf{f}}\\,)\\leq D$. \n\\end{proof}\n\n\n\n\n\n\n \n\nThe inequality in the  theorem above can be strict for single maps and therefore for non-autonomous dynamical systems. \n In \\cite{lind2}, Theorem 4.3, is proved that if a continuous map $\\phi:X\\rightarrow X$ is an extension of a minimal system, then there is a metric $ d^{\\prime}$ on $X$, equivalent to $d$, such that   $$\\text{mdim}(X,\\phi) = \\underline{\\text{mdim}_{M}}(X,\\phi, d^{\\prime}).$$\n \n\n \n\n \n   \n \n\\section{Upper bound for the metric mean dimension}\\label{Section5}\n \n As we saw in Remark \\ref{tete}, we have  $ \n\\text{mdim}(X^{\\mathbb{K}},\\sigma)\\leq \\text{dim}( X)\n$, where $\\mathbb{K}= \\mathbb{Z}$ or $\\mathbb{N}$. Furthermore,  if $X=I^{k}$, then $ \n\\text{mdim}(X^{\\mathbb{Z}},\\sigma)= k$. \n In this section we will prove that the metric mean dimension of the shift on  $X^{\\mathbb{K}}$ is  equal to the box dimension of $X$ with respect to the metric $d$, which will be defined below. This fact implies that the metric mean dimension of any continuous map $\\phi: X\\rightarrow X$ is less or equal to the box dimension of $X$ with respect to the metric $d$ (see Proposition \\ref{erfdy}). \n\n \n \\begin{definition} For $\\varepsilon>0,$  let $N(\\varepsilon)$ be the minimum number of closed balls of radious $\\varepsilon$ needed\nto cover $X$. The numbers \n$$\\overline{\\text{dim}_{B}}(X,d)=\\limsup_{\\varepsilon\\rightarrow \\infty}\\frac{\\log N(\\varepsilon)}{|\\log\\varepsilon|} \\quad \\text{and}\\quad \\underline{\\text{dim}_{B}}(X,d)=\\liminf_{\\varepsilon\\rightarrow \\infty}\\frac{\\log N(\\varepsilon)}{|\\log\\varepsilon|}$$\n are called, respectively, the  \\textit{upper Minkowski dimension} (or \\textit{upper box\ndimension}) of $X$ and the  \\textit{lower Minkowski dimension} (or \\textit{lower box\ndimension}) of $X$, with respect to $d$. \\end{definition}\n\nFor any metric space $(X,d)$ we have $$\\text{dim}(X)\\leq \\text{dim}_{H}(X,d)\\leq   \\underline{\\text{dim}_{B}}(X,d), $$\nwhere $\\text{dim}_{H}(X,d)$ is the Hausdorff dimension of $X$ with respect to $d$ (see \\cite{Kawabata}, Section II, A). If $X=[0,1]$, then $\\text{dim}(X)=\\text{dim}_{H}(X,d)=   \\underline{\\text{dim}_{B}}(X,d)=1$. However, there exist sets such that the   inequalities above can be strict, as we will see in the next  example, which also proves  that neither $\\text{dim}(X)$ nor  $\\text{dim}_{H}(X,d)$ are    upper bounds for  $ \\overline{\\text{mdim}_{M}}(X^{\\mathbb{Z}},\\sigma,\\tilde{d})$. \n \n\n\n\\begin{example}\nLet  $A = \\{0\\} \\cup \\{1\/n: n\\geq 1\\}$ endowed with the metric $d(x,y)=|x-y|$ for $x,y\\in A$. In \\cite{Kawabata}, Lemma 3.1, is proved that $\\text{dim}_{H}(A) = 0$  while $\\underline{\\text{dim}_{B}}( A ) = 1\/2.$  Furthermore, we have $$   \\underline{\\text{mdim}_{M}}(A^{\\mathbb{Z}},\\sigma,\\tilde{d})= \\underline{\\text{dim}_{B}}( A ) = 1\/2$$ (see \\cite{lind3}, Section VII). \n\\end{example}\n\n\nUsing the \\textit{Classical Variational Principle}, in \\cite{VV}, Theorem 5, the authors claim to have proven that for any $(X,d)$ \n \\begin{equation*} \\overline{\\text{mdim}_{M}}(X^{\\mathbb{Z}},\\sigma,\\tilde{d})=\\overline{\\text{dim}_{B}}(X,d) .\\end{equation*}   \n \n \nThis fact can be proved generalizing the ideas given  in  \\cite{lind3}, Example E:  \n\\begin{theorem}\\label{bcbcbcbc1} For $\\mathbb{K}=\\mathbb{Z}$ or $\\mathbb{N}$ we have    $$ \\overline{\\emph{mdim}_{M}}(X^{\\mathbb{K}}, \\sigma, \\tilde{d}) =  \\overline{\\emph{dim}_{B}} (X,d) \\quad \\quad \\text{and}\\quad \\quad \\underline{\\emph{mdim}_{M}}(X^{\\mathbb{K}}, \\sigma, \\tilde{d})= \\underline{\\emph{dim}_{B}} (X,d). $$\n\\end{theorem}\n\\begin{proof} We will prove the case $\\mathbb{K}=\\mathbb{Z}$ (the case $\\mathbb{K}=\\mathbb{N}$ can be proved analogously as in Lemma \\ref{bcbcbcbc}).   Fix $\\varepsilon>0$ and take $l$ big enough such that   $\\sum_{n>l} 2^{-n}\\text{diam} (X)\\leq \\varepsilon\/2 $. Let $m=N(\\varepsilon)$ be the minimum   number of closed $\\varepsilon$-balls $X_{1},\\dots ,X_{m}$ needed\nto cover $X$. Consider the open cover of $X^{\\mathbb{Z}}$ given by the open sets\n$$\\cdots \\times X \\times X_{k_{-l}}\\times X_{k_{-l+1}}\\times \\cdots \\times X_{k_{n+l}}\\times X\\times\\cdots,\\quad  \\text{ where }1\\leq k_{-l}, k_{-l+1},\\dots, k_{n+l}\\leq    m. $$ \nNote that each one of these open sets has diameter less than $4\\varepsilon$ \n with respect to the\ndistance $\\tilde{d}_{n}$ on $X^{\\mathbb{Z}}$. Therefore  $ \\text{cov}(n,\\sigma,4\\varepsilon)\\leq m ^{n+2l+1}$ and hence \n$$\\text{cov}(\\sigma,4\\varepsilon)=\\lim_{n\\rightarrow \\infty}\\frac{\\log\\text{cov}(n,\\sigma,4\\varepsilon)}{n}\\leq \\lim_{n\\rightarrow \\infty}\\frac{(n+2l+1)\\log (m)}{n}=\\log N(\\varepsilon),  $$ \nwhich implies that $$ \\overline{\\text{mdim}_{M}}(X^{\\mathbb{Z}}, \\sigma, \\tilde{d}) =\\limsup_{\\varepsilon \\rightarrow \\infty} \\frac{\\text{cov}(\\sigma,4\\varepsilon)}{|\\log 4\\varepsilon|}\\leq \\limsup_{\\varepsilon \\rightarrow \\infty} \\frac{\\log N(\\varepsilon)}{|\\log 4\\varepsilon|}=  \\limsup_{\\varepsilon \\rightarrow \\infty} \\frac{\\log N(\\varepsilon)}{|\\log4 + \\log \\varepsilon|}=\\overline{\\text{dim}_{B}} (X,d) $$ and\n$$ \\underline{\\text{mdim}_{M}}(X^{\\mathbb{Z}}, \\sigma, \\tilde{d}) =\\liminf_{\\varepsilon \\rightarrow \\infty} \\frac{\\text{cov}(\\sigma,4\\varepsilon)}{|\\log 4\\varepsilon|}\\leq  \\underline{\\text{dim}_{B}} (X,d), $$\n\nTo prove the converse inequality, for $\\varepsilon>0$  let  $\\{x_1,x_2,\\dots,x_{N(\\varepsilon)}\\}$ be a maximal set of  points in $X$ which are $\\varepsilon$-separated.\n For $n\\geq 1$, consider the set\n$$ \\{(y_{i})_{i\\in\\mathbb{Z}}\\in X^{\\mathbb{Z}} : y_{i} \\in \\{x_1,x_2,  \\dots ,x_{N(\\varepsilon)}\\} \\text{ for all }-l\\leq i\\leq n+l\\} $$ \nand notice that it is $(\\sigma,n,\\varepsilon)$-separated and its cardinality is bounded from below by $N(\\varepsilon)^{n+2l+1}$. So \n$$\n\\text{sep}(\\sigma,\\varepsilon)\\geq \\lim_{n\\to\\infty}\\frac{\\log N(\\varepsilon)^{n+2l+1}}{n}=\\log N(\\varepsilon),\n$$\nand it implies that $$\\underline{\\text{mdim}_{M}}(X^{\\mathbb{Z}}, \\sigma, \\tilde{d}) \\geq \\underline{\\text{dim}_{B}} (X,d),$$\nwhich proves the theorem. \n\\end{proof}\n\n\n \n Next proposition proves  the metric mean dimension of any dynamical system is bounded by the box dimension of the space (see \\cite{VV}, Remark 4).    \n \n \n \n\\begin{proposition}\\label{erfdy}  For any continuous map $\\phi:X\\rightarrow X$  we have \n$$\\overline{\\emph{mdim}_{M}}(X,\\phi,d) \\leq \\overline{\\emph{dim}_{B}} (X,d) \\quad \\text{ and }\\quad \\underline{\\emph{mdim}_{M}}(X,\\phi,d) \\leq \\underline{\\emph{dim}_{B}} (X,d) .$$  In particular, if $X=[0,1]$, then  $$\\underline{\\emph{mdim}_{M}}(X,\\phi,d)\\leq \\overline{\\emph{mdim}_{M}}(X,\\phi,d)\\leq 1.$$ \n\\end{proposition}\n\\begin{proof}\nConsider the embedding  $\\psi: X\\rightarrow X^{\\mathbb{N}}$, defined by  $x\\mapsto\\psi(x)= (x,\\phi(x),\\phi^{2}(x),\\dots)$. We have $\\sigma\\circ \\psi=\\psi \\circ \\phi$.   Therefore, $Y=\\psi(X)$ is a closed subset of  $ X^{\\mathbb{N}}$ invariant by $\\sigma$.  Take the metric $d_{\\psi}$ on $X$ defined by $ d_{\\psi}(x,y)= \\tilde{d}(\\psi(x),\\psi(y)),$  for any  $x,y\\in X.$  Clearly $d(x,y)\\leq d_{\\psi}(x,y)$ for any $x,y\\in X$, therefore any $ (n,\\phi,\\varepsilon)$-separated subset of $X$ with respect to $d$ is a $ (n,\\phi,\\varepsilon)$-separated subset of $X$ with respect to $d_{\\psi}$. Hence $$\\overline{\\text{mdim}_{M}}(X,\\phi,d)\\leq  \\overline{\\text{mdim}_{M}}(X,\\phi,d_{\\psi}) =\\overline{\\text{mdim}_{M}}(Y,\\sigma|_{Y},\\tilde{d})\\leq \\overline{\\text{mdim}_{M}}(X^{\\mathbb{N}},\\sigma,\\tilde{d}) \\leq \\overline{\\text{dim}_{B}} (X,d) $$\nand, analogously, $ \\underline{\\text{mdim}_{M}}(X,\\phi,d)\\leq   \\underline{\\text{dim}_{B}} (X,d). $\n\\end{proof}\n \n Example \\ref{exfagner} proves that there exist dynamical systems $\\phi:X\\rightarrow X$ such that  $$\\overline{\\text{mdim}_M}(X,\\phi,d)=\\overline{\\text{dim}_{B}} (X,d)\\quad \\text{ and }\\quad \\underline{\\text{mdim}_M}(X,\\phi,d)=\\underline{\\text{dim}_{B}} (X,d).$$\n \n \n  \\medskip\n\n We can consider the \\emph{asymptotic metric mean dimension} as the   limit\n\\begin{align*}\\label{eq:assymp}\n {\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)^*=\\limsup_{i\\to\\infty}{\\text{mdim}_M}(X,\\sigma^i(\\textit{\\textbf{f}}\\,),d).\n\\end{align*}\n   \n  \n\\begin{theorem}\\label{maintheoremE} If $\\textit{\\textbf{f}}=(f_n)_{n=1}^{\\infty}$   converges uniformly to a continuous map $f:X\\to X$, then, for any $k\\geq 1$, \n\\begin{equation}\\label{tergss}  {\\emph{mdim}_M}(X,\\sigma^{k}(\\textit{\\textbf{f}}\\,),d)\\leq  {\\emph{mdim}_M}(X,f,d).\n  \\end{equation}\n  Consequently,  \\[ {\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d)^*\\leq  {\\emph{mdim}_M}(X,f,d). \\]\n\\end{theorem}\n\\begin{proof}\nSee the proof of  Theorem \\ref{prop:unif-limit} and use Theorem \\ref{thm:non-wond}. \n\\end{proof}\n\nWe can prove, as in Example \\ref{egre}, that the  inequality above  can be strict. \n\n\n\\medskip\n\n Theorem \\ref{maintheoremE} and Proposition \\ref{erfdy} imply  that: \n\\begin{corollary}\\label{efrrttt}  \n If  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$\n  converges uniformly to a continuous map on $X$, then \\begin{equation*}  \\overline{\\emph{mdim}_M}(X, \\textit{\\textbf{f}},d)\\leq\\overline{\\emph{dim}_{B}} (X,d)\\quad\\text{and}\\quad \\underline{\\emph{mdim}_M}(X, \\textit{\\textbf{f}},d)\\leq\\underline{\\emph{dim}_{B}} (X,d).\n  \\end{equation*}  and therefore  \\[\\overline{\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d)^*\\leq\\overline{\\emph{dim}_{B}} (X,d) \\quad \\text{and}\\quad \\underline{\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d)^*\\leq\\underline{\\emph{dim}_{B}} (X,d) . \\]  In particular, if $X=[0,1],$ then $\\overline{\\emph{mdim}_M}(X,\\textit{\\textbf{f}},d)^*\\leq 1$. \\end{corollary}\n \n \n\n  Example \\ref{lkjhfg}  proves that the box dimension is not an upper bound for the metric mean dimension of  sequences that are not convergent. Next example shows the inequality  in  Corollary \\ref{efrrttt}   can be strict. \n \n \n \n\\begin{example} For each $n\\geq 1,$ take $m_{n}=n$ and\n$$\nf_n(x)= \\begin{cases}\n    \\phi(x), &  \\text{ if }x\\in[0,a_{n+1}], \\\\\n    a_{n+1}, & \\hbox{ if }x\\in [a_{n+1},1],\n      \\end{cases}\n$$ where $ \\phi$ is the map  in Example \\ref{exfagner}.  \nThus $f_n$ converges uniformly to $\\phi$ as $n\\rightarrow \\infty$. In \\cite{K-S}, Figure 3, is proved that the topological entropy $h_{top}((f_{n+k})_{n=1}^{\\infty})=k\\log 3$ for each $k\\geq1$. Hence, $ \\overline{\\text{mdim}_M}([0,1],(f_{n+k})_{n=1}^{\\infty},|\\cdot |)=0$ and therefore $$ \\overline{\\text{mdim}_M}([0,1],(f_{n})_{n=1}^{\\infty},|\\cdot |)^{\\ast}=0< \\overline{\\text{mdim}_M}([0,1],\\phi,|\\cdot |)=1.$$ \n\\end{example}\n\n  \n\n \\begin{example}  \nThe sequence\n$$\ng_n(x)= \\begin{cases}\n    \\phi(x), &  \\text{ if }x\\in[0,a_{n+1}], \\\\\n    x, & \\hbox{ if }x\\in [a_{n+1},1].\n      \\end{cases}\n$$\n  converges uniformly to $\\phi$ as $n\\rightarrow \\infty$, where $ \\phi$ is the map  in Example \\ref{exfagner}. Note that $g_{1}^{(n+k)}|J_{n}=\\phi^{k}|_{J_{n}},$ for $n\\geq 1,k\\geq1$ (see Example \\ref{exfagner}).  Hence $$\\text{sep}(2n+k,(g_{i})_{i=1}^{\\infty}, \\varepsilon_{n})\\geq (3^{m_{n}}\/2)^{k},\\quad\\text{ and then }\\quad \\text{sep}((g_{i})_{i=1}^{\\infty},\\varepsilon_{n}) \\geq \\log (3^{m_{n}}\/2).$$ Therefore $\n\\overline{\\text{mdim}_M}([0,1],(g_{i})_{i=1}^{\\infty},| \\cdot |)\\geq 1.$ By \\eqref{tergss} we obtain that   $ \\overline{\\text{mdim}_M}([0,1],(g_{i})_{i=1}^{\\infty},|\\cdot |)= 1$.   Note that $ \\overline{\\text{mdim}_M}([0,1],g_{i},|\\cdot |)= 0$ for any $i\\geq1$. \\end{example}\n\n   \n\n\n\n\n\n\n  \n  \n\n\\section{Uniform equiconjugacy and metric mean dimension}\\label{section6}\n\n   We say that  the systems  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ on $(X,d)$ and $\\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty}$ on $(Y,d^{\\prime})$\nare \\textit{uniformly equiconjugate} if there exists a equicontinuous sequence of  homeomorphisms $h_n: X\\to Y$ so that\n$h_{n+1}\\circ f_n=g_n\\circ h_n$, for all $n\\in \\mathbb N$,  that is, the following diagram\n\\[ \\begin{CD}\n    X @>f_1>> X@>f_2>>\\dots @>f_n>>X\\\\\n    @VVh_{1} V      @VV h_{2} V      @.     @VVh_{n+1}V\\\\\n   Y @>g_1>> Y@>g_2 >>\\dots @>g_n>>Y\n  \\end{CD}\n\\]\nis commutative for  all $n\\in \\mathbb N$. \nIn the case where $h_n=h$, for all $n\\in\\mathbb N$, we say that\n$ \\textit{\\textbf{f}}$ and $\\textit{\\textbf{g}}$ are \\textit{uniformly conjugate}.\n\n\\medskip\n\n Note that the notion of uniform equiconjugacy does not depend on the metric on $X$ and $Y$. Indeed,  if $d^{\\ast}$   and $d^{\\star}$ are another  metrics on $X$ and $Y$, respectively, then $(X,\\textit{\\textbf{f}}, d)$ and $(X,\\textit{\\textbf{f}}, d^{\\ast})$ are uniformly equiconjugate by the sequence $(I_{X})_{n=1}^{\\infty}$   and  $(Y,\\textit{\\textbf{g}}, d')$ and $(Y,\\textit{\\textbf{g}}, d^{\\star})$ are uniformly equiconjugate by the sequence $(I_{Y})_{n=1}^{\\infty}$. Hence, if  $(X,\\textit{\\textbf{f}}, d)$ and $(Y,\\textit{\\textbf{g}}, d')$ are uniformly equiconjugate by the sequence $(h_{n})_{n=1}^{\\infty}$, then $(X,\\textit{\\textbf{f}}, d^{\\ast})$ and $(Y,\\textit{\\textbf{g}}, d^{\\star})$ are uniformly equiconjugate by the sequence $(I_{Y}\\circ h_{n}\\circ I_{X})_{n=1}^{\\infty}$.\n\n  \n\n\n\\begin{theorem}\\label{edee344}\n Let $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ and $\\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty}$ be two non-autonomous dynamical systems defined on the  metric spaces $(X,d)$ and $(Y,d^{\\prime})$ respectively.\n\\begin{enumerate}[(i)]\n\\item  If $\\textit{\\textbf{f}}$ and $\\textit{\\textbf{g}}$ are uniformly conjugate then\n\\begin{align*}\n\\emph{mdim}(X,\\textit{\\textbf{f}}\\,)&=\\emph{mdim}(X,\\textit{\\textbf{g}}).\n\\end{align*}\n\\item If $(X,\\textit{\\textbf{f}}\\,)$ and $(Y,\\textit{\\textbf{g}})$ are uniformly equiconjugate by a sequence of homeomorphisms $(h_n)_{n=1}^{\\infty}$ that satisfies $\\inf_n \\{d(h^{-1}_n(y_1),h_n^{-1}(y_2))\\}>0$  for any   $y_1,y_2\\in Y$, then (see \\eqref{infmean})\n\\begin{equation*}\n {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,)\\geq  {\\emph{mdim}_M}(Y,\\textit{\\textbf{g}}).\n\\end{equation*}\n\\item  If $(X,\\textit{\\textbf{f}}\\,)$ and $(Y,\\textit{\\textbf{g}})$ are uniformly equiconjugate by a sequence of homeomorphisms $(h_n)_{n=1}^{\\infty}$ that satisfies $\\inf_n \\{ d^{\\prime}(h_n(x_1),h_n(x_2))\\}>0$  for any $x_1,x_2\\in X$, then\n\\begin{equation*}\n {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,)\\leq  {\\emph{mdim}_M}(Y,\\textit{\\textbf{g}}).\n\\end{equation*}\n\\item  If $(X,\\textit{\\textbf{f}}\\,)$ and $(Y,\\textit{\\textbf{g}})$ are uniformly equiconjugate by a sequence of homeomorphisms $(h_n)_{n=1}^{\\infty}$ that satisfies $\\inf_n \\{d(h^{-1}_n(y_1),h_n^{-1}(y_2)), d^{\\prime}(h_n(x_1),h_n(x_2))\\}>0$  for any $y_{1},y_{2}\\in Y$ and  $x_1,x_2\\in X$, then\n\\begin{equation*}\n {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,)=  {\\emph{mdim}_M}(Y,\\textit{\\textbf{g}}).\n\\end{equation*}\n\\end{enumerate}\n\\end{theorem}\n\\begin{proof}\n (i) Let $h: X\\to Y$ be a homeomorphism which conjugates  $\\textit{\\textbf{f}}$ and $\\textit{\\textbf{g}}$, i.e.,\n$h\\circ f_1^{(n)}=g_1^{(n)}\\circ h$ for all $n\\in \\mathbb N$. For an open cover $\\alpha$\nof $X$, consider $\\beta=h(\\alpha)$, which is an  open cover of $Y$. Now we notice that\n\\begin{align*}\n  \\beta_0^{n-1} & =h(\\alpha) \\vee g_1^{-1 }(h(\\alpha))\\vee\\dots\\vee (g_1^{(n-1)})^{-1}(h(\\alpha)) \\\\\n                & =h(\\alpha)\\vee (h\\circ f_1^{-1}\\circ h^{-1})(h(\\alpha))\\vee \\dots \\vee (h\\circ (f_1^{(n-1)})^{-1}\\circ h^{-1})(h(\\alpha))\\\\\n                & =h(\\alpha_0^{n-1}).\n\\end{align*}\nIt implies that $\\mathcal{D}(h(\\alpha_0^{n-1}))=\\mathcal{D}(\\alpha_0^{n-1})$. Since, for any open cover $\\beta$ of $Y$\nis of the form $h(\\alpha)$, for some open cover $\\alpha$ of $X$,\n\\[\\text{mdim}(X,\\textit{\\textbf{f}}\\,)=\\sup_{\\alpha}\\lim_{n\\to\\infty}\\frac{\\mathcal{D}(\\alpha_0^{n-1})}{n}=\\sup_{\\beta}\\lim_{n\\to\\infty}\\frac{\\mathcal{D}(\\beta_0^{n-1})}{n}=\\text{mdim}(Y,\\textit{\\textbf{g}}).\n\\]\n\n\\noindent (ii) \nLet $(h_n)_{n=1}^{\\infty}$ be the sequence of equicontinuous homeomorphisms that equiconjugates $\\textit{\\textbf{f}}$ and $\\textit{\\textbf{g}}$. So,\n$$f_n\\circ\\dots\\circ f_1=h_{n+1}^{-1}\\circ g_n\\circ\\dots\\circ g_1\\circ h_1.$$\nBy assumption we have\n\\begin{equation*}\n \\inf_n \\{d(h^{-1}_n(y_1),h_n^{-1}(y_2))\\}>0, \\text{ for any } y_1\\not=y_2\\in Y.\n\\end{equation*}\n Hence, we can define on $Y$   the metric \n\\begin{align*}\nd^\\star(y_1,y_2):=\\inf_n\\{ d(h_{n}^{-1}(y_1),h_{n}^{-1}(y_2))\\}.\n\\end{align*}\nIn particular, if $S\\subset X$ is a $(m,\\textit{\\textbf{f}} ,\\varepsilon)$-spanning set of $X$ in the metric $d$ and $x_1,x_2\\in S$, then\n\\begin{align*}\nd_m^\\star(h_1(x_1),h_1(x_2))&=\\max\\{d^{\\star}(h_1(x_1),h_1(x_2)),\\dots,d^{\\star}\n(g_1^{m-1}(h_1(x_1)),g_1^{m-1}(h_1(x_2)))\\} \\\\\n     &\\leq \\max\\{d(x_1,x_2), d(h_2^{-1}(g_1(h_1(x_1))),h_2^{-1}(g_1(h_1(x_2)))),\\\\\n            &\\quad \\quad \\dots,d(h_{m+1}^{-1}(g_1^{m-1}(h_1(x_1))),h_{m+1}^{-1}(g_1^{m-1}(h_1(x_2))))\\}\\\\\n                            &=d_m(x_1,x_2)\\leq \\varepsilon.\n\\end{align*}\nIt follows that $h_1(S)$ is an $(m, \\textit{\\textbf{g}} ,\\varepsilon)$-spanning set of $Y$ in the metric $d^{\\star}$. So we obtain that\n$$ \n {\\text{mdim}_M}(X,\\textit{\\textbf{f}}, d)\\geq   {\\text{mdim}_M}(Y,\\textit{\\textbf{g}}, d^{\\star}) , \n$$ and therefore $\n {\\text{mdim}_M}(X,\\textit{\\textbf{f}}\\,)\\geq   {\\text{mdim}_M}(Y,\\textit{\\textbf{g}}). \n$\n\nBy an analogous argument we can prove (iii).  Item (iv) follows from (ii) and (iii). \n\\end{proof}\n\n Clearly the theorem implies that if  $\\phi:X\\rightarrow X$ and $\\psi: X\\rightarrow X$ are topologically conjugate continuous maps, then      $$\n {\\text{mdim}_M}(X,\\phi)=  {\\text{mdim}_M}(X,\\psi), \n$$ which is a well-known fact.\n\n\n\\medskip\n\nThe next corollaries  follow from  Theorem \\ref{edee344}.\n\n\\begin{corollary}\\label{newe} If $f_{1},\\dots,f_{i},g_{1},\\dots,g_{i}$ are homeomorphisms, $ \\textit{\\textbf{f}}=(f_{1},  \\dots, f_{i}, f_{i+1}, f_{i+2}, \\dots)$ and $ \\textit{\\textbf{g}}=(g_{1},\\dots, g_{i}, f_{i+1}, f_{i+2}, \\dots)$, then \\[ {\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,)={\\emph{mdim}_M}(Y,\\textit{\\textbf{g}}). \\]\n\\end{corollary}\n\\begin{proof} Note that the following diagram is commutative\n\\[\n \\begin{CD}\n    X @>f_1>> X@>f_i>>\\dots X @>f_{i}>> X @>f_{i+1}>>X @>f_{i+2}>>X \\\\\n    @V{h_{1}}VV      @VV{h_{2}}V     @VV{h_{i}}V  @VV{Id_{X}}V    @VV{Id_{X}}V     @VV {Id_{X}}V\\\\\n   X @>g_1>> X@>g_i>>\\dots  X @>g_{i}>>X @>f_{i+1}>>X @>f_{i+2}>>X\n  \\end{CD}\n\\]\nwhere $I_{X}$ is the identity of $X$ and $h_{i}=g_{i}^{-1}\\circ f_{i}$, $h_{i-1}=g_{i-1}^{-1}\\circ h_{i}\\circ f_{i-1}$, \\dots, $h_{1}=g_{1}^{-1}h_{2}f_{1}$.  Furthermore, $(h_{1}, h_{2}, \\dots, h_{i}, I_{X}, I_{X} ,\\dots )$ is an equicontinuous sequence of homeomorphisms. Therefore, $\\textit{\\textbf{f}}$ and $\\textit{\\textbf{g}}$ are uniformly equiconjugate. The corollary follows from Theorem \\ref{edee344}, since the infimum $\\inf_n \\{d(h^{-1}_n(y_1),h_n^{-1}(y_2)),d(h_n(x_1),h_n(x_2))\\}>0$ is taken over a finite set.\n\\end{proof}\n\n \n\nNext corollary    means that if $\\textit{\\textbf{f}}$ is a sequence of homeomorphisms then  the metric mean dimension  is independent on the firsts elements in the sequence $\\textit{\\textbf{f}}.$\n\n\n\\begin{corollary}\\label{corolarioigualdad}  Let $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ be a non-autonomous dynamical system consisting of homeomorphisms. For any $i,  j\\in \\mathbb{N}$ we have  $$ {\\emph{mdim}_M}(X,\\sigma^i(\\textit{\\textbf{f}}\\,))=   {\\emph{mdim}_M}(X,\\sigma^j(\\textit{\\textbf{f}}\\,)).$$\n\\end{corollary}\n\\begin{proof} It is sufficient to prove that $ {\\text{mdim}_M}(X,\\sigma^i(\\textit{\\textbf{f}}\\,))=   {\\text{mdim}_M}(X,\\textit{\\textbf{f}}\\,)$ for all $i\\in\\mathbb{N}$. Fix $i\\in\\mathbb{N}$.  Take     $\\textit{\\textbf{g}}=(g_{n})_{n\\in \\mathbb{N}}$, where, for each $n\\leq i$,   $g_{n}=I$ is the identity on $X$  and $g_{n}=f_{n}$ for $n>i$.   It follows from Corollary \\ref{newe} that $$ {\\text{mdim}_M}(X, \\textit{\\textbf{f}}\\,)=   {\\text{mdim}_M}(X, \\textit{\\textbf{g}}).$$ For each $x,y\\in X$ and $n> i$  we have \\begin{align*}\\max \\{d(x,y),\\dots , d(g_{1}^{(i-1)}(x), &g_{1}^{(i-1)}(y)), \\dots, d(g_{1}^{(n-1)}(x), g_{1}^{(n-1)}(y)) \\}\\\\\n&= \\max \\{d(x,y), d(g_{i}(x), g_{i}(y)), \\dots, d(g_{i}^{(n-i)}(x), g_{i}^{(n-i)}(y)) \\}\n\\\\\n&= \\max \\{d(x,y), d(f_{i}(x), f_{i}(y)), \\dots, d(f_{i}^{(n-i)}(x), f_{i}^{(n-i)}(y)) \\}.\n\\end{align*}\n Hence $$ {\\text{mdim}_M}(X,\\textit{\\textbf{f}}\\,)= {\\text{mdim}_M}(X,\\textit{\\textbf{g}})=   {\\text{mdim}_M}(X,\\sigma^i(\\textit{\\textbf{f}}\\,)),$$ which proves the corollary.\n\\end{proof}\n\n\n\n \n \nNext corollary follows from  Corollary \\ref{corolarioigualdad} and Proposition \\ref{propo211} (see the proof of Corollary \\ref{desdede}). \n\\begin{corollary}  For any homeomorphisms  $f$ and $g$ defined on $X$, we have  $$ {\\emph{mdim}_M}(X,f\\circ g)=   {\\emph{mdim}_M}(X,g\\circ f).$$ \n\\end{corollary}\n  \n\n  \n\n\n\n\n\n\n\\section{On the  continuity of the metric mean dimension}\\label{section7}\n\nIn this section we will show some   results related to the continuity of the metric mean dimension of sequences of diffeomorphisms defined on a manifold.  For any $r\\geq 0,$ set  \n\\[ \\mathcal{C}^{r}(X)=\\{ (f_{n})_{n=1}^{\\infty}: f_{n}:X\\rightarrow X \\text{ is a }C^{r}\\text{-map}\\}=\\prod_{i=1} ^{+\\infty}  \\text{C}^{r}(X) ,\\]\nwhere $\\text{C}^{r}(X)=\\{\\phi:X\\rightarrow X: \\phi\\text{ is a }C^{r}\\text{-map}\\}\\footnote{If $r\\geq 1$ we assume that $X$ is a Riemannian manifold}.$ \nHence $ \\mathcal{C}^{r}(X)$ can be endowed with the \\textit{product topology}, which   is generated by the sets\n\\[ \\mathcal{U}=\\prod_{i=1} ^{j}  \\text{C}^{r}(X)\\times \\prod_{i=j+1}^{j+m}U_{i} \\times \\prod_{i>j+m} ^{+\\infty}  \\text{C}^{r}(X), \\]\nwhere $U_{i}$ is an open subset of $\\text{C}^{r}(X)$, for $j+1\\leq i\\leq j+m,$ for some  $j,m\\in \\mathbb{N}$.\nThe space $\\mathcal{C}^{r}(X)$ with the product topology will be denoted by $(\\mathcal{C}^{r}(X),\\tau_{prod}).$ We can consider the map \n\\begin{align*}\n    \\underline{\\text{mdim}_{M}}:(\\mathcal{C}^{r}(X),\\tau_{prod})&\\rightarrow \\mathbb{R}\\cup \\{+\\infty\\}\\\\\n    \\textit{\\textbf{f}} &\\to  \\underline{\\text{mdim}_{M}}(\\textit{\\textbf{f}},X). \n\\end{align*}\n\nClearly, if $ \\underline{\\text{mdim}_{M}}$ is a constant map, then is continuous.\n\n\\begin{proposition}  If $\\underline{\\emph{mdim}_{M}}:(\\mathcal{C}^{r}(X),\\tau_{prod})\\rightarrow \\mathbb{R}\\cup \\{+\\infty\\}$ is not constant then is discontinuous at any $\\textit{\\textbf{f}}\\in \\mathcal{C}^{r}(X)$.\n\\end{proposition}\n\\begin{proof} Fix $ \\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}\\in \\mathcal{C}^{r}(X)$.   Since $\\underline{\\text{mdim}_{M}}$  is not constant, there exists  $ \\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty}\\in   \\mathcal{C}^{r}(X) $ such that\n$\\underline{\\text{mdim}_{M}}(X,\\textit{\\textbf{g}})\\neq \\underline{\\text{mdim}_{M}}(X,\\textit{\\textbf{f}}\\,).$ Let $\\mathcal{V}\\in \\tau_{prod}$ be any open neighborhood of $\\textit{\\textbf{f}}$. For some $k\\in \\mathbb{N}$, the sequence  $\\textit{\\textbf{j}}=(j_{n})_{n=1}^{\\infty}$, defined by\n\\begin{equation*}j_{n}=\n\\begin{cases}\n  f_{n} & \\mbox{if }   n=1,\\dots, k \\\\\n  g_{n} & \\mbox{if } n>k , \\\\\n        \\end{cases}\n\\end{equation*}\nbelongs to $\\mathcal{V}$, by definition of $\\tau_{prod}$. It is follow from Corollary \\ref{newe} that $ \\underline{\\text{mdim}_{M}}(X,\\textit{\\textbf{j}})= \\underline{\\text{mdim}_{M}}(X,\\textit{\\textbf{g}}).$\nwhich proves the proposition.\n\\end{proof}\n\n\n  \n\nLet $d^{1}(\\cdot,\\cdot)$ be a $C^{1}$-metric on $\\text{C}^{1}(X)$. Suppose that $\\sup_{n\\in\\mathbb{N}}\\Vert D f_{n}\\Vert <\\infty$. For any $K>0$, if $d^{1}(g_{n},f_{n})<K$, then $\\sup_{n\\in\\mathbb{N}}\\Vert D g_{n}\\Vert <\\infty$ and therefore $  \\underline{\\text{mdim}_M}(X,\\textit{\\textbf{g}},d)=0.$ On the other hand, if $\\sup_{n\\in\\mathbb{N}}\\Vert D f_{n}\\Vert =\\infty$, then $  \\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}},d)$ is not necessarily zero. \n\n\n\\medskip\n\nIn \\cite{JeoCTE}, Section 6,  is proved that: \n \\begin{proposition}\\label{escolhari} If  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty} $ is a sequence of $C^{1}$-diffeomorphisms, there exists a sequence of positive numbers $(\\delta_{n})_{n=1}^{\\infty}$   such that every sequence of diffeomorphisms  $\\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty}$ with  \\(d^{1}(f_{n},g_{n})<\\delta_{n}\\) for each $n\\geq 1,$\n is uniformly equiconjugate to $\\textit{\\textbf{f}}$ by a sequence $(h_{n})_{n=1}^{\\infty}$ such that $h_{n}\\rightarrow I_{X}$ as $n\\rightarrow \\infty$.\n \\end{proposition}\n  \n Note that, if $h_{n}\\rightarrow I_{X}$ as $n\\rightarrow \\infty$, then for any $x_{1}\\neq x_{2}\\in X$ and $y_{1}\\neq y_{2}\\in Y$ we have $\\inf_n \\{d(h^{-1}_{n}(y_1),h_{n}^{-1}(y_2)),d(h_{n}(x_1),h_{n}(x_2))\\}>0$. Hence, it follows from Theorems \\ref{edee344} and Proposition  \\ref{escolhari} that\n\\begin{corollary}\\label{esded} Given  a sequence of diffeomorphisms  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$, there exists a sequence of positive numbers $(\\delta_{n})_{n=1}^{\\infty}$   such that if $\\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty} $ is a sequence of diffeomorphisms such that   \\(d^{1} (f_{n},g_{n})<\\delta_{n}\\) for each $n\\geq 1,$  then \\begin{equation*}\n\\underline{\\emph{mdim}_M}(X,\\textit{\\textbf{g}})=\\underline{\\emph{mdim}_M}(X,\\textit{\\textbf{f}}\\,).\n\\end{equation*}\n\\end{corollary}\n\n\nRoughly, Corollary \\ref{esded} means that if $d ^{1}(f_{n},g_{n}) $ converges very quickly to zero as $n\\rightarrow \\infty$, then  \\begin{equation*}\n\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}}\\, )=\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{g}}).\n\\end{equation*}\n\n  For each sequence of diffeomorphisms  $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ and a sequence of positive numbers   $ \\varepsilon=(\\varepsilon_{n})_{n=1}^{\\infty}$, a  \\textit{strong basic neighborhood} of $\\textit{\\textbf{f}}$ is the set \\[ B^{r}(\\textit{\\textbf{f}},\\varepsilon)=  \\left\\{\\textit{\\textbf{g}}=(g_{n})_{n=1}^{\\infty}:  g_{n} \\text{ is a }C^{r}\\text{-diffeomorphism and }  d  (f_{n},g_{n}) <\\varepsilon_{n},\\text{ for all  }  n\\in\\mathbb{N}\\right\\}. \\]\n The  \\textit{strong topology} (or \\textit{Whitney topology}) on $\\mathcal{C}^{r}(X)$ is generated by the strong basic neighborhoods  of each $\\textit{\\textbf{f}}\\in \\mathcal{C}^{r}(X)$. The space $\\mathcal{C}^{r}(X)$ with the strong topology will be denoted by $(\\mathcal{C}^{r}(X),\\tau_{str}).$\n \n \n\\begin{corollary}\\label{teoprinc} For    $r\\geq 1$, let  $\\mathcal{D}^{r}(X)\\subseteq \\mathcal{C}^{r}(X)$ be the set consisting of diffeomorphisms.   Then \n\\[\\underline{\\emph{mdim}_M}:(\\mathcal{D}^{r}(X),\\tau_{str})\\rightarrow \\mathbb{R}\\cup \\{+\\infty\\}   \\]\nis a continuous map. \n\\end{corollary}\n\\begin{proof} Let $\\textit{\\textbf{f}}\\in \\mathcal{D}^{r}(X)$. If follows from  Theorem \\ref{escolhari}  that there exists a strong basic neighborhood $B ^{r}(\\textit{\\textbf{f}}, (\\delta_{n})_{n=1}^{\\infty})$ such that  every  $\\textit{\\textbf{g}}\\in B ^{r}(\\textit{\\textbf{f}}, (\\delta_{n})_{n=1}^{\\infty})$ is   uniformly equiconjugate to $\\textit{\\textbf{f}}$. Thus, from  Proposition \\ref{edee344} we have $\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{g}})=\\underline{\\text{mdim}_M}(X,\\textit{\\textbf{f}}\\,)$   for all $\\textit{\\textbf{g}}\\in B^{r}(\\textit{\\textbf{f}}, (\\delta_{n})_{n=1}^{\\infty})$, which proves the corollary.\n\\end{proof}\n\n  \n   \n A real valued function $\\varphi : X \\rightarrow \\mathbb{R}\\cup \\{\\infty\\}$ is called \\textit{lower} (respectively \\textit{upper})  \\textit{semi-continuous on a point} $x\\in X$ if $$\\liminf_{y\\rightarrow x}\\varphi (y)\\geq \\varphi (x)\\quad  (\\text{repectively } \\limsup_{y\\rightarrow x}\\varphi (y)\\leq \\varphi (x) ).    $$    $\\varphi  $ is called \\textit{lower} (respectively \\textit{upper})  \\textit{semi-continuous} if is  lower (respectively  {upper})  {semi-continuous on any point} of $ X$. \n \n \n  \n \n\\begin{remark} From now on, we will consider   $\\tilde{X}=[0,1]$ or $\\mathbb{S}^1$. \\end{remark}\n\nMisiurewicz in \\cite{Misiurewicz}, Corollary 1, proved that $h_{top}: C^{0}([0,1])\\rightarrow \\mathbb{R}\\cup \\{\\infty\\}$ is lower semi-continuous. For the case of the metric mean dimension we have:  \n \n \\begin{proposition}\\label{hfjdjehr}  $\\emph{mdim}_{M}:C^{0}(\\tilde{X})\\rightarrow \\mathbb{R}$ is nor lower neither upper  semi-continuous on maps with metric mean dimension in $(0,1)$. Furthermore,   \n $\\emph{mdim}_{M}:C^{0}(\\tilde{X})\\rightarrow \\mathbb{R}$ is not  lower   semi-continuous on maps with metric mean dimension in $(0,1]$ and is not  upper   semi-continuous on maps with metric mean dimension in $[0,1)$. \n \\end{proposition}\n \\begin{proof}\n Let $\\varphi$ be a continuous map on $\\tilde{X}$.  If $\\text{mdim}_{M}(\\varphi)=1$, we can    approximate $\\varphi$ by a continuous map with zero metric mean dimension (take a sequence of $C^{1}$-maps converging to $\\varphi$). Next, suppose that $\\text{mdim}_{M}(\\varphi)=0$. Firstly, take $\\tilde{X}=[0,1]$. Fix  $\\varepsilon >0$.  \n  Let $p^{\\ast}$ be a fixed point of $\\varphi$.   Choose  $\\delta>0$ such that $d(\\varphi(x),\\varphi (p^{\\ast}))<\\varepsilon\/2$ for any $x$ with $d(x,p^{\\ast})<\\delta$.  Let $\\phi $ and $T_{2} $ be as in   Example \\ref{exfagner}, with $J_{1}=[0,p^{\\ast}]$, $J_{2}=[p^{\\ast},p^{\\ast}+\\delta\/2]$, $J_{3}=[p^{\\ast}+\\delta\/2,p^{\\ast}+\\delta] $ and $J_{4}=[p^{\\ast}+\\delta,1]$. Take the continuous map $\\psi$ on $[0,1]$ defined as $$\n\\psi(x)= \\begin{cases}\n    \\varphi(x), &  \\text{ if }x\\in J_{1}\\cup J_{4}, \\\\\n   T_{2}^{-1}\\phi T_{2}(x), &  \\text{ if }x\\in J_{2}, \\\\\n    \\psi_{1}(x), &  \\text{ if }x\\in J_{3}, \n      \\end{cases}\n$$ where $ \\psi_{1}$ is the  affine map on $J_{3}$ such that $ \\psi_{1}(p^{\\ast}+\\delta\/2)=(p^{\\ast}+\\delta\/2)$  and $ \\psi_{1}(p^{\\ast}+\\delta)=\\varphi(p^{\\ast}+\\delta).$ Note that $d(\\psi,\\varphi)<\\varepsilon.$ It follows from Proposition \\ref{invariant} that  $$\\text{mdim}_{M}(\\tilde{X},\\psi,|\\cdot |)=\\max \\{\\text{mdim}_{M}(\\tilde{X},\\psi|_{J_{1}\\cup J_{3}\\cup J_{4}},|\\cdot |)  ,\\text{mdim}_{M}(\\tilde{X},\\psi|_{J_{2}},|\\cdot |)\\}= 1,$$ \nsince $\\text{mdim}_{M}(\\tilde{X},\\psi|_{J_{1}\\cup J_{3}\\cup J_{4}},|\\cdot |)\\leq \\text{mdim}_{M}(\\tilde{X},\\varphi,|\\cdot |) =0$.\nAnalogously we can prove that any $\\varphi\\in C^{0}([0,1])$ with metric mean dimension  in $(0,1)$ can be approximated by both a continuous map with metric mean dimension equal to 1 and a continuous map with metric mean dimension equal to 0. These facts prove the proposition for $\\tilde{X}=[0,1]$.  For $\\tilde{X}=\\mathbb{S}^{1}$, we can approximate any $\\varphi\\in C^{0}(\\mathbb{S}^{1})$ by a map $\\varphi^{\\ast}$ with periodic points. We can prove analogously  that $\\varphi^{\\ast}$ can be approximate by a continuous map on $\\mathbb{S}^{1}$ with metric mean dimension equal to 0 or equal to 1, which proves the proposition for $\\tilde{X}=\\mathbb{S}^{1}$. \n \\end{proof}\n   \n \nNext, Kolyada and Snoha in \\cite{K-S}, Theorem F, showed that  $h_{top}:\\mathcal{C}([0,1])\\rightarrow \\mathbb{R}\\cup\\{\\infty\\}$ is not lower semi-continuous, endowing  $\\mathcal{C}([0,1])$   with the metric $$D((f_{n})_{n=1}^{\\infty},(g_{n})_{n=1}^{\\infty})=\\sup_{n\\in\\mathbb{N}}\\max_{x\\in [0,1]}|f_{n}(x)-g_{n}(x)|.$$ Furthermore, they proved in Theorem G that $h_{top}:\\mathcal{C}([0,1])\\rightarrow \\mathbb{R}\\cup\\{\\infty\\}$ is  lower semi-continuous on any constant sequence $(\\phi, \\phi,\\dots)\\in \\mathcal{C}(\\tilde{X})$.\nHowever, It follows from Proposition \\ref{hfjdjehr} that:\n \n \\begin{corollary}   $\\emph{mdim}_{M}:\\mathcal{C}(\\tilde{X})\\rightarrow \\mathbb{R}$ is nor lower neither upper  semi-continuous on any constant sequence $(\\phi, \\phi,\\dots)\\in \\mathcal{C}(\\tilde{X})$. Consequently, $\\emph{mdim}_{M}:\\mathcal{C}(\\tilde{X})\\rightarrow \\mathbb{R}\\cup\\{\\infty\\}$ is nor lower neither upper  semi-continuous.  \n \\end{corollary} \n \n  Take $\\textbf{\\textit{f}}=(f_{n})_{n=1}^{\\infty}$ on $\\tilde{X}$ defined by $f_{n} =\\psi^{2^{n}}$ for each $n\\in\\mathbb{N}$, where $\\psi$ is the map from Example \\ref{exfagner}. We have  $\\text{mdim}_{M}(\\tilde{X},\\textbf{\\textit{f}},|\\cdot|)=\\infty$ (see Example \\ref{hfkenrkflr}). Thus  there exist non-autonomous dynamical systems on $\\tilde{X}$ with infinite metric mean dimension. Consequently $\\text{mdim}_{M}:\\mathcal{C}(\\tilde{X})\\rightarrow \\mathbb{R}\\cup \\{\\infty\\}$ is unbounded. \n\n\\medskip\n \n \n We finish this work with the next result:\n \\begin{theorem}\\label{bnfuefnf}\n$\\emph{mdim}_{M}:\\mathcal{C}(\\tilde{X})\\rightarrow \\mathbb{R}\\cup\\{\\infty\\}$ is not lower semi-continuous on any non-autonomous dynamical system  with non-zero metric mean dimension.  \n\\end{theorem}  \n\\begin{proof}\nLet $\\textit{\\textbf{f}}=(f_{n})_{n=1}^{\\infty}$ be a non-autonomous dynamical system with positive metric mean dimension. Let $\\lambda_{m}$ be a sequence in $[0,1]$ such that $\\lambda_{m}\\rightarrow 1$ and $\\lambda_{m}\\cdots \\lambda_{1}\\rightarrow 0$ as $m\\rightarrow \\infty$. Take $\\textbf{\\textit{g}}_{m}=(\\lambda_{m+n}f_{n})_{n=1}^{\\infty}$. Thus $\\textbf{\\textit{g}}_{m}\\rightarrow \\textbf{\\textit{f}}$ as $m\\rightarrow \\infty$. However, for any $x\\in \\tilde{X}$, $({g}_{m})^{(k)}(x)\\rightarrow 0$ as $k\\rightarrow \\infty$. Consequently, the metric mean dimension of $\\textbf{\\textit{g}}_{m}$ is zero for each $m\\in \\mathbb{N}$. \n\\end{proof}\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nLet $G=(V,E)$ be an undirected graph. All graphs considered in this paper are\nassumed to be finite and simple. The \\emph{closed neighborhood} $N_{G}\\left[\nv\\right]  $ of a vertex $v\\in V$ is the set consisting of $v$ and all its\nneighbor vertices in $G$. For any subset $W\\subseteq V$, we denote by\n$N_{G}\\left[  W\\right]  $ the \\emph{closed neighborhood} of $W$ in $G$, that is%\n\n\\[\nN_{G}\\left[  W\\right]  =\\bigcup\\limits_{v\\in W}N_{G}\\left[  v\\right]  .\n\\]\n\n\nIf the graph is clear from the context, then we write $N\\left[  v\\right]  $\nand $N\\left[  W\\right]  $ instead of $N_{G}\\left[  W\\right]  $ and\n$N_{G}\\left[  v\\right]  $, respectively. A \\emph{dominating set} of $G$ is a\nvertex subset $W\\subseteq V$ such that $N\\left[  W\\right]  =V$. Let\n$W\\subseteq V$ be a given vertex subset of the graph $G=(V,E)$. We denote by\n$\\partial(W)$ the set of all edges of $G$ that have exactly one of their end\nvertices in $W$, that is%\n\n\\[\n\\partial(W)=\\left\\{  \\left\\{  u,v\\right\\}  \\in E\\mid u\\in W,v\\in V\\setminus\nW\\right\\}  .\n\\]\n\n\nThe edges of $\\partial(W)$ link vertices of $W$ with vertices of $V\\setminus\nW$. Whether a given set $W$ is a dominating set of $G$ depends neither on\nedges lying completely inside $W$ nor on edges that have no end vertex in $W$,\nwhich gives the following statement.\n\n\\begin{proposition}\n\\label{prop_delta}Let $G=(V,E)$ be a graph, $W\\subseteq V$, and $F\\subseteq E\n$. Then $W$ is a dominating set of $\\left(  V,F\\right)  $ if and only $W$ is\ndominating in $\\left(  V,F\\cap\\partial(W)\\right)  $, i.e.%\n\n\\[\nN_{\\left(  V,F\\right)  }\\left[  W\\right]  =V\\ \\Longleftrightarrow\\ N_{\\left(\nV,F\\cap\\partial(W)\\right)  }\\left[  W\\right]  =V.\n\\]\n\n\\end{proposition}\n\n\\begin{definition}\nLet $G=(V,E)$ be an undirected graph and $d_{k}(G)$ the number of dominating\nsets of cardinality $k$ in $G$ for $k=0,...,n=\\left\\vert V\\right\\vert $. The\n\\emph{domination polynomial of }$G$ is%\n\n\\[\nD(G,x)=\\sum_{k=0}^{n}d_{k}(G)x^{k}.\n\\]\n\n\\end{definition}\n\nWe denote by $d(G)$ the number of dominating sets of $G$. Consequently, we\nfind $d(G)=D(G,1)$.\n\nThe domination polynomial of a graph has been introduced by Arocha and Llano\nin \\cite{Arocha}. More recently it has been investigated with respect to\nspecial graphs, zeros, and applications in network reliability, see\n\\cite{AAOP,AP,AP2,AAP,DT}.\n\nThe domination polynomial can also be represented as a sum over vertex subsets\nof $G$,%\n\\[\nD(G,x)=\\sum_{\\substack{U\\subseteq V \\\\N\\left[  U\\right]  =V}}x^{\\left\\vert\nU\\right\\vert }.\n\\]\n\n\nThe domination polynomial is multiplicative with respect to components, see\n\\cite{Arocha}. Let $G_{1},...,G_{k}$ be the components of a given graph $G$,\nthen%\n\\begin{equation}\nD(G,x)=%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\nD(G_{i},x). \\label{product}%\n\\end{equation}\n\n\n\\section{Spanning Subgraphs}\n\nIn this section, we provide a representation of the domination polynomial as a\nsum ranging over all bipartite spanning subgraphs of a graph.\n\n\\subsection{Connected Bipartite Graphs}\n\nAlternating sums of domination polynomials of spanning subgraphs of a given\ngraph yield a particularly simple result in case of connected bipartite graphs.\n\n\\begin{lemma}\n\\label{Lemma_bipart}Let $G=(V,E)$ be a connected bipartite graph with\nbipartition $V=Y\\cup Z$, $Y\\neq\\emptyset$, $Z\\neq\\emptyset$. Then%\n\\[\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)  =(-1)^{\\left\\vert Y\\right\\vert }x^{\\left\\vert Z\\right\\vert\n}+(-1)^{\\left\\vert Z\\right\\vert }x^{\\left\\vert Y\\right\\vert }.\n\\]\n\n\\end{lemma}\n\n\\begin{proof}\nLet $W$ be a dominating set of $G$; then we can distinguish three cases, namely%\n\n\\begin{align*}\n\\text{(a)}  &  W\\cap Y\\neq\\emptyset\\text{ and }W\\cap Z\\neq\\emptyset,\\\\\n\\text{(b)}  &  W=Y,\\\\\n\\text{(c)}  &  W=Z.\n\\end{align*}\n\n\nWe decompose the sum according to the above given cases:%\n\n\\begin{align}\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)   &  =\\sum_{F\\subseteq E}\\sum_{\\substack{W\\subseteq V \\\\N_{\\left(\nV,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert\n}x^{\\left\\vert W\\right\\vert }\\nonumber\\\\\n&  =\\sum_{W\\subseteq V}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F\\subseteq\nE \\\\N_{\\left(  V,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert\nF\\right\\vert }\\nonumber\\\\\n&  =\\sum_{\\substack{W\\subseteq V \\\\W\\cap Y\\neq\\emptyset\\\\W\\cap Z\\neq\\emptyset\n}}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F\\subseteq E \\\\N_{\\left(\nV,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert }%\n\\tag{a}\\label{sum1}\\\\\n&  +x^{\\left\\vert Y\\right\\vert }\\sum_{\\substack{F\\subseteq E \\\\N_{\\left(\nV,F\\right)  }\\left[  Y\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert }%\n\\tag{b}\\label{sum2}\\\\\n&  +x^{\\left\\vert Z\\right\\vert }\\sum_{\\substack{F\\subseteq E \\\\N_{\\left(\nV,F\\right)  }\\left[  Z\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert }.\n\\tag{c}\\label{sum3}%\n\\end{align}\n\n\nWe show that the Sum (\\ref{sum1}) vanishes. According to Proposition\n\\ref{prop_delta}, a set $W$ is dominating in $(V,F)$ if and only if $W$ is a\ndominating set of $(V,F\\cap\\partial(W))$. The evaluation of the Sum\n(\\ref{sum1}) yields%\n\n\\begin{align*}\n\\sum_{\\substack{W\\subseteq V \\\\W\\cap Y\\neq\\emptyset\\\\W\\cap Z\\neq\\emptyset\n}}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F\\subseteq E \\\\N_{\\left(\nV,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert }  &\n=\\sum_{\\substack{W\\subseteq V \\\\W\\cap Y\\neq\\emptyset\\\\W\\cap Z\\neq\\emptyset\n}}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F_{1}\\subseteq E\\cap\\partial(W)\n\\\\F_{2}\\subseteq E\\setminus\\partial(W) \\\\N_{\\left(  V,F_{1}\\right)  }\\left[\nW\\right]  =V}}(-1)^{\\left\\vert F_{1}\\cup F_{2}\\right\\vert }\\\\\n&  =\\sum_{\\substack{W\\subseteq V \\\\W\\cap Y\\neq\\emptyset\\\\W\\cap Z\\neq\\emptyset\n}}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F_{1}\\subseteq E\\cap\\partial(W)\n\\\\N_{\\left(  V,F_{1}\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert\nF_{1}\\right\\vert }\\sum_{F_{2}\\subseteq E\\setminus\\partial(W)}(-1)^{\\left\\vert\nF_{2}\\right\\vert }.\n\\end{align*}\n\n\nNow assume that $E\\setminus\\partial(W)=\\emptyset$. Let $y\\in Y\\cap W$ and\n$z\\in Z\\cap W$. Then there does not exist a path between $y$ and $z$ in $G$.\nThis contradicts the assumed connectedness of $G$; hence $E\\setminus\n\\partial(W)\\neq\\emptyset$, which gives%\n\\[\n\\sum_{F_{2}\\subseteq E\\setminus\\partial(W)}(-1)^{\\left\\vert F_{2}\\right\\vert\n}=(1-1)^{\\left\\vert E\\setminus\\partial(W)\\right\\vert }=0.\n\\]\nNow we turn to the Sum (\\ref{sum2}),%\n\\[\n\\sum_{\\substack{F\\subseteq E\\\\N_{\\left(  V,F\\right)  }\\left[  Y\\right]\n=V}}(-1)^{\\left\\vert F\\right\\vert }.\n\\]\nAn edge subset $F\\subseteq E$ satisfies the property \\textquotedblleft$Y$ is\ndominating in $\\left(  V,F\\right)  $\\textquotedblright\\ if and only if $F$\ncontains at least one edge from each vertex of $Z$. We denote the vertices of\n$Z$ by $v_{1},...,v_{k}$. For each $i$, $i=1,...,k$, let $E_{i}$ be the set of\nedges of $G$ that are incident to $v_{i}$. We define%\n\\[\n\\mathcal{F}=\\left\\{  A\\subseteq E\\mid\\forall i=1,...,k:\\left\\vert E_{i}\\cap\nA\\right\\vert \\geq1\\right\\}  .\n\\]\nNow the Sum (\\ref{sum2}) can be expressed as follows,%\n\\begin{align*}\n\\sum_{\\substack{F\\subseteq E\\\\N_{\\left(  V,F\\right)  }\\left[  Y\\right]\n=V}}(-1)^{\\left\\vert F\\right\\vert }  &  =\\sum_{F\\in\\mathcal{F}}%\n(-1)^{\\left\\vert F\\right\\vert }\\\\\n&  =\\sum_{\\substack{F_{1}\\cup F_{2}\\cup...\\cup F_{k}\\in\\mathcal{F}\\\\\\forall\ni=1,...,k:F_{i}\\subseteq E_{i}}}(-1)^{\\left\\vert F_{1}\\cup F_{2}\\cup...\\cup\nF_{k}\\right\\vert }\\\\\n&  =\\sum_{\\forall i=1,...,k:\\emptyset\\neq F_{i}\\subseteq E_{i}}%\n(-1)^{\\left\\vert F_{1}\\right\\vert +\\left\\vert F_{2}\\right\\vert +...+\\left\\vert\nF_{k}\\right\\vert }\\\\\n&  =\\sum_{\\substack{F_{1}\\subseteq E_{1}\\\\F_{1}\\neq\\emptyset}}(-1)^{\\left\\vert\nF_{1}\\right\\vert }\\sum_{\\substack{F_{2}\\subseteq E_{2}\\\\F_{2}\\neq\\emptyset\n}}(-1)^{\\left\\vert F_{2}\\right\\vert }\\cdot\\cdot\\cdot\\sum_{\\substack{F_{k}%\n\\subseteq E_{k}\\\\F_{k}\\neq\\emptyset}}(-1)^{\\left\\vert F_{k}\\right\\vert }\\\\\n&  =(-1)^{k}=(-1)^{\\left\\vert Z\\right\\vert },\n\\end{align*}\nwhich yields%\n\\[\nx^{\\left\\vert Y\\right\\vert }\\sum_{\\substack{F\\subseteq E\\\\N_{\\left(\nV,F\\right)  }\\left[  Y\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert\n}=(-1)^{\\left\\vert Z\\right\\vert }x^{\\left\\vert Y\\right\\vert }.\n\\]\nIn the same vein, we can prove that the sum (c) satisfies%\n\\[\nx^{\\left\\vert Z\\right\\vert }\\sum_{\\substack{F\\subseteq E\\\\N_{\\left(\nV,F\\right)  }\\left[  Z\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert\n}=(-1)^{\\left\\vert Y\\right\\vert }x^{\\left\\vert Z\\right\\vert }%\n\\]\nand the statement follows.\n\\end{proof}\n\n\\subsection{General Bipartite Graphs}\n\n\\begin{lemma}\n\\label{lemma_bipart2}Let $G=(V,E)$ be a bipartite graph with bipartition\n$V=Y\\cup Z$. Assume that $G$ consists of $k+l$ components such that the $k$\ncomponents $G_{1}=(V_{1},E_{1}),...,G_{k}=(V_{k},E_{k})$ have nonempty edge\nsets and the remaining $l$ components are isomorphic to $K_{1}$. Then\n\\[\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)  =x^{l}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n\\left[  (-1)^{\\left\\vert Y\\cap V_{i}\\right\\vert }x^{\\left\\vert Z\\cap\nV_{i}\\right\\vert }+(-1)^{\\left\\vert Z\\cap V_{i}\\right\\vert }x^{\\left\\vert\nY\\cap V_{i}\\right\\vert }\\right]  .\n\\]\n\n\\end{lemma}\n\n\\begin{proof}\nFor the one-vertex graph $K_{1}=\\left(  \\left\\{  v\\right\\}  ,\\emptyset\\right)\n$, we obtain%\n\\[\n\\sum_{F\\subseteq\\emptyset}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(\n\\left\\{  v\\right\\}  ,F\\right)  ,x\\right)  =x.\n\\]\nBy Equation (\\ref{product}), we obtain%\n\\begin{align*}\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)   &  =\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }x^{l}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\nD\\left(  \\left(  V_{i},F\\cap E_{i}\\right)  ,x\\right) \\\\\n&  =x^{l}\\sum_{F\\subseteq E}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n(-1)^{\\left\\vert F\\cap E_{i}\\right\\vert }D\\left(  \\left(  V_{i},F\\cap\nE_{i}\\right)  ,x\\right) \\\\\n&  =x^{l}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n\\sum_{F\\subseteq E_{i}}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(\nV_{i},F\\right)  ,x\\right) \\\\\n&  =x^{l}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n\\left[  (-1)^{\\left\\vert Y\\cap V_{i}\\right\\vert }x^{\\left\\vert Z\\cap\nV_{i}\\right\\vert }+(-1)^{\\left\\vert Z\\cap V_{i}\\right\\vert }x^{\\left\\vert\nY\\cap V_{i}\\right\\vert }\\right]  ,\n\\end{align*}\nwhere the last equality is valid due to Lemma \\ref{Lemma_bipart}.\n\\end{proof}\n\nObserve that $(-1)^{\\left\\vert Y\\right\\vert }x^{\\left\\vert Z\\right\\vert\n}+(-1)^{\\left\\vert Z\\right\\vert }x^{\\left\\vert Y\\right\\vert }\\neq0$ for any\nbipartition $V=Y\\cup Z$, which shows together with Lemma \\ref{lemma_bipart2}\nthat\n\\[\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)  \\neq0\n\\]\nfor any bipartite graph $G=(V,E)$. Moreover, we have the following statement.\n\n\\begin{theorem}\n\\label{theo_main}Let $G=(V,E)$ be a graph. Then%\n\\[\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)  \\neq0\n\\]\nif and only if $G$ is bipartite.\n\\end{theorem}\n\n\\begin{proof}\nIt remains to show that the sum vanishes for non-bipartite graphs. Using\nProposition \\ref{prop_delta}, we obtain\n\\begin{align*}\n\\sum_{F\\subseteq E}(-1)^{\\left\\vert F\\right\\vert }D\\left(  \\left(  V,F\\right)\n,x\\right)   &  =\\sum_{F\\subseteq E}\\sum_{\\substack{W\\subseteq V \\\\N_{\\left(\nV,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert F\\right\\vert\n}x^{\\left\\vert W\\right\\vert }\\\\\n&  =\\sum_{W\\subseteq V}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F\\subseteq\nE \\\\N_{\\left(  V,F\\right)  }\\left[  W\\right]  =V}}(-1)^{\\left\\vert\nF\\right\\vert }\\\\\n&  =\\sum_{W\\subseteq V}x^{\\left\\vert W\\right\\vert }\\sum_{\\substack{F_{1}%\n\\subseteq\\partial(W) \\\\N_{\\left(  V,F_{1}\\right)  }\\left[  W\\right]  =V\n}}(-1)^{\\left\\vert F_{1}\\right\\vert }\\sum_{F_{2}\\subseteq E\\setminus\n\\partial(W)}(-1)^{\\left\\vert F_{2}\\right\\vert }.\n\\end{align*}\nSince $G$ is not a bipartite graph, the set $F_{2}$ is nonempty, which yields%\n\\[\n\\sum_{F_{2}\\subseteq E\\setminus\\partial(W)}(-1)^{\\left\\vert F_{2}\\right\\vert\n}=0\n\\]\nand hence the statement of the theorem.\n\\end{proof}\n\nThere is also a \\textquotedblleft local version\\textquotedblright\\ for one\ndirection of Theorem \\ref{theo_main}, which can be proved by the same method.\n\n\\begin{theorem}\nLet $G=(V,E)$ be a graph and $A\\subseteq E$ an edge subset such that $\\left(\nV,A\\right)  $ contains an odd cycle. Then%\n\\[\n\\sum_{F\\subseteq A}(-1)^{\\left\\vert F\\right\\vert }D\\left(  G-F,x\\right)  =0.\n\\]\n\n\\end{theorem}\n\n\\subsection{Applications of Spanning Subgraph Expansions}\n\nLet $G=(V,E)$ be a given graph. We define for any edge subset $F$ of $G$,%\n\\[\nh(F)=\\sum_{A\\subseteq F}(-1)^{\\left\\vert A\\right\\vert }D\\left(  \\left(\nV,A\\right)  ,x\\right)  .\n\\]\nM\\\"{o}bius inversion yields%\n\\[\nD\\left(  \\left(  V,F\\right)  ,x\\right)  =\\sum_{A\\subseteq F}(-1)^{\\left\\vert\nA\\right\\vert }h(A).\n\\]\nAccording to Lemma \\ref{Lemma_bipart}, Lemma \\ref{lemma_bipart2}, and Theorem\n\\ref{theo_main}, we define%\n\\begin{equation}\nh(F)=\\left\\{\n\\begin{array}\n[c]{l}%\nx^{l}%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n(-1)^{\\left\\vert E_{i}\\right\\vert }\\left[  (-1)^{\\left\\vert Y\\cap\nV_{i}\\right\\vert }x^{\\left\\vert Z\\cap V_{i}\\right\\vert }+(-1)^{\\left\\vert\nZ\\cap V_{i}\\right\\vert }x^{\\left\\vert Y\\cap V_{i}\\right\\vert }\\right]  \\text{,\nif }\\left(  V,F\\right)  \\text{ is bipartite,}\\\\\n0\\text{ otherwise.}%\n\\end{array}\n\\right.  \\label{h-function}%\n\\end{equation}\nHere the notations are as in Lemma \\ref{lemma_bipart2}. We can now conclude\nthat the domination polynomial of a graph $G=(V,E)$ is a sum of $h$-function\nvalues of spanning bipartite subgraphs, i.e.%\n\\begin{equation}\nD\\left(  G,x\\right)  =\\sum_{\\substack{B\\subseteq E\\\\\\left(  V,B\\right)  \\text{\nis bipartite}}}h(B). \\label{h-sum}%\n\\end{equation}\nThe number of dominating sets of $G=(V,E)$ is $D(G,1)$. In order to derive\nthis number from Equation (\\ref{h-sum}), we define $h_{1}$ by substituting\n$x=1$ in $h$, that is%\n\\[\nh_{1}(F)=%\n{\\displaystyle\\prod\\limits_{i=1}^{k}}\n(-1)^{\\left\\vert E_{i}\\right\\vert }\\left[  (-1)^{\\left\\vert Y\\cap\nV_{i}\\right\\vert }+(-1)^{\\left\\vert Z\\cap V_{i}\\right\\vert }\\right]  .\n\\]\nObserve that $h_{1}(\\emptyset)=1$ and $h_{1}(F)\\equiv0$ $(\\operatorname{mod}%\n2)$ for $F\\neq\\emptyset$, which gives the following statement.\n\n\\begin{corollary}\n\\label{coro_odd}For any graph $G$, the number of dominating sets of $G$ is odd.\n\\end{corollary}\n\nFor alternative proofs of this corollary, see \\cite{Brouwer}.\n\n\\begin{remark}\nIn almost the same manner, by substituting $x=-1$ in $h$, we can prove that\n$D(G,-1)$ is odd. Moreover, from the Equations (\\ref{h-function}) and\n(\\ref{h-sum}), we obtain%\n\\[\nD(G,-1)=(-1)^{\\left\\vert V\\right\\vert }\\sum_{\\substack{F\\subseteq\nE\\\\(V,F)\\text{ is bipartite}}}(-1)^{\\left\\vert F\\right\\vert }2^{c(F)},\n\\]\nwhere $c(F)$ denotes here the number of components of $\\left(  V,F\\right)  $\nthat have at least one edge.\n\\end{remark}\n\n\\section{Vertex Induced Subgraphs}\n\nLet $G=(V,E)$ be a graph and $W\\subseteq V$. We denote by $G\\left[  W\\right]\n$ the \\emph{vertex induced subgraph} of $G$:\n\\[\nG\\left[  W\\right]  =\\left(  W,\\left\\{  \\left\\{  u,v\\right\\}  \\in E\\mid u\\in\nW\\text{ and }v\\in W\\right\\}  \\right)  .\n\\]\n\n\n\\begin{theorem}\n\\label{theo_vertex_sum}Any connected graph $G=(V,E)$ satisfies%\n\\[\n\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }D\\left(  G\\left[  W\\right]\n,x\\right)  =1+\\left(  -x\\right)  ^{\\left\\vert V\\right\\vert }.\n\\]\n\n\\end{theorem}\n\n\\begin{proof}\nBy switching the order of summation, we have%\n\\begin{align*}\n\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }D\\left(  G\\left[  W\\right]\n,x\\right)   &  =\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }%\n\\sum_{\\substack{T\\subseteq W\\\\N_{G\\left[  W\\right]  }\\left[  T\\right]\n=W}}x^{\\left\\vert T\\right\\vert }\\\\\n&  =\\sum_{T\\subseteq V}x^{\\left\\vert T\\right\\vert }\\sum_{\\substack{W\\supseteq\nT\\\\N_{G\\left[  W\\right]  }\\left[  T\\right]  =W}}(-1)^{\\left\\vert W\\right\\vert\n}\\\\\n&  =\\sum_{T\\subseteq V}x^{\\left\\vert T\\right\\vert }\\sum_{W:T\\subseteq\nW\\subseteq N_{G\\left[  W\\right]  }\\left[  T\\right]  }(-1)^{\\left\\vert\nW\\right\\vert }\\\\\n&  =\\sum_{T\\subseteq V}x^{\\left\\vert T\\right\\vert }\\sum_{W:T\\subseteq\nW\\subseteq N_{G}\\left[  T\\right]  }(-1)^{\\left\\vert W\\right\\vert }\\\\\n&  =\\sum_{T\\subseteq V}(-x)^{\\left\\vert T\\right\\vert }\\sum_{Y\\subseteq\nN_{G}\\left[  T\\right]  \\setminus T}(-1)^{\\left\\vert Y\\right\\vert }.\n\\end{align*}\nSince $G$ is connected, the set $N_{G}\\left[  T\\right]  \\setminus T$ is empty\nif and only if $T=\\emptyset$ or $T=V$. Hence we obtain%\n\\[\n\\sum_{T\\subseteq V}(-x)^{\\left\\vert T\\right\\vert }\\sum_{Y\\subseteq\nN_{G}\\left[  T\\right]  \\setminus T}(-1)^{\\left\\vert Y\\right\\vert\n}=1+(-x)^{\\left\\vert V\\right\\vert }.\\text{ }%\n\\]\n\n\\end{proof}\n\n\\begin{definition}\nLet $G=(V,E)$ be a graph with $n$ vertices. The \\emph{type} of $G$ is an\ninteger partition $\\lambda_{G}=\\left(  \\lambda_{1},...,\\lambda_{k}\\right)\n\\vdash n$ that gives the sequence of orders of the components of $G$. We write\n$i\\in\\lambda_{G}$ in order to indicate that $i$ is a part of $\\lambda_{G}$.\nThe number of parts of $\\lambda_{G}$ is denoted by $\\left\\vert \\lambda\n_{G}\\right\\vert $.\n\\end{definition}\n\nObserve that for all $W\\subseteq V$ the relation $\\left\\vert \\lambda_{G\\left[\nW\\right]  }\\right\\vert \\leq\\alpha(G)$ is satisfied, where $\\alpha(G)$ denotes\nthe independence number of $G$. Theorem \\ref{theo_vertex_sum} and Equation\n(\\ref{product}) immediately imply the following statement.\n\n\\begin{corollary}\n\\label{coro_type}For any graph $G=(V,E)$, we have%\n\\begin{equation}\n\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }D\\left(  G\\left[  W\\right]\n,x\\right)  =%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G}}}\n\\left(  1+(-x)^{i}\\right)  . \\label{vertex sum}%\n\\end{equation}\n\n\\end{corollary}\n\nThe application of the M\\\"{o}bius inversion to Equation (\\ref{vertex sum})\nyields%\n\\begin{align}\nD(G,x)  &  =\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  1+(-x)^{i}\\right) \\nonumber\\\\\n&  =\\sum_{W\\subseteq V}%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right)  . \\label{moeb2}%\n\\end{align}\n\n\n\\begin{remark}\nIf we substitute $x=1$ (or $x=-1$) in Equation (\\ref{moeb2}) then all the\nproducts are equal to $0$ $(\\operatorname{mod}2)$. There is only one\nexception, namely the empty product corresponding to $W=\\emptyset$, which is\n1. This gives an alternative proof of Corollary \\ref{coro_odd}.\n\\end{remark}\n\nWe call a graph $G$ \\emph{conformal} if all of its components are of even\norder. Let $\\mathrm{Con}(G)$ be the set of all vertex-induced conformal\nsubgraphs of $G$ and let $k(G)$ be the number of components of $G$.\n\n\\begin{theorem}\n\\label{theo_con}The number of dominating sets of a graph $G$ satisfies%\n\\[\nd(G)=\\sum_{H\\in\\mathrm{Con}(G)}2^{k(H)}.\n\\]\n\n\\end{theorem}\n\n\\begin{proof}\nThe statement follows from Equation (\\ref{moeb2}) by substituting $x=1$. In\nthis case any component of odd order leads to a zero product, such that only\nconformal vertex-induced subgraphs count. Observe that the null graph is\nconformal and has no components, which produces the only odd term of the sum,\nnamely $2^{0}=1$.\n\\end{proof}\n\nEquation (\\ref{moeb2}) offers a possibility to derive a decomposition for the\ndomination polynomial.\n\n\\begin{theorem}\n\\label{theo_rec}Let $G=(V,E)$ be a graph and $v\\in V$. Then%\n\\[\nD(G,x)=D(G-v,x)+\\sum_{\\substack{\\left\\{  v\\right\\}  \\subseteq W\\subseteq\nV\\\\G\\left[  W\\right]  \\text{ is connected}}}\\left(  x^{\\left\\vert W\\right\\vert\n}+(-1)^{\\left\\vert W\\right\\vert }\\right)  D\\left(  G-N[W],x\\right)  .\n\\]\n\n\\end{theorem}\n\n\\begin{proof}\nWe start from Equation (\\ref{moeb2}):%\n\\begin{align*}\nD(G,x)  &  =\\sum_{W\\subseteq V}%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right) \\\\\n&  =\\sum_{W\\subseteq V\\setminus\\left\\{  v\\right\\}  }%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right)  +\\sum_{\\left\\{  v\\right\\}  \\subseteq W\\subseteq\nV}%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right) \\\\\n&  =D(G-v,x)\\\\\n&  +\\sum_{\\substack{\\left\\{  v\\right\\}  \\subseteq W\\subseteq V\\\\G\\left[\nW\\right]  \\text{ is connected}}}\\left(  x^{\\left\\vert W\\right\\vert\n}+(-1)^{\\left\\vert W\\right\\vert }\\right)  \\sum_{T\\subseteq V\\setminus N[W]}%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  T\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right) \\\\\n&  =D(G-v,x)+\\sum_{\\substack{\\left\\{  v\\right\\}  \\subseteq W\\subseteq\nV\\\\G\\left[  W\\right]  \\text{ is connected}}}\\left(  x^{\\left\\vert W\\right\\vert\n}+(-1)^{\\left\\vert W\\right\\vert }\\right)  D\\left(  G-N[W],x\\right)  .\n\\end{align*}\n\n\\end{proof}\n\nThe following statement for the number of dominating sets of $G$ is an\nimmediate consequence of Theorem \\ref{theo_rec}.\n\n\\begin{corollary}\nLet $G=(V,E)$ be a graph and $v\\in V$. Then the difference $d(G)-d(G-v)$ is even.\n\\end{corollary}\n\n\\begin{proof}\nWhen we substitute $x=1$ in Theorem \\ref{theo_rec}, then we obtain%\n\\[\nd(G)=d(G-v)+2\\sum_{\\substack{_{\\substack{\\left\\{  v\\right\\}  \\subseteq\nW\\subseteq V\\\\G\\left[  W\\right]  \\text{ is connected}}}\\\\\\left\\vert\nW\\right\\vert \\text{ is even}}}d\\left(  G-N[W]\\right)  ,\n\\]\nwhich gives the desired result.\n\\end{proof}\n\n\\section{Inclusion--Exclusion}\n\nWe obtain a different representation of the domination polynomial as a sum\nranging over vertex subsets by counting all vertex subsets of $G=(V,E)$ that\ndo not dominate the whole vertex set $V$ and applying inclusion-exclusion.\n\n\\begin{theorem}\n[\\cite{DT}]\\label{theo_inc_exc}Let $G=(V,E)$ be a graph. Then\n\\begin{equation}\nD(G,x)=\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }(1+x)^{\\left\\vert\nV\\setminus N\\left[  W\\right]  \\right\\vert }. \\label{incl-excl}%\n\\end{equation}\n\n\\end{theorem}\n\n\\begin{corollary}\n\\label{coro_binomial}The domination polynomial of a graph $G=(V,E)$ with $n$\nvertices satisfies%\n\\[\nD(G,x)=\\sum_{k=0}^{n}x^{k}\\sum_{\\substack{W\\subseteq V\\\\\\left\\vert N\\left[\nW\\right]  \\right\\vert \\leq n-k}}(-1)^{\\left\\vert W\\right\\vert }\\binom\n{n-\\left\\vert N\\left[  W\\right]  \\right\\vert }{k}.\n\\]\n\n\\end{corollary}\n\n\\begin{proof}\nUsing Equation (\\ref{incl-excl}), we obtain%\n\\begin{align*}\nD(G,x)  &  =\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }%\n(1+x)^{\\left\\vert V\\setminus N\\left[  W\\right]  \\right\\vert }\\\\\n&  =\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }\\sum_{k=0}^{\\left\\vert\nV-N\\left[  W\\right]  \\right\\vert }\\binom{n-\\left\\vert N\\left[  W\\right]\n\\right\\vert }{k}x^{k}\\\\\n&  =\\sum_{k=0}^{n}x^{k}\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert\n}\\binom{n-\\left\\vert N\\left[  W\\right]  \\right\\vert }{k}\\\\\n&  =\\sum_{k=0}^{n}x^{k}\\sum_{\\substack{W\\subseteq V\\\\\\left\\vert N\\left[\nW\\right]  \\right\\vert \\leq n-k}}(-1)^{\\left\\vert W\\right\\vert }\\binom\n{n-\\left\\vert N\\left[  W\\right]  \\right\\vert }{k}.\n\\end{align*}\n\n\\end{proof}\n\n\\begin{remark}\nAn interesting consequence of Corollary \\ref{coro_binomial} is the\ncharacterization of the domination number $\\gamma(G)$ of a graph $G=(V,E)$ as\nthe smallest nonnegative integer $k$ such that the sum%\n\\[\n\\sum_{\\substack{W\\subseteq V\\\\\\left\\vert N\\left[  W\\right]  \\right\\vert \\leq\nn-k}}(-1)^{\\left\\vert W\\right\\vert }\\binom{n-\\left\\vert N\\left[  W\\right]\n\\right\\vert }{k}%\n\\]\ndoes not vanish.\n\\end{remark}\n\nWe call a vertex subset $W\\subseteq V$ of a graph $G=(V,E)$ \\emph{essential}\nin $G$ if $W$ contains the closed neighborhood $N\\left[  v\\right]  $ of at\nleast one vertex $v\\in V$. We denote by $\\mathrm{Ess}(G)$ the family of all\nessential sets of $G$.\n\n\\begin{theorem}\n\\label{theo_neighborhood}Let $G=(V,E)$ be a graph with nonempty vertex set.\nThen the domination polynomial of $G$ satisfies%\n\\[\nD(G,x)=(-1)^{\\left\\vert V\\right\\vert }\\sum_{U\\in\\mathrm{Ess}(G)}%\n(-1)^{\\left\\vert U\\right\\vert }\\left[  (1+x)^{\\left\\vert \\left\\{  u\\in U\\mid\nN\\left[  u\\right]  \\subseteq U\\right\\}  \\right\\vert }-1\\right]  .\n\\]\n\n\\end{theorem}\n\n\\begin{proof}\nAccording to Equation (\\ref{incl-excl}), we have%\n\\begin{align*}\nD(G,x)  &  =\\sum_{W\\subseteq V}(-1)^{\\left\\vert W\\right\\vert }%\n(1+x)^{\\left\\vert V\\setminus N\\left[  W\\right]  \\right\\vert }\\\\\n&  =\\sum_{U\\subseteq V}(-1)^{\\left\\vert V\\right\\vert -\\left\\vert U\\right\\vert\n}(1+x)^{\\left\\vert V\\setminus N\\left[  V\\setminus U\\right]  \\right\\vert }\\\\\n&  =\\sum_{U\\subseteq V}(-1)^{\\left\\vert V\\right\\vert -\\left\\vert U\\right\\vert\n}(1+x)^{\\left\\vert \\left\\{  u\\in U\\mid N\\left[  u\\right]  \\subseteq U\\right\\}\n\\right\\vert }.\n\\end{align*}\nIn order to see the last equality, we verify%\n\\begin{align*}\nN\\left[  V\\setminus U\\right]   &  =\\bigcup\\limits_{v\\in V\\setminus U}N\\left[\nv\\right] \\\\\n&  =(V\\setminus U)\\cup\\left\\{  u\\in U\\mid N\\left[  u\\right]  \\cap(V\\setminus\nU)\\neq\\emptyset\\right\\} \\\\\n&  =(V\\setminus U)\\cup\\left\\{  u\\in U\\mid N\\left[  u\\right]  \\nsubseteq\nU\\right\\}\n\\end{align*}\nand consequently,%\n\\begin{align*}\nV\\setminus N\\left[  V\\setminus U\\right]   &  =V\\setminus\\left[  (V\\setminus\nU)\\cup\\left\\{  u\\in U\\mid N\\left[  u\\right]  \\nsubseteq U\\right\\}  \\right] \\\\\n&  =U\\setminus\\left\\{  u\\in U\\mid N\\left[  u\\right]  \\nsubseteq U\\right\\} \\\\\n&  =\\left\\{  u\\in U\\mid N\\left[  u\\right]  \\subseteq U\\right\\}  .\n\\end{align*}\n\n\nAll polynomials of the form $(1+x)^{\\left\\vert \\left\\{  u\\in U\\mid N\\left[\nu\\right]  \\subseteq U\\right\\}  \\right\\vert }$ have the constant term 1. As\n$V\\neq\\emptyset$, the constant term in%\n\\[\n\\sum_{U\\subseteq V}(-1)^{\\left\\vert V\\right\\vert -\\left\\vert U\\right\\vert\n}(1+x)^{\\left\\vert \\left\\{  u\\in U\\mid N\\left[  u\\right]  \\subseteq U\\right\\}\n\\right\\vert }%\n\\]\nvanishes, which gives%\n\\[\nD(G,x)=\\sum_{U\\subseteq V}(-1)^{\\left\\vert V\\right\\vert -\\left\\vert\nU\\right\\vert }\\left[  (1+x)^{\\left\\vert \\left\\{  u\\in U\\mid N\\left[  u\\right]\n\\subseteq U\\right\\}  \\right\\vert }-1\\right]  .\n\\]\nIf $U$ is a non-essential set of $G$ then we have $\\left\\{  u\\in U\\mid\nN\\left[  u\\right]  \\subseteq U\\right\\}  =\\emptyset$ and hence\n$(1+x)^{\\left\\vert \\left\\{  u\\in U\\mid N\\left[  u\\right]  \\subseteq U\\right\\}\n\\right\\vert }=1$. Consequently, all non-vanishing terms correspond to\nessential sets, yielding the statement of the theorem.\n\\end{proof}\n\nAnother interesting consequence of Theorem \\ref{theo_inc_exc} is the following\nrelation between $D(G,x)$ and $D\\left(  G,\\frac{1}{x}\\right)  $.\n\n\\begin{theorem}\n\\label{theo_reciprocal}Let $G=(V,E)$ be a graph. Then%\n\\[\nD(G,x)=(1+x)^{\\left\\vert V\\right\\vert }\\sum_{W\\subseteq V}\\left(  \\frac\n{-x}{1+x}\\right)  ^{\\left\\vert W\\right\\vert }D\\left(  G\\left[  W\\right]\n,\\frac{1}{x}\\right)  .\n\\]\n\n\\end{theorem}\n\n\\begin{proof}\nWe consider the right-hand side of the equation from the theorem. Substituting\n$D\\left(  G\\left[  W\\right]  ,\\frac{1}{x}\\right)  $ according to the\ndefinition of the domination polynomial yields%\n\\begin{align*}\n&  (1+x)^{\\left\\vert V\\right\\vert }\\sum_{W\\subseteq V}\\left(  \\frac{-x}%\n{1+x}\\right)  ^{\\left\\vert W\\right\\vert }\\sum_{\\substack{T\\subseteq\nW\\\\N_{G\\left[  W\\right]  }\\left[  T\\right]  =W}}x^{-\\left\\vert T\\right\\vert\n}\\\\\n&  =(1+x)^{\\left\\vert V\\right\\vert }\\sum_{W\\subseteq V}\\left(  \\frac{-x}%\n{1+x}\\right)  ^{\\left\\vert W\\right\\vert }\\sum_{T:T\\subseteq W\\subseteq\nN_{G}\\left[  T\\right]  }x^{-\\left\\vert T\\right\\vert }.\n\\end{align*}\nSwitching the order of summation gives%\n\\[\n(1+x)^{\\left\\vert V\\right\\vert }\\sum_{T\\subseteq V}x^{-\\left\\vert T\\right\\vert\n}\\sum_{W:T\\subseteq W\\subseteq N_{G}\\left[  T\\right]  }\\left(  \\frac{-x}%\n{1+x}\\right)  ^{\\left\\vert W\\right\\vert }.\n\\]\nNow we define $U=W\\setminus T$ and substitute $W=U\\cup T$, yielding%\n\\begin{align*}\n&  (1+x)^{\\left\\vert V\\right\\vert }\\sum_{T\\subseteq V}x^{-\\left\\vert\nT\\right\\vert }\\sum_{U\\subseteq N_{G}\\left[  T\\right]  \\setminus T}\\left(\n\\frac{-x}{1+x}\\right)  ^{\\left\\vert U\\right\\vert +\\left\\vert T\\right\\vert }\\\\\n&  =(1+x)^{\\left\\vert V\\right\\vert }\\sum_{T\\subseteq V}\\left(  \\frac{-1}%\n{1+x}\\right)  ^{\\left\\vert T\\right\\vert }\\sum_{U\\subseteq N_{G}\\left[\nT\\right]  \\setminus T}\\left(  \\frac{-x}{1+x}\\right)  ^{\\left\\vert U\\right\\vert\n},\n\\end{align*}\nwhich simplifies via the binomial theorem to%\n\\begin{align*}\n&  (1+x)^{\\left\\vert V\\right\\vert }\\sum_{T\\subseteq V}\\left(  \\frac{-1}%\n{1+x}\\right)  ^{\\left\\vert T\\right\\vert }\\left(  1-\\frac{x}{1+x}\\right)\n^{\\left\\vert N_{G}\\left[  T\\right]  \\right\\vert -\\left\\vert T\\right\\vert }\\\\\n&  =(1+x)^{\\left\\vert V\\right\\vert }\\sum_{T\\subseteq V}\\left(  -1\\right)\n^{\\left\\vert T\\right\\vert }\\left(  1+x\\right)  ^{-\\left\\vert N_{G}\\left[\nT\\right]  \\right\\vert }.\n\\end{align*}\nThe statement follows now by Theorem \\ref{theo_inc_exc}.\n\\end{proof}\n\nThe following statement can be shown by substituting $x=1$ in Theorem\n\\ref{theo_reciprocal}.\n\n\\begin{corollary}\nLet $G=(V,E)$ be a graph. The numbers of dominating sets of vertex-induced\nproper subgraphs of $G$ satisfy%\n\\[\n\\sum_{W\\subset V}(-1)^{\\left\\vert W\\right\\vert }\\frac{d(G[W])}{2^{\\left\\vert\nW\\right\\vert }}=0.\n\\]\n\n\\end{corollary}\n\n\\section{Conclusions and Open Problems}\n\nThe domination polynomial of a graph can be expressed as a sum of quite simple\npolynomials of vertex-induced or spanning subgraphs. In case of spanning\nsubgraphs, we can show that the domination polynomial depends only on\nbipartite spanning subgraphs.\n\nThere remain interesting open problems for further research in this field. The\nfirst one concerns the number of dominating sets of a graph given by Theorem\n\\ref{theo_con}.\n\n\\begin{problem}\nThe simple formula%\n\\[\nd(G)=\\sum_{H\\in\\mathrm{Con}(G)}2^{k(H)}%\n\\]\nsuggests that there is a bijection between subsets of components of conformal\ngraphs and dominating sets of $G$. Is there a bijective proof for Theorem\n\\ref{theo_con}? What is the best way to enumerate the set $\\mathrm{Con}(G)$?\n\\end{problem}\n\nIn Corollary \\ref{coro_type}, we showed that the type of a subgraph yields the\nessential information for a representation of $D(G,x)$ as a sum over\nvertex-induced subgraphs. Here it seems interesting to investigate whether we\nneed all vertex-induced subgraphs in order to derive the domination polynomial.\n\n\\begin{problem}\nComponents of $G\\left[  W\\right]  $ that have odd order lead to cancellation\nof terms of the sum in Equation (\\ref{moeb2}),%\n\\[\nD(G,x)=\\sum_{W\\subseteq V}%\n{\\displaystyle\\prod\\limits_{i\\in\\lambda_{G\\left[  W\\right]  }}}\n\\left(  x^{i}+(-1)^{i}\\right)  .\n\\]\nIs there a way to identify those cancelling terms?\n\\end{problem}\n\n\\begin{problem}\nIn Theorem \\ref{theo_neighborhood}, we showed that the restriction to\nessential sets is sufficient in order to compute the domination polynomial of\na graph. Can we reduce the number of terms needed to derive $D(G,x)$ further?\n\\end{problem}\n\nFurther topics of interest for future research include the investigation of\nspecial graph classes with respect to the given representations of the\ndomination polynomial and the application of these representations to special\ngraph classes. Since bipartite graphs play an important role for the\nrepresentation of the domination polynomial, we conjecture that also matchings\nhave a close relation to dominating sets. However, until now all attempts to\nfind a sum representation of $D(G,x)$ based on matchings of $G$ failed.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nIn recent years, extensive research efforts have been devoted to studying cooperative networks where agents interact with each other over a topology repeatedly, by sharing information such as measurements, estimates, beliefs, or opinions. Such networks involve various levels of coordinated behavior among agents in order to solve important tasks in an efficient and distributed manner such as target tracking, object detection, resource allocation, learning, inference, and estimation. Collaboration among the agents via repeated information sharing is critical for the enhanced performance and robustness of the distributed solution, as already demonstrated in various insightful studies on social learning in multi-agent networks \\cite{KrishnamurthyA}-\\cite{Jadbabaie}, belief consensus in social networks \\cite{Chamley}\\cite{Acemouglu}, distributed optimization in resource allocation problems \\cite{Tsitsiklis}-\\cite{Dimakis} and in the diffusion of information for adaptation and learning purposes \\cite{Chen}-\\cite{Sayed}. However, in many scenarios, participating in the cooperative process entails costs to the agents, such as the cost of producing, transmitting, and sharing information with their neighbors. In these situations, the cost of sharing information may outweigh the benefit of cooperation and agents may not see an immediate benefit to being cooperative. For networks where agents are strategic, meaning that they aim to maximize their own utilities by strategically choosing their actions, the agents will choose to participate in the collaborative process only if they believe this action is beneficial to their current and long-term interests. Absent incentives for collaboration, these networks will work inefficiently or can even collapse \\cite{Lucky}. A distinct feature of the network under consideration is that agents' incentives can be coupled in a possibly extremely complex way due to the underlying topology. Thus, a key challenge to ensure the survivability and efficient operation of networks in the presence of selfish agents is the design of incentive schemes that adapt to the network topology and encourage the agents' cooperation in accordance with the network objective.\n\nWe propose to resolve the above incentive problem by exploiting the repeated interactions among agents to enable social reciprocation, by deploying a \\textit{distributed} rating protocol. Such rating protocols are designed and implemented in a distributed manner and are tailored to the underlying topologies. The rating protocol, via the (non-strategic) Social Network Interface (SNI)\\footnote{ For example, the SNIs are tamper-proof software\/hardware modules that can communicate with other SNIs in the neighborhood. However, they do not communicate with a central entity and hence, they are also distributed.} with which each agent is equipped, recommends (online and in a distributed way) to every agent how much information they should share with their neighbors depending on each neighbor's current rating according to the network topology. We refer to this recommendation as the \\textit{recommended strategy}. Importantly, the protocol has to be designed in such a way that this recommendation is incentive-compatible, meaning that agents have incentives to follow it. (We will later define a more formal version of ``incentive-compatibility''.)  In each period, agents have the freedom to decide how much information they should share with each of their neighbors. Their decision may comply or not with the strategy recommended (i.e. agents may follow or deviate from this strategy).  The agent's rating is then increased\/decreased by the SNI based on its current rating, and whether it has followed\/deviated from the recommended strategy. We refer to this as the \\textit{rating update} rule. High-rated agents will be rewarded -- the protocol recommends more information sharing by their neighbors and hence they receive more benefit in the future; low-rated agents will be punished -- the protocol recommends less information sharing by their neighbors and hence, they receive less benefit in the future.\n\nNext, we highlight two distinct features of the networks under consideration and the resulting key challenges for designing rating protocols for agents to cooperate. The first feature is that agents interact over an underlying topology. This is in stark contrast with existing works in repeated games relying on social reciprocation which assume that the agents are randomly matched \\cite{Kandori}\\cite{Zhang}\\cite{Xu}. In this paper, agents' incentives are coupled in a complex manner since their utilities depend on the behavior of the other agents with which they are interconnected. Since agents have different neighbors, their incentives can also be very diverse. A recommended strategy and rating update rule may provide sufficient incentives for some agents to follow but may fail in incentivizing others. In the worst cases, even a single agent deviating from the recommended strategy may cause a ``chain effect'' where eventually all agents deviate, leading to the collapse of the network. Hence, the rating protocol must be designed to adapt to the specific network topology.\n\nThe second feature is that the networks under consideration are distributed and hence, they are informationally decentralized, in the sense that (i) communication can only occur between neighboring agents (and SNIs) and (ii) there is no central planner that can monitor the entire network and communicate to the individual agents information about each agent's behavior (e.g. its compliance with the recommended strategy in the past, its rating etc.). Decentralization prevents rating protocols proposed in prior works \\cite{Zhang}\\cite{Xu} from being applicable in the considered scenarios since they are designed and implemented in a centralized manner. Therefore, a new distributed rating protocol needs to be developed which can operate successfully in an informationally-decentralized network.\n\nThe remaining part of this paper is organized as follows. In Section II, we review related works and existing solutions, and highlight the key differences to this work. Section III outlines the system model and formulates the protocol design problem. The structure of the rating protocol is unraveled in Section IV. In Section V, we design the optimal rating protocol to maximize the social welfare. The performance of the optimal design is then analyzed in Section VI. Section VII studies the rating protocol design in a class of time-varying topologies. Section VIII provides numerical results to highlight the features of the proposal. Finally, we conclude this paper in Section XI.\n\n\n\\section{Related Works}\n\n\\begin{table*}[t]\n\\centerline{\\includegraphics[scale = 1]{Table1.pdf}}\n\\caption{Comparison with existing works. }\n\\label{com_existing}\n\\vspace{-10pt}\n\\end{table*}\n\n\nCollaboration among the agents via repeated information sharing is critical for the enhanced performance and robustness of various types of social networks \\cite{KrishnamurthyA}-\\cite{Sayed}. The main focus of this literature is on determining the resulting network performance if agents repeatedly share and process information in various ways. However, absent incentives and in the presence of selfish agents, these networks will work inefficiently or can even collapse \\cite{Lucky}. Thus, the main focus of the current paper is how to incentivize strategic agents to share such information such that this type of social networks can operate efficiently.\n\nA variety of incentive schemes has been proposed to encourage cooperation among agents (see e.g. \\cite{Park} for a review of different game theoretic solutions). Two popular incentive schemes are pricing and differential service. Pricing schemes \\cite{Bergemann}\\cite{MacKie-Mason} use payments to reward and punish individuals for their behavior. However, they often require complex accounting and monitoring infrastructure, which introduce substantial communication and computation overhead. Differential service schemes, on the other hand, reward and punish individuals by providing differential services depending on their behavior. Differential services can be provided by the network operator. However, in many distributed information sharing networks, such a centralized network operator does not exist. Alternatively, differential services can also be provided by the other agents participating in the network since agents in the considered applications derive their utilities from their interactions with other agents \\cite{Axelrod}-\\cite{Jackson}\\cite{Zhang}\\cite{Xu}. Such incentive schemes are based on the principle of reciprocity and can be classified into direct (personal) reciprocation and social reciprocation. In direct (personal) reciprocation schemes (e.g. the widely adopted Tit-for-Tat strategy \\cite{Axelrod}-\\cite{Milan}), the behavior of an individual agent toward another is based on its personal experience with that agent. However, they only work when two interacting agents have common interests. In social reciprocation schemes \\cite{Song}-\\cite{Jackson}\\cite{Zhang}\\cite{Xu}, individual agents obtain some (public) information about other individuals (e.g. their ratings) and decide their behavior toward other agents based on this information.\n\nIncentive mechanisms based on social reciprocation are often studied using the familiar framework of repeated games. In \\cite{Song}, the information sharing game is studied in a narrower context of cooperative spectrum sensing and various simple strategies are investigated. Agents are assumed to be able to communicate and share information with all other agents, effectively forming a clique topology where the agents' knowledge of the network is complete and symmetric. However, such an assumption rarely holds in distributed networks where, instead, agents may interact over arbitrary topologies and have incomplete and asymmetric knowledge of the entire network. In such scenarios, simple strategies proposed in \\cite{Song} will fail to work and the incentives design becomes significantly more challenging.\n\nContagion strategies on networks \\cite{Kandori}-\\cite{Jackson} are proposed as a simple strategy to provide incentives for agents to cooperate. However, such strategies do not perform well if monitoring is imperfect since any single error can lead to a network collapse. Even if certain forms of forgiveness are introduced, contagion strategies are shown to be effective only in very specific topologies \\cite{Ali}\\cite{Jackson}. It is still extremely difficult, if not impossible, to design efficient forgiving schemes in distributed networks with arbitrary topologies since agents will have difficulty in conditioning their actions on history, e.g. whether they are in the contagion phase or the forgiving phase, due to the asymmetric and incomplete knowledge.\n\nRating\/reputation mechanisms are proposed as another promising solution to implement social reciprocation. Much of the existing work on reputation mechanism is concerned with practical implementation details such as effective information gathering techniques \\cite{Kamvar} or determining the impact of reputation on a seller's prices and sales \\cite{Ba}\\cite{Resnick}. The few works providing theoretical results on rating protocol design consider either one (or a few) long-lived agent(s) interacting with many short-lived agents \\cite{Dellarocas}-\\cite{Zacharia} or anonymous, homogeneous and unconnected agents selected to interact with each other using random matching \\cite{Kandori}\\cite{Zhang}\\cite{Xu}. Importantly, few of the prior works consider the design of such rating protocols for networks where agents interact over an underlying topology which leads to extremely complexly-coupled interactions among agents. Moreover, the distributed nature of the considered information sharing networks imposes unique challenges for the rating protocol design and implementation which are not addressed in prior works \\cite{Zhang}\\cite{Xu}.\n\nIn Table 1, we compare the current paper with existing works on social learning and incentive schemes based on direct reciprocation and social reciprocation.\n\n\n\n\\section{System Model}\nWe consider a network of $N$ agents, indexed by $\\{1,2,...,N\\} = {\\mathcal N}$. Agents are connected subject to an underlying topology $G=\\{ g_{ij} \\} _{i,j\\in {\\rm {\\mathcal N}}} $ with $g_{ij} =g_{ji} =1$ (here we consider undirected connection) representing agent $i$ and $j$ being connected (e.g. there is a communication channel between them) and $g_{ij} =g_{ji} =0$ otherwise. Moreover, we set $g_{ii} =0$. We say that agent $i$ and agent $j$ are neighbors if they are connected. For now we assume a fixed topology $G$ but certain types of time-varying topologies are allowed in our framework and this will be discussed in detail in Section VII.\n\nTime is divided into discrete periods. In each time period, each agent $i$ decides an information sharing action with respect to each of its neighbors $j$, denoted by $a_{ij} \\in [0,1]$. For example, $a_{ij} $ can represent the information sharing effort by agent $i$ with agent $j$. We collect the actions of agent $i$ with respect to all its neighbors in the notation ${\\boldsymbol{a}}_{i} =\\{ a_{ij} \\} _{j:g_{ij} =1} $. Denote ${\\boldsymbol{a}}=({\\boldsymbol{a}}_{1} ,...,{\\boldsymbol{a}}_{N} )$ as the action profile of all agents and ${\\boldsymbol{a}}_{-i} =({\\boldsymbol{a}}_{1} ,...,{\\boldsymbol{a}}_{i-1} ,{\\boldsymbol{a}}_{i+1} ,...,{\\boldsymbol{a}}_{N} )$ as the action profile of agents except $i$. Let ${\\rm {\\mathcal A}}_{i} =[0,1]^{m_{i} } $ be the action space of agent $i$ where $m_{i} =\\sum _{j}g_{ij}  $. Let ${\\rm {\\mathcal A}}=\\times _{i\\in {\\rm {\\mathcal N}}} {\\rm {\\mathcal A}}_{i} $ be the action space of all agents.\n\nAgents obtain benefits from neighbors' sharing actions. We denote the actions of agent $i$'s neighbors with respect to agent $i$ by $\\hat{{\\boldsymbol{a}}}_{i} {\\rm =}\\{ a_{ji} \\} _{j:g_{ij} =1} $ and let $b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )$ be the benefit that agent $i$ obtains from its neighbors \\footnote{ In principle, an agent can obtain benefits from the information sharing over indirect links relayed by its neighbor. In this case, the action will also include the relaying action. }. Sharing information is costly and the cost $c_{i} ({\\boldsymbol{a}}_{i} )$ depends on an agent $i$'s  own actions ${\\boldsymbol{a}}_{i}$. Hence, given the action profile ${\\boldsymbol{a}}$ of all agents, the utility of agent $i$ is\n\\begin{equation} \\label{ZEqnNum432082}\nu_{i} ({\\boldsymbol{a}})=b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )-c_{i} ({\\boldsymbol{a}}_{i} )\n\\end{equation}\n\nWe impose some constraints on the benefit and cost functions.\n\n\\textit{Assumption}: (1) For each $i$,  the benefit $b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )$ is non-decreasing in each $a_{ij} ,\\forall j:g_{ij} =1$ and is concave in $\\hat{{\\boldsymbol{a}}}_{i} $ (in other words, jointly concave in $a_{ji} ,\\forall j:g_{ij} =1$). (2) For each $i$, the cost is linear in its sum actions, i.e. $c_{i} ({\\boldsymbol{a}}_{i} )=\\|{\\boldsymbol{a}}_{i}\\|_1 =\\sum _{j:g_{ij} } a_{ij} $.\n\nThe above assumption states that (1) agents receive decreasing marginal benefits of information acquisition, which captures the fact that agents become more or less ``satiated'' when they possess sufficient information, in the sense that additional information would only generate little additional payoff; (2) the cost incurred by an agent is equal (or proportional) to the sum effort of collaboration with all its neighbors.\n\n\n\\subsection{Example: Cooperative Estimation}\nWe illustrate the generality of our formalism by showing how well-studied cooperative estimation problems \\cite{Mishra}\\cite{Unnikrishnan} can be cast into it. Consider that each agent observes in each period a noisy version of a time-varying underlying system parameter $s(t)$ of interest. Denote the observation of agent $i$ by $o_{i} (t)$. We assume that $o_{i} (t)=s(t)+ \\epsilon_i(t)$, where the observation error $\\epsilon_{i} (t)$ is i.i.d. Gaussian across agents and time with mean zero and variance $r^{2} $. Agents can exchange observations with their neighbors to obtain better estimations of the system parameter. Let $a_{ij} (t)$ be the transmission power spent by agent $i$. The higher the transmission power the larger probability that agent $j$ receives this additional observation from agent $i$. Agents can use various combination rules \\cite{Chen} to obtain the final estimations. The expected mean square error (MSE) of agent $i$'s final estimation will depend on the actions of its neighbors, denoted by $MSE_{i} (\\hat{{\\boldsymbol{a}}}_{i} (t))$. If we define the MSE improvement as the benefit of agents, i.e. $b_{i} (\\hat{{\\boldsymbol{a}}}_{i} (t))=r^{2} -MSE(\\hat{{\\boldsymbol{a}}}_{i} (t))$, then the utility of agent $i$ in period $t$ given the received benefit and its incurred cost is $u_{i} ({\\boldsymbol{a}}(t))=r^{2} -MSE_{i} (\\hat{{\\boldsymbol{a}}}_{i} (t))-{\\boldsymbol{a}}_{i} (t)$.\n\n\n\n\\subsection{Obedient Agents -- Benchmark}\nEven though this paper focuses on strategic agents in information sharing networks, it is useful to first study how obedient agents (i.e. non-strategic agents who follow any prescribed strategy) interact in order to obtain a better understanding of the interactions and the achievable performance. The objective of the protocol designer in this benchmark case is to maximize the social welfare of the network, which is defined as the time-average sum utility of all agents, i.e.\n\\begin{equation} \\label{ZEqnNum110798}\nV=\\mathop{\\lim }\\limits_{T\\to \\infty } \\frac{1}{T} \\sum _{t=0}^{\\infty }\\sum _{i}u_{i}   ({\\boldsymbol{a}}(t))\n\\end{equation}\nwhere ${\\boldsymbol{a}}(t)$ is the action profile in period $t$. If agents are obedient, then the system designer can assign socially optimal actions, denoted by ${\\boldsymbol{a}}^{opt} (t),\\forall t$, to agents and then agents will simply take the actions prescribed by the system designer. Determining the socially optimal actions involves solving the following utility maximization problem \\cite{Palomar}:\n\\begin{equation} \\label{ZEqnNum918213}\n\\begin{array}{l} {\\mathop{{\\rm maximize}}\\limits_{a} {\\rm \\; \\; \\; \\; \\; \\; \\; \\; }V} \\\\ {{\\rm subject\\; to\\; \\; \\; \\; \\; \\; \\; \\; }a_{ij} (t)\\in [0,1],\\forall i,j:g_{ij} =1,\\forall t} \\end{array}\n\\end{equation}\nThis problem can be easily solved and any action profile ${\\boldsymbol{a}}^{opt}$ that satisfies\n\\begin{equation} \\label{ZEqnNum389088}\n\\hat{{\\boldsymbol{a}}}_{i}^{opt} (t)\\in \\arg \\max _{\\hat{{\\boldsymbol{a}}}} b_{i} (\\hat{{\\boldsymbol{a}}}_{i} (t))-\\hat{{\\boldsymbol{a}}}_{i} (t)\n\\end{equation}\nis its solution. We denote the optimal social welfare by $V^{opt} $.\n\nIn a distributed network, there is no central planner that knows everything about the network (including the network size, topology and individual agents' utility functions) and can communicate to all agents. However, the structure of problem \\eqref{ZEqnNum918213} lends itself to a fully decentralized implementation \\cite{Rockafellar}: each SNI can compute the optimal actions for its neighbors by solving \\eqref{ZEqnNum389088} and sending the solution to their neighboring SNIs. In this way, if all agents take the actions solved by the SNIs, the social welfare is maximized.\n\nIt is helpful to give an illustrative example of the optimal information sharing actions for agents connected using different topologies. We will revisit this example when we study strategic agents and show how incentives design and information sharing strategies are affected by the topologies.\n\n\\textit{Example}: (Ring and Star topologies) We consider a set of 4 agents performing cooperative estimation (as in Section III. A) over two fixed topologies -- a ring and a star. A possible approximation of the utility function of each agent $i$ when the uniform combination rule is used is $u_{i} ({\\boldsymbol{a}}(t))=r^{2} -\\frac{r^{2} }{1+\\sum _{j:g_{ij} } a_{ji} } -\\sum _{j:g_{ij} } a_{ij} $. We assume that the noise variance $r^{2} =4$. Figure \\ref{ring-star1} illustrates the optimal actions in different topologies by solving \\eqref{ZEqnNum918213}. In both topologies, the optimal social welfare is $V^{opt} =4$.\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.7]{ring_star1.pdf}}\n\\caption{Optimal strategies for obedient agents interacting over a ring and a star.}\\label{ring-star1}\n\\end{figure}\n\n\\subsection{Strategic Agents}\n\nThe information sharing problem becomes much more difficult in the presence of strategic agents: strategic agents may not want to take the prescribed actions because they do not maximize their own utilities. We formally define the network information sharing games below.\n\n\\textit{Definition 1}: A (one-shot) \\textit{network information sharing game} is a tuple ${\\rm {\\mathcal G}}=\\left\\langle {\\rm {\\mathcal N}},{\\rm {\\mathcal A}},\\{ u_{i} (\\cdot )\\} _{i\\in {\\rm {\\mathcal N}}} ;G\\right\\rangle $ where ${\\rm {\\mathcal N}}$ is the set of players, ${\\rm {\\mathcal A}}$ is the action space of all players, $u_{i} (\\cdot )$ is the utility function of player $i$ (defined by \\eqref{ZEqnNum432082}) and $G$ is the underlying topology.\n\n\\begin{theorem}\nThere exists a unique Nash equilibrium (NE) ${\\boldsymbol{a}}^{NE} =0$ in the network information sharing game in any period.\n\\end{theorem}\n\\begin{proof}\nConsider the utility of an agent $i$ in \\eqref{ZEqnNum432082}, the dominant\nstrategy of agent $i$ is ${\\boldsymbol{a}}_{i} =0$ regardless of other agents' actions ${\\boldsymbol{a}}_{-i} $. Therefore, the only NE is ${\\boldsymbol{a}}_{i} =0,\\forall i$.\n\\end{proof}\n\n\n\nWe now proceed to show how to build incentives for agents to share information with each other by exploiting their repeated interactions. In the repeated game, the (one-shot) network information sharing game is played in every period $t=0,1,2,...$. Let $y_{i}^{t} \\in Y$ be the public monitoring signal related to agent $i$'s actions ${\\boldsymbol{a}}_{i} (t)$ at time $t$. A public history of length $t$ is a sequence of public signals $(y^{0} ,y^{1} ,...,y^{t-1} )\\in Y^{t} $. We note that in the considered network setting, public signals are ``locally public'' in the sense that agents only observe the public signals within their own neighborhood but not all public signals. For example, a public signal $y_{i}^{t} $ can indicate whether or not agent $i$ followed the strategy at time $t$ and only the neighbors of agent $i$ observe it.  We write ${\\rm {\\mathcal H}}(t)$ for the set of public histories of length $t$, ${\\rm {\\mathcal H}}^{T} =\\bigcup _{t=0}^{T} {\\rm {\\mathcal H}}(t)$ for the set of public histories of length at most $T$ and ${\\rm {\\mathcal H}}=\\bigcup _{t=0}^{\\infty } {\\rm {\\mathcal H}}(t)$ for the set of all public histories of all finite lengths. A public strategy of agent $i$ is a mapping from public histories (in fact, only those public signals $\\{ y_{j}^{t} {\\rm \\} }_{j:g_{ij} =1} $ that agent $i$ can observe) to $i$'s pure actions ${\\it \\bm\\sigma }_{i} :{\\rm {\\mathcal H}}\\to {\\rm {\\mathcal A}}_{i} $. We write ${\\bm\\sigma }$ as the collection of public strategies for all agents. Let $\\delta \\in (0,1]$ be the discount factor of agents. Since interactions are on-going, agents care about their long-term utilities. The long-term utility  for an agent $i$ is defined as follows:\n\\begin{equation} \\label{5)}\nU_{i} (t)=u_{i} ({\\boldsymbol{a}}(t))+\\delta u_{i} ({\\boldsymbol{a}}(t+1))+\\delta ^{2} u_{i} ({\\boldsymbol{a}}(t+2))+...\n\\end{equation}\nA public strategy profile ${\\bm\\sigma }$ induces a probability distribution over public histories and hence over\\textit{ ex ante }utilities. We abuse notation and write $U_{i} ({\\bm \\sigma };h)$ for the expected long-run average \\textit{ex ante} utility of agent $i$ when agents follow the strategy profile ${\\bm \\sigma }$ after the public history $h\\in {\\rm {\\mathcal H}}$.\n\n\\textit{Definition 1}: (Perfect Public Equilibrium) A strategy profile ${\\bm \\sigma }$ is a perfect public equilibrium  if $\\forall h\\in {\\mathcal H}$,$\\forall i$, $U_{i} ({\\it \\sigma }_{i} ,{\\it \\sigma }_{-i} ;h)\\ge U_{i} ({\\it \\sigma }_{i} ',{\\it \\sigma }_{-i} ;h),\\forall {\\it \\sigma }_{i} '\\ne {\\it \\sigma }_{i} $.\n\nIn the above formulation, we restrict agents to use public strategies and assume that agents make no use of any information other than provided by the (local) public signal (See Figure \\ref{localpublicsignal}); in particular, agents make no use of their private history (i.e. the history sequence of its own actions ${\\boldsymbol{a}}_{i} (t)$, its own utilities $u_{i} (t)$ and its neighbors' action toward it $\\hat{{\\boldsymbol{a}}}_{i} (t)$). This assumption admits a number of possible interpretations \\cite{Mailath}, each of which is appropriate in some circumstances. In the considered scenarios where agents interact over a topology, the most important reason why we consider the design of public strategies and PPE is due to agents' partial observations and asymmetric knowledge of the network. In particular, since agent  $i$ only observes its own neighborhood subject to the underlying topology, it cannot distinguish based solely on its private history between the case in which its neighbor is deviating from the recommended strategy and the case in which its neighbor is following the recommended strategy and punishing its own neighbors' deviation actions. Using (local) public histories is more practical in the considered scenarios since it allows agents to have common knowledge within each neighborhood. The proposed rating protocols go one step further in reducing the implementation complexity by associating each agent with a rating that summarizes the public history of that agent. In this way, the space of public histories is reduced to a finite set and hence, much simpler strategies can be constructed which can still achieve the optimal social welfare.\n\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.8]{localpublicsignal.pdf}}\n\\caption{Illustration of local public signals. (Agents observe only public signals generated by the SNIs in their neighborhood)}\\label{localpublicsignal}\n\\vspace{-5pt}\n\\end{figure}\n\n\\section{Proposed Rating Protocols}\nIn this section, we describe the proposed distributed rating protocol and its operation in a distributed network. As mentioned in the Introduction, each agent is equipped with an SNI. These SNIs are non-strategic software\/hardware components available to the agents and will assist in the distributed design and implementation of the rating protocol. Importantly though, note that the agents \\textit{are strategic} in choosing the information sharing actions (i.e. they will selfishly decide whether or not to follow the strategy recommended by the SNIs) such that their own utilities are maximized.\n\n\n\\subsection{Considered Rating Protocol}\nA rating protocol, which is designed and implemented by the SNIs, consists of three components -- a set of ratings, a set of recommended strategies to agents, and a rating update rule.\n\n\n\\begin{enumerate}\n\\item  We consider a set of $K$ ordered ratings $\\Theta =\\{ 1,2,...,K\\} $ with $1$ being the lowest and $K$ being the highest rating. Denote agent $i$'s rating in period $t$ by $\\theta _{i} (t)\\in \\Theta $ and agent $i$'s neighbors' ratings by $\\hat{{\\bm \\theta }}_{i} =\\{ \\theta _{j} \\} _{j:g_{ij} =1} $. $K$ serves as an upper bound of the rating set size and is predetermined before the system operates.\n\n\\item  The SNIs determine the recommended (public) strategy in a distributed manner and recommend actions to their own agent depending on neighbors' ratings $\\bm\\sigma :{\\rm {\\mathcal N}}\\times {\\rm {\\mathcal N}}\\times \\Theta \\to [0,1]$, where $\\sigma _{ij} (\\theta _{j} )$ represents the recommended sharing action of agent $i$ with respect to agent $j$ if agent $j$'s rating is $\\theta _{j} $. Since it is reasonable that high-rated agents should be rewarded while low-rated agents should be punished, the recommended strategy should satisfy that $\\sigma _{ij} (\\theta )\\le \\sigma _{ij} (\\theta ')$ if $\\theta <\\theta '$. We collect the strategies of agent $i$ to all its neighbors in ${\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} )=\\{ \\sigma _{ij} (\\theta _{j} )\\} _{j:g_{ij} =1} $ and the strategies of agent $i$'s neighbors to itself in $\\hat{{\\bm \\sigma }}_{i} (\\theta _{i} )=\\{ \\sigma _{ji} (\\theta _{i} )\\} _{j:g_{ij} =1} $.\n\n\\item  Depending on whether an agent $i$ followed or not the recommended strategy, the SNI of agent $i$ updates agent $i$'s rating at the end of each period.  Let $y_{i} \\in Y=[0,1]$  be the monitoring signal with respect to agent $i$. Specifically, $y_{i} =1$ if ${\\boldsymbol{a}}_{i} =\\bm\\sigma _{i} $ and $y_{i} =0$ if ${\\boldsymbol{a}}_{i} \\ne \\bm\\sigma _{i} $. The rating update rule is therefore a mapping $\\tau :{\\rm {\\mathcal N}}\\times \\Theta \\times Y\\to \\Delta (\\Theta )$, where $\\tau _{i} (\\theta _{i}^{+} ;\\theta _{i} ,y_{i} )$ is the probability that the updated rating is $\\theta _{i}^{+} $ if agent $i$'s current rating is $\\theta _{i} $ and the public signal is $y_{i} $. In particular, we consider the following parameterized rating update rule (see also Figure \\ref{ratingupdate}), for agent $i$, if $\\theta _{i} =k$,\n\\begin{equation} \\label{6)}\n\\tau _{i} (\\theta _{i}^{+} ;\\theta _{i} ,y){\\rm =}\n\\left\\{\\begin{array}{l}\n{\\alpha _{i,k} ,{\\rm \\; \\; \\; \\;if\\; \\; }\\theta _{i}^{+} =\\max \\{ 1,k-1\\} ,y_{i} =0} \\\\ {1-\\alpha _{i,k} ,{\\rm \\; \\; \\; \\; if\\; \\; }\\theta _{i}^{+} =k,y_{i} =0} \\\\ {\\beta _{i,k} ,{\\rm \\; \\; \\; \\;  if\\; \\; }\\theta _{i}^{+} =\\min \\{ K,k+1\\} ,y_{i} =1} \\\\ {1-\\beta _{i,k} ,{\\rm \\; \\; \\; \\; if\\; \\; }\\theta _{i}^{+} =k,y_{i} =1}\n\\end{array}\\right.\n\\end{equation}\n\n    In words, compliant agents are rewarded to receive a higher rating with some probability while deviating agents are punished to receive a lower rating with some (other) probability. These probabilities $\\alpha _{i,k} ,\\beta _{i,k} $ are chosen from $[0,1]$. Note that when $\\alpha _{i,k} =0$, the rating label set of agent $i$ effectively reduces to a subset $\\{ k,k+1,...,K\\} $ since its rating will never drop below $k$ (if its initial rating is higher than $k$). Note also that agents remain at the highest rating $\\theta =K$ if they always follow the recommended strategy regardless of the choice of $\\beta _{i,K} $.\n\\end{enumerate}\n\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.9]{ratingupdate.pdf}}\n\\caption{Rating update rule.}\\label{ratingupdate}\n\\vspace{-15pt}\n\\end{figure}\n\n\nMonitoring may not be perfect in implementation and hence it is possible that even if $a_{i} =\\sigma _{i} $, it can still be $y_{i} =0$ (and if $a_{i} \\ne \\sigma _{i} $, $y_{i} =1$). If monitoring is perfect, then the strongest punishment (i.e. the agent receives the lowest rating forever once a deviation is detected) will provide the strongest incentives for agents to cooperate. However, in the imperfect monitoring environment, such punishment will lead to the network collapse where no agents share information with others. Hence, when designing the rating update rule, the monitoring errors should also be taken into account.\n\n\n\nTo sum up, the rating protocol is uniquely determined by the recommended (public) strategies ${\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} ),\\forall i,\\forall \\hat{{\\bm \\theta }}_{i}$ and the rating update probabilities $\\alpha _{i,k} ,\\beta _{i,k}, \\forall i,\\forall k$. We denote the rating protocol by $\\pi =(\\Theta ,{\\bm \\sigma },{\\bm \\alpha },{\\bm \\beta })$. Different rating protocols lead to different social welfare. Denote the achievable social welfare by adopting the rating protocol by $V(\\pi )$. The rating protocol design problem thus is\n\\begin{equation}\n\\begin{array}{l}\n{\\mathop{{\\rm maximize}}\\limits_{\\pi =(\\Theta ,\\bm\\sigma, \\bm\\alpha, \\bm\\beta )} {\\rm \\; \\; \\; \\; \\; \\; \\; \\; }V(\\pi )} \\\\ {{\\rm \\;\\;subject\\; to\\; \\; \\; \\; \\; \\; \\; \\; \\;\\;}\\bm\\sigma {\\rm \\; constitutes\\; a\\; PPE}} \\end{array}\\label{ZEqnNum479148}\n\\end{equation}\n\n\\subsection{Operation of the Rating Protocol}\nThe operation of the rating protocol comprises two phases: the design phase and the implementation phase. In the design phase, the SNIs determine in a distributed way the recommended strategy and rating update rules according to the network topology, and the agents do nothing except being informed of the instantiated rating protocol. In the implementation phase (run-time), the agents (freely and selfishly) choose their actions in each information sharing period in order to maximize their own utilities (i.e. they can freely decide whether to follow or not the recommended strategies). Depending on whether the agents are following or deviating from the recommended strategy, each SNI executes the rating update of its agent and sends the new ratings of its agent to the neighboring SNIs. Note that if the rating protocol constitutes a PPE, then the agents will follow the recommended strategy in any period. When the network topology is static, the rating protocol goes through the design phase only once, when the network becomes operational, and then enters the implementation phase. When the network topology is dynamic, the rating protocol re-enters the design phase periodically, to adapt to the varying topology. However, both the design and implementation have to be carried out in a distributed way in the informationally decentralized environment. Table 2 summarizes the available information and actions of the agents and SNIs in both the design and implementation phases.\n\n\n\\begin{table*}[t]\n\\centerline{\\includegraphics[scale = 0.9]{Table2.pdf}}\n\\caption{Operation of the rating protocol. }\n\\label{com_existing}\n\\vspace{-20pt}\n\\end{table*}\n\n\n\\section{Distributed Optimal Rating Protocol Design}\nIf a rating protocol constitutes a PPE, then all agents will find it in their self-interest to follow the recommended strategies. If the rating update rule updates compliant agents' to a higher rating with positive probabilities, then eventually all agents will have the highest ratings forever (assuming no update errors). Therefore, the social welfare, which is the time-average sum utilities, is asymptotically the same as the sum utilities of all agents when they have the highest ratings and follow the recommended strategy, i.e.\n\\begin{equation} \\label{ZEqnNum559005}\nV=\\sum _{i}(b_{i} (\\hat{{\\bm \\sigma }}_{i} (K))-{\\bm \\sigma }_{i} ({\\boldsymbol{K}}))\n\\end{equation}\nThis means that the recommended strategies for the highest ratings determine the social welfare that can be achieved by the rating protocol. If these strategies can be arbitrarily chosen, then we can solve a similar problem as \\eqref{ZEqnNum918213} for the obedient agent case. However, in the presence of self-interested agents, these strategies, together with the other components of a rating protocol, need to satisfy the equilibrium constraint such that self-interested agents have incentives to follow the recommended strategies. In Theorem 2, we identify a sufficient and necessary condition on ${\\bm \\sigma }({\\boldsymbol{K}})$ (i.e. the recommended strategies when agents have the highest ratings) such that an equilibrium rating protocol can be constructed. With this, the SNIs are able to determine the optimal rating protocol in a distributed way in order to maximize the social welfare. We denote the social welfare that can be achieved by the optimal rating protocol as $V^{*} $ and use \\textit{the price of anarchy} (PoA)\\footnote{ We can also use the price of stability (PoS) as the performance measure. However, since there is a unique equilibrium given the specific rating protocol, these two measures are equivalent. }, defined as $PoA=V^{opt} \/V^{*} $, as the performance measure of the rating protocol.\n\n\n\n\n\\subsection{Sufficient and Necessary Condition}\nTo see whether a rating protocol can constitute a PPE, it suffices to check whether agents can improve their long-term utilities by one-shot unilateral deviation from the recommended strategy after any history (according to the one-shot deviation principle in repeated game theory \\cite{Mailath}). Since in the rating protocol, the history is summarized by the ratings, this reduces to checking the long-term utility in any state (any rating profile ${\\bm \\theta }$ of agents). Agent $i$'s long-term utility when agents choose the action profile ${\\boldsymbol{a}}$ is\n\\begin{equation} \\label{9)}\nU_{i} ({\\bm \\theta },{\\boldsymbol{a}})=u_{i} ({\\bm \\theta },{\\boldsymbol{a}})+\\delta \\sum _{\\bm\\theta '} p({\\bm \\theta }'|{\\bm \\theta },{\\boldsymbol{a}})U_{i}^{*} ({\\bm \\theta }'),\n\\end{equation}\nwhere $p({\\bm \\theta }'|{\\bm \\theta },{\\boldsymbol{a}})$ is the rating profile transition probability which can be fully determined by the rating update rule based on agents' actions and $U_{i}^{*} ({\\bm \\theta }')$ is the optimal value of agent $i$ at the rating profile ${\\bm \\theta }'$, i.e. $U_{i}^{*} ({\\bm \\theta }') = \\max\\limits_{{\\boldsymbol{a}}_{i} } U_{i} ({\\bm \\theta },{\\boldsymbol{a}})$. PPE requires that the recommended actions for any rating profile are the optimal actions that maximize agents' long-term utilities. Before we proceed to the proof of Theorem 2, we prove the following Lemma, whose proof is deferred to online appendix \\cite{onlineappendix} due to space limitation.\n\n\\smallskip\n{\\bf Lemma} (1) $\\forall {\\bm \\theta }$, the optimal action of agent $i$ is either ${\\boldsymbol{a}}_{i}^{*} ({\\bm \\theta })={\\bf 0}$ or ${\\boldsymbol{a}}_{i}^{*} ({\\bm \\theta })={\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} )$.\n\n(2) $\\forall \\theta _{i} $, if for $\\hat{{\\bm \\theta }}_{i} ={\\boldsymbol{K}}$, ${\\boldsymbol{a}}_{i}^{*} ({\\bm \\theta })={\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} )$, then for any other $\\hat{{\\bm \\theta }}_{i} $, ${\\boldsymbol{a}}_{i}^{*} ({\\bm \\theta })={\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} )$.\n\n(3) Let $\\hat{{\\bm \\theta }}_{i} ={\\boldsymbol{K}}$, suppose $\\forall \\theta _{i} $, ${\\boldsymbol{a}}_{i}^{*} ({\\bm \\theta })={\\bm \\sigma }_{i} (\\hat{{\\bm \\theta }}_{i} )$, then $\\theta _{i} <\\theta '_{i} {\\rm \\; \\; \\; }\\Leftrightarrow {\\rm \\; \\; }U^*_{i} (\\theta _{i} ,\\hat{{\\bm \\theta }}_{i} )\\le U^*_{i} (\\theta '_{i} ,\\hat{{\\bm \\theta }}_{i} )$\n\\smallskip\n\nLemma (1) characterizes the set of possible optimal actions. That is, self-interested agents choose to either share nothing with their agents or share the recommended amount of information with their neighbors.  Lemma (2) states that if an agent has incentives to follow the recommended strategy when all its neighbors have the highest ratings, then it will also have incentives to follow the recommended strategy in all other cases. Lemma (3) shows that the optimal long-term utility of an agent is monotonic in its ratings when all its neighbors have the highest rating -- the higher the rating the larger the long-term utility the agent obtains. With these results in hand, we are ready to present and prove Theorem 2.\n\n\\begin{theorem}\nGiven the rating protocol structure and the network structure (topology and individual utility functions), there exists at least one PPE (of the rating protocol) if and only if $\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (K))\\ge c_i({\\bm \\sigma }_{i} ({\\boldsymbol{K}})),\\forall i$.\n\\end{theorem}\n\\begin{proof}\nSee Appendix.\n\\end{proof}\n\n\n\\subsection{Computing the Recommended Strategy}\nTheorem 2 provides a sufficient and necessary condition for the existence of a PPE with respect to the recommended strategies when agents have the highest ratings. From \\eqref{ZEqnNum559005} we already know that these strategies fully determine the social welfare that can be achieved by the rating protocol. Therefore, the optimal values of ${\\bm \\sigma }({\\boldsymbol{K}})$ can be determined by solving the following \\textit{optimal recommended strategy design} problem:\n\\begin{equation} \\label{ZEqnNum960030}\n\\begin{array}{l} {\\mathop{{\\rm maximize}}\\limits_{{\\bm \\sigma }} {\\rm \\; \\; \\; \\; \\; \\; \\; \\; }\\sum _{i}(b_{i} (\\hat{{\\bm \\sigma }}_{i} (K))-c_i({\\bm \\sigma }_{i} ({\\boldsymbol{K}}))) } \\\\ {{\\rm subject\\; to\\; \\; \\; \\; \\; \\; \\; \\; }c_i({\\bm \\sigma }_{i} ({\\boldsymbol{K}}))\\le \\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (K)),\\forall i} \\end{array}\n\\end{equation}\nwhere the constraint ensures that an equilibrium rating protocol can be constructed. Note that this problem implicitly depends on the network topology since both $\\hat{{\\bm \\sigma }}_{i} (K)$ and ${\\bm \\sigma }_{i} ({\\boldsymbol{K}}),\\forall i$ are topology-dependent (since for each agent $i$, the strategy is only with respect to its neighbors). In this subsection, we will write ${\\bm \\sigma }_{i} ({\\boldsymbol{K}})$ as ${\\bm \\sigma }_{i} $ and $\\hat{{\\bm \\sigma }}_{i} (K)$ as $\\hat{{\\bm \\sigma }}_{i} $ to keep the notation simple.\n\nNow, we propose a distributed algorithm to compute these recommended strategies using dual decomposition and Lagrangian relaxation. The Optimal Recommended Strategy Design problem \\eqref{ZEqnNum960030} is decomposed into $N$ sub-problems each of which is solved locally by the SNIs. Note that unlike the case with obedient agents, these sub-problems have coupled constraints. Therefore, SNIs will need to go through an iterative process to exchange messages (the Lagrangians) with their neighboring SNIs such that their local solutions converge to the global optimal solution. We perform dual decomposition on \\eqref{ZEqnNum960030} and relax the constraints as follows\n\\begin{equation} \\label{ZEqnNum321261}\n\\mathop{{\\rm maximize}}\\limits_{{\\bm \\sigma }} {\\rm \\;  \\; \\; \\; }\\sum _{i}(b_{i} (\\hat{{\\bm \\sigma }}_{i} )-\\|{\\bm \\sigma }_{i}\\| ) -\\sum _{i}\\lambda _{i}  (\\|{\\bm \\sigma }_{i}\\| -\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} ))\n\\end{equation}\nwhere $\\lambda _{i} \\ge 0,\\forall i$ are the Lagrangian multiplexers. The optimization thus separates into two levels of optimization. At the lower level, we have the sub-problems (one for each agent), $\\forall i$\n\\begin{equation} \\label{ZEqnNum852632}\n\\mathop{{\\rm maximize}}\\limits_{\\hat{{\\bm \\sigma }}_{i} } {\\rm \\; \\; \\; \\; \\; \\; \\; \\; }(1+\\lambda _{i} \\delta )b_{i} (\\hat{{\\bm \\sigma }}_{i} )-\\sum _{j:g_{ij} =1} (1+\\lambda _{j} )\\sigma _{ji}\n\\end{equation}\nIt is easy to see that the optimal solution of these subproblems is also the optimal solution of the relaxed problem \\eqref{ZEqnNum321261}. At the higher level, the master dual problem is in charge of updating the dual variables,\n\\begin{equation} \\label{13)}\n\\begin{array}{l} {\\mathop{{\\rm minimize}}\\limits_{{\\bm \\lambda }} {\\rm \\; \\; \\; \\; \\; \\; \\; \\; }g({\\bm \\lambda })=\\sum _{i}g_{i}  ({\\bm \\lambda })} \\\\ {{\\rm subject\\; to\\; \\; \\; \\; \\; \\; \\; \\; }\\lambda _{i} \\ge 0,\\forall i} \\end{array}\n\\end{equation}\nwhere $g_{i} ({\\bm \\lambda })$ is the maximum value of the Lagrangian \\eqref{ZEqnNum852632} given ${\\bm \\lambda }$ and $g({\\bm \\lambda })$ is the maximum value of the Lagrangian \\eqref{ZEqnNum321261} of the primal problem. The following subgradient method is used to update ${\\bm \\lambda }$,\n\\begin{equation} \\label{ZEqnNum330405}\n\\lambda _{i} (q+1)=\\left[\\lambda _{i} (q)+w({\\bm \\sigma }_{i} -\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} ))\\right]^{+} ,\\forall i\n\\end{equation}\nwhere $q$ is the iteration index, $w>0$ is a sufficiently small positive step-size. Because \\eqref{ZEqnNum960030} is a convex optimization, such an iterative algorithm will converge \\cite{Boyd} to the dual optimal ${\\bm \\lambda }^{*} $ as $q\\to \\infty $ and the primal variable ${\\bm \\sigma }^{*} ({\\bm \\lambda }(q))$ will also converge to the primal optimal ${\\bm \\sigma }^{*} $.\n\nThis iterative process can be made fully distributed which requires only limited message exchange between neighboring SNIs. We present the Distributed Computation of the Recommended Strategy (DCRS) Algorithm below which is run locally by each SNI of the agents.\n\n\n\\bigskip\n\\noindent\n\\begin{tabular}{p{6in}} \\hline\n\\textbf{Algorithm}: Distributed Computation of the Recommended Strategy (DCRS)  \\\\ \\hline\n(Run by SNI of agent $i$)\\textit{\\newline Input}: Connectivity and utility function of agent $i$.\\newline \\textit{Output}:  ${\\bm \\sigma }_{i} ({\\boldsymbol{K}})=\\{ \\sigma _{ij} (K)\\} _{j:g_{ij} =1} $ (denoted by ${\\bm \\sigma }_{i} =\\{ \\sigma _{ij} \\} _{j:g_{ij} =1} $ for simplification) \\\\ \\hline\n\\textbf{Initialization}:, $q=0$; $\\lambda _{i} (q)=0$\\newline \\textbf{Repeat}:\\newline Send $\\lambda _{i} (q)$ to neighbor $j$, $\\forall j:g_{ij} =1$. $~~~$(Obtain $\\lambda _{j} (q)$ from $j$, $\\forall j$)\\newline Solve \\eqref{ZEqnNum852632} using $\\lambda _{i} (q)$, $\\{\\lambda _{j} (q)\\}_{j:g_{ij} =1}$ to obtain $\\hat{{\\bm \\sigma }}_{i} ({\\bm \\lambda }(q))$.\\newline Send $\\sigma _{ji} ({\\bm \\lambda }(q))$ to neighbor $j$, $\\forall j:g_{ij} =1$.  $~~~$(Obtain $\\sigma _{ij} ({\\bm \\lambda }(q))$ from $j$, $\\forall j$)\\newline Update $\\lambda _{i} (q+1)$  according to \\eqref{ZEqnNum330405}.\\newline \\textbf{Stop} until $\\|\\lambda _{ji} (q+1)-\\lambda _{ji} (q)\\|_2 <\\varepsilon _{\\lambda } $ \\\\ \\hline\n\\end{tabular}\n\\bigskip\n\nThe above DCRS algorithm has the following interpretation. In each period, each SNI computes the information sharing actions of its neighbors that maximize the social surplus with respect to its own agent (i.e. the benefit obtained by its own agent minus the cost incurred by its neighbors). However, this computation has to take into account whether neighboring agents' incentive constraints are satisfied which are reflected by the Lagrangian multipliers. The larger $\\lambda _{i} $ is, the more likely is that agent $i$'s incentive is being violated. Hence, the neighbors of agent $i$ should acquire less information from it. We note that the DCRS algorithm needs to be run to compute the optimal strategy only once in the static topology case or once in a while in the dynamic topology case.\n\n\n\\subsection{Computing the Remaining Components of the Rating Protocol}\nEven though the DCRS algorithm provides a distributed way to compute the recommended strategy when agents have the highest ratings, the other elements of the rating protocol remain to be determined. There are many possible rating protocols that can constitute PPE given the obtained recommended strategies. In fact, we have already provided one way to compute these remaining elements when we determined the sufficient condition in Theorem 2 by using a constructional method. However, this is not the most efficient design in the imperfect monitoring scenario where ratings will occasionally drop due to monitoring errors. Therefore, the remaining components of the rating protocol should still be smartly chosen in the presence of monitoring errors. In this subsection, we consider a rating protocol with a binary rating set $\\Theta =\\{ 1,2\\} $ and $\\sigma _{ij} (\\theta =1)=0,\\forall i,j:g_{ij} =1$. We design the rating update probabilities $\\alpha _{i,2} ,\\beta _{i,1} ,\\forall i$ to maximize the social welfare when monitoring error exists.\n\n\\begin{proposition}\nGiven a binary rating protocol $\\Theta =\\{ 1,2\\} $, $\\sigma _{ij} (2),\\forall i,j:g_{ij} =1$ determined by the DCRS Algorithm and $\\sigma _{ij}(1)=0,\\forall i,j:g_{ij} =1$, when the monitoring error $\\epsilon>0$, the optimal rating update probability that maximize the social welfare is, $\\forall i$, $\\beta _{i,1}^{*} =1,\\alpha _{i,2}^{*} =\\frac{\\|{\\bm \\sigma }_{i} ({\\bf 2})\\|}{\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (2))} $\n\\end{proposition}\n\\begin{proof}\nWe can derive the feasible values of $\\alpha _{i,2} ,\\beta _{i,1} ,\\forall i$ for binary rating protocol, i.e.\n\\begin{equation} \\label{ZEqnNum221816}\n\\beta _{i,1} \\ge \\frac{1-\\delta }{\\delta } \\frac{\\|{\\bm \\sigma }_{i} ({\\bf 2})\\|}{b_{i} (\\hat{{\\bm \\sigma }}_{i} (2))-\\|{\\bm \\sigma }_{i} ({\\bf 2})\\|}\n\\end{equation}\n\\begin{equation} \\label{ZEqnNum2218162}\n\\alpha _{i,2} \\ge \\frac{1-\\delta (1-\\beta _{i,1} )}{\\delta } \\frac{\\|{\\bm \\sigma }_{i} ({\\bf 2})\\|}{b_{i} (\\hat{{\\bm \\sigma }}_{i} (2))}\n\\end{equation}\n\nWhen monitoring is imperfect $\\epsilon>0$, agent $i$ will drop to $\\theta _{i} =1$ with positive probability even if it follows the recommended strategy all the time. According to the rating update rule, we can compute the stationary probability that agent $i$ stays at rating $\\theta _{i} =2$, i.e.\n\\begin{equation} \\label{ZEqnNum259722}\n\\frac{(1-\\epsilon)\\beta _{i,1} }{\\epsilon\\alpha _{i,2} +(1-\\epsilon)\\beta _{i,1} }\n\\end{equation}\n\nBecause agents having low ratings harms the social welfare, we need to select $\\alpha _{i,2} ,\\beta _{i,1} $ that maximizes \\eqref{ZEqnNum259722}. This is equivalent to minimize $\\alpha _{i,2} \/\\beta _{i,1} $.  For any $\\beta _{i,1} $, the optimal value of $\\alpha _{i,2} $ is the binding value of \\eqref{ZEqnNum2218162} and hence, we need to minimize $[1-\\delta (1-\\beta _{i,1} )]\/\\beta _{i,1} $. Because $[1-\\delta (1-\\beta _{i,1} )]\/\\beta _{i,1} $ is decreasing in $\\beta _{i,1} $, the optimal value of $\\beta _{i,1} $ is $\\beta _{i,1}^{*} =1$. Using \\eqref{ZEqnNum221816}  again, the optimal value of $\\alpha _{i,2}^{*} =\\frac{\\|{\\bm \\sigma }_{i} ({\\bf 2})\\|}{\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (2))} $.          \\end{proof}\n\nIt is worth noting that these probabilities can be computed locally by the SNIs of the agents which do not require any information from other agents.\n\n\n\\subsection{Example Revisited}\nAt this point, we have showed how the rating protocol can be determined in a distributed manner, given the network structure. It is time to revisit the cooperative estimation example for the ring and star topologies in order to illustrate the impact of topology on agents' incentives and recommended strategies. Figure \\ref{ring-star2} illustrates the optimal recommended strategies computed using the method developed in this section for these two topologies.\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.7]{ring_star2.pdf}}\n\\caption{Optimal strategies for strategic agents interacting over a ring and a star. (The other elements of the rating protocol can be computed as in Section V(C) )}\\label{ring-star2}\n\\vspace{-15pt}\n\\end{figure}\n\n\nIn the ring topology, agents are homogeneous and links are symmetric. As we can see, the optimal recommended strategy ${\\bm \\sigma }^{*} $ is exactly the same as the optimal action ${\\boldsymbol{a}}^{opt} $ for obedient agent case because ${\\boldsymbol{a}}^{opt} $ already provides sufficient incentive for strategic agents to follow. Therefore, we can easily determine that $PoA=1$. However, the strategic behavior of agents indeed degrades the social welfare in other cases, especially when the network becomes more heterogeneous and asymmetric, e.g. the star topologies. Even though taking ${\\boldsymbol{a}}^{opt} $ maximizes the social welfare $V^{opt} =4$ in the star topology, these actions are not incentive-compatible for all agents. In particular, the maximum welfare $V^{opt} =4$ is achieved by sacrificing the individual utility of the center agent (i.e. agent 1 needs to contribute much more than it obtains). However, when agents are strategic, the center agent will not follow these actions ${\\boldsymbol{a}}^{opt} $ and hence, $V^{opt} =4$ cannot be achieved. More problematically, since the center agent will choose not to participate in the information sharing process, the periphery agents do not obtain benefits and hence, they will also choose not to participate in the information sharing process. This leads to a network collapse. In the proposed rating protocol, the recommended strategies satisfy all agents' incentive constraints, namely $\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (K))\\ge \\|{\\bm \\sigma }_{i} ({\\bf K})\\|,\\forall i$. By comparing ${\\boldsymbol{a}}^{opt} $ and ${\\bm \\sigma }^{*} $, we can see that the rating protocol recommends more information sharing from the periphery agents to the center agent and less information sharing from the central agent to the periphery agents than the obedient agent case. In this way, the center agent will obtain sufficient benefits from participating in the information sharing. However, due to this compensation for the center agent, the PoA is increased to $PoA=1.036$.\n\nNote that the optimal recommended strategy for strategic agents is computed in a distributed way by the DCRS algorithm. Figure \\ref{convergence} shows the intermediate values of the recommended strategy $\\sigma _{12},\\sigma _{21} $ by running the DCRS algorithm for the star. (Only the strategies between agents 1 and 2 are shown because the rest are identical due to the homogeneity of periphery agents).\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.7]{convergence.pdf}}\n\\caption{The recommended strategy obtained by running DCRS for the star topology.}\\label{convergence}\n\\vspace{-15pt}\n\\end{figure}\n\n\n\n\\section{Performance Analysis}\nIn this section, we analyze the performance of the rating protocol and try to answer two important questions: (1) What is the performance loss induced by the strategic behavior of agents? (2) What is the performance improvement compared to other (simple) incentive mechanisms?\n\n\\subsection{Price of Anarchy}\nObserve the social welfare maximization problems \\eqref{ZEqnNum918213} and \\eqref{ZEqnNum960030} for obedient agents and strategic agents (by using rating protocols), respectively. It is clear that the social welfare achieved by the rating system is always no larger than that obtained when agents are obedient due to the equilibrium constraint; hence, i.e. $PoA\\ge 1$. The exact value of PoA will, in general, depend on the specific network structure (topology and individual utility functions). In this subsection, we identify a sufficient condition for the connectivity degree of the topology such that PoA is one. To simplify the analysis, we assume that agents' benefit functions are homogeneous and depend only on the sum information sharing action of the neighboring agents, i.e. $b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )=b(\\sum _{j:g_{ij} =1} a_{ji} )$.  Let $d_{i} =\\sum _{j}g_{ij}  $ be the number of neighbors of agent $i$. The degree of network $G$ is defined as $d=\\mathop{\\max }\\limits_{i} d_{i} $.\n\n\\begin{proposition}\nSuppose benefit function structure $b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )=b(\\sum _{j:g_{ij} =1} a_{ji} ),\\forall i$, if the connectivity degree $d$ is no larger than $\\bar{d}$ such that $\\delta b(\\bar{d})-\\bar{d}=0$, then $V^{*} =V^{opt} $, i.e. PoA is one.\n\\end{proposition}\n\n\\begin{proof}\nDue to the concavity of the benefit function (Assumption), there exists $m^{*} $ such that if $d>m^{*} $, $b(d)-d<0$ and if $d\\le m^{*} $, $b(d)-d\\ge 0$. If the connectivity degree satisfies $d<m^{*} $, then the optimal solution of \\eqref{ZEqnNum918213} is $a_{ij} =1,\\forall i,j:g_{ij} =1$. That is, optimality is achieved when all agents share the maximal amount of information with all their neighbors. Therefore, $\\forall d<m^{*} $, the agent $i$'s benefit is $b(m_{i} )$ and its cost is $m_{i} $ in the optimal solution.\n\nAgain due to the concavity of the benefit function, there exists $\\bar{d}\\le m^{*} $ (inequality is due to $\\delta \\in (0,1]$) such that if $d>\\bar{d}$, $\\delta b(d)-d<0$ and if $d\\le \\bar{d}$, $\\delta b(d)-d\\ge 0$.Therefore, if $d\\le \\bar{d}$, $\\forall i$, agent $i$'s benefit and cost satisfy $\\delta b(m_{i} )-m_{i} \\ge 0$. This satisfies the equilibrium constraint due to Theorem 2. Therefore, the achievable social welfare is the same.            \\end{proof}\n\nProposition 2 states that when the connectivity degree is low, the proposed rating protocol will achieve the optimal performance even when agents are strategic.\n\n\\subsection{Comparison with Direct Reciprocation}\nThe proposed rating protocol is not the only incentive mechanism that can incentivize agents to share information with other agents. A well-known direct reciprocation based incentive mechanism is the Tit-for-Tat strategy, which is widely adopted in many networking applications \\cite{Axelrod}-\\cite{Milan}. The main feature of the Tit-for-Tat strategy is that it exploits the repeated \\textit{bilateral} interactions between connected\\textit{ }agents, which can be utilized to incentivize agents to \\textit{directly} reciprocate to each other. However, when agents do not have bilateral interests, such mechanisms fail to provide such incentives and direct reciprocity algorithms cannot be applied.\n\nNevertheless, even if we assume that interests are bilateral between agents, our proposed rating protocol is still guaranteed to outperform the Tit-for-Tat strategy when the utility function takes a concave form as assumed in this paper. Intuitively, because the marginal benefit from acquiring information from one neighbor is decreasing in the total number of neighbors, agents become less incentivized to cooperate when their deviation towards some neighboring agent would not affect future information acquisition from others, as is the case with the Tit-for-Tat strategy. In the following, we formally compare our proposed rating protocol with the Tit-for-Tat strategy. We assume that an agent $i$ has two sharing actions that it can choose to collaborate with its neighboring agent $j$, i.e. $\\{ 0,\\bar{a}_{ij} \\} $ where $\\bar{a}_{ij} \\in (0,1]$. The Tit-for-Tat strategy prescribes the action for each agent $i$ as follows, $\\forall j:g_{ij} =1$,\n\\begin{equation} \\label{17)}\n\\begin{array}{l} {a_{ij} (0)=\\bar{a}_{ij} } \\\\ {a_{ij} (t+1)=\\left\\{\\begin{array}{l} {\\bar{a}_{ij} ,{\\rm \\; \\; \\; if\\; \\; }a_{ji} (t)=\\bar{a}_{ji} } \\\\ {0,{\\rm \\; \\; \\; \\; \\; if\\; \\; }a_{ji} (t)=0} \\end{array}\\right. ,\\forall t\\ge 0} \\end{array}\n\\end{equation}\n\n\\begin{proposition}\nGiven the network structure and the discount factor, any action profile $\\bar{a}$ that can be sustained by the Tit-for-Tat strategy can also be sustained by the rating protocol.\n\\end{proposition}\n\n\\begin{proof}\nConsider the interactions between any pair of agents $i,j$. In the Tit-for-Tat strategy, the long-term utility of agent $i$ by following the strategy when agent $j$ played $\\bar{a}_{ji} $ in the previous period is $U_{i} =\\frac{\\tilde{b}_{ji} (\\bar{a}_{ji} )-\\bar{a}_{ij} }{1-\\delta } $ where $\\tilde{b}_{ji} (x)=b_{i} (\\hat{a}_{i} |a_{ki} =\\bar{a}_{ki} ,a_{ji} =x)$. If agent $i$ deviates in the current period, Tit-for-Tat induces a continuation history $(\\{ \\bar{a}_{ij} ,0\\} ,\\{ 0,\\bar{a}_{ji} \\} ,\\{ \\bar{a}_{ij} ,0\\} ...)$ where the first components are agent $i$'s actions and the second components is agent $j$'s actions.  The long-term utility of agent $i$ by one-shot deviation is thus\n\\begin{equation} \\label{18)}\nU_{i} '=\\frac{\\tilde{b}_{ji} (\\bar{a}_{ji} )}{1-\\delta ^{2} } +\\delta \\frac{\\tilde{b}_{ji} (0)-\\bar{a}_{ij} }{1-\\delta ^{2} }\n\\end{equation}\n\nIncentive-compatibility requires that $U_{i} \\ge U_{i} '$ and therefore\n\\begin{equation} \\label{ZEqnNum345510}\n\\delta (\\tilde{b}_{ji} (\\bar{a}_{ji} )-\\tilde{b}_{ji} (0))\\ge \\bar{a}_{ij}\n\\end{equation}\n\nDue to the concavity of the benefit function, it is easy to see that \\eqref{ZEqnNum345510} leads to $\\delta b_{i} (\\hat{{\\boldsymbol{a}}}_{i} )\\ge \\|{\\boldsymbol{a}}_{i}\\| $ which is a sufficient condition for the rating protocol to be an equilibrium.\n\\end{proof}\n\nProposition 3 proves that the social welfare achievable by the rating protocol equals or exceeds that of the Tit-for-Tat strategy, which confirms the intuitive argument before that diminishing marginal benefit from information acquisition would result in less incentives to cooperate in an environment with only direct reciprocation than in one allowing indirect reciprocation. We note that different action profiles $\\bar{{\\boldsymbol{a}}}$ will generate different social welfare. However, computing the best $\\bar{{\\boldsymbol{a}}}$ among the incentive-compatible Tit-for-Tat strategies is often intractable since \\eqref{ZEqnNum345510} is a non-convex constraint. Hence, implementing the best Tit-for-Tat strategy to maximize the social welfare is often intractable. In contrast, the proposed rating protocol does not have this problem since the equilibrium constraint established in Theorem 2 is convex and hence, the optimal recommended strategy can be solved distributed by the proposed DCRS algorithm.\n\n\n\n\n\\section{Growing Networks}\nIn Section V, we designed the optimal rating protocol by assuming that the network topology is time-invariant. In practice, the social network topology can also change over time due to, e.g. new agents joining the network and new links being created. Nevertheless, our framework can easily handle such growing networks by adopting a simple extension which refreshes the rating protocol (i.e. re-computes the recommended strategy, rating update rules and re-initializes the ratings of agents) with a certain probability each period. We call this probability the refreshing rate and denote it by $\\rho \\in [0,1]$. When topologies are changing, the refreshing rate will also be an important design parameter of the rating protocol.\n\nConsider that the rating protocol was refreshed at period $T$ the last time.  Denote the probability that the rating protocol is refreshed at time $T+t$ as $p(t)$. Denote the network in period $t$ by $G(t)$. We assume that in each period a number $n(t)$ of new agents join the network and stay forever. Therefore, the network topology $G(t+1)$ will be formed based on $G(t)$ and the new agents. Let $V^{*} (G;\\rho )$ be the social welfare achieved by the rating protocol if the network topology is $G$ and the refreshing is set to be $\\rho $. Since there are no recommended strategy and update rules concerning the new agents before the next refreshment, existing agents have no incentives to share information with the new agents and vice versa, the new agents have no incentives to share information with their neighbors. Hence, the average social welfare achieved by the rating protocol before the next refreshment is $V^{*} (G(T);\\rho )$.  The optimal refreshing rate design problem is thus,\n\\begin{equation} \\label{ZEqnNum714883}\n\\begin{array}{c}\n\\rho ^{*} =\\arg \\mathop{\\max }\\limits_{\\rho } \\bigg(\\underbrace{{\\rm {\\mathbb E}}\\sum _{t=0}^{\\infty }p (t)\\frac{1}{t+1} \\sum _{\\tau =0}^{t}V^{opt} (G(T+\\tau )) }_{{\\rm expected\\; optimal\\; social\\; welfare}}-\\underbrace{V^{*} (G(T);\\rho )}_{{\\rm social\\; welfare\\; achieved\\; by\\; the\\; rating\\; protocol}}\\bigg)\n\\end{array}\n\\end{equation}\nThe first term in \\eqref{ZEqnNum714883} is the expected optimal social welfare and the second term is the social welfare achieved by the rating protocol.\n\nWe first investigate the expected optimal social welfare. Let the social welfare variance be $\\Delta _{V} (t+1)\\triangleq V^{OPT} (G(t+1))-V^{OPT} (G(t))$. It is easy to see that $\\Delta _{V} (t+1)\\ge 0$. We assume that the expected social welfare contribution of new agents is ${\\rm {\\mathbb E}}(\\Delta _{V} (t))=\\Delta _{v} $ which is time-independent. Given the refreshing rate $\\rho $, the expected time-average optimal social welfare from $T$ to the next refreshing period can be computed as\n\\[\\begin{array}{l} {\\rm {\\mathbb E}}\\sum _{t=0}^{\\infty }p (t)\\frac{1}{t+1} \\sum _{\\tau =0}^{t}V^{opt} (G(T+\\tau )) \\\\={\\rm {\\mathbb E}}\\sum _{t=0}^{\\infty }\\rho  (1-\\rho )^{t} \\frac{1}{t+1} \\sum _{\\tau =0}^{t}V^{opt} (G(T+\\tau ))  \\\\ {=V^{opt} (G(T))+\\sum _{t=0}^{\\infty }\\rho (1-\\rho )^{t} \\frac{1}{t+1} {\\rm {\\mathbb E}}\\sum _{\\tau =0}^{t}\\Delta _{V} (T+\\tau )  } \\\\ =V^{opt} (G(T))+\\sum _{t=0}^{\\infty }\\rho (1-\\rho )^{t} \\frac{1}{t+1} \\frac{t(t+1)}{2} \\Delta _{V}  \\\\=V^{opt} (G(T))+\\frac{(1-\\rho )\\Delta _{V} }{2\\rho }  \\end{array}\\]\n\nHence, the expected optimal social welfare is decreasing in the refreshing rate $\\rho $.\n\nNext, we investigate the relation between $V^{*} (G(T);\\rho )$ and $\\rho $. This is established in the proposition below.\n\n\\begin{proposition}\n$V^{*} (G(T);\\rho )$ is non-decreasing in $\\rho $.\n\\end{proposition}\n\n\\begin{proof}\nDue to the refreshing, an agent $i$'s long-term utility becomes\n\\begin{equation} \\label{21)}\nU_{i} (t)=u_{i} ({\\boldsymbol{a}}(t))+(1-\\rho )\\delta u_{i} ({\\boldsymbol{a}}(t+1))+[(1-\\rho )\\delta ]^{2} u_{i} ({\\boldsymbol{a}}(t+2))+...\n\\end{equation}\n\nHence, following the similar proof of Theorem 2, agents' incentives can be provided if and only if $(1-\\rho )\\delta b_{i} (\\hat{{\\bm \\sigma }}_{i} (K))\\ge {\\bm \\sigma }_{i} ({\\boldsymbol{K}}),\\forall i$. Therefore the constraint in the optimal strategy design problem \\eqref{ZEqnNum960030} becomes stronger for the rating protocol with refreshing. Hence, the achievable social welfare becomes (weakly) lower.\n\\end{proof}\n\nSummarizing, the refreshing rate impacts the social welfare gap in two different ways. On one hand, $\\frac{(1-\\rho )\\Delta _{V} }{2\\rho } $ is non-decreasing in $\\rho $ since a larger $\\rho $ leads to a better adaptation of the rating protocol to the changing topology. On the other hand, $V^{*} (G(T);\\rho )$ is also non-decreasing in $\\rho $ since a smaller $\\rho $ provides more incentives for agents to follow the rating protocol designed in period $T$. Therefore, the refreshing rate has to balance these two effects. In the simulations, we will show how different refreshing rates influence the social welfare in various exemplary scenarios.\n\n\n\\section{Illustrative Results}\nIn this section, we provide simulation results to illustrate the performance of the rating protocol. In all simulations, we consider the cooperative estimation problem introduced in Section III (A). Therefore, agents' utility function takes the form of $u_{i} ({\\boldsymbol{a}}(t))=[r^{2} -MSE_{i} (\\hat{{\\boldsymbol{a}}}_{i} (t))]-{\\boldsymbol{a}}_{i} (t)$ \\cite{Chen}. We will investigate different aspects of the rating protocol by varying the underlying topologies and the environment parameters.\n\n\\subsection{Impact of Network Topology}\nNow we investigate in more detail how the agents' connectivity shapes their incentives and influences the resulting social welfare. In the first experiment, we consider the cooperative estimation over star topologies with different sizes (hence, different connectivity degrees). Figure \\ref{stardegree} shows the PoA achieved by the rating protocol for discount factors $\\delta =1,0.9,0.8,0.7$ for the noise variance $r^{2} =8$. As predicted by Proposition 3, when the connectivity degree is small enough, the PoA equals one and hence, the performance gap is zero. As the network size increases (hence the connectivity degree increases in the star topology), the socially optimal action requires the center agent to share more information with the periphery agents. However, it becomes more difficult for the center agent to have incentives to do so since the information sharing cost becomes much larger than the benefit. In order to provide sufficient incentives for the center agent to participate in the information sharing process, the rating protocol recommends less information sharing from the center agent to each periphery agent. However, incentives are provided at a cost of reduced social welfare. Figure \\ref{stardegree} also reveals that when agents' discount factor is lower (agents value less the future utility), incentives are more difficult to provide and hence, the PoA becomes higher. In the next simulation, we study scale-free networks in the imperfect monitoring scenarios. In scale-free networks, the number of neighboring agents is distributed as a power law (denote the power law parameter by $d^{SF} $). Table 3 shows the PoA achieved by the rating protocol developed in Section V(C) for various values of $d^{SF} $ and different monitoring error probabilities $\\epsilon$. As we can see, the proposed rating protocol achieves close-to-optimal social welfare in all the simulated environments\n\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.8]{stardegree.pdf}}\n\\caption{Performance of the rating protocol for various connectivity degrees in star topologies.}\\label{stardegree}\n\\vspace{-5pt}\n\\end{figure}\n\n\\begin{table}[t]\n\\centerline{\\includegraphics[scale = 0.9]{Table3.pdf}}\n\\caption{Performance of the rating protocol for various   in scale-free topologies.}\\label{Table3}\n\\vspace{-15pt}\n\\end{table}\n\n\\subsection{Comparison with Tit-for-Tat}\nAs mentioned in the analysis, incentive mechanisms based on direct reciprocation such as Tit-for-Tat do not work in networks lacking bilateral interests between connected agents and hence, reasons to mutually reciprocate. In this simulation, to make possible a direct comparison with the Tit-for-Tat strategy, we consider a scenario where the connected agents do have bilateral interest and show that the proposed rating protocol significantly outperforms the Tit-for-Tat strategy. In general, computing the optimal action profile $\\bar{a}^{*} $ for the Tit-for-Tat strategy is difficult because it involves the non-convex constraint $\\delta (b_{i} (\\{ \\bar{a}_{ki}^{*} \\} _{k:g_{ik} =1} )-b_{i} (\\{ \\bar{a}_{ki}^{*} \\} _{k\\ne j:g_{ik} =1} ,0))\\ge \\bar{a}_{ij}^{*} $, $\\forall i,\\forall j\\ne i:g_{ij} =1$; such a difficulty is not presented in our proposed rating protocol because the constraints in our formulated problem are convex. For tractability, here we consider a symmetric and homogeneous network to enable the computation of the optimal action for the Tit-for-Tat strategy. We consider a number $N=100$ of agents and that the number of neighbors of each agent is the same $d_{i} =d,\\forall i$ and each agent adopts a symmetric action profile $\\bar{a}_{ij} =\\bar{a},\\forall i,j$. The noise variance is set to be $r^{2} =4$ in this simulation. Figure \\ref{tft} illustrates the PoA achieved by the proposed rating protocol and the Tit-for-Tat strategy. As predicted by Proposition 4, any action profile that can be sustained by the Tit-for-Tat strategy can also be sustained by the proposed rating protocol (for the same $\\delta $). Hence, the rating protocol yields at least as much social welfare as the Tit-for-Tat strategy. As the discount factor becomes smaller, agents' incentives to cooperate become less and hence, the PoA is larger.\n\n\\begin{figure}\n\\centerline{\\includegraphics[scale = 0.8]{tft.pdf}}\n\\caption{Performance comparison with Tit-for-Tat.}\\label{tft}\n\\vspace{-5pt}\n\\end{figure}\n\n\n\\subsection{Rating Protocol with Refreshing}\nFinally, we consider the optimal choice of the rating protocol refreshing rate $\\rho $ when the network is growing as considered in section VIII. In this simulation, the network starts with $N=50$ agents. In each period, a new agent joins the network with probability 0.1 and stays in the network forever. Any two agents are connected with \\textit{a priori} probability 0.2. We vary the refreshing rate from 0.005 to 0.14. Table 4 records the PoA achieved the rating protocol with refreshing for $\\delta =0.4$. It shows that the optimal refreshing rate needs to be carefully chosen. If $\\rho $ is too large, the incentives for agents to cooperate is small hence, the incentive-compatible rating protocol achieves less social welfare. If $\\rho $ is too small, the rating protocol is not able to adapt to the changing topology well. This introduces more social welfare loss in the long-term as well. The optimal refreshing rate in the simulated network is around 0.04.\n\n\\begin{table}[t]\n\\centerline{\\includegraphics[scale = 1]{Table4.pdf}}\n\\caption{PoA of rating protocols with different refreshing rates. }\\label{Table4}\n\\vspace{-15pt}\n\\end{table}\n\n\\section{Conclusions}\nIn this paper, we studied how to design distributed incentives protocols (based on ratings) aimed at maximizing the social welfare of repeated information sharing among strategic agents in social networks. We showed that it is possible to exploit the ongoing nature of agents' interactions to build incentives for agents to cooperate based on rating protocols. The proposed design framework of the rating protocol enables an efficient way to implement social reciprocity in distributed information sharing networks with arbitrary topologies and achieve much higher social welfare than existing incentive mechanisms. Our analysis also reveals the impact of different topologies on the achievable social welfare in the presence of strategic agents and hence, it provides guidelines for topology configuration and planning for networks with strategic agents. The proposed rating protocols can be applied in a wide range of applications where selfish behavior arises due to cost-benefit considerations including problems involving interactions over social networks, communications networks, power networks, transportation networks, and computer networks.\n\n\n\n\\section*{Appendix: Proof of Theorem 2}\nAccording to Lemma, we know that it suffices to ensure that agent $i$ has the incentives to following the recommended strategy when other agents' ratings are ${\\boldsymbol{K}}$ (i.e. all other agents have the highest rating $K$). However, we need to ensure this holds for all ratings of agent $i$. We will write ${\\bm \\sigma }_{i} ({\\boldsymbol{K}})$ as ${\\bm \\sigma }_{i} $ and $\\hat{{\\bm \\sigma }}_{i} (K)$ as $\\hat{{\\bm \\sigma }}_{i} $ to keep the notation simple.\n\nWe prove the ``only if'' part first, i.e. if $\\|\\bm \\sigma_i\\| \\geq \\delta b_i(\\hat{\\bm \\sigma_i})$. Consider rating level $k$, if agent $i$ follows the recommended strategy, its long-term utility is\n\\begin{align}\nU_i(k, \\bm\\sigma_i) = u_i(k, \\bm\\sigma_i) + \\delta(\\beta_{i,k} U^*_i(k+1) + (1 - \\beta_{i,k} U^*_i(k))\n\\end{align}\nBy deviation to ${\\bf 0}$, its long-term utility is\n\\begin{align}\nU_i(k, {\\bf 0}) = u_i(k, {\\bf 0}) + \\delta(\\alpha_{i,k} U^*_i(k-1) + (1 - \\alpha_{i,k} U^*_i(k))\n\\end{align}\nEquilibrium requires that $U_i(k, \\bm\\sigma_i)  \\geq U_i(k, {\\bf 0})$. Hence,\n\\begin{equation}\n\\begin{aligned}\n&u_i(k, {\\bf 0}) - u_i(k, \\bm\\sigma_i)\\\\\n\\leq &\\delta[(\\beta_{i,k} U^*_i(k+1) + (1 - \\beta_{i,k}) U^*_i(k)) \\\\\n&- (\\alpha_{i,k} U^*_i(k-1) + (1-\\alpha_{i,k}) U^*_i(k))]\n\\end{aligned}\n\\end{equation}\nBy Lemma (3), $U^*_i(K) \\geq U^*_i(k),\\forall k$. Therefore, PPE requires\n\\begin{align}\nu_i(k, {\\bf 0}) - u_i(k, \\bm\\sigma_i) \\leq \\delta U^*_i(K) \\label{eq34}\n\\end{align}\nBecause $u_i(k, {\\bf 0}) - u_i(k, \\bm\\sigma_i) = \\|\\bm\\sigma_i\\|$ and\n\\begin{align}\nU^*_i(K) = \\frac{1}{1-\\delta} u_i(K, \\bm\\sigma_i) = \\frac{1}{1-\\delta}\\left(b_i(\\hat{\\bm\\sigma}_i) -  \\|\\bm\\sigma_i\\|\\right)\n\\end{align}\n(\\ref{eq34}) becomes,\n\\begin{align}\n\\|\\bm\\sigma_i\\| \\leq \\delta b_i(\\hat{\\bm\\sigma}_i)\n\\end{align}\nHence, if $\\|\\bm\\sigma_i\\| > \\delta b_i(\\hat{\\bm\\sigma}_i)$, then no rating protocol can constitute a PPE.\n\nNext we prove the ``if'' part by construction. We let $\\alpha_{i,K-1} = 0$ and hence, the effect rating set is just a binary set $\\{K-1, K\\}$. The value functions can be determined below,\n\\begin{equation}\nU^*_i(K) = u_i(K, \\bm\\sigma_i) + \\delta U^*_i(K) \\label{UK}\n\\end{equation}\n\\begin{equation}\n\\begin{aligned}\n&U^*_i(K-1) = u_i(K-1, \\bm\\sigma_i)\\\\\n& + \\delta (\\beta_{i,K-1} U^*_i(K) + (1-\\beta_{i,K-1}) U^*_i(K-1) \\label{UK-1}\n\\end{aligned}\n\\end{equation}\nThe long-term utilities by deviation is\n\\begin{equation}\n\\begin{aligned}\n&U_i(K, {\\bf 0}) = u_i(K, {\\bf 0}) \\\\\n&+ \\delta(\\alpha_{i, K} U^*_i(K-1) + (1 - \\alpha_{i, K}) U^*_i(K))\n\\end{aligned}\n\\end{equation}\n\\begin{equation}\nU_i(K-1, {\\bf 0}) = u_i(K-1, {\\bf 0}) + \\delta U^*_i(K-1)\n\\end{equation}\n\nFor agent $i$ to have incentives to following the recommended strategy at $\\theta_i = K$, we need the following to hold\n\\begin{align}\nu_i(K, {\\bf 0}) - u_i(K, \\bm\\sigma_i) \\leq \\delta \\alpha_{i,K}(U^*_i(K) - U^*_i(K-1)) \\label{conditionK}\n\\end{align}\n\nFor agent $i$ to have incentives to following the recommended strategy at $\\theta_i = K-1$, we need the following to hold\n\\begin{align}\nu_i(K-1, {\\bf 0}) - u_i(K-1, \\bm\\sigma_i) \\leq \\delta \\beta_{i,K-1}(U^*_i(K) - U^*_i(K-1))\\label{conditionK-1}\n\\end{align}\n\nIn the above two inequalities, $U^*_i(K) - U^*_i(K-1)$ can be computed using (\\ref{UK}) and (\\ref{UK-1}) and is\n\\begin{align}\nU^*_i(K) - U^*_i(K-1) = \\frac{u_i(K, \\bm\\sigma_i) - u_i(K-1, \\bm\\sigma_i)}{1 - \\delta(1 - \\beta_{i, K-1})}.\n\\end{align}\n\nBy choosing $\\alpha_{i,K} = \\beta_{i, K-1} = 1$, both (\\ref{conditionK}) and (\\ref{conditionK-1}) are satisfied. This means that if $\\|\\bm\\sigma_i\\| \\leq \\delta b_i(\\hat{\\bm\\sigma}_i)$, then we can construct at least one binary rating protocol that constitutes a PPE.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\n\n\\section{Introduction}\n\\label{sec:introduction}\n\nWidespread adoption of Machine Learning (ML) for critical tasks brought along the question of {\\em trust}: Are ML models robust in making correct decisions when safety is at risk? Despite the significant advances in deep learning, near-human performance on several tasks did not translate to robustness in adversarial settings~\\cite{szegedy2013intriguing,biggio2013evasion,athalye2017synthesizing,papernot2016transferability}. Several ML models, especially Deep Neural Networks (DNNs), are found susceptible to perturbed inputs resulting in potential safety implications~\\cite{dreossi2018semantic, huang2011adversarial, janasosp}. While many defenses have been proposed to make ML models more robust, only a few have survived adaptive attack strategies~\\cite{athalye2018obfuscated}. Among these defenses are certification~\\cite{raghunathan2018certified} and its variants~\\cite{cohen2019certified,lecuyer2018certified}, and adversarial training~\\cite{madry-iclr2018}. The common theme across these defenses is to ensure that the model's output is stable within an $p$-norm ball around the input, where the $p$-norm is a crude proxy for human imperceptibility. \n\nHowever, these defenses suffer significant degradation in accuracy~\\cite{tsipras2018there,jacobsen2019exploiting,cohen2019certified,lecuyer2018certified}. Recent results in literature have demonstrated that there are settings where robustness and accuracy cannot be simultaneously achieved~\\cite{tsipras2018there,Bubeck:19,win-win}. Additionally, these defenses have largely been detached from the real world; they do not consider the semantic and contextual properties of the classification problem. Thus, the design of efficient and robust DNN classifiers remains an open research problem~\\cite{carlini2019evaluating}. How can we defend against powerful adversaries and avoid the shortcomings of previous defenses? \n\n\n\\begin{figure}[ht]%\n    \\centering\n    \\subfloat[Decision regions without invariant]{{\\includegraphics[width=3.25cm]{figures\/DB1.png} }}%\n    \\qquad\n    \\subfloat[Decision regions with invariant enforced]{{\\includegraphics[width=3.25cm]{figures\/DB2.png} }}%\n    \\caption{\\small Intuitive understanding of how invariances reduce adversarial mobility. In Figure 1(b), the bottom left red region is no longer accessible to the adversary.}%\n    \\label{fig:invariances}%\n\\vspace{-5mm}\n\\end{figure}\n\n\nFortunately, there is one constraint on the power of the adversary: \\textit{the adversarial perturbation should not modify specific salient features which will change the perception\/interpretation of the object.} Take the example of classifying a US road sign (Figure~\\ref{fig:stop}). The shape of the sign is {\\em intentionally} designed to be octagonal; few (if any) other signs have this particular shape. To attack such a sign, an attacker can no longer generate arbitrary perturbations; if the new shape deviates significantly from an octagon, then one can argue that the new object has deviated significantly from (and is no longer) the \\texttt{Stop} sign. Thus, by forcing the adversary to satisfy these constraints (such as preserving the shape), we can increase the attack's cost relative to its resources, thereby satisfying Saltzer and Shroeder's ``work factor'' principle for the design of secure systems~\\cite{saltzer1975protection}. \n\n\nThese constraints posed by the defender can be modeled as {\\em invariances}, which can be explicitly enforced in the classification procedure. When enforced, such invariances limit the adversary's attack space, consequently making the classifier more robust (refer Figure~\\ref{fig:invariances}). Given an input domain $\\mathcal{X}$, invariances (denoted $\\mathcal{I}$) can be captured mathematically as a relation $\\mathcal{I} \\subseteq \\mathcal{X} \\times \\mathcal{X}$. Observe that defense strategies that ensure that the label of a datapoint remains fixed in an $\\varepsilon$-ball around it can also be captured in our framework \\textit{i.e.}\\@\\xspace points $(x,x') \\in \\mathcal{X}$ belong to the invariant $\\mathcal{I} = \\{(x, x') : ||x - x'||_{p} \\leq \\varepsilon\\}$ if and only if they have the same label.\n\nTo the best of our knowledge, there is no previous work that has investigated how to embed a set of invariances into a learning process. In this paper, we wish to understand how one can re-design the classification process to be {\\em more robust} if they are given a set of pre-determined invariances. By doing so, we wish to understand if we can improve the trade-off between accuracy and robustness. Specifically, we discuss:\n\n\\vspace{1mm}\n\\noindent{\\em Modelling domain knowledge as invariances:} We argue that classification problems in the wild can benefit from utilizing domain knowledge both in terms of improving its performance and improving robustness. Enforcing these invariances on an attacker introduces additional constraints on its search space. In particular, we prove that applying invariances affects results from literature that present statistical settings~\\cite{tsipras2018there} (refer Appendix~\\ref{tsipras}) and computational settings~\\cite{win-win} (refer \\S~\\ref{sec:robustness}) where accuracy and robustness fail to co-exist.\n\n\n\\vspace{1mm}\n\\noindent{\\em Data-driven approaches to obtain invariances:} We show that in scenarios where it is intractable to use domain expertise, clustering embeddings obtained from the training data can give sufficient insight to obtain invariances. Through simple experiments on the MNIST and CIFAR-10 datasets, we observe that the clusters generated by intermediary and ultimate layers (respectively) results in distinct label equivalences. We proceed to analyze if these equivalences can be used to design classification schemes with enhanced robustness (refer \\S~\\ref{sec:insights})\n\n\\vspace{1mm}\n\\noindent{\\em Hierarchical Classification:} When enforced, the invariances split the output\/label space of the classifier into equivalence classes, thereby partitioning the classification problem into smaller pieces (\\textit{e.g.,}\\@\\xspace refer Figure~\\ref{fig:road-sign-setup}). Thus, we can design a hierarchical classification scheme (conceptually similar to a decision tree). At the decision nodes of the hierarchy, we have classifiers that enforce the invariances (by forcing inputs to label equivalence classes). At the leaves of the hierarchy, we have classifiers that predict within an equivalence class of labels (refer \\S~\\ref{sec:hierarchies} and \\S~\\ref{sec:general}). By ensuring that all of these constituents (leaves and intermediary classifiers) are robust, we are able to obtain a hierarchical classifier that is more robust than the sum of its parts.\n\n\\vspace{1mm}\n\\noindent{\\em Robustness-Accuracy Improvement:} Employing the invariances within the hierarchical classifier provides robustness gains on two levels. At a high-level, a sequence of invariances limits the prediction to an equivalence class of labels. Equivalence classes limit the adversary's targeted attack capability; they can only target labels within the equivalence class. On a more fine-grained level, we show that reducing the number of labels improves the robustness certificate (defined in \\S~\\ref{certs}) of the classifier compared to the original classifier predicting within the full set of labels. More importantly, we show that these gains in robustness do not harm accuracy (refer \\S~\\ref{sec:robustness_analysis} and \\S~\\ref{sec:robustness_trade-off}).\n\nAs case studies of the real-world application of the invariances and the proposed hierarchical classifier, we study classification problems in two domains -- vision and audio. In the vision domain, we study the problem of road sign classification. Here, we demonstrate that {\\em shape} invariances can be enforced\/realized by using robust inputs. A realization of this approach is by predicting shape from robust LiDAR\\xspace point clouds as opposed to image pixels. From Figure~\\ref{fig:lidar-teaser}, one can observe that the pixel-space inputs perturbed using adversarial patches from previous work~\\cite{roadsigns17} is misclassified as a \\texttt{SpeedLimit} sign (which is supposed to be circular), but the LiDAR\\xspace point cloud shows that the shape of the sign is still an octagon. In the audio domain, we study the problem of speaker identification. Here, we showcase another approach. Specifically, we show that {\\em gender} invariances (through explicit gender prediction) can be enforced by using a classifier that is trained to be robust. Such a robust classifier will be able to perform predictions accurately despite using features that are not robust. \n\nOur results show that: \n\\begin{enumerate}\n\\item Our approach is agnostic to the domain of classification. For both audio and vision tasks, we observe gains in robustness (sometimes a 100\\% increase) and accuracy, suggesting that they may no longer need to be at odds.\n\\item The exact choice of implementation of different components of the hierarchy bears no impact on the correctness of our proposal. In \\S~\\ref{casestudy1}, we implement the root classifier of our hierarchy as a regular DNN trained to operate on robust features (obtained from a different input modality), and in \\S~\\ref{casestudy2}, we implement the root classifier as a smoothed classifier~\\cite{cohen2019certified}. Both approaches result in a hierarchical classifier with increased robustness and accuracy.\n\\item By adding one additional invariant (location), we observe that there are significant gains in robustness for the vision task (refer \\S~\\ref{sec:morerobustfeatures}).\n\\end{enumerate}\n\n\n\n\n\n\n\n\n\n\n\n\n\n\\section{Background}\n\\label{sec:background}\n\n\\subsection{Machine Learning Primer}\n\\label{sec:notation}\n\nConsider a space $\\mathcal{Z}$ of the form $\\mathcal{X} \\times \\mathcal{Y}$ , where $\\mathcal{X}$ is the input\/sample space and $\\mathcal{Y}$ is the output space. For example, in our case studies detailed in \\S~\\ref{expts}, the inputs are images of road signs or audio samples from speakers, and the outputs are the exact road sign or identities (respectively). Often, we assume $\\mathcal{X}=\\mathbb{R}^n$ and $\\mathcal{Y} = \\mathbb{R}^m$. Let $\\mathcal{H}$ be a hypothesis space (\\textit{e.g.,}\\@\\xspace weights of a DNN). We assume a loss function $L:\\mathcal{H} \\times \\mathcal{Z} \\rightarrow \\mathbb{R}$ that measures the {\\em disagreement} of the hypothesis from the ground truth. The output of the learning algorithm is a classifier, which is a function $F$ which accepts an input $x \\in \\mathcal{X}$, and outputs $y \\in \\mathcal{Y}$. To emphasize that a classifier depends on a hypothesis $\\theta \\in \\mathcal{H}$, which is output from the learning algorithm, we will denote it as $F_{\\theta}$; if $\\theta$ is clear from the context, we will sometimes simply write $F$. We denote by $F_i(x)$ as the probability that the input $x$ has the label $i \\in [m]$, such that $0 \\leq F_i(x) \\leq 1$ and $ \\sum_{i}{F_i(x)} = 1$.\n\n\\subsection{Threat Model}\n\\label{sec:threat}\n\nOur threat model comprises of white-box adversaries that behave in a passive manner, and are capable of generating {\\em human imperceptible} perturbations. Since human imperceptability is hard to measure, it is often approximated using the $p$-norm. Thus, the adversary's objective is to generate $p$-norm bounded perturbations (typical values for $p$ include 0, 1, 2, $\\infty$); inputs modified using these perturbations are misclassified (\\textit{i.e.}\\@\\xspace the label predicted by the classifier does not match the true label). The misclassifications could be targeted (\\textit{i.e.}\\@\\xspace the target label which is to be output by the classifier is chosen by the adversary), or untargeted. Formally, an adversary wishes to solve the following optimization problem:\n\\begin{gather*}\n\\label{eq:original_attack}\n\\min \\quad \\|\\delta\\|_{p}, \\quad \\text{ s.t. } \\\\\n\\argmax F_i(x + \\delta) = y^* \\text{ (\\textit{targeted}) } \\\\ \n\\text{ or } \\argmax F_i(x+\\delta) \\neq \\argmax F_j(x) \\text{ (\\textit{untargeted}).} \n\\end{gather*}\n\nThere exists abundant literature for generating such adversarial examples~\\cite{madry-iclr2018,goodfellow2014explaining,moosavi2015deepfool,moosavi2017universal,papernot2017practical}. While adversaries are capable of generating perturbations that are not $p$-norm bounded~\\cite{roadsigns17,kurakin2016adversarial}, such adversaries are out of the scope of this work; even in such a simple setting, progress has been limited. Additionally, the robustness measurements we make (as defined in \\S~\\ref{certs}) rely on the assumption that perturbations generated are $p$-norm bounded.\n\n\\subsection{Measuring Robustness}\n\\label{certs}\n\nSeveral defense strategies have been devised to protect models\/classifiers from adversarial examples~\\cite{papernot2016distillation,samangouei2018defense,dhillon2018stochastic,meng2017magnet}; most of them have failed~\\cite{athalye2018obfuscated}. Orthogonal research has focused on obtaining regions around an input where there provably exists no adversarial examples. This notion of {\\em certified robustness} can be formalized by the $\\varepsilon$-ball around $x$, defined as: $B_{p,\\varepsilon}(x) = \\{ z \\in \\mathcal{X} \\mid \\|z-x\\|_p \\leq \\varepsilon \\}$; the $\\varepsilon$-ball of $x$ is a region in which no $p$-norm bounded adversarial example (for $x$) exists. The work of Lee \\textit{et al.}\\@\\xspace~\\cite[\\S2]{DBLP:journals\/corr\/abs-1906-04948} contains a detailed discussion of various certification methods and their shortcomings (primarily due to scalability). \n\nWe center our discussion on the robustness certificate of Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified} for $2$-norm bounded perturbations. Their certificate computation scales for large DNNs, and several adversarial attacks focus on generating adversarial examples by bounding the $2$-norm, making their certificate relevant\\footnote{Through the remainder of the paper, any discussion of robustness certificates refers to the one in~\\cite{cohen2019certified}.}. The work of Lee \\textit{et al.}\\@\\xspace~\\cite{DBLP:journals\/corr\/abs-1906-04948} generalizes the result in~\\cite{cohen2019certified} for different distributions of noise and other norm bounds. \n\n\\noindent{\\bf Randomized Smoothing:} In a nutshell, Cohen \\textit{et al.}\\@\\xspace propose to transform any classifier to a smoothed classifier through the addition of isotropic Gaussian noise (denoted as $\\eta$). We refer readers to~\\cite[\\S2,3,4]{cohen2019certified} for more details. They prove that the lower bound on the robustness certificate of each input $x$ for the smoothed classifier is given as:\n\\begin{equation}\n\\label{eq:robustnesscertificate}\n    R \\geq \\frac{\\sigma}{2}\\left(\\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})\\right), \n\\end{equation}\nwhere (a) $\\Phi^{-1}$ is the inverse of standard \nGaussian CDF, (b) $\\underline{p_A}$ is the lower bound of the probability of the top label, (c) $\\overline{p_B}$ is the upper bound of the probability of the runner-up label, and (d) $\\eta$ is drawn from  $\\ensuremath{\\mathcal{N}}(0,\\sigma^2)$. They also devise an efficient algorithm to compute this certificate for large DNNs by empirically estimating the probability of each class's decision region  by running Monte Carlo simulations under the distribution $\\ensuremath{\\mathcal{N}}(x,\\sigma^2)$. \n\nOther certified smoothing approaches have similar robustness bounds that are functions of the margin between the top and runner-up labels in the base classifiers~\\cite{lecuyer2018certified, HeinA17}, so the trends in the results discussed in \\S~\\ref{expts} are independent of the actual certification methodology. \n\n\\iffalse\n\\section{Background}\n\\subsection{Classification and Notation}\n\\begin{enumerate}\n    \\item DNN, inputs, outputs\n\\end{enumerate}\n\n\\subsection{Adversarial Threat Model}\n\\begin{enumerate}\n    \\item what is an adversarial example (few sentences) - talk about both targeted + untargeted settings\n    \\item threat model - $l_p$ bounded adversary; state clearly that larger, more perceptible attacks are possible, but they are out of the scope of this work.\n\\end{enumerate}\n\n\\subsection{Defenses}\n\\begin{enumerate}\n    \\item describe what it means to be robust to adversarial examples\n    \\item We focus mainly on improvements in certifiable defenses but also explore the results of empirical defenses\n\\end{enumerate}\n\n\\subsubsection{Robustness Certificates}\n\\begin{enumerate}\n    \\item certified robustness metrics: raghunathan et al., kolter et al. (x2) - talk about pros and cons of each of them, explain why we converge on smoothing\n    \\item can build upon smoothing by using the generalizations in (a) recurjac, (b) NIPS paper from germany, and (c) Jaakkola et al.\n    \\item main takeaway from the earlier point is that certificate is dependent on the width of the margin.\n\\end{enumerate}\n\n\\subsubsection{Adversarial Training}\n\\begin{enumerate}\n    \\item Formulation with pros and cons\n    \\item YOPO\n\\end{enumerate}\n\\fi\n\n\n\n\n\\section{The Building Blocks}\n\nThrough the remainder of the section, we discuss \n\\begin{itemize}\n\\item how invariances can be used to restrict the adversary's freedom by introducing equivalence classes in the label space (\\S~\\ref{sec:invariances}). \n\\item how label equivalences create a hierarchy, which provides an opportunity to introduce a hierarchical paradigm for classification (\\S~\\ref{sec:hierarchies}).\n\\item how using a combination of hierarchies and invariances with specific modifications to (a) the input, or (b) the model architecture, will result in robustness and accuracy no longer being at odds (\\S~\\ref{sec:robustness}).\n \n\\end{itemize}\n\n\\subsection{Hierarchies}\n\\label{sec:hierarchies}\n\n\nIn general, one can observe that if classification was performed in a hierarchical manner, various concepts could be verified\/enforced at different levels of the hierarchy. Consider a simple example of a decision tree, where at each level, a local classification decision (based on a particular feature) occurs. In terms of understanding the relationship between hierarchies and test accuracy, one school of thought believes that knowledge distillation~\\cite{hinton2015distilling,caruana2006model} using ensembles can drastically improve generalization performance. Another believes that concepts form hierarchies which can be exploited to improve accuracy~\\cite{olah2017feature}. We investigate the latter. Several researchers have studied the notion of hierarchical classification~\\cite{yan2015hd,deng2014large,salakhutdinov2012learning}; at a high-level, the early stages of the hierarchical classifier performs classification based on high-level concepts that exist between various datapoints (such as shape, or color), and the later stages of the hierarchical classifier performs more fine grained classification. The intuition for using a hierarchy stems from earlier observations where DNNs extract high-level features (of the input images) in the earlier layers~\\cite{zeiler2014visualizing}; researchers believed explicitly enforcing this would result in better performance~\\cite{HD-CNN,category_structure,treepriors_transferlearning}. Prior work contains abundant literature on defining architectures to optimize for improving the test performance of machine learning models. In the context of DNNs, neural architecture search is one such emerging area~\\cite{zoph2016neural}. \n\nIntuitively, this process is inspired by how humans {\\em may} perform classification~\\cite{national2008human,hunt1962nature,dunsmoor2015categories,lopez1992development}. Consider the case where a human is tasked with identifying a road sign. One of the first observations the human makes with regards to the road sign is its shape, or its color, or its geographic location. These observations provide the human with priors, and consequently enable the human to perform more accurate classification (based on these priors). In essence, these priors encode abundant context for the humans, enabling better classification performance. For example, if the human was asked to identify the sign in Figure~\\ref{fig:stop}, the human may first reduce the potential candidates for the sign based on the {\\em shape} of the sign, and then make a final classification among different signs of the {\\em same shape.} Geirhos \\textit{et al.}\\@\\xspace~\\cite{geirhos2017comparing,geirhos2018generalisation} make a similar observation; they observe that humans are more robust to changes in the input (such as textural or structural changes) potentially due to the (hierarchical) manner in which they perform classification. DNNs operate in a similar manner, by extracting filters that behave similar to human perception~\\cite{zeiler2014visualizing}.\n\n\n\n\n\\subsection{Invariances}\n\\label{sec:invariances}\n\nFrom the discussion in \\S~\\ref{sec:hierarchies} (and the related work in \\S~\\ref{sec:related_work}), we observe that encoding priors about the classification task can help a model learn better. Our contribution is to demonstrate how encoding specific information (regarding the classification task, input features, network architectures etc.) as invariances can help increase the robustness. The inevitable existence of adversarial examples suggest that DNNs are susceptible to very subtle changes in the input~\\cite{DBLP:journals\/corr\/abs-1809-02104}. However, humans are (significantly) more robust to such changes\\footnote{Earlier work suggests that humans are fooled by certain type of inputs~\\cite{elsayed2018adversarial}.}, and can even identify these perturbations~\\cite{zhou2019humans}. In the case of road sign classification, the work by Eykholt \\textit{et al.}\\@\\xspace~\\cite{roadsigns17} introduces realizable perturbations (those which are larger than the $p$-norm bounded perturbations considered earlier) that fool DNNs, but humans are still able to classify these signs correctly. We believe that this is due to the priors that humans have regarding classification tasks (\\textit{e.g.,}\\@\\xspace in Germany, hexagonal road signs can only be \\texttt{Stop} signs, yellow signs can only be \\texttt{SpeedLimit} signs etc.). To further motivate our discussion, Geirhos \\textit{et al.}\\@\\xspace observe that DNNs are more susceptible to textural changes~\\cite{geirhos2018imagenet}, and {\\em explicitly enforcing} bias towards shapes can improve robustness. \n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=0.5\\linewidth]{figures\/stop.jpg}\n  \\caption{\\small A US \\texttt{Stop} sign with stickers. Figure obtained from~\\cite{roadsigns17}.}\n  \\label{fig:stop}\n\\end{figure}\n\nWe believe that this observation is more general; by enforcing such biases which we collectively call invariants\/invariances, one can improve DNN robustness. Mathematically, we denote an {\\em invariant} $\\mathcal{I} \\subseteq \\mathcal{X} \\times \\mathcal{X}$. For example, let $S : \\mathcal{X} \\rightarrow \\mathcal{Z}$ denote the function that predicts the shape of input $x \\in \\mathcal{X}$. Thus, the {\\em shape} invariant can be formalized as follows: $\\{(x, \\tilde{x}) \\in \\mathcal{I} \\text{ iff } S(x) = S(\\tilde{x}) \\}$. \n\nSeveral questions arise, first of which being {\\em how does one identify the invariances related to a particular task?} This is a challenging problem. In our evaluation in \\S~\\ref{sec:insights} and \\S~\\ref{expts}, we show two different approaches: (a) by measuring similarity between datapoints' embeddings in different feature representations, and (b) domain expertise related to the classification task. These approaches broadly encompass two different types of invariances: human un-interpretable and human interpretable. While the exact nature of the invariant is not important for methodology, interpretability\/explainability may help in debugging and understanding model failures. We discuss this in detail in \\S~\\ref{sec:discussion}. \n\nWe believe that both approaches have merit; while DNNs have displayed the capability to generalize, they are often used for very specific tasks in the real-world, motivating how domain expertise can be useful. Recent work in adversarial training~\\cite{new_madry_2019} suggests that human imperceptible features are potentially useful in improving robustness, and these features can be extracted by using axiomatic attribution methods~\\cite{sundararajan2017axiomatic}, or observing intermediary representations~\\cite{papernot2018deep}. \n\nNote that the existence of invariances induces a hierarchy in the labels. In the road sign classification example, assuming that shape is invariant, road signs can be grouped based on their shape, and then within each group, partitioned in a more fine-grained manner based on their individual label (refer to Figure~\\ref{fig:road-sign-setup}). Thus, we observe that invariances partition the label space into equivalence classes. The existence of equivalence classes is analogous to the existence of hierarchies, and this ties well with the hierarchical classification paradigm discussed earlier.\n\n\n\\noindent{\\bf Takeaway 1:} Invariances are task specific, and can be obtained using domain knowledge in some cases, and by analyzing properties of the dataset in others.\n\n\nThe next question is {\\em how to encode such invariances?} Before we discuss this further, it is important to note that invariances are a property of the data distribution that we analyze and the model that is being used to learn\/predict with this data. Changes to either will result in datapoints (or the embeddings they generate) violating the invariances. \n\nThe easiest way to encode invariances is to add additional features that are directly correlated to the invariances. For example, one could add an additional feature to an image of a road sign that is suggestive of its shape. However, assuming that the adversary has no access to this additional feature is too strong. An alternative approach is to encode invariance information in the standard features used for classification; now these features have two purposes: they contain useful information regarding the invariance, and they contain useful information about how the input can be classified. However, the existence of adversarial examples suggests that {\\em all} input features may not be useful in encoding information related to the invariances (as some input features are very susceptible to adversarial perturbations). To this end, Madry \\textit{et al.}\\@\\xspace~\\cite{madry-iclr2018} define {\\em robust features} as those which are hard to adversarially perturb, but are highly correlated with the correct classification output. Thus, one can utilize these robust features for invariance enforcement\\footnote{It is important to note that robust features, by themselves, are not sufficient for performant classification~\\cite{madry-iclr2018}}. For example, one could identify robust features in a \\texttt{Stop} sign image and use them to verify if it is indeed hexagonal. Alternatively, one could use domain knowledge to obtain robust features (by strategically modifying the inputs to obtain a different set of input features). In our evaluation in \\S~\\ref{sec:insights}, we highlight how robust features are useful for invariance enforcement. In our case study in \\S~\\ref{casestudy1}, we show how inputs from a different modality can be robust, and can be used for invariance enforcement. However, in the absence of robust features, or a different set of robust input features, invariance encoding happens in the vulnerable features. While this is not as accurate as the other two approaches, we discuss how this can be useful next.\n\n\n\\noindent{\\bf Takeaway 2:} Ideally, invariances can be encoded using robust (input) features. In the absence of such robust features, invariances can be encoded in the vulnerable features as well.\n\n\nThe final question is {\\em how to verify if the invariance has been preserved?} If robust features are used for encoding invariance information, we can use an off-the-shelf classification model to check if the invariance has been preserved by observing the outcome of the classification \\textit{i.e.}\\@\\xspace if the input falls into the correct equivalence class. For example, if the robust features obtained from an adversarially perturbed \\texttt{Stop} sign enables it to be classified into the {\\em hexagonal} equivalence class, it implies that the {\\em shape} invariance has been preserved. In the absence of robust features, invariance encoding occurs in the vulnerable features; one could train a model to be robust to check if the invariance is preserved in the features. We describe a realization of this approach in \\S~\\ref{sec:insights}. \n\n\n\\noindent{\\bf Takeaway 3:} Since the invariances partition the label space into equivalence classes, verifying if the invariance is preserved is as simple as checking if the input (benign or adversarially perturbed) falls into the correct equivalence class.\n\n\nWe would like to stress that the connection between invariances and stability (of learning) is not new; Arjovsky \\textit{et al.}\\@\\xspace~\\cite{arjovsky2019invariant} suggests that invariant properties (or stable properties as referred in their work) are essential in improving generalization. As they note, to improve robustness, one must detect (and enforce) these stable properties to avoid spurious correlations that exist in data. Similarly, Tong \\textit{et al.}\\@\\xspace~\\cite{tong2017improving} state that it is hard to simultaneously modify, what they term, conserved features and preserve functionality (in the case of malware). \n\n\\subsection{Robustness}\n\\label{sec:robustness}\n\nWe can see how invariances can potentially restrict the adversary's attack space. We formalize how these restrictions result in increased robustness by highlighting the construction of Degwekar \\textit{et al.}\\@\\xspace~\\cite{win-win} based on Pseudo-Random Functions (PRFs). This construction shows a scenario where a robust classifier exists~\\cite{Bubeck:19} but is hard to find in polynomial time, but under the existence of specific invariances, it becomes easy to learn a robust classifier. \n\n\n\\noindent{\\em Construction:} Let $\\mathcal{B} = \\{0,1\\}$, and $F_k : \\mathcal{B}^n \\rightarrow \\mathcal{B}$ be a PRF with a secret key $k$. Let $(Encode,Decode)$ be an error-correcting code (ECC), such as those in~\\cite{GI01}, where $Encode$ encodes a message and $Decode$ decodes a message, and $Decode$ can tolerate a certain number of errors in its input. Consider the following two distributions:\n\\begin{eqnarray*}\nD_0 & = & \\{0,Encode\\left(x,F_k(x)\\right)\\} \\\\\nD_1 & = & \\{1,Encode\\left(x,1-F_k (x)\\right)\\},\n\\end{eqnarray*}\nwhere $x$ is drawn uniformly from $\\mathcal{B}^n$, and `,' denotes concatenation. Given these distributions, there exists a classifier to distinguish between the two because the first bit always indicates which distribution ($D_0$ or $D_1$) it belongs to. This classifier has perfect natural accuracy and is easy to learn~\\cite{Bubeck:19}. This classifier is also robust (under certain assumptions which we explain next). Due to the properties of the ECC, $R$ can tolerate a constant fraction of the errors among {\\em all but the first bit}. If any attacker flips the first bit, a robust (or any) classifier is hard to learn if $R$ is unaware of $k$. However, if $R$ has access to the secret key $k$, then given an $\\tilde{x} \\sim D_b$ where $b \\in \\mathcal{B}$, $R$ first executes $Decode(\\tilde{x}_{1:})$ (where $\\tilde{x}_{i:}$ denotes the the last $n-i$ bits of $\\tilde{x}$ \\textit{i.e.}\\@\\xspace $\\tilde{x} = \\tilde{x}_{0:}$) and obtains $x$. Then, the classifier can then check the last bit $\\tilde{x}_{n-1}$ to see whether it is $F_k(x)$ or $1-F_k(x)$. Without knowing the key $k$, the verification described earlier would not always be accurate. This result follows from the fact that $F_k(\\cdot)$ is a PRF (\\textit{i.e.}\\@\\xspace essentially a probabilistic polynomial time adversary cannot distinguish between $F_k (x)$ and a random bit)~\\cite{win-win}. This setting demonstrates a situation where {\\it a robust classifier exists but cannot be found in polynomial time (without knowledge of $k$).}\n\nHowever, if the following invariant $\\mathcal{I} = \\{(x,\\tilde{x}) | x_0 = \\tilde{x}_0\\}$ (where $x_i$ denotes the $(i+1)^{th}$ bit of $x$) is enforced, then the hardness result above is trivially negated. Thus, it is clear how invariances can enable robustness. \n\nIntuitively, invariances help by limiting the attacker's actions (refer Figure~\\ref{fig:invariances}). Recall from our earlier discussion that these invariances also induce label equivalences. For the remainder of this work, we focus on those invariances that produce {\\em disjoint label equivalence classes}; this property makes our analysis easier (but has no bearing on our approach).\n\nAs stated earlier, we measure robustness through the certificate provided by the work of Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified}\\footnote{However, we do show the generality of our approach using adversarial training~\\cite{madry-iclr2018} and standard datasets (such as MNIST and CIFAR-10) in \\S~\\ref{sec:insights}}. Recall that the certificate is proportional to the margin between the probability estimates for the {\\em top candidate} for the label and the {\\em runner-up} \\textit{i.e.}\\@\\xspace $R \\propto \\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})$. Thus, it is clear that one can increase the certificate by increasing this margin. In \\S~\\ref{casestudy1}, we provide detailed arguments and constructions on how we can obtain an increased margin. \n\nIn principle, one could envision a scenario where there exist multiple invariances (at different levels of the hierarchy), resulting in (disjoint) label equivalence classes of size 1 (at the leaves of the hierarchy). In such a scenario, the robustness certificate for each equivalence class is $\\infty$ (even perturbations with large $p$-norms will not cause misclassifications).\n\n\\iffalse\nFor some specific invariances, the produced label equivalences potentially increase the margin, improving the robustness. To elaborate, observe that the probability estimates are also separated based on the label equivalence classes. To compute the robustness certificate for a classifier that predicts within a particular label equivalence class, all probability estimates must lie in that equivalence class as well. It is conceivable that the original runner-up label (and its probability estimate, the second highest overall) does not lie in the same label equivalence as the best prediction's label. Thus, a new runner-up that lies in the same equivalence class is chosen, and this has a lower probability estimate than the original runner-up, leading to an increased margin (refer \\S~\\ref{casestudy1} for more detailed arguments). \n\\fi\n\n\n\n\n\n\n\n\n\\iffalse\n\n\\subsection{Adversary Assumptions and Costs}\n\\begin{enumerate}\n    \\item Intra-equivalence class targeted attacks still possible, this restricts attacker\n    \\item Increases overall cost of untargeted attacks because of robust root and intermediate classifiers\n    \\item Some attacks on certain input domains are even more difficult to physically realize\n    \\item We assume adversary cannot modify the invariant in certain cases, in others, we see how the misclassification of these adversarial examples affect the hierarchy\n    \\item Invariants can lead to hierarchies and partition the label space into different equivalence classes\n    \\item Hierarchical classification is not new, and there are pros and cons to this approach. It is an intuitive and simple approach for structuring classification with invariants as a part of the system. Coming up with a novel approach for structuring classification with invariants is a future work.\n    \\item Decision tree population algorithm when we have multiple invariants\n\\end{enumerate}\n\n\\subsection{Robustness and Accuracy Guarantees}\n\\begin{enumerate}\n    \\item Toy example math model to increase certificate\n    \\item show how the above partitions the label space; how that improves robustness, or improves the robustness vs. accuracy tradeoff\n    \\item Evans et al.\n    \\item Proof and intuition behind invariants partitioning label space\n\\end{enumerate}\n\\textcolor{red}{can reference some of the constructions from vaikuntanathan et al.?}\n\\fi\n\n\n\n\n\n\n\\section{Early Insights}\n\\label{sec:insights}\n\nUsing two datasets (CIFAR-10~\\cite{krizhevsky2014cifar} and MNIST~\\cite{lecun2010mnist}), we show how hierarchies used to enforce invariances can provide robustness gains using other robustness techniques such as adversarial training~\\cite{madry-iclr2018}. We also display a proof-of-concept approach to suggest that invariances are easy to obtain in a data-guided manner. The setup for our experiment is described in Appendix~\\ref{app:setup}.\n\n\\subsection{Obtaining Invariances}\n\\label{sec:obtaining}\n\n\n\\begin{algorithm}\n\\caption{Data-driven equivalence class generation}\n\\begin{algorithmic}[1]\n\n   \n   \n    \\State Obtain embeddings \\texttt{C} of all points in the dataset by observing the output of a DNN \\texttt{F} at layer \\texttt{n}.\n   \n    \\State \\texttt{clusters} $\\leftarrow$ \\texttt{ClusterAlg}(\\texttt{C})\n    \\State Verify number of centroids $\\lvert$\\texttt{clusters}$\\lvert$ = $k$.\n    \\State Verify that each cluster in \\texttt{clusters} is separated.\n   \n   \n    \\For{i = 1 $\\cdots$ k}\n        \\State \\texttt{cluster} $\\leftarrow$ \\texttt{clusters[i]}\n        \\State $l_i \\leftarrow$ {\\em unique} labels of embeddings in \\texttt{cluster}\n        \\State \\texttt{L[i]} = \\texttt{L[i]} $\\cup$ $l_i$ \n    \\EndFor\n    \\If{$\\cap_i$\\texttt{L[i]}$=\\phi$}\n        \\State Each \\texttt{L[i]} denotes a label equivalence class.\n    \\Else\n        \\State Repartition labels in $\\{$\\texttt{L[i]}$\\}_{i=1}^k$ s.t. $\\cap_i$\\texttt{L[i]}$=\\phi$ \n    \\EndIf\n    \\State Construct classifier \\texttt{F}$_{intermediate}$ to classify inputs to an equivalence class in $\\{1,\\cdots,k \\}$ such that the corresponding label equivalence classes are \\texttt{L[1]}$\\cdots$\\texttt{L[k]}  \n\\end{algorithmic}\n\\end{algorithm}\n\n\\vspace{1mm}\n\\noindent{\\bf MNIST:} To obtain the invariances, we first trained a small CNN model\\footnote{3 convolutional layers followed by a FC layer and a softmax layer} on the MNIST dataset. We gather embeddings\\footnote{In the context of neural networks, embeddings are those low-dimensional, continuous vector representations of discrete variables that are learned by the network.} from the intermediary layers, and cluster them using k-means clustering (similar to the approach proposed by Papernot \\textit{et al.}\\@\\xspace~\\cite{papernot2018deep}). We observe that for $k=2$, the digits 2,3,0,6,8,5 form a cluster, while the others form another cluster.\n\n\\noindent{\\bf CIFAR-10:} To obtain the invariances, we first adversarially train a CNN\\footnote{Wide Resnet with 34 layers} on the CIFAR-10 dataset. We then observe the output of an adversarially trained CNN to produce a confusion matrix (refer Figure~\\ref{fig:confusionmatrix1} in the Appendix). From this matrix, one can clearly observe two equivalence classes partitioning the label space -- non-living objects and living objects. Note that this invariance is also human understandable. \n\n\n\\vspace{1mm}\nNote that the clustering could potentially be different if the outputs of a different layer was observed. However, it was not the case for our experiments. Additionally, this experiment just serves as a proof-of-concept. We believe that with such forms of intermediary clustering, one can automate the approach of creating such equivalence classes in a way as to avoid having domain specific knowledge. \n\n\\subsection{Methodology}\n\\label{sec:method}\n\nWe observe that for both datasets, we were able to obtain an invariant that partitions the label space into two equivalence classes. Thus, to enforce such an invariant, we train a {\\em root} classifier to classify inputs into one of these two equivalence classes. To make sure the root is robust to adversarial examples, we train the root classifier using adversarial training~\\cite{madry-iclr2018} (to minimize the $\\ell_\\infty$-norm of the generated perturbation). For the CIFAR-10 dataset, the root classifier has a natural accuracy of 96.57\\% and adversarial accuracy of 84.25\\%. For the MNIST dataset, the root classifier has a natural accuracy of 98.51\\% and adversarial accuracy of 93.68\\%. We detail all parameters used for our experiments in Appendix~\\ref{app:insights}. Thus, each hierarchy comprises of one root and two leaf classifiers.\n\n\n\n\\subsection{Results}\n\\label{prelim_results}\n\n\n\\begin{table}[h]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.5cm}  p{1.5cm}  p{1.5cm}  p{1.5cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize Natural (\\%)} & \\text{\\footnotesize Adv (\\%)} & \\text{\\footnotesize Budget (\\%)} \\\\\n    \\midrule\n   \n    {\\footnotesize Baseline} & {\\footnotesize 98.79\\%} & {\\footnotesize 87.13\\%} & {\\footnotesize 87.13\\%}\\\\\n    {\\footnotesize Hierarchy} & {\\footnotesize 97.51\\%} & {\\footnotesize 84.72\\%} & {\\footnotesize 90.42\\%}\\\\\n   \n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For the MNIST dataset and the invariances described in \\S~\\ref{sec:obtaining}), observe that adversarial accuracy, denoted Adv (\\%), decreases in the hierarchical classifier compared to the baseline. The legends are (a) {\\bf Natural (\\%)}: natural accuracy, (b) {\\bf Adv (\\%):} adversarial accuracy from PGD attack where an adversary attacks the root and 2 leaf classifiers, and (c) {\\bf Budget (\\%):} restricted adversarial accuracy using PGD where an adversary is only able to attack one classifier chosen from the hierarchy (in our example: the leaf classifier for the 6 classes).}\n\\label{table:mnist_adv}\n\\end{center}\n\\vspace{-5mm}\n\\end{table}\n\n\\noindent{\\bf MNIST:} For the given invariances, we observe a {\\em decrease} in adversarial accuracy by 2.41 percentage points in our hierarchical classification (refer Table~\\ref{table:mnist_adv}). This suggests (a) that the invariant obtained using the data-driven methodology is not the best for increasing robustness, or (b) there are some classes of invariances that potentially cause more harm than good (we discuss this in \\S~\\ref{sec:discussion}). This further motivates our other approach of obtaining invariances using domain knowledge. \n\n\n\\begin{table}[h]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.5cm}  p{1.5cm}  p{1.5cm}  p{1.5cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize Natural (\\%)} & \\text{\\footnotesize Adv (\\%)} & \\text{\\footnotesize Budget (\\%)} \\\\\n    \\midrule\n    {\\footnotesize Benchmark} & {\\footnotesize 83.99\\%} & {\\footnotesize 44.72\\%} & {\\footnotesize 44.72\\%}\\\\\n    {\\footnotesize Baseline} & {\\footnotesize 83.68\\%} & {\\footnotesize 38.77\\%} & {\\footnotesize 38.77\\%}\\\\\n    {\\footnotesize Hierarchy} & {\\footnotesize 85.37\\%} & {\\footnotesize 45.46\\%} & {\\footnotesize 59.11\\%}\\\\\n   \n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For the CIFAR-10 dataset and the invariances described in \\S~\\ref{sec:obtaining}), observe that adversarial accuracy, denoted Adv (\\%), increases in the hierarchical classifier compared to the baseline and the benchmark published in YOPO\\cite{yopo}. The legends are (a) {\\bf Natural (\\%)}: natural accuracy, (b) {\\bf Adv (\\%):} adversarial accuracy from PGD attack where an adversary attacks the root and 2 leaf classifiers, and (c) {\\bf Budget (\\%):} restricted adversarial accuracy using PGD where an adversary is only able to attack one classifier chosen from the hierarchy (in our example: the leaf classifier for the Living objects equivalence class).}\n\\label{table:cifar_adv}\n\\end{center}\n\\vspace{-5mm}\n\\end{table}\n\n\n\\noindent{\\bf CIFAR-10:} With our hierarchical classification scheme, we achieve an increase in adversarial accuracy by 6.69 percentage points when compared to a baseline classifier. To measure the adversarial accuracy\\footnote{Adversarial accuracy for our hierarchy is defined as $\\sum \\frac{x}{X}$ where x is the number of correct predictions for each leaf classifier and X is the total number of samples in the test set.}, we imagine the following 2 white-box attack scenarios:\n\\begin{enumerate}\n    \\item {\\em Worst-Case}: An unrestricted adversary with access to each of the models in the hierarchy.\n    \\item {\\em Best-Case}: A restricted adversary which is limited to attacking only one of the classifiers in the hierarchy.\n\\end{enumerate}\nTo simulate the worst case adversary, we begin by attacking the root classifier (with $\\ell_\\infty$-norm perturbed adversarial examples). For those inputs which did not cause misclassification, we generate adversarial examples for the leaves. While this attack is stronger (as the adversary has multiple chances at creating the adversarial example), this attack is also computationally heavier. In the case of a budgeted adversary, the attacker would attack the classifier which results in the largest drop in accuracy; in our evaluation, this happened to be the leaf classifier related to classifying animate objects. Observe that in all scenarios described, the hierarchy produces increased gains (refer Table~\\ref{table:cifar_adv}). We compute the robustness certificates for these networks (by tweaking some components of the training process) and report the results in Appendix~\\ref{app:cifar}. We also observe an increase in robustness as measured by the certificate.\n\n\n\\iffalse\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.4cm} | p{1.5cm} | p{1.25cm} | p{1.5cm}}\n    \\toprule\n    \\textbf{}       & {\\footnotesize $\\kreuz$ CR} & {\\footnotesize Vehicles CR}   & {\\footnotesize $\\kreuz$ CA } & {\\footnotesize Vehicles CA}\\\\\n    \\midrule\n    {\\footnotesize $\\sigma=0.25$}   & 0.6749 $\\pm$ 0.2798 & 0.7204 $\\pm$ 0.2692 & 88.15\\% & 90.70\\% \\\\\n    {\\footnotesize $\\sigma=0.5$}    & 0.9270 $\\pm$ 0.5349 & 1.0943 $\\pm$ 0.5686 & 79.58\\% & 85.85\\% \\\\\n    {\\footnotesize $\\sigma=1.0$}    & 1.2270 $\\pm$ 0.7789 & 1.5013 $\\pm$ 0.9828 & 65.23\\% & 74.74\\% \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The hierarchical approach preserving invariances (columns Vehicles CR, Vehicles CA) outperform the baseline model for inputs that belong to the vehicles equivalence class (in columns $\\kreuz$ CR, $\\kreuz$ CA) both in terms of certified radius (CR) and certified accuracy (CA).}\n\\label{table:vehicles_ca}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.5cm} | p{1.5cm} | p{1.25cm} | p{1.25cm}}\n    \\toprule\n    \\textbf{}       & \\textbf{$\\taurus$ CR} & \\textbf{Animals CR}   & \\textbf{$\\taurus$ CA (\\%)} & \\textbf{Animals CA (\\%)}\\\\\n    \\midrule\n    $\\sigma=0.25$   & 0.5263 $\\pm$ 0.2987 & 0.5671 $\\pm$ 0.2966 & 75.93\\% & 80.80\\% \\\\\n    $\\sigma=0.5$    & 0.7219 $\\pm$ 0.5037 & 0.7777 $\\pm$ 0.5140 & 61.82\\% & 67.05\\% \\\\\n    $\\sigma=1.0$    & 0.9319 $\\pm$ 0.7486 & 1.0750 $\\pm$ 0.8278 & 42.68\\% & 53.80\\% \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The hierarchical approach preserving invariances (columns Animals CR, Animals CA) outperform the baseline model for inputs that belong to the animals equivalence class (in columns $\\taurus$ CR, $\\taurus$ CA) both in terms of certified radius (CR) and certified accuracy (CA).}\n\\label{table:animals_ca}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\n\n\\section{Early Insights}\n\\label{sec:insights}\n\nIn \\S~\\ref{sec:robustness} and \\S~\\ref{certs}, we argue that the certificate in~\\cite{cohen2019certified} is the most suitable for measuring robustness. In this section, we show how the proposed methodology \\textit{i.e.}\\@\\xspace hierarchies used to enforce invariances can provide robustness gains using other robustness frameworks such as adversarial training~\\cite{madry-iclr2018}. We also display a proof-of-concept approach to suggest that invariances are easy to obtain in a data-guided manner. \n\n\\subsection{Experimental Setup \\& Observations}\n\nWe wish to understand if hierarchical classification coupled with invariances can improve the robustness of the DNN in comparison to the flat baseline. We perform our experiments on a server with x CPU cores, and two NVIDIA Titan Xp and one NVIDIA Quadro P6000 GPU. The device memory is 128GB of RAM. Our experiments are performed using the CIFAR10 dataset~\\cite{krizhevsky2014cifar}. \\Varun{a sentence on why we use a data guided approach - for example, the task is quite complicated so human expertise is not readily availble, or there are many distinct ways a human would perform classification for us to replicate.} Using our training parameters detailed in Table~\\ref{table:parameters}, we obtain a considerable increase in adversarial accuracy (up to a 23.70\\% increase in percentage points from the baseline) while maintaining comparable natural accuracy.\n\n\n\n\n\n\n\n\n\n\n\n\\subsection{Obtaining Invariances}\n\\label{sec:obtaining}\n\nTo obtain the invariances required for our experiment, we observe the output of intermediary layers in an adversarially trained small CNN (similar to the approach proposed by Papernot \\textit{et al.}\\@\\xspace~\\cite{papernot2018deep}) (\\Varun{@brian: specify number of layers and layer observed for confusion matrix}) to produce a confusion matrix (refer Figure~\\ref{fig:confusionmatrix1}) for the CIFAR10 dataset. From this matrix, one can clearly observe two equivalence classes partitioning the label space. Note that the clustering could potentially be different if the outputs of a different layer was observed. However, this experiment just serves as a proof-of-concept. In general, we believe that with such forms of intermediary clustering, one can automate the approach of creating such equivalence classes in a way as to avoid having domain specific knowledge. \n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/confusionmatrix.pdf}\n  \\caption{}\n  \\label{fig:confusionmatrix1}\n\\end{figure}\n\n\\Varun{@Brian}\n\\Brian{IDK clustering setup @Kassem}\n\\begin{enumerate}\n    \\item describe the setup\n\\end{enumerate}\n\n\\subsection{Results}\n\\label{prelim_results}\n\nSince our threat model allows adversaries to add $p$-norm bounded perturbations, we need to adversarially train the top-most classifier so that it preserves the invariances through the hierarchy. From our analysis in \\S~\\ref{sec:obtaining}, we observe that the invariance partitions the label space into 2 equivalence classes. Consequently, we train a robust binary classifier as the top-most classifier with natural accuracy of 96.57\\% and an adversarial accuracy of 84.25\\%. We achieve a 23.70\\% and a 16.89\\% increase in adversarial accuracy with our retrained and renormalized hierarchical classification scheme respectively as seen in Table~\\ref{table:cifar_adv} \\footnote{We define the terms \\emph{retrained} and \\emph{renormalized} as well as our overall hierarchical classifier structure in Section~\\ref{retrainvsrenormalize}.} The results were obtained using the 10,000 test set images from CIFAR10 and passing the correctly classified inputs from the root classifier down through the leaf classifier models. More information on our hierarchy framework is detailed in Section~\\ref{sec:hier_construction}. Note that the adversarial accuracy within equivalence classes brings with it certain robustness guarantees. Against targeted attacks, the equivalence class accuracy improvements also hold true in cases where an adversary is restricted to generating targeted attacks against labels within the same equivalence class. Our hierarchical classification scheme improves empirical adversarial robustness as well as certified adversarial robustness. In Table~\\ref{},\\Varun{@brian: table missing?} certified accuracy increases by 7.27\\% for $\\sigma=0.5$. These improvements to robustness, which are gained while maintaining or even improving natural accuracy, validate our hypotheses surrounding the robustness guarantees of invariances.\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.5cm}  p{1.5cm}  p{1.5cm}  p{1.5cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize N. Accuracy} & \\text{\\footnotesize A. Accuracy} & \\text{\\footnotesize E.C. Accuracy}\\\\\n    \\midrule\n   \n    {\\footnotesize Baseline} & {\\footnotesize 83.68\\%} & {\\footnotesize 38.77\\%} & {\\footnotesize -}\\\\\n    {\\footnotesize Retrained} & {\\footnotesize 85.37\\%} & {\\footnotesize 62.47\\%} & {\\footnotesize 53.81\\%}\\\\\n    {\\footnotesize Renormalized} & {\\footnotesize 82.34\\%} & {\\footnotesize 55.66\\%} & {\\footnotesize 45.18\\%}\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The results on the test set for our YOPO experiments. Each PGD-20 attack has $\\sigma=\\frac{2}{255}$, $\\epsilon=\\frac{8}{255}$, and is run on the $\\ell_\\ell_\\infty$ norm. Adversarial accuracy increases in the retrained and renormalized hierarchical classifiers compared to our baseline and the benchmark published in YOPO\\cite{yopo}. N. Accuracy: natural accuracy, A. Accuracy: adversarial accuracy from PGD-20 attack, E.C. Accuracy: adversarial accuracy within equivalence classes from PGD-20 attack.}\n\\label{table:cifar_adv}\n\\end{center}\n\\end{table}\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.5cm} | p{1.5cm} | p{1.25cm} | p{1.25cm}}\n    \\toprule\n    \\textbf{}       & \\textbf{$\\bigtriangleup$ CR} & \\textbf{Triangles CR}   & \\textbf{$\\bigtriangleup$ CA (\\%)} & \\textbf{Triangles CA (\\%)}\\\\\n    \\midrule\n    $\\sigma=0.25$   & 1.127 $\\pm$ 0.547 & \\textcolor{red}{1.107 $\\pm$ 0.551} & 71.60 & 76.45 \\\\\n    $\\sigma=0.5$    & 1.659 $\\pm$ 0.899 & \\textcolor{red}{1.641 $\\pm$ 0.919} & 50.67 & 58.94 \\\\\n    $\\sigma=1.0$    & 2.233 $\\pm$ 1.172 & \\textcolor{red}{2.223 $\\pm$ 1.259} & 20.41 & 32.78 \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The hierarchical approach preserving invariances (columns Triangles CR, Triangles CA) outperform the baseline model for inputs that belong to the triangular equivalence class (in columns $\\bigtriangleup$ CR, $\\bigtriangleup$ CA) both in terms of certified radius (CR) and certified accuracy (CA).}\n\\label{table:cifar_ca}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\\fi\n\\section{A General Framework}\n\\label{sec:general}\n\nIn this section, we provide a generalization of the construction required to construct DNNs for increased robustness (\\S~\\ref{sec:hier_construction}). We show how robustness can be enhanced by increasing the depth of the hierarchy with many invariances being enforced (\\S~\\ref{sec:robustness_analysis}), and the guarantees this provides (\\S~\\ref{sec:robustness_trade-off}). \n\n\\subsection{Components of a Hierarchical Classifier}\n\\label{sec:hier_construction}\n\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/high-level.pdf}\n  \\caption{\\small High-level description of the hierarchical classifier. The thin arrows highlight data flows while thick arrows indicate decision paths. The original set of labels is $\\{1, \\ldots, m\\}$. Each intermediate classifier splits the label set further. Each leaf classifier predicts within a reduced set of labels. For example, the left-most classifier assigns each label within $\\{1, \\ldots, i\\}$ a probability value while assigning the other labels $\\{i+1, \\ldots, m\\}$ a probability of 0. }\n  \\label{fig:high-level}\n  \\vspace{-5mm}\n\\end{figure}\n\nThe hierarchical classifier is a sequence of classifiers in a hierarchy, where each classifier at a level of the hierarchy operates over a subset of the feature space. Observe that we make no assumptions about the nature of these feature subsets, or the nature of the different classifiers in the hierarchy. Just like the conventional flat classifier, the hierarchical classifier is a function $F: \\mathcal{X} \\rightarrow \\mathcal{Y}$ However, all levels other than the leaf classifiers are useful in preserving the invariances; only the leaf classifier predicts labels. Figure~\\ref{fig:high-level} show the high-level structure of the hierarchical classifier, including the input features, classifiers, and output vectors. We now describe these components.\n\n\n\\vspace{1mm}\n\\noindent{\\em 1. Intermediate Classifiers:} As explained earlier, the objective of the intermediary classifiers is to ensure that the invariances are preserved. To do so, intermediary classifiers are either (a) robustly trained~\\cite{madry-iclr2018,cohen2019certified} such that they can forward the input to the right equivalence class induced by the invariances, or (b) accept robust features (as defined in \\S~\\ref{sec:invariances}) as inputs to ensure such forwarding. Since the classifiers are either robust themselves, or operate on robust inputs, they are hard to attack. Thus, an intermediate classifier $F_{intermediate}: \\mathcal{X} \\rightarrow \\mathcal{K}$, where $\\mathcal{K}$ denotes the equivalence regions in the label space $\\mathcal{Y}$ \\textit{i.e.}\\@\\xspace $\\mathcal{K}=\\{i: \\mathcal{Y}_i \\subset \\mathcal{Y}\\}$. We do not assume that our hierarchy is balanced, and make no assumptions about the number or type (linear vs. non-linear models) of such intermediary classifiers\\footnote{There is a correspondence between an invariance and an intermediate classifier; each intermediate classifier is required to enforce a particular invariance. However, this mapping is not necessarily bijective.} (refer Figure~\\ref{fig:high-level}). It is important to note the ordering of these intermediary classifiers has a direct impact on accuracy, but not on robustness (which is only dependent on the label equivalences, which in turn depends on the invariances causing them); independent of the ordering of these intermediary classifiers, the subset of the label space in each leaf node is the same \\textit{i.e.}\\@\\xspace the order of the intermediary classifiers is commutative. Since the robustness radius is a function of the labels predicted by the leaf, the earlier ordering does not impact the robustness calculation. Determining this exact ordering to maximize accuracy is left as future work.\n\n\\vspace{1mm}\n\\noindent{\\em 2. Leaf Classifiers:} A leaf classifier makes the final classification. More formally, for each equivalence class $i \\in \\mathcal{K}$, there exists a leaf classifier $F_{i}: \\mathcal{X} \\rightarrow \\mathcal{Y}_i$. Observe that intermediate classifiers predict the equivalence classes, while leaf classifiers predict {\\em labels} within an equivalence class. To train such a classifier, only the samples which have labels within $\\mathcal{Y}_i$ are needed. Thus, the overall inference procedure (from root to leaf) is very similar to the decision tree; each intermediate classifier chooses the next one to be invoked till the inference reaches a leaf classifier. Only one leaf classifier is invoked for the entire input. Intermediate classifiers are trained to be robust so that they can correctly predict between different equivalence classes. Leaf classifiers are also trained in a robust manner so that they can correctly predict {\\em within} a particular equivalence class. However, training different leaf classifiers (depending on the exact equivalence class) is a computationally expensive procedure. While the hierarchical classification paradigm makes no assumptions about the exact nature of the classifier used at the leaf, we make certain assumptions for our evaluation. We assume that all leaf classifiers have the same model (\\textit{e.g.,}\\@\\xspace DNN). Thus, we can utilize two strategies -- {\\em retraining} and {\\em renormalization} -- to obtain leaf classifiers. In \\S~\\ref{retrainvsrenormalize}, we discuss both these approaches in detail, as well as their pros and cons.\n\n\n\\subsection{Robustness Analysis}\n\\label{sec:robustness_analysis}\n\nThe hierarchical classifier forces the attacker into an equivalence class of labels and limits its {\\em targeted attack capability}; an attacker cannot move the input outside an equivalence class. The leaf classifier, predicting within reduced label set, improves the robustness certificate by making the classifier stable within a larger ball around the input, limiting the attacker's capability within the equivalence class. This robustness property is subtle; it arises from the observation that reducing the labels can potentially widen the margin between the best prediction and the runner-up prediction. Below, we show that this property holds for any general classifier. \n\nLet $\\alpha: \\ensuremath{\\mathbb{R}}^n \\rightarrow \\Delta (\\mathcal{Y})$, where $\\Delta(\\mathcal{Y})$ is the set of all distributions over the labels $\\mathcal{Y}$. For ease of notation, $\\alpha (x)_l$ (for $l \\in {\\mathcal Y}$) denotes the\nprobability corresponding to $l$ in $\\alpha (x)$. Fix $c \\in \\mathcal{Y}$, and for $L \\subseteq \\mathcal{Y}$, we define $H_{c,\\alpha} (x,L)$ as follows:\n\n\\[\n  H_{c,\\alpha} (x,L) = \\alpha (x)_c - \\max_{l \\in L \\; \\wedge \\; l \\not= c} \\alpha(x)_l\n\\]\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=0.8\\linewidth]{figures\/box_plot.pdf}\n  \\caption{\\small Box plot containing the robustness radius as function of the size of label sets in CIFAR-10, using the randomized smoothing approach of Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified}. We generate all label subsets of a particular size, and plot the robustness certificate values. Observe that as the subset size decreases, the mean robustness radius increases.}\n  \\label{fig:kolter-toy-example}\n  \\vspace{-5mm}\n\\end{figure}\n\nIt is easy to see that if $L_1 \\subseteq L_2$, then\n$H_{c,\\alpha} (x,L_2) \\leq H_{c,\\alpha} (x,L_1)$, or $H_{c,\\alpha}$ is anti-monotonic in the second parameter. Recall that $H_{c,\\alpha}$ is similar to ``hinge loss''. If we instantiate $\\alpha$ by the output of the softmax layer and use the argument of Hein \\textit{et al.}\\@\\xspace~\\cite{HeinA17} for any classifier, we can immediately see that robustness radius increases as the set of possible labels is decreased. A similar argument can be used for the smoothing approaches~\\cite{cohen2019certified,lecuyer2018certified}. For example,  Figure~\\ref{fig:kolter-toy-example} shows the robustness radius for label subsets of different sizes from CIFAR-10.\nThe robustness radius is computed using the randomized smoothing approach of Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified}. It is evident from Figure~\\ref{fig:kolter-toy-example} that as the subset size decreases, the average robustness certificate per sample increases.\n\n\\subsection{Robustness Guarantees}\n\\label{sec:robustness_trade-off}\n\n\n\n\n\nThe robustness guarantees of the entire hierarchical classifier depends on each individual classifier (the intermediate classifiers and the leaf classifiers, collectively called internal classifiers). Given a set of internal classifiers, the attacker needs to attack only one of them to change the classification output in the untargeted attack scenario (or attack a specific set of internal classifiers in the targeted attack scenario). Then, the robustness guarantee of the hierarchical classifier is the minimum of the guarantees of its constituent classifiers. \n\nTo see why the robustness guarantee of the hierarchical classifier is the minimum of the guarantees of the composing classifiers, consider the simple case of three classifiers: $f^1$, $f^2$, and $f^3$ which form a larger classifier $F$. The hierarchy is such that $f^1$ is a binary classifier deciding between passing the input to $f^2$ or $f^3$, which are the leaf classifiers. A white-box adversary aims to attack the larger classifier $F$ as usual: \n \\begin{equation}\n min \\|\\delta\\|_p \\, \\text{ s.t. } \\, \\argmax F(x+\\delta) \\neq \\argmax F(x)\n\\end{equation}\n\nUsing the internal knowledge of the classifier, the adversary's objective can be restated as: \n \\begin{equation}\n \\begin{gathered}\nmin \\|\\delta\\|_p \\, \\text{ s.t. }\\\\\n\\argmax f^1(x+\\delta) \\neq \\argmax f^1(x) \\\\\n\\text{\\bf or } (\\argmax f^1(x+\\delta) = \\argmax f^1(x) \\\\\n\\wedge \\argmax f^2(x+\\delta) \\neq \\argmax F_j(x)) \\\\\n\\text{\\bf or } (\\argmax f^1_i(x+\\delta) = \\argmax f^1(x) \\\\\n\\wedge \\argmax f^3(x+\\delta) \\neq \\argmax F(x))\n\\end{gathered}\n\\end{equation}\n\nSince only one of the constraints has to be satisfied, the problem can broken down into smaller subproblems: \n\\[min \\|\\delta\\|_p = \\min\\left( \\|\\delta_1\\|_p, \\|\\delta_2\\|_p, \\|\\delta_3\\|_p \\right),\\] where:\n \\begin{equation}\n \\begin{gathered}\n \\|\\delta_1\\|_p = min \\|\\delta\\|_p \\, \\text{ s.t. } \\argmax f^1(x+\\delta) \\neq \\argmax f^1(x) \\\\\n\\|\\delta_2\\|_p = min \\|\\delta\\|_p \\, \\text{ s.t. } (\\argmax f^1(x+\\delta) = \\argmax f^1(x) \\\\\n\\wedge \\argmax f^2(x+\\delta) \\neq \\argmax F(x)) \\\\\n\\|\\delta_3\\|_p = min \\|\\delta\\|_p \\, \\text{ s.t. }  (\\argmax f^1(x+\\delta) = \\argmax f^1(x) \\\\\n\\wedge \\argmax f^3(x+\\delta) \\neq \\argmax F(x))\n\\end{gathered}\n\\end{equation}\n\nWe can take the lower bound $\\|\\delta_2\\|_p$ and $\\|\\delta_3\\|_p$ by solving the less constrained problem of:\n \\begin{equation}\n \\begin{gathered}\n\\|\\delta_2\\|_p \\geq \\|\\delta'_2\\|_p = min \\|\\delta\\|_p \\, \\text{ s.t. }  \\\\\n\\argmax f^2(x+\\delta) \\neq \\argmax F(x) \\\\\n\\|\\delta_3\\|_p \\geq \\|\\delta'_3\\|_p = min \\|\\delta\\|_p \\, \\text{ s.t. }  \\\\\n\\argmax f^3(x+\\delta) \\neq \\argmax F(x).\n\\end{gathered}\n\\end{equation}\n\nFinally, the lower bound of the needed perturbation to attack $F$ is the minimum of the perturbations needed to attack each network individually. In particular,  $min \\|\\delta\\|_p \\geq \\min\\left( \\|\\delta_1\\|_p, \\|\\delta'_2\\|_p, \\|\\delta'_3\\|_p \\right)$. This example can be generalized for multiple and non-binary intermediate classifiers. \n\n\\section{Case Studies}\n\\label{expts}\n\n\nIn \\S~\\ref{sec:insights}, we witnessed improvements for robustness in a toy setting. In this section, we investigate our approach in more realistic settings. Specifically, we wish to obtain answers for the following questions:\n\n\\begin{enumerate}\n    \\item Is the proposed approach valid (and useful) only for tasks pertaining to vision?\n    \\item Does the choice of implementation of the root and intermediary classifiers (either by using robust features, or training the classifier to be robust) impact our approach in practice?\n    \\item Does the number of invariances used impact the gains in robustness?\n\\end{enumerate}\n\nTo answer these questions, we implement a hierarchical classifier for classification tasks in two domains: audio and vision. Traditionally, both tasks use CNNs; we do not deviate from this approach, and use CNNs for our leaf classifiers as well. Our experimental ecosystem is detailed in Appendix~\\ref{app:setup}. We measure robustness and certified accuracy as defined by Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified}. Through our evaluation, we show that:\n\\begin{enumerate}\n\\item Our approach is agnostic to the domain of classification. For both audio and vision tasks, the hierarchical approach shows gains in robustness (through an improvement in certified radius) and accuracy, suggesting that certified accuracy and robustness may no longer need to be at odds.\n\\item The exact choice of implementation of the root (and in general intermediate classifiers) bears no impact on the correctness of the paradigm. In \\S~\\ref{casestudy1}, we implement the root classifier as a regular DNN trained to operate on robust features (obtained from a different input modality), and in \\S~\\ref{casestudy2}, we implement the root classifier as a smoothed classifier~\\cite{cohen2019certified}. Both approaches result in a hierarchical classifier with increased robustness and certified accuracy.\n\\item By adding one additional invariant (location), we observe that there are significant gains in robustness for the vision task (refer \\S~\\ref{sec:morerobustfeatures}).\n\\end{enumerate}\n\n\n\n\n\\subsection{Road Sign Classification}\n\\label{casestudy1}\n\n\\begin{figure}[h]\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/road-signs.pdf}\n  \\caption{\\small The hierarchy over the road signs from the GTSRB dataset.}\n  \\label{fig:road-sign-setup}\n\\end{figure}\n\nFor road sign classification, we wish to preserve the shape invariance. By doing so, we are able to partition the label space into equivalence classes based on shape (circular, triangular, octagonal, inverse triangular, or rectangular). We first classify road signs first based on their shapes at the root level (using a classifier trained using the ResNet-20 architecture~\\cite{DBLP:journals\/corr\/HeZRS15}). Within each equivalence class \\textit{i.e.}\\@\\xspace per-shape, we perform classification using a smoothed classifier\\footnote{Classifier obtained after using the smoothing approach proposed by Cohen \\textit{et al.}\\@\\xspace~\\cite{cohen2019certified}} (which also has the ResNet-20 architecture) to obtain the exact road sign. Note that we set the smoothing noise parameter $\\sigma$ set to different values \\textit{i.e.}\\@\\xspace $\\sigma=0.25,0.5,1$ to better understand the trade-offs between robustness and certified accuracy. Figure~\\ref{fig:road-sign-setup} contains a visual summary of our approach. \n\nIn this particular case study, the hierarchical classification encodes various priors about the classification task which are obtained from domain knowledge about the classification task. To ensure that the invariances (\\textit{i.e.}\\@\\xspace shape) are preserved, we use {\\em robust input features} that are obtained from a different sensor. {\\em Why shape?} We wished to showcase how domain expertise, and a human understandable invariant improves the robustness certificate. Shape was a natural candidate for such an invariant. \n\n\n\\subsubsection{Datasets}\n\nFor our experiments, we use two datasets: the first is the German Traffic Sign Recognition Benchmark (GTSRB)~\\cite{Stallkamp2012} which contains 51,840 cropped images of German road signs which belong to 43 classes; Figure~\\ref{fig:road-sign-setup} shows these classes. The second is the KITTI dataset~\\cite{Geiger2013IJRR} which contains time-stamped location measurements, high-resolution images, and LiDAR\\xspace scans over a five-day recording period from an instrumented vehicle on the roads of Karlsruhe, Germany. This totalled 12919 images. We post-processed this dataset to (a) extract only cropped images of the road signs included in the GTSRB dataset, and (b) extract their corresponding LiDAR\\xspace depth maps. To do so, we spent approximately 40 hours manually cropping and annotating every GTSRB road sign found in the KITTI dataset and cropped the corresponding point clouds using the image coordinates. Thus, we obtained 3138 cropped images, their corresponding LiDAR\\xspace point clouds, and their labels (Figure~\\ref{fig:pc_scene}). \n\nWe train the root classifier using these LiDAR\\xspace point clouds of road signs to predict the shape of the corresponding road sign. The root has 98.01\\% test accuracy. We train each leaf classifier (within an equivalence class) with the road signs belonging to that particular equivalence class. Note that the entire classifier can not be trained using the point clouds as they lack information required to predict the exact road sign label. For example, the shape of 2 \\texttt{SpeedLimit} signs can be easily extracted from the corresponding point clouds, but other features required for obtaining the correct label (such as raw pixel intensities) are missing.  \n\n\\subsubsection{Attacking the Root Classifier}\n\\label{improvement}\n\n\nHuman imperceptible perturbations, such as those considered in our threat model, generated for one input modality (such as the pixels obtained from the camera) do not translate over to the other (such as point clouds obtained from the LiDAR\\xspace). Thus, adversaries who can generate $p$-norm bounded perturbations for the road sign (in the pixel space), or deface the road sign with specific stickers do not impact the point clouds corresponding to the road sign. Such attacks (in the pixel space) are the state-of-the-art in literature. We verify our claim by conducting experiments with road signs made of different materials, and a \\texttt{Velodyne Puck} LiDAR\\xspace~\\cite{velodynepuck}. These experiments suggest that even {\\em large} perturbations (such as stickers) made on the road sign do not impact the road sign's point cloud. We display the results from our experiments in Figure~\\ref{fig:lidar-teaser}. Observe that our experiments contained far more drastic perturbations than considered in the threat model. Thus, we conclude that the point cloud features are robust to perturbations made to the pixel features. Note that while the LiDAR\\xspace is susceptible to active attacks~\\cite{Cao:2019:ASA:3319535.3339815}, such an attack is difficult to mount and are beyond the scope of our threat model (refer \\S~\\ref{sec:threat}). \n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/teaser-pic.pdf}\n  \\caption{\\small The LiDAR\\xspace depth measurements are immune to physical perturbations, including changes in lighting, and any stickers placed on the US road sign.}\n  \\label{fig:lidar-teaser}\n\\end{figure}\n\n\\vspace{1mm}\n\\noindent{\\em Passive attacks on point clouds:} Recent works show $p$-norm bounded adversarial attacks exist for point clouds as well~\\cite{point_perturb_generate}. We carry out experiments to understand if these perturbations are human (im)perceptible. We first map the coordinates of each cropped image from the KITTI dataset to its corresponding 3D point cloud, and crop out only the 3D points corresponding to the road sign. By doing so, and with data augmentation methods, we obtain 3642 cropped point clouds of road signs. We then train a PointNet~\\cite{pointnet} shape classifier ($\\sim$ 98\\% test accuracy) using a subset of the point clouds to create a target model. \n\n\\begin{figure}\n    \\centering\n    \\includegraphics[width=\\linewidth]{figures\/scene_sign.png}\n    \\caption{\\small Left: A point cloud of a scene in a driving environment. Right: The cropped point cloud of the sign outlined in red in the scene.}\n    \\label{fig:pc_scene}\n\\end{figure}\n\nWe proceed to generate adversarial examples for PointNet using the approach described in ~\\cite{point_perturb_generate}. From the results shown in Table~\\ref{table:pc_adv}, we see that generating perturbations minimizing the $\\ell_2$ distance in the point cloud space is indeed an effective attack. Explicitly attacking the point clouds generated by the LiDAR\\xspace sensor results in (potentially) perceptible perturbations, despite having a small $p$-norm. To the best of our knowledge, there exists no prior work that jointly attacks both sensors\\footnote{This approach is commonly referred to as sensor fusion~\\cite{gustafsson2010statistical}.} whilst producing small $p$-norm perturbations. We also deploy the clustering attack derived by Xiang \\textit{et al.}\\@\\xspace~\\cite{point_perturb_generate}; the attack generates a cluster of points to resemble a small ball attached to the original object. However, the adversarial clustering attack fails to successfully generate adversarial examples for each of the inputs when attacking majority of the target classes.\n\nThus, we conclude with the observation that it is possible in theory to generate attacks against the robust feature, these attacks are no longer imperceptible\\footnote{Obtained by analyzing the datasheet~\\cite{velodynepuck}}; as we state earlier, such attacks are beyond the scope of our threat model.\n\n\n\n\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{2.3cm}  p{1.2cm}  p{1.2cm}  p{1.2cm} p{1.2cm}}\n    \\toprule\n    \\textbf{Output} & \\textbf{Circle} & \\textbf{Diamond} & \\textbf{Triangle} & \\textbf{Inverted Triangle}\\\\\n    \\midrule\n    $||\\bar{\\delta}||_2$ & 1.032 & 0.636 & 0.386 & 1.059 \\\\\n    $\\Delta$ Distance & 3.096 cm & 1.908 cm & 1.158 cm & 3.177 cm \\\\\n    Attack accuracy & 91.33\\% & 32.00\\% & 98.00\\% & 89.33\\% \\\\\n   \n   \n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small Results of the attacks described in \\S~\\ref{improvement}. Legend: (a) $||\\bar{\\delta}||_2$: Average $\\ell_2$ perturbation distance between original and adversarial points, (b) {\\bf $\\Delta$ Distance:} Coarse upper-bound of changes in depth caused if the perturbation is realized, and (c) \\textbf{Attack accuracy:} Percentage of successfully generated perturbation attacks. Observe that some realizations are very perceptible.}\n\\label{table:pc_adv}\n\\end{center}\n\\vspace*{-5mm}\n\\end{table}\n\n\n\n\\subsubsection{Retraining vs. Renormalization} \n\\label{retrainvsrenormalize}\n\nUnder the existence of an accurate and robust root classifier, each leaf classifier only accepts as input road signs belonging to particular shape. As a running example, let us assume that the leaf classifier under discussion classifies {\\em circular} road signs. To obtain such a leaf classifier, one could (a) utilize a classifier trained on all labels (henceforth referred to as the baseline classifier) and discard the probability estimates of the labels not of interest (\\textit{e.g.,}\\@\\xspace labels of road signs which are not circular), and renormalize the remaining probability estimates; we refer to such an approach as the {\\em renormalization} approach, or (b) {\\em retrain} a leaf classifier from scratch based on the labels belonging to that particular equivalence class; \\textit{e.g.,}\\@\\xspace retrain a classifier for circular road signs in particular. Appendices~\\ref{app:circles},~\\ref{app:triangles}, and~\\ref{app:individual_circles} contains results from both these approaches. We observe that both these approaches increase the robustness certificate; while the renormalization approach can only increase the robustness certificate (by design, we discard the probability estimates of labels we are disinterested in and {\\em renormalize} the remaining, ergo widening the gap), the retraining approach can potentially decrease the robustness certificate for some inputs.\n\nRecall that the value of the robustness certificate is directly proportional to the margin $\\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})$, which is dependent on the probability $p_A$ of the top class $c_A$, and probability $p_B$ of the runner-up class $c_B$. Two important observations guide our analysis: (a) note that $c_B$ can either belong to the same equivalence class as $c_A$ (denoted $c_A \\approx c_B$), or belong to a different equivalence class (denoted $c_A \\napprox c_B$), and (b) the probability estimates for each of the leaf classifiers (which predict only a subset of the labels), before renormalization, are the same as those in the baseline classifier (by construction). On reducing the label space, if $c_A \\approx c_B$, renormalization will further widen the margin, and increase the robustness certificate. If  $c_A \\napprox c_B$, then there must exist a runner-up candidate $c_{B'} \\approx c_A$. Its corresponding runner-up estimate $\\overline{p_{B'}} \\leq \\overline{p_B}$ (or it would have been the runner-up in the first place). Consequently, the margin $\\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_{B'}}) \\geq \\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})$. \n\n\nIn the retraining scenario, however, we do not have knowledge about the {\\em ordering} of the probability estimates in the retrained classifier in comparison to the baseline classifier. It is possible that for a retrained classifier and for a given input, while the correct class' estimate remains $\\underline{p_A}$, the new runner-up's estimate $\\overline{p_{B'}}$ can be greater, lesser, or equal to the original (baseline) estimate $\\overline{p_B}$. Thus, the new robustness certificate can either be lower, greater, or the same as the baseline scenario. This problem is more fundamental; since robustness is a local property relying on the local Lipschitz constant and the structure of the decision spaces, partial or incomplete knowledge of any of these can result in spurious selection of the runner-up label. An added benefit of the renormalization approach is that it is computationally efficient; one needs to train one baseline classifier (independent of how the label space is partitioned) as opposed to several leaf classifiers (depending on the nature of the partition).\n\n\n\\vspace{1mm}\n\\noindent{\\bf Results:} In Tables~\\ref{table:case_study_11} and~\\ref{table:case_study_12}, we present the results of our evaluation. We report the mean and standard deviation of the robustness certificate obtained for different values of $\\sigma$. For each equivalence class, we use 3000 inputs belonging to that particular equivalence class (\\textit{e.g.,}\\@\\xspace we use 3000 images of circular road signs to validate the improvements in Table~\\ref{table:case_study_11}). We also report the certified accuracy for varying values of $\\sigma$ (refer Appendix D in ~\\cite{cohen2019certified} for the detailed definition and formulation). In each table, the columns pertaining to the baseline contain the certificates (and corresponding certified accuracy) for only the labels belonging to a particular equivalence class (circles in Table~\\ref{table:case_study_11} and triangles in Table~\\ref{table:case_study_12}). We can see that by simply rearchitecting the classifier to enforce invariances (in this case, obtained using auxiliary inputs), we are able to improve the certified radius and certified accuracy\\footnote{For brevity, we only report results for individual equivalence classes; the overall certified accuracy of both the baseline and our hierarchical approach is comparable.}. As stated earlier, more fine-grained results are presented in Appendices~\\ref{app:triangles},~\\ref{app:circles}, and~\\ref{app:individual_circles}.\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm}|  p{1.4cm}|  p{1.5cm}|  p{1.25cm}| p{1.5cm}}\n    \\toprule\n    \\textbf{}       & {\\footnotesize Baseline CR} & {\\footnotesize Hierarchy CR}   & {\\footnotesize Baseline CA} & {\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    $\\sigma=0.25$   & 1.083 $\\pm$ 0.579 & 1.090 $\\pm$ 0.575  & 77.74\\%    &  79.25\\%\\\\\n    $\\sigma=0.5$    & 1.620 $\\pm$ 0.986 & 1.642 $\\pm$ 1.009  & 56.54\\%    &  58.39\\%\\\\\n    $\\sigma=1.0$    & 2.327 $\\pm$ 1.454 & 2.400 $\\pm$ 1.560    & 31.69\\%    &  35.47\\%\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the circular equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:case_study_11}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.4cm} | p{1.5cm} | p{1.25cm} | p{1.5cm}}\n    \\toprule\n    \\textbf{}       & {\\footnotesize Baseline CR} & {\\footnotesize Hierarchy CR}   & {\\footnotesize Baseline CA} & {\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    $\\sigma=0.25$   & \\textcolor{black}{1.107 $\\pm$ 0.551}  & 1.127 $\\pm$ 0.547   & 71.60\\% & 76.45\\% \\\\\n    $\\sigma=0.5$    & \\textcolor{black}{1.641 $\\pm$ 0.919}  & 1.659 $\\pm$ 0.899   & 50.67\\% & 58.94\\% \\\\\n    $\\sigma=1.0$    & \\textcolor{black}{2.223 $\\pm$ 1.259}  & 2.233 $\\pm$ 1.172   & 20.41\\% & 32.78\\% \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the triangular equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:case_study_12}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\\subsubsection{Multiple Invariants}\n\\label{sec:morerobustfeatures}\n\n\nAs discussed earlier, the hierarchical classification paradigm can support enforcing more than a single invariant. In this case study, for example, one can further partition the label space using location information. For example, a highway can not have stop signs, or an intersection will not have a speed limit sign etc. To validate this hypothesis, we performed a small scale proof-of-concept experiment to further constrain the space of labels that is obtained by splitting on the shape invariance (\\textit{i.e.}\\@\\xspace see if we can obtain a subset of the set of, say, circular labels). Using the location information from the KITTI dataset, and local map data from OpenStreetMap~\\cite{OSM}. For particular locations, we can further constrain the space of circular road signs to just \\texttt{SpeedLimit} signs. From Figure~\\ref{fig:speedlimits}, we observe that increasing the number of invariances (to 2 - shape {\\em and location}) increases the robustness certificate further without impacting accuracy.\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.55\\linewidth]{figures\/speedlimits_plot.pdf}\n  \\caption{\\small The percentage improvement of the robustness certificate for \\texttt{SpeedLimit} signs utilizing 2 invariances - shape and location. These results are a significant improvement on those of Table~\\ref{table:case_study_11}. Additional invariances do not impact the accuracy in this case study.}\n  \\label{fig:speedlimits}\n\\end{figure}\n\n\\subsection{Speaker Classification}\n\\label{casestudy2}\n\n\nThus far, our results suggest that hierarchical classification and invariances improve robustness in the {\\em vision domain}. We carry out another case study in the audio domain to verify that our approach is general. To this end, we use speaker identification as the next case study. Conventional speaker identification systems utilize a siamese architecture~\\cite{chen2011extracting}; speech samples are first converted to discrete features, and these are then converted to an embedding (refer footnote 9). The distance between an unknown embedding (which is to be labeled), and embeddings in a known support set are computed. The label of the known embedding in the support set which is at the least distance from the unknown embedding is returned as the label for the unknown sample. Observe that such an architecture is not conducive for computing certificates using randomized smoothing; the output returned by the network is a label, and there is no associated probability estimate for this prediction. Thus, we implement speaker identification using a conventional CNN comprising of 3 convolutional layers followed by a fully connected layer and a softmax layer. For the remainder of this section, we assume that the inputs are discrete features obtained after processing the voice samples.\n\nAs before, we classify inputs based on the gender of the speaker. Since gender is binary, we utilize smoothed DNN (with the same architecture as above) for binary classification. Unlike the previous case study where the root is robust to perturbation as its inputs are robust, the robustness guarantees for this case study come from the design of the classifier (through randomized smoothing~\\cite{cohen2019certified}). While we could utilize another modality to obtain speaker gender, we use a robust classifier to highlight the flexibility of our approach. As before, the leaves are randomly smoothed classifiers. \n\n\\subsubsection{Dataset}\n\nFor our experiments, we use the LibriSpeech ASR corpus~\\cite{panayotov2015librispeech} which comprises of over 1000 hours of recordings of both male and female speakers. In particular, we use 105894 audio samples corresponding to 1172 speakers (606 male speakers and 566 female speakers). These audio samples were first downsampled (to 4 KHz) and then cut to lengths of 3 seconds each.\n\n\\noindent{\\bf Results:} As in \\S~\\ref{retrainvsrenormalize}, we renormalized the outputs of the baseline classifier (trained on inputs from both male and female speakers) to obtain the estimates required for the robustness certificate. Unlike the vision scenario, increasing the standard deviation of the noise added while training the smoothed classifier resulted in poorly performing classifiers (with very low test accuracy and certified accuracy). Thus, compared to the case study in \\S~\\ref{casestudy1}, the values of $\\sigma$ are considerably lower. For each equivalence class, we evaluate our approach with 3000 samples belonging to that class. We observe a considerable increase in the robustness certificate - 1.92$\\times$ for male speakers (refer Table~\\ref{table:case_study_22}), and 2.07$\\times$ for female speakers (refer Table~\\ref{table:case_study_21}). As before, we observe an increase in the certified accuracy as well. This suggests that the choice of the invariant is very important, and can enable significant gains in robustness radius without degrading classification accuracy. In the sections that follow, we discuss this point in greater detail.\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.4cm}|  p{1.25cm}|  p{1.4cm}|  p{1.5cm}| p{1.25cm}}\n    \\toprule\n    \\textbf{}       & \\text{\\footnotesize Baseline CR} & \\text{\\footnotesize Hierarchy CR}   & \\text{\\footnotesize Baseline CA} & \\text{\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    $\\sigma=0.025$   & 0.1233 $\\pm$ 0.0424 & 0.2554 $\\pm$ 0.0429  & 88.80\\%    &  89.62\\%\\\\\n    $\\sigma=0.05$    & 0.1855 $\\pm$ 0.0907 & 0.3843 $\\pm$ 0.0915  & 65.70\\%    &  66.98\\%\\\\\n    $\\sigma=0.1$     & 0.2612 $\\pm$ 0.1579 & 0.5688 $\\pm$ 0.1576  & 24.79\\%    &  24.96\\%\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the female gender equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:case_study_21}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\\begin{table}\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.4cm}|  p{1.25cm}|  p{1.4cm}|  p{1.5cm}| p{1.25cm}}\n    \\toprule\n    \\textbf{}       & \\text{\\footnotesize Baseline CR} & \\text{\\footnotesize Hierarchy CR}   & \\text{\\footnotesize Baseline CA} & \\text{\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    $\\sigma=0.025$   & 0.1351 $\\pm$ 0.0381 & 0.2590 $\\pm$ 0.0379  & 92.67\\%    &  \\textcolor{black}{92.65\\%}\\\\\n    $\\sigma=0.05$    & 0.2085 $\\pm$ 0.0911 & 0.4014 $\\pm$ 0.0908  & 76.58\\%    &  78.85\\%\\\\\n    $\\sigma=0.1$     & 0.2883 $\\pm$ 0.1563 & 0.5562 $\\pm$ 0.1592  & 36.92\\%    &  \\textcolor{black}{36.40\\%}\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the male gender equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:case_study_22}\n\\end{center}\n\\vspace*{-6mm}\n\\end{table}\n\n\n\\iffalse\n\\begin{enumerate}\n    \\item Outline setup for each experiment\n\\end{enumerate}\n\n\\subsection{MNIST and CIFAR10}\n\\begin{enumerate}\n    \\item Intro\n    \\item Dataset and setup\n    \\item Model hierarchy and layer output clustering\n    \\item Results with parameters and baseline\n    \\item Analysis on how based on these results, it's fair to say the approach can generalize to most other similar image classification tasks\n    \\item Say that empirically, both natural and adversarial accuracy outperform an adversarially trained baseline model. When retraining we see improvements of x amount, when renormalizing, we see improvements of x amount\n\\end{enumerate}\n\n\\subsection{Road Sign Classification}\n\\begin{enumerate}\n    \\item Intro\n    \\item Dataset and setup\n    \\item Model hierarchy and PointNet\n    \\item Results with parameters and baseline\n    \\item Analysis\n    \\item Adding extra invariants\n\\end{enumerate}\n\n\\subsection{Speaker Identification}\n\\begin{enumerate}\n    \\item Intro\n    \\item Dataset and setup\n    \\item Model hierarchy and non-siamese\n    \\item Results with parameters and baseline\n    \\item Analysis\n    \\item Speaker privacy implications\n\\end{enumerate}\n\\fi\n\n\n\n\n\n\n\\section{Discussion}\n\\label{sec:discussion}\n\n\n\\subsection{Do invariances always exist?} \n\nRecent work \\cite{new_madry_2019} suggests that robust features are a by-product of adversarial training. However, extracting such robust features is computationally expensive. In our approach, we use a combination of domain knowledge and observing intermediary representations of input features to extract invariances. But it is unclear if these approaches work for {\\em all} classification tasks. Discarding the approaches specified in our work, it is an open problem to determine an algorithm to {\\em efficiently} extract invariances\/stable properties pertaining to any learning task.\n\nIt is also unclear if there is explicit benefit from having invariances that can be defined in a manner that is interpretable to humans. Interpretability is subjective and enforcing such subjectivity might be detrimental to learning (and generalization); such subjectivity might also induce issues pertaining to fairness.\n\n\\subsection{How do we handle multiple invariances?}\n\nIn our evaluation thus far, we have discussed how a single invariance can enable robustness without a detriment to accuracy. In the presence of multiple such invariances, it is unclear how they might interact. To begin with, it is unclear if all invariances contribute equally towards robustness, or if some invariances are preferred to others. The same question exists in terms of the interaction between the invariances and accuracy. It is also unclear how one might combine multiple invariances to create a hiearachy with increased robustness in a meaningful manner \\textit{i.e.}\\@\\xspace the ordering of invariances is an open problem. This stems from the fact that it is a challenging proposition understanding the information gain from these invariances.\n\n\\subsection{Can better classification architectures improve robustness further?} \n\nWe empirically validate the benefits of using a tree-like hierarchy to improve robustness. However, it is unclear if our approach of constructing the hierarchy is the {\\em only} way. Indeed, there are other approaches that can be used to construct classification architectures, such as those discussed in works in the neural architectural search domain~\\cite{zoph2016neural}. An interplay of these ideas (searching for architectures that explicitly improve robustness by enforcing invariances) makes for interesting future research. \n\n\\subsection{Do invariances always help?}\n\nRecent research~\\cite{DBLP:journals\/corr\/abs-1903-10484, jacobsen2018excessive} suggests that by default, DNNs are invariant to a wide range of task-related changes. Thus, while trying to enforce invariances which we believe may improve robustness, we could potentially introduce a new region of vulnerabilities. Understanding if specific types of invariances are beneficial or harmful, and where to draw the line is avenue for future work.\n\\section{Related Work}\n\\label{sec:related_work}\n\nResearchers have extensively studied the robustness of Machine Learning models through exploring new attack strategies and various defense mechanisms. These efforts are very well documented in literature~\\cite{DBLP:journals\/corr\/abs-1902-06705}. In this section, we only discuss work related to the different components of our classification pipeline. \n\n\n\\paragraph{Hierarchical Classification}\n\nRecent research casts image classification as a visual recognition task ~\\cite{HD-CNN,category_structure,treepriors_transferlearning}. The common observation is that these recognition tasks introduce a hierarchy; enforcing a hierarchical structure further improves the accuracy. Similar to our approach, Yan \\textit{et al.}\\@\\xspace ~\\cite{HD-CNN} propose a HD-CNN that classifies input images into coarse categories which then pass corresponding leaf classifiers for fine-grained labeling. They perform spectral clustering on the confusion matrix of a baseline classifier to identify the clusters of categories. This approach is optimized for natural accuracy and uses the image data at all levels of hierarchy. In contrast, we employ robust features from different modalities to construct more robust classifiers.  \n\nSrivastava \\textit{et al.}\\@\\xspace ~\\cite{treepriors_transferlearning} show that leveraging the hierarchical structure can be very useful when there is limited access to inputs belonging to certain classes. They propose an iterative method which uses training data to optimize the model parameters and validation data to select the best tree starting from an initial pre-specified tree. This approach further motivates our tree-based hierarchy; in several settings, such as autonomous driving systems, a hierarchy is readily available (as displayed by our experiments with shape and location).\n\n\\paragraph{Imperceptible Adversarial Examples in the Wild}\n\nExtensive research is aimed at generating digital adversarial examples, and defenses corresponding to $p$-norm bounded perturbations to the original inputs ~\\cite{goodfellow2014explaining,papernotattack,kurakin2016adversarial,madry-iclr2018}. However, these studies fail to provide robustness guarantees for the attacks realizable in the physical world due to a variety of factors including view-point shifts, camera noise, domain adaptation, and other affine transformations.\n\nThe first results in this space were presented by Kurakin \\textit{et al.}\\@\\xspace~\\cite{kurakin2016adversarial}. The authors generate adversarial examples for an image, print them, and verify if the prints are adversarial or not.  Sharif \\textit{et al.}\\@\\xspace developed a physical attack approach~\\cite{sharif2016accessorize, sharif2017adversarial} on face recognition systems using a printed pair of eyeglasses. Recent work with highway traffic signs demonstrates that both state-of-the-art machine learning classifiers, as well as detectors, are susceptible to real-world physical perturbations~\\cite{roadsigns17,object-detector-attacks}. Athalye \\textit{et al.}\\@\\xspace~\\cite{AthalyeS17} provide an algorithm to generate 3D adversarial examples (with small $p$-norm), relying on various transformations (for different points-of-view).\n\n\\paragraph{LiDAR\\xspace Attacks}\n\nSimilar to our approach, Liu \\textit{et al.}\\@\\xspace~\\cite{pointcloud} adapt the attacks and defense schemes from the 2D regime to 3D point cloud inputs. They have shown that even simpler defenses such as outlier removal, and removing salient points are effective in safeguarding point clouds. This observation further motivates our selection of point clouds as auxiliary inputs in the case study. However, Liu \\textit{et al.}\\@\\xspace ~\\cite{pointcloud} do not physically realize the generated perturbations. Other approaches consider active adversarial attacks against the LiDAR\\xspace modalities~\\cite{active_lidar}, which can be expensive to launch. In this paper, we focus on passive attacks (on sensors) through object perturbations.\n\nXiang \\textit{et al.}\\@\\xspace ~\\cite{point_perturb_generate} propose several algorithms to add adversarial perturbations to point clouds through  generating new points or perturbing existing points. An attacker can generate an adversarial point cloud, but manifesting this point cloud in the physical world is a different story. There are several constraints need to be accounted for, such as the LiDAR\\xspace's vertical and horizontal resolution and the scene's 3D layout. . Still, an attacker would need to attack more than one modality to cause a misclassification. \n\n\\paragraph{Robust Features}\n\nIlyas \\textit{et al.}\\@\\xspace ~\\cite{new_madry_2019} and Tsipras \\textit{et al.}\\@\\xspace ~\\cite{tsipras2018there} distinguish robust features from non-robust features to explain the trade-off between adversarial robustness and natural accuracy. While the authors show an improved trade-off between standard accuracy and robust accuracy, it is achieved at the computational cost of generating a large, robust dataset through adversarial training ~\\cite{new_madry_2019}. We circumvent this computational overhead by adopting invariants (and consequently robust features) imposed by the constraints in the physical world. \n\n\n\\section{Conclusion}\n\n\\begin{enumerate}\n    \\item Robustness vs accuracy tradeoff\n    \\item invariances and domain knowledge\n    \\item Reduced labelspace with equivalence classes result in improved robustness certificate\n    \\item Important numbers\n    \\item Useful takeaways\n\\end{enumerate}\n\\fi\n\n\\section{Conclusion}\n\\label{sec:conclusion}\n\nIn this paper, we discuss how robust features realized through invariances (obtained through domain knowledge, or provided by real world constraints), when imposed on a classification task can be leveraged to significantly improve adversarial robustness without impacting accuracy. Better still, this is achieved at minimal computational overhead. Through a new hierarchical classification approach, we validate our proposal on real-world classification tasks -- road sign classification and speaker identification. We also show how some invariances can be used to safeguard the aforementioned classification task from physically realizable adversarial examples (in the case of road sign classification).\n\n\n\n\n\n\\section{Tables}\n\n\\subsection{Experimental Setup}\n\\label{app:setup}\n\nAll experiments were conducted on two servers. The first server has 264 GB memory, 8 NVIDIA's GeForce RTX 2080 GPUs, and 48 CPU cores. The second has 128GB memory, 2 NVIDIA's TITAN xp GPUs $\\And$ 1 NVIDIA's Quadro P6000 GPU, and 40 CPU cores.\n\n\\subsection{Settings for Experiments in \\S~\\ref{sec:insights}}\n\\label{app:insights}\n\nProjected Gradient Descent (PGD) is a white box attack bounded by the perturbation size, $\\epsilon$. The results derived in \\S~\\ref{sec:insights} were evaluated on PGD with 20 iterations and 40 iterations (PGD-20, PGD-40) on the $\\infty$-norm~\\cite{madry-iclr2018}.  Since adversarial training is notoriously slow (as it attempts to solve a nested optimization), we utilize YOPO~\\cite{yopo}, a technique which accelerates adversarial training by up to 4-5 $\\times$. This reduces the amount of times the network is propagated while staying competitive with the results of typical adversarial training using PGD. We perform our adversarial training experiments using YOPO-5-3 so that only 5 full forward and backward-propagations are made instead of the 20 with PGD-20. The same is done with YOPO-5-10 for approximating PGD-40.\n\n\\begin{table}[ht]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.4cm}  p{1.4cm}  p{0.4cm}  p{0.4cm} p{0.4cm} p{0.5cm} p{0.5cm} p{0.4cm} p{0.3cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize Architecture} & \\text{n} & \\textbf{$\\sigma$} & \\textbf{$\\varepsilon$} & \\textbf{$\\kappa$} & \\textbf{$\\eta$} & \\text{b}\\\\\n    \\midrule\n   \n    {\\footnotesize YOPO-5-3} &  {\\footnotesize ResNet-34}  & {\\footnotesize 200} & {\\footnotesize -} & {\\footnotesize $\\frac{8}{255}$} & {\\footnotesize $5\\mathrm{e}{-2}$} & {\\footnotesize $2\\mathrm{e}{-3}$} & {\\footnotesize 128} \\\\\n    {\\footnotesize YOPO-5-10} &  {\\footnotesize Small CNN}  & {\\footnotesize 40} & {\\footnotesize -} & {\\footnotesize $0.47$} & {\\footnotesize $5\\mathrm{e}{-2}$} & {\\footnotesize $2\\mathrm{e}{-3}$} & {\\footnotesize 128} \\\\\n    \\midrule\n    {\\footnotesize Smoothing} & {\\footnotesize ResNet-110} & {\\footnotesize 350} & {\\footnotesize 0.25} & {\\footnotesize -} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize 256} \\\\\n    {\\footnotesize Smoothing} & {\\footnotesize ResNet-110} & {\\footnotesize 350} & {\\footnotesize 0.50} & {\\footnotesize -} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize 256} \\\\\n    {\\footnotesize Smoothing} & {\\footnotesize ResNet-110} & {\\footnotesize 350} & {\\footnotesize 1.00} & {\\footnotesize -} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize $1\\mathrm{e}{-2}$} & {\\footnotesize 256} \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The training parameters used for our YOPO and randomized smoothing models. YOPO-5-3 (with step size $\\frac{2}{255}$) and smoothing models were used for obtaining results on CIFAR-10 dataset. YOPO-5-10 (with step size $0.01$) models were used for obtaining results on MNIST dataset. All of the parameters except for the number of labels were kept consistent when training our baseline, leaf, and root classifiers for our experiments in \\S~\\ref{sec:insights}. (a) n: number of samples, (b) $\\sigma$: standard deviation of noise added for smoothing, (c) $\\varepsilon$: maximum permissible noise added while adversarially training, (d) $\\kappa$: weight decay, (e) $\\eta$: learning rate, and (f) b: batch size.}\n\\label{table:parameters}\n\\end{center}\n\\end{table}\n\n\\begin{table}[ht]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1cm}  p{1.5cm}  p{1.5cm}  p{1cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize Natural (\\%)} & \\text{\\footnotesize Adv (\\%)} & \\text{\\footnotesize \\# Classes}\\\\\n    \\midrule\n    {\\footnotesize Root} & {\\footnotesize 98.51\\%} & {\\footnotesize 93.68\\%} & {\\footnotesize 2}\\\\\n    {\\footnotesize 4Class} & {\\footnotesize 98.37\\%} & {\\footnotesize 86.95\\%} & {\\footnotesize 4}\\\\\n    {\\footnotesize 6Class} & {\\footnotesize 98.52\\%} & {\\footnotesize 85.81\\%} & {\\footnotesize 6}\\\\\n    {\\footnotesize Baseline} & {\\footnotesize 97.86\\%} & {\\footnotesize 82.35\\%} & {\\footnotesize 10}\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The results on the test set for each YOPO-5-10 model used in our evaluation for MNIST. Using the parameters from Table~\\ref{table:parameters}, we train a root classifier, 2 leaf classifiers, and 1 baseline classifier trained on the entire label space. The legends are (a) {\\bf Natural (\\%)}: natural accuracy, (b) {\\bf Adv (\\%)}: adversarial accuracy with PGD-40 attack where $\\sigma=0.01, \\epsilon=0.47$}\n\\label{table:mnist_acc}\n\\end{center}\n\\end{table}\n\nIn Table~\\ref{table:cifar_acc} and Table~\\ref{table:mnist_acc}, we report statistics for the experiments related to MNIST and CIFAR-10 in \\S~\\ref{sec:insights}. Specifically, we report the natural  and adversarial accuracy of different constitutent classifiers are reported. Trained with the parameters from Table~\\ref{table:parameters}, these classifiers were used in our end to end evaluation of our hierarchical classification scheme.\n\n\\begin{table}[ht]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.5cm}  p{1.5cm}  p{1.5cm}  p{1cm}}\n    \\toprule\n    \\text{\\footnotesize Model} & \\text{\\footnotesize Natural (\\%)} & \\text{\\footnotesize Adv (\\%)} & \\text{\\footnotesize \\# Classes}\\\\\n    \\midrule\n    {\\footnotesize Root} & {\\footnotesize 96.57\\%} & {\\footnotesize 84.25\\%} & {\\footnotesize 2}\\\\\n    {\\footnotesize Non-living} & {\\footnotesize 93.48\\%} & {\\footnotesize 69.04\\%} & {\\footnotesize 4}\\\\\n    {\\footnotesize Living} & {\\footnotesize 80.72\\%} & {\\footnotesize 40.78\\%} & {\\footnotesize 6}\\\\\n    {\\footnotesize Baseline} & {\\footnotesize 83.68\\%} & {\\footnotesize 38.77\\%} & {\\footnotesize 10}\\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small The results on the test set for each YOPO-5-3 model used in our evaluation for CIFAR-10. Using the parameters from Table~\\ref{table:parameters}, we train a root classifier, 2 leaf classifiers, and 1 baseline classifier trained on the entire label space. The legends are (a) {\\bf Natural (\\%)}: natural accuracy, (b) {\\bf Adv (\\%)}: adversarial accuracy with PGD-20 attack where $\\sigma=\\frac{2}{255}, \\epsilon=\\frac{8}{255}$}\n\\label{table:cifar_acc}\n\\end{center}\n\\end{table}\n\n\\subsection{Robustness and Accuracy no Longer at Odds}\n\\label{tsipras}\n\nWe consider the setting of Tsipras et al.~\\cite{tsipras2018there,new_madry_2019} of a binary classification task. In this setting, robustness and accuracy are at odds~\\cite{tsipras2018there}. Here, we show, over the same setting, that imposing an invariant on the attacker improves the defender's accuracy-robustness trade-off.\n\n\n\\input{ccs-2019\/new_madry_stuff}\n\n\\subsection{Data Driven Invariances}\n\\label{app:data}\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/Appendix\/confusionmatrix.pdf}\n  \\caption{\\small Confusion matrix obtained by inspecting the predictions of an adversarially trained ($\\epsilon=\\frac{8}{255})$ CNN.}\n  \\label{fig:confusionmatrix1}\n\\end{figure}\n\n\nBy observing the confusion matrix, one can see that for the CIFAR-10 dataset, Non-living objects (such as planes, automobiles, ships, and trucks) are more likely to be misclassified among each other, in comparison to being misclassifed as Living objects (such as animals). This motivates our split as described in \\S~\\ref{sec:obtaining}.\n\n\\subsection{CIFAR-10 Certification}\n\\label{app:cifar}\n\nInstead of retraining the leaf classifiers with adversarial training, we retrain the leaf classifiers on the CIFAR-10 dataset with randomized smoothing. We still utilize the root classifier as described in \\S~\\ref{sec:method}. From Table~\\ref{table:vehicles_ca} and Table~\\ref{table:animals_ca}, we can see that the hierarchical approach increases the robustness certificate and certified accuracy, in comparison to the flat baseline. \n\\begin{table}[ht]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.4cm} | p{1.5cm} | p{1.25cm} | p{1.5cm}}\n    \\toprule\n    \\textbf{}       & {\\footnotesize Baseline CR} & {\\footnotesize Hierarchy CR}   & {\\footnotesize Baseline CA } & {\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    {\\footnotesize $\\sigma=0.25$}   & 0.6749 $\\pm$ 0.2798 & 0.7204 $\\pm$ 0.2692 & 88.15\\% & 90.70\\% \\\\\n    {\\footnotesize $\\sigma=0.5$}    & 0.9270 $\\pm$ 0.5349 & 1.0943 $\\pm$ 0.5686 & 79.58\\% & 85.85\\% \\\\\n    {\\footnotesize $\\sigma=1.0$}    & 1.2270 $\\pm$ 0.7789 & 1.5013 $\\pm$ 0.9828 & 65.23\\% & 74.74\\% \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the Non-Living objects equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:vehicles_ca}\n\\end{center}\n\\vspace*{-4mm}\n\\end{table}\n\n\\begin{table}[ht]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.25cm} | p{1.4cm} | p{1.5cm} | p{1.25cm} | p{1.5cm}}\n    \\toprule\n    \\textbf{}       & \\text{\\footnotesize Baseline CR} & \\text{\\footnotesize Hierarchy CR}   & \\text{\\footnotesize Baseline CA} & \\text{\\footnotesize Hierarchy CA}\\\\\n    \\midrule\n    $\\sigma=0.25$   & 0.5263 $\\pm$ 0.2987 & 0.5671 $\\pm$ 0.2966 & 75.93\\% & 80.80\\% \\\\\n    $\\sigma=0.5$    & 0.7219 $\\pm$ 0.5037 & 0.7777 $\\pm$ 0.5140 & 61.82\\% & 67.05\\% \\\\\n    $\\sigma=1.0$    & 0.9319 $\\pm$ 0.7486 & 1.0750 $\\pm$ 0.8278 & 42.68\\% & 53.80\\% \\\\\n    \\bottomrule\n    \\end{tabular}\n\\caption{\\small For inputs that belong to the Living objects equivalence class, the hierarchical approach preserving invariances outperforms the baseline model.}\n\\label{table:animals_ca}\n\\end{center}\n\\vspace*{-4mm}\n\\end{table}\n\n\\subsection{Retraining vs. Renormalization for Triangular Road Signs}\n\\label{app:triangles}\n\nFor the remainder of this subsection, note that we measure the improvements in robustness for a small sample of triangular road sign inputs ($\\sim$ 200). This is the reason for the increased improvement, as in comparison to those in \\S~\\ref{expts} where the gains are reported for over $\\sim$ 3000 inputs. The results are presented in Figure~\\ref{fig:triangle_retrain} and Figure~\\ref{fig:triangle_renormalize}. Whilst providing comparable gains (on average), we reiterate the detriment caused by retraining approaches in Appendix~\\ref{app:individual_circles} (refer Figure~\\ref{fig:improve_retrain}).\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.5\\linewidth]{figures\/Appendix\/triangle_retrain.pdf}\n  \\caption{\\small Improvements in robustness when the triangle leaf classifier is {\\em retrained}.}\n  \\label{fig:triangle_retrain}\n\\end{figure}\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.5\\linewidth]{figures\/Appendix\/triangle_renormalization.pdf}\n  \\caption{\\small Improvements in robustness when the triangle leaf classifier is {\\em renormalized}.}\n  \\label{fig:triangle_renormalize}\n\\end{figure}\n\n\\subsection{Retraining vs. Renormalization for Circular Road Signs}\n\\label{app:circles}\n\nFor the remainder of this subsection, note that we measure the improvements in robustness for a small sample of circular road sign inputs ($\\sim$ 200). This is the reason for the increased improvement, as in comparison to those in \\S~\\ref{expts} where the gains are reported for over $\\sim$ 3000 inputs. The results are presented in Figure~\\ref{fig:circle_retrain} and Figure~\\ref{fig:circle_renormalize}. In comparison to the triangular road sign case, the improvements are relatively lower. This is because the runner-up candidates in the baseline (non-hierarchical classifier) are the same as the runner-up candidates for the hierarchical classifier. Thus, there is no significant widening in the margin. This further motivates the need to understand invariances associated with classification tasks, and obtain invariances that, by design, maximize this margin.\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.5\\linewidth]{figures\/Appendix\/circle_retrain.pdf}\n  \\caption{\\small Improvements in robustness when the circle leaf classifier is {\\em retrained}.}\n  \\label{fig:circle_retrain}\n\\end{figure}\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.5\\linewidth]{figures\/Appendix\/circle_renormalization.pdf}\n  \\caption{\\small Improvements in robustness when the circle leaf classifier is {\\em renormalized}.}\n  \\label{fig:circle_renormalize}\n\\end{figure}\n\n\\subsection{Analysis of Individual Circular Road Signs}\n\\label{app:individual_circles}\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/Appendix\/improvement_circle.pdf}\n  \\caption{\\small Individual robustness improvements when the leaf classifiers are {\\em renormalized}.}\n  \\label{fig:improve_renormalize}\n\\end{figure}\n\nWe report fine grained measurements of the improvements discussed in Appendix~\\ref{app:circles}. Here, we plot the percentage improvement (or degradation in the case of retraining) of robustness for each individual point. Observe that for some points, the increase in robustness is almost $7\\times$ in the renormalization scenario (refer Figure~\\ref{fig:improve_renormalize}), and about $20\\times$ in the retraining scenario (refer Figure~\\ref{fig:improve_retrain}). However, for most others, the increase in robustness is nominal. However, observe that in the retraining scenario, there are lots of points where the robustness decreases, which is why we utilize the renomralization approach for our experiments in \\S~\\ref{expts}.\n\n\\begin{figure}\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/Appendix\/retrained_improvement_circle.pdf}\n  \\caption{\\small Individual robustness improvements when the leaf classifiers are {\\em retrained}.}\n  \\label{fig:improve_retrain}\n\\end{figure}\n\n\n\n\n\\section{PointNet}\n\\label{sec:pointnet}\n\nWe train a PointNet model\\cite{} as our root classifier for our sign classification case study. We crop and label points from the KITTI dataset\\cite{} for each sign with at least 32 points. The original distribution of labels for signs as seen in Table~\\ref{table:pc_distribution} accounts for the lack of diamond-shaped signs using jittering and translation as modes of data augmentation. The resulting accuracy of our root classifier holds at 98.01\\%, with the class accuracies displayed in Table~\\ref{table:pc_accuracy}. We evaluate the robustness of our PointNet model by generating adversarial attacks, an approach done by Xiang et al.\\cite{}. Using an adapted Carlini-Wagner $L_2$ attack, perturbations are generated to minimize the $L_2$ distance and the targeted class loss. We use 500 iterations on each attack batch and find the adversarial accuracy to be greater than 90\\% in some classes while keeping an average $L_2$ distance of around 1. Table~\\ref{table:pc_adv} contains the results. We find that our 32-point model is robust to the clustering attack as explored by Xiang et al. in all but one class. While the norm-bounded generated attacks are physically realizable, we argue that our approach results in the adversary's cost being increased through perceptibility and feasibility.\n\n\n\n\\begin{table}[H]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1cm} p{1cm} p{1cm} p{1cm} p{1cm} p{1cm}}\n    \\toprule\n    \\textbf{Eval Acc} & \\textbf{Eval Avg Class Acc} & \\textbf{Circle} & \\textbf{Diamond} & \\textbf{Triangle} & \\textbf{Inverted Triangle} \\\\\n    \\midrule\n    98.01 & 98.33 & 98.80 & 100.0 & 100.0 & 94.50\n    \\end{tabular}\n\\caption{The accuracy of our PointNet classifier trained on sign shapes.}\n\\label{table:pc_accuracy}\n\\end{center}\n\\end{table}\n\n\\begin{table}[H]\n\\small\n\\begin{center}\n  \\begin{tabular}{p{1.5cm} p{1cm} p{1cm} p{1cm} p{1cm}}\n    \\toprule\n    \\textbf{Data source} & \\textbf{Circle} & \\textbf{Diamond} & \\textbf{Triangle} & \\textbf{Inverted Triangle} \\\\\n    \\midrule\n    Original & 645 & 12 & 82 & 374 \\\\\n    Augmented & 1290 & 492 & 738 & 1122\n    \\end{tabular}\n\\caption{The distribution of labels among our point clouds before and after data augmentation.}\n\\label{table:pc_distribution}\n\\end{center}\n\\end{table}\n\n\n\n\\section{Evaluation}\n\\label{sec:evaluation}\n\nWe demonstrate that hierarchical classification improves the robustness vs. accuracy trade-offs. In this section, we evaluate our hierarchical classification approach for two commonly used domain tasks: speaker identification and image classification. For both tasks, we utilize a feed forward architecture with the final softmax layer. Speaker identification typically utilizes a siamese architecture to compute the distance between an unknown sample and a predefined support set, though such an architecture is hard to retrofit to obtain a robustness certificate. Through our evaluation, we establish that the improvements in robustness are independent of the following:\n\\begin{enumerate}\n    \\item The exact methodology used to obtain the robust invariant features (we utilize an auxiliary modality, LiDAR\\xspace, to classify shapes in the road sign classification task)\n    \\item The model chosen for robust classification (we use a robust SVM for gender identification as the root classifier for speaker identification)\n    \\item The domain space of the classification task (we evaluate our approach for image classification, road sign classification, and speaker identification)\n\\end{enumerate}\n\n\\textcolor{red}{add major results to the bullet points for the 3 themes suggested}\nOur experiments suggest that:\n\n\\begin{enumerate}\n    \\item The hierarchical classification approach improves the robustness vs. accuracy trade-off for the same model architecture. While maintaining a comparable natural accuracy, the proposed approach produces an increase in certified robustness\\footnote{Used interchangeably with the robustness certificate of Cohen et al.~\\cite{cohen2019certified}}.\n    \\item Extending the hierarchy using multiple invariants further improves robustness. In the case of road sign classification, we combine shape and location constraints to obtain an average increase of $>80\\%$ for speed limit signs (which can be thought of as circular signs at a given geographic location).\n   \n   \n   \n   \n\\end{enumerate}\n\n\n\n\\subsection{Road Sign Classification}\n\n\\begin{figure}[t]\n  \\centering\n  \\includegraphics[width=\\linewidth]{figures\/road-signs.pdf}\n  \\caption{The hierarchy over the road signs from the GTSRB dataset.}\n  \\label{fig:road-sign-setup}\n\\end{figure}\n\nTo summarize our hierarchical approach, we classify road signs first based on their shapes at the root level (using a classifier trained using the ResNet-20 architecture~\\cite{DBLP:journals\/corr\/HeZRS15}). By doing so, we are able to partition the label space into equivalence classes based on shapes (circular, triangular, octagonal, inverse triangular, or rectangular). Within each equivalence class \\textit{i.e.}\\@\\xspace per-shape, we perform classification using a smoothed classifier (which also has the ResNet-20 architecture) to obtain the exact road sign. Note that we set the noise parameter $\\sigma$ set to different values \\textit{i.e.}\\@\\xspace $\\sigma=0.25,0.5,1$ to better understand the trade-offs between robustness and accuracy. Figure~\\ref{fig:road-sign-setup} contains a visual summary. Such a hierarchical classification encodes various priors about the classification task which are obtained from domain expertise about the classification problem at hand. By doing so, the classification pipeline is also interpretable. We train the root classifier using LiDAR\\xspace point clouds (\\textit{i.e.}\\@\\xspace a different set of input features) of road signs to predict the shape. While conventional computer vision techniques can be used to extract the shape of an object from raw pixel values (in the absence of an additional input modality), these are not fool-proof \\textit{i.e.}\\@\\xspace the inputs are easy to perturb~\\cite{}. In this case study, we demonstrate that features robust to $p$-norm perturbations exist in the wild (as motivated by our threat model in \\S~\\ref{}); such features provide us robustness for {\\em free}\\footnote{This is under the assumption that the point cloud inputs are robust, and hard to perturb. We validate this empirically in Sec.~\\ref{realizable}}. Additionally, the presence of \\lidars in most autonomous vehicles further validates our choice. \n\n{\\bf Datasets:} For our experiments, we use two datasets: the first is the German Traffic Sign Recognition Benchmark (GTSRB)~\\cite{Stallkamp2012} which contains 51,840 cropped images of German road signs which belong to 43 classes; Fig.~\\ref{fig:road-sign-setup} shows these classes. The second is the KITTI dataset which contains time-stamped location measurements, high-resolution images, and LiDAR\\xspace scans over a five-day recording period from an instrumented vehicle on the roads of Karlsruhe, Germany. We post-processed this dataset to (a) extract only cropped images of the road signs included in the GTSRB dataset, and (b) exract their corresponding LiDAR\\xspace depth maps. To do so, we retrained a YOLOv3 object detector~\\cite{yolov3} to detect the German road signs using the German Traffic Sign Detection Benchmark (GTSDB) dataset~\\cite{}. Thus, we obtained 3138 cropped images, their corresponding LiDAR\\xspace depth maps, and their labels. To verify our pipeline, we {\\em manually verified the validity of all} these labels.\n\n\\subsubsection{Improving the robustness vs. accuracy trade-off}\n\\label{improvement}\n\n\n\\para{\\bf A Robust Root Classifier:} As discussed earlier, our root classifier operates on point cloud data. Our threat model specifies the adversary's capabilities to make $p$-norm bounded perturbations to the road sign, or deface the road sign with specific stickers. Such attacks are the state-of-the-art in literature. Our experiments with road signs and a \\textcolor{red}{LIDAR NAME} LiDAR\\xspace suggest that {\\em large} perturbations (such as stickers) made on the road sign does not impact the road sign's point cloud. Thus, the point cloud features are robust to perturbations on the actual road sign. While the LiDAR\\xspace is susceptible to active attacks~\\cite{Cao:2019:ASA:3319535.3339815}, such an attack is expensive to mount and beyond the capabilities of our passive adversary. Recent works show $p$-norm bounded adversarial attacks exist in the point cloud space\\cite{point_perturb_generate}. To evaluate our approach, we attack our PointNet~\\cite{pointnet} shape classifier, which has achieved a 98.01\\% accuracy on the test set, using state of the art attacks. From the results shown in Table~\\ref{table:pc_adv}, we show that generating perturbations minimizing the $L_2$ distance in the point cloud space is an effective attack. Our model is robust against the clustering attack, a result of traffic signs having very few points. While these norm-bounded attacks are physically realizable, they increase an adversary's cost of attack by introducing an additional attack space on top of the image space. In summary, we are able to utilize robust features obtained from another input modality to obtain a robust root classifier. \n\n\n\\begin{figure}[H]\n    \\centering\n    \\includegraphics[width=\\linewidth]{figures\/scene_sign.png}\n    \\caption{Left: A point cloud of a scene in a driving environment. Right: The cropped point cloud of the sign outlined in red in the scene.}\n    \\label{fig:pc_scene}\n\\end{figure}\n\n\\noindent{\\em Q1. Why Shape?} \\textcolor{red}{PENDING}\n\n\\para{\\bf The Leaf Classifiers:} Based on the signs in the GTSRB dataset, we observe that the diamond, octagon, and inverse-triangle shapes have a single road sign belonging to each of their equivalence classes. Thus, for these shapes, we do not require a leaf classifier; classifying based on the robust feature is sufficient. Consequently, their robustness certificate is $\\infty$. \n\n\\noindent{\\em Q2. Retraining vs. Renormalization?} Under the assumption of an accurate and robust root classifier, each leaf classifier only accepts as input road signs belonging to particular shape. As a running example, let us assume that the leaf classifier under discussion classifies {\\em circular} road signs. To obtain such a leaf classifier, one could (a) utilize a classifier trained on all labels (henceforth referred to as the baseline classifier) and discard the probability estimates of the labels not of interest (\\textit{i.e.}\\@\\xspace labels of road signs which are not circular), and renormalize the remaining probability estimates; we refer to such an approach as the {\\em renormalization} approach, or (b) {\\em retrain} a leaf classifier from scratch based on the labels belonging to that particular equivalence class; \\textit{e.g.,}\\@\\xspace retrain a classifier for circular road signs in particular. Appendix~\\ref{} contains results from both these approaches. We observe that both these approaches increase the robustness certificate; while the renormalization approach can only increase the robustness certificate (by design), the retraining approach can potentially decrease the robustness certificate for some inputs.\n\nRecall that the value of the robustness certificate is directly proportional to the margin $\\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})$, which is dependent on the probability $p_A$ of the top class $c_A$, and probability $p_B$ of the runner-up class $c_B$. Two important observations guide our analysis: (1) Note that $c_B$ can either belong to the same equivalence class as $c_A$ (denoted $c_A \\approx c_B$), or belong to a different equivalence class (denoted $c_A \\napprox c_B$), and (2) The probability estimates for each of the leaf classifiers (which predict only a subset of the labels), before renormalization, are the same as those in the baseline classifier (by construction). On reducing the label space, if $c_A \\approx c_B$, renormalization will further widen the margin, and increase the robustness certificate. If  $c_A \\napprox c_B$, then there must exist a runner-up candidate $c_{B'} \\approx c_A$. Its corresponding runner-up estimate $\\overline{p_{B'}} \\leq \\overline{p_B}$ (or it would have been the runner-up in the first place). Consequently, the margin $\\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_{B'}}) \\geq \\Phi^{-1}(\\underline{p_A})-\\Phi^{-1}(\\overline{p_B})$. \n\n\nIn the retraining scenario, however, we do not have knowledge about the {\\em ordering} of the probability estimates in the retrained classifier in comparison to the baseline classifier. It is possible that for a retrained classifier and for a given input, while the correct class' estimate remains $\\underline{p_A}$, the new runner-up's estimate $\\overline{p_{B'}}$ can be greater, lesser, or equal to the original (baseline) estimate $\\overline{p_B}$. Thus, the new robustness certificate can either be lower, greater, or the same as the baseline scenario. This problem is more fundamental; since robustness is a local property relying on the local Lipschitz constant and the structure of the decision spaces, partial or incomplete knowledge of any of these can result in spurious selection of the runner-up label. An added benefit of the renormalization approach is that it is computationally efficient; one needs to train one baseline classifier (independent of how the label space is partitioned) as opposed to several leaf classifiers (depending on the nature of the partition). \\textcolor{red}{maybe more stuff to be added from german paper + tommi paper}\n\n\n\n\n\\begin{figure}[ht]\n  \\centering\n  \\includegraphics[width=0.55\\linewidth]{figures\/speedlimits_plot.pdf}\n  \\caption{The percentage improvement of the robustness certificate for \\texttt{SpeedLimit} signs utilizing a 2 layer hierarchical classifier. These results are a significant improvement on those of Fig.~\\ref{fig:renormorretrain}}\n  \\label{fig:speedlimits}\n\\end{figure}\n\n\n\\subsubsection{Adding More Invariants}\n\\label{sec:morerobustfeatures}\n\nUsing location information, one is able to again partition the label space. For example, a highway can not have stop signs, or an intersection will not have a speed limit sign etc. To validate this hypothesis, we performed a small scale proof-of-concept experiment to further constrain the space of labels that is obtained by splitting on the shape feature (\\textit{i.e.}\\@\\xspace see if we can obtain a subset of the set of, say, circular labels). Using the location information from the KITTI dataset, and local map data from OpenStreetMap \\cite{OSM},\nfor particular locations, we can further constrain the space of circular road signs to just \\texttt{SpeedLimit} signs. From Fig.~\\ref{fig:speedlimits}, we observe that increasing the number of robust features (to 2 - shape {\\em and location}) increases the robustness certificate further. The ordering of robust features in the hierarchy (\\textit{e.g.,}\\@\\xspace shape followed by location vs. location followed by shape) to obtain the best increase in robustness is an open question, one which we wish to tackle in future work. \n\n\\subsection{Speaker Identification}\n\nConventional speaker identification systems utilize a siamese architecture; speech samples are first converted to discrete features~\\cite{}, and these are then converted to an embedding. The distance between an unknown embedding (which is to be labeled), and embeddings in a known support set are computed. The label of the known embedding in the support set which is at the least distance from the unknown embedding is returned as the label for the unknown sample. Observe that such an architecture is not conducive for computing certificates using randomized smoothing; the output returned by the network is a label, and there is no associated probability estimate for this prediction. Thus, we implement speaker identification using a conventional feed-forward architecture \\textcolor{red}{describe specifics}. For the remainder of this section, we assume that the inputs are discrete features obtained after processing the voice samples.\n\nAs before, we classify inputs based on the gender of the speaker\\textcolor{red}{nicolas wants to talk about the privacy implications of doing so.}. Since gender is binary, we utilize a robust SVM~\\cite{} for this task. Unlike the previous case study where the root is robust to perturbation as its inputs are robust, the robustness guarantees for this case study come from the design of the classifier. We chose to use a SVM because of the nature of the classification (binary) as well as insights from prior work which suggest that the male and female speakers are linearly separable in some higher dimension~\\cite{}. While we could utilize another modality to obtain speaker gender, we use a robust classifier to highlight the flexibility of our approach. As before, the leafs are trained using a smoothed classifier whose architecture is specified earlier. \n\n{\\bf Datasets:} For our experiments, we use the LibriSpeech ASR corpus~\\cite{}\n\n\\section{Research Methods}\n\n\n\\end{document}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nSoils are the second biggest carbon pool of the planet, containing about 1500\\,PgC \n\\citep{Batjes1996,Eswaran1993,POST1982}. As such, their behaviour as a greenhouse gas source and sink needs\nto be quantified, when facing climate change induced by increasing atmospheric greenhouse gases concentrations \n\\citep{Batjes1996,Lal2004}.\nQuantifying temporal changes of this pool requires estimating its spatial distribution at different dates\nand at various scales, with the national scale being of particular importance for international\nnegotiations. \nThe reliability of such estimates depends upon suitable data in terms of organic carbon content and soil bulk \ndensity and on the methods used to upscale point data to comprehensive spatial estimates. \nThese estimates may also be used for defining the baseline state for soil organic\ncarbon (SOC) change simulations \n\\citep{van_Wesemael2010}, or setting some of \nthe parameters for models of SOC dynamics \\citep{Tornquist2009}. \n\n\n\n\n\nInterestingly, there is quite a diversity regarding the nature of the models used for upscaling SOC point\nmeasurements to the national level. The validity of each method depends on the datasets and on the scale\n(defined by its grain or precision and extent, \\citealp{Turner1989}).\nThe mapping approaches range from \\mbox{simple} statistics or pedotransfer rules, relating SOC\ncontents or stocks to soil type \\citep{Yu2007} or soil type and land use\n\\citep{Tomlinson2006, 48}, to multivariate regression models (\\citealp[with\nmultiple linear models]{Meersmans2008} and \\citealp[with generalized linear\nmodels]{Yang2008} or \\citealp[with mixed models]{Suuster2012}). Recent studies have used techniques adapted from the data\nmining and machine learning literature, with piecewise linear tree models\n\\citep{Bui2009} or multiple regression trees for regional studies\n\\citep{Grimm2008, Lo_Seen2010, Suuster2012}. \nAmong the studies considering small extent (<50 km$^2$),\nmany have considered the use of geostatistics, some including SOC predictors $via$ cokriging (CK) or regression \nkriging (RK) \\citep{Mabit2010, Don2007, Rossi2009, Wang2009, Spielvogel2009}. \nAs the extent increases, the use of geostatistics becomes less common and \ndespite the spatial dimension of such studies, few geostatistical approaches for SOC mapping have been proposed\nfor use at the national scale (but see \\citealp{CHAPLOT2009, Kerry2012, Rawlins2009})\n\\\\\n\n\nSOC mapping for France has been performed, during the last decade, by using class specific SOC means \\citep{48}\nor regression models \\citep{bg-8-1053-2011, Meersmans2012}. The most recently proposed models are still \nnot able to fully satisfactorily predict SOC stocks or contents on independent\nlocations :\nR$^2$ reached 0.50 and 0.49 and root mean squared prediction errors (RMSPE)\n 2.27~kg\/m$^2$ and 1.45\\%, for \\citet{bg-8-1053-2011} on SOC stocks and for \\citet{Meersmans2012}\non SOC contents, respectively.\n\\citet{bg-8-1053-2011} obtained unbiased predictions (the bias was estimated to be -0.002~kg\/m$^2$\nby cross-validation), which might ensure unbiased mapping of the stock at\nthe national level. Nevertheless, these R$^2$ and RMSPE results showed that there\nis potentially room for improvement, especially if one is willing to use such models for regional\nassessments. Adding spatial autocorrelation terms in these models \nmight be a way to improve their performance.\n\nRecently, new approaches have been proposed for coupling regression models, relating\nenvironmental factors to the studied property,\nwith geostatistical models, representing the spatial autocorrelation among the\nobservations \\citep[see for example][]{Marchant2010}. Such \nmethods were also designed to handle local anomalies (\\emph{i.e.} outliers).\nNevertheless, these methods do not currently include some features that other statistical \nmodels, such as boosted regression trees (BRT) used by \\citet{bg-8-1053-2011},\nhave (\\emph{i.e.} handling nonlinear relationships between\nqualitative and quantitative predictors and the independent variable, nonlinear\ninteractions between the predictors, in an automated manner).\nBoth approaches share the robustness to the presence of outliers in the dataset. As they are tackling different problems,\nthe spatial autocorrelation for the geostatistical approaches, and the modelling of the complex interactions \nbetween SOC stocks and their drivers for the regression methods, both might be considered as complementary.\n\nThe aim of this paper is to combine these recent robust\ngeostatistical approaches with the BRT models currently applied to map SOC\nstocks at the national scale  for France. \nWe apply the methods to a dataset of 2166 paired observations of SOC and bulk\n densities from the French soil quality monitoring network (RMQS). We use this\n study to assess the modelling methods to determine i) how useful it is to\n combine BRT and geostatistical modelling, and ii) if any advantages are dependent\n on the number of ancillary variables included as predictors in the BRT models. \nThe aim is not specifically to study the relative importance of SOC stocks drivers for France\n\\citep[which has been done recently][]{bg-8-1053-2011, Meersmans2012}, nor to produce\na new map of SOC stocks in France.\n\n\n\\section{Materials and methods}\n\\subsection{Data}\\label{ssv}\n\nSoil Organic Carbon Stocks were computed for 2166 sites from the\nFrench soil quality monitoring network (RMQS) (Fig.~\\ref{mape}).\nThe network is based on a 16\\,km\\,$\\times$\\,16\\,km square grid.\nThe sampling sites are located at the center of each grid cell, except when \nsettling a homogeneous 20\\,m\\,$\\times$\\,20\\,m sampling area is not possible at this specific location\n (because of the soils being sealed or strongly disturbed by anthropogenic\nactivities, for instance). \nIn that case, another site is selected within 1\\,km from the\ncenter of the cell depending on soil availability for sampling \\citep[for more\ninformation, see][]{Arrouays2002}.\n Some of the 2166 sites of our dataset \nwere actually replicates of the regular cells sites : some cells had two sites\nlocated in them, one close to the center of the cell as described above, and another\n one located at another position within the cell. \n\n\n\\tc{At each site, 25 individual core samples were taken from the \n(0--30\\,cm) and the subsoil (30--50\\,cm) using a hand auger according to an unaligned sampling \ndesign within a 20\\,m\\,$\\times$\\,20\\,m area.\nIndividual samples were mixed to obtain a composite sample for each soil layer.\nIn addition to the composite sampling, a soil pit was dug 5\\,m from the south border\nof the 20\\,m\\,$\\times$\\,20\\,m area, from which 6 bulk density measurements were done, as described\npreviously \\citep{Martin2009}. }\n From these data, SOC stocks (kg\/m$^2$) were \ncomputed for the 0--30\\,cm soil layer~:\n\n\\begin{equation}\n\\mathit{\\rm SOC {\\rm stocks}}_{30\\;{\\rm cm}}=\\sum\n_{i=1}^{n}{p_{i}{\\rm BD}_{i}{\\rm SOC}_{i}(1-{rf}_{i})}\n\\end{equation}\nwhere $n$ is the number of soil horizon present in the 0--30\\,cm layer,\nBD$_i$, \\textit{rf}$_i$ and SOC$_i$ the bulk\ndensity, percentage of rock fragments (relative to the mass of soil) and the\nSOC concentration (percent) in these horizons, and $p$$_i$ the\nwidth of the horizons to take into account to reach the 30\\,cm. The horizons \nconsidered for such an analysis did not include the organic horizons (such as OH or OL).\n\n\nThe SOC stocks, the dependent variable, is the only variable which was observed at site level.\nAll other variables, the covariates (or ancillary variables) were depicted using available maps\ncovering the French territory. This allowed us to consider models for mapping SOC\ndistributions at the national scale, which relies on the exhaustiveness of\nthe ancillary information.\nThese ancillary maps were thus sampled at RMQS sites locations in order to estimate\nclimatic, pedological, land use and management related, and biological variables.\n\nThe map of pH was derived from two sources. For the forest soils, the forest soils surface pH map\n\\citep{pHMapForest2008} was used. For the other soils, the median pH per district from the national \nsoil testing database  was used \\citep[BDAT, ][]{Lemercier2006}.\nLand use was estimated from from Corine Land Cover 2006 database \nand further reclassed into an  adapted IPCC land use classification (various\ncrops, permanent grasslands, woodlands, orchards and shrubby perennial crops,\nwetlands, others  and vineyards) \\citep{UE-SOeS2006}.\nClay content was estimated from the 1:1 000 000 scale European\nSoil Geographical Database \\citep{King1995}. As each polygon (or soil unit) from the\n1:1~000~000 scale European Soil Geographical map is linked to possibly several soil types (hence clay levels),\nwe used in the models the clay levels of the 3 most important (in terms of surface) \nsoil types within each soil unit associated to each RMQS site, namely $clay1$, \n$clay2$ and $clay3$, ranked according to the percentage of their occurrence. Surface percentages \nof these soil types were also included as predictors within the models ($pc1$, $pc2$\nand $pc3$). For \ninstance, let us consider a given RMQS site $i$ belonging to soil unit $j$ of the soil map.\nThe soil unit $j$ may have two soil types associated to it ($st1$ and $st2$) with the \noccurring probabilities of 70\\% and 30\\% and clay levels of 45\\% and 35\\% . For this site $i$, the values of the \n$clay1$, $clay2$ and $clay3$ variables would be 45\\%, 35\\% and $NA$ (not available) respectively and\nfor $pc1$, $pc2$ and $pc3$, 70\\% and 30\\%  and $NA$ respectively.\nOrganic matter additions (\\emph{oma}), such as slurry and farmyard manure were estimated.\nWe used manure application and animal excrement production departmental statistics \\citep{ADEME2007}.\nThese statistics were combined with dry matter C concentration values,\n\\citep[37.7~\\% for farm yard manure and 36.6~\\% for slurry,]{Meersmans2012}.\n\nClimatic data were monthly precipitation (mm\\,month$^{-2}$), potential evapotranspiration (PET,\nmm\\,month$^{-2}$), and temperature ($^\\circ$C) at each node of a\n8\\,$\\times$\\,8\\,km$^2$ grid, averaged for the 1992--2004\nperiod. This climatic map was obtained by interpolating observational data\nusing the SAFRAN model \\citep{Quintana-Segui2008}. Again, for the \nmodelling study presented here, climatic variables were estimated at \neach RMQS site by performing a spatial join between the RMQS grid and the climatic map.\n\nAgro-pedo-climatic variables  were also derived from the\nprimary soil, climate and land use data estimated at each RMQS site: \nwe used the ($a$) temperature and ($b$) soil  moisture mineralization modifiers,\nas modelled in the RothC model \\citep{coleman1997, bg-8-1053-2011}. The $b$ variable \nwas calculated by combining, for each RMQS site, rainfall and PET data\nobtained from the climatic grid, with site observation of land use and clay\ncontent. Since three possible clay contents were estimated for each site,\nthe three corresponding estimates of the $b$ variables were also included, when relevant,\nin our BRT models.\nLastly, the Moderate Resolution Imaging Spectroradiometer Net Primary Productivity\n(MODIS NPP, gC\\,m$^2$\\,yr) was used to get NPP estimates\n at each of the RMQS sites, as in \\citep{bg-8-1053-2011}.\n\nThe GIS processing was carried out using the GRASS GIS (GRASS Development Team, 2012)\nand further mapping was carried out using Generic Mapping Tools software\n\\citep{Wessel1991}.\\\\\n\n\n \n\\begin{figure\n  \\includegraphics[width=80mm]{stocksC.pdf}\n  \\captionof{figure}{SOC stocks (0-30cm) values on the French monitoring network, which were used in the present study.\nAreas from 1 to 7 represent various different areas that are mentioned later in the text. 1:~south-west Brittany.\n2:~part of Basse Normandie. 3:~Alsace and part of Lorraine. 4:~part of French Alps. 5:~Massif Central. 6:~French\nPyrenean mountain range. 7:~ part of Aquitaine.}\n\\label{mape}\n\\end{figure}\n \n\n\n\\subsection{Statistical modelling}\n\\subsubsection{Boosted Regression Trees (BRT) modelling}\nBoosted regression trees belong to the Gradient Boosting Modelling (GBM) family.\nThe objective is to estimate the function $F$ that maps the values of a set of predictor\nvariables $x = \\{x1, .., xp\\}$ onto the values of the output variable $y$,\nby minimizing a specified loss function $L$. \nThis $L$ function is applied at each iteration in order to fit so-called \nbase learners.\nThe final prediction of the BRT model is a linear combination of each\nbase learner prediction. The constant weight associated with these base learner\npredictions is called the learning rate and is one of the important parameters\nof this boosting algorithm \\citep{Freund96experimentswith}. This \nkind of algorithm is also referred to as a forward ``stagewise'' procedure.\nThe base learners of BRT are classification and regression trees \\citep{Brei1984}. \nFurthermore, BRT uses a specialized form (for regression trees) of Stochastic Gradient\nBoosting \\citep{Friedman2001}.\nThe stochastic characteristic of the algorithm relies on the fact that only a subset \nof the dataset is used for fitting the base learner on a given iteration. The subset \nis produced in each iteration using a uniform random draw without replacement. \nBesides the learning rate, other parameters are important when applying this\nkind of model. Two of them determines the characteristics of each base learner :\nthe tree size (which gives the size of individual regression trees) and the minimum number of observations in the\nterminal leaves of the trees. Several options are available for deciding\nwhen to stop adding base leaners to the model. One of them, \nbased on an internal cross-validation, was shown to be the most efficient one\n\\citep{Ridgeway2006} for avoiding overfitting and was used for the present study.\nBRT was shown to have improved accuracy compared with simple regression trees,\nthanks to its stochastic gradient boosting procedure aimed at minimizing the risk of overfitting\n and improving its predictive power \\citep{Lawrence2004}. It can handle non-linear\ninteractions among predictors and the dependent variable, quantitative and qualitative\npredictors and missing data.\nLastly, several tools are available for interpreting the behavior and characteristic\nof the resulting BRT models, such as  the variable importance index\n for assessing the contribution of the predictors and the partial dependence plots\nfor assessing the relationships between predictors and the predicted variable  \\citep{bg-8-1053-2011}.\n\nA thorough description of\nthe method is given in \\citet{Friedman2001} and a practical guide for using\nit in \\citet{Elith2008}.\nThe BRT models were fitted and used for prediction using the ``gbm'' R  \\citep{RCore}\npackage \\citep{Ridgeway2006}\n\n\n\\subsubsection{Three BRT Models for SOC stocks}\\label{mods}\nThree models for predicting SOC stocks in the 0--30\\,cm layer were tested. The models,\nwhich we refer to as the LU, L and F models, have increasing levels of complexity\n (see below for their full description of these models). These three models\nwere chosen as they represent cases where either very little or a lot of information \non ancillary variables is known on sites where SOC stocks are to be predicted.\nAdditionally, the first model (LU), with two covariates (landuse and clay\ncontent) commonly\nused for predicting SOC within the geostatistical framework. The second one (L, see\nbelow the full description) is indeed the $Extra$ model presented in \\cite{bg-8-1053-2011}. The use of the most complex model (F) enabled us to \ninclude all the ancillary data available for France at the national level at the time of\nthe present study.\n\nThe predictors used for each model were:\n\\begin{itemize}\n\\item \\emph{LU}: \\textit{lu\\_ipcc} (land use classification adapted from the IPCC\nguidelines, 2006), $clay1$.\n\\item \\emph{L}:\n\\textit{lu\\_ipcc}, $clay1$, $clay2$ and $clay3$, $pc1$, $pc2$\nand $pc3$, the clay and corresponding probability of occurrences at each RMQS site,\n(\\textit{pet}, mm\\,month$^{-2}$), monthly precipitation (\\textit{rain}, mm\\,month$^{-2}$), temperature\n(\\textit{temp}, $^\\circ$C), the two RothC mineralization\nmodifiers, \\textit{a} and $b1$, $b2$ and $b3$ and the net primary productivity \\textit{npp}\n(gC\\,m\\textsuperscript{$-$2}\\,yr\\textsuperscript{$-$1}).\n\\item \\emph{F}: same predictors as the model L with the addition of \\textit{pH},  \\textit{oma} (\\emph{i.e.} \norganic matter addition, slurry and farmyard manure) and \\textit{pm}, the parent material.\n\\end{itemize}\n\nThe ``gbm'' R package requires the specification of several important parameters : \nthe tree size, the learning rate, the minimum number\nof observations in the terminal leaves of the trees and the bag fraction.\nFor our three models, the values for these parameters were set to $(12, 0.01, 3, 0.7)$. These values were \nchosen according to recommendations found in the literature \\citep{Elith2008, Ridgeway2006}.\n\n\n\\subsubsection{Geostatistical models}\\label{geost}\nWe further investigated whether a robust geostatistical method, similar to the one presented by \\cite{saby2011}, \ncould be used to represent errors and improve predictions from each of the BRT models.\nIn their work, Saby et al (2011) divided the spatial variation of a soil property into\n fixed and random effects. The fixed effects were a different constant mean soil property\nfor each of 12 parent material classes and the random effects described the spatially\ncorrelated residual soil property variation. In the present work, \neach of the three BRT models was used alone as presented in the previous section and\nas a fixed effect within a robust geostatistical method. This combination of\na BRT and geostatistical model can be summarised as:\n\n\\begin{equation}\n\\label{eq1}\n\\mathbf{Z}=H(\\mathbf{X})+\\mathbf{u} \n\\end{equation}\n\nwhere $\\mathbf{Z}=ln(\\mathbf{Y})$ with $\\mathbf{Y}$ being a length n vector of observations of the SOC stocks,\n $\\mathbf{X}$ the matrix (n~x~q) containing values of the covariates (or predictors) at each\nobservation site and the $H$ function representing the boosted regression tree model\n(fitted to the log-transformed data). \\\nWe note that the log-transform was necessary for the geostatistical approach due to\nskewness of the observed SOC stocks distribution.\nThus the vector $\\mathbf{u}$ of length n contains the residuals of the BRT model predictions of\nthe log-transformed data, compared to the log transformed response variable.\nIn the conventional geostatistical approach, these residuals are assumed to be a realization\nof a second order stationary random process \\citep{Webster2007}.\nWe applied a robust geostatistical approach, in which the spatial correlation of residuals was modelled using\na Mat\\`{e}rn equation based on the Dowd robust estimator of the experimental variogram \\citep{Dowd1984}.\n\tMoreover, outlying observations were identified  and Winsorized using the algorithm\n proposed by \\cite{Hawkins1984}. \nWinsorizing is a method by which extreme values in the statistical data are limited\n to reduce the effect of possibly spurious outliers.\nNote that Winsorizing is not equivalent to simply excluding data. \nRather,  in a Winsorized procedure, the extreme values are replaced by a certain \nvalue predicted by a statistical model. \nThis algorithm provided for each observed residual $u_i$ an interval $[U_i^-, U_i^+]$.\n$u_i$ is then\nidentified as being an outlier when $u_i \\notin [U_i^-, U_i^+]$ and its value is replaced\nby the closest limit of the interval. As in \\cite{Lacarce2012}, \nobservations were confirmed as being outliers, and transformed, conditionally on a measurement\nerror of SOC stocks of $\\epsilon Y$, with $\\epsilon=0.112$, recently estimated  for the RMQS\ndataset (unpublished data) \n\n\n\\begin{equation}\n\\label{eqWin}\n u^*_i =\n  \\begin{cases}\n   u_i^- & \\text{if } ln(Y_i(1+\\epsilon)) - H(\\mathbf{X}_i) < U_i^- \\\\\n   u_i^+ & \\text{if } ln(Y_i(1-\\epsilon)) - H(\\mathbf{X}_i) > U_i^+ \\\\\n   u_i & otherwise \n  \\end{cases}\n\\end{equation}\n\nwhere ui* represents the resulting Winsorized data. \nOne should note that the geostatistical modelling is performed on the log scale, but\nthe measurement error is valid on the original scale, hence the terms \non the left-hand side of the\ninequalities in equation \\ref{eqWin}. These inequalities mean that the observed\nresiduals may exceed the $[U_i^-, U_i^+]$ interval limits, but not by more than the possible\nmeasurement error on the observed values. If they do, they are Winsorized to $U_i^-$\nor $U_i^+$ depending on the case. \nThe $U_i^-$ and $U_i^+$ values are defined so that the validity of the spatial term\n$\\mathbf{u}$ in equation \\ref{eq1}\nis verified, which, without Winsorizing, was rarely the case in previous\nstudies \\citep{Marchant2010, Lacarce2012}. This check is performed using a\nleave-one-out cross validation (LOOCV). \nWhen the covariance model is a valid representation of the spatial variation of the property (in our case the\nresiduals), the distribution of the squared standardized prediction errors (noted $\\theta$) derived\nfrom the cross validation will be a $\\chi^{2}$ with mean $\\overline{\\theta}=1$ and median\n$\\breve{\\theta}=0.455$ \\citep{Marchant2010} for which confidence intervals may be\ndetermined. This LOOCV procedure aims solely at checking the validity \nof the geostatistical model and should not be mistaken with the global validation\nframework presented in the next section, aimed at estimating the predictive\nperformance of the models (BRT models and their spatial counterparts)\n\n\nAs a result the variation of the soil property is decomposed in a threefold\nmodel described by \\citet{Marchant2010}: 1) variation modelled by the BRT models, 2) spatially correlated\nvariation represented by the random effect of the residuals of the BRT models and estimated by variograms\nusing Dowd's estimator to which Mat\\`{e}rn equations were fitted,\n3) variation due to circumscribed anomalies.\nOnce the BRT and geostatistical models were fitted, the property was predicted at each unsampled \n(\\textit{i.e} not used for fitting the models) location of the dataset by lognormal\nordinary kriging.\nThis method consists of predicting the residual for the log-transformed variable by ordinary kriging based on \nWinsorized data $\\mathbf{u}^*$ (equation \\ref{eqWin}),\nand back-transforming the predicted value to the original SOC stocks scale through:\n\\begin{equation}\n\\label{eqlok}\n\\hat{Y}(\\boldsymbol{x}_i)=exp(H(\\mathbf{X}_i)+ \\hat{u}_i + var[\\hat{u}_i]\/2 - \\psi(\\boldsymbol{x}_i))\n\\end{equation}\n\nwhere $\\hat{u}_i$ is the ordinary kriging prediction of u at a given prediction location $\\boldsymbol{x}_i$,\n$var[\\hat{u}_i]$ is the associated kriging variance and $\\psi$ the Lagrange multiplier;\nboth  the kriging variance and Lagrange multiplier are needed to yield unbiased estimates in case of lognormal\nordinary kriging \\citep{Webster2007}.\n\n\n\n\\subsubsection{Validation procedure}\nWe thus considered six models: three models without a spatial term (the LU, L and F BRT models) and \nwhat is hereafter referred to as their spatial counterparts\n(the LU$_g$, L$_g$ and F$_g$ models), i.e. the same three models with an additional spatial term (Eq. \\ref{eq1}). \nThese six models were\nvalidated using cross-validation.\nThis validation procedure involves validation against independent data and enables\nestimation the predictive power \nof the proposed models.\n\nComparison between observed and predicted values of\nSOC stocks was carried out on the original scale using several complementary\nindices, as is\ncommonly suggested \\citep{31}: the mean\nprediction error (MPE, kg\/m$2$), the root mean square prediction\nerror (RMSPE, kg\/m$2$) and the\ncoefficient of determination ($R^{2}$) measuring\nthe strength of the linear relationship between predicted and observed\nvalues. Additionally, the ratio of performance to inter-quartile distance,\nRPIQ \\tc{\\citep{Bellon-Maurel2010}} was estimated as \n\\begin{equation}\n\\label{eq2}\nRPIQ = \\frac{IQ_y}{RMSPE}\n\\end{equation}\nwhere IQ$_y$ is the inter-quartile distance, calculated on observed SOC values from\nthe whole dataset. RPIQ index accounts much better for the spread of the population\nthan indexes such as RPD \\citep{Bellon-Maurel2010} and was used for comparing the prediction accuracy between the six different models. \nMedian prediction error and root of median of squared prediction errors \nwere also calculated (hereafter named MedPE and RMedSPE respectively). \nThese additions to MPE and RMSPE respectively, provide a more complete picture of the\nerrors in case of a skewed error distribution.\\\\\n\nThe validation procedure was done using a Monte Carlo \n10-fold cross-validation \\citep{XU2001}, enabling us to perform what will be referred to in\nthe following as external validation. It was preferred to simple data-splitting\nbecause the estimate of a model's performance then does not rely on the choice \nof a single sub-sample. We preferred a k-fold procedure \ninstead of a leave-one-out cross-validation as leave-one-out cross-validation results \nin a high variance of the estimate of the prediction error \\citep{hastie2001}. Each step of the \ncross-validation procedure can be summarized as shown in algorithm \\ref{alg1} and \nwas repeated 200 times for each model.\n\n\n\n\n\\begin{algorithm}\n\\caption{cross-validation repetition:}\n\\label{alg1}\n\\algsetup{indent=2em}\n\\begin{algorithmic}[1]\n\\STATE Split the dataset into Learning $(\\mathbf{X}, \\mathbf{Y})_{L}$ and Validation $(\\mathbf{X}, \\mathbf{Y})_{V}\n\\STATE Compute $\\mathbf{Z}_L = ln(\\mathbf{Y}_L)$\n\\STATE Fit the $H$ BRT model and estimate $\\hat{\\mathbf{Z}}_{L}=H(\\mathbf{X}_L)$\n\\STATE Fit a variogram on $\\mathbf{u}_{L}=\\mathbf{Z}_L - \\hat{\\mathbf{Z}}_L$\n\\IF {$\\overline{\\theta}$ and $\\breve{\\theta}$ are not valid} \n  \\STATE Winsorize the dataset until valid $\\overline{\\theta}$ and $\\breve{\\theta}$ are obtained\n\\ENDIF\n\\STATE Estimate $\\hat{\\mathbf{u}}_{V}$ by ordinary kriging at $\\mathbf{Z}_V$ locations using the fitted variogram and\nthe Winsorized residuals $\\mathbf{u}^*_{L}$\n\\STATE Calculate the lognormal kriging estimate, $\\hat{\\mathbf{Y}}^{g}_{V}$ using equ.\\ref{eqlok}\n\\STATE Calculate $\\hat{\\mathbf{Y}}_{V}=\\exp(H(\\mathbf{X}_V))$\n\\STATE Compute PERF on $(\\mathbf{Y}_{V}, \\hat{\\mathbf{Y}}_{V})$\n\\STATE Compute PERF on $(\\mathbf{Y}_{V}, \\hat{\\mathbf{Y}}^{g}_{V})$\n\\end{algorithmic}\n\\end{algorithm}\n\nSteps 4 to 9 are performed as detailed in section \\ref{geost}. More specifically, the spatial component\nof the spatial models is validated at step 6 as presented in \nsection \\ref{geost} in order to make sure that these were valid representations of \nthe residuals of the BRT models. \nThis check was performed for each geostatistical model fitted during each repetition of the\ncross-validation procedure.\n\n\n$\\hat{\\mathbf{Y}}$ represents the prediction provided by one given BRT\n model and $\\hat{\\mathbf{Y}}^{g}$ \nthe prediction provided by its spatial counterpart model (the BRT and the \ngeostatistical model).\n$PERF$ indicates the computation of the performance metrics (R$^2$, RMSPE, RPIQ, MPE,\n MedPE, RMedSPE).\nWe should note that the last step of the algorithm represents a true external validation of the spatial\nmodel because the model fitting  is performed while masking the observations $Y_{V}$ used for\nvalidation, both during the variogram fitting (step 4) and the kriging procedure\n(step 8). \nA similar procedure has recently been used and advocated by \\citet{Goov2010}, \nusing leave-one-out cross-validation.\nIt should be distinguished from other approaches where cross-validation embeds only\nthe kriging, and not the fitting of variograms parameters (\\textit{e.g.} \n\\citealp{Wu2009, Mabit2010, Xie2011}). In these cases, observations used \nfor validation have already been used for fitting the variogram and the resulting model is not independent\nfrom these observations.\nWe tested for differences between the performances of the six models in terms of each performance metric.\n The distributions of a performance metric were compared  using a  t-test with a Bonferroni\nadjustment. In the following, we use the terms MPE, RPIQ, RMSPE, R$^2$, MedPE and RMedSPE names\nto refer to their mean value over the 200 repetitions of the cross-validation.\nThe algorithm procedure was programmed with R software using functionalities of geoR and sp packages \n\\citep{Ribeiro2001, Bivand2008}. \\\\\n\n\n\\begin{figure\n\\begin{center}\n\\includegraphics[width=85mm]{gbmGeostats3RevisForOAccess-Variogrames}\n\\end{center}\n\\caption{Dowd variograms of the residuals of the LU, L and F models to estimate random effects\nof the LU$_g$, L$_g$ and F$_g$ models. Residuals where calculated as the difference between \nthe log transformed response variable and the BRT model predictions. The variograms\nwere obtained by fitting the Mat\\`ern models on the full dataset.}\n\\label{variograms}\n\\end{figure}\n\n\n\\section{Results}\n\\subsection{Variogram fitting on BRT residuals}\nThe degree of spatial correlation of residuals from BRT models depended on the\ncomplexity of BRT models  (Fig.\\ref{variograms})~:\nthe residuals resulting from the LU$_g$ model were spatially structured with a spatial dependence (defined as \npartial sill\/(nugget + partial sill), \\citealp{Lark2004})\nof 0.34. \nContrary to the residuals of the LU$_g$ model, the residuals of the more complex BRT models exhibited \nvery limited spatial structure (Fig.\\ref{variograms}). \nFor the F$_g$ model, the residuals had a spatial dependence of \n0.057\nand for the L$_g$ model of \n0.1.\nFig.\\ref{variograms} indicated that from the simplest model (LU$_g$) to the most complex one (F$_g$),\nthe part of the spatial variability not accounted for by the deterministic spatial trend decreased.\n\nFor the three models, Winsorizing was needed in order to produce valid models regarding the assumption\non the modelled variable. The $\\overline{\\theta}_w$ and $\\breve{\\theta}_w$ values obtained \nafter Winsorizing belonged to the confidence interval estimated for\neach model. The percentage of outliers ranged from 1.9\\% to\n2.8\\%. \nThese sites present extremely low or high SOC stocks that cannot be modelled by the spatial term and the BRT\nmodels only.  \nThe number of such locations was halved between the LUg and the Fg models (Table \\ref{varioFit})\nas this latter model, the most complex one, was more able to model these extreme values.\nFor this model, outliers appeared to be evenly distributed over the studied area (Fig.\\ref{residMaps}h).\n\n\n\\subsection{Cross-validation analysis \\& performance of the proposed models}\nCross-validation yielded valid spatial models for 100\\% of the cross-validation repetitions.\nFig. \\ref{CVPlot} shows that the F and L models and their spatial counterparts performed \nglobally similarly to other and differently\nfrom the LU and LU$_g$ model. Average prediction performance of the models, expressed by the RPIQ index,\nranged for our six models between 1.27 and 1.42.\nIncreasing the complexity of BRT models resulted in improving the prediction performance and \nthe best R$^2$ value was obtained for the F$_g$ model with a value of 0.36.\n \\\\\n\n\n\n\n\nPredictions with the LU$_g$ model exhibited, on average, limited bias (Fig.\\ref{CVPlot}c). \nImportant differences appeared when comparing mean prediction errors or mean root squared\nerrors to median prediction errors or median squared errors (Fig. \\ref{CVPlot}c-f).\t\nThis indicated a skewed distribution of errors. When assessed by the median of the \nerror distribution (Fig. \\ref{CVPlot}e), the geostatistical predictions are\nshown to have a positive median-bias, whereas the standalone BRT predictions have\nmedian-bias close to zero.\nSimilarly, the skewness of the distribution resulted in considerably larger root mean\nsquared errors (Fig. \\ref{CVPlot}d),\nwith a lowest value of 2.83~kg\/m$^2$ compared to root median squared errors\n(Fig. \\ref{CVPlot}f) with a lowest value of 1.43~kg\/m$^2$.\\\\\n\n\\subsection{Performance comparisons of BRT models with or without spatial component}\nFor our French dataset, adding a spatial term to the models resulted in improvements in\nterms of R2, RPIQ and the mean measures of prediction, RMSPE and MPE. These improvements\nwere not significant for the L\/L$_g$ and F\/F$_g$ model comparisons, for the  R2,\nRPIQ and RMSPE.\nHowever, in terms of the median measures, RMedSPE and MedPE, the standalone BRT predictions\ngenerally gave the better results.\n\n\n\\begin{table*} \n\\caption{Fitted variogram parameters in transformed units and cross-validation statistics.\n Mat\\`{e}rn parameters: $C_0$ is the nugget variance, $C_1$ is the partial sill variance,  $\\varphi$ is a spatial\n parameter expressed in km and $\\kappa$ is a smoothness parameter.\n$\\overline{\\theta}$ and $\\breve{\\theta}$ are the validation statistics before Winsorizing and \n$\\overline{\\theta}_w$ and $\\breve{\\theta}_w$ after Winsorizing (for the three models within the 95\\% confidence interval). \n$N$ is the number of plots Winsorized and $c$ is the Winsorizing constant.}\n\\begin{tabular}{lcccccccccc}\n  \\hline\n & $C_{0}$ & $C_{1}$ & $\\varphi$ & $\\kappa$ & $\\overline{\\theta}$ & $\\breve{\\theta}$ & N & c & $\\overline{\\theta}_w$ & $\\breve{\\theta}_w$ \\\\ \n  \\hline\nLU$_g$ & 0.112 & 0.059 & 95.99 & 0.40 & 1.18 & 0.46 & 61 & 2.18 & 1.000 & 0.445 \\\\ \n  L$_g$ & 0.086 & 0.010 & 11.99 & 10.00 & 1.15 & 0.46 & 46 & 2.28 & 1.000 & 0.452 \\\\ \n  F$_g$ & 0.082 & 0.005 & 16.18 & 10.00 & 1.12 & 0.44 & 42 & 2.31 & 1.000 & 0.433 \\\\ \n   \\hline\n\\end{tabular\n\\label{varioFit}\n\\end{table*}\n\n\n\n\n\\begin{figure}\n\\includegraphics[width=95mm]{gbmGeostats3RevisForOAccess-R2RMSPERPIQMPE}\n\\caption{\nPerformance of the six different models assessed using the 6 performance indices.\nOn each diagram, the values on the x-axis correspond to the aspatial models\n(BRT only): the LU, L and F models. Values on the y-axis correspond to the LU, L and F \nmodels plus a spatial term, \\emph{i.e.} the LU$_g$, L$_g$ and F$_g$ models. Horizontal and\nvertical bars represent the 95\\% confidence intervals around mean values\nover the cross validation repetitions, for the BRT models only and the BRT \nwith a spatial term models, respectively. \nThe dotted lines correspond to the $y=x$ function and for the c and e diagrams the $y=0$ and \nthe $x=0$ lines were added.}\n\\label{CVPlot}\n\\end{figure}\n\n \n\n\n\n\\begin{figure*}\n\\begin{center}\n\\includegraphics{cvResiduals_globe_gray87.pdf}%\n\\caption{Average prediction error (predicted minus observed values) on each RMQS site over cross-validation repetitions where it was considered as independent data, with the LU, LU$_g$, L, L$_g$, F and F$_g$ models on maps a, b, d, e, g and h respectively. Positive values indicate a positive bias and \\textit{vice versa}. Improvements from LU to LU$_g$, L to L$_g$ and F to F$_g$ models are given on maps c, f, and i respectively. For instance, map c gives the absolute error of the LU model minus the absolute error of the LU$_g$ model. Positive values indicate that adding a spatial component improved predictions at this location. Size of the dots is an increasing function of absolute errors (or absolute improvement for maps c, f and i). Crosses are outliers of spatial models fitted on the whole dataset.\n}\n\\label{residMaps}\n\\end{center}\n\\end{figure*}\n\n\nThe improvement resulting from the addition of the spatial component was a\ndecreasing function of the complexity of the BRT model. \nThis is shown clearly on Fig.\\ref{CVPlot}a, b, d and f.\nThe R$^2$ for the LU model was improved from 0.17 to 0.28\nwhen adding a spatial term. The map of errors (Fig.\\ref{residMaps}a)\nreveals regions where the LU model exhibited a strong negative bias,\nsuch as south west Brittany (area 1; for reference of area numbers, see Fig. \\ref{mape}),\nand mountainous areas such as the Massif Central (area 5), Alps (area 4), and Vosges\non the eastern part of the French territory (area 3). In other regions, it exhibited a\npositive bias, such as some of the parts of the south-west of France. \nThe map of improvement between the LU and LU$_g$ models\n(map of differences,  for each RMQS site, between the absolute errors of prediction with one BRT model and\nthe absolute error with its spatial counterpart, Fig.\\ref{residMaps}c for the LU\/LU$_g$ models)\nshows areas with a dramatic improvement of predictions, and more specifically where the BRT predictions were\nstrongly biased.\nIt should be noted that the strongly biased predictions almost disappeared with the most complex model (model F, Fig.\\ref{CVPlot}g).\nSome under-estimations remained, although much smaller than  for the LU model, in western coastal areas.\n\nMeasured using the R$^2$ index, the improvement yielded by adding a spatial component to the F model\nwas not significant, with R$^2$ values going from 0.35 to 0.36.\nNoticeably, the root of the median squared prediction errors exhibited a limited \nbut significant degradation (from 1.35 to 1.43 for the F and the F$_g$ models, respectively).\nThe spatial distribution of improvements (Fig.\\ref{residMaps}i) for this model\nwas clear for the south west Britanny region.\nIn many other areas the improvement was even more limited with some sites \nwhere prediction was improved and others where prediction was degraded (Fig.\\ref{residMaps}i).\nThese were areas with high absolute errors (\\emph{e.g.} the Massif Central Fig.\\ref{residMaps}g).\nInterestingly, there was no significant difference in the performance of the for F$_g$ and L$_g$\nmodels. This result indicated that adding a spatial component to the intermediate BRT model yielded\nsimilar results to adding a spatial component to the most complex model. \n\n\\begin{table}[ht]\n\\centering\n\\begin{tabular}{rrrrrrr}\n  \\hline\n & LU & LUg & L & Lg & F & Fg \\\\ \n  \\hline\nRPIQ & 1.27 & 1.38 & 1.42 & 1.46 & 1.42 & 1.45 \\\\ \n  R2 & 0.17 & 0.28 & 0.33 & 0.35 & 0.34 & 0.35 \\\\ \n  RMSPE & 3.25 & 2.97 & 2.90 & 2.81 & 2.89 & 2.83 \\\\ \n  RMedSPE & 1.61 & 1.59 & 1.40 & 1.45 & 1.35 & 1.43 \\\\ \n  MPE & -0.60 & -0.02 & -0.49 & -0.16 & -0.48 & -0.19 \\\\ \n  MedPE & 0.09 & 0.51 & 0.06 & 0.36 & 0.07 & 0.34 \\\\ \n   \\hline\n\\end{tabular}\n\\caption{Performance of the six different models assessed using the 6 performance indices.\nValues given are the mean index values over the  200  repetitions of the\ncross-validation procedure. All values but for the R$^2$ and RPIQ indices are given in kg\/m$^2$.} \n\\label{perfIndexes}\n\\end{table\n\n\n\n\n\n\\section{Discussion}\n\\subsection{Spatial dependence of SOC stocks}\n\n\n\n\nThe spatial dependence of the BRT residuals decreased as the complexity of the BRT models was increased. \nThe variogram parameters provide some information about SOC controlling factors not included in the BRT\n model. For instance, when land use and clay content is included (in the LU model), the correlation range of model\n residuals lies between 300 and 400 km (Fig.\\ref{variograms}). This gives an indication of the\n correlation range of the most important SOC controlling factors missing from the LU model. \nHence, when attempting to improve the LU model of SOC stocks spatial dependence, one should\n look for controlling factors whose correlation range is less than 300 to 400 km.\nThe L model included other controlling factors, such as clay content, which decreased\nboth the total variance of residuals and their correlation range,\nto around 100 to 200~km. Lastly, the F model handled \nmost of the spatial dependence by including three more drivers, the pH, the parent material and the regional \nstatistics regarding organic matter additions. \nHowever, the high nugget in the variograms from the residuals of each BRT model,\nincluding the F model, indicated\nthat other controlling factors greatly influence SOC spatial distributions at ranges below the resolution\nof our dataset, \\textit{i.e.} 16~km. This is consistent with the results of many other studies.\nFor instance, in \\citet{Ungar2010}, the residuals of a model of SOC (\\%) taking into account administrative zonation\nand soil functional types were analysed by variography. They also found that most of the\nspatially structured variance\nwas accounted for by a short range component (in their case 1500-2000~m). \nAnother possible explanation for the high\nnugget could be that the uncertainty attached to most of the covariates (drivers)\nmaps is high, especially for the covariates derived from the 1:1000~000 soil map.\n\\subsection{Assessing the performance of one single model}\nIt is difficult to draw conclusions regarding the performance of the present models compared to those of other studies dealing with SOC prediction and mapping. \nSome deal with SOC contents when other deal with SOC densities or stocks. When\nworking on SOC stocks, the bulk densities are required, and if these are estimated\n(rather than measured), then the methodology\nfor estimating bulk density might have great consequences  \\citep{Liebens2003}. Many studies use pedotransfer\nfunctions (PTFs) for estimating bulk density without accounting for the associated errors \\citep{Schrumpf2011}.\n\\citet{Ungar2010} estimated through a Monte Carlo approach\nthat uncertainty resulting from their PTF ranged between 0.55 and 7.72~T ha$^{-2}$ \ndepending on the SOC content. \\cite{Schrumpf2011} showed that the use of PTFs for\nestimating bulk densities can lead to wrong or biased estimates of SOC stocks. \nHowever it is currently not entirely clear to what extent measuring bulk densities is worth, considering the cost. \nThis cost could alternatively be used to collect further SOC concentration data and thus improve calibration \nand validation datasets. \nComparison between the studies is also made more complex by the differences between\nvalidation procedures (validation with an independent dataset, k-fold cross-validation, leave-one-out\ncross-validation). Furthermore, as quoted by \\citet{Minasny2013} and\n\\citet{Grunwald2009}, it is quite common that validation of SOC model predictions is missing entirely from a\nstudy. \nThe best models presented in our study (the F and F$_g$ models, see Fig.\\ref{CVPlot})\nperformed comparably to\nthose of \\citet{Lo_Seen2010}, fitted on soil data from the Western Ghats biodiversity hotspot (India). The models yielded,\nusing a cross-validation scheme similar to the one applied here, RMSPE of 2.6~kg~m$^{-2}$ and R$^2$ of 0.45, to be \ncompared to the RMSPE of 2.83~kg~m$^{-2}$ and R$^2$ of 0.36 obtained here for the F$_g$ model, along\nwith a MPE value of -0.19 kg~m$^{-2}$. Considering\nnational SOC prediction, \\citet{Phachomphon2010} produced 0-100~cm estimates using\ninverse distance weighting with 12 neighbours and ordinary cokriging, \nyielding MPEs of -0.2 and -0.1~kg~m$^{-2}$   and a RMSPE of 2.2 and 2.1~kg~m$^{-2}$,\nrespectively.\n\\citet{Mishra2009} produced estimates, for the Indiana state (USA) with a MPE  of -0.59~kg~m$^{-2}$\nand RMSPE of 2.89~kg~m$^{-2}$. This study involved the fitting of SOC depth distributions, as \nrecently proposed by \\citet{Kempen2011}. This last study, is among the most successful, with a \nrigorous validation scheme and an moderate extent (125~km$^2$), giving an R$^2$ of 0.75 for prediction\non independent locations. Other studies on areas of the same order of\nmagnitude as the area of the French territory ($i.e.$ >50~000~km$^2$) are referenced in the comprehensive\nreview of \\citet{Minasny2013}. The R$^2$ values of our models\nare towards the lower end of R$^2$ values in studies mentioned in this review. Their\nperformance is also remarkably lower compared to similar models\npresented in \\citet{bg-8-1053-2011} and \\citet{Meersmans2012}. \nThis drop in model performance is likely a result of the\nuncertainty of the clay content estimated from the 1:1000~000 soil map (as compared to \nthe measured clay contents used in the previous studies). This is indicated by the\nimportance (quantified using the BRT variable importance index) of clay related\nvariables in the L and F models of the present study. These variables ranked  at best\n 7$^{th}$ and 7$^{th}$\nin the L and F models, respectively. This is to be compared to the first rank\nobtained by the $clay$ variable in the $Extra$ model presented in\n\\citet{bg-8-1053-2011}, fitted and validated with measured clay contents.\nThus, for the two previous studies for the French territory,\nthe model performance for mapping might have been\noverestimated because some variables used for validation were observed at site level.\nIn the present study, models are validated using data\nestimated from ancillary maps, providing a more realistic assessment of model\nperformance for mapping. Such small differences in the model validation schemes\nare difficult to trace and might further complicate comparison between different\nstudies.\n\n\n\\subsection{Distribution of predictions errors}\nAnother issue worth commenting on here is the distribution of SOC stocks\npredictions errors.\nBRT modelling of log transformed SOC stocks gave residuals that were close to normal, with outliers.\nThese residuals were modelled using a robust geostatistical approach, and a back transformation \nproposed for log-normal ordinary kriging was applied.\nThe final predictions exhibited a limited bias (MPE=-0.19~kg~m$^{-2}$ for the F$_g$\nmodel, Table \\ref{perfIndexes}), a problem that can arise in lognormal kriging due to the sensitivity of the back-transform\n to the variogram parameters and to the assumption of a lognormal distribution \\citep{Webster2007}. \nAlthough we currently have no ready solution for providing unbiased predictions,\nespecially for the L$_g$ and F$_g$ models, we note that the MPE is small in comparison \nto the RMSPE (less than 5 \\% of the RMSPE), which compares favourably with results of other studies reported above.\nWithout the spatial component, the BRT predictions (back-transformed with a simple exponential,\nsee Algorithm 1), showed negative mean-bias (i.e. under-prediction on average).\nThis is logical because the BRT method ensures unbiased\npredictions on its predicted variable, here the log transformed SOC stocks; therefore, \nback-transformation of the BRT predictions through the exponential function results \nin a negative mean-bias for SOC stocks on the original scale.\n\nFurther insight is provided by examining the behaviour of other performance\nindices, such as the median prediction error or the median squared prediction\nerror.\nThe lognormal kriging back-transformation aims to provide mean-unbiased predictions on the original\n scale, hence the reasonably small MPE. However, with a skewed distribution of errors, the predictions\n cannot also be made to be median-unbiased, hence the MedPE of the geostatistical predictions\n is positive. Without the geostatistical component, the back-transform of the BRT predictions\n (through the exponential function) preserves the median-unbiased property, giving low values\n of MedPE, but introduces mean-bias. Comparisons between the results of our BRT predictions\n and their spatial counterparts should be made with this in mind; the differences could be at\n least partly due to the different objectives of the back-transformed predictors. \nSince SOC distributions are most commonly \nas log-normal, prediction error distributions are also skewed, and perhaps these\nfurther measures (MedPE and RMedPE, which are robust\nto extreme prediction errors at a small number of locations) can add useful information about model performance.\n\n\nWe note here that the BRT approach could be applied to model the SOC stocks directly, without\n the need for any transformation (as shown by \\citealp{bg-8-1053-2011}). We would expect the resulting\n predictions to have low MPE, but a positive MedPE (a similar pattern to the results of the\n geostatistical approach). We tested this direct BRT modelling approach with the F BRT model;\n mean prediction errors were improved from -0.48 to 0.01~kg~m$^{-2}$,\n whilst median prediction errors were\n increased from 0.07 to 0.45~kg~m$^{-2}$.\n In terms of squared errors, the RMSPE improved slightly from\n 2.89 to 2.82~kg~m$^{-2}$, \nwhilst the RMedSPE increased from 1.35 to 1.5~kg~m$^{-2}$.\nIn this work, we applied BRT\n modelling to the log-transformed data so that residuals would be approximately normal, thus\n allowing the robust geostatistical approach to be applied. However, if all that was required\n was predictions of the SOC stock through a BRT approach, then it may be better to model the \nraw SOC stock data directly. \n\n\n\n\\subsection{Relevance of the models for SOC mapping}\n\nModels comparisons enable one to come up with recommendations regarding the best models \nfor assessing a specific question. Of course, the quality of the models should be assessed using several criteria\nas the question of interest is asked within a specific context (data availability, nature of the considered systems, available\nstatistical and modelling knowledge, computing cost). Several comparison criteria may be defined : the \nSeveral comparison criteria may be defined : the \ntechnical knowledge (Know-Q) and the pedological knowledge (Know-P)  needed for fitting,\nvalidating and applying models \\citep{Grunwald2009}. \nWe may add a criterion related to the nature of the required datasets, again, for fitting, \nvalidating and applying models, and another one related to the performance of the models, assessed through validation\nprocedures. Although other criteria might be defined,  those might be considered as the main ones for predictive models.\nThe best models would be those which, given the available Know-Q, Know-P and the datasets, yield the best performance.\n\nSeveral studies of SOC mapping include model comparison in order to provide the best performing model and advices regarding which\nmodel should be used in a specific context. Comparing the results of these different studies is not straightforward since the \npedological contexts change from one study to another.\nIn studies based on the application of geostatistics, model comparison\nis usually carried out by comparing simple geostatistical models with more advanced\napproaches designed to incorporate covariate data (e.g. cokriging,\n\\citealp{MCBRATNEY1983}, linear mixed models \\citealp{Lark2004}, or more generally\nscorpan-kriging models \\citealp{McBratney2003}).\nThe conclusion is consistently that including variables representing SOC drivers in geostatistical models improves model\nperformance \\citep[for instance see][]{Kempen2011, Vasques2010, Ungar2010}. The cost of such an improvement is that it\nleads to an increase of the Know-P and the Know-Q. On one hand, such models might involve a great \namount of technicality. On the other hand, the availability at observational sites of information regarding \nthe included drivers\nis then also required  for the fit, the validation and later on the prediction. \\\\\n\nFewer studies considered the question the other way around by including geostatistics in regression-based scorpan\n models, such as the BRT models considered here or by comparing regression models to regression-kriging models. \nOn a 187,693 km$^2$ area, \\citet{Zhao2010} showed that simple regression trees (RT) exhibited the best performance\n when compared to regression kriging and artificial neural network-kriging, among other methods. They concluded\n that their predictive models mostly rely on their ability to integrate secondary information into spatial \nprediction. In our case, the conclusions are contrasted. The LU$_g$ model applied a robust geostatistical approach\n to the residuals of the simplest BRT model (the LU model, which included land use and clay content as the only\n fixed effects, among the most important SOC drivers at the national scale of France,\n\\citealp{bg-8-1053-2011}).\n This approach exhibited comparable but lower performance, in terms of R$^2$, RPIQ, and RMSPE compared to the \nmore complex regression models (L and F) processing all the available ancillary data. Therefore, we conclude\n that adding a spatial component to a simple regression model can give similar improvements to adding more \npredictors to the model.\n\n\nUnbiased predictions might be achieved either by BRT\nmodelling on the original scale \\citep[as shown by][]{bg-8-1053-2011} or by BRT\nmodelling of the log-transformed response and applying a geostatistical\ntreatment. When it comes to mapping, one may wonder if preserving the mean of\nSOC stock distributions is more important than preserving the median. The mean might\nbe more imporant in order to report total SOC stocks at the national scale, but preserving the\nmedian might result in more realistic maps. It is essentially a modelling choice, as to whether\nmean-unbiasedness or median-unbiasedness is required. \n\n\\subsection{Further recommendations for SOC mapping at the national scale}\nOur best model (the F$_g$ model) only explained 36\\% of the SOC variation. \nIt is possible that local kriging methods, rather than the global kriging applied here, \ncould lead to improved predictions in some areas, although the choice of appropriate local \nneighbourhood sizes then provides an additional issue.  Other regression models could be tested,\nsuch as support vector machines (SVM), random forests \\citep{hastie2001} or the\nCubist modelling approach (\\textit{e.g.} \\citealp{Bui2009}). \nThese models could result in different residual distributions but in our opinion,\nthe consequences on the performance of their spatial couterpart are likely to\nbe limited. Some of them, such as SVM require more technical knowledge, thus increasing the Know-Q factor, \ncompared to the BRT models proposed here, for which efficient working guides have been proposed \\citep{Elith2008}.\n\\citet{Grunwald2009} stated that the future improvements in the prediction of soil properties\ndoes not rely on more \nsophisticated quantitative methods, but rather on gathering more useful and higher quality data.\nChoosing between gathering more data or improving the modelling is indeed the choice modellers are\nfacing when attempting to improve SOC maps. We show here that the choice might not be\nas straightforward as stated by \\citet{Grunwald2009} : at the national scale, even a\nsimple model based solely on landuse and clay, when complemented by geostatistics,\nperformed comparably to a model where all the available ancillary data was included\n(for France, at the time of the study, these were land use, soil, climate and npp\nmaps). Therefore, for a country where only landuse and clay maps were available, the most\nefficient way to improve predictions in the short term would certainly be to consider\ngeostatistical modelling of residuals (\\textit{i.e.} improving the modelling, rather\nthan gathering new ancillary data). \nFurthermore, other datasets, on the same extent (\\textit{i.e.} national extent)\nbut with different resolution might be more suited to geostatistics. Here,\nthe 16x16km$^2$ does not allow for modelling spatial autocorrelations\noccurring at small scales. Many studies have demonstrated such an autocorrelation when more \"local\"\nneighbourhoods can be studied (\\citealp{Mabit2010, Don2007, Rossi2009, Wang2009, Spielvogel2009} \nwith an extent <50km$^2$ and  \\citealp{Mishra2009} at coarser extents and using a\nnon-systematic sampling scheme).\\\\\nOn the other hand, adding spatial terms to the most complex models only increased know-Q\nto our data-analysis scheme. \nMore generally, the higher the uncertainty in maps of ancillary variables, the more likely it is that models based solely on \nSOC spatial dependency or including only few good quality (in terms of data uncertainty) predictors will outperform\ncomplex models using many ancillary variables. \n\n\nFor France, other SOC predictors could be included in our regression models,\nand result in significant improvements. There are different possibilities \\citep{bg-8-1053-2011}, but of course, these\nimprovements depend on the increase in Know-P and data-collection one is willing to consider.\nHaving a better soil map is obviously a very good candidate. This is exemplified here\nby the drop in the F model performance between the present study and the work by\n\\citet{bg-8-1053-2011}. \\\\\n\nIt is also worth noting that an advantage of using multiple regression tools, such as\nthe BRT models, comes from studying the fitted relationships between the response \nand the predictors, which may in turn bring \nadditional knowledge. For instance, BRT was used in \\citet{bg-8-1053-2011} to rank the effects\nof the SOC stocks driving factors.\n\n\n\n\\section{Conclusion}\nBased on the results of the present study, and others found in the literature, we formulate the following recommendations.\n These recommendations apply for France but the French diversity in terms of pedoclimatic conditions might make these\n recommendations valid for other countries as well. If the information contained in the relationships between\n the ancillary variables and the SOC stocks are strong enough, then standalone robust regression models such as\n BRT - which enable one to take into account in a flexible way non-linearities and interactions exhibited by the\n datasets - could prove sufficient for SOC mapping at the national scale. This conclusion is valid provided that i)\n care is exercised in model fitting \\citep{Elith2008} and validating, ii) the dataset does not allow for modelling\n local spatial autocorrelations, as it is the case for many national systematic sampling schemes, and iii) the ancillary\n data are of suitable quality. However, the results in this paper demonstrate that it should also be prudent to use\n geostatistical  methods to check for spatial autocorrelation in the BRT residuals. If found, which was the case\n for the simpler  of our BRT models (which failed to capture all the important SOC drivers at a\n national scale), then a kriging approach\n applied to the BRT residuals can provide a more accurate map of SOC stocks. Furthermore, even if the spatial correlation\n fails to significantly improve SOC predictions globally, it is possible that by mapping the BRT model residuals we\n can highlight regional errors in the BRT model, and thereby provide information to guide research into further SOC\n model development. \n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\\section*{Acknowledgements}\nThe sampling and soil analyses were supported by a French Scientific Group of Interest \non soils: the GIS Sol, involving the French Ministry of Ecology, Sustainable Development\nand Energy (MEDDE), the French Ministry of Agriculture, Food and Forestry (MAAF), the\nFrench Agency for Environment and Energy Management (ADEME), the Institute for Research\nand Development (IRD), the National Institute\nof Geographic and Forest Information (IGN) and the National Institute\nfor Agronomic Research (INRA). This work was supported by the EU project ``Greenhouse\ngas management in European land use systems (GHG-Europe)''\n(FP7-ENV-2009-1-244122. The authors thank all the soil surveyors and technical\nassistants involved in sampling the sites. Special thanks are addressed to the technical\nassistants from the National French Soil Bank for sample handling and preparation. \n\\section*{References}\n\n\\bibliographystyle{elsarticle-harv}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\subsection{Motivations} \n\n The way a granular bed responses to an applied shear stress reveals\n many of the peculiarities of this poorly comprehended \"state\" of\n matter~\\cite{jaeger2000}. When a granular bed is sheared slowly\n enough by an elastic medium driven at constant velocity, nor the\n shear stress neither the shear rate can be directly controlled from\n outside \\cite{annunziata16}. Rather, the system sets itself in a state at the edge\n between jamming and\n mobility~\\cite{Dalton2001,pica10,dalton05,baldassarri06,petri08,geller2015,Zadeh18},\n exhibiting intermittent flow also called stick-slip.  This is an\n instance, among many others, of phenomena displaying intermittent and\n erratic activity, in the form of bursts, or {\\it avalanches},\n characterized by wild fluctuations of physical quantities, and for\n this reason named {\\it crackling noise}~\\cite{sethna01}. Examples\n include earthquakes~\\cite{main96}, fractures~\\cite{petri94},\n structural phase transitions~\\cite{cannelli93} and plastic\n deformation~\\cite{dimiduk06}. These diverse phenomena share several\n common statistical features. In particular physical quantities\n display often long range correlations and self-similar\n distributions, i.e.  power laws, over a wide range of values. Such\n properties are usually ascribed to the vicinity of some critical\n transition~\\cite{bak88,sethna01}, which in granular media could be\n the jamming transition~\\cite{biroli2005}. Consistently, critical\n transitions bring about the existence of universality classes:\n systems that are microscopically very different, can display similar\n and universal statistical properties in their critical dynamics.\nWithin this spirit we have designed an experimental setup suitable to\nobserve such an irregular granular dynamics~\\cite{dalton05},\ncharacterized by critical fluctuations and reminiscent of that\ndisplayed by the aforementioned wide class of physical systems.\n\nIn order to compare different systems exhibiting\ncritical dynamics, several quantities can be analyzed.   Recent literature witnesses a surge of interest for the average avalanche (or burst) shape (or profile). Introduced in the context of Barkhausen noise in ferromagnetic materials~\\cite{Kuntz2000}, the average avalanche shape can provide a much sharper tool to test theory against experiments than the simple comparison of\ncritical exponents characterizing probability distributions.  As shown for simple stochastic processes, the geometrical and scaling properties of the average shape of a fluctuation depends on the temporal correlations of the dynamics~\\cite{baldassarri:060601,colaiori:041105,colaiori08}. Such observation has allowed, for instance, to evidence a (negative) effective mass in magnetic domain walls~\\cite{zapperi05}. \n\nAverage avalanche shapes have been investigated for a variety of materials, well beyond magnetic systems~\\cite{Papanikolaou2011}. Among the others: dislocation avalanches in plastically deformed intermetallic\ncompounds~\\cite{chrzan1994} and in gold and niobium crystals~\\cite{sparks2017}; stress drop avalanches at the yielding\ntransition in metallic glasses~\\cite{antonaglia14} and, via numerical\nsimulations, in amorphous systems~\\cite{ferrero16,Lagogianni2018};  bursts of load redistribution in heterogeneous materials under a constant external load~\\cite{PhysRevLett.111.084302}.  Many biological studies have also measured average burst shape in cortical bursting activity~\\cite{Roberts2014,Wikstro2015}, in transport processes in living cells~\\cite{PhysRevLett.111.208102}, as well as in ants~\\cite{Gallotti2018} and human~\\cite{Chialvo2015} activity. \nMany other bursty dynamics have been investigated by means of this general tool, as stellar processes~\\cite{PhysRevLett.117.261101} or  Earth's magnetospheric dynamics~\\cite{Consolini2008}, and earthquakes~\\cite{metha06}. The dependence  of the avalanche shape from the interaction range has been  studied  in elastic depinning models  ~\\cite{laurson13}. \n\nIn this paper we  acquire and analyze for the first time the average shapes of {\\it slip velocity} and of  {\\it friction force} in a sheared granular system, directly in the deep critical phase where it displays intermittent flow. Our findings also shed light on  apparently contradictory recent  observations \\cite{bares17,denisov17}, and  supply new essential elements to improve the formulation of new and more effective dynamical models, with important impact on the understanding of related natural and technological issues.\n\n\n\n\\subsection{Introduction}\n\nWe study the stick-slip dynamics at the level of the single slip event, as illustrated in Fig.~\\ref{fig1}.\nThe left panel reproduces the angular velocity, during a slip, of a slider that rotates while in contact with the granular bed. The middle panel shows the corresponding frictional torque experienced by the slider. \nThe motion can be described as a function of the {\\it internal avalanche time} $t$, which starts at the beginning of the slip and ends when the system sticks. Each slip event has its own duration $T$ and its size $S$ (the grey area in Fig.~\\ref{fig1}, left panel). The average velocity shape is performed considering many slips with the same total duration $T$ as function of internal avalanche time $t$.  A similar averaging procedure is followed to obtain the average friction shape: i.e. the average friction torque exerted  by the granular medium at the internal time $t$ during a slip event of total duration $T$.  The right panel of Fig.~\\ref{fig1} shows the intricate, complex relation between friction and velocity during the intermittent, stick-slip dynamics. \n\nIn our study we observe the existence of a cross-over from small to large slips. We identify it as a breakdown of the critical scaling and show that such transition is in turn related to a change in the frictional properties of the system. Specifically, we find that the average velocity of the cross-over avalanches corresponds to a characteristic value marking a dynamical transition from weakening to thickening frictional behavior of the system. \nAverage  shape for avalanches of stress drop~\\cite{denisov17} and energy drop rate~\\cite{bares17} have  been recently investigated in slow but continuous flow, where velocity never drops to zero and the stress is the relevant fluctuating quantity.    While in ~\\cite{denisov17} average avalanches  have been found to display symmetrical and self-similar shapes, in \\cite{bares17} these properties have been observed only in  avalanches sufficiently small.  Our investigations, conducted in the critical state,   contribute to clarify the origin of these contradictory behavior observed in a different situation.\n\n\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[width=\\linewidth]{Figures\/Fig1}\n\\caption{Sample of raw data for a slip event. Left: instantaneous velocity of the slider versus time. Upper axis of the graph reports the total time elapsed from the beginning of the experiment, while bottom axis indicate the internal avalanche time, starting from $0$ when the slip begins, and ending at slip duration $T$. The area below the curve is the total slip size $S$. Center: Friction torque experienced by the slider in the same time window. Right: Friction torque vs instantaneous slider velocity in the same time window.}\n\\label{fig1}  \n\\end{figure}\n\n\n\\subsection{Experimental set up} \n\nThe experimental set up (see Fig.~\\ref{fig-expsetup}) is similar to that\nemployed in~\\cite{dalton05,baldassarri06,petri08,leoni10,pica12}\nand described in more detail in the Appendix.\nThe apparatus consists of an assembly of glass spheres\nlaying in an annular channel and sheared by a horizontally rotating top\nplate driven by a motor.  The instantaneous angular position of the\nplate and of the motor, respectively  $\\theta_p$ and $\\theta_0$ are  acquired \nby means of two optical encoders.\n\nThe plate is  coupled to the motor  through a soft torsion spring of  elastic constant $k$, so the  instantaneous frictional torque, $\\tau$, exerted by the granular medium  can be derived from the equation of  motion for the plate:\n \\begin{equation}\n \\label{motion}\n\\tau = -k (\\theta_0-\\theta_p) -  I \\ddot{\\theta}_p,\n\\end{equation}\nwhere $I$ is the inertia of the plate-axis system.  The motor angular speed $\\omega_0$  is kept constant, so that $\\theta_0(t)=\\omega_0 t$,  but the interaction  between the top plate and the granular medium  is crucial in determining the instantaneous plate velocity, leading to different possible regimes.  When both the driving speed and spring constant are low enough the critical dynamics, in which the plate  performs highly irregular and intermittent motion, is approached.\n  \n\n\\subsection{Scaling analysis}\n\n\nWe have performed long experimental runs in the critical, stick-slip, regime measuring the angular coordinate of the plate $\\theta_p(t)$, from which we have derived the plate angular velocity $\\omega_p(t)$. We have collected statistics for a large number of avalanches: the distribution of corresponding durations $T$ and sizes $S=\\int_0^T  \\omega_p(t) dt$ are shown in Fig.~\\ref{fig2}. Both distributions exhibit a slow decay, roughly close to a power law, terminating by a bulging cutoff for large sizes. Similar broad distributions are shared by other quantities, e.g. the plate velocity, $\\omega_p$~\\cite{baldassarri06} (not shown).\n \\begin{figure}[h]\n \\centering\n  \\includegraphics[width=\\linewidth]{Figures\/Fig2}\n \\caption{Left: Probability distribution of slip extensions ($S$). Right: Probability distribution of slip durations.}\n \\label{fig2}  \n \\end{figure}\n As recalled in the introduction, power law decay in distributions are generally considered the hallmark for criticality. If this is the correct scenario, one should observe self-similar scaling relations in average quantities too. In particular, we consider the average shape of velocity during an avalanche of a fixed duration, defined as:\n\\[\n\\langle \\omega_p(t)\\rangle_T = \\frac 1{N_T} \\sum_i \\omega^{(i)}_p(t),\n\\] \nwhere $\\omega^{(i)}_p$ is the plate velocity during the $i_{th}$ observed avalanche of duration $T$, whose total number is $N_T$, and $t$ is the internal time within the slip: $0<t<T$. \nAlthough the average velocity shape $<\\omega_p(t)>_T$ depends on both $t$ and $T$, criticality should imply that an invariant function  $\\Omega$ exists, such that it  can be expressed as:\n\\begin{equation}\n<\\omega_p(t)>_T = g(T) \\Omega(t\/T).\n\\label{scaling}\n\\end{equation}\nThe function $g(T)$ determines how the average event  size $<S>$ scales with respect to\nthe slip duration $T$. In fact, integrating the above equation  with respect to $t$ one gets:\n\\begin{equation}\\label{eq-2}\n<S>_T \\, = T g(T)\n\\end{equation}\n(where without loss of generality we have assumed $\\int_0^1 \\Omega(x) dx = 1$). The function $\\Omega$ represents the average invariant\npulse shape, which is expected not to depend on the slip duration  and  can be computed via the above equations as\n\\begin{equation}\n\\Omega(t\/T) = T\\,\\frac{<\\omega_p(t)>_T}{<S>_T}.\n\\label{faverage}\n\\end{equation} \n\nThe previous scaling scenario is produced by several theoretical models for critical dynamics. One paradigmatic model for crackling noise is the so called ABBM model~\\cite{Alessandro1990}, proposed to describe the intermittent statistics of electric noise recorded during hysteresis loops in ferromagnetic materials (Barkhausen noise). It is simple enough to allow exact analytical results~\\cite{Alessandro1990,Feller1951,colaiori08,Papanikolaou2011,Dobrinevski2012}, and it predicts power law distributions for avalanche sizes and durations, as well as parabolic average avalanche shape, in the scaling regime. In the conclusive section we will discuss the connections between this model and what we observe in our study.\n\n\\begin{figure\n\\includegraphics[width=\\linewidth]{Figures\/Fig3}\n\\caption{\\label{fig3} Scatter plot of size $S$ vs duration $T$ of each single slip. Symbols (colors online) correspond to the different duration classes employed for the average shape analysis. Inset: Average slip velocity $\\langle S \\rangle_j\/\\langle T \\rangle_j$ for each class as a function of average duration $\\langle T \\rangle_j$ of the class. Lines (both in main plots and in inset), are guide to the eyes for: power law behaviour $S\\approx T^{2.2}$, and linear behaviour $S = \\omega_c T$ (where $\\omega_c=0.04$, see text and Fig.~\\ref{fig5} for definition).}\n\\end{figure}\n\n\n\\subsection{Average shape of slip velocity}\n\n\n\nTo investigate the properties of the average pulse shape, and to test its invariance and the scaling hypothesis,   we have divided all the avalanches observed in the experiments into classes according to their  duration (see  Appendix). Figure~\\ref{fig3} (main panel) shows the slip size as function of its duration for all the slips considered in the statistics, and the different colors correspond  to the different classes of duration. For each class, $j$, we have computed the average  slip size $<S>_j$ and  duration $<T>_j$, and \nthe average velocity $<\\omega_p(t)>_j$ measured as function of the internal time $t$.  According to Eq.~(\\ref{faverage}), in order to obtain $\\Omega(t\/T)$, this average velocity has then been normalized to the ratio $<S>_j\/<T>_j$.\n\nThe resulting average shapes for each class of duration are shown in Fig.~\\ref{fig4} (light, grey points in ~\\ref{fig3}, corresponding to very short slips at the limit of the system resolution, have been discarded).  All classes exhibit comparable values of the rescaled maximum velocity implying that longer avalanches are also faster.  However, rescaled average shapes unveil that there are two kinds of avalanches. Some of them,  say {\\it short}, have the  shape  described by a unique function $\\Omega(t\/T)$, visible in Fig.~\\ref{fig4} (left panel). That is, their  size and duration are related by the well defined scaling law Eq.~\\ref{scaling}.  On the contrary, the average velocity shapes of {\\it long} avalanches (right panel) change with the duration and cannot be reduced to a universal form by a  homogeneous rescaling of the variables. Moreover, they do not display the almost symmetric shape characterizing small avalanches.\n\n\\begin{figure\n\\begin{center}\n\\includegraphics[width=\\linewidth]{Figures\/Fig4} \n\\end{center}\n\\caption{\\label{fig4} Average velocity  profile of slips from experiments\n  rescaled  by their duration $T$, and size $S$ according to Eqs.~(\\ref{scaling}) and~(\\ref{faverage}). Different curves correspond to different slip duration ranges. Colors refers to the duration class, as shown in Fig.~\\ref{fig3}. Left panel shows classes of ``short'' avalanches, right panel classes of ``large'' avalanches (see also Appendix). }\n\\end{figure}\n\n\n\nAs anticipated, Bar\\'es and coworkers~\\cite{bares17} have recently measured the average shape of stress drop rate avalanches  in a bidimensional granular system driven at constant shear rate. Similarly to the present findings, they observe  that larger slips develop left asymmetries. They have  hypothesized a possible role of the static friction between particles and supporting glass, and of nonlinear elasticity, given by the relatively soft nature of the grain material employed in their experiments. We can however exclude these factors in our experiments, where the interface grain-wall is small with respect to the bulk and the beads are made of glass.\nThe leftwards asymmetry observed in experiments represents a very interesting phenomenon, which in general is expected from non trivial dynamical effects, and cannot be due to the simple inertia of the moving plate (which should produce opposite asymmetry~\\cite{baldassarri:060601,colaiori:041105}). \n\nIn some magnetic materials, a leftwards asymmetry has been observed and related to memory effects acting as an effective negative mass of domain walls~\\cite{zapperi05}. In our experiments we cannot exclude the existence of such an ''effective'' inertia of the system, due to  some memory introduced by the underlying granular. For instance, in some  experiments~\\cite{nasuno98} researchers noted an increased inertia of the slider moving on a granular bed, due to the grains dragged by the slider itself and  a similar augmented inertia has been observed also in our previous experiments~\\cite{baldassarri06}. Since the quantity of grains dragged by the disk during its motion could change during the irregular motion of the system  one should consider the inertia as a dynamical quantity, rather than a constant, and this could in principle be one origin of the asymmetries. A left asymmetry has been also observed in earthquakes~\\cite{Houston1998,metha06}. \n\n\n\\subsection{Breaking of scaling}\n \nMore insight into the mechanisms leading to the scaling breakdown can be gained by looking again at the  plot relating  $S$ and $T$ shown in Fig.~\\ref{fig3}. The first information coming  from this plot is that there exists a definite statistical scaling between slip size and duration, as shown by the scattering of data. The white squared symbols in the main plot represent the average slip size and duration of each class (statistical errors  are negligible on these averages). It is seen that, at least for the four lower classes, they follow an algebraic relation: $<S>_j  \\simeq <T>_j^{\\alpha}$ (red continuous line).  The value of the exponent turns out to be  $\\alpha \\simeq 2.2$. This is close to, but clearly different from, the value of $\\alpha = 2$ expected from extant models (for instance the ABBM model mentioned above~\\cite{Alessandro1990}).  \n\n\nThe other information supplied by the scatter plot of Fig.~\\ref{fig3} is that this behavior changes at large slips, where a linear dependence, $<S> \\propto <T>$ looks more appropriate (yellow dashed line). Interestingly, the crossover between the two behaviors takes place around the fourth class, exactly where the scaling of the average pulse shape, shown in Fig.~\\ref{fig4}, breaks down. \nThe inset of Fig.~\\ref{fig3} puts into better evidence this cross-over. There, we have plotted the quantity $<S>_j\/<T>_j$ as function of $<T>_j$.  We observe a weakly superlinear relation for small slips, followed by\na plateau at large slips. Note that the ratio between $S$ and $T$ is nothing but the plate average velocity  during the slip.  This observation allows to identify a critical velocity, as the ratio between the  average slip size, $<S_c> \\approx 0.063 $ rad,  and the average duration, $<T_c> \\approx 1.57$ s,  of the fourth class: $\\omega_c = <S_c>\/<T_c> \\approx 0.04$ rad\/s. We speculate that during large slips ($T>T_c$), when the plate reaches high velocities $\\omega_p>\\omega_c$, it could experience some sudden increase of friction.\nIn the next section it will be seen that this increase indeed appears, as a dynamical effect. \n\n\\subsection{Stochastic friction}\n\nThe forces ruling the slip dynamics are the spring torque and the granular friction. While the first one\njust depends linearly on the instantaneous angle, the second displays a complex behavior (see Fig.~\\ref{fig1}, central and right panel) from which interesting features emerge.\n\nThe classical Mohr--Coulomb criterion predicts constant friction at low shear, and increasing values when the system enters the Bagnold's regime~\\cite{bagnold54,bagnold66}, a behavior well observed experimentally at constant shear (see e.g. \\cite{savage84}).  \n  \\begin{figure\n \\includegraphics[width=\\linewidth]{Figures\/Fig5}\n \\caption{\\label{fig5}\n   Conditioned average friction torque (see Eq.~\\ref{avefric}) as a function of the instantaneous plate velocity in experiments\n  \n }\n \\end{figure}\n However, it is doubtful whether this behavior could be relevant to the stick-slip dynamics observed in the critical regime.   More generally, friction in granular systems is usually measured under controlled shear strain or stress, but its properties can be dramatically different when observed in the self-organized state, as exemplified in Fig.~\\ref{fig1}, right panel.  Some statistical features of friction in this state have been investigated in~\\cite{dalton05,baldassarri06,petri08}, but despite this quantity plays a crucial role for the system dynamics,  it has never been systematically measured to date during stick slip.\n\nIn the critical regime  friction is a random quantity. It depends on the details of the network of contacts\n between particles in the granular bed. Fluctuations in the frictional response of the granular medium result from the stress propagation on the evolving network of grain contacts, and are at the very origin of the motion stochasticity.\nThis fact has a number of consequences and some subtleties. A random friction force, as a stochastic quantity, can be described by statistical estimators like  averages, moments, correlators, etc. Nevertheless, several averages can be defined, which depend on the driving protocol and can be very different from each other. \nMore specifically, one can consider the time average of the friction over the full dynamics, but this is not always really meaningful, especially in the critical regime. As shown in~\\cite{dalton05} the statistical distribution of friction in this regime is characterized  by fat tails, as opposite with  the continuous sliding where it is normal. Another possible average,~\\cite{baldassarri06,leoni10} is the average friction {\\em conditioned} to the (instantaneous) plate velocity: \n\n\n \\begin{equation}\n \\label{avefric}\n \\tau_f(\\omega) =  \\lim_{T\\to \\infty} \\frac{\\int_0^T \\tau(t) \\delta(\\omega-\\omega_p(t))dt}{\\int_0^T \\delta(\\omega(t)-\\omega_p)dt}.\n \\end{equation}\n \nIn  Fig.~\\ref{fig5}   we plot such conditioned  average friction during the stick slip critical regime.\nAs noted in~\\cite{baldassarri06}, an interesting Stribeck-shaped (that is, a shear weakening followed by a thickening)  friction curve appears, featuring weakening for small velocities and recovering the Bagnold behavior at high velocities. However, this velocity weakening arises as a dynamical effect. In fact, a different driving protocol can give different results: For instance,  at constant shear~\\cite{savage84} the average friction is constant at low and intermediate speeds.\n\n\nThe analysis of Fig.~\\ref{fig5} allows to identify a velocity corresponding to the position of the minimum of the average friction $\\tau_f$. Our experiments clearly indicate that the position of this minimum does not depends on the drive velocity (Fig.~\\ref{Fig6SeveralDrives} in Appendix) and it is always attained near the velocity $\\omega\\approx 0.04$ rad\/s. This value is very close to the value $\\omega_c$ marking the crossover in the scaling of $S$ vs $T$ (see Fig.~\\ref{fig3}), which in turn is related to the breakdown of scaling of the average avalanche shape shown in Fig.~\\ref{fig4}.\nThis corroborates the previous interpretation of the crossover phenomena and the breaking of the critical scaling of the dynamics as due to the weakening followed by the increase of friction experienced by the plate during larger, faster avalanches Fig.~\\ref{fig5}.\n\n\nIn order to better investigate  whether and how friction dynamical behavior can influence the average velocity shape we have also analyzed the average shape of friction along the slip. \nIn an analogous fashion to what done for computing the velocity shapes, one can define $\\langle \\tau(t)\\rangle_T$ as the average frictional torque for slips of the same duration $T$. In practice, we have computed the average value of the friction torque over slips of similar duration $T$, according to the same classes of duration adopted for velocities (see  Fig.~\\ref{fig3} and Appendix). \nThe results, presented in Fig.~\\ref{fig6}, show  that the breaking of scaling of the velocity shapes corresponds to a change in the frictional properties of $\\langle \\tau(t)\\rangle_T$. \nFor small avalanches, i.e. those corresponding to the cases in which  average velocity shape  obeys scaling (curves plotted in the left graph of Fig.~\\ref{fig6}),\nthe average friction maintains  an almost constant value along the whole slip, whose value is independent fron the slip duration.\nOn the contrary,  the curves corresponding to longer slips (shown in the  right t plot of Fig.~\\ref{fig6}) display different shapes that,  as in the case of  velocity (Fig.~\\ref{fig4}), strongly depend on $T$, and cannot be collapsed. Note also that higher frictions are experienced during longer slips.\n\nLet us stress here the difference between the two average procedures considered in this work. The average $\\langle \\tau \\rangle_T$ shown in Fig.~\\ref{fig6}, are performed over slips of similar duration, at the same internal avalanche time $t$. Instead, the (conditional) average $\\tau_f$, defined in Eq.~\\ref{avefric} and  shown in Fig.~\\ref{fig5}, mixes events of any duration, and it depends on the instantaneous plate velocity $\\omega_p$. The two quantities give different aspects of the same (stochastic) physical phenomenon.\nNevertheless, the combination of the two analysis suggests that the quite complex friction weakening behavior of $\\tau_f$ is mainly due to large slips, which show a non constant average friction $\\langle \\tau \\rangle_T$ in time (see Fig.~\\ref{fig6}, right panel), in contrast with small avalanches, where the average keeps mainly constant. \n\n\nBy combining the analysis of friction and velocity shapes, one can consider \nthe curves resulting from plotting the average friction as a function of the average velocity,  in slips of similar duration, as shown in Fig.~\\ref{fig7}. \nThey  show that while, as anticipated, friction has a low velocity dependence in small slips (left panel),  in large ones it splits into a two-valued function (right panel), \ndisplaying an hysteresis, with  well different dependencies on the (average) plate velocity  in the accelerating and decelerating phases of the slips. \nThis evolution  is  very similar to that observed in periodic stick-slip~\\cite{nasuno97,nasuno98},   where  all slips have identical extension, duration, and velocity profile.\n\n\n\n\n\n\\begin{figure\n\\begin{center}\n\\includegraphics[width=\\linewidth]{Figures\/Fig6} \n\\end{center}\n\\caption{\\label{fig6} Average friction torque along slips of different duration as function of  rescaled time in experiments.\n  Colors refers to the duration class, as shown in Fig.~\\ref{fig3}.  Left panel shows classes of ``short'' avalanches, right panel classes of ``large'' avalanches (see also Appendix).}\n\\end{figure}\n\n\n\n\\begin{figure\n\\begin{center}\n\\includegraphics[width=\\linewidth]{Figures\/Fig7} \n\\end{center}\n\\caption{\\label{fig7} Average friction torque along  slips  of different duration as function of the normalized average slip velocity in experiments\n  Colors refers to the duration class, as shown in Fig.~\\ref{fig3}.  Left panel shows classes of ``short'' avalanches, right panel classes of ``large'' avalanches (see also Appendix).}\n\\end{figure}\n\n\n\n\n\n\\subsection{Considerations and conclusions}\n\nOur experiments show a good scaling  of the average velocity  shape for small avalanches, with an almost symmetric average shape.\nFor larger avalanches however, scaling~(Eq.~\\ref{scaling}) is broken:\nfor large slips the shape takes a clear leftwards shape in agreement with what observed in seismic data~\\cite{Houston1998,bares17} (and recently in~\\cite{bares14}).\n\n\nOur analyses show that the breakdown of velocity scaling  goes along with changes in the friction behavior,  pointing  out a strict relation  between the two phenomena. On the opposite, spring-block models with only Coulomb friction  generate symmetric slips~\\cite{aharonov04,bizzarri16}.  Effective friction laws accounting  for elapsed time and\/or  space have been incorporated  in solid-on-solid interface models, through  the  dependence on so called state variables~\\cite{ruina83,dieterich94,baumberger06}. \n These {\\it rate-and-state} laws are often  adopted for studying and modeling co-seismic fault shearing, together with their other simpler forms \\cite{scholz98,bizzarri2003,kawamura2012,bizzarri16}. They are essentially phenomenological  and can describe both velocity weakening and hardening, depending on  the adopted parameters (which are not derivable from microscopic principles). These laws \n  have shown to  work to some extent also for interstitial granular matter \\cite{marone98}, but with some inconsistencies \\cite{mair99}. Moreover they have been drawn from experiments where velocity is forced to change in sudden steps and   they don't seem to have been never investigated  in the critical stick-slip. Attempts to do this  with smoothly varying velocity have been done in\t\\cite{leoni10}. In  a  very recent work  \\cite{degiuli17} both friction  weakening and hysteresis\n  have been numerically investigated during granular shear cycles, showing that these are due to  contact instabilities induced by the acoustic waves generated during granular fluidization.  It is thus clear that granular flow cannot be effectually modeled without the inclusion of more refined and realistic friction laws.\n\n\nAn effective modeling approach to the critical granular dynamics cannot as well exclude a stochastic description of friction, which generates the slip unpredictability and their range of variability,  with the following change in the slip shapes. To our knowledge, the only few attempts in this direction~\\cite{baldassarri06,leoni10,dahmen11} are  inspired to the aforementioned {\\it ABBM model}~\\cite{Alessandro1990}, which represents the mean field approximation for the motion of a driven elastic interface in a random environment~\\cite{Zapperi1998,LeDoussal2012}.\nFrom the dynamical point of view, it describes a spring--slider model subjected to a friction where both viscous and a random pinning components are present, in the overdamped (i.e. negligible inertia) approximation. At small, but finite driving rate, the ABBM model predicts an intermittent, critical dynamics for the block motion. Similarly to our observations, avalanche statistics show a scaling regime for short slips, whose average velocity has parabolic shapes.\nHowever, an exponent $\\alpha =2$ relates  $\\langle S \\rangle$ to   $\\langle T \\rangle$, which is different from what observed in our experiment. Moreover, for longer slips, ABBM predicts flatter symmetical shapes, witnessing a cut-off in the velocity correlation. No inertial effects are present, due to  the overdamped approximation. \n\nA variant of the ABBM model for critical granular dynamics has been introduced in~\\cite{baldassarri06}, where, based on empirical observations, a simple Stribeck-like rate dependence, showing a minimum,  of the average granular friction was adopted.  Moreover, more physically,   a cut off in the spatial correlation of the random  force was considered  and, at odds with the original model, inertia was taken in account. Later on, attempts to introduce in the model a state dependent weakening friction have been  done~\\cite{leoni10}), and further investigations are in progress.\n\nWe think that the insights provided by the present study can explain the contradictory recent observations in \\cite{bares17,denisov17} and can be useful to advance such  efforts to improve models. In particular, they show that inertia can play an important role in both weakening-hysteresis~\\cite{degiuli17} and in the determining scaling exponent $\\alpha$ (an inertial ABBM model has  been studied in~\\cite{LeDoussal2012inertial}). \nEven at the microscopic level, grain inertia can influence the avalanche statistics. For instance, in sandpile models, largely studied in the context of SOC (Self Organized Criticality), the tendency of real sand grains to keep moving once they start  facilitate  the emergence of huge avalanches. Recent theoretical developments propose, in the presence of such facilitation effects, a scenario called Self-Organised Bistability~\\cite{DiSanto2016}, where again a breaking of scaling is associated to the appearance of large avalanches (\"kings\").\n\n\nWe conclude that weakening is a genuine property exhibited by granular dynamics at variable shear rate, and that randomness and memory are a general features of friction that cannot be overlooked in the formulation of effectual models. Such models can have impact on the understanding of many phenomena occurring in the large realm of granular systems, \nand in particular of self organized natural phenomena like landslides, and earthquake,  where it is not yet clear the way different mechanisms can contribute to the shear weakening observed in coseismic fault shearing~\\cite{ditoro11}. \nFurther investigation on theoretical models incorporating  more realistic, specifically memory dependent friction laws, and new experiments will allow to better understand the mechanism for which criticality breaks down.\n\n\n\\section*{Acnokwlegments}{This work has been supported by the grant FIRB RBFR081IUK\\_003\nfrom the Italian Ministry for Education and Research \n}\n\n\n\\section[A]{Appendix}\n\n\\subsection{The experimental set up}\n\n\\begin{figure}[h]\n  \\begin{minipage}{0.4\\textwidth}\n   \\includegraphics[width=\\textwidth]{AppFigures\/p-figure-1.png}\n   \\end{minipage}\n  \\hfill\n  \\begin{minipage}{0.5\\textwidth}\n    \\includegraphics[width=\\textwidth]{AppFigures\/img-Ciambellone3-63447.png}\n   \\end{minipage}\n  \\caption{Photo (up) and schema (down) of the experimental set up.}\n \\label{fig-expsetup}\n  \\end{figure}\n\n \n\nThe experimental apparatus utilized for this research consists of a\ncircular PPMI channel of outer and inner radii $R$ = 19.2 cm and $r$ =\n12.5 cm respectively.  The channel is 12 cm height and is almost\nfilled with a  bidisperse mixture 50\\%-50\\% of glass beads,  with radii $r_1$=1.5\nmm $\\pm$ 10\\% and $r_2$=2 mm $\\pm$ 10\\%. \n\nA top plate, fitting the channel, can be rotated and has a few layer of grains glued\nto its lower face in order to better drag the underlying granular medium. The plate has mass $M$ = 1200 g and moment of inertia $I$ = 0.026 kg\nm$^2$, and it is free to move vertically, implying that in our experiments\nthe medium can change volume under a nominal pressure of $p= M g \/\n[\\pi (R^{2} - r^{2} )] \\approx $176 Pa. The plate is connected to an end of torsion spring, of elastic constant $\\kappa =$ 0.36 Nm\/rad, while the  other end of the spring is rotated by a motor at constant angular velocity $\\omega_d$. \n  The angular positions of\nmotor and plate are supplied by two optical encoders  positioned on\neither side of the torsion spring, each one having a spatial\nresolution of $3 \\cdot 10^{-5}$ rad and  being sampled at 50 Hz. These measures provides the plate instantaneous position and velocity, \n$\\theta_p$ and $\\omega_p$,  as well as the friction torque, which is proportional to the angular difference between motor and plate(see Eq. (\\ref{motion})).\n\n\n\n\n\n\n\\subsection{Experimental analysis}\n\nIn principle each single slip event, or {\\it avalanche}, begins when\n$\\omega_p$ starts to differ from zero and ends when $\\omega_p$  goes\nback to zero. However, in practice it is necessary to choose a\nthreshold value $\\omega_{th}$ to cross, in order to get rid of the\ninstrumental noise. This choice is to some extent arbitrary, however\nall the results have been observed to be independent from\nthe chosen threshold, as long as it is small and different from 0. For our analysis  we have set $\\omega_{th}=0.00175$ rad\/s, and considered the seven time series reported in table~\\ref{tablediffdrives}. \n\n\n \n \n \\begin{table}\n \\begin{center}\n   \\small\n   \\begin{tabular}{c|cccccc}\n series\n  & duration &\\# of points  & driving $\\omega_d$  & \\# of slips  \\\\\n  & \n  (minutes)  & & (rad\/s)  &  used in analysis  \\\\\n \\hline\n $(EA)$\n & 3900  & 5849962 &\n 0.0015 &  6014 \\\\\n $(EB)$\n & 673  & 2020079 &\n 0.0022 & 1625 \\\\\n $(EC)$\n & 1200 & 3600060 &\n 0.0044 & 5826 \\\\\n $(ED)$\n & 4080  & 12240020  &\n 0.0055 & 2451 \\\\\n $(EE)$\n & 360  & 1079977 &\n 0.011 & 3725 \\\\\n $(EF)$ \n & 240  & 720007 &\n  0.021 &  3973\\\\\n $(EG)$\n & 210  & 630014 &\n 0.033 & 4300 \\\\\n  \\end{tabular}\\\\\n \\caption{\\label{tablediffdrives} Features of the analyzed series of experiments with different drives}\n \\end{center}\n \\end{table}\n \n\nThe avalanches of each series have been grouped into classes on the base of their duration, according to the first column of table~\\ref{tableclassesEA}.\nFor each class $j$ the average avalanche duration $<T>_j$ and size $<S>_j$ have been evaluated, and instantaneous average velocity has been computed at a set $\\{t_i\\}$ of discrete times,  $0 \\le t_i \\le~<T>_j$ (see main text).  \n\nAvalanches at the extremes of distributions have been dropped out.\nFor example duration and size for avalanches from the series (EA) are plotted in Fig. 2 of the main text, with  different colors for each interval. Avalanches in gray, shorter than 0.31 s, are too small to perform meaningful analysis (less than 15 points at $50$Hz of sampling rate).  The total number of\navalanches employed in this statistics has then been 6014, distributed according to the second column of table~\\ref{tableclassesEA}.  \n\nThe main text presents results from the series $(EA)$. The results from the other  datasets,  with the different drives reported  in  Table~\\ref{tablediffdrives}, display similar behaviors and are shown \n in Figs.~\\ref{Fig2SeveralDrives}-\\ref{Fig7SeveralDrives} of this Appendix, to be compared with the correspondig Figs.~\\ref{fig2}-\\ref{fig7} in the main text. Analogous results were  obtained adopting different sampling frequencies and threshold values.  \n\n\n\n\n\\begin{table}\n\\begin{center}\n  \\begin{tabular}{ccc}\n    duration & \\# of avalanches  \\\\\n    \\hline\n    0.309 $\\le  T < 0.489 $& 929\\\\\n    0.489 $\\le  T < 0.722 $& 866\\\\\n    0.772 $\\le  T < 1.219 $& 987\\\\\n    1.219 $\\le  T < 1.925 $& 1694\\\\\n    1.925 $\\le  T < 3.04 $& 1380\\\\\n    3.04 $\\le  T < 4.8 $& 158\\\\\n    \\end{tabular}\n\\caption{\\label{tableclassesEA} Classes of avalanche duration adopted for the analysis, and the resulting  number of avalanches for the  data set (EA) discussed  in the main text.}\n\\end{center}\n\\end{table}\n\n\n\n\n\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig1-040225_v2.png}\n\\caption{Avalanche size distributions for different drive velocities (see Fig.~\\ref{fig3} in the main text). }\n\\label{Fig2SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig3-040225_v2.png}\n\\caption{Avalanche sizes vs durations, and class definitions, for different drive velocities (see Fig.~\\ref{fig2} in the main text) }\n\\label{Fig3SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig2-040225_v2.png}\n\\caption{Average velocity shapes for different drive velocities (see Fig.~\\ref{fig4} in the main text) }\n\\label{Fig4SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig4-040225_v2.png}\n\\caption{Average friction shapes for different drive velocities (see Fig.~\\ref{fig5} in the main text) }\n\\label{Fig5SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig5-040225_v2.png}\n\\caption{Average friction vs average velocity  for different drive velocities (see Fig.~\\ref{fig6} in the main text) }\n\\label{Fig6SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\n\\begin{figure}[]\n\\begin{center}\n\\includegraphics[width=\\linewidth]{AppFigures\/Fig6-040225_v2.png}\n\\caption{Conditional average friction vs instantaneous plate velocity  for different drive velocities (see Fig.~\\ref{fig7} in the main text) }\n\\label{Fig7SeveralDrives}\n\\end{center}\n\\end{figure}\n\n\n\n\n\n\n\n\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\\label{sec:intro}\n\nExact solution of a given many-body model in quantum mechanics is usually expressed in terms of eigenvalues and eigenfunction of its Hamiltonian\n\\begin{equation}\n\\hat H=\\sum_{i=1}^M \\frac{\\hat{\\mathbf p}^2_i}{2m_i}+\\hat V(\\hat{\\mathbf q}_1,\\ldots, \\hat{\\mathbf q}_M)\\, ,\n\\end{equation}\nbut it can be also expressed through analytic solution for general transition amplitude $A(\\mathbf a, \\mathbf b;T)=\\langle \\mathbf b|e^{-iT\\hat H\/\\hbar}|\\mathbf a\\rangle$ from the initial state $|\\mathbf a\\rangle$ to the final state $|\\mathbf b\\rangle$ during the time of propagation $T$. Calculation of transition amplitudes is more suitable if one uses path integral formalism \\cite{feynman, feynmanhibbs, kleinertbook}, but in principle, if eigenproblem of the Hamiltonian can be solved, one should be able to calculate general transition amplitudes, and vice versa. However, mathematical difficulties may prevent this, and even more importantly, exact solutions can be found only in a very limited number of cases. Therefore, use of various analytic approximation techniques or numerical treatment is necessary for detailed understanding of the behavior of almost all models of interest.\n\nIn numerical approaches it could be demanding and involved to translate numerical knowledge of transition amplitudes to (or from) eigenstates, but practically can be always achieved. It has been implemented in various setups, e.g. through extraction of the energy spectra from the partition function \\cite{feynmanhibbs, kleinertbook, danicapla, ivanapla}, and using the diagonalization of space-discretized matrix of the evolution operator, i.e. matrix of transition amplitudes \\cite{sethia1990, sethia1999, ivanapre1, ivanapre2, becpla}. All these applications use the imaginary-time formalism  \\cite{feynmanstat, parisi}, typical for numerical simulations of such systems.\n\nRecently introduced effective action approach \\cite{prl-speedup, prb-speedup, pla-euler, pre-ideal, pre-recursive} provides an ideal framework for exact numerical calculation of quantum mechanical amplitudes. It gives systematic short-time expansion of amplitudes for a general potential, thus allowing accurate calculation of short-time properties of quantum systems directly, as has been demonstrated in Refs.~\\cite{ivanapre1, ivanapre2, becpla}. For numerical calculations that require long times of propagation to be considered using e.g. Monte Carlo method, effective action approach provides improved discretized actions leading to the speedup in the convergence of numerically calculated discretized quantities to their exact continuum values. This has been also demonstrated in Monte Carlo calculations of energy expectation values using the improved energy estimators \\cite{jelapla, ivanapla}.\n\nIn this paper we present SPEEDUP codes \\cite{speedup} which implement the effective action approach, and which were used for numerical simulations in Refs.~\\cite{danicapla, ivanapla, ivanapre1, ivanapre2, becpla, prl-speedup, prb-speedup, pla-euler, pre-ideal, pre-recursive}. The paper is organized as follows. In Section \\ref{sec:theory} we briefly review the recursive approach for analytic derivation of higher-order effective actions. SPEEDUP Mathematica codes capable of symbolic derivation of effective actions for a general one- and many-body theory as well as for specific models is described in detail in Section \\ref{sec:Mathematica}, while in Section \\ref{sec:C} we describe SPEEDUP Path Integral Monte Carlo C code, developed for numerical calculation of transition amplitudes for 1D models. Section \\ref{sec:conclusions} summarizes presented results and gives outlook for further development of the code.\n\n\\section{Theoretical background}\n\\label{sec:theory}\n\nFrom inception of the path integral formalism, expansion of short-time amplitudes in the time of propagation was used for the definition of path integrals through the time-discretization procedure \\cite{feynmanhibbs, kleinertbook}. This is also straightforwardly implemented in the Path Integral Monte Carlo approaches \\cite{ceperley}, where one usually relies on the naive discretization of the action. Several improved discretized actions, mainly based on the Trotter formula and its generalizations, were developed and used in the past \\cite{takahashiimada, libroughton, deraedt2}. A recent analysis of this method can be found in Jang et al \\cite{jangetal}. Several related investigations dealing with the speed of convergence have focused on improvements in short-time propagation \\cite{makrimiller,makri} or the action \\cite{alfordetal}. More recently, split-operator method has also been developed \\cite{chinkrotscheck, hernandez, ciftja, sakkos, janecek}, later extended to include higher-order terms  \\cite{bandrauk, chinchen, omelyan, bayepre}, and systematically improved using the multi-product expansion \\cite{chinarxiv, krotscheck, chin}.\n\nThe effective action approach is based on the ideal discretization concept \\cite{pre-ideal}. It was introduced first for single-particle 1D models \\cite{prl-speedup, prb-speedup, pla-euler} and later extended to general many-body systems in arbitrary number of spatial dimensions \\cite{ivanapla, pre-recursive}. This approach allows systematic derivation of higher-order terms to a chosen order $p$ in the short time of propagation.\n\nRecursive method for deriving discretized effective actions, established in Ref.~\\cite{pre-recursive}, is based on solving the underlying Schr\\\" odinger equation for the amplitude. It has proven to be the most efficient tool for treatment of higher-order expansion. In this section we give brief overview of the recursive method, which will be implemented in Mathematica in the next section. We start with the case of single particle in 1D, used in the SPEEDUP C code. Throughout the paper we will use natural system of units, in which $\\hbar$ and all masses are set to unity.\n\n\\subsection{One particle in one dimension}\n\\label{sec:P1D1}\n\nIn the effective action approach, transition amplitudes are expressed in terms of the ideal discretized action $S^*$ in the form\n\\begin{equation}\nA(a, b; T)=\\frac{1}{\\sqrt{2\\pi T}}\\, e^{-S^*(a, b; T)}\\, ,\n\\end{equation}\nwhich can be also seen as a definition of the ideal action \\cite{pre-ideal}. Therefore, by definition, the above expression is correct not only for short times of propagation, but for arbitrary large times $T$. We also introduce the ideal effective potential $W$,\n\\begin{equation}\nS^*(a, b; T)=T\\left[\\frac{1}{2}\\left(\\frac{b-a}{T}\\right)^2+W\\right]\\, ,\n\\end{equation}\nreminiscent of the naive discretized action, with the arguments of the effective potential ($a$, $b$, $T$) usually written as $W\\left(\\frac{a+b}{2}, \\frac{b-a}{2}; T\\right)$, to emphasize that we will be using mid-point prescription.\n\nHowever, ideal effective action and effective potential can be calculated analytically only for exactly solvable models, while in all other cases we have to use some approximative method. We use expansion in the time of propagation, assuming that the time $T$ is small. If this is not the case, we can always divide the propagation into $N$ time steps, so that $\\varepsilon=T\/N$ is small. Long-time amplitude is than obtained by integrating over all short-time ones,\n\\begin{equation}\nA(a, b; T)=\\int dq_1\\cdots dq_{N-1}\\ A(a, q_1; \\varepsilon)\\,\nA(q_1, q_2; \\varepsilon)\\cdots A(q_{N-1}, b; \\varepsilon)\\, ,\n\\label{eq:AMC}\n\\end{equation}\npaving the way towards Path Integral Monte Carlo calculation, which is actually implemented in the SPEEDUP C code.\n\nIf we consider general amplitude $A(q,q';\\varepsilon)$, introduce the mid-point coordinate $x=(q+q')\/2$ and deviation $\\bar x=(q'-q)\/2$, and express $A$ using the effective potential,\n\\begin{equation}\nA(q, q'; \\varepsilon)=\\frac{1}{\\sqrt{2\\pi \\varepsilon}}\\, e^{-\\frac{2}{\\varepsilon}\\bar x^2-\\varepsilon W(x, \\bar x; \\varepsilon)}\\, ,\n\\end{equation}\nthe time-dependent Schr\\\" odinger equation for the amplitude leads to the following equation for $W$\n\\begin{equation}\nW+\\bar x\\,\\bar\\partial W+\\varepsilon\\,\\partial_\\varepsilon W\n-\\frac{1}{8}\\,\\varepsilon\\,\\partial^2 W-\n\\frac{1}{8}\\,\\varepsilon\\,\\bar\\partial^2 W\n+\\,\\frac{1}{8}\\,\\varepsilon^2\\,(\\partial W)^2\n+\\frac{1}{8}\\,\\varepsilon^2\\,(\\bar\\partial W)^2= \\frac{1}{2}\\, (V_++V_-)\\, ,\n\\label{eq:eqW}\n\\end{equation}\nwhere $V_\\pm=V(x\\pm\\bar x)$, i.e. $V_-=V(q)$, $V_+=V(q')$. The short-time expansion assumes that we expand $W$ to power series in $\\varepsilon$ to a given order, and calculate the appropriate coefficients using Eq.~(\\ref{eq:eqW}). We could further expect that this results in coefficients depending on the potential $V(x)$ and its higher derivatives. However, this scheme is not complete, since the effective potential depends not only on the mid-point $x$, but also on the deviation $\\bar x$, and the obtained equations for the coefficients cannot be solved in a closed form. In order to resolve this in a systematic way, we make use of the fact that, for short time of propagation, deviation $\\bar x$ is on the average given by the diffusion relation $\\bar x^2\\propto\\varepsilon$, allowing double expansion of $W$ in the form\n\\begin{equation}\n\\label{eq:ansatz}\nW(x,\\bar x;\\varepsilon)=\\sum_{m=0}^{\\infty}\\sum_{k=0}^{m}c_{m,k}(x)\\,\\varepsilon^{m-k}\\bar x^{2k}\\, .\n\\end{equation}\nRestricting the above sum over $m$ to $p-1$ leads to level $p$ effective potential $W_p(x,\\bar x;\\varepsilon)$ which gives expansion of the effective action $S^*_p$ to order $\\varepsilon^p$, and hence the level designation $p$ for both the effective action and the corresponding potential $W_p$. Thus, if the diffusion relation is applicable (which is always the case in Monte Carlo calculations), instead of the general double expansion in $\\bar x$ and $\\varepsilon$, we are able to obtain simpler, systematic expansion in $\\varepsilon$ only. \n\nAs shown previously \\cite{prl-speedup, prb-speedup, pla-euler}, when used in Path Integral Monte Carlo simulations for calculation of long time amplitudes according to Eq.~(\\ref{eq:AMC}), use of level $p$ effective action leads to the convergence of discretized amplitudes proportional to $\\varepsilon^p$, i.e. as $1\/N^p$, where $N$ is the number of time steps used in the discretization.\n\nIf we insert the above level $p$ expansion of the effective potential to Eq.(\\ref{eq:eqW}), we obtain the recursion relation derived in Ref.~\\cite{pre-recursive},\n\\begin{eqnarray}\n8(m+k+1)\\, c_{m,k}&=&(2k+2) (2 k+1)\\, c_{m,k+1}\n+c_{m-1,k}''-\\sum_{l=0}^{m-2}\\, \\sum_{r} c_{l,r}'\\,c_{m-l-2,k-r}'\\nonumber\\\\\n&&-\\sum_{l=1}^{m-2}\\,\\sum_{r}2\\,r(2k-2r+2)\\,c_{l,r}\\,c_{m-l-1,k-r+1}\\, ,\n\\label{eq:1Drec}\n\\end{eqnarray}\nwhere the sum over $r$ goes from ${\\rm max}\\{0,\\ k-m+l+2\\}$ to ${\\rm min}\\{k,\\ l\\}$. This recursion can be used to calculate all coefficients $c_{m,k}$ to a given level $p$, starting from the known initial condition, $c_{0, 0}=V$. The diagonal coefficients can be calculated immediately,\n\\begin{equation}\n\\label{eq:diagonal}\nc_{m,m}=\\frac{V^{(2m)}}{(2m+1)!}\\, ,\n\\end{equation}\nand for a given value of $m=0,\\ldots p-1$, the coefficients $c_{m,k}$ follow recursively from evaluating (\\ref{eq:1Drec}) for $k=m-1,\\ldots,1,0$, as illustrated in Fig.~\\ref{fig:order}.\n\n\\begin{figure}[!t]\n\\centering\n\\includegraphics[width=6cm]{fig1}\n\\caption{Order in which the coefficients $c_{m,k}$ are calculated: diagonal ones\nfrom Eq.~(\\ref{eq:diagonal}), off-diagonal from recursion (\\ref{eq:1Drec}).}\n\\label{fig:order}\n\\end{figure}\n\n\\subsection{Extension to many-body systems}\n\\label{sec:mb}\n\nThe above outlined approach can be straightforwardly applied to many-body systems. Again the amplitude is expressed through the effective action and the corresponding effective potential, which now depends on mid-point positions and deviations of all particles. For simplicity, these vectors are usually combined into $D\\times M$ dimensional vectors $\\mathbf x$ and $\\bar{\\mathbf x}$, where $D$ is spatial dimensionality, and $M$ is the number of particles. In this notation,\n\\begin{equation}\nA(\\mathbf q, \\mathbf q'; \\varepsilon)=\\frac{1}{(2\\pi \\varepsilon)^{DM\/2}}\\, e^{-\\frac{2}{\\varepsilon}\\bar{\\mathbf x}^2-\\varepsilon W(\\mathbf x, \\bar{\\mathbf x}; \\varepsilon)}\\, ,\n\\end{equation}\nwhere initial and final position $\\mathbf q=(\\mathbf q_1, \\ldots, \\mathbf q_M)$ and $\\mathbf q'=(\\mathbf q'_1, \\ldots, \\mathbf q'_M)$ are analogously defined $D\\times M$ dimensional vectors. Here we will not consider quantum statistics of particles. The required symmetrization or antisymmetrization must be applied after transition amplitudes are calculated using the effective potential.\n\nMany-body transition amplitudes satisfy $D\\times M$-dimensional generalization of the time-dependent Schr\\\" odinger equation, which leads to the equation for the effective potential similar to Eq.~(\\ref{eq:eqW}), with vectors replacing previously scalar quantities,\n\\begin{equation}\nW+\\bar{\\mathbf x}\\cdot \\bar{\\boldsymbol\\partial} W+\\varepsilon\\,\\partial_\\varepsilon W\n-\\frac{1}{8}\\,\\varepsilon\\,\\boldsymbol\\partial^2 W-\n\\frac{1}{8}\\,\\varepsilon\\,\\bar{\\boldsymbol\\partial}^2 W\n+\\,\\frac{1}{8}\\,\\varepsilon^2\\,(\\boldsymbol\\partial W)^2\n+\\frac{1}{8}\\,\\varepsilon^2\\,(\\bar{\\boldsymbol\\partial} W)^2= \\frac{1}{2}\\, (V_++V_-)\\, .\n\\label{eq:eqWMB}\n\\end{equation}\nThe effective potential for short-time amplitudes again can be written in the form of the double expansion in $\\varepsilon$ and $\\bar{\\mathbf x}$. However, it turns out to be advantageous to use the expansion\n\\begin{equation}\n\\label{EXP}\nW(x,\\bar x;\\varepsilon) = \\sum_{m=0}^{\\infty} \\, \\sum_{k=0}^{m}\\varepsilon^{m-k}\\,W_{m,k}(x,\\bar x)\\ ,\n\\end{equation}\nand work with fully contracted quantities $W_{m,k}$\n\\begin{equation}\nW_{m,k}(x,\\bar x)= \\bar x_{i_1} \\bar x_{i_2} \\cdots \\bar x_{i_{2k}}c_{m,k}^{i_1,\\ldots, i_{2k}}(x)\\, ,\n\\end{equation}\nrather than with the respective coefficients $c_{m,k}^{i_1,\\ldots, i_{2k}}$. In this way we avoid the computationally expensive symmetrization over\nall indices $i_1,\\ldots, i_{2k}$. After inserting the above expansion into the equation for the effective potential, we obtain the recursion relation which represents a generalization of previously derived Eq.~(\\ref{eq:1Drec}) for 1D case, and has the form\n\\begin{eqnarray}\n\\label{recursion}\n8\\, (m+k+1)\\,W_{m,k}&=&\\boldsymbol\\partial^2 W_{m-1,k}+\\bar{\\boldsymbol\\partial}^2 W_{m,k+1}\n-\\sum_{l=0}^{m-2}\\,\\sum_{r}(\\boldsymbol\\partial W_{l,r})\\cdot(\\boldsymbol\\partial W_{m-l-2,k-r})\\nonumber\\\\\n&&-\\sum_{l=1}^{m-2}\\,\\sum_{r}(\\bar{\\boldsymbol\\partial} W_{l,r})\\cdot(\\bar{\\boldsymbol\\partial} W_{m-l-1,k-r+1})\\, .\n\\label{eq:MBrec}\n\\end{eqnarray}\nThe sum over $r$ runs from ${\\rm max}\\{0,\\ k-m+l+2\\}$ to ${\\rm min}\\{k,\\ l\\}$, while diagonal quantities $W_{m,m}$ can be calculated directly,\n\\begin{equation}\n\\label{DIA}\nW_{m,m}=\\frac{1}{(2m+1)!}(\\bar x\\cdot{\\boldsymbol\\partial})^{2m}\\,V\\, .\n\\end{equation}\nThe above recursion disentangles, in complete analogy with the previously outlined case of one particle in 1D, and is solved in the order shown in Fig.~\\ref{fig:order}.\n\n\\section{SPEEDUP Mathematica codes for deriving the higher-order effective actions}\n\\label{sec:Mathematica}\n\nThe effective action approach can be used for numerically exact calculation of short-time amplitudes if the effective potential $W_p$ can be analytically derived to sufficiently high values of $p$ such that the associated error is smaller than the required numerical precision. The error $\\varepsilon^p$ for the effective action, obtained when level $p$ effective potential is used, translates into $\\varepsilon^{p-DM\/2}$ for a general many-body short-time amplitude. However, when amplitudes are calculated using the Path Integral Monte Carlo SPEEDUP C code \\cite{speedup}, which will be presented in the next section, the errors of numerically calculated amplitudes are always proportional to $\\varepsilon^p\\sim 1\/N^p$, where $N$ is number of time-steps in the discretization of the propagation time $T$.\n\nTherefore, accessibility of higher-order effective actions is central to the application of this approach if it is used for direct calculation of short-time amplitudes \\cite{ivanapre1, ivanapre2, becpla}, as well as in the case when PIMC code is used \\cite{danicapla, jelapla, ivanapla}. However, increase in the level $p$ leads to the increase in complexity of analytic expressions for the effective potential. On one hand, this limits the maximal accessible level $p$ by the amount of memory required for symbolic derivation of the effective potential. On the other hand, practical use of large expressions for $W_p$ may slow down numerical calculations, and one can opt to use lower than the maximal available level $p$ when optimizing total CPU time required for numerical simulation. The suggested approach is to study time-complexity of the algorithm in practical applications, and to choose optimal level $p$ by minimizing the execution time required to achieve fixed numerical precision.\n\nWe have implemented efficient symbolic derivation of higher-order effective actions in Mathematica using the recursive approach. All source files described in this section are located in the {\\tt Mathematica} directory of the SPEEDUP code distribution.\n\n\\subsection{General 1D Mathematica code}\n\\label{sec:M1D1Mathematica}\n\nSPEEDUP code \\cite{speedup} for symbolic derivation of the effective potential to specified level $p$ is implemented in Mathematica \\cite{mathematica}, and is available in the {\\tt EffectiveAction-1D.nb} notebook. It implements the algorithm depicted in Fig.~\\ref{fig:order} and calculates the coefficients $c_{m,k}$ for $m=0,\\ldots, p-1$ and $k=m,\\ldots,0$, starting from the initial condition $c_{0,0}=V$. For a given value of $m$, the diagonal coefficient $c_{m,m}$ is first calculated from Eq.~(\\ref{eq:diagonal}), and then all off-diagonal coefficients are calculated from the recursion (\\ref{eq:1Drec}).\n\nIn this code the potential $V(x)$ is not specified, and the effective potential is derived for a general one-particle 1D theory. The resulting coefficients $c_{m,k}$ and the effective potential are expressed in terms of the potential $V$ and its higher derivatives. Level $p$ effective potential, constructed as\n\\begin{equation}\nW_p(x,\\bar x;\\varepsilon)=\\sum_{m=0}^{p-1}\\sum_{k=0}^{m}c_{m,k}(x)\\,\\varepsilon^{m-k}\\bar x^{2k}\\, ,\n\\end{equation}\ncontains derivatives of $V$ to order $2p-2$.\n\nThe only input parameter of this Mathematica code is the level $p$ to which the effective potential should be calculated. As the code runs, it prints used amount of memory (in MB) and CPU time. This information can be used to estimate the required computing resources for higher values of $p$. The calculated coefficients can be exported to a file, and later imported for further numerical calculations. As an illustration, the file {\\tt EffectiveAction-1D-export-p5.m} contains exported definition of all the coefficients $c_{m,k}$ calculated at level $p=5$, while the notebook {\\tt EffectiveAction-1D-matching-p5.nb} contains matching output from the interactive session used to produce the above $p=5$ result.\n\nThe execution of this code on a typical 2 GHz CPU for level $p=10$ requires 10-15 MB of RAM and several seconds of CPU time. We have successfully run this code for levels as high as $p=35$ \\cite{speedup}. SPEEDUP C code implements effective actions to the maximal level $p=18$, with the size of the corresponding C function around 2 MB. If needed, higher levels $p$ can be easily implemented in C and added to the existing SPEEDUP code.\n\n\\subsection{General 2D and 3D Mathematica code}\n\\label{sec:M1D2D3Mathematica}\n\nAlthough we have developed Mathematica code capable of deriving effective actions for a general many-body theory in arbitrary number of spatial dimensions, in practical applications in 2D and 3D it can be very advantageous to use simpler codes, able to produce results to higher levels $p$ than the general code \\cite{becpla, ivanapre2}.\n\nThis is done in files {\\tt EffectiveAction-2D.nb} and {\\tt EffectiveAction-3D.nb}, where the recursive approach is implemented directly in 2D and 3D. Execution of these codes requires more memory: for $p=10$ effective action one needs 60 MB in 2D case, while in 3D case the needed amount of memory increases to 860 MB. On the other hand, the execution time is several minutes for 2D code and around 30 minutes for 3D code.\n\nThe distribution of the SPEEDUP code contains exported $p=5$ definitions of contractions $W_{m, k}$ for both 2D and 3D general potential, as well as matching outputs from interactive sessions used to generate these results.\n\n\\subsection{Model-specific Mathematica codes}\n\\label{sec:D1modelsMathematica}\n\nWhen general expressions for the effective actions, obtained using the above described SPEEDUP Mathematica codes, are used in numerical simulations, one has to specify the potential $V$ and its higher derivatives to order $2p-2$ in order to be able to calculate transition amplitudes. Such approach is justified for systems where the complexity of higher derivatives increases. However, for systems where this is not the case, or where only a limited number of derivatives is non-trivial (e.g. polynomial interactions), it might be substantially beneficial to specify the potential at the beginning of the Mathematica code and calculate the derivatives explicitly when iterating the recursion.\n\nUsing this approach, one is able to obtain coefficients $c_{m,k}$ and the effective potential $W$ directly as functions of the mid-point $x$. This is implemented in the notebooks {\\tt EffectiveAction-1D-AHO.nb} and {\\tt EffectiveAction-2D-AHO.nb} for the case of anharmonic oscillators in 1D and 2D,\n\\begin{eqnarray}\n&&\\hspace*{-1.2cm}\nV_{1D-AHO}(x)=\\frac{A}{2}\\, x^2+\\frac{g}{24}\\,x^4\\, ,\\\\\n&&\\hspace*{-1.2cm}\nV_{2D-AHO}(x)=\\frac{A}{2}\\, (x^2+y^2)+\\frac{g}{24}\\, (x^2+y^2)^2\\, .\n\\end{eqnarray}\nThese codes can be easily executed within few seconds and with the minimal amounts of memory even for $p=20$. For 1D anharmonic oscillator we have successfully calculated effective actions to excessively large value $p=144$, and in 2D to $p=67$ \\cite{speedup}, to illustrate the advantage of this model-specific method.\n\nSimilar approach can be also used in another extreme case, when the complexity of higher derivatives of the potential $V$ increases very fast, so that entering the corresponding expressions to the code becomes impractical. Even in this situation expressions for effective actions can be usually simplified using some appropriate model-specific ansatz. The form of such ansatz can be deduced from the form of model-specific effective potentials, and then used to simplify their derivation. Such use-case is illustrated in the SPEEDUP Mathematica code for the modified P\\\" oscl-Teller potential,\n\\begin{equation}\nV_{1D-MPT}(x)=-\\frac{\\lambda}{(\\cosh \\alpha x)^2}\\, .\n\\label{eq:1D-MPT}\n\\end{equation}\nFor this potential, the coefficients $c_{m,k}$ of the effective potential can be expressed in the form\n\\begin{equation}\nc_{m, k}(x)=\\sum_{l=0}^m d_{m, k, l}\\, \\frac{(\\tanh \\alpha x)^{2l}}{(\\cosh \\alpha x)^{2m-2l+2}}\\, ,\n\\label{eq:1D-MPTansatz}\n\\end{equation}\nand newly introduced constant coefficients $d_{m,k,l}$ can be calculated using the model-speci\\-fic recursion in {\\tt EffectiveAction-1D-MPT.nb}. The form of the ansatz (\\ref{eq:1D-MPTansatz}) is deduced from the results of executing general 1D Mathematica code, with the model-specific potential (\\ref{eq:1D-MPT}) defined before the recursion calculation of the coefficients is performed. Using this approach, we were able to obtain maximal level $p=41$ effective action \\cite{speedup}.\n\n\\subsection{General many-body Mathematica code}\n\\label{sec:mbMathematica}\n\nSPEEDUP Mathematica code for calculation of effective action for a general many-body theory is implemented using the MathTensor \\cite{mathtensor} package for tensorial calculations in Mathematica. This general implementation required some new functions related to the tensor calculus to be defined in the source notebook {\\tt EffectiveAction-ManyBody.nb} provided with the SPEEDUP code.\n\nThe function {\\tt GenNewInd[n]} generates the required number {\\tt n} of upper and lower indices using the MathTensor function {\\tt UpLo}, with the assigned names {\\tt up1}, {\\tt lo1}, \\ldots, as well as lists {\\tt upi} and {\\tt loi}, each containing {\\tt n} strings corresponding to the names of generated indices. These new indices are used in the implementation of the recursion for calculation of derivatives of $W_{m,k}$, contractions of the effective potential, and for this reason had to be explicitly named and properly introduced.\n\nThe expressions obtained by iterating the recursion contain large numbers of contractions, and function {\\tt NewDefUnique[contr]} replaces all contracted indices with the newly-introduced dummy ones in the contraction {\\tt contr}, so that they do not interfere with the calculation of derivatives in the recursion. This is necessary since the derivatives in recursion do not distinguish contracted indices from non-contracted ones if their names happen to be generated by the function {\\tt GenNewInd}. Note that the expression {\\tt contr} does not have to be full contraction, i.e. function {\\tt NewDefUnique} will successfully act on tensors of any kind if they have contracted indices, while it will leave them unchanged if no contractions are present.\n\nThe function {\\tt NewDerivativeVec[contr, vec, ind]} implements calculation of the first derivative of the tensor {\\tt contr} (which may or may not contain contracted indices, but if it does, they are supposed to be uniquely defined dummy ones, which is achieved using the function {\\tt NewDefUnique}). The derivative is calculated with respect to vector {\\tt vec} with the vectorial index {\\tt ind}. The index {\\tt ind} can be either lower or upper one, and has to be generated previously by the function {\\tt GenNewInd}.\n\nFinally, the function {\\tt NewLaplacianVec[contr, vec]} implements the Laplacian of the tensor {\\tt contr} with respect to the vector {\\tt vec}, i.e. it performs the calculation of contractions of the type\n\\begin{equation}\n\\frac{\\partial}{\\partial\\mathtt{vec}_i}\\,\\frac{\\partial}{\\partial\\mathtt{vec}^i}\\,\\, \\mathtt{contr}\\, .\n\\end{equation}\n\nAfter all described functions are defined, the execution of the code proceeds by setting the desired level of the effective action {\\tt p}, generating the needed number of named indices using the function call {\\tt GenNewInd[2 p + 2]}, and then by performing the recursion according to the scheme illustrated in Fig.~\\ref{fig:order}. The use of MathTensor function {\\tt CanAll} in the recursion ensures that the obtained expressions for {\\tt W[m, k]} will be simplified if possible. This is achieved in MathTensor by sorting and renaming all dummy indices using the same algorithm and trying to simplify the expression obtained in such way. By default, Mathematica will distinguish contracted indices in two expressions if they are named differently, and MathTensor works around it using the renaming scheme implemented in {\\tt CanAll}.\n\nThe computing resources required for the execution of the many-body SPEEDUP Mathematica code depend strongly on the level of the effective action. For example, for level $p=5$ the code can be run within few seconds with the minimal memory requirements. The notebook with the matching output of this calculation is available as {\\tt EffectiveAction-ManyBody-matching-p5.nb}, and the exported results for {\\tt W[m, k]} are available in {\\tt EffectiveAction-ManyBody-export-p5.m}. We were able to achieve maximal level $p=10$ \\cite{speedup}, with the CPU time of around 2 days on a recent 2 GHz processor. The memory used by Mathematica was approximately 1.6 GB.\n\nNote that exporting the definition of the effective potential from Mathematica to a file will yield lower and upper indices named {\\tt ll1}, {\\tt uu1}, etc. In order to import previous results and use them for further calculations with the provided Mathematica code, it is necessary to replace indices in the exported file to the proper index names used by the function {\\tt GenNewInd}. This is easily done using find\/replace feature of any text editor. Prior to importing definition of the effective potential, it is necessary to initialize MathTensor and all additional functions defined in the notebook {\\tt EffectiveAction-ManyBody.nb}, and to generate the needed number of named indices using the function call {\\tt GenNewInd[2p+2]}.\n\n\\section{SPEEDUP C codes for Monte Carlo calculation of 1D transition amplitudes}\n\\label{sec:C}\n\nFor short times of propagation, the effective actions derived using the above described Mathematica codes can be directly used. This has been extensively used in Refs.~\\cite{ivanapre1, ivanapre2}, where SPEEDUP codes were applied for numerical studies of several lower-dimensional models and calculation of large number of energy eigenvalues and eigenfunctions. The similar approach is used in Ref.~\\cite{becpla}, where SPEEDUP code was used to study properties of fast-rotating Bose-Einstein condensates in anharmonic trapping potentials. The availability of a large number of eigenstates allowed not only precise calculation of global properties of the condensate (such as condensation temperature and ground state occupancy), but also study of density profiles and construction of time-of-flight absorption graphs, with the exact quantum treatment of all available eigenfunctions.\n\nHowever, in majority of applications the time of propagation cannot be assumed to be small. The effective actions are found to have finite radius of convergence \\cite{ivanapre1}, and if the typical propagation times in the considered case exceed this critical value, Path Integral Monte Carlo approach must be used in order to accurately calculate the transition amplitudes and the corresponding expectation values \\cite{danicapla, jelapla}. As outlined earlier, in this case the time of propagation $T$ is divided into $N$ time steps, such that $\\varepsilon=T\/N$ is sufficiently small and that the effective action approach can be used. The discretization of the propagation time leads to the following expression for the discretized amplitude\n\\begin{equation}\nA_N^{(p)}(a,b;T)=\\int\\frac{dq_1\\cdots dq_{N-1}}{(2\\pi\\varepsilon)^{N\/2}}\\, e^{-S_N^{(p)}}\\, ,\n\\end{equation}\nwhere $S_N^{(p)}$ stands for the discretized level $p$ effective action,\n\\begin{equation}\nS_N^{(p)}=\\sum_{k=0}^{N-1}\\left[ \\frac{(q_{k+1}-q_k)^2}{2\\varepsilon}+\\varepsilon\\, W_p(x_k, \\bar x_k; \\varepsilon)\\right],\n\\label{eq:SNp}\n\\end{equation}\nand $q_0=a$, $q_N=b$, $x_k=(q_{k+1}+q_k)\/2$, $\\bar x_k=(q_{k+1}-q_k)\/2$.\n\nLevel $p$ discretized effective action is constructed from the corresponding effective potential $W_p$, calculated as power series expansion to order $\\varepsilon^{p-1}$. Since it enters the action multiplied by $\\varepsilon$, this leads to discretized actions correct to order $\\varepsilon^p$, i.e. with the errors of the order $\\varepsilon^{p+1}$. The long-time transition amplitude $A_N^{(p)}(a,b;T)$ is a product of $N$ short-time amplitudes, and its errors are expected to scale as $N\\cdot\\varepsilon^{p+1}\\sim 1\/N^p$, as has been shown in Refs.~\\cite{prl-speedup, prb-speedup, pla-euler, ivanapla} for transition amplitudes, and in Refs.~\\cite{jelapla, ivanapla} for expectation values, calculated using  the corresponding consistently improved estimators.\n\n\\subsection{Algorithm and structure of the code}\n\\label{sec:algorithm}\n\nSPEEDUP C source is located in the {\\tt src} directory of the code distribution  \\cite{speedup}. It uses the standard Path Integral Monte Carlo algorithm for calculation of transition amplitudes. The trajectories are generates by the bisection algorithm \\cite{ceperley}, hence the number of time-steps $N$ is always given as a power of two, $N=2^s$. When the amplitude is calculated with $2^s$ time steps, we can also easily calculate all discretized amplitudes in the hierarchy $2^{s-1}$, \\ldots, $2^0$ at no extra cost. This requires only minor additional CPU time and memory, since the needed trajectories are already generated as subsets of maximal trajectories with $2^s$ time-steps.\n\nThe trajectory is constructed starting from bisection level $n=0$, where we only have initial and final position of the particle. At bisection level $n=1$ the propagation is divided into two time-steps, and we have to generate coordinate $q$ of the particle at the moment $T\/2$, thus constructing the piecewise trajectory connecting points $a$ at the time $t=0$, $q$ at $t=T\/2$, and $b$ at $t=T$. The coordinate $q$ is generated from the Gaussian probability density function centered at $(a+b)\/2$ and with the width $\\sigma_1=\\sqrt{T\/2}$. The procedure continues iteratively, and each time a set of points is added to the piecewise trajectory. At each bisection level $n$ the coordinates are generated from the Gaussian centered at mid-point of coordinates generated at level $n-1$, with the width $\\sigma_n=\\sqrt{T\/2^n}$. To generate numbers $\\eta$ from the Gaussian centered at zero we use Box-M\\\" uller method,\n\\begin{equation}\n\\eta = \\sqrt{-2\\sigma_n^2\\ln\\xi_1}\\, \\cos 2\\pi\\xi_2\\, ,\n\\end{equation}\nwhere numbers $\\xi_1$ and $\\xi_2$ are generated from the uniform distribution on the interval $[0, 1]$, using the SPRNG library \\cite{sprng}. If the target bisection level is $s$, then at bisection level $n\\leq s$ we generate $2^{n-1}$ numbers using the above formula, and construct the new trajectory by adding to already existing points the new ones, according to\n\\begin{equation}\nq[(1+2i)\\cdot 2^{s-n}]=\\eta_i+\\frac{q[i\\cdot 2^{s-n+1}]+q[(i+1)\\cdot 2^{s-n+1}]}{2}\\, ,\n\\end{equation}\nwhere $i$ runs from 0 to $2^{n-1}-1$. This ensures that at bisection level $s$ we get trajectory with $N=2^s$ time-steps, consisting of $N+1$ points, with boundary conditions $q[0]=a$ and $q[N]=b$. At each lower bisection level $n$, the trajectory consists of $2^n+1$ points obtained from the maximal one (level $s$ trajectory) as a subset of points $q[i\\cdot 2^{s-n}]$ for $i=0,1,\\ldots, 2^n$.\n\nThe use of trajectories generated by the bisection algorithm requires normalization factors from all Gaussian probability density functions with different widths to be taken into account. This normalization is different for each bisection level, but can be calculated easily during the initialization phase.\n\nThe basic C code is organized in three source files, {\\tt main.c}, {\\tt p.c} and {\\tt potential.c}, with the accompanying header files. The file {\\tt potential.c} (its name can be changed, and specified at compile time) must contain a user-supplied function {\\tt V0()}, defining the potential $V$. For a given input value of the coordinate, {\\tt V0()} should initialize appropriate variables to the value of the potential $V$ and its higher derivatives to the required order $2p-2$. When this file is prepared, SPEEDUP code can be compiled and used. The distributed source contains definition of 1D-AHO potential in the file {\\tt potential.c}, the same as in the file {\\tt 1D-AHO.c}.\n\nThe execution of the SPEEDUP code starts with the initialization and allocation of memory in the {\\tt main()} function, and then the array of amplitudes and associated MC error estimates for each bisection level $n=0,\\ldots, s$ is calculated by calling the function {\\tt mc()}. After printing the output, {\\tt main()} deallocates used memory and exits. Function {\\tt mc()} which implements the described MC algorithm is also located in the file {\\tt main.c}, as well as the function {\\tt distr()}, which generates maximal (level $s$) trajectories.\n\nThe function {\\tt mc()} contains main MC sampling loop. In each step new level $s$ trajectory is generated by calling the function {\\tt distr()}. Afterwards, for each bisection level $n$, function {\\tt func()} is invoked. This function is located in the file {\\tt p.c}, and returns the value of the function $e^{-S}$, properly normalized, as described earlier. This value (and its square) is accumulated in the MC loop for each bisection level $n$ and later averaged to obtain the estimate of the corresponding discretized amplitude and the associated MC error.\n\nThe function {\\tt func()} makes use of C implementation of earlier derived effective actions for a general 1D potential. For a given trajectory at the bisection level $n$, {\\tt func()} will first initialize appropriate variables with the values of the potential and its higher derivatives (to the required level $2p-2$) by calling the user-supplied function {\\tt V0()}, located in the file {\\tt potential.c}. Afterwards the effective action is calculated according to Eq.~(\\ref{eq:SNp}), where the effective potential is calculated by the function {\\tt Wp()}, located in the file {\\tt p.c}. The desired level $p$ of the effective action is selected by defining the appropriate pre-processor variable when the code is compiled.\n\nIn addition to this basic mode, when SPEEDUP code uses general expression for level $p$ effective action, we have also implemented model-specific mode, described earlier. If effective actions are derived for a specific model, then user can specify an alternative {\\tt p.c} file to be used within the directory {\\tt src\/models\/<model>}, where {\\tt <model>} corresponds to the name of the model. If this mode is selected at compile time, the compiler will ignore {\\tt p.c} from the top {\\tt src} directory, and use the model-specific one, defined by the user. The distributed source contains model definitions for 1D-AHO and 1D-MPT potentials in directories {\\tt src\/models\/1D-AHO} and {\\tt src\/models\/1D-MPT}. Note that in this mode the potential is specified directly in the definition of the effective potential, and therefore the function {\\tt V0()} is not used (nor the {\\tt potential.c} file).\n\n\\subsection{Compiling and using SPEEDUP C code}\n\\label{sec:compiling}\n\nSPEEDUP C source can be easily compiled using the {\\tt Makefile} provided in the top directory of the distribution. The compilation has been thoroughly tested with GNU, Intel and IBM XLC compilers. In order to compile the code one has to specify the compiler which will be used in the {\\tt Makefile} by setting appropriately the variable {\\tt COMPILER}, and then to proceed with the standard command of the type {\\tt make <target>}, where {\\tt <target>} could be one of {\\tt all}, {\\tt speedup}, {\\tt sprng}, {\\tt clean-all}, {\\tt clean-speedup}, {\\tt clean-sprng}.\n\nThe SPRNG library \\cite{sprng} is an external dependency, and for this reason it is located in the directory {\\tt src\/deps\/sprng4.0}. In principle, it has to be compiled only once, after the compiler has been set. This is achieved by executing the command {\\tt make sprng}. Afterwards the SPEEDUP code can be compiled and easily linked with the already compiled SPRNG library. Note that if the compiler is changed, SPRNG library has to be recompiled with the same complier in order to be successfully linked with the SPEEDUP code.\n\nTo compile the code with level $p=10$ effective action and user-supplied function {\\tt V0()} located in the file {\\tt src\/1D-AHO.c}, the following command can be used:\\\\\n\\hspace*{6mm}{\\tt make speedup P=10 POTENTIAL=1D-AHO.c}\\\\\nIf not specified, {\\tt POTENTIAL=potential.c} is used, while the default level of the effective action is {\\tt P=1}. To compile the code using a model-specific definition of the effective potential, instead of the {\\tt POTENTIAL} variable, we have to appropriately set the {\\tt MODEL} variable on the command line. For example, to compile the supplied {\\tt p.c} file for 1D-MPT model located in the directory {\\tt src\/models\/1D-MPT} using the level $p=5$ effective action, the following command can be used:\\\\\n\\hspace*{11mm}{\\tt make speedup P=5 MODEL=1D-MPT}\\\\\nAll binaries compiled using the {\\tt POTENTIAL} mode are stored in the {\\tt bin} directory, while the binaries for the {\\tt MODEL} mode are stored in the appropriate {\\tt bin\/models\/<model>} directory. This information is provided by the {\\tt make} command after each successful compilation is done.\n\nThe compilation is documented in more details in the supplied {\\tt README.txt} files. The distribution of the SPEEDUP code also contains examples of compilation with the GNU, Intel and IBM XLC compilers, as well as matching outputs and results of the execution for each tested compiler, each model, and for a range of levels of the effective action $p$.\n\n\n\\begin{figure}[!b]\n\\centering\n\\includegraphics[width=9.5cm]{fig2}\n\\caption{Convergence of SPEEDUP Monte-Carlo  results for the transition amplitude $A_N^{(p)}(-0.5, 0.5; 1)$ of 1D-MPT potential as a function of the number of time steps $N$, calculated with level $p=1, 2, 10$ effective actions, with the parameters of the potential $\\lambda=\\alpha=1$. The full lines give the fitted functions (\\ref{eq:fit}), where the constant term  $A_p$ corresponds to the continuum-theory amplitude $A(-0.5, 0.5; 1)$. The number of Monte-Carlo samples was $N_{\\rm MC}=10^{6}$.}\n\\label{fig:conv}\n\\end{figure}\n\nOnce compiled, the SPEEDUP code can be used to calculate long-time amplitudes of a system in the specified potential $V$. If executed without any command-line arguments, the binary will print help message, with details of the usage. The obligatory arguments are time of propagation {\\tt T}, initial and final position {\\tt a} and {\\tt b}, maximal bisection level {\\tt s}, number of MC samples {\\tt Nmc} and {\\tt seed} for initialization of the SPRNG random number generator. All further arguments are converted to numbers of the {\\tt double} type and made available in the array {\\tt par} to the function {\\tt V0()}, or to the model-specific functions in the file {\\tt src\/models\/<model>\/p.c}. The output of the execution contains calculated value of the amplitude for each bisection level $n=0,\\ldots,s$ and the corresponding MC estimate of its error (standard deviation). At bisection level $n=0$, where no integrals are actually calculated and the discretized $N=1$ amplitude is simply given by an analytic expression, zero is printed as the error estimate.\n\n\\begin{figure}[!b]\n\\centering\n\\includegraphics[width=7.2cm]{fig3a}\n\\includegraphics[width=7.2cm]{fig3b}\n\\caption{(left) The anharmonic potential 1D-AHO, its energy eigenvalues (horizontal lines) and eigenfunctions, obtained by direct diagonalization of the space-discretized matrix of the evolution operator with level $p=21$ effective action and parameters $A=1$, $g=48$. The discretization cutoff was $L=8$, spacing $\\Delta=9.76\\cdot 10^{-4}$, and time of propagation $t=0.02$. (right) Results for the double-well potential, $A=-10$, $g=12$, $L=10$, $\\Delta=1.22\\cdot 10^{-3}$, $t=0.1$. On both graphs, left $y$-axis corresponds to $V(x)$ and energy eigenvalues, while scale on the right $y$-axis corresponds to values of eigenfunctions, each vertically shifted to level with the appropriate eigenvalue.}\n\\label{fig:phi4states}\n\\end{figure}\n\nFig.~\\ref{fig:conv} illustrates the typical results obtained from the SPEEDUP code on the example of 1D-MPT theory. In this figure we can see the convergence of numerically calculated amplitudes with the number of time-steps $N$ to the exact continuum value, obtained in the limit $N\\to\\infty$. Such convergence is obtained for each level $p$ of the effective action used. However, the convergence is much faster when higher-order effective action is used. Note that all results corresponding to the one value of level $p$ on the graph are obtained from a single run of the SPEEDUP code with the maximal bisection level $s=10$. The simplest way to estimate the continuum value of the amplitude is to fit numerical results from single run of the code to the appropriate level $p$ fitting function \\cite{prl-speedup, prb-speedup, pla-euler},\n\\begin{equation}\nA_N^{(p)}=A^{(p)}+\\frac{B^{(p)}}{N^p}+\\frac{C^{(p+1)}}{N^{p+1}}+\\cdots\n\\label{eq:fit}\n\\end{equation}\nThe constant term obtained by fitting corresponds to the best estimate of the exact amplitude which can be found from the available numerical results.\n\nAs mentioned earlier, the effective action approach can be used for accurate calculation of a large number of energy eigenstates and eigenvalues by diagonalization of the space-discretized matrix of transition amplitudes \\cite{sethia1990, sethia1999, ivanapre1, ivanapre2, becpla}. Fig.~\\ref{fig:phi4states} illustrates this for the case of an anharmonic and double-well potential. The graph on the left gives several eigenvalues and eigenstates for 1D-AHO potential with $A=1$ and quartic anharmonicity $g=48$, while the graph on the right gives low-lying spectrum and eigenfunctions of the double-well potential, obtained for $A=-10$, with the moderate anharmonicity $g=12$. More details on this approach, including study of all errors associated with the discretization process, can be found in Refs.~\\cite{ivanapre1, ivanapre2}.\n\n\\section{Conclusions}\n\\label{sec:conclusions}\n\nIn this paper we have presented SPEEDUP Mathematica and C codes, which implement the effective action approach for calculation of quantum mechanical transition amplitudes. The developed Mathematica codes provide an efficient tool for symbolic derivation of effective actions to high orders for specific models, for a general 1D, 2D and 3D single-particle theory, as well as for a general many-body systems in arbitrary number of spatial dimensions. The recursive implementation of the code allows symbolic calculation of extremely high levels of effective actions, required for high-precision calculation of transition amplitudes.\n\nFor calculation of long-time amplitudes we have developed SPEEDUP C Path Integral Monte Carlo code. 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Chin, arXiv:0809.0914.\n\\bibitem{krotscheck}\nS. A. Chin, S. Janecek, and E. Krotscheck,\nComput. Phys. Comm. {\\bf 180}, 1700 (2009).\n\\bibitem{chin}\nS. A. Chin, S. Janecek, and E. Krotscheck,\nChem. Phys. Lett. {\\bf 470}, 342 (2009).\n\\bibitem{mathematica}\nMathematica software package,\n{\\tt http:\/\/www.wolfram.com\/mathematica\/}\n\\bibitem{mathtensor}\nMathTensor package,\n{\\tt http:\/\/smc.vnet.net\/mathtensor.html}\n\\bibitem{sprng}\nScalable Parallel Random Number Generator library, {\\tt http:\/\/sprng.fsu.edu\/}\n\\end{thebibliography}\n\n\\end{document}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nStar formation is expected to have a strong impact on the interstellar medium (ISM).\nIn particular, young massive stars have strong stellar winds and radiation pressure capable of expelling the surrounding gas.\nAt a later stage, the massive stars create supernova explosions that heat the surrounding gas through thermal energy input.\nThese interactions play an important role in the evolution of galaxies.\nThe lack of cold gas leads to the suppresses of star formation activity, which is known as stellar feedback \\citep{Cole+00,Hopkins+12,Leroy+15}.\nStar formation also contributes to the metal enrichment of the intergalactic medium by ejecting gas from galaxies \\citep{Tremonti+04,Dayal+13,Andrews&Martini13}.\nIn particular, stellar feedback is effective in galaxies with low stellar masses ($M_*$) whose shallow gravitational potential wells may not  be able to retain the gas.\nThe shallow potential may also be the cause of the increasing fraction of escaping gas from $M_*\\sim10^{12}~M_\\odot$ towards $M_*\\sim10^9~M_\\odot$ \\citep{Arribas+14,Bruno+19}.\nMoreover, stellar feedback may be able to explain two well-known observational results for low-mass galaxies that differ from the predictions of dark matter only numerical simulations, \nthe observed number of low-mass galaxies and the density profile of DM halo \\citep{Brooks19}.\n\nGalactic outflow are among the most important and noticeable results of stellar feedback.\nThe strength of stellar feedback can be quantified by the mass-loading factor ($\\eta$), which is defined as the ratio of the mass loss rate ($\\dot{M}_\\mathrm{out}$) to the star formation rate (SFR).\nSemianalytic models have adopted prescriptions for the feedback process assuming either energy-driven outflows with $\\eta\\propto v_\\mathrm{cir}^{-2}$ or momentum-driven outflows with $\\eta\\propto v_\\mathrm{cir}^{-1}$ (see Equations 13 and 35 in \\citealt{Murray+05}), where $v_\\mathrm{cir}$ is the circular velocity of the DM halo.\nRecent simulations can resolve the star formation activity and the outflowing gas in individual galaxies.\nHowever, the ``sub-grid'' physics of outflows still relies on theoretical or empirical formulae  \\citep[e.g.,][]{Muratov+15,Christensen+18,Hu19}.\nIn this paper we will focus on low-mass galaxies below $M_*\\sim10^7~M_\\odot$, a mass range for which the ``sub-grid'' physics is particular poorly understood, and which has not been fully explored by previous observational studies.\n\nIt is known that the outflows are composed of hot ($T\\sim10^6~\\mathrm{K}$), warm ($T\\sim10^4~\\mathrm{K}$), and cold phases ($T\\sim10^1-10^3~\\mathrm{K}$) \\citep[e.g.,][]{Veilleux05}.\nIn the present work, we focus on the warm-phase gas that is found to be widely extended in young low-mass star-forming galaxies \\citep{Pardy+16}.\nFor warm-phase gas, various methods are used in the literature to measure gas motion with emission lines, including two-component fitting \\citep[e.g.,][]{Freeman+19,Bruno+19}, \nnon-paramatric procedures \\citep[e.g.,][]{Cicone+16},\nand spatially resolved line mapping \\citep[e.g.,][]{McQuinn+19,Bik+15}.\nThe two-component fitting decomposes the emission profile into narrow and broad components.\nThe narrow components are broadened by the rotation or dispersion of gas, while the broad components are supposed to trace the motion of outflowing gas.\nThe two-component fitting of emission lines requires\nhigh spectral resolution to resolve the emission line profiles.\nObservations are particularly challenging for low-mass galaxies, due to low brightness and intrinsically narrow emission.\n\nThis paper is the sixth paper of a program named ``Extremely Metal-Poor Representatives Explored by the Subaru Survey (EMPRESS)'' started by \\citeauthor{Kojima+20a} (\\citeyear{Kojima+20a}; hereafter K20). \nUsing machine-learning techniques, K20 select extremely metal-poor galaxies (EMPGs) from their source catalogs that are constructed with the data from Subaru\/Hyper Suprime-Cam Subaru Strategic Program (HSC-SSP, \\citealt{HSC}) and the 13th release of Sloan Digital Sky Survey (SDSS DR13, \\citealt{SDSS13}).\nK20 identify 113 EMPG candidates in the local universe, that have compact sizes and possibly very small stellar masses.\nThis paper describes a dataset with sufficient spectral resolution and signal-to-noise ratio (SNR) to study the properties of such objects.\nIn Section \\ref{observations}, we describe our MagE observations and the data reduction. \nIn Section \\ref{sample}, we present our galaxy sample, and in Section \\ref{analysis}, we fit the spectra and derive galaxy properties. In Section \\ref{results}, we present our results on outflow properties.\nIn Sections \\ref{discussion} and \\ref{summary}, we discuss and summarize our observational results, respectively.\nThroughout the paper we adopt a cosmological model with $H_0=70~\\mathrm{km~s^{-1}~Mpc^{-1}}$, $\\Omega_\\Lambda=0.7$, and $\\Omega_{m}=0.3$.\n\n\\begin{deluxetable}{ccccc}\n    \\label{tab:obsobj}\n    \\tablecaption{Summary of the MagE Observations}\n    \\tablewidth{0pt}\n    \\tablehead{\n        \\colhead{ID} & \\colhead{R.A.} & \\colhead{Decl.} & \\colhead{Exposure} & \\colhead{Ref.} \\\\\n        \\colhead{} & \\colhead{(hh:mm:ss)} & \\colhead{(dd:mm:ss)} & \\colhead{(sec)} & \\colhead{} \\\\\n        \\colhead{(1)} & \\colhead{(2)} & \\colhead{(3)} & \\colhead{(4)} & \n        \\colhead{(5)}\n    }\n    \\startdata\n    \\multicolumn{5}{c}{Photometric Candidates}\\\\\n    \\hline\n    J0845$+$0131 & 08:45:30.81 & $+$01:31:51.19 & 1,800 & (a)\\\\\n    J0912$-$0104 & 09:12:18.12 & $-$01:04:18.32 & 2,700 & (a)\\\\\n    J0935$-$0115 & 09:35:39.20 & $-$01:15:41.41 & 1,350 & (a)\\\\\n    J1011$+$0201 & 10:11:47.80 & $+$02:01:08.30 & 1,400 & (a)\\\\\n    J1210$-$0103 & 12:10:33.54 & $-$01:03:11.69 & 2,700 & (a)\\\\\n    J1237$-$0016 & 12:37:47.89 & $-$00:16:00.76 & 1,800 & (a)\\\\\n    J1401$-$0040 & 14:01:07.61 & $-$00:40:50.10 & 1,800 & (a)\\\\\n    J1411$-$0032 & 14:11:03.69 & $-$00:32:40.77 & 1,800 & (a)\\\\\n    J1452$+$0241 & 14:52:55.28 & $+$02:41:01.31 & 1,800 &(b)\\\\\n    J1407$-$0047 & 14:07:10.69 & $-$00:47:26.31 & 1,800 &(b)\\\\\n    \\hline\\hline\n    \\multicolumn{5}{c}{Spectroscopically-Confirmed Galaxies}\\\\\n    \\hline\n    J1044$+$0353 & 10:44:57.80 & $+$03:53:13.30 & 900 & (c)\\\\\n    J1253$-$0312 & 12:53:05.97 & $-$03:12:58.49 & 600 & (d)\\\\\n    J1323$-$0132 & 13:23:47.46 & $-$01:32:51.94 & 1,800 & (e)\\\\\n    J1418$+$2102 & 14:18:51.13 & $+$21:02:40.02 & 1,200 & (f)\\\\\n    \\enddata\n    \\tablecomments{Columns: (1) ID. (2) R.A. in J2000. (3) Declination in J2000. (4) Total exposure time. (5) Reference. (a) \\cite{Kojima+20a}, (b) K. Nakajima et al. in preparation, (c) \\cite{Kniazev+03}, (d) \\cite{Kniazev+04}, (e) \\cite{Izotov+12}, and (f) \\cite{Sanchez-Almeida+16}.}\n\\end{deluxetable}\n\n\n\\section{Observations and Data Reduction}\n\\label{observations}\nWe carry out deep spectroscopy for 14 targets, 10 out of which are EMPG candidates from K20 and K. Nakajima et al. (in preparation).\nThe others, 4 targets, are spectroscopically-confirmed bright local dwarf galaxies taken from \\cite{Kniazev+03}, \\cite{Kniazev+04}, \\cite{Izotov+12}, and \\cite{Sanchez-Almeida+16}.\nOur targets are summarized in Table \\ref{tab:obsobj}.\n\n\\subsection{Observations}\nAll the targets were observed with the Magellan Echellette (MagE) spectrograph mounted on the Magellan Baade Telescope on 2021 February 9th (PI: M. Rauch). \nA $0''.70 \\times10''$ slit was used at the parallactic angle to avoid wavelength-dependent slit-losses.\nAlthough some targets have the feature of a bright clump on a diffused tail that is known as the tadpole morphology \\cite[e.g.,][]{Morales-Luis+11,SanchezAlmeida+13},\nthe observing program was aimed at exploring the bright clumps.\nThereofre, we placed the slit to cover the bright clumps.\nFor each target, we obtained 2-3 science frames with exposure times of $300-900$ seconds depending on the luminosity of the target.\nWe took Qh lamp and in-focus (out-of-focus) Xe flash frames as the flat-fielding data for red and blue (very blue) orders of spectra, respectively.\nThe standard stars, HD49798 and CD329927, were observed at the beginning and the end of the observing run, respectively.\nDuring the observations, the sky was clear with a typical seeing of $\\sim0''.6$.\n\n\\subsection{Data Reduction}\nWe reduce the MagE spectroscopic data with PypeIt \\citep{pypeit:joss_arXiv,pypeit:zenodo}, an open-source reduction package for spectroscopic data written in Python.\nOur data reduction basically follows standard procedures, including flat fielding, wavelength calibration, sky subtraction, cosmic ray removal, and extracting one-dimensional (1D) spectra. \nWe separately use two types of frames, the Qh lamp and Xe flash, for flat-fielding, and find no differences in the flat-fielded frames of 1D spectra in blue orders. \nHowever, Xe flash frames present broad emission line features in red orders. \nThus, we choose the flat-fielding results given with Qh lamp frames from blue to red orders.\n\nPypeIt does not fit a model of sky background correctly around bright extended emission lines (e.g. H$\\alpha$ and [{\\sc Oiii}]$\\lambda 5007$). \nGiven the fact that most emission lines we investigate do not overlap with strong skylines, we adopt flat sky background in pixels where strong emission lines exist and estimate the flux of sky background by averaging sky background in the nearby pixels.\nWe perform boxcar extraction using the sky subtracted 2D spectra.\nWe find no clear emission lines for J1011$+$0201.\nFor the other 13 targets, PypeIt successfully identifies the spatial position on each 2D spectrum that corresponds to the bright clump of the target, while the emission from the diffused tail is not clearly seen.\nAround the position identified by PypeIt, a spatial extraction width is manually selected to extract a 1D spectrum that well represents the bright clump.\nThe 1D spectra extracted from the different exposures of each target are combined via PypeIt using \\texttt{pypeit\\_coadd\\_1dspec}.\nThe coadded 1D spectra have a spectral resolution of $\\sim27.8~\\mathrm{km~s^{-1}}$ that is estimated from the unresolved emission lines of the lamp data (see Section \\ref{fitting1d}).\nFlux errors composed of read-out and photon noise are estimated and propagated to 1D spectra by PypeIt.\nOf the two standard stars, HD49798 and CD329927, we choose whichever was closer to each target in declination for flux calibration.\nWe also apply telluric corrections via PypeIt using \\texttt{pypeit\\_tellfit}.\n\n\\begin{figure}[ht!]\n    \\centering\n    \\includegraphics[width=\\linewidth]{SFR_M.pdf}\n    \\caption{Stellar masses and SFRs.\n    The red and black circles are our sample.\n    For the galaxies represented by red (black) circles, the emission lines have double-Gaussian (single-Gaussian) profiles.\n    The blue, cyan, green, and magenta symbols indicate galaxies at $z\\sim0, 1, 2$, and $5-6$ that we take from previous outflow studies.\n    For those we cannot obtain data for individual galaxies, parameter ranges are shown as rectangles.\n    The blue rectangle, diamonds, and crosses represent galaxies investigated by \\cite{Bruno+19}, \\cite{Perrotta+21}, and \\cite{McQuinn+19}, respectively, who use emission lines to study warm-phase outflows.\n    Note that \\cite{Bruno+19} and \\cite{Perrotta+21} conduct double-Gaussian profile fitting to the emission lines, while \\cite{McQuinn+19} uses single-Gaussian fitting.\n    The cyan and green rectangles represent galaxies studied by \\cite{Swinbank+19} and \\cite{Freeman+19}, respectively, who use stacked H$\\alpha$ emission.\n    The blue open triangles are z$\\sim$0 galaxies investigated by \\cite{Heckman+15} and \\cite{Heckman+16} using absorption line methods. \n    The blue, cyan, green, and magenta inverse triangles are taken from \\cite{Sugahara+17,Sugahara+19} who investigate galaxies at different redshifts with absorption line methods.\n    The grey lines indicate specific star formation rates of $\\log(\\mathrm{sSFR\/Gyr^{-1}})=(0, 1, 2, 3, 4)$.}\n    \\label{fig:sfr_m}\n\\end{figure}\n\n\\input{tab_sample.tex}\n\n\\section{Sample and spectroscopic data}\n\\label{sample}\nOur sample in this paper is composed of two sets of MagE spectra obtained in this study (Section \\ref{observations}) and K20.\nExploiting the high spectral resolution of MagE, we try to resolve spectral profiles of emission lines in our sample.\n\n\\subsection{Data from this Study}\nIn this study, ten EMPG candidates from K20 and K. Nakajima et al. (in preparation) are observed with MagE (Section \\ref{observations}). \nWe identify that nine targets out of the ten EMPG photometric candidates are galaxies with confirmed emission lines, while one object is a Galactic star. \nWe also investigate the MagE spectra of 4 bright spectroscopically-confirmed EMPGs (Section \\ref{observations}), and find that S\/Ns of their strong emission lines are sufficiently high.\nWe thus obtain 13 (=9+4) galaxies useful for our analysis.\n\n\\subsection{Data from K20}\nK20 conduct follow up spectroscopy for 8 EMPG candidates with MagE.\nAll 8 sources are confirmed as star-forming galaxies, and 2 out of the 8 sources are EMPGs with $12+\\log(\\mathrm{O\/H})<7.69$.\nThese 8 galaxies are useful for outflow studies in a low-mass regime because of their low stellar masses ($\\log [M_*\/M_\\odot] =5-7$) and active star formation. \nThe physical properties of these galaxies are taken from K20 and listed in Table \\ref{tab:sample}.\n\nFinally, we combine the K20 spectra (8 galaxies) with newly observed data (13 galaxies) and obtain a total of 21 (=8+13) galaxies for our sample as listed in Table \\ref{tab:sample}.\nIn Figure \\ref{fig:sfr_m}, we show the SFRs and stellar masses of our galaxies which are derived in Section \\ref{galaxy_property}.\nWe also include the galaxies investigated by several previous outflows studies.\nOur galaxies have high specific star formation rate ($\\mathrm{sSFR=SFR}\/M_*$) suggestive of active star formation that may lead to observable outflow signatures.\n\n\n\\begin{figure*}[ht!]\n\\includegraphics[width=\\textwidth]{profile_fitting1.pdf}\n\\caption{Spectra of H$\\alpha$ and [{\\sc Oiii}] lines with the best-fit profiles.\nWe only show the spectra for the galaxies that have double-Gaussian profiles in at least one of the H$\\alpha$ and [{\\sc Oiii}] lines.\nEach panel has two sub-panels presenting the emission lines (top) and the fitting residuals (bottom).\nIn the top panels, the black histograms indicate the observed spectra, while the blue- and red-solid lines are the best-fit double and single Gaussian profiles, respectively.\nThe red-dashed lines denote the individual narrow and broad components of the double-Gaussian profiles. \nThe flux densities are given in units of $10^{-17}\\mathrm{erg~s^{-1}~cm^{-2}~\\AA^{-1}}$.\nThe wavelengths are in rest frame.\nFor the panels with H$\\alpha$ lines, the nearby [{\\sc Nii}] lines are outside the wavelength range and have no effect on the fitting of the H$\\alpha$ lines.\nThe inset panels show the zoom-in of the spectra, the best-fit single Gaussian profiles, and the broad components.\nIn the bottom panels, we show fitting residuals normalized by 1$\\sigma$ flux errors, with the blue and red histograms for the single and double Gaussian profiles, respectively.\nThe shade regions indicate the $3\\sigma$ errors.}\n\\label{fig:fitting1}\n\\end{figure*}\n\n\\begin{figure*}[ht]\n\\includegraphics[width=\\textwidth]{profile_fitting2.pdf}\n\\caption{Figure \\ref{fig:fitting1} continued}\n\\label{fig:fitting2}\n\\end{figure*}\n\n\\begin{figure}[ht!]\n    \\centering\n    \\gridline{\n    \\fig{J2115-1734_Inst_Ha.pdf}{0.24\\textwidth}{}\n    \\fig{J2115-1734_Voigt_Ha.pdf}{0.24\\textwidth}{}\n    }\n    \\caption{\\textit{left}: Best-fit single-Gaussian profile. For the blue line, no instrumental broadening is taken into account, while for the red line, the instrumental profile is convoluted before fitting. \\textit{right}: Same as the left panel but now the red line includes the effect of natural broadening instead of instrumental broadening.}\n    \\label{fig:fitting_justification}\n\\end{figure}\n\n\\section{Analysis}\n\\label{analysis}\n\\subsection{Spectrum Fitting}\n\\label{fitting1d}\nWe investigate the line profiles of H$\\alpha$ and [{\\sc Oiii}]$\\lambda 5007$ emission lines, both of which have been used to investigate outflows driven by star-formation in previous studies \\citep[e.g.,][]{Cicone+16,Bruno+19}.\nThe K20 galaxies include 4 galaxies with saturated lines of [{\\sc Oiii}]$\\lambda 5007$ and\/or H$\\alpha$.\nIn such cases, assuming that the H$\\beta$ ([{\\sc Oiii}]$\\lambda 4959$) line have similar profiles as the H$\\alpha$ ([{\\sc Oiii}]$\\lambda 5007$) line, we investigate the profiles of the H$\\beta$ ([{\\sc Oiii}]$\\lambda 4959$) lines instead.\nWe investigate the profiles of H$\\alpha$ lines without considering the nearby [{\\sc Nii}]$\\lambda\\lambda6548,6583$ lines because the H$\\alpha$ lines are relatively narrow and clearly separated from the [{\\sc Nii}] lines.\nWe fit the emission lines with Gaussian profiles, using a customized non-linear least squares fitting routine with the package \\texttt{minpack.lm} in the R language.\nFor each Gaussian profile, there are four free parameters, the amplitude, line width ($\\sigma_\\mathrm{obs}$), line central wavelength, and one parameter for the flat continuum where the first three parameters define a Gaussian shape.\nWe do not fix the line central wavelengths to the systemic redshifts determined by multiple emission lines (Section \\ref{galaxy_property}), because some of the emission lines may have shifts from the systemic redshifts. \nBy looking at the fitting residuals, we find that the emission line profiles show broad wings and statistically-significant residuals over the best-fit Gaussian profiles for 14 out of the 21 galaxies which are presented in Figure \\ref{fig:fitting1} and \\ref{fig:fitting2}.\nFor the rest of 7 galaxies, we do not find significant broad wings.\n\nThe SNRs calculated within 3$\\sigma_\\mathrm{obs}$ around the central wavelengths are as high as $\\sim 1000$ (see Figure \\ref{fig:BN_SNR}).\nBecause the high SNRs may reveal complex structures, we need to consider the possibility that the broad wings presented in the emission lines originate from the instrumental broadening of MagE.\nWe identify several strong skylines and stack the skylines to approximate the instrumental profile, assuming that the instrumental profile does not depend on wavelength.\nWe follow the same procedure as the single-Gaussian fitting, except that we convolve the Gaussian profile with the instrumental profile before fitting the parameters.\nIn the left panel of Figure \\ref{fig:fitting_justification}, we show one example spectrum that is fitted by the single-Gaussian profile with and without instrumental broadening.\nWhether or not we take into account the instrumental broadening, the best-fit single-Gaussian profile shows broad wings and large residuals.\nWe thus conclude that the broad wings cannot be dominated by the instrumental profile.\n\nAnother possible origin of the broad wings is the intrinsic natural broadening of emission lines that has a Lorentzian profile.\nWe similarly fit the emission lines with the convolution of Gaussian and Lorentzian profiles, which is known as the Voigt profile.\nWe fix the line width of the Lorentzian profile as the typical value produced by the natural broadening of H$\\alpha$ that is $\\mathrm{FWHM}\\sim4.6\\times10^{-3}~\\mathrm{\\AA}$.\nAs shown in the right panel of Figure \\ref{fig:fitting_justification}, the best-fit single Gaussian profile with natural broadening cannot explain the broad wings.\nAlthough the pressure broadening from collision of atoms also has a Lorentzian profile, it is negligible in nebular gas.\n\nRuling out the possibilities of instrumental broadening and natural broadening, it is likely that the emission lines consist of multiple Gaussian components \\citep[e.g.,][]{Newman+12,Freeman+19}.\nWe conduct double-Gaussian profile fitting using a total of seven free parameters, the flat continuum and two sets of three Gaussian parameters, namely the amplitude, central wavelength, and line width.\nFrom the double-Gaussian profile fitting, we obtain two Gaussian profiles with different line widths.  \nWe refer to the narrower (broader) Gaussian profile as a narrow (broad) component.\nWe allow for a velocity difference ($\\Delta v$) between the central wavelengths of the narrow and broad components.\nIn the spectra shown in the top panels of Figures \\ref{fig:fitting1} and \\ref{fig:fitting2}, the narrow\/broad components and overall shapes of double-Gaussian profiles are overplotted with dashed and solid red lines, respectively.\nThe double-Gaussian profiles explain well the line shapes, leaving very small residuals. \nWe thus do not increase the number of components to three and beyond.\nFinally, we conclude that the line shapes of the 14 galaxies are well explained by the double-Gaussian profile.\nFor the following analysis, we assume that the broad components trace outflowing gas.\nIn Section \\ref{profile_discuss} we discuss alternative interpretations of the double-Gaussian profile and show that the broad components are most likely originated from outflows.\n\nTable \\ref{tab:line} presents the best-fit parameters of the double-Gaussian profiles. \nThe line widths listed in Table \\ref{tab:line} are not corrected for instrumental broadening.\nIn further analysis, we calculate the intrinsic-line widths by quadratically subtracting $\\sigma_\\mathrm{inst}$ from the $\\sigma_\\mathrm{n}$ and $\\sigma_\\mathrm{b}$ values in Table \\ref{tab:line}.\nFor our MagE spectra taken with the slit widths of $0.''7$, we evaluate $\\sigma_\\mathrm{inst}$ to be $27.8~\\mathrm{km~s^{-1}}$ in the same manner as K20 who use unresolved emission lines of the lamp data. \nFor the K20 spectra, we apply $\\sigma_\\mathrm{inst}$ values obtained by K20 that are $26.4$ and $33.3~\\mathrm{km~s^{-1}}$ for the slit widths of $0.''85$ and $1.''20$, respectively.\n\n\\subsection{Galaxy Properties}\n\\label{galaxy_property}\n\n\\input{tab_fitting}\n\n\\input{tab_photometry}\n\n\\input{tab_outflow}\n\nWe estimate the redshifts, dust extinction, stellar masses, stellar ages, and star-formation rates (SFRs) of the thirteen galaxies observed in our MagE run (Table \\ref{tab:obsobj}).\nFor galaxies taken from K20, we adopt these values estimated in K20.\nWe also estimate the circular velocities of all our galaxies for further analysis.\nDiscussions of galaxy properties will be presented in the forthcoming paper (K. Nakajima et al. in preparation).\n\nWe estimate redshifts, $z$, and color excesses, $E(B-V)$, in the same manner as K20.\nWe compare the observed central wavelengths of 4 strong emission lines (H$\\alpha$, H$\\beta$, [{\\sc Oiii}]$\\lambda 5007$, and [{\\sc Oiii}]$\\lambda 4959$) with the respective rest-frame wavelengths in air.\nColor excesses are calculated from the Balmer decrements of H$\\alpha$, H$\\beta$, H$\\gamma$, H$\\delta$, and H$\\varepsilon$ under the assumptions of the case B recombination and the dust attenuation curve of the Small Magellanic Cloud \\citep{SMC1,SMC2}.\n\nIn order to obtain the stellar masses and ages, we use the BayEsian Analysis of GaLaxy sEds (BEAGLE, v0.23.0; \\citeauthor{Chevallard+16} \\citeyear{Chevallard+16}) to fit photometry data acquired from Galaxy Evolution Explorer (GALEX; \\citealt{GALEX}), SDSS, and HSC (Table \\ref{tab:photometry}).\nFor the HSC photometry of $griz$, we use the HSC-SSP internal data of the latest S20A data release, and adopt ``cmodel\" photometry.\nFor the SDSS data ($ugriz$), we use the ``ModelMag\" photometry from the DR16 catalog \\citep{SDSS16}.\nThe $u$-band photometry of SDSS is also used for the HSC sources if available, where we assume the ($u-g$) color of SDSS and the $g$-band magnitude of HSC.\nFor the GALEX photometry of FUV and NUV bands, we choose the deepest images available for each of the sources from the MAST archive \\footnote{\\url{https:\/\/archive.stsci.edu\/}}, and obtain the total magnitudes using ``MAG\\_AUTO\" of SExtractor. \nWe do not use the GALEX photometry data for the three galaxies in our sample that are highly blended with nearby sources in the GALEX images.\nAll magnitudes are corrected for Galactic extinction based on the \\cite{milkyway_extinction}'s map as well as the extinction curve of \\cite{Cardelli+89}.\nThe results are listed in Table \\ref{tab:photometry}.\nBecause $g$- and $r$-band magnitudes include contribution from strong emission lines, we choose the spectral energy distribution (SED) templates of \\cite{Gutkin+16} that include nebular emission lines.\nWe adopt the \\cite{Chabrier+03} stellar initial mass function (IMF) with upper mass cutoffs $100~M_\\odot$.\nFor the fitting process, we assume a constant star-formation history and a dust extinction curve of \\cite{Charlot+00}.\nWe fit 5 free parameters with uniform prior distributions, the age of star-formation period ($4 < \\log[t\/\\mathrm{yr}] < 10$), stellar mass ($4 < \\log[M\/M_\\odot] < 9$), metallicity ($-2 < \\log[\\mathrm{Z\/Z_\\odot}] < 0$), nebular ionization parameter ($-3.0 < \\log\\mathrm{U} < -0.5$), and $V$-band attenuation optical depth ($0 < \\hat{\\tau}_V < 3$).\nThe redshifts are fixed to the values derived from the spectra, that are used to derive the distances of the galaxies during the fitting process.\nAfter we run the SED fitting, we take into account the peculiar motions of galaxies that affect the estimation of distances and stellar masses.\nAs our galaxies have low redshifts, we consider that the luminosity distances are proportional to $cz-v_\\mathrm{pec}$, where $c$ is the speed of light and $v_\\mathrm{pec}$ is the line-of-sight velocity of peculiar motion.\nFor each galaxy, we perform 1000 Monte-Carlo simulations of $v_\\mathrm{pec}$ in which the $1\\sigma$ error is $\\sim300~\\mathrm{km~s^{-1}}$ \\citep[e.g.,][]{Kessler+09}.\nWe then apply the correction factors of $(cz-v_\\mathrm{pec})^2\/(cz)^2$ to the posterior distribution of the stellar mass given by the SED fitting.\nWe combine the distributions obtained in the 1000 simulations and take the 16th, 50th, and 84th percentiles.\nFinally, we obtain estimates of stellar masses and stellar ages in the range of $\\sim10^{4.2}-10^{7.4}~M_\\odot$ and $\\sim10^{6}-10^{8.4}~\\mathrm{yr}$, respectively.\n\nWe estimate SFRs with the relation determined by \\cite{Kennicutt+98}, which assumes a Salpeter IMF:\n\\begin{equation}\n    \\mathrm{SFR}~[M_\\mathrm{\\odot}~\\mathrm{yr}^{-1}] = 7.9\\times10^{-42} L(H\\alpha)~ [\\mathrm{erg~s^{-1}}],\n    \\label{eq:sfr}\n\\end{equation}\nwhere $L(H\\alpha)$ is the intrinsic luminosity of H$\\alpha$ emission. \nTo calculate the intrinsic luminosities, we use the line fluxes that are estimated from the best-fit Gaussian profiles in Section \\ref{fitting1d}.\nThe distances are estimated from redshifts assuming a flat $\\Lambda$CDM cosmology.\nWe apply aperture correction and dust extinction correction to the line fluxes.\nFor aperture correction, we first extract $r$-band photometris from the 1D spectra using the python package \\texttt{speclite}.\nThe differences between the extracted photometries and those we list in Table \\ref{tab:photometry} are then used as the factors of aperture correction.\nFor the uncertainties of SFR, we combine the uncertainties of the flux measurements and those originated from galaxy peculiar motion, in a similar manner to the case of $M_*$.\nFinally, we divide the SFRs by 1.8 based on the Chabrier IMF \\citep[][]{Hsyu+18}.\nWe obtain $\\log(\\mathrm{SFR}\/M_\\odot~\\mathrm{yr}^{-1})\\sim-3.79-0.31$ for our sample.\nThe SFRs estimated from the SED fitting tend to be larger than those estimated from $L(H\\alpha)$ by $\\sim0.1-0.3$ dex.\nIn particular, the SED fitting overestimate the SFR of J1411$-$0032 by $\\sim3$ dex.\nBecause SFRs calculated with BEAGLE can be affected by various fitting parameters including the star-formation timescale, we adopt SFRs estimated from the dust-corrected H$\\alpha$ fluxes.\n\nTo estimate $v_\\mathrm{cir}$, we first convert the stellar mass to the mass of dark matter (DM) halo ($M_\\mathrm{h}$) with the $M_*-M_\\mathrm{h}$ relation for low-mass galaxies proposed by \\cite{Brook+14}:\n\\begin{equation}\n    M_*=\\left(\\frac{M_\\mathrm{h}}{79.6\\times10^6~\\mathrm{M}_\\odot}\\right)^{3.1},\n    \\label{eq:Mh}\n\\end{equation}\nwhere $M_\\mathrm{h}$ is the DM halo mass defined by an overdensity of $\\Delta_c=200$.\nThen we adopt the equations in \\cite{Mo&White+02} for $v_\\mathrm{cir}$:\n\\begin{equation}\n    v_\\mathrm{cir}=\\left(\\frac{GM_\\mathrm{h}}{r_\\mathrm{h}}\\right)^{1\/2},\n\\end{equation}\n\\begin{equation}\n    r_\\mathrm{h}=\\left(\\frac{GM_\\mathrm{h}}{100\\Omega_\\mathrm{m}H_0^2}\\right)^{1\/3}(1+z)^{-1},\n\\end{equation}\nwhere $r_\\mathrm{h}$ is the halo radius.\n\\cite{Prole+19} derive $M_\\mathrm{h}$ for galaxies with $M_*\\sim10^5-10^8~M_\\odot$ and find good agreement with the $M_*-M_\\mathrm{h}$ relation of Equation (\\ref{eq:Mh}).\nTo derive the uncertainties, we adopt the typical scatter of $\\Delta\\log(M_\\mathrm{h}\/M_\\odot)\\sim0.24$ calculated by \\cite{Prole+19} for the galaxies with $M_*\\sim10^6~M_\\odot$.\nThe uncertainties of $M_*$ and the typical scatter are propagated into the $M_\\mathrm{h}$ and $v_\\mathrm{cir}$ estimations.\n\nGalaxy properties are summarized in Table \\ref{tab:sample}.\n\n\\begin{figure*}[!htb]\n    \\centering\n    \\includegraphics[width=\\textwidth]{BN_grid.pdf}\n    \\caption{Broad-to-narrow flux ratio ($BNR$). \\textit{Bottom left}: $BNR$ as a function of $M_*$. The red filled and open circles are $BNR$ measured with the H$\\alpha$ and [{\\sc Oiii}] lines, respectively. \n    The green-filled and open squares are taken from \\cite{Freeman+19} who evaluate $BNR$ with the H$\\alpha$ and [{\\sc Oiii}] lines.\n    The blue diamonds are calculated from the H$\\alpha$ lines by \\cite{Perrotta+21}.\n    The cyan squares are calculated by \\cite{Swinbank+19} with stacked H$\\alpha$ spectra.\n    \\textit{Bottom right}: Same as the bottom left panel, but for SFR. \\textit{Top left}: Ratio between the $BNR$ from [{\\sc Oiii}] and H$\\alpha$ in log scale.}\n    \\label{fig:BN_mass_sfr}\n\\end{figure*}\n\n\\begin{figure}[!htb]\n    \\centering\n    \\includegraphics[width=\\linewidth]{BN_SNR.pdf}\n    \\caption{BNR as a function of the SNR of the emission lines. The symbols are the same as Figure \\ref{fig:BN_mass_sfr}.}\n    \\label{fig:BN_SNR}\n\\end{figure}\n\n\\begin{figure*}[!htb]\n    \\centering\n    \\includegraphics[width=\\textwidth]{vmax_grid.pdf}\n    \\caption{\n    Same as Figure \\ref{fig:BN_mass_sfr}, but for maximum outflow velocity ($v_\\mathrm{max}$).\n    The blue circles are taken from \\cite{Bruno+19}.\n    The other symbols are the same as Figure \\ref{fig:sfr_m}.}\n    \\label{fig:vmax_mass_sfr}\n\\end{figure*}\n\n\\section{Results}\n\\label{results}\nIn this study, we investigate ionized outflows with emission lines of [{\\sc Oiii}] and H$\\alpha$, following the procedures taken by previous studies \\citep[e.g.,][]{Concas+17,Freeman+19,Bruno+19}.\nHereafter we focus on the 14 out of 21 galaxies that have emission lines with double-Gaussian profiles.\nWe characterize outflows with our double-Gaussian profile fitting results, focusing on three properties:\n1) the flux ratio between the broad and narrow components ($BNR$), \n2) the velocity shift of the broad component relative to the narrow component ($\\Delta v$), \nand 3) the maximum outflow velocity ($v_\\mathrm{max}$).\nWe adopt the line-of-sight velocity in the direction of $\\Delta v$ as the maximum outflow velocity \\citep[][]{Veilleux05}:\n\\begin{equation}\n    v_\\mathrm{max}=|\\Delta v| + \\mathrm{FWHM_b}\/2,\n    \\label{eq:vmax}\n\\end{equation}\nwhere $\\mathrm{FWHM_b}$ is the intrinsic FWHM of the broad component. \nThe values of $\\mathrm{FWHM_b}$ are calculated from the observed line widths as discussed in Section \\ref{fitting1d}.\nThe outflow properties are listed in Table \\ref{tab:outflow}.\n\nWe find that 3 (5) out of 14 galaxies have $\\Delta v>0$ ($\\Delta v<0$) values at the $3\\sigma$ levels, indicating that the broad components are redshifted (blueshifted) from the narrow components. \nThe other 6 galaxies have $\\Delta v$ consistent with zero within the $3\\sigma$ errors.\nIf one assumes symmetric outflows in the line-of-sight direction, the broad component is usually blueshifted due to a strong dust attenuation in the red wing of emission line.\nThe redshifted broad components with $\\Delta v>0$ would therefore suggest that the respective galaxies may have an excess of outflowing gas towards positive redshift.\n\nWe obtain $BNR$ values from the H$\\alpha$ and [{\\sc Oiii}] lines that are referred to as $BNR_\\mathrm{H}$ and $BNR_\\mathrm{O}$, respectively. \nThe top panel of Figure \\ref{fig:BN_mass_sfr} shows the ratio of $BNR_\\mathrm{H}\/BNR_\\mathrm{O}$.\nWe find no significant differences between $BNR_\\mathrm{O}$ and $BNR_\\mathrm{H}$ due to the moderately large errors of $BNR$.\nThe results suggest that the broad components in the forbidden [{\\sc Oiii}] lines are as prominent as those in the H$\\alpha$ lines.\nBecause the [{\\sc Oiii}] emission cannot take place in dense environment, the broad components are unlikely originated from the rotation disks around massive objects, e.g., supermassive black holes (BHs, see Section \\ref{profile_discuss} for further discussions).\nThe bottom panels of Figure \\ref{fig:BN_mass_sfr} presents $BNR_\\mathrm{H}$ with filled-red circles and $BNR_\\mathrm{O}$ with open-black circles.\nFor both H$\\alpha$ and [{\\sc Oiii}] emission, we find large scatters of $BNR$ from $\\sim0.01$ to $\\sim1$.\nSimilar to the results of previous studies,\nwe find no clear correlation between $BNR$ and stellar mass (SFR) for our galaxies,\nas shown in the bottom left (right) panel of Figure \\ref{fig:BN_mass_sfr}.\nHowever, the mean values of $BNR_\\mathrm{H}$ and $BNR_\\mathrm{O}$ (0.31 and 0.21, respectively) are smaller than the values calculated by \\cite{Freeman+19}, 0.76 and 0.74.\nThe difference of redshifts may not be the reason of different $BNR$ values, because we find no difference of $BNR$ between $z\\sim0$ galaxies (\\citealt{Perrotta+21}, blue diamonds) and $z\\sim2$ galaxies (\\citealt{Freeman+19}, green squares).\nIt is possible that the weak broad components in our galaxies originate from weak outflows with small mass outflow rate.\nWe will come back to this in Section \\ref{eta}.\nAnother factor we need to consider is the close relation between BNR and the SNR of emission lines.\nWe show BNR as a function of the emission line SNRs in Figure \\ref{fig:BN_SNR}.\nThe SNRs of our data are significantly higher than those of \\cite{Freeman+19}, which allows us to detect low BNR values.\n\nWe also investigate the outflow velocities by obtaining $v_\\mathrm{max}$ values from the H$\\alpha$ and [{\\sc Oiii}] lines that are referred to as $v_\\mathrm{max,H}$ and $v_\\mathrm{max,O}$, respectively. \nIn the bottom panels of Figure \\ref{fig:vmax_mass_sfr}, we present the results and find positive dependence of $v_\\mathrm{max}$ on stellar masses and SFRs. \nThe majority of our galaxies have $v_\\mathrm{max,H}\\sim60-120~\\mathrm{km~s^{-1}}$ and $v_\\mathrm{max,O}\\sim60-140~\\mathrm{km~s^{-1}}$.\nJ2253$+$1116 has relatively fast outflows with $v_\\mathrm{max}\\sim200~\\mathrm{km~s^{-1}}$ in both H$\\alpha$ and [{\\sc Oiii}] lines. \nAnother interesting galaxy is J2310$-$0211 that has $v_\\mathrm{max}\\sim200~\\mathrm{km~s^{-1}}$ only in the [{\\sc Oiii}] line.\n\nSimilar to $BNR$, we investigate the difference of the H$\\alpha$ and [{\\sc Oiii}] lines in tracing outflow velocity, as shown in the top left panel of Figure \\ref{fig:vmax_mass_sfr}.\nFour galaxies show the $v_\\mathrm{max}$ values of the [{\\sc Oiii}] lines to be larger than those of the H$\\alpha$ lines.\nIn particular, J2253$+$1116 has $v_\\mathrm{max,O}\\sim2v_\\mathrm{max,H}$.\nPrevious studies also report differences between $v_\\mathrm{max,O}$ and $v_\\mathrm{max,H}$.\n\\cite{Cicone+16} find outflow velocities inferred from\nthe [{\\sc Oiii}] lines higher than those from the H$\\alpha$ lines for local star forming galaxies.\n\n\\section{Discussion}\n\\label{discussion}\n\n\\begin{figure}[t!]\n    \\centering\n    \\includegraphics[width=\\linewidth]{vmax_vcir.pdf}\n    \\caption{Maximum outflow velocity ($v_\\mathrm{max}$) as a function of circular velocity ($v_\\mathrm{cir}$). The symbols are the same as Figure \\ref{fig:vmax_mass_sfr}. The black line is the $v_\\mathrm{max}-v_\\mathrm{cir}$ relation given by \\cite{Muratov+15}. We shrink the red circles to avoid a busy plot.}\n    \\label{fig:outflow_vcir}\n\\end{figure}\n\n\\subsection{Scaling Relations of Outflow Velocity and Comparison with Previous Studies}\n\\label{discussion_vmax}\n\nOutflow velocities are known to scale with host galaxy properties including stellar masses and SFRs \\citep[e.g.,][]{Martin+05,Chisholm+15}.\nThis study explores the scaling relations down to $M_*\\sim10^5~M_\\odot$.\nIn the bottom panels of Figure \\ref{fig:vmax_mass_sfr}, \nwe show the correlations of $v_\\mathrm{max}$ with $M_*$ and SFR for our galaxies and galaxies investigated by previous studies.\nThe same definition of $v_\\mathrm{max}$ is adopted by \\cite{Bruno+19} and this study.\nFor galaxies taken from \\cite{Perrotta+21}, we calculate $v_\\mathrm{max}$ with Equation (\\ref{eq:vmax}).\n\\cite{Heckman+16} and \\cite{Sugahara+17,Sugahara+19} estimate $v_\\mathrm{max}$ with interstellar UV absorption lines.\nWe note that, between the outflow velocities measured by emission lines and absorption lines, a comparison is hard to make without knowing the precise velocity distribution in outflowing gas.\nWe mainly focus on the comparison with previous results that are derived from emission lines.\nMost galaxies investigated by previous studies and this study have high SFRs, suggested by the SFR-$M_*$ distribution in Figure \\ref{fig:sfr_m}.\n\nIn the bottom left panel of Figure \\ref{fig:vmax_mass_sfr}, \na positive correlation between the outflow velocity and the stellar mass is identified for our galaxies, with Spearman rank correlation coefficients of $\\rho\\sim0.60$ ($\\sim0.60$) and $p\\sim0.028$ ($\\sim0.026$) for the H$\\alpha$ ([{\\sc Oiii}]) lines.\nDown to $M_*\\sim10^5~M_\\odot$, we obtain outflow velocity as small as $\\sim40~\\mathrm{km~s^{-1}}$.\nIn comparison, massive galaxies of $M_*\\sim10^{11}~M_\\odot$ can host outflow as fast as $\\sim1000~\\mathrm{km~s^{-1}}$.\nThe positive correlation $v_\\mathrm{max}-M_*$ correlation for our sample is generally consistent with the finds of previous studies that use emission lines.\nOur galaxies also show a positive $v_\\mathrm{max}-$SFR correlation, as presented in the bottom right panel of Figure \\ref{fig:vmax_mass_sfr}.\nThe Spearman rank correlation coefficients are $\\rho\\sim0.71$ ($\\sim0.78$) and $p\\sim0.006$ ($\\sim0.002$) for the H$\\alpha$ ([{\\sc Oiii}]) lines.\n\\cite{Bruno+19} and \\cite{Perrotta+21} conclude no clear $v_\\mathrm{max}-$SFR correlation.\nCombining all the previous data, it is likely that a positive $v_\\mathrm{max}-SFR$ correlation exists over a large SFR range.\nInterestingly, our galaxies are offsetted from this correlation.\nOur galaxies have $v_\\mathrm{max}$ smaller than those obtained by \\cite{Bruno+19} by at least a factor of three, despite the same SFRs.\nWe thus conclude that the scaling relation between $v_\\mathrm{max}$ and SFR have large scatters due to different galaxy properties including stellar masses.\nThis result implies that SFR cannot be treated as the fundamental parameter of determining outflow velocity.\n\nMany studies have investigated the dependence of $v_\\mathrm{max}$ on the circular velocity of DM Halo.\n\\cite{Sugahara+19} discuss the key role of $v_\\mathrm{cir}$ in determining both the gravitational potential and star-forming activity over different redshifts.\nThey conclude that $v_\\mathrm{cir}$ is probably the fundamental parameter that determines outflow velocity.\nTheir results also agree well with the simulation results obtained by \\cite{Muratov+15}. \nIn Figure \\ref{fig:outflow_vcir}, we show the dependence of $v_\\mathrm{max}$ on $v_\\mathrm{cir}$ and find a positive correlation for our sample and the galaxies taken from \\cite{Bruno+19}, \\cite{Sugahara+17,Sugahara+19}, and \\cite{Heckman+16}.\nFor data taken from \\cite{Bruno+19} and \\cite{Heckman+16}, we convert the stellar masses to $v_\\mathrm{cir}$ following the procedures taken by \\cite{Sugahara+19}.\nThe solid line represents the simulation results of \\cite{Muratov+15}.\nAlthough \\cite{Muratov+15} use the 95th percentile outflow velocity at 25\\% of virial radius, the differences from definitions of the outflow velocity is within the scatter of observational results. \nIn this study, we extend the $v_\\mathrm{max}-v_\\mathrm{cir}$ relation in \\cite{Sugahara+19} and \\cite{Muratov+15} down to $v_\\mathrm{cir}\\sim10~\\mathrm{km~s^{-1}}$.\n\n\\subsection{Gas Escaping}\nOutflows are considered an important mechanism to eject gas into the IGM, especially for low-mass galaxies that have shallow gravitational potentials.\nWe estimate the escape velocity ($v_\\mathrm{esc}$) for our galaxies to examine whether the outflows are fast enough to escape from the gravitational potentials.\nAssuming that the DM halo is an isothermal sphere truncated at a radius $r_\\mathrm{max}$,\n$v_\\mathrm{esc}$ at the radius $r$ can be estimated from the circular velocity \\citep{Heckman+00}:\n\\begin{equation}\n    v_\\mathrm{esc}=v_\\mathrm{cir}\\{2[1+\\mathrm{ln}(r_\\mathrm{max}\/r)]\\}^{\\frac{1}{2}}.\n\\end{equation}\nThe value of $r_\\mathrm{max}$ is approximated by the halo radius calculated in Section \\ref{galaxy_property}.\nNote that the drag force is ignored in this estimation.\nThe escape velocity is not sensitive to the value of $r_\\mathrm{max}\/r$ in the range of $10-100$ \\citep{Veilleux05}.\nWe thus adopt $v_\\mathrm{esc}=3v_\\mathrm{cir}$, and obtain $v_\\mathrm{esc}\\sim60-130~\\mathrm{km~s^{-1}}$ for our galaxies as listed in Table \\ref{tab:outflow}.\n\n\\begin{figure}[t!]\n    \\centering\n    \\includegraphics[width=\\linewidth]{vesc_mass.pdf}\n    \\caption{$v_\\mathrm{max}\/v_\\mathrm{esc}$ as a function of stellar mass. The symbols are the same as Figure \\ref{fig:vmax_mass_sfr}.} \n    \\label{fig:vesc_mass}\n\\end{figure}\n\nIn Figure \\ref{fig:vesc_mass}, we show $v_\\mathrm{max}\/v_\\mathrm{esc}$ for our galaxies, where the 1$\\sigma$ errors are mainly from the scatter of the $M_*-M_\\mathrm{h}$ relation (Section \\ref{galaxy_property}).\nMost of our galaxies have $v_\\mathrm{max}\/v_\\mathrm{esc}$ slightly larger than unity.\nHowever, we cannot confirm or rule out the possibility for the outflowing gas to escape due to the large uncertainties.\nIn particular, J2253$+$1116 has $v_\\mathrm{max}\/v_\\mathrm{esc}\\sim3$, which is significantly larger than unity.\nGiven that the H$\\alpha$ line in J2253$+$1116 has relatively weak broad components, deeper observations are needed to reveal the fate of outflowing gas in this galaxy.\n\n\\cite{Bruno+19} and \\cite{Arribas+14} also show $v_\\mathrm{max}\/v_\\mathrm{esc}$ as a function of stellar mass and find that galaxies with smaller stellar masses are more likely to have $v_\\mathrm{max}\/v_\\mathrm{esc}>1$.\nBy comparing our results with previous ones with emission lines in Figure \\ref{fig:vesc_mass},\nwe do not find a increasing trend of $v_\\mathrm{max}\/v_\\mathrm{esc}$ below $\\sim 10^8~M_\\odot$.\nOne the other hand, \\cite{Heckman+16} find galaxies with extreme outflows that are fast enough to escape over a large range of stellar masses.\nIn Figure \\ref{fig:vesc_mass}, most galaxies taken from \\cite{Heckman+16} have $v_\\mathrm{max}\/v_\\mathrm{esc}>1$.\nOne galaxy with $M_*\\sim 10^7~M_\\odot$, Haro 3, shows $v_\\mathrm{max}\/v_\\mathrm{esc}\\sim3$ similar to J2253$+$1116.\nDespite the differences of $v_\\mathrm{max}$ definitions, there likely exist outflows with velocity fast enough to escape in low-mass regime.\n\nWe note that ten out of the sixteen galaxies show diffuse tails on the HSC\/SDSS images.\nThis tadpole geometry is commonly seen in local low-mass star-forming galaxies \\citep[][]{Morales-Luis+11}.\nThe diffuse tails can be ten times as massive as the respective galaxies, which is suggested by \\cite{Isobe+21}, who estimate the stellar masses of the diffuse tails of J1142$-$0038 and J2314$+$0154.\nIf our galaxies reside in the same DM halos as the diffuse tails, the halo mass and escape velocity may be underestimated.\nRe-calculating escape velocities with stellar masses ten times of the original values, we find that the escape velocities would be $\\approx30$ percent larger than the values shown in Table \\ref{tab:outflow}.\nWith these escape velocities, the majority of our galaxies would have $v_\\mathrm{max}\/v_\\mathrm{esc}\\lesssim1$.\nThe conclusion is unchanged given the large uncertainties of $v_\\mathrm{esc}$.\nFurther investigations on the dynamics of low-mass galaxies will be helpful to better constrain the escape of gas.\n\n\\begin{figure*}[t]\n\\centering\n\\includegraphics[width=0.75\\textwidth]{eta_vcir.pdf}\n\\caption{Mass loading factor ($\\eta$) and its dependence on $v_\\mathrm{cir}$. \nWe estimate $\\eta$ with fiducial parameters and extreme parameters, shown as the open and close solid circles, respectively, (see text). The solid line in the left-bottom corner indicates the typical error of $v_\\mathrm{cir}$ for our galaxies. We include the predictions of two `zoom' simulations \\citep[][]{Muratov+15,Christensen+18} and the prescription used at injection by IllustrisTNG \\citep[e.g.,][]{Pillepich+18,Nelson+19}.} The other symbols are the same as those in Figure \\ref{fig:BN_mass_sfr} and \\ref{fig:vmax_mass_sfr}.\n\\label{fig:eta_vcir}\n\\end{figure*}\n\n\\subsection{Mass Outflow and Implications for Feedback}\n\\label{eta}\nThe ratio of outflow mass loss rate ($\\dot{M}_\\mathrm{out}$) to star-formation rate\nis referred to as the mass-loading factor ($\\eta$):\n\\begin{equation}\n\\label{eq:eta}\n    \\eta = \\frac{\\dot{M}_\\mathrm{out}}{\\mathrm{SFR}}.\n\\end{equation}\nThis quantity is widely used by observations \\citep[e.g.,][]{Heckman+15,Freeman+19,Sugahara+17} and simulation studies \\citep[e.g.,][]{Muratov+15}.\nFollowing the procedures taken by \\cite{Newman+12} and \\cite{Freeman+19}, we calculate the mass of outflowing gas using the equation:\n\\begin{equation}\n\\label{eq:Mout}\n    M_\\mathrm{out}=\\frac{1.36m_\\mathrm{p}\n    L_\\mathrm{H\\alpha,b}}{\\gamma_\\mathrm{H\\alpha}n_\\mathrm{e}},\n\\end{equation}\nwhere $L_\\mathrm{H\\alpha,b}$ is the extinction-corrected H$\\alpha$ luminosity of the broad component.\nThe quantity $m_\\mathrm{p}$ is the atomic mass of hydrogen and $n_\\mathrm{e}$ is the electron density in the outflowing gas.\nFor the volume emissivity of H$\\alpha$ ($\\gamma_\\mathrm{H\\alpha}$), we use $\\gamma_\\mathrm{H\\alpha}=3.56\\times10^{-25}~\\mathrm{erg~cm^{-3}~s^{-1}}$, assuming the case B recombination and an electron temperature of $T_\\mathrm{e}=10^4~\\mathrm{K}$.\n\nWe assume that the outflowing gas moves in a solid angle $\\Omega$ with a radially constant velocity $v_\\mathrm{max}$ and calculate the mass outflow rate with:\n\\begin{equation}\n\\label{eq:dotMout}\n    \\dot{M}_\\mathrm{out}=M_\\mathrm{out}\\frac{v_\\mathrm{max}}{r_\\mathrm{out}},\n\\end{equation}\nwhere $r_\\mathrm{out}$ is the radial extent of outflow.\nCombining Equations (\\ref{eq:eta})-(\\ref{eq:dotMout}) and adopting Equation (\\ref{eq:sfr}) for SFR, \nwe obtain the following calculation for $\\eta$:\n\\begin{align}\n    \\eta\n    &\\approx0.75\\left(\\frac{v_\\mathrm{max}}{n_\\mathrm{e}r_\\mathrm{out}}\\right)\n    \\left(\\frac{L_\\mathrm{H\\alpha,b}}{L_\\mathrm{H\\alpha,b}+L_\\mathrm{H\\alpha,n}}\\right) \\\\\n    &\\approx0.75\\left(\\frac{v_\\mathrm{max}}{n_\\mathrm{e}r_\\mathrm{out}}\\right)\n    \\left(\\frac{BNR}{1+BNR}\\right),\n\\label{eq:eta_final}\n\\end{align}\nwhere $L_\\mathrm{H\\alpha,n}$ is the extinction-corrected H$\\alpha$ luminosity of the narrow component.\nThe units of $v_\\mathrm{max}$, $n_\\mathrm{e}$, and $r_\\mathrm{out}$ are $\\mathrm{km~s^{-1}}$, $\\mathrm{cm^{-3}}$, and $\\mathrm{kpc}$, respectively.\nIn Equation (\\ref{eq:eta_final}), assuming that the emission of narrow and broad components have the same dust attenuation, we approximate the ratio of extinction-corrected luminosity using the flux ratio (BNR) of the H$\\alpha$ line.\nWe note that we do not multiply Equation (\\ref{eq:eta_final}) by a factor of two as in \\cite{Newman+12} because we do not find that the the red wings of our broad components are significantly obscured.\nSimilar to previous studies, our measurements of $\\eta$ are subject to the large uncertainties given by the estimation of $n_\\mathrm{e}$ and $r_\\mathrm{out}$.\nTherefore we present two estimations of $\\eta$: fiducial values calculated with $r_\\mathrm{out}$ and $n_\\mathrm{e}$ that our low-mass galaxies likely have,\nand maximum values ($\\eta_\\mathrm{max}$) calculated with small $r_\\mathrm{out}$ and $n_\\mathrm{e}$ that produce relatively large $\\eta$ in extreme cases.\n\nElectron density of the outflowing gas can be estimated if emission line doublets like [{\\sc Oii}]$\\lambda\\lambda3727,3729$ and [{\\sc Sii}]$\\lambda\\lambda6716,6731$ are decomposed into narrow and broad components, where broad components originate from outflows.\n\\cite{Arribas+14} and \\cite{Bruno+19} obtain median values of\n$n_\\mathrm{e}\\sim315~\\mathrm{cm}^{-3}$ and $302~\\mathrm{cm}^{-3}$, respectively, for the broad components of [{\\sc Sii}] doublets.\nBoth of \\cite{Arribas+14} and \\cite{Bruno+19} find that electron densities measured from the broad components are larger than those from the narrow components.\nThere are two models of outflowing gas proposed by previous studies \\citep[e.g.,][]{Genzel+11,Newman+12}, \none of which can explain the observational results of \\cite{Arribas+14} and \\cite{Bruno+19},\nassuming that outflowing gas forms compact clouds and retains relatively high local electron density.\nHowever, electron density decreases with radius in the other model that assumes outflowing gas filling the entire volume of outflow cone.\nIn this study, we do not have enough SNRs to measure the line ratios of the broad components in [{\\sc Oii}] and [{\\sc Sii}] doublets, \nwhile the systemic values of electron density can be measured from [{\\sc Oii}] doublets with single-Gaussian fitting.\nWe therefore adopt the systemic values as the fiducial values of $n_\\mathrm{e}$ in Equation (\\ref{eq:eta_final}), given that we do not know which model better explains the outflowing gas in our galaxies.\nFor galaxies without measurements of electron density, we assume a typical value of $100~\\mathrm{cm^{-3}}$.\nWe use $n_\\mathrm{e}\\sim10~\\mathrm{cm^{-3}}$ to evaluate $\\eta_\\mathrm{max}$.\n\nThe value of $r_\\mathrm{out}$ could be the main source of uncertainties in the estimation of $\\eta$ using the emission line method.\nThe observational measurements of $r_\\mathrm{out}$ is difficult and sensitive to the assumption of outflow geometry.\n\\cite{McQuinn+19} measure the extent of the H$\\alpha$ emission in local dwarf galaxies with narrow band images.\nResults of \\cite{McQuinn+19} show that the diffused ionized gas reach the projected distances of $\\sim1-5~\\mathrm{kpc}$, that are $\\sim2-3$ times the radius of the H{\\sc i} disk.\nThey estimate $\\eta$ based on the amount of gas that pass through a thin shell whose thickness is equivalent to our definition of $r_\\mathrm{out}$. \n\\cite{Newman+12} utilize the integral field spectra of a $z\\sim2$ clumpy star-forming galaxy and approximate $r_\\mathrm{out}$ with the radius of the star-forming clumps.\nIn their case, the mass of outflowing gas is calculated from the flux of the broad emission line components.\nMotivated by the method of \\cite{Newman+12}, we adopt the effective radius ($r_\\mathrm{e}$) as the our estimations for $r_\\mathrm{out}$.\nFor 15 galaxies selected by the EMPRESS project, \\cite{Isobe+21} obtain $r_\\mathrm{e}\\sim40-2500~\\mathrm{pc}$ and find a size-mass relation similar to the $z\\sim0$ star-forming galaxies in \\cite{Shibuya+15}.\nWe adopt the median (minimum) value of $r_\\mathrm{e}\\sim150~\\mathrm{pc}$ ($40~\\mathrm{pc}$) as the fiducial (extreme) \n$r_\\mathrm{out}$ values for the 14 galaxies in this paper.\nThe values of $r_\\mathrm{e}$ measured by \\cite{Isobe+21} has a standard deviation of $\\sim600~\\mathrm{pc}$, which is larger than the range of $r_\\mathrm{e}$ given by the size-mass relation between $M_*\\sim10^5-10^7~M_\\odot$.\nTherefore, we cannot improve $r_\\mathrm{e}$ estimations by applying the size-mass relation.\nBecause we discuss the uncertainties originated from $r_\\mathrm{out}$ by calculating $\\eta$ and $\\eta_\\mathrm{max}$, we apply the same $r_\\mathrm{out}$ value for all galaxies.\n\nEquation (\\ref{eq:dotMout}) is applicable for expanding shells or spheres as pointed out in \\cite{Olmo-Garcia+17}, if an appropriate extent of outflows is chosen.\nIt is also used in studies that assume biconical outflows.\nHere we test different geometries of outflows by evaluating $r_\\mathrm{out}$ assuming a sphere filled with ionized gas that has a density of $1.36m_\\mathrm{p}n_\\mathrm{e}$:\n\\begin{equation}\n    r_\\mathrm{out,sphere}=\\left(\\frac{3}{4\\pi}\\frac{M_\\mathrm{out}}{1.36m_\\mathrm{p}n_\\mathrm{e}}\\right)^{1\/3}.\n    \\label{eq:rout_sphere}\n\\end{equation}\nWe obtain $r_\\mathrm{out,sphere}\\sim10-80~\\mathrm{pc}$ combining Equations (\\ref{eq:Mout}) and (\\ref{eq:rout_sphere}).\nOur choice of the fiducial and extreme values of $r_\\mathrm{out}$ are of the same order as $r_\\mathrm{out,sphere}$.\nIf the outflowing gas moves as an expanding shell, the extent of outflows would be smaller as the radius of the shell increases ($r_\\mathrm{out} < r_\\mathrm{out,sphere}$).\nHowever, if the outflowing gas has a clumpy structure or a non-spherical geometry (e.g., biconical outflows), an extent larger than $r_\\mathrm{out,sphere}$ needs to be assumed ($r_\\mathrm{out} > r_\\mathrm{out,sphere}$).\nWe show in Section \\ref{profile_discuss} that the broad components are likely originated from a spherical or conical structure filled by ionized gas instead of a thin shell.\nTherefore, outflows in our galaxies are probably characterized by our choice of $r_\\mathrm{out}$.\n\nFinally, we obtain $\\eta$ ($\\eta_\\mathrm{max}$) values of $0.21-2.18$ ($4.78-131.39$) with a median value of $0.43$ ($17.09$).\nWe present the results in Table \\ref{tab:outflow}, and show $\\eta$ and $\\eta_\\mathrm{max}$ as a function of $v_\\mathrm{cir}$ in Figure \\ref{fig:eta_vcir}.\nGalaxies taken from \\cite{Heckman+15}, \\cite{Freeman+19}, \\cite{McQuinn+19}, \\cite{Sugahara+17}, and \\cite{Swinbank+19} are compared in Figure \\ref{fig:eta_vcir}.\nWe estimate the value of $v_\\mathrm{cir}$ from halo mass as explained in Section \\ref{discussion_vmax}.\n\\cite{McQuinn+19} investigate $\\eta$ as a function of $v_\\mathrm{cir}$ that is defined for the H{\\sc i} region. \nTo make a consistent comparison, here we use the stellar masses of their galaxies to evaluate $v_\\mathrm{cir}$ that correspond to circular velocity on the virial radius of dark matter halo.\nOur estimations of $\\eta$ are comparable with those of high mass galaxies with $v_\\mathrm{cir}\\sim50-300~\\mathrm{km~s^{-1}}$ within one order of magnitude.\n\nThe black dashed lines in Figure \\ref{fig:eta_vcir} are the predictions of the Feedback in Realistic Galaxies (FIRE) simulations conducted by \\cite{Muratov+15}, who find a boundary of $v_\\mathrm{cir}=60~\\mathrm{km~s^{-1}}$ below which $\\eta$ increase steeply towards small $v_\\mathrm{cir}$ ($\\eta\\propto v_\\mathrm{cir}^{-3.2}$).\nThe steep slope below $v_\\mathrm{cir}=60~\\mathrm{km~s^{-1}}$ is originated from the simulation results of low-mass galaxies.\nAmong the $z\\sim0$ simulations in \\cite{Muratov+15}, the least massive halo with $v_\\mathrm{cir}\\sim33~\\mathrm{km~s^{-1}}$ has $\\eta\\sim45$.\n\\cite{Christensen+18} also explore low-mass galaxies with `zoom' simulations and predict a $\\eta\\propto v_\\mathrm{cir}^{-2.2}$ relation as shown with the black solid line in Figure \\ref{fig:eta_vcir}.\nThe slope of $-2.2$ given by \\cite{Christensen+18} is close to the slope of $-2$ for energy-driven outflows but flatter than the one predicted by \\cite{Muratov+15}.\nAlthough our galaxies reside in the regime of energy-driven outflows, \nour estimation of $\\eta$ is smaller than the predictions of \\cite{Muratov+15} and \\cite{Christensen+18}.\nFor $\\eta_\\mathrm{max}$ that is calculated with extreme parameters, our results are consistent with the predictions of \\cite{Christensen+18} but still smaller than those of \\cite{Muratov+15}.\nOne exception is J1253$-$0312 that has $\\eta_\\mathrm{max}\\sim131.39$, suggesting strong feedback.\nHowever, we emphasize the choice of $r_\\mathrm{out}\\sim40~\\mathrm{pc}$ and $n_\\mathrm{e}\\sim10~\\mathrm{cm^{-3}}$ is extremely low, especially for J1253$-$0312 that has the largest stellar mass in our galaxies.\nIn other words, even in the case that outflows have $v_\\mathrm{max}\\sim150~\\mathrm{km~s^{-1}}$ and BNR$\\sim2$, we still need to assume concentrated geometry and low electron density to produce large $\\eta$.\nOn the other hand, the fiducial $\\eta$ values are significantly below the simulation predictions, possibly suggestive of the feedback being weak in our galaxies.\nAs discussed in Section \\ref{results}, the detection of weak outflows is possible because our spectra have sufficiently high SNRs.\nWe also compare our results with the prescription used by The Next Generation Illustris \\citep[IllustrisTNG,][]{Pillepich+18}.\nIn the low-mass regime, IllustrisTNG assumes a minimum wind velocity at injection and adopts a maximum mass loading factor that is larger than our estimations.\nHowever, the outflows in low-mass regime are still unexplored by large-volume simulations like TNG50 \\citep[][]{Nelson+19}.\nTherefore, adopting a prescription with weak feedback ($\\eta\\sim1$) is potentially interesting for future simulations that resolve low-mass galaxies.\n\nWe note that different phases of outflowing gas are used by simulations and our methods in the calculation of $\\eta$.\nThe H$\\alpha$ and [{\\sc Oiii}] emission is originated from the warm gas.\nTherefore the $\\eta$ values derived from emission line methods are usually treated as lower limits \\citep{Newman+12} because a significant fraction of outflowing mass can be in cold atomic or molecular phase that is not detected with the emission line methods.\nSimulations including \\cite{Muratov+15}, on the other hand, usually include gas in all phases.\nFor our galaxies, active star formation may produce strong ionization radiation that ionizes most of the diffused gas.\nWith MUSE observations, \\cite{Bik+18} find a largely extended H$\\alpha$ halo around a low-mass galaxies, ESO 338, that has similar properties to our galaxies,\nsuggestive that the most gas is in warm ionized phase with the strong ionization radiation from the center.\nFor another similar galaxy, Haro 11, observed with MUSE, \n\\cite{Menacho+19} find that the neutral atomic gas mass is one-third of the ionized gas mass, while the molecular gas mass could be comparable to the ionized gas.\nIt is likely that the mass contribution from cold phase outflows are relatively small compared to warm phase outflows in local compact star-forming galaxies.\nIf we adopt the mass ratio in \\cite{Menacho+19},\nincluding the cold-phase outflows may only increase our $\\eta$ estimations by a factor of two, which does not impact our conclusions.\n\n\\subsection{Other Interpretations of the Broad Components}\n\\label{profile_discuss}\n\n\\begin{figure}[t!]\n\\centering\n\\includegraphics[width=\\linewidth]{BPT.pdf}\n\\caption{BPT diagnostics diagram. The small red dots are derived from the narrow components of the emission lines, while the red circles from the broad components. In particular, the [{\\sc Nii}]$\\lambda6583$ lines are not fit with the double-Gaussian profile, therefore the total fluxes are used, see text. The solid and dashed lines are taken from \\cite{Kewley+01} and \\cite{Kauffmann+03}, respectively.}\n\\label{fig:BPT}\n\\end{figure}\n\nProfile fitting with multiple components is commonly used to probe outflows.\nHowever, alternative interpretations of the secondary components can be proposed \\citep[e.g.,][]{Olmo-Garcia+17, Freeman+19}. \nHere we discuss different possibilities that are rotation of galaxies, accretion disks around massive objects (e.g., BHs), gas inflows, and expanding bubbles.\n\nIn this study, we successfully decompose the emission lines with double-Gaussian profiles, showing not only the existence of two components, but also clear deviation between the line widths of the two components, with $\\sigma_\\mathrm{b}-\\sigma_\\mathrm{n} \\sim20-100~\\mathrm{km~s^{-1}}$.\nAccording to the Tully-Fisher relation \\citep[][]{TF}, galaxies with $M_*\\sim10^6-10^7~M_\\odot$ are characterized by rotation velocities of $\\lesssim30~\\mathrm{km~s^{-1}}$, while we obtain $\\mathrm{FWHM_b}\\gtrsim100~\\mathrm{km~s^{-1}}$.\nEven we assume that the gas contributes to 99\\% of the baryonic mass and refer to the baryonic Tully-Fisher relation \\citep[][]{McGaugh+00}, the typical rotation velocity for a galaxy with a baryonic disk mass of $\\sim10^9~M_\\odot$ is $\\lesssim100~\\mathrm{km~s^{-1}}$.\nTherefore, the broad components most likely represent gas components with relatively high velocities (e.g., outflows) that are distinctive from the rotation of galaxies.\n\nThe accretion disk around massive objects can produce broad emission lines.\nIn our galaxies, the fluxes from the broad components are of the same order of magnitude as those from the narrow components ($BNR\\sim0.3$).\nThe broad line region (BLR) around a supermassive BH can emit strong emission lines that are broadened by the rotational motion of the accretion disk, with $\\mathrm{FWHM}\\gtrsim1000~\\mathrm{km~s^{-1}}$.\nHowever, the FWHMs of the broad components in this study are significantly smaller than those found in BLRs.\nThe BLRs and the accretion disks are also known to have high densities, which results in the absence of forbidden lines.\nAs we pointed out in Section \\ref{results}, the prominent broad components in the [{\\sc Oiii}] are only produced in ionized gas with low density.\nTherefore, the broad components found in this study do not characterize BLRs.\n\nWe further check the excitation states for the gas traced with different components using the well-known BPT diagnostic diagram.\nWe conduct double-Gaussian fitting to the H$\\beta$ lines following the procedures in Section \\ref{fitting1d}.\nFor 13 out of the 14 galaxies, we successfully obtain best-fit double-Gaussian profiles and derive the line fluxes for the narrow and broad components.\nFor J1418$+$2102 whose H$\\beta$ line is too faint, we use single-Gaussian fitting and derive the line fluxes of the narrow and broad components adopting the $BNR$ value of the H$\\alpha$ line.\nThe [{\\sc Nii}]$\\lambda6583$ lines are too faint to be reliably fitted with the double-Gaussian profiles, therefore we only use the the line fluxes derived from the best-fit single-Gaussian profiles.\nIn other words, we derive the upper limits of [{\\sc Nii}]\/H$\\alpha$, assuming one single component contributes to all the [{\\sc Nii}] emission.\nIn Figure \\ref{fig:BPT}, we show the BPT diagram for the narrow and broad components.\nExcept for J1253$-$0312, narrow components for 13 out of the 14 galaxies fall in the region of star-forming galaxy.\nFor the broad components, 12 out of the 14 galaxies locate in the region of star-forming galaxy or close to the classification line \\citep[][]{Kewley+01}.\nThe other two objects J2253$+$1116\nand J1401$-$0040 \nare offset from the star-forming region, indicating possible excitation from active galactic nuclei (AGN) or fast radiative shock.\nWe note again that the [{\\sc Nii}]\/H$\\alpha$ of the broad components are uppler limits, that can be lowered by a factor of $\\sim3$ if we adopt a typical value of $BNR=0.3$.\nTherefore, there is no clear evidence showing the connection between the broad components and AGNs.\nSimilarly, the possibility of inflows can be ruled out given that the gas is highly ionized ([{\\sc Oiii}]\/H$\\beta > 1$), while the inflow is expected to be composed of cold gas.\n\nAn expanding bubble is produced when sufficient energy or momentum is injected into the ISM. \nWhen the expanding bubble reaches the disk scale, the bubble breaks up and possibly create outflows with a conical geometry.\nBy observations, most ionized outflowing gas moves as a thin shell or along the walls of conical structures \\citep[see][and references therein]{Veilleux05}.\nIn the case of the expanding bubble, an optically thin, symmetric thin shell, would produce emission lines with a top-hat profile \\citep[e.g.,][]{Cid+94}.\n\\cite{Olmo-Garcia+17} observe ``double-horn'' structures in the line profiles that are pairs of secondary components on both sides of the emission lines.\nThey discuss different origins of emission line profiles and conclude that the ``double-horn'' structure likely emerges from a shell with dust extinction.\nIn our case, the broad wings of an emission line cannot be explained by the ``double-horn'' structure but one broad component with a Gaussian shape.\nThe inner part of a Gaussian shape represents the gas with small line-of-sight velocities.\nTherefore, the Gaussian shape indicates that the gas has a range of velocities, which favors the explanation that outflowing gas is moving at different radii instead of on one thin shell.\nTherefore, a thin shell structure is unlikely for the broad components we detect, while either a spherical or conical morphology can be adopted in our analysis.\n\n\\section{Summary}\n\\label{summary}\nWe analyze the profiles of the H$\\alpha$ and [{\\sc Oiii}] emission lines in 21 nearby low-mass galaxies\nwith masses of $M_*\\sim10^4-10^7~M_\\odot$.\nSpectra of thirteen galaxies were newly taken with Magellan\/MagE.\nWe find evidence for warm ionized gas outflows in 14 out of the 21 galaxies, and study the outflow properties in the low-mass regime.\nOur findings are summarized below.\n\n\\begin{enumerate}\n    \\item For our galaxies, we do not find a clear correlation between $BNR$ and $M_*$ (SFR). However, we obtain mean values of $BNR\\sim0.31$ and 0.21 for the H$\\alpha$ and [{\\sc Oiii}] lines, respectively, that are generally smaller than those of massive galaxies.\n    The relatively high SNR of our spectra may allow us to detect the smaller $BNR$ values characteristic of weaker outflows.\n    \\item We find strong evidence of smaller $v_\\mathrm{max}$ towards lower $M_*$ and SFR.\n    Combing our sample with existing data from previous studies, we confirm a positive correlation between $v_\\mathrm{max}$ and SFR, but find a large scatter of $v_\\mathrm{max}$ for a given SFR.\n    We also explore the $v_\\mathrm{max}-v_\\mathrm{cir}$ relation below $v_\\mathrm{cir}\\sim30~\\mathrm{km~s^{-1}}$, showing consistent results with previous observations for massive galaxies \\citep[e.g.,][]{Sugahara+19} and the predictions from the simulations by \\cite{Muratov+15}.\n    \\item We investigate whether the outflowing gas is fast enough to escape from the galaxies by estimating the escape velocities. However, we cannot conclude whether the outflowing gas can escape in most of our galaxies due to the large uncertainties given by $v_\\mathrm{esc}$ estimation.\n    \\item We evaluate the fiducial values of mass-loading factors $\\eta$ with estimated $n_\\mathrm{e}$ and $r_\\mathrm{out}$.\n    We also provide maximum $\\eta$ values with extreme parameters.\n    Our results point to relatively weak stellar feedback in our galaxies.\n    Even if we choose extreme parameters, we find $\\eta$ values are generally smaller than those predicted by simulations of low-mass galaxies. \n\\end{enumerate}\n\n\\begin{acknowledgements}\nWe thank the anonymous referee for constructive comments and suggestions.\nWe are grateful to Kazuhiro Shimasaku, Ricardo O. Amor\\'{i}n, Xinfeng Xu, Alejandro Lumbreras-Calle, Dylan Nelson for their useful comments and discussions. \n\nThis work is supported by the World Premier International\nResearch Center Initiative (WPI Initiative), MEXT, Japan, as\nwell as KAKENHI Grant-in-Aid for Scientific Research (A)\n(20H00180 and 21H04467) through the Japan\nSociety for the Promotion of Science (JSPS).\nThis work is supported by the joint research program of the Institute for Cosmic Ray Research (ICRR), the University of Tokyo.\n\nThis paper includes data gathered with the 6.5 m Magellan Telescopes located at Las Campanas Observatory, Chile. We are grateful to the observatory personnel for help with the observations.\n\\end{acknowledgements}\n\n\n\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction and main results}\nLiouville conformal field theory (LCFT) is a family of conformal field theories which arises in a wide variety of contexts ranging form random planar maps to 4d gauge theory. It was introduced by Polyakov in 1981 \\cite{Pol} in his attempt to construct string theory; in this paper, LCFT appears under the form of a 2d version of a Feynman path integral. Recently, in a series of works, a rigorous probabilistic construction of the path integral was provided using the theory of the Gaussian Free Field and the theory of Gaussian multiplicative chaos: see \\cite{DKRV} for the sphere, \\cite{DRV} for the torus and \\cite{GRV} for higher genus surfaces. In this theory, the main objects are the correlation functions of fields $V_\\alpha$, denoted $\\langle V_{\\alpha_1}(z_1)\\dots V_{\\alpha_m}(z_m)\\rangle_{(\\Sigma,g)}$, associated to $m$ marked points $z_1,\\dots,z_m$ on a closed Riemannian surface $(\\Sigma,g)$. \nA general formalism, called \\emph{conformal bootstrap} in physics by Belavin-Polyakov-Zamolodchikov \\cite{BPZ}, was developed in order to find explicit formulas for these correlation functions in terms of the $3$-point function on the sphere $\\mathbb{S}^2$ and the so-called \\emph{conformal blocks}, which are holomorphic functions of the points $z_j$ and the moduli of the Riemann surface $(\\Sigma,g)$. The  conformal bootstrap method relies on the representation theory of an infinite dimensional Lie algebra of operators,  called the \\emph{Virasoro algebra}, encoding the conformal symmetries of the system. It is formally generated by elements $({\\bf L}_n)_{n\\in \\mathbb{Z}}$ together with  a central element denoted $c_L$, called \\emph{the central charge}, with commutation relations   \n\\[ [\\mathbf{L}_n,\\mathbf{L}_m]=(n-m)\\mathbf{L}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}, \\quad [\\mathbf{L}_n, c_L]=0.   \\]\n\nIn the context of the probabilistic  construction of LCFT, the central charge $c_L$ is just a scalar and the  conformal bootstrap has  recently  been established by the last 4 authors in the papers \\cite{dozz,GKRV,GKRV1}. To implement this programme, \na Hilbert space $\\mathcal{H}=L^2(H^{-s}(\\mathbb{T}),\\mu_0)$ was introduced where $H^{-s}(\\mathbb{T})$ is the Sobolev space of order $-s<0$ on the unit circle $\\mathbb{T}=\\{z\\in \\mathbb{C}\\,|\\, |z|=1\\}$ \nand $\\mu_0$ is the distribution of the Gaussian Free Field on $\\hat{\\mathbb{C}}$ restricted to $\\mathbb{T}$ times the Lebesgue measure for the zero Fourier mode on $\\mathbb{T}$; the Hilbert space $\\mathcal{H}$ is therefore a space of fields $\\varphi$ on the circle. \n\nThe dilation $s_{e^{-t}}: z\\mapsto e^{-t}z$ in $\\mathbb{C}$ for $t\\geq 0$ is a conformal transformation that can be obtained as the flow of the holomorphic vector field $-z\\partial_z$. By composing the Gaussian Free Field and Gaussian multiplicative chaos on the unit disk $\\mathbb{D}\\subset \\mathbb{C}$ by $s_{e^{-t}}$, \na Markovian dynamic was constructed in \\cite{GKRV} which produces a contraction semi-group $e^{-t{\\bf H}}:\\mathcal{H}\\to \\mathcal{H}$, for some operator  $\\mathbf{H}$  called the Hamiltonian  of LCFT. The diagonalisation in $\\mathcal{H}$ of this Hamiltonian was then performed in \\cite{GKRV} and \nused to decompose the correlation functions into pieces, leading to the explicit formulas involving the conformal blocks in  \\cite{GKRV,GKRV1}. The  operator product expansion used in the physics literature can then be interpreted in terms of the \n eigenbasis of $\\mathbf{H}$. The family of eigenfunctions is denoted \n $(\\Psi_{Q+iP,\\nu,\\tilde{\\nu}})_{P,\\nu,\\tilde{\\nu}}$\n $P\\in \\mathbb{R}_+$ and $\\nu,\\tilde{\\nu}$ are Young diagrams: the spectrum of $\\mathbf{H}$ is absolutely continuous and equal to $[Q^2\/2,\\infty)$ (with $Q>2$).\nThis family carries an important algebraic structure, namely that  the Young diagrams encode the action of the Virasoro generators on the highest weight vector $\\Psi_{Q+iP}:=\\Psi_{Q+iP,0,0}$:\n\\begin{equation}\\label{descendantsLn}\n\\Psi_{Q+iP,\\nu,\\tilde{\\nu}} = {\\bf L}_{-\\nu_k}\\dots {\\bf L}_{-\\nu_1}\\tilde{\\bf L}_{-\\tilde{\\nu}_{k'}}\\dots\\tilde{\\bf L}_{-\\tilde{\\nu}_1}\\Psi_{Q+iP}\n\\end{equation}\nwhere $\\nu=(\\nu_1,\\dots,\\nu_k)\\in \\mathbb{N}^k$ with $\\nu_j\\geq \\nu_{j+1}$ for all $j$, $\\tilde{\\nu}=(\\tilde{\\nu}_1,\\dots,\\tilde{\\nu}_{k'})\\in \\mathbb{N}^{k'}$ with $\\tilde{\\nu}_j\\geq \\tilde{\\nu}_{j+1}$ for all $j$,  with ${\\bf L}_n,\\tilde{\\bf L}_m$ being two representations in $\\mathcal{H}$ of the Virasoro algebra with central charge $c_L=1+6Q^2$, \nsuch that $[{\\bf L}_n,\\tilde{\\bf L}_m]=0$. This can be compared to the way   the harmonic oscillator in $\\mathbb{R}^n$ is diagonalised by the action of  the Heisenberg algebra on the constant function (the ground state), except that here one has a further continuous parameter $P>0$ in addition.\n\nYet the construction in \\cite{GKRV} of these descendant states $\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$  was not  performed that way, due to the fact that  some terms involved  (those coming from the potential, i.e. Gaussian multiplicative chaos) in the   construction of the operators   ${\\bf L}_n$  are very singular and thus technically difficult to handle. Instead, we used the diagonalisation of  the free field Hamiltonian and used scattering theory to construct the descendant states \n$\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$, leading to certain restrictions on the analytic extension of $ \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ from the line \n$\\alpha \\in Q+i\\mathbb{R}$ to the complex plane. \n\nThe physics literature links the Virasoro generators $({\\bf L}_n)_{n\\in \\mathbb{Z}}$ (or $(\\tilde{\\bf L}_n)_{n\\in \\mathbb{Z}}$) to the dynamics obtained as  flows of holomorphic vector fields of the form $v(z)\\partial_z$,  generalizing this way the picture drawn in the case of dilations (see for instance \\cite[Ch. 9]{polch} or \\cite{Gaw}). Yet, as stressed in \\cite{Gaw}, a rigorous interpretation of these operators from this angle is far from being straightforward due to the intricate structure of their domains. In this work and inspired by these ideas, we give a probabilistic construction of the operators ${\\bf L}_n$ using a family of Markovian dynamics generated by some flows of holomorphic vector fields, as suggested in the first author's doctoral dissertation \\cite[Section 1.5.2]{these}. The crux of the matter is that the Markovian nature leads to perfectly well defined operators when seen as generators of contraction semigroups: this property is valid under some conditions of the holomorphic vector field, in which case the vector field will be called Markovian, and \nthe case of non Markovian vector field is then treated via polarization type arguments. This leads to an explicit construction of the whole Virasoro algebra as unbounded operators ${\\bf L}_n$  acting on $\\mathcal{H}$, \nand we show that the descendant states \n$\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$ constructed by scattering theory in \\cite{GKRV} are related to the highest weight state $\\Psi_{Q+iP}$ by the relation \n\\eqref{descendantsLn}.  This point of view is new and offers a different perspective from the algebraic approach usually developed in physics. Let us now explain this construction and its applications. \n\n\n\n\\subsection{Hilbert space of Liouville CFT}\n\nThe Hilbert space $\\mathcal{H}$ can be constructed explicitly as follows. Let $\\mathbb{T}$ denote the standard unit circle in the complex plane. We consider the space $\\mathbb{R} \\times \\Omega_\\mathbb{T}$ where $\\Omega_\\mathbb{T}$ is the set of real sequences $(x_n)_{n\\geq 1}$ and $(y_n)_{n\\geq 1}$. We introduce $(\\varphi_{n})_{n \\in \\mathbb{Z}^{\\ast}}$ (with $\\varphi_{-n}=\\overline\\varphi_{n}$) such that $\\varphi_n:=\\frac{1}{2\\sqrt{n}}(x_n+iy_n)$. The space $\\mathcal{H}$ is then constructed as the $L^2$-space $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ equipped with the measure $\\d c \\otimes \\P_\\mathbb{T}$ (and the standard Borel sigma algebra) where $\\d c$ denotes the Lebesgue measure and $\\P_\\mathbb{T}$ is the Gaussian measure\n \\begin{align}\\label{Pdefin}\n \\P_\\mathbb{T}:=\\bigotimes_{n\\geq 1}\\frac{1}{2\\pi}e^{-\\frac{1}{2}(x_n^2+y_n^2)}\\text{\\rm d} x_n\\text{\\rm d} y_n.\n\\end{align}\nThe scalar product on $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ is denoted $\\langle \\cdot , \\cdot\\rangle_2$ and the norm $ \\| \\cdot \\|_2$. Expectation with respect to $\\P_\\mathbb{T}$ will be denoted $\\mathbb{E}[\\cdot]$. Under $ \\P_\\mathbb{T}$ the random variable  \n\\begin{equation}\\label{GFFcircle}\n\\varphi(\\theta)=\\sum_{n\\not=0}\\varphi_ne^{in\\theta} \n\\end{equation}\nis the Gaussian Free Field on the circle with covariance  \n\\begin{equation}\n\\mathbb{E}[\\varphi({\\theta})\\varphi({\\theta'})]=-\\log |e^{i\\theta}-e^{i\\theta'}|.\n\\end{equation}\nIn the sequel, we will often identify the sequence $(c,(\\varphi_{n})_{n \\in \\mathbb{Z}^{\\star}})$ with the corresponding Fourier series $c+ \\sum_{n\\not=0}\\varphi_ne^{in\\theta} $, which is almost surely an element of $H^{-s}(\\mathbb{T}):=\\{\\sum a_ne^{in\\theta}\\,|\\,\\sum_n (1+|n|)^{-2s}|a_n|^2<\\infty\\}$\n for $s>0$. We denote by $\\norm{\\cdot}_{H^{-s}(\\mathbb{T})}$ and $\\langle\\cdot,\\cdot\\rangle_{H^{-s}(\\mathbb{T})}$ the norm and inner-product defined by the sum in the definition of $H^{-s}(\\mathbb{T})$. The space $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ is then equivalent to $L^2(H^{-s}(\\mathbb{T}),\\mu_0)$ where $\\mu_0=\\varphi_*(\\text{\\rm d} c\\otimes \\P_\\mathbb{T})$ ($\\varphi_*()$ denotes pushforward). \n\n\\subsection{Semi-groups of Liouville CFT and representations of Virasoro algebra}\nThe Virasoro algebra ${\\rm Vir}(c_L)$ is by definition a central extension of the Witt algebra, whose elements are represented by vector fields \n$-z^{n+1}\\partial_z$ for $z\\in \\mathbb{C}\\setminus \\{0\\}$ if $n\\in \\mathbb{Z}$. The central element, being denoted $c_L$ in our setting, will simply be a constant $c_L:=1+6Q^2$ where $Q\\in(2,\\infty)$. To represent ${\\rm Vir}(c_L)$ into $\\mathcal{H}$, we first consider a certain family of holomorphic vector fields \n$\\mathbf{v}$, called \\emph{Markovian} and defined in the unit disk $\\mathbb{D}$, of the form $\\mathbf{v}=v(z)\\partial_z$ where $v(z)=-\\sum_{n=-1}^\\infty v_nz^{n+1}$, satisfying the property \n${\\rm Re}(\\bar{z}v(z))<0$ for $ z \\in \\mathbb{T}$. Each such Markovian vector field generates a flow of holomorphic transformations $f_t: \\mathbb{D}\\to \\mathbb{D}$ solving \n$\\partial_t f_t(z)=v(f_t(z))$ with initial condition $f_0(z)=z$, with a unique fixed point in $\\mathbb{D}$ and such that $f_{t'}(\\mathbb{D})\\subset f_t(\\mathbb{D})$ if $t'\\geq t$: as $t\\to +\\infty$, $f_t$ contracts $\\mathbb{D}$ to the unique zero of $v$ in $\\mathbb{D}$ which is the attractor of the flow $f_t$. Up to composing $v$ with a M\\\"obius transformation, we shall choose $v$ so that $v_{-1}=v(0)=0$ and $v_0=-v'(0)=\\omega>0$. \n\n We consider $X= P\\varphi+X_\\mathbb{D}$ where $P\\varphi$ is the harmonic extension of $\\varphi$ on $\\mathbb{D}$ and $X_\\mathbb{D}$ an independent Dirichlet Gaussian Free Field. One can then define a semigroup $P_t$ on $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ as follows: for $F=F(c,\\varphi)$ \n depending only on finitely many variables $(\\varphi_n)_{|n|\\leq N}$ and decaying faster than any exponentials when $|c|\\to \\infty$ (this set of functions will be denoted $\\mathcal{C}_{\\rm exp}$ and is defined rigorously in Section \\ref{freeham}), let \n\\begin{equation} \\label{FeynmanKacintro}\n  P_t F(c,\\varphi)   :=    |f'_t(0)|^{\\frac{Q^2}{2}}    \\mathbb{E}_\\varphi\\Big[  F\\Big (  c+ \\big(X \\circ f_t  + Q \\log  \\frac {|f_t'|} {|f_t|}\\big)\\Big|_{\\mathbb{T}}    \\Big )     e^{- \\mu e^{\\gamma c} \\int_{\\mathbb{D}\\setminus f_t(\\mathbb{D})}     \\frac{e^{\\gamma X(x)}} {|x| ^{\\gamma Q} } \\text{\\rm d} x  } \\Big]  \n \\end{equation}\nwhere for a function $u$, $u|_{\\mathbb{T}}  $ denotes restriction of the function to the unit circle $\\mathbb{T}$ , $\\mathbb{E}_\\varphi[ \\cdot ]$  denotes the conditional expectation with respect to $\\varphi$, $\\mu>0, \\gamma\\in (0,2)$ are some parameters and $Q=2\/\\gamma+\\gamma\/2$.  Since the Gaussian field $X$ is not defined pointwise, the  term $ \\int_{\\mathbb{D}\\setminus f_t(\\mathbb{D})}    \\frac{ e^{\\gamma X(x)}} {|x| ^{\\gamma Q} } \\text{\\rm d} x $ is defined via a renormalisation procedure and yields a non trivial quantity, i.e. non zero, for $\\gamma \\in (0,2)$ (see \\eqref{GMCsphere})\\footnote{The condition $\\gamma \\in (0,2)$ in this paper comes from this non triviality result on Gaussian multiplicative chaos. It is a restriction of the probabilistic approach; indeed  LCFT in the physics literature is studied for all $\\gamma \\in \\mathbb{C}$.  }; \nit is called the Gaussian multiplicative chaos measure of $\\mathbb{D}\\setminus f_t(\\mathbb{D})$. One can check that $P_t$ indeed defines a Markovian semigroup.\n\nIn the case where $v(z)=-z$, one has $f_t(z)=e^{-t}z$ and the semigroup $P_t=e^{-t\\mathbf{H}}$ where ${\\bf H}$ is the self-adjoint Hamiltonian defined and studied \nin \\cite{GKRV}, given by the expression\n\\[\\mathbf{H}=-\\frac{1}{2}\\partial_c^2+\\frac{Q^2}{2}+{\\bf P}+\\mu e^{\\gamma c}V(\\varphi)\\]\nwhere ${\\bf P}$ and $V$ are unbounded non-negative operators on $L^2(\\Omega_\\mathbb{T})$ defined by\n\\[{\\bf P}:=\\sum_{n\\geq 1} {\\bf A}_n^*{\\bf A}_n+\\tilde{\\bf A}_n^*\\tilde{\\bf A}_n, \\quad V(\\varphi) =\\int_0^{2\\pi}e^{\\gamma \\varphi(\\theta)}\\text{\\rm d} \\theta \\]\nand ${\\bf A}_n:=\\sqrt{n}(\\partial_{x_n}-i\\partial_{y_n})$, $\\tilde{\\bf A}_n:=\\sqrt{n}(\\partial_{x_n}+i\\partial_{y_n})$. \nHere, ${\\bf P}$ has discrete spectrum equal to $\\mathbb{N}$ and $V$ has to be defined using Gaussian multiplicative chaos theory with a renormalisation procedure (see \\eqref{GMCcircle}): it is a non-negative unbounded  operator which becomes a multiplication by an $L^{p}(\\Omega_\\mathbb{T})$ function for $p<2\/\\gamma^2$ when $\\gamma<\\sqrt{2}$. The operator ${\\bf H}$ defines a quadratic form $\\mathcal{Q}(F,F):=\\langle \\mathbf{H} F,F\\rangle_2$ and we denote $\\mathcal{D}(\\mathcal{Q})$ its domain, and $\\mathcal{D}'(\\mathcal{Q})$ its dual.\nWe will also use the notation ${\\bf A}_0=\\tilde{\\bf A}_0:=\\frac{i}{2}(\\partial_c+Q)$, ${\\bf A}_{-n}:={\\bf A}_n^*$ and $\\tilde{\\bf A}_{-n}:=\\tilde{\\bf A}_n^*$ if $n>0$, where the adjoint is taken with respect to the  scalar product on $\\mathcal{H}$.\n\nOur first main theorem is: \n\\begin{theorem}\\label{theoremfreefieldintro}\n Let $\\mathbf{v}=v(z)\\partial_z$ be a Markovian vector field with $v(z)=-\\sum_{n=0}^\\infty v_{n}z^{n+1}$ and $v'(0)=-\\omega$ for $\\omega>0$ such that $v$ admits a holomorphic extension in a neighborhood of $\\mathbb{D}$. If $\\omega> 0$ is large enough\\footnote{One could in fact work with a general complex $\\omega$ with a large real part and still get the same results but we will stick to real $\\omega$ for simplicity.}, then the operator $P_t$ is a contraction semi-group on $L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$, it admits an invariant measure $\\mu_h$ that is absolutely continuous with respect to $\\mu_0$ and its generator $\\mathbf{H}_\\mathbf{v}$ has the form \n\\[\\mathbf{H}_\\mathbf{v}= \\omega {\\bf H}+ \\sum_{n\\geq 1}v_n\\, \\mathbf{L}_n  + \\sum_{n\\geq 1}\\overline{v_n} \\, \\widetilde{\\mathbf{L}}_n\\]\nwhere $\\mathbf{H}_\\mathbf{v}, {\\bf L}_n, \\tilde{\\bf L}_n$ are bounded as linear maps $\\mathcal{D}(\\mathcal{Q})\\to \\mathcal{D}'(\\mathcal{Q})$ but unbounded on $L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$. Moreover, they are given by the formula \n\\begin{equation}\\label{virasoro}\n\\begin{gathered}\n\\mathbf{L}_n:=-i(n+1)Q\\mathbf{A}_n+\\sum_{m\\in\\mathbb{Z}}:\\mathbf{A}_{n-m}\\mathbf{A}_m: +  \\frac{\\mu}{2} e^{\\gamma c} \\int_0^{2 \\pi}  e^{in \\theta} e^{\\gamma \\varphi(\\theta)}  \\text{\\rm d} \\theta,\\\\\n\\widetilde{\\mathbf{L}}_n:=-i(n+1)Q\\widetilde{\\mathbf{A}}_n+\\sum_{m\\in\\mathbb{Z}}:\\widetilde{\\mathbf{A}}_{n-m}\\widetilde{\\mathbf{A}}_m: \n+  \\frac{\\mu}{2} e^{\\gamma c} \\int_0^{2 \\pi}  e^{-i n \\theta} e^{\\gamma \\varphi(\\theta)}  \\text{\\rm d} \\theta \n\\end{gathered}\n\\end{equation}\nwhere the normal order product $:{\\bf A}_n{\\bf A}_m:$ is defined as ${\\bf A}_n{\\bf A}_m$ if $m>0$ or ${\\bf A}_m{\\bf A}_n$ if $n>0$.\n \\end{theorem}\n\nWe recover this way the formulas announced by J. Teschner in \\cite[Section 10]{Tesc1}.  Also, we notice that if $\\mathbf{v}_n=-z^{n+1}\\partial_z$ and $\\mathbf{v}_0=-z\\partial_z$, then we can recover ${\\bf L}_n$ by the expression \n\\[{\\bf L}_n=\\frac{1}{2}({\\bf H}_{\\omega \\mathbf{v}_0+\\mathbf{v}_n}-i{\\bf H}_{\\omega\\mathbf{v}_0+i\\mathbf{v}_n})-\\frac{1}{2}\\omega(1-i){\\bf H}\\]\nwhere $\\omega>0$ is chosen large enough so that $\\omega \\mathbf{v}_0+\\mathbf{v}_n$ is Markovian. We define for $n>0$ \n\\[{\\bf L}_{-n}:= {\\bf L}_n^* , \\quad \\tilde{\\bf L}_{-n}:=\\tilde{\\bf L}_n^* \\]\nwhere the adjoints are taken with respect the Hermitian product on $\\mathcal{H}$ while acting on a dense set of regular functions:  \n$\\langle{\\bf L}_{-n}F,F'\\rangle_2=\\langle F,{\\bf L}_{n}F'\\rangle_2$ for all $F,F'\\in \\mathcal{D}(\\mathcal{Q})$.\nWe will explain below that $({\\bf L}_n)_{n\\in \\mathbb{Z}}$ and $(\\tilde{\\bf L}_n)_{n\\in \\mathbb{Z}}$ are two commuting representations of ${\\rm Vir}(c_L)$ into $\\mathcal{H}$. A first look at these operators prevents us to compose them, even when acting on very regular functions $F$, which makes it difficult to define \nthe commutators $[{\\bf L}_n,{\\bf L}_m]$ on a dense set. The technical difficulty in dealing with these operators was already stressed in \\cite{Gaw}. We will however construct infinite dimensional vector spaces, called Verma modules, \ncontained in $e^{N|c|}L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$ for $N>0$ which are preserved by all ${\\bf L}_n$.\n\n\n\\subsection{Highest weight states,  descendant states and scattering coefficients} \n In \\cite{GKRV}, we constructed a family of eigenfunctions of $\\mathbf{H}$ for $\\alpha<Q$\n \\begin{equation}\n\\label{Psialphadef} \n \\Psi_\\alpha(c,\\varphi):=e^{(\\alpha-Q)c} \\mathbb{E}_\\varphi\\Big[ \\exp\\Big(-\\mu e^{\\gamma c}\\int_{\\mathbb{D}} |x|^{-\\gamma\\alpha }e^{\\gamma X(x)}\\text{\\rm d} x\\Big)\\Big]\n\\in e^{-\\beta c_-}\\mathcal{D}(\\mathcal{Q})\n\\end{equation}\nwhere $\\beta>|{\\rm Re}(\\alpha)-Q|$ and $c_-=\\min(c,0)$, satisfying\n\\[ \\big(\\mathbf{H} -\\alpha(Q-\\frac{\\alpha}{2})\\big)\\Psi_{\\alpha}=0, \\quad \\Psi_\\alpha(c,\\varphi)=e^{(\\alpha-Q)c}+\\mathcal{O}(e^{(\\alpha-Q+\\epsilon)c}) \\textrm{ as }c\\to -\\infty.\\]\nMoreover, we proved in \\cite{GKRV} that \n\\[ \\alpha \\mapsto \\Psi_{\\alpha}\\]\nadmits an analytic continuation to the region $\\{{\\rm Re}(\\alpha)\\leq Q\\}\\setminus \\cup_{j>1}\\{Q\\pm i\\sqrt{2j}\\}$, it is continuous at the points \n$Q\\pm i\\sqrt{2j}$ with possible square root singularities. We also constructed using scattring theory a whole family \n\\[\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\] \nof eigenfunctions of $\\mathbf{H}$ with eigenvalues $\\alpha(Q-\\frac{\\alpha}{2})+|\\nu|+|\\tilde{\\nu}|$\nfor each Young diagram $\\nu=(\\nu_1,\\dots,\\nu_k)$, $\\tilde{\\nu}=(\\tilde{\\nu}_1,\\dots,\\tilde{\\nu}_{k'})$, with $|\\nu|=\\sum_j\\nu_j$ and $|\\tilde{\\nu}|=\\sum_j\\tilde{\\nu}_j$, we showed that they are analytic in an open set $W_{\\ell}\\subset \\{{\\rm Re}(\\alpha)\\leq Q\\}\\setminus \\cup_{j\\geq 0}\\{Q\\pm i\\sqrt{2j}\\}$ \ncontaining $Q+i\\mathbb{R}$, where $\\ell=|\\nu|+|\\tilde{\\nu}|$. Moreover the following Plancherel type formula holds: for $u,u'\\in \\mathcal{H}$\n\\begin{equation}\\label{diagonalisation}\n\\langle u,u'\\rangle_{2}= \\frac{1}{2\\pi}\\sum_{\\substack{\\nu,\\nu',\\tilde{\\nu},\\tilde{\\nu}'\\in \\mathcal{T}\\\\\n|\\nu|=|\\nu'|, |\\tilde{\\nu}|=|\\tilde{\\nu}'|}}\\int_0^\\infty \\langle u,\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}\\rangle_2 \\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}'},u'\\rangle_2 F_{Q+iP}^{-1}(\\nu,\\nu')F_{Q+iP}^{-1}(\\tilde{\\nu},\\tilde{\\nu}')\\text{\\rm d} P \\end{equation}\n where $\\mathcal{T}$ denotes the set of Young diagrams, and $(F_{Q+iP}^{-1}(\\nu,\\nu'))_{\\nu,\\nu'\\in \\mathcal{T}_n}$ \n are positive definite matrices for each $n>0$ if $\\mathcal{T}_n=\\{\\nu \\in \\mathcal{T}\\,|\\, |\\nu|=n\\}$ is the set of Young diagrams of size $n$. In our convention $\\mathcal{T}$ contains $\\{0\\}$ and $\\Psi_{Q+iP,0,0}=\\Psi_{Q+iP}$.\n \nIn this paper, we prove that the $\\Psi_{\\alpha,\\nu,\\tilde\\nu}$ can be obtained from $\\Psi_\\alpha$ by \napplying the direct sum of two copies of the Virasoro algebra ${\\rm Vir}(c_L)$ to it. \n\\begin{theorem}\\label{descendantsandLn} The following properties hold:\\\\\n 1) The function $\\Psi_{\\alpha}$ defined by \\eqref{Psialphadef} admits an analytic extension to $\\alpha \\in \\mathbb{C}$, with values in $e^{-\\beta c_-}\\mathcal{D}(\\mathcal{Q})$ for \n$\\beta>|{\\rm Re}(\\alpha)-Q|$, and for each $n\\in \\mathbb{Z}$, ${\\bf L}_{n}\\Psi_\\alpha$ is well-defined as an element in $e^{-\\beta c_-}\\mathcal{D}(\\mathcal{Q})$  for\n$\\beta>|{\\rm Re}(\\alpha)-Q|$, it is analytic in $\\alpha$ and equal to $0$ when $n>0$.\\\\\n2) The functions $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ appearing in \\eqref{diagonalisation} admit an analytic extension to \n$\\alpha\\in \\mathbb{C}$ as elements of  $e^{-\\beta c_-}\\mathcal{D}(\\mathcal{Q})$ for $\\beta>|{\\rm Re}(\\alpha)-Q|$, \n and for each $n\\in \\mathbb{Z}$, ${\\bf L}_{n}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ is well-defined as an element in $e^{-\\beta c_-}\\mathcal{D}(\\mathcal{Q})$  for\n$\\beta>|{\\rm Re}(\\alpha)-Q|$, analytic in $\\alpha$, and is equal to $0$ when $n>|\\nu|+|\\tilde{\\nu}|$.\\\\\n3) These functions are related by the formula\n\\[ \\Psi_{\\alpha,\\nu,\\tilde{\\nu}} = {\\bf L}_{-\\nu_k}\\dots {\\bf L}_{-\\nu_1}\\tilde{\\bf L}_{-\\tilde{\\nu}_{k'}}\\dots\\tilde{\\bf L}_{-\\tilde{\\nu}_1}\\Psi_{\\alpha}\\]\nand for each $n\\in \\mathbb{Z}$, and $\\alpha\\notin Q\\pm (\\frac{2}{\\gamma}\\mathbb{N}+\\frac{\\gamma}{2}\\mathbb{N})$\n\\[{\\bf L}_{n} \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\in {\\rm span}\\{ \\Psi_{\\alpha,\\nu',\\tilde{\\nu}'}\\,|\\, \\nu' \\in \\mathcal{T},\\, |\\nu|-n=|\\nu'|\n\\}.\\]\n4) They satisfy the functional equation for all $\\alpha\\in \\mathbb{C} \\setminus (Q\\pm (\\frac{2}{\\gamma}\\mathbb{N}+\\frac{\\gamma}{2}\\mathbb{N}))$ and all $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$\n\\[ \\Psi_{2Q-\\alpha,\\nu,\\tilde{\\nu}}=R(2Q-\\alpha)\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\]\nwhere $R(\\alpha)$ is the scattering coefficient given by \n\\[R(\\alpha)=-\\Big(\\pi \\mu \\frac{\\Gamma(\\frac{\\gamma^2}{4})}{\\Gamma(1-\\frac{\\gamma^2}{4})}\\Big)^{2\\frac{(Q-\\alpha)}{\\gamma}}\\frac{\\Gamma(-\\frac{\\gamma(Q-\\alpha)}{2})\\Gamma(-\\frac{2(Q-\\alpha)}{\\gamma})}{\\Gamma(\\frac{\\gamma(Q-\\alpha)}{2})\\Gamma(\\frac{2(Q-\\alpha)}{\\gamma})}\\]\n5) For $P>0$, $\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$ satisfy the asymptotic expansion as $c\\to -\\infty$\n\\[ \\Psi_{Q+iP,\\nu,\\tilde{\\nu}}=e^{iPc}\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}(\\varphi)+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu,\\tilde{\\nu}}(\\varphi) +G_{Q+iP}(c,\\varphi)\\]\nwhere $G_{Q+iP}(c,\\varphi)\\in \\mathcal{D}(\\mathcal{Q})\\subset L^2$ and $\\mathcal{Q}_{Q\\pm iP,\\nu,\\tilde{\\nu}}\\in L^2(\\Omega_\\mathbb{T})$ are particular eigenfunctions of ${\\bf P}$ with eigenvalues $|\\nu|+|\\tilde{\\nu}|$ (see Section \\ref{Vermafreefield} for their definition).\n\\end{theorem}\n\nWe notice that Statement 5) means that the scattering matrix is essentially (up to identifying $\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}$ with \n$\\mathcal{Q}_{Q-iP,\\nu,\\tilde{\\nu}}$) a constant $R(Q+iP)$ times the Identity map, a feature that is important in physics and that is related to the integrability of LCFT.\n\nThis result allows us in particular to define the vector space $\\mathcal{W}_\\alpha:={\\rm span}\\{\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\,|\\, \\nu,\\tilde{\\nu}\\in \\mathcal{T}\\}$ and to show that the operators ${\\bf L}_n,\\tilde{{\\bf L}}_m$ preserve $\\mathcal{W}_\\alpha$, with the commutation relations  \n\\[ [\\mathbf{L}_n,\\mathbf{L}_m]=(n-m)\\mathbf{L}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}, \\quad [\\tilde{\\bf L}_n,\\tilde{\\bf L}_m]=(n-m)\\tilde{\\bf L}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}\\]\nand $[{\\bf L}_n,\\tilde{\\bf L}_m]=0$.\nThe space $\\mathcal{W}_\\alpha$ is a Verma module for a highest weight representation \nof the direct sum ${\\rm Vir}(c_L)\\oplus {\\rm Vir}(c_L)$ of two Virasoro algebras with central charge $c_L=1+6Q^2$, it can be splitted as a tensor product of two Verma modules $\\mathcal{W}_{\\alpha}=\\mathcal{V}_\\alpha\\otimes \\overline{\\mathcal{V}}_\\alpha$, each one associated to the representations ${\\bf L}_n$ and $\\tilde{\\bf L}_n$ of ${\\rm Vir}(c_L)$. We refer to Section \\ref{VermaLiouville} for more details on these aspects related to representation theory.\n\n\n\n\n\n\n\n\n\n\\subsection{Future applications}\nThis approach will be instrumental in several subsequent works in the context of the conformal bootstrap for LCFT. First it will serve as a key tool in a programme aiming at establishing the conformal bootstrap for open surfaces: the analyticity of the eigenstates over the full complex plane as well as their asymptotics is needed to analyze the contribution of the one point bulk correlator, the FZZ structure constant introduced in \\cite{ARS}. This issue already appears in \\cite{wu} in the case of the annulus and will be further developed in a forthcoming work treating the case of general open surfaces. \n\nAlso, recall that the conformal blocks appearing in the conformal bootstrap formulae depend on a choice of pant decomposition of the underlying Riemann surface. As stated in  \\cite{GKRV1}, the conformal blocks depend on the splitting curves used to obtain the pant decomposition. Therefore they are not yet fully understood as analytic functions on Teichm\\\"uller space as they depend on the choice of local coordinates (the splitting curves). In a forthcoming work, we will use the Markovian dynamics introduced in this manuscript to show that the conformal blocks do not depend on local deformations of the splitting curves. This will show that conformal blocks only depend on the homotopy classes of the splitting curves, and therefore are well-defined on Teichm\\\"uller space. As an intermediate step, we will identify the annulus amplitudes with the kernels of the semigroups introduced in the present work. This is in agreement with Segal's axioms \\cite{Gaw} and generalizes \\cite[Section 6]{GKRV1}.\n\n On the other hand, conformal blocks are not expected to be single-valued on moduli space (contrarily to correlation functions), but it is conjectured that there exists a representation of the mapping class group describing the variation of the blocks under a change of pants decomposition. This is related to a conjecture of Verlinde identifying the space of conformal blocks of Liouville theory with the Hilbert space of quantum Teichm\\\"uller theory as isomorphic representations of the mapping class group (see \\cite{Teschner04} for an overview). In geometric terms, the Virasoro generators introduced in this article should define a (projectively) flat connection on the bundle of conformal blocks, whose monodromy is described by the above-mentioned representation. Our interpretation of the Virasoro operators as generators of diffusion processes is reminiscent to a type of connection on the moduli space introduced by Hitchin \\cite{Hitchin}, for which parallel transport is given by the heat kernel. Finally, the full analycity of the descendants  $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ will be used to bridge the gap between the probabilistic construction of LCFT and the Vertex Operator Algebra approach.\n\n \n\\subsubsection{Organization of the paper}\nThe paper is organized as follows. In section 2, we introduce the main notations and the framework of the paper; in this section, we also construct the semigroup associated to the free field case $\\mu=0$. In section 3, we construct the semigroup associated to the general case, i.e. with the Liouville potential, via a Feynman-Kac type formula, and we study its stationary measure $\\mu_h$.\n In this section, we use the dynamics to show that the basis $\\Psi_{\\alpha, \\nu,\\tilde \\nu}$ can be constructed via the action of the Virasoro algebra: this is the content of Proposition \\ref{intertwining_for_descendants}. In section 4, we use these results to study the scattering coefficients and show the analytic extension and functional equations for the eigenstates $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$. \n \n \n{\\bf Acknowledgements:} Colin Guillarmou acknowledges the support of European Research Council (ERC) Consolidator grant 725967 and Antti Kupiainen the support of the ERC Advanced Grant 741487. R\\'emi Rhodes is\npartially supported by the Institut Universitaire de France (IUF). R\\'emi Rhodes and Vincent Vargas acknowledge\nthe support of the French National Research Agency (ANR)  ANR-21-CE40-003.\n\n \n\\section{Segal-Sugawara representation and the Gaussian Free Field}\\label{sec:free_field}\n\n\\subsection{Free Hamiltonian and Virasoro generators for the free field}\\label{freeham}\n\nLet us introduce some material taken from \\cite[Section 4]{GKRV}. \nAs mentionned in the Introduction, we consider the space $\\Omega_\\mathbb{T}=(\\mathbb{R}^2)^\\mathbb{N}$ with the Gaussian probability measure \n \\[\n \\P_\\mathbb{T}:=\\bigotimes_{n\\geq 1}\\frac{1}{2\\pi}e^{-\\frac{1}{2}(x_n^2+y_n^2)}\\text{\\rm d} x_n\\text{\\rm d} y_n.\n\\]\nThe space $\\mathcal{H}$ is then defined to be the space $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ equipped with the measure $\\mu_0:=\\text{\\rm d} c \\times \\P_\\mathbb{T}$ (and the standard Borel sigma algebra) where $\\text{\\rm d} c$ denotes the Lebesgue measure. Consider the real valued random variable on $\\mathbb{T}$\n\\[\n\\varphi(\\theta)=\\sum_{n\\not=0}\\varphi_ne^{in\\theta} , \\quad \\varphi_n=\\frac{x_n+iy_n}{2\\sqrt{n}} \\textrm{ for }n>0 \n\\]\nNote that $\\varphi\\in H^{-s}(\\mathbb{T})$ for all $s>0$ almost surely. The space $H^{-s}(\\mathbb{T})$ can be equipped with the pushforward measure $\\mu_0$ (still denoted $\\mu_0$ for simplicity) by the map \n$(c,(\\varphi_n)_n)\\in \\mathbb{R}\\times \\Omega_\\mathbb{T}\\mapsto c+\\varphi\\in H^{-s}(\\mathbb{T})$ so that $\\mathcal{H}\\simeq L^2(H^{-s}(\\mathbb{T}),\\mu_0)$. \n\nWe set $\\partial_n:= \\partial_{\\varphi_n}= \\sqrt{n} (\\partial_{x_n}-i \\partial_{y_n})$ (and $\\partial_{-n}:= \\partial_{\\varphi_{-n}}= \\sqrt{n} (\\partial_{x_n}+i \\partial_{y_n})$) and introduce $\\mathcal{S}$ the set of smooth functions of the form $F(x_1,y_1, \\cdots, x_N,y_N)$ for some $N \\geq 1$ where   $F\\in C^\\infty((\\mathbb{R}^2)^N)$ with at most polynomial growth at infinity for $F$ and its derivatives. We consider the  vector space $\\mathcal{C}_{\\rm exp}$ \nof smooth functions $F:\\mathbb{R}\\times \\Omega_\\mathbb{T}\\to \\mathbb{C}$ so that there is $N>0$ such that $F(c,\\varphi)=F(c,x_1,y_1, \\cdots, x_N,y_N)$ for all $c\\in\\mathbb{R}$, and (with $\\mathbb{N}_0:=\\mathbb{N}\\cup\\{0\\}$)\n\\[ \\forall k\\in \\mathbb{N}_0, \\forall \\alpha,\\beta \\in \\mathbb{N}_0^{N}, \\exists L\\geq 0, \\forall M\\geq 0,  \\exists C>0, \n\\quad  |\\partial_c^k \\partial_{x}^\\alpha\\partial_y^\\beta F(c,\\varphi)|\\leq Ce^{-M|c|}\\langle \\varphi\\rangle_N^{L}\n\\]\nif $\\partial_{x}^\\alpha=\\partial_{x_1}^{\\alpha_1}\\dots \\partial_{x_N}^{\\alpha_N}$ and $\\langle \\varphi\\rangle_N=(1+\\sum_{|n|\\leq N}|\\varphi_n|^2)^{1\/2}$ is the Japanese bracket.\n\nThe space $\\mathcal{C}_{\\rm exp}$ is a dense vector subspace of $\\mathcal{H}$ and \nthe free Hamiltonian is the Friedrichs extension of the operator defined on $\\mathcal{C}_{\\rm exp}$ by the expression\n\\begin{equation}\\label{defH0}\n{\\bf H}^0=\\frac{1}{2}(-\\partial_c^2+Q^2+2{\\bf P}) ,\\quad \\textrm{ with }{\\bf P}=\\sum_{n=1}^\\infty n(\\partial_{x_n}^*\\partial_{x_n}+\\partial_{y_n}^*\\partial_{y_n}),\n\\end{equation}\nwhere $\\partial_{x_n}^*$ denotes the adjoint of $\\partial_{x_n}$ with respect to $\\mu_0$. Recall that the construction of the Friedrichs extension relies on the quadratic   form   denoted $\\mathcal{Q}_0(F,F):=\\langle{\\bf H}^0F,F\\rangle_2$ for $F\\in \\mathcal{C}_{\\rm exp}$. By \\cite[Proposition 4.3]{GKRV}, \nthe quadratic form is closable with closure still denoted $\\mathcal{Q}_0$ and domain denoted $\\mathcal{D}(\\mathcal{Q}_0)$, which becomes a Hilbert space when equipped with the norm $\\|F\\|_{\\mathcal{Q}_0}:=\\sqrt{\\mathcal{Q}_0(F,F)}$. \nThis quadratic form produces a self-adjoint extension (Friedrichs extension) for ${\\bf H}^0$ on a domain $\\mathcal{D}(\\mathcal{H}^0)\\subset \\mathcal{D}(\\mathcal{Q}_0)$. \nMoreover ${\\bf H}^0$ extends as a bounded operator ${\\bf H}^0:\\mathcal{D}(\\mathcal{Q}_0)\\to \\mathcal{D}'(\\mathcal{Q}_0)$ where $\\mathcal{D}'(\\mathcal{Q}_0)$ \nis the dual to $\\mathcal{D}(\\mathcal{Q}_0)$. \n \nNext we recall the construction of the representation of two copies of the Virasoro algebra as operators on the space $\\mathcal{C}_{\\rm exp}$. Consider first\n the operators for $n\\geq 1$\n\\begin{equation}\\label{defAn}\n\\mathbf{A}_n= \\tfrac{i\\sqrt{n}}{2}(\\partial_{x_n}-i\\partial_{y_n}),\\, \\,  \\mathbf{A}_{-n}={\\bf A}_n^*, \\qquad \\widetilde{\\mathbf{A}}_n=  \\tfrac{i\\sqrt{n}}{2}(\\partial_{x_n}+i\\partial_{y_n}),\\,\\,\n \\widetilde{\\mathbf{A}}_{-n}=\\widetilde{\\bf A}_n^*,\n \\end{equation} \nwhere the adjoint here is formal and has to be understood in the sense of pairing on $\\mathcal{C}_{\\rm exp}$ with respect to the measure $\\mu_0$, and let \n\\[\\mathbf{A}_0=\\widetilde{\\mathbf{A}}_0=\\tfrac{i}{2}(\\partial_c+Q).\\] \nThen for $n\\in \\mathbb{Z}$ define the operators acting on $\\mathcal{C}_{\\rm exp}$ \n\\[\\mathbf{L}_n^0=-i(n+1)Q\\mathbf{A}_n+\\sum_{m\\in\\mathbb{Z}}:\\!\\mathbf{A}_{n-m}\\mathbf{A}_m\\!:, \\quad \\widetilde{\\mathbf{L}}_n^0:=-i(n+1)Q\\widetilde{\\mathbf{A}}_n+\\sum_{m\\in\\mathbb{Z}}:\\!\\widetilde{\\mathbf{A}}_{n-m}\\widetilde{\\mathbf{A}}_m\\!: \n\\]\nand where the normal ordering is defined by $:\\!\\mathbf{A}_n\\mathbf{A}_m\\!\\!:\\,=\\mathbf{A}_n\\mathbf{A}_m$ if $m>0$ and $\\mathbf{A}_m\\mathbf{A}_n$ if $n>0$ (i.e. annihilation operators are on the right). In particular, for $n<0$ the only $c$ derivative in ${\\bf L}_n^0$ is the term involving ${\\bf A}_0$, which is given by \n${\\bf A}_n{\\bf A}_0+{\\bf A}_0{\\bf A}_n=2{\\bf A}_n{\\bf A}_0$.\nNotice that $({\\bf L}_n^0)^*= {\\bf L}_{-n}^0$ in the weak sense, i.e. for each $F_1,F_2\\in \\mathcal{C}_{\\rm exp}$ the following relation holds  \n\\[ \\langle {\\bf L}_n^0F_1,F_2\\rangle_2 =  \\langle F_1, {\\bf L}_{-n}^0 F_2\\rangle_2.\\]\nA direct computation allows us to express the Hamiltonian in terms of the $n=0$ Virasoro elements\n\\[ {\\bf H}^0={\\bf L}_0^0+ \\widetilde{\\mathbf{L}}_0^0=\\frac{1}{2}(-\\partial_c^2+Q^2)+2\\sum_{n=1}^\\infty {\\bf A}_n^*{\\bf A}_n+\\widetilde{\\bf A}_n^*\\widetilde{\\bf A}_n\\]\nand the commutation relations (for $c_L=1+6Q^2)$\n\\[ [\\mathbf{L}^0_n,\\mathbf{L}^0_m]=(n-m)\\mathbf{L}^0_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}, \\quad [\\widetilde{\\mathbf{L}}^0_n,\\widetilde{\\mathbf{L}}^0_m]=(n-m)\\widetilde{\\mathbf{L}}^0_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}.\\] \nNotice that $\\mathcal{Q}_0$ can be written in terms of the ${\\bf A}_n$'s as \n\\[\\begin{split} \n\\mathcal{Q}_0(F,F)= \\frac{1}{2}(\\|\\partial_cF\\|_2^2+Q^2\\|F\\|^2_2)+2\\sum_{n=1}^\\infty (\\|{\\bf A}_nF\\|^2_{2}+\\|\\widetilde{\\bf A}_nF\\|^2_{2})= 2\\|{\\bf A}_0F\\|_2^2+2\\sum_{n=1}^\\infty (\\|{\\bf A}_nF\\|^2_{2}+\\|\\widetilde{\\bf A}_nF\\|^2_{2}).\n\\end{split}\\]\nWe first show the following: \n\\begin{lemma}\\label{boundonLn}\nThere exist some constant $C>0$ such that for all $n \\geq 1$ and all $F,G\\in\\mathcal{C}_{\\rm exp}$ we have  \n\\begin{equation}\\label{bilinearboundLn}\n | \\langle {\\bf L}^0_n F,G \\rangle_2|\\leq C(1+n)^{3\/2}\\|F\\|_{\\mathcal{Q}_0}\\|G\\|_{\\mathcal{Q}_0}   \n \\end{equation}\nand the operator ${\\bf L}_n^0$ extends as a bounded operator ${\\bf L}_n^0: \\mathcal{D}(\\mathcal{Q}_0)\\to \\mathcal{D}'(\\mathcal{Q}_0)$.\n\\end{lemma}\n\\begin{proof}\nFirst we note that the extension of ${\\bf L}_n^0$ follows directly from the estimate \\eqref{bilinearboundLn}.\nUsing Cauchy-Schwarz, we have for $F,G\\in\\mathcal{C}_{\\rm exp}$\n\\begin{align*}\n | \\langle {\\bf L}_n^0 F,G \\rangle_2   | & =   \\Big| -i (n+1) Q \\langle {\\bf A}_n F , G \\rangle_2  +  2 \\langle {\\bf A}_0 F,  {\\bf A}_n G \\rangle_2 + \\sum_{k=1}^{n-1} \\langle {\\bf A}_{n-k}F , {\\bf A}_{-k}G \\rangle_2 + 2 \\sum_{m \\geq 1} \\langle {\\bf A}_{n+m} F, {\\bf A}_m G \\rangle_2   \\Big|   \\\\\n& \\leq  \\Big (  (n+1) Q \\|{\\bf A}_nF\\|^2_2+ 2 \\|{\\bf A}_0F\\|^2_2  +  \\sum_{k=1}^{n-1}   \\| {\\bf A}_kF \\|^2_2+ 2   \\sum_{m \\geq 1} \\|{\\bf A}_{n+m} F \\|^2_2 \\Big)^{\\frac{1}{2}}    \\\\\n& \\quad \\times \\Big (  (n+1) Q \\| G \\|^2_2  +  2 \\| {\\bf A}_n G \\|^2_2 + \\sum_{k=1}^{n-1} \\| {\\bf A}_{-k}G \\|^2_2 + 2 \\sum_{m \\geq 1} \\| {\\bf A}_m G \\|^2_2\\Big)^{\\frac{1}{2}}  \n\\end{align*}\nand using the commutation relation $[{\\bf A}_k,{\\bf A}_{-k}]= \\frac{k}{2}$ which implies $\\| {\\bf A}_{-k} G \\|^2= \\|{\\bf  A}_{k} G \\|^2+ \\frac{k}{2}  \\|  G \\|^2 $ we obtain \n\\[ \\begin{split} \n| \\langle {\\bf L}_n^0 F,G \\rangle_2   |  & \\leq  \\Big (  (n+1) Q \\|{\\bf A}_nF\\|^2+ 2 \\|{\\bf A}_0F\\|^2_2  +  \\sum_{k=1}^{n-1}   \\| {\\bf A}_{k}F \\|^2_2+ 2   \\sum_{m \\geq 1} \\| {\\bf A}_{n+m} F \\|^2_2 \\Big)^{\\frac{1}{2}}     \\\\\n& \\quad \\times \\Big (  ( (n+1) Q+ \\frac{n(n-1)}{4}) \\| G \\|^2_2  +  2 \\| {\\bf A}_n G \\|^2_2 + \\sum_{k=1}^{n-1} \\| {\\bf A}_{k}G \\|^2_2 + 2 \\sum_{m \\geq 1} \\| {\\bf A}_m G \\|^2_2\\Big)^{\\frac{1}{2}} \\end{split}\\]\nThe first term is bounded by $C(1+n)^{1\/2}\\|F\\|_{\\mathcal{Q}_0}$ and the second by $C(1+n)\\|G\\|_{\\mathcal{Q}_0}$ for some uniform $C>0$, which concludes the proof.\n\\end{proof}\n\n\\subsection{Gaussian Free field and Gaussian multiplicative chaos}\n\nOn the Riemann sphere $\\hat{\\mathbb{C}}$, we put the Riemannian metric $g_0=|dz|^2\/|z|_+^4$ (with $|z|_+:=\\max(1,|z|)$)\n which is invariant by the inversion $z\\mapsto 1\/z$. We shall use freely the complex variable $z$ in $\\mathbb{C}$ or $x\\in \\mathbb{R}^2$ when we think of it as a real variable.\nThe Gaussian Free Field $X$ (GFF in short) in the metric $g_0$ is a random variable in the Sobolev space $H^{s}(\\mathbb{C})$ for $s<0$ \nwith mean $0$ on $\\mathbb{T}$ and covariance kernel \n \\begin{equation*}\n \\mathbb{E}[X(z)X(z')]= \\ln \\frac{|z|_+|z'|_+}{|z-z'|}.\n \\end{equation*}\nIf $\\varphi$ is the random variable \\eqref{GFFcircle} on the unit circle $\\mathbb{T}:=\\{z\\in \\mathbb{C}\\,|\\, z=1\\}$, it is easily checked (see \\cite{GKRV}) that \n\\begin{equation}\\label{decomposGFF}\n X= P\\varphi+ X_\\mathbb{D}+X_{\\mathbb{D}^c}\n \\end{equation} \n where $P\\varphi$ is the harmonic extension of $\\varphi$  and $X_\\mathbb{D},X_{\\mathbb{D}^c}$ are two independent GFFs on $\\mathbb{D}:=\\{z\\in \\mathbb{C}\\,|\\, |z|<1\\}$  \n and $\\mathbb{D}^c:=\\{z\\in \\hat{\\mathbb{C}}\\,|\\, |z|>1\\}$  with Dirichlet boundary conditions defined respectively on  the probability spaces $ (\\Omega_\\mathbb{D}, \\Sigma_\\mathbb{D},\\P_\\mathbb{D})$ and $ (\\Omega_{\\mathbb{D}^c}, \\Sigma_{\\mathbb{D}^c}, \\P_{\\mathbb{D}^c})$\\footnote{With a slight abuse of notations, we will assume that these spaces are canonically embedded in the product space $(\\Omega,\\Sigma)$ and we will identify them with the respective images of the respective embeddings.}. \n The covariance of $X_{\\mathbb{D}}$ is the Dirichlet Green's function on $\\mathbb{D}$, given by \n \\[ \\mathbb{E}[X_{\\mathbb{D}}(z)X_{\\mathbb{D}}(z')]=G_\\mathbb{D}(z,z')= \\ln \\frac{|1-z\\bar{z}'|}{|z-z'|}.\\]\n The random variable $X$  is defined on a probability space $(\\Omega, \\Sigma, \\P)$ (with expectation $\\mathbb{E}[.]$) where $\\Omega= \\Omega_\\mathbb{T} \\times \\Omega_\\mathbb{D} \\times \\Omega_{\\mathbb{D}^c} $, $\\Sigma= \\Sigma_\\mathbb{T} \\otimes \\Sigma_\\mathbb{D} \\otimes \\Sigma_{\\mathbb{D}^c}$ and $\\P$ is a product measure $\\P=\\P_\\mathbb{T}\\otimes \\P_{\\mathbb{D}}\\otimes \\P_{\\mathbb{D}^c}$. We will write  $\\mathbb{E}_\\varphi[\\cdot ]$ for conditional expectation with respect to the GFF on the circle $\\varphi$.\n \nWe introduce the Gaussian multiplicative chaos measure (GMC in short), introduced by Kahane \\cite{cf:Kah},\n\\begin{equation}\\label{GMCsphere}\ne^{\\gamma X(x)}\\text{\\rm d} x:=  \\underset{\\epsilon \\to 0} {\\lim}  \\; \\; e^{\\gamma X_\\epsilon(x)-\\frac{\\gamma^2}{2} \\mathbb{E}[X_\\epsilon(x)^2]}\\text{\\rm d} x\n\\end{equation}\nwhere $X_\\epsilon= X \\ast \\theta_\\epsilon$ is the mollification of $X$ with an  approximation   $(\\theta_\\epsilon)_{\\epsilon>0}$ of the Dirac mass $\\delta_0$; indeed, one can show that the limit \\eqref{GMCsphere} exists in probability in the space of Radon measures on $\\hat\\mathbb{C}$ and that the limit does not depend on the mollifier $\\theta_\\epsilon$: see \\cite{RoV, review, Ber}.   The condition $\\gamma \\in (0,2)$ stems from the fact that the random measure $M_\\gamma$ is different from zero if and only if $\\gamma \\in (0,2)$. We will also consider the GMC measure on the circle $\\mathbb{T}$ associated to $\\varphi$ defined via \n\\begin{equation}\\label{GMCcircle}\ne^{\\gamma \\varphi(\\theta)} \\text{\\rm d} \\theta:=  \\underset{\\epsilon \\to 0} {\\lim}  \\; \\; e^{\\gamma \\varphi_\\epsilon(\\theta)-\\frac{\\gamma^2}{2} \\mathbb{E}[\\varphi_\\epsilon(\\theta)^2]} \\text{\\rm d} \\theta\n\\end{equation}\nwhere $\\varphi_\\epsilon$ is a mollification at scale $\\epsilon$ of $\\varphi$. The measure $e^{\\gamma \\varphi(\\theta)} \\text{\\rm d} \\theta$ is different from zero if and only if $\\gamma \\in (0,\\sqrt{2})$ and therefore for $\\gamma \\in [\\sqrt{2},2)$, the Fourier coefficients in \\eqref{virasoro} will not act as multiplication by a variable and will rather be defined via the Girsanov transform in the context of Dirichlet forms. \n\n\\subsection{Liouville Hamiltonian and its quadratic form} \nIn \\cite[Section 5]{GKRV}, an Hamiltonian ${\\bf H}$ associated to Liouville CFT is defined as an unbounded\n operator acting on the Hilbert space $\\mathcal{H}$, it is formally  given by the expression on $\\mathcal{C}_{\\rm exp}$ \n\\begin{equation}\\label{LiouvilleH}\n{\\bf H}={\\bf H}^0+\\mu e^{\\gamma c}V \n\\end{equation}\nwhere $V$ is a non-negative unbounded operator on $L^2(\\Omega_\\mathbb{T},\\mathbb{P}_\\mathbb{T})$ associated to a symmetric \nquadratic form $\\mathcal{Q}_V$; when $\\gamma<\\sqrt{2}$, $V$ is a multiplication operator by the potential  \n\\[V(\\varphi)=\\int_0^{2\\pi} e^{\\gamma \\varphi(\\theta)}d\\theta \\in L^{\\frac{2}{\\gamma^2}-\\epsilon}(\\Omega_\\mathbb{T}), \\quad \\forall \\epsilon>0\\]\nwith $e^{\\gamma \\varphi(\\theta)}d\\theta$ being the GMC measure on the circle defined in \\eqref{GMCcircle}.\nThe rigorous construction of   ${\\bf H}$ uses again the notion of Friedrichs extension. Consider the symmetric quadratic form \n\\begin{equation}\\label{quadformQ}\n\\mathcal{Q}(F,F):=\\mathcal{Q}_0(F,F)+\\mu \\int_{\\mathbb{R}} e^{\\gamma c}\\mathcal{Q}_V(F,F)\\text{\\rm d} c \\geq \\mathcal{Q}_0(F,F).\n\\end{equation}\nThis quadratic form admits a closure on a domain $\\mathcal{D}(\\mathcal{Q})\\subset \\mathcal{D}(\\mathcal{Q}_0)$ and one can view ${\\bf H}$ as a self-adjoint operator using the Friedrichs extension \\cite[Proposition 5.5]{GKRV}. The operator ${\\bf H}$ has a domain $\\mathcal{D}({\\bf H})\\subset \\mathcal{D}(\\mathcal{Q})$ but it is also bounded as a map \n\\[ {\\bf H} : \\mathcal{D}(\\mathcal{Q})\\to \\mathcal{D}'(\\mathcal{Q})\\]\nwhere $ \\mathcal{D}'(\\mathcal{Q})$ is the dual space to $\\mathcal{D}(\\mathcal{Q})$. The propagator $e^{-t{\\bf H}}$ for $t\\geq 0$ is a contraction \nsemi-group that has the Markov property \\cite[Proposition 5.2]{GKRV}, it will appear also below as a special case of \nMarkovian vector field.\n\\subsection{Markovian holomorphic vector fields}\nLet $\\mathcal{M}$ be the space of univalent maps on $\\mathbb{D}$ extending smoothly \nto the boundary. By Carath\\'eodory's conformal mapping theorem, $f(\\mathbb{T})$ is a Jordan curve for each $f\\in\\mathcal{M}$, and this Jordan curve is smooth. Infinitesimal variations around the identity in $\\mathcal{M}$ give rise to \nthe space $\\mathrm{Vect}(\\mathbb{D})$ of holomorphic vector fields on $\\mathbb{D}$ extending smoothly to the boundary. \nThese vector fields can be  written as $\\mathbf{v}=v\\partial_z$ for some holomorphic function $v$, with power series expansion at $z=0$\n\\begin{equation}\\label{eq:coordinates_vector_fields}\nv(z)=-\\sum_{n=-1}^\\infty v_nz^{n+1}.\n\\end{equation}\nThese vector fields encode the infinitesimal motion $f_t(z)=z+tv(z)+o(t)$ on $\\mathcal{M}$.\n\nLet us introduce the following subspace of $\\mathrm{Vect}(\\mathbb{D})$:\n\\begin{equation}\\label{eq:def_vect_plus}\n\\begin{aligned}\n&\\mathrm{Vect}_+(\\mathbb{D}):=\\left\\lbrace\\mathbf{v}\\in\\mathrm{Vect}(\\mathbb{D})|\\,  \\forall z\\in\\mathbb{T},  \\Re\\left(\\bar{z}v(z)\\right)<0\\,\\right\\rbrace.\\\\\n\\end{aligned}\n\\end{equation}\nWe will refer to such vector fields as \\emph{Markovian}. Notice that for each $\\mathbf{v}\\in\\mathrm{Vect}(\\mathbb{D})$ with $v(0)=0$, one can find $\\omega>0$ large enough such that $\\omega \\mathbf{v}_0+\\mathbf{v}$ is Markovian, if $\\mathbf{v}_0=-z\\partial_z$.\n\nThe basis elements \n\\[\\mathbf{v}_n=-z^{n+1}\\partial_z \\in\\mathrm{Vect}(\\mathbb{D}) ,\\quad n\\geq-1\\] \nspan a Lie subalgebra of the complex Witt algebra. Recall that the complex Witt algebra is the complex Lie algebra of polynomial vector fields on $\\mathbb{T}$, i.e.vector fields of the form $\\sum_{|k|\\leq N}a_k e^{ik\\theta}\\partial_{\\theta}$ for $a_k\\in \\mathbb{C}$ and some $N<\\infty$. This is a subalgebra of the Lie algebra $\\mathbb{C}(z)\\partial_z$ of meromorphic vector fields in $\\mathbb{D}$. \nThere is an antilinear involution on $\\mathbb{C}(z)\\partial_z$ given by $\\mathbf{v}\\mapsto \\mathbf{v}^*:=z^2\\bar{v}(1\/z)\\partial_z$. On the canonical generators, we have $\\mathbf{v}_n^*=\\mathbf{v}_{-n}$ and $(i\\mathbf{v}_n)^*=-i\\mathbf{v}_{-n}$. The vector fields with negative powers encode the deformations near the identity of the space of conformal transformations of the outer disc. The involution $^*$ relates the two types of deformations.\n\n\\begin{lemma}\nFor  $\\mathbf{v}=v(z)\\partial_z \\in \\mathrm{Vect}_+(\\mathbb{D})$, let $f_t(z)$ be the solution of the complex ordinary differential equation $\\partial_tf_t(z)=v(f_t(z))$ for $t\\geq 0$ with $f_0(z)=z$. \nThe family $(f_t)_{t\\geq 0}$ is a family of holomorphic maps in $\\mathcal{M}$ satisfying $f_{t}(\\mathbb{D})\\subset f_{s}(\\mathbb{D})$ for all  \n$t\\geq s$ and $f_t(\\mathbb{D})$ converges exponentially fast to $a\\in \\mathbb{D}$, the unique zero of $v(z)$ in $\\mathbb{D}$.\n\\end{lemma}\n\\begin{proof}\nThe functions $(f_t)_{t\\geq 0}$ are holomorphic in $\\mathbb{D}$ as solution of an ODE with holomorphic coefficients. \nWe first show that there exists an $a \\in \\mathbb{D}$ such that $v(a)=0$. If this is not the case then $1\/v(z)$ is holomorphic in $\\mathbb{D}$ and hence by Cauchy's theorem\n\\begin{equation*}\n\\int_{0}^{2\\pi} \\frac{e^{i \\theta} \\overline{v (e^{i \\theta})}}{|v (e^{i \\theta})|^2} d \\theta = \\int_{0}^{2\\pi} \\frac{e^{i \\theta} }{v (e^{i \\theta})} d \\theta =0\n\\end{equation*} \nwhich is in contradiction with the fact that $\\Re (e^{i \\theta} \\overline{v (e^{i \\theta})}  )    <0$ for all $\\theta \\in [0,2\\pi]$.\n\nWe first consider a vector field $\\mathbf{v} \\in \\mathrm{Vect}_+(\\mathbb{D})$ which satisfies $v(0)=0$. By the maximum principle for harmonic functions applied to $\\Re\\left( \\frac{v(z)}{z}\\right)$, there exists $c>0$ such that\n\\begin{equation}\\label{inequa}\n\\sup_{|z| \\leq 1} \\Re\\left( \\frac{v(z)}{z}\\right) \\leq -c.\n\\end{equation} \nThe flow satisfies $\\partial_t f_t(z)= v( f_t(z) )$ and $f_{0}(z)=z$. \nThanks to \\eqref{inequa}, one has the following \n\\begin{equation*}\n\\partial_t  |f_t(z)|^2 =2{\\rm Re}\\Big (\\frac{\\partial_tf_t(z)}{f_t(z)}\\Big)|f_t(z)|^2=2 {\\rm Re}\\Big(\\frac{v(f_t(z))}{f_t(z)}\\Big)|f_t(z)|^2 \\leq -2c |f_t(z)|^2\n\\end{equation*}  \nand therefore the flow is defined for all $t \\geq 0$ and one has $|f_t(z)| \\leq e^{-ct}|z|$.\nNext we consider the case where there exists some $a \\in \\mathbb{D}$ such that $v(a)=0$. The curve $(x(t),y(t))=({\\rm Re}(f_t(z)),{\\rm Im}(f_t(z))$ is the integral curve of the vector field $V={\\rm Re}(v)\\partial_x+{\\rm Im}(v)\\partial_y$ and $V$ is pointing inside $\\mathbb{D}$ at $\\mathbb{T}=\\partial\\mathbb{D}$, thus $f_t(z)$ is defined for all $t\\geq 0$.\nWe then introduce the M\\\"obius map $\\psi(z)= \\frac{z-a}{1-\\bar a z}$ preserving $\\mathbb{D}$ and such that $\\psi(a)=0$ and consider the vector field $v_\\psi= (\\psi' \\circ \\psi^{-1})  v \\circ \\psi^{-1} $ which satisfies $v_\\psi(0)=0$ and \n\\begin{equation*}\n\\sup_{|z| = 1} \\Re\\left(  \\bar{z}  v_\\psi(z) \\right) = \\sup_{|z| = 1} \\Re\\left(  \\overline{\\psi (z)} \\psi'(z)  v(z) \\right)= \\sup_{|z| = 1} \n\\Re\\left(  \\bar{ z}  v(z) \\right) \\frac{1-|a|^2}{|1-a\\bar{z}|^2}< 0\n\\end{equation*} \nby noticing that $ \\overline{\\psi (z)} \\psi'(z)= \\bar{z}\\frac{1-|a|^2}{|1-\\bar{z}a|^2}$ when $|z| = 1$. The vector field $v_\\psi$ has  $ \\psi \\circ f_t \\circ \\psi^{-1}$ as flow. This concludes the proof.\n\\end{proof}\n\n\n\n\n\\begin{lemma}\\label{limith}\nAssume that $v\\in {\\rm Vect}_+(\\mathbb{D})$, that $v(0)=0$, $v'(0)=-\\omega$ for $\\omega>0$ and that $v$ admits a holomorphic extension in a neighborhood of $\\mathbb{D}$. \nFor each $k$, the function $e^{\\omega t}f_t$ converges in $C^k(\\mathbb{D})$ norm, as $t\\to \\infty$,  towards a function $h$ which is holomorphic near $\\mathbb{D}$ and univalent on $\\mathbb{D}$.\nFinally, $f'_t(0)=e^{-\\omega t}$ and $h'(0)=1$.\n \\end{lemma}\n\\begin{proof}\nLet $U$ be the neighborhood of $\\mathbb{D}$ so that $v$ is holomorphic. We can assume that $v$ has no other zeros than $z=0$, by choosing $U$ appropriately.\nSince $v(z)=-\\omega z+\\mathcal{O}(|z|^2)$ at $z=0$, the linearisation of the ODE satisfied by $f_t$ at the fixed point $z=0$ is given by \n$\\partial_t f_t(z)=-\\omega f_t(z)$. Therefore, by standard ODE arguments we obtain a bound $|f_t(z)|\\leq Ce^{-\\omega t}|z|$ \nfor some $C>0$ uniform and that $g_t(z)=e^{\\omega t}f_t(z)$ satisfies, uniformly in $z\\in \\mathbb{D}$,\n\\[ \\partial_t g_t(z)=e^{\\omega t}(f_t(z)+\\omega v(f_t(z)))=\\mathcal{O}(e^{\\omega t}|f_t(z)|^2)=\\mathcal{O}(e^{-\\omega t}).\\]\nThus, $t\\to +\\infty$, there is some function $h: U \\to \\mathbb{C}$ so that \n\\[ e^{\\omega t}f_t(z)=g_t(z)= z+\\int_{0}^{t}  \\partial_s g_s(z)ds \\to_{t\\to \\infty} h(z). \\]\nThe convergence is uniform on compact sets of $U $and the function $h$ is then holomorphic in  $U$  \nas uniform limit of holomorphic functions, moreover $g_t\\to h$ in all $C^k(\\mathbb{D})$ norms \n(using Cauchy formula, the derivatives are dealt with using the $C^0$ convergence). The fact that $h$ is univalent on $\\mathbb{D}$ follows from Carath\\'eodory's kernel theorem, since $g_t$ is univalent on $\\mathbb{D}$ and converges uniformly on compact sets of $\\mathbb{D}$.\nExpanding $f_t(z)=\\sum_{n\\geq 1}a_n(t)z^n$ at $z=0$, we see that $a_n(t)$ must solve the ODE $\\partial_t a_1(t)=-\\omega a_1(t)$ with $a_1(0)=1$, \nthus $a_1(t)=e^{-\\omega t}$ and this implies that $h'(0)=1$. \n\\end{proof}\n\n\n\nWe end with the following lemma which will be useful in the sequel:\n\n\\begin{lemma}\\label{limitandh}\nAssume that $v\\in {\\rm Vect}_+(\\mathbb{D})$, that $v(0)=0$, $v'(0)=-\\omega$ and that $v$ admits a holomorphic extension in a neighborhood of $\\mathbb{D}$. Then for all $t\\geq 0$, $v(f_t(z))=f_t'(z)v(z)$  and  the function $h$ of Lemma \\ref{limith} solves the differential equation $\\omega h(z)= -h'(z) v(z)$.\n\\end{lemma}\n\\begin{proof}\nSince $f_t(z)$ is one-to-one, $f_t'(z)$ never vanishes in $\\mathbb{D}$. We then have \n\\begin{equation*}\n\\partial_t  \\frac{v(f_t(z))}{f_t'(z)}= \\frac{ \\partial_t f_t(z) v'( f_t(z)  )}{f_t'(z)}- \\frac{ ( \\partial_t f_t )'(z) v( f_t(z)  )}{(f_t'(z))^2} =  \\frac{ v( f_t(z)  ) v'( f_t(z)  )}{f_t'(z)}-\\frac{ f_t'(z) v'( f_t(z))   v( f_t(z)  )}{(f_t'(z))^2}=0.\n\\end{equation*}\nThis shows that $v(f_t(z))=f_t'(z)v(z)$ and thus as $t\\to +\\infty$ \n\\[\ne^{\\omega t}f'_t(z)v(z)= e^{\\omega t}v(f_t(z))=-e^{\\omega t}f_t(z)+\\mathcal{O}(e^{-\\omega t})\n\\]\nand by letting $t\\to +\\infty$, we get $h'(z)v(z)=-\\omega h(z)$.\n\\end{proof}\n\n\n\n\\subsection{The probabilistic formula for the vector field dynamics}\n\n\n\nLet $\\mathbf{v}=v(z)\\partial_z$ be a Markovian vector field, and we assume that $v(0)=0$ and $v'(0)=-\\omega$ for $\\omega>0$. This vector field induces a family of small conformal transformations $f_t(z)=z+tv(z)+o(t)$ on $\\mathbb{D}$ such that $f_t(\\mathbb{T})\\subset\\mathbb{D}$ for all $t$ and $f'_t(0)=e^{-\\omega t}$. Given an initial condition $\\varphi \\in H^{-s}(\\mathbb{T})$ with $s>0$, we define a stochastic process $(B_t,\\varphi_t)\\in H^{-s}(\\mathbb{T})$ via the following formula\n\\begin{equation}\\label{eq:process}\n(B_t,\\varphi_t):=\\left((P\\varphi+X_\\mathbb{D})\\circ f_t+Q\\log \\frac{|f_t'|}{|f_t|}\\right)\\Big|_{\\mathbb{T}}.\n\\end{equation}\nwhere $|_{\\mathbb{T}}$ denotes restriction to the unit circle and $(B_t,\\varphi_t)$ is the standard decomposition into the average and the average zero part. That is, we look at the trace of the field $P\\varphi+X_\\mathbb{D}$ on the deformed circle $f_t(\\mathbb{T})$ and pull this field back to $\\mathbb{T}$ using $f_t$. The extra term $Q\\log \\frac{|f_t'|}{|f_t|}$ is here to conform with the transformation properties of the Liouville field. \nNotice that $X_{\\mathbb{D}}\\circ f_t=\\sum_{n}X_n(t)e^{in\\theta}$ where \n\\begin{equation}\\label{X_n(t)}\nX_n(t)=\\frac{1}{2\\pi}\\int_0^{2\\pi} X_{\\mathbb{D}}(f_t(e^{i\\theta}))e^{-in\\theta}d\\theta\n\\end{equation} \n\\begin{equation}\\label{covarianceXn} \n\\mathbb{E}[ X_n(t)X_{m}(t')]= \\frac{1}{4\\pi^2}\\int_0^{2\\pi}\\int_0^{2\\pi} e^{-in\\theta-im\\theta'}\\log \\frac{| 1-f_t(e^{i\\theta})\\overline{f_{t'}(e^{i\\theta'})}|}{|f_t(e^{i\\theta})-f_{t'}(e^{i\\theta'})|}d\\theta d\\theta'.\n\\end{equation}\nWe can now register a few formulas: for  all $x \\in \\mathbb{D} \\setminus \\mathbb{D}_t$\n\\begin{equation*}\n\\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  G_{\\mathbb{D}} (x,f_t(e^{i \\theta'}) )  d \\theta'= \\log \\frac{|   1- f_t(0) \\overline{x})|}{|f_t(0)-x|}= \\log \\frac{1}{|x|}.   \n\\end{equation*}\nThis formula is just the average principle applied to the harmonic function $z \\mapsto G_{\\mathbb{D}} (x,f_t(z) )$ for $z \\in \\mathbb{D}$. Taking $x \\to f_t(e^{i \\theta})$ yields by continuity for all $\\theta$\n\\begin{equation*}\n\\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  G_{\\mathbb{D}} (f_t(e^{i \\theta}),f_t(e^{i \\theta'}) )  d \\theta'= \\log \\frac{ 1 }{|f_t(e^{i \\theta}) |}.  \n\\end{equation*}\nNow using the average principle applied to the harmonic function $z \\mapsto \\log \\frac {|f_t(z) |}{|z|} $ for $z \\in \\mathbb{D}$, we get\n\\begin{equation*}\n\\frac{1}{2 \\pi} \\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  \\int_0^{2 \\pi}  G_{\\mathbb{D}} (f_t(e^{i \\theta}),f_t(e^{i \\nu}) )  d \\theta d \\nu= - \\frac{1}{2 \\pi}   \\int_0^{2 \\pi}   \\log \\frac {|f_t(e^{i \\theta}) |} { |e^{i \\theta}| } d \\theta =     -\\log |f_t'(0)|\n\\end{equation*}\nSimilar considerations yield for $s \\leq t$\n\\begin{equation*}\n\\frac{1}{2 \\pi} \\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  \\int_0^{2 \\pi}  G_{\\mathbb{D}} (f_t(e^{i \\theta}),f_s(e^{i \\nu}) )  d \\theta d \\nu= - \\frac{1}{2 \\pi}   \\int_0^{2 \\pi}   \\log \\frac {|f_s(e^{i \\theta}) |} { |e^{i \\theta}| } d \\theta =     -\\log |f_s'(0)|\n\\end{equation*}\nIn particular this shows that  $\\mathbb{E}[ X_0(s) X_0(t) ]=  \\omega \\min(  s,t) $  and hence $X_0(t)=B_t$ is a Brownian motion with diffusivity $\\omega$. \n\n\\begin{proposition}\\label{continuousprocess}\nLet $\\mathbf{v}=v(z)\\partial_z$ with $v(0)=0$ and $v'(0)=-\\omega$, and let $f_t$ be the associated flow. Then the field $(B_t,\\varphi_t)$ is a continuous process with values in $H^{-s}(\\mathbb{T})$ for $s>0$ and the operator $P_t^0$ associated to this process, defined for all bounded and continuous $F$ by\n\\begin{equation}\\label{definitionPt0}\n  P_t^0F(c,\\varphi):= |f_t'(0)|^{\\frac{Q^2}{2}} \\mathbb{E}_\\varphi[  F( c+B_t+\\varphi_t )]  \n\\end{equation} \nis a Markov semi-group.\n\\end{proposition}\n\\begin{proof}\nFirst, the field $\\left(P\\varphi \\circ f_t+Q\\log \\frac{|f_t'|}{|f_t|}\\right)|_{\\mathbb{T}}$ is clearly continuous in  $H^{-s}(\\mathbb{T})$. The property of the \nsecond part of the process is a consequence of the following lemma\n\\begin{lemma}\nLet $s>0$. There exist $\\alpha>0$ and $C>0$ such that for all $t,t'\\geq 0$\n\\[\n\\mathbb{E}[ \\| (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} - (X_\\mathbb{D} \\circ f_{t'})|_{\\mathbb{T}} \\|_{H^{-s}(\\mathbb{T})}^2  ]  \\leq C |t-t'|^\\alpha\n\\]\n\\end{lemma}\n\\proof \nWe will show the result for the stochastic part. We have writing $\\langle n\\rangle=(1+|n|)$\n\\begin{align*}\n& \\mathbb{E}\\Big[   \\sum_{n \\in \\mathbb{Z}} \\langle n\\rangle^{-2s}  \\Big|  \\int_0^{2 \\pi }  (X_\\mathbb{D} \\circ f_t)  (e^{i \\theta})  e^{-i n \\theta}   d \\theta -   \\int_0^{2 \\pi }  (X_\\mathbb{D} \\circ f_{t'})  (e^{i \\theta})  e^{-i n \\theta}   d \\theta  \\Big| ^2     \\Big]   \\\\\n& = \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2 \\pi}  \\int_{[0,2\\pi]^2}  \\left ( G_\\mathbb{D} (f_t (e^{i \\theta}), f_t (e^{i \\theta'}))+G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) -2 G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  \\right )    e^{in (\\theta-\\theta')} d\\theta d \\theta'    \\\\\n&=   \\int_{[0,2\\pi]^2}   \\left ( G_\\mathbb{D} (f_t (e^{i \\theta}), f_t (e^{i \\theta'}))+G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) -2 G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  \\right )    \\left (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\right ) d\\theta d \\theta' \\\\\n& \\leq   C  \\int_0^{2 \\pi } \\int_0^{2 \\pi }   | G_\\mathbb{D} (f_t (e^{i \\theta}), f_t (e^{i \\theta'}))+G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) -2 G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta' \\\\\n& \\leq  2C  \\int_0^{2 \\pi } \\int_0^{2 \\pi }   | G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) - G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta' \\\\\n& \\quad +   2C  \\int_0^{2 \\pi } \\int_0^{2 \\pi }   | G_\\mathbb{D} (f_t (e^{i \\theta}), f_t (e^{i \\theta'}))- G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta', \n\\end{align*}\nwhere we used the bound $  \\sum_{n \\in \\mathbb{Z}} \\langle n\\rangle^{-2s} e^{in (\\theta-\\theta')}  \\leq C|\\theta-\\theta'|^{-1+2s}$. We only deal with the first term since and the second is similar. Now we have\n\\begin{align*}\n & \\int_0^{2 \\pi } \\int_0^{2 \\pi }   \\Big| G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) - G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'}(e^{i \\theta'}))  \\Big|   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'   \\\\\n&= \\int_{|t-t'| \\leq |\\theta-\\theta'|^2}  \\Big| G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) - G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'})) \\Big |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'   \\\\\n& \\quad +\\int_{|t-t'| > |\\theta-\\theta'|^2}  \\Big | G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) - G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  \\Big|   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'.\n\\end{align*}\nBut, using the explicit formula $G_{\\mathbb{D}}(z,z')=\\log \\frac{|z-z'|}{|1-\\bar{z}z'|}$, the bounds \n\\[|f_t (e^{i \\theta})-f_{t'} (e^{i \\theta'})|\\geq C^{-1}(|t-t'|+|\\theta-\\theta'|),\\quad |1-\\overline{f_t (e^{i \\theta})}f_{t'} (e^{i \\theta'})|\\geq c(|t-t'|+|\\theta-\\theta'|)\n\\] \nfor some $c>0$ locally uniform in $t',t$,  there is $C>0$ locally uniform in $t,t'$ so that\n\\begin{align*}\n& \\int_{|\\theta-\\theta'|^2 < |t-t'|}     \\Big| G_\\mathbb{D} (f_{t'} (e^{i \\theta}), f_{t'} (e^{i \\theta'})) - G_\\mathbb{D} (f_t (e^{i \\theta}), f_{t'} (e^{i \\theta'}))  \\Big|   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'  \\\\\n& \\leq C \\int_{|\\theta-\\theta'|^2 < |t-t'|}  |\\ln (|\\theta-\\theta'|)|    \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'    \\leq C  |t-t'|^{s} \n\\end{align*}\nSimilarly, one gets\n\\begin{align*}\n& \\int_{|t-t'| \\leq |\\theta-\\theta'|^2}      \\Big|  \\ln \\Big|\\frac{1-f_{t'}(e^{i \\theta})  \\overline{ f_t(e^{i \\theta'})  } }{  1-  f_t(e^{i \\theta})  \\overline{ f_t(e^{i \\theta'})  }  }\\Big| \\Big|   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'  \\\\ \n& =  \\int_{|t-t'| \\leq |\\theta-\\theta'|^2}    \\Big |  \\ln\\Big |1+ \\frac{    ( f_t(e^{i \\theta})-f_{t'}(e^{i \\theta})  )    \\overline{ f_t(e^{i \\theta'})  } }{  1-  f_t(e^{i \\theta})  \\overline{ f_t(e^{i \\theta'})  }  }\\Big| \\Big |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'    \\\\\n& \\leq  \\int_{|t-t'| \\leq |\\theta-\\theta'|^2}     \\Big|    \\frac { ( f_t(e^{i \\theta})-f_{t'}(e^{i \\theta})  )    \\overline{ f_t(e^{i \\theta'})  } }{  1-  f_t(e^{i \\theta})  \\overline{ f_t(e^{i \\theta'})  }  } \\Big |   \\frac{1}{|\\theta-\\theta'|^{1-2s}} d\\theta d \\theta'    \\\\\n& \\leq  C \\int_{|t-t'| \\leq |\\theta-\\theta'|^2}     |t-t'| \\frac{1}{|\\theta-\\theta'|^{2-2s}} d\\theta d \\theta'    \\leq  C  |t-t'|^{s}\n\\end{align*}\nThe term in $\\ln |  \\frac{f_t(e^{i \\theta}) -f_{t'}(e^{i \\theta'}) }{f_t(e^{i \\theta}) -f_t(e^{i \\theta'})}  |$ can be dealt with similarly.\\qed\n\nOn Gaussian spaces, the $L^p$ norms are all equivalent on polynomials of fixed bounded degree and therefore for all $p \\geq 1$ there exists some $C>0$ such that for  $t,t'\\geq 0$ \n\\begin{equation*}\n\\mathbb{E}[   \\| (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} - (X_\\mathbb{D} \\circ f_{t'})|_{\\mathbb{T}} \\|_{H^{-s}(\\mathbb{T})}^p  ]  \\leq C |t-t'|^{p\\frac{\\alpha}{2}}\n\\end{equation*}\nhence by choosing $p \\alpha >2$ the Kolmogorov continuity theorem ensures that the process $(\\varphi_t)_{t \\geq 0}$ admits a continuous \nversion in $H^{-s}(\\mathbb{T})$ for $s>0$. The operator thus defines a Markovian semi-group.\n\\end{proof}\n\n\nFirst, we identify the kernel $-\\log |h(e^{i \\theta})-h(e^{i \\theta'})|$ with the resolvant of a jump operator across the curve $h(\\mathbb{T})$ and deduce the existence of a Gaussian field with this covariance.\n\\begin{lemma}\\label{firstlemma1}\nThere exists a random variable $X_h\\in H^{-s}(\\mathbb{T})$, with vanishing mean and covariance\n\\[\n\\mathbb{E}[  X_h(e^{i \\theta})  X_h(e^{i \\theta'})   ]  = \\log \\frac{1}{|h(e^{i \\theta})-h(e^{i \\theta'})  |}.\n\\]\n\\end{lemma}\n\\begin{proof}\nIt suffices to show that for all real non zero $f\\in L^2(\\mathbb{T})$ with $\\int_{0}^{2 \\pi}f(e^{i \\theta})\\text{\\rm d} \\theta=0$,\n\\begin{equation}\\label{positivecovariance}\n\\int_0^{2 \\pi} \\int_0^{2 \\pi}   \\log \\frac{1}{|h(e^{i \\theta})-h(e^{i \\theta'})  |}  f(e^{i\\theta}) f(e^{i\\theta'}) \\text{\\rm d} \\theta \\text{\\rm d} \\theta' >0\n\\end{equation}\nLet $K$ be the single layer operator $K:C^\\infty(\\mathbb{T})\\to C^0(\\mathbb{R}^2)$\n\\[ Kf(x)=\\int_{\\mathbb{T}} G(x,h(e^{i\\theta}))f(e^{i\\theta}) \\text{\\rm d} \\theta \\]\nwith  $G(x,x'):=(2\\pi)^{-1} \\log \\frac{1}{|x-x'|}$ the Green's function on $\\mathbb{R}^2$. We have $\\Delta Kf=0$ in $\\mathbb{R}^2\\setminus h(\\mathbb{T})$ and \n$((\\partial_{\\nu}^+-\\partial_{\\nu}^-)Kf)(h(e^{i\\theta}))=\\frac{f(e^{i\\theta})}{ |h'(e^{i\\theta})|  }$ where $\\partial_{\\nu}^+$ is the outward  unit normal derivative in $h(\\mathbb{D})$ and $\\partial_{\\nu}^-$ the outward unit normal derivative in $\\mathbb{R}^2\\setminus h(\\mathbb{D})$. Thus $Kf$ solves a Neumann problem \n\\begin{equation}\\label{Neumannprb}\n \\Delta Kf=0 \\textrm{  in } \\mathbb{R}^2 \\setminus h(\\mathbb{T}) ,\\quad (\\partial_{\\nu}^+-\\partial_{\\nu}^-)Kf |_{h(\\mathbb{T})} =\\frac{f\\circ h^{-1}}{|h'|\\circ h^{-1}},\n \\end{equation}\nmoreover we see that \n\\[ Kf(x)=-(2\\pi)^{-1}\\log(|x|) \\int_{0}^{2 \\pi} f(e^{i\\theta}) \\text{\\rm d} \\theta + \\mathcal{O}(1\/|x|) \\textrm{ as }|x|\\to \\infty\\]\nso $Kf(x)\\to 0$ as $|x|\\to \\infty$ if $\\int_{0}^{2 \\pi}  f(e^{i\\theta}) \\text{\\rm d} \\theta=0$. It is also direct to check that $|\\nabla Kf(z)|=\\mathcal{O}(1\/|z|^2)$ for large $|z|$ so that we can write using Green's formula and \\eqref{Neumannprb}\n\\[ \\int_{\\mathbb{R}^2} |\\nabla Kf(x)|^2 \\text{\\rm d} x=\\int_{\\mathbb{R}^2\\setminus h(\\mathbb{D})}|\\nabla Kf(x)|^2 \\text{\\rm d} x+\\int_{h(\\mathbb{D})}|\\nabla Kf(x)|^2\\text{\\rm d} x= \\int_{0}^{2\\pi}\\int_{0}^{2\\pi} f(e^{i\\theta})(Kf)(h(e^{i\\theta}))\\text{\\rm d} \\theta \\]\nwhich is nothing more than the left hand side of \\eqref{positivecovariance}. \n\\end{proof}\n\nLet $\\P_h$ be the probability measure induced by $X_h-Q \\log |v||_{\\mathbb{T}}$ on $H^{-s}(\\mathbb{T})$ for $s>0$\n and denote \n \\begin{equation}\\label{defmuh}\n \\mu_h:= \\text{\\rm d} c \\otimes \\P_h\n \\end{equation} \n the product probability measure on $H^{-s}(\\mathbb{T})$.\n\nIf ${\\bf v}=v(z)\\partial_z$ with $v(z)=-\\omega z-\\sum_{n=1}^\\infty v_nz^{n+1}$, we define the operator $\\mathbf{H}_\\mathbf{v}^0$ via the following formula: \n\\begin{equation}\\label{eq:def_L}\n \\forall F\\in\\mathcal{C}_\\mathrm{exp},\\quad  \\mathbf{H}_\\mathbf{v}^0 F=\\omega   \\mathbf{H}^0 F + \\sum_{n=1}^{\\infty}  \\Re (v_n)  (\\mathbf{L}_n^0+\\widetilde{\\mathbf{L}}_n^0 ) F  + i \\sum_{n=1}^{\\infty}  \\Im (v_n) (\\mathbf{L}_n^0-\\widetilde{\\mathbf{L}}_n^0)F.\n\\end{equation}\nOne should notice that in the two sums $\\sum_{n = 1}^{\\infty}$ only a finite number of terms are not equal to $0$ because $F \\in \\mathcal{C}_\\mathrm{exp}$ and therefore the above quantity is well defined. In particular, $\\mathbf{H}^0:=\\mathbf{H}_{\\mathbf{v}_0}^0$ (recall $\\mathbf{v}_0=-z\\partial_z$) is the free field Hamiltonian whose expression is  \\eqref{defH0}.\n\n\nThe first main result of this section is the following theorem which establishes the link between  $\\mathbf{H}_\\mathbf{v}^0$ and $P_t^0$:\n\n\n\\begin{theorem}\\label{theoremfreefield}\n Let $\\mathbf{v}=v(z)\\partial_z$ be a Markovian vector field such that $v(0)=0$, $v'(0)=-\\omega$ and $v$ admits a holomorphic extension in a neighborhood of $\\mathbb{D}$. There exists an absolute constant $K>0$ such that if $\\omega> K \\sum_{n \\geq 1}|v_n|n^2 $ then the operator $\\mathbf{H}_\\mathbf{v}^0$ defined in \\eqref{eq:def_L} admits a closed extension such that $e^{-t \\mathbf{H}_\\mathbf{v}^0 }$ is a continuous contraction semigroup on $\\mathcal{H}=L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$. The semigroup $P_t^0$ admits $\\mu_h$ of \\eqref{defmuh} as invariant measure, this measure is absolutely continuous with respect to $\\mu_0$ and $P_t^0$ coincides with $e^{-t \\mathbf{H}_\\mathbf{v}^0 }$ on $L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$. \n \\end{theorem}\n\n\n\nWe will first prove the following intermediate lemma:\n\n\\begin{lemma}\nThe semigroup $P_t^0$ defined by \\eqref{definitionPt0} admits $\\mu_h$ as an invariant measure and the measure $\\mu_h$ is absolutely continuous with respect to $\\mu_0$.\n\\end{lemma}\n\n\n\\proof\n\nWe first want to apply  Example 3.8.15 in \\cite{boga} to show convergence in law of $\\varphi_t$ towards $X_h-Q \\log |v||_{\\mathbb{T}}$.\nLet $s>0$. For all  $g(\\theta)= \\sum_{k \\in \\mathbb{Z}^\\ast}  z_k e^{ik \\theta} \\in H^{-s}(\\mathbb{T})$ and $g'(\\theta)= \\sum_{k \\in \\mathbb{Z}^\\ast} z_k' e^{ik \\theta}\\in H^{-s}(\\mathbb{T})$, we have\n\\[\n\\mathbb{E}\\Big[  \\langle   g , (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})} \\langle   g' ,  (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})} \\Big] =  \\frac{1}{(2 \\pi)^2}\\int_{0}^{2 \\pi} \\int_0^{2 \\pi} \\tilde{g}(\\theta) \\tilde{g}'(\\theta')  \\log \\frac{| 1-f_t(e^{i\\theta})\\overline{f_t(e^{i\\theta'})}|}{|f_t(e^{i \\theta})-f_t(e^{i \\theta'})  |}  d \\theta d\\theta'\n\\]\nwhere $\\tilde{g}(\\theta)= \\sum_{k \\in \\mathbb{Z}^\\ast} (1+|k|)^{-2s} z_k e^{ik \\theta} $ and $\\tilde{g}'(\\theta')= \\sum_{k \\in \\mathbb{Z}^\\ast} (1+|k|)^{-2s} z_k' e^{ik \\theta'}$. Since $g,g'$ have average $0$,\n\\begin{equation*}\n\\mathbb{E}\\Big[  \\langle   g ,  (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})} \\langle   g' ,  (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}\\Big ] =  \\frac{1}{(2 \\pi)^2}\\int_{0}^{2 \\pi} \\int_0^{2 \\pi} \\tilde{g}(\\theta) \\tilde{g}'(\\theta')  \\log \\frac{| 1-f_t(e^{i\\theta})\\overline{f_t(e^{i\\theta'})}|}{|e^{t} f_t(e^{i \\theta})-e^{t}f_t(e^{i \\theta'})  |}  d \\theta d\\theta'.\n\\end{equation*}\nWe have the following convergence (recall $f_t(z)\\to 0$ as $t\\to \\infty$ uniformly in $z$)\n\\begin{equation}\\label{HSconvergence}\n\\int_{0}^{2 \\pi} \\int_0^{2 \\pi}  \\Big|   \\log \\frac{| 1-f_t(e^{i\\theta})\\overline{f_t(e^{i\\theta'})}|}{|e^{t} f_t(e^{i \\theta})-e^{t}f_t(e^{i \\theta'})  |}  -  \\log \\frac{1}{|h(e^{i \\theta})-h(e^{i \\theta'})  |} \\Big|^2 \\text{\\rm d} \\theta \\text{\\rm d} \\theta'  \\underset{t \\to \\infty}{ \\rightarrow}  0 .\n\\end{equation}\nNow, since $  \\|  \\tilde{g}   \\|^2_{L^2(\\mathbb{T})}  \\leq  \\|  g   \\|_{H^{-2s}(\\mathbb{T})}^2\\leq   \\|  g   \\|_{H^{-s}(\\mathbb{T})}^2$, we get from the convergence \\eqref{HSconvergence} that \n\\begin{align*}\n& \\sup_{  \\|  g   \\|_{H^{s}(\\mathbb{T})}  \\leq 1   }   \\big | \\mathbb{E}[   \\langle   g , (X_\\mathbb{D} \\circ f_t)|_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}^2  ]    -  \\mathbb{E}[   \\langle   g , X_h \\rangle_{H^{-s}(\\mathbb{T})}^2  ]  \\big|  \\\\  \n&  \\leq  \\sup_{  \\|  \\tilde{g}   \\|_{L^2(\\mathbb{T})}^2  \\leq 1   }  \\Big|  \\frac{1}{(2 \\pi)^2}\\int_{0}^{2 \\pi} \\int_0^{2 \\pi} \\tilde{g}(\\theta) \\tilde{g}(\\theta') \\Big (  \\log \\frac{| 1-f_t(e^{i\\theta})\\overline{f_{t}(e^{i\\theta'})}|}{|e^{t} f_t(e^{i \\theta})-e^{t}f_t(e^{i \\theta'})  |}-  \\log \\frac{1}{|h(e^{i \\theta})-h(e^{i \\theta'})  |}  \\Big )  d \\theta d\\theta'   \\Big|  \\underset{t \\to \\infty}{ \\rightarrow}  0 .\n\\end{align*}\nThis establishes (ii) of Example 3.8.15 in \\cite{boga}. \nWe also have that\n\\begin{align*}\n \\mathbb{E}[     \\| (X_\\mathbb{D} \\circ f_t) |_{\\mathbb{T}}   \\|_{H^{-s}(\\mathbb{T})}^2   ]    & = \\frac{1}{(2 \\pi)^2}    \\int_{0}^{2 \\pi} \\int_0^{2 \\pi}    G_{\\mathbb{D}}   (  f_t(e^{i \\theta}),  f_t(e^{i \\theta'})   )  \\Big (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\Big )    \\text{\\rm d} \\theta   \\text{\\rm d} \\theta'  \\\\\n& =\\frac{1}{(2 \\pi)^2}    \\int_{0}^{2 \\pi} \\int_0^{2 \\pi}    \\log |1- f_t(e^{i \\theta}) \\overline{f_t(e^{i \\theta'})}  |    \\Big (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\Big )    \\text{\\rm d} \\theta   \\text{\\rm d} \\theta'  \\\\\n& + \\frac{1}{(2 \\pi)^2}    \\int_{0}^{2 \\pi} \\int_0^{2 \\pi}     \\log \\frac{1}{|e^{t} f_t(e^{i \\theta})-e^{t}f_t(e^{i \\theta'})  |}  \\Big (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\Big )    \\text{\\rm d} \\theta   \\text{\\rm d} \\theta'.\n\\end{align*}\nThe first term is bounded by $C e^{-2 \\alpha t} \\int_{0}^{2 \\pi} \\int_0^{2 \\pi}      \\left (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\right )    \\text{\\rm d} \\theta   \\text{\\rm d} \\theta'  $ hence converges to $0$ as $t$ goes to infinity and the second term converges to $ \\frac{1}{(2 \\pi)^2}    \\int_{0}^{2 \\pi} \\int_0^{2 \\pi}     \\log \\frac{1}{|h(e^{i \\theta})-h(e^{i \\theta'})  |}  \\left (   \\sum_{n \\in \\mathbb{Z}} \\frac{\\langle n\\rangle^{-2s}}{2\\pi} e^{in (\\theta-\\theta')}  \\right )    \\text{\\rm d} \\theta   \\text{\\rm d} \\theta' $. This establishes (iii) of Example 3.8.15 in \\cite{boga}.\n\nFinally, by the proof of Lemma \\ref{limitandh} and the fact that $P\\varphi(0)=0$,  the sequence $(P\\varphi \\circ f_t+Q \\log \\frac{|f'_t|}{|f_t|}) |_{\\mathbb{T}}$ converges in $H^{-s}(\\mathbb{T})$ towards $-Q \\log |v||_{\\mathbb{T}}$ as $t$ goes to infinity; this establishes (i) of Example 3.8.15 in \\cite{boga}. Hence we have established convergence  of $\\varphi_t$ towards $X_h-Q \\log |v||_{\\mathbb{T}}$. \n\nNow we turn to the convergence of the couple $(B_t=X_0(t), \\varphi_t)$. We denote by $\\varphi_{n,t}$ the Fourier modes of $\\varphi_t$ and  $X_n(t)$ the random part defined in \\eqref{X_n(t)}.\n\nConsider a continuous function $(u,\\varphi) \\to F(u,\\varphi)$ such that there exists a function $G(u)=\\mathcal{O}(\\langle u\\rangle^{-\\infty})$ such that $|F(u,\\varphi)| \\leq G(u)$. Let us decompose \n\\begin{align*}\n& \\varphi_{n,t}= \\tilde{\\varphi}_{n,t}+ c_{n,t} B_t, \\quad \\textrm{ with }\\\\ \n& c_{n,t}:= \\frac{\\mathbb{E}[ B_t  X_{n}(t) ]}{\\omega t}=\\frac{1}{\\omega t (2 \\pi)^2} \\int_{0}^{2 \\pi} \\int_{0}^{2\\pi}  \\log  \\frac{|1- f_t(e^{i \\theta}) \\overline{f_t(e^{i \\theta'})}  |    }{| e^{t}f_t(e^{i \\theta}) -e^{t}f_t(e^{i \\theta'})  |}   e^{-in \\theta} \\text{\\rm d} \\theta \\text{\\rm d} \\theta'=\\mathcal{O}(t^{-1})\n\\end{align*}\nand $\\tilde{\\varphi}_{n,t}$ is independent of $B_t$. Let $c_t= \\sum_{n\\in \\mathbb{Z}^\\ast}c_{n,t}e^{in\\theta}$ \nand $\\tilde{\\varphi}_t =\\sum_{n\\in \\mathbb{Z}^\\ast }\\tilde{\\varphi}_{n,t}e^{in\\theta}$.\nWe have by conditioning on $B_t$ \n\\begin{align*}\n|  \\mathbb{E}[  \\sqrt{2 \\pi \\omega t} F(c+B_t, \\varphi_t) - \\int_{\\mathbb{R}}  F(u, c_t u+ \\tilde{\\varphi}_t) \\text{\\rm d} u ] |  & \\leq   \\mathbb{E}\\Big[   \\int_{\\mathbb{R}} | e^{-\\frac{(u-c)^2}{2 \\omega t}}  -1| |F(u, c_t (u-c)+ \\tilde{\\varphi}_t)| \\text{\\rm d} u \\Big]   \\\\\n& \\leq   \\int_{\\mathbb{R}} | e^{-\\frac{(u-c)^2}{2 \\omega t}}  -1| G(u)  \\text{\\rm d} u \\underset{t \\to \\infty}{\\rightarrow}  0   .\n\\end{align*}\nNow, one can show that $\\tilde{\\varphi}_t$ converges in law towards $ X_h-Q \\log |v||_{\\mathbb{T}}$ (since $\\varphi_t-\\tilde{\\varphi}_t$ converges in probability towards $0$) and $c_t$ converges as $t$ goes to infinity towards $0$ in $H^s(\\mathbb{T})$.\nWe have\n\\begin{equation*}\n\\mathbb{E}[  \\int_{\\mathbb{R}}  F(u, c_t(u-c)+ \\tilde{\\varphi}_t) \\text{\\rm d} u  ]=  \\int_{\\mathbb{R}} \\mathbb{E}[   F(u, c_t(u-c)+ \\tilde{\\varphi}_t)   ]  \\text{\\rm d} u  \\underset{t \\to \\infty}{\\rightarrow}  \\int_{\\mathbb{R}} \\mathbb{E}[   F(u, X_h-Q \\log |v||_{\\mathbb{T}})   ]  \\text{\\rm d} u\n\\end{equation*}\nwhere we have used the weak convergence at $u$ fixed and the dominated convergence theorem.\n\nIf we fix $t_0>0$ the continuous function $(u, \\varphi) \\to P_{t_0}F(u, \\varphi)$ satisfies also that its norm is dominated by a positive \nfunction $\\tilde{G}(u)=\\mathcal{O}(\\langle u\\rangle^{-\\infty})$ hence we get that\n\\begin{equation*}\n \\sqrt{2 \\pi \\omega t} P_t(P_{t_0}F)(c,\\varphi)  \\underset{t \\to \\infty}{\\rightarrow}  \\int_{\\mathbb{R}} \\mathbb{E}[   (P_{t_0}F)(u, X_h-Q \\log |v||_{\\mathbb{T}})   ]  \\text{\\rm d} u\n\\end{equation*} \nBy using the semigroup property, we deduce the following identity\n\\begin{equation}\\label{invariance}\n\\int_{\\mathbb{R}} \\mathbb{E}[   (P_{t_0}F)(u, X_h)   ]  \\text{\\rm d} u=  \\int_{\\mathbb{R}} \\mathbb{E}[   F(u, X_h)   ]  \\text{\\rm d} u.\n\\end{equation}\nTo summarize, we have proved that \\eqref{invariance} holds  for all continuous function $(u,\\varphi) \\to F(u,\\varphi)$ such that there exists a function \n$G(u)=\\mathcal{O}(\\langle u\\rangle^{-\\infty})$ for which $|F(u,\\varphi)| \\leq G(u)$. We can extend the above identity to all bounded Borelian functions by a density argument.\n\nFinally, we have to show that the measure $\\mu_h$ is absolutely continuous with respect to $\\mu_0$. In order to do so, we have to show that $\\P_h$ is absolutely continuous with respect to $\\P_\\mathbb{T}$. We have the following lemma:\n\\begin{lemma}\\label{secondlemma1}\nThere exists a constant $C>0$ and $\\rho \\in (0,1)$ such that for all $n, p \\in \\mathbb{Z}^*$\n\\begin{equation}\\label{secondlemma1eq}\n \\Big|\\int_0^{2 \\pi} \\int_0^{2 \\pi}   \\log \\frac{|e^{i \\theta}- e^{i \\theta'}|}{|h(e^{i \\theta})-h(e^{i \\theta'})  |}  e^{- in \\theta} e^{-ip \\theta'} \\text{\\rm d} \\theta \\text{\\rm d} \\theta' \\Big| \\leq  C \\rho^{|n|+|p|}\n\\end{equation}\n\\end{lemma}\n\\begin{proof} \nThe function $h$ can be extended to a univalent function on $(1+\\delta) \\mathbb{D}$ for some $\\delta >0$. Therefore, the holomorphic function $(z,w) \\mapsto \\frac{h(z)- h(w)}{z-w}$ is equal to $\\exp( \\sum_{j,k \\geq 0}  a_{j,k}  z^j w^k)$ where  \n $|a_{j,k}| \\leq C \\frac{1}{(1+\\delta\/2)^{j+k}}$. Relation \\eqref{secondlemma1eq} can then be seen by writing $ \\log \\frac{|h(e^{i \\theta})-h(e^{i \\theta'})  |} {|e^{i \\theta}- e^{i \\theta'}|}= {\\rm Re} \\left (  \\sum_{j,k \\geq 0}  a_{j,k}  e^{ij \\theta} e^{i k \\theta'}   \\right )$.\n\\end{proof}\nLet $G_{\\rm Id}$ be the operator on $L^2(\\mathbb{T})$ whose integral kernel is given by the covariance $-\\log|e^{i\\theta}-e^{i\\theta'}|$ of $X_{{\\rm Id}}$: a direct computation shows that it is equal to the Fourier multiplier $G_{\\rm Id}=\\pi |D|^{-1}$ where we set $|D|^{-s}e^{in\\theta}:= |n|^{-s}e^{in\\theta}$ and $|D|^{-s}1:=0$ for $s\\in \\mathbb{R}$. Let $G_h$ be the operator on $L^2(\\mathbb{T})$ whose integral kernel is given by the covariance of $X_h$. By \nLemma \\eqref{secondlemma1}, we have \n\\[ G_{h}=G_{\\rm Id}+W\\]\nwhere $W$ is a smoothing operator, bounded as operators $H^{-N}(\\mathbb{T})\\to H^N(\\mathbb{T})$ for all $N>0$. We can then write \n$G_h=G^{1\/2}_{\\rm Id}({\\rm Id}+\\tilde{W})G^{1\/2}_{\\rm Id}$ for some $\\tilde{W}$ satisfying the same properties as $W$, and ${\\rm Id}+\\tilde{W}$ is a positive self-adjoint Fredholm operator on $H_0^{-1-2s}(\\mathbb{T})=\\{f\\in H^{-1-2s}(\\mathbb{T})\\,|\\, \\langle f,1\\rangle=0\\}$ for $s>0$ thus there is $C>0$ such that for all $f\\in H_0^{-2s}(\\mathbb{T})$\n\\[  C^{-1}  \\langle G_{\\rm Id}f,f\\rangle_{L^2} \\leq  \\langle G_hf,f\\rangle_{L^2} \\leq C \\langle G_{\\rm Id}f,f\\rangle_{L^2}.\\]\nSince $\\mathbb{E}[ \\langle   g , X_{h}  |_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}^2 ] = \\langle G_h |D|^{-2s}g,|D|^{-2s}g\\rangle_{L^2}= \\langle G_hf,f\\rangle_{L^2}$ with $f:=|D|^{-2s}g\\in H_0^{-2s}(\\mathbb{T})$, we get\n\\begin{equation*}\nC^{-1}\\mathbb{E}[   \\langle   g , X_{\\rm Id}  |_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}^2 ] \\leq \\mathbb{E}[   \\langle   g , X_{h}  |_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}^2 ]  \\leq   C \\mathbb{E}[   \\langle   g, X_{\\rm Id}  |_{\\mathbb{T}} \\rangle_{H^{-s}(\\mathbb{T})}^2 ]\n\\end{equation*}\nand so $X_h$ and $X_{\\rm Id}$ have the same Cameron-Martin space. Therefore we can conclude that both fields yield equivalent probability measures by using the discussion at the bottom of p.294 in \\cite{boga}.   \\qed\n\n\n\n\n\n\n\n\\noindent\n\\emph{Proof of Theorem \\ref{theoremfreefield}}. \nConsider the Hilbert space $(\\mathcal{D}(\\mathcal{Q}_0),\\mathcal{Q}_0)$ and the quadratic form \n$\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F):= \\langle  \\mathbf{H}_\\mathbf{v}^0 F | F \\rangle_2$ on $\\mathcal{C}_{\\rm exp}$. \n\nUsing Lemma \\ref{boundonLn}, there is $C>0$ such that for for all $F \\in \\mathcal{C}$ \n\\begin{align*}\n {\\rm Re}(\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F)) & = \\omega  \\langle  \\mathbf{H}^0 F | F \\rangle_2 + {\\rm Re}(\\sum_{n \\geq 1}  \\Re (v_n)  \\langle   (\\mathbf{L}_n^0+\\widetilde{\\mathbf{L}}_n^0 ) F  | F \\rangle_2+ i \\sum_{n \\geq 1}  \\Im (v_n)  \\langle   (\\mathbf{L}_n^0-\\widetilde{\\mathbf{L}}_n^0 ) F  | F \\rangle_2)   \\\\\n& \\geq \\omega  \\mathcal{Q}_0 (F, F)  - \\sum_{n \\geq 1} | \\Re (v_n)  | | \\langle   (\\mathbf{L}_n^0+\\widetilde{\\mathbf{L}}_n^0 ) F  | F \\rangle_2  | - \\sum_{n \\geq 1}  | \\Im (v_n) |  | \\langle   (\\mathbf{L}_n^0-\\widetilde{\\mathbf{L}}_n^0 ) F  | F \\rangle_2    \\\\\n& \\geq \\omega  \\mathcal{Q}_0 (F, F) - 2C\\Big(  \\sum_{n \\geq 1} n^2  ( | \\Re (v_n)  |+ |\\Im v_n| )\\Big )  \\mathcal{Q}_0 (F, F)  \\\\\n& \\geq \\Big( \\omega - 2C \\sum_{n \\geq 1} n^2 |v_n|\\Big)  \\mathcal{Q}_0 (F, F).\n\\end{align*}\nOn the other hand one also has by the same argument \n\\[  |\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F)| \\leq \\Big(\\omega +2C\\sum_{n \\geq 1} n^2 |v_n|\\Big)\\mathcal{Q}_0(F,F).\\]\nChoosing  $\\omega >2C \\left (  \\sum_{n \\geq 1} n^2 |v_n|  \\right )+1$, we see that there is $C_0>1$ such that \n\\[  C_0^{-1}\\mathcal{Q}_0(F,F) \\leq |\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F)|  \\leq C_0\\mathcal{Q}_0(F,F)\\]\nwhich implies that $\\mathcal{Q}_{0}^{\\mathbf{v}}$ is a closed quadratic form, that extends to $\\mathcal{D}(\\mathcal{Q}_0)$, \nand also that there is $\\theta\\in (0,\\pi\/2)$ so that \n $|{\\rm arg}(\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F)|\\leq \\theta$ for all $F\\in \\mathcal{D}(\\mathcal{Q}_0)$. This means that $\\mathcal{Q}_0^{\\mathbf{v}}$ is strictly m-accretive \\cite[Chapter VIII.6]{rs1}. By Theorem VIII.16 and the following Lemma in \\cite{rs1}, there is a unique closed operator extending ${\\bf H}^0_{\\mathbf{v}}$ defined in a dense domain $\\mathcal{D}({\\bf H}^0_{\\mathbf{v}})\\subset\\mathcal{D}(\\mathcal{Q}_0)$, with $({\\bf H}^0_{\\mathbf{v}}-\\lambda)^{-1}$ invertible  if ${\\rm Re}(\\lambda)<0$, and resolvent \n bound $\\|({\\bf H}^0_{\\mathbf{v}}-\\lambda)^{-1}\\|_{\\mathcal{H}\\to \\mathcal{H}}\\leq (-{\\rm Re}(\\lambda))^{-1}$. By the Hille-Yosida theorem, ${\\bf H}^0_{\\mathbf{v}}$ is the generator of a contraction semi-group denoted $e^{-t{\\bf H}^0_{\\mathbf{v}}}$. \nNext, we notice that if $\\mathcal{H}_{\\mathbb{R}}$ is the real Hilbert space consisting of the real valued elements $F\\in \\mathcal{H}$, we can \nrestrict  $\\mathcal{Q}_0^{\\mathbf{v}}$ to  $\\mathcal{D}_{\\mathbb{R}}(\\mathcal{Q}_0):= \\mathcal{D}(\\mathcal{Q}_0)\\cap \\mathcal{H}_{\\mathbb{R}}$, then it is easily seen that \n $\\mathcal{Q}_{0}^{\\mathbf{v}}(F,F)>0$. In view of the discussion above, it is then a coercive closed form in the sense of \\cite[Definition 2.4]{MaRockner}.\n \nNow we show that $e^{-t{\\bf H}_{\\mathbf{v}}^0}$ and $P_t^0$ coincide on $\\mathcal{C}_{\\rm exp}$.\nWe first consider a function $F$ in $\\mathcal{C}_{\\rm exp}$ of the form $f(c, (\\varphi_n)_{n \\in [-N,N]})$. In this case, we get that for all $t$, with $B_t$ the Brownian motion,\n\\begin{equation*}\nP_t^0F(c,\\varphi)=  \\mathbb{E}_{\\varphi}  [ f(c+B_t, \\varphi_{-N,t},\\dots, \\varphi_{N,t})    ]\n\\end{equation*}\nwhere $\\varphi_{n,t}$ denotes the Fourier modes of $\\varphi_t$.\nFrom the previous discussions on $f_t$, we have the series representation\n\\begin{equation*}\nf_t(e^{i \\theta})= e^{-\\omega t} e^{i \\theta}+ \\sum_{j \\geq 2} \\alpha_j(t) e^{ij \\theta}\n\\end{equation*}\nfor some $\\alpha_j(t)=\\mathcal{O}(e^{- \\omega t})$ and therefore for $n \\geq 1$\n\\begin{equation}\\label{varphi_tn}\n\\begin{split}\n\\varphi_{n,t}= &  \\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  P\\varphi( f_t(e^{i \\theta}) ) e^{-i n \\theta} d \\theta + \\frac{1}{2 \\pi}  \\int_0^{2 \\pi}  X_{\\mathbb{D}}( f_t(e^{i \\theta}) ) e^{- i n \\theta} d \\theta \n= e^{-\\omega n t} \\varphi_n+ \\sum_{k=1}^{n-1} \\tilde{\\alpha}_k(t) \\varphi_k + X_n(t)\n\\end{split}\n\\end{equation}\nwhere   \n\\begin{equation*}\n\\tilde{\\alpha}_k(t)= \\sum_{\\substack{j_1, \\dots, j_k \\geq 1\\\\ j_1+ \\cdots +j_k=n}}  \\alpha_{j_1}(t) \\cdots \\alpha_{j_k}(t). \n\\end{equation*}\nA similar relation holds for negative $n$ (with $\\varphi_{-n}$ in place of $\\varphi_n$). We deduce that \nfor fixed $t$ the function $P_t^0F$ depends only on $(c,(\\varphi_n)_{|n|\\leq N})$. From \\eqref{varphi_tn} and using that $B_t$ is a Brownian motion, for all \n$k,\\beta,M$, there is $C>0$ (depending locally uniformly on $t$ and whose value changes from line to line) so that\n\\[\\begin{split} \n|\\partial_c^k \\partial_{(x,y)}^\\beta P_t^0F(c,\\varphi)| \\leq &  C\\langle (x,y)\\rangle^L\\mathbb{E}_{\\varphi}[ e^{-M|c+B_t|}\\langle (X_{-N}(t),\\dots,X_N(t))\\rangle^L]\\\\\n\\leq & Ce^{-M|c|}\\langle (x,y)\\rangle^L\n\\mathbb{E}_{\\varphi}[ e^{M|B_t|}\\langle (X_{-N}(t),\\dots,X_N(t))\\rangle^L]\\\\\n\\leq & Ce^{-M|c|}\\langle (x,y)\\rangle^L\n\\end{split}\\]\nthus $P_t^0F\\in \\mathcal{C}_{\\rm exp}$, i.e. $P_t^0:\\mathcal{C}_{\\rm exp}\\to \\mathcal{C}_{\\rm exp}$.  \n\n\nIn this case, we can apply Propositions  \\ref{prop:first_order} and \\ref{prop:second_order} to show that the following holds in $L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T},\\mu_0)$\n\\begin{equation}\\label{itsevolutionbaby}\n\\partial_t P_t^0 F= \\partial_{s}|_{s=0}  P_{s}^0 (  P_t^0F ) = -  \\mathbf{H}_\\mathbf{v}^0 P_t^0F, \\quad P_{t}^0 F|_{t=0}= F\n\\end{equation}\nThis is because for fixed $t$ the function $P_t^0F$ belongs to $\\mathcal{C}_{\\rm exp}$. By using uniqueness of the solution in equation \\eqref{itsevolutionbaby}, we see that for all $t \\geq 0$ the identity $e^{-t{\\bf H}_{\\mathbf{v}}^0}F=P_t^0F$ holds everywhere. This identity can be extended to $L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$ by a density argument.\n\n\n\n\n\n\n\n\n\n\nNow, we prove the key relation \\eqref{itsevolutionbaby}. This is the purpose of the following two Propositions:\n\n\n\n\\begin{proposition}\\label{prop:first_order}\nFor all $\\mathbf{v}\\in\\mathrm{Vect}_+(\\mathbb{D})$, let us define the operator $\\nabla_\\mathbf{v}$ on $\\mathcal{C}$ by\n\\[\\nabla_\\mathbf{v} F(\\varphi):=-\\frac{\\d}{\\d t}_{|t=0} F\\Big((P\\varphi\\circ f_t+Q\\log\\frac{|f_t'|}{|f_t|})|_{\\mathbb{T}}\\Big).\\]\nThe above quantity exists in the classical sense for all $\\varphi \\in H^{s}(\\mathbb{T})$ and the limit which defines the derivative converges in $L^2$ if $F \\in \\mathcal{C}_\\mathrm{exp}$. We have $\\nabla_\\mathbf{v}= \\sum_{n \\geq 0} v_n \\nabla_n $ where\n\n\\[\\nabla_n=\\Re\\left(Qn\\partial_n+2\\sum_{m=1}^\\infty m\\varphi_m\\partial_{n+m}\\right).\\]\n The $\\mathbb{C}$-linear and $\\mathbb{C}$-antilinear parts of $\\nabla_n$ are\n\\begin{align*}\n&\\nabla_n^{1,0}=\\frac{1}{2}Qn\\partial_n+\\sum_{m=1}^\\infty m\\varphi_m\\partial_{n+m},\\quad \\nabla_n^{0,1}=\\frac{1}{2}Qn\\partial_{-n}+\\sum_{m=1}^\\infty m\\varphi_{-m}\\partial_{-n-m}.\n\\end{align*}\n\\end{proposition}\n\n\n\n\\begin{proof}\nLet $\\varphi\\in\\mathcal{C}^\\infty(\\mathbb{T})$ (we can suppose that $\\varphi\\in\\mathcal{C}^\\infty(\\mathbb{T})$ because $F$ depends on a finite number of variables), which we write in Fourier expansion\n\\[\\varphi(\\theta)=\\sum_{n\\in\\mathbb{Z}}\\varphi_n e^{in\\theta},\\]\nwhere  $\\varphi_{-n}=\\bar{\\varphi}_n$ for all $n\\in\\mathbb{Z}$.\n\nLet $\\mathbf{v}=v\\partial_z\\in\\mathrm{Vect}_+(\\mathbb{D})$ generating the infinitesimal deformation $f_t(z)=z+tv(z)+o(t)$. We have\n\\begin{align*}\nP\\varphi\\circ f_t(z)+Q\\log \\frac{|f_t'(z)|}{|f_t(z)|}\n&=P\\varphi(z+tv(z))+Q\\Re\\log(1+tv'(z))-Q \\log |z| - Q\\Re\\log\\Big(1+t \\frac{v(z)}{z}\\Big)+o(t) \\\\\n&=P\\varphi(z)+2t{\\rm Re}(v(z)\\partial_z P\\varphi(z))+tQ\\Re(v'(z))-Q \\log |z| -tQ \\Re(\\frac{v(z)}{z}) +o(t)\\\\\n&=P\\varphi(z)-Q\\log |z|+t\\Re\\Big(2v(z)\\partial_z\\varphi(z)+Qv'(z)  -Q \\frac{v(z)}{z}) \\Big)+o(t).\n\\end{align*}\n\nWe can consider the case $\\mathbf{v}_n=-z^{n+1}\\partial_z$ since the general case is just a linear combination of this case. Specialising to $\\mathbf{v}_n=-z^{n+1}\\partial_z$, we obtain for all $k \\in \\mathbb{Z}$\n\\begin{equation*}\n\\begin{split}\n\\frac{1}{2 \\pi}\\int_{0}^{2 \\pi} \\left (  P\\varphi\\circ f_t(e^{i \\theta})+Q\\log \\frac{|f_t'(e^{i \\theta})|}{|f_t(e^{i \\theta})|}  \\right )  e^{-ik \\theta}  d \\theta = & \n\\varphi_k -t(k-n) \\varphi_{k-n}{\\bf 1}_{k \\geq n+1}- tn\\frac{Q}{2}\\delta_{|k|-n}\\\\\n& +t(k+n) \\varphi_{k+n}{\\bf 1}_{k\\leq -n-1}+o(t) \n\\end{split}\n\\end{equation*}\nFor $F\\in\\mathcal{C}_\\mathrm{exp}$, we then deduce the following limit in $L^2$\n\\[ -\\frac{\\d}{\\d t}_{|t=0} F\\Big(\\big(P\\varphi\\circ f_t+Q\\log\\frac{|f_t'|}{|f_t|}\\big)\\Big|_{\\mathbb{T}}\\Big)=\\frac{nQ}{2}(\\partial_nF+\\partial_{-n}F)+\\sum_{m\\geq 1}\n(m\\varphi_m\\partial_{n+m}+m\\varphi_{-m}\\partial_{-m-n})F.\\qedhere\\]\n\\end{proof}\n\n\\begin{proposition}\\label{prop:second_order}\nFor all $\\mathbf{v}\\in\\mathrm{Vect}_+(\\mathbb{D})$, let us define the operator $\\Delta_\\mathbf{v}$ on $\\mathcal{C}_\\mathrm{exp}$ by\n\\[\\Delta_\\mathbf{v} F(\\varphi)=-\\frac{\\d}{\\d t}_{|t=0}\\mathbb{E}_\\varphi\\left[F\\left(\\varphi+(X_\\mathbb{D}\\circ f_t)|_{\\mathbb{T}}\\right)\\right].\\]\nThe above quantity exists in the classical sense for all $\\varphi \\in H^{s}(\\mathbb{T})$ and the limit which defines the derivative converges in $L^2$ if $F \\in \\mathcal{C}$. This definition extends uniquely to all $\\mathbf{v}\\in\\mathrm{Vect}(\\mathbb{D})$, where $\\Delta_n:=\\Delta_{\\mathbf{v}_n}$ is given for all $n\\geq0$ by\n\\[\\Delta_n=-\\frac{1}{2}\\Re\\left(\\sum_{m\\in\\mathbb{Z}}\\partial_{n-m}\\partial_m\\right).\\]\nThe $\\mathbb{C}$-linear and $\\mathbb{C}$-antilinear parts of $\\Delta_n$ are\n\\begin{align*}\n&\\Delta_n^+=\\frac{1}{4}\\sum_{m\\in\\mathbb{Z}}\\partial_{n-m}\\partial_m;\\qquad\\Delta_n^-=\\frac{1}{4}\\sum_{m\\in\\mathbb{Z}}\\partial_{-n-m}\\partial_m.\n\\end{align*}\n\\end{proposition}\n\n\\begin{proof}\nWe write\n\\[(X_\\mathbb{D}\\circ f_t)(e^{i \\theta})=\\sum_{n\\in\\mathbb{Z}}X_n(t)e^{i n \\theta},\\]\nwhere $X_n(t)$ is given by \\eqref{X_n(t)} with covariance \\eqref{covarianceXn}. \nNext, we show that the covariance is differentiable with respect to $t$ and that the differential exists at $t=0$. First, we have for $z\\neq z'\\in\\overline{\\mathbb{D}}$,\n\\begin{align*}\n\\partial_t\\log|f_t(z)-f_t(z')|\n=\\partial_t\\Re\\log(f_t(z)-f_t(z'))\n=\\Re\\frac{\\partial_tf_t(z)-\\partial_tf_t(z')}{f_t(z)-f_t(z')}\n=\\Re\\frac{v(f_t(z))-v(f_t(z'))}{f_t(z)-f_t(z')}.\n\\end{align*}\nThis term has the finite limit ${\\rm Re}(f_t'(z)v'(f_t(z)))$ as $z'\\to z$, and it follows that $\\partial_t\\log|f_t(z)-f_t(z')|$ is uniformly bounded with respect to $t$ (in compact sets) on $\\overline{\\mathbb{D}}^2$. Applying the dominated convergence theorem, we have\n\\begin{align*}\n\\partial_t\\int_0^{2\\pi}\\int_0^{2\\pi}\\log|f_t(e^{i\\theta})-f_t(e^{i\\theta'})|e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\n&=\\int_0^{2\\pi}\\int_0^{2\\pi}\\Re\\left(\\frac{v(f_t(e^{i\\theta}))-v(f_t(e^{i\\theta'}))}{f_t(e^{i\\theta})-f_t(e^{i\\theta'})}\\right)e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\\\\\n&\\underset{t\\to0}{\\to}\\int_0^{2\\pi}\\int_0^{2\\pi}\\Re\\left(\\frac{v(e^{i\\theta})-v(e^{i\\theta'})}{e^{i\\theta}-e^{i\\theta'}}\\right)e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}.\n\\end{align*}\n\nNow we treat the term $\\log|1-f_t(z)\\overline{f_t(z')}|$, which is the real part of a holomorphic (resp. antiholomorphic) function in $z$ (resp. $z'$) converging in the disc. The values $\\int\\int\\log(1-f_t(e^{i\\theta})\\overline{f_t(e^{i\\theta'})})e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}$ are the coefficients of the power series expansion of this function at $0$. The derivatives with respect to $t$ of these coefficients are the coefficients of the function $\\partial_t\\log(1-f_t(z)\\overline{f_t(z')})=-\\frac{v(f_t(z))\\overline{f_t(z')}+f_t(z)\\overline{v(f_t(z'))}}{1-f_t(z)\\overline{f_t(z')}}$. As $t\\to0$, this function converges uniformly on compact sets of $\\mathbb{D}^2$ to $-\\frac{v(z)\\bar{z}'+z\\bar{v}(z')}{1-z\\bar{z}'}$, which is holomorphic (resp. antiholomorphic) in $z$ (resp. $z'$). Therefore, the coefficients of the expansion converge individually. Moreover, the limiting function has a continuation to $\\overline{\\mathbb{D}}^2$ with simple poles at $z=z'\\in\\mathbb{T}$. Thus,\n\\[\\partial_t|_{t=0}\\int_{[0,2\\pi]^2}\\log|1-f_t(e^{i\\theta})\\overline{f_t(e^{i\\theta'})}|e^{-ip\\theta+iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}=-\\int_{[0,2\\pi]^2}\\Re\\left(\\frac{v(e^{i\\theta})e^{-i\\theta'}+e^{i\\theta}\\overline{v(e^{i\\theta'})}}{1-e^{i(\\theta-\\theta')}}\\right)e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2},\\]\nwhere the integral is understood in the principal value sense (the formula computes the coefficients of the power series expansion of the integrand).\n\nPutting the two contributions together, we get\n\\begin{equation}\\label{eq:correl_asymp}\n\\begin{aligned}\nh_{p,q}\n&:=\\partial_t|_{t=0}\\mathbb{E}\\left[X_p(t)X_{-q}(t)\\right]\\\\\n&=-\\int_0^{2\\pi}\\int_0^{2\\pi}\\Re\\left(\\frac{v(e^{i\\theta})-v(e^{i\\theta'})}{e^{i\\theta}-e^{i\\theta'}}+\\frac{e^{i\\theta}\\overline{v(e^{i\\theta'})}}{1-e^{i(\\theta-\\theta')}}+\\frac{e^{-i\\theta'}v(e^{i\\theta})}{1-e^{i(\\theta-\\theta')}}\\right)e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}.\n\\end{aligned}\n\\end{equation}\n\nTo get explicit formulas for these operators, we need to compute $h_{p,q}$ for $v(z)=-z-z^{n+1}$, $n\\geq0$. Since the derivative of the \n covariance this is linear in $v$, it suffices to compute each term in \\eqref{eq:correl_asymp} separately for $v(z)=-z$ and $v(z)=-z^{n+1}$. We thus do it for $v(z)=-z^{n+1}$ for $n\\geq 0$. The first term is given by\n\\begin{equation}\\label{eq:first_term}\n\\begin{aligned}\n\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{i(n+1)\\theta}-e^{i(n+1)\\theta'}}{e^{i\\theta}-e^{i\\theta'}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\n&=\\sum_{k=0}^n\\int_0^{2\\pi}\\int_0^{2\\pi}e^{i(k-p)\\theta}e^{i(n-k+q)\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\\\\\n&=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }0\\leq p\\leq n\\text{ and }q=p-n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\n\\end{aligned}\n\\end{equation}\nand the conjugate term by\n\\begin{equation}\\label{eq:conjugate}\n\\begin{aligned}\n\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{-i(n+1)\\theta}-e^{-i(n+1)\\theta'}}{e^{-i\\theta}-e^{-i\\theta'}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\n&=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }-n\\leq p\\leq0\\text{ and }q=p+n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\n\\end{aligned}\n\\end{equation}\nTo compute the other terms, we look at the power series expansion of the integrand and extract the relevant coefficient. For instance, we have\n\\begin{align*}\n\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{i\\theta}e^{-i(n+1)\\theta'}}{1-e^{i(\\theta-\\theta')}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\n&=\\int_0^{2\\pi}\\int_0^{2\\pi}\\sum_{k=0}^{\\infty}e^{-i(p-1-k)\\theta}e^{i(q-n-1-k)\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}\\\\\n&=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }p>0\\text{ and }q=p+n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\n\\end{align*}\nWe proceed similarly for the other terms and we collect all the results below:\n\\begin{equation}\\label{eq:residues}\n\\begin{aligned}\n&\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{-i\\theta}e^{i(n+1)\\theta'}}{1-e^{-i(\\theta-\\theta')}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }p<0\\text{ and }q=p-n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\\\\\n&\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{-i\\theta'}e^{i(n+1)\\theta}}{1-e^{i(\\theta-\\theta')}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }p>n\\text{ and }q=p-n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\\\\\n&\\int_0^{2\\pi}\\int_0^{2\\pi}\\frac{e^{i\\theta'}e^{-i(n+1)\\theta}}{1-e^{-i(\\theta-\\theta')}}e^{-ip\\theta}e^{iq\\theta'}\\frac{\\d\\theta\\d\\theta'}{4\\pi^2}=\\left\\lbrace\\begin{aligned}\n&1\\text{ if }p<-n\\text{ and }q=p+n\\\\\n&0\\text{ otherwise}.\n\\end{aligned}\\right.\n\\end{aligned}\n\\end{equation}\n\n For Markovian $\\mathbf{v}$, the operator $\\Delta_\\mathbf{v}$ is the generator of a (complex) Brownian motion with covariance matrix $(h_{p,q})_{p,q\\in\\mathbb{Z}}$, i.e.\n\\[\\Delta_\\mathbf{v}=\\frac{1}{2}\\sum_{p,q\\in\\mathbb{Z}}h_{p,q}\\partial_p\\partial_{-q}.\\]\nFor $F\\in\\mathcal{C}_\\mathrm{exp}$, this reduces to a finite sum, and we deduce the claim about the convergence to $\\Delta_\\mathbf{v} F$ in $L^2$.\n\nNow, summing up all six terms appearing in \\eqref{eq:first_term}, \\eqref{eq:conjugate} and \\eqref{eq:residues}, we obtain for $\\mathbf{v}=\\mathbf{v}_n$:\n\\begin{equation}\\label{eq:covariance_wn}\nh_{p,q}=\\frac{1}{2}(\\delta_{q,p-n}+\\delta_{q,p+n})\n\\end{equation}\nso that\n\\begin{align*}\n\\Delta_n=\\frac{1}{4}\\sum_{p,q\\in\\mathbb{Z}}(\\delta_{q,p+n}+\\delta_{q,p-n})\\partial_p\\partial_{-q}\n&=\\frac{1}{4}\\sum_{m\\in\\mathbb{Z}}\\partial_{n-m}\\partial_m+\\partial_{-n-m}\\partial_m\\\\\n&=\\frac{1}{2}\\Re\\left(\\sum_{m\\in\\mathbb{Z}}\\partial_{n-m}\\partial_m\\right).\n\\end{align*}\n\nNotice that \\eqref{eq:correl_asymp} is the real part of a complex linear map in $\\mathbf{v}$; this gives the decomposition $\\Delta_\\mathbf{v}=\\Delta_\\mathbf{v}^++\\Delta_\\mathbf{v}^-$. Retaining only the complex linear (resp. antilinear) terms in $\\mathbf{v}$, we have\n\\[h_{p,q}^+=\\frac{1}{2}\\delta_{q,p-n};\\qquad h_{p,q}^-=\\frac{1}{2}\\delta_{q,p+n},\\]\nso that\n\\[\\Delta_n^+=\\frac{1}{4}\\sum_{m\\in\\mathbb{Z}}\\partial_{n-m}\\partial_m;\\qquad\\Delta_n^-=\\frac{1}{4}\\sum_{m\\in\\mathbb{Z}}\\partial_{-n-m}\\partial_m.\\qedhere\\]\n\\end{proof}\n\n\n\n\n\n\\section{Liouville operators}\\label{subsec:operators}\n\n\t\\subsection{Definition and Feynman-Kac formula}\n\t\nIn this section we define the Liouville operators. These will be densely defined, unbounded operators on the Liouville Hilbert space $L^2(\\d c\\otimes\\P)$. The operators associated with Markovian vector fields are closable operators. They form the natural generalisation of the Liouville Hamiltonian of \\cite[Section 5]{GKRV}, and they are the basis for the definition of operators associated with non-Markovian vector fields.\n\nLet $\\mathbf{v}=v(z)\\partial_z\\in\\mathrm{Vect}_+(\\mathbb{D})$ with $v(z)=-\\sum_{n=-1}^\\infty v_nz^{n+1}$ such that $v(0)=0$, $v'(0)=-\\omega$ and satisfying the conditions of Theorem \\ref{theoremfreefield}. Recall that $\\omega> K \\sum_{n \\geq 1}|v_n|n^2 $ where $K>0$ is the constant which appears in Theorem \\ref{theoremfreefield}. We consider the positive measure $\\d\\varrho_\\mathbf{v}(\\theta)=-\\Re(e^{-i\\theta}v(e^{i\\theta}))\\d\\theta$. One can then define the Dirichlet form on $\\mathcal{C}_{\\rm exp}$ via the formula\n\\begin{equation}\\label{defform}\n\\mathcal{Q}_{\\mathbf{v}}(F,G): = \\mathcal{Q}_{\\mathbf{v} }^0(F,G)+ \\mu e^{\\gamma c} \\langle V_\\mathbf{v}  F , G \\rangle ,\\quad \\textrm{with } V_\\mathbf{v}:=\\frac{1}{2\\pi}\\int_{0}^{2 \\pi} e^{\\gamma\\varphi(\\theta)}\\d\\varrho_\\mathbf{v}(\\theta).\n \\end{equation}  \n When $\\gamma<\\sqrt{2}$, this potential is an $L^{p}(\\Omega_\\mathbb{T})$ function if $1\\leq p<2\/\\gamma^2$, while when $\\gamma\\in [\\sqrt{2},2)$, we define the potential term in \\eqref{defform} by using the Girsanov formula to shift the variables\nsimilarly to \\cite[Section 5]{GKRV}. Since $\\d\\varrho_\\mathbf{v}$ has a positive smooth density with respect to $\\d\\theta$, there is a constant $C>1$ such that $C^{-1}V_\\mathbf{v}\\leq V\\leq CV_\\mathbf{v}$ as bounded operators $\\mathcal{D}(\\mathcal{Q})\\to\\mathcal{D}'(\\mathcal{Q})$, namely\n \\begin{equation}\\label{fundinequality}\n C^{-1} \\mathcal{Q}(F,F) \\leq \\mathcal{Q}_{\\mathbf{v}}(F,F) \\leq C \\mathcal{Q}(F,F).\n \\end{equation} \nThe form  $\\mathcal{Q}_{\\mathbf{v}}$ is a positive definite bilinear form satisfying the weak sector condition. By inequality \\eqref{fundinequality} and using the fact that $\\mathcal{Q}$ is closable, we know that $ \\mathcal{Q}_{\\mathbf{v}}$ is closable and the domain of $\\mathcal{Q}_{\\mathbf{v}}$ coincides with the domain of $\\mathcal{Q}$. Hence  $\\mathcal{Q}_{\\mathbf{v}}$ is a coercive closed form: there exists a unique continuous contraction semigroup associated to $\\mathcal{Q}_{\\mathbf{v}}$, \ndenoted $e^{-t \\mathbf{H}_\\mathbf{v} }$ and its generator ${\\bf H}_{\\mathbf{v}}: \\mathcal{D}(\\mathcal{Q})\\to \\mathcal{D}'(\\mathcal{Q})$ is the operator  \n\\begin{equation}\\label{defHv}  \n\\begin{split}\n\\mathbf{H}_\\mathbf{v}=&  \\mathbf{H}_\\mathbf{v}^0+  \\mu V_{\\bf v}= \\omega  \\mathbf{H}^0  + \\sum_{n \\geq 1}  \\Re (v_n)  (\\mathbf{L}_n^0+\\widetilde{\\mathbf{L}}_n^0 )   + i \\sum_{n \\geq 1}  \\Im (v_n) (\\mathbf{L}_n^0-\\widetilde{\\mathbf{L}}_n^0)+  \\mu e^{\\gamma c} V_{\\bf v}\\\\\n=& \\omega {\\bf H}+ \\sum_{n\\geq 1}v_n\\, \\mathbf{L}_n  + \\sum_{n\\geq 1}\\overline{v_n} \\, \\widetilde{\\mathbf{L}}_n\n\\end{split}\n\\end{equation}   \nwhere \n\\begin{equation}\\label{formulaLn}  \n\\mathbf{L}_n =  \\mathbf{L}_n^0+ \\frac{\\mu}{4\\pi}\\int_0^{2\\pi} e^{\\gamma \\varphi(\\theta)}e^{in\\theta}d\\theta,\\quad  \\widetilde{\\mathbf{L}}_n =  \n\\widetilde{\\mathbf{L}}_n^0+ \\frac{\\mu}{4\\pi}\\int_0^{2\\pi} e^{\\gamma \\varphi(\\theta)}e^{-in\\theta}d\\theta.\n\\end{equation}\nNotice that ${\\bf L}_n$ can be recovered as a sum of operators ${\\bf H}_{\\mathbf{v}}$ with $\\mathbf{v}$ Markovian by the formula \n\\begin{equation}\\label{Ln_en_terme_de_Hv_n} \n{\\bf L}_n=\\frac{1}{2}({\\bf H}_{\\omega \\mathbf{v}_0+\\mathbf{v}_n}-i{\\bf H}_{\\omega\\mathbf{v}_0+i\\mathbf{v}_n})-\\frac{1}{2}\\omega(1-i){\\bf H}.\n\\end{equation}\nNow, we consider the following semigroup $P_t$ defined for $F$ bounded on $H^{-s}(\\mathbb{T})$ (with $s>0$) by the formula:\n\\begin{equation} \\label{FeynmanKac}\n  P_t F   :=    |f'_t(0)|^{\\frac{Q^2}{2}}    \\mathbb{E}_\\varphi \\Big [  F\\Big(   (X \\circ f_t  + Q \\ln | \\frac { f_t'} {f_t} | )|_{\\mathbb{T}}    \\Big)     e^{- \\mu e^{\\gamma c} \\int_{\\mathbb{D}_t^c}    e^{\\gamma X(x)} \\frac{1} {|x| ^{\\gamma Q} } dx  }  \\Big]  \n \\end{equation}\n \n\\begin{theorem}\\label{FeynmanKacPt}\nThe semigroup $P_t$ coincides with $e^{-t \\mathbf{H}_\\mathbf{v}}$ on $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$.\n\\end{theorem} \n\\begin{proof} \n The map $(s,\\theta)\\mapsto f_s(e^{i\\theta})$ is a diffeomorphism from $(0,t)\\times \\mathbb{T}$ to $\\mathbb{D}_t^c$, and its Jacobian is given by \n $-\\Re (e^{- i \\theta} v(f_s (e^{i \\theta}))\\overline{f'_s(e^{i \\theta})})$. Therefore, for $\\epsilon>0$ we get that\n \\begin{equation*}\n  \\int_{\\mathbb{D}_t^c}  \\epsilon^{\\frac{\\gamma^2}{2}}  e^{\\gamma X_\\epsilon(x)} \\frac{1} {|x| ^{\\gamma Q} } dx= -\\int_{0}^t  \\int_{0}^{2 \\pi} \\epsilon^{\\frac{\\gamma^2}{2}} e^{\\gamma   X_{\\epsilon} (f_s(e^{i \\theta})) }  \\Re \\Big(e^{- i \\theta} v(f_s (e^{i \\theta})) \\overline{f'_s(e^{i \\theta})}\\Big) \\text{\\rm d} \\theta \\text{\\rm d} s\n \\end{equation*}\nwhere the cutoff $X_\\epsilon$ is defined via circle averages  $X_\\epsilon(x)= \\frac{1}{2 \\pi} \\int_0^{2 \\pi}  X(x+ \\epsilon e^{i \\theta})  \\text{\\rm d} \\theta$. Now we have up to a neglectable term $X_{\\epsilon} (f_s(e^{i \\theta}))=  (X \\circ f_s) _{\\epsilon_{s, \\theta}} (e^{i \\theta})$ where $\\epsilon_{s, \\theta}=  \\frac{\\epsilon}{|f_s'(e^{i \\theta})|}$. This leads to (up to a neglectable term) \n \\begin{equation*}\n  \\int_{\\mathbb{D}_t^c}  \\epsilon^{\\frac{\\gamma^2}{2}}  e^{\\gamma X_\\epsilon(x)} \\frac{1} {|x| ^{\\gamma Q} } dx= -\\int_{0}^t  \\int_{0}^{2 \\pi} \\epsilon_{s, \\theta}^{\\frac{\\gamma^2}{2}} e^{\\gamma  ( (X \\circ f_s) _{\\epsilon_{s, \\theta}} (e^{i \\theta}) + Q \\log \\frac{|f_s'(e^{i \\theta}|}{|f_s(e^{i \\theta})|}  )}  \\Re \\Big(e^{- i \\theta}   \\frac{v(f_s (e^{i \\theta}))}{f'_s(e^{i \\theta})}  \\Big) \\text{\\rm d} \\theta \\text{\\rm d} s\n \\end{equation*}\nSince $\\log \\frac{|f_s'(e^{i \\theta}|}{|f_s(e^{i \\theta})|}  $ is regular, we get by a change a variable on the cutoff that\n\\begin{equation}\\label{polardecomposition}\n \\int_{\\mathbb{D}_t^c}    e^{\\gamma X(x)} \\frac{1} {|x| ^{\\gamma Q} } dx= -\\underset{\\epsilon \\to 0}{\\lim}  \\int_{0}^t  \\int_{0}^{2 \\pi} \\epsilon^{\\frac{\\gamma^2}{2}} e^{\\gamma \\varphi_{s,\\epsilon}(\\theta)}  \\Re \\Big(e^{- i \\theta} \\frac{v(f_s (e^{i \\theta}))}{f'_s(e^{i \\theta})}\\Big) \\text{\\rm d} \\theta \\text{\\rm d} s\n\\end{equation}\nwhere we recall that $\\varphi_t(\\theta)= (X \\circ f_t)(e^{i \\theta})   + Q \\ln | \\frac { f_t'(e^{i \\theta})} {f_t(e^{i \\theta})}  |$ and $\\varphi_{t,\\epsilon}(\\theta)$ is its regularization at scale $\\epsilon$. \nRecall from Lemma \\ref{limitandh} that $\\frac{v(f_s (e^{i \\theta}))}{f'_s(e^{i \\theta})}$ does not depend on $s$ and therefore\n\\begin{equation}\\label{polardecompositionctd}\n \\int_{^c \\mathbb{D}_t}    e^{\\gamma X(v)} \\frac{1} {|v| ^{\\gamma Q} } dv= -\\underset{\\epsilon \\to 0}{\\lim}  \\int_{0}^t  \\int_{0}^{2 \\pi} \\epsilon^{\\gamma^2\/2} e^{\\gamma \\varphi^s_\\epsilon(\\theta)}  \\Re (e^{- i \\theta} v(e^{i \\theta})) \\text{\\rm d} \\theta \\text{\\rm d} s\n\\end{equation}\n\n Thanks to the free case, we know that for $F \\in \\mathcal{C}_{\\rm exp}$,  $\\|P_tF\\|_{2}\\leq \\|P_t^0F\\|_{2}\\leq  \\|F\\|_2$ and hence $P_t$ can be extended on $L^2$ into a contraction semigroup $\\tilde{T}_t$. By adapting the arguments of \\cite[Section 5]{GKRV} one can show that for all $F,G \\in \\mathcal{C}_{\\rm exp}$ one has\n \\begin{equation*}\n  \\langle  \\frac{(I-\\tilde{T}_t)F}{t}  | G \\rangle_2= \\langle  \\frac{(I-P_t)F}{t}  | G \\rangle_2  \\underset{t \\to 0}{\\rightarrow}  \\langle  \\mathbf{H}_\\mathbf{v} F | G \\rangle_2 \n \\end{equation*} \nThe above convergence is based on the the weak convergence of measures $\\frac{\\mathds{1}_{\\mathbb{D}_t^c}}{t}\\d x\\to\\varrho_\\mathbf{v}$ on $\\bar{\\mathbb{D}}$, and the rest of the proof follows \\cite[Section 5]{GKRV} since we know that $\\frac{(I-P_t^0)F}{t}$ converges in $L^2$ to $\\mathbf{H}_\\mathbf{v}^0 F$ as $t$ goes to $0$.\n\nLet $P_t^N$ be the semigroup  of the form \\eqref{FeynmanKac} where one works with first $N$ harmonics of $\\varphi$ and similarly for $\\mathbf{H}_\\mathbf{v}^N, \\mathcal{Q}_{\\mathbf{v}}^N$. One can adapt the arguments of \\cite[Section 5]{GKRV} to show that $P_t^N=e^{-t\\mathbf{H}_\\mathbf{v}^N}$. In the sequel, we will consider the semigroups and the quadratic forms on the space of real functions (this no restriction by a linearity argument). Let $\\lambda>0$ and $F \\in \\mathcal C$ be real valued. We have for all real valued $G \\in \\mathcal C_\\mathrm{exp}$\n\\begin{equation*}\n\\lambda \\langle  R_\\lambda^N F  | G \\rangle_2+ \\mathcal{Q}_{\\mathbf{v}}^N(R_\\lambda^N F, G)=  \\langle F  | G \\rangle_2\n\\end{equation*} \nwhere $R_\\lambda^N$ is the resolvant associated to $P_t^N$. Since  $R_\\lambda^N F$ and $G$ depends on the first $N$ harmonics for $N$ large, the following holds by definition of $\\mathcal{Q}_{\\mathbf{v}}$ if $G$ depends on the first $N$ harmonics\n\\begin{equation}\\label{quadrelation}\n\\lambda \\langle  R_\\lambda^N F  | G \\rangle_2+ \\mathcal{Q}_{\\mathbf{v}}(R_\\lambda^N F, G)=  \\langle F  | G \\rangle_2\n\\end{equation} \nThe above identity for $G= R_\\lambda^N F$ shows that $\\sup_{N \\geq 1} \\mathcal{Q}_{\\mathbf{v}}(R_\\lambda^N F,R_\\lambda^N F ) < \\infty$. Moreover, by adapting  \\cite[Section 5]{GKRV}, we know that $R_\\lambda^N F$ converges in $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$ to $R_\\lambda F$ where $R_\\lambda$ is the resolvent associated to $P_t$. Therefore, we can apply Lemma 2.12 in \\cite{MaRockner} which yields that $R_\\lambda F \\in \\mathcal{D}(\\mathcal{Q}_{\\mathbf{v}} )$ and one can find a subsequence $(R_\\lambda^{N_k}F)_{k \\geq 1}$ which converges in Cesaro mean to $R_\\lambda F$ with respect to $\\mathcal{Q}_{\\mathbf{v}}$. Hence, we can take the limit in \\eqref{quadrelation} which yields for all $G \\in \\mathcal C_\\mathrm{exp}$\n\\begin{equation}\\label{quadrelationlimit}\n\\lambda \\langle  R_\\lambda F  | G \\rangle_2+ \\mathcal{Q}_{\\mathbf{v}}(R_\\lambda F, G)=  \\langle F  | G \\rangle_2\n\\end{equation} \nSince $\\mathcal C_\\mathrm{exp}$ is dense in the domain of  $\\mathcal{Q}_{\\mathbf{v}}$, this shows that $R_\\lambda$ is equal to the resolvant associated to $\\mathcal{Q}_{\\mathbf{v}}$ on $\\mathcal{C}_\\mathrm{exp}$. Since $\\mathcal{C}_\\mathrm{exp}$ is dense in $L^2(\\mathbb{R} \\times \\Omega_\\mathbb{T})$, this implies that $R_\\lambda$ is the resolvant associated to  $\\mathcal{Q}_{\\mathbf{v}}$. By unicity of the resolvent, we have proved the desired result.\n\\end{proof}\n\n\n\n\n\n\n\n\n\n\n\\subsection{Liouville descendant states}\\label{subsec:poisson}\n\nIn this section we recall the definition and properties of the Poisson operator introduced in \\cite[Section 6]{GKRV}. This will be used to describe the diagonalization of the Liouville Hamiltonian and obtain a representation of the Virasoro algebra.\n \n\\subsubsection{The spectral Riemann surface}\n\nLet $\\mathcal{D}_0:=\\{\\alpha_{\\pm j}:=Q\\pm i \\sqrt{2j} \\, |\\, j\\in \\mathbb{N}\\}$ and consider the non-compact Riemann surface $\\Sigma$ so that $r_j(\\alpha):=\\sqrt{-(\\alpha-Q)^2+2j}$ are \nholomorphic functions for all $2j>0$ and so that for each $\\alpha\\in \\Sigma$, ${\\rm Im}(\\sqrt{-(\\alpha-Q)^2+2j})>0$ for $j\\in\\mathbb{N}$ large enough. Here we use the convention that for $j=0$, $r_0(\\alpha)=-i(\\alpha-Q)$.\nThe surface $\\Sigma$ is as a ramified covering $\\pi:\\Sigma\\to \\mathbb{C}$ with ramifications of order $2$ at $\\mathcal{D}_0$. We identify \nthe half-space $\\{\\alpha \\in\\mathbb{C} \\,|\\, {\\rm Re}(\\alpha)<Q\\}$ with a subset of $\\Sigma$ using a complex embedding by the \nsection $s$ so that ${\\rm Im}(\\sqrt{-(s(\\alpha)-Q)^2+2j})>0$ for all $j\\in\\mathbb{N}_0$ if ${\\rm Re}(\\alpha)<Q$. \nThe group $G$ of automorphisms of the covering is abelian and generated by elements $(\\gamma_{\\pm j})_j$, of order $2$, corresponding to simple \nloops around $\\alpha_{\\pm j}$ and we have $r_j(\\gamma_j(\\alpha))=-r_j(\\alpha)$.\n\n\\subsubsection{Poisson operator}\nLet us define the family of Poisson operators $\\mathcal{P}_\\ell(\\alpha)$ as  in \\cite[Section 6]{GKRV}. \nFirst, we use the finite dimensional space for $\\ell\\in \\mathbb{N}_0$\n\\begin{equation}\\label{def_E_ell}\nE_\\ell:= \\bigoplus_{j=0}^{\\ell} \\ker ({\\bf P}-j) \\subset L^2(\\Omega_\\mathbb{T} ,\\mathbb{P}_\\mathbb{T}).\n\\end{equation}\nand let $\\Pi_{E_\\ell}$ and $\\Pi_{\\ker ({\\bf P}-j)}$ be the orthogonal projections on respectively $E_\\ell$ and $\\ker ({\\bf P}-j)$. \n\nWe next choose a function $\\rho\\in C^\\infty(\\mathbb{R})$ satisfying $\\rho(c)=c$ for $c\\leq -1$ and $\\rho(c)=0$ for $c\\geq 0$. We \nshall always use the determination of the $\\log(z)$ with a cut at $\\mathbb{R}^+$; i.e we set \n$\\sqrt{Re^{i\\theta}}=\\sqrt{R}e^{i\\theta\/2}$ for $\\theta \\in [0,2\\pi)$ and $R>0$.\n\n\\begin{proposition}[Proposition 6.19 in \\cite{GKRV}]\n\\label{poissonprop}\nLet $0<\\beta<\\gamma\/2$ and $\\ell\\in\\mathbb{N}$.\nThen there is an analytic family of operators $\\mathcal{P}_\\ell(\\alpha)$  \n\\[\\mathcal{P}_\\ell(\\alpha): E_\\ell\\to e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})\\]\nin the region \n\\begin{equation}\\label{regionvalide}\n\\Big\\{\\alpha=Q+ip\\in \\mathbb{C}\\,\\Big|\\, {\\rm Re}(\\alpha)< Q, {\\rm Im}\\sqrt{p^2-2\\ell}<\\beta\\Big\\}\\cup \\Big\\{Q+ip\\in Q+i\\mathbb{R}\\, \\Big| \\, |p|\\in \\bigcup_{j\\geq \\ell} (\\sqrt{2j},\\sqrt{2(j+1)})\\Big\\},\n\\end{equation}\ncontinous at each $Q\\pm i\\sqrt{2j}$ for $j\\geq \\ell$, satisfying $(\\mathbf{H}-\\tfrac{Q^2+p^2}{2})\\mathcal{P}_\\ell(\\alpha)F=0$ and in the region $\\{c\\leq 0\\}$\n\\begin{equation}\\label{expansionP} \n\\mathcal{P}_\\ell(\\alpha)F=\\sum_{j\\leq \\ell}\\Big(F^-_je^{ic\\sqrt{p^2-2j}}+F_j^+(\\alpha)\ne^{-ic\\sqrt{p^2-2j}}\\Big)+G_\\ell(\\alpha,F)\n\\end{equation}\nwith $F^-_j=\\Pi_{\\ker(\\mathbf{P}-j)}F$, $F_j^+(\\alpha)\\in \\ker (\\mathbf{P}-j)$, and\n$G_\\ell(\\alpha,F)\\in \\mathcal{D}(\\mathcal{Q})$. \nSuch a solution $u\\in e^{-\\beta\\rho}L^2(\\mathbb{R}\\times\\Omega_\\mathbb{T})$ to the equation $(\\mathbf{H}-2\\Delta_{Q+ip})u=0$ with the asymptotic expansion \\eqref{expansionP} is unique.\nFinally, $F_j^+(\\alpha)$ depends analytically on $\\alpha$ in the region \\eqref{regionvalide} and the operator $\\mathcal{P}_\\ell(\\alpha)$ admits a meromorphic extension to the region  \n\\begin{equation}\\label{regiondextension}\n\\Big\\{\\alpha=Q+ip \\in \\Sigma\\, |\\,  \\forall j\\leq \\ell, {\\rm Im}\\sqrt{p^2-2j}\\in (\\beta\/2-\\gamma,\\beta\/2)\\Big\\}\\end{equation}\nand $\\mathcal{P}_\\ell(\\alpha)F$ satisfies \\eqref{expansionP} in that region. \n\\end{proposition}\nWe notice that, by uniqueness of the expansion \\eqref{expansionP}, for $j<\\ell$ and $|p|>\\sqrt{2\\ell}$, we have \n\\begin{equation}\\label{egalitepoissonell} \n\\mathcal{P}_\\ell(Q+ip)|_{\\ker ({\\bf P}-j)}= \\mathcal{P}_{j}(Q+ip)|_{\\ker ({\\bf P}-j)}.\n\\end{equation}\n\n\\subsubsection{Verma modules and highest weight vectors for the free field}\\label{Vermafreefield}\n\nWe shall use a particular eigenbasis of ${\\bf P}$ that is parametrized by the Young diagrams  and that is adapted to the Virasoro algebra. \nRecall that a Young diagram $\\nu$ is a non-increasing finite sequence of integers $\\nu_1\\geq \\dots\\geq \\nu_k>0$. We denote by $\\mathcal{T}$ the union of $\\{0\\}$ and the set of Young diagrams and we denote by $|\\nu|=\\sum_{j}\\nu_j$ its length. We shall write $\\mathcal{T}_n:=\\{\\nu \\in \\mathcal{T}\\,|\\, |\\nu|=n\\}$. \nNotice that $\\mathcal{T}$ can be viewed as a subset of $\\mathcal{N}$, where $\\mathcal{N}$ is the set \nof sequences $(k_n)_{n\\geq 0}\\in \\mathbb{N}_0^{\\mathbb{N}_0}$ so that there is $n_0$ with  $k_n=0$ for all $n\\geq n_0$.\nGiven two elements $\\nu= (\\nu_i)_{i \\in [1,k]}\\in\\mathcal{N}$ and $\\tilde{\\nu}= (\\tilde{\\nu}_i)_{i \\in [1,j]}\\in\\mathcal{N}$ \nwe define the operators on $\\mathcal{C}_{\\rm exp}$ \n\\begin{equation}\\label{LnuL-nu}\n\\begin{gathered}\n \\mathbf{L}_{-\\nu}^0:=\\mathbf{L}_{-\\nu_k}^0 \\cdots \\, \\mathbf{L}_{-\\nu_1}^0,  \\qquad  \\tilde{\\mathbf{L}}_{-\\tilde \\nu}^0:=\\tilde{\\mathbf{L}}_{-\\tilde\\nu_j}^0 \\cdots\\, \\tilde{\\mathbf{L}}_{-\\tilde\\nu_1}^0\\\\\n \\mathbf{L}_{\\nu}^0:=\\mathbf{L}_{\\nu_k}^0 \\cdots \\, \\mathbf{L}_{\\nu_1}^0,   \\qquad  \\tilde{\\mathbf{L}}_{\\tilde \\nu}^0:=\\tilde{\\mathbf{L}}_{\\tilde\\nu_j}^0 \\cdots\\, \\tilde{\\mathbf{L}}_{\\tilde\\nu_1}^0\n\\end{gathered}\\end{equation}\nand define the functions\n\\begin{align}\\label{psibasis}\n\\Psi^0_{\\alpha,\\nu, \\tilde\\nu}:=\\mathbf{L}_{-\\nu}^0\\tilde{\\mathbf{L}}_{-\\tilde\\nu}^0  \\: \\Psi^0_\\alpha,\n\\end{align}\nwith the convention that $\\Psi^0_{\\alpha,0,0}:=\\Psi^0_{\\alpha}=e^{(\\alpha-Q)c}$. These functions satisfy \n\\[ {\\bf H}^0\\Psi^0_{\\alpha,\\nu, \\tilde\\nu}=(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)\\Psi^0_{\\alpha,\\nu, \\tilde\\nu}\\quad  \\textrm{ with }\\Delta_\\alpha:=\\frac{\\alpha}{2}(Q-\\frac{\\alpha}{2}).\\]\nBy \\cite[Proposition 4.9]{GKRV}, for each $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$, there is a polynomial $\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}$ in the variables $(x_n,y_n)_n$ so that \n\\begin{equation}\\label{descendantfree}\n\\Psi^0_{\\alpha,\\nu, \\tilde\\nu}=\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}\\Psi_{\\alpha}^0, \\qquad {\\bf P} \\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}=(|\\nu|+|\\tilde{\\nu}|) \\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}.\n\\end{equation}\nIt is also shown that  ${\\rm span}\\{  \\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}\\, |\\, \\nu,\\tilde{\\nu}\\in \\mathcal{T},\\,  |\\nu|+|\\tilde{\\nu}|=\\ell\\}=\\ker({\\bf P}-\\ell)$ if $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$. More generally, a relation of the form \\eqref{descendantfree} holds if $\\nu,\\tilde{\\nu}\\in \\mathcal{N}$ with \n$\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}\\in \\ker ({\\bf P}-|\\nu|-|\\tilde{\\nu}|)$ where $|\\nu|=\\sum_j \\nu_j$ and $|\\tilde{\\nu}|=\\sum_j \\tilde{\\nu}_j$. In fact if\n$n_1,\\dots,n_k\\in \\mathbb{N}$ and $\\tilde{n}_1,\\dots,\\tilde{n}_{k'}\\in \\mathbb{N}$, then\n\\[\n{\\bf L}_{-n_k}^0\\dots {\\bf L}_{-n_1}^0\\tilde{{\\bf L}}_{-\\tilde{n}_{k'}}^0\\dots \\tilde{{\\bf L}}_{-\\tilde{n}_1}^0\\Psi^0_\\alpha\\in {\\rm span}\\Big\\{ \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\,|\\, \\nu,\\tilde{\\nu}\\in \\mathcal{T}, |\\nu|=\\sum_{j=0}^kn_j, \\; |\\tilde{\\nu}|=\\sum_{j=0}^{k'}\\tilde{n}_j\\Big\\}\n\\]\nif $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$. In particular, for $n\\in \\mathbb{Z}$,  if $\\nu,\\tilde{\\nu}\\in\\mathcal{T}$, there are \ncoefficients $\\ell_{n}^\\alpha (\\nu,\\nu')\\in \\mathbb{C}$, that are $0$ when $|\\nu|-n\\not=|\\nu'|$, so that \n\\begin{equation}\\label{descendant_general}  \n{\\bf L}_{n}^0 \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0=\\sum_{\\nu'\\in \\mathcal{T}}\\ell_{n}^\\alpha (\\nu,\\nu')\\Psi_{\\alpha,\\nu',\\tilde{\\nu}}^0 , \n\\quad \\tilde{{\\bf L}}_{n}^0 \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0=\\sum_{\\tilde{\\nu}'\\in \\mathcal{T}}\\ell_{n}^\\alpha (\\tilde{\\nu},\\tilde{\\nu}')\\Psi_{\\alpha,\\nu,\\tilde{\\nu}'}^0.\n\\end{equation}\nMoreover, when $0<n\\leq \\nu_k$ and $\\nu=(\\nu_1,\\dots,\\nu_k)$, then $\\ell_{-n}^{\\alpha}(\\nu,\\nu')=\\delta_{\\nu',(\\nu,n)}$, while when $n>|\\nu|$, \n$\\ell_{n}^{\\alpha}(\\nu,\\cdot)=0$. \nThe functions $\\ell_{n}^{\\alpha}$ can be computed by \ncommuting recursively ${\\bf L}^0_{n}$ with the ${\\bf L}_{-\\nu_j}^0$ for those $\\nu_j\\leq n$ when writing $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0$ under the form \\eqref{psibasis}. In the proof of \\cite[Proposition 4.9]{GKRV}, it is shown that \n\\[ {\\bf L}_{n}^0 \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0= e^{(\\alpha-Q)c} {\\bf L}_{n}^{0,\\alpha}\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}},\\qquad \\tilde{{\\bf L}}_{n}^0 \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0= e^{(\\alpha-Q)c} \\tilde{{\\bf L}}_{n}^{0,\\alpha}\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}\\]\nwhere ${\\bf L}_n^{0,\\alpha}= e^{(Q-\\alpha)c}[{\\bf L}_{n}^0, e^{(\\alpha-Q)c}]$ (and similarly for $\\tilde{{\\bf L}}_n^{0,\\alpha}$) \nis viewed as an unbounded operator acting on $L^2(\\Omega_\\mathbb{T})$ (i.e only in the $(x_n,y_n)_n$ variables but not on $c$) and well defined on $\\mathcal{S}\\subset L^2(\\Omega_\\mathbb{T})$; it also satisfies $({\\bf L}_n^{0,\\alpha})^*={\\bf L}_{-n}^{0,2Q-\\bar{\\alpha}}$ on $L^2(\\Omega_\\mathbb{T})$. By \\eqref{descendant_general}\n\\begin{equation}\\label{Ln0alpha}\n \\sum_{\\nu'\\in \\mathcal{T}}\\ell_{n}^{\\alpha}(\\nu,\\nu')\\mathcal{Q}_{\\alpha,\\nu',\\tilde{\\nu}}={\\bf L}_n^{0,\\alpha}\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}, \\qquad \n\\sum_{\\tilde{\\nu}'\\in \\mathcal{T}}\\ell_{n}^{\\alpha}(\\tilde{\\nu},\\tilde{\\nu}')\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}'}=\\tilde{{\\bf L}}_n^{0,\\alpha}\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}.\n\\end{equation}\nFollowing \\cite[Section 6.4]{GKRV}, we define the Hilbert space \n\\[ \\mathcal{H}_{\\mathcal{T}}=\\bigoplus_{n=0}^\\infty \\mathbb{C}^{d_n} , \\quad \\langle v,v'\\rangle_{\\mathcal{T}}=\\sum_{n=0}^\\infty \\langle v_n,v_n'\\rangle_{d_n}\\] \nwhere $d_n=\\sharp \\mathcal{T}_n$, and $\\langle \\cdot,\\cdot\\rangle_{d_n}$ is the standard Hermitian product on $\\mathbb{C}^{d_n}$.  \nIf $(e_{\\nu})_{\\nu \\in \\mathcal{T}}$ denotes \nthe canonical Hilbert basis of $\\mathcal{H}_{\\mathcal{T}}$, we see that for $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$\n\\[ \\mathcal{I}_{\\alpha}: \\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}} \\to L^2(\\Omega_\\mathbb{T}), \\quad e_{\\nu}\\otimes e_{\\tilde{\\nu}} \\mapsto \\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}\\]\nis an isomorphism, but it is not a unitary map since $(\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}})_{\\nu,\\tilde{\\nu}}$ is not orthonormal. \nBy \\cite[Proposition 4.9]{GKRV} we have for $P>0$\n\\[ \\langle \\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}, \\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}'}\\rangle_{L^2(\\Omega_\\mathbb{T})}=F_{Q+iP}(\\nu,\\nu')F_{Q+iP}(\\tilde{\\nu},\\tilde{\\nu}') \\]\nwhere $(F_{Q+iP}(\\nu,\\nu'))_{\\nu,\\nu'\\in \\mathcal{T}}$ are the so-called \\emph{Shapovalov matrices}, which satisfy $F_{Q+iP}(\\nu,\\nu')=0$ if $|\\nu|\\not=|\\nu'|$ and so that \n$(F_{Q+iP}(\\nu,\\nu'))|_{\\nu,\\nu'\\in \\mathcal{T}_n}$ are invertible for all $n\\in \\mathbb{N}$; the inverse of $F_{Q+iP}$ is denoted $F_{Q+iP}^{-1}$. \nTherefore, if we equip $\\mathcal{H}_{\\mathcal{T}}$ with the following scalar product\n\\[ \\langle u,u'\\rangle_{Q+iP}:= \\sum_{\\nu,\\nu'\\in\\mathcal{T}} F_{Q+iP}(\\nu,\\nu') u_\\nu \\bar{u}_{\\nu'} ,\\quad \\textrm{for } u=\\sum_{\\nu} u_\\nu e_\\nu, \\,\\,  u'=\\sum_{\\nu} u'_\\nu e_\\nu ,\\]\nthe map $\\mathcal{I}_{Q+iP}: (\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP}\\otimes \\langle\\cdot,\\cdot\\rangle_{Q+iP}) \\to L^2(\\Omega_\\mathbb{T})$ becomes a unitary isomorphism of Hilbert spaces. \nLet us consider the linear maps for $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$\n\\begin{equation}\\label{def:ell_nalpha}\n\\ell_n^{\\alpha}:\\mathcal{H}_{\\mathcal{T}}\\to \\mathcal{H}_{\\mathcal{T}},\\quad \n\\ell_n^{\\alpha}(e_{\\nu})=\\sum_{\\nu'\\in \\mathcal{T}}\\ell_n^{\\alpha}(\\nu,\\nu')e_{\\nu'} \n\\end{equation}\nand we also call $\\ell_n^\\alpha$ (resp. $\\tilde{\\ell}_n^\\alpha$) the action of $\\ell_n^\\alpha$ on $\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}$ on the left variable \n(resp.  on $\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}$ on the right variable).\nNotice that \n$\\mathcal{I}_{\\alpha}\\ell_n^{\\alpha}={\\bf L}^{0,\\alpha}_n\\mathcal{I}_{\\alpha}$ and $\\mathcal{I}_{\\alpha}\\tilde{\\ell}_n^{\\alpha}=\\tilde{{\\bf L}}^{0,\\alpha}_n\\mathcal{I}_{\\alpha}$.\nFrom \\eqref{Ln0alpha} and the fact that $({\\bf L}_n^{0,Q+iP})^*={\\bf L}_{-n}^{0,Q+iP}$ for $P>0$, we conclude that $(\\ell_n^{Q+iP})^*=\\ell_{-n}^{Q+iP}$ on $(\\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP})$ and \n\\begin{equation}\\label{ellnadjoint}\n(\\ell_n^{Q+iP})^*=\\ell_{-n}^{Q+iP}, \\quad  (\\tilde{\\ell}_n^{\\, Q+iP})^*=\\tilde{\\ell}_{-n}^{\\, Q+iP} \\textrm{ on }(\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP})\\otimes \\langle\\cdot,\\cdot\\rangle_{Q+iP}).\n\\end{equation}\n\nLet us now define the vector spaces $\\mathcal{V}_\\alpha^0, \\overline{\\mathcal{V}}_\\alpha^0$  by \n\\[ \\begin{gathered}\n\\mathcal{V}_\\alpha^0:= {\\rm span}\\{ \\Psi^0_{\\alpha,\\nu,0}\\,|\\, \\nu \\in \\mathcal{T} \\} \\subset e^{(|{\\rm Re}(\\alpha)-Q|+\\epsilon)|c|}L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T}), \\\\\n\\overline{\\mathcal{V}}_\\alpha^0:= {\\rm span}\\{ \\Psi^0_{\\alpha,0,\\tilde{\\nu}}\\,|\\, \\nu \\in \\mathcal{T} \\} \\subset e^{(|{\\rm Re}(\\alpha)-Q|+\\epsilon)|c|}L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})\n\\end{gathered}\\]\nIn the langage of representation theory (see \\cite[Chapter 6]{Schottenloher}), if $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$ the state $\\Psi_{\\alpha}^0$ is a \\emph{highest weight vector} associated to the highest weight representation of Virasoro algebra ${\\rm Vir}(c_L)$ with central charge $c_L=1+6Q^2$ generated by the operators ${\\bf L}_n^0$ for $n\\in \\mathbb{Z}$ and $c_L$, \nand $\\mathcal{V}_\\alpha^0$ is an associated \\emph{Verma module} (and similarly for $\\overline{\\mathcal{V}}_\\alpha^0$):\n\\[ \\left \\{ \\begin{array}{lll}\n {\\bf L}_n^{0}\\Psi_\\alpha^0=0, \\,\\, \\forall n>0,  \\\\\n{\\bf L}_0^0 \\Psi_{\\alpha}^0= \\Delta_{\\alpha} \\Psi_{\\alpha}^0\n \\end{array}\\right. ,\\qquad \n\\left \\{ \\begin{array}{lll}\n \\tilde{{\\bf L}}_n^{0}\\Psi_\\alpha^0=0, \\,\\, \\forall n>0,  \\\\\n\\tilde{{\\bf L}}_0^0 \\Psi^0_{\\alpha}= \\Delta_{\\alpha} \\Psi^0_{\\alpha} \n \\end{array}\\right..\n \\]\n For $\\alpha=Q+iP$ with $P>0$, we equip $\\mathcal{V}_{Q+iP}^{0}$ and $\\overline{\\mathcal{V}}_{Q+iP}^{0}$ with the scalar product \n\\begin{equation}\\label{scalarproduct}\n\\langle F,F'\\rangle_{\\mathcal{V}^0_{Q+iP}}:= \\langle e^{-iPc}F, e^{-iPc}F'\\rangle_{L^2(\\Omega_\\mathbb{T})},\n\\end{equation} \nand the two representations ${\\bf L}_n^0$ in  $\\mathcal{V}_{Q+iP}^{0}$  and $\\tilde{\\bf L}_n^0$ in $\\overline{\\mathcal{V}}_{Q+iP}^{0}$ are then unitary.   \nThe direct sum ${\\rm Vir}(c_L)\\oplus {\\rm Vir}(c_L)$ also has a representation into \n\\[\\mathcal{W}^{0}_{\\alpha}:={\\rm span}\\{ \\Psi^0_{\\alpha,\\nu,\\tilde{\\nu}}\\,|\\, \\nu,\\tilde{\\nu} \\in \\mathcal{T} \\}\\] \ngiven by the action of $({\\bf L}_n^0)_n$ and $(\\tilde{\\bf L}_n^0)_n$ on the basis elements $\\Psi^0_{\\alpha,\\nu,\\tilde{\\nu}}$; \nnotice that the representation of $({\\bf L}_n^0)_n$ on $\\mathcal{W}^{0}_{\\alpha}$ produces canonically the representation of \n$({\\bf L}_n^0)_n$ on $\\mathcal{V}_\\alpha^0$ by using the inclusion $\\mathcal{V}_\\alpha^0\\subset \\mathcal{W}_\\alpha^0$. \nWe use again the expression \\eqref{scalarproduct} for the scalar product on $\\mathcal{W}^{0}_{Q+iP}$.\nWe see that \n\\[ \\left\\{\\begin{array}{rcl} \n(\\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP})& \\to  & (\\mathcal{V}_{Q+iP}^{0},\\langle \\cdot,\\cdot \\rangle_{\\mathcal{V}^0_{Q+iP}}) \\\\\n e_{\\nu}& \\mapsto & \\Psi^0_{Q+iP,\\nu,0}\n\\end{array}\\right.,\\quad \n\\left\\{\\begin{array}{rcl} \n(\\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP})& \\to  & (\\mathcal{V}_{Q+iP}^{0},\\langle \\cdot,\\cdot \\rangle_{\\mathcal{V}^0_{Q+iP}}) \\\\\n e_{\\tilde{\\nu}}& \\mapsto & \\Psi^0_{Q+iP,0,\\tilde{\\nu}}\n\\end{array}\\right.\n\\]\nare unitary isomorphisms, which conjugate respectively ${\\bf L}_{n}^0$ and $\\tilde{\\bf L}_{n}^0$ with $\\ell_{n}^{Q+iP}$. \nOne also has a unitary isomorphism \n\\[\\left\\{\\begin{array}{rcl} \n(\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP}\\otimes  \\langle\\cdot,\\cdot\\rangle_{Q+iP})& \\to  & (\\mathcal{W}_{Q+iP}^0,\\langle \\cdot,\\cdot \\rangle_{\\mathcal{V}^0_{Q+iP}}) \\\\\n e_{\\nu}\\otimes e_{\\tilde{\\nu}}& \\mapsto & \\Psi^0_{Q+iP,\\nu,\\tilde{\\nu}}\n\\end{array}\\right.\\]\nwhich allows us to identify \n\\[\\mathcal{V}_{Q+iP}^{0}\\otimes \\overline{\\mathcal{V}}_{Q+iP}^{0} \\simeq \\mathcal{W}^{0}_{Q+iP}\\]\n\nSince for $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$, $\\ell_{n}^{\\alpha}$ maps a finite sum $\\sum_{\\nu,\\tilde{\\nu}\\in \\mathcal{T}_N}a_{\\nu,\\tilde{\\nu}}e_{\\nu}\\otimes e_{\\tilde{\\nu}}$ to a finite sum of the same form with $N$ replaced by $N-n$, we can compose $\\ell_n^\\alpha \\ell_m^\\alpha$ on such finite sums, and their commutators are given by the Virasoro commutation laws \n\\[ [ \\ell^{\\alpha}_n,\\ell^{\\alpha}_m]=(n-m)\\ell^{\\alpha}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}, \\quad [\\tilde{\\ell}^{\\alpha}_n,\\tilde{\\ell}^{\\alpha}_m]=(n-m)\\tilde{\\ell}^{\\alpha}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}.\\]\nFor each $P>0$, the $(\\ell_n^{Q+iP})_n$ thus forms a unitary representations of the Virasoro algebra into \n$\\mathcal{H}_{\\mathcal{T}}$, and $(\\ell_n^{Q+iP}, \\tilde{\\ell}_m^{\\, Q+iP})_{n,m}$ is a representation of ${\\rm Vir}(c_L)\\oplus {\\rm Vir}(c_L)$ into $(\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}, \\langle\\cdot,\\cdot\\rangle_{Q+iP}\\otimes  \\langle\\cdot,\\cdot\\rangle_{Q+iP})$, with each copy being unitary.\n\n\n\n\n\n\n\\subsubsection{Liouville descendants}\n\nThe Liouville descendant states $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ are defined using the Poisson operator of Proposition \\ref{poissonprop} (the square root below is defined so that $\\sqrt{Re^{i\\theta}}=\\sqrt{R}e^{i\\theta\/2}$ for $R>0$ and $\\theta \\in (-\\pi,\\pi)$)\n: \n\\begin{proposition}[Proposition 6.26 and Proposition 6.9 of \\cite{GKRV}]\\label{constPoisson}\nFor $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$, let $\\ell:=|\\nu|+|\\nu'|$, and set  for $\\alpha=Q+iP$ with ${\\rm Re}(\\alpha)\\leq Q$\n\\[ \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}:=\\mathcal{P}_\\ell(Q+i\\sqrt{P^2+2\\ell})\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}},\\]\nand $\\Psi_{\\alpha}:=\\Psi_{\\alpha,0,0}$.   The function $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ are well defined, analytic in $\\alpha$, as an element in $e^{- \\beta \\rho}\\mathcal{D}(\\mathcal{Q})$ for all $\\beta>Q-{\\rm Re}(\\alpha)$ such that $\\alpha$ belongs to the set \n\\begin{equation}\\label{defWell}\nW_\\ell:= \\Big\\{ \\alpha \\in \\mathbb{C} \\setminus \\mathcal{D}_0 , |\\,  \n{\\rm Re}(\\alpha)\\leq Q, \\,\\, {\\rm Im}(\\sqrt{P^2+2\\ell})>{\\rm Im}(P)-\\gamma\/2\\Big\\}\n\\end{equation}\nwhere $\\mathcal{D}_0 :=\\bigcup_{j\\geq 0}\\{Q\\pm i\\sqrt{2j}\\}$ is a discrete set where  \n$\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ is continuous in $\\alpha$ with at most square root singularities. Moreover $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ \nis an eigenfunction of ${\\bf H}$ with eigenvalue \n$\\frac{Q^2+P^2}{2}+\\ell$ if $\\alpha=Q+iP$.\nThe set $W_\\ell$ is a connected subset of the half-plane $\\{{\\rm Re}(\\alpha)\\leq Q\\}$, containing $(Q+i\\mathbb{R})\\setminus \\mathcal{D}_0$ and the real half-line $(-\\infty,Q-\\frac{2\\ell}{\\gamma}-\\frac{\\gamma}{4})$. Moreover, for $\\alpha\\ll -1$ real valued,  $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ is given by \n\\begin{equation}\\label{defdescendantsbis}\n\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\lim_{t \\to +\\infty}e^{t(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}e^{-t{\\bf H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\n\\end{equation}\nwhere the limit holds in a weighted space $e^{-\\beta\\rho}L^2$ for $\\beta>0$ large enough. \n\\end{proposition}\n\nWe first upgrade the statement \\eqref{defdescendantsbis} to a limit in $e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})$ for $\\alpha\\ll -1$ real valued and $\\beta>Q-\\alpha$:\n\\begin{equation}\\label{defdescendantsbisstrong}\n\\lim_{t\\to \\infty}\\|\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}-e^{t(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}e^{-t{\\bf H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\|_{e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})}=0\n\\end{equation} \n To prove this, we note that for some small $\\epsilon>0$, there is $C_\\epsilon>0$ independent of $t$ such that\n \\begin{align*} \n & \\|\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}-e^{t(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}e^{-t{\\bf H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\|_{e^{-\\beta\\rho}\\mathcal{D}(\\mathcal{Q})} \\\\\n&= \\|e^{-\\epsilon{\\bf H}}e^{\\epsilon(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}(\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}-e^{(t-\\epsilon)(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}e^{-(t-\\epsilon){\\bf H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0)\\|_{e^{-\\beta\\rho}\\mathcal{D}(\\mathcal{Q})}\\\\\n & \\leq  C_\\epsilon \\|\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}-e^{(t-\\epsilon)(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|)}e^{-(t-\\epsilon){\\bf H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0)\\|_{e^{-\\beta \\rho} L^2}\n \\end{align*}\nwhere we used \\cite[Lemma 6.5]{GKRV} which states that for all $t>0$ and all $\\beta \\in \\mathbb{R}$\n\\[\ne^{-t{\\bf H}}: e^{-\\beta \\rho}L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T}) \\to e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q}), \\quad e^{-t{\\bf H}}: e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})\\to e^{-\\beta \\rho}L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})\n\\]\nare bounded. Note that, writing $e^{-t{\\bf H}}=e^{-\\frac{t}{2}{\\bf H}}e^{-\\frac{t}{2}{\\bf H}}$, this also implies boundedness of the operator\n\\begin{equation}\\label{boundednesspropag}\ne^{-t{\\bf H}}: e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})\\to e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q}).\n\\end{equation}\n\\begin{corollary}\\label{cor:cts}\nLet $\\mathbf{v}$ be a Markovian vector field which satisfies the conditions of Theorem \\ref{theoremfreefield}. If $\\alpha\\ll -1$ real valued and $\\beta>Q-\\alpha$ then the following limit holds \n\\[ \\lim_{t\\to +\\infty}\\|\\mathbf{H}_\\mathbf{v}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}-e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}\\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\|_{e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})}=0.\\]\n\\end{corollary}\n\\begin{proof}\nThis is an immediate consequence of \\eqref{defdescendantsbisstrong} and the continuity of \n\\begin{equation}\\label{boundednessHvweight}\n\\mathbf{H}_\\mathbf{v}: e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})\\to e^{-\\beta\\rho}\\mathcal{D}'(\\mathcal{Q}).\n\\end{equation}\nThis last fact can be checked by considering the expression \\eqref{defHv}: one has  \n${\\bf L}_n^0e^{-\\beta \\rho}= e^{-\\beta \\rho}({\\bf L}_n^0-i\\beta\\rho'{\\bf A}_n)$ (and similarly for $\\tilde{{\\bf L}}_n^0e^{-\\beta \\rho}$) and \n ${\\bf L}_n^0,{\\bf A}_n$ are bounded as maps $\\mathcal{D}(\\mathcal{Q})\\to \\mathcal{D}'(\\mathcal{Q})$, while  $e^{\\beta \\rho}{\\bf H}e^{-\\beta \\rho}=\\mathbf{H} -\\tfrac{\\beta^2}{2}(\\rho'(c))^2+\\tfrac{\\beta}{2} \\rho''(c)+\\beta \\rho'(c)\\partial_{c}$ and all terms in the RHS are bounded from $\\mathcal{D}(\\mathcal{Q})$ to $\\mathcal{D}'(\\mathcal{Q})$.\n\\end{proof}\n\nNext, we show that the action of $\\mathbf{H}_\\mathbf{v}$ on Liouville descendants can be written as a Poisson transform of the action of ${\\bf H}_{\\mathbf{v}}^0$ on descendants of the free field. \n\\begin{lemma}\\label{prop:intertwine_reps}\nUnder the assumptions of Corollary \\ref{cor:cts}, we have the following limit in $e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})$\n\\[\\mathbf{H}_\\mathbf{v}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}\\mathbf{H}^0_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0.\\]\nwhere $\\mathbf{v}_t=e^tv(e^{-t}z)\\partial_z$. Similarly, if $\\mathbf{v}$ is a polynomial then \n\\[\\mathbf{H}_\\mathbf{v}^*\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}(\\mathbf{H}^0_{\\mathbf{v}_{-t}})^*\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0.\\]\nIn particular, for all $n\\in\\mathbb{Z}$,\n\\begin{align*}\n&\\mathbf{L}_n\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|-n)} e^{-t\\mathbf{H}}\\mathbf{L}_n^0\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\\\\n&\\tilde{\\mathbf{L}}_n\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|-n)} e^{-t\\mathbf{H}}\\tilde{\\mathbf{L}}_n^0\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0.\n\\end{align*}\n\\end{lemma}\n\n\n\\begin{proof}\nWe begin with the case of a Markovian vector field $\\mathbf{v}$ and we introduce the notation $v_t(z)=e^tv(e^{-t}z)$. First, we remark that both $\\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}$ and $e^{-t\\mathbf{H}}\\mathbf{H}_{\\mathbf{v}_t}^0$ are well-defined as continuous operators $e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})\\to e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})$ for all $\\beta\\in \\mathbb{R}$ by \\eqref{boundednesspropag} and \\eqref{boundednessHvweight} since for all $t$ the vector field $\\mathbf{v}_t$ satisfies the conditions of Theorem \\ref{theoremfreefield}. By definition, we have $\\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}=-\\frac{\\d}{\\d\\varepsilon}_{|\\varepsilon=0}e^{-\\varepsilon\\mathbf{H}_\\mathbf{v}}e^{-t\\mathbf{H}}$. \nBy the Markov property of the GFF, we have for $g_{t,\\epsilon}(z)=e^{\\varepsilon\\mathbf{v}}e^{t\\mathbf{v}_0}(z)$ and $F\\in \\mathcal{C}_{\\rm exp}$\n\\[ e^{-\\varepsilon\\mathbf{H}_\\mathbf{v}}e^{-t\\mathbf{H}}F(c,\\varphi)=(1+ o(\\epsilon))e^{-\\frac{Q^2t}{2}}\\mathbb{E}_{\\varphi}\\Big[ F\\Big(\\Big(c+P\\varphi\\circ g_{t,\\epsilon}  +X_\\mathbb{D} \\circ g_{t,\\epsilon}+Q\\log \\frac{|g_{t,\\epsilon}'|}{|g_{t,\\epsilon}|}\\Big)\\Big|_{\\mathbb{T}}\\Big)  e^{- \\mu e^{\\gamma c} \\int_{\\mathbb{D}\\setminus g_{t,\\epsilon}(\\mathbb{D})}     \\frac{e^{\\gamma X(x)}} {|x| ^{\\gamma Q} } \\text{\\rm d} x  }  \\Big]. \\]\nLet us study the conformal map $g_{t,\\epsilon}$ as $\\epsilon \\to 0$\n\\[e^{\\varepsilon\\mathbf{v}}e^{t\\mathbf{v}_0}(z)=e^{-t}z+\\varepsilon v(e^{-t}z)+o(\\varepsilon).\\]\nNow, we want to commute $e^{\\varepsilon\\mathbf{v}}$ with $e^{t\\mathbf{v}_0}$. We have $e^{-t}z+\\varepsilon v(e^{-t}z)+o(\\varepsilon)=e^{-t}(z+\\varepsilon v_t(z)+o(\\varepsilon))$ with $v_t(z)=e^{t}v(e^{-t}z)$. If we define the vector field $\\mathbf{v}_t=e^tv(e^{-t}z)\\partial_z$, \n we have $e^{\\varepsilon\\mathbf{v}}e^{t\\mathbf{v}_0}=e^{t\\mathbf{v}_0}e^{\\varepsilon\\mathbf{v}_t}+o(\\varepsilon)$. Differentiating at $\\varepsilon=0$ gives the identity of vector fields\n $\\mathbf{v}(e^{t\\mathbf{v}_0}(z))=(de^{t\\mathbf{v}_0}).\\mathbf{v}_t(z)$ and \n \\[e^{-\\varepsilon\\mathbf{H}_\\mathbf{v}}e^{-t\\mathbf{H}}F(c,\\varphi)=e^{-t\\mathbf{H}}e^{-\\varepsilon\\mathbf{H}_{\\mathbf{v}_t}}F(c,\\varphi)+o(\\varepsilon).\\]\nWe deduce by differentiating at $\\varepsilon=0$\n\\begin{equation} \\label{eq:BCH}\n \\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}=e^{-t\\mathbf{H}}\\mathbf{H}_{\\mathbf{v}_t}\n \\end{equation}\n as continuous operators $e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})\\to e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})$ for all $\\beta\\in \\mathbb{R}$.  \nTherefore, by Corollary \\ref{cor:cts}, we have the following limit in $e^{-\\beta \\rho} \\mathcal{D}'(\\mathcal{Q})$ as $t\\to\\infty$:\n\\begin{align*}\n\\mathbf{H}_\\mathbf{v}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\n=\\underset{t\\to\\infty}{\\lim}\\,e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}\\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\n&=\\underset{t\\to\\infty}{\\lim}\\,e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}e^{-t\\mathbf{H}}\\mathbf{H}_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\n\\end{align*}\nNow, we write $\\mathbf{H}_{\\mathbf{v}_t}=\\mathbf{H}_{\\mathbf{v}_t}^0+\\mu e^{\\gamma c}V_{\\mathbf{v}_t}$ and we need to show that \n\\[\\underset{t\\to\\infty}{\\lim}\\,e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}e^{-t\\mathbf{H}}e^{\\gamma c}V_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0=0\\]\nin $e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})$.  We can use the probabilistic representation of the semigroup \\eqref{FeynmanKac}. Writing $X=X_\\mathbb{D}+P\\varphi$, $\\varphi_t(e^{i\\theta})=X(e^{-t+i\\theta})-B_t$ and $c_t=c+B_t$, using that $|v_t|\\leq C$ for some uniform $C>0$, we have for all $c\\in\\mathbb{R}$ and $t>0$ \n\n \\begin{align*}\n&\\left|\\mathbb{E}_\\varphi \\left[e^{-t\\mathbf{H}}( e^{\\gamma c}V_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0)\\right]\\right|\\\\\n&\\leq C e^{-\\frac{Q^2}{2}t}e^{(\\gamma+\\alpha-Q)c}\\mathbb{E}_\\varphi\\left[e^{(\\alpha-Q)B_t}|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|\\int_0^{2\\pi}e^{\\gamma X(e^{-t+i\\theta})}\\d\\theta e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_t^c}\\frac{e^{\\gamma X(x)}}{|x|^{\\gamma Q}} \\text{\\rm d} x }\\right]\\\\\n&=C |1-e^{-t}|^{\\frac{\\gamma^2}{2}}e^{-\\frac{Q^2}{2}t+\\frac{1}{2}(\\gamma+\\alpha-Q)^2t}e^{(\\gamma+\\alpha-Q)c}\\int_0^{2\\pi}e^{\\gamma P\\varphi (e^{-t+i \\theta})}  \\mathbb{E}_\\varphi   \\left[|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_t^c}\\frac{ e^{\\gamma X(x)}  }{|x|^{\\gamma\\alpha}|x-e^{-t+i\\theta}|^{\\gamma^2}}  \\text{\\rm d} x}\\right]\\d\\theta\\\\\n&\\leq C  e^{-2t\\Delta_\\alpha}e^{\\gamma(\\alpha-Q)t}e^{(\\gamma+\\alpha-Q)c} e^{\\gamma \\sup_{\\theta} P\\varphi (e^{-t+i \\theta})}  \\mathbb{E}_\\varphi [|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|]\n\\end{align*}\nwhere we used the Girsanov transform in the third line. Since $\\P_\\mathbb{T}$ is stationary for the Ornstein-Uhlenbeck process, we have $\\mathbb{E}[|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|^4]=\\mathbb{E}[|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi)|^4]<\\infty$ uniformly in $t$. Hence for $t \\geq 1$ and by using Jensen on the conditional expectation $\\mathbb{E}_\\varphi[\\cdot]$\n\\begin{align*}\n\\mathbb{E}[   | e^{\\gamma \\sup_{\\theta} P\\varphi (e^{-t+i \\theta})}  \\mathbb{E}_\\varphi [|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|]  |^2] & \\leq \\mathbb{E}[   | e^{4 \\gamma \\sup_{\\theta} P\\varphi (e^{-t+i \\theta})}  | ]^{1\/2} \\mathbb{E}[ \\mathbb{E}_\\varphi [|\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|] ^4] ]^{1\/2} \\\\\n& \\leq \\mathbb{E}[   | e^{4 \\gamma \\sup_{\\theta} P\\varphi (e^{-t+i \\theta})}  | ]^{1\/2} \\mathbb{E}[ |\\mathcal{Q}_{\\alpha,\\nu,\\tilde{\\nu}}(\\varphi_t)|^4 ] ^{1\/2}   \\\\\n& \\leq C  \n\\end{align*}\nMoreover, we have $\\int_\\mathbb{R} e^{2(\\gamma+\\alpha-Q)c}e^{2\\beta\\rho(c)}\\d c<\\infty$ since $\\beta>Q-\\alpha$ and $\\alpha-Q+\\gamma<0$ so there is $C>0$ such that\n\\[e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}\\|e^{-t\\mathbf{H}}(e^{\\gamma c}V_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0)\\|_{e^{-\\beta\\rho}L^2}\\leq  Ce^{(\\gamma(\\alpha-Q)+|\\nu|+|\\tilde{\\nu}|)t} \\]\nwhich converges to 0 for $\\alpha <  Q-\\frac{|\\nu|+|\\tilde{\\nu}|}{\\gamma} $. This proves that the limit\n\\[\\mathbf{H}_\\mathbf{v}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}\\mathbf{H}^0_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\]\nholds in $e^{-\\beta \\rho}\\mathcal{D}'(\\mathcal{Q})$.\n\nIn fact, identity \\eqref{eq:BCH} holds for all vector field $v$ (not just Markovian) which admits a holomorphic extension in a neighorhood of $\\mathbb{D}$. We use \\eqref{eq:BCH} and the fact that $e^{-t\\mathbf{H}}:\\mathcal{D}'(\\mathcal{Q})\\to\\mathcal{D}(\\mathcal{Q})$ is continuous to obtain for all $F,G\\in\\mathcal{D}(\\mathcal{Q})$\n\\begin{align*}\n\\langle\\mathbf{H}_{\\mathbf{v}_t}^*e^{-t\\mathbf{H}}F,G\\rangle_2\n=\\langle e^{-t\\mathbf{H}}F,\\mathbf{H}_{\\mathbf{v}_t}G\\rangle_2\n&=\\langle F,e^{-t\\mathbf{H}}\\mathbf{H}_{\\mathbf{v}_t}G\\rangle_2\\\\\n&=\\langle F,\\mathbf{H}_\\mathbf{v} e^{-t\\mathbf{H}}G\\rangle_2\\\\\n&=\\langle\\mathbf{H}_\\mathbf{v}^*F,e^{-t\\mathbf{H}}G\\rangle_2\\\\\n&=\\langle e^{-t\\mathbf{H}}\\mathbf{H}_\\mathbf{v}^*F,G\\rangle_2,\n\\end{align*}\nwhich implies the equality of bounded operators $\\mathcal{D}(\\mathcal{Q})\\to\\mathcal{D}'(\\mathcal{Q})$\n\\begin{equation}\\label{staridentity}\n\\mathbf{H}_{\\mathbf{v}_t}^*e^{-t\\mathbf{H}}=e^{-t\\mathbf{H}}\\mathbf{H}_\\mathbf{v}^*.\n\\end{equation}\nIf $\\mathbf{v}$ is a polynomial then we can apply identity \\eqref{staridentity} with $\\mathbf{v}_{-t}$ in place of $\\mathbf{v}$ and using similar arguments as in the previous case we deduce that\n$\\mathbf{H}_\\mathbf{v}^*\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}(\\mathbf{H}^0_{\\mathbf{v}_{-t}})^*\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0$  provided that $\\alpha <  Q-\\frac{N-1+|\\nu|+|\\tilde{\\nu}|}{\\gamma} $ where $N$ is the degree of the polynomial (this is due to the fact that $|e^{-t}v(e^{t}z)| \\leq e^{(N-1)t}$).\n\n\n\\end{proof}\n\n\n\\begin{proposition}\\label{intertwining_for_descendants}\nLet $\\ell\\in \\mathbb{N}$, and $\\nu,\\tilde{\\nu}\\in\\mathcal{T}$ such that $|\\nu|+|\\tilde{\\nu}|=\\ell$. For $n\\in \\mathbb{Z}$, and $\\alpha$ in the set $W_\\ell\\cap W_{\\ell-n}$ defined by \\eqref{defWell} and $\\alpha\\notin Q-\\frac{\\gamma}{2}\\mathbb{N}-\\frac{2}{\\gamma}\\mathbb{N}$, for $\\beta>Q-{\\rm Re}(\\alpha)$, \nwe have the following identities in $e^{-\\beta\\rho}\\mathcal{D}(\\mathcal{Q})$ \n\\begin{equation}\\label{eq:intertwine_reps_ctd}\n \\mathbf{L}_{n}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\sum_{\\nu'\\in \\mathcal{T}}\\ell_{n}^\\alpha(\\nu,\\nu') \\Psi_{\\alpha,\\nu',\\tilde{\\nu}},\\qquad \n \\tilde{\\mathbf{L}}_{n}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\sum_{\\tilde{\\nu}\\in \\mathcal{T}}\\tilde{\\ell}_{n}^{\\alpha}(\\tilde{\\nu},\\tilde{\\nu}')\\Psi_{\\alpha,\\nu,\\tilde{\\nu}'}\n \\end{equation}\n where $\\ell_{\\alpha,n}(\\nu,\\nu')$ is defined by \\eqref{descendant_general}. \nIn particular, if $n>0$, $\\nu=(\\nu_1,\\dots,\\nu_k)\\in \\mathcal{T}$ and $\\tilde{\\nu}=(\\tilde{\\nu}_1,\\dots,\\tilde{\\nu}_{k'})$,\n\\begin{equation}\\label{eq:intertwine_reps_ctd2} \n\\forall n\\leq \\nu_k, \\,\\,   \\mathbf{L}_{-n}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\Psi_{\\alpha,(\\nu,n),\\tilde{\\nu}}, \\qquad \n\\forall n\\leq \\tilde{\\nu}_{k'} ,\\, \\,  \\mathbf{L}_{-n}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\Psi_{\\alpha,\\nu,(\\tilde{\\nu},n)}.\n\\end{equation}\n\\end{proposition}\n\\begin{proof} Consider the vector field ${\\bf v}=\\omega {\\bf v}_0+{\\bf v}_n=(-\\omega z+z^{n+1})\\partial_z=:v(z)\\partial_z$ for $n\\geq 1$ and $\\omega>0$ large enough so that ${\\bf v}$ is Markovian. The vector field ${\\bf v}_t=e^{t}v(e^{-t})\\partial_z$ can be written \n\\[ {\\bf v}_t= -\\omega {\\bf v}_0+e^{-nt}{\\bf v}_n.\\]\nBy \\eqref{defHv} (applied to the free-field case), one has ${\\bf H}^0_{{\\bf v}_t}=\\omega {\\bf H}^0+e^{-nt}{\\bf L}_n^0$. \nBy Lemma \\ref{prop:intertwine_reps}, we then get \n\\[\\begin{split} \n{\\bf H}_{\\mathbf{v}} \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=& \n\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}\\mathbf{H}^0_{\\mathbf{v}_t}\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\\\\n=&  \\omega(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|) \\Psi_{\\alpha,\\nu,\\tilde{\\nu}} + \n\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|-n)} \\sum_{\\nu'\\in\\mathcal{T}}\\ell_{n}^\\alpha(\\nu,\\nu')\\Psi_{\\alpha,\\nu',\\tilde{\\nu}}^0\\\\\n=&  \\omega(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|) \\Psi_{\\alpha,\\nu,\\tilde{\\nu}} + \\sum_{\\nu'\\in\\mathcal{T}}\\ell_{n}^\\alpha(\\nu,\\nu')\\Psi_{\\alpha,\\nu',\\tilde{\\nu}}\n\\end{split}\\]  \nSince \\eqref{defHv} tells us that $\\mathbf{H}_\\mathbf{v}=\\omega \\mathbf{H}+{\\bf L}_n$, we see that \\eqref{eq:intertwine_reps_ctd} holds for $n\\leq -1$ when $\\alpha$ is real valued. Using the holomorphic extension of \n$\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ with respect to $\\alpha$ in Proposition \\ref{constPoisson}, one obtains the result in $W_{\\ell}\\cap W_{\\ell+n}$.\n\nTo deal with the ${\\bf L}_{-n}$ case with $n>0$, we apply the same type of argument: \none has $({\\bf H}^0_{{\\bf v}_{-t}})^*=\\omega {\\bf H}^0+e^{nt}{\\bf L}_{-n}^0$ and \n\\[\\begin{split} \n{\\bf H}_{\\mathbf{v}}^* \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=& \n\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)} e^{-t\\mathbf{H}}(\\mathbf{H}^0_{\\mathbf{v}_{-t}})^*\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}^0\\\\\n=&  \\omega(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|) \\Psi_{\\alpha,\\nu,\\tilde{\\nu}} + \n\\underset{t\\to\\infty}{\\lim}\\, e^{t(2\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|+n)} e^{-t\\mathbf{H}}\\sum_{\\nu'\\in\\mathcal{T}}\\ell_{n}^\\alpha(\\nu,\\nu')\\Psi_{\\alpha,\\nu'\\tilde{\\nu}}^0\\\\\n=&  \\omega(\\Delta_{\\alpha}+|\\nu|+|\\tilde{\\nu}|) \\Psi_{\\alpha,\\nu,\\tilde{\\nu}} + \\sum_{\\nu'\\in\\mathcal{T}}\\ell_{n}^\\alpha(\\nu,\\nu')\\Psi_{\\alpha,\\nu',\\tilde{\\nu}}.\n\\end{split}\\]  \nSince ${\\bf H}_{\\mathbf{v}}^*=\\omega \\mathbf{H}+{\\bf L}_{-n}$, we obtain the desired result, since the same argument works exactly the same for  $\\tilde{\\bf L}_n\\Psi_{\\alpha,\\nu,\\nu'}$. \n\\end{proof}\n\n\n\n\n\n\n\n\n\\section{Scattering coefficient, analyticity of the eigenstates and Verma modules of Liouville}\n\nWe can define the scattering matrices as in \\cite[Definition 6.23]{GKRV}: \n\\begin{definition} \nFor each $\\ell\\in \\mathbb{N}_0$, the scattering matrix ${\\bf S}_\\ell(Q+ip):E_\\ell\\to E_\\ell$, defined for $p\\in \\mathbb{R}\\setminus[-\\sqrt{2\\ell},\\sqrt{2\\ell}]$ \nis the linear map defined by:  $\\forall F_j\\in \\ker ({\\bf P}-j)$ with $j\\leq \\ell$\n\\begin{equation}\\label{scatmatrix}\n{\\bf S}_\\ell(Q+ip)\\sum_{j=0}^{\\ell}F_j:= \\sum_{j=0}^{\\ell}F_j^+(Q+ip)\n\\end{equation}\nwhere $F_j^+(Q+ip)\\in \\ker ({\\bf P}-j)$ are the functions appearing in the asymptotic expansion \\eqref{expansionP} of $\\mathcal{P}_\\ell(Q+ip)\\sum_{j=0}^\\ell F_j$. The matrices ${\\bf S}_0(\\alpha)$ admit an analytic extension from $Q+i\\mathbb{R}$ to ${\\rm Re}(\\alpha)\\in(Q-\\epsilon,Q]$ for some $\\epsilon>0$.\n\\end{definition}\nFrom \\eqref{egalitepoissonell}, we also see that for $j<\\ell$\n\\[ {\\bf S}_\\ell(Q+ip)|_{\\ker ({\\bf P}-j)}={\\bf S}_j(Q+ip)|_{\\ker ({\\bf P}-j)}.\\]\nIt is convenient to use a change of complex parameter $p=\\sqrt{P^2+2\\ell}$ and define \n\\[ \\tilde{\\bf S}_\\ell(Q+iP):={\\bf S}_\\ell(Q+i\\sqrt{P^2+2\\ell})\\]\nBy \\cite[Corollary 6.24]{GKRV}, $\\tilde{\\bf S}_\\ell(Q+iP)$ is analytic in \n\\[\\{P\\in \\mathbb{C}\\,|\\, {\\rm Im}(P)\\in [0,\\gamma\/2), \n{\\rm Im}\\sqrt{P^2+2\\ell}\\geq 0\\} \\setminus \\bigcup_{j\\geq \\ell}\\pm\\sqrt{2(j-\\ell)}.\\]\n\n\nIn particular we see from \\eqref{expansionP} that for $P \\in \\mathbb{R}\\setminus \\{0\\}$, \n$\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$ have asymptotic expansion for $\\ell:=|\\nu|+|\\tilde{\\nu}|$\n\\begin{equation}\\label{asymptoticdescendants}\n\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}(c,\\varphi)=e^{iPc}\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}(\\varphi)+ \\sum_{j=0}^\\ell \\Pi_{\\ker ({\\bf P}-j)}(\\tilde{{\\bf S}}_\\ell(Q+iP)\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}})(\\varphi)e^{-ic\\sqrt{P^2+2(\\ell-j)}}+G_{Q+iP,\\nu,\\tilde{\\nu}}(c,\\varphi)\n\\end{equation}\nwhere $G_{Q+iP,\\nu,\\tilde{\\nu}}\\in \\mathcal{D}(\\mathcal{Q})$, and they are the unique solution of $({\\bf H}-\\frac{Q^2+P^2}{2}+\\ell)u=0$ with such an asymptotic expansion where the coefficient of $e^{iPc}$ is \ngiven by $\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}(\\varphi)$.\n\n\n\n\\subsection{Computation of the reflection coefficient for primary fields} \nIn this section we compute the scattering matrix ${\\bf S}_0(\\alpha)$, also called reflection coefficient.\n \nThe primary fields are $\\Psi_{\\alpha}:=\\Psi_{\\alpha,0,0}=\\mathcal{P}_0(\\alpha)1$, by Proposition \\ref{poissonprop} they are analytic in $\\{{\\rm Re}(\\alpha)\\leq Q\\}\\setminus \\mathcal{D}_0$ and satisfy in ${\\rm Re}(\\alpha)\\in (Q-\\gamma\/2,Q]$\n\\begin{equation}\\label{asymptpsialpha}\n \\Psi_{\\alpha}=e^{(\\alpha-Q)c}+ e^{(Q-\\alpha)c}{\\bf S}_0(\\alpha)1+G_\\alpha, \\quad \\textrm{with } G_{\\alpha}\\in \\mathcal{D}(\\mathcal{Q}).\n \\end{equation}\n\\begin{proposition}\\label{coefreflection}\nFor ${\\rm Re}(\\alpha)\\in (Q-\\gamma\/2,Q]$, the scattering coefficient $R(\\alpha):={\\bf S}_0(\\alpha)1$ is given by the explicit expression \n\\begin{equation}\\label{Ralpha} \nR(\\alpha)=-\\Big(\\pi \\mu \\frac{\\Gamma(\\frac{\\gamma^2}{4})}{\\Gamma(1-\\frac{\\gamma^2}{4})}\\Big)^{2\\frac{(Q-\\alpha)}{\\gamma}}\\frac{\\Gamma(-\\frac{\\gamma(Q-\\alpha)}{2})\\Gamma(-\\frac{2(Q-\\alpha)}{\\gamma})}{\\Gamma(\\frac{\\gamma(Q-\\alpha)}{2})\\Gamma(\\frac{2(Q-\\alpha)}{\\gamma})}.\n\\end{equation}\n\\end{proposition}\n\n\\begin{proof} \n\nFirst we prove the result for $\\alpha\\in (Q-\\gamma\/2,Q)$ and then we use the fact that both ${\\bf S}_0(\\alpha)1$ and the RHS of \\eqref{Ralpha} extend analytically in $\\{{\\rm Re}(\\alpha)\\in  (Q-\\epsilon,Q]\\}\\setminus \\mathcal{D}_0$ for some $\\epsilon>0$ small. \nFor $ \\alpha<Q$ we have the probabilistic expression \n\\begin{equation}\\label{defvalpha}\n\\Psi_\\alpha(c,\\varphi) :=e^{(\\alpha-Q)c} \\mathbb{E}_\\varphi\\Big[ \\exp\\Big(-\\mu e^{\\gamma c}\\int_{\\mathbb{D}} |x|^{-\\gamma\\alpha }M_\\gamma(\\text{\\rm d} x)\\Big)\\Big].\n\\end{equation}\nLet $\\alpha\\in (\\frac{2}{\\gamma},Q)$. To compute the $c\\to-\\infty$ asymptotic expansion we first note that\n\\begin{align*\n\\int_{\\mathbb{D}} |x|^{-\\gamma\\alpha }  e^{\\gamma X(x)}\\text{\\rm d} x=\\int_\\mathbb{D}  |x|^{-\\gamma\\alpha} e^{\\gamma P\\varphi(x)}(1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\mathbb{D}}(\\text{\\rm d} x)\n\\end{align*}\nwhere in this proof $M_{\\gamma,\\mathbb{D}}$ is the GMC measure with respect to the Dirichlet GFF $X_\\mathbb{D}$, i.e. the measure defined by\n\\begin{equation}\\label{GMCdisk}\n\\begin{gathered}\nM_{\\gamma,\\mathbb{D}} (\\text{\\rm d} x):=  \\underset{\\epsilon \\to 0} {\\lim}  \\; \\; e^{\\gamma X_{\\mathbb{D},\\epsilon}(x)-\\frac{\\gamma^2}{2} \\mathbb{E}[X_{\\mathbb{D},\\epsilon}(x)^2]} \\text{\\rm d} x\n\\end{gathered}\n\\end{equation}\nwhere $X_{\\mathbb{D},\\epsilon}= X_\\mathbb{D} \\ast \\theta_\\epsilon$ is the mollification of $X_\\mathbb{D}$ with an  approximation   $(\\theta_\\epsilon)_{\\epsilon>0}$ of the Dirac mass $\\delta_0$. First let us show that the contribution of the integral outside of any disk  \n$\\mathbb{D}_r=\\{|x|\\leq r\\}$ does not not play a part in the asymptotics.\nUsing the inequality $1-e^{-\\mu x}\\leq \\mu x$ in the second line below, we get\n\\begin{align*}\n|  \\mathbb{E}_\\varphi [ e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}} |x|^{-\\gamma\\alpha }e^{\\gamma X(x)} \\text{\\rm d} x}]  -\\mathbb{E}_\\varphi [e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r} |x|^{-\\gamma\\alpha }e^{\\gamma X(x)} \\text{\\rm d} x}]| &\n\\leq    \\mathbb{E}_\\varphi[1-e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}\\setminus \\mathbb{D}_r} |x|^{-\\gamma\\alpha }e^{\\gamma X(x)} \\text{\\rm d} x } ]\n\\\\\n\\leq & \\mu e^{\\gamma c}r^{-\\alpha\\gamma} \\mathbb{E}_\\varphi [\\int_\\mathbb{D} e^{\\gamma P\\varphi}(1-|x|^2)^{\\frac{\\gamma^2}{2}}M_{\\gamma,\\mathbb{D}}(\\text{\\rm d} x)]\\\\\n\\leq & \\mu e^{\\gamma c}r^{-\\alpha\\gamma} \\int_\\mathbb{D} e^{\\gamma P\\varphi(x)}(1-|x|^2)^{\\frac{\\gamma^2}{2}}\\text{\\rm d} x.\n\\end{align*}\nFor fixed $r$, this quantity is $e^{\\gamma c}\\mathcal{O}(1)$, where $\\mathcal{O}(1)$ means bounded in $L^2(\\Omega_\\mathbb{T})$ as $c\\to-\\infty$. Therefore we can focus on evaluating what happens inside $\\mathbb{D}_r$. We want to make use of Kahane's convexity inequalities (see \\cite{review}) to estimate the contribution coming from $\\mathbb{D}_r$. Let us set $m_r:=-\\inf_{x,x'\\in\\mathbb{D}_r}\\log |1-x\\bar x'| $. For $x,x'\\in \\mathbb{D}_r$ \n\\begin{equation}\n\\ln \\frac{1}{|x-x'|}-m_r\\leq G_\\mathbb{D}(x,x')\\leq \\log \\frac{1}{|x-x'|}.\n\\end{equation}\nLet us consider a centered Gaussian field $\\tilde{X}$ with covariance $\\mathbb{E}[\\tilde{X}(x)\\tilde{X}(x')]=\\ln \\frac{1}{|x-x'|}$ inside $\\mathbb{D}_r$, a standard Gaussian random variable  $Z$ and the GFF on the circle $\\varphi$, all of them independent of each other under $\\P$ (with expectation $\\mathbb{E}$). Let  $M_{\\gamma,\\tilde{X}}$ be the GMC measure of $\\tilde{X}$ and set $E_r:= e^{\\gamma m_r^{1\/2}Z-\\frac{\\gamma^2m_r}{2}}$.  Using Kahane's inequalities, we get\n\\begin{equation}\\label{eq:def_D}\n\\begin{aligned}\nD(c,\\varphi)\n&:=\\mathbb{E}_\\varphi [ 1-e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma} e^{\\gamma P\\varphi(x)}(1-|x|^2)^{\\frac{\\gamma^2}{2}}M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)}] \\\\\n&\\geq\\mathbb{E}_\\varphi\\Big[1-e^{-\\mu e^{\\gamma c}E_r\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}e^{\\gamma P\\varphi(x)}(1-|x|^2)^\\frac{\\gamma^2}{2}M_{\\gamma,\\mathbb{D}}(\\d x)}\\Big]\n\\end{aligned}\n\\end{equation}\nand \n\\begin{align*}\nd(c,\\varphi):=\n&\\mathbb{E}_\\varphi\\Big[ 1-e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma} e^{\\gamma P\\varphi(z)}(1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)}\\Big]\\\\\n&\\leq\\mathbb{E}_\\varphi\\Big[1-e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}e^{\\gamma P\\varphi(x)}(1-|x|^2)^\\frac{\\gamma^2}{2}M_{\\gamma,\\mathbb{D}}(\\d x)}\\Big].\n\\end{align*}\nNext we show that, in $L^2(\\mathbb{R}\\times\\Omega_\\mathbb{T})$, \n\\begin{align}\n&\\limsup_{c\\to-\\infty}e^{2(\\alpha-Q)c} D(c,\\varphi)\n\\leq-\\mu^{\\frac{2(Q-\\alpha)}{\\gamma}} \\tfrac{2(Q-\\alpha)}{\\gamma}\\bar{R}(\\alpha)\\Gamma\\big(-\\tfrac{2(Q-\\alpha)}{\\gamma}\\big)\\label{limsup}\\\\\n&\\liminf_{c\\to-\\infty}e^{2(\\alpha-Q)c} d(c,\\varphi)\n\\geq-\\mu^{\\frac{2(Q-\\alpha)}{\\gamma}} \\tfrac{2(Q-\\alpha)}{\\gamma}\\bar{R}(\\alpha)\\Gamma\\big(-\\tfrac{2(Q-\\alpha)}{\\gamma}\\big)\\label{liminf}\n\\end{align}\nwith $\\bar{R}(\\alpha)$ the unit volume reflection coefficient (see \\cite[Equations (3.10) \\& (3.12)]{dozz}).\nAs the proof is quite similar for both of them, we will only focus on the first one.\n\nIt was proven in \\cite[Lemma 3.1]{dozz} that\n$$\\big|\\P\\Big(\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma} (1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)>u\\Big)-u^{-\\frac{2}{\\gamma}(Q-\\alpha)}\\bar R(\\alpha)\\big|\\leq C_ru^{-\\frac{2}{\\gamma}(Q-\\alpha)-\\eta}$$\nfor some constants $C_r>0$  and $\\eta>0$. Therefore, setting $S_r:=\\sup_{x\\in\\mathbb{D}_r}e^{\\gamma P\\varphi(x)}$ and using for the \nrandom variable $Y\\geq 0$ the relation $\\mathbb{E}[1-e^{-aY}]=\\int_0^\\infty a\\P(Y>y)e^{-ay}\\,\\d y$, we get\n\\begin{align*}\n\\mathbb{E}_\\varphi\\Big[  1-&\\exp\\big(-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r} |x|^{-\\alpha\\gamma} e^{\\gamma P\\varphi(x)}(1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x))\\Big]\\\\\n\\leq & \\mathbb{E}_\\varphi\\Big[  1-\\exp\\big(-\\mu e^{\\gamma c}S_r\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}  (1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)\\big)\\Big]\\\\\n= &\\mathbb{E}_\\varphi\\Big[\\int_0^\\infty\\P \\Big(\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}   (1-|x|^2)^{\\frac{\\gamma^2}{2}} M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)>u\\Big)\\mu e^{\\gamma c}S_re^{-u\\mu e^{\\gamma c}S_r}\\,du\\Big]\\\\\n\\leq &\\mathbb{E}_\\varphi\\Big[\\int_0^\\infty \\Big( u^{-\\frac{2}{\\gamma}(Q-\\alpha)}\\bar R(\\alpha)+C_ru^{-\\frac{2}{\\gamma}(Q-\\alpha)-\\eta}\\Big)\\mu e^{\\gamma c}S_re^{-u \\mu e^{\\gamma c}S_r }\\,du\\Big]\\\\\n=&\\bar R(\\alpha)\\Gamma\\Big(1-\\frac{2}{\\gamma}(Q-\\alpha)\\Big)\\mu^{\\frac{2}{\\gamma}(Q-\\alpha)}e^{2(Q-\\alpha)c}S_r^{\\frac{2}{\\gamma}(Q-\\alpha)}  \\\\\n&+C_r \\mu^{\\frac{2}{\\gamma}(Q-\\alpha)+\\eta}e^{2(Q-\\alpha)c+\\gamma\\eta c}S_r^{\\frac{2}{\\gamma}(Q-\\alpha)+\\eta}.\n\\end{align*}\nAs  $\\lim_{r\\to 0}S_r^{\\beta}=1$ in $L^2(\\Omega_\\mathbb{T})$ for any fixed $\\beta>0$,  we deduce that\n\\begin{align*}\n\\limsup_{c\\to-\\infty}e^{2(\\alpha-Q)c}  &\\mathbb{E}_\\varphi\\Big[ 1-\\exp\\big(-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma} e^{\\gamma P\\varphi(x)}(1-|x|^2)^{\\frac{\\gamma^2}{2}}M_{\\gamma,\\tilde{X}}(\\text{\\rm d} x)\\big)\\Big]\\\\\n\\leq &\\bar R(\\alpha)\\Gamma\\big(1-\\frac{2}{\\gamma}(Q-\\alpha)\\big)\\mu^{\\frac{2}{\\gamma}(Q-\\alpha)}.\n\\end{align*}\nTo conclude, we need to get rid of the $E_r$ appearing in the last line of \\eqref{eq:def_D}. Along the same lines as previously and using the relation $\\mathbb{E}[1-e^{-aY}]=\\int_0^\\infty a\\P(Y>y)e^{-ay}\\,\\d y$ for a variable $Y \\geq 0$ \n\\begin{align*}\n&\\underset{r \\to 0}{\\lim}\\underset{c\\to-\\infty}{\\limsup}\\,\\Big|\\mathbb{E}_\\varphi\\Big[e^{-\\mu e^{\\gamma c}E_r\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}e^{\\gamma P\\varphi(x)}(1-|x|^2)^\\frac{\\gamma^2}{2}M_{\\gamma,\\mathbb{D}}(\\d x)}-e^{-\\mu e^{\\gamma c}\\int_{\\mathbb{D}_r}|x|^{-\\alpha\\gamma}e^{\\gamma P\\varphi(x)}(1-|x|^2)^\\frac{\\gamma^2}{2}M_{\\gamma,\\mathbb{D}}(\\d x)}\\Big]\\Big|=0\\\\\n\\end{align*}\nCombining \\eqref{eq:def_D},  \\eqref{limsup} and \\eqref{liminf} yields the desired result.\n\\end{proof} \n\n\n\n\n\\subsection{Reflection coefficients for descendants}\n\nWe first recall from \\cite[Proposition 7.2]{GKRV} the link between $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ and $\\Psi^0_{\\alpha,\\nu,\\tilde{\\nu}}$:\n\\[ \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}=\\lim_{t\\to +\\infty}e^{t(\\Delta_\\alpha+|\\nu|+|\\tilde{\\nu}|)}e^{-t{\\bf H}}\\Psi^0_{\\alpha,\\nu,\\tilde{\\nu}}\\]\nfor all $\\alpha< \\min(Q-\\frac{\\gamma}{4}-\\frac{2(|\\nu|+|\\tilde{\\nu}|)}{\\gamma},Q-\\gamma)$, with $\\Delta_\\alpha=\\frac{\\alpha}{2}(Q-\\frac{\\alpha}{2})$ if $|\\nu|+|\\tilde{\\nu}|>0$, while this holds for all $\\alpha<Q$ if $\\nu=\\tilde{\\nu}=0$. \n\n\nLet us define for $P\\in \\mathbb{R}$ the involution (preserving each $\\ker ({\\bf P}-\\ell)$ for $\\ell\\geq 0$)\n\\[ \\mathcal{L}_P: L^2(\\Omega)\\to L^2(\\Omega) , \\qquad \\mathcal{L}_p(\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}):=\\mathcal{Q}_{Q-iP,\\nu,\\tilde{\\nu}}, \\,\\, \\forall \\nu,\\tilde{\\nu}\\in \\mathcal{T} \\]\n\\begin{theorem}\\label{scatteringtheorem}\nThe scattering matrix for the Liouville conformal field theory is of the form \n\\[ \\forall \\ell\\in \\mathbb{N}_0,\\quad  \\tilde{{\\bf S}}_\\ell (Q+iP)=R(Q+iP)\\mathcal{L}_P\\]\nwhere $R(\\alpha)$ is the reflection coefficient \\eqref{coefreflection}. \n\\end{theorem}\n\\begin{proof}\nWe shall proceed by induction. For $\\ell\\in \\mathbb{N}_0$,  we call $\\mathcal{I}(\\ell)$ the following property: \nfor all $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$ with $|\\nu|+|\\nu'|\\leq \\ell$ and $P\\in \\mathbb{R}_+\\setminus \\mathcal{D}_0$,\n\\begin{equation}\\label{assumptionpsi}\n\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}(c,\\varphi)=e^{iPc}\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}(\\varphi)+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu,\\tilde{\\nu}}(\\varphi)+G_{Q+iP,\\nu,\\tilde{\\nu}}(c,\\varphi)\n\\end{equation}\nfor some $G_{Q+iP,\\nu,\\tilde{\\nu}}\\in \\mathcal{D}(\\mathcal{Q})$.\n\nFirst, $\\mathcal{I}(0)$ is satisfied by Proposition \\ref{coefreflection}.\n\nNext, we assume $\\mathcal{I}_{\\ell-1}$ for some $\\ell\\geq1$ and we want to show $\\mathcal{I}_{\\ell}$. For $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$ with $|\\nu|+|\\tilde{\\nu}|=\\ell$,\n$\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}$ is of the form \n\\[\\begin{gathered} \n\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}=\\Psi_{Q+iP,(\\nu',n),\\tilde{\\nu}}, \\textrm{ with } |\\nu'|+n=|\\nu|, \\,\\,  \\nu'\\in \\mathcal{T}, \\, \\textrm{ or }\\\\\n\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}=\\Psi_{Q+iP,\\nu,(\\tilde{\\nu}',n)}, \\textrm{ with } |\\tilde{\\nu}'|+n=|\\tilde{\\nu}|, \\,\\, \\tilde{\\nu}'\\in \\mathcal{T}\n\\end{gathered}\\]\nSince the proof is the same in both cases, let us assume we are in the first situation. By Proposition \\ref{intertwining_for_descendants}, we have \nfor all  $F\\in \\mathcal{C}_{\\rm exp}$ \n\\begin{equation}\\label{egalitedescendant}\n \\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n  F\\rangle_2 =\\langle \\Psi_{Q+iP,(\\nu',n),\\tilde{\\nu}}, F\\rangle_2.  \n\\end{equation}\n\nLet us take $P>0$ fixed. Then by \\eqref{assumptionpsi} and \\eqref{formulaLn}, we have if $F$ is supported in $\\{c\\leq 0\\}$\n\\begin{equation}\\label{splitting}\n \\begin{split}\n\\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n F\\rangle_{2} =  &\\langle  e^{iPc}\\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}}+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu',\\tilde{\\nu}}, {\\bf L}^0_nF\\rangle_{2} \\\\\n& +\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_nF\\rangle_{2}  \\\\\n& +  \\frac{\\mu}{2}\\langle  e^{iPc}\\mathcal{Q}_{Q+ip,\\nu',\\tilde{\\nu}}+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu',\\tilde{\\nu}}, e^{\\gamma c} V_n F\\rangle_{2}. \n\\end{split}\\end{equation}\nWe consider some particular choice of $F$ depending on a parameter $T$, namely\n\\[ F_T(c,\\varphi)=\\chi_T(c) e^{iP'c}h(\\varphi) , \\quad \\textrm{ with }h\\in E_{\\ell}, \\quad \\chi_T(c)=\\chi(c+T)\\]\nfor $P'\\in \\mathbb{R}$, and  $\\chi \\in C_0^\\infty(\\mathbb{R};[0,1])$ is  satisfies $\\chi=1$ near $0$. We also choose $\\tilde{\\chi}$ with the same property but with $\\tilde{\\chi}\\chi=\\chi$ and we let $\\tilde{\\chi}_T(c)=\\tilde{\\chi}(c+T)$.\nNote that \n${\\bf L}_n^0(e^{iP'c}h(\\varphi))= e^{iP'c}h'$ for some $h'\\in E_{\\ell-n}$.\n\nWe will show that, as $T\\to \\infty$, the first line in the RHS of \\eqref{splitting} will have an explicit asymptotic behaviour while the second and third line will go to $0$. This will allow us to isolate the scattering coefficient in the expression $\\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n(\\chi_T e^{iP'c}h)\\rangle_2$.\n\nWe start with the term  $\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_nF_T\\rangle_{L^2(\\mathbb{R}^-\\times \\Omega_\\mathbb{T})}$ and decompose ${\\bf L}_n={\\bf L}_n^0+\\frac{\\mu}{2}e^{\\gamma c}V_n$.\nFirst, we will show that $\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},e^{\\gamma c}V_nF_T\\rangle \\to 0$.\n Since $\\| \\chi_Te^{iP'c}h\\|_{\\mathcal{D}(\\mathcal{Q})}\\leq C$ for some $C>0$ uniform with respect to $T>1$,\nthen  $\\chi_T e^{\\gamma c}V_ne^{iP'c}h\\in \\mathcal{D}'(\\mathcal{Q})$ with uniform norm with respect to $T>1$.\nUsing that $\\psi G_{Q+iP,\\nu',\\tilde{\\nu}}\\in \\mathcal{D}(\\mathcal{Q})$ for any $\\psi \\in C^\\infty(\\mathbb{R};[0,1])$ with support \nin $\\mathbb{R}_-$, there is $C>0$ such that as $T\\to \\infty$\n\\begin{equation}\\label{firstboundG}\n |\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},e^{\\gamma c}\\chi_T V_ne^{iP'c}h\\rangle_{2}|\\leq C\\|\\tilde{\\chi}_TG_{Q+iP,\\nu',\\tilde{\\nu}}\\|_{\\mathcal{D}(\\mathcal{Q})} \\|\\chi_Te^{iP'c}h\\|_{\\mathcal{D}(\\mathcal{Q})}\n\\end{equation}\nwhere we used the boundedness $e^{\\gamma c}V_n:\\mathcal{D}(\\mathcal{Q})\\to \\mathcal{D}'(\\mathcal{Q})$.\nOne has \n\\[ \\|\\chi_Te^{iP'c}h\\|_{\\mathcal{D}(\\mathcal{Q})}^2\\leq \\frac{1}{2}\\int_{\\mathbb{R}} (|-iP'\\chi_T+\\chi'_T|^2+(Q^2+2\\ell)\\chi^2_T) \\|h\\|_{L^2(\\Omega_\\mathbb{T})}^2+\\chi_T(c)^2\\mathcal{Q}_{e^{\\gamma c}V}(h) \\text{\\rm d} c \\]\nwhich is uniformly bounded as $T\\to \\infty$ and \n\\[ \\begin{split}\n\\|\\tilde{\\chi}_TG_{Q+iP,\\nu',\\tilde{\\nu}}\\|_{\\mathcal{D}(\\mathcal{Q})}^2\\leq &  \\frac{1}{2}\\int_{\\mathbb{R}} (|\\tilde{\\chi}'_T|^2+Q^2) \\|G_{Q+iP,\\nu',\\tilde{\\nu}}\\|^2\n+ \\tilde{\\chi}_T^2 \\|\\partial_c G_{Q+iP,\\nu',\\tilde{\\nu}}\\|^2 \\text{\\rm d} c\\\\\n& + \\int_{\\mathbb{R}} \\tilde{\\chi}_T^2 \\|{\\bf P}^{\\frac{1}{2}}G_{Q+iP,\\nu',\\tilde{\\nu}}\\|^2+\\tilde{\\chi}_T^2 \\mathcal{Q}_{e^{\\gamma c}V}(G_{Q+iP,\\nu',\\tilde{\\nu}})\\text{\\rm d} c\n\\end{split}\n\\]\nconverges to $0$ as $T\\to \\infty$ since $G_{Q+iP,\\nu',\\tilde{\\nu}}\\in \\mathcal{D}(\\mathcal{Q})$ and  $\\mathrm{supp}\\, \\tilde{\\chi}_T\\subset [-T-1,-T+1]$. Consequently \\eqref{firstboundG} goes to $0$ as $T\\to \\infty$.\n\nNext we show that $\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n^0F_T\\rangle_2 \\to 0$. First, we compute \n\\begin{equation}\\label{commutationLnchi} \n[{\\bf L}_n,\\chi_T]=[{\\bf L}^0_n,\\chi_T]=  i\\chi_T'{\\bf A}_n,\n\\end{equation}\n\\begin{equation}\\label{Ln0Psi_T}\n\\begin{split} \n {\\bf L}_n^0 (\\chi_Te^{iP'c}h) = ie^{iP'c}\\chi_T'{\\bf A}_nh+ \n \\chi_T {\\bf L}_{n}^0(e^{iP'c}h).\n \\end{split}\n \\end{equation}\n Notice that ${\\bf A}_nh\\in E_{\\ell-n}$ since $n>0$, and that $e^{-iP'c}{\\bf L}_{n}^0(e^{iP'c}h)\\in E_{\\ell-n}$. In particular one can bound \n$\\|{\\bf L}_n^0 (\\chi_Te^{iP'c}h)\\|_{L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})}\\leq C$ for some $C>0$ uniform in $T$.  We then have \n \\[  |\\langle G_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n^0F_T\\rangle_2|\\leq \\|\\tilde{\\chi}_TG_{Q+iP,\\nu',\\tilde{\\nu}}\\|_{L^2}\\|{\\bf L}_n^0F_T\\|_{L^2}\\leq C\\|\\tilde{\\chi}_TG_{Q+iP,\\nu',\\tilde{\\nu}}\\|_{L^2} \\to 0\\]\n as $T\\to 0$, thus the second line of \\eqref{splitting} goes to $0$ as $T\\to \\infty$.\n \nThe third line of \\eqref{splitting} also goes to $0$ as $T\\to \\infty$: \n\\begin{equation}\\label{3rdline}\n |\\langle e^{\\pm iPc}\\mathcal{Q}_{Q\\pm iP,\\nu',\\tilde{\\nu}}, e^{\\gamma c}V_n F_T\\rangle_{2}|\\leq C \\Big| \\int_{-T-1}^{-T+1}e^{\\gamma c}\\text{\\rm d} c\\Big|\\times \n|\\langle V_n h,\\mathcal{Q}_{Q\\pm iP,\\nu',\\tilde{\\nu}}\\rangle_{L^2(\\Omega_\\mathbb{T})}| \\to 0\n\\end{equation}\nwhere $\\langle V_n h,\\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}}\\rangle_{L^2(\\Omega_\\mathbb{T})}$ makes sense \nsince $\\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}},h\\in \\mathcal{S}$.\n\nFinally, we deal with the first line of \\eqref{splitting}. Since $({\\bf L}_n^0)^*={\\bf L}_{-n}^0$,\n\\begin{align*}\n & \\langle  e^{iPc}\\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}}+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu',\\tilde{\\nu}}, {\\bf L}^0_n F_{T}\\rangle_2=\\\\\n& \\langle \\chi _T(c){\\bf L}^0_{-n}(e^{iPc}\\mathcal{Q}_{Q+iP,\\nu',\\tilde{\\nu}}+R(Q+iP)e^{-iPc}\\mathcal{Q}_{Q-iP,\\nu',\\tilde{\\nu}}),  e^{iP'c}h\\rangle_2.\n\\end{align*}\nWe compute for all $P\\in \\mathbb{R}$\n\\[\n{\\bf L}^0_{-n}(e^{\\pm iPc}\\mathcal{Q}_{Q\\pm iP,\\nu',\\tilde{\\nu}})= e^{\\pm iPc}\\mathcal{Q}_{Q\\pm iP,(\\nu',n),\\tilde{\\nu}}\n\\]\nso that \n\\[\\begin{split} \n\\langle  e^{\\pm iPc}\\mathcal{Q}_{Q\\pm iP,\\nu',\\tilde{\\nu}}, {\\bf L}^0_n (\\chi_Te^{ iP'c}h)\\rangle_2=& \\int \\chi(c+T)e^{ic(\\pm P-P')}\\text{\\rm d} c \n\\langle\\mathcal{Q}_{Q\\pm iP,(\\nu',n),\\tilde{\\nu}} , h\\rangle_{L^2(\\Omega_\\mathbb{T})}\\\\\n=&e^{iT(P'\\mp P)} \\hat{\\chi}(P'\\mp P)\\langle\\mathcal{Q}_{Q\\pm iP,(\\nu',n),\\tilde{\\nu}} , h \\rangle_{L^2(\\Omega_\\mathbb{T})}\n\\end{split}\\]\nwhere $\\hat{\\chi}$ denotes the Fourier transform. We therefore have, choosing $P'=-P$ and $\\chi$ so that $\\int \\chi=1$, that as $T\\to +\\infty$\n\\begin{equation}\\label{asymptoticPsiLnF}\n\\begin{split}\n\\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}},{\\bf L}_n F_T\\rangle_{2} = & e^{-2iTP}\\hat{\\chi}(-2P)\\langle\\mathcal{Q}_{Q+iP,(\\nu',n),\\tilde{\\nu}} , h\\rangle_{L^2(\\Omega_\\mathbb{T})}\\\\\n& +R(Q+ip)\\langle\\mathcal{Q}_{Q- iP,(\\nu',n),\\tilde{\\nu}} , h\\rangle_{L^2(\\Omega_\\mathbb{T})}+o(1)\n\\end{split}\n\\end{equation}\nNext, we use \\eqref{asymptoticdescendants} and the same arguments as above to obtain, as $T\\to \\infty$,\n\\begin{align*} \n& \\langle \\Psi_{Q+iP,(\\nu',n),\\tilde{\\nu}},  F_{T}\\rangle_2= \\\\ \n&\\qquad e^{-2iTP}\\hat{\\chi}(-2P)\\langle\\mathcal{Q}_{Q+iP,(\\nu',n),\\tilde{\\nu}} , h\\rangle_{L^2(\\Omega_\\mathbb{T})}+ \\langle \n\\Pi_{\\ker ({\\bf P}-\\ell)}(\\tilde{{\\bf S}}_\\ell(Q+iP)\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}), h\\rangle_{L^2(\\Omega_\\mathbb{T})}\n\\\\\n&\\qquad+\\sum_{j<\\ell} e^{iT(P-P_{j\\ell})}\\hat{\\chi}(P-P_{j\\ell}) \n\\langle \\Pi_{\\ker ({\\bf P}-j)}(\\tilde{{\\bf S}}_\\ell(Q+iP)\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}), h\\rangle_{L^2(\\Omega_\\mathbb{T})}+o(1)\n\\end{align*}\nwith $P_{j\\ell}:=\\sqrt{P^2+2(\\ell-j)}$.\nCombining this asympotic expansion with \\eqref{asymptoticPsiLnF} and the fact that we can choose $h$ arbitrary in $E_\\ell$,\nwe deduce that \n\\[ \\Pi_{\\ker ({\\bf P}-\\ell)}(\\tilde{{\\bf S}}_\\ell(Q+iP)\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}}) =R(Q+iP) \\mathcal{Q}_{Q-iP,\\nu,\\tilde{\\nu}}.\\]\nApplying the same arguments but choosing $P'=-P_{j\\ell}$ for $j<\\ell$, we also get \n\\[ \\Pi_{\\ker ({\\bf P}-j)}(\\tilde{{\\bf S}}_\\ell(Q+iP)\\mathcal{Q}_{Q+iP,\\nu,\\tilde{\\nu}})=0.\\]\nWe have thus proved \\eqref{assumptionpsi} and therefore $\\mathcal{I}(\\ell)$ holds. This ends the proof.\n\\end{proof}\n\n\\subsection{Analyticity and functional equation for the Liouville eigenstates $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$.}\n\nFirst, let us prove \n\\begin{lemma}\\label{analyticity}\nThe function $\\Psi_{\\alpha}$ extends analytically from $\\{{\\rm Re}(\\alpha)<Q\\}$ to a neighborhood of \n$\\{{\\rm Re}(\\alpha)\\leq Q\\}$ in $\\mathbb{C}$ and it satisfies the functional equation on ${\\rm Re}(\\alpha)=Q$\n\\[ \\Psi_{Q-iP}=R(Q-iP)\\Psi_{Q+iP}.\\]\nwhere $R(\\alpha)$ is the reflection coefficient \\eqref{Ralpha}.\n\\end{lemma}\n\\begin{proof} We know from Proposition \\ref{poissonprop} that $\\Psi_{\\alpha}$ admits a meromorphic extension from $\\{{\\rm Re}(\\lambda)<Q\\}\\subset \\Sigma$\nto a open neighborhood $U\\subset \\Sigma$ of $\\{{\\rm Re}(\\lambda)<Q\\}$, where we recall that $\\Sigma$ is the Riemann surface that is a ramified \n covering of $\\mathbb{C}$ of order $2$ associated to the functions $r_j(\\alpha)=\\sqrt{-(\\alpha-Q)^2+2j}$. We will prove that this extension descends to $\\pi(U)$ if $\\pi:\\Sigma\\to \\mathbb{C}$ as a meromorphic function. We need to check that if $\\gamma_j\\in G$ is an automorphism of the covering (for $j>0$), then \n $\\gamma_j^*\\Psi_\\alpha=\\Psi_{\\alpha}$. Since $\\gamma_j^*r_k=-r_k$ for $k\\geq j$ and $\\gamma_j^*r_k=r_k$ if $k<j$, we see from \\eqref{asymptpsialpha} \n that for $P>0$ and $\\alpha=Q+iP$\n \\[ \\gamma_j^*\\Psi_{\\alpha}(c,\\varphi)=e^{iPc}+e^{-iPc}R(\\alpha)+\\gamma_j^*G_{\\alpha}\\]\nbut then \n\\[ (\\gamma_j^*\\Psi_{\\alpha}-\\Psi_{\\alpha})\\in \\mathcal{D}(\\mathcal{Q}).\\]\nSince ${\\bf H}$ does not have $L^2$-eigenvalues by \\cite[Lemma 6.2]{GKRV}, we deduce that $\\gamma_j^*\\Psi_{\\alpha}=\\Psi_{\\alpha}$ and, by analytic continuation, this shows that the meromorphic extension of $\\Psi_{\\alpha}$ in $U$ descends to $\\pi(U)$. The functional equation also comes from the uniqueness of $\\Psi_{Q+iP}$ having prescribed asymptotic term $e^{iPc}$ and analyticity come from the fact that $R(\\alpha)$ has only poles in ${\\rm Re}(\\alpha)<Q$ by \\eqref{Ralpha}.\n\\end{proof}\nThis result implies the following  statement on all descendants: \n\\begin{theorem}\\label{extensionPsialpha}\nFor each $\\nu,\\tilde{\\nu}\\in \\mathcal{T}$, the functions $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ have an analytic extension to $\\mathbb{C}$ as elements in $e^{-\\beta \\rho}\\mathcal{D}(\\mathcal{Q})$ for $\\beta>|{\\rm Re}(\\alpha)-Q|$. They satisfy the functional equation \n\\[ \\Psi_{2Q-\\alpha,\\nu,\\tilde{\\nu}}=R(2Q-\\alpha)\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}\\]\nwhere  $R(\\alpha)$ is the reflection coefficient \\eqref{Ralpha}. The zeros of $\\alpha\\mapsto \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$ are located exactly at $(Q+\\frac{\\gamma}{2}\\mathbb{N}) \\cup(Q+\\frac{2}{\\gamma}\\mathbb{N})$\n\\end{theorem}\n\\begin{proof} First, for $\\Psi_\\alpha$, the analytic extension is given by the functional equation $\\Psi_{\\alpha}=R(\\alpha)\\Psi_{2Q-\\alpha}$ \nand the fact that $\\Psi_\\alpha$ is analytic in $\\{{\\rm Re}(\\alpha)\\leq Q\\}$. Next for the descendants $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$, we just have to use \nProposition \\ref{intertwining_for_descendants} inductively and the result for $\\Psi_{\\alpha}$.\n\\end{proof}\n\nAs a consequence of this result, we can extend the validity of Proposition \\ref{intertwining_for_descendants} to all $\\alpha\\in \\mathbb{C}\\setminus Q\\pm (\\frac{\\gamma}{2}\\mathbb{N}+\\frac{2}{\\gamma}\\mathbb{N})$. \n\n\\subsection{Verma modules for the Liouville CFT and representation of Virasoro algebra}\\label{VermaLiouville}\n\nDefine for $\\alpha\\notin Q\\pm (\\frac{2}{\\gamma}\\mathbb{N}+\\frac{\\gamma}{2}\\mathbb{N})$ the vector space (for $\\epsilon>0$)\n\\[\\begin{gathered}\n\\mathcal{V}_\\alpha:= {\\rm span}\\{\\Psi_{\\alpha,\\nu,0} \\, | \\, \\nu,\\in \\mathcal{T} \\}\\subset e^{(|{\\rm Re}(\\alpha)-Q|+\\epsilon)c_-}L^2(\\mathbb{R}\\otimes \\Omega_\\mathbb{T}),\\\\\n\\overline{\\mathcal{V}}_\\alpha:= {\\rm span}\\{\\Psi_{\\alpha,0,\\tilde{\\nu}} \\, | \\, \\tilde{\\nu}\\in \\mathcal{T} \\}\\subset e^{(|{\\rm Re}(\\alpha)-Q|+\\epsilon)c_-}L^2(\\mathbb{R}\\otimes \\Omega_\\mathbb{T})\n\\end{gathered}\\]\nwhere, for now, elements are simply finite linear combinations of elements $\\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$. We also define \n\\[ \\mathcal{W}_\\alpha:={\\rm span}\\{\\Psi_{\\alpha,\\nu,\\tilde{\\nu}} \\, | \\, \\nu,\\tilde{\\nu}\\in \\mathcal{T} \\}\\simeq \\mathcal{V}_\\alpha\\otimes \\overline{\\mathcal{V}}_\\alpha \\]\nwhere the right identification is done by the map $\\Psi_{\\alpha,\\nu,0}\\otimes \\Psi_{\\alpha,0,\\tilde{\\nu}}\\mapsto \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$.\nProposition \\ref{intertwining_for_descendants} then implies that ${\\bf L}_n$ preserve $\\mathcal{V}_\\alpha$, $\\tilde{\\bf L}_n$ preserves $\\overline{\\mathcal{V}}_\\alpha$ and  both preserve $\\mathcal{W}_\\alpha$. This space $\\mathcal{W}_\\alpha$ can be identified with $\\mathcal{H}_{\\mathcal{T}}\\otimes \\mathcal{H}_{\\mathcal{T}}$ by the linear isomorphism  $e_{\\nu}\\otimes e_{\\tilde{\\nu}}\\mapsto \\Psi_{\\alpha,\\nu,\\tilde{\\nu}}$\nand the maps \n${\\bf L}_n$ and $\\tilde{\\bf L}_n$ are then conjugated to $\\ell_n^{\\alpha}$ and $\\tilde{\\ell}_n^{\\alpha}$, which implies that the following commutations hold\n\\[ [\\mathbf{L}_n,\\mathbf{L}_m]=(n-m)\\mathbf{L}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}, \\quad [\\widetilde{\\mathbf{L}}_n,\\widetilde{\\mathbf{L}}_m]=(n-m)\\widetilde{\\mathbf{L}}_{n+m}+\\frac{c_L}{12}(n^3-n)\\delta_{n,-m}\\] \non respectively $\\mathcal{V}_\\alpha$ and $\\overline{\\mathcal{V}}_\\alpha$, and both also hold on $\\mathcal{W}_\\alpha$ where in addition $[{\\bf L}_n,\\tilde{\\bf L}_m]=0$.\n \nWhen $\\alpha=Q+iP$ with $P>0$, we define the scalar product on $\\mathcal{W}_{Q+iP}$\n\\[ \\langle \\Psi_{Q+iP,\\nu,\\tilde{\\nu}}, \\Psi_{Q+iP,\\nu',\\tilde{\\nu}'} \\rangle_{Q+iP}:= F_{Q+iP}(\\nu,\\nu')F_{Q+iP}(\\tilde{\\nu},\\tilde{\\nu}').\n\\]\nBy combining Proposition \\ref{intertwining_for_descendants},  Theorem \\ref{extensionPsialpha} and \\cite[Corollary 6.5]{GKRV1}, we obtain the\n\\begin{theorem}\\label{vermamodule}\nFor $\\alpha\\notin Q\\pm (\\frac{2}{\\gamma}\\mathbb{N}+\\frac{\\gamma}{2}\\mathbb{N})$, the operators $({\\bf L}_n)_{n\\in \\mathbb{Z}}$ acting on the vector space $\\mathcal{V}_\\alpha$ give a representation of the Virasoro algebra ${\\rm Vir}(c_L)$ with central charge $c_L=1+6Q^2$, $\\mathcal{V}_\\alpha$ is  \na Verma module associated to the highest weight state $\\Psi_{\\alpha}$, and this representation is equivalent to the representation \nof $(\\ell_n^\\alpha)_n$ on $\\mathcal{H}_{\\mathcal{T}}$ given in Section \\ref{Vermafreefield}. \nThe same holds for $(\\tilde{\\bf L}_n)_{n\\in \\mathbb{Z}}$ acting on $\\overline{\\mathcal{V}}_\\alpha$. \nMoreover, for $\\alpha=Q+iP$ with $P>0$, these representations are unitary representations of the Virasoro algebra and are unitarily equivalent to the representation of $(\\ell_n^{Q+iP})_n$ and $(\\tilde{\\ell}_n^{Q+iP})_n$ on $\\mathcal{H}_T$. The family $({\\bf L}_n, \\tilde{\\bf L}_m)_{n,m\\in \\mathbb{Z}}$ gives\n a representation of ${\\rm Vir}(c_L)\\oplus {\\rm Vir}(c_L)$ into $\\mathcal{W}_{\\alpha}$, whose restriction to both ${\\rm Vir}(c_L)\\oplus \\{0\\}$ and $ \\{0\\}\\oplus {\\rm Vir}(c_L)$ is unitary when $\\alpha=Q+iP$ for $P>0$.\nFinally, one has the direct integral decomposition \n\\[ L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})= \\frac{1}{2\\pi}\\int_{0}^\\infty \\mathcal{V}_{Q+iP}\\otimes \\overline{\\mathcal{V}}_{Q+iP} \\, \\text{\\rm d} P=\\frac{1}{2\\pi}\\int_{0}^\\infty \\mathcal{W}_{Q+iP} \\, \\text{\\rm d} P\\]\n in the sense that for all $u,u'\\in L^2(\\mathbb{R}\\times \\Omega_\\mathbb{T})$\n \\[  \\langle u,u'\\rangle_2=\\frac{1}{2\\pi} \\sum_{\\nu,\\nu',\\tilde{\\nu},\\tilde{\\nu}'\\in\\mathcal{T}}\\int_0^\\infty \\langle u,\\Psi_{Q+iP,\\nu,\\tilde{\\nu}}\\rangle_2 \\langle \\Psi_{Q+iP,\\nu',\\tilde{\\nu}'},u'\\rangle_2 F_{Q+iP}^{-1}(\\nu,\\nu')F_{Q+iP}^{-1}(\\tilde{\\nu},\\tilde{\\nu}')\\, \\text{\\rm d} P.\\]\n\\end{theorem}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\n\nAlthough theoretically possible, it is not yet clear whether building a sizeable quantum computer is feasible. The main obstacle is to find ways of dealing with decoherence and other quantum noise. When a quantum system interacts with its environment quantum information is leaked out and it begins to act in a probabilistic manner. In effect, parts of the system are being measured by the environment. Extraneous operations may also appear randomly during the computation, which corrupts the state and ultimately the result. Although research is focused on building quantum computers that are less likely to interact with their environment, it is impossible to completely isolate a system and therefore decoherence and quantum noise are inevitable. However, a number of techniques have been developed by the quantum software community that promise to reduce their effects on the system even further.\n\nQuantum error correction encapsulates software related techniques for reducing the impact of decoherence and other quantum noise. Some of the techniques that have so far been developed are inspired by coding theory and techniques already used within classical error correction. The basic principle is to encode information in such a way that the existence of errors can be detected and the nature of those errors identified. It is then possible to apply recovery operators before the information is decoded into its original form. However, checking for errors in a quantum computer is more problematic and there are new, entirely non classical, errors to contend with.\n\n\\section{The Quantum IO Monad}\n\nThe Quantum IO Monad is a library of functions written in Haskell that provides an interface to define and simulate quantum computations\\cite{Altenkirch}. It is used within the current work to demonstrate the use of encoding schemes. In functional programming computation is considered to be the application of functions as opposed to the manipulation of some global state. The following is a simple example of a QIO program.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{3}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\Varid{example}\\mathbin{::}\\Conid{QIO}\\;\\Conid{Bool}{}\\<[E]%\n\\\\\n\\>[B]{}\\Varid{example}\\mathrel{=}\\mathbf{do}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{q1}\\leftarrow \\Varid{mkQbit}\\;\\Conid{False}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{applyU}\\mathbin{\\$}\\Varid{unot}\\;\\Varid{q1}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{b}\\leftarrow \\Varid{measQbit}\\;\\Varid{q1}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{return}\\;\\Varid{b}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nThis function is written using \\textbf{do} notation, which resembles a more imperative style, but is in fact functional underneath. Such seemingly impure computations may be defined thanks to the use of monads that are built upon some polymorphic type. The function \\textit{mkQbit} creates a new qubit initialised in the state given by the boolean argument, with False and True representing the base states $ | 0 \\rangle $ and $ | 1 \\rangle $ respectively. Unitary operations are then applied using \\textit{applyU}, the quantum NOT gate, or the Pauli X gate, in this case. The \\textit{unot} operation is defined as a \\textit{Rotation}, as are all single qubit operations. Other unitaries defined in QIO include \\textit{swap}, \\textit{cond,} for controlled operations, and \\textit{ulet}, which is used to declare and encapsulate the use of ancillary qubits. Finally, qubits are measured using \\textit{measQbit} and a boolean value is returned randomly depending on the superposition of the qubit at the time. The qubit itself is also collapsed into the base state corresponding to this boolean value.\n\n\\section{Implementing Quantum Error Correction in QIO}\n\nAlthough it may be some time before real quantum computers are realised, work is already being carried out by computer scientists to develop good quantum programming languages. The development of the Quantum IO Monad is an example of such work. Although reliable error correction techniques will be crucial, in order to allow programmers to concentrate on the matter at hand some form of automated conversion into equivalent but error resilient programs would be extremely advantageous. The following describes an attempt to do just this within the Quantum IO Monad.\n\n\\subsection{Introducing an Encoded Qubit Type}\n\nThe first step towards being able to convert a QIO program into an equivalent that incorporates quantum error correction is to declare a class called \\textit{EnQubit}, instances of which will represent encoded qubits. By defining such a class the main program can be written in a generic fashion without the need to understand how encoded qubits are represented\\cite{Barratt}. As long as the instances of this class provide definitions of the functions declared here there will be no need to alter the main program when switching schemes, since the appropriate functions will be called at run time.\n\nEach \\textit{EnQbit} is thought to have a \"parent\" qubit, the one from which the encoded state is produced. The function \\textit{getQbit} returns this particular qubit and is required by \\textit{measEnQbit}, defined below.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{5}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{18}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\mathbf{class}\\;\\Conid{EnQbit}\\;\\Varid{a}\\;\\mathbf{where}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{mkEnQbit}\\mathbin{::}\\Conid{Bool}\\to \\Conid{QIO}\\;\\Varid{a}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{getQbit}\\mathbin{::}\\Varid{a}\\to \\Conid{Qbit}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{measEnQbit}\\mathbin{::}\\Varid{a}\\to \\Conid{QIO}\\;\\Conid{Bool}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{measEnQbit}\\;\\Varid{eq}\\mathrel{=}\\mathbf{do}{}\\<[E]%\n\\\\\n\\>[5]{}\\hsindent{13}{}\\<[18]%\n\\>[18]{}\\Varid{applyU}\\mathbin{\\$}\\Varid{decode}\\;\\Varid{eq}{}\\<[E]%\n\\\\\n\\>[5]{}\\hsindent{13}{}\\<[18]%\n\\>[18]{}\\Varid{b}\\leftarrow \\Varid{measQbit}\\;(\\Varid{getQbit}\\;\\Varid{eq}){}\\<[E]%\n\\\\\n\\>[5]{}\\hsindent{13}{}\\<[18]%\n\\>[18]{}\\Varid{applyU}\\mathbin{\\$}\\Varid{encode}\\;\\Varid{eq}{}\\<[E]%\n\\\\\n\\>[5]{}\\hsindent{13}{}\\<[18]%\n\\>[18]{}\\Varid{return}\\;\\Varid{b}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nThe class also provides flexibility in the error correcting codes that may be employed. By providing different \\textit{encode} and \\textit{correct} functions a different encoding scheme may be used with the same representation. The function \\textit{decode} is in fact defined here as the inverse of \\textit{encode}, since it is unitary.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{5}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{encode}\\mathbin{::}\\Varid{a}\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{decode}\\mathbin{::}\\Varid{a}\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{decode}\\;\\Varid{eq}\\mathrel{=}\\Varid{urev}\\mathbin{\\$}\\Varid{encode}\\;\\Varid{eq}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{correct}\\mathbin{::}\\Varid{a}\\to \\Conid{U}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nThe following functions define \\textit{EnQbit} versions of the standard unitary operators of QIO. These are implemented to simply decode the given \\textit{EnQbit} and call the appropriate standard unitary, passing the \"parent\" qubit. Before returning, the qubits are encoded again. This approach only provides protection in between the application of operations, while qubits are perhaps being stored or transmitted, as suggested by Shor\\cite{Shor}. Being able to perform operations on the actual encoded qubits themselves would make decoding unnecessary until the end of the computation and thus provide greater protection. This is possible for certain operations in a bitwise fashion, those with the property of transversality, but it does depend on the code being used\\cite{Zurek}. So although these functions are defined here as a standard, they may be overridden by instances of the class, if such encoded operations are available.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{5}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{9}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{rotEnQbit}\\mathbin{::}\\Varid{a}\\to \\Conid{Rotation}\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{swapEnQbit}\\mathbin{::}\\Varid{a}\\to \\Varid{a}\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{condEnQbit}\\mathbin{::}\\Varid{a}\\to (\\Conid{Bool}\\to \\Conid{U})\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{uletEnQbit}\\mathbin{::}\\Conid{Bool}\\to (\\Conid{Qbit}\\to \\Varid{a}\\to \\Conid{U})\\to \\Conid{U}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nThe \\textit{uletEnQbit} function is not defined here but simply declared as this depends entirely on the number of qubits being used in the encoding, to determine how many ancillas to create.\n\nIn terms of encoded qubit representations, the following type could be used for the three qubit bit flip code, with \\textit{EnQbit} functions defined as appropriate.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{5}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\mathbf{newtype}\\;\\Conid{EQ3}\\mathrel{=}\\Conid{EQ3}\\;(\\Conid{Qbit},\\Conid{Qbit},\\Conid{Qbit}){}\\<[E]%\n\\\\[\\blanklineskip]%\n\\>[B]{}\\mathbf{instance}\\;\\Conid{EnQbit}\\;\\Conid{EQ3}\\;\\mathbf{where}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{mkEnQbit}\\mathrel{=}\\Varid{mkEQ3}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{getQbit}\\mathrel{=}\\Varid{fstEQ3}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{encode}\\mathrel{=}\\Varid{encode3}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{correct}\\mathrel{=}\\Varid{correct3}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{uletEnQbit}\\mathrel{=}\\Varid{uletEQ3}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nHowever, this representation could also be used for the three qubit phase flip code by simply altering the implementations of \\textit{encode} and \\textit{correct}. An instance has also been implemented for Steane's code\\cite{Steane} using a 7-tuple of qubits and appropriate encoding and correction procedures.\n\n\\subsection{Converting a QIO program}\n\nIn order to manipulate an existing QIO program, the function \\textit{ecQIO'} pattern matches on it and inserts new function calls depending on the construct found, exploiting the monadic structure of the \\textit{QIO} type. It is defined recursively with the base case being \\textit{QReturn}, signifying the end of the computation.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\Varid{ecQIO'}\\mathbin{::}\\Conid{EnQbit}\\;\\Varid{a}\\Rightarrow \\Conid{QIO}\\;\\Varid{t}\\to [\\mskip1.5mu \\Varid{a}\\mskip1.5mu]\\to \\Conid{QIO}\\;\\Varid{t}{}\\<[E]%\n\\\\\n\\>[B]{}\\Varid{ecQIO'}\\;(\\Conid{QReturn}\\;\\Varid{a})\\;\\kern0.06em \\vbox{\\hrule\\@width.5em} \\mathrel{=}\\Conid{QReturn}\\;\\Varid{a}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nWhen a qubit is being created, measured or manipulated the appropriate \\textit{EnQbit} function is substituted in to replace the original. As such we obtain a program that consists of extra operations and qubits, together encapsulating the logical state of the single qubit referred to. Whatsmore, a list is passed on in the recursive call and threaded through the whole computation as a register of the encoded qubits. In the case of \\textit{MkQbit} the newly created \\textit{EnQbit} is appended to the list before passing it on. Here \\textit{MkQbit} is one of the constructors of the \\textit{QIO} type, which the convenience function \\textit{mkQbit} seen earlier relies upon.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{3}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\Varid{ecQIO'}\\;(\\Conid{MkQbit}\\;\\Varid{b}\\;\\Varid{f})\\;\\Varid{eqs}\\mathrel{=}\\mathbf{do}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{eq}\\leftarrow \\Varid{mkEnQbit}\\;\\Varid{b}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{ecQIO'}\\;(\\Varid{f}\\;(\\Varid{getQbit}\\;\\Varid{eq}))\\;(\\Varid{eq}\\mathbin{:}\\Varid{eqs}){}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nThe interesting case in \\textit{ecQIO'} is the \\textit{ApplyU} constructor, where it is necessary to pattern match further on the \\textit{U} data type representing unitary operations. This takes place in the function \\textit{extendU}, where we plan to extend the operation's influence to include the rest of the qubits in the encoded qubit. \n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{3}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\Varid{ecQIO'}\\;(\\Conid{ApplyU}\\;\\Varid{u}\\;\\Varid{f})\\;\\Varid{eqs}\\mathrel{=}\\mathbf{do}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{applyU}\\mathbin{\\$}\\Varid{extendU}\\;\\Varid{u}\\;\\Varid{eqs}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{3}{}\\<[3]%\n\\>[3]{}\\Varid{ecQIO'}\\;\\Varid{f}\\;\\Varid{eqs}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nBy pattern matching on the \\textit{U} data type being applied, \\textit{extendU} calls the appropriate function implementing the \\textit{EnQbit} version of the unitary. The case of a rotation is given here.\n\\smallskip\n\\begingroup\\par\\noindent\\advance\\leftskip\\mathindent\\(\n\\begin{pboxed}\\SaveRestoreHook\n\\column{B}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{5}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{9}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\column{E}{@{}>{\\hspre}l<{\\hspost}@{}}%\n\\>[B]{}\\Varid{extendU}\\mathbin{::}\\Conid{EnQbit}\\;\\Varid{a}\\Rightarrow \\Conid{U}\\to [\\mskip1.5mu \\Varid{a}\\mskip1.5mu]\\to \\Conid{U}{}\\<[E]%\n\\\\\n\\>[B]{}\\Varid{extendU}\\;(\\Conid{Rot}\\;\\Varid{q}\\;\\Varid{r}\\;\\Varid{u})\\;\\Varid{eqs}\\mathrel{=}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\mathbf{let}\\;\\Varid{eq}\\mathrel{=}(\\Varid{fromJust}\\;(\\Varid{getEnQbit}\\;\\Varid{q}\\;\\Varid{eqs}))\\;\\mathbf{in}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{rotEnQbit}\\;\\Varid{eq}\\;\\Varid{r}\\mathbin{`\\Varid{mappend}`}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{correctAll}\\;\\Varid{eqs}\\mathbin{`\\Varid{mappend}`}{}\\<[E]%\n\\\\\n\\>[B]{}\\hsindent{5}{}\\<[5]%\n\\>[5]{}\\Varid{extendU}\\;\\Varid{u}\\;\\Varid{eqs}{}\\<[E]%\n\\ColumnHook\n\\end{pboxed}\n\\)\\par\\noindent\\endgroup\\resethooks\n\nSince a standard QIO program performs operations on individual qubits, a mechanism for identifying their associated \\textit{EnQbit} is needed when faced with measurement and operator constructs. A function \\textit{getEnQbit} performs this task by making a comparison between the qubit given and the \"parent\" qubit of each \\textit{EnQbit} in our list.\n\nThe function \\textit{correctAll} is called upon, and the returned unitary appended to the end of the rotation, to perform the error correction procedure on all encoded qubits created so far, which should take place periodically in order to prevent a build up of errors that is unmanageable for the code. If this were to happen the decoding procedure would yield an incorrect value.\n\n\\section{Conclusions}\n\nIn terms of providing error correction to QIO programs, the components that are responsible for converting a program appear to fulfill their task of inserting new function calls at appropriate points. Flexibility is also provided on the implementation of codes used, as the same converting functions can work with any coding scheme.\n\nTwo encoding schemes have been implemented, the first being the three qubit bit flip code, with Steane's code as the second. Unfortunately, it appears that programs encoded with Steane's code are not evaluated efficiently, preventing any real observation of adding Steane's code to even the simplest of programs. As more qubits and\/or unitary operations are added the performance degrades very quickly. This is not such an issue for the three qubit bit flip code, which is evaluated fairly quickly even for larger programs using error correction.\n\nThe applicability of this kind of encoding automation has been demonstrated however, and if these evaluations were to be taking place on a real quantum computer then these problems would not be present.\n\n\n\n\\section*{Acknowledgements}\n\nI would like to thank my MSc dissertation supervisor, Thorsten Altenkirch, for his guidance throughout the course of this work, and also Alexander Green, for his assistance.\n\nI would also like to thank my Mother and Father for their unwavering support, and for simply putting up with me.\n\nLastly, I would like to dedicate this paper to the memory of my brother, Bill Barratt (1972-2010).\n\n\\bibliographystyle{eptcs}\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nLow-dimensional structures are now under scrutiny in\nnonperturbative QCD, cosmology, high-energy physics,\nand condensed matter physics. Properties of particles\nplaced into such structures are usually described by\nconsidering quantum theory in two dimensions. However,\nthere is no doubt that real space remains three\ndimensional, which may lead to qualitative differences in\nsome observables.\n\nThis especially concerns the particle spin properties,\nwhich are crucially different at two and three spatial\ndimensions (see, e.g., Refs.\n\\cite{Yip,DiracRep,DiracRe}). Thus, transition to (2+1)-dimensional spacetimes leads to losses of a significant part of such properties.\nAt the same time, in the two-dimensional space, anyons \\cite{Chen:1989xs}\nmay appear.\n\nIn the present work, we investigate the problem of transformation of the spin properties under the compactification of some spatial dimension.\nThis problem is generally very difficult because the spin dynamics depends on many factors.\nTo extract some common properties, we consider the toy model\n\\cite{Fiziev1} of the curved space of \\emph{variable} dimensionality\nsmoothly changing from three to two. A great preference of the model used is a possibility to obtain \\emph{exact} quantum-mechanical solutions.\n\nWe use the conventional Dirac equation for a consistent description of spin-1\/2\nparticle motion in the curved space and take into\naccount relativistic effects. While such effects are not too important in condensed\nmatter physics (except for graphene), we keep in mind their further applications to the processes at\nLarge Hadron Collider in the case \\cite{Mureika:LHC,StojkovicReview} of variable\n(momentum) space dimension. We use the \\emph{relativistic} method \\cite{JMP} of\nthe Foldy-Wouthuysen (FW) transformation \\cite{FW} to derive exact quantum-mechanical equations of motion\nand obtain their classical limit.\n\nIn this work, we focus our attention on the spin properties.\nWe show that, in contrast to a ``naive'' estimation, the\nspin in an effectively two-dimensional space may precess\nabout the noncompactified dimensions and therefore a\n``flick'' may appear in the remnant space once or twice\nduring the period. \n\n\\section{Hermitian Hamiltonians\nfor the metric admitting the effective dimensional\nreduction}\\label{Hamiltonian}\n\n\nLet us start with the following metric proposed by Fiziev \\cite{Fiziev1}:\n\\begin{equation}\nds^2=c^2dt^2-\\rho_1(z)^2d\\Phi_1^2-\\rho_2(z)^2d\\Phi_2^2-\\rho_3(z)^2dz^2,\n\\label{gmetric}\n\\end{equation}\nwhere $\\rho_3(z)^2=1+\\rho'_1(z)^2+\\rho'_2(z)^2$, the primes define derivatives\nwith respect to $z$, and $\\rho_i$ are the functions of $z$.\nThe spatial coordinates vary in the limits $-\\infty < z < \\infty, ~ 0 < \\Phi_{1,2} < 2 \\pi$.\n\nWe suppose $\\rho_i(z)$ to be positive.\nThe (3+1)-dimensional manifold defining this metric\nis a hypersurface in a flat pseudo-Euclidean (5+1)-dimensional space.\nThe tetrad $e_{0}^{\\widehat{0}}=1,~e_{i}^{\\widehat{j}}=\\delta^{ij}\\sqrt{g_{ii}}$ allows us to define the local\nLorentz (tetrad) frame. This considerably simplifies an\nanalysis of results from possibly using the rescaled Cartesian coordinates $dX=\\rho_1(z)d\\Phi_{1}, ~dY=\\rho_2 (z) d\\Phi_{2},~dZ=\\rho_3(z)dz$\nin the neighborhood of any point.\n\nTaking the limit $\\rho_1(z) \\rightarrow 0$ or the limit $\\rho_2(z) \\rightarrow 0$\nmay lead to the reduction of dimension of\nthe physical space from $d = 3$ to $d = 2$. We consider the case when the compactification\nof the $\\bm e_1~(\\bm e_2)$ direction results in the confinement of the particle in\na narrow interval of $\\Phi_1~(\\Phi_2)$ angles.\n\nThe transverse part of the metric (if $z$ is assumed to be a\nlongitudinal coordinate) has the structure of the Clifford\ntorus, which is the product of two unit circles in the fourdimensional\nEuclidean space: \n\\begin{equation}\ny_1^2+y_2^2=y_3^2+y_4^2=1.\n\\label{tmetric}\n\\end{equation}\nThe Clifford tori are used for analyzing twisted\nmaterials \\cite{clifford09} and vesicles \\cite{cliffordva,cliffordve,cliffordvf}.\nThere is also some qualitative\nsimilarity to projection of a tube in a six-dimensional space\nonto a three-dimensional space, which was used for the\nconstruction of the quasicrystals theory\n\\cite{Kalugin}.\n\nWe consider Clifford tori as a toy model of dimensional reduction.\nWe are not necessarily assigning the physical sense to all of the\nintermediate values of $z$ except the asymptotics for $z \\to\\pm \\infty$\ncorresponding to the three- and\ntwo-dimensional spaces. Here, varying the dimension plays\nthe same role as varying the coupling constant for the case\nof an adiabatic switch on the interaction.\n\n\n\nTo describe the spin-1\/2 particles, we use the conventional covariant Dirac equation (see Ref. \\cite{OSTgrav} and references therein).\nTo find the\nHamiltonian form of this equation,\none can substitute the given metric into the general equation\nfor the Hermitian Dirac\nHamiltonian (Eq. (2.21) in Ref. \\cite{OSTRONG}). For the metric (\\ref{gmetric}), the Hermitian Dirac\nHamiltonian was first derived in Ref. \\cite{GorNeznArXiv}. It can be presented in the form\n\\begin{eqnarray}\n{\\cal H}_D =\\beta mc^2  - \\frac {i\\hbar c}{ \\rho_1}\\alpha_1\n\\frac{\\partial}{\\partial\\Phi_1}- \\frac{ i\\hbar c}{ \\rho_2}\\alpha_2\n\\frac{\\partial}{\\partial\\Phi_2}- \\frac {i\\hbar c}{ 2}\\alpha_3\\left\\{{\\frac\n1 \\rho_3}, \\frac{\\partial}{\\partial z}\\right\\},\n\\label{Hamilton2}\\end{eqnarray} where $\\{\\dots,\\dots\\}$ denotes an\nanticommutator.\n\nWe transform this Hamiltonian to the FW representation by the method elaborated in Ref. \\cite{JMP}\nwhich was earlier applied in our previous works\n\\cite{OSTgrav,OSTRONG,OST}.\nAfter the {\\it exact} FW transformation, we get the result\n\\begin{eqnarray}\n{\\cal H}_{FW} =\\beta\n\\sqrt{a+{\\hbar}\\bm\\Sigma\\cdot\\bm b},\n\\label{HamiltonFW}\\end{eqnarray}\nwhere\n\\begin{eqnarray}\na=m^2c^4+\\frac{c^2p_1^2}{\\rho^2_1}+\\frac{c^2p_2^2}{\\rho^2_2} + \\frac{c^2}{4}\n\\left\\{{\\frac 1 \\rho_3},\np_3\\right\\}^2,~~~ \\bm{b}=b_1\\bm e_1+b_2\\bm e_2=\\frac {c^2\\rho'_2}{\\rho^2_2\\rho_3}p_2\\bm e_1-\\frac\n{c^2\\rho'_1}{\\rho^2_1\\rho_3}p_1\\bm e_2,\n\\label{denot}\\end{eqnarray}\nand $(p_1,p_2,p_3)\n=\\left(-i\\hbar\\frac{\\partial}{\\partial\\Phi_1},\n-i\\hbar\\frac{\\partial}{\\partial\\Phi_2},-i\\hbar\\frac{\\partial}{\\partial\nz}\\right)$ is the generalized momentum operator. Primes denote derivatives with respect to $z$.\nThe $\\bm e_1,\\bm e_2,\\bm e_3$ vectors form the spatial part of the orthonormal basis\ndefining the local Lorentz (tetrad) frame.\nFor the given time-independent metric,\nthe operators ${\\cal H}_{FW},~p_1,$ and $p_2$ are\nintegrals of motion.\n\nNeglecting a noncommutativity of the $a$ and $\\bm b$ operators allows us to omit anticommutators and results in\n\\begin{eqnarray}\n{\\cal H}_{FW} =\\frac \\beta\n2\\left(\\sqrt{a+\\hbar b}+\\sqrt{a-\\hbar b}\\right)+\\frac{\\bm\\Pi\\cdot \\bm\nb}{2b}\\left(\\sqrt{a+\\hbar b}-\\sqrt{a-\\hbar b}\\right),\n\\label{HFW}\\end{eqnarray} where $\\bm\\Pi=\\beta\\bm\\Sigma$ is the spin polarization operator. It can be proven that extra terms appearing from the above noncommutativity are of order of\n$|\\hbar\/(p_zl)|^3$, where $p_z$ is the particle momentum and $l$ is the characteristic\nsize of the nonuniformity region of the external\nfield (in the $z$ direction). With this accuracy,\n\\begin{eqnarray}\n{\\cal H}_{FW} =\\beta \\left(\\sqrt{a}-\\frac{\\hbar^2b^2}{8a^{3\/2}}\\right)+\\hbar\\frac{\\bm\\Pi\\cdot\\bm b}{2\\sqrt{a}}.\n\\label{HFWb}\\end{eqnarray}\nThe second term proportional to $\\hbar^2$ is important even when it is relatively small. This term contributes to the difference between gravitational interactions of spinning and spinless particles and therefore violates the weak equivalence principle. Its importance relative to the main term is defined by the ratio $(\\hbar b\/a)^2$. The weak equivalence principle is also violated by the spin-dependent Mathisson force (see Refs. \\cite{OSTgrav,Plyatsko:1997gs} and references therein) defined by the third term in Eq. (\\ref{HFWb}). While the third term is usually much bigger than the second one, it vanishes for unpolarized spinning particles. The second term proportional to $(\\bm\\Pi\\cdot\\bm b)^2$ is always nonzero. An analysis of Eqs. (\\ref{denot}) and (\\ref{HFWb}) leads to the conclusion that this term can be comparable with the main one (proportional to $\\sqrt{a}$) when $l\\sim\\lambda_B$, where $\\lambda_B$ is the de Broglie wavelength.\nThe existence of the term proportional to $\\hbar^2$ is not a specific property of the toy model used. The appearance of such terms in the FW Hamiltonians describing a Dirac particle in Riemannian spacetimes was noticed in several works \\cite{OST,DH,Jentschura},\nwhereas its relation to the spin-originated effect leading to the violation of the weak equivalence principle was never mentioned.\n\nThe equation of spin motion is given by\n\\begin{eqnarray}\n{\\frac {d{\\bm \\Pi}}{dt}} = \\bm \\Omega\\times{\\bm \\Pi}, ~~~ \\bm \\Omega=\n\\beta\\frac {\\bm b}{\\sqrt{a}}.\n\\label{finalOmegase}\n\\end{eqnarray}\n\nAs a result, the spin rotates\n\\emph{relative to} $\\bm e_i$ \\emph{vectors} $(i=1,2,3)$ with the angular velocity\n$\\bm \\Omega$. Its motion relative to the Cartesian axes is much more complicated.\n\nIt has been proven in Ref. \\cite{JINRLet1} that finding a classical limit of \\emph{relativistic}\nquantum mechanical equations reduces to the replacement of operators by\nrespective classical quantities when the condition of the Wentzel-Kramers-Brillouin approximation,\n$\\hbar\/|pl|\\ll1$, is satisfied.\nIt has also been shown that the classical limit of the FW Hamiltonians for Dirac \\cite{OSTgrav,OSTRONG,OST} and scalar\n\\cite{Honnefscalar} particles in Riemannian spacetimes coincides with the corresponding purely\nclassical Hamiltonians.\n\n\n\n\n\\section{Motion of particle at variable dimensions}\\label{Region}\n\nLet us first study the motion of the particle by neglecting the influence of the spin onto its trajectory.\nSince $p_1$ and $p_2$ are integrals of motion,\nthey can be replaced with the eigenvalues $\\mathcal{P}_1$ and $\\mathcal{P}_2$, respectively.\nLet us  choose the $\\bm\ne_1$ axis as the compactified dimension and suppose that $\\rho_{1}(z)$ is a decreasing function ($\\rho_{1}(z)\\rightarrow0$ when $z\\rightarrow\\infty$).\nWe can neglect a dependence of $\\rho_{2}$ on $z$, assuming that this function changes much more slowly.\nWe denote initial values of all parameters by additional zero indices and consider the general case\nwhen the initial value of the metric component, $\\rho_{10}\\equiv\\rho_{1}(z_0)$, is\nnot small.\n\n The classical limit of the Hamiltonian is given by\n\\begin{eqnarray}\n{\\cal H}\n=\\sqrt{m^2c^4+\\frac{c^2\\mathcal{P}_1^2}{\\rho^2_1}+\\frac{c^2\\mathcal{P}_2^2}{\\rho^2_2}+\\frac{c^2p_3^2}{\\rho^2_3}}.\n\\label{HamiltonC}\\end{eqnarray}\n\n\n\nThe possibility of making general conclusions with the special model used is based on the fact that the\nHamiltonian of a particle in an arbitrary static spacetime is given by\n\\begin{eqnarray}\n{\\cal H}\n=\\sqrt{\\frac{c^2\\left(m^2c^2+g^{ij}p_ip_j\\right)}{g^{00}}}, ~~~ i,j=1,2,3.\n\\label{Hamiltong}\\end{eqnarray}\nEquation (\\ref{Hamiltong}) covers spinless \\cite{Cogn} and spinning \\cite{OSTRONG,OSTgrav} particles in classical gravity as well as the classical limit of the corresponding quantum-mechanical Hamiltonians for scalar \\cite{Honnefscalar}\nand Dirac \\cite{OSTgrav} particles. For spinning particles, the term  $\\bm s\\cdot\\bm\\Omega$ should be added to this Hamiltonian \\cite{OSTRONG,OSTgrav}. When the metric is diagonal, $g^{ii}=1\/{g_{ii}}$ and Eq. (\\ref{Hamiltong}) takes the same form as Eq. (\\ref{HamiltonC}).\n\n\n\nTo describe the compactification, we can introduce the compactification radius $\\delta$ so that the\n``compactification point'' $z_c$ can be defined by $\\rho_1(z_c)=\\delta$. Due to the energy $E$ conservation, the\nparticle can reach this point if\n\\begin{eqnarray}\nE\n\\geq  \\sqrt{m^2c^4+\\frac{c^2\\mathcal{P}_1^2}{\\delta^2}+\\frac{c^2\\mathcal{P}_2^2}{\\rho^2_2(z_c)}}.\n\\label{HamiltonE}\\end{eqnarray}\nNote that the decrease of compatification radius $\\delta$ while $E$ remains finite implies the corresponding decrease of $\\mathcal P_1$.\n\n\nThe particle velocity is equal to\n\\begin{equation}\nv_z\\equiv\\frac {dz}{dt} =\\frac{\\partial{\\cal H}}{\\partial p_3}=\n\\frac{c^2p_3}{E\\rho^2_3}\\\\=\nc \\frac{\\sgn{(p_3)}}{E\\rho_3(z)}\\sqrt{E^2-m^2c^4- c^2 R(z)}, ~~~ R(z)=\\frac{\\mathcal{P}_1^2}{\\rho^2_1(z)} + \\frac{\\mathcal{P}_2^2}{\\rho^2_2(z)}.\n\\label{finalmw}\n\\end{equation}\nDifferent signs correspond to the two different directions of the\nlongitudinal particle motion.\nNote that the arrival to the compactification point with zero velocity ($z_c =z_f$ being the final point of particle trajectory) corresponds to\nthe equality sign in Eq. (\\ref{HamiltonE}).\n\nA tedious but simple calculation allows us to obtain the longitudinal component of the particle acceleration:\n\\begin{eqnarray}\na_z\\equiv\\frac {d^2z}{dt^2} =\n- \\frac{c^4}{E^2 \\rho_3^2}\\left(\n\\frac{R'}{2}+\\frac{p_3^2\\rho'_3}{\\rho^3_3}\n\\right).\n\\label{vd}\n\\end{eqnarray}\nIt is obvious that  $p_3(z_f)=0,~ R'(z_f) \\geq 0$ (for monotonic continuously differentiable $R(z)$), so that $a_z(z_f) \\leq 0$. Therefore, $z_f$ is the turning (if $R'(z_f) > 0$) or attracting\n(if $R'(z_f) = 0$) point. For nonmonotonic $R(z)$ there is a possibility of passage to the region $z > z_f$ due to possible growth of $\\rho_2(z)$. The particle motion is then limited by the point\n$\\tilde z_f$ corresponding to the neglect of the motion in the $\\bm e_2$ direction\n\\begin{eqnarray}\nE\n=  \\sqrt{m^2c^4+\\frac{c^2\\mathcal{P}_1^2}{\\rho_1(\\tilde z_f)}}.\n\\label{tilde}\\end{eqnarray}\n\n\n\n\n\nThe important particular case of Eq. (\\ref{HamiltonC}) corresponds to $\\mathcal{P}_1=0$. The particle penetrates into the region of the effective dimensional reduction ($z\\rightarrow\\infty$)\nand does not reverse the direction of its motion.\n\nIn this study, as was mentioned above, we consider that\nthe smooth adiabatic transition from the three-dimensional\nspace to the effectively two-dimensional one does not\nnecessarily attribute the physical sense to all intermediate\npoints in particle motion. At the same time, the true change\nof the dimensionality was discussed in cosmology (see\nRefs. \\cite{Mureika:2011bv,StojkovicReview,Fiziev:2010je,Sotiriou:2011xy})\nand in connection with experiments at the LHC\n(see Refs. \\cite{StojkovicReview,Mureika:LHC,SCarlip,Sotiriou:LHC}). Our analysis\ncan also be applicable at the LHC.\n\nNote also that the motion in the opposite direction of increasing dimension does not impose any conditions for the\ninitial state of the particle. One may say that the region of lower dimension is ``repulsive'' whereas the region of higher dimension is ``attractive'',\nimplying a sort of \\emph{irreversibility} in the particle dynamics. This property emerges because of the appearance of $\\rho_1$\nin the expression for the Hamiltonian in the denominator. Such a situation is a general one that can be seen from Eq. (\\ref{Hamiltong}) in the case of diagonal metric.\nThis may give additional support to the hypothesis \\cite{Mureika:2011bv,Fiziev:2010je}\nthat such a transition from the lower dimensionality to the higher one leaded to the evolution\nof the Universe.\n\n\n\n\n\\section{Spin evolution at variable dimensions}\n\nIn the classical limit, the angular velocity of spin precession is given by\n\\begin{eqnarray}\n\\bm \\Omega=\n\\frac {\\bm b}{E}=\\frac{c^2}{E\\rho_3}\\left(\n\\frac{\\mathcal{P}_2\\rho'_2}{\\rho^2_2}\\bm e_1-\\frac\n{\\mathcal{P}_1\\rho'_1}{\\rho^2_1}\\bm e_2\\right).\n\\label{finalOmegacl}\n\\end{eqnarray}\nBecause $d\\bm s\/dt=v_z(z)(d\\bm s\/dz)$, Eqs. (\\ref{finalmw}) and (\\ref{finalOmegacl})\ndefine an easily solvable system of first-order homogeneous linear differential equations.\n\nEquation (\\ref{finalOmegacl}) is rather informative about details of the compactification. Only the $\\Omega_2$ component contains parameters of the compactified dimension.\nAlthough $|\\mathcal{P}_1|\/|\\mathcal{P}_2|\\ll1$, the presence of additional factors\ndoes not allow for\nneglecting $\\Omega_2$ as compared with $\\Omega_1$ (under the condition that $\\mathcal{P}_1\\neq0$).\n\nWhen\n$\\rho_2(z)=const$, $\\Omega_1=0$ and the spin rotates about the\n$\\bm e_2$ axis, the spin projection onto the $\\bm e_2\\bm e_3$ surface, which\nis the spatial part of the (2+1)-dimensional spacetime,\noscillates. The spin appears in this surface only once (in the\nspecial case when the cone of spin precession is tangent to\nthis surface) or twice per rotation period. Evidently, the\norigin of this spin ``flickering'', as well as the appearance of\npseudovector, is completely unexplainable in terms of the\ntwo-dimensional space.\n\n\nThe model used allows to obtain an exact analytical description of the spin evolution.\nIt is characterized by a change of the angle $\\varphi$ defining the direction\nof the spin in the plane orthogonal to $\\bm\\Omega$:\n\\begin{eqnarray}\n \\Delta\\varphi(z) =\\int{\\Omega(t)dt}=\\int_{z_{0}}^{z}{\\frac{\\Omega(y)}{v_z(y)}dy}.\n\\label{varph}\n\\end{eqnarray}\n\nThe problem of spin evolution at the effective dimensional reduction can be solved in a general form.\nTo simplify the\nanalysis, let us consider the case of $\\rho_2(z)=\\rho_{20}=const$.\nIn this case, the \\emph{exact} value of the integral is\n\\begin{eqnarray}\n\\Delta\\varphi(z)=\n\\arcsin{\\frac{c\\mathcal{P}_1}{A\\rho_1(z)}}-\n\\arcsin{\\frac{c\\mathcal{P}_1}{A\\rho_{10}}},\n\\label{varin}\n\\end{eqnarray}\nwhere\n\\begin{eqnarray} A=\\sqrt{E^2-m^2c^4-\\frac{c^2\\mathcal{P}_2^2}{\\rho^2_{20}}}=\nc \\sqrt{\\frac{p_{30}^2}{\\rho^2_{30}}+\\frac{\\mathcal{P}_1^2}{\\rho^2_{10}}}.\n\\label{eqna}\n\\end{eqnarray}\nSince\n\\begin{eqnarray}\n\\rho_{1}(z_f)=c\\left|\\mathcal{P}_{1}\\right|\\left(E^2-m^2c^4-\\frac{c^2\\mathcal{P}_2^2}{\\rho^2_{20}}\\right)^{-1\/2},\n\\label{zetf}\n\\end{eqnarray}\nthe total spin turn ($z=z_f$)\nis given by\n\\begin{eqnarray}\n\\Delta\\varphi=\\sgn{(\\mathcal{P}_1)}\\cdot\\frac\\pi 2-\n\\arctan{\\frac{\\mathcal{P}_1\\rho_{30} }{\\rho_{10}p_{30}}}.\n\\label{varif}\n\\end{eqnarray}\nThe passage of the particle to the region of compactification implies, as was discussed above,\nthe relative smallness of the second term so that\nthe spin rotates by about $90^\\circ$.\n\n\nIf $\\mathcal{P}_1=0$,\nthe spin projection onto the $\\bm e_1$ direction is always conserved. The spin can, however, rotate about the $\\bm e_1$ direction if $\\rho_2$ depends on $z$. In this case, the angle of the spin turn is equal to\n\\begin{eqnarray}\n\\Delta\\phi(z)=-\\arcsin{\\frac{c\\mathcal{P}_2}{B\\rho_2(z)}}+\n\\arcsin{\\frac{c\\mathcal{P}_2}{B\\rho_{20}}}, ~~~\nB=\\sqrt{E^2-m^2c^4}=\n\\sqrt{\\frac{c^2p_{30}^2}{\\rho^2_{30}}+\\frac{c^2\\mathcal{P}_2^2}{\\rho^2_{20}}}.\n\\label{varfi}\n\\end{eqnarray}\n\nThe total spin turn ($z=z_f$) is given by\n\\begin{eqnarray}\n\\Delta\\phi=\n\\arctan{\\frac{\\mathcal{P}_2\\rho_{30} }{\\rho_{20}p_{30}}}-\\sgn{(\\mathcal{P}_2)}\\cdot\\frac\\pi 2.\n\\label{varff}\n\\end{eqnarray}\n\n\\section{Conclusions and outlook}\nWe considered the Dirac fermion dynamics in the curved\nspace model of variable dimension. The advantage of the\ntoy model used is the possibility of performing the exact\nFW transformation of the Dirac equation and then\nobtaining the exact solutions of the equations of motion\nfor momentum and spin in the classical limit. At the same\ntime, the obtained Hamiltonian (\\ref{HamiltonC}) is  similar to the generic one  (\\ref{Hamiltong}) so that one can expect that\nqualitative features of spin and momentum dynamics will persist for other compactification-related metrics as well.\n\n\nThe analysis of particle momentum evolution allows us to describe the motion at the boundary between the regions of space\nhaving different dimensions.\nThe passage to the region of lower dimension is more natural in the special case when the generalized momentum in the compactified direction $\\mathcal{P}_1=0$.\nAt the same time, the transition to the region of higher dimension (considered in Refs. \\cite{Mureika:2011bv,Fiziev:2010je} as a possible way of the evolution of the Universe) does not impose the constraints for its initial state, manifesting a sort of irreversibility.\n\nThe particle motion (especially near the turning point) is characterized by the three main properties which cannot be naturally explained from the point of view of\nobserver residing in the compactified spacetime:\n\\emph{i)} a reversion of the direction of motion; \\emph{ii)} a rather quick motion along the compactified direction, which may be seen as a sort of ``zitterbewegung'';\n\\emph{iii)} the appearance of a pseudovector of spin in the compactified  (2+1)-dimensional space and its\nrotation or flickering [when the spin pseudovector crosses\nthe remnant (2+1)-dimensional layer]. \n\nThe experimental tests of the emerging spin effects may be performed by studies of spin polarizations of $\\Lambda$ (and, probably, also $\\Lambda_c$) hyperons produced in the high-energy collisions where the compactification \\cite{Mureika:LHC,StojkovicReview}\ntakes place. This may bear a resemblance to the recently proposed \\cite{Baznat:2013zx}\ntests of the vorticity in heavy-ion collisions, although a detailed analysis is required.\n\n\n\n\n\n\n\nWe can finally conclude that the transition to (2+1)-dimensional spacetime\nleads to the nontrivial behavior of spin which, generally speaking, cannot be adequately described from the point of view of an observer residing at (2+1) dimensions.\n\n\n\n\n\n\n\\section*{Acknowledgments}\n\nWe are indebted to P.P. Fiziev,  V.P. Neznamov, and D.V. Shirkov for stimulating discussions.\nThis work was supported in part by the RFBR (Grants No. 11-02-01538  and 12-02-91526) and BRFFR\n(Grant No. $\\Phi$12D-002).\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Deninger's method}\n\nIn this section we express the Mahler measure of $P$ in terms of the integral of a differential $1$-form on the modular curve $X_1(13)$, following Deninger's method \\cite{deninger:mahler}.\n\nWe view $P$ as a polynomial in $h$:\n\\begin{equation*}\nP(H,h) = -H + (-H^2+2H+1)h+(H^2+H-1)h^2-Hh^3.\n\\end{equation*}\nNote that the constant term of $P$ is given by $P^*(H)=-H$.\n\nLet $Z \\subset \\mathbf{G}_m^2$ be the curve defined by the equation $P=0$. Then $Z$ identifies with an affine open subscheme of $X_1(13)$ by \\cite[p. 56]{lecacheux:13}. In particular $Z$ is smooth.\n\n\nLooking at the resultant of the polynomials $P(H,h)$ and $H^2 h^3 P(\\frac{1}{H},\\frac{1}{h})$ with respect to $h$, it can be checked that $P$ doesn't vanish on the torus $T^2 = \\{(H,h) \\in \\mathbf{C} : |H|=|h|=1\\}$. Moreover, we check numerically that for each $H \\in T$, there exists a unique $h(H) \\in \\mathbf{C}$ such that $P(H,h(H))=0$ and $0<|h(H)|<1$. The map $H \\in T \\mapsto h(H)$ defines a closed cycle $\\gamma_P$ in $H_1(Z(\\mathbf{C}),\\mathbf{Z})$. We call $\\gamma_P$ the \\emph{Deninger cycle} associated to $P$. We give $\\gamma_P$ the canonical orientation coming from $T$.\n\nSince $P^*$ doesn't vanish on $T$, the polynomial $P$ satisfies the assumptions \\cite[3.2]{deninger:mahler}, so that the discussion in \\emph{loc. cit.} applies. Consider the differential form $\\eta = \\log |h| \\frac{dH}{H}$ on $Z(\\mathbf{C})$. Using Jensen's formula, and noting that $m(P^*)=0$, we have \\cite[(23)]{deninger:mahler}\n\\begin{equation*}\nm(P) = -\\frac{1}{2\\pi i} \\int_{\\gamma_P} \\eta.\n\\end{equation*}\nNow we may express this as an integral of a closed differential form. By \\cite[Prop. 3.3]{deninger:mahler}, we get\n\\begin{equation*}\nm(P) = -\\frac{1}{2\\pi i} \\int_{\\gamma_P} \\log |H| \\cdot (\\partial-\\overline{\\partial}) \\log |h| - \\log |h| \\cdot (\\partial-\\overline{\\partial}) \\log |H|.\n\\end{equation*}\n\nWe now introduce a standard notation.\n\n\\begin{definition}\nFor any two meromorphic functions $u,v$ on a Riemann surface, define\n\\begin{equation*}\n\\eta(u,v) : = \\log |u| \\operatorname{darg}(v) - \\log |v| \\operatorname{darg}(u).\n\\end{equation*}\n\\end{definition}\n\nThe $1$-form $\\eta(u,v)$ is well-defined outside the set of zeros and poles of $u$ and $v$. It is closed, so we may integrate it over cycles. Moreover, we have $\\operatorname{darg}(u) = -i (\\partial-\\overline{\\partial}) \\log |u|$. Thus we have proved the following proposition.\n\n\n\\begin{pro}\\label{pro deninger}\nWe have $m(P)=\\frac{1}{2\\pi} \\int_{\\gamma_P} \\eta(h,H)$.\n\\end{pro}\n\n\\begin{lem}\nLet $c$ denote complex conjugation on $Z(\\mathbf{C})$. We have $c_* \\gamma_P = -\\gamma_P$.\n\\end{lem}\n\n\\begin{proof}[Proof]\nFor every $H \\in T$, we have $h(\\overline{H})=\\overline{h(H)}$. It follows that $c_* \\gamma_P=-\\gamma_P$.\n\\end{proof}\n\n\n\\section{Determining Deninger's cycle}\n\nIn this section, we determine $\\gamma_P$ explicitly in terms of modular symbols.\n\nThe space $S_2(\\Gamma_1(13))$ of cusp forms of weight $2$ and level $13$ has dimension $2$ over $\\mathbf{C}$. Let $\\varepsilon : (\\mathbf{Z}\/13\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$ be the unique Dirichlet character satisfying $\\varepsilon(2)=\\zeta_6 := e^{\\frac{2\\pi i}{6}}$. It is even and has order $6$. A basis of $S_2(\\Gamma_1(13))$ is given by $(f_\\varepsilon,f_{\\overline{\\varepsilon}})$, where $f_\\varepsilon$ (resp. $f_{\\overline{\\varepsilon}}$) is a newform having character $\\varepsilon$ (resp. ${\\overline{\\varepsilon}}$). The Fourier coefficients of $f_\\varepsilon$ and $f_{\\overline{\\varepsilon}}$ belong to the field $\\mathbf{Q}(\\zeta_6)$ and are complex conjugate to each other. We define $f=f_\\varepsilon+f_{\\overline{\\varepsilon}}$.\n\nWe denote by $\\langle d \\rangle$ the diamond automorphism of $X_1(13)$ associated to $d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times\/\\pm 1$.\n\nLet $\\hat{\\mathcal{H}}=H_1(X_1(13)(\\mathbf{C}),\\{\\mathrm{cusps}\\},\\mathbf{Z})$ be the homology group of $X_1(13)(\\mathbf{C})$ relative to the cusps. Let $E_{13}$ be the set of non-zero vectors of $(\\mathbf{Z}\/13\\mathbf{Z})^2$. For any $x \\in E_{13}$, we let $\\xi(x) = \\{g_x 0, g_x \\infty\\}$, where $g_x \\in \\SL_2(\\mathbf{Z})$ is any matrix whose bottom line is congruent to $x$ modulo $13$. Using Manin's algorithm \\cite{manin} and its implementation in Magma \\cite{magma}, we find that a $\\mathbf{Z}$-basis of $\\mathcal{H}=H_1(X_1(13)(\\mathbf{C}),\\mathbf{Z})$ is given by\n\\begin{align*}\n\\gamma_1 & = \\xi(1,-5)-\\xi(2,5)-\\xi(1,-2) = \\left\\{\\frac15,\\frac25\\right\\}\\\\\n\\gamma_2 & = \\langle 2 \\rangle_* \\gamma_1 = \\xi(2,3)-\\xi(4,-3)-\\xi(2,-4)\\\\\n\\gamma_3 & = \\xi(1,-3)-\\xi(1,3) = \\left\\{\\frac13,-\\frac13\\right\\}\\\\\n\\gamma_4 & = \\langle 2 \\rangle_* \\gamma_3 = \\xi(2,-6)-\\xi(2,6).\n\\end{align*}\n\nConsider the pairing\n\\begin{align*}\n\\langle \\cdot,\\cdot \\rangle : \\hat{\\mathcal{H}} \\times S_2(\\Gamma_1(13)) & \\to \\mathbf{C}\\\\\n(\\gamma,f) & \\mapsto \\int_\\gamma 2\\pi i f(z)dz.\n\\end{align*}\n\n\\begin{definition}\nLet $\\mathcal{H}^- := \\{ \\gamma \\in \\mathcal{H} : c_* \\gamma=-\\gamma\\}$. We define the map\n\\begin{align*}\n\\iota : \\mathcal{H}^- & \\to \\mathbf{C}\\\\\n\\gamma & \\mapsto \\langle \\gamma,f_\\varepsilon \\rangle.\n\\end{align*}\n\\end{definition}\n\n\\begin{lem} \\label{iota injective}\nThe map $\\iota$ is injective.\n\\end{lem}\n\n\\begin{proof}[Proof]\nIf $\\iota(\\gamma)=0$ then $\\langle \\gamma,f_{\\overline{\\varepsilon}} \\rangle = \\overline{\\langle c_* \\gamma, f_\\varepsilon \\rangle} = -\\overline{\\langle \\gamma,f_\\varepsilon \\rangle} = 0$. Thus $\\gamma$ is orthogonal to $S_2(\\Gamma_1(13))$, which implies $\\gamma=0$.\n\\end{proof}\n\n\\begin{lem}\\label{iota lattice}\nThe image of $\\iota$ is the hexagonal lattice generated by $\\iota(\\gamma_3)$ and $\\iota(\\gamma_4) = \\zeta_6 \\iota(\\gamma_3)$.\n\\end{lem}\n\n\\begin{proof}[Proof]\nThe action of complex conjugation on $\\mathcal{H}$ is given by\n\\begin{align*}\nc_*(\\gamma_1) & = \\gamma_1+\\gamma_4\\\\\nc_*(\\gamma_2) & = \\gamma_2 - \\gamma_3 + \\gamma_4\\\\\nc_*(\\gamma_3) & = -\\gamma_3\\\\\nc_*(\\gamma_4) & = -\\gamma_4.\n\\end{align*}\nFrom these formulas, it is clear that a $\\mathbf{Z}$-basis of $\\mathcal{H}^-$ is given by $(\\gamma_3,\\gamma_4)$. By Lemma \\ref{iota injective}, we have $\\iota(\\gamma_3) \\neq 0$. Then\n\\begin{equation*}\n\\iota(\\gamma_4) = \\langle \\langle 2 \\rangle_* \\gamma_3, f_\\varepsilon \\rangle = \\langle \\gamma_3, f_\\varepsilon | \\langle 2 \\rangle \\rangle = \\varepsilon(2) \\iota(\\gamma_3) = \\zeta_6 \\iota(\\gamma_3).\n\\end{equation*}\n\\end{proof}\n\nWe have $\\gamma_3 = \\{\\frac13,-\\frac13\\} = \\{\\frac13,g_1 \\left(\\frac13\\right)\\}$ with $g_1 = \\begin{pmatrix} 14 & -5 \\\\ -39 & 14 \\end{pmatrix} \\in \\Gamma_1(13)$. Let us choose $z_0 = \\frac{14+i}{39}$. Then \n$g_1 (z_0) = \\frac{-14+i}{39}$. We have\n\\begin{equation*}\n\\langle \\gamma_3,f_\\varepsilon \\rangle = \\int_{z_0}^{g_1 z_0} 2\\pi i f_\\varepsilon(z) dz = \\sum_{n=1}^{\\infty} \\frac{a_n(f_\\varepsilon)}{n} \\left(e^{\\frac{-28\\pi i n}{39}}-e^{\\frac{28\\pi i n}{39}}\\right) e^{-\\frac{2\\pi n}{39}}.\\end{equation*}\nUsing Magma, we get numerically\n\\begin{equation*}\n\\langle \\gamma_3,f_\\varepsilon \\rangle \\sim 1.06759 - 2.60094i.\n\\end{equation*}\n\n\\begin{pro} \\label{pro gamma0}\nLet $\\gamma_P \\in \\mathcal{H}^-$ be Deninger's cycle. We have $\\gamma_P=\\gamma_3$.\n\\end{pro}\n\n\\begin{proof}[Proof]\nA $\\mathbf{Q}$-basis of $\\Omega^1(X_1(13))$ is given by $(\\omega, h\\omega)$ where\n\\begin{equation*}\n\\omega = \\frac{(h^2 - h)H - h^3 + h^2 + 2h - 1}{h^4 - 2h^3 + 3h^2 - 2h + 1}dH.\n\\end{equation*}\nUsing Magma, we compute the Fourier expansion of $\\omega$ and $h\\omega$ at infinity, and deduce\n\\begin{equation}\\label{feps omega}\n2\\pi i f_\\varepsilon(z)dz = \\alpha \\omega + \\beta h\\omega\n\\end{equation}\nwith\n\\begin{equation*}\n\\alpha \\sim 0.71163+0.70256i \\qquad \\beta \\sim 0.25262-0.96757i.\n\\end{equation*}\nNote that $\\alpha$ and $\\beta$ are algebraic numbers, but we won't need an explicit formula for them. With Pari\/GP \\cite{pari273}, we find\n\\begin{equation}\\label{int gammaP}\n\\int_{\\gamma_P} \\omega \\sim - 3.21731i \\qquad \\int_{\\gamma_P} h\\omega \\sim - 1.23275i.\n\\end{equation}\nFrom (\\ref{feps omega}) and (\\ref{int gammaP}), it follows that\n\\begin{equation*}\n\\langle \\gamma_P, f_\\varepsilon \\rangle \\sim 1.06759-2.60094i \\sim \\langle \\gamma_3, f_\\varepsilon \\rangle.\n\\end{equation*}\nSince the image of $\\iota$ is a lattice by Lemma \\ref{iota lattice}, we may ascertain that $\\gamma_P=\\gamma_3$.\n\\end{proof}\n\nWe will also need to make explicit the action of the Atkin-Lehner involution $W_{13}$ on $\\gamma_P$.\n\n\\begin{pro} \\label{pro W13gamma0}\nWe have $W_{13} \\gamma_P = \\gamma_4-\\gamma_3$.\n\\end{pro}\n\n\\begin{proof}[Proof]\nBy \\cite[Thm 2.1]{Atkin-Li}, we have $W_{13} f_\\varepsilon = w \\cdot f_{\\overline{\\varepsilon}}$ with\n\\begin{equation}\\label{eq w}\nw = \\frac{3\\zeta_6-4}{13} \\tau(\\varepsilon) \\sim -0.96425+0.26501i.\n\\end{equation}\nWe deduce\n\\begin{equation*}\n\\iota(W_{13} \\gamma_P) = \\langle \\gamma_P, W_{13} f_\\varepsilon \\rangle = w \\langle \\gamma_P, f_{\\overline{\\varepsilon}} \\rangle = w \\overline{\\langle c_* \\gamma_P, f_\\varepsilon \\rangle} = -w \\overline{\\langle \\gamma_P, f_\\varepsilon \\rangle} \\sim 1.71869+2.22503i.\n\\end{equation*}\nMoreover, we have\n\\begin{equation*}\n\\iota(\\gamma_4) = \\zeta_6 \\iota(\\gamma_3) \\sim 2.78628-0.37591i \\sim \\iota(W_{13} \\gamma_P) + \\iota(\\gamma_3).\n\\end{equation*}\nUsing Lemma \\ref{iota lattice} again, we conclude that $W_{13} \\gamma_P = \\gamma_4-\\gamma_3$.\n\\end{proof}\n\n\n\\section{Beilinson's theorem}\n\nWe now recall the explicit version of Beilinson's theorem on the modular curve $X_1(N)$ \\cite{brunault:smf}. Let $\\mathbf{C}(X_1(N))$ be the function field of $X_1(N)$. The \\emph{regulator map} on $X_1(N)$ is defined by\n\\begin{align*}\nr_N : K_2(\\mathbf{C}(X_1(N))) & \\to \\Hom_\\mathbf{C}(S_2(\\Gamma_1(N)),\\mathbf{C})\\\\\n\\{u,v\\} & \\mapsto \\left(f \\mapsto \\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f \\right)\n\\end{align*}\nwhere $\\omega_f := 2\\pi i f(z) dz$. After tensoring with $\\mathbf{C}$, we get a linear map\n\\begin{equation*}\nr_N : K_2(\\mathbf{C}(X_1(N))) \\otimes \\mathbf{C} \\to \\Hom_\\mathbf{C}(S_2(\\Gamma_1(N)),\\mathbf{C}).\n\\end{equation*}\nFor any even non-trivial Dirichlet character $\\chi : (\\mathbf{Z}\/N\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$, there exists a modular unit $u_{\\chi} \\in \\mathcal{O}^{\\times}(Y_1(N)(\\mathbf{C})) \\otimes \\mathbf{C}$ satisfying\n\\begin{equation*}\n\\log |u_{\\chi}(z)| = \\frac{1}{\\pi} \\lim_{\\substack{s \\rightarrow 1\\\\ \\real(s)>1}} \\left(\\sideset{}{'}\\sum_{(m,n) \\in \\mathbf{Z}^2} \\frac{\\chi(n) \\cdot \\imag(z)^s}{\\abs{Nmz+n}^{2s}}\\right) \\qquad (z \\in \\mathfrak{H}),\n\\end{equation*}\nwhere $\\sideset{}{'}\\sum$ denotes that we omit the term $(m,n) = (0,0)$ (see \\cite[Prop 5.3]{brunault:smf}).\n\n\\begin{remark}\nWe are working with the model of $X_1(N)$ in which the $\\infty$-cusp is not defined over $\\mathbf{Q}$, but rather over $\\mathbf{Q}(\\zeta_N)$. Therefore, the modular unit $u_\\chi$ is not defined over $\\mathbf{Q}$ but rather over $\\mathbf{Q}(\\zeta_N)$.\n\\end{remark}\n\n\\begin{thm}\\cite[Thm 1.1]{brunault:smf}\\label{explicit beilinson}\nLet $f \\in S_2(\\Gamma_1(N),\\psi)$ be a newform of weight $2$, level $N$ and character $\\psi$. For any even primitive Dirichlet character $\\chi : (\\mathbf{Z}\/N\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$, with $\\chi \\neq \\overline{\\psi}$, we have\n\\begin{equation}\\label{explicit beilinson formula}\nL(f,2) L(f,\\chi,1) = \\frac{N \\pi \\tau(\\chi)}{2 \\phi(N)} \\bigl\\langle r_N(\\{u_{\\overline{\\chi}},u_{\\psi\\chi}\\}), f \\bigr\\rangle\n\\end{equation}\nwhere $L(f,\\chi,s):=\\sum_{n=1} a_n(f) \\chi(n) n^{-s}$ denotes the $L$-function of $f$ twisted by $\\chi$, $\\tau(\\chi):=\\sum_{a \\in (\\mathbf{Z}\/N\\mathbf{Z})^\\times} \\chi(a) e^{\\frac{2\\pi ia}{N}}$ denotes the Gauss sum of $\\chi$, and $\\phi(N)$ denotes Euler's function.\n\\end{thm}\n\nWe will also need the following lemma.\n\n\\begin{lem}\\label{lem ceta}\nLet $c$ denote complex conjugation on $Y_1(N)(\\mathbf{C})$. For any even non-trivial Dirichlet characters $\\chi,\\chi' : (\\mathbf{Z}\/N\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$, we have $c^* \\eta(u_\\chi,u_{\\chi'}) = -\\eta(u_\\chi,u_{\\chi'})$.\n\\end{lem}\n\n\\begin{proof}[Proof]\nRecall that $c$ is given by $c(z)=-\\overline{z}$ on $\\mathfrak{H}$. We have $c^* \\log |u_\\chi| = \\log |u_\\chi|$, and $c^*$ exchanges the holomorphic and anti-holomorphic parts of $\\operatorname{dlog} |u_\\chi|$. Since $\\operatorname{darg}(u_\\chi) = -i (\\partial-\\overline{\\partial}) \\log |u_\\chi|$, we get $c^* \\operatorname{darg}(u_\\chi) = -\\operatorname{darg}(u_\\chi)$, and thus $c^* \\eta(u_\\chi,u_{\\chi'}) = -\\eta(u_\\chi,u_{\\chi'})$.\n\\end{proof}\n\n\\begin{remark}\nBy \\cite[Prop. 5.4 and Prop. 6.1]{brunault:smf}, we have $\\{u_\\chi,u_{\\chi'}\\} \\in K_2(X_1(N)(\\mathbf{C})) \\otimes \\mathbf{C}$. This implies that for $\\gamma \\in H_1(Y_1(N)(\\mathbf{C}),\\mathbf{Z})$, the integral $\\int_\\gamma \\eta(u_{\\chi},u_{\\chi'})$ depends only on the image of $\\gamma$ in $H_1(X_1(N)(\\mathbf{C}),\\mathbf{Z})$ (see for example the discussion in \\cite[\\S 3]{dokchitser-dejeu-zagier}). Therefore, we have a well-defined map\n\\begin{equation*}\n\\int \\eta(u_{\\chi},u_{\\chi'}) : H_1(X_1(N)(\\mathbf{C}),\\mathbf{Z}) \\to \\mathbf{C}.\n\\end{equation*}\nIt can be extended by linearity to $H_1(X_1(N)(\\mathbf{C}),\\mathbf{C})$.\n\\end{remark}\n\n\\begin{remark}\\label{rem int eta}\nSince $c^* \\eta(u_\\chi,u_{\\chi'}) = -\\eta(u_\\chi,u_{\\chi'})$ by Lemma \\ref{lem ceta}, we have $\\int_\\gamma \\eta(u_\\chi,u_{\\chi'}) = \\int_{\\gamma^-} \\eta(u_\\chi,u_{\\chi'})$ with $\\gamma^- = \\frac12(\\gamma-c_* \\gamma)$.\n\\end{remark}\n\n\\section{Merel's formula}\n\nIn this section, we express the regulator integral appearing in the right hand side of (\\ref{explicit beilinson formula}) as a linear combination of periods. In order to do this, we use an idea of Merel to express the integral over $X_1(N)(\\mathbf{C})$ as a linear combination of products of $1$-dimensional integrals.\n\nLet $N \\geq 1$ be an integer. Let $E_N$ be the set of vectors $(u,v) \\in (\\mathbf{Z}\/N\\mathbf{Z})^2$ such that $(u,v,N)=1$. For any $f \\in S_2(\\Gamma_1(N))$ and any $x \\in E_N$, we define the \\emph{Manin symbol}\n\\begin{equation*}\n\\xi_f(x) = -\\frac{1}{2\\pi} \\langle \\xi(x),f \\rangle = -i \\int_{g_x 0}^{g_x \\infty} f(z) dz,\n\\end{equation*}\nwhere $g_x \\in \\SL_2(\\mathbf{Z})$ is any matrix whose bottom row is congruent to $x$ modulo $N$.\n\nLet $\\rho = e^{\\frac{\\pi i}{3}}$ and $\\sigma = \\begin{pmatrix} 0 & -1 \\\\ 1 & 0\\end{pmatrix}$, $\\tau= \\begin{pmatrix} 0 & -1 \\\\ 1 & -1 \\end{pmatrix}$, $T=\\begin{pmatrix} 1 & 1 \\\\ 0 & 1 \\end{pmatrix} \\in \\SL_2(\\mathbf{Z})$.\n\nThe following theorem is a variant of a theorem of Merel which expresses the Petersson scalar product of two cusp forms $f$ and $g$ of weight 2 as a linear combination of products of Manin symbols of $f$ and $g$ \\cite[Th\u00e9or\u00e8me 2]{merel:symbmanin}.\n\n\\begin{thm}\\label{thm reg eta}\nLet $f \\in S_2(\\Gamma_1(N))$ be a cusp form of weight 2 and level $N$, and let $u,v \\in \\mathcal{O}^\\times(Y_1(N)(\\mathbf{C}))$ be two modular units. We have\n\\begin{equation}\\label{eq reg eta}\n\\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f = \\frac{\\pi}{2} \\sum_{x \\in E_N} \\left(\\int_{g_x \\rho}^{g_x \\rho^2} \\eta(u,v) \\right) \\xi_f(x).\n\\end{equation}\n\\end{thm}\n\n\\begin{proof}[Proof]\nLet $\\mathcal{F}$ be the standard fundamental domain of $\\SL_2(\\mathbf{Z}) \\backslash \\mathfrak{H}$:\n\\begin{equation*}\n\\mathcal{F} = \\{z \\in \\mathfrak{H} : |\\mathrm{Re}(z)| \\leq \\frac12, |z| \\geq 1\\}.\n\\end{equation*}\nIts boundary $\\partial \\mathcal{F}$ is the hyperbolic triangle with vertices $\\rho^2,\\rho,\\infty$. Define\n\\begin{equation*}\nF_x(z) = \\int_\\infty^z \\omega_f | g_x \\qquad (x \\in E_N, z \\in \\mathfrak{H}).\n\\end{equation*}\nWe have\n\\begin{equation*}\n\\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f = \\sum_{x \\in E_N\/\\pm 1} \\int_{\\mathcal{F}} (\\eta(u,v) \\wedge \\omega_f) | g_x.\n\\end{equation*}\nSince $\\eta(u,v)$ is closed, we have $(\\eta(u,v) \\wedge \\omega_f) | g_x = -d(F_x \\cdot (\\eta(u,v)|g_x))$ and Stokes' formula gives\n\\begin{align}\n\\nonumber \\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f & = - \\sum_{x \\in E_N\/\\pm 1} \\int_{\\partial \\mathcal{F}} F_x \\cdot (\\eta(u,v)|g_x)\\\\\n\\label{eq int} & = - \\sum_{x \\in E_N\/\\pm 1} \\left(\\int_{\\rho^2}^\\rho + \\int_\\rho^\\infty + \\int_\\infty^{\\rho^2}\\right) F_x \\cdot (\\eta(u,v)|g_x).\n\\end{align}\nThe matrix $T$ fixes $\\infty$ and maps $\\rho^2$ to $\\rho$. We have\n\\begin{equation*}\nF_x(Tz) = \\int_\\infty^{Tz} \\omega_f | g_x = \\int_\\infty^{z} \\omega_f | g_x T = F_{xT}(z).\n\\end{equation*}\nIt follows that\n\\begin{align*}\n\\sum_{x \\in E_N\/\\pm 1} \\int_\\rho^\\infty F_x \\cdot (\\eta(u,v)|g_x) & = \\sum_{x \\in E_N\/\\pm 1} \\int_{\\rho^2}^\\infty F_x | T \\cdot (\\eta(u,v)|g_x T)\\\\\n& = \\sum_{x \\in E_N\/\\pm 1} \\int_{\\rho^2}^\\infty F_{xT} \\cdot (\\eta(u,v)|g_{xT})\\\\\n& = \\sum_{x \\in E_N\/\\pm 1} \\int_{\\rho^2}^\\infty F_x \\cdot (\\eta(u,v)|g_x).\n\\end{align*}\nHence (\\ref{eq int}) simplifies to\n\\begin{equation*}\n\\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f = \\sum_{x \\in E_N\/\\pm 1} \\int_{\\rho}^{\\rho^2} F_x \\cdot (\\eta(u,v)|g_x).\n\\end{equation*}\nSimilarly, let us use the matrix $\\sigma$, which exchanges $\\rho$ and $\\rho^2$, as well as $0$ and $\\infty$. Since $F_x(\\sigma z) = F_{x \\sigma}(z)+2\\pi \\xi_f(x)$, we get\n\\begin{equation*}\n\\int_{\\rho}^{\\rho^2} F_x \\cdot (\\eta(u,v)|g_x) = \\int_{\\rho^2}^{\\rho} F_{x\\sigma} \\cdot (\\eta(u,v)|g_{x\\sigma}) + 2\\pi \\xi_f(x) \\int_{\\rho^2}^{\\rho} \\eta(u,v) | g_x.\n\\end{equation*}\nSumming over $x$ and using the fact that $\\xi_f(x\\sigma)=-\\xi_f(x)$, we get\n\\begin{align*}\n\\int_{X_1(N)(\\mathbf{C})} \\eta(u,v) \\wedge \\omega_f & = \\frac12 \\sum_{x \\in E_N\/\\pm 1} 2\\pi \\xi_f(x) \\int_{\\rho^2}^{\\rho} \\eta(u,v) | g_{x\\sigma}\\\\\n& = \\pi \\sum_{x \\in E_N\/\\pm 1} \\xi_f(x) \\int_\\rho^{\\rho^2} \\eta(u,v) | g_{x}.\n\\end{align*}\n\\end{proof}\n\n\\begin{remark}\nIt can be shown that if $\\{u,v\\}$ defines an element in $K_2(X_1(N)(\\mathbf{C})) \\otimes \\mathbf{Q}$, then the cycle $\\sum_{x \\in E_N} \\left(\\int_{g_x \\rho}^{g_x \\rho^2} \\eta(u,v)\\right) \\xi(x)$ is \\emph{closed}. This follows from the fact that if $\\gamma_P$ denotes a small loop around a cusp $P$ of $X_1(N)(\\mathbf{C})$, then $\\int_{\\gamma_P} \\eta(u,v) = 2\\pi  \\log |\\partial_P(u,v)|$, where $\\partial_P(u,v)$ denotes the tame symbol of $\\{u,v\\}$ at $P$ (see for example \\cite[\\S 4, Lemma]{rodriguez:modular}).\n\\end{remark}\n\n\\begin{definition}\nLet $f \\in S_2(\\Gamma_1(N))$ be a cusp form of weight 2 and level $N$. Consider the following relative cycle on $Y_1(N)(\\mathbf{C})$:\n\\begin{equation*}\n\\gamma_f := \\sum_{x \\in E_N} \\xi_f(x) \\{g_x \\rho, g_x \\rho^2\\}.\n\\end{equation*}\nFurthermore, let us define $\\gamma_f^- := \\frac12 (\\gamma_f-c_* \\gamma_f)$.\n\\end{definition}\n\nCombining Theorem \\ref{explicit beilinson}, Theorem \\ref{thm reg eta} and Remark \\ref{rem int eta}, we get the following result.\n\n\\begin{thm}\\label{explicit beilinson 2}\nLet $f \\in S_2(\\Gamma_1(N),\\psi)$ be a newform of weight $2$, level $N$ and character $\\psi$. For any even primitive Dirichlet character $\\chi : (\\mathbf{Z}\/N\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$, with $\\chi \\neq \\overline{\\psi}$, we have\n\\begin{equation}\\label{explicit beilinson formula 2}\nL(f,2) L(f,\\chi,1) = \\frac{N \\pi^2 \\tau(\\chi)}{4 \\phi(N)} \\int_{\\gamma_f} \\eta(u_{\\overline{\\chi}},u_{\\psi\\chi}) = \\frac{N \\pi^2 \\tau(\\chi)}{4 \\phi(N)} \\int_{\\gamma_f^-} \\eta(u_{\\overline{\\chi}},u_{\\psi\\chi}).\n\\end{equation}\n\\end{thm}\n\nWe will also need an explicit expression of $\\gamma_f$ in terms of Manin symbols. For any $f \\in S_2(\\Gamma_1(N))$ and any $x=(u,v) \\in E_N$, let us define $x^c=(-u,v)$ and\n\\begin{equation*}\n\\xi_f^+(x) = \\frac12 (\\xi_f(x)+\\xi_f(x^c)) = \\frac12 (\\xi_f(x)+\\overline{\\xi_{f^*}(x)}),\n\\end{equation*}\nwhere $f^*$ denotes the cusp form with complex conjugate Fourier coefficients.\n\n\\begin{pro}\\label{pro gammaf}\nLet $f \\in S_2(\\Gamma_1(N))$ be a cusp form of weight $2$ and level $N$. The cycle $\\gamma_f$ is closed, and its image in $H_1(X_1(N)(\\mathbf{C}),\\mathbf{Z})$ can be expressed as follows:\n\\begin{equation}\\label{eq gammaf}\n\\gamma_f = -\\frac13 \\sum_{x \\in E_N} \\left(\\xi_f(x)+2\\xi_f(x \\tau)\\right) \\xi(x).\n\\end{equation}\nMoreover, we have\n\\begin{equation}\\label{eq gammaf 2}\n\\gamma_f^- = -\\frac13 \\sum_{x \\in E_N} \\left(\\xi_f^+(x)+2\\xi_f^+(x \\tau)\\right) \\xi(x).\n\\end{equation}\n\\end{pro}\n\n\\begin{proof}[Proof]\nLet us compute the boundary of $\\gamma_f$. Since $\\sigma(\\rho)=\\rho^2$ and $\\xi_f(x\\sigma)=-\\xi_f(x)$, we have\n\\begin{align*}\n\\partial \\gamma_f & = \\sum_{x \\in E_N} \\xi_f(x) ([g_x \\rho^2]-[g_x \\rho])\\\\\n& = \\sum_{x \\in E_N} \\xi_f(x) ([g_{x\\sigma} \\rho]-[g_x \\rho])\\\\\n& = -2 \\sum_{x \\in E_N} \\xi_f(x) [g_x \\rho].\n\\end{align*}\nSince $\\tau(\\rho)=\\rho$ and because of Manin's relation $\\xi_f(x)+\\xi_f(x\\tau)+\\xi_f(x\\tau^2)=0$, we get\n\\begin{align*}\n\\partial \\gamma_f & = -\\frac23 \\sum_{x \\in E_N} \\xi_f(x) ([g_x \\rho] + [g_{x \\tau} \\rho]+[g_{x \\tau^2} \\rho])\\\\\n& = -\\frac23 \\sum_{x \\in E_N} (\\xi_f(x)+\\xi_f(x \\tau)+\\xi_f(x \\tau^2)) [g_x \\rho] = 0.\n\\end{align*}\nOn the other hand, we have\n\\begin{align*}\n\\gamma_f & = \\sum_{x \\in E_N} \\xi_f(x) (\\{g_x \\rho, g_x \\infty\\}+ \\{g_x \\infty, g_x \\rho^2\\})\\\\\n& = \\sum_{x \\in E_N} \\xi_f(x) (\\{g_x \\rho, g_x \\infty\\} - \\sum_{x \\in E_N} \\xi_f(x) \\{g_x 0, g_x \\rho\\})\\\\\n& = 2 \\sum_{x \\in E_N} \\xi_f(x) \\{g_x \\rho, g_x \\infty\\} - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x).\n\\end{align*}\nUsing the matrix $\\tau$, we get\n\\begin{align*}\n\\gamma_f & = \\frac23 \\sum_{x \\in E_N} \\left(\\xi_f(x) \\{g_x \\rho, g_x \\infty\\}+\\xi_f(x\\tau) \\{g_{x\\tau} \\rho, g_{x\\tau} \\infty\\}+\\xi_f(x\\tau^2) \\{g_{x\\tau^2} \\rho, g_{x\\tau^2} \\infty\\}\\right) - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x)\\\\\n& = \\frac23 \\sum_{x \\in E_N} \\left(\\xi_f(x) \\{g_x \\rho, g_x \\infty\\}+\\xi_f(x\\tau) \\{g_{x} \\rho, g_{x} 0\\}+\\xi_f(x\\tau^2) \\{g_{x} \\rho, g_{x} 1\\}\\right) - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x)\\\\\n& = \\frac23 \\sum_{x \\in E_N} \\left(\\xi_f(x\\tau) \\{g_{x} \\infty, g_{x} 0\\}+\\xi_f(x\\tau^2) \\{g_{x} \\infty, g_{x} 1\\}\\right) - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x)\\\\\n& = \\frac23 \\sum_{x \\in E_N} \\left(-\\xi_f(x\\tau) \\xi(x) +\\xi_f(x\\tau^2) \\{g_{x\\tau^2} 0, g_{x\\tau^2} \\infty\\}\\right) - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x)\\\\\n& = \\frac23 \\sum_{x \\in E_N} \\left(-\\xi_f(x\\tau) \\xi(x) +\\xi_f(x) \\xi(x)\\right) - \\sum_{x \\in E_N} \\xi_f(x) \\xi(x)\\\\\n& = \\frac13 \\sum_{x \\in E_N} (\\xi_f(x) - 2 \\xi_f(x\\tau)) \\xi(x).\n\\end{align*}\nThis gives (\\ref{eq gammaf}). The action of complex conjugation on $\\gamma_f$ is given by\n\\begin{align*}\nc_* \\gamma_f & = \\sum_{x \\in E_N} \\xi_f(x) \\{c(g_x \\rho),c(g_x \\rho^2)\\}\\\\\n& = \\sum_{x \\in E_N} \\xi_f(x) \\{g_{x^c} \\rho^2,g_{x^c} \\rho\\}\\\\\n& = - \\sum_{x \\in E_N} \\xi_f(x^c) \\{g_x \\rho,g_x \\rho^2\\}.\n\\end{align*}\nIt follows that\n\\begin{equation*}\n\\gamma_f^- = \\sum_{x \\in E_N} \\xi_f^+(x) \\{g_x \\rho,g_x \\rho^2\\}.\n\\end{equation*}\nSince the quantities $\\xi_f^+(x)$ satisfy the Manin relations, the same proof as above gives (\\ref{eq gammaf 2}).\n\\end{proof}\n\n\\section{Proof of the main theorem}\n\nLet us return to the case $N=13$. Using Theorem \\ref{explicit beilinson 2} with $f=f_\\varepsilon$, $\\psi=\\varepsilon$ and $\\chi=\\varepsilon^3$, we get\n\\begin{equation}\\label{formula 1}\nL(f_\\varepsilon,2) L(f_\\varepsilon,\\varepsilon^3,1) = \\frac{13 \\pi^2 \\tau(\\varepsilon^3)}{48} \\int_{\\gamma_{f_\\varepsilon}^-} \\eta(u_{\\varepsilon^3},u_{{\\overline{\\varepsilon}}^2}).\n\\end{equation}\nWe are going to make explicit each term in this formula. Note that $\\tau(\\varepsilon^3)=\\sqrt{13}$.\n\n\\begin{definition}\nFor any Dirichlet character $\\psi : (\\mathbf{Z}\/13\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$, let us denote $\\mathcal{H}(\\psi)$ (resp. $\\hat{\\mathcal{H}}(\\psi)$) the $\\psi$-isotypical component of $\\mathcal{H} \\otimes \\mathbf{C}$ (resp. $\\hat{\\mathcal{H}} \\otimes \\mathbf{C}$) with respect to the action of diamond operators $\\langle d \\rangle_*$, $d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times$. For any $\\gamma \\in \\hat{\\mathcal{H}} \\otimes \\mathbf{C}$, let $\\gamma^\\psi$ denote its $\\psi$-isotypical component. Moreover, let us define $\\hat{\\mathcal{H}}^{\\pm}(\\psi) = (\\hat{\\mathcal{H}}^\\pm \\otimes \\mathbf{C}) \\cap \\hat{\\mathcal{H}}(\\psi)$ and $\\mathcal{H}^{\\pm}(\\psi) = (\\mathcal{H}^\\pm \\otimes \\mathbf{C}) \\cap \\mathcal{H}(\\psi)$.\n\\end{definition}\n\n\\begin{lem}\\label{lem Hpsi}\nLet $\\psi=\\varepsilon$ or $\\overline{\\varepsilon}$. Then $\\mathcal{H}^{\\pm}(\\psi)$ has dimension $1$, and a generator is given by\n\\begin{align*}\n\\gamma_\\psi^+ & := \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\xi(1,a)^\\psi\\\\\n\\gamma_\\psi^- & := \\xi(1,-3)^\\psi - \\xi(1,3)^\\psi.\n\\end{align*}\nMoreover, we have $W_{13} \\gamma_\\psi^+ = \\psi(2) \\gamma_{\\overline{\\psi}}^+$.\n\\end{lem}\n\n\\begin{proof}[Proof]\nThe pairing $\\langle \\cdot,\\cdot \\rangle$ induces a perfect pairing\n\\begin{equation*}\n\\mathcal{H}^{\\pm}(\\psi) \\times S_2(\\Gamma_1(13),\\psi) \\to \\mathbf{C}.\n\\end{equation*}\nSince $S_2(\\Gamma_1(13),\\psi)$ is $1$-dimensional, we get $\\dim_\\mathbf{C} \\mathcal{H}^{\\pm}(\\psi)=1$. From the definition, it is clear that $\\gamma_\\psi^+ \\in \\hat{\\mathcal{H}}^+(\\psi)$ and $\\gamma_\\psi^- \\in \\hat{\\mathcal{H}}^-(\\psi)$. Moreover, since $\\gamma_\\psi^- = \\gamma_3^\\psi$, we have $\\gamma_\\psi^- \\in \\mathcal{H}^-(\\psi)$.\n\nLet us compute the boundary of $\\gamma_\\psi^+$. For any $u,v \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times$, we have $\\partial \\xi(u,v) = P_u - P_v$ with $P_d:=\\langle d \\rangle(0)$. Moreover, for any $x \\in E_{13}$, we have\n\\begin{equation*}\n\\xi(x)^\\psi = \\frac{1}{12} \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\overline{\\psi}(d) \\langle d \\rangle_* \\xi(x) = \\frac{1}{12} \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\overline{\\psi}(d) \\xi(d x).\n\\end{equation*}\nIt follows that\n\\begin{align*}\n\\partial \\gamma_\\psi^+ & = \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\partial(\\xi(1,a)^\\psi)\\\\\n& = \\frac{1}{12} \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\overline{\\psi}(d) \\partial \\xi(d,da)\\\\\n& = \\frac{1}{12} \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\overline{\\psi}(d) (P_d-P_{da})\\\\\n& = \\frac{1}{12} \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\left(\\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a)-\\varepsilon^3\\psi(a)\\right)  \\overline{\\psi}(d) \\cdot P_d = 0.\n\\end{align*}\nHence $\\gamma_\\psi^+ \\in \\mathcal{H}^+(\\psi)$. By \\cite[Lemme 5]{rebolledo}, the elements $\\xi(1,0)^\\psi, \\xi(1,2)^\\psi, \\xi(1,3)^\\psi, \\xi(1,-3)^\\psi$ form a basis of $\\hat{\\mathcal{H}}(\\psi)$, and we can express $\\gamma_\\psi^+$ in terms of this basis. This gives\n\\begin{equation}\\label{eq gammapsi}\n\\gamma_\\psi^+ = (2-4\\psi(2)) \\xi(1,2)^\\psi + \\xi(1,3)^\\psi + \\xi(1,-3)^\\psi.\n\\end{equation}\nIn particular $\\gamma_\\psi^+$ and $\\gamma_\\psi^-$ are nonzero, and thus they generate $\\mathcal{H}^{\\pm}(\\psi)$.\n\nIt remains to compute the action of $W_{13}$ on $\\gamma_\\psi^+$. In view of (\\ref{eq gammapsi}), it is enough to determine the action of $W_{13}$ on $\\xi(1,2)$ and $\\xi(1,3)$. We have\n\\begin{align*}\nW_{13} \\xi(1,2) & = \\left\\{\\frac{2}{13},\\infty\\right\\} = \\left\\{\\frac{2}{13},\\frac{1}{6}\\right\\}+\\left\\{\\frac{1}{6},0\\right\\}+\\{0,\\infty\\}\\\\\n& = -\\xi(0,-6)+\\xi(1,-6)+\\xi(0,1).\n\\end{align*}\nHence, using \\cite[Lemme 5]{rebolledo} again, we get\n\\begin{align*}\nW_{13} (\\xi(1,2)^\\psi) & = -\\xi(0,-6)^{\\overline{\\psi}}+\\xi(1,-6)^{\\overline{\\psi}}+\\xi(0,1)^{\\overline{\\psi}}\\\\\n& = (\\overline{\\psi}(6)-1) \\xi(1,0)^{\\overline{\\psi}} - \\overline{\\psi}(6) \\xi(1,2)^{\\overline{\\psi}}.\n\\end{align*}\nSimilarly, we find\n\\begin{align*}\nW_{13} (\\xi(1,3)^\\psi) & = (\\overline{\\psi}(4)-1) \\xi(1,0)^{\\overline{\\psi}} - \\overline{\\psi}(4) \\xi(1,-3)^{\\overline{\\psi}}\\\\\nW_{13} (\\xi(1,-3)^\\psi) & = (\\overline{\\psi}(4)-1) \\xi(1,0)^{\\overline{\\psi}} - \\overline{\\psi}(4) \\xi(1,3)^{\\overline{\\psi}}.\n\\end{align*}\nSince we know that $W_{13} \\gamma_\\psi^+$ is a multiple of $\\gamma_{\\overline{\\psi}}^+$, we deduce $W_{13} \\gamma_\\psi^+ = -\\overline{\\psi}(4) \\gamma_{\\overline{\\psi}}^+ = \\psi(2) \\gamma_{\\overline{\\psi}}^+$.\n\\end{proof}\n\n\\begin{pro}\\label{pro Lfeps3}\nWe have $L(f_\\varepsilon,\\varepsilon^3,1)=\\frac{\\overline{\\varepsilon}(2)}{\\sqrt{13}} \\langle \\gamma_\\varepsilon^+, f_\\varepsilon \\rangle$.\n\\end{pro}\n\n\\begin{proof}[Proof]\nBy \\cite[Thm 4.2.b)]{manin}, we have\n\\begin{equation*}\nL(f_\\varepsilon,\\varepsilon^3,1) = \\frac{1}{\\sqrt{13}} \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\int_{a\/13}^{\\infty} \\omega_{f_\\varepsilon}.\n\\end{equation*}\nLet us compute the cycle $\\theta = \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\{\\frac{a}{13},\\infty\\}$ in terms of Manin symbols. We have\n\\begin{equation*}\nW_{13} (\\theta^\\varepsilon) = (W_{13} \\theta)^{\\overline{\\varepsilon}} = \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\left\\{-\\frac{1}{a},0\\right\\}^{\\overline{\\varepsilon}} = \\sum_{a \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} \\varepsilon^3(a) \\xi(1,a)^{\\overline{\\varepsilon}} = \\gamma_{\\overline{\\varepsilon}}^+.\n\\end{equation*}\nBy Lemma \\ref{lem Hpsi}, it follows that\n\\begin{equation*}\n\\langle \\theta, f_\\varepsilon \\rangle = \\langle \\theta^\\varepsilon, f_\\varepsilon \\rangle = \\langle W_{13}(\\gamma_{\\overline{\\varepsilon}}^+), f_\\varepsilon \\rangle = \\overline{\\varepsilon}(2) \\langle \\gamma_\\varepsilon^+, f_\\varepsilon \\rangle.\n\\end{equation*}\n\\end{proof}\n\n\\begin{pro}\\label{pro gammafeps}\nWe have $\\gamma_{f_\\varepsilon}^- = \\frac{1-2\\zeta_6}{\\pi} \\langle \\gamma_\\varepsilon^+, f_\\varepsilon \\rangle \\cdot \\gamma_{\\overline{\\varepsilon}}^-$.\n\\end{pro}\n\n\\begin{proof}[Proof]\nBy Proposition \\ref{pro gammaf}, we have\n\\begin{equation*}\n\\gamma_{f_\\varepsilon}^- = - \\frac13 \\sum_{x \\in E_{13}} (\\xi_{f_\\varepsilon}^+(x)+2\\xi_{f_\\varepsilon}^+(x\\tau)) \\xi(x).\n\\end{equation*}\nThis sum involves 168 terms, but we may reduce it to 14 terms by considering the action of diamond operators. Let $\\mathcal{E}$ be the set of 2-tuples $(0,1)$ and $(1,v)$, $v \\in \\mathbf{Z}\/13\\mathbf{Z}$. We have\n\\begin{align*}\n\\gamma_{f_\\varepsilon}^- & = - \\frac13 \\sum_{x \\in \\mathcal{E}} \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} (\\xi_{f_\\varepsilon}^+(dx)+2\\xi_{f_\\varepsilon}^+(dx\\tau)) \\xi(dx)\\\\\n& = - \\frac13 \\sum_{x \\in \\mathcal{E}} \\sum_{d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times} (\\xi_{f_\\varepsilon}^+(x)+2\\xi_{f_\\varepsilon}^+(x\\tau)) \\cdot \\varepsilon(d) \\langle d \\rangle_* \\xi(x)\\\\\n& = -4 \\sum_{x \\in \\mathcal{E}} (\\xi_{f_\\varepsilon}^+(x)+2\\xi_{f_\\varepsilon}^+(x\\tau)) \\xi(x)^{\\overline{\\varepsilon}}.\n\\end{align*}\nA simple computation shows that the terms $x=(0,1)$ and $x=(1,0)$ cancel each other. Hence\n\\begin{equation*}\n\\gamma_{f_\\varepsilon}^- = -4 \\sum_{v \\in (\\mathbf{Z}\/13\\mathbf{Z})^{*}} \\bigl(\\xi^{+}_{f_{\\varepsilon}}(1,v)+2 \\varepsilon(v) \\xi^{+}_{f_{\\varepsilon}}(1,1+\\frac{1}{v})\\bigr) \\cdot \\xi(1,v)^{{\\overline{\\varepsilon}}}.\n\\end{equation*}\nUsing \\cite[Lemme 5]{rebolledo}, we may express $\\xi_{f_\\varepsilon}^+(1,v)$, $v \\neq 0$ in terms of $\\xi_{f_\\varepsilon}^+(1,2)$ and $\\xi_{f_\\varepsilon}^+(1,3)$. We find $\\xi^{+}_{f_{\\varepsilon}}(1,-v) = \\xi^{+}_{f_{\\varepsilon}}(1,v)$ and\n\\begin{align*}\n\\xi^{+}_{f_{\\varepsilon}}(1,1) & = 0 & \\xi^{+}_{f_{\\varepsilon}}(1,4) & = (1-\\zeta_{6})\n\\xi^{+}_{f_{\\varepsilon}}(1,3)\\\\\n\\xi^{+}_{f_{\\varepsilon}}(1,5) & = (\\zeta_{6}-1) \\bigl(\\xi^{+}_{f_{\\varepsilon}}(1,2) -\n\\xi^{+}_{f_{\\varepsilon}}(1,3)\\bigr) &  \\xi^{+}_{f_{\\varepsilon}}(1,6)& = (\\zeta_{6}-1) \\xi^{+}_{f_{\\varepsilon}}(1,2).\n\\end{align*}\nMoreover, also by \\cite[Lemme 5]{rebolledo}, the cycles $\\xi(1,v)^{\\overline{\\varepsilon}}$, $v \\neq 0$, are linear combinations of $\\xi(1,2)^{\\overline{\\varepsilon}}$, $\\xi(1,3)^{\\overline{\\varepsilon}}$ and $\\xi(1,-3)^{\\overline{\\varepsilon}}$. Thus the same is true for $\\gamma_{f_\\varepsilon}^-$. But we know that $\\gamma_{f_\\varepsilon}^-$ is a multiple of $\\gamma^{-}_{{\\overline{\\varepsilon}}} = \\xi(1,3)^{{\\overline{\\varepsilon}}}-\\xi(1,-3)^{{\\overline{\\varepsilon}}}$. It is thus enough to compute the coefficient in front of $\\xi(1,3)^{{\\overline{\\varepsilon}}}$, which leads to the identity\n\\begin{equation*}\n\\gamma_{f_\\varepsilon}^- = \\left(12\\xi^{+}_{f_{\\varepsilon}}(1,2)+(8\\zeta_{6}-4) \\xi^{+}_{f_{\\varepsilon}}(1,3)\\right) \\cdot \\gamma^-_{\\overline{\\varepsilon}}.\n\\end{equation*}\nUsing (\\ref{eq gammapsi}) with $\\psi=\\varepsilon$, we get the proposition.\n\\end{proof}\n\nConsider the modular units $x=W_{13}(h)$ and $y=W_{13}(H)$.\n\n\\begin{pro}\\label{pro etaxy}\nWe have $\\int_{\\gamma_{\\overline{\\varepsilon}}^-} \\eta(x,y) = \\frac{13^2 \\sqrt{13}}{48}(1+\\zeta_6) \\tau(\\varepsilon^2) \\int_{\\gamma_{\\overline{\\varepsilon}}^-} \\eta(u_{\\varepsilon^3},u_{{\\overline{\\varepsilon}}^2})$.\n\\end{pro}\n\n\\begin{proof}[Proof]\nSince $h$ and $H$ are supported in the cusps above $0 \\in X_0(13)(\\mathbf{Q})$, it follows that $x$ and $y$ are supported in the cusps above $\\infty \\in X_0(13)(\\mathbf{Q})$, namely the cusps $\\langle d \\rangle \\infty$, $d \\in (\\mathbf{Z}\/13\\mathbf{Z})^\\times\/\\pm 1$. The method of proof is simple : we decompose the divisors of $x$ and $y$ as linear combinations of Dirichlet characters.\n\nLet us write $\\begin{pmatrix} n_1 & n_2 & \\cdots & n_6 \\end{pmatrix}$ for the divisor $\\sum_{d=1}^6 n_d \\cdot \\langle d \\rangle \\infty$. By \\cite[p. 56]{lecacheux:13}, we have\n\\begin{align*}\n\\dv(x) & = \\begin{pmatrix} 0 & 1 & 1 & -1 & 0 & -1 \\end{pmatrix}\\\\\n\\dv(y) & = \\begin{pmatrix} 1 & -1 & 1 & 1 & -1 & -1 \\end{pmatrix}.\n\\end{align*}\nThe divisors of $u_{\\varepsilon^3}$ and $u_{{\\overline{\\varepsilon}}^2}$ are given by \\cite[Prop 5.4]{brunault:smf}. We have\n\\begin{equation*}\n\\dv (u_{\\varepsilon^{3}}) = -\\frac{L(\\varepsilon^{3},2)}{\\pi^{2}} \\cdot \\begin{pmatrix} 1 & -1 & 1 & 1 & -1 & -1 \\end{pmatrix} = -\\frac{4 \\sqrt{13}}{13^{2}} \\dv (y).\n\\end{equation*}\nSince the divisor of $x$ is invariant under the diamond operator $\\langle 5 \\rangle$, it is a linear combination of $\\dv(u_{\\varepsilon^2})$ and $\\dv(u_{{\\overline{\\varepsilon}}^2})$. We find explicitly\n\\begin{align*}\n\\dv(x) & = \\frac{1-2\\zeta_{6}}{3} \\Bigl(\\frac{\\dv(u_{\\varepsilon^{2}})}{L(\\varepsilon^{2},2)\/\\pi^{2}} - \\frac{\\dv(u_{{\\overline{\\varepsilon}}^{2}})}{L({\\overline{\\varepsilon}}^{2},2)\/\\pi^{2}}\\Bigr)\\\\\n& = \\frac{13}{12} \\bigl((2-\\zeta_{6}) \\tau({\\overline{\\varepsilon}}^{2}) \\dv(u_{\\varepsilon^{2}}) + (1+\\zeta_{6})\n\\tau(\\varepsilon^{2}) \\dv(u_{{\\overline{\\varepsilon}}^{2}})\\bigr).\n\\end{align*}\nHere we have used the classical formula \\cite[(1.80) and (3.87)]{cartier}\n\\begin{equation*}\n\\frac{L(\\chi,2)}{\\pi^2} = \\frac{\\tau(\\chi)}{N} \\sum_{a=0}^{N-1} {\\overline{\\chi}}(a) B_2\\left(\\frac{a}{N}\\right)\n\\end{equation*}\nwhere $\\chi$ is an even non-trivial Dirichlet character modulo $N$, and $B_2(x)=x^2-x+\\frac16$ is the second Bernoulli polynomial.\n\nConsidering $u_{\\varepsilon^3}$ and $u_{{\\overline{\\varepsilon}}^2}$ as elements of $\\mathcal{O}^{*}(Y_{1}(13)(\\mathbf{C})) \\otimes\n\\mathbf{C}$ and following the notations of \\cite[(65)]{brunault:smf}, we have $\\widehat{u_{\\varepsilon^3}}(\\infty)=\\widehat{u_{{\\overline{\\varepsilon}}^2}}(\\infty)=1$ by \\cite[Prop. 5.3]{brunault:smf}. Moreover, looking at the behaviour of $x$ and $y$ at $\\infty$, we find $x(\\infty)=1$ and $\\widehat{y}(\\infty)=-1$. Hence $x \\otimes 1$ can be expressed as a linear combination of $u_{\\varepsilon^2}$ and $u_{{\\overline{\\varepsilon}}^2}$ in $\\mathcal{O}^{*}(Y_{1}(13)(\\mathbf{C})) \\otimes\n\\mathbf{C}$, while $y \\otimes 1$ is proportional to $u_{\\varepsilon^3}$. Thus\n\\begin{equation*}\n\\eta(x,y) = -\\frac{13^2}{4 \\sqrt{13}} \\cdot \\frac{13}{12} \\left((2-\\zeta_{6}) \\tau({\\overline{\\varepsilon}}^{2}) \\eta(u_{\\varepsilon^{2}},u_{\\varepsilon^3}) + (1+\\zeta_{6}) \\tau(\\varepsilon^{2}) \\eta(u_{{\\overline{\\varepsilon}}^{2}},u_{\\varepsilon^3})\\right).\n\\end{equation*}\nSince the differential form $\\eta(u_{\\varepsilon^2},u_{\\varepsilon^3})$ has character $\\varepsilon$, we have $\\int_{\\gamma_{{\\overline{\\varepsilon}}}^-} \\eta(u_{\\varepsilon^2},u_{\\varepsilon^3}) = 0$, and the proposition follows.\n\\end{proof}\n\n\\begin{proof}[Proof of Theorem \\ref{main thm}]\nCombining (\\ref{formula 1}) with Propositions \\ref{pro Lfeps3}, \\ref{pro gammafeps}, \\ref{pro etaxy}, we get\n\\begin{equation}\\label{formula 2}\nL(f_\\varepsilon,2) = \\frac{\\pi}{\\sqrt{13}} \\cdot \\frac{1-\\zeta_6}{\\tau(\\varepsilon^2)} \\int_{\\gamma_{{\\overline{\\varepsilon}}}^-} \\eta(x,y).\n\\end{equation}\nFormula (\\ref{formula 2}) simplifies if we use the functional equation of $L(f_\\varepsilon,s)$. Recall that $W_{13}(f_\\varepsilon) = w f_{{\\overline{\\varepsilon}}}$. Let $\\Lambda(f,s):=13^{s\/2} (2\\pi)^{-s} \\Gamma(s) L(f,s)$. Then the functional equation of $L(f_\\varepsilon,s)$ reads\n\\begin{equation*}\n\\Lambda(f_\\varepsilon,s) = -w \\Lambda(f_{{\\overline{\\varepsilon}}},2-s).\n\\end{equation*}\nUsing (\\ref{eq w}), we deduce that\n\\begin{equation*}\nL(f_\\varepsilon,2) = \\frac{4\\pi^2}{13^2} (4-3\\zeta_6) \\tau(\\varepsilon) L'(f_{\\overline{\\varepsilon}},0).\n\\end{equation*}\nReplacing in (\\ref{formula 2}) and using $\\tau(\\varepsilon^2) \\tau(\\varepsilon) = (4\\zeta_6-3) \\sqrt{13}$, we get\n\\begin{equation}\\label{formula 3}\n\\int_{\\gamma_{\\overline{\\varepsilon}}^-} \\eta(x,y) = 4\\pi (\\zeta_6-1) L'(f_{\\overline{\\varepsilon}},0).\n\\end{equation}\nTaking complex conjugation, and since $\\overline{\\eta(x,y)}=\\eta(x,y)$, we obtain\n\\begin{equation}\\label{formula 4}\n\\int_{\\gamma_\\varepsilon^-} \\eta(x,y) = -4\\pi \\zeta_6 L'(f_\\varepsilon,0).\n\\end{equation}\nWe have a direct sum decomposition $\\mathcal{H}^- \\otimes \\mathbf{C} = \\mathcal{H}^-(\\varepsilon) \\oplus \\mathcal{H}^-({\\overline{\\varepsilon}})$. Write $\\gamma_3 = \\gamma_3^\\varepsilon + \\gamma_3^{{\\overline{\\varepsilon}}}$. Then $\\gamma_4 = \\langle 2 \\rangle_* \\gamma_3 = \\varepsilon(2) \\gamma_3^\\varepsilon + {\\overline{\\varepsilon}}(2) \\gamma_3^{\\overline{\\varepsilon}}$. By Proposition \\ref{pro W13gamma0}, we deduce\n\\begin{equation*}\nW_{13} \\gamma_P = \\gamma_4 - \\gamma_3 = (\\zeta_6-1) \\gamma_3^\\varepsilon + (\\overline{\\zeta_6}-1) \\gamma_3^{\\overline{\\varepsilon}} = (\\zeta_6-1) \\gamma_\\varepsilon^- + (\\overline{\\zeta_6}-1) \\gamma_{\\overline{\\varepsilon}}^-.\n\\end{equation*}\nBy (\\ref{formula 3}) and (\\ref{formula 4}), we then have\n\\begin{align*}\n\\int_{W_{13} \\gamma_P} \\eta(x,y) & = (\\zeta_6-1) \\int_{\\gamma_\\varepsilon^-} \\eta(x,y) + (\\overline{\\zeta_6}-1) \\int_{\\gamma_{\\overline{\\varepsilon}}^-} \\eta(x,y)\\\\\n& = 4\\pi (L'(f_\\varepsilon,0) + L'(f_{\\overline{\\varepsilon}},0)).\n\\end{align*}\nBy Proposition \\ref{pro deninger}, we conclude that\n\\begin{equation*}\nm(P)=\\frac{1}{2\\pi} \\int_{\\gamma_P} \\eta(h,H) = \\frac{1}{2\\pi} \\int_{W_{13} \\gamma_P} \\eta(x,y) = 2 L'(f,0).\n\\end{equation*}\n\\end{proof}\n\n\\begin{remark}\nThere may have been a quicker way to proceed. Starting from Theorem \\ref{explicit beilinson} in the particular case $N=13$, probably all we need is a symplectic basis of $H_1(X_1(13)(\\mathbf{C}),\\mathbf{Z})$ with respect to the intersection pairing (see the formula \\cite[A.2.5]{bost}). But this is less canonical than Theorem \\ref{thm reg eta}.\n\\end{remark}\n\n\\begin{remark}\nAnother way of proving Theorem \\ref{main thm} would be to use the main formula of \\cite{zudilin}. We have not worked out the details of this computation.\n\\end{remark}\n\n\\begin{question}\nLet $g = f | \\langle 2 \\rangle = \\zeta_6 f_\\varepsilon+ \\overline{\\zeta_6} f_{\\overline{\\varepsilon}}$. Then $(f,g)$ is a basis of the space $S_2(\\Gamma_1(13),\\mathbf{Q})$ of cusp forms with rational Fourier coefficients. Is there a polynomial $Q \\in \\mathbf{Z}[x,y]$ such that $m(Q)$ is proportional to $L'(g,0)$?\n\\end{question}\n\n\\section{Examples in higher level}\n\nWe note that the functions $H$ and $h$ used in the proof of Theorem \\ref{main thm} are modular units on $X_1(13)$ and that $P$ is their minimal polynomial. There is a similar story for the modular curve $X_1(11)$ \\cite[Cor 3.3]{brunault:cras} and we may try to generalize this phenomenon.\n\nLet $N \\geq 1$ be an integer, and let $u$ and $v$ be two modular units on $X_1(N)$. Let $P \\in \\mathbf{C}[x,y]$ be an irreducible polynomial such that $P(u,v)=0$. Then the map $z \\mapsto (u(z),v(z))$ is a modular parametrization of the curve $C_P : P(x,y)=0$ and we have a natural map $Y_1(N) \\to C_P$. Assuming $P$ satisfies Deninger's conditions, we may express $m(P)$ in terms of the integral of $\\eta(u,v)$ over a (non necessarily closed) cycle $\\gamma_P$.\n\nThe most favourable case is when the curve $C_P$ intersects the torus $T^2 = \\{|x|=|y|=1\\}$ only at cusps. In this case $\\gamma_P$ is a modular symbol and we may use \\cite{zudilin} to compute $\\int_{\\gamma_P} \\eta(u,v)$ in terms of special values of $L$-functions.\n\nIn this section, we work out this idea for some examples of increasing complexity. We work with the modular units provided by \\cite{yang}. These modular units are supported on the cusps above $\\infty \\in X_0(N)$, so that \\cite[Prop 6.1]{brunault:smf} implies that $P$ is automatically tempered.\n\nIn all examples below, we found that $\\gamma_P$ can be written as the sum of a closed path $\\gamma_0$ and a path $\\gamma_1$ joining cusps. The integral of $\\eta(u,v)$ over $\\gamma_1$ can be computed using \\cite[Thm 1]{zudilin}. The integral of $\\eta(u,v)$ over $\\gamma_0$ can be dealt with using either \\cite[Thm 1]{zudilin} or the explicit version of Beilinson's theorem -- we have not carried out the details of the computation. So in order to establish the identities below rigorously, it only remains to express $\\gamma_0$ in terms of modular symbols and to compute $\\int_{\\gamma_0} \\eta(u,v)$ using the tools explained above.\n\nIt would be interesting to understand when the identities obtained involve cusp forms (like (\\ref{eq mP16})), are of Dirichlet type (like (\\ref{eq mP18})), or of mixed type (like (\\ref{eq mP25})). In the general case, it would be also interesting to find conditions on the modular units $u$ and $v$ so that the boundary of $\\gamma_P$ consists of cusps or other interesting points.\n\n\\subsection{$N=16$}\n\nThe modular curve $X_1(16)$ has genus 2 and has been studied in \\cite{lecacheux:16}. Let $u$ and $v$ be the following modular units:\n\\begin{align*}\nu & = q \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 1,\\pm 5 (16)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 3,\\pm 7 (16)}} (1-q^n)\\\\\nv & = q \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 14 (16)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 10(16)}} (1-q^n).\n\\end{align*}\nTheir minimal polynomial is given by\n\\begin{equation*}\nP_{16} = y-x-xy-xy^2+x^2y+xy^3.\n\\end{equation*}\nThis polynomial vanishes on the torus at the points $(x,y)=(1,1)$, $(1,\\pm i)$, $(-1,-1)$, but the Deninger cycle $\\gamma_{P_{16}}$ is \\emph{closed}. So we may expect that $m(P_{16})$ is equal to $L'(f,0)$ for some cusp form $f$ of level $16$ with rational coefficients. Indeed, we find numerically\n\\begin{equation}\\label{eq mP16}\nm(P_{16}) \\stackrel{?}{=} L'(f,0)\n\\end{equation}\nwhere $f$ is the trace of the unique newform of weight $2$ and level $16$, having coefficients in $\\mathbf{Z}[i]$.\n\n\\subsection{$N=18$}\n\nThe modular curve $X_1(18)$ has genus $2$ and has been studied in \\cite{lecacheux:18}. It has 3 cusps above $\\infty$, so we may form essentially two modular units supported on these cusps. Let $u$ and $v$ be the following modular units:\n\\begin{align*}\nu & = q^3 \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 1,\\pm 2 (18)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 7,\\pm 8 (18)}} (1-q^n)\\\\\nv & = q^2 \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 1,\\pm 4 (18)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 5, \\pm 8 (18)}} (1-q^n).\n\\end{align*}\nTheir minimal polynomial is given by\n\\begin{equation*}\nP_{18} = -x^2+y^3+xy^2-x^2y+x^2y^2-x^3y^2.\n\\end{equation*}\nThis polynomial vanishes on the torus at the points $(x,y)=(1,\\pm 1)$, $(-1,\\pm 1)$, $(\\zeta_6^2,\\zeta_6)$ and $(\\overline{\\zeta_6}^2,\\overline{\\zeta_6})$ with $\\zeta_6=e^{2\\pi i\/6}$. The points $(\\zeta_6^2,\\zeta_6)$ and $(\\overline{\\zeta_6}^2,\\overline{\\zeta_6})$ correspond respectively to the cusps $\\frac16$ and $-\\frac16$, and the Deninger cycle $\\gamma_{P_{18}}$ is given by $\\gamma_0+\\{-\\frac16,\\frac16\\}$, where $\\gamma_0$ is a closed cycle. Using \\cite[Thm 1]{zudilin}, we find\n\\begin{equation*}\n\\int_{-1\/6}^{1\/6} \\eta(u,v) = \\frac{1}{4\\pi} L(F,2)\n\\end{equation*}\nwhere $F$ is a modular form of weight 2 and level (at most) $18^2$. Actually $F$ has level $18$ and \\cite[Thm 1]{zudilin} simplifies if we use the functional equation $L(F,2)=-\\frac{2\\pi^2}{9} L'(W_{18} F,0)$. In fact \\cite[Lemma 2]{zudilin} guarantees that $W_{18} F$ will be a modular form with \\emph{integral} Fourier coefficients. In this case, we find\n\\begin{equation*}\nW_{18} F = -36 E_2^{\\psi}\n\\end{equation*}\nwhere $E_2^{\\psi} = \\sum_{n = 1}^\\infty (\\sum_{d | n} d) \\psi(n) q^n$ is an Eisenstein series of level $9$, and $\\psi : (\\mathbf{Z}\/3\\mathbf{Z})^\\times \\to \\{\\pm 1\\}$ is the unique Dirichlet character of conductor $3$. Since $L(E_2^{\\psi},s)=L(\\psi,s) L(\\psi,s-1)$, we may expect that $m(P_{18})$ involves $L$-values of Dirichlet characters. Indeed, we find numerically\n\\begin{equation}\\label{eq mP18}\nm(P_{18}) \\stackrel{?}{=} 2 L'(\\psi,-1).\n\\end{equation}\n\n\n\\subsection{$N=25$}\n\nThe modular curve $X_1(25)$ has genus 12 and the quotient $X=X_1(25)\/\\langle 7 \\rangle$ has genus $4$. The curve $X$ and its modular units have been studied by Lecacheux \\cite{lecacheux:25} and Darmon \\cite{darmon:X1_25}. Consider the following modular units:\n\\begin{align*}\nu & = q \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 3,\\pm 4 (25)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 2,\\pm 11 (25)}} (1-q^n)\\\\\nv & = q^{-1} \\prod_{\\substack{n \\geq 1\\\\ n \\equiv \\pm 9,\\pm 12 (25)}} (1-q^n) \/ \\prod_{\\substack{n \\geq 1 \\\\ n \\equiv \\pm 6,\\pm 8 (25)}} (1-q^n).\n\\end{align*}\nTheir minimal polynomial is given by\n\\begin{equation*}\nP_{25}=y^2 x^4 + (y^3 + y^2) x^3 + (3y^3 - y^2 - 2y)x^2 + (y^4 - 4y^2 + y - 1)x - y^3.\n\\end{equation*}\nThis polynomial vanishes on the torus at the points $(x,y)=(\\zeta,-\\zeta)$ for each primitive $5$-th root of unity $\\zeta$. These points are cusps: letting $\\zeta_5=e^{2\\pi i\/5}$, we have\n\\begin{align*}\nu(1\/5) & =\\zeta_5^2=-v(1\/5) & u(-1\/5) & =\\zeta_5^{-2} = -v(-1\/5)\\\\\nu(2\/5) & =\\zeta_5=-v(2\/5) & u(-2\/5) & =\\zeta_5^{-1} = -v(-2\/5).\n\\end{align*}\nThe Deninger cycle associated to $P_{25}$ is given by $\\gamma_{P_{25}}=\\gamma_0+\\gamma_1$ where $\\gamma_0$ is a closed cycle and $\\gamma_1 = \\left\\{\\frac15,-\\frac15\\right\\}+ \\left\\{-\\frac25,\\frac25\\right\\}$. Using \\cite[Thm 1]{zudilin}, we get\n\\begin{equation*}\n\\int_{\\gamma_1} \\eta(u,v) = \\frac{1}{4\\pi} L(F,2)\n\\end{equation*}\nwhere $F$ is a modular form of weight 2 and level 25. This time $F$ is a linear combination of newforms and Eisenstein series. Let $\\varepsilon : (\\mathbf{Z}\/25\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$ be the unique Dirichlet character such that $\\varepsilon(2)=\\zeta_5$. A basis of eigenforms of $\\Omega^1(X) \\otimes \\mathbf{C}$ is given by newforms $(f_a)_{a \\in (\\mathbf{Z}\/5\\mathbf{Z})^\\times}$ having Fourier coefficients in $\\mathbf{Q}(\\zeta_5)$ and forming a single Galois orbit. The newform $f_a$ has character $\\varepsilon^a$ and for any $\\sigma \\in \\Gal(\\mathbf{Q}(\\zeta_5)\/\\mathbf{Q})$, we have $\\sigma(f_a) = f_{\\chi(\\sigma) a}$ where $\\chi$ is the cyclotomic character. Moreover, let $\\psi : (\\mathbf{Z}\/5\\mathbf{Z})^\\times \\to \\mathbf{C}^\\times$ be the Dirichlet character defined by $\\psi(2)=i$. Then $W_{25} F$ has integral coefficients and is given by\n\\begin{equation*}\nW_{25} F = -10 \\operatorname{Tr}_{\\mathbf{Q}(\\zeta_5)\/\\mathbf{Q}} (\\lambda f_1) - 25(1+i) E_2^{\\psi,\\overline{\\psi}} - 25 (1-i) E_2^{\\overline{\\psi},\\psi}\n\\end{equation*}\nwhere $\\lambda = 2\\zeta_5+\\zeta_5^{-1}+2\\zeta_5^{-2}$ and $E_2^{\\psi,\\overline{\\psi}}$ is the Eisenstein series defined by\n\\begin{equation*}\nE_2^{\\psi,\\overline{\\psi}} = \\sum_{m,n=1}^\\infty m \\overline{\\psi}(m) \\psi(n) q^{mn}.\n\\end{equation*}\nWe may therefore expect $m(P_{25})$ being a linear combination of $L'(\\psi,-1)$, $L'(\\overline{\\psi},-1)$ and $L'(f,0)$, where $f$ is a cusp form with rational Fourier coefficients. Indeed, we find numerically\n\\begin{equation}\\label{eq mP25}\nm(P_{25}) \\stackrel{?}{=} L'(f,0) + \\frac{1+2i}{5} L'(\\overline{\\psi},-1) + \\frac{1-2i}{5} L'(\\psi,-1)\n\\end{equation}\nwhere\n\\begin{equation*}\nf =\\frac15 \\operatorname{Tr}((2+\\zeta_5+2\\zeta_5^{-2}) f_1) = q + q^2-q^3-q^4-3q^5-2q^9+3q^{10}+4q^{11}+O(q^{12}).\n\\end{equation*}\n\n\\bibliographystyle{smfplain}   \n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Preliminaries}\n\nA linear code of length $n$ over a finite field $\\mathbb{F}$ is a subspace\nof $\\mathbb{F}^{n}.$ An Additive code of length $n$ over a finite field $%\n\\mathbb{F}$ is a subgroup of $\\mathbb{F}^{n}.$ Additive codes over the\nfinite field $\\mathbb{F}_{4}=\\left\\{ 0,1,\\alpha ,\\alpha ^{2}\\right\\} $ where \n$\\alpha ^{2}+\\alpha +1=0$ were introduced in \\cite{Calderbank1998} because\nof their applications in quantum computing. Define the mapping $T:\\mathbb{F}%\n_{4}^{n}\\rightarrow \\mathbb{F}_{4}^{n}$ by $T\\left( \\left(\nc_{0},c_{1},\\ldots ,c_{n-1}\\right) \\right) =\\left(\nc_{n-1},c_{0},c_{1},\\ldots ,c_{n-2}\\right) .$ Cyclic additive codes over $%\n\\mathbb{F}_{4}^{n}$ are additive codes over $\\mathbb{F}_{4}^{n}$ such that\nif $c=\\left( c_{0},c_{1},\\ldots ,c_{n-1}\\right) \\in C,$ then $T\\left(\nc\\right) \\in C.$\n\nLet $C$ be a linear code over a finite field $\\mathbb{F}.$ Right and left\nlinear polycyclic codes over finite fields were introduced in \\cite%\n{Sergio2009}. These codes are generalization of cyclic codes over finite\nfields. Their properties and structures are studied in details in (\\cite%\n{Sergio2009},\\cite{Matsuoka2012},\\cite{Adel2016},\\cite{Huffman2007}).\n\nIn this paper, we are interested in studying the structure and the properties\nof additive right and left polycyclic codes induced by a binary vector $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}.$ In this work, we consider the important special case where the  vector $a$ has all binary entries. Useful results are obtained in this special case both in terms of the structure of the codes and obtaining codes with good parameters.\nWe  give the definition of these codes, study their properties and find\ntheir generator polynomials and their cardinality. We  also\nstudy different duals of these codes and show that if $C$ is a right\npolycyclic code induced by a vector $a\\in \\mathbb{F}_{2}^{n}$, then the\nHermitian dual of $C$ is a sequential code induced by $a.$ As an application\nof our study, we present examples of codes with good parameters. We have\nthree sets of examples. One is a set of additive polycyclic codes that\ncontain more codewords (twice as many) than comparable optimal linear codes\nover $\\mathbb{F}_{4}$ with the same length and the minimum distance. Another\none is a set of best known binary linear codes, most of which are also\noptimal, that are obtained from additive right polycyclic codes over $%\n\\mathbb{F}_{4}$ via certain maps. And the third is a set of optimal quantum\ncodes according to the database \\cite{database} obtained from\nadditive polycyclic codes. \n\n\\section{Introduction}\n\nConsider the finite filed $\\mathbb{F}_{4}=\\left\\{ 0,1,\\alpha ,\\alpha\n^{2}\\right\\} $ where $\\alpha ^{2}+\\alpha +1=0.$ An additive code $C$ of\nlength $n$ over $\\mathbb{F}_{4}$ is a subgroup of $(\\mathbb{F}_{4}^{n},+).$\n\n\\begin{definition}\n\\label{Defn Right polycyclic}Let $C$ be an additive code over $\\mathbb{F}_{4}\n$ and let $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}$.  $C$ is called\nan additive right polycyclic code induced by $a$, if for any  $c=\\left( c_{0},c_{1},\\ldots ,c_{n-1}\\right) \\in C$, we have \n\\[\n\\left( 0,c_{0},c_{1},\\ldots ,c_{n-2}\\right) +c_{n-1}\\left(\na_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in C.\n\\]\n\\end{definition}\n\n\\begin{definition}\n\\label{Defn Left polycyclic}Let $C$ be an additive code over $\\mathbb{F}_{4}\n$ and let $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}$.  $C$ is called\nan additive left polycyclic code induced by $a$, if for any  $c=\\left( c_{0},c_{1},\\ldots ,c_{n-1}\\right) \\in C$, we have \n\\[\n\\left( c_{1},c_{2},\\ldots ,c_{n-1},0\\right) +c_{0}\\left( a_{0},a_{1},\\ldots\n,a_{n-1}\\right) \\in C.\n\\]\n\\end{definition}\n\nNotice that if $a=\\left( 1,0,0,\\ldots ,0\\right) ,$ then right polycyclic\ncodes induced by $a$ are just the familiar cyclic codes.\n\nSuppose that $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}%\n_{2}^{n}.$ As in the case of additive cyclic codes over finite fields, it is\n useful to have polynomial representations of additive (right or\nleft) polycyclic codes.\n\nLet $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}.$\nThe vector $a$ can be represented as $a\\left( x\\right) =a_{0}+a_{1}x+\\ldots\n+a_{n-1}x^{n-1}\\in \\mathbb{F}_{2}\\left[ x\\right] $. Consider the ring $R_{n}=%\n\\mathbb{F}_{4}\\left[ x\\right] \/\\left\\langle x^{n}-a\\left( x\\right)\n\\right\\rangle$, which is an $\\mathbb{F}_{2}\\left[ x\\right] $%\n-module. Let $c\\left( x\\right) =c_{0}+c_{1}x+\\ldots +c_{n-1}x^{n-1}\\in \n\\mathbb{F}_{4}\\left[ x\\right] \/\\left\\langle x^{n}-a\\left( x\\right)\n\\right\\rangle .$ Then,%\n\\begin{eqnarray*}\nxc\\left( x\\right)  &=&c_{0}x+c_{1}x^{2}+\\ldots +c_{n-2}x^{n-1}+c_{n-1}x^{n}\n\\\\\n&=&c_{0}x+c_{1}x^{2}+\\ldots +c_{n-2}x^{n-1}+c_{n-1}\\left(\na_{0}+a_{1}x+\\ldots +a_{n-1}x^{n-1}\\right)  \\\\\n&=&c_{n-1}a_{0}+x\\left( c_{0}+c_{n-1}a_{1}\\right) +\\ldots +x^{n-1}\\left(\nc_{n-2}+c_{n-1}a_{n-1}\\right) .\n\\end{eqnarray*}%\nThe polynomial representation of $xc\\left( x\\right) $ is $\\left(\nc_{n-1}a_{0},c_{0}+c_{n-1}a_{1},\\ldots ,c_{n-2}+c_{n-1}a_{n-1}\\right)\n=\\left( 0,c_{0},c_{1},\\ldots ,c_{n-2}\\right) +c_{n-1}\\left(\na_{0},a_{1},\\ldots ,a_{n-1}\\right) .$\n\nSimilarly, let $c=\\left( c_{0},c_{1},\\ldots ,c_{n-1}\\right) \\in \\mathbb{F}%\n_{4}^{n}$ be represented by the polynomial $c\\left( x\\right)\n=c_{n-1}+c_{n-2}x+\\cdots +c_{0}x^{n-1}\\in \\mathbb{F}_{4}\\left[ x\\right]\n\/\\left\\langle x^{n}-a\\left( x\\right) \\right\\rangle ,$ where $a=\\left(\na_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}$ and $a\\left(\nx\\right) =a_{n-1}+a_{n-2}x+\\ldots +a_{0}x^{n-1}\\in \\mathbb{F}_{2}\\left[ x%\n\\right] $. Then,%\n\\begin{eqnarray*}\nxc\\left( x\\right)  &=&c_{n-1}x+c_{n-2}x^{2}+\\ldots +c_{1}x^{n-1}+c_{0}x^{n}\n\\\\\n&=&c_{n-1}x+c_{n-2}x^{2}+\\ldots +c_{1}x^{n-1}+c_{0}\\left(\na_{n-1}+a_{n-2}x+\\ldots +a_{0}x^{n-1}\\right)  \\\\\n&=&c_{0}a_{n-1}+x\\left( c_{n-1}+c_{0}a_{n-2}\\right) +\\ldots +x^{n-1}\\left(\nc_{1}+c_{0}a_{0}\\right) .\n\\end{eqnarray*}%\nThe polynomial representation of $xc\\left( x\\right) $ is $\\left(\nc_{1}+c_{0}a_{0},\\ldots ,c_{n-1}+c_{0}a_{n-2},c_{0}a_{n-1}\\right) =\\left(\nc_{1},c_{2},\\ldots ,c_{n-1},0\\right) +c_{0}\\left( a_{0},a_{1},\\ldots\n,a_{n-1}\\right) .$ Hence, we get the following lemmas.\n\n\\begin{lemma}\n\\label{submodule-right}$C$ is an additive right polycyclic code induced by $%\na $ if and only if $C$ is an $\\mathbb{F}_{2}\\left[ x\\right] $-submodule of $%\nR_{n}.$\n\\end{lemma}\n\n\\begin{lemma}\n\\label{submodule-left}$C$ is an additive left polycyclic code induced by $a$\nif and only if $C$ is an $\\mathbb{F}_{2}\\left[ x\\right] $-submodule of $%\nR_{n}.$\n\\end{lemma}\n\nLet $C$ be an additive right polycyclic code induced by $\\mathbf{a}.$ Then $%\nC $ is invariant under right multiplication by the square matrix \n\\[\nD=\\left[ \n\\begin{array}{ccccc}\n0 & 1 & 0 & 0 & \\ldots \\\\ \n0 & 0 & 1 & 0 & \\ldots \\\\ \n\\vdots &  &  & \\ddots &  \\\\ \n0 & 0 & \\ldots & 0 & 1 \\\\ \na_{0} & a_{1} & a_{2} & \\ldots & a_{n-1}%\n\\end{array}%\n\\right] . \n\\]%\nSimilarly, an additive left polycyclic code induced by $\\mathbf{d}=\\left(\nd_{0},d_{1},\\ldots ,d_{n-1}\\right) $ is invariant under right multiplication\nby the square matrix \n\\[\nE=\\left[ \n\\begin{array}{ccccc}\nd_{0} & d_{1} & d_{2} & \\ldots & d_{n-1} \\\\ \n1 & 0 & 0 & \\ldots & 0 \\\\ \n0 & 1 & 0 & \\ldots & 0 \\\\ \n\\vdots &  & \\ddots & 0 & 1 \\\\ \n0 & 0 & \\ldots & 1 & 0%\n\\end{array}%\n\\right] . \n\\]\n\n\\begin{theorem}\n\\label{right-left1}Let $C$ be an additive right polycyclic code induced by $%\n\\mathbf{a}=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) $ with $a_{0}\\neq 0$.\nThen $C$ is an additive left polycyclic code induced by $\\mathbf{d}=\\left(\nd_{0},d_{1},\\ldots ,d_{n-1}\\right) $ where $d_{j}=\\frac{-{a_{j+1}}}{a_{0}}$\nfor $j<n-1$ and $d_{n-1}=\\frac{1}{a_{0}}$.\n\\end{theorem}\n\n\\begin{proof}\nIt is obvious that the matrix $D$ above is invertible and \n\\[\nD^{-1}=\\left[ \n\\begin{array}{ccccc}\nd_{0} & d_{1} & d_{2} & \\ldots & d_{n-1} \\\\ \n1 & 0 & 0 & \\ldots & 0 \\\\ \n0 & 1 & 0 & \\ldots & 0 \\\\ \n\\vdots &  & \\ddots & 0 &  \\\\ \n0 & 0 & \\ldots & 1 & 0%\n\\end{array}%\n\\right] , \n\\]%\nwhere $d_{j}=\\frac{-{a_{j+1}}}{a_{0}}$ for $j<n-1$ and $d_{n-1}=\\frac{1}{%\na_{0}}$. Since $CD=C$, then $C=CDD^{-1}=CD^{-1}$ and hence $C$ is a left\npolycyclic code induced by $\\mathbf{d}=\\left( d_{0},d_{1},\\ldots\n,d_{n-1}\\right) $.\n\\end{proof}\n\nNote that if $C$ is both additive right and left polycyclic code induced by\nthe same $\\mathbf{a}$, it is an additive right-left polycyclic code.\n\n\\begin{theorem}\n\\label{left-right-2}Let $C$ be an additive right-left polycyclic code\ninduced by $a\\left( x\\right) =a_{0}+a_{1}x+\\ldots +a_{n-1}x^{n-1}.$ Then $%\na\\left( x\\right) =\\frac{x^{n}+a_{0}}{1+a_{0}x},$ where $a_{0}^{n+1}=\\left(\n-1\\right) ^{n+1}.$\n\\end{theorem}\n\n\\begin{proof}\nSince $C$ be an additive right-left polycyclic code induced by $a\\left(\nx\\right) =a_{0}+a_{1}x+\\ldots +a_{n-1}x^{n-1},$ then $a\\left( x\\right)\n=d\\left( x\\right) ,$ where \n\\begin{eqnarray*}\nd\\left( x\\right) &=&\\frac{-a_{1}}{a_{0}}+\\frac{-a_{2}}{a_{0}}x+\\frac{-a_{3}}{%\na_{0}}x^{2}+\\ldots +\\frac{-a_{n-1}}{a_{0}}x^{n-2}+\\frac{1}{a_{0}}x^{n-1} \\\\\n&=&-\\frac{a_{0}+a_{1}x+\\ldots +a_{n-1}x^{n-1}-a_{0}}{a_{0}x}+\\frac{1}{a_{0}}%\nx^{n-1} \\\\\n&=&-\\frac{a\\left( x\\right) -a_{0}}{a_{0}x}+\\frac{1}{a_{0}}x^{n-1}.\n\\end{eqnarray*}%\nSince $a\\left( x\\right) =d\\left( x\\right) ,$ then $a\\left( x\\right) =-\\frac{%\na\\left( x\\right) -a_{0}}{a_{0}x}+\\frac{1}{a_{0}}x^{n-1}=\\frac{-a\\left(\nx\\right) +a_{0}+x^{n}}{a_{0}x}.$ This implies that $a_{0}xa\\left( x\\right)\n=-a\\left( x\\right) +a_{0}+x^{n}$ and $a\\left( x\\right) =\\frac{x^{n}+a_{0}}{%\n1+a_{0}x}.$ Since $a\\left( x\\right) =a_{0}+a_{1}x+\\ldots +a_{n-1}x^{n-1},$\nthen the root of $1+a_{0}x$ must be also the root of $x^{n}+a_{0}.$\nTherefore, $a_{0}^{n+1}=\\left( -1\\right) ^{n+1}.$\n\\end{proof}\n\n\\section{The generators of additive right and left polycyclic Codes}\n\nIn this section, we will focus on finding the structure of additive right\npolycyclic codes over $\\mathbb{F}_{4}$ induced by a binary vector $%\na=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}.$ The\nstructure of additive left polycyclic codes over $\\mathbb{F}_{4}$ is obtained in\nthe same way.\n\nSuppose that $C$ is an additive right polycyclic code over $\\mathbb{F}_{4}$\ninduced by $a=\\left( a_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}%\n_{2}^{n}.$ From Lemma \\ref{submodule-right}, $C$ is an $\\mathbb{F}_{2}\\left[\nx\\right] $-submodule of $R_{n}.$ For the rest of the paper, we will simply write $f$ for the polynomial $f\\left( x\\right)$.\n\nLet $\\alpha g_{1}+g_{2},b$ be two polynomials in $C$ with the following\nproperties:\n\n\\begin{condition}\n\\label{condition 1} The polynomial $b$ is a binary polynomial of degree less\nthan $n$ in $C$ and of minimal degree. If $C$ has no binary polynomials,\nthen $b=0$\n\\end{condition}\n\n\\begin{condition}\n\\label{condition2}The polynomial $\\alpha g_{1}+g_{2}$ is a nonbinary\npolynomial of degree less than $n$ in $C$ in which $g_{1}$ and $g_{2}$ are\nbinary polynomials and $g_{1}$ is of minimal degree. If $C$ has only binary\npolynomials, then $\\alpha g_{1}+g_{2}=0$.\n\\end{condition}\n\nSuppose that $c\\in C.$ If $c$ is a binary polynomial in $C,$ then by the\ndivision algorithm we get that%\n\\begin{eqnarray*}\nc &=&qb+r\\text{, or} \\\\\nr &=&c-qb\\text{ }\n\\end{eqnarray*}%\nwhere $q$ and $r$ are binary polynomials and $\\deg r<\\deg c$ or $r=0.$\nHence, $r=c-qb\\in C$ and $r=0.$ Therefore, $c=qb.$ Now suppose that $%\nc=\\alpha c_{1}+c_{2}$ is a nonbinary polynomial in $C.$ Then,%\n\\[\nc_{1}=q_{1}g_{1}+r_{1}, \n\\]%\nwhere $q_{1}$ and $r_{1}$ are binary polynomials and $\\deg r_{1}<\\deg g_{1}.$\nHence,%\n\\begin{eqnarray*}\n\\alpha c_{1} &=&q_{1}\\alpha g_{1}+\\alpha r_{1}. \\\\\n&=&q_{1}\\left( \\alpha g_{1}+g_{2}\\right) +q_{1}g_{2}+\\alpha r_{1}\n\\end{eqnarray*}%\nAlso,%\n\\[\nc_{2}=q_{2}b+r_{2} \n\\]%\nwhere $q_{2},r_{2}$ are binary polynomials with $\\deg r_{2}<\\deg b.$ Hence,%\n\\begin{eqnarray*}\n\\alpha c_{1}+c_{2} &=&q_{1}\\left( \\alpha g_{1}+g_{2}\\right)\n+q_{1}g_{2}+\\alpha r_{1}+q_{2}b+r_{2} \\\\\n&=&q_{1}\\left( \\alpha g_{1}+g_{2}\\right) +q_{2}b+\\left( \\alpha\nr_{1}+q_{1}g_{2}+r_{2}\\right) .\n\\end{eqnarray*}%\nThis implies that $\\left( \\alpha r_{1}+q_{1}g_{2}+r_{2}\\right) \\in C.$ Since \n$q_{1}g_{2}+r_{2}$ is a binary polynomial and $\\deg r_{1}<\\deg g_{1}$, \nwe conclude that $r_{1}=0.$ Thus, $\\left( q_{1}g_{2}+r_{2}\\right) $ is a\nbinary polynomial in $C.$ Hence,\\ $q_{1}g_{2}+r_{2}=q_{3}b$ and%\n\\begin{eqnarray*}\n\\alpha c_{1}+c_{2} &=&q_{1}\\left( \\alpha g_{1}+g_{2}\\right) +q_{2}b+q_{3}b \\\\\n&=&q_{1}\\left( \\alpha g_{1}+g_{2}\\right) +\\left( q_{2}+q_{3}\\right) b\n\\end{eqnarray*}%\nwhere $q_{1},q_{2},q_{3}$ are all binary polynomials. This proves the\nfollowing Theorem that classifies all right polycyclic codes.\n\n\\begin{theorem}\n\\label{main-right}Let $C$ be an additive right polycyclic code induced by $a. $ Then, $C=\\left\\langle \\alpha g_{1}+g_{2},b\\right\\rangle $ where $\\alpha\ng_{1}+g_{2},b$ satisfy conditions \\ref{condition 1} and \\ref{condition2} and \n$\\deg g_{2}<\\deg b.$\n\\end{theorem}\n\n\n\\begin{proof}\nWe only need to prove that $\\deg g_{2}<\\deg b.$ Suppose that $\\deg g_{2}\\geq\n\\deg b.$ Since $g_{2}$ and $b$ are binary polynomials,  by the division\nalgorithm we have $g_{2}=qb+r,$ where $r=0$ or $\\deg r<\\deg b.$ Consider the\nadditive right polycyclic code $D=\\left\\langle \\alpha g_{1}+r,b\\right\\rangle \n$ induced by $a.$ Then $\\alpha g_{1}+r=\\alpha g_{1}+g_{2}-qb\\in C.$ Hence, $%\nD\\subseteq C.$ On the other hand, we have $\\alpha g_{1}+g_{2}=\\alpha\ng_{1}+r+qb\\in D.$ Thus, $C\\subseteq D$ and therefore $C=D.$\n\\end{proof}\n\n\\begin{lemma}\n\\label{uniqueness-right}Suppose that $C=\\left\\langle \\alpha\ng_{1}+g_{2},b\\right\\rangle $ is an additive right polycyclic code induced by \n$a,$ with the generators satisfy the conditions in Theorem \\ref{main-right}.\nThen $g_{1},g_{2}$ and $b$ are unique.\n\\end{lemma}\n\n\\begin{proof}\nSuppose that $C=\\left\\langle \\alpha g_{1}+g_{2},b_{1}\\right\\rangle\n=\\left\\langle \\alpha g_{3}+g_{4},b_{2}\\right\\rangle .$ Since $b_{1}$ is a\nbinary polynomial of minimal degree and $b_{2}$ is binary polynomials of\nminimal degree in $C,$ then $\\deg b_{1}=\\deg b_{2}.$ If $b_{1}\\neq b_{2},$\nthen $b_{3}=\\left( b_{1}-b_{2}\\right) $ is a binary polynomial in $C$ of\ndegree less than the degree of $b_{1}.$ Hence, $b_{1}-b_{2}=0$ and $%\nb_{1}=b_{2}.$ Since $g_{1}$ and $g_{3}$ are of minimal degree in $C,$ then $%\n\\deg g_{1}=\\deg g_{3}.$ If $g_{1}\\neq g_{2},$ then $\\alpha \\left(\ng_{1}-g_{3}\\right) +\\left( g_{2}-g_{4}\\right) \\in C,$ and $\\deg \\left(\ng_{1}-g_{2}\\right) <\\deg g_{1}.$ A contradiction unless $g_{1}=g_{3}.$ If $%\ng_{2}\\neq g_{4},$ then $\\left( \\alpha g_{1}+g_{2}\\right) -\\left( \\alpha\ng_{3}+g_{4}\\right) =g_{2}-g_{4}$ is a binary polynomial in $C$ of degree\nless than the degree of $b.$ A contradiction. Hence $g_{2}=g_{4}$ and the\ngenerators are unique.\n\\end{proof}\n\n\\begin{theorem}\n\\label{main-binary}Let $C$ be an additive right polycyclic code induced by a\nbinary vector $a.$ Then the code $C$ is given by\n\n\\begin{enumerate}\n\\item $C=\\left\\langle b\\right\\rangle ,$ where $b$ is a binary polynomial of\nminimal degree in $C$ and $b|\\left( x^{n}-a\\right) .$ Or\n\n\\item $C=\\left\\langle \\alpha g_{1}+g_{2}\\right\\rangle $ where $g_{1},g_{2}$\nsatisfy condition \\ref{condition2}. Moreover, $g_{1}|\\left( x^{n}-a\\right) ,$\nand $\\left( x^{n}-a\\right) |\\left( \\dfrac{x^{n}-a}{g_{1}}g_{2}\\right) .$ Or\n\n\\item $C=\\left\\langle \\alpha g_{1}+g_{2},b\\right\\rangle ,$ where $%\ng_{1},g_{2} $ and $b$ are polynomials satisfy conditions \\ref{condition 1}\nand \\ref{condition2}. Moreover, $b|\\left( x^{n}-a\\right) ,$ $g_{1}|\\left(\nx^{n}-a\\right) ,$ $\\deg g_{2}<\\deg b$ and $b|\\left( \\dfrac{x^{n}-a}{g_{1}}%\ng_{2}\\right) $\n\\end{enumerate}\n\\end{theorem}\n\n\\begin{proof}\nFrom Theorem \\ref{main-right}, we know that $C=\\left\\langle \\alpha\ng_{1}+g_{2},b\\right\\rangle ,$ where $\\alpha g_{1}+g_{2},b$ satisfy\nconditions \\ref{condition 1} and \\ref{condition2} and $\\deg g_{2}<\\deg b$.\n\n\\begin{enumerate}\n\\item If $C$ has only binary polynomials, then $\\alpha g_{1}+g_{2}=0$ and $%\nC=\\left\\langle b\\right\\rangle .$ Since $a$ is a binary polynomial,  by\nthe division algorithm we have%\n\\[\nx^{n}-a=Q_{1}b+R_{1}. \n\\]%\nwhere $Q_{1}$ and $R_{1}$ are binary polynomials with $\\deg R_{1}<\\deg b$ or \n$R_{1}=0.$ Hence, $R_{1}=Q_{1}b\\in C.$ Therefore, $R_{1}=0$ and $b|\\left(\nx^{n}-a\\right) .$\n\n\\item Suppose that $C$ has no binary polynomials. Then $b=0$ and $%\nC=\\left\\langle \\alpha g_{1}+g_{2}\\right\\rangle $ where $g_{1},g_{2}$ satisfy\ncondition \\ref{condition2}. We also have%\n\\[\nx^{n}-a=Q_{2}g_{1}+R_{2}, \n\\]%\nwhere $Q_{2},R_{2}$ are binary polynomials and $\\deg R_{2}<\\deg g_{1}$.\nHence, \n\\[\n\\alpha \\left( x^{n}-a\\right) =Q_{2}\\left( \\alpha g_{1}+g_{2}\\right) +\\alpha\nR_{2}+Q_{2}g_{2}. \n\\]%\nThis implies that $\\left( \\alpha R_{2}+Q_{2}g_{2}\\right) \\in C.$ Since $%\nQ_{2}g_{2}$ is a binary polynomial and $\\deg R_{2}<\\deg g_{1},$ t $R_{2}=0 $ and $g_{1}|\\left( x^{n}-a\\right) .$ Notice that $\\dfrac{x^{n}-a}{%\ng_{1}}\\left( \\alpha g_{1}+g_{2}\\right) =\\dfrac{x^{n}-a}{g_{1}}g_{2}$ is a\nbinary polynomial in $C.$ Since $C$ has no binary polynomials, $\\left(\nx^{n}-a\\right) |\\left( \\dfrac{x^{n}-a}{g_{1}}g_{2}\\right) .$\n\n\\item If $C$ has binary and nonbinary polynomials, then $C=\\left\\langle\n\\alpha g_{1}+g_{2},b\\right\\rangle ,$ where $g_{1},g_{2}$ and $b$ are\npolynomials satisfy conditions \\ref{condition 1}, \\ref{condition2} and $\\deg\ng_{2}<\\deg b.$ From (1) and (2) we get that $b|\\left( x^{n}-a\\right) ,$ $%\ng_{1}|\\left( x^{n}-a\\right) .$ Since $\\dfrac{x^{n}-a}{g_{1}}\\left( \\alpha\ng_{1}+g_{2}\\right) =\\dfrac{x^{n}-a}{g_{1}}g_{2}$ is a binary polynomial in $%\nC,$ then $b|\\left( \\dfrac{x^{n}-a}{g_{1}}g_{2}\\right) .$\n\\end{enumerate}\n\\end{proof}\n\n\\begin{corollary}\nIf $a\\left( x\\right) $ is a binary polynomial and $\\gcd \\left( b,\\dfrac{%\nx^{n}-a}{g_{1}}\\right) =1,$ then $g_{2}=0.$\n\\end{corollary}\n\n\\begin{proof}\nSince $b|\\left( \\dfrac{x^{n}-a}{g_{1}}g_{2}\\right) $ and $\\gcd \\left( b,%\n\\dfrac{x^{n}-a}{g_{1}}\\right) =1,$ then $b|g_{2}.$ But $\\deg g_{2}<\\deg b.$\nHence, $g_{2}=0.$\n\\end{proof}\n\n\\begin{corollary}\n\\label{main-left} Let $C$ be an additive left polycyclic code induced by a\nbinary vector $a.$ Then the code $C$ is given by\n\n\n\n\\label{Construction}\n\\begin{enumerate}\n\\item $C=\\left\\langle b\\right\\rangle ,$ where $b$ is a binary polynomial of\nminimal degree in $C$ and $b|\\left( x^{n}-a\\right) .$ Or\n\n\\item $C=\\left\\langle \\alpha g_{1}+g_{2}\\right\\rangle $ where $g_{1},g_{2}$\nsatisfy condition \\ref{condition2}. Moreover, $g_{1}|\\left( x^{n}-a\\right) ,$\nand $\\left( x^{n}-a\\right) |\\left( \\dfrac{x^{n}-a}{g_{1}}g_{2}\\right) .$ Or\n\n\\item $C=\\left\\langle \\alpha g_{1}+g_{2},b\\right\\rangle ,$ where $g_{1},g_{2}\n$ and $b$ are polynomials satisfy conditions \\ref{condition 1} and \\ref%\n{condition2}. Moreover, $b|\\left( x^{n}-a\\right) ,$ $g_{1}|\\left(\nx^{n}-a\\right) ,$ $\\deg g_{2}<\\deg b$ and $b|\\left( \\dfrac{x^{n}-a}{g_{1}}%\ng_{2}\\right) $\n\\end{enumerate}\n\\end{corollary}\n\n\\begin{proof}\nThe proof is similar to the proof in Theorem \\ref{main-right}, Lemma \\ref%\n{uniqueness-right} and Theorem \\ref{main-binary}.\n\\end{proof}\n\n\\begin{theorem}\n\\label{Cardinality-binary}Let $C$ be an additive right polycyclic code\ninduced by a binary vector $a.$\n\n\\begin{enumerate}\n\\item If $C=\\left\\langle b\\right\\rangle ,$ where $b$ is a binary polynomial\nwith $\\deg b=t_{1},$ then $\\left\\vert C\\right\\vert =2^{n-t_{1}}.$\n\n\\item If $C=\\left\\langle \\alpha g_{1}+g_{2}\\right\\rangle ,$ where $\\deg\ng_{1}=t_{2}$ and $\\left( x^{n}-a\\right) |\\left( \\dfrac{x^{n}-a}{g_{1}}%\ng_{2}\\right) ,$ then $\\left\\vert C\\right\\vert =2^{n-\\deg t_{2}}.$\n\n\\item If $C=\\left\\langle \\alpha g_{1}+g_{2},b\\right\\rangle ,$ where $\\deg\nb=t_{1}$ and $\\deg g_{1}=t_{2},$ then $\\left\\vert C\\right\\vert\n=2^{n-t_{1}}2^{n-t_{2}}$\n\\end{enumerate}\n\\end{theorem}\n\n\\begin{proof}\nWe will prove (3). The proof of (1) and (2) is similar to the proof of (3).\n\nSuppose that $C=\\left\\langle \\alpha g_{1}+g_{2},b\\right\\rangle $ where $%\ng_{1},g_{2},$ and $b$ satisfy the conditions in Theorem \\ref{main-binary}.\nLet $c\\left( x\\right) \\in C.$ Then $c=f_{1}\\left( \\alpha g_{1}+g_{2}\\right)\n+f_{2}b.$ Using the division algorithm, we get \n\\[\nf_{2}=q_{2}\\frac{x^{n}-a}{b}+r_{2}, \n\\]%\nwhere $r_{2}$ is a binary polynomial satisfying $\\deg r_{2}<n-t_{1}.$ Hence, \n\\[\nf_{2}b=q_{2}\\frac{x^{n}-a}{b}b+r_{2}b=r_{2}b, \n\\]%\nwhere $\\deg r_{2}<n-t_{1}.$ Again using the division algorithm, we get \n\\[\nf_{1}=q_{1}\\frac{x^{n}-a}{g_{1}}+r_{1}, \n\\]%\nwhere $r_{1}$ is a binary polynomial satisfying $\\deg r_{1}<n-t_{2}.$ Hence, \n\\begin{eqnarray*}\nf_{1}\\left( \\alpha g_{1}+g_{2}\\right) &=&q_{1}\\frac{x^{n}-a}{g_{1}}\\left(\n\\alpha g_{1}+g_{2}\\right) +r_{1}\\left( \\alpha g_{1}+g_{2}\\right) \\\\\n&=&r_{1}\\left( \\alpha g_{1}+g_{2}\\right) +q_{1}\\frac{x^{n}-a}{g_{1}}g_{2}.\n\\end{eqnarray*}%\nSince $q_{1}\\dfrac{x^{n}-a}{g_{1}}g_{2}$ is a binary polynomial, $q_{1}%\n\\dfrac{x^{n}-a}{g_{1}}g_{2}=r_{3}b.$ We have \n\\[\nr_{3}=q_{3}\\frac{x^{n}-a}{b}+r_{4}, \n\\]%\nwhere $\\deg r_{4}<n-t_{1}.$ Hence, \n\\begin{eqnarray*}\nr_{3}b &=&q_{3}\\frac{x^{n}-a}{b}b+r_{4}b \\\\\n&=&r_{4}b.\n\\end{eqnarray*}%\nTherefore, \n\\begin{eqnarray*}\nc &=&f_{1}\\left( \\alpha g_{1}+g_{2}\\right) +f_{2}b \\\\\n&=&r_{1}\\left( \\alpha g_{1}+g_{2}\\right) +\\left( r_{2}+r_{4}\\right) b,\n\\end{eqnarray*}%\nwhere $\\deg r_{1}<n-t_{2}$ and $\\deg \\left( r_{2}+r_{3}\\right) <n-t_{1}.$\nHence,\\ $\\left\\vert C\\right\\vert =2^{n-t_{1}}2^{n-t_{2}}.$\n\\end{proof}\n\n\\section{Duals and Additive Sequential Codes}\n\n\\begin{definition}\nLet $C$ be an additive code over $\\mathbb{F}_{4}$ and let $c=\\left(\nc_{0},c_{1},\\ldots ,c_{n-1}\\right) \\in C.$ $C$ is called an additive right\nsequential code induced by $a$ if there exists a vector $a=\\left(\na_{0},a_{1},\\ldots ,a_{n-1}\\right) \\in \\mathbb{F}_{2}^{n}$ such that%\n\\[\n\\left( c_{1},c_{2},\\ldots ,c_{n-1},c_{0}a_{0}+c_{1}a_{1}+\\ldots\n+c_{n-1}a_{n-1}\\right) \\in C.\n\\]\n\\end{definition}\n\nThe trace map $Tr_{2}:\\mathbb{F}_{4}\\rightarrow \\mathbb{F}_{2}$ is defined\nby $Tr_{2}\\left( a\\right) =a+a^{2}.$ Thus, $Tr_{2}\\left( 0\\right)\n=Tr_{2}\\left( 1\\right) =0,$ and $Tr_{2}\\left( \\alpha \\right) =Tr_{2}\\left(\n\\alpha ^{2}\\right) =1.$ Moreover, For any $\\mathbf{x},\\mathbf{y}\\in \\mathbb{F%\n}_{4}^{n},$ the trace inner product $\\left\\langle .,.\\right\\rangle _{T}$ on $%\n\\mathbb{F}_{4}$ is defined by%\n\\[\n\\left\\langle \\mathbf{x},\\mathbf{y}\\right\\rangle _{T}=Tr_{2}\\left(\n\\left\\langle \\mathbf{x},\\mathbf{y}\\right\\rangle \\right) ,\n\\]%\nwhere $\\left\\langle \\mathbf{x},\\mathbf{y}\\right\\rangle $ is the Hermitian\ninner product.\n\n\\begin{definition}\nLet $C$ be an additive polycyclic code over $\\mathbb{F}_{4}.$ We consider\nthree different dual codes for $C$\n\n\\begin{enumerate}\n\\item Define the Hermitian dual of $C$ by%\n\\[\nC^{\\perp }=\\left\\{ \\mathbf{y}\\in \\mathbb{F}_{4}^{n}:\\left\\langle \\mathbf{x},%\n\\mathbf{y}\\right\\rangle _{T}=0~\\forall ~\\mathbf{x\\in C}\\right\\} . \n\\]\n\n\\item Define the annihilator dual of $C$ by $Ann\\left( C\\right) =\\left\\{\ng\\in R_{n}:g\\left( x\\right) f\\left( x\\right) =0~\\forall f\\left( x\\right) \\in\nC\\right\\} .$\n\n\\item Define the 0-dual of $C$ by%\n\\[\nC^{0}=\\left\\{ g\\in R_{n}:gf\\left( 0\\right) =0~\\forall f\\left( x\\right) \\in\nC\\right\\} . \n\\]\n\\end{enumerate}\n\\end{definition}\n\nSince the set $R_{n}$ is an $\\mathbb{F}_{4}\\left[ x\\right] $-submodule and $%\nC $ is a subset of $R_{n},$  the sets $Ann\\left( C\\right) $ and $C^{0}$\nabove are well-defined. In [2], the authors proved that if $C$ is a linear\npolycyclic code, then $Ann\\left( C\\right) =C^{0}.$\n\n\\begin{lemma}\n\\label{Dual1}Let $C$ be an additive right polycyclic code over $\\mathbb{F}%\n_{4}.$ Then $Ann\\left( C\\right) $ and $C^{0}$ are linear right polycyclic\ncodes over $\\mathbb{F}_{4}.$\n\\end{lemma}\n\n\\begin{proof}\nWe will prove that $Ann\\left( C\\right) $ is an ideal in $R_{n}.$ The same\nproof  applies to $C^{0}$ as well. Suppose that $s_{1},s_{2}\\in Ann\\left(\nC\\right) ,~f\\in C$ and $r\\in R_{n}.$ Then, $\\left( s_{1}+s_{2}\\right)\nf=s_{1}f+s_{2}f=0$ and $r\\left( x\\right) s_{1}\\left( x\\right) f\\left(\nx\\right) =r(x)\\left( s_{1}\\left( x\\right) f\\left( x\\right) \\right) =0.$\nHence, $s_{1}+s_{2}$ and $rs_{1}\\in Ann\\left( C\\right) .$ Therefore $Ann(C)$\nand $C^{0}$ are ideals in $R_{n}$ and hence they are linear right polycyclic\ncodes over $\\mathbb{F}_{4}.$\n\\end{proof}\n\n\\begin{theorem}\n\\label{Dual2}$C$ is an additive right polycyclic code induced by $a$ if and\nonly if the dual code $C^{\\perp }$ is an additive $\\left( n,2^{2n-k}\\right) $\nsequential code induced by $a$.\n\\end{theorem}\n\n\\begin{proof}\nSuppose that $C$ is an additive right polycyclic code induced by $a.$ Then $%\nC $ is invariant under right multiplication by the square matrix \n\\[\nG=\\left[ \n\\begin{array}{ccccc}\n0 & 1 & 0 & 0 & \\ldots \\\\ \n0 & 0 & 1 & 0 & \\ldots \\\\ \n\\vdots &  &  & \\ddots &  \\\\ \n0 & 0 & \\ldots & 0 & 1 \\\\ \na_{0} & a_{1} & a_{2} & \\ldots & a_{n-1}%\n\\end{array}%\n\\right] . \n\\]%\nIf $H$ is a check matrix for $C,$ then $\\overline{C}H^{T}+C\\overline{H}%\n^{T}=C\\ast H^{T}=0$, where $\\ast $ means the trace inner product. Hence, $%\nCD\\ast H^{T}=\\overline{CD}H^{T}+CD\\overline{H}^{T}=C\\left( H\\overline{D}%\n^{T}\\right) ^{T}+C\\left( \\overline{H}D^{T}\\right) ^{T}=C\\ast \\left(\nHD^{T}\\right) ^{T}=0$. This implies that $C^{\\perp }$ is invariant under\nright multiplication by $D^{T}.$ Thus $C^{\\perp }$ is an additive sequential\ncode induced by $a$.\n\\end{proof}\n\n\\section{Applications and Examples}\n\n\\subsection{Additive Codes with More Codewords than  Optimal Linear Codes over GF(4)}\nBased on Theorem \\ref{main-binary} and Theorem \\ref{Cardinality-binary}\n, we conducted computer searches to find additive codes with good parameters. We took binary $g_1|x^n-a$ and binary $b|x^n-a$ that are relatively prime, and binary $g_2$ to be a random polynomial of degree less than the degree of $b.$ Then, it automatically follows that $b|\\frac{x^n-a}{g_1}g_2$. As a result of our search we found 13 additive polycyclic codes over $\\mathbb{F}_{4}$ that contain more codewords than the comparable optimal linear codes $\\mathbb{F}_{4}$. \n\nTable 1 below shows these codes with their generators  $\\langle \\alpha g_1 +g_2,b\\rangle$. We use the notation $[n,\\frac{2k+1}{2},d]_4$ to denote the parameters of a polycyclic code which means its size is $2\\cdot 4^k$. On the other hand, the comparable optimal linear code with the same length and minimum distance $d$ has $4^k$ codewords and the best  linear code of dimension $k+1$ has minimum distance $d-1$. In other words, these additive polycyclic codes contain twice as many codewords as the optimal linear codes with the same length and minimum distance. Note that the multinomials below refer to $x^n-a$.\n\n\n\\begin{table}[h]\n\\caption{Additive codes $[n,k,d]_4$ v.s. BKLC $[n,k,d]_4$ with smaller dimension}\n\\label{tab-1}\n\\resizebox{.89\\textwidth}{!}{%\n\n\\begin{tabular}{p{1.8cm} p{1.8cm} p{2.5cm} p{5cm} p{5cm} }\n\\hline\\noalign{\\smallskip}\n$[n,\\frac{2k+1}{2},d]_4$ &  $[n,k,d]_4$  &  $[n,k+1,d-1]_4$ & $\\langle \\alpha g_1 +g_2,b\\rangle$ & Multinomial   \\\\\n\\hline\\noalign{\\smallskip}\n$[ 7, 9\/2, 3]_4$ & $[ 7, 4, 3 ]_4$ & $[ 7, 5, 2 ]_4$ &\n$\\langle\\alpha (x^2 + x + 1)+x,x^3 + x^2 + 1\\rangle$ & $x^7 + x^6 + x^5 + x^3 + 1$\\\\\n\n$[7, 7\/2, 4]_4$ & $[7, 3, 4]_4$ & $[7, 4, 3]_4$ &\n$ \\langle\\alpha (x + 1)+ x^4 + x^3 + x^2 + x,    x^6 + x^5 + x^4 + x^3 + x^2 + x + 1\\rangle$ & $x^7 + 1$\\\\\n\n$[22, 37\/2, 3]_4$ & $[22, 18, 3]_4$ & $[22, 19, 2]_4$ &\n$ \\langle\\alpha (x + 1)+ x^3 + x, x^6 + x^4 + x^3 + x + 1\\rangle$ & $x^{22} + x^{19} + x^{15} + x^{14} + x^{13} + x^8 + x^7 + x^6 + x^4 + x^2 + x + 1$\\\\\n\n$[23, 39\/2, 3]_4$ & $[23, 19, 3]_4$ & $[23, 20, 2]_4$ &\n$ \\langle\\alpha (x + 1)+ x^4 + x^2,  x^6 + x^5 + 1\\rangle$ & $x^{23} + x^{22} + x^{21} + x^{15} + x^{13} + x^{11} + x^{10} + x^9 + x^8 + x^7 + x^3 + x^2+ x + 1$\\\\\n\n$[24, 41\/2 , 3]_4$ & $[24, 20, 3]_4$ & $[24,21, 2]_4$ &\n$ \\langle\\alpha (x^2 + x + 1)+ x^2 + x, x^5 + x^4 + x^3 + x + 1\\rangle$ & $ x^{24} + x^{21} + x^{20} + x^{19} + x^{18} + x^{16} + x^{14} + x^8 + x^5 + x^4 + x^3 + x^2 1,$\\\\\n\n$[25, 43\/2, 4]_4$ & $[25, 21, 3]_4$ & $[25, 22, 2]_4$ &\n$ \\langle\\alpha (x + 1)+x^4 + x^2, x^6 + x^5 + 1\\rangle$ & $x^{25} + x^{24} + x^{22} + x^{21} + x^{19} + x^{18} + x^{15} + x^{13} + x^{12} + x^{11} + x^{10} +x^9 + x^8 + x^7 + x^6 + x^5 + x^4 + x^3 + x^2 + 1$\\\\\n\n$[26, 45\/2, 3]_4$ & $[26, 22, 3]_4$ & $[26, 23, 2]_4$ &\n$ \\langle\\alpha (x + 1)+x^4 + x^3 + x,x^6 + x^5 + x^3 + x^2 + 1\\rangle$ & $x^{26} + x^{24} + x^{21} + x^{16} + x^{15} + x^{13} + x^{12} + x^{11} + x^{10} + x^9 + x^7 +x^3 + x^2 + 1$\\\\\n\n$[27, 47\/2, 3]_4$ & $[27, 23, 3]_4$ & $[27, 24, 2]_4$ &\n$ \\langle\\alpha (x^2 + x + 1)+ x^2 + x, x^5 + x^4 + x^3 + x + 1\\rangle$ & $x^{27} + x^{26} + x^{23} + x^{21} + x^{19} + x^{18} + x^{17} + x^{14} + x^{13} + x^{11} + x^{10} +x^7 + x^3 + x + 1$\\\\\n\n$[27, 47\/2, 3]_4$ & $[27, 23, 3]_4$ & $[27, 24, 2]_4$ &\n$ \\langle\\alpha (x^2 + x + 1)+ x^2 + x, x^5 + x^4 + x^3 + x + 1\\rangle$ & $x^{27} + x^{26} + x^{23} + x^{21} + x^{19} + x^{18} + x^{17} + x^{14} + x^{13} + x^{11} + x^{10} +x^7 + x^3 + x + 1$\\\\\n\n$[28, 49\/2, 3,]_4$ & $[28, 24, 3]_4$ & $[28, 25, 2]_4$ &\n$ \\langle\\alpha (x^2 + x + 1)+ x^3 + x^2 + x, x^5 + x^3 + x^2 + x + 1\\rangle$ & $x^{28} + x^{27} + x^{24} + x^{23} + x^{22} + x^{20} + x^{17} + x^{16} + x^{15} + x^{14} + x^{13} +x^{11} + x^{10} + x^8 + x^7 + x^5 + x^3 + x + 1$\\\\\n\n$[29, 51\/2, 3]_4$ & $[29, 25, 3]_4$ & $[29, 26, 2]_4$ &\n$ \\langle\\alpha (x + 1)+ x^2 + x + 1, x^6 + x^5 + x^4 + x + 1\\rangle$ & $x^{29} + x^{25} + x^{22} + x^{21} + x^{19} + x^{15} + x^{14} + x^{13} + x^{11} + x^{10} + x^6 +x^3 + x + 1$\\\\\n\n$[30, 53\/2, 3]_4$ & $[30, 26, 3]_4$ & $[30, 27, 2]_4$ &\n$ \\langle\\alpha (x + 1)+ x^3 + x^2 + 1, x^6 + x^5 + x^3 + x^2 + 1\\rangle$ & $x^{30} + x^{27} + x^{26} + x^{25} + x^{24} + x^{20} + x^{19} + x^{18} + x^{16} + x^{11} + x^{10} +x^9 + x^8 + x^7 + x^2 + 1$\\\\\n\n$[31, 55\/2, 3]_4$ & $[31, 27, 3]_4$ & $[31, 28, 2]_4$ &\n$ \\langle\\alpha ( x + 1)+ x^4 + x + 1, x^6 + x^5 + x^3 + x^2 + 1\\rangle$ & $x^{31} + x^{25} + x^{23} + x^{22} + x^{20} + x^{18} + x^{17} + x^{16} + x^{15} + x^{14} + x^{13} +x^{12} + x^{10} + x^9 + x^8 + x^7 + x^6 + x^4 + x^3 +1$\\\\\n\n\\noalign{\\smallskip}\\hline\n\\end{tabular}%\n}\n\\end{table}\n\n\\subsection{Best Known Linear Codes over GF(2) Obtained from Additive Codes over GF(4)}\n\n\nWe can define the following maps, $W$, $T$, and $L$: \\cite{Abualrub2020} \n\\begin{align*}\n    W \\quad &: \\quad \\mathbb{F}_{4}^{n} \\quad \\xrightarrow[]{} \\quad \\mathbb{F}_{2}^{2n}\\\\\n    & W(x_1,x_2,...,x_n)\\\\\n    = &W \\big( (a_1+b_1\\alpha),(a_2+b_2\\alpha),...,(a_n+b_n\\alpha)\\big)\\\\\n    = &\\big( (a_1+b_1),(a_2+b_2),...,(a_n+b_n),b_1,b_2,...,b_n \\big)\\\\\n    \\mbox{(trace map)}\\quad T \\quad &: \\quad \\mathbb{F}_{4}^{n} \\quad \\xrightarrow[]{} \\quad \\mathbb{F}_{2}^{n}\\\\\n    & T(x_1,x_2,...,x_n)\\\\\n    = & \\big( (x_1+x_1^2),(x_2+x_2^2),...,(x_n+x_n^2)\\big)\\\\\n    L \\quad &: \\quad \\mathbb{F}_{4}^{n} \\quad \\xrightarrow[]{} \\quad \\mathbb{F}_{2}^{n}\\\\\n    & L(x_1,x_2,...,x_n)\\\\\n    = & \\big( (x_1\\alpha+x_1^2\\alpha^2),(x_2\\alpha+x_2^2\\alpha^2),...,(x_n\\alpha+x_n^2\\alpha^2)\\big)\n\\end{align*}\n\nUsing these map, we can construct binary linear codes from quaternary additive codes. Namely, by $W$, we can construct an $[2n,2k,d']_2$ linear code from an $[n,k,d]_4$ additive code; and by $T$ and $L$, we can construct $[n,k',d']_2$ linear codes from $[n,k,d]_4$ additive codes. We present some optimal codes in Table 2 where  $[n,k,d]_2$ is the binary optimal linear codes we obtained, and  $\\langle \\alpha g_1 +g_2,b\\rangle$ refers to the generators  as in Theorem \\ref{main-binary\n, multinomial denotes $x^n-a$, where $a$ is the associated vector; $*$ and $\\circ$ delineates reversible and self-orthogonal codes respectively.\n\n\n\n\\begin{table}[h]\n\\caption{Optimal binary  linear codes $[n,k,d]_2$ obtained from quaternary additive codes based on $W$, $T$, and $L$}\n\\label{tab-2}\n\\resizebox{.8\\textwidth}{!}{%\n\n\\begin{tabular}{p{1.8cm} p{1cm} p{5cm} p{5cm} }\n\\hline\\noalign{\\smallskip}\n$[n,k,d]_2$  & Map & $\\langle \\alpha g_1 +g_2,b\\rangle$ & Multinomial   \\\\\n\\hline\\noalign{\\smallskip}\n$[ 7, 2, 4]_2^{*\\circ}$ & L &\n$\\langle\\alpha (x^5 + x^4 + x + 1) + 1,x^2 + x + 1\n\\rangle$ & $x^7 + x^4 + x^3 + 1$\\\\\n\n$[ 10, 4, 4]_2$ & L &\n$\\langle\\alpha (x + 1)+x + 1,x^6 + x^5 + x^4 + x + 1\\rangle$ & $x^{10} + x^9 + x^8 + x^6 + x + 1$\\\\\n\n$[ 12, 5, 4]_2$ & L &\n$\\langle\\alpha (x^2 + x + 1)+x^2 + x + 1,x^7 + x^3 + x^2 + x + 1\\rangle$ & $x^{12} + x^6 + x^5 + x^4 + 1$\\\\\n\n$[ 16, 9, 4]_2^*$ & T &\n$\\langle\\alpha (x^7 + x^3 + x^2 + x + 1)+x^4 + x^3 + x^2 + x + 1,x^9 + x + 1\n\\rangle$ & $x^{16} + x^{12} + x^{11} + x^{10} + x^9 + x^8 + x^7 + x^4 + 1$\\\\\n\n$[ 17, 9, 5]_2$ & T &\n$\\langle\\alpha (x^8 + x^5 + x^4 + x^3 + 1)+x^7 + x^6 + x^4 + x^3 + x,x^9 + x^8 + x^6 + x^5 + x^4 + x^3 + x^2 + x + 1\\rangle$ & $x^{17} + x^{16} + x^{13} + x^{12} + x^{11} + x^{10} + x^9 + x^8 + x^7 + x^4 + x^2 + x +  1$\\\\\n\n$[ 20, 11, 5]_2$ & W &\n$\\langle\\alpha (x+1)+x^6 + x^4 + x^2 + x,x^8 + x^6 + x^5 + x^4 + x^2 + x + 1\\rangle$ & $x^{10} + x^7 + x^5 + x^3 + x + 1$\\\\\n\n\n$[ 26, 17, 4]_2$ & W &\n$\\langle\\alpha (x+1)+x^4 + x^3 + x^2,x^8 + x^5 + x^3 + x + 1\\rangle$ & $x^{13} + x^{10} + x^6 + x^3 + x + 1$\\\\\n\n$[ 35, 24, 5]_2^*$ & T &\n$\\langle\\alpha (x^{11} + x^9 + x^8 + x^6 + x^4 + x^3 + x^2 + x + 1)+x^{22} + x^{16} + x^{15} + x^{14} + x^{13} + x^{10} + x^9 + x^8 + x^7 + x^5 + x + 1 , x^{24} + x^{21} + x^{19} + x^{16} + x^{13} + x^{12} + x^{10} + x^8 + x^7 + x^6 + x^2 + x +1\\rangle$ & $x^{35} + x^{33} + x^{30} + x^{29} + x^{26} + x^{23} + x^{21} + x^{20} + x^{19} + x^{14} + x^{13} +x^{12} + x^{11} + x^9 + x^8 + x^7 + x^6 + x^4 + x^3 + x^2 + 1\n$\\\\\n\n$[ 49, 39, 4]_2^*$ & T &\n$\\langle\\alpha ( x^{10} + x^8 + x^6 + x^4 + x^2 + x + 1)+x , x^5 + x^4 + x^3 + x^2 + 1\n\\rangle$ & $x^{49} + x^{46} + x^{45} + x^{44} + x^{40} + x^{39} + x^{38} + x^{36} + x^{35} + x^{31} + x^{30} +\nx^{29} + x^{28} + x^{27} + x^{24} + x^{23} + x^{20} + x^{19} + x^{17} + x^{15} + x^{12} + x^{11} + x^9 + x^8 + x^4 + x + 1\n$\\\\\n\n$[ 62, 51, 4]_2$ & W &\n$\\langle\\alpha ( x + 1)+x^8 + x^4 + x + 1 , x^10 + x^9 + x^8 + x^4 + 1\n\\rangle$ & $x^{31} + x^{29} + x^{28} + x^{27} + x^{26} + x^{25} + x^{23} + x^{15} + x^{14} + x^{13} + x^{12} +x^9 + x^8 + x^7 + x^3 + x^2 + x + 1\n$\\\\\n\n$[ 98, 86, 4]_2$ & W &\n$\\langle\\alpha (x^2+ x + 1)+x^8 + x^7 + x^6 + x^3 + 1 , x^{10} + x^8 + x^6 + x^4 + x^2 + x + 1\\rangle$ & $x^{49} + x^{48} + x^{46} + x^{45} + x^{43} + x^{39} + x^{36} + x^{31} + x^{27} + x^{25} + x^{24} +x^{22} + x^{21} + x^{20} + x^{19} + x^{18} + x^{17} + x^{14} + x^7 + x^6 + x^3 + x +  1$\\\\\n\n\\noalign{\\smallskip}\\hline\n\\end{tabular}%\n}\n\\end{table}\n\n\n\n\n\\subsection{Quantum Codes with Good Parameters from Additive Polycyclic Codes}\nQuantum error correcting codes are an increasingly important part of quantum information theory. Many researchers have used classical block codes to construct quantum codes. One of the most commonly used  methods is the CSS construction \\cite{Calderbank1998}. The CSS construction requires two linear codes $C_1$ and $C_2$ such that $C_2^{\\perp}\\subseteq C_1$. Hence, if $C_1$ is a self-dual code, then we can construct a CSS quantum code using $C_1$ alone since $C_1^{\\perp}\\subseteq C_1$. If  $C_1$ is self-orthogonal or dual-containing, then we can construct a CSS quantum code with $C_1^{\\perp}$ and $C_1$ with the similar reason. \n\nIn this section, we  present some optimal quantum codes derived from additive polycyclic codes. After constructing additive polycyclic codes by theorem 12, we used maps W, T, and L to construct self-dua, self-orthogonal, or dual-containing binary codes. Then, we used binary codes and their duals to construct CSS codes. Here are some example of optimal codes we found using this method. The optimality of these codes can be confirmed via the online table \\cite{database}.\n\n\\begin{table}[H]\n\\caption{Optimal quantum codes $[[n,k,d]]_4$ from self-dual\/self-orthogonal\/dual-containing binary linear codes obtained from quaternary additive codes}\n\n\\label{tab-3}\n\\resizebox{.8\\textwidth}{!}{%\n\n\\begin{tabular}{p{1.8cm} p{1cm} p{6cm} p{5cm} }\n\\hline\\noalign{\\smallskip}\n$[[n,k,d]]_4$  & Map & $\\langle \\alpha g_1 +g_2,b\\rangle$ & Multinomial   \\\\\n\\hline\\noalign{\\smallskip}\n\n$[[ 7,1,3]]_4$ & T &\n$\\langle\\alpha (x^3+x^2 + 1)+ x,x^4 + x^3 + x^2 + x + 1\n\\rangle$ & $x^7 + x^4 + x^3 + x + 1 $\\\\\n\n\n$[[ 10, 8, 2]]_4$ & T &\n$\\langle\\alpha (x + 1)+ 1,x^2 + x + 1\\rangle$ & $x^{10} + x^9 + x^7 + x^5 + x^4 + x^2 + x + 1 $\\\\\n\n$[[ 15, 7, 3]]_4$ & T &\n$\\langle\\alpha (x^4 + x + 1)+ x^2 + x + 1,x^4 + x^3 + 1\n\\rangle$ & $x^{15} + x^{10} + x^9 + x^7 + x^6 + x^5 + x^3 + x^2 + 1 $\\\\\n\n$[[ 30, 26, 2]]_4$ & T &\n$\\langle\\alpha (x^2 + x + 1)+ x^8 + x^6 + 1,x^{12} + x^{11} + x^8 + x^7 + x^5 + x^4 + x^2 + x + 1\n\\rangle$ & $x^{30} + x^{29} + x^{27} + x^{25} + x^{24} + x^{23} + x^{22} + x^{21} + x^{20} + x^{17} + x^{13} +\nx^{11} + x^{10} + x^9 + x^6 + x^5 + x^2 + x + 1 $\\\\\n\n$[[ 35, 29, 2]]_4$ & L &\n$\\langle\\alpha ( x + 1)+ x + 1,x^3 + x + 1\n\\rangle$ & $x^{35} + x^{34} + x^{33} + x^{31} + x^{27} + x^{25} + x^{24} + x^{22} + x^{20} + x^{18} + x^{17} +\nx^{16} + x^{15} + x^{11} + x^5 + x^4 + x + 1$\\\\\n\n$[[ 36, 30, 2]]_4$ & W &\n$\\langle\\alpha ( x + 1)+  1,x^2 + x + 1\n\\rangle$ & $x^{18} + x^{16} + x^{13} + x^{11} + x^9 + x^8 + x^7 + x^4 + x^3 + 1 $\\\\\n\n$[[ 48, 42, 2]]_4$ & W &\n$\\langle\\alpha ( x + 1)+  1,x^2 + x + 1\n\\rangle$ & $x^{24} + x^{22} + x^{16} + x^{15} + x^{14} + x^{13} + x^{11} + x^{10} + x^7 + x^6 + x^4 + 1 $\\\\\n\n$[[ 56, 50, 2]]_4$ & L &\n$\\langle\\alpha ( x + 1)+  1,x^3 + x + 1\n\\rangle$ & $x^{56} + x^{51} + x^{49} + x^{48} + x^{47} + x^{41} + x^{38} + x^{36} + x^{31} + x^{30} + x^{29} +\nx^{28} + x^{26} + x^{18} + x^{16} + x^{15} + x^{14} + x^{12} + x^{10} + x^9 + x^5 + x^2 + x + 1 $\\\\\n\n$[[ 72, 66, 2]]_4$ & W &\n$\\langle\\alpha ( x + 1)+  1,x^2 + x + 1\n\\rangle$ & $x^{36} + x^{35} + x^{32} + x^{31} + x^{30} + x^{29} + x^{26} + x^{22} + x^{21} + x^{20} + x^{18} +x^{16} + x^{13} + x^{10} + x^9 + x^2 + x + 1 $\\\\\n\n$[[ 84, 76, 2]]_4$ & W &\n$\\langle\\alpha ( x + 1)+  1,x^3 + x + 1\n\\rangle$ & $x^{42} + x^{41} + x^{40} + x^{39} + x^{37} + x^{35} + x^{33} + x^{30} + x^{29} + x^{28} + x^{27} +x^{25} + x^{21} + x^{15} + x^{14} + x^{13} + x^{11} + x^{10} + x^9 + x^6 + x^5 + x^2 +\n        x + 1 $\\\\\n \n\\noalign{\\smallskip}\\hline\n\\end{tabular}%\n}\n\\end{table}\n\\section{Conclusion and Future Works}\n\nIn this paper, we have studied the structure and properties of additive\nright and left polycyclic codes induced by a binary vector $a\\in \\mathbb{F}%\n_{2}^{n}.$ We have also studied different duals of these codes and showed\nthat $C$ is an additive right polycyclic code induced by $a$ if and only if\nthe Hermitian dual code $C^{\\perp }$ is an additive $\\left(\nn,2^{2n-k}\\right) $ sequential code induced by $a$. Finally, we have shown that it is possible to obtain both classical and quantum codes with good\nparameters from these\ncodes.\n\nOur work in this paper is on additive right and left\npolycyclic codes induced by a binary vector $a\\in \\mathbb{F}_{2}^{n}.$ A\ngeneralization of this work to non-binary vectors $a\\in \\mathbb{F}_{4}^{n}$\nwould be interesting. It is known  that (\\cite{Calderbank1998}) constacyclic\nadditive codes that are not cyclic over $\\mathbb{F}_{4}$ are just linear\nconstacyclic codes. Hence, it will be interesting to study the relationship\nbetween additive right and left polycyclic codes over $\\mathbb{F}_{4}$\ninduced by a nonbinary vector $a\\in \\mathbb{F}_{4}^{n}$ and linear\npolycyclic codes over $\\mathbb{F}_{4}$ induced by the vector $a.$ We have\nfew results on this relationship but the work is still in progress. \n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\\section{Introduction}\\label{sec:1}\nEinstein's theory of General Relativity (GR) has experienced unprecedented success in its power to explain astrophysical phenomena ranging from Solar System tests to strong field gravitational wave physics \\cite{Misner:1974qy}. However, this theory of gravity has required important modifications due to observational realities which have arisen over the past few decades. In terms of the energy budget of the Universe, the first modification comes from observations of galaxies and their dynamical structure, which is only possible with the addition of approximately purely gravitational interacting particles, namely \\textit{dark matter}, which may potentially be beyond the standard model of particle physics \\cite{Rubin:1970zza,Navarro:1995iw}. The second and larger contribution to the modification of GR comes from the relatively recent observation of the accelerating expansion of the Universe \\cite{Riess:1998cb,Perlmutter:1998np} which is an observational fact, called \\textit{dark energy}. This can be accounted for in GR through the introduction of the cosmological constant however this poses its own problems \\cite{Weinberg:1988cp}. The $\\Lambda$CDM is the most successful model which can explain the current accelerated expansion and the evolution of the observable Universe at the level of background dynamics, involving the superposition between the dark matter fluid and the cosmological constant. On the other hand, the early period of the Universe also features several facets that need remedy. Most prominently, for $\\Lambda$CDM to correctly produce our current picture of the Universe, a period of cosmological inflation must of taken place \\cite{Guth:1980zm,Linde:1981mu} which would allow for a natural solution to the horizon problem. However, this may also necessitate further particles beyond the standard model \\cite{Lyth:1998xn}. Cosmologically, the time that should be best described by the $\\Lambda$CDM model is the present or late-time period of the Universe. However, recent releases by the Planck collaboration have revealed a growing tension in the local and global measurements of $H_0$ and $f\\sigma_8$ \\cite{Aghanim:2018eyx}. \\medskip\n\nNow, it may be the case that the fundamental and observational problems surrounding $\\Lambda$CDM may be resolved in the coming years, or it may be the case that $\\Lambda$CDM needs to be changed in some way. Over the previous decades there has been concerted efforts in extending GR to account for certain elements of these problems \\cite{Capozziello:2011et}. However, it may also be the case that a new paradigm is needed to confront the growing requirements of constructing a viable theory of gravity. One such treatment is the teleparallel gravity approach where the Levi-Civita connection is replaced with the Weitzenb\\\"{o}ck connection \\cite{AP}. The connection plays a crucial role in gravitational physics in that the expression of curvature, torsion, or nonmetricity is not a property of the manifold itself but of the connection which relates the elemental tangent spaces of the manifold \\cite{Heisenberg:2018vsk}. In this way, one can choose to consider gravitation in terms of the curvatureless Weitzenb\\\"{o}ck connection which also observes the metricity property. \\medskip\n\nIn teleparallel gravity, the gravitation is characterized by the torsion tensor, $\\udt{T}{\\rho}{\\mu\\nu}$, instead of the Riemann tensor in GR and its extensions. As in the GR framework, a Lagrangian can be constructed to represent the gravitational field. Of particular interest, in teleparallel gravity, is that a Lagrangian can be constructed such that it is equivalent to the Einstein-Hilbert Lagrangian up to a total divergence or boundary term, $B$, that is\n\\begin{equation}\\label{ricc_tor_sca_def}\n    R=-T+B,\n\\end{equation}\nwhere $T$ is called the torsion scalar and contains only second order terms, while the boundary term, $B$, encapsulates the higher order contributions to the Ricci scalar, $R$. This is the so-called \\textit{teleparallel equivalent of general relativity} (TEGR) which is equivalent to GR at the level of the field equations \\cite{Cai:2015emx,Krssak:2018ywd}. The natural consequence of this realization is that every test of GR also becomes a test of TEGR with the difference that in TEGR gravity is again observed to act as a (Lorentz) force, and that the barrier with the quantum regime seems to have less tension \\cite{AP}. Moreover, due to the second order nature of the torsion tensor, even in the case where the theory is extended to an $f(T)$ Lagrangian, the resulting field equations remain second order which has important consequences for the gravitational wave polarization modes of the theory. In fact, $f(T)$ gravity continues to exhibit the equivalent polarization modes as in the GR and TEGR settings \\cite{Farrugia:2018gyz}. \\medskip\n\nGiven the decomposition of the Ricci scalar into the second and fourth order terms expressed in Eq.~(\\ref{ricc_tor_sca_def}), we consider the analysis of a tachyonic dark energy model nonminimally coupled to the aforementioned separate contributions through different functionals. In particular, we choose to study a tachyonic scalar field which has been shown to produce an inflationary epoch and late-time accelerating solutions that do not violate the strong energy condition \\cite{Quiros:2009mz,Aguirregabiria:2004xd}. These models are partially inspired by string theory \\cite{Bagla:2002yn,Fang:2010zze,Ortin:2015hya} and $k$-essence theory \\cite{Almeida:2016ixq}. In the teleparallel setting, scalar fields have been investigated to a moderate degree, with various extensions having been investigated in the cosmological context \\cite{Geng:2011aj,Xu:2012jf,Hohmann:2018rwf,PhysRevD.97.084008,Otalora:2013tba,Otalora:2014aoa}. Furthermore, the effects of the boundary couplings in scalar tensor theories have been discussed in various papers \\cite{Hohmann:2018ijr,Bahamonde:2018miw,Abedi:2018lkr,Hohmann:2018rwf, Bahamonde:2017wwk, Marciu:2017sji,Gecim:2017hmn, Bahamonde:2017ifa, Abedi:2017jqx, Fazlpour:2018jzz,Bahamonde:2016grb, Bahamonde:2016cul,MohseniSadjadi:2016ukp, Bahamonde:2015zma}. A recent review on various studies related to dynamical analysis in different cosmological constructions can be found in \\cite{BAHAMONDE20181}. In Ref.~\\cite{Otalora:2013dsa}, a tachyonic field is investigated for the modified teleparallel setting, late-time accelerating attractor solutions are found with a field equation of state that realistically tends to the current dark energy value. This approach was extended to more general models in Ref.~\\cite{Fazlpour:2014qaa} where the attractor solution context is further clarified.    \\medskip\n\nThe work is divided as follows: in Sec.~\\ref{sec:2} the tachyonic approach to extended teleparallel theories of gravity is introduced with a focus on the cosmological consequences of the treatment. In Sec.~\\ref{sec:3}, the dynamical analysis of the system is undertaken for specific choices of tachyonic field. Finally, in Sec.~\\ref{sec:4} the conclusions are summarized and discussed. Unless stated otherwise geometric units are used throughout the paper. In addition, $e^a_\\mu$ and $E_a^\\mu$ represent the tetrads and the inverse of the tetrads respectively and the $(+---)$ metric signature is used.\n\n\n\\section{Generalized Tachyonic Teleparallel theories of gravity}\\label{sec:2}\n\\noindent In this paper, we present a new teleparallel tachyonic model based on the following action\n\\begin{equation}\nS = \\int\n\\left[\\frac{T}{2\\kappa^2}+\\frac{1}{2}f(\\phi) T+\\frac{1}{2}g(\\phi)B-V(\\phi)\\sqrt{1-\\frac{2X}{V(\\phi)}}+L_{\\rm m}\\right] e\\, d^4x \\,,\\label{1}\n\\end{equation}\nwhere $\\kappa^2=8\\pi G$, $L_{\\rm m}$ is a matter Lagrangian, $T$ is the scalar torsion, $B=(2\/e)\\partial_{\\mu}(eT^{\\mu})$ is the boundary term, $f(\\phi)$ and $g(\\phi)$ are scalar field dependent coupling functions, $V(\\phi)$ is the potential\nand\n\\begin{equation}\n    X=\\frac{1}{2}(\\partial_\\mu \\phi)( \\partial^\\mu \\phi)\n\\end{equation}\nis the kinetic term. The torsion tensor is identified as\n\\begin{equation}\n    \\udt{T}{a}{\\mu\\nu}=\\partial_{\\mu}e^a_{\\nu}-\\partial_{\\nu}e^a_{\\mu}+\\udt{\\omega}{a}{b\\mu}e^b_{\\nu}-\\udt{\\omega}{a}{b\\nu}e^b_{\\mu}\\,,\n\\end{equation}\nwhere $e^a_{\\nu}$ form a tetrad field of the gravitational system and represent coordinate transformations between the general manifold and the tangent space at any point, while $\\udt{\\omega}{a}{b\\mu}$ form the spin connection components which are purely inertial and sustain the local Lorentz invariance of the theory \\cite{Krssak:2015oua,Cai:2015emx}. The torsion scalar is then defined through the contraction\n\\begin{equation}\n    T=\\udt{T}{a}{\\mu\\nu}\\dut{S}{a}{\\mu\\nu},\n\\end{equation}\nwhere the superpotential is defined as \n\\begin{equation}\n    \\dut{S}{a}{\\mu\\nu}=\\frac{1}{2}\\left(\\dut{T}{a}{\\mu\\nu}+\\udt{T}{\\nu\\mu}{a}-\\udt{T}{\\mu\\nu}{a}\\right)-E^a_{\\nu}\\udt{T}{\\alpha\\mu}{\\alpha}+E^a_{\\mu}\\udt{T}{\\alpha\\nu}{\\alpha}\\,.\n\\end{equation}\nThis work considers an analogous generalization of other Tachyonic models studied in the literature \\cite{Otalora:2013dsa}. By taking, $f(\\phi)=-g(\\phi)$, one recovers a Tachyonic theory with a non-minimally coupling between the scalar field and the Ricci scalar $R$ due to the relation in Eq.~(\\ref{ricc_tor_sca_def}). By taking $g(\\phi)=0$, one recovers a teleparallel Tachyonic theory where the torsion scalar $T$ is non-minimally coupled with the scalar field. In \\cite{Banijamali:2012nx}, the authors found that this coupling allows the crossing of the phantom divide line. The new coupling between the scalar field and the boundary term is motivated from the scalar tensor theory studied in \\cite{Bahamonde:2015hza,Zubair:2016uhx}, where the authors found that, without fine-tunning, the system evolves to a late-time accelerating attractor solution.\n\n\\noindent By taking variation with respect to the tetrad, we find the corresponding gravitational field equations given by\n\\begin{eqnarray}\n2\\Big(\\frac{1}{\\kappa^2}+f(\\phi)\\Big)\\left[ e^{-1}\\partial_\\mu (e S_{a}{}^{\\mu\\nu})-E_{a}^{\\lambda}T^{\\rho}{}_{\\mu\\lambda}S_{\\rho}{}^{\\nu\\mu}-\\frac{1}{4}E^{\\nu}_{a}T\\right]-E_a^\\nu V(\\phi)\\sqrt{1-\\frac{2X}{V(\\phi)}}\n\\nonumber\\\\ -\\frac{1}{\\sqrt{1-\\frac{2X}{V(\\phi)}}}E_a^\\nu \\partial_\\mu \\phi \\partial^\\mu \\phi+ 2(\\partial_{\\mu}f(\\phi)+\\partial_{\\mu}g(\\phi)) E^\\rho_a S_{\\rho}{}^{\\mu\\nu}+E^{\\nu}_{a}\\Box g(\\phi)-E^\\mu_a \\nabla^{\\nu}\\nabla_{\\mu}g(\\phi)=  \\mathcal{T}^\\nu_a\\,. \\label{2}\n\\end{eqnarray}\nHere, $\\nabla_\\mu$ is the covariant derivative with respect to the Levi-Civita connection and $\\Box=\\nabla^\\mu\\nabla_\\mu$. By taking variations with respect to the scalar field, one finds\n\\begin{align}\n  \\frac{V'(\\phi)}{2V(\\phi)\\sqrt{1-\\frac{2X}{V(\\phi)}}}(\\partial_\\mu \\phi)( \\partial^\\mu \\phi)   +\\partial_\\mu \\Big(\\frac{\\partial^\\mu \\phi}{\\sqrt{1-\\frac{2X}{V(\\phi)}}}\\Big)+V'(\\phi)\\sqrt{1-\\frac{2X}{V(\\phi)}}&=\\frac{1}{2}\\Big(f'(\\phi)T+g'(\\phi)B\\Big)\\,.\\label{KG}\n\\end{align}\n\nFor the flat FLRW metric in Cartesian coordinates, the metric is given by\n\\begin{equation}\n    ds^2=dt^2-a(t)^2(dx^2+dy^2+dz^2)\\,,\n\\end{equation}\nwhere $a(t)$ is the cosmological scale factor. This can equivalently be described by the tetrad field\n\\begin{equation}\n    e_\\mu^a=\\textrm{diag}(1,a(t),a(t),a(t))\\,,\n\\end{equation}\nwhich naturally induce vanishing spin connection components \\cite{Krssak:2015oua,Cai:2015emx}. The ensuing Friedmann equations then turn out to be represented by\n\\begin{eqnarray}\n3H^2&=&\\rho_{\\rm m}-3H^2 f(\\phi)+3 H \\dot{\\phi}g'(\\phi )+\\frac{V(\\phi )}{\\sqrt{1-\\frac{\\dot{\\phi}^2}{V(\\phi)}}}\\,,\\label{eq1}\\\\\n3 H^2+2 \\dot{H}&=&-p_{\\rm m}-3 H^2f(\\phi)-2 f(\\phi) \\dot{H}-2  H \\dot{\\phi}f'(\\phi)+\\dot{ \\phi}^2 g''(\\phi)+  \\ddot{ \\phi} g'(\\phi)+V(\\phi) \\sqrt{1-\\frac{\\dot{\\phi}^2}{V(\\phi)}}\\,,\\label{eq2}\n\\end{eqnarray}\nwhere $\\kappa=1$ was assumed, dots represent differentiation with respect to cosmic time and primes with respect to the scalar field. It should be noted that a standard perfect fluid with energy density $\\rho_{\\rm m}$ and pressure $p_{\\rm m}$ is being assumed. It is straightforward to show that the standard conservation of the energy-momentum tensor gives \n\\begin{align}\n    \\dot{\\rho}_{\\rm m}+3H(\\rho_{\\rm m}+p_{\\rm m})=0\\,,\n\\end{align}\nwhich is the standard conservation equation for matter.\n\n\\noindent The scalar field relation in Eq.~(\\ref{KG}) takes the following form\n\\begin{eqnarray}\n\\ddot{\\phi}+3 H\\dot{\\phi} \\left(1-\\frac{\\dot{\\phi}^2}{V(\\phi )}\\right)+\\left(1-\\frac{3 \\dot{\\phi}^2}{2 V(\\phi)}\\right) V'(\\phi)&=&-\\left(1-\\frac{\\dot{\\phi}^2}{V(\\phi )}\\right)^{3\/2}\\left[3 H^2 f'(\\phi)+3 \\left(3 H^2+\\dot{H}\\right) g'(\\phi) \\right]\\,.\n\\end{eqnarray}\nIt can be shown that this equation can be also found directly from the modified FLRW equations \\eqref{eq1}--\\eqref{eq2}, therefore, it is not an extra constraint equation.\n\n\\noindent The Friedmann equations can also equivalently be rewritten as their GR analogue with an additional effective fluid component so that\n\\begin{eqnarray}\n3H^2=\\rho_{\\rm eff}\\,,\\quad 3 H^2+2 \\dot{H}=-p_{\\rm eff}\\,,\n\\end{eqnarray}\nwhere $\\rho_{\\rm eff}=\\rho_{\\rm m}+\\rho_{\\phi}$ and $p_{\\rm eff}=p_{\\rm m}+p_{\\phi}$ with the new fluid quantities defined as follows\n\\begin{align}\n    \\rho_{\\phi}&=-3H^2 f(\\phi)+3 H \\dot{\\phi}g'(\\phi )+\\frac{V(\\phi )}{\\sqrt{1-\\frac{\\dot{\\phi}^2}{V(\\phi)}}}\\,,\\\\\n    p_{\\phi}&=3 H^2f(\\phi)+2 f(\\phi) \\dot{H}+2  H \\dot{\\phi}f'(\\phi)-\\dot{ \\phi}^2 g''(\\phi)-  \\ddot{ \\phi} g'(\\phi)-V(\\phi) \\sqrt{1-\\frac{\\dot{\\phi}^2}{V(\\phi)}}\\,.\n\\end{align}\nIt is then convenient to introduce the effective equation of state parameter\n\\begin{eqnarray}\nw_{\\rm eff}=\\frac{p_{\\rm eff}}{\\rho_{\\rm eff}}=\\frac{p_{\\rm m}+p_{\\phi}}{\\rho_{\\rm m}+\\rho_{\\phi}}\\,,\n\\end{eqnarray}\nwhich means that the density parameters of the contributing components take the form\n\\begin{align}\n    \\Omega_{\\rm m}=\\frac{\\rho_{\\rm m}}{3H^2}\\,,\\quad \\Omega_{\\phi}=\\frac{\\rho_{\\phi}}{3H^2}\\,,\\label{energydensity}\n\\end{align}\nin such a way that $\\Omega_{\\rm m}+\\Omega_{\\phi}=1$ holds.\n\n\n\\section{Dynamical system of the model}\\label{sec:3}\nIn this section, we will study the dynamical system of our model which only has non-minimally couplings between the scalar field and the boundary terms, therefore we will assume that $f(\\phi)=0$, and $g(\\phi)\\neq0$. The dynamical system for the case $f(\\phi)\\neq 0$ and $g(\\phi)=0$ was studied previously in~\\cite{Otalora:2013dsa,Fazlpour:2014qaa}. Let us first introduce the following dimensionless variables\n\\begin{align}\n    x=\\frac{\\dot{\\phi}}{\\sqrt{V(\\phi)}}\\,,\\quad y=\\frac{\\sqrt{V(\\phi)}}{\\sqrt{3}H}\\,,\\quad u=\\frac{1}{2}g'(\\phi)\\,,\\quad \\lambda=-\\frac{V'(\\phi)}{V(\\phi)}\\,,\n\\end{align}\nso that $y>0$. By using these variables in the first FLRW equation in Eq.~(\\ref{eq1}) and the definition of the energy density parameter given by Eq.~(\\ref{energydensity}), one gets the constraint\n\\begin{align}\n     0 \\leq \\Omega_{\\rm m}= 1-2 \\sqrt{3}   u x y-\\frac{y^2}{\\sqrt{1-x^2}}\\leq 1\\,,\n\\end{align}\nwhich gives the phase space of the dynamical system. One needs to choose $g(\\phi)$ to write down the full dynamical system of the model. Therefore, in the next sections, we will study two different kind of couplings: power-law and exponential types. We will further assume standard a barotropic fluid given by $p_{\\rm m}=w_{\\rm m} \\rho_{\\rm m}$.\n\n\\subsection{Power-law coupling and exponential potential}\nAssuming a power-law coupling between the boundary term and the scalar field  means setting\n\\begin{eqnarray}\ng(\\phi)=\\chi \\phi^p\\,, \n\\end{eqnarray}\nwhere $\\chi$ and $p$ are both constants. It is possible to write down the dynamical equations of the system as a 4-dimensional one with a generic potential. This can be done if one introduces the variable \n\\begin{align}\n    \\Gamma=\\frac{V(\\phi) V''(\\phi)}{V'(\\phi ) V'(\\phi)}\\,.\n    \\label{ecuatie_gamma}\n\\end{align}\nBy introducing the variable $N=\\log(a)$, the dynamical system for this kind of couplings can be written as\n\\begin{equation}\n\\frac{dx}{dN}=\\frac{\\ddot{\\phi}}{\\sqrt{3} H^2 y}+\\frac{1}{2} \\sqrt{3} \\lambda  x^2 y, \\nonumber\n\\end{equation}\n\\begin{equation}\n    \\frac{dy}{dN}=-\\frac{y \\dot{H}}{H^2}-\\frac{1}{2} \\sqrt{3} \\lambda  x y^2, \\nonumber\n\\end{equation}\n\\begin{equation}\n\\frac{du}{dN}=\\sqrt{3} \\cdot 2^{\\frac{1}{1-p}} (p-1) p \\chi  x y \\left(\\frac{u}{p \\chi }\\right)^{\\frac{p-2}{p-1}}, \\nonumber\n\\end{equation}\n\\begin{equation}\n\\frac{d\\lambda}{dN}=-\\sqrt{3} (\\Gamma-1) \\lambda^2 x y\\,,\n\\nonumber\n\\end{equation}\nwhere\n\\begin{equation}\n    \\ddot{\\phi}=3 H^2 \\lambda  \\left(1-\\frac{3 x^2}{2}\\right) y^2-3 \\sqrt{3} H^2 x \\left(1-x^2\\right) y-6 u \\left(1-x^2\\right)^{3\/2} \\left(3 H^2+\\dot{H}\\right),\\nonumber\n\\end{equation}\nand\n\\begin{multline}\n    \\dot{H}=\\frac{3 H^2}{12 u^2 \\left(1-x^2\\right)^{3\/2}+2}\\cdot \\Bigg[ w_m \\left(2 \\sqrt{3} u x y+\\frac{y^2}{\\sqrt{1-x^2}}-1\\right)+2^{\\frac{p-2}{p-1}} (p-1) p \\chi  x^2 y^2 \\left(\\frac{u}{p \\chi }\\right)^{\\frac{p-2}{p-1}}\n    \\\\\n    -12 u^2 \\left(1-x^2\\right)^{3\/2}-\\lambda  u \\left(3 x^2-2\\right) y^2+2 \\sqrt{3} u x \\left(x^2-1\\right) y+\\sqrt{1-x^2} y^2-1 \\Bigg].\\label{eq:11}\n\\end{multline}\nThis dynamical system assumes that $p\\neq 1$. The case $p=1$ is a very special one which gives a 3-dimensional dynamical system of equations, but generically, does not give any interesting cosmological behaviour. One more realistic model is the one where $p=2$ which gives a coupling like $(1\/2)\\chi \\phi^2 B $ which was studied in \\cite{Bahamonde:2015hza}. In that case however, non-tachyonic scalar fields were considered. In what follows, we shall consider the case where we have a specific coupling, $g(\\phi)=\\chi \\phi^p$, with $p=2$ and an exponential potential $V(\\phi)=V_0 e^{- \\lambda \\phi}$, where $\\lambda$ is a positive constant. In this case, the dynamical evolution of the model can be described by a 3D autonomous system of differential equations\n\\begin{multline}\n\\label{equu1}\n    \\frac{dx}{dN}=\\frac{1}{y \\left(6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}\\right)} \\Big(  -18 u^2 x^5 y w_{\\rm m}+36 u^2 x^3 y w_{\\rm m}-18 u^2 x y w_{\\rm m}+3 \\sqrt{3} u x^4 w_{\\rm m}+3 u \\sqrt{3-3 x^2} x^2 y^2 w_{\\rm m}\n    \\\\-3 u \\sqrt{3-3 x^2} y^2 w_{\\rm m}-6 \\sqrt{3} u x^2 w_{\\rm m}+3 \\sqrt{3} u w_{\\rm m}+3 \\sqrt{3} \\lambda  u^2 x^6 y^2-6 \\sqrt{3} \\lambda  u^2 x^4 y^2+3 \\sqrt{3} \\lambda  u^2 x^2 y^2\n    \\\\-6 \\sqrt{3} u \\chi  x^6 y^2+12 \\sqrt{3} u \\chi  x^4 y^2-3 \\sqrt{3} u x^4-6 \\sqrt{3} u \\chi  x^2 y^2\n    +6 \\sqrt{3} u \\sqrt{1-x^2} x^2 y^2-3 \\sqrt{3} u \\sqrt{1-x^2} y^2\n    \\\\+6 \\sqrt{3} u x^2-3 \\sqrt{3} u \\sqrt{1-x^2} x^4 y^2-3 \\sqrt{3} u-\\sqrt{3} \\lambda  \\sqrt{1-x^2} x^2 y^2+\\sqrt{3} \\lambda  \\sqrt{1-x^2} y^2-3 \\sqrt{1-x^2} x y+3 \\sqrt{1-x^2} x^3 y\\Big) \\,,\n\\end{multline}\n\\begin{multline}\n    \\frac{dy}{dN}=\\frac{1}{2 \\left(6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}\\right)} \\Big( -6 u \\sqrt{3-3 x^2} x y^2 w_{\\rm m}+3 \\sqrt{1-x^2} y w_{\\rm m}-3 y^3 w_{\\rm m}-6 \\sqrt{3} \\lambda  u^2 x^5 y^2+36 u^2 x^4 y\n    \\\\+12 \\sqrt{3} \\lambda  u^2 x^3 y^2-72 u^2 x^2 y-6 \\sqrt{3} \\lambda  u^2 x y^2+36 u^2 y+9 \\lambda  u \\sqrt{1-x^2} x^2 y^3-6 \\lambda  u \\sqrt{1-x^2} y^3\n    \\\\+6 \\sqrt{3} u \\sqrt{1-x^2} x y^2-6 \\sqrt{3} u \\sqrt{1-x^2} x^3 y^2-6 \\chi  \\sqrt{1-x^2} x^2 y^3+3 x^2 y^3-\\lambda  \\sqrt{3-3 x^2} x y^2+3 \\sqrt{1-x^2} y-3 y^3 \n    \\Big)\\,,\n\\end{multline}\n\\begin{equation}\n\\label{equu2}\n    \\frac{du}{dN}=\\sqrt{3} \\chi  x y.\n\\end{equation}\n\\par \n\\noindent In this scenario, the effective equation of state for the dark energy field can be written as:\n\\begin{multline}\n    w_{\\rm eff}=\\frac{1}{6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}} \\Big( -2 u \\sqrt{3-3 x^2} x y w_{\\rm m}+\\sqrt{1-x^2} w_{\\rm m}-y^2 w_{\\rm m}+6 u^2 x^4-12 u^2 x^2+6 u^2+3 \\lambda  u \\sqrt{1-x^2} x^2 y^2\n    \\\\-2 \\lambda  u \\sqrt{1-x^2} y^2+2 \\sqrt{3} u \\sqrt{1-x^2} x y-2 \\sqrt{3} u \\sqrt{1-x^2} x^3 y-2 \\chi  \\sqrt{1-x^2} x^2 y^2+x^2 y^2-y^2 \\Big)\\,.\n\\end{multline}\nNext, the critical points are determined by considering that the RHS of Eqs.~(\\ref{equu1})--(\\ref{equu2}) are equal to zero, taking into account also the physical viability which requires: $0\\leq \\Omega_{m}=1-\\Omega_{\\phi}\\leq 1$, $y\\geq 0$, $1-x^2>0$ and the location of the corresponding critical points is the the real space. In the case of this specific power law coupling and for an exponential potential, the phase space structure has a reduced complexity, having only one critical point located at $O(x,y,u)=\\left(0, 1,\\frac{\\lambda }{6}  \\right)$, with the following eigenvalues\n\\begin{equation}\n    \\Xi_{O}=\\left[-\\frac{3 \\left(\\sqrt{\\left(\\lambda ^2+6\\right) \\left(\\lambda ^2-48 \\chi +6\\right)}+\\lambda ^2+6\\right)}{2 \\left(\\lambda ^2+6\\right)},\\frac{3 \\left(\\sqrt{\\left(\\lambda ^2+6\\right) \\left(\\lambda ^2-48 \\chi +6\\right)}-\\lambda ^2-6\\right)}{2 \\left(\\lambda ^2+6\\right)},-3 \\left(w_{\\rm m}+1\\right) \\right]\\,.\n\\end{equation}\nThis critical point corresponds to a de Sitter evolution, acting as a cosmological constant $ w_{\\rm eff}= -1 $, implying the full domination of the tachyonic dark energy field over the matter component, $\\Omega_m=1-\\Omega_{\\phi}=0$. For this critical point, we show in Fig.~\\ref{fig:unu}, various regions for the model's parameters which are connected to different cosmological scenarios, corresponding to a stable and stable spiral evolution, respectively.\n\\begin{figure}[H]\n  \n    \\begin{minipage}{0.45\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{O_stable_point.pdf}\n    \\end{minipage}\\hfill\n    \\begin{minipage}{0.45\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{O_stable_spiral_point.pdf}\n    \\end{minipage}\n     \\caption{(a) The case where the critical point $O$ represents a stable cosmological scenario (left panel); (b) The situation where $O$ corresponds to a stable spiral evolution, due to complex eigenvalues (right panel).}\n     \\label{fig:unu}\n\\end{figure}\n\n\n\\subsection{Exponential coupling and inverse hyperbolic sine potential}\nHere, we investigate the case where the coupling functional is represented by an exponential, $g(\\phi)=g_0 e^{\\alpha \\phi}$, with $g_0$ and $\\alpha$ constants. The potential energy associated with the present tachyonic dark energy model is considered to be an inverse hyperbolic sine, $V(\\phi)= V_0 \\sinh^{-\\omega_1}(\\omega_2 \\phi)$, with $\\omega_{1,2}$ constants. This type of potential is beyond the usual exponential type considered in many dynamical analysis and is motivated by the recent work in Ref.~\\cite{Roy:2017uvr}, where the structure of the phase space for non--canonical fields with the potential energy beyond exponential type was investigated. The potential energy considered in this section, the inverse hyperbolic sine \\cite{UrenaLopez:2000aj,Sahni:1999gb} represents a possible parameterization for the dark energy field which is associated to a second order polynomial in the dynamical equation for the dimensionless variable $\\lambda$. As discussed in Ref.~\\cite{Roy:2017uvr}, if we denote $f(\\lambda)=\\lambda^2(\\Gamma-1)$ with $\\Gamma$ defined in the relation in Eq.~(\\ref{ecuatie_gamma}), then for this specific potential, the function $f(\\lambda)$ obeys a second order polynomial parameterization $f(\\lambda)=a \\lambda^2+b \\lambda + c$, with $a,b,c$ constant parameters. For the specific potential considered here, the inverse hyperbolic sine, we find that $f(\\lambda)=\\lambda^2\/\\omega_1-\\omega_1 \\omega_2^2$. \n\n\n\n\\begin{figure}[H]\n   \n    \\begin{minipage}{0.35\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{PointA_1.pdf}\n    \\end{minipage}\\hfill\n    \\begin{minipage}{0.35\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{PointA_2.pdf}\n    \\end{minipage}\n     \\caption{(a) The case where the critical line $A$ has a saddle cosmological behavior, considering $w_{\\rm m}=0$, $u=0$, $\\alpha=1$  (left panel); (b) The situation where $A$ corresponds to a saddle critical line, considering $w_{\\rm m}=0$, $\\omega_1=\\omega_2$, $\\alpha=1$ (right panel).}\n     \\label{fig:aaa}\n\\end{figure}\n\n\\begin{figure}[th]\n   \n    \\begin{minipage}{0.35\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{PointBminusminus.pdf}\n    \\end{minipage}\\hfill\n    \\begin{minipage}{0.35\\textwidth}\n        \\centering\n        \\includegraphics[width=0.9\\textwidth]{PointBplusplus.pdf}\n    \\end{minipage}\n     \\caption{(a) The case where the critical point $B_{-}^{-}$ has a stable cosmological behavior, considering $w_{\\rm m}=-0.001$, $\\alpha=2$ (left panel); (b) The situation where $B_{+}^{+}$ corresponds to a stable scenario, considering $w_{\\rm m}=-0.01$,  $\\alpha=-1$ (right panel).}\n     \\label{fig:bbbaaa}\n\\end{figure}\n\n\nIn this case, the evolution of the dynamical system can be written as the following system of differential equations\\begin{multline}\n\\frac{dx}{dN}=-\\frac{1}{y \\left(6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}\\right)}(x^2-1) \\Big[-3 u w_{\\rm m} \\left(-6 u x^3 y+6 u x y+\\sqrt{3-3 x^2} y^2+\\sqrt{3} x^2-\\sqrt{3}\\right)\n\\\\+3 \\sqrt{3} u^2 x^2 \\left(x^2-1\\right) y^2 (2 \\alpha -\\lambda )+3 \\sqrt{3} u \\left(x^2-1\\right) \\left(\\sqrt{1-x^2} y^2+1\\right)+\\sqrt{1-x^2} y \\left(\\sqrt{3} \\lambda  y-3 x\\right) \\Big]\\,,\n\\label{eq:12}\n\\end{multline}\n\\begin{multline}\n\\frac{dy}{dN}=-\\frac{y}{2 \\left(6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}\\right)} \\Big[ 3 w_{\\rm m} \\left(2 u x \\sqrt{3-3 x^2} y-\\sqrt{1-x^2}+y^2\\right)+6 u^2 \\left(x^2-1\\right)^2 \\left(\\sqrt{3} \\lambda  x y-6\\right)\n\\\\+3 u \\sqrt{1-x^2} y \\left(2 \\sqrt{3} x^3+x^2 y (2 \\alpha -3 \\lambda )-2 \\sqrt{3} x+2 \\lambda  y\\right)-3 x^2 y^2+\\lambda  x \\sqrt{3-3 x^2} y-3 \\sqrt{1-x^2}+3 y^2 \\Big]\\,,\n\\end{multline}\n\\begin{equation}\n\\frac{du}{dN}=\\sqrt{3} \\alpha  u x y\\,,\n\\end{equation}\n\\newpage and finally the last equation for the dynamical system given by\n\\begin{equation}\n\\frac{d\\lambda}{dN}=-\\sqrt{3} x y \\left(\\frac{\\lambda ^2}{\\omega _1}-\\omega _1 \\omega _2^2\\right)\\,.\\label{eq:16}\n\\end{equation}\nThe total effective equation of state is:\n\\begin{align}\n    w_{\\rm eff}&=\\frac{1}{6 u^2 \\left(x^2-1\\right)^2+\\sqrt{1-x^2}} \\Big( -u \\sqrt{1-x^2} y \\left(2 \\sqrt{3} x \\left(w_{\\rm m}-1\\right)+2 \\sqrt{3} x^3+x^2 y (2 \\alpha -3 \\lambda )+2 \\lambda  y\\right)\n  \\nonumber  \\\\\n    &+w_{\\rm m} \\left(\\sqrt{1-x^2}-y^2\\right)+6 u^2 \\left(x^2-1\\right)^2+\\left(x^2-1\\right) y^2\\Big)\\,.\n\\end{align}\n\nNext, as in the previous case, the critical points are obtained by considering that the RHS of the evolution equations in Eqs.~(\\ref{eq:12})--(\\ref{eq:16}) are equal to zero. For the potential energy of the inverse hyperbolic sine type, the critical points and the main physical properties are expressed in Table~\\ref{table:que}. It should be noted that for dust matter $w_{\\rm m}=0$, only the critical point $A$ exists in the phase space. As can be noted from this table, one can observe two main classes of critical points. The first class, denoted as $A$ represents a critical line which corresponds to a cosmological constant behavior, having an interrelation between the auxiliary variable $u$ associated to the coupling function $g(\\phi)$ and the strength of the potential energy, embedded into the non--constant $\\lambda$ variable. This epoch corresponds to a de Sitter universe, a critical line where the dark energy field dominates in terms of density parameters. Analyzing the corresponding eigenvalues, due to the presence of a zero eigenvalue, the linear stability method fails to provide a viable theoretical framework for determining the stability properties. Hence, for this critical line we can only argue on the specific cases where we have a saddle cosmological behavior, due to the presence of eigenvalues with both positive and negative real parts. Concerning this critical line, we display in Fig.~(\\ref{fig:aaa}) various regions for the model's parameters which correspond to a saddle cosmological behavior, due to the existence of at least one eigenvalue with negative real part, and at least an eigenvalue with positive real part.\n\nA second class of critical points displayed in Table~\\ref{table:que} is represented by the $B_{i}^{j}$, $i,j=\\left \\{ +,- \\right \\}$ critical points which have a scaling cosmological behavior, an epoch in which the dark energy field acts as a matter component and mimics a matter dominated epoch. This type of solutions can in principle solve the cosmic coincidence problem. For these solutions, we have shown in Table~\\ref{table:que} the locations in the phase space and the corresponding physical properties associated. From a physical point of view, the validity of these solutions implies that various  existence conditions are satisfied. These corresponds to the requirement that the critical points belong to the real space, and the corresponding density parameters are physically viable, $\\Omega_{\\phi}=1-\\Omega_{m} \\in \\left[ 0,1 \\right]$. Moreover, due to the definition of the dimensionless variables within this section, one should add the requirement that the $y$ variable is real and positive and $x \\in \\left( -1,1 \\right)$ due to the form of the matter (dark energy) density parameter. From the expression of the $x$ variable presented in the table, it can be seen that the existence conditions imply that for the present tachyonic dark energy model $w_{\\rm m} \\in \\left[-1, 0\\right)$. Assuming that the matter component is embedded into the dark matter fluid, this implies that the pressure associated to the dark matter fluid is negative, an exotic situation which is not excluded by different cosmological observations~\\cite{Thomas:2016iav, Yang:2016dhx, PhysRevD.88.127301,PhysRevD.71.047302}. Moreover, for the critical points $B_{\\left[+,-\\right]}^{-}$, the existence conditions imply that the product $\\omega_{1}\\omega_2$ is negative, while for the solutions $B_{\\left[+,-\\right]}^{+}$ we have an inverted situation, $\\omega_{1}\\omega_2>0$. Hence, the current tachyonic dark energy model might contribute to a solution of the cosmic coincidence problem due to the scaling solutions since it can recover matter and de Sitter cosmological epochs. The stability of the points $B_{\\pm}^{\\pm}$ depend on the sign of the eigenvalues. In general, the stability conditions for each point are very cumbersome since they depend on the parameters $\\alpha, w_{\\rm m}$ and $\\omega_{1,2}$. Concerning the stability properties, we show in Fig.~\\ref{fig:bbbaaa} various cases which corresponds to the stability associated to the $B_{-}^{-}$ and $B_{+}^{+}$ critical points, determining possible values of the $\\omega_{1,2}$ parameters which result in stable scaling solutions. Point $A$ is a non-hyperbolic point and standard linear stability theory fails on describing any stability property of it. One can use other dynamical system techniques as centre manifold theory to study its stability (see~\\cite{BAHAMONDE20181, Leon:2015via}). However, due to limited physical effects associated to the $A$ critical point, we relied our analysis only on linear stability methods, exploring the specific conditions where the stability corresponds to a saddle dynamical behavior. The present discussion can be adapted also for various potential types beyond exponential which have been studied in Ref.~\\cite{Roy:2017uvr} with compatible results. \n\\begin{table}[t!]\n \n    \\label{tab:table1}\n    \\begin{tabular}{|c|c|c|c|c|c|c|c|} \n \\hline\n Point & x & y & u & $\\lambda$ & $\\Omega_{\\phi}$ & $w_{\\rm eff}$ & Eigenvalues\\\\ \n \\hline\\hline\n A& 0 & 1 & u & 6u & 1 & -1 & $0,-3 \\left(w_{\\rm m}+1\\right),-\\frac{3}{2} \\pm \\frac{\\sqrt{3} \\sqrt{\\left(6 u^2+1\\right) \\omega _1 \\left(\\omega _1 \\left(18 u^2-24 \\alpha  u+3\\right)-144 u^2+4 \\omega _1^2 \\omega _2^2\\right)}}{2 \\left(6 u^2+1\\right) \\omega _1}$ \\\\ \n \\hline\n $B_{+}^{-}$& $\\sqrt{w_{\\rm m}+1}$ & $-\\frac{\\sqrt{3} \\sqrt{w_{\\rm m}+1}}{\\omega _1 \\omega _2}$ & 0 & $-\\omega _1 \\omega _2$ & $\\frac{3 \\left(w_{\\rm m}+1\\right)}{\\omega _1^2 \\omega _2^2 \\sqrt{-w_{\\rm m}}}$ & $w_{\\rm m}$ & $ -\\frac{3 \\alpha  \\left(w_{\\rm m}+1\\right)}{\\omega _1 \\omega _2},-\\frac{6 \\left(w_{\\rm m}+1\\right)}{\\omega _1}, \\frac{3}{4} \\left( w_{\\rm m}-1\\pm \\Xi \\right)$ \\\\ \n \\hline\n $B_{-}^{+}$& $-\\sqrt{w_{\\rm m}+1}$ & $\\frac{\\sqrt{3} \\sqrt{w_{\\rm m}+1}}{\\omega _1 \\omega _2}$ & 0 & $-\\omega _1 \\omega _2$ & $\\frac{3 \\left(w_{\\rm m}+1\\right)}{\\omega _1^2 \\omega _2^2 \\sqrt{-w_{\\rm m}}}$ & $w_{\\rm m}$ & $-\\frac{3 \\alpha  \\left(w_{\\rm m}+1\\right)}{\\omega _1 \\omega _2},-\\frac{6 \\left(w_{\\rm m}+1\\right)}{\\omega _1}, \\frac{3}{4}\\left(w_{\\rm m}-1 \\pm \\Xi \\right) $ \\\\ \n \\hline\n $B_{-}^{-}$& $-\\sqrt{w_{\\rm m}+1}$ & $-\\frac{\\sqrt{3} \\sqrt{w_{\\rm m}+1}}{\\omega _1 \\omega _2}$ & 0 & $\\omega _1 \\omega _2$ & $\\frac{3 \\left(w_{\\rm m}+1\\right)}{\\omega _1^2 \\omega _2^2 \\sqrt{-w_{\\rm m}}}$ & $w_{\\rm m}$ & $ \\frac{3 \\alpha  \\left(w_{\\rm m}+1\\right)}{\\omega _1 \\omega _2},-\\frac{6 \\left(w_{\\rm m}+1\\right)}{\\omega _1}, \\frac{3}{4}\\left(w_{\\rm m}-1 \\pm \\Xi \\right)$ \\\\\n \\hline\n  $B_{+}^{+}$& $\\sqrt{w_{\\rm m}+1}$ & $\\frac{\\sqrt{3} \\sqrt{w_{\\rm m}+1}}{\\omega _1 \\omega _2}$ & 0 & $\\omega _1 \\omega _2$ & $\\frac{3 \\left(w_{\\rm m}+1\\right)}{\\omega _1^2 \\omega _2^2 \\sqrt{-w_{\\rm m}}}$ & $w_{\\rm m}$ & $\\frac{3 \\alpha  \\left(w_{\\rm m}+1\\right)}{\\omega _1 \\omega _2},-\\frac{6 \\left(w_{\\rm m}+1\\right)}{\\omega _1}, \\frac{3}{4}\\left(w_{\\rm m}-1 \\pm \\Xi \\right) $ \\\\ \n \\hline\n\\end{tabular}\n \n  \\caption{The critical points in the case of exponential coupling and inverse hyperbolic sine potential. The auxiliary variable $\\Xi$ used in the description of the eigenvalues for the various critical points is equal to: $\\Xi=\\frac{\\sqrt{\\omega _1^4 \\omega _2^4 \\left(-w_{\\rm m}\\right) \\left(w_{\\rm m}+1\\right) \\left(17 \\omega _1^2 \\omega _2^2 w_{\\rm m}^2+14 \\omega _1^2 \\omega _2^2 w_{\\rm m}-96 \\left(-w_{\\rm m}\\right){}^{3\/2}+48 \\left(-w_{\\rm m}\\right){}^{5\/2}+48 \\sqrt{-w_{\\rm m}}+\\omega _1^2 \\omega _2^2\\right)}}{\\omega _1^3 \\omega _2^3 \\sqrt{-w_{\\rm m} \\left(w_{\\rm m}+1\\right)}}$}\n\\label{table:que}\n\\end{table}\n\n\n\n\\section{Conclusions}\\label{sec:4}\nIn this paper, we have considered a new dark energy model in the teleparallel equivalent of general relativity, based on modifications due to tachyonic fields which are non--minimally coupled with the torsion scalar and its boundary term. In this approach, the boundary term is related to the divergence of the torsion vector and the torsion scalar reproduces the same theory as GR at the level of the field equations. After finding the corresponding field equations for this tachyonic dark energy model, we analyzed the effects of the non--minimal coupling by employing the linear stability theory. In the first scenario, we considered the case where the coupling function is represented by a power law dependence, and the potential energy term corresponds to an exponential. In this case, we observed that the structure of the phase space has a reduced complexity. The critical points which are present corresponds to a cosmological constant behavior. Hence, in this case one notices that the evolution of the dynamical system can explain the current accelerated expansion of the present Universe due to the cosmological constant behavior of the system at the critical points. However, due to the reduced complexity of the phase space and without the presence of the scaling solutions, the cosmic coincidence problem cannot be alleviated.  \n\\par \nA second cosmological scenario was also considered by taking into account that the non--minimal coupling functional has an exponential type parameterization. Concerning the potential energy term in the action, the study considered that the potential is beyond the usual exponential type found in many dynamical constructions in scalar tensor theories. As can be noted from the previous section, the dynamical equation associated to the potential term involves a second order polynomial parameterization. In this specific case in the analysis, the potential corresponds to an inverse hyperbolic sine. For the second cosmological scenario the phase space have a 4-dimensional structure and a richer complexity. As can be noted from the previous section, we have shown that the second cosmological scenario analyzed can reproduce the known evolution of the Universe and solve the cosmic coincidence problem due to the existence of scaling solutions. In these critical points, the dark energy field mimics a matter era due to the specific form the corresponding effective equation of state. However, the existence conditions associated to the scaling solutions imply the existence of an exotic warm dark matter fluid having a limited negative pressure, a comportment not ruled out by present astrophysical observations \\cite{Thomas:2016iav,Aghanim:2018eyx}. Furthermore, the rest of the critical points in the phase space corresponds to a cosmological constant behavior and can explain the current accelerated expansion of the Universe with a constant equation of state.\n\\par \nOne can then say that the current dark energy model constructed in the teleparallel equivalent of general relativity modified by a tachyonic field non--minimally coupled with a boundary term represents a potentially realistic model in scalar tensor theory which might solve the cosmic coincidence problem and the nature of the dark energy phenomenon, a feasible tachyonic prototype. This offers one possible alternative avenue to tachyonic fields to compliment the curvature-based work in the literature \\cite{Quiros:2009mz,Aguirregabiria:2004xd,Bagla:2002yn,Fang:2010zze,Otalora:2013tba,Otalora:2014aoa}.\n\n\n\\begin{acknowledgments}\nThe JLS and SB would like to acknowledge networking support by the COST Action GWverse CA16104. This article is based upon work from CANTATA COST (European Cooperation in Science and Technology) action CA15117, EU Framework Programme Horizon 2020. SB is supported by Mobilitas Pluss N$^\\circ$ MOBJD423 by the Estonian government. M. Marciu acknowledge partial support by the project 29\/2016 ELI-RO from the Institute of Atomic Physics, Bucharest--Magurele.\n\\end{acknowledgments}\n\n\n\\bibliographystyle{Style}\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{INTRODUCTION AND EXPERIMENTAL SUMMARY}\n\nThe general study of phase transitions has been of continuing\n interest to condensed matter chemistry\nand physics for many years.  Particular efforts have been made to\ncharacterize and understand second-order (or continuous)\nphase transitions and associated critical phenomena~\\cite{goldenfeld}.\n  Good\nexamples of such continuous phase transitions are found in certain\natomic and molecular solids when they undergo order to disorder\ntransitions~\\cite{disorder}.  These order-disorder transitions are\nprobed experimentally by observing anomalies in thermodynamic properties\nlike heat capacities and various susceptibilities.\n  Some examples of systems that are known\nto exhibit disordering phenomena are ${\\rm NH}_4{\\rm Cl}_{\\rm (s)}$, $\\beta$-brass, and\n ${\\rm KCN}_{({\\rm s})}$.\n\n\nIn this study we focus on the order-disorder phase transition\nin ${\\rm NH}_4{\\rm Cl}_{\\rm (s)}$, an interesting case that has received considerable\nprevious\ntheoretical and experimental\nattention~\\cite{disorder}.  A helpful\nreview of the experimental data up to 1978\nis given\nby Parsonage and Staveley~\\cite{disorder}.\nAs discussed in Reference 2 ammonium chloride has three\nphases.\nThe two phases generally referred to as $\\delta$ and $\\gamma$\nshare the CsCl lattice type\nshown in Figure 1, whereas the $\\alpha$ phase has a NaCl lattice\ntype.  First measured and reported by Simon in 1922~\\cite{Simon}\nand subsequently by other workers\\cite{ber,TrappVander,VorGar,Schwartz}, the\n$\\delta \\rightarrow \\gamma$ transition has been used as a textbook example\nof an order-disorder phase transition~\\cite{experpchem}.\n{}From experiment it is known that in the low-temperature $\\delta$ phase,\nmost of the ${\\rm NH}_4^+$ molecules are in the same orientation, (\nthe ammonium ions orient with their hydrogen atoms pointing\ntowards the ``same\" crystallographic axes),  and the $\\delta$ phase\nis said to be ``orientationally ordered.''  In\nthe $\\gamma$ phase, the orientations with respect to the chloride ions\nhave no long range order~\\cite{disorder}.  This model of the\n$\\delta \\rightarrow \\gamma$ phase transition\nhas been supported by various spectroscopic\nmeasurements, including neutron scattering experiments and NMR\nstudies~\\cite{WagHorn,LevyPet,ManTrapp,TopRichtSpring,BornHohlEck,Mukhetal}.\n\nThe origin of the orientational order in NH$_4$Cl can be understood in terms\nof the intermolecular forces of the crystal.  There are attractive\ninteractions between the hydrogen atoms in an ammonium ion and the\nadjacent cage of chloride ions (see Figure 1).  Any isolated ammonium\nion in a chloride cage tends to align with either of two\nequivalent sets of four chloride ions.  In Figure 1 the hydrogen atoms\npoint toward the set of chloride ions that has been shaded.\n  In\naddition to the interactions of ammonium ions with the near-neighbor\nchloride cage, the ammonium ions interact with each other\nelectrostatically, with the lowest-order, non-zero contribution to the\ninteraction arising\n from the\noctapole-octapole interactions characteristic of tetrahedral charge\ndistributions.  The octapole-octapole interaction has an asymptotic decay\nof $R^{-7}$ ($R$ is the distance between the nitrogen centers on any two\nammonium ions). There is an absolute potential energy minimum if two\ninteracting ammonium ions are aligned,\nand there is a higher energy local minimum if two ammonium ions have\nopposite alignments.\nWe can\nthink of the two potential minima for the ammonium ion in a chloride\ncage as two available states.  These two available states can be mapped\nonto a two-state Ising model by identifying one orientation with\nan up spin and the other possible orientation with a down\nspin\\cite{expspin}.\nThe\norder-disorder transition has often been interpreted~\\cite{isingf}\n in terms of such a two\nstate Ising model with a positive ferromagnetic coupling constant between near\nneighbor spins.  We shall investigate the energetics of this Ising\npicture within a simple pair site potential model in Section\n\\ref{s:model}\nof this paper.\n\nAlthough the interpretation of the transition in terms of the two-state\n Ising model has been insightful, it is not a perfect description\nof the transition.\nAt atmospheric pressure, a measurement of the heat capacity $C_p$ as a function\nof\ntemperature shows a distinctly $\\lambda$-like shape with a peak at\n243K\\cite{Schwartz}.\n  While this $\\lambda$ character has been used to support\n the interpretation\nof this transition in terms of the Ising model, it is known that\nthere is a discontinuous change in the specific volume at\nthis temperature~\\cite{Fredericks,NisPoy,WeinGarl}, as well as a latent heat of\ntransition~\\cite{TrappVander,VorGar}.  This transition\nat atmospheric pressure is, at least,\nweakly first order, not withstanding the qualitative similarity the system\nhas to an Ising lattice.  The first-order character of the transition\nhas led to descriptions of the system in terms of a compressible Ising\nmodel\\cite{isingf,rgar,baker,baker1,slichter}.\n\nIt has also been established that there is hysteresis associated with\nthe $\\delta \\rightarrow \\gamma$ phase transition in measurements of\nthe specific volume~\\cite{Fredericks,NisPoy},\nthe spin-lattice relaxation time~\\cite{ManTrapp,TopRichtSpring}, and neutron\nscattering measurements of the [111] Bragg\nintensity~\\cite{TopRichtSpring}.  Pressure-dependent\nstudies of this system~\\cite{TrappVander,ManTrapp,WeinGarl}\nshow that the nature of the transition is a function of pressure.\nAt high pressures ( greater than 1400 atmospheres),\nthe transition changes from first order to continuous.  This\ntransformation in behavior is characteristic of a\ntricritical point~\\cite{goldenfeld}.  The location of the tricritical\npoint on the phase diagram is known to shift to lower pressures when the\nammonium ions are deuterated\\cite{NisPoy,WeinGarl},\nimplying the importance of\nquantum effects.\nTo date no complete explanation of the microscopic\norigin of the tricritical point in ammonium chloride and its\ndeuterated counterparts is available.\n\nThe purpose of the work presented here is to provide information leading\nto a\nmicroscopic description of the order-disorder phenomena in ammonium\nchloride that is more complete than the traditional Ising picture.\nOur motivation for the study comes from recent\ninvestigations\\cite{berry}\ninto the analogues of phase transition phenomena in small\nclusters.  Many small clusters have thermodynamic properties as a\nfunction of temperature that have been interpreted as analogues of bulk\nphase transition behavior.  As examples of\nfirst-order transition behavior, small clusters of rare gas\natoms exhibit heat capacity anomalies\\cite{ffd}, and rapid increases in\ndiffusivities\\cite{berry} that are characteristic of bulk melting.\nRecently, the study of phase transition analogues in small clusters has\nbeen extended to cases that are similar to second-order transitions.\nLopez and Freeman~\\cite{lopez}  observed\nheat capacity\nanomalies in model\nPd-Ni alloy clusters,\nthat are reminiscent of the order-disorder transitions known to occur in\nsome bulk alloy materials like $\\beta$-brass\\cite{kittel}.  Studies of\nanalogues to second-order phase transitions in other kinds of materials\ncontinue to be of interest.  Given this background, it is our\nintention ultimately\nto investigate\nthe possibility of orientational disordering transitions in ammonium\nchloride clusters. To do justice to such a study\na detailed simulation of the analogous bulk\ntransition using the same model potential is important.  Providing bulk\ninformation for future work on the cluster systems is an important\nmotivation of the work we report.\n\nA review of some previous computational studies of\ntransitions in molecular and\nionic crystals has been given by Klein~\\cite{kleinrev}.\nThere have also been studies related to the present\nwork by Smith~\\cite{smith}\nand by H\\\"{u}ller and Kane~\\cite{huller}\n who focused on the orientational motion of the\nammonium ions and by\nO'Shea~\\cite{shea} who studied related octapolar solids.  More pertinent\nto the present discussion is the work\nof Klein, McDonald and Ozaki~\\cite{KleinMacOz}\n who studied NH$_4$Br, KClO$_4$ and\nLi$_2$SO$_4$ using molecular dynamics methods.  Klein {\\em et\nal.}~\\cite{KleinMacOz}\nintroduced a suitable order parameter to monitor the disordering\ntransition in ammonium bromide.  We shall make use of the same order\nparameter in the work we report.\n\nThe contents and organization of the remainder of this paper are as\nfollows.  In the next section the model potential is discussed along\nwith the basic structural features of the ammonium chloride lattice\nimplied by the model.  In Section III we discuss the computational\ndetails including how we resolve quasiergodicity problems in the\nsimulations.  We present the computed thermodynamic properties in\nSection IV including a discussion of the chosen order parameter.  Of the\nproperties given in Section IV, we show that the model predicts no peak\nin the isothermal compressibility at the disordering transition for the\nsimulation sample sizes used in the current work.  In Section V we\nidentify the lack of peak in the compressibility with finite size\neffects by presenting results of thermodynamic properties predicted in a\ncompressible Ising calculation as a function of sample size.  We\nsummarize our findings and discuss their significance in Section VI.\n\n\\section{Theoretical Model} \\label{s:model}\n\n\\subsection{Model Potential}\n\nIn the present study we use classical Monte Carlo methods to compute\nthermodynamic\nproperties for ${\\rm NH}_4{\\rm Cl}_{\\rm (s)}$ as it undergoes an order to disorder transition.  The\napplication of classical mechanics to\npair models of ionic solids has been explored by Klein and coworkers\n{}~\\cite{kleinrev,KleinMacOz},\nwho have\nused molecular dynamics methods to study dynamical processes in\nseveral ionic crystals.  Their work gives us\ngood reason\nto expect that useful information about the order to disorder transition\nin ammonium chloride can be obtained using a simple pair model potential\ndominated by Coulombic contributions.\nWe independently evaluate the success of this approach\nby using the model potential to predict such bulk properties\nas the lattice constant\nand the barrier to rotation of a single ammonium ion\n between the two local potential\nminima.  We shall confirm that the model potential yields values for\nthese observables that are in reasonable\nagreement with experiment, and we can expect that the potential is\nsufficiently accurate\nfor our purposes.\nThe approach we use to validate the effective pair potential has been\nadvocated elsewhere~\\cite{AllenTild}.\n\nThe specification of the potential surface is somewhat simplified by the\ndynamical\nmodel we assume.  In all calculations reported here, we treat the ${\\rm NH}_4^+$\nmolecular\n ions\nas rigidly rotating bodies, with the center of mass of each ${\\rm NH}_4^+$ fixed at\nthe\ncenter of\neach cubic cell.  This dynamical model makes it unnecessary to specify an\ninternal vibrational potential\nfor the ${\\rm NH}_4^+$ molecule.  We need only set ${\\rm NH}_4^+$ - ${\\rm NH}_4^+$,\n${\\rm NH}_4^+$ - ${\\rm Cl}^-$, and ${\\rm Cl}^-$ - ${\\rm Cl}^-$ interactions to\nspecify a useful effective interaction potential.\nEach of these interactions is\nfurther\n decomposed\ninto a total of six pair atom-atom interaction terms.  Letting {\\bf r}\n designate the\ncoordinates of all interacting particles in the system under consideration,\nwe assume that the total interaction potential $U({\\bf r})$ is given by\n\n\\begin{equation}\nU({\\bf r}) = \\sum_i \\sum_{j > i}\nu_{2} (r_{ij})\n\\end {equation}\nwhere $r_{ij}$ is the distance between particle $i$ and particle $j$, and\n$u_{2}$ is\na pair potential of the form\n\n\\begin {equation}\nu_2 (r_{ij}) = A_{ij} \\exp(- \\alpha_{ij} r_{ij})\n          + {  {D_{ij} }\\over {r_{ij}^{12}} }\n          + {{q_i q_j }\\over {r_{ij}}   }\n          -   {  {C_{ij} \\over {r_{ij}^6} } } .\\label{eq:pair}\n\\end{equation}\nMost of the parameters used to define the potential are presented in\nTable 1.  In addition as used elsewhere~\\cite{KleinMacOz,jorg1} we set\n$q_H=.35$\nand $q_N=-.40$.\n  We also set $q_{Cl}=-1.00$~\\cite{jorg}.  The charges used on the\nnitrogen and hydrogen atoms of the ammonium ion were confirmed by\nindependent {\\em\nab initio} calculations~\\cite{ferg}.\nIn Table 1\nwe have assumed transferability of most of the atom-atom interaction\nparameters from other, similar\nsystems studied previously by Klein {\\em et al.}~\\cite{KleinMacOz}\n and Pettit and Rossky~\\cite{pr}. For\nthe parameters not available from previous work, we use\nstandard combination rules, i.e.\nrelations of the form\n\\begin{equation}\nA_{ij} = \\sqrt{A_{ii}A_{jj}} ,\n\\end{equation}\n\\begin{equation}\nC_{ij} = \\sqrt{C_{ii}C_{jj}} ,\n\\end{equation}\nand\n\\begin{equation}\n\\alpha_{ij} = { {\\alpha_{ii}+\\alpha_{jj}}\\over{2} } .\n\\end{equation}\nThe specific sources for the parameters used in Eq.(\\ref{eq:pair}) are\ngiven as footnotes in Table 1.\n\nAs in any calculation,\nto generate the results that follow both in this and subsequent sections, a\nfinite representation of the lattice was used.  To reduce the\nimportance of edge\neffects, we also used standard minimum image periodic boundary\nconditions~\\cite{AllenTild}.\nIn the main (or central) sample cell we included either 8\nion pairs (48 atoms) corresponding to a 2x2x2 lattice, or 27 ion pairs\n(162 atoms)\ncorresponding to a 3x3x3 lattice.  To evaluate efficiently the sums over\nthe periodic images we also used standard Ewald methods with vacuum\nboundary conditions~\\cite{AllenTild}.\nWe found the Ewald calculations to be converged by\nsetting the decay parameter of the error functions to 5.55 in units of\nthe inverse length of a side of the central sample cell~\\cite{heyes}\nand including\n125 reciprocal lattice vectors in the reciprocal lattice sum.\n\n\\subsection{Properties of the lattice within the model potential}\n\\label{s:prop}\n\nA primary indication of the validity of the parameters listed\nin Table 1 is given by comparing the lattice constant and cohesive energy\nat 0K predicted\nby the model potential with experiment.  Using the parameters in Table\n1, we have minimized the energy of ammonium chloride using the cesium\nchloride phase.  We have assumed all ammonium ions in the lattice are\noriented in the same direction with respect to the crystallographic axes\nin the manner shown in Figure 1.  The number of ion pairs in the\ncentral simulation cell was taken to be 27, and the Ewald sums have been\nevaluated as discussed above.  The resulting lattice constant\n$a_0$ (the\ndistance between the nitrogen atom on an ammonium ion and an adjacent\nchloride ion) is calculated to be 3.789  \\AA \\ with a cohesive energy of\n-759.7 kJ mol$^{-1}$.  The agreement with the experimental lattice\nconstant (3.868 \\ \\AA)~\\cite{lbj}\n and the experimental cohesive energy at 298K (-697 kj\nmol$^{-1}$)~\\cite{wilson}\nis within acceptable limits.  The differences\nbetween the calculated and experimental values are a result of finite size\nand thermal effects as well as the details of the model potential.\n\nAnother indication of the accuracy of the model potential is given in\nFigure 2 where the potential energy $U$ of the lattice with 27 ion pairs\nin the\ncentral lattice is plotted as a function of the rotation angle $\\phi$ of the\ncentral ammonium ion [see Figure 1].  At an angle of $\\phi=0$\n(where we set the zero of energy in this figure)\nall the ammonium ions in\nthe lattice are oriented with respect to a set of crytallographically\nequivalent chloride ions.  The central ammonium ion is then rotated as\nin Figure 1 until an angle of $\\phi=\\pi \/2$ where the central ammonium\nion is oriented with respect to the alternate set of chloride ions in\nthe lattice.  At this angle the ammonium ion finds a local potential\nminimum higher in energy than the absolute minimum at $\\phi=0$.  The\n$\\sim$18 kJ mol$^{-1}$ barrier to rotation evident in Figure 2 is in\ngood agreement with experimental estimates based on NMR\nand other data~\\cite{disorder}.  This\nagreement is another indication that the potential model can be expected to\nbe at least\nsufficiently accurate to account\nqualitatively for the order to disorder phenomenology\nof the system.\n\nIn addition to calculating the barrier to rotation for the ammonium\nions, we investigated the effective range of the ammonium-ammonium\ninteractions in the lattice.  As an initial geometry we considered a\nlattice with all ammonium ions oriented in the same direction with\nrespect to a set of crytallographically equivalent set of chloride ions\nexcept for the central ammonium ion in the simulation cell.\nThis central ammonium ion was oriented to the other set of chloride ions (i.e.\nat an angle of $\\phi =\\pi \/2$ in Figure 2).\nWe then compared the energy of the lattice with a single ammonium ion\nout of orientation, with the energy obtained by\nrotating another ammonium ion in the lattice at a distance $R$ from the\ncentral ammonium ion so that the central ion and the additional ion were\noriented in the same direction.\nIt is important to recognize that the energy calculations were performed\nwithout any nearest neighbor assumptions about the range of the interactions.\nThe change in potential energy $\\Delta U$\n obtained from this\nprocess is given in Figure 3 as a function of $R$.\nAt distances beyond the first ammonium ion cage, $\\Delta U$ becomes\nconstant,\nand\nas is evident from Figure\n3, the interaction between ammonium ions can be well represented by\na nearest neighbor model.\n\n\\subsection{Implications}\n\nThe simple pair model expressed in Eq.(\\ref{eq:pair}) gives rise to a stable\nCsCl lattice with the ammonium ions oriented in the same direction in\nits lowest energy 0K structure.  The orientational ordering is a\nconsequence of the attractive octapole-octapole interaction between the\nammonium ions.  For ammonium chloride the octapole-octapole\ncoupling is sufficiently weak that interactions beyond the near neighbors\ncan be neglected.\n\nThese preliminary indications lend support to representing the\nsystem\nby a simple Ising model with a positive ferromagnetic coupling\nconstant. However,\nas indicated in the Introduction the simple Ising picture is\nnot of sufficient complexity to explain the phenomenology of the order\nto disorder transition.  The transition from first order to second order\nbehavior, characteristic of a tricritical point, provides justification\nfor investigating the transition with more detail than the Ising\npicture.  In the next section we develop the necessary Monte Carlo tools\nto investigate the system within the model potential of\nEq.(\\ref{eq:pair}).  By performing simulations in the\nisothermal-isobaric ensemble, coupling between lattice motions and\nrotational motions of the ammonium ions will be included.\n\n\\section{Simulation method}\n\nThe details of the Metropolis Monte Carlo method~\\cite{mrrtt}\nboth in the canonical and in the isothermal-isobaric ensemble\nbeen discussed in many references~\\cite{AllenTild,KalWhit,Mac}.\nIn this section we explain some of the\ndetails specific to the simulations performed in the current work, and\nthe approach we used to insure that the simulations were done in\nan ergodic fashion.\n\nSince the Ewald sums\nconstituted the dominant fraction of the computational effort in this\nwork, we examined the consequences of decreasing the number of reciprocal\nlattice\nvectors.  Although the absolute value of the cohesive energy was\nsensitive to including fewer reciprocal lattice vectors,\nwe found the lattice constant\nand the barrier to rotation of the ammonium ions (See Section\n\\ref{s:prop})\nto change by $\\sim$0.3 percent when only 8 reciprocal lattice vectors\n(rather than the converged 125) were included.\n  Our interest is in the order to disorder\ntransition, and the transition can be expected to be sensitive to the\nbarriers and not to the absolute value of the cohesive energy of the\ncrystal.  We tested this assumption by comparing fluctuation\nquantities\n(e.g. heat capacities, compressibilities, etc.)\nsensitive to the location of the transition in the canonical\nensemble with 8 and 125 reciprocal lattice vectors included.  We observed no\nsignificant changes in the computed properties.  Most of the Monte Carlo\nresults\nwere determined with the smaller set of\nreciprocal lattice vectors.\n\nThe calculations in the canonical ensemble were performed using central\ncell sizes of both 8 ion pairs and 27 ion pairs.  For each central cell\nsize, the lattice parameters were adjusted to give the minimum energy\nfor the orientation having\n all the ammonium ions in the same direction.\nAbout each ammonium ion in the lattice we constructed a set of\northogonal Cartesian axes.\nEach\nMonte Carlo point in the canonical simulations consisted of a rotation\nof a randomly chosen ammonium ion about\none Cartesian axis randomly chosen~\\cite{watt}.\n  The\nmaximum allowed rotation angle was adjusted so that about fifty percent\nof the moves were accepted.  As is typical in Monte Carlo simulations,\nthis maximum allowed rotation angle was a function of temperature and\nwas found by performing short run experiments at each temperature.  In\naddition to these normal Metropolis moves, we found it necessary to\ninclude moves with larger maximum displacements ten percent of the\ntime.  The purpose of the moves with magnified displacements (magwalking)\nwas to insure that the ammonium ions were given the opportunity to\novercome the potential barrier separating the two minima in the\npotential surface (See Figure 2).  Consequently, the maximum\ndisplacement in the magwalking moves was taken to be $\\pi \/2$.\n\nEvidence that the magwalking scheme discussed in the previous paragraph\nprovides an ergodic distribution is given in Figure 4 where the average\npotential\nenergy of the 8 ion pair lattice is plotted as a function of\ntemperature.  The data used in generating both curves of Figure 4 was\ninitiated with configurations having\n the ammonium ions in random orientations.  Quasiergodicity\ndifficulties~\\cite{ffd,vw}\ncan be anticipated at low temperatures where all the\nammonium ions are expected to have the same orientation with respect to\nthe chloride ions.  The data in the upper curve of Figure 4 was\ngenerated using Metropolis Monte Carlo methods with a fixed step size\nfor all moves.  The unstable behavior at low temperatures is evident.\nThe instability is a result of rapid quenching of the initial random\norientations of\nthe ammonium ions into\nlocal, high-energy minima.  This disordered trapping causes the\nquasiergodicity in the sampling of the rotations.\nIn the lower curve of Figure 4, the magwalking scheme described in\nthe previous paragraph was used.  The sensible behavior at low\ntemperatures is clear, and the simple magwalking scheme can be expected\nto solve the quasiergodicity problems in this system.\n\nIn the isothermal-isobaric simulations the Monte Carlo sampling is with\nrespect to the distribution\n\\begin{equation}\n\\rho({\\bf r})= \\Delta ^{-1} \\exp(-\\beta U ({\\bf r}) -\\beta pV )\n\\end{equation}\nwhere $U$ is the system potential energy, $\\beta = 1\/k_B T$ where $T$ is\nthe temperature and $k_B$ is the Boltzmann constant, $p$ is the\npressure,\n $V$ is the volume\nand $\\Delta^{-1}$ is a normalization.\n  To perform the isothermal-isobaric simulations\n in addition to the rotational\nmoves used in the canonical study, the lattice parameter (and consequently\nthe system volume) was varied.\n{}From numerical experiments we found that including volume fluctuations\nabout forty percent of the time gave good convergence of the computed\nproperties.\nThe volume fluctuations were included with Metropolis Monte Carlo moves\nagain with a maximum displacement chosen so that about fifty percent of\nthe attempted fluctuations were accepted.  Unlike the rotational moves,\nwe found no evidence of quasiergodicity in the volume fluctuations.\nWhen a mixture of maximum step sizes were used in the volume\nmoves, we found no\nstatistically significant changes in the computed thermodynamic\nproperties.\n\nThe volume fluctuations included in this work correspond to\na single vibrational breathing mode for the lattice.  Of course, the\nreal lattice dynamics in NH$_4$Cl is more complex than this simple\npicture.  However, at least we have been able to include important\ncontributions to the coupling between the rotational and vibrational\nmodes of the lattice.\n\nIn the calculations that follow, we have calculated several fluctuation\nquantities in addition to the energy $E$ and enthalpy $H=E+pV$\n of the crystal.\nThese fluctuation quantities include the constant volume and constant\npressure heat capacities\n\\begin{equation}\nC_V\/k_B = \\frac {3 N }{2} + \\beta ^2 [ <U^2>-<U>^2] \\label{eq:cv}\n\\end{equation}\nand\n\\begin{equation}\nC_p\/k_B = \\beta ^2[<H^2>-<H>^2] \\label{eq:cp}\n\\end{equation}\nthe isobaric coefficient of thermal expansion\n\\begin{equation}\n\\alpha = \\frac {1}{V} \\left ( \\frac {\\partial V}{\\partial T} \\right\n)_{N,p}\n\\end{equation}\n\\begin{equation}\n = (k_B T^2 V)^{-1} [<VH>-<V><H>] \\label{eq:alpha}\n\\end{equation}\nand the isothermal compressibility\n\\begin{equation}\n\\kappa=-\\frac {1}{V} \\left ( \\frac {\\partial V}{\\partial p} \\right\n)_{N,T}\n\\end{equation}\n\\begin{equation}\n = (k_B T V)^{-1} [<V^2>-<V>^2] \\label{eq:kappa}\n\\end{equation}\nIn Eq.(\\ref{eq:cv}) the notation $<>$ represents averages in the\ncanonical ensemble, and in Eqs.(\\ref{eq:cp}),(\\ref{eq:alpha})\nand (\\ref{eq:kappa}) the notation\n$<>$ represents averages in the isothermal-isobaric ensemble.  In the\nresults we report in the next section, $C_V, C_p, \\alpha$ and $\\kappa$\nwere calculated directly from these fluctuation expressions.\n\nIn the calculations that follow, error bars were estimated at the double\nstandard deviation level by ``binning'' the data and estimating the\nvariance of the bin averages about the total walker average.  In the\nlimit of large numbers, this method is known to be appropriate for the\ncorrelated data generated by a Metropolis walk.  However, for finite\nMonte Carlo samples the suitability of the binning parameters should be\nchecked for a given model system to ensure the reliability of the error\nestimates.  We performed these checks by comparing the computed error\nestimates to those obtained through covariance calculations of the\nerror~\\cite{stam,top}.\nWe observed the two methods to give similar results, indicating\nthat suitable binning parameters were chosen for this study.\n\n\\section{Results}\n\nIn this section we provide results of the Monte Carlo studies of the\nproperties of the NH$_4$Cl lattice as a function of temperature.  As\nexpected we shall find features in the thermodynamic properties as a\nfunction of temperature that can be associated with a transition from\nrotational order to disorder.  To monitor the degree of\n orientational order in the\nlattice, we use an order parameter introduced by Klein {\\em et al}~\\cite\n{KleinMacOz}.\nTo\ndefine the order parameter we place the origin of a set of Cartesian axes\non the nitrogen atom of each ammonium ion, and we orient the Cartesian\naxes so that the $z$-axis is orthogonal to\na square face of chloride\nions in the chloride cage.  The $x$ and $y$ axes are then oriented along\nthe edges of the lattice as shown by the coordinates displayed in Figure\n1.\n  For each ammonium ion we define\n\\begin{equation}\nM_j=\\frac {3 \\sqrt{2}}{4} \\sum_{i=1}^4 x_j^i y_j^i z_j^i \\label{eq:mj}\n\\end{equation}\nwhere $x_j^i$ is the $x$-component of the coordinate of\na unit vector pointing from the origin toward\nthe $i$'th\nhydrogen atom on ammonium ion $j$ and the summation runs over the 4\nhydrogen atoms on the ammonium ion.  $M_j$ is defined so that\n$M_j=1$\nwhen\nammonium ion $j$ is oriented exactly to one set of chloride ions, and\n$M_j=-1$ when it is oriented exactly to the alternate set of chloride\nions (see Figure 1).\n  Of course $M_j$ is a continuous function of the coordinates, so\nthat it takes on values of $\\pm$ 1 only when the hydrogen atoms point\nexactly to a set of chloride ions.  This definition of $M_j$ enables a\nmapping of the orientations of the ammonium ions onto a spin variable.\nWhen $M_j$ is positive we can think of ammonium ion $j$ as having a\npositive or ``up'' spin and when $M_j$ is negative, we can think of\nammonium ion $j$ as having a ``down'' or negative spin.  To clarify the\nmapping,\nin Figure 5 we display a particular configuration of the ammonium chloride\nlattice\ntaken from a canonical simulation with 8 ion pairs in the central\ncell at 300K.  We have placed arrows on each nitrogen atom in the\nlattice to carry information about the algebraic sign of $M_j$.\nPositive $M_j$ is represented by an up arrow and can be interpreted as\nan up spin.  Similarly, negative $M_j$ is represented by a down arrow and\ncan be interpreted as a down spin.\nTo simplify the\ndiscussion often we shall describe the orientations of the ammonium ions in\nterms of these spin variables.  In\nanalogy with the Ising model, we can also define the {\\em magnetization per\nsite}\n$M$ of the lattice by\n\\begin{equation}\nM=\\frac {1}{N} \\sum_{j=1}^N M_j\n\\end{equation}\nwhere the summation on $j$ is over the $N$ ammonium ions in the lattice.\nAssociated with the magnetization is a susceptibility per site $\\chi$\ndefined by\n\\begin{equation}\n\\chi = N(<M^2>-<M>^2) \\label{eq:chi}\n\\end{equation}\nwhere the notation $<>$ in Eq.(\\ref{eq:chi}) represents an ensemble\naverage.  We use $M$ as the order parameter for the orientational order to\ndisorder\ntransition in the system.\n\n\\subsection{Canonical simulations}\n\nIn the canonical simulations for each temperature we included 50000\npasses\nwithout the accumulation of data followed by 200000 passes with data\naccumulation.  Each pass consisted of cycling through the ammonium ions\nin the central simulation cell and attempting to rotate each ion once.\n\nWe begin by examining the changes in computed thermodynamic properties\nthat accompany alterations in the size of the central sample cell.  In\nFigure \\ref{f:cv} we present the constant volume heat capacity $C_V$\nper ion pair in\nunits of the Boltzmann constant as a function of temperature.  The upper\ncurve gives results when the central cell consists of 8 ion pairs and the\nlower curve gives results for a 27 ion pair central cell.  By increasing\nthe size of the central cell the width of the heat capacity maximum\nnarrows as expected.\n\nBy examining configuration files it is possible to verify that the\nmaxima in the heat capacity seen in Figure \\ref{f:cv} are a result of\nthe rotational disordering of the ammonium chloride lattice.  We can\nconfirm this interpretation by monitoring the magnetization as a\nfunction of temperature.  In Figure \\ref{f:m2} the curve connected by\ndiamonds are computed values of $<M^2>$ as a function of temperature for\nthe 27 ion pair lattice.  We have chosen to present $<M^2>$ rather than\n$<M>$ because in any finite lattice $<M>=0$ at any finite\ntemperature.  In a completely\noriented configuration as the temperature approaches zero, $M^2$ is\nalways 1 whereas $M$ can be either 1 or -1.  Then at low temperatures\n$<M^2>$ must approach unity, and at high temperatures $<M^2>$ must\napproach zero.  This behavior is evident in Figure \\ref{f:m2}.  At the\ntransition temperature of $\\sim$210K $<M^2>$ changes rapidly.  This\ntransition temperature matches the peak of the maximum in $C_V$ as a\nfunction of temperature.  Also presented in Figure \\ref{f:m2} is\nthe result of mapping the\nmagnetization onto a spin model.  The data for this spin model are\nplotted in Figure \\ref{f:m2} as points represented by triangles.  In the\nspin model we set\n\\begin{equation}\nM_s=\\frac{1}{N} \\sum_{j=1}^{N} \\mbox{sign} (M_j)\n\\end{equation}\nwhere sign($M_j$) is the algebraic sign of $M_j$ and $M_s$ represents\nthe magnetization of the system described by the spin variables.\n\n  The difference\nbetween the two curves given in Figure \\ref{f:m2} clarifies the extent\nto which the decrease in the magnetization can be attributed to\nlibrational modes.  Since $M$ is a continuous function of the\ncoordinates of each ammonium ion, the magnetization will decrease as a\nfunction of temperature even if all the ions remain ordered.  In\ncontrast, $M_s$ will change only if an ammonium\nion in a particular configuration\nchanges its ``spin;''\ni.e. overcomes the barrier between the two minima in the rotational\npotential surface. By comparing the decay of the order parameter to the decay\nof the\nIsing-like spin parameter in Figure \\ref{f:m2}, we observe\nthat the initial decay of the order parameter is a result of the onset of\nlibrational motions. At the transition temperature, the order parameter\nrapidly decays to zero because of the loss of long range order of the\nNH$_4^+$ orientations.\n\nAlthough in a finite system $<M_s>$=0,\n in an actual Monte Carlo simulation $<M_s>$ may differ from\nzero, because both inverted configurations may be reachable only in\nMetropolis walks that are sufficiently long.  The length of the walk required\nto actually calculate a zero value for $<M_s>$ will grow both with\ndecreasing temperature and increasing system size.  The effect of the\nfinite walks can be made apparent by examining the susceptibility $\\chi$\nas a function of temperature.  Such a graph is given in Figure\n\\ref{f:chi} for the lattice consisting of 27 ion pairs in the central\ncell.  The maximum of $\\chi$ occurs at the same temperature as the\ntemperature at which $<M^2>$ changes rapidly.  The fluctuations in\n$\\chi$ at this temperature are also large.  Of course in the limit of an\ninfinite system $<M> \\neq 0$, and the susceptibility we calculate should\napproach the infinite system result with increasing system size.\n\n\\subsection{Isothermal-isobaric simulations}\n\nCanonical simulations do not have sufficient flexibility to incorporate\ncoupling of the rotational modes of the ammonium ions with the\nvibrational modes of the lattice.  To obtain preliminary understanding\nof the effects of such couplings, we have performed Monte Carlo\nsimulations of the thermodynamic properties of the system in the\nisothermal-isobaric ensemble.  By fixing the pressure of the system,\nthe isothermal-isobaric simulations more closely match the experimental\nsituation than the canonical studies.  In exchange for this closer\nconnection with experimental data, calculations in the\nisothermal-isobaric ensemble are computationally more demanding than\ncalculations in the canonical ensemble.  The range of system sizes that\ncan be studied while achieving acceptable levels of convergence is\nrestricted.\n\nThe simulations in the isothermal-isobaric ensemble were performed on a\n27 ion pair representation of the ammonium chloride lattice in the\ncentral cell.  At each temperature 300000 Monte Carlo passes were\nperformed without data accumulation followed by about one million passes\nwith data accumulation.  Each pass consisted of sequential attempted\nrotations of each ammonium ion in the same manner as in the canonical\nsimulations.  Additionally, volume fluctuations were attempted in forty\npercent of the passes.  Ten percent of the rotational moves used a\nmaximum rotation angle of $\\pi \/2$ using the magwalking scheme found to\nbe successful in the canonical simulations.  The remaining ninety per\ncent of rotational moves used a maximum rotational displacement\ndetermined so that about fifty percent of the attempted moves were\naccepted.\n\nIn Figure \\ref{f:m2npt} we present\n$<M^2>$ as a function of temperature calculated both using the\ndefinition of the order parameter given in Eq.(\\ref{eq:mj}) (the points\nrepresented by diamonds) and the projection of the order parameter onto\nspin variables (the points represented by triangles).\nThe projected spin order parameter is the same as that used in the\ncanonical simulations and discussed previously.  The region of rapid\nchange in the order parameter is at a temperature of about 250K.  The\nonset of the transition is more clearly seen in Figure \\ref{f:chinpt}\nwhere we plot the susceptibility as a function of temperature.  The\nmaximum occurs at a temperature of about 250K, a temperature where the\nfluctuations in $\\chi$ are large.\n\nWe measure the average volume of the crystal in terms of the lattice\nparameter $a_0$.  The average volume is\nof interest because we would expect to observe a rapid volume change\nnear any first order transition.  In Figure \\ref{f:a0npt} the lattice\nparameter in \\AA \\ is plotted as a function of temperature.  Although no\nrapid change in the lattice parameter is seen, there is a clear\nchange of slope at the transition temperature.\n\nIn Figure \\ref{f:cpnpt}  we give the constant pressure heat capacity\n$C_p$ per ion pair,\nthe isothermal compressibility $\\kappa$ and the isobaric\ncoefficient of thermal expansion $\\alpha$ as a function of temperature.\nThe onset of the maxima in $C_p$ and $\\alpha$ match the onset of the\norder to disorder transition as identified by the order parameter.  From\nbasic considerations~\\cite{whee}\na maximum is expected in $\\kappa$ at the transition\ntemperature as well.  As is evident from Figure \\ref{f:cpnpt}, $\\kappa$\nis found to be a monatomic increasing function of the temperature with\nno apparent peak.\nTo test the sensitivity of the behavior of $\\kappa$ to the number of\nreciprocal lattice vectors included in the Ewald sums, we increased the\nset from 8 to 125 reciprocal lattice vectors.  No significant change in the\ncompressibility as a function of temperature was observed.\nWe believe that the lack of peak is a consequence of\nthe finite size of the central simulation cell, and we give evidence for\nthis in the next section.\n\n\\section{A Compressible Ising Model}\n\nIn the previous section we showed that in the\nisothermal-isobaric ensemble at the disordering transition,\npeaks were observed in the constant\npressure heat capacity and in the isobaric coefficient of thermal\nexpansion.  The location of the peak maxima were in good agreement with\nthe temperature at which there were rapid changes in the order\nparameter.  The identification of the peak maxima with the disordering\nphenomena seems well justified.\n\nIn contrast to the properties discussed in the previous paragraph, no\nmaximum was observed in the isothermal compressibility.\nSince the compressibility should have a specific heat-like divergence at the\ntransition temperature in the infinite system~\\cite{whee},\nthe lack of observation is a concern.  In this section we\nshow that similar behavior is found in finite representations of a\ncompressible two-dimensional Ising model\non a square lattice, and the lack of peak in the\nisothermal\ncompressibility we observed for NH$_4$Cl may be attributable to finite size\neffects.\n\nThe compressible model we use is based on the two-dimensional Hamiltonian\n\\begin{equation}\nH=-\\frac{a}{R^7} \\sum_{<ij>} S_i S_j + 4 \\epsilon \\left [ \\left ( \\frac\n{\\sigma}{R} \\right )^{12}\n- \\left ( \\frac {\\sigma}{R} \\right ) ^6 \\right ] \\label{eq:iham}\n\\end{equation}\nwhere $S_i$ is the spin on site $i$ and can take on values of + or - 1,\nthe notation $<ij>$ on the sum represents summation over nearest\nneighbors only, $a$, $\\epsilon$ and $\\sigma$ are parameters and $R$ is\nthe lattice constant.\nThe first term in the Hamiltonian is the standard spin-spin interaction\nin the Ising model with a lattice-parameter dependent coupling constant.\nWe choose the $R$-dependence of the coupling constant to decay with\ndistance like the octapole-octapole interaction in ammonium chloride\n($R^{-7}$).  The second term in the Hamiltonian is in the form of a\nusual Lennard-Jones potential and provides a balance for the volume\nfluctuations so that the lattice will relax to a physical nearest\nneighbor distance.\nIn the Ising simulations that follow we have\nattempted to choose parameters\nfor Eq. (\\ref{eq:iham})\nthat mimic the ammonium chloride results\nof the previous section.\nFor the bulk Lennard-Jones $\\sigma$ parameter, we take a value that can\nmake the equilibrium lattice distance near that of the real crystal.  We\nthen take $\\sigma=R_e\/2^{1\/6}$ where $R_e=7.31$ Bohr. We take $\\epsilon$\nto match the ammonium chloride lattice energy of 8380K.\nSince the barrier to changing the orientation\nof a single ammonium ion in a completely ordered ammonium chloride\nlattice is about 1000K, we take $a=2000 R_e^{7}\/N_{\\mbox{spin}}$, where\n$N_{\\mbox{spin}}$ is the number of spins in the primary cell.\n\nWe determined the properties of the two-dimensional compressible Ising\nlattice defined by Eq.(\\ref{eq:iham}) using Monte Carlo simulations\nin the isothermal-isobaric ensemble.  The\nsimulations consisted of two-million moves without data accumulation\nfollowed by 10 million Monte Carlo moves with the accumulation of data\nat each temperature.  Changes in the $R$-parameter were made forty per\ncent of the time and the two-dimensional pressure was arbitrarily set to\n1 atomic unit of pressure.  Simulations were performed on 4x4, 8x8,\n16x16 and 32x32 lattices with periodic boundary conditions included.\n\nShown in Figure \\ref{f:cpi} is the constant pressure heat capacity of the\ncompressible Ising\nmodel for  4x4, 8x8, 16x16 and 32x32 lattices from top to bottom in\nthe figure.  The peak at 240K in the heat capacity occurs at the same\ntemperature as rapid changes in the magnetization of the model.\nAs the number of spins in the simulation is increased the width\nof the peak narrows as expected.  Given in Figure \\ref{f:ki} is the isothermal\ncompressibility as a function of temperature.  Again from top to bottom\nis $\\kappa$ for a 4x4, 8x8, 16x16 and 32x32 lattice.  For the\n4x4 lattice, no peak appears in the compressibility.  As the sample size\nis increased, a peak develops in the compressibility at the transition\ntemperature.  Evidently,\nthe existence of a peak in\nthe compressibility is more sensitive to finite\nsize effects than the heat capacity.  Although not shown here, the\nisobaric coefficient of thermal expansion shows a peak at the transition\ntemperature\nfor all lattice\nsizes.  These Ising results lend support to our assumption that the lack\nof peak in $\\kappa$ in the isothermal-isobaric simulations of ammonium\nchloride is a result of finite size effects.\n\n\\section{Summary and discussion}\n\nIn this work we have applied Monte Carlo methods in the canonical and\nisothermal-isobaric ensembles to calculate the thermodynamic properties\nof ${\\rm NH}_4{\\rm Cl}_{\\rm (s)}$ modeled by simple point charge pair interaction potentials.\nIn both ensembles the model potential predicts an order to disorder\ntransition associated with the rotational orientations of the ammonium\nions in the lattice.  In the isothermal-isobaric ensemble at 1\natmosphere pressure, the transition temperature is about 250K,\nas determined from the rapid growth of the susceptibility.\n  Although\nwe have made no effort to determine the transition temperature with any\nprecision, the agreement between the approximately determined\ntemperature and the experimental result (243K) is satisfying.\n\n\nThe central sample cell used in the simulations contained a maximum of\n27 ion pairs.  Extensions to larger central cell sizes were inhibited by\nthe large portion of the computer time needed to evaluate the Ewald\ncorrections.  Apparently this size limitation produced unreliable values\nfor the isothermal compressibility, a quantity that compressible Ising\ncalculations imply is sensitive to the size of the central cell.\n\nThere are several outstanding questions about the behavior of ammonium\nchloride that require further attention.  We found no evidence in our\nsimulations for a rapid change in the molar volume at the transition\ntemperature.  Since the transition is known to be first order at\natmospheric pressure\\cite{WeinGarl},\nit is worth examining some of the physical effects\nnot included in the simulations.  A true discontinuity in the lattice\nconstant would require an infinite central simulation cell.  The unseen\nrapid change in volume may be another example of a finite size effect.\nHowever, in the simulations presented here we have included only those\nlow frequency vibrational modes where the overall crystal symmetry is\nunaltered.  Calculations that include more general variations in the\nlocations of the ionic mass centers would clearly be of interest.\nInclusion of the internal vibrations on the ammonium ions can be\nexpected to be of less importance owing to the high frequencies of those\nmotions.\n\nAnother approximation in the results has been the application of classical\nmechanics.  Classical calculations can be interpreted as the infinite\nmass limit of a corresponding quantum calculation.\nIf quantum effects were not important, our simulations would be equally\napplicable to the phase diagram of ${\\rm ND}_4{\\rm Cl}_{\\rm (s)}$.\nExperimentally,\na\nsignificant shift of the tricritical point to lower pressures is\nknown to occur when the\nammonium ions are deuterated~\\cite{NisPoy,WeinGarl}.\nIt is possible that the classical system at\natmospheric pressure has a\ncontinuous disordering transition,\n and the location (or existence) of a tricritical point is a consequence of\nquantum effects.  A quantum path integral study of ammonium chloride\nwithin the same model potential would clearly be of interest.\n\n\n\\section*{Acknowledgements}\n\nWe would like to thank Professors P. Nightingale, R. Stratt and J. Doll\nfor helpful discussions.  RQT would like to thank Dr. Michael New\nand the members of the Ohio Supercomputer Center\n Computational Chemistry Electronic Forum (chemistry@osc.edu)\n for\nhelpful e-mail conversations regarding simulation methods.\nAcknowledgement is made to the Donors of the Petroleum Research Fund of\nthe American Chemical Society for support of this work.  The\ncomputational work reported here was supported by an equipment grant\nfrom the National Science Foundation(CHE-9203498).\n\n\\newpage\n\\begin{table} \\centering\n\\caption{The parameters used in the model potential$^d$}\n\n\\vspace{.15in}\n\\renewcommand{\\arraystretch}{1.5}\n\\begin{tabular}{*{5}{c}}\nPair & $A_{ij}$ & $\\alpha _{ij}$ &  $C_6$ & $D_{12}$  \\\\\n\\hline\nH-H$^a$ & 1.0162 &  1.9950 & 2.9973& 0 \\\\\nN-N$^b$ & 104.74 & 1.5611 & 25.393 & 0 \\\\\nCl-Cl$^b$ & 125.55 & 1.7489 & 113.68 & 0 \\\\\nH-N$^a$ & 10.318 & 1.7780 & 8.7229 & 0 \\\\\nH-Cl$^c$ & 0 & 0 & 10.033 & 43884.0 \\\\\nN-Cl$^a$ & 114.22 & 1.6550 & 53.736 & 0 \\\\\n\\end{tabular}\n\\end{table}\n\\parbox[b]{10in}{$^a$ Combining rules \\\\\n$^b$ Reference \\onlinecite{KleinMacOz} \\\\ $^c$ Reference \\onlinecite{pr}\n\\\\$^d$ Units of energy in Hartree and units of length in Bohr}\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{Introduction}\nSince the seminal work of Anderson \\cite{And58}, the investigation of the localization for noninteracting quasi-particles in random media has attracted great attention  in physics and mathematics community.\n\nIn mathematics the first rigorous proof of the localization for random operators was due to Goldsheid-Molchanov-Pastur \\cite{GMP77}. They obtained the pure point spectrum for a class of $1D$ continuous random Schr\\\"odinger operators. In higher dimensions,  Fr\\\"ohlich-Spencer \\cite{FS83} proved, either at high disorder or low energy, the absence of diffusion for some random Schr\\\"odinger operators by developing the celebrated multi-scale analysis (MSA) method.\nBased on the MSA method of Fr\\\"ohlich-Spencer, \\cite{FMSS85,DLS85,SW86} finally obtained the Anderson localization at either high disorder or extreme energy. We should remark that the method of \\cite{FS83} was  simplified  and extended by von Dreifus-Klein \\cite{vDK89} via introducing a scaling argument.\nLater, the method of \\cite{vDK89} was generalized by Klein \\cite{Kle94} to prove the Anderson localization for random operators  with the \\textit{exponential} long-range hopping. Finally, we want to mention that the MSA method has been strengthened to establish the Anderson localization for random Schr\\\"odinger operators with Bernoulli  potentials \\cite{CKM87,BK05,DS19} \\footnote{Very recently, Jitomirskaya-Zhu \\cite{JZ19} provided a delicate proof of the  Anderson  localization for the $1D$ random Schr\\\"odinger operators with Bernoulli potentials using ideas from \\cite{Jit99}.\n}.\n\n\n\n\n\n\nAn alternative method for the proof of the localization for random operators, known as the fractional moment method (FMM), was developed by Aizenman-Molchanov \\cite{AM93}. This remarkable method also has numerous applications in localization problems \\cite{AWB}. As one of its main applications, the FMM was enhanced to prove the first  dynamical localization \\cite{Aiz94} for random operators on $\\Z^d$.\nAnother key application of the FMM in \\cite{AM93} is a proof of  the \\textit{power-law} localization for  random operators (on $\\Z^d$) with polynomially decaying long-range hopping.  Later, the \\textit{power-law} localization for $1D$ polynomial long-range hopping random operators was also  established in \\cite{JM99} via the method of trace class perturbations.  However, there is simply no MSA proof of the \\textit{power-law} localization for {polynomial} long-range hopping random operators, as far as I know. This is the main motivation of the present work. We remark that the Green's functions estimate in the FMM  requires a mild condition (such as the H\\\"older continuity) on the probability distribution of the potential, while it does not apply to purely singular potentials, such as the Bernoulli ones.  In order to deduce localization using the FMM,  the \\textit{absolute continuity} of the measure was even needed in \\cite{AM93} so that the Simon-Wolff criterion \\cite{SW86} can work.\n\n\nIn this paper we develop a MSA scheme to handle random operators with the \\textit{polynomial} long-range hopping and  H\\\"older continuous distributed potentials (including some \\textit{singular continuous} ones).  Although the Bernoulli potentials are not considered in the paper, the suggested method is a promising candidate to be applicable in handling operators with Bernoulli potentials and the \\textit{polynomial} long-range hopping. In addition, we think  our formulations in this paper may have  applications in localization problems for other models. In fact, in a forthcoming paper \\cite{Shifc} we develop a MSA scheme to study some quasi-periodic operators with \\textit{polynomial} long-range hopping.\n\nOur proof is  based essentially on  Fr\\\"ohlich-Spencer type MSA method \\cite{FS83}. In particular, it employs heavily the simplified  MSA method of von Dreifus-Klein \\cite{vDK89} (see also \\cite{K08}). However, one of the key ingredients in our proof is different from that of \\cite{FS83,vDK89} in which the \\textit{geometric resolvent identity} was iterated  to obtain the  \\textit{exponentially}  decaying of off-diagonal elements of Green's functions. Instead, we directly estimate the \\textit{left} inverses of the truncated matrix via information on  small scales Green's functions  and a \\textit{prior} $\\ell^2$ norm bound of the inverse itself.  This method  was initiated by Kriecherbauer \\cite{Kri98} to deal with matrices with \\textit{sub-exponentially} decaying (even more general cases) off-diagonal elements, and largely extended by Berti-Bolle \\cite{BB13} to study matrices with \\textit{polynomially} decaying off-diagonal elements in the context of nonlinear PDEs.\n\n Once the Green's functions estimate was established, the proof of the \\textit{power-law} localization can be  accomplished with the  Shnol's Theorem.\n\n\n\n\n\nThe structure of the paper is as follows.  The  \\S2 contains our main results on Green's functions estimate (Theorem \\ref{msa}) and the \\textit{power-law} localization (Theorem \\ref{mthm}). The  proof of Theorem \\ref{msa} is given in \\S3.  In \\S4,  the verification of the assumptions (\\textbf{P1}) and (\\textbf{P2}) in Theorem \\ref{msa} is presented. Moreover, the whole MSA argument on Green's functions is also proved there.  In \\S5, the proof of Theorem \\ref{mthm} is finished. Some useful estimates are included in the appendix.\n\n\n\n  \n\n\\section{Main Results}\n Here is the set-up for our main results.\n \\subsection{Random Operators with the Polynomial Long-range Hopping}\n Define on $\\Z^d$ the {polynomial} long-range hopping $\\mathcal{T}$ as\n\\begin{align}\\label{sp2}\n \n \n \n\\mathcal{T}(m,n)=\\left\\{\\begin{aligned}\n&|m-n|^{-r},\\ {\\rm for}\\   m\\neq n\\ {\\rm with}\\ m,n\\in{\\Z}^d,\\\\\n&0,\\  {\\rm for\\ } m=n\\in{\\Z}^d,\n\\end{aligned}\\right.\n\\end{align}\nwhere $|n|=\\max\\limits_{1\\leq i\\leq d}|n_i|$ and $r>0$.\n\nLet $\\{V_\\omega(n)\\}_{n\\in\\mathbb{Z}^d}$ be independent identically distributed (\\textit{i.i.d}) random variables (with the common probability distribution $\\mu$) on some probability space $(\\Omega,\\mathcal{F}, \\mathbb{P})$ ($\\mathcal{F}$ a $\\sigma$-algebra\non $\\Omega$ and $\\mathbb{P}$ a probability measure on $(\\Omega,\\mathcal{F})$).\n\n\n\nLet  $\\mathrm{supp}(\\mu)=\\{x:\\ \\mu(x-\\varepsilon,x+\\varepsilon)>0\\ \\mathrm{for}\\  \\mathrm{any}\\  \\varepsilon>0\\}$ be the support of the common distribution $\\mu.$ Throughout this paper we assume $d<r<\\infty$ \\footnote{\nBy Schur's test  and the self-adjointness of $\\mathcal{T}$, we get (since $r>d$)\n\\begin{align*}\n \\|\\mathcal{T}\\|\\leq \\sup_{m\\in{\\Z}^d}\\sum_{n\\neq m}|m-n|^{-r}\\leq \\sum_{n\\in{\\Z}^d\\setminus\\{0\\}}|n|^{-r}<\\infty,\n \\end{align*}\nwhere $\\|\\cdot\\|$ is the standard operator norm on $\\ell^2({\\Z}^d)$.} and\n \\begin{itemize}\n \\item[$\\bullet$]  ${\\rm supp}(\\mu)$ contains at least two points.\n  \\item[$\\bullet$] ${\\rm supp}(\\mu)$ is \\textit{compact}:  We have  $\\mathrm{supp}(\\mu)\\subset[-{M},{M}]$ for some $M>0$ \\footnote{\nFrom \\cite{K08}, we have for $\\mathbb{P}$ almost all $\\omega$,\n\\begin{align*}\n\\sup_{n\\in{\\Z}^d}|V_\\omega(n)|\\leq M.\n\\end{align*}\nThus we can assume $\\sup\\limits_{n\\in{\\Z}^d}|V_\\omega(n)|\\leq M$ for all $\\omega\\in\\Omega$.\n}.\n\\end{itemize}\n\nIn this paper we study the $dD$ random operators with the {polynomial} long-range hoppin\n\\begin{align}\\label{qps}\n{H}_{\\omega}=\\lambda^{-1}\\mathcal{T} + V_\\omega(n)\\delta_{nn'},\\ \\lambda\\geq1\n\\end{align}\nwhere $\\lambda$ is the coupling constant  for describing the effect of  disorder.\n\nUnder the above assumptions, $H_\\omega$ is a \\textit{bounded self-adjoint} operator on $\\ell^2({\\Z}^d)$ for each $\\omega\\in\\Omega$.\nDenote by $\\sigma(H_\\omega)$ the  spectrum of $H_\\omega$. A well-known result due to Pastur \\cite{Pas80} can imply that there exists a set $\\Sigma$ (\\textit{compact} and \\textit{non-random}) such that for $\\mathbb{P}$ almost all $\\omega$, $\\sigma(H_\\omega)=\\Sigma$.\n\n\n\n\\subsection{Sobolev Norms of a Matrix}\n Since we are dealing with matrices with polynomially decaying off-diagonal elements, the Sobolev norms introduced by Berti-Bolle \\cite{BB13}  are useful.\n\nFix $s_0>d\/2$ (s.t. the Sobolev embedding works).\n\nLet $\\langle k\\rangle=\\max\\{1,|k|\\}$ if $k\\in{\\Z}^d$. Define for $u=\\{ u(k)\\}\\in{\\C}^{{\\Z}^d}$ and $s>0$ the Sobolev norm\n\\begin{align}\\label{us}\n\\|u\\|_s^2=C_0(s_0)\\sum_{k\\in{\\Z}^d}|{u}(k)|^2{\\langle k\\rangle}^{2s},\n\\end{align}\nwhere $C_0(s_0)>0$ is fixed so that (for $s\\geq s_0$)\n\\begin{align*}\n\\|u_1u_2\\|_s\\leq \\frac{1}{2}\\|u_1\\|_{s_0}\\|u_2\\|_s+C(s)\\|u_1\\|_s\\|u_2\\|_{s_0}\n\\end{align*}\nwith $C(s)>0$, $C(s_0)=1\/2$ and $(u_1u_2)(k)=\\sum\\limits_{k'\\in{\\Z}^d}{u}_1{(k-k')}{u}_2(k')$.\n\n\n\nLet $X_1,X_2\\subset{\\Z}^d$ be finite sets. Define  $$\\mathbf{M}^{X_1}_{X_2}=\\left\\{\\mathcal{M}=(\\mathcal{M}(k,k')\\in \\C)_{k\\in X_1,k'\\in X_2}\\right\\}$$ to be the set of all complex matrices with row indexes in $X_1$ and column indexes in $X_2$. If $Y_1\\subset X_1,Y_2\\subset X_2$, we write $\\mathcal{M}^{Y_1}_{Y_2}=(\\mathcal{M}(k,k'))_{k\\in Y_1,k'\\in Y_2}$ for any $\\mathcal{M}\\in\\mathbf{M}^{X_1}_{X_2}$.\n\n\n\\begin{defn}\\label{snorm}\nLet $\\mathcal{M}\\in\\mathbf{M}^{X_1}_{X_2}$. Define for $s\\geq s_0$ the Sobolev norm of $\\mathcal{M}$ as\n\\begin{align*}\n\\|\\mathcal{M}\\|_s^2=C_0(s_0)\\sum_{k\\in X_1-X_2}\\left(\\sup_{k_1-k_2=k}|\\mathcal{M}(k_1,k_2)|\\right)^2\\langle k\\rangle^{2s},\n\\end{align*}\nwhere $C_0(s_0)>0$ is defined in \\eqref{us}.\n\\end{defn}\n\n\\begin{rem}\n From this definition, we have $\\|\\mathcal{T}\\|_{r_1}<\\infty$ if $r_1<r-d\/2$.\n\\end{rem}\n\n\nFor more details about Sobolev norms of matrices, we refer to  \\cite{BB13}.\n\\subsection{Green's Functions Estimate}\nThe estimate on Green's functions plays a key role in spectral theory. In this subsection we  present the first main result on  Green's functions estimate.\n\n\n\n\n\nFor $n\\in{\\Z}^d$ and $L>0$, define the cube $\\Lambda_L(n)=\\{k\\in{\\Z}^d:\\ |k-n|\\leq L\\}$. Moreover,   write $\\Lambda_L=\\Lambda_L(0)$. The volume of a finite set $\\Lambda\\subset{\\Z}^d$\nis defined to be $|\\Lambda|=\\# \\Lambda$. We have $|\\Lambda_L(n)|=(2L+1)^d$ ($L\\in\\N$) for example.\n\n\nIf $\\Lambda\\subset \\Z^d$, denote ${H}_{\\Lambda}=R_{\\Lambda}{{H}_{\\omega}}R_{\\Lambda}$, where $R_{\\Lambda}$ is the restriction operator. Define the Green's function (if it exists) as\n\\begin{align*}\nG_{\\Lambda}(E)=({{H}}_{\\Lambda}-E)^{-1},\\  E\\in\\R.\n\\end{align*}\n\n Let us introduce  \\textbf{good} cubes in ${\\Z}^d$.\n\\begin{defn}\nFix $\\tau'>0$, $\\delta\\in (0,1)$ and $d\/2<s_0\\leq r_1<r-d\/2$. We call $\\Lambda_L(n)$ is $(E,\\delta)$-\\textbf{good} if  $G_{\\Lambda_L(n)}(E)$  exists and satisfies\n\\begin{align*}\n\\|G_{\\Lambda_L(n)}(E)\\|_s\\leq L^{\\tau'+\\delta{s}} \\ \\mathrm{for}\\ \\forall\\  s\\in[s_0,r_1].\n\\end{align*}\nOtherwise, we call $\\Lambda_L(n)$ is $(E,\\delta)$-\\textbf{bad}.\nWe call $\\Lambda_{L}(n)$ an $(E,\\delta)$-\\textbf{good} (resp.  $(E,\\delta)$-\\textbf{bad}) $L$-cube if it is $(E,\\delta)$-\\textbf{good} (resp. $(E,\\delta)$-\\textbf{bad}).\n\\end{defn}\n\n\\begin{rem}\\label{rgdec}\nLet $\\zeta\\in (\\delta,1)$ and $\\tau'-(\\zeta-\\delta)r_1<0$. Suppose that $\\Lambda_L(n)$ is $(E,\\delta)$-\\textbf{good}. Then we have for $L\\geq L_0(\\zeta,\\tau',\\delta,r_1,d)>0$ and $|n'-n''|\\geq L\/2$,\n\\begin{align}\\label{gdec}\n|G_{\\Lambda_L(n)}(E)(n',n'')\n&\\leq |n'-n''|^{-(1-\\zeta)r_1}.\n\\end{align}\n\\end{rem}\n\n\nAssume the following inequalities hold true\\footnote{These inequalities will be explained in the proof of the \\textbf{Coupling Lemma} in the following.}:\n\\begin{align}\\label{para}\n\\left\\{\n\\begin{aligned}\n&-(1-\\delta)r_1+\\tau'+2s_0<0,\\\\\n&-\\xi r_1+\\tau'+\\alpha\\tau+(3+\\delta+4\\xi)s_0<0,\\\\\n&\\alpha^{-1}(2\\tau'+2\\alpha\\tau+(5+4\\xi+2\\delta)s_0)+s_0<\\tau',\\\\\n\\end{aligned}\n\\right.\n\\end{align}\nwhere $\\alpha,\\tau,\\tau',r_1>1, \\xi>0, s_0>d\/2$ and $\\delta\\in(0,1)$.\n\nDenote by $[x]$ the integer part of  some $x\\in\\R$. In what follows let $E$ be in an interval $I$ satisfying  $|I|\\leq 1$  and $I\\cap[-\\|\\mathcal{T}\\|-M,\\|\\mathcal{T}\\|+M]\\neq\\emptyset$. The main result on Green's functions estimate is as follows.\n\\begin{thm}[]\\label{msa}\nSuppose that $1+\\xi<\\alpha$ and  \\eqref{para} holds true. Fix $p>\\alpha d, J\\in2\\mathbb{N}$ and let $L=[l^\\alpha]\\in \\N$ with $l\\in \\N$.\nThen there exists $$\\underline{l}_0=\\underline{l}_0(\\|\\mathcal{T}\\|_{r_1},M,J,\\alpha,\\tau,\\xi,\\tau',\\delta, p, r_1,s_0,d)>0$$ such that, if $l\\geq \\underline{l}_0$,\n\\begin{itemize}\n  \\item[(\\textbf{P1})]\n$\\mathbb{P}({\\exists}\\  E\\in I \\ {\\rm s.t.}\\ {\\rm both}\\  \\Lambda_{l}(m)\\  {\\rm and}\\  \\Lambda_{l}(n)\\ {\\rm are\\ }  (E,\\delta)-{\\bf bad})\n  \\leq l^{-2p}$\nfor all $|m-n|>2l,$\n\n\n\n  \\item[(\\textbf{P2})] $\\mathbb{P}({\\rm dist}(\\sigma(H_{\\Lambda_{L}(m)}),\\sigma(H_{\\Lambda_{L}(n)}))\\leq 2L^{-\\tau})\\leq L^{-2p}\/2$ for all $|m-n|>2L$,\n\\end{itemize}\nthen we have\n$$\\mathbb{P}({\\exists}\\  E\\in I \\ {\\rm s.t.}\\  {\\rm both}\\ \\Lambda_{L}(m)\\  {\\rm and}\\  \\Lambda_{L}(n)\\ {\\rm are\\  }(E,\\frac{1+\\xi}{\\alpha})-{\\bf bad})\n  \\leq C(d)L^{-J(\\alpha^{-1}p-d)}+L^{-2p}\/2$$\nfor all $|m-n|>2L$.\n\n\\end{thm}\n\\begin{rem}\nIn this theorem  no regularity assumption on $\\mu$ is needed.\nMoreover, if we assume further in this theorem $(1+\\xi)\/\\alpha\\leq \\delta$ and $p>\\alpha d+2\\alpha p\/J$, then the ``propagation of smallness'' for the probability occurs (see Theorem \\ref{kthm} in the following for details).\n\\end{rem}\n\n\\subsection{Power-law Localization}\nA sufficient condition for the validity of (\\textbf{P1}) and (\\textbf{P2}) in Theorem \\ref{msa} can be derived from some regularity assumption on $\\mu$.\n\nLet us recall the H\\\"older continuity of a distribution defined in \\cite{CKM87}.\n\n\\begin{defn}[\\cite{CKM87}]\nWe will say a probability measure $\\mu$ is H\\\"older continuous of order $\\rho>0$ if\n\\begin{align}\n\\frac{1}{\\mathcal{K}_\\rho(\\mu)}=\\inf_{\\kappa>0}\\sup_{0<|a-b|\\leq \\kappa}|a-b|^{-\\rho}\\mu([a,b])<\\infty.\n\\end{align}\nIn this case will call $\\mathcal{K}_\\rho(\\mu)>0$ the order of $\\mu$.\n\\end{defn}\n\\begin{rem}\n\\begin{itemize}\n\\item Let $\\mu$ be H\\\"older continuous of order $\\rho$ (i.e., $\\mathcal{K}_\\rho(\\mu)>0$).  Then for any $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$, there is some\n$\\kappa_0=\\kappa_0(\\kappa,\\mu)>0$ so that\n\\begin{align}\\label{mu}\n\\mu([a,b])\\leq \\kappa^{-1}|a-b|^\\rho\\ \\mathrm{for}\\ 0\\leq b-a\\leq \\kappa_0.\n\\end{align}\n\n\\item If $\\mu$ is \\textit{absolutely continuous} with a density in $L^q$ with $1<q\\leq\\infty$, then $\\mu$ is H\\\"older continuous of order $1-1\/q$, and $\\mathcal{K}_{1-1\/q}(\\mu)\\geq \\|\\frac{{d}\\mu}{{d}x}\\|_{L^q}^{-1}$, here ${d}x$ means the Lesbesgue measure on $\\R.$\n\\item There are many \\textit{singular continuous} $\\mu$ which are H\\\"older continuous of some order $\\rho>0$ \\cite{BH80}.\n\\end{itemize}\n\n\\end{rem}\n\nNow we can state  the second main result on the \\textit{power-law} localization.\n\\begin{thm}\\label{mthm}\nLet ${H}_{\\omega}$ be defined by $(\\ref{qps})$ with the common distribution $\\mu$ being H\\\"older continuous of order $\\rho>0$, i.e., $\\mathcal{K}_\\rho(\\mu)>0$. Let $r\\geq\\max\\{\\frac{100d+23\\rho d}{\\rho}, 331d\\}$. Fix any $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$. Then there exists $\\lambda_0=\\lambda_0(\\kappa,\\mu,\\rho,{M},r,d)>0$ such that for  $\\lambda\\geq\\lambda_0$, $H_\\omega$\nhas pure point spectrum  for $\\mathbb{P}$ almost all  $\\omega\\in\\Omega$. Moreover, for $\\mathbb{P}$ almost all  $\\omega\\in\\Omega$, there exists a complete system of eigenfunctions $\\psi_\\omega=\\{\\psi_\\omega(n)\\}_{n\\in{\\Z}^d}$  satisfying $|\\psi_\\omega(n)|\\leq  |n|^{-r\/600}$ for  $|n|\\gg1$.\n\\end{thm}\n\\begin{rem}\nOne may replace $\\max\\{\\frac{100d+23\\rho d}{\\rho}, 331d\\}$ with a smaller one. Actually, if $\\mu$ is \\textit{absolutely continuous},  it has been proven by Aizenman-Molchanov \\cite{AM93} that the \\textit{power-law} localization holds for $r>d$ by using the FMM.\n\\end{rem}\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\\section{Proof of Theorem \\ref{msa}}\n\n\n\n\n\\begin{proof}[\\bf Proof of Theorem \\ref{msa}]\nThe proof consists of a deterministic and a probabilistic part.\n\n\nWe begin with the following definition.\n\n\\begin{defn}[]\nWe call a site $n\\in\\Lambda\\subset{\\Z}^d$ is $(l,E,\\delta)$-\\textbf{good} with respect to (\\textit{w.r.t}) $\\Lambda$ if there exists some $\\Lambda_{l}(m)\\subset\\Lambda$ such that $\\Lambda_{l}(m)$ is $(E,\\delta)$-\\textbf{good} and $n\\in \\Lambda_{l}(m)$ with ${\\rm dist}(n,\\Lambda\\setminus\\Lambda_{l}(m))\\geq l\/2$. Otherwise, we call $n\\in\\Lambda\\subset{\\Z}^d$ is $(l,E,\\delta)$-\\textbf{bad} \\textit{w.r.t} $\\Lambda$.\n\\end{defn}\n\nWe then prove a key \\textbf{Coupling Lemma}. Recall that $E\\in I$ with $|I|\\leq 1$ and $I\\cap \\sigma(H_\\omega)\\neq\\emptyset.$\n\\begin{lem}[\\textbf{Coupling Lemma}]\\label{klem}\nLet $L=[l^\\alpha]$.  Assume that\n\\begin{itemize}\n\\item We have \\eqref{para} holds true and $1+\\xi<\\alpha$.\n\\item We can decompose $\\Lambda_L(n)$ into two disjoint subsets $\\Lambda_L(n)=B\\cup G$ with the following properties: We have\n\\begin{align*}\nB=\\bigcup_{1\\leq j<\\infty}\\Omega_{j},\n\\end{align*}\nwhere for each $j$, ${\\rm diam}(\\Omega_j)\\leq C_\\star l^{1+\\xi}$ ($C_\\star>1$), and for $j\\neq j'$, ${\\rm dist}(\\Omega_j,\\Omega_{j'})\\geq l^{1+\\xi}$. For each $k\\in G$, $k$ is $(l,E,\\delta)$-{\\bf good} w.r.t $\\Lambda_{L}(n)$.\n\n\\item\n $$\\|G_{\\Lambda_L(n)}(E)\\|\\leq L^{\\tau}.$$\n\\end{itemize}\nThen for $$l\\geq \\underline{l}_0(\\|\\mathcal{T}\\|_{r_1},M,C_\\star,\\alpha,\\tau,\\xi,\\tau',\\delta, r_1,s_0,d)>0,$$ we have $\\Lambda_L(n)$ is $(E,\\frac{1+\\xi}{\\alpha})$-{\\bf good}.\n\\end{lem}\n\\begin{rem}\\label{clrem}\nThe main scheme of the proof is definitely from Berti-Bolle \\cite{BB13} in dealing with nonlinear PDEs.\nSince we are also interested in improving the lower bound on $r$, we have to figure out the dependence relations (i.e., \\eqref{para}) among various parameters in the iterations. Then the Coupling Lemma (i.e., Proposition 4.1 in \\cite{BB13}) of Berti-Bolle may not be used directly here and it needs some small modifications on the proof of Berti-Bolle \\cite{BB13}.  It is a key feature that in random operators case the  number of disjoint \\textbf{bad} cubes of smaller size contained in a larger cube is fixed and independent of the iteration scales. This  permits us to get \\textit{separation} distance of  $l^{1+\\xi}$ ($\\xi>0$) without increasing the diameter order (of order also $l^{1+\\xi}$) of \\textbf{bad} cubes clusters (see Lemma \\ref{jlem} in the following for details).  As a result, it provides a possible way for improving the lower bound on $r$.\n\\end{rem}\n\n\\begin{proof}[{\\bf Proof of Lemma \\ref{klem}}]\nThe Sobolev norms introduced in \\cite{BB13} are convenient to the proof. Below, we collect some useful properties of Sobolev norms for matrices  (see \\cite{BB13} for details):\n\\begin{itemize}\n\\item ({\\bf Interpolation property}): Let $B,C,D$ be finite subsets of ${\\Z}^d$ and let $\\mathcal{M}_1\\in \\mathbf{M}^{C}_D,\\mathcal{M}_2\\in \\mathbf{M}_C^B$. Then for any $s\\geq s_0$,\n\\begin{align}\\label{ip1}\n\\|\\mathcal{M}_1\\mathcal{M}_2\\|_s\\leq (1\/2)\\|\\mathcal{M}_1\\|_{s_0}\\|\\mathcal{M}_2\\|_s+(C(s)\/2)\\|\\mathcal{M}_1\\|_s\\|\\mathcal{M}_2\\|_{s_0},\n\\end{align}\nand\n\\begin{align}\n\\label{ip2}\\|\\mathcal{M}_1\\mathcal{M}_2\\|_{s_0}&\\leq \\|\\mathcal{M}_1\\|_{s_0}\\|\\mathcal{M}_2\\|_{s_0},\\\\\n\\label{ip3}\\|\\mathcal{M}_1\\mathcal{M}_2\\|_s&\\leq C(s)\\|\\mathcal{M}_1\\|_s\\|\\mathcal{M}_2\\|_s,\n\\end{align}\nwhere $C(s)\\geq 1$ and $C(s_0)=1$. In particular, if $\\mathcal{M}\\in \\mathbf{M}_B^B$ and $n\\geq 1$, then\n\\begin{align}\n\\label{ip4}\\|\\mathcal{M}^n\\|_{s_0}&\\leq \\|\\mathcal{M}\\|_{s_0}^n, \\|\\mathcal{M}\\|\\leq \\|\\mathcal{M}\\|_{s_0},\\\\\n\\label{ip5}\\|\\mathcal{M}^n\\|_s&\\leq C(s)\\|\\mathcal{M}\\|_{s_0}^{n-1}\\|\\mathcal{M}\\|_s.\n\\end{align}\n\n\\item ({\\bf Smoothing property}): Let $\\mathcal{M}\\in \\mathbf{M}^B_C$. Then for $s\\geq s'\\geq 0$,\n\\begin{align}\n\\label{sp1}\\mathcal{M}(k,k')=0\\  {\\rm for}\\  |k-k'|<N\\Rightarrow \\|\\mathcal{M}\\|_{s'}\\leq N^{-(s-s')}\\|\\mathcal{M}\\|_{s},\n\\end{align}\nand for $N\\ge N_0(s_0,d)>0$,\n\\begin{align}\\label{sp2}\n\\mathcal{M}(k,k')=0\\  {\\rm for}\\  |k-k'|>N\\Rightarrow \\left\\{\\begin{aligned}\n&\\|\\mathcal{M}\\|_{s}\\leq N^{s-s'}\\|\\mathcal{M}\\|_{s'},\\\\\n&\\|\\mathcal{M}\\|_{s}\\leq N^{s+s_0}\\|\\mathcal{M}\\|.\n\\end{aligned}\\right.\n\\end{align}\n\\item ({\\bf Columns estimate}): Let $\\mathcal{\\mathcal{M}}\\in \\mathbf{M}^B_C$. Then for $s\\geq0$,\n\\begin{align}\\label{cl1}\n\\|\\mathcal{M}\\|_s\\leq C(s_0,d)\\max_{k\\in C}\\|\\mathcal{M}_{\\{k\\}}\\|_{s+s_0},\n\\end{align}\nwhere $\\mathcal{M}_{\\{k\\}}:=(\\mathcal{M}(k_1,k))_{k_1\\in B}\\in \\mathbf{M}^B_{\\{k\\}}$ is a column sub-matrix of $\\mathcal{M}$.\n\n\\item ({\\bf Perturbation argument}): If $\\mathcal{M}\\in \\mathbf{M}^B_C$ has a left inverse  $\\mathcal{N}\\in \\mathbf{M}^C_B$ (i.e., $\\mathcal{N}\\mathcal{M}=\\mathcal{I}$, where $\\mathcal{I}$ the identity matrix), then for all $\\mathcal{P}\\in \\mathbf{M}_C^B$ with\n$\\|\\mathcal{P}\\|_{s_0}\\|\\mathcal{N}\\|_{s_0}\\leq 1\/2,$\nthe matrix $\\mathcal{M}+\\mathcal{P}$ has a left inverse $\\mathcal{N}_\\mathcal{P}$ that satisfies\n\\begin{align}\n\\label{pl2}\\|\\mathcal{N}_\\mathcal{P}\\|_{s_0}&\\leq 2\\|\\mathcal{N}\\|_{s_0},\\\\\n\\label{pl3}\\|\\mathcal{N}_\\mathcal{P}\\|_s&\\leq C(s)(\\|\\mathcal{N}\\|_s+\\|\\mathcal{N}\\|_{s_0}^2\\|\\mathcal{P}\\|_s)\\ {\\rm for\\ } s\\geq {s_0}.\n\\end{align}\nMoreover, if\n$\\|\\mathcal{P}\\|\\cdot\\|\\mathcal{N}\\|\\leq 1\/2,$\nthen\n\\begin{align}\\label{pl5}\n\\|\\mathcal{N}_\\mathcal{P}\\|\\leq 2\\|\\mathcal{N}\\|.\n\\end{align}\n\\end{itemize}\n\nWe then turn to the proof of the \\textbf{Coupling Lemma}.\n\nWrite $\\mathcal{A}={H}_{X}-E$ with $X=\\Lambda_L(n)$. Let $\\mathcal{T}_X=R_X\\mathcal{T}R_X$. For $u\\in \\mathbb{C}^X$ with $X=B\\cup G$,  define $u_{G}=R_Gu\\in \\mathbb{C}^G$ and $u_B=R_Bu\\in \\mathbb{C}^B$.  Let $h$ be  an arbitrary fixed vector in $\\ell^2(X)$ and consider the equation\n\\begin{align}\\label{auh}\n\\mathcal{A}u=h.\n\\end{align}\n\n\n\nFollowing \\cite{BB13}, we have three steps:\n\n\n{\\bf Step 1: Reduction on \\textbf{good} sites}\n\\begin{lem}[]\nLet $l\\geq l_0(\\tau', \\delta, {r_1} , s_0, d)>0$. Then there exist $\\mathcal{M}\\in{\\bf M}_G^X$ and $\\mathcal{N}\\in{\\bf M}_G^B$ satisfying the following:\n\\begin{align}\\label{mnd}\n\\|\\mathcal{M}\\|_{s_0}\\leq C(s_0,d)l^{\\tau'+(1+\\delta)s_0},\\  \\|\\mathcal{N}\\|_{s_0}\\leq C({r_1},s_0,d)\\|\\mathcal{T}_X\\|_{r_1}l^{-(1-\\delta){r_1}+\\tau'+2s_0}\\leq 1\/2,\n\\end{align}\n and for all $s>{s_0}$:\n\\begin{align}\n\\label{ms}&\\|\\mathcal{M}\\|_s\\leq C(s,s_0,d) l^{2\\tau'+(1+2\\delta) s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}),\\\\\n\\label{ns}&\\|\\mathcal{N}\\|_s\\leq  C(s,s_0,d)l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}),\n\\end{align}\nsuch that\n\\begin{align}\\label{ugub}\nu_G=\\mathcal{N}u_B+\\mathcal{M}h.\n\\end{align}\n\\end{lem}\n\\begin{proof}\nFix $k\\in G$. Then there exists some $l$-cube $F_k=\\Lambda_l(k_1)$ such that $k\\in F_k$, ${\\rm dist}(k,X\\setminus F_k)\\geq l\/2$ and $F_k$ is $(E,\\delta)$-\\textbf{good}. Define $\\mathcal{Q}_k=\\lambda^{-1} G_{F_k}(E)\\mathcal{T}_{F_k}^{X\\setminus F_k}\\in \\mathbf{M}_{F_k}^{X\\setminus F_k}$. Since $F_k$ is $(E,\\delta)$-\\textbf{good} and using the \\textbf{Interpolation property} \\eqref{ip3}, we obtain (since $\\lambda\\geq 1$)\n\\begin{align}\\label{qr}\n\\|\\mathcal{Q}_k\\|_{r_1}\\leq C(r_1)\\|G_{F_k}(E)\\|_{r_1}\\|\\mathcal{T}_X\\|_{r_1}\\leq C({r_1})\\|\\mathcal{T}_X\\|_{r_1}l^{\\tau'+\\delta {r_1}}.\n\\end{align}\nBy the \\textbf{Interpolation property} \\eqref{ip1} and the \\textbf{Smoothing property} \\eqref{sp2},  for $s\\geq s_0$ we have  (if $|k-k'|>2l$, then $G_{F_k}(E)(k',k)=0$)\n\\begin{align}\n\\nonumber\\|\\mathcal{Q}_k\\|_{s+s_0}&\\leq C(s)(\\|G_{F_k}(E)\\|_{s+s_0}\\|\\mathcal{T}_X\\|_{s_0}+\\|G_{F_k}(E)\\|_{s_0}\\|\\mathcal{T}_X\\|_{s+s_0})\\\\\n\\nonumber&\\leq C(s)((2l)^{s}\\|G_{F_k}(E)\\|_{s_0}\\|\\mathcal{T}_X\\|_{s_0}+l^{\\tau'+\\delta s_0}\\|\\mathcal{T}_X\\|_{s+s_0})\\\\\n\\label{qd}&\\leq C(s,d)l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align}\n\n\nWe now vary $k\\in G$. Define the following operators\\footnote{Both  $\\Gamma$ and $\\mathcal{L}$ are globally well-defined since we define the operators ``{column by column}''. More precisely, we have shown $G\\subset\\bigcup\\limits_{k\\in G}F_k$, and $k\\in F_k$ for each $k\\in G$. From the definition,  we have {$\\Gamma(\\cdot,k)$ and $\\mathcal{L}(\\cdot,k)$ come from that of ${G}_{F_k}(\\cdot,k)$}. One may argue that it is likely that there exists $(m,m')$ such that $m'\\in F_{k}\\cap F_{k'}\\neq \\emptyset$ for some $k'\\neq k$. As a result, it is likely that ${G}_{F_{k}}(m,m')\\neq {G}_{F_{k'}}(m,m')$ and $\\mathcal{L}(m,m')$ (or $\\Gamma(m,m')$) is not uniquely defined! In fact, this is not the case since our definition of $\\mathcal{L}(m,m')$ (or $\\Gamma(m,m')$) comes from the column  ${G}_{F_{m'}}(\\cdot,m')$ rather than that ${G}_{F_k}(\\cdot,m')$ or ${G}_{F_{k'}}(\\cdot,m')$.}:\n\\begin{equation*}\n\\Gamma (k',k)=\\left\\{\\begin{aligned}\n&0,\\ {\\rm for\\ } k'\\in F_k,\\\\\n&\\mathcal{Q}_k(k',k), \\ \\mathrm{for}\\ k'\\in X\\setminus F_k,\n\\end{aligned}\\right.\n\\end{equation*}\nand\n\\begin{equation*}\n\\mathcal{L} (k',k)=\\left\\{\\begin{aligned}\n&G_{F_k}(E)(k',k),\\ {\\rm for\\ } k'\\in F_k,\\\\\n&0, \\ \\mathrm{for}\\ k'\\in X\\setminus F_k.\n\\end{aligned}\\right.\n\\end{equation*}\nFrom \\eqref{auh}, we have\n\\begin{align}\\label{ug}\nu_G+\\Gamma u=\\mathcal{L}h.\n\\end{align}\nWe estimate $\\Gamma\\in \\mathbf{M}_G^X$. Fix $k\\in G$. Note that if $k'\\in X\\setminus F_k$, then $|k-k'|\\geq l\/2$.\nThis implies $\\Gamma_{\\{k\\}}(k',k)=0$\nfor $|k'-k|<l\/2$. By  the \\textbf{Columns estimate}  \\eqref{cl1},   \\eqref{qr} and the \\textbf{Smoothing property} \\eqref{sp1}, we obtain\n\\begin{align}\n\\nonumber\\|\\Gamma\\|_{s_0}&\\leq C(s_0,d)\\sup_{k\\in G}\\|\\Gamma_{\\{k\\}}\\|_{2s_0}\\\\\n\\nonumber&\\leq C(s_0,d) \\sup_{k\\in G}(l\/2)^{-{r_1}+2s_0}\\|\\Gamma_{\\{k\\}}\\|_{{r_1}}\\\\\n\\nonumber&\\leq C(s_0,d) \\sup_{k\\in G}(l\/2)^{-{r_1}+2s_0}\\|\\mathcal{Q}_{k}\\|_{{r_1}}\\\\\n\\label{gmd}&\\leq C(r_1,s_0,d)\\|\\mathcal{T}_X\\|_{r_1}l^{-(1-\\delta){r_1}+\\tau'+2s_0}.\n\\end{align}\nSimilarly, for $s\\geq s_0$, we obtain by recalling \\eqref{qd}\n\\begin{align}\n\\nonumber\\|\\Gamma\\|_s&\\leq C(s_0,d)\\sup_{k\\in G}\\|\\Gamma_{\\{k\\}}\\|_{s+s_0}\\\\\n\\nonumber&\\leq C(s_0,d) \\sup_{k\\in G}\\|\\mathcal{Q}_{k}\\|_{s+s_0}\\\\\n\\label{gms}&\\leq C(s,s_0,d)l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align}\nWe then estimate $\\mathcal{L}\\in \\mathbf{M}_G^X$. Fix $k\\in G$. By the definition of $F_k$, if $|k'-k|>2l$, then $k'\\notin F_k$. This implies $\\mathcal{L}_{\\{k\\}}(k',k)=0$ for $|k'-k|>2l$.\nBy the \\textbf{Columns estimate} \\eqref{cl1} and the \\textbf{Smoothing property} \\eqref{sp2},\nwe have for $s\\geq 0$,\n\\begin{align}\n\\nonumber\\|\\mathcal{L}\\|_{s+s_0}&\\leq C(s_0,d)\\sup_{k\\in G}\\|\\mathcal{L}_{\\{k\\}}\\|_{s+2s_0}\\\\\n\\nonumber&\\leq C(s_0,d) \\sup_{k\\in G}(2l)^{s+s_0}\\|\\mathcal{L}_{\\{k\\}}\\|_{s_0}\\\\\n\\nonumber&\\leq C(s,s_0,d) \\sup_{k\\in G}l^{s+s_0}\\|G_{F_k}(E)\\|_{s_0}\\\\\n\\label{lsd}&\\leq C(s,s_0,d)l^{s+\\tau'+(1+\\delta)s_0}.\n\\end{align}\n\nNotice that we have ${-(1-\\delta){r_1}+\\tau'+2s_0<0}$. Thus for $${l\\geq l_0(\\tau',\\delta,{r_1},s_0,d)>0},$$\n we have since \\eqref{gmd} $\\|\\Gamma\\|_{s_0}\\leq 1\/2$. Recalling the \\textbf{Perturbation argument} \\eqref{pl2}--\\eqref{pl3}, we have that $\\mathcal{I}+\\Gamma_G^G$ is invertible and satisfies\n\\begin{align}\n\\label{ggd}\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_{s_0}&\\leq 2,\\\\\n\\label{ggs}\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_s&\\leq C(s) \\|\\Gamma\\|_s\\ {\\rm for}\\ s\\geq s_0.\n\\end{align}\nFrom \\eqref{ug}, we have\n\\begin{align*}\nu_G=-(\\mathcal{I}+\\Gamma_G^G)^{-1}\\Gamma_G^{B}u_B+(\\mathcal{I}+\\Gamma_G^G)^{-1}\\mathcal{L}h\n\\end{align*}\nand then\n\\begin{align}\\label{mnl}\n\\mathcal{N}=-(\\mathcal{I}+\\Gamma_G^G)^{-1}\\Gamma_G^{B}, \\  \\mathcal{M}=(\\mathcal{I}+\\Gamma_G^G)^{-1}\\mathcal{L}.\n\\end{align}\nRecalling the \\textbf{Interpolation property} \\eqref{ip1} and  since \\eqref{ggd}--\\eqref{mnl}, we have\n\\begin{align*}\n\\|\\mathcal{N}\\|_{s_0}&\\leq \\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_{s_0}\\|\\Gamma\\|_{s_0}\\leq C({r_1},s_0,d)\\|\\mathcal{T}_X\\|_{r_1}l^{-(1-\\delta){r_1}+\\tau'+2s_0},\\\\\n\\|\\mathcal{M}\\|_{s_0}&\\leq \\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_{s_0} \\|\\mathcal{L}\\|_{s_0}\\leq C(s_0,d)l^{\\tau'+(1+\\delta)s_0},\n\\end{align*}\nand for $s\\geq s_0$,\n\\begin{align*}\n\\nonumber\\|\\mathcal{N}\\|_s&\\leq C(s)(\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_s\\|\\Gamma\\|_{s_0}+\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_{s_0}\\|\\Gamma\\|_s)\\\\\n\\nonumber&\\leq C(s)\\|\\Gamma\\|_s\\\\\n\\nonumber&\\leq C(s,s_0,d)l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0})\\ ({\\rm since} \\ \\eqref{gms}),\\\\\n\\|\\mathcal{M}\\|_s& \\leq C(s)(\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_s\\|\\mathcal{L}\\|_{s_0}+\\|(\\mathcal{I}+\\Gamma_G^G)^{-1}\\|_{s_0}\\|\\mathcal{L}\\|_s)\\\\\n&\\leq C(s)({\\|\\Gamma\\|_s\\|\\mathcal{L}\\|_{s_0}}+\\|\\Gamma\\|_{s_0}\\|\\mathcal{L}\\|_s) \\\\\n&\\leq C(s,s_0,d) l^{2\\tau'+(1+2\\delta) s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0})\\ ({\\rm since} \\ \\eqref{gmd}-\\eqref{lsd}).\n\\end{align*}\n\\end{proof}\n\n\n\n\n{\\bf Step 2: Reduction on \\textbf{bad} sites}\n\\begin{lem} Let $l\\geq l_0(\\tau',\\delta,{r_1},s_0,d)>0$. We have\n\\begin{align}\\label{apub}\n\\mathcal{A}'u_B=\\mathcal{Z}h,\n\\end{align}\nwhere\n\\begin{align*}\n\\mathcal{A}'=\\mathcal{A}_X^B+\\mathcal{A}_X^G\\mathcal{N}\\in\\mathbf{M}^B_X,\\ \\mathcal{Z}={\\mathcal{I}}-\\mathcal{A}_X^G\\mathcal{M}\\in\\mathbf{M}^X_X\n\\end{align*}\nsatisfy for $s\\geq s_0$,\n\\begin{align}\n\\label{apzd1}\\|\\mathcal{A}'\\|_{s_0}&\\leq C(M)(1+\\|\\mathcal{T}_X\\|_{s_0}),\\\\\n\\label{apzd2} \\|\\mathcal{Z}\\|_{s_0}&\\leq C(M,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s_0})l^{\\tau'+(1+\\delta)s_0},\\\\\n\\label{aps}\\|\\mathcal{A}'\\|_s&\\leq C(M,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}),\\\\\n\\label{zs}\\|\\mathcal{Z}\\|_s&\\leq  C(M,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{2\\tau'+(1+2\\delta) s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align}\nMoreover, $(\\mathcal{A}^{-1})_B^X$ is a left inverse of $\\mathcal{A}'$.\n\\end{lem}\n\n\\begin{proof}\nSince $I\\cap[-\\|\\mathcal{T}\\|-M,\\|\\mathcal{T}\\|+M]\\neq\\emptyset$, $\\sup_{\\omega,n}{|V_\\omega(n)|}\\leq M$, $|I|\\leq 1$ and $\\lambda\\geq1$, we have for all $E\\in I$ and $n\\in{\\Z}^d$,\n\\begin{align*}\n|V_\\omega(n)-E|\\leq \\|\\mathcal{T}\\|+2M+1.\n\\end{align*}\nThus for any $s\\geq 0$, we obtain\n\\begin{align}\\label{as}\n\\|\\mathcal{A}\\|_s=\\|{H}_X-E\\|_s\\leq \\|\\lambda^{-1}\\mathcal{T}_X\\|_s+\\|\\mathcal{T}\\|+2M+1\\leq 2(1+\\|\\mathcal{T}_X\\|_s+\\|\\mathcal{T}\\|+M).\n\\end{align}\nFrom \\eqref{mnd}, \\eqref{as} and the \\textbf{Interpolation property} \\eqref{ip1}--\\eqref{ip2}, we have\n\\begin{align*}\n&\\|\\mathcal{A}'\\|_{s_0}\\leq \\|\\mathcal{A}\\|_{s_0}+\\|\\mathcal{A}\\|_{s_0}\\|\\mathcal{N}\\|_{s_0}\\leq C(M)(1+\\|\\mathcal{T}_X\\|_{s_0})\\ ({\\rm since}\\ \\|\\mathcal{T}_X\\|\\leq \\|\\mathcal{T}_X\\|_{s_0} ),\\\\\n&\\|\\mathcal{Z}\\|_{s_0}\\leq 1+\\|\\mathcal{A}\\|_{s_0}\\|\\mathcal{M}\\|_{s_0}\\leq C(M,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s_0})l^{\\tau'+(1+\\delta)s_0},\n\\end{align*}\nand for $s\\geq s_0$,\n\\begin{align*}\n\\|\\mathcal{A}'\\|_s&\\leq \\|\\mathcal{A}\\|_s+C(s)(\\|\\mathcal{A}\\|_s\\|\\mathcal{N}\\|_{s_0}+\\|\\mathcal{A}\\|_{s_0}\\|\\mathcal{N}\\|_s)\\\\\n&\\leq C(M,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{\\tau'+\\delta s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}),\\\\\n\\|\\mathcal{Z}\\|_s&\\leq 1+C(s)(\\|\\mathcal{A}\\|_s\\|\\mathcal{M}\\|_{s_0}+\\|\\mathcal{A}\\|_{s_0}\\|\\mathcal{M}\\|_s)\\\\\n&\\leq C(M,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{2\\tau'+(1+2\\delta) s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align*}\nIt is easy to see $(\\mathcal{A}^{-1})_B^X$ is a left inverse of $\\mathcal{A}'$.\n\\end{proof}\n\n\n\n\\begin{lem}[Left inverse of $\\mathcal{A}'$] Let $l\\geq l_0(\\|\\mathcal{T}_X\\|_{r_1}, M, C_\\star, \\tau, \\xi, \\tau',\\delta, {r_1}, s_0, d)>0$. Then $\\mathcal{A}'$ has a left inverse $\\mathcal{V}$ satisfying for $s\\geq d$,\n\\begin{align}\\label{vs0}\n& \\|\\mathcal{V}\\|_{s_0}\\leq C(C_\\star,s_0,d)l^{\\alpha\\tau+(2+2\\xi)s_0},\n\\end{align}\nand for $s>s_0$,\n\\begin{align}\\label{vs}\n&\\|\\mathcal{V}\\|_s\\leq  C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{\\tau'+2\\alpha\\tau+(4+4\\xi+\\delta)s_0}(l^{(1+\\xi)s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align}\n\\end{lem}\n\n\\begin{proof}\nThe proof is based on the perturbation of left inverses as in \\cite{BB13}. Let $\\widetilde \\Omega_j$ be the $l^{1+\\xi}\/4$-neighborhood of $\\Omega_j$, i.e.,  $\\widetilde \\Omega_j=\\{k\\in\\Z^d:\\ {\\rm dist}(k,\\Omega_j)\\leq l^{1+\\xi}\/4\\}$.\nLet $\\mathcal{D}\\in \\mathbf{M}^B_X$ satisfy the following:\n\\begin{equation*}\n\\mathcal{D} (k,k')=\\left\\{\\begin{aligned}\n&\\mathcal{A}'(k,k'),\\ {\\rm for\\ } (k,k')\\in \\bigcup_{j}(\\Omega_j\\times\\widetilde\\Omega_j),\\\\\n&0, \\ \\mathrm{for}\\ (k,k')\\notin \\bigcup_{j}(\\Omega_j\\times\\widetilde\\Omega_j).\n\\end{aligned}\\right.\n\\end{equation*}\n\nWe claim that $\\mathcal{D}$ has a left inverse $\\mathcal{W}$ satisfying $\\|\\mathcal{W}\\|\\leq 2L^{\\tau}$. Let $|k-k'|<l^{1+\\xi}\/4$ and $\\mathcal{R}=\\mathcal{A}'-\\mathcal{D}$.  Since $B=\\bigcup_j\\Omega_j$, we have  $k\\in \\Omega_j$ for some $j$, and then  $k'\\in \\widetilde\\Omega_j$, which implies  $\\mathcal{R}(k,k')=0$. Then recalling the \\textbf{Smoothing property} \\eqref{sp1}, we obtain\n\\begin{align}\n\\nonumber\\|\\mathcal{R}\\|_{s_0}&\\leq (l^{1+\\xi}\/4)^{-{r_1}+2s_0}\\|\\mathcal{R}\\|_{{r_1}-s_0}\\leq (l^{1+\\xi}\/4)^{-{r_1}+2s_0}\\|\\mathcal{A}'\\|_{{r_1}-s_0}\\\\\n\\nonumber&\\leq C(M,{r_1},s_0,d)(1+\\|\\mathcal{T}_X\\|_{r_1})\\|\\mathcal{T}_X\\|_{r_1}l^{-\\xi {r_1}+\\tau'+(1+\\delta+2\\xi)s_0}\\ ({\\rm by}\\ \\eqref{aps})\\\\\n\\label{rd}&\\leq C(M,{r_1},s_0,d)l^{-\\xi {r_1}+\\tau'+(1+\\delta+2\\xi)s_0}.\n\\end{align}\nThus recalling \\eqref{ip4} and the assumption $\\|\\mathcal{A}^{-1}\\|\\leq L^\\tau$, we have\n\\begin{align*}\n\\|\\mathcal{R}\\|\\cdot\\|(\\mathcal{A}^{-1})_B^X\\|&\\leq \\|\\mathcal{R}\\|_{s_0}\\|{\\mathcal{A}}^{-1}\\|\\\\\n&\\leq C(M,{r_1},s_0,d)l^{-\\xi {r_1}+\\tau'+(1+\\delta+2\\xi)s_0}L^{\\tau}\\\\\n&\\leq  C(M,{r_1},s_0,d)l^{-\\xi {r_1}+\\tau'+\\alpha\\tau+(1+\\delta+2\\xi)s_0}\\leq 1\/2\\ ({\\rm since}\\ L=[l^\\alpha]),\n\\end{align*}\nwhere in the last inequality we use the fact that {$-\\xi {r_1}+\\tau'+\\alpha\\tau+(1+\\delta+2\\xi)s_0<0$ and $l\\geq l_0(M,\\alpha,\\tau,\\xi,\\tau',\\delta, {r_1},s_0,d)>0$}.\nIt follows from the \\textbf{Perturbation argument} \\eqref{pl5} that $\\mathcal{D}$ has a left inverse $\\mathcal{W}$ satisfying $\\|\\mathcal{W}\\|\\leq 2\\|\\mathcal{A}^{-1}\\|\\leq 2L^{\\tau}$.\n\n\nFrom \\cite{BB13}, we know that\n\\begin{equation*}\n\\mathcal{W}_0 (k,k')=\\left\\{\\begin{aligned}\n&\\mathcal{W}(k,k'),\\ {\\rm for\\ } (k,k')\\in \\bigcup_{j}(\\Omega_j\\times\\widetilde\\Omega_j),\\\\\n&0, \\ \\mathrm{for}\\ (k,k')\\notin \\bigcup_{j}(\\Omega_j\\times\\widetilde\\Omega_j)\n\\end{aligned}\\right.\n\\end{equation*}\nis a left inverse of $\\mathcal{D}$. We then estimate $\\|\\mathcal{W}_0\\|_s$.  Since ${\\rm diam}(\\widetilde\\Omega_j)\\leq 2C_\\star l^{1+\\xi}$, we have $\\mathcal{W}_0(k,k')=0$ if $|k-k'|> 2C_\\star l^{1+\\xi}$. Using the \\textbf{Smoothing property }\\eqref{sp2} yields for $s\\geq 0$,\n\\begin{align}\n\\label{w0s}&\\|\\mathcal{W}_0\\|_s\\leq C(C_\\star,s,s_0,d)l^{(1+\\xi)(s+s_0)}\\|\\mathcal{W}\\|\\leq C(C_\\star,s,s_0,d)l^{(1+\\xi)(s+s_0)+\\alpha\\tau}.\n\\end{align}\n\nFinally, recall  that $\\mathcal{A}'=\\mathcal{D}+\\mathcal{R}$ and $\\mathcal{W}_0$ is a left inverse of $\\mathcal{D}$. We have by \\eqref{rd} and \\eqref{w0s},\n\\begin{align*}\n\\|\\mathcal{R}\\|_{s_0}\\|\\mathcal{W}_0\\|_{s_0}\\leq C(M,C_\\star,{r_1},s_0,d)l^{-\\xi {r_1}+\\tau'+\\alpha\\tau+(3+\\delta+4\\xi)s_0}\\leq 1\/2\n\\end{align*}\nsince {$-\\xi {r_1}+\\tau'+\\alpha\\tau+(3+\\delta+4\\xi)s_0<0$ and $l\\geq l_0(M,C_\\star,\\alpha,\\tau,\\xi,\\tau',\\delta, {r_1},s_0,d)>0$}.  Applying the {\\bf Perturbation argument} \\eqref{pl2}--\\eqref{pl3} again implies that $\\mathcal{A}'$ has a left inverse $\\mathcal{V}$ satisfying\n\\begin{align*}\n\\|\\mathcal{V}\\|_{s_0}&\\leq 2\\|\\mathcal{W}_0\\|_{s_0}\\leq C(C_\\star,s_0,d)l^{\\alpha\\tau+(2+2\\xi)s_0},\\\\\n\\|\\mathcal{V}\\|_s&\\leq C(s)(\\|\\mathcal{W}_0\\|_s+\\|\\mathcal{W}_0\\|_{s_0}^2\\|\\mathcal{R}\\|_s) \\ ({\\rm by}\\ \\eqref{pl3})\\\\\n&\\leq C(C_\\star,s,s_0,d)l^{(1+\\xi)(s+s_0)+\\alpha\\tau}\\\\%+  C(s,s_0,d)\\|\\mathcal{A}'\\|_s\\ ({\\rm by}\\ \\eqref{w0s}\\ {\\rm and}\\ \\eqref{aps})\\\\\n\\nonumber&\\ \\ +C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{\\tau'+2\\alpha\\tau+(4+4\\xi+\\delta)s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0})\\\\\n&\\leq C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{\\tau'+2\\alpha\\tau+(4+4\\xi+\\delta)s_0}(l^{(1+\\xi)s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align*}\n\n\n\n\\end{proof}\n\n\n{\\bf Step 3: Completion of proof}\n\nCombining \\eqref{auh}, \\eqref{ugub} and \\eqref{apub} implies\n\\begin{align*}\nu_G=\\mathcal{M}h+\\mathcal{N}u_B,u_B=\\mathcal{V}\\mathcal{Z}h.\n\\end{align*}\nThus\n\\begin{align*}\n(\\mathcal{A}^{-1})_B^X=\\mathcal{V}\\mathcal{Z}, \\  (\\mathcal{A}^{-1})_G^X=\\mathcal{M}+\\mathcal{N}(\\mathcal{A}^{-1})^X_B.\n\\end{align*}\nThen for $s\\geq s_0$, we can obtain by using the \\textbf{Interpolation property} \\eqref{ip1} and the \\textbf{Smoothing property} \\eqref{sp2}\n\\begin{align*}\n\\|(\\mathcal{A}^{-1})_B^X\\|_s&\\leq C(s)(\\|\\mathcal{V}\\|_s\\|\\mathcal{Z}\\|_{s_0}+\\|\\mathcal{V}\\|_{s_0}\\|\\mathcal{Z}\\|_s)\\\\\n&\\leq C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})^2l^{2\\tau'+2\\alpha\\tau+(5+4\\xi+2\\delta)s_0}(l^{(1+\\xi)s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}) \\\\\n&\\ \\ +C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})l^{2\\tau'+\\alpha\\tau+(3+2\\delta+2\\xi)s_0}(l^{s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0})\\\\\n&\\ \\  ({\\rm by}\\ \\eqref{zs}\\ {\\rm and}\\ \\eqref{vs})\\\\\n&\\leq C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{s})^2l^{2\\tau'+2\\alpha\\tau+(5+4\\xi+2\\delta)s_0}(l^{(1+\\xi)s}\\|\\mathcal{T}_X\\|_{s_0}+\\|\\mathcal{T}_X\\|_{s+s_0}).\n\\end{align*}\nWe obtain the similar bound for $\\|(\\mathcal{A}^{-1})_G^X\\|_s$. Thus for any $s\\in[s_0,{r_1}]$, we obtain\n\\begin{align*}\n\\|\\mathcal{A}^{-1}\\|_s&\\leq \\|(\\mathcal{A}^{-1})_B^X\\|_s+\\|(\\mathcal{A}^{-1})_G^X\\|_s\\\\\n&  C(M,C_\\star,s,s_0,d)(1+\\|\\mathcal{T}_X\\|_{r_1})^2l^{2\\tau'+2\\alpha\\tau+(5+4\\xi+2\\delta)s_0}(l^{(1+\\xi)s}\\|\\mathcal{T}_X\\|_{s_0}+(2L)^{s_0} \\|\\mathcal{T}_X\\|_{{r_1}})\\\\\n&\\leq C(M,C_\\star,r_1,s_0,d)\\|\\mathcal{T}_X\\|_{{r_1}}^2 L^{\\alpha^{-1}(2\\tau'+2\\alpha\\tau+(5+4\\xi+2\\delta)s_0)+s_0+\\alpha^{-1}{(1+\\xi)}s}\\\\\n&\\leq L^{\\tau'+\\frac{1+\\xi}{\\alpha} s},\n\\end{align*}\nwhere in the last inequality we use the third inequality in \\eqref{para} and  $$L>l\\geq l_0(\\|\\mathcal{T}\\|_{{r_1}}, M,C_\\star,\\alpha,\\tau,\\xi,\\tau',\\delta, {r_1},s_0,d)>0.$$\n\n\nThis finishes the proof of the \\textbf{Coupling Lemma}.\n\n\n\\end{proof}\n\n\n\nWe are in a position to finish the proof of  Theorem \\ref{msa}.\n\n{\\bf Deterministic part}\n\n\\begin{lem}\\label{jlem}\nFix $J\\in 2\\mathbb{N}$.  Assume \\eqref{para} holds true and $1+\\xi<\\alpha$.  Assume further that any pairwise disjoint $(E,\\delta)$-{\\bf bad} $l$-cubes contained in $\\Lambda_{L}(n)$ has number at most $J-1$ and $\\|G_{\\Lambda_L(n)}(E)\\|\\leq L^{\\tau}$. Then  for $$l\\geq l_0(M,J,\\alpha,\\tau,\\xi,\\tau',\\delta, {r_1},s_0,d)>0,$$  we have $\\Lambda_L(n)$ is $(E,\\frac{1+\\xi}{\\alpha})$-{\\bf good}.\n\\end{lem}\n\n\\begin{proof}[{\\bf Proof of Lemma \\ref{jlem}}]\nThe main point here is to obtain the \\textit{separation property} of $(E,\\delta)$-\\textbf{bad} $l$-cubes contained in $\\Lambda_L(n)$.\n\nDenote by $\\Lambda_{l}(k^{(1)}),\\cdots,\\Lambda_l(k^{(t_0)})\\subset\\Lambda_L(n)$ all the $(E,\\delta)$-\\textbf{bad} $l$-cubes. Obviously,  $t_0\\leq (2L+1)^d$.\nWe first claim that there exists $\\widetilde{Z}=\\{m^{(1)},\\cdots,m^{(t_1)}\\}\\subset Z=\\{k^{(1)},\\cdots,k^{(t_0)}\\}$ such that $t_1\\leq J-1$, $|m^{(i)}-m^{(j)}|>2l$ (for $ i\\neq j$) and\n\\begin{align}\\label{vitali}\n\\bigcup_{1\\leq j\\leq t_0}\\Lambda_l(k^{(j)})\\subset \\bigcup_{1\\leq j\\leq t_1}\\Lambda_{3l}(m^{(j)}).\n\\end{align}\nThis claim should be compared with the  Vitali covering argument. We prove this claim as follows. We start from $m^{(1)}=k^{(1)}$. Define $Z_1$ to be the set of all $k^{(j)}$ satisfying $|k^{(j)}-m^{(1)}|\\leq 2l$. If $Z_1=Z$, then we stop the process, and it is easy to check  \\eqref{vitali}  with $t_1=1.$ Otherwise, we have $Z\\setminus Z_1\\neq \\emptyset$ and we can choose a $m^{(2)}\\in Z\\setminus Z_1$. Similarly,  let $Z_2$ be the set of all $k^{(j)}\\in Z\\setminus Z_1$ satisfying $|k^{(j)}-m^{(2)}|\\leq l$. If $Z_2=Z\\setminus Z_1$,  we stop the process and  \\eqref{vitali} holds with $t_1=2$. Repeating this process and since $t_0<\\infty$, we can obtain \\eqref{vitali} for some $t_1\\leq t_0.$ From the construction, we must have $|m^{(i)}-m^{(j)}|>2l$ for $i\\neq j$, or equivalently $\\Lambda_{l}(m^{(i)})\\cap\\Lambda_l(m^{(j)})=\\emptyset$ for $i\\neq j.$ Recalling the assumption of Lemma \\ref{jlem}, we get $t_1\\leq J-1.$ The proof of this claim is finished.\n\n\n We now separate further the clusters $\\Lambda_{3l}(m^{(1)})\\cap\\Lambda_L(n) ,\\cdots,\\Lambda_{3l}(m^{(t_1)})\\cap\\Lambda_L(n)$. Define a relation $\\bowtie$ on $\\widetilde Z$  as follows. Letting $k,k'\\in \\widetilde Z$, we say $k\\bowtie k'$ if there is a sequence $k_0,\\cdots, k_q\\in\\widetilde Z$ ($q\\geq 1$) satisfying $k_0=k,k_q=k'$ and\n    \\begin{align}\\label{shi1}\n    |k_j-k_{j+1}|\\leq 2l^{1+\\xi}\\ {\\rm for}\\ \\forall\\ 0\\leq j\\leq q-1.\n    \\end{align}\nIt is easy to see $\\bowtie$ is an equivalence relation on $\\widetilde Z.$ As a result, we can partition $\\widetilde Z$ into disjoint equivalent classes (\\textit{w.r.t}  $\\bowtie$), say $\\pi_1,\\cdots,\\pi_{t_2}$ with $t_2\\leq t_1$. We also have by \\eqref{shi1}\n\\begin{align}\n\\label{shi2}|k-k'|&\\leq 2Jl^{1+\\xi}\\  {\\rm for}\\ \\forall\\  k,k'\\in\\pi_j,\\\\\n\\label{shi3}{\\rm dist}(\\pi_{i},\\pi_j)&>2l^{1+\\xi}\\ {\\rm for}\\ i\\neq j.\n \\end{align}\nCorrespondingly, we can define\n$$ \\Omega_j=\\bigcup_{y\\in\\pi_j}(\\Lambda_{3l}(y)\\cap\\Lambda_L(n)).$$\nFrom \\eqref{shi2} and \\eqref{shi3}, we obtain\n\\begin{align*}\n{\\rm diam}(\\Omega_j)&\\leq 10Jl^{1+\\xi}\\ {\\rm for}\\ 1\\leq j\\leq t_2,\\\\\n{\\rm dist}(\\Omega_{i},\\Omega_j)&>2l^{1+\\xi}-10l>l^{1+\\xi}\\ {\\rm for}\\ i\\neq j.\n\\end{align*}\nMoreover, since $B=\\bigcup\\limits_{1\\leq j\\leq t_2}\\Omega_j$ contains all the $(E,\\delta)$-\\textbf{bad} $l$-cubes, it follows that if $\\Lambda_l(k)\\subset\\Lambda_L(n)$ and $\\Lambda_l(k)\\cap (\\Lambda_L(n)\\setminus B)\\neq \\emptyset$, then $\\Lambda_l(k)$ must be $(E,\\delta)$-\\textbf{good}. Let $G=\\Lambda_L(n)\\setminus B$. Then every $k\\in G$ is $(E,\\delta)$-\\textbf{good} \\textit{w.r.t} $\\Lambda_L(n)$. Actually, if $k\\in G\\subset\\Lambda_L(n)$, then there exists $\\Lambda_l(k')\\subset \\Lambda_{L}(n)$ with $k\\in\\Lambda_l(k')$ such that ${\\rm dist}(k,\\Lambda_L(n)\\setminus\\Lambda_l(k'))\\geq l$. This $\\Lambda_l(k')$ must be $(E,\\delta)$-\\textbf{good} since $k\\notin B,$  i.e., $k$ is $(E,\\delta)$-\\textbf{good} \\textit{w.r.t} $\\Lambda_L(n).$\n\n\n\n\n\n\n\n\n\nFinally, it suffices to apply Lemma \\ref{klem} with $B=\\bigcup\\limits_{j=1}^{t_2}\\Omega_j$, $G=\\Lambda_L(n)\\setminus B$ and $C_\\star=10J$.\n\n\n\n\n\n\\end{proof}\n\n\n\n\n{\\bf Probabilistic part}\n\n\n\n\n Fix $m,n$ with $|m-n|>2L$ and write $\\Lambda_1=\\Lambda_{L}(m), \\Lambda_2=\\Lambda_{L}(n)$. We define the\nfollowing events for $i=1,2$:\n\\begin{align*}\n&{\\mathbf{A}}_i:\\ \\Lambda_{i}\\ {\\rm is\\ } (E,\\frac{1+\\xi}{\\alpha})-{\\rm\\bf bad},\\\\\n&{\\mathbf{B}}_i:  \\ {\\rm either}\\ G_{\\Lambda_i}(E) \\ {\\rm does\\  not\\  exist\\  or}\\  \\|G_{\\Lambda_i}(E)\\|\\geq L^{\\tau},\\\\\n&{\\mathbf{C}}_i:\\  \\Lambda_i\\  {\\rm contains\\  }J\\  {\\rm\\ pairwise\\  disjoint\\ } (E,\\delta)-{\\rm \\bf bad}\\  l-{\\rm cubes},\\\\\n&{\\mathbf{D}}:\\ {\\exists}\\  E\\in I \\ {\\rm so\\  that\\ both}\\  \\Lambda_{1}\\  {\\rm and}\\  \\Lambda_{2}\\ {\\rm are\\ } (E,\\frac{1+\\xi}{\\alpha})-{\\rm\\bf bad}.\n\\end{align*}\nUsing  Lemma \\ref{jlem} yields\n\\begin{align}\n\\nonumber\\mathbb{P}(\\mathbf{D})&\\leq \\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{A}}_1\\cap{\\mathbf{A}}_2)\\right)\\leq \\mathbb{P}\\left(\\bigcup_{E\\in I}\\left(({\\mathbf{B}}_1 \\cup{\\mathbf{C}}_1)\\cap({\\mathbf{B}}_2 \\cup{\\mathbf{C}}_2\\right))\\right)\\\\\n\\nonumber&\\leq \\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{B}}_1\\cap{\\mathbf{B}}_2)\\right)+\\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{B}}_1\\cap{\\mathbf{C}}_2)\\right)\\\\\n\\nonumber&\\ \\ +\\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{C}}_1\\cap{\\mathbf{B}}_2)\\right)+\\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{C}}_1\\cap{\\mathbf{C}}_2)\\right)\\\\\n\\label{idp}&\\leq \\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{B}}_1\\cap{\\mathbf{B}}_2)\\right)+3\\mathbb{P}\\left(\\bigcup_{E\\in I}{\\mathbf{C}}_1\\right).\n\\end{align}\nIt is easy to see since (\\textbf{P1})\n\\begin{align}\\label{mp}\n\\mathbb{P}\\left(\\bigcup_{E\\in I}{\\mathbf{C}}_1\\right)\\leq C(d)L^{Jd}(l^{-2p})^{J\/2}\\leq C(d)L^{-J(\\alpha^{-1}p-d)}\n\\end{align}\nWe then estimate the first term in \\eqref{idp}. By  (\\textbf{P2}), we obtain\n\\begin{align}\n \\nonumber\\mathbb{P}\\left(\\bigcup_{E\\in I}({\\mathbf{B}}_1\\cap{\\mathbf{B}}_2)\\right)&\\leq  \\mathbb{P}\\left({\\rm dist}(\\sigma(H_{\\Lambda_1}),\\sigma(H_{\\Lambda_2}))\\leq 2L^{-\\tau}\\right)\\\\\n \\label{l2p}&\\leq{L^{-2p}}\/{2}.\n\\end{align}\nCombining \\eqref{idp}, \\eqref{mp} and \\eqref{l2p}, we have $\\mathbb{P}({\\mathbf{D}})\\leq C(d)L^{-J(\\alpha^{-1}p-d)}+L^{-2p}\/2$.\n\nThis concludes the proof.\n\\end{proof}\n\n\\section{Validity of (\\textbf{P1}) and (\\textbf{P2})}\nIn this section we will verify  the validity of (\\textbf{P1}) and (\\textbf{P2}) in Theorem \\ref{msa}.  As a consequence, we prove a complete MSA argument on Green's functions estimate. The regularity of $\\mu$ plays an essential role here.\n\\begin{thm}\\label{ine}\nLet $\\mu$ be H\\\"older continuous of order $\\rho>0$ (i.e., $\\mathcal{K}_\\rho(\\mu)>0$). Fix $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$, $E_0\\in\\R$ and $\\tau'>(p+d)\/\\rho$. Then there exists $$\\underline{L}_0=\\underline{L}_0(\\kappa,\\mu,\\rho,\\tau',p,{r_1},s_0,d)>0$$ such that the following holds: if $L_0\\geq \\underline{L}_0$, then there is some $\\lambda_0=\\lambda_0(L_0,\\kappa,\\rho,p,s_0,d)>0$ and $\\eta=\\eta(L_0,\\kappa,\\rho,p,d)>0$ so that for $\\lambda\\geq \\lambda_0$, we have\n\\begin{align*}\n \\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\ {\\rm both} \\ \\Lambda_{L_0}(m)\\  {\\rm and}\\  \\Lambda_{L_0}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\n  \\leq L_0^{-2p}\n  \\end{align*}\nfor all $|m-n|>2L_0$.\n\\end{thm}\n\\begin{rem}\nWe will see in the proof $\\lambda_0\\sim{L_0^{(p+d)\/\\rho}}\\kappa^{-1\/\\rho}$ and $\\eta\\sim {L_0^{-(p+d)\/\\rho}}\\kappa^{1\/\\rho}$. In addition, $\\lambda_0$ and $\\eta$ are independent of $E_0$.\n\\end{rem}\n\n\\begin{proof}\nDefine the event\n\\begin{align*}\n{\\mathbf{R}}_n(\\varepsilon):\\ |V_\\omega(k)-E_0|\\leq \\varepsilon\\ {\\rm \\  for\\ some }\\ k\\in\\Lambda_{L_0}(n),\n\\end{align*}\nwhere $\\varepsilon\\in (0,1)$ will be specified below. Then by \\eqref{mu}, we obtain for  $2\\varepsilon\\leq \\kappa_0=\\kappa_0(\\kappa,\\mu)>0$,\n\\begin{align}\n\\nonumber\\mathbb{P}({\\mathbf{R}}_n(\\varepsilon))&\\leq (2L_0+1)^d\\mu\\left([E_0-\\varepsilon,E_0+\\varepsilon]\\right)\\\\\n\\nonumber&\\leq 2^\\rho(2L_0+1)^d\\kappa^{-1} \\varepsilon^\\rho\\\\\n\\label{Rn}&\\leq  L_0^{-p},\n\\end{align}\nwhich permits us to set\n\\begin{align*}\n\\varepsilon=2^{-1}3^{-d\/\\rho}\\kappa^{1\/\\rho}L_0^{-(p+d)\/\\rho}.\n\\end{align*}\nIn particular, \\eqref{Rn} holds for $L_0\\geq \\underline{L}_0(\\kappa,\\mu,\\rho,p,d)>0$.\n\nSuppose now $\\omega\\notin {\\mathbf{R}}_n(\\varepsilon)$. Then for all $|E-E_0|\\leq \\varepsilon\/2$ and $k\\in\\Lambda_{L_0}(n)$, we have\n\\begin{align*}\n|V_\\omega(k)-E|&\\geq |V_\\omega(k)-E_0|-|E-E_0|\\geq \\varepsilon\/2,\n\\end{align*}\nwhich permits us to set $\\eta=\\varepsilon\/2$. Moreover,  for $\\mathcal{D}=R_{\\Lambda_{L_0}(n)}(V_\\omega(\\cdot)-E)R_{\\Lambda_{L_0}(n)}$, we have by Definition \\ref{snorm} that $\\|\\mathcal{D}^{-1}\\|_s\\leq C(d)\/\\varepsilon$ for $s\\geq s_0$. Notice  that\n\\begin{align*}\n\\|\\lambda^{-1}\\mathcal{T} \\mathcal{D}^{-1}\\|_{s_0}\\leq C(s_0,d)\\lambda^{-1}\\varepsilon^{-1}\\leq 1\/2\n\\end{align*}\nif $$\\lambda\\geq \\lambda_0=2C(s_0,d)\\varepsilon^{-1}.$$\n We assume $\\lambda\\geq\\lambda_0$. Then  by the \\textbf{Perturbation argument} (i.e., \\eqref{pl2}--\\eqref{pl3}) and $$H_{\\Lambda_{L_0}(n)}-E=R_{\\Lambda_{L_0}(n)}\\lambda^{-1} \\mathcal{T} R_{\\Lambda_{L_0}(n)}+\\mathcal{D},$$ we have\n\\begin{align*}\n\\|G_{\\Lambda_{L_0}(n)}(E)\\|_{s_0}&\\leq 2\\|\\mathcal{D}^{-1}\\|_{s_0}\\leq C(d)\\varepsilon^{-1},\n\\end{align*}\nand for $s\\geq s_0$,\n\\begin{align*}\n\\|G_{\\Lambda_{L_0}(n)}(E)\\|_{s}&\\leq C(s,d)(\\varepsilon^{-1}+\\lambda^{-1}\\varepsilon^{-2})\\\\\n&\\leq C(s,s_0,d)\\varepsilon^{-1}\\ ({\\rm since\\ }\\lambda\\geq \\lambda_0\\sim\\varepsilon^{-1}).\n\\end{align*}\nWe restrict $s_0\\leq s\\leq {r_1}$ in the following. In order to show $\\Lambda_{L_0}(n)$ is $(E,\\delta)$-\\textbf{good}, it suffices to let\n\\begin{align}\\label{ll0}\nC({r_1},s_0,d)\\varepsilon^{-1}=C(\\rho,{r_1},s_0,d)\\kappa^{-1\/\\rho}L_0^{(p+d)\/\\rho}\\leq L_0^{\\tau'},\n\\end{align}\nwhich indicates we can allow $L_0\\geq \\underline{L}_0(\\kappa,\\mu,\\rho,\\tau',p,{r_1},s_0,d)>0.$  We should remark here \\eqref{ll0} makes sense since $\\tau'>(p+d)\/\\rho$.\n\nFinally, for $|m-n|>2L_0$ and $\\lambda\\geq \\lambda_0$, we have by the \\textit{i.i.d} assumption of the potentials that\n\\begin{align*}\n &\\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\  {\\rm both}\\ \\Lambda_{L_0}(m)\\  {\\rm and}\\  \\Lambda_{L_0}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\\\\\n  &\\leq \\mathbb{P}(\\mathbf{R}_m(\\varepsilon))\\mathbb{P}(\\mathbf{R}_n(\\varepsilon))\\\\\n  &\\leq L_0^{-2p}\\ ({\\rm by\\ }\\eqref{Rn}).\n  \\end{align*}\n\\end{proof}\n\n\n\n\n\n\n\nWe then turn to the verification of (\\textbf{P2}). This will follow from an argument of Carmona-Klein-Martinelli \\cite{CKM87}.\n\\begin{lem}\\label{we}\n Let $\\mu$ be H\\\"older continuous of order $\\rho>0$ (i.e., $\\mathcal{K}_\\rho(\\mu)>0$). Then for any $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$, we can find $\\kappa_0=\\kappa_0(\\kappa,\\mu)>0$ so that\n \\begin{align*}\n\\mathbb{P}({\\rm dist}(E,\\sigma(H_{\\Lambda_L(n)}))\\leq \\varepsilon) \\leq \\kappa^{-1} 2^\\rho(2L+1)^{d(1+\\rho)}\\varepsilon^\\rho\n\\end{align*}\n for all $E\\in\\R$, $n\\in\\Z^d$ and for all $\\varepsilon>0$, $L>0$ with  $\\varepsilon(2L+1)^d\\leq \\kappa_0.$\n\n\\end{lem}\n\\begin{proof}\nNotice that  the long-range term $\\lambda^{-1} \\mathcal{T}$ in our operator is \\textit{non-random}. Then the proof  becomes similar to that  in the Schr\\\"odinger operator case by Carmona-Klein-Martinelli \\cite{CKM87}. We omit the details here.\n\\end{proof}\n\n\n\n\n\n\nWe can then verify (\\textbf{P2}) in Theorem \\ref{msa}.\n\n\n\n\n \n\n\n\n\n\n\\begin{thm}[{\\bf Verification of} (\\textbf{P2})]\\label{vp2}\nLet $\\mu$ be H\\\"older continuous of order $\\rho>0$ (i.e., $\\mathcal{K}_\\rho(\\mu)>0$). Fix $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$. Then For $L\\geq \\underline{L}_0(\\kappa,\\mu,\\rho,\\tau,p,d)>0$ and\n\\begin{align}\\label{tr}\n\\tau>(2p+(2+\\rho)d)\/\\rho,\n\\end{align} we have\n \\begin{align*}\\mathbb{P}({\\rm dist}(\\sigma(H_{\\Lambda_{L}(m)}),\\sigma(H_{\\Lambda_{L}(n)}))\\leq 2L^{-\\tau})\\leq L^{-2p}\/2\\end{align*} for all $|m-n|>2L$.\n\\end{thm}\n\\begin{proof}\nApply Lemma \\ref{we} with $\\varepsilon=2L^{-\\tau}$. Then we have by the \\textit{i.i.d} assumption of  potentials,  \\eqref{tr} and $L\\geq \\underline{L}_0(\\kappa,\\mu,\\rho,\\tau,p,d)>0$ that\n\\begin{align*}\n&\\mathbb{P}({\\rm dist}(\\sigma(H_{\\Lambda_{L}(m)}),\\sigma(H_{\\Lambda_{L}(n)})))\\\\\n&\\leq \\sum_{E\\in \\sigma(H_{\\Lambda_{L}(m)})}\\mathbb{P}({\\rm dist}(E,\\sigma(H_{\\Lambda_L(n)}))\\leq 2L^{-\\tau})\\\\\n&\\leq \\kappa^{-1} 4^\\rho(2L+1)^{d(2+\\rho)}L^{-\\rho\\tau}\\\\\n&\\leq L^{-2p}\/2.\n\\end{align*}\n\\end{proof}\n\nFinally, we provide a complete MSA argument on Green's functions estimate.\n\n\n\\begin{thm}\\label{kthm}\nLet $\\mu$ be H\\\"older continuous of order $\\rho>0$ (i.e., $\\mathcal{K}_\\rho(\\mu)>0$). Fix $E_0\\in\\R$ with $|E_0|\\leq 2(\\|\\mathcal{T}\\|+M)$, and assume \\eqref{para},  \\eqref{tr} hold true. Assume further that $(1+\\xi)\/\\alpha\\leq \\delta$, and $p>\\alpha d+2\\alpha p\/J$ with $J\\in 2\\N$. Then for $0<\\kappa<\\mathcal{K}_\\rho(\\mu)$, there exists $$\\underline{L}_0=\\underline{L}_0(\\kappa,\\mu,\\rho,\\|\\mathcal{T}\\|_{r_1},M,J,\\alpha,\\tau,\\xi,\\tau',\\delta, p,{r_1},s_0,d)>0$$ such that the following holds: For $L_0\\geq \\underline{L}_0$,  there are some $\\lambda_0=\\lambda_0(L_0,\\kappa,\\rho,p,s_0,d)>0$ and $\\eta=\\eta(L_0,\\kappa,\\rho,p,d)>0$ so that for $\\lambda\\geq \\lambda_0$ and $k\\geq 0$, we have\n\\begin{align*}\n \\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\  {\\rm both}\\ \\Lambda_{L_k}(m)\\  {\\rm and}\\  \\Lambda_{L_k}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\n  \\leq L_k^{-2p}\n  \\end{align*}\nfor all $|m-n|>2L_k$, where $L_{k+1}=[L_k^{\\alpha}]$ and $L_0\\geq \\underline{L}_0$.\n\\end{thm}\n\\begin{rem}\n\\begin{itemize}\n\\item[]\n\\item In this theorem we also have $\\lambda_0\\sim{L_0^{(p+d)\/\\rho}}\\kappa^{-1\/\\rho}$ and $\\eta\\sim {L_0^{-(p+d)\/\\rho}}\\kappa^{1\/\\rho}$. Usually, to prove the localization we can choose $L_0\\sim \\underline{L}_0$. The key point of the MSA scheme is that the largeness of disorder (i.e., $\\lambda_0$) depends only on the initial scales. The later iteration steps do not increase $\\lambda$ further. We also observe  that  $\\lambda_0$ and $\\eta$ are free from $E_0$.\n\n \\item In order to apply Theorem \\ref{msa}, we restrict $|E_0|\\leq 2(\\|\\mathcal{T}\\|+M)$ in this theorem. Actually, we have $\\sigma(H_\\omega)\\subset[-\\|\\mathcal{T}\\|-M, \\|\\mathcal{T}\\|+M]$.\n\\end{itemize}\n\\end{rem}\n\n\\begin{proof}\nLet  $\\underline{L}_{00}=\\underline{L}_{00}(\\kappa,\\mu,\\rho,\\tau',p,{r_1},s_0,d)>0$  be given by Theorem \\ref{ine}.\nWe choose\n\\begin{align}\\label{ul0}\n\\underline{L}_0=\\max\\{\\underline{L}_{00},\\underline{l}_0\\},\n\\end{align}\nwhere $\\underline{l}_0=\\underline{l}_0(\\|\\mathcal{T}\\|_{r_1}, M, J, \\alpha, \\tau, \\xi, \\tau', \\delta, p, {r_1}, s_0, d)$ is given by Theorem \\ref{msa}.\n\nThen applying Theorem \\ref{ine} with $L_0\\geq\\underline{L}_0$, ${\\lambda}_0={\\lambda}_0(L_0,\\kappa,\\rho,p,s_0,d)$ and $\\eta=\\eta(L_0,\\kappa,\\rho,p,d)$ yields\n\\begin{align*}\n \\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\ {\\rm both}\\   \\Lambda_{L_0}(m)\\  {\\rm and}\\  \\Lambda_{L_0}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\n  \\leq L_0^{-2p}\n  \\end{align*}\nfor all $|m-n|>2L_0$ and $\\lambda\\geq \\lambda_0$.\n\nLet $L_{k+1}=[L_k^\\alpha]$ and $L_0\\geq\\underline{L}_0$.\n\nAssume for some $k\\geq 0$ the following holds:\n\\begin{align*}\n \\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\  {\\rm both}\\ \\Lambda_{L_k}(m)\\  {\\rm and}\\  \\Lambda_{L_k}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\n  \\leq L_k^{-2p}\n  \\end{align*}\nfor all $|m-n|>2L_k$.\nObviously, we have by \\eqref{ul0} that ${L}_k\\geq {L}_0\\geq \\underline{L}_0\\geq \\underline{l}_0>0$. Then applying Theorem \\ref{msa} (with $l=L_k,L=L_{k+1}, I=[E_0-\\eta,E_0+\\eta]$) and Theorem \\ref{vp2} yields\n\\begin{align*}\n \\mathbb{P}({\\ \\exists}\\  E\\in [E_0-\\eta,E_0+\\eta] \\ {\\rm s.t.\\ }\\  {\\rm both}\\ \\Lambda_{L_{k+1}}(m)\\  {\\rm and}\\  \\Lambda_{L_{k+1}}(n)\\ {\\rm are\\ }\\  (E,\\delta)-{\\rm\\bf bad})\n  \\leq L_{k+1}^{-2p}\n  \\end{align*}\nfor all $|m-n|>2L_{k+1}$.\n\nThis finishes the proof of the  whole MSA argument.\n\n\\end{proof}\n\n\\section{Proof of Theorem \\ref{mthm}}\nRecall the Poisson's identity: Let $\\psi=\\{\\psi(n)\\}\\in {\\C}^{\\Z^d}$ satisfy $H_\\omega \\psi=E\\psi$. Assume further $G_{\\Lambda}(E)$ exists for some  $\\Lambda\\subset{\\Z}^d$. Then for any $n\\in\\Lambda$, we have\n\\begin{align}\\label{pi}\n\\psi(n)=-\\sum_{n'\\in\\Lambda,n''\\notin\\Lambda}\\lambda^{-1} G_\\Lambda(E)(n,n')\\mathcal{T}(n',n'')\\psi(n'').\n\\end{align}\n\nWe then introduce the Shnol's Theorem of \\cite{H19} in long-range operator case, which is useful to prove our localization. We begin with the following definition.\n\\begin{defn\nLet $\\varepsilon>0$. An energy $E$ is called an $\\varepsilon$-generalized eigenvalue if there exists some $\\psi\\in{\\C}^{\\Z^d}$ satisfying $\\psi(0)=1, |\\psi(n)|\\leq C(1+|n|)^{d\/2+\\varepsilon}$  and $H_\\omega \\psi=E\\psi$. We call  such $\\psi$ the $\\varepsilon$-generalized eigenfunction.\n\\end{defn}\nThe Shnol's Theorem for $H_\\omega$ reads\n\n\\begin{lem}[\\cite{H19}]\\label{shn} Let $r-2d>\\varepsilon>0$ and let $\\mathcal{E}_{\\omega,\\varepsilon}$ be the set of all $\\varepsilon$-generalized eigenvalues of $H_\\omega$. Then we have $\\mathcal{E}_{\\omega,\\varepsilon}\\subset\\sigma(H_\\omega),\\ \\nu_\\omega(\\sigma(H_\\omega)\\setminus \\mathcal{E}_{\\omega,\\varepsilon})=0$, where $\\nu_\\omega$ denotes some complete spectral measure of $H_\\omega$\n\\end{lem}\n\\begin{rem}\nTo prove pure point spectrum of $H_\\omega$, it suffices to show  each $E\\in\\mathcal{E}_{\\omega,\\varepsilon}$ is indeed an eigenvalue of $H_\\omega$. Actually, since all eigenvalues of $H_\\omega$ are at most countable, it follows from Lemma \\ref{shn} that all spectral measures of $H_\\omega$  support on a countable set, and thus are of pure point. In the following we even obtain polynomially decaying of each generalized eigenfunction of $H_\\omega$ for $\\mathbb{P}$ a.e. $\\omega$. This  yields the \\textit{power-law} localization.\n\\end{rem}\n\nIn what follows we fix $L_0=\\underline{L}_0,\\lambda_0,\\eta$ and $I=[E_0-\\eta,E_0+\\eta]$ in Theorem \\ref{kthm}.\n\nRecalling Theorem \\ref{kthm}, we have for $\\lambda\\geq\\lambda_0$ and $k\\geq 0$,\n\\begin{align}\\label{pbe}\n\\mathbb{P}({\\exists}\\  E\\in I \\ {\\rm s.t.\\ }\\  {\\rm both} \\ \\Lambda_{L_k}(m)\\  {\\rm and}\\  \\Lambda_{L_k}(n)\\ {\\rm are\\ \\ } (E,\\delta)-{\\rm{\\bf bad}})\n  \\leq L_k^{-2p}\n  \\end{align}\nfor all $|m-n|>2L_k$, where $L_{k+1}=[L_{k}^{\\alpha}]$ and $L_0\\gg1$.\n\n\n\nWe then prove of our  main result on the \\textit{power-law} localization.\n\n\\begin{proof}[\\bf Proof of Theorem \\ref{mthm}]\nWe choose appropriate parameters satisfying \\eqref{para}, \\eqref{tr}, $(1+\\xi)\/\\alpha\\leq \\delta$, and $p>\\alpha d+2\\alpha p\/J$ with $J\\in 2\\N$. For this purpose, we can set by direct calculation the following\n\\begin{align*}\n\\alpha=6, \\delta=1\/2, \\xi=2.\n\\end{align*}\nLet $0<\\varepsilon\\ll1$ (will be specified later). We define $J_\\star=J_\\star(d,\\varepsilon)$ to be the smallest even integer satisfying $p=6d+\\varepsilon$ and $p>6d+\\frac{12}{J_\\star}p. $\nAs a consequence, we can set\n\\begin{align*}\n\\tau=(14\/\\rho+1)d+O(\\varepsilon+\\varepsilon\/\\rho), s_0=d\/2+\\varepsilon, \\tau'=(42\/\\rho+11\/2)d+O(\\varepsilon+\\varepsilon\/\\rho).\n\\end{align*}\nRecalling Remark \\ref{rgdec}, we set $\\zeta=19\/20$. Then for\n${r_1}\\geq (94\/\\rho+13)d$, we obtain $\\tau'<r_1(19\/20-1\/2)$ (since $\\varepsilon\\ll1$). Thus if $\\Lambda_L(n)$ is $(E,1\/2)$-\\textbf{good} and  $L\\geq L({r_1},d)>0$, then we have by \\eqref{gdec} that\n\\begin{align}\n\\label{z1}\\|G_{\\Lambda_L(n)}(E)\\|&\\leq L^{(42\/\\rho+23\/4)d+O(\\varepsilon+\\varepsilon\/\\rho)},\\\\\n\\label{z2}|G_{\\Lambda_L(n)}(E)(n',n'')|&\\leq | n'-n''|^{-{r_1}\/20}\\ {\\rm for}\\ |n'-n''|\\geq L\/2.\n\\end{align}\n\n\n\nFor any $k\\geq 0$, we define the set $A_{k+1}=\\Lambda_{L_{k+1}}\\setminus\\Lambda_{2L_k}$ and the event\n\\begin{align*}{\\mathbf{E}}_k: \\ \\exists\\  E\\in I \\ {\\rm s.t.\\ both }\\  \\Lambda_{L_k}\\  {\\rm and}\\  {\\Lambda_{L_k}(n)}\\ \\ {\\rm (for\\ }{\\forall\\  n\\in A_{k+1})}\\ {\\rm are\\ }\\ (E,1\/2)-{\\rm  {\\bf bad}}.\\end{align*}\nThus from $p=6d+\\varepsilon, \\alpha=6$ and \\eqref{pbe},\n\\begin{align*}\n\\mathbb{P}({\\mathbf{E}}_k)&\\leq (2L_{k}^6+1)^dL_k^{-2(6d+\\varepsilon)}\\leq C(d)L_k^{-(6d+2\\varepsilon)},\\\\\n\\sum_{k\\geq 0}\\mathbb{P}({\\mathbf{E}}_k)&\\leq \\sum_{k\\geq 0} C(d)L_k^{-(6d+2\\varepsilon)}<\\infty.\n\\end{align*}\nBy the Borel-Cantelli Lemma, we have $\\mathbb{P}({\\mathbf{E}}_k\\ {\\rm occurs \\  infinitely \\  often})=0.$\nIf we set $\\Omega_0$ to be the event s.t.  ${\\mathbf{E}}_k\\ {\\rm occurs \\  only \\ finitely \\  often}$, then $\\mathbb{P}(\\Omega_0)=1.$\n\n\n\nLet $E\\in I$ be an $\\varepsilon_1$-generalized eigenvalue and $\\psi$ be its generalized eigenfunction, where $0<\\varepsilon_1\\ll1$ will be specified later. In particular, $\\psi(0)=1$. Suppose now there exist infinitely many $L_k$ so that $\\Lambda_{L_k}$ are $(E,1\/2)$-\\textbf{good}. Then from the Poisson's identity \\eqref{pi} and \\eqref{z1}--\\eqref{z2}, we obtain since ${r_1}\\geq (100\/\\rho+15)d$\n\\begin{align}\n\\nonumber1=|\\psi(0)|&\\leq \\sum_{n'\\in \\Lambda_{L_k}, n''\\notin \\Lambda_{L_k}}C(d)  |G_{\\Lambda_{L_k}}(E)(0,n')|\\cdot|n'-n''|^{-r}(1+|n''|)^{d\/2+\\varepsilon_1}\\\\\n\\nonumber&\\leq {\\rm(I)}+{\\rm (II)},\n\\end{align}\nwhere\n\\begin{align*}\n&{\\rm(I)}=\\sum_{|n'|\\leq L_k\/2, |n''|>{L_k}}C(\\varepsilon_1,d)L_k^{(42\/\\rho+23\/4)d+O(\\varepsilon+\\varepsilon\/\\rho)}(|n''|\/2)^{-(100\/\\rho+15)d}|n''|^{d\/2+\\varepsilon_1},\\\\\n&{\\rm(II)}=\\sum_{L_k\/2\\leq |n'|\\leq L_k , |n''|>L_k}C(d)  |n'|^{-(5\/\\rho+3)d}| n'-n''|^{-(100\/\\rho+15)d}|n''|^{d\/2+\\varepsilon_1}.\n\\end{align*}\nFor ${\\rm(I)}$, we have by \\eqref{ldec},\n\\begin{align*}\n{\\rm(I)}&\\leq C(\\varepsilon_1,d)L_k^{(42\/\\rho+27\/4)d+O(\\varepsilon+\\varepsilon\/\\rho)}L_k^{-(100\/\\rho+15-3\/2)d\/2+O(\\varepsilon+\\varepsilon\/\\rho+\\varepsilon_1)}\\\\\n&\\leq C(\\varepsilon_1,d)L_k^{-8d\/\\rho+O(\\varepsilon+\\varepsilon\/\\rho+\\varepsilon_1)}\\to 0\\ ({\\rm as \\ } L_k\\to\\infty).\n\\end{align*}\nFor ${\\rm(II)}$, we have also by \\eqref{ldec},\n\\begin{align*}\n{\\rm(II)}&\\leq C(\\varepsilon_1,d)L_k^d\\sum_{|n''|>L_k} |n''|^{-(5\/\\rho+3-1\/2)d+O(\\varepsilon_1)}\\\\\n&\\leq C(\\varepsilon_1,d)L_k^{-(5\\rho\/2+1\/4)d+O(\\varepsilon_1)}\\to 0\\ ({\\rm as \\ } L_k\\to\\infty).\n\\end{align*}\nThis implies that for any $\\varepsilon_1$-generalized eigenvalue $E$, there exist only finitely many $L_k$ so that $\\Lambda_{L_k}$ are $(E,1\/2)$-\\textbf{good}.\n\nIn the following we fix $\\omega\\in\\Omega_0$.\n\n\nFrom the above analysis, for ${r_1}\\geq (100\/\\rho+15)d$,  we have shown there exists $k_0(\\omega)> 0$ such that for $k\\geq k_0$ all $\\Lambda_{L_k}(n)$ with $n\\in A_{k+1}$ are $(E,1\/2)$-\\textbf{good}. We define another set $\\widetilde A_{k+1}=\\Lambda_{L_{k+1}\/10}\\setminus \\Lambda_{10 L_k}$. Obviously, $\\widetilde A_{k+1}\\subset A_{k+1}$. We will show for ${r}\\geq\\max\\{(100\/\\rho+23)d, 331d\\}$, $\\varepsilon,\\varepsilon_1\\ll1$  and $k\\geq k_1=k_1(\\kappa,\\mu,\\rho,{r},d,\\omega)>0$ the following holds true:\n \\begin{align}\\label{dec}\n|\\psi(n)|\\leq |n|^{-{r}\/600}\\ {\\rm for\\ } n\\in\\widetilde A_{k+1}.\n\\end{align}\n Once \\eqref{dec} was established for all $k\\geq k_1$, it follows from $\\bigcup_{k\\geq k_1}\\widetilde A_{k+1}=\\{n\\in{\\Z}^d:\\ |n|\\geq 10L_{k_1}\\}$ that $|\\psi(n)|\\leq {|n|^{-{r}\/600}}$ for all $|n|\\geq 10L_{k_1}$. This implies that $H_\\omega$ exhibits the \\textit{power-law} localization on $I$. In order to finish the proof of Theorem \\ref{mthm}, it suffices to cover $[-\\|\\mathcal{T}\\|-M,\\|\\mathcal{T}\\|+M]$ by intervals of length $\\eta$.\n\nWe let $r=r_1+8d$.\n\nWe try to prove \\eqref{dec}. Notice that $\\omega\\in\\Omega_0$ and $n\\in \\widetilde A_{k+1}\\subset A_{k+1}$. We know $\\Lambda_{L_k}(n)\\subset A_{k+1}$ is $(E,1\/2)$-\\textbf{good}.  Then recalling \\eqref{pi} again, we have\n\\begin{align*}\n|\\psi(n)|&\\leq \\sum_{n'\\in \\Lambda_{L_k}(n), n''\\notin \\Lambda_{L_k}(n)}C(d)  |G_{\\Lambda_{L_k}(n)}(E)(n,n')|\\cdot|n'-n''|^{-r}(1+|n''|)^{d\/2+\\varepsilon_1}\\\\\n&\\leq {\\rm (III)}+{\\rm (IV)},\n\\end{align*}\nwhere\n\\begin{align*}\n&{\\rm (III)}\\\\\n&=\\sum_{|n'-n|\\leq L_k\/2, |n''-n|>{L_k}}C(d)L_k^{(42\/\\rho+23\/4)d+O(\\varepsilon+\\varepsilon\/\\rho)}(|n''-n|\/2)^{-r}(1+L_{k+1}+|n''-n|)^{d\/2+\\varepsilon_1},\\\\\n&{\\rm (IV)}=\\sum_{L_k\/2\\leq |n'-n|\\leq L_k , |n''-n|>{L_k}}C(d)  |n'-n|^{-{r_1}\/20}|n'-n''|^{-r}(1+L_{k+1}+|n''-n|)^{d\/2+\\varepsilon_1}.\n\\end{align*}\nFor {\\rm (III)}, we have by \\eqref{ldec},\n\\begin{align*}\n{\\rm (III)}&\\leq C(\\varepsilon_1,r,d)L_{k+1}^{d\/2+\\varepsilon_1}L_k^{(42\/\\rho+27\/4)d+O(\\varepsilon+\\varepsilon\/\\rho)}\\sum_{|n''-n|>L_k} |n''-n|^{-r+d\/2+\\varepsilon_1}\\\\\n&\\leq C(\\varepsilon_1,r,d)L_k^{(42\/\\rho+39\/4)d+O(\\varepsilon+\\varepsilon\/\\rho+\\varepsilon_1)} L_k^{(-r+3d\/2+\\varepsilon_1)\/2}\\\\\n&\\leq C(\\varepsilon_1,r,d)L_k^{-r\/2+(42\/\\rho+21\/2)d+O(\\varepsilon+\\varepsilon\/\\rho+\\varepsilon_1)}.\n\\end{align*}\nFor {\\rm (IV)}, we also have  by \\eqref{ldec},\n\\begin{align*}\n{\\rm (IV)}&\\leq C(\\varepsilon_1,{r_1},d)L_{k+1}^{d\/2+\\varepsilon_1}L_k^d\\sum_{|n''-n|>L_k} |n''-n|^{-{r_1}\/20+d\/2+\\varepsilon_1}\\\\\n&\\leq C(\\varepsilon_1,{r_1},d)L_k^{4d+6\\varepsilon_1} L_k^{(-{r_1}\/20+3d\/2+\\varepsilon_1)\/2}\\\\\n&\\leq C(\\varepsilon_1,{r_1},d)L_k^{-{r_1}\/40+19d\/4+7\\varepsilon_1}.\n\\end{align*}\nCombining the above estimates and since ${r}\\geq\\max\\{(100\/\\rho+23)d, 331d\\}$, we have\n\\begin{align*}\n|\\psi(n)|\\leq C(\\varepsilon_1,{r_1},d)L_k^{(-{r_1}\/40+19d\/4+16\\varepsilon+7\\varepsilon_1)\/6} \\leq |n|^{-{r}\/600},\n\\end{align*}\nwhere we use $|L_k|\\geq |n|^{1\/6}\\gg1$ for $n\\in \\widetilde{A}_{k+1}$, and $\\varepsilon,\\varepsilon_1\\ll1$.\n\n\n\\end{proof}\n\n\\section*{Acknowledgements}\nI would like to thank  Svetlana Jitomirskaya for reading earlier versions of the paper\nand her constructive  suggestions.   The author is grateful to Xiaoping Yuan  for his  encouragement.\n\nThis work was supported by NNSF of China  grant 11901010\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\n\\section{Introduction} \\label{sec:intro}\nX-ray and TeV gamma-ray observations clarify that supernova remnants (SNRs) are the acceleration sites of the cosmic rays up to the TeV range \n\\citep[e.g.,][]{1995Natur.378..255K,2013Sci...339..807A}.\nThe accelerated electrons with such energies emit non-thermal X-ray emission via synchrotron radiation which is characterized by power-law energy distribution in an X-ray band. \nThus, understanding of the non-thermal properties in X-ray is of great importance to study the nature of the accelerated electrons.\n\nThe diffusive shock acceleration mechanism \\citep[e.g.,][]{2008ApJ...678..939Z} is believed to be a relevant mechanism, \nwhich can explain the power-law spectrum of the non-thermal X-ray emission. \nRecently, it is reported that several SNRs exhibit the spatial shape variations of the non-thermal X-ray spectra with a physical scale of $\\sim$1-5 pc \\citep[e.g.,][]{2015ApJ...799..175S,2017ApJ...835...34T}. \nSeveral authors \\citep[e.g.,][]{2015ApJ...799..175S,2017ApJ...835...34T} suggest that the origin of the variations is due to the spatial difference of the cosmic-ray acceleration efficiency related to the surrounding interstellar gas distribution. \n\nSuperbubbles (SBs) are formed by combined phenomena of stellar winds from massive stars in OB associations and eventual supernovae (SNe) of those stars \\citep[e.g.,][]{1980ApJ...238L..27B}. \nThe morphology of hot gas in SBs is expected to be similar to that of a bubble blown by stellar winds of an isolated massive star \\citep{1977ApJ...218..377W}. \nThe kinetic energy in some of SBs exceed that in a supernova ($E_{\\rm K} \\sim10^{51}$ {\\rm erg}). \nSBs are filled with hot gas ($\\sim$10$^6$ K) heated by stellar wind and SN ejecta.\nNon-thermal X-ray emission has been detected from a number of Galactic and extragalactic SBs, \nsuch as RCW38 \\citep{2002ApJ...580L.161W}, Westerlund 1 \\citep{2006ApJ...650..203M}, IC 131 \\citep{2009ApJ...707.1361T}, N11 \\citep{2009ApJ...699..911M}, N51D \\citep{2004ApJ...605..751C}, \nand 30 Dor C \\citep{2004ApJ...602..257B,2009PASJ...61S.175Y,2015A&A...573A..73K}, \nwhich suggests a potential accelerating power exceeding an SNR, even though the detection of the non-therrmal emission in N11 and N51D is now doubtful due to the fluctuation of background point sources \\citep{2010ApJ...715..412Y}.\nHowever, very few studies have been performed to investigate the spatial variation of the non-thermal X-ray emission in the SBs and thus the cosmic-ray acceleration mechanism in the SBs has yet to be elucidated fully. \n\nThe SB, 30 Dor C, in Large Magellanic Cloud (LMC) was discovered by \\citet{1968MNRAS.139..461L}. \nIt is believed that 30 Dor C has formed via stellar winds of the LH90 OB association \\citep{1993A&A...280..426T} and several SNe. \nThe SB has the strongest non-thermal X-ray emission among SBs and a large diameter of $\\sim$80 pc.\nThus, it is one of ideal laboratories for studying the non-thermal emission mechanisms associated with a SB. \nThe SB includes not only the non-thermal emission but also the thermal emission from the shock-heated interstellar medium \\citep[e.g.,][]{2004ApJ...602..257B,2009PASJ...61S.175Y,2015A&A...573A..73K}. \nTherefore, comparing the spatial distribution of the non-thermal and thermal emissions can provide us with hints to reveal association between the acceleration efficiency and the environment potentially.\nIn this paper, we aim at investigating spatial variation of the physical properties in 30 Dor C with an unprecedented high resolution of $\\sim$10 pc. \n\nThe paper is organized as follows: section 2 presents the observations of 30 Dor C with $XMM-newton$ and the data reduction, and sections 3 and 4 describe our analysis method and the results, and the discussions on the spatial variation of the physical properties, respectively. \nIn section 5, we summarize our results and discussions. \nAt 30 Dor C assuming a distance of $\\sim$50~kpc to the LMC, $1\\arcmin$ corresponds to 15~pc. \nIn this paper, we used HEAsoft v6.21, XSPEC version 12.9, the $XMM-Newton$ Source Analysis Software (XMM-SAS) packaged in SAS 15.0.0 for our spectral analysis and a metal-abundance table tabulated in  \\citet{1989GeCoA..53..197A}. \nUnless otherwise stated, the error ranges show the 90\\% confidence level from the center value.\n\\section{OBSERVATION AND DATA REDUCTION}\nWe, first, retrieved all of the data available for 30 Dor C in the $XMM-Newton$ Science Archive, and then selected the data taken from the pn instrument in European Photon Image Camera \\citep[EPIC,][]{2001A&A...365L...1J} with rich ($>$50 ks) net exposure time after the removal of the background flare periods to take advantage of the larger effective area than those of the EPIC-MOS instrument and avoid the systematic error between the detectors. \n\\setcounter{table}{0}\n\\begin{deluxetable*}{cccrc}[b!]\n\\tablecaption{Observation Log for 30 Dor C \\label{tab:obs_list}}\n\\tablecolumns{5}\n\\tablenum{1}\n\\tablewidth{0pt}\n\\tablehead{\n\\colhead{Obs. ID} &\n\\colhead{R.A.} &\n\\colhead{Dec.} & \\colhead{Date} & \\colhead{Exposure (ks)\\tablenotemark{a}} \\\\\n\\colhead{} & \\colhead{(J2000.0)} &\n\\colhead{(J2000.0)} & \\colhead{} & \\colhead{pn}\n}\n\\startdata\n 0104660101 & 05h35m27.99s & -69d16m11.0s & 2000 Nov. 17 & 3  \\\\\n\n\n\n 0406840301 & 05h35m27.99s & -69d16m11.1s & 2007 Jan. 1  & 63   \\\\\n 0506220101 & 05h35m28.30s & -69d16m13.0s & 2008 Jan. 11 & 68  \\\\\n 0556350101 & 05h35m28.30s & -69d16m13.0s & 2009 Jan. 30 & 63  \\\\\n\n 0601200101 & 05h35m28.30s & -69d16m13.0s & 2009 Dec. 11 & 71 \\\\\n 0650420101 & 05h35m28.30s & -69d16m13.0s & 2010 Dec. 12 & 51 \\\\\n 0671080101 & 05h35m28.30s & -69d16m13.0s & 2011 Dec. 02 & 61  \\\\\n 0690510101 & 05h35m28.30s & -69d16m13.0s & 2012 Dec. 11 & 60  \\\\\n\\enddata\n\\tablenotetext{a}{All exposure times show flare-filtered exposure times.\\unskip}\n\\end{deluxetable*}\n\nThe basic information of the observations is shown in Table \\ref{tab:obs_list}.\nWe generated calibrated event files with the SAS tools {\\tt epchain}. \nTime intervals with high background rates ($>$ 0.4 cts) seen in light curves of an off-source region in 10--12 keV were discarded in each observation.\nThe event lists were then filtered further, keeping only 0\u2013-4 patterns in an energy range of 0.4--12 keV.\n\n\\begin{figure}[!t]\n\\vspace{0.5cm}\n  \\begin{center}\n\\hspace*{-1.0cm}\n    \\includegraphics[width=100mm,angle=0]{fig1.eps}\n  \\end{center}\n  \\caption{\n$XMM-Newton$ EPIC-pn image of 30 Dor C in 0.3--1 keV (red), 1--2 keV (green),\n and 2--7 keV (blue), respectively. Spectra were extracted from the square regions ($\\sim$0.$^\\prime$7 $\\times$ 0.$^\\prime$7) with a region number. \n One- (non-thermal), two- (one-temperature and non-thermal), and three-component (two-temperature and non-thermal) models are finally adopted in magenta-, green-, and red-color box regions. The background spectrum was extracted from the yellow rectangle. \n}\n  \\label{fig:30_Dor_C_img}\n\\end{figure}\n\n\\section{Analysis and Results}\nIn order to conduct spatially detailed X-ray spectral analysis for 30 Dor C, spectrum for each region is extracted from all the seven data and the extracted spectra are fitted simultaneously to reduce the statistical error.\nEach spectrum is rebinned to have at least 25 counts per an energy bin to allow the use of the $\\chi^2$-statistic.\nThe energy range in 0.5--7 keV was used in our analysis to avoid detector noise and the EPIC-pn fluorescence line forest just above 7 keV. \nThe SAS tasks \\texttt{rmfgen} and {\\tt arfgen} were utilized to create redistributed matrix files (RMF) \nand ancillary response files (ARF) respectively. \n\n\\subsection{X-ray Background Evaluation\\label{analysis_and_results}}\n\\begin{deluxetable*}{lcc}[b!]\n\\tablecaption{Best fit parameters obtained by using all seven observations for the background region \\label{tab:bgd_para}}\n\\tablecolumns{3}\n\\tablenum{2}\n\\tablewidth{0pt}\n\\tablehead{\n\\colhead{Component} &\n\\colhead{Parameter} &\n\\colhead{Best-fit Value} \n}\n\\startdata\n\\multicolumn{3}{c}{Absorption} \\\\\n\\hline \nGalactic (phabs) & $N_{\\rm H, Gal.}$ & 0.06 (fixed)\\tablenotemark{a}\\\\\nLMC (vphabs)\\tablenotemark{b}  & $N_{\\rm H, LMC}$  &   0.20${\\pm0.16}$       \\\\\n\\hline\n\\multicolumn{3}{c}{Astrophyical X-ray Forground and Background} \\\\  [2pt]\n\\hline\nLHB (apec)\\tablenotemark{c}       & $kT$ (keV)                 & 0.1 (fixed)\\tablenotemark{d}\\\\\n               & $Norm$\\tablenotemark{e}    & $<$12        \\\\\nGH (apec)\\tablenotemark{c}       & $kT$ (keV)                 & 0.22${\\pm 0.01}$\\\\\n               & $Norm$\\tablenotemark{e}   &  42.5$^{+4.0}_{-4.8}$       \\\\\nCXB (powerlaw)  & $\\Gamma$                   & 1.4 (fixed)\\tablenotemark{f}\\\\\n               & 2-10 keV intensity\\tablenotemark{g}   & 6.0$\\pm1.3$ \\\\\n\\hline\n\\multicolumn{3}{c}{Thermal emission in LMC} \\\\  [2pt]\n\\hline\nISM (vapec)\\tablenotemark{b}   & $kT$ (keV)                  & 0.89$^{+0.04}_{-0.03}$   \\\\\n               & $Norm$\\tablenotemark{e}               & 83$^{+17}_{-15}$    \\\\ \n\\hline\n$\\chi^2\/d.o.f$ &                             &  509\/375         \\\\\n\\enddata\n\\tablenotetext{a}{Fixed to the Galactic column density from the HI maps \\citep[][]{1990ARAA..28..215D}. The unit is 10$^{22}$ cm$^{-2}$.\\unskip}\n\\tablenotetext{b}{Fixed to the representative LMC values \\citep[][]{1992ApJ...384..508R,2014PASJ...66...26S}.}\n\\tablenotetext{c}{Fixed to a solar abundance table tabulated in \\citet{1989GeCoA..53..197A}.}\n\\tablenotetext{d}{Fixed to the value derived from \\cite{2009PASJ...61..805Y}. }\n\\tablenotetext{e}{Normalization of the apec model divided by a solid angle $\\Omega$. \n$Norm = (1\/\\Omega)$ $n_{\\rm e}n_{\\rm H}$ d$V\/[4((1 + z) D_A)^2 ]$ in unit of $10^{14}\\ {\\rm cm}^5~{\\rm str}^{-1}$, \nwhere, $z$, $n_{\\rm e}$, $n_{\\rm H}$, $D_A$, and $V$ are the redshift, the electron and hydrogen number densities (cm$^{-3}$), \nthe angular diameter distance (cm) and the emission volume (cm$^3$), respectively.}\n\\tablenotetext{f}{Fixed to an averaged value derived in \\cite{2002PASJ...54..327K}.}\n\\tablenotetext{g}{The unit is 10$^{-8}$ erg s$^{-1}$ cm$^{-2}$ str$^{-1}$.}\n\\end{deluxetable*}\n\n\n\\begin{figure}\n  \\begin{center}\n\\hspace*{-1.0cm}\n    \\includegraphics[width=100mm,angle=0]{fig2.eps}\n  \\end{center}\n  \\caption{\nA representative spectrum of a background region (Obs. ID: 0601200101) with the best-fit model. The dashed (cyan), dashed-dotted (blue), bold (magenta), solid (red) and solid (black) lines show the LHB, GH, CXB, ISM in the LMC and an artificial Al line, respectively.\n }\n  \\label{fig:bgd_spec}\n\\end{figure}\nFirstly, we selected a source-free area in the vicinity of 30 Dor C to reduce spatial variation of the detector noise in the field of view shown in figure \\ref{fig:30_Dor_C_img} as a background region.\nThen, we conducted spectral analysis to confirm whether the region is suitable or not as a background region.\nIn order to create quiescent particle background (QPB) spectra, we used $XMM-Newton$ Extended Source Analysis Software (XMM-ESAS), packaged in SAS 15.0.0. \nThe QPB spectra were subtracted from the spectrum of each region in each observation. \\par \nFor our spectral analysis, we used the following phyically motivated model:\n\\begin{eqnarray*}\n(apec_{\\rm LHB} + phabs_{\\rm Galaxy}*(apec_{\\rm GH} + \\\\\nvphabs_{\\rm LMC} * (powerlaw_{\\rm CXB}))\n\\end{eqnarray*}\nThe X-ray background emission is comprised of three components \\citep[e.g.,][]{2009PASJ...61..805Y}, \nsuch as an unabsorbed thermal (k$T$ $\\sim$0.1 keV) emission \nfrom the Local Hot Bubble (LHB), an absorbed thermal (k$T$ $\\sim$0.2--0.3 keV) emission from the Galactic halo (GH), and an absorbed powerlaw \n\\citep[$\\Gamma = 1.4$, see ][]{2002PASJ...54..327K} \nwhich is known as cosmic X-ray background (CXB). \nWe used collisionally-ionized optically-thin thermal plasma model APEC \\citep{2001ApJ...556L..91S} for the LHB and GH in XSPEC. The metal abundance of these models is fixed to a solar abundance. \nBecause the temperature of the LHB component was not constrained well, the temperature is fixed to be a typical value of 0.1 keV \\citep{2009PASJ...61..805Y}.\nThe absorption by our Galaxy and the LMC was also taken into account.\nWe used a photo-electric absorption model in XSPEC, namely phabs, as the Galactic absorption model. \nThe column density $N_{\\rm H}$ was fixed at 6 $\\times$ 10$^{20}$ cm$^{-2}$ \\citep{1990ARAA..28..215D} \nin the direction of 30 Dor C, assuming the solar abundance. \nThe absorption by the LMC is modeled with vphabs, in which we can set each metal abundance separately.\nThe metal abundance was fixed to the representative LMC values \\citep[C=0.30 $Z_\\odot$, O=0.26 $Z_\\odot$, Ne=0.33 $Z_\\odot$,][]{1992ApJ...384..508R,2014PASJ...66...26S}, while the absorption column density is set to be free.\nThe background spectrum, however, can not be described with the model above and there is a significant residual feature around $\\sim$1 keV corresponding to emission lines from complex Fe L.\nWe hence added another thermal component, $apec_{\\rm LMC}$, with a different temperature as follows:\n\\begin{eqnarray*}\n(apec_{\\rm LHB} + phabs_{\\rm Galaxy}*(apec_{\\rm GH} + \\\\\nvphabs_{\\rm LMC} * (apec_{\\rm LMC} + powerlaw_{\\rm CXB})).\n\\end{eqnarray*}\nThe fitting results improved significantly and the spectrum with the best-fit model is shown in figure \\ref{fig:bgd_spec}. \nThe best-fit parameters are summarized in Table \\ref{tab:bgd_para}. \nThe plasma temperature of the added thermal component is consistent with that of the ISM in the LMC \\citep[e.g.,][]{2002A&A...392..103S}. \nThe 2--10 keV surface brightness of the power-law component \nwas $(6.0\\pm1.3) \\times 10^{-8}$ erg s$^{-1}$ cm$^{-2}$ str$^{-1}$ and the value is in good agreement with the expected CXB intensity \\citep{2002PASJ...54..327K}. \nWe confirmed that the best fit parameters are consistent with those obtained in each observation and thus all the spectra were fitted simultaneously to reduce the statistical error.\nAny further components such as a soft proton model are not required.\nThus, we concluded that the region and model are appropriate to evaluate the X-ray background components including the ISM of the LMC in our analysis.\n\\begin{figure*}[ht]\n  \\begin{center}\n\\hspace{-0.5cm}\n    \\includegraphics[width=175mm,angle=0]{fig3.eps}\n  \\end{center}\n  \\caption{\nExamples of the spectra with the best-fit non-thermal-, two-, and three-, component models. (1) non-thermal-component model for the spectrum in region 52. (2) two-component model for the spectrum in region 13. (3) three-component model for the spectrum in region 1. The magenta solid, blue dashed-dotted and orange dotted lines show non-thermal, low-temperature and high-temperature components, respectively. \nThe spectra are extracted from obsid 0601200101.\n}\n  \\label{fig:typical_spectra}\n\\end{figure*} \n\n\\subsection{Spectral Analysis for the 30 Dor C Field}\nIn order to investigate spatial variation of the non-thermal X-ray emission in 30 Dor C, \nwe divided the 30 Dor C region into 70 regions of 10 pc $\\times$ 10 pc (0.$^\\prime$7 $\\times$ 0.$^\\prime$7) grids in unprecedented detail.\nThe region number is shown in figure \\ref{fig:30_Dor_C_img}.\nIn our spectral analysis, the background spectrum defined in $\\S\\ref{analysis_and_results}$ was subtracted from each region in each observation.\n\nAs indicated in previous studies \\cite[e.g.,][]{2004ApJ...602..257B,2009PASJ...61S.175Y,2015A&A...573A..73K}, not only non-thermal emission but also thermal emission is sometimes required at the same time to explain the observed spectra.\nActually, some spectra show significant enhancement around 0.6 and\/or 1 keV corresponding to emission lines of highly-ionized oxygen \/ Fe L-shell complex, respectively.\nWe attempted to apply three models in the following order, (1) non-thermal model, (2) two-component (non-thermal and one-temperature thermal) model, and (3) three-component (non-thermal and two-temperature thermal) model.\nFor regions where the fit significantly ($\\geq$ 99\\% in an F test) improved by adding an additional thermal component, we adopted the two- or three-component model.\nA collisionally-ionized optically-thin thermal plasma model, APEC, was used also for the thermal plasma in the regions except a young SNR, MCSNR~J0536-6913, associated with 30 Dor (see the region number 25 in figure \\ref{fig:30_Dor_C_img}).\nThe metal abundance of the low- \/ high-temperature plasmas mainly emitting oxygen \/ Fe L-shell lines is fixed to those reported in \\citet{2009PASJ...61S.175Y} \/ \\citet{1992ApJ...384..508R}.\nThe intrinsic absorption column density in the LMC is applied for the both plasmas and linked to that of the non-thermal model.\nThe only spectrum around MCSNR~J0536-6913 was well expressed with a combination of the non-thermal and non-equilibrium ionization collisional plasma models due to a heavy contamination from the SNR as shown in \\cite{2015A&A...573A..73K} and thus we removed the results in our discussion.\n\nMost of the spectra in the east region can be well described with the two- or three-component model, \nwhereas most of the spectra in the west region can be well fitted with the non-thermal-component model as shown in Figure \\ref{fig:30_Dor_C_img}. \nFigure \\ref{fig:typical_spectra} shows examples of the spectra with the best-fit non-thermal-, two-, and three-component models.\nWe investigated the photon index and intensity of the non-thermal component, the temperature and intensity of the thermal component, and the intrinsic absorption column density of the LMC.\nThe best-fit parameters in the best fit model are summarized in Table \\ref{tab:fitting_results}. \n\nFigures \\ref{fig:map} (a) and (b) show the distributions of the photon index and absorption corrected 2--10 keV intensity of the non-thermal component, respectively. \nIt is found for the first time that the non-thermal component is detected significantly in all the 70 regions covering the entire region of 30 Dor C.\nTheir typical relative error is $\\sim$8\\%. \nThe photon index shows spatial variation of $\\sim$2.0--3.7. \nThe areas with the relatively steep \/ flat photon indices are distributed in the east \/ west regions, respectively. \nEven though this sort of high spatial resolution spectral analysis had not been performed so far, the trend is consistent with the previous studies \\cite[e.g.,][]{2015A&A...573A..73K}.\nThe intensity in 2--10 keV significantly varies by more than an order of magnitude ($\\sim$4\u2013-130 $\\times$ 10$^{-8}$ erg s$^{-1}$ cm$^{-2}$ str$^{-1}$) in the field and is relatively large in the west region of the shell structure.\nTheir typical relative error is $\\sim$15\\%. \n\n\\begin{figure*}[!t]\n  \\begin{center}\n    \\includegraphics[width=175mm,angle=0]{fig4.eps}\n  \\end{center}\n  \\caption{Maps of the best-fit parameters: (a) the photon index $\\Gamma$  and (b) absorption-corrected intensity in 2--10 keV [10$^{-8}$ erg s$^{-1}$ cm$^{-2}$ str$^{-1}$], of the non-thermal component. \nSmoothed white contours of the $XMM-newton$ EPIC-pn images (0.5--7 keV) are overlaid in the maps. \n}\n  \\label{fig:map}\n\\end{figure*}\n\nThe temperature and normalization of the thermal component mainly emitting oxygen lines vary from $\\sim$0.2 to $\\sim$0.3 keV and from $\\sim$0.2 to $\\sim$7 [$10^{17}$ cm$^{-5}$ str$^{-1}$], respectively.\nBecause the low-temperature thermal plasma is not detected in the source-free region of the vicinity of 30 Dor C and the morphology apparently forms a shell-like structure as shown in figure \\ref{fig:30_Dor_C_img}, the plasma may be associated with 30 Dor C.\nSuch low-temperature plasma with a temperature of $\\sim$0.1--0.3 keV is found also in other SBs \\cite[e.g.,][]{2001ApJS..136..119D,2010ApJ...715..412Y} and detected mainly in the east region as previously reported in  \n\\citet{2004ApJ...602..257B,2009PASJ...61S.175Y,2015A&A...573A..73K}. \nThe temperature and normalization of the thermal component mainly emitting Fe L-shell lines vary from $\\sim$0.9 to $\\sim$1.2 keV and from $\\sim$0.1 to $\\sim$0.2 [$10^{17}$ cm$^{-5}$ str$^{-1}$], respectively. \nThe temperature is consistent with that of the observed in the source-free region within the statistical error. \nAccording to the results of \\citet{2002A&A...392..103S}, \nthe flux of ISM in LMC varies by more than twice depending on the regions.\nThe normalization of the high-temperature components is consistent with that of the observed in background spectra within the variation.\nWhile the results suggest that the high-temperature plasma may be due to the spatial variation of the ISM in the LMC,\nthe origin of the component is beyond our scope.\nWe confirmed that the uncertainty, e.g., in the metal abundance, does not affect our results for the non-thermal component significantly.\n\nThe intrinsic absorbing column density $N_{\\rm H}$ of the LMC ranges from $\\sim$0.3 to $\\sim$2 $\\times$ 10$^{22}$ cm$^{-2}$ and a typical relative error is $\\sim$15 \\%.\nThe intrinsic absorption in the east area of 30 Dor C seems to be relatively small ($\\sim$0.6 $\\times$ 10$^{22}$ cm$^{-2}$) while large ($\\sim$1 $\\times$ 10$^{22}$ cm$^{-2}$) in the west of the shell-like structure.\n\nWe confirmed that our representative results for our spectral analysis on the temperature of the thermal components, photon index of the non-thermal components, and intrinsic absorbing column density in the LMC are consistent with those of the previous studies \\cite[e.g.,][]{2004ApJ...602..257B,2004ApJ...611..881S,2009PASJ...61S.175Y,2015A&A...573A..73K}. \n\n\\input{bestfit_180709.tex}\n\n\\section{DISCUSSION}\nWe conducted the spatially resolved spectral analysis of 30 Dor C with a physical scale of $\\sim$10 pc in X-ray for the first time. We revealed that the non-thermal emission exists in all the regions covering the whole area of 30 Dor C and extracted the distribution of the physical properties such as the photon index and absorption-corrected intensity of the non-thermal component. \nWe found that the spectral shape changes and therefore the physical properties vary in this field.\nIn this section, we discussed, in particular, the origin of the spatial variation of the non-thermal X-ray properties to study the mechanism of cosmic-ray acceleration in SBs.\n\nSome SNRs also show spatial variation of the photon index and intensity of the non-thermal component \\citep[e.g.,][]{2015ApJ...799..175S,2017ApJ...835...34T}.\nIn particular, pc-scale spatially resolved spectral analysis reveals that the photon index closely correlates with the synchrotron X-ray intensity \\citep[e.g.,][]{2015ApJ...799..175S}.\nThus, we also extracted the relation between the photon index and the synchrotron X-ray intensity in the same manner as shown in figure \\ref{fig:properties}(a). \nThere is a clear negative correlation with a correlation coefficient of $\\sim$-0.5.\nOne of the interpretations is due to a shock-cloud interaction.\nMagnetohydrodynamic numerical simulations in \\cite{2012ApJ...744...71I} predict that such spatial variation can be produced by the shock-cloud interaction because the synchrotron X-ray intensity is positively correlated with the strength of the enhanced magnetic field due to the turbulence occurred in the interaction. \nThe photon index also can be changed by the enhanced magnetic field since the particle acceleration occurs efficiently.\nTherefore, it is naturally expected that the photon index gets flatter with increasing the synchrotron X-ray intensity.\n\nAccording to the scenario, the larger the photon index is, the smaller the cut-off energy in the energy distribution of\nelectrons should be.  When we applied a broken power-law model instead of the power-law model for the non-thermal\nX-ray emission, however, no constraint was given to the breaking energy with the X-ray spectra alone. The correlation\nbetween the photon index and the cut-off energy has been observed in some SNRs when X-ray synchrotron spectra\nare analyzed using the SRCUT model \\citep{1998ApJ...493..375R,1999ApJ...525..368R} combined with radio synchrotron spectra\n\\citep{2004A&A...425..121R,2005ApJ...632..294B,2005ApJ...621..793B}. The spatially-resolved flux and spectral index\nof the radio synchrotron emission of 30 Dor C have been obtained in \\citet{2015A&A...573A..73K}, but as the authors say \nit is difficult to obtain their reliable values for the entire region of 30 Dor C due to the contaminations of \na foreground molecular cloud and of thermal radio emission. This situation prevents us from analyzing the\nmulti-wavelength spectra from radio to X-ray.  The analysis of the spatially-resolved spectral energy distribution is\nleft to future works.\n\n\\cite{2017ApJ...843...61S} presents the molecular cloud distribution around 30 Dor C and it seems that there is a positive correlation between the synchrotron X-ray intensity and the amount of the molecular cloud.\nThe detailed comparison between X-ray and radio observations will be discussed (Yamane et al. in prep.).\n\n\\cite{2017ApJ...835...34T} argues that efficient acceleration occurs in the low density environment implying that the photon index steepens with increasing the normalization of the thermal component observationally based on the pc-scale spectral analysis results.\nThus, we also extracted the relation as shown in figure \\ref{fig:properties}(b).\nOne can see a positive correlation with a correlation coefficient of $\\sim$0.4 and thus similarities for SNRs are found in terms of the correlations between the non-thermal properties themselves and the non-thermal and thermal properties, which suggests the possibility that the same acceleration mechanism works also in the supperbubble.\n\n\\begin{figure*}\n  \\begin{center}\n    \\includegraphics[width=170mm,angle=0]{fig5.eps}\n  \\end{center}\n\\vspace{-0cm}\n\\caption{Correlation plots for (a) the photon index vs. the 2--10 keV intensity [10$^{-8}$ erg s$^{-1}$ cm$^{-2}$], (b) Normalization of the low temperature thermal components [$10^{17}$ cm$^{-5}$ str$^{-1}$] vs. photon index, respectively.\n }\n\n\\label{fig:properties}\n\\end{figure*}\n\nThe bright non-thermal X-ray emission in 30 Dor C was detected. \nHowever, no other SBs exhibit such a bright non-thermal emission. \nThe SBs, where non-thermal X-ray emission has been significantly detected, \nare only RCW38 \\citep{2002ApJ...580L.161W}, Westerlund 1 \\citep{2006ApJ...650..203M} and IC 131 \\citep{2009ApJ...707.1361T}. \nThis sort of variation is observed also in SNRs and \\cite{2012ApJ...746..134N} discussed the time evolution of the non-thermal component as a function of the radius which can be an indicator of the dynamical age of the SNR as described in \\cite{1977ApJ...218..377W}.\nAs an analogy of the SNR case, we also investigated the relation between the non-thermal luminosity and the radius of the SBs as shown in figure \\ref{fig:SB_nonthermal}. \nThe non-thermal luminosity goes up with increasing the radius up to $\\sim$40 pc, whereas it then appears to be decreases. \n30 Dor C is located around the peak, which suggests that the system is currently on a phase of high energy particle acceleration.\n\n\\begin{figure}[t]\n\\vspace*{0.7cm}\n  \\begin{center}\n    \\includegraphics[width=90mm,angle=0]{fig6.eps}\n  \\end{center}\n  \\caption{\nNon-thermal X-ray luminosity in 2--10 keV as a function of the radius for superbubbles. \n }\n  \\label{fig:SB_nonthermal}\n\\end{figure}\n\n\n\n\\section{SUMMARY}\nWe conducted a detailed spatial analysis using the large amount of $XMM-Newton$ archival data for 30 Dor C to study spatial variation of mainly the non-thermal component.\nThe 30 Dor C field was divided into 70 regions with a physical scale of $\\sim$10 pc and we found for the first time that the non-thermal emission exists in all the regions covering the whole field of 30 Dor C.\nThe extracted spectra in the east region can be described well with\na combination of the thermal and non-thermal models,\nwhereas the spectra in the west region can be well fitted with\nthe non-thermal model alone. \nThe photon index and intensity in 2--10 keV indicate the spatial variation of $\\sim$2.0--3.7 and $\\sim$(4--130) $\\times$ 10$^{-8}$ erg s$^{-1}$ cm$^{-2}$ str$^{-1}$) in the field and the negative correlation between the non-thermal physical properties is observed.\nThe temperature and normalization of the thermal component also vary within a range of $\\sim$0.2--0.3 keV \nand $\\sim$0.2--7 $\\times$ 10$^{17}$ cm$^{-5}$ str$^{-1}$, respectively. \nThe positive correlation between the photon index and the normalization of the thermal component is also observed as is the case in SNRs, suggesting that the same acceleration mechanism dominates also in the supperbubble.\\\\\n\n\nThis research was supported by a grant from the Hayakawa Satio Fund awarded by the Astronomical Society of Japan.\nHM is supported by JSPS KAKENHI Grand Number JP 15640356.\nIM acknowledge supports from the by JSPS KAKENHI Grand Number JP 26220703.\nHS is supported by JSPS KAKENHI Grand Number JP 16K17664.\nThe authors are grateful to the anonymous referee for his\/her comprehensive comments and useful suggestions, which improved the paper very much.\n\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
+{"text":"\\section{INTRODUCTION}\n\nProduction, detection, and study of quark-gluon plasma (QGP) constitutes one of\nthe most important challenges of present day nuclear physics. \nThere are plausible reasons to believe that this deconfined state of strongly\ninteracting matter may be produced in collisions involving heavy nuclei. This\nexpectation has led to a great deal of excitement, and a number of international\ncollaborative efforts are underway\nto identify the signatures of QGP. Of these, \nlepton pairs ($e^+e^-$ or $\\mu^+ \\mu^-$) and photons are considered \nas one of the more \nreliable probes of this hot and dense phase since their\nmean free path is quite large compared to typical nuclear size enabling\nthem to escape without any final state interaction.\nTheir abundance and spectral distributions are also a rapidly varying\nfunction of the temperature  and thus they furnish most valuable information\nabout the nascent plasma. \n\nSpurred by these expectations a considerable  theoretical\neffort has been devoted to the\nstudy of large mass dileptons and high $p_T$ photons, which may have their\norigin mostly in the early stages of the QGP.\nA number of experiments\n\\footnote{ \n\\noindent Was this the face that launched a thousand ships?\\\\\nAnd burnt the topless towers of Ilium?\\\\\nSweet Helen, make me immortal with a kiss..\\\\\n -- Faustus, Christopher Marlowe (1564--1593)\n}, viz.,\nWA80, WA93, WA98, HELIOS, CERES, and NA38 experiments at\nthe CERN SPS, the PHENIX experiment at the BNL RHIC,\nand the ALICE experiment at the  CERN LHC, are designed towards\nmeasuring the electromagnetic radiations from relativistic heavy ion collisions.\n It should be remembered, though,\nthat photons and dileptons are emitted at every stage of the evolution of the\nsystem, and they carry rather more precise\nimprints of the circumstances of their\n`birth'. We shall see that the intense glow of soft photons and low mass\ndileptons can provide reliable and useful information about the later\nstages of the interacting system.\n\nWe concentrate in particular on soft photons and low-mass dileptons \nproduced by bremsstrahlung processes whose\nenergies are low enough to enable us to use the  so-called soft-photon\napproximation \\cite{ruckl}. This brings in a unique advantage as, \nbut for a `known' phase\nspace factor (see later) arising due to the finite mass of the dileptons, the\nbasic cross-sections for the two processes become identical. The dileptons\nof different invariant masses, however, are affected differently by \nthe transverse flow,\nwhich should be substantial towards the last moments of the interacting system.\n A comparison of the yield of dileptons of different masses and photons could \nthen provide us with a valuable information about the flow. This\nidentity of the cross-section for \nthe basic process is not available, for example, between \nsingle photons originating from Compton and annihilation processes \n(in the QGP), and nuclear reactions of the type, say, \n$\\pi\\rho\\,\\rightarrow\\,\\pi \\gamma$  in the hadronic matter or\nquark or pion annihilation processes for the dileptons.\n\nIt is also important to understand this contribution in quantitative detail\nas it is quite likely that the lowering of the mass of $\\rho$ mesons,\ndue to high baryonic densities reached in such collisions, for\nexample,  will populate the mass region well below the $m_\\rho$\nin case of dileptons.  Thus for example, Li et al\n\\cite{li} postulate that the mass of the `primordial' $\\rho$ mesons may have\n dropped to 370 MeV in S+Au collisions at the CERN SPS studied by the \nCERES group \\cite{ceres}. The drop is likely to be even larger for the Pb+Pb\ncollsion at the SPS energies, in  their treatment \\cite{ko}.\nThis increase in the net baryonic density is unlikely to be achieved \nat the RHIC or the LHC energies because of the considerable increase in the\ntransparency.\n\nOn the other hand, there are reasons to believe that the pion-form factor\n $F_\\pi(M)$, as\nwell as the decay width ($\\Gamma_\\rho$) of the $\\rho$ meson, e.g.,  \nmay depend on the\ntemperature, either because of chiral symmetry restoration, or collision\nbroadening, or both. Thus, in the simplest approximation for the chiral\nperturbation theory, modifications of $F_\\pi$ and $\\Gamma(\\rho)$ are given\nby \\cite{gaber}\n\\begin{eqnarray}\nF_\\pi(M,T)&=&F_\\pi(M,0)\\left( 1-\\frac{T^2}{8F_\\pi^2(M,0)}\\right)~,\\nonumber\\\\\n\\Gamma_\\rho(T)&=&\\Gamma_\\rho(0)\/ \\left(1-\\frac{T^2}{4F_\\pi^2(M,0)}\\right),\n\\end{eqnarray}\nwith the mass of the $\\rho$ meson remaining essentially unchanged (see e.g.,\nRef. \\cite{rob} for more recent developments). \nThis corresponds to a\ndecrease in $F_{\\pi}$ by about 30\\% and an increase in $\\Gamma_{\\rho}$ by\na factor of 3 at T=160 MeV, thus affecting the production of dileptons\nfrom annihilation of pions beyond $M\\approx$ 400 MeV or so.\nThe broadening of the $\\Gamma(\\rho)$ \ndue to collisions has been estimated by Haglin\n\\cite{kevin2} as\n\\begin{equation}\n\\Gamma_\\rho(T)=\\Gamma_\\rho(0)+\\left(a+b T +c T^2\\right),\n\\end{equation}\nwhere $a= 0.50$ GeV, $b=-7.16$, and $c=30.16$ GeV$^{-1}$, and corresponds to an \nincrease of about 80\\% at $T=$ 160 MeV, whose effect will be limited to\ndileptons from pion annihilation beyond $M\\approx$ 500 MeV. \n\nRecall that in the early days of the investigations of QGP it was \noften suggested\nthat thermal dileptons having an invariant mass less than $2 m_\\pi$ could\noriginate only from the annihilation of quarks and anti-quarks which were\nassumed to be essentially massless.\n Very soon it was realized (see Ref.\\cite{helmut,kevin1} and references\ntherein) that there\ncould be substantial production of dileptons having lower invariant\nmasses from the bremsstrahlung of pions as well as quarks.\nA better understanding \\cite{braaten,weldon} of the dynamics of hot QCD has \nendowed quarks with a thermal mass of a few hundred MeV. \nIf we believe \\cite{kamp} that\nthe invariant mass of the dileptons will have $M \\geq 2 m_{\\mathrm {th}}$,\nif they originate from the quark annihilation, then the mass window below a\nfew hundred MeV is  populated primarily by dileptons from \nbremsstrahlung processes at the colliders. Of course, there would be a\nbackground from Dalitz decays of $\\eta$ and $\\pi^0$ mesons, which will have to\nbe eliminated before the glow of the soft dileptons becomes visible.\nSimilar considerations will apply to soft photons originating from the\nbremsstrahlung of pions.\n\n   The QGP likely to be produced in relativistic heavy ion collisions will\nhave enormous internal pressure, and will expand rapidly \\cite{vesa}.\n If the life time of the interacting system is large compared to\n $\\sim R_T\/c_s$, where\n$R_T$ is the transverse size of the system and $c_s$ is the speed \nof sound, the consequences of the transverse expansion will become very evident.\nThe last stages of the interacting system are also likely to be repository\nof the details of the flow, and thus the soft photons and low mass\ndileptons which derive their maximum contributions from this stage will\nalso carry unique information about the flow.\n\n   We organise our paper as follows. In Section II we briefly recall\nthe formulation for the bremsstrahlung production of soft photons and low\nmass dileptons.\nSection III describes the results and discussions  related to various\napproximations used in the work are given in Section IV.  \nFinally we give a brief\nSummary. With this we also conclude our study of soft electromagnetic\nradiations \\cite{dipali,pradip}\ninitiated earlier.\n\n\\section{FORMULATION}\n\n\\subsection{Soft Photon Approximation}\n\nThe production of low mass dileptons and soft photons is most conveniently\nevaluated within a soft-photon approximation. In so far as this approximation\nremains valid, it provides for an easy manipulation of the strong interaction\npart of the scattering and enables us to test the sensitivity of the\nresults to such details. \n\nThus the first question which comes to mind is, how\nreliable is the soft-photon approximation? The existing treatments for the\nbremsstrahlung production of low mass dileptons were critically examined by\nLichard, recently \\cite{peter}. We shall, as in our earlier works\n \\cite{dipali,pradip}, use the correct numerical factor of \n($\\alpha\/3\\pi M^2$) in Eq.(8) (see later)\nand also use the virtual photon current, as suggested by Lichard.\n\nA reasonably accurate check on the soft photon approximation for\nthe quark driven processes can be obtained from a comparison with the\nrate for a zero-momentum soft dilepton production \\cite{eric} in a QGP\nevaluated by using the resummation technique of \nBraaten and Pisarski \\cite{braaten}.  This was done recently \\cite{kevin1},\nwith interesting results. To quote, it was found that for dileptons having\nmasses $M\\leq$ 0.1 GeV, the soft photon approximation gives results\nwhich are very close to the findings of QCD perturbation theory.\nThe soft photon approximation was found to lead to results which were\nsmaller by a factor of about 1--4 for $0.1\\leq M \\leq 0.3$ GeV.\nThis has its origin in the fact that the QCD perturbation\ntheory includes the annihilation process, which\ncontributes substantially at larger masses (see figs.1a--c, later).\n This comparison  provides two important insights;\nviz., scattering with virtual bremsstrahlung\n(rather than annihilation or Compton-like processes) accounts for most of the \nlow-mass QGP-driven pairs and  the soft-photon approximation as applied to\nquark processes is fairly reasonable. We must add that we\nshall depict lowest order annihilation process $q\\bar{q}\\rightarrow e^+e^-$\nclearly and separately. \n\nIn a recent study, Eggers et al. \\cite{hans} have evaluated the bremsstrahlung\nproduction of dileptons from pion driven processes, without using the\nsoft-photon approximation in a One Boson Exchange model for the \ninteraction of pions. One of the many interesting observations in that work\nis that the use of the soft-photon approximation in terms of the invariant\nmass of the dileptons can overestimate the contribution of the bremsstrahlung\nprocesses. We use the soft-photon approximation in terms of the four-\nmomenta of the real or the virtual photons, and thus we feel that we are\nrelatively safe from this criticism. Thus we insist that both $M$ and \n$q$ remain reasonbly small. We have also limited ourselves to\ninvariant masses upto 300 MeV. \nStill it is worthwhile to recall that even though the individual contributions\nfrom different reactons involving pions to the basic cross-section\n ($d\\sigma\/dM$)  are off by differing amounts as compared to the predictions\nof the soft-photon approximation, the  rates are overestimated by atmost\n a factor of 1.5--2 for $M\\leq$ 0.3 GeV, provided we follow the suggestions\nof Lichard \\cite{peter}, as we have.\n\nIn view of the above discussion, we believe that the soft-photon approximation\nas employed by us is reliable to within a factor of 2.\nStill it should be certainly worthwhile to have the \nresults of this treatment \\cite{hans} for the transverse mass distribution to\nsettle this issue, clearly.\n\n\\subsection{Low Mass Dileptons}\n\nThe mechanism for the production of soft  virtual photons from\nbremsstrahlung within a soft photon approximation  \nhas been discussed by a number \nof authors ( see Ref.\\cite{dipali} and references therein) \nin great detail and thus we shall only briefly recall the\nformulation in order to fix the notation.\n\n The invariant cross-section for the scattering and at the same time\nproduction of a soft photon of four momentum $q^\\mu=(q^0,\\vec{q})=(E,\\vec{q})$ \nis given by\n\\begin{equation}\nq_0 \\frac{d^4 \\sigma^{\\gamma}}{d^3q dx} = \\frac{\\alpha}{4 \\pi^2}\n\\left \\{ \\sum_{{\\mathrm {pol}} \\lambda} J \\cdot \\epsilon_{\\lambda}~~ \nJ \\cdot \\epsilon_{\\lambda} \\right \\}\\frac{d\\sigma}{dx}\n\\end{equation}\nwhere $d\\sigma\/dx$  is the strong interaction cross-section for the\nreaction $ab\\,\\rightarrow\\, cd$, $\\epsilon_\\lambda$ is the polarization of the\nemitted photon, and\n $J^\\mu$ is the {\\em virtual photon current}\\cite{peter} given by\n\\begin{eqnarray}\nJ^\\mu&  =& -Q_a \\frac{2p_a^{\\mu}-q^{\\mu}}{2p_a \\cdot q-M^2}-\nQ_b \\frac{2p_b^{\\mu}-q^{\\mu}}\n{2p_b \\cdot q-M^2}\\nonumber\\\\\n& &+Q_c \\frac{2p_c^{\\mu}+q^{\\mu}}{2p_c \\cdot q+M^2}+\nQ_d \\frac{2p_d^{\\mu}+q^{\\mu}}{2p_d \\cdot q+M^2}.\n\\end{eqnarray}\nIn the above equation the $Q$'s and $p$'s  represent the charges (in units of\nproton charge) and the particle four momenta, respectively. \nThe cross-section for the production of dilepton is then obtained as\n\\begin{equation}\nE_+E_-\\, \\frac{d^6 \\sigma^{e^+e^-}}{d^3p_+d^3p_-} = \\frac{\\alpha}{3\\pi^2}\n\\frac{1}{q^2}\\, q_0\\frac{d^3\\sigma^{\\gamma}}{d^3q}\n\\end{equation}\n\nNow the invariant cross-\nsection for dilepton pair production can be written as \\cite{dipali}\n\\begin{eqnarray}\nE_+E_-\\, \\frac{d\\sigma_{ab \\rightarrow cd}^{e^+e^-}}{d^3p_+d^3p_-}=\n\\,& & \\frac{\\alpha^2}{12 \\pi^4 M^2}   \\int   \n |{\\epsilon \\cdot J}|_{ab \\rightarrow cd}^2\n\\,\\frac{d\\sigma_{ab \\rightarrow cd}}{dt}\\nonumber\\\\\n&\\times & \\delta(q^2-M^2)\\, dM^2\\,\\nonumber\\\\\n& \\times& \\delta^4 \\left(q-(p_++p_-)\\right) \\,d^4q \\,dt.\n\\end{eqnarray}\nThe rate of production of dileptons at temperature $T$\ncan then be written as\n\\begin{eqnarray}\nE\\frac{dN}{d^4xdM^2d^3q}=\\frac{T^6g_{ab}}{16\\pi^4} \n\\int_{z_{\\mathrm {min}}}^{\\infty} \\,dz & &\n\\frac{\\lambda(z^2T^2,m_a^2,m_b^2)}{T^4}\\nonumber\\\\\n&\\times &\n\\Phi(s,s_2,m_a^2,m_b^2)\\,\\nonumber\\\\\n&\\times & K_1(z)\\,\nE\\frac{d\\sigma_{ab}^{e^+e^-}}{dM^2d^3q},\n\\end{eqnarray}\nwhere\nthe cross-section for the process $ab \\rightarrow cd \\,e^+e^-$\nis given by\n\\begin{equation}\nE\\frac{d\\sigma_{ab \\rightarrow cd}^{e^+e^-}}{dM^2d^3q} =\n \\frac{\\alpha^2}{12 \\pi^3 M^2} \\,\\frac{\\widehat{\\sigma}(s)}{E^2},\n\\end{equation}\nwith\n\\begin{equation}\n\\widehat{\\sigma}(s)=\\int_{- \\lambda(s,m_a^2,m_b^2)\/s}^0 \\,dt\\,\n\\frac{d\\sigma_{ab \\rightarrow cd}}{dt}\\,\n\\left(q_0^2\\left|\\epsilon\\cdot J\\right|^2_{ab \\rightarrow cd}\\right),\n\\end{equation}\nand\n\\begin{equation}\n\\Phi(s,s_2,m_a^2,m_b^2)=\\frac{\\lambda^{1\/2}(s_2,m_a^2,m_b^2)}\n                         {\\lambda^{1\/2}(s,m_a^2,m_b^2)}\\,\\frac{s}{s_2},\n\\end{equation}\n$s_2=s+M^2-2\\sqrt{s}q_0$, and $\\lambda(x,y,z)=x^2-2(y+z)x+(y-z)^2$.\nThe expression for the average of the electromagnetic factor \nover the solid angle, can be found in Ref.\\cite{dipali}. \nThe value of $z_{\\mathrm {min}}$ is obtained from \n$\\lambda(s_2,m_a^2,m_b^2) = 0$. Note that the right hand side of Eq.(8)\nvaries as $1\/M^4$ for ${\\mathbf q}=0$.\n\n     The strong interaction differential cross-section\n$d\\sigma_{qq}\/dt$ and $d\\sigma_{qg}\/dt$ for scattering of\nquarks and gluons are obtained from semi-phenomenological expressions\nused earlier by several authors for this purpose\n \\cite{kevin1,dipali,pradip,daniel}. For hot hadronic matter, we\nhave included the leading reactions: $\\pi^+ \\pi^- \\rightarrow \\pi^0\n\\pi^0$,  $\\pi^+ \\pi^- \\rightarrow \\pi^+ \\pi^-$,  $\\pi^+ \\pi^0 \\rightarrow\n\\pi^+ \\pi^0$,  and  $\\pi^- \\pi^0 \\rightarrow \\pi^- \\pi^0$ and evaluated\nthe strong scattering cross-section from an effective Lagrangian\nincorporating $\\sigma,$  $\\rho,$ and $f$ meson exchange \n\\cite{kevin1,dipali,pradip}.\n\n The corresponding expressions for the contribution of annihilation\nprocesses $q \\bar q \\rightarrow e^+e^-$ and $\\pi^+ \\pi^- \\rightarrow\ne^+e^-$ are given \\cite{kkmm} by,\n\n\\begin{eqnarray}\nE\\frac{dN}{d^4x dM^2 d^3q}& =& \\frac{\\sigma_a(M)}{4 (2\\pi)^5} M^2 e^{-E\/T}\n\\left[1-\\frac{4m_a^2}{M^2}\\right],\\nonumber\\\\\n\\sigma_{a}(M) &= &F_{a} {\\bar \\sigma(M)}, \\nonumber\\\\\n{\\bar \\sigma(M)}& = &\\frac{4 \\pi \\alpha^2}{3 M^2}\n\\left[1+\\frac{2m_e^2}{M^2}\\right] \\left[1-\\frac{4m_e^2}{M^2}\\right]^{1\/2},\n\\end{eqnarray}\nwhere $F_q=20\/3$ for a QGP consisting of $u$ and $d$ quarks, and\ngluons, and $F_\\pi$ is the pion form factor.\n\n\\subsection{ Soft Photons}\n\nNow we consider soft photon emission through the \nbremsstrahlung process, $ab \\rightarrow\ncd \\gamma$.\nThe invariant cross-section for the above process is obtained from\neq. (4) with $J^{\\mu}$ replaced by \n\\begin{equation}\nJ^\\mu = -Q_a \\frac{p_a^{\\mu}}{p_a \\cdot q}-Q_b \\frac{p_b^{\\mu}}\n{p_b \\cdot q}+Q_c \\frac{p_c^{\\mu}}{p_c \\cdot q}+\nQ_d \\frac{p_d^{\\mu}}{p_d \\cdot q},\n\\end{equation}\nwhich is appropriate for the emission of real photons.\nThe rate of production of photons at temperature $T$\ncan then be written as\n\\begin{eqnarray}\nE\\frac{dN}{d^4xd^3q}=\\frac{T^6g_{ab}}{16\\pi^4}\n & &\\int_{z_{\\mathrm {min}}}^{\\infty} \\,dz\n\\frac{\\lambda(z^2T^2,m_a^2,m_b^2)}{T^4}\\nonumber\\\\\n&\\times &\n\\Phi(s,s_2,m_a^2,m_b^2)\\, K_1(z)\\,\nE\\frac{d\\sigma_{ab}^{\\gamma}}{d^3q},\n\\end{eqnarray}\nwhere\n\\begin{equation}\nE\\frac{d\\sigma_{ab}^{\\gamma}}{d^3q} = \\frac{\\alpha}{4\\pi^2}\\, \n\\frac{{\\widehat\n\\sigma}(s)}{E^2},\n\\end{equation}\nwith ${\\widehat\\sigma}(s)$ defined as before (Eq.(9)) with $J^\\mu$ \nreplaced by real photon\ncurrent Eq.(12).\nEven at the risk of repetition, we would like to add that {\\it if we \nput $M = $ 0 in the phase-space factor $\\Phi_2$ and use the real photon\ncurrent in Eq.(7) and Eq.(9)}, we shall have\n\\begin{equation}\nE \\frac{dN_{e^+e^-}}{d^4xdM^2d^3q} \\equiv \\frac{\\alpha}{3 {\\pi} M^2}\\,\\,\nE \\frac{dN_{\\gamma}}{d^4xd^3q},\n\\end{equation}\nwhich also remains true in limit $M \\rightarrow $0.\nThus a comparison of the expression Eq.(13) with Eq.(7) \nimmediately shows that one\nmay use the results for photons and dileptons (with different masses) \nwith advantage to get information about, say,  the evolution of the system.\n\nThe annihilation and the Compton processes $q \\bar q \\rightarrow \\gamma g$\nand $q(\\bar q)g \\rightarrow q(\\bar q)g \\gamma$ have already been studied\nin great detail by a number of authors \\cite{Kapusta}. We only mention \nthe result for a comparison:\n\\begin{equation}\nE\\frac{dN_{\\gamma}^{C+ann}}{d^4xd^3q} = \\frac{5}{9}\\, \\frac{\\alpha \\alpha_s}\n{2\\pi^2}\\, T^2\\, e^{-E\/T}\\, \\ln \\left( \\frac{2.912ET}{6m_q^2}+1 \\right)\n\\end{equation}\nwhere $m_q = \\sqrt{ 2\\pi \\alpha_s\/3}\\,T$ is the thermal mass of the\nquarks.\nIn the hadronic sector we consider the processes\n$\\pi \\rho \\rightarrow a_1 \\rightarrow \\pi \\gamma$, $\\pi \\rho\n\\rightarrow \\pi \\gamma$ \n for which rates\nhave been evaluated and parametrized in a convenient form \n\\cite{Kapusta,Xiong,Nadeu}.   \n\\begin{equation}\nE\\frac{dN_{\\pi \\rho \\rightarrow a_1 \\rightarrow \\pi \\gamma}}{d^4xd^3q} =\n 2.4T^{2.15}\\,\\exp\\left[-1\/(1.35TE)^{0.77}-E\/T\\right]\\\\,\n\\end{equation}\n\\begin{equation}\nE\\frac{dN_{\\pi \\rho  \\rightarrow \\pi \\gamma}}{d^4xd^3q} =\n T^{2.4}\\,\\exp\\left[-1\/(2TE)^{3\/4}-E\/T\\right]\\\\.\n\\end{equation}\nThe decay  $\\omega \\rightarrow \\pi \\gamma$ during the life-time of the\ninteracting system is obtained from,\n\\begin{eqnarray}\nE\\frac{dN_{\\omega  \\rightarrow \\pi \\gamma}}{d^4xd^3q} =\n\\frac{3m_{\\omega}\\Gamma_{\\omega \\rightarrow \\pi \\gamma}}{16\\pi^3E_0E}\n& &\\int_{E_{min}}^{\\infty}\\, \n dE_{\\omega}\\,E_{\\omega}f_{B E}(E_{\\omega})\n\\nonumber\\\\\n&\\times &\\left[1+f_{B E}(E_{\\omega}-E)\\right]\n\\end{eqnarray}\n\nHere $E_{min} = m_{\\omega}(E^2 + E^2_0)\/2EE_0$ and $E_0$ is the photon\nenergy in the rest frame of the $\\omega$ meson. Recall that for low energy\nphotons the reactions $\\pi\\pi\\,\\rightarrow\\,\\rho\\gamma$ and\nthe bremsstrahlung process $\\pi\\pi\\,\\rightarrow\\, \\pi\\pi\\gamma$ are equivalent,\nand including both of them would amount to a double\ncounting \\cite{pradip,redlich}.\n\n\\subsection{ Initial Conditions}\n\n We have considered central collisions of lead nuclei at CERN SPS, BNL RHIC,\nand CERN LHC energies. We assume that the collision leads to a thermalized\nand chemically equilibrated quark gluon plasma at an initial time\n $\\tau_i=$ 1 fm\/$c$ and initial temperature $T_i$.\n Further assuming an isentropic\nexpansion, one may relate \\cite{hk} the initial conditions to the \nmultiplicity density ($dN\/dy$);\n\\begin{equation}\nT_i^3 \\tau_i = \\frac{2 \\pi^4}{45 \\zeta(3) \\pi R_T^2 4a_k}\\, \\frac{dN}{dy},\n\\end{equation}\nwhere $R_T$ is the transverse radius of the lead nucleus and \n$a_k = 37\\pi^2\/90$ for a system consisting\nof massless u and d quarks, and gluons. The evolution\nof the system is obtained from a boost-invariant longitudinal\nexpansion and cylindrically symmetric transverse expansion \\cite{vesa}.\nWe further assume a first order phase transition to a hadronic matter \nconsisting of  $\\pi$, $\\rho$, $\\omega$, and $\\eta$ mesons,\n($a_k \\approx 4.6\\pi^2\/90$), at $T=$ 160 MeV \\cite{our}.\nAfter all the quark matter has adiabatically converted to hadronic matter,\nthe system enters a hadronic phase and undergoes a freeze-out at $T=$ 140 MeV.\n\nThe particle rapidity density is taken as \\cite{kms} 624, 1735, and 5624\nrespectively. One may obtain much larger initial temperatures for the\nsame multiplicity densities by assuming more rapid thermalization of\nthe plasma. An upper limit for this is obtained by taking \n$\\tau_{i} \\simeq 1\/3 T_{i}$. We shall argue later, that the multiple\nscattering effects in the early dense QGP will, however, suppress the\nsoft radiations considerably, and thus  the choice of\n$\\tau_i$ =1 fm\/$c$ should provide an interesting trade-off between\nthese competing effects.\n\n\\subsection{ Space-time Integration}\n\nThe dilepton transverse mass yield is then obtained by convoluting\nthe rates for their emission from QGP and hadronic matter with the space- \ntime history of the system:\n\\begin{eqnarray}\n\\frac{dN}{dM^2d^2M_Tdy}=\\int & &\\,\\tau \\,d\\tau\\, r\\, dr\\, d\\phi\\, d\\eta\n\\left[f_Q\\,E\\frac{dN^q}{d^4x dM^2 d^3q}\\right.\\nonumber\\\\\n&+&\\left.(1-f_Q)\\,E\\frac{dN^{\\pi}}\n{d^4x dM^2 d^3q}\\right]~,\n\\end{eqnarray}\nwhere $f_Q(r, \\tau)$ gives the fraction of the quark matter\nin the system.\n\n   Similarly the photon spectrum is obtained by convoluting the rates for the\nemission of photons from QGP and the hadronic matter with the space time\nhistory of the system;  \n\\begin{eqnarray}\n\\frac{dN}{d^2q_Tdy}=\\int & &\\,\\tau \\,d\\tau \\,r \\,dr\\, d\\phi \\,d\\eta\n\\left[f_Q\\, E\\frac{dN^q}{d^4x d^3q}\\right.\\nonumber\\\\\n&+&\\left.(1-f_Q)\\,\n E\\frac{dN^{\\pi}}{d^4x d^3q}\\right].\n\\end{eqnarray}\n\n\n\\section{RESULTS}\n\n\\subsection{Low mass Dileptons }\n\nIn order to ascertain the relative importance of the contributions of the\n quark bremsstrahlung, \npionic bremsstrahlung, quark annihilation, and pionic annihilation processes\nto low mass dileptons we show the rates for different values of $M$\nat $T=$ 160 MeV. All the results for the quark annihilation processes are\nobtained by taking $m_q=$ 5 MeV. If we adopt the view that \n$m_q=m_{\\mathrm {th}}$,\nas indeed, we have taken while evaluating the bremsstrahlung contributions,\n then the quark annihilation contribution will be absent\n\\cite{kamp} in this mass range.\nIn any case, we see that the quark driven bremsstrahlung processes\noutshine the pion driven bremsstrahlung contribution (fig.1a--c).\n\n\\begin{figure}\n\\psfig{figure=fig1a.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig1b.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig1c.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{\n The production rate of low mass dielectrons from quark\nand pion bremsstrahlung at $T = $ 160 MeV.\nIn addition, the contribution of quark annihilation process is given\nfor a comparison. These results are shown for (a) $M =$ 0.1 GeV, (b)\n $M =$ 0.2 GeV, and (c) $M =$ 0.3 GeV respectively.}\n\\end{figure}\n\nThe results for the transverse mass distribution for the low mass dileptons\nat SPS energies are given in fig.2a--c.\nWe now see that the pion driven processes dominate the yield at all masses\nas the 4- volume occupied by the hadronic matter is much larger.\nThis is also evident from the invariant mass distribution (fig.2d).\nConsidering that the pion annihilation threshold limits the mass to $M>2m_\\pi$\nand even the quark annihilation may contribute only to masses larger than this,\nwe do find an intense glow of low mass dileptons, once the background from\nthe Dalitz decays of $\\pi^0$ and $\\eta$ mesons is removed. The recent\nexperience with the CERES experiment \\cite{ceres} has shown \nthat this could be possible to some extent. Recall also that the CERES\ndata for the S+Au system \\cite{ceres} shows a contribution from the\nbremsstrahlung processes \\cite{ssg}. It will be interesting to find a\nconfirmation of these early observations from the results for the Pb+Pb\nsystem as well.\n\n\\begin{figure}\n\\psfig{figure=fig2a.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig2b.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig2c.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig2d.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{(a--d): The transverse mass distribution of low mass dielectrons\nat SPS energies including bremsstrahlung process and annihilation \nprocess in the quark matter and the hadronic matter. We give the results\nfor invariant mass M equal to\n 0.1 GeV (a), 0.2 GeV (b), and  0.3 GeV (c) \nrespectively. The invariant mass distribution of low mass\ndielectrons are also shown (d).}\n\\end{figure}\n\nThe transverse mass distribution at RHIC energies (fig.3a--c) reveals another\ninteresting aspect. The transverse mass distribution at lower $M_T$ is\ndominated by the pion contribution. However at larger $M_T$, the contributions\nof the quark driven and pion driven processes are similar. This is a \nreflection of the larger temperature in the quark phase, and a larger effect\nof the transverse flow during the hadronic phase. If we look only at the \ninvariant mass distribution (fig.3d), this interesting aspect does not show up.\n\n\\begin{figure}\n\\psfig{figure=fig3a.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig3b.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig3c.ps,height=2.25in,width=3.25in}\n\\vskip 0.2cm\n\\psfig{figure=fig3d.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{(a--d): Same as fig.~2, for RHIC energies.}\n\\end{figure}\n\nWe have further found (not shown here for reasons of space) that, at \nLHC energies the quark\ndriven bremstrahlung processes start dominating over the pion driven \nbremstrahlung processes even at relatively smaller $M_T$, as the slopes of\nthe quark-driven processes are much smaller.\n This aspect remains true even\nin the invariant mass spectrum, and the contributions become similar at $M=$\n0.3 GeV. \n\nThese results also clearly reveal the rapidly changing\nimportance of the different processes considered here leading to low mass\ndileptons, as the available energy (initial conditions) changes and\nas the invariant mass $M$ assumes varying values. When detailed results\nare available these considerations may help resolve different contributions.\n\nWe envisage an increase by a factor of 2--4 in the dilepton yield as we go from\nSPS to RHIC energies, and by a factor of 15-20 as we go from SPS to \nLHC energies.  Thus the existence of a longlived interacting system would be\ncharacterized by an intense glow of low mass dileptons.\nThis means a large increase in the electromagnetic signals, as compared to\nthe estimates  done by using only pion and quark annihilations.\n \nIt is well known that ratios of particle spectra can sensitively reveal the\ndetails of the variations of the underlying processes. We have seen in\nEq.(8) that\nthe transverse mass-spectra for low mass dileptons are proportional to\n$1\/M^2$. In figs.4--6  we have \nplotted the  ratio of $M^{2} \\,dN\/d^{2}M_{T}dM^{2}dy$ at $M =$ 0.1 GeV to \nthat for $M =$0.2 GeV and $M =$0.3 GeV both with (solid line) and without \n(dashed line) the transverse flow at SPS, RHIC, and LHC respectively.\nWe have verified that the (oscillatory) structure seen in the results without \nthe transverse flow has its origin in the structure in $\\pi \\pi$ scattering\ncross-section,\nwhich is sampled in the process. One can also show that if there is no\ntransverse expansion of the system then the ratios as depicted here would\nbe independent of the initial temperature, that is they would be identical\nfor SPS, RHIC, and LHC energies, which is also seen from these figures. \nA deviation from this universal behaviour  is indicative of the increasing\nimportance of the transverse flow as one increases the initial temperature\nof the system, which in turn decides the overall life-time of the system.\n\n\n\\begin{figure}\n\\psfig{figure=fig4.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{ The ratio of $M^2$ weighted\n differential dielectron yield $M^2 dN\/ dM^2d^2M_{T}dy$ at $M =$ 0.1 GeV \nto that at $M =$ 0.2 GeV and $M =$ 0.3\nGeV as a function of transverse mass $M_T$ for SPS energies.\n The solid curve gives the total\ncontribution (quark matter + hadronic matter) with the transverse \nflow. Similarly the dashed curve gives the total contribution without\nthe transverse flow.}\n\\end{figure}\n\\begin{figure}\n\\psfig{figure=fig5.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{Same as fig.~4 for RHIC energies. The definition of the\nsolid and the dashed curves are same as in fig.~4.}  \n\\end{figure}\n\\begin{figure}\n\\psfig{figure=fig6.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{Same as fig.~4 for LHC energies. The definition of the\nsolid and the dashed curves are same as in fig.~4.}  \n\\end{figure}\n\n\nFinally, while investigating the dependence of our results on the\nfreeze-out temperature  \na successively increasing dependence on this last stage of the\ninteracting system was seen as we go from SPS to RHIC to LHC energies. \nThe largest\nsensitivity is thus seen for the LHC energies (see fig.~7)\n, where the life-time of the\ninteracting system is longest, giving the transverse flow effects ample\nscope to come into full play.\n\n\\begin{figure}\n\\psfig{figure=fig7.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{Sensitivity of the low mass dielectron spectra to the\nfreeze- out temperature at LHC energies for $M =$ 0.1 GeV.}\n\\end{figure}\n\n\\subsection{ Soft Photons}\n\nIn a manner similar to the above, we have plotted the rates for \ndifferent photon producing processes at $T=160$ MeV (fig.8).\nWe see that the quark and pion driven bremsstrahlung processes dominate\nupto energies of a few hundred MeV, after which they fall rapidly.\n\n\\begin{figure}\n\\psfig{figure=fig8.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{Soft photon production rate at $T =$ 160 MeV  \nfrom quark and pion bremsstrahlung, Compton + annihilation\nprocesses and the sum of the main hadronic reactions as shown in the figure.}\n\\end{figure}\n\nSpace-time integrated results for RHIC energies are\nshown in fig.9. We find that soft photons having transverse\nmomenta of upto a few hundred MeV mostly originate from pion driven\nbremsstrahlung processes, and once again the existence of a longlived\ninteracting system is revealed by an intense glow of soft photons,\nonce the background of decay photons is removed.\n\n\\begin{figure}\n\\psfig{figure=fig9.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{The transverse momentum distribution of soft photons from \ndifferent mechanisms at RHIC energies. The sum of the contribution \n$\\pi \\rho \\rightarrow \\pi \\gamma$, $\\pi \\rho \\rightarrow a_1 \\rightarrow\n\\pi \\gamma$ and the decay $\\omega \\rightarrow \\pi \\gamma$ is referred as\n{\\it 'reactions'}.}\n\\end{figure}\nEven though the relative importance of the various contributions was\nfound to be similar at SPS and LHC energies, we envisage an increase \nby a factor of 2--4 in the yield\nof photons having $p_T=$ 200 MeV, as we go from SPS to RHIC and an increase\nby a factor of almost 10 as we go from SPS to LHC energies.  The\ncomplete dominance of soft photons in determining the multiplicity\nof photons produced is seen from fig.10. Note that we have included only\nphotons having $p_T>$ 100 MeV, for this discussion, as we know that the\nyield for lower $p_T$ is subject to Landau Pomeranchuk effect.\nIt may be noted, however, that unlike the case of dileptons, the contribution\nof  the reaction $\\pi \\pi \\rightarrow \\rho \\gamma$ which is equivalent\nto $\\pi \\pi \\rightarrow \\pi \\pi \\gamma$ was included in the esimates of\nsingle photons \\cite{Kapusta}, and thus the increase above does not \nnecessarily mean a new source. It merely points to a rapid rise in the\nyield of single photons having $p_T < $ 300--400 MeV.\n\\begin{figure}\n\\psfig{figure=fig10.ps,height=2.25in,width=3.25in}\n\\vskip 0.4cm\n\\caption{Soft photons vs. photons from Compton plus annihilation\nprocesses from the QGP and hadronic reactions at SPS, RHIC, and LHC energies\nfrom central collision of two lead nuclei.} \n\\end{figure}\n\n\\section{DISCUSSION}\n\nThere are a number of aspects which should be discussed before we draw our\nconclusions. We have already discussed the validity of the\nsoft-photon approximation in sect. II.\n\nIt is well-known that bremsstrahlung radiation could be very large for\nlight particles and one may worry about this aspect for the radiations\nfrom the quark matter. We have, however, used the thermal mass of quarks\nwhile evaluating the $d\\sigma\/dt$ as well as the kinematics of the collision,\nwhich is appropriate for fermions moving in a hot medium. We have already\nstated that if we extend this argument to quark \nannihilation as well, then the bremsstrahlung processes become the leading\ncontributors to this mass range for dileptons.\n\nAny study of soft electromagnetic radiations must address the question \nof Landau- Pomeranchuk \\cite{Landau} suppression of \nsuch processes in a dense medium.\nThe Landau- Pomeranchuk effect provides that if the formation time of a\nparticle is more than the time between two collisions, the emission of\nthe particle could be considerably suppressed due to destructive\ninterference of multiple scatterings. We would like to draw the\nattention of the readers to arguments developed in Ref. \\cite{pradip}\nearlier, about the extent of the modifications to our predictions due to this.\nIt can be argued that our results\nfor the sum of the radiations from the interacting system will remain \nfairly free from the effects of Landau- Pomeranchuk suppression\ntill we restrict ourselves to photons and dileptons having energies \nlarger than a few hundred MeV. The Landau- Pomeranchuk suppression\ncould be severe  for lower energies as, indeed, \ndemonstrated by Cleymans et al. \\cite{jean}.\n\nThese considerations have an interesting connotation. Recall that\nwe have taken the initial time as 1 fm\/c. It is quite likely that the\nQGP may be thermalized much more quickly \\cite{kms}, and then we can have\na larger initial temperature for the same multiplicity of the\nparticles. We have seen earlier that the partonic density can then be\nmuch higher, and thus there would be a suppression of soft radiations.\nThus our choice of $\\tau_{i} = $1 fm\/c ensures that we start our \nevaluations {\\it after} the Landau- Pomeranchuk effect has lost its \ndominating effect, and that our estimates remain reasonable.\n A more complete treatment will include the Landau\nPomeranchuk effect and thus these suppressions would be automatically,\nand more properly accounted for.\n\nWe have approximated the hadronic phase as a non-interacting gas of $\\pi$,\n$\\rho$, $\\omega$, and $\\eta$ mesons. How will the results differ for\na richer hadronic matter, which would result in a reduced life-time for the\nmixed-phase? A richer equation of state for hadornic matter will also imply\na smaller speed of sound, and the attendant slower cooling of the system,\nand  a longer life time for the hadronic phase. Thus, it was found recently\nthat the results for single photons \\cite{cape} with a\ntruncated equation of state\nas used here and a resonance gas containing all hadrons, for the \nhadronic matter left the final results essentially unaltered. Similar results\nshould be expected here, due to the similarity of the rates for the\nquark and pion driven processes (see. fig.1).\n\n\nAll our evaluations are made with the assumption that the QGP, as produced\ninitially, is in kinetic and chemical equilibrium, and  that its evolution is\nisentropic. It is quite likely that the plasma as produced in relativistic\nheavy ion collisions is neither in kinetic nor in chemical equilibrium.\nHow will this affect our findings? Even though the kinetic equilibrium\ncould be achieved quickly enough, the chemical equilibration itself may \nnot be achieved at all \\cite{klaus,biro,mustafa}. The contributions of the\nQGP part is then easily obtained by introducing the products $\\lambda_i\n\\lambda_j$, where $\\lambda_i$ is the fugacity of the parton species $i$,\nin our expressions \\cite{strik}. \nNeedless to add that the overall contribution could\ncome down by a factor of upto 10 or more depending upon the initial\nconditions. So far there is no treatment which could model the\nhadronization of QGP which is far from  chemical equilibrium. It is not\neven clear that such a matter will go through a mixed phase. The description\nof the hadronic phase (if any) also gets uncertain. However, a very\ninteresting outcome of this scenario could be a complete absence of radiations\nfrom  the hadronic processes, if the QGP phase is not followed by an interacting\nhadronic matter living for some finite time! This could be of great interest.\n\nWhat could be other sources of low mass dileptons? It was suggested some \ntime ago \\cite{ssg} that $\\pi \\rho \\rightarrow \\pi\\, e^+e^-$ could contribute\nto low mass dileptons. This has now been evaluated \\cite{kevin2}, \nand it is found\nto contribute less than the bremsstrahlung processes at lower masses. However\nthe bremsstrahlung contribution decreases rapidly and for  $M>$ 300 MeV,\nand the above reaction contributes at a level of 10--50\\% of the pionic annihilation.\nIt will be of interest to study the transverse mass distribution of this \nreaction, as it is likely to be different. \n\n\\section{SUMMARY}\n\nWe have calculated the transverse mass distribution of low mass\ndileptons and transverse momentum distribution of soft photons\nfrom central collision of two lead nuclei at CERN SPS, BNL RHIC,\nand CERN LHC energies. We assume that the collision leads to a\nthermalized and chemically equilibrated quark gluon plasma at the\nproper time $\\tau_{i} = $1 fm\/c. The plasma then expands, cools,\nand gets into a mixed phase at $T = $160 MeV. After all the quark\nmatter is adiabatically converted to hadronic matter, it cools again, \nand undergoes a freeze-out at $T = $140 MeV. We have considered a \nboost invariant longitudinal and cylindrically symmetric transverse\nexpansion. This is, to our knowledge, the first treatment of the \ndynamics of soft electromagnetic radiations in such collisions, \nwith transverse expansion, whose effect is seen to be large when\nthe life-time of the interacting system is large.\n\nWe find that the formation of such a system may be characterized \nby an intense glow of soft electromagnetic radiations, whose\nfeatures depend sensitively on the last stage of evolution, once we remove the\nbackground of decay photons or dileptons.\n\nWe are grateful to  Hans Eggers and Kevin Haglin for very many useful\n discussions during the course of this work.\n\n","meta":{"redpajama_set_name":"RedPajamaArXiv"}}
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+{"text":"\n\n_Mao II_\n\nDON DELILLO\n\n_\u00d6vers\u00e4ttning av Rebecca Alsberg_\n\nModernista\n\nSTOCKHOLM\nTill Gordon Lish.\n\n#  P\u00c5 YANKEE STADIUM\n\nH\u00c4R kommer de, marscherande ut i det amerikanska solskenet. Tv\u00e5 och tv\u00e5, det eviga pojke\u2013flicka, l\u00e4mnar de banan innanf\u00f6r st\u00e4ngslet p\u00e5 v\u00e4nster sida av planen. Musiken drar dem \u00f6ver gr\u00e4set, i dussintal, hundratal, redan fler \u00e4n man kan r\u00e4kna. De t\u00e5gar \u00f6ver ytterf\u00e4ltets vida kurva och h\u00e5ller s\u00e5 t\u00e4tt ihop att det ger intryck av f\u00f6rvandlingsprocess. Fr\u00e5n att ha varit en l\u00e5ng rad med par som g\u00e5r arm i arm blir de en enda oavbruten v\u00e5g som hela tiden v\u00e4xer och t\u00e4cker de fria ytorna med marinbl\u00e5tt och vitt.\n\nKarens pappa som sitter uppe p\u00e5 l\u00e4ktaren kan inte l\u00e5ta bli att t\u00e4nka att det \u00e4r just det som \u00e4r meningen. De \u00e4r en kropp nu, en anonym massa, och det g\u00f6r honom illa ber\u00f6rd. Han st\u00e4ller in kikaren p\u00e5 en ung kvinna, en till, ytterligare en. S\u00e5 m\u00e5nga led uppst\u00e4llda s\u00e5 n\u00e4ra inp\u00e5 varandra. Han har aldrig sett n\u00e5got liknande, inte ens f\u00f6rest\u00e4llt sig att det skulle kunna intr\u00e4ffa. Han har inte kommit hit f\u00f6r sk\u00e5despelets skull men det h\u00e5ller p\u00e5 att ta andan ur honom. De har blivit flera tusen nu, snart uppe i full divisionsstyrka, och den vederb\u00f6rliga snyftmusiken b\u00f6rjar l\u00e5ta h\u00e5nfull. Hustru Maureen sitter vid hans sida. I dag \u00e4r hon gr\u00e4ll och grann, kl\u00e4dd i karamellf\u00e4rger som motvikt till f\u00f6rst\u00e4mningen hon k\u00e4nner i sitt br\u00f6st. Rodge f\u00f6rst\u00e5r mer \u00e4n v\u00e4l. De fick n\u00e4stan ingen f\u00f6rvarning alls. Kastade sig p\u00e5 flyget, skaffade hotellrum, tog tunnelbanan, passerade metalldetektorn och nu sitter de h\u00e4r och f\u00f6rs\u00f6ker fatta. Rodge \u00e4r r\u00e4tt v\u00e4l rustad f\u00f6r normala pr\u00f6vningar och dr\u00e5pslag. Han har examen och firma och revisor och hj\u00e4rtspecialist och aktiefond och olycksfalls och hel l\u00e4karv\u00e5rds. Men g\u00e4ller f\u00f6rs\u00e4kringarna i alla l\u00e4gen? Det finns en fr\u00e4mmande st\u00e4mning d\u00e4rnere som han aldrig trott han skulle f\u00e5 uppleva p\u00e5 en bollplan. De tar en traditionell ceremoni och upprepar den, upprepar den, upprepar den, tills n\u00e5got nytt kommer till v\u00e4rlden.\n\nSe p\u00e5 flickan i f\u00f6rsta ledet, ungef\u00e4r tjugo par fr\u00e5n v\u00e4nster. Han st\u00e4ller in okularet och zoomar till maxstyrka, kanske kan han sk\u00f6nja hennes drag genom brudsl\u00f6jan.\n\nFr\u00e5n banan kommer det fortfarande en str\u00f6m av par som fogar in sig i massan, fast \u00bbmassa\u00ab \u00e4r inte r\u00e4tta ordet. Han vet inte vad han ska kalla dem. Han f\u00f6rest\u00e4ller sig att de visar upp ett enhetligt leende, samma min som de kl\u00e4mmer ut med tandkr\u00e4men varje morgon. Brudgummarna i identiska bl\u00e5 kostymer, brudarna i spets och sidenkl\u00e4nningar. Maureen v\u00e4nder sig om och tittar p\u00e5 \u00e5sk\u00e5darna. F\u00f6r\u00e4ldrar \u00e4r inte s\u00e5 sv\u00e5ra att urskilja och det finns sensationslystna lite h\u00e4r och var, vanliga slashasar och dagdrivare, andra som tr\u00e4ngt l\u00e4ngre in i mystiken, svart\u00f6gda och avsk\u00e4rmade, f\u00f6rstulet vaksamma, m\u00e4nniskor som tydligen har tagit p\u00e5 sig allt de \u00e4ger, lager p\u00e5 lager av trasiga plagg, storstadsnomader som \u00e4r henne mer fr\u00e4mmande \u00e4n herdarna i Sahelomr\u00e5det som hon har l\u00e4rt k\u00e4nna p\u00e5 dokument\u00e4rkanalen. Intr\u00e4det \u00e4r gratis, l\u00e4ngst bort r\u00e4nner pojkg\u00e4ng omkring och t\u00e4nder p\u00e5 sm\u00e4llare som utl\u00f6ser en rej\u00e4l ljudsmocka, hemmagjorda bomber och soptunnor som d\u00e5nar \u00f6ver betongramperna s\u00e5 att m\u00e4nniskor rycker till f\u00f6r att skydda sig. Maureen inriktar sig p\u00e5 f\u00f6r\u00e4ldrar och andra sl\u00e4ktingar, n\u00e5gra kvinnor sitter r\u00f6rande finkl\u00e4dda i b\u00e4sta kl\u00e4nningen och vit blomma p\u00e5 br\u00f6stet, stirrar med tomma \u00f6gon ur sminkade ansikten. Hon meddelar Rodge att det sneglas en hel del \u00e5t olika h\u00e5ll. Man vet inte vad man ska tycka och ser sig om efter en ledtr\u00e5d. Rodge spanar oavv\u00e4nt i kikaren. Sextusenfemhundra par och deras dotter st\u00e5r d\u00e4rnere n\u00e5gonstans i begrepp att gifta sig med en man hon k\u00e4nt i tv\u00e5 dagar. Han \u00e4r antingen japan eller korean. Rodge uppfattade inte vilket. Och han kan ungef\u00e4r \u00e5tta ord p\u00e5 engelska. Han och Karen talade med varandra via en tolk som l\u00e4rde dem att s\u00e4ga Hej, det \u00e4r tisdag, h\u00e4r \u00e4r mitt pass. Femton minuter i ett kalt rum och de \u00e4r fj\u00e4ttrade vid varandra f\u00f6r livet.\n\nHan far med kikaren \u00f6ver massan, skaran, r\u00f6relsen, medlemmarna, l\u00e4rjungarna, anh\u00e4ngarna. Det skulle k\u00e4nnas lite b\u00e4ttre om han fick syn p\u00e5 henne.\n\n\u00bbVet du vad det verkar som?\u00ab s\u00e4ger Maureen.\n\n\u00bbSt\u00f6r mig inte.\u00ab\n\n\u00bbDet verkar som om de har t\u00e4nkt ut det h\u00e4r f\u00f6r att anh\u00f6riga ska f\u00e5 pinas till max.\u00ab\n\n\u00bbGn\u00e4lla kan vi g\u00f6ra p\u00e5 hotellet.\u00ab\n\n\u00bbJag bara s\u00e4ger som det \u00e4r.\u00ab\n\n\u00bbJag f\u00f6reslog faktiskt att du skulle stanna hemma.\u00ab\n\n\u00bbHur skulle jag kunna l\u00e5ta bli att f\u00f6lja med? Vad skulle jag skyllt p\u00e5?\u00ab\n\n\u00bbDet \u00e4r m\u00e5nga d\u00e4rnere som inte ser amerikanska ut. De skickar ut dem som mission\u00e4rer. De kanske tror att vi har sjunkit till u-l\u00e4ndernas niv\u00e5. De har kommit hit f\u00f6r att visa oss v\u00e4gen och ljuset.\u00ab\n\n\u00bbOch g\u00f6ra smarta investeringar. Kan vi g\u00e5 p\u00e5 n\u00e5n teater sen?\u00ab\n\n\u00bbF\u00e5r jag titta nu, va? Jag vill hitta henne.\u00ab\n\n\u00bbVi \u00e4r h\u00e4r. Vi kan lika g\u00e4rna passa p\u00e5.\u00ab\n\n\u00bbDet g\u00e5r knappt att fatta. Trettontusen m\u00e4nniskor.\u00ab\n\n\u00bbVad t\u00e4nker du g\u00f6ra n\u00e4r du hittar henne?\u00ab\n\n\u00bbVem fan har kommit p\u00e5 detta? Vad g\u00e5r det ut p\u00e5?\u00ab\n\n\u00bbVad t\u00e4nker du g\u00f6ra n\u00e4r du f\u00e5r syn p\u00e5 henne? Vinka adj\u00f6?\u00ab\n\n\u00bbJag vill bara veta att hon \u00e4r h\u00e4r\u00ab, s\u00e4ger Rodge. \u00bbJag vill f\u00e5 det bekr\u00e4ftat, okej?\u00ab\n\n\u00bbF\u00f6r det \u00e4r vad det \u00e4r fr\u00e5gan om. Om det inte har varit adj\u00f6 hittills s\u00e5 \u00e4r det adj\u00f6 nu.\u00ab\n\n\u00bbDu, Maureen? Var tyst.\u00ab\n\nFr\u00e5n estraden vid hemplattan sprider Mendelssohnmarschen ett stadioneko, en \u00e5terklang av toner som f\u00f6rirrat sig in i djupen mellan l\u00e4ktarna. Flaggor och fanor \u00f6verallt. De saliggjorda paren st\u00e5r v\u00e4nda mot innerplan d\u00e4r deras sanne fader, master Moon, st\u00e5r i tre dimensioner. Han ser ner p\u00e5 dem fr\u00e5n en predikstol som sv\u00e4var \u00f6ver ett podium i silver och eldr\u00f6tt. Han b\u00e4r en k\u00e5pa i vitt siden och en h\u00f6g krona prydd med stiliserade irisar. De k\u00e4nner honom p\u00e5 molekyl\u00e4r niv\u00e5. Han lever i dem likt den materia som best\u00e4mmer vilka de \u00e4r. Detta \u00e4r en satt och kraftigt byggd man som s\u00e5g Jesus p\u00e5 ett berg. I nio \u00e5r \u00e4gnade han sig \u00e5t att be och han gr\u00e4t s\u00e5 l\u00e4nge och s\u00e5 h\u00e4ftigt att t\u00e5rarna blev till p\u00f6lar som rann genom golvet och droppade ner i rummet inunder och sipprade genom husgrunden ner i jorden. Paren vet att det finns saker som han m\u00e5ste l\u00e5ta vara osagda, ord vars planetariska inverkan ingen skulle kunna uth\u00e4rda. Han \u00e4r den messianska hemligheten, alldaglig, med v\u00e4derbiten och brunbr\u00e4nd hy. N\u00e4r kommunisterna skickade honom till arbetsl\u00e4ger visste de andra f\u00e5ngarna vem han var eftersom de hade dr\u00f6mt om honom innan han kom dit. Han gav bort h\u00e4lften av sina matportioner men tappade aldrig orken. Han arbetade sjutton timmar om dagen i gruvorna men fick alltid tid \u00f6ver att be, att h\u00e5lla sig ren och stoppa in skjortan. De saliggjorda paren \u00e4ter barnmat och anv\u00e4nder babynamn f\u00f6r att de k\u00e4nner sig s\u00e5 sm\u00e5 i hans n\u00e4rhet. Detta \u00e4r en man som bodde i ett skjul byggt av U. S. Armys matransonsburkar och nu st\u00e5r han h\u00e4r, i det amerikanska ljuset, kommen f\u00f6r att leda dem mot slutet p\u00e5 m\u00e4nsklighetens historia.\n\nBrudarna och brudgummarna byter ringar och trohetsl\u00f6ften och det \u00e4r m\u00e5nga p\u00e5 l\u00e4ktarna som fotograferar, de st\u00e5r i g\u00e5ngarna och tr\u00e4ngs vid r\u00e4ckena, hela familjer som kn\u00e4pper nerv\u00f6st och f\u00f6rs\u00f6ker formulera en reaktion eller f\u00e5 ordning p\u00e5 ett minne, som vill neutralisera h\u00e4ndelsen, t\u00f6mma den p\u00e5 overklighet och kraft. Master m\u00e4ssar fram ritualen p\u00e5 koreanska. Paren defilerar f\u00f6rbi podiet och han st\u00e4nker vatten p\u00e5 deras hj\u00e4ssor. Rodge ser att varje brud lyfter p\u00e5 sl\u00f6jan och han zoomar genast in, samtidigt som han upplever ett allt st\u00f6rre avst\u00e5nd till skeendet, ett djupt sorgmod. Men han iakttar och begrundar. N\u00e4r den Gamla Guden l\u00e4mnar v\u00e4rlden, vad h\u00e4nder d\u00e5 med all of\u00f6rbrukad tro? Han betraktar varje ansikte, s\u00f6tt, runt, fult, fel, m\u00f6rkt, vanligt. De \u00e4r som ett folk, samlat kring den enkla trons princip. En maskin som drivs av naiv \u00f6vertygelse. De talar ett halvspr\u00e5k, en upps\u00e4ttning f\u00e4rdigst\u00f6pta uttryck och tomma upprepningar. Allting, summan av det vetbara, det som \u00e4r \u00e4kta, reduceras till n\u00e5gra enkla fraser som kopieras och pr\u00e4ntas in och f\u00f6rs vidare. Och h\u00e4r uppf\u00f6rs detta mekaniskt malande drama av levande akt\u00f6rer. Det g\u00f6r honom alldeles kn\u00e4svag av f\u00f6rf\u00e4ran, bristen p\u00e5 proportioner och n\u00e4rhet, s\u00e4ttet att m\u00e5ngfaldiga k\u00e4rlek och sex, det stora antalet och den formade massan. Det skr\u00e4mmer honom verkligen, att se en hel folkhop f\u00f6rvandlas till ett skulpterat f\u00f6rem\u00e5l. Den liknar en leksak i trettontusen delar som bara knallar p\u00e5, en oskyldig och hotfull grej. Han h\u00e5ller kikaren riktad hela tiden, och nu grips han av en l\u00e4tt desperation, ett behov av att hitta henne och p\u00e5minna sig om vem hon \u00e4r. Frisk, intelligent, tjugoett, allvarligt lagd, med ett eget jag i beh\u00e5ll, en stormig sj\u00e4l, nyans och skugga, ett raster av sm\u00e5 precisa egenheter som de aldrig kan ta ur henne. Det \u00e4r i varje fall vad han hoppas och ber om, os\u00e4ker p\u00e5 kraften i deras egen massb\u00f6n. N\u00e4r den Gamla Guden f\u00f6rsvinner ber de till flugor och kapsyler. Det hemska \u00e4r att de f\u00f6ljer mannen f\u00f6r att han ger dem vad de beh\u00f6ver. Han besvarar deras l\u00e4ngtan, avlastar dem all fri vilja och sj\u00e4lvst\u00e4ndig tanke. Se s\u00e5 lyckliga de ser ut.\n\nRunt den stora stadion brer hyreshus\u00f6knen ut sig, en milsvid mardr\u00f6m, med m\u00e4n som sitter framf\u00f6r urbl\u00e5sta byggnader och v\u00e4ger stolen mot v\u00e4ggen, soffor som brinner p\u00e5 \u00f6detomterna, och dessa tusentals m\u00e4ssande ryser i solen och k\u00e4nner att framtiden tr\u00e4nger sig p\u00e5 och rasar samman \u00f6ver dem, att de \u00f6verallt \u00e4r omgivna av tecken p\u00e5 den Yttersta Dagens d\u00f6mda landskap och m\u00e4nskliga kamp, och h\u00e4r mitt i ledet, i fokus och striph\u00e5rig, st\u00e5r Karen Janney med en knippa stj\u00e4rnblommig jasmin i handen och t\u00e4nker p\u00e5 den kommande blodstormen. Hon v\u00e4ntar p\u00e5 att f\u00e5 t\u00e5ga f\u00f6rbi Master och ser honom med massans enda sv\u00e4vande \u00f6ga som inte g\u00e5r att skilja fr\u00e5n hennes egen synutrustning, men som ser skarpare, uppfattar mer. Hon k\u00e4nner sig hel, bestr\u00e5lad av v\u00e4lm\u00e5ga. S\u00e5 k\u00e4nner de sig allihop, dessa unga m\u00e4nniskor fr\u00e5n femtio l\u00e4nder, som gjorts immuna mot jag-spr\u00e5ket. De \u00e4r p\u00e5 v\u00e4g att gl\u00f6mma vilka de \u00e4r under sina kl\u00e4der, de l\u00e4mnar bakom sig alla fysiska sm\u00e5 \u00e5kommor och kr\u00e4mpor, den o\u00e4ndliga listan \u00f6ver bl\u00f6dande tandk\u00f6tt och svettig nacke och akut kissn\u00f6dighet, klassiskt bullrande mage, kortvariga rysningar och tics, den svampiga fuktigheten mellan t\u00e5rna, det djupa hugget intill skulderbladet som p\u00e5minner om att man \u00e4r d\u00f6dlig. Helt borta nu. De st\u00e5r och m\u00e4ssar, st\u00e4rkta av m\u00e4ngdens blod.\n\nKaren sneglar p\u00e5 den mild\u00f6gde och knubbige Kim Jo Pak i sin fina nya kostym och sina fyrkantiga skor, make-f\u00f6r-evigt.\n\nHon vet att hennes k\u00f6ttsliga f\u00f6r\u00e4ldrar st\u00e5r uppe p\u00e5 l\u00e4ktarna n\u00e5gonstans. Vet vad de s\u00e4ger, ser gesterna och minerna. Pappa som f\u00f6rs\u00f6ker ta hj\u00e4lp av den gamla skollogiken f\u00f6r att f\u00e5 n\u00e5got grepp om det hela. Mamma med den d\u00e4r jagade blicken som betyder att hon har f\u00f6tts till v\u00e4rlden enbart f\u00f6r att lida. De st\u00e5r runt omkring oss, f\u00f6r\u00e4ldrar i tusental, skr\u00e4mda av v\u00e5r intensitet. Det \u00e4r den som skr\u00e4mmer dem. Vi tror p\u00e5 allvar. De uppfostrar oss till att tro men n\u00e4r vi visar dem en \u00e4kta tro kallar de p\u00e5 psykiatriker och polis. Vi vet vem Gud \u00e4r. Det g\u00f6r oss till galningar i denna v\u00e4rld.\n\nKarens tankefl\u00f6de saktar ibland in och v\u00e4xlar \u00f6ver till fasta fraser. De antar en lustigt trubbig form, lik den rudiment\u00e4ra engelska som talas av vissa av Masters n\u00e4rmaste medhj\u00e4lpare.\n\nDe har Gud en-g\u00e5ng-vecka. Kan inte f\u00f6rst\u00e5. Tillsammans m\u00e5ste offra. Bygga Guds hem p\u00e5 jord med h\u00e4nder.\n\nKaren s\u00e4ger till Kim: \u00bbDet \u00e4r h\u00e4r Yankees spelar.\u00ab\n\nHan nickar och ler tomt. Inget hos honom g\u00f6r s\u00e5 starkt intryck p\u00e5 henne som hans h\u00e5r, det \u00e4r blankt och tunt och bl\u00e4cksvart, som p\u00e5 en seriefigur i s\u00f6ndagsbilagan. Det \u00e4r det enda som g\u00f6r honom verklig f\u00f6r henne.\n\n\u00bbBaseboll\u00ab, s\u00e4ger hon och med det ordet sammanfattar hon minst hundra f\u00f6rest\u00e4llningar om lycka, motiv som v\u00e4cks till liv i hejaropen och innerplanssymmetrin, i detaljerna p\u00e5 en dammig diabild. Ordet har en klang om man \u00e4r amerikan, en k\u00e4nsla av samh\u00f6righet och o\u00f6vers\u00e4ttlig tradition. Men hon vill bara ge en antydan om det demokratiska larmet, den historia som handlar om svett och lek under soldallrande eftermiddagar, den \u00f6ppenhet som g\u00f6r spelet till ett slags v\u00e4lkommen till mitt land.\n\nDet andra ordet \u00e4r \u00bbkult\u00ab. Vad de \u00e4lskar att anv\u00e4nda det mot oss. Ger dem den oriktiga term de beh\u00f6ver f\u00f6r att beteckna oss som virr\u00f6gda barn. Och vad de hatar v\u00e5r vilja till arbete och kamp. De vill r\u00f6va oss tillbaka till gr\u00e4smattornas v\u00e4rld. Att vi \u00e4r beredda att leva p\u00e5 resande fot, sova p\u00e5 golvet, tr\u00e4nga ihop oss i sk\u00e5pbilar och k\u00f6ra hela natten f\u00f6r att samla in pengar och tj\u00e4na Master. Att v\u00e5r sanne fader \u00e4r utl\u00e4nning och icke-vit. Vad de i tysthet f\u00f6raktar. V\u00e5ra rum st\u00e5r och v\u00e4ntar. De har v\u00e5ra namn p\u00e5 sina l\u00e4ppar. Men vi befinner oss p\u00e5 livstids avst\u00e5nd, gr\u00e5tande under timmar av knytn\u00e4vsdunkande b\u00f6n.\n\nV\u00e4rld i spillror. Det \u00e4r sista striden. Men plan finns. Pali-pali. Ge skynda-tid till alla m\u00e4nniska.\n\nHon dr\u00f6mmer inte l\u00e4ngre, inte annat \u00e4n om Master. Alla dr\u00f6mmer om honom. De ser honom i syner. Han st\u00e5r hos dem i rummet n\u00e4r hans tredimensionella kropp \u00e4r tusentals kilometer bort. De talar om honom och gr\u00e5ter. T\u00e5rarna rinner \u00f6ver kinderna och bildar p\u00f6lar p\u00e5 golvet och droppar ner i rummet inunder. Han ing\u00e5r i sammans\u00e4ttningen av deras proteiner. Han h\u00f6jer dem \u00f6ver de vardagliga fragmenten av rum och tid och visar dem det saliga liv som \u00e4r h\u00e4ngivet det vardagliga, arbetet, b\u00f6nen och lydnaden.\n\nRodge r\u00e4cker \u00f6ver kikaren till Maureen. Hon skakar best\u00e4mt p\u00e5 huvudet. Det \u00e4r som att leta efter en anh\u00f6rigs lik i f\u00f6r\u00f6delsen efter en orkan.\n\nTusentals ballonger stiger i knippen och sv\u00e4var f\u00f6rbi kanten p\u00e5 \u00f6vre l\u00e4ktaren. Karen lyfter sl\u00f6jan och skrider fram nedanf\u00f6r predikstolen, som p\u00e5 tre sidor \u00e4r inh\u00e4gnad av skotts\u00e4kra sk\u00e4rmar. Hon k\u00e4nner st\u00f6ten fr\u00e5n Masters ande, soleruptionen fr\u00e5n en karismatisk sj\u00e4l. Aldrig f\u00f6rr s\u00e5 n\u00e4ra. Han st\u00e4nker \u00e5nga fr\u00e5n en helig flaska i ansiktet p\u00e5 henne. Hon ser att Kim r\u00f6r p\u00e5 l\u00e4pparna och f\u00f6ljer Masters s\u00e5ng ord f\u00f6r ord. Hon har kommit s\u00e5 n\u00e4ra l\u00e4ktarna att hon ser hur folk tr\u00e4ngs vid r\u00e4ckena och st\u00e5r \u00f6verallt f\u00f6r att fotografera. Hade hon n\u00e5gonsin kunnat f\u00f6rest\u00e4lla sig att hon skulle st\u00e5 p\u00e5 en idrottsarena i New York och bli fotograferad av tusentals m\u00e4nniskor? Det finns kanske lika m\u00e5nga som fotograferar som det finns brudgummar och brudar. En av dem f\u00f6r var och en av oss. Klick-klick. Tanken g\u00f6r paren lite vimmelkantiga. De k\u00e4nner att rummet sprider sig. De \u00e4r h\u00e4r men ocks\u00e5 d\u00e4r, redan i albumen och diaprojektorerna, de fyller fotoramarna med sina mikrokosmiska kroppar, med de sm\u00e5 pysslingjag de f\u00f6rs\u00f6ker g\u00f6ra sig till.\n\nDe sneddar tillbaka mot ytterf\u00e4ltets gr\u00e4splan f\u00f6r att \u00e5ter r\u00e4tta in sig i ledet. Borta vid de b\u00e5da avbytarb\u00e4nkarna uppf\u00f6rs traditionella danser till gonggongar och trummor. Karen f\u00f6rsvinner in i tusentalen, den uppradade m\u00e4ngden. Hon k\u00e4nner rytmen i deras andh\u00e4mtning. De \u00e4r en v\u00e4rldsfamilj nu, varje \u00e4ktenskap \u00e4r en v\u00e4g till fr\u00e4lsning. Master v\u00e4ljer make \u00e5t var och en, han ser i en uppenbarelse hur bakgrund och personlighet st\u00e4mmer \u00f6verens. Det \u00e4r ett uppdrag fr\u00e5n himlen, det \u00e4r f\u00f6rutbest\u00e4mt, varje m\u00e4nniska \u00e4r satt h\u00e4r att m\u00f6ta sin r\u00e4tta h\u00e4lft. Fyrtio dagars \u00e5tskildhet innan de f\u00e5r vara ensamma i ett rum och kan smeka och \u00e4lska varandra. Eller \u00e4nnu l\u00e4ngre. \u00c5r om Master anser det n\u00f6dv\u00e4ndigt. Duscha kallt. Det \u00e4r denna str\u00e4nghet som lockar de starka. Deras sj\u00e4lvbeh\u00e4rskning trotsar tidsandan, den bryter mot de hemliga koderna, systemen som h\u00e4vdar den enskildes beg\u00e4r. Make och maka g\u00e5r med p\u00e5 att leva i olika l\u00e4nder, att utr\u00e4tta missionsarbete och vidga den kollektiva gemenskapen. Satan avskyr kalla duschar.\n\nMass\u00f6gat str\u00e5lar \u00f6ver dem likt triangel\u00f6gat p\u00e5 en dollarsedel.\n\nEn sm\u00e4llare exploderar, \u00e4nnu en M-80 som brakar i v\u00e4g fr\u00e5n en utg\u00e5ngsramp med en h\u00e5rd dov st\u00f6t som trycker ner huvudet i br\u00f6stet p\u00e5 folk. Maureen ser chockskadad ut. Pojkar tar sig fram p\u00e5 rad f\u00f6rbi tomma s\u00e4ten h\u00f6gst upp p\u00e5 \u00f6vre l\u00e4ktaren, en del \u00e4r bara tio tolv \u00e5r gamla, och de r\u00f6r sig kaxigt, som vore de gatans kungar. Hon best\u00e4mmer sig f\u00f6r att hon inte ser dem.\n\n\u00bbDet s\u00e4ger jag bara\u00ab, s\u00e4ger Rodge. \u00bbJag t\u00e4nker sannerligen unders\u00f6ka den h\u00e4r organisationen. G\u00e5 igenom biblioteken, s\u00e4tta mig vid telefon, ta kontakt med f\u00f6r\u00e4ldrar, verkligen gr\u00e4va. Man h\u00f6r ju om st\u00f6dgrupper som folk kan ringa f\u00f6r allt m\u00f6jligt.\u00ab\n\n\u00bbVi beh\u00f6ver st\u00f6d. Det \u00e4r ett som \u00e4r s\u00e4kert. Men du \u00e4r ljus\u00e5r f\u00f6r sent ute.\u00ab\n\n\u00bbJag tycker vi ska boka om flyget s\u00e5 fort vi kommer till hotellet och sen checka ut och sticka direkt.\u00ab\n\n\u00bbDe kommer att ta betalt f\u00f6r i natt i vilket fall som helst. Vi kan lika g\u00e4rna skaffa biljetter till n\u00e5t.\u00ab\n\n\u00bbJu fortare vi kommer i g\u00e5ng.\u00ab\n\n\u00bbKan knappt h\u00e5lla mig. Himmel. S\u00e5 kul.\u00ab\n\n\u00bbJag vill l\u00e4sa allt jag kan komma \u00f6ver. Har bara \u00f6gnat lite men det var f\u00f6r att jag inte visste att hon var inblandad i n\u00e5t s\u00e5 storslaget. Vi borde skaffa fram vartenda journummer och se vilka det finns som man kan prata med.\u00ab\n\n\u00bbDu l\u00e5ter som en s\u00e5n d\u00e4r typ som drabbas av n\u00e5n ovanlig sjukdom och l\u00e4ser varenda artikel han kan hitta i l\u00e4karb\u00f6ckerna, som ringer upp specialister i tre v\u00e4rldsdelar och jagar efter folk med samma hemska \u00e5komma.\u00ab\n\n\u00bbL\u00e5ter inte s\u00e5 dumt, Maureen.\u00ab\n\n\u00bbDe flyger till Houston f\u00f6r att tala med den b\u00e4ste. Den b\u00e4ste finns alltid i Houston.\u00ab\n\n\u00bbVad \u00e4r det f\u00f6r fel med att ta reda p\u00e5 s\u00e5 mycket man kan?\u00ab\n\n\u00bbMan beh\u00f6ver inte tycka det \u00e4r _roligt_.\u00ab\n\n\u00bbDet handlar inte om att ha roligt. Det \u00e4r v\u00e5r skyldighet mot Karen.\u00ab\n\n\u00bbVar \u00e4r hon f\u00f6rresten?\u00ab\n\n\u00bbDet t\u00e4nker jag sannerligen.\u00ab\n\n\u00bbDu h\u00f6ll p\u00e5 och spanade s\u00e5 plikttroget. Hur \u00e4r det, har du redan tr\u00f6ttnat?\u00ab\n\nEn vind bl\u00e5ser upp, s\u00e5 att sl\u00f6jor frasar och lyfts. M\u00e5nga par ropar till av \u00f6verraskning, de sveps med i en ov\u00e4ntad luftig flykt, en livlig r\u00f6relse. De minns att de till stor del \u00e4r barn, och inte helt och h\u00e5llet har vuxit ifr\u00e5n det smittande fnittret. De har trots allt ett gemensamt f\u00f6rflutet. Karen t\u00e4nker p\u00e5 alla n\u00e4tter som hon sovit i en sk\u00e5pbil, eller ett \u00f6verfullt rum, och stigit upp klockan fem f\u00f6r att be och sedan ut p\u00e5 gatorna med sitt blomsterlag. Det fanns en flicka som hette June och som tyckte att hon h\u00f6ll p\u00e5 att krympa, \u00e5terg\u00e5 till barnstorlek. De kallade henne Junette. Hennes h\u00e4nder kunde inte gripa om de minimala tv\u00e5larna p\u00e5 Amerikas motelltoaletter. De andra i laget uppfattade inte detta som orimligt. Hon s\u00e5g bara vad som faktiskt fanns d\u00e4r, evighetens smygande skepnad under den fysiska v\u00e4rldens f\u00e4rglager och glutamater.\n\nAlla dessa d\u00f6mda landskap. N\u00e4tter inne i centrum, nakenshower i betongbunkrar, slummen med sitt containerskr\u00e4p. Alla dessa avfolkade gator i villakvarter vid utkanten av storstadsomr\u00e5den, midjeh\u00f6ga tr\u00e4d och v\u00e5t tj\u00e4ra som ryker \u00f6ver uppfarterna och feta skallerormar som sl\u00f6ar i skrevorna bakom det senast byggda sluttningshuset. Karen slet f\u00f6r att klara fyrahundra-dollar-om-dagen-kravet, mest s\u00e5lde hon sm\u00e5rosor och borstnejlikor. Bara tassade in n\u00e5gonstans och rusade ut. Rader av prydliga hem i piskande regn. Folk som h\u00e4ngde \u00f6ver borden klockan fem p\u00e5 eftermiddagen p\u00e5 kasinon i \u00f6knen. Progressive Slot Jackpots. V\u00e4lkomna Chaffisar. Hon fastade p\u00e5 flytande f\u00f6da en vecka, sedan kastade hon sig \u00f6ver en trave Big Mac. Genom sv\u00e4ngd\u00f6rrarna in i hotellfoaj\u00e9er och varuhus tills s\u00e4kerhetsvakterna kom ilande med sina walkie-talkies och persons\u00f6kare och magnumpistoler.\n\nDe satt p\u00e5 kn\u00e4 och bad med h\u00e4nderna i kors \u00f6ver pannan, djupt nerb\u00f6jda, hopkurade som of\u00f6dda barn.\n\nI sk\u00e5pbilen var allting viktigt, vartenda ord var av betydelse, ibland kunde femton, sexton systrar packa ihop sig, sitta och sjunga you are my sunshine, row, row, row, rabbla det pekuni\u00e4ra m\u00e5let. Satan \u00e4ger den fallna v\u00e4rlden.\n\nHon travade knippen med gula sm\u00e5rosor i h\u00f6gar om sju, talsymbolen f\u00f6r perfektion. Det h\u00e4nde att hon inte bara t\u00e4nkte p\u00e5 knagglig engelska utan talade h\u00f6gt med tonfall fr\u00e5n l\u00e4gren och f\u00f6rel\u00e4sningarna, predikade f\u00f6r systrarna i sk\u00e5pbilen, hetsade dem att s\u00e4lja, uppn\u00e5 m\u00e5let, sno \u00e5t sig st\u00e5larna, och de visste inte om de skulle bli uppeldade av den kusliga imitationen eller anm\u00e4la henne f\u00f6r bristande respekt.\n\nJunette var en virvel av fruktan. Allt var f\u00f6r mycket f\u00f6r henne, f\u00f6r stort och f\u00f6r levande. Systrarna bad med henne och gr\u00e4t. Vatten skvalpade i blomsterhinkarna. De hade s\u00e4ljt\u00e4vling tjugoen dagar i str\u00e4ck, tre timmars s\u00f6mn \u00e5t g\u00e5ngen. N\u00e4r en syster rymde str\u00f6dde de heligt salt \u00f6ver kl\u00e4derna hon l\u00e4mnat efter sig. De rabblade: Vi \u00e4r st\u00f6rst, vi \u00e4r b\u00e4st, himmelske fader, vi s\u00e4ljer mest.\n\nEfter midnatt p\u00e5 n\u00e5gon bar i den \u00f6dsliga vintertystnad man kallar innerstadsslum. Guds egen ensamma r\u00f6st. K\u00f6p en nejlika, sir. Karen var tacksam att hon fick vandra bland s\u00e4mre lottade, dessa nattens h\u00e4rskaror. Hon f\u00f6rsatte sig i ett slags trans och gled fr\u00e5nvarande och martyrisk genom de torftiga lokalerna som skr\u00e4nade av fr\u00e4mmande sinnen. N\u00e5gra fastvuxna barg\u00e4ster k\u00f6pte en blomma eller tv\u00e5, m\u00e4n med l\u00e5nga platta fingertoppar och gl\u00e4nsande naglar, uppiggade av det fr\u00e4mmande, eller m\u00e4n i hatt som med of\u00f6rvitliga miner sp\u00e4nde blicken i den regnrockskl\u00e4dda flickan. Vad \u00e4r det nu f\u00f6r skit de kommer hit och j\u00e4klas med oss om? Ett gammalt fyllo med svett p\u00e5 \u00f6verl\u00e4ppen sa konstiga saker till henne. Hon blev r\u00e4tt ofta utkastad. Var inte s\u00e5 en\u00f6gd, sir. Spanade genast ner\u00e5t gatan efter n\u00e5gon annan dyster bar.\n\nGruppledaren sa: M\u00e5ste s\u00e4tta fart, tjejer. Pali-pali.\n\nInne i sk\u00e5pbilen blev varje sanning uppf\u00f6rstorad, allt de sa och gjorde skilde dem fr\u00e5n el\u00e4ndesdansen som p\u00e5gick d\u00e4r ute. De kikade genom f\u00f6nstren och s\u00e5g ansiktena p\u00e5 m\u00e4nniskor i en fallen v\u00e4rld. Det fullbordade deras gemenskap med den sanne fadern. Be hela natten ibland, allihop, m\u00e4ssa, skrika, flyga upp fr\u00e5n b\u00f6nest\u00e4llning, underbara klagande b\u00f6ner till Master, o _ja_ , o _tack_ , t\u00e4tt ihop p\u00e5 motellrum i Denvers avkrokar.\n\nKaren sa till dem: Vilket ni vill sova, fem timme eller fyra?\n\nFYRA.\n\nHon sa: Vilket ni vill sova, fyra timme eller tre?\n\nTRE.\n\nHon sa: Vilket ni vill sova, tre timme eller ingen?\n\nINGEN.\n\nI sk\u00e5pbilen var varje regel dubbelt s\u00e5 viktig, varje syster genomgick rutinm\u00e4ssig granskning av sitt s\u00e4tt att kl\u00e4 sig, be, borsta h\u00e5ret, borsta t\u00e4nderna. De visste att det bara fanns ett s\u00e4tt att l\u00e4mna sk\u00e5pbilen utan att drabbas av livsl\u00e5ng rotl\u00f6shet och skuld. Ta efter det handledssk\u00e4rande modet. Eller kliva ut genom ett h\u00f6ghusf\u00f6nster. Det \u00e4r b\u00e4ttre att tr\u00e4da ut i gr\u00e5 rymd \u00e4n att svika Master.\n\nGruppledaren sa: Planera hela din dag. Och sen st\u00e5 p\u00e5, st\u00e5 p\u00e5, st\u00e5 p\u00e5 mer \u00e4nd\u00e5.\n\nHavregrynsgr\u00f6t och vatten. Br\u00f6d och sylt. Row, row, row your boat. Karen sa till dem: Bort med s\u00f6mn, det h\u00f6r till synder. Bort med vikt, det h\u00f6r till synder. Bort med h\u00e5r, bort med nagel fr\u00e5n finger, bort med hel hand, hel arm, det komma i v\u00e5gsk\u00e5l och v\u00e4ga mot synder.\n\nMannen i Indiana som \u00e5t upp rosen han k\u00f6pte av henne.\n\nRusa genom k\u00f6pcentret i solnedg\u00e5ngen f\u00f6r att uppn\u00e5 dagens m\u00e5l. G\u00e5 till blixtanfall mot tv\u00e4ttomater och busstationer. Knacka d\u00f6rr f\u00f6r polishundsprojekt, s\u00e4ga Pengarna g\u00e5r till st\u00f6d \u00e5t missbrukare, frun. Junette kidnappad av sina f\u00f6r\u00e4ldrar i Skokie, Illinois. Tejpa upp slokande blommor f\u00f6r att f\u00e5 dem n\u00e5gorlunda s\u00e4ljbara. Vansinnigt v\u00e4der p\u00e5 sl\u00e4tterna. Somna \u00f6ver maten, klippande \u00f6gon, d\u00e5sa p\u00e5 toa, dra timmerstockar, ta en liten tupplur, nicka till, knyta sig, kinesa var som helst, helt slut, borta f\u00f6r v\u00e4rlden, sova som en gris, som en stock, m\u00e5ste f\u00e5 en blund, slagga, vad som helst f\u00f6r att f\u00e5 nanna lite, sussa, slafa, slumsa en stund med John Blund. B\u00f6neritualen hj\u00e4lpte dem att st\u00e4ndigt st\u00e5 p\u00e5 mer \u00e4nd\u00e5, fick det usla blodet att dunka. V\u00e4l medvetna om negativa media som \u00f6kade tvivlen tusenfalt f\u00f6r mindre h\u00e4ngivna systrar. Hokuspokus hela dan. Kallaste vintern i de h\u00e4r trakterna sedan man b\u00f6rjade f\u00f6ra statistik. Rabbla det pekuni\u00e4ra m\u00e5let.\n\nGruppledaren sa: M\u00e5ste skynda, skynda, skynda. Pali-pali, tjejer.\n\nRodge sitter d\u00e4r i sin skrynkliga sportjacka, fickorna \u00e4r fullproppade med resecheckar, kreditkort och tunnelbanekartor, och han stirrar genom objektiven och stirrar och stirrar och det enda han ser \u00e4r upprepning och hoppl\u00f6shet. De har b\u00f6rjat m\u00e4ssa igen, ett enda ord nu, om och om igen, och han h\u00f6r inte om det \u00e4r engelska eller ett annat k\u00e4nt spr\u00e5k eller om det \u00e4r n\u00e5gon sorts hejaramsa fr\u00e5n himlen. Karen syns inte till. Han l\u00e4gger ner kikaren. Folk fotograferar fortfarande. Han v\u00e4ntar sig n\u00e4stan att den rabblande massan ska fara i v\u00e4dret, att alla trettontusen l\u00e5ngsamt ska stiga i h\u00f6jd med taket \u00f6ver l\u00e4ktaren, burna av fotograferandet, en t\u00e4tnande aura, str\u00e5lande brudar som kramar h\u00e5rt om brudbuketten, brudgummar som visar soliga t\u00e4nder. En r\u00f6kbomb sv\u00e4var ut fr\u00e5n st\u00e5platserna och sl\u00e4pper i v\u00e4g en svans fluorescerande dimma.\n\nMaster leder m\u00e4ssandet, _Mansei_ , tiotusen \u00e5r av seger. De saliggjorda paren r\u00f6r unisont p\u00e5 l\u00e4pparna, f\u00f6ljer ekot fr\u00e5n hans h\u00f6gtalarf\u00f6rst\u00e4rkta r\u00f6st. Det finns en naken n\u00e4rvaro i deras ansikten, en h\u00e4nf\u00f6rd beundran som n\u00e4stan sm\u00e4rtar. Han \u00e4r Herre av den Andra Tillkommelsen, l\u00f6sningen p\u00e5 mycket ont. Hans r\u00f6st leder dem bortom k\u00e4rlek och gl\u00e4dje, bortom sk\u00f6nheten i deras mission, l\u00e5ngt bortom mirakel och egen underkastelse. Det finns n\u00e5got i m\u00e4ssandet, rabblandet i sig, detta att vara ett, som f\u00f6r dem vidare med sin kraft. Deras r\u00f6ster v\u00e4xer i styrka. De b\u00e4rs av ljudet, av stigningen och fallet. M\u00e4ssandet blir gr\u00e4nserna f\u00f6r v\u00e4rlden. De ser sin Master som en stod, lysande vit mot skuggorna, mot stadions m\u00e4ktiga kurva. Han lyfter armarna och m\u00e4ssandet blir h\u00f6gre och de unga armarna h\u00f6js. Han leder dem bortom religion och historia, tusentals gr\u00e5ter nu, alla armar rakt upp. De grips av en stark l\u00e4ngtan. De vet genast, de k\u00e4nner den, alla tillsammans, en l\u00e4ngtan sedan urminnes tid, som pulserar i jordens blod. Detta \u00e4r vad m\u00e4nniskor har s\u00f6kt \u00e4nda sedan medvetandet f\u00f6rf\u00f6ll. M\u00e4ssandet f\u00f6r dem n\u00e4rmare Yttersta Dagen. M\u00e4ssandet \u00e4r Yttersta Dagen. De k\u00e4nner kraften i den m\u00e4nskliga r\u00f6sten, kraften i ett enda ord som upprepas medan det f\u00f6r dem l\u00e4ngre in i enighet. De m\u00e4ssar om v\u00e4rldsh\u00e4rjande extas, om sanningen i profetior och underverk. De m\u00e4ssar om nytt liv, evig frid, slut p\u00e5 den sj\u00e4lsliga ensamhetens sm\u00e4rta. N\u00e5gon uppe p\u00e5 estraden sl\u00e5r p\u00e5 en v\u00e4ldig trumma. De m\u00e4ssar om ett spr\u00e5k, ett ord, f\u00f6r den dag d\u00e5 alla namn har upph\u00e4vts.\n\nKaren st\u00e5r underligt nog och dagdr\u00f6mmer. Det blir inte helt l\u00e4tt att v\u00e4nja sig, en man som heter Kim. Hon har k\u00e4nt flickor som hette Kim sedan hon var en j\u00e4nta i soldr\u00e4kt. Flera stycken faktiskt. Kimberleys och vanliga Kims. Se s\u00e5 hans h\u00e5r gl\u00e4nser i solen. Min man, hur konstigt det \u00e4n l\u00e5ter. De ska st\u00e5 hela och be tillsammans och inpr\u00e4nta varje ord av Masters l\u00e4ror i minnet.\n\nDe tusentals st\u00e5r och m\u00e4ssar. Runt omkring dem i v\u00e4rlden \u00e5ker m\u00e4nniskor upp i hissar och sneglar f\u00f6rstulet p\u00e5 ansikten p\u00e5 v\u00e4g ner. M\u00e4nniskor dinglar med tep\u00e5sar \u00f6ver hett vatten i vita koppar. Bilar k\u00f6r tyst p\u00e5 motorv\u00e4garna, strimmor av f\u00e4rgat ljus. M\u00e4nniskor sitter vid skrivbord och glor p\u00e5 kontorsv\u00e4ggar. De luktar p\u00e5 sina skjortor och sl\u00e4nger dem i tv\u00e4ttkorgen. M\u00e4nniskor sp\u00e4nner fast sig i numrerade s\u00e4ten och flyger genom tidszoner och h\u00f6ga cirrusmoln och svart natt, klart medvetna om att det \u00e4r n\u00e5got de har gl\u00f6mt att g\u00f6ra.\n\nFramtiden tillh\u00f6r massorna.\n\n# DEL ETT\n\n#  1\n\nHAN gick l\u00e4ngs hyllorna i bokhandeln med muzak i \u00f6ronen. De vackra omslagen stod p\u00e5 rad, framg\u00e5ngsrika och sj\u00e4lvgoda. Han k\u00e4nde en l\u00e4tt upphetsning n\u00e4r han v\u00e4gde en ny bok i handen, grep om en sl\u00e4t rygg, s\u00e5g bokst\u00e4ver hoppa f\u00f6rbi tummen medan han bl\u00e4ddrade. Han var en ung man, skarpsynt i sin iver, som visste att det fanns b\u00f6cker han ville l\u00e4sa och andra han absolut m\u00e5ste \u00e4ga; de som ger en speciell signal, som har n\u00e5got ovanligt eller utmanande \u00f6ver sig, en laddad hetta som solkar luften omkring dem. Han stod och bl\u00e4ddrade vid den s\u00f6dra v\u00e4ggen och granskade alla f\u00f6rfattarfoton. Han unders\u00f6kte b\u00f6ckerna som l\u00e5g travade p\u00e5 borden och stod grupperade n\u00e4ra kassorna. Han s\u00e5g staplar p\u00e5 golvet som var n\u00e4stan mansh\u00f6ga, ordnade i flotta solfj\u00e4dersm\u00f6nster. Det fanns b\u00f6cker som stod p\u00e5 piedestaler, som var hopbuntade i sm\u00e5 gotiska b\u00e5s. Bokhandlar gjorde honom l\u00e4tt illam\u00e5ende ibland. Han betraktade de bl\u00e4nkande stors\u00e4ljarna. Folk sl\u00e4ntrade genom aff\u00e4ren, som om de vore bl\u00e4ndade av ett olycksaligt skimmer. Det stod b\u00f6cker p\u00e5 branta avsatser och v\u00e4ggfasta melaminhyllor, b\u00f6cker i pyramider och temaskyltningar. Han gick en trappa ner till pocketb\u00f6ckerna, d\u00e4r han glodde p\u00e5 massupplagornas omslag och gled smeksamt med fingertoppen \u00f6ver de upph\u00f6jda bokst\u00e4verna. Omslagen var lackerade och f\u00f6rgyllda. B\u00f6cker l\u00e5g nerb\u00e4ddade i niofacks skyltst\u00e4ll likt kuv\u00f6sbarn. Han h\u00f6rde hur de skrek _K\u00f6p mig_. Det fanns affischer f\u00f6r bokveckor och bokm\u00e4ssor. Folk banade sig v\u00e4g runt fraktkartonger, klev \u00f6ver utspridda b\u00f6cker p\u00e5 golvet. Han gick till avdelningen f\u00f6r moderna klassiker och hittade Bill Grays tv\u00e5 tunna romaner i de senaste l\u00e5gprisutg\u00e5vorna, ett matchande par i spartanskt umbrabrunt och rostr\u00f6tt. Han tyckte om att titta efter Bill p\u00e5 hyllorna.\n\nP\u00e5 v\u00e4g ut ur aff\u00e4ren s\u00e5g han en man i s\u00f6nderriven jacka komma invinglande, vildvuxen och skitig, med spottfrost i sk\u00e4gget och gamla s\u00e5r i pannan som blivit mjuka och smuliga. M\u00e4nniskor stelnade till mitt i r\u00f6relsen f\u00f6r att inte komma innanf\u00f6r smittogr\u00e4nsen. Mannen s\u00e5g sig om efter n\u00e5gon att tala med. Det var ett stort ljust rum och \u00f6verallt stod stelnade gestalter med bortv\u00e4nda blickar. Trafiken d\u00e5nade ute p\u00e5 gatan. Han hade ena byxbenet nerstoppat i en tillbucklad gummist\u00f6vel, det andra sl\u00e4pade i remsor \u00f6ver golvet. En s\u00e4kerhetsvakt n\u00e4rmade sig fr\u00e5n mellanv\u00e5ningen och mannen h\u00f6jde tjocka h\u00e4nder i en f\u00f6rklarande gest.\n\n\u00bbJag skulle signera mina b\u00f6cker\u00ab, sa han.\n\nAlla v\u00e4ntade medan orden f\u00e4rdades genom rummet och l\u00e5ngsamt avsl\u00f6jade sin inneb\u00f6rd.\n\n\u00bbGe hit en penna s\u00e5 jag kan signera b\u00f6ckerna d\u00e5.\u00ab\n\nVakten kom n\u00e4rmare, utan att se direkt p\u00e5 mannen som snabbt tog ett steg tillbaka.\n\n\u00bbBort med h\u00e4nderna. Det finns inget som s\u00e4ger att du f\u00e5r ta i mig. Bara det allts\u00e5, du h\u00e5ller h\u00e4nderna ifr\u00e5n mig.\u00ab\n\nFolk f\u00f6rstod att de kunde r\u00f6ra sig igen. Bara en vanlig New York-scen. Vakten f\u00f6ljde mannen ut genom sv\u00e4ngd\u00f6rren och Scott gick efter. Han b\u00f6rjade bli lite sen men ville ta en titt p\u00e5 Warholsakerna l\u00e4ngre bort p\u00e5 gatan. Det var fullt av folk i museets foaj\u00e9. Han gick en trappa ner d\u00e4r m\u00e4nniskor vankade med nerv\u00f6st s\u00f6kande steg framf\u00f6r m\u00e5lningarna. Han gick f\u00f6rbi dukarna med elektriska stolen, de m\u00e5ngfaldigade nyhetsbilderna av bilolyckor och filmstj\u00e4rnor och snart vande han sig vid det \u00e4ngsliga vimlandet, det k\u00e4ndes helt r\u00e4tt med folk som var angel\u00e4gna om att bli uppslukade, str\u00e5lbeskjutna av ber\u00f6mmelse och d\u00f6d. Scott hade aldrig sett bilder som var s\u00e5 likgiltiga f\u00f6r den effekt de hade p\u00e5 sina \u00e5sk\u00e5dare. V\u00e4ggarna tittade bort mot himlen med en fantastisk grund blick. Han stod framf\u00f6r ett silkscreentryck betitlat _Massa_. Bilden var oregelbunden med kraftiga str\u00e5k som randade duken, och det s\u00e5g ut som om det var sj\u00e4lva massan, det v\u00e4ldiga n\u00e4tet av m\u00e4nniskor, som revs s\u00f6nder av n\u00e5gon tillf\u00e4llig mediakatastrof. Han gick vidare och kom in i ett rum med en m\u00e4ngd portr\u00e4tt p\u00e5 ordf\u00f6rande Mao. Fotostat-Mao, serigrafi-Mao, tapet-Mao, syntetisk polymer-Mao. En serie silkscreentryck hade h\u00e4ngts \u00f6ver en st\u00f6rre yta med tapetserigrafier, h\u00e4r var ordf\u00f6randens ansikte mer pens\u00e9lila och sv\u00e4vade n\u00e4stan fritt \u00f6ver sitt fotografiska underlag. Arbeten med en historisk omedvetenhet tilltalade Scott. Han tyckte de var befriande. Hade han uppt\u00e4ckt den djupare inneb\u00f6rden av Mao innan han s\u00e5g dessa bilder? En tunnelbana mullrade f\u00f6rbi i grottm\u00f6rkret strax intill. Han stod och tittade en stund, och k\u00e4nde ett underligt lugn trots att folk oavbrutet gick ut och in. Svallet av kroppar \u00e5stadkom ett eget d\u00e4mpat brus.\n\nUte p\u00e5 gatan f\u00f6ljde en kvinna i vadderad jacka efter honom. Han fick intrycket att hon var liten, hade stubbat h\u00e5r och att hon bar n\u00e5got slags djur innanf\u00f6r jackan. Han skyndade p\u00e5 stegen men hon h\u00e4ngde med och sa: \u00bbNi \u00e4r inte h\u00e4rifr\u00e5n s\u00e5 er kan jag prata med.\u00ab\n\nHan var n\u00e4ra att v\u00e4nda sig om och titta p\u00e5 henne men s\u00e5 t\u00e4nkte han nej.\n\nOch sa: \u00bbBli inte skrajsen f\u00f6r mej, herrn, jag vill bara snacka.\u00ab\n\nHan gick fortare och tittade rakt fram och hon var fortfarande d\u00e4r vid hans axel och sa: \u00bbJag fastna f\u00f6r ert ansikte p\u00e5 direkten och t\u00e4nkte det h\u00e4r \u00e4r n\u00e5n jag kan lita p\u00e5.\u00ab\n\nHan pekade p\u00e5 ett blinkande trafikljus och hoppades att hon skulle f\u00f6rst\u00e5 att han hade br\u00e5ttom och nu var det adj\u00f6 och ta inte illa upp f\u00f6r all del, men hon sm\u00e5sprang \u00f6ver gatan i h\u00e4larna p\u00e5 honom och n\u00e4r de var framme vid trottoarkanten kom hon upp vid sidan om. Det var d\u00e5 hon f\u00f6rs\u00f6kte ge honom djuret. Han v\u00e4nde inte p\u00e5 huvudet f\u00f6r att se vad det var. N\u00e5got m\u00f6rkt och sjukt, fick han intryck av. Han hade b\u00f6rjat springa nu men hon h\u00e4ngde med och sa: \u00bbTa det, herrn, ta det.\u00ab Han lyssnade men t\u00e4nkte inte svara och t\u00e4nkte inte l\u00e5ta henne r\u00f6ra vid honom eller ge honom n\u00e5got hon hade h\u00e5llit i. Han t\u00e4nkte p\u00e5 m\u00e4nniskovraket i bokhandeln som vek undan n\u00e4r vakten str\u00e4ckte ut armen efter honom. Ingendera parten ville bli vidr\u00f6rd.\n\nOch sa: \u00bbTa med det utanf\u00f6r stan, d\u00e4r det har en chans att \u00f6verleva.\u00ab\n\nN\u00e4r det finns tillr\u00e4ckligt med udda saker i v\u00e4rlden blir ingenting udda. Han \u00e5kte upp till foaj\u00e9n i \u00e5ttonde v\u00e5ningen p\u00e5 ett hotell i centrum, ett atriumpalats mitt i Broadwaysmeten, med murgr\u00f6na som h\u00e4ngde ner fr\u00e5n de trappstegsordnade g\u00e5ngbanorna, med spalj\u00e9er och tr\u00e4dlundar, hissar som tysta sj\u00f6nk genom den blottade interi\u00f6ren, en dr\u00f6m som en g\u00e5ng tillh\u00f6rde st\u00e4der vid motorv\u00e4garna. Han s\u00e5g henne vid ett bord n\u00e4ra baren, med en weekendbag och en trunk p\u00e5 golvet intill stolen. Hon var nog \u00f6ver fyrtiofem, trodde han, hade vitblont h\u00e5r som var tjockt och stelt och stod rakt ut runt ett havsblekt ansikte. \u00d6gonen var ljusbl\u00e5, s\u00e5 klara och n\u00e4stan skr\u00e4mmande att han visste att det skulle bli sv\u00e5rt att inte glo.\n\n\u00bbNi m\u00e5ste vara Brita Nilsson.\u00ab\n\n\u00bbHurs\u00e5?\u00ab\n\n\u00bbUtseendet. Jag vet inte, proffsig, kompetent, v\u00e4rldsresen\u00e4r, lite annorlunda. F\u00f6r att inte tala om kamerav\u00e4skan. Det \u00e4r jag som \u00e4r Scott Martineau.\u00ab\n\n\u00bbMin v\u00e4gvisare till fronten.\u00ab\n\n\u00bb\u00c4rligt talat villade jag bort mig flera g\u00e5nger p\u00e5 v\u00e4g in till stan och sen blev jag sk\u00e4rrad av trafiken fast det bara \u00e4r s\u00f6ndagstrafik och till slut kom jag r\u00e4tt och hittade faktiskt en parkeringsplats men det skulle uppst\u00e5 fler f\u00f6rvirrande incidenter, mentala inkr\u00e4ktare, en sorts levande skuggor, och de talar. Jag har inte varit i New York p\u00e5 \u00e5ratal och skulle inte ha n\u00e5t emot att sitta och sm\u00e5prata en liten stund innan vi ger oss i v\u00e4g. Bor ni h\u00e4r?\u00ab\n\n\u00bb\u00c4r ni galen. Nej, jag har en l\u00e4genhet nere i SoHo, men jag tyckte det var enklare att tr\u00e4ffas n\u00e5nstans mer centralt. Det \u00e4r hemskt kul att f\u00e5 den h\u00e4r chansen. Men ni talade om villkor utan att g\u00e5 n\u00e4rmare in p\u00e5 dem. Jag menar, hur mycket tid har jag p\u00e5 mig med honom? Och hur l\u00e4nge ska jag r\u00e4kna med att vara borta, f\u00f6r jag har en tidsplan som ligger r\u00e4tt fast och jag har liksom inte tagit med mig underkl\u00e4der f\u00f6r hur m\u00e5nga dar som helst.\u00ab\n\n\u00bbV\u00e4nta. R\u00f6r vi p\u00e5 oss?\u00ab\n\n\u00bbDet \u00e4r en snurrande bar\u00ab, sa hon.\n\n\u00bbHerregud. Var \u00e4r jag?\u00ab\n\n\u00bb\u00c4r det inte konstigt? New York har fallit.\u00ab\n\nHan s\u00e5g Broadway sv\u00e4va in i det sv\u00e4ngda f\u00f6nstret och det k\u00e4ndes som om bitar av tid och rum hade lossnat och var p\u00e5 drift. Det malplacerade stadshotellet. Reklamen f\u00f6r Mita, Midori, Kirin, Magno, Suntory \u2013 ord som ingick i ett slags syntetiskt masspr\u00e5k, jetlagens esperanto. Och tornet som var under uppf\u00f6rande p\u00e5 andra sidan gatan, insvept och skrudat mot v\u00e4der och vind, d\u00e4r gestalter skymtade f\u00f6rbi bakom glipor i de orangegula skynkena. Han s\u00e5g dem tydligt nu, tre eller fyra killar som lekte p\u00e5 balkarna och fick byggnaden att framst\u00e5 som en ruin, en \u00f6vergiven egendom.\n\n\u00bbJag m\u00e5ste ocks\u00e5 s\u00e4ga att jag inte f\u00f6rst\u00e5r mig p\u00e5 den h\u00e4r ordningen. Jag tar mig hellre dit p\u00e5 egen hand.\u00ab\n\n\u00bbTar er vart? Ni vet ju inte vart ni ska.\u00ab\n\n\u00bbDet kan ni v\u00e4l tala om f\u00f6r mig?\u00ab sa hon.\n\n\u00bbBill kr\u00e4ver att vi g\u00f6r s\u00e5 h\u00e4r.\u00ab\n\n\u00bbLite melodramatiskt kanske?\u00ab\n\n\u00bbBill kr\u00e4ver det. F\u00f6rresten \u00e4r det mycket sv\u00e5rt att hitta till oss.\u00ab\n\n\u00bbOkej. Men varf\u00f6r inte v\u00e4lja neutral mark f\u00f6r karlns egen skull? S\u00e5 beh\u00f6ver ni inte bekymra er f\u00f6r n\u00e5gra avsl\u00f6janden. Hans vistelseort f\u00f6rblir hemlig.\u00ab\n\n\u00bbJag tror inte att ni f\u00e5r s\u00e5 mycket att avsl\u00f6ja. Och Bill vet att ni \u00e4nd\u00e5 inte s\u00e4ger n\u00e5t.\u00ab\n\n\u00bbHur vet han det?\u00ab\n\n\u00bbVi s\u00e5g artikeln om er i _Aperture_. Det var d\u00e5 vi best\u00e4mde oss f\u00f6r er. Och han kan inte tr\u00e4ffa er n\u00e5n annanstans, f\u00f6r han \u00e5ker ingenvart utom f\u00f6r att g\u00f6mma sig f\u00f6r boken han h\u00e5ller p\u00e5 med.\u00ab\n\n\u00bbJag \u00e4r hemskt f\u00f6rtjust i hans b\u00f6cker. De betydde verkligen mycket f\u00f6r mig. Och han har inte blivit fotograferad p\u00e5 hur l\u00e4nge? Det m\u00e5ste ju handla om ett antal decennier. S\u00e5 jag kanske bara skulle ta det lugnt?\u00ab\n\n\u00bbNi kanske bara skulle ta det lugnt?\u00ab sa Scott.\n\nOvanf\u00f6r baravdelningen h\u00e4ngde en klocka som snurrade runt inne i ett genombrutet gallertorn. Fr\u00e5n bordet kunde han se rakt igenom den kala spalj\u00e9n och klockinramningen bort till hissarna. Han t\u00e4nkte att han utan sv\u00e5righet skulle kunna sitta hela eftermiddagen och titta p\u00e5 hissarna som steg och sj\u00f6nk, genomskinliga kapslar kantade med ljusramper. De gled ljudl\u00f6st, fastklibbade mot ytan p\u00e5 en j\u00e4ttelik mittrumma. Allting var i r\u00f6relse, allting gick l\u00e5ngsamt runt, det kom musik n\u00e5gonstans ifr\u00e5n. Han iakttog m\u00e4nniskorna inuti de flinka hissarna. H\u00f6gt upp, p\u00e5 g\u00e5ngbanorna, en och annan som tittade ner, huvud och \u00f6verkropp. Han undrade om det d\u00e4r som kvinnan f\u00f6rs\u00f6kte ge honom p\u00e5 gatan kunde ha varit ett nyf\u00f6tt barn. Samma melodislinga om och om igen, n\u00e5gonstans ifr\u00e5n.\n\n\u00bbS\u00e5 ni fotograferar bara f\u00f6rfattare numera.\u00ab\n\n\u00bbBara f\u00f6rfattare. Uppriktigt sagt har jag en sjukdom som heter f\u00f6rfattare. Det tog l\u00e5ng tid f\u00f6r mig att komma p\u00e5 vad jag ville fotografera. Jag kom hit till det h\u00e4r landet f\u00f6r femton \u00e5r sen. Till den h\u00e4r stan n\u00e4rmare best\u00e4mt. Och fr\u00e5n f\u00f6rsta dan sprang jag runt p\u00e5 gatorna och pl\u00e5tade storstadsansikten, storstadsm\u00e4nniskors blickar, knivskurna m\u00e4n, horor, akutmottagningar, inte en chans. Jag h\u00f6ll p\u00e5 med det i flera \u00e5r. Det h\u00e4nde ofta att jag tog ett vidvinkelobjektiv och tryckte p\u00e5 utl\u00f6saren med kameran h\u00e4ngande i en rem p\u00e5 br\u00f6stet f\u00f6r att inte dra till mig fel sorts uppm\u00e4rksamhet, bevare mig. Jag f\u00f6ljde uteliggare mer eller mindre till graven. Och jag brukade g\u00e5 till jourdomstolen p\u00e5 n\u00e4tterna bara f\u00f6r att titta p\u00e5 ansikten. Jag menar New York, vad\u00e5, det \u00e4r min officiella religion. Men efter flera \u00e5r av den varan b\u00f6rjade jag tycka att det p\u00e5 n\u00e5t konstigt s\u00e4tt inte var giltigt. Det spelade ingen roll vad jag kn\u00e4ppte, hur mycket fasa, verklighet, el\u00e4nde, f\u00f6rd\u00e4rvade kroppar, blodiga ansikten, allt blev s\u00e5 j\u00e4vla vackert till slut. Fattar ni? Och d\u00e4rf\u00f6r fick jag sj\u00e4lv r\u00e4kna ut vissa komplicerade saker som f\u00f6rmodligen \u00e4r mycket enkla. Man kommer till en viss \u00e5lder, \u00e4r det inte s\u00e5 det fungerar? D\u00e5 vet man \u00e4ntligen vad man vill \u00e4gna sig \u00e5t.\u00ab\n\nHon \u00e5t rostade jordn\u00f6tter ur sin kupade hand, stoppade en i taget i munnen, och drack pepparvodka.\n\n\u00bbMen visst \u00e4r det sk\u00f6nt h\u00e4r?\u00ab sa han. \u00bbJag blir hypnotiserad av hissarna. Det kan bli en ny last.\u00ab\n\n\u00bbHar man h\u00f6rt p\u00e5 maken\u00ab, sa hon och hennes l\u00e4tta brytning och tydliga uttal av den slitna klyschan gjorde honom mycket lycklig.\n\n\u00bbBara f\u00f6rfattare.\u00ab\n\n\u00bbBara f\u00f6rfattare\u00ab, sa hon.\n\n\u00bbOch ni h\u00e5ller p\u00e5 med en dokumentation, ett slags folkr\u00e4kning i stillbilder.\u00ab\n\n\u00bbJag t\u00e4nker bara forts\u00e4tta att fotografera f\u00f6rfattare, alla jag kan f\u00e5 tag p\u00e5, romanf\u00f6rfattare, poeter, dramatiker. Jag \u00e4r st\u00e4ndigt p\u00e5 jakt s\u00e5 att s\u00e4ga. Jag reser och fotograferar j\u00e4mt. Det \u00e4r vad jag h\u00e5ller p\u00e5 med. F\u00f6rfattare.\u00ab\n\n\u00bbVarenda nuna.\u00ab\n\n\u00bbVarenda man och kvinna som finns d\u00e4r ute och som \u00e4r antr\u00e4ffbar. Om n\u00e5n inte \u00e4r k\u00e4nd s\u00e5 desto b\u00e4ttre. Om jag f\u00e5r v\u00e4lja letar jag helst upp f\u00f6rfattare som f\u00f6rblir ouppt\u00e4ckta. Jag f\u00e5r j\u00e4mt tips, jag f\u00e5r namn och b\u00f6cker fr\u00e5n redakt\u00f6rer och andra f\u00f6rfattare som f\u00f6rst\u00e5r vad jag sysslar med, \u00e5tminstone s\u00e4ger de att de f\u00f6rst\u00e5r f\u00f6r att jag ska m\u00e5 b\u00e4ttre. En planetarisk dokumentation. Som jag ser det \u00e4r det en form av kunskap och minne. Jag l\u00e4mnar ett eget slags vittnesb\u00f6rd. Jag f\u00f6rs\u00f6ker ta det systematiskt, land f\u00f6r land, men det dyker alltid upp problem. Vissa f\u00f6rfattare \u00e4r sv\u00e5ra att hitta. Och det \u00e4r m\u00e5nga som sitter i f\u00e4ngelse. Det \u00e4r alltid besv\u00e4rligt. I vissa fall har jag f\u00e5tt tillst\u00e5nd att fotografera f\u00f6rfattare som sitter i husarrest. Folk b\u00f6rjar k\u00e4nna till mig och det underl\u00e4ttar kontakterna ibland.\u00ab\n\n\u00bbMed myndigheterna.\u00ab\n\n\u00bbJa, och med f\u00f6rfattarna. De g\u00e5r med p\u00e5 att tr\u00e4ffa mig eftersom de vet att jag bara h\u00e5ller p\u00e5 med dokumentation. En artinventering som en f\u00f6rfattare sa. Jag reducerar teknik och mitt eget uttryck s\u00e5 l\u00e5ngt att det g\u00f6r det m\u00f6jligt. Jag vet att jag i tysthet g\u00f6r vissa saker f\u00f6r att f\u00e5 fram vissa effekter. Men vi l\u00e5tsas inte om det, ni och jag. Jag \u00e4r inne p\u00e5 fj\u00e4rde \u00e5ret med det h\u00e4r projektet som av naturliga sk\u00e4l inte har n\u00e5t slut.\u00ab\n\n\u00bbFr\u00e5gan \u00e4r vad som h\u00e4nder med fotona p\u00e5 Bill?\u00ab\n\n\u00bbDet \u00e4r helt och h\u00e5llet er sak. En del bilder l\u00e5ter jag f\u00f6rl\u00e4ggare och media f\u00e5 anv\u00e4nda men bara om f\u00f6rfattaren har gett sitt tillst\u00e5nd. Det \u00e4r p\u00e5 det viset jag kan h\u00e5lla projektet i g\u00e5ng, plus ett antal bidrag. Jag har ett resestipendium som jag \u00e4r helt beroende av. Tidningarna skulle ge vad som helst f\u00f6r ett bildreportage p\u00e5 Bill Gray. Men jag vill inte ge bilder som uppdagar, som s\u00e4ger h\u00e4r har ni honom efter alla dessa \u00e5r. En vanlig atelj\u00e9studie \u00e4r b\u00e4ttre. Jag vill g\u00f6ra bilder som \u00e4r diskreta, ja faktiskt skygga. Som ett p\u00e5g\u00e5ende arbete. Inte s\u00e5 best\u00e5ende och avslutat. Sen tittar ni p\u00e5 kontaktkartorna och best\u00e4mmer hur ni vill att jag ska g\u00f6ra med dem.\u00ab\n\n\u00bbDet var det svar vi hoppades p\u00e5.\u00ab\n\n\u00bbBra. Livet g\u00e5r vidare.\u00ab\n\n\u00bbOch vad h\u00e4nder i slut\u00e4ndan med era f\u00f6rfattarportr\u00e4tt som samling betraktat?\u00ab\n\n\u00bbI slut\u00e4ndan vet jag inte. De pratar om n\u00e5n sorts installation. Konceptkonst. Tusentals bilder i passkortsformat. Men sj\u00e4lv f\u00f6rst\u00e5r jag inte meningen med det. Jag ser det h\u00e4r som ett grundl\u00e4ggande referensmaterial. Det ska bara f\u00f6rvaras. L\u00e4gg bilderna i k\u00e4llaren p\u00e5 n\u00e5t bibliotek. Om folk vill titta, f\u00e5r de komma och fr\u00e5ga. Jag menar, vad betyder ett fotografi om man har l\u00e4st f\u00f6rfattarens b\u00f6cker? Inte vet jag. Men folk beh\u00f6ver visst bilden i alla fall. F\u00f6rfattarens ansikte \u00e4r verkets yta. Det \u00e4r en ledtr\u00e5d till mysteriet inuti. Alla f\u00f6rs\u00f6ker avl\u00e4sa ansikten. Vissa ansikten \u00e4r b\u00e4ttre \u00e4n vissa b\u00f6cker. Eller l\u00e4gg in fotona i en satellit, det skulle vara underbart. Skicka ut dem i rymden. Var h\u00e4lsade. Vi \u00e4r f\u00f6rfattare fr\u00e5n Jorden.\u00ab\n\nHissarna stiger och faller, klockan snurrar, baren g\u00e5r l\u00e5ngsamt runt, reklamen kommer fram igen, trafikljusen v\u00e4xlar, de gula taxibilarna kommer och g\u00e5r. Magno, Minolta, Kirin, Sony, Suntory. Vad \u00e4r det Bill s\u00e4ger? Staden \u00e4r en anordning avsedd att m\u00e4ta tid.\n\n\u00bbDet springer ungar d\u00e4ruppe. Ser ni dem? P\u00e5 tjugonde v\u00e5ningen ungef\u00e4r. Inte klokt va?\u00ab\n\n\u00bbDet \u00e4r farligare p\u00e5 gatorna. Strunta i dem\u00ab, sa hon.\n\n\u00bbGatorna. Det \u00e4r v\u00e4l dags nu.\u00ab\n\n\u00bbD\u00e5 \u00e5ker vi.\u00ab\n\nDe hittade bilen och Scott k\u00f6rde norrut l\u00e4ngs Hudsonfloden och \u00f6ver bron vid Beacon in mot skymning och sidogator, en kort stund p\u00e5 motorv\u00e4gen och sedan \u00f6ver till ett system av tv\u00e5filiga asfaltv\u00e4gar, timmar in i natten, medan landskapet begr\u00e4nsades till det som dyker upp i str\u00e5lkastarskenet, till kurvor och backar och skyltarna f\u00f6re dem, och det var grusv\u00e4gar och stigar och gamla timmerleder, det var branta kullar och skurar av sm\u00e5sten som haglade mot bilen, det var tallskog belyst av m\u00e5nen. Tv\u00e5 n\u00e4stintill fr\u00e4mlingar som satt i nattlig isolering inne i den m\u00f6dosamt brummande lilla bilen, och br\u00f6t l\u00e5nga tystnader med att pl\u00f6tsligt b\u00f6rja tala, efter funderingar och associationer och dagdr\u00f6mmar och all slags tankeverksamhet, ber\u00e4ttelsen som l\u00f6per p\u00e5 strax bakom \u00f6gonen, och orden l\u00e5ter rena och artikulerade i den \u00f6de natten.\n\n\u00bbDet k\u00e4nns som om jag blir f\u00f6rd till en terroristledares hemliga g\u00f6mst\u00e4lle i bergen.\u00ab\n\n\u00bbS\u00e4g det till Bill. Det kommer han att gilla\u00ab, sa Scott.\n\n#  2\n\nDET var m\u00f6rkt i rummet och mannen stod vid f\u00f6nstret och v\u00e4ntade p\u00e5 att ljusk\u00e4glor skulle synas uppe p\u00e5 kullens kr\u00f6n och sedan kryssa \u00f6ver f\u00e4ltet, \u00f6ver tr\u00e4dstubbarna och de b\u00f6jda stj\u00e4lkarna och stenr\u00f6set. Det var inte en ivrig eller n\u00f6dv\u00e4ndig v\u00e4ntan, bara en k\u00e4nsla av att det snart skulle intr\u00e4ffa och att om han stod kvar en stund till skulle han f\u00e5 se bilen sv\u00e4nga in p\u00e5 den uppk\u00f6rda v\u00e4gen, en skumpande skugga bakom str\u00e5lkastarna, komma nerf\u00f6r backen mot huset och ta form. Han best\u00e4mde sig f\u00f6r att r\u00e4kna till tio och om ljusen inte syntes d\u00e5 skulle han s\u00e4tta sig vid skrivbordet och t\u00e4nda lampan och arbeta lite, g\u00e5 igenom det han hade skrivit under dagen, den gnutta sm\u00f6rja, uts\u00f6ndringen av strimmig substans, blodsnysningen, det dagliga ljusa sekret, flagorna av m\u00e4nsklig v\u00e4vnad, som fastnat p\u00e5 sidan. Han r\u00e4knade till tio och n\u00e4r inga ljus d\u00f6k upp r\u00e4knade han till tio en g\u00e5ng till, l\u00e5ngsammare nu, han stod i m\u00f6rkret och lovade sig sj\u00e4lv att den h\u00e4r g\u00e5ngen skulle han verkligen s\u00e4tta sig vid skrivbordet och t\u00e4nda lampan, om inte bilen syntes p\u00e5 kr\u00f6net n\u00e4r han kom till tio, den leriga kombin, och s\u00e4tta i g\u00e5ng eftersom det bara var barn som trodde att de kunde f\u00e5 saker att h\u00e4nda genom att r\u00e4kna, och han r\u00e4knade till tio en g\u00e5ng till och s\u00e5 en g\u00e5ng till och sedan stod han bara d\u00e4r och tittade tills lyktorna \u00e4ntligen d\u00f6k upp, vita blaffor, och bilen v\u00e4nde ner\u00e5t efter kr\u00f6net och ljusen svepte som hastigast \u00f6ver sn\u00e5ren, och underliga barn dessutom, de som skelar och skiter p\u00e5 sig, de som knyter n\u00e4ven n\u00e4r de lipar.\n\nBilen k\u00f6rde in i skenet fr\u00e5n trapplampan. Lerst\u00e4nk nertill p\u00e5 sidorna, lager av smuts som lagt sig i h\u00f6rnen p\u00e5 vindrutan utanf\u00f6r torkarbladens \u00f6verlappande halvcirklar. N\u00e4r de steg ur och gick fram till trappan st\u00e4llde han sig vid d\u00f6rren till sitt arbetsrum och lyssnade p\u00e5 hur de stampade av sig p\u00e5 d\u00f6rrmattan och kom in d\u00e4rnere, blandade r\u00f6ster, bullret fr\u00e5n m\u00e4nniskor som kommer in i ett hus och skakar av rockar, som \u00e5stadkommer f\u00f6rflyttningens alla bakgrundsljud, den n\u00f6jda sucken av hemk\u00e4nsla och djup l\u00e4ttnad, p\u00e5 ett s\u00e5dant s\u00e4tt att det framst\u00e5r som en fara och en l\u00f6gn.\n\nHan st\u00e4ngde d\u00f6rren och st\u00e4llde sig i det m\u00f6rka rummet och for med handen \u00f6ver bordsskivan efter cigaretterna.\n\nSk\u00f6nt att komma inomhus efter en l\u00e5ng resa en r\u00e5kall natt, var som helst. Gulaschsoppa och svart br\u00f6d. Sk\u00f6nt att bli p\u00e5mind om att k\u00f6k \u00e4r r\u00e4tta platsen f\u00f6r l\u00e5nga samtal, den sena timmen, vedspisen och surt vin. Brita hade varit med om minst tusen konstiga diskussioner med fr\u00e4mlingar p\u00e5 flyg, livliga och ytliga, hesa av _Existenz_. Rena bluffen egentligen. Hon kunde inte f\u00f6ra ett meningsfullt samtal i bilar. Bilen var resa i ordningsf\u00f6ljd, en kugghjulsr\u00f6relse som hackar s\u00f6nder koncentrationsf\u00f6rm\u00e5gan. Till och med n\u00e4r bilen alstrade ett trist flackt landskap tyckte hon att det var sv\u00e5rt att slita sig fr\u00e5n de vita streckens stammande verklighet, fr\u00e5n bilden i f\u00f6nstret och pappersn\u00e4sdukarna i asken, och s\u00e4tta i g\u00e5ng att prata p\u00e5 allvar. Hon pratade i k\u00f6k. Hon f\u00f6ljde alltid med m\u00e4nniskor ut i k\u00f6k n\u00e4r de lagade mat eller h\u00e4mtade is till drinken och hon pratade med dem framifr\u00e5n eller bakifr\u00e5n, det spelade ingen roll, och fick dem att gl\u00f6mma vad de h\u00f6ll p\u00e5 med.\n\nScott satt p\u00e5 andra sidan bordet, mager och rufsig i h\u00e5ret, liksom enf\u00e4rgad, med en strandrodnad \u00f6ver sin bleka panna. Hon trodde att han uppskattade s\u00e4llskapet, den energiska r\u00f6sten fr\u00e5n andl\u00f6sa storst\u00e4der, fragmenten av upplevelser, och han lutade sig fram mot henne som om hon viskade ovanliga och personliga historier i hans \u00f6ra. Men det enda hon gjorde var att sl\u00e4nga ur sig ord, \u00e4ta och prata, sk\u00f6ta det m\u00e4nskliga pladdret. Och han glodde, han stirrade p\u00e5 henne, granskade henne med ober\u00e4knande intresse. Om kvinnor i hennes \u00e5lder var varelser som mest gick omkring osedda och om hon var en n\u00e5got v\u00e4derbiten skandinav i jeans och sweatshirt som fimpade cigaretter p\u00e5 tallriken, d\u00e5 kanske han undrade vilka f\u00e4ngslande saker de kunde ha gemensamt. Han var orimligt ung, n\u00e5gra och trettio, en smula tveksam.\n\n\u00bbJag ska s\u00e4ga som det \u00e4r. Jag har inget begrepp om var vi befinner oss n\u00e5nstans. Inte den blekaste aning. Och jag antar att n\u00e4r jag \u00e5ker h\u00e4rifr\u00e5n s\u00e5 blir det p\u00e5 natten f\u00f6r att jag inte ska uppt\u00e4cka n\u00e5gra landm\u00e4rken.\u00ab\n\n\u00bbDet finns inga landm\u00e4rken\u00ab, sa han. \u00bbMen vi \u00e5ker efter m\u00f6rkrets inbrott, det st\u00e4mmer.\u00ab\n\n\u00bbNu n\u00e4r jag \u00e4r h\u00e4r \u00e4r det sv\u00e5rt att prata s\u00e4rskilt l\u00e4nge om n\u00e5t annat \u00e4n om honom. Det k\u00e4nns som om det st\u00e5r n\u00e5t bakom ryggen p\u00e5 mig och jag kan inte l\u00e5ta bli att t\u00e4nka att jag borde ta h\u00e4nsyn till det. Det \u00e4r s\u00e4kert m\u00e5nga som f\u00f6rs\u00f6kt hitta honom.\u00ab\n\n\u00bbIngen har kommit s\u00e5 h\u00e4r l\u00e5ngt. Vi har h\u00f6rt talas om mediernas r\u00e4der, ogenerade team med teleobjektiv. Och hans f\u00f6rl\u00e4ggare vidarebefordrar post fr\u00e5n m\u00e4nniskor som har gett sig fan p\u00e5 att leta r\u00e4tt p\u00e5 honom, som skriver och ber\u00e4ttar hur det g\u00e5r, som tror att de vet var han \u00e4r, som har h\u00f6rt rykten, som helt enkelt vill tr\u00e4ffa honom och tala om f\u00f6r honom vad hans b\u00f6cker har betytt f\u00f6r dem, r\u00e4tt vanliga m\u00e4nniskor egentligen som bara vill se hur han ser ut.\u00ab\n\n\u00bbVar \u00e4r han?\u00ab fr\u00e5gade hon.\n\n\u00bbHan h\u00e5ller sig undan d\u00e4ruppe. Men det \u00e4r ingen fara. Du f\u00e5r dina bilder i morgon.\u00ab\n\n\u00bbDet \u00e4r en viktig pl\u00e5tning f\u00f6r mig.\u00ab\n\n\u00bbDet kanske kan l\u00e4tta pressen p\u00e5 Bill. Att sl\u00e4ppa ut lite bilder. P\u00e5 sista tiden har han k\u00e4nt det som om de n\u00e4rmar sig, som att de kommer n\u00e4rmare inp\u00e5 f\u00f6r var dag som g\u00e5r.\u00ab\n\n\u00bbAlla de d\u00e4r r\u00e4tt vanliga m\u00e4nniskorna.\u00ab\n\n\u00bbN\u00e5n skickade ett brev med ett avklippt finger. Men det var p\u00e5 sextiotalet.\u00ab\n\nScott visade henne ett rum bredvid k\u00f6ket d\u00e4r en del av Bills papper f\u00f6rvarades. Det stod sju pl\u00e5tsk\u00e5p utmed v\u00e4ggarna. Han drog ut n\u00e5gra l\u00e5dor och r\u00e4knade upp inneh\u00e5llet, vilket inbegrep f\u00f6rlagskorrespondens, kontrakt och royaltyredovisningar, anteckningsb\u00f6cker, gamla brev fr\u00e5n l\u00e4sare \u2013 hundratals brunkantade kuvert med sn\u00f6re om. Han ber\u00e4ttade torrt och sakligt. Det fanns gamla handskrivna manuskript, maskinskrivna manuskript med s\u00e4ttningsanvisningar, nollkorrektur. Det fanns recensioner av Bills romaner, intervjuer med gamla kollegor och bekanta. Det fanns buntar med tidskrifter och tidningar som inneh\u00f6ll artiklar om Bills f\u00f6rfattarskap och om hans f\u00f6rsvinnande, hans g\u00f6mst\u00e4lle, hans retr\u00e4tt, hans p\u00e5st\u00e5dda identitetsbyte, ryktet om hans sj\u00e4lvmord, hans \u00e5terupptagna arbete, hans p\u00e5g\u00e5ende arbete, hans d\u00f6d, ryktet om hans \u00e5terkomst. Scott l\u00e4ste upp stycken ur vissa artiklar. Sedan tog de med sig vinglasen ut i g\u00e5ngen d\u00e4r det stod hyllor fyllda med tjocka uppsatser om Bills verk och om verk om Bills verk. Scott visade specialnummer av flera kvartalstidskrifter som var helt \u00e4gnade \u00e5t Bill. De gick in i ett annat litet rum och d\u00e4r stod Bills b\u00e5da romaner i varenda inhemsk och utl\u00e4ndsk utg\u00e5va, inbunden och h\u00e4ftad, och Brita gick utmed hyllorna och granskade omslagens formgivning, tittade p\u00e5 texter p\u00e5 ok\u00e4nda spr\u00e5k. Hon r\u00f6rde sig tyst, utan lust att tala. De gick ner i k\u00e4llaren d\u00e4r Bills p\u00e5g\u00e5ende arbete f\u00f6rvarades i h\u00e5rda svarta ringp\u00e4rmar, m\u00e4rkta med kodnummer och datum f\u00f6r att vara n\u00e5gorlunda l\u00e4tt\u00e5tkomliga, och uppst\u00e4llda p\u00e5 frist\u00e5ende hyllor mot betongv\u00e4ggarna, kanske tv\u00e5hundra tjocka ringp\u00e4rmar som inneh\u00f6ll utkast, \u00e4ndrade utkast, anteckningar, fragment, korrigeringar, kasserat material, uppdateringar, prelimin\u00e4ra omarbetningar, slutgiltiga omarbetningar. F\u00f6nstergluggarna h\u00f6gt upp p\u00e5 v\u00e4ggen var f\u00f6rdragna med m\u00f6rkt tyg, och det fanns tv\u00e5 stora avfuktare d\u00e4r inne, en i varje \u00e4nde av rummet. Hon v\u00e4ntade bara p\u00e5 att Scott skulle kalla det en bunker. Det gjorde han inte. Och inte ett sp\u00e5r av ironi i r\u00f6sten n\u00e4r han f\u00f6rklarade. Men visst m\u00e4rkte hon hur stolt han var \u00f6ver sitt ansvar, vilken tillfredsst\u00e4llelse det gav honom att vara delaktig i detta episka bevarande, dessa prydligt sammanst\u00e4llda bevis p\u00e5 manisk konst. Detta var helgedomen, den hemliga boken, l\u00e5nga rader av skrivmaskinsark begravda i en k\u00e4llare i de karga bergen.\n\nEn smal trappa ledde fr\u00e5n k\u00f6ket till hallen p\u00e5 andra v\u00e5ningen och de tog Britas jacka och bag och kamerav\u00e4ska och gick upp den v\u00e4gen. Hon s\u00e5g en skymt av inbyggda skafferihyllor och \u00e4nnu mer av Bills l\u00e4sarpost, proppfulla mappar m\u00e4rkta med m\u00e5nad och \u00e5r. Hon f\u00f6ljde efter Scott genom d\u00f6rren och tv\u00e4rs \u00f6ver hallen. Detta var Britas rum.\n\nI sovrummet d\u00e4r nere satt Karen och tittade p\u00e5 teve. Scott kom in och b\u00f6rjade kl\u00e4 av sig.\n\n\u00bbJobbig dag\u00ab, sa hon.\n\n\u00bbDet kan man s\u00e4ga.\u00ab\n\n\u00bbK\u00f6ra s\u00e5 l\u00e5ngt, du m\u00e5ste vara j\u00e4tte.\u00ab\n\nHan satte p\u00e5 sig pyjamasen och kr\u00f6p ner och hon str\u00e4ckte sig fram och sl\u00e4ckte lampan. Sedan tog hon fj\u00e4rrkontrollen och s\u00e4nkte ljudet, tryck tryck tryck, tills det var helt avst\u00e4ngt. Scott l\u00e5g med huvudet platt p\u00e5 kudden och var redan halvt borta. Hon tittade p\u00e5 dagens utrikesnyheter. Det var i f\u00f6rsta hand de filmade inslagen hon ville se och det gjorde henne inget att titta utan ljud. Det var sp\u00e4nnande att se hur man kunde hitta p\u00e5 nyheterna efter hand genom att h\u00e5lla sig enbart till bilden.\n\nHon ser m\u00e4n och pojkar f\u00f6rst, en kryllande manlighet, ett b\u00e4lte av sammanpressade kroppar. Sedan en folkmassa, tusentals, som fyller hela bildrutan. Det ser ut som slow motion men hon vet att det inte \u00e4r det. Det \u00e4r realtid med alla kroppar som tr\u00e4ngs ihop och h\u00e4ver sig, som om de b\u00e4rs av en stor v\u00e5g, m\u00e5nga armar sticker upp \u00f6ver massan. De visar kroppar i konstiga vinklar. De visar m\u00e4n som st\u00e5r vid sidan om och tittar p\u00e5 lite f\u00f6rstr\u00f6tt. Hon ser en stor k\u00e4mpande h\u00e4rva m\u00e4nniskor som trycks upp mot ett st\u00e4ngsel, tvingade fram\u00e5t med full kraft. De visar metallst\u00e4ngslet och kroppar som kl\u00e4ms mot det med uppfl\u00e4kta armar. De visar den fruktansv\u00e4rt l\u00e5ngsamma kampen och de h\u00e4vande r\u00f6relserna. Vad \u00e4r det man s\u00e4ger, krampaktiga? Kameran st\u00e5r precis utanf\u00f6r st\u00e4ngslet och filmar rakt in genom det grovmaskiga st\u00e5ltr\u00e5dsn\u00e4tet. Hon ser m\u00e4n l\u00e4ngre bak som bokstavligen kl\u00e4ttrar ovanp\u00e5 massan av kroppar, tv\u00e5 m\u00e4n som kryper \u00f6ver alla huvuden och axlar. Hon ser hur skocken knuffas mot st\u00e4ngslet och m\u00e4nniskor framme vid st\u00e4ngslet pressas mot varandra och f\u00f6rvrids p\u00e5 ett ohyggligt s\u00e4tt. Det \u00e4r en d\u00f6dskamp med uppstr\u00e4ckta och snedvridna armar och pl\u00e5gade ansikten. De visar m\u00e4n som lugnt ser p\u00e5. De visar m\u00e4n som st\u00e5r p\u00e5 gr\u00e4splanen i kortbyxor och tr\u00f6jor, fotbollsspelare med s\u00e5dana d\u00e4r l\u00e5nga strumpor de har. T\u00e4tt sammanpackade kroppar fyller bildrutan och m\u00e4nniskorna framme vid st\u00e4ngslet r\u00f6r sig knappt, de st\u00e5r fastkl\u00e4mda och intvingade i en enda deformerad st\u00e4llning. Hon ser en pojke i vit m\u00f6ssa med r\u00f6d sk\u00e4rm och han har en uppsyn typ vilken h\u00e4rlig dag eller h\u00e4r \u00e4r jag p\u00e5 v\u00e4g hem fr\u00e5n skolan och folk d\u00f6r runt omkring honom, de vrider sig och snor sig med \u00f6ppna munnar och uppsv\u00e4llda tungor som sticker ut. Soccer kallas fotboll utomlands. Hon ser st\u00e4ngslet p\u00e5 n\u00e4ra h\u00e5ll och de fryser bilden och det liknar en religi\u00f6s m\u00e5lning, scenen kunde varit en fresk i en turistkyrka, den \u00e4r komponerad och balanserad och fylld av lidande m\u00e4nniskor. Hon ser ansiktena p\u00e5 en kvinna och en flicka och en stor hand p\u00e5 en man bakom dem, kvinnans v\u00e5ta lockar, armen som ligger vikt mot st\u00e4ngslets st\u00e5lvajrar, flickan st\u00e5r kl\u00e4md och tillknycklad under n\u00e5gons armb\u00e5ge, pojken i vit m\u00f6ssa med r\u00f6d sk\u00e4rm st\u00e5r i mitten, i tr\u00e4ngseln, fast nu k\u00e4nner han, \u00f6gonen \u00e4r slutna, nu k\u00e4nner han att han \u00e4r insp\u00e4rrad, och ansiktet utstr\u00e5lar panik. Hon ser m\u00e4nniskor som fastnat i oavsiktliga strupgrepp, armar som kastats upp\u00e5t, ansikten som skjuter fram mot henne, h\u00e4nder som griper efter st\u00e4ngslet men bara famlar i luften, en stor manshand, en l\u00e5ngh\u00e5rig pojke i jeansskjorta med ryggen mot st\u00e4ngslet, ansiktet p\u00e5 den lockiga kvinnan dolt bakom hennes f\u00f6rvridna arm, naglar m\u00e5lade med sk\u00e4rt p\u00e4rlemorlack, en flicka eller kvinna med slutna \u00f6gon och utstickande tunga, d\u00f6ende eller d\u00f6d. I m\u00e4nniskors ansikten ser hon insiktens vanmakt. De visar m\u00e4n som lugnt ser p\u00e5. De visar st\u00e4ngslet p\u00e5 avst\u00e5nd, kroppar som travas upp bakom det, kv\u00e4vda, ibland \u00e4r det bara fingrar som r\u00f6r sig och allt \u00e4r som en fresk i en gammal m\u00f6rk kyrka, en \u00f6verfylld grotesk skildring av en anstormning mot d\u00f6den som bara de gamla m\u00e4starna kunde m\u00e5la den.\n\n#  3\n\nBRITA packade upp fotolampan och skruvade fast den p\u00e5 f\u00e4ltstativet. Hon var nerv\u00f6s och sm\u00e5pratade oavbrutet. Bill stod lutad mot v\u00e4ggen och v\u00e4ntade. Han var kl\u00e4dd i arbetsbyxor och en gammal tr\u00f6ja, tung i kroppen med h\u00e4rjat ansikte och r\u00f6kgr\u00e5tt h\u00e5r kammat rakt bak\u00e5t i breda sp\u00e5r, lite gulnat i topparna. Hon k\u00e4nde den oroande kraften, det besynnerliga i m\u00f6tet med en man som s\u00e5 l\u00e4nge existerat enbart som ord i hennes tankar \u2013 kraften av en kropp i ett rum. Hon kunde n\u00e4stan inte titta p\u00e5 honom. Hon tittade i smyg och f\u00f6rs\u00f6kte d\u00f6lja sina sneglande blickar med skyndsamma f\u00f6rberedelser. Hon undrade om han hade lagt sig till med ett slags gammelmanss\u00e4tt, med \u00e5tb\u00f6rder och framtoning som var tyngre \u00e4n hans faktiska \u00e5lder. Han iakttog henne medan hon monterade sin utrustning, s\u00e5g f\u00f6rbi henne in i ett annat \u00f6gonblick n\u00e5gonstans. Hon k\u00e4nde redan att han var p\u00e5 v\u00e4g bort d\u00e4rifr\u00e5n.\n\n\u00bbJag t\u00e4nker studsa ljuset mot den v\u00e4ggen och sen kan ni g\u00e5 och st\u00e4lla er d\u00e4r borta och jag tar kameran och st\u00e5r h\u00e4r och sen \u00e4r det klart.\u00ab\n\n\u00bbL\u00e5ter olycksb\u00e5dande.\u00ab\n\nDet stod en skrivmaskin p\u00e5 ett arbetsbord och j\u00e4ttestora skissark satt upptejpade p\u00e5 v\u00e4ggarna och p\u00e5 nedre halvan av det ena f\u00f6nstret. Det var ritningar, grundplaner tydligen, diagram \u00f6ver hans p\u00e5g\u00e5ende arbete, och arken var \u00f6vers\u00e5llade med nerkrafsade ord, rutor, linjer som band ihop ord, minimal skrift i rutorna. D\u00e4r fanns inringade siffror, \u00f6verstrukna namn, en samling teckningar med streckgubbar, ett dussintal andra kryptiska markeringar. Hon s\u00e5g anteckningsb\u00f6cker ligga travade p\u00e5 elementskyddet. Drivor av papper p\u00e5 skrivbordet, en h\u00f6g skrynkliga fimpar i askkoppen.\n\n\u00bbDet \u00e4r n\u00e5t med f\u00f6rfattare. Jag vet inte varf\u00f6r men det k\u00e4nns som om jag m\u00e5ste k\u00e4nna personen lika bra som b\u00f6ckerna och d\u00e4rf\u00f6r brukar jag i vanliga fall f\u00f6rs\u00f6ka f\u00e5 tid till en promenad f\u00f6rst. Bara f\u00f6r att prata lite med honom eller henne, prata om b\u00f6cker, familjen, vad som helst. Men jag har f\u00f6rst\u00e5tt att ni inte vill dra ut p\u00e5 det h\u00e4r, s\u00e5 vi tar och klarar av det snabbt.\u00ab\n\n\u00bbVi kan prata.\u00ab\n\n\u00bb\u00c4r ni intresserad av kameror? Det h\u00e4r \u00e4r ett 85 millimeters objektiv.\u00ab\n\n\u00bbF\u00f6rr brukade jag fotografera. Jag vet inte varf\u00f6r jag slutade med det. En dag upph\u00f6rde det bara en g\u00e5ng f\u00f6r alla.\u00ab\n\n\u00bbMan skulle v\u00e4l kunna s\u00e4ga att det \u00e4r n\u00e5t mer som upph\u00f6r en g\u00e5ng f\u00f6r alla.\u00ab\n\n\u00bbNi menar att f\u00f6rfattaren kommer fram ur g\u00f6mst\u00e4llet.\u00ab\n\n\u00bbSt\u00e4mmer det att det \u00e4r trettio \u00e5r sen ert fotografi publicerades n\u00e5nstans?\u00ab\n\n\u00bbDet d\u00e4r vet Scott.\u00ab\n\n\u00bbOch tillsammans har ni best\u00e4mt att det \u00e4r dags nu.\u00ab\n\n\u00bbTja, egentligen \u00e4r det tr\u00f6ttsamt att veta att folk g\u00f6r s\u00e5 stor aff\u00e4r av det. N\u00e4r en f\u00f6rfattare inte framtr\u00e4der blir han ett lokalt symptom p\u00e5 Guds v\u00e4lk\u00e4nda ovilja att visa sig.\u00ab\n\n\u00bbMen det \u00e4r m\u00e5nga som f\u00e4ngslas av det.\u00ab\n\n\u00bbDet uppfattas ocks\u00e5 som en f\u00f6rf\u00e4rlig arrogans.\u00ab\n\n\u00bbMen alla lockas vi av tanken p\u00e5 det avl\u00e4gsna. En sv\u00e5r\u00e5tkomlig plats m\u00e5ste vara vacker. Vacker och kanske lite andlig. Och en person som blir o\u00e5tkomlig \u00e4ger en v\u00e4rdighet och en integritet som alla vi andra avundas.\u00ab\n\n\u00bbBildv\u00e4rlden \u00e4r korrumperad, h\u00e4r \u00e4r en man som g\u00f6mmer sitt ansikte.\u00ab\n\n\u00bbJa\u00ab, sa hon.\n\n\u00bbFolk kanske f\u00e4ngslas av den h\u00e4r figuren men de tycker ocks\u00e5 illa om honom och h\u00e5nar honom och vill kasta skit p\u00e5 honom och se hans ansikte vanst\u00e4llas av chock och f\u00f6rf\u00e4ran n\u00e4r fotografen som st\u00e5tt p\u00e5 lur hoppar fram bakom tr\u00e4den. Inga bilder i mosk\u00e9erna. I v\u00e5r v\u00e4rld sover och \u00e4ter vi bilden och ber till den, kl\u00e4r oss i den rentav. F\u00f6rfattaren som inte vill visa sitt ansikte inkr\u00e4ktar p\u00e5 helig mark. Han anv\u00e4nder samma knep som Gud.\u00ab\n\n\u00bbHan kanske bara \u00e4r blyg, Bill.\u00ab\n\nGenom s\u00f6karen s\u00e5g hon honom le. Han blev tydligare i kameran. Han hade en sk\u00e4rpa i blicken, en \u00e5terh\u00e5llsamhet, och ansiktet var vackert f\u00e5rat och f\u00f6r\u00e4dlat, broderat \u00f6ver pannan och kring \u00f6gonvr\u00e5rna. S\u00e5 ofta n\u00e4r hon arbetade h\u00e4nde det att en m\u00e4nniskas skr\u00f6plighet blev omskapad genom kraften i hennes seende, genom den blotta vilja som kameran frigjorde hos henne, viljan att se djupt.\n\n\u00bbSka jag ber\u00e4tta en sak?\u00ab\n\n\u00bbVars\u00e5god.\u00ab\n\n\u00bbJag v\u00e5gar n\u00e4stan inte tala med f\u00f6rfattare om deras b\u00f6cker. Det \u00e4r s\u00e5 l\u00e4tt att s\u00e4ga n\u00e5t dumt. Gapa inte. Bra, det \u00e4r b\u00e4ttre, det d\u00e4r tycker jag om. Det finns ett internt spr\u00e5k som jag inte har l\u00e4rt mig. Jag umg\u00e5s r\u00e4tt mycket med f\u00f6rfattare. Jag \u00e4lskar f\u00f6rfattare. Men den h\u00e4r talangen ni har, som f\u00f6r mig \u00e4r ren gl\u00e4dje, f\u00e5r mig att k\u00e4nna mig utanf\u00f6r, jag kan inte samtala p\u00e5 det interna spr\u00e5ket, det spr\u00e5k som betyder n\u00e5t f\u00f6r er.\u00ab\n\n\u00bbDet enda interna spr\u00e5k jag k\u00e4nner till \u00e4r \u00f6verdriften av en sj\u00e4lv. Jag tror att jag har odlat ett andra jag i detta rum. Det \u00e4r den sj\u00e4lvgode idioten som h\u00e5ller f\u00f6rfattaren i g\u00e5ng. Jag \u00f6verdriver skrivandets pl\u00e5ga, ensamhetens pl\u00e5ga, misslyckandet, vreden, f\u00f6rvirringen, hj\u00e4lpl\u00f6sheten, skr\u00e4cken, f\u00f6r\u00f6dmjukelsen. Ju sn\u00e4vare gr\u00e4nserna f\u00f6r mitt liv blir desto mer \u00f6verdriver jag mig sj\u00e4lv. Om lidandet \u00e4r verkligt, varf\u00f6r m\u00e5ste jag d\u00e5 bl\u00e5sa upp det? Kanske \u00e4r det det enda n\u00f6je som till\u00e5ts mig.\u00ab\n\n\u00bbLyft p\u00e5 hakan.\u00ab\n\n\u00bbLyfter p\u00e5 hakan.\u00ab\n\n\u00bbJag hade \u00e4rligt talat inte v\u00e4ntat mig s\u00e5na utl\u00e4ggningar.\u00ab\n\n\u00bbDet har legat p\u00e5 lager.\u00ab\n\n\u00bbJag trodde ni skulle st\u00e5 h\u00e4r ett par minuter och sen bli ot\u00e5lig och g\u00e5 h\u00e4rifr\u00e5n.\u00ab\n\n\u00bbEn svaghet hos mig \u00e4r att jag s\u00e4ger vissa saker till fr\u00e4mlingar, kvinnor som passerar, som jag aldrig har sagt till en hustru eller ett barn, en n\u00e4ra v\u00e4n.\u00ab\n\n\u00bbNi talar \u00f6ppet med Scott.\u00ab\n\n\u00bbJag talar med Scott. Men det blir allt mindre n\u00f6dv\u00e4ndigt. Han vet redan. Han h\u00e4nger \u00f6ver min hj\u00e4rnbark som en kirurg med bl\u00e4nkande skalpell.\u00ab\n\nHon gjorde slut p\u00e5 rullen och gick och h\u00e4mtade en ny i v\u00e4skan. Bill stod vid skrivbordet och skakade ut en cigarett ur asken. Det satt lerkokor och kr\u00f6kt ogr\u00e4s p\u00e5 hans skor. Det verkade inte som om han f\u00f6rs\u00f6kte f\u00f6rmedla en egen bild, sin egen uppfattning om hur han ville se ut eller vem han ville vara den n\u00e4rmaste timmen. Han hade uppenbarligen inte brytt sig om att fundera p\u00e5 det. Hon tyckte om k\u00e4nslan i rummet med honom i det. Det var hans rum p\u00e5 samma s\u00e4tt som huset inte var hans hus. Hon bad honom st\u00e4lla sig bredvid en av ritningarna p\u00e5 v\u00e4ggen och n\u00e4r han inte protesterade flyttade hon lampan och st\u00e4llde in sk\u00e4rpan och satte i g\u00e5ng. Han r\u00f6kte och talade. Han tyckte att han led som alla andra. Alla k\u00e4nde sig som kl\u00e5pare, \u00f6vergivna och trakasserade, men ingen av dem ville g\u00f6ra n\u00e5got annat \u00e4n skriva och var och en trodde att den ende som m\u00f6jligen hade det v\u00e4rre var en annan f\u00f6rfattare n\u00e5gonstans och n\u00e4r en av dem blandade ihop f\u00f6r mycket konjak och sm\u00e5 lila piller eller satte revolvermynningen bakom \u00f6rat, k\u00e4nde de andra sig b\u00e5de bedr\u00f6vade och erk\u00e4nda.\n\n\u00bbJag ska tala om vad jag inte \u00f6verdriver. Tvivlet. Varenda minut, varenda dag. Jag k\u00e4nner lukten av det i min s\u00e4ng. F\u00f6rlorad tro. Det \u00e4r vad det h\u00e4r handlar om.\u00ab\n\nAvst\u00e5ndet krympte som det gjorde n\u00e4r en pl\u00e5tning gick bra. Tid och ljus begr\u00e4nsades till automatiska val. Bill stod framf\u00f6r ritningen med de spridda anteckningarna och hon visste att hon hade f\u00e5tt allt hon skulle kunna \u00f6nska sig eller beh\u00f6va. H\u00e4r fanns det m\u00e4rkta och melankoliska gamla huvudet, den f\u00f6rsvunne skriftst\u00e4llaren, och d\u00e4r fanns det tidiga alfabetet p\u00e5 v\u00e4ggen, ritningen \u00f6ver hans uteblivna bok i form av sneda rutor och fiberspetsklotter och olika anvisningar som pilar ditritade av ett barn med blyertspenna i n\u00e4ven. Och han var livlig, han vaggade och f\u00e4ktade n\u00e4r han talade. H\u00e4nderna var trubbiga och \u00e4rrade. Det fanns ett envist drag hos honom, n\u00e5got som l\u00e4t ana alla de gr\u00e4nser han tvingats \u00f6verskrida f\u00f6r att f\u00e5 bukt med ett arbete som alltid varit sv\u00e5rhanterligt. Hon f\u00f6rs\u00f6kte s\u00e4tta in honom i ett sammanhang, passa ihop r\u00f6sten och kroppen med b\u00f6ckerna. N\u00e4r hon kom in i rummet hade hennes f\u00f6rsta tanke varit v\u00e4nta ett tag, nej, nej, det h\u00e4r kan inte vara han. Hon hade v\u00e4ntat sig en mager och t\u00e4rd person, med \u00f6gon som h\u00e4xtecknen p\u00e5 en amishlada. Men l\u00e5ngsamt b\u00f6rjade Bill h\u00e4nga ihop f\u00f6r henne, b\u00f6rjade alltmer likna sina b\u00f6cker.\n\n\u00bbJag blir tvungen att sno en cigarett av er\u00ab, sa hon. \u00bbJag har slutat r\u00f6ka i tjugofem \u00e5r och jag har gjort stora framsteg under \u00e5rens lopp. F\u00e5r jag? Men sen ser jag det lilla bl\u00e4nket fr\u00e5n paketet.\u00ab\n\n\u00bbBer\u00e4tta om New York f\u00f6r mig\u00ab, sa han. \u00bbJag \u00e5ker inte dit numera. N\u00e4r jag t\u00e4nker p\u00e5 st\u00e4der jag bott i ser jag stora kubistiska tavlor framf\u00f6r mig.\u00ab\n\n\u00bbJag ska ber\u00e4tta vad jag ser.\u00ab\n\n\u00bbKantigheten och t\u00e4theten och de d\u00e4r gamla brunaktiga nyanserna och st\u00e4der som blir gamla och missf\u00e4rgade i tankarna precis som romerska murar.\u00ab\n\n\u00bbD\u00e4r jag bor va, d\u00e4r \u00e4r det en enda villervalla av tak, ett gytter, fyra, fem, sex, sju v\u00e5ningar, och det \u00e4r vattenreservoarer, tv\u00e4ttlinor, antenner, klocktorn, duvslag, skorstenar, allt det m\u00e4nskliga med s\u00f6dra delen \u2013 sm\u00e5 ihopkrupna tr\u00e4dg\u00e5rdar, statyer, m\u00e5lade skyltar. Och jag vaknar upp till detta och \u00e4lskar det och beh\u00f6ver det. Men nu ska alltihop mejas ner och forslas bort f\u00f6r att de ska kunna bygga sina torn.\u00ab\n\n\u00bbEfter ett tag kommer tornen att k\u00e4nnas m\u00e4nskliga och pittoreska och lustiga. Ge dem lite tid.\u00ab\n\n\u00bbNu g\u00e5r jag och dunkar huvudet i v\u00e4ggen. S\u00e4g till mig n\u00e4r jag ska sluta.\u00ab\n\n\u00bbNi kommer att fr\u00e5ga er vad det var som gjorde er s\u00e5 f\u00f6rbannad.\u00ab\n\n\u00bbJag har redan World Trade Center.\u00ab\n\n\u00bbOch det \u00e4r redan of\u00f6rargligt och tidl\u00f6st. Ser bortgl\u00f6mt ut. Och t\u00e4nk vad hemskt.\u00ab\n\n\u00bbVad\u00e5?\u00ab sa hon.\n\n\u00bbOm det bara varit ett torn i st\u00e4llet f\u00f6r tv\u00e5.\u00ab\n\n\u00bbNi menar att de samverkar. Ljuset spelar mellan dem.\u00ab\n\n\u00bbSkulle det inte varit mycket v\u00e4rre med bara ett torn?\u00ab\n\n\u00bbNej, f\u00f6r min st\u00f6rsta inv\u00e4ndning handlar bara delvis om formatet. Formatet \u00e4r m\u00f6rdande. Men att ha tv\u00e5 stycken \u00e4r som ett uttalande, det \u00e4r som en dialog, fast jag vet inte vad de talar om.\u00ab\n\n\u00bbDe s\u00e4ger: Ha en bra dag.\u00ab\n\n\u00bbTa och promenera i de d\u00e4r kvarteren n\u00e5n g\u00e5ng\u00ab, sa hon. \u00bbSjuka och d\u00f6ende m\u00e4nniskor som inte har n\u00e5nstans att bo och det blir st\u00f6rre och st\u00f6rre torn hela tiden, otroliga byggnader med kvadratkilometer av uthyrningsytor. All yta finns innanf\u00f6r v\u00e4ggarna. \u00d6verdriver jag?\u00ab\n\n\u00bbJag \u00e4r den som \u00f6verdriver.\u00ab\n\n\u00bbDet l\u00e5ter konstigt men jag tycker att jag k\u00e4nner er.\u00ab\n\n\u00bbJa, visst \u00e4r det konstigt? Vi lyckas f\u00f6ra ett riktigt samtal medan ni studsar omkring och viftar med en kamera och jag st\u00e5r h\u00e4r och ser stel och t\u00f6lpig ut.\u00ab\n\n\u00bbJag brukar inte prata annars. Jag fr\u00e5gar n\u00e5nting och l\u00e5ter f\u00f6rfattaren prata, l\u00e4ttar lite p\u00e5 trycket.\u00ab\n\n\u00bbL\u00e5ter idioten pladdra p\u00e5.\u00ab\n\n\u00bbOm ni s\u00e5 vill. Och vanligtvis lyssnar jag inte s\u00e5 noga eftersom jag arbetar. Jag \u00e4r avsk\u00e4rmad, jag arbetar, jag lyssnar med ett halvt \u00f6ra.\u00ab\n\n\u00bbOch ni reser hela tiden. Ni letar upp oss.\u00ab\n\n\u00bbNu \u00e5ker hakan ner\u00ab, sa hon.\n\n\u00bbNi f\u00e4rdas \u00f6ver kontinenter och v\u00e4rldshav f\u00f6r att ta bilder av vanliga ansikten, f\u00f6r att f\u00e5 med tusen ansikten, tiotusen ansikten i er dokumentation.\u00ab\n\n\u00bbDet \u00e4r vansinnigt. Jag \u00e4gnar hela mitt liv \u00e5t en symbolisk gest. Ja, jag reser. Vilket inneb\u00e4r att vissa dar g\u00e5r det inte en sekund utan att jag t\u00e4nker terrorism. De har oss i sitt v\u00e5ld. Vid gaten p\u00e5 flygplatsen sitter jag aldrig n\u00e4ra f\u00f6nstret f\u00f6r att inte f\u00e5 splitter \u00f6ver mig. Jag har svenskt pass och det \u00e4r v\u00e4l bra om man inte tror att det var terrorister som m\u00f6rdade statsministern. I s\u00e5 fall \u00e4r det kanske inte s\u00e5 lyckat. Och jag har kodat f\u00f6rfattarnamn och adresser i min adressbok f\u00f6r hur ska man veta om det \u00e4r farligt att g\u00e5 omkring med namnet p\u00e5 en viss f\u00f6rfattare, en dissident, n\u00e5n jude eller h\u00e4dare. Jag \u00e4r f\u00f6rsiktig med skriftligt material. Aldrig n\u00e5t religi\u00f6st i min packning, inga b\u00f6cker med religi\u00f6sa symboler p\u00e5 omslaget och inga bilder av vapen eller utmanande kvinnor. Det \u00e4r ena sidan. \u00c5 andra sidan vet jag innerst inne att jag kommer att d\u00f6 av n\u00e5n hemsk l\u00e5ngsam sjukdom s\u00e5 med mig ombord \u00e4r man s\u00e4ker.\u00ab\n\nHon satte i en ny film. Hon var s\u00e4ker p\u00e5 att hon redan f\u00e5tt det hon kommit dit f\u00f6r, men det hade hon trott minst hundra g\u00e5nger f\u00f6rr och sedan hittat b\u00e4ttre saker begravda i kontaktkartorna. Hon ville g\u00e4rna arbeta sig f\u00f6rbi k\u00e4nslan av att nu \u00e4r det klart. Viktigt att forts\u00e4tta, undanr\u00f6ja det tv\u00e4rs\u00e4kra och uppn\u00e5 ett \u00f6gonblick av f\u00f6rstulen lycka.\n\n\u00bbBrukar ni fr\u00e5ga era f\u00f6rfattare hur det k\u00e4nns att vara skyltdocka?\u00ab\n\n\u00bbVad menar ni med det?\u00ab\n\n\u00bbNu har ni f\u00e5tt i g\u00e5ng mig, Brita.\u00ab\n\n\u00bbBara det \u00e4r liv i det s\u00e5 \u00e4r det perfekt.\u00ab\n\n\u00bbNi bryr er inte om vad jag s\u00e4ger.\u00ab\n\n\u00bbTa det p\u00e5 swahili.\u00ab\n\n\u00bbDet finns ett m\u00e4rkligt band mellan romanf\u00f6rfattare och terrorister. I v\u00e4st blir vi ber\u00f6mda pappfigurer i takt med att v\u00e5ra b\u00f6cker f\u00f6rlorar f\u00f6rm\u00e5gan att forma och p\u00e5verka. Fr\u00e5gar ni era f\u00f6rfattare vad de tycker om det? F\u00f6r l\u00e4nge sen trodde jag att det var m\u00f6jligt f\u00f6r en f\u00f6rfattare att f\u00f6r\u00e4ndra kulturens inre liv. Nu \u00e4r det m\u00e4n med bomber och vapen som har tagit \u00f6ver v\u00e5rt omr\u00e5de. De sl\u00e5r till mot det m\u00e4nskliga medvetandet. Som f\u00f6rfattare brukade g\u00f6ra innan vi alla blev assimilerade.\u00ab\n\n\u00bbForts\u00e4tt. Jag gillar er ilska.\u00ab\n\n\u00bbMen ni vet allt det d\u00e4r. Det \u00e4r d\u00e4rf\u00f6r ni reser tusentals mil f\u00f6r att fotografera f\u00f6rfattare. F\u00f6r att vi ger plats f\u00f6r terrorism, f\u00f6r nyheter om terrorism, f\u00f6r bandspelare och kameror, f\u00f6r radioapparater, f\u00f6r bomber g\u00f6mda i radioapparater. Katastrofnyheter \u00e4r den enda ber\u00e4ttelse folk beh\u00f6ver. Ju hemskare nyhet, desto b\u00e4ttre ber\u00e4ttelse. Nyheter \u00e4r den sista drogen f\u00f6re \u2013 vad? Jag vet inte. Men ni \u00e4r smart som f\u00e5ngar oss i er kamera innan vi f\u00f6rsvinner.\u00ab\n\n\u00bbDet \u00e4r mig de f\u00f6rs\u00f6ker d\u00f6da. Ni sitter i ett rum och hittar p\u00e5 teorier.\u00ab\n\n\u00bbSt\u00e4ll ut oss p\u00e5 museum och ta intr\u00e4de.\u00ab\n\n\u00bbF\u00f6rfattare kommer alltid att skriva. Vad pratar ni om? F\u00f6rfattare har ett l\u00e5ngsiktigt inflytande. Man kan inte tala om de d\u00e4r banditerna i samma andetag. Jag m\u00e5ste sno en cigarett till. Ni \u00e4r inte bra f\u00f6r mig, det \u00e4r tydligt det. Ni har ett uttryck i ansiktet, jag vet inte, som en d\u00e5lig sk\u00e5despelare som h\u00e4rmar sv\u00e5rmod.\u00ab\n\n\u00bbJag \u00e4r en d\u00e5lig sk\u00e5despelare.\u00ab\n\n\u00bbInte f\u00f6r mig och min kamera. Jag ser m\u00e4nniskan, inte n\u00e5n id\u00e9 som hon vill g\u00f6ra om sig till.\u00ab\n\n\u00bbJag \u00e4r id\u00e9 rakt igenom i dag.\u00ab\n\n\u00bbDet kan jag inte se.\u00ab\n\n\u00bbJag spelar d\u00f6dens id\u00e9. Titta n\u00e4rmare\u00ab, sa han.\n\nHon visste inte om det var menat som ett sk\u00e4mt.\n\nHan sa: \u00bbN\u00e5nting med den h\u00e4r situationen f\u00e5r mig att k\u00e4nna det som om jag befann mig p\u00e5 min egen likvaka. Att sitta modell \u00e4r en morbid syssels\u00e4ttning. Ett portr\u00e4tt f\u00e5r ingen inneb\u00f6rd f\u00f6rr\u00e4n f\u00f6rem\u00e5let har avlidit. Det \u00e4r vad det handlar om. Vi g\u00f6r det h\u00e4r f\u00f6r att skapa ett slags sentimentalt f\u00f6rflutet f\u00f6r m\u00e4nniskor under kommande decennier. Det \u00e4r deras f\u00f6rflutna, deras historia vi uppfinner h\u00e4r. Och det \u00e4r inte hur jag ser ut nu som spelar roll. Det \u00e4r hur jag ser ut om tjugofem \u00e5r fast kl\u00e4der och ansikten f\u00f6r\u00e4ndras, fast fotografier f\u00f6r\u00e4ndras. Ju l\u00e4ngre jag f\u00e4rdas in i d\u00f6den, desto starkare verkan f\u00e5r mitt fotografi. \u00c4r det inte d\u00e4rf\u00f6r som det \u00e4r en s\u00e5n ceremoni kring fotograferandet? Det \u00e4r som en likvaka. Och jag \u00e4r sk\u00e5despelaren sminkad f\u00f6r b\u00e5ren.\u00ab\n\n\u00bbSt\u00e4ng mun.\u00ab\n\n\u00bbT\u00e4nk p\u00e5 vad de sa: \u203aDet h\u00e4r \u00e4r f\u00f6rsta dan i resten av ditt liv.\u2039 Det slog mig s\u00e5 sent som i g\u00e5r kv\u00e4ll att de h\u00e4r bilderna blir ett tillk\u00e4nnagivande om min f\u00f6rest\u00e5ende d\u00f6d.\u00ab\n\n\u00bbSt\u00e4ng mun. Fint, fint, fint, fint.\u00ab\n\nHon gjorde slut p\u00e5 rullen, laddade om, tog cigaretten, drog ett bloss, lade den ifr\u00e5n sig och gick sedan fram till honom, satte handen mot hans kind och vred hans huvud lite l\u00e4tt \u00e5t v\u00e4nster.\n\n\u00bbSt\u00e5 s\u00e5 nu. R\u00f6r er inte. Det d\u00e4r blir bra.\u00ab\n\n\u00bbTitta, allt ni vill. Jag g\u00f6r det p\u00e5 en g\u00e5ng.\u00ab\n\n\u00bbBer\u00f6ra Bill Gray.\u00ab\n\n\u00bbM\u00e4rker ni hur intimt det h\u00e4r \u00e4r som vi h\u00e5ller p\u00e5 med?\u00ab\n\n\u00bbDet kommer med i mina memoarer, jag lovar. Och f\u00f6rresten \u00e4r ni inte t\u00f6lpig.\u00ab\n\n\u00bbVi \u00e4r ensamma i ett rum inbegripna i detta g\u00e5tfulla utbyte. Vad \u00e4r det jag avst\u00e5r till er? Och vad \u00e4r det ni sk\u00e4nker mig eller stj\u00e4l fr\u00e5n mig? Hur f\u00f6r\u00e4ndrar ni mig? Jag kan k\u00e4nna f\u00f6r\u00e4ndringen som en sorts str\u00f6m under huden. Hittar ni p\u00e5 mig allt eftersom? H\u00e4rmar jag mig sj\u00e4lv? Och n\u00e4r b\u00f6rjade f\u00f6rresten kvinnor ta kort p\u00e5 m\u00e4n?\u00ab\n\n\u00bbJag ska sl\u00e5 upp det n\u00e4r jag kommer hem.\u00ab\n\n\u00bbVi trivs utm\u00e4rkt bra ihop.\u00ab\n\n\u00bbNu n\u00e4r vi har bytt samtals\u00e4mne.\u00ab\n\n\u00bbJag f\u00f6rlorar en hel f\u00f6rmiddags arbete utan att v\u00e5ndas.\u00ab\n\n\u00bbDet \u00e4r inte det enda ni f\u00f6rlorar. Gl\u00f6m inte att i samma \u00f6gonblick er bild kommer ut f\u00f6rv\u00e4ntas ni se ut precis som den. Och om ni tr\u00e4ffar folk n\u00e5nstans kommer de att ifr\u00e5gas\u00e4tta er r\u00e4tt att inte se ut som p\u00e5 fotografiet.\u00ab\n\n\u00bbJag har blivit n\u00e5gons material. Ert, Brita. D\u00e4r har vi livet och d\u00e4r har vi konsumentupplevelsen. Allt omkring oss f\u00f6rs\u00f6ker styra v\u00e5ra liv mot n\u00e5t slags slutlig verklighet i tryck eller p\u00e5 film. Ett par gr\u00e4lar i baks\u00e4tet p\u00e5 en taxi och i den h\u00e4ndelsen ligger en underf\u00f6rst\u00e5dd fr\u00e5ga. Vem kommer att skriva boken och vilka kommer att spela paret i filmen? Allting s\u00f6ker sin egen f\u00f6rh\u00f6jda version. Eller s\u00e4g s\u00e5 h\u00e4r. Inget h\u00e4nder f\u00f6rr\u00e4n det \u00e4r konsumerat. Eller s\u00e4g s\u00e5 h\u00e4r. Natur har ersatts av aura. En man sk\u00e4r sig n\u00e4r han rakar sig och n\u00e5n f\u00e5r uppdraget att skriva sk\u00e4rs\u00e5rets biografi. Allt stoff i varje enskilt liv styrs in i skenet. H\u00e4r \u00e4r jag i ert objektiv. Jag ser mig redan p\u00e5 ett annat s\u00e4tt. Dubbelt upp eller ett steg bort.\u00ab\n\n\u00bbOch ni kanske ocks\u00e5 t\u00e4nker p\u00e5 ett annat s\u00e4tt om er sj\u00e4lv. Det \u00e4r intressant hur djupt ner man kan komma med ett foto. Man kan uppt\u00e4cka n\u00e5t som man trodde att man h\u00e5llit inom sig. Eller en sida av sin mamma eller pappa eller sitt barn. D\u00e4r \u00e4r det. Man tar upp ett kort och d\u00e4r \u00e4r ens ansikte i halvskugga men egentligen \u00e4r det pappa som tittar p\u00e5 en.\u00ab\n\n\u00bbNog f\u00f6rbereder ni liket alltid.\u00ab\n\n\u00bbDet \u00e4r bara kemikalier och papper.\u00ab\n\n\u00bbL\u00e4gger r\u00f6tt p\u00e5 mina kinder. Vax p\u00e5 h\u00e4nder och l\u00e4ppar. Men n\u00e4r jag \u00e4r d\u00f6d p\u00e5 riktigt, kommer man att uppfatta mig som levande p\u00e5 er bild.\u00ab\n\n\u00bbJag var i Chile f\u00f6rra \u00e5ret och d\u00e5 tr\u00e4ffade jag en redakt\u00f6r som kastats i f\u00e4ngelse f\u00f6r att hans tidskrift haft sk\u00e4mtteckningar med general Pinochet. \u00c5talet rubricerades som mord p\u00e5 bilden av generalen.\u00ab\n\n\u00bbL\u00e5ter fullkomligt rimligt.\u00ab\n\n\u00bbB\u00f6rjar ni tappa intresset? Ibland m\u00e4rker jag inte hur en pl\u00e5tning liksom blir min. Jag blir v\u00e4ldigt girig i ett visst skede. Jag \u00e4r sn\u00e4ll och medg\u00f6rlig i processens periferi. Men i sj\u00e4lva centrum, i s\u00f6karen, \u00e4r den min.\u00ab\n\n\u00bbJag beh\u00f6ver nog de h\u00e4r fotona mer \u00e4n ni. F\u00f6r att sl\u00e5 s\u00f6nder monoliten som jag har rest. Jag v\u00e5gar inte \u00e5ka n\u00e5nstans, inte ens till ett sjaskigt fik i n\u00e4rmaste lilla landsortsh\u00e5la. Jag \u00e4r \u00f6vertygad om att de riktiga f\u00f6rf\u00f6ljarna \u00e4r p\u00e5 v\u00e4g med sina mobiltelefoner och zoomobjektiv. Har man en g\u00e5ng valt den h\u00e4r tillvaron f\u00f6rst\u00e5r man vad det inneb\u00e4r att leva under st\u00e4ndigt iakttagande av religi\u00f6sa regler. Det gives inga halvmesyrer. Alla r\u00f6relser vi g\u00f6r \u00e4r rituella. Allt vi f\u00f6retar oss som inte direkt \u00e4r inriktat p\u00e5 arbetet r\u00f6r sig om g\u00f6mst\u00e4llen, avskildhet, flyktv\u00e4gar. Scott l\u00e4gger upp f\u00e4rdv\u00e4gen n\u00e4r jag n\u00e5n g\u00e5ng g\u00f6r en utflykt, l\u00e4karbes\u00f6k till exempel. Det finns rutiner f\u00f6r folk som ska komma hit. Hantverkare, leverant\u00f6rer. Det \u00e4r en absurd livsstil som \u00e4ger en stark inre logik. P\u00e5 samma s\u00e4tt som religionen tar \u00f6ver ett liv. P\u00e5 samma s\u00e4tt som sjukdom tar \u00f6ver ett liv. Det finns en kraft som \u00e4r fullst\u00e4ndigt oberoende av mina medvetna val. Och det \u00e4r en ilsken och missunnsam kraft. Jag kanske inte vill k\u00e4nna samma saker som andra m\u00e4nniskor k\u00e4nner. Min sm\u00e4rta har sin egen kosmologi. L\u00e5t mig vara i fred med den. Glo inte p\u00e5 mig, be mig inte signera exemplar av mina b\u00f6cker, peka inte ut mig p\u00e5 gatan, smyg er inte p\u00e5 mig med en bandspelare nerstucken i b\u00e4ltet. Och framf\u00f6r allt, ta ingen bild p\u00e5 mig. Jag har betalt ett h\u00f6gt pris f\u00f6r det h\u00e4r f\u00f6rbannade hemligh\u00e5llandet. Och nu har jag f\u00e5tt nog av det.\u00ab\n\nHan talade l\u00e5gt utan att se p\u00e5 henne. Det verkade som om han kom underfund med det h\u00e4r f\u00f6r f\u00f6rsta g\u00e5ngen, nu n\u00e4r han \u00e4ntligen h\u00f6rde det s\u00e4gas. Hur underligt det l\u00e4t. Han kunde inte f\u00f6rst\u00e5 hur det hade g\u00e5tt till, hur en oerfaren ung man, som var p\u00e5 sin vakt mot bl\u00e4ndverkets och f\u00f6rvr\u00e4ngningens mekanismer, som v\u00e4rnade om sitt skrivande och var mycket blyg och lite sv\u00e4rmisk i sin syn p\u00e5 sig sj\u00e4lv, efter alla dessa \u00e5r kunde uppt\u00e4cka att han sitter f\u00e5ngen i sin egen monumentala tystnad.\n\n\u00bbH\u00e5ller ni p\u00e5 att tappa sugen?\u00ab\n\n\u00bbNej.\u00ab\n\n\u00bbJag gl\u00f6mmer hur tr\u00f6tt man kan bli av att koncentrera sig s\u00e5 h\u00e5rt. Jag har inget samvete n\u00e4r det g\u00e4ller mitt arbete. Jag utg\u00e5r fr\u00e5n att motivet \u00e4r lika besatt som jag.\u00ab\n\n\u00bbDet h\u00e4r kallar jag inte arbete.\u00ab\n\n\u00bbVi g\u00f6r trots allt bilder ihop.\u00ab\n\n\u00bbArbeta \u00e4r vad jag g\u00f6r f\u00f6r att m\u00e5 d\u00e5ligt.\u00ab\n\n\u00bbVarf\u00f6r m\u00e5ste man m\u00e5 bra?\u00ab\n\n\u00bbPrecis. N\u00e4r jag var barn brukade jag referera matcher f\u00f6r mig sj\u00e4lv. Jag satt i ett rum och hittade p\u00e5 matcherna och beskrev boll f\u00f6r boll med h\u00f6g r\u00f6st. Jag var spelarna, kommentatorn, publiken, \u00e5h\u00f6rarna och radion. Inte en enda g\u00e5ng sen dess har jag m\u00e5tt tilln\u00e4rmelsevis lika bra.\u00ab\n\nHan hade en r\u00f6kares skratt, sprucket och retat.\n\n\u00bbJag minns namnen p\u00e5 alla de d\u00e4r spelarna, vilka platser de hade, deras placering i slagordningen. Jag h\u00e5ller j\u00e4mt p\u00e5 och drar slagordningar i huvudet. Och i mitt skrivande har jag s\u00f6kt efter den sortens oskuld \u00e4nda sen dess. Den of\u00f6rst\u00f6rda fantasileken. Man sitter uppfylld av inbillningens perfekta klarhet. Det finns inget som skiljer en fr\u00e5n spelarna, rummet fr\u00e5n planen. Allting \u00e4r i ett stycke och genomskinligt. Och det \u00e4r fullst\u00e4ndigt spontant. Det \u00e4r jagets tvekl\u00f6sa lek som g\u00e5tt f\u00f6rlorad.\u00ab\n\n\u00bbJag vet inte, Bill.\u00ab\n\n\u00bbInte jag heller.\u00ab\n\n\u00bbDet l\u00e5ter mer som sinnessjukdom tycker jag.\u00ab\n\nHan skrattade igen. Hon tog bilder p\u00e5 honom n\u00e4r han skrattade tills rullen var slut. Sedan laddade hon om och flyttade honom bort fr\u00e5n fotolampan och b\u00f6rjade kn\u00e4ppa igen, nu med hj\u00e4lp av dagsljuset fr\u00e5n f\u00f6nstret.\n\n\u00bbDet var s\u00e5 sant. Jag har en h\u00e4lsning fr\u00e5n Charles Everson.\u00ab\n\nBill hissade upp byxorna. Han tittade liksom f\u00f6rbi henne och trevade \u00f6ver sig sj\u00e4lv efter cigaretter.\n\n\u00bbJag st\u00f6tte p\u00e5 honom p\u00e5 en f\u00f6rlagsfest f\u00f6r ett tag sen. Han fr\u00e5gade hur det gick med projektet. Jag sa att jag antagligen skulle f\u00e5 tr\u00e4ffa er.\u00ab\n\n\u00bbJa, varf\u00f6r skulle ni inte n\u00e4mna det.\u00ab\n\n\u00bbJag hoppas det inte gjorde n\u00e5t.\u00ab\n\n\u00bbBilderna kommer ut f\u00f6rr eller senare.\u00ab\n\n\u00bbDet enda jag skulle h\u00e4lsa var faktiskt att Charles vill tala med er. Han ville inte s\u00e4ga vad det g\u00e4llde. Jag sa \u00e5t honom att skriva ett brev. Han sa att ni inte l\u00e4ser er post.\u00ab\n\n\u00bbScott l\u00e4ser min post.\u00ab\n\n\u00bbHan sa att det han ville tala om inte fick f\u00f6ras vidare. Alldeles f\u00f6r k\u00e4nsligt. Han sa ocks\u00e5 att han hade varit er f\u00f6rl\u00e4ggare och mycket n\u00e4ra v\u00e4n. Och han sa att det var jobbigt att inte kunna ta direkt kontakt med er.\u00ab\n\nBill skyfflade undan papperen p\u00e5 skrivbordet, nu letade han efter t\u00e4ndstickor.\n\n\u00bbHur \u00e4r det med gamle Charlie nu f\u00f6r tiden?\u00ab\n\n\u00bbHan \u00e4r sig lik. Mjuk, sk\u00e4r och glad.\u00ab\n\n\u00bbAlltid nya f\u00f6rfattare, f\u00f6rst\u00e5r ni. De sitter i sina h\u00f6rnrum och beh\u00f6ver aldrig oroa sig f\u00f6r hur de ska \u00f6verleva ett fiasko eftersom en ny bok alltid \u00e4r p\u00e5 v\u00e4g, en ny het tilldragelse. De lever, vi d\u00f6r. Ett f\u00f6rh\u00e5llande i perfekt balans.\u00ab\n\n\u00bbHan sa att ni skulle s\u00e4ga n\u00e5t i den stilen.\u00ab\n\n\u00bbOch ni v\u00e4ntade med att prata om honom. Ni ville inte sl\u00e4ppa bomben f\u00f6r tidigt.\u00ab\n\n\u00bbJag ville ha mina bilder f\u00f6rst. Jag visste inte hur ni skulle reagera p\u00e5 nyheter fr\u00e5n ytterv\u00e4rlden.\u00ab\n\nHan t\u00e4nde t\u00e4ndstickan och gl\u00f6mde sedan bort den.\n\n\u00bbVet ni vad de gillar b\u00e4st? S\u00e4tta in s\u00e5na d\u00e4r svartkantade runor n\u00e4r en f\u00f6rfattare har d\u00f6tt. Det f\u00e5r dem att k\u00e4nna sig som delaktiga i en \u00e4rev\u00f6rdig tradition.\u00ab\n\n\u00bbHan vill bara att ni ska ringa upp honom. Han s\u00e4ger att det g\u00e4ller n\u00e5t r\u00e4tt viktigt.\u00ab\n\nHan vred p\u00e5 huvudet tills cigaretten i mungipan m\u00f6tte l\u00e5gan.\n\n\u00bbJu fler b\u00f6cker de ger ut, desto svagare blir vi. Tv\u00e5nget att avv\u00e4pna f\u00f6rfattarna \u00e4r den hemliga kraft som h\u00e5ller branschen i g\u00e5ng.\u00ab\n\n\u00bbNi vill g\u00e4rna vara lite fanatisk. Jag vet hur det k\u00e4nns, tro mig. Men vad kan vara mer avv\u00e4pnande \u00e4n den rena fantasileken? Ni vill sitta i ert rum och t\u00e4nka p\u00e5 baseboll. Kanske \u00e4r det bara en metafor, en oskuld, men \u00e4r det inte just det som g\u00f6r era b\u00f6cker s\u00e5 omtyckta? Ni s\u00e4ger att det \u00e4r en f\u00f6rlorad lek som ni har f\u00f6rs\u00f6kt hitta tillbaka till som f\u00f6rfattare. Den kanske inte \u00e4r s\u00e5 f\u00f6rlorad. Det som ni s\u00e4ger att ni s\u00f6ker i ert skrivande, \u00e4r det inte just det som folk ser i era b\u00f6cker?\u00ab\n\n\u00bbJag vet bara vad jag ser. Och vad jag inte ser.\u00ab\n\n\u00bbBer\u00e4tta vad det betyder.\u00ab\n\nHan sl\u00e4ngde t\u00e4ndstickan i askkoppen p\u00e5 skrivbordet.\n\n\u00bbVarje mening har en sanning som v\u00e4ntar i slutet och f\u00f6rfattaren f\u00e5r veta hur han ska f\u00f6rst\u00e5 den n\u00e4r han \u00e4ntligen kommer dit. P\u00e5 ett plan \u00e4r denna sanning sj\u00e4lva melodin i meningen, rytmen och tempot, men p\u00e5 ett djupare plan \u00e4r det f\u00f6rfattarens integritet n\u00e4r han samspelar med spr\u00e5ket. Jag har alltid uppfattat mig sj\u00e4lv i meningar. Jag kommer mig sj\u00e4lv n\u00e4rmare, ord f\u00f6r ord, under tiden jag arbetar med en mening. Spr\u00e5ket i mina b\u00f6cker har format mig som m\u00e4nniska. N\u00e4r en mening st\u00e4mmer f\u00e5r den en moralisk styrka. Den uttrycker f\u00f6rfattarens vilja att leva. Ju l\u00e4ngre jag dras in i arbetet med att formulera en mening r\u00e4tt, med stavelserna och rytmen, desto mer uppt\u00e4cker jag om mig sj\u00e4lv. Jag har jobbat l\u00e4nge och h\u00e5rt med meningarna i den h\u00e4r boken men inte tillr\u00e4ckligt l\u00e4nge och inte tillr\u00e4ckligt h\u00e5rt f\u00f6r nu kan jag inte l\u00e4ngre se mig sj\u00e4lv i spr\u00e5ket. Bildfl\u00f6det har upph\u00f6rt, existerandets kod som sporrade mig och fick mig att lita p\u00e5 v\u00e4rlden. Den h\u00e4r boken och de h\u00e4r \u00e5ren har tagit kn\u00e4cken p\u00e5 mig. Jag har gl\u00f6mt vad det inneb\u00e4r att skriva. Gl\u00f6mt min egen huvudregel. Skriv enkelt, Bill. Jag har saknat mod och uth\u00e5llighet. Sliten. Less p\u00e5 att k\u00e4mpa. Jag har l\u00e5tit det som duger f\u00e5 duga. Det h\u00e4r \u00e4r n\u00e5n annans bok. Den k\u00e4nns bara konstlad och fel. Jag har lurat mig sj\u00e4lv till att forts\u00e4tta, till att tro. Kan ni fatta hur det kan ske? Jag sitter med en bok som \u00e4r stend\u00f6d.\u00ab\n\n\u00bbVet Scott att ni k\u00e4nner s\u00e5 h\u00e4r?\u00ab\n\n\u00bbScott. Scott har kommit mycket l\u00e4ngre \u00e4n jag. Scott vill inte att jag ska ge ut den.\u00ab\n\n\u00bbMen det \u00e4r ju helt vansinnigt.\u00ab\n\n\u00bbNej, det \u00e4r det inte. Det ligger n\u00e5t i det.\u00ab\n\n\u00bbN\u00e4r blir ni klar?\u00ab\n\n\u00bbKlar. Jag \u00e4r klar. Boken har varit klar i tv\u00e5 \u00e5r. Men jag skriver nya sidor och petar med sm\u00e5saker. Jag skriver f\u00f6r att \u00f6verleva nu, f\u00f6r att hj\u00e4rtat ska forts\u00e4tta sl\u00e5.\u00ab\n\n\u00bbVisa n\u00e5n annan.\u00ab\n\n\u00bbScott \u00e4r intelligent och fullst\u00e4ndigt \u00e4rlig.\u00ab\n\n\u00bbDet \u00e4r bara hans \u00e5sikt.\u00ab\n\n\u00bbVilket omd\u00f6me som helst som enbart tar h\u00e4nsyn till kvalitet kommer att l\u00e5ta likadant. Och vad ont det g\u00f6r n\u00e4r man vet att utslaget \u00e4r riktigt. Och vad man f\u00f6rs\u00f6ker undvika det, f\u00f6rvr\u00e4nga det, vanst\u00e4lla det. Och det kunde komma ut. Och n\u00e4r det v\u00e4l h\u00e4nder.\u00ab\n\n\u00bbNi skriver klart boken, ni ger ut den och ni tar konsekvenserna.\u00ab\n\n\u00bbJag ska ge ut den.\u00ab\n\n\u00bbDet \u00e4r enkelt, Bill.\u00ab\n\n\u00bbDet g\u00e4ller bara att best\u00e4mma sig och s\u00e4tta i g\u00e5ng och g\u00f6ra det.\u00ab\n\n\u00bbOch ni ska sluta upp med att skriva om sidor. Boken \u00e4r f\u00e4rdig. Jag vill inte \u00f6verdriva det h\u00e4r med att allting \u00e4r enkelt. Men den \u00e4r klar, s\u00e5 nu slutar ni.\u00ab\n\nHon s\u00e5g hur hans skarpa blick besegrades av en vekhet, en klar\u00f6gd r\u00e4dsla som tycktes komma direkt fr\u00e5n barndomen. Den var naken som en sista b\u00f6n. Hon f\u00f6rs\u00f6kte komma \u00e5t den. Hans ansikte blev utmattat och slappt n\u00e4r det f\u00f6rvandlades till platt och svartvitt, med spruckna l\u00e4ppar och vildsinta \u00f6gonbryn, \u00e5ldersrynkor som griper om hakan, gamla motg\u00e5ngar och sorger. Hon gick n\u00e4rmare och st\u00e4llde in sk\u00e4rpan, hon kn\u00e4ppte och kn\u00e4ppte och han stod d\u00e4r och tittade in i objektivet med bl\u00e4nkande veka \u00f6gon.\n\n#  4\n\nVID lunchen ber\u00e4ttade Scott en historia f\u00f6r henne fr\u00e5n sin luffartid, f\u00f6r tio \u00e5r sedan, en g\u00e5ng d\u00e5 han var sjuk och pank i Aten och f\u00f6rs\u00f6kte tigga till sig dollar fr\u00e5n amerikanska turister f\u00f6r att kunna hoppa p\u00e5 en s\u00e5dan d\u00e4r amfetaminbuss som k\u00f6r direkt till Himalaya, en skr\u00e4ckf\u00e4rd p\u00e5 omkring hundra timmar nonstop, genom krig och bergspass, men han kom ingenvart. Han gick ut p\u00e5 det stora torget och s\u00e5g n\u00e5gra m\u00e4nniskor som stod p\u00e5 trappan till ett trevligt gammalt hotell med ett europeiskt namn han inte kom ih\u00e5g.\n\n\u00bbGrande Bretagne.\u00ab\n\nJust det. Det var ett filmteam och n\u00e5gra karlar som s\u00e5g ut som regeringstj\u00e4nstem\u00e4n och en femtio, sextio personer som bara r\u00e5kat komma f\u00f6rbi. Scott gick dit och s\u00e5g en man p\u00e5 \u00f6versta trappsteget som var kl\u00e4dd i khakiuniform och rutig duk p\u00e5 huvudet, en kortvuxen kille med sk\u00e4ggstubb, och det var Yassir Arafat och han stod och vinkade \u00e5t folket nere p\u00e5 trottoaren. N\u00e4r en hotellg\u00e4st kom ut genom d\u00f6rren nickade Arafat och log och m\u00e4nniskor i folkhopen log tillbaka. Sedan sa Arafat n\u00e5got till en tj\u00e4nsteman och mannen skrattade och alla p\u00e5 trottoaren log lite till. Scott uppt\u00e4ckte att han sj\u00e4lv flinade brett. Han k\u00e4nde hur leendet bredde ut sig \u00f6ver ansiktet och han s\u00e5g p\u00e5 folk runt omkring och de s\u00e5g leende p\u00e5 honom och alla var uppenbart \u00f6verens om att de trivdes tillsammans. Och Arafat log igen medan han talade med tj\u00e4nstem\u00e4nnen, han gjorde stora gester f\u00f6r kameran, pekade mot ing\u00e5ngen och b\u00f6rjade sedan g\u00e5 \u00e5t det h\u00e5llet. Nu appl\u00e5derade alla. N\u00e5gon skakade hand med Arafat och det blev fler appl\u00e5der. Han l\u00e5ter en fr\u00e4mling skaka hand med honom. Scott log och appl\u00e5derade, han s\u00e5g m\u00e4nnen i trappan appl\u00e5dera. N\u00e4r Arafat gick in log m\u00e4nniskorna p\u00e5 trottoaren och klappade i h\u00e4nderna en sista g\u00e5ng. De ville g\u00f6ra honom glad.\n\n\u00bbKom du till Himalaya?\u00ab\n\n\u00bbJag kom till Minneapolis. Jag \u00e5terv\u00e4nde till skolan ett \u00e5r men hoppade av igen och drogs ner i en ny spiral med droger och apati. Det var inget s\u00e4rskilt med det, inte ens f\u00f6r mig. Jag jobbade som expedit ett tag i en skoaff\u00e4r med tjocka helt\u00e4ckande mattor. N\u00e5n l\u00e5nade mig Bills f\u00f6rsta roman och jag sa v\u00e4nta nu, vad \u00e4r det h\u00e4r? Den handlade om mig p\u00e5 n\u00e5t s\u00e4tt. Jag fick lov att l\u00e4sa l\u00e5ngsamt f\u00f6r att inte sm\u00e4lla av. Jag s\u00e5g mig sj\u00e4lv. Det var min bok. St\u00e4mde med mitt s\u00e4tt att t\u00e4nka och k\u00e4nna. Han hade f\u00e5ngat rundg\u00e5ngen. Hur saker passar in n\u00e4stan \u00f6verallt och inget blir riktigt bortgl\u00f6mt.\u00ab\n\n\u00bbJust det. Meningar med inbyggda minnen.\u00ab\n\n\u00bbN\u00e4r jag l\u00e4ser Bill t\u00e4nker jag p\u00e5 fotografier av sm\u00e5husomr\u00e5den i utkanten av \u00f6knen. Det finns ett undertryckt hot i dem. Det d\u00e4r fantastiska Winograndfotot av ett litet barn p\u00e5 en betonginfart och den omkullv\u00e4lta trehjulingen och \u00e5skmolnets skugga \u00f6ver den karga bergsryggen.\u00ab\n\n\u00bbDet \u00e4r en vacker bild.\u00ab\n\n\u00bb\u00c4t upp nu. Jag ska visa dig vinden.\u00ab\n\n\u00bbVarf\u00f6r vill du inte att han ska ge ut den?\u00ab\n\n\u00bbDet \u00e4r hans sak. Han g\u00f6r som han vill. Men han kan sj\u00e4lv tala om f\u00f6r dig att den \u00e4r svag. Sorgligt svag. Bill har h\u00e5llit p\u00e5 till och fr\u00e5n i tjugotre \u00e5r med den h\u00e4r boken. Han \u00f6verger den, han \u00e5terv\u00e4nder. Han skriver om den och l\u00e4gger den \u00e5t sidan. Han b\u00f6rjar p\u00e5 n\u00e5t nytt och kommer sen tillbaka till den. Han reser n\u00e5nstans, han \u00e5terv\u00e4nder, han b\u00f6rjar arbeta igen, \u00e5ker bort, kommer tillbaka, arbetar varenda dag i tre \u00e5r, han l\u00e4gger den \u00e5t sidan, tar upp den, luktar p\u00e5 den, v\u00e4ger den, skriver om den, l\u00e4gger den \u00e5t sidan, b\u00f6rjar p\u00e5 n\u00e5t nytt, \u00e5ker bort, kommer tillbaka.\u00ab\n\n\u00bbDet l\u00e5ter fullst\u00e4ndigt.\u00ab\n\n\u00bbDet \u00e4r det. Arbetet har br\u00e4nt ut honom. Han \u00e4r utbr\u00e4nd. Bill har alltid varit tvungen att slita med vartenda ord. Bill g\u00e5r tv\u00e5 meter fr\u00e5n skrivbordet och tvivlet drabbar honom som en klubba i skallen. Han m\u00e5ste g\u00e5 tillbaka till skrivbordet och hitta ett stycke som han vet kan g\u00f6ra honom lugn. Han l\u00e4ser det och blir lugnad. En timme senare sitter han i bilen och k\u00e4nner av det igen, sidan \u00e4r fel, kapitlet \u00e4r fel och han kan inte bli kvitt sina tvivel f\u00f6rr\u00e4n han kommer tillbaka till skrivbordet och hittar ett st\u00e4lle som han vet kan g\u00f6ra honom lugn. Han l\u00e4ser det och blir lugnad. S\u00e5 har han h\u00e5llit p\u00e5 i hela sitt liv och nu har han inte fler lugnande stycken kvar.\u00ab\n\n\u00bbHur l\u00e4nge har du varit h\u00e4r?\u00ab\n\n\u00bb\u00c5tta \u00e5r. De senaste \u00e5ren har varit jobbiga f\u00f6r honom. Han har b\u00f6rjat dricka igen fast inte lika h\u00e4ftigt som f\u00f6rr. Han tar mediciner mot kr\u00e4mpor som l\u00e4karvetenskapen aldrig h\u00f6rt talas om. Han sover s\u00e4llan efter klockan fem p\u00e5 morgonen. Vaknar och stirrar upp i taket. N\u00e4r solen g\u00e5r upp hasar han sig bort till skrivbordet.\u00ab\n\n\u00bbVad jag kan f\u00f6rst\u00e5 \u00e4r en utgivning precis vad han beh\u00f6ver. Man m\u00e5ste visa folk vad man har gjort. Annars l\u00f6ser man v\u00e4l ingenting?\u00ab\n\n\u00bbBill st\u00e5r p\u00e5 toppen av sin ber\u00f6mmelse. Fr\u00e5ga mig varf\u00f6r. F\u00f6r att han inte har kommit ut med n\u00e5t p\u00e5 en oherrans massa \u00e5r. N\u00e4r hans b\u00f6cker publicerades f\u00f6rsta g\u00e5ngen, och det h\u00e4r har folk gl\u00f6mt eller aldrig k\u00e4nt till, betraktades de lite grann som kuriositeter. Jag har l\u00e4st recensionerna. Sm\u00e5 lustigheter, som vad \u00e4r det h\u00e4r f\u00f6r n\u00e5t besynnerligt. Det \u00e4r \u00e5ren d\u00e4refter som gjort honom stor. Bill blev k\u00e4ndis p\u00e5 att inte g\u00f6ra n\u00e5nting. Omv\u00e4rlden hann ifatt. Omtryck p\u00e5 omtryck. Vi har en stadig liten inkomst varav det mesta g\u00e5r till hans tv\u00e5 f\u00f6re detta fruar och tre f\u00f6re detta barn. Vi kunde g\u00f6ra en furstlig n\u00e5nting, m\u00e5nga miljoner, p\u00e5 den nya boken. Men det vore slutet p\u00e5 Bill som myt, som kraft. Bill blir st\u00f6rre allt eftersom hans avst\u00e5nd till scenen v\u00e4xer.\u00ab\n\n\u00bbMen varf\u00f6r vill ni d\u00e5 ha fotografierna?\u00ab\n\n\u00bbJag vill inte. Han vill.\u00ab\n\n\u00bbJaha.\u00ab\n\n\u00bbJag har sagt det om och om igen. Rena vansinnet. Jag har predikat f\u00f6r den stackars saten. G\u00f6r det inte. Det \u00e4r galenskap. Sj\u00e4lvmord.\u00ab\n\n\u00bbDet m\u00e4rkte jag inte p\u00e5 dig.\u00ab\n\n\u00bbEftersom jag g\u00f6r mitt jobb. Han fattar besluten och jag verkst\u00e4ller dem. Om han best\u00e4mmer sig f\u00f6r utgivning kommer jag att arbeta dygnet runt med spaltkorrekturen, det ombrutna korrekturet, allting. Han vet det. Men f\u00f6r Bill finns det bara en sak som \u00e4r v\u00e4rre \u00e4n skrivandet och det \u00e4r publiceringen. N\u00e4r boken kommer ut. N\u00e4r m\u00e4nniskor k\u00f6per den och l\u00e4ser den. Han k\u00e4nner sig fullst\u00e4ndigt och fruktansv\u00e4rt utl\u00e4mnad. De tar med sig boken hem och v\u00e4nder p\u00e5 sidorna. De l\u00e4ser orden som st\u00e5r d\u00e4r.\u00ab\n\nUppe p\u00e5 vinden fanns det arkivsk\u00e5p med referensmaterial. Scott l\u00e4ste upp olika rubriker och visade henne den ena f\u00e4rgmarkerade mappen efter den andra. Hans skrivbord och skrivmaskin stod h\u00e4r. Kartonger fyllda med l\u00f6sa manuskriptblad. En stor kopieringsapparat och hyllor som dignade av uppslagsb\u00f6cker, skrivhandb\u00f6cker och packar med tidskrifter. Han gav Brita en ljusgr\u00e5 manuskriptl\u00e5da utan etikett, pekade p\u00e5 sex likadana l\u00e5dor p\u00e5 skrivbordet och sa att detta var den slutliga versionen, den utskrivna och r\u00e4ttade och korrl\u00e4sta versionen av Bills nya roman.\n\nMen Bill h\u00f6ll fortfarande p\u00e5 att arbeta, att inf\u00f6ra \u00e4ndringar. De h\u00f6rde honom knacka p\u00e5 maskinen n\u00e4r de gick ner igen.\n\nHan tog en kopp kaffe och en sm\u00f6rg\u00e5s vid skrivbordet. Det h\u00f6rdes ett gammalt vattnigt kvidande l\u00e5ngt ner i kroppen, n\u00e4r han sedan fortsatte att sl\u00e5 p\u00e5 tangenterna. Dagens f\u00f6rsta ord satte i g\u00e5ng s\u00e5dana fysiska larmsignaler, kink och gn\u00e4ll, livsfunktionernas motst\u00e5nd mot slavarbete. M\u00e5ste n\u00e4stan ta ett bloss, eller hur? Han h\u00f6rde n\u00e4r de kom nerf\u00f6r trappan och s\u00e5g framf\u00f6r sig hur de bem\u00f6dade sig om att inte knarra, hur de sm\u00f6g tysta och hukande. Vi f\u00e5r inte st\u00f6ra familjed\u00e5ren i det l\u00e5sta rummet. Han visste inte om hon t\u00e4nkte ge sig av direkt. Han trodde att det skulle k\u00e4nnas pinsamt att tr\u00e4ffa henne igen. Det fanns ju inget mer att s\u00e4ga, eller hur? De hade upplevt en n\u00e4rhet som k\u00e4ndes tom och billig i samma \u00f6gonblick som hon gick ut ur rummet. Han mindes inte riktigt vad han hade sagt till henne, men han visste att det var helt fel, det var en utgjutelse, ett \u00f6vermod, som var s\u00e5 mycket v\u00e4rre eftersom det i stort sett var sant. Vem var hon f\u00f6rresten? N\u00e5got starkt i hennes ansikte, det omutliga i livsvalet, i det som kr\u00e4vs f\u00f6r att ta sig fram, en avskalad kraft, en fasthet, naken men inte ovaksam. Han skulle mycket v\u00e4l kunna stiga upp fr\u00e5n skrivbordet och fara till New York och leva med henne resten av sitt liv i en takv\u00e5ning som vette mot parken eller floden eller b\u00e5dadera. Sitter och stirrar ut \u00f6ver tangenterna. F\u00f6rr var det s\u00e5 att tiden st\u00f6rtade \u00f6ver honom n\u00e4r han b\u00f6rjade p\u00e5 en bok, tiden sj\u00f6nk och tyngde ner och sedan lyfte den n\u00e4r han var f\u00e4rdig. Nu lyfte den inte. Men s\u00e5 var han inte f\u00e4rdig heller. Bo i en stor ljus l\u00e4genhet med gr\u00e5a lakan i s\u00e4ngen och l\u00e4sa doftande veckotidningar. Vi har den teoretiska fysikerns oerh\u00f6rda och t\u00e4njbara rum-tid, tid som \u00e4r skild fr\u00e5n m\u00e4nsklig erfarenhet, naturens egen kurva, och vi har romanf\u00f6rfattarens ofredade tid, intim, kr\u00e4vande, unken och trist. T\u00e4nderna k\u00e4ndes mjuka i dag. Han m\u00e5ste smyga in i sovrummet och blanda ihop lite sk\u00e4ra och gula fluoriserade multivitaminer och under tiden f\u00e5r vi koncentrera oss p\u00e5 sidan, skriv en bokstav och en till. Han ville knulla henne h\u00f6gt och ljudligt p\u00e5 en h\u00e5rd s\u00e4ng medan regnet piskade mot f\u00f6nsterrutorna. K\u00e4re s\u00f6te Jesus, l\u00e5t mig f\u00e5 arbeta. Varje bok \u00e4r ett spr\u00e4nglopp, det \u00e4r lika bra att inse. M\u00e5ste bli f\u00e4rdig. Kan inte d\u00f6 \u00e4n. Han slog p\u00e5 s\u00e5 m\u00e5nga tangenter som det beh\u00f6vdes f\u00f6r att f\u00e5 ihop till en mening och \u00f6verv\u00e4gde att g\u00e5 ner och s\u00e4ga adj\u00f6 till henne men det skulle bara g\u00f6ra dem b\u00e5da generade. Hon hade ju f\u00e5tt vad hon var ute efter eller hur? Jag \u00e4r ett foto nu, platt som duvskit p\u00e5 en Dodge. Han s\u00e5g att han hade kastat om tv\u00e5 bokst\u00e4ver, det h\u00e4nde ofta numera, ett av m\u00e5nga tecken p\u00e5 att det var n\u00e5got som v\u00e4xte i hj\u00e4rnan p\u00e5 honom, och han drog upp papperet och tippexade \u00f6ver felet och m\u00e5ste sedan v\u00e4nta medan det torkade. Som han straffade sig sj\u00e4lv f\u00f6r sina st\u00e4ndiga misstag vid skrivmaskinen, dessa eviga felslag, skrivfelen gav s\u00e5dan \u00e5ngest, meningsl\u00f6sa tabbar som flimrade f\u00f6r \u00f6gat, och han glodde p\u00e5 den vita v\u00e4tskan som torkade och t\u00e4nkte inte forts\u00e4tta skriva f\u00f6rr\u00e4n den hade bleknat p\u00e5 papperet, vilket var s\u00e5v\u00e4l straffet som flykten. Hennes hand mot hans ansikte, s\u00e5 h\u00e4pen han hade blivit \u00f6ver att k\u00e4nna sig s\u00e5 p\u00e5verkad av gesten, av det full\u00e4ndade i en enkel ber\u00f6ring. Vill leva som andra m\u00e4nniskor och \u00e4ta tref\u00e4rgad pasta p\u00e5 sm\u00e5st\u00e4llen i n\u00e4rheten av parken. H\u00e5ller j\u00e4mt p\u00e5 att m\u00e5la \u00f6ver och fylla i. Han tittade p\u00e5 meningen, sex tr\u00f6stl\u00f6sa ord, och s\u00e5g hela boken som den just nu tog form i hans huvud, en kastrerad halvm\u00e4nska som sl\u00e4pade sig genom huset, en puckelrygg, en vattenskalle med hopsn\u00f6rpt mun och svampig hud, med hj\u00e4rnsubstansen rinnande ur mungipan. Tagit honom alla dessa \u00e5r att inse att den h\u00e4r boken var hans v\u00e4rsta fiende. Inl\u00e5st med honom i det f\u00f6rbjudna rummet, h\u00f6ll honom i ett strupgrepp. Han unders\u00f6kte det oerh\u00f6rt komplicerade f\u00f6rfarandet med att byta f\u00e4rgband. S\u00e5 mycket f\u00f6r och emot, s\u00e5 mycket alter och ego. Han k\u00e4nde det komma, n\u00f6s ordentligt \u00f6ver sidan och kunde sedan konstatera blodfl\u00e4ckade st\u00e4nk om \u00e4n tunt och sparsamt. Han t\u00e4nkte inte bev\u00e4rdiga det med att kalla det snor. Hon gillar min ilska. Leva mitt i kubiststaden, med s\u00f6ndagstidningar dr\u00e4llande \u00f6verallt och blanka bagels p\u00e5 ett fat. Jag befinner mig mellan tv\u00e5 romaner, brukade han s\u00e4ga, s\u00e5 jag kan lika g\u00e4rna d\u00f6. Problemet med hans andra hustru. Men gl\u00f6m det. Bo i n\u00e4rheten av museerna och gallerierna, st\u00e5 i biok\u00f6er, korka upp vinerna, m\u00f6blera om, sova i de gr\u00e5a lakanen, \u00e4lska henne, best\u00e4lla hem, vi best\u00e4ller hem n\u00e5t i kv\u00e4ll, g\u00e5 ut med hundarna, s\u00e4ga orden, h\u00f6ra d\u00f6rrvakterna vissla efter taxi, regn som piskar mot f\u00f6nstren.\n\nBrita var klar att \u00e5ka n\u00e4r som helst. Hon gick ner i k\u00f6ket och h\u00e4llde upp en kopp kaffe. Hon slog sig ner vid bordet och s\u00e5g sig omkring. En ung kvinna kom in och viskade hej. Hon lutade sig \u00f6ver bordet st\u00f6dd p\u00e5 ena handen och med v\u00e4nstra foten aningen lyft fr\u00e5n golvet. Hon hade l\u00e5ngt rakt ljusbrunt h\u00e5r och en l\u00e4tt utskjutande mun som gav henne ett obarmh\u00e4rtigt utseende.\n\n\u00bbHur m\u00e5nga bilder tog du?\u00ab\n\n\u00bbVi pratade och jobbade ett tag och sen tog jag n\u00e5gra rullar till n\u00e4r vi inte hade mer att prata om och sen n\u00e5gra till efter det.\u00ab\n\n\u00bbSkulle du s\u00e4ga att detta var en normal dag eller ett steg in i den hemska om\u00e5ttlighetens v\u00e4rld?\u00ab\n\n\u00bbVad heter du?\u00ab\n\n\u00bbKaren.\u00ab\n\n\u00bbOch du bor h\u00e4r.\u00ab\n\n\u00bbScott och jag.\u00ab\n\n\u00bbJag ska s\u00e4ga som det \u00e4r, Karen. Jag \u00e4r inte intresserad av fotografi. Jag \u00e4r intresserad av f\u00f6rfattare.\u00ab\n\n\u00bbVarf\u00f6r stannar du inte hemma och l\u00e4ser d\u00e5?\u00ab\n\nHon tog en kartong med muffins fr\u00e5n b\u00e4nken och st\u00e4llde den bredvid Britas kaffekopp. Sedan kurade hon ihop sig p\u00e5 en stol och b\u00f6rjade leka med en kvargl\u00f6md sked. Hon var kl\u00e4dd i en sladdrig blus \u00f6ver bl\u00e5 jeans, hon hade kropp som en ton\u00e5ring, allt det kantiga och skeva och kladdiga, och ett s\u00e4tt att sm\u00e4lta ihop med m\u00f6blerna, ett slags sl\u00e4ngig obeslutsamhet.\n\n\u00bbJag l\u00e4ser hemma\u00ab, sa Brita, \u00bbjag l\u00e4ser p\u00e5 hotell, jag tar en bok med mig p\u00e5 tjugofemminutersresan till tandl\u00e4karen. Och sen l\u00e4ser jag i v\u00e4ntrummet.\u00ab\n\n\u00bbHar du alltid vetat att du ville bli fotograf?\u00ab\n\n\u00bbJag l\u00e4ser p\u00e5 flygplan, jag l\u00e4ser p\u00e5 tv\u00e4ttomater. Hur gammal \u00e4r du?\u00ab\n\n\u00bbTjugofyra.\u00ab\n\n\u00bbOch du hj\u00e4lper till h\u00e4r.\u00ab\n\n\u00bbScott g\u00f6r det mesta. Han har hand om utgifterna, pengarna, han betalar skatterna, han fixar maskinerna, han besvarar alla brev Bill f\u00e5r utom de knasiga som vi h\u00f6gaktningsfullt struntar i f\u00f6r att inte uppmuntra dem. Vi delar p\u00e5 matlagningen och ink\u00f6pen fast han g\u00f6r nog mer \u00e4n jag. Han sk\u00f6ter all arkivering, ordnar alla papper. Jag st\u00e4dar som en liten skurk\u00e4ring och det \u00e4r helt okej. Jag l\u00e5tsas att jag \u00e4r tjock och g\u00e5r som en anka. Vi renskriver ungef\u00e4r lika mycket, Scott g\u00f6r den sista perfekta utskriften och sen korrl\u00e4ser vi tillsammans, vilket nog \u00e4r det vi gillar mest.\u00ab\n\n\u00bbOch du tror inte p\u00e5 det h\u00e4r med fotografierna.\u00ab\n\n\u00bbVi \u00e4lskar Bill, det \u00e4r bara det.\u00ab\n\n\u00bbOch du hatar mig f\u00f6r att jag \u00e5ker h\u00e4rifr\u00e5n med alla filmrullarna.\u00ab\n\n\u00bbDet \u00e4r bara en k\u00e4nsla av att det \u00e4r n\u00e5t som \u00e4r fel. Vi har en tillvaro h\u00e4r som \u00e4r uppbyggd med omsorg. Det ligger mycket planering och tankar bakom Bills s\u00e4tt att leva och nu har det pl\u00f6tsligt uppst\u00e5tt en spricka. Hur s\u00e4ger man, en r\u00e4mna.\u00ab\n\nBilen k\u00f6rde fram, en d\u00f6rr \u00f6ppnades och st\u00e4ngdes igen. Karen slog med pekfingret p\u00e5 skedbladet, g\u00e5ng p\u00e5 g\u00e5ng, s\u00e5 att skaftet gungade upp och ner.\n\n\u00bbVad s\u00e4ger du om yrkeskvinnor och \u00e4ktenskap?\u00ab sa hon.\n\n\u00bbJag \u00e4r skild sen m\u00e5nga \u00e5r tillbaka. Han bor i Belgien. Vi pratar inte med varandra.\u00ab\n\n\u00bbHar du barn som fortfarande \u00e4r upprivna efter skilsm\u00e4ssan s\u00e5 att alla g\u00e5r och vaktar p\u00e5 varandra och du kan se f\u00f6rebr\u00e5elserna lura l\u00e5ngt inne i \u00f6gonen p\u00e5 dem fast det var s\u00e5 l\u00e4nge sen?\u00ab\n\n\u00bbTyv\u00e4rr inte.\u00ab\n\n\u00bbJag har inte k\u00e4nt m\u00e5nga som har ett yrke. Det l\u00e5ter s\u00e5 viktigt. Att ha ett yrke. Har du en flaska vodka liggande i frysen?\u00ab\n\n\u00bbJa faktiskt.\u00ab\n\n\u00bbS\u00e4ger folk till dig att de gillar det du g\u00f6r? Kommer de fram till dig p\u00e5 partyn i New York och s\u00e4ger: \u203aJag bara m\u00e5ste f\u00e5 tala om f\u00f6r dig.\u2039 Eller: \u203aDu k\u00e4nner inte mig men jag ville bara.\u2039 Eller: \u203aJag kunde inte l\u00e5ta bli att s\u00e4ga hur jag k\u00e4nde och jag hoppas att du urs\u00e4ktar om jag \u00e4r p\u00e5tr\u00e4ngande.\u2039 Och sen tittar du p\u00e5 dem och ler liksom blygt.\u00ab\n\nScott kom in med matkassar. Han tog en kopp kaffe och ber\u00e4ttade historien om sin resa upp ur apatin. Hur han b\u00f6rjade skriva brev till Bill under f\u00f6rlagets adress. Han skrev nio eller tio brev, allvarliga och sj\u00e4lvrannsakande, fulla med allt som en misslyckad gosse beh\u00f6ver s\u00e4ga en f\u00f6rfattare vars b\u00f6cker har ber\u00f6rt honom. Han hade inte vetat att han kunde frammana s\u00e5 djupa k\u00e4nslor eller formulera dem s\u00e5 h\u00e4mningsl\u00f6st och glatt. Vissa kosmiska ord skrev han med stora bokst\u00e4ver och andra fick en ovanlig stavning f\u00f6r att blottl\u00e4gga en andra och tredje inneb\u00f6rd. Breven frigjorde n\u00e5got hos honom, kanske en k\u00e4nsla av att han inte var ensam, att v\u00e4rlden var en plats d\u00e4r spr\u00e5kets resen\u00e4rer har samma erfarenheter. Hur han till slut fick svar, tv\u00e5 rader, hastigt nerskrivna f\u00f6r hand, d\u00e4r det stod att det aldrig finns tid att svara ordentligt men tack f\u00f6r breven. Hur Scott tog det som en uppmuntran och skrev fem brev till, intensiva och storslagna, och i det sista skrev han att han t\u00e4nkte ge sig ut och leta efter Bill, att han m\u00e5ste tr\u00e4ffa och tala med Bill, att han inte l\u00e4ngre kunde tygla sin l\u00e4ngtan efter att s\u00f6ka mannen som skrivit dessa b\u00f6cker. Hur Bill inte svarade. Och hur Scott tog det som en uppmuntran eftersom Bill kunde ha skrivit och sagt Gl\u00f6m det, kom inte hit, kom inte ens i n\u00e4rheten. Han hade sparat kuvertet som Bills lapp legat i, det var postst\u00e4mplat i New York, men Scott hade l\u00e4st en artikel om f\u00f6rsvunna f\u00f6rfattare och r\u00e5kade veta att Bill h\u00f6ll sin vistelseort hemlig genom att skicka brev till sin f\u00f6rl\u00e4ggare f\u00f6r vidarebefordran.\n\n\u00bbOch d\u00e5 liftade du.\u00ab\n\nJa. Han tiggde skjuts vid v\u00e4gkanten p\u00e5 spikraka motorv\u00e4gar och det var ett s\u00e5 riskabelt f\u00f6retag att det fick honom att k\u00e4nna sig viktl\u00f6s d\u00e4r han stod i draget fr\u00e5n rullande dieseltruckar. Han hade solglas\u00f6gon med spegelglas och gick omkring med en tidl\u00f6s \u00f6sterl\u00e4ndsk skrift och sa till chauff\u00f6rerna att han h\u00f6ll p\u00e5 att leta efter en ber\u00f6md f\u00f6rfattare. Det fanns de som pratade om ber\u00f6mda m\u00e4nniskor de skulle vilja tr\u00e4ffa och det intressanta var att s\u00e5 f\u00e5 av dem fortfarande var i livet. Alla ber\u00f6mda var antingen d\u00f6da eller f\u00f6rbrukade. En pickup han \u00e5kte med b\u00f6rjade brinna strax v\u00e4ster om Fort Wayne och det k\u00e4ndes bra, det k\u00e4ndes r\u00e4tt, allting var s\u00e5 intensivt att det m\u00e5ste \u00f6verg\u00e5 i ett f\u00f6rh\u00f6jt tillst\u00e5nd. Han var upprymd, s\u00e5 exalterad att det tj\u00f6t om alla sinnen, han fl\u00f6g \u00f6ver vardagens simpla stank. En chauff\u00f6r fick sm\u00e4rtor i br\u00f6stet utanf\u00f6r Toledo och Scott k\u00f6rde honom till sjukhuset. Han k\u00e4nde sig pratsjuk och ber\u00e4ttade hela handlingen i en film han hade sett veckan f\u00f6re. Bilen var l\u00e4ttstyrd och livsk\u00e4nslan stegrades medan han k\u00f6rde och tog kurvorna s\u00e5 mjukt. Jag \u00e4r glad att vi fick den h\u00e4r pratstunden, sa han och sm\u00e5sprang bredvid b\u00e5ren n\u00e4r vakterna med h\u00f6g fart rullade in mannen i det vita ljuset. Tre dagar senare fick han jobb p\u00e5 postavdelningen p\u00e5 f\u00f6rlaget som gav ut Bill Grays b\u00f6cker.\n\nHur han fick v\u00e4nner. Hur han fick veta att breven som Bill skickade dit f\u00f6r vidarebefordran kom i ett stort brunt kuvert adresserat till postf\u00f6rest\u00e5ndaren, en v\u00e4nlig och s\u00f6mnig f\u00f6re detta IRA-kille som hette Joe Doheny och som \u00f6ppnade kuvertet och behandlade breven p\u00e5 vanligt s\u00e4tt. Scott v\u00e4ntade, bodde p\u00e5 KFUM, intog sina m\u00e5ltider st\u00e5ende vid smala diskar l\u00e4ngs f\u00f6nstret mot gatan s\u00e5 att han kunde se processionen av ansikten och sjukdomshistorier, folk som gick f\u00f6rbi i transtillst\u00e5nd och dansryckningar, genomstr\u00f6mningen av ras och form och f\u00f6rfall, och p\u00e5 dessa h\u00e5rda gator s\u00e5g till och med de friska och v\u00e4lkl\u00e4dda ankomna ut. Eftersom de gled allt djupare ner i sina egna liv. Eftersom de visste att framtiden inte ville ha dem. Eftersom de v\u00e4grade uppr\u00e4tta den n\u00f6dv\u00e4ndiga begr\u00e4nsade strukturen \u00e5t sig sj\u00e4lva, det hemliga \u00f6det. Det tog n\u00e5gra veckor innan han fick syn p\u00e5 ett brunt kuvert adresserat till Joe Doheny med Bills t\u00e4ta handstil. Det fanns f\u00f6rst\u00e5s ingen avs\u00e4ndaradress men Scott tittade p\u00e5 postst\u00e4mpeln och d\u00e4rp\u00e5 gick han till biblioteket och k\u00e5nkade en atlas \u00f6ver till ett bord och uppt\u00e4ckte att staden i fr\u00e5ga \u2013 han avsl\u00f6jade inte namnet f\u00f6r Brita \u2013 l\u00e5g ungef\u00e4r trettio mil utanf\u00f6r den medeltida stadens portar. Han blev inte direkt l\u00e4ttad n\u00e4r han uppt\u00e4ckte att Bill befann sig p\u00e5 bara n\u00e5gra timmars avst\u00e5nd fr\u00e5n New York. Han hade lika g\u00e4rna rest till Tchad eller Borneo eller Himalaya, och kanske upplevt en \u00e4nnu st\u00f6rre stegring.\n\nHan tog f\u00f6rst bussen och sista biten liftade han p\u00e5 mindre v\u00e4gar, med sig hade han en sovs\u00e4ck och det allra n\u00f6dv\u00e4ndigaste. Han gick runt i stan och h\u00f6ll \u00f6gonen p\u00e5 torget och postkontoret, en resultatl\u00f6s bevakning fem l\u00f6rdagar i rad. Men han hade inget emot det. Det h\u00e4r var hans liv nu och det var det enda viktiga. Han vistades i Bills verklighet, andades samma luft, s\u00e5g samma saker som Bill s\u00e5g. Han fr\u00e5gade inte folk om de visste vem Bill var eller var han bodde n\u00e5gonstans. Han var en liftare som tog dagen som den kom och ville inte dra uppm\u00e4rksamheten till sig. Efter femte l\u00f6rdagen sa han upp sig p\u00e5 jobbet och bodde p\u00e5 campingplatser i trakten och s\u00e5g en man som m\u00e5ste vara Bill kliva ur en bil utanf\u00f6r j\u00e4rnaff\u00e4ren, bara \u00e5tta dagar efter det att han l\u00e4mnat storstaden f\u00f6r gott.\n\n\u00bbVarf\u00f6r m\u00e5ste det vara Bill?\u00ab\n\n\u00bbDet var bara s\u00e5. Inte den minsta tvekan. Hur kan en fotograf st\u00e4lla en s\u00e5n fr\u00e5ga? Syns inte hans verk, hela hans liv i ansiktet p\u00e5 honom? Fanns det n\u00e5gra andra i denna lilla landsortsh\u00e5la som kunde se ut som om de hade skrivit hans b\u00f6cker? Nej, det m\u00e5ste vara han. Kort och satt, drog med handen genom h\u00e5ret. Gick mot mig. Fortsatte gatan fram. Blev mer och mer bekant f\u00f6r varje steg han tog. Det m\u00e5ste vara Bill och han var p\u00e5 v\u00e4g rakt mot mig och det k\u00e4ndes som om jag beh\u00f6vde syre. Vitala delar av min kropp h\u00f6ll p\u00e5 att l\u00e4gga av.\u00ab\n\nHur han gick fram till Bill och sa vem han var, den envise brevskrivaren, hur han anstr\u00e4ngde sig f\u00f6r att tala l\u00e5ngsamt och tydligt med hela meningar, och k\u00e4nde att han blev torr i munnen och h\u00f6rde orden studsa tomt fr\u00e5n tungan. H\u00f6rde dunket fr\u00e5n hj\u00e4rtat, ett dovt stackato i br\u00f6stet som han bara h\u00f6rt en g\u00e5ng f\u00f6rut, n\u00e4r han kl\u00e4ttrat flera timmar i bergig terr\u00e4ng och extrem hetta, ljudet av blod som rusade genom puls\u00e5dern och skar i hj\u00e4rtat. Hur han, medan Bills \u00f6gon smalnade till en gev\u00e4rsskytts springor, lyckades fr\u00e5ga om f\u00f6rfattaren hade t\u00e4nkt p\u00e5 att det kunde vara bra med en assistent, n\u00e5gon som kunde ta hand om posten (han hade erfarenhet), en tystl\u00e5ten person som kunde skriva maskin och sortera, kanske till och med laga mat om det inte fanns n\u00e5gon annan som gjorde det, en som f\u00f6rs\u00f6kte underl\u00e4tta f\u00f6rfattarens bel\u00e4grade tillvaro (han lockade fram aningen av ett bistert leende d\u00e4r). Och avbr\u00f6t sig d\u00e5 rent instinktivt och l\u00e4t Bill t\u00e4nka p\u00e5 saken medan han stod kvar och s\u00e5g \u00e4rlig och p\u00e5litlig ut. Och han s\u00e5g hur Bills ansikte b\u00f6rjade f\u00f6r\u00e4ndras. Hur k\u00e4kmusklerna slappnade av och \u00f6gonen blev lugna. En stor mans ansikte visar sk\u00f6nheten i hans verk.\n\n#  5\n\nKAREN stod i sovrummet och tittade p\u00e5 presenten som Scott hade haft med sig fr\u00e5n stan. Det var en reproduktion av en pennteckning med titeln _Mao II_. Hon rullade ut den p\u00e5 s\u00e4ngen och tog vad som fanns till hands f\u00f6r att h\u00e5lla ner h\u00f6rnen. Hon betraktade bilden och f\u00f6rs\u00f6kte f\u00f6rst\u00e5 vad det var f\u00f6r speciellt med den, varf\u00f6r Scott hade trott att hon skulle tycka om den. Mao Zedongs portr\u00e4tt. Hon tyckte om namnet i alla fall. Det var konstigt hur n\u00e5gra streck med blyerts och d\u00e4r var han, lite skuggningar, en antydd hals och \u00f6gonbryn. Den var gjord av en ber\u00f6md konstn\u00e4r vars namn hon aldrig kunde komma ih\u00e5g, men han var ber\u00f6md, han var d\u00f6d, hans ansikte var som en vit mask och h\u00e5ret lysande vitt. Eller var det bara som man trodde att han var d\u00f6d. Scott sa att han inte verkade d\u00f6d eftersom han aldrig verkade verklig. Andy. S\u00e5 hette han.\n\nScott stod och diskade kaffekoppar.\n\nBill kom in och sa: \u00bbVad h\u00e5ller du p\u00e5 med?\u00ab\n\nScott tittade ner i diskhon och drog med svampen runt insidan p\u00e5 koppen.\n\n\u00bbVi skulle kunna ta en promenad upp till kvarnen. Det \u00e4r r\u00e4tt fint ute i dag.\u00ab\n\n\u00bbDu m\u00e5ste arbeta\u00ab, sa Scott.\n\n\u00bbJag har arbetat.\u00ab\n\n\u00bbKlockan \u00e4r inte mycket. G\u00e5 och s\u00e4tt dig och arbeta lite till.\u00ab\n\n\u00bbJag har h\u00e5llit p\u00e5 ett bra tag.\u00ab\n\n\u00bbSkitsnack. Du har h\u00e5llit p\u00e5 och blivit fotograferad.\u00ab\n\n\u00bbMen jag tog igen det. Kom nu. Vi ropar p\u00e5 flickorna och tar en tur upp till kvarnen.\u00ab\n\n\u00bbG\u00e5 upp igen.\u00ab\n\n\u00bbJag vill inte g\u00e5 upp igen.\u00ab\n\n\u00bbB\u00f6rja inte nu. Jag \u00e4r inte p\u00e5 hum\u00f6r.\u00ab\n\n\u00bbVi ropar p\u00e5 flickorna\u00ab, sa Bill.\n\n\u00bbDet \u00e4r tidigt. Du har f\u00f6rst\u00f6rt hela f\u00f6rmiddagen med din fotografering. G\u00e5 nu upp igen och g\u00f6r vad du ska.\u00ab\n\nScott h\u00f6ll svampen under varmvattnet och sk\u00f6ljde ur skummet.\n\n\u00bbDet \u00e4r ljust minst tre timmar till. Det r\u00e4cker f\u00f6r att hinna dit och tillbaka.\u00ab\n\n\u00bbJag s\u00e4ger det bara f\u00f6r ditt eget b\u00e4sta. Det \u00e4r du som vill skriva p\u00e5 den h\u00e4r boken i evigheter. Jag s\u00e4ger bara det som f\u00f6rv\u00e4ntas av mig.\u00ab\n\n\u00bbVet du vad du \u00e4r?\u00ab\n\n\u00bbJa, ja, ja, ja.\u00ab\n\n\u00bbJa, ja\u00ab, sa Bill.\n\n\u00bbJag tror inte att du har h\u00e5llit p\u00e5 mer \u00e4n tio minuter.\u00ab\n\n\u00bbJa, ja, ja.\u00ab\n\n\u00bbS\u00e5 g\u00e5 upp nu och s\u00e4tt dig och g\u00f6r det du ska.\u00ab\n\n\u00bbVi missar allt ljuset.\u00ab\n\n\u00bbDet \u00e4r faktiskt mycket enkelt.\u00ab\n\n\u00bbDet \u00e4r inte enkelt. Det \u00e4r precis allt i hela v\u00e4rlden som inte \u00e4r enkelt insvept i ett enda litet knyte.\u00ab\n\nScott var klar vid diskb\u00e4nken men stod kvar och glodde ner i hon.\n\n\u00bbDet \u00e4r visst enkelt. Det \u00e4r det verkligen. Du bara g\u00e5r upp och s\u00e4tter dig och g\u00f6r det du ska.\u00ab\n\n\u00bbFlickorna skulle tycka om det.\u00ab\n\n\u00bbJag s\u00e4ger bara det som vi b\u00e5da vet f\u00f6rv\u00e4ntas av mig.\u00ab\n\n\u00bbJag skulle kunna g\u00e5 upp och bara sitta d\u00e4r. Hur kan du veta om jag arbetar?\u00ab\n\n\u00bbDet kan jag inte, Bill.\u00ab\n\n\u00bbJag skulle kunna sitta d\u00e4r och riva av frim\u00e4rken fr\u00e5n en tjugofemdollarsrulle med den j\u00e4vla flaggan p\u00e5 vartenda frim\u00e4rke.\u00ab\n\n\u00bbBara du sitter d\u00e4r inne. Jag vill ha dig d\u00e4r inne, p\u00e5 plats.\u00ab\n\n\u00bbJag ska tala om f\u00f6r dig vad du \u00e4r\u00ab, sa Bill.\n\nScott tog en handduk och torkade h\u00e4nderna men v\u00e4nde sig inte om. Han h\u00e4ngde tillbaka handduken p\u00e5 plastkroken och v\u00e4ntade.\n\nBrita stod utanf\u00f6r Bills arbetsrum, i d\u00f6rr\u00f6ppningen, och tittade in. Efter en stund str\u00e4ckte hon ut handen och knackade f\u00f6rsiktigt p\u00e5 d\u00f6rren fast\u00e4n det var uppenbart att rummet var tomt. Hon stod stilla och v\u00e4ntade. Sedan tog hon ett steg in och granskade noga alla saker d\u00e4r inne som vore hon tvungen att inpr\u00e4nta varje detalj som kunde ha undg\u00e5tt kameran \u2013 hur f\u00f6rem\u00e5len var placerade, titlarna p\u00e5 uppslagsverken, antalet pennor i marmeladburken. Som om hon stirrade f\u00f6r historiens skull, f\u00f6r den maniska dokumentationen av vad som finns p\u00e5 skrivbordet och vilka som \u00e4r p\u00e5 korten, allt sm\u00e5tt och gott som tycks vara s\u00e5 ov\u00e4rderligt f\u00f6r v\u00e5r f\u00f6rst\u00e5else av m\u00e4nniskan.\n\nMen det enda hon var ute efter var en cigarett. Hon fick syn p\u00e5 asken, gick snabbt \u00f6ver golvet och skakade fram en. Det h\u00f6rdes steg i trappan. Hon hittade t\u00e4ndstickorna och t\u00e4nde en och n\u00e4r Bill d\u00f6k upp i d\u00f6rr\u00f6ppningen viftade hon med cigaretten och sa tack.\n\n\u00bbJag trodde ni hade \u00e5kt\u00ab, sa han.\n\n\u00bbKan ni inte reglerna? Vi ska inv\u00e4nta m\u00f6rkret. Sen tar vi sm\u00e5v\u00e4gar och kostigar f\u00f6r att undvika alla v\u00e4gskyltar som kan upplysa mig om var vi befinner oss.\u00ab\n\n\u00bbScott har lagt ner flera veckor p\u00e5 det d\u00e4r.\u00ab\n\n\u00bbDet tar dubbelt s\u00e5 l\u00e5ng tid, som han k\u00f6r.\u00ab\n\n\u00bbJag tror det \u00e4r meningen att man ska uppskatta k\u00e4nslan av labyrint.\u00ab\n\n\u00bbJag ska g\u00f6ra mitt b\u00e4sta. Men just nu hindrar jag er i ert arbete s\u00e5 vi ses vid en tidig middag om det \u00e4r s\u00e5 det \u00e4r t\u00e4nkt.\u00ab\n\nBill flyttade n\u00e5gra papper fr\u00e5n en b\u00e4nk framme vid f\u00f6nstret och gl\u00f6mde tydligen sedan att han hade t\u00e4nkt s\u00e4tta sig d\u00e4r och stod och h\u00f6ll pappersbunten mot br\u00f6stet.\n\n\u00bbJag pratade r\u00e4tt mycket, va?\u00ab\n\n\u00bbMest om ert arbete.\u00ab\n\n\u00bbJag lider nog brist p\u00e5 medk\u00e4nsla. Och nu vill jag s\u00e4ga n\u00e5t men klarar det inte alls. Jag har gl\u00f6mt hur man f\u00f6r ett vanligt samtal, jag kan bara mumla n\u00e5t om saltet vid matbordet.\u00ab\n\n\u00bbDe borde inte skicka er det.\u00ab\n\n\u00bbJag \u00e4r sextiotre \u00e5r gammal och det g\u00f6r ont.\u00ab\n\n\u00bbJag kommer aldrig att bli sextio. Jag k\u00e4nner att n\u00e5t \u00e4r p\u00e5 v\u00e4g och jag k\u00e4nner att det \u00e4r slutet. L\u00e5ngsamt, f\u00f6rt\u00e4rande, ohyggligt, l\u00e5ngt inne i kroppen. Det har jag vetat i \u00e5ratal.\u00ab\n\n\u00bbSkr\u00e4cken \u00e4r visst ocks\u00e5 f\u00e5f\u00e4ng.\u00ab\n\n\u00bbL\u00e5ter jag hemsk?\u00ab sa hon.\n\n\u00bbLite skrytsam kanske.\u00ab\n\n\u00bbVad \u00e4r det ni vill s\u00e4ga som ni inte kan?\u00ab\n\n\u00bbJag vill be er komma hit igen n\u00e5n g\u00e5ng. Eller tala om f\u00f6r mig var ni bor. Eller stanna kvar och prata.\u00ab\n\n\u00bbJag har inte sv\u00e5rt f\u00f6r att prata. Men i det h\u00e4r huset \u00e4r det inte s\u00e5 l\u00e4tt. Jag tror det finns en laddad atmosf\u00e4r h\u00e4r som g\u00f6r vissa \u00e4mnen lite farliga. Och vi har inte kameran mellan oss. Det blir annorlunda d\u00e5, eller hur? Scott sa halv sju.\u00ab\n\n\u00bbD\u00e5 \u00e4r det s\u00e5.\u00ab\n\n\u00bbHan ber\u00e4ttade om hur han letade upp er.\u00ab\n\n\u00bbJag var n\u00e4ra att sl\u00e5 in skallen p\u00e5 honom de f\u00f6rsta trettio sekunderna. Han tog raskt \u00f6ver. L\u00e4rde sig m\u00e5nga knep och metoder. Vi pratar och gr\u00e4lar hela tiden. Han ger mig andra perspektiv.\u00ab\n\n\u00bbOch Karen.\u00ab\n\n\u00bbScott s\u00e4ger att jag har hittat p\u00e5 henne. Men det var han som kidnappade henne p\u00e5 \u00f6ppen gata. Hon skr\u00e4mmer mig ibland. Hon kan g\u00f6ra mig r\u00e4dd och f\u00f6rtjust under loppet av fem ord. Hon \u00e4r sk\u00e4rpt n\u00e4r det g\u00e4ller m\u00e4nniskor. Ser rakt igenom oss. Ser p\u00e5 teve och vet vad folk kommer att s\u00e4ga. Det \u00e4r inte bara att det st\u00e4mmer, hon h\u00e4rmar deras r\u00f6ster ocks\u00e5.\u00ab\n\n\u00bbHur l\u00e5ngt efter Scott kom hon hit?\u00ab\n\n\u00bbFem \u00e5r kanske. Hon \u00e4r otroligt bra p\u00e5 att h\u00e4rma r\u00f6ster. Det \u00e4r v\u00e5r Karen, det.\u00ab\n\nBrita l\u00e5g n\u00e4stan rakl\u00e5ng i det stora badkaret och h\u00f6rde hur n\u00e5gon h\u00f6gg ved nedanf\u00f6r f\u00f6nstret. \u00c5ngan steg omkring henne. F\u00f6rst knaket n\u00e4r yxan klyver, sedan den d\u00e4mpade dunsen av kluvna vedtr\u00e4n som f\u00f6ll. Hon k\u00e4nde ett vagt litet missmod smyga sig \u00f6ver henne och f\u00f6rstod inte riktigt vad det betydde. Om det fanns n\u00e5gon dag i hennes nuvarande yrkesliv som kunde s\u00e4gas vara unik s\u00e5 var det denna. Visserligen brydde hon sig inte l\u00e4ngre om att g\u00f6ra karri\u00e4r. Hon hade ingen karri\u00e4r, bara f\u00f6rfattare som satt nersjunkna i olika stolar h\u00e4rifr\u00e5n till Kina. Det gav inga pengar och det skrevs bara i f\u00f6rbig\u00e5ende om projektet. De flesta f\u00f6rfattarportr\u00e4tten skulle inte bli publicerade n\u00e5gonstans, andra skulle hamna i ok\u00e4nda tidningar och matriklar. Hon var en s\u00e5dan som var tvungen att resa runt och fotografera de ouppt\u00e4ckta, de o\u00f6versatta, de o\u00e5tkomliga, de politiskt misst\u00e4nkta, de jagade, de tystade. D\u00e4rf\u00f6r var det ett slags bekr\u00e4ftelse, ett lovande st\u00f6d, n\u00e4r en f\u00f6rfattare som Bill erbj\u00f6d sig att posera f\u00f6r henne. S\u00e5 varf\u00f6r denna underligt olustiga st\u00e4mning? Hon tappade upp lite mer varmvatten. Hon visste att det var han d\u00e4rnere, han fl\u00e5sade tungt och st\u00e5nkade av anstr\u00e4ngningen. F\u00f6rst knaket och sedan den d\u00e4mpade dunsen. H\u00e5ll dig p\u00e5 avst\u00e5nd. Han st\u00e5r p\u00e5 sammanbrottets rand. Badvattnets temperatur var perfekt nu, n\u00e4stan outh\u00e4rdligt hett. Hon k\u00e4nde hur svetten b\u00f6rjade rinna och sj\u00f6nk l\u00e4ngre ner. \u00c4r det inte d\u00e4rf\u00f6r som det \u00e4r en s\u00e5dan ceremoni kring fotograferandet? \u00c5ngan l\u00e5g \u00f6ver rummet. Hettan var djup, intr\u00e4ngande och bed\u00f6vande, n\u00e4stan s\u00e5 att hj\u00e4rtat stannade. Hon visste att han var stark, det s\u00e5g hon p\u00e5 hans h\u00e4nder och midja, kroppen tung som en timmermans. Hon tog en handduk och torkade sig i ansiktet och efter en stund klev hon ur badkaret och gick fram till f\u00f6nstret. Hon torkade bort imman fr\u00e5n glaset med handduken. Hur skulle hon kunna h\u00e5lla sig p\u00e5 avst\u00e5nd n\u00e4r hon redan hade tagit bilder p\u00e5 honom? Detta var samh\u00f6righeten, det lilla missmodet. Bill h\u00f6ll p\u00e5 att sl\u00e4nga klabbar mot vedtraven som l\u00e5g upplagd under en h\u00e4ngande markis p\u00e5 baksidan av huset. Tillk\u00e4nnagivandet om min f\u00f6rest\u00e5ende d\u00f6d. Hon blev tvungen att torka bort imma flera g\u00e5nger d\u00e4r hon stod vid f\u00f6nstret och tittade ner.\n\nBill lyfte sitt glas.\n\n\u00bbDet k\u00e4nns hemtrevligt h\u00e4r i kv\u00e4ll. Det finns en helhet, tycker ni inte? En k\u00e4nsla av utvidgning och fullbordan. Och vi vet alla varf\u00f6r. Sk\u00e5l f\u00f6r g\u00e4ster och deras betydelse f\u00f6r civilisationen.\u00ab\n\nHan drack och hostade.\n\nHan sa: \u00bbDet \u00e4r lustigt hur orden _guest_ och _host_ h\u00f6r ihop. Etymologin \u00e4r f\u00f6rbryllande i de fallen. G\u00e4st och v\u00e4rd. De str\u00e5lar samman, beblandar sig, v\u00e4xelverkar. Precis som de kategorier av m\u00e4nniskor som orden betecknar. G\u00e4ster kommer med id\u00e9er utifr\u00e5n.\u00ab\n\nScott satt mittemot Brita och v\u00e4nde sig till henne \u00e4ven n\u00e4r hans kommentarer var avsedda f\u00f6r Bill.\n\n\u00bbJag tror inte att hon ser sig sj\u00e4lv som g\u00e4st i vanlig bem\u00e4rkelse. Hon kom hit f\u00f6r att arbeta.\u00ab\n\n\u00bbJ\u00e4vligt konstigt arbete. Quijotiskt utav bara helvete. Men jag tror att jag beundrar henne.\u00ab\n\n\u00bbDu beundrar henne f\u00f6r att hon g\u00f6r saker som till stor del passerar obem\u00e4rkta. Saker som uttrycker ett slags mission, ett engagemang. Precis det som jag har tjatat om att du borde g\u00f6ra. H\u00e5ll boken ifr\u00e5n dig. Lita p\u00e5 den. Anv\u00e4nd den till att demonstrera en id\u00e9, en princip.\u00ab\n\n\u00bbVad f\u00f6r en princip?\u00ab sa Brita.\n\n\u00bbAtt det undanh\u00e5llna konstverket \u00e4r den enda form av v\u00e4ltalighet som \u00e5terst\u00e5r.\u00ab\n\n\u00bbVilken fin lammstek\u00ab, sa Bill.\n\nKaren kom ut fr\u00e5n k\u00f6ket med br\u00f6d p\u00e5 en sk\u00e4rbr\u00e4da.\n\nScott s\u00e5g p\u00e5 Brita.\n\n\u00bbKonst rinner f\u00f6rbi hela tiden, den ing\u00e5r i det allm\u00e4nna rapet. Men om han ligger p\u00e5 boken. Om han beh\u00e5ller boken i manuskript och l\u00e5ter den dra \u00e5t sig v\u00e4rme och ljus. P\u00e5 s\u00e5 vis kr\u00e4ver han p\u00e5 nytt en bred uppm\u00e4rksamhet. Bok och f\u00f6rfattare blir d\u00e5 oskiljaktiga.\u00ab\n\n\u00bbUrs\u00e4kta men det l\u00e5ter f\u00f6r j\u00e4vligt\u00ab, sa Brita.\n\n\u00bbHan vet att jag har r\u00e4tt. Det som retar honom \u00e4r inte n\u00e4r jag s\u00e4ger emot honom utan n\u00e4r jag h\u00e5ller med honom. N\u00e4r jag f\u00e5r hans sm\u00e5 \u00f6nskningar att spritta \u00f6ver ytan.\u00ab\n\nBill hade en flaska irl\u00e4ndsk whisky st\u00e5ende intill det h\u00f6gra bakbenet p\u00e5 sin stol och nu b\u00f6jde han sig ner efter den och h\u00e4llde upp i sitt vinglas.\n\nHan sa: \u00bbVi beh\u00f6ver en middag med ett tema. Vi \u00e4r fyra h\u00e4r i kv\u00e4ll. Fyra \u00e4r en kvadrat. Fyra r\u00e4ta vinklar. Men vi har ocks\u00e5 en rundel, en avrundning. Tre plus en. Och det r\u00e5kar vara s\u00e5 att vi befinner oss halvv\u00e4gs in i april eller i fj\u00e4rde m\u00e5naden.\u00ab\n\n\u00bbDet var n\u00e4ra att vi blev fem\u00ab, sa Scott. \u00bbEn kvinna f\u00f6rs\u00f6kte ge mig ett barn i g\u00e5r. Hon tog fram det ur jackan. Ett litet knyte, bara n\u00e5gra timmar gammalt.\u00ab\n\nHan satt och glodde p\u00e5 Brita.\n\n\u00bbVarf\u00f6r tog du inte emot det d\u00e5?\u00ab sa Karen.\n\n\u00bbD\u00e4rf\u00f6r att jag skulle tr\u00e4ffa Brita p\u00e5 ett hotell d\u00e4r det \u00e4r f\u00f6rbjudet med sm\u00e5barn. De har sm\u00e5barnsdetektorer vid varenda d\u00f6rr. De k\u00f6r ut sm\u00e5barn p\u00e5 gatan.\u00ab\n\n\u00bbVi hade kunnat hitta ett hem \u00e5t det \u00e4ven om vi inte sj\u00e4lva beh\u00f6ll det. Du skulle tagit hand om barnet. Hur kunde du l\u00e5ta bli?\u00ab\n\n\u00bbFolk har alltid h\u00e5llit p\u00e5 att sk\u00e4nka bort sina bebisar. Det d\u00e4r \u00e4r en gammal grej. Jag har en stark k\u00e4nsla av att jag blev bortsk\u00e4nkt. Det skulle f\u00f6rklara det mesta\u00ab, sa Scott.\n\n\u00bbMin mamma brukade tala om Guds gottg\u00f6relse\u00ab, sa Brita. \u00bbN\u00e4r hennes hj\u00e4rta b\u00f6rjade svikta var det som om reumatismen sl\u00e4ppte. Det var hennes uppfattning om en sorts allsm\u00e4ktig balans. Jag undrar vad det finns f\u00f6r Guds gottg\u00f6relse f\u00f6r sm\u00e5barn som blir bortsk\u00e4nkta p\u00e5 gatan eller lagda i soptunnor eller utsl\u00e4ngda genom f\u00f6nster.\u00ab\n\nKaren ber\u00e4ttade f\u00f6r Scott om en v\u00e4gskylt som hon hade sett n\u00e4r hon var ute och gick tidigare p\u00e5 morgonen.\n\n\u00bbF\u00f6r jag tycker att n\u00e5n \u00e4r skyldig mig n\u00e5t varje g\u00e5ng s\u00e5nt h\u00e4nder\u00ab, sa Brita, \u00bbmen vem kan det vara om det inte finns n\u00e5n Gud?\u00ab\n\nScott sa: \u00bbKaren tror. Bill p\u00e5st\u00e5r att han tror men vi \u00e4r inte helt \u00f6vertygade.\u00ab\n\n\u00bbV\u00e5rt tema \u00e4r fyra\u00ab, sa Bill. \u00bbI m\u00e5nga gamla spr\u00e5k har Guds namn fyra bokst\u00e4ver.\u00ab\n\nBrita h\u00e4llde upp mer vin \u00e5t sig sj\u00e4lv och Scott.\n\n\u00bbJag trivs inte med att inte tro. Det ger mig ingen frid. Jag f\u00e5r tr\u00f6st av att andra tror.\u00ab\n\n\u00bbKaren tror att Gud \u00e4r h\u00e4r. Livs levande liksom.\u00ab\n\n\u00bbAllts\u00e5 jag vill att andra ska tro. Det ska vara m\u00e5nga troende \u00f6verallt. Jag k\u00e4nner hur oerh\u00f6rt viktigt det \u00e4r. N\u00e4r jag var i Catania och s\u00e5g hundratals karlar rusa med ett helgon p\u00e5 en vagn genom gatorna, jo de rusade faktiskt. N\u00e4r jag s\u00e5g m\u00e4nniskor krypa p\u00e5 alla fyra flera mil genom Mexico City f\u00f6r att fira jungfrun av Guadalupe och kladda ner trappan till basilikan med blod och sen g\u00e5 in i hopen d\u00e4r inne, tr\u00e4ngseln, s\u00e5 mycket folk att det inte fanns n\u00e5n luft. Alltid blod. Blodsdagen i Teheran. Jag beh\u00f6ver alla dessa m\u00e4nniskor till att tro i mitt st\u00e4lle. Jag s\u00f6ker mig till troende. M\u00e5nga, \u00f6verallt. Utan dem kallnar det h\u00e4r klotet.\u00ab\n\nBill talade ner i tallriken.\n\n\u00bbSa jag att det var en v\u00e4ldigt fin lammstek?\u00ab\n\n\u00bbTa en tugga d\u00e5\u00ab, sa Scott.\n\n\u00bbDu \u00e4ter inte\u00ab, sa Karen.\n\n\u00bbJag trodde att det var meningen att jag skulle titta p\u00e5 den. Ni menar bokstavligen \u00e4ta. Enligt definitionen i ordboken.\u00ab\n\nMatsalen var liten, med udda stolar runt ett ovalt bord, och det brann en brasa i den gamla tegelspisen.\n\n\u00bbSka jag sk\u00e4ra \u00e5t dig?\u00ab sa Karen.\n\nScott satt fortfarande och tittade p\u00e5 Brita.\n\n\u00bbOm det \u00e4r troende du \u00e4r ute efter \u00e4r Karen den r\u00e4tta. Ovillkorlig tro. Messias finns h\u00e4r p\u00e5 jorden.\u00ab\n\n\u00bbHan \u00e4r h\u00e4r p\u00e5 jorden och jag d\u00e4r uppe i luften\u00ab, sa Brita. \u00bbOch skaffar mig bonuspo\u00e4ng.\u00ab\n\nBill sa: \u00bbHar ni flugit \u00f6ver Gr\u00f6nland n\u00e5n g\u00e5ng n\u00e4r solen g\u00e5r upp? Fyra \u00e5rstider, fyra kompassriktningar.\u00ab\n\nHan tog upp whiskyflaskan fr\u00e5n golvet.\n\nBrita sa: \u00bbJag har h\u00f6rt om en man och en kvinna som g\u00e5r till fots utmed hela kinesiska muren, p\u00e5 v\u00e4g mot varandra fr\u00e5n varsitt h\u00e5ll. N\u00e4r jag t\u00e4nker p\u00e5 dem ser jag dem uppifr\u00e5n med muren som ringlar och slingrar sig genom landskapet och tv\u00e5 pyttesm\u00e5 m\u00e4nniskor som kommer fr\u00e5n avl\u00e4gsna provinser och r\u00f6r sig mot varandra, steg f\u00f6r steg. Jag har f\u00f6r mig att det handlar om en hyllning till v\u00e5r jord, om att f\u00f6rs\u00f6ka f\u00f6rst\u00e5 hur vi h\u00f6r hemma p\u00e5 den h\u00e4r planeten p\u00e5 ett nytt s\u00e4tt. Och det \u00e4r konstigt att det faller sig s\u00e5 naturligt f\u00f6r mig att anl\u00e4gga ett f\u00e5gelperspektiv.\u00ab\n\n\u00bbFotvandrare i lurviga st\u00f6vlar\u00ab, sa Karen.\n\n\u00bbNej, konstn\u00e4rer. Och kinesiska muren \u00e4r f\u00f6rmodligen den enda m\u00e4nskliga konstruktion som \u00e4r synlig fr\u00e5n rymden, s\u00e5 vi ser den som en del av hela planeten. Och den h\u00e4r mannen och kvinnan g\u00e5r och g\u00e5r. De \u00e4r konstn\u00e4rer. Jag vet inte vad de har f\u00f6r nationalitet. Men det \u00e4r ett konstverk. Det \u00e4r inte Nixon och Mao som skakar hand. Det handlar inte om nationaliteter, inte om politik.\u00ab\n\n\u00bbSt\u00f6vlar av jakp\u00e4ls\u00ab, sa Scott.\n\n\u00bbS\u00e5na d\u00e4r lurviga st\u00f6vlar som de har i landet med den bl\u00e5 sn\u00f6n eller hur det var.\u00ab\n\n\u00bbN\u00e4r jag t\u00e4nker p\u00e5 Kina, vad t\u00e4nker jag p\u00e5?\u00ab\n\n\u00bbFolk\u00ab, sa Karen.\n\n\u00bbFolkmassor\u00ab, sa Scott. \u00bbM\u00e4nniskor som traskar fram p\u00e5 breda gator, drar k\u00e4rror eller cyklar, folkmassor p\u00e5 folkmassor i kamerans teleobjektiv s\u00e5 de verkar \u00e4nnu n\u00e4rmare varandra \u00e4n vad de \u00e4r i verkligheten, fullst\u00e4ndigt hoppackade, och jag t\u00e4nker p\u00e5 hur de blir ett med framtiden, hur framtiden ger plats f\u00f6r den of\u00f6retagsamme, den oaggressive, traskaren, icke-individen. Helt lugna i teleobjektivet, trampande och traskande folkmassor, ansiktsl\u00f6sa och liksom lagom \u00f6verlevande.\u00ab\n\nKaren b\u00f6jde sig fram och skar Bills k\u00f6tt i sm\u00e5 fina bitar.\n\n\u00bbJag sa just till Scott\u00ab, sa hon. \u00bbVad var det jag pratade om?\u00ab\n\n\u00bbDe har en s\u00e4rskild s\u00e4kerhetsvakt som \u00e4r specialiserad p\u00e5 sm\u00e5barn\u00ab, sa Scott. \u00bbEn riksomfattande kedja med sm\u00e5barnss\u00e4kra hotell.\u00ab\n\n\u00bbJag pratade om den d\u00e4r brandgula delstatsskylten.\u00ab\n\nBrita gav till ett f\u00f6rsenat skratt och s\u00f6kte med blicken \u00f6ver bordet efter cigaretter.\n\n\u00bbJag tror p\u00e5 klumpedumpens Gud\u00ab, sa Bill. \u00bbServitrisen med molande tandv\u00e4rk.\u00ab\n\nScott skrattade eftersom Brita skrattade.\n\nHan skar upp lite br\u00f6d.\n\nHan sa: \u00bbBoken \u00e4r klar men ska ligga kvar i manuskript. Sen publiceras Britas bilder i n\u00e5t prestigefyllt sammanhang. I precis r\u00e4tt tid. Vi beh\u00f6ver inte boken. Vi har f\u00f6rfattaren.\u00ab\n\n\u00bbJag st\u00e5r inte ut\u00ab, sa Brita. \u00bbH\u00e4ll upp lite mer vin.\u00ab\n\nHon skrattade och v\u00e4nde sig om p\u00e5 stolen f\u00f6r att leta efter cigaretter.\n\nScott skrattade.\n\nBill tittade p\u00e5 sin mat och s\u00e5g ut som om han f\u00f6rstod att det hade h\u00e4nt n\u00e5got med den.\n\n\u00bbEller kanske inte i n\u00e5t prestigefyllt sammanhang\u00ab, sa Scott. \u00bbKanske i en liten blaska n\u00e5nstans i mellanv\u00e4stern.\u00ab\n\n\u00bbNej, nej, nej\u00ab, sa Karen. \u00bbT\u00e4nk er Bill p\u00e5 teve i st\u00e4llet. Han sitter d\u00e4r i soffan och pratar.\u00ab\n\n\u00bbVi har fotografierna, d\u00e5 ska vi dra nytta av dem. Bilden av f\u00f6rfattaren dr\u00e4nker boken.\u00ab\n\n\u00bbNej v\u00e4nta, han sitter i en stol mittemot en programledare som lutar sig fram, en programledare med glas\u00f6gon som s\u00e4tter hakan i handen.\u00ab\n\n\u00bbS\u00e5g du bebisen med egna \u00f6gon?\u00ab sa Brita.\n\nScott skrattade och det fick Brita att skratta.\n\nBill sa: \u00bbV\u00e5rt tema \u00e4r fyra. Jord, luft, eld och vatten.\u00ab\n\n\u00bbVad \u00e4r Blodsdagen f\u00f6r n\u00e5t?\u00ab sa Karen. \u00bbI och f\u00f6r sig \u00e4r det v\u00e4l inte s\u00e5 sv\u00e5rt att gissa.\u00ab\n\nScott sl\u00e4ppte inte Brita med blicken.\n\n\u00bbBill har f\u00e5tt f\u00f6r sig att f\u00f6rfattare \u00e4r p\u00e5 v\u00e4g att d\u00f6 ut nu n\u00e4r nyheterna alltmer framst\u00e5r som en apokalyptisk kraft.\u00ab\n\n\u00bbHan sa n\u00e5t liknande till mig.\u00ab\n\n\u00bbF\u00f6rr kunde romanen n\u00e4ra v\u00e5rt s\u00f6kande efter mening. F\u00f6r att citera Bill. Den var den stora sekul\u00e4ra transcendensen. Spr\u00e5kets, stilens, ibland en ny sannings katolska m\u00e4ssa. Men v\u00e5r f\u00f6rtvivlan har v\u00e4nt oss mot n\u00e5t st\u00f6rre och svartare. S\u00e5 vi s\u00f6ker oss till nyheterna vilka of\u00f6rtrutet f\u00f6rser oss med katastrofst\u00e4mningar. Det \u00e4r d\u00e4r vi hittar k\u00e4nslom\u00e4ssiga upplevelser som inte finns att tillg\u00e5 n\u00e5n annanstans. Vi beh\u00f6ver inte romanen. F\u00f6r att citera Bill. Det \u00e4r inte ens n\u00f6dv\u00e4ndigt med katastrofer. Vi beh\u00f6ver bara rapporterna och f\u00f6ruts\u00e4gelserna och varningarna.\u00ab\n\nKaren iakttog Bill n\u00e4r han satte gaffeln i en bit lamm.\n\nHan sa: \u00bbJag vet vilken v\u00e4gskylt du menar. Den f\u00f6r det d\u00f6va barnet.\u00ab\n\n\u00bbOch den \u00e4r inte hemmagjord. Det \u00e4r delstatens egna brandgula och svarta och de har satt upp den d\u00e4r f\u00f6r ett enda barn som inte kan h\u00f6ra n\u00e4r en bil eller l\u00e5ngtradare n\u00e4rmar sig i full fart. N\u00e4r jag s\u00e5g den t\u00e4nkte jag D\u00d6VT BARN. Jag t\u00e4nkte att en delstat som s\u00e4tter upp en skylt f\u00f6r ett enstaka barn kan inte vara s\u00e5 hemsk och ok\u00e4nslig.\u00ab\n\n\u00bbJa, det \u00e4r en fin skylt. Det k\u00e4nns fint att t\u00e4nka sig ett barn med en egen skylt. Men den h\u00e4r fullst\u00e4ndigt vansinniga diskussionen jag har h\u00f6rt. Dr\u00e4nka boken. Demonstrera en princip. Har jag fattat r\u00e4tt? Var det s\u00e5 ni sa?\u00ab\n\nHan tog flaskan och satte glaset mellan kn\u00e4na och h\u00e4llde upp medan han talade.\n\n\u00bbL\u00e5t boken vara. G\u00f6m boken. G\u00f6r f\u00f6rfattaren till bok. Jag fattar bara inte.\u00ab\n\n\u00bbVarf\u00f6r h\u00e5ller ni fortfarande p\u00e5 och skriver om ni vet att boken \u00e4r f\u00e4rdig och vi alla vet att boken \u00e4r f\u00e4rdig och vi alla vet att ni fortfarande skriver?\u00ab\n\n\u00bbB\u00f6cker blir aldrig f\u00e4rdiga.\u00ab\n\n\u00bbPj\u00e4ser blir aldrig f\u00e4rdiga. B\u00f6cker blir f\u00e4rdiga.\u00ab\n\n\u00bbJag ska tala om f\u00f6r er n\u00e4r en bok \u00e4r f\u00e4rdig. N\u00e4r f\u00f6rfattaren trillar av pinn med en tung duns.\u00ab\n\nKaren sa: \u00bbJag blir glad varje g\u00e5ng jag ser den d\u00e4r v\u00e4gskylten.\u00ab\n\n\u00bbDe b\u00f6cker som en f\u00f6rfattare har givit ut \u00e4r de b\u00f6cker han forts\u00e4tter att skriva p\u00e5 plus den som sitter i skrivmaskinen. Gamla b\u00f6cker biter sig fast.\u00ab\n\nBrita h\u00e4llde upp mer vin.\n\n\u00bbJag k\u00f6r, tack\u00ab, sa Scott.\n\nHan drack.\n\nBill drack och hostade.\n\nBrita v\u00e4ntade p\u00e5 att han skulle ta fram sina cigaretter.\n\n\u00bbDu kan inte visa boken\u00ab, sa Scott. \u00bbDet \u00e4r slut med alltihop om du g\u00f6r det. Boken \u00e4r ett missfoster. Man m\u00e5ste uppfinna nya ord f\u00f6r att beskriva det korpulenta, det \u00f6verlastade, fr\u00e5nvaron av omd\u00f6me, tempo och energi.\u00ab\n\n\u00bbKillen tror han \u00e4ger min sj\u00e4l.\u00ab\n\n\u00bbHan vet det. Det \u00e4r ett suver\u00e4nt sammanbrott. Det \u00e4r ett s\u00e5 totalt fiasko att det m\u00e5ste kasta misstanke \u00f6ver de f\u00f6rsta fantastiska b\u00f6ckerna. Folk kommer att se de f\u00f6rsta fantastiska b\u00f6ckerna i ett nytt ljus, och leta efter brister och oklarheter.\u00ab\n\n\u00bbBoken kommer ut. Jag t\u00e4nker sl\u00e4ppa den. F\u00f6rr \u00e4n n\u00e5n anar.\u00ab\n\nScott s\u00e5g p\u00e5 Brita.\n\n\u00bbHan vet att jag har r\u00e4tt. Han bara avskyr att vi \u00e4r \u00f6verens. Hans ord i min mun. Det g\u00f6r honom galen. Men jag f\u00f6rs\u00f6ker bara trygga hans r\u00e4ttm\u00e4tiga position.\u00ab\n\nBill s\u00e5g sig om efter n\u00e5got att v\u00e4lta omkull, en sak, ett l\u00e4mpligt f\u00f6rem\u00e5l som han kunde vispa ner fr\u00e5n bordet och sl\u00e5 i bitar.\n\n\u00bbVi skulle beh\u00f6va ett djur i det h\u00e4r huset\u00ab, sa Karen.\n\nScott borstade ner br\u00f6dsmulor fr\u00e5n bordskanten i handen.\n\n\u00bbJag s\u00e4ger bara det som han innerst inne vill att jag ska s\u00e4ga.\u00ab\n\nKaren tittade p\u00e5 Brita.\n\nDe bytte plats och Karen drog sin stol n\u00e4rmare Bill.\n\n\u00bbSka vi ha hund eller katt, h\u00f6rru?\u00ab sa hon med n\u00e5gon annans r\u00f6st.\n\nBill best\u00e4mde sig f\u00f6r sm\u00f6rbyttan, och sopade till med baksidan p\u00e5 handen tv\u00e4rs \u00f6ver bordet.\n\nLocket tr\u00e4ffade Scott i ansiktet.\n\nDet gjorde Bill \u00e4nnu argare och han f\u00f6rs\u00f6kte resa sig f\u00f6r att s\u00e4tta i g\u00e5ng och krossa saker p\u00e5 allvar.\n\n\u00bbJag tror inte att vi ska forts\u00e4tta med det h\u00e4r\u00ab, sa Karen.\n\nHon h\u00f6ll kvar honom i stolen.\n\nScott tryckte v\u00e4nstra handen mot ansiktet. Han hade fortfarande br\u00f6dsmulor i den andra.\n\n\u00bbHusdjur \u00e4r j\u00e4ttebra som terapi\u00ab, sa han.\n\n\u00bbIngen \u00e4r skadad s\u00e5 h\u00e5ll k\u00e4ften f\u00f6r helvete.\u00ab\n\n\u00bbF\u00f6r de gamla, de ensamma, de spritt och de spr\u00e5ngande.\u00ab\n\n\u00bbFyra av fyra. V\u00e5rt tema \u00e4r fyra.\u00ab\n\nKaren lade handen \u00f6ver \u00f6gonen p\u00e5 Bill f\u00f6r att hindra honom fr\u00e5n att se n\u00e5got som kunde reta upp honom \u00e4nnu mer.\n\nBrita sa: \u00bbJag vill att n\u00e5n ska tala om f\u00f6r mig att detta h\u00f6r till s\u00e4llsyntheterna.\u00ab\n\nEn gest, en blick, n\u00e4stan vad som helst kunde f\u00e5 Bill att tappa besinningen.\n\nScott torkade h\u00e4nder och ansikte med en servett och st\u00e4llde sig bakom Britas stol, tog henne i armen n\u00e4r hon reste sig och ledde henne ut ur rummet.\n\nKaren tog bort h\u00e4nderna fr\u00e5n Bills \u00f6gon.\n\n\u00bbM\u00e4nniskor som \u00e4lskar varandra, det \u00e4r samma gamla saga, Bill, vi har h\u00f6rt den tusen g\u00e5nger.\u00ab\n\nDe satt kvar vid bordet n\u00e5gra minuter.\n\nSedan gick Bill upp till sitt arbetsrum d\u00e4r han st\u00e4ngde d\u00f6rren och st\u00e4llde sig vid f\u00f6nstret i m\u00f6rkret.\n\nScott ville visa Brita en sak till innan de gav sig av. De gick ut genom k\u00f6ksd\u00f6rren och fortsatte n\u00e5gra meter bort mot ett l\u00e5gt skjul som var byggt i vinkel mot huset. Hon duckade och f\u00f6ljde efter honom in, och han t\u00e4nde en lampa och de stod innanf\u00f6r d\u00f6rren och tittade p\u00e5 hyllorna och facken som Scott sj\u00e4lv hade byggt \u2013 alla var fyllda av fotostatkopior av den slutliga versionen, karbonkopior av tidigare utkast, karbonkopior av anteckningar och brottstycken, brev fr\u00e5n Bills v\u00e4nner och bekanta, fler spaltkorr, mer l\u00e4sarpost i f\u00f6rpackade och etiketterade mappar, fler pappkartonger fullproppade med manuskript och papper.\n\nSkjulet var isolerat och vattent\u00e4tt. Brita stod fram\u00e5tb\u00f6jd och tyst och tittade p\u00e5 de tjocka p\u00e4rmarna fyllda med ord och hon t\u00e4nkte p\u00e5 alla ord p\u00e5 alla sidor som l\u00e5g travade och sorterade p\u00e5 andra st\u00e4llen i huset och hon ville ut d\u00e4rifr\u00e5n, springa nerf\u00f6r den m\u00f6rka v\u00e4gen bort fr\u00e5n detta m\u00f6rdande arbete och de dystra liv som l\u00e5g bakom.\n\nDe gick runt till framsidan av huset och hon v\u00e4ntade vid trappan medan Scott gick in f\u00f6r att h\u00e4mta hennes saker. Hon trodde att hon skulle k\u00e4nna \u00e5sk\u00e5darens distans till en pl\u00e5gsam scen, lika trygg och bel\u00e5ten, men det fungerade inte s\u00e5. Hon k\u00e4nde sig skyldig, delaktig i n\u00e5got, och hade inte mod att s\u00e4ga adj\u00f6 till Bill.\n\nScott kom ut och de gick bort mot bilen.\n\n\u00bbOm du kastar en blick bak\u00e5t till v\u00e4nster ser du att han st\u00e5r och tittar i f\u00f6nstret.\u00ab\n\nHon tittade utan att t\u00e4nka sig f\u00f6r men det var m\u00f6rkt i f\u00f6nstret och hon v\u00e4nde sig snabbt fram\u00e5t. Nattvinden bl\u00e5ste, r\u00e5 och vass. N\u00e4r de satt i bilen och sv\u00e4ngde fr\u00e5n den uppk\u00f6rda ler\u00e5kern ut p\u00e5 h\u00e5rdpackat grus, v\u00e4nde hon sig om igen och tyckte att hon s\u00e5g en svag skymt av en silhuett mitt i f\u00f6nstret, en mansgestalt som stod blickstilla, och hon fortsatte att titta tills huset gled bort i fj\u00e4rran och f\u00f6rsvann bland tr\u00e4d och v\u00e4xlande perspektiv, i nattens gr\u00e4nsl\u00f6sa makt.\n\n#  6\n\nSCOTT ber\u00e4ttade dagens tredje historia medan han kikade ut i m\u00f6rkret och satte p\u00e5 vindrutetorkarna d\u00e5 och d\u00e5 f\u00f6r att f\u00e5 bort den tunna imman.\n\nMan talar om att folk k\u00f6r nyckfullt. Han hade sett Karen g\u00e5 nyckfullt p\u00e5 gatan i en stad i nord\u00f6stra Kansas som hette White Cloud, antal inv\u00e5nare cirka tv\u00e5hundratio, och f\u00f6ljt efter henne i bilen. Hon stannade utanf\u00f6r en r\u00f6d tegelbyggnad med igenspikade f\u00f6nster under en tung dyster himmel. Han parkerade bilen i en ficka, med kylaren v\u00e4nd fram\u00e5t, och iakttog henne medan hon stod och f\u00f6rs\u00f6kte peta fram en karamell ur en kladdig p\u00e5se med tumnageln. En traktor rullade f\u00f6rbi, man\u00f6vrerad av en barbr\u00f6stad gosse med knuten n\u00e4sduk p\u00e5 skallen. Gatan var bred och sandgr\u00e5 med ogr\u00e4s som tr\u00e4ngde upp mellan kantstenen och gamla pl\u00e5tmarkiser som h\u00e4ngde \u00f6ver kaf\u00e9et och bil- och cykelverkstan. Hon stod d\u00e4r och lirkade fram karamellen men kunde sedan inte f\u00e5 loss den fr\u00e5n sj\u00e4lva omslagspapperet. Fr\u00e5n fasaden p\u00e5 diversehandeln stack det ut en skylt med ett mystiskt ord p\u00e5.\n\nScott undrade ett tag vad det var med den h\u00e4r scenen som var s\u00e5 v\u00e4lbekant. Han var p\u00e5 v\u00e4g tillbaka \u00f6sterut efter att ha h\u00e4lsat p\u00e5 sin syster som bodde i n\u00e4rheten med en man som var l\u00e4kare och en baby som var ditflugen fr\u00e5n Peru. Det var sk\u00f6nt att bli kvitt Bill ett par veckor eftersom mannen hade hittat whiskyflaskan igen och drog mumlande improvisationer mitt i natten.\n\nHan klev ur bilen och tittade p\u00e5, lutad mot st\u00e4nksk\u00e4rmen, n\u00e4r hon kladdade med godiset i handen. Det var i princip h\u00e5rda karameller, men de ville inte lossna fr\u00e5n omslaget, klibbade bara fast med sega tr\u00e5dar n\u00e4r hon drog i papperet.\n\n\u00c4r det v\u00e4rmeb\u00f6ljan, undrar man, eller underm\u00e5liga tillverkningsmetoder som inte st\u00e5r sig i konkurrensen med den utl\u00e4ndska utmanaren?\n\nHon tittade inte upp.\n\nNog trodde man att de hade l\u00e4rt sig g\u00f6ra vingummin vid det h\u00e4r laget.\n\nHan tog solglas\u00f6gonen ur br\u00f6stfickan, drog upp en skjortflik ur byxlinningen och putsade dem, bara f\u00f6r att ha n\u00e5got att g\u00f6ra medan tiden gick.\n\nHon sa: Har du kommit hit f\u00f6r att avprogrammera mig?\n\nD\u00e5 visste han vad det var som var v\u00e4lbekant. Det var som n\u00e5got ur Bill Gray och han borde ha sett det f\u00f6r l\u00e4nge sedan. Den lustiga flickan p\u00e5 den ruckliga gatan med ett obest\u00e4mt hot i luften, \u00e5sktunga moln eller bara ett fr\u00e4mmande ord som g\u00f6r en mening mottaglig f\u00f6r d\u00e5ligt inflytande.\n\nOm det \u00e4r d\u00e4rf\u00f6r du har kommit hit kan du lika g\u00e4rna ge upp direkt, sa hon, f\u00f6r de har f\u00f6rs\u00f6kt med det och kom ingenvart, inte \u00e5t n\u00e5t h\u00e5ll.\n\nDet dr\u00f6jde inte l\u00e4nge f\u00f6rr\u00e4n de blev mer bekanta med varandra medan de k\u00f6rde upp genom Missouri, och i samma bil, nu p\u00e5 v\u00e4g i motsatt riktning, ber\u00e4ttade han f\u00f6r Brita hur hon i hackiga minnesbilder hade talat om sin tid som moonie, fast\u00e4n hon inte anv\u00e4nde det ordet sj\u00e4lv och inte ville l\u00e5ta n\u00e5gon annan s\u00e4ga s\u00e5 i hennes n\u00e4rvaro, aldrig n\u00e5gonsin.\n\nI sk\u00e5pbilen var alla kl\u00e4der gemensamma, de l\u00e5g i en h\u00f6g och tv\u00e4ttades ihop och sedan delades det ut s\u00e5 och s\u00e5 m\u00e5nga plagg per person, strunt i vem den ursprungliga \u00e4garen eller f\u00f6rra b\u00e4raren var. Detta var inneb\u00f6rden av den kollektiva gemenskapen. Men det k\u00e4nns verkligen konstigt att ha p\u00e5 sig n\u00e5gon annans strumpor och underkl\u00e4der. Man blir sk\u00e4rrad, f\u00e5r kalla k\u00e5rar. Man vill g\u00e5 omkring och dra ihop sig f\u00f6r att inte komma \u00e5t kl\u00e4derna man b\u00e4r p\u00e5 kroppen.\n\nOch hon fick s\u00e4lja jordn\u00f6tter p\u00e5 gatan, och kunde inte l\u00e5ta bli att tycka att det f\u00f6r henne personligen var ett kliv ner\u00e5t efter blommorna. En skuldmedveten och farlig tanke. Och hennes jordn\u00f6tsg\u00e4ng bestod av ganska viljel\u00f6sa systrar som drog omkring utan den fasta \u00f6vertygelsen att deras gemensamma b\u00f6n skulle bli avg\u00f6rande f\u00f6r varenda levande sj\u00e4l p\u00e5 hela jordklotet.\n\nOch hon t\u00e4nkte ofta p\u00e5 sin man, Kim som missionerade i England, mannen hon inte k\u00e4nde. Deras separation skulle upph\u00f6ra om sex m\u00e5nader men bara om de kunde locka tre nya medlemmar var till kyrkan.\n\nHon trodde fullt och fast p\u00e5 Master och uppfattade fortfarande sig sj\u00e4lv som s\u00f6kare, beredd att ta emot det som var stort och sant. Men hon saknade sm\u00e5 saker, f\u00f6r\u00e4ldrarnas f\u00f6delsedagar, en liten matta att st\u00e5 p\u00e5, n\u00e4tter d\u00e5 hon slapp ligga i sovs\u00e4ck. Hon b\u00f6rjade inbilla sig att hon inte var l\u00e4mpad f\u00f6r den kyrkliga trons str\u00e4nga och enkla former. Fram mot kv\u00e4llen drabbades hon av huvudv\u00e4rk. Den kom med ett sken, en elektrokemisk str\u00e5lning, ljus ur tomma intet, hj\u00e4rnframkallat, en kuslig glimt av ditt r\u00e4tta jag.\n\nScott tog henne till ett motell och lyssnade till hennes prat n\u00e4stan hela natten. Hon kissade med d\u00f6rren \u00f6ppen och han t\u00e4nkte: Helt enormt. Men inget sex riktigt \u00e4n. Hon talade i tiominuterskramper. Hon kunde inte sova eller var r\u00e4dd f\u00f6r det. Flera g\u00e5nger gick han ut till automaten i korridoren och k\u00f6pte l\u00e4sk \u00e5t henne och kom tillbaka beredd p\u00e5 att hon skulle vara f\u00f6rsvunnen, med gardinen fladdrande i det \u00f6ppna f\u00f6nstret, det var bara det att gardinerna var f\u00f6r tunga f\u00f6r att fladdra och f\u00f6nstren gick \u00e4nd\u00e5 inte att \u00f6ppna.\n\nSedan h\u00e4nde det, kroppar som r\u00f6rde sig i natten. F\u00f6r i samma stund som hon b\u00f6rjade tvivla och \u00e4ngslas och grubbla, klev hon ur sk\u00e5pbilen en molnig kv\u00e4ll och tre m\u00e4n l\u00f6sgjorde sig fr\u00e5n ett bollplank och kom fram mot henne, tv\u00e5 fr\u00e4mlingar och hennes n\u00e4tbrynjekusin Rick som var footballspelare och hade rakat huvud med undantag f\u00f6r en v\u00e5gig lock mitt p\u00e5 hj\u00e4ssan, f\u00e4rgad s\u00e5 d\u00e4r i papegojgr\u00f6nt du vet. De andra killarna hade kostym och utstr\u00e5lade en viss f\u00f6rstr\u00f6dd sakkunnighet. \u00c4rligt talat \u00e4r det sv\u00e5rt att veta vad man ska s\u00e4ga till folk som kliver fram fr\u00e5n plank i anonyma st\u00e4der och ens egen uppumpade kusin ser outgrundlig ut.\n\nDe skyfflade in henne i en bil och tog henne med till ett rum p\u00e5 ett motell, d\u00e4r hennes pappa satt och v\u00e4ntade i en flams\u00e4ker f\u00e5t\u00f6lj, konstigt nog i strumpl\u00e4sten. Det blev en massa k\u00e4nslom\u00e4ssigt prat, schablonartade f\u00f6rs\u00e4kringar om k\u00e4rlek och mor och hem och hon lyssnade tveksamt, r\u00f6rd och uttr\u00e5kad i stort sett p\u00e5 samma g\u00e5ng, och pappa gr\u00e4t lite och kysste henne och satte p\u00e5 sig skorna och gick sedan d\u00e4rifr\u00e5n med Rick, som stuckit handen i trosorna p\u00e5 henne n\u00e4r de var tio, ett minne som dallrade mellan dem likt den insniffade myskdoften fr\u00e5n hans finger, och h\u00e4r satt Scott i sitt motellrum och f\u00f6rundrades \u00f6ver underkl\u00e4dstemat som l\u00f6pte genom denna unga kvinnas liv.\n\nBrita satt och blundade med huvudet mot det stoppade nackst\u00f6det, och h\u00f6rde hur hans r\u00f6st blev h\u00f6gre n\u00e4r han v\u00e4nde sig \u00e5t hennes h\u00e5ll.\n\nDe b\u00e5da m\u00e4nnen avprogrammerade henne arton timmar om dagen i \u00e5tta dagar. De h\u00e4nvisade till andra fall. De upprepade nyckelfraser. De spelade upp band och visade filmer p\u00e5 v\u00e4ggen. Rullgardinerna var nerdragna hela tiden och d\u00f6rren var l\u00e5st. Inga klockor n\u00e5gonstans. De gick ut n\u00e4r hon sov eller f\u00f6rs\u00f6kte sova, och en kvinna fr\u00e5n den lokala f\u00f6rsamlingen kom och satt i en f\u00e5t\u00f6lj med h\u00f6rlurar p\u00e5 sig och lyssnade till kn\u00f6lvalarnas s\u00e5ng.\n\nUnder dessa stilla halvsovande stunder h\u00e4nde det ibland att hon \u00e4lskade sina f\u00f6r\u00e4ldrar och blev oroad av det dramatiska bortr\u00f6vandet.\n\nDu blev hj\u00e4rntv\u00e4ttad.\n\nDu blev programmerad.\n\nDu har den glasartade blicken.\n\nDet h\u00e4nde ocks\u00e5 att hon hatade alla inblandade och s\u00e5g det som den grymma logiska f\u00f6rl\u00e4ngningen av f\u00f6r\u00e4lder\u2013barnf\u00f6rh\u00e5llandet, sitta inl\u00e5st i ett rum och tvingas lyssna till ett l\u00e5ngrandigt rabblande. Det var f\u00f6rst\u00e5s vad de sa att kyrkan hade gjort med henne hela tiden.\n\nHennes mamma ringde och de hade en vanlig pratstund om praktiska saker som att \u00e4ta ordentligt och vi skickar lite kl\u00e4der.\n\nHuvudv\u00e4rken kom allt oftare och det blev mardr\u00f6mmar ocks\u00e5. Hon b\u00f6rjade f\u00e5 en k\u00e4nsla av att hon bara var p\u00e5 genomresa. Hon kunde inte riktigt komma underfund med vem det var som bodde i den h\u00e4r kroppen. Hennes namn hade brutits ner till separata ljud och det l\u00e4t fullst\u00e4ndigt fr\u00e4mmande f\u00f6r henne. Hon ville tillbaka till sina systrar och ledare. Allt utanf\u00f6r kyrkan var Satans verk. Vad \u00e4r det kyrkan l\u00e4r ut? Bli barn igen. Om ni har teorier s\u00e5 gl\u00f6m dem. Om ni har kunskaper s\u00e5 \u00f6verge dem f\u00f6r barnets rena hj\u00e4rta.\n\nProgrammerad.\n\nHj\u00e4rntv\u00e4ttad.\n\nIndoktrinerad.\n\nN\u00e4r hon f\u00f6rs\u00f6kte sig p\u00e5 en beskedlig flykt, att liksom sidl\u00e4nges tassa ut genom d\u00f6rren, d\u00e4ngde de henne i v\u00e4ggen. De tog i henne \u00f6verallt och hon trodde att de t\u00e4nkte slita av henne kl\u00e4derna bara f\u00f6r att f\u00e5 njuta av ljudet av r\u00e4mnande koreansk akryl och d\u00e5 flyttade sig Scott n\u00e4rmare henne i det skumma rummet och visade henne ett v\u00e4nligt intresse, en \u00f6msint kompensation fr\u00e5n manlighetens andra sida, men inget sympatisex riktigt \u00e4n, h\u00f6rru.\n\nDe k\u00f6rde en stund under tystnad.\n\nBrita sa: \u00bbJag fattade inte riktigt den d\u00e4r historien med den \u00e4kta maken. Om det \u00e4r n\u00e5n jag har tr\u00e4ffat som inte verkat gift.\u00ab\n\n\u00bbMass-gift. Vigd i en offentlig ceremoni tillsammans med tusentals andra. Bill kallar det millenniehysteri. Genom att pressa ihop en miljon \u00f6gonblick av k\u00e4rlek och smek och kurtis i en v\u00e4xande massa p\u00e5st\u00e5r man att livet m\u00e5ste bli ot\u00e5ligare, mer surrealistiskt, mer symboliskt, mer angel\u00e4get om att p\u00e5skynda sin egen omvandling, vad \u00e4r annars meningen? Man tar \u00e4ktenskapet, m\u00e4nniskosl\u00e4ktets trosbek\u00e4nnelse, v\u00e4gen till fortbest\u00e5nd, och f\u00f6rvandlar det till en ruin, framtidens fullst\u00e4ndiga sammanbrott. F\u00f6r att citera Bill. Men jag tycker han har helt fel.\u00ab\n\nDe k\u00f6rde genom Iowa och Illinois och Scott betraktade det dubblerade landskapet, dels fr\u00e5n sin f\u00f6rsta resa p\u00e5 jakt efter Bill, dels fr\u00e5n hemf\u00e4rden med en gestalt ur Bills romaner. De s\u00e5g en h\u00e4st som galopperade p\u00e5 motorv\u00e4gen med tom sadel. Karen passade p\u00e5 att ta blodtrycket p\u00e5 en rullande l\u00e4karmottagning eftersom hon tyckte om att k\u00e4nna det p\u00f6siga greppet n\u00e4r manschetten drogs \u00e5t om armen.\n\nDu har den glasartade blicken.\n\nMen om avprogrammerad innebar att resa hem igen till ett tyst rum och en s\u00e4ng och regelbundna m\u00e5ltider, d\u00e5 kanske, eftersom hennes f\u00f6r\u00e4ldrar \u00e4lskade henne och hon inte ville bo i sk\u00e5pbilen en vinter till, kunde hon l\u00e5ta dem f\u00e5 p\u00e5verka henne lite grann. I alla fall tills vidare.\n\nDe h\u00e4mtade dit Junette, en f\u00f6re detta syster som bortf\u00f6rts av f\u00f6r\u00e4ldrarna och blivit avprogrammerad och tagit avst\u00e5nd fr\u00e5n kyrkan och som nu fick hj\u00e4lpa till att g\u00f6ra andra mottagliga f\u00f6r budskapet. Hon bar erfarenhetens stigma. Karen s\u00e5g p\u00e5 henne n\u00e4r hon kom inst\u00f6rtande i rummet och l\u00e5tsades visa djup empati \u00e4r ordet men egentligen hade en \u00f6verl\u00e4gsen och nedl\u00e5tande inst\u00e4llning. De fortsatte \u00e4nd\u00e5 med det, de f\u00f6ll in i sina best\u00e4mda roller som systerliga och k\u00e4rleksfulla, med tre t\u00e5rfyllda omfamningar. M\u00e4nnen v\u00e4ntade utanf\u00f6r, skuggorna sm\u00e4lte samman bakom den nerdragna gardinen. Junette slet Masters l\u00e4ror i stycken. Hon l\u00e4ste upp brev fr\u00e5n missn\u00f6jda medlemmar med de d\u00f6das viktiga st\u00e4mma. Karen s\u00e5g att hennes t\u00e4nder beh\u00f6vde sk\u00f6tas om, mellanrummen var igensatta av gula avlagringar. Det omtalade tandstensproblemet, tandsten och plack. Hon satt bakslugt inne i sitt huvud och tittade ut p\u00e5 sm\u00f6riga Junette.\n\nKanske du vet hur det \u00e4r att vara offer f\u00f6r motstridiga k\u00e4nslor, som man s\u00e4ger, som att man vill stanna fast man vill g\u00e5 och s\u00e5 kommer de in med en person som man helst vill hugga i ryggen med ett taggigt f\u00f6rem\u00e5l.\n\nDe stannade vid ett motell mitt i Ohio och st\u00e4mningen blev sp\u00e4nd. De var tr\u00f6tta och hade ingen lust att prata. Scott f\u00f6rstod att hon undrade varf\u00f6r hon \u00f6ver huvud taget satt d\u00e4r, p\u00e5 resa med en fr\u00e4mling, en misst\u00e4nkt hj\u00e4lpsam typ, vem var han f\u00f6rresten, dessutom i ett rum som var exakt detsamma som den bruna l\u00e5da d\u00e4r de hade f\u00f6rs\u00f6kt v\u00e4nda ut och in p\u00e5 hennes hj\u00e4rna som om den var en serpentin. Samma rum upprepar sig i en landsomfattande kedja och han t\u00e4nker tvinga mig att stanna vid vartenda ett.\n\nD\u00e4rf\u00f6r ber\u00e4ttade han om Bill f\u00f6r henne, allt han visste, mannen, verket, dunklet, sitt eget djupa engagemang. Hon sa ingenting men s\u00e5g ut som om hon f\u00f6rs\u00f6kte lyssna, dra sig till minnes en annan v\u00e4rld d\u00e4r det fanns spr\u00e5k och ensamhet och v\u00e5ta tuv\u00e4ngar.\n\nDe gick ut och \u00e5t ordentlig middag p\u00e5 en riktig restaurang med tofsprydda matsedlar och en liten g\u00e5ngbro \u00f6ver till matsalen. Hon s\u00e5g p\u00e5 honom f\u00f6r f\u00f6rsta g\u00e5ngen. Med andra ord upplevde honom retroaktivt, medan hon tog till sig det senaste dygnets flyktiga f\u00f6rv\u00e5ning s\u00e5 som den avspeglades i hans ansikte. De gick tillbaka till rummet. Det var fortfarande inte r\u00e4tt tillf\u00e4lle f\u00f6r den barmh\u00e4rtiga unds\u00e4ttningens sex, sj\u00e4lvutpl\u00e5ningens sex, och han undrade om han gjorde n\u00e5got fel. Hon pratade och sov och sedan v\u00e4ckte hon honom f\u00f6r att prata lite till.\n\nDe sa: Problemet med post-kult \u00e4r att man f\u00f6rlorar sin kontakt med m\u00e4nsklighetens \u00f6de.\n\nDe sa: Vi vet att du \u00e4r en bra m\u00e4nniska som h\u00e5ller p\u00e5 att g\u00e5 igenom en jobbig anpassningsperiod medan dina f\u00f6r\u00e4ldrar v\u00e4ntar och ber och skriver ut en strid str\u00f6m av checkar f\u00f6r att r\u00e4dda ditt k\u00e4nsloliv.\n\nDe tvingade henne att medge att kyrkan hade gjort henne till robot. Gjort mig till robot, gjort mig till robot nynnade hon. Den natten klev hon ur s\u00e4ngen i ett stickande ljussken och f\u00f6rs\u00f6kte s\u00e4ga n\u00e5got till kvinnan med h\u00f6rlurarna men hon kunde inte f\u00e5 fram ett ljud och en stund senare stod hon p\u00e5 alla fyra p\u00e5 badrumsgolvet och spydde ur sig f\u00f6da fr\u00e5n ett flertal kulturer.\n\nDe sa: Jaha nu ska du i v\u00e4g till ett avprogrammeringscenter dit f\u00f6rvirrade och svaga och s\u00e5rade fr\u00e5n m\u00e5nga sekter och r\u00f6relser kommer f\u00f6r att f\u00e5 medm\u00e4nskligt st\u00f6d.\n\nRick kom med kl\u00e4der och fickpengar och en l\u00e5da med delikatesser packade i effektfullt krullig halm och alla for i v\u00e4g till flygplatsen. Karen hittade en m\u00e5larbok om cancer i d\u00f6rrfickan och bl\u00e4ddrade igenom den. N\u00e4r de steg ur bilen fick hon syn p\u00e5 en polis och best\u00e4mde sig f\u00f6r att promenera bort till honom och tala om att hon hade blivit kidnappad. Hon pekade p\u00e5 f\u00f6r\u00f6varna som s\u00e5g \u2013 vad \u00e4r det f\u00f6r ord som l\u00e5ter som om det betyder lugn och s\u00e4ker men egentligen betyder att man \u00e4r h\u00e4pen? De s\u00e5g paffa ut. Och skyldiga, vilket de var, \u00e4ven kusinen med den gr\u00f6na h\u00e5rtesten. D\u00e4rp\u00e5 uppstod en flerr\u00f6stad diskussion p\u00e5 trottoaren utanf\u00f6r terminalen med det vanliga flygplatsst\u00e5hejet runt omkring. En av m\u00e4nnen f\u00f6rs\u00f6kte upplysa konstapeln om delstatens lagstiftning betr\u00e4ffande f\u00f6rmyndarskap, vilket gav dem r\u00e4ttighet att \u2013 och Karen sprang, f\u00f6rsvann, rakt in i terminalen, ner n\u00e5gra trappor, hon k\u00e4nde sig l\u00e4tt och snabb och ung, d\u00e4r hon pl\u00f6jde fram genom tr\u00e4ngseln och ut genom en d\u00f6rr p\u00e5 undre planet och in i en taxi och viskade _In till centrum_.\n\nHon visste inte i vilken stad centrum l\u00e5g men n\u00e4r hon kom dit stoppade hon undan femtio dollar och spenderade resten p\u00e5 en bussbiljett och tre timmar senare hoppade hon av i White Cloud, ett namn i himlen, d\u00e4r Scott hittade henne spankulerande i sicksack p\u00e5 en n\u00e4stan tom gata.\n\nBrita sa: \u00bbJag har ett foto av Eve Arnold, taget i White Cloud. Det \u00e4r fr\u00e5n huvudgatan, det \u00e4r jag r\u00e4tt s\u00e4ker p\u00e5, och man ser en byggnad som skulle kunna vara tegelhuset d\u00e4r Karen stod n\u00e4r du gick fram till henne och det finns definitivt en traktor eller tr\u00f6ska eller n\u00e5n sorts jordbruksmaskin med stora hjul p\u00e5 bilden.\u00ab\n\n\u00bbMen vi \u00e4r inte med, hon och jag.\u00ab\n\n\u00bbOch man ser den d\u00e4r lilla skylten du talade om utanf\u00f6r en aff\u00e4r med det lustiga ordet p\u00e5, om det \u00e4r indianskt eller vad det \u00e4r, och p\u00e5 s\u00e4tt och vis flyter hela bilden med den \u00f6ppna himlen och den \u00f6ppna gatan, s\u00e5 \u00f6dsligt och uttrycksfullt och banalt p\u00e5 samma g\u00e5ng, allt flyter in i det d\u00e4r underliga ordet p\u00e5 skylten.\u00ab\n\n\u00bbNu minns jag. Ha-Hush-Kah. Typiskt Bill Gray. Det \u00e4r ett Bill Gray-st\u00e4lle. Det \u00e4r det verkligen.\u00ab\n\nTill slut kom de ut p\u00e5 just dessa v\u00e4gar, i motsatt riktning f\u00f6rst\u00e5s, och hon fr\u00e5gade om Bill. Scott uppt\u00e4ckte att det var f\u00f6rsta g\u00e5ngen som hon sa mer \u00e4n tio ord om n\u00e5got annat \u00e4n sig sj\u00e4lv. Han visste inte om hon fick stanna f\u00f6r Bill. I sj\u00e4lva verket blev det aldrig n\u00e5gon diskussion. De gick in och ber\u00e4ttade f\u00f6r Bill om resan och det verkade som om han gillade Karen. Han fick en f\u00f6rstr\u00f6tt road glimt i \u00f6gat som betydde att det finns s\u00e5dant som helt enkelt m\u00e5ste ske innan vi vet hur bra eller dumt det \u00e4r.\n\nN\u00e4r hon hade l\u00e4st Bills b\u00f6cker flyttade hon fr\u00e5n den gamla soffan in i Scotts s\u00e4ng och det k\u00e4ndes som om hon alltid hade funnits d\u00e4r.\n\nBill l\u00e5g och r\u00f6kte i s\u00e4ngen, med askkoppen p\u00e5 br\u00f6stet. Varje g\u00e5ng han gjorde det t\u00e4nkte han p\u00e5 gamla fyllon som l\u00e5g i gedigna enfamiljshus av sandsten och andades in den tr\u00f6ga r\u00f6ken fr\u00e5n brinnande madrasser.\n\nKaren kom in kl\u00e4dd i trosor och f\u00f6r stor t-shirt.\n\n\u00bbK\u00e4nns det b\u00e4ttre nu, mister Bill?\u00ab\n\nHon klev upp i s\u00e4ngen och st\u00e4llde sig grensle \u00f6ver Bill, strax nedanf\u00f6r b\u00e5len, med rak rygg och h\u00e4nderna p\u00e5 l\u00e5ren.\n\nLjus som sipprade in fr\u00e5n hallen.\n\n\u00bbSka du inte ta och sl\u00e4cka den d\u00e4r cigaretten och r\u00f6ka lite av Scotts marijuana? Om du fortfarande \u00e4r deppig somnar du kanske l\u00e4ttare d\u00e5.\u00ab\n\n\u00bbJag tror inte jag vill sova riktigt \u00e4n.\u00ab\n\n\u00bbJag b\u00f6rjade aldrig med hasch av n\u00e5n konstig anledning vad det nu var.\u00ab\n\n\u00bbJag f\u00e5r hj\u00e4rtklappningsdr\u00f6mmar av det.\u00ab\n\n\u00bbScott r\u00f6ker mest f\u00f6r att varva ner n\u00e4r han arbetar sent med manuskriptet eller mapparna.\u00ab\n\n\u00bbVerksamheten pekar upp\u00e5t just nu, inte ner.\u00ab\n\nHon studsade lite och fick honom att st\u00f6na, sedan sj\u00f6nk hon ner p\u00e5 huk.\n\n\u00bbHan p\u00e5st\u00e5r att du k\u00e4nner till en massa \u00e4mnen som p\u00e5verkar biokemin.\u00ab\n\n\u00bbDet \u00e4r godk\u00e4nda l\u00e4kemedel. En doktor skriver ut recept. F\u00f6rh\u00e5llningsorderna f\u00f6ljs till punkt och pricka.\u00ab\n\n\u00bbJag k\u00e4nner helt klart en sprittning under t\u00e4cket.\u00ab\n\n\u00bbHar jag n\u00e5nsin ber\u00e4ttat om min f\u00f6rsta fru?\u00ab\n\n\u00bbInte vad jag vet. Hurs\u00e5?\u00ab\n\n\u00bbHon brukade s\u00e4ga att jag var en enda stor kuk. Jag satt j\u00e4mt inl\u00e5st och sa inte ett smack om mitt arbete och s\u00e5 sm\u00e5ningom inte om n\u00e5t annat heller s\u00e5 det blev inget kvar utom knulla. Och vi pratade inte om det heller.\u00ab\n\n\u00bbBara gjorde det.\u00ab\n\n\u00bbHon tyckte inte om f\u00f6rfattare. Idiot som jag var ins\u00e5g jag inte det f\u00f6rr\u00e4n det var alldeles f\u00f6r sent.\u00ab\n\n\u00bbOm du var idiot vad var inte hon d\u00e5? Som gick och gifte sig med en som var f\u00f6rfattare.\u00ab\n\n\u00bbHon trodde att vi skulle v\u00e4nja oss vid varandra. Kvinnor har stor tillit till anpassningens mekanismer. En kvinna vet hur man f\u00e5r sin vilja fram. Hon tar g\u00e4rna risker f\u00f6r att trygga sin framtid.\u00ab\n\n\u00bbJag t\u00e4nker aldrig p\u00e5 framtiden.\u00ab\n\n\u00bbDu kommer fr\u00e5n framtiden\u00ab, sa han l\u00e5gt.\n\nHon tog cigaretten och fimpade den, st\u00e4llde askkoppen p\u00e5 golvet och sparkade ner den mot fot\u00e4ndan.\n\n\u00bbHur \u00e4r en hj\u00e4rtklappningsdr\u00f6m?\u00ab\n\n\u00bbPanik. Rusande hj\u00e4rtslag. Sen vaknar jag och jag vet inte om hj\u00e4rtslagen var dr\u00f6mda eller verkliga. Fast det dr\u00f6mda \u00e4r ocks\u00e5 verkligt.\u00ab\n\n\u00bbAllting \u00e4r verkligt.\u00ab\n\nHon str\u00e4ckte armarna rakt upp \u00f6ver huvudet n\u00e4r hon drog av sig t-shirten, och Bill n\u00e4stan v\u00e4nde sig bort. Varje g\u00e5ng hon gjorde s\u00e5 d\u00e4r, s\u00e5 att br\u00f6st och h\u00e5r sv\u00e4ngde, \u00f6verv\u00e4ldigades han av att se detta i hela sin prakt, blev n\u00e4stan vanm\u00e4ktig av kraften i det. Han flyttade r\u00f6relsen fram\u00e5t i tiden f\u00f6r att den skulle f\u00e5 stillhet och sammanhang, f\u00f6r att g\u00f6ra om den till ett minne av omedveten form och grace. Hon skulle aldrig f\u00e5 veta hur intensivt detta f\u00e5ngade \u00f6gonblick var n\u00e4r hennes armb\u00e5gar saxade ut och hon gled ur den hoprullade tr\u00f6jan och str\u00e4ckte p\u00e5 sig i en symbolisk g\u00e4spning som fick honom att gl\u00f6mma var han befann sig.\n\n\u00bbJag vet att det \u00e4r d\u00e5lig stil att fr\u00e5ga.\u00ab\n\n\u00bbMen vad\u00e5?\u00ab sa hon.\n\n\u00bbVet Scott om att du kommer hit upp?\u00ab\n\nDe h\u00f6ll p\u00e5 att kr\u00e4nga av honom pyjamasjackan, en arm i taget, men m\u00e5ste g\u00f6ra ett avbrott n\u00e4r han fick en hostattack.\n\n\u00bbFinns det n\u00e5t h\u00e4r i huset som Scott inte vet om?\u00ab\n\n\u00bbDet var det jag trodde\u00ab, sa han.\n\n\u00bbM\u00f6ssen \u00e4r hans v\u00e4nner. Han vet vilket f\u00f6nster som ger det b\u00e4sta m\u00e5nskenet vilken natt som helst i m\u00e5nkalendern.\u00ab\n\nHon \u00e4ndrade st\u00e4llning f\u00f6r att dra ner t\u00e4cket och knyta upp sn\u00f6ret p\u00e5 hans byxor.\n\n\u00bbOch han har inget emot det\u00ab, sa Bill.\n\n\u00bbVad skulle han kunna. Jag menar han har inte skjutit oss \u00e4n.\u00ab\n\n\u00bbNej han har inte det.\u00ab\n\n\u00bbOch han skulle inte g\u00f6ra det.\u00ab\n\n\u00bbNej han skulle v\u00e4l inte det?\u00ab\n\n\u00bbOch f\u00f6rresten och f\u00f6rresten och f\u00f6rresten. Tog han inte hit mig f\u00f6r din skull?\u00ab\n\nDen tanken framstod inte som s\u00e4rskilt upplivande f\u00f6r Bill. Han ville tro att orden bara hade kommit trillande ur mun p\u00e5 henne, eftersom det var s\u00e5 med det mesta hon sa. Men hon trodde kanske att det var sant och kanske det var det och s\u00e5 sp\u00e4nnande f\u00f6r Bill att inbilla sig att han \u00e4nda fr\u00e5n b\u00f6rjan bedrog Scott i enlighet med den andres planer.\n\nHans kuk ryckte i hennes hand.\n\n\u00bbNu tycker jag att vi ska ha v\u00e5rt samlag.\u00ab\n\n\u00bbJavisst lilla v\u00e4n\u00ab, sa Bill.\n\nHon gick tv\u00e4rs \u00f6ver golvet bort till byr\u00e5n och tog ett litet paket ur mellersta l\u00e5dan. Hon plockade fram en kondom och gick tillbaka till s\u00e4ngen, satte sig grensle \u00f6ver Bills l\u00e5r och utrustade honom med attiraljen.\n\n\u00bbVem \u00e4r det du skyddar, dig eller mig?\u00ab\n\n\u00bbDet \u00e4r bara s\u00e5 man g\u00f6r numera.\u00ab\n\nHan s\u00e5g hur f\u00e4ngslad hon var av sin uppgift, s\u00e5 l\u00e4tt p\u00e5 handen och angel\u00e4gen om att verka f\u00f6rfaren, likt ett allvarligt barn som kl\u00e4r p\u00e5 en docka.\n\nScott stod och s\u00e5g sig omkring i atelj\u00e9n. En rad pelare gjorde rummet l\u00e4ngre. Ett stort plastskynke h\u00e4ngde under det l\u00e4ckande takf\u00f6nstret. Brita gick runt och t\u00e4nde lampor. Ett litet k\u00f6k med matvr\u00e5 och en till h\u00e4lften dold alkov med sk\u00e5p och hyllor. Han f\u00f6ljde efter henne och sl\u00e4ckte tv\u00e5 av lamporna. En soffa och n\u00e5gra stolar ihopk\u00f6rda i en grupp. Sedan ett m\u00f6rkrum med svarta f\u00f6rh\u00e4ngen framf\u00f6r d\u00f6rrarna. Utanf\u00f6r de s\u00f6dra f\u00f6nstren stod World Trade-tornen i silhuett mot natthimlen, f\u00f6rt\u00e4tade och n\u00e4ra inp\u00e5. Detta var begreppet \u00bb\u00f6verskuggande\u00ab i hela sin utt\u00e4njda och hotande kraft.\n\n\u00bbJag ska koka te \u00e5t v\u00e4gfararna.\u00ab\n\n\u00bbNu \u00e4ntligen k\u00e4nns det som jag har sett New York inifr\u00e5n, bara genom att st\u00e5 h\u00e4r i denna rymd och titta ut genom f\u00f6nstret.\u00ab\n\n\u00bbN\u00e4r det regnar ute regnar det ocks\u00e5 in.\u00ab\n\n\u00bbMen Brita, trots alla brister.\u00ab\n\n\u00bbMindre \u00e4n s\u00e5 h\u00e4r blir de inte. Men jag har inte r\u00e5d med det l\u00e4ngre. Och jag \u00e4r tvungen att glo p\u00e5 miljonv\u00e5ningstornen.\u00ab\n\n\u00bbDet ena har antenn.\u00ab\n\n\u00bbHanen.\u00ab\n\n\u00bbTe vore h\u00e4rligt, tack.\u00ab\n\nI k\u00f6ket tog hon fram saker ur sk\u00e5p och l\u00e5dor, ett f\u00f6rem\u00e5l i taget. Ett slags hemk\u00e4nsla kom \u00f6ver henne nu, som om hon varit borta en m\u00e5nad, sex veckor. Kopparna och skedarna fick henne att k\u00e4nna sig hel igen, tog henne tillbaka fr\u00e5n jetstrimmorna, lindrade transittillst\u00e5ndet. Hon var s\u00e5 tr\u00f6tt att hon kunde h\u00f6ra det, som en ringande ton i kroppen, och flera g\u00e5nger m\u00e5ste hon p\u00e5minna sig om att hon varit borta mindre \u00e4n tv\u00e5 dagar. Scott stod vid ett bord i andra \u00e4nden av rummet, tittade p\u00e5 kringstr\u00f6dda tidskrifter och f\u00e4llde mer eller mindre okontrollerade kommentarer.\n\nHissen skallrade genom huset, med sin gamla gr\u00f6na j\u00e4rngrind som slog och skramlade i natten.\n\nDe drack te.\n\n\u00bbDet som g\u00f6r den h\u00e4r stan annorlunda \u00e4r att ingen r\u00e4knar med att st\u00e5 stilla i tio minuter. Alla \u00e4r i r\u00f6relse hela tiden. Sju anonyma m\u00e4n \u00e4ger allting och flyttar omkring oss p\u00e5 ett br\u00e4de. Folk sopas ut p\u00e5 gatan f\u00f6r att \u00e4garna beh\u00f6ver tomten. Sen sopas de bort fr\u00e5n gatorna eftersom n\u00e5n \u00e4ger luften de andas. M\u00e4n k\u00f6per och s\u00e4ljer luften i himlen och det ligger kroppar p\u00e5 varandra i kartonger p\u00e5 trottoarerna. Sen sopar de i v\u00e4g kartongerna.\u00ab\n\n\u00bbDu gillar att \u00f6verdriva.\u00ab\n\n\u00bbJag \u00f6verdriver f\u00f6r att h\u00e5lla mig vid liv. Det \u00e4r syftet med New York. Jag \u00e4lskar den h\u00e4r stan, jag litar helt och fullt p\u00e5 den, men jag vet att i det \u00f6gonblick jag slutar vara arg \u00e4r det definitivt slut med mig.\u00ab\n\nScott sa: \u00bbF\u00f6rr \u00e5t jag alltid ensam. Jag sk\u00e4mdes f\u00f6r det, att jag inte hade n\u00e5n att \u00e4ta ihop med. Jag \u00e5t inte bara ensam, jag \u00e5t st\u00e5ende. Det \u00e4r en av de mest oroande hemligheterna i v\u00e5r tid, att vi kan t\u00e4nka oss att \u00e4ta st\u00e5ende. Jag brukade st\u00e5 upp f\u00f6r att det \u00e4r mer anonymt, det passade in p\u00e5 min upplevelse av stan. Hundratusentals m\u00e4nniskor \u00e4ter ensamma. De \u00e4ter ensamma, de g\u00e5r ensamma, de talar f\u00f6r sig sj\u00e4lva p\u00e5 gatan och h\u00e5ller djupa och pl\u00e5gade monologer precis som helgon p\u00e5 frestelsens rand.\u00ab\n\n\u00bbJag b\u00f6rjar bli v\u00e4ldigt s\u00f6mnig\u00ab, sa Brita.\n\n\u00bbJag vill inte s\u00e4tta mig i bilen riktigt \u00e4n.\u00ab\n\n\u00bbDet \u00e4r du som k\u00f6r, Scott.\u00ab\n\n\u00bbJag tror inte jag kan k\u00f6ra en meter till.\u00ab\n\nHan reste sig och sl\u00e4ckte \u00e4nnu en lampa.\n\nSirener som ylade i \u00f6ster.\n\nSedan satte han sig intill henne i soffan. Han lutade sig mot henne och lade baksidan av handen mot hennes kind. Hon betraktade en mus som sprang uppf\u00f6r en f\u00f6nsterkarm och f\u00f6rsvann. Hon hade en teori om att sirenerna gjorde dem galna.\n\nHon sa: \u00bbP\u00e5 vissa st\u00e4llen d\u00e4r man st\u00e5r och \u00e4ter tvingas man glo rakt in i en spegel. Det handlar om att ha full kontroll \u00f6ver ens reaktioner, det \u00e4r som konsumentens f\u00e4ngelse. Och spegeln sitter bokstavligen en h\u00e5rsm\u00e5n ifr\u00e5n s\u00e5 man kan knappt stoppa gaffeln i munnen utan att sl\u00e5 armb\u00e5gen i den.\u00ab\n\n\u00bbSpegeln sitter d\u00e4r som s\u00e4kerhet, som skydd. Man anv\u00e4nder den till att g\u00f6mma sig. Man \u00e4r helt ensam i f\u00f6rgrunden men man \u00e4r ocks\u00e5 en del av myllret, den dallrande gel\u00e9n av huvuden som skymtar bakom ditt lilla ansikte. Bill f\u00f6rst\u00e5r inte att folk beh\u00f6ver sm\u00e4lta in, g\u00e5 upp i ett st\u00f6rre sammanhang. Syftet med massvigsel \u00e4r att visa att vi m\u00e5ste \u00f6verleva som kollektiv, inte som individer som st\u00e4ndigt f\u00f6rs\u00f6ker beh\u00e4rska alla komplicerade krafter. Massvigsel mellan flera raser. De m\u00f6rkhyades omv\u00e4ndning av de vita. Varje revolution\u00e4r id\u00e9 medf\u00f6r risker och omsv\u00e4ngningar. Jag kan alla inv\u00e4ndningar mot Moonl\u00e4ran men teoretiskt sett \u00e4r det dj\u00e4rvt och vision\u00e4rt. T\u00e4nk p\u00e5 framtiden s\u00e5 m\u00e4rker du hur deprimerad du blir. Alla nyheter \u00e4r hemska. Vi kan inte \u00f6verleva genom att \u00f6nska oss mer, beh\u00f6va mer, kr\u00e4va mer, ta f\u00f6r oss allt vi kan.\u00ab\n\n\u00bbP\u00e5 tal om framtiden.\u00ab\n\n\u00bbDu kan inte k\u00f6ra ut mig.\u00ab\n\n\u00bbJag m\u00e5ste sova f\u00f6r att f\u00e5 slut p\u00e5 bullret inne i skallen. Det k\u00e4nns som om jag har k\u00e4nt er alla tre i \u00e5ratal och det \u00e4r faktiskt f\u00f6rbannat tr\u00f6ttsamt.\u00ab\n\nDe satt l\u00e5ngt fr\u00e5n den enda svaga lampan som vajade \u00f6ver spisen.\n\n\u00bbVi har kommit f\u00f6r l\u00e5ngt ut i rymden f\u00f6r att framh\u00e4va skillnaderna mellan oss. Som de d\u00e4r du pratade om p\u00e5 kinesiska muren, mannen och kvinnan som var p\u00e5 v\u00e4g mot varandra tv\u00e4rs \u00f6ver Kina. Det handlar inte om att betrakta planeten som ny. Det handlar om att betrakta m\u00e4nniskor som nya. Vi ser dem utifr\u00e5n rymden d\u00e4r k\u00f6n och ansiktsdrag inte spelar n\u00e5n roll, d\u00e4r namn inte spelar n\u00e5n roll. Vi har l\u00e4rt oss att iaktta oss sj\u00e4lva som fr\u00e5n rymden, som fr\u00e5n satellitkameror, st\u00e4ndigt, st\u00e4ndigt. Som fr\u00e5n m\u00e5nen till och med. Vi \u00e4r moonies allihop eller borde l\u00e4ra oss att bli det.\u00ab\n\nHon h\u00f6rde hur det skr\u00e4llde i hissgrinden igen. Hon hade slutit \u00f6gonen. Men Scott var den som somnade. N\u00e4r hon uppt\u00e4ckte det reste hon sig tyst ur soffan och h\u00e4mtade en filt \u00e5t honom. Sedan gick hon f\u00f6rbi k\u00f6ket bort till andra \u00e4nden av rummet och kl\u00e4ttrade uppf\u00f6r stegen till sin s\u00e4ng.\n\nHon sparkade av sig tofflorna och lade sig p\u00e5 rygg med kl\u00e4derna p\u00e5, pl\u00f6tsligt klarvaken. Katten satte sig vid hennes armb\u00e5ge och glodde. Hon h\u00f6rde rop nere p\u00e5 gatan, nattr\u00f6sterna som gastade hela tiden nu, unga grabbar som pissade p\u00e5 sovande m\u00e4n, kvinnan som bodde i sops\u00e4ckar, hade dem p\u00e5 sig, sov i dem, som alltid sl\u00e4pade omkring p\u00e5 en stor plastkasse fylld med andra plastkassar. Brita h\u00f6rde henne prata nu, hennes r\u00f6st f\u00f6rdes vidare av vinden fr\u00e5n floden, atmosf\u00e4riska st\u00f6rningar i natten.\n\nSnart b\u00f6rjade v\u00e4gen rulla upp sig i huvudet igen, den kaotiska f\u00e4rden timme efter timme. Det k\u00e4ndes konstigt att ligga stilla i en liten vr\u00e5 och k\u00e4nna r\u00f6relsens kraft, luftdraget \u00f6ver motorhuven. Ett sinnesintryck som dunkade i huden. Katten klev f\u00f6rbi hennes hand, en ryckning av m\u00e5nmuskler och p\u00e4ls. Hon h\u00f6rde billarmen utl\u00f6sas i f\u00f6ljd, panikdatan som matades in i hennes liv. Allting matas in, allting blir kodat, d\u00e4r finns allt och dess dolda inneb\u00f6rd. Vilken kris litar jag p\u00e5? Det k\u00e4ndes som om hon beh\u00f6vde sina egna dolda inneb\u00f6rder f\u00f6r att ta sig genom en helt vanlig dag. Hon str\u00e4ckte ut handen, grep tag i katten och drog ner den mot br\u00f6stet. Hon tyckte att hennes kropp hade blivit s\u00e5rbar, tr\u00e5nande efter f\u00f6rlorad trygghet. Den ville vara en skyddad plats mot hela ruljangsen, mot kraften i allt som fanns d\u00e4r ute. Att \u00e4lska och smeka, de stundernas mjukhet var parad med n\u00e5got l\u00e4ngtansfullt numera. Allt sex \u00e4r en sorts l\u00e4ngtan redan medan det sker. Eftersom det sker mot tidens tyngd. Eftersom akten \u00e4r offentlig p\u00e5 ytan, en \u00e5der av skr\u00e4ck och f\u00f6rfall. Hon ville att hennes kropp skulle f\u00f6rbli en hemlighet fr\u00e5n det f\u00f6rg\u00e5ngna, op\u00e5verkad av komplikation och \u00e5nger. Hon var skrockfull n\u00e4r det g\u00e4llde att tala \u00f6ppet med l\u00e4kare. Hon trodde att de skulle ta \u00f6ver hennes kropp, peka ut alla skadade delar, s\u00e4ga alla hemska ord. Hon l\u00e5g l\u00e4nge med slutna \u00f6gon och f\u00f6rs\u00f6kte falla i s\u00f6mn. S\u00e5 str\u00f6k hon \u00f6ver kattens p\u00e4ls och k\u00e4nde hela sin barndom. Den fanns d\u00e4r, fullst\u00e4ndig i en enda smekning, allt var bevarat och str\u00f6mmade ut fr\u00e5n gamla bortgl\u00f6mda hus och \u00e4ngar och sommardagar ner i floden i hennes hand.\n\nHon slank in under t\u00e4cket, lade sig p\u00e5 sidan och v\u00e4nde sig mot v\u00e4ggen f\u00f6r att visa att hon menade allvar. L\u00e5ngsamt nu, in i sj\u00e4lvkritikens ohj\u00e4lpliga halvdvala, den d\u00e4r talande filmen som g\u00e5r mellan ljus och m\u00f6rker. Men till slut kom \u00f6gonblicket d\u00e5 hon blev tvungen att medge att hon fortfarande var vaken. Hon kastade av sig t\u00e4cket och l\u00e5g d\u00e4r p\u00e5 rygg. Sedan kl\u00e4ttrade hon nerf\u00f6r stegen och gick fram till ett f\u00f6nster. Hon s\u00e5g \u00e5nga v\u00e4lla upp ur en ventil i gatan. Telefonen ringde. De p\u00e5minde om jordkonst, alla dessa \u00e5ngpelare som steg \u00f6verallt i staden, vita och tysta p\u00e5 \u00f6de gator. Hon h\u00f6rde svararen sl\u00e5 p\u00e5 och v\u00e4ntade p\u00e5 att den som ringde skulle b\u00f6rja tala.\n\nEn mansr\u00f6st som l\u00e4t mycket bekant, som l\u00e4t stegrad, fyllde det stora rummet, men f\u00f6rst kunde hon inte identifiera honom, kunde inte riktigt f\u00e5 klart f\u00f6r sig sammanhanget i hans meddelande, och hon trodde att han kanske var n\u00e5gon hon k\u00e4nt f\u00f6r l\u00e4nge sedan, m\u00e5nga \u00e5r sedan och mycket v\u00e4l, det var en r\u00f6st som liksom svepte sig om henne, s\u00e5 m\u00e4rkligt och fullst\u00e4ndigt n\u00e4ra.\n\n\u00bbDu for utan att s\u00e4ga adj\u00f6. Fast det \u00e4r inte d\u00e4rf\u00f6r jag ringer. Jag \u00e4r klarvaken och beh\u00f6ver n\u00e5n att prata med men det \u00e4r inte heller d\u00e4rf\u00f6r jag ringer. Vet du hur konstigt det k\u00e4nns f\u00f6r mig att sitta s\u00e5 h\u00e4r och prata med en telefonsvarare? Jag k\u00e4nner mig som en teve som st\u00e5r p\u00e5 i ett tomt rum. Jag l\u00e5ter f\u00f6r ett tomt rum. Det \u00e4r en ny sorts ensamhet du jagar in mig i, Brita. Jag tycker om att s\u00e4ga ditt namn. Ensamheten i att veta att ingen kommer att h\u00f6ra mig p\u00e5 flera timmar eller dagar. Jag antar att du alltid kollar upp dina meddelanden. Fj\u00e4rrstyrning av apparaten fr\u00e5n annan ort. Det ligger mycket v\u00e5ld i det uttrycket. \u203aFj\u00e4rrstyrning av apparaten.\u2039 Man m\u00e5ste ha en hemlig kod om jag inte tar fel. Du knappar in din kod i Bryssel och spr\u00e4nger ett hus i Madrid. Detta \u00e4r den svarta \u00f6nskan som fj\u00e4rrstyrningsbranschen tillm\u00f6tesg\u00e5r. Jag sitter i min rottingstol och tittar ut genom f\u00f6nstret. F\u00e5glarna \u00e4r vakna och jag med. \u00c4nnu en trist utr\u00f6kt gryning och min hals \u00e4r s\u00f6ndersvedd, men det har varit mycket v\u00e4rre. Jag slutade dricka n\u00e4r du for i g\u00e5r kv\u00e4ll. Och jag talar l\u00e5ngsamt nu eftersom det inte k\u00e4nns som om n\u00e5n lyssnar, jag h\u00f6r inte ens tystnaderna som en lyssnare \u00e5stadkommer, av olika slag, t\u00e4ta och f\u00f6rv\u00e4ntansfulla och uttr\u00e5kade och ilskna, och jag k\u00e4nner mig lite f\u00e5nig som h\u00e5ller tal till en fr\u00e5nvarande v\u00e4n. Jag hoppas att vi \u00e4r v\u00e4nner. Men det var inte d\u00e4rf\u00f6r jag ringde. Hela tiden ser jag min bok irra omkring i huset. Kraftl\u00f6s hasar den fram, om du kan f\u00f6rest\u00e4lla dig en naken hopsjunken varelse med nerfilade k\u00f6nsdelar, fast v\u00e4rre, eftersom huvudet sv\u00e4ller ut upptill och den har en grotesk tunga som sticker ut ur mungipan och gr\u00e4sliga f\u00f6tter. Den vill kl\u00e4nga sig fast, h\u00e5lla i mig och h\u00e4nga sig p\u00e5. En idiot, ett missfoster. Vattensjuk, dreglande, inkontinent. Jag talar l\u00e5ngsamt f\u00f6r att det ska bli r\u00e4tt. Det \u00e4r min bok n\u00e4r allt kommer omkring s\u00e5 d\u00e4rf\u00f6r \u00e4r det jag som ska se till att det blir r\u00e4tt. Vilken ensamhet med r\u00f6ster sparade p\u00e5 band. N\u00e4r du s\u00e5 sm\u00e5ningom lyssnar p\u00e5 det h\u00e4r minns jag inte l\u00e4ngre vad jag har sagt. Jag kommer att vara ett gammalt meddelande vid det laget, begravt under m\u00e5nga nya meddelanden. Telefonsvararen g\u00f6r allt till ett meddelande, vilket begr\u00e4nsar samtalet och f\u00f6rst\u00f6r poesin i att ingen \u00e4r hemma. Hemma \u00e4r ett f\u00f6rfelat begrepp. Folk \u00e4r inte l\u00e4ngre hemma eller inte hemma. De lyfter p\u00e5 luren eller lyfter inte p\u00e5 luren. Sanningen att s\u00e4ga k\u00e4nner jag mig inte f\u00e5nig. Det \u00e4r f\u00f6rmodligen l\u00e4ttare att tala med dig p\u00e5 det h\u00e4r s\u00e4ttet. Men det var inte d\u00e4rf\u00f6r jag ringde. Jag ringde f\u00f6r att beskriva soluppg\u00e5ngen. Ett blekt rinnande ljus som sprider sig \u00f6ver kullarna. Vi har ett brutet molnt\u00e4cke som g\u00f6r att ljuset tycks omfamna landskapet, ett stilla ljus, mjukt, lugnt, blekt, ett marksken snarare \u00e4n ljus fr\u00e5n himlen. Jag trodde att du ville h\u00f6ra om s\u00e5nt. Jag trodde att det h\u00e4r \u00e4r en kvinna som hellre vill veta mer om s\u00e5na saker \u00e4n om annat som andra m\u00e4nniskor f\u00f6rs\u00f6ker ber\u00e4tta f\u00f6r henne. Molnt\u00e4cket \u00e4r l\u00e5ngstr\u00e4ckt och skiffergr\u00e5tt och mycket bra. Det finns egentligen inte mer att s\u00e4ga om det. F\u00f6nstret \u00e4r \u00f6ppet och jag kan dra in luften. Jag \u00e4r inte s\u00e5 farligt bakfull och d\u00e4rf\u00f6r f\u00f6rebr\u00e5r luften mig inte. Luften \u00e4r bra. Det \u00e4r just det den \u00e4r. Jag sitter i min gamla rottingstol med f\u00f6tterna p\u00e5 en b\u00e4nk och ryggen mot skrivmaskinen. F\u00e5glarna m\u00e5r bra. Jag h\u00f6r dem fr\u00e5n tr\u00e4den i n\u00e4rheten och bortifr\u00e5n \u00e5krarna, skaror av kr\u00e5kor p\u00e5 \u00e5krarna. Luften \u00e4r bitande och kall och bra och luktar precis som luft ska lukta tidigt en v\u00e5rmorgon n\u00e4r en man sitter och pratar med en apparat. Jag trodde att det var s\u00e5na saker som den h\u00e4r kvinnan vill h\u00f6ra om. Den f\u00f6rs\u00f6ker kl\u00e4nga sig fast vid mig, svampig och fuktig, s\u00e4tta sin kn\u00f6liga igelkropp p\u00e5 min.\u00ab\n\nSvararen avbr\u00f6t honom tv\u00e4rt.\n\nHon uppt\u00e4ckte att Scott stod alldeles bakom henne. Han lutade sig mot henne, het och s\u00f6mnig, och h\u00e4nder tog om henne, h\u00e4nder och tummar, tummar som gled in i sk\u00e4rph\u00e4llorna p\u00e5 hennes jeans. Hon koncentrerade sig och l\u00e4t huvudet falla mot hans axel, och han tryckte sig h\u00e5rt mot henne. Hon g\u00e4spade och sedan skrattade hon. Han stack in h\u00e4nderna under tr\u00f6jan, han drog upp sk\u00e4rpet, pressade sig mot henne, f\u00f6rde h\u00e4nderna ner \u00f6ver magen p\u00e5 henne, kroppens vaksamhet och h\u00e4pna beredskap inf\u00f6r varje ber\u00f6ring. Han drog upp tr\u00f6jan till axlarna p\u00e5 henne och gned kinden mot hennes rygg. Hon koncentrerade sig, hon s\u00e5g ut som n\u00e5gon som lyssnade efter ljud i v\u00e4ggen. Hon k\u00e4nde allt. Hon var fundersam, avvaktande, hennes andh\u00e4mtning var j\u00e4mn och f\u00f6rsiktig, och hon r\u00f6rde sig sakta under hans h\u00e4nder och k\u00e4nde ansiktets sandiga surr mot sin rygg.\n\nHon visste att han inte skulle s\u00e4ga ett ord, inte ens n\u00e4r han kl\u00e4ttrade uppf\u00f6r stegen, inte ens det p\u00e5litliga lilla stegsk\u00e4mtet, och hon var tacksam f\u00f6r tystnaden, f\u00f6r den taktfulla pojken som mager och blek tr\u00e4ngde in i henne med ett st\u00f6n.\n\n#  7\n\nBILL slog upp d\u00f6rren mitt i trafiken, den tjocka kv\u00e4vande tryckv\u00e5gen av gul pl\u00e5t, och klev rakt ut i den. Scott ropade efter honom att v\u00e4nta, stanna, se upp. Han r\u00f6rde sig mellan stillast\u00e5ende taxibilar d\u00e4r chauff\u00f6rerna satt och h\u00e4ngde i dunklet likt f\u00e5ngar som tittar p\u00e5 teverepriser. Scott skrek n\u00e5got om n\u00e4r och var de skulle ses. Bill vinkade \u00e5t hans h\u00e5ll och st\u00e4llde sig i kanten av det enda k\u00f6rf\u00e4lt som var i r\u00f6relse tills det blev en glugg in till trottoaren.\n\nAllt som v\u00e4llde fram, sammanblandade scener, gungande vimmel p\u00e5 avenyn, larmande skyltf\u00f6nster, utspritt krimskrams p\u00e5 trottoaren, den v\u00e4ldiga str\u00f6mmen av spegelbilder, sv\u00e4vande huvuden i f\u00f6nster, rinnande h\u00f6ghus i taxid\u00f6rrar, sk\u00e4lvande utdragna kroppar, allt f\u00e4ngslade Bill genom sitt s\u00e4tt att hejda varje kommentar, att bara v\u00e4lla mot honom, kompakt, som f\u00f6rsta dagen i Jalalabad. Inget talar om f\u00f6r en vad man ska tycka. N\u00e5ja, det var hans f\u00f6rsta dag i New York p\u00e5 m\u00e5nga \u00e5r och det fanns ingen gata, inget hus han ville bes\u00f6ka igen, inget gammalt favoritst\u00e4lle som kunde v\u00e4cka en l\u00e4ngtan eller ett ljuvt vemod.\n\nHan hittade porten och gick fram till en oval disk i foaj\u00e9n, d\u00e4r tv\u00e5 vakter satt bakom en mur av telefoner, tevemonitorer och datask\u00e4rmar. Han l\u00e4mnade sitt namn och v\u00e4ntade medan kvinnan letade i en bes\u00f6kslista p\u00e5 sv\u00e4ngsk\u00e4rmen. Hon st\u00e4llde n\u00e5gra fr\u00e5gor och talade i telefon och n\u00e5gra minuter senare kom en uniformerad man som skulle f\u00f6lja Bill till r\u00e4tt v\u00e5ning. Kvinnan bakom disken gav mannen en bes\u00f6ksbricka, ett klisterm\u00e4rke som han tryckte fast p\u00e5 Bills kavajslag.\n\nDet fanns \u00e4nnu en kontroll vid hissarna, de passerade rakt igenom och tog en snabbhiss till \u00f6versta v\u00e5ningen och n\u00e4r d\u00f6rren gled upp stod Charlie Everson d\u00e4r i brokig slips och v\u00e4ntade. Han tog Bill om \u00f6verarmarna och s\u00e5g honom rakt i ansiktet. Ingen av dem sa ett ord. Charlie nickade \u00e5t vakten och visade Bill v\u00e4gen genom en d\u00f6rr mittemot receptionen. De fortsatte genom en l\u00e5ng korridor d\u00e4r det satt bokomslag p\u00e5 v\u00e4ggarna och steg in i ett stort soligt rum med gr\u00f6na v\u00e4xter och blanka ytor \u00f6verallt.\n\n\u00bbVar har du din Bushmills?\u00ab fr\u00e5gade Bill. \u00bbEn klunk single malt skulle sitta fint.\u00ab\n\n\u00bbJag dricker inte nu f\u00f6r tiden.\u00ab\n\n\u00bbMen du har n\u00e5t i sk\u00e5pet f\u00f6r f\u00f6rfattare p\u00e5 bes\u00f6k.\u00ab\n\n\u00bbBallygowan. Det \u00e4r vatten.\u00ab\n\nBill bl\u00e4ngde p\u00e5 honom. Sedan satte han sig och kn\u00f6t upp skorna som var nya och tr\u00e5nga.\n\n\u00bbJag kan knappt fatta det, Bill.\u00ab\n\n\u00bbJag vet. S\u00e5 l\u00e4nge sen, s\u00e5 fort, s\u00e5 m\u00e4rkligt.\u00ab\n\n\u00bbDu ser ut som en f\u00f6rfattare. Det gjorde du aldrig f\u00f6rr. Att det skulle ta s\u00e5 h\u00e4r l\u00e5ng tid. K\u00e4nner jag igen kavajen?\u00ab\n\n\u00bbJag tror att det \u00e4r din.\u00ab\n\n\u00bbKan det vara m\u00f6jligt? Den natten Louise Wiegand blev full och f\u00f6rol\u00e4mpade min kavaj.\u00ab\n\n\u00bbOch du tog den av dig.\u00ab\n\n\u00bbJag sl\u00e4ngde den p\u00e5 golvet.\u00ab\n\n\u00bbOch jag sa att jag beh\u00f6vde en kavaj och jag beh\u00f6vde faktiskt en kavaj och hon sa eller n\u00e5n annan sa ta den d\u00e4r.\u00ab\n\n\u00bbDet var inte jag. Jag gillade den kavajen.\u00ab\n\n\u00bbDet \u00e4r en sk\u00f6n gammal tweed.\u00ab\n\n\u00bbSitter inte bra.\u00ab\n\n\u00bbJag har haft den kanske fyra g\u00e5nger.\u00ab\n\n\u00bbHon gav dig min kavaj.\u00ab\n\n\u00bbLouise var j\u00e4vligt hygglig med s\u00e5nt.\u00ab\n\n\u00bbHon \u00e4r faktiskt d\u00f6d.\u00ab\n\n\u00bbB\u00f6rja inte nu, Charlie.\u00ab\n\n\u00bbH\u00f6r du n\u00e5t fr\u00e5n Helen?\u00ab\n\n\u00bbP\u00e5 tal om de d\u00f6da? Nej.\u00ab\n\n\u00bbJag gillade Helen.\u00ab\n\n\u00bbDu skulle ha gift dig med henne\u00ab, sa Bill. \u00bbDet skulle besparat mig en helvetes massa bekymmer.\u00ab\n\n\u00bbHon var inget bekymmer. Det var du som var bekymret.\u00ab\n\n\u00bbVilket som\u00ab, sa Bill.\n\nCharlie hade ett brett ansikte med frisk f\u00e4rg, den d\u00e4r v\u00e4derbitna rodnaden som fyller hela spegeln bakom baren p\u00e5 segelklubben. Glest ljust h\u00e5r i kortklippt frisyr. Den skr\u00e4ddarsydda kostymen. Den sedvanliga skrikiga slipsen som uppr\u00e4tth\u00f6ll kontakten med kollegial jargong, som p\u00e5minde folk om att han fortfarande var Charlie E. och det h\u00e4r fortfarande skulle f\u00f6rest\u00e4lla bokbranschen, inte laserteknologiskt v\u00e4rldskrig.\n\n\u00bbJag har s\u00e5 tydliga minnen fr\u00e5n de d\u00e4r \u00e5ren. Och de blir bara fler och fler. Nya saker dyker st\u00e4ndigt upp. Jag uppt\u00e4cker att jag minns bitar av samtal fr\u00e5n 1955.\u00ab\n\n\u00bbAkta dig, snart s\u00e4tter du dig och skriver ner hela skiten.\u00ab\n\n\u00bbOm jag lever och lever och lever till leda l\u00e5ngt \u00f6ver \u00e5ttio, undrar jag hur mycket jag skulle kunna tillf\u00f6ra mina trevliga minnen fr\u00e5n den tiden, alla hetsiga diskussioner, alla \u00e4ndl\u00f6sa middagar och drinkar och gr\u00e4l vi hade. Vi kunde komma ut fr\u00e5n en bar klockan tre p\u00e5 morgonen och st\u00e5 och prata p\u00e5 gatan f\u00f6r att det fanns s\u00e5 mycket som vi hade kvar att s\u00e4ga varandra, samtals\u00e4mnen d\u00e4r vi bara hade skrapat p\u00e5 ytan. Skrivandet, m\u00e5leriet, kvinnor, jazz, politik, historia, baseboll, allt i hela j\u00e4vla v\u00e4rlden. Jag ville aldrig g\u00e5 hem, Bill. Och n\u00e4r jag \u00e4ntligen kom hem kunde jag inte somna. Det bara gick runt i skallen p\u00e5 mig.\u00ab\n\n\u00bbEleanor Baumann.\u00ab\n\n\u00bb\u00c5 herregud, ja. Otrolig kvinna.\u00ab\n\n\u00bbHon var klyftigare \u00e4n du och jag tillsammans.\u00ab\n\n\u00bbKnappare ocks\u00e5 tyv\u00e4rr.\u00ab\n\n\u00bbDet luktade konstigt ur munnen p\u00e5 henne\u00ab, sa Bill.\n\n\u00bbOtroliga brev. Hon skrev minst hundra helt fantastiska brev till mig.\u00ab\n\n\u00bbHur luktade de?\u00ab\n\n\u00bbUnder flera \u00e5r. Jag har \u00e5rsvis med brev fr\u00e5n den kvinnan.\u00ab\n\nCharlie satt parallellt med skrivbordet, utstr\u00e4ckta ben, h\u00e4nderna kn\u00e4ppta bakom nacken.\n\n\u00bbDet var bra att du h\u00f6rde av dig\u00ab, sa han. \u00bbJag pratade med Brita Nilsson n\u00e4r hon kom tillbaka och hon ville inte s\u00e4ga n\u00e5t mer \u00e4n att hon hade vidarebefordrat min h\u00e4lsning. Tog ett tag innan du ringde.\u00ab\n\n\u00bbJag arbetade.\u00ab\n\n\u00bbOch det g\u00e5r bra?\u00ab\n\n\u00bbVi talar inte om det.\u00ab\n\n\u00bbDet tog dig en m\u00e5nad. Jag har alltid trott att jag f\u00f6rstod precis varf\u00f6r du drog dig tillbaka.\u00ab\n\n\u00bbSitter vi h\u00e4r f\u00f6r att prata om det?\u00ab\n\n\u00bbDu har en skev syn p\u00e5 f\u00f6rfattarens roll i samh\u00e4llet. Du tror att f\u00f6rfattaren ska st\u00e5 l\u00e5ngt ut p\u00e5 ytterkanten och g\u00f6ra farliga saker. I Centralamerika g\u00e5r f\u00f6rfattarna omkring med pistol. Det \u00e4r de tvungna till. Och det har alltid varit din uppfattning om hur det borde vara. Det borde vara statens vilja att d\u00f6da alla f\u00f6rfattare. Varje regering, varje grupp som sitter vid makten eller g\u00f6r anspr\u00e5k p\u00e5 makten, borde k\u00e4nna sig s\u00e5 hotad av f\u00f6rfattarna att den f\u00f6rf\u00f6ljer dem, \u00f6verallt.\u00ab\n\n\u00bbJag har inte gjort n\u00e5t som \u00e4r farligt.\u00ab\n\n\u00bbNej. Men du har \u00e5tminstone gjort verklighet av dina fantasier.\u00ab\n\n\u00bbS\u00e5 mitt liv \u00e4r ett slags simulering.\u00ab\n\n\u00bbInte direkt. Det \u00e4r inget p\u00e5hittat med det. Du har faktiskt blivit en jagad man.\u00ab\n\n\u00bbJag f\u00f6rst\u00e5r.\u00ab\n\n\u00bbOch det \u00e4r det som vi sitter h\u00e4r och ska prata om. Det finns en ung man som h\u00e5lls som gisslan i Beirut. Han \u00e4r schweizare, en FN-medarbetare som h\u00f6ll p\u00e5 att unders\u00f6ka h\u00e4lsov\u00e5rdssituationen i de palestinska flyktingl\u00e4gren. Han \u00e4r dessutom poet. Har publicerat omkring femton kortare dikter i franskspr\u00e5kiga tidningar. Vi vet n\u00e4stan ingenting om gruppen som har honom. Gisslan \u00e4r enda beviset p\u00e5 att den existerar.\u00ab\n\n\u00bbP\u00e5 vilket s\u00e4tt \u00e4r du inblandad?\u00ab\n\n\u00bbJag sitter ordf\u00f6rande i en \u00e4delt sinnad kommitt\u00e9 f\u00f6r yttrandefrihet. Vi \u00e4r mest akademiker och f\u00f6rlagsfolk och vi har just kommit i g\u00e5ng och detta \u00e4r det vansinniga med hela historien. Den h\u00e4r gruppen tar gisslan bara f\u00f6r att han finns d\u00e4r, han \u00e4r tillg\u00e4nglig, och tydligen s\u00e4ger han till dem att han \u00e4r poet och vad \u00e4r det f\u00f6rsta de hittar p\u00e5? De tar kontakt med _oss_. De har en kille i Aten som ringer till v\u00e5rt Londonkontor och s\u00e4ger Det sitter en f\u00f6rfattare fastkedjad vid en v\u00e4gg i ett kalt rum i Beirut. Om ni vill ha honom tillbaka kan vi kanske diskutera saken.\u00ab\n\n\u00bbBjud mig p\u00e5 lunch, Charlie. Jag har rest hela l\u00e5nga v\u00e4gen.\u00ab\n\n\u00bbV\u00e4nta ett tag, h\u00f6r p\u00e5 mig nu. Jag har pratat med den h\u00e4r mannen i Aten n\u00e4r jag lyckats f\u00e5 tag p\u00e5 honom. Till och fr\u00e5n i flera veckor. Ibland ringer det i hans telefon, ibland h\u00f6r jag ett oceanliknande vr\u00e5l, ibland \u00e4r han d\u00e4r och ibland inte. Till slut har vi enats om en plan. Vi t\u00e4nker h\u00e5lla en presskonferens, liten och str\u00e4ngt bevakad. I \u00f6vermorgon i London. Vi talar om den f\u00e4ngslade f\u00f6rfattaren. Vi talar om gruppen som h\u00e5ller honom. Och sen meddelar jag att strax ska gisslan friges i direkts\u00e4ndning fr\u00e5n Beirut.\u00ab\n\n\u00bbL\u00e5ter j\u00e4vligt skumt i mina \u00f6ron.\u00ab\n\n\u00bbJag vet. En fr\u00e5ga om \u00f6msesidiga intressen. Men v\u00e4nta nu.\u00ab\n\n\u00bbDin nya grupp blir nyheter, deras nya grupp blir nyheter, den unge mannen trollas fram ur sitt k\u00e4llarrum, journalisterna f\u00e5r en story, s\u00e5 vad fan.\u00ab\n\n\u00bbJust det. Och lyckas vi bara med detta kan vi g\u00f6ra folk \u00f6ppna f\u00f6r nya tankar. Hur \u00e5stadkommer man en f\u00f6r\u00e4ndring i stelnade attityder och l\u00e5sta positioner om inte genom offentliga h\u00e4ndelser som visar att man kan t\u00e4nka sig andra v\u00e4gar? F\u00f6rresten \u00e4r det enda s\u00e4ttet att f\u00e5 ut den stackars killen d\u00e4rifr\u00e5n. R\u00e4cker inte det, i sig sj\u00e4lv? Vi \u00e4r piskade att g\u00f6ra allt vi kan f\u00f6r att r\u00e4dda honom och om vi l\u00e4r oss n\u00e5t om typerna som tog honom, desto b\u00e4ttre.\u00ab\n\n\u00bbOch var fan kommer jag in i bilden?\u00ab\n\n\u00bbOm jag inte hade st\u00f6tt p\u00e5 Brita den d\u00e4r kv\u00e4llen, skulle du inte kommit in alls. Men n\u00e4r hon sa att hon skulle fotografera dig ringde en liten klocka i skallen p\u00e5 mig. Om du st\u00e4ller upp p\u00e5 att bli fotograferad efter alla dessa \u00e5r, varf\u00f6r inte g\u00e5 ett steg l\u00e4ngre? G\u00f6ra n\u00e5t som kan hj\u00e4lpa oss att tala om vilka vi \u00e4r som organisation och hur viktigt det \u00e4r f\u00f6r f\u00f6rfattare att \u00f6ppet ta st\u00e4llning. Jag hoppas faktiskt kunna skapa en positiv sensation. Jag vill att du ska komma till London och l\u00e4sa n\u00e5got av den h\u00e4r poeten, ett urval p\u00e5 fem, sex dikter. Inget annat.\u00ab\n\n\u00bbTa en schweizisk f\u00f6rfattare. Kommer inte schweizarna att k\u00e4nna sig f\u00f6rbig\u00e5ngna?\u00ab\n\n\u00bbJag kan ta vilken f\u00f6rfattare jag vill. Men jag vill ha Bill Gray. Du, jag har inte sagt till n\u00e5n att du skulle komma hit i dag. Inte ens till min sekreterare. Hade jag gjort det skulle det st\u00e5tt en k\u00f6 utanf\u00f6r min d\u00f6rr som str\u00e4ckt sig som en congadans bort i fj\u00e4rran. Det finns en laddning kring ditt namn och den hj\u00e4lper oss att ge den h\u00e4r historien uppm\u00e4rksamhet, f\u00e5 m\u00e4nniskor att tala om den och t\u00e4nka p\u00e5 den l\u00e5ngt efter att talen har tystnat. Jag vill att den ene f\u00f6rsvunne f\u00f6rfattaren ska l\u00e4sa den andre. Jag vill att den ber\u00f6mde romanf\u00f6rfattaren ska rikta sig till den ok\u00e4nde diktaren i n\u00f6d. Jag vill att den engelskspr\u00e5kige f\u00f6rfattaren ska l\u00e4sa p\u00e5 franska och den \u00e4ldre mannen tala tv\u00e4rs genom natten till sin unge f\u00f6rfattarkollega. M\u00e4rker du inte vilka fantastiska motpoler det inneh\u00e5ller?\u00ab\n\nBill svarade inte.\n\n\u00bbDetta r\u00f6r det allra innersta, Bill. Jag tror att det \u00e4r n\u00e5t som du beh\u00f6ver g\u00f6ra. Kom ut ur ditt rum, bort fr\u00e5n dina fixa id\u00e9er. Och jag lovar dig detta. Det kommer inte att ges n\u00e5n f\u00f6rhandsinformation om att du ska delta. Inga intervjuer efter ditt framtr\u00e4dande. Enbart stillbilder. Presstr\u00e4ffen kommer att begr\u00e4nsas till femtio, h\u00f6gst sextio personer, alla medr\u00e4knade. Jag vill f\u00e5 en spridning som ringar p\u00e5 vattnet. Det uppst\u00e5r ett rykte, det skrivs uppf\u00f6ljande artiklar, nyfikenheten stegras. Jag vill att v\u00e5rt arbete ska f\u00e5 en forts\u00e4ttning. Duger din franska fortfarande?\u00ab\n\nBill b\u00f6rjade leta efter en cigarett. Det blev tyst, en stunds eftert\u00e4nksam ompr\u00f6vning. Det glansiga m\u00e4rket p\u00e5 Bills kavajslag meddelade Endast bes\u00f6kstillst\u00e5nd.\n\nCharlie sa d\u00e4mpat: \u00bbVi kunde st\u00e5 och diskutera p\u00e5 gatan klockan tre p\u00e5 morgonen.\u00ab\n\n\u00bbVisst, Charlie.\u00ab\n\n\u00bbIbland retade du mig till vansinne. Alla f\u00f6rf\u00e4rliga \u00e5sikter du hade. Jag k\u00e4nde mig s\u00e5 f\u00f6rnuftig och tr\u00e5ngsynt. Du hade n\u00e4stan alltid fel men det var om\u00f6jligt f\u00f6r mig att f\u00e5 sista ordet n\u00e4r det verkligen g\u00e4llde.\u00ab\n\n\u00bbJag tror att jag m\u00e5ste sticka snart.\u00ab\n\n\u00bbKommer du aldrig p\u00e5 dig sj\u00e4lv med att t\u00e4nka tillbaka? Saker st\u00f6rtar sig \u00f6ver en med en v\u00e5ldsamhet som \u00e4r f\u00f6rkrossande. Herregud Bill, vad kul att se dig.\u00ab\n\n\u00bbJag minns allt. N\u00e4stan j\u00e4mt.\u00ab\n\n\u00bbH\u00f6r du av Sara n\u00e5n g\u00e5ng?\u00ab\n\n\u00bbH\u00e5ller vi p\u00e5 och g\u00e5r igenom mina f\u00f6re detta fruar i kronologisk ordning?\u00ab\n\n\u00bbH\u00f6r du n\u00e5t fr\u00e5n henne?\u00ab\n\n\u00bbDet \u00e4r bra med henne. Hon vill g\u00e4rna h\u00e5lla n\u00e5n sorts kontakt. Det betyder mycket f\u00f6r henne att vi fortfarande talas vid d\u00e5 och d\u00e5.\u00ab\n\n\u00bbJag k\u00e4nde henne knappt f\u00f6rst\u00e5s. Du satte henne praktiskt taget i karant\u00e4n.\u00ab\n\n\u00bbHon var ung bara.\u00ab\n\n\u00bbF\u00f6r ung. Inte mogen den om\u00f6jliga uppgiften att vara hustru till en f\u00f6rfattare som du.\u00ab\n\n\u00bbDe \u00e4r som jag allihop.\u00ab\n\n\u00bbInte f\u00f6r att jag var mer mogen. Jag f\u00f6rstod aldrig riktigt vad jag skulle gjort f\u00f6r fel.\u00ab\n\n\u00bbDu gjorde felet att bli min f\u00f6rl\u00e4ggare. En f\u00f6rfattare har vissa klagom\u00e5l.\u00ab\n\n\u00bbJo, det \u00e4r en sak som \u00e4r s\u00e4ker.\u00ab\n\n\u00bbDu gjorde felet att befinna dig i n\u00e4rheten. Spelade ingen roll vad du sa eller gjorde, jag var bra p\u00e5 att utnyttja det till min skumma f\u00f6rdel.\u00ab\n\n\u00bbUnder m\u00e5nga lyckliga \u00e5r har jag suttit och lyssnat p\u00e5 f\u00f6rfattare och deras fenomenala kvirrande. De popul\u00e4raste f\u00f6rfattarna \u00e4r de st\u00f6rsta gn\u00e4llspikarna. Jag tycker det \u00e4r fascinerande. Jag undrar om de egenskaper som f\u00f6der fram toppf\u00f6rfattare ocks\u00e5 ligger bakom fantasirikedomen och omfattningen i fr\u00e5ga om deras klagom\u00e5l. Uppst\u00e5r skrivandet ur bitterhet och vrede eller skapar det bitterhet och vrede?\u00ab\n\n\u00bbKanske b\u00e5dadera\u00ab, sa Bill.\n\n\u00bbAlla klagar \u00f6ver ensamheten. Isoleringen \u00e4r f\u00f6rg\u00f6rande. S\u00f6mnl\u00f6sa n\u00e4tter. Dagar stela av oro och \u00e5ngest. J\u00e4mmer och el\u00e4nde. Romanf\u00f6rfattare g\u00f6r intervjuer. Intervjuare skriver romaner. Pengarna r\u00e4cker aldrig. Jublet h\u00f6rs f\u00f6r d\u00e5ligt. Kom igen, Bill, vad \u00e4r det mer?\u00ab\n\n\u00bbDet m\u00e5ste vara jobbigt att ha med de d\u00e4r arma stackarna att g\u00f6ra vareviga dag.\u00ab\n\n\u00bbNej, det \u00e4r ingen konst. Jag tar med dem till n\u00e5n b\u00e4ttre sylta. Asch asch asch s\u00e4ger jag. Drickelidrickelidrick s\u00e4ger jag. Jag ber\u00e4ttar att deras b\u00f6cker s\u00e4ljer str\u00e5lande i bokhandelskedjorna. Jag ber\u00e4ttar att l\u00e4sarna str\u00f6mmar till k\u00f6pcentren. Gullegullegull s\u00e4ger jag. Jag rekommenderar den stekta marulken med savojk\u00e5l. Jag ber\u00e4ttar att reprintspekulanterna st\u00e5r och skriker p\u00e5 auktionerna. Det handlar om r\u00e4ttigheter till miniserier, till ljudkassetter, Vita huset vill ha ett ex till vardagsrummet. Marknadsavdelningen h\u00e5ller p\u00e5 och l\u00e4gger upp turn\u00e9er s\u00e4ger jag. Italienarna \u00e4r som galna i boken. Tyskarna vet inte till sig av upphetsning. Oj oj oj.\u00ab\n\n\u00bbOch du d\u00e5, Charlie.\u00ab\n\n\u00bbJag anpassar mig till den nya stilen.\u00ab\n\n\u00bbHur l\u00e4nge har du varit h\u00e4r?\u00ab\n\n\u00bbTv\u00e5 \u00e5r.\u00ab\n\n\u00bbVem \u00e4ger st\u00e4llet?\u00ab\n\n\u00bbDet vill du inte veta.\u00ab\n\n\u00bbDra hela historien i ett raskt andetag.\u00ab\n\n\u00bbDet handlar bara om limousiner.\u00ab\n\nBill b\u00f6jde sig ner och kn\u00f6t skorna.\n\n\u00bbOkej. Vem annars \u00e4r d\u00f6d som jag borde veta om?\u00ab\n\n\u00bbSka vi verkligen \u00e4gna oss \u00e5t det?\u00ab\n\n\u00bbAntagligen inte.\u00ab\n\n\u00bbVi st\u00e5r p\u00e5 tur\u00ab, sa Charlie.\n\n\u00bbJag st\u00e5r p\u00e5 tur, din j\u00e4vel.\u00ab\n\n\u00bbJag vill ha den nya boken, Bill.\u00ab\n\n\u00bbJag arbetar fortfarande.\u00ab\n\n\u00bbOavsett ditt f\u00f6rh\u00e5llande till det k\u00e4ra gamla dammiga sn\u00e5lj\u00e5psf\u00f6rlaget.\u00ab\n\n\u00bbJag \u00e4r p\u00e5 de sista sidorna.\u00ab\n\n\u00bbVad det \u00e4n finns f\u00f6r smulor till kontrakt kvar gives det alltid s\u00e4tt att komma runt det.\u00ab\n\n\u00bbJag h\u00e5ller p\u00e5 och finslipar. Det \u00e4r det jag sysslar med.\u00ab\n\n\u00bbJag vill ha boken, din j\u00e4vel.\u00ab\n\nDe skruvade p\u00e5 sig i stolarna. Med en grimas r\u00e4tade Charlie p\u00e5 sitt h\u00f6gra kn\u00e4. De reste sig samtidigt och str\u00e4ckte p\u00e5 sig, t\u00e4njde p\u00e5 axelmusklerna. Bill tittade genom f\u00f6nstret ut mot en himmelsfresk av brospann och fartygskranar, fabriksr\u00f6k \u00f6ver Queens.\n\n\u00bbDu \u00e4r inte eremiten, skogshuggarf\u00f6rfattaren, du \u00e4r inte den naturbeg\u00e5vade kn\u00e4ppskallen. Du \u00e4r den jagade mannen. Du skriver inte politiska romaner eller spr\u00e4ngl\u00e4rd historia men du k\u00e4nner \u00e4nd\u00e5 fl\u00e5set i nacken. D\u00e4ri ligger konflikten, Bill.\u00ab\n\n\u00bbJag tror jag blev lurad p\u00e5 de h\u00e4r skorna.\u00ab\n\n\u00bbRing hem till mig om London i kv\u00e4ll. H\u00e4r \u00e4r mitt nummer. Eller senast i morgon, hit, vid tolvtiden om du kan. Jag tar kv\u00e4llsflyget. Det \u00e4r n\u00e5t som jag tror att du beh\u00f6ver g\u00f6ra. T\u00e4nk p\u00e5 det. En f\u00f6rfattare mindre i m\u00f6rdarnas h\u00e4nder.\u00ab\n\nVakten v\u00e4ntade utanf\u00f6r receptionen. Bill fr\u00e5gade honom var toaletten l\u00e5g. Vakten hade nyckel och stod vid handtorken medan Bill letade i fickorna efter burken med olika mediciner. Han tog i f\u00f6rv\u00e4g avbrutna bitar av tre sorters amfetamintabletter ur burken. De var bl\u00e5a, vita och sk\u00e4ra. Han lade dem p\u00e5 tungan men n\u00e4r han f\u00f6rstod att det inte skulle komma n\u00e5got vatten om han inte h\u00f6ll spaken nertryckt tog han ut pillerbitarna ur munnen och bad vakten s\u00e4tta p\u00e5 kallvattnet \u00e5t honom. Vakten hade inget emot det. Bill lade tillbaka bitarna p\u00e5 tungan, kupade h\u00e4nderna under kranen, f\u00f6rde vattnet till munnen och drack, samtidigt som han kastade huvudet bak\u00e5t och svalde. Vakten tittade p\u00e5 honom som om han ville fr\u00e5ga om allt hade g\u00e5tt enligt ritningarna. Bill nickade och de gick ut till hissen och \u00e5kte ner till foaj\u00e9n tillsammans.\n\nBill stod n\u00e4ra ing\u00e5ngen, ungef\u00e4r femton meter fr\u00e5n den ovala disken och rakt framf\u00f6r namntavlan med alla hyresg\u00e4ster i huset. Han s\u00e5g att Scott stod och v\u00e4ntade utanf\u00f6r, vid bortre \u00e4nden av ett skyltf\u00f6nster som stack ut i vinkel fr\u00e5n den indragna entr\u00e9n och bildade en gr\u00e4ns som gick fram till trottoaren. Han hade ett litet paket under armen, b\u00f6cker antagligen, och stod med ryggen mot skyltf\u00f6nstret. Bill gick bort fr\u00e5n glasd\u00f6rrarna och t\u00e4nde en cigarett. Han stod och funderade, med armarna i kors och huvudet lite l\u00e4tt p\u00e5 sned. Blicken s\u00e5g ut att stanna vid gl\u00f6den p\u00e5 cigaretten som h\u00e4ngde i hans h\u00f6gra hand. N\u00e4r han kikade ut igen hade Scott kommit n\u00e4rmare entr\u00e9n men v\u00e4nt sig om f\u00f6r att titta i skyltf\u00f6nstret. Bill gick tv\u00e4rs \u00f6ver foaj\u00e9n f\u00f6rbi tv\u00e5 par sv\u00e4ngd\u00f6rrar. Han gick ut genom den sista enkeld\u00f6rren, slet bort klisterm\u00e4rket fr\u00e5n kavajslaget och kom ut p\u00e5 trottoaren d\u00e4r han ansl\u00f6t sig till den framv\u00e4llande lunchtr\u00e4ngseln.\n\n# DEL TV\u00c5\n\n#  8\n\nPOJKEN tog av f\u00e5ngen huvan n\u00e4r han kom med maten. Pojken hade ocks\u00e5 huva p\u00e5 sig, ett stycke grovt tyg med fransiga slitsar f\u00f6r \u00f6gonen.\n\nTiden blev n\u00e5got eget, det d\u00e4r ursprungliga som alltid finns. Den sipprade in i hans febrar och yrselfantasier, in i fr\u00e5gan om vem han var. N\u00e4r han hostade blod tittade han p\u00e5 den sk\u00e4ra klumpen som plumsade ner i avloppet och det l\u00e5g tid och dallrade inne i den.\n\nDet gjorde f\u00e5ngen nerv\u00f6s, att inte f\u00f6rst\u00e5 varf\u00f6r pojken m\u00e5ste b\u00e4ra mask.\n\nDe k\u00f6rde hit honom i en bil som saknade ena d\u00f6rren. Han s\u00e5g en gammal man utan skjorta som fastnat i ett taggtr\u00e5dshinder p\u00e5 en r\u00f6tslams\u00e5ker n\u00e5gonstans.\n\nVar observant och l\u00e4gg m\u00e4rke till alla detaljer, f\u00f6rmanade det plikttrogna bandet som rullade i huvudet p\u00e5 honom, r\u00f6sten som viskade du \u00e4r klyftigare \u00e4n dina f\u00e5ngvaktare.\n\nF\u00e5ngen k\u00e4nde hur pojken st\u00e4llde sig t\u00e4tt intill f\u00f6r att dra av honom huvan och trycka ner mat i k\u00e4ften p\u00e5 honom och han s\u00e5g in i titth\u00e5len p\u00e5 pojkens huva.\n\nTid genomsyrade luften och maten. Den svarta myran som kr\u00f6p uppf\u00f6r hans ben sl\u00e4pade p\u00e5 tidens ohygglighet, det l\u00e5ngsamma allvetande tempot.\n\nStackars gamle gubbe som s\u00e4kert kommit vilse i m\u00f6rkret irrar omt\u00f6cknad rakt in i taggtr\u00e5den, senil, skjortl\u00f6s, spetsad, fortfarande vid liv.\n\nHan v\u00e4ntade p\u00e5 stunden d\u00e5 han kunde r\u00e4kna flammorna fr\u00e5n uppskjutna raketer. N\u00e4r han h\u00f6rde raketerna s\u00e5g han ocks\u00e5 ljusskenet trots att huvan inte hade n\u00e5gra titth\u00e5l.\n\nHan var nyb\u00f6rjare p\u00e5 det h\u00e4r och angel\u00e4gen om att lyckas. Hela tiden medan han tuggade p\u00e5 sin mat uppskattade han avst\u00e5nd fr\u00e5n v\u00e4gg till v\u00e4gg. M\u00e4t v\u00e4ggarna, sedan tegelstenarna i v\u00e4ggarna, sedan murbruket mellan tegelstenarna, sedan de h\u00e5rfina sprickorna i murbruket. Ta det som ett prov. Visa dem hur kompetent du \u00e4r.\n\nHan s\u00e5g tv\u00e4ttlinor som l\u00f6pte genom granath\u00e5l i gr\u00e5a stenmurar, n\u00e4r han tittade ut genom den tomma d\u00f6rr\u00f6ppningen.\n\nPojken drog av huvan p\u00e5 honom och matade honom f\u00f6r hand, alltid f\u00f6r fort, pressade in mer mat i hans mun innan han hunnit tugga f\u00e4rdigt den handfull han redan f\u00e5tt.\n\nHan erk\u00e4nde sin f\u00e5ngenskap. Han tillstod f\u00f6rekomsten av den plastsnodd de anv\u00e4nde till att binda fast hans ena handled vid r\u00f6ret p\u00e5 vattentanken. Han erk\u00e4nde huvan. Hans huvud var t\u00e4ckt av en huva.\n\nF\u00e5ngen hade massor med planer. Med tid och hj\u00e4lpmedel skulle han l\u00e4ra sig arabiska och imponera p\u00e5 sina f\u00e5ngvaktare och h\u00e4lsa p\u00e5 dem p\u00e5 deras spr\u00e5k och f\u00f6ra enklare samtal, bara de gav honom hj\u00e4lpmedel s\u00e5 han kunde l\u00e4ra sig sj\u00e4lv.\n\nPojken torterade honom ibland. Slog ner honom, sa \u00e5t honom att st\u00e5 upp. Slog ner honom, sa \u00e5t honom att st\u00e5 upp. Pojken f\u00f6rs\u00f6kte dra ut t\u00e4nderna ur munnen p\u00e5 honom med bara h\u00e4nderna. Sm\u00e4rtan h\u00f6ll i sig l\u00e5ngt efter det att pojken hade l\u00e4mnat rummet. Detta var en del av tidens struktur, hur tid och sm\u00e4rta blev oskiljaktiga.\n\nOch det fanns ocks\u00e5 myndigheter som han kunde imponera p\u00e5. Efter frigivningen skulle de ta honom till ett hemligt st\u00e4lle och rabbla sina fr\u00e5gor med samma r\u00f6st som han h\u00f6rt p\u00e5 instruktionsbandet och han skulle imponera p\u00e5 myndigheterna med sitt minne f\u00f6r detaljer och sin analys av situationen och de skulle snabbt komma fram till var byggnaden l\u00e5g och vad det var f\u00f6r en grupp som h\u00e5llit honom f\u00e5ngen.\n\nHan h\u00f6rde p\u00e5 stridslarmet att det var kv\u00e4ll. De f\u00f6rsta veckorna b\u00f6rjade det vid solnedg\u00e5ngen. F\u00f6rst kulsprutesmattret, sedan signalhornen som tutade. Det \u00e4r fascinerande att t\u00e4nka sig trafikstockningar som \u00e4r f\u00f6rorsakade av krig. Allting \u00e4r normalt p\u00e5 s\u00e4tt och vis. Alla de vanliga ilskna svordomarna.\n\nPojken tvingade honom att ligga p\u00e5 rygg med uppdragna ben och sedan slog han p\u00e5 f\u00e5ngens fotsulor med ett armeringsj\u00e4rn. Sm\u00e4rtan gjorde att han fick sv\u00e5rt att sova och det t\u00e4njde tiden, f\u00f6rdjupade den, gav den ett medvetande, ett drag av p\u00e5hittig och genomtr\u00e4ngande n\u00e4rvaro.\n\nHan t\u00e4nkte p\u00e5 skjortl\u00f6smannen som fastnat i taggtr\u00e5den. Hans minnen str\u00e4ckte sig inte l\u00e4ngre \u00e4n till tidpunkten f\u00f6r bortf\u00f6randet. Tiden b\u00f6rjade d\u00e4r, med undantag f\u00f6r vaga sm\u00e5 glimtar, sommarbl\u00e4nk, komprimerade stunder i ett hus n\u00e5gonstans.\n\nFast myndigheter, vad vet myndigheter egentligen, trodde han verkligen att myndigheter skulle f\u00e5 ut n\u00e5got v\u00e4sentligt av l\u00e4ngden och bredden p\u00e5 en tegelsten \u00e4ven om det fanns tegelstenar att r\u00e4kna och m\u00e4ta och det fanns det inte, eller meningsfulla ljud som knappt tr\u00e4ngde genom v\u00e4ggarna.\n\nDet fanns inget f\u00f6rlopp, ingen ber\u00e4ttelse, ingen dag som f\u00f6ljs av n\u00e4sta. Han s\u00e5g en sk\u00e5l och en sked bredvid skumgummimadrassen men pojken fortsatte att mata honom med handen. Ibland gl\u00f6mde pojken att s\u00e4tta p\u00e5 huvan igen efter maten. Detta gjorde f\u00e5ngen nerv\u00f6s.\n\nSedan kom granatkastarna, ett ljud av grus fr\u00e5n granaternas tunga tr\u00e4ffar, grus i slow motion, miljontals gruskorn som st\u00f6tte ihop.\n\nDet var sv\u00e5rt att t\u00e4nka p\u00e5 kvinnor p\u00e5 annat s\u00e4tt \u00e4n vildsint och ofullst\u00e4ndigt. Om de kunde skicka dit en kvinna, bara en enda g\u00e5ng, bara i en halv sekund, s\u00e5 han fick se henne.\n\nDet enda meningsfulla ljud han h\u00f6rde kom fr\u00e5n videon i v\u00e5ningen ovanf\u00f6r. De satt och tittade p\u00e5 videoupptagningar fr\u00e5n kriget p\u00e5 gatorna. De ville se sig sj\u00e4lva i sina slitna uniformer, en snabb suver\u00e4n patrull, d\u00e4r \u00e4r vi, som avlossar nerv\u00f6sa salvor mot milisen i n\u00e4sta gath\u00f6rn.\n\nMyrorna och babyspindlarna bar med sig tidens o\u00e4ndlighet och missn\u00f6je och n\u00e4r han k\u00e4nde n\u00e5got krypa \u00f6ver handen ville han tala med det och f\u00f6rklara sin situation. Han ville ber\u00e4tta f\u00f6r det vem han var eftersom det just nu r\u00e5dde en viss f\u00f6rvirring p\u00e5 den punkten. Avskuren fr\u00e5n m\u00e4nniskor vilkas r\u00f6ster skapade oredan i hans v\u00e4sen, och det blev allt tunnare och blekare eftersom det inte fanns n\u00e5gon d\u00e4r som s\u00e5g honom och kunde ge honom kroppen tillbaka.\n\nPojken gl\u00f6mde att tr\u00e4 p\u00e5 huvan igen efter maten, han gl\u00f6mde maten, pojken var slumpens ombud. Det sista som var begripligt, tiderna f\u00f6r mat och misshandel, var n\u00e4ra att rasa samman.\n\nOm de skickade in en kvinna i nylonstrumpor som kunde viska ordet \u00bbnylonstrumpor\u00ab. Det skulle hj\u00e4lpa honom att \u00f6verleva en vecka till.\n\nSedan det han v\u00e4ntade p\u00e5, ljudflamman fr\u00e5n de stora Gradraketerna som gled ut ur flerpipiga riktningsgivare, tjugo, trettio, kanske fyrtio \u00e5t g\u00e5ngen i den gl\u00f6dande skymningen under en st\u00f6rre sammandrabbning \u00f6ver Gr\u00f6na Linjen.\n\nHan ville ha papper och n\u00e5got att skriva med, hj\u00e4lp att h\u00e5lla kvar en tanke, ge den en plats i v\u00e4rlden.\n\nHan ville inte tr\u00e4na eller r\u00e4kna tegelstenar eller hitta p\u00e5 tegelstenar som han kunde m\u00e4ta och r\u00e4kna. Han pratade h\u00f6gt med sin far tidigt om morgnarna, efter det att striderna avtagit. Han talade om f\u00f6r sin pappa var han satt, i vilken st\u00e4llning, hur repen var knutna, var det just nu v\u00e4rkte, om modet h\u00f6lls uppe, men f\u00f6rs\u00e4krade samtidigt att han inte givit upp hoppet som de s\u00e4ger p\u00e5 instruktionsbandet f\u00f6r v\u00e4sterl\u00e4nningar.\n\nHan f\u00f6rs\u00f6kte fantisera om dem, kvinnor i n\u00e4tstrumpor och axelband, men lyckades bara se bortglidande bilder, halvf\u00e4rdiga.\n\nDet var n\u00e5got med ljudet fr\u00e5n avlossade raketer som framkallade en blixt i cortex, hj\u00e4rnskenet under huvan som betydde kristna och muslimer, som betydde att himlen gl\u00f6dde, att staden var strimmad av ljus och eld hela natten igenom \u00e4nda till morgonen d\u00e5 m\u00e4nnen kom ut i undertr\u00f6ja fr\u00e5n kv\u00e4vande skyddsrum f\u00f6r att skyffla undan br\u00e5ten och k\u00f6pa br\u00f6d.\n\nDet fanns ingen d\u00e4r som kunde p\u00e5minna honom om vem han var. Dagarna h\u00e4ngde inte ihop. F\u00e5ngen anade hur de enklaste antaganden sattes ur st\u00e5nd. Han b\u00f6rjade identifiera sig med pojken. Eftersom alla hans r\u00f6ster \u00f6vergav honom trodde han att han kanske var n\u00e5gonstans i pojken.\n\nHan f\u00f6rs\u00f6kte upprepa de gamla dr\u00f6mmarna, sex med en skugglik kvinna i en jumbojet p\u00e5 v\u00e4g \u00f6ver havet om natten (och det m\u00e5ste vara natt och det m\u00e5ste vara vatten) eller m\u00f6ten p\u00e5 ov\u00e4ntade st\u00e4llen med kvinnor i \u00e5tsittande saker med korslagda svarta band, f\u00f6rseglingar som han skulle bryta, men han klarade det inte, \u00e5tsp\u00e4nd och omgjordad, kvinnor som satt fast mitt i en tanke.\n\nIngen kom och f\u00f6rh\u00f6rde honom.\n\nHan tittade ut genom det tomma d\u00f6rrh\u00e5let och det var barn som lekte i br\u00e5ten och en pistol mot halsen och han sa till sig sj\u00e4lv om och om igen: Jag \u00e5ker i en bil som saknar d\u00f6rr.\n\nDe gamla dr\u00f6mmarna bepr\u00f6vade och sanna. Sex med en skugglik kvinna i en trappa i ett tomt hus en regnig dag. Ju banalare, ju alldagligare, ju mer f\u00f6ruts\u00e4gbart, desto tjatigare, desto unknare, desto dummare, desto b\u00e4ttre. Det enda han inte hade tid med var originalitet. Han ville ha samma pubertetsfantasier som pojken hade, suga p\u00e5 bilderna som skulle f\u00f6lja dem in i medel\u00e5ldern, in i det slutgiltiga s\u00f6nderfallet, dessa sorgsna sm\u00e5 bilddr\u00f6mmar som \u00e4r s\u00e5 p\u00e5litliga och sanna.\n\nMaten var f\u00f6r det mesta snabbmat som kom i en p\u00e5se med arabiska bokst\u00e4ver och ett firmam\u00e4rke med tre r\u00f6da kycklingar p\u00e5 rad.\n\nNej, han hatade inte pojken, som hade ilskna h\u00e4nder och nerbitna naglar och inte var upphovsman till hans ensamma skr\u00e4ck. Men han hatade honom ju, visst gjorde han det eller inte eller gjorde han?\n\nSnart tyckte han dock att samtalen med fadern blev en form av tr\u00e4ning, ett s\u00e4tt att st\u00e4rka sig, och han slutade prata, han l\u00e4t den sista r\u00f6sten d\u00f6 bort, han sa okej och b\u00f6rjade viska.\n\nHan t\u00e4nkte p\u00e5 skjortl\u00f6smannen i den vassa taggtr\u00e5den och s\u00e5g honom f\u00f6rvandlas till neon i krigets praktfulla gryning.\n\nFr\u00e5n b\u00f6rjan, vad\u00e5?\n\nFr\u00e5n b\u00f6rjan fanns det m\u00e4nniskor i m\u00e5nga st\u00e4der som hade hans namn p\u00e5 sina l\u00e4ppar. Han visste att de fanns d\u00e4r ute n\u00e5gonstans, underr\u00e4ttelsetj\u00e4nstens kontaktn\u00e4t, diplomatins inofficiella kanaler, tekniker, milit\u00e4rer. Han hade snubblat rakt in i den nya kulturen, den internationella terrorismens system, och de hade givit honom ett andra jag, en od\u00f6dlighet, Jean-Claude Juliens ande. Han var en digital mosaik i datatrafikens noder, rader av sp\u00f6klik text p\u00e5 mikrofilm. De h\u00f6ll p\u00e5 att s\u00e4tta ihop honom, lagra hans data i sj\u00f6stj\u00e4rnesatelliter, studsa hans bild mot m\u00e5nen. Han s\u00e5g sig sj\u00e4lv sv\u00e4va bort mot fj\u00e4rran kuster i rymden, f\u00f6rbi sin egen d\u00f6d och tillbaka igen. Men han hade en k\u00e4nsla av att de hade gl\u00f6mt hans kropp vid det h\u00e4r laget. Han hade f\u00f6rsvunnit i frekvenserna, \u00e4nnu en kod i datan\u00e4tet, i minnet \u00f6ver brott f\u00f6r obetydliga f\u00f6r att l\u00f6sas.\n\nVem k\u00e4nde honom nu?\n\nDet fanns ingen som k\u00e4nde honom mer \u00e4n pojken. F\u00f6rst hade hans regering \u00f6vergivit honom, sedan hans arbetsgivare, sedan familjen. Och nu hade m\u00e4nnen som f\u00f6rt bort honom och h\u00e5llit honom inl\u00e5st i ett k\u00e4llarrum ocks\u00e5 gl\u00f6mt att han satt h\u00e4r. Det var sv\u00e5rt att s\u00e4ga vems likgiltighet som pl\u00e5gade honom mest.\n\nBill satt i en liten l\u00e4genhet ovanp\u00e5 en tv\u00e4ttomat ungef\u00e4r en och en halv kilometer \u00f6ster om Harvard Square. Han hade dragit en tr\u00f6ja \u00f6ver pyjamasen och en gammal frott\u00e9badrock \u00f6ver tr\u00f6jan.\n\nHans dotter Liz lagade mat och pratade med honom genom serveringsluckan som var belamrad med tidningar och rollh\u00e4ften.\n\n\u00bbDet \u00e4r totalt om\u00f6jligt f\u00f6r mig att l\u00e4gga undan en cent s\u00e5 jag har inte en tanke p\u00e5 att flytta h\u00e4rifr\u00e5n. Det har g\u00e5tt s\u00e5 l\u00e5ngt att jag tycker att jag har tur som \u00e5tminstone f\u00e5r h\u00e5lla p\u00e5 med n\u00e5t jag gillar.\u00ab\n\n\u00bbOch strunt i alla sm\u00e5 bekymmer.\u00ab\n\n\u00bbMen passa dig f\u00f6r de stora.\u00ab\n\n\u00bbF\u00f6rra g\u00e5ngen jag var h\u00e4r.\u00ab\n\n\u00bbJust det.\u00ab\n\n\u00bbDu verkar m\u00e5 b\u00e4ttre nu.\u00ab\n\n\u00bbF\u00f6rra g\u00e5ngen var det kris. Och jag ser att du har hittat din badrock och pyjamas. Du \u00e5ker j\u00e4mt ifr\u00e5n saker, pappa.\u00ab\n\n\u00bbJag br\u00e5s p\u00e5 dig.\u00ab\n\nHan satt barfota och l\u00e4ste tidningen.\n\n\u00bbOch h\u00f6r f\u00f6r guds skull av dig n\u00e4r du t\u00e4nker h\u00e4lsa p\u00e5. Jag hade kunnat h\u00e4mta dig p\u00e5 flygplatsen.\u00ab\n\n\u00bbStundens ingivelse. Jag trodde du var p\u00e5 jobbet.\u00ab\n\n\u00bbLedig p\u00e5 m\u00e5ndagarna.\u00ab\n\n\u00bbDu \u00e4r s\u00e4kert bra p\u00e5 ditt jobb.\u00ab\n\n\u00bbS\u00e4g det till _dem_. Jag fyller typ trettio vilken dag som helst och jag h\u00e5ller fortfarande p\u00e5 och f\u00f6rs\u00f6ker bli av med till\u00e4gget \u203aassistent\u2039.\u00ab\n\n\u00bbH\u00f6r du, att jag kommer och st\u00f6r s\u00e5 h\u00e4r. I morgon har jag stuckit.\u00ab\n\n\u00bbSoffan \u00e4r din s\u00e5 l\u00e4nge du vill. Stanna ett tag. Det vore trevligt.\u00ab\n\n\u00bbDu k\u00e4nner mig.\u00ab\n\n\u00bbVi ska till Atlanta allihop och fira Memorial Day. D\u00e5 ska jag ber\u00e4tta om den mytiske fadern och hans s\u00e4llsynta bes\u00f6k.\u00ab\n\n\u00bbDu kommer att f\u00f6rst\u00f6ra helgen f\u00f6r dem.\u00ab\n\n\u00bbVarf\u00f6r fr\u00e5gar du inte hur de m\u00e5r?\u00ab\n\n\u00bbJag skiter i det.\u00ab\n\n\u00bbTack f\u00f6r det.\u00ab\n\n\u00bbJag har en indirekt \u00f6verenskommelse med de d\u00e4r tv\u00e5 om f\u00f6rdelarna med att skita i det. Telepati. V\u00e5r tysta kommunikation fungerar utm\u00e4rkt.\u00ab\n\nHan lade ifr\u00e5n sig en tidningsbilaga och b\u00f6rjade p\u00e5 n\u00e4sta.\n\n\u00bbDe bryr sig om vad du g\u00f6r\u00ab, sa hon.\n\n\u00bbVad jag g\u00f6r? Jag g\u00f6r det jag alltid g\u00f6r. Hur kan n\u00e5n bry sig om det?\u00ab\n\n\u00bbDu \u00e4r fortfarande ett popul\u00e4rt samtals\u00e4mne. Utom med mamma f\u00f6rst\u00e5s. Hon vill inte h\u00f6ra talas om det.\u00ab\n\n\u00bbInte jag heller, Lizzie.\u00ab\n\n\u00bbMen det kommer upp. Vi \u00e4r som sm\u00e5 bruna jyckar som tuggar och sliter i samma nerdreglade trasa.\u00ab\n\n\u00bbTala om att jag har spriten under full kontroll.\u00ab\n\n\u00bbOch din otillg\u00e4nglighet d\u00e5?\u00ab\n\n\u00bbVad \u00e4r det med den?\u00ab sa han.\n\n\u00bbDin ilska. Luftrummet som vi inte fick lov att betr\u00e4da n\u00e4r du satt och grubblade. Och att du bara f\u00f6rsvann?\u00ab\n\n\u00bbDu, varf\u00f6r pratar du ens med mig om du verkligen tycker att jag var s\u00e5 jobbig?\u00ab\n\n\u00bbJag vet inte. Kanske \u00e4r jag feg. Jag st\u00e5r inte ut med tanken p\u00e5 att en massa bitterhet ska ligga och h\u00e4rskna mellan oss och att jag kommer att s\u00f6rja \u00f6ver det tills jag blir gammal och gr\u00e5. Och kanske f\u00f6r att det inte blir n\u00e5gra barn f\u00f6r min del i framtiden. Jag beh\u00f6ver inte leva mitt liv som en lektion i hur man inte ska bli som min far. Det kommer inte att finnas n\u00e5n som jag kan sabba p\u00e5 samma s\u00e4tt som du sabbade Sheila och Jeff.\u00ab\n\nHon stack in huvudet genom \u00f6ppningen mellan rummen och log snett mot honom.\n\n\u00bbVi tror inte att ditt beteende hade n\u00e5t med skrivandet att g\u00f6ra. Vi tror att den mytiske fadern tog skrivandet som urs\u00e4kt f\u00f6r i stort sett allting. Det \u00e4r s\u00e5 _vi_ ser p\u00e5 saken, pappa. Vi tror att det aldrig var s\u00e5 tungt och pl\u00e5gsamt att skriva som du p\u00e5stod att det var, i sj\u00e4lva verket var det en bekv\u00e4m krycka och ett bekv\u00e4mt alibi alla otaliga g\u00e5nger du misslyckades med att uppf\u00f6ra dig som folk.\u00ab\n\n\u00bbVad g\u00f6r en inspicient egentligen?\u00ab\n\nHennes leende blev bredare och hon s\u00e5g p\u00e5 honom som om det var det enda han kunde s\u00e4ga som bevis p\u00e5 att han \u00e4lskade henne.\n\n\u00bbJag p\u00e5minner sk\u00e5despelarna om var de ska ramla i d\u00f6dsscenen.\u00ab\n\nGail kom ut fr\u00e5n sovrummet och h\u00e4mtade en kavaj i garderoben.\n\nBill sa: \u00bb\u00c4r det jag som jagar ut dig h\u00e4rifr\u00e5n? Stanna kvar och agera domare. En gammaltestamentlig sandstorm h\u00e5ller p\u00e5 att drabba mig.\u00ab\n\n\u00bbJag har tid hos min hypnotis\u00f6r. Han \u00e4r sista utv\u00e4gen f\u00f6r en som m\u00e5ste g\u00e5 ner n\u00e5gra kilo.\u00ab\n\n\u00bbPr\u00f6va att inte \u00e4ta s\u00e4ger jag \u00e5t henne\u00ab, sa Liz.\n\n\u00bbHon s\u00e4ger det som om det skulle vara f\u00f6rst\u00e5ndigt. Jag har en maxgr\u00e4ns p\u00e5 cirka \u00e5tta dars str\u00e4ng diet och sen \u00e4r det n\u00e5t som kn\u00e4pper till och jag vet att jag \u00e4r renad fr\u00e5n f\u00f6rebr\u00e5else och skuld.\u00ab\n\n\u00bbPrata med min far. F\u00f6rfattare har disciplin.\u00ab\n\n\u00bbJag vet. Det avundas jag dem. Jag skulle aldrig klara det. Sitta p\u00e5 en stol dag ut och dag in.\u00ab\n\n\u00bbSoldatmyror har disciplin\u00ab, sa Bill. \u00bbVad f\u00f6rfattare har vet jag inget om.\u00ab\n\nGail gick och de satte sig till bords f\u00f6r att \u00e4ta middag. Han uppfattade sin dotter som den \u00f6verordnade flatan i den h\u00e4r duon, beslutsfattaren och hugsvalerskan. Han f\u00f6rs\u00f6kte bli imponerad. Han h\u00e4llde upp vinet som han k\u00f6pt efter det att han klivit ur taxin och g\u00e5tt omkring i kvarteren och letat efter gator och hus han k\u00e4nde igen eftersom han insett att han inte hade en aning om vad hennes gata hette och inte kunnat hitta hennes adress eller telefonnummer i pl\u00e5nboken och undrat hur fan han t\u00e4nkt sig att komma in i l\u00e4genheten \u00e4ven om han visste var hon bodde och till slut f\u00e5tt tag p\u00e5 en telefon och ringt nummerbyr\u00e5n och hon inte bara stod upptagen utan ocks\u00e5 var hemma.\n\n\u00bbH\u00f6rrudu, jag f\u00f6rs\u00f6ker komma ih\u00e5g om det var n\u00e5t mer jag \u00e5kte ifr\u00e5n f\u00f6rra g\u00e5ngen.\u00ab\n\n\u00bbGail anv\u00e4nder din badrock.\u00ab\n\n\u00bbHypnos. Det kanske \u00e4r svaret p\u00e5 allt.\u00ab\n\n\u00bbDu \u00e5kte ifr\u00e5n en pl\u00e5nbok med resecheckar och pass. Se f\u00f6rv\u00e5nad ut, pappa.\u00ab\n\n\u00bbJag har undrat var i helvete.\u00ab\n\n\u00bbDu visste var den fanns n\u00e5nstans. Det \u00e4r d\u00e4rf\u00f6r du har kommit hit, va?\u00ab\n\n\u00bbJag kom hit f\u00f6r att tr\u00e4ffa dig.\u00ab\n\n\u00bbJag vet.\u00ab\n\n\u00bbHerregud, man v\u00e5gar knappt andas.\u00ab\n\n\u00bbDet g\u00f6r inget. Jag sysslar inte med att \u00e4lta min pappas motiv.\u00ab\n\n\u00bbBara hans f\u00f6rsumlighet.\u00ab\n\n\u00bbJo det f\u00f6rst\u00e5s.\u00ab\n\n\u00bbFaktum \u00e4r att jag inte ens var d\u00e4r n\u00e4r du f\u00f6ddes. Har du h\u00f6rt det n\u00e5n g\u00e5ng?\u00ab\n\n\u00bbInte f\u00f6rr\u00e4n helt nyligen.\u00ab\n\n\u00bbJag var i Yaddo.\u00ab\n\n\u00bbVad \u00e4r det?\u00ab\n\n\u00bbDet \u00e4r en retreat, ett st\u00e4lle dit f\u00f6rfattare \u00e5ker f\u00f6r att f\u00e5 lite vanlig j\u00e4vla lugn och ro. Det \u00e4r i sj\u00e4lva verket institutionens motto, det st\u00e5r hugget i sten \u00f6ver ing\u00e5ngen. Fast det stavas \u203adjefvla\u2039, i stil med klassiska f\u00f6reg\u00e5ngare.\u00ab\n\nHan tittade upp fr\u00e5n tallriken f\u00f6r att se om hon log. Det s\u00e5g ut som om hon \u00f6verv\u00e4gde det. Han hj\u00e4lpte henne med disken och ringde sedan Charles Everson i New York.\n\nCharlie sa: \u00bbScott, din alltiallo, d\u00f6k upp h\u00e4r strax efter du hade g\u00e5tt. Jag satt i styrelserummet och hade ett lunchm\u00f6te. Han st\u00e4llde tydligen till med br\u00e5k nere i foaj\u00e9n. F\u00f6rs\u00f6kte komma upp p\u00e5 kontoret. Till slut ringde vakten och bad mig prata med honom. Han ville veta vart du hade tagit v\u00e4gen. Jag kunde f\u00f6rst\u00e5s inte s\u00e4ga n\u00e5t eftersom jag inte visste.\u00ab\n\n\u00bbDet g\u00f6r du fortfarande inte.\u00ab\n\n\u00bbDet st\u00e4mmer, Bill.\u00ab\n\n\u00bbDu sa v\u00e4l inget om London.\u00ab\n\n\u00bbLondon \u00e4r det sista jag skulle n\u00e4mna f\u00f6r n\u00e5n. Men han var inte helt l\u00e4tt att f\u00e5 lugn. Till slut m\u00e5ste jag g\u00e5 ner och snacka med honom. F\u00f6rst \u00f6vertalade jag s\u00e4kerhetsvakten att kalla p\u00e5 ordningsvakten som eskorterar inbjudna bes\u00f6kare. Sen fick ordningsvakten \u00f6vertyga Scott om att han hade f\u00f6ljt dig upp och f\u00f6ljt dig ner och att du inte l\u00e5g d\u00f6d i hissen. P\u00e5 evig f\u00e4rd. Androm till varnagel.\u00ab\n\nDe talade om arrangemangen.\n\nSedan sa Bill: \u00bbHan kommer att ringa. Han kommer att forts\u00e4tta att ringa. Inte ett ord.\u00ab\n\n\u00bbJag har inte avsl\u00f6jat n\u00e5nting om dig f\u00f6r en enda m\u00e4nniska p\u00e5 tjugofem \u00e5r, Bill. Jag h\u00e5ller mitt l\u00f6fte.\u00ab\n\nN\u00e4r Gail kom tillbaka spelade de rummy ett tag. Kvinnorna ville g\u00e5 och l\u00e4gga sig och Bill f\u00f6rs\u00f6kte h\u00e5lla dem kvar med korttrick. Vinet var slut. Han l\u00e4ste en timme och b\u00e4ddade p\u00e5 soffan. Han mindes hur tr\u00e5ngt man l\u00e5g. Sedan fick han tag p\u00e5 lite kladdpapper och en blyertspenna och antecknade n\u00e5gra \u00e4ndringar i texten.\n\nScott kom ut fr\u00e5n badrummet med tandkr\u00e4m p\u00e5 tandborsten. Han s\u00e5g p\u00e5 Karen som satt upp i s\u00e4ngen och tittade p\u00e5 teve. Han glodde p\u00e5 henne och v\u00e4ntade p\u00e5 att hon skulle uppt\u00e4cka honom. Ibland n\u00e4r hon satt och betraktade \u00f6verlevande fr\u00e5n n\u00e5gon nyhetskatastrof, h\u00e4r \u00e4r den ensamma flygkroppen som ryker p\u00e5 en \u00e5ker, f\u00f6rsvann hon in i det dammiga skenet, och hon kunde granska ansiktet och samtidigt glida \u00f6ver i det, rentav smyga sig en halv sekund i f\u00f6rv\u00e4g, genom att antyda det egendomligt omt\u00f6cknade flinet eller den viftande handen, vilket fick henne att verka inblandad inte bara i reportaget utan ocks\u00e5 i skr\u00e4cken som kom bl\u00e5sande genom dimman.\n\nHan glodde tills hon v\u00e4nde sig om och uppt\u00e4ckte honom.\n\n\u00bbVar \u00e4r han d\u00e5 i s\u00e5 fall?\u00ab sa hon.\n\n\u00bbJag kommer snart p\u00e5 det. Det var l\u00e4nge sen han l\u00e5g f\u00f6re mig. Den j\u00e4veln.\u00ab\n\n\u00bbMen vart kan han ta v\u00e4gen?\u00ab\n\n\u00bbN\u00e5t st\u00e4lle som \u00e4r sj\u00e4lvklart bara f\u00f6r honom. Men om det \u00e4r sj\u00e4lvklart f\u00f6r honom kommer jag p\u00e5 det f\u00f6rr eller senare.\u00ab\n\n\u00bbMen hur kan du veta att han inte \u00e4r sjuk eller skadad?\u00ab\n\n\u00bbJag gick in i huset och pratade med dem. Vi kom faktiskt ihop oss, det blev lite gruff och s\u00e5. De har en s\u00e4kerhetsvakt p\u00e5 en niv\u00e5 som om kriget var \u00f6ver oss. Hur som helst har jag f\u00f6rst\u00e5tt att han helt enkelt gick rakt ut genom porten.\u00ab\n\n\u00bbJa men d\u00e5 tror jag att han \u00e4r hos Brita.\u00ab\n\nScott stod och h\u00f6ll tandborsten v\u00e5gr\u00e4tt tv\u00e4rs \u00f6ver br\u00f6stet.\n\n\u00bbHan \u00e4r inte hos Brita. Varf\u00f6r skulle han vara hos Brita?\u00ab\n\n\u00bbF\u00f6r att varf\u00f6r skulle han annars stanna i New York?\u00ab\n\n\u00bbVi vet inte att han har stannat kvar d\u00e4r. Vi vet inte ens s\u00e4kert varf\u00f6r han for dit. Till mig sa han att han bara skulle bes\u00f6ka Charles Everson. Everson sa att de talade om den nya boken. Nej, han har inte varit i kontakt med Brita f\u00f6r d\u00e5 skulle jag veta det. Telefonr\u00e4kningen kom h\u00e4romdan. De samtalen skulle st\u00e5tt redovisade separat.\u00ab\n\n\u00bbKanske hon ringde till honom.\u00ab\n\n\u00bbNej, det \u00e4r n\u00e5t allvarligare. Han menar \u00e4nnu mer allvar nu.\u00ab\n\n\u00bbHan flyr fr\u00e5n sin bok igen.\u00ab\n\n\u00bbBoken \u00e4r avslutad.\u00ab\n\n\u00bbInte f\u00f6r honom.\u00ab\n\n\u00bbHan har aldrig gett sig av utan att s\u00e4ga till mig vart han ska. Nej, han menar \u00e4nnu mer allvar den h\u00e4r g\u00e5ngen.\u00ab\n\nHan gick in i badrummet och borstade t\u00e4nderna. N\u00e4r han kom tillbaka glodde han p\u00e5 henne tills hon m\u00e4rkte att han tittade.\n\n\u00bbVi m\u00e5ste skriva listor\u00ab, sa han.\n\n\u00bbMen om han inte \u00e4r h\u00e4r.\u00ab\n\n\u00bbDesto st\u00f6rre anledning. Vi m\u00e5ste g\u00e5 \u00f6ver arbetsrummet ordentligt.\u00ab\n\n\u00bbHan vill inte ha oss d\u00e4r inne.\u00ab\n\n\u00bbHan vill inte ha mig d\u00e4r inne\u00ab, sa Scott. \u00bbJag har f\u00f6r mig att det finns stunder p\u00e5 natten d\u00e5 han helt klart samtycker till din n\u00e4rvaro. P\u00e5 natten eller sent p\u00e5 eftermiddagen n\u00e4r jag \u00e4r ute och k\u00f6per l\u00f6k till grytan.\u00ab\n\n\u00bbEller gurka till salladen.\u00ab\n\n\u00bbArbetsrummet m\u00e5ste st\u00e4das och r\u00f6jas upp. S\u00e5 han f\u00f6r omv\u00e4xlings skull kan hitta saker n\u00e4r han kommer tillbaka.\u00ab\n\n\u00bbHan ringer oss om n\u00e5gra dar och d\u00e5 kan vi fr\u00e5ga honom om det g\u00e5r bra.\u00ab\n\n\u00bbHan ringer inte.\u00ab\n\n\u00bbJag k\u00e4nner p\u00e5 mig att han ringer.\u00ab\n\n\u00bbOm det fanns n\u00e5t han ville ringa och s\u00e4ga till oss, d\u00e5 skulle han vara kvar h\u00e4r och bo hos oss.\u00ab\n\nHan kr\u00f6p ner i s\u00e4ngen och slog upp kragen p\u00e5 pyjamasjackan.\n\n\u00bbVi ger honom en chans att ringa\u00ab, sa hon. \u00bbDet \u00e4r bara det jag menar.\u00ab\n\n\u00bbHan har n\u00e5n allvarlig och hemsk plan p\u00e5 g\u00e5ng och den innefattar inte oss.\u00ab\n\n\u00bbHan \u00e4lskar oss, Scott.\u00ab\n\nHon tittade p\u00e5 teven vid fot\u00e4ndan. Man s\u00e5g en kvinna p\u00e5 motionscykel och hon var kl\u00e4dd i blank \u00e5tsmitande dr\u00e4kt och talade rakt in i kameran medan hon trampade och man s\u00e5g en annan kvinna inf\u00e4lld i ett h\u00f6rn av bildrutan, stor som en tumme, som tolkade den f\u00f6rsta kvinnans monolog till teckenspr\u00e5k. Karen f\u00f6ljde b\u00e5da tv\u00e5 med blicken. Hon var tunnhudad. Hon s\u00f6g i sig allt, hon trodde p\u00e5 allt, sm\u00e4rta, extas, hundmat, allt det serafiska stoffet, babylyckan som faller ner fr\u00e5n skyn. Scott glodde p\u00e5 henne och v\u00e4ntade. Hon bar p\u00e5 framtidens virus. F\u00f6r att citera Bill.\n\n#  9\n\nBILL s\u00e5g till att l\u00e4sa texten i k\u00f6rbanan innan han gick \u00f6ver gatan. Det var s\u00e5 f\u00f6rbannat vettigt att det borde vara lag p\u00e5 det i alla st\u00e4der, avl\u00e5nga vita bokst\u00e4ver i k\u00f6rbanan som talar om \u00e5t vilket h\u00e5ll man ska titta om man vill leva.\n\nHan var inte intresserad av att titta p\u00e5 London. Han hade sett stan f\u00f6rut. En skymt av Trafalgar Square fr\u00e5n en taxi, tre sedvanliga sekunder av \u00e5terseende, atmosf\u00e4r, upprepning, platsen var sig lik trots byggplank och plastint\u00e4ckning \u2013 ett dr\u00f6mt rum, en dubbelhet som alla ber\u00f6mda platser har och som f\u00e5r dem att verka avl\u00e4gsna och oemottagliga och samtidigt intimt f\u00f6rtrogna, en upplevelse man alltid burit inom sig. Texten i k\u00f6rbanan var det enda han intresserade sig f\u00f6r. Se v\u00e4nster. Se h\u00f6ger. Se \u00e5t r\u00e4tt h\u00e5ll. De liksom sammanfattade hela den omstridda fr\u00e5gan om v\u00e5r existens.\n\nHan avskydde de h\u00e4r skorna. Revbenen k\u00e4ndes mjuka i dag. Det satt en l\u00e4tt \u00e5tstramning i halsen.\n\nHan ville \u00e5ka tillbaka till hotellet och sova en stund. Han bodde inte p\u00e5 st\u00e4llet i Mayfair som Charlie talat om. Han hade tagit in p\u00e5 en ordin\u00e4r gr\u00e5 kvarleva och redan b\u00f6rjat muttra f\u00f6r sig sj\u00e4lv om ers\u00e4ttning.\n\nP\u00e5 rummet tog han av sig skjortan och bl\u00e5ste p\u00e5 insidan av kragen f\u00f6r att f\u00e5 bort ludd och h\u00e5rstr\u00e5n och torka svettfukten. Han hade Lizzies \u00f6vernattningsv\u00e4ska med badrocken och pyjamasen och dessutom lite strumpor, underkl\u00e4der och toalettsaker som han hade k\u00f6pt i Boston.\n\nHan visste inte om han ville g\u00f6ra det h\u00e4r. Det k\u00e4ndes inte r\u00e4tt l\u00e4ngre. Han hade en f\u00f6raning, den envisa lilla sp\u00e4nningen i strupen som han s\u00e5 v\u00e4l k\u00e4nde igen fr\u00e5n sitt arbete, alla de g\u00e5nger han blivit r\u00e4dd och ansatts av tvivel eftersom han visste att n\u00e5got v\u00e4ntade l\u00e4ngre fram som han inte ville m\u00f6ta, en romanfigur, ett liv han inte trodde att han kunde hantera.\n\nHan ringde till Charlies hotell.\n\n\u00bbVar \u00e4r du, Bill?\u00ab\n\n\u00bbJag kan se ett sjukhus fr\u00e5n mitt f\u00f6nster.\u00ab\n\n\u00bbOch det k\u00e4nns hoppingivande.\u00ab\n\n\u00bbJag har ett enda krav n\u00e4r det g\u00e4ller hotell. N\u00e4rhet till basservice.\u00ab\n\n\u00bbDet var meningen att du skulle bo p\u00e5 Chesterfield.\u00ab\n\n\u00bbBlotta namnet \u00e4r of\u00f6renligt med min prisbild. Det stinker m\u00f6nsterskuren sammet.\u00ab\n\n\u00bbDet \u00e4r inte du som betalar. Det \u00e4r vi som betalar.\u00ab\n\n\u00bbFlygbiljetten trodde jag.\u00ab\n\n\u00bbOch hotellet. Det s\u00e4ger sig sj\u00e4lvt. Och andra utl\u00e4gg. Ska jag h\u00f6ra efter om rummet fortfarande \u00e4r ledigt?\u00ab\n\n\u00bbJag har packat upp h\u00e4r.\u00ab\n\n\u00bbVad heter st\u00e4llet?\u00ab\n\n\u00bbJag kommer strax p\u00e5 det. Under tiden kan du tala om f\u00f6r mig om allt \u00e4r klart f\u00f6r i kv\u00e4ll.\u00ab\n\n\u00bbVi f\u00f6rs\u00f6ker byta lokal. Vi hade ordnat med en underbar m\u00f6tesplats, med hj\u00e4lp av en kollega till mig som har de r\u00e4tta kontakterna. Biblioteket i S:t Pauls. Just den v\u00e4rdiga milj\u00f6 jag var ute efter. Ek och stenornament, tusentals b\u00f6cker. Vid tolvtiden i dag b\u00f6rjade telefonsamtalen komma. Anonyma.\u00ab\n\n\u00bbHot.\u00ab\n\n\u00bbBombhot. Vi f\u00f6rs\u00f6ker hindra det fr\u00e5n att komma ut. Men bibliotekarien fr\u00e5gade \u00e4nd\u00e5 om vi inte kunde t\u00e4nka oss att h\u00e5lla v\u00e5rt m\u00f6te n\u00e5n annanstans. Vi tror att vi har ett s\u00e4kert st\u00e4lle p\u00e5 g\u00e5ng och vi h\u00e5ller p\u00e5 att ordna med en mycket diskret polis\u00f6vervakning. Men det k\u00e4nns, Bill. Vi hade galleri och v\u00e4lvda tak. Vi hade tr\u00e4kubbsgolv.\u00ab\n\n\u00bbFolk som ringer spr\u00e4nger inga bomber. Riktiga terrorister ringer efter\u00e5t, n\u00e4r skadan \u00e4r skedd. Om de g\u00f6r det alls.\u00ab\n\n\u00bbJag vet\u00ab, sa Charlie, \u00bbmen vi vill i alla fall vidta alla f\u00f6rsiktighets\u00e5tg\u00e4rder. Vi h\u00e5ller p\u00e5 att sk\u00e4ra ner antalet inbjudna journalister. Och vi avsl\u00f6jar inte adressen f\u00f6r n\u00e5n f\u00f6rr\u00e4n i absolut sista \u00f6gonblicket. Det blir samling p\u00e5 en falsk adress och sen transport till det r\u00e4tta st\u00e4llet med inhyrd buss.\u00ab\n\n\u00bbKommer du ih\u00e5g litteraturen, Charlie? Det handlade om att supa till och f\u00e5 sig ett skjut.\u00ab\n\n\u00bbKom till Chesterfield klockan sju. D\u00e5 hinner du titta lite p\u00e5 dikterna du ska l\u00e4sa. Sen \u00e5ker vi dit tillsammans. Och efter\u00e5t g\u00e5r vi ut och \u00e4ter en bit, bara du och jag. Jag vill prata om din bok.\u00ab\n\nBill tyckte det k\u00e4ndes l\u00e4ttare med uppl\u00e4sningen nu n\u00e4r han visste att n\u00e5gon betalade hans hotellr\u00e4kning. Han lade room service-menyn p\u00e5 soffbordet och h\u00e4mtade medicinburken fr\u00e5n kavajfickan. Han t\u00f6mde ut inneh\u00e5llet p\u00e5 menyn, inalles fyra hela tabletter. Resten av f\u00f6rr\u00e5det fanns i medicinburkar av vacker b\u00e4rnstensgul plast i en byr\u00e5l\u00e5da hemma i sovrummet. Lugnande, uppiggande, depressionsh\u00e4mmande, insomnings, urindrivande, antibiotika, hj\u00e4rtstimulerande, muskelavslappnande. Framf\u00f6r honom l\u00e5g tre sorters lugnande och en enda sk\u00e4r kortisontablett f\u00f6r sv\u00e5rbehandlad hudkl\u00e5da. Bedr\u00f6vligt. Men han hade f\u00f6rst\u00e5s inte vetat att han skulle till Boston och London. Och det magra urvalet f\u00f6rst\u00f6rde inte det kirurgiska n\u00f6jet med att hugga och sk\u00e4ra itu, inte f\u00e4rgblandandets s\u00e4lla sakrament. Han b\u00f6jde sig \u00f6ver det l\u00e5ga bordet, h\u00f6ljd i det lugn som kom \u00f6ver honom n\u00e4r han delade sina piller. Han tyckte om k\u00e4nslan av soldatm\u00e4ssig f\u00f6rberedelse, det rigor\u00f6sa pedanteriet som hj\u00e4lpte honom att l\u00e5tsas att han visste vad han h\u00f6ll p\u00e5 med. Det var handens och \u00f6gats k\u00e4raste lek, att sk\u00e4ra tabletterna och v\u00e4lja ut en kombination av bitarna. Allt fanns framf\u00f6r honom p\u00e5 menyn, som prydliga och blanka korn, ett s\u00e4tt att hantera f\u00f6rvirringen, att uppn\u00e5 ett tillst\u00e5nd, han kunde prova sig fram bland f\u00e4rgerna efter en f\u00f6r\u00e4ndrande effekt som skulle hj\u00e4lpa honom genom en panikattack, med n\u00e5got kroppsligt miss\u00f6de eller ta honom oskadd genom de l\u00e5nga kv\u00e4llarnas svall, i skymningen d\u00e5 \u00e5ngesten sk\u00f6ljde \u00f6ver honom.\n\nHan saknade sina illustrerade broschyrer med varningar och upplysningar och bieffekter och reagenser och fina f\u00e4rgdiagram. Men han hade inte vetat att han skulle \u00f6ver havet.\n\nDjupt koncentrerad skar han itu tabletterna med sin gamla repiga hornskaftade fickkniv som ouppt\u00e4ckt passerat s\u00e4kerhetskontrollen p\u00e5 tre flygplatser.\n\nTaxin k\u00f6rde ut p\u00e5 Southwark Bridge. Bill hade dikterna i kn\u00e4t och d\u00e5 och d\u00e5 h\u00f6ll han upp en sida och mumlade stroferna tyst f\u00f6r sig sj\u00e4lv. Ett mjukt varmt regn gjorde skiftande m\u00f6nster p\u00e5 floden, skimrande vindsvepta str\u00e5k.\n\nCharlie sa: \u00bbDen h\u00e4r killen nu d\u00e5.\u00ab\n\n\u00bbVem?\u00ab\n\n\u00bbKillen i Aten som drog i g\u00e5ng hela historien. Jag vill g\u00e4rna veta vad du f\u00e5r f\u00f6r uppfattning om honom.\u00ab\n\n\u00bb\u00c4r han libanes?\u00ab\n\n\u00bbJa. Statsvetare. Han s\u00e4ger att han bara fungerar som medlare och saknar tillr\u00e4cklig kunskap om gruppen i Beirut. P\u00e5st\u00e5r att de \u00e4r angel\u00e4gna om att sl\u00e4ppa gisslan fri.\u00ab\n\n\u00bb\u00c4r det en ny fundamentalistisk fraktion?\u00ab\n\n\u00bbDet \u00e4r en ny kommunistisk fraktion.\u00ab\n\n\u00bbF\u00f6rv\u00e5nar det oss?\u00ab sa Bill.\n\n\u00bbDet finns ett kommunistparti i Libanon. Och jag har h\u00f6rt om v\u00e4nstergrupper som \u00e4r lierade med Syrien. PLO har alltid haft en marxistisk falang och den \u00e4r aktiv igen i Libanon.\u00ab\n\n\u00bbAllts\u00e5 f\u00f6rv\u00e5nar det oss inte.\u00ab\n\n\u00bbInte n\u00e4mnv\u00e4rt.\u00ab\n\n\u00bbJag f\u00f6ruts\u00e4tter att du l\u00e5ter mig veta n\u00e4r det f\u00f6rv\u00e5nar oss.\u00ab\n\nTv\u00e5 kriminalpoliser m\u00f6tte dem p\u00e5 en \u00f6de gata inte l\u00e5ngt fr\u00e5n Saint Saviours Dock. Det p\u00e5gick en ombyggnation i omr\u00e5det men husen h\u00e4r stod fortfarande or\u00f6rda, fr\u00e4mst r\u00f6da tegelstenskomplex med lyftanordningar och lastkajer. De gick bort till ett gammalt spannm\u00e5lsmagasin som var uthyrt till en r\u00f6rfirma vilken nyligen g\u00e5tt i konkurs. Polisen hade ordnat med en ing\u00e5ng och det fanns fortfarande en telefon som fungerade.\n\nDe fyra m\u00e4nnen gick in. De unders\u00f6kte det tomma utrymme som skulle anv\u00e4ndas f\u00f6r presstr\u00e4ffen. Ett podium, klappstolar, n\u00f6dbelysning. Sedan gick de in p\u00e5 kontoret och Charlie ringde till sina kollegor och sa \u00e5t dem att s\u00e4tta folk i bussen och komma dit. Bill letade efter en toalett. Sekunderna efter det att Charlie lagt p\u00e5 ringde telefonen. En av polism\u00e4nnen svarade och allihop kunde h\u00f6ra r\u00f6sten som skrek i andra \u00e4nden: \u00bbBomb, bomb, bomb\u00ab och mannens brytning gjorde att det l\u00e4t som bom, bom, bom. Det l\u00e4t r\u00e4tt lustigt tyckte Bill som m\u00e5ste pissa och inte s\u00e5g n\u00e5gon anledning att g\u00f6ra det ute p\u00e5 gatan.\n\nSamtalet irriterade polism\u00e4nnen. \u00c5tminstone den ene av dem. Den andre stod bara och s\u00e5g tv\u00e4rs \u00f6ver rummet mot en hylla d\u00e4r det stod rader av p\u00e4rmar med artikelf\u00f6rteckningar. Bill hittade en toalett och blev siste man ut. En polisman fattade posto n\u00e4ra ytterd\u00f6rren och den andre flyttade bilen femtio meter l\u00e4ngre bort p\u00e5 gatan och ringde sedan upp stationen.\n\nCharlie sa: \u00bbJag \u00f6nskar att jag f\u00f6rstod po\u00e4ngen.\u00ab\n\nHan och Bill gick tv\u00e4rs \u00f6ver gatan och v\u00e4ntade p\u00e5 att bombpatrullen skulle komma och genoms\u00f6ka byggnaden.\n\n\u00bbPo\u00e4ngen \u00e4r kontroll\u00ab, sa Bill. \u00bbDe vill tro att de har makt att flytta oss fr\u00e5n ett hus och ut p\u00e5 gatan. F\u00f6r sitt inre \u00f6ga ser de hundra m\u00e4nniskor komma t\u00e5gande nerf\u00f6r brandstegen. Jag sa ju det, Charlie. Vissa tillverkar bomber, andra ringer i telefon.\u00ab\n\nSnart stod de och talade om n\u00e5got annat. Regnet upph\u00f6rde. Charlie gick \u00f6ver gatan, sa n\u00e5got till polismannen och gjorde en axelryckning n\u00e4r han kom tillbaka. De talade om en bok som Charlie h\u00f6ll p\u00e5 med. De talade om den dagen f\u00f6r sex \u00e5r sedan d\u00e5 Charlies skilsm\u00e4ssa gick igenom. Han mindes v\u00e4dret, den h\u00f6ga klara himlen, sm\u00e4llande flaggor p\u00e5 Femte avenyn och en filmstj\u00e4rna som steg ur en taxi. Bill stack ner handen efter n\u00e4sduken. Explosionen st\u00f6tte till honom s\u00e5 att han snurrade ett halvt varv men f\u00f6tterna sl\u00e4ppte inte marken och han f\u00f6ll inte bak\u00e5t mot v\u00e4ggen. Han k\u00e4nde ljudet i br\u00f6stkorgen och armarna. Han snurrade runt, duckade och skyddade huvudet med underarmen n\u00e4r f\u00f6nstren bl\u00e5stes ut. Charlie sa nermedhuvudet eller nejf\u00f6rhelvete. Han v\u00e4nde ryggen mot tryckv\u00e5gen, tog st\u00f6d mot husv\u00e4ggen med armb\u00e5garna, kn\u00e4ppte h\u00e4nderna \u00f6ver huvudet och Bill visste att han m\u00e5ste komma ih\u00e5g att bli imponerad. Han visste ocks\u00e5 att det var \u00f6ver, v\u00e4rre skulle det inte bli, han r\u00e4tade l\u00e5ngsamt p\u00e5 sig och tittade bort mot huset men str\u00e4ckte ut handen och tog tag i Charlie, f\u00f6rvissade sig om att han fortfarande stod d\u00e4r och kunde r\u00f6ra sig. Polismannen p\u00e5 andra sidan gatan satt djupt nerhukad och fumlade med radion i b\u00e4ltet. Gatan var \u00f6vers\u00e5llad med glassplitter, det glittrade som sn\u00f6. Den andre polismannen satt kvar i bilen ett \u00f6gonblick och gjorde anrop, sedan gick han fram till sin kollega. De tittade bort mot Charlie och Bill. Damm sv\u00e4vade i h\u00f6jd med andra v\u00e5ningen p\u00e5 magasinet. De fyra m\u00e4nnen m\u00f6ttes mitt p\u00e5 gatan och glaset krasade under skorna. Charlie borstade av rockslagen.\n\nBombexperterna kom och sedan pressbussen och lite f\u00f6rlagsfolk, fler kriminalpoliser och Bill satt i baks\u00e4tet p\u00e5 den om\u00e5lade polisbilen medan Charlie stod och \u00f6verlade med olika grupper och gjorde upp nya planer.\n\nUngef\u00e4r en timme senare satt de tv\u00e5 m\u00e4nnen under det v\u00e4lvda takf\u00f6nstret i en matsal p\u00e5 Chesterfield och \u00e5t sj\u00f6tunga.\n\n\u00bbDet blir en dags f\u00f6rsening. Tv\u00e5 i v\u00e4rsta fall\u00ab, sa Charlie. \u00bbDu borde definitivt byta hotell s\u00e5 vi kan agera snabbt s\u00e5 fort allt \u00e4r klart.\u00ab\n\n\u00bbDu visade verkligen sinnesn\u00e4rvaro n\u00e4r du intog den d\u00e4r skyddsst\u00e4llningen.\u00ab\n\n\u00bbJa, egentligen \u00e4r det r\u00e4tta positionen vid n\u00f6dlandning. Fast d\u00e5 g\u00f6r man det inte st\u00e5ende. Jag visste att jag skulle b\u00f6ja ner huvudet och kn\u00e4ppa h\u00e4nderna i nacken men jag kunde inte s\u00e4tta in man\u00f6vern i sammanhanget. Jag trodde jag satt p\u00e5 ett plan som st\u00f6rtade.\u00ab\n\n\u00bbDitt folk kommer att hitta en annan lokal.\u00ab\n\n\u00bbVi m\u00e5ste. Vi kan inte l\u00e4gga av nu. \u00c4ven om vi m\u00e5ste dra ner det till enklast t\u00e4nkbara. Femton m\u00e4nniskor i fem roddb\u00e5tar p\u00e5 en avsides bel\u00e4gen sj\u00f6 n\u00e5nstans.\u00ab\n\n\u00bb\u00c4r det n\u00e5n som har en teori?\u00ab\n\n\u00bbJag ska tala med en terroristexpert i morgon. F\u00f6ljer du med?\u00ab\n\n\u00bbNix.\u00ab\n\n\u00bbVilket hotell bor du p\u00e5?\u00ab\n\n\u00bbJag h\u00f6r av mig, Charlie.\u00ab\n\n\u00bbRoddb\u00e5tar \u00e4r f\u00f6rresten ingen l\u00f6sning. Var det inte i en s\u00e5n de tog Mountbatten?\u00ab\n\n\u00bbFiskeb\u00e5t.\u00ab\n\n\u00bbN\u00e4stan samma sak.\u00ab\n\nBill visste att n\u00e5gon iakttog honom, en man som satt ensam vid ett bord i andra \u00e4nden av rummet. Det var fascinerande hur mannens nyfikenhet f\u00f6rmedlade en m\u00e4ngd information, att han visste vem Bill var, att de aldrig hade tr\u00e4ffats, att han f\u00f6rs\u00f6kte best\u00e4mma sig f\u00f6r om han skulle ta kontakt eller inte. Bill visste till och med vem mannen var, fast han inte kunde s\u00e4ga hur han visste det. Det var som om mannen hade passat in sig sj\u00e4lv i ett f\u00f6rutbest\u00e4mt tomrum, i tanken p\u00e5 n\u00e5got som var p\u00e5 v\u00e4g att ske. Bill tittade aldrig rakt p\u00e5 mannen. Allting var en form, ett \u00f6de, ett fl\u00f6de av information.\n\n\u00bbJag vill prata om din bok\u00ab, sa Charlie.\n\n\u00bbDen \u00e4r inte klar \u00e4n. N\u00e4r den \u00e4r klar.\u00ab\n\n\u00bbDu beh\u00f6ver inte prata om den. Jag kan prata om den. Och n\u00e4r den \u00e4r klar kan vi prata om den b\u00e5da tv\u00e5.\u00ab\n\n\u00bbVi str\u00f6k n\u00e4stan med alldeles nyss. Vi pratar om det i st\u00e4llet.\u00ab\n\n\u00bbJag vet hur din bok ska publiceras. Ingen i branschen k\u00e4nner dig b\u00e4ttre \u00e4n jag. Jag vet vad du beh\u00f6ver.\u00ab\n\n\u00bbVad \u00e4r det?\u00ab\n\n\u00bbDu beh\u00f6ver ett st\u00f6rre f\u00f6rlag d\u00e4r det ocks\u00e5 finns n\u00e5n som minns. Det \u00e4r d\u00e4rf\u00f6r de anst\u00e4llde mig. De vill ta sig en n\u00e4rmare titt p\u00e5 traditionen. Jag symboliserar n\u00e5t f\u00f6r de d\u00e4r m\u00e4nniskorna. Jag symboliserar b\u00f6cker. Jag vill f\u00e5 fram en tung ansvarsk\u00e4nnande genomt\u00e4nkt lista och lansera den f\u00f6r fullt p\u00e5 alla massmarknadskanaler. Vi har enorma resurser. Om du har h\u00e5llit p\u00e5 i \u00e5ratal att skriva en bok vill du inte se den flyga d\u00e5?\u00ab\n\n\u00bbHur har du det med sexlivet, Charlie?\u00ab\n\n\u00bbJag kan f\u00e5 ut den h\u00e4r boken i upplagor som kommer att sl\u00e5 v\u00e4rlden med h\u00e4pnad.\u00ab\n\n\u00bbN\u00e5n tjej?\u00ab\n\n\u00bbJag hade lite besv\u00e4r med prostatan. De blev tvungna att dirigera om sperman.\u00ab\n\n\u00bbVart skickade de den d\u00e5?\u00ab\n\n\u00bbJag vet inte. Men den kommer inte ut p\u00e5 det vanliga st\u00e4llet.\u00ab\n\n\u00bbDu kan fortfarande genomf\u00f6ra akten.\u00ab\n\n\u00bbMed f\u00f6rtjusning.\u00ab\n\n\u00bbMen du f\u00e5r ingen utl\u00f6sning.\u00ab\n\n\u00bbDet kommer inte ut n\u00e5t.\u00ab\n\n\u00bbOch du vet inte vad som h\u00e4nder med den.\u00ab\n\n\u00bbJag fr\u00e5gade inte vad som h\u00e4nder med den. Den \u00e5ker tillbaka in. Mer vill jag inte veta.\u00ab\n\n\u00bbDet var en underbar ber\u00e4ttelse, Charlie. Inte ett ord i on\u00f6dan.\u00ab\n\nDe tog en titt p\u00e5 dessertmenyn.\n\n\u00bbN\u00e4r blir boken klar?\u00ab\n\n\u00bbJag h\u00e5ller p\u00e5 och g\u00e5r igenom interpunktionen.\u00ab\n\n\u00bbInterpunktion \u00e4r intressant. Jag l\u00e4gger stor vikt vid hur en f\u00f6rfattare kommaterar.\u00ab\n\n\u00bbOch du tror max tv\u00e5 dagar och sen kan vi sticka\u00ab, sa Bill.\n\n\u00bbDet \u00e4r vad vi hoppas p\u00e5. Vi hoppas att det inte forts\u00e4tter. Bomben var kulmen. De har framf\u00f6rt sitt budskap \u00e4ven om vi inte riktigt f\u00f6rst\u00e5r vad det \u00e4r.\u00ab\n\n\u00bbJag m\u00e5ste kanske k\u00f6pa mig en skjorta.\u00ab\n\n\u00bbK\u00f6p dig en skjorta. Och l\u00e5t mig boka rum \u00e5t dig h\u00e4r. Med tanke p\u00e5 omst\u00e4ndigheterna tycker jag att vi b\u00f6r kunna f\u00e5 tag p\u00e5 varandra s\u00e5 snabbt som m\u00f6jligt.\u00ab\n\n\u00bbJag ska fundera p\u00e5 det till kaffet.\u00ab\n\n\u00bbVi anv\u00e4nder syrafritt papper\u00ab, sa Charlie.\n\n\u00bbJag vill hellre att mina b\u00f6cker ruttnar bort n\u00e4r jag g\u00f6r det. Varf\u00f6r ska de \u00f6verleva mig? Det \u00e4r deras fel att jag h\u00e5ller p\u00e5 att d\u00f6 i f\u00f6rtid.\u00ab\n\nMannen stod vid bordet och v\u00e4ntade p\u00e5 att de skulle avsluta diskussionen. Bill tittade bort i fj\u00e4rran och v\u00e4ntade p\u00e5 att Charlie skulle uppt\u00e4cka att mannen stod d\u00e4r.\n\nBordet var stort nog att ge plats \u00e5t ytterligare en person och Charlie sk\u00f6tte presentationen medan kyparen h\u00e4mtade en stol. Mannen hette George Haddad och n\u00e4r Charlie kallade honom talesman f\u00f6r gruppen i Beirut gjorde mannen en protesterande gest, han v\u00e4rjde sig f\u00f6r orden med b\u00e5da h\u00e4nder. Han k\u00e4nde tydligen att han inte gjort sig f\u00f6rtj\u00e4nt av ben\u00e4mningen.\n\n\u00bbJag \u00e4r en stor beundrare\u00ab, sa han till Bill. \u00bbOch n\u00e4r mr Everson l\u00e4t f\u00f6rst\u00e5 att ni kanske skulle delta i presskonferensen blev jag \u00f6verraskad och oerh\u00f6rt glad. Eftersom jag k\u00e4nner till hur ni har skytt offentliga framtr\u00e4danden.\u00ab\n\nHan var en l\u00e5ng man p\u00e5 n\u00e5gra och fyrtio, renrakad och med h\u00e5r som glesnade l\u00e4ngst fram p\u00e5 huvudet. Han hade fuktiga \u00f6gon och s\u00e5g sorgsen och lite lunsig ut i trist gr\u00e5 kostym och en plastklocka som han kunde ha l\u00e5nat av ett barn.\n\n\u00bbVad har ni f\u00f6r koppling?\u00ab sa Bill.\n\n\u00bbTill Beirut? Vi kan ju s\u00e4ga att jag sympatiserar med deras m\u00e5l om \u00e4n inte med deras metoder. Det h\u00e4r kommandot som tog poeten \u00e4r en del av en r\u00f6relse. Knappt en r\u00f6relse f\u00f6rresten. Det \u00e4r bara en underjordisk str\u00f6m \u00e4n s\u00e5 l\u00e4nge, ett bevis f\u00f6r att inte varje vapen i Libanon m\u00e5ste vara m\u00e4rkt muslim, kristen eller sionist.\u00ab\n\n\u00bbVi kan v\u00e4l s\u00e4ga du\u00ab, sa Charlie.\n\nKaffet serverades. Bill k\u00e4nde svidande heta n\u00e5lstick, en tydlig sm\u00e4rta i v\u00e4nster hand, skarp och flisad.\n\nCharlie sa: \u00bbVem vill f\u00f6rhindra att det h\u00e4r m\u00f6tet \u00e4ger rum?\u00ab\n\n\u00bbKanske h\u00e5ller kriget p\u00e5 gatorna p\u00e5 att sprida sig. Jag vet inte. Kanske finns det en organisation som i princip mots\u00e4tter sig frigivning av gisslan, \u00e4ven gisslan som de sj\u00e4lva inte h\u00e5ller. Givetvis begriper de att den h\u00e4r mannens frigivning helt och h\u00e5llet \u00e4r beroende av rapporteringen. Hans frihet \u00e4r knuten till det offentliga tillk\u00e4nnagivandet av hans frihet. Man kan inte f\u00e5 det ena utan det andra. Det \u00e4r en av m\u00e5nga saker som Beirut l\u00e4rt sig av v\u00e4st. Beirut \u00e4r tragiskt men fortfarande vid liv. London \u00e4r den verkliga ruinen. Jag har l\u00e4st h\u00e4r och undervisat h\u00e4r och varje g\u00e5ng jag kommer tillbaka ser jag f\u00f6r\u00f6delsen \u00e4nnu tydligare.\u00ab\n\nCharlie sa: \u00bbVad m\u00e5ste vi enligt din bed\u00f6mning g\u00f6ra f\u00f6r att det h\u00e4r m\u00f6tet ska kunna h\u00e5llas p\u00e5 ett betryggande s\u00e4tt?\u00ab\n\n\u00bbDet \u00e4r kanske inte m\u00f6jligt h\u00e4r. Polisen kommer att r\u00e5da er att st\u00e4lla in. N\u00e4sta g\u00e5ng tror jag inte att det blir n\u00e5t telefonsamtal. Jag ska s\u00e4ga er vad jag tror att det blir.\u00ab Och han b\u00f6jde sig fram \u00f6ver bordet. \u00bbEn mycket stor explosion i ett fullsatt rum.\u00ab\n\nBill petade bort ett glassplitter ur handen. De andra tittade p\u00e5. Han f\u00f6rstod varf\u00f6r han k\u00e4nde igen sm\u00e4rtan. Det var ett sommars\u00e5r, ett pojks\u00e5r, en av alla bl\u00e5sor och bulor och stickor fr\u00e5n ett halvt sekel sedan, ett av myggbetten, de dagliga blodiga skr\u00e5morna. Man snubblade in i tredje bas och skrubbade kn\u00e4t. Man r\u00e5kade i slagsm\u00e5l och fick sig en bl\u00e5tira.\n\nHan sa: \u00bbVi har en oskyldig man som sitter insp\u00e4rrad i en k\u00e4llare.\u00ab\n\n\u00bbDet \u00e4r klart han \u00e4r oskyldig, det \u00e4r d\u00e4rf\u00f6r de tog honom. Det \u00e4r en s\u00e5n enkel id\u00e9. Pl\u00e5ga den oskyldige. Ju brutalare de \u00e4r desto b\u00e4ttre ser vi deras vrede. Och \u00e4r det inte romanf\u00f6rfattaren, Bill, framf\u00f6r alla andra, framf\u00f6r andra skribenter, som f\u00f6rst\u00e5r sig p\u00e5 den vreden, som i sitt innersta vet hur terroristen k\u00e4nner och t\u00e4nker? Genom historien \u00e4r det romanf\u00f6rfattaren som k\u00e4nt fr\u00e4ndskap med den v\u00e5ldsamme mannen som lever i m\u00f6rker. Var har du dina sympatier? Hos kolonialpolisen, er\u00f6vraren, den rike mark\u00e4garen, den korrupta regeringen, den milit\u00e4riska staten? Eller hos terroristen? Och jag tar inte avst\u00e5nd fr\u00e5n det ordet \u00e4ven om det har hundra betydelser. Det \u00e4r det enda hederliga ord man kan anv\u00e4nda.\u00ab\n\nBills servett l\u00e5g hopknycklad p\u00e5 bordet framf\u00f6r honom. De andra s\u00e5g p\u00e5 n\u00e4r han lade glasflisan i ett veck i tyget. Den glimmade som sand, den korniga gr\u00f6naktiga k\u00e4rrsanden som h\u00f6r barndomen till, till bl\u00e5m\u00e4rkena och valkarna, h\u00e4nder som skrapats upp av h\u00e5rda kast. Han k\u00e4nde sig mycket tr\u00f6tt. Han lyssnade n\u00e4r Charlie talade med den andre mannen. Han k\u00e4nde av resandets d\u00f6dvikt, apatin och dimmigheten som kom sig av vistelsen p\u00e5 en plats som saknade betydelse f\u00f6r honom, av att vara osynlig f\u00f6r sig sj\u00e4lv, av att sova i ett rum han inte skulle k\u00e4nna igen om han fick se en bild av det.\n\nGeorge sa: \u00bbDen f\u00f6rsta incidenten var inget att bry sig om eftersom det bara var en rad telefonsamtal. Den andra incidenten var inget att bry sig om eftersom ingen blev d\u00f6dad. F\u00f6r dig och Bill blev det en riktig chock. Annars en ren rutinsak. F\u00f6r n\u00e5gra \u00e5r sen var det en nynazistisk grupp i Tyskland som hittade p\u00e5 slagordet \u203aJu v\u00e4rre desto b\u00e4ttre\u2039. Det slagordet har \u00e4ven v\u00e4sterl\u00e4ndska media. Ni existerar inte f\u00f6r \u00f6gonblicket, ni \u00e4r offer utan publik. Se till att bli d\u00f6dade s\u00e5 l\u00e4gger de kanske m\u00e4rke till er.\u00ab\n\nN\u00e4sta morgon \u00e5t Bill frukost p\u00e5 en pub i n\u00e4rheten av sitt hotell. Han uppt\u00e4ckte att han kunde best\u00e4lla en sejdel \u00f6l till skinkan och \u00e4ggen trots att klockan bara var lite \u00f6ver sju eftersom nattarbetare fr\u00e5n slakthusen hade sin middagsrast vid den h\u00e4r tiden. Synnerligen avancerad tillst\u00e5ndspolitik. L\u00e4kare fr\u00e5n Saint Bartholomews satt vid bordet intill i sina vita rockar. Han tittade p\u00e5 sk\u00e4rs\u00e5ret p\u00e5 handen. Det verkade l\u00e4ka fint men det var sk\u00f6nt att veta att sakkunskapen fanns i n\u00e4rheten om man skulle beh\u00f6va r\u00e5d eller hj\u00e4lp. Gamla sjukhus med helgonnamn \u00e4r den sort man helst s\u00f6ker sig till om man har sk\u00e4rs\u00e5r och skrubbskador. De hade inte gl\u00f6mt hur man tog hand om de klassiska korsriddarblessyrerna.\n\nHan tog fram ett anteckningsblock och skrev upp frukostnotan och nattens taxiresa. Ljudet av sm\u00e4llen ekade fortfarande i huden.\n\nSenare p\u00e5 dagen gick han till det \u00f6verenskomna m\u00f6tet med Charlie utanf\u00f6r Chesterfield. De promenerade genom Mayfair i ett lojt dis av varmt ljus. Charlie var kl\u00e4dd i blazer, gr\u00e5 flanellbyxor och tv\u00e5f\u00e4rgade sn\u00f6rskor i benvitt och bl\u00e5tt.\n\n\u00bbJag talade med en \u00f6verste Martinson eller Martindale. Har skrivit upp namnet. En s\u00e5n d\u00e4r h\u00e5rd kvickt\u00e4nkt teknokrat som gjort det till sin religion att vara smart. Han kan alla uttryck, han beh\u00e4rskar jargongen perfekt. Om man beh\u00e4rskar vara-smart-spr\u00e5ket \u00e4r det ingen risk att man blir f\u00f6rkyld eller f\u00e5r parkeringsb\u00f6ter eller d\u00f6r.\u00ab\n\n\u00bbVar han i uniform?\u00ab sa Bill.\n\n\u00bbDet var han f\u00f6r smart f\u00f6r. Han sa att det inte kunde bli n\u00e5n presskonferens i dag. De hann inte f\u00e5 fram en s\u00e4ker lokal. Han sa att v\u00e5r v\u00e4n George \u00e4r en intressant sorts akademiker. Hans namn f\u00f6rekommer i en adressbok som hittades av polisen n\u00e4r de gjorde razzia i en v\u00e5ning n\u00e5nstans i Frankrike \u2013 en bombfabrik. Och han har blivit fotograferad i s\u00e4llskap med k\u00e4nda terroristledare.\u00ab\n\n\u00bbVarenda m\u00f6rdare har en talesman.\u00ab\n\n\u00bbDu \u00e4r n\u00e4stan lika smart som \u00f6versten. Han talade faktiskt om dig. Han sa att du borde ta f\u00f6rsta b\u00e4sta plan och resa hem igen. Han kan ordna det.\u00ab\n\n\u00bbHur vet han att jag \u00e4r h\u00e4r eller varf\u00f6r jag \u00e4r h\u00e4r eller vem jag \u00e4r?\u00ab\n\n\u00bbEfter de f\u00f6rsta telefonhoten\u00ab, sa Charlie.\n\n\u00bbJag trodde att jag var den oanm\u00e4lde g\u00e4sten. Men du sa till George att jag var h\u00e4r. Och nu den h\u00e4r \u00f6versten med sin borstiga mustasch.\u00ab\n\n\u00bbJag blev tvungen att uppge namnen p\u00e5 alla inbjudna till presstr\u00e4ffen. P\u00e5 grund av samtalen. Polisen m\u00e5ste ha en lista. Och \u00e4rligt talat ber\u00e4ttade jag det f\u00f6r George dagen innan eftersom jag trodde att det skulle underl\u00e4tta. Allt som kan underl\u00e4tta.\u00ab\n\n\u00bbVarf\u00f6r vill \u00f6versten att jag ska resa hem?\u00ab\n\n\u00bbHan s\u00e4ger att enligt hans k\u00e4llor kan du vara i fara. Han antydde att du skulle vara v\u00e4rd bra mycket mer f\u00f6r gruppen i Beirut \u00e4n den gisslan de har nu. Uppfattningen \u00e4r att han \u00e4r f\u00f6r obem\u00e4rkt.\u00ab\n\nBill skrattade.\n\n\u00bbDet hela \u00e4r s\u00e5 sv\u00e5rt att tro p\u00e5 att jag n\u00e4stan inte tror p\u00e5 det.\u00ab\n\n\u00bbMen visst tror vi p\u00e5 det. Det m\u00e5ste vi g\u00f6ra. Det strider inte mot logikens eller naturens lagar. Det \u00e4r otroligt bara i ytligaste bem\u00e4rkelse. Bara ytliga m\u00e4nniskor envisas med att inte tro. Du och jag vet b\u00e4ttre. Vi f\u00f6rst\u00e5r hur det g\u00e5r till n\u00e4r verkligheten uppfinns. En person sitter i ett rum och t\u00e4nker en tanke och den sipprar ut i v\u00e4rlden. Varje tanke \u00e4r till\u00e5ten. Och det finns inte l\u00e4ngre en moralisk eller rumslig distinktion mellan tanke och handling.\u00ab\n\n\u00bbDu b\u00f6rjar l\u00e5ta som jag, stackars j\u00e4vel.\u00ab\n\nDe fortsatte under tystnad. Sedan sa Charlie n\u00e5got om vilken fin dag det var. De intog skickligt en undvikande h\u00e5llning och valde sina samtals\u00e4mnen med omsorg. De beh\u00f6vde lite avst\u00e5nd f\u00f6r att l\u00e5ta fr\u00e5gan svalna.\n\nSedan sa Bill: \u00bbHur planerar de att f\u00f6rs\u00e4tta mig i en gisslansituation?\u00ab\n\n\u00bbJa inte vet jag. Locka dig \u00f6sterut p\u00e5 n\u00e5t s\u00e4tt. \u00d6versten sv\u00e4vade p\u00e5 m\u00e5let d\u00e4r.\u00ab\n\n\u00bbDet klandrar vi v\u00e4l honom inte f\u00f6r?\u00ab\n\n\u00bbVerkligen inte. Han sa att dynamiten var Semtex H. En begr\u00e4nsad m\u00e4ngd. De hade kunnat ta ner hela huset om de velat.\u00ab\n\n\u00bbVilken njutning f\u00f6r \u00f6versten att kunna sl\u00e4nga ur sig den d\u00e4r beteckningen.\u00ab\n\n\u00bbMaterialet kommer fr\u00e5n Tjeckoslovakien.\u00ab\n\n\u00bbVisste du det?\u00ab\n\n\u00bbNej.\u00ab\n\n\u00bbD\u00e4r ser du vad dumma vi \u00e4r.\u00ab\n\n\u00bbVar bor du n\u00e5nstans, Bill? Vi m\u00e5ste faktiskt veta det.\u00ab\n\n\u00bbJag \u00e4r \u00f6vertygad om att \u00f6versten vet det. Forts\u00e4tt bara och ordna med presstr\u00e4ffen. Jag kom hit f\u00f6r att l\u00e4sa lite dikter och det t\u00e4nker jag g\u00f6ra ocks\u00e5.\u00ab\n\n\u00bbIngen vill l\u00e5ta sig skr\u00e4mmas. Men faktum kvarst\u00e5r\u00ab, sa Charlie.\n\n\u00bbJag \u00e5ker tillbaka till hotellet nu. Jag ringer dig vid tolvtiden i morgon. Skaffa fram en ny lokal s\u00e5 g\u00f6r vi det vi kom hit f\u00f6r.\u00ab\n\n\u00bbJag tycker att vi ska \u00e4ta middag ihop, bara du och jag. Vi pratar om n\u00e5t helt annat.\u00ab\n\n\u00bbJag undrar jag vad det kan vara.\u00ab\n\n\u00bbJag vill ha boken f\u00f6r satan.\u00ab\n\nDet var ett vitt vidstr\u00e4ckt utrymme, avdelat i flera niv\u00e5er, d\u00e4r folk hade samlats under r\u00f6rledningar och sprinklers och spotlights, och stod och sm\u00e5pratade \u00f6ver silverdrinkar. V\u00e4ggarna var beh\u00e4ngda med verk av nu levande ryska konstn\u00e4rer, i huvudsak stora f\u00e4rgsprakande dukar, supernationella m\u00e5lningar, anspr\u00e5ksfulla och p\u00e5stridiga.\n\nBrita r\u00f6rde sig i sidled genom tr\u00e4ngseln, kryssade fram med h\u00f6jt glas, medveten om blickarnas v\u00e4xelspel, hur \u00f6gon f\u00f6rt\u00e4r sin f\u00f6da och insuper ansikten, h\u00e4ckar, brokadjackor, r\u00e5sidenskjortor, hur kroppar ofrivilligt lutas mot n\u00e5gon k\u00e4nd person strax bredvid, hur m\u00e4nniskor f\u00f6r ett samtal och lyssnar p\u00e5 ett annat, hur alla krafter riktas \u00e5t ett annat h\u00e5ll, ett skimmer i n\u00e4rheten, hela formen och tillst\u00e5ndet och historien som r\u00f6r denna stund av sanning. Det tycktes finnas ett imagin\u00e4rt fokus f\u00f6r det dominerande intresset, en skiftande klunga i mitten d\u00e4r konversationen \u00e4gde rum, trots att alla i lokalen oavl\u00e5tligt var medvetna om gatan p\u00e5 andra sidan spegelglasf\u00f6nstren. P\u00e5 s\u00e4tt och vis var det f\u00f6r folket p\u00e5 gatan som de var h\u00e4r. De visste precis vilket intryck de gjorde p\u00e5 m\u00e4nniskor som gick eller k\u00f6rde f\u00f6rbi, p\u00e5 st\u00e5ende passagerare i packade bussar. De gjorde intryck av att sv\u00e4va fritt utanf\u00f6r v\u00e4rlden. De var bara konstsnyltare men de gjorde intryck av att vara privilegierade och oantastliga, \u00f6verjordiska sj\u00e4lar belysta i det tilltagande m\u00f6rkret. De ingick i en gemensam stillhet, som fick dem att framst\u00e5 som etsade. Den tillf\u00e4lliga scenen gjorde d\u00e4rigenom anspr\u00e5k p\u00e5 best\u00e4ndighet, som om de trodde att de skulle st\u00e5 kvar h\u00e4r om tusen n\u00e4tter, viktl\u00f6sa och utan att svettas, och v\u00e4cka en smula beundran hos de f\u00f6rbipasserande.\n\nDet tog en stund f\u00f6r henne att komma fram till tavlan som hade lockat henne. Ett silkscreentryck p\u00e5 duk som m\u00e4tte omkring en och femtio g\u00e5nger en och \u00e5ttio. Det hade titeln _Gorby I_ och visade den sovjetiske ledarens huvud och tv\u00e4rhuggna axlar mot en bakgrund i bysantinskt guld, oj\u00e4mna penseldrag, expressiva och tidspr\u00e4glade. Hans hy hade tevemakeupens r\u00f6dbrusiga ton och han hade f\u00e5tt ett p\u00e5l\u00e4gg av blont h\u00e5r, r\u00f6tt l\u00e4ppstift och bl\u00e5gr\u00f6n \u00f6gonskugga. Kostym och slips var kolsvarta. Brita funderade p\u00e5 om duken m\u00f6jligen var mer warholsk \u00e4n avsett, bortom all parodi, hommage, kommentar och appropriering. Det bodde sextusen experter p\u00e5 Warhol inom ett par kvadratkilometer fr\u00e5n det h\u00e4r galleriet och allt var redan sagt och alla diskussioner hade f\u00f6rts men hon kunde t\u00e4nka sig att hon i denna enda tavla kunde sk\u00f6nja ett slutgiltigt uttalande om konstn\u00e4rens upph\u00e4velse och h\u00e4nf\u00f6relsen \u00f6ver den offentliga gestalten, om hur det \u00e4r m\u00f6jligt att sm\u00e4lta ihop bilder som Michail Gorbatjovs och Marilyn Monroes, att stj\u00e4la auran fr\u00e5n en Gyllene Marilyn och en D\u00f6dsvit Andy, och kanske sex andra f\u00f6reteelser dessutom. Hur som helst var det inte lustigt. Hon hade gjort sig besv\u00e4ret att ta sig genom rummet och titta n\u00e4rmare p\u00e5 denna lustiga fotoikon med sina f\u00e4rgskikt och det var inte lustigt alls. Kanske berodde det p\u00e5 begravningskostymen som Gorby hade p\u00e5 sig. Och k\u00e4nslan av att det var en l\u00e5tsasd\u00f6ds kosmetika, det tjocka ansiktspudret och den citrongula h\u00e5rf\u00e4rgen. Och det p\u00e5tagliga ekot av Marilyn och all d\u00f6dsromantik som pr\u00e4glade Andys verk. Brita hade fotograferat honom f\u00f6r flera \u00e5r sedan och nu h\u00e4ngde en av hennes bilder p\u00e5 en utst\u00e4llning lite l\u00e4ngre ner p\u00e5 Madison Avenue. Andys bild p\u00e5 duk, masonit, sammet, papper och acetat, Andy i metallf\u00e4rg, silkscreenbl\u00e4ck, blyerts, plast, bladguld, Andy i tr\u00e4, pl\u00e5t, vinyl, bomull och polyester, m\u00e5lad brons, Andy p\u00e5 vykort och pappersp\u00e5sar, som fotomosaik, multiexponeringar, f\u00e4rgserigrafier, polaroidkort. Andys skottskada, Andys Factory, Andy turistposerar i Beijing framf\u00f6r j\u00e4tteportr\u00e4ttet av Mao p\u00e5 det stora torget. Han hade sagt till henne: \u00bbHemligheten med att vara jag \u00e4r att jag \u00e4r h\u00e4r bara till h\u00e4lften.\u00ab Han fanns h\u00e4r hel och h\u00e5llen nu, \u00e5tervunnen genom skapande samband och kisade ut \u00f6ver folkhopen ur ett par polerade ryska \u00f6gon.\n\nBrita h\u00f6rde n\u00e5gon s\u00e4ga hennes namn. Hon v\u00e4nde sig om och s\u00e5g en ung kvinna i jeansjacka l\u00e5ngsamt forma ett Hej med l\u00e4pparna.\n\n\u00bbJag h\u00f6rde p\u00e5 din telefonsvarare att du kanske fanns h\u00e4r vid sju-\u00e5ttatiden.\u00ab\n\n\u00bbDet var avsett f\u00f6r mitt middagss\u00e4llskap.\u00ab\n\n\u00bbKommer du ih\u00e5g mig?\u00ab\n\n\u00bbKaren, eller hur?\u00ab\n\n\u00bbOch vad g\u00f6r jag h\u00e4r, va?\u00ab\n\n\u00bbJag tror inte jag v\u00e5gar fr\u00e5ga.\u00ab\n\n\u00bbJag \u00e4r h\u00e4r och letar efter Bill\u00ab, sa hon.\n\nHan l\u00e5g i s\u00e4ngen och stirrade ut i m\u00f6rkret. Det kved i tarmarna p\u00e5 v\u00e4nster sida d\u00e4r gaserna f\u00f6ljer en h\u00e5rn\u00e5lskurva vid mj\u00e4ltvecket. Han k\u00e4nde en slemklump dallra i svalget men han ville inte g\u00e5 upp ur s\u00e4ngen f\u00f6r att spotta ut den, s\u00e5 han svalde hela skiten, en hal sirapsaktig gegga. S\u00e5 h\u00e4r var hans liv beskaffat. Om n\u00e5gon n\u00e5gonsin skriver den sanna biografin \u00f6ver honom, kommer det att bli en f\u00f6rteckning \u00f6ver gaser i magen och hj\u00e4rtfladder, gnisslande t\u00e4nder och yrsel och kv\u00e4vningsk\u00e4nslor, med detaljerade beskrivningar av hur Bill stiger upp fr\u00e5n skrivbordet och g\u00e5r ut i badrummet och spottar ur sig snor och vi f\u00e5r se fotografier av elliptiska klumpar av celler, vatten, organiskt slem, mineralsalter och nikotinst\u00e4nk. Eller lika l\u00e5nga och detaljerade beskrivningar av hur Bill ligger kvar och sv\u00e4ljer. Det var vad han hade att v\u00e4lja mellan, hans dagar och n\u00e4tter. Den som levde ensam hade en ben\u00e4genhet att samla \u00f6gonblick som annars skulle uppl\u00f6sas i den h\u00e5rda tr\u00e4ngseln, kroppens rytm genom myllrande gator och rum. Han levde intensivt i dessa kosmiska sm\u00e5stunder. De h\u00e4ngde sig fast p\u00e5 honom. Han var en sittande producent av fj\u00e4rtar och rapningar. Det var s\u00e5dant han levde p\u00e5, harsklingar, slem och gaser. Han s\u00e5g sig sj\u00e4lv sitta och glo p\u00e5 h\u00e5rstr\u00e5na som lagrats i skrivmaskinen. Han b\u00f6jde sig \u00f6ver sina ovala tabletter och lyssnade till krasandet n\u00e4r kniven skar. I sin s\u00f6mnl\u00f6shet gick han igenom slagordningen f\u00f6r Cleveland Indians 1938. Detta var den sanne mannen, vaken med sina sp\u00f6ken. Han s\u00e5g dem st\u00e4lla upp med hela den rymliga optimism som fanns i de gamla dr\u00e4kterna, de sm\u00e5 solblekta basebollhandskarna. Namnen p\u00e5 basebollspelarna var hans aftonb\u00f6n, hans v\u00f6rdnadsfulla v\u00e4djan till Gud, i ordalag som i all evighet f\u00f6rblev desamma. Han gick bort till badrummet f\u00f6r att pissa eller spotta. Han stod vid f\u00f6nstret och dr\u00f6mde. Detta var mannen som han s\u00e5g sig sj\u00e4lv. En biograf som inte unders\u00f6kte dylikt (inte f\u00f6r att det n\u00e5gonsin skulle komma en biograf) kunde aldrig skaffa sig en insikt om avloppen, de sm\u00e5 undanskymda djupen i Bills sanna liv.\n\nHans bok, som bar en svag lukt av babydr\u00e4gel, stod alldeles utanf\u00f6r d\u00f6rren. Han h\u00f6rde dess dystra j\u00e4mmer, samma gravallvarliga ljud som v\u00e4llde upp ur magen p\u00e5 honom.\n\nP\u00e5 morgonen knackade det p\u00e5 d\u00f6rren. Bill satt i en stol, p\u00e5kl\u00e4dd med undantag f\u00f6r strumpor och skor, och klippte sina bruna t\u00e5naglar. Bes\u00f6karen var George Haddad. Bill blev bara en aning f\u00f6rv\u00e5nad. Han gick och satte sig igen och fortsatte ansningen. George st\u00e4llde sig i ett kalt h\u00f6rn med armarna i kors.\n\n\u00bbJag t\u00e4nkte att vi skulle prata lite\u00ab, sa han. \u00bbJag fick f\u00f6r mig att vi blev n\u00e5got h\u00e4mmade i den behj\u00e4lplige mr Eversons s\u00e4llskap. Dessutom \u00e4r det sv\u00e5rt att f\u00f6ra ett konstruktivt samtal n\u00e4r bomber exploderar. Och man kan \u00e4nd\u00e5 inte prata i London. Det \u00e4r v\u00e4stv\u00e4rldens senaste spr\u00e5kh\u00e5l.\u00ab\n\n\u00bbVad har vi att prata om?\u00ab\n\n\u00bbDen h\u00e4r gossen kan inte r\u00e4ddas. Jag s\u00e4ger inte ens friges. Han kan inte r\u00e4ddas, hans liv \u00e4r i fara s\u00e5vida vi inte kan agera utan p\u00e5tryckningar fr\u00e5n olika organisationer och st\u00e4ndig polis\u00f6vervakning.\u00ab\n\n\u00bbDu sa att hans frihet \u00e4r knuten till media. Ska vi agera utan dem?\u00ab\n\n\u00bbLondon har misslyckats. Var och en g\u00e5r omkring med sitt eget manuskript. Ingen talar om id\u00e9er. Jag tror att vi m\u00e5ste minska omfattningen p\u00e5 den h\u00e4r operationen.\u00ab\n\n\u00bbDet har bomben redan sett till.\u00ab\n\n\u00bbSk\u00e4ra ner den radikalt. Du och jag m\u00e5ste lita p\u00e5 varandra s\u00e5 pass att vi kan b\u00f6rja om p\u00e5 nytt, bara vi tv\u00e5, n\u00e5n annanstans. Jag bor i Aten numera. Jag h\u00e5ller i ett seminarium p\u00e5 hellensk-amerikanska institutet. Det \u00e4r mycket m\u00f6jligt, fast jag kan inte lova s\u00e4kert, men det \u00e4r mycket m\u00f6jligt att jag kan ordna s\u00e5 att du f\u00e5r tr\u00e4ffa den ende som de facto kan \u00f6ppna k\u00e4llard\u00f6rren och sl\u00e4ppa gisslan fri.\u00ab\n\nBill sa ingenting. Det gick en stund. George satte sig i stolen vid f\u00f6nstret.\n\n\u00bbDet var en sak jag ville fr\u00e5ga h\u00e4romkv\u00e4llen.\u00ab\n\n\u00bbVad\u00e5?\u00ab\n\n\u00bbAnv\u00e4nder du ordbehandlare?\u00ab\n\nBill satt med h\u00f6gra foten inb\u00f6jd i v\u00e4nster hand och h\u00f6ll p\u00e5 att lirka in saxens b\u00f6jda sk\u00e4r under kr\u00f6ken p\u00e5 stort\u00e5ns h\u00e5rda tjocka nagel och han hejdade sig som hastigast, sn\u00f6rpte p\u00e5 munnen och skakade p\u00e5 huvudet.\n\n\u00bbJag m\u00e4rker n\u00e4mligen att det vore ot\u00e4nkbart f\u00f6r mig att fungera utan en s\u00e5n. Flytta ord, stycken, flytta hundra sidor plus snabbr\u00e4ttelser. N\u00e4r jag f\u00f6rbereder f\u00f6rel\u00e4sningar m\u00e4rker jag att datorn hj\u00e4lper mig att organisera tankarna, ger mig en text som g\u00e5r att bearbeta. F\u00f6r en man som tydligen skriver om och finslipar s\u00e5 mycket som du borde en ordbehandlare vara en ren v\u00e4lsignelse.\u00ab\n\nBill skakade p\u00e5 huvudet.\n\n\u00bbGivetvis har jag fr\u00e5gat mig vad du kan f\u00e5 ut av att resa till Aten under omst\u00e4ndigheter som kan kallas \u2013 vad ska vi kalla omst\u00e4ndigheterna, Bill?\u00ab\n\n\u00bbDunkla.\u00ab\n\n\u00bbJag har fr\u00e5gat mig varf\u00f6r skulle han s\u00e4ga ja? Vad har han att vinna p\u00e5 det?\u00ab\n\n\u00bbOch vad fick du f\u00f6r svar?\u00ab\n\n\u00bbDu har inget att vinna. Det finns inga garantier f\u00f6r att du uppn\u00e5r ett enda dugg. Det finns bara risker. Vilken r\u00e5dgivare som helst skulle betona de personliga riskerna.\u00ab\n\n\u00bbJag m\u00e5ste k\u00f6pa en skjorta\u00ab, sa Bill.\n\n\u00bbDet g\u00e5r att f\u00f6ra ett samtal i Aten. Bakom det rasande tempot d\u00e4r finns n\u00e5got som jag tycker leder till f\u00f6rnuft och lugn, till l\u00f6sning av konflikter. I och f\u00f6r sig tror jag inte att det finns n\u00e5gra djupg\u00e5ende mots\u00e4ttningar mellan oss p\u00e5 ett teoretiskt plan. Snarare tv\u00e4rtom. Vi kommer att f\u00f6ra en dialog, Bill. Utan h\u00e4msko. Ingen kommer dit och l\u00e4gger upp riktlinjer och utf\u00e4rdar ultimatum. Jag har en terrass med vidunderlig utsikt.\u00ab\n\nBill \u00e5t frukost med l\u00e4karna. Strax f\u00f6re tolv packade han sin v\u00e4ska och stannade i d\u00f6rr\u00f6ppningen och s\u00e5g sig om i rummet f\u00f6r att f\u00f6rs\u00e4kra sig om att han inte hade gl\u00f6mt n\u00e5got. Han gick ner i foaj\u00e9n, betalade och gick n\u00e5gra kvarter till en taxistation. Se v\u00e4nster. Se h\u00f6ger. Han s\u00e5g framf\u00f6r sig hur Charlie stod framf\u00f6r spegeln och kn\u00f6t en stilig slips och v\u00e4ntade p\u00e5 att telefonen skulle ringa. En svart taxi kom runt h\u00f6rnet och det bl\u00e4nkte om den h\u00e5rt polerade lacken n\u00e4r den k\u00f6rde mot honom. Han klev in, rullade ner rutan och sj\u00f6nk tillbaka. F\u00f6r f\u00f6rsta g\u00e5ngen t\u00e4nkte han p\u00e5 gisslan.\n\n#  10\n\nDET var l\u00e5ngt in i maj nu och Scott h\u00f6ll fortfarande p\u00e5 med sina listor, skrev listor p\u00e5 saker som m\u00e5ste g\u00f6ras, gjorde sakerna, gick vidare projekt f\u00f6r projekt, rum f\u00f6r rum. Naturligtvis var listorna \u00f6ver saker ocks\u00e5 saker. En punkt p\u00e5 en lista kunde leda till en helt ny lista. Han visste att om han inte aktade sig kunde han k\u00f6ra fast i listteori och tappa \u00f6verblicken \u00f6ver det som m\u00e5ste g\u00f6ras. Det var sk\u00f6nt med listor, stramt och rent. Skriva listan, pricka av punkt f\u00f6r punkt vartefter uppgifterna blev utf\u00f6rda. Det var ett litet n\u00f6je, ett s\u00e4tt att arbeta sig mot en ny sorts verklighet.\n\nHan visste var Karen h\u00f6ll hus men inte ett ord fr\u00e5n Bill, den j\u00e4veln.\n\nHan gick genom huset, skrev upp allt som m\u00e5ste \u00e5tg\u00e4rdas, fast besluten att \u00e5tg\u00e4rda detta, r\u00e4kningar, post, en del sm\u00e4rre reparationer, hela omorganisationen av arkivet. Meningen med listorna och uppgifterna tycktes vara att n\u00e4r man utr\u00e4ttat sitt uppdrag och strukit \u00f6ver motsvarande punkt p\u00e5 listan, n\u00e4r man knycklat ihop och sl\u00e4ngt bort alla listor och till slut stod p\u00e5 egna ben i en listfri omgivning, f\u00f6rskonad fr\u00e5n kontakt med ytterv\u00e4rlden, hade man bevisat f\u00f6r sig sj\u00e4lv att man kunde forts\u00e4tta ensam.\n\nHan satt vid skrivbordet i arbetsrummet nu och rengjorde skrivmaskinen. Han bl\u00e5ste p\u00e5 tangenterna och tog bort damm och h\u00e5rstr\u00e5n fr\u00e5n filtunderl\u00e4gget med en fuktig trasa. Han drog ut l\u00e5dan till v\u00e4nster medan han grubblade p\u00e5 n\u00e4sta mer omfattande punkt p\u00e5 listan, en plan f\u00f6r ett nytt system f\u00f6r l\u00e4sarposten. L\u00e5dan inneh\u00f6ll ett par gamla armbandsklockor och n\u00e5gra frim\u00e4rken, gummiband, suddgummin och utl\u00e4ndska mynt.\n\nBill var inte en listskrivande romanf\u00f6rfattare. Han tyckte att meningar f\u00f6rlorade tyngd och sk\u00e4rpa om de blev f\u00f6r utt\u00e4njda och han fann tydligen inte den minsta gl\u00e4dje i att systematisera eller numrera, att tr\u00e4nga in i hur saker eller ord \u00e4r besl\u00e4ktade, dessa andl\u00f6sa meningar som pulserar av ny livslust.\n\nScott st\u00e4llde sig upp och tittade p\u00e5 v\u00e4ggdiagrammen, ritningarna \u00f6ver Bills o\u00e4ndliga bok. Under sina drygt \u00e5tta \u00e5r h\u00e4r hade han aldrig kunnat komma s\u00e5 n\u00e4ra. Stora brunfl\u00e4ckiga ark fyllda av mystiskt klotter. Till och med tejpen som f\u00e4ste papperet mot v\u00e4ggen hade gulnat av solen och b\u00f6rjade lossna. Det h\u00e4r var intressant att studera, alla pilar och kr\u00e5kf\u00f6tter och sm\u00e5 illustrationer, strecken som band ihop olikartade element. Det fanns n\u00e5got primitivt och tappert \u00f6ver det. Det var \u00e5tminstone s\u00e5 Scott uppfattade det n\u00e4r han granskade arken. Teman och personer som str\u00e4vade mot varandra, sammanl\u00e4nkade av snirklar och tankstreckssp\u00e5r, i ett fanatiskt behov att flyta ihop och f\u00f6rbli. Bills t\u00e5lmodiga bok. Och Bills egen skrovliga r\u00f6st under ett av hans renhj\u00e4rtade halvberusade tillst\u00e5nd f\u00f6r ett par \u00e5r sedan n\u00e4r han sa: \u00bbHistorier \u00e4r meningsl\u00f6sa om de inte absorberar v\u00e5r skr\u00e4ck.\u00ab\n\nCharlie Everson besvarade inte hans samtal. I och f\u00f6r sig visste han inte var Bill fanns och skulle inte tala om det f\u00f6r Scott om han visste. Ingen visste. Det var sj\u00e4lva po\u00e4ngen med Bills f\u00f6rsvinnande efter vad Scott f\u00f6rstod. Scott f\u00f6rstod det som ett slags simulerad d\u00f6d.\n\nHan satte sig vid skrivbordet igen, b\u00f6jde ner huvudet \u00f6ver tangenterna och bl\u00e5ste h\u00e5rt.\n\nBill hade l\u00e5tit fotografera sig, inte f\u00f6r att han ville komma ut ur sitt g\u00f6mst\u00e4lle utan f\u00f6r att han ville g\u00f6mma sig \u00e4nnu mer. Han ville f\u00f6rnya villkoren f\u00f6r sin avskildhet, han beh\u00f6vde den kris som en exponering skulle ge honom f\u00f6r att f\u00e5 ett starkt sk\u00e4l att f\u00f6rdjupa sin isolering. F\u00f6r m\u00e5nga \u00e5r sedan gick det rykten om att Bill var d\u00f6d, Bill bodde p\u00e5 Manitoba, Bill levde under falskt namn, Bill skulle aldrig skriva ett ord till. Det var de \u00e4ldsta historierna i v\u00e4rlden och de handlade mindre om Bill \u00e4n om m\u00e4nniskors behov av att skapa mysterier och legender. Nu h\u00f6ll Bill p\u00e5 att inr\u00e4tta sitt eget kretslopp av d\u00f6d och \u00e5teruppst\u00e5ende. Det p\u00e5minde Scott om stora ledare som st\u00e4rker sin makt genom att f\u00f6rsvinna sp\u00e5rl\u00f6st och sedan iscens\u00e4tta messianska \u00e5terkomster. Mao Zedong f\u00f6rst\u00e5s. Mao blev d\u00f6df\u00f6rklarad m\u00e5nga g\u00e5nger i pressen \u2013 d\u00f6d eller senil eller f\u00f6r sjuk f\u00f6r att sk\u00f6ta en revolution. H\u00e4romdagen hade Scott st\u00f6tt p\u00e5 ett fotografi av Mao som tagits under hans ber\u00f6mda femtonkilometerssimtur vid sjuttiotv\u00e5 \u00e5rs \u00e5lder, strax efter ett l\u00e5ngvarigt f\u00f6rsvinnande. Maos gamla huvud med sin svarta f\u00e4ll som stack upp ur Yangtsefloden, gudomligt och komiskt.\n\nHan drog ut l\u00e5dan till h\u00f6ger och hittade fler utl\u00e4ndska mynt, n\u00e5gra gem och utg\u00e5ngna k\u00f6rkort. Han visste var Karen fanns, hon gick med tomt ansikte p\u00e5 Manhattan och alla receptorer p\u00e5 h\u00f6gvarv. N\u00e4sta st\u00f6rre punkt var l\u00e4sarposten, att uppl\u00f6sa den alfabetiska ordningen och ordna breven geografiskt, land f\u00f6r land, delstat f\u00f6r delstat.\n\nHan b\u00f6jde ner huvudet \u00f6ver tangenterna och bl\u00e5ste.\n\nHan lyfte framkanten p\u00e5 skrivmaskinen och avl\u00e4gsnade damm och h\u00e5rstr\u00e5n genom att gnida med den fuktiga trasan \u00f6ver underl\u00e4gget.\n\nMao anv\u00e4nde fotografier f\u00f6r att offentligg\u00f6ra sin \u00e5terkomst och demonstrera sin vitalitet, f\u00f6r att ge ny inspiration \u00e5t revolutionen. Bills fotografi var en d\u00f6dsannons. Hans bild hade inte visats \u00e4n och han var redan borta. Det var den avg\u00f6rande v\u00e4ndpunkt han beh\u00f6vde f\u00f6r att f\u00f6rsvinna helt och h\u00e5llet, ocks\u00e5 fr\u00e5n dem han \u00e4lskat och litat p\u00e5 alla dessa \u00e5r. Han skulle \u00e5terkomma p\u00e5 sitt eget s\u00e4tt och leva n\u00e5gon annanstans, \u00e4nnu mer avl\u00e4gset, under en eller annan form av f\u00f6rkl\u00e4dnad. Scott trodde att fotografiet skulle g\u00f6ra Bill \u00e4ldre. Inte \u00e4ldre p\u00e5 bilden men \u00e4ldre i sig sj\u00e4lv, s\u00e5 snart fotografiet var ett faktum. Fotografiet skulle medverka till hans f\u00f6rvandling. Det skulle visa honom hur han s\u00e5g ut i andras \u00f6gon och ge honom en best\u00e4md utg\u00e5ngspunkt som han kunde avl\u00e4gsna sig fr\u00e5n. V\u00e5ra portr\u00e4tt l\u00e5ter oss v\u00e4lja. Vi f\u00e4rdas mot eller bort fr\u00e5n v\u00e5ra fotografier.\n\nHan drog ut mittenl\u00e5dan och hittade en smal svart borste, n\u00e5gra frim\u00e4rken, n\u00e5gra gummiband och gamla blymynt och en flaska korrigeringsf\u00e4rg till skrivmaskinen.\n\nBill skulle \u00e5terv\u00e4nda till boken. Det var det v\u00e4sentliga med Bills \u00e5terkomst. Han skulle arbeta p\u00e5 romanen med f\u00f6rnyad energi, sk\u00e4ra ner den, rensa den, kl\u00e4 av den in p\u00e5 bara kroppen. Han var en ny man nu. Den rekonstruerade hemligheten gav honom styrka. Scott s\u00e5g framf\u00f6r sig hur han satt hopsjunken \u00f6ver ett skrivbord och brukade ordets gamla magra marker.\n\nHan tog av skrivmaskinsh\u00f6ljet och rengjorde typarmarna med den svarta borsten.\n\nHan b\u00f6jde ner huvudet \u00f6ver tangenterna och bl\u00e5ste.\n\nKarens liv hade f\u00f6rlorat sitt centrum sedan Bill g\u00e5tt under jorden. Hon var bara ett r\u00f6 f\u00f6r vinden. Scott saknade henne mer \u00e4n han hade ord f\u00f6r. Det han hade kvar var minnet av kroppen, den tidl\u00f6sa formen och rytmen och hennes s\u00e4tt att sp\u00e4nna sig i en b\u00e5ge, dimmig i blicken av halvskr\u00e4ck f\u00f6r det som n\u00e4rmade sig, och sedan alla ljud som br\u00f6t ut i deras sista dr\u00f6jande anslag. Det hade smultit ner till en t\u00e4ndsticksl\u00e5ga i hj\u00e4rnan p\u00e5 honom. Han b\u00e5de hatade henne och l\u00e4ngtade intensivt efter henne. Hon var den enda k\u00e4rleken, den \u00e5terkommande f\u00f6rv\u00e5ningen, n\u00e5gon som man kunde dr\u00f6mma om som sin syster och sedan vakna upp och hitta bredvid sig i s\u00e4ngen, utan skam eller konflikt. Varje g\u00e5ng hon h\u00f6rde det knarra i golvet trodde hon att det var en bev\u00e4pnad attack. St\u00e4ndigt p\u00e5 obeskrivbar vakt. Hon brukade s\u00e4ga: Om folk visste vad jag t\u00e4nkte skulle de sp\u00e4rra in mig p\u00e5 livstid. D\u00e5 skulle de sp\u00e4rra in oss allihop, svarade han d\u00e5. De m\u00e5ste sp\u00e4rra in oss. Vi blir insp\u00e4rrade f\u00f6r v\u00e5ra tankar, p\u00e5 ett eller annat s\u00e4tt. Vi har sj\u00e4lva sp\u00e4rrat in oss, sa han. Sk\u00f6nt med listor. De gamla svarta tangenterna var kladdiga efter \u00e5r av nerv\u00f6st fingrande. Han tog den fuktiga trasan och gned en tangent i taget. Uppr\u00e4tth\u00e5llandet av alla dessa best\u00e4mda sm\u00e5 uppdrag ingav en k\u00e4nsla av lycka, av v\u00e4rdighet.\n\nEverson knep k\u00e4ft i sitt tornf\u00e4ste. Mao simmandes i sin flod. Kv\u00e4llen innan hade Scott sett ett inslag p\u00e5 teve filmat av en turist n\u00e5gonstans p\u00e5 kinesiska landsbygden och det handlade om underliga saker, det handlade om en kinesisk kristen sekt som h\u00f6ll m\u00f6te vid en flod och de var mitt uppe i en kollektiv himmelsf\u00e4rd med unga m\u00e4n och kvinnor som klev ut i floden med uppstr\u00e4ckta armar, vacklade, snurrade, m\u00e5nga drogs med nerstr\u00f6ms. Filmbilderna var skakiga och hade ett hallucinatoriskt uttryck, en onormal subjektivitet, det var den sortens of\u00f6rberedda amat\u00f6rsvepande som var sv\u00e5rt att lita p\u00e5, men de k\u00f6rde slow motion och fr\u00f6s bilder och de ringade in flytande huvuden och sedan tog de om hela filmen fr\u00e5n b\u00f6rjan, vitkl\u00e4dda m\u00e4nniskor som marscherar ner i floden tv\u00e5 eller tre p\u00e5 rad, med armarna fortfarande uppstr\u00e4ckta efter det att huvudena f\u00f6rsvunnit. Och Karen var inte h\u00e4r och kunde se det. En riktig godbit f\u00f6r v\u00e5ran Karen. Och Karen som ett r\u00f6 f\u00f6r vinden. Han tittade p\u00e5 v\u00e4ggdiagrammen. Han skulle kunna ordna l\u00e4sarposten geografiskt eller kanske efter boktitel, fast det fanns m\u00e5nga brev som h\u00e4nvisade till b\u00e5da b\u00f6ckerna eller ingen av dem, de filosoferande breven, historierna om f\u00f6rfattarambitioner, sakfr\u00e5gorna och struntpratet. Bill g\u00f6mde sig f\u00f6r sitt fotografi. Han hade iscensatt hela den f\u00f6rbannade historien p\u00e5 samma j\u00e4vla s\u00e4tt som han utvecklat olika impressionistiska kr\u00e4mpor f\u00f6r att kunna h\u00e5lla dem under kontroll med l\u00e4kemedel.\n\nHan b\u00f6jde ner huvudet \u00f6ver tangenterna och bl\u00e5ste.\n\nHan drog ut den nedre l\u00e5dan till h\u00f6ger, det djupa facket som var avsett f\u00f6r h\u00e4ngmappar, och hittade n\u00e5gra gamla pass, gamla bankb\u00f6cker, han hittade n\u00e5gra vykort fr\u00e5n dottern Liz.\n\nBills \u00e5terkomst kunde f\u00f6rst\u00e5s inte bli fullst\u00e4ndig utan Scott. N\u00e4r tiden var inne skulle Bill ta kontakt med honom. Ett telefonsamtal, n\u00e5gra f\u00e5 knapph\u00e4ndiga instruktioner. Scott skulle sk\u00f6ta allt med huset och m\u00f6blerna, allt det juridiska med att s\u00e4lja och sl\u00e5 igen, och han skulle \u00e4gna mycken tid \u00e5t att packa manuskript och b\u00f6cker och skicka dem till Bill, d\u00e4refter planera de sista diskreta f\u00f6rberedelserna, g\u00f6ra de sista sm\u00e5 sakerna och k\u00f6ra i v\u00e4g i den l\u00e5nga natten och komma till Bill och b\u00f6rja deras nya liv.\n\nDet fanns en packe brev fr\u00e5n Bills syster. Han visste att Bill hade vuxit upp med en \u00e4ldre syster p\u00e5 olika platser i mellanv\u00e4stern och Great Plains men det senaste brevet var elva \u00e5r gammalt s\u00e5 hon var kanske d\u00f6d. Han hittade Bills avskedspapper fr\u00e5n arm\u00e9n och n\u00e5gra f\u00f6rs\u00e4kringsbrev och ett dokument med \u00f6verskriften Personbevis. Papperet intygade att det fanns en registrerad f\u00f6delse p\u00e5 folkbokf\u00f6ringskontoret i Des Moines, Iowa. Nertill p\u00e5 sidan var det st\u00e4mplat Handelskammaren. Datumet p\u00e5 dokumentet st\u00e4mde \u00f6verens med Bills f\u00f6delsedatum, vilket Scott ofta hade sett p\u00e5 blanketter och formul\u00e4r, och barnets namn var Willard Skansey jr.\n\nHan b\u00f6jde ner huvudet \u00f6ver tangenterna och bl\u00e5ste.\n\nHan flyttade \u00f6ver skrivmaskinen och andra saker till elementskyddet och drog med den fuktiga trasan \u00f6ver skrivbordsytan.\n\nHan tittade n\u00e4rmare p\u00e5 avskedspapperen fr\u00e5n arm\u00e9n och s\u00e5g samma namn d\u00e4r som p\u00e5 personbeviset.\n\nBill var ingen sj\u00e4lvbiografisk romanf\u00f6rfattare. Man kunde inte skrapa ihop material till ett livs\u00f6de genom att leta efter ledtr\u00e5dar i hans verk. Hans sav och m\u00e4rg, hans intellektuella sk\u00e4rpa, kunde sl\u00e4ngas ner p\u00e5 var och varannan sida, i mening efter mening, men ingenstans ett ord om hans f\u00f6rsta tid eller st\u00e4llen han bott p\u00e5 eller vilken sorts man hans far hade varit.\n\nHan st\u00e4llde tillbaka skrivmaskinen p\u00e5 skrivbordet.\n\nEn bankr\u00e5nares namn. Eller en tuff welterviktare fr\u00e5n trettiotalet med mittbena. En bankr\u00e5nare som l\u00e5g l\u00e5gt mellan st\u00f6tarna.\n\nHan l\u00e4ste n\u00e5gra av breven. Han l\u00e4ste vykorten fr\u00e5n Liz, han tittade p\u00e5 fotografierna i de makulerade passen och l\u00e4ste namnen p\u00e5 platserna som var st\u00e4mplade p\u00e5 de gulnade sidorna. Han flyttade stolen n\u00e4rmare f\u00f6nstret n\u00e4r skymningen kom och l\u00e4ste \u00e5terstoden av breven fr\u00e5n systern Clair, vanliga nyheter om v\u00e4der och barn och krupp, blekbl\u00e5tt bl\u00e4ck p\u00e5 linjerat papper.\n\nDet finns s\u00e5 mycket papper i det h\u00e4r huset.\n\nSedan t\u00e4nde han lampan och gick ut f\u00f6r att arbeta med sina listor tills det var dags f\u00f6r middag.\n\nHon talade med kvinnan som bodde i en sops\u00e4ck ett halvt kvarter fr\u00e5n Britas hus. Det var en person som visste en hel del om att stuva in och binda ihop. \u00d6verlevnad inneb\u00e4r att man l\u00e4r sig att begr\u00e4nsa det utrymme man ockuperar f\u00f6r att inte reta fientligt st\u00e4mda konkurrenter och det betyder ocks\u00e5 att man g\u00f6mmer allt man har inuti n\u00e5got annat s\u00e5 att det verkar som om man \u00e4ger en enda stor sak n\u00e4r det egentligen \u00e4r m\u00e5nga saker som \u00e4r instuvade och ombundna och placerade inuti varandra, en hemlig, stum v\u00e4rld av saker, plastkassar inuti plastkassar, och kvinnan finns n\u00e5gonstans d\u00e4r inne hon ocks\u00e5, nerstoppad i kassen med sina \u00e4godelar. Karen fr\u00e5gade henne vad hon \u00e5t, fick hon n\u00e5gonsin ett varmt m\u00e5l mat, fanns det n\u00e5got ni beh\u00f6ver som jag kan skaffa \u00e5t er. Praktiska saker. Kvinnan svarade knappt alls, tittade bara ut p\u00e5 henne, m\u00f6rk\u00f6gd och svart av den sortens sot som tr\u00e4nger in i huden och blir en bel\u00e4ggning.\n\nDet \u00e4r sv\u00e5rt att hitta r\u00e4tt spr\u00e5k f\u00f6r de lottl\u00f6sa. Ett enda f\u00f6rfluget ord och deras \u00f6gon blir tomma.\n\nHon s\u00e5g en man kryssa fram i tunnelbanan och s\u00e4ga: \u00bbJag har h\u00e5l i sidorna.\u00ab Tiggde inte ens pengar eller viftade med en plastmugg. Gick bara fr\u00e5n vagn till vagn med s\u00e5 d\u00e4r best\u00e4mda steg som man tvingas l\u00e4gga sig till med i tunnelbanan \u00e4ven om man \u00e4r m\u00f6rbultad i hela kroppen. Hon f\u00f6rs\u00f6kte l\u00e4sa de spanskspr\u00e5kiga instruktionerna f\u00f6r hur man skulle upptr\u00e4da i en n\u00f6dsituation. \u00bbJag har h\u00e5l i sidorna.\u00ab Det m\u00e5ste vara n\u00e5got med tunnlarna och kryptorna i staden som f\u00e5r folk att tro att de \u00e4r Jesus.\n\nP\u00e5 gatorna i Upper East sprang skolpojkar omkring med slipsar som pannband. De drog ut \u00f6glan s\u00e5 att den passade p\u00e5 huvudet med knuten \u00f6ver h\u00f6gra \u00f6rat och \u00e4nden h\u00e4ngande \u00f6ver axeln. Och sk\u00f6t med skolv\u00e4skorna. Med andra ord h\u00f6ll skolv\u00e4skan som en Uzi vid h\u00f6ften och sprutade l\u00e5tsaseld med plutande mun. Hemma var det bara katolska pojkar som hade skoluniform. Hon hade ett minne av nunnor i herrg\u00e5rdsvagnar och hur hon traskade mellan dem p\u00e5 en footballmatch. De gick i svart och vitt, hon i f\u00e4rg.\n\nDet var vattenledningsl\u00e4ckor och \u00e5ngpanneexplosioner, asbest som virvlade omkring \u00f6verallt, lera som slungades upp fr\u00e5n h\u00e5l i k\u00f6rbanan och folk stod \u00f6verallt och sa: \u00bbDet \u00e4r precis som Beirut, det liknar Beirut.\u00ab\n\nP\u00e5 bussen m\u00e5ste man trycka p\u00e5 en smal remsa f\u00f6r att ge signal f\u00f6re en h\u00e5llplats. Engelska p\u00e5 bussarna, spanska p\u00e5 tunnelbanan. Ge skynda-tid till alla m\u00e4nniska.\n\nSaxofonisten i vita sneakers satt p\u00e5 huk n\u00e4r han spelade, balanserade p\u00e5 t\u00e5rna med b\u00f6jda kn\u00e4n rakt upp, och skrapade n\u00e4stan med instrumentet i gatan, bussar, bilar, lastbilar, tidningar till salu p\u00e5 trottoaren, urgamla nummer av _Life_ och _Look_ , generositeten i de gamla omslagen, intrycket av medk\u00e4nsla och tr\u00f6st, deras s\u00e4tt att f\u00f6rl\u00e5ta oss \u00e5ren som g\u00e5tt, och saxspelaren sluter \u00f6gonen och nickar till klangerna.\n\nHemma i atelj\u00e9n tittade hon p\u00e5 ett fotografi som f\u00f6rest\u00e4ller flyktingar i ett l\u00e4ger, hela bilden \u00e4nda ut till kanterna best\u00e5r bara av pojkar som tr\u00e4ngs med varandra, de flesta vinkar ivrigt och h\u00e5ller upp bleka handflator, alla tittar \u00e5t samma h\u00e5ll, barhuvade pojkar, svarta ansikten, handflator som f\u00e5ngar skenet, och man vet att det finns tusentals till utanf\u00f6r bildkanten men mitt bland de hundratals synliga som vinkande tr\u00e4ngs och knuffas med varandra lade hon m\u00e4rke till en enda bekymrad vuxen, ett manshuvud som syns i \u00f6vre h\u00f6gra h\u00f6rnet och han har en stickad m\u00f6ssa p\u00e5 sig och handen n\u00e4ra pannan, m\u00f6jligen f\u00f6r att skydda \u00f6gonen mot skenet, och alla pojkar tittar mot kameran och han st\u00e5r diagonalt och kikar \u00f6ver huvudena och \u00f6ver ramen och ut ur bilden. Han ser inte ut som n\u00e5gon tj\u00e4nsteman eller ledare. Han \u00e4r en del av m\u00e4ngden men f\u00f6rsvunnen i den, han har fastnat d\u00e4r p\u00e5 sidan som \u00e4r fylld av vinkande pojkar, och ingenstans p\u00e5 bilden finns det en skymt av mark eller himmel eller horisont, det \u00e4r bara huvud och h\u00e4nder, och hon undrade om de vinkar efter mat, kasta hit maten, alla dessa grimaserande pojkar som tittar mot kameran. Finns det lastbilar med mat bakom kameran eller \u00e4r det bara kameran de vinkar mot, kameran som visar dem en v\u00e4g till maten? N\u00e5gon kommer med en kamera och de tror att det betyder mat. Och mannen med den fj\u00e4rrsk\u00e5dande blicken som inte t\u00e4nker p\u00e5 maten eller kameran utan p\u00e5 pojkhopen, hur han ska kunna komma undan innan de trampar ner honom.\n\nBrita sa: \u00bbDet g\u00f6r v\u00e4l inte mig n\u00e5t om du bor h\u00e4r ett tag. Men b\u00e5de du och jag vet att jag m\u00e5ste sl\u00e4nga ut dig endera dan och det blir snarare f\u00f6rr \u00e4n senare. Och jag lovar dig att h\u00e4r finns det ingen Bill.\u00ab\n\n\u00bbJag g\u00e5r inte och tittar efter honom p\u00e5 gatorna. Jag beh\u00f6ver bara komma bort fr\u00e5n Scott ett tag. Jag letar efter Bill inne i huvudet liksom, t\u00e4nker p\u00e5 var han kan vara.\u00ab\n\n\u00bbOch du och Scott.\u00ab\n\n\u00bbJag \u00e4lskar verkligen Scott p\u00e5 n\u00e4stan alla s\u00e4tt som betyder n\u00e5t. Gud vad hemskt det l\u00e4t. Gl\u00f6m att jag sa det. Vi bara slutade prata med varandra som vi gjorde f\u00f6rr. Vi hade helt enkelt inte ork att prata med varandra. Vi gjorde en tyst \u00f6verenskommelse om att k\u00f6ra det i botten och sen se vad som h\u00e4nder. Det handlade om att med avsikt l\u00e5ta det ligga och ruttna. Alldeles ensamma i Bills hus. Och vi talar om tv\u00e5 m\u00e4nniskor som hade ett inrutat schema f\u00f6r att saker skulle bli gjorda. Som brukade snacka om allt.\u00ab\n\nBrita reste sin v\u00e4g f\u00f6r att fotografera f\u00f6rfattare och l\u00e4mnade kvar nycklarna och lite pengar. Hon gav Karen muntliga och skriftliga instruktioner om mat \u00e5t katten och hur l\u00e5sen och larmsystemet fungerade och hon l\u00e4mnade telefonnummer och datum \u2013 San Francisco, Tokyo och Seoul.\n\nHon fick en f\u00f6rnimmelse av varningsskenet ute p\u00e5 gatan, k\u00e4nslan av att det gl\u00f6dde om henne, bilar och m\u00e4nniskor gl\u00f6dde, den elektriska rysningen l\u00e4ngs armen och sedan hela den sanna sm\u00e4rtan, sm\u00e4rtan i full omfattning n\u00e4r den kom str\u00f6mmande fr\u00e5n nervcellerna, ett hj\u00e4rnsp\u00e5r som gick s\u00e5 djupt att det kunde spr\u00e4cka huden. Hon fick sv\u00e5rt att se under n\u00e5gra sekunder, kanske en halv minut, eller kunde bara se skenet, intensiv vit skugga, och omt\u00f6cknad stod hon d\u00e4r hon stod och v\u00e4ntade p\u00e5 att gatan skulle tr\u00e4da fram igen s\u00e5 hon kunde g\u00e5 ut ur gl\u00f6den och komma in bland f\u00f6rem\u00e5l och ytor och orden vi f\u00f6rknippar dem med.\n\nHon tog en taxi tillbaka till huset. Hon b\u00f6rjade ta taxi \u00e4n hit \u00e4n dit, gula bilar k\u00f6rda av m\u00e4n fr\u00e5n Haiti, Iran, Sri Lanka, Jemen, de hade fantastiska namn \u2013 namn s\u00e5 f\u00f6runderliga att hon inte alltid kunde avg\u00f6ra om de stod med efternamnet f\u00f6rst eller i normal ordningsf\u00f6ljd. Karen pratade med dem. Hon var p\u00e5 drift i staden som sv\u00e4mmade \u00f6ver av ansikten och m\u00e5ste hitta s\u00e4tt att skilja dem \u00e5t. En man sa att han kom fr\u00e5n Jemen och hon f\u00f6rs\u00f6kte f\u00f6rest\u00e4lla sig var det kunde ligga. Hon talade med sikher och egyptier, hon ropade genom avsk\u00e4rmningen eller satte munnen till myntspringan och fr\u00e5gade om familjen eller hur var det med de religi\u00f6sa sederna, bad de sina b\u00f6ner v\u00e4nda mot \u00f6ster.\n\nHon s\u00e5g bilder av f\u00f6rsvunna barn p\u00e5 pappersp\u00e5sar och mj\u00f6lkpaket, p\u00e5 affischer uppklistrade p\u00e5 husv\u00e4ggarna, och sedan h\u00f6r man om kvinnor som ger bort nyf\u00f6dda, som l\u00e4gger nyf\u00f6dda barn i soporna. Hon kom till den h\u00e4r parken, s\u00e5g den fr\u00e5n en taxi. Hon s\u00e5g klotets normerande liv, kontorsfolket som gick \u00f6ver gatan nedanf\u00f6r glastornen, det liv som var att sitta p\u00e5 bussar som i logisk ordning tog en till olika destinationer, den f\u00f6rtroendeingivande lunkens obekymrade yta. S\u00e5g sovande kroppar i tunnlar och p\u00e5 ramper, \u00f6vert\u00e4ckta huvuden, sotsvarta f\u00f6tter, h\u00e5rt hoppackade f\u00f6rem\u00e5l tryckta mot kn\u00e4na.\n\nSony, Mita, Kirin, Magno, Midori.\n\nHon s\u00e5g dessa sotkindade m\u00e4nniskor k\u00f6ra kundvagnar fyllda med hoppackade saker och hon tyckte att de liknade fromma pilgrimer p\u00e5 \u00e4ndl\u00f6s vandring som m\u00f6jligen t\u00e4nkte alltmer p\u00e5 hur de skulle orka tio minuter till, i och med att de kommit till insikt om sina prioriteringar, och strunt i Jerusalem.\n\nHon b\u00f6rjade f\u00f6rest\u00e4lla sig bilder av m\u00e4nniskor som f\u00f6ll omkull p\u00e5 gatan. Hon kunde se en man som bara gick d\u00e4r och sedan fick han ett hugg i huvudet eller n\u00e5t s\u00e5nt och reste sig omt\u00f6cknad upp. Eller se en man kliva ut fr\u00e5n trottoarkanten och d\u00e5 g\u00f6ra sig en bild av en bil som kommer och sedan ligger han p\u00e5 gatan alldeles blodig.\n\nHon hamnade i den h\u00e4r parken. Det var ett st\u00e4lle dit man kom av en slump och tv\u00e4rstannade direkt. En t\u00e4ltstad. Hyddor och skjul \u2013 vindskydd \u2013 bl\u00e5 plastskynken som t\u00e4ckte vindskydden och gyttret av l\u00e5dor och fraktl\u00e5rar som folk bodde i. Ett flyktingl\u00e4ger eller den mest f\u00f6rfallna utkanten av n\u00e5gon dammig liten h\u00e5la. Det fanns en sn\u00e4ckestrad med sovplatser p\u00e5 scenen, ett par kroppar som r\u00f6rde sig, en h\u00f6g filtar som pl\u00f6tsligt ruskade p\u00e5 sig och d\u00e4r satt en man p\u00e5 kn\u00e4 och hostade blod. Hon gick med en sorts styvbent guppande g\u00e5ng som om hon ville driva med sin egen f\u00f6rsiktiga nyfikenhet eller d\u00f6lja sin f\u00f6rf\u00e4ran. Tr\u00e5dar av blod som fl\u00f6g ur munnen p\u00e5 honom. Det l\u00e5g insvepta kroppar p\u00e5 b\u00e4nkar, det h\u00e4ngde filtar p\u00e5 tork \u00f6ver st\u00e4ngslet till plaskdammen. Och de provisoriska skjulen draperade i bl\u00e5 skynken, kartongkojorna, kolkaminerna och rakspeglarna, den stigande r\u00f6ken fr\u00e5n eldar som t\u00e4nts i bensinfat. Det var en annan v\u00e4rld men n\u00e4rvarande med full kraft, en rad myllrande bilder med andedr\u00e4kt och kropp och \u00f6verallt ett spr\u00e5k som l\u00e4t som flerspr\u00e5kig engelska, som engelska i brottstycken och sm\u00e5bitar, uppl\u00f6st och misshandlad. M\u00e4nniskor i olika stadier av trasighet, vissa inte fullt s\u00e5 d\u00e5ligt utrustade med sina tillh\u00f6righeter nerpackade i mj\u00f6lkl\u00e5dor och shoppingvagnar. Hon s\u00e5g en man sitta i en hopfallen f\u00e5t\u00f6lj utanf\u00f6r sin fraktl\u00e5r och han liknade en skiss av en vanlig villa\u00e4gare p\u00e5 en skuggig gata. Han talade f\u00f6r sig sj\u00e4lv med normal r\u00f6st, en man med viss bildning, med en bakgrund som inneburit \u00e4godelar och relationer, det gick inte att ta miste p\u00e5. Han l\u00e4t klok och f\u00f6rnuftig n\u00e4r han talade med sig sj\u00e4lv och n\u00e4r han s\u00e5g Karen st\u00e5 d\u00e4r v\u00e4nde han sig direkt till henne som om de haft den h\u00e4r konversationen hela tiden. Och fr\u00e5n den plats d\u00e4r hon nu stod, ett stycke fr\u00e5n sn\u00e4ckestraden, kunde hon se fler kroppar som r\u00f6rde p\u00e5 sig, h\u00f6ra hostningarna och hon uppt\u00e4ckte att hela den djupa scenen var t\u00e4ckt av s\u00e4ngkl\u00e4der och \u00f6verallt l\u00e5g det folk som r\u00f6rde sig, i en krusning och ett j\u00e4mmer som l\u00e5ngsamt spred sig, eller inte r\u00f6rde sig eller l\u00e5g fullst\u00e4ndigt stilla, halva skepnader, dunkande hj\u00e4rtan, ansikten och namn.\n\nHon var tvungen att g\u00e5 sakta f\u00f6r att efterkomma sin f\u00f6rundran. Hon \u00e5kte hem och gav katten mat men \u00e5terv\u00e4nde genast, hon tog en jamaicansk taxi och sa Tompkins Square. Det var kanske drygt tio tunnland med duvor som knatade omkring \u00f6verallt men inte en enda som fl\u00f6g och fast\u00e4n hon f\u00f6rs\u00f6kte skingra f\u00e5glarna med en spark sprang de i b\u00e4sta fall bara undan utan att ens flaxa nerv\u00f6st med vingen. M\u00e4nniskor i klungor och st\u00f6rre grupper, det b\u00f6rjade lida mot kv\u00e4ll. N\u00e5gon stekte k\u00f6tt p\u00e5 ett spett och det p\u00e5gick ett slagsm\u00e5l l\u00e4ngre bort, en man och en kvinna som knuffade en \u00e4ldre man, tr\u00e4ngde honom bak\u00e5t och han slog efter deras h\u00e4nder och tog ett skuttande steg runt och stupade i marken. Hela h\u00e4ndelsen uppslukades av bakgrunden. Allt bleknade oavbrutet bort, sv\u00e5rt att minnas. En polispiket fl\u00e4ngde f\u00f6rbi som en tuk-tuk i Bangkok.\n\nN\u00e4r m\u00f6rkret f\u00f6ll stod hon och pratade med en l\u00e5ng pojke kl\u00e4dd i sweatshirt med rader av cocacolaflaskor tv\u00e4rs\u00f6ver. Han s\u00e5lde marijuana i utkanten av parken, _brass brass brass brass_ malde han p\u00e5. Han s\u00e4nkte r\u00f6sten allteftersom och slutade i en kissekattv\u00e4sning. Folk som kom f\u00f6rbi sa Omar. Han hade avl\u00e5ngt ansikte, sluttande panna och liten haka och den h\u00e5rt fl\u00e4tade frisyren l\u00e5g t\u00e4tt intill skallen och var s\u00e5 tydligt och brett uppbenad att den liknade en karta med sitt exakta m\u00f6nster.\n\nDen stupade mannen l\u00e5g fortfarande p\u00e5 marken och f\u00f6rs\u00f6kte f\u00e5 upp n\u00e5got ur bakfickan. En vit gubbe gick f\u00f6rbi kl\u00e4dd i trasig rock, basebollm\u00f6ssa och h\u00f6gskaftade sneakers och m\u00e4nnen kom i samspr\u00e5k.\n\nOmar sa: \u00bbFast ibland har vi en ESPare och snuten kommer med stunguns och bl\u00e4ndande handlampor.\u00ab\n\n\u00bbHela utrustningen.\u00ab\n\n\u00bbDom har en pistol som skjuter femtitusen volt. Ibland tar det bara ner killen liksom, skith\u00e4ftigt. Dom skjuter igen, han opp igen. Det \u00e4r adrenalinet.\u00ab\n\n\u00bbVad \u00e4r en ESPare?\u00ab\n\n\u00bbMoschonellt st\u00f6rd person. Typer som g\u00e5r p\u00e5 tjack och kola \u00e4r s\u00e5na som dom blir av det. Det \u00e4r b\u00e5de adrenalinet och temperaturen i dom. Kalla det att bli h\u00f6g \u00e4r r\u00e4tta ordet.\u00ab\n\nP\u00e5 sn\u00e4ckestraden h\u00f6ll folk fortfarande p\u00e5 att stiga upp, g\u00e5 och l\u00e4gga sig, de satt och glodde, de drog igen sovs\u00e4ckar och r\u00f6kte och det h\u00f6rdes ett konstant b\u00f6ljande sorl, uttalanden och givna svar som kom Karen att t\u00e4nka p\u00e5 liturgisk b\u00f6n, ett protokoll med halva ord, dr\u00f6mrop, utbrott och mummel. En r\u00f6st besvarades av en annan, ett kippande hugg efter luft f\u00f6ljdes av en svordom. Remsor av en amerikansk flagga var fasth\u00e4ftade i den bl\u00e5 plasten p\u00e5 ett nerfallet vindskydd. En man och en kvinna satt under ett strandparasoll. En kvinna skalade en apelsin. En man l\u00e5g p\u00e5 mage p\u00e5 en b\u00e4nk och sov, han hade bar \u00f6verkropp och exakt samma h\u00e5rf\u00e4rg och rygg och axlar som Bill.\n\nHon h\u00f6rde Omar mala En tia biten en tia biten en tia biten.\n\nN\u00e5gon kr\u00f6p ut ur en l\u00e5da, reste sig upp p\u00e5 darriga ben och f\u00f6ljde efter henne, tiggande och efterh\u00e4ngsen, med ot\u00e4ckt sluddrande r\u00f6st, och f\u00f6r f\u00f6rsta g\u00e5ngen sedan hon kom hit k\u00e4nde hon att de kunde _se_ henne, att hoppl\u00f6sheten h\u00e4r inte skymde henne helt. Detta var ingen allm\u00e4n park utan ett revir p\u00e5 liv och d\u00f6d d\u00e4r allting togs f\u00f6r vad det var v\u00e4rt. Hon f\u00f6rstod att de _s\u00e5g_ henne. Det kom som en chock. Hon gav mannen en dollarsedel, som han stannade och granskade, som han stirrade ogillande p\u00e5 medan han pratade f\u00f6r sig sj\u00e4lv i dunklet.\n\nDet h\u00f6rdes en r\u00f6st p\u00e5 andra sidan st\u00e4ngslet, en kvinna som med tydlig r\u00f6st sa: \u00bbVilken underbar v\u00e5rkv\u00e4ll\u00ab, och det fick Karen att spritta till, kvinnans livlighet och f\u00f6rtjusning, avst\u00e5ndet som tillryggalades med n\u00e5gra f\u00e5 ord.\n\nHon undrade vad hade h\u00e4nt om mannen fortsatt att f\u00f6lja efter henne n\u00e4r hon gav honom sedeln. Hon undrade hur hade det g\u00e5tt om det inte funnits en viss summa som h\u00e5llit honom borta.\n\nOmar sa till henne: \u00bbHar man en g\u00e5ng hamnat p\u00e5 gatan finns det inget annat \u00e4n gatan. Hajaru? Folk h\u00e4r har en grej dom kan snacka om eller t\u00e4nka p\u00e5 och det \u00e4r det d\u00e4r lilla r\u00e5tth\u00e5let dom bor i. Ju mindre r\u00e5tth\u00e5l ju mer upptagen av det \u00e4r du. Hajaru? Fall du bor i ett j\u00e4vla skitslott t\u00e4nker du p\u00e5 det tv\u00e5 g\u00e5nger i m\u00e5nan typ i tio sekunder totalt liksom. Bor du i ett r\u00e5tth\u00e5l h\u00e5ller du p\u00e5 hela dan. Dom delar r\u00e5tth\u00e5let p\u00e5 h\u00e4lften och du m\u00e5ste jobba dubbelt opp f\u00f6r att det ska g\u00e5 och bo i. Jag snackar om n\u00e5t som jag kollat in.\u00ab\n\nHon f\u00f6rest\u00e4llde sig kropparna som kn\u00f6lat in sig under vindskydden och t\u00e4lten, liksom obest\u00e4mbara i fr\u00e5ga om k\u00f6n, som l\u00e5g och sov i sura kl\u00e4der p\u00e5 en pappbit eller en ditsl\u00e4pad madrass ners\u00f6lad av en hel generations avskr\u00e4de.\n\nHon s\u00e5g sig om efter Omar men han hade f\u00f6rsvunnit.\n\nAlla dessa sm\u00e5 tillh\u00f6righeter instuvade i ett h\u00f6rn, omsvepta och hopbundna, flera saker f\u00f6rkl\u00e4dda till en, saker inuti andra saker, ett slags \u00e4ndl\u00f6st hopf\u00e4llbart system f\u00f6r att ta sig genom livet. Hon gick genom parken, fr\u00e5n \u00f6ster till v\u00e4ster, och lyssnade till prasslet och mumlet fr\u00e5n dr\u00f6mmande sj\u00e4lar.\n\nP\u00e5 morgonen b\u00f6rjade hon rota efter returflaskor och burkar, allt hon kunde hitta i papperskorgar eller i r\u00e4nnstenen, i sops\u00e4ckarna som stod hopsamlade i restauranggr\u00e4nderna. Flaskor, t\u00e4ndstickspl\u00e5n, svankryggiga skor, alla slags anv\u00e4ndbara kulturavlagringar som kunde g\u00f6mts undan i m\u00f6rkret. Hon tog alltihop till parken och st\u00e4llde det utanf\u00f6r skjulen eller sk\u00f6t in det om hon var s\u00e4ker p\u00e5 att ingen var d\u00e4r. Hon sm\u00f6g in i de stinkande gr\u00e4nderna och vred upp sops\u00e4ckarna, h\u00e4llde ut soporna och tog s\u00e4ckarna. Det var ingen st\u00f6rre skillnad mot att s\u00e4lja borstnejlikor i foaj\u00e9n p\u00e5 hotell Marriott. Hon stod p\u00e5 soptunnor och rotade i containrar vid rivningstomter, plockade upp gipsplattor, spik och plywoodbitar. I f\u00f6rsta hand var hon ute efter flaskor och burkar, s\u00e5dant som kunde f\u00f6rvandlas till pengar.\n\nEn man visade henne sin stympade arm och bad om sm\u00e5pengar. Hon hittade trasiga paraplyer, kantst\u00f6tt frukt som gick att \u00e4ta om man tv\u00e4ttade den. Hon tv\u00e4ttade frukten och bar den till parken. Hon bar med sig allting till parken. Hon st\u00e4llde in saker i kojorna. Hon s\u00e5g att folk gjorde hus av parkb\u00e4nkarna med v\u00e4ggar och sneda tak. N\u00e5gon kr\u00e4ktes h\u00f6gljutt mot redskapsf\u00f6rr\u00e5det och hon s\u00e5g parkvakten i sin utstyrda khakiuniform promenera f\u00f6rbi utan att kasta s\u00e5 mycket som en blick. Den sedvanliga gr\u00f6nspyan som gled \u00f6ver en v\u00e4gg. Hon s\u00e5g m\u00e4nniskorna p\u00e5 sn\u00e4ckestraden kravla sig upp ur filtarna, hopsjunkna och fl\u00e5sande, och omt\u00f6cknade titta upp mot spannet av ljus och himmel som stod \u00f6ver det bl\u00e5 l\u00e4gret.\n\nEndast de som \u00e4r m\u00e4rkta med messias sigill skall \u00f6verleva.\n\n#  11\n\nBILL stod utanf\u00f6r en butik som s\u00e5lde religi\u00f6sa f\u00f6rem\u00e5l. \u00d6verallt medaljonger som f\u00f6rest\u00e4llde heliga gestalter med lysande skivor bakom huvudet. De har hittat sin nisch h\u00e4r, t\u00e4nkte han. Ta en massa helgon, h\u00e4ng ut dem i f\u00f6nstret, sn\u00e5la inte p\u00e5 glorior, kors, sk\u00f6ldar och sv\u00e4rd. Pr\u00e4sterna var ocks\u00e5 j\u00e4vligt imponerande. Han s\u00e5g dem \u00f6verallt med sina runda hattar och kraftiga sk\u00e4gg, insvepta i fladdrande kappor. Stadiga karlar allihop. Till och med de \u00e4ldre s\u00e5g v\u00e4lm\u00e5ende ut. Bill t\u00e4nkte att de p\u00e5 s\u00e4tt och vis var od\u00f6dliga, fast f\u00f6rankrade i det nationella minnet, som stora svarta skepp av tro och skrock.\n\nUppe p\u00e5 rummet satt han och t\u00e4nkte p\u00e5 gisslan. Han f\u00f6rs\u00f6kte leva sig in i situationen, i hettan och sm\u00e4rtan, komma f\u00f6rbi draget av civiliserad oro. Han ville f\u00f6rest\u00e4lla sig hur det kunde k\u00e4nnas att uppleva extrem isolering. Ensamhet under vapenhot. Han l\u00e4ste Jean-Claudes dikter flera g\u00e5nger. Mannen f\u00f6rblev schweiziskt osynlig. Bill f\u00f6rs\u00f6kte se hans ansikte, h\u00e5r, \u00f6gonf\u00e4rg, han s\u00e5g rummets kul\u00f6rer, m\u00e5larf\u00e4rg som bleknat p\u00e5 v\u00e4ggarna. Han gjorde sig en bild av vissa f\u00f6rem\u00e5l, han fick dem att en kort stund str\u00e5la av inneboende kraft, en matsk\u00e5l, en sked sammansatt av tanke, varseblivning, minne, k\u00e4nsla, vilja, fantasi.\n\nSedan gick han f\u00f6r att tr\u00e4ffa George Haddad.\n\n\u00bbVad dricker du, Bill?\u00ab\n\n\u00bbEn skv\u00e4tt inhemsk konjak som med varsam hand h\u00e4llts upp i ett l\u00e5gt glas.\u00ab\n\n\u00bbVad ska vi tala om i dag?\u00ab\n\n\u00bbSemtex H.\u00ab\n\n\u00bbDu ska veta att jag inte hade n\u00e5gonting att g\u00f6ra med spr\u00e4ngningen av det d\u00e4r st\u00e4llet.\u00ab\n\n\u00bbMen du vet vem som gjorde det.\u00ab\n\n\u00bbJag \u00e4r en individ. Jag sysslar med id\u00e9er. Hela den h\u00e4r gisslanhistorien \u00e4r en komplicerad h\u00e4rva med olika falanger. Ta inte f\u00f6r givet att jag \u00e4r s\u00e4rskilt insatt. Jag vet i sj\u00e4lva verket mycket lite.\u00ab\n\n\u00bbMen du har f\u00f6rbindelser med s\u00e5na som vet en hel del.\u00ab\n\n\u00bbDet \u00e4r vad underr\u00e4ttelsetj\u00e4nsten skulle s\u00e4ga.\u00ab\n\n\u00bbOch n\u00e5n trodde att det kunde vara intressant att titta n\u00e4rmare p\u00e5 tillg\u00e4ngliga f\u00f6rfattare.\u00ab\n\nGeorge tittade upp. Han hade p\u00e5 sig en skrynklig vit skjorta med \u00f6ppen krage och uppkavlade \u00e4rmar, och en undertr\u00f6ja som syntes genom det tunna tyget. Bill f\u00f6ljde honom med blicken n\u00e4r han tog en sv\u00e4ng runt i rummet och kom tillbaka till sin whisky och soda.\n\n\u00bbDet var bara p\u00e5 diskussionsstadiet\u00ab, sa han till slut. \u00bbEn man frisl\u00e4ppt i Beirut, en annan tagen i London. Omedelbar v\u00e4rldsomfattande uppm\u00e4rksamhet. Men man misst\u00e4nkte att britterna skulle agera snabbt om de listade ut var n\u00e5nstans du satt. Risken var f\u00f6r stor. F\u00f6r gisslantagarna och f\u00f6r dig.\u00ab\n\n\u00bbSe inte s\u00e5 ledsen ut\u00ab, sa Bill.\n\n\u00bbDin s\u00e4kerhet kom i f\u00f6rsta hand. Och din frigivning skulle ha skett inom loppet av n\u00e5gra dagar. Detta diskuterades p\u00e5 en viss niv\u00e5, som hastigast. Det medger jag.\u00ab\n\n\u00bbSen sm\u00e4llde bomben. Ju mer jag t\u00e4nker p\u00e5 det desto mer h\u00e4nger det ihop. Jag v\u00e4ntade mig ingen explosion. Men i samma \u00f6gonblick det h\u00e4nde stod jag d\u00e4r i tryckv\u00e5gen och det k\u00e4ndes fullkomligt logiskt. Det f\u00f6ref\u00f6ll ber\u00e4ttigat och v\u00e4lgrundat. Fr\u00e5n f\u00f6rsta b\u00f6rjan var det n\u00e5t i den h\u00e4r situationen som talade direkt till mig. Mer \u00e4n en diktuppl\u00e4sning f\u00f6r att hj\u00e4lpa en f\u00f6rfattarkollega. N\u00e4r Charlie hade f\u00f6rklarat saken var det n\u00e5got jag k\u00e4nde igen. Och det h\u00e4nde ocks\u00e5 i London. Jag visste vem du var innan vi blev presenterade. Jag pillrade loss den d\u00e4r glasflisan ur handen p\u00e5 mig och det k\u00e4ndes som om den suttit d\u00e4r hela mitt liv.\u00ab\n\n\u00bbIngen visste att du \u00f6ver huvud taget skulle vistas i n\u00e4rheten av huset.\u00ab\n\n\u00bbSe inte s\u00e5 ledsen ut.\u00ab\n\n\u00bbJag befinner mig i en mycket k\u00e4nslig position\u00ab, sa George. \u00bbJag vill att det ska ta slut h\u00e4r, f\u00f6rst\u00e5r du. Vi tar hit n\u00e5gra journalister, du g\u00f6r ett uttalande till st\u00f6d f\u00f6r r\u00f6relsen, gisslan sl\u00e4pps, vi skakar hand med varandra allihop. F\u00f6rutsatt att jag kan \u00f6vertyga dig om att r\u00f6relsen \u00e4r v\u00e4rd ditt st\u00f6d.\u00ab\n\n\u00bbMen det \u00e4r v\u00e4l inte ditt st\u00f6rsta problem va?\u00ab\n\n\u00bbUppriktigt sagt nej.\u00ab\n\n\u00bbDe s\u00e4tter press p\u00e5 dig fr\u00e5n Beirut. De vill inte s\u00e4tta punkt h\u00e4r.\u00ab\n\n\u00bbVi kan fortfarande f\u00e5 dem att se saken p\u00e5 mitt s\u00e4tt. Han kommer till Aten, tr\u00e4ffar dig, talar med media. Det tilltalar mitt sinne f\u00f6r korrespondenser, f\u00f6r andligt sl\u00e4ktskap. Tv\u00e5 som g\u00e5tt under jorden. P\u00e5 s\u00e4tt och vis m\u00e4n av samma slag.\u00ab\n\nDet h\u00f6rdes slammer utanf\u00f6r d\u00f6rren och Georges hustru och dotter kom in. Bill reste sig till h\u00e4lften f\u00f6r att h\u00e4lsa. Det blev n\u00e5gra nickar och blyga leenden och sedan f\u00f6rsvann de bort i korridoren.\n\n\u00bbHan kallar sig Abu Rashid. Jag tror \u00e4rligt talat att du skulle bli fascinerad av honom.\u00ab\n\n\u00bb\u00c4r det inte alltid s\u00e5?\u00ab\n\n\u00bbOch jag har fortfarande gott hopp om att han ska dyka upp h\u00e4r.\u00ab\n\n\u00bbMen under tiden.\u00ab\n\n\u00bbVi \u00e4r h\u00e4r f\u00f6r att prata.\u00ab\n\n\u00bbF\u00f6r att f\u00f6ra en dialog.\u00ab\n\n\u00bbPrecis\u00ab, sa George.\n\n\u00bbP\u00e5 sista tiden har jag haft en k\u00e4nsla av att romanf\u00f6rfattare och terrorister spelar ett nollsummespel.\u00ab\n\n\u00bbIntressant. P\u00e5 vilket s\u00e4tt?\u00ab\n\n\u00bbDet terroristerna vinner f\u00f6rlorar f\u00f6rfattarna. Omfattningen av deras p\u00e5verkan p\u00e5 massmedvetandet \u00e4r lika stor som v\u00e5r tillbakag\u00e5ng som k\u00e4nslighetens och tankens gestaltare. Faran de representerar kan j\u00e4mf\u00f6ras med v\u00e5rt eget misslyckade f\u00f6rs\u00f6k att vara farliga.\u00ab\n\n\u00bbOch ju tydligare vi ser terrorn desto mindre intryck tar vi av konsten.\u00ab\n\n\u00bbJag tror att sambandet \u00e4r intimt och exakt i den m\u00e5n det kan m\u00e4tas.\u00ab\n\n\u00bbMycket snyggt.\u00ab\n\n\u00bbTycker du det?\u00ab\n\n\u00bbHelt fantastiskt.\u00ab\n\n\u00bbBeckett \u00e4r den siste f\u00f6rfattare som format v\u00e5rt s\u00e4tt att t\u00e4nka och se. Efter honom handlar de stora verken om explosioner i luften och raserade hus. Detta \u00e4r den nya tragiska ber\u00e4ttelsen.\u00ab\n\n\u00bbOch det \u00e4r sv\u00e5rt n\u00e4r de d\u00f6dar och leml\u00e4star eftersom man betraktar dem, jag menar allvar, som de enda t\u00e4nkbara hj\u00e4ltarna i v\u00e5r tid.\u00ab\n\n\u00bbNej\u00ab, sa Bill.\n\n\u00bbHur de lever i dunkel, frivilligt lever med d\u00f6den. Hur de hatar mycket av det som du hatar. Deras disciplin och list. Konsekvensen i deras liv. Deras s\u00e4tt att v\u00e4cka, de _v\u00e4cker_ beundran. Terrorn framst\u00e5r som den enda meningsfulla handlingen i ett samh\u00e4lle som reducerats till flimmer och frosseri. Det finns f\u00f6r mycket av allting, fler saker och budskap och betydelser \u00e4n vi kan anv\u00e4nda under tiotusen livstider. Apati-hysteri. \u00c4r historien m\u00f6jlig? Menar n\u00e5n allvar? Vem tar vi p\u00e5 allvar? Bara den livsfarligt troende, den individ som d\u00f6dar och d\u00f6r f\u00f6r tron. Allting annat sugs upp. Konstn\u00e4ren sugs upp, galningen p\u00e5 gatan sugs upp och bearbetas och inlemmas. Ge honom en slant, s\u00e4tt honom i en tevereklam. Bara terroristen st\u00e5r utanf\u00f6r. Samh\u00e4llet har inte funnit ett s\u00e4tt att inf\u00f6rliva honom. Det \u00e4r f\u00f6rvirrande n\u00e4r de d\u00f6dar oskyldiga. Men det \u00e4r det spr\u00e5k som anv\u00e4nds f\u00f6r att dra uppm\u00e4rksamhet till sig, det enda spr\u00e5k v\u00e4stv\u00e4rlden f\u00f6rst\u00e5r. Hur de avg\u00f6r hur vi ska se p\u00e5 dem. Hur de dominerar det st\u00e4ndiga fl\u00f6det av bilder. Jag sa det i London, Bill. Det \u00e4r romanf\u00f6rfattaren som f\u00f6rst\u00e5r det hemliga livet, den undertryckta vreden hos obem\u00e4rkta och bortgl\u00f6mda. Ni \u00e4r halvt om halvt m\u00f6rdare, de flesta av er.\u00ab\n\nDet var en tanke som tilltalade honom och han log glatt trots Bills huvudskakningar och avv\u00e4rjande gester.\n\n\u00bbNej. Det \u00e4r ren myt, terroristen som ensam lagl\u00f6s. De d\u00e4r grupperna st\u00f6ds av f\u00f6rtryckarregimer. De \u00e4r full\u00e4ndade totalit\u00e4ra sm\u00e5 stater. De hyllar den gamla fanatiska dr\u00f6mmen, fullkomlig f\u00f6rintelse och fullkomlig ordning.\u00ab\n\n\u00bbTerrorism \u00e4r en kraft som b\u00f6rjar med n\u00e5gra f\u00e5 personer i ett rum mot g\u00e5rden. L\u00e4gger de vikt vid disciplin? \u00c4r deras vilja obeveklig? Sj\u00e4lvklart. Jag tror att du m\u00e5ste v\u00e4lja sida. Sl\u00e5 dig inte till ro med bekv\u00e4ma \u00e5sikter. St\u00e4ll upp f\u00f6r de f\u00f6rtrampade, de bespottade. K\u00e4nner dessa m\u00e4nniskor en l\u00e4ngtan efter ordning? Vem ska ge dem det? T\u00e4nk p\u00e5 ordf\u00f6rande Mao. Ordning \u00e4r en del av den st\u00e4ndiga revolutionen.\u00ab\n\n\u00bbT\u00e4nk p\u00e5 femtio miljoner r\u00f6da soldater.\u00ab\n\n\u00bbDe var barn, Bill. Det handlade om tro. Sj\u00e4lvlysande, ibland dum, ibland grym. Se hur det \u00e4r i dag. Unga pojkar som poserar med k-pistar \u00f6verallt. De ungas grymhet och omedg\u00f6rlighet \u00e4r fullt utvecklad. Jag sa det i London. Ju brutalare desto synligare.\u00ab\n\n\u00bbOch ju sv\u00e5rare det blir att f\u00f6rsvara en sak desto mer omhuldar man sin st\u00e5ndpunkt. Ett annat slags omedg\u00f6rlighet.\u00ab\n\nDe tog ett glas till medan motorcyklar drog f\u00f6rbi p\u00e5 den bullriga gatan.\n\n\u00bb\u00c4r det en liten maoistliga du g\u00f6r dig till tolk f\u00f6r, George?\u00ab\n\n\u00bbDet \u00e4r en tanke. Det \u00e4r en bild av Libanon utan syrier, palestinier och israeler, utan de frivilliga fr\u00e5n Iran, de religi\u00f6sa krigen. Vi beh\u00f6ver en f\u00f6rebild som \u00f6vertr\u00e4ffar hela v\u00e5r bittra historia. N\u00e5got oerh\u00f6rt och v\u00f6rdnadsbjudande. En gestalt med absolut vilja. Detta \u00e4r avg\u00f6rande, Bill. I ett samh\u00e4lle som sl\u00e5ss f\u00f6r att omskapa sig sj\u00e4lvt, fullkomlig politik, fullkomlig auktoritet, fullkomlig vilja.\u00ab\n\n\u00bb\u00c4ven om jag kan f\u00f6rst\u00e5 behovet av absolut auktoritet skulle mitt arbete f\u00e5 mig att backa. Erfarenheten fr\u00e5n mitt eget liv s\u00e4ger mig att env\u00e4lde misslyckas, att absolut kontroll tar all kraft, att mina romanfigurer g\u00e4ckar mina f\u00f6rs\u00f6k att \u00e4ga dem totalt, att jag beh\u00f6ver ett inre motst\u00e5nd, en diskussion med mig sj\u00e4lv, att v\u00e4rlden krossar mig i samma sekund som jag tror att den \u00e4r min.\u00ab\n\nHan sl\u00e4ckte en t\u00e4ndsticka och h\u00f6ll den.\n\n\u00bbVet du varf\u00f6r jag tror p\u00e5 romanen? Den \u00e4r ett demokratiskt rop. Vem som helst kan skriva en bra roman, en enda bra roman, n\u00e4stan vem som helst fr\u00e5n gatan. Det tror jag, George. En anonym tr\u00e4l, en vettvilling som knappt n\u00e4rt en dr\u00f6m, kan s\u00e4tta sig ner och hitta sin r\u00f6st och ha tur och g\u00f6ra det. N\u00e5t s\u00e5 \u00e4nglalikt att du skulle tappa hakan. Sprudlande talang, sprudlande id\u00e9er. N\u00e5nting olikt n\u00e5t annat, ett tonfall olikt n\u00e4sta. Tvetydigheter, mots\u00e4gelser, viskningar, antydningar. Och det \u00e4r det du vill f\u00f6rst\u00f6ra.\u00ab\n\nHan m\u00e4rkte till sin f\u00f6rv\u00e5ning att han var arg.\n\n\u00bbOch n\u00e4r f\u00f6rfattaren f\u00f6rlorar sin f\u00f6rm\u00e5ga d\u00f6r han p\u00e5 ett demokratiskt s\u00e4tt, inf\u00f6r allas \u00e5syn, blottad f\u00f6r v\u00e4rlden ligger den d\u00e4r, hela dyngh\u00f6gen med hoppl\u00f6s prosa.\u00ab\n\nDet var slut p\u00e5 medicinerna. Nersvalda och uppl\u00f6sta. Han best\u00e4mde sig f\u00f6r \u00e4n sen d\u00e5, beh\u00f6ver det inte l\u00e4ngre, och han brydde sig inte om att ta reda p\u00e5 vad som gick att k\u00f6pa receptfritt p\u00e5 apoteket i n\u00e4rheten av hotellet. Han undrade om han skulle lyckas med att s\u00e4tta upp hotell och m\u00e5ltider p\u00e5 Charlies konglomerat trots att han brutit kontakten. Det var \u00e4nd\u00e5 f\u00f6r m\u00e4nsklighetens b\u00e4sta.\n\nMan m\u00e5ste g\u00e5 uppf\u00f6r berg f\u00f6r att f\u00e5 n\u00e5got att dricka.\n\nHan h\u00f6ll utkik efter pr\u00e4ster och \u00e4gnade en halv minut \u00e5t en gammal kyrka som var s\u00e5 liten att den hade kilats in mellan pelarna p\u00e5 ett modernt torn, en enmanstillflykt undan tidens muller, med stearinljus som brann i det svala dunklet.\n\nHan villade ofta bort sig. Han villade bort sig p\u00e5 hotellet varje g\u00e5ng han gick ut ur rummet och tog till v\u00e4nster f\u00f6r att komma till hissen som st\u00e4ndigt l\u00e5g till h\u00f6ger. En g\u00e5ng gl\u00f6mde han i vilken stad han befann sig, han s\u00e5g en hedersvakt p\u00e5 fyra man komma marscherande mot honom p\u00e5 trottoaren, p\u00e5 v\u00e4g fr\u00e5n vakttj\u00e4nst till kasernen, och de bar gev\u00e4r med p\u00e5satta bajonetter och var kl\u00e4dda i broderade skjortor, veckade kjolar och tofflor med bollar p\u00e5 och han f\u00f6rstod att han inte var i Milwaukee.\n\nHan gick uppf\u00f6r ett berg till en taverna och best\u00e4llde genom att peka p\u00e5 tallrikar p\u00e5 tre andra bord. Det var inte det att ingen talade engelska. Han gl\u00f6mde att de gjorde det eller f\u00f6redrog att sj\u00e4lv inte tala. Kanske trivdes han med pekandet i sig. Man kunde bli beroende av att peka som ett slags sj\u00e4lvp\u00e5tagen ensamhet som hj\u00e4lper en att utveckla ens moraliska styrka. Och han hade kommit d\u00e4rh\u00e4n att han ville rensa bort allt som inte l\u00e4ngre var viktigt, allt som fortfarande var viktigt, allt \u00f6verfl\u00f6d och allt n\u00f6dv\u00e4ndigt, och varf\u00f6r inte b\u00f6rja med ord.\n\nMen han f\u00f6rs\u00f6kte skriva om gisslan. Han hade inget annat s\u00e4tt att t\u00e4nka mer ing\u00e5ende p\u00e5 ett visst \u00e4mne. F\u00f6r f\u00f6rsta g\u00e5ngen sedan han gav sig av hemifr\u00e5n saknade han sin skrivmaskin. Det var minnets och den t\u00e5lmodiga tankens redskap, det teckenproducerande f\u00f6rem\u00e5l som inneh\u00f6ll hela hans livserfarenhet. Han kunde se orden b\u00e4ttre i maskinskrift, bilda meningar som genast klev in i den fiktiva v\u00e4rlden befriade fr\u00e5n hans egen vanst\u00e4llande handstil. Han fick n\u00f6ja sig med blyertspenna och kladdblock, satt hela f\u00f6rmiddagarna och arbetade p\u00e5 hotellrummet medan han l\u00e5ngsamt byggde upp tankekedjor och l\u00e4t orden leda honom ner i det d\u00e4r k\u00e4llarrummet.\n\nHitta punkterna d\u00e4r du kan m\u00f6ta honom.\n\nL\u00e4s hans dikter en g\u00e5ng till.\n\nSe hans ansikte och h\u00e4nder i ord.\n\nSkumgummimadrassen han lever p\u00e5 \u00e4r en enda m\u00f6rk fl\u00e4ck, ett helt livs \u00f6vertygande stank. Luften \u00e4r unken och tjock av partiklar, gipsdamm som yr fr\u00e5n v\u00e4ggarna n\u00e4r granatelden blir intensiv. Han smakar p\u00e5 luften, han k\u00e4nner hur den l\u00e4gger sig i \u00f6gon och \u00f6ron. De gl\u00f6mmer att lossa armen fr\u00e5n vattenr\u00f6ret och han kan inte ta sig till toaletten f\u00f6r att kissa. V\u00e4rken i njurarna binder honom vid tiden, den g\u00e5r i takt med tiden, den vittnar om hur tiden finner s\u00e4tt att g\u00e5 \u00e4nnu l\u00e5ngsammare. Den person som skickas hit f\u00f6r att ge honom mat har inte lov att tala.\n\nVem skickar de? Hur \u00e4r han kl\u00e4dd?\n\nF\u00e5ngen blir varse sin egen bleknande bild i v\u00e4rlden och vet att han har f\u00e5tt bli helgon av det simplare slag som f\u00f6runnas dem vars lidande f\u00e5r alla att sk\u00e4mmas.\n\nSkriv enkelt, Bill.\n\nGeorge vevade upp tr\u00e4jalusierna. Ljus och ov\u00e4sen tr\u00e4ngde in i rummet och Bill fyllde p\u00e5 sitt glas. Han uppt\u00e4ckte att han inte haft n\u00e5gra symptom sedan han slutade h\u00e4va i sig piller.\n\n\u00bbJag \u00e4r fortfarande helt s\u00e4ker p\u00e5 att du borde skaffa dig en. Snabbr\u00e4ttelser\u00ab, sa George. \u00bbTexten blir l\u00e4tt, smidig. Den begr\u00e4nsar inte, h\u00e4mmar inte. Om du har problem med boken du h\u00e5ller p\u00e5 med kan en ordbehandlare vara till enorm hj\u00e4lp.\u00ab\n\n\u00bbT\u00e4nker han komma eller inte?\u00ab\n\n\u00bbJag g\u00f6r vad jag kan.\u00ab\n\n\u00bbF\u00f6r jag kan lika g\u00e4rna tala med honom d\u00e4r. Spelar ingen roll f\u00f6r mig.\u00ab\n\n\u00bbLita p\u00e5 mig. Det spelar roll.\u00ab\n\n\u00bbDe s\u00e4tter en man i ett rum och l\u00e5ser d\u00f6rren. Det \u00e4r n\u00e5t rent och fridfullt med det. L\u00e5t oss krossa hj\u00e4rnan som framst\u00e4ller ord och meningar.\u00ab\n\n\u00bbJag m\u00e5ste p\u00e5minna dig. Ord \u00e4r heliga p\u00e5 olika s\u00e4tt. Den sk\u00f6na dikten vet s\u00e4llan n\u00e5t om villkoren som omger den. Fattiga m\u00e4nniskor, unga m\u00e4nniskor, allt kan skrivas p\u00e5 dem. Det sa Mao. Och han skrev och han skrev. Han blev Kinas historia skriven p\u00e5 massorna. Och hans ord blev od\u00f6dliga. L\u00e4sta, upprepade, inl\u00e4rda av en hel nation.\u00ab\n\n\u00bbBesv\u00e4rjelser. M\u00e4nniskor som m\u00e4ssar formler och slagord.\u00ab\n\n\u00bbI Maos Kina var en man som gick med en bok i handen inte ute efter f\u00f6rstr\u00f6else eller njutning. Han f\u00f6renade sig med alla kineser. Vilken bok? Maos bok. Den lilla r\u00f6da citatboken. Boken var den l\u00e4ra som m\u00e4nniskor bar med sig \u00f6verallt. De l\u00e4ste h\u00f6gt ur den, viftade med den, de visade st\u00e4ndigt upp den. Folk knullade s\u00e4kert med boken i handen.\u00ab\n\n\u00bbVilket trist knull. L\u00e4xa, l\u00e4xa, l\u00e4xa.\u00ab\n\n\u00bbVisst. Det f\u00f6rv\u00e5nar mig att du kommer med s\u00e5 banala svar. Visst var det l\u00e4xa. Vi l\u00e4r oss skrifter utantill som fungerar som anvisningar f\u00f6r hur kampen ska f\u00f6ras. Genom att l\u00e4gga ett verk p\u00e5 minnet r\u00e4ddar vi det fr\u00e5n s\u00f6nderfall. Det f\u00f6rblir or\u00f6rt. Barn l\u00e4r sig sagor utantill som deras f\u00f6r\u00e4ldrar ber\u00e4ttar f\u00f6r dem. De vill h\u00f6ra samma saga om och om igen. Man f\u00e5r inte \u00e4ndra ett ord f\u00f6r d\u00e5 blir de v\u00e4ldigt arga. Det \u00e4r den of\u00f6r\u00e4nderliga ber\u00e4ttelse som varje kultur beh\u00f6ver f\u00f6r att \u00f6verleva. I Kina var ber\u00e4ttelsen Maos. M\u00e4nniskorna l\u00e4rde sig den utantill och l\u00e4ste den h\u00f6gt f\u00f6r att f\u00f6rsvara revolutionens framtid. D\u00e4rf\u00f6r blev det om\u00f6jligt f\u00f6r fr\u00e4mmande krafter att underminera upplevelsen av Mao. Den blev ett levande minne hos flera hundra miljoner m\u00e4nniskor. Kulten kring Mao var kulten kring boken. Det var en maning till enighet, en samling av massorna d\u00e4r alla kl\u00e4dde sig lika och t\u00e4nkte lika. Ser du inte sk\u00f6nheten i det? Ligger det inte sk\u00f6nhet och makt i upprepandet av vissa ord och fraser? Man g\u00e5r in i ett rum och l\u00e4ser en bok. De d\u00e4r m\u00e4nniskorna kom ut ur sina rum. De blev en bokviftande massa. Mao sa: \u203aV\u00e5r gud \u00e4r endast det kinesiska folket.\u2039 Och det \u00e4r det du \u00e4r r\u00e4dd f\u00f6r, att historien l\u00e4mnas \u00f6ver till massorna.\u00ab\n\n\u00bbJag \u00e4r ingen stor vision\u00e4r, George. Jag snickrar ihop meningar, som man snickrar sockerl\u00e5dor, fast l\u00e5ngsammare. Tala inte med mig om historia.\u00ab\n\n\u00bbMao var en poet, en klassl\u00f6s man som var beroende av massorna p\u00e5 m\u00e5nga avg\u00f6rande s\u00e4tt, men ocks\u00e5 en absolut vilja. Bill meningssnickraren. Jag kan faktiskt se dig d\u00e4r, hur du g\u00e5r kl\u00e4dd i vida bomullsbyxor, bomullsskjorta, trampar p\u00e5 din cykel, bor i ett litet rum. Du kunde ha blivit maoist, Bill. Du skulle klarat det b\u00e4ttre \u00e4n jag. Jag har l\u00e4st dina b\u00f6cker noga och vi har suttit l\u00e4nge och pratat och jag kan med l\u00e4tthet se dig sm\u00e4lta in i den stora massan av bl\u00e5vit bomull. Du hade skrivit det samh\u00e4llet beh\u00f6vde f\u00f6r att kunna se sig sj\u00e4lvt. Och du hade sett behovet av en absolut vilja, en v\u00e4g ut ur svaghet och f\u00f6rvirring. Det \u00e4r detta jag vill se \u00e5teruppst\u00e5 i Beiruts r\u00e5tth\u00e5l.\u00ab\n\nGeorges hustru kom in med kaffe och kakor.\n\n\u00bbFr\u00e5gan man m\u00e5ste st\u00e4lla sig \u00e4r: Hur m\u00e5nga d\u00f6da? Hur m\u00e5nga d\u00f6da under kulturrevolutionen? Hur m\u00e5nga d\u00f6da efter det stora spr\u00e5nget? Och hur v\u00e4l g\u00f6mde han sina d\u00f6da? Det \u00e4r den andra fr\u00e5gan. Vad g\u00f6r dessa m\u00e4n med de miljoner de d\u00f6dar?\u00ab\n\n\u00bbD\u00f6dandet kommer att ske. Massm\u00f6rdandet g\u00f6r sig alltid g\u00e4llande. Storslagen d\u00f6d, otaliga d\u00f6da, det handlar bara om tid och plats. Ledaren \u00e4r endast en tolk f\u00f6r krafterna.\u00ab\n\n\u00bbPo\u00e4ngen med varje sluten stat \u00e4r att nu vet man hur man ska d\u00f6lja sina d\u00f6da. Det \u00e4r sj\u00e4lva planen. Man f\u00f6rutsp\u00e5r m\u00e5nga d\u00f6da om ens vision inte blir f\u00f6rverkligad. Sen d\u00f6dar man dem. Sen d\u00f6ljer man sanningen om morden och sj\u00e4lva liken. Det \u00e4r orsaken till att den slutna staten inr\u00e4ttades. Och det b\u00f6rjar med en ensam gisslan, eller hur? Gisslan \u00e4r samma sak i liten skala. Det f\u00f6rsta experimentet i massterror.\u00ab\n\n\u00bbLite kaffe\u00ab, sa George.\n\nBill tittade upp f\u00f6r att tacka kvinnan men hon hade redan g\u00e5tt. De h\u00f6rde n\u00e5gra ljud p\u00e5 avst\u00e5nd, sm\u00e5 bl\u00e5siga ljud som f\u00e5ngats av vinden. George reste sig och lyssnade uppm\u00e4rksamt. Fyra nya l\u00e4tta dunsar. Han gick ut p\u00e5 balkongen ett tag och n\u00e4r han kom tillbaka sa han att det d\u00e4r var sm\u00e5 laddningar som den lokala v\u00e4nsterr\u00f6relsen apterade p\u00e5 tomma bilar tillh\u00f6rande diplomater och utl\u00e4ndska aff\u00e4rsm\u00e4n. De brukade ta tio, tolv bilar \u00e5t g\u00e5ngen. Det var de parkerade bilarnas s\u00e5ng.\n\nHan satte sig och tittade forskande p\u00e5 Bill.\n\n\u00bb\u00c4t n\u00e5t.\u00ab\n\n\u00bbSen kanske. Det ser gott ut.\u00ab\n\n\u00bbVarf\u00f6r \u00e4r du kvar h\u00e4r? Har du inte saker att g\u00f6ra hemma? Saknar du inte ditt arbete?\u00ab\n\n\u00bbVi pratar inte om det.\u00ab\n\n\u00bbDrick ditt kaffe nu. Det finns en ny modell fr\u00e5n Panasonic och jag tror obetingat p\u00e5 den. Den ger fullst\u00e4ndig frihet. Man h\u00e5ller inte p\u00e5 med gamla tungrodda moduler. Man f\u00f6r\u00e4ndrar som man vill, slungar ord fram och tillbaka.\u00ab\n\nBill skrattade p\u00e5 ett speciellt s\u00e4tt.\n\n\u00bbH\u00f6rdu. Vad h\u00e4nder om jag \u00e5ker till Beirut och fullbordar denna andliga f\u00f6rening som fascinerar dig s\u00e5? Talar med Rashid. Kan jag r\u00e4kna med att han sl\u00e4pper gisslan? Och vad vill han ha i utbyte?\u00ab\n\n\u00bbHan kommer att vilja att du tar den andres plats.\u00ab\n\n\u00bbSkaffa maximal uppm\u00e4rksamhet. Och sen sl\u00e4ppa mig i det mest f\u00f6rdelaktiga l\u00e4get.\u00ab\n\n\u00bbSkaffa maximal uppm\u00e4rksamhet. Och antagligen d\u00f6da dig tio minuter senare. Och fotografera ditt lik och spara bilden till en tidpunkt d\u00e5 den f\u00e5r st\u00f6rst effekt.\u00ab\n\n\u00bbTycker han inte att jag \u00e4r v\u00e4rd mer \u00e4n mitt fotografi?\u00ab\n\n\u00bbSyrierna g\u00f6r st\u00e4ndigt r\u00e4der i s\u00f6dra f\u00f6rorterna och letar efter m\u00e4nniskor som h\u00e5lls som gisslan. Har man gisslan m\u00e5ste man flytta dem hela tiden. Rashid gitter helt enkelt inte.\u00ab\n\n\u00bbOch vad h\u00e4nder om jag tar ett flyg nu genast och reser hem?\u00ab\n\n\u00bbDe d\u00f6dar gisslan.\u00ab\n\n\u00bbOch fotograferar _hans_ lik.\u00ab\n\n\u00bbB\u00e4ttre \u00e4n inget\u00ab, sa George.\n\nBrita tittade p\u00e5 filmen ombord och lyssnade till skr\u00e4llande jazz i h\u00f6rlurarna. Filmen verkade subjektiv, lite f\u00f6rstr\u00f6dd, sk\u00e4rmen h\u00e4ngde delvis i m\u00f6rker och blev fl\u00e4ckig och flammig av pl\u00f6tsliga luftgropar, ljudet fanns bara som tillval. Filmer p\u00e5 flyg upplevs nog olika av var och en, t\u00e4nkte hon, som sv\u00e4vande sm\u00e5 minnen av jorden. Hon hade en veckotidning p\u00e5 sitt bord bredvid l\u00e4sken och jordn\u00f6tterna och hon bl\u00e4ddrade utan att orka titta p\u00e5 sidorna. En man p\u00e5 andra sidan g\u00e5ngen talade i telefon, och hans r\u00f6st sipprade in i hj\u00e4rnan p\u00e5 henne tillsammans med basg\u00e5ngen och trummorna, medan hela Amerika rullade ut sig nedanf\u00f6r.\n\nHon t\u00e4nkte p\u00e5 att hon hade l\u00e5tit Karen bo i v\u00e5ningen och ta hand om katten och hon visste inte ens vad flickan hette i efternamn.\n\nHon t\u00e4nkte p\u00e5 att allt som kommit f\u00f6r henne p\u00e5 sista tiden och fastnat i medvetandet samtidigt tycktes upptr\u00e4da i kulturen, bli en m\u00e5lning eller ett fotografi eller en frisyr eller ett slagord. Hon s\u00e5g sina egna f\u00e5niga och ovidkommande reflexioner uppf\u00f6rstorade p\u00e5 vykort och affischer. Hon s\u00e5g namn p\u00e5 f\u00f6rfattare som hon planerat att fotografera, s\u00e5g dem i dagstidningar och veckotidningar, ok\u00e4nda personer framtr\u00e4dde i tryck som om hon f\u00f6rde med sig ett smittsamt sken runt v\u00e4rlden. I Tokyo s\u00e5g hon en m\u00e5lning \u00e5tergiven i en konsttidskrift, den hette _Skyscraper III_ och f\u00f6rest\u00e4llde World Trade Center ur exakt samma vinkel som hon s\u00e5g det fr\u00e5n sitt f\u00f6nster och i samma dystra st\u00e4mning. Det var hennes torn som stod d\u00e4r f\u00f6nsterl\u00f6sa, tv\u00e5 svarta latexsjok som slukade allt tillg\u00e4ngligt utrymme.\n\nMannen med telefonen sa: \u00bbKlockan ett er tid i morgon.\u00ab\n\nIntressant. Brita hade ett m\u00f6te klockan ett n\u00e4sta dag med en tidskriftsredakt\u00f6r som envisats om ett sammantr\u00e4ffande med henne, och hon misst\u00e4nkte att han hade h\u00f6rt talas om vissa bilder.\n\nHon t\u00e4nkte p\u00e5 att hon m\u00e5ste ta och framkalla de d\u00e4r filmrullarna. Men det oroade henne, minnet av Bills ansikte sent p\u00e5 morgonen. Det fanns ett skr\u00e4mmande ljus i blicken. Hon hade aldrig sett en man s\u00e5 fullst\u00e4ndigt \u00e5terfalla till sin ursprungligaste sm\u00e4rta. Hon trodde att det fanns liv som st\u00e4ndigt sj\u00f6nk bak\u00e5t, \u00e5ter till f\u00f6rsta insikten, \u00e5ter till f\u00f6rvirringen, och detta var utg\u00e5ngspunkten f\u00f6r varje m\u00f6rkt \u00f6gonblick som passerade genom rummet.\n\nEn flygv\u00e4rdinna tog hennes tomma mugg.\n\nHon t\u00e4nkte p\u00e5 att hon hade skuldk\u00e4nslor n\u00e4r det g\u00e4llde Scott. Nog var det ett klart fall av missriktat sex, och hela tiden de h\u00f6ll p\u00e5 var hon den nakna kvinnan som steg upp ur badet och tittade ner p\u00e5 f\u00f6rfattaren som h\u00f6gg ved. Underligt hur bilder tr\u00e4nger sig emellan de fysiska jagen. Hon blev ledsen f\u00f6r Scotts skull. Hon gjorde ett f\u00f6rs\u00f6k att ringa honom en g\u00e5ng, studerade kartor \u00f6ver norra delstaten, f\u00f6rs\u00f6kte dra sig till minnes n\u00e5gon v\u00e4gskylt och ringde till slut nummerbyr\u00e5n i flera kommuner. Men det fanns ingen Scott Martineau i katalogen, inte ens med hemligt nummer, och Bill Gray existerade \u00f6ver huvud taget inte och Karen hade inget efternamn.\n\nAnsiktet p\u00e5 sk\u00e4rmen tillh\u00f6rde en sk\u00e5despelare som bodde i hennes hus. Han var skyldig henne hundrafemtio dollar och tre flaskor vin och inte f\u00f6rr\u00e4n nu, n\u00e4r hon s\u00e5g hans ansikte i halvdunklet med jazzen rusande genom hj\u00e4rnan, slog det henne att hon aldrig f\u00e5tt betalt.\n\nHon t\u00e4nkte p\u00e5 att en av f\u00f6rfattarna hon f\u00f6rs\u00f6kt fotografera i Seoul hade nio \u00e5r kvar av sitt straff f\u00f6r subversiv verksamhet, mordbrand och kommunistiskt agerande. De ville inte l\u00e5ta henne tr\u00e4ffa honom och hon blev arg och svor \u00e5t dom j\u00e4vlarna. Skaml\u00f6s konstn\u00e4rsegoism, helt fel, men det k\u00e4ndes viktigt att f\u00e5 hans ansikte p\u00e5 en filmremsa, se hans portr\u00e4tt tr\u00e4da fram i det rubinr\u00f6da ljuset i m\u00f6rkrummet elvahundra mil fr\u00e5n cellen d\u00e4r han satt.\n\nHon hade anf\u00f6rtrott sitt hem, sitt arbete, sitt vin och sin katt \u00e5t en v\u00e5lnad.\n\nBarnet p\u00e5 f\u00f6nsterplatsen drog upp solgardinen och hon t\u00e4nkte p\u00e5 att hon inte ville titta i tidningen hon hade framf\u00f6r sig eftersom hon kunde f\u00e5 syn p\u00e5 n\u00e5got ur sitt liv i den. Hon satt fastsp\u00e4nd, f\u00f6rseglad, \u00e5tta kilometer upp i luften och v\u00e4rlden var s\u00e5 n\u00e4ra att hon fanns \u00f6verallt i den.\n\nHan klev ut fr\u00e5n trottoarkanten och gick ungef\u00e4r sju steg och n\u00e4r han h\u00f6rde bilen bromsa hann han ta ett kliv bakl\u00e4nges och vrida p\u00e5 huvudet. Han s\u00e5g radband dingla i backspegeln p\u00e5 en bil som kom fr\u00e5n andra h\u00e5llet och sedan tr\u00e4ffade den f\u00f6rsta bilen honom. Han f\u00e4ktade med armarna och hoppade \u00e5t sidan i en grotesk foxtrot, f\u00f6ll omkull och slog i v\u00e4nstra axeln och sidan av ansiktet. Han f\u00f6rs\u00f6kte n\u00e4stan genast ta sig upp. Folk kom f\u00f6r att hj\u00e4lpa honom och en liten skara samlades. Biltutorna hade redan b\u00f6rjat v\u00e4snas. Han k\u00e4nde sig idiotisk n\u00e4r han stod d\u00e4r p\u00e5 kn\u00e4, och vinkade lugnande. N\u00e5gon tog honom under armarna och lyfte honom och han st\u00e4llde sig uppr\u00e4tt och nickade. Han borstade av sig, k\u00e4nde hur det br\u00e4nde i v\u00e4nster hand men ville inte titta efter riktigt \u00e4n. Han log pressat mot alla ansikten och de drog sig tillbaka. Sedan v\u00e4nde han sig om och gick upp p\u00e5 trottoaren igen och letade efter n\u00e5gonstans att sitta. M\u00e4nniskor promenerade omkring honom och solen gassade. Han blundade och v\u00e4nde ansiktet mot den. Trafiken hade kommit i g\u00e5ng nu men l\u00e4ngre bort h\u00e4ngde de fortfarande p\u00e5 tutorna och upph\u00e4vde tjut, en utdragen middagsh\u00e4pnad. Solen var en lisa f\u00f6r ansiktet.\n\nDet var n\u00e5got riskabelt med de d\u00e4r raderna han skrev om k\u00e4llarrummet. De inneh\u00f6ll en paus, ett \u00e4ngsligt mellanrum som han b\u00f6rjade k\u00e4nna igen. Det finns en fara med en mening som st\u00e4mmer, en k\u00e4nsla av att orden n\u00e4stan inte hann fram till sidan. Han gl\u00f6mde att raka sig och l\u00e4gga smutskl\u00e4derna i tv\u00e4ttp\u00e5sen \u00e5t st\u00e4derskan eller s\u00e5 stoppade han ner kl\u00e4derna men gl\u00f6mde att fylla i det specificerade formul\u00e4ret. Han kom tillbaka till rummet och tittade p\u00e5 sina kl\u00e4der i plastp\u00e5sen och undrade om de var rena eller smutsiga. Han tog ut dem och h\u00f6ll upp dem mot ljuset och s\u00e5g blodfl\u00e4ckar lite h\u00e4r och var och stoppade ner dem i p\u00e5sen igen f\u00f6r att inv\u00e4nta st\u00e4derskans \u00e5tg\u00e4rder. Sysslorna omgavs av ett skal, ett slags vithet. Han gned in antiseptisk salva p\u00e5 sin skrubbade hand och tog ett varmt bad f\u00f6r att lindra \u00f6mheten i sin v\u00e4rkande kropp. \u00c4ven om han hade kommit ih\u00e5g att raka sig skulle han bara kunnat ta halva sidan av ansiktet. En halvm\u00e5neformad fl\u00e4ck gick fr\u00e5n v\u00e4nstra \u00f6gat ner till k\u00e4ken och den var blank och mogen och s\u00e5g m\u00e4rkligt levande ut. Han r\u00f6kte och skrev, han t\u00e4nkte att han kanske aldrig skulle f\u00e5 det att st\u00e4mma men k\u00e4nde igen n\u00e5gonting, n\u00e5got som blivit satt p\u00e5 spel, en spr\u00e5klag eller naturlag, och han trodde att han kunde sp\u00e5ra det rad f\u00f6r rad, den f\u00f6rkrossande ansp\u00e4nningen, det som han tappat bort i den o\u00e4ndliga romanens sand.\n\nHan l\u00e4rde sig hur man uttalade ordet Metaxa, med betoning p\u00e5 sista stavelsen, och b\u00f6rjade komma underfund med den k\u00e4rva konjakssmaken.\n\nI London satt det l\u00e4kare vid bordet intill n\u00e4r han \u00e5t frukost. H\u00e4r hade han pr\u00e4ster som k\u00f6pte \u00e4pplen p\u00e5 torget. Han gick in i en kyrka i Pl\u00e1kakvarteren och fick se en underlig samling metallsymboler som var upph\u00e4ngda nedanf\u00f6r en ikon f\u00f6rest\u00e4llande n\u00e5got bepansrat helgon. Det var mest avbilder av kroppsdelar men vissa emblem var graverade med soldater och sj\u00f6m\u00e4n, det fanns nakna sp\u00e4dbarn och Volkswagenbilar, det fanns hus, kor och \u00e5snor. Bill kom fram till att alltihop var votivtecken. Om man hade \u00f6roninflammation eller hj\u00e4rtflimmer anh\u00f6ll man om hj\u00e4lp fr\u00e5n ovan genom att k\u00f6pa en f\u00e4rdig symbol med hj\u00e4rta p\u00e5 eller ett \u00f6ra eller ett br\u00f6st, de hade br\u00f6st s\u00e5g Bill, f\u00f6r cancer, och helt enkelt l\u00e4gga den bredvid r\u00e4tt helgon. F\u00f6reteelsen omfattade ett tusental tillst\u00e5nd och katastrofer som kunde drabba m\u00e4nniskors n\u00e4ra och k\u00e4ra eller deras egendom, och i princip verkade det vettigt, den gav kraft och pregnans \u00e5t deras v\u00e4djan, den besj\u00e4lade en ikondemokrati, men han k\u00e4nde att han skulle vilja g\u00e5 in i en aff\u00e4r och k\u00f6pa en symbol f\u00f6r hela m\u00e4nniskan och h\u00e4nga upp den bredvid r\u00e4tt helgon. De hade helgon f\u00f6r allting fr\u00e5n smittkoppor till djurbett men han undrade om det fanns en beskyddare f\u00f6r hela m\u00e4nniskan, kropp, sj\u00e4l och jag, och dessutom k\u00e4nde han ett egendomligt stygn l\u00e5ngt in i h\u00f6ger sida, ett hugg skulle han vilja kalla det, f\u00f6r vilket han knappast trodde man hade hittat ett helgon eller tillverkat en medalj som gick att k\u00f6pa i en aff\u00e4r.\n\nGeorge sa: \u00bbVi m\u00e5ste v\u00e4l g\u00e5 till doktorn med dig?\u00ab\n\n\u00bbDet ordnar sig.\u00ab\n\n\u00bbMen ditt ansikte. Ska vi inte g\u00e5 till en doktor f\u00f6r det h\u00e4r? Jag kan ringa.\u00ab\n\n\u00bbDet l\u00e4ker som det ska. Blir b\u00e4ttre f\u00f6r var dag.\u00ab\n\n\u00bbFick du f\u00f6rarens namn?\u00ab\n\n\u00bbJag vill inte ha hans namn.\u00ab\n\n\u00bbHan k\u00f6rde p\u00e5 dig, Bill.\u00ab\n\n\u00bbDet var inte hans fel.\u00ab\n\n\u00bbL\u00e5t mig ringa upp n\u00e5n. Du borde anm\u00e4la det. Nog m\u00e5ste vi tala med n\u00e5n om en s\u00e5n h\u00e4r historia?\u00ab\n\n\u00bbGe mig n\u00e5t att dricka, George.\u00ab\n\nDe satt och resonerade tills det blev kv\u00e4ll. D\u00e5 flyttade de ut p\u00e5 terrassen och tittade p\u00e5 n\u00e4r gatubelysningen t\u00e4ndes och tusen bilar i minuten jagade mot bukten med r\u00f6da strimmor efter sig, en vanlig skymnings outh\u00e4rdliga vemod. Georges dotter kom ut och lutade sig mot r\u00e4cket, en olycklig flicka i jeans.\n\n\u00bbJag \u00e4r orolig f\u00f6r dig, Bill.\u00ab\n\n\u00bbG\u00f6r mig en tj\u00e4nst. Var inte det.\u00ab\n\n\u00bbVarf\u00f6r har du blandat dig i det h\u00e4r?\u00ab\n\n\u00bbDet var din id\u00e9.\u00ab\n\n\u00bbMen du gick med p\u00e5 det utan diskussion.\u00ab\n\n\u00bbKanske det.\u00ab\n\n\u00bbL\u00e5t mig ringa n\u00e5n f\u00f6r ansiktet. Jasmine, h\u00e4mta min lilla telefonbok.\u00ab\n\n\u00bbDet \u00e4r sent. Jag kan g\u00e5 till en l\u00e4kare i morgon.\u00ab\n\n\u00bbDet tar jag som ett l\u00f6fte\u00ab, sa George.\n\n\u00bbJa.\u00ab\n\n\u00bbOch det blir inte i Beirut. Flygplatsen \u00e4r st\u00e4ngd igen p\u00e5 grund av h\u00e4ftiga strider. Jag har talat med Rashid. Han skulle kunna ta sig ut med b\u00e5t och sen flyga hit fr\u00e5n Cypern men nu \u00e4r ocks\u00e5 sj\u00f6v\u00e4gen mycket farlig och jag tror inte att han vill komma hit i vilket fall som helst. Det hela \u00e4r en stor missr\u00e4kning. Jag s\u00e5g fram emot att f\u00e5 samarbeta med dig i det h\u00e4r.\u00ab\n\n\u00bbOch Jean-Claude?\u00ab\n\n\u00bbVem \u00e4r det?\u00ab\n\n\u00bbDet \u00e4r han som sitter gisslan, George.\u00ab\n\n\u00bbS\u00e4g inte vad han heter.\u00ab\n\n\u00bbDu vet vad han heter.\u00ab\n\n\u00bbDet har fallit mig ur minnet. Gl\u00f6mt. Borta f\u00f6r alltid.\u00ab\n\nFlickan stod bakom sin pappa med h\u00e4nderna p\u00e5 hans axlar och masserade mjukt, bedr\u00f6vat.\n\n\u00bbHur kommer de att d\u00f6da honom?\u00ab\n\n\u00bb\u00c5k hem, Bill, och sk\u00f6t ditt arbete. Jag uppskattar v\u00e5ra samtal men det finns ingen anledning f\u00f6r dig att stanna kvar h\u00e4r. Och t\u00e4nk p\u00e5 vad jag sa. Ordbehandlare. Att jobba med tangentbord kr\u00e4ver ingenting. Jag lovar. Det \u00e4r n\u00e5t du inte kan vara utan.\u00ab\n\nHan gick upp p\u00e5 sitt rum och f\u00f6rs\u00f6kte sova en stund. Det fanns en replik som han upprepade f\u00f6r sig sj\u00e4lv om och om igen, som \u00e4gde en mystik och en kraft han bara upplevt i det f\u00f6rflutna med m\u00e4nniskor som \u00e4lskat varandra och levt s\u00e5 n\u00e4ra varandra att de l\u00e4rt sig varandras v\u00e5rtor och h\u00e5rvirvlar och tomma pauser, och d\u00e4rf\u00f6r var repliken inte en r\u00f6st utan flera och det var mer eller mindre en nonsensformulering, en replik f\u00f6r alla tillf\u00e4llen eller inget alls, fr\u00e4mst menad som ett sk\u00e4mt men ocks\u00e5 anv\u00e4ndbar i sv\u00e5ra stunder f\u00f6r att p\u00e5minna dem om att orden finns kvar \u00e4ven n\u00e4r man skils \u00e5t.\n\nM\u00e4t skallen f\u00f6re best\u00e4llning.\n\nDet var repliken som sa allt. S\u00e5 mycket mer tr\u00e4ffande och s\u00e5 mycket roligare just f\u00f6r att utomst\u00e5ende inte f\u00f6rstod och s\u00e5 mycket b\u00e4ttre just f\u00f6r att det inte fanns n\u00e5got att f\u00f6rst\u00e5.\n\nKlockan sex p\u00e5 morgonen hade han checkat ut och linkade gatan fram. Efter vart tionde steg s\u00e5g han sig om efter en taxi. Han hade detta enda par byxor som han haft p\u00e5 sig \u00e4nda sedan New York och de var blodfl\u00e4ckade p\u00e5 kn\u00e4na av skrubbs\u00e5ret p\u00e5 handen och han hade fortfarande Charlies tr\u00e5nga gamla tweedkavaj och Lizzies \u00f6vernattningsv\u00e4ska och rakhyveln han k\u00f6pte i Boston, fast\u00e4n han inte anv\u00e4nde den, och skorna han k\u00f6pte dagen f\u00f6re rakhyveln och som \u00e4ntligen blivit ing\u00e5ngna.\n\nHan hade hamnat i ett villaomr\u00e5de och var alldeles vilse. En man i undertr\u00f6ja sl\u00e4pade tre soptunnor \u00f6ver gatan. Ett rent ljus uppslukades av den lurviga barken p\u00e5 ett eukalyptustr\u00e4d och det var en m\u00e4ktig syn, hela tr\u00e4det gl\u00f6dde, det framstod som hett och laddat, grenarna slog ut i mild l\u00e5ga, hela tr\u00e4det tycktes uppenbarat. Mannen sl\u00e4ngde s\u00e4ckarna i h\u00f6rnet och kom tillbaka \u00f6ver gatan, Bill nickade \u00e5t honom och gick vidare. Han h\u00f6rde en sopbil streta uppf\u00f6r backen.\n\nHan fortsatte att se sig om efter en taxi.\n\n#  12\n\nHON bar med sig m\u00e5nga r\u00f6ster genom New York. Hon talade med m\u00e4nniskor i parken, ber\u00e4ttade f\u00f6r dem om en man fr\u00e5n fj\u00e4rran land som hade makt att f\u00f6r\u00e4ndra historien. Systemet av bebodda l\u00e5dor blev alltmer invecklat. N\u00e4tterna var varma och folk drogs till parken fr\u00e5n st\u00e4llen runt omkring. De var belagda med sot. En kvinna traskade runt med sina saker i en hel klase plastkassar. Handtagen p\u00e5 en kasse var fastknutna i handtagen p\u00e5 n\u00e4sta och hon sl\u00e4pade dem efter sig i en kraftig sn\u00f6rstump. Karen m\u00e4rkte att duvor och ekorrar alltmer tog efter r\u00e5ttorna. Man kunde se dem kila rakt in i t\u00e4lten och stj\u00e4la mat. Duvorna var st\u00e4ndigt i r\u00f6relse och ekorrarna satt hopkrupna och guppade och v\u00e4ntade, of\u00f6rskr\u00e4ckta kr\u00f6p de in i pappersp\u00e5sar som folk p\u00e5 b\u00e4nkarna hade st\u00e4llt ner vid sina f\u00f6tter. De riktiga r\u00e5ttorna kom med m\u00f6rkret, tysta och smygande.\n\nM\u00e4nniskor kommer ut ur husen, samlas p\u00e5 dammiga torg och g\u00e5r tillsammans, en str\u00f6m av folk som ropar ett ord eller ett namn och g\u00e5r till en m\u00f6tesplats d\u00e4r de skanderande f\u00f6renar sig med m\u00e5nga andra.\n\nD\u00e4r fanns Omar i sin hukande knarklangarst\u00e4llning. Det h\u00e4nde n\u00e5gra g\u00e5nger att han hj\u00e4lpte henne att b\u00e4ra flaskor till aff\u00e4ren f\u00f6r att panta dem. En g\u00e5ng gick de till ett konstgalleri och stod och tittade p\u00e5 en j\u00e4ttelik konstruktion som slingrade fram \u00f6ver v\u00e4ggen. Hon r\u00e4knade ihop metall, jutev\u00e4v, glas, det satt tjocka f\u00e4rgklumpar p\u00e5 glaset, en hylla av murket tr\u00e4, d\u00e4r fanns ficklampsbatterier och vykort fr\u00e5n Grekland. Karen tittade p\u00e5 en sked med intorkad mat som satt fast i jutev\u00e4ven. Hon t\u00e4nkte att hon skulle vilja r\u00f6ra vid den, bara r\u00f6ra, f\u00f6r att ha tagit i n\u00e5got som var unikt. S\u00e5 hon str\u00e4ckte sig fram och r\u00f6rde vid den och tittade sig sedan omkring f\u00f6r att se om det var n\u00e5gon som sneglade misst\u00e4nksamt p\u00e5 henne. Hon fick \u00e4nnu en ingivelse och lyfte l\u00e4tt p\u00e5 den. Skeden lossnade fr\u00e5n jutev\u00e4ven med ett kardborrbandsratsch. Till sin f\u00f6rskr\u00e4ckelse f\u00f6rstod hon att den var l\u00f6stagbar. Hon tittade p\u00e5 Omar med stora och allvarliga \u00f6gon och stela l\u00e4ppar \u00f6ver det lilla \u00f6verbettet. Han gick av och an och gjorde miner av spelad skr\u00e4ck. Det vill s\u00e4ga ett antal gapande grimaser kompletterade med lite struttande steg. Hon h\u00f6ll skeden i handen och stod som f\u00f6rstenad. Hon kunde inte minnas n\u00e4r hon f\u00f6rut varit s\u00e5 r\u00e4dd. Den bara lossnade fr\u00e5n tavlan. En riktig sked med en skorpa av mat som ocks\u00e5 var riktig. Hon f\u00f6rs\u00f6kte lukta p\u00e5 maten men passade sig f\u00f6r att vifta f\u00f6r mycket med skeden och f\u00f6rorsaka ett \u00e4nnu st\u00f6rre s\u00f6nderfall. Omar struttade mot d\u00f6rren som en trombonist p\u00e5 begravning, med alla de r\u00e4tta r\u00f6relserna. Hon trodde inte att skeden skulle fastna p\u00e5 jutev\u00e4ven igen och det fanns ingenstans d\u00e4r hon kunde l\u00e4gga den ifr\u00e5n sig. Rummet var helt kalt, v\u00e4ggar, golv och konstverk. Hon best\u00e4mde sig f\u00f6r att f\u00f6lja efter Omar med skeden utstr\u00e4ckt s\u00e5 n\u00e5gon skulle f\u00e5 syn p\u00e5 den och d\u00e5 skulle hon kunna l\u00e4mna tillbaka den med en frammumlad urs\u00e4kt. Hon hade bilden alldeles klar f\u00f6r sig, hur hon f\u00f6rsiktigt lade skeden p\u00e5 disken vid d\u00f6rren. Men ingen sa n\u00e5got och s\u00e5 stod hon ute p\u00e5 gatan och den satt kvar i handen p\u00e5 henne, med intorkad mat och allt, och hon var \u00e4nnu r\u00e4ddare \u00e4n f\u00f6rut. Hon hade l\u00e4mnat lokalen med en del av ett konstverk i handen. Omar struttade och str\u00e5lade. Hon s\u00e5g honom studsa i v\u00e4g f\u00f6rbi skyltdockor i svarta kimonor med utstickande armb\u00e5gar.\n\nD\u00e4r fanns l\u00e4ckor i gasledningarna och klotblixtar utanf\u00f6r ber\u00f6mda restauranger och folk sa: \u00bbBeirut, Beirut, det \u00e4r precis som i Beirut.\u00ab\n\nN\u00e4stan framme vid parken gick hon f\u00f6rbi tiggaren som s\u00e4ger: \u00bbSk\u00e4nk en liten slant, jag \u00e4lskar er \u00e4nd\u00e5.\u00ab Varje g\u00e5ng hon gick f\u00f6rbi drog han sin eviga refr\u00e4ng. Folk gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5. De gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5. Sk\u00e4nk en liten slant. De gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5. Hon st\u00e4llde tomma flaskor och burkar utanf\u00f6r skjulen och pantade andra flaskor och k\u00f6pte mat \u00e5t de heml\u00f6sa i parken och ber\u00e4ttade f\u00f6r dem att det fanns en man i fj\u00e4rran land. Omar tog med henne in i hyreshus d\u00e4r han sk\u00f6tte sina snabba aff\u00e4rer med uttryck som hon aldrig riktigt fick grepp om. D\u00e4r var det kakelgolv i trappuppg\u00e5ngarna och de hade s\u00e5dana d\u00e4r h\u00e5l i d\u00f6rrarna d\u00e4r de satte in l\u00e5s och tog ut l\u00e5s. Det var en l\u00e5skultur. En pekande hand m\u00e5lad p\u00e5 en husv\u00e4gg i en gr\u00e4nd tycktes inte leda n\u00e5gonstans.\n\nHemma i atelj\u00e9n bl\u00e4ddrade hon i massor av fotob\u00f6cker och h\u00e4pnade \u00f6ver allt lidande hon s\u00e5g. Sv\u00e4lt, br\u00e4nder, upplopp, krig. Det var de outt\u00f6mliga motiven, bilderna hon inte kunde sluta titta p\u00e5. Hon tittade p\u00e5 bilderna, l\u00e4ste bildtexterna, tittade p\u00e5 bilderna igen, rebeller med huvor, avr\u00e4ttade m\u00e4n, f\u00e5ngar med potatiss\u00e4ck \u00f6ver huvudet. Hon tittade p\u00e5 sv\u00e4ltande afrikaners armar och ben. De hungriga fanns \u00f6verallt, kvinnor som gick med nakna barn i en sandstorm, hur deras l\u00e5nga kjolar b\u00f6ljade. Hon l\u00e4ste bildtexten och tittade p\u00e5 bilden igen. Bilden var naken utan orden, ensam i ett tomrum. Vissa kv\u00e4llar kom hon hem och gick direkt till bilderna. Uppjagade massor som vimlade nedanf\u00f6r j\u00e4ttelika fotografier av heliga m\u00e4n. Hon kunde granska samma bild sju g\u00e5nger p\u00e5 sju n\u00e4tter, barn som f\u00f6ll fr\u00e5n ett brinnande hus, och l\u00e4sa bildtexten varje g\u00e5ng. Det var lidande rakt igenom. Det var den som ligger och d\u00f6r i en ruttnande djungel. Orden hj\u00e4lpte henne att placera bilderna. Hon beh\u00f6vde bildtexterna till att fylla ut tomrummet. Bilderna kunde bli f\u00f6r starka f\u00f6r henne utan de sm\u00e5 tryckta raderna.\n\nHon talade med israeler och bangladeshier. En man med glittrande \u00f6gon v\u00e4nde sig halvv\u00e4gs om medan han i halsbrytande fart k\u00f6rde downtown, och hon gjorde sig en bild av hur taxin voltade och flammade upp i ett brinnande stilleben. Hon talade med varenda chauff\u00f6r, fr\u00e5gade rakt in i myntspringan.\n\nDe gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5. F\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5.\n\nD\u00e4r fanns en \u00f6gats dialekt. Hon l\u00e4ste skyltar och texter i kvarteren runt parken. De polska barerna, de turkiska baden, hebreiska p\u00e5 skyltf\u00f6nstren, ryska i rubrikerna, namn och d\u00f6dskallar m\u00e5lade p\u00e5 v\u00e4ggarna. Allt hon s\u00e5g var n\u00e5gon form av lokalt uttryck, badkar i k\u00f6ken och gamla Watermankaminer, spritbutikens hyllor i montrar av skotts\u00e4ker plast som p\u00e5 ett genomskinligt flaskmuseum. \u00d6verallt s\u00e5g hon orden Sendero Luminoso p\u00e5 halvt nerrasade husv\u00e4ggar och t\u00e4ckta skyltf\u00f6nster, Sendero Luminoso p\u00e5 betongf\u00f6nstren i \u00f6vergivna hyreshus. Orden s\u00e5g vackra ut. De var sprejade \u00f6ver teateraffischer och plakat p\u00e5 alla vittrande tegelmurar i omr\u00e5det.\n\n\u00bbJag \u00e4r inte p\u00e5 n\u00e5t vidare hum\u00f6r\u00ab, sa Omar.\n\n\u00bbJag fr\u00e5gade bara.\u00ab\n\n\u00bbKom inte hit och sm\u00f6ra. Det \u00e4r bara det va.\u00ab\n\n\u00bbJag st\u00e4llde bara en enkel fr\u00e5ga. Antingen vet du eller vet du inte.\u00ab\n\n\u00bbInte en chans p\u00e5 knulla, n\u00e4r\u00e5, sen kommer du h\u00e4r mens jag inte ens vet vad du heter.\u00ab\n\n\u00bbJag har h\u00f6rt hur gammal du \u00e4r. De sa det i parken.\u00ab\n\n\u00bbVad\u00e5, jag klarar mig. Jag bevakar mitt st\u00e4lle i vilket fall. Hajaru. Skit samma om jag \u00e4r sex eller sexti.\u00ab\n\n\u00bbS\u00e5 bra d\u00e5, du \u00e4r otroligt mogen och erfaren. Men det \u00e4r s\u00e5 jag k\u00e4nner.\u00ab\n\n\u00bbDen lysande stigen. Sendero Luminoso. Det \u00e4r spanska f\u00f6r lysande stig.\u00ab\n\n\u00bb\u00c4r det religi\u00f6st?\u00ab\n\n\u00bbDet \u00e4r gerillan och s\u00e5nt. G\u00f6r sig p\u00e5minda.\u00ab\n\n\u00bbVar d\u00e5?\u00ab\n\n\u00bb\u00d6verallt\u00ab, sa Omar.\n\nKroppar som vrider sig p\u00e5 sn\u00e4ckestraden, f\u00f6rsvunna barn p\u00e5 mj\u00f6lkpaketen. Hon mindes skylten f\u00f6r D\u00d6VT BARN och gjorde sig en bild av s\u00f6ndagstystnaden p\u00e5 en byv\u00e4g. Det \u00e4r precis som Beirut. Hon talade med en del v\u00e4nner i parken och ber\u00e4ttade f\u00f6r dem om en man som hade kraften och hur de kunde f\u00f6r\u00e4ndra sina liv enligt hans l\u00e4ror. I tunnelbanan l\u00e4ste hon den spanska n\u00f6dskylten trots att den engelska satt bredvid. Hon t\u00e4nkte att i en verklig n\u00f6dsituation kunde hon g\u00e5 \u00f6ver till den engelska om det skulle beh\u00f6vas och under tiden pr\u00f6vade hon r\u00f6ster i huvudet.\n\nI tunnelbanan, p\u00e5 de flesta gator, i olika h\u00f6rn av parken om natten, kunde det vara farligt med kontakt. Kontakt var inte ett ord eller en ber\u00f6ring utan st\u00e4mningen som blixtrade mellan fr\u00e4mlingar. Hon l\u00e4rde sig att f\u00f6r\u00e4ndra sitt s\u00e4tt att g\u00e5 och sitta, att d\u00f6lja sina blickar eller liksom utpl\u00e5na dem. Hon h\u00f6ll sig kvar i det inre. Hon vandrade omkring innesluten i sig sj\u00e4lv, gick inte \u00f6ver gr\u00e4nsen till blickars ingenmansland, den snabba igenk\u00e4nnande str\u00e5len. Som att jag \u00e4r n\u00e5gon och du \u00e4r n\u00e5gon vilket ger dig r\u00e4tt att sl\u00e5 ihj\u00e4l mig. Hon gjorde sig en bild av springande m\u00e4nniskor p\u00e5 gatan.\n\nHon tyckte om att kl\u00e4ttra upp till Britas s\u00e4ng med den lilla teven i handen och hela v\u00e5ningen i m\u00f6rker och sitta n\u00e4ra taket i skenet och titta utan ljud.\n\nDet v\u00e4xlar till en scen i dagsljus med en miljon m\u00e4nniskor p\u00e5 ett stort torg och m\u00e5nga banderoller med kinesiska tecken som h\u00e5lls upp. Hon ser m\u00e4nniskor sitta med h\u00e4nderna stillsamt kn\u00e4ppta i kn\u00e4t. L\u00e5ngt bort i bakgrunden ser hon ett portr\u00e4tt av Mao Zedong.\n\nSedan kommer regnet. De marscherar i regnet, en miljon kineser.\n\nSedan folk som cyklar f\u00f6rbi utbr\u00e4nda fordon. Cyklister med regnskynken och paraplyer i h\u00e4nderna. Hon ser svedda milit\u00e4rbilar och m\u00e4nniskor som g\u00e5r n\u00e4ra och tittar, f\u00f6rundrade \u00f6ver att vara s\u00e5 n\u00e4ra, och gatlyktor p\u00e5 avst\u00e5nd som b\u00f6jer sig \u00f6ver tr\u00e4d.\n\nDet v\u00e4xlar till en grupp \u00e4ldre m\u00e4n som st\u00e5r stelt uppstr\u00e4ckta i Maouniform.\n\nHon ser soldater i m\u00f6rkret som sm\u00e5springer l\u00e4ngs gatorna. Hon f\u00f6rh\u00e4xas av leden med sm\u00e5springande soldater och de d\u00e4r kravallvapnen de h\u00e5ller i.\n\nSedan m\u00e4nniskor som jagas i m\u00f6rkret, stora folkhopar som r\u00e4mnar och spricker, s\u00e5 d\u00e4r som en folkmassa retirerar och l\u00e4mnar kvar ett f\u00f6rvirrat tomrum.\n\nDe visar h\u00f6ga \u00e4mbetsm\u00e4n i Maouniform.\n\nSoldaterna som sm\u00e5springer p\u00e5 gatorna och kommer in p\u00e5 det enorma torget som ligger i dagsljus trots att det \u00e4r natt nu. Det \u00e4r n\u00e5got med trupper som kommer sm\u00e5springande fr\u00e5n gator och boulevarder in p\u00e5 en stor \u00f6ppen yta. De sm\u00e5springer i sl\u00e4pande takt, n\u00e4stan sl\u00f6tt med de d\u00e4r sm\u00e5 gev\u00e4ren i f\u00e4rdigst\u00e4llning och folkmassan som r\u00e4mnar.\n\nSedan portr\u00e4ttet av Mao p\u00e5 det belysta torget med f\u00e4rg rinnande \u00f6ver hans ansikte.\n\nSoldaterna kommer sm\u00e5springande i taktfast rytm med de lojt sl\u00e4pande stegen, led efter led, och hon vill att det hela ska forts\u00e4tta, den d\u00e4r uppvisningen av sm\u00e5springande soldater med gammalmodiga hj\u00e4lmar och leksaksliknande gev\u00e4r.\n\nDe visar ett pyrande lik p\u00e5 gatan.\n\nD\u00f6da kroppar som sitter fast i omkullfallna cyklar, l\u00e5gor som sl\u00e5r ut i m\u00f6rkret. Kropparna \u00e4r kvar p\u00e5 cyklarna och andra cyklister st\u00e5r och ser p\u00e5, somliga har munskydd p\u00e5 sig. Man skulle kunna s\u00e4ga en trave kroppar och m\u00e5nga d\u00f6da sittande p\u00e5 sina cyklar.\n\nVad \u00e4r det man s\u00e4ger, skingrad? Folkmassan skingrad av sm\u00e5springande trupper som rycker in p\u00e5 den stora platsen.\n\nEn massa ersatt av en annan.\n\nDet \u00e4r vad historien l\u00e4r oss, vem som \u00e4n intar det stora tomrummet och beh\u00e5ller det l\u00e4ngst. Den brokiga skaran mot den skara d\u00e4r alla kl\u00e4r sig lika.\n\nDe visar portr\u00e4ttet av Mao i n\u00e4rbild, en ny ren bild, och han har de d\u00e4r sm\u00e5 h\u00e5rkullarna som v\u00e4ller ut fr\u00e5n huvudet och den stora v\u00e5rtan under l\u00e4ppen. Hon f\u00f6rs\u00f6ker komma ih\u00e5g ifall den finns med p\u00e5 teckningen som Andy gjorde i blyerts och som hon har p\u00e5 v\u00e4ggen i sovrummet hemma. Mao Zedong. Hon gillar namnet. Men det \u00e4r lustigt hur en bild. Det \u00e4r lustigt hur en bild vad\u00e5?\n\nHon h\u00f6r ett billarm utl\u00f6sas ute p\u00e5 gatan.\n\nHon byter kanal och v\u00e4xlar till en miljon kineser p\u00e5 det belysta torget. Hon vill f\u00e5 se fler bilder av sm\u00e5springande soldater. De visar cykelliket, en soldatkropp som h\u00e4nger \u00f6ver en j\u00e4rnbalk, raden av gamla \u00e4mbetsm\u00e4n i Maouniform.\n\nVad betyder det att alla dessa gamla gubbar \u00e4r kl\u00e4dda i Maouniform och att alla m\u00e4nniskor p\u00e5 torget g\u00e5r i skjort\u00e4rmarna?\n\nDen brokiga skaran skingrad.\n\nDe visar det stora officiella portr\u00e4ttet l\u00e5ngt bort i fj\u00e4rran och hon \u00e4r ganska s\u00e4ker p\u00e5 att det inte finns n\u00e5gon v\u00e5rta p\u00e5 Andys teckning.\n\nDet \u00e4r n\u00e5got med soldater som kommer in p\u00e5 ett torg, sm\u00e5springande p\u00e5 led i l\u00e5ngsam takt. Hon byter kanal hela tiden f\u00f6r att f\u00e5 se soldaterna.\n\nDe visar cykelliket.\n\nDet v\u00e4xlar till det belysta torget igen. Det \u00e4r lustigt hur en bild kan visa den sanna m\u00e4nniskan \u00e4ven n\u00e4r den \u00e4r ofullst\u00e4ndig.\n\nOch n\u00e4r hon g\u00e5r ut senare \u00e4r det en taxi som har sladdat in i en parkerad bil och ett tredje billarm tjuter. Folk st\u00e5r runt om och \u00e4ter och tittar p\u00e5. Natriumlamporna b\u00f6jer sig \u00f6ver den flammande scenen, och yr i huvudet av alla sammanblandade platser, det enorma torget i Beijing och den r\u00f6kiga storstadsgatan och h\u00f6rnet i den l\u00e5ga byggnaden d\u00e4r teven befinner sig, st\u00e5r hon och kikar p\u00e5 den krockade bilen, tittar efter lik som h\u00e4nger uppochner och blodst\u00e4nk \u00f6verallt.\n\nDe gick f\u00f6rbi. Sk\u00e4nk en liten slant. Gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5. Sk\u00e4nk en liten slant. Gick f\u00f6rbi. \u00c4lskar er \u00e4nd\u00e5.\n\nHon f\u00f6ljde efter en man som s\u00e5g ut som Bill men vid n\u00e4rmare granskning var han inte alls n\u00e5gon f\u00f6rfattartyp.\n\nHon v\u00e5rdade sig s\u00e5 \u00f6mt hon kunde om skeden med matskorpan fr\u00e5n konstgalleriet. Hon hade den p\u00e5 en hylla och plockade undan b\u00f6cker f\u00f6r att den skulle f\u00e5 ligga i fred och v\u00e4l synlig men ocks\u00e5 skyddad f\u00f6r solljus. Hon oroade sig f\u00f6r maten. Om maten p\u00e5 n\u00e5got vis kom i kontakt med ett annat f\u00f6rem\u00e5l eller om den mjukades upp av v\u00e4rme skulle den kanske lossna fr\u00e5n skeden och en s\u00e5dan vandalisering trodde hon inte att hon skulle uth\u00e4rda. Sked och mat var ett.\n\nHon talade f\u00f6rtroligt med ett par i parken, en man och en kvinna belagda med sot. De satt p\u00e5 en madrass inne i sitt l\u00e5dhus. Karen hukade sig i \u00f6ppningen, fingertopparna nuddade marken, och sops\u00e4cken som var f\u00f6rh\u00e4nge liksom svepte sig om axeln p\u00e5 henne.\n\nV\u00e5r uppgift \u00e4r att bereda v\u00e4gen f\u00f6r den andra tillkommelsen.\n\nV\u00e4rlden skall bli en global familj.\n\nVi \u00e4r de andliga barnen till mannen i fj\u00e4rran land som jag talade om.\n\nVi \u00e4r skyddade av v\u00e5r sanne faders fullkomliga kraft.\n\nVi \u00e4r de fullkomliga barnen.\n\nAllt tvivel skall upph\u00f6ra i den fullkomliga kontrollens famn.\n\nOmar Neeley var fjorton. Hon gick bredvid honom f\u00f6rbi den ukrainska kristusgestalten p\u00e5 kyrkfasaden. De gick f\u00f6rbi aidsh\u00e4rb\u00e4rget. Hon kom p\u00e5 att hon inte visste var han bodde eller om han hade f\u00f6r\u00e4ldrar eller syskon. N\u00e4r hon var yngre trodde hon att syskon alltid var vita och medelklass vilket hade med sj\u00e4lva ordet att g\u00f6ra. De gick f\u00f6rbi den stora kubskulpturen som balanserade p\u00e5 ett h\u00f6rn. Under den l\u00e5g tio karlar och sov med kassar och kundvagnar bredvid sig, vissa hade lagt ifr\u00e5n sig sina kryckor, andra hade ben eller armar i bandage. Det var meningen att Omar skulle hj\u00e4lpa henne att b\u00e4ra gipsskivor som blivit kvar p\u00e5 en rivningstomt. Ta med dem till parken. Men inne p\u00e5 en av fabriksgatorna kom tv\u00e5 m\u00e4n i f\u00f6r tr\u00e5nga hattar fram till dem, s\u00e5dana d\u00e4r sm\u00e5 platta filthattar och brottarlinnen. Hon k\u00e4nde kontakten i luften, det d\u00e4r underf\u00f6rst\u00e5dda str\u00e5ket som f\u00e5r blodet att l\u00e4mna ansiktet. Men de pratade bara. De pratade med Omar med uttryck hon inte blev klok p\u00e5. Sedan gick de bredvid honom och han s\u00e5g sig aldrig om, de gick och han f\u00f6ljde med. Min gipsskiva d\u00e5. Den ene h\u00f6ll handen om hans arm n\u00e4r han talade till honom och han gick vid deras sida med sin flaxiga g\u00e5ng, stor f\u00f6r sin \u00e5lder.\n\nM\u00e4nniskor med kundvagnar fr\u00e5n snabbk\u00f6pen. N\u00e4r hamnade de p\u00e5 gatorna? Hon s\u00e5g dem \u00f6verallt, man sk\u00f6t dem framf\u00f6r sig, sl\u00e4pade dem, slogs om dem, utan hjul, tillknycklade, rullande skrot, fyllda med rent skr\u00e4p, tillvarons holistiska bottensats om man kan uttrycka det s\u00e5. Hon s\u00f6kte upp kvinnan i plasts\u00e4cken och erbj\u00f6d sig att skaffa en kundvagn \u00e5t henne, vilket \u00e4r n\u00e5t som jag skulle kunna klara av. Kvinnan talade till henne inifr\u00e5n s\u00e4cken, sj\u00f6ng som en korp, ett kv\u00e4vt skri som Karen f\u00f6rs\u00f6kte f\u00f6rst\u00e5. Hon uppt\u00e4ckte att hon n\u00e4stan inte f\u00f6rstod n\u00e5gon h\u00e4r, ingen talade s\u00e5 som hon var van vid. Hela hennes \u00f6vriga liv hade kr\u00e4vt ett slags lyssnande och nu m\u00e5ste hon l\u00e4ra sig ett annat. Det var ett helt annat spr\u00e5k, in\u00e5tv\u00e4nt och oskrivbart, trassnacket fr\u00e5n kundvagnar och sops\u00e4ckar, sotets spr\u00e5k, och Karen m\u00e5ste lyssna noggrant p\u00e5 kvinnans s\u00e4tt att dra fram en rad ord ur strupen, som n\u00e4sdukar hopknutna med varandra, och sedan f\u00f6rs\u00f6kte hon g\u00e5 tillbaka och pussla ihop det.\n\nDet l\u00e4t som om kvinnan sa: \u00bbDe har bussar h\u00e4r i stan som b\u00f6jer kn\u00e4 f\u00f6r rullstolar. Ge oss ramper \u00e5t m\u00e4nskor som lever p\u00e5 gatan. Jag vill ha bussar som b\u00f6jer kn\u00e4 f\u00f6r oss.\u00ab\n\nDet l\u00e4t som om hon sa: \u00bbMin blindhund vill jag ska f\u00e5 komma in p\u00e5 bio.\u00ab\n\nMen kanske var det n\u00e5got helt annat.\n\nM\u00e4nniskor som samlar sig i skaror \u00f6verallt, kommer ut ur lerhyddor och pl\u00e5tskjul och stora l\u00e4ger, och tr\u00e4ffas p\u00e5 ett dammigt torg n\u00e5gonstans och marscherar tillsammans mot en m\u00f6tesplats, medan de ropar ett namn, drar med sig m\u00e5nga fler p\u00e5 v\u00e4gen, vissa springer, vissa har blodfl\u00e4ckade skjortor, och de kommer fram till en v\u00e4ldig \u00f6ppen yta som de fyller med sina sammanpressade kroppar, ett ord eller ett namn, ropar ut ett namn under den kritvita himlen, miljontals som skanderar.\n\nHon sa: \u00bbS\u00e4tt mig i vibration\u00ab eller \u00bbSe min frustration\u00ab och n\u00e4r Karen kom med varm mat i en pajform tog hon med den in i sops\u00e4cken och f\u00f6rsvann.\n\nBrita kom hem och de satt och \u00e5t en m\u00e5ltid omsorgsfullt tillredd av Karen. Hon hade st\u00e4dat och packat ner sina f\u00e5 tillh\u00f6righeter i en bag som hon st\u00e4llt vid d\u00f6rren f\u00f6r att visa att hon skulle g\u00e5 s\u00e5 fort hon blev tillsagd.\n\nBrita var ansl\u00e5ende, hon pratade i ett, uppjagad av jetlag och laddad med en ren energi som var f\u00f6rbrukad i sin k\u00e4rna och nu bara bestod av ett ot\u00e5ligt skal. Hon var utm\u00e4rglad och vacker som den som \u00e5terv\u00e4nder fr\u00e5n skriande tropisk ensamhet.\n\n\u00bbVilket gillar du b\u00e4st, att bada eller duscha?\u00ab sa Karen.\n\n\u00bbJag badar om jag har tid. Jag \u00f6verl\u00e4mnar mig \u00e5t mitt bad. Det \u00e4r enda st\u00e4llet d\u00e4r jag \u00e4r lycklig i stunden.\u00ab\n\n\u00bbJag ska tappa upp ett bad \u00e5t dig.\u00ab\n\n\u00bbI vanliga fall \u00e4r jag bara lycklig n\u00e4r jag t\u00e4nker tillbaka p\u00e5 n\u00e5t. S\u00e5 d\u00e4r en fem \u00e5r efter\u00e5t. Bortsett fr\u00e5n mitt bad och mina f\u00f6rfattare. Jag \u00e4r lycklig n\u00e4r jag h\u00e5ller p\u00e5 med f\u00f6rfattare.\u00ab\n\n\u00bbJag tror aldrig att jag har sagt s\u00e5 d\u00e4r f\u00f6rut. \u203aJag ska tappa upp ett bad \u00e5t dig.\u2039 Det l\u00e5ter konstigt n\u00e4r man h\u00f6r det.\u00ab\n\n\u00bbOch hur \u00e4r det med Bill, var \u00e4r han, \u00e4r det n\u00e5n som vet, den d\u00e4r tokiga karln?\u00ab\n\n\u00bbDet har inte h\u00e4nt n\u00e5t f\u00f6r d\u00e5 skulle Scott ha ringt.\u00ab\n\n\u00bbM\u00e4n har en ben\u00e4genhet att f\u00f6rsvinna. Vad tror du? Fast jag antar att du sj\u00e4lv har \u00e4gnat dig en del \u00e5t att f\u00f6rsvinna. Jag skulle aldrig kunna g\u00e5 upp i r\u00f6k s\u00e5 d\u00e4r. Jag skulle vara tvungen att l\u00e4mna vissa meddelanden. L\u00e5ta de skitst\u00f6vlarna f\u00e5 veta varf\u00f6r jag ger mig av och l\u00e5ta dem veta var de kan f\u00e5 tag i mig s\u00e5 de kan tala om f\u00f6r mig hur ledsna de \u00e4r f\u00f6r att jag har stuckit.\u00ab\n\n\u00bbF\u00f6rsvann din man?\u00ab\n\n\u00bbHan \u00e5kte p\u00e5 aff\u00e4rsresa.\u00ab\n\n\u00bbN\u00e4r var det?\u00ab\n\n\u00bbArton \u00e5r sen.\u00ab\n\n\u00bbSom den d\u00e4r sagan vad den nu heter?\u00ab\n\n\u00bbPrecis. Och han upplever en massa \u00e4ventyr och utf\u00f6r legendariska bedrifter och kommer tillbaka med ett kontrakt p\u00e5 en miljon reservdelar.\u00ab\n\n\u00bbS\u00e4g till n\u00e4r du vill att jag ska tappa upp badet.\u00ab\n\n\u00bbF\u00f6rsvann din man?\u00ab sa Brita.\n\n\u00bbDe skickade honom till England som mission\u00e4r. Jag vet inte var han \u00e4r nu.\u00ab\n\n\u00bbOch ni gifte er i den d\u00e4r kyrkan.\u00ab\n\n\u00bbDe har n\u00e5t som kallas sammanf\u00f6rningsceremoni. Det \u00e4r f\u00f6re br\u00f6llopet. D\u00e5 v\u00e4ljs partnern ut.\u00ab\n\n\u00bbVill jag verkligen h\u00f6ra detta?\u00ab\n\n\u00bbVissa medlemmar har faktiskt skyltar om halsen d\u00e4r det st\u00e5r typ Infertil, eller Eventuell Homosexuell. Liksom f\u00f6r att skydda sig mot \u00f6verraskningar.\u00ab\n\n\u00bbH\u00f6rdu, \u00f6verraskningar blir det. Jag skulle se ut som tatuerade damen om jag blev tvungen att redovisa alla detaljer.\u00ab\n\n\u00bbTar stark lugnande medicin.\u00ab\n\n\u00bbOch vem valde ut din partner?\u00ab\n\n\u00bbPastor Moon.\u00ab\n\n\u00bbOch vad tycker du om det?\u00ab\n\n\u00bbJag tyckte det var helt underbart. Jag reste mig n\u00e4r jag blev uppropad. Jag gick fram i lokalen som var som en balsal. Master stod l\u00e5ngt borta p\u00e5 andra sidan scenen och vi hade en massa m\u00e4nniskor mellan oss, officianter och medlemmar av salighetskommitt\u00e9n och s\u00e5na d\u00e4r. Och sen pekade han bara p\u00e5 en man i publiken.\u00ab\n\n\u00bbOch du tittade p\u00e5 honom och visste att han var den r\u00e4tte.\u00ab\n\n\u00bbJag trodde att jag \u00e4lskade honom \u00e4rligt och uppriktigt redan innan han hade rest sig i hela sin l\u00e4ngd. Jag t\u00e4nkte s\u00e5 underbart att han \u00e4r korean eftersom m\u00e5nga koreaner har varit medlemmar sen l\u00e4nge och det skulle ge oss en fastare grund att bygga p\u00e5. Och jag tyckte om hans svarta och glatta h\u00e5r.\u00ab\n\n\u00bbMin man var i princip skallig.\u00ab\n\n\u00bbMen vet du vad jag fick reda p\u00e5 sen. Dagen f\u00f6re ceremonin hade Master tittat p\u00e5 fotografier av medlemmarna och helt enkelt parat ihop oss efter fotona. Och d\u00e5 t\u00e4nkte jag h\u00e4rligt, jag har f\u00e5tt en Instamatic-make.\u00ab\n\n\u00bbInser du vilken tur du har haft som kommit undan allt det d\u00e4r?\u00ab\n\n\u00bbJag gillar inte att h\u00f6ra det s\u00e4gas h\u00f6gt i och f\u00f6r sig.\u00ab\n\n\u00bbDu har haft en sansl\u00f6s tur.\u00ab\n\n\u00bbDet finns mer potatis\u00ab, sa Karen.\n\n\u00bbDet finns alltid mer potatis. Jag \u00e4r pratsam av naturen. Fattar du? Jag l\u00e5ter mycket, jag tr\u00e4ffar folk, jag tr\u00e4ffar m\u00e4n, jag tycker om att prata med m\u00e4n, jag har f\u00f6rh\u00e5llanden men det m\u00e5ste g\u00e5 minst fem \u00e5r innan jag vet om jag \u00e4r lycklig. T\u00e4nk p\u00e5 Scott.\u00ab\n\n\u00bbJag t\u00e4nker p\u00e5 honom. Men jag t\u00e4nker p\u00e5 Kim ocks\u00e5. Han var make-f\u00f6r-evigt. Han var kl\u00e4dd i m\u00f6rkbl\u00e5 kostym och r\u00f6dbrun slips. Det var de allihop. Och alla brudarna hade Simplicitym\u00f6nster \u00e5tta tre nio tv\u00e5 med fyra centimeter h\u00f6gre ringning i halsen.\u00ab\n\n\u00bb\u00c5k tillbaka till Scott och stanna hos honom. Ni h\u00f6r ihop, alla tre. Jag tycker att det \u00e4r ett underligt och sorgligt s\u00e4tt att leva i m\u00e5nga h\u00e4nseenden, men jag \u00e4r knappast r\u00e4tt person att uttala mig om vad som \u00e4r underligt och f\u00f6rresten \u00e4r ni fruktansv\u00e4rt beroende av varandra. Jag tycker inte om tanken p\u00e5 Bill ute ensam n\u00e5nstans.\u00ab\n\n\u00bbHur vet du att han \u00e4r ensam?\u00ab\n\n\u00bbDet \u00e4r klart han \u00e4r ensam. Han vill vara s\u00e5 ensam att han kan gl\u00f6mma hur man lever. Han vill inte ha det l\u00e4ngre. Han vill l\u00e4mna tillbaka alltihop. Jag \u00e4r fullst\u00e4ndigt \u00f6vertygad om att han \u00e4r ensam. Jag k\u00e4nner den karln sen hundra \u00e5r.\u00ab\n\n\u00bbJag ska tappa upp badet nu\u00ab, sa Karen.\n\nScott h\u00f6ll p\u00e5 med l\u00e4sarposten. Den l\u00e5g \u00f6verallt p\u00e5 vinden, brev ordnade i snedst\u00e4llda rader p\u00e5 skrivbordet och arbetsbordet, ovanp\u00e5 arkivsk\u00e5pen och bokhyllorna. Han lade upp hela brevsamlingen efter land. N\u00e4r det v\u00e4l var gjort skulle han sortera varje land i kronologisk ordning f\u00f6r att l\u00e4tt kunna hitta ett brev exempelvis avs\u00e4nt fr\u00e5n Belgien 1972. Det fanns ingen egentlig anledning varf\u00f6r han n\u00e5gonsin skulle vilja f\u00e5 tag p\u00e5 ett s\u00e5dant brev eller n\u00e5got annat enstaka l\u00e4sarbrev. Vitsen var att han skulle ha allt p\u00e5 r\u00e4tt plats. Huset skulle bli mer logiskt med den uppst\u00e4llningen. Och n\u00e4r han var klar med alla andra l\u00e4nder, skulle han ta F\u00f6renta staterna. Han skulle ta delstat f\u00f6r delstat, m\u00e4ngder av brev fr\u00e5n flera decennier. Bill blev oftast nerv\u00f6s av breven. De gjorde intr\u00e5ng i hans isolering och fick honom att k\u00e4nna ett ansvar f\u00f6r avs\u00e4ndarens sj\u00e4l. Scott skrattade f\u00f6rst\u00e5s \u00e5t det. De enda brev som Bill tog sig en titt p\u00e5 var de som kom fr\u00e5n n\u00e5gon avkrok eller j\u00e4rnv\u00e4gsknut, en breddning i v\u00e4gen. Han fastnade f\u00f6r postst\u00e4mplar och avs\u00e4ndaradresser. Han tyckte om att l\u00e4sa upp ortsnamn som lj\u00f6d av sp\u00f6kmusik fr\u00e5n avl\u00e4gsna trakter, sm\u00e5 byar som vilade i sommarsurr under den indianska himlen. Han ville g\u00e4rna tro att det bara var n\u00e5gra f\u00e5 blyga gymnasieelever eller rekryter eller pianol\u00e4rare i sm\u00e5 gudsf\u00f6rg\u00e4tna h\u00e5lor som verkligen f\u00f6rstod vad som var viktigt i hans verk.\n\nDen kv\u00e4llen l\u00e4ste Scott breven fr\u00e5n Bills syster en g\u00e5ng till. D\u00e4rp\u00e5 letade han i sovrummet efter n\u00e5gonting som kunde avsl\u00f6ja n\u00e5got om Bills g\u00f6mst\u00e4lle eller n\u00e4r han skulle ringa eller om han skulle ringa. Medicinerna l\u00e5g huller om buller i byr\u00e5ns tv\u00e5 \u00f6versta l\u00e5dor. Det var m\u00e5nga fler \u00e4n han hade k\u00e4nt till och han l\u00e4ste noga namnen p\u00e5 alla sorterna. De l\u00e4t som science fiction-gudar. Han \u00f6gnade igenom broschyrerna och referenslitteraturen och de sm\u00e5 pocketb\u00f6ckerna om olika piller. Han letade efter privata brev och dokument. Det l\u00e5g en ensam tom resv\u00e4ska ovanp\u00e5 garderoben och en gammal elektrisk fl\u00e4kt stod p\u00e5 en hopvikt pappersp\u00e5se bland skorna. Han letade efter f\u00f6rseglade instruktioner, b\u00e5de tanken och uttrycket tyckte han var f\u00e5niga, men t\u00e4nkte \u00e4nd\u00e5 att det kunde finnas n\u00e5got som det var meningen att han s\u00e5 sm\u00e5ningom skulle hitta.\n\nWillard Skansey. En welterviktsmatch utomhus i \u00e5ngande semesterv\u00e4der framf\u00f6r en skara halmhattar.\n\nScott t\u00e4nkte aldrig avsl\u00f6ja namnbytet f\u00f6r n\u00e5gon. Han t\u00e4nkte h\u00e5lla absolut tyst. Han ville g\u00e4rna h\u00e5lla tyst, ocks\u00e5 nu n\u00e4r han b\u00f6rjade k\u00e4nna sig \u00f6vergiven. I m\u00e5nga \u00e5r hade Bill kunnat lita p\u00e5 att folk h\u00f6ll tyst f\u00f6r hans skull. Det skulle st\u00f6tta Scott och utveckla honom, det skulle f\u00f6ra honom \u00e4nnu n\u00e4rmare Bill, att bevara hemligheten med hans namn.\n\nHan gick in i arbetsrummet och tog en ny titt p\u00e5 v\u00e4ggdiagrammen. Han l\u00e4ste vykorten fr\u00e5n Liz. Sedan skrev han en lista p\u00e5 saker han skulle g\u00f6ra n\u00e4r han blev klar med breven.\n\nKaren \u00e5kte taxi, hon \u00e4lskade dessa skumpande gula bilar med sina slanka etiopier vid ratten. De hade vadderade rattar, de hade rattmuffar och religi\u00f6sa bilder fastklistrade p\u00e5 instrumentbr\u00e4dan. Hon satt och tittade p\u00e5 en kilformad byggnad vid Times Square och den hade ett band med lysande bokst\u00e4ver som gick hela v\u00e4gen runtom. Det vill s\u00e4ga senaste nytt flammade fr\u00e5n en r\u00f6rlig reklamskylt. Det var n\u00e5got om begravningen av n\u00e5gon ber\u00f6md person men hon kunde inte se ordentligt fr\u00e5n taxif\u00f6nstret och orden rann \u00f6ver kanten och fortsatte runt h\u00f6rnet och hon fick den d\u00e4r k\u00e4nslan man f\u00e5r n\u00e4r det kommer n\u00e5got skr\u00e4mmande p\u00e5 nyheterna, en s\u00e5dan d\u00e4r stockning i kroppen, den kalla stelnade upphetsning som f\u00f6rbereder en p\u00e5 n\u00e5got oerh\u00f6rt. Hon v\u00e4ntade p\u00e5 att huvudnyheten skulle \u00e5terkomma men taxin b\u00f6rjade k\u00f6ra igen. Hon gjorde sig en bild av m\u00e4nniskor som samlas p\u00e5 ett torg.\n\nEtt ov\u00e4der br\u00f6t ut \u00f6ver staden. L\u00e5dhus som tr\u00e4ffades av piskande hagel. Hon t\u00e4nkte Hagelkorn stora som hagelkorn. Det var bara de v\u00e4lsignade byggskynkena som skyddade l\u00e5dorna fr\u00e5n att uppl\u00f6sas \u00f6ver huvudet p\u00e5 dem som bodde d\u00e4r.\n\nDe anv\u00e4nde postens stora sm\u00e4rtingk\u00e4rror till sopor och tillh\u00f6righeter.\n\nDe talade och muttrade f\u00f6r sig sj\u00e4lva, de nickade och talade, ensamma figurer f\u00f6rsjunkna i monologer, gestikulerar \u00e5t sig sj\u00e4lva och nickar \u00f6vertygande.\n\nMessias \u00e4r kommen till jorden och han \u00e4r en fetlagd man i aff\u00e4rskostym fr\u00e5n Sydkorea.\n\nIbland stod hon bara och tittade p\u00e5 skeden. Hon sa till Brita att hon inte ville ta den med sig n\u00e4r hon for. Den hade f\u00e5tt en ny infattning nu, avl\u00e4gsnad fr\u00e5n jutev\u00e4ven, och hon var orolig f\u00f6r att skeden skulle ta skada p\u00e5 n\u00e5got mystiskt inre plan om man flyttade p\u00e5 den igen.\n\nHon fr\u00e5gade efter Omar \u00f6verallt men han syntes inte till utom en g\u00e5ng n\u00e4r han satt i en brandtrappa med en spansk kvinna och det tog Karen en stund att f\u00e5 honom att komma ner och prata med henne. Det enda han sa var att han hade sl\u00e4ppt gath\u00f6rnet nu. Han h\u00f6ll p\u00e5 och fixa lite andra grejer. Han hade gjort n\u00e5n p\u00e5 sm\u00e4llen p\u00e5 Coney Island som han m\u00e5ste ordna med och Karen k\u00e4nde en djup tomhet, n\u00e5got i br\u00f6stet som \u00f6ppnade sig f\u00f6r svartsjuka och saknad. Plus att det var en snubbe d\u00e4r som brukade komma och helt felaktigt p\u00e5st\u00e5 att Omar hade snott hans pistol. En skev pipa med tejpad kolv. Hon lyssnade och k\u00e4nde b\u00f6rdan av kaklet i trappuppg\u00e5ngarna och de uppbrutna d\u00f6rrarna, crackgr\u00e4nderna d\u00e4r kvinnor lade sina nyf\u00f6dda insvepta i tidningsrubriker. Han sa att han inte saknade h\u00f6rnet. Han hade stora saker p\u00e5 g\u00e5ng. Det fanns prylar han kunde g\u00f6ra pengar p\u00e5. Hon lyssnade och saknade honom. Han b\u00f6rjade flacka med blicken och hon visste att han egentligen inte s\u00e5g henne. Det var en underlig upplevelse f\u00f6r henne, att f\u00f6rst\u00e5 att hon snart skulle f\u00f6rsvinna ur sikte f\u00f6r gott, ur tanke och minne, att det fanns n\u00e5gon som hon ofta skulle t\u00e4nka p\u00e5 och han skulle gl\u00f6mma vem hon var, han h\u00f6ll p\u00e5 att gl\u00f6mma redan medan hon stod d\u00e4r. Men det var b\u00f6rdan i hans liv, det var uttrycken hon aldrig kunde f\u00f6rst\u00e5.\n\nMitt i tunnelbanans v\u00e4rsta buller h\u00f6rdes musik. Hon s\u00e5g musikanter under trapporna och utspridda i g\u00e5ngarna och de hade keyboards och h\u00f6gtalare och fioler, de hade hi-hats och gungande saxofoner. Gospelpredikanter stod vid sp\u00e4rrarna och vittnade eftertryckligt. M\u00e4n satt i smutsen med sandhinkar bredvid sig och v\u00e4ntade p\u00e5 att ett mynt skulle trilla ner. Musikanterna hade sina pryttlar i shoppingk\u00e4rror och spelade medan t\u00e5gen kom tjutande och meddelanden ropades ut i l\u00e4tta st\u00f6tar.\n\nVarningsskenet kom n\u00e4r hon var ensam i atelj\u00e9n. En kvicksilvergl\u00f6d steg uppf\u00f6r nederdelen p\u00e5 tornen d\u00e4r ute. Hon backade undan fr\u00e5n f\u00f6nstret och det k\u00e4ndes som om elektrisk str\u00f6m gick genom armen p\u00e5 henne. Hon s\u00e5g sicksackstrimmor av silvervitt ljus och kom genast att t\u00e4nka p\u00e5 den rinnande texten som l\u00f6pte \u00f6ver huset vid Times Square. Pl\u00f6tsligt visste hon vem det var som begravts p\u00e5 senaste nytt. Hon s\u00e5g den blixtrande ordstr\u00f6mmen och namnet som hon hade missat n\u00e4r hon satt i taxin och texten om miljontals s\u00f6rjande som gr\u00e4t och ropade. Hon famlade sig fram till soffan och satt blickstilla i femton minuter, medan hon s\u00e5g orden l\u00f6pa \u00f6ver huset och f\u00f6rsvinna \u00f6ver kanten och forts\u00e4tta p\u00e5 andra sidan. Hon kunde se den andra sidan. Sedan v\u00e4llde sm\u00e4rtan och illam\u00e5endet fram. Hon hade inget begrepp om tid. Ljuset var metalliskt och intensivt. Sendero Luminoso. Den fanns d\u00e4r inuti henne, gl\u00e4nsande i sm\u00e4rtklumpen. Den sk\u00f6nklingande Lysande stigen.\n\nHon m\u00e4rkte att Brita hade kommit in i rummet. Det var okej nu. Hon sa bara okej hela tiden. Det \u00e4r ett ord man f\u00f6rst\u00e5r i m\u00e5nga l\u00e4nder.\n\nP\u00e5 kv\u00e4llen satt de tillsammans i soffan med teven sida vid sida med samtalet. De talade och tittade. Sedan s\u00e5g de vad som h\u00e4nde och lyssnade p\u00e5 r\u00f6sten som talade till bilderna.\n\nDet var Khomeinis d\u00f6d.\n\nDet var ayatollah Ruhollah Khomeinis lik som l\u00e5g i en glaskista p\u00e5 en h\u00f6g plattform ovanf\u00f6r folkmassor som str\u00e4ckte sig flera kilometer bort. Kameran kunde inte f\u00e5nga hela den uppr\u00f6rda hopen. Kameran panorerade men kunde inte vrida sig s\u00e5 l\u00e5ngt ut \u00e5t kanterna att massan tog slut. I rutan hade massan ingen kant eller gr\u00e4ns, den bara fortsatte sprida sig.\n\nR\u00f6sten sa: Uppskattat antal, och bilden visade skaror av s\u00f6rjande och Karen kunde g\u00e5 bak\u00e5t i deras liv, se dem komma ut ur sina hus och skjul, en str\u00f6m av m\u00e4nniskor, sedan \u00e4nnu l\u00e4ngre bak\u00e5t, n\u00e4r de sov i sina s\u00e4ngar, h\u00f6rde kallelsen till morgonb\u00f6n, kom ut ur sina hus och m\u00f6ttes p\u00e5 ett dammigt torg f\u00f6r att marschera ut ur slummen tillsammans.\n\nR\u00f6sten sa: S\u00f6rjande som gr\u00e5ter och ropar.\n\nDet h\u00e4ngde sorgfanor p\u00e5 gatorna. Stora fotografier av Khomeini h\u00e4ngde p\u00e5 husv\u00e4ggarna och m\u00e5nga m\u00e4nniskor i folkhavet slog sig mot huvudet och br\u00f6stet.\n\nR\u00f6sten sa: M\u00e4nniskofloder, och Karen f\u00f6rstod att nu var det n\u00e4sta dag, begravningen, med folkmassor som uppskattades till ett antal av tre miljoner och alla var kl\u00e4dda i svart, alla gator och stora v\u00e4gar var packade med svartkl\u00e4dda s\u00f6rjande, och det fanns m\u00e4nniskor som sprang fyra mil till begravningsplatsen, sprang i f\u00f6rtvivlan och sorg, f\u00f6ll ihop, blev burna, sl\u00e4pade av andra, och taket p\u00e5 en buss brakade ihop under tyngden av alla m\u00e4nniskor som f\u00f6rs\u00f6kte f\u00e5 en skymt av kroppen.\n\nR\u00f6sten sa: Ursinnig sorg. Sl\u00e5r sig i huvudet av f\u00f6rtvivlan.\n\nKroppen l\u00e5g insvept i vit begravningsskrud i en kylbil som inte kunde komma fram p\u00e5 gatorna. Polisen sk\u00f6t i luften f\u00f6r att skingra folkhopen och g\u00f6ra fri v\u00e4g f\u00f6r kroppen och det visades bilder av brandslangar som sprutade i sn\u00e4va b\u00e5gar.\n\nFolkmassan v\u00e4xte och v\u00e4snades och bilen v\u00e4nde om och kroppen m\u00e5ste transporteras till begravningsplatsen med helikopter.\n\nDet visades flygbilder av den \u00f6ppna graven omringad av folk. Karen tyckte att det liknade tusen\u00e5riga bilder, en stor stad som under v\u00e5ldsamt v\u00e4sen f\u00f6ll f\u00f6r en bel\u00e4gring.\n\nSedan landade helikoptern och folkmassorna br\u00f6t igenom avsp\u00e4rrningarna. De levande f\u00f6rs\u00f6kte h\u00e4mta tillbaka den d\u00f6de.\n\nKaren h\u00f6ll h\u00e4nderna f\u00f6r munnen.\n\nDe levande tvingade sig in p\u00e5 begravningsplatsen, slog sina huvuden blodiga och slet sig i h\u00e5ret, hostande i det tjocka dammet, och Khomeinis lik l\u00e5g i en br\u00e4cklig l\u00e5da, ett slags b\u00e5r med l\u00e5ga kanter, och Karen m\u00e4rkte att hon kunde g\u00e5 in i Teherans slumkvarter, bak\u00e5t in i m\u00e4nniskors liv, och h\u00f6ra dem s\u00e4ga Vi har f\u00f6rlorat v\u00e5r far. Alla dessa fattiga som vaknade till morgonb\u00f6nen. Sorglig, sorglig \u00e4r denna dag.\n\nDe levande f\u00f6ll \u00f6ver kroppen och knuffade ner den p\u00e5 marken.\n\nDe levande finner sig inte i att deras far \u00e4r d\u00f6d. De vill att han ska komma tillbaka. Han borde vara den siste av dem som dog. De borde vara d\u00f6da, inte han.\n\nR\u00f6sten sa: M\u00e4nniskor som ropar utom sig av sorg.\n\nDe levande slog sig och bl\u00f6dde. De slet s\u00f6nder begravningsskruden och f\u00f6rs\u00f6kte dra med sig den d\u00f6de i sin v\u00e5g, sin levande v\u00e5g, och v\u00e4nda tidens g\u00e5ng s\u00e5 att han lever igen.\n\nKaren pressade h\u00e4nderna mot ansiktet.\n\nDe levande tog i kroppen, de tryckte sig mot imamen f\u00f6r att h\u00e5lla honom varm. De hade blodiga skjortor och m\u00e5nga m\u00e4n hade handdukar runt huvudet som var indr\u00e4nkta med blod.\n\nKaren k\u00e4nde att hon var bland dem. Hon s\u00e5g den svepta kroppen p\u00e5 b\u00e5ren omgiven av sk\u00e4ggiga m\u00e4n, svartkl\u00e4dda gr\u00e5terskor och revolutionsgardister, och de slogs om att f\u00e5 r\u00f6ra vid imamen och slita remsor fr\u00e5n hans skrud.\n\nHon kunde se hans smala vita ben blottas f\u00f6r ljuset. De k\u00e4mpade om kroppen och slog sig i ansiktet.\n\nHon t\u00e4nkte p\u00e5 det varsamma omh\u00e4ndertagandet av d\u00f6da och betraktade ursinnet i det som p\u00e5gick och trodde att hon skulle svimma. Det var en skymf mot uppfattningen att de d\u00f6da \u00e4r helgade. De br\u00e4ckliga h\u00e4nderna och benen var s\u00e5 or\u00e4ttf\u00e4rdigt blottade. De levande t\u00e5gade omkring med kroppen p\u00e5 omr\u00e5det och det var soldater som sk\u00f6t och m\u00e4n med nerblodade huvuden.\n\nMen de f\u00f6rs\u00f6kte bara h\u00e4mta honom tillbaka.\n\nR\u00f6sten sa: \u00c5tta m\u00e4nniskor nertrampade till d\u00f6ds och m\u00e5nga tusen skadade.\n\nMen det var sagan om en kropp nu. Det h\u00f6ll p\u00e5 att bli ber\u00e4ttelsen om en kropp som de levande inte ville l\u00e4mna ifr\u00e5n sig till jorden. De svimmade av hetta och sorg. M\u00e4nniskor kastade sig ner i graven. Hon s\u00e5g dem sl\u00e4nga sig s\u00f6nderslitna ner i \u00f6ppningen. Deras egna kroppar betydde ingenting l\u00e4ngre och de var leal\u00f6sa och f\u00f6rvridna av sorg. De ville fylla graven f\u00f6r att h\u00e5lla imamen d\u00e4rifr\u00e5n.\n\nKaren gick bak\u00e5t i deras liv, in i kyffen och p\u00e5 leriga gator, och hon tittade p\u00e5 bilderna i rutan.\n\nVattenkanoner sattes p\u00e5 och soldaterna sk\u00f6t och till slut tog de tillbaka kroppen. De hivade upp den i helikoptern och hon kunde se b\u00e5ren h\u00e4nga ut genom den \u00f6ppna d\u00f6rren och den blottade kroppen p\u00e5 b\u00e5ren medan rotorbladen snurrade och farkosten b\u00f6rjade lyfta.\n\nMen de levande kr\u00e4lade \u00f6ver helikoptern och drog ner den igen.\n\nDet var m\u00f6jligt att tro att hon var den enda som s\u00e5g detta och att alla andra som slagit \u00f6ver till den h\u00e4r kanalen s\u00e5g sakliga nyhetsanalyser framf\u00f6rda av tre sminkade m\u00e4n med dolda mikrofoner i en studio. Hon tryckte fingrarna mot tinningarna. Hon tittade p\u00e5 kroppen som stack ut genom d\u00f6rren och dammet som yrde upp och hopen av svartkl\u00e4dda s\u00f6rjande som h\u00e4ngde i medarna och drog ner farkosten till marken.\n\nDet var det varsamma omh\u00e4ndertagandet av d\u00f6da som hade gl\u00f6mts bort h\u00e4r.\n\nSoldaterna drev folkmassan tillbaka och helikoptern lyfte igen. Den h\u00e4r g\u00e5ngen bl\u00e5ste den bort de levande. De backade undan fr\u00e5n rotorbladens stormvind och slog sig mot huvudet och br\u00f6stet.\n\nR\u00f6sten sa: Sex timmar senare, och Karen s\u00e5g en helt ny avsp\u00e4rrning uppr\u00e4ttad runt platsen. Fraktcontainrar och dubbeld\u00e4ckare. Bilderna hade ett soundtrack med h\u00f6gtalarvarningar ekande \u00f6ver sl\u00e4tten som bredde ut sig bortom begravningsplatsen och det var folkmassor \u00e4nda till horisonten, folk ut till kanten p\u00e5 teleobjektivet.\n\nHelikoptern landade med kroppen i en kista av st\u00e5l och revolutionsgardisterna bar den p\u00e5 axlarna den korta biten till graven. Men sedan v\u00e4llde folkhopen fram\u00e5t igen, gr\u00e5tande m\u00e4n med blodiga pannbindlar, och de kl\u00e4ttrade \u00f6ver avsp\u00e4rrningarna och \u00f6versv\u00e4mmade gravplatsen.\n\nR\u00f6sten sa: S\u00f6rjande som klagar och ropar. Den sa: Kastar sig ner i h\u00e5let.\n\nKaren kunde inte f\u00f6rest\u00e4lla sig att n\u00e5gon annan tittade p\u00e5 detta. Det kunde inte vara verkligt om andra tittade. Om andra m\u00e4nniskor tittade, om miljoner tittade, om tittarna var lika m\u00e5nga som antalet p\u00e5 den iranska sl\u00e4tten, skulle d\u00e5 inte det betyda att vi delar n\u00e5got med de s\u00f6rjande, upplever en \u00e5ngest, k\u00e4nner n\u00e5got h\u00e4nda mellan oss, h\u00f6r sucken fr\u00e5n en historisk sorg? Hon v\u00e4nde sig om och s\u00e5g att Brita satt lutad mot det andra armst\u00f6det p\u00e5 soffan och lugnt r\u00f6kte en cigarett. Detta \u00e4r kvinnan som talade om sitt behov av m\u00e4nniskor som trodde i hennes st\u00e4lle, som sett m\u00e4nniskor bl\u00f6da f\u00f6r sin tro, och hon sitter lugnt och iakttar en nations och ett folkslags raseri. Om andra ser dessa bilder, varf\u00f6r h\u00e4nder ingenting, var \u00e4r folkmassorna h\u00e4romkring, varf\u00f6r har vi fortfarande namn och adresser och bilnycklar?\n\nNu kommer de, svartkl\u00e4dda, tr\u00e4nger p\u00e5 mot graven. Helikoptrar fl\u00f6g in l\u00e5gt \u00f6ver sl\u00e4tten. De d\u00f6k i livsfarliga vinklar \u00f6ver huvudena p\u00e5 de levande och h\u00f6ljde dem i damm och buller. M\u00e4nniskor slog sig medvetsl\u00f6sa och langades \u00f6ver folkmassan till sjukv\u00e5rdsstationer i n\u00e4rheten.\n\nSorglig, sorglig \u00e4r denna dag.\n\nDet var tio meter till graven men det tog gardisterna \u00e5tminstone tio uppjagade minuter att komma fram och s\u00e4nka kistan i jorden. Det var sagan om en kropp som de levande inte ville l\u00e4mna ifr\u00e5n sig.\n\nS\u00e5 fort kroppen var begravd lade man betongblock ovanp\u00e5 den. Helikoptrarna yrde upp damm och m\u00e5nga s\u00f6rjande gr\u00e4t och f\u00f6ll omkull. N\u00e4r kv\u00e4llen kom flyttade gardisterna en svart fraktcontainer med en flakbil och st\u00e4llde den \u00f6ver graven. De levande kl\u00e4ttrade uppf\u00f6r sidorna p\u00e5 containern och lade blommor ovanp\u00e5 och fotografier av ayatollah Ruhollah Khomeini sattes upp p\u00e5 pl\u00e5tsidorna.\n\nR\u00f6sten sa: Den svarta turbanen, det vita sk\u00e4gget, de v\u00e4lk\u00e4nda djupt liggande \u00f6gonen.\n\nKvinnor i svarta sl\u00f6jor, kvinnorna i fotsida sl\u00f6jor, Karen f\u00f6rs\u00f6kte komma p\u00e5 ordet, chadora, kvinnor svepta i chadoror tr\u00e4ngde sig fram och m\u00e5nga h\u00e4nder lades mot containern, h\u00e4nder r\u00f6rde vid fotografierna och pressades mot pl\u00e5ten.\n\nKaren gick bak\u00e5t i kvinnornas liv, hon s\u00e5g dem komma mot kameran p\u00e5 de tr\u00e5nga gatorna, sedan l\u00e4ngre bak\u00e5t till n\u00e4r de v\u00e4xte upp, n\u00e4r de satte p\u00e5 sig sl\u00f6jan och tittade ut p\u00e5 v\u00e4rlden inifr\u00e5n den svarta svepningen, bak\u00e5t till hur det k\u00e4ndes att f\u00f6r f\u00f6rsta g\u00e5ngen kl\u00e4 sig i svart fr\u00e5n topp till t\u00e5 och ropa ut ett namn under den gl\u00f6dande himlen.\n\nDe levande bar plakat och ropade. Khomeini bildstormaren \u00e4r hos Gud i dag. L\u00e5ngt in p\u00e5 natten, i str\u00e5lkastarljus, slog de levande h\u00e4nderna mot br\u00f6stet i f\u00f6rtvivlan.\n\nN\u00e4sta morgon i parken, tidigt, talade hon med dem som hade vaknat. N\u00e5gra stycken satt t\u00e4tt ihop p\u00e5 b\u00e4nkarna med kaffe i pappersmuggar och en kvinna bredde ut en filt \u00f6ver staketet till plaskdammen.\n\nKaren sa: \u00bbVi kommer snart att bli en enda familj. F\u00f6r dagen \u00e4r n\u00e4ra. F\u00f6r den fullkomliga visionen har uppenbarat sig.\u00ab\n\nSedan klev hon upp p\u00e5 sn\u00e4ckestraden och gick runt bland kropparna i sovs\u00e4ckar och jutev\u00e4v och plast. Hon talade med m\u00e4nniskorna en och en, satte sig p\u00e5 huk med h\u00e4nderna kn\u00e4ppta tv\u00e5 centimeter \u00f6ver golvet.\n\nHon sa: \u00bbF\u00f6rbered dagen. Var redo i tanke och hj\u00e4rta. Plan finns f\u00f6r hela m\u00e4nskligheten.\u00ab\n\nHon tassade \u00f6ver scenen och letade efter kroppar med \u00f6ppna \u00f6gon.\n\nHon sa: \u00bbGuds hj\u00e4rta \u00e4r enda hem. Pali-pali. V\u00e4rldens fullkomliga barn.\u00ab\n\nLjuden av bitter s\u00f6mn, j\u00e4mret som stiger ur obeskrivliga dr\u00f6mmar. Och hon talade med dem som l\u00e5g vakna. Verkligen talade. Rossliga hostningar runt omkring, skrapet i n\u00e4san, omfattningen av kroppar som andas, det l\u00e4t mycket likt arbete. Unken luft som h\u00e4ngde kvar, den gamla d\u00e4vna stanken av s\u00e4ngkl\u00e4der och svett och piss och kl\u00e4der som man sovit i. Hon talade i gryningsljusets f\u00f6rtroliga st\u00e4mning med sovande m\u00e4nniskor omkring sig.\n\nHon sa: \u00bbF\u00f6r det finns enda vision nu. Man komma till oss l\u00e5ngt ifr\u00e5n. Gud alla minuter varje dag. Skyndatid komma snart.\u00ab\n\nPolispiketen smet f\u00f6rbi l\u00e5dhusen som l\u00e5g insn\u00e4rjda i bl\u00e5 skynken, f\u00f6rbi tv\u00e5 m\u00e4n som hade tr\u00f6jor med huva och delade p\u00e5 en cigarett. F\u00f6rbi kvinnan som satt p\u00e5 sned i sin trasiga f\u00e4llstol och sov. F\u00f6rbi mannen p\u00e5 marken med duvor som trippade runt hans huvud och pickade efter mat i h\u00e5ret och kl\u00e4derna p\u00e5 honom. F\u00f6rbi hela befolkningen som kan reglerna f\u00f6r nomadl\u00e4ger, med alla sina knyten h\u00e5rt packade, kassar som inneh\u00e5ller kassar, m\u00e4nniskor som krupit ner och studerar det livsrum som tilldelats dem.\n\nKaren gick ner fr\u00e5n scenen och s\u00f6kte efter n\u00e5gon som ville lyssna. Hon hade Masters fullkomliga r\u00f6st redo i huvudet.\n\n#  13\n\nDET fanns tv\u00e5 versioner n\u00e4r det g\u00e4llde f\u00e4rjan. Den hade tr\u00e4ffats av granateld fr\u00e5n jagare drygt fyra mil utanf\u00f6r Libanons kust och v\u00e4nt tillbaka mot Larnaca. Tv\u00e5 d\u00f6da, en saknad, femton skadade. Eller den hade befunnit sig mycket n\u00e4ra Jouniehs hamn i Libanon n\u00e4r den blev beskjuten av landbaserat artilleri eller raketgev\u00e4r och v\u00e4nt tillbaka mot Larnaca. En d\u00f6d, en saknad, nio skadade.\n\nBill stod nere i hamnen och s\u00e5g f\u00e4rjan l\u00f6pa in. Han r\u00e4knade till arton h\u00e5l i det vita skrovet. F\u00e4rjan var uppkallad efter Zenon stoikern och tog ettusen passagerare men det p\u00e5stods att bara femtiofem hade klarat resan.\n\nEn annan historia handlade om jagarna som opererade p\u00e5 libanesiskt vatten. De kunde varit syriska, israeliska eller libanesiska, och om de var libanesiska p\u00e5stods det att de kunde ha opererat fr\u00e5n en provisorisk bas kontrollerad av en kristen general som trodde att f\u00e4rjan var ett irakiskt lastfartyg som fraktade vapen till en rivaliserande falang.\n\nMen om f\u00e4rjan hade tr\u00e4ffats av landbaserat artilleri p\u00e5stods det att shiiter som var lojala med Syrien stod f\u00f6r beskjutningen eller shiiter lojala med Iran eller m\u00f6jligen kristna lojala med Israel. Den andra versionen menade att det var syrierna sj\u00e4lva som bar ansvaret.\n\nBill tittade p\u00e5 n\u00e4r passagerarna kom ut ur \u00f6ppningen i f\u00f6ren och l\u00e5ngsamt gick utmed piren mot en v\u00e4ntande klunga. Det var mitt p\u00e5 dagen och hett och han t\u00e4nkte att om han hade kommit en eller tv\u00e5 dagar tidigare skulle han g\u00e5tt d\u00e4r nu, hopsjunken med sl\u00e4pande steg, eller varit d\u00f6d eller rapporterad saknad. Det p\u00e5stods att de f\u00f6rolyckade hade plockats upp ute till havs av helikoptrar fr\u00e5n Royal Air Force och f\u00f6rts till en av de brittiska baserna p\u00e5 \u00f6n. Det fanns m\u00e5nga tusen libaneser p\u00e5 Cypern numera och nu hade femtiofem stycken som trodde att de skulle resa hem ov\u00e4ntat \u00e5terv\u00e4nt, om antalet st\u00e4mde, minus de d\u00f6da och saknade.\n\nHan gick l\u00e4ngs den palmkantade strandv\u00e4gen f\u00f6rbi kaf\u00e9er och butiker. Hugget i sidan var djupare och mer regelbundet nu, mitt fram, \u00f6vre buk. Han hade blivit r\u00e4tt f\u00f6rtrogen med det. Ibland k\u00e4nner man igen en sm\u00e4rta redan f\u00f6rsta g\u00e5ngen den drabbar en. Vissa tillst\u00e5nd talar liksom ur en gemensam sm\u00e4rthistoria. Man f\u00f6rnimmer erfarenheten fr\u00e5n andra som upplevt den. Bill tyckte sig f\u00f6renad med det f\u00f6rflutna, genom ett blodsband av intim och f\u00f6rnyelsebar sm\u00e4rta.\n\nHan satte sig vid ett bord och best\u00e4llde in en konjak. Det h\u00e4ngde lyktor \u00f6ver strandpromenaden och det k\u00e4ndes som om han skulle kunna sitta h\u00e4r hela dagen och v\u00e4nta p\u00e5 skymningen, p\u00e5 att havsvinden skulle friska i och lyktorna t\u00e4ndas, f\u00e4rgade gl\u00f6dlampor i tr\u00e5dar som gick kors och tv\u00e4rs mellan palmerna. Och sedan sitta kvar lite till, sitta \u00e4nda till gryningen med sin Metaxa, en \u00e4del medicin med anor fr\u00e5n artonhundratalet, och komma tillbaka vid middagstid eller s\u00e5 och sitta en stund till och v\u00e4nta p\u00e5 ett rykte om att f\u00e4rjan hade b\u00f6rjat g\u00e5 igen.\n\nHan trodde egentligen inte att han skulle ha hamnat d\u00e4r, bland de d\u00f6da, s\u00e5rade eller saknade. Han var redan s\u00e5rad och saknad. Och vad d\u00f6den betr\u00e4ffar trodde han inte l\u00e4ngre att han skulle se den komma fr\u00e5n en gev\u00e4rsmynning eller fr\u00e5n n\u00e5got annat instrument som hade till syfte att d\u00f6da. Det var n\u00e5got han hade grubblat p\u00e5 f\u00f6rut. Nerskjuten av n\u00e5gon. Inte av en tjuv eller hjortj\u00e4gare eller prickskytt p\u00e5 motorv\u00e4gen utan av en h\u00e4ngiven l\u00e4sare. Ibland kunde han f\u00f6rest\u00e4lla sig den dystra h\u00e4ndelsen och k\u00e4nna ett stygn av f\u00f6rv\u00e4ntan. Han hade dragit sig undan i djupaste avskildhet och med en viss betvingande logik kunde man t\u00e4nka sig att en ensam ung man skulle se sin uppgift i detta. Det fanns de som viftade med kamera och de som viftade med pistol och Bill kunde knappt se n\u00e5gon skillnad. En spenslig pojke med lite sk\u00e4ra \u00f6gon, i sin egen v\u00e4rld, enda barnet (som Bill b\u00f6rjade t\u00e4nka sig honom) som lever i helspeglar och f\u00e5r tag p\u00e5 en roman som talar till honom med farliga och gl\u00f6dande ord. Scott var inte s\u00e5dan. Han hade en f\u00f6retagsamhet och intelligens som jagade m\u00f6rkare andar p\u00e5 flykten men det var ocks\u00e5 sant att han hade hoppat upp ur en f\u00f6rpackning, kippande efter luft, och visat ett behov att sluka allt som eventuellt fanns kvar sedan han l\u00e4st b\u00f6ckerna och samlat in ryktena. Och s\u00e5 var det fingret som Bill hade f\u00e5tt i ett kuvert. Han beh\u00f6ll det ett tag, ett ringfinger trodde han, som blivit mumiebrunt, och han brukade titta p\u00e5 det och undra vad det betydde. Men det var l\u00e4nge sedan och han hade inte l\u00e4ngre k\u00e4nslan att han en dag skulle komma ut fr\u00e5n posten och uppt\u00e4cka en liten spinkig gosse som sneddade mot honom med det spjuveraktiga leende han tr\u00e4nat p\u00e5 i veckor.\n\nHan fick lust att ringa till vad-hette-m\u00e4nskan, fotografen, och prata med hennes telefonsvarare.\n\nHan b\u00f6rjade g\u00e5 tillbaka mot hotellet. Det gjorde inte s\u00e5 farligt ont i benet och det k\u00e4ndes alldeles bra i v\u00e4nster axel, d\u00e4r han hade slagit i trottoaren n\u00e4r bilen tr\u00e4ffade honom. Men det v\u00e4rkte i andra axeln nu. Han gick in i lobbyn p\u00e5 ett av de st\u00f6rre hotellen f\u00f6r att ta en _Paris Herald_ och s\u00e5g en skylt som h\u00e4lsade en grupp veterin\u00e4rer fr\u00e5n England v\u00e4lkommen. \u00c5ter bland l\u00e4kare. I tidningen stod det att tusentals m\u00e4nniskor h\u00f6ll p\u00e5 att l\u00e4mna Beirut f\u00f6r att undkomma striderna. Kistor l\u00e5g staplade vid portarna till gravplatsen eftersom det inte fanns plats f\u00f6r fler d\u00f6da. Utanf\u00f6r staden begravde de m\u00e4nniskor i klasar, tv\u00e5, tre lik per grav. Man sprejade d\u00f6dskallar p\u00e5 de raserade husv\u00e4ggarna och det fanns inget vatten och r\u00e5ttorna blev st\u00f6rre och kraftledningarna var nerslitna.\n\nBill trodde inte att han hade n\u00e5got att frukta d\u00e4r. Bara isolering, skoningsl\u00f6s, stenh\u00e5rd, sann, grundtillst\u00e5ndet som han \u00f6vat p\u00e5 under alla dessa \u00e5r. Och om f\u00e4rjan inte gick, skulle kanske b\u00e4rplansb\u00e5ten g\u00f6ra det, stegra sig \u00f6ver den krabba sj\u00f6n och kryssa genom den massiva batterielden. Och kanske skulle den inte det. Men det fanns en chans att flygplatsen skulle \u00f6ppna igen. Han skulle sitta i ett sp\u00f6kplan med sex eller sju sp\u00e4nda beirutbor, flyktingar \u00e5t motsatt h\u00e5ll, p\u00e5 v\u00e4g hem till terror i alla bem\u00e4rkelser.\n\nP\u00e5 gatan f\u00f6rs\u00f6kte han dra sig till minnes vad hotellet hette s\u00e5 han kunde fr\u00e5ga n\u00e5gon var fan det l\u00e5g n\u00e5gonstans. Det var ett litet och billigt st\u00e4lle, en bra bit fr\u00e5n de vajande masterna i marinan. Det livet kunde han haft, telefonsvarare och m\u00e4rkeslakan och en katamaran och en kvinna han kunde \u00e4lska och en h\u00f6g med mullusfisk p\u00e5 halstring i en grop. Han m\u00e4rkte att det h\u00f6gg till s\u00e5 fort han tog ett djupt andetag.\n\nP\u00e5 sitt rum skrev han ner utgifterna p\u00e5 ett block. Sedan tittade han p\u00e5 sidorna han hade skrivit och trodde inte att han kunde forts\u00e4tta. Det var f\u00f6r sv\u00e5rt. Det var sv\u00e5rare \u00e4n en hj\u00e4rtoperation och det h\u00f6ll en inte ens vid liv. Han betraktade en tavla p\u00e5 v\u00e4ggen och s\u00e5g allt som existerade utanf\u00f6r rummet han satt i och det som han f\u00f6rs\u00f6kte skriva om. Det var en tavla som f\u00f6rest\u00e4llde fiskn\u00e4t nerstuvade i sm\u00e4rtingkorgar och den rymde sex, minnen, beg\u00e4r, namn p\u00e5 gamla v\u00e4nner, jordens viktigaste floder. Att skriva var skadligt f\u00f6r sj\u00e4len n\u00e4r man verkligen gav sig in i det. Det v\u00e4rnade om ens s\u00e4msta sidor. Inskr\u00e4nkte allting till misslyckandet och \u00f6del\u00e4ggelsen som f\u00f6ljer i dess sp\u00e5r. Gav klipskheten ett drag av f\u00f6rr\u00e4deri och det fega hj\u00e4rtat ett sk\u00e4l att sjunka djupare ner i tystnaden. Han mindes inte varf\u00f6r han ville skriva om gisslan. Han hade gjort n\u00e5gra sidor som var n\u00e5gorlunda, men vilket var sj\u00e4lva syftet?\n\nHan tittade upp och sa h\u00f6gt: \u00bbKeltner tar det lugnt, sneglar p\u00e5 bollen. Oj vilket kast. Som ett spjut, mina v\u00e4nner.\u00ab\n\nHan tog av sig skor och strumpor. Han halvl\u00e5g i stolen med f\u00f6tterna p\u00e5 s\u00e4ngen och blocket i kn\u00e4t. Han beh\u00f6vde tala med en l\u00e4kare och f\u00e5 n\u00e5got att dricka. Dricka f\u00f6rst. Men det skulle g\u00f6ra ont att resa sig, det skulle g\u00f6ra ont att g\u00e5 till ett kaf\u00e9 och s\u00e4tta sig och andas, det kanske rentav skulle g\u00f6ra ont att sv\u00e4lja, s\u00e5 h\u00e4r har vi det klassiska dilemmat. Han borde ha fr\u00e5gat Charlie hur han gjorde f\u00f6r att sluta dricka. Han \u00e4lskade sin gamle v\u00e4n, han hade k\u00e4nt en odelad k\u00e4rlek hela tiden n\u00e4r de umgicks med varandra i New York och London, k\u00e4nt en odelad lust att ge sig av, komma i v\u00e4g, skaka hand och s\u00e4ga adj\u00f6. Charlie brukade tala om att \u00e5ldras p\u00e5 Park Avenue, han s\u00e5g sig sj\u00e4lv som en skr\u00f6plig gamling i rullstol v\u00e5rdad av en stum svart sk\u00f6terska p\u00e5 smygande skosulor. Hon k\u00f6rde honom oupph\u00f6rligt ut i solen. Han var s\u00e5 gammal och sk\u00f6r att han knappt kunde sl\u00e4ppa ur sig en suck men de kl\u00e4dde upp honom som ett litet barn p\u00e5 fest, de gav honom ett hj\u00e4lpl\u00f6st skimrande utseende i \u00f6verdimensionerad kavaj och skjortkrage som dinglade om halsen. Han kunde se sig sj\u00e4lv sitta insvept i en filt p\u00e5 den soligaste sidan av gatan n\u00e4r det var som varmast p\u00e5 dagen. F\u00f6r n\u00e4r skuggorna f\u00f6ll \u00f6ver trottoaren rullade sk\u00f6terskan honom mot solen, de f\u00f6ljde st\u00e4ndigt efter solen, l\u00e5ngsamt, tills han fick st\u00e5 helt stilla i h\u00f6rnet av en f\u00f6rkrigsbyggnad och lapa sol, detta var det soliga st\u00e4llet den n\u00e4rmaste kvarten och Charlie brukade bli sk\u00e4r om kinderna av skam och f\u00f6rtjusning, n\u00e4r han manade fram bilden av sitt senila slut.\n\nDet var den d\u00f6d som Bill kunde f\u00e5tt, mandeltv\u00e5l och ett renoverat k\u00f6k och en \u00e4nka med telefonsvarare. Han \u00e4lskade sina gamla v\u00e4nner men det var n\u00e5got han missunnade dem och han ville att de skulle avst\u00e5 fr\u00e5n det, vad det nu var, s\u00e5 att de kunde bli kvitt igen.\n\nSm\u00e4llare kallades salutskott.\n\nDet var ett liv som i huvudsak bestod av h\u00e5r \u2013 h\u00e5r som \u00e5ker in i skrivmaskinen, varje str\u00e5 drar \u00e5t sig damm och gr\u00f6tar till det bland typarmarna och alla samverkande delar, h\u00e5r som fastnar i filtmattan p\u00e5 samma s\u00e4tt som en slingrande tr\u00e5d suger sig fast vid tv\u00e5l s\u00e5 att han m\u00e5ste peta loss det med tumnageln, alla sina celler, fj\u00e4ll och partiklar, alla sina blekta pigment, det st\u00e4ndiga m\u00f6glet i allt detta hopklumpade h\u00e5r som sitter som kakor och proppar i maskineriet.\n\nBorde ta en titt p\u00e5 stan medan jag v\u00e4ntar p\u00e5 f\u00e4rjan. Hade han sagt det h\u00f6gt? Den turkiska f\u00e4stningen, den engelska kyrkog\u00e5rden. Han \u00e4ndrade l\u00e5ngsamt st\u00e4llning, pr\u00f6vade r\u00f6relser och tyngdf\u00f6rskjutningar \u00e5t olika h\u00e5ll, och gjorde pl\u00e5gade grimaser tills han uppt\u00e4ckte att han kunde resa sig utan sv\u00e5righet. Han gick ut i badrummet och kissade och det syntes inga sp\u00e5r av blod. Han drog upp skjortan och tittade p\u00e5 bl\u00e5m\u00e4rket p\u00e5 buken och det hade inte brett ut sig eller \u00e4ndrat f\u00e4rg. Mellanperiodens keramik, byn med sina broderier. Han tittade i spegeln och s\u00e5g att han inte hade rakat sig p\u00e5 flera dagar. Skraps\u00e5ret i ansiktet hade varken blivit b\u00e4ttre eller s\u00e4mre. B\u00e4ttre i s\u00e5 fall och absolut inte s\u00e4mre. Han t\u00e4nkte att han skulle s\u00e4tta p\u00e5 sig strumpor och skor och se sig omkring lite grand om s\u00e5 bara f\u00f6r att smita fr\u00e5n det stirrande tomma papperet.\n\nDet dunkade dovt i h\u00f6ger axel.\n\nHan hade kunnat ber\u00e4tta f\u00f6r George att han h\u00f6ll p\u00e5 att skriva om gisslan f\u00f6r att f\u00e5 honom tillbaka, f\u00f6r att \u00e5terf\u00f6ra en inneb\u00f6rd som g\u00e5tt f\u00f6rlorad f\u00f6r omv\u00e4rlden n\u00e4r de sp\u00e4rrade in honom i det d\u00e4r rummet. Kanske var det det. N\u00e4r man utdelar straff \u00e5t n\u00e5gon som inte \u00e4r skyldig, n\u00e4r man fyller rum med oskyldiga offer, \u00e4r man p\u00e5 v\u00e4g att t\u00f6mma v\u00e4rlden p\u00e5 inneb\u00f6rd och inr\u00e4tta ett s\u00e4rskilt mentalt tillst\u00e5nd, d\u00e4r hj\u00e4rnan f\u00f6rt\u00e4r allt som \u00e4r utanf\u00f6r den sj\u00e4lv och ers\u00e4tter verklighet med intriger och fiktion. D\u00e4r en tr\u00e5ngsynt fiktion drar in v\u00e4rlden i sig sj\u00e4lv, medan en annan tar sikte p\u00e5 den sociala ordningen och f\u00f6rs\u00f6ker breda ut sig i den. Han hade kunnat s\u00e4ga till George att en f\u00f6rfattare skapar en romanfigur som en metod att blotta medvetandet, \u00f6ka fl\u00f6det av inneb\u00f6rder. Det \u00e4r p\u00e5 det s\u00e4ttet vi bem\u00f6ter makt och bek\u00e4mpar v\u00e5r r\u00e4dsla. Genom att \u00f6ka graden av medvetenhet och m\u00e4nsklig f\u00f6rm\u00e5ga. Den h\u00e4r poeten ni kidnappade. Hans f\u00e5ngenskap t\u00f6mmer v\u00e4rlden p\u00e5 \u00e4nnu en droppe inneb\u00f6rd. Han borde ha sagt allt det d\u00e4r till den d\u00e4r skitst\u00f6veln, fast egentligen gillade han George, men han hade aldrig t\u00e4nkt p\u00e5 saken riktigt s\u00e5 f\u00f6rut och George skulle ha sagt att terrorister inte har makt och hur som helst visste Bill att han skulle ha gl\u00f6mt det hela ganska snart.\n\nHan mindes de viktiga sakerna, att hans far hade en hatt som kallades the Ritz, gr\u00e5 med svart band, med rullad kant och mjukt br\u00e4tte, och n\u00e5gon sa alltid: \u00bbM\u00e4t skallen f\u00f6re best\u00e4llning\u00ab, vilket var ett citat ur Sears Roebucks postorderkatalog, och att sm\u00e4llare kallades salutskott.\n\nHan t\u00e4nkte att han skulle vilja sitta i solen, smita i v\u00e4g fr\u00e5n den stirrande sidan och ta en taxi och \u00e5ka ner till hamnen och leta upp en b\u00e4nk n\u00e4ra en hop sm\u00e4rtingkorgar fullproppade med fiskn\u00e4t. Han kn\u00f6t skorna men drog sedan av \u00f6verkastet och sj\u00f6nk ner p\u00e5 lakanet, bara ett litet \u00f6gonblick, f\u00f6r att hejda yrseln, den ohj\u00e4lpliga k\u00e4nslan att han h\u00f6ll p\u00e5 att uppl\u00f6sas och blekna bort i fj\u00e4rran.\n\nH\u00e5rstr\u00e5n sm\u00f6g sig om kanten p\u00e5 ryamattan, h\u00e5r snodde sig kring ekrarna i badkarssilen och tovade sig i avloppsfiltret och smetade ut sig i handfatet, pubesh\u00e5r krullade sig p\u00e5 kanten av toalettsk\u00e5len, nackh\u00e5r fastnade p\u00e5 insidan av kragen, h\u00e5r p\u00e5 kudden och i munnen och p\u00e5 tallriken, men det \u00e4r i skrivmaskinen han oftast l\u00e4gger m\u00e4rke till det, h\u00e5ret som samlar sig, alla hans tappade str\u00e5n som lagt sig i mekanismen, det gr\u00e5a och tussiga, den mjuka oordningen, allt som inte \u00e4r rent och skarpt och ljust.\n\nF\u00e5 tag p\u00e5 n\u00e5gon som kan rulla honom mot solen.\n\nDet finns alltid n\u00e5got som det inte \u00e4r meningen att man ska se men det \u00e4r ett villkor att man ser det f\u00f6r att bli vuxen.\n\nN\u00e4r pojken drog av huvan letade f\u00e5ngen efter \u00f6dlor som satt p\u00e5 v\u00e4ggen. De var sm\u00e5 och bleka, mj\u00f6lkaktigt gr\u00f6na, s\u00e5 bleka och \u00e4nd\u00e5 m\u00e5ste han koncentrera sig f\u00f6r att f\u00e5 syn p\u00e5 dem.\n\nRummet s\u00f6g all l\u00e4ngtan ur honom. Han hade bara bilder kvar.\n\nTiden gick pl\u00e5gsamt, buren av insekter, allvetande, om vi kan s\u00e4ga att den g\u00e5r, om vi kan kalla det tid. Den n\u00e4stan talade med honom. Den kom med sin egen f\u00f6rtvivlan, den var n\u00e4rvarande i maten och matens f\u00f6ljdverkningar, den rann genom kroppen i form av febertoppar och infektioner, oupph\u00f6rlig vattnig avf\u00f6ring.\n\nMen bilderna var sm\u00e5 och slutna, blekta av tid. Han ville t\u00e4nka p\u00e5 staden som brann, raketer som susade i v\u00e4g fr\u00e5n avfyrningsramperna. De enda bilder han kunde forma var sammanpressade och privata, sm\u00e5 slutna \u00f6gonblick i ett hus d\u00e4r det skedde saker till h\u00e4lften, vagt, n\u00e5gonstans l\u00e4ngst bort i korridoren.\n\nAtt inte ha minsta pennstump eller papperslapp gjorde f\u00e5ngen orolig. Tankarna f\u00f6ll ur huvudet p\u00e5 honom och dog. Han m\u00e5ste se sina tankar f\u00f6r att de inte skulle upph\u00f6ra.\n\nHan t\u00e4nkte sig \u00f6dlorna som ljussk\u00e4rvor, solljus i form av avsmalnad jade. Han lade p\u00e5 minnet hur de satt p\u00e5 v\u00e4ggen och f\u00f6rs\u00f6kte f\u00e5 dem med sig in i huvans v\u00e4rld.\n\nPojken bar en m\u00f6rk t-shirt under jackan p\u00e5 n\u00e5gons tr\u00e4ningsoverall och hade n\u00e4stan alltid tr\u00e4ningsbyxor och skitiga sneakers med r\u00e4nder p\u00e5.\n\nKriget hade inte l\u00e4ngre n\u00e5gon tidtabell. Det \u00e4gde rum n\u00e4r som helst eller j\u00e4mt, israeliska jetplan dundrade \u00f6ver staden och framkallade det urgamla vidstr\u00e4ckta d\u00e5net fr\u00e5n en exploderande himmel.\n\nF\u00e5ngen t\u00e4nkte p\u00e5 sig sj\u00e4lv som pojkens \u00e4godel. Han var ett l\u00e4ttillg\u00e4ngligt f\u00f6rem\u00e5l som pojken kunde v\u00e4nda och vrida f\u00f6r sina egna vilsna syften. Han var pojkens barndom, en f\u00f6rest\u00e4llning om pojk\u00e5r i str\u00e5lande sken. En ung man hittar en sak och tar den direkt till sin innersta k\u00e4rna. Den inneh\u00e5ller hemligheten om vem han \u00e4r. F\u00e5ngen t\u00e4nkte p\u00e5 det. Han var lyckobringaren som hj\u00e4lpte pojken att se sig sj\u00e4lv klart.\n\nMen sedan slutade han att l\u00e4gga \u00f6dlorna p\u00e5 minnet. Det br\u00f6t mot n\u00e5gon bitter regel han inte riktigt kunde identifiera.\n\nHans kropp b\u00f6rjade svullna upp. Han s\u00e5g sina ben bli till luftfyllda vita pontoner och v\u00e4grade erk\u00e4nna dem som sina egna. Hans kropp flydde med hans r\u00f6ster.\n\nIngen kom och f\u00f6rh\u00f6rde honom.\n\nDet var sv\u00e5rt att st\u00e5 upp eller ens \u00e4ndra st\u00e4llning p\u00e5 madrassen och han visste att det snart var dags f\u00f6r honom att bli insamlare av kroniska tillst\u00e5nd. De skulle hitta honom och sl\u00e5 till. Ser\u00f6s v\u00e4tska i v\u00e4vnaderna, kramper i br\u00f6stet, allt som \u00e4r best\u00e5ende.\n\nHan ville ha block och penna. Det fanns tankar han inte kunde formulera utan att skriva ner dem.\n\nHan t\u00e4nkte p\u00e5 skjortl\u00f6smannen som levde i taggtr\u00e5den.\n\nDet var sv\u00e5rt att v\u00e4nja sig vid fr\u00e5nvaron av allt fattbart. Han visste inte s\u00e4kert om reglerna hade \u00e4ndrats eller blivit lite mer raffinerade eller fullst\u00e4ndigt och slutligen \u00f6vergivna eller om de \u00f6ver huvud taget hade existerat, om vi kan kalla dem regler eller ens lita p\u00e5 det f\u00f6rkrympta minnet av n\u00e5got som kallades regel.\n\nHan identifierade sig med pojken. Han s\u00e5g sig sj\u00e4lv som n\u00e5gon som kunde bli pojken helt enkelt genom att l\u00e5ta tankarna vandra tillbaka. Han trodde ibland att han mindes pojken. Det uppstod ett \u00f6gonblick n\u00e5gon diffus sommardag n\u00e4r pojken stod i d\u00f6rren under den nyckfulla tidsf\u00f6rkortningen.\n\nF\u00e5ngen anade ett andra m\u00f6rker under huvan och visste att str\u00f6mmen var bruten igen. Han var bara en bland andra beirutbor, ingen str\u00f6m, inget vatten, h\u00f6r de visslande granaterna, det h\u00e4nder hela tiden.\n\nDet satt fortfarande kvar sm\u00e5 strimmor av betong p\u00e5 det b\u00f6jda j\u00e4rnr\u00f6r som pojken anv\u00e4nde f\u00f6r att sl\u00e5 p\u00e5 f\u00e5ngens fotsulor, n\u00e4r han kom ih\u00e5g det.\n\nKriget var h\u00f6rbart men nu saknades trafikbruset, de sedvanliga biltutorna som lj\u00f6d \u00f6ver kulsprutegev\u00e4ren och granatkastarna. Stad som t\u00f6mdes. Han f\u00f6rs\u00f6kte framkalla bilden av ett naket panorama \u00f6ver de l\u00e5nga \u00f6delagda avenyerna, en sista dyster tillfredsst\u00e4llelse, men det gick inte l\u00e4ngre.\n\nBakom honom l\u00e5g ingenting f\u00f6rutom sammanpressade glimtar. All kraft, substans och tyngd l\u00e5g framf\u00f6r honom, framtiden var \u00f6verallt, allt som m\u00e4nniskor s\u00e4ger, olidligt utdragen.\n\nHuvorna var obegripliga. Varf\u00f6r hade b\u00e5da tv\u00e5 huvor p\u00e5 sig? Pojken beh\u00f6vde bara sin egen huva som skydd f\u00f6r att inte bli identifierad n\u00e5gon osannolik kommande dag. Och om pojken ville att f\u00e5ngen skulle b\u00e4ra huva, en huva utan titth\u00e5l, ett straff, ett sv\u00e4vande h\u00e5l, d\u00e5 beh\u00f6vde han inte en egen huva. Han kunde ha matat f\u00e5ngen genom en \u00f6ppning f\u00f6r munnen i hans trashuva.\n\nTv\u00e5 bilder i dunklet. Farmodern som m\u00e5ste bindas fast i stolen. Fadern som sitter berusad p\u00e5 toaletten, spyor som skv\u00e4tter \u00f6ver de nerdragna byxorna.\n\nEndast skrivandet kunde suga \u00e5t sig hans ensamhet och sorg. Skrivna ord skulle s\u00e4ga honom vem han var.\n\nHan visste att pojken ibland l\u00e5tsades g\u00e5 ut ur rummet men stannade kvar f\u00f6r att iaktta honom. Han var pojkens uppt\u00e4ckt, gl\u00f6den han hade skrapat upp fr\u00e5n marken. Han k\u00e4nde den koncentrerade n\u00e4rvaron och visste exakt var pojken stod och han l\u00e5g blickstilla p\u00e5 mattan och f\u00f6rsj\u00f6nk i absolut stillhet s\u00e5 l\u00e4nge som pojken stod och s\u00e5g p\u00e5.\n\nSm\u00e5 slutna bilder under huvan.\n\nEnda s\u00e4ttet att finnas i v\u00e4rlden var att skriva in sig d\u00e4r. Hans tankar och ord h\u00f6ll p\u00e5 att d\u00f6. L\u00e5t honom skriva tio ord och han skulle \u00e5ter vakna till liv.\n\nDe f\u00f6rde hit honom i en bil som saknade d\u00f6rr.\n\nEn v\u00e5t pappersremsa och en blyertspenna som en hund har tuggat p\u00e5. Han skulle kunna skriva av sig skr\u00e4cken, f\u00e5 ner den p\u00e5 papper och ut ur kropp och sj\u00e4l.\n\nFinns det tid f\u00f6r en sista tanke?\n\nHan visste att pojken stod vid d\u00f6rren och han f\u00f6rs\u00f6kte se ansiktet i ord, f\u00f6rest\u00e4lla sig hur han s\u00e5g ut, hud och \u00f6gon och ansiktsdrag, varje vinkel p\u00e5 den d\u00e4r ytan som kallas ansikte, om vi kan h\u00e4vda att han har ett ansikte, om vi tror att det verkligen finns n\u00e5got under huvan.\n\nBill lyssnade till r\u00f6sterna vid grannbordet och f\u00f6rstod att han satt bredvid veterin\u00e4rerna fr\u00e5n England. Tv\u00e5 m\u00e4n och en kvinna. Han tittade p\u00e5 tallriken som stod framf\u00f6r kvinnan och pekade. Kyparen krafsade ner n\u00e5got p\u00e5 sitt block och gick d\u00e4rifr\u00e5n. Bill svepte sin konjak.\n\nHan reste sig med det tomma glaset i handen och v\u00e4nde sig mot veterin\u00e4rerna.\n\n\u00bbJag undrar\u00ab, sa han, \u00bbom ni skulle vilja g\u00f6ra en f\u00f6rfattare en tj\u00e4nst och svara p\u00e5 n\u00e5gra fr\u00e5gor. Ni f\u00f6rst\u00e5r jag h\u00e5ller p\u00e5 med ett avsnitt i min bok som kr\u00e4ver medicinska specialkunskaper och eftersom jag beh\u00f6ver lite hj\u00e4lp undrar jag om jag skulle kunna f\u00e5 besv\u00e4ra er en liten stund.\u00ab\n\nDe verkade hyggliga. De s\u00e5g lagom v\u00e4nliga ut, ober\u00f6rda, inte s\u00e4rskilt st\u00f6rda.\n\n\u00bbEn f\u00f6rfattare\u00ab, sa kvinnan till de andra.\n\nEn av dem var en kraftig karl med sk\u00e4gg som tittade forskande p\u00e5 Bill medan de andra tv\u00e5 tittade p\u00e5 varandra f\u00f6r att besluta sig f\u00f6r om det h\u00e4r skulle bli skojigt eller pinsamt.\n\n\u00bbBorde vi h\u00f6rt talas om er?\u00ab fr\u00e5gade den sk\u00e4ggige veterin\u00e4ren med en l\u00e4tt skepsis i tonfallet.\n\n\u00bbNej d\u00e5, inte alls. Jag \u00e4r inte den sortens f\u00f6rfattare.\u00ab\n\nIngen tycktes bli f\u00f6rbryllad \u00f6ver detta p\u00e5st\u00e5ende fast\u00e4n Bill inte riktigt visste vad han menade. Det var en kommentar som n\u00e4rmast tillfredsst\u00e4llde dem, angav utg\u00e5ngspunkten f\u00f6r ett stillsamt och avsp\u00e4nt samtal mellan fr\u00e4mlingar p\u00e5 resa.\n\nBill s\u00e5g p\u00e5 sitt tomma glas och f\u00f6rs\u00f6kte sedan hitta en kypare n\u00e5gonstans, han vandrade med blicken \u00e4nda bort till andra restauranger utmed strandpromenaden.\n\n\u00bbMen kan vi inte ha l\u00e4st n\u00e5t ni har skrivit?\u00ab sa kvinnan. \u00bbP\u00e5 n\u00e5n flygplats kanske, d\u00e4r man inte alltid l\u00e4gger m\u00e4rke till namn.\u00ab\n\nDe b\u00e5da andra gav henne ett uppskattande \u00f6gonkast.\n\n\u00bbNej, det skulle jag inte tro. S\u00e4kert inte.\u00ab\n\nHon var liten och hade ett brett ansikte, trevligt brett t\u00e4nkte han, med brun lugg och en mun som trutade n\u00e4r hon talade.\n\n\u00bbVad \u00e4r det f\u00f6r n\u00e5t ni skriver?\u00ab sa den andre veterin\u00e4ren.\n\n\u00bbSk\u00f6nlitteratur.\u00ab\n\nHan med sk\u00e4gget nickade l\u00e5ngsamt.\n\n\u00bbJag h\u00e5ller p\u00e5 med ett lite problematiskt avsnitt, f\u00f6rst\u00e5r ni, och hur mycket man \u00e4n sl\u00e5r i b\u00f6ckerna kan inget ers\u00e4tta en pratstund med en riktig expert.\u00ab\n\n\u00bbHar de filmats n\u00e5n g\u00e5ng?\u00ab sa kvinnan.\n\n\u00bbPrecis. Har n\u00e5n av era b\u00f6cker blivit film ocks\u00e5?\u00ab sa den andre veterin\u00e4ren.\n\n\u00bbDe \u00e4r bara b\u00f6cker tyv\u00e4rr.\u00ab\n\nDen f\u00f6rste log blekt och tittade p\u00e5 Bill \u00f6ver helsk\u00e4gget.\n\n\u00bbMen som f\u00f6rfattare g\u00f6r ni f\u00f6rmodligen framtr\u00e4danden\u00ab, sa kvinnan.\n\n\u00bbDu menar p\u00e5 teve?\u00ab sa den andre veterin\u00e4ren.\n\n\u00bbJag brukar t\u00e4nka va, d\u00e4r har vi en till.\u00ab\n\nBill vinkade \u00e5t en f\u00f6rbipasserande kypare och h\u00f6jde glaset men det framgick inte om kyparen s\u00e5g honom eller f\u00f6rstod vad han drack. De f\u00e4rgade lyktorna var t\u00e4nda och n\u00e5gra stod p\u00e5 en balkong p\u00e5 \u00f6verv\u00e5ningen i det vita huset strax bakom den bortre raden med palmer.\n\nBill satte sig p\u00e5 huk bredvid bordet och s\u00e5g fr\u00e5n den ene veterin\u00e4ren till den andre medan han talade.\n\n\u00bbS\u00e5 h\u00e4r. Min hj\u00e4lte blir p\u00e5k\u00f6rd av en bil p\u00e5 en gata. Han kan g\u00e5 d\u00e4rifr\u00e5n utan hj\u00e4lp. Bl\u00e5m\u00e4rken p\u00e5 kroppen. Det v\u00e4rker och hugger. Men i stort sett \u00e4r det ingen fara med honom.\u00ab\n\n\u00bbNi f\u00f6rst\u00e5r s\u00e4kert\u00ab, sa kvinnan, \u00bbatt n\u00e4r vi st\u00e4ller diagnos och behandlar sjukdomar och skador r\u00f6r det sig om djur och enbart djur.\u00ab\n\n\u00bbDet vet jag.\u00ab\n\n\u00bbInte m\u00e4nniskor\u00ab, sa den andre veterin\u00e4ren.\n\n\u00bbOch den risken tar jag gladeligen.\u00ab\n\nBill studsade upp och sprang ifatt en kypare, t\u00f6mde det redan tomma glaset, gav det till mannen och uttalade l\u00e5ngsamt namnet p\u00e5 konjaken. Sedan kom han tillbaka och satte sig p\u00e5 huk vid bordet igen.\n\n\u00bbSen under loppet av ett par dar b\u00f6rjar min hj\u00e4lte k\u00e4nna av symptom l\u00e4ngre in, i f\u00f6rsta hand en intensiv och oavbruten sm\u00e4rta i sidan av buken.\u00ab\n\nEn annan kypare kommer med mer vin \u00e5t veterin\u00e4rerna.\n\n\u00bbOch han undrar om han har en inre bl\u00f6dning och i vilket organ i s\u00e5 fall och hur allvarligt och hur invalidiserande och allt s\u00e5nt d\u00e4r. F\u00f6r han vill ut och resa.\u00ab\n\n\u00bbKissar han blod d\u00e5?\u00ab sa den sk\u00e4ggige mannen.\n\n\u00bbInget blod i urinen.\u00ab\n\n\u00bbOm ni g\u00f6r s\u00e5 han kissar blod kan ni skriva n\u00e5t litet trevligt om njuren. Det skulle vi kunna hj\u00e4lpa er med.\u00ab\n\n\u00bbJag vill inte ha blod i hans urin.\u00ab\n\n\u00bb\u00c4r l\u00e4sarna s\u00e5 pjoskiga av sig?\u00ab sa kvinnan.\n\n\u00bbNej, men ni f\u00f6rst\u00e5r att sm\u00e4rtan sitter framtill.\u00ab\n\n\u00bbMen mj\u00e4lten d\u00e5?\u00ab sa den andre karln.\n\nBill t\u00e4nkte efter och kunde inte l\u00e5ta bli att fr\u00e5ga: \u00bbHar hundar mj\u00e4lte?\u00ab\n\nDet tyckte de andra var mycket lustigt.\n\n\u00bbOm de inte har det\u00ab, sa den sk\u00e4ggige veterin\u00e4ren, \u00bbhar jag tj\u00e4nat r\u00e4tt bra p\u00e5 att ta bort mj\u00e4lten p\u00e5 p\u00e4lskl\u00e4dda dv\u00e4rgar.\u00ab\n\nHan hade ett stort bullrande skratt som Bill tyckte om. Bills f\u00f6rsta fru f\u00f6raktade honom f\u00f6r hans svaghet f\u00f6r l\u00e4kare eftersom hon trodde att han smidde planer p\u00e5 att \u00f6verleva henne.\n\n\u00bbF\u00e5r jag till\u00e4gga en sak\u00ab, sa Bill. \u00bbHan tar sig g\u00e4rna ett glas emellan\u00e5t.\u00ab\n\n\u00bbD\u00e5 skulle hans mj\u00e4lte faktiskt kunna vara f\u00f6rstorad\u00ab, sa den andre veterin\u00e4ren. \u00bbOch en stor mj\u00e4lte blir l\u00e4ttare skadad och kan bl\u00f6da och bl\u00f6da och f\u00f6rorsaka avsev\u00e4rd sm\u00e4rta.\u00ab\n\n\u00bbMen mj\u00e4lten sitter till v\u00e4nster\u00ab, sa Bill. \u00bbDen h\u00e4r sm\u00e4rtan sitter p\u00e5 h\u00f6ger sida.\u00ab\n\n\u00bbSa ni det f\u00f6rut?\u00ab sa kvinnan.\n\n\u00bbDet gl\u00f6mde jag kanske.\u00ab\n\n\u00bbVarf\u00f6r inte \u00e4ndra det till v\u00e4nster sida och ta mj\u00e4lten?\u00ab sa den sk\u00e4ggige veterin\u00e4ren. \u00bbDen skulle faktiskt bl\u00f6da nonstop tror jag. Ni skulle kunna g\u00f6ra n\u00e5n bra grej p\u00e5 det.\u00ab\n\nKyparen kom in med konjaken och Bill h\u00f6ll upp en hand f\u00f6r att \u00e4ska tystnad medan han svalde ner el\u00e4ndet.\n\n\u00bbMen allts\u00e5, det m\u00e5ste vara h\u00f6ger sida. Det \u00e4r viktigt f\u00f6r handlingen.\u00ab\n\nHan anade att de gjorde en paus f\u00f6r att ta till sig detta.\n\n\u00bbKan det vara \u00f6vre h\u00f6ger sida?\u00ab sa den andre mannen.\n\n\u00bbJag tror vi kan ta det.\u00ab\n\n\u00bbKan vi ge honom lite ont n\u00e4r han tar ett djupt andetag?\u00ab\n\n\u00bbOnt vid andning. Tja, varf\u00f6r inte.\u00ab\n\n\u00bbKan vi l\u00e5ta det v\u00e4rka i h\u00f6ger axel?\u00ab\n\n\u00bbJa det tror jag vi kan.\u00ab\n\n\u00bbD\u00e5 \u00e4r det solklart\u00ab, sa kvinnan.\n\nDen sk\u00e4ggige veterin\u00e4ren h\u00e4llde upp vin.\n\n\u00bbSkrumplever.\u00ab\n\n\u00bbHematom.\u00ab\n\n\u00bbLokal blodfylld ansv\u00e4llning.\u00ab\n\n\u00bbSyns inte externt.\u00ab\n\nEn kypare kom med Bills mat och st\u00e4llde den p\u00e5 det andra bordet. De tittade p\u00e5 den allihop ett tag. Sedan gick Bill och h\u00e4mtade tallrik och bestick och satte sig p\u00e5 huk vid veterin\u00e4rernas bord och b\u00f6rjade sk\u00e4ra k\u00f6ttet i bitar.\n\n\u00bbS\u00e5 det \u00e4r allts\u00e5 levern som ligger bakom de h\u00e4r pr\u00f6vningarna. Vilket han p\u00e5 s\u00e4tt och vis misst\u00e4nkte. Vad ska jag g\u00f6ra med honom nu d\u00e5? Vad k\u00e4nner och t\u00e4nker han?\u00ab\n\nKvinnan tittade p\u00e5 den andre veterin\u00e4ren.\n\n\u00bbSvimf\u00e4rdig?\u00ab\n\n\u00bbAntagligen.\u00ab\n\n\u00bbInget blod till huvudet\u00ab, sa hon till Bill.\n\n\u00bbOch mer?\u00ab\n\n\u00bbBlodtrycket faller och bukh\u00e5lan kan vara p\u00e5 vippen att drabbas av akut infektion.\u00ab\n\n\u00bbMen han vill ut och resa\u00ab, sa Bill.\n\n\u00bbHelt uteslutet\u00ab, sa den andre veterin\u00e4ren.\n\n\u00bbVad skulle det vara f\u00f6r slags resa?\u00ab sa kvinnan.\n\n\u00bbEn sj\u00f6resa. En kryssning eller \u00f6verfart. Inte s\u00e4rskilt l\u00e5ng eller anstr\u00e4ngande.\u00ab\n\nBill h\u00e4llde lite vin i sitt glas och tittade fr\u00e5n den ene till den andre.\n\n\u00bbFullst\u00e4ndigt och komplett osannolikt\u00ab, sa den sk\u00e4ggige veterin\u00e4ren.\n\n\u00bbNej det g\u00e5r inte\u00ab, sa kvinnan. \u00bbVi kan inte l\u00e5ta honom resa. Det \u00e4r f\u00f6r mycket. Absolut inte.\u00ab\n\nBill hade ryckts med och drack upp vinet.\n\n\u00bbMen om han bara k\u00e4nner sig svimf\u00e4rdig? Inget blod till huvudet? Det \u00e4r ju d\u00e4rf\u00f6r folk \u00e5ker p\u00e5 kryssning.\u00ab\n\n\u00bbTyv\u00e4rr, icke\u00ab, sa kvinnan.\n\nDen sk\u00e4ggige veterin\u00e4ren sa: \u00bbOm ni ger honom symptomen vi enades om \u00e4r en l\u00e4kare den enda sannolika utv\u00e4gen.\u00ab\n\n\u00bbAnnars f\u00e5r ni helt enkelt l\u00e4gga honom i koma.\u00ab\n\nBill skar upp hela biffen innan han stoppade f\u00f6rsta tuggan i mun. Han reste sig och spanade efter en kypare. Luften hade en ren och lycklig doft.\n\n\u00bbH\u00f6rni, ta inte illa upp nu men vi pratar inte om en papegoja. Detta \u00e4r en i \u00f6vrigt frisk m\u00e4nniska.\u00ab\n\n\u00bbI \u00f6vrigt frisk. Det l\u00e4t gulligt.\u00ab\n\n\u00bbProblemet med friska m\u00e4nniskor, i \u00f6vrigt eller inte, \u00e4r att de inte l\u00e5ter l\u00e4karna g\u00f6ra det jobb de \u00e4r utbildade f\u00f6r.\u00ab\n\n\u00bbDjur f\u00f6rst, sist och alltid\u00ab, sa kvinnan, medan hon tog tag i bordskanten och drog sig fram\u00e5t i stolen.\n\nBill f\u00e5ngade en kypares uppm\u00e4rksamhet, viftade med sitt tomma glas och pekade i det. Den sk\u00e4ggige veterin\u00e4ren h\u00e4llde upp mer vin.\n\n\u00bbOkej\u00ab, sa Bill, \u00bbjag kan t\u00e4nka mig att l\u00e5ta min hj\u00e4lte underkasta sig professionella r\u00e5d och bed\u00f6mningar. Vad exakt skulle en l\u00e4kare g\u00f6ra om n\u00e5n i detta tillst\u00e5nd kom till hans mottagning?\u00ab\n\n\u00bbHan skulle f\u00f6r fan ringa efter ambulans, helt klart\u00ab, sa den sk\u00e4ggige veterin\u00e4ren.\n\nDe hade vansinnigt roligt. Den andre veterin\u00e4ren h\u00e4mtade en stol fr\u00e5n Bills bord och Bill satte sig ner och tog en bit k\u00f6tt till. Kyparen kom med konjak och de best\u00e4llde in mer vin.\n\nDe besl\u00f6t sig f\u00f6r att \u00e5ka till en nattklubb l\u00e4ngre bort utefter kusten, ett st\u00e4lle dit m\u00e4ngder med libaneser gick med sin exil och sin l\u00e4ngtan. I taxin satt Bill inkl\u00e4md i ett h\u00f6rn och k\u00e4nde sig dimmig och virrig. Vimsig. Det var ett ord han inte hade h\u00f6rt eller t\u00e4nkt p\u00e5 m\u00e5nga \u00e5r. Veterin\u00e4rerna f\u00f6rs\u00f6kte f\u00e5 chauff\u00f6ren att hitta p\u00e5 en dikt till Kataklysmos, en viktig lokal h\u00f6gtid till minnet av \u00f6versv\u00e4mningen.\n\nNattklubben var stor och fullsatt. En medel\u00e5lders kvinna gick omkring med handmikrofon bland borden och sj\u00f6ng klagos\u00e5nger p\u00e5 arabiska och franska. Bill satt och drack p\u00e5 en v\u00e4ggfast soffa, ihoptr\u00e4ngd med de tre f\u00f6rsta veterin\u00e4rerna och tv\u00e5 andra som de st\u00f6tt p\u00e5 utanf\u00f6r. Den f\u00f6rsta kvinnan l\u00e4t honom l\u00e4gga sin b\u00f6jda hand p\u00e5 hennes svampiga l\u00e5r. Champagnekorkar fyrades av ungef\u00e4r var fyrtionde sekund. Bill tyckte att han s\u00e5g sin bok p\u00e5 andra sidan lokalen, uppsv\u00e4lld och lutfl\u00e4ckad, rispad och urblekt, s\u00f6nderfr\u00e4tt i ansiktet och med trasiga t\u00e4nder glimmande i moset. Det var s\u00e5 p\u00e5tagligt och sant att vimsigheten klarnade f\u00f6r en stund. P\u00e5 dansgolvet stod det par och kl\u00e4ngde p\u00e5 varandra och en champagneflaska exploderade i ansiktet p\u00e5 n\u00e5gon, mannen stod i en gr\u00e4ddig str\u00f6m av blod och skum och tittade ner p\u00e5 f\u00f6r\u00f6delsen p\u00e5 sin kostym. \u00d6verallt s\u00e5g man referenser i modet, kvinnor med d\u00f6dskallesmycken och \u00e5tskilliga unga banditer i kamouflagesolglas\u00f6gon och olika milit\u00e4ra attiraljer. Allt fler diskussioner uppstod i lokalen, champagnen forsade ut med en sm\u00e4ll och Bill tyckte att det fanns en tveh\u00e5gsen st\u00e4mning d\u00e4r inne, en eftert\u00e4nksamhet mitt i allt larm och pladder, en heml\u00e4ngtan som bar n\u00e5got dolt inom sig, en gemensam medvetenhet om att de inte ville fly undan kriget, att kriget drog dem till sig, och de var h\u00e4r f\u00f6r att fatta varandras h\u00e4nder och med gl\u00e4dje dansa en d\u00f6dsdans f\u00f6rbi de plundrade hotellen och f\u00e4lten med nerfallen mursten. Och han betraktade den underlige vitsminkade figuren som gick upp p\u00e5 den lilla scenen och sj\u00f6ng \u00bbMack the Knife\u00ab som Louis Armstrong, en isande perfekt imitation av det ber\u00f6mda svullenrosslet, och Bill avskydde att h\u00f6ra det ljudet komma ut ur en hopf\u00e4llbar kropp som bor i en resv\u00e4ska, det var hemskt, det var j\u00e4vligt skr\u00e4mmande, men veterin\u00e4rerna blev fascinerade, inte en viskning eller blinkning, det var hajs\u00e5ngen som de hade v\u00e4ntat p\u00e5 hela kv\u00e4llen, den kataklysmiska dikten.\n\nDet gjorde ont att andas. Han flyttade handen \u00f6ver kvinnans l\u00e5r. Det var n\u00e5got med den raka luggen \u00f6ver pannan som fick honom att k\u00e4nna det som om han tafsade p\u00e5 en l\u00e4rarinna i ett f\u00f6rr\u00e5d med en f\u00e4rsk lukt av skolmaterial. Gode Gud, g\u00f6r s\u00e5 hon l\u00e5ter mig g\u00f6ra det med henne. Senare p\u00e5 herrtoaletten gick Bill och den sk\u00e4ggige veterin\u00e4ren om varandra utan ett ord eller tecken. K\u00e4ndes r\u00e4tt naturligt efter en l\u00e5ng natts tillf\u00e4lliga m\u00f6ten bland fr\u00e4mlingar i en avl\u00e4gsen stad. Bill tyckte det var som om ett helt liv hade passerat sedan segmentet fr\u00e5n strandpromenaden med havsfl\u00e4kt och f\u00e4rgade gl\u00f6dlampor.\n\nN\u00e4r han vaknade p\u00e5 hotellet l\u00e5g han i kalsongerna med strumporna och en sko p\u00e5. Det tog ett tag innan han kom p\u00e5 var han var. N\u00e4r han s\u00e5 sm\u00e5ningom fick det klart f\u00f6r sig f\u00f6rs\u00f6kte han dra sig till minnes hur han hade tagit sig hem. Han kunde inte komma ih\u00e5g att han l\u00e4mnat nattklubben. Det skr\u00e4mde honom, han kunde se framf\u00f6r sig hur han dr\u00e5sade in i husv\u00e4ggar, stupfull i m\u00f6rkret n\u00e5gonstans. Farorna i v\u00e4rlden \u00e4r enorma. Han f\u00f6rstod det nu, vilken tur han haft och hur idiotisk han varit som tagit den risken. Det fanns en cigarett kvar i paketet. Han tog av sig skon och t\u00e4nde cigaretten. M\u00e4rkligt att f\u00f6rest\u00e4lla sig sj\u00e4lv i f\u00f6rlorad tid, hur han genomf\u00f6rde ett ok\u00e4nt antal vanskliga man\u00f6vrar, hasande, sl\u00e4pande p\u00e5 ett hopkok av ett helt liv. Det skr\u00e4mde och kr\u00e4nkte honom men gjorde honom ocks\u00e5 hemligt f\u00f6rtjust.\n\nHan mindes det viktigaste, hur pojken som \u00e5t gr\u00e4shoppor \u00f6ppnade munnen och visade en bit av en vinge och ett \u00f6ga och safterna fr\u00e5n den s\u00f6ndertuggade kroppen som sipprade fram mellan t\u00e4nderna p\u00e5 honom.\n\nHan gick ut i badrummet f\u00f6r att spotta. Han harklade sig och spottade ut det. Han kissade. Han skakade av den sista droppen piss fr\u00e5n kuken. Detta var hans liv. Han lade cigaretten p\u00e5 glashyllan och tv\u00e4ttade sig i ansiktet. Han torkade sig och gick och satte sig p\u00e5 s\u00e4ngkanten, v\u00e5ldsamt blossande, han granskade cigaretten han h\u00f6ll i, ett s\u00e5nt rart p\u00e5hitt, en tunn rulle fint skuren tobak med omslag av tunt papper, avsedd att skicka v\u00e4lbehag upp i huvudet. Konstigt att han aldrig hade t\u00e4nkt p\u00e5 det.\n\nHan hade dragit av sig byxorna, eller n\u00e5gon hade det, utan att ta av sig v\u00e4nstra skon. Vilka fridfulla tecken p\u00e5 det obegripliga som framtr\u00e4der i natten. Han ville att r\u00f6kat skulle r\u00e4cka minst fyra bloss till och s\u00e5g att det inte skulle bli mer \u00e4n tv\u00e5 och \u00f6verv\u00e4ldigades av en djup sorg.\n\nHan sov n\u00e5gra timmar. Det verkade vara tidigt p\u00e5 kv\u00e4llen n\u00e4r han steg upp. Han ringde receptionen och de gav honom namn och adress till en l\u00e4kare han kunde kontakta. Han k\u00e4nde sig i fin form n\u00e4r han kl\u00e4dde p\u00e5 sig, var n\u00e4ra att strunta i doktorn, kom p\u00e5 b\u00e4ttre tankar, var sedan n\u00e4ra att strunta i honom igen eftersom han blev hungrig, vilket alltid \u00e4r ett tecken p\u00e5 \u00e5terh\u00e4mtning.\n\nHan best\u00e4mde sig f\u00f6r att g\u00e5 till l\u00e4karen. Innan han gick ut genom d\u00f6rren fick han en impuls och ringde till rederiet. De upplyste honom om att f\u00e4rjan var i trafik igen.\n\nHan k\u00e4nde efter att han hade pass, pl\u00e5nbok och resecheckar p\u00e5 sig. Han sl\u00e4ngde ner sina saker i v\u00e4skan och gick ner f\u00f6r att betala r\u00e4kningen. P\u00e5 rederiets expedition st\u00e4llde han sig i en k\u00f6 om exakt tre personer, han sj\u00e4lv inr\u00e4knad. Han besk\u00e5dade affischer med solnedg\u00e5ngar och solbr\u00e4nda kuster. En man kom in med kaffekoppar och glas med kallt vatten p\u00e5 en rund pl\u00e5tbricka som h\u00e4ngde i en st\u00e5ltr\u00e5dsst\u00e4llning. Det k\u00e4ndes som ett betydelsefullt \u00f6gonblick. Tj\u00e4nstemannen gjorde en gest och de tog varsin kopp och stod och pratade med varandra.\n\n\u00bbHur l\u00e5ngt var det nu till Jounieh?\u00ab\n\nTj\u00e4nstemannen svarade: \u00bbKanske tv\u00e5hundrafyrtio kilometer grovt r\u00e4knat.\u00ab\n\n\u00bbOch fr\u00e5n Jounieh till Beirut, hur g\u00f6r jag d\u00e5?\u00ab sa Bill.\n\n\u00bbTaxiavst\u00e5nd. Ta taxi.\u00ab\n\n\u00bbKommer de att skinna mig?\u00ab\n\n\u00bbSj\u00e4lvklart.\u00ab\n\n\u00bbHur \u00e4r det med h\u00e5len i b\u00e5ten? \u00c4r alla lagade?\u00ab\n\nEn skrattsalva nu, de andra hade alla roligt \u00e5t n\u00e5got utan att byta ett ord eller en blick.\n\n\u00bbOroa er inte f\u00f6r h\u00e5len.\u00ab\n\n\u00bb\u00c4r alla lagade?\u00ab\n\n\u00bbH\u00e5len ligger en bra bit \u00f6ver vattenlinjen.\u00ab\n\n\u00bbVi talar inte om h\u00e5len\u00ab, sa en annan kund.\n\n\u00bbH\u00e5len \u00e4r en bisak\u00ab, sa tj\u00e4nstemannen.\n\nBill luktade p\u00e5 sumpen i koppen, i ett f\u00f6rs\u00f6k att \u00f6verlista sm\u00e4rtan, ta sig runt den.\n\n\u00bbMen hur \u00e4r det med vapenvilan d\u00e5? Ser den ut att vara allvarligt menad den h\u00e4r g\u00e5ngen?\u00ab\n\n\u00bbDe menar alltid allvar. Man kan inte ta ett eldupph\u00f6r och s\u00e4ga att det h\u00e4r h\u00e5ller, det d\u00e4r har inte en chans. De \u00e4r alltid allvarligt menade och de h\u00e5ller aldrig.\u00ab\n\n\u00bbMen ber\u00f6rs f\u00e4rjan och s\u00e4kerheten ombord av vapenvilan? Inbegriper villkoren f\u00f6r vapenvilan jagare ute till havs?\u00ab\n\n\u00bbHavet \u00e4r ingenting\u00ab, sa tj\u00e4nstemannen.\n\n\u00bbVi talar inte om havet\u00ab, sa den andre kunden.\n\n\u00bbHavet \u00e4r en bisak j\u00e4mf\u00f6rt med land.\u00ab\n\nHan betalade f\u00f6r biljetten med resecheckar och tj\u00e4nstemannen fr\u00e5gade om han hade visum. Det hade han inte. Tj\u00e4nstemannen fr\u00e5gade om han hade dispens fr\u00e5n utrikesdepartementet och Bill hade aldrig h\u00f6rt talas om n\u00e5got s\u00e5dant.\n\n\u00bbStrunt i det. Det ordnar sig alltid.\u00ab\n\n\u00bbHur ordnar sig det?\u00ab sa Bill.\n\n\u00bbN\u00e4r ni kommer till Jounieh g\u00e5r ni till passkontrollen och d\u00e4r ser ni en man fr\u00e5n libanesiska arm\u00e9n. Det st\u00e5r alltid n\u00e5n d\u00e4r. Han har uniform, gummist\u00e4mpel och st\u00e4mpeldyna. S\u00e4g till honom att ni \u00e4r f\u00f6rfattare.\u00ab\n\n\u00bbOkej, jag \u00e4r f\u00f6rfattare.\u00ab\n\n\u00bbS\u00e4g att ni vill ha pressackreditering. Kanske f\u00f6resl\u00e5r han att en viss summa ska byta \u00e4gare. Sen st\u00e4mplar han n\u00e5t p\u00e5 ett papper och ni st\u00e5r d\u00e4refter under beskydd av den st\u00f6rsta kristna milisen.\u00ab\n\n\u00bbOch jag beh\u00f6ver inget visum f\u00f6r att komma in i landet.\u00ab\n\n\u00bbNi har full frihet att resa in.\u00ab\n\n\u00bbOch hur stor summa byter \u00e4gare?\u00ab\n\n\u00bbOm ni \u00e4r beredd att betala f\u00f6r att komma in i en stad som Beirut tror jag inte att ni bryr er om hur stor den \u00e4r.\u00ab\n\nHan stod p\u00e5 d\u00e4ck och blev f\u00f6rv\u00e5nad n\u00e4r han s\u00e5g dem g\u00e5 ombord, minst hundra personer, somliga med barn, med sovande sm\u00e5barn i en p\u00e5se \u00f6ver br\u00f6stet eller axeln. M\u00e5sarna vinglade omkring h\u00f6gt uppe i det gl\u00f6dande ljuset. Han tyckte att det var r\u00f6rande och modigt och han h\u00f6ll av dessa m\u00e4nniskor, familjer, paket, shoppingbagar, sm\u00e5barn, en hel kulturs melodi\u00f6sa samf\u00e4rdsel.\n\nHan t\u00e4nkte att han borde g\u00f6ra upp en plan, kanske n\u00e5got i stil med f\u00f6ljande.\n\nTa en taxi fr\u00e5n Jounieh till Beirut. K\u00f6psl\u00e5 med chauff\u00f6ren. L\u00e5tsas k\u00e4nna till trakten och den snabbaste v\u00e4gen och det normala priset f\u00f6r resan. Skaffa hotell i Beirut och be portiern hyra en bil och en chauff\u00f6r. K\u00f6psl\u00e5 med chauff\u00f6ren. Tala kunnigt om stadsplanen och f\u00f6rs\u00f6k ge intryck av att du har gjort det h\u00e4r m\u00e5nga g\u00e5nger f\u00f6rut. Visa honom din karta. Han hade en karta som han k\u00f6pt efter det att han h\u00e4mtat b\u00e5tbiljetten men det var konstigt att han m\u00e5ste g\u00e5 runt i tre aff\u00e4rer innan han fick tag p\u00e5 en karta \u00f6ver Beirut, som om stan inte l\u00e4ngre gjort sig f\u00f6rtj\u00e4nt av en s\u00e5dan eller hade f\u00f6rbrukat alla egna avbildningar. Visa honom kartan. \u00c5k till de s\u00f6dra slumkvarteren, och det \u00e4r h\u00e4r som Bills plan blev vag och luddig men han visste att han s\u00e5 sm\u00e5ningom skulle kliva in i Abu Rashids h\u00f6gkvarter och tala om vem han var.\n\nBill hade aldrig klivit in p\u00e5 ett st\u00e4lle och talat om vem han var.\n\nDe h\u00f6ll fortfarande p\u00e5 att g\u00e5 ombord. Ljuset var av det slag som klyver himlen, en svavelgul spjutspets som bleknar bort i natten. Han gick f\u00f6r att leta reda p\u00e5 sin hytt, vilken inneh\u00f6ll tre st\u00e5ltr\u00e5dsgalgar och en koj. Han blev yr igen och lade sig ner med armen \u00f6ver \u00f6gonen f\u00f6r att utest\u00e4nga ljuset. B\u00e5tvisslan lj\u00f6d och han t\u00e4nkte, inne i sm\u00e4rtan, att det var trevligt att b\u00e5tar fortfarande hade visslor som liksom st\u00e4mde upp till s\u00e5ng. Han tyckte att han l\u00e5g sk\u00f6nt, fick en sk\u00f6n vila. Han tyckte att sidorna han hade skrivit inneh\u00f6ll ett drag av konflikt, en felaktig form av anstr\u00e4ngning eller mots\u00e4ttning, en r\u00f6relse i tv\u00e5 riktningar, och till slut ins\u00e5g han att han egentligen inte alls t\u00e4nkte p\u00e5 f\u00e5ngen. Vem \u00e4r pojken, t\u00e4nkte han.\n\nDet var skrivandet som var orsaken till att hans liv f\u00f6rsvunnit.\n\nInget blod till huvudet.\n\nHan t\u00e4nkte p\u00e5 tiden, n\u00e4r var det.\n\nKan du v\u00e4nta ett spass.\n\nHan sj\u00f6nk undan fr\u00e5n sm\u00e4rtan och f\u00f6rs\u00f6kte l\u00e5ta bli att \u00e5terv\u00e4nda.\n\nHan t\u00e4nkte p\u00e5 den g\u00e5ngen, n\u00e4r var det, d\u00e5 han satt i en taxi p\u00e5 v\u00e4g till Idlewild som det hette d\u00e5, och chauff\u00f6ren sa \u00bbJag \u00e4r fostrad\u00ab, just det, och po\u00e4ngen \u00e4r att vi kommer att vara framme ungef\u00e4r tv\u00e5 och en halv timma innan planet lyfter tack vare n\u00e5got typiskt missf\u00f6rst\u00e5nd och chauff\u00f6ren sa \u00bbJag \u00e4r fostrad i den gamla skolan att ju f\u00f6rr dess b\u00e4ttre\u00ab, och d\u00e5 sa han till sig sj\u00e4lv l\u00e4gg den repliken p\u00e5 minnet och citera den f\u00f6r en god v\u00e4n eller anv\u00e4nd den i en bok f\u00f6r detta var viktiga saker, fostrad i den gamla skolan, och det sk\u00e4lvde i hj\u00e4rtat n\u00e4r han h\u00f6rde n\u00e5got s\u00e5dant s\u00e4gas p\u00e5 gatan eller bussen eller i snabbk\u00f6pet, den odiktbara poesin, inne i sm\u00e4rtan, i vad m\u00e4nniskor s\u00e4ger.\n\nHan ville s\u00e5 innerligt g\u00e4rna bli bortgl\u00f6md.\n\nHan sj\u00f6nk undan igen, tv\u00e4rt den h\u00e4r g\u00e5ngen, och \u00e4ndrade sig betr\u00e4ffande att inte \u00e5terv\u00e4nda, men han hade gl\u00f6mt repliken, upprepade den aldrig, anv\u00e4nde den aldrig, kanske var det trettiofem \u00e5r sedan, Kennedy var Idlewild, tid var pengar, bonden var i dalen, s\u00e5 tv\u00e4rt att det skr\u00e4mde honom, fick honom att k\u00e4mpa f\u00f6r att \u00e5terv\u00e4nda.\n\nHans far. Kan du v\u00e4nta ett spass.\n\nHans far. Jag s\u00e4ger till dig ideligen, ideligen, ideligen.\n\nHans mor. Jag tyckte det var b\u00e4ttre med nerkavlade \u00e4rmar.\n\nHan h\u00f6rde hur andh\u00e4mtningen f\u00f6r\u00e4ndrades, och en tr\u00f6ghet sm\u00f6g sig \u00f6ver honom, bekant fast aldrig f\u00f6rr upplevd, en l\u00e5ngsam gammal enformig ton ur den ytliga andningens historia, djupt och fullt igenk\u00e4nd.\n\nM\u00e4t skallen f\u00f6re best\u00e4llning.\n\nHans far. Vi m\u00e5ste ta ett snack, pojk.\n\nHan kunde det utan och innan. Skenet, solost\u00e4mman. Och den blev till havets r\u00f6relser, fartyget som st\u00e4vade med morgonen mot solen.\n\nP\u00e5 den uppfl\u00e4kta bergssidan ovanf\u00f6r Jounieh l\u00e5g ett gytter av balkongf\u00f6rsedda hus som s\u00e5g k\u00f6ttf\u00e4rgade ut i det tidiga ljuset. Nere p\u00e5 kajen stod n\u00e5gra \u00f6ppna sk\u00e5pbilar parkerade intill landg\u00e5ngen, lastade med mat och dryck. S\u00e5 snart passagerarna hade stigit i land gick st\u00e4dpersonalen ombord och en gammal man som haltade tog hytterna l\u00e4ngs styrbordssidan p\u00e5 \u00f6vre d\u00e4ck. N\u00e4r han kom till mannen som l\u00e5g i sin koj tittade han p\u00e5 det bl\u00e5slagna, orakade ansiktet och de smutsiga kl\u00e4derna och lade f\u00f6rsiktigt handen p\u00e5 den vita strupen f\u00f6r att k\u00e4nna p\u00e5 pulsen. Han bad en b\u00f6n och genoms\u00f6kte mannens tillh\u00f6righeter, l\u00e4t sm\u00e5pengarna, de rej\u00e4la skorna, sakerna i v\u00e4skan och sj\u00e4lva v\u00e4skan vara, men ans\u00e5g det inte vara ett brott mot den d\u00f6de att ta hans pass och andra identitetshandlingar, vad som helst med ett namn och ett nummer, s\u00e5dant som han kunde s\u00e4lja till n\u00e5gon falang i Beirut.\n\n#  14\n\nHAN h\u00f6rde en bild\u00f6rr sl\u00e5 igen borta p\u00e5 grusv\u00e4gen och d\u00e4refter ljudet av en bil som k\u00f6rde i v\u00e4g och han t\u00e4nkte efter ett \u00f6gonblick innan han v\u00e4nde sig om och tittade ut genom f\u00f6nstret bakom k\u00f6ksbordet. F\u00f6r vem kunde det vara som gick sista biten till fots? Den enstaka bes\u00f6karen k\u00f6r \u00e4nda fram. Han stod vid diskb\u00e4nken fullt sysselsatt med att skrubba en stekpanna och kunde inte se n\u00e5gon ur den vinkeln men brydde sig inte om att g\u00e5 fram eftersom vem det nu var f\u00f6rr eller senare skulle dyka upp utanf\u00f6r f\u00f6nstret, n\u00e5gon som s\u00e5lde Gud eller vildmarken eller sista stunden p\u00e5 jorden, eller s\u00e5 skulle de inte det. Den enstaka bes\u00f6karen kommer skumpande i en sk\u00e5pbil eller pickup f\u00f6r att leverera eller reparera n\u00e5got och det \u00e4r f\u00f6r det mesta ett bekant ansikte och slitna skor.\n\nScott tog tre fyra tag till med skursvampen och kastade en blick ut igen, och det var f\u00f6rst\u00e5s Karen, som inte var sig s\u00e5 olik fr\u00e5n f\u00f6rsta g\u00e5ngen han s\u00e5g henne, en dr\u00f6mmerska en sommardag, n\u00e5gon som sv\u00e4vade ut ur Bills huvud, sl\u00e4pandes med sin b\u00e4rkasse i marken.\n\nHan stod kvar vid diskb\u00e4nken. Han spolade vatten \u00f6ver stekpannan, skrubbade lite till, spolade mer vatten, skrubbade, spolade. Han h\u00f6rde henne g\u00e5 i trappan och \u00f6ppna d\u00f6rren. Hon kom in i hallen och han spolade vatten och stod med ryggen v\u00e4nd mot rummet.\n\nHon sa: \u00bbJag tog taxi fr\u00e5n busstationen i st\u00e4llet f\u00f6r att ringa. Jag hade pengar s\u00e5 att det r\u00e4ckte precis till taxi och dricks och inget mer och jag ville komma hit helt pank.\u00ab\n\n\u00bbVinden bl\u00e5ser upp d\u00f6rren och titta vad som promenerar in.\u00ab\n\n\u00bbFast egentligen har jag tv\u00e5 dollar kvar.\u00ab\n\nHan v\u00e4nde sig inte om. Han skulle bli tvungen att v\u00e4nja sig vid detta. Sedan ett par \u00e5r hade han p\u00e5 ett naturligt s\u00e4tt anpassat sig till rollen som \u00f6vergiven v\u00e4n eller ratad \u00e4lskare. Vi vet alla hur det vi hemligen fruktar inte alls \u00e4r n\u00e5got hemligt utan det \u00f6ppna och eviga som f\u00f6ruts\u00e4ger sin egen \u00e5terkomst. Han st\u00e4ngde av kranen och st\u00e4llde stekpannan i torkst\u00e4llet och v\u00e4ntade.\n\n\u00bbFr\u00e5ga mig om jag \u00e4r glad \u00f6ver att vara h\u00e4r igen. Jag saknade dig. Hur m\u00e5r du?\u00ab\n\n\u00bbHar du tr\u00e4ffat Bill?\u00ab sa han.\n\n\u00bbJag fick liksom syn p\u00e5 honom hela tiden, du vet. Fast inte p\u00e5 riktigt. Har du h\u00f6rt n\u00e5t?\u00ab\n\n\u00bbHelt tyst.\u00ab\n\n\u00bbJag kom hit f\u00f6r jag var orolig f\u00f6r dig. Och jag saknade dig.\u00ab\n\n\u00bbJag har h\u00e5llit p\u00e5 h\u00e4r. Jag har gjort lite av varje, ordnat upp ett och annat.\u00ab\n\n\u00bbDu har alltid satt v\u00e4rde p\u00e5 det.\u00ab\n\n\u00bbSamma gamla Scott\u00ab, sa han.\n\nHans r\u00f6st l\u00e4t fr\u00e4mmande. Han trodde att det kunde bero p\u00e5 att han inte hade talat med n\u00e5gon p\u00e5 l\u00e4nge. Men kanske var det sj\u00e4lva situationen. Det var farligt att \u00f6ppna munnen f\u00f6r han visste inte \u00e5t vilket h\u00e5ll en mening skulle kunna ta v\u00e4gen, mot en inneb\u00f6rd eller dess logiska motsats. Han kunde hamna var som helst, reagera lika l\u00e4tt p\u00e5 det ena som det andra s\u00e4ttet. Han hade inte full kontakt med vad han sa och det gav ett egendomligt och riskabelt lugn \u00e5t hans yttranden.\n\n\u00bbDet \u00e4r klart, du kanske vill vara ensam\u00ab, sa hon. \u00bbJag vet det. Jag vet att jag antagligen stack n\u00e4r du m\u00e5dde som s\u00e4mst. Men jag trodde faktiskt.\u00ab\n\n\u00bbJag vet.\u00ab\n\n\u00bbVi var inte det gamla str\u00e4vsamma.\u00ab\n\n\u00bbDet g\u00f6r inget\u00ab, sa han.\n\n\u00bbJag \u00e4r inte s\u00e5 bra p\u00e5 att prata om s\u00e5nt h\u00e4r.\u00ab\n\n\u00bbJag vet. Det g\u00f6r inget. Vi \u00e4r os\u00e4kra.\u00ab\n\n\u00bbJag ringde inte fr\u00e5n New York och jag ringde inte fr\u00e5n busstationen.\u00ab\n\n\u00bbDet \u00e4r ingen station. Du s\u00e4ger j\u00e4mt att det \u00e4r en station. Det \u00e4r en biljettlucka inne p\u00e5 en drugstore.\u00ab\n\n\u00bbF\u00f6r jag litar inte p\u00e5 telefoner\u00ab, sa hon.\n\nHan v\u00e4nde sig om och tittade p\u00e5 henne och hon s\u00e5g f\u00f6r j\u00e4vlig ut. Han gick fram och lade armarna om henne. Hon b\u00f6rjade skaka och han h\u00f6ll om henne och tog sedan ett steg tillbaka f\u00f6r att titta p\u00e5 henne. Hon gr\u00e4t, utf\u00f6rde den r\u00f6relsen eller intog den h\u00e5llningen, men utan t\u00e5rar, munnen var h\u00e5rt sp\u00e4nd, det dansande ljuset hade slocknat i \u00f6gonen, och han tog om hennes huvud och drog henne f\u00f6rsiktigt intill sig.\n\nDe tog en l\u00e5ng promenad i skogen p\u00e5 andra sidan v\u00e4gen, p\u00e5 led l\u00e4ngs stigen och ut i en gl\u00e4nta med ormbunkar. Hon ber\u00e4ttade att hon hade bilderna med sig, kontaktkartor p\u00e5 Britas fotografier av Bill. Han sa ingenting men k\u00e4nde en l\u00e4ttnad, en uppr\u00e4ttelse, det var en delbetalning f\u00f6r sveda och v\u00e4rk. Hon sa att Brita inte t\u00e4nkte publicera bilderna utan Bills eller Scotts samtycke.\n\nDe h\u00f6ll om varandra n\u00e4stan hela natten, eller l\u00e5g i fuktig ber\u00f6ring, som det f\u00f6ll sig, den ena framstupa och den andra p\u00e5 rygg med tv\u00e5 ben sammankopplade, och pratade och l\u00e4t bli, eller f\u00f6rsj\u00f6nk i tillf\u00e4llig s\u00f6mn, eller \u00e4lskade ryckigt och m\u00f6dosamt, fl\u00e5sade tungt, str\u00e5lade samman vid n\u00e5got inre br\u00e5ddjup, eller Karen pratade och Scott skrattade, f\u00f6rtjust \u00f6ver hennes imitationer av New Yorks ordmaskin, tugga och krubba, maxa och deala, eller Scott ber\u00e4ttade hur han hade varje linje i hennes ansikte etsad p\u00e5 n\u00e4thinnan s\u00e5 att han ibland kunde se henne mitt i maten, flytande i sitt eget h\u00e5r som en laserbild av n\u00e5gon modern Botticellityp.\n\nN\u00e4sta morgon k\u00f6rde de tre och en halv mil f\u00f6r att k\u00f6pa ett ljusbord och en lupp och tre och en halv mil tillbaka.\n\nP\u00e5 eftermiddagen r\u00f6jde de av skrivbordet p\u00e5 vinden och bredde ut kontaktkartorna. Det var tolv stycken och p\u00e5 var och en fanns det trettiosex svartvita exponeringar \u2013 sex rader, sex rutor per rad. Kartorna var tjugo g\u00e5nger tjugo\u00e5tta centimeter och varje ruta var fyra centimeter bred och tv\u00e5 och en halv centimeter h\u00f6g.\n\nScott och Karen stod vid varsin \u00e4nde av skrivbordet. De b\u00f6jde sig fram, aktade sig f\u00f6r att s\u00e4tta fingeravtryck, och tittade p\u00e5 filmremsorna fast inte noggrant eller analyserande. Det var inte dags f\u00f6r det \u00e4n.\n\nKaren h\u00f6ll h\u00e4nderna kn\u00e4ppta p\u00e5 ryggen och efter en stund stack Scott h\u00e4nderna i fickorna och det var p\u00e5 det s\u00e4ttet de skaffade sig en \u00f6verblick, medan de b\u00f6jde sig fram \u00f6ver bordet och gick runt varandra f\u00f6r att byta plats.\n\nP\u00e5 kv\u00e4llen, efter en tidig middag, bar Scott upp telefonbordet p\u00e5 vinden. Han st\u00e4llde det vid ena \u00e4nden av skrivbordet och placerade ljusbordet ovanp\u00e5.\n\nDe turades om att titta p\u00e5 kartorna. Eftersom exponeringarna kom i den f\u00f6ljd som de tagits, kunde de se hur Brita hade skapat rytmer och teman, f\u00e5ngat ett tecken, f\u00f6ljt n\u00e5gon liten egenhet i Bills ansikte och arbetat med att f\u00f6rstora den eller f\u00f6rklara den, g\u00f6ra den sann, g\u00f6ra den till honom. Bilderna av Bill var glimtar av hur Brita t\u00e4nkte, en liten anatomi \u00f6ver tanke och \u00f6ga. Scott gissade att hon var ute efter n\u00e5got of\u00f6rberett och f\u00e5ngat i flykten, en ledig och familj\u00e4r Bill. Han flyttade luppen fr\u00e5n ruta till ruta och s\u00e5g en fotograf som f\u00f6rs\u00f6kte befria sitt motiv fr\u00e5n varje mysterium som sv\u00e4vade \u00f6ver det liv han valt. Hon ville ta bilder som utpl\u00e5nade hans avskildhet, gjorde att den aldrig funnits, som f\u00f6r\u00e4ndrade honom och gav honom ett ansikte vi k\u00e4nt s\u00e5 l\u00e4nge vi levt.\n\nMen kanske inte. Scott tyckte inte det var s\u00e5 br\u00e5ttom med att ge sig in p\u00e5 teorier om hur mycket som kunde utl\u00e4sas av ett fotografi.\n\nF\u00f6rst kom det h\u00e4rliga jobbet med att katalogisera bilderna, g\u00f6ra listor med utg\u00e5ngspunkt fr\u00e5n kameravinkel, motivets minspel, del av rummet, grad av skugga, n\u00e4rbild, halvbild, synliga eller inte synliga h\u00e4nder, bakgrundens detaljer och s\u00e5 vidare. Det vi har framf\u00f6r oss \u00e4r en sak. Hur vi analyserar och beskriver och systematiserar det \u00e4r n\u00e5got helt annat.\n\nFast p\u00e5 sitt s\u00e4tt, och vid en snabb titt, var skillnaderna mellan exponeringarna s\u00e5 utomordentligt sm\u00e5 att alla tolv kartorna lika g\u00e4rna kunde varit en enda upprepad bild, likt en enda visuell oreda som ryms i en glimt.\n\nS\u00e5 mycket st\u00f6rre anledning att analysera. Eftersom det givetvis fanns skillnader \u2013 h\u00e4ndernas h\u00e5llning, cigarettens placering \u2013 och det skulle ta tid att g\u00f6ra en utt\u00f6mmande genomg\u00e5ng.\n\nVid frukosten sa Scott: \u00bbDet finns en sak som jag inte har velat t\u00e4nka p\u00e5.\u00ab\n\n\u00bbJag vet vad du t\u00e4nker s\u00e4ga.\u00ab\n\n\u00bbVi m\u00e5ste f\u00f6rbereda oss p\u00e5 m\u00f6jligheten att Bill inte kommer tillbaka, att vi aldrig kommer att h\u00f6ra av honom igen. Men jag t\u00e4nker inte g\u00e5 omkring och vara f\u00f6rbryllad eller kr\u00e4nkt.\u00ab\n\n\u00bbInte jag heller.\u00ab\n\n\u00bbVi f\u00e5r inte l\u00e5ta v\u00e5ra k\u00e4nslor f\u00f6rklara hans beteende.\u00ab\n\n\u00bbVi kan inte anv\u00e4nda oss av g\u00e4ngse normer.\u00ab\n\n\u00bbVad han \u00e4n har hittat p\u00e5, s\u00e5 m\u00e5ste vi inse att det var n\u00e5t han har f\u00f6rberett, n\u00e5t han har burit p\u00e5 alla dessa \u00e5r.\u00ab\n\n\u00bbHan var tvungen till det.\u00ab\n\n\u00bbOch vi \u00e4r definitivt de sista m\u00e4nniskor p\u00e5 jorden som kan kr\u00e4va en f\u00f6rklaring.\u00ab\n\n\u00bbKan vi bo kvar h\u00e4r i alla fall?\u00ab sa Karen.\n\n\u00bbHuset \u00e4r betalt. Och han skulle vilja att vi bodde h\u00e4r. Och jag har sparat pengar fr\u00e5n l\u00f6nen han gav mig och den \u00f6verf\u00f6rs automatiskt fr\u00e5n hans konto till mitt en g\u00e5ng i m\u00e5naden och om han inte ville att jag skulle f\u00e5 den i forts\u00e4ttningen skulle han sagt till p\u00e5 banken innan han f\u00f6rsvann.\u00ab\n\n\u00bbJag kan ta jobb som servitris.\u00ab\n\n\u00bbJag tror att vi klarar oss. Vi bor i Bills hus. Hans b\u00f6cker och papper finns h\u00e4r hos oss. Det beror p\u00e5 hans familj. N\u00e4r de uppt\u00e4cker hur det ligger till f\u00f6rs\u00f6ker de kanske s\u00e4lja huset bakom ryggen p\u00e5 oss. De kanske f\u00f6rs\u00f6ker s\u00e4lja hans arkiv, f\u00e5 den nya boken publicerad. Vartenda katastrofscenario som jag kunnat rita upp. Och sen \u00e4r det royaltyn fr\u00e5n de andra b\u00f6ckerna.\u00ab\n\n\u00bbVi t\u00e4nker inte p\u00e5 det nu\u00ab, sa hon.\n\n\u00bbDet \u00e4r hela den komplicerade fr\u00e5gan om vem som har r\u00e4tten.\u00ab\n\n\u00bbHan bodde med oss, inte med dem.\u00ab\n\n\u00bbHan l\u00e4mnade inga instruktioner.\u00ab\n\n\u00bbDet \u00e4r vi som gjort det m\u00f6jligt f\u00f6r Bill att \u00e4gna hela sin tid \u00e5t att skriva.\u00ab\n\n\u00bbVi undanr\u00f6jde alla hinder. Det st\u00e4mmer.\u00ab\n\n\u00bbS\u00e5 borde de inte l\u00e5ta oss bo kvar h\u00e4r om vi lovar att l\u00e5ta allt vara precis som det \u00e4r och forts\u00e4tta Bills arbete?\u00ab\n\nScott skrattade.\n\n\u00bbAdvokaternas natt n\u00e4rmar sig. De l\u00e5nga knivarna kommer fram. Blod och slagord p\u00e5 alla v\u00e4ggar.\u00ab\n\n\u00bbDe kan \u00e4ga huset\u00ab, sa Karen. \u00bbMen de borde l\u00e5ta oss bo h\u00e4r. Och vi beh\u00e5ller manuskriptet och vi beh\u00e5ller bilderna.\u00ab\n\nScott lutade sig mot henne och sj\u00f6ng lite p\u00e5 en gammal Beatlesl\u00e5t, n\u00e5got om _carrying pictures of chairman Mao_.\n\nSedan satt han p\u00e5 vinden ensam hela regniga f\u00f6rmiddagen, b\u00f6jd \u00f6ver ljusbordet, och gjorde anteckningar.\n\nHan hade hemligheten med Bills riktiga namn.\n\nHan hade fotografierna, det h\u00e4rliga arbetet med att beskriva och katalogisera.\n\nHan hade manuskriptet till Bills nya roman, hela huset fyllt med sidor, sidor som fl\u00f6dade \u00f6ver in i tillbyggnaden p\u00e5 baksidan av huset, en hel k\u00e4llare full med sidor.\n\nManuskriptet skulle vila. Han kunde eventuellt tala med Charles Everson, bara n\u00e5gra ord om att det var avslutat. Manuskriptet skulle vila, och det skulle uppst\u00e5 rykten, och manuskriptet skulle inte r\u00f6ras. Efter en tid skulle han kanske ta med sig fotografierna till New York och tr\u00e4ffa Brita och v\u00e4lja ut vilka som skulle offentligg\u00f6ras. Men manuskriptet skulle vila, och ryktet skulle spridas, och bilderna skulle visas, ett litet och smakfullt urval, bara en g\u00e5ng, och ryktet skulle v\u00e4xa och f\u00f6ras vidare, och romanen skulle ligga kvar h\u00e4r, samla aura och kraft, f\u00f6rst\u00e4rka den od\u00f6dliga legenden om Bill.\n\nDet b\u00e4sta med livet \u00e4r att man alltid f\u00e5r en ny chans. F\u00f6r att citera Bill.\n\n#  I BEIRUT\n\nCHAUFF\u00d6REN ber\u00e4ttar tre anekdoter f\u00f6r henne.\n\nF\u00f6rst en: folk br\u00e4nner bild\u00e4ck. Mitt bland bilbomber och gatustrider och braket fr\u00e5n l\u00e5ngdistanskanoner och hus som rasar samman och hela kvarter som f\u00f6rsvinner i r\u00f6k, br\u00e4nner m\u00e4nniskor bild\u00e4ck f\u00f6r att jaga bort myggor och flugor.\n\nN\u00e4sta: n\u00e5gra lokala milisgrupper skjuter p\u00e5 portr\u00e4tt av varandras ledare. Det \u00e4r stora fotografier som sitter uppklistrade p\u00e5 husv\u00e4ggarna eller h\u00e4nger i markisstolparna p\u00e5 gr\u00f6nsaksmarknaden och de skjuts s\u00f6nder och rivs i bitar, en del fotografier \u00e4r s\u00e5 stora att de vajar fr\u00e5n en st\u00e5ltr\u00e5d som sp\u00e4nts tv\u00e4rs \u00f6ver gatan och de skjuts s\u00f6nder och byts genast ut och rivs i bitar igen. Det finns en ny vitalitet p\u00e5 just de gatorna, som uppst\u00e5tt ur denna senaste form av strid.\n\nDen sista: de g\u00f6r bomber som inneh\u00e5ller golvnubb och takspik. Polisen hittar m\u00e4ngder av vanlig spik, spik som har yrt och st\u00e4nkt och tr\u00e4ngt in i offer f\u00f6r pl\u00f6tsliga explosioner.\n\nBrita v\u00e4ntar p\u00e5 po\u00e4ngen i anekdot nummer tre. Ska det inte finnas n\u00e5gon sorts ironi, lite bister humor, ett drag av m\u00e4nniskans besynnerligt envisa s\u00e4tt att ignorera den st\u00f6rre galenskapen och g\u00e5 in p\u00e5 sm\u00e5 och udda detaljer, in p\u00e5 subtila \u00f6gonblick som hj\u00e4lper oss att k\u00e4nna en strimma hopp? Det h\u00e4r pratet om spikarna ger henne ingenting. Och hon \u00e4r inte s\u00e5 road av de andra anekdoterna heller. Hon hade redan tr\u00f6ttnat p\u00e5 dessa anekdoter n\u00e4r hon kom hit, \u00e4ven dem hon aldrig h\u00f6rt. De \u00e4r likadana allihop och lika sanna och det \u00e4r sorgligt att de beh\u00f6vs. Och de retar n\u00e4stan alltid upp henne, s\u00e4rskilt dem om terroristgrupper som utf\u00e4rdar presskort.\n\nDe k\u00f6r f\u00f6rbi ruinerna av kappl\u00f6pningsbanans b\u00e5gformiga fasad. Sedan k\u00f6r de \u00e5t fel h\u00e5ll p\u00e5 en enkelriktad gata men det g\u00f6r detsamma. Alla gator \u00e4r r\u00e4tt och fel. Hon ser svartbr\u00e4nda bilar, vatten som sprutar triumferande ur trasiga ledningar. Gatuliv dessutom, f\u00f6rs\u00e4ljare, tr\u00e4k\u00e4rror, en man som s\u00e4ljer radioapparater och skor fr\u00e5n motorhuven p\u00e5 sin bil. Balkonger h\u00e4nger lodr\u00e4tt ner fr\u00e5n bombade hus. Sedan kommer de in i slummen strax intill flyktingl\u00e4gren. Bilar inslagna i affischer p\u00e5 Khomeini, hela bilar \u00f6verklistrade med affischer f\u00f6rutom en glugg framf\u00f6r f\u00f6rarplatsen. Sands\u00e4cksskyddade butiker och berg av ouppsamlade sopor. Hon ser en gatuf\u00f6rs\u00e4ljares lilla hemmagjorda stad av Marlborolimpor, prydliga cigarettstaplar som en dr\u00f6m om en infrastruktur med ordning och god planering.\n\nBrita \u00e4r ute p\u00e5 uppdrag f\u00f6r en tysk tidskrift och har kommit hit f\u00f6r att fotografera en lokal ledare vid namn Abu Rashid. Han h\u00e5ller sig g\u00f6md n\u00e5gonstans l\u00e5ngt inne i dessa s\u00f6nderskjutna kvarter d\u00e4r ogr\u00e4s och vild hibiskus tr\u00e4nger ut ur gr\u00e4nderna och kvinnorna b\u00e4r huvudsjalar och st\u00e5r i k\u00f6, l\u00e5nga k\u00f6er \u00f6verallt f\u00f6r att f\u00e5 mat, dricksvatten, filtar, kl\u00e4der.\n\nChauff\u00f6ren \u00e4r en man i sextio\u00e5rs\u00e5ldern som uttalar det sista b-et i bomb. Han har sagt ordet ungef\u00e4r elva g\u00e5nger och nu v\u00e4ntar hon p\u00e5 det och h\u00e4rmar honom tyst. Bomben. Bombandet. M\u00e4nniskor i Libanon talar inte om n\u00e5got annat \u00e4n Libanon och i Beirut \u00e4r det tydligen bara Beirut.\n\nEn tiggare kommer fram till bilen och rabblar n\u00e5got, han har ett \u00f6ga slutet och h\u00f6nsfj\u00e4drar fastsatta med h\u00e4ftapparat i skjortan. Chauff\u00f6ren tutar \u00e5t en gosse som g\u00e5r med en bajonett i en skida av krokodilskinn och signalhornet spelar de f\u00f6rsta takterna av \u00bbCalifornia Here I Come\u00ab.\n\nGatan vimlar av bilder. De t\u00e4cker v\u00e4ggar och kl\u00e4der \u2013 bilder av martyrer, pr\u00e4ster, stridsk\u00e4mpar, semestrar p\u00e5 Tahiti. En m\u00e4nniskoskalle sitter fastspikad p\u00e5 en mur och det kommer tecknade d\u00f6dskallar, det \u00e4r d\u00f6dskalleklotter, pojkar i t-shirts med illustrerade skallar, m\u00f6nster med bl\u00e5 skallar. Chauff\u00f6ren \u00f6vers\u00e4tter klottret p\u00e5 v\u00e4ggarna och det handlar om D\u00f6dskallarnas fader, Blodskallarna fr\u00e5n Hollywood USA, Arafat Go Home, D\u00f6dskallem\u00e4staren var h\u00e4r. De arabiska bokst\u00e4verna \u00e4r fantastiska \u00e4ven n\u00e4r de \u00e4r slarvigt sprejade. Det handlar om Sj\u00e4lvmords-Sam, bilbombsmannen. Det st\u00e5r Ali 21. Det st\u00e5r Nu \u00e4r jag h\u00e4r igen, tack vare Ali 21. Bilen k\u00f6r l\u00e5ngsamt genom smala gator och in i grusgr\u00e4nder och Brita t\u00e4nker att det h\u00e4r st\u00e4llet \u00e4r en tusen\u00e5rig bildfabrik. Det finns filmaffischer \u00f6verallt men inget som liknar en biograf. Affischer p\u00e5 barbr\u00f6stade m\u00e4n med \u00f6verdimensionerade vapen, granater som h\u00e4nger i b\u00e4ltet och st\u00e4der som brinner i bakgrunden. Hon kikar genom granath\u00e5l i en husv\u00e4gg och ser en annan raserad byggnad med ett blottat rum d\u00e4r tre p\u00e5t\u00e4nda m\u00e4n sitter i en splitterny soffa. Pojkar med skalltatueringar \u00f6vervakar v\u00e4gsp\u00e4rrarna if\u00f6rda valda delar av syriska, amerikanska, libanesiska, franska och israeliska uniformer och b\u00e4rande p\u00e5 laddade automatkarbiner.\n\nChauff\u00f6ren visar Britas presskort och pojkarna kikar in p\u00e5 henne. En av dem s\u00e4ger n\u00e5got p\u00e5 tyska och hon m\u00e5ste bek\u00e4mpa den fullkomligt vansinniga impulsen att erbjuda honom pengar f\u00f6r hans m\u00f6ssa. Han har en otrolig m\u00f6ssa p\u00e5 sig med en bucklig bl\u00e5 sk\u00e4rm som hon g\u00e4rna skulle vilja ge till en god v\u00e4n i New York.\n\nBilen k\u00f6r vidare.\n\nHon har slutat fotografera f\u00f6rfattare. Det k\u00e4ndes inte meningsfullt l\u00e4ngre. Hon tar uppdrag nu, de intressanta jobben, bortgl\u00f6mda krig, barn som springer i dammet. F\u00f6rfattare slutade en dag. Hon vet inte hur det kom sig men det upph\u00f6rde helt stilla. De slutade vara projektet hon t\u00e4nkt \u00e4gna sig \u00e5t hela sitt liv.\n\nNu dyker det upp plakat f\u00f6r en ny l\u00e4sk, Coke II, plakat uppsm\u00e4llda p\u00e5 betongv\u00e4ggar, och hon f\u00e5r pl\u00f6tsligt f\u00f6r sig att de h\u00e4r reklamskyltarna basunerar ut maoistgruppens n\u00e4rvaro. Eftersom bokst\u00e4verna \u00e4r s\u00e5 starkt r\u00f6da. Skyltarna blir st\u00f6rre medan de k\u00f6r in i allt tr\u00e4ngre utrymmen, in i m\u00e5nga obehagliga lukter, \u00f6ppna avlopp, gummi som brinner, en hund som bara \u00e4r revben och tunga och ligger stilla och gl\u00e4nser av gr\u00f6na flugor, och nu sitter affischerna t\u00e4tt, de t\u00e4cker n\u00e4stan hela v\u00e4ggen, nerklottrade med ord som \u00e4r sv\u00e5ra att tyda, sl\u00e4ngar som g\u00e5r i varandra, ett utbrott i krita och f\u00e4rg, och Brita f\u00e5r f\u00f6r sig en sak till, att det h\u00e4r \u00e4r som anslagen med stora skrivtecken under kulturrevolutionen i Kina \u2013 varningar och hot, uppmaningar till sj\u00e4lvkritik. Eftersom det finns en viss yttre likhet. Affischerna sitter tio p\u00e5 h\u00f6jden p\u00e5 vissa st\u00e4llen, upp f\u00f6rbi andra v\u00e5ningen, och de tr\u00e4ngs med varandra, de knuffar sig fram och f\u00f6rkunnar, tusentals arabiska ord som slingrar sig mellan bokst\u00e4verna och de romerska siffrorna i Coke II-loggan.\n\nEn man st\u00e5r p\u00e5 ett sk\u00f6vlat torg. Bilen bromsar in och Brita tar kamerav\u00e4skan p\u00e5 axeln och hoppar ur. Chauff\u00f6ren ger henne presskortet. Det \u00e4r tydligt att hon f\u00f6rv\u00e4ntas f\u00f6lja med den andre mannen. Han \u00e4r \u00e4ldre \u00e4n chauff\u00f6ren och hon l\u00e4gger m\u00e4rke till att halva h\u00f6gra \u00f6rat saknas. Han har tofflor p\u00e5 f\u00f6tterna och b\u00e4r p\u00e5 en vattenflaska i plast. Det finns m\u00e4nniskor som bor i ruinerna bland mj\u00f6liga kullar av gips. De f\u00e5 bilar som \u00f6ver huvud taget st\u00e5r d\u00e4r, parkerade t\u00e4tt intill husv\u00e4ggarna, saknar antingen skyltar eller \u00e4r totalt renrakade och m\u00f6rknar som fruktskal i solen. Hon ser en familj husera i ett fordon som liknar en korsning mellan en godsvagn och en pickup fast utan hjul och som sjunkit ner till hjulaxeln i dammet. Hennes v\u00e4gvisare b\u00e4r vattenflaskan instoppad under armh\u00e5lan och utan ett ord g\u00e5r han f\u00f6re henne rakt in i ett sammanst\u00f6rtat hus. Hon b\u00f6jer p\u00e5 nacken och f\u00f6ljer efter in i diset \u00f6ver den nerrasade murstenen. Det h\u00e4nger l\u00f6sa ledningar \u00f6verallt och dammet luktar surt. De g\u00e5r ut genom \u00e5terstoden av en k\u00f6ttaff\u00e4r och tv\u00e4rs \u00f6ver en gr\u00e4nd till n\u00e4sta hus, som kanske har varit en liten fabrik en g\u00e5ng i tiden. Den ser oskadd ut med undantag f\u00f6r granat\u00e4rr och trasiga f\u00f6nster och de g\u00e5r in genom en stor st\u00e5ld\u00f6rr med extra kryssf\u00f6rst\u00e4rkning.\n\nDet st\u00e5r pojkar med huvor p\u00e5 vakt vid trappan och de har fotografier av en gr\u00e5h\u00e5rig man fastn\u00e5lade p\u00e5 tr\u00f6jorna. P\u00e5 andra v\u00e5ningen stannar v\u00e4gvisaren vid en d\u00f6rr och v\u00e4ntar tills Brita har g\u00e5tt in. D\u00e4r inne sitter tv\u00e5 m\u00e4n och \u00e4ter spagetti med pitabr\u00f6d och dricker Cola light. V\u00e4gvisaren smyger bort och den ene av de \u00e4tande m\u00e4nnen reser sig och s\u00e4ger att det \u00e4r han som \u00e4r tolk. Brita tittar p\u00e5 den andre mannen, som \u00e4r en bra bit \u00f6ver sextio och b\u00e4r ren khakiuniform med \u00e4rmarna prydligt upprullade till armb\u00e5gen. Han har gr\u00e5tt h\u00e5r och en n\u00e5got m\u00f6rkare mustasch och hyn har en r\u00f6dblommig \u00f6kenbrun f\u00e4rg. H\u00e4nderna \u00e4r knotiga, m\u00f6jligen en smula f\u00f6rv\u00e4rkta, och han har guldb\u00e5gade glas\u00f6gon och ett par guldplomber.\n\nBrita s\u00e4tter i g\u00e5ng med uppriggningen. Hon tycker inte att hon beh\u00f6ver v\u00e4rma upp med sm\u00e5prat i det h\u00e4r fallet. Tolken flyttar p\u00e5 n\u00e5gra m\u00f6bler och s\u00e4tter sig sedan igen f\u00f6r att \u00e4ta f\u00e4rdigt. M\u00e4nnen sitter d\u00e4r och \u00e4ter under tystnad.\n\nDet ligger en skolg\u00e5rd utanf\u00f6r f\u00f6nstret. Skolbyggnaden mittemot \u00e4r mer eller mindre en ruin. Ute p\u00e5 skolg\u00e5rden sitter trettio eller fyrtio pojkar direkt p\u00e5 marken, med armarna i kors \u00f6ver de b\u00f6jda kn\u00e4na, och en man i khakiuniform talar till dem.\n\nRashid s\u00e4ger n\u00e5got till tolken.\n\n\u00bbHan s\u00e4ger att ni verkligen \u00e4r v\u00e4lkommen att sl\u00e5 er ner.\u00ab\n\n\u00bbDet var mycket v\u00e4nligt men jag vill inte vara till besv\u00e4r eller ta upp tid. Han har s\u00e4kert mycket att g\u00f6ra.\u00ab\n\nHon riktar kameran ut mot f\u00f6nstret och tar sikte p\u00e5 pojkarna p\u00e5 g\u00e5rden.\n\nRashid s\u00e4ger n\u00e5got.\n\n\u00bbInte till\u00e5tet\u00ab, s\u00e4ger tolken och reser sig upp till h\u00e4lften. \u00bbInga andra bilder \u00e4n h\u00e4r inne.\u00ab\n\nHon rycker p\u00e5 axlarna och s\u00e4ger: \u00bbJag visste inte att ni hade n\u00e5gra restriktioner.\u00ab Hon s\u00e4tter sig och rotar i v\u00e4skan. \u00bbSom jag hade uppfattat det skriver reportern artikeln och jag tar bilderna. Ingen har sagt n\u00e5t till mig om att jag skulle undvika vissa motiv.\u00ab\n\nRashid tittar inte upp fr\u00e5n tallriken. Han s\u00e4ger till henne: \u00bbKom inte med era problem till Beirut.\u00ab\n\n\u00bbHan s\u00e4ger att vi har nog med v\u00e5ra egna problem och har ni kommunikationssv\u00e5righeter i M\u00fcnchen eller Frankfurt vill vi inte h\u00f6ra n\u00e5t om det.\u00ab\n\nBrita t\u00e4nder en cigarett.\n\nRashid s\u00e4ger n\u00e5got, den h\u00e4r g\u00e5ngen p\u00e5 arabiska, vilket f\u00f6rblir o\u00f6versatt.\n\nBrita r\u00f6ker och v\u00e4ntar.\n\nTolken suger upp s\u00e5sen med sitt platta br\u00f6d.\n\nBrita s\u00e4ger: \u00bbH\u00f6rni, jag vet att alla som kommer till Libanon vill vara med om h\u00e4ftiga grejer, men att det bara slutar med att de blir f\u00f6rvirrade och utsk\u00e4mda och leml\u00e4stade, s\u00e5 jag vill helst bara ta mina bilder och sticka, om det g\u00e5r f\u00f6r sig.\u00ab\n\nRashid s\u00e4ger: \u00bbNi m\u00e5tte ha l\u00e4st historia.\u00ab\n\nHan sitter fortfarande nerb\u00f6jd \u00f6ver tallriken.\n\n\u00bbHan s\u00e4ger att det d\u00e4r var ett p\u00e5st\u00e5ende som omfattar tusen \u00e5rs blodspillan.\u00ab\n\nBrita h\u00f6jer kameran, d\u00e4r hon sitter p\u00e5 drygt fyra meters avst\u00e5nd fr\u00e5n m\u00e4nnen.\n\n\u00bbJag vill fr\u00e5ga honom en sak. Sen ska jag h\u00e5lla tyst och g\u00f6ra mitt jobb.\u00ab\n\nHon hade Rashid i s\u00f6karen.\n\n\u00bbJag s\u00e5g att pojkarna utanf\u00f6r hade en bild av er p\u00e5 tr\u00f6jan. Hur kommer det sig? Vad uppn\u00e5r man med det?\u00ab\n\nRashid dricker och torkar sig om munnen. Men det \u00e4r tolken som svarar.\n\n\u00bbVad man uppn\u00e5r med det? Det ger dem en f\u00f6rest\u00e4llning som de kan acceptera och underkasta sig. De d\u00e4r barnen beh\u00f6ver en identitet som inneh\u00e5ller n\u00e5t mer \u00e4n vilka de \u00e4r och var de kommer ifr\u00e5n. N\u00e5got som \u00e4r helt skilt fr\u00e5n deras f\u00f6r\u00e4ldrars och farf\u00f6r\u00e4ldrars vanm\u00e4ktiga bortgl\u00f6mda liv.\u00ab\n\nHon tar en bild av Rashid.\n\n\u00bbPojkarna p\u00e5 skolg\u00e5rden\u00ab, s\u00e4ger hon. \u00bbVad f\u00e5r de l\u00e4ra sig?\u00ab\n\n\u00bbVi l\u00e4r dem identitet, m\u00e5lmedvetenhet. De \u00e4r alla Abu Rashids barn. Alla m\u00e4n en man. Varje milisgrupp i Beirut dras med v\u00e4rdel\u00f6sa pojkar som knarkar och super och stj\u00e4l. Biltjuvar. S\u00e5 fort granatelden upph\u00f6r springer de ut och stj\u00e4l bildelar. Vi l\u00e4r v\u00e5ra barn att de \u00e4r en del av n\u00e5got starkt och sj\u00e4lvst\u00e4ndigt. De \u00e4r inget p\u00e5fund fr\u00e5n Europa. De t\u00e4vlar inte om att f\u00e5 komma till Gud. Vi tr\u00e4nar dem inte f\u00f6r paradiset. Inga martyrer h\u00e4r inte. Bilden av Rashid \u00e4r deras identitet.\u00ab\n\nHon sl\u00e4cker cigaretten, flyttar fram stolen och kn\u00e4pper snabbare nu.\n\nRashid \u00e4ter en persika.\n\nHan tittar in i kameran och s\u00e4ger: \u00bbVad s\u00e4ger ni, tycker ni att jag \u00e4r en galning som bor i den h\u00e4r satans slummen och talar till dessa m\u00e4nniskor om v\u00e4rldsrevolution?\u00ab\n\n\u00bbNi \u00e4r inte den f\u00f6rste som b\u00f6rjade p\u00e5 det viset.\u00ab\n\n\u00bbJust det. Det \u00e4r precis s\u00e5 det \u00e4r.\u00ab\n\nHan verkar uppriktigt n\u00f6jd, st\u00e4rkt i sin uppgift.\n\nEn pojke kommer in med post och tidningar. Brita blir f\u00f6rv\u00e5nad n\u00e4r hon ser breven. Hon trodde all postg\u00e5ng upph\u00f6rde vid stadsgr\u00e4nsen. Pojken har en l\u00e5ng huva p\u00e5 sig, ett ljust tygstycke med h\u00e5l f\u00f6r \u00f6gonen och med h\u00f6rn upptill som faller fram. Han st\u00e5r kvar vid d\u00f6rren och tittar p\u00e5 n\u00e4r Brita arbetar. Hon trodde att begreppet postg\u00e5ng h\u00e4r var ett minne blott.\n\n\u00bbOkej, en fr\u00e5ga till\u00ab, s\u00e4ger hon. \u00bbVad \u00e4r det f\u00f6r mening med huvan?\u00ab\n\nHon v\u00e4nder p\u00e5 stolen s\u00e5 hon kan s\u00e4tta sig grensle \u00f6ver den, v\u00e4nd mot m\u00e4nnen, och s\u00e4tta armb\u00e5garna mot ryggst\u00f6det medan hon tar bilder.\n\nTolken s\u00e4ger: \u00bbPojkar som arbetar i Abu Rashids n\u00e4rhet har varken ansikte eller tunga. Deras utseenden \u00e4r identiska. De \u00e4r hans utseende. De beh\u00f6ver inte sina egna ansikten eller r\u00f6ster. De \u00f6verl\u00e4mnar detta till n\u00e5got stort och m\u00e4ktigt.\u00ab\n\n\u00bbJa allts\u00e5 personligen bryr jag mig inte om vad ni g\u00f6r. Men de d\u00e4r pojkarna har vapenutbildning. De ing\u00e5r i en aktiv milis om jag har fattat saken r\u00e4tt. Jag har h\u00f6rt att mord p\u00e5 utl\u00e4ndska diplomater har sp\u00e5rats till den h\u00e4r gruppen.\u00ab\n\nRashid s\u00e4ger: \u00bbKvinnor b\u00e4r barn, m\u00e4n b\u00e4r vapen. Vapen \u00e4r mannens sk\u00f6nhet.\u00ab\n\n\u00bbTa bort deras ansikten och r\u00f6ster, ge dem skjutvapen och bomber. Och fungerar det tycker ni?\u00ab s\u00e4ger hon.\n\nRashid viftar med handen. \u00bbKom inte med era problem till Beirut.\u00ab\n\nHon laddar snabbt om.\n\n\u00bbHan s\u00e4ger att brutaliteten redan har drabbat oss. Naturkraften sprider sig obehindrat genom Beirut. Brutaliteten \u00e4r synlig p\u00e5 varenda gata. Den har kommit fram i ljuset, s\u00e4ger han, och den m\u00e5ste f\u00e5 lov att fullborda sig sj\u00e4lv. Den kan inte ifr\u00e5gas\u00e4ttas, s\u00e5 den m\u00e5ste p\u00e5skyndas.\u00ab\n\nHon lyssnar p\u00e5 tolken och fotograferar Rashid.\n\n\u00bbNi gapar\u00ab, s\u00e4ger hon.\n\nHan dricker och torkar munnen med en servett.\n\nHan s\u00e4ger: \u00bbPojken som st\u00e5r d\u00e4r \u00e4r min son. Rashid. Jag har tur som vid min \u00e5lder har en son som \u00e4r s\u00e5 ung, som kan l\u00e4ra sig. Jag kallar mig sj\u00e4lv Rashids far. Jag hade tv\u00e5 \u00e4ldre s\u00f6ner som \u00e4r d\u00f6da nu. Jag hade en hustru som jag \u00e4lskade och henne m\u00f6rdade falangisterna. Jag ser p\u00e5 honom och ser allt som inte kunde ske. Men h\u00e4r \u00e4r det. Nationen b\u00f6rjar h\u00e4r. S\u00e4g om ni tycker att jag \u00e4r galen. Var alldeles uppriktig.\u00ab\n\nHon flyttar stolen till matbordet, v\u00e4ger lite p\u00e5 den, b\u00f6jer sig fram och s\u00e4tter armb\u00e5garna p\u00e5 bordet medan hon kn\u00e4pper.\n\n\u00bbHur var det med gisslan?\u00ab s\u00e4ger hon. \u00bbF\u00f6r ett \u00e5r sen ungef\u00e4r. Var det inte tal om en man som h\u00f6lls f\u00e5ngen?\u00ab\n\nRashid tittar in i kameran. Han s\u00e4ger: \u00bbJag ska tala om f\u00f6r er varf\u00f6r vi s\u00e4tter v\u00e4sterl\u00e4nningar i l\u00e5sta rum. D\u00e5 slipper vi se dem. De p\u00e5minner oss om hur vi f\u00f6rs\u00f6kte efterlikna v\u00e4st. Hur vi f\u00f6rst\u00e4llde oss, lade oss till med den hemska polityren. Som ni nu ser har spruckit \u00f6verallt.\u00ab\n\n\u00bbHan s\u00e4ger att s\u00e5 l\u00e4nge det finns en v\u00e4sterl\u00e4ndsk n\u00e4rvaro \u00e4r den ett hot mot sj\u00e4lvrespekten, mot identiteten.\u00ab\n\n\u00bbOch ni svarar med terror.\u00ab\n\n\u00bbHan s\u00e4ger att terror \u00e4r v\u00e5rt medel f\u00f6r att ge v\u00e5rt folk sin plats i v\u00e4rlden. Det som f\u00f6rr kunde \u00e5stadkommas genom arbete uppn\u00e5r vi genom terror. Terrorn g\u00f6r den nya framtiden m\u00f6jlig. Alla m\u00e4nniskor en m\u00e4nniska. M\u00e4nniskan lever i historien som aldrig f\u00f6rr. Han s\u00e4ger att vi g\u00f6r historia och \u00e4ndrar den minut f\u00f6r minut. Historia \u00e4r inte boken eller det m\u00e4nskliga minnet. Vi skapar historia p\u00e5 morgonen och \u00e4ndrar den efter lunch.\u00ab\n\nHon laddar om och kn\u00e4pper.\n\n\u00bbVad h\u00e4nde med gisslan?\u00ab\n\nHon v\u00e4ntar med tummen p\u00e5 utl\u00f6saren. Hon s\u00e4nker kameran och tittar p\u00e5 tolken.\n\nHan s\u00e4ger: \u00bbVi har inget st\u00f6d fr\u00e5n utl\u00e4ndska intressen. Ibland g\u00f6r vi aff\u00e4rer p\u00e5 det gamla s\u00e4ttet. Man s\u00e4ljer en sak, man byter en annan. Det \u00e4r j\u00e4mt n\u00e5n deal p\u00e5 g\u00e5ng. Med dem som sitter gisslan ocks\u00e5. De \u00e4r som knark, som vapen, som smycken, som en Rolex eller BMW. Vi s\u00e5lde honom till fundamentalisterna.\u00ab\n\nBrita t\u00e4nker efter.\n\n\u00bbOch de h\u00e5ller honom fortfarande\u00ab, s\u00e4ger hon.\n\n\u00bbDe g\u00f6r det de g\u00f6r.\u00ab\n\nRashid lyfter glaset och dricker. Hon ser att hans h\u00f6gra hand skakar. Hon h\u00e5ller upp kameran och b\u00f6rjar kn\u00e4ppa igen.\n\nHan st\u00e4ller ner glaset och tittar in i kameran.\n\nHan s\u00e4ger: \u00bbMao trodde p\u00e5 omskolningens kraft. Det \u00e4r m\u00f6jligt att skapa historia genom att f\u00f6r\u00e4ndra grunddragen i ett folks karakt\u00e4r. N\u00e4r ins\u00e5g han det? Var det n\u00e4r han stod p\u00e5 h\u00f6jden av sin makt? Eller i b\u00f6rjan, n\u00e4r han var gerillaledare f\u00f6r en liten arm\u00e9 av l\u00f6sdrivare och utst\u00f6tta, som h\u00f6ll sig g\u00f6md i bergen? Ni m\u00e5ste s\u00e4ga om ni tycker att jag \u00e4r helt fr\u00e5n vettet.\u00ab\n\nHon b\u00f6jer sig fram \u00f6ver bordet och tar en bild av honom.\n\nHan s\u00e4ger: \u00bbMao menade att den v\u00e4pnade kampen \u00e4r det m\u00e4nskliga medvetandets st\u00f6rsta och mest slutliga handling. Det \u00e4r det slutliga dramat och det slutliga provet. Och om m\u00e5nga tusen d\u00f6r i kampen? Mao sa att d\u00f6den kan vara l\u00e4tt som en fj\u00e4der eller tung som ett berg. D\u00f6 f\u00f6r folket och f\u00f6r landet och din d\u00f6d blir stark och v\u00e4ldig. D\u00f6 p\u00e5 f\u00f6rtryckarnas sida, d\u00f6 i tj\u00e4nst hos utsugarna och bedragarna, d\u00f6 egoistisk och f\u00e5f\u00e4ng och du kommer att sv\u00e4va bort som den allra minsta f\u00e5gelns fj\u00e4der.\u00ab\n\nHon b\u00f6rjar n\u00e4rma sig slutet p\u00e5 rullen.\n\nHan tittar in i kameran och s\u00e4ger: \u00bbVar alldeles uppriktig nu. Jag vill h\u00f6ra er s\u00e4ga det, s\u00e5 jag \u00e4ntligen f\u00e5r veta. Man lever i den h\u00e4r skiten och stanken. Talar till ungarna h\u00e4r varje dag, hela tiden, om och om igen. Men jag tror p\u00e5 vartenda ord. Detta rum \u00e4r den nya nationens f\u00f6rsta minut. S\u00e4g nu vad ni tror.\u00ab\n\nTolken dricker och torkar sig om munnen med en servett.\n\n\u00bbDet han s\u00e4ger \u00e4r mycket enkelt. Det finns en l\u00e4ngtan efter Mao som kommer att dra hela v\u00e4rlden med sig.\u00ab\n\nV\u00e4lformulerat j\u00e4vla machosnack. Men hon s\u00e4ger ingenting f\u00f6r vad ska hon s\u00e4ga. Hon k\u00f6r igenom rullen och l\u00e4mnar en sista ruta kvar. Av ren impuls g\u00e5r hon bort till pojken och tar av honom huvan. Drar den av honom och sl\u00e4pper den p\u00e5 golvet. Drar inte ens s\u00e4rskilt varsamt i den. Hon ler hela tiden. Och g\u00e5r tv\u00e5 steg tillbaka och tar en bild p\u00e5 honom.\n\nHon g\u00f6r det f\u00f6r att det k\u00e4nns viktigt.\n\nDet tar en sekund innan pojken reagerar. Han ger henne en blick av l\u00e5ngsamt och intelligent f\u00f6rakt. Han vill att hon ska se varje muskel som r\u00f6r sig i ansiktet p\u00e5 honom. Han \u00e4r mycket m\u00f6rk, han har portr\u00e4ttet av sin far fastn\u00e5lat p\u00e5 tr\u00f6jan, och hans blick \u00e4r n\u00e4stan mordisk, det \u00e4r enda ordet, men ocks\u00e5 lugn och fullt medveten. Han k\u00e4nner henne. Han vill att hon ska tro att hon \u00e4r en person han har t\u00e4nkt p\u00e5 och best\u00e4mt sig f\u00f6r att hata. H\u00e5ret \u00e4r tovigt och svettigt av huvan och han hatar henne inte f\u00f6r att hon har f\u00f6r\u00f6dmjukat honom utan f\u00f6r att han vet vem hon \u00e4r, det syns att han njuter av att veta, en v\u00e5ldsam blick som visar hur hat och vrede l\u00e4ker sj\u00e4len.\n\nHon ser beslutet i hans \u00f6gon, den lilla glimten n\u00e4r man sl\u00e4pper efter, och han g\u00e5r till angrepp. Hon skyddar kameran genom att v\u00e4nda ena axeln mot pojken, och hon t\u00e4nker det tar bara n\u00e5gra sekunder innan tolken kommer och g\u00e5r emellan. Pojken sl\u00e5r henne h\u00e5rt p\u00e5 \u00f6verarmen och str\u00e4cker sig efter kameran och hon knuffar till med armb\u00e5gen men missar och sl\u00e5r honom sedan i ansiktet.\n\nDet blir tyst medan alla begrundar det intr\u00e4ffade. De ser det igen. Brita k\u00e4nner att det dunkar i br\u00f6stet, att det h\u00e4nder igen.\n\nHon v\u00e4ntar sig att pojken ska titta p\u00e5 sin far och s\u00f6ka en f\u00f6rklaring. Men han stirrar oavv\u00e4nt p\u00e5 henne med f\u00f6rnyat f\u00f6rakt, ny eftergift \u00e5t sitt hat, och hon ser att han g\u00f6r sig beredd att ge sig p\u00e5 henne igen.\n\nAbu Rashid s\u00e4ger n\u00e5got. Det blir \u00e5ter tyst. Tolken upprepar ordern och d\u00e5 tar pojken upp huvan och g\u00e5r ut d\u00e4rifr\u00e5n.\n\nBrita tar tid p\u00e5 sig n\u00e4r hon packar kamerav\u00e4skan. Hon h\u00f6r pojkarna ute p\u00e5 skolg\u00e5rden rabbla en l\u00e4xa i k\u00f6r. Hon k\u00e4nner sig fr\u00e5nvarande, n\u00e4stan utomkroppslig, n\u00e4r hon g\u00e5r fram till Rashid och skakar hand med honom, uttalar sitt namn l\u00e5ngsamt, direkt presenterar sig.\n\nEn trappa ner st\u00e5r v\u00e4gvisaren med det halva \u00f6rat och trycker sin vattenflaska mot br\u00f6stet.\n\nBrita bor i \u00f6stra Beirut i en l\u00e4genhet som tillh\u00f6r bekantas bekanta. Hotellen \u00e4r raserade eller plundrade eller ockuperade av heml\u00f6sa och l\u00e4genheten har st\u00e5tt tom i \u00f6ver ett \u00e5r, s\u00e5 h\u00e4r \u00e4r hon, ute p\u00e5 balkongen igen. Det \u00e4r sent och hon har \u00e4tit och tagit ett bad och l\u00e4st en tidningsartikel om Beirut f\u00f6r vad ska man annars l\u00e4sa eller t\u00e4nka eller tala om p\u00e5 ett s\u00e5dant h\u00e4r st\u00e4lle. Hon har inget st\u00f6rre behov av s\u00f6mn. Det skulle \u00e4nd\u00e5 inte vara s\u00e4rskilt l\u00e4tt att sova. Hela natten h\u00f6rs st\u00e4ndiga utbrott av kulspruteeld och m\u00e5nga dova d\u00e5n i \u00f6stra grannskapet som l\u00e5ter som ekande berg. Och en enstaka salva avfyrad d\u00e5 och d\u00e5, en misstr\u00f6stande sj\u00e4l eller en knarkuppg\u00f6relse som g\u00e5tt snett, och hon tycker inte om att ligga i s\u00e4ngen n\u00e4r det finns skyttar i n\u00e4rheten. \u00c4ven i den tillf\u00e4lliga tystnaden m\u00e4rker hon att hon lyssnar forskande och oroligt v\u00e4ntar p\u00e5 att det korta smattret ska s\u00e4tta i g\u00e5ng igen. D\u00e4rf\u00f6r g\u00e5r hon ut en g\u00e5ng till, halvkl\u00e4dd, eftersom hon vill st\u00e5 mitt i det och k\u00e4nna stadens krut\u00e5ngor mot huden.\n\nHon ser ljusstrimmor skjuta upp fr\u00e5n kusten och beskriva l\u00e5nga tunna b\u00e5gar \u00f6ver taksilhuetterna och ner genom moln av svart r\u00f6k som v\u00e4ller fram \u00f6ver den tunga himlen. En svart bil k\u00f6r f\u00f6rbi nedanf\u00f6r och en lockig pojke sticker ut genom soltaket if\u00f6rd lysande joggingoverall och han har en tv\u00e5 meter l\u00e5ng raketdriven granatkastare p\u00e5 axeln. Han \u00e4r Levantens Falloskung, \u00e5tminstone just nu. En radio st\u00e5r p\u00e5 med lyssnarr\u00f6ster som ringer och pratar, flera radioapparater uppst\u00e4llda p\u00e5 balkonger, m\u00e4nniskor som talar om Beirut eftersom det inte finns n\u00e5got annat.\n\nHon vill st\u00e5 mitt i det. Det sluter sig om henne likt en datoriserad mur av stegrade sinnesintryck.\n\nHon g\u00e5r in och hittar en flaska Midori melonlik\u00f6r. Hon tror knappt det \u00e4r sant att det finns i verkligheten. Hon har sett reklam f\u00f6r det p\u00e5 flygplatser och i kongresshallar, v\u00e4rldens passager, men aldrig trott att det var mer \u00e4n en \u00e5tb\u00f6rd, en affisch som flyger \u00f6ver himlen i fl\u00f6dande ljus. Och nu hittar hon en riktig flaska med slisket i n\u00e5gons \u00f6vergivna l\u00e4genhet. Var annars? Alla \u00e4r ingenstans. Hon h\u00e4ller upp lite i ett glas och tar det med sig ut p\u00e5 balkongen. Sirener tjuter l\u00e5ngt borta. Husv\u00e4ggen tv\u00e4rs \u00f6ver gatan \u00e4r \u00f6vers\u00e5llad med klotter, tjocka avlagringar av namn och datum och slagord, och hon ser i det svaga ljuset att Ali 21 har hittat hit till den kristna sektorn. Han \u00e4r h\u00e4r p\u00e5 franska och engelska, nyligen och slarvigt uppsprejad.\n\nAli 21 mot V\u00e4rlden.\n\nEn silverflamma seglar som hastigast \u00f6ver gatorna, gl\u00f6dande flagor som singlar i v\u00e4g. Radior\u00f6ster ringer och pratar runt omkring. Beirut, Beirut. De tr\u00e4nger sig p\u00e5 henne, pressar p\u00e5 med bedr\u00f6vad kraft. Folk som ropar fr\u00e5n k\u00e4llarskyddsrum, ansikten i skugga, kl\u00e4der som m\u00f6rknar av kraftig svett, sovande barn som ligger med sina krigsleksaker i famnen. Alla som sitter gisslan, be f\u00f6r dem som \u00e4r instuvade i garderober och p\u00e5 toaletter. Alla sm\u00e5 nyf\u00f6dda, be f\u00f6r dem som ligger i sina slitna h\u00e4ngmattor. Alla flyktingar, be f\u00f6r deras d\u00f6da och v\u00e4nta p\u00e5 att granatelden ebbar ut. Kriget \u00e4r s\u00e5 j\u00e4vla enkelt. Det \u00e4r m\u00e5nd\u00e5ren i oss som dr\u00f6mmer om \u00f6delagt land. Hon h\u00f6r r\u00f6sterna ljuda \u00f6ver den utj\u00e4mnade staden. V\u00e5rt enda spr\u00e5k \u00e4r Beirut.\n\nHon dricker av den skummande gr\u00f6na lik\u00f6ren och g\u00e5r in f\u00f6r att sova lite. Hon m\u00e5ste vara uppe f\u00f6re sju och klar att \u00e5ka.\n\nEn timme senare \u00e4r det n\u00e5got som v\u00e4cker henne. Hon s\u00e4ger \u00e5t sig sj\u00e4lv att vara p\u00e5 sin vakt och g\u00e5r ut p\u00e5 balkongen igen. Klockan \u00e4r snart fyra p\u00e5 morgonen och hon f\u00f6rnimmer n\u00e4rvaron av n\u00e5got tungt, n\u00e5got som knastrar i marken. Hon b\u00f6jer sig \u00f6ver r\u00e4cket och ser en stridsvagn komma tuffande runt h\u00f6rnet in p\u00e5 hennes gropiga gata. Guppande upprest kanon. Hon k\u00e4nner adrenalindunket men st\u00e5r kvar och v\u00e4ntar. Hon tror att det \u00e4r en gammal sovjetisk T-34, en bucklig och skitig gammal pj\u00e4s, s\u00e5ld och stulen minst ett par dussin g\u00e5nger, under st\u00e4ndiga byten av sida och system och religion. De enda tecknen \u00e4r klotter, \u00e5ratal av utspritsad f\u00e4rg. Stridsvagnen rullar fram\u00e5t p\u00e5 gatan och hon h\u00f6r r\u00f6ster, ser m\u00e4nniskor g\u00e5 bakom den. Civila som pratar och skrattar och \u00e4r v\u00e4lkl\u00e4dda, tjugo vuxna och h\u00e4lften s\u00e5 m\u00e5nga barn, mest flickor i s\u00f6ta kl\u00e4nningar och vita kn\u00e4strumpor och lackskor. Och detta \u00e4r det h\u00e4pnadsv\u00e4ckande, som det tar en stund f\u00f6r henne att fatta, att det \u00e4r ett br\u00f6llopsf\u00f6lje som drar f\u00f6rbi. Bruden och brudgummen b\u00e4r champagneglas och n\u00e5gra flickor h\u00e5ller i tomtebloss som sprutar ut skurar av yra ljusst\u00e4nk. En g\u00e4st i pastellf\u00e4rgad smoking blossar p\u00e5 en l\u00e5ng cigarr och tar n\u00e5gra danssteg runt ett granath\u00e5l till barnens f\u00f6rtjusning. Brudens kl\u00e4nning \u00e4r vacker, med spetsapplikationer p\u00e5 livet, och hon ser overkligt levande ut, de har alla en \u00f6verjordisk utstr\u00e5lning, de verkar obegr\u00e4nsade och inte det minsta f\u00f6rv\u00e5nade \u00f6ver att vara h\u00e4r. De f\u00e5r det att framst\u00e5 som fullt naturligt att ett br\u00f6llop kan f\u00f6rh\u00f6ja glansen med en legostridsvagn som eskort. Tomtebloss som sprakar. Andra barn som b\u00e4r rosor bundna i ormbunksblad. Brita griper h\u00e5rt om r\u00e4cket. Hon vill dansa eller skratta eller hoppa ut fr\u00e5n balkongen. Det f\u00f6refaller fullt m\u00f6jligt att hon skulle landa mjukt bland dem och g\u00e5 med i pyjamasjacka och trosor hela v\u00e4gen till himlen. Stridsvagnen rullar f\u00f6rbi rakt nedanf\u00f6r henne, kanontornet \u00e4r \u00f6vert\u00e4ckt med snuskiga teckningar, och hon skyndar in och h\u00e4ller upp ett glas melonlik\u00f6r och springer ut f\u00f6r att sk\u00e5la med de nygifta, hon ropar \u00bbBonne chance\u00ab och \u00bbBonheur\u00ab och \u00bbGood luck\u00ab och \u00bbSal\u00e1m\u00ab och \u00bbSk\u00e5l\u00ab till dem och tornet b\u00f6rjar snurra och kanonen glider l\u00e5ngsamt runt som ett slipprigt smekm\u00e5nadssk\u00e4mt och alla skrattar. Brudgummen h\u00f6jer sitt glas mot den halvkl\u00e4dda utl\u00e4nningen p\u00e5 \u00f6versta balkongen och sedan f\u00f6rsvinner de bort i natten, f\u00f6ljda av en jeep med ett granatgev\u00e4r uppmonterat d\u00e4r bak.\n\nDet gick f\u00f6r fort. Hon st\u00e5r kvar d\u00e4r ute och lyssnar till det sista lilla rasslet fr\u00e5n deras bortd\u00f6ende r\u00f6ster. Det \u00e4r fortfarande m\u00f6rkt och hon fryser lite i den r\u00f6kiga luften. Staden ligger tyst f\u00f6r f\u00f6rsta g\u00e5ngen sedan hon kom. Hon unders\u00f6ker tystnaden. Hon tittar ut \u00f6ver taken, mot v\u00e4ster. Det kommer en blixt d\u00e4r ute i m\u00f6rkret, inte l\u00e5ngt fr\u00e5n en st\u00f6rre v\u00e4gsp\u00e4rr. Sedan \u00e4nnu en p\u00e5 samma st\u00e4lle, flera, starka och vita. Hon v\u00e4ntar p\u00e5 motblixten, svarselden, men alla explosioner kommer fr\u00e5n samma h\u00e5ll och det h\u00f6rs ingenting. Vad kunde det vara om det inte var inledningen till dagens f\u00f6rsta strider? Bara en sak f\u00f6rst\u00e5s. N\u00e5gon st\u00e5r d\u00e4r n\u00e5gonstans med en kamera och en blixt. Brita st\u00e5r kvar p\u00e5 balkongen ett tag till och iakttar magnesiumpulsen som ger en bild p\u00e5 en filmremsa. Hon l\u00e4gger armarna i kors \u00f6ver br\u00f6stet mot kylan och r\u00e4knar de obevekliga ljuskrevaderna. Den stilla staden fotograferad \u00e4nnu en g\u00e5ng.\n\nModernista\n\nISBN _e-bok_ 978-91-7645-038-3  \nISBN _tryckt utg\u00e5va_ 978-91-7645-027-7  \n\u00a9 Don DeLillo, 2016  \n_Originaltitel:_ \u00bbMao II\u00ab, 1991  \n_\u00d6vers\u00e4ttning:_ \u00a9 Rebecca Alsberg, 1992 \/2016  \nF\u00f6rst utgiven p\u00e5 svenska under titeln \u00bbDen stora  \nmassans ensamhet\u00ab. Till denna nya utg\u00e5va har  \nRebecca Alsberg reviderat sin \u00f6vers\u00e4ttning.  \n_Omslagsbilder:_ Andy Warhol, \u00bbMao\u00ab, 1972,  \nscreentryck p\u00e5 vitt papper, 36\" \u00d7 36\"  \n\u00a9 2016 The Andy Warhol Foundation for the Visual  \nArts, Inc.\/Artists Rights Society (ARS), New York  \n_Formgivning:_ Lars Sundh  \n_E-boksproduktion:_ Suntec, 2016\n\n_Bli medlem hos Modernista f\u00f6r  \nerbjudanden, rabatter & nyheter p\u00e5:_  \nwww.modernista.se\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"# Cover\n\nALSO BY LUCILLE H. CAMPEY\n\nPlanters, Paupers, and Pioneers:\n\nEnglish Settlers in Atlantic Canada (2010)\n\nAn Unstoppable Force:\n\nThe Scottish Exodus to Canada (2008)\n\nWith Axe and Bible:\n\nThe Scottish Pioneers of New Brunswick, 1784\u20131874 (2007)\n\n\"A Very Fine Class of Immigrants\":\n\nPrince Edward Island's Scottish Pioneers, 1770\u20131850 (2007)\n\nLes \u00c9cossais:\n\nThe Scottish Pioneers of Lower Canada, 1763\u20131855 (2006)\n\nThe Scottish Pioneers of Upper Canada, 1784\u20131855:\n\nGlengarry and Beyond (2005)\n\nAfter the Hector:\n\nThe Scottish Pioneers of Nova Scotia and Cape Breton, 1773\u20131852 (2004)\n\nThe Silver Chief:\n\nLord Selkirk and the Scottish Pioneers of\n\nBelfast, Baldoon and Red River (2003)\n\n\"Fast Sailing and Copper-Bottomed\":\n\nAberdeen Sailing Ships and the Emigrant Scots\n\nThey Carried to Canada, 1774\u20131855 (2002)\n\nLucille Campey also has two websites:\n\nwww.englishtocanada.com\n\nfor her books on English emigration to Canada\n\nwww.scotstocanada.com\n\nfor her books on Scottish emigration to Canada\nT H E E N G L I S H I N C A N A D A\n\nSeeking a Better Future\n\nThe English Pioneers of  \nOntario and Quebec\n\nLucille H. Campey\n\n# Dedication\n\nTo Geoff\n\n# Contents\n\n  * List of Maps\n  * List of Tables\n  * Acknowledgements\n  * Preface\n  * Abbreviations\n  * Chapter 1 Canada's Appeal to the English\n  * Chapter 2 The Loyalist Immigrants\n  * Chapter 3 South and West of Montreal\n  * Chapter 4 The Eastern Townships\n  * Chapter 5 The Ottawa Valley\n  * Chapter 6 West Along Lake Ontario\n  * Chapter 7 The Lake Erie and Thames Valley Settlements\n  * Chapter 8 The Rest of the Western Peninsula\n  * Chapter 9 Later Emigration from England\n  * Chapter 10 The Sea Crossing\n  * Chapter 11 The English in Ontario and Quebec\n  * Appendix I: Emigrant Ship Crossings from England to Quebec, 1817\u201364\n  * Notes\n  * Bibliography\n  * About the Author\n\n# List of Maps\n\n#\n\n1. Reference Map of England\n\n2. Reference Map of Upper and Lower Canada\n\n3. Loyalist Placements along the Richelieu River, 1775\u201385\n\n4. Loyalists in Upper Canada\n\n5. Loyalists in the Gasp\u00e9 Peninsula\n\n6. Yorkshire Origins of the Lacolle Settlers\n\n7. English Settlers in the Ch\u00e2teauguay and Richelieu Valleys\n\n8. English Settlers in Vaudreuil\n\n9. English Concentrations in the Eastern Townships\n\n10. Parish-Assisted Emigration from Norfolk and Suffolk to Lower Canada, 1835\u201337\n\n11. English Concentrations in Argenteuil County, Lower Canada\n\n12. English Concentrations in the Ottawa Valley\n\n13. English Concentrations in Northumberland, Peterborough, Durham, Victoria, Ontario, York, Simcoe, Peel, and Halton Counties\n\n14. English Concentrations in Middlesex, Elgin, Oxford, and Brant Counties\n\n15. English Concentrations in Essex and Kent Counties\n\n16. Principal Township Locations of the Petworth Settlers in Upper Canada, Based on Emigrant Letter Addresses, 1832\u201337\n\n17. English Concentrations in Wellington, Waterloo, Perth, Huron, Bruce, and Grey Counties\n\n18. Reference Map of Northern Ontario\n\nNote: All maps are \u00a9 Geoff Campey, 2012\n\n# List of Tables\n\n#\n\n1. Paupers from Heacham Parish in Norfolk Who Sailed May 1836 in the Penelope from King's Lynn\n\n2. Paupers from Kettlestone Parish in Norfolk Who Sailed June 1836 in the Eliza Liddle from King's Lynn to Port St. Francis in the Eastern Townships\n\n3. An Account of the First Settlement of Hull Township, 1820\n\n4. Payments Made to Poor People from Alston Parish (Cumberland) Who Are to Emigrate to Upper Canada in\n\n5. Emigrant Departures from English Ports to Quebec by Region, 1820\u201359\n\n6. Paupers Assisted to Emigrate from Stockbury Parish (Kent) to Upper Canada in 1837\n\n7. Paupers from Heytesbury and Knook Parishes in Wiltshire Who Sailed March 1831 in the Euphrosyne from Bridgwater\n\n8. Paupers from Brinkworth Parish in Wiltshire Who Sailed from London to Quebec in July 1842 in the Eliza\n\n9. Paupers from Brinkworth Parish in Wiltshire Who Sailed from London to Quebec in May 1843 in the Toronto\n\n10. Paupers from Brinkworth Parish in Wiltshire Who Sailed from London to Quebec in May 1847 in the Lloyd\n\n11. Paupers from Brinkworth Parish in Wiltshire Who Sailed from London to Quebec in June1852 in the Leonard Dobbin\n\n12. Destitute Chelsea Pensioners Who Had Settled in Medonte Township in Simcoe County by 1833\n\n13. Receipts for Downton Emigrant Accommodation and Food\/Drink While Staying at the Quebec Hotel, Portsmouth, May 19\u201324, 1835\n\n14. Passenger List for the Crossing of the King William in April 1836 from London to Quebec with 279 Paupers from Wiltshire\n\n15. Emigration Expenses Funded by East Drayton Parish in Nottinghamshire in 1846 on Behalf of the Hempstall Family\n\n16. Partial Passenger List for the Crossing of the Caroline in May 1832 from London to Quebec\n\n17. Working Men's National Emigration Association: List of People from London Who Went Mainly to Lennoxville in the Eastern Townships, 1870\n\n18. Cotton Workers from Bolton in Lancashire Who Were Assisted to Emigrate to Ontario and Quebec, 1912\u201327\n\n19. British Immigrant and Other Arrivals at the Port of Quebec, 1829\u201355\n\n20. Selected Regular Traders: Passengers Carried and Ship Quality\n\n21. Emigrant Ships Which Carried Paupers: Passengers Carried and Where From\n\n# Acknowledgements\n\nI AM INDEBTED to a great many people. First, I wish to thank the Foundation for Canadian Studies in the United Kingdom for their grant, which I put toward my research and travel costs.\n\nI am grateful for the many kindnesses of archivists on both sides of the Atlantic. In particular, I wish to thank Jody Robinson at the Eastern Townships Resource Centre in Lennoxville, Mary Bond at Library and Archives Canada in Ottawa, and Marc St-Jacques and Frederic Laniel at Archives Nationales du Qu\u00e9bec. I received much help from a great many English record offices. My special thanks goes to Helen Orme of the Centre for Kent Studies, James Collett-White and Trevor Cunnick at the Bedfordshire Record Office, Steve Hardy and Guenever Pachent at the Suffolk Record Office in Ipswich, Steven Hobbs at the Wiltshire History Centre, Heather Dulson at the Shropshire Archives, David Bowcock and Helen Cunningham at the Cumbria Archive Service, Bruce Jackson at the Lancashire Record Office, Crispin Powell at the Northamptonshire Record Office, and Rebecca Jackson at the Staffordshire Record Office.\n\nI am thankful to the many people who helped me to locate and obtain illustrations. In particular, I especially wish to thank Dominic R. Labb\u00e9 in McMasterville, Quebec, for providing me with some of his splendid photographs of Anglican and Methodist churches in southwestern Quebec and the Eastern Townships. In a similar vein, my thanks go to Marcus Owen, Rector's Warden of St. James' Church in Hudson, Quebec, for supplying me with a photograph of that church. I also thank Lisa Coombes of the Plymouth City Museum and Art Gallery, Dr. John Stedman of the Portsmouth Museum and Records Service, Adrian Green, director of the Salisbury and South Wiltshire Museum, Rob Waddington of Lincolnshire Archives, Peter Collings of the Somerset Heritage Centre in Taunton, and Catherine Wakeling, archivist to the United Society for the Propagation of the Gospel, for their invaluable help locating sources. I am also indebted to Alan Walker of the Special Collections Department at the Toronto Reference Library and Erin Strouth of Archives of Ontario for dealing with my requests for help.\n\nI am greatly indebted to my editor, Allison Hirst, for her meticulous and thorough checking of the manuscript. I also thank my dear friend Jean Lucas who has proofread the text. Her support and sharp eye for detail have kept me on the straight and narrow, and I am extremely grateful to her.\n\nFinally, my greatest thanks go to my husband, Geoff. He is my rock and guiding light and without him none of my books would have seen the light of day. I am grateful for his love and support and for believing in me. We are, of course, a team. He produces the tables, maps, and appendices, locates the illustrations, helps with the research, and deals with all the technical aspects of the book's production. This book is dedicated to him with all my love.\n\n# Preface\n\nSEEKING A BETTER FUTURE, the second of three books in the English in Canada series, tells the story of the English pioneers who settled in Ontario and Quebec. Starting with the early colonizers who began arriving in 1817, it goes on to describe the massive influx that took place after Confederation, when thousands of English immigrants came to live in Canada, particularly in the towns and cities.\n\nAlong with the French, the English are regarded as one of Canada's two \"founding peoples,\" but they are not seen as a recognizable ethnic group. They assimilated themselves into a country that had adopted their language and values. Showing a curious disinterest in their national identity, the English were happy to fade into the background. This helps to explain why they have escaped the notice of contemporary observers and later historians. This book aims to redress this past neglect, by concentrating on the important role that they played in the settlement and economic development of Ontario and Quebec.\n\nEmigration was driven partly by major economic changes taking place in England and partly by the lure of distinct opportunities and benefits that people hoped to obtain in their chosen destinations. Ontario and Quebec each had a different set of advantages, and the emigrant streams from England worked to a different timescale. Why did the English choose to settle where they did? Did they carry a sense of Englishness with them, and how was this revealed? What was their overall impact? These are some of the questions that I have attempted to answer in this book.\n\nThe English fall into two categories. The majority came as immigrants directly from England, but there were also Loyalists, having English ancestry, who entered Ontario and Quebec in the late eighteenth century via the United States. They were independent-minded Yankees in every way, and their family links were with the United States rather than England. And yet, they and their descendents regarded themselves as English, even though their ethnic links were very distant. Their presence contributed to the large English concentrations in the southern half of the Eastern Townships of Quebec and along the north shore of Lake Ontario, although both regions also acquired considerable numbers of immigrants directly from England.\n\nDetails of over two thousand emigrant ship crossings from English ports to Quebec have been gathered together in Appendix I. Analysis of the data reveals the great geographical spread of the emigrant stream as well as distinct regional patterns that changed over time. Emigration began in the 1820s as a North of England phenomenon, but gradually drew people from north and south more equally. While most English emigrants were able to finance their own travel and other costs, a significant number were very poor. The English scattered to many parts of Ontario and Quebec and left an important legacy behind, which until now has been largely ignored. This book tells their story.\n\n# Abbreviations\n\nANQ Archives Nationales du Qu\u00e9bec\n\nBRO Bedfordshire Record Office\n\nCARO Cambridgeshire Record Office\n\nCKS Centre for Kentish Studies\n\nCRO Cornwall Record Office\n\nCAS Cumbria Archive Service\n\nDCB Dictionary of Canadian Biography\n\nDERO Derbyshire Record Office\n\nDRO Devon Record Office\n\nETRC Eastern Townships Resource Centre\n\nERO Essex Record Office\n\nHRO Hertfordshire Record Office\n\nHCA Hull City Archives\n\nLARO Lancashire Record Office (Preston)\n\nLAC Library and Archives Canada\n\nLRO Lincolnshire Record Office\n\nLCA Liverpool City Archives\n\nNAB National Archives of Britain, Kew\n\nNAS National Archives of Scotland\n\nNRO Norfolk Record Office\n\nNORO Northamptonshire Record Office\n\nNTRO Nottinghamshire Record Office\n\nOA Ontario Archives\n\nRHL Oxford University, Rhodes House Library\n\nRIC Royal Institution of Cornwall\n\nSHRO Shropshire Record Office\n\nSOAS University of London, School of Oriental and African Studies\n\nSORO Somerset Record Office\n\nSTRO Staffordshire County Record Office\n\nSROI Suffolk Record Office (Ipswich)\n\nSROL Suffolk Record Office (Lowestoft)\n\nUHA University of Hull Archives\n\nWRO Warwickshire Record Office\n\nWYAS West Yorkshire Archive Service\n\nWHC Wiltshire Record Office\n\n# Chapter 1\n\nCanada's Appeal to the English\n\n> The tide of emigration has set in from various parts of the country, chiefly towards our British American Settlements. During some weeks past the Thames in particular has presented a busy scene from the number of vessels almost daily departing with emigrants, amongst whom were several respectable persons, small tradesmen in London, who have disposed of their business, and farmers from the counties near the metropolis with their families.[1]\n\nTHIS ANNOUNCEMENT IN the Gentleman's Magazine of the ships that were lining up in London to take emigrants to Quebec in 1832 was one of the very rare occasions when English emigration was actually reported to the outside world. Special prominence was given to \"respectable persons,\" especially tradesmen and farmers, but the labourers, servants, industrial workers, and other people of modest means who formed the majority of those departing were ignored. English emigrants received little attention and they generally slipped away completely unnoticed to many different parts of the world. No one seemed interested to know who they were, why they were leaving, where they were going to settle, or how they fared once they were relocated. Initially, most of these emigrants had chosen the United States, but by the second half of the nineteenth century they increasingly looked to Canada for their future. By the 1830s, their impact on Lower and Upper Canada's development had been huge, and yet their story remains largely untold.\n\nThe English influx to the Canadas began shortly after the end of the Napoleonic Wars in 1815, when Britain had been plunged into a deep economic and agricultural depression. By emigrating, people hoped to better their economic prospects. They were especially attracted by the chance of owning land and someday establishing a farm. Although it was not just the poor who emigrated, they were the ones who had the most to gain initially. The shortage of labour in the Canadas worked to their advantage, and they could command much higher wages than in England. And there were other advantages. The New World had no masters and no pecking order. Immigrants could be free-thinking individuals, seeking what was best for their families, rather than being subject to the dictates of landlords, bureaucrats, and factory owners, as was the case in Britain. Thus, by emigrating, people could gain materially, while enjoying the freedom and benefits of a more egalitarian society.\n\nThere were other spurs to emigration. Following the Napoleonic Wars and the War of 1812, large numbers of discharged British soldiers faced bleak economic prospects in Britain. Those who had served in North America had seen the land of plenty for themselves and some were tempted to return, as Robert Downes, a British Army officer, observed in 1817:\n\n> The country along the southern shore of the St. Lawrence is romantic to the highest pitch of beauty. The land is cleared from about a \u00bd mile from the shore all along studded with farm houses all of which being whitewashed have a very picturesque effect. The \u00cesle de Orl\u00e9ans is a perfect garden. We saw roses growing in profusion... the inhabitants provide all their own wants, spin and make their own clothes, grind their own corn with stones, and we ceased to wonder at so many of our discharged soldiers wishing to return and settle in a place where want seemed to be unknown.[2]\n\nIn fact, some English ex-soldiers were already forming a settlement in the western stretches of the Eastern Townships in Lower Canada by this time, although their numbers were relatively small.\n\nAt the other end of the social spectrum were the sons of the wealthy, whose sense of romantic adventure also prompted an interest in emigration. Lord Talbot,[3] Lord Lieutenant of Staffordshire, was advised by the Colonial Office in 1835 that Canada was a better choice than Australia for his son, since the latter had \"a convict taint\" that would \"never be eradicated for years to come.\" He was further advised that a \"numerous\" family had the best chance of success, \"for the emigrant's life is one of hardship and banishment and some years must elapse before he can establish himself to tolerable comfort.\"[4] Hardly the good life, but it was a fair assessment of the hard slog that lay ahead for his lordship's son.\n\nThe sudden change in a family's wealth and status, as was the case with the Langton family who emigrated to the Peterborough area of Upper Canada in the 1830s, was another emigration trigger. This desire for a fresh start after a personal tragedy probably explains the relatively high number of men and women who emigrated soon after losing spouses. Typically they were like Dinah Bishop, a Sussex-born widow, who emigrated in 1840 to Belleville (Hastings County) with most of her children and their spouses.[5] Similarly, having lost her husband in 1852, Mary Ford moved from her home in Norfolk to Moore Township (Lambton County), presumably going there because she knew someone in the area. Having remarried by 1859, she was then joined by her brother and sister, who also settled in Moore Township, each having taken local spouses.[6]\n\nRather than seeking solace in a new life, there were others who simply wanted to leave their troubles behind. Henry Jessopp, a solicitor from Waltham Abbey in Essex, emigrated to Toronto in 1837 to escape financial ruin due to mounting debts. Establishing a new life for himself, he left his brother back home to fob off his many irate creditors who would never see their money again.[7]\n\nEmigration began as a North of England phenomenon. People from Yorkshire were the first to grasp the opportunities to be had from the Richelieu Valley's timber trade in Lower Canada, with the catalyst being an English seigneur's family links with Yorkshire. A steady stream of farmers and tradesmen, who originated mainly from the East Riding, headed for Lacolle between 1817 and 1830, turning it into a major Yorkshire enclave. Similarly, redundant hand-loom weavers from Cumberland piled into Vaudreuil beginning in the 1820s, as a result of intelligence gathered from a local Anglican missionary who knew the area. Unemployed lead miners from Cumberland and County Durham also headed for the north side of Lake Ontario in Upper Canada (Durham and Victoria counties) during this time, as news spread of its good land and farming potential. For northerners, used to living in remote and sparsely populated areas, the prospect of starting a new life in an isolated wilderness was less daunting than it would have been for their more comfortably off southern counterparts. People in the south needed a lot more persuading and only became seriously interested in emigration once the fertile lands in the western peninsula of Upper Canada became more accessible, which happened during the 1830s. However, growing numbers wanted to emigrate but lacked the means to do so.\n\nWith the arrival of threshing machines in England by the 1830s, agricultural labourers were increasingly being thrown out of work, creating pockets of high unemployment in many rural areas. In fact, the spread of mechanization in both industry and agriculture destroyed many traditional jobs throughout the entire country. Faced with the prospect of either taking low-paying factory jobs in the burgeoning cities and towns or chancing their luck abroad, many chose the latter option. This route appealed to a group of weavers in Bolton (Lancashire), a major textile centre. Having been made redundant by 1826, they pleaded with the Colonial Office to grant them funds to emigrate to Canada \"or any other British settlement,\" but their petition, like others of this nature, was rejected. The view, expressed in the Canadian Courant and Montreal Advertiser, that \"the sickly artisan,\" lacking a farming background, could expect \"to obtain but a bare and miserable existence, even on a farm which has been already brought into cultivation,\" was part of the explanation.[8] However, irrespective of the outcome, the government was adamant \u2014 it would not part with a penny of public money, except in rare circumstances, to fund emigration schemes. They were simply too costly.[9] Yet, all was not lost for the Bolton textile workers, who successfully transferred their skills to the United States, finding employment in the American calico printing trade.[10] In the meantime, as unemployment continued to soar, social tensions increased, causing serious jitters in Whitehall. It soon became obvious that something had to be done.\n\nThe King's Wharf Quebec in the port of Quebec, 1827\u201341. Trade was booming by this time. All exports such as timber, potash, and wheat passed through this harbour, as did thousands of immigrants. Watercolour by Fanny Amelia Bayfield (1814\u201391).  \nCourtesy Library and Archives Canada, C-002671.\n\nA crisis point was reached in the 1830s when farm labourers, led by the fictitious Captain Swing, rioted over the high unemployment rates and severe poverty being experienced in agricultural counties, with Kent, Wiltshire, Sussex, and Norfolk being in the forefront of the disturbances. A debate raged over how public funds might be used to alleviate the situation. This led to the passing of The Poor Law Amendment Act of 1834, one of the most significant pieces of social legislation ever enacted. It allowed English parishes to finance the emigration costs of their poor and, in so doing, released their ratepayers from the ongoing burden of having to support them. Important safeguards were also introduced to ensure that parishes did not simply use the legislation to rid themselves of their infirm and work-shy. Poor Law commissioners in London were to keep a watchful eye on the suitability of those selected for emigration schemes. Able-bodied people, preferably families with lots of sturdy teenagers, were to be given priority. Initially, the majority went to Upper Canada, although a significant number of paupers from Norfolk and Suffolk relocated themselves in the Eastern Townships of Lower Canada.[11]\n\nDespite being well-regulated, parish-assisted emigration schemes attracted controversy and concern. In 1831, Alexander Buchanan, the Quebec immigration agent, was said to have complained to British government officials that some of the emigrants being dispatched by the parishes were \"indolent and ill-provided,\" and feared that if they did badly, few would wish to follow them.[12] He thought their previous dependence on parish relief might have sapped their energy, and advised that Poor Law guardians should stress the need for self-reliance when they were approached by people seeking assistance to emigrate.[13] When Mr. Watts, a farm manager acting for a Kent landowner, realized that Lympne Parish would be helping \"two or three families, not of the best character\" to emigrate, he was delighted, although he \"generally disapproved of sending good labourers out of the country.\"[14] Thus, parishes had a moral dilemma in deciding who should receive help. Should they actively encourage their most suitable people to come forward or did they simply stand back and hope that their troublemakers would apply, as Mr. Watts clearly hoped would happen?\n\nTo add to the confusion, the Duke of Somerset's agent considered that the poor were being given an overly optimistic picture of pioneer life. He thought that the time and effort needed to fell trees had been greatly understated, and feared that people, \"with their usual suspicions,\" would think this a \"deception held out to entice them from their native country.\"[15] The cartoon above, one of a series published at the time in newspapers and magazines pouring scorn on the perceived benefits of emigration, makes the point very nicely.\n\nImmigrants in the bush. \"This is all yours, 20 good acres of tough trees which must be cleared away before you can even grow a single turnip.\"  \nCourtesy the trustees of the 10th Lord Monson and Lincolnshire Archives CRO MONO 30\/4\/6.\n\nAgainst this background, English parishes could hardly coerce their poor and unwanted into moving abroad. However, there was no need for any arm-twisting, since the end-product sold itself. Once letters from early colonizers, extolling the benefits of the Canadas, reached family and friends back in England, fears were allayed, and the rush was on to join them. The perilous sea crossing and the arduous conditions of pioneer life still had to be faced, but people could see the rewards that were within their reach. The prospect of a well-paid job and the opportunity to buy land and own a farm were attainable goals, provided people were willing to work hard.\n\nA year after emigrating in 1832, Edward Bristow, a labourer, and his wife Hannah, wrote to Edward's brother in West Sussex, making these simple points: Upper Canada \"is truly a very prosperous country for labouring people, and neither heat nor cold is not anywise disagreeable, but we have a great deal of snow.\" However, worried that some Sussex people were finding it \"hard to believe the good news of this country,\" they emphasized that \"the good news that ever you heard of by letters, are the truth.... For if any of you mean to come, the sooner you come the better, for the Woolwich] Township [Waterloo County] is good land, and settles so fast that the [ad]joining lots will soon be taken up.... Publish this letter to all that wish to hear.\"[[16]\n\nAlthough large numbers of agricultural labourers with families were assisted by their parishes to emigrate during the 1830s, the majority of English immigrants who came to the Canadas during this and other decades actually financed their own departures. They came from all walks of life and from many parts of England. Yet, unlike the assisted groups, whose every move was well-documented (owing to their reliance on public funds), little is known about them. They slipped away unreported and unnoticed. Fortunately, the areas in England from which they came can be assessed from seaport passenger statistics, while their places of settlement in the Canadas can be deduced from census data, but beyond this, the data is sketchy and fragmentary. Emigrant letters, diaries, family histories, the reports of Anglican and Methodist missionaries, and descriptions left behind by contemporary observers each reveal various aspects of their story, but the overall picture is incomplete.\n\nEmigrants from Yorkshire, Devon, and Cornwall were especially well-represented in the outflow of people from England (Map 1). Yorkshire people had a special affinity with Lower Canada, dating back to the 1820s, and were also much in evidence along the northwest side of Lake Ontario, as were the Cornish, who joined them in substantial numbers starting in the 1840s. People from Devon created a large community for themselves in the Huron Tract, a vast area within southwestern Upper Canada, while several hundred immigrants from Wiltshire and Somerset made their home along Lake Erie. However, most English left as individuals or in small groups and chose their destinations primarily on economic grounds rather than on any desire to settle with other English. They were not clannish and had no wish to keep themselves apart from other ethnic groups.\n\nAlthough the Quebec immigration agent had issued grave warnings that England's poor were likely to fall at the first hurdle, he would be proven wrong. Their letters home not only revealed the advantages of the New World, but also disclosed how well-organized and level-headed they were. English labourers came with a strong work ethic, an unshakeable determination to succeed, and much-valued farming skills. Their letters show how they were often snapped up by farmers more or less the minute they arrived. Some described being approached with job offers while waiting for their luggage to come ashore at Lake Erie. The high wages they could earn quickly became their passport to land ownership. Far from lacking motivation, as Alexander Buchanan had feared, they grasped their opportunities with both hands and planned land clearance operations with military precision. Groups from the same English village often settled together to enable men to share tools and other resources. They coordinated their actions to best suit the group and, in so doing, made rapid progress. They excelled as pioneers.\n\nSettler's house in the forest on the Thames River, near London, 1842. Painting by Henry Francis Ainslie (1803\u20131879).  \nCourtesy Library and Archives Canada, C-000544.\n\nSuccess for any English settler required careful planning and the ability to cope with unending and back-breaking work. This comes across in Joseph Pickering's description of the Northumberland man who had settled in Orford Township (Kent County) sometime before 1830. After six or seven years of hard slog, his dream of owning a farm had finally materialized:\n\n> He suffered considerable privations at first, commencing on his lot at the beginning of winter; he had first to build a house and then work out for provisions for his family. He has since built himself another house and barn, dug a well and a cellar, planted an orchard and cleared 40 or 50 acres of land, and is now comfortably situated and thriving, although having only 30s. or 40s. left on his first arrival.[17]\n\nHowever, this approach did not suit everyone. Edmund Peel, an officer on leave from the British navy with his wife, Lucy, had hoped to establish a farm at Sherbrooke in the Eastern Townships in the 1830s, but they failed and returned home, feeling bitter about their experience. There was nothing wrong with the land they had chosen. They had simply not realized that Lower Canada's wage rates would be so high. The Peels could have employed as many servants and labourers as they wanted in England, where people were paid a pittance, but not so in Lower Canada. The labour costs exceeded their means and, not wishing to do the land clearance work themselves, they had no option but to leave. Thus, there were pitfalls for the unsuspecting and the ill-prepared, but for immigrants with a realistic grasp of what might be achieved, the opportunities were boundless.\n\nImmigrants often experienced great difficulty in acquiring land, mainly because their needs had a low priority. The British government's land policies, such as they were, promoted the interests of the wealthy and did little to assist ordinary colonists. Beginning in the late eighteenth century, the government had granted huge quantities of wilderness land as rewards to favoured individuals.[18] Most recipients sold their land on to speculators, who amassed huge holdings but did little to further colonization. Moreover, people in high office, like Lord Talbot, saw nothing wrong in purchasing land in the Canadas for investment purposes. He was advised in 1835 that \"both the Canadas are very desirable \u2014 but just now Lower Canada is too much agitated.... Upper Canada is a fine opening for anyone with \u00a3400 or \u00a3500 \u2014 with that capital, excellent land may be bought and all that is required of labour and comforts may be secured.\"[19] While people like Lord Talbot had first choice of the best land, ordinary colonists had to make do with what was left, and sometimes this meant that their holdings were inferior and scattered over large distances.\n\nSuch vestiges of old-world patronage were resented by settlers and were totally inconsistent with the egalitarian society that they were seeking to create.[20] These concerns, together with the dreadful consequences of a severe economic depression in 1837, and general social unrest, led to rioting and a full-scale rebellion. Although the 1837\u201338 uprisings in Upper and Lower Canada were quelled through military action, they at least challenged the cozy elitism at the heart of government.[21]\n\nIn future, more would be done to meet the needs of ordinary people. However, these violent skirmishes brought a sudden halt to the influx from Britain and even prompted some English settlers to return home. Having learned from his brother that he intended leaving Upper Canada, Philip Snape called off his own plans to emigrate. His brother feared that if he stayed there much longer \"he will be likely to lose all his money in case Canada should be separated from England, which is very likely from the agitated state which that country is in.\"[22] Mary Chaplin's account of how the rebels had set fire to parts of Toronto and destroyed a mill and houses at Prescott were hardly going to read well in her native Lincolnshire or in any other parts of Britain receiving news of the disturbances.[23] Yet, the effects were temporary, and by 1842, emigrant numbers were on the rise again.\n\nAs the timber trade with Britain soared, and regular and affordable sea crossings became more readily available, the outflow of people from England to the Canadas grew steadily. Emigration was never solely a flight from poverty. In fact, the numbers emigrating rose in parallel with the advance of industrialization throughout Britain. The resulting higher living standards for those in work increased the number of people who could afford the costs of emigrating. While, initially, far more English went to the United States than to the Canadas, arrival numbers at Quebec show that they nonetheless outnumbered the Scots, although they were second to the Irish until the 1860s.[24] After this time, the English influx began to surge ahead, and between 1867 and 1914 they exceeded the combined numbers arriving from both Scotland and Ireland.[25] Yet, Canada did not emerge as the favoured destination of most English people until the 1900s. Before then, Canada had always to fend off competition from the United States to attract them.\n\nHaving lost settlers to the United States in substantial numbers from the second half of the eighteenth century, the English had a long-standing affinity with it. In a booklet written in 1826, Henry Boulton emphasized the similarity of Upper Canada's \"laws, habits, customs and general state of society to England,\" but few English people cared.[26] They wanted the better life that only the American economy could bring. Joseph Pickering, who arrived in the United States from Buckinghamshire between 1824 and 1830, was annoyed by the arrogance and conceit he found in Americans, but could not help \"admire the energy and enterprise they exhibited, and regretted the apathy of the British government with regard to the improvement of this province Upper Canada].\"[[27]\n\nThis view was echoed by Lord Durham[28] in his famous report of 1839 on the rebellions, although he ruffled a few feathers for revealing the stark differences between Canada and the United States. As Lord Durham pointed out, the United States had \"numerous settlements\" with \"good houses\" and \"fine churches... municipal halls of stone or marble, vast array of canals, roads and bridges either completed or under construction,\" while in British America there was \"a widely scattered population, poor and apparently un-enterprising, though hardy and industrious, without towns and markets, almost without roads, living in mean houses, drawing little more than a rude subsistence from ill-cultivated land and seeming incapable of improving their condition.\"[29] Hardly surprising then that the United States was the first choice of most English immigrants at this time. However, the rapid economic growth that followed on the heels of Confederation in 1867, together with government incentives introduced in the early 1900s, greatly increased Canada's appeal, and after 1905 most English people went to Canada.\n\nThe Reverend M. Johnson, one of the Lower Canada Methodist missionaries, circa 1860s. He may have been Moses Johnson, who served at Compton in the Eastern Townships from 1867\u201369.  \nCourtesy Biblioth\u00e8que et Archives Nationales Qu\u00e9bec ANQ P137, S4, 10, P28.\n\nReligion is a recurring theme in the story of English emigration. Methodist and Anglican missionaries did their best to save English souls and, in the process, would have brought considerable comfort to countless people struggling to come to terms with pioneer life. The Methodist preachers, who trudged huge distances speaking of God's love and salvation, had the greatest appeal.[30] They spoke on a personal level to ordinary settlers, avoiding the rigid forms of worship that were the hallmark of Anglicanism.[31] Quaker settlements also formed in Upper Canada, particularly in the Bay of Quinte region at the eastern end of Lake Ontario, in the Niagara District, along Lake Erie, as well as north of Toronto.[32] Despite being the official religion, the Church of England attracted relatively few followers. The Anglican missionaries sent by the London-based Society for the Propagation of the Gospel were remote figures who seemed not to appreciate the hunger among their congregations for uplifting messages and a kindly smile.\n\nSurprisingly, the Anglican Church had some of its greatest successes in the Eastern Townships, particularly in areas that had acquired large numbers of Americans during and after the Loyalist influx of the late eighteenth century. Such places usually had their share of affluent settlers. Seeking the social advantages they believed Anglicanism would bring, they became stalwart supporters of the Church of England. Thus, the Anglican Church essentially became the church of the middle and upper classes, thereby weakening its appeal and influence among the main rural population. Even so, Anglican missionaries took their responsibilities very seriously, especially in Lower Canada. The Reverend E.M.W. Templeman from Derbyshire, who in the early 1900s was based at Bourg Louis about fifty miles to the west of Quebec City, served its \"rising settlement of Irish protestants\" with great fortitude and determination.[33] \"This is a place of magnificent distances with only a few English-speaking people here and there,\" whom he visited once a month \u2014 \"12 miles there and back.\"[34] However, he could not halt the declining numbers. \"Soon the Englishman will become as distinct as the dove in the province of Quebec. Everything is French, I even find myself thinking in French \u2014 let alone having to speak it at every shop and office... the poor old English Church is merely an exotic here.\"[35] The fact was that most of the Reverend Templeman's potential congregation had long since left for either the United States or Ontario.\n\nMeanwhile, growing industrialization throughout Britain helped to stimulate a major movement of people from the countryside to the cities, contributing to the dreadful city slums that came to characterize Victorian England. High unemployment levels raged in urban areas, and once again emigration was invoked as the best way out of the predicament. A great many emigration schemes were launched by philanthropic bodies to assist people from London and other large cities to emigrate to the Canadas. By the 1870s, boatloads of poor and orphaned children were also being sent to work on Canadian farms. While they were being given the chance of a decent livelihood in later life, in the short term they were simply a source of cheap labour. Another scheme, which raised a few eyebrows initially, involved English reformatory school boys. Having been convicted of serious crimes, they had their period of detention reduced on condition that they behaved well in the jobs found for them in the mining districts of Quebec and northern Ontario.\n\nAlong with the distress being felt in English cities, people were experiencing extremely difficult times in rural areas by the late nineteenth century because of a growing economic crisis in agriculture. Once again, emigration came to the rescue in mopping up Britain's surplus farm labour. Schemes organized by agricultural trade unions with government support helped to bring thousands of English farm workers to Ontario and, to a lesser extent, the Eastern Townships. These measures were widely welcomed in the Canadas, since they helped to alleviate a continuing shortage of farm labour. However, despite the high visibility of the poor in this later period, the exodus from England continued to be dominated by self-funded emigrants who came from all sections of society and for a variety of reasons. The free land grants being offered by the Ontario government clearly brought some English to the Algoma District of northern Ontario, where, judging from the 1881 Census, they accounted for a substantial proportion of the population in places like Sault Ste. Marie. A significant number of these were Cornish miners and their families, who had been attracted to the area when the Bruce copper mines were first developed.\n\nAs Ontario and Quebec became more developed, their cities and towns began to attract a growing number of English immigrants, who by the turn of the nineteenth century were themselves mainly urban dwellers. A rising proportion of these were single men and women from the educated middle classes. Toronto, Montreal, and Ottawa had particular appeal, as did Hamilton, Guelph, and London, located in the rapidly expanding industrial belt in southwestern Ontario. Bowmanville, Whitby, and Oshawa, burgeoning towns along Lake Ontario, also acquired many English.\n\nOttawa's rapid growth impressed James Moncrieff Wilson, a Liverpool businessman, when he visited it in 1865. \"It is now the Capital of Canada... the timber shops are getting burned and then stone ones are put up in their place.... Twelve years since there were only twenty five stone houses. Now there are hundreds of them.\"[36]\n\nVisiting Toronto nearly thirty years later, Colonel Francis Fane, a wealthy Lincolnshire farmer, \"was amazed at the beauty of the public buildings, the avenues, open spaces...\" and noted that Toronto \"had increased from 80,000 inhabitants in 1880] to 200,000 inhabitants\" in 1890, a remarkable growth rate.[[37]\n\nA chance collection of letters written by people from the Lancashire town of Clitheroe, who had emigrated to the far corners of the world in the late nineteenth\/early twentieth century, reveals just how much the pattern of emigration had changed by this time. The aspiring pioneer farmer was no more, and people now sought the better living conditions that Canadian towns and cities offered. Alice and Jim Parker, then living in Hudson, near Montreal, summed up the general feeling with the simple admission that their \"heart was still in Clitheroe.\"[38] Although emigration had the prospect of bringing people a better future, the human cost of achieving that outcome was daunting, especially for those who had ventured forth in the early nineteenth century.\n\nThe English excelled as colonizers and were in the forefront of each new frontier. The 1881 Census shows how they had extended their reach to large swathes of southwestern Quebec and most parts of Ontario. They were primarily concentrated in parts of the Eastern Townships, along the northwest side of Lake Ontario, and in southwestern Ontario. Overall, people having English ancestry represented 28 percent of Upper Canada's population by this stage, second only to the Irish, who accounted for 33 percent.[39] By 1991, just under 40 percent of Ontario's population claimed to have some English ancestry.[40] However, what these censuses do not show is the changing pattern of settlement that had taken place in the past, as families had moved with each new opportunity that presented itself.\n\nThe English had been constantly on the move in the Canadas and would later repeat the process in the prairies. Meanwhile, a silent and largely unrecorded success story was about to unfold. The humble labourers, servants, tradesmen, and small farmers who had arrived with little apart from a determination to succeed would suddenly find themselves becoming respectable. This, in itself, was an amazing achievement.\n\n# Chapter 2\n\nThe Loyalist Immigrants\n\n> I was always told by my parents that we were United Empire Loyalists. The money inherited by my grandfather, father and then by me, I was told, came from grants to our United Empire Loyalist ancestor. My family showed an intense loyalty to the Crown. No Hallowell child was ever allowed to sing \"Yankee Doodle\" and it was never heard in this house Hallowell Cottage] until after the United States came into the Great War.[[1]\n\nMILLIE HALLOWELL'S ANCESTORS were among the Loyalist refugees who had fled north following Britain's defeat in the American War of Independence in 1783.[2] Not wishing to live in the new republic being formed out of the old Empire, they and many others like them had sought refuge within what remained of British-held territory in North America. Altogether around forty to fifty thousand Loyalists left their homes for a new life in the future Canada. Their resettlement was carried out at British government expense, both for humanitarian reasons and to bolster British North America's population and defensive capabilities.\n\nThe Hallowells were in the relatively small group of six or seven thousand Loyalists sent to the old province of Quebec, while the overwhelming majority were granted land in the Maritime region.[3] Although most of those who went to Quebec eventually settled farther west in the Upper St. Lawrence region, in what would become Upper Canada, some Loyalists, like Millie's ancestors, settled east of Montreal (Map 2).[4] In doing so, they would contribute to the substantial English population that developed in the southern half of the future Eastern Townships.\n\nLoyal refugees, many with fighting experience, had travelled from New York, Pennsylvania, and New England to Quebec soon after the outbreak of war in 1775. Particularly well-represented were Scottish Highlanders, German Protestants from the Rhineland in southwestern Germany (the so-called Palatines), and to a lesser extent English Quakers.[5] Initially, most were sent to the military camps and garrisons being established at Sorel and Machiche (now Yamachiche) near Trois Rivi\u00e8res and along the strategically important Richelieu River, notably at Chambly, St. Jean, Noyan, Foucault, and St. Armand (Map 3).[6] American soldiers used the river in 1775 to try to capture Montreal and later travelled down the Chaudi\u00e8re River to lay siege to Quebec, but both assaults were thwarted.[7]\n\nLater, the seigneury of Sorel was purchased by the British government to strengthen and expand the military garrison there.[8] Becoming the principal Loyalist settlement, Sorel's population grew rapidly.[9] By 1783, nearly two thousand individuals and families were living in the region and in receipt of government provisions, and a year later Sorel became the first Anglican mission in Quebec.[10] But Sorel's unique role was temporary, and when the war ended a year later, most Loyalists left the area. They were granted land far afield in the vacant wilderness along the Upper St. Lawrence River, just to the west of the French seigneuries.[11] When the old province of Quebec was divided into Upper and Lower Canada in 1791, these holdings would lie in Upper Canada. Thus, most of the original Quebec Loyalists ended up in Upper Canada.\n\nVarious Loyalist units had been formed at the beginning of the war, including the King's Royal Regiment of New York, the Butler's Rangers, the King's Rangers, the King's Loyal Americans, the Queen's Loyal Rangers, and the Royal Highland Emigrants Regiment. The 1st Battalion of the King's Royal Regiment of New York, the largest of the Loyalist units, was granted land in five of the eight townships set aside between present-day Cornwall and Kingston (Map 4).[12] Sir Frederick Haldimand, the Quebec governor, took the judicious step of ensuring that the various ethnic groups within this regiment, such as Roman Catholic and Presbyterian Highlanders, Calvinist and Lutheran Germans, and Anglican English, settled together in the various townships. For instance, the German and English Loyalists were assigned to Osnabruck (Stormont County), Williamsburgh, and Matilda townships (both Dundas County) at the eastern end of the block.[13] However, later census data suggests that these English Loyalists failed to attract many followers, although a substantial English presence did develop just to the west in Augusta Township (Grenville County) and nearby Brockville.[14]\n\nIn addition to the St. Lawrence River block, five other townships were laid out for Loyalists in the Bay of Quinte region to the west of Kingston (Map 4).[15] Given that people with English ancestry were the most significant ethnic group in the region by the time of the 1881 Census, they were probably particularly well-represented in the early Loyalist influx.[16] This is confirmed by the Anglican minister of Marysburgh Township, who, writing in the mid-nineteenth century, described his parishioners as \"mainly descendents of Loyalists,\" who are a \"handsome and intelligent community,\" having \"many farmers who are comparatively wealthy.\" And concentrated in nearby Hillier Township were the descendents of English Quakers who regularly attended the Anglican church.[17] Meanwhile, a third and smaller group of Loyalists went to the west shore of the Niagara River, and still others headed for the southwestern tip of the province (Essex County), across from Detroit, finding homes among the earlier, French-speaking settlers.[18]\n\nEncampment of Loyalists at Johnston, a new settlement on the banks of the St. Lawrence River, June 6, 1784. The principal Loyalist military leader was Sir John Johnson from the Mohawk Valley of New York, who commanded the two battalions of the King's Royal Regiment of New York, the largest provincial corps in Quebec. Watercolour by James Peachey.  \nCourtesy Library and Archives Canada, MIKAN 2833909.\n\nThe Loyalists who streamed into Upper Canada had come as refugees and occupied land, the location of which had been determined by the British government. Their training and experience did not necessarily prepare them for the rigours of pioneer life and, to compound their difficulties, their sites were chosen more for their military value than the fertility of the land. Moreover, delays often occurred in administering land grants. These factors, plus an ongoing desire for a better situation, caused many to seek more favourable locations. Before long, Loyalists extended their territory westward along Lake Ontario from the Bay of Quinte region to York (later Toronto), and later moved farther west from Niagara to the Long Point area in Norfolk County. This activity attracted the attention of the Society for the Propagation of the Gospel, which had established Anglican missionaries at Loyalist strongholds in Kingston, Ernestown (in the Bay of Quinte), and Niagara by around 1790. But few Loyalists were Anglican, so the response was disappointing.[19] However, the Church of England soon learned that, if it was to achieve its desired aim of influencing communities generally, it had to be fairly accommodating in accepting non-Anglicans.\n\nAll the while, Loyalists were being joined by other Americans, who were lured much more by the prospect of free land grants than by any loyalty they might have felt to Britain. By as early as 1799, American colonizers had even penetrated vast swathes of southwestern Upper Canada, being concentrated especially well in York, Wentworth, Lincoln, Welland, Norfolk, and Kent counties.[20] This development was welcomed by the British government, which at the time was loath to see its own people lost to the North American colonies. In any case, the war between Britain and France from 1793 to 1801, and the later Napoleonic Wars that began in 1803 and ended in 1815, made transatlantic travel extremely hazardous and uninviting. As a consequence, much of Upper Canada's population growth before 1815 can be attributed to American immigration. Judging from the fact that the population reached seventy-one thousand in 1806, the influx must have been considerable, involving several thousands of people.[21]\n\nThe Loyalists had the advantage of usually being the first to acquire land in townships that fronted on major lakes and rivers. Arriving from New England in 1796, the Bates family settled in Clarke Township (Durham County) fronting onto Lake Ontario.[22] Similarly, the Connecticut-born Timothy Rogers, who arrived in Pickering Township (Ontario County) some years later, in 1807, with a group of English Quakers, was still able to acquire a \"front township.\"[23] Later arrivals could only look on with envy at these early immigrants. Writing to his father in 1834, Lancashire-born John Langton described how the \"front townships\" on Lake Ontario had long been occupied by \"Yankees and the descendents of Yankee United Empire Loyalists,\" while his land, many miles inland in Fenelon Township (Victoria County), was still being cleared.[24] Sometimes, however, even the descendents of Loyalists had to accept inland sites. For example, Andrew W. Moore, grandson of Jeremiah, a Loyalist who had settled in Pelham (Niagara), was living in Scott Township by 1854 (Ontario County), a site that was well to the north of Lake Ontario.[25]\n\nRoger Conant's settlement in Darlington Township, Durham County. Reproduction by Edward Scrope Shrapnel, 1920. This is yet another example of a Loyalist grant in a \"front township.\" Having acquired a large holding of 1,200 acres near present-day Oshawa, Conant began farming here in 1792.  \nCourtesy Library and Archives Canada, MIKAN 3665449.\n\nThe initial placement of Loyalists in Upper Canada had, to a large extent, been determined by the British government's defence priorities. The St. Lawrence, Lake Ontario, and Niagara regions were all vitally important boundary locations that were vulnerable to attack from the United States. While the Loyalist influx had strengthened Upper Canada defensively and provided its first immigrant communities, the situation in Lower Canada was totally different. Although Loyalists wished to settle there, the authorities were not disposed to allow them to do so. Lower Canada already had a large and long-established French population with its own religion, language, and land tenure system. Its way of life had continued virtually unchanged following the British Conquest in 1763. This was mainly due to the conciliatory policies of early Quebec governors, the first being General James Murray.\n\nBoth Murray and his successor, Sir Guy Carleton, had realized the importance that French Canadians placed on their cultural heritage. In taking this stance they had to withstand the strenuous criticism of newly arrived Anglophone merchants, who wished to have British institutions and customs imposed on the French. The merchants were frustrated by the refusal to call an assembly, since it denied them representative government, and they also disapproved of the French seigneuries, which required people to comply with a near-feudal land system. People could only become tenants, not freeholders. This, the merchants argued, was harmful to the spirit of commercial enterprise that needed to be developed. But the merchants lost the argument and, with the passing of the Quebec Act of 1774, recognizing the right of the French to uphold their culture and seigneurial land tenure, life carried on as usual.[26] Co-operation had been won. When the Americans did attack during the War of Independence, most French Canadians remained neutral. They were staunch supporters of the British side during the War of 1812.[27]\n\nPrayer said in England and Wales commemorating the taking of Quebec on November 29, 1759.  \nCourtesy Somerset County Record Office D\\P\\cad.s\/23.3 .\n\nSo Haldimand did his best to maintain the status quo, and this meant discouraging Loyalists from settling in Quebec; but he could not stop the inevitable. Having become aware of the rich farmland to the east of the Richelieu River, some Loyalists gravitated toward the American border, seeking land between Baie Missisquoi and Lac Memphr\u00e9magog (Map 3).[28] Haldimand argued that the area east of the St. Lawrence, now called the Eastern Townships, should be occupied exclusively by French Canadians, since they regarded it as part of their natural heritage. Moreover, he also saw defensive advantages in having \"the frontier settled with people professing a different religion, speaking a different language and accustomed to different laws from those of our enterprising neighbours of New England.\"[29] So for both political and defensive reasons, all Loyalist petitions for land grants in the Baie Missisquoi region were rejected.\n\nThe Swiss-born Sir Frederick Haldimand was governor of Quebec from 1778 to 1786. He was a military officer who served in the British Army during the Seven Years' War and the American Revolutionary War. This painting is a reproduction made circa 1925 by Lemuel-Francis Abbott and Mabel B. Messer.  \n\u00a9Government of Canada. Reproduced with the permission of the Minister of Public Works and Government Services Canada (2011). Source: Library and Archives Canada \/ Sir Frederick Haldimand collection, C-003221.\n\nNevertheless, despite Haldimand's misgivings, a compromise was reached that enabled Loyalists to settle as tenants in three seigneuries in the region \u2014 Foucault,[30] Noyan, and St. Armand (later in Missisquoi County). This was a surprising outcome given the Loyalist aversion to tenancies. Having become accustomed to the egalitarian ideals of the New World, they desired freeholds. Yet, faced with increasing economic hardship, Loyalists were desperate to find land and took up their abode in the seigneuries.[31]\n\nTheir future soon brightened, however, with the creation of the Lower Canada Assembly in 1791. Facing increasing pressure to open up the region to colonizers, the government began creating new townships around the existing seigneuries, thus providing freehold tenure to Loyalists and the many New Englanders who flocked across the border, as well as to later immigrants.\n\nThis was a major shift in policy.[32] Predictably, Loyalists scattered far and wide. The later concentration of the English in Missisquoi, Brome, Stanstead, and Sherbrooke counties, as revealed in the 1881 Census, might suggest that these were the areas that had attracted English Loyalists (Map 3). Similarly, the dispersal of Loyalists that also took place to the west of the Richelieu River, within Hemmingford and Hinchinbrooke townships (Huntingdon County), might also be linked in part to the arrival of English Loyalists.[33]\n\nAlthough Loyalists were initially unwelcome in much of Quebec, a concerted effort had been made to establish small numbers of them well to the north in the very remote Gasp\u00e9 Peninsula. Its strategic location at the entrance to the St. Lawrence made it a prime defensive site. With this in mind, and having received favourable reports about the Gasp\u00e9's farming and fishing opportunities, Haldimand had arranged for around four hundred Loyalists to be sent to the north side of Baie-des-Chaleurs, along the border between Lower Canada and New Brunswick (Map 5).[34] Most settled in the area between Pointe au Maquereau (Point Mackerel) and Restigouche, with the largest concentrations developing initially in and around Pasp\u00e9biac (near New Carlisle).[35] Some Loyalists joined small, already-established communities at New Richmond and Restigouche, while the Pasp\u00e9biac colonists went on to found another community on the east side of the peninsula, which they called Douglastown.\n\nView of New Carlisle circa 1866, from Thomas Pye, Canadian Scenery: District of Gasp\u00e9 Montr\u00e9al, 1866.  \nCourtesy Toronto Reference Library fo 917.1479.p9\/Gasp\u00e9 Basin pl2.\n\nAlready present along this same stretch of coastline were Acadian communities at Tracadi\u00e8che (now Carleton), Bonaventure, and Pasp\u00e9biac that had been founded some thirty years earlier.[36] Also present were French-speaking Protestants from the Channel Islands of Jersey and Guernsey, who, having arrived shortly after the Acadians in 1764, established fisheries and settlements between New Carlisle and Rivi\u00e8re-au-Renard.[37] Substantial Protestant clusters developed by 1825, especially in New Carlisle, Pasp\u00e9biac, Hope Town, New Richmond, and Restigouche.[38]\n\nAlthough the actual number of people by ethnic group is unknown, it would seem from the visit report of Lord Dalhousie, the governor-in-chief of Canada at the time, that Scots predominated among people having British ancestry.[39] However, their numbers were very much in decline. While French Canadians began moving to the Gasp\u00e9 from the early nineteenth century, few immigrants arrived from Britain.[40] This fact of life was noted by the Reverend George Milne, Anglican minister of New Carlisle and Pasp\u00e9biac. Writing to church authorities in 1854, he noted ruefully how \"the population remains pretty much the same.\" Nevertheless, there were sufficient Protestants to support his two churches and scattered preaching stations, although probably relatively few would have been of English origin.[41]\n\nMeanwhile, Loyalists and their followers from the United States had continued to stream into Upper Canada during the 1790s. Lieutenant-Colonel John Graves Simcoe, the first lieutenant governor, had actively encouraged them to settle, and had been particularly welcoming to Quakers. As a show of good faith, he exempted Quakers from having to bear arms, in recognition of their pacifist convictions.[42] In the end, a good many of them settled among the Loyalists, and were to be found in significant numbers at the eastern end of Lake Ontario in the Bay of Quinte area.\n\nThe policy of encouraging close-knit religious communities such as these to develop made considerable sense, but Simcoe had unrealistic ambitions when it came to his grand design for the province. He fervently believed that all Americans living in Upper Canada could be persuaded to show allegiance to Britain, but this was a vain hope. Americans certainly did not wish to have the feudal constraints of the Old World imposed upon them. A pioneer society, wedded to egalitarian ideals, had little time for the elitist and class-based ways of the mother country. So, while Simcoe could depend to some extent on people's loyalty to Britain, he could not rely on their willingness to accept British social customs and values.\n\nLieutenant-Colonel John Graves Simcoe, lieutenant governor of Upper Canada, 1792\u201399. After his death in 1806, he was buried in the grounds of the family chapel at Wolford in Devon, England. The chapel is being maintained in perpetuity by the Ontario Heritage Foundation as a place of worship.  \nCourtesy Library and Archives Canada, C-008111.\n\nWhile Upper Canada wrestled with its land policy and road-building program, problems of a more serious nature were brewing in Lower Canada. Divisions were steadily growing between the Anglophone merchants, who bitterly attacked all that was French, and the French Canadian population, who felt threatened by their attacks. This tension was noticeable when the English auctioneer Samuel Southby Bridge visited Montreal in 1806. He noted with approval that the minister of the \"English Church\" had referred to the Bishop of Quebec's proclamation in his sermon. It was \"amply calculated to quiet the minds of the deluded, ignorant French] Canadians \u2014 who have been led to suppose by some artful villains among them, that the English government wish to oppress them.\"[[43] Given the tone of his remarks, relations between the two ethnic groups were clearly very fragile. Nevertheless, despite having to endure criticisms and insults from some of their Anglophone neighbours, the French remained loyal when Britain went to war with the United States in 1812.\n\nDefended by only a few regular soldiers, and having a mainly American population, whose loyalty to Britain in some cases was doubtful, Upper Canada must have seemed a particularly easy target to the Americans. There was no hope of further troops being sent by Britain while the conflict with Napoleon continued, and so it was a plum ripe for the picking. But Britain had an efficient, though small army on hand and it also controlled the St. Lawrence River, Great Lakes, and coastal waters. Crucially, it also had the support of French Canada. After war was declared, the Lower Canada Assembly voted funds for the British military and raised a six-thousand-strong militia.[44] This practical expression of loyalty was another decisive factor in the defeat of American forces in 1814. The turning point came with the battles fought in 1813 at Ch\u00e2teauguay, in Lower Canada, and at Crysler's Farm, near present-day Morrisburg, in Upper Canada. A small but well-trained army consisting of British, English Canadian, and French Canadian regulars, as well as local militia repelled the advancing American forces and stopped a concerted attempt by them to cut the St. Lawrence River supply lines between Montreal and Upper Canada. In so doing, they changed the course of the war.[45]\n\nView of Fort George, Niagara, 1812. The American army captured Fort George at Niagara in May 1813, and went on to occupy the entire Niagara Peninsula. Troops on the British side recaptured the fort later that year. Painting by Alfred Sandham (1830\u20131910).  \nCourtesy Library and Archives Canada, C-024292.\n\nThe War of 1812\u20131814 left the people of the Canadas with a clearer sense of their own identity; it also made them more wary of the continuing threat they faced from their republican neighbours. The war had demonstrated the importance of holding fast to the British tie for protection and it also identified the folly of relying mainly on American immigration to increase the population. Both lessons had been learned. There was an obvious need to encourage immigration from Britain, but that was no easy matter. Most eighteenth-century emigration had been directed to the Maritime region, which was closer than the Canadas and therefore less costly to reach. But that was due to change. As the much better land and climate that the Canadas had to offer became more widely known, those British immigrants who could afford the longer journey switched their allegiance, and after 1815 they increasingly headed for Quebec. Harsh economic conditions in Britain stimulated the exodus, and with the greater availability of transatlantic shipping made possible by the growing timber trade, it quickly gathered pace.\n\nInitially, England lost fewer people to British North America than did Scotland or Ireland. The English only left in appreciable numbers after 1830, when the economy once again nose-dived. Before then, although there was considerable poverty in parts of England, emigration seemed too risky. The benefits had yet to be proven. Even when the government took the previously unthinkable step of funding emigration schemes in 1815 and the early 1820s, the English did not come forward, leaving the Scots and Irish to take up the offers of free transport to Upper Canada.[46] However, English people did emigrate at their own expense from 1817, although the numbers to begin with were relatively small. Emigration began as a North of England exodus, especially from Yorkshire. People from the thinly populated and remote regions to be found in the north were probably less troubled by the challenges of facing pioneer life than their counterparts in the south would have been. And to help them along, Yorkshire emigrants had the reassurance of knowing what to expect.\n\nThe Yorkshire emigrants who left for Quebec starting in 1817 were following on the heels of previous generations who had emigrated to the Maritimes. Some nine hundred of them, having emigrated in the 1770s from the North and East Ridings of Yorkshire, had colonized large swathes of the Chignecto Isthmus connecting Nova Scotia with New Brunswick. Some forty-five years later, people from this same part of England were setting out to repeat the process, this time in the St. Lawrence region. No doubt, they had received reports about the fertile land to be had in southwestern Lower Canada. Their chosen site was Lacolle, lying close to the Richelieu River and the boundary with New York.\n\nAs was the case with their predecessors who went to the Maritimes, these Yorkshire emigrants left at a time when the English ruling classes were highly critical of emigration, regarding it as harmful to the nation's economic health and military strength. Major William Smelt, a British Army officer from the East Riding of Yorkshire who had served at Quebec in the War of 1812\u20131814, intended that his disparaging comments to his sisters in Hull would hinder emigration locally:\n\n> I wish I could give you a good description of the country but that is not in my power. It certainly is beautiful but having said that I have said everything as there is not a single thing else to recommend it... every article is immensely dear and there are many things you cannot get in the country; the women are eminently ugly.... I recommend to my friends never to think of coming here.[47]\n\nHowever, such comments probably had the opposite effect! Lower Canada's inability to provide luxury items was not a high priority for the struggling farmers and farm labourers in Yorkshire who were seeking a better life. In any case, most ordinary people made up their own minds on whether to emigrate, and usually did so after taking advice only from friends or family.\n\nOffering good land and being close to markets, Lacolle seemed a particularly good choice for these Yorkshire settlers, but surprisingly it was a seigneury lying within French-dominated Lower Canada. Why had they not chosen one of the newly created townships in Upper Canada, where they could obtain freehold grants and be close to other English-speaking communities? The answer lies in their understanding of pioneer life. These were prudent and well-organized people who knew exactly what they were doing.\n\n# Chapter 3\n\nSouth and West of Montreal\n\n> A number of houses situated on each side of the road that runs along the ridge from the State of New York about 2 \u00bd miles towards Lacolle have obtained the name of Odelltown from Captain Joseph] Odell who was one of the first and most active settlers in this part; he is an American by birth and so are the greatest part of the other inhabitants; but they are now in allegiance to the English government.[[1]\n\nWHEN JOSEPH BOUCHETTE visited Odelltown in 1815, he saw a village lying close to the American border in the Lacolle seigneury that impressed him greatly. With its \"generally good soil and being very well-timbered,\" he predicted that it was about to \"advance in agricultural improvement and become wealthy and flourishing.\" Bouchette returned fifteen years later and marvelled at \"the immense quantities of timber\" being transported along the nearby Richelieu River. Logs were loaded onto \"the numerous rafts, that are continually descending, and upon which many hundreds tons of pot and pearl ashes[2] and large cargoes of flour are brought down every summer.\"[3] Odelltown and the surrounding area were buzzing with activity. By this time, nearly all the people in the area would have been English, most having originated from Yorkshire.\n\nNamed after Joseph Odell, who had come from Poughkeepsie, New York, Odelltown had initially attracted Loyalists, but they had not remained. Arriving with his wife and family in 1788, Odell had settled in the southern end of Lacolle seigneury, but the family later moved to Brome County in the Eastern Townships. Other Americans, such as Frederick Scriver, who arrived in 1790, and John Manning and Isaac Wilson, who came in 1802, similarly moved on, in their case to Hemmingford Township in Huntingdon County.[4] As Americans, they had become accustomed to the freedoms of the New World and simply could not submit to the semi-feudal leaseholds being offered by the Lacolle seigneur. Their undoubted preference was to purchase freeholds, and so they moved to the townships, where they were available. However, the Yorkshire families were extremely content with what they found. Having worked on substantial farms in Yorkshire, which had been handed down from father to son, they were accustomed to renting and thus had little aversion to settling in a seigneury. But why had the Lacolle seigneury been their chosen destination?\n\nYorkshire people had a long history of emigrating to North America, although their colonization efforts had been directed exclusively toward the Atlantic region. Between 1772 and 1775, some nine hundred or so from the North and East Ridings of Yorkshire had relocated to the rich marshlands of the Chignecto Isthmus, linking Nova Scotia and New Brunswick.[5] Their landlords' decision to create large consolidated farms where previously they had been able to rent small holdings, and the continuing rent rises, caused much resentment. And when the immense potential of the fertile land to be had in the Chignecto Isthmus was brought to their attention, they voted with their feet. Their relocation had been encouraged and directed by no less a figure than Michael Franklin, the lieutenant governor of Nova Scotia, who, having fallen into debt, was seeking settlers for his land; but with the outbreak of the American Revolutionary War in 1775, emigration was suddenly halted, only resuming again after 1815 with the end of the Napoleonic Wars.[6] By then, the good land in Franklin's tract and in other parts of the Maritimes had become occupied, and so it was a case of finding new land and a new patron.\n\nThe dire economic depression that followed the Napoleonic Wars made the case for emigrating stronger than ever. News that an English seigneur controlled great tracts of fertile land in the Richelieu Valley was probably conveyed to people in Yorkshire sometime in the 1780s. This was when Napier Christie, the son of the seigneur, married Mary Burton, daughter of an extremely wealthy Yorkshire landowner. The seigneur in question was Gabriel Christie, who, after having served in the Seven Years' War as a general in the British Army, had purchased large quantities of land in Lower Canada twenty years earlier.\n\nHis estate included six timber-rich seigneuries that straddled both sides of the Richelieu River.[7] At the southernmost end, on the west side, was Lacolle, and to the north of it was Del\u00e9ry; on the southeast side was St. Armand, and to the north of it were Noyan, Sabrevois, and Bleury.[8] Mary's father, Ralph Burton, also brought a good deal to the marriage. In addition to being lord of various manors in Yorkshire, he had the added distinction of being the governor of Montreal. Napier even adopted the Burton name on the day he was married. From then on he was to be called Napier Christie Burton \u2014 in recognition, no doubt, of the large quantities of capital and prestige that would now come his way. Following Gabriel's death in 1799, Napier inherited the Lower Canada estate.\n\nUnlike most British owners of seigneuries, who simply used them as a base for country pursuits and their business interests, Gabriel and his son were keen to attract colonizers.[9] Given that the Richelieu River was likely to be used by the Americans in launching future attacks, loyal British settlers had an obvious role as a civilian defence line, and hence were to be encouraged. American forces did, in fact, attack Odelltown in 1812\u201313, but they were beaten back by General De Salaberry and his Canadian militia.[10]\n\nNevertheless, there was an ongoing need to bolster the region's population. Living in Yorkshire were people seeking a good site on which to settle in the Canadas. The perfect match, of a seigneur seeking colonists and colonists seeking good land, produced a steady stream of people from the East Riding, where Napier's father-in-law's estates were located. The actual number who came is uncertain. At the very least, some eighty-one families from the North of England, who originated mainly from the East Riding of Yorkshire and to a lesser extent from the North Riding, have been identified as having emigrated to Lacolle between 1817 and the mid 1830s (Map 6).[11]\n\nThe Richelieu Valley's timber trade was the driving force behind the local economy, but exploiting it fully required entrepreneurs with capital who understood the intricacies of the trade. To attract them, Napier Christie had been obliged to increase their share of any profits by relaxing his seigneurial rights over sawmill and other revenues, which he did in 1815. One person who appears to have had a prominent role in his business enterprises was Robert Hoyle. Having originated from Bacup in Lancashire, he had moved in 1806 to Keeseville on Lake Champlain in New York State, where he established himself as a major timber merchant. Then, sometime during the American War of 1812\u20131814, he moved the short distance north to Lacolle.[12] Settling in the southern end of the Lacolle seigneury, he repeated his success story a second time.\n\nHoyle had probably been headhunted by Napier Christie, although his loyalties to Britain may also have played some part in his decision to move once war had been declared.[13] Hoyle's economic and social status grew rapidly as his timber-trade operations developed, and he also achieved great success as a farmer. He went on to establish carding and fulling mills for processing wool in nearby Huntingdon County and he also built a store opposite \u00cele aux Noix, farther up the Richelieu River. By 1825, he was operating the ferry service across the Richelieu River to Noyan, and five years later was elected to the House of Assembly.[14]\n\nHoyle was on hand as the emigrant stream from Yorkshire gathered pace. As the area's principal storekeeper and timber merchant, Hoyle would have played an important role in managing timber cutting and transport operations. Some of the new arrivals may have sought jobs as full-time lumberers, while others would have acquired land with the intention of supplementing their farming income from seasonal employment in the lumber camps. Hoyle would have taken their timber in return for food, clothing, and equipment from his store. Yet this was no ordinary timber operation.\n\nBecause of its location at the southern end of the Richelieu River, Lacolle effectively had access to both the English and American markets. For the English market, timber was sent northward on floating rafts via the Richelieu and St. Lawrence rivers to Quebec, and from there was loaded into timber ships for transport across the Atlantic. Following the large increases in tariffs that had been levied on Baltic timber during the Napoleonic Wars, this was a highly profitable trade. Canadian timber had a considerable cost advantage and the trade with Britain soared.[15] For the American market, timber could be sent southward from Lacolle to the southern end of Lake Champlain and then along the Hudson River to New York City.[16]\n\nLittle wonder then that Yorkshire people headed for Lacolle. Between 1817 and 1830, Yorkshire lost more people to the Canadas than any other English county. Overall, the exodus was dominated by the North of England. Seventy-five percent of the eighteen thousand or so English people who are known to have sailed for Quebec during this period had left from northern ports and, of these, around a third had sailed from Hull in the East Riding of Yorkshire (Appendix I).[17] Thus, while the zeal to emigrate was particularly strong in the North of England, it was especially pronounced in Yorkshire. In 1819 alone, some nine hundred people sailed from Hull to Quebec.\n\nNew communities soon formed in the Lacolle seigneury, where the Yorkshire presence was particularly pronounced. Beaver Meadows and Roxham, situated along the American border, thrived and quickly attracted Methodist preachers, as did Henrysburg and Burtonville on the northern side of the seigneury (Map 7). In time, Yorkshire settlers would extend their territory westward into Bogton and Hallerton in Hemmingford Township and would later acquire holdings in Ormstown, Russelltown, and Edwardstown in Beauharnois seigneury. This was a major influx.\n\nThe Yorkshire settlers who survived the voyage to Quebec in 1817 were lucky to have escaped with their lives. Their ship, the Trafalgar, had become grounded on its approach through the Bay of Fundy and, after being rescued, some of its 159 passengers disembarked at Saint John, New Brunswick, while the remainder travelled on to Quebec. That same year, another Yorkshire group had sailed to Charlottetown with the prospect of founding new communities in Prince Edward Island.[18] But this was the last time that Yorkshire immigrants sought destinations in the Maritime provinces. Now that the Canadas were in their sights, there was no contest. Although they were more costly and difficult to reach, their land and job prospects were far better. This did not mean that the Canadas were an easier prospect for pioneer settlers. Unlike the Maritimes, which had been attracting British settlers since the seventeenth century, the Canadas were just being opened up to them.\n\nThe Fame's roomy accommodation for passengers wishing to sail from Hull to Quebec is highlighted in this advertisement in the Hull Packet, February 16, 1819. As the volume of shipping between England and Quebec increased, emigrants could simply purchase places in one of the many timber ships that regularly crossed the Atlantic.\n\nInitially, the privations and isolation of pioneer life would be far worse. Andrew Oliver, who had spent time in Montreal, advised would-be immigrants to \"be cautious in using the luxuries of the country and in overstretching yourself at your labours; many have suffered materially for overheating themselves and drinking too freely...\" As a tradesmen he had found employment easily on a wage of 5s. a day. \"I continued nearly 5 years in the country during which period I succeeded very well.\"[19] However, for those who were to face the virgin forests, the challenge was much tougher.\n\nLiverpool timber merchants, unhappy at the loss of passengers who had changed allegiance from the Maritimes and were sailing instead to Quebec, also weighed in with negative reports on the perils facing immigrants who sought \"the distant and unhealthy regions of Upper Canada and the United States.\"[20] Even for someone as wealthy and well-connected as William Bowron, a Yorkshire man from Cotherstone in the North Riding who first viewed his four hundred acres in 1821, Lacolle had the appearance of an unbroken wilderness.[21]\n\nNor was it a simple case of acquiring land in one's preferred location. Mark Elvidge from Kilham in the East Riding only found his land in southern Lacolle after having first settled along the LaTortue River near La Prairie, just to the south of Montreal. He and his three sons came to acquire land in southern Lacolle in 1822, while a member of his family would eventually own a store along the border by the mid-nineteenth century. This slow and complicated process was repeated by others. The English-born Richard Harper only acquired his land at Beaver Meadows after having established himself temporarily near La Prairie at St. Constant. It was the same for William Beswick, who originated from Brompton by Sawdon in the North Riding. After a brief stay at La Prairie, he moved to Stottsville (now St. Valentin). The hand of Henry Edme, Christie Burton's agent, was clearly at work.[22] Being one of the largest landowners in La Prairie by the 1820s, he was well-placed to assist the Yorkshire arrivals in finding holdings until they had assessed where they would purchase their land in Lacolle.\n\nBy 1823, Joseph Keddy, from Pickering in the North Riding, was clearing land on Lacolle's eastern boundary with Hemmingford Township. Having followed his brother George, who had obtained land at Henrysburg two years earlier, Joseph and his family eventually acquired a thousand acres stretching across both Lacolle and Hemmingford.[23] By the second half of the nineteenth century, his oldest son, John, would be running a store in Bogton (Map 7).[24]\n\nWhile material benefits were beginning to accrue for some, there was an increasing yearning in the early 1820s to have the comforting presence of a religious leader. Their Methodist faith had been a vital support mechanism back in England, drawing people together regularly for worship. Once established in Lacolle, it would do the same. It would also provide an important cultural link with Yorkshire. Answering their pleas for help, the British Methodist Missionary Society sent the Yorkshire-born James Booth to them in 1823.[25]\n\nThe Reverend Booth sympathized with the plight of the recently arrived immigrants, who were having to eke out a tough existence in the bush, and deplored the fact that there were \"no priests or places of worship.\" Therefore, he wasted no time in establishing his Lacolle circuit. It encompassed Burtonville to the north, Bogton to the east, and Beaver Meadows and Roxham in the south. And when Edward Braithwaite from Bubwith in the East Riding moved to Henrysburg in 1824, he established a store around which yet another Methodist community would grow.[26] The building of the Odelltown Methodist Church began almost immediately, while the Roxham Methodist Church would be completed in around 1849 and the one at Beavers Meadow by the second half of the nineteenth century.[27]\n\nThe Reverend Booth could soon report how \"a goodly number of persons... have been turned from darkness to light,\" and that he had established ten preaching places. However, a worrying number of people were leaving for Upper Canada and the United States.[28]\n\nThe English exodus increased significantly by the late 1820s. The Montreal Gazette reported how \"emigration is almost daily taking place from the West Riding of Yorkshire,\" and calculated that \"1,300 emigrants must have quitted the shores of their native country at Liverpool during the last month.\"[29] English emigrants even outnumbered the Irish at this stage. The Quebec Gazette observed that about three hundred immigrants had already arrived in the spring of 1828, \"chiefly farmers from Yorkshire.\" Several had been assisted to emigrate by their parishes, and soon after their arrival most found employment near Quebec \"at from \u00a32 to \u00a33.10 a month.\"\n\nPhotograph of the Methodist church at Odelltown, built during the 1820s.  \n\u00a9Dominc R. Labb\u00e9 McMasterville, Quebec. Reproduced with permission.\n\nBut the majority would be heading for Upper Canada.[30] A year later, a Montreal Gazette reporter observed \"a more respectable class of farmers than in former years. Most of them possess considerable property. The majority of them proceed to Upper Canada, to join their friends and relations, and particularly to the Newcastle district where arrangements we are informed have been made for their reception.\"[31] The account given in 1830 gave further details of where the growing number of English immigrants intended to settle:\n\n> We are happy to learn that the great majority of these emigrants intend to remain within the British Provinces \u2014 the settlements which many have chosen are those in the neighborhood of York Ontario County] \u2014 some are for the shores of the Ottawa [River] \u2014 others will \"locate\" themselves along the Chateauguay [River] \u2014 and many are about to take up their residence about Odelltown, and the settlements along the frontier lines.[[32]\n\nBy the 1830s, the Yorkshire influx to Lacolle had dropped to a trickle. Those who did arrive included men like Charles Collings from Cornwall, who were affluent enough to acquire large, already-cleared lots in the middle stretches of Lacolle. He became one of Hallerton's most prominent residents.[33] William Akester, a Beverley tailor and farmer from the East Riding who came in 1827, was another man of substance. He and his family became the leading lights of the Roxham community.\n\nEventually Lacolle's appeal waned as the fertile lands in the western peninsula of Upper Canada were becoming more accessible, and it was also adversely affected by the 1837\u201338 Lower Canada uprising, which tore its communities apart.[34] Widespread discontent over the obvious injustices of colonial rule, coupled with rising economic and political tensions, led many ordinary people to take up arms. Given that much of the organization and leadership of the revolutionary movement was based in Montreal, Lacolle was very much in the firing line. However, the dissent was quickly suppressed. And when the fighting stopped, William Penderlieth Christie, who followed Napier as seigneur in 1835, took his revenge. He expelled those of the French Canadians in his Del\u00e9ry and Bleury seigneuries who were believed to have joined the rebels, and then sought to attract more British settlers, although he failed to do so.\n\nWhen normal times resumed, Lacolle attracted the attention of Montreal's Anglican bishop \u2014 George Jehoshophat Mountain. Under the auspices of the Society for the Propagation of the Gospel (SPG), the Reverend Charles Morice was duly dispatched to Lacolle in 1841 to form a congregation from its farmers, tradesmen, storekeepers, and merchants. Two years later the Saint Saviours Anglican Church duly appeared, and by 1845 its Anglican congregation was reported to have two hundred members, who included many \"settled farmers.\"[35] By around 1860, Hallerton acquired its Saint John the Baptist Anglican Church. But long before this, as the Lacolle seigneury was filling up with settlers, new arrivals were having to look much farther afield for suitable sites on which to live.\n\nHemmingford Township (Huntingdon County), lying just to the west of Lacolle, acquired a scattering of English settlers but had surprisingly little appeal despite being in an area in which freeholds could be purchased. Having been appointed in 1843 by the SPG as the Anglican missionary for both Hemmingford and Sherrington townships, the Reverend Henry Hazard reported that the inhabitants were mainly French Canadian and Irish. They were \"poor settlers\" who survived winters by working in lumber camps and selling firewood.[36] He even had to rely on so-called \"dissenters,\" probably Methodists, to bolster his congregation. English Anglicans were conspicuous by their absence. Oddly enough, they were to be found in much larger numbers in the Beauharnois seigneury, which lay just to the north.\n\nAs was the case with the Lacolle seigneury, Beauharnois offered both good farming opportunities and a booming timber trade, although it required people to rent rather than buy land. But there were compensations. As Robert Sellar, author of the History of the County of Huntingdon, pointed out, cut timber or potash produced in the Ch\u00e2teauguay Valley produced sufficient revenue to tide people over \"until the clearing yielded enough to maintain the settler's family.\"[37]\n\nIn addition to being able to benefit in this way from the timber trade, English immigrants could expect the Beauharnois seigneury to offer them a fairly secure future. The seigneur, Edward Ellice,[38] a London merchant and land speculator, was obliged to build roads and provide a gristmill. Having considerable capital, he also invested generously in various public buildings, such as schools and churches.[39] As a result, rather than face the prospect of floundering in an empty wilderness, his settlers could rely on reasonable living conditions in well-ordered communities.[40] Although these economic considerations may have lured some immigrants to Beauharnois, most would have preferred to have had the added option of becoming landowners. Ellice realized this and sought to have seigneurial tenure abolished, but despite his connections in the higher echelons of government, he failed to win support and it remained in use until 1856.[41]\n\nMost of the Beauharnois English became concentrated at Ormstown and Edwardstown (Map 7). In 1822, a Methodist missionary found that Lowland Scots and the English were the seigneury's dominant ethnic groups.[42] But ten years later, Joseph Bouchette observed that Scots far outnumbered the English.[43] The English ranked third to Lowland Scots and the Irish in Ormstown and second to the Irish in Edwardstown.[44] Robert Sellars later confirmed that Ormstown's settlers \"were, with few exceptions, Lowland Scotch.\"[45] Nevertheless, Ormstown acquired a large Anglican congregation, which, by the mid-nineteenth century, was erecting its second church, \"built of cut stone in the English style\" and \"lighted with lancet windows.\"[46] Costing \u00a31,112, local residents found \u00a3480, while the rest was raised in other parts of Lower Canada and in New York and Boston.[47] In 1855, Edward Ellice granted the congregation land on which an Anglican parsonage was built.[48]\n\nA winter scene in Ch\u00e2teauguay painted by Philip John Bainbrigge circa 1838\u201341.  \nCourtesy Library and Archives Canada, C-011855.\n\nPhotograph of St. James Anglican Church, Ormstown.  \n\u00a9Dominc R. Labb\u00e9 McMasterville, Quebec. Reproduced with permission.\n\nEdwardstown's English settlers were mainly to be found along Norton Creek, a tributary of the English River. One of the earliest known arrivals was John Severs, a butcher from Hull who came in 1820. Obviously succeeding, he used his entrepreneurial skills to open a tavern and store. Several other English families followed, including William Creasor, who appeared with his three sons, \"all stout Yorkshire-men,\" and became a \"prominent settler.\" A school was built in 1818 on land provided by Severs with the stipulation that \"the schoolhouse was to be open for the preaching of the gospel by any Protestant minister.\" This was achieved with services being conducted in turn by Methodist, Presbyterian, and Episcopalian clergymen over many years.[49]\n\nRusseltown, on the Black River, another tributary of the English River, had few English, but, even so, by 1846 it had a substantial Anglican congregation served by a church and ten preaching stations.[50] One of its more prominent inhabitants was Richard Hall, whose family roots were in Northamptonshire. Nancy Hall, a relative, died in 1840 and is buried in the Russeltown cemetery.[51]\n\nSituated much farther to the west in Hinchinbrooke Township (Huntingdon County) were settlers like John Boyd. Having emigrated to Upper Canada from Cumberland in 1818, he appeared in Hinchinbrooke five years later, where he was joined by his brother William and others who had probably also originated from Cumberland. Together they founded the Boyd settlement (Map 7): \"For many years the only mode of access was a track that followed the ridges through to the swamp which was crossed by stepping from log to log.... Except in very dry time even an ox-sled could with difficulty reach the settlement and when the swamps were full everything had to be carried on shoulder. Until the land was ditched, potash-making was the main reliance of the settlers, who with a few exceptions were from the north of Ireland.\"[52]\n\nEvidently, in this part of the Ch\u00e2teauguay Valley the English were very much in the minority.[53] It was a similar situation in Huntingdon village, just a short distance to the north. William Morris, its Anglican minister, grieved over the lamentable number of English who professed to be Anglicans. His congregation was \"scarcely represented by Englishmen.\"[54] The situation was little better for his successor in 1860, who complained that \"the roads were frightful ten weeks each year\" and disliked being surrounded by so many Irish people \u2014 \"both Romanist and Protestant.\"[55]\n\nIn addition to supplying the John Boyd contingent, Cumberland had been experiencing a steady loss of people to the Canadas since 1815. The general economic depression following the Napoleonic Wars was bad enough, but in this important textile-processing area, other changes were afoot. With the introduction of power looms, hand-loom weavers were losing their jobs to machines, leading to widespread redundancies and pitiful wages for those who could find work. In these adverse conditions, many emigrated. Some joined communities that were forming in Prince Edward Island[56] and New Brunswick,[57] but one group who hailed from the Penrith area made a beeline for the Vaudreuil seigneury, lying just west of Montreal. At least sixty families are known to have left Cumberland's Eden Valley to settle there between 1819 and 1837.[58]\n\nVaudreuil's attractiveness to Cumberland people probably owed much to the Reverend Joseph Abbott, a native of Little Strickland (Westmorland County). His place of birth lies close to the market town of Penrith, in the adjacent county of Cumberland. Significantly, nearly all of the English immigrants who streamed into Vaudreuil came from within a ten-mile radius of Penrith.[59] Having been appointed the Anglican minister of St. Andrews (Saint-Andr\u00e9-Est)[60] in the Argenteuil seigneury, the Reverend Abbott made his first appearance in 1818.[61] Being required to tend also to the spiritual needs of the English-speaking inhabitants of Vaudreuil, only a short distance to the east, on the south side of the Ottawa River, he wasted no time in paying them a visit. A keen supporter of emigration, he would have very quickly assessed its potential and probably encouraged people from his homeland to emigrate. The first of the Cumberland immigrants arrived the following year. In some cases, three generations of the same family came, and, according to the Reverend Abbott, many were \"excessively poor.\"[62] His Memoranda of a Settler in Lower Canada; or the Emigrant in North America, published some twenty years later, revealed his enthusiastic support for emigration and emphasized his belief that Canada was superior to the United States as a destination for British immigrants.[63]\n\nCumberland immigrants had a choice of two locations in Vaudreuil. The poorest headed for C\u00f4te St. Charles, which, lying some distance from the Ottawa River, offered cheaper rents (Map 8). The more affluent settled along the Ottawa River in Cavagnal (now Hudson), where they would have rented land from John Augustus Mathison, a retired lieutenant in the British Army. Mathison had purchased Cavagnal, a prime portion of the Vaudreuil seigneury, in 1820, and soon after had adopted the airs and graces of a country squire.[64] Despite having only a modest army income, he was able to build himself a stately mansion overlooking the Ottawa River and fund the building of a school.[65]\n\nArriving in 1819 with his wife and daughter, John Hodgson from Little Salkeld (Cumberland) was the first of the Cumberland settlers to come to C\u00f4te St. Charles, a place that would acquire a reputation for being \"settled mainly by friends from England.\"[66] Favourable letters home ensured a steady flow of families who formed a close-knit community. When Thomas Parsons left Renwick (Cumberland) in 1829, he said that it was with \"the object of joining friends in C\u00f4te St. Charles.\" That same year, someone in Skirwith (Cumberland) asked Joseph Bleckinship, who had just moved to C\u00f4te St. Charles, \"how his neighbours the Hodgson and Bird families are getting on.\"[67] The wives of Robert Hodgson and Joseph Bird were sisters, and they and their husbands and families had arrived within a year of one another. Meanwhile, the more affluent headed for Cavagnal, where they joined American farmers and former employees of the Hudson's Bay Company who had been settling there since 1801.[68]\n\nPhotograph of St. James' Anglican Church, at Cavagnal, built circa 1842. The original place of worship was a log schoolhouse in the village of what is now Hudson.  \nCourtesy of the Anglican Parish of Vaudreuil, Hudson, Quebec.\n\nThe Reverend Abbott observed in 1825 how Cumberland people had been \"comparatively poor as new settlers... yet, strange as it may appear to a dweller in the old country, they are well-off in the [new] world.\" They had little money with which to buy goods but they had more than acquired the essentials of life. The C\u00f4te St. Charles settlers built a schoolhouse in 1825 and employed as a teacher John Benson, who also deputized for the Reverend Abbott by taking on the role of an Anglican pastor. However, most of the settlers were actually Methodists, and would have to wait until 1855 before they had sufficient funds to build their first church.\n\nGiven its location close to Montreal, Vaudreuil experienced widespread conflict during the Lower Canada uprising in 1837\u201338. John Mathison rose to the occasion by organizing a \"refuge in the woods for the women and children\" and also formed a local militia to help defend the area from attack. The rebels were duly disarmed and the then Major Mathison received a fulsome accolade from Bishop Mountain, who stated that Vaudreuil was fortunate \"to have such an officer to head them.\"[69] Soon after this, an Anglican congregation took shape in Cavagnal that, according to the Reverend George Pyke, its first missionary, consisted of around fifty families, who were \"mainly farmers and settled.\"[70]\n\nFew of the English settled in the French-dominated areas of Lower Canada to the south and west of Montreal, preferring to set themselves apart in the vast expanse of the Eastern Townships. There, a land company was on hand to provide an organizational structure. As the Montreal Gazette made clear in 1829, \"the townships of Inverness, Leeds, and the adjoining settlements, on Craig's road were being prepared for the purpose of determining emigrants to proper situations.\"[71] Even the township names had a welcoming ring. The English would come in greater numbers to this part of Lower Canada.\n\n# Chapter 4\n\nThe Eastern Townships\n\n> Nothing particular has happened since George left us. Emigrants keep pouring in, and Sherbrooke is full of them; they make provisions very dear, beef has risen from 3d to 6d, and everything else in proportion. I wish the British American Land] company had taken a fancy to some other country for it is not now the quiet place it was.[[1]\n\nLUCY PEEL, WIFE of Edmund, an officer on leave from the British navy, expressed her regret in June 1836 that her newly acquired home in Sherbrooke, in the Eastern Townships, was not the quiet haven it once was. With the recent opening of the British American Land Company, crowds of immigrants, many from England, were everywhere to be seen. While the immigrants would have felt hopeful about the future that awaited them, Lucy and Edmund were already planning their departure back to England.[2]\n\nHaving arrived in 1833, the Peels had failed to adapt to pioneer life. \"Edmund is, after four years hard labour, convinced that nothing is to be done by farming in Canada; the land here produces too little to pay the labour requisite to cultivate it.\"[3] However, the issue was not poor land productivity, but rather the high cost of labour. Edmund could have employed all the servants he needed in England, where wage rates were low; however, this was not the case in high-wage North America. His and Lucy's unrealistic pursuit of a pampered life in a re-created English estate was bound to fail:\n\n> This is a country where the active and industrious must prosper, the idle starve; there is on every side endless room for improvement and even our small farm would take thousands to make it look anything like an English estate... the worst is, that one man's life is too transient to receive much benefit from his labour, for after all he can only put things in training for those who follow: we sow what another generation will reap.[4]\n\nWhile Lucy and Edmund had been defeated by the challenges they faced, plenty of ordinary immigrants held more realistic aspirations of simply owning land and having a better standard of living \u2014 although such benefits only came to those willing and able to cope with the rigorous demands of the outback.\n\nFew British colonizers ventured into the Eastern Townships until the British American Company was formed in 1834. Before then, this area of Lower Canada, just to the east of Montreal, had attracted Loyalists who began to arrive in the mid-1780s to settle near the American border. They, in turn, were followed by other Americans, who continued to arrive into the next century. Most were New Englanders, almost certainly of English descent. However, small and scattered American communities having distant British ancestry were an insufficient answer to the region's population needs. There was the further concern that their proximity to the United States made the Eastern Townships particularly vulnerable to attack. The region's good farmland, together with its reasonable access to trade outlets in Quebec City, made it a prime candidate for large-scale colonization.\n\nThe Maritime provinces were fast filling up and the longer distance and higher cost involved in reaching Upper Canada did not suit everyone. There was an overwhelming case for attracting settlers directly from Britain, but that was easier said than done. As the Quebec immigration agent made clear to the 1826 Emigration Select Committee, many British people \"dislike Lower Canada, on account of the French language and laws; the peasantry all speak French, and the emigrant is quite lost among them.\"[5]\n\nIn making their way into the vast stretches of the Eastern Townships, most British colonizers relied on the organizational structure that only a land company could provide. The highly focussed promotional strategy of the British American Land Company attracted people from particular regions of Britain, with one of the largest contingents coming from Norfolk and Suffolk in East Anglia. Like the others, they were offered land at attractive rates and were provided with an overall infrastructure that included log houses, roads, churches, and schools.[6] However, with the best will in the world such ventures rarely ran smoothly, particularly in the initial stages. Judging from Leonard Stewart Channell's comments in 1896, which would have been based on actual immigrant accounts, conditions must have been grim at the beginning:\n\n> These early English emigrants came out under the auspices of the British American Land Company, but on finding things so different from what they had been accustomed to and so entirely at variance with their preconceived notions, they got disheartened and left their locations in search of more congenial quarters; but others with more pluck and forethought remained and now the comfortable circumstances of their children attest to their wisdom.[7]\n\nNorfolk and Suffolk people came in their hundreds to the Eastern Townships in the 1830s, creating numerous communities across several townships. But because a great many left the region over the following decades, it is impossible to gauge their numerical impact. And yet, irrespective of the influx directly from England, English concentrations continued to build because of the New England advance, which had begun in the late eighteenth century. This had brought a steady flow of Americans with English ancestry to the area, thus creating large English concentrations in the southernmost townships. The 1881 Census would reveal how the English became the dominant ethnic group in eight of the seventeen townships nearest the American border, and became the largest of the British groups, outnumbering both the Scots and Irish, in a further four townships (Map 9).[8]\n\nSt. Armand, to the east of Baie Missisquoi, had the region's first Anglican mission, which was established in 1799 by the Society for the Propagation of the Gospel (SPG).[9] A large Loyalist population greeted the Reverend Charles Caleb Cotton on his arrival in 1804 \u2014 \"everyone speaking the English tongue,\" although the inhabitants included \"German Loyalists\" who were joined later by \"German emigrants.\" Most of the population had settled within three miles of Baie Missisquoi:\n\n> The people here live very much to themselves and visit but very little. They spin and weave almost all their own clothing, both woollen and linen, besides family articles such as bedding, sheets, stockings... tablecloths; they also tan their own leather, make their own sugar, which I think very inferior, and all this with the daily work of a farm leaves them little or no leisure.... To a person who has resided in England their mode of life appears very parsimonious and uncomfortable.[10]\n\nMoving in 1808 to Dunham, to the north of St. Armand, Cotton boarded at a Dutch farmer's home for short while before acquiring his own log house. Travelling four miles to reach one congregation and ten miles to the other, he conducted services in schoolhouses and private homes. He observed that the people were \"very poor\" and that conditions seemed so bleak that he wondered how long he could remain; however, he was still the Dunham minister in 1845.[11]\n\nPhotograph of Phillipsburg Methodist Church.  \n\u00a9Dominc R. Labb\u00e9 McMasterville, Quebec. Reproduced with permission.\n\nStanbridge, to the west of Dunham, attracted an SPG missionary by the 1820s who presided over two Anglican churches, one at Bedford, the other at Stanford East.[12] Although the Church of England had the largest Protestant congregations, Methodism also had considerable support in the Missisquoi area.[13] The Reverend James Booth, who was based at Philipsburg in St. Armand, had a regular preaching circuit that covered ninety-four miles, taking in St. Armand, Dunham, and Stanbridge townships \u2014 the future Missisquoi County. His followers were \"mainly American brethren\" who endured \"extreme poverty.\"[14]\n\nIt was a similar story for the Stanstead area, east of Lac Memphr\u00e9magog, and the Brome area to the west of the lake, both regions having attracted American settlers from the 1790s (Map 9). Here, too, there were large English concentrations. By 1881, the English would account for 55 percent of the population in the future Stanstead County (Hatley, Stanstead, and Barnston townships) and 41 percent of the population in the future Brome County (Farnham, Brome, Bolton, Sutton, and Potton townships). However, except for Hatley, which later attracted a substantial number of English immigrants, these were mainly the descendants of Americans.\n\nWhen the Reverend Thomas Johnson was sent by the SPG to Hatley in 1819,[15] he found that his mainly American congregation shared a large church with other Protestant denominations.[16] The Reverend John Hick, who began building a Methodist circuit at the same time, was sanguine about sharing \"with all parties... a chapel, capable of accommodating 900 to 1,000 people,\" but bemoaned the insufficiency of lay Methodist preachers.[17]\n\nHowever, by 1845, Hatley's Anglican minister, the Reverend Christopher Jackson, was witnessing a steady loss of people from the area. Its English immigrants were particularly dissatisfied. They had almost certainly been recruited by the British American Land Company, which had purchased land in Stanstead County a decade earlier. But now they and others in Hatley were \"getting disappointed with the severity of the climate and moving to the United States.\" Also, according to Jackson, the English immigrants had been particularly unwise in \"spending their money foolishly and then removing.\"[18]\n\nThe Reverend Thomas Johnson circa 1860. Born in Bampton, Westmorland, he was sent to the Eastern Townships in 1819 by the Society for the Propagation of the Gospel.  \nCourtesy Eastern Townships Resource Centre, P009 Thomas Johnson fonds.\n\nAmericans continued their northward progression into Shefford and other townships north of Brome; the area would have also attracted British immigrants beginning in the 1830s owing to the British American Land Company's purchase of holdings in the future Shefford County. Before then, Methodist Missionary Society clergymen reported how communities struggled simply to survive. The Reverend Thomas Catterick preached in 1822 to the \"small society\" to be found in Granby Shefford, Farnham, Stukley, Bolton, and Brome \u2014 all townships in his circuit. Some 1,400 families had been without a regular minister until he had arrived: \"The people are very poor and widely scattered from each other.\"[19] And Sunday schools were poorly attended, owing \"to the badness of the roads and the inability of parents to provide clothing for their children to enable them to attend.\"[20]\n\nAnglican ministers who were installed in the Shefford area, starting in 1821, faced similar difficulties.[21] When the Reverend David Lindsay came to Frost village in Stukely Township some thirty years later, his report to the SPG mentioned that, until his arrival, the township had not had a single Protestant church: \"Various persuasions have had the rule and passed away.\"\n\nInsufficient funds to build a church meant that Lindsay had to resort to makeshift arrangements and conduct services in the woods, just a few miles from Frost village: \"The roads are so bad, I leave my horse 1\u00bd miles from the place where we assemble and walk as best I can.... A small table serves as a pulpit and desk, planks are placed upon inverted buckets that] serve as seats and the wooden building in which we meet is as yet unfinished.\"[[22]\n\nIt was little better for the Reverend Joseph Scott, who described his parishioners in Brome and Sutton townships as \"infidels,\" having \"no respect for the clerical character, the Church or the Sacraments.\" However, sufficient resources had been raised by 1845 at Sutton to build a stone church, suggesting that some in his congregation, whom he called \"backwoodsmen,\" may have included recent arrivals from England.[23]\n\nThe first significant influx to arrive directly from Britain to the Eastern Townships came in 1815 following Britain's near defeat in the close-fought War of 1812\u20131814. [24] To bolster its North American defence capability, the British government had established a military settlement at Drummondville, on the western end of the St. Francis River, near the St. Lawrence River.[25] Linking the St. Lawrence on the west with Lac Memphr\u00e9magog on the east, this river had prime strategic importance (Map 9). While the main settlers would be ex-soldiers, given free land in return for their wartime services, ordinary civilians were also being enticed to live in such areas. A shipping advertisement for the sailing of the Manique from Hull in 1817 explained how emigrants could obtain land grants at both the Drummondville military settlement and at a second military settlement being established in the Rideau Valley in Upper Canada,[26] both places having \"the great advantage of water carriage for their produce to the capital city of Quebec.\"[27]\n\nAnglican Church of the Good Shepherd in what was once the village of Bondville in Brome Township. The church opened in 1887.24  \nCourtesy Eastern Townships Resource Centre, P135 Henrietta K.W. Milne fonds, Bondville Anglican Church, circa 1890.\n\nAs ever, American colonizers had already moved into the prime sites along the St. Francis River long before this \u2014 doing so by the 1790s. Beginning in 1815, the first British arrivals settled along the river in both Grantham and Wickham townships, but progress was slow. Although former servicemen had the benefit of free land, log cabins, farm implements, and food, they also had to accept the less palatable constraints of living under military rule. Moreover, militarily important sites did not necessarily have good land, and this was certainly the case with Drummondville. Despite these drawbacks, Drummondville had a reasonable stock of houses by 1816, together with a hospital, school, and military barracks.[28] Yet disappointment over the poor quality of the land caused many to leave, and three years later the Drummondville settlement had only 235 residents.[29]\n\nWhen he arrived at Drummondville in 1845, the Anglican minister, the Reverend George Ross, reported how people in his congregation, who were \"ostensibly farmers,\" had been \"drawn off by the tempting wages\" they could get for cutting timber for the British market.[30] To make matters worse, British ex-servicemen, in receipt of land grants, had also left the area:\n\n> They were accustomed from long habit to have their wants and comforts provided for without reference to themselves; it is not difficult to imagine that these early military settlers, when thrown suddenly upon their own endeavours in a scene so new to them and within circumstances so disadvantageous, should very soon have discovered a deficiency in the properties necessary for pioneers of the Forest: self-reliance patience, enduring privations and hardships; and that disappointments, dissatisfaction and discontent should have paralyzed their efforts and driven them in numbers to seek out more favourable townships.... Emigrants from the Mother Country... later take up vacant lots and then again soon become disappointed under the difficulties of first settlements and they leave for more thriving locations in the Eastern Townships.[31]\n\nIt is likely that many of the British ex-soldiers who left ended up in Shipton, Melbourne, and Kingsey townships, areas that later acquired a substantial English presence (Map 9). Once again, it was a case of finding suitable locations that had not already been acquired by Americans.[32] A typical example of the latter was Captain Joseph Perkins, a late Loyalist from New Hampshire who could trace his ancestry back to Berkshire. Having loaded his wife and family and \"what few things they owned\" into an oxen-driven cart, Captain Perkins headed north, following the hardwood ridge through Melbourne Township, where the St. Francis River was crossed. \"When he ran out of feed for his oxen he had to use the straw from the mattresses to keep going.\" Reaching Shipton in 1802, the family \"built a log house in the wilderness,\" and their presumed success probably accounts for the followers from New England who later joined them.[33] It was a similar beginning for Moses Elliott, who arrived two years earlier from New Hampshire with his brother Zekiel, when \"there was not a house from Stanstead to Sherbrooke.\" Settling first near Sherbrooke, Moses later moved north to Melbourne \"and became very prosperous,\" eventually acquiring sawmills, a clothing factory, and a large amount of land.[34] By 1821, American colonizers had been joined by British ex-soldiers.\n\nThanks to details supplied by the Reverend Richard Pope, the indefatigable Methodist missionary who presided over Shipton and Melbourne, the location of at least one group of ex-servicemen can be identified. Included in his preaching circuit was \"a small village, built and inhabited chiefly by the discharged soldiers,\" which was located twenty-five miles downriver from Shipton.[35] However, the discharged soldiers' \"small village\" was different in already having attracted the attention of the Reverend Mr. Wood of the Episcopal church (probably Anglican), who had become \"established amongst them\" by that time.[36] Possibly this small village was the \"very promising little congregation at New London\" that was mentioned by the Anglican missionary, the Reverend Daniel Falloon, in his report to the SPG in 1858.[37] Two years earlier he had actually visited New London, \"celebrating Divine Services in a settler's house... had a good attendance.\"[38]\n\nMelbourne was visited in 1840 by the artist Mary Chaplin. Spending the night at Hardy's Inn, she spoke to the landlady, who had come from Yorkshire. \"She was delighted when I told her my country Lincolnshire]... and said a family of Vasey from Lincolnshire lived six miles off.\"[[39] Reassuring as this was to Mary, she could not help but notice how sparsely populated the region was. Travelling along the St. Francis River through the townships of Grantham, Wickham, and Durham, she had seen \"a few houses scattered,\" but with none \"boasting a village.\" Given that this was one of the vital arteries along which immigrants and others travelled to reach the southern stretches of the Eastern Townships, the region was clearly struggling to build a sizeable population.[40]\n\nA more important route for immigrants was Craig's Road, farther to the north, which linked Quebec City with the northern approach to the townships. The part of the road that traversed Leeds, Ireland, Inverness, and Halifax townships became a conduit for immigrant settlement beginning in the 1820s, the time when land in this region first became available (Map 9). One group of early arrivals along this stretch of Craig's Road was the thirty or so Methodists from Quebec City who relocated to Ireland Township in 1829.[41]\n\nA year later, Alexander Buchanan,[42] the Quebec immigration agent, congratulated himself on \"the great success that has attended the settlements in the townships of Inverness and Leeds, which I began in 1829.\" He was particularly pleased that there had been \"a considerable augmentation, principally the friends of those who came out in 1829 and 1830.\" To encourage even more followers, Buchanan planned to name new settlements being formed after the places \"from whence the majority of emigrants came \u2014 names such as Ulster settlement, Yorkshire, Dublin, New Hamilton, and Wiltshire.\"[43] Perhaps the Leeds and Halifax names were indicative of a substantial influx from Yorkshire \u2014 people like Thomas Nutbrown, from Howden (East Riding of Yorkshire) and his wife Ann Cottam from Thormanby (North Riding), who, having emigrated with their eleven children, had settled in Leeds Township by 1831.[44]\n\nGenerally speaking, the English came in small numbers to the northern stretches of the Eastern Townships and became widely scattered. The Reverend John Flanagan, Leeds' Anglican minister, noted in his report to the SPG in 1845 that it was already \"a settled farming area,\" his only concern being the loss of \"a few families who have moved to the west.\"[45] By 1855, most of Leeds' inhabitants were Irish and Scottish. Of the relatively few who were English, a striking proportion had originated from Cornwall and Yorkshire.[46] Possibly some of the latter were attracted by the mining jobs that became available when the Harvey Hill copper mines opened in 1858. Advance publicity of the new mining activity being planned may have drawn John Rickard, William Hamley, and John Blake and his wife to the area from Cornwall during the 1850s.[47] The opening in 1854 of a new Anglican mission at the neighbouring townships of Inverness and Nelson may also signify a recent influx of English immigrants to the area.[48]\n\nIt was the emergence of the British American Land Company and the financial assistance provided by English parishes that stimulated the really large influx of English settlers during the 1830s. Modelled after the Canada Company, which had been founded eight years earlier to promote the colonization of western Upper Canada, the Lower Canada company actively sought immigrants. Its holdings consisted of 850,000 acres of Crown land stretching across a wide expanse of the Eastern Townships. One section, having 596,000 acres, lay in the St. Francis Tract[49] between Lake Megantic and the St. Francis River, while the second section, containing 251,000 acres, was scattered throughout Shefford, Stanstead, and Sherbrooke counties (Map 9).[50]\n\nLeaflets and posters were produced to attract tradesmen, agricultural labourers, and farmers to the Eastern Townships.[51] Typical of these was the pamphlet written by William Wilson in 1834, which contained correspondence with a friend back home in Ripon (Yorkshire), extolling the benefits of the Sherbrooke area:\n\n> The country between this and the lines American border] is in general better settled; and consequently more fit for European inhabitants than that towards the north. Innumerable farms are here offered at prices within the reach of small capitalists. The mere wreck or scattered fragments of many an English farmer would supply him with a farm, stock and implements all his own, and enable him to look upon his family not with anxious painful doubt but as a certain source of help and comfort.[[52]\n\nAlthough the pamphlet gave the impression of expressing the unbiased observations of a newcomer, it was probably a highly contrived piece of promotional literature that was almost certainly being sponsored by the land company. Facing stiff competition from the Canada Company, the British American Land Company had an uphill struggle to find settlers. With its better climate, job opportunities, and land, most self-funded immigrants understandably preferred Upper Canada. The dominance of French culture was a further deterrent for some English-speaking immigrants. The British American Land Company overcame these hurdles by concentrating its recruiting efforts on those areas of Britain that were experiencing extreme rural poverty. In particular, it targeted those parts of England whose parish councils were willing to assist their poor to emigrate. The company could offer cheaper transport costs because of the shorter distances involved, and it probably provided more generous accommodation and assistance to settlers than did its Canada Company rival. Even so, as was reported in an official investigation undertaken in 1836, many people did not remain, preferring instead to move on to Upper Canada or the United States.[53]\n\nWith the severe destitution being experienced in East Anglia, many parishes seized upon emigration as the solution to be adopted in relieving the plight of their poor. Greater mechanization in threshing corn and in land drainage had destroyed countless labouring jobs. With the soaring unemployment that followed, poor relief payments became an increasing burden for parishes. Legislation, passed in 1834, enabled English parishes struggling with this predicament to raise funds for assisted emigration to the British colonies.[54] One-off payments to give the poor a chance of a better life seemed a sensible way forward, and because they were no longer placing an ongoing demand on public resources, ratepayers had a sharp reduction in their poor rates.[55]\n\nHowever, there were some who argued that emigration was an inhumane solution. The poor were being dispatched to a faraway land simply to lessen the poor rates burden of the rich who wanted rid of them.[56] An 1833 booklet urging \"the working and labouring classes of Suffolk and Norfolk\" not to emigrate offered \"a complete exposure of emigration \u2014 showing the hardships and insults the working and labouring classes have to undergo before reaching their destination and of the scandalous tricks practised upon them by certain interested individuals.\"[57] There was also hostility to the harshness of the new Poor Law regime, which denied wage subsidies to the able-bodied, forcing them to choose between the miseries of a workhouse or the hunt for non-existent jobs.[58] The stark reality was that for those who were unwilling to seek work outside their area \u2014 say, in the factories of the industrialized north \u2014 emigration was the only viable escape from ongoing poverty.\n\nAs emigration fever gripped Norfolk and Suffolk in 1836, protests and riots became more common. The Norfolk Chronicle and Norwich Gazette lamented the loss of \"the bold peasants, who were once England's pride, now driven from her shores by the] hundreds and thousands to seek their bread in a foreign land.\"[[59] The Bury and Norwich Post described the commotion that erupted at the port in Ipswich when poor labourers from Stradbroke, in northeast Suffolk, attempted to board their vessel. A mob tried to stop them from leaving, but most were persuaded by parish officers to return to their ship.[60] Before such expressions of dissent occurred, William Cattermole, agent for the Canada Company, had been seeking to entice local people to emigrate to Upper Canada, but despite his best efforts, he had little success. Only Suffolk people wished to emigrate initially and their first choice was Prince Edward Island.\n\nWhile the island attracted large numbers from northeast Suffolk between 1830 and 1832, the flow of immigrants was halted in the following year as a result of a letter-writing campaign organized by Cattermole that disparaged its climate, land, and employment opportunities.[61] Through his lecture tours, Cattermole rammed home Upper Canada's many advantages, but the British American Land Company's publicity had also been very effective. In July 1836, the Quebec Gazette reported that around 1,400 immigrants had reached Sherbrooke in the Eastern Townships, principally from Norfolk and Suffolk.[62] This can be corroborated by the Poor Law records, which reveal that around 1,025 Norfolk people and 231 Suffolk people were assisted by their parishes to emigrate to Lower Canada between June 1835 and July 1836.[63] The Lower Canada contingent accounted for a third of the total, with the remaining two-thirds having gone mainly to Upper Canada.[64]\n\nThe exodus to Lower Canada occurred from north, central, and south Norfolk and from across the border in north Suffolk, all areas with good river access to Great Yarmouth (Map10). The immigrants mostly sailed from the principal port of Great Yarmouth, but smaller numbers also left from King's Lynn, Ipswich, and Lowestoft.[65] The 178 people who sailed in the Indemnity from Yarmouth left in September \u2014 giving themselves the extra difficulty of coping with an approaching winter on their arrival. In the following year, a further 108 paupers from Norfolk and sixty-three from Suffolk were assisted by their parishes to emigrate to Lower Canada.[66]\n\nThe largest group to reach the Eastern Townships in 1836 was the 250 people who had originated from Banham Parish in the Guiltcross Poor Law Union[67] in south Norfolk.[68] Another sizeable group of 158 people had emigrated six years earlier, but their destination is unknown.[69] They had originated from parishes close to Banham on the Norfolk\/Suffolk border. Later, the Reverend Scott F. Surtees published the favourable letters he received from some of the Banham people who had left in 1836, in the hope of demonstrating the positive benefits of emigration. He told his parishioners how men who had \"worked as labourers alongside of you a few years now have well-stocked farms of their own and write to you about the rates of wages they give their labourers.\"[70] One example was William Howse, who was living on a one-hundred-acre rented farm by 1851 and could afford to pay \u00a33 per month plus room and board to a labourer in his employment.\n\nThe Docking Poor Law Union in north Norfolk also extolled its emigration successes that same year: \"Most gratifying reports have been received,\" and it was felt that \"any number of families may do well by emigration.\"[71] Ingoldesthorpe, a parish in the Docking Union, had people like the Cross family who were unable to provide for themselves. According to the parish officer, \"they will soon become a serious burden to the parish... and] will emigrate in view to better their condition.\"[[72] Also, a small group of twenty-three paupers from Heacham Parish, which included one family with fourteen members, were assisted by both their parish and local landowners to go to Upper Canada (Table 1),[73] while ninety paupers from North Creake and forty-seven from Snettisham were assisted by their respective parishes to emigrate to Lower Canada (Map 10).[74]\n\nMany parishes in the Walsingham Poor Law Union, also in north Norfolk, lost substantial numbers to Lower Canada, with the largest numbers leaving from Great Ryburgh and Kettlestone.[75] Apart from a father and son who paid their own expenses, thirty-eight of the forty people who left Kettlestone were assisted. The group comprised seven labourers, together with their wives and children, a \"soldier's wife\" with her two sons, and two teenage servants.[76] They all might have been inmates of the Walsingham workhouse. Surviving bills suggest that they travelled in reasonable comfort.[77] Seventeen adults and twenty-three children sailed in the Eliza Liddle from King's Lynn in June 1836 to the British American Land Company's landing place at Port St. Francis, having received \u00a3231 from Kettlestone Parish to fund their emigration expenses (Table 2). Fares for their sea crossings cost \u00a3149, with an additional \u00a351 of \"landing money\" being spent on onward travel from the port of Quebec. A total of \u00a311 was spent in transporting the emigrants and their luggage by horse and buggy to King's Lynn. Their food and drink bill came to around \u00a37, the sum including \u00a34.14 s. for teas, 16s. for supper at King's Lynn, 2s. 6d. for \"wine, Goodwyn's wife,\" and 14s. 8d. for various beverages drunk at the Crown Tavern. Meanwhile, fewer people left for Lower Canada from north Suffolk, with the only substantial groups being the ninety-one paupers from Stradbroke Parish and the forty-eight from Redgrave Parish.\n\nArriving in the town of Sherbrooke, some forty miles to the southeast of Port St. Francis, the Norfolk and Suffolk arrivals would have contributed to the hectic scenes that Lucy Peel witnessed in the summer of 1836:\n\n> The roads are now assuming the appearance of those in dear old England, thanks to the Company, which does everything in style, sparing neither labour nor money; they spend a thousand dollars a day in Sherbrooke. The town swarms with emigrants, five hundred more are coming up and buildings are raising their heads in all directions for their accommodation. Mr. Watson has full occupation, he has to visit the sheds twice a day and receives five dollars a day for his trouble; there is I hear to be a Hospital built.[78]\n\nJunction of St. Francis and Magog Rivers (Sherbrooke), from W.H. Bartlett, Canadian Scenery Illustrated, from Drawings by W.H. Bartlett, the Literary Department by N.P. Willis London: George Virtue, 1842. When she visited in 1840, Mary Chaplin noted the wooden houses along the side of a hill and the bridge over the Magog River. But she winced at the sight of the \"horrid saw mill,\" which hid \"the prettiest river scenery.\"[79]  \nCourtesy Library and Archives Canada, e010858662.\n\nSome of the assisted Norfolk and Suffolk immigrants would have acquired nearby company land in Sherbrooke County, but a substantial number made their way to Bury, one of the recently opened townships in the St. Francis Tract, farther to the north (Map 9).[80] Sufficient land would have been available in Bury for them to settle together in distinct communities, and those who settled at what became Brooksbury did particularly well.[81] Josiah Clarke, who arrived in Brooksbury from Suffolk in 1853, was amazed to see the progress that had been made by the early pioneers:\n\n> Here is them that left England seventeen years back and have got cows, oxen and land of their own and a horse to ride on and when in England had not enough to eat and many might be better off than they are if they would work but they are too idle to. A man that will work can live here but a lazy man cannot, as here is no parish to go to.[82]\n\nSeveral Norfolk-born farmers, including Charles Francis and Dennis Tite, who had both emigrated from Banham in 1836, had success stories to tell later on.[83] But in the 1850s, when the Reverend John Kemp, Bury's Anglican minister, observed his congregation, he found them to be \"mostly English pauper emigrants who are as yet comparatively poor.\" Few were able to meet the interest payments on their land or settle the debts they owed to the local storekeepers, and he observed that \"they have hard work to provide for their families.\"[84] Kemp was also highly critical of those who still had \"the souls and minds of poor people\" and failed to make sufficient contributions in support of the Anglican Church.[85] Some were clearly reasonably affluent. And as Kemp also observed, the more libertarian attitudes of the New World were blossoming:\n\n> There is more freedom of intercourse less stiffness and formality \u2014 The very poorest of the people have a sort of independence about them \u2014 not always the most agreeable to a fresh arrival from England. They feel their own importance for it not infrequently happens that a man having a hectare ticket (a sort of promise of sale) has a voice in the elections of all Municipal officers \u2014 and even in returning a minister of the provincial Legislature.[86]\n\nDudswell Township, to the east of Bury, acquired a large number of English inhabitants by the mid-nineteenth century, but they were mainly Americans of English descent. Their Anglican minister, the Reverend Thomas Shaw Chapman, described them as \"the Americans by whom Dudswell was colonized 50 years ago.\"[87] By 1854, Chapman was presiding over a substantial church in Marbleton \u2014 \"a wooden structure of the early English style of architecture... which can seat 225 people.\"\n\nThe English component of the population was also substantial at Eaton and Compton townships, to the southeast of Bury, but here again their Englishness probably derived mainly from an intake of Americans having English roots.[88] Unlike Dudswell, Eaton had little to offer an Anglican minister. Sending his report to the SPG in 1854, the Reverend John Dalziel complained bitterly: \"I cut my own firewood, dig my own garden, for I have no glebe and neither horse nor cow.[89]\n\nDrawing made by the Reverend Thomas Shaw Chapman in 1856 of the village of Marbleton, showing the Anglican church.  \nCourtesy The Bodleian Library, University of Oxford: USPG E Series.\n\nColonization of the Eastern Townships relied heavily on the extensive amount of capital that had been advanced by the British American Land Company. But its high spending was unsustainable, and by 1841 the company was close to bankruptcy. To deal with its massive debts, it was forced to hand over 500,000 acres of the St. Francis Tract to the government.[90] Settlers were then able to obtain fifty-acre portions of the land relinquished by the company as free grants from the government. Thus, immigrants could acquire land as before; however, they did not receive the financial support during their first winter that had been given to their predecessors. Despite the ease of obtaining land, the battle to attract, let alone keep, immigrants continued. In 1841, Quebec immigration agent Alexander Buchanan reported that, although \"most favourable accounts\" had been received from the Eastern Townships extolling job opportunities and good rates of pay, \"it is very few who can be induced to go to that section of the province, their prejudices are so strong against our winter.\"[91]\n\nIn 1835\u201336, when nearly four thousand Norfolk and Suffolk people were assisted to emigrate to the Canadas, just under five thousand people arrived at Quebec from East Anglian ports.[92] This would suggest that 80 percent of the influx that occurred from these two counties during this peak period had been assisted. As stated earlier, around 1,200 of the assisted Norfolk and Suffolk immigrants went initially to Lower Canada, and a high proportion of those who remained almost certainly settled in the Eastern Townships.[93] Because they relied on public funding, their departure was well documented. But little is known about the outflow of people to the Eastern Townships from the rest of England, since they generally paid their way. Self-financed immigrants left virtually unnoticed, with few documents surviving for them. Thus, it is impossible to quantify them. General comments from Anglican and Methodist missionaries suggest that, apart from the large-scale East Anglian influx, relatively few English immigrants settled in the townships and those who did remain were widely scattered in the southern region. In other words, the Norfolk and Suffolk settlers represented a major proportion of the total immigrant stream from England.\n\nSelf-financed people arrived on their own or in small groups from many regions of England. Occasional comments from the Quebec immigration agent hint at their presence. In 1842 he mentioned, \"passengers per the Consbrooke from Liverpool and the Baltic from Yarmouth, who are chiefly farmers and labourers; some respectable farmers in the former vessel are proceeding to settle in the Eastern Townships.\"[94] There would have been many more small groups like this. And odd references to people like the Hampshire-born William Hoste Webb, who emigrated when a child in 1836 and became a successful lawyer in Brompton Township (Richmond County), reveal a tiny snippet of a largely untold story.[95] Another example was the Bristol-born Edward Short, who was living in Sherbrooke by 1839; he, too, was a successful lawyer, and went on to become a judge of the Supreme Court of Lower Canada.\n\nWith the industrial expansion that occurred in the Eastern Townships during the second half of the nineteenth century, people had an added incentive to emigrate, although numbers were still relatively low. Arriving in Sherbrooke in 1889, Frank Grundy from Bury (Lancashire) became general manager of the Quebec Railway Company,[96] while Philip Harry Scowen from Ipswich (Suffolk), who arrived in 1909, rose through the ranks of the Brompton Pulp and Paper Company in Richmond County to become its general manager.[97] These success stories happened to find their way into family histories, but most immigrant experiences went unrecorded.\n\nIn 1867, people of British descent still predominated in Stanstead and Brome counties as well as in parts of Missisquoi, Richmond, Sherbrooke, and Compton counties. Yet, having previously dominated large areas of the Eastern Townships, people of British ancestry were a mere minority group by the 1940s. Many of their descendents had left and, when they did, French Canadians took their place. Upper Canada's better land and climate, the declining importance of the timber trade, and the rising dominance of French culture made Lower Canada progressively less attractive to later waves of British settlers. Thus the cycle intensified.\n\nMark James remembered that French and English communities in the Eastern Townships were comfortable with each other in the 1940s:\n\n> I found French-English relations during the war were very good. Everybody said that there was no strain between the two languages, as then the two cultures were considered very close. One woman spoke with great fondness of her relationship with her French neighbours. It seems that one particularly cold winter her well froze, and she had to collect and melt snow to wash her baby's clothes. One of the French neighbours saw her doing this and the next Saturday he brought his sled with a huge barrel of water on it. He had gone way back in the mountains to an open spring to get the water and continued to do this every Saturday until the well thawed in the Spring.[98]\n\nThirty years earlier, Robert Sellar, the outspoken Scottish journalist, provided a very different perspective. He was convinced that Protestant farmers had been deliberately squeezed out of the Eastern Townships by the Catholic Church.[99] A change in legislation in 1850 that allowed the Catholic Church to extend its parish system beyond the French seigneuries into the townships was proof, as far as he was concerned, of such a plot.[100] Thus, he blamed the French for the British exodus. However, his hostility toward the French was ill-founded. The simple truth was that the British sought the better economic opportunities that western Canada and the United States had to offer. Once their numbers had declined to the point where they could no longer support their Protestant schools and churches, they left. This pattern was repeated throughout Lower Canada.\n\nHaving colonized the southern stretches of Lower Canada, the English also set their sights on the enormous farming and timber trade opportunities to be had in the Ottawa Valley farther to the west. Here different challenges awaited them.\n\nTable 1:\n\nPaupers from Heacham Parish in Norfolk Who Sailed in\n\nMay 1836 in the Penelope from King's Lynn\n\n[NRO PD 699\/90\/5]\n\nTable 2\n\nPaupers from Kettlestone Parish in Norfolk Who Sailed in June 1836 in the Eliza Liddle from King's Lynn to Port St. Francis in the Eastern Townships\n\n[LAC MG24 -I156\u2013Emigration Records, Norwich]\n\n# Chapter 5\n\nThe Ottawa Valley\n\n> Generally the scene is beautifully wooded, opened only here and there by some poor settlers scattered along...[1]\n\nLORD DALHOUSIE'S JOURNEY up the Ottawa River by canoe in August 1820 gave him a bird's-eye view of the clearings being made by settlers in this border region between Upper and Lower Canada. The fifty-year-old governor-in-chief of Canada would have had his endurance tested to the full as he made his way along dangerous rivers and swamps and struggled with rough living and the perils of portage. Yet he was in his element. Although he complained about the heat and the intolerable mosquitoes, he experienced the adventure of a lifetime.\n\nThe settlers he noticed were mainly concentrated along the north side of the Ottawa River, in Lower Canada. The village of St. Andrews (Argenteuil seigneury) particularly caught his eye \u2014 \"a thriving settlement\" that already had \"a very neat and tasty house\" that had been built by a Scottish army officer.[2] Settlements had sprouted in the rest of the Argenteuil seigneury and in Chatham and Grenville townships just to the west of it and also in Hull Township, much farther to the west. Joseph Bouchette's survey of 1832 concluded that the north side of the Ottawa River had fairly equal proportions of Irish and American settlers, with Scots being present in substantial numbers but less so the English, who were relatively few and far between.[3] However, when Dalhousie came twelve years earlier, there would have been fewer Irish, since they were just beginning to pour into the area at the time he visited.\n\nBy 1881, the English were concentrated mainly in the river frontage townships of Chatham and Grenville and in the villages of Lachute and St. Andrews in the future Argenteuil County (Map 11).[4] The English exceeded the Irish numerically in St. Andrews, but were second to the Scots. Generally, in the rest of the area, they came a poor third to both the Irish and Scots. The English presence owed a great deal to the stream of New Englanders who had begun to arrive in the 1790s, although a substantial number of immigrants also came directly from England starting in the 1820s. However, this was a trickle when compared with the large influx from Scotland that began in the 1800s and the much larger numbers that began to arrive from Ireland two decades later.[5] Also, because large numbers of Americans and Scots settled in the area during this early period, the Irish never dominated, as was the case in most other parts of the Ottawa Valley.\n\nAnecdotal evidence suggests that a significant proportion of the English in Argenteuil County originated from Yorkshire. They included men such as William Shepherd, who emigrated to St. Andrews around 1825, having worked during his first year for the Reverend Joseph Abbott, the Anglican minister.[6] William's son Thomas clearly prospered, owning a \"fine property\" in Lachute by the late nineteenth century. John Hodgson, arriving with his father from Yorkshire in 1818 \"when quite young,\" became apprenticed to Samuel Orr of Lachute, \"to learn the trade of shoemaker,\" and with his earnings later purchased a farm in East Hawkesbury, on the south side of the Ottawa River. The barrister Joseph Palliser of Lachute had a Yorkshire grandfather who had emigrated to Lachine in 1832, and Samuel Edmund Smith, \"one of the enterprising and leading farmers of Lachute,\" had a great-grandfather who came from Yorkshire and had been one of the first colonizers of Dunany (Wentworth Township), lying to the north of Lachute.[7]\n\nYorkshire tailors and cloth manufacturers had also been attracted to the area. Having emigrated from Leeds (Yorkshire) to Chatham around 1830, George Lindley sent for his father back in Leeds. His father \"had been a cloth manufacturer, employing many hands,\" and when he came to Chatham, \"he brought quite a quantity of fine broad cloths with him to sell. It is said he was a man of very prepossessing appearance.\" Also, nine years later, came Peter Webster, a Leeds tailor who settled in St. Andrews and continued his trade there.[8]\n\nAnd Yorkshire people were in the forefront of the later colonization of Arundel Township, situated many miles inland up the Rivi\u00e8re Rouge (Map 11).[9] When they first arrived in 1858, \"Arundel was a terra incognita\" \u2014 a district visited only by hunters and trappers. Having emigrated from Yorkshire in 1815, George Staniforth had spotted its potential. He persuaded his sons in Yorkshire to join him in 1858, and together they purchased around one thousand acres that year: \"In about 10 years William one of his sons] had cleared 100 acres of his tract, during which he manufactured many tons of potash, the greater part of which he sent to Montreal.... His first building was a shanty, but this was succeeded two years later by a house. In 1883 he erected a saw mill on his premises and the following year a grist mill.\"[[10]\n\nThen there were men like the Hampshire-born John Wainwright, a captain in the Royal Navy, who came in 1833 with his family to Carillon, near St. Andrews, where he acquired a four-hundred-acre farm: \"Possessed as he was, of English ideas with regard to social status, and having been a naval officer, it is not surprising that he should have formed an exclusive circle and been regarded an aristocrat.\" Dr. Thomas James Howard from Exeter (Devon), who arrived in 1844 with his wife and twelve children, purchased a farm along the Rivi\u00e8re Rouge and later retired to Lachute. Henry, one of his sons, became a notary and leading public figure in St. Andrews. Then there was the opportunistic Nathaniel Burwash, a native of Kent, who used a legacy left to him by his mother to purchase land along the Rivi\u00e8re Rouge for himself and his sons, having first arrived at Carillon from Vermont in 1802.[11] As particularly noteworthy people who made good, these Englishmen were named in later histories, but the experiences of the majority who came to the area went unrecorded.\n\nAt the time of Lord Dalhousie's visit in 1820, immigrants were just beginning to arrive from Britain. He witnessed the steps that were being taken to make the region more secure and accessible to them. He noticed \"emigrants at work on the Grenville] Canal,\" one of a series of canals being built to navigate the Long Sault Rapids on the Ottawa River.[[12] Six years later, work would begin on the Rideau Canal, which would link the St. Lawrence and Ottawa rivers. Ongoing fears following the War of 1812\u20131814 that Americans might attempt to seize control of the St. Lawrence led the British government to finance this major feat of engineering. Dalhousie did not witness the Rideau Canal's construction, but he arrived in time to see the many Scottish and Irish immigrants who were heading for the military settlements being established in the Rideau Valley to further bolster Upper Canada's defensive capability.\n\nWhile Dalhousie seemed oblivious to the government's defence worries, he greatly approved of the military settlements. He believed that the organization and direction provided by the half-pay military officers who managed the settlements would assist newly arrived immigrants to find their bearings in what was to them a strange environment. Hopefully, it would encourage more of them to remain in Upper Canada rather than drift off to the United States:\n\n> Hitherto we have not retained one third of the emigrants in the country. These people on arrival found so many impediments in their way and such monstrous fees of office before they could get to their land, that they could neither surmount the one nor afford the other. The Americans availed themselves of these circumstances and easily persuaded the distressed wanders to pass over into the United States where all was said to be ready and abundant for them.[13]\n\nEntrance of the Rideau Canal, Bytown, 1839. Watercolour by Henry Francis Ainslie (1803\u201379). The canal linked Kingston with Bytown (Ottawa) and was completed in 1832.  \nCourtesy Library and Archives Canada, C-000518.\n\nFarther down the river, Dalhousie's group headed inland on an arduous twelve-mile journey to view George Hamilton's \"extensive saw mills\" located near Hawkesbury, on the south side of the Ottawa River.[14] Hamilton was one of the region's up-and-coming timber barons. Having established a major export\/import business in Liverpool (England) by the early nineteenth century, he had moved his timber operations to North America when Baltic supplies were interrupted. With the closure of Baltic ports by Napoleon in 1806, and the large increase in tariffs on Baltic timber that followed, Canadian timber had a decisive cost advantage. Three years later, Hamilton announced that he had founded a \"New Liverpool\" site near Quebec that was ready to receive rafts of timber. In addition to exporting timber to Britain, partly in ships built at New Liverpool, Hamilton also sold timber at Quebec to feed its growing shipbuilding industry.[15] That year, when ninety thousand timber loads crossed the Atlantic, British North America accounted for almost two-thirds of the pine timber imported into Britain.[16] This compared with only twelve thousand loads that had been exported in 1804. As must have been obvious to Dalhousie, timber was being cut in this part of the Ottawa Valley, not as a by-product of land clearance, but as a commodity in its own right.\n\nProceeding west along the Ottawa River, Lord Dalhousie eventually \"passed the little falls of the Rideau on our left and the mouth of the Gatineau on our right,\" reaching Philemon Wright's home at the Chaudi\u00e8re (or Great) Falls at 8.00 a.m. on Sunday August 20. This was to be a memorable visit for both:\n\n>... on Sunday morning he Philemon Wright] was in bed, not expecting us and when told that the Governor was arrived at his door, the old man was thrown into such a hurry, bustle and confusion that he was capable of nothing.... However, after we had seen him and shook hands and done away all ceremony he became quiet and easy, full of extreme politeness, attentions and anxiety to show himself delighted by the visit.\"[[17]\n\nNew Liverpool Cove, near Quebec City (Point Levy side). Watercolour by James Pettison Cockburn (1799\u20131847). Acquired by the Liverpool-based George Hamilton in 1809, New Liverpool became a shipbuilding site from which vessels loaded with timber were dispatched to Britain.  \nCourtesy Library and Archives Canada, C-040049.\n\nTo Dalhousie, the sixty-year-old Philemon was an \"old man.\" However, the writer, John MacTaggert, who met him nine years later, made no mention of his age, describing him as \"about 6 feet high, a tight man with a wonderfully strange, quick, reflective, wild eye.\"[18] Dalhousie was struck by Philemon's accent \u2014 \"perfect Yankee from Boston\" \u2014 and found his use of words strange and at times incomprehensible.[19] But he overcame his difficulties and listened intently as Philemon explained how he had been attracted by Hull's potential when he first saw it in 1798:\n\n> In 1798 he Philemon Wright] went back to his friends at Boston, told them what he had seen, sold his property, brought his family and two associates to Montreal... and in 1800, having made all arrangements to have a grant of land, he went directly up [the] Ottawa [River] to the Gatino [Gatineau] with eight axe-men. There he first sat down, built his house, cleared a good farm and then, prospering well, he changed his situation to the top of the Great Falls, which he thought a fine place for mills and certainly of being valuable some day, never expected to see them come to what they are.[[20]\n\nWright had arrived with his family, four other families (three of whom were related to Wright), and thirty-three single farm labourers, all from Massachusetts, who together founded Columbia Falls village, the later Wrightstown, which would evolve into the town of Hull. Wright's initial group was joined by other families, mostly from New England, who included the fifty-seven-year-old Samuel Benedict and fifty-five-year-old Nathaniel Chamberlin, both men of substance from Vermont, with an eye for the future well-being of their children. Other Americans who had previously settled along the Rideau River also gravitated toward Wright's settlement. By 1802, Wright had built grist- and sawmills, and two years after that was building various shops and industrial buildings, including bake-houses and a tannery. During his first six years in Hull he claimed to have spent $20,000.[21] By 1808 he had launched his lumber empire, which would eventually make him one of the region's premier timber exporters.[22]\n\nBy 1817\u201318, Philemon Wright was employing sixty-three men in his various enterprises and an additional fifty-five in his lumbering business. Two years later, his firm, P. Wright & Sons, employed 58 percent of the labouring men in Hull Township, and by 1824 Wrightstown (Hull) was entirely owned by his firm. When John MacTaggert visited Hull in 1829, he marvelled at how Wrightstown had become \"a fashionable resort; a splendid hotel was built, livery stables were well installed, a steam-boat set a-going, flagstaff and bell erected... and an armoury richly filled with cannons, muskets and swords.... No one is more the father of his people than he Wright] is; when he has been from home any time on his coming back guns are fired, bells are rung and flags [are] waved.\"[[23]\n\nAs was noted by Robert Gourlay, who viewed the future Hull in 1822, Philemon had placed a high priority on establishing a successful agricultural community. The farms were \"in a very respectable state of cultivation and progressive improvement.... Mr. Wright, as the head of the township, has been indefatigable in promoting the increase and prosperity of this infant settlement.\"[24] The timber trade was an important money-maker, but the settlement needed to be self-sufficient in terms of its food production. As if to demonstrate this point, Philemon took Dalhousie by horseback to see his farm, \"where he showed us a very fine stock of cows and calves with a Herefordshire Bull from England. It is an establishment that would not disgrace any farmer in England although there is want of that cleanliness and arranged system that is obtained by good servants.\" They also visited the farm of one of Philemon's sons \u2014 Ruggles \u2014 \"who is just returned from England with two bulls and several cows and calves of the best breed.\"[25]\n\nPhilemon Wright's settlement at Hull showing the sawmill in the centre and a three-storey tavern on the right. Painted by Wright's friend Henry DuVernet, active 1816\u201342.  \nCourtesy Library and Archives Canada, C-000608.\n\nAmericans continued to trickle into the new settlement after the Napoleonic Wars ended, one of whom was Wright's nephew, Charles Symmes, who, arriving in 1816, acquired land six miles upstream of Hull and founded Symmes Landing \u2014 the future town of Aylmer. Some immigrants also began arriving from England, having been \"fired by the accounts of the new country\" given by Charles's cousin, the aforementioned Ruggles, \"who had recently made a journey across the Atlantic.\"[26]\n\nSome of the Englishmen who are known to have arrived by the 1820s were clearly recruited for their farming skills. They included: Richard Austin, \"a good Yorkshire farmer\"; Benjamin Simons, \"a good farmer from Devonshire\"; George Ruthly, \"a good farmer from Devonshire\"; and William Pitt, a \"Devonshire farmer.\" Also present were Gardner and Girard Church, Thomas Wright, and Isaiah Chamberlin, who were each described as being a \"good farmer\" (Table 3).[27] They no doubt reflected Philemon's determination to see Hull's farming community flourish. By 1825, Wrightstown had a population of 803 and 108 heads of families, which included far-seeing and benevolent farmers like David Benedict.[28] David would give the farm that he had purchased from Philemon Wright in 1822 to his nephew Moses in 1855 as a wedding gift. Moses would then run it as a successful dairy farm for some forty years.[29]\n\nWilliam Farmer was another larger-than-life character who sought his fortune in Hull as Philemon Wright had done, only he was far less successful. Alexander Buchanan, the immigration agent at Quebec, had been given advance notice of his arrival in August 1834: \"By the Kingston From Liverpool, a Mr. Farmer, strongly recommended to this Department, and family with some passengers; he proceeds for the present to Sorel. He has with him 50 head of live stock, of the most approved English Breed.\"[30]\n\nHaving sold his considerable estate in Shropshire, Farmer had left his home and proceeded to Liverpool with his family \"in a large and roomy coach drawn by four fine grey horses.\"[31] He had chartered the Kingston, with its Yorkshire captain, a ship that offered the benefits of a cabin on deck with \"sleeping berths, a sitting room and a dining room.\" No doubt intending to adopt the ways of a country gentleman in his new home, he brought particularly treasured items from his manor house, including two beds, a sideboard, a clock, and \"barrels of china that included six Coalport dinner services, five to six dozen champagne glasses, dozens of wine glasses and various finger bowls and decanters.\" He also came with considerable livestock, including a grey stallion, a mare, two Durham bulls, two Hereford bulls, six cows, two rams, twenty-six ewes, ten dogs (pointers, bull terriers, and a fox terrier), and cocks and hens. \"On stormy days the horses and cattle would be suspended in strong canvas slings from the underside of the deck above them and not a single animal was lost during the long sea journey of 51 days].\"[[32]\n\nWilliam Farmer came from Sutton Maddock, in Shropshire, where his family had lived for generations. His prospects improved considerably in 1830 when he married his second wife, Eleanor Shelton Devey, daughter of Thomas Devey of Kingslow Hall, a wealthy lawyer who lived in the adjoining parish of Worfield. Soon after his marriage, Farmer decided to emigrate despite the strong misgivings of his mother-in-law and his own ultra-conservative views. This was a man who objected to the attempts being made in England and Wales to improve democratic representation through the parliamentary Reform Act (1832) and to the repeal of the wretched Corn Laws that favoured farmers and made the poor pay inflated prices. How he would cope with a country that believed in egalitarianism and shunned privilege would remain to be seen. Yet it is said that he \"had considerable energy, so he decided that the best course would be to emigrate to Canada and start a new life there.\"[33]\n\nIn addition to his family and servants, Farmer brought ten families (forty-six people) with him from Sutton Maddock and nearby Brockton, probably his former tenants and servants. They included a lawyer, a tutor for his children, a housekeeper and nurse, a miller and wheelwright, a blacksmith, a gardener, a sawyer, a mason, a handyman, and various house servants.[34] Upon their arrival in Quebec, Farmer's group travelled on the Canada to Sorel, where they lived in temporary accommodation, with Farmer paying everyone's expenses. In November 1834, the group made its way to Hull.\n\nTheir ultimate destination was a 2,400-acre site, the future Farmer's Rapids, situated on the Gatineau River, just to the north of Hull and six miles from Bytown (Map 12).[35] The property consisted of both cleared land and untamed forests, and included \"a house of extraordinary size, sufficiently large to hold all the people we brought out of England with us.\" The house was located directly opposite the rapids, being about a hundred yards from the first drop in the falls. Farmer had apparently chosen this place after taking advice from the agent of Tiberius Wright, one of Philemon's sons. Lying near the confluence of the Gatineau and Ottawa rivers, it would later become the site of an electricity-generating plant owned by the Gatineau Power Company.\n\nDuring his first year, Farmer built a large sawmill, and two years later constructed a flour and gristmill, employing about one hundred people, who were in addition to the other workforce \"who came out with him from England.\" A major dam was erected on the Gatineau River in 1843 and a new house was in place by 1844. That same year his sister, Mary Alice Farmer, issued a declaration in Shropshire stating that William's children from his first wife, Elizabeth Yates, who had died in 1827, had gone with him to Canada and were living in Hull.[36]\n\nHaving resettled all of his family and dealt with the legal aspects of their inheritance, Farmer established what appeared to be a thriving timber business. Initially, his prospects looked very promising. Yet he left, although his reasons for doing so are not clear. His dams suffered damage from spring floods and he had neighbours who objected to his use of the river \"for the transport of his logs,\" but there must have been other factors. In 1848, fourteen years after his arrival, he moved to Upper Canada. Dying in 1880 in his eighty-sixth year, his final resting place was a cemetery in Ancaster, just to the west of Hamilton.\n\nHull Township, and the area immediately around it, would eventually have the largest English concentration in the Ottawa Valley, a hardly surprising development given Philemon Wright's success in attracting New Englanders since the 1800s and William Farmer's attempts to found an English colony three decades later. The early arrival of Loyalists and Americans of English descent had contributed to the English presence and so had immigration directly from England, although the extent to which either happened is not known. The 1881 Census reveals how the English became clustered in Hull Township, on the Lower Canada side of the Ottawa River, and in Nepean and Gloucester townships, located just opposite, in Upper Canada (Map 12).[37] That said, even in these townships there were four times as many Irish as English, reflecting the explosive growth in the Irish population after the Napoleonic Wars, as labouring jobs in canal building and timber cutting became more widely available.\n\nOxen pulling lumber in the Ottawa Valley. Undated photograph by an anonymous photographer.  \nCourtesy Biblioth\u00e8que et Archives Nationales Qu\u00e9bec ANQ P80, S1, D22, P10.\n\nA newspaper advertisement appearing in June 1829 reported that, in that month alone,[38] one thousand labourers were being sought to help in the building of the Rideau Canal, while two years later it was claimed that along one stretch of the Ottawa River some two thousand labourers were employed in the timber trade.[39] Such jobs were being filled largely by the thousands of poor Irish who streamed into the Ottawa Valley. By contrast, the English came in small numbers, often in ones and twos, either to establish themselves as farmers, craftsmen, or tradesmen, or to seek higher status positions in business, the professions, or in public life. Typical examples include the Cumbrian-born James Skead, who emigrated in 1832 and settled in Bytown, where he founded a thriving timber business,[40] and William and Charles Broughton Wilson (brothers) and their sister Jane, all from London, who emigrated to Fitzroy Township (Carleton County) two years later, presumably to establish a farm.[41] They were part of a steady trickle that must have seemed insignificant when compared with the Irish influx.\n\nOddly enough, the one place where the English did congregate and become the dominant ethnic group had the incongruous name of New Edinburgh (Gloucester Township).[42] Founded by a Scot in 1829 at the junction of the Ottawa and Rideau rivers, New Edinburgh began life as an industrial centre but became a separate village in 1866. Soon after that, it was incorporated into Ottawa, by which time it had acquired the city's elite, who were primarily of English origin. New Edinburgh would eventually provide the site of the official residences of the governor general and the prime minister.\n\nAt the other end of the social spectrum were the Irish lumberjacks, who readily found employment in the region's thriving timber trade. Hiring and managing them were the timber contractors, who organized the felling and transport operations, and financing their operations were the merchants. After being cut, lumber was carried on rafts down the Ottawa River to the St. Lawrence and on to Quebec, where it was loaded onto ocean-going ships to be sold in Britain. Some merchants, like London-born William Price, were actually based in Quebec City, close to the seaport from which the timber would be dispatched.[43] Once the merchant received his money, the various contractors and lumberjacks involved in the complex felling and transport operations received their payments.[44]\n\nJames Moncrieff Wilson, general manager of the Queen Insurance Company in Liverpool, visited Ottawa in 1865 to witness for himself how the timber trade functioned:\n\n> I was struck with the number of Inns and found they had sprung up out of the necessities of the timber trade. Most of the Lumberers are furnished, that is provided with the means of carrying on operations in the woods by people in Quebec and this furnishing is advanced by instalments, the first being used to buy provisions, clothes and other necessaries, and thus the lumberers are immediately out of money. But they must have men to do the work. At certain seasons thousands of men flock to Ottawa in search of employment in the woods. As a rule they arrive penniless but are hospitably received by the Tavern keepers who follow this line of business.[45]\n\nThus, at certain times of the year, such was the demand for labour that Ottawa innkeepers were hiring out their lodgers, who were invariably Irish, to work for local lumber contractors as lumberjacks. All this seems relatively peaceful and orderly. Had James Wilson arrived in the 1830s, he would have observed the widespread conflict that was then being engineered by the Liverpool-born Peter Aylen, one of the region's leading timber barons. Determined to dominate the timber trade at any cost, he set Irish and French labourers against each other and then moved the struggle to Bytown (Ottawa) in an attempt to seize control of the town. After much bloodshed, the violence was quelled by government troops in 1837.[46]\n\nMeanwhile, with its substantial English population and rising affluence, Hull led the way in attracting the attention of the Society for the Propagation of the Gospel (SPG).[47] An Anglican missionary was installed in 1830 and the stone-built St. James Anglican Church was founded two years later.[48] The Reverend John B.G. Johnston was installed at Symmes Landing (Aylmer) in 1842 and, judging from his comment that \"the lumbering draws away the majority of the male population from their homes for seven or eight months in the year,\" his congregations varied greatly in size.[49] Aylmer's Christ Church, a fine stone building, was built three years later, and it was from here that Johnston served his widely scattered flock, who were located as far afield as the Chaudi\u00e8re Falls, Farmer's Station [Rapids], and Wakefield.\n\nJohnston's tenacity and endurance were severely tested in what were gruelling excursions through Hull and Aylmer's outback: \"There are a great many Church families scattered over a wide extent of country with roads almost impassable over mountains of rocks through rivers without bridges, and swamps without even the assistance of logs laid across to prevent your horse from sinking in the mud.\"[50] However, judging from the gravestone transcriptions in the St. James (Anglican) cemetery in Hull, Johnston's \"Church families\" were mainly Irish. Among the minority who were English, there was a scattering of immigrants from Lincolnshire, Staffordshire, Northamptonshire, Kent, and Buckinghamshire, and a slight preponderance of people from northern towns and cities, including Bradford, Wakefield, Stafford, Leicester, and Manchester.[51]\n\nAs was the case elsewhere, most of Buckingham's early settlers along the north side of the Ottawa River had been either Loyalists or their descendents: \"Lured by the proximity of Quebec province with its untouched forests of virgin pine, many enterprising citizens of the nearby New England states came to Canada and adventured their all in the lumber industry.\"[52]\n\nCaptain Justus Smith, who originated from New Hampshire, heard about the vast forests along the Rivi\u00e8re du Li\u00e8vre by picking up gossip in a hotel that he ran in Montreal. Arriving in Buckingham in 1823, he immediately built a sawmill and later returned to Montreal to recruit workmen, one of whom was Baxter Bowman. The cunning Bowman \"slipped away to Montreal\" unnoticed and returned as the legal owner of Smith's mill site \"before the saw mill was in operation, even before it was finished.\" However, his treachery did not pay the dividends he had hoped, since \"his debts caught up with him and the mill and other properties were taken over by the banks.\" It was a similar story for Levi Bigelow, another New Englander, who arrived in Buckingham in 1824. Having built his sawmill, he lost his business, which was purchased eventually by James MacLaren, who became the area's principal timber baron.\n\nIn 1854, when Anglican minister Reverend William Morris wrote his report to the SPG detailing his efforts in promoting the Anglican faith in Buckingham, the area had a mainly Irish and French population. The inhabitants of Buckingham village were chiefly employed as labourers in the timber trade and spent almost no time in farming: \"Upwards of 400 men were employed in local saw] mills and in the shanties and log houses in the woods.\"[[53]\n\nAlthough the timber trade attracted few English, the area experienced an influx from England in 1878 when the phosphate mines in the mountainous region of Portland Township were opened. Various English businessmen advanced the funds needed to run the phosphate mines and recruited experienced miners from England and Wales to do the work: \"The community was a regular village of comfortable homes of which there is now not a trace, save some abandoned machinery and the caves drilled into the mountain.... The English] gentleman in charge initially was Mr. Pickford.... His home there was the scene of many parties and dances and everything was on a grand scale.\"[[54]\n\nAylmer Anglican Church, built in 1845. Undated photograph by an anonymous photographer.  \nCourtesy Biblioth\u00e8que et Archives Nationales Qu\u00e9bec ANQ P154, S1, D1.\n\nThe Reverend John B.G. Johnston, circa 1860. He was an Anglican missionary who presided over congregations in both Aylmer and Hull from the 1840s.  \nCourtesy Biblioth\u00e8que et Archives Nationales Qu\u00e9bec ANQ P137, S4, D10, P3.\n\nAt about this time, another Englishman, a Mr. I.A. Grant, claimed that he had \"a phosphate property in Buckingham.\" He advised his friend, Colonel E.G.F. Littleton of Staffordshire, who had paid $5,000 for \"phosphate lands\" in Wakefield Township (north of Hull), to hold on to them. In 1881, mining was \"said to be rigorous and the amount shipped this year will be greater than any previous year.\"[55] But as events would show, the boom years did not last, and following the discovery of abundant phosphate deposits in Florida, production ceased. The Buckingham mines were closed in 1894.\n\nWhile the Rideau Valley attracted few English, it did acquire a large number of Scots when the government-sponsored military settlements were founded between 1815 and 1820. Concerned that the United States might attempt another invasion, the government had taken the previously unthinkable step of relocating hundreds of Scots at public expense to eight townships in Lanark County to found the Perth and Lanark military settlements (Map 12).[56] In return for having had their expenses paid, these Scots were to protect the Rideau Canal during its construction and be on hand to resist an invasion should one occur. Protestant Irish were also used to found another military settlement at Richmond (Carleton County) in 1818, although they were fewer in number than the Scots.[57] Despite this large intake of Scots, the Irish had exceeded the Scots numerically in Lanark County by the time of the 1881 Census, with the English coming a poor third.[58] And those English who settled in Lanark County were mostly to be found in the towns of Perth and Smiths Falls.\n\nDespite there being relatively few English in the Rideau Valley, the Anglican Church was active in the region, having great success in attracting Protestant Irish to form the congregations for its churches. Predictably, the SPG took a particular interest in the Richmond military settlement. With its many retired, half-pay officers from the 99th and 100th Regiments having substantial army pensions, this was to become a relatively affluent district. Although most of the officers were Irish, they did include some English. The officers and their families, many of whom lived in March Township, enjoyed a high social status, regarding themselves as the region's elite.[59] In his report to the SPG in 1854, Richmond's Anglican minister stated that his small, scattered congregation owned very good farmland and he expected that \"before many years the people will be wealthy.\"[60]\n\nSt. James Anglican Church, Beckwith, near Smiths Falls. The church is one of the oldest surviving Anglican churches in eastern Ontario.  \nPhotograph by Geoff Campey.\n\nIt was a similar story in Pontiac County on the Lower Canada side of the Ottawa River, where early arrivals from the New England states and Scotland were followed by waves of Irish settlers who had either migrated from elsewhere in the region or directly from Ireland.[61] However, although the English were only few in number, they had grabbed some of the best locations for themselves, being particularly well-represented in the village of Quyon in Onslow Township, in Bristol Township, and in Portage du Fort and Shawville in Clarendon Township.\n\nThe Anglican minister, the Reverend Henry Hazard, tended to the \"hardy pioneers from the north of Ireland\" from his base at Quyon in Onslow Township from about 1857. A place with ten houses, its chief industry was \"the collecting of all logs which were floated down the Ottawa River from the many lumber camps in the vicinity of its banks.\"[62] Arriving in 1842, Clarendon's first Anglican minister, the Reverend Francis Falloon, witnessed the large influx from the north of Ireland over the following decade.[63] They were later said to have done much better than most other settlers in Lower Canada, thus enabling the Anglican Church to be well-funded. Meanwhile, Methodist ministers had also arrived in Onslow and Clarendon townships starting in the 1830s, although their support was strongest on the Upper Canada side of the Ottawa River, where Methodist preaching circuits had been established in the early 1800s.[64] Pontiac County Methodists clearly struggled to find the funds for their churches. The Ebenezer Church at Radford (near Shawville in Clarendon Township) was built in the second half of the nineteenth century by \"old Methodist people,\" who had previously held their Sunday worship in the bush.[65]\n\nAlthough Renfrew County on the south side of the Ottawa River attracted few English, there were pockets of English settlers in the northern end of the county, particularly in Westmeath and Pembroke townships. Westmeath had been the choice of James Tate of Bedfordshire, who emigrated with his wife and family in 1857. They were among the 478 people who had sailed from Liverpool in the Martin Luther to Quebec in July of that year, joining \"the early settlers, who were few in Westmeath, and there were only six homes in the village.\"[66] The family resided first on the River Road below Westmeath, at a time when James was employed by Captain Findlay. Then, having moved to Ottawa for four years, the family returned to Westmeath \"to live in a small log house on the farm of David Chamberlain,\" with James \"being employed by this same gentleman.\" Finally, James's days as a hired hand came to an end. Having acquired 135 acres of \"bush-land\" in 1872, he \"commenced clearing the ground for a farm,\" and would eventually become a prominent and respected Westmeath citizen.\n\nOther English almost certainly emigrated to this area during the 1850s and 1860s. By the time of the 1881 Upper Canada Census, Westmeath and the adjoining Pembroke Township both had a particularly high concentration of English inhabitants, although, as ever, they were in a minority when compared with the Irish.\n\nAlong with everyone else, the English had benefited from the economic opportunities that had arisen from the thriving Ottawa Valley timber trade. But they shunned the logging camps and regarded timber felling as the means to creating farms, not as an economic end in itself. James Tate was fairly typical. He came with little or no capital, yet had sufficient farming skills and experience to navigate his way through the jobs market to the point where he had saved sufficient money to buy his own land. As they discovered the far better farming land to be had in Upper Canada, the English would transform vast wildernesses into farms and integrate themselves in the agricultural communities being established farther west.\n\nTable 3:\n\nAn Account of the First Settlement of Hull Township, 1820\n\n[ANQ P1000, D12, P278 (C141)\n\n# Chapter 6\n\nWest Along Lake Ontario\n\n> There are people here, who came out as poor as we did, who have now their cows and oxen, sheep, pigs, etc, in short everything a heart can wish for...[1]\n\nWILLIAM AND JANE Grant were dumbfounded by the \"whole mass of woods\" that greeted them on their arrival in Dummer Township (Peterborough County), located as it was many miles inland from Lake Ontario. Nevertheless, they felt optimistic about their future. Having emigrated in 1831 at public expense from Frome in Somerset, they now had the prospect of owning their own farm \u2014 the ultimate goal of once-destitute people wishing to better themselves. \"Never a township has filled so fast as Dummer \u2014 a house on almost every 100 acres.\" Unlike \"a man from Maiden] Bradley\" in Wiltshire, who was returning home, Dummer being \"too hard work for him,\" they were definitely staying. And worried that the unnamed gentleman would give Dummer a bad name, they warned their parents and friends not to believe him.[[2]\n\nThe Grants' relocation to Dummer Township partly reflected the British government's desire to promote settlement in the more remote stretches of Upper Canada. By the time they arrived, much of the easily accessible land along and just north of Lake Ontario had long been settled. The Loyalist influx of the mid-1780s, together with later emigration from the United States, had created an initial nucleus of colonizers. A typical example was Timothy Rogers, who had led a group of families from Connecticut to Newmarket (York County) in 1801. Rogers and the group then moved to Pickering (Ontario County) six years later, where they finally settled. Particular encouragement had been given to members of the Society of Friends (Quakers), with Rogers donating land that he owned in Pickering to enable them to build their first Meeting House.[3] Many more Americans, coming in small groups like this, had found their way to Northumberland, Durham, and York counties by the early nineteenth century and were even penetrating the Lake Simcoe area (Map 13). The settlers of East Gwillimbury, Vaughan, and Markham townships in York County were described in a government report of 1830 as being \"affluent farmers,\" having come from the United States at an early date.[4] This observation could have applied equally well to the entire stretch between Kingston and the western end of Lake Ontario.\n\nThe deep economic recession that followed the Napoleonic Wars stimulated the initial influx from England, which began in 1817 and mainly drew people from the northern counties. As James and Ann (Gardiner) Emerson from Weardale (County Durham) in the northeast of England would soon discover, crossing the Atlantic at this early time certainly had its perils. Setting sail for Quebec with their extended family in 1817, they had to endure two shipwrecks \u2014 one at the Orkney Islands and the other near Newfoundland. Then, upon reaching the Gulf of St. Lawrence, they found that no steamer was available to take them up the St. Lawrence \u2014 so they had to purchase their own bateau and navigate themselves to Quebec. After living in Kingston for two years, the family finally settled in Cavan Township (Durham County), near present-day Millbrook, where they experienced the gruelling demands of pioneer life:\n\n> The people did not clear their land very fast, about four to five acres each year. As soon as there was any grain to dispose of they had to take it to Port Hope; they drew it with oxen and were two days getting away a small load. Many of them succeeded in securing happy homes for themselves and families, others got discouraged and left for other places; while some got the ague and others fever and a number of them died.[5]\n\nCavan continued to attract English northerners, especially those from Cumberland County.[6] An example is John Bland from Carlisle (Cumberland), who arrived in the 1850s having failed to find suitable employment in the United States. He had lost his job as a tunneller in Pennsylvania and, after failing to find work in New York State, came to Cavan with just \u00a36 10s. in his pocket. With the help of a Cumberland acquaintance already established in Cavan, he secured a labouring job with John Sutcliffe, a local farmer. Together with the money he expected to acquire at this same time from the sale of a property in Kirkoswald, near Carlisle, he was well-placed to establish himself eventually as a farmer.[7] However, the largest outflow of Cumberland people to Upper Canada came from nearby Alston, an important lead-mining district, and that stream was directed at Peterborough County.\n\nThe first people to leave Alston took advantage of the government's \u00a310 emigration scheme, introduced in 1817, which was intended to encourage colonization by groups of emigrants acting together.[8] Led by Thomas Milburn, an unknown number of Alston people relocated themselves to Smith Township (Peterborough County), and fifteen years later another group left Alston for Upper Canada, having been assisted by their parish (Table 4). They almost certainly settled at Smith.[9] John Langton, an English gentleman farmer who lived near Sturgeon Lake in Victoria County, visited the area in 1835 and described the strong Cumberland presence:\n\n> The junior branches of the Cumberland settlement in Smithtown, near Peterborough, which has been 10 or 15 years in the country and is very thriving, are to have land in the new township on Balsam Lake.... The] next emigration in 1823 was of Cumberland miners who settled along [the] road from Mud Lake to Peterborough and one of the most thriving settlements in the district; it is of their children that the settlement is forming on Balsam Lake; there are also several Yorkshire and other English in the township and another batch of Peter Robinson's Irish settlers in the northern part...[[10]\n\nPeople from Newark, in Nottinghamshire, had also been attracted by the government's \u00a310 emigration scheme and came to Peterborough County at around the same time as the Cumberland group. Led by Francis Spilsbury, they chose a site in Otonabee Township. Following them, between 1819 and 1824, was a group from Carlton-on-Trent, near Newark, who were assisted to emigrate by their parish.[11] A chance reference to Hannah Parnham in a letter written in 1832 by W. Mozley, her former teacher, places one other Nottinghamshire immigrant in Pickering Township, farther to the west in Ontario County. Before she had emigrated, Mr. Mozley advised her \"to love Jesus Christ and hate all sin; you know something about religion but you must feel its power on your heart; you will meet with many unpleasant circumstances in life \u2014 nothing will bear you up through them like heart-felt religion. Be constant in prayer... never neglect your Bible, read it in preference to your books.... Early become a member of a Christian church... obey your parents and avoid improper companions.\"[12] Whether she heeded this advice is unknown, but she did marry James Parnham, an immigrant like herself, who originated from Sutton-on-Trent.\n\nDuring the 1820s, some 75 percent of English emigrants departed for Quebec from northern ports (Table 5). Given that Liverpool departures accounted for surprisingly few, at 16 percent, only a small part of the exodus came from the Midlands; instead, it was concentrated in the northern counties. Cumberland and Yorkshire immigrants stand out as being particularly predominant at this time and were certainly very much in evidence in the middle stretches of Upper Canada. English northerners had established footholds at Cavan (Durham County) and Smith (Peterborough County) by 1820 and had done the same in Simcoe County. Twenty-five families from the North of England were among the first to settle in Oro and Vespra townships and northerners also colonized areas of Medonte, Tecumseth, and West Gwillimbury townships (Simcoe County).[13] A will made in 1861 by Joseph Hodgson of West Gwillimbury reveals his ongoing links with Cumberland, in that he left his estate to each of four daughters who were then living in Carlisle.[14] Thirty years earlier, Alexander Buchanan, the Quebec immigration agent, reported how the settlements at Lake Simcoe had been proceeding \"with great success and rapidity,\" and he also commented favourably on \"the influx of emigrants and the great extent of improvements\" in the Peterborough and Rice Lake area. These developments, which Buchanan regarded as \"highly cheering,\" had involved many English northerners, although very few revealed themselves through any documentation.[15]\n\nLog house in Orillia Township (Simcoe County). Watercolour and pencil painting produced in 1844 by Titus Ware Hibbert (1810\u201390).  \nCourtesy Toronto Public Library M1\u201316.\n\nA journal kept by George Pashley, a twenty-seven-year-old tailor and Methodist lay preacher from the West Riding of Yorkshire, reveals something of the traumas and difficulties that immigrants experienced when they relocated themselves to North America. Setting off from Liverpool to Quebec in 1833 with his wife Elizabeth (Frith) and family, George described how, during the early stages of the crossing, they had to come to terms with the death of their youngest daughter following a sudden illness: \"About 9.00 o'clock in the morning] the shipmate sewed the body up in canvas with some pig iron at the feet to make it sink and about 11.00 it was committed to the Deep with becoming solemnity, while the captain read the service and the sailors and the passengers on deck stood around with hats off.\" Later, George indicated how pleased he was that many of the fifty-eight passengers on the crossing were northerners like himself, originating from Yorkshire, Lincolnshire, Nottinghamshire, and Scotland, but he took an instant dislike to the Irish, describing them as \"filthy.\" He was equally abusive toward the six French boatmen, whom he had met during the bateau voyage from Montreal to Prescott: \"some of them had very bad tempers, and all [were] without religion.\"[[16]\n\nUpon arriving in the town of Cobourg (Northumberland County), the Pashleys went to a boarding house that was run by a fellow Yorkshireman. Although Mr. Dobson, a baker and confectioner from Whitby, had probably been recommended to them, they were very unimpressed with their lodgings: \"For this single room we paid $3 a month. Here we lived five weeks during which time we had little of the comforts of life as regards food; we went for several days and had nothing but potatoes and salt and tea without sugar or milk.\"[17]\n\nGeorge's search for work took the family to a place near Grafton (Haldimand Township), but by 1836 the family returned to Cobourg, where George practised his trades as a tailor and shoemaker and also preached. Among his Methodist preaching companions were R. Jones and T. Bevitt, \"the former a Canadian of Yorkshire parents, the latter a real Yorkshireman\" from the West Riding who had emigrated to America twelve years earlier.\"[18] By 1849, the Pashley family was living in Port Hope (Durham County).\n\nTwo Yorkshire farmers caught the eye of the Quebec immigration agent in 1839 when they stepped off their ship from Hull. They were not recent immigrants, but instead were \"returning to their families in the neighbourhood of Toronto, where they have settled for many years; they have brought out a number of their friends with them who intend to purchase lands and settle in their neighbourhood.\"[19] A year later he commented on the Yorkshire families living in Markham Township (York County) who had sailed back to England to collect their families and \"some very fine sheep and a young Yorkshire colt.\" Many who sailed with these families from Hull were very affluent, bringing out between \u00a31,200 and \u00a31,500 collectively; but they also included some young men who had lost their jobs in the Yorkshire woollen mills and were \"going to Boston for employment in the factories there.\"[20]\n\nIsaac Bravender was yet another Yorkshireman made good. Originally from Malton in the North Riding, he had adapted easily to pioneer life and by 1846 was singing the praises of Brock Township (Ontario County) to his children still in Yorkshire:\n\n> The sons and daughter that came over with us has bought a place about a mile and a half and they had about 200 bushels of apples and plums in abundance, we have a cow and a heifer that we are raising and I bought two ewes this Spring... we have two fat pigs... I am doing very well better than I expected for I have very good friends around me; we had eight ploughs, ploughing some sod for me belonging to the neighbours in one day. I intend to have a yoke of oxen in another year if all is well...[21]\n\nIsaac had purchased eight acres of cleared land and two acres of wilderness land \"with a good creek... and dwelling house on it\" for \u00a3120. Declaring that Canada was \"a very good country for a labouring man, for wages are very high; a steady man may get 3s. 9d. per day in summer and 2s. 6d. per day in winter,\" Isaac's only complaint was that \"whiskey is too cheap.\"[22]\n\nIsaac's son wrote home soon after from Vaughan Township (York County) with an even more upbeat message: \"We thank God that we are in a fine part of the country amongst old neighbours of the Old Country.\" He now had a larger farm \"and a much more healthy situation with better land... and more like the Old Country all together,\" with his neighbours including Robert Hall, James Craven, Thomas Fletcher, and James Monkman \u2014 all Yorkshire people. \"If any friends should be wishing to come to Canada my advice to them is not to go back to the 'Wild Bush' but to come to the Gore of Toronto or Vaughan where they will be sure to find some farms to rent or buy.\"[23]\n\nThe Bravenders were well-organized and had planned their land clearance and farming activities with great care and precision. Isaac's advice that immigrants had to be able to support themselves for the first year underscores the scale of the task that was being undertaken. John Langton's recipe for success was even more daunting. Coming from an aristocratic Yorkshire family that had lost much of its great wealth, he was every inch the gentleman farmer.[24] Buying land in Fenelon and Verulam townships on Sturgeon Lake, he had arrived in 1833 with sufficient capital to buy a farm with cleared land and employ \"a good man.\" He advised: \"In my opinion a man with a family, unless he has boys old enough to assist him and unless he is determined to work hard for himself \u2014 and indeed determined that he and his boys should do the main part of the work themselves... he should not attempt to settle on a farm in Canada with less than \u00a31,000, and even with that he must use great economy.\"[25] This advice would have seemed very challenging to those people who could barely scrape together the funds to emigrate. Most pioneer farmers had to do their own heavy labouring work and endured great hardships and privations during their first years.\n\nAnne Langton, John's sister, could barely comprehend her surroundings when she first arrived in 1837 with her parents. She nearly fainted when she viewed Peterborough for the first time. Then a well-established hub with a population of about nine hundred, to her it was shockingly primitive. But Anne had lived in Blythe Hall, a grand house in Lancashire, and so the comparison for her was particularly daunting. Anne and her family had been adjusting to reduced circumstances following the demise of her father's business. Their stately home had to be sold in 1821 and bankruptcy came five years later. It was at this time that Anne helped the family finances by selling her miniature paintings, for which she rightly became famous. The family emigrated in difficult circumstances, although there was clearly sufficient capital for them to buy an already-cleared farm and employ labourers and servants.\n\nAnne's first home on Sturgeon Lake was a small cabin built by her brother John. The family used it as temporary accommodation until John had time to complete their big house, the first double-storey log house in the area. It was called \"Blythe\" after the Lancashire Blythe Hall.\n\nSoon after arriving, Anne wrote home to her family, disguising her anxieties and trying to be very brave:\n\n> And now you will ask what I think of the spot that has been so much talked of.... What most strikes me is a greater degree of roughness in the farming, buildings, gardens, fences and especially roads.... But when one looks at the wild woods around, and thinks that from such a wilderness the present state of things has been brought about by a few hands... one's surprise vanishes, and one wonders that so much has been done.[26]\n\nIn fact, she later admitted how much she had disliked the place: \"I shall never forget my feeling of despair at that time.\" Perhaps the family had been rash \"to come out to such a place, but we are very careful in writing home to say as little of our difficulties as possible.\"[27]\n\nInterior of John Langton's house, 1837. Drawing by Anne Langton.  \nCourtesy Archives of Ontario, F 1077-8-1-4-22.\n\nBut Anne overcame her woes and became a pillar of her local community. The first schoolteacher in Fenelon Falls and Sturgeon Lake, she gave classes at her home and founded the area's first lending library. Later, she purchased land on which the first public school was to be built. John's political career was on the rise by 1852, and this required the family to move to Peterborough, then quite different from the town Anne had first viewed fifteen years earlier. Now there were \"comfortable houses... that graced tree-lined streets; and an imposing Court House was prominently situated on rising ground.\"[28]\n\nThe Peterborough area was fortunate in having two other talented ladies who, like Anne Langton, left behind heartfelt descriptions of pioneer life. They were two sisters from a gentile Suffolk family \u2014 Catherine Parr Traill, who emigrated with her husband Thomas in 1832, and Susannah Moodie, who followed soon after. Both became very well-known for their evocative tales of everyday life in early Canada.[29]\n\nBlythe Mills, Peterborough, 1852. Watercolour by Anne Langton. The mills were purchased by her brother John to supplement his income as the Member of Parliament for Peterborough.  \nCourtesy Archives of Ontario, F 1077-8-1-2-28\n\nThe emigrant streams from England changed dramatically in direction by the time that the Langtons came to the Peterborough area. By that time emigrants were being drawn more or less equally from the north and south (Table 5). Before then, northerners had dominated, as was noted by the Montreal Gazette, which claimed that most emigrants came \"almost exclusively\" from Yorkshire, Lancashire, \"and other northern shires.\"[30] However, in 1832, as many as ten thousand immigrants left southern ports compared with only seven thousand from northern ports. One factor that helped to drive the growing exodus from the south was the use of public funds by parish councils to finance the emigration expenses of their paupers. This was essentially a South of England phenomenon. Parish-funded schemes brought thousands of paupers to Upper Canada, with most originating from the mainly agricultural counties of Norfolk, Suffolk, Sussex, Kent, Wiltshire, Somerset, and to a lesser extent Surrey.[31] Apart from Yorkshire, these schemes were rarely used in the more industrialized regions of the Midlands and northern counties, which could offer better work alternatives to people who were suffering from the general agricultural depression.\n\nAssisted emigration schemes were intended to provide paupers with an escape from poverty while reducing parish poor rates bills, but their aim was not solely economic. If English parishes had sent their poor to the Maritime provinces instead of Upper Canada, their costs would have been much lower, since they would not have had to pay for the added expense of inland travel. The British government's defence concerns almost certainly explain why parishes paid for the more expensive option of sending their paupers to the Canadas. Ongoing fears of an attack from the United States made the government mindful of the need to bolster their populations with loyal British settlers. This was especially necessary since many self-funded emigrants were rejecting Upper Canada in favour of the Maritimes on cost grounds; but by assisting paupers to go the extra distance, more English settlers could be acquired by the province than would otherwise be the case. The five thousand or so people who were assisted to emigrate in both 1831 and 1832 accounted for 30 percent of the total arrivals from England each year, and assisted emigrants were a similar proportion in 1835\u201336.[32]\n\nParish-assisted emigration schemes were generally successful, mainly because parishes made every effort to ensure that their paupers would be able to cope well with the tough conditions to be found in fledgling pioneer communities. They did not use the schemes as an opportunity to get rid of their elderly, infirm, or layabouts, as might have been expected, since it was obvious that such people would fail. Parishes carefully selected families with plenty of teenagers and chose young and healthy single men; they had the best chance of success and their favourable reports home would stimulate the follow-on emigration that parishes hoped to foster.\n\nThe policy of directing poor emigrants to Upper Canada was championed by the lieutenant governor, Sir John Colborne, who had become increasingly alarmed by the continuing influx of Americans to the province. Colborne argued that Upper Canada's prosperity and welfare depended on the acquisition of large numbers of British immigrants.[33] Although he and others had failed to persuade the British government to finance national emigration schemes because of their enormous cost, backing had been given to English parishes to use their poor relief funds to subsidize the emigration of their paupers. Arriving in substantial numbers, they were a useful addition to a colony having many American settlers, whose loyalty to Britain was suspect.\n\nAlthough the legislation allowing parishes to sponsor emigration did not come into force until 1834, many parishes had assisted paupers since the 1820s, with Kent parishes being some of the earliest to do so. Several Kent parishes, including Tenterden, Headcorn, and Biddenden, began sending emigrants to the United States in the 1820s. Tenterden paupers left in small groups between 1821 and 1827, followed by a larger group of fifty-six in 1828,[34] while Biddenden paupers emigrated between 1826 and 1845, with only small numbers, usually one family, leaving in any particular year.[35]\n\nSir John Colborne, lieutenant governor, 1828\u201336. Engraving, made in 1864 of a painting by James Scott in the United Services Club. It was later published in London.  \nCourtesy Toronto Public Library JRR 160 T 1495.\n\nA further group of thirty-nine paupers (eight families) from Stockbury Parish in Kent County were assisted to emigrate in 1837 to Whitby Township (Ontario County), but they had apparently been somewhat reluctant to leave (Table 6). The Reverend Twopenny, who organized their departure, claimed that their connections with already-established Stockbury people living in \"New Whitby\" made them more receptive to the idea: \"Now they really desire to [go]... and more would go next year. Some are respectable and some we shall be glad to be rid of.\" Perhaps there was an element of truth in Twopenny's final comment.\n\nThree years earlier, some Stockbury paupers had placed conditions on emigrating \u2014 possibly sensing the parish's desire to be rid of them. Jesse Stunden said he would emigrate with his wife and eight children \"on condition that the parish will pay the expenses of the passage and \u00a350 on his landing in America\" \u2014 the parish agreed to offer \u00a330 and he is to consider; James Burn said he \"would emigrate with his wife and four children if the passage was paid and he was given \u00a330 on landing\" \u2014 the authorities offered \u00a318, which he declined initially, but later changed his mind; George Kitney, a single man, wanted his passage plus \u00a35, but the parish only offered \u00a33, which he declined.[36] These paupers would only emigrate if sufficient money was offered. Certainly the parish had been very generous in funding the 1837 group, which was given expenses of about \u00a3250 \u2014 roughly \u00a330 per family \u2014 to cover the cost of passages and a clothing allowance.[37] Five years later, the Quebec immigration agent noted the arrival of around 240 paupers, mainly from Kent, many of whom planned to settle with friends who were already ensconced on the northwest side of Lake Ontario or to the west of Hamilton. They also were well-funded, having \"received a free passage to Montreal with two day's provisions, and 20s. to each adult on leaving the ship.\"[38]\n\nAs was very much in evidence in Kent, changing work patterns and a growing economic recession were creating particularly distressing conditions for the poor in some English counties. On his travels through Somerset during the 1820s, the anti-emigration campaigner William Cobbett called at the town of Frome, where he noticed \"between two and three hundred weavers, men and boys, cracking stones, moving earth and doing other sorts of work, towards making a fine road into the town.... These poor creatures at Frome have pawned all their things, or nearly all. All their best clothes, their blankets and sheets; their looms, any little piece of furniture that they had, and what was good for any thing.\"[39] Cobbett, who believed that he was championing the cause of the English agricultural labourer, railed against schemes that removed able-bodied workers while leaving behind what he called \"the idlers, pensioners, and dead-weights.\"[40] Like many others, he argued that labourers, no matter how poor, were the life-blood of the country and that under no circumstances should they be assisted to leave. However, believing in a golden age that had never existed, he was somewhat removed from reality. In addition to the continuing demise of traditional agricultural labouring jobs, the decline in local woollen cloth-making was throwing even more people out of work, thus intensifying the already high level of social distress.[41] There was a surfeit of destitute labourers and cloth workers who needed help, and emigration at least offered the hope of a new start and a better life.\n\nThe parish of Corsley in Wiltshire, just to the east of Frome, was the first to opt for assisted emigration, doing so in 1830, raising \u00a3300 in assisting sixty-six of its paupers, with some of the money being provided by local landowners. The parish of Frome followed suit in 1831, spending \u00a3300 on funding the emigration of eighty-five poor people:[42]\n\n> Around 200 people including their families had applied and from these were selected 13 heads of families, 13 married women, 4 young men under 20, 27 daughters and 28 sons going with their parents.... No influence was used... everyone went entirely of his own free choice, with local people helping them with provisions and clothing; In the night of 21st March, 1831, 85 men, women and children left with their baggage set out in seven carriages, preceded by a band of music. Three proper persons accompanied them to preserve order and attend to their wants.... The women were in tears at the thought of parting forever from their native country.[43]\n\nApparently, one family went back to Frome, \"where they were received as unwelcome visitors, having prevented others from going who would have gladly taken their places.\"[44] Correspondence from the Frome immigrants, which must have been highly favourable, was widely circulated and had the desired effect of helping to stimulate further emigration. In the following year, 156 paupers emigrated, costing the parish \u00a3600, with many being related to people in the earlier group.[45] Their letters home, written in 1831 and 1832, were published by J.O. Lewis, one of several local proponents of Frome emigration.[46]\n\nThe 1830 departures from Corsley had been an important catalyst in the sense that a substantial number of people from the neighbouring parishes of Frome in Somerset, and Horningsham and Westbury in Wiltshire emigrated more or less immediately afterward. Between 1830 and 1832, the Corsley\/Frome area lost around eight hundred poor people, mainly to Upper Canada, all of whom were assisted by their parishes.[47] While most originated from the parishes closest to Frome and Corsley, smaller numbers of people came also from the nearby Wiltshire parishes of Knook, Heytesbury, Warminster, Longbridge Deverill, Maiden Bradley, and Chapmanslade.[48] Judging from a surviving list of the Heytesbury and Knook people who were assisted, the men in the group were employed mainly as labourers, cloth workers, and shoemakers (Table 7).[49] No doubt, the favourable letters written in 1830 by the first Corsley group, which were published soon after by G. Poulett Scrope, MP for Stroud, helped to attract followers from the surrounding area. This letter, written by William Singer, a former bricklayer, is a typical example:\n\n> If any of my old acquaintances is got tired of being slaves and drudges tell them to come to Upper Canada to William Singer and he will take them by the hand and lead them to hard work and good wages and the best of living. Any of them would do well here.... We have eight English families within about two miles, all from Westbury or Corsley Wiltshire].[[50]\n\nAlthough most of the Wiltshire and Somerset paupers, including those from Corsley and Frome, went to the Talbot settlements in Elgin County farther to the west,[51] some settled in the newly surveyed areas in Dummer and Douro townships in Peterborough County. And people like Levi Payne did astonishingly well. Having emigrated to Dummer with his wife and extended family, including his brothers from Frome, Levi had acquired a gristmill, sawmills, a general store, and a farm by 1839.[52] Judging from John Langton's observations in 1835, it would seem that the Wiltshire and Somerset paupers went mainly to Dummer. When he saw the area, it was \"only lately, but tolerably, well settled \u2014 one settlement is of English, another of Scotch, and there are a good many Irish.\" But Douro had \"Peter Robinson's settlers\" in its southern part, who, having arrived in 1827\u201328, \"are more prosperous than in other parts.\"[53] Langton's failure to mention any English in Douro suggests that few went there.\n\nAt this time a great many Wiltshire and Somerset paupers were also being sent to equally remote situations in Simcoe County, where they settled alongside people from Yorkshire.[54] In all, a total of three thousand people (430 families) were reported to have been relocated to Oro, Dummer, and Douro townships during 1831\u201332.[55] Mary Sophia (Gapper) O'Brien, from Charlinch in Somerset, came upon their communities in Oro when she visited in the 1830s:\n\n> Now for the first time I saw quite a new settlement. We passed on for two miles through a road just cut out on each side of which at short intervals were log houses of a very respectable class. Some were finished externally but almost all stood completely in the forest. In some places there was perhaps an acre or two chopped, but generally hardly so many trees seemed to have fallen as were necessary to construct the buildings.... In five or six years every house will be surrounded by a productive farm. Most of these settlers are farmers from England.[56]\n\nHaving come to Thornhill in Vaughan Township (York County) in 1825 with the intention of visiting her brothers for a couple of years, Mary decided to remain in Upper Canada permanently after meeting Edward O'Brien, a half-pay officer who had emigrated in 1829. After their marriage the following year, the O'Briens lived near Thornhill, and three years later built a new place for themselves on Lake Simcoe, in Oro Township, at what came to be called Shanty Bay.\n\nMeanwhile, a steady stream of labourers and servants continued to leave Wiltshire for Upper Canada throughout the 1830s, having been assisted in each case by their parishes.[57] James Whalley and his wife and three children, who came from Longbridge Deverill, emigrated to Peterborough \u2014 since he \"had children there.\"[58] Some thirty-six paupers from Durrington, forty-five from Whiteparish, and forty-five from Purton were assisted to emigrate in 1835\u201336,[59] while another batch of twenty-one left Purton in 1837 \u2014 included in their number were a sixty-year-old widower and a couple with nine children.[60] A total of 117 paupers from Brinkworth, a parish adjoining Purton in North Wiltshire, left between 1842 and 1852 on four vessel crossings, although no indication was given of their final destination (see passenger lists in Tables 8\u201311).[61] However, a letter written in 1844 by James Whale, who had emigrated from Brinkworth at his own expense, provides a clue as to their possible whereabouts. James was desperate to have his wife join him in Brampton (Chinguacousy Township in Peel County), at the west end of Lake Ontario:\n\n> My Dear Wife... I can tell you that this country is not so well as some people talk about, but it is better than England, for people do get a living and the longer I stop here, the better I like it. I can get a fair living here with perseverance and I think it would be running away from the hand of Providence for me to come to England to live; so my dear Wife and son I hope you will come to this country as soon as you possibly can.... My dear Wife, you said you could not come of your own strength, this I know, but I hope the respectable gentlemen of Brinkworth will be kind to you as they were to those who came out last year... but if you do not come after all my exertions, I must come back again but if my family were here I do not want to come back.[62]\n\nAlthough James had been able to pay his own way, he could not afford to bring his wife and son, who had to seek help from their parish. Judging from the inclusion of Jane and Thomas Whale in the list of people who had sailed for Quebec in the 1843 group, it would seem that his \"dear wife\" was already on her way to Brampton Township before James had written his letter. It was fairly common for men to leave their wives and families behind in this way, and Brinkworth Parish did what was expected and agreed to finance Jane and Thomas's expenses in the belief that this \"would be beneficial to its interests as well as promote the welfare of the emigrants.\"[63]\n\nUpper Canada acquired another large group of English people during the early 1830s whose story was particularly sad. The heads of households were Chelsea pensioners and in a category all of their own.[64] As wounded British Army war veterans, they had been granted pensions. Foolishly, many agreed, under encouragement from the British government, to have their pensions commuted to a lump sum to fund their relocation to the New World.[65] A cynical and contemptible policy that enabled the War Office to reduce its pensions bills, the result was misery and chaos for the hapless thousands who were persuaded to leave England.\n\nBetween 1830 and 1839, at least four thousand Chelsea pensioners, who were mainly English, commuted their pensions for cash. Of these, some 3,200 emigrated to British America (mainly Upper Canada), with most aged between forty and fifty.[66] Sir John Colborne made arrangements for the first group of 1,700, who came to Upper Canada in 1832, to have land in either Middlesex, Simcoe, Victoria, or Peterborough counties.[67] Most ended up in Dummer (Peterborough County) and Medonte (Simcoe County) townships, with some also settling in Emily, Eldon, and Ops townships (Victoria County) and Nottawasaga Township (Simcoe County). However, little care had been taken in selecting people for the scheme and, except when pensioners had a robust young family to help them, they floundered. Mrs. Anna Jameson, who travelled from London to Port Talbot in 1837, was horrified to learn from the Upper Canada emigration agent that half of the Chelsea pensioners were afflicted in some way: \"some with one arm, some with one leg, bent with old age or rheumatism, lame halt and even, will it be believed, blind!\"[68] Inevitably, many ended their days in great distress.\n\nIn 1833, Colborne received a petition from fifty-five pensioners settled in Medonte (Table 12), and another from sixty-three pensioners who had gone to the Newcastle District (Peterborough, Northumberland, Durham and Victoria counties) requesting aid \"to relieve them from their present indescribable destitute situation. The greatest part of your petitioners are, from want of means, wounds, and bad health rendered unfit to provide for their helpless families.\"[69] Some had immediately taken up work building roads and shanties, having already spent their commutation money before leaving Quebec. When the work was finished, they went to the towns and cities with their families to beg in the streets or receive charity. However, some four or five hundred had successfully established themselves on their lands, and by 1835 it was reported that those who were healthy, industrious, and sober were doing well. They faded from sight, but \"the troublesome, improvident men remained to plague the community as public charges.\"[70] Also to their credit was the staunch support the pensioners gave to the authorities during the 1837 uprising:\n\n> During the late disturbances Rebellion of 1837], the commuted pensioners capable of bearing arms, without a single exception, came forward in defence of the province... many of them travelled for miles without shoes, their feet being protected by such old clothing as their circumstances could supply... in the depth of winter, to offer their services. Whatever vices they may possess, they have always shown they are faithful subjects.[[71]\n\nHowever, irrespective of their patriotic tendencies, the Chelsea pensioners should never have been encouraged to emigrate. Many of them thought that they were giving up their pensions for four years only and would receive them again. Colborne recommended that their commuted pensions be restored, as did the Upper Canada Assembly, but to no avail. In 1833, Colborne had ordered the cessation of the scheme and decreed that the saddest cases be moved to Penetanguishene, where they were put under the protective wing of an army officer.[72]\n\nYet the pensioners' plight could not be swept aside so easily. When Lord Durham[73] received Edward Shuel's petition in 1838, he realized that more had to be done. This was a man with a wife and six children who was incapable of work because he was paralyzed on one side of his body from a wound received during twenty-three-years' service in the army. Lord Durham demanded that his and other army pensions be restored immediately. Although this did not happen, at least a system of poor relief was established. When aid was first distributed in 1840 there were 654 Chelsea pensioners still resident in Upper Canada, representing only a quarter of the original group, the rest having already died.[74]\n\nWhile the Chelsea pensioners could not have been handled more ineptly, the emigration schemes devised for the 1,800 men, women, and children from the West Sussex estate of George O'Brien Wyndham, the third Earl of Egremont, were exemplary. They came to Upper Canada between 1832 and 1838 from over one hundred parishes, having had their departures organized by the Petworth Emigration Committee, under the benevolent leadership of Thomas Sockett, the rector of Petworth. Although most originated from West Sussex, especially the Petworth area, they also included seventy-seven people from Dorking in the neighbouring county of Surrey, as well as people from East Sussex, the Isle of Wight, Cambridgeshire, and a scattering of parishes across southern England.[75]\n\nOnce established, the Petworth immigrants wrote a total of 144 letters from Upper Canada, emphasizing its work opportunities and other benefits. Judging from their addresses, most can be placed in the southwest of the province, although an appreciable number also settled in York, Peel, and Halton counties, on the northwest side of Lake Ontario. However, if John Langton's information is correct, another group must have gone to Victoria County: \"Thirty two families of old Lord Egremont's people, 250 in number, are to be sent this year 1835] to the land between Balsam Lake and Lake Simcoe and are to open up the road that has been laid out there.\"[[76]\n\nThe Petworth immigrants seemed to have been particularly well organized and showed every sign of taking the first opportunity that presented itself, whatever it might have been. Those who went to the long-established townships on the western side of Lake Ontario were able to find farming work very easily, most having considerable agricultural skills. They could thus obtain useful work experience and use the money they earned to buy land and eventually become farmers in their own right. This more enlightened approach replaced Colborne's earlier policy of encouraging assisted immigrants to become instant farmers by locating them on wilderness land and supervising the beginnings of their settlements. This well-intentioned but impractical paternalistic approach failed to recognize that newly arrived immigrants needed time to adjust to their new environment; only then could they fully realize what might be achieved and what their actual options were.\n\nWilliam Wright from Dorking found that \"after coming to York Toronto] I was only three days idle, when I found work about 20 miles from York, where I worked 13 days on the road at the rate of 2s. per day and board.\" Three days later he was approached by William Dornorman, a farmer from Nelson Township (Halton County), who hired him for a year at an annual wage of \u00a322.[[77]\n\nWilliam Spencer from Linchmere in Sussex also had a smooth entry into Nelson: \"I have hired with Mr. Truller by the year and I am getting good wages; and if you feels any ways inclined to come I think it would be better for you for I think you will get a better living here than you ever will in England.\"[78]\n\nBut James and Mary (Tilley) Boxall from Petworth warned people with a drink problem not to come:\n\n> A man can get a good living by working hard and enduring a great many hardships for the first year or two till he can get his land cleared and raise his own provisions.... I think it would be folly for persons who are doing comfortably at home to come to Canada.... There is one great evil I am sorry to say in this country. A great many write about the cheapness of whiskey but they say nothing about the evil of it; so I would not advise any who are given to drink to come to this country for they will do worse here Nelson] than at home.[[79]\n\nMeanwhile, James Helyer from Halsemere in Surrey, who was happily ensconced in Toronto Township (Peel County) by 1833, wrote to a friend with a ringing endorsement of the area:\n\n> Those who emigrated to this country a few years ago, though poor and having to undergo many privations, are now in a state of comfort and independence having fine farms cleared plenty of stock and all the necessaries of life in abundance; but earn it by the sweat of their brow. But there is one comfort enjoyed here, that taxes are a mere trifle: and as to the hateful tithe system and poor rates they are unknown this side of the Atlantic.[80]\n\nObadiah Wilson, one of a small group from Bassingbourn Parish in Cambridgeshire who travelled with the Petworth Emigration Committee in 1832, went on to acquire a home farm in Whitby Township and numerous other land holdings in Scott and Reach townships, together with a hotel and even more property in the village of Udora, farther to the north. Obadiah, a remarkable example of a poor man who made good, ended his days with an estate valued at $24,000.[81]\n\nMeanwhile, a group of Petworth immigrants from Walburton in West Sussex effectively created a New Walburton for themselves at Thornhill in Vaughan Township (York County). Already having local contacts, new arrivals could all the more easily find work. When Frank Mellish arrived in 1835, \"Thomas Messenger came on board the steamer and gave directions where to find George Wells and the two Birchs and I have been at work for George Wells ever since. William] Cole is working just by and Charles Leggatt is working about three miles from here.... Mr. Birch, Mrs. Norris, G Wells and all the Walburton live close together.\"[[82]\n\nA year later, John Ayling provided a further progress report on the growing Walburton community:\n\n> George Leggatt is at work about one mile from Thornhill, he has $8 a month and his meat; John Norris and George Booker are] about 10 miles from George Lintot; George has $10 and John $8 a month. George Cole is with George Wells. Charles Richards is about 12 miles from George. John Millyard is 11 miles from here; he has gone apprenticed to a carpenter. Thomas Norris has got a place and has hired for a month. Richard Cooper is at work for Mark Messenger and Cornelius Cook is at work at Toronto as a butcher's boy; he has not been up to Thornhill at all. Ruth Leggatt is with Edmund Birch and I have hired up at Newmarket for $11. I have got a very good place about 18 miles from George Lintot.... I don't work hard but lives very well, that is \u00a32 15s. a month and my board and lodgings, that is better than working in England.... Never be afraid to come to America, don't be afraid to come, you will do better here.[[83]\n\nWriting from the city of Toronto, John Barnes from Petworth asked his family to \"tell all my old work-mates that enquire after me that if I had known what America had been I would have been there some years ago.... I can earn more money in about 5 or 6 months than at home in a whole year.... Dear brother Henry if you had come out with me it would have been the best thing... I could have got a place for you with the same gentleman that I am working for; he has got a farm about 10 miles from Toronto which is about 200 acres and about 50 of it cleared.\"[84]\n\nIn a similar vein, Edmund Birch, another Walburton immigrant, had this rather sardonic message for his former employer in Sussex: \"I have got a good place farming for an English gentleman, my wages are \u00a34 2s. 6d. per month... when you write I should like to hear of my old master: tell him this is a good place for farmers, but they must not think to do here as they do at home, telling men if they do not like it they may go, for the master here must humble more to the men, than the men to the master.\"[85] However, some people, like this anonymous letter-writer from Toronto, clearly disapproved of the Petworth Emigration Scheme:\n\n> No-one would come here if they knew how things are; here the labourer has to work a great deal harder than in England and after all cannot get his money. This has happened with several poor fellows who came out in the same ship with me.... If the people knew what poor emigrants have to go through there would not be many come to Canada.\"[86]\n\nThe letter was published in the Brighton Patriot, a Sussex newspaper, with the clear intention of casting doubt on the favourable reports being sent from Upper Canada. It went on to allege that the Petworth immigrants \"were treated like convicts\" during their sea crossing and claimed \"that the captain insulted the passengers, got drunk, fought with an Irishmen and kicked a defenceless boy.\"[87] No doubt, Upper Canada did not have universal appeal, but the success of the emigration scheme was beyond question. Thomas Sockett wasted no time in refuting the writer's wild claims and inaccuracies, but the letter is a reminder that there was still some ongoing resistance throughout England to the policy of assisting poor people to emigrate.\n\nOf course, Sussex emigration was not restricted to paupers. The Hemsley family, who arrived at Belleville in Hastings County around 1840, is but one example of the many Sussex emigrants who would have came to Upper Canada totally unaided. Dinah Bishop, widow of Richard Hemsley, advised her daughter, still in Sussex, that \"a man with any kind of trade will do better here than there England]; or a labouring man or a man that understands farming will do much better here than there. A strong healthy industrious man with almost any trade can live comfortably and save much property. But then I have heard some discontented people that are doing well in this country say they wished they were back home again without any apparent reason whatever.\"[[88] Her son-in-law, William Packham, was adamant that he \"does not want to return to England to live but would like to visit.... This is a flourishing country and is improving fast.... They are now building a college in Belleville] which will cost over \u00a36,000 and an English church which will cost nearly as much.\"[[89] However, ever-present concerns over excessive drinking prompted James Hemsley, Dinah's son, to inform his brothers and sisters in England that \"we can live here as cheap as you can there, but lots drink their time away here and some go to a drunkards' grave.\"[90]\n\nAnother exceptionally large group of paupers who were assisted to emigrate in the 1830s originated from rural districts of East Anglia, but unlike the Petworth immigrants, they left little documentation behind.[91] Much of the emigration from this region was being encouraged and directed by William Cattermole, the region's principal Canada Company agent. His fervour in promoting its lands in the southwest of the province was phenomenal. Having spent three years in Upper Canada, he had first-hand experience of its opportunities and used his extensive lecture program to hammer home the merits of emigration. He was instrumental in directing 1,200 people from Norfolk, Suffolk, Kent, and Essex to Upper Canada in 1831, concentrating his efforts in districts with high unemployment.[92]\n\nParish-assisted farm labourers from Norfolk dominated the exodus that followed, accounting for 58 percent of all pauper emigration in 1835\u201336. A smaller Suffolk contingent that also relied on public funds left at this time as well, representing 15 percent of the total.[93] Around one-third headed for the Eastern Townships in Lower Canada, leaving 2,043 people from Norfolk and 556 from Suffolk who mainly went to the southwestern peninsula.[94] However, at least one Norfolk group is known to have settled along Lake Ontario. Parish-assisted emigrants from Swaffham went to Port Hope (Durham County) in 1835, joining an already-established Swaffham group who had arrived three years earlier.[95] They were followed in 1837 by people from the neighbouring parish of Beachamwell, who also settled at Port Hope.[96] Meanwhile, small groups of paupers from Haddenham Parish in Cambridgeshire were assisted to emigrate in 1834 and 1836,[97] and similar help was being given at the time to poor people from Widdington, Wimbish, Debden, and Steeple Bumstead parishes in northwest Essex.[98]\n\nThe directional flow of emigrants from England had changed once again by the 1840s. Some 57 percent of all departures began in Liverpool, with ports in Yorkshire, Northumberland, Durham, and Cumberland playing little part in the embarkation of emigrants during this and later decades. However, this was also a period when emigration from southwest England surged ahead, with 23 percent of all departures in the 1840s being drawn from this one region. Most of the emigrants originated from Cornwall, and they mainly settled along the western half of Lake Ontario between Port Hope and Toronto (Map 13).\n\nA distinguishing feature of West Country emigration was that it was almost entirely self-financed. A trickle of people arrived during the 1830s, with the Cornish-born Peter Coleman being a typical example. He emigrated with his wife Elizabeth Tamblyn in 1831 when he was twenty-nine. Living in Hope Township (Durham County) initially, he and his family later moved to Bowmanville (Darlington Township) and Peter went on to acquire extensive properties in the town by 1861. His Cornish father, John, a Wesleyan lay preacher, was buried in Bowmanville Cemetery, having emigrated at the age of sixty-three.[99]\n\nHenry Elliott, a native of Cornwall, also emigrated in 1831 at the age of twenty-two, working first at a gristmill in Port Hope. Nine years later he moved to Hampton, a place which would eventually take its name from his birthplace of Kilkhampton. Founding \"Elliot's Mill,\" later known as \"Millsville,\" he became a highly successful entrepreneur and farmer. Having established a sawmill in 1840, then a gristmill in 1851, he opened a general store that same year, which included a post office and tailor's shop. Twenty years later his store would employ three people and produce $2,195 worth of goods annually.[100]\n\nThen there was Peter Davey from St. Neot in Cornwall, who also emigrated in 1831, settling in Cobourg (Northumberland County). His cheerful letter home a year later emphasized both the hard grind and benefits of his new life:\n\n> My dear friend, I should have written to you before, but not having seen sufficient of this country, I thought it better to delay my letter until I had, that I might be more certain of stating the truth.... Soon after my arrival I bought a lot of land (two hundred acres) for which I gave \u00a3275; the wood will nearly pay for the land and clearing. We can make 6s. 3d. per cord for wood and 6 dollars per hundred bushels of coals probably charcoal].... I have burned one pit, and there is a good sale as the smiths all work with them. Everything grows well; the soil is rich and will bear many crops without manure. Cucumbers, pumpkins and water melons grow in the natural soil here, in the season, better than in hot-beds in England, Wheat, Indian corn, pease and potatoes also produce a fine crop.... Land is getting up and the country is improving very fast. I shall have forty acres of wheat next year, and having no rent to pay, no poor rates, no tithes, no church rates, no land tax, and only about 5s. a year to the government, I may fairly hope to do well; but it is useless for idlers and drunkards to come here, as they will be sure to starve. Industrious labourers can support themselves and their families well; wages are from 3s. 9d. to 5s. a day. Tell Masllett and Keast that if they could get here their families would soon cease to be a trouble to them. We live in great harmony, so much so that we care little about locking our doors by night; in truth, I would not return to England if I could have the land of the estate I rented in St. Neot given to me.[[101]\n\nBible Christian Church members, Bowmanville, 1865. An offshoot of Wesleyan Methodism, the Bible Christian movement was founded in Upper Canada in the 1830s.  \nCourtesy Archives of Ontario, Acc. No. 2588 S 152.\n\nWilliam Hore and family, who emigrated around 1830, were near neighbours of Peter, and living just north of Cobourg at Camborne, a place named after Camborne in Cornwall. Having acquired 106 acres of wilderness land, William eventually had his own farm and also built a sawmill.[102]\n\nWith the deepening economic depression being experienced during the 1840s in the West Country, especially in its agricultural sector, prospects for ordinary workers were grim.[103] Glowing reports from family and friends living in Upper Canada offered hope, and emigration numbers began to soar.[104] In 1840, Alexander Buchanan, the Quebec immigration agent, noted that 146 \"very respectable people\" had arrived from the Cornish port of Padstow: \"They are all going to settle in the township of Whitby Ontario County] and near Port Hope [Durham County] in Upper Canada.\"[[105] In September of that same year, Buchanan noted fifty-eight more Cornish people, \"chiefly mechanics and farmers,\" who had sailed from Padstow. Some would seek work in Montreal, but most were heading for the townships of Asphodel (Peterborough County) and Darlington (Durham County).[106] By the following year, arrivals from Padstow tripled to six hundred.[107] They included Henry Pedlar and family, who stayed briefly at a farm in Whitby Township before settling in the later town of Oshawa. Henry Pedlar prospered, as did his son George, who founded the Oshawa Sheet Metal Works.[108]\n\nBy 1842, some Cornish emigrants were being assisted by their parishes. All together, the parishes of St. Agnes, St. Blazey, St. Columb Major, Cuby, St. Eval, Mawgan, and St. Merryn assisted thirty-seven people to reach Upper Canada that year, while in the following year sixty-three people from St. Columb Major, St. Issey, and South Petherwin also received help.[109] According to Buchanan, the 1843 group arrived at Quebec in a destitute state:\n\n> Two families received \u00a320, one \u00a315, one \u00a38, three \u00a36 and one \u00a35 to aid them in preparing for their voyage, and towards paying their passage and providing food. One other family was assisted out of charitable funds to the extent of \u00a34. They are going to join their friends in the township of Whitby. These families had expended their means and landed here destitute, not one of them being able to pay their passage even as far as Montreal. The heads of three of the families were stone masons and one a joiner; but no immediate employment for them offering here, and all having large families, I furnished them with a free passage to Montreal.[110]\n\nAbbey House in Padstow. Emigrants paid their fares at this building. Between 1831 and 1860 a total of 6,200 people sailed from Padstow for Quebec; in 1841 Padstow was the third most important departure port for Canada, surpassed only by Liverpool and London.  \nPhotograph by Geoff Campey.\n\nMore poor Cornish people \"of the labouring class\" arrived at Quebec in 1846 with the intention of settling on the northwest side of Lake Ontario, \"where they have friends.\" Buchanan reported that a large number required assistance to enable them to proceed west, with \"36 adults and 47 children forwarded free by this office.\"[111]\n\nWhile those requiring help attracted documentation and attention, it should be remembered that the majority \u2014 people like John and Mary Clemence from Pelynt Parish \u2014 paid their relocation costs themselves. They emigrated in 1849, settling near Port Perry in Reach Township (Ontario County).[112] Another couple, Edmund Allen and his wife Jane from Mevagissey, settled the following year in Smith Township (Peterborough County), where they joined large communities from Cumberland and Ireland.[113] The many Cornish people whose names appear in a Women's Institute survey as having emigrated to Upper Canada during the 1840s and 1850s each paid their own way, and there would have been hundreds more like them. The survey also reveals the extent to which the Lake Ontario region attracted people from Cornwall. The majority of the Upper Canada destinations that are recorded lie between Cobourg and Whitby.[114]\n\nMost of the English who came to the central region of Upper Canada failed to leave much in the way of documents behind. Fragmentary glimpses pinpoint obvious regional trends, such as the strong Yorkshire and Cornish presence in this region. The English were scattered far and wide, but they also formed important settlement clusters along the west side of Lake Ontario. People with English ancestry were predominant in Durham, Ontario, and York counties, and by 1881 accounted for around 45 percent of the total population in each county. People of English descent were particularly prominent in the townships of Darlington (69 percent) and Clarke (48 percent) in Durham County, and in the townships of Whitby (57 percent) and Pickering (47 percent) in Ontario County. Although some of the English presence can be attributed to the early influx of Loyalists and later Americans having English ancestry, emigration directly from England was clearly the dominant factor.\n\nSince the 1820s, the Lake Ontario region had become a magnet for North of England settlers, especially for people from Cumberland and Yorkshire; but by the 1830s it began to draw its English settlers more or less in equal numbers from the north and south of the country. The major Cornish influx of the 1840s helped to concentrate the English presence even more strongly in York and Ontario counties, while extending the contribution to the population made by the English farther east, as far as Peterborough and Northumberland.[115] Also, with the exception of Norfolk and Suffolk immigrants, who, in some years, were mainly paupers, most of the English who settled in this region had financed their own departures. Somerset, Wiltshire, and Yorkshire paupers contributed significantly to the populations of the more remote areas of Simcoe and Peterborough counties, especially Vespra and Oro townships in the former and Dummer in the latter, while Sussex and Kent paupers were particularly prominent in well-settled areas of Ontario and York counties.\n\nUpper Canada was not colonized in strict chronological sequence from east to west as might have been expected. Loyalist communities on the eastern side of the province were the first to take shape, doing so from the mid-1780s; but the extreme west of the province also had its Loyalists and it also attracted early settlers from Britain, who began colonizing the north shore of Lake Erie beginning in the early nineteenth century. Southwestern Upper Canada had attracted the government's attention because of its vulnerability to attack from the United States. As a consequence, it had granted large tracts of land in the region to proprietors who intended to promote colonization. One of the best known was Colonel Thomas Talbot, an Irishman who ruled his domain with a rod of iron.\n\nTable 4:\n\nPayments Made to People from Alston Parish (Cumberland)\n\nWho Are to Emigrate to Upper Canada in 1832\n\n[CAS D\/WAL\/7\/D]\n\nA Sum of \u00a35, out of the above Balance has been promised to a family of the name of Wharton, who have not yet got off.\n\nTable 5:\n\nEmigrant Departures from English Ports to Quebec by Region, 1820\u201359\n\n[Source: Newspaper Shipping Reports, British Parliamentary Papers]\n\nTable 6:\n\nPaupers Assisted to Emigrate from Stockbury Parish (Kent)\n\nto Upper Canada in 1837\n\n[CKS P348\/8\/1]\n\nTable 7:\n\nPaupers from Heytesbury and Knook Parishes in Wiltshire\n\nWho Sailed March 1831 in the Euphrosyne from Bridgwater\n\n[CO 384\/28 40\u20131, 48\u201350]\n\n*All were assisted except for James Payne who paid his own expenses.\n\nTable 8:\n\nPaupers from Brinkworth Parish in Wiltshire Who Sailed from\n\nLondon to Quebec in July 1842 in the Eliza\n\n[WHC 1607\/71]\n\nTable 9:\n\nPaupers from Brinkworth Parish in Wiltshire Who Sailed from\n\nLondon to Quebec in May 1843 in the Toronto\n\n[WHC 1607\/71]\n\nTable 10:\n\nPaupers from Brinkworth Parish in Wiltshire Who Sailed from\n\nLondon to Quebec in May 1847 in the Lloyd\n\n[WHC 1607\/71]\n\nTable 11:\n\nPaupers from Brinkworth Parish in Wiltshire Who Sailed from\n\nLondon to Quebec in June 1852 in the Leonard Dobbin\n\n[WHC 1607\/71]\n\nTable 12:\n\nDestitute Chelsea Pensioners Who Had Settled in Medonte Township in Simcoe County by 1833* [Aitken, \"Searching Chelsea Pensioners in Upper Canada and Great Britain,\" Part I, 120\u201321]\n\n*All were listed as being in \"absolute distress.\"\n\n# Chapter 7\n\nThe Lake Erie and Thames Valley Settlements\n\n> At one time, St. Thomas, which might very well be considered the capital of the Talbot] settlement, was the head-quarters of a numerous party of English emigrants, who had been tenant farmers, small landed proprietors, and tradesmen. There could be no mistaking them, they were genuine Englishmen; for if their dialect did not convince you of this, their John bullism was sure to do it. They had grumbled themselves out of England, and the same spirit accompanied them to Canada.[[1]\n\nTHESE ENGLISHMEN, LIVING in the town of St. Thomas, impressed fur trader and author Edward Ermatinger with their \"John Bull,\" no-nonsense approach to life. It was just as well that these settlers had some backbone, since much of their world at the time would have been controlled by the tyrannical Thomas Talbot. This \"short and strong-built man, with a ruddy face and an aquiline nose\" managed colonization activities throughout Elgin County and much of Middlesex, Kent, and Essex.[2] Adopting the mannerisms of a British lord, and having the air \"of a military officer of distinction,\" he was clearly a formidable character.[3] To some he was a gentleman with social graces, but most people thought him high-handed, having a \"total disregard, or rather total ignorance, of the feelings of others.\"[4] Unlovable though he was, there was a practical side to his character. Having superb supervisory skills, he eventually became Upper Canada's most successful settlement promoter.\n\nThomas Talbot (1771\u20131853), army officer and colonizer. He died at the age of eighty-one and is buried in the Anglican cemetery at Tyrconnell near Port Talbot in Dunwich Township.  \nCourtesy Archives of Ontario, S1362.\n\nAs private secretary to Lieutenant Governor Simcoe from 1792\u201394, Talbot had been able to travel widely across Upper Canada.[5] His visits to the north shore of Lake Erie opened his eyes to the region's enormous settlement opportunities. By 1803 he had obtained a field officer's grant of five thousand acres in Dunwich and Aldborough townships (Elgin County), but settlers were slow to arrive. Understandably, the ongoing Napoleonic Wars (1803\u201315) and the War of 1812\u2013145 had impeded emigration, but the British exodus grew afterward, and by 1817 Talbot had signed up 840 families.[6] Ignoring the original terms of his grant, he soon extended his superintendence of land settlement to vast areas outside his original holding. The provincial government acquiesced, and even allowed Talbot to privately allocate land without registering transfers through the Surveyor General's Office.[7] So Talbot became a law unto himself, eventually acquiring supervisory control over twenty-nine townships, totalling just over half a million acres, along Lake Erie and in the Thames Valley.[8] His \"Princely Domain\" extended more than 130 miles, from Long Point in Norfolk County to the Detroit River and north to the boundary of the Huron Tract (Map 14).[9]\n\nFrom his command centre \u2014 a large log house situated on a cliff above Lake Erie \u2014 he masterminded the agricultural and commercial development of the townships entrusted to his care. He made little effort to locate or recruit settlers, but merely accepted or rejected those who came to him. And although he was renowned for his eccentricities and \"despotic habits,\" he got results.[10] He had been fortunate in acquiring good land and wise in anticipating that settlers needed to be set clear land-clearance goals. Lots were granted to \"persons of wholesome habits and moral character,\" who were allowed to select their own locations.[11] He offered each settler a free grant of fifty acres, conditional on the building of a house and the sowing of ten acres within three years.[12] The settler had to clear half of the road in front of his lot as well as one hundred feet adjoining it. Talbot's pencilled notes were the only records kept and only he could understand them. If settlers met his conditions, they could buy additional land; if not, they were forced to vacate. When ousted, he simply erased their names. Thus his terms were clearly stated and ruthlessly monitored.\n\nRealizing the importance of good transport links, he spent considerable sums of his own money on road-building. By the 1820s, his settlers had built a three-hundred-mile stretch of the Talbot Road linking Sandwich (later Windsor) with Aldborough and Dunwich townships.\n\nAccording to Edward Ermatinger, the people Talbot first attracted as settlers were from the United States or other parts of Upper Canada, \"but in the process of time, old countrymen from England, Ireland and Scotland, came in considerable numbers...\"[13] The English settlers apparently \"blustered and swore in a manner quite novel to the old settlers,\" and were initially quite condescending and disapproving of \"everything outside of England\"; but they became \"subdued\" once they experienced their first Canadian winter:\n\n> Many of the English settlers, however, are among the best, and most wealthy farmers of this and every other part of Canada. They soon become acclimated, and enjoy a degree of freedom and independence not exceeded, if attained, in any other part of the world. Thousands of them, who might have lived in the old country all their lives, without ever being the owners of horses and cattle, have them here in abundance, besides being the proprietors of valuable freehold estates.[14]\n\nApparently, Thomas Talbot believed that the \"English are the best,\" preferring them to the Scottish Highlanders, who \"make the worst settlers.\"[15] Talbot's disapproving eye also extended to the many Irish people who were living in his domain \u2014 \"He disliked them almost as much as he did the Scots.\"[16]\n\nThe \"tenant farmers, small landed proprietors, and tradesmen\" noted by Edward Ermatinger as having settled in St. Thomas were undoubtedly reasonably affluent people who had funded their own emigration costs; but they were only one strand of the English influx. Throughout the 1830s the Talbot settlements had also attracted a considerable number of poor labourers from Wiltshire and Somerset, who relied on financial assistance from their parishes. Southwold Township (Elgin County) attracted the first group of sixty-six people from Corsley (Wiltshire) in 1830. They appeared to have been influenced by favourable feedback from Joseph Silcox, a Congregational minister and glazier who had emigrated much earlier. Leaving Corsley in 1817, he relocated himself to Southwold at his own expense.[17] \"A ragged Christian of the Calvinist type, with an iron frame who made the forest resound with both his axe and his exhortations,\" the Reverend Silcox soon found the place to his liking.[18] His next move was to persuade his family to join him, although this took some time. Having returned to England in 1821, he emigrated once again to Southwold Township in 1829 with his wife, two sons, and a nephew. Two years later, a second Corsley group of one hundred paupers received funds from their parish to emigrate; they also headed for the Talbot Road in Southwold.[19] No doubt the good reports received from the first Corsley group had helped to reinforce support for Southwold as the favoured destination.[20]\n\nThis was a time when the removal of surplus labourers to Upper Canada had won favour, both as a humanitarian measure and to reduce the poor rates bills of English parishes. So, to entice even more potential emigrants, G. Poulett Scrope, MP for Stroud, published the favourable letters that had been written by the first two Corsley groups.[21] Philip Annett's letter was typically upbeat:\n\n> I think you was better sell your house and... and come to Canada whilst you have a chance If you don't come soon it is likely you will starve and if you don't your children will.... I was agreeably surprised when I came here to see what a fine country it was. It being excellent land bearing crops of wheat and other corn for 20 or 30 years without any dung. You have no rent to pay, no poor-rates and scarcely any taxes. No gamekeepers or Lords over you.... I think no Englishman can do better than come as soon as possible, if it cost them every farthing they have, for I would rather be so here than in England with \u00a3100 in my pocket.[22]\n\nW. Clements, formerly \"a day labourer of Corsley,\" wrote that he had acquired a farm of fifty acres, which he bought for \u00a355 (with five years to pay for it) and had a cow and five pigs: \"If I had stayed in Corsley I never would have had nothing. I like the country very much.... If the labouring men did but know the value of their strength they would never abide contented in the old country.... No poor-rate, no taxes, no overseers, no beggars.\" James Treasure, a Corsley shoemaker who emigrated to Yarmouth Township, wrote: \"there is not a doubt but all who are willing to work would get a plenty and good pay.... The people here wonder that more do not come.... We are a great deal better and comfortabler sic] than we expected to be in so short a time.\"[[23]\n\nWith Corsley people having led the way, emigration fever spread quickly across the county boundary to Frome, in Somerset, and then to the neighbouring parishes of Westbury and Horningsham in Wiltshire. In all, around eight hundred poor people, who had been assisted by their respective parishes, emigrated between 1830 and 1832 from the Corsley\/Frome area. Many headed for the Talbot settlements, although a good number went to more remote districts in Peterborough and Simcoe counties and some settled near Hamilton at the head of Lake Ontario.[24] George Lewis, a day labourer from Corsley, writing from Dundas near Hamilton, stated that \"we are very well provided for with regard to a situation. We have a very good house... and George has wages of $100 a year and all his keep, which is much better than ever I should have found in England.\"[25] Meanwhile, those of the 1832 arrivals who went to live in Elgin County may well have been the \"very healthy and well-looking people\" who were noted as having come ashore at Port Stanley.[26]\n\nBy this time, Joseph Silcox, the man who had spearheaded the Corsley influx to Southwold, was well on his way to becoming an established farmer. Acquiring fifty acres of land for \u00a343 15s., \"with 14 acres of improvement on it\" as well as livestock, \"one yoke of oxen, two cows, one yearling heifer, one mare and colt, four Spring calves, two sows, 11 pigs, 32 geese and a few sheep,\" he was clearly making very good progress.[27] In addition to satisfying his temporal needs, Joseph had also founded Southwold's first Congregational church, located just to the west of St. Thomas at Frome. As pastor, he preached to a scattered congregation who were based mainly in Dunwich and Southwold townships (Elgin County) and in Westminster Township (Middlesex County).[28] In addition to the Frome that formed just to the west of St. Thomas, a Corsley (later renamed Shedden) also sprouted a short distance away. Both place names were very visible reminders of transferred English origins (Map 14).[29]\n\nAs was the case with Corsley, attempts had been made to stimulate emigration from Frome through the publication of letters home, written in 1831 and 1832. Among the Frome letter-writers was William Jeanes, a labourer who had actually emigrated in 1820 and presumably funded his own removal expenses. He had been assigned land by Thomas Talbot in Romney Township, much farther to the west in Kent County (Map 15). Desperate to persuade his wife to join him, he wrote her three letters. His first, written in 1832, mentioned various Frome people who had emigrated to Upper Canada:\n\n> Tell William More that his son came no farther than Prescott with me. He got into work at $8 the month, board and lodgings.... Tell Mrs.Porter on the hill that Mr. and Mrs. Slade send their love to them and tell them that they are in good health and doing well. Likewise tell Samuel White (a shoemaker) and family the same... he might do well if he was to come here as shoes are very dear here.[30]\n\nBy the time of his second letter a year later, William had moved to the adjoining township of Tilbury West in Essex County. Advising his wife not to bring \"heavy clumsy articles\" with her because it would be\"expensive carrying them through the country upwards of 800 miles,\" he explained that he had travelled that far west \"for the climate, being somewhat like England, which I know well would suit the mind of an Englishman, and likewise it is the best land calculated to be in Canada.\"[31] When he wrote his third letter in 1833, he was still working for a \"gentlemen,\" who paid him $13 a month with bed and board. With his earnings, he had been able to buy land:\n\n> I have 200 acres of land with upwards of six acres of it cleared, a house on it and partly stocked, which has cost me besides my own labour $100.... But] what is 200 acres to me if you cannot come to me? I would not be cut off from you and the poor children for all America.... O my dear wife and children I wish you all lived as well as I do. I have meat every meal, breakfast, dinner and supper and as much as I like to take, there is nothing wanting.[[32]\n\nWhether Frome Parish provided his wife with funds to emigrate is unknown. Apparently, she did want to join him.[33]\n\nThe disastrous economic conditions that had afflicted the Corsley area in West Wiltshire were also being experienced in Downton Parish on the southeast side of the county. Poor harvests between 1828 and 1830 added to the gloom, while the growing use of threshing machines on farms threatened the jobs and livelihoods of countless labourers. Predictably, mounting unemployment created extreme social tensions. There were violent disturbances in Downton and the neighbouring parish of Whiteparish during the Swing riots of 1830\u201331, a time when impoverished labourers agitated for better wages and the removal of the new threshing machines.[34] Failing to win these changes, they were dealt with severely by being deported as convicts to Australia. Although this harsh response restored the peace, it did not resolve Downton's underlying social and economic problems.\n\nBush Farm near Chatham in Kent County, circa 1838. Painting by Philip John Bainbridge (1817\u201381).  \nCourtesy Library and Archives Canada, Acc. No. 1983-47-21.\n\nMatters came to a head in 1835 when unemployment reached unsustainably high levels. Samuel Payne, the assistant overseer of Downton Parish, reported that as many as fifty to one hundred \"superfluous labourers of the parish\" were being employed routinely on the roads or in digging gravel pits as a makeshift measure to create jobs.[35] And the plight of the poor was made even worse by another catastrophic development. With the introduction of machines for the making of lace, poor households in Downton lost an important supplementary income. For decades, traditional lace-making had been the principal occupation of poor women and girls in Downton, but increasing mechanization from the 1830s made them redundant. By 1834 it was reported that \"until some other domestic employment be substituted, industrious wives and children of the labourers are condemned to a material diminution of their scanty comforts.\"[36]\n\nEmigration to Upper Canada from Downton began very cautiously in 1835. James King, his wife, two other adults, and four children; J. Pressey, his wife, plus another adult and three children; James Chalk, his wife, and five children; and Henry Higgs, E. Brundy, James Perry, and Charles Bundy all headed for Portsmouth. However, this group of twenty-five emigrants had to spend five nights at the Quebec Hotel in Portsmouth Harbour while they waited for their ship to sail. The vagaries of the weather and wind direction had no doubt caused the delay. Judging from the food and drink receipts that were submitted, no expense was spared in looking after their needs.\n\n\"Downton Daisy,\" a Downton lace sample made in the nineteenth century in Downton, Wiltshire. Girls were trained at lace schools, of which there were two in Downton in 1819.  \nCourtesy Salisbury and South Wiltshire Museum.\n\n\"On the Point, Portsmouth,\" a watercolour painted in 1857 by William Smyth (later Admiral Smyth). The Quebec Hotel is the white building on the waterfront at the right. It was situated in Bath Square and was famous in its day.  \nCourtesy Portsmouth Museums and Records Service Acc. No. 68\/1982.\n\nThe Downton group enjoyed sumptuous meals washed down with copious quantities of ale, port, and other alcoholic beverages (Table 13). Breakfasts with lobster, mackerel, or steak were followed in the evening by meals of salmon, steak, and lamb cutlets or chops. The drinks bill for their last night, amounting to 7s. 8d., was roughly the average weekly wage of an agricultural labourer! The total bill came to a staggering \u00a36 3s. 6d., of which the accommodation cost had only been \u00a31. Moreover, this was in addition to other payments these people would have received for their fares in crossing the Atlantic, food and drink while travelling, onward travel in Upper Canada, clothing, spending money, and various other items.[37] The inescapable conclusion is that the Downton Parish authorities were under orders to give the group anything they wanted to have. Were people celebrating their good fortune in being assisted to emigrate? Possibly, but the more likely explanation is that fine food and drink were being offered to give very apprehensive people some Dutch courage. Nevertheless, however worried they may have been about their prospects, once they arrived in Upper Canada their response was overwhelmingly positive. The vicar of Downton received a number of forthright letters from Downton people, this being an example:\n\n> You told me that we should repent of coming to Canada, and surely we do, but it is because we did not come before.... This I have to say, that any labouring man can live better by working three days a week than at home by working all of the week.... Here are no poor-rates, for there are no poor here.[38]\n\nSo emigration fever also gripped Downton. In April 1836, a much larger group of 220 people from Downton and fifty-nine from Whiteparish sailed from London in the King William (Table 14). Downton Parish borrowed \u00a31,000 to finance the scheme, with Lord Radnor, a major landowner, paying the interest on the loan. Most went to the Talbot-controlled townships in Elgin County, although precise information on where they settled is fragmentary. Some are known to have gone to Bayham Township, while others went to St. Thomas in Yarmouth Township. Given that the 1837 Census reveals a major English cluster in Southwold Township and smaller ones in Malahide and Bayham townships, the likelihood is that the Downton paupers became concentrated in these two townships. They may well have added to the English population in Southwold Township, although it had already acquired a large contingent of settlers from West Wiltshire five years earlier.[39]\n\nTalbot's reign ended in 1838 when the British and Upper Canada governments forced him to wind down his land agency and put it under the jurisdiction of the provincial authorities. Most of the areas under his control had been settled by then. The English communities that had sprouted in Southwold, Malahide, and Bayham townships (Elgin County) were only a small part of a much wider group of English settlements that extended into Westminster Township in Middlesex County, Blandford, Dereham, and Norwich townships in Oxford County and Brantford Township in Brant County (Map 14).[40]\n\nAlthough immigrants from England became scattered far and wide in the southwest region of Upper Canada, they continued to maintain a dominance in some or all of these counties. By 1881, they were the largest ethnic group in east Elgin, east Middlesex, much of Oxford County, virtually all of Brant County, and parts of Norfolk County. In addition, the English acquired impressive footholds farther west, representing a staggering 62 percent of the population of Romney Township in Kent County and over 40 percent of the population of Mersea and Gosfield townships in Essex County (Map 15). However, given that the far southwest attracted a considerable population from the United States beginning in the late eighteenth century, a high proportion were probably descended from Americans of English descent, rather than from people who emigrated directly from England.\n\nLooking back over his life, Talbot might have taken pride in having overseen the early agricultural development of this fertile region. Yet, however important he was as a settlement supervisor, success depended on the gallantry, skills, and staying power of the many thousands of individual immigrants who flocked to his and other parts of Upper Canada, usually at their own expense. The American arrivals had a relatively easy time, since they were already familiar with North American conditions. Reuben and Mary Bisbee, both New Englanders, came to London Township in 1828 and immediately founded Devizes, naming it after the market town in Wiltshire from which their ancestors had originated. Reuben built a brickyard and, together with his sons, helped to turn Devizes into an important commercial centre.[41] But the task of creating farms from the wilderness was much more daunting for the British colonizers, who began arriving in greater numbers as the economic depression that followed the end of the Napoleonic Wars in 1815 grew in severity.\n\nDundas Street in the town of London, 1840. Painting by James Hamilton (1810\u201396).  \nCourtesy Toronto Reference Library T15406.\n\nJohn Uren, a native of Cornwall, relocated to Cherry Grove in West Nissouri Township (Middlesex County) in 1820, a place located just to the east of the Devizes settlement.[42] Other early English arrivals included London-born Thomas J. Jones and his wife Ann Attfield, who emigrated in 1822, settling the following year in London Township. Describing himself as a \"white collar man\" who transferred himself to the backwoods of Canada, Thomas applied his organizational skills, acquired while working as a clerk for the Bank of England and later for a shipbuilding firm, to his new environment, eventually establishing a successful general store.[43] However, while most parts of England lost people to Upper Canada, the early exodus, which had gathered steam since 1817, mainly drew people from the northern counties.\n\nThomas Priestman, a Quaker from near Wigton in Cumberland County, came to Adolphustown (Lennox County), near the Bay of Quinte on Lake Ontario, as early as 1811. Six years later he and his family moved farther west to Wainfleet Township (Welland County) on Lake Erie.[44] By then, his cousin, Thomas Graham, had joined him, while his brother Josiah, a cooper, was thinking of emigrating to Upper Canada, although Thomas warned him that it was \"a considerable expense,\" having spent \u00a332 2s. on his own family's sea crossing.[45] Thomas's letters home reveal a stoic and lonely man who greatly valued his links with Cumberland. In particular, he missed his brother John:\n\n> I have often thought of thee when I have been travelling alone through the wilderness roads and how desirable it would have been to have had a brother to have talked to.... Some of the old English people are a little self-willed and think they could do better but it is necessary to conform to the customs of the country in many respects.... This country is peopled from all nations and everyone has something of their own country plans so this is a mixture of many nations...[46]\n\nSo when Elizabeth Robson, an English Quaker minister from Lancashire, attended a local Quaker gathering, Thomas was over the moon. \"She could remember several of you... you can scarcely think the satisfaction that it gives me to meet with a person that has some personal acquaintance with any of you, my friends and relations...\"[47] His Quaker religion was an extremely important lifeline. In 1830, he was visited by some Quaker friends who still lived at his previous location near the Bay of Quinte area: \"It was an opportunity of enquiring after many of my friends and acquaintances in that part of the province.\"[48] Thomas Priestman's farming activities went from strength to strength, but throughout he was fortified greatly by his family roots and strong religious beliefs. Meanwhile, by 1839, cousin Thomas Graham and his family were planning to leave Wainfleet in order to establish themselves at \"their new place\" in London.[49]\n\nCumberland immigrants were some of the earliest to colonize Middlesex County. George Shipley of Carlisle founded Carlisle in East Williams Township, having become the proprietor of a large gristmill,[50] while Thomas Routledge from Bewcastle founded Hyde Park Corner in London Township around 1818, a name presumably chosen because of the family's connections with London, England.[51] Northumberland Shipleys also came to the area. William and Thomas Shipley from Greystead founded a Greystead in Lobo Township (Middlesex County). Lying just to the south of Carlisle, it would seem that Cumberland and Northumberland Shipley families had been acting together in creating these hamlets. Also coming to the area at this time were John and Diana Siddall, from London, England. They founded Siddallville, located only a short distance from Carlisle and Greystead, in Lobo Township. Their decision to emigrate had been triggered by an inheritance acquired in the 1820s. Having moved initially to New York State, the Siddalls had relocated to Lobo by 1832. Building a gristmill, sawmill, and carding mill, John and his sons helped to transform Siddallville into a thriving business community.[52]\n\nYorkshire-born John and Thomas Scatcherd founded Wyton in West Nissouri Township (Middlesex County) during the early 1820s, naming it after their home village near Hull in the East Riding.[53] Having founded a woollen mill and tannery, John moved in 1831 to the town of London, where he opened a store.[54] Shortly after this, George Jackson left Berwick-upon-Tweed in Northumberland with his wife and large family. After renting accommodation in Toronto, he ended up in Simcoe in Charlotteville Township (Norfolk County), where he established a hardware store.[55]\n\nAs these examples show, English people generally emigrated on their own or in very small family groups. Once they had found their bearings, they usually became assimilated into a community that accommodated many different ethnic groups, including their own; but occasionally people from a particular area of England emigrated as a group in the hope of remaining together in their New World settlement.\n\nAn example is the Northumberland group, mainly from Simonburn Parish near Hexham, who moved to London Township in 1821, having emigrated to New York State five years earlier. Moving north, they attracted more followers from Northumberland and founded the \"English settlement\" in the western part of the township. By 1824, it became known as the \"Telfer settlement,\" in honour of the many Telfer families who lived within the new community.[56] Gravestones in the Telfer cemetery, still visible today, testify to the substantial influx of people from the North of England who laid down roots here and created a once-thriving community.[57]\n\nCumberland and Durham lead miners were another group who streamed into Upper Canada, but, unlike the Northumberland immigrants, they became more widely dispersed. Led by Thomas Milburn of Alston, in Cumberland, an earlier group had emigrated to Peterborough County in around 1817, having taken advantage of the government's \u00a310 group emigration scheme.[58] Fifteen years later, when an economic depression gripped this important lead-mining district, more followed from Cumberland and nearby Weardale, in Durham County. Writing from Weardale in 1854, John Graham described how miners from his area, including his brother, had gone to Upper Canada and the United States.[59] Featherston Phillipson, who had emigrated with Thomas Milburn, bought land west of Hamilton near Lake Erie, which he was farming, and a good many other Weardale families were on their way to becoming successful farmers:\n\n> John] Fleamen and [Joseph] Wearmouth has bought 100 acres of land about the same place and speak highly of the place, they say there is plenty of work to get of all sorts... and good wages too, it is grandest and flourishing counties they ever saw; We had a man the name of John Featherston who went from this country 20 years ago [to Upper Canada] who is a relation to many a one in Weardale, who is very rich in property now, and when they went first they were a great family of them; they had not a penny left when they landed, and I think that is encouragement, and all the names that I have mentioned over[[60] has gone into Upper Canada and a great deal more not mentioned, for their was over a 100 of men, women and children left this Spring, all for America, and John Featherston, who went to America about a year ago, writes that they will very soon have a little Weardale there.[61]\n\nMeanwhile, in 1832, a large group of paupers from the Petworth estate in West Sussex were being assisted to emigrate to the government-supervised settlement in Adelaide Township (Middlesex County), adding significantly to the county's English population.[62] Ample land was available for them to form a compact settlement at the southern end of the township, many of them ending up in the future Napperton.[63] William Cooper's letter home revealed how the Sussex immigrants worked together initially in performing the back-breaking task of clearing the land of its trees:\n\n> I have got 100 acres of land at $2 per acre and 1\/4th to be paid at the end of three years and the rest in three years more.... I should like for all my brothers to come here, for here is plenty of work, and no doubt but we shall do very well after next harvest. Edward Boxall and his wife and William Phillips from Merston and we have built us a Shantee and lives and works altogether on our own land. We have got above two acres cleared and shall sow six or seven acres of wheat this autumn and more in the Spring.[64]\n\nIn just a few months, William could report that he had built his own log house, measuring sixteen by twenty-two feet, and was planning to build a barn in the summer.[65] No doubt his swift progress encouraged brother James to follow him to Adelaide with his wife Harriet and family, while Harriet's sister Mary, who had married James Budd, also emigrated that same year, but they settled farther to the west in Woodstock (Oxford County).\n\nShortly after arriving in Adelaide, William Baker boasted about his one hundred acres to his family \u2014 as \"good land as any in England... if any of you will come here and live with me you shall have part of my land; or if you choose you can draw another 100 acres and you will get 6 years to pay the money... at 10s. per acre.\" As a further sign of coordinated activity, he and William Rapley had \"one yoke of oxen between us to do our work, which shall be at your service also.\"[66]\n\nStephen Goatcher aimed much higher than being a farmer and decided to launch a dairy completely on his own. However, he learned the hard way that farming methods were very different and that colonization ventures like his required meticulous planning. He had not recruited any workers in advance and was probably unable to attract a workforce in Adelaide because of the high wage rates that labourers expected, which would have been beyond his means. Writing to his wife in Sussex, he asked her to find friends and family who might wish \"to come out and live with me... to manage my dairy.... I shall have plenty of land, I have 14 acres clear now, enough to keep me as long as I shall live.... It is accounted as good land as any in Canada.\"[67] However good his land was, he failed to attract support and returned to England, possibly as early as 1833, and certainly by 1839.\n\nFor Ann (Downer) Mann, who emigrated in 1836, Adelaide was a dream come true, despite its rough and ready state and having to cope with the death of her husband in Montreal. In Adelaide she could, at long last, escape from the poverty that had haunted her all her life. She arrived with four of her youngest sons and her oldest son, together with his wife and children. Despite the loss of her husband, she gave her adult sons back home a glowing account of her new situation. She was elated by the fact that all of her children had found jobs as domestic servants in the nearby towns and that she would never have to face life in the dreaded workhouse ever again:\n\n> I don't want for nothing; my children are all out at service; I could get them places if I had twenty more... if any of your children wish to come to America do not hinder them; for I shall say this is a good country to come to; I wish I had come when my first son came[68] ; but thank God I am here. What would have become of my children if they had been in England and I had been put into some poorhouse; but now if I go out of the front] door I do see great comfort.... Let my letter be copied off and be stuck up at the Onslow Arms [Inn] to let everyone see that I lives in Adelaide; don't leave no one thing out that I say...[[69]\n\nAssisted emigrants from West Sussex also colonized Delaware Township, to the southeast of Adelaide, adding further to the English component of Middlesex County. George Carver was struck by the different social structure that he encountered and how it gave poor labourers like him an advantage over the \"spirited farmers and their wives\" who had made his life a misery back in England:\n\n> They would not like to sit down at table after their servants have done meals and eat what is left, for here they would be obliged to beg and pray to get a man for a few days to help them instead of blustering and swearing as they do over you in England. Here if a man wants any common labour to be done he must do it himself or let it go undone, but if he wants to raise a house or a barn or any such thing as that his neighbours readily come and assist him and he does the same in return.[70]\n\nThomas Priestman of Wainfleet, mentioned previously, made a similar observation, noting how \"labour is done by much fewer hands than the same would be done in England; wages are high and labour not in great plenty.\"[71]\n\nDelaware had good employment prospects for tradesmen, who could earn considerably higher wages than in England. Alexander Hilton could hardly believe his luck. Arriving in 1836, he worked as a carpenter, initially earning $10 per month. This later rose to $16 to $18 per month, and within a few years he had amassed sufficient funds to purchase a farm in Adelaide Township.[72] But Delaware was not a home away from home for Sussex people in the way that Adelaide was. Frances Pullen, who worked as a domestic servant, found \"plenty of English in Delaware,\" but she only knew one person (Amelia Cooper) from her former village in Sussex. \"I often see her; she lives in Delaware.\"[73]\n\nThe pattern of Petworth immigrants sending good reports home soon after their arrival repeated itself farther east at Woodstock, in Blandford Township (Oxford County). Henry Heasman apprenticed himself to a blacksmith for four years and was receiving \"3 s. 6d. to 4s. the day, with board,\" this being a considerable improvement on the 10s. a week without board that a Sussex labourer could expect.[74] Cornelius Voice, a carpenter who emigrated to Blandford with his wife and a large family in 1834, apparently made the transition to pioneer farmer very speedily and easily. When he and his family reached Blandford they were given temporary accommodation and were helped to build their first house: \"We were all put up in the squire's barn, while our houses were building. Our houses were built with round trees laid one on the other, with a few boards for the roof, without any door or window, or fire place; we had to do the rest as we could.\" The day after their arrival, his two sons \"went out... to get work and got work for all. We get 6s. 3d. a day. We were glad to begin work for we had but three sovereigns. We soon earned some money and then we all went to work at our house and land.... We have now cleared our five acres...\"[75]\n\nPetworth immigrants also extended their reach eastward toward Ancaster Township (Wentworth County), located just to the west of Hamilton. George Hills, who arrived from Sussex in 1832, commented on his good pay and employment prospects:\n\n> I like the country here very much but my wife don't seem to be quite so well contented yet. I got work on the first day I was here and have had plenty of work ever since.... Farmers and labourers all sit at one table here. We get 5s. per day, English money, and be boarded. I don't wish to persuade anyone to come over, for they must expect to see a good many hardships; but I know a poor man can do a great deal better here than he can at home.[76]\n\nThis area had also attracted people from Dorking, in Surrey, who had been assisted to emigrate to Upper Canada in 1832 under the auspices of the Petworth scheme. Having experienced incendiary attacks during the Swing riots, Dorking's major landowners decided that the time had come to assist its poor to emigrate. In all, seventy-seven paupers, mainly single males and large families, agreed to emigrate, with the necessary funds being paid by subscription as well as by Dorking Parish. Another group was assisted to emigrate in 1833, financed entirely from the poor rates.\n\nWhile the Dorking immigrants scattered themselves across much of Upper Canada, they were mainly concentrated near the western end of Lake Ontario, especially in the Hamilton area.[77] John Worsfield, a painter and decorator from Dorking, reported: \"I am at present at work in the town of Hamilton and there I am treated as a gentleman for the art of graining and flatting painting terms] is not much known here; I get \u00a31 a week and board and lodging. I have everything that I want. I may have beef steaks or other meat for breakfast and what I like to drink.\" Joining forces with Mr. (James) Harpur and J. Knight, he used his earnings to purchase land in East Flamborough Township (Wentworth County) and soon had \"six acres of it cleared and sowed with wheat.\"[[78]\n\nJohn Stedman, another of the Dorking immigrants, settled in Malahide Township (Elgin County), where he found work while waiting for his luggage to come ashore at Port Stanley. A local farmer approached him and his travelling companion and offered them jobs:\n\n> We thought we might as well go to work as to wait about after our chests, as we] should be getting something in pocket... [the farmer] asked me if I would hire by the year. He said that he would give [me] $100 board, lodging, washing [and] mending for the year, so I thought it wise to hire, as long as I had that chance, as I was a stranger in the country.[[79]\n\nMeanwhile, John acquired \"100 acres of land, as I may work for myself at times and not work for other people any longer than I am forced.\"\n\nSurviving immigrant letters reveal that a substantial number of Petworth immigrants settled in Middlesex, Oxford, Brant, and Waterloo counties, although, as previously discussed, they were also to be found in large numbers along the north and west side of Lake Ontario, especially in the counties of York, Halton, and Wentworth (Map 16).[80] Unfortunately, the locations of the two thousand or so Norfolk paupers who emigrated to Upper Canada during 1835\u201336 remain much of a mystery, since only a tiny amount of documentation relating to their destinations survives. The available evidence suggests that two Norfolk parishes \u2014 Briston and Edgefield \u2014 assisted their paupers to emigrate and that they mainly went to Oxford and Waterloo counties.[81] One hundred and thirty-three Briston people emigrated to Upper Canada between 1831 and 1834, with the funds having been provided by various landowners and the poor rates.[82] Another eighty-seven people from this same parish followed in 1836,[83] and they were joined by 123 people from the neighbouring parish of Edgefield.[84] Two other Edgefield groups followed in later years, with many joining the 1834 Briston group in the southwest region. At one stage, Briston and Edgefield immigrants were living side by side in Bleinhem Township (Oxford County). Perhaps the many Norfolk paupers who left in 1835\u201336 from the neighbouring parishes of Holt (numbering seventy-two) and Saxthorpe (eighty-one), and the nearby parish of Fulmodeston (eighty-five) also made their way to Oxford County.[85]\n\nSimilarly, the destinations of the five hundred or so Suffolk paupers who were assisted by their respective parishes to emigrate in 1835\u201336 were also unclear. Fifty-two people from Kettleburgh Parish went to Etobicoke Township near Toronto in 1836, where they joined another Kettleburgh group of fifty-two people who had emigrated five years earlier.[86] But apart from this group, which could be traced to its new destination, most of the Suffolk immigrants appear to have vanished without a trace. Forty paupers from Cratfield Parish and twenty-three from Carlton Colville Parish, near Lowestoft, were assisted to emigrate to Upper Canada in 1836, but their locations are unknown.[87]\n\nMeanwhile, a chance survival of the Woolnough family's letters reveals how a handful of Suffolk people, originating from Beccles Parish, came to relocate themselves in the Niagara District at their own expense. Having settled at Queenston in Niagara Township (Lincoln County) sometime before 1832, Susan Woolnough wrote to her father back in Beccles with the news that her brothers \"would do better here with two days work in a week than it is possible for them to do in England to work always.\" As if to anticipate Canada's hard-drinking reputation, she went on to comment that \"the people in general are much more moral than in England, and although liquor is so cheap, there is not half the drunkenness that there is in England.\"[88] However, this is just one tiny glimpse of a major immigrant stream from England to the southwestern region. Statistics were kept of their numbers but few of the immigrants can be given names.\n\nThroughout the 1840s, Alexander Buchanan, the Quebec immigration officer, noted in his reports how many English immigrants, from both north and south, were heading to the western region of Upper Canada. In June 1841, groups of Devon and Yorkshire immigrants were on their way to the Western District and over the following two years a group from Kent, two groups from Yorkshire, and several others from Devon and Cornwall were planning to settle in either the Western or Gore districts.[89] In 1842, some of the North of England immigrants who had arrived from Liverpool and others who had set sail from Falmouth in Cornwall told Buchanan that they intended to settle in either Blenheim Township (Oxford County) or Brantford Township (Brant County).[90] Few paupers were assisted to emigrate by their parishes, although the occasional family received funds. The Hempstall family in the East Drayton parish of Nottinghamshire were given the amazingly generous sum of \u00a338 13s. 11d. to emigrate in 1841, with \u00a318 being allocated for Ann Hempstall's \"groceries\" \u2014 food to be consumed on the sea crossing from Hull (Table 15).[91]\n\nAs ever, the majority of immigrants paid their own way and slipped into Upper Canada unnoticed. The jottings of a Cambridgeshire rector, who appeared to know everyone's business in Croydon Parish, hint at the range of people who might have come to the western region during the 1840s:\n\n> Samuel Richardson aged 22 is gone to Canada, given to drinking.... John Hill aged 24 has gone to Canada (can read). John Chapman (28) can read and Thomas Chapman (24), can read, both brothers \"are gone to Canada.\" Charles and Mary Titmus can't read.... They and their children now live at The Limekilns, where Mr. Easy used to live \"before he went to Canada.\" Thomas and Ann Hill, live in the same house (but only married in Autumn, 1843); he can't read; she can read a little; \"gone to Canada.\" John Simpson, widower and a parish clerk, can read; \"he went to Canada\" before his marriage to Mary Spencer. Isaiah (eldest son of John above) and Sarah Simpson live in same house and can both read, have a child, and are now married. \"They went to Canada but returned and now live in London England]\"; Dinah Story, a widow, can read and \"goes out washing\"; she has 3 children William, Mary and John and she married [Mr.] Easy and \"they are all gone to Canada\"; Philip Gentle (22) is now in jail for a riot at Caxton Workhouse \u2014 is to go to Canada.[[92]\n\nBut five farm labourers and their families from Tolpuddle in Dorset, who settled in London Township in 1844, did attract attention on both sides of the Atlantic. Having pressed for better wages a decade earlier, the six \"Tolpuddle Martyrs\" had been convicted of criminal conspiracy in 1834 and deported to Australia in chains as convicts. A statement inscribed by George Loveless, one of the martyrs, outside the Tolpuddle Methodist chapel where he preached, reveals how unjust this conviction was: \"My Lord, if we have violated any law, it was not done intentionally, We have injured no person or property. We are uniting to preserve ourselves, our wives, our children from utter degradation and starvation.\"\n\nThe men were meant to remain in exile in Australia for seven years, but such was the outcry in Britain over their harsh treatment that the government was forced to offer them a pardon. They returned to England in 1837. Eventually, their brave stand against Britain's unjust employment laws led to the formation of the trade union movement.\n\nFive of the six Tolpuddle Martyrs moved to Upper Canada in 1844.[93] In doing so, they had rejected their homeland in favour of a new country, within the British Empire, which offered them the freedom of expression that had been denied them earlier. It was also their acceptance of the harsh reality that labourers in England could not easily lift themselves out of poverty, while in Canada they could aspire to far better living conditions and escape from Britain's oppressive class system. George and Elizabeth Loveless settled near Fanshawe, just to the north of the town of London, and both are buried at the Siloam Cemetery, while the other four are buried in or near London.[94]\n\nThe yearning to be free of rigid social structures and to seek a better future attracted English immigrants to Upper Canada throughout the nineteenth century. John Wilkinson, from Huxley, near Chester in Cheshire, came with his family to Dereham Township (Oxford County) in 1851, where he joined a friend who had previously settled in the county. A staunch Wesleyan Methodist, John was followed by his sister and brother-in-law the next year. His first house was \"a rude shanty 16' by 24' of round logs chinked with moss and plastered with mud.\" In time the land was cleared: \"Having now become lords of the soil we, for the first time, began to feel free: no landlord to annoy us, no anxiety about rent and no Episcopalian dignitary to look down on us because we were in England] what they pleased to call dissenters.\"[[95] Also emigrating with his wife and nine children from Yarmouth (Suffolk County) in 1852 to Sable in West Williams Township (Middlesex County) was Edward Teeple, who gave his name to the \"Teepletown\" community that eventually formed.[96]\n\nYet pioneer life had its perils. In 1868, Joseph Hooper, who had originated from Biggleswade Parish in east Bedfordshire, was badly in debt and risked losing his farm in North Dumfries (Waterloo County). Receiving help from his brother back in England was his only hope:\n\nMemorial to the Tolpuddle Martyrs in Tolpuddle, Dorset. Their anguish is depicted in this sombre sculpture of one of the martyrs \u2014 probably George Loveless.  \nPhotograph by Geoff Campey.\n\nLEFT: Tombstones for George and Elizabeth Loveless from Tolpuddle, Dorset, in Siloam Cemetery, near London, Ontario. George died in 1874 aged seventy-seven and Elizabeth in 1868 aged sixty-eight. The inscription reads: \"There are they which come out of great tribulation and have washed their robes and wash them white in the blood of the lamb (Revelation 7:14).\" George had preached at Siloam Methodist Church.  \nPhotograph by Geoff Campey.\n\n> My crops turned out a failure. As I know that you will not want to receive a long letter, I will cut it short. I want to know if you could lend me \u00a3100 on my farm and stock, or say stock and furniture. I do not know if I told you that my farm was worn out by cropping before I bought it], but such was the case and I have only raised enough to keep the house going for the last three years. I now want to put it into crop and I have not the means to buy the seed and that is what I want to raise the money for, so if you could lend it me I should feel obliged if you could let me have it at once.... I was sorry I could not come to see you before I left England but I thought that if I came back to Canada at once I might be able to get along without troubling you, but I find I cannot, so if you can oblige me I will give you the security. You will not be put to too much trouble for if the farm does not pay better I will sell and try something else...[[97]\n\nIn that same year, Tingrith Parish in southwest Bedfordshire began losing people to Upper Canada. Emigration had widened its appeal during the second half of the nineteenth century in areas such as this, partly as a result of the greater availability of cheaper and more comfortable Atlantic crossings, made possible by steamships. Another factor was the ongoing agricultural depression being experienced in rural areas, made worse by increasing grain imports from North America. And times were particularly tough for agricultural labourers, whose wages were being held down by the oversupply of labour.\n\nWith this in mind, \"the Misses Trevor of Tingrith House\" paid the emigration costs in 1868 of some of the parish's needy farm labourers and their families. Four years later, the Bedfordshire Mercury reported that \"upwards of 100 men, women and children\" had been assisted to emigrate to Canada \"during the past few years\" and that \"these emigrants are doing well in the land of their adoption.\"[98] Another report stated that twenty-three people left from Tingrith in 1868, while a second group followed at a later date: \"In both cases... their fare and passage money were paid, and an outfit was provided and a small sum furnished to each emigrant for present need on arrival.\"[99] The Bedfordshire Mercury reported in 1872 that \"two young men\" who had emigrated in 1860 \"came over recently on a visit to Tingrith and we learn that they have given the most favourable account of the prosperity of the 'Tingrith Colony.'\"[100]\n\nThe fact that Joseph Barnett, a Bedfordshire man from Great Barford who emigrated in 1875, can be traced to Oxford County, may suggest that this was also the location of the Tingrith Colony.[101] Not much of a clue \u2014 but this is all that survives! Over the years, Bedfordshire parishes had assisted a small number of their paupers to emigrate, with \u00a3101 16s. 10d having been spent in relocating the first seven families in 1831.[102] One or two families continued to emigrate with financial support over the next twenty years from north and mid Bedfordshire, but none came from parishes near Tingrith.[103]\n\nAs the spread of settlement pushed northward into the Huron Tract and beyond, English immigrants streamed in ever greater numbers into the western peninsula. Many were attracted by the prospect of settling on the Canada Company's lands. Through its capital investment in roads, bridges, and buildings it attracted emigrants who would otherwise have balked at the prospect of locating themselves in such a remote part of Upper Canada. The English would come in their thousands to help colonize this newly opened frontier.\n\nTable 13:\n\nReceipts for Downton Emigrant Accommodation and Food\/Drink\n\nWhile Staying at the Quebec Hotel, Portsmouth, May 19\u201324, 1835\n\n[WRO 1306\/105]\n\nTable 14:\n\nPassenger List for the Crossing of the King William in April 1836 from\n\nLondon to Quebec with 279 Paupers from Wiltshire\n\n[Ken Light, \"Wiltshire England Emigrants: The Downton Story 1835\u20131836\"\n\nin Families Vol. 37, No. 1 (Feb. 1998), 19\u201326.]\n\nEmigrants from Whiteparish (Wiltshire) Who also Travelled On Board the King William. (Because of deficiencies in the original document, there is uncertainty about the first names of the males.)\n\nTable 15:\n\nEmigration Expenses Funded by East Drayton Parish in Nottinghamshire in 1846 on Behalf of the Hempstall Family\n\n[NTRO PR1900]\n\n# Chapter 8\n\nThe Rest of the Western Peninsula\n\n> Through all the different townships I passed on my way up the country, I give the preference to Guelph; the climate appears to be more like that at home; it is peopled with our own country people principally, and what few Irish are here, are selling off their farms and moving farther up the country.[1]\n\nROBERT FISHER LIKED Guelph, describing it to his parents as \"a comfortable little village, nearly as large as Laxfield,\" this being the name of the Suffolk village from which he had originated. Arriving in 1832, he found Guelph to have \"more inhabitants and more public inns\" than Laxfield, with two of them being \"conducted in quite as fashionable a style as any in Halesworth, and about four times the business.\"[2] This was high praise indeed given that the market town of Halesworth, near Laxfield, was particularly well-known at that time for its brewing and plentiful pubs. Boasting to his parents that he had already been made the superintendent of the Canada Company's mill in Guelph, he expected his wages to rise to \u00a3100 a year, \"for the Company's agent is satisfied with my method of conducting business.\" His future looked bright:\n\n> We grind for the settlers from ten to fifteen miles in every direction; many of them have told me when they reached this country they had not a cent to help themselves; for the first year or two they were very much tired \u2014 I mean those who took up land for themselves \u2014 they endured many hardships, more than many of your paupers ever did, for how should it be otherwise. To maintain their families they had to work for other people, which they did as little as they possibly could, but in two years they had surmounted all their difficulties and by their gradual increase of produce in a few years became totally independent.[3]\n\nAdamant that \"in this country you may do well,\" he advised his parents \"to come out next Spring as the prospects here are ten to one above what they are in the old country.\" However, despite the region's fertile land and good climate, the influx to the western peninsula had been slow in starting. Two key developments had been necessary. The first was the opening up of inland routes beyond the St. Lawrence ports, which only began during the 1820s, while the second was the establishment of the Canada Company, which occurred in 1826.[4] Having acquired vast quantities of wilderness land from the government, the company proceeded to sell it on to settlers. It established Goderich, Guelph, and Galt as company towns and built roads and mills throughout the areas under its control to encourage settlement. A spinoff of the building program were the construction jobs that settlers could take up to supplement their incomes. In addition to supplying land and jobs, the company also offered greatly valued credit facilities to immigrants who arrived with insufficient capital to purchase their own land.[5] It contributed to the support of schools and churches and promoted western Upper Canada in Britain with a new effectiveness. Large numbers of immigrants who would otherwise have been lost to the United States felt its pulling power.[6]\n\nAcquiring two and a half million acres of Crown land in western Upper Canada, its stated aim was \"not to encourage or deal with speculators, but to open access to the settlement of lands by a steady, agricultural population.\"[7] Nearly half of its holdings fell within the Huron Tract, a vast triangular-shaped 1.1 million acreage fronting on Lake Huron (Map 17).[8] The company's remaining holdings, consisting of 1.4 million acres of Crown Reserves, were scattered widely across the province. Settlers could purchase land, either in the reserves or in the Huron Tract, on fairly easy terms, although in later years there were complaints about the company's inflated land prices.[9] To discourage immigrants landing at Quebec from proceeding to the United States, the company offered free transport to the head of Lake Ontario to anyone making a down payment on its land, but such help did not always materialize. Moreover, the company was regularly accused of exaggerating the state of development of its lands, leaving some immigrants with broken promises and little return for the money that they had paid.\n\nJohn Galt, the well-known Scottish novelist, was the driving force behind the establishment of the company, and became its first commissioner and superintendent.[10] However, his poor management and diplomatic skills let him down and after three years he was sacked from his influential post. Overall, the company earned little credit for its colonizing achievements. Its shareholders expected quick profits that were never realized, while many of the farmers who settled on its lands felt dissatisfied with their treatment.[11]\n\nWhile the Canada Company's land operations were fraught with intrigue and controversy at board level, it succeeded well in its promotional activities in Britain. Through its smoothly run publicity campaigns, pamphlets were distributed by agents who could slant the company's message toward people in their region. William Cattermole, the company's East Anglia agent, knew that farm labourers in his home county of Suffolk faced a particularly bleak future and argued the case for assisted emigration. Having lived in Upper Canada for three years, between 1827 and 1830, he had first-hand knowledge of its benefits and could speak with considerable authority. When he returned, he gave two lectures, one at Colchester in Essex, and the other in Ipswich in Suffolk, which he later published.[12] His comments were directed both to the poor and affluent alike, but he especially sought to attract men with capital and farming experience. Although the 1,200 people who emigrated in 1831 from Suffolk, Norfolk, and Essex under his supervision were mostly poor farm labourers, in the following year Cattermole enticed a select group of moneyed people from Suffolk and Kent to emigrate, whose departure he organized personally. Many settled on the Canada Company lands in Guelph Township.\n\nJohn Galt in 1824. He was the Canada Company's first superintendent and he also founded the town of Guelph, its headquarters.  \nCourtesy Library and Archives Canada, C-007940.\n\nAs he criss-crossed the southeast of England, Cattermole had targeted men with significant capital, such as farmers, professional men, and ex-army officers.[13] In February 1832, he reported to the Colonial Office that he had done particularly well in the village of Laxfield (Suffolk), where he found \"a great movement amongst small farmers and capitalists so much so that... on Thursday last 39 persons engaged their passage on board the Caroline.\"[14] Apparently, there was only one pauper family, with the rest being \"most respectable citizens.\" He also found a similarly well-heeled group in Lenham in Kent. Both groups intended to settle on the Canada Company lands near Guelph and Goderich.\n\nBy the following month, Cattermole had recruited \"a number of most respectable citizens,\" and had enough emigrants to fill one vessel. Between them, they possessed capital worth \u00a312,000 to \u00a315,000.[15] A week before his departure in March, he wrote again to the Colonial Office, reporting that he was preparing to take six or seven hundred people out in the Caroline, Marmion, and Crown, \"of such a class as have never since the days when Penn emigrated from England.\" He emphasized that they were leaving \"because they can no longer maintain the same standing for themselves and families to which they have hitherto been accustomed but who, nevertheless, have sufficient property remaining to benefit themselves and the country to which they... emigrate.\"[16]\n\nSailing in the Caroline, Cattermole rubbed shoulders with a mixed group that included a former governor surveyor of Sierra Leone, a builder\/architect, a harness-maker, a tailor, a shoemaker, a shopkeeper, various wool merchants, and some farmers. Cattermole announced their arrival at Grosse \u00cele on May 17 in a letter to the editor of the Courier of Upper Canada, noting that they had onboard \"nearly every variety... from the Fellow of Oriel College, Oxford University], to the humble peasant.\" All came \"with a view of bettering their condition.\"[[17] Cattermole's letter also included a partial passenger list, giving details of geographical origins and occupations (Table 16).[18] An additional letter praising \"the unwearied and skilful exertions\" of Captain James Greig appeared in the Quebec Mercury shortly afterward: \"Believe it when we say... that, though we came to the termination of our voyage with joy, we shall see you separate yourself from us with regret. That success and all good fortune may ever hereafter accompany you will be the constant prayer of the undersigned.\"[19] Gratitude was never more eloquently expressed.\n\nIn the end, Cattermole organized the departure of around 750 South of England emigrants in the spring of 1832, slightly more than he had anticipated in his earlier letter to the Colonial Office.[20] On June 26, the Montreal Gazette reported the safe arrival of 460 English emigrants, forty of whom left at Kingston, ninety at Cobourg, 156 at York [Toronto], and 174 who \"were heading for Hamilton.\" Many of the latter \"were highly respectable families who came out in the Caroline with Mr. Cattermole and proceeded to Guelph and Goderich.\" There were also a number of people from Laxfield in Suffolk. This was just one of the many groups that had been organized by Cattermole. No doubt, the previously mentioned Robert Fisher, employed by the Canada Company as its Guelph miller, had also been in Cattermole's 1832 group, as had Robert Alling, a retired surgeon from Laxfield. Clearly seen as a good catch, the Canada Company made Alling their Guelph emigration agent soon after he arrived. Apart from encouraging his fellow countrymen to write letters home extolling the benefits of the area, he also produced rapturous accounts of the great strides being made by Guelph settlers, which the Canada Company inserted in its promotional literature.\n\nIn one of his published letters, written in 1840, Alling was somewhat scathing of the English immigrants in his midst, stating that \"if it were not for the considerable number of good men from Yorkshire and Nottinghamshire, who are prospering in this part of Canada [Guelph Township],\" he would have regarded his own countrymen as less suitable than their Scottish or Irish counterparts:\n\n> From pretty close observation over the past eight years, I have come to the conclusion that the Scots are the best and most successful of all emigrants.... Next to the Scotch, I am of opinion the Englishman comes in for his need of praise; but it is infinitely more difficult to speak of him than that of his Scotch or Irish neighbours, as every shade and grade of character, conduct and success is to be found amongst the English in this place Guelph] and its neighbouring townships.[[21]\n\nIt would seem that Guelph had acquired a good many feisty, working-class English who were not going to be pushed around. Alling portrayed them as being profligate and foolish: \"English families do not hold together long enough to ensure success; the sons of poor English emigrants leave their parents and become servants at the usual high wages and, instead of saving money to purchase land, the same is squandered away in fine clothes and at the numerous country balls.\"[22] Maybe so, but that was their choice. Whether Alling approved of them or not, the English were not necessarily being driven by a desire to own land. They scattered far and wide, according to where they thought they could acquire the best jobs or land. In this respect they were very different from the Scots and Irish, who nearly always remained together in order to preserve their culture, this being a top priority.\n\nCanada Company coat of arms.  \nCourtesy Archives of Ontario, S1362.\n\nGuelph's appeal to farmers of means is further demonstrated by the arrival in 1832 of Edward Francis Heming. Originating from Bognor in West Sussex, he came with sufficient funds to purchase 367 acres of land, paying for it all, \"excepting the 100 acres bought of the Canada Company.\" He was amazed to see that emigration was proceeding at such a pace that, before long, \"all the land within eight miles of Guelph will be sold.\" And he could see a profitable future for himself. \"The improved land sells for much more than we conceived in England: quite rough land sells for 17s. 6d. per acre, if at all in a desirable situation.\"[23] Employing Martin Martin, a carpenter by trade who also came from West Sussex, to finish the inside of his log house, Heming would later build a second house, the appropriately named \"Bognor Lodge.\"[24] As he indicated to a friend back in England, Martin could see that it was in his interest to keep tabs on other wealthy arrivals like Heming:\n\n> You would be surprised to see what quantity of respectable people daily are a coming and settling, some buying 700, some 1,000 acres of land. Here is a tailor that came from Oxfordshire that brought \u00a3600. He has 600 acres of land, 60 cleared, he has a capital-framed barn, and a good dwelling house, and out-houses; in short, his premises are very complete. There is plenty of work for labourers at about a dollar a day... and no labouring man need be afraid to come.[25]\n\nMoving later to Elora, in the neighbouring Nichol Township, Martin built and ran its first tavern, but sold it later in order to return to farming.[26] Meanwhile, John and Elizabeth White, also from West Sussex, were far more impressed by their proximity in Guelph to William Penfold, the former superintendent of their local workhouse back in England. Having landed a well-paid job with \"John Horning, boot and shoe maker, Guelph,\" John felt extremely good about his prospects: \"I never repent for leaving the old country at present, for I have plenty of good eating and drinking, sometimes beef, and sometimes a young roaster, and I know that any industrious man can do a great deal better here than ever he can in England.\"[27]\n\nThe many English who opted for Guelph Township were in an area that fell under the complete control of the Canada Company. The company's enormous capital investment program was a major factor in its rapid expansion, and soon after its founding in 1827 the town of Guelph possessed \"upwards of 200 houses.\"[28] As a result of this steady influx, centred initially on the Guelph area, the English became a major presence in the southeastern part of Wellington County. By 1881, the English were the largest ethnic group in Guelph, and in Eramosa and Pilkington, its neighbouring townships to the northeast and northwest respectively (Map 17). Most had come entirely unaided, but there were some, like the West Sussex immigrants from the Petworth estate, who had been financed by their landlord. Another group in a similar situation were the sixty farm labourers from Aynho Parish in Northamptonshire who, arriving ten years after the Petworth group, mainly settled in Pilkington and Nichol townships.\n\nTheir landlord, William Cartwright, organized the group's departure in 1845 and, judging from the involvement of two church wardens, funds had probably also been received from Aynho Parish. In all, eight families, five single men, and two single women were assisted to emigrate.[29] Having accompanied them to Liverpool, William Scott, one of the church wardens, reported to Cartwright that the people \"are full of gratitude for the kindness you have shown them; there was not an individual of ours either sick or sorry when I left them this morning... John Turner's wife particularly requests me to ask you to inform Mrs. Cartwright she has received a letter from her son in America which I am desired to say is a very satisfactory one.\"[30] Three years earlier, Cartwright had scribbled \"a very good riddance\" beside the names of four Aynho men (Spires, Robbins, Watts, and Anstell) whom he had helped to emigrate; presumably this larger group left under happier circumstances.[31] Eydon, another Northamptonshire parish to the north of Aynho, assisted around thirty of its paupers to emigrate to Upper Canada in 1845; the group included Ann Willoughby who, at the time, was living in the Brackley workhouse with her seven children.[32] This second group possibly also went to Wellington County.[33]\n\nWhile a number of well-documented groups from the South of England revealed themselves in this way, they were just a minority of the total who settled in Wellington County. Most English immigrants who came singly or in small family groups left little or no documentary records behind. Chance examples of individuals mentioned in surviving records, all arriving in the 1830s, include John Walker,[34] a Derbyshire-born Methodist lay preacher, who settled in Garafraxa Township, James Carter and John Iles, both from Wiltshire, and the Northumberland-born Craster Johnston, who all relocated to Puslinch Township, and James Cook from Gloucestershire, who settled in Nichol Township.[35] They were the tip of an enormous iceberg. Most English immigrants slipped into the western peninsula in this and later decades totally unnoticed.\n\nMeanwhile, even as late as the 1840s, much of the Huron Tract, encompassing Huron and Perth counties, remained a vast forested wilderness, still waiting to be cleared. Groups of immigrants wishing to have sufficient land to settle together in one place were attracted to it, as were poorer individuals who lacked sufficient funds to buy land in more developed areas. Colonization roads built throughout the region by the Canada Company provided access and an ordered basis for settlement. The earliest immigrants were mainly Scottish Highlanders and Pennsylvania Germans, who were better able than most to cope with the extremely harsh conditions.[36] For the English, who arrived later, it was the ultimate endurance test. Reaching Easthope Township (Perth County) in 1834, William Thompson's family, from Preston in Lancashire, felt completely isolated: \"We cannot boast much of society, our neighbours consisting of the lowest description of Scotch who can hardly make themselves understood.\" Not exactly hitting it off with his Gaelic-speaking Highland neighbours, William had to trudge one and a half miles to reach the one English family living in his vicinity. Some six and a half miles away, in Stratford, there were \"a few English, Irish and Scotch families of respectability\" but that was it. And not only could he and his family not boast of society, \"neither can we boast of scenery... for hundreds of miles is a vast forest.\"[37]\n\nSimilarly, nothing could have prepared the Walters family for the shock they had when they first saw Stratford (Perth County) in 1842:\n\n> The new arrivals enquired how far they were from Stratford and were surprised on being informed by their landlady that they had reached their destination. The Frenchman who drove them from Hamilton seeing the bitter disappointment of the couple and pitying them so much, offered to take them back to Hamilton for nothing. But they decided to stay and cast their lot with the half dozen or so families that were already here. Messrs. Linton, Vanstone, McCarthy, Sharman, Colonel Daly and one or two others formed the population.[38]\n\nPetworth immigrants had arrived in Easthope Township two years before William Thompson's family, a time when cholera was raging in the area. John Capling, a labourer from West Sussex, had the sorry and immediate task of burying his wife and four of his eleven children within days of arriving. He had to \"wrap them up in the rinds bark] of trees and dig holes and put them in [himself].\"[[39] Apparently the Petworth group had been \"dumped on the Huron Road\" in nearby Wilmot Township (Waterloo County).[40] Of the thirty-two immigrants who travelled with John, twelve succumbed to cholera and died. No doubt the authorities had been anxious to disperse them once they arrived, fearing that they would have caught the disease onboard ship and might still be carrying it. Writing home the following year from Wilmot, William and Elizabeth Daniels advised their family that \"if any of you think fit to come... it will be much better for you than it was for us; you will have a place to come to, as we only had the woods to shelter us.\"[41] Although William Daniels remained a labourer all his life, his sons acquired Canada Company land and became owners of farms.\n\nJames Rapson, another Petworth settler, who was a sawyer by trade, bought forty-eight acres of land in the Galt area together with Jesse, Benjamin, and James Wackford, and they \"set to cutting and clearing, having just raised a house.\"\n\nUnfortunately, the cholera death toll continued, claiming adults and children alike. There was no rancour or bitterness, just a simple acceptance that \"the Lord hath thinned us out.\"[42] Thomas Adsett, a labourer from the Petworth estate who had also settled in Galt, commented on \"the people where we are,\" who were \"mostly Dutch i.e. German][[43] and a great many English and Scotch\" (1833).[44] The Germans referred to may have come from Pennsylvania, since the large influx from Germany did not begin until the 1840s.[45] By 1881, Wilmot Township was primarily German, as was most of Waterloo County. Nevertheless, being a company town, Galt continued to attract a steady trickle of English labourers. Men like William Booty, who arrived from Essex in 1850 together with his wife, Louisa Leatherdale, and settled in the area.[46] Galt gave poor families their first rung on an employment ladder and access to an independent farming life.\n\nA Bush Road, Upper Canada, Winter 1842. Watercolour by Philip John Bainbrigge (1817\u201381).  \nCourtesy Library and Archives Canada, Acc. No. 1983-47-28.\n\nThe English were far better represented in the Huron Tract farther to the west, which, with its relatively cheap and abundant land, had been attracting settlers since the 1840s. They mainly settled in the southern townships of Huron and Perth counties, with the majority having originated from Devon and, to a lesser extent, Cornwall. There they created a sprawling settlement that encompassed four townships in two counties. Their communities developed in a north\u2013south direction along both sides of the London Road through Usborne, Stephen, and Biddulph[47] townships in Huron County and eastward along the Thames Road through Fullarton Township in Perth County (Map 17).\n\nThe Devon trailblazer had been John Balkwill who, having acquired land in Usborne and Stephen townships by 1831, returned home to Devon to drum up support for his new undertaking.[48] William May, his brother-in-law, arrived a year later, and shortly after that came several brothers, who took up land in Usborne, Stephen, and Hay townships.[49] Other Devon people followed during the 1830s, with some joining Balkwill; others colonized the future Centralia in the northern tip of Biddulph Township.[50] Two friends, George and John Snell, also settled in the area. While the Balkwills and Snells were well-resourced, many of the others were short of funds, although the plentiful jobs on offer from the Canada Company meant that any hardship was temporary. John Balkwill went on to found the future Devon at the junction of the London and Crediton roads, while John Snell settled a short distance up the London Road at the future Exeter. John Mitchell, another of the early pioneers, acquired land to the west of Devon at the future Crediton.[51] These were all Devon place names, chosen to commemorate the geographical origins of the first wave of settlers.\n\nDespite this steady influx from Devon, the population of south Huron County grew very slowly until the 1840s, but afterward rose sharply as larger-scale immigration brought ever more people to the area. Having only 283 inhabitants in 1845, Usborne Township's population leapt to 1,484 by 1852. Stephen and Hay townships experienced the same increase. In 1841, the total population of Huron County was just over three thousand, but by 1848 it had climbed to nearly 20,500.[52] Although the largest proportion of the immigrants who arrived during the 1840s originated from Scotland, substantial numbers also came from England. The Reverend Archibald Chapman, the Anglican missionary sent to Usborne and Stephen townships by the Society for the Propagation of the Gospel, reported that he had many English parishioners, although they were far more of an overwhelming presence in Usborne than in Stephen. By 1881, Stephen Township had more or less equal proportions of English, Irish, and German inhabitants, with the English having only a slight lead.[53] Meanwhile, Hay Township, having only attracted a few Scots and Irish initially, went on to acquire a sizeable number of English settlers after 1845, but Germans increasingly predominated, becoming the largest ethnic group by 1881.[54]\n\nExeter (Usborne Township) had received an added boast to its economy during the 1840s when Isaac Carling,[55] a businessman, storekeeper, and politician who had been born in London Township, came to live there. Forming a business partnership with his brother John, they operated a tannery in Exeter, this bringing much-needed employment to the area. Isaac may have acquired some of his work force in Devon, England, since this was a time when he was apparently instrumental in encouraging Devon immigrants to settle in the Exeter area.[56] While Carling's family roots were in Yorkshire, his wife's were in Devon. She was Ann Balkwill, the daughter of John Balkwill, the first Devon man to settle in the area. No doubt, her and her father's continuing contact with family and friends would have enabled Isaac to attract Devon immigrants to Exeter. In addition, it would have also acquired men like Robert Cann, a farm labourer, who, having left Devon in 1849 and settling in Darlington Township (Durham County) for five years, moved to Usborne Township, where he established a three-hundred-acre farm.[57]\n\nThe sudden appearance of Wesleyan Methodist congregations in south Huron County in 1844 testified to the strong English presence. This was a most unwelcome development for the Reverend Chapman, the Anglican minister, who lost much of his congregation to the more charismatic Methodist preachers. Speaking of God's love and salvation, while empathizing with the practical day-to-day problems faced by ordinary settlers, they had a much better rapport with pioneer communities and built up their congregations rapidly. The first Methodist preaching circuit extended northward along the London Road, passing through Biddulph, McGillivray, Stephen, Usborne, Hay, and Tuckersmith townships in Huron County (Map 17). Stephen Township had its so-called \"Devonshire Chapel\" by 1845, and twelve years later a second Wesleyan Methodist chapel appeared at Francistown in Hibbert Township (Perth County), to the northeast of Usborne.\n\nMeanwhile, Bible Christian missions were also being established. Having originated mostly in Devon and Cornwall as a separatist Methodist group, the Bible Christian movement was bound to have widespread appeal in this area. The four Bible Christian preaching circuits that had been formed since 1846 covered much of the Huron Tract. One was based at Clinton (Hullett Township), located at the intersection of the London and Huron roads, a second at Exeter (Usborne Township) to the south along the London Road, a third at Mitchell (Logan Township), situated on the Huron Road, while a fourth one was much farther south in London in Middlesex County. All were positioned on major colonization roads to give Bible Christian preachers the best possible access to their followers. Stephen Township had its first Bible Christian church in 1855 and the following year so did Exeter.[58]\n\nFurther corroboration that south Huron County had acquired a great many Devon settlers is revealed in responses to a Devonshire Association survey conducted in 1900. Through a series of newspaper notices that were published across Canada, the association sought details of the descendents of Devon people who had relocated to the British colonies overseas. Replying to this request was John Hurdon, a resident of Exeter in Usborne Township. He reported that his father, a doctor from north Devon, had come to the area along with \"a great number of the Devonshire men... who are of the farming class; [they] came out almost penniless and are now fairly well off, by the real estate they owned having increased to twentyfold.\"\n\nEmigrant ships leaving Plymouth Harbour in Devon circa 1855. Oil painting by John Callow. Around 18,000 passengers sailed from Plymouth to Quebec between 1840 and 1860, accounting for 150 crossings.  \nCourtesy the Plymouth City Museum and Art Gallery.\n\nBy 1901, the thriving village of Exeter had \"about 1,900 inhabitants\" and, according to Hurdon, one-quarter were of Devon descent: \"Seven miles away is the village of Crediton and to the north 20 miles away is Clinton, all Devonshire names.\" A great many Devon people were also to be found in the city of London, this being \"one of the finest wheat growing parts in Ontario and with a fair climate.\"[59] W.L. Wickett, a barrister from St. Thomas, to the south of London, who also responded to the survey, went even further, claiming that the town of Exeter and its vicinity was inhabited \"almost exclusively by Devonshire people or their descendents.\"[60] No doubt, the initial influx from Devon had been quite considerable.\n\nWhile the English were particularly well-represented in south Huron County, they also established major enclaves farther to the north in Colborne and Hullett townships, becoming the dominant ethnic group by 1881 (Map 17). The magnet had been the Canada Company town of Goderich, located in Colborne Township. The town attracted a good many English labourers and tradesmen because of the well-paid and plentiful jobs that it had to offer. A typical example was the Suffolk-born John Freeman who, having arrived in Goderich around 1831, found work as a carpenter more or less immediately and shortly after this acquired 163 acres of land. \"If I clear ten acres every year I shall soon have a good large farm.... When I work for the Canada Company I take half cash and the other half I set off towards paying for my land.\" By November 1832, he hoped to be able to \"give up my carpentering trade... and work wholly on my farm.\"[61] This was a well-trodden path for people who came with insufficient cash to set up as farmers immediately. A further indication that people of English origin had featured strongly in the early influx is the fact that by 1860 almost half of Goderich Township's population was Church of England, with another 25 percent being Wesleyan Methodists.[62]\n\nAs with the rest of the Huron Tract, Hullett Township's population grew very slowly, having only 195 inhabitants in 1844. Most were English. The arrival of Thomas Hagyard, a medical doctor from Londesborough, Yorkshire, was a turning point, in that he had been the first person to appreciate the area's commercial potential. He chose the site for a village and laid it out with great care. Initially known as Hagyard's Corners, its founder felt it deserved a grander name, and so it was changed to Londesborough, after the Yorkshire estate on which Hagyard had been raised. \"The village continued to grow and at the height of its prosperity had two general stores, four carriage and wagon shops, four blacksmith shops, a bending factory, two shoe shops, two merchant tailors, a private school as well as a public one, Methodist and Presbyterian churches, and, of course, a tavern.\"[63]\n\nWilliam Ainley, another Yorkshire man, founded the village of Brussels in Howick Township (Huron County) to the northeast of Hullett. Having settled initially in Fullarton and Logan, he came to the future Brussels in pursuit of cheap land. Satisfied that he had chosen a good site, he moved his family from Logan and founded the village.[64]\n\nMeanwhile, immigrants from Devon and Cornwall were relocating in substantial numbers at the eastern end of the Huron Tract.[65] \"Turners, Pridhams, Heals, Moores, Harrises, Beers, Greenwoods, Chaffes and Sharsels\" came during the 1840s and mainly settled on the western side of Fullarton Township (Perth County).[66] This placed them alongside the already-established \"New Devon\" communities in south Huron County. There was now a continuous link between Usborne and Stephen on the west and Fullarton on the east (Map 17).\n\nThe eastern townships of the Huron Tract also attracted people from other parts of England, particularly from Northumberland, Kent, Westmorland, and Shropshire. Unlike the Devon and Cornwall arrivals, who settled together, they became widely scattered, although most opted for Fullarton. Carlingford in Fullarton attracted a great many English, and by 1848 it had its first Methodist church. Four years earlier a Bible Christian congregation had been established at the nearby Fullarton Corners.[67]\n\nHibbert and Blanshard townships, bordering on Fullarton, also acquired many English, who were a close second numerically to the Irish by 1881. Hibbert's first Methodist church was probably the one erected in Staffa in 1856, with others following later.[68] Robert Donkin, who originated from Northumberland, was reputed to have been its first inhabitant. Among the English families who settled in Blanshard during the 1840s were the Harrisons and Marriotts from Yorkshire.[69]\n\nMethodism flourished, and by 1861, Kirkton, situated on the boundary between Usborne and Blanshard, had its first Methodist church. Yet, Methodism was doing a little too well for some people: \"The Presbyterians have no churches in Blanshard, the Church of England only one. The Methodists, it may be said, possess all the church property in this township.\"[70] This situation irritated James Coleman. Having come from England to St. Marys (Blanshard Township) with his wife, Anne, sometime before 1834, he had found employment as a schoolteacher, physician, and clerk of the Perth Division County Court. Regarding himself as a pillar of the local community, he decried \"the strength of the evangelical element in the western part of the Upper Province.\" In his view, \"the true religion in this diocese hitherto has been at a very low ebb in the English church; the clergy have been so few and, of these few, not more than two or three have been of the right stamp.\"[71] Or, put another way, Anglican ministers had a poorer following than their Methodist counterparts in this part of Perth County.\n\nDownie Township, on the southeastern edge of the Huron Tract, quickly became a Scottish stronghold, but nevertheless, it attracted a small group from Northumberland. John and George Gibb arrived from Rothbury in 1834, and in the following year were joined by George Wood and William Dunn, also from Rothbury.[72] In a letter that he wrote eight years later, George Wood explained that he had come to Downie because his \"father-in-law, John Gibb, who was a shepherd at Ryehill,\" had written home to him \"about the state of the country.\" No doubt it was a favourable report, since George emigrated more or less immediately. Having purchased one hundred acres, he built a log house and log barn and was soon on his way to becoming a substantial farmer: \"By adopting this country as the future home of myself and family I am now a master whereas I could never well except otherwise than to see myself and my family as servants in England]. The facility of acquiring property here is great and any man, single or married, of sober, economical, industrious and persevering habits is sure to do well.\"[[73]\n\nMeanwhile, his brother-in-law William Dunn, who had accompanied him, was enjoying considerable success. Having been a poorly paid farm labourer in Northumberland, he had \"not a cent\" when he arrived; \"but... was owing George Wood $75.00 for advances made to me, and this sum I have long since paid.\" Knowing something about milling, William had easily found work at the grist- and sawmill at Stratford, and three years later was able to make his first down payment on one hundred acres of land. In 1842 he wrote: \"I am not inclined to over-estimate my property, but I would not accept of $1,500 for my farm and stock; but I feel so comfortably placed, that this sum would not tempt me to sell.\"[74] However, such endorsements have to be taken with a pinch of salt, since they were deliberately commissioned by the Canada Company to be used in enticing immigrants to their lands.\n\nOther English settlers, like George Pringle, another Northumbrian, came to Downie sometime before 1842, as did Henry Scarth, who came from Shropshire, and William Knott from Derbyshire.[75] It was just a matter of time before Methodism took root. The catalyst was a chance visit by a Methodist missionary named Cleghorn, who lost his way when travelling from Shakespeare to Zorra. He ended up in the village of Harmony, just to the south of Stratford, and held religious services there. \"The surrounding backwoodsmen, manifesting an interest in these religious exercises, decided to form a congregation...\"[76]\n\nElma and Wallace townships, lying just outside of the Huron Tract beyond Logan, acquired their first English settlers in the mid 1850s. While Elma's English population was comparable to the Scots and Irish by 1881, in Wallace they were greatly outnumbered by the Irish and Germans. Elma's earliest English settlers included Thomas Kitchen, Samuel Wherry, Jesse Rowland from Gloucestershire, William Hewitt, Thomas Mann, and Luke Lucas.[77] Meanwhile, Wallace Township was fortunate in attracting migrants from Simcoe County, who came with much-needed skills:\n\n> The pioneers who came from Simcoe had some experience in backwoods life. This was a valuable acquisition to a new country. Their knowledge of the work peculiar to clearing land was of great advantage to the unskilled immigrants from across the sea. Its proximity to Waterloo County and the older sections westward created a large influx of experienced bushmen. In fifteen years from its rapid settlement Wallace had a population of 3,580 indicating rapid progress.[78]\n\nThe even more remote areas between Lake Huron and Georgian Bay were the last areas in the western peninsula to be colonized. As Thomas Cholmoneley discovered, the region was still sparsely populated in 1858: \"There is nothing more than 10 years old in this lovely region.... It is a wild place but awful lovely... from Owen Sound to Saugeen, I was twelve hours going thirty miles in a cart and such bumping!\" He was delighted to meet the \"spruce young gamekeeper from Lincolnshire... who was running the... nice little Inn\" in Saugeen. And when he had passed through Goderich, he met \"an old Cheshire huntsman\" who managed the large hotel there. However, although Thomas enjoyed his reminiscences with fellow Englishmen, he had not reacted well to local Canadians. He objected to their informality and rough and ready ways and was horrified by the high crime rate, particularly among young people. He concluded that the female descendents of his family would cease to be ladies if they moved to Canada. \"There is a great want of delicacy,\" he thought.[79]\n\nWriting in 1932, W.M. Brown had a more sympathetic appreciation of the people. He described the first settlers of Grey and Bruce counties as \"men of iron vigour, who underwent labour and hardship and destitution in their battle to overcome the mantle with which Nature had covered the land.\"[80] A little excessive perhaps, but he was right to highlight the enormous challenges that immigrants faced in venturing this far north into the outback. To encourage settlers to come to the region, the government had offered fifty-acre lots as free grants on either side of the new colonization roads that extended through Bruce and Grey counties. Both the Garafraxa Road, linking Guelph with Owen Sound (formerly Sydenham), and the Durham Road, linking Durham with Kincardine, helped to facilitate a growing influx of people (Map 17).[81] The strategy worked, and by as early as 1843 the government had to announce that \"lots on the Garafraxa and Owen Sound road were] no longer open for settlement on the principle of free grants\" because most had been occupied. However, the government would make grants available \"on the same conditions in the immediate vicinity of the roads, which will afford the means of advantageous settlement.\"[[82]\n\nThe availability of free land grants in a newly opened region was a major lure to already-established settlers as well as to immigrants from Britain. Those contemplating emigration often looked to their relatives and friends to advise them of such opportunities. An example is the Ottewell family from Lincolnshire.[83] Richard Ottewell and his wife, Jane Towle, were the first in their family to emigrate, doing so in 1849. A factor in their decision to leave England was their inability to find employment. Richard's family had produced handmade nails, but with the arrival of manufactured nails made in factories, their job prospects collapsed.[84] Two years after setting sail for Quebec, Richard and Jane were living in Whitby on the northwest side of Lake Ontario, but ten years later were to be found in McGillivray Township (Huron County). Meanwhile, Richard's good reports led his father, Philip, and Richard's two brothers to emigrate in the 1850s, and all three opted for Osprey Township in Grey County. Richard's uncle also emigrated, finding work as a tinsmith in Osprey, thus carrying on the family tradition of metalworking. All of the other members of the family became farmers. By 1861, all six of Philip Ottewell's children were living in various parts of Upper Canada. The next generation of Ottewells would repeat the process and seek new land opportunities in Manitoba and Alberta.\n\nWhile large Irish and Scottish populations had already developed in Grey and Bruce counties, relatively few English settled in this region. Most of the English were concentrated in Collingwood, Keppel, and St. Vincent townships in Grey County and in Amabel Township in Bruce County (Map 17). Although Owen Sound's population was split three ways between the English, Irish, and Scots, the English were the dominant group in 1881. Writing in a Cornwall newspaper ten years earlier, the Cornish-born Charles Julyan, who lived near Owen Sound, extolled the benefits that Canada offered: \"If any of my old neighbours in Kew Parish] had found their way here last September they would have been surprised to see my vines loaded with fine grapes and apple and pear trees, both dwarfed and standard, covered with fruit. This part of the country is about the extreme northern limit of the vine...\"[[85] Nevertheless, Charles's advice to people back in his native Cornwall was to seek land in Manitoba.\n\nThe enterprising Joseph Bacon from Essex ventured into Bruce County, having first settled in Arthur Township (Wellington County) in 1840, shortly after the construction of the Garafraxa Road. A labourer from Debden Parish, he and his wife, Susannah Franklin, had arrived in 1835 after almost certainly having received assistance to emigrate.[86] When free grants became available along the Durham Road, the Bacon family moved immediately to Brant Township in Bruce County (Map 17). By 1850 the family was living \"in a shanty and clearing.\" And Joseph's \"brave wife\" was remembered as \"the first woman to become a permanent settler in the township.\"[87] Initially, Joseph and six of his seven sons owned land near Walkerton, and his four daughters also lived in the area. However, by 1881, only two of his eleven children remained, with the rest having gone to Manitoba or the United States.[88] This pattern of people seeking the newest land opportunities would be repeated over and over again.\n\nAs economic conditions continued to deteriorate in England throughout the second half of the nineteenth century, the influx to Upper and Lower Canada intensified. While some sought the advantages that the prairies had to offer, plenty of English people continued to head for Ontario and Quebec. New and attractive emigration schemes brought them to already-established farming areas as well as to the new industrial districts being established farther north. Ontario and Quebec's vast acreages, excellent job opportunities, more liberal social climate, and relatively easy accessibility were strong enticements, contributing to the huge surge of emigration that continued into the twentieth century.\n\nTable 16:\n\nPartial Passenger List for the Crossing of the Caroline in\n\nMay 1832 from London to Quebec\n\n[Wright, \"The Caroline and Her Passengers,\" 35\u201337.]\n\n# Chapter 9\n\nLater Emigration from England\n\n> Within the past few weeks numbers of school rooms have been offered to me by the clergymen of the villages through which I was passing, with their influence and assistance, if I would promise not to mention emigration in any way.[1]\n\nAS HE SOUGHT to extol the benefits of Ontario to farm labourers in the South of England, Captain A.J. Whellams, one of the province's immigration agents, encountered serious opposition. During his visit in 1875, some farmers did their best to impede his progress, fearing that emigration would cause such a significant drop in the labour force that wage rates would rise. Thus it was that Captain Whellams sometimes had to contend with small audiences, even to the point of letting poor people attend his lectures free of charge, just to get the numbers up to a reasonable level: \"The opposition in the agricultural districts is so strong that I find my advocacy of emigration to Canada is the cause of small receipts.... The employers of labour will not patronize an entertainment that directly or indirectly bears on emigration.\"[2] However, in other areas agents were far more successful, owing to the support they received from trade union officials.\n\nDespite the steps taken in the 1830s by the Tolpuddle union in Dorset to press for better conditions, English farm labourers had been slower than workers in other industries to form trade unions, not doing so until 1871. Once formed, the agricultural trade union movement more or less immediately advocated emigration. The major selling points were that it would give those members who opted to emigrate a better life and, for those who remained behind, there was the indirect but very welcome outcome of reduced unemployment and hopefully higher wages. Ever anxious to rid itself of its social problems, the British government welcomed the desire for emigration among the English labouring poor, as did Ontario, which had a chronic shortage of farm workers. To entice them to emigrate, both the British and Ontario authorities offered special sea crossing rates starting in 1872. Agricultural trade unionists had only to pay \u00a32 5s. for a crossing to Quebec, and there was an extra bonus for men going to Ontario, who only had to pay \u00a31 8d., with the Ontario government making up the difference.[3] Nevertheless, such was the poverty of most labourers that many had to turn for help to their unions even for these paltry sums.\n\nTrade union\u2013sponsored emigration was most prevalent in central and southern England, the regions where the new trade union organizations had mainly sprouted. As he toured the southwest of England and the Midlands, George T. Denison, the Ontario immigration commissioner to London, England (1872\u201374), found plenty of enthusiastic gatherings, but he also encountered occasional hostility from local farmers.[4] Choosing the thirteenth-century George Inn at 23 High Street, Salisbury,[5] as his base, he began by holding a lecture in Salisbury in February 1873. From South Wiltshire he hoped to move west to Dorset, but despite a determined effort to hold a lecture at the school room in Milton Abbas, Denison failed to attract any support and so moved north to Wootton Bassett in North Wiltshire, where the reception was a great deal better:\n\n> On Monday, 3rd March I went to Wootton Bassett from there to Broad Hinton, a village about 6 miles south. There was a large number of farm labourers, only as I had obtained the assistance of Mr. Strange, the leader of the West of England agricultural association and he had agreed to go with me to four meetings. The Reverend Thomas Storey, who takes a great interest in emigration, went out with me and spoke. He spoke at a meeting in Christian Malford, an agricultural village about 8 miles to the southwest of Wooton Bassett, where there were about 400 to 500 present.[6]\n\nDenison and his supporters then attended a large audience at Hilmarton, a short distance from Broad Hinton. Clearly feeling more motivated, Denison decided that it was time to tackle Dorset again and gave his first lecture in the town of Sherborne. However, his failure to mention the size of his audience suggests that it was poorly attended.\n\nThe Old Work House, Salisbury. Now the Church House, this building had been acquired as a workhouse by the city of Salisbury in 1834 and used as such until 1881. Struggling farm labourers and their families were sometimes supported in workhouses during long periods of unemployment.  \nPhotograph by Geoff Campey.\n\nDorset was certainly less welcoming than Wiltshire. Denison reported to the Honorable Archibald McKellar, minister of emigration, that \"many of the farmers in Dorset] are beginning to be afraid of the agitation in favour of emigration and often the clergymen, who have control of the venues, refuse to hire them or let them be used for emigration lectures.\" Sometimes he had to \"speak in the open air to the poor labourers [either] in the street or village green.\" While \"in some places the leading people are very kind and very willing to assist me... the farmers are very much opposed to our movement.\" Nevertheless, in one week during mid-March, he managed to canvass north Dorset comprehensively, giving lectures every night for a week (except Sunday) at Weymouth, Bridport, Dorchester, Milton Abbas, Poole, and Wimbourne.[[7]\n\nWith this success behind him, Denison moved north to Oxfordshire, where a local trade union agent was waiting to help him. His first venue was in Wootton, a village near Woodstock and just to the north of the city of Oxford:\n\n> I had a large audience, the room was crowded to excess, and almost entirely with agricultural labourers. Mr. C. Holloway, a man of influence among them, occupied the chair and made a good speech in favour of emigration. I am told a number are going to emigrate and the want of money alone prevents many more from leaving.[8]\n\nThen it was even farther north to Warwickshire, where Denison spoke \"to a good house of agricultural labourers\" in Southam, a village about eight miles from Leamington Spa. But here again he met opposition. This was hardly unexpected because of the trouble experienced a year earlier when labourers in the newly formed Warwickshire farm workers' union fought unsuccessfully for higher wages and shorter hours. Two immigration agents quickly appeared on the scene, one Captain Whellams, acting for the Ontario government, and the other representing the Brazilian consul-general. Surprisingly, Brazil was the preferred choice.[9] In all, one thousand people from Warwickshire, with some also from Gloucestershire, Oxfordshire, Dorset, and Wiltshire, emigrated to Brazil in 1872\u201373, in what proved to be a disastrous venture.[10] So Denison would have found strong anti-emigration feelings in some parts of Warwickshire. In Wellesbourne, close to Leamington Spa, he had to hold his meeting on the village green, where he claimed around 350 to four hundred attended. He spoke to around six hundred people at nearby Fenny Compton, but at Kenilworth, also in the immediate vicinity, he had \"only a fair audience.\"[11]\n\nLearning in April that people in Herefordshire were leaving for Virginia or Minnesota, in the United States, Denison made a beeline for Ledbury, speaking to a large audience at the Town Hall. The next day he travelled north to Shropshire to lecture \"at a large meeting\" in Ludlow and nearby Leamoon Common, where he \"had the chapel crowded to excess.\" Ending his tour on April 12 at Leintwardine in Herefordshire, a short distance from Ludlow, Denison had the satisfaction of feeling that, through his exertions, \"the people were now talking of going to Ontario.\" He felt that most of the emigrants from Herefordshire, Wiltshire, Dorset, Oxfordshire, and Warwickshire \"will have been influenced through me to go to Ontario as I have been almost alone in working up Ontario in Canada among them.\"[12]\n\nA year after Denison's tour, emigration was given a stimulus in the eastern counties, particularly in Suffolk and Cambridgeshire, when around six thousand agricultural trade unionists were locked out by farmers in an attempt to destroy the union. Many \"were in fact escorted by union officials to Ontario, where they were apparently soon able to obtain employment.\"[13] A further group of 588 farm workers and their families, mainly from Lincolnshire, left in the following year for Ontario. However, by this time trade union involvement in emigration was beginning to wane, and by 1881 it came to an abrupt end. Trade union leaders could see little sense in encouraging the emigration of what were usually their most able members, and doubted the value it had in increasing the bargaining position of those who remained behind, since the numbers leaving at any time were relatively small. So, while the emigration of farm labourers continued after 1881, it did so without any support from the agricultural trade unions. It relied instead on funds provided by parishes, landowners, and the increasing number of philanthropic bodies that were being formed to assist poor people to emigrate.\n\nAlthough the Industrial Revolution, which began in the late eighteenth century, had made Britain the most powerful and wealthiest nation on earth, it had brought untold grief to workers unable to benefit from the rapid economic expansion that was taking place. People had flocked from the country to the cities to fill the new jobs being created in the factories and related industries. However, while this was happening, traditional forms of employment were being destroyed by the increasing growth of mechanization and factory production. As workers found themselves being replaced by machines, they joined a growing pool of unemployed labourers who, if they managed to find work, had to accept pitifully low wages. Even young children had to take paid employment to supplement their families' meagre income. This situation was creating great misery and squalor in English cities by the late 1860s. It is against this background that Ontario and Quebec came to acquire so many of England's poor. Yet, put in a wider context, they were only a small component of the total who emigrated. Even in these difficult times, most English immigrants were sufficiently affluent to pay their own relocation costs.\n\nWhen munitions workers at the government factories in Woolwich near the city of London were made redundant in 1857, their first thought was to emigrate.[14] With the end of the Crimean War in 1856, most of the workers who had been taken on earlier for the war effort were no longer needed. Rather than seek alternative employment, they chose to go to Ontario. Money was collected by the Woolwich Emigration Fund Committee and, unusually for the government, it provided a grant of \u00a33,000, while the Duke of Wellington contributed a further \u00a31,000.[15] A total of \u00a36,000 was raised \u2014 enough to pay for the relocation costs of around 1,070 people.[16] However, with the closure of the Woolwich naval dockyard in 1869 and the continuing decline in munitions manufacture, the situation deteriorated even further, leading to considerable distress. Once again, Ontario beckoned.\n\nWoolwich emigrants embarking by ship in 1869 for Quebec at the naval dockyard in Portsmouth. Report in the Illustrated London News of May 1, 1869.  \nCourtesy Portsmouth Museums and Art Gallery CR 236\/1982\/9.\n\nA Relief Committee and an Emigration Society were duly formed to raise funds, but this time the government refused aid, apart from offering the redundant workers free transport in troopships. Contributions from local benefactors enabled just over one thousand former Woolwich dockyard workers to emigrate to Ontario in 1869, while a further 1,500 left the following year. However, the latter group included redundant workers from other naval dockyards along the River Thames, the River Medway, and the south coast.[17]\n\nAs these events were unfolding, distressed people living in London were also seeking help to emigrate. Forty single men and women, together with a small number of families \u2014 ninety-three individuals in all \u2014 were being assisted in June 1870 by the Working Men's Emigration Association to emigrate mainly to Lennoxville in the Eastern Townships of Quebec, \"where they hoped to obtain immediate employment\" (Table 17).[18] A few had been tradesmen such as bootmakers, carpenters, painters, clerks, bricklayers, and engine drivers, but the majority were labourers. The domestic servants and agricultural labourers, particularly those who wrote \"wants farm work,\" would have been snapped up straight away, while the tradesmen would have seemed less relevant to local needs. At this stage, Canada was still primarily an agricultural country.\n\nTwo months previously, representatives of this same London-based association had written to the Earl of Litchfield, in Staffordshire, asking for a donation to help several other families, about thirty adults, \"who have been compelled to sell their homes on account of want of work \u2014 and who would be enabled to join a party of our members going to Canada if a sum of \u00a375 could be raised for their assistance.\"[19] No doubt, other grandees throughout the country were also being pressed to help. In all, just less than four hundred members of the association left St. Pancras railway station in London in May of that year for Liverpool, where they embarked for Quebec in one of five ships.[20]\n\nMeanwhile, Cornwall had been experiencing a downturn in its copper mining as a result of foreign competition, with the industry falling into a steep decline since the 1860s. As conditions deteriorated, the miners looked abroad for new opportunities. They mobilized their own resources, regarding the world's mining centres as mere places from which they could extract success and profit.[21] While most favoured the United States and Australia, the opening up of copper mining in northern Ontario began to attract the interest of Cornish families starting in the mid-1850s. Possibly their contacts in the already-established Cornish communities along Lake Ontario in Durham and Northumberland counties, and farther west in Huron County, had given them advance notice of the new mining developments taking place in the Algoma District. These highly skilled miners took charge of the management of the Bruce copper mines near Sault Ste. Marie, and they were also the key component of its workforce, thus bringing a steady flow of Cornish people to the area. Predictably, when the mines closed in 1876, the Cornish miners moved out, dispersing to other mining centres, especially those in the United States.[22]\n\nBy 1870, the Ontario government was running promotional campaigns to attract colonizers to the vast wildernesses of northern Ontario. One-hundred-acre free land grants were offered to settlers in districts like Algoma on condition that a stipulated area was cleared and cultivated within a stated period and a house was built.[23] A farmer from Norfolk who had been living near Sault Ste. Marie for twelve years thought that the district's big advantage was the availability of mining and lumbering jobs in the winter: \"The kind of farmers to come here, and the men who would make themselves well-off in a very short time are tenant farmers and others with a little capital and a good practical knowledge of farming...\"[24] He may well have been speaking for the Cornish miners, although they were a special case. However, many English must have taken advantage of land offers in southern Algoma, since by 1881 they were the dominant ethnic group in places like Bruce Mines, where they represented 52 percent of the population, and in Sault Ste. Marie, where they accounted for 39 percent of the population (Map 18).\n\nApart from the Cornish miners, who were able to find mining jobs abroad, there were men like Alfred Jewell, who thought laterally and found work as a lead glazier in Toronto. Having initially moved from Newquay to Cobourg in Northumberland County in 1883 \u2014 an area with many long-established Cornish settlers \u2014 he and his wife and six children relocated to Toronto the following year, where he was snapped up by a company that installed stained glass windows.[25]\n\nHowever, Jane and John Atkinson from Preston in Lancashire learned the hard way that Ontario did not necessarily have the ideal jobs market for tailors. They emigrated to Amherstburg in Essex County in the 1870s, hoping that John would find employment as a machinist, but after three years of working on the railway, they had given up any hope of John finding anything better: \"Although] times are pretty bad here, our folks being in work, we ought not to complain.\"[[26]\n\nRichard Edwards, a skilled ironworker from what is now the Telford area of Shropshire,[27] emigrated to Hamilton in 1886 with his family and fared better. He landed a job as a steam-hammer operator, working for the Steel Company of Canada.[28] Also, when Thomas Hayward, Herbert Barnett, and John Knott, all from Corsham in Wiltshire, an area close to the Somerset coalfields, moved to Cobalt in northern Ontario around the same time, one suspects they had been attracted by the jobs to be had in the silver mines.[29] However, English coal miners seeking to remain working as miners after emigrating generally looked to the United States for employment.[30]\n\nMeanwhile, Ontario immigration agents continued to sing the praises of the province's agricultural opportunities, targeting specific areas of England where they had local contacts. John Bennet, a self-styled agent who said he would not seek payments for his efforts from the government \"until I have shown my worth,\" had a positive story to tell about his own experiences in Stayner in Nottawasaga Township (Simcoe County). It is not clear where in England he was heading in 1876 in his mission to bang the drum for emigration, but it was likely that he went to his former residence, where he would have had friends and family. Once there, he intended to reveal how he had come to Stayner three years earlier with only \u00a33 in his pocket, and how, \"through my own industry, I am now] in possession of 80 acres of first-rate land, and have enough to meet my only payment in May next.\"[[31] Bennet was planning a series of \"personal interviews,\" during which he would \"let the public at large know in England what I have done myself and, if that will not be convincing, nothing will.\"[32] His sales pitch was intended to appeal to affluent farmers, who were being anxiously courted, to stop them from going to the United States.\n\nThe rising number of English farm labourers who wished to emigrate to Ontario were easier to attract, although John A. Donaldson, the Toronto immigration agent, wondered how he was going to cope with the great number who were due to arrive in 1879. According to the warden of Peel County, Donaldson had informed him that \"a large number of first-class farm hands are likely to come amongst us... and will be sent to any part of Peel] County where required.\"[[33]\n\nWith the growing agricultural depression, most of the so-called \"first-class farm hands\" had needed financial help to emigrate. A particular trouble spot was Bedfordshire, which lost a steady stream of poor farm workers to Ontario during the second half of the nineteenth century. A group of nineteen people from Eversholt Parish were helped to emigrate in 1874 through subscriptions raised by landowners, including the Duke of Bedford, and money provided by the parish.[34] The Haynes Parish emigration fund had been established in 1850 to raise money to assist poor labourers, and it continued to do its philanthropic work until 1907.[35]\n\nAt the other end of the social spectrum was James Cross, who had access to the rich and powerful. Having become known in some way to the Duke of Portland in Nottinghamshire, Cross asked his lordship in 1873 for \"kind aid towards a fund being raised by the Reverend A.J. Fleming, incumbent of the parish of St. Paul's Church, Clerkenwell London], to enable myself, mother and wife and 6 children to emigrate to Canada.\" To bolster his credentials further, he added that the Marquis of Westminster and the Lord Mayor of London had also contributed to his fund.[[36]\n\nThe free land grants that the Ontario government offered at the time were a great enticement, although the rewards required Herculean effort and stamina. Having qualified for two hundred acres of uncleared land, the Jackson family from Nottinghamshire soon had second thoughts about the wisdom of taking on such a commitment. Mrs. Jackson explained to her cousin in England that she and her husband could no longer cope with the workload. But, being a shoemaker, her husband had been able to find work easily in Toronto; so they had \"agreed to stay here and work at shoe making till we can get on a partly cleared farm.\"[37]\n\nLearning from this experience, Mrs. Jackson advised her cousin to emigrate if he wanted to, but if he did, \"that he should take at least \u00a3100\" in order to buy already cleared land; \"you would be a gentleman soon with that.... It is a right place when you have a start, the living is so very cheap.\" Making a similar point, a government communiqu\u00e9 in 1870 stressed that immigrants who took up free grant lands without first having provided a financial cushion for themselves were likely to fail. They needed to earn sufficient money to enable them to subsist on their land until they could obtain their first crop. And finding basic manual work was remarkably easy given that there was a stated requirement for thirty to forty thousand agricultural labourers in Ontario at the time.[38]\n\nOttawa Boot and Shoe Factory, New Market Street, Ottawa, 1875. Photograph by William James Topley.  \nCourtesy Library and Archives Canada, C-002207.\n\nMeanwhile, the Muskoka District, north of Lake Simoce, witnessed the arrival of a new type of immigrant during the 1870s \u2014 upper class \"remittance men.\" This term, first coined in Australia, had disparaging connotations, evoking images of the idle and pretentious rich. Primarily an English phenomenon, remittance men received regular payments from a family member or friend, usually on condition that they moved to a stipulated overseas destination. An example was eighteen-year-old Frederick de la Fosse, who, having been orphaned as a child, was sent to Muskoka in 1878 by his uncle, Colonel Montague Ricketts.[39] Acting as his guardian, Ricketts clearly decided that De la Fosse needed to be taught a lesson or two about life, and presumably hoped that three years in the backwoods of Muskoka, learning the basics of farming, would make a man of him. Often, in such cases, there was a hint of scandal and a general desire to be rid of the person in question.\n\nRicketts enrolled De la Fosse in what was termed an \"agricultural school,\" run by Captain Charles Greville Harston. For the sum of \u00a3100 per annum, Harston agreed to take De la Fosse as a pupil for three years, and upon completion of his farming education he was to receive one hundred acres in the Muskoka District. Of course, free land grants were available to all prospective settlers, so the only real benefit of the transaction was Harston's tutelage, which concentrated on the practical skills of land clearance. As might have been expected, Harston was a rogue, disappearing, never to be seen again, once the three-year training period had been completed. All the while, De la Fosse received regular allowances from his uncle, secure in the knowledge that he need never experience the hardships of the ordinary settler:\n\n> Much as we plumed ourselves in being pioneers, the reality was that we were only such in the sense of being in the district and undergoing many of the discomforts of a settler's existence... and escaped the privations and anxieties that were the common lot of those around us.... It was only when we hade been a considerable time in the country that we realized what very ordinary beings we were and how much the grit and the determination of those poorer than ourselves were to be admired.[40]\n\nAt the age of twenty-one, De la Fosse moved into a log cabin in the Huntsville area, living near a circle of wealthy friends who also relied on remittances from England:\n\n> Our dwellings were well furnished, pictures and ornaments sent by kind relatives in England, covered our walls, and one or two of us even boasted the possession of pianos, banjos and other musical instruments.... All of us were imbued with the idea of being gentlemen farmers so most of us engaged the services of young sons of settlers to perform our chores and help us in our housekeeping.[41]\n\nFrom time to time these aristocratic adventurers enjoyed pastimes like cricket, presumably having remembered to pack a cricket bat in their luggage as they were leaving England. Learning about the athletic events to be held in Huntsville's Gala Day, De la Fosse and his group decided to join in, challenging the \"Huntsville Cricketers\" to a match: \"The challenge was promptly accepted but we went to our wits' end to find enough men for the team. This difficulty was finally surmounted by our obtaining the services of sundry baseballers among the younger element, who were only too anxious to seize the chance of glorification.\"[42] Before the match, the cricketers enjoyed dinner together at one of the Huntsville hotels, \"spending a most pleasant hour together.\" After much bedlam and hilarity, \"the game was a victory for the Huntsvillians.... We found it hard to find out what the real score was, as the record had been kept by an individual who had offered his services gratis and had been accepted on the strength of telling us that his grandfather had been a cricketer.\"[43]\n\nDespite his seemingly frivolous nature, De la Fosse settled down and made something of himself in the end. After marrying Mary Bell, he and his wife raised a family in a remote farm located along Buck Lake, to the east of Huntsville, in Parry Sound District. He later moved to Peterborough, where he held down a job as a librarian in the Peterborough Public Library for thirty-six years, doing so until his death at the age of eighty-six.\n\nWhile the Muskoka remittance men were relatively few in number, they had come to a district that had attracted a good many English settlers. No doubt the offer of free land grants and Muskoka's profitable timber trade had been major inducements, although newspaper reports on both sides of the Atlantic continued to cast doubt on the likelihood of success.[44]\n\nA major transition in the nature of English immigration occurred with the arrival during the 1870s of so-called \"home children.\" They were the offspring of the urban poor who were being offered a new life in Canada as indentured farm workers or domestic servants.[45] The intention was that they would help to alleviate Canada's desperate labour shortages and in the process benefit themselves by having the chance of a better life.[46] With the worsening humanitarian crisis building up in cities like London and Liverpool, parents and guardians who were no longer able to provide for their families had placed their children in charitable homes. The escalating costs of caring for these children led to the timely solution of sending them to Canada, and a host of philanthropic people emerged to organize their departures and placements.[47]\n\nLog House near Huntsville, 1875. Pencil drawing by George Harlow White (1817\u201387).  \nCourtesy Toronto Reference Library T16432.\n\nDespite grave concerns on both sides of the Atlantic over reports that home children were being neglected, over-worked, and in some cases abused, the emigration schemes grew rapidly.[48] About five hundred home children were sent to Canada annually during the late 1870s, and this number more than tripled between 1879 and 1883.[49] More than eleven thousand children arrived in Canada between 1870 and 1914, and this number mushroomed to eighty thousand by 1925.[50]\n\nThe first two removals were launched in 1869\u201370 by Maria Rye and Annie Macpherson, both deeply religious women, who had been troubled by the suffering they witnessed in the slums of London and Liverpool. Miss Rye's children came from workhouses and industrial schools, while Miss Macpherson's youngsters were mainly street waifs gathered from London's east end.[51]\n\nUpon arriving in Canada, the children were brought to so-called \"receiving homes\" that sometimes offered training and from which the final placements were determined. Most were located in southern Ontario. Rye's Our Western Home at Niagara-on-the-Lake, and Macpherson's Marchmont Home at Belleville were the first to be established in Ontario, with many others eventually sprouting up as far to the east as Ottawa and to the west as far as London.[52]\n\nLouisa Birt, Annie Macpherson's sister, acquired her home in 1877 at Knowlton, to the southwest of Sherbrooke (Eastern Townships), after previously having sent her children to Nova Scotia.[53] Established in 1872, the Church of England Waifs and Strays Society also joined Birt in the Eastern Townships, establishing homes for both boys and girls at Sherbrooke.[54] Given the substantial English presence in the southern part of the Eastern Townships, Louisa Birt and the Waifs and Strays Society would have easily been able to arrange placements with English-speaking Anglicans (Map 9). John Middlemore, a medical doctor and son of a wealthy businessman from Birmingham, ran his first children's home near London, Ontario, but afterward moved his headquarters to Fairfax, near Halifax, Nova Scotia.[55] Meanwhile, Thomas Barnardo,[56] the doyen of the emigration movement, had his main home for boys in Toronto and for girls in Peterborough.[57]\n\nThrough these schemes, children from English city slums were removed from hopeless situations and given the chance of a decent livelihood in later life. After serving their indentures, some followed the promised career of farming, although most opted for the well-paid jobs to be found in towns and cities. But to reach that happy outcome they had to first demonstrate great resilience and courage. They were despised for their poverty and had no one to turn to for help. Well-meaning philanthropists like Mr. Barnardo had torn up family links in a mindless quest for moral correctness. They thought that children had to be rescued from a degenerate home life, seemingly oblivious to the strong family ties and respectability of the labouring poor.[58] That said, most children clearly benefited from going to Canada.\n\nThe Girls' Friendly Society,[59] founded in 1875 and run in conjunction with the Church of England, also played its part in furthering juvenile emigration. In addition to offering training and religious instruction, it assisted young girls to work abroad as domestic servants or in factories, becoming particularly active from 1885.[60]\n\nOccasionally, English parishes assisted children in their care to emigrate. The parish of Cambridge, St. Mary the Great, was going to arrange for thirteen-year-old Ellen Black to go with Miss Rye to Canada, but when it discovered that she (Miss Rye) did not \"intend having anything to do with the Local Government Board,\" the \u00a35 payment was refused and the child's emigration was blocked.[61] The parish would not countenance relinquishing full control to Miss Rye, insisting that the child's care needed to be safeguarded through the supervisory role of the local government board. However, the Leeds Board of Poor Law Guardians had no such qualms during the 1880s and 1890s, when they delegated the relocation of some of their poorest children to Maria Rye and Louisa Birt.[62] Their report on the Emigration of Children from the Leeds Union, produced in 1891, extolled the merits of \"snatching children from pauperism,\" but because the Guardians had no reliable feedback on what had happened to the children, their ultimate fate was unknown.[63] Nearly all of the children went to Ontario.\n\nGirls with their chaperone on their way to the Marchmont Home in 1922. They would fill the insatiable demand at the time for female domestic servants.  \nCourtesy Library and Archives Canada, C-034840.\n\nBoys on their way to the Marchmont Home in 1922. Marchmont became a major distribution centre, eventually being used by a number of agencies, including the Barnardo homes.  \nCourtesy Library and Archives Canada, C-034838.\n\nThe English reformatory school boys who began arriving in Ontario and Quebec in 1884 became another source of cheap labour. Having been convicted of serious crimes, initially there was understandable alarm in accepting such children.[64] However, good management and supervision allayed these fears. Through the use of local agents, the behaviour and welfare of each child was carefully monitored, with detailed reports being sent both to the school and parents on a regular basis.[65] One such agent was Mr. Gold, based in Melbourne (Richmond County), who took charge of the many reformatory school boys being sent to the Eastern Townships during the 1880s. Children from the Hertfordshire Reformatory School for Boys normally spent their first year or so under his beady eye in Melbourne.[66]\n\nAfter working for a milkman in Melbourne, William Forrester moved to Sherbrooke, where, according to his father, \"he seems to have quite settled down and is evidently pleased with the country.\"[67] After working in Melbourne, Anthony Crabb moved to Kingsey, to the north of Melbourne, where he wrote that he \"thinks of marrying his master's daughter\" and \"has changed his name to Smart... in order to conceal his identity.\"[68] William Martin was unhappy with Melbourne and wanted to go back to England, but, according to Gold, his mother did not \"encourage the thought of his return.\"[69] After finding him a printing job in Sherbrooke, Gold reported that Martin's mood had improved. James Hoyle and Henry Putt both worked at Windsor Mills, to the east of Melbourne, before landing well-paid jobs in the United States.[70] Having been joined by his father, mother, and sister, Putt was said to be \"comfortably situated.\"[71] After cutting ice in Melbourne, Robert Smitham found lucrative employment in Toronto.[72] And after their time in Melbourne, William Binder joined the Salvation Army in Montreal, while Thomas Ridding joined the army, serving at the Citadel in Quebec.[73]\n\nIn addition to these assisted juvenile immigrants, the Eastern Townships also attracted couples like Peter and Ann Cork from Staffordshire, who arrived in 1883 with their eight children in search of good farmland. Before this, Peter had moved from job to job in England, working as a blacksmith, carter, colliery banksman, and grocer, but none provided a decent livelihood. So emigration beckoned. Acquiring land at Cookshire, just to the east of Sherbrooke, through the British American Land Company, Peter and Ann established a farm and built their first log cabin, which \"was soon replaced by a brick-built farmhouse which looks as though it had been transported from late Victorian Staffordshire!\"[74]\n\nWilliam Joseph Pitman and his wife, Annie Chin, both Somerset-born, arrived in the late 1880s and tried their hand at farming in Belvedere, near Sherbrooke.[75] The region's mines also attracted Cornish copper miners like William Jenkins. He found work at Albert Mines, to the south of Sherbrooke, and settled at nearby Capelton; but he left just a few years later, when the gold mines in Colorado and Mexico offered him more lucrative employment. He later returned to Sherbrooke to supervise the running of the Suffield copper mine. He worked there until the mine closed in 1919, after which time he retired to a farm in Minton, just to the south of Albert Mines.[76]\n\nMeanwhile, the early 1900s saw the return of the reformatory boys, this time to the mining areas of northern Ontario.[77] One example was Thomas Wells, from the Hertfordshire Reformatory School, who landed his first job as a cook at the Prospect Hotel in Cobalt (Timiskaming District), and later found employment at Copper Cliff (Sudbury District) as a watchman at a silver refinery. By 1906 he was reported to be \"in a good position and doing well,\" having nearly paid off his debt to his brother and sending money to his sister back in England. His situation remained good a year later when he reported from the Larose Mine in Cobalt that he had \"plenty of work to do in the silver mines.\"[78]\n\nView of the bleak industrial landscape in Sudbury, 1888. Image taken by an unknown photographer.  \nCourtesy Library and Archives Canada, PA-050973.\n\nHaving been released from the Hertfordshire Reformatory School in 1906, John Carrier Eacher found employment initially with a lumbering company in Massey (Algoma District), \"at 30s. per week with board.\" However, lumbering work did not suit him, nor did working as a cook on a steamer based in Toronto, a job from which he was sacked, presumably because of misconduct. His last known address was in North Bay (Nipissing District).\n\nJohn Ernest Sutton, discharged from the same school in 1909, was recruited by the New Idea Suit Hanger Company in Toronto, being paid $10 a week. His aunt, who lived in Toronto, had apparently \"got him\" the job, but he hated it; so he moved north, where he found work as a chainman in the Canadian Northern Railway survey party. By 1913 he had moved to Winnipeg and was expecting \"to go even further west.\"\n\nBy the latter half of the nineteenth century, immigrants to Ontario and Quebec had a considerably easier time in reaching faraway destinations. They could travel in steamships in a fraction of the time taken by sailing ships, while the burgeoning railway networks on both sides of the Atlantic provided them with an integrated service. Yet, despite these improvements in transport, and the best efforts of Canadian immigration agents, the overwhelming majority of British immigrants were going to the United States. Being more highly developed economically than Canada, the United States had always seemed the better choice. But by the early 1900s, the situation had reversed, and Canada gradually became more successful in attracting immigrants. Meanwhile, the English continued to dominate the British influx to Canada, having done so since 1860.[79]\n\nWhile the people who received assistance to emigrate generated paperwork and appeared highly visible, it is well to remember that the majority, who went unaided, left no documentation behind. Robert Brewster, the Duke of Bedford's loyal steward for thirty-two years, received funds from the Bedford estate to emigrate in 1884, and was also provided with the services of a local shipping agent, who \"promised to see that they Brewster and his family] have comfortable berths for the long sea voyage.\"[[80]\n\nJohn Litchfield, an inmate of the Ampthill Union Workhouse in Bedford, had much more basic requirements. Fortunately for him, he had a benefactor in Derby who paid his relocation costs and helped him to make the necessary arrangements. Richard Henson, a baker and provision dealer, began the process in 1885 when he wrote to the workhouse matron, stating that \"as you are aware, John Litchfield in your establishment is emigrating to America with his sister Louise, who lives in London.\" Henson asked the matron to let John come to Derby, \"as I shall have to prepare him with an outfit.\" His sister, travelling from London, was to meet him at the Bedford Railway Station: \"If you the matron] will pay the railway fare for him, I will see that you have it by return of post.... Kindly give him my address; if they miss each other he can travel by himself and I will meet the train which arrives here [Derby] at three o'clock.\"[[81] The matron's willingness to co-operate reveals an unexpectedly humane attitude, which is at odds with the grim imagery normally associated with workhouses.\n\nEver greater numbers of Bedfordshire people emigrated to Ontario during the 1880s, but, as one local correspondent pointed out, the land of milk and honey was not quite what it seemed. Having received a highly negative letter from his brother, who had emigrated to Toronto some time before, Mr. W. Ball, from Pavenham Parish, forwarded it to the Bedfordshire Times and Independent, which duly printed it in its June 22, 1888, edition under the heading, \"The Woes of Emigrants.\" In it, Toronto was described as \"a dumping hole for emigrants, who are flocking there daily in shoals of seven or eight hundred. When they get into what is known as the sheds, Mr. Ball says they have no money... and they have nothing to eat... no bedding or blankets of any kind are furnished.\"[82]\n\nThese dire conditions attracted the attention of a Canadian newspaper reporter who, upon investigation, found \"this long, foul-smelling and disgraceful hole was reeking with scents and crammed with strangers in a strange land. The air was full of the blank] of angry men, the screams and cries of children and the pitiful wailing of infants.\"[[83]\n\nThe immigrant reception centre in Toronto clearly had insufficient buildings and staff in place to cope adequately with the rising influx of immigrants, but was this an ongoing problem or just one isolated incident? Presumably, the local press had been tipped off and duly obliged with vivid imagery, but that probably reflected more on the feelings of local inhabitants, who may have grown uneasy about the rising tide of poor immigrants on their doorstep.\n\nOperating at a much loftier level, the Lincolnshire-born Colonel Francis Fane \u2014 one of four wealthy English farmers who visited Canada in 1890 by invitation of the Canadian government to advise on its potential for immigrant farmers and farm labourers \u2014 pronounced that the country had a good deal to offer. He noted that an immigrant could buy \"a nice farm with a good house and cleared land at about $30 (\u00a36) an acre in the Eastern Townships \u2014 in doing this \"he would avoid the hardships of Manitoba and the North West and would be in the midst of comparative comforts and society and within easy reach of markets, schools, etc.\"[84]\n\nHenry Simmons, from Wokingham (Surrey), another member of the group, noted that productive farms could be bought in Ontario at from \u00a310 to \u00a320 an acre \"with good houses, buildings and fences, and land all under cultivation, and where every comfort of life can be obtained and enjoyed just as easily as] and more economically than in England.\" Simmons also believed that Ontario farmers made excellent prairie settlers, \"making openings\" in many parts of Ontario for newly arrived immigrants with capital. He travelled to the London area, where he met the Lincolnshire-born J. Gibson, who had a farm in Delaware Township. In driving there he noticed \"the original log huts... standing at the rear of the new, substantial well-built brick residences. All the houses had gardens and trees planted around, giving them a homelike and English appearance.\"[[85]\n\nColonel Fane's mission and others like it may have helped to turn the immigrant stream away from the United States and toward Canada in the early 1900s. By the end of the previous century there had been an exceptional rise in the number of young and educated single men entering Canada, further signalling its growing appeal over the United States.[86] The English came to Canada in unprecedented numbers starting in 1905, and by 1910 many more went to Canada than went to the United States. Just over 150,000 English immigrants arrived in Canada in 1910 alone, representing 72 percent of the total intake from Britain. That year, roughly half that number had gone to the United States.\n\nThis turnaround in Canada's favour, partly driven by the government's economic incentives, stimulated provincial governments to continue sending their agents to Britain. Edward Brewster, the son of an affluent farmer from near Myddle in Shropshire, who had prospered in Compton in the Eastern Townships, was seen as an ideal ambassador. Having emigrated around 1877 when in his early twenties, he had acquired practical knowledge of Canadian farming methods and conditions, and could speak with authority about its prospects. In 1906, Brewster was snapped up by the Ontario government to work alongside the Canadian emigration agent for the West Midlands, who was based in Birmingham.[87]\n\nBrewster's tour of 1906\u201307 covered the major towns and cities to the north and west of Birmingham, including Wolverhampton, Tamworth, Walsall, Belper, Dudley, Kidderminster, and Stourbridge.[88] He was particularly well received in Shropshire, visiting Shrewsbury, Market Drayton, and Oswestry, where he organized many meetings and held hundreds of interviews.[89] At Rushbury he attracted about one hundred \"of the very best class \u2014 young men, farmers' sons and farm labourers, also some domestics.\" At Chetwynd there were \"about 80 present, chiefly of the agricultural class, a large number being young men, just the class wanted... at Weston Rhyn: about 100 present, principally young people of the agricultural class who] showed great interest.\" And at Pontesbury there was \"a splendid audience composed mostly of agriculturalists. Many in the audience had friends and relatives in Canada.\"[[90] The great demand for agricultural labourers and domestic servants was always stressed, while government newspaper advertisements proclaimed that in going to Canada immigrants would \"get a piece of the earth in the Empire.\" They would be \"under the Flag, in Britain's nearest overseas dominion.\"[91]\n\nBy the early twentieth century, an increasing proportion of English arrivals were coming from the troubled industrial cities, where unemployment levels were soaring. Owing to the immense increase in agricultural production that had taken place in the United States, Canada, and Argentina, British agriculture was in severe crisis. Poor labourers, unable to find work in the countryside, had gone to the cities, only to find that conditions there were even worse. This movement had concentrated the nation's surplus labour in the city slums. An added problem was the stagnating state of Britain's textile industries. That, too, had its principal cause in foreign competition. A prime trouble spot was the mill town of Bolton, to the northwest of Manchester, which had been a major centre of cotton production. Following the loss of trade, Bolton cotton workers were laid off in great numbers, and emigration was seen as their only hope. Between 1912 and 1926, the Bolton and District Card and Ring Room Operatives' Provincial Association[92] organized the departure of around five hundred of its members to various destinations, including Canada. Since the First World War put an effective stop to emigration between 1915 and 1918, most departures occurred between 1912 and 1914 and 1919 and 1926 (Table 18).[93]\n\nIt was a similar story in other English cities. To deal with the growing crisis, the Unemployed Workmen Act was passed in 1905, with one of its measures being the formation of a nationwide network of distress committees to channel funds, raised by city councils, to the unemployed; but the scheme had only limited success. Once again, emigration offered the only viable solution. That year, Leeds City Council assisted six families and two single men to emigrate, nearly all of whom were in their twenties: Arthur Smith was a shoe finisher, Wallis Watson a bricklayer, Charles S. Sidebottom was a rough cutter, while Frank Harvey was a tailor's presser. William and John Dunderdale and William Lister had no stated occupation, while Herbert Barker was a labourer.[94] These young men and their families were clearly being given a chance to make something of their lives.\n\nJudging from the stated destinations of the Leeds families who were assisted to emigrate in 1907, they dispersed widely once they arrived in Canada. Nine out of the fourteen heads of households were heading for eastern Ontario. Thomas Johnstone was going to Perth, Ernest Barlow to Caledonia, Robert Richards to Cornwall, George Thompson to Carleton Junction, Albert Wormald to Lancaster, Patrick McAndrew to Mallorytown, Hiram Holstead and Walter Pattison to Brockville, and John Hughes to Belleville. Harry Clough was heading farther west to Bowmanville on Lake Ontario, as was John Jackson, who was destined for Dunnville on Lake Erie. Joseph Townend and Henry Hoare were going to Toronto, while Alfred Edward Brown went to Montreal.[95] Presumably, eastern Ontario was the preferred destination for costs reasons.\n\nAs was the case in other English cities, by 1905 Norwich had a Distress Committee, which also ran local schemes to help the unemployed, but to little avail. Lying in the heart of an agricultural area, Norwich had suffered badly during the agricultural depression, leaving a great surplus of unwanted labour. Once again, emigration was encouraged, and the first group of eighteen men, two wives, and three children left the following year. They were met at the Toronto train station by an emigration agent \"and, miracle of miracles, we all had work offered to us by 9 a.m.\"[96] With this promising beginning, a second group consisting of eighteen families followed, but they were said to be drunk and unruly. However, despite this setback, many more Norwich people were assisted to emigrate. Between 1905 and the outbreak of the First World War in 1914, a total of 1,501 Norwich people were helped by the city council to emigrate to Canada.[97]\n\nDuring the last years before the First World War, English emigration peaked, with an increasing proportion being directed to Canada and other parts of the British Empire. Times continued to be extremely tough for the labouring poor. Farm labourers from the Pendley estate in Hertfordshire were desperate to get to Canada in 1913, but only those living in the parish of Tring could receive help, which came in the form of a payment toward an outfit.[98] Declaring that \"the fare and outfit\" required by his wife and child \"is \u00a32 beyond my anticipation,\" Frank Noyce asked the agent acting for the estate to \"help me a little towards this amount,\" but because Noyce originated from Hampshire, his request was rejected.[99] Similarly Mr. Puddiphatt, a native of Buckland Common who was \"out of employment at present,\" was also turned down. More successful was George Birch, aged eighteen, \"who works in Tring Park.\" He received \u00a31 toward his outfit, while William Iforn, who \"has an aunt out there Canada] getting on well,\" received the same amount. Mrs. Bessie Brooks from Berkhamsted, east of Tring, asked the estate factor if she could have the \"\u00a3s you promised when we were going abroad; but owing to not raising enough for all to go we have given up the idea. I am sorry to say we are very hard up and myself and children have no shoes as their feet are on the ground and I should be so very thankful as times are so very bad.\" But her request for \u00a33 was refused on the grounds that the fund was intended for \"emigration purposes\" only.[[100] Those were desperate times!\n\nMeanwhile, people of moderate affluence continued to arrive in Ontario. William Bilton, an Anglican minister, and his wife Alice, both from Bedfordshire, moved to Sarnia Township (Lambton County) in 1913.[101] They \"liked the freeness and liberty of the country,\" and, given that oil production at nearby Petrolia had already begun, the first in North America, the Biltons could anticipate a prosperous future in an up and coming industrial area.[102] W.H. Barnes, who left Burnley in Lancashire in 1920, waltzed into his first job in the shipping department of a Toronto motor business with a view to landing an even better job: \"There is plenty of work here and rather decent money, and better respect for the worker.\" There were a good many Lancashire people living near his boarding house and, because he knew the family running it, he was being treated like family. Toronto suited him extremely well.[103]\n\nThe mass unemployment of the 1920s fuelled ever-rising levels of emigration to the British Dominions \u2014 especially to Canada and Australia. A rising proportion of English immigrants came from the towns and cities and consequently lacked the farming skills that were still greatly in demand in Canada. In 1922, the British and Ontario governments launched a scheme for British boys, to teach them Canadian farming methods. Based at Vimy Ridge Farm near Guelph, the boys were to be placed on farms for three years, during which time they would earn wages and also receive food and lodging. Ultimately, it was hoped that they would become self-sufficient.[104]\n\nMeanwhile, philanthropic groups in England continued to help the poor to emigrate. The Nottingham and District Emigration Committee, formed in 1929, raised its funds locally from prominent businessmen and had as its chairman the Duke of Portland.[105] At a public meeting held on March 27, 1929, to promote emigration, music was provided by the Dakeyne Street Lads Band, a local boys' group supported by yet another philanthropic group that had provided assisted passages to Canada.[106]\n\nThe Great Depression at the end of the 1920s was a traumatic time for people like Annie and Jack Heathcote, from Nottinghamshire, who had emigrated to Hamilton. Their world began slowly to collapse. Then a major steel-producing centre, Hamilton was particularly badly hit by the economic downturn.[107] In 1931, Annie told Mabel, her sister-in-law in Sutton in Ashfield (Nottinghamshire), \"I don't think you would know me now, my hair is nearly white.\" A few months later she reported that \"the work is terrible here Hamilton] \u2014 I think things are getting worse here.[[108] A year later, her husband Jack told his father in Sutton that he had been forced to abandon his farm. Having acquired a one-hundred-acre farm, it proved to be too much for them: \"We went after the big stuff and got nothing.\" The \"pensions people\" told them that if they didn't \"get settled, they would either cut the pension or stop it altogether.\" They had relocated to Hamilton, to \"a place where you couldn't keep a rabbit.[109]\n\nBy 1934 Jack had became seriously ill. Annie informed Mabel that \"when anything does happen, he does not want to be buried in this country, he always wanted to go home... things is very bad here; there is some men been out of work four years. It is terrible. I don't know what some people is going to do.\" Following Jack's death in December of that year, Annie collapsed with grief. \"The doctor says I am not fit to work... I don't know what we are going to live on,\" she lamented, having had her pension withdrawn when Jack died. \"They don't care in this country whether you live or die.\" Money sent to her by family in England helped her to cope. Yet, she wrote that if she ever acquired enough money to get to England, she would \"come home for a while, but not to stay, because of Jack\" (who lay buried in a cemetery near Hamilton).[110]\n\nAnother more favourable perspective on later emigration can be seen in the happy responses received from former residents of Clitheroe, a Lancashire town that celebrated its eight hundredth anniversary in 1948, three years after the end of the Second World War. Those who had emigrated were asked to give their locations, revealing that most of the respondents were living in the cities and towns of Ontario, Quebec, and British Columbia. Writing from Oshawa, Mrs. L.L. Fowler stated that she had left Clitheroe in 1912 as a child: \"I lived in Jubilee Terrace and worked as a weaver after I left school. My name was then Alethea Langtree, daughter of Thomas and Alice Ann Langtree, my grandparents, who kept the fish and chip shop and tripe business in the market place.\"\n\nAlice and Jim Parker, living at Hudson, near Montreal, had been Canadian residents for twenty-five years. They were happy, but their \"heart is still in Clitheroe,\" they said. Herbert Chew of Montreal had many happy memories of cycling and walking around various places in Clitheroe and, like some others who responded, he still read the Clitheroe Advertiser.[111]\n\nThe growing avalanche of English immigrants who flocked to Canada starting in the second half of the nineteenth century came from all parts of the country and had extremely varied social and work backgrounds. By that time, emigration had been well and truly adopted as a solution to England's social problems, although it involved using Canada as a dumping ground for England's surplus population. Nevertheless, England's poor were given a lifeline, while Ontario and Quebec acquired the labouring population they so desperately needed. Despite the high visibility of the very poor in documentary sources, they were, of course, only a minority of the total influx. Most of the people who came in this later period paid their own way and left no records behind. They usually left simply to better themselves. Most did.\n\nTable 17:\n\nWorking Men's National Emigration Association: List of People from London Who Went Mainly to Lennoxville in the Eastern Townships, 1870\n\n[LAC RG17 Vol. 39#3609.]\n\n[Note: do = ditto]\n\nTable 18:\n\nCotton Workers from Bolton in Lancashire Who Were Assisted to\n\nEmigrate to Ontario and Quebec, 1912\u201327\n\n[LAC MG40 \u2013M10 Bolton and District Card and\n\nRing Room Operatives' Provincial Association]\n\n# British secret agents sent to Canada during First World War\n\n# Chapter 10\n\nThe Sea Crossing\n\n> One afternoon I went onboard the ship Airthy Castle from Bristol, immediately after her arrival. The passengers were in number 254, all in the hold or steerage; all English, from about Bristol, Bath, Frome, Warminster, Maiden Bradley, etc. I went below and truly it was a curious sight. About 200 sic] human beings, male and female, young old and middle-aged, talking, singing, laughing, crying, eating, drinking, shaving, washing, some naked in bed, and others dressing to go on shore; handsome young women (perhaps some) and ugly old men, married and single; religious and irreligious.... These settlers were poor, but in general they were fine-looking people and such as I was glad to see come to America.... It is my opinion that few among them will forget being cooped up below deck for four weeks in a moveable bedroom with 250 fellow-lodgers as I have endeavoured to describe.[[1]\n\nTHIS UPBEAT DESCRIPTION of the Wiltshire and Somerset people who were preparing to disembark at the port of Quebec in 1831 is provided by no less a person than William Lyon Mackenzie, the radical reformer and leader of the Upper Canada Rebellion of 1837. Mackenzie clearly marvelled at how 250 people could be cooped up in the hold of a ship for four weeks and still be at peace with themselves and one another when they arrived. Yet, as he rightly commented, few would forget the experience. Travelling as a steerage passenger was fraught with irritation and hardships, but for those who could not afford the greater privacy and comforts of a cabin, it was the only affordable means of crossing the Atlantic.\n\nThe fact that there were any ships at all was due entirely to the explosive growth of the timber trade. The higher tariffs imposed on European timber from 1811 effectively priced it out of the British market, making North American timber the cheaper alternative. Ever-increasing numbers of vessels plied between British ports and Quebec to collect timber and, as they did, some carried emigrants on their westward journeys. However, although emigrants were a much-valued source of extra revenue, little attention was paid to their creature comforts. Vessels were selected primarily for their timber-carrying capabilities and robustness in withstanding North Atlantic gales. Passengers were treated as just another commodity to be shipped. They had to endure cramped and crudely built accommodation, foul-tasting water, and, on occasion, harrowing storms that put their lives in real danger.\n\nAccommodation below deck in the steerage was basic, to say the least. Timber, loaded into the ship's hold one way, replaced the passengers who had been accommodated in the same hold going the other way. Wooden planking was hammered over crossbeams and temporary sleeping berths were constructed along each side. George Roberts, travelling in the Sir Henry Pottinger from Bristol in 1854, described how \"there was no division between the berths, so we put up sheets round to enclose us.... The places to lay in were fixed alongside the ship about three feet wide and 6 feet long, one over the other.\"[2] The only means of ventilation was through the hatches, and in stormy seas they could be kept battened down for days. It was not that ship owners were being deliberately cruel; this was just how shipping services operated until the advent of steamships.\n\nWith the continuing growth of the timber trade, the number of English immigrants who were recorded as having arrived at Quebec rose year by year, although these figures do not signify settler numbers. Because sailing to Quebec was a cheaper way of getting to the United States than going to New York, it attracted many immigrants who were merely in transit, having no intention of settling in the Canadas. To complicate matters further, some immigrants who were bound for the Canadas did the reverse, sailing via New York to gain access to its faster and more comfortable ships, despite having to pay the higher fares. An example of the latter is Derbyshire-born John Walker, who went with his family to New York before proceeding to Guelph in western Upper Canada.[3] During their crossing in the Queen Adelaide from Liverpool in 1835, the Walkers and twenty-six other passengers shared a cabin measuring eight yards by twelve, with each family having a space of about two yards by two that \"serves for breakfast room, dining room and drawing room, parlour, kitchen, pantry and sleeping room, storeroom wherein are seven boxes, three crates and three barrels.\"[4] While the space seemed cramped to John Walker, it was palatial compared with accommodation in the steerage!\n\nAn artist's impression of the busy port of Quebec in 1840. Lithograph by Thomas Picken based on a drawing by Captain Benjamin Beaufoy. Most of the elegantly attired people in the foreground appear to be spectators rather than recently disembarked passengers, who would probably have looked considerably more dishevelled.  \nCourtesy Toronto Reference Library, J. Ross Robertson Collection, JRR 2014.\n\nStandards of service were particularly grim in the early stages of passenger travel. Legislation had been in place since 1803, stipulating minimum space and food requirements for passengers, but it was largely unenforceable. As passenger numbers increased, ship owners began running regular services, doing so by the mid-1820s, with their desire for repeat business being the main factor that maintained standards at a reasonable level. Before then, conditions could be very rough and ready. Robert Downes, a British Army officer travelling to Quebec in 1817 with his regiment, together with some sailors and cabin and steerage passengers, felt alarmed when his vessel's water supply became dangerously low as it reached \u00cele d'Anticosti in the Gulf of St. Lawrence. By the time they got to the village of Trois Pistoles, \"there was not a drop of water left and the soldiers and sailors were in a state of mutiny.\" Having collected water, salmon, eggs, and maple sugar at Trois Pistoles, the vessel continued on its way, but unfavourable winds forced it to return. Four passengers then went ashore determined to walk to Quebec City, \"which they accomplished in two days.\" Meanwhile, men in a Telegraph Boat from Goose Island finally reached the stricken vessel, following which \"a government schooner was sent instantly from the port of Quebec with biscuits, pork and rum for the men.\" However, when it was discovered next morning that there was \"nothing at all left for the cabin passengers,\" the captain and some passengers went to the village of St. Michael, opposite \u00cele d'Orl\u00e9ans, where they were received \"with the greatest cordiality.\" Villagers treated them \"with punch and wine and the sailors, who carried our luggage, with grog.... The Cur\u00e9 curate] spoke English very well, though a [French] Canadian, and we were greatly impressed with the first Catholic priest we saw in Canada.\"[[5] The best of human nature was demonstrated and, despite their ordeal, the passengers seemed to be in very good spirits when they reached Quebec.\n\nWhile Robert Downes understandably complained about the lack of provisions on his vessel, most passengers had the opposite problem \u2014 not being able to face any food at all. They suffered dreadfully from bouts of seasickness that could last for days. Elizabeth Peters managed to keep food down during her crossing in the Friends from Plymouth in 1830, but she could not bear the stench and taste of the drinking water: \"I am now so well accustomed to the ship that if we could get fresh water, I should not at any time dislike a sea voyage.\"[6] Because it was stored in crude wooden casks, the water soon became contaminated. Vinegar was added to alleviate the offensive odour and taste, but it was still obnoxious unless it was boiled. Francis Thomas, a cabin passenger travelling in the Hebe, was much more scathing about \"the very stinking and not drinkable water except when mixed with something else,\" and claimed that this had caused him and his wife \"to give up all thoughts of keeping either ourselves or our children clean or decent.\"[7] In fact, as far as he was concerned, conditions were completely unbearable:\n\n> The want of bread and fresh provisions is much felt \u2014 the very great difficulty to get hot water for breakfast or tea and cook a dinner, twenty or thirty at least all wanting at the same time, added to which we have a low, dirty, brutal fellow for a cook, as complete a blackguard as I ever saw, besides which we have several very low swearing passengers near us, whose language at times is most disgusting; all these things, besides being cooped up in a little damp cabin about eight feet square, take such a complication of misery that is impossible adequately to describe.[8]\n\nA somewhat cheerier perspective of life at sea is provided by George Jackson, who travelled as a steerage passenger in the Good Czar: \"Our decks are crowded with children playing, women cooking, cocks crowing, geese and hens cackling, swine grunting, sheep bleating, which, if it were not for the movement of the ship, one would think themselves in a barnyard instead of the Atlantic Ocean.\"[9] No doubt the walking protein helped to supplement their otherwise meagre diet. Jackson greatly approved of Captain Loweryson's kindness in personally visiting seasick passengers in their berths, \"offering them brandy, water and oranges to help them recover.\" He also encouraged William Rawson, a barber, to provide shaves and haircuts after the first week. Because people paid Rawson with their rum rations, \"he received a good allowance of grog,\" which, by the end of the evening, \"made him rather troublesome.\"[10] Meanwhile, Elizabeth Peters, travelling in the Friends, appreciated Captain's Butter's diligence in ringing the bell on Sundays for divine service: \"The cabin passengers, captain, sailors and steerage passengers all assembled to hear the preachers and they have all been very attentive, more so than some English congregations.\"[11]\n\nFood provisioning on sea crossings was becoming better-organized by the 1830s and transatlantic fares were costing less. During the 1820s fares had averaged \u00a33. 10s. for steerage passengers who supplied their own food, but in the following two decades they fell to between \u00a32 and \u00a33.[12] Elizabeth Peters was somewhat taken aback by the \"extravagantly good\" food being offered to the crew of the Friends during its 1830 crossing: \"It is astonishing to what expense the captain goes to on account of his men.... They have strong tea and coffee with rum in it. Nice potatoes swim in fat and their puddings are generally filled with suet and butter and sugar. They are allowed besides two lbs. of beef a day per man.\"[13] Even so, Paul Robins, who sailed as a steerage passenger in the Voluna of Padstow in 1846 with thirty-nine other passengers, had no complaints about his food. He was almost boastful about the quantity being taken:\n\n> They the passengers and crew] took with them three Cornish bushels of flour, 140 lbs each; 1\u00bd bush. of potatoes, 10s. worth soft bread, 107 lbs. ham, 13 lbs. beef, three lbs. beef suet, 433 eggs, 14 lbs. butter, 10 lbs. cheese, 10 lbs. rice, 8 lbs. oatmeal, gall. of peas, 6 lbs. treacle, 3 lbs. cocoa, 3 lbs. candles, besides which we had a few turnips, carrots, parsnips and onions, a bottle of pickle, vinegar, ginger, pepper, caraway seeds, nutmeg, carbonate of soda and tartaric acid, some herbs for tea and soap for washing. From the ship we had 1 lb. loaf sugar and 15 lbs. of brown [sugar], 12 lbs. of raisins, 5 lbs. of currants and 12 oz. of tea.[[14]\n\nAs ever, space was at a premium. The Passenger Act of 1817 specified a space allocation of one and one half tons per person in the steerage, while the 1828 act required a passenger to tonnage ratio of three passengers for every four tons. These regulations were meant to limit overcrowding, but the setting of a minimum height of only 5\u00bd feet between decks reveals that, despite these safeguards, people still had to tolerate very cramped conditions. It would not be until the passing of the 1842 act that six feet would become the minimum height requirement between decks, and it would rise again to seven feet in 1855.[15] Not surprisingly, vessels with a floor to ceiling height in excess of the legal limits were particularly popular with emigrants. For instance, during the 1820s and 1830s, much was made of the Isabella of Hull's and the Triton of Hull's \"good height between decks\" in newspaper advertisements,[16] while \"the between deck space of six and a half feet\" in the Berwick Castle, a Berwick-upon-Tweed vessel, gave it extra pulling power.[17] Similarly, Samuel Pedlar and his family were very taken with the Clio of Padstow's \"roomy space between decks that] afforded better [steerage] accommodation than other ships calling at Padstow, which were much smaller.\"[[18]\n\nWhile emigrants sought the most comfortable accommodation they could afford, they had also to cope with ferocious storms. Sailing in the Good Czar from Berwick-upon-Tweed, George Jackson described the commotion below deck as high winds and rain swept over the vessel:\n\n> I had scarcely put out my light before the ship began to roll in such a manner that set the tins a tumbling, the ham and fletches of bacon falling, the chain cable on the deck rolling, hen coops tumbling on deck, and the barrels of water rolling about, the kail kale \u2014 cabbage] post upsetting, the loaves of bread hurling about, some laughing, some crying, others tumbling over the front of their beds.... After some little trouble order was restored.... Some got up and dressed themselves, others kept rolling in bed.... Little did I think when I gave out the 107th Psalm in the morning service that we were soon to experience as the Psalmist expresses it.\"[[19]\n\nThe Clio of Padstow's ability to offer \"seven feet between decks\" was a great attraction. Advertisement in Cornwall Royal Gazette, February 14, 1845.\n\nGeorge Roberts and his fellow passengers had an even worse experience in the Sir Henry Pottinger. Before the crew could even lower the sails, high winds had swept away four sails:\n\n> The sea was as high as the top of the mast... It sounded as if the ship would go to pieces every minute. It rolled and pitched so dreadfully that no-one could stand. The captain had to lash himself on deck. The sea carried away the hatch over our deck and the sea poured all over us one foot deep sometimes, in the lower deck. Bedding and everything were wet through... the ship looked like a log in the water.... The storm drove us back 300 miles. A very heavy sea suddenly struck the ship and ripped off pieces of timber... knocked the captain, cook and carpenter down and disabled them. They had to be carried to bed.... You cannot in any way conceive what it was like] below with the passengers, some screaming, some fainting, some praying. It was a dreadful scene.... The captain said he had been to sea for 22 years and to all parts of the world but never was in such a storm as this.[[20]\n\nStorms were a constant threat. Samuel Pedlar remembered how Captain Brown, \"a short thick-set man with a voice that could clearly be heard above the stormy winds,\" inspired confidence in \"some of the faint-hearted passengers.\"[21] Thus great relief was felt by him and the others on board the Clio of Padstow when the coast of Newfoundland first came into view:\n\n> The captain informed the passengers that the coast in sight was near St. John's Newfoundland].... Language fails to describe the feelings of the travellers. The old, the feeble, the young, all who could get there, found their way to the deck. Great rejoicings and mutual congratulations were the order of the day and several hours after. It dawned upon the wearied people that the long, wished for end of their journey was soon to be reached, and that their eyes were soon to behold the new land.[[22]\n\nHowever, when Francis Thomas, travelling in the Hebe from London, reached the southwest coast of Newfoundland, he was \"nearly dead with terror.\" The Hebe was being driven onto rocks and the passengers were in imminent danger:[23]\n\n> The shock was like that of an earthquake and threw many of the passengers down and bruised several more. After a little time a rope was thrown ashore and two sailors got to land, who were soon followed by several of the passengers and we all now began to hope that our lives would be saved. I now removed Mrs. Thomas and my family to that part of the ship nearest the land, but in doing it, we were greatly rolled about from the violent motion of the ship \u2014 after a little time I got the children up the side of the ship near the shrouds and standing on the outside myself took them down and threw them ashore and they were all safely caught by the sailors and then safely landed. Mrs. Thomas following after.[24]\n\nSimilarly, James Tate of Bedfordshire endured a voyage of nearly three months in the Martin Luther when, following a storm in the Bay of Biscay, the vessel had to be towed by a government mail steamer to Plymouth for repair, before being able to complete its crossing to Quebec.[25] While these are all fairly extreme examples, most emigrants faced harrowing storms when crossing the Atlantic. Their diaries usually record the gratitude felt to the captain for his skill and humanity in ensuring the safety of the passengers and crew. In addition to this vital role, the captain was also responsible for the general cleanliness of his ship. He established daily cleaning tasks for the crew and passengers to undertake and appointed a committee that inspected the berths every morning. Good hygiene was paramount, since infectious diseases such as cholera could flare up at any time.\n\nBy 1819, the port of Quebec was having to cope with thousands of immigrants, some of whom required medical care; to meet this demand, rudimentary facilities, managed by the Quebec Emigrant Society, were put in place. Together with charitable donations of \"clothing, firewood and provisions,\" funds were raised from the general public to cover the running costs of a hospital, which treated around five hundred sick immigrants in its first year.[26] Having sent back some of the \"deluded and helpless beings\" who arrived in 1819, the Society wrote to the Colonial Office, stating that it should warn British immigrants of the perils of abandoning their homes \"in a vague expectation of relief\" when they reached Quebec.[27] However, little notice was taken of their warnings and Quebec continued to be inundated with penniless immigrants, many of whom were Irish.\n\nThe severe outbreak of cholera in Europe in 1832 was the catalyst behind the building of a quarantine station at Grosse \u00cele, near the port of Quebec. Its cost was met through the passing of the Quarantine Act in 1832, which required newly arrived overseas passengers to pay an immigrant tax of 5 shillings.[28] Predictably, the new tax was bitterly opposed by ship owners and agents, who feared that it would deter people from emigrating. As anticipated, emigration numbers fell sharply from the following year and only began to rise again in the early 1840s (Table 19).[29] And although the new quarantine facilities were well-intentioned, they were initially badly managed. Vessels having fifteen or more steerage passengers had only rudimentary inspections, while cabin passengers were usually exempted from the process. These haphazard measures meant that many immigrants unwittingly carried their illnesses to Quebec and Montreal, where thousands died. In fact, 1832 was a particularly disastrous year for cholera deaths. That year there were 2,723 cholera-related deaths in Quebec City, 2,547 deaths in Montreal, and countless more people died elsewhere in the nearby countryside.[30] A contemporary observer captured the growing sense of despair:\n\n> When friends meet they bid each other adieu as though they will never see each other again. Day and night wagons are seen carrying bodies to the cemetery; sorrow and terror reign on every face, and the continuing spectacle of death and the tears and sobbing of those who have lost relatives or friends are enough to sadden the hearts of the most callous.[31]\n\nGeorge Robinson, sailing in a ship that had probably left from London, witnessed the 1832 cholera outbreak first hand. His father had succumbed to the disease soon after the ship sailed and \"was resigned to the will of God to live or die.\" Just before he died he asked George to gather up his extensive family: \"He was able to give his last blessing to each one of us separately and commend us to God in a manner which greatly astonished me, considering the state he was in through affliction of the body.\"[32] Later on, George witnessed other deaths and burials at sea: \"The young man... who died this morning was taken in a small boat along with another corpse and buried in the sea. We had a service in the evening, the captains of] several vessels spoke to us to know how many we had lost.\"[[33] When George and the other passengers finally reached Grosse \u00cele, they \"were taken to one of the buildings erected for the quarantine passengers, which was open on one side and nothing but the rocks to lie upon; but there was passengers with them some of which was very kind and lent them what they could spare.\"[34]\n\nIncredibly, no wharf had been built. George and the other passengers had been put in small boats and simply deposited at the water's edge. They then had to drag their luggage \"up the rocks about 200 yards\" to reach the quarantine station, where they and their belongings would face inspection.[35] Having left their native land full of hope, they, and others like them, deserved better than this. Conditions improved in the 1840s, but before then the quarantine station at Grosse \u00cele was a place of considerable suffering and turmoil.\n\nDespite the imposition of quarantine regulations and the best efforts of local medical authorities, a second cholera outbreak ran its course in 1834, and was followed by further outbreaks in 1845, 1851, 1854, and 1867. Also, many thousands of mostly Irish immigrants would perish in the dreadful typhus and dysentery epidemic that gripped Grosse \u00cele and Quebec City in 1847. The port had been exceptionally busy that year, with the 1847 arrival numbers being three times greater than normal (Table 19). Around 17,500 Irish emigrants died either onboard ship or shortly after landing. Never before or since had such misery and suffering been witnessed.[36] By this time, Irish immigrants accounted for some 60 percent of the total arrivals at Quebec.[37]\n\nWith the continuing growth of the North American timber trade, most English ports were offering regular shipping services to Quebec by the 1830s. Initially, Hull and Liverpool vied with each other as the most popular emigrant ports for North of England passengers, but Liverpool soared ahead after 1836, and by the following decade it dominated the overall trade (Table 5).[38] In fact, a whopping 47 percent of the total number of passengers identified in this study as having sailed for Quebec from English ports between 1817 and 1864 left from Liverpool (Appendix I). Although a major port, London had only 10 percent of the total trade, lying second to Liverpool in the 1830s but losing ground to Plymouth after 1840, a time when Upper Canada experienced a large influx of people from Devon and Cornwall.[39] Although Bristol had a significant passenger trade,[40] Plymouth's passenger numbers were far greater, especially throughout the 1840s and early 1850s, being second only to Liverpool. Meanwhile, smaller ports like Padstow and Bideford attracted only a fraction of the passenger trade.[41] However, after 1858, nearly all emigrants, whether from the South or North of England, left from Liverpool. Before then, Liverpool had become a major embarkation port for poor Irish immigrants, thus making it extremely difficult to assess the number of English people who sailed in Liverpool ships.\n\nJudging from the Quebec immigration agent's descriptions of the dire state of many of the large contingents arriving from Liverpool in the 1840s, they were mostly Irish. A typical example was the Catherine's 286 passengers who came in 1841. The majority were poor labourers, with one hundred originating from the Earl Fitzwilliam's estates in Wicklow (Ireland).[42] The reference to \"some few farmers with good means\" possibly refers to English passengers, although they could equally well be Irish. However, there were also groups like the 124 people who arrived in the Chieftain from Liverpool in 1843, described as \"mostly farmers, all landing in good health.\" Although it is not explicitly stated, the inference is that they had come from the North of England. There are many more examples like this, but because the English might have been interspersed with the Irish, their numbers cannot be quantified. And Liverpool's notorious reputation for cheating emigrants also appears to have affected the Irish and English differently. Yorkshire-born George Pashley, who kept a detailed diary of his crossing in the Reward from Liverpool in 1833, failed to mention the many fraudsters who would have been operating in and near the port.[43] Yet, the poor illiterate Irish, being an easy target, suffered terribly at their hands.[44]\n\nAlthough a considerable number of vessels arrived each year in Quebec from English ports to collect their timber cargoes, only a tiny percentage ever carried emigrants. The Atlantic passenger trade was a specialty service, requiring vessels with capacious holds and convivial captains experienced in people management. Emigrants who sailed from Liverpool or London would have travelled in one of a great many vessels on offer, most making only occasional crossings to Quebec. However, at the medium-sized ports like Hull and Plymouth, the pattern was completely different. Having a more localized trade, these ports offered so-called regular traders \u2014 vessels that would leave England with steerage and cabin passengers and, upon reaching Quebec, immediately return to their home ports with timber. They would complete the voyage two, sometimes three times a year, often with the same captain.[45] Regular traders dominated the passenger trade, both in the frequency with which they sailed and the number of passengers carried.\n\nHull's Triton under Captain Keighley, its Victory under Captains Simpson and Pecket, its Meteor under Captain Brown, and its Fergus under Captains Blythe and Martin each attracted a regular passenger trade to Quebec over a period of years, while the Dahlia, under Captains Hooper and Tozer, the Lady Peel under Captains Johns and Moon, and the Spermacetti under Captain Moon did the same from Plymouth. The Belle of Padstow, under Captains Brewer and Bisson, and the Clio of Padstow, under Captains Brown and Easthope, made regular trips to Quebec, and so it went on. Even smaller ports like Torquay had the Margaret, which sailed with passengers to Quebec over a period of ten years, while the Royal Adelaide did the same from Fowey over a thirty-year period (Table 20).\n\nIn addition to having a well-regarded captain, most regular traders also had another strong selling feature \u2014 a good ranking by Lloyd's of London. The Lloyd's Shipping Register, a source dating back to the late eighteenth century, gives details of a vessel's age, quality of construction, and state of repair in any given year.[46] It reveals that the Plymouth's Spermacetti, Daedalus, Dahlia, Lady Peel, and Roslin Castle and Padstow's Clio and Belle each shared a first-class ranking of A1 or AE1 (Table 20).[47] In fact, apart from vessels sailing out of Hull, most of the twenty-two regular traders that stand out as having done the most consecutive crossings from selected ports during the sailing ship era were top quality vessels.\n\nAs major insurers, Lloyd's of London needed reliable shipping intelligence, which it procured through the use of paid agents in the main ports in Britain and abroad. Vessels were inspected by Lloyd's surveyors and assigned a code according to the quality of their construction and maintenance.[48] An honest and open inspection was vital to the insurer's risk assessment, and the ship owner's ability to attract profitable trade hinged on the classification given to his ships. Ship owners actually complained that the codes were too stringent, particularly in the way a ship's age and place of construction could affect its classification.[49]\n\nNewspaper advertisement for the sailing of the Llan Rumney from Hull to Quebec in 1837. A selling point for potential passengers was the experienced Captain Simpson, who had been in charge of the Victory on its Quebec crossings from at least 1828. Advertisement in the Hull Packet, March 3, 1837.\n\nToday these codes provide a reliable data indicator of the quality of the construction of ships from that time. They show a predominance of A1 and AE1 (first-class) designations for regular traders, particularly those vessels operating in the southwest region. Shippers had captured the largest share of the passenger trade by offering top quality and, in some cases, new or nearly new vessels. This reveals how competition worked in the emigrants' favour. By contrast, Hull-registered regular traders tended to have a second-class ranking (E1), signifying that, although they were seaworthy, they had minor defects. Hull's less good ships can probably be explained by the smaller margins under which the transatlantic trade operated along the east coast, where far greater distances had to be covered. This added to the owners' costs, which they evidently offset by using second-class ships, although this would have added to their insurance costs.\n\nWhile there is evidence that top quality shipping was offered to emigrants in certain ports, it seems also to have been a feature of the vessels used to carry the poor. Those people who were assisted to emigrate, either by their parishes or landlords, nearly always sailed in A1 or AE1 vessels (Table 21). In organizing the emigration of Lord Egremont's Petworth tenants in West Sussex, for example, Thomas Sockett insisted that they be sent in A1 ships since he wanted proof of their seaworthiness.[50] This cautious approach was also adopted by English parishes. In 1837, when the parish of Purton in Wiltshire financed the emigration of twenty-one of their paupers in the Brunswick, it made clear that the Poor Law Commissioners had approved every detail of their accommodation, including the quality of the ship:\n\n> Mr. Carter was to take charge of them, their bedding and any luggage up to the space of ten cubic feet, exclusive of bedding. Also to arrange for sleeping on board, not less than six feet in length, and eighteen inches in width, for each adult person. The ship, named the Brunswick was to sail from the port of London, and be A1 or AE1 in Lloyd's Register: of not less clear height in the between decks than five feet and approved by the Poor Law Commissioners. The destination was to be Quebec, Canada and the emigrants and their luggage were to be landed there free of any charge or deduction.[51]\n\nLloyd's codes have been located for thirty-three of the forty vessels that were known to have carried paupers. Thirty-one were either A1 or AE ships, while the remaining two had an E, or second-class, ranking. No examples at all were found of unsuitable ships. In other words, a staggering 94 percent of Lloyd's-registered ships that carried paupers had a top ranking. There can be no better endorsement of the high quality of emigrant shipping than this.[52] Landlords and parishes paid the extra cost of sending their poor off to Quebec in good ships to ensure their safety. Emigrants having to pay their own fares might have looked upon this with some envy, since many of them travelled in less good vessels, possibly because that was their only choice, or for cost reasons.\n\nLeaflet advertising the crossing of the Vittoria from Truro to Quebec in the spring of 1841. A year later the vessel, registered as AE1, carried 113 passengers, who included a small number of paupers.  \nCourtesy Royal Institute of Cornwall, Truro, the Courtenay Library.\n\nHaving endured the discomforts of an Atlantic crossing, the arrival at Quebec was a moment to savour. Elizabeth Peters wrote: \"I began] preparing the frills for my children and a cap for myself and hope to be in readiness as soon as the call comes to land.\" Excited at her first glimpse of \"cultivated land,\" she noted, \"the houses look so neat and clean. They are white-washed on the outside.\"[[53] William Thompson from Preston in Lancashire marvelled at \"the small houses, some red, buff and yellow,\" and noticed the \"few villages and churches, the roofs of the latter covered with sheets of tar.\"[54] Meanwhile, Elizabeth's husband, William Peters, was surprised \"to discover the trees and shrubs are] very different to what it is in England, for the trees appear to grow even to the water's edge,\" but was perturbed that the Friends' progress was being delayed as it made its way up the St. Lawrence: \"We ran the vessel on a sand bank, and there stuck fast \u2014 from which spot I now sit in my berth on the little barrel for a seat and my lap for a writing table and here we must stay until the tide again flows.\"[[55]\n\nOf course, reaching Quebec and continuing on to Montreal was simply the first phase of the journey. People on their way to western Upper Canada would still have to face a gruelling inland journey of several hundred miles. They had a choice of two routes: They could travel on barges, towed by a succession of steamboats along the Ottawa River via Bytown (Ottawa) and then along the Rideau Canal to Kingston, where they could board a steamer taking them across Lake Ontario to Toronto or Hamilton.[56] This was the quickest and most comfortable route.[57] Alternatively, immigrants could travel via the St. Lawrence River but, because of the rapids just beyond Montreal, they needed to transfer to large Durham boats that had to be dragged upriver to Prescott. It was a laborious and very slow means of conveyance:[58] \"The boats measuring nearly 100 feet long were powered by sail, pushed by pole, or drawn by horses or oxen part of the way.\" Sometimes, as George Jackson discovered, \"the passengers themselves got out and pulled.\"[59] Assuming all went well, they would reach Hamilton in about two weeks.\n\nAt Prescott, people went by steamer up the St. Lawrence to Lake Ontario, disembarking at either Toronto or Hamilton.[60] The final destination was then usually reached by wagon. This, too, had its perils. Henry Rastall, from Farndon Parish (Nottinghamshire), complained that \"the sea voyage was nothing to the journey by land, although I got some very bad gales... your Boughton back roads are nothing to it; it is very bad indeed, up and down sometimes your head against the top \u2014 it broke my hat to pieces, my hat being thick I suppose I did not get bruised.\"[61] A trip to the western limit of the province, a distance of eight hundred miles, was exhausting and could cost as much as \u00a314 to \u00a315, without provisions or accommodation.[62]\n\nA Durham boat on the St. Lawrence River, 1832. Watercolour by Henry Bryant Martin (1804\u201333). The Durham boat was flat-bottomed with a large cargo capacity. It could be moved by men with poles in shallow water and oars were used to navigate rapids.  \nCourtesy Library and Archives Canada, Acc. No. 1981-42-25.\n\nWith the coming of the steamship in the 1850s, sea transport entered a completely new phase. Instead of having shipping services that were run solely to meet the stowage and other requirements of the timber trade, much greater priority was given to the accommodation needs of passengers. Steamship crossings were shorter and safer, and because the ships were no longer dependent on the vagaries of the weather and wind direction, they could depart at a predetermined time. Crossing times were greatly reduced and death rates fell rapidly. Thus, with their arrival, sea transport entered the modern era. More and more emigrants opted for their greater speed, safety, reliability, and creature comforts, and by 1870 steam had entirely replaced sail.\n\nLiverpool rose to prominence during the steamship era, becoming England's principal embarkation port for Quebec. Dramatic changes were much in evidence by the late 1850s and early 1860s when steamships like the Anglo Saxon, Bohemian, Hibernian, and Nova Scotian carried many thousands of Quebec-bound passengers (Appendix I). With their great size and ability to make up to five crossings per year, they could carry more passengers in a single year than their sailing ship predecessors had achieved over many decades. Of course, with their great size and sophistication, steamships could only operate from major ports like Liverpool. This increasing centralization heralded the introduction of stricter controls and better enforceability of passenger travel regulations. And with the extension of railway networks in Britain and the new railways being constructed in Canada, immigrants really did enter the modern era. They no longer had to endure the four- to six-week sea crossing in a cramped, smelly hold and follow that with an arduous journey west from Montreal by boat, steamer, and wagon. Now there were timetables, booking procedures, enforceable controls, interconnecting shipping and rail services, and few delays.\n\nHowever, before the arrival of steam, immigrants had to rely on sailing ships. They were helped by the good standards sought by ship owners anxious to attract their fares. With only one or two exceptions the ships always reached Quebec, and there were very few English deaths on sea crossings. Judged by the living conditions of the time, immigrants were well-treated and normally sailed in well-constructed ships. There were many discomforts and anxious moments on crossings, but they were relatively minor when compared with the challenges of adapting to the new way of life that awaited them.\n\nTable 19:\n\nBritish Immigrant and Other Arrivals at the Port of Quebec, 1829\u201355\n\n[Annual Reports of the Immigration Agent at Quebec, 1831\u201355\n\n(note: PP 1837\u20131838[175] XLVII contains figures for 1829\u201336)]\n\nTable 20:\n\nSelected Regular Traders: Passengers Carried and Ship Quality\n\nTable 21:\n\nEmigrant Ships Which Carried Paupers: Ship Quality, Passengers Carried and Where From\n\n* indicates departure port and part of England from which the paupers originated\n\n# Chapter 11\n\nThe English in Ontario and Quebec\n\n> The English race proper, when transplanted from their native homes, do not see any especial need for asserting their nationality.[1]\n\nWHEN THE REVEREND Henry Scadding, chaplain to both the St. James Anglican Cathedral in Toronto and the city's St. George's Society, gave his annual address in 1860, he portrayed a great and glorious England that was strangely tight-lipped about its national identity.[2] Then, as now, public displays of what it means to be English were frowned upon. English people did not wrap themselves in St. George's flags, dance around maypoles, or call attention to their ethnic credentials in any other way. Each year, St. George's Day (April 23) passes by almost completely unnoticed. By contrast, the Irish wear their bunches of shamrocks and hold parades on St. Patrick's Day, while Scots wave the St. Andrew's Saltire on their National Day and glory in Burns suppers and pipe bands. Of course, Irish and Scottish symbolism travelled the world, and the Canadas were no exception. After they arrived, the Scots and Irish continued to trumpet the distinguishing features of their culture and heritage, but the English simply faded into the background. They took pride in their Englishness and carried a common sense of their national identity, but they spent little time worrying about who they were.\n\nAlthough the English lacked the colourful imagery of tartans and pipe bands, they did have John Bull. A fictional cloth trader, invented by a Scot, he, more than anyone else, came to symbolize Englishness.[3] Depicted in cartoons as a pot-bellied, middle-aged man, John Bull epitomized energy and determination and was fiercely independent and practical. However, in North America he could also seem insensitive and irritable. When the 5th Earl of Selkirk visited Quebec and Montreal in 1804, he remarked how \"the English cry out in the true John Bull style\" over their grievances with French Canadians, which were, in Selkirk's opinion, entirely of their own making. \"The string of Oathes ending with Sacr\u00e9 Anglais!\"[4] that Selkirk heard reflected French annoyance with the alleged tactlessness of the conquering English. But as Methodist missionary Reverend John de Putron discovered, the French could be pretty intolerant, as well. When he visited Three Rivers in 1821, he \"intended preaching in French, but was disappointed nobody came. To be useful is the prevailing desire of my heart, yet how distressing that, through strength of prejudice, they will not hear the Gospel.\"[5]\n\nOntario historian Dr. Edwin Guillet gave the English credit for \"assimilating themselves more speedily,\" and for being \"less clannish than the Scots and Irishmen,\" but thought that \"some of them arrived with no small amount of self-conceit, bounce and John Bullism, which was quickly taken out of them by their experiences and with the help often of rough-and-ready neighbours.\"[6] Isabella Lucy Bird, a genteel lady from Cheshire, had an actual encounter with a John Bull type while travelling through the United States in a train:\n\n> The cars were very full, and were not able to seat all the passengers.... \"A seat for a lady,\" said the conductor, when he saw the crowded state of the car. The one gentleman did not stir. \"A seat for a lady,\" repeated the man in a more imperious tone. Still no movement on the part of the gentleman appealed to.... There was now a regular hubbub in the car; American blood was up, and several gentlemen tried to induce the offender to move.... \"I'm an Englishman and I tell you that I won't be browbeaten by you beastly Yankees. I've paid for my seat and I mean to keep it,\" savagely shouted the offender, thus verifying my worst suspicions.\n> \n> \"I thought so! \u2014 I knew it! \u2014 a regular John Bull trick! Just like them!\" were some of the observations made, and very mild they were considering the aggravated circumstances.[7]\n\nThis was the bloody-minded side of John Bull.\n\nAlthough John Bull was to some extent a figure of fun, he did travel well as a pioneer and came to symbolize the supremely confident English, who proved to be very adaptable and successful settlers. Given that English labourers and tradesmen were much in demand and could thus command far higher pay than was the case in England, they experienced considerable economic benefits in emigrating. They also found that, for the first time in their lives, they were being treated as valued individuals. However, the transition to a pioneering society was often very painful for their wealthier counterparts. It was a culture shock. Having been accustomed to the deference and special privileges that befitted someone of a superior social rank in England, they suddenly found themselves being reduced to the status of an ordinary person in Canada. For obvious reasons, the egalitarian ways of the New World did not suit them. This anonymous English farmer, who visited Upper Canada in 1820, thought he had come to another planet:\n\n> An Englishman who expects to find that ready compliance with his wishes and wants, to which he has become accustomed in England, will be greatly disappointed. There are no bells, and there are no servants at the inns in this country. The traveller finds himself solitary, unnoticed, and left to supply his own wants. If he is loud, peremptory, or remonstrative he is treated in return with insolence or contempt. The chief aim of the host is to get the stranger's money; generosity and benevolence are not ingredients in his composition.[8]\n\nSimilarly, Henry Rastall's disapproval of the lack of ceremony in a Canadian hotel dining room shows a man still clinging to his past: \"A bell rings, and you all scramble for a place, and devour all as soon as you can, and then you get up from your table and go where you please.... Those who want anything to drink go to the bar and take it a drink] as they do at a common pub house in England. The people eat terribly fast...\"[[9]\n\nWhen British Army officer Edward Coke was seated at a table with two female servants when dining at the Clifton Hotel in Niagara Falls, it sent him into a frenzy:\n\n> I felt my English blood almost boil in my veins when I found myself sitting in company with two servant women at the table d'h\u00f4te at the same time that their mistress occupied a place at the other end of the table. I could have very well accustomed myself to such neighbours in the States, but never expected to have found the levelling system introduced into the British provinces to such an extent.[10]\n\nThe self-important Edward Coke did not appreciate that Canada's early colonists lacked the time, resources, let alone desire to provide segregated dining, or any other outward show of refinement and gentility. However, there were others, like Lincolnshire-born artist Mary Chaplin, who, while visiting the Eastern Townships in 1840, came to understand the ways of the New World. She had been puzzled when the landlady of the inn in Stanstead where she stayed had not offered to help her put on her shawl when she was about to leave her table, as would have been the case in England. Then, when the lady sat down at her table uninvited and struck up a conversation, Mary realized that the lady \"did not mean to be otherwise than civil; these manners arise from considering everybody on an equal footing.\" Mary was also struck by the large number of Americans living in the area and liked their \"casual, easy and familiar manners.\"[11]\n\nRelatively few wealthy English emigrated during the first half of the nineteenth century, and those who did mainly went to the United States. Some opinion formers in England even considered that such people were failures for seeking to emigrate in the first place. William Harrison from Boughton (Nottinghamshire) was highly disapproving of an acquaintance, Henry Bailey, who wished to emigrate, presumably because he thought such a move was beneath him:\n\n> Henry Bailey is not at home and has been very little at Boughton since you left. No persuasion can alter him in his determination to go to America, and I quite expect that he will leave his native land, but I think he will be back again if he can. Your brothers, Henry and Jonathan have written two excellent letters of advice to him to dissuade him from a step so distressing to his parents...\"[12]\n\nIn any case, people like the Devon-born Francis Howell, the under private secretary to Sir Charles Metcalfe, governor general of Canada, felt that the Canadas had little to offer the middle classes. Writing home from Government House in Kingston, he pronounced that \"it is utterly useless\" for people in England \"to indulge any idea of getting employment under government as he had done]... the objection to newcomers is an insurmountable barrier.\"[[13] In other words, the special privileges that went hand in hand with social status in England were less likely to materialize in the Canadas.\n\nMeanwhile, William Robinson dreamed of reinstating the English class system on his farm in Delaware Township (Middlesex County) in Upper Canada. He hit upon the idea in 1836 of employing compliant labourers from the Petworth estate in West Sussex, thinking that because they had recently emigrated to Upper Canada, they were ripe for the picking. So he asked the Reverend Thomas Sockett, the man who had organized and raised the finances for their departure, to select a few for his farm:\n\n> My object is to have people about me whose services I can rely on, at all seasons; and I am persuaded, the only means of obtaining that end, is to get out families direct from England, who, by being kept together, are less liable to contract wandering habits... for the more intercourse they have with the older inhabitants, the sooner they lose their native character, imbibe loose habits, become Yankeefied... insolent, and independent; for which reason I would avoid giving employment to any person who came to this country by way of the United States.[14]\n\nGiven that Petworth labourers were practically fighting off job offers the moment they arrived in Upper Canada, it was preposterous for William Robinson to think that he could tempt them with his vision of a feudal England reincarnated. James Parker, one of the Petworth labourers who had settled in Adelaide Township, also in Middlesex County, told a friend that he \"could have a dozen masters,\" but limited his paid employment as much as he could to allow himself more time to clear his own land.[15] This was his route to independence and the way forward for most of the others.\n\nWhile immigrants experienced pronounced cultural differences when they first arrived in the Canadas, they had far less of an adjustment to make in urban areas, where lifestyles were essentially British, if not English. Military officers, government officials, businessmen, merchants, and professional men, together with their families, enjoyed genteel pursuits while benefiting economically from the rapid growth of cities like Montreal, Toronto, and Quebec. They built elegant houses, dined out regularly, danced at balls, wore stylish clothing, employed servants, and essentially had English lifestyles.\n\nColonel Francis Fane, a Lincolnshire-born army officer in the 54th Regiment who was stationed at the British garrison in Quebec City in the 1850s, was particularly passionate about horseracing, one of the many sporting pursuits of the English gentleman.[16] First introduced in the late eighteenth century into Quebec by British soldiers serving at the garrison, it had developed into a reasonably popular sport by the time that Colonel Fane arrived. He boosted its appeal further by raising funds for the Quebec track, helping to organize the actual races and appointing the judges.[17]\n\nPen and ink sketch of people on a skating rink in Quebec City, 1852, by Colonel Francis Fane, a British Army officer who served in Canada during the 1850s.  \nCourtesy Samuel and Marcus Fry and Lincolnshire Archives, FANE 6\/8\/2.\n\nFox hunting with hounds, another English import, was fashionable during the early nineteenth century, although its popularity was very short-lived because of opposition from farmers and the high cost of keeping dogs during long winters. According to Edwin Guillet, the occasional fox hunt caused quite a stir near Woodstock in western Upper Canada:\n\n> There were more aristocrats, \"genteel\" and cultured people, and other comparatively well-to-do settlers from England than from other parts of the British Isles; and not a few of them came to this country as to a combined fox-hunt and conversazione, accompanied by dogs, rigged out in loud tweeds, patent leather shoes and even monocles.[18]\n\nThe English sport of cricket, like horseracing, was introduced to Canada by the military, with the first recorded game being played in Montreal in 1785. From these small beginnings the sport grew in popularity, particularly in Toronto. The York (Toronto) Cricket Club, founded in around 1829, is the oldest in Canada, while the Upper Canada College Cricket Club, also located in Toronto and formed seven years later, was its main rival. By 1840, Guelph, Kingston, and Woodstock each had their own club, with the Bytown (Ottawa) Cricket Club emerging nine years later.[19] Working as a government official in Kingston, Francis Howell reported with some excitement to his father in Devon that he had actually witnessed a cricket match played in August 1843 between civilians and the military personnel who were based at the garrison.[20] However, despite Sir John A. Macdonald's declaration at the time of Confederation that cricket was to be Canada's national sport, it steadily lost its popularity and succumbed in the end to American baseball.[21]\n\nPhotograph of group of cricketers in Ottawa, July 1898, taken by William James Topley.  \nCourtesy Topley Studio \/ Library and Archives Canada, PA-028030.\n\nPhotograph by William James Topley of an Ottawa versus Montreal rugby game, played in August 1910, at Ottawa.  \nCourtesy William James Topley \/ Library and Archives Canada, PA-009596.\n\nRugby, another English passion, struggled for support in Ontario and Quebec, although it had a strong following in British Columbia and the Maritimes. Its Canadian roots date back to a match played in 1864 at Montreal, when British artillery men organized themselves into teams. The Montreal Rugby Club was formed four years later and rugby games were played in Toronto soon after. Following the large English influx of the early twentieth century, rugby enjoyed a resurgence, but it was short-lived. Once again the American version of the game won out.[22]\n\nIt is hardly surprising that sports such as cricket and rugby, which epitomized the genteel values of the English, would have had such limited support in Canada. However, the influence of the English on Canada's culture went far beyond sport. Being a highly sociable people, they were accustomed to engaging in leisure pursuits and forming clubs and societies that brought people together. Their social networks, love of pastimes, and sense of public service came with them to Canada. Once their communities had developed to the point where people had time to enjoy themselves, the English would have readily formed women's institutes, gardening clubs, amateur dramatic societies, literary clubs, embroidery groups, shooting clubs, arts societies, and other such bodies as they saw fit. Their desire to have organized recreational activities was ingrained in them, and by being proactive in this way they greatly improved the quality of life for themselves and everyone else.\n\nThe Mechanics' Institutes were yet another English import. Formed first in England in 1823, their aim was to provide vocational education and training to working men.[23] Montreal had the earliest Mechanics' Institute in Canada, being founded in 1828, while York (Toronto) had its institute two years later and Bytown followed in 1847. The Barrie Mechanics' Institute, established in 1854, proclaimed that one of its primary aims was to provide \"useful information to the industrious mechanics.\" Every skilled worker in Barrie apparently subscribed, since the annual subscription of 5s. \"put it in the reach of all.\" The institute's immediate plan was to purchase books and found a museum.[24]\n\nAlthough the English made much less of a fuss over their culture than did the Scots or Irish, they nevertheless formed ethnic societies in Canada. The first St. George Society, honouring England's patron saint, emerged in Halifax in 1786 and still remains active today. As with other St. George societies, its original aim was to promote and celebrate English culture and to channel funds to needy English people. Later, the societies changed to becoming immigrant aid organizations that were open to anyone having an interest in promoting English traditions. Toronto and Montreal each had a St. George's Society by 1834, and Quebec followed suit one year later. Clubs formed later in Ottawa (1844), London (1867), and Barrie (1875).[25] There was even a St. George's Club in Sherbrooke, founded in 1890, that had 158 resident members and 101 non-resident members in 1963.[26]\n\nHowever, the largest and most important English cultural society was the Sons of England, branches of which could be found in most Canadian cities.[27] First established in Toronto in 1874, the society's branches were organized by affluent Englishmen with a military or professional background. Their primary aim was to run social activities, the highlight of which were events modelled on the English Music Hall. At such gatherings people \"thrilled to jingoistic songs, they wept at the evocations of England's green and pleasant land, they savoured the unique pleasure of drinking warm, dark ale and they reverted to regional dialects.\"[28] But there was a philanthropic side, as well, in that the Sons of England Benevolent Society furnished its members with economic support and held out a helping hand to newly arrived English immigrants. By 1913, the society had forty thousand members across Canada.\n\nPhotograph by Frank W. Micklethwaite (1849\u20131925) of those attending the St. George's Society of Toronto's 75th Annual Dinner at St. George's Hall, April 25, 1910.  \nCourtesy Canada Patent and Copyright Office \/ Library and Archives Canada, PA-029713.\n\nThe English assimilated readily into Canadian society and, unlike their Scottish and Irish counterparts, did not seek to highlight the distinguishing features of their culture. They had not done so in their homeland, and therefore there was no reason why they would seek to do so in the Canadas. They drew little distinction between being English and being British, regarding the Union Jack, the monarchy, and parliamentary institutions as symbols of their Englishness. Many chose Canada over the United States because it offered a British version of the New World, although initially most had gone to the United States. However, irrespective of this confusion over whether they saw themselves as being British or English, they each came with a strong sense of their English identity. Originating from the most powerful nation on earth, having an Empire that dominated the world, they were endowed with a strong sense of self-belief, bordering in some cases on arrogance. This applied to everyone, including the labouring classes. They had \"a patriotic identification with the achievements of a great nation at the height of its economic and political power.\"[29]\n\nAlong with other immigrants, the English merged into the cultural melting pot that would eventually identify them as Canadians. However, they did have their problems. Canadian attitudes toward them soured at the turn of the twentieth century when large numbers of poor English immigrants entered the country under various benevolent schemes. There was an understandable outcry that Canada was being used as a receptacle for England's poor and unwanted. Resentment toward them peaked during the depression years of 1907\u201308, when jobs were in short supply. NO ENGLISH NEED APPLY notices proliferated, as the country's anxieties grew.[30] However, this anti-English outburst was short-lived. Canada's expanding economy needed the skills that only English immigrants could offer. This realization may not have endeared them to the general public, but it was a reality that most people recognized.\n\nThe English came with deeply embedded and almost unconscious values that contributed greatly to the social fabric of the areas that they inhabited. But first and foremost they were valued for their farming skills, which far surpassed those of their Scottish and Irish counterparts. Some also brought important technical and manual skills. Many had left England in the first place because machines had taken over their jobs. In a pioneering society people who could make tools and household goods were at a premium, and here again the English would have excelled. Their skills were often superfluous to requirements in England but were a vital asset in the Canadas. Later on, with the influx in the late nineteenth and early twentieth centuries of wealthy English males having a business or professional background, they would contribute once again to the growth of the Canadian economy.\n\nPublic perceptions of the English changed. At times they were regarded as useless people who had to be removed from their native land, and at other times they were regarded as the indispensable life blood of England. They came from all parts of England and all walks of life, but many only chose to come to the Canadas once they could match the United States in economic terms. Along with the Irish, the English were the major colonizers of Ontario and Quebec, but they only remained in appreciable numbers in Ontario. They moulded themselves into communities when it suited them, but only rarely sought to settle together. They had no sense of mission other than the desire to better themselves and their families. In this they succeeded beyond their wildest dreams.\n\nThe English were a unifying presence in their New World communities. They certainly did not come as empire-builders. This emigration saga is dominated by ordinary people who came with accumulated skills and knowledge and put them to good use for the benefit of all. Their talent, determination, and pioneering successes are plain to see in many parts of Ontario and Quebec. Nobody gave them a second glance when they left England, and few commentators saw fit to record their presence when they reached Canada.\n\n# Appendix I\n\nEmigrant Ship Crossings from England to Quebec, 1817\u201364\n\nExplanatory Notes\n\nVessel Type\n\nBrig (bg): a two-masted vessel with square rigging on both masts.\n\nBarque(bk): a three-masted vessel, square-rigged on the fore and main masts and for-and-aft rigged on the third aftermost mast.\n\nShip (s): a three-masted vessel, squared rigged on all three masts.\n\nSchooner (sr): has fore-and-aft sails on two or more masts. They were largely used in the coasting trade and for fishing, their advantage being the smaller crew than that required by square-rigged vessels of a comparable size.\n\nSnow (sw): rigged as a brig with square sails on both masts but with a small triangular sail-mast stepped immediately towards the stern of the main mast.\n\nSteamship (s.s.): steamship\n\nMonth\n\nUnless otherwise stated, the month shown is the vessel's arrival month; but where the month is followed by an asterisk it refers to the departure month.\n\nDocumentary Sources\n\nThe number of passengers carried by ships crossing from England to Quebec has been obtained from a variety of documentary sources, the most important being: Canadian newspaper shipping reports (especially those taken from the Quebec Mercury), the Quebec Immigration Agent's Annual Reports, and the Colonial Land and Emigration Commissioners Annual Reports, both taken from the British Parliamentary Papers. An important source for Cornish emigration is the Royal Institution of Cornwall's \"Records of Emigrant Ships from Cornwall,\" which is based on newspaper extracts compiled by C.J. Davies. Some passenger figures are approximate. Uncertainties arise as to whether passenger numbers include all adults (not just heads of households) and children and infants.\n\nPassenger Lists\n\nNo official passenger lists were kept for ships crossing from Britain to the port of Quebec until 1865. As a consequence, few passenger lists survive from before that time. Where a passenger list has been identified in this study, the documentary reference is given with the crossing information.\n\nTables 1, 2, 7, 8, 9, 10, 11, 14, and 16 contain partial or full listings of passengers taken on particular crossings. Passenger lists for crossings taking the Petworth settlers to Quebec can be accessed on The Ships List website.\n\nPassenger lists for the period from 1865 to 1935 are held on microfilm by Library and Archives Canada (see the LAC website).\n\n# Notes\n\nChapter 1: Canada's Appeal to the English\n\n1. SROI: Education File #26 (Gentleman's Magazine, May 1832).\n\n2. ERO D\/DVv\/87: Robert Downes to his mother in Witham, Essex, 1817.\n\n3. Charles Chetwynd-Talbot, 2nd Earl Talbot.\n\n4. STRO D240\/J\/4\/7: Shrewsbury papers, R.W. Hay, undersecretary in the Colonial Office to Lord Talbot, September 28, 1835.\n\n5. LAC MG24 I19: Richard Hemsley and family fonds.\n\n6. Private communication with David Ford, September 2010. His permission to use this information is gratefully acknowledged.\n\n7. ERO D\/DJg\/F9: Joseph Jessopp correspondence.\n\n8. Canadian Courant and Montreal Advertiser, August 16, 1826, reprinted in the Liverpool Albion.\n\n9. The British government's experiments with state-aided emigration are discussed in H.J.M. Johnston, British Emigration Policy 1815\u20131830: Shovelling Out Paupers (Oxford: Clarendon Press, 1972).\n\n10. Stanley C. Johnson, A History of Emigration from the United Kingdom to North America 1763\u20131912 (London: 1913), 57\u201358.\n\n11. By 1840, Australia and New Zealand were the preferred destinations of most parish-assisted immigrants, although their overall numbers were far lower than in the previous decade.\n\n12. DERO D3155\/WH 2867: Buchanan's concerns were mentioned in John Richards's letter to the Right Honourable Wilmot Horton, undersecretary for war and the colonies, April 4, 1831.\n\n13. Buchanan's letter to Daniel Gurney, King's Lynn, Norfolk, July 10, 1835 in PP 1836 (76) XL.\n\n14. CKS U47\/18 E5: Walter H. Shadwell papers, Mr. Watts to R.S. Harvey in London, August 23, 1834.\n\n15. DERO D3155\/WH3393: Remarks on outline of a plan for emigration by the Duke of Somerset's agent.\n\n16. Wendy Cameron, Sheila Haines, and M. McDougall Maude (eds.) English Immigrant Voices: Labourers' Letters from Upper Canada in the 1830s (Montreal: McGill-Queen's University Press, 2000), 138\u201340 (Edward and Hannah Bristow's letter, July 20, 1833).\n\n17. Joseph Pickering, Enquiries of an Emigrant Being the Narrative of an English Farmer from the Year 1824 to 1830 During Which Period He Traversed the USA and the British Province of Canada with a View to Settle as an Emigrant (London: Effingham Wilson, 1831), 44.\n\n18. The Crown and Clergy Reserves provided even further acreages to the British Establishment.\n\n19. STRO D240: Shrewsbury papers: estate memoranda and correspondence. D240\/J\/4\/6: Lord Glenelg's advice to Lord Talbot, September 12, 1835.\n\n20. The government continued to operate its \"grace and favour\" land policies well into the 1850s. Lillian Francis Gates, Land Policies in Upper Canada (Toronto: University of Toronto Press, 1968.), 303\u201307.\n\n21. J.M. Bumsted, The Peoples of Canada: A Pre-Confederation History, vol. 1 (Toronto: Oxford University Press, 1992), 236\u201357.\n\n22. SHRO 448: Marrington Hall collection, 448\/632: Philip Snape to his uncle (n.d.). Some rebels wished to see Upper Canada break free from Britain and this outcome would have been welcomed by many Americans.\n\n23. LRO FANE 6\/12\/2: Journal of Mary Chaplin, August 30, 1838; August 1, 1839.\n\n24. Many of the passengers arriving at Quebec did not settle in the Canadas. As a consequence, the Quebec arrival statistics do not accurately reflect the number of people who actually came to reside in the Canadas. Also, the ease with which immigrants could cross the American-Canadian border created a steady flow of immigrants in both directions, thus adding to the confusion.\n\n25. N.H. Carrier, and J. R. Jeffery, External Migration: A Study of the Available Statistics 1815\u20131950 (London: HMSO, 1953), 95\u201396.\n\n26. Henry John Boulton, A Short Sketch of the Province of Upper Canada, for the Information of the Labouring Poor Throughout England (London, John Murray, 1826), 53\u201354, 58.\n\n27. Pickering, Enquiries of an Emigrant, 36\u201337.\n\n28. John George Lambton, Earl of Durham, headed an investigation of the disturbances and demands being made for fuller self-government.\n\n29. Lord Durham's Report, vol. 2, 212, quoted in Johnson, A History of Emigration, 177\u201378.\n\n30. Methodism's appeal to pioneer settlers in the Canadas is discussed in S.D. Clark, Church and Sect in Canada (Toronto: University of Toronto Press, 1949), 90\u2013100.\n\n31. Some commentators believed that in rejecting a hierarchical structure Methodist preachers were undermining British values and for that reason questioned whether they could remain loyal to the British Crown. David Mills, The Idea of Loyalty in Upper Canada, 1784\u20131850 (Kingston, ON: McGill-Queen's University Press, 1988), 55\u201357.\n\n32. Clark, Church and Sect in Canada, 143\u201344. For example, a Quaker family from Lancashire settled in Reach Township (Ontario County) in 1835. For further details of Agnes and David Cragg's request to join the Yonge Street Monthly Meeting of Friends in Upper Canada, see LARO FRL 2\/1\/33\/164.\n\n33. SPG AR, 1851, lxiii\u2013lxiv.\n\n34. DERO D3349\/3: Metcalfe family of Killarch correspondence. Letters to the Reverend J. Metcalfe, in Kilnmarsh, 3\/1, July 10, 1908, 3\/2, September 27, 1909.\n\n35. Ibid., 3\/4, August 9, 1911.\n\n36. LAC 920 MD 154: Journal of James Moncrieff Wilson, 44\u201345.\n\n37. LRO FANE 6\/8\/3: Fane Collection. \"Report of Col. Francis Fane on His Visit to the Dominion in 1890,\" 14.\n\n38. LARO DDX 1357 2\/1\/10: Clitheroe.\n\n39. The Scots represented 20 percent of the population. Many parts of Upper Canada also had sizeable German populations by 1881. Other ethnic groups recorded in the 1881 Census were: Native Peoples, Dutch, African, Swiss, and Welsh, although their numbers were relatively small.\n\n40. Bruce Elliott, \"The English,\" in Paul Robert Magocsi (ed.), The Encyclopaedia of Canada's Peoples (Toronto: Published for the Multicultural History Society of Ontario by the University of Toronto Press, circa 1999), 462\u201365.\n\nChapter 2: The Loyalist Immigrants\n\n1. ETRC P006\/009: Millie Hallowell fonds. Millie Hallowell was born in Sherbrooke in 1861.\n\n2. They were known later as United Empire Loyalists in recognition of their loyalty to the Crown after the British defeat.\n\n3. The actual numbers are uncertain. It is thought that around 35,000 Loyalists arrived initially in Nova Scotia and settled along both sides of the Bay of Fundy, swelling the population of the Nova Scotia peninsula and giving the newly created province of New Brunswick an instant population. Cape Breton and the Island of St. John (later Prince Edward Island) received about one thousand each. Phillip Buckner and John G. Reid (eds.), The Atlantic Region to Confederation: A History (Toronto: University of Toronto Press, 1993), 184\u2013209; J.M. Bumsted, \"The Consolidation of British North America, 1783\u20131860,\" in Philip Buckner (ed.), Canada and the British Empire (Oxford: Oxford University Press, 2008), 43\u201347.\n\n4. Wilbur Henry Siebert, \"American Loyalists in the Eastern Seigneuries and Townships of the Province of Quebec,\" Transactions of the Royal Society of Canada, 3rd series (1913) vol. VII: 3\u201341.\n\n5. Robert S. Allen, The Loyal Americans: The Military Role of the Loyalist Provincial Corps and Their Settlement in British North America 1775\u20131784 (Ottawa: National Museum of Canada, circa 1983), 92\u201395. The German Palatines and English Quakers were victims of religious persecution.\n\n6. Fernand Ouellet, Le Bas Canada 1791\u20131840; Changements structuraux et crise (Ottawa: Ottawa University, 1976) [Translated and adapted: Patricia Claxton, Lower Canada, 1791\u20131840: Social Change and Nationalism (Toronto: McClelland & Stewart, 1980)], 22\u201336.\n\n7. Robert Harvey, A Few Bloody Noses: The American War of Independence (London: John Murray, 2001), 179\u201382.\n\n8. Siebert, \"American Loyalists in the Eastern Seigneuries and Townships,\" 27\u201330.\n\n9. By 1820 Sorel was reported to be the only town between Montreal and Quebec \"wherein English is the dominant language.\" William Kingdom, America and the British Colonies (London: G. and W.B. Whittaker, 1820), 99.\n\n10. LAC MG 21: Haldiman Collection, \"Return of Loyalists in Canada, 1778\u201387,\" March 1783. LAC M68-G46: Christ Church Parish fonds (Sorel).\n\n11. For servicemen, land was granted according to rank, ranging generally from one thousand acres for officers to one hundred acres for privates. Civilians usually got one hundred acres for each head of family and fifty additional acres for every person belonging to the family. Helen Cowan, British Emigration to British North America; The First Hundred Years (Toronto: University of Toronto Press, 1961), 3\u201312.\n\n12. Approximately 80 percent of the Loyalists settled in what were known as the Royal Townships: Charlottenburg, Cornwall, Osnabruck, Williamsburgh, Matilda, Edwardsburgh, Augusta, and Elizabethtown. Angela E.M. Files, \"Loyalist Settlement along the St. Lawrence in Upper Canada,\" Grand River Branch (U.E.L. Association of Canada) Newsletter 8, no. 1 (February 1996): 9\u201312.\n\n13. Many of Major Jessup's corps went to Edwardsburgh, Augusta, and Elizabethtown townships.\n\n14. While the 1881 Census reveals a relatively strong German presence in Dundas County (34 percent), it shows few people of English origin (11 percent).\n\n15. They were known as the Cataraqui Townships and consisted of: Kingston (Frontenac County), Ernestown (Addington County), Fredericksburg and Adolphustown (Lennox County), and Marysburgh (Prince Edward County).\n\n16. For example, in Prince Edward County, people with English ancestry outnumbered each of the other ethnic groups, although they only represented around 30 percent of the population. People with German and Irish ancestry were close seconds to the English, and there was also a substantial Dutch and Scottish element.\n\n17. RHL USPG Series E: Reports from Missionaries (LAC m\/f A-223). J. Reynolds Tooke and Robert Gregory Cox, both writing in 1855.\n\n18. The Loyalists also included the Iroquois and other Native Americans who, wishing to maintain their loyalty to the King, fled from New York to Fort Niagara during the Revolutionary War. Numbering almost two thousand, most were granted land to the west of Lake Ontario, but a smaller number went to the Bay of Quinte region.\n\n19. Clark, Church and Sect, 90\u201393. Fahey Curtis, \"A Troubled Zion: The Anglican Experience in Upper Canada\" (unpublished Ph.D. thesis, Carleton University, 1981), 24\u201332.\n\n20. John Clarke, \"A Geographical Analysis of Colonial Settlement in the Western District of Upper Canada, 1788\u20131850\" (unpublished Ph.D. thesis, University of Western Ontario, 1970), 37.\n\n21. Few immigrants arrived in Upper Canada from Britain until 1815. Joseph Bouchette, The British Dominions in North America: A Topographical and Statistical Description of the Provinces of Lower and Upper Canada, New Brunswick, Nova Scotia, the Islands of Newfoundland, Prince Edward Island and Cape Breton (London: Longman, Rees, Orme, Brown, Green and Longman, 1832) vol. II, 235.\n\n22. Raymond Whaley, \"The Bates and Lovekin Families: First Settlers of Clarke Township,\" Families 44, no. 1 (February 2005): 3\u201326.\n\n23. Leslie M. Morley, C.E. Morley, W.C. Murkar The Village of Pickering (Pickering, ON: Corporation of the village of Pickering, 1970), 2\u20133.\n\n24. LAC MG24 I59: John Langton and family fonds.\n\n25. Andrew's grandfather had acquired land in Scott Township in 1809. Allan McGillivray, Decades of Harvest: A History of the Township of Scott, 1807\u20131973 (Uxbridge, ON: Scott History Committee, 1986), 7\u201327.\n\n26. Hilda Marion Neatby, Quebec, The Revolutionary Age, 1760\u20131791 (Toronto: McClelland & Stewart, 1966), 133\u201341; John A. Dickinson and Brian Young, A Short History of Quebec, 2nd edition (Toronto: Longman, 1993), 54\u201359.\n\n27. The French militia took up arms to defend Quebec from the Americans in 1775, although none volunteered to join the British Army in attacking the American colonies.\n\n28. Gates, Land Policies in Upper Canada, 12\u201323.\n\n29. Haldimand to Lord North, quoted in Ouellet, Le Bas Canada, 24.\n\n30. Following later boundary changes, Foucault (renamed Caldwell Manor) is now in the State of Vermont.\n\n31. Siebert, \"American Loyalists in the Eastern Seigneuries and Townships,\" 32\u201337.\n\n32. Two systems of land tenure were now in place. The original French seigneuries stretched along the St. Lawrence River as far as the Gasp\u00e9, and along the Ottawa, Chaudi\u00e8re, and Richelieu rivers.\n\n33. By 1881, most of the English in Huntingdon County were to be found in Hemmingford and Hinchinbrook townships. Siebert, \"American Loyalists in the Eastern Seigneuries and Townships,\" 38\u201341; Joseph Bouchette, A Topographical Dictionary of the Province of Lower Canada (London: H. Colburn and R. Bentley, 1831).\n\n34. There were 129 men, fifty-two women, and 132 children in the first group, followed by fifty-six people in a second group. Wilbur Henry Siebert, \"Loyalist Settlements in the Gasp\u00e9 Peninsula,\" Transactions of the Royal Society of Canada, 3rd Series (1914) vol. VIII: 399\u2013405.\n\n35. Bouchette, The British Dominions in North America, vol. I, 323\u201333; Siebert, \"Loyalist Settlements in the Gasp\u00e9 Peninsula,\" 403.\n\n36. Having been forcibly expelled from Nova Scotia in 1755, along with many thousands of other Acadians, they were some of the very few who had escaped deportation. Finding a safe haven in the Baie-des-Chaleurs, these Acadians then attracted further followers.\n\n37. Raoul Blanchard, L'Est du Canada Fran\u00e7ais, \"Province de Qu\u00e9bec\" (Montreal: Publications de l'Institut Scientifique Franco-Canadien, 1935) vol. I, 56\u201365.\n\n38. NAS GD 45\/3\/153: Population in Baie-des-Chaleurs, circa 1825. For a description of the Gasp\u00e9 Scots, see Lucille H. Campey, Les \u00c9cossais: The Pioneer Scots of Lower Canada, 1763\u20131855 (Toronto: Natural Heritage, 2006), 111\u201322.\n\n39. Marjorie Whitelaw, ed., The Dalhousie Journals, vol. 3 (Ottawa: Oberon, 1978\u201382), 64.\n\n40. Before 1800, the Gasp\u00e9 Peninsula was predominately British, since few French Canadians had arrived by this time. However, by 1861, French Canadians were the dominant group. People of either English or Scottish origin accounted for only 17 percent of the population, and forty years later they were only 7 percent of the total.\n\n41. RHL USPG Series E: Reports from Missionaries (LAC m\/f A-223).\n\n42. Gerald M. Craig, Upper Canada: The Formative Years, 1784\u20131841 (Toronto: McClelland & Stewart, 1993), 40\u201365.\n\n43. LAC MG24 I20: Samuel Southby Bridge collection.\n\n44. John A. Dickinson and Brian Young, Short History of Quebec, 2nd edition (Toronto: Longman, 1993), 60\u201362.\n\n45. The Voltigeurs Canadiens, the first French Canadian regiment of regular soldiers raised under the leadership of Charles-Michel de Salaberry, a Canadian lieutenant colonel in the British Army, helped defend Lower Canada at the Battle of Ch\u00e2teauguay.\n\n46. For details of the Scottish schemes, see Lucille H. Campey, Scottish Pioneers of Upper Canada, 1784\u20131855 \u2014 Glengarry and Beyond (Toronto: Natural Heritage, 2005), 35\u201368. For details of the Irish schemes, see Bruce S. Elliott, Irish Migrants in the Canadas: A New Approach (Kingston, ON: McGill-Queens University Press, 1988), 61\u201381.\n\n47. UHA DDX 60\/50: Courtney family papers.\n\nChapter 3: South and West of Montreal\n\n1. Joseph Bouchette, A Topographical Description of the Province of Lower Canada, with Remarks upon Upper Canada (London: W. Faden, 1815), 1789.\n\n2. Potash was the main product of the virgin forest, being the ashes left behind after trees were burned. A simple process turned the ashes into potash.\n\n3. Joseph Bouchette, A Topographical Dictionary of the Province of Lower Canada (London: Longman & Co, 1832). See entry for Richelieu River.\n\n4. Robert Sellar, The History of the County of Huntingdon & of the Seigneuries of Chateauguay and Beauharnois from Their First Settlement to the Year 1838 (Huntingdon, QC: Canadian Gleaner, 1888), 19\u201320; G.A. Rogers, \"The Settlement of the Chateauguay Valley,\" Connections 14, no. 3 (1992): 2\u20136.\n\n5. Lucille H. Campey, Planters, Paupers, and Pioneers, English Settlers in Atlantic Canada (Toronto: Natural Heritage, 2010), 37\u201359.\n\n6. Britain and France were at war between 1793 and 1801, and again in the Napoleonic Wars between 1803 and 1815.\n\n7. Some of this land had probably belonged to French seigneurs who returned to France after the British conquest of Quebec. Lacolle seigneury had previously belonged to David Lienard de Beaujeu, after whom it had been named. Following Beaujeu's death in the Seven Years' War, his heirs sold the seigneury to Gabriel Christie.\n\n8. Serge Courville [translated by Richard Howard], Quebec: A Historical Geography (Vancouver: UBC Press, 2008), 105\u201306.\n\n9. By 1791, some 32 percent of the Lower Canada seigneuries were totally or partially owned by English-speaking people. John A. Dickinson and Brian Young, Short History of Quebec, 2nd edition (Toronto: Longman, 1993), 31\u201334, 81, 170\u201373.\n\n10. Carl Benn, The War of 1812 (Oxford, UK: Osprey, 2002), 8\u20139, 48\u201349.\n\n11. The geographical origins of the English families who settled in Lacolle have been taken from the \"History of English Settlement in Lacolle\" website: www.angelfire.com\/home\/lake\/lacolle\/hist.html.\n\n12. During the War of 1812\u20131814, Hoyle and a business associate, William Bowron, were said to have made large profits from selling American cattle to troops at the British garrison at \u00cele aux Noix.\n\n13. While men like Hoyle went to the Canadas during the war, many Americans living in the Canadas did the reverse and moved south to the United States.\n\n14. DCB Vol. VIII (Robert Hoyle). Hoyle played an active role in the Townships Militia. His brother Henry arrived from New York in 1824 and later acquired the Lacolle seigneurial manor house and estate.\n\n15. In spite of widespread and repeated complaints within Britain over the high cost of timber, the protective tariffs remained in place until 1860. Ralph Davis, The Industrial Revolution and British Overseas Trade (Leicester, UK: Leicester University Press, 1979), 48\u201349. Duties increased from 25s. per load in 1804 to 54s. 6d. per load in 1811.\n\n16. The Hudson River could be reached from Lake Champlain by 1819 with the completion of the Champlain Canal.\n\n17. Between 1817 and 1830 just under six thousand people sailed to Quebec from Hull, around 2,700 did the same from Liverpool, as did a similar number who sailed from the combined Cumberland ports of Maryport, Whitehaven, and Workington.\n\n18. Campey, Planters, Paupers, and Pioneers, 129\u201335, 166\u201368.\n\n19. Andrew Oliver [late of Montreal], A View of Lower Canada Interspersed with Canadian Tales and Anecdotes and Interesting Information to Intending Emigrants (Edinburgh: Menzies, 1821), 122\u201324.\n\n20. Hull Packet, March 17, 1823.\n\n21. Sellar, History of the County of Huntingdon, 321\u201322. Bowron was a Quaker who had originally emigrated to New York. When war was declared in 1812, he moved to Montreal, where he founded a linen manufacturing business that later collapsed. Returning to New York he received word about Lacolle from Robert Hoyle, an acquaintance of his, and decided to join him. He later became the Crown Lands' agent for the area.\n\n22. DCB Vol. VII (Henry Edme).\n\n23. John Cockerline, from Easington in the East Riding, settled in Henrysburg in 1833; his father-in-law, Marmaduke Jackson (also from Easington), settled in the Lacolle seigneury.\n\n24. Francis Cookman from Owthorne in the East Riding, who moved to Bogton in 1825, was particularly well-regarded and became known as the father of Bogton.\n\n25. The Wesleyan Methodist Missionary Society was founded in Britain in 1786 to support missionary activities overseas.\n\n26. Hewson and John Paine, both brothers from Maltby le Marsh in Lincolnshire, moved to Henrysburg in 1827.\n\n27. SOAS MMS\/North America\/Correspondence\/FBN2, Box 94\/File 4E#1: J. Booth, August 4, 1823. The Reverend Booth also made occasional visits to East Hemmingford (Scrivers settlement), Sherrington (Douglas settlement), \u00cesle aux Noix, and Caldwell's Manor, the latter being on the east side of the Richelieu River.\n\n28. Report of the Wesleyan Methodist Society, 1825, 86; 1826, 100\u201301; 1827, 93\u201394.\n\n29. Montreal Gazette, July 9, 1827.\n\n30. Quebec Gazette, May 19, 1828.\n\n31. Montreal Gazette, June 11, 1829. Included among the 150 people from Yorkshire who arrived in one vessel were two families who moved on to Illinois and Ohio to join their friends.\n\n32. Montreal Gazette, June 14, 1830.\n\n33. Hallerton is believed to have been named after Charles Ellerton, a native of Cottingham in the East Riding who arrived in 1827.\n\n34. Ouellet, Le Bas Canada, 480\u201381.\n\n35. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n36. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n37. Sellar, History of the County of Huntingdon, 252.\n\n38. DCB Vol. IX (Edward Ellice). A fur baron, merchant banker, and major land owner, Ellice had considerable financial interests in North America.\n\n39. G.A. Rogers, \"Pioneer Mill Sites in the Chateauguay Valley,\" Connections 15, no. 1 (September 1992): 7\u201315.\n\n40. The obligations and rights of tenants and seigneurs are outlined in Courville, Quebec: A Historical Geography, 49\u201368, 132\u201338.\n\n41. DERO D3155\/WH2787: Edward Ellice letters (1823\u20131824). Legislation was being considered to commute feudal fees and rents to special payments but legal and financial complications blocked progress.\n\n42. SOAS MMS\/North America\/Correspondence\/FBN2 (1821\u20131824) J. de Putron, April 1, 1822, Box 93\/File 3c#54.\n\n43. Bouchette, A Topographical Dictionary of the Province of Lower Canada (1832). Of the forty-four English families listed in Beauharnois seigneury, nineteen lived in Ormstown, fourteen in Edwardstown, while the remaining eleven were scattered widely.\n\n44. An 1838 map of Lower Canada reveals four places in Beauharnois seigneury and Huntingdon County having English settlers; however, the people referred to were probably English-speaking Scottish Lowlanders (see NAS RHP 35156).\n\n45. Sellar, History of the County of Huntingdon, 253\u201361.\n\n46. Montreal Gazette, March 19, 1855. Ormstown's first Anglican church had been built in 1835.\n\n47. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n48. SPG Annual Report (1855), l\u2013liii.\n\n49. Sellar, History of the County of Huntingdon, 464\u201365. Severs had initially settled along the La Tortue River near La Prairie.\n\n50. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n51. NORO YZ 3305 declaration of Richard Hall (December 10, 1855) re: death certificate of Henry Long Hall who died September 19, 1828.\n\n52. Sellar, History of the County of Huntingdon, 422\u201323.\n\n53. Bouchette, A Topographical Dictionary of the Province of Lower Canada (1832). By 1832 most of the Hinchinbrooke inhabitants were Scottish or Irish.\n\n54. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n55. RHL USPG Series E, 1860 (LAC m\/f A-228).\n\n56. Between 1820 and 1822, just over one hundred people arrived at Charlottetown from the Cumberland port of Whitehaven, but they probably included former weavers from Dumfriesshire and other parts of the southwest Scottish Borders, who were leaving in large numbers at that time.\n\n57. In 1819, the Dumfries and Galloway Courier (April 13) fretted over the continuing loss of people to New Brunswick from Cumberland and the Scottish Borders.\n\n58. John Thompson, Hudson: The Early Years, Up to 1867 (Hudson, QC: Hudson Historical Society, 1999), 78\u201397. The book includes an updated list of settlers provided by Shirley Lancaster.\n\n59. The families mainly originated from parishes to the east of Penrith: Renwick, Kirkoswald, Great Salkeld, Addingham, Culgaith, and Edenhall. Fewer numbers came from the area to the west of Penrith and from the northern stretches of Westmorland County.\n\n60. The Reverend Abbott did not have his own church, but instead had to share the use of the local schoolhouse with the St. Andrews' Presbyterian minister, who presided over a large Scottish congregation. C. Thomas, History of the Counties of Argenteuil and Prescott (Montreal: John Lovell, 1896), 106.\n\n61. Abbott's eldest son, John Joseph Caldwell, became prime minister of Canada.\n\n62. Abbott's comments as quoted by Thompson in Hudson: The Early Years, 8.\n\n63. Abbott's booklet was written under the pseudonym of \"an immigrant farmer,\" Memoranda of a Settler in Lower Canada; or the Emigrant in North America, Being a Useful Compendium of Useful Practical Hints to Emigrants... Together with an Account of Every Day Doings upon a Farm for a Year (Montreal, 1842). His booklet was first published in January 1842 by the Quebec Mercury as a series of articles.\n\n64. DCB Vol. IX (John Mathison).\n\n65. Mathison's house was demolished in the 1960s.\n\n66. A Methodist missionary quoted by Thompson in Hudson: The Early Years, 8.\n\n67. Letter to Joseph Blenkinship quoted by Thompson in Hudson: The Early Years, 8.\n\n68. Thompson, Hudson: The Early Years, 78\u201380.\n\n69. DCB Vol. IX (John Mathison).\n\n70. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n71. Montreal Gazette, June 11, 1829.\n\nChapter 4: The Eastern Townships\n\n1. John Irving Little (ed.), Love Strong as Death: Lucy Peel's Canadian Journal, 1833\u20131836 (Waterloo, ON: Wilfred Laurier University Press, 2001), 196\u201397.\n\n2. Given that Lucy's journal was discovered in a descendant's house in Norwich, the Peels probably originated from Norfolk.\n\n3. Little, Lucy Peel's Canadian Journal, 8.\n\n4. Ibid., 4\u20135.\n\n5. Report from the Select Committee Appointed to Inquire into the Expediency of Encouraging Emigration from the United Kingdom, 1826, A1861.\n\n6. Cleared land was offered at from $10 to $12 per acre, but uncleared land, laid out in lots of fifty to two hundred acres, could be purchased from as little as $1.50 to $2.50 per acre. [The dollar was worth about four shillings.] Robert Montgomery Martin, History, Statistics and Geography of Upper and Lower Canada (London: Whittaker, 1838), 344\u201352.\n\n7. Leonard Stewart Channell, History of Compton County and Sketches of the Eastern Townships of St. Francis and Sherbrooke County (Belleville, ON: Mika Publishing, 1975) [first published 1896], 242.\n\n8. The English came second numerically to French Canadians in this latter group of townships.\n\n9. For details of the early settlements of the Eastern Townships and the Protestant missionaries who organized religious worship, see Fran\u00e7oise No\u00ebl, Competing for Souls: Missionary Activity and Settlement in the Eastern Townships, 1784\u20131851 (Sherbrooke, QC: University of Sherbrooke, 1988), 7\u201341, 56\u201362.\n\n10. LAC MG24 J47: Charles Caleb Cotton and family fonds, 118, 130: letter to his sister Louise, December 31, 1804, and to his sister Mary in July 1807.\n\n11. Ibid., 152 (sister Anna in August 1810).\n\n12. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n13. Anglicans outnumbered Methodists by two to one in 1831, but the numbers were much more even by 1851 (see No\u00ebl, Competing for Souls, 236\u201339).\n\n14. SOAS MMS \/North America\/Correspondence\/FBN2, Box 93\/File 3c#56: J. Booth, April 16, 1822.\n\n15. No\u00ebl, Competing for Souls, 104\u201312.\n\n16. ETRC P009: Reverend Thomas Johnson fonds (1789\u20131881). In 1830, Jackson was sent to Yamaska mountain (Abbotsford), to the east of Saint Hyacinthe, where he remained until at least 1846.\n\n17. SOAS MMS \/North America\/Correspondence\/FBN2, Box 93\/File 3c#24: J. Hick, June 5, 1821. For a description of the Wesleyan Methodist Church in Stanstead during the early nineteenth century, see J.I. Little, \"The Methodistical Way: Revivalism and Popular Resistance to the Wesleyan Church Discipline in the Stanstead Circuit, 1821\u201352,\" Studies in Religion 31, no. 2 (2002): 171\u201394.\n\n18. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n19. SOAS MMS, Box 93\/File 3c#52: T Catterick, March 25, 1822.\n\n20. Report of the Wesleyan Methodist Missionary Society (1824), 135.\n\n21. The distribution of the different religious congregations established between 1799 and 1820 and from 1821 to 1840 is summarized in No\u00ebl, Competing for Souls, 23, 24.\n\n22. SPG Annual Report, 1854, xlvi\u2013xlviii. By 1881 the English were the largest of the British ethnic groups in Stukely and Ely townships in the future Shefford County.\n\n23. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n24. Phyllis Hamilton, With Heart and Hands and Voices: Histories of Protestant Churches of the Brome, Missisquoi, Shefford and Surrounding Area (Montreal: Price-Patterson, 1996), 64.\n\n25. Drummondville was named after General Sir Gordon Drummond, the lieutenant governor of Upper Canada.\n\n26. For details of the Rideau Valley military settlements, see Campey, Scottish Pioneers of Upper Canada, 35\u201368, 80\u201390.\n\n27. Hull Advertiser, April 26, 1817. In July of that year, sixty-four people sailed in the Manique to Quebec from Hull.\n\n28. DCB Vol. VII (Frederick George Heriot). Heriot was in charge of the Drummondville settlement from 1815.\n\n29. Arthur R.M. Lower, \"Immigration and Settlement in Canada, 1812\u20131820,\" Canadian Historical Review vol. III, 1922: 37\u201347.\n\n30. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n31. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n32. The Americans had colonized the St. Francis River area from 1794. No\u00ebl, Competing for Souls, 21, 39.\n\n33. ETRC P997\/001.04\/007: Captain Joseph Perkins. The Perkins family were joined later by Alvie and Rayner Leet; a few years later came the Olneys, Nuttings, and Doynes; circa 1820, the Armstrongs, Cassidys, and Sproles arrived.\n\n34. ETRC P997\/001.06\/005: Moses Elliott fonds.\n\n35. SOAS MMS \/North America\/Correspondence\/FBN2, Box 93\/, File 3c#68, R. Pope, August 12, 1822. The Reverend Pope covered an area measuring forty-nine miles in length and twenty miles in breadth, which accommodated less than one thousand inhabitants.\n\n36. Ibid., 3c#38., R Pope, October 28, 1821.\n\n37. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n38. SPG Annual Report, 1856, l\u2013li.\n\n39. LRO FANE\/ 6\/12\/3: Journal of Mary Chaplin, 1840. Millicent Mary (Reeve) Chaplin (1790\u20131858) was born in Leadenham, Lincolnshire. She accompanied her husband, Colonel Thomas Chaplin of the Coldstream Guards, to his Quebec posting in 1838. The couple remained in Quebec until September 1842. She travelled extensively during this period, describing her visits in writing and capturing various scenes through her watercolours and drawings.\n\n40. No\u00ebl, Competing for Souls, 27.\n\n41. Report of the Wesleyan Methodist Missionary Society (1829), 76.\n\n42. There were two Alexander Buchanans, who both served as Quebec immigration agents. Alexander, the elder, served as agent from 1828 to 1838. Alexander, the younger, his nephew, was agent from 1833 to 1862. From as least as early as 1833, Alexander, the younger, looked after the immigration office during the winter, when his uncle took a leave of absence for health reasons.\n\n43. About twenty Wiltshire families settled in Inverness Township at this time. PP 1831\u201332(724)XXXII.\n\n44. Leslie Stuart Nutbrown, The Descendants of Thomas Nutbrown (Lennoxville, QC: The Author, 2001).\n\n45. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n46. Gwen Rawlings Barry, History of Megantic County: Downhomers of Quebec's Eastern Townships (Lower Sackville, NS: Evans Books, 1999), 128\u201330.\n\n47. RIC Cornish Memorial Scheme: Women's Institute survey of Cornish people who have emigrated.\n\n48. SPG Annual Report, 1854, xli\u2013xlii.\n\n49. The St. Francis Tract consisted of the following townships: Garthby, Stratford, Whitton, Weedon, Lingwick, Adstock, Bury, Hampden, Marston, Ditton, Chesham, Emberton, and Hereford.\n\n50. For an analysis of the British American Land Company's role as a settlement promoter, see John Irvine Little, Nationalism, Capitalism and Colonization in Nineteenth-Century Quebec, the Upper St. Francis District (Kingston, Ontario: McGill-Queen's University Press, 1989), 36\u201363.\n\n51. Cowan, British Emigration, 136\u201337. Many pamphlets were published at the time. See, for example, British American Land Company, Information Respecting the Eastern Townships of Lower Canada (London: W.J. Ruffy, 1833).\n\n52. Letter to Mrs. George Coates of Ripon, January 27, 1834, in Dr. William Wilson, Letters from the Eastern Townships of Lower Canada Containing Information Respecting the Country Which Will Be Useful to Emigrants (London: 1834), 2.\n\n53. PP 1839 (536-1) XXXIX (Evidence taken by the Canada commissioners at Sherbrooke, September 10, 1836).\n\n54. However, poor people had been assisted to emigrate to British North America by parishes, local organizations, and private individuals long before 1834 without approval from Parliament. The Poor Law Act of 1834 was merely legitimizing a practice that was already widespread.\n\n55. Parishes drew the necessary emigration funds by borrowing from local sponsors against the security of the poor rates. The payments were organized and administered at a local level by elected boards of guardians and overseen by Poor Law commissioners.\n\n56. Gary Howells, \"Emigration and the New Poor Law: Norfolk Emigration Fever of 1836,\" Rural History 11, no. 2 (October 2000): 145\u201364.\n\n57. Suffolk Chronicle, March 9, 1833 (unnamed author, Edgeware Road, London).\n\n58. Workhouses were made as unpleasant as possible in the hope that inmates would wish to leave and find work.\n\n59. Norfolk Chronicle and Norwich Gazette, April 6, 1836, quoted in Gary Howells, \"'On Account of their Disreputable Characters': Parish-Assisted Emigration from Rural England, 1834\u2013860.\" History 88 (4), no. 292 (October 2003): 591.\n\n60. Bury and Norwich Post, September 21, 1836, quoted in Bruce Elliott, \"Regional Patterns of English Immigration and Settlement in Upper Canada,\" in Barbara J. Messamore (ed.), Canadian Migration Patterns from Britain and North America (Ottawa: University of Ottawa Press, 2004), 72.\n\n61. Most of Prince Edward Island's intake from Suffolk was drawn from the Poor Law Unions of Blything, Plomesgate, Hoxne, and Wangford, all situated in the northeast of the county. See Campey, Planters, Paupers, and Pioneers, 180\u201384.\n\n62. Quebec Gazette, July 8, 1836.\n\n63. Poor Law data states that 220 people from Downton in Wiltshire were assisted to emigrate to Lower Canada in 1835\u201336, but other evidence indicates that their actual destination was Upper Canada. See Chapter 7.\n\n64. Poor Law Commissioners, The Second Annual Report of the Poor Law Commissioners for England and Wales (London: HMSO, 1836), 571\u201374. A total of 3,068 Norfolk and 787 Suffolk paupers had received assistance to emigrate between June 1835 and July 1836, accounting for 73 percent of those assisted from England and Wales. The funds raised for the Norfolk group amounted to \u00a315,198.10s, while \u00a34,198 was raised for the Suffolk group.\n\n65. Between May 1835 and June 1837 a total of 3,171 passengers left from Great Yarmouth: Wellington (86) Baltic (109) Allendale (77) Baltic (182) Carron (206) Preston (156) Tulloch Castle (346) Venus (203) Wellington (153) William Ritchie (315) Brunswick (445) Morning Star (238) Indemnity (178) Baltic (172) Carron (193) Preston (112). In 1836, some 555 immigrants left from Ipswich, 810 from Kings Lynn, and 119 from Lowestoft.\n\n66. Poor Law Commissioners, The Third Annual Report of the Poor Law Commissioners for England and Wales (London: HMSO, 1837), 126\u201327. A total of 286 were assisted to emigrate from Norfolk and 296 from Suffolk.\n\n67. A Poor Law Union included several parishes. Unions were created to enable parishes to share the costs of building and supporting a workhouse within the union area.\n\n68. Poor Law Commissioners, The Second Annual Report, 571\u201374.\n\n69. In 1830, a total of seventy-eight men, women, and children from Diss (Depwade Poor Law Union) in South Norfolk, Palgrave, and Wortham (Hartismere Union), in North Suffolk, and fifty-eight from Winfarthing and Shelfanger parishes (both in Guiltcross Union) in South Norfolk were assisted by their parishes to emigrate to North America. See Eric Pursehouse, \"The 1830 Wagon Train for Diss, Emigrants,\" Waveney Valley Studies: Gleanings from Local History (Diss, Norfolk: Diss Publishing Co., 1966), 233\u201336.\n\n70. Scott Frederick Surtees, Emigrant Letters from Settlers in Canada and South Australia Collected in the Parish of Banham, Norfolk (London: Jarrold and Sons, 1852), 3, 10.\n\n71. Report from the Chairman of the Docking Union, quoted in Howells, \"On Account of Their Disreputable Characters,\" 600.\n\n72. NAB MH 12\/8249, quoted in Howells, ibid., 599.\n\n73. NRO PD 699\/90\/5: Heacham Parish. The Heacham group sailed in the Penelope in May 1836.\n\n74. Poor Law Commissioners, The Second Annual Report, 571\u201374.\n\n75. Great Ryburgh lost sixty-eight people to Lower Canada.\n\n76. LAC MG24 I156: list of people emigrating from Kettlestone to Sherbrooke. Microfilm copy of original documents held by the Reverend H.G.B. Folland of Norwich.\n\n77. NRO DN\/BBD\/13 Folland. The average cost of the fares was \u00a33 a head.\n\n78. Little, Lucy Peel's Canadian Journal, 201.\n\n79. LRO FANE\/6\/12\/3: Journal of Mary Chaplin, 1840.\n\n80. By 1881 the English predominated in Sherbrooke County. They were the largest ethnic group in Ascot Township and the largest British group in Orford Township.\n\n81. Channell, History of Compton County, 242.\n\n82. Sherbrooke Daily Record, March 16, 1957, quoted in Little, Nationalism, Capitalism and Colonization, 57.\n\n83. Channell, History of Compton County, 248\u201355.\n\n84. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223); SPG Annual Report, 1855, xlvii\u2013l.\n\n85. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n86. RHL USPG E6 Missionary Reports, 1859.\n\n87. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n88. By 1881 the English accounted for 60 percent of the population of Eaton and Compton townships.\n\n89. SPG Annual Report, 1855, xlvii\u2013l.\n\n90. The company was left with 85,000 acres in Bury, Lingwick, and Weedon townships. With its other holdings in Lower Canada it still controlled over half a million acres.\n\n91. PP w\/e August 7, 1841.\n\n92. PP 1841 Session I (298) XV.\n\n93. Patrick Bailey, \"Pioneer Settlers: East Anglia and Quebec,\" The Amateur Historian 4, no. 1 (1958): 9\u201311. Bailey identifies the many Eastern Township place names that are East Anglian in origin.\n\n94. PP, w\/e July 23, 1842.\n\n95. ETRC P092: William Hoste Webb fonds.\n\n96. ETRC P074: Frank Grundy fonds.\n\n97. ETRC P129: Philip Harry Scowen fonds.\n\n98. ETRC P059: Tom Martin Fonds.\n\n99. Robert Sellar, The Tragedy of Quebec: The Expulsion of its Protestant Farmers (Toronto: University of Toronto Press, 1907), 13\u201320, 123\u201328, 196\u2013205. [This title was reprinted by University of Toronto Press in 1974 with an introduction by Robert Hill.] Robert Sellar was editor of the Huntingdon Gleaner.\n\n100. \"An important letter of a resident of Quebec as to the disabilities of protestants in the province of Quebec: the parish system\" (Toronto: Equal Rights Association for the province of Ontario, 1890) typified the grievances being raised by Protestant farmers over the growing powers of the Catholic Church. Colonization societies were formed at this time to encourage French Canadians back from the United States to the Eastern Townships.\n\nChapter 5: The Ottawa Valley\n\n1. Whitelaw, The Dalhousie Journals vol. 2, 35.\n\n2. Ibid., 34.\n\n3. Bouchette, The British Dominions in North America, vol. I, 202; Bouchette, A Topographical Dictionary of the Province of Lower Canada (1832).\n\n4. By 1881, 88 percent of the English who lived in Argenteuil County were concentrated in Lachute, St. Andrews, Grenville, and Chatham.\n\n5. Raoul Blanchard, \"Les Pays de l'Ottawa\" \u00c9tude Canadienne troisi\u00e8me s\u00e9rie, vol. 3 (Grenoble, France: Allier, 1949): 50\u201352, 58\u201364.\n\n6. The Reverend Abbott was in charge of St. Andrews from 1818, and in 1830 presided over the new Anglican mission at Grenville Township.\n\n7. Thomas, History of the Counties of Argenteuil, Quebec and Prescott, 221\u201322, 229, 268.\n\n8. Ibid., 129, 311, 594\u201395.\n\n9. Blanchard, \"Les Pays de l'Ottawa,\" 61.\n\n10. Thomas, History of the Counties of Argenteuil, Quebec and Prescott, 447\u201349.\n\n11. Ibid., 100\u201301, 135, 145\u201346.\n\n12. Whitelaw, Dalhousie Journals, vol. 2, 34. Work began on the Grenville Canal in 1818. Hundreds of Irish immigrants and French Canadians were employed.\n\n13. Whitelaw, Dalhousie Journals, vol. 2, 52.\n\n14. Ibid., 34.\n\n15. DCB (George Hamilton) Vol. VII.\n\n16. Robert Greenhalgh Albion, Forests and Seapower, the Timber Problems of the Royal Navy 1652\u20131862 (Cambridge, Mass: Harvard Economic Studies, 1926), 422. Of the 90,000 timber loads, 17,000 had been sent from Quebec with the remainder being sent from Maritime ports.\n\n17. Whitelaw, Dalhousie Journals, vol. 2, 36.\n\n18. John MacTaggert, Three Years in Canada, An Account of the Actual State of the Country in 1826\u20137\u20138 Comprehending Its Resources, Productions, Improvements and Capabilities and Including Sketches of the State of Society, Advice to Emigrants, etc. Two Volumes (London: 1829), 268.\n\n19. Whitelaw, Dalhousie Journals, vol. 2, 36.\n\n20. Ibid., 41.\n\n21. B.S. Elliott, \"'The Famous Township of Hull': Image and Aspirations of a Pioneer Quebec C Community,\" Social History 12 (1969): 339\u201367.\n\n22. By 1812, Wright was in conflict with Archibald McMillan, the region's other major timber contractor. Richard Reid (ed.), The Upper Ottawa Valley to 1855: A Collection of Documents Edited with an Introduction by Richard Reid (Toronto: Champlain Society, 1990), xix\u2013xxi, xlvii\u2013l.\n\n23. MacTaggert, Three Years in Canada, 268.\n\n24. Robert F. Gourlay, Statistical Account of Upper Canada Compiled with a View to a Grand System of Emigration (London: Simpkin & Marshall, 1822) vol. I, 607.\n\n25. Whitelaw, Dalhousie Journals, vol. 2, 37.\n\n26. ANQ FC2949AYLM1939 Aylmer Then & Now, 1816\u20131939.\n\n27. ANQ P1000, D2, P278 (C141): An account of the first settlement of the Township of Hull in 1820.\n\n28. LAC RG313 C-718: Population return of the Township of Hull, 1825.\n\n29. ANQ P98: Moses Benedict papers.\n\n30. 1835(87) XXXIX, Buchanan's Report, 1834 w\/e August 9.\n\n31. SHRO N.W. Tildesley, \"William Farmer's Emigration to Canada,\" Shropshire Newsletter, no. 40 (June 1971), published by the Shropshire Archaeological Society. The document appears to be based on records held by the Farmer family.\n\n32. Ibid.\n\n33. Ibid.\n\n34. Names in Farmer's group have been extracted from the GENUKI and Ancestry.com websites. All are common to both websites except for the names marked by an asterisk which appear only in the Ancestry.com website. The names are: Jemima Rudkins, housekeeper and nurse; William Dukes, a lawyer; Arthur Vickers, tutor, a Cambridge student; Thomas Barnfield, miller and wheelwright; Mr. Williams, groom and waiter; Mrs.Williams, his wife; George, Joseph, and James Williams, sons and three daughters; Amos Bonnell, wheelwright; Mrs. Bonnell, Catherine, George, William, Fanny, and Thomas Bonnell and one child born at sea; William Furnivall, blacksmith (Mrs. Bonnell's brother); Samuel Langford, gardener; Mrs. Langford; Mary, Samuel, William, Richard, Annie, and Bessie Langford; Thomas Child, a general purpose man, his wife and seven children; Child's children were: Thomas, Richard, and James Parton (stepchildren), and Peter, Fanny, Mary, Annie Child (his own children); James Green, a mason; Mrs. Green; plus *Ellen Smith, a general house servant (Green's sister-in-law); *William Adderley, a sawyer, along with his wife and three young children.\n\n35. Bytown was renamed Ottawa in 1855.\n\n36. SHRO 1781\/2\/133: Shackerley estate, declaration of Mary Alice Farmer late of Sutton Maddock, March 21, 1844. William Farmer had a total of twelve children \u2014 five by his first wife and seven by his second wife.\n\n37. Nepean's early hamlets and villages included Rochesterville, Mount Sherwood, Stewarton, Billings Bridge, Archville, Bayswater, Hintonburgh, Birchton (later Skead's Mill, which became Westboro), and Stottsvale. See ANQ P11, S2: William H. Johnston and Reby Dodds fonds: The Clarion, 1867\u20131967 (Nepean Centennial Edition), 4, 17.\n\n38. Montreal Gazette, June 11, 1829.\n\n39. DERO D3155\/WH 2867: John Richards to the Right Honourable Wilmot Horton, March 4, 1831.\n\n40. DCB (James Skead) Vol. XI. Skead's Mill in Nepean Township is named after him.\n\n41. LAC MG25 G325: Wilson family collection.\n\n42. The 1881 Census reveals that the English outnumbered all other ethnic groups in New Edinburgh, including the Irish.\n\n43. DCB (William Price) Vol. IX. Price also established himself as a major timber contractor in the Saguenay region by 1842.\n\n44. Donald MacKay, The Lumberjacks (Toronto: Natural Heritage, 1998), 13\u201316, 22\u201327, 40\u201345.\n\n45. LAC 920 MD 154: Journal of James Moncrieff Wilson, 44\u201345.\n\n46. DCB (Peter Aylen) Vol. IX. Aylen's followers were known as the \"Shiners.\" See Michael S. Cross, \"The Shiners' War: Social Violence in the Ottawa Valley in the 1830s,\" Canadian Historical Review 54, no. 1 (March 1973): 1\u201326.\n\n47. There had been no regular Anglican services in Hull until 1820 when the Reverend Joseph Abbott, who was based at St. Andrews, came periodically to preside over baptisms and marriages.\n\n48. Elliott, \"The Famous Township of Hull,\" 356\u201362.\n\n49. RHL USPG Series E, 1845\u201346 (LAC m\/f A-221).\n\n50. SPG Annual Report, 1849, xliii\u2013v.\n\n51. The St. James gravestone transcriptions include mention of: Thomas Heath Birks from Stafford, born 1832, and his wife Sabina Broadhead, of Bradford (Yorkshire), born 1847; Charles H. Broadhead from Bradford, born 1852; John Broadhead from Leicester, born in 1820, and his wife Maria Holt, born in Wakefield (Yorkshire) in 1828; Joseph Dey, native of Manchester, born 1830; George Franklin, born 1813 in Northamptonshire; Benjamin Huckell of Lincolnshire, born 1822, and his wife Ann Reading from Buckinghamshire, born 1819; Walter H. Prowse, native of Staffordshire, born 1870; Charles Skipworth, born in Lincolnshire in 1856, and his wife Hannah J Pearson, born Yorkshire 1860; Reuben Traveller, native of London, born 1788.\n\n52. The account that follows is taken from ANQ P80, S1 Ruth Higginson collection. Buckingham Post, January 5, 1899; January 26, 1934.\n\n53. RHL USPG Series E, 1845\u201346, 1854\u201355 (LAC m\/f A-221, A224).\n\n54. ANQ P80, S1 Ruth Higginson collection: Buckingham Post, July 2, 1965.\n\n55. STRO D260\/M\/E\/430\/38: Hatherton Collection, I.A. Grant to Colonel Littleton, February 10, 1881.\n\n56. The Perth military settlement covered Bathurst, Drummond, Beckwith, and Goulbourn townships; the Lanark settlement covered Ramsay, Lanark, Dalhousie, and North Sherbrooke townships. For further details see Campey, Scottish Pioneers of Upper Canada, 35\u201368.\n\n57. Elliott, Irish Migrants in the Canadas, 61\u201381; Cowan, British Emigration, 65\u201384.\n\n58. For details of the Irish domination of the Rideau Valley, see Elliott, ibid., 116\u201346.\n\n59. Michael S. Cross, \"The Age of Gentility: The Formation of the Aristocracy in the Ottawa Valley,\" Canadian Historical Association: Historical Paper 2, no. 1 (1967): 105\u201317.\n\n60. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n61. LAC MG8 G49: Rev. Mary A. Dougherty, \"Quyon Parish History,\" 1959, 1\u20135. Many of the communities were formed by the internal migration of people who had previously settled in the Rideau Valley communities on the south side of the Ottawa River. For the later movement of Irish settlers from Upper Canada into Pontiac County, see Elliott, Irish Migrants in the Canadas, 161\u201370.\n\n62. LAC MG25 G271 Vol. 17\/27: Rev. James Brown, \"History of the Parish of Onslow,\" 1908, 1, 2, 5.\n\n63. LAC MG25 G271 Vol. 17\/15, Vol. 17\/17. Before Falloon's arrival, Protestant settlers had to rely on the Methodist ministry in the area.\n\n64. Michel Pourbaix, The History of a Christian Community: Eardley, Luskville, Pontiac (Pontiac, QC: 1999), 12, 28, 32. Daniel Pickett was the first Methodist pastor to visit Hull from the Upper Canada side of the river, and from 1823 Methodist preachers made regular visits. Hull's Methodist circuit founded in 1826 was the first to be established on the north side of the river. For details of the Perth Methodist circuit, founded in 1821, see James M. Neelin and Michael R. Neelin, The Old Methodist Burying Ground in the Town of Perth, Lanark County, Ontario (Ottawa: Ottawa Branch, Ontario Genealogical Society, 1978).\n\n65. LAC MG25 G271: religious notes.\n\n66. BRO CRT 190\/413: \"History of the Valley,\" which gives details of James Tate based on information supplied by two of his granddaughters in 1957. The Tates joined the already-established early settlers who were: John and Rex Tucker, Nelson Fraser, Captain Findlay, the Goddards, the Achesons, and Samuel Adams.\n\nChapter 6: West Along Lake Ontario\n\n1. SORO T\/PH\/SAS\/8\/925\/1: J.O. Lewis, Letters from Poor Persons Who Emigrated to Canada from the Parish of Frome in the County of Somerset (Frome, Somerset, UK: Frome Newspaper Co. Ltd., 1945), 5\u20136 (William and Jane Grant to their parents, September 6, 1831).\n\n2. Ibid.\n\n3. Morley, The Village of Pickering, 2.\n\n4. Gilbert Patterson, Land Settlement in Upper Canada, 1783\u20131840 (Toronto: Ontario Archives, 1921), 157\u201358. Markham had a particularly large German population.\n\n5. James Emerson, \"Emerson Family History \u2014 From Durham Co., England to Durham Co., U.C.,\" Families 29, no. 4 (1983): 229\u201339. This account of the Emerson family's relocation to Upper Canada, compiled in 1926, is based on information supplied by James Emerson's son.\n\n6. Patterson, Land Settlement in Upper Canada, 127.\n\n7. CAS D\/WAL\/3\/8: Joseph Bland to his cousin, October 31, 1858.\n\n8. The group leader paid a \u00a310 deposit for each emigrant (repayable once they were settled) for which the group received its land grants free of charge.\n\n9. CAS D\/WAL\/7\/D: payments to people of Alston who are to emigrate to Upper Canada (1832). The group included twenty families with children and a total of \u00a3311 was spent by the parish.\n\n10. LAC MG24 I59: John Langton and family fonds, letters to his father June 16, June 28, and August 12, 1835. Langton noted that one of the settlers on the east side of Mud Lake was a Cornishman who had resided there for seventeen years. Peter Robinson's Irish settlers were mostly Roman Catholics, mainly from County Cork, who had arrived in the Peterborough area in 1825.\n\n11. NTRO PR7347: Carlton-on-Trent Parish records. The emigrants included Mary Weightman and her four children (John, Thomas, Hugh, and Ann) and three grandchildren (John's children); Jonathan Selby and his wife and six children; Thomas Marrot and family; and John Batterby and family.\n\n12. NTRO DD592\/1, \/3: Hannah Barclay letters, April 1, 1832, July 18, 1839.\n\n13. Andrew F. Hunter, A History of Simcoe County (Barrie, ON: Historical Committee of Simcoe County, 1948), 63\u201365.\n\n14. CAS DHod\/15\/26\/7: Estate papers of Joseph Hodgson. He left each daughter \u00a3576 \u2014 a considerable sum at this time.\n\n15. PP 1833(141) XXVII.\n\n16. LAC MG24 J12: George Pashley fonds: Journal 1: 2, 5, 10. The Pashley family sailed in the Reward (Captain Laidley) in August 1833.\n\n17. Ibid., 12.\n\n18. Ibid., 16.\n\n19. Quebec Immigration Agent's Report w\/e June 1, 1839.\n\n20. Quebec Immigration Agent's Report w\/e May 30, 1840. Twenty in the group were going to settle in Ohio and Indiana.\n\n21. HCA DMJ\/415\/37-40: Bravender letters, November 30, 1846, December 11, 1846.\n\n22. Ibid.\n\n23. HCA DMJ\/415\/37-40: Bravender letters, May 15, 1847.\n\n24. John Langton, a Cambridge graduate, had exceptional ability. He quickly rose through the ranks as a local politician, becoming the MP for Peterborough County in 1851.\n\n25. Barbara Williams (ed.), A Gentlewoman in Upper Canada: The Journals, Letters and Art of Anne Langton (Toronto: University of Toronto Press, 2008), 109\u201310.\n\n26. Barbara Williams (ed.), Ann Langton: Pioneer Woman (Peterborough, ON: Peterborough Historical Society, 1986), 5\u20136. Anne kept a journal from 1837 to 1846 and wrote many letters detailing her family's experiences. These have been published in Hugh Hornby Langton (ed.), A Gentlewoman in Upper Canada: The Journal of Anne Langton (Toronto: Clark, Irwin, 1950).\n\n27. Ibid.\n\n28. Ibid., 12\u201315.\n\n29. Catherine's The Backwoods of Canada and Susanna's Roughing It in the Bush and Life in the Clearings Versus the Bush are still in print.[Catherine Parr Traill, The Backwoods of Canada (Ottawa: Carlton University Press, 1997) and Susannah Moodie, Roughing it in the Bush or Life in Canada (London: Virago Press, 1986).] Charlotte Gray, Sisters in the Wilderness: The Lives of Susannah Moodie and Catherine Parr Traill (Toronto: Penguin Books, 1999) provides a biography of both sisters. In 1847, the Traill family moved to Rice Lake in Hamilton Township (Northumberland County).\n\n30. Montreal Gazette, June 1, 1833.\n\n31. See Appendix 1 for individual sea crossings.\n\n32. PP 1833(141) XXVII. The Quebec immigration agent reported that the paupers arriving in 1832 mostly came from Yorkshire, Norfolk, Suffolk, Bedfordshire, Northamptonshire, Kent, Sussex, Hampshire, Somerset, and Gloucestershire.\n\n33. Rainer Baehre, \"Pauper Emigration to Upper Canada in the 1830s,\" Social History 14, no. 28 (1981): 339\u201367.\n\n34. Helen Allinson, Farewell to Kent: Assisted Emigration in the Nineteenth Century (Sittingbourne, Kent: Synjon Books, 2008), 23\u201325. CKS P364\/19\/4\/18 provides a list of the Tenterden paupers who emigrated between 1821 and 1827. CKS P364\/18\/8 provides details of the 1828 assisted emigration from Tenterden.\n\n35. CKS P26\/8\/1: Biddenden Parish records.\n\n36. CKS P348\/8\/1: Stockbury Parish records.\n\n37. Allinson, Farewell to Kent, 72\u201373. Poor people from the parishes of Lenham and Ulcomb to the south of Stockbury in Kent were also assisted to emigrate to Upper Canada in 1836\u201337, while another parish-assisted group from Ulcomb went to Upper Canada in 1841\u201342. See Poor Law Commissioners, 3rd and 7th Annual Reports. On June 26, 1832, the Montreal Gazette had reported the arrival of seventy-five immigrants in the Niagara (\"more than half English\") who included paupers from Lenham. Most were due to settle in the Newcastle District (Northumberland, Peterborough, Durham, and Victoria counties).\n\n38. PP 1843(109) XXXIV. The agent reported that they planned to settle in Newcastle, Home, and Gore districts.\n\n39. William Cobbett, Rural Rides in the Counties of Kent, Sussex, Hampshire, Wiltshire, Gloucestershire, Herefordshire, Worcestershire, Somerset, Oxfordshire, Berkshire, Essex, Suffolk, Norfolk, and Hertfordshire, published originally in 1830 by William Cobbett (reprinted London: Penguin, 2001), 313\u201315.\n\n40. Cobbett, Rural Rides, 287\u201388.\n\n41. The local economy depended strongly on woollen cloth-making. Thus, the rise of cotton factories in northern England and the growing preference for cotton over wool had devastating consequences for the area. J.L. and B. Hammond, The Village Labourer, 1760\u20131832: A Study in the Government of England Before the Reform Bill (London: Longmans, 1919), 97\u201398, 225\u201329.\n\n42. SRO DD\/LW\/49: Frome Vestry Book, 1815\u201378. The Marquis of Bath also helped to finance the emigration of his tenants in Frome.\n\n43. SRO DD\/SF\/4546: Sanford family papers, Anonymous letter published in Bath & Cheltenham Gazette, March 28, 1831, entitled \"Emigration from Frome to Canada.\"\n\n44. Ibid.\n\n45. SRO DD\/LW\/49: Frome Vestry Book, 1815\u20131878.\n\n46. SRO T\/PH\/SAS\/8\/925\/1: J.O. Lewis, Letters from Poor Persons Who Emigrated to Canada from the Parish of Frome.\n\n47. Alan G. Brunger, \"The Geographical Context of English Assisted Emigration to Upper Canada in the Early Nineteenth Century,\" British Journal of Canadian Studies 16, no. 1 (2003): 7\u201331.\n\n48. Terry McDonald, \"Southern England and the Mania for Emigration,\" British Journal of Canadian Studies 16, no. 1 (2003): 32\u201343.\n\n49. NAB CO 384\/28, 40\u201341, 48\u201350. Forty paupers from Heyetesbury and Knook sailed in the Euphrosyne in March 1831.\n\n50. George Poullett Scrope, Extracts of Letters from Poor Persons Who Emigrated Last Year to Canada and the United States for the Information of the Labouring Poor in This Country (London: J. Ridgeway, 1831), 28\u201329.\n\n51. For details of the Talbot settlements see Chapter 7.\n\n52. Dummer Assessment Roll of 1839 quoted in Terry McDonald, \"A Door of Escape: Letters Home from Wiltshire and Somerset Emigrants to Upper Canada, 1830\u2013832,\" in Barbara J. Messamore, Canadian Migration Patterns (Toronto: University of Toronto Press, 2004), 101\u201319.\n\n53. LAC MG24 I59: John Langton and family fonds, letter to his father, August 12, 1835.\n\n54. However, many of the emigrants were widely scattered. For example, Joseph and Joan Jones and family from Frome, who had emigrated in 1832, were living in Pickering Township (Ontario County) in 1842. LAC MG25-G339: Jones family collection.\n\n55. Cowan, British Emigration, 204\u201305.\n\n56. Audrey Saunders Miller (ed.), The Journals of Mary O'Brien (Toronto: Macmillan of Canada, 1968), 152\u201353.\n\n57. Quebec Immigration Agent's Report w\/e May 23, 1835, w\/e May 27, 1837.\n\n58. WHC 1020\/55: Longbridge Deverill Vestry Minute Book. Paupers were assisted to emigrate between 1832 and 1841 (also see WHC 1020\/110).\n\n59. Poor Law Commissioners, The Second Annual Report, 571\u201374.\n\n60. WHC 306\/66, 212B\/5644: Purton emigration. The group consisted of: William Maule, widower (60), with two sons and daughter; four single men; Charles and Elizabeth Avenill plus nine children; and a widow with two daughters. A further group of fourteen from Purton were assisted to emigrate to Upper Canada in 1844 (Poor Law Commissioners. The Eleventh Annual Report of the Poor Law Commissioners for England and Wales. London: Charles Knight & Co., 1845).\n\n61. WHC 1607\/64, 1607\/71: Brinkworth Vestry Book. The thirty-five people who emigrated in 1842 sailed in the Eliza (Table 8); the 41 people who emigrated in 1843 sailed in the Toronto (Table 9); the twenty people  \nwho emigrated in 1847 sailed in the Lloyd (Table 10); the twenty-one people who emigrated in 1852 sailed in the Leonard Dobbin (Table 11).\n\n62. WHC 1607\/64: Brinkworth Vestry Book, letters concerning James Whale.\n\n63. Ibid., letters from D. Hardy, on behalf of Brinkworth Parish, dated June 25 and June 27, 1844.\n\n64. The Chelsea Pensioners name derives from their association with the Royal Hospital in Chelsea.\n\n65. Chelsea pensioners received one hundred to two hundred acres of free land in Upper Canada.\n\n66. J.K. Johnson, \"The Chelsea Pensioners in Upper Canada,\" Ontario History 53, no. 4 (1961): 273\u201389.\n\n67. PP 1833(141) XXVII. A relatively small number of Chelsea pensioners were given land in Cranbourn Township in Lower Canada.\n\n68. A.B. Jameson, Winter Studies and Summer Rambles in Canada (London: Saunders & Otley, 1838), quoted in Johnson, \"Chelsea Pensioners in Upper Canada,\" 279\u201380. Anna, wife of Attorney General Jameson, was one of the most celebrated female writers of her time.\n\n69. Johnson, \"Chelsea Pensioners in Upper Canada,\" 280.\n\n70. Ibid., 281.\n\n71. Testimony given by A.B. Hawke, the chief Upper Canada emigration agent, quoted in Johnson, \"Chelsea Pensioners in Upper Canada,\" 281.\n\n72. Initially 17 families (68 people) went to Penetanguishene; the number increased to 101 by 1837.\n\n73. John George Lambton, Earl of Durham, headed an investigation that looked at the causes of the 1837 rebellions and suggested reforms.\n\n74. Johnson, \"Chelsea Pensioners in Upper Canada,\" 282\u201388. A table of the 654 names has been compiled. See Barbara B. Aitken, \"Searching Chelsea Pensioners in Upper Canada and Great Britain,\" in Families 23, no. 3 (1984) [Part I]: 114\u201327 and no. 4 (1984) [Part II]: 178\u201397.\n\n75. Wendy Cameron, \"English Immigrants in 1830s Upper Canada: The Petworth Emigration Scheme,\" in Barbara J. Messamore, Canadian Migration Patterns (Toronto: University of Toronto Press, 2004), 91\u2013100.\n\n76. LAC MG24 I59: John Langton and family fonds, letters to his father, June 16 and 28, 1835.\n\n77. Cameron, English Immigrant Voices, 30\u201331 (Wright's letter to his father, 1832).\n\n78. Ibid., 49\u201350 (Spencer's letter to his parents, 1832).\n\n79. Ibid., 141\u201343 (Tilley's letter to friends and neighbours, 1833).\n\n80. Ibid., 152\u201353 (Helyer's letter to Peter Scovell, 1833).\n\n81. Ibid., 305, 319, 333.\n\n82. Ibid., 187\u201388 (Mellish's letter to his parents, 1835.\n\n83. Ibid., 208\u201309 (Ayling's letter to his parents, 1836).\n\n84. Ibid., 217\u201320 (Barnes's letter to his family, 1836).\n\n85. Ibid., 204\u201305. (Birch's letter to his aunt and uncle, 1836).\n\n86. Brighton Patriot, November 28, 1837, quoted in Cameron, English Immigrant Voices, 258\u201360.\n\n87. Ibid.\n\n88. LAC MG24 I19: Richard Hemsley and family fonds, Dinah to daughter, January 7, 1857.\n\n89. Ibid., William Packham to his uncle, September 22, 1854.\n\n90. Ibid., James Hemsley, March 5, 1857.\n\n91. The number emigrating peaked in 1835\u201336, a year after the introduction of a new Poor Law, which effectively required paupers to enter a workhouse before being eligible for poor relief.\n\n92. Cowan, British Emigration, 180\u201381.\n\n93. Poor Law Commissioners, The Second Annual Report, 571\u201374.\n\n94. See Chapters 7 and 8.\n\n95. Quebec Immigration Agent's Report w\/e June 27, 1835.\n\n96. Quebec Immigration Agent's Report w\/e June 10, 1837.\n\n97. CARO Charles F. Bester, Haddenham, a Parish History, 128 [typed manuscript (1981)]. In 1833\u201334, Joseph Howlett, John Hide, Jarvis Porter, and the Wells's, Mustills, and other families were assisted by Haddenham Parish to emigrate. In 1836, assistance to emigrate was also given to Thomas Read's daughter and granddaughter and to John Bridgeman.\n\n98. ERO D\/P12\/12 (Widdington Parish records), D\/P21\/18\/29 (Steeple Bumstead Parish records). In 1835, fifteen people emigrated from Widdington Parish (John Franklin, wife and family, and nine single men). That same year William Baynes and his wife and family were assisted to emigrate from Wimbish Parish; Also, Debden Parish was planning to spend \u00a370 assisting its poor to emigrate and Steeple Bumstead was also intending to assist an unknown number.\n\n99. LAC MG29 C63: Peter Coleman and family fonds. His brother Francis emigrated in 1834 and settled to the north of Bowmanville in Darlington Township but returned to England for religious training. He and his brother William later went to Upper Canada as ministers of the Wesleyan Methodist Church and preached widely across Upper Canada (see Merrium Clancy et al., Cornish Emigrants to Ontario (Toronto: Toronto Cornish Association, 1998), 7\u201311).\n\n100. LAC MG28 III41: Henry Elliott and son fonds.\n\n101. West Devon and Cornish Advertiser, February 10, 1832. Letter to John Davey in St. Neot.\n\n102. Philip Payton, The Cornish Overseas (Fowey: Alexander Associates, 1999), 84.\n\n103. By the 1840s, Cornwall's important copper mines declined as a result of foreign competition.\n\n104. Rev. Barry Kinsmen, Fragments of Padstow's History (Padstow Parochial Church Council, 2003), 26\u201327.\n\n105. PP w\/e May 23, 1840.\n\n106. Quebec Immigration Agent's Report w\/e September 19, 1840.\n\n107. The Clio carried 251 passengers who arrived in May and seventy-five who arrived in August; John and Mary carried 108; Spring Flower thirty-three; Volunia fifty-two; and Belle thirty-nine.\n\n108. Samuel Pedlar and Charles Wethey, \"From Cornwall to Canada in 1841,\" Families 22, no. 4 (1983): 244\u201353.\n\n109. Poor Law Commissioners, 9th and 10th Annual Reports. The parishes of St. Merryn, St. Eval, St. Issey, Mawgan, and St. Columb Major lying to the south of Padstow form a distinct cluster, suggesting that emigration from one parish stimulated interest in its neighbours.\n\n110. Quebec Immigration Agent's Report w\/e May 20, 1843.\n\n111. Quebec Immigration Agent's Report w\/e May 23, 1846.\n\n112. Clancy et al., Cornish Emigrants to Ontario, 21\u201322.\n\n113. Ibid., 23\u201330.\n\n114. RIC Cornish Memorial Scheme: Women's Institute survey of Cornish people who have emigrated.\n\n115. The concentrations of Yorkshire and West Country settlers along the western half of Lake Ontario is discussed in Elliott \"Regional Patterns of English Immigration and Settlement in Upper Canada,\" 51\u201390.\n\nChapter 7: The Lake Erie and Thames Valley Settlements\n\n1. Edward Ermatinger, Life of Col. Talbot and the Talbot Settlement (St. Thomas, ON: A. McLachin's Home Journal Office, 1859), 194\u201396.\n\n2. Edwin Guillet, Early Life in Upper Canada (Toronto: University of Toronto, 1963) [reprint, original written in 1933], 133.\n\n3. Fred Coyne Hamil, Lake Erie Baron, The Story of Colonel Thomas Talbot (Toronto: Macmillan, 1955), 177.\n\n4. Anna Jameson, quoted in Guillet, Early Life in Upper Canada, 135. Having visited Colonel Talbot in 1837, Anna wrote a graphic account of her tour in A.B. Jameson, Winter Studies and Summer Rambles in Canada (London: Saunders and Otley, 1838).\n\n5. During the War of 1812\u20131814, Talbot commanded the 1st Middlesex Militia and supervised the militia regiments in the London District. However, when a force of five hundred men came to be mustered at Long Point on Lake Erie to march to the relief of Fort Amherstburg, there was a mutiny. The men simply refused to march under Lieutenant-Colonel Thomas Talbot.\n\n6. Hamil, Lake Erie Baron, 100\u201313.\n\n7. Talbot supervised the allocation and settlement of vacant Crown lands far removed from his holdings. He kept control over his settlers until they had completed their settlement duties, and withheld their fees to government. Guillet, Early Life in Upper Canada, 129.\n\n8. OA MU2928: Talbot Settlement Lease Book, 1825\u20131845. Talbot had a supervisory role within these townships: Aldborough, Bayham, Dunwich, Malahide, Southwold, Yarmouth (Elgin County); Caradoc, Delaware, Ekfird, London, Mosa, Westminster (Middlesex County); Charlotteville, Houghton, Middleton (Norfolk County); North and South Colchester, Gosfield, Maidstone, Mersea, Sandwich, West Tilbury (Essex County); Harwich, Howard, Orford, Raleigh, Romney, East Tilbury (Kent County); Blandford (Oxford County).\n\n9. DCB Vol. XI, Thomas Talbot. Talbot's territory extended from Sandwich and Colchester (Essex County) in the west to Middleton and Charlotteville (Norfolk County) in the east. He never controlled land settlement in an entire township, but in some townships, like Dunwich and Aldborough, there were large areas under his supervision.\n\n10. Anna Jameson quoted in Guillet, ibid., 135.\n\n11. Ibid. Contrary to Upper Canada regulations, which were supposed to prohibit Americans from acquiring land, Talbot accepted large numbers of them.\n\n12. By his arrangement with the government he obtained two hundred acres of land for every settler, each of whom he placed on fifty acres of his own land.\n\n13. Ermatinger, Life of Colonel Talbot, 192\u201393.\n\n14. Ibid., 194\u201396.\n\n15. Charles Oakes Ermatinger, The Talbot Regime or the First Half Century of the Talbot Settlement (St. Thomas, ON: The Municipal World Ltd., 1904), 106.\n\n16. Edwin C. Guillet, The Pioneer Farmer and Backwoodsman (Toronto: University of Toronto press, 1963) vol. I, 229.\n\n17. Joseph's brother Daniel Silcox had emigrated to Southwold in 1816 but Joseph became the Corsley leader.\n\n18. Ermatinger, The Talbot Regime, 280.\n\n19. A total of \u00a3300 was raised to fund the Corsley group, partly by the parish and partly from local landowners.\n\n20. Brunger, \"The Geographical Context of English Assisted Emigration,\" 7\u201331.\n\n21. McDonald, \"'A Door of Escape,'\" 101\u201320.\n\n22. Scrope, Extracts of Letters from Poor Persons, 11\u201312, 14\u201315.\n\n23. Ibid., 12\u201314.\n\n24. Between 1830 and 1832, 166 people emigrated from Corsley, 370 from Westbury, thirty-one from Horningsham, and 241 from Frome. For details of the Wiltshire\/Frome settlements in Peterborough and Simcoe counties, see Chapter 6.\n\n25. Scrope, Extracts of Letters from Poor Persons, 26\u201327.\n\n26. Ermatinger, The Talbot Regime, 156.\n\n27. Scrope, Extracts of Letters from Poor Persons, 16\u201317.\n\n28. Ermatinger, The Talbot Regime, 257, 280\u201381.\n\n29. Brunger, \"The Geographical Context of English Assisted Emigration,\" 10, 15\u201318, 22.\n\n30. SORO T\/PH\/SAS\/8\/925\/1: J.O. Lewis, Letters from Poor Persons Who Emigrated to Canada from the Parish of Frome, 16\u201318; William Jeanes, September 5, 1832.\n\n31. Ibid., 19\u201321, William Jeanes, January 21, 1833.\n\n32. Ibid., 25\u201326, William Jeanes, August 20, 1833.\n\n33. Ibid., editor's note, 26.\n\n34. Captain Swing, the alleged leader of the riots, has never been identified.\n\n35. David Waymouth, Downton: 7,000 Years of an English Village (Downton, Wiltshire: Cromwell Press, 1999), 129\u201330.\n\n36. Susan Hartley and Pompi Parry, Downton Lace: A History of Lace Making in Salisbury and the Surrounding Area (Salisbury: Salisbury and South Wiltshire Museum, 1991), 6.\n\n37. WHC 1306\/105: Downton Parish, receipts for money paid on behalf of the 1835 group of emigrants.\n\n38. The letter-writer was anonymous. Waymouth, Downton: 7,000 Years of an English Village, 133; also see Salisbury Journal, April 6, 2006.\n\n39. The ethnic composition in 1837 of townships in Elgin, Norfolk, Middlesex, Oxford, and Brant counties is provided by Colin Read in The Rising in Western Upper Canada: The Duncombe Revolt and After (Toronto: University of Toronto Press, 1982), 22.\n\n40. Ibid.\n\n41. Jennifer Grainger, Vanished Villages of Middlesex (Toronto: Natural Heritage, 2002), 111\u201320.\n\n42. Ibid., 248\u201349.\n\n43. LAC MG24 D27: Thomas J. Jones and family fonds. Thomas's son Charles married Mary Carter, daughter of George and Deziah Carter, both English-born, and became a successful farmer in London Township.\n\n44. CAS DX 1065\/60\/1\u20136: Thomas Priestman wrote six letters from Upper Canada to his brother in Cumberland (1811\u201339).\n\n45. Ibid., 2, October 5, 1817.\n\n46. Ibid., 3, September 7, 1823.\n\n47. Ibid., 4, March 27, 1825.\n\n48. Ibid., 5 October 25, 1830.\n\n49. Ibid., March 28, 1839.\n\n50. Grainger, Vanished Villages of Middlesex, 67\u201371.\n\n51. Ibid., 300\u201301.\n\n52. Ibid., 105\u201308.\n\n53. Ermatinger, The Talbot Regime, 96.\n\n54. Grainger, Vanished Villages of Middlesex, 265\u201367.\n\n55. Cheryl MacDonald, Norfolk Folk: Immigration and Migration in Norfolk County (Delhi, ON: Norfolk Folk Book Committee, 2005), 34\u201340.\n\n56. Other prominent surnames included Batie, Charlton, Scott, and Robson. See J.E. McAndless, \"Telfer Cemetery (English Settlement) London Township,\" in Families 14, no. 3 (1975): 71\u201378; Grainger, Vanished Villages of Middlesex, 143\u201346.\n\n57. The Telfer community founded a Secessionist Presbyterian Church, served by a Scottish minister. In more recent times it was renamed Vanneck United.\n\n58. See Chapter 6.\n\n59. Arthur Raistrick and Bernard Jenning, A History of Lead Mining in the Pennines (London: Longmans, Green & Co. Ltd., 1965), 324\u201325.\n\n60. John listed the following people who had previously emigrated from Weardale to Upper Canada: Jonathan Emmerison from Burnhope, Walton and Samuel Elliot from Seadlon, Joseph Thompson from Burnhope, John Featherston from Burnhope, Watson Lowe from Copthill, John Fleamen from Blackdean, Featherston Phillipson from Irsupburn.\n\n61. Letter written by John Graham in Weardale to his brother Joseph in North America, dated August 1, 1854, published in Anon., \"Nineteenth Century Emigration from Weardale,\" in Northumberland and Durham Family History Society 21, no. 3 (Autumn 1996): 94. John may have been referring to the sailing of the Vesper from Newcastle to Quebec in 1854 \u2014 it left with 152 passengers.\n\n62. Those assisted to emigrate under the Petworth Emigration Scheme mainly originated from West Sussex but some also came from East Sussex, Surrey, and Cambridgeshire. The scheme involved 1,800 people who emigrated between 1832 and 1838. Their letters home were collected and published by the Reverend Thomas Sockett, who organized the scheme.\n\n63. Wendy Cameron and Mary McDougall Maude, Assisting Emigration to Upper Canada: The Petworth Project, 1832\u201337 (Montreal: McGill-Queens University Press, 2000), 15\u201324. A smaller number were sent to another government settlement in the adjoining township of Warwick (Lambton County).\n\n64. Cameron, English Immigrant Voices, 21\u201322, 97\u2013100 (Cooper's letters to his family, July 28, 1832, and February 5, 1833).\n\n65. The government provided a log house to married couples but single men were expected to build their own house.\n\n66. Cameron, English Immigrant Voices, 110\u201312. Baker's letter to his parents, March 13, 1833.\n\n67. Ibid., 95\u201397. Goatcher's letter to his wife, January 17, 1833.\n\n68. Another son had emigrated to Upper Canada in 1832.\n\n69. Cameron, English Immigrant Voices, 251\u201355. Mann's letter to her sons, January 2, 1837.\n\n70. Ibid., 165\u201366 (Carver's letter to his parents, June 30, 1834).\n\n71. CAS DX 1065\/60\/3: letter from Thomas Priestman September 7, 1823.\n\n72. Cameron, English Immigrant Voices, 233\u201334 (Hilton's letter to his uncle, October 16, 1836).\n\n73. Ibid., 281\u201383 (Pullen's letter to sister and brother, December 31, 1838).\n\n74. Ibid., 166\u201368 (Heasman's letter to his family, October 19, 1834).\n\n75. Ibid., 184\u201387 (Voice's letter to his brother and sister, September 20, 1835).\n\n76. Ibid., 32\u201333 (Hill's letter to his parents August 5, 1832).\n\n77. Judy Hill, \"The Dorking Emigration Scheme of 1832,\" Family and Community History, vol. 7\/2 (November 2004): 115\u201328.\n\n78. Cameron, English Immigrant Voices, 83\u201386 (Worsfold's letter to his father, December 15, 1832).\n\n79. Ibid., 35\u201336 (Stedman's letter to his family, August 7, 1832).\n\n80. The Petworth immigrants who settled north of Woodstock, in the valley of the Grand River, are discussed in Chapter 8.\n\n81. Elliott, \"Regional Patterns of English Immigration and Settlement in Upper Canada,\" 72\u201373.\n\n82. They went in two groups, the first, having seventy-nine people, left between 1831 and 1834, while the second group left in 1834.\n\n83. Poor Law Commissioners, The Second Annual Report, 571\u201374.\n\n84. Ibid.\n\n85. Ibid.\n\n86. Elliott, \"Regional Patterns of English Immigration and Settlement in Upper Canada,\" 89.\n\n87. SROI Education File 1617: \"The Carlton Colville Emigrants,\" in The East Anglian, vol. 10 (1903\u201304): 278\u201381. The Carlton Colville group sailed in the Carron, which left Yarmouth with 206 passengers.\n\n88. SROL 455\/4, \/7: Woolnough family correspondence, November 9, 1830; January 16, 1832.\n\n89. PP 1842(373) XXXI; PP 1843(109) XXXIV; PP 1844(181) XXXV. The Gore District contained Halton and Wentworth counties.\n\n90. Ibid.\n\n91. NTRO PR1900: East Drayton Parish.\n\n92. CARO P53\/1\/11: \"An Account of the Inhabitants of the Parish of Croydon,\" by Francis Fulford, rector, January 1, 1843, 5, 24, 34, 43, 49, 50 (1), 54, 67.\n\n93. Grainger, Vanished Villages of Middlesex, 123\u201324.\n\n94. Allen G. Talbot, \"In Memory of the Tolpuddle Martyrs,\" Ontario History 62, no. 1 (1970): 63\u201369. George Loveless and Thomas Stanfield are buried in Siloam Cemetery near London; James Loveless (George's brother) and John Stanfield are buried in Mount Pleasant Cemetery, London.\n\n95. Everett Wilson, \"John Wilkinson: Devout Methodist and Dereham Pioneer,\" Families 35, no. 3 (August 1996): 147\u201351.\n\n96. Grainger, Vanished Villages of Middlesex, 272\u201374.\n\n97. BRO HF89\/5\/1: Hallowell Papers. Joseph Hooper to his brother Tom, April 18, 1868.\n\n98. Bedfordshire Mercury, November 23, 1872.\n\n99. BRO CRT 150\/166: Bedfordshire Mercury, May 1, 1869.\n\n100. Nigel E. Agar, Bedfordshire Farm Worker in the 19th Century (Bedford, UK: Publications of the Bedfordshire Historical Record Society vol. 60, 1981), 172\u201373.\n\n101. \"Condensed History of the Barnett Family,\" by Brian Jones (brianjones@cableinet.co.uk).\n\n102. BRO 40\/18\/70, \/71: Oakley Parish receipts. May 1831. The group included Charles Morris and family, George Jones and family, Samuel Craddock and family, each getting \u00a322.15.0; Joel Webster received \u00a36.10, three families received \u00a34 each; Joel Webster got \u00a31. Another list indicated that the group also included Robert Hewlett and family.\n\n103. BRO PUBV 33\/1 Vol. 3. The following people were assisted to emigrate from Bedfordshire during the 1850s: James Lawford and William Mayes, his wife and child from Knotting Parish, n\/d; Stephen Croft, Great Barford Parish, 1851; Jonas Darrington, in a workhouse, 1851; Isaac Thomas, wife, and five children, Saint Mary Parish, 1851; John Flanders, widower, and three children, Keysoe Parish, 1851; Andrew Shepherd and wife, Knotting Parish, 1852; people in the parish of Pavenham, 1852; William Lunn with his wife and child, Thomas Prentice, with his wife and five children, and William Pratt with his wife and two children, parish of Sharnbrook, 1852; George Bird with his wife and six children, Sharnbrook Parish, 1852; Thomas Davies Bletsoe Parish, 1853.\n\nChapter 8: The Rest of the Western Peninsula\n\n1. Robert Fisher's letter in 1832 to his parents, quoted in Patterson, Land Settlement in Upper Canada, xii\u2013xiii.\n\n2. Ibid.\n\n3. Ibid.\n\n4. For the background to the setting up of the company, its operations, and the key people who promoted and directed it, see Robert C. Lee, The Canada Company and the Huron Tract, 1826\u20131853 (Toronto, Natural Heritage, 2004).\n\n5. ERO D\/DU 161\/394: \"Lands in Upper Canada To Be Disposed of by the Canada Company,\" 1826.\n\n6. The Canada Company had begun its operations eight years before its main rival, the British American Land Company, whose land holdings were concentrated in the Eastern Townships of Lower Canada. For details of the latter company see Chapter 4.\n\n7. PP 1827, V (550), 461\u201363: \"Prospectus of Terms upon Which the Canada Company Proposes to Dispose of Their Lands.\"\n\n8. It was originally intended that the company would be offered 829,430 acres of Clergy Reserves, but after opposition from the Church of England they were withdrawn and the Huron Tract was substituted in their place. It had been purchased by the government from the Chippewa First Nation.\n\n9. Gates, Land Policies of Upper Canada, 168\u201370. In 1829, the average price per acre in the Huron Tract was 7s. 6d. It rose steadily and by 1840 the average price was 13s. 3d.\n\n10. Lee, The Canada Company, 45\u201384. The town of Galt, later becoming part of Cambridge, was named after John Galt.\n\n11. Ibid., 205\u201312.\n\n12. William Cattermole, Emigration: The Advantages of Emigration to Canada: Being the Substance of Two Lectures Delivered at the Town-Hall, Colchester, and the Mechanics' Institution, Ipswich (London: Simpkin and Marshall, 1831).\n\n13. Glen T. Wright, The Caroline and Her Passengers, March\u2013May 1832 (Guelph, ON: Wellington Branch, Ontario Genealogical Society, 2002), 3\u201338.\n\n14. Cattermole's letter to the Colonial Office, February 6, 1832, quoted in Wright, The Caroline and Her Passengers, 7.\n\n15. Ibid.\n\n16. Cattermole's letter to the Colonial Office, March 19, 1832, quoted in Wright, The Caroline and Her Passengers, 8.\n\n17. Cattermole's letter to the Courier of Upper Canada written from Grosse \u00cele, May 17,1832, and reprinted in the Ipswich Journal, September 1, 1832.\n\n18. Ibid. Cattermole only listed male heads of households for steerage passengers but included male and female cabin passengers.\n\n19. ERO D\/P21\/18\/29: Steeple Bumpstead Parish. The Quebec Mercury, letter dated May 29, 1832, appeared among the papers of John Allan, shipping agent.\n\n20. According to the Quebec Mercury, the Caroline arrived in May from London with 204 passengers; the Marmion came in May from Portsmouth with 154 passengers; while the Crown came in June with 240 passengers. This would mean that Cattermole's group consisted of just under six hundred passengers. However, Cattermole's figures, reported in his letter to the Courier of Upper Canada, provide different passenger totals. He claimed that the Caroline carried 204 passengers, the Marmion carried 205 passengers, the Mentor carried 75 passengers, the William and Mary was expected to have 120 to 130 passengers and the Crown was expected to have 150 passengers. This places the total at around 750 passengers.\n\n21. Anon., A Statement of the Satisfactory Results Which Have Attended Emigration to Upper Canada from the Establishment of the Canada Company until the Present Period (London: Smith, Elder & Co.,1841), 14\u201315. Extracts of Dr. Alling's letter to the commissioners of the Canada Company, dated December 16, 1840, were quoted in this pamphlet that was published by the Canada Company in 1841.\n\n22. Ibid.\n\n23. Cameron, English Immigrant Voices, 59\u201360, Heming's letter to his mother, September 25, 1832.\n\n24. Ibid., 18\u201319, extract of a letter written by Heming's aunt, July 1832.\n\n25. Ibid., 55\u201359, Martin's letter to Mr. Sparks, September 24, 1832.\n\n26. Martin had been landlord of the Fox at Felpham in West Sussex.\n\n27. Cameron, English Immigrant Voices, 154\u201355, White's letter to John's father and mother, October 27, 1833.\n\n28. \"Canada Company's Prospectus,\" in Bouchette, The British Dominions in North America, 478\u201382.\n\n29. The Aynho group consisted of: William Libby, wife and four children; John Turner, wife and four children; Francis Ansty, wife and two children; Andrew Homes, wife and four children; Benjamin Howes, wife, mother, brother, and four children; Joseph Goodwin, wife and five children; George Bye, wife and five children; Fanny French, Alfred Borton, William Giles, Rd Bygrave, David Peckova, John Watts, and Charlotte Ansty. James French, wife and seven children.\n\n30. NORO C\/A\/85: Cartwright papers, letter from William Scott, April 1, 1845.\n\n31. Nicholas Cooper, Aynho: A Northamptonshire Village (Banbury, Oxfordshire: Leopard's Head Press, 1984), 209\u201311.\n\n32. NORO EY\/82\u201388: Eydon Parish; S.J. Tyrell, A Countryman's Tale (London: Constable and Co. Ltd., 1973), 77\u201379. About twenty-three people sailed in the Canton. They included George Dodd and family, John Robinson and family, and Thomas Coy and family. Ann Willoughby and her children sailed in the William Bromham.\n\n33. In 1827\u201328, Geddington Parish had assisted four families to emigrate to Upper Canada (NORO 133 p\/14), while Long Buckby Parish did the same in 1830 (NORO 197 p\/88).\n\n34. DERO D1559Z\/F1. Walker Family of Borrowash (Derbyshire). Transcript of a diary written by John Walker (n.d.), 7, 16 (also see LAC MG24 I181).\n\n35. Jean F. Hutchinson, The History of Wellington County (Grand Valley, ON: Landsborough, 1997), 137, 144. James Carter and John Iles went to Puslinch Township in 1831 and 1836 respectively, and each acquired around four hundred acres of land.\n\n36. James Scott, The Settlement of Huron County (Toronto: Ryerson Press, 1966), 53, 61.\n\n37. LARO DDX 207\/57. Letter to Cuthbert Relph, November 25, 1835.\n\n38. W.S. Johnston and H.J.M. Johnston, History of Perth County to 1967 (Stratford, ON: Corporation of the County of Perth, 1967), 28.\n\n39. Cameron, English Immigrant Voices, 43\u201345, Capling's letter to his brother, August 28, 1832.\n\n40. Robine Lizars and Kathleen Macfarlane Lizars, In the Days of the Canada Company: The Story of the Settlement of the Huron Tract and a View of the Social Life of the Period 1825\u20131850 (Toronto: W. Briggs, 1896), 400\u201317.\n\n41. Cameron, English Immigrant Voices, 135\u201337, Daniels' letter to his brothers and sisters, July 14, 1833.\n\n42. Ibid., 26\u201328, 69\u201371, Rapson's letter to his father, August 1832, October 1832.\n\n43. The so-called Dutch were the Deutch\u2013Germans.\n\n44. Cameron, English Immigrant Voices, 87\u201388, 107, Adsett's letter to the Reverend Robert Ridsdale, December 21, 1832; his letter to friends, March 4, 1833.\n\n45. Very large numbers of Germans and some Scandinavians sailed from Liverpool to Quebec from the 1840s. They were mostly on their way to the United States but some remained in Canada. People were fleeing from the agricultural and economic depression being experienced along the Rhine. Cowan, British Emigration, 186\u201387.\n\n46. ERO T\/G44 129: The Bootys of Canada.\n\n47. Biddulph and McGillivray townships were in Huron County until 1865, after which time they became part of Middlesex County.\n\n48. Susan Muriel Mack, The History of Stephen Township (Crediton, ON: Corporation of the Township of Stephen, 1992), 17\u201319, 201. Scott, The Settlement of Huron County, 166\u201367.\n\n49. Scott, The Settlement of Huron County, 62; Elliott, Irish Migrants in the Canadas, 131, 133\u201334.\n\n50. Alan E. Richards, \"Devonians in Canada,\" Devon Family Historian, no. 40 (October 1986): 24\u201328. Among the Devon people who came to Centralia were: James Willis, Thomas Trivett, John Oliver, John Snell, and John Essery, the latter establishing the first sawmill in the district.\n\n51. Scott, The Settlement of Huron County, 62. Other Devon people who settled in the area included George Webber, Lewis Holman, Richard Bissett, Thomas Friend, William Greenway, Thomas Rowcliffe, and Richard Stanlake.\n\n52. Scott, The Settlement of Huron County, 98\u201399.\n\n53. RHL USPG Series E, 1854\u201355 (LAC m\/f A-223).\n\n54. However, Germans became the dominant ethnic group by 1881. Scott, The Settlement of Huron County, 166, 170\u201371, 178\u201379.\n\n55. Isaac Carling was the son of Thomas Carling from Yorkshire, founder of the Carling brewing company. Thomas opened a brewery in London, producing a beer that was based on a recipe from his native Yorkshire.\n\n56. DCB (Sir John Carling) Vol. XIV.\n\n57. Anon., Emigration: The British Farmers and Farm Labourer's Guide to Ontario (Toronto: Blackett Robinson, 1880), 64.\n\n58. Mack, The History of Stephen Township, 254\u201356.\n\n59. DRO 219\/29\/22, #137: Roper-Lethbridge letters: Devonshire families resident abroad. Hurdon, N. Dyer writing from Exeter, Ontario.\n\n60. Ibid., #265: W.L. Wickett writing from St. Thomas (Elgin County). His father, Richard, had emigrated to Upper Canada from Devon with his wife and family in 1872.\n\n61. Anon., Emigration: Extracts from Various Writers on Emigration, with Authentic Copies of Letters from Emigrants from Norfolk, Suffolk, and Sussex, Now Settled in Upper Canada, Containing Useful Information Respecting That Country (Norfolk, UK: Bacon and Kinnebrook, 1834), 11\u201315.\n\n62. Scott, The Settlement of Huron County, 142.\n\n63. Ibid., 176\u201378.\n\n64. Ibid., 284\u201387.\n\n65. H.J.M. Johnston, \"Immigration to the Five Eastern Townships of the Huron Tract,\" Ontario History, vol. LIV (1962): 207\u201324.\n\n66. Ibid., 222.\n\n67. William Johnston, History of the County of Perth from 1825 to 1902 (Stratford, ON: Beacon Herald, 1976), 199, 202, 204. The Methodist church at Carlingford was founded by George Leversage Senior, William Dickey, Thomas Reid, and William Cole. The Reverand Mr. Dunnett was its first minister.\n\n68. The Bethel Methodist Church was built in 1863 and that same year another Methodist church was built at Salem. The Zion Methodist Church was built on the Huron Road in 1889. Johnston, History of the County of Perth, 242, 248.\n\n69. Johnston and Johnston, History of Perth County to 1967, 144\u201345, 150.\n\n70. Johnston, History of the County of Perth, 234.\n\n71. LAC MG24 I198: James Coleman fonds, 11\u201313.\n\n72. Johnston and Johnston, History of Perth County to 1967, 144\u201345.\n\n73. Letters collected by the Canada Company to encourage emigration, 1842.\n\n74. Ibid.\n\n75. Johnston and Johnston, History of Perth County to 1967, 144\u201345.\n\n76. Johnston, History of the County of Perth, 183\u201384. The Harmony Methodist Church was founded by J.H. Dunsmore, John Libbins, Charles Lupton Senior, Robert Timmins, and James Dunsmore.\n\n77. Johnston and Johnston, History of Perth County to 1967, 172.\n\n78. Johnston, History of the County of Perth, 392.\n\n79. SHRO1536\/5\/5\/8: Thomas Cholmoneley to his brother, November 9, 1858.\n\n80. W.M. Brown, The Queen's Bush: A Tale of the Early Days of Bruce County (London: John Bale sons and Danielson Ltd., 1932), 2\u20136.\n\n81. For the building of the Garafraxa Road, see Paul White, Owen Sound: The Port City (Toronto: Natural Heritage, 2000), 15\u201316; for the Durham Road, see Elliott, Irish Migrants in the Canadas, 172.\n\n82. NAB CO 384\/74: Letter dated March 24, 1843, from the governor general.\n\n83. Private communication with Valerie (Ottewell) Bowden, November 2010. Her work in compiling the information that follows, and her permission to use it, are gratefully acknowledged.\n\n84. Richard's parents had originated from Derbyshire, where they worked as nail-makers, a poorly paid, home-based activity involving both adults and children. By 1816 they had moved to Lincolnshire.\n\n85. John Rowe, \"A Cornish Farmer in Ontario,\" in Agricultural History Review, vol. 1 (1953): 44\u201347. The letter was initially published in West Briton (Truro) June 27, 1872.\n\n86. In 1835 the adjoining parish of Widdington St. Mary the Virgin assisted fifteen people to emigrate, including John Franklin \u2014 Susannah's brother. That year Debden Parish was reported to be in the process of assisting its paupers to emigrate. ERO DP 12\/12 Widdington St. Mary the Virgin.\n\n87. Norman Robertson, History of the County of Bruce (Toronto: William Briggs, 1906), 281.\n\n88. Dean Wheaton, Letters from Bruce County Written by Pioneer Joseph Bacon, 1705\u20131882 (Bloomington, IN: Author House, 2006), 1\u20132, 28\u201333. Two letters written by Joseph Bacon in 1881\u20131882 reveal his loneliness over the loss of his family to Manitoba and the United States.\n\nChapter 9: Later Emigration from England\n\n1. OA RG 11-8-1: A.J. Whellams' letter of August 1, 1875, to the commissioners of immigration in Toronto.\n\n2. Ibid.\n\n3. Pamela Horn, \"Agricultural Trade Unionism and Emigration,\" The Historical Journal 15, no. 1 (March 1972): 87\u2013102. Incentives offered by the Australia and New Zealand governments were even greater since they provided free passages.\n\n4. OA F1009 MU1724, 35\u201365: George T. Denison fonds (letter book).\n\n5. The old George Inn has since been demolished. Some of the timbers in the original building can still be seen on the frontage of the present-day George Mall shopping centre.\n\n6. OA F1009 MU1724, 53, 56\u201359.\n\n7. Ibid., 60\u201364. Letter to McKellar, March 17, 1873.\n\n8. Ibid., 97\u2013100. Letter to McKellar, April 19, 1873.\n\n9. Some Warwickshire people had already emigrated to Canada. For example, unemployed ribbon weavers from Bulkington Parish in Warwickshire had relocated to Canada and Queensland, Australia, in 1863 (see WRO DR 684\/1).\n\n10. Horn, \"Agricultural Trade Unionism and Emigration,\" 89\u201392.\n\n11. OA F1009 MU1724, 97\u2013100. Letter to McKellar, April 19, 1873.\n\n12. Ibid., 97\u2013100, 104.\n\n13. Horn, \"Agricultural Trade Unionism and Emigration,\" 95. One large group who arrived in London, Ontario, in 1874 were almost all provided with employment \"within twenty four hours of their arrival.\"\n\n14. Peter Baigent and Robert Ruegg, \"Pauperism or Emigration? Case Studies of Publicly-backed Emigration Schemes in Woolwich, Kent, 1857 and 1869\u201370,\" Family and Community History, vol. 10\/1 (May 2007), 19\u201333. Woolwich is situated on the south bank of the River Thames, ten miles downstream of London Bridge. Until 1889 it was in Kent County.\n\n15. Ibid., 25\u201326. The funds were used to pay for outfits, passages, and onward journeys. A small number were assisted to go to Australia.\n\n16. The Kentish Independent reported that the Woolwich emigrants sailed to Ontario in one of four vessels in June\/July 1857: Midlothian (78 people) Henry Cooke (278) John Owen (392) and Ion (346). The total of those sailing was 1,094 \u2014 slightly more than the 1,020 total reported in the newspaper Kentish Independent (June 27, July 18, August 8, 1857).\n\n17. The other naval dockyards were at Deptford (Greater London), Chatham, and Sheerness in Kent, Portsmouth in Hampshire, and Plymouth in Devon.\n\n18. LAC RG17 Vol. 39 (#3609): Letter from William F. Lynn to the Canadian minister for agriculture and emigration on behalf of the Working Men's Emigration Association, June 23, 1870.\n\n19. STRO D615\/P(L)\/6\/9. The Working Men's National Association had five hundred members in 1870, who each paid a small subscription and were prepared to raise \u00a32 before emigrating by selling their property.\n\n20. In 1870 a total of just under four hundred emigrants supported by the Working Men's National Association sailed in the Lake Erie (44 people), Lake Superior (7), Nestorian (9), Strathblanc (162), and St. Leonards (154). Sessional Papers of the Government of Canada, 34 Victoria (64) 1871, 24\u201325.\n\n21. The faltering of the Cornish tin industry in the 1870s made a bad situation worse and contributed to the increasing numbers of miners and their families who decided to emigrate. About 250,000 people left Cornwall for overseas destinations between 1815 and 1914. This is an extraordinarily large number given that the population of Cornwall at no time reached half a million during this period. For further details see Philip Payton (ed.), \"Reforming Thirties and Hungry Forties: The Genesis of Cornwall's Emigration Trade,\" Cornish Studies Four (Exeter, 1996): 107\u201327; also see Philip Payton (ed.), \"Cornish Emigration in Response to Changes in the International Copper Market in the 1860s,\" Cornish Studies Three (Exeter, 1995): 60\u201382.\n\n22. Clancy Merrium et al., Cornish Emigrants to Ontario (Toronto: Toronto Cornish Association, 1998), 13\u201320.\n\n23. Anon., Emigration to Canada: The Province of Ontario, Its Soil, Resources, Institutions, Free Grant Lands... For the Information of Intending Emigrants (Toronto: Hunter, Rose, 1871), 21\u201325.\n\n24. Anon., Handbook of Information Relating to the District of Algoma in the Province of Ontario, Letters from Settlers & Others & Information also Land Regulations (Minister of the Interior, Government of Canada (London: McCorquodale & Co., 1894?).\n\n25. Clancy et al., Cornish Emigrants to Ontario, 53\u201357.\n\n26. LARO DDX 374\/8.\n\n27. The Telford new town was only established in the 1960s, taking its name from Thomas Telford the engineer. Richard Edwards may well have lived in Ironbridge, now a World Heritage site having nine museums and celebrating the birthplace of the Industrial Revolution.\n\n28. Donald F. Harris, \"Emigration from the Telford area of Shropshire to the USA and Canada before the First World War,\" a talk given to the Telford Historical & Archaeological Society, March 2, 2000. With the decline of the Shropshire iron industry, many workers took their skills to the United States, where they were very much in demand.\n\n29. M.J. Lansdown, Formerly of... Family Announcements in the Trowbridge Newspapers by Emigrants from West Wiltshire and Others Living Overseas, 1858\u20131915 (Devizes, Wiltshire: Wiltshire Family History Society, 1996), 72, 74, 76.\n\n30. Coal miners could readily find work in other British coalfields and usually only emigrated to obtain higher wages. Frank Machin, The Yorkshire Miners: A History, vol. 1 (Barnsley, Yorkshire: National Union of Mineworkers, 1958), 243, 260, 447, 467.\n\n31. OA RG-11-8-1: letter from John Bennet to David Spence, September 6, 1876.\n\n32. OA RG-11-8-1: newspaper cutting \u2014 letter by Richard Hewson, Warden, Peel County, March 10, 1879.\n\n33. OA RG 11-8-1: letter from John A. Donaldson, emigration agent to David Spence, March 25, 1879.\n\n34. BRO P42\/28\/3\/35, \/36 Eversholt Parish. The 1874 group consisted of William Odell and family, Abel Chew and family, and Thomas Valentine and family.\n\n35. BRO P6\/24: Haynes Parish, emigration fund papers. For example, in 1906, \u00a320 was given to Charles Adams, his wife and three children, while \u00a310 was given to William Brunt (of which \u00a35 had to be repaid by him). The Adams family and Brunt emigrated to Canada \"under the auspices of the Church Army.\" In the following year, \u00a38 was given to John Woodcroft (of which \u00a33 was to be repaid) and \u00a38 to Percy Wood (of which \u00a33 was to be repaid). Woodcroft and Wood were emigrating to Canada.\n\n36. NTRO DD4p\/62\/107\/11: Portland papers. Letter dated June 9, 1873.\n\n37. NTRO D744\/1: letter from Mrs. E. Jackson in Toronto to unnamed cousin in Hucknall Tockard Parish, Nottinghamshire, May 18, 1876.\n\n38. It was claimed that \"an industrious man may expect to make about one dollar a day throughout the year.\" STRO D615\/P(L)\/6\/9: Open letter from Sir John Young, governor general of Canada, printed in the Pall Mall Gazette, May 28, 1870.\n\n39. Frederick de la Fosse's memoir of his experiences has been published in Scott D. Shipman (ed.), English Bloods in the Backwoods of Muskoka, 1878 (Toronto: Natural Heritage, 2004).\n\n40. Ibid., 113.\n\n41. Ibid., 134\u201335.\n\n42. Ibid., 58\u201360. To play a cricket match would have required twenty-two men for the teams and two umpires.\n\n43. Ibid.\n\n44. Anon., Emigration to Canada: The Province of Ontario, 29\u201330.\n\n45. Joy Parr, Labouring Children (London, Croom Helm, 1980), 11\u201314.\n\n46. The philanthropists who organized the emigration of the children were swept along by strong moral convictions. Glowing reports of happily-settled children issued by them and the immigration authorities in Canada spoke only of success. The world had to wait until 1979 to learn the truth. When the social worker, Phyllis Harrison, published her book [Phyllis Harrison (ed.), The Home Children \u2014 Their Personal Stories (Winnipeg: Watson & Dwyer Publishing Ltd., 1979)] containing extracts of letters that she had solicited from former home children and their descendants, she provided firsthand evidence of the scale of physical and sexual abuse and exploitation that had been experienced. Joy Parr's doctoral thesis, completed a year later, examined the case papers of every tenth Barnardo's child, and she, too, reached similar conclusions.\n\n47. Some workhouse children were assisted by parishes. The Poor Law Act had been amended in 1850 to allow Poor Law Guardians to send orphaned and deserted children abroad. Parr, Labouring Children, 27\u201344.\n\n48. Parr, Labouring Children, 45\u201361. Andrew Doyle, a senior inspector for the Local Government Board in Britain, first alerted the British and Canadian authorities to the scandalous treatment of children he observed during a visit to Ontario and Quebec in 1875. Despite his recommendation that reforms were needed to ensure that child placements were properly regulated and supervised, little action was taken to remedy the situation until the early twentieth century.\n\n49. Parr, Labouring Children, 32\u201334.\n\n50. Thomas Bernardo was the principal promoter of child emigration. Between 1882 and 1905 the Barnardo homes sent 27,000 children to Canada, nearly all to Ontario and the Prairie provinces (see Marjorie Kohli, The Golden Bridge \u2014 Young Immigrants to Canada, 1833\u20131939 (Toronto: Natural Heritage, 2003), 143\u201368).\n\n51. Kohli, The Golden Bridge, 71\u2013104. In 1870, Miss Rye organized the relocation of 253 children who went mainly to Ontario. Annie Macpherson brought over 2,500 children to Ontario and Quebec between 1870 and 1875, establishing three reception homes in Canada that offered training in farming.\n\n52. See Parr, Labouring Children, page 49, for the location of the distributing homes that were established in Canada from 1869\u20131924.\n\n53. For details of Louisa Birt's Knowlton home, see Kohli, Golden Bridge, 123\u201326.\n\n54. Kohli, Golden Bridge, 158\u201362.\n\n55. It is estimated that between 1873 and 1932 a total of five thousand children were brought to various parts of Canada by John Middlemore (see Kohli, The Golden Bridge, 131\u201337). For details of the home children who were sent to the Maritime provinces, see Campey, Planters, Paupers and Pioneers, 224\u201352.\n\n56. Thomas Barnardo described his work as \"philanthropic abduction.\"\n\n57. Between 1882 and 1905 the Barnardo homes sent 27,000 children to Canada, nearly all to Ontario and the Prairie provinces (see Kohli, The Golden Bridge, 143\u201368).\n\n58. Parr, Labouring Children, 62\u201381. Later on some of the children reconnected with their families back in England and a few returned to England permanently.\n\n59. For background information on the Girls' Friendly Society, see Kohli, The Golden Bridge, 333\u201338.\n\n60. DRO D3287\/68\/1\/3: Ellen Joyce (ed.), Girls' Friendly Society: Report of the Department for Members Emigrating 1883\u20131897 (Winchester: Girls' Friendly Society, 1897), 12\u201313, 24\u201327, 32\u201341.\n\n61. CARO G\/C\/AZ 35 A.\n\n62. The Catholic Protection Society in Liverpool dealt with small number of Leeds children who were Catholics, while Protestants were placed in the care of Rye or Birt.\n\n63. WYAS PL 3\/7\/4: Emigration of Children from the Leeds Union, Report upon the Scheme (Leeds: Joseph Rider, 1891), 8\u201310.\n\n64. The reformatory schools gave children a basic education and taught them a trade and practical skills. See Kohli, Golden Bridge, 291\u2013300.\n\n65. Although the reformatory schools housed both boys and girls, it was mainly the boys who were allowed to emigrate. All costs associated with relocating the children abroad were borne by the schools.\n\n66. Kohli gives examples, such as the Bedfordshire Reformatory School, the Boys' Home, Frome (Somerset), and St. Swithin's Industrial School, which sent their children to the Eastern Townships at this time. See Kohli, Golden Bridge, 297.\n\n67. HRO D\/EHts\/Q39: Hertfordshire Reformatory School for Boys, register of boys discharged or released on licence, 1883\u201387, #282.\n\n68. Ibid., #328.\n\n69. Ibid., #308.\n\n70. Ibid., #303.\n\n71. Ibid., #276.\n\n72. Ibid., #254.\n\n73. Ibid., #300, #271.\n\n74. Private communication, David M. Bowcock, assistant county archivist, Carlisle. I gratefully acknowledge receiving Mr. Bowcock's account of his family and his permission to use it in this book.\n\n75. ETRC P046 Reginald Conner fonds.\n\n76. ETRC P046 Reginald Conner fonds. The fonds contain the manuscript of his work \"The Vine and the Branches, History of Minton, Quebec.\" William Jenkins married Ann Corlett, from the Isle of Man, who came as an infant when her parents emigrated to Sherbrooke.\n\n77. By this time the regulations had been tightened, with boys being admitted only at the discretion of the Canadian High Commissioner in London.\n\n78. HRO D\/EHts\/Q39: Hertfordshire Reformatory School for Boys, register of boys discharged or released on licence, 1904\u201310. After leaving Copper Cliff in 1906, Thomas Wells had two other jobs before settling down in 1907 at the Larose Mine in Cobalt. He had worked briefly at Bruce Mines as a labourer then had moved to Victoria Mines hoping to find work in the gold mines there.\n\n79. Carrier and Jeffery, External Migration, 95\u201396.\n\n80. BRO R4\/932: Russell collection.\n\n81. BRO P54\/19\/1: Ampthill Poor Law Union papers.\n\n82. BRO CRT 150\/166.\n\n83. Ibid.\n\n84. STRO D593\/V\/10\/474: \"The Visit of the Tenant-Farmer Delegates to Canada in 1890,\" 53\u201354. Colonel Francis Fane was an officer in the British Army who served in Canada during the 1850s with the 54th Regiment; he returned to Canada in 1864 with the 25th Regiment.\n\n85. Ibid., 101\u201302.\n\n86. It is estimated that in the last quarter of the nineteenth century, middle\/upper class males accounted for 27 percent of all British male emigrants, thus making them second in number to general labourers. Carter F. Hanson, Emigration, Nation, Vocation: The Literature of English Emigration to Canada 1825\u20131900 (East Lansing, MI: Michigan State University Press, 2009), 119\u201320.\n\n87. Donald F. Harris, \"The Promotion in Shropshire of Emigration to Canada in 1914 with Particular Reference to the Period from 1890,\" Ph.D. thesis, University of Birmingham, 1998, 170\u201392 in ETRC P997\/001.04\/009: Edward William Brewster papers.\n\n88. Donald F. Harris, \"The Role of Shropshire Local Shipping Agents in Encouraging Emigration to Canada, 1890\u20131914,\" in Local Historian 30, no. 4 (November 2000): 239\u201359\n\n89. Many Church of England clergy in Shropshire encouraged emigration. Donald F. Harris, \"The Church of England and Emigration to Canada: Rural Clergy in the County of Shropshire,\" in Journal of the Canadian Church Historical Society, vol. XLI (1999): 5\u201326. From the early 1880s, emigration booklets, giving details of foreign destinations, were produced jointly by the Society for the Propagation of the Gospel in Foreign Parts and the Society for the Propagation of Christian Knowledge. Anglican clergy in England were also encouraged to offer emigrants letters of recommendation to give to the clergy in their chosen destination.\n\n90. Harris, \"The Promotion in Shropshire of Emigration to Canada in 1914,\" 184.\n\n91. Donald F. Harris, \"The Canadian Government's Use of Newspapers to Encourage Immigration in the Twenty Years Before the First World War, as Demonstrated in the Newspapers of Shropshire\" (The fifth annual lecture of the Friends of Shropshire Records and Research, Shrewsbury, November 3, 1999). For example, see the advertisement in the Shrewsbury Chronicle, 1911: weekly from October 6 to December 15.\n\n92. Ring spinning was the drawing out of fibres to make cotton yarn, while the fibres were disentangled before spinning through carding.\n\n93. LAC MG40 M10 (originals held by Bolton Archive Service, Greater Manchester).\n\n94. LAC MG40 M62: Leeds City Council Treasurer's Department Distress Committee, 6\u201316.\n\n95. WYAS LLD3\/719 [197]: Records of all persons aided to emigrate, 1906\u20131912. They travelled in the Dominion.\n\n96. Simon Fowler, \"0950 to Toronto: The Emigration of the Unemployed from Norwich to Ontario in 1906,\" in Families 37, no. 3 (August 1998): 149.\n\n97. Ibid., 146\u201352.\n\n98. HRO D\/Ebn (Add) B148: Pendley estate. Correspondence with W. Brown of Tring, acting as agent for the estate.\n\n99. Ibid., Noyce's letter to W. Brown, March 3, 1913.\n\n100. Ibid.\n\n101. As Anglican minister, William Bilton had responsibility for the churches at Bunyan and Plympton.\n\n102. BRO JN5: letter to Sir Herbert Charles Janes (their cousin), no date; letter to H.C. Janes, March 12, 1913. Herbert Janes, the son of a Hertfordshire farm labourer, worked as a delivery boy after leaving school. He met Mrs. Irons, a local Salvationist at the Luton Railway Mission, who inspired him to become a devout Christian and a lifelong Baptist. He later established a successful building firm.\n\n103. LARO DDX 1302\/2\/2\/4.\n\n104. OA PAMH 1926#72: A boy farm learner's life in Ontario, Canada: letters to his mother in England, 1922. The scheme was one of many that were fostered under the Empire Settlement Act of 1922.\n\n105. NTRO CATC 10\/125\/9: Empire migration. The committee was administered by City of Nottingham Council.\n\n106. The Dakeyne name was taken from the Dakeyne Street Lad's Club in Sneinton (Nottinghamshire) just to the south of the city of Nottingham. Kohli, The Golden Bridge, 200\u201301.\n\n107. NTRO DD2427\/1\u201312: Heathcote letters.\n\n108. Ibid., \/1, \/2: January 19, April 16, 1931.\n\n109. Ibid., \/4: December 4, 1933.\n\n110. Ibid., \/5, \/6, \/10, \/12: January 31, May 28, 1934, January 23, February 2, 1935.\n\n111. LRO DDX 1357 2\/1\/10: Clitheroe.\n\nChapter 10: The Sea Crossing\n\n1. William Lyon Mackenzie, Sketches of Canada and the United States (London: E. Wilson, 1833), 179\u201381.\n\n2. LCA 920 MD 289: \"All our Yesterdays: To Canada by Sailing Ship,\" by Edgar Andrew Collard, undated newspaper article (1854).\n\n3. Having arrived in New York, Walker and his family would have gone up the Hudson River to Albany, where the Erie Canal commenced, and travelled along it to Buffalo on Lake Ontario. From there they would have travelled by land to Hamilton and then on to their final destination in Guelph Township.\n\n4. DERO D1559Z\/F1: transcript of John Walker's diary (n.d.), October 13, 1835.\n\n5. ERO D\/DVv\/87: Robert Downes at Quebec, to his mother in Witham, Essex, 1817.\n\n6. LAC MG24 I131 (m\/f M-5567): Elizabeth Peters's diary, 7, 12, 16.\n\n7. LAC MG24 H15: Journal of a voyage from London to Quebec, 1833, by Francis Thomas, 2\u20133.\n\n8. Ibid.\n\n9. Jackson's diary quoted in MacDonald, Norfolk Folk, 35.\n\n10. Ibid.\n\n11. LAC MG24 I131 (m\/f M-5567): Elizabeth Peters's diary, 20.\n\n12. The price of a passage from London and east coast ports was around \u00a33 but around \u00a32 if the vessel left from Liverpool and other principal ports on the west coast. If the shipper provided provisions, London and east coast crossings generally cost around \u00a36, while Liverpool charges were lower, at between \u00a34 and \u00a35. Anon., Information Published by His Majesty's Commissioners for Emigration Respecting the British Colonies in North America (London: Charles Knight, publisher to the Society for the Diffusion of Useful Knowledge, 1832), 5. Anon., Information for Emigrants to British North America (London: C. Knight, 1842), 7\u20138.\n\n13. LAC MG24 I131 (m\/f M-5567): Elizabeth Peters's diary, 20.\n\n14. Newspaper article, n.d., Padstow Museum.\n\n15. Oliver Macdonagh, A Pattern of Government Growth 1800\u20131860, The Passenger Acts and Their Enforcement (London: Macgibbon & Kee, 1961), 150\u201351. Oliver MacDonagh, \"Emigration and the State, 1833\u201355: An Essay in Administrative History,\" Transactions of the Royal Historical Society, Fifth Series, vol. 5 (London: The Royal Historical Society, 1955): 133\u201359. Edwin C. Guillet, The Great Migration, The Atlantic Crossing by Sailing Ships Since 1770 (Toronto: University of Toronto Press, 1963), 13\u201319.\n\n16. See for example Hull Advertiser, February 18, May 5, 1820.\n\n17. See for example Berwick Advertiser, March 28, 1835, June 25, 1842.\n\n18. Pedlar and Wethey, \"From Cornwall to Canada in 1841,\" 245. The article is based on the later reminiscences of Samuel Pedlar who, when eight years of age, sailed in the Clio of Padstow with his family. Having written his story in the early 1890s, Pedlar offered it to his friend Charles Wethey, who rewrote it in a form that might interest newspapers and magazines, doing so in around 1903\u201304. Although it was never published, Wethey deposited his original hand-written manuscript in the Ontario Archives in 1905, thus making it available to later historians.\n\n19. Jackson's diary quoted in MacDonald, Norfolk Folk, 38.\n\n20. LCA 920 MD 289: \"All Our Yesterdays: To Canada by Sailing Ship,\" by Edgar Andrew Collard, undated newspaper article (1854). The vessel had an A1 rating from Lloyd's, was 334 tons, and had been built in 1845.\n\n21. Pedlar and Wethey, \"From Cornwall to Canada in 1841,\" 246.\n\n22. Ibid., 247.\n\n23. The Hebe passengers were taken in a sloop to Sydney Cape Breton, where they boarded a Liverpool vessel called the Mercury, which carried them to Quebec.\n\n24. LAC MG24 H15: Journal of a voyage from London to Quebec, 1833, by Francis Thomas, 2, 5\u20137, 11.\n\n25. BRO CRT 190\/413; PP 1857\u201358(165)XLI.\n\n26. Quebec Gazette, October 23, 1820.\n\n27. NAB CO 384\/4, f. 29: Special Meeting of the Quebec Emigration Society, October 11, 1819.\n\n28. The proceeds of the immigrant tax were divided into fourths: between the Quebec Emigrant Hospital, the Montreal General Hospital, the Quebec Emigrant Society, and the Montreal Emigrant Society. Cowan, British Emigration, 56\u201357, 152\u201353.\n\n29. Immigrant arrival numbers plummeted again in 1838\u201339 following the Upper and Lower Canada Rebellions of 1837\u201338.\n\n30. Dickinson and Young, Short History of Quebec, 113\u201314. Ouellet, Le Bas Canada, 215.\n\n31. Article in La Minerve, June 18, 1832, quoted in Ouellet, Le Bas Canada, 216.\n\n32. LAC MG24 I99 (m\/f M-128): diary kept by George Robinson during a voyage on an immigrant ship to Quebec (no page numbers).\n\n33. Ibid.\n\n34. Ibid.\n\n35. Merna M. Forster, \"Quarantine at Grosse \u00cele,\" Canadian Family Physician 41 (May 1995): 841\u201348.\n\n36. Around 18 percent of the 98,649 emigrants, mainly from Ireland, who boarded ship for Quebec in 1847 died before reaching their destination. Andre Charbonneau and Andre Sevigny, 1847 Grosse \u00cele: A Record of Daily Events (Ottawa: Canadian Heritage, 1997), 1\u201332.\n\n37. Irish immigrants predominated from at least 1825, when official figures first became available (see Carrier and Jeffrey, External Migration, 95\u201396).\n\n38. See PP 1841 session 1(298) XV for the 1831 to 1840 emigrant departures by port to Quebec. Emigrant departures from Yarmouth, King's Lynn, and Ipswich in East Anglia were only substantial for a brief period during the 1830s.\n\n39. In 1842 alone, 1,207 immigrants sailed from Plymouth and another 1,173 went from Padstow; yet in that same year, only 1,035 left from London. PP 1843(109) XXIV.\n\n40. Judging from the passengers carried in the Edward Colston from Bristol in June 1832, the catchment area of the port of Bristol was quite considerable. In addition to Bristol, a significant number of passengers came from Dursley (Gloucestershire), some from Somerset (Nailsea, Frome, Huntsill), and one person came from Chepstow in Wales (See Montreal Gazette, June 26, 1832).\n\n41. For example, see PP 1847-48(964) XLVII for 1846\u201347 figures, PP 1851(348) XL for 1850 figures, 1854\u201355(464) XXXIX for 1854 figures, and PP 1859(218, Sess. 2)XXII for 1857\u201358 figures.\n\n42. PP 1842(373) XXXI: immigration agent's report w\/e August 7.\n\n43. LAC MG24 J12: George Pashley fonds.\n\n44. The Irish were especially vulnerable to Liverpool's unscrupulous shipping agents and lodging-house owners, who deceived them and charged extortionate prices. Such abuses led to the many protective measures that were introduced in the Passenger Act of 1828. MacDonagh, \"Emigration and the State, 1833\u201355: An Essay in Administrative History,\" 134, 141\u201342.\n\n45. The physical characteristics of a vessel greatly affected sailing performance as well as passenger comfort and safety. For an analysis of the different types of Aberdeen-registered vessels that were used to take emigrants to British North America, see Lucille H. Campey, Fast Sailing and Copper-Bottomed: Aberdeen Sailing Ships and the Emigrants They Carried to Canada (Toronto: Natural Heritage, 2002), 80\u201398.\n\n46. The Lloyd's Shipping Register is available as a regular series from 1775, apart from the years 1785, 1788, and 1817.\n\n47. A \u2014 first class condition, kept in the highest state of repair and efficiency and within a prescribed age limit at the time of sailing; AE \u2014\"the second description of the first class,\" fit, no defects but may be over a prescribed age limit; E \u2014 second class, although unfit for carrying dry cargoes were suitable for long distance sea voyages; I \u2014 third class, only suitable for short voyages (i.e. not out of Europe). These letters were followed by the number 1 or 2, which signified the condition of the vessel's equipment (anchors, cables, and stores). Where satisfactory, the number 1 was used, and where not, 2 was used. George Blake, Lloyd's Register of Shipping 1760\u20131960 (London: Lloyd's, 1960), 12\u201313, 26\u201327.\n\n48. Still in use today and run by a Classification Society with a worldwide network of offices and administrative staff, the Lloyd's Register continues to provide standard classifications of quality for shipbuilding and maintenance.\n\n49. The number of years that a ship could hold the highest code varied according to where it was built. In time, rivalries developed between ship owners and underwriters, and this led to the publication of two registers between 1800 and 1833 \u2014 the Ship owners Register (Red Book) and the Underwriters Register (Green Book). Their coverage was similar, but not identical. By 1834, with bankruptcies facing both sides, the two registers joined forces to become the Lloyd's Register of British and Foreign Shipping.\n\n50. Cameron and Maude, Assisting Emigration to Upper Canada, 42\u201346\n\n51. WHC 306\/66: Purton Parish.\n\n52. This contrasts sharply with the inferior quality of shipping offered to Irish immigrants, especially during the famine years of 1846\u201351, when unprecedented numbers came to North America.\n\n53. LAC MG24 I131 (m\/f M-5567): Elizabeth Peters's diary, 26.\n\n54. LARO DDX 207\/57: William Thompson to Cuthbert Relph, November 25, 1835.\n\n55. LAC MG24 I131 (m\/f M-5567): William Peters's diary, 15\u201316.\n\n56. Francis Thomas, a passenger in the Hebe, travelled the Ottawa River\/Rideau Canal route in 1834, describing it as \"a dismal course, when nothing for miles could be seen but wood and water\" (see LAC MG24 H15: Journal of a Voyage from London to Quebec, 11\u201312).\n\n57. The Petworth immigrants mainly took the Ottawa River\/Rideau Canal route. Although the barges they were on were towed by a succession of steamboats, they could remain in the same craft throughout the journey. See Cameron and Maude, Assisting Emigration to Upper Canada, 121\u201322.\n\n58. Emigrants could halve their journey time to Hamilton by taking road transport from Montreal to Prescott, but this cost nearly six times the amount payable when the entire journey was made by river. Anon., Information Published by His Majesty's Commissioners for Emigration, 7\u20138.\n\n59. Jackson's diary quoted in MacDonald, Norfolk Folk, 39\u201340.\n\n60. Immigrants going to the Talbot settlements would have gone through the Welland Canal linking Lake Ontario with Lake Erie and disembarked at Port Stanley.\n\n61. NTRO DD\/H\/151\/202: Henry Rastall in Toronto to Edward Buck in Nottinghamshire, February 2, 1830.\n\n62. Cowan, British Emigration, 57.\n\nChapter 11: The English in Ontario and Quebec\n\n1. Henry Scadding, The Address to the St. George's Society in the Cathedral of St. James, Toronto, April 23rd, 1860 (Toronto: Rowsell & Hutchison Printers, 1860), 5.\n\n2. Ibid., 10.\n\n3. John Bull was invented in 1712 by John Arbuthnot, a Scot. He went through many modifications and by the twentieth century was usually depicted wearing a Union Jack waistcoat and having a bulldog by his side.\n\n4. Patrick Cecil Telford White (ed.), Lord Selkirk's Diary 1803\u201304: A Journal of His Travels Through British North America and the Northeastern United States (Toronto: The Champlain Society, 1958), 217\u201318.\n\n5. Report of the Wesleyan Methodist Missionary Society (1821), cviii.\n\n6. Edwin Clarence Guillet, The Pioneer Farmer and Backwoodsman, vol. 1, 224\u201325.\n\n7. Isabella Lucy Bird, The Englishwoman in America (Toronto: University of Toronto Press, 1966), 160. The book was first published in 1856.\n\n8. An English farmer, A Few Plain Directions to Persons Intending to Proceed as Settlers to His Majesty's Province of Upper Canada in North America (London: Baldwin, Cradock & Joy, 1820), 61.\n\n9. NTRO DD\/H\/151\/202\u20133: Henry Rastall in Toronto to Edward Buck in Farndon Parish, Nottinghamshire, February 2, 1830.\n\n10. Edward Thomas Coke, A Subaltern's Furlough: Descriptive of Scenes in Various Parts of the United States, Upper and Lower Canada, New Brunswick and Nova Scotia During the Summer and Autumn of 1832, vol. 1 (New York: J. & J. Harper, 1833).\n\n11. LRO FANE\/ 6\/12\/3: Journal of Mary Chaplin, 1840.\n\n12. LRO MISC DEP 222\/28: Harrison family papers. William Harrison to his son, George, April 6, 1844.\n\n13. DRO CRO DD.HL(2) 349\/1-4: Francis Howell to David Howell, July 28, 1844.\n\n14. Cameron, English Immigrant Voices, 230\u201333. William Robinson to Thomas Sockett, October 14, 1836.\n\n15. Cameron, ibid., 149\u201351. James Parker to Harvey Whittington, September 1, 1833.\n\n16. Horseracing was also introduced at the garrison cities of Halifax and Kingston by British Army officers. Howell, Blood, Sweat and Cheers, 17\u201318.\n\n17. Colonel Fane raised funds from civilians and members of the 54th Regiment. LRO FANE 6\/8\/1\/4 Francis Fane's diary (1851): October 22, November 2.\n\n18. Guillet, The Pioneer Farmer and Backwoodsman, vol. 1, 225.\n\n19. John E. Hall and R.O. McCulloch, Sixty Years of Canadian Cricket (Toronto: Bryant Printing & Publishing Co., 1895), 24, 128.\n\n20. DRO CRO DD.HL(2) 331\/1-4: Francis Howell to David Howell, August 11, 1843.\n\n21. Tranter, Sport, Economy and Society in Britain, 1750\u20131914, 13\u201331.\n\n22. Howell, Blood, Sweat and Cheers, 47\u201349.\n\n23. The London Mechanics' Institute was founded by George Birkbeck in London in 1823. By the mid-nineteenth century, there were more than seven hundred institutes in towns and cities across Britain and overseas, some of which were the foundations of later colleges and universities.\n\n24. LAC MG24 I48\/16: John Lee fonds.\n\n25. Bruce Elliott, \"The English,\" in Paul Robert Magocsi (ed.), The Encyclopaedia of Canada's Peoples (Toronto: Published for the Multicultural History Society of Ontario by the University of Toronto Press, circa 1999), 483\u201384.\n\n26. ETRC P129\/002\/001: Philip Harry Scowen fonds.\n\n27. Ross McCormack, \"Cloth Caps and Jobs: The Ethicity of English Immigrants in Canada,\" in Ethnicity, Power and Politics in Canada, edited by Jorgen Dahlie and Tissa Fernando (Toronto: Methuen, 1981), 38\u201355.\n\n28. Ibid., 47.\n\n29. Ibid., 43.\n\n30. Ibid., 41.\n\n# Bibliography\n\nPrimary Sources (manuscripts)\n\nArchives Nationales du Qu\u00e9bec (ANQ)\n\nP80, S1: Ruth Higginson collection.\n\nP98: Moses Benedict fonds.\n\nP11, S2: William H. Johnston and Reby Dodds.\n\nP1000, D2, P278 (C141): An account of the first settlement of the township in Hull in 1820.\n\nFC2949AYLM1939: \"Aylmer Then and Now.\"\n\nBedfordshire Record Office (BRO)\n\nCRT150\/166: Newspaper article re: emigrants from Tingrith.\n\nCRT190\/413: Newspaper article re: James Tate.\n\nHF89\/5\/1: Letter from Joseph Hooper.\n\nJN5: Papers of Sir Herbert Charles James.\n\nP6\/24\/1 to 5: Haynes Parish.\n\nP22\/11\/2, 19\/2: Willshamtead Parish.\n\nP40\/18: Oakley Parish.\n\nP42\/28\/3\/ 35, 36: Eversholt Parish.\n\nP54\/19: Ampthill Union.\n\nPUBV 33\/1 Vol. 3: Emigration Bedford Union.\n\nR4\/932: Russell collection.\n\nCambridgeshire Record Office (CARO)\n\nG\/C\/AZ 35A, B: Cambridge, St. Mary the Great Parish.\n\nP27\/18\/36: Cambridge, St. Clement Parish.\n\nP31\/8\/2: Cambridge, St. Mary the Less Parish.\n\nP32\/12\/6: Cambridge, St. Michael Parish.\n\nP53\/1\/11: Account of the inhabitants of the parish of Croydon [Cambridge] by Francis Fulford, Rector (January 1, 1843).\n\nP117\/8\/5: Melbourn Parish.\n\nP126\/28\/5: Oakington Parish.\n\nBester, Charles F., Haddenham, A Parish History (typed m\/s, 1981).\n\nCentre for Kentish Studies (CKS)\n\nP26\/8\/1: Biddenden Parish.\n\nP45\/8\/2: Brenchley Parish.\n\nP152\/8\/2: Frittenden Parish.\n\nP181\/18\/27: Headcorn Parish.\n\nP347\/8; P347\/12: Staplehurst Parish.\n\nP348\/8\/1: Stockbury Parish.\n\nP353\/19\/1: Stone-in-Oxney Parish.\n\nP364\/18\/; P364 \/19\/4: Tenterden Parish.\n\nU47\/18: Walter H. Shadwell papers.\n\nCornwall Record Office (CRO)\n\nXDDP 19\/19\/7: Meeting to discuss money for emigration, Saint Breock Parish.\n\nDDX.407\/47: Account of voyage from Plymouth to Quebec by William James, 1858.\n\nFS.3\/81: Diary 1849 by J. Grundy's grandfather of crossing to Quebec.\n\nFS.3\/1138: Diary of Thomas Nicholl of Redruth relating to emigrants from area (1834\u201351).\n\nCumbria Archive Service (CAS)\n\nD\/Hod\/15\/26\/7: Will of Joseph Hodgson, farmer of West Gwillimbury.\n\nD\/WAL\/3\/8: Letter in 1858 from Joseph Bland in Cavan (Peterborough County).\n\nD WAL\/7\/D: Emigration of Alston's poor.\n\nDX 1065\/60\/1\u20136: Letters from Thomas Priestman in Upper Canada.\n\nDerbyshire Record Office (DERO)\n\nD1559Z\/F1: Walker family of Borrowash. Typescript of a diary of John Walker.\n\nD3155: Catton collection.\n\nD3287\/68\/1\/3: Girls' Friendly Society.\n\nD3349\/3: Metcalfe family of Killarch correspondence.\n\nD3772\/T31\/16: Strutt estate papers.\n\nDevon Record Office (DRO)\n\n219\/29\/22a-c: Roper-Lethbridge letters, Devonshire families resident abroad. Letters addressed to Sir Roper-Lethbridge on the occasion of his presidential address to the Devonshire Association (3 Vols).\n\nCRO DD.HL(2)\/330\u2013350: Letters from David Howell's son Francis while in Canada.\n\nEastern Townships Resource Centre (ETRC)\n\nP006: Minnie Hallowell fonds.\n\nP009: Thomas Johnson fonds.\n\nP029: Arthur Virgin fonds.\n\nP046: Reginald Conner fonds.\n\nP059: Tom Martin fonds.\n\nP074: Frank Grundy fonds.\n\nP081: Lydia Sawyer fonds.\n\nP092: William Hoste Webb fonds.\n\nP110: Bernard Epps fonds.\n\nP110\/001.16\/002b: \"A History of the English-Speaking People of the Eastern Townships of Quebec (circa 1977).\"\n\nP129: Philip Harry Scowen fonds.\n\nP134: Edward Short fonds.\n\nP997\/001.04\/002: Recollections of James S. Ramage.\n\nP997\/001.04\/007: Captain Joseph Perkins fonds.\n\nP997\/001.04\/009: Edward William Brewster.\n\nP997\/001.06\/005: Moses Elliott fonds.\n\nP997\/004.01\/001a: Farmer's diary.\n\nVC074: Richmond and Melbourne United Church fonds, 1888.\n\nEssex Record Office (ERO)\n\nD\/Djg\/F9: Jessopp family.\n\nD\/DU 161\/394: Canada Company land.\n\nD\/DVv\/87: Letters from Robert Downes.\n\nD\/P12\/12: Widdington Parish.\n\nD\/P21\/18\/29: Steeple Bumpstead Parish.\n\nT\/G44 129: Bootys of Canada.\n\nHertfordshire Record Office (HRO)\n\nD\/Ebn (Add) B148: Pendley estate.\n\nD\/EHts\/Q36: Ledger, Hertfordshire Certified Reformatory School.\n\nD\/EHts\/Q39: Register, Hertfordshire Reformatory School.\n\nD\/P7 19\/2: Ashwell Parish.\n\nD\/P\/ 50 5\/9: Hertingfordbury Parish.\n\nHull City Archives (HCA)\n\nDMJ\/415\/37-40: Bravender letters.\n\nLancashire Record Office (Preston) (LARO)\n\nFRL 1\/126: Lancashire Society of Friends \u2014 Notes concerning emigration.\n\nFRL 2\/1\/33\/164: Letter concerning the Craggs family (Lancashire Society of Friends).\n\nFRL 21\/1\/9\/24: Emigrants' Library Association (Lancashire Society of Friends).\n\nDDX 207\/57, 58: Cuthbert Relph fonds.\n\nDDX 374\/8: Letter from Mrs. Jane Atkinson in Amherstburgh.\n\nDDX 1134: Haslingden Operative Cotton Spinners Association.\n\nDDX 1302\/2\/2\/4: Letters from W.H. Barnes of Burnley.\n\nDDX 1357 2\/1\/10: Clitheroe 800th anniversary celebrations.\n\nLibrary and Archives Canada (LAC)\n\nMG17-B1: United Society for the propagation of the Gospel fonds Series E (m\/f A-221). Originals held at University of Oxford.\n\nMG17-C2: Wesleyan Methodist Missionary Society 1791\u20131819 (copies on microfilm \u2014 originals at University of London).\n\nMG8-G49: United Church (Wesleyan Methodist Circuit) fonds for Quyon (Pontiac County).\n\nMG9 D7 21: Pembroke Wesleyan Methodist Circuit.\n\nMG9 D7 22: West Mono Mission fonds.\n\nMG21: Haldiman collection.\n\nMG24 D27: Thomas J. Jones and family fonds.\n\nMG24 H15: Journal of a voyage from London to Quebec, 1833, by Francis Thomas.\n\nMG24 I19: Richard Hemsley and family fonds.\n\nMG24 I99: George Robinson diary.\n\nMG24 I20: Samuel Southby Bridge collection.\n\nMG24 I131 (m\/f M-5567): William Peters and family fonds.\n\nMG24 I48: John Lee fonds.\n\nMG24 I56: Norwich Emigration Records.\n\nMG24 I59: John Langton and family fonds.\n\nMG24 I181: John Walker collection.\n\nMG24-I198: James Coleman fonds.\n\nMG24 J12: George Pashley fonds.\n\nMG24 J47: Charles Caleb Cotton and family fonds.\n\nMG25 G271 Vol. 17: Parish histories of Onslow (Pontiac County) Eardley (Gatineau County) and Clarendon (Pontiac County).\n\nMG25 G325: Wilson family collection.\n\nMG25 G336 File 3: Wilkes \u2014 Lamb \u2014 Clarkson families collection.\n\nMG25 G339: Jones family collection.\n\nMG28 III41: Henry Elliott and son fonds.\n\nMG29 C63: Peter Coleman and family fonds.\n\nMG40 M10: Bolton and District Card and Ring Room Operatives Association.\n\nMG40 M62: Leeds City Council Treasurer's Department Distress Committee.\n\nM68-G46: Christ Church Parish fonds (Sorel).\n\nRG17 Vol. 39 #3609: List of people sent by Working Men's Emigration Association, London, 1870.\n\nRG313 C-718: Population return of the Township of Hull, 1825.\n\n920 MD 154: Journal of James Moncrieff Wilson.\n\nLincolnshire Record Office (LRO)\n\nFANE 6\/8: Fane family papers.\n\nFANE 6\/12: Journal of Mary Chaplin.\n\nMISC DEP 222\/28: Harrison family papers.\n\nMONO 30\/4\/68: Cartoons on emigration.\n\nANC: Manuscripts of the Earl of Ancaster.\n\nLiverpool City Archives (LCA)\n\n(LCA) 920 MD 289: Journal of a voyage from Quebec to Liverpool in 1848.\n\nNational Archives of Britain (NAB)\n\nCO 384: Colonial Office Papers on emigration containing original correspondence concerning North American settlers.\n\nNational Archives of Scotland (NAS)\n\nRHP 35156\/1\u20132: Plans of Upper and Lower Canada, 1838\u201339.\n\nNorfolk Record Office (NRO)\n\nDN\/BBD: Reverend H.G.B. Folland's papers.\n\nMC 75\/5: Letter Thomas Cook to his parents, 1869.\n\nPD 111\/82: Bressingham Parish.\n\nPD 124\/49: Carbrooke Parish.\n\nPD 699\/90: Heacham Parish.\n\nNorthamptonshire Record Office (NORO)\n\nC(A) Box 85: Cartwright papers: emigration from Aynho Parish.\n\nEY\/82\u201388: Eydon Parish.\n\nL(C) 1158: Raunds Parish.\n\nPL \/564: Syresham Parish.\n\nROP 963\/10: \"The Canadian Connection.\"\n\nYZ 3305: Declaration of Richard Hall re: death certificate of Henry Long Hall.\n\nYZ4008: Miss Moore's journal of her voyage from England to Quebec, 1763.\n\n133p\/14: Families emigrating from Geddington 1826\u201344.\n\n197p\/88: Long Buckby Parish.\n\nNottinghamshire Record Office (NTRO)\n\nCATC10\/125\/9: Empire migration.\n\nD744\/1: Mrs. E. Jackson in Toronto.\n\nDD592: Hannah Barclay letters.\n\nDD2427: Heathcote letters.\n\nDD4p\/62\/107\/11: Portland papers.\n\nDD\/H\/151\/202: Henry Rastall in Toronto to Edward Buck in Nottinghamshire, February 2, 1830.\n\nPR707: Papplewick Parish.\n\nPR1900: East Drayton Parish.\n\nPR6703: Gotham Parish.\n\nPR7347: Carlton-on-Trent Parish.\n\nOntario Archives (OA)\n\nF592 MU867, MU 868: Mary Sophia O'Brien fonds.\n\nF634 MU113, MU114: Sarah Hill family fonds.\n\nF1009 MU1724: George T. Denison fonds (letter book).\n\nMU2928: Talbot Settlement Lease Book, 1825\u20131845.\n\nPAMPH 1869#6c.1: A lecture on Canada as a field for emigration, with special reference to the inducements offered by the government of the province of Ontario: delivered in Hope Hall, Liverpool on June 30, 1869.\n\nPAMPH 1926#72: A boy farm learner's life in Ontario, Canada: Letters to his mother in England.\n\nRG 11-8-1: Department of Immigration numbered correspondence files (m\/f MS 847).\n\nOxford University: Rhodes House Library (RHL)\n\nUnited Society for the Propagation of the Gospel (USPG) Series E: Reports from Missionaries.\n\nRoyal Institution of Cornwall (RIC)\n\nCornish Memorial Scheme (W.I. survey).\n\nRecords of emigrant ships from Cornwall (based on newspaper extracts compiled by C.J. Davies).\n\nShropshire Record Office (SHRO)\n\n448: Marrington Hall collection.\n\n1536\/5: Cholmondeley family papers.\n\n1781\/2: Shackerley estate papers.\n\nM13042\/1\u20136: Hill family of Sutton Heath.\n\nN.W. Tildesley. \"William Farmer's Emigration to Canada,\" Shropshire Newsletter 40 (June 1971). Published by the Shropshire Archaeological Society.\n\nSomerset Record Office (SORO)\n\nDD\\LW\/49: Frome vestry book.\n\nDD\/SF\/4546: Sanford family.\n\nT\\PH\\SAS\/8\/925\/1: J.O. Lewis. Letters from Poor Persons Who Emigrated to Canada from the Parish of Frome in the County of Somerset (Frome: Frome Newspaper Co. Ltd., 1945).\n\nStaffordshire County Record Office (STRO)\n\nD240: Shrewsbury papers: estate memoranda and correspondence.\n\nD260\/M\/E: Hatherton collection.\n\nD593\/v\/10\/474-475: Visit of the tenant-farmer delegates to Canada in 1890.\n\nD615\/P: Anson family papers.\n\nD823\/2\/4b: Letters from Ontario, 1933\u201349.\n\nSuffolk Record Office (Ipswich) (SROI)\n\nEducation File 26: Extract from \"Gentleman's Magazine,\" May 1832: 457.\n\nEducation File 447: Letter in Ipswich Journal from an emigrant who went to Canada.\n\nEducation File 451: \"Emigrant Ships of the 1830s\" by H.W. Moffat in Suffolk Review, Bulletin of the Suffolk Local History Council, vol. 1 (1956\u201358), 46\u201347.\n\nEducation File 1617: \"The Carlton Colville Emigrants,\" in The East Anglian 10 (1903\u201304): 278\u201381.\n\nFC 105\/G7: Plomesgate Union.\n\nFC 105: Brandeston Parish.\n\nFC 131: Benhall Parish.\n\nHA 11: Rous family archives.\n\nHA 30: Blois family archives.\n\nSuffolk Record Office (Lowestoft) (SROL)\n\n455: Woolnough family correspondence.\n\n119\/G5: Covehithe Parish.\n\n124: Halesworth Parish.\n\nUniversity of Hull Archives (UHA)\n\nDDX 60\/50: Courtney family papers.\n\nUniversity of London, School of Oriental and African Studies (SOAS)\n\nMMS: Methodist Missionary Society Papers.\n\nWarwickshire Record Office (WRO)\n\nDR (B) 19\/108: Tamworth Parish.\n\nDR (B) 100\/95: Coleshill Parish.\n\nDR 684\/1: Bulkington Parish.\n\nWest Yorkshire Archive Service (WYAS)\n\nLLD3\/719 [197]: Records of all persons aided to emigrate 1906\u201312.\n\nPL\/3\/7\/1-4: Letters concerning boarding out and emigration 1887\u201390 (3 vols).\n\nPL3\/7\/5: Leeds Board of Guardians, register of emigrant children 1888\u201395.\n\nWiltshire Record Office (WHC)\n\n212B\/5644: Purton Parish.\n\n303\/66: Purton emigration (typed notes).\n\n1020: Longbridge Deverill Parish.\n\n1306\/105: Downton Parish.\n\n1607: Brinkworth Parish.\n\nPrinted Primary Sources and Contemporary Publications\n\nAn English Farmer. A Few Plain Directions to Persons Intending to Proceed as Settlers to His Majesty's Province of Upper Canada in North America. London: Baldwin, Cradock & Joy, 1820.\n\n\"An Immigrant Farmer\" (pseudonym of Reverend Abbott). Memoranda of a Settler in Lower Canada; or the Emigrant in North America, Being a Useful Compendium of Useful Practical Hints to Emigrants... Together with an Account of Every Day Doings upon a Farm for a Year. Montreal: 1842.\n\n\"An Important Letter of a Resident of Quebec as to the Disabilities of Protestants in the Province of Quebec: the Parish System.\" Toronto: Equal Rights Association for the province of Ontario, 1890.\n\nAnon. A Statement of the Satisfactory Results Which Have Attended Emigration to Upper Canada from the Establishment of the Canada Company Until the Present Period. London: Smith, Elder & Co., 1841.\n\n\u2014\u2014\u2014. Emigration: The British Farmers and Farm Labourer's Guide to Ontario. Toronto: Blackett Robinson, 1880.\n\n\u2014\u2014\u2014. Emigration: Extracts from Various Writers on Emigration, with Authentic Copies of Letters from Emigrants from Norfolk, Suffolk, and Sussex, Now Settled in Upper Canada, Containing Useful Information Respecting That Country. Norfolk: Bacon and Kinnebrook, 1834.\n\n\u2014\u2014\u2014. Emigration to Canada: The Province of Ontario, Its Soil, Resources, Institutions, Free Grant Lands... for the Information of Intending Emigrants. Toronto: Hunter, Rose, and Co., 1871.\n\n\u2014\u2014\u2014. Handbook of Information Relating to the District of Algoma in the Province of Ontario: Letters from Settlers and Others, and Information as to Land Regulations. Minister of the Interior, Government of Canada. London: McCorquodale & Co., circa 1894.\n\n\u2014\u2014\u2014. Information for Emigrants to British North America. London: C. Knight, 1842.\n\n\u2014\u2014\u2014. Information Published by His Majesty's Commissioners for Emigration Respecting the British Colonies in North America. London: Charles Knight, publisher to the Society for the Diffusion of Useful Knowledge, 1832.\n\nBouchette, Joseph. A Topographical Dictionary of the Province of Lower Canada. London: W. Faden, 1815.\n\n\u2014\u2014\u2014. A Topographical Dictionary of the Province of Lower Canada. London: Longman & Co, 1832.\n\n\u2014\u2014\u2014. The British Dominions in North America: a Topographical and Statistical Description of the Provinces of Lower and Upper Canada, New Brunswick, Nova Scotia, the Islands of Newfoundland, Prince Edward Island and Cape Breton, vols I, II. London: Longman, Rees, Orme, Brown, Green and Longman, 1832.\n\nBoulton, Henry John. A Short Sketch of the Province of Upper Canada for the Information of the Labouring Poor Throughout England. London: John Murray, 1826.\n\nBritish American Land Company. Information Respecting the Eastern Townships of Lower Canada. London: W.J. Ruffy, 1833.\n\nCanada. Government of Canada. Sessional Papers 34, Victoria (64) 1871, 24\u201325.\n\nCattermole, William. Emigration: The Advantages of Emigration to Canada: Being the Substance of Two Lectures Delivered at the Town-Hall, Colchester, and the Mechanics' Institution, Ipswich. London: Simpkin & Marshall; Woodbridge, ON: J. Loder, 1831.\n\nCensus of Ontario, 1881.\n\nChampion, Thomas Edward. The Anglican Church in Canada. Toronto: Hunter, Rose, and Co., 1898.\n\nCobbett, William. The Emigrant's Guide in 10 Letters Addressed to the Taxpayers of England; Containing Information of Every Kind, Necessary for Persons About to Emigrate; Including Several Authentic and Most Interesting Letters from English Emigrants, Now in America, to Their Relations in England. London: author, 1829.\n\nCoke, Edward Thomas. A Subaltern's Furlough: Descriptive of Scenes in Various Parts of the United States, Upper and Lower Canada, New Brunswick and Nova Scotia During the Summer and Autumn of 1832. Vol. 1. New York: J. & J. Harper, 1833.\n\nErmatinger, Edward. Life of Col. Talbot and the Talbot Settlement. St. Thomas, ON: A. McLachin's Home Journal Office, 1859.\n\nGourlay, Robert F. Statistical Account of Upper Canada Compiled with a View to a Grand System of Emigration. London: Simpkin & Marshall, 1822.\n\nHall, John E., and R.O. McCulloch. Sixty Years of Canadian Cricket. Toronto: Bryant Printing & Publishing Co., 1895.\n\nJameson, A.B. Winter Studies and Summer Rambles in Canada. London: Saunders & Otley, 1838.\n\nLizars, Robine, and Kathleen Macfarlane Lizars. In the Days of the Canada Company: The Story of the Settlement of the Huron Tract and a View of the Social Life of the Period 1825\u20131850. Toronto: W. Briggs, 1896.\n\nLloyd's Shipping Register 1775\u20131855.\n\nMackenzie, William Lyon. Sketches of Canada and the United States. London: E. Wilson, 1833.\n\nMacTaggert, John. Three Years in Canada: An Account of the Actual State of the Country in 1826\u20137\u20138, Comprehending Its Resources, Productions, Improvements and Capabilities and Including Sketches of the State of Society, Advice to Emigrants, etc. Two volumes. London: 1829.\n\nMartin, Robert Montgomery. History, Statistics and Geography of Upper and Lower Canada. London: Whittaker, 1838.\n\nOliver, Andrew [late of Montreal]. A View of Lower Canada Interspersed with Canadian Tales and Anecdotes and Interesting Information to Intending Emigrants. Edinburgh: Menzies, 1821.\n\nPickering, Joseph. Enquiries of an Emigrant Being the Narrative of an English Farmer from the Year 1824 to 1830 During Which Period He Traversed the USA and the British Province of Canada with a View to Settle as an Emigrant. London: Effingham Wilson, 1831.\n\nScadding, Reverend Henry. The Address to the St. George's Society in the Cathedral of St. James, Toronto, April 23rd, 1860. Toronto: Rowsell & Hutchison Printers, 1860.\n\nScrope, George Poulett. Extracts of Letters from Poor Persons Who Emigrated Last Year to Canada and the United States for the Information of the Labouring Poor in This Country. London: J. Ridgeway, 1831.\n\nSellar, Robert. History of the County of Huntingdon and of the Seigneuries of Ch\u00e2teauguay and Beauharnois from Their First Settlement to the Year 1838. Huntingdon, QC: Canadian Gleaner, 1888.\n\nSociety for the Propagation of the Gospel in Foreign Parts, Annual Reports.\n\nSurtees, Scott Frederick. Emigrant Letters from Settlers in Canada and South Australia Collected in the Parish of Banham, Norfolk. London: Jarrold and Sons, 1852.\n\nThomas, C. History of the Counties of Argenteuil, Quebec and Prescott, Ontario, from the Earliest Settlement to the Present. Montreal: John Lovell, 1896.\n\nWesleyan Methodist Missionary Society, Annual Reports.\n\nWilson, William. Letters from the Eastern Townships of Lower Canada Containing Information Respecting the Country Which Will Be Useful to Emigrants. London: 1834.\n\nOfficial British Government Publications\n\nAnnual Reports of the Poor Law Commissioners for England and Wales. London: Charles Knight & Co., 1836\u201354.\n\nBritish Parliamentary Papers: Annual Reports of the Immigration Agent at Quebec (1831\u201361).\n\nBritish Parliamentary Papers: Colonial Land and Emigration Commissioners, Annual Reports (1841\u201372).\n\nContemporary Newspapers\n\nBath & Cheltenham Gazette\n\nBedfordshire Mercury\n\nBedfordshire Times and Independent\n\nBerwick Advertiser\n\nBrighton Patriot\n\nBuckingham Post\n\nBury and Norwich Post\n\nClitheroe Advertiser\n\nCourier of Upper Canada\n\nDumfries and Galloway Courier\n\nHull Advertiser\n\nHull Packet\n\nIpswich Journal\n\nKentish Independent\n\nLa Minerve\n\nLiverpool Albion\n\nLloyd's List\n\nMontreal Gazette\n\nNorfolk Chronicle\n\nNorth Devon Journal\n\nNorwich Gazette\n\nNorwich Mercury\n\nQuebec Gazette\n\nQuebec Mercury\n\nSalisbury Journal\n\nSherbrooke Daily Record\n\nShrewsbury Chronicle\n\nSuffolk Chronicle\n\nWest Devon and Cornish Advertiser\n\nContemporary Material of Later Printing\n\nBird, Isabella Lucy. The Englishwoman in America. Toronto: University of Toronto Press, 1966.\n\nChannell, Leonard Stewart. History of Compton County and Sketches of the Eastern Townships of St. Francis and Sherbrooke County. Belleville, ON: Mika Publishing, 1975 [first published 1896].\n\nCobbett, William, and Ian Dyck, eds. Rural Rides, Rural Rides in the Counties of Kent, Sussex, Hampshire, Wiltshire, Gloucestershire, Herefordshire, Worcestershire, Somerset, Oxfordshire, Berkshire, Essex, Suffolk, Norfolk, and Hertfordshire. London: Penguin Books, 2001.\n\nReid, Richard, ed. The Upper Ottawa Valley to 1855: A Collection of Documents Edited with an Introduction by Richard Reid. Toronto: Champlain Society, 1990.\n\nWhite, Patrick Cecil Telford, ed. Lord Selkirk's Diary 1803\u201304: A Journal of His Travels Through British North America and the Northeastern United States. Toronto: The Champlain Society, 1958.\n\nWhitelaw, Marjorie, ed. The Dalhousie Journals, 3 vols. Ottawa: Oberon, 1978\u201382.\n\nSecondary Sources\n\nAgar, Nigel E. The Bedfordshire Farm Worker in the 19th Century. Bedford: Publications of the Bedfordshire Historical Record Society, vol. 60, 1981.\n\nAitken, Barbara B. \"Searching Chelsea Pensioners in Upper Canada and Great Britain.\" Families 23, no. 3 (1984) [Part I]: 114\u201327; and no. 4 (1984) [Part II]: 178\u201397.\n\nAlbion, Robert Greenhalgh. Forests and Seapower: The Timber Problems of the Royal Navy 1652\u20131862. Cambridge, MA: Harvard Economic Studies, 1926.\n\nAllen, Robert S. The Loyal Americans: The Military Role of the Loyalist Provincial Corps and Their Settlement in British North America. Ottawa: National Museum of Canada, circa 1983.\n\nAllinson, Helen. Farewell to Kent: Assisted Emigration in the Nineteenth Century. Sittingbourne, Kent: Synjon Books, 2008.\n\nAnon. \"Nineteenth Century Emigration from Weardale.\" Northumberland and Durham Family History Society 21, no. 3 (Autumn 1996): 94.\n\nBaehre, Rainer. \"Pauper Emigration to Upper Canada in the 1830s.\" Social History 14, no. 28 (1981): 339\u201367.\n\nBaigent, Peter, and Robert Ruegg. \"Pauperism or Emigration? Case Studies of Publicly-Backed Emigration Schemes in Woolwich, Kent, 1857 and 1869\u201370.\" Family and Community History, vol. 10\/1 (May 2007), 19\u201333.\n\nBailey, Patrick. \"Pioneer Settlers: East Anglia and Quebec.\" The Amateur Historian 4, no. 1 (1958): 9\u201311.\n\nBarry, Gwen Rawlings. History of Megantic County: Downhomers of Quebec's Eastern Townships. Lower Sackville, NS: Evans Books, 1999.\n\nBean, P., and J. Melville. Lost Children of the Empire. London: Unwin Hyman, 1989.\n\nBenn, Carl. The War of 1812. Oxford: Osprey, 2002.\n\nBlake, George. Lloyd's Register of Shipping 1760\u20131960. London: Lloyd's, 1960.\n\nBlanchard, Raoul. \"Les Pays de l'Ottawa.\" \u00c9tude Canadienne troisi\u00e8me s\u00e9rie, vol. 3. Grenoble, FR: Allier, 1949.\n\n\u2014\u2014\u2014. L'Est du Canada Francais, \"Province de Quebec.\" Montreal: Publications de l'Institut Scientifique Franco-Canadien, 1935.\n\nBouquet, Michael. \"Passengers from Torquay: Emigration from North America 1849\u20131859.\" In Ports and Shipping in the South-West, edited by H.E.S. Fisher. Exeter: University of Exeter, Exeter Papers in Economic History, 1971, no. 4, 131\u201347.\n\nBrayshay, Mark. \"The Emigration Trade in Nineteenth Century Devon.\" In The New Maritime History of Devon, Michael Duffy et al., London: Conway Maritime Press, 1994, vol. 2, 108\u201318.\n\n\u2014\u2014\u2014. \"Government Assisted Emigration from Plymouth in the Nineteenth Century.\" Report of the Transactions of the Devon Association for the Advancement of Science 112 (1980), 185\u2013213.\n\nBrown, W.M. The Queen's Bush: A Tale of the Early Days of Bruce County. London: John Bale sons and Danielson Ltd., 1932.\n\nBrunger, Alan G. \"The Geographical Context of English Assisted Emigration to Upper Canada in the Early Nineteenth Century.\" British Journal of Canadian Studies 16, no. 1 (2003): 7\u201331.\n\nBuckner, Phillip. \"Introduction.\" British Journal of Canadian Studies 16, no.1 (2003), 1\u20135.\n\nBumsted, J.M., \"The Consolidation of British North America, 1783\u20131860.\" In Canada and the British Empire, edited by Philip Buckner. Oxford: Oxford University Press, 2008, 43\u201347.\n\n\u2014\u2014\u2014. The Peoples of Canada: A Pre-Confederation History, vol. 1. Toronto: Oxford University Press, 1992.\n\nCameron, Wendy. \"English Immigrants in 1830s Upper Canada: The Petworth Emigration Scheme.\" In Barbara J. Messamore, Canadian Migration Patterns. Toronto: University of Toronto Press, 2004, 91\u2013100.\n\nCameron, Wendy, and Mary McDougall Maude. Assisting Emigration to Upper Canada: The Petworth Project, 1832\u201337. Montreal: McGill-Queen's University Press, 2000.\n\nCameron, Wendy, Sheila Haines, and Mary McDougall Maude. English Immigrant Voices: Labourers' Letters from Upper Canada in the 1830s. Montreal: McGill-Queen's University Press, 2000.\n\nCampey, Lucille H. Fast Sailing and Copper-Bottomed: Aberdeen Sailing Ships and the Emigrant Scots They Carried to Canada. Toronto: Natural Heritage, 2002.\n\n\u2014\u2014\u2014. Les \u00c9cossais: the Pioneer Scots of Lower Canada, 1763\u20131855. Toronto: Natural Heritage, 2006.\n\n\u2014\u2014\u2014. Planters, Paupers and Pioneers: English Settlers in Atlantic Canada. Toronto: Natural Heritage, 2010.\n\n\u2014\u2014\u2014. Scottish Pioneers of Upper Canada, 1784\u20131855: Glengarry and Beyond. Toronto: Natural Heritage, 2005.\n\nCarrier, N.H., and J.R. Jeffrey. External Migration: A Study of the Available Statistics 1815\u20131950. London: HMSO, 1953.\n\nCarrington, Philip. 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The Industrial Revolution and British Overseas Trade. Leicester: Leicester University Press, 1979.\n\nDebenham, Mary H. Men Who Blazed the Trail. Stories of the Church's Pioneers in Canada, Australia and New Zealand. London: Society for the Propagation of the Gospel in Foreign Parts, 1926.\n\nDickinson, John A., and Brian Young, A Short History of Quebec, 2nd edition. Toronto: Longman, 1993.\n\nDictionary of Canadian Biography. Toronto: University of Toronto Press, 1979\u201385.\n\nElliott, Bruce. \"Regional Patterns of English Immigration and Settlement in Upper Canada.\" In Canadian Migration Patterns from Britain and North America, edited by Barbara J. Messamore. Ottawa: University of Ottawa Press, 2004, 51\u201390.\n\n\u2014\u2014\u2014. \"The English.\" The Encyclopedia of Canada's Peoples. Edited by Paul Robert Magocsi. Toronto: Published for the Multicultural History Society of Ontario by the University of Toronto Press, circa 1999, 462\u201388.\n\nElliott, Bruce S. 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The Great Migration: The Atlantic Crossing by Sailing Ships Since 1770. Toronto: University of Toronto Press, 1963.\n\n\u2014\u2014\u2014. The Pioneer Farmer and Backwoodsman. Toronto: University of Toronto Press, 1963.\n\nHamil, Fred Coyne. Lake Erie Baron: The Story of Colonel Thomas Talbot. Toronto: Macmillan, 1955.\n\nHamilton, Phyllis. With Heart and Hands and Voices: Histories of Protestant Churches of the Brome, Missisquoi, Shefford and Surrounding Area. Montreal: Price-Patterson, 1996.\n\nHammond, J.L., and B. Hammond. The Village Labourer, 1760\u20131832: A Study in the Government of England Before the Reform Bill. London: Longmans, 1919.\n\nHanson, Carter F. Emigration, Nation, Vocation: The Literature of English Emigration to Canada 1825\u20131900. East Lansing, MI: Michigan State University Press, 2009.\n\nHarris, Donald F. \"Emigration from the Telford Area of Shropshire to the U.S.A. and Canada Before the First World War.\" A talk given to the Telford Historical and Archaeological Society, March 2, 2000.\n\n\u2014\u2014\u2014. \"The Canadian Government's Use of Newspapers to Encourage Immigration in the Twenty Years Before the First World War, as Demonstrated in the Newspapers of Shropshire.\" The 5th annual lecture of the Friends of Shropshire Records and Research, Shrewsbury, November 3, 1999.\n\n\u2014\u2014\u2014. \"The Church of England and Emigration to Canada: Rural Clergy in the County of Shropshire.\" Journal of the Canadian Church Historical Society, vol. XLI (1999): 5\u201326.\n\n\u2014\u2014\u2014. \"The Promotion in Shropshire of Emigration to Canada in 1914 with Particular Reference to the Period from 1890.\" Unpublished Ph.D. thesis: University Of Birmingham, 1998.\n\n\u2014\u2014\u2014. \"The Role of Shropshire Local Shipping Agents in Encouraging Emigration to Canada, 1890\u20131914.\" Local Historian 30, no. 4 (November 2000): 239\u201359.\n\nHarrison, Phyllis, ed. The Home Children \u2014 Their Personal Stories. Winnipeg: Watson & Dwyer Publishing Ltd., 1979.\n\nHartley, Susan, and Pompi Parry. Downton Lace: A History of Lace Making in Salisbury and the Surrounding Area. Salisbury, Wiltshire: Salisbury and South Wiltshire Museum, 1991.\n\nHeath-Stubbs, Mary. Friendship's Highway: Being the History of the Girls' Friendly Society 1875\u20131935. 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Delhi, ON: Norfolk Folk Book Committee, 2005.\n\nMacDonald, Norman. Canada, Immigration and Settlement 1763\u20131841. London: Longmans & Co., 1939.\n\nMachin, Frank. The Yorkshire Miners: A History, vol. 1. Barnsley, Yorkshire: National Union of Mineworkers, 1958.\n\nMack, Susan Muriel. The History of Stephen Township. Crediton, ON: Corporation of the Township of Stephen, 1992.\n\nMacKay, Donald. The Lumberjacks. Toronto: Natural Heritage, 1998.\n\nMagocsi, Paul Robert, ed. The Encyclopedia of Canada's Peoples. Toronto: Published for the Multicultural History Society of Ontario by the University of Toronto Press, circa 1999.\n\nMcAndless, J.E. \"Telfer Cemetery (English Settlement) London Township.\" Families 14, no. 3 (1975): 71\u201378.\n\nMcCormack, Ross. \"Cloth Caps and Jobs: The Ethnicity of English Immigrants in Canada.\" In Ethnicity, Power and Politics in Canada, edited by Jorgen Dahlie and Tissa Fernando. Toronto: Methuen, 1981, 38\u201355\n\nMcDonald, Terry. \"A Door of Escape: Letters Home from Wiltshire and Somerset Emigrants to Upper Canada, 1830\u20131832.\" In Barbara J. Messamore, Canadian Migration Patterns. Toronto: University of Toronto Press, 2004, 101\u201319.\n\n\u2014\u2014\u2014. \"Southern England and the Mania for Emigration.\" British Journal of Canadian Studies 16, no. 1 (2003): 32\u201343.\n\nMcGillivray, Allan. Decades of Harvest: A History of the Township of Scott, 1807\u20131973. Uxbridge, ON: Scott History Committee, 1986.\n\nMerrium, Clancy, et al. Cornish Emigrants to Ontario. Toronto: Toronto Cornish Association, 1998.\n\nMiller, Audrey Saunders, ed. The Journals of Mary O'Brien. Toronto: Macmillan of Canada, 1968.\n\nMills, David. The Idea of Loyalty in Upper Canada, 1784\u20131850. Kingston, ON: McGill-Queen's University Press, 1988.\n\nMoodie, Susannah. Roughing It in the Bush, or Life in Canada. London: Virago Press, 1986.\n\nMorley, Leslie M., C.E. 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Downton, Wiltshire: Cromwell Press, 1999.\n\nWhaley, Raymond. \"The Bates and Lovekin Families: First Settlers of Clarke Township.\" Families 44, no. 1 (February 2005): 3\u201326.\n\nWheaton, Dean, Letters from Bruce County Written by Pioneer Joseph Bacon, 1705\u20131882. Indiana: Author House, 2006.\n\nWhite, Paul. Owen Sound: The Port City. Toronto: Natural Heritage, 2000.\n\nWilliams, Barbara, ed. A Gentlewoman in Upper Canada: The Journals, Letters and Art of Anne Langton. Toronto: Clark, Irwin, 1950.\n\n\u2013\u2014\u2014\u2014 Ann Langton, Pioneer Woman and Artist. Peterborough, ON: Peterborough Historical Society, 1986.\n\nWilson, Everett. \"John Wilkinson: Devout Methodist and Dereham Pioneer.\" Families 35, no. 3 (August 1996): 147\u201351.\n\nWright, Glen T. The Caroline and Her Passengers, March\u2013May 1832. Guelph, ON: Wellington Branch, Ontario Genealogical Society, 2002.\n\n# About the Author\n\nAuthor photo by The Portrait Place, Priory Square, Salisbury, UK.\n\nOttawa-born Dr. Lucille Campey is a well-known writer and historian who began her career as a scientist and computer specialist, having previously obtained a degree in chemistry from Ottawa University. Following her marriage in 1967 to her English husband, Geoff, she moved to England. Lucille gained a masters degree at Leeds University based on a study of English medieval settlement patterns. Inspired by interest in her Nova Scotia\u2013born father's Scottish roots and love of history, she studied Scottish emigration to Canada and was subsequently awarded a doctorate at Aberdeen University. Lucille went on to write eight books about Canada's Scottish pioneers. More recently, Lucille has turned her attention to English emigration to Canada with her ninth book, Planters, Paupers and Pioneers: English Settlers in Atlantic Canada, published in 2010. Lucille and Geoff live near Salisbury, England, and travel regularly in Canada.\n\n# Copyright\n\nCopyright \u00a9 Lucille H. Campey, 2012\n\nAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise (except for brief passages for purposes of review) without the prior permission of Dundurn Press. Permission to photocopy should be requested from Access Copyright.\n\nEditor: Allison Hirst\n\nDesign: Jennifer Scott\n\nEpub Design: Carmen Giraudy\n\nLibrary and Archives Canada Cataloguing in Publication\n\nCampey, Lucille H.\n\nSeeking a better future [electronic resource] : the English pioneers of Ontario and Quebec \/ Lucille H. Campey.\n\nIncludes bibliographical references and index.\n\nElectronic monograph.  \nIssued also in print format.\n\nISBN 978-1-4597-0353-7\n\n1. British--Ontario--History--19th century. 2. British--Qu\u00e9bec (Province)--History--19th century. 3. Ontario--Emigration and immigration--History--19th century. 4. Qu\u00e9bec (Province)-- Emigration and immigration--History--19th century. 5. Great Britain--Emigration and immigration--History--19th century. I. Title.\n\nWe acknowledge the support of the **Canada Council for the Arts** and the **Ontario Arts Council** for our publishing program. We also acknowledge the financial support of the **Government of Canada** through the **Canada Book Fund** and **Livres Canada Books** , and the **Government of Ontario** through the **Ontario Book Publishing Tax Credit** and the **Ontario Media Development Corporation**.\n\nCare has been taken to trace the ownership of copyright material used in this book. The author and the publisher welcome any information enabling them to rectify any references or credits in subsequent editions.\n\nJ. Kirk Howard, President\n\nVisit us at: Dundurn.com  \nDefiningcanada.ca  \n@dundurnpress  \nFacebook.com\/dundurnpress\n\nVisit us at: Dundurn.com  \nDefiningcanada.ca  \n@dundurnpress  \nFacebook.com\/dundurnpress\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nThe author and publisher have provided this e-book to you for your personal use only. You may not make this e-book publicly available in any way. Copyright infringement is against the law. If you believe the copy of this e-book you are reading infringes on the author's copyright, please notify the publisher at: us.macmillanusa.com\/piracy.\nContents\n\nTitle Page\n\nCopyright Notice\n\nDedication\n\n1. Maestro\n\n2. Nathan Dedalus\n\n3. Femme Fatale\n\n4. Married to Tolstoy\n\nBooks by Philip Roth\n\nAbout the Author\n\nCopyright\nFor Milan Kundera\n1. Maestro\n\nIt was the last daylight hour of a December afternoon more than twenty years ago\u2014I was twenty-three, writing and publishing my first short stories, and like many a Bildungsroman hero before me, already contemplating my own massive Bildungsroman\u2014when I arrived at his hideaway to meet the great man. The clapboard farmhouse was at the end of an unpaved road twelve hundred feet up in the Berkshires, yet the figure who emerged from the study to bestow a ceremonious greeting wore a gabardine suit, a knitted blue tie clipped to a white shirt by an unadorned silver clasp, and well-brushed ministerial black shoes that made me think of him stepping down from a shoeshine stand rather than from the high altar of art. Before I had composure enough to notice the commanding, autocratic angle at which he held his chin, or the regal, meticulous, rather dainty care he took to arrange his clothes before sitting\u2014to notice anything, really, other than that I had miraculously made it from my unliterary origins to here, to him\u2014my impression was that E. I. Lonoff looked more like the local superintendent of schools than the region's most original storyteller since Melville and Hawthorne.\n\nNot that the New York gossip about him should have led me to expect anything more grand. When I had recently raised his name before the jury at my first Manhattan publishing party\u2014I'd arrived, excited as a starlet, on the arm of an elderly editor\u2014Lonoff was almost immediately disposed of by the wits on hand as though it were comical that a Jew of his generation, an immigrant child to begin with, should have married the scion of an old New England family and lived all these years \"in the country\"\u2014that is to say, in the goyish wilderness of birds and trees where America began and long ago had ended. However, since everybody else of renown I mentioned at the party also seemed slightly amusing to those in the know, I had been skeptical about their satiric description of the famous rural recluse. In fact, from what I saw at that party, I could begin to understand why hiding out twelve hundred feet up in the mountains with just the birds and the trees might not be a bad idea for a writer, Jewish or not.\n\nThe living room he took me into was neat, cozy, and plain: a large circular hooked rug, some slipcovered easy chairs, a worn sofa, a long wall of books, a piano, a phonograph, an oak library table systematically stacked with journals and magazines. Above the white wainscoting, the pale-yellow walls were bare but for half a dozen amateur watercolors of the old farmhouse in different seasons. Beyond the cushioned windowseats and the colorless cotton curtains tied primly back I could see the bare limbs of big dark maple trees and fields of driven snow. Purity. Serenity. Simplicity. Seclusion. All one's concentration and flamboyance and originality reserved for the grueling, exalted, transcendent calling. I looked around and I thought, This is how I will live.\n\nAfter directing me to one of a pair of easy chairs beside the fireplace, Lonoff removed the fire screen and peered in to be sure the draft was open. With a wooden match he lighted the kindling that apparently had been laid there in anticipation of our meeting. Then he placed the fire screen back into position as precisely as though it were being fitted into a groove in the hearth. Certain that the logs had caught\u2014satisfied that he had successfully ignited a fire without endangering the two-hundred-year-old house or its inhabitants\u2014he was ready at last to join me. With hands that were almost ladylike in the swiftness and delicacy of their movements, he hiked the crease in each trouser leg and took his seat. He moved with a notable lightness for such a large, heavyset man.\n\n\"How would you prefer to be addressed?\" asked Emanuel Isidore Lonoff. \"As Nathan, Nate, or Nat? Or have you another preference entirely?\" Friends and acquaintances called him Manny, he informed me, and I should do the same. \"That will make conversation easier.\"\n\nI doubted that, but I smiled to indicate that no matter how light-headed it was bound to leave me, I would obey. The master then proceeded to undo me further by asking to hear something from me about my life. Needless to say, there wasn't much to report about my life in 1956\u2014certainly not, as I saw it, to someone so knowing and deep. I had been raised by doting parents in a Newark neighborhood neither rich nor poor; I had a younger brother who was said to idolize me; at a good local high school and an excellent college I had performed as generations of my forebears had expected me to; subsequently I had served in the Army, stationed just an hour from home, writing public-information handouts for a Fort Dix major, even while the massacre for which my carcass had been drafted was being bloodily concluded in Korea. Since my discharge I had been living and writing in a five-flight walk-up off lower Broadway, characterized by my girl friend, when she came to share the place and fix it up a little, as the home of an unchaste monk.\n\nTo support myself I crossed the river to New Jersey three days a week to a job I'd held on and off since my first summer in college, when I'd answered an ad promising high commissions to aggressive salesmen. At eight each morning our crew was driven to some New Jersey mill town to sell magazine subscriptions door-to-door, and at six we were picked up outside a designated saloon and driven back to downtown Newark by the overseer, McElroy. He was a spiffy rummy with a hairline mustache who never tired of warning us\u2014two high-minded boys who were putting away their earnings for an education, and three listless old-timers, pale, puffy men wrecked by every conceivable misfortune\u2014not to fool with the housewives we found alone at home in their curlers: you could get your neck broken by an irate husband, you could be set up for walloping blackmail, you could catch any one of fifty leprous varieties of clap, and what was more, there were only so many hours in the day. \"Either get laid,\" he coldly advised us, \"or sell Silver Screen. Take your pick.\" \"Mammon's Moses\" we two college boys called him. Since no housewife ever indicated a desire to invite me into the hallway to so much as rest my feet\u2014and I was vigilantly on the lookout for lasciviousness flaring up in any woman of any age who seemed even half willing to listen to me from behind her screen door\u2014I of necessity chose perfection of the work rather than the life, and by the end of each long day of canvassing had ten to twenty dollars in commissions to my credit and an unblemished future still before me. It was only a matter of weeks since I had relinquished this unhallowed life\u2014and the girl friend in the five-flight walkup, whom I no longer loved\u2014and, with the help of the distinguished New York editor, had been welcomed for the winter months as a communicant at the Quahsay Colony, the rural artists' retreat across the state line from Lonoff's mountain.\n\nFrom Quahsay I had sent Lonoff the literary quarterlies that had published my stories\u2014four so far\u2014along with a letter telling him how much he had meant to me when I came upon his work \"some years ago\" in college. In the same breath I mentioned coming upon his \"kinsmen\" Chekhov and Gogol, and went on to reveal in other unmistakable ways just how serious a literary fellow I was\u2014and, hand in hand with that, how young. But then nothing I had ever written put me in such a sweat as that letter. Everything undeniably true struck me as transparently false as soon as I wrote it down, and the greater the effort to be sincere, the worse it went. I finally sent him the tenth draft and then tried to stick my arm down the throat of the mailbox to extract it.\n\nI wasn't doing any better in the plain and cozy living room with my autobiography. Because I could not bring myself to utter even the mildest obscenity in front of Lonoff's early American mantelpiece, my imitation of Mr. McElroy\u2014a great favorite among my friends\u2014didn't really have much to recommend it. Nor could I speak easily of all McElroy had warned us against, or begin to mention how tempted I would have been to yield, if opportunity had only knocked. You would have thought, listening to my bowdlerized version of what was a tepid enough little life history, that rather than having received a warm and gracious letter from the famous writer inviting me to come and spend a pleasant evening in his house, I had made this journey to plead a matter of utmost personal urgency before the most stringent of inquisitors, and that if I made one wrong move, something of immeasurable value to me would be lost forever.\n\nWhich was pretty much the case, even if I didn't completely understand as yet how desperate I was for his recognition, and why. Far from being nonplused by my bashful, breathless delivery\u2014out of character though it was for me in those confident years\u2014I should have been surprised to find that I wasn't down on the hooked rug, supplicating at his feet. For I had come, you see, to submit myself for candidacy as nothing less than E. I. Lonoff's spiritual son, to petition for his moral sponsorship and to win, if I could, the magical protection of his advocacy and his love. Of course, I had a loving father of my own, whom I could ask the world of any day of the week, but my father was a foot doctor and not an artist, and lately we had been having serious trouble in the family because of a new story of mine. He was so bewildered by what I had written that he had gone running to his moral mentor, a certain Judge Leopold Wapter, to get the judge to get his son to see the light. As a result, after two decades of a more or less unbroken amiable conversation, we had not been speaking for nearly five weeks now, and I was off and away seeking patriarchal validation elsewhere.\n\nAnd not just from a father who was an artist instead of a foot doctor, but from the most famous literary ascetic in America, that giant of patience and fortitude and selflessness who, in the twenty-five years between his first book and his sixth (for which he was given a National Book Award that he quietly declined to accept), had virtually no readership or recognition, and invariably would be dismissed, if and when he was even mentioned, as some quaint remnant of the Old World ghetto, an out-of-step folklorist pathetically oblivious of the major currents of literature and society. Hardly anyone knew who he was or where actually he lived, and for a quarter of a century almost nobody cared. Even among his readers there had been some who thought that E. I. Lonoff's fantasies about Americans had been written in Yiddish somewhere inside czarist Russia before he supposedly died there (as, in fact, his father had nearly perished) from injuries suffered in a pogrom. What was so admirable to me was not only the tenacity that had kept him writing his own kind of stories all that time but that having been \"discovered\" and popularized, he refused all awards and degrees, declined membership in all honorary institutions, granted no public interviews, and chose not to be photographed, as though to associate his face with his fiction were a ridiculous irrelevancy.\n\nThe only photograph anyone in the reading public had ever seen was the watery sepia portrait which had appeared in 1927 on an inside jacket flap of It's Your Funeral: the handsome young artist with the lyrical almond eyes and the dark prow of a paramour's pompadour and the kissable, expressive underlip. So different was he now, not just because of jowls and a belly and the white-fringed, bald cranium but as a human type altogether, that I thought (once I began to be able to think) it had to be something more ruthless than time that accounted for the metamorphosis: it would have to be Lonoff himself. Other than the full, glossy eyebrows and the vaguely heavenward tilt of the willful chin, there was really nothing at all to identify him, at fifty-six, with the photo of the passionate, forlorn, shy Valentino who, in the decade lorded over by the young Hemingway and Fitzgerald, had written a collection of short stories about wandering Jews unlike anything written before by any Jew who had wandered into America.\n\nIn fact, my own first reading through Lonoff's canon\u2014as an orthodox college atheist and highbrow-in-training\u2014had done more to make me realize how much I was still my family's Jewish offspring than anything I had carried forward to the University of Chicago from childhood Hebrew lessons, or mother's kitchen, or the discussions I used to hear among my parents and our relatives about the perils of intermarriage, the problem of Santa Claus, and the injustice of medical-school quotas (quotas that, as I understood early on, accounted for my father's career in chiropody and his ardent lifelong support of the B'nai B'rith Anti-Defamation League). As a grade-school kid I could already debate these intricate issues with anyone (and did, when called upon); by the time I left for Chicago, however, my passion had been pretty well spent and I was as ready as an adolescent could be to fall headlong for Robert Hutchins' Humanities One. But then, along with tens of thousands of others, I discovered E. I. Lonoff, whose fiction seemed to me a response to the same burden of exclusion and confinement that still weighed upon the lives of those who had raised me, and that had informed our relentless household obsession with the status of the Jews. The pride inspired in my parents by the establishment in 1948 of a homeland in Palestine that would gather in the unmurdered remnant of European Jewry was, in fact, not so unlike what welled up in me when I first came upon Lonoff's thwarted, secretive, imprisoned souls, and realized that out of everything humbling from which my own striving, troubled father had labored to elevate us all, a literature of such dour wit and poignancy could be shamelessly conceived. To me it was as though the hallucinatory strains in Gogol had been filtered through the humane skepticism of Chekhov to nourish the country's first \"Russian\" writer. Or so I argued in the college essay where I \"analyzed\" Lonoff's style but kept to myself an explication of the feelings of kinship that his stories had revived in me for our own largely Americanized clan, moneyless immigrant shopkeepers to begin with, who'd carried on a shtetl life ten minutes' walk from the pillared banks and gargoyled insurance cathedrals of downtown Newark; and what is more, feelings of kinship for our pious, unknown ancestors, whose Galician tribulations had been only a little less foreign to me, while growing up securely in New Jersey, than Abraham's in the Land of Canaan. With his vaudevillian's feel for legend and landscape (a Chaplin, I said of Lonoff in my senior paper, who seized upon just the right prop to bring an entire society and its outlook to life); with his \"translated\" English to lend a mildly ironic flavor to even the most commonplace expression; with his cryptic, muted, dreamy resonance, the sense given by such little stories of saying so much\u2014well, I had proclaimed, who in American literature was like him?\n\nThe typical hero of a Lonoff story\u2014the hero who came to mean so much to bookish Americans in the mid-fifties, the hero who, some ten years after Hitler, seemed to say something new and wrenching to Gentiles about Jews, and to Jews about themselves, and to readers and writers of that recuperative decade generally about the ambiguities of prudence and the anxieties of disorder, about life-hunger, life-bargains, and life-terror in their most elementary manifestations\u2014Lonoff's hero is more often than not a nobody from nowhere, away from a home where he is not missed, yet to which he must return without delay. His celebrated blend of sympathy and pitilessness (monumentalized as \"Lonovian\" by Time\u2014after decades of ignoring him completely) is nowhere more stunning than in the stories where the bemused isolate steels himself to be carried away, only to discover that his meticulous thoughtfulness has caused him to wait a little too long to do anyone any good, or that acting with bold and uncharacteristic impetuosity, he has totally misjudged what had somehow managed to entice him out of his manageable existence, and as a result has made everything worse.\n\nThe grimmest, funniest, and most unsettling stories of all, where the pitiless author seems to me to teeter just at the edge of self-impalement, were written during the brief period of his literary glory (for he died in 1961 of a bone-marrow disease; and when Oswald shot Kennedy and the straitlaced bulwark gave way to the Gargantuan banana republic, his fiction, and the authority it granted to all that is prohibitive in life, began rapidly losing \"relevance\" for a new generation of readers). Rather than cheering him up, Lonoff's eminence seemed to strengthen his dourest imaginings, confirming for him visions of terminal restraint that might have seemed insufficiently supported by personal experience had the world denied him its rewards right down to the end. Only when a little of the coveted bounty was finally his for the asking\u2014only when it became altogether clear just how stupefyingly unsuited he was to have and to hold anything other than his art\u2014was he inspired to write that brilliant cycle of comic parables (the stories \"Revenge,\" \"Lice,\" \"Indiana,\" \"Eppes Essen,\" and \"Adman\") in which the tantalized hero does not move to act at all\u2014the tiniest impulse toward amplitude or self-surrender, let alone intrigue or adventure, peremptorily extinguished by the ruling triumvirate of Sanity, Responsibility, and Self-Respect, assisted handily by their devoted underlings: the timetable, the rainstorm, the headache, the busy signal, the traffic jam, and, most loyal of all, the last-minute doubt.\n\n* * *\n\nDid I sell any magazines other than Photoplay and Silver Screen? Did I use the same line at every door or adapt my sales pitch to the customer? How did I account for my success as a salesman? What did I think people were after who subscribed to these insipid magazines? Was the work boring? Did anything unusual ever happen while I was prowling neighborhoods I knew nothing about? How many crews like Mr. McElroy's were there in New Jersey? How could the company afford to pay me three dollars for each subscription I sold? Had I ever been to Hackensack? What was it like?\n\nIt was difficult to believe that what I was doing merely to support myself until I might begin to live as he did could possibly be of interest to E. I. Lonoff. He was a courteous man, obviously, and he was trying his best to put me at ease, but I was thinking, even as I gave my all to his cross-examination, that it wasn't going to be long before he came up with a way of getting rid of me before dinner.\n\n\"I wish I knew that much about selling magazines,\" he said.\n\nTo indicate that it was all right with me if I was being condescended to and that I would understand if I was soon asked to leave, I went red.\n\n\"I wish,\" he said, \"I knew that much about anything. I've written fantasy for thirty years. Nothing happens to me.\"\n\nIt was here that the striking girl-woman appeared before me\u2014just as he had aired, in faintly discernible tones of self-disgust, this incredible lament and I was trying to grasp it. Nothing happened to him? Why, genius had happened to him, art had happened to him, the man was a visionary!\n\nLonoff's wife, the white-haired woman who had instantly removed herself after letting me into the house, had pushed open the door of the study across the foyer from the living room, and there she was, hair dark and profuse, eyes pale\u2014gray or green\u2014and with a high prominent oval forehead that looked like Shakespeare's. She was seated on the carpet amid a pile of papers and folders, swathed in a \"New Look\" tweed skirt\u2014by now a very old, outmoded look in Manhattan\u2014and a large, loose-fitting, white wool sweater; her legs were drawn demurely up beneath the expanse of skirt and her gaze was fixed on something that was clearly elsewhere. Where had I seen that severe dark beauty before? Where but in a portrait by Vel\u00e1zquez? I remembered the 1927 photograph of Lonoff\u2014\"Spanish\" too in its way\u2014and immediately I assumed that she was his daughter. Immediately I assumed more than that. Mrs. Lonoff had not even set the tray down on the carpet beside her before I saw myself married to the infanta and living in a little farmhouse of our own not that far away. Only how old was she if Mama was feeding her cookies while she finished her homework on Daddy's floor? With that face, whose strong bones looked to me to have been worked into alignment by a less guileless sculptor than nature\u2014with that face she must be more than twelve. Though if not, I could wait. That idea appealed to me even more than the prospect of a marriage here in the living room in spring. Showed strength of character, I thought. But what would the famous father think? He of course wouldn't need to be reminded of the solid Old Testament precedent for waiting seven years before making Miss Lonoff my bride; on the other hand, how would he take it when he saw me hanging around outside her high school in my car?\n\nMeanwhile, he was saying to me, \"I turn sentences around. That's my life. I write a sentence and then I turn it around. Then I look at it and I turn it around again. Then I have lunch. Then I come back in and write another sentence. Then I have tea and turn the new sentence around. Then I read the two sentences over and turn them both around. Then I lie down on my sofa and think. Then I get up and throw them out and start from the beginning. And if I knock off from this routine for as long as a day, I'm frantic with boredom and a sense of waste. Sundays I have breakfast late and read the papers with Hope. Then we go for a walk in the hills, and I'm haunted by the loss of all that good time. I wake up Sunday mornings and I'm nearly crazy at the prospect of all those unusable hours. I'm restless, I'm bad-tempered, but she's a human being too, you see, so I go. To avoid trouble she makes me leave my watch at home. The result is that I look at my wrist instead. We're walking, she's talking, then I look at my wrist\u2014and that generally does it, if my foul mood hasn't already. She throws in the sponge and we come home. And at home what is there to distinguish Sunday from Thursday? I sit back down at my little Olivetti and start looking at sentences and turning them around. And I ask myself, Why is there no way but this for me to fill my hours?\"\n\nBy now Hope Lonoff had closed the study door and returned to her chores. Together Lonoff and I listened to her Mixmaster whirling in the kitchen. I didn't know what to say. The life he described sounded like paradise to me; that he could think to do nothing better with his time than turn sentences around seemed to me a blessing bestowed not only upon him but upon world literature. I wondered if perhaps I was supposed to be laughing, despite the deadpan delivery, at his description of his day, if it wasn't intended as mordant Lonovian comedy; though then again, if he meant it and was as depressed as he sounded, oughtn't I to remind him just who he was and how much he mattered to literate mankind? But how could he not know that?\n\nThe Mixmaster whirled and the fire popped and the wind blew and the trees groaned while I tried, at twenty-three, to think of how to dispel his gloom. His openness about himself, so at odds with his formal attire and his pedantic manner, had me as unnerved as anything else; it was hardly what I was accustomed to getting from people more than twice my age, even if what he said about himself was tinged with self-satire. Especially if it was tinged with self-satire.\n\n\"I wouldn't even try to write after my tea any more if I knew what to do with myself for the rest of the afternoon.\" He explained to me that by three o'clock he no longer had the strength or the determination or even the desire to go on. But what else was there? If he played the violin or the piano, then he might have had some serious activity other than reading to occupy him when he was not writing. The problem with just listening to music was that if he sat alone with a record in the afternoon, he soon found himself turning the sentences around in his head and eventually wound up back at his desk again, skeptically looking at his day's work. Of course, to his great good fortune, there was Athene College. He spoke with devotion of the students in the two classes that he taught there. The little Stockbridge school had made a place for him on the faculty some twenty years before the rest of the academic world suddenly became interested, and for that he would always be grateful. But in truth, after so many years of teaching these bright and lively young women, both he and they, he found, had begun to repeat themselves a little.\n\n\"Why not take a sabbatical?\" I was not a little thrilled, after all I had been through in my first fifteen minutes, to hear myself telling E. I. Lonoff how to live.\n\n\"I took a sabbatical. It was worse. We rented a flat in London for a year. Then I had every day to write. Plus Hope being miserable because I wouldn't stop to go around with her to look at the buildings. No\u2014no more sabbaticals. This way, at least two afternoons a week I have to stop, no questions asked. Besides, going to the college is the high point of my week. I carry a briefcase. I wear a hat. I nod hello to people on the stairway. I use a public toilet. Ask Hope. I come home reeling from the pandemonium.\"\n\n\"Are there no children\u2014of your own?\"\n\nThe phone began ringing in the kitchen. Ignoring it, he informed me that the youngest of their three children had graduated from Wellesley several years before; he and his wife had been alone together now for more than six years.\n\nSo the girl isn't his daughter. Who is she then, being served snacks by his wife on the floor of his study? His concubine? Ridiculous, the word, the very idea, but there it was obscuring all other reasonable and worthy thoughts. Among the rewards you got for being a great artist was the concubinage of Vel\u00e1zquez princesses and the awe of young men like me. I felt at a loss again, having such ignoble expectations in the presence of my literary conscience\u2014though weren't they just the kind of ignoble expectations that troubled the masters of renunciation in so many of Lonoff's short stories? Really, who knew better than E. I. Lonoff that it is not our high purposes alone that make us moving creatures, but our humble needs and cravings? Nonetheless, it seemed to me a good idea to keep my humble needs and cravings to myself.\n\nThe kitchen door opened a few inches and his wife said softly, \"For you.\"\n\n\"Who is it? Not the genius again.\"\n\n\"Would I have said you were here?\"\n\n\"You have to learn to tell people no. People like that make fifty calls a day. Inspiration strikes and they go for the phone.\"\n\n\"It's not him.\"\n\n\"He has the right wrong opinion on everything. A head full of ideas, every one of them stupid. Why does he hit me when he talks? Why must he understand everything? Stop fixing me up with intellectuals. I don't think fast enough.\"\n\n\"I've said I was sorry. And it's not him.\"\n\n\"Who is it?\"\n\n\"Willis.\"\n\n\"Hope, I'm talking to Nathan here.\"\n\n\"I'm sorry. I'll tell him you're working.\"\n\n\"Don't use work as an excuse. I don't buy that.\"\n\n\"I can tell him you have a guest.\"\n\n\"Please,\" I said, meaning I was no one, not even a guest.\n\n\"All that wonder,\" said Lonoff to his wife. \"Always so greatly moved. Always on the brink of tears. What is he so compassionate about all the time?\"\n\n\"You,\" she said.\n\n\"All that sensitivity. Why does anybody want to be so sensitive?\"\n\n\"He admires you,\" she said.\n\nButtoning his jacket, Lonoff rose to take the unwanted call. \"Either it's the professional innocents,\" he explained to me, \"or the deep thinkers.\"\n\nI extended my sympathy with a shrug, wondering, of course, if my letter hadn't qualified me in both categories. Then I wondered again about the girl behind the study door. Does she live at the college or is she here with the Lonoffs on a visit from Spain? Would she ever be coming out of that study? If not, how do I go in? If not, how can I arrange to see her again by myself?\n\nI must see you again.\n\nI opened a magazine, the better to dispel my insidious daydreams and wait there like a thoughtful man of letters. Leafing through the pages, I came across an article about the Algerian political situation and another about the television industry, both of which had been underlined throughout. Read in sequence, the underlinings formed a perfect precis of each piece and would have served a schoolchild as excellent preparation for a report to his current-events class.\n\nWhen Lonoff emerged\u2014in under a minute\u2014from the kitchen, he immediately undertook to explain about the Harper's in my hand. \"My mind strays,\" he told me, rather as though I were a physician who had stopped by to ask about his strange and troubling new symptoms. \"At the end of the page I try to summarize to myself what I've read and my mind is a blank\u2014I've been sitting in my chair doing nothing. Of course, I have always read books with pen in hand, but now I find that if I don't, even while reading magazines, my attention is not on what's in front of me.\"\n\nHere she appeared again. But what had seemed from a distance like beauty, pure and severe and simple, was more of a puzzle up close. When she crossed the foyer into the living room\u2014entering just as Lonoff had ended his fastidious description of the disquieting affliction that came over him when he read magazines\u2014I saw that the striking head had been conceived on a much grander and more ambitious scale than the torso. The bulky sweater and the pounds and pounds of tweed skirt did much, of course, to obscure the little of her there was, but mostly it was the drama of that face, combined with the softness and intelligence in her large pale eyes, that rendered all other physical attributes (excluding the heavy, curling hair) blurry and inconsequential. Admittedly, the rich calm of those eyes would have been enough to make me wilt with shyness, but that I couldn't return her gaze directly had also to do with this unharmonious relation between body and skull, and its implication, to me, of some early misfortune, of something vital lost or beaten down, and, by way of compensation, something vastly overdone. I thought of a trapped chick that could not get more than its beaked skull out of the encircling shell. I thought of those macro-cephalic boulders the Easter Island heads. I thought of febrile patients on the verandas of Swiss sanatoria imbibing the magic-mountain air. But let me not exaggerate the pathos and originality of my impressions, especially as they were subsumed soon enough in my unoriginal and irrepressible preoccupation: mostly I thought of the triumph it would be to kiss that face, and the excitement of her kissing me back.\n\n\"Done,\" she announced to Lonoff, \"for now.\"\n\nHis look of wistful solicitude made me wonder if she could be his granddaughter. All at once he seemed the most approachable of men, relieved of every care and burden. Perhaps, I thought\u2014still trying to explain some oddness in her that I couldn't identify\u2014she is the child of a daughter of his own who is dead.\n\n\"This is Mr. Zuckerman, the short-story writer,\" he said, teasing sweetly, like my grandfather now. \"I gave you his collected works to read.\"\n\nI rose and shook her hand.\n\n\"This is Miss Bellette. She was once a student here. She has been staying with us for a few days, and has taken it upon herself to begin sorting through my manuscripts. There is a movement afoot to persuade me to deposit with Harvard University the pieces of paper on which I turn my sentences around. Amy works for the Harvard library. The Athene library has just extended her an exceptional offer, but she tells us she is tied to her life in Cambridge. Meanwhile, she has cunningly been using the visit to try to persuade me\u2014\"\n\n\"No, no, no,\" she said emphatically. \"If you see it that way, my cause is doomed.\" As if she hadn't charm enough, Miss Bellette's speech was made melodious by a faint foreign accent. \"The maestro,\" she explained, turning my way, \"is by temperament counter-suggestible.\"\n\n\"And counter that,\" he moaned, registering a mild protest against the psychological lingo.\n\n\"I've just found twenty-seven drafts of a single short story,\" she told me.\n\n\"Which story?\" I asked eagerly.\n\n\"'Life Is Embarrassing.'\"\n\n\"To get it wrong,\" said Lonoff, \"so many times.\"\n\n\"They ought to construct a monument to your patience,\" she told him.\n\nHe gestured vaguely toward the crescent of plumpness buttoned in beneath his jacket. \"They have.\"\n\n\"In class,\" she said, \"he used to tell the writing students, 'There is no life without patience.' None of us knew what he was talking about.\"\n\n\"You knew. You had to know. My dear young lady, I learned that from watching you.\"\n\n\"But I can't wait for anything,\" she said.\n\n\"But you do.\"\n\n\"Bursting with frustration all the while.\"\n\n\"If you weren't bursting,\" her teacher informed her, \"you wouldn't need patience.\"\n\nAt the hall closet she stepped out of the loafers she'd worn into the living room and slipped on white woolen socks and a pair of red snow boots. Then from a hanger she took down a plaid hooded jacket, into whose sleeve was tucked a white wool cap with a long tassel that ended in a fluffy white ball. Having seen her only seconds before banter so easily with the celebrated writer\u2014having myself felt ever so slightly drawn into the inner circle by her easy, confident way with him\u2014I was surprised by the childish hat. The costume, now that she had it on, seemed like a little girl's. That she could act so wise and dress up so young mystified me.\n\nAlong with Lonoff I stood in the open doorway waving goodbye. I was now in awe of two people in this house.\n\nThere was still more wind than snow, but in Lonoff's orchard the light had all but seeped away, and the sound of what was on its way was menacing. Two dozen wild old apple trees stood as first barrier between the bleak unpaved road and the farmhouse. Next came a thick green growth of rhododendron, then a wide stone wall fallen in like a worn molar at the center, then some fifty feet of snow-crusted lawn, and finally, drawn up close to the house and protectively overhanging the shingles, three maples that looked from their size to be as old as New England. In back, the house gave way to unprotected fields, drifted over since the first December blizzards. From there the wooded hills began their impressive rise, undulating forest swells that just kept climbing into the next state. My guess was that it would take even the fiercest Hun the better part of a winter to cross the glacial waterfalls and wind-blasted woods of those mountain wilds before he was able to reach the open edge of Lonoff's hayfields, rush the rear storm door of the house, crash through into the study, and, with spiked bludgeon wheeling high in the air above the little Olivetti, cry out in a roaring voice to the writer tapping out his twenty-seventh draft, \"You must change your life!\" And even he might lose heart and turn back to the bosom of his barbarian family should he approach those black Massachusetts hills on a night like this, with the cocktail hour at hand and yet another snowstorm arriving from Ultima Thule. No, for the moment, at least, Lonoff seemed really to have nothing to worry about from the outside world.\n\nWe watched from the front step until Lonoff was sure that she had cleared both the windshield and rear window; snow had already begun adhering to the icy glass. \"Drive very slowly,\" he called. To get into the diminutive green Renault she had to hike up a handful of long skirt. Above the snow boots I saw an inch of flesh, and quickly looked elsewhere so as not to be found out.\n\n\"Yes, be careful,\" I called to her, in the guise of Mr. Zuckerman the short-story writer. \"It's slippery, it's deceptive.\"\n\n\"She has a remarkable prose style,\" Lonoff said to me when we were back inside the house. \"The best student writing I've ever read. Wonderful clarity. Wonderful comedy. Tremendous intelligence. She wrote stories about the college which capture the place in a sentence. Everything she sees, she takes hold of. And a lovely pianist. She can play Chopin with great charm. She used to practice on our daughter's piano when she first came to Athene. That was something I looked forward to at the end of the day.\"\n\n\"She seems to be quite a girl,\" I said thoughtfully. \"Where is she from originally?\"\n\n\"She came to us from England.\"\n\n\"But the accent...?\"\n\n\"That,\" he allowed, \"is from the country of Fetching.\"\n\n\"I agree,\" I dared to say, and thought: Enough shyness then, enough boyish uncertainty and tongue-tied deference. This, after all, is the author of \"Life Is Embarrassing\"\u2014if he doesn't know the score, who does?\n\nStanding by the fire, the two of us warming ourselves, I turned to Lonoff and said, \"I don't think I could keep my wits about me, teaching at a school with such beautiful and gifted and fetching girls.\"\n\nTo which he replied flatly, \"Then you shouldn't do it.\"\n\n* * *\n\nA surprise\u2014yes, yet another\u2014awaited me when we sat down to dinner. Lonoff uncorked a bottle of Chianti that had been waiting for us on the table and proposed a toast. Signaling his wife to raise her glass along with his, he said, \"To a wonderful new writer.\"\n\nWell, that loosened me up. Excitedly, I began talking about my month at Quahsay, how much I loved the serenity and beauty of the place, how I loved walking the trails there at the end of the day and reading in my room at night\u2014rereading Lonoff of late, but that I kept to myself. From his toast it was obvious that I had not lost as much ground as I feared by confessing to the lure of clever, pretty college girls, and I did not want to risk offending him anew by seeming to fawn. The fawning, supersensitive Willis, I remembered, had been given less than sixty seconds on the phone.\n\nI told the Lonoffs about the joy of awakening each morning knowing there were all those empty hours ahead to be filled only with work. Never as a student or a soldier or a door-to-door salesman did I have regular stretches of uninterrupted time to devote to writing, nor had I ever lived before in such quiet and seclusion, or with my few basic needs so unobtrusively satisfied as they were by the Quahsay housekeeping staff. It all seemed to me a marvelous, a miraculous gift. Just a few evenings before, after a day-long snowstorm, I had accompanied the Colony handyman when he set out after dinner on the snowplow to clear the trails that twisted for miles through the Quahsay woods. I described for the Lonoffs my exhilaration at watching the snow crest in the headlights of the truck and then fall away into the forest; the bite of the cold and the smack of the tire chains had seemed to me all I could ever want at the end of a long day at my Olivetti. I supposed I was being professionally innocent despite myself, but I couldn't stop going on about my hours on the snowplow after the hours at my desk: it wasn't just that I wanted to convince Lonoff of my pure and incorruptible spirit\u2014my problem was that I wanted to believe it myself. My problem was that I wanted to be wholly worthy of his thrilling toast. \"I could live like that forever,\" I announced.\n\n\"Don't try it,\" he said. \"If your life consists of reading and writing and looking at the snow, you'll wind up like me. Fantasy for thirty years.\"\n\nLonoff made \"Fantasy\" sound like a breakfast cereal.\n\nHere for the first time his wife spoke up\u2014though given the self-effacing delivery, \"spoke down\" would be more exact. She was a smallish woman with gentle gray eyes and soft white hair and a multitude of fine lines crisscrossing her pale skin. Though she could well have been, as the amused literati had it, Lonoff's \"high-born Yankee heiress\"\u2014and an excellent example of the species at its most maidenly\u2014what she looked like now was some frontier survivor, the wife of a New England farmer who long ago rode out of these mountains to make a new start in the West. To me the lined face and the shadowy, timorous manner bore witness to a grinding history of agonized childbearing and escapes from the Indians, of famine and fevers and wagon-train austerities\u2014I just couldn't believe that she could look so worn down from living alongside E. I. Lonoff while he wrote short stories for thirty years. I was to learn later that aside from two terms at a Boston art school and a few months in New York\u2014and the year in London trying to get Lonoff to Westminster Abbey\u2014Hope had strayed no farther than had the locally prominent lawyers and clergymen who were her forebears, and whose legacy by now came to nothing more tangible than one of the Berkshires' \"best\" names and the house that went with it.\n\nShe had met Lonoff when he came at the age of seventeen to work for a chicken farmer in Lenox. He himself had been raised just outside Boston, though until he was five lived in Russia. After his father, a jeweler, nearly died from injuries suffered in the Zhitomir pogrom, Lonoff's parents emigrated to primitive Palestine. There typhus carried them both away, and their son was cared for by family friends in a Jewish farming settlement. At seven he was shipped alone from Jaffa to wealthy relatives of his father's in Brookline; at seventeen he chose vagabondage over college at the relatives' expense; and then at twenty he chose Hope\u2014the rootless Levantine Valentino taking as his mate a cultivated young provincial woman, bound to the finer things by breeding and temperament, and to a settled place by old granite gravestones, church-meetinghouse plaques, and a long mountain road bearing the name Whittlesey: somebody from somewhere, for all the good that was to do him.\n\nDespite everything that gave Hope Lonoff the obedient air of an aging geisha when she dared to speak or to move, I still wondered if she was not going to remind him that his life had consisted of something more than reading and writing and looking at snow: it had also consisted of her and the children. But there was not the hint of a reprimand in her unchallenging voice when she said, \"You shouldn't express such a low opinion of your achievement. It's not becoming.\" Even more delicately, she added, \"And it's not true.\"\n\nLonoff lifted his chin. \"I was not measuring my achievement. I have neither too high nor too low an estimate of my work. I believe I know exactly wherein my value and originality lie. I know where I can go and just how far, without making a mockery of the thing we all love. I was only suggesting\u2014surmising is more like it\u2014that an unruly personal life will probably better serve a writer like Nathan than walking in the woods and startling the deer. His work has turbulence\u2014that should be nourished, and not in the woods. All I was trying to say is that he oughtn't to stifle what is clearly his gift.\"\n\n\"I'm sorry,\" replied his wife. \"I didn't understand. I thought you were expressing distaste for your own work.\" \"Work\" she pronounced in the accent of her region, without the \"r.\"\n\n\"I was expressing distaste,\" said Lonoff, employing that pedantic tone he'd taken with Amy on the subject of her patience, and with me, describing his light-reading problem, \"but not for the work. I was expressing distaste for the range of my imagination.\"\n\nWith a self-effacing smile designed to atone on the spot for her audacity, Hope said, \"Your imagination or your experience?\"\n\n\"I long ago gave up illusions about myself and experience.\"\n\nShe pretended to be brushing the crumbs from around the bread board, that and no more\u2014while with unforeseen, somewhat inexplicable insistence, she softly confessed, \"I never quite know what that means.\"\n\n\"It means I know who I am. I know the kind of man I am and the kind of writer. I have my own kind of bravery, and please, let's leave it at that.\"\n\nShe decided to. I remembered my food and began to eat again.\n\n\"Do you have a girl friend?\" Lonoff asked me.\n\nI explained the situation\u2014to the extent that I was willing to.\n\nBetsy had found out about me and a girl she had known since ballet school. The two of us had kissed over a glass of Gallo in the kitchen, playfully she had shown me the tip of her wine-stained tongue, and I, quick to take heart, had pulled her out of her chair and down beside the sink. This took place one evening when Betsy was off dancing at the City Center and the friend had stopped by to pick up a record and investigate a flirtation we'd begun some months earlier, when Betsy was away touring with the company. On my knees, I struggled to unclothe her; not resisting all that strenuously, she, on her knees, told me what a bastard I was to be doing this to Betsy. I refrained from suggesting that she might be less than honorable herself; trading insults while in heat wasn't my brand of aphrodisia, and I was afraid of a fiasco if I should try it and get carried away. So, shouldering the burden of perfidy for two, I pinned her pelvis to the kitchen linoleum, while she continued, through moist smiling lips, to inform me of my character flaws. I was then at the stage of my erotic development when nothing excited me as much as having intercourse on the floor.\n\nBetsy was a romantic, excitable, high-strung girl who could be left quivering by the backfire of a car\u2014so when the friend intimated over the phone to her a few days later that I wasn't to be trusted, it nearly destroyed her. It was a bad time for her, anyway. Yet another of her rivals had been cast as a cygnet in Swan Lake, and so, four years after having been enlisted by Balanchine as a seventeen-year-old of great promise, she had yet to rise out of the corps and it didn't look to her now as though she ever would. And how she worked to be the best! Her art was everything, a point of view no less beguiling to me than the large painted gypsy-girl eyes and the small unpainted she-monkey face, and those elegant, charming tableaux she could achieve, even when engaged in something so aesthetically unpromising as, half asleep in the middle of the night, taking a lonely pee in my bathroom. When we were first introduced in New York, I knew nothing about ballet and had never seen a real dancer on the stage, let alone off. An Army friend who'd grown up next door to Betsy in Riverdale had gotten us tickets for a Tchaikovsky extravaganza and then arranged for a girl who was dancing in it to have coffee with us around the corner from the City Center that afternoon. Fresh from rehearsal and enchantingly full of herself, Betsy amused us by recounting the horrors of her self-sacrificing vocation\u2014a cross, as she described it, between the life of a boxer and the life of a nun. And the worrying! She had begun studying at the age of eight and had been worrying ever since about her height and her weight and her ears and her rivals and her injuries and her chances\u2014right now she was in absolute terror about tonight. I myself couldn't see that she had reason to be anxious about anything (least of all those ears), so entranced was I already by the dedication and the glamour. At the theater I unfortunately couldn't remember\u2014once the music had begun and dozens of dancers rushed on stage\u2014whether earlier she had told us that she was one of the girls in lavender with a pink flower in their hair or one of the girls in pink with a lavender flower in their hair, and so I spent most of the evening just trying to find her. Each time I thought that the legs and arms I was watching were Betsy's, I became so elated I wanted to cheer\u2014but then another pack of ten came streaking across the stage and I thought, No, there, that's her.\n\n\"You were wonderful,\" I told her afterward. \"Yes? Did you like my little solo? It's not actually a solo\u2014it lasts only about fifteen seconds. But I do think it's awfully charming.\" \"Oh, I thought it was terrific,\" I said, \"it seemed like more than fifteen seconds to me.\"\n\nA year later our artistic and amatory alliance came to an end when I confessed that the mutual friend had not been the first girl to be dragged onto the floor while Betsy was safely off dancing her heart out and I had nighttime hours with nothing to do and nobody to stop me. I had been at this for some time now and, I admitted, it was no way to be treating her. Bold honesty, of course, produced far more terrible results than if I had only confessed to seducing the wily seductress and left it at that; nobody had asked me about anybody else. But carried away by the idea that if I were a perfidious brute, I at least would be a truthful perfidious brute, I was crueler than was either necessary or intended. In a fit of penitential gloom, I fled from New York to Quahsay, where eventually I managed to absolve myself of the sin of lust and the crime of betrayal by watching from behind the blade of the snowplow as it cleared the Colony roads for my solitary and euphoric walks\u2014walks during which I did not hesitate to embrace trees and kneel down and kiss the glistening snow, so bursting was I with a sense of gratitude and freedom and renewal.\n\nOf all this, I told the Lonoffs only the charming part about how we had met and also that now, sadly, my girl friend and I were trying a temporary separation. Otherwise, I portrayed her in such uxorious detail that, along with the unnerving sense that I might be laying it on a little thick for this old married couple, I wound up in wonder at the idiot I had been to relinquish her love. Describing all her sterling qualities, I had, in fact, brought myself nearly to the point of grief, as though instead of wailing with pain and telling me to leave and never come back, the unhappy dancer had died in my arms on our wedding day.\n\nHope Lonoff said, \"I knew that she was a dancer from the Saturday Review.\"\n\nThe Saturday Review had published an article on America's young, unknown writers, photographs and thumbnail sketches of \"A Dozen to Keep Your Eye On,\" selected by the editors of the major literary quarterlies. I had been photographed playing with Nijinsky, our cat. I had confessed to the interviewer that my \"friend\" was with the New York City Ballet, and when asked to name the three living writers I admired most, I had listed E. I. Lonoff first.\n\nI was disturbed now to think that this must have been the first Lonoff had heard of me\u2014though, admittedly, while answering the interviewer's impossible questions, I had been hoping that my comment might bring my work to his attention. The morning the magazine appeared on the newsstands I must have read the bit about \"N. Zuckerman\" fifty times over. I tried to put in my self-prescribed six hours at the typewriter but got nowhere, what with picking up the article and looking at my picture every five minutes. I don't know what I expected to see revealed there\u2014the future probably, the titles of my first ten books\u2014but I do remember thinking that this photograph of an intense and serious young writer playing so gently with a kitty cat, and said to be living in a five-flight Village walk-up with a young ballerina, might inspire any number of thrilling women to want to try to take her place.\n\n\"I would never have allowed that to appear,\" I said, \"if I had realized how it was all going to come out. They interviewed me for an hour and then what they used of what I said was nonsense.\"\n\n\"Don't apologize,\" said Lonoff.\n\n\"Don't indeed,\" said his wife, smiling at me. \"What's wrong with having your picture in the paper?\"\n\n\"I didn't mean the picture\u2014though that, too. I never knew they were going to use the one of me with the cat. I expected they'd use the one at the typewriter. I should have realized they couldn't show everybody at a typewriter. The girl who came around to take the pictures\"\u2014and whom I had tried unsuccessfully to throw onto the floor\u2014\"said she'd just take the picture of the cat for Betsy and me.\"\n\n\"Don't apologize,\" Lonoff repeated, \"unless you know for sure you're not going to do it again next time. Otherwise, just do it and forget it. Don't make a production out of it.\"\n\nHope said, \"He only means he understands, Nathan. He has the highest respect for what you are. We don't have visitors unless they're people Manny respects. He has no tolerance for people without substance.\"\n\n\"Enough,\" said Lonoff.\n\n\"I just don't want Nathan to resent you for superiority feelings you don't have.\"\n\n\"My wife would have been happier with a less exacting companion.\"\n\n\"But you are less exacting,\" she said, \"with everyone but yourself. Nathan, you don't have to defend yourself. Why shouldn't you enjoy your first bit of recognition? Who deserves it more than a gifted young man like yourself? Think of all the worthless people held up for our esteem every day: movie stars, politicians, athletes. Because you happen to be a writer doesn't mean you have to deny yourself the ordinary human pleasure of being praised and applauded.\"\n\n\"Ordinary human pleasures have nothing to do with it. Ordinary human pleasures be damned. The young man wants to be an artist.\"\n\n\"Sweetheart,\" she replied, \"you must sound to Nathan so\u2014so unyielding. And you're really not that way at all. You're the most forgiving and understanding and modest person I have ever known. Too modest.\"\n\n\"Let's forget how I sound and have dessert.\"\n\n\"But you are the kindest person. He is, Nathan. You've met Amy, haven't you?\"\n\n\"Miss Bellette?\"\n\n\"Do you know all he's done for her? She wrote him a letter when she was sixteen years old. In care of his publisher. The most charming, lively letter\u2014so daring, so brash. She told him her story, and instead of forgetting it, he wrote her back. He has always written people back\u2014a polite note even to the fools.\"\n\n\"What was her story?\" I asked.\n\n\"Displaced,\" said Lonoff. \"Refugee.\" That seemed to him to suffice, though not to the wagon-train wife, who surprised me now by the way that she pressed on. Was it the little bit of wine that had gone to her head? Or was there not something seething in her?\n\n\"She said she was a highly intelligent, creative, and charming sixteen-year-old who was now living with a not very intelligent, creative, or charming family in Bristol, England. She even included her IQ,\" Hope said. \"No, no, that was the second letter. Anyway, she said she wanted a new start in life and she thought the man whose wonderful story she'd read in her school anthology\u2014\"\n\n\"It wasn't an anthology, but you might as well keep going.\"\n\nHope tried her luck with a self-effacing smile, but the wattage was awfully dim. \"I think I can talk about this without help. I'm only relating the facts, and calmly enough, I had thought. Because the story was in a magazine, and not in an anthology, doesn't mean that I have lost control of myself. Furthermore, Amy is not the subject, not by any means. The subject is your extraordinary kindness and charity. Your concern for anyone in need\u2014anyone except yourself, and your needs.\"\n\n\"Only my 'self,' as you like to call it, happens not to exist in the everyday sense of the word. Consequently, you may stop lavishing praise upon it. And worrying about its 'needs.'\"\n\n\"But your self does exist. It has a perfect right to exist\u2014and in the everyday sense!\"\n\n\"Enough,\" he suggested again.\n\nWith that, she rose to begin to clear the dishes for dessert, and all at once a wineglass struck the wall. Hope had thrown it. \"Chuck me out,\" she cried, \"I want you to chuck me out. Don't tell me you can't, because you must! I want you to! I'll finish the dishes, then chuck me out, tonight! I beg of you\u2014I'd rather live and die alone, I'd rather endure that than another moment of your bravery! I cannot take any more moral fiber in the face of life's disappointments! Not yours and not mine! I cannot bear having a loyal, dignified husband who has no illusions about himself one second more!\"\n\nMy heart, of course, was pounding away, though not entirely because the sound of glass breaking and the sight of a disappointed woman, miserably weeping, was new to me. It was about a month old. On our last morning together Betsy had broken every dish of the pretty little Bloomingdale's set that we owned in common, and then, while I hesitated about leaving my apartment without making my position clear, she started in on the glassware. The hatred for me I had inspired by telling the whole truth had me particularly confused. If only I had lied, I thought\u2014if only I had said that the friend who had intimated I might not be trustworthy was a troublemaking bitch, jealous of Betsy's success and not a little crazy, none of this would be happening. But then, if I had lied to her, I would have lied to her. Except that what I would have said about the friend would in essence have been true! I didn't get it. Nor did Betsy when I tried to calm her down and explain what a swell fellow I actually was to have been so candid about it all. It was here, in fact, that she set about destroying the slender drinking glasses, a set of six from Sweden that we had bought to replace the jelly jars on a joyous quasi-connubial outing some months earlier at Bonniers (bought along with the handsome Scandinavian throw rug onto which, in due course, I had tried to drag the photographer from the Saturday Review).\n\nHope Lonoff had now slumped back into her chair, the better to plead with her husband across the table. Her face was patched with blotches where she had been digging at the soft, creased skin in a fit of self-abasement. The frantic, agitated movement of her fingers alarmed me more even than the misery in her voice, and I wondered if I shouldn't reach over and pick up the serving fork from the table before she turned the prongs into her bosom and gave Lonoff's \"self\" the freedom to pursue what she thought it needed. But as I was only a guest\u2014as I was \"only\" just about anything you could think of\u2014I left all cutlery where it was and waited for the worst.\n\n\"Take her, Manny. If you want her, take her,\" she cried, \"and then you won't be so miserable, and everything in the world won't be so bleak. She's not a student any more\u2014she's a woman! You are entitled to her\u2014you rescued her from oblivion, you are more than entitled: it's the only thing that makes sense! Tell her to accept that job, tell her to stay! She should! And I'll move away! Because I cannot live another moment as your jailer! Your nobility is eating away the last thing that is left! You are a monument and can take it and take it\u2014but I'm down to nothing, darling, and I can't. Chuck me out! Please, now, before your goodness and your wisdom kill us both!\"\n\n* * *\n\nLonoff and I sat talking together in the living room after dinner, each sipping with admirable temperance at the tablespoonful of cognac he had divided between two large snifters. I had so far experienced brandy only as a stopgap household remedy for toothache: a piece of absorbent cotton, soaked in the stuff, would be pressed against my throbbing gum until my parents could get me to the dentist. I accepted Lonoff's offer, however, as though it accorded with my oldest post-prandial custom. The comedy thickened when my host, another big drinker, went to look for the right glasses. After a systematic search he finally found them at the rear of the bottom cabinet in the foyer breakfront. \"A gift,\" he explained, \"I thought they were still in the box,\" and took two into the kitchen to wash away dust that seemed to have been accumulating since the time of Napoleon, whose name was on the sealed brandy bottle. While he was at it he decided to wash the four other glasses in the set, and put them back in hiding in the breakfront before rejoining me to begin our merrymaking at the hearth.\n\nNot much later\u2014in all, maybe twenty minutes after he had refused to respond in any way to her plea to be replaced by Amy Bellette\u2014Hope could be heard in the kitchen, washing the dishes that Lonoff and I had silently cleared from the table following her departure. She seemed to have gotten down from their bedroom by a back stairway\u2014probably so as not to disturb our conversation.\n\nWhile helping him to clear up, I had not known what to do about her broken wineglass or about the saucer she inadvertently had knocked to the floor when she rushed from the table. My duty as ingenue was clearly to spare the stout man in the business suit from bending over, especially as he was E. I. Lonoff; on the other hand, I was still trying to get through by pretending that nothing shocking had happened in my presence. To keep the tantrum in perspective, he might even prefer that the broken bits be left where they were for Hope to clean up later, provided she did not first commit suicide in their room.\n\nEven as my sense of moral niceties and my youthful cowardice battled it out with my na\u00efvet\u00e9, Lonoff, groaning slightly from the effort, brushed the glass into a dustpan and retrieved the saucer from beneath the dining table. It had broken neatly in two, and after inspecting the edges he observed, \"She can glue it.\"\n\nIn the kitchen he left the dish for her to repair on a long wooden counter where pink and white geraniums were growing in clay pots beneath the windows. The kitchen was a bright, pretty room, a little cheerier and livelier looking than the rest of the house. Besides the geraniums flowering abundantly here even in winter, tall reeds and dried flowers were stuck all about in pitchers and vases and little odd-shaped bottles. The windowed wall cupboards were bright and homey and reassuring: food staples labeled with unimpeachable brand names\u2014enough Bumble Bee tuna for an Eskimo family to survive on in their igloo till spring\u2014and jars of tomatoes, beans, pears, crabapples, and the like, which seemed to have been put up by Hope herself. Pots and pans with shining copper bottoms hung in rows from a pegboard beside the stove, and along the wall above the breakfast table were half a dozen pictures in plain wooden frames, which turned out to be short nature poems signed \"H.L.,\" copied in delicate calligraphy and decorated with watercolor designs. It did indeed look to be the headquarters of a woman who, in her own unostentatious way, could glue anything and do anything, except figure out how to make her husband happy.\n\nWe talked about literature and I was in heaven\u2014also in a sweat from the spotlight he was giving me to bask in. Every book new to me I was sure he must have annotated with his reading pen long ago, yet his interest was pointedly in hearing my thoughts, not his own. The effect of his concentrated attention was to make me heap insight onto precocious insight, and then to hang upon his every sigh and grimace, investing what was only a little bout of after-dinner dyspepsia with the direst implications about my taste and my intelligence. Though I worried that I was trying too hard to sound like the kind of deep thinker for whom he had no love, I still couldn't stop myself, under the spell now not just of the man and his accomplishment but of the warm wood fire, of the brandy snifter balanced in my hand (if not yet the brandy), and of the snow falling heavily beyond the cushioned window-seats, as dependably beautiful and mystifying as ever. Then there were the great novelists, whose spellbinding names I chanted as I laid my cross-cultural comparisons and brand-new eclectic enthusiasms at his feet\u2014Zuckerman, with Lonoff, discussing Kafka: I couldn't quite get it, let alone get over it. And then there was his dinner-table toast. It still gave me a temperature of a hundred and five each time I remembered it. To myself I swore that I would struggle for the rest of my life to deserve it. And wasn't that why he'd proposed it, this pitiless new master of mine?\n\n\"I've just finished reading Isaac Babel,\" I told him.\n\nHe considered this, impassively.\n\n\"I was thinking, for sport more or less, that he is the missing link; those stories are what connect you, if you don't mind my mentioning your work\u2014\"\n\nHe crossed his hands on his belly and rested them there, movement enough to make me say, \"I'm sorry.\"\n\n\"Go ahead. Connected to Babel. How?\"\n\n\"Well, 'connected' of course isn't the right word. Neither is 'influence.' It's family resemblance that I'm talking about. It's as though, as I see it, you are Babel's American cousin\u2014and Felix Abravanel is the other. You through 'The Sin of Jesus' and something in Red Cavalry, through the ironical dreaming and the blunt reporting, and, of course, through the writing itself. Do you see what I mean? There's a sentence in one of his war stories: 'Voroshilov combed his horse's mane with his Mauser.' Well, that's just the kind of thing that you do, a stunning little picture in every line. Babel said that if he ever wrote his autobiography he'd call it The Story of an Adjective. Well, if it were possible to imagine you writing your autobiography\u2014if such a thing were even imaginable\u2014you might come up with that title too. No?\"\n\n\"And Abravanel?\"\n\n\"Oh, with Abravanel it's Benya Krik and the Odessa mob: the gloating, the gangsters, all those gigantic types. It isn't that he throws in his sympathy with the brutes\u2014it isn't that in Babel, either. It's their awe of them. Even when they're appalled, they're in awe. Deep reflective Jews a little lovesick at the sound of all that un-Talmudic bone crunching. Sensitive Jewish sages, as Babel says, dying to climb trees.\"\n\n\"'In my childhood I led the life of a sage, when I grew up I started climbing trees.'\"\n\n\"Yes, that's the line,\" said I, expecting no less but still impressed. On I went. \"Look at Abravanel's Properly Scalded. Movie moguls, union moguls, racketeer moguls, women who are moguls just with their breasts\u2014even the down and out bums who used to be moguls, talking like moguls of the down and out. It's Babel's fascination with big-time Jews, with conscienceless Cossacks, with everybody who has it his own way. The Will as the Big Idea. Except Babel doesn't come off so lovable and enormous himself. That's not how he sees things. He is a sort of Abravanel with the self-absorption drained away. And if you drain away enough, well, in the end you arrive at Lonoff.\"\n\n\"And what about you?\"\n\n\"Me?\"\n\n\"Yes. You haven't finished. Aren't you a New World cousin in the Babel clan, too? What is Zuckerman in all of this?\"\n\n\"Why\u2014nothing. I've only published the four stories that I sent you. My relationship is nonexistent. I think I'm still at the point where my relationship to my own work is practically nonexistent.\"\n\nSo I said, and quickly reached for my glass so as to duck my disingenuous face and take a bitter drop of brandy on my tongue. But Lonoff had read my designing mind, all right; for when I came upon Babel's description of the Jewish writer as a man with autumn in his heart and spectacles on his nose, I had been inspired to add, \"and blood in his penis,\" and had then recorded the words like a challenge\u2014a flaming Dedalian formula to ignite my soul's smithy.\n\n\"What else?\" Lonoff asked. \"Come on, don't get bashful. This is enjoyable. Talk, please.\"\n\n\"About\u2014?\"\n\n\"All these books you read.\"\n\n\"Your books included or excluded?\" I asked him.\n\n\"Suit yourself.\"\n\nI said, \"I think of you as the Jew who got away.\"\n\n\"And does that help?\"\n\n\"There's some truth in it, isn't there? You got away from Russia and the pogroms. You got away from the purges\u2014and Babel didn't. You got away from Palestine and the homeland. You got away from Brookline and the relatives. You got away from New York\u2014\"\n\n\"And all of this is recorded where? Hedda Hopper?\"\n\n\"Some there. The rest I pieced together myself.\"\n\n\"To what end?\"\n\n\"When you admire a writer you become curious. You look for his secret. The clues to his puzzle.\"\n\n\"But New York\u2014I was there for three months over twenty years ago. Who told you I got away from New York?\"\n\n\"Some of the Jews down there you got away from.\"\n\n\"I was there for three months and I think I got a word in only once. What word I don't remember, but suddenly I belonged to a faction.\"\n\n\"That's why you left?\"\n\n\"Also, there was the girl I'd fallen in love with and married. She wasn't happy.\"\n\n\"Why not?\"\n\n\"Same as me. Those were terrifying intellectual personalities even back then. Real ideological Benya Kriks, even in their diapers. I didn't have enough strong opinions to last me down there through a year. My Hope had even fewer.\"\n\n\"So you came back here, you got away for good.\"\n\n\"From Jews? Not altogether. The game warden tells me there are some more up in these woods besides me. But you're more or less right. It's the deer in their fields that drive the farmers crazy, not the few of us they see around here in caftans. But where's the secret, Nathan? What's the puzzle?\"\n\n\"Away from all the Jews, and a story by you without a Jew in it is unthinkable. The deer, the farmers, the game warden\u2014\"\n\n\"And don't forget Hope. And my fair-haired children.\"\n\n\"And still all you write about are Jews.\"\n\n\"Proving what?\"\n\n\"That,\" I said, cautiously, \"is what I'd like to ask you.\"\n\nHe thought about it for a moment. \"It proves why the young rabbi in Pittsfield can't live with the idea that I won't be 'active.'\"\n\nI waited for more, but in vain.\n\n\"Do you know Abravanel?\" I asked.\n\n\"Nathan, surely by now you get the picture.\"\n\n\"What picture?\"\n\n\"I don't know anybody. I turn sentences around, and that's it. Why would Abravanel want to know me? I put him to sleep. He spoke at Amherst last spring. An invitation arrived so we drove over to hear him. But that's the only time we've ever met. Before the lecture he came down the aisle to where I was sitting and introduced himself. He was very flattering. My respectful younger colleague. Afterward we had a drink with him and his actress. A very polished fellow. The satirist you don't really see till you catch the commedia dell'arte profile. There's where the derision lives. Head-on he's something of a heartthrob. Bombay black eyes, and so on. And the young Israeli wife is like lava. The Gentile dream of the melon-breasted Jewess. And the black head of coarse, curly hair\u2014the long female version of his. You could polish a pot with it. They tell me that when she played in the big movie of the Bible she stole the show from the Creation. So there were those two, and there was I with Hope. And with this,\" he said, once more lightly laying his hands on his belly. \"I understand he does a humorous imitation of me for his friends. No harm intended. One of my former students ran into him in Paris. He'd just addressed a full house at the Sorbonne. I'm told that upon hearing my name he referred to me as 'the complete man\u2014as unimpressive as he is unimpressed.'\"\n\n\"You don't like him much.\"\n\n\"I'm not in the business. 'Liking people' is often just another racket. But you're right to think well of his books. Not up my alley maybe, all that vanity face to face, but when he writes he's not just a little Houyhnhnm tapping out his superiority with his hooves. More like a Dr. Johnson eating opium\u2014the disease of his life makes Abravanel fly. I admire the man, actually. I admire what he puts his nervous system through. I admire his passion for the front-row seat. Beautiful wives, beautiful mistresses, alimony the size of the national debt, polar expeditions, war-front reportage, famous friends, famous enemies, breakdowns, public lectures, five-hundred-page novels every third year, and still, as you said before, time and energy left over for all that self-absorption. The gigantic types in the books have to be that big to give him something to think about to rival himself. Like him? No. But impressed, oh yes. Absolutely. It's no picnic up there in the egosphere. I don't know when the man sleeps, or if he has ever slept, aside from those few minutes when he had that drink with me.\"\n\nOutside, it was like a silent-film studio, where they made snowstorms by hurling mattress wadding into a wind machine. Large, ragged snowclots raced across the window, and when I heard their icy edges nicking at the glass\u2014and the sounds of someone puttering in the kitchen\u2014I remembered Lonoff's wife begging to be discarded, and wondered if the plea would have been quite so thoroughgoing on a sunny spring day. \"I think I better get the taxi,\" I said, pointing to my watch, \"so as to catch the last bus back.\"\n\nOf course, I wanted never to leave. True, while Hope was falling apart at the dinner table I had momentarily found myself wishing for my cabin at Quahsay; now, however, the way the crisis seemed magically to have resolved itself served only to intensify my awe of Lonoff, particularly for what he unblushingly had called my own kind of bravery. If only I had thought to take his approach when Betsy had gone wild; if only I had kept my mouth shut until she finished berating me, then swept up the broken crockery and settled into my chair to read another book! Now, why didn't I? Because I was twenty-three and he was fifty-six? Or because I was guilty and he was innocent? Yes, his authority, and the rapid restoration of household sanity and order, might well owe something to that. \"Take her! It's the only thing that makes sense!\" cried Hope, and Lonoff's easy victory seemed to reside in never even having wanted to.\n\nI also hated calling a taxi because of Amy Bellette. I was hoping, a little crazily, that when she came back from dinner with the college librarian, she would offer to drive me through the storm to my bus. Earlier, while Lonoff was measuring out the brandy\u2014concentrating like a bartender who'd trained at Los Alamos with fissionable fifths\u2014I had asked where she went. I hadn't the nerve to inquire about her status as a displaced person. But at the table, when he'd said that she had come to Athene as a refugee, I was reminded of \"the children starving in Europe\" whom we had heard so much about when we were children eating in New Jersey. If Amy had been one of them, perhaps that explained the something in her that seemed to me thwarted and underdeveloped, despite the dazzling maturity and severe good looks. I wondered if the dark refugee girl with the curious name Bellette could be Jewish, and in Europe had suffered from worse than starvation.\n\n\"Yes,\" said Lonoff, \"you'd better call the taxi.\"\n\nReluctantly I stood to go.\n\n\"Or, if you like,\" he said, \"you can stay over and sleep in the study.\"\n\n\"No, I think I really have to be off,\" I said, and cursed the upbringing that had taught me never to be greedy about second helpings. How much better if I had been raised in the gutter! Only how would I have gotten from the gutter to here?\n\n\"Suit yourself,\" Lonoff told me.\n\n\"I wouldn't want to inconvenience your wife.\"\n\n\"I think it will disturb her more if you leave than if you stay. She might hold herself responsible. I'm certain she would.\"\n\nI pretended I had taken my dinner on the moon. \"But why?\"\n\n\"Sit down. Stay for breakfast, Nathan.\"\n\n\"I'd better not. I shouldn't.\"\n\n\"You know who Jimmy Durante is?\"\n\n\"Of course.\"\n\n\"Do you know the old Durante number 'Did you ever have the feeling that you wanted to go, still have the feeling that you wanted to stay'?\"\n\n\"Yes.\"\n\n\"Sit.\"\n\nI sat\u2014suiting myself, as the man said.\n\n\"Besides,\" he told me, \"if you go now, you'll leave most of your cognac.\"\n\n\"If I go, so will you.\"\n\n\"Well, the Jew who got away didn't get away altogether.\" He smiled at me. \"You don't have to finish it, just because you're staying. That's not part of the deal.\"\n\n\"No, no, I want to,\" I said, and took my biggest sip of the night. Saluting me with his glass, he followed suit.\n\n\"Hope will be pleased,\" he said. \"She misses people. She misses the children and their friends. She went to art school in Boston before I brought her back here, sixteen versts to the nearest railway station. Manhattan terrified her, but Boston's her Moscow, she'd move there tomorrow. She thinks I would enjoy it in Cambridge. But all I need are those dinner parties. I'd rather talk to the horse.\"\n\n\"You have a horse?\"\n\n\"No.\"\n\nI loved him! Yes, nothing less than love for this man with no illusions: love for the bluntness, the scrupulosity, the severity, the estrangement; love for the relentless winnowing out of the babyish, preening, insatiable self; love for the artistic mulishness and the suspicion of nearly everything else; and love for the buried charm, of which he'd just given me a glimpse. Yes, all Lonoff had to say was that he did not even have the horse to talk to and somehow that did it, released in me a son's girlish love for the man of splendid virtue and high achievement who understands life, and who understands the son, and who approves.\n\n* * *\n\nI should mention here that some three years earlier, after several hours in the presence of Felix Abravanel, I had been no less overcome. But if I did not fall at his feet straightaway, it was because even a college senior as writer-worshipping as myself could see that with Abravanel such boundless adoration\u2014at least if offered up by a youthful male admirer\u2014was doomed to go unrequited. The ardor of those books, composed in the sunny stillness of his California canyon and seething with unbuttoned and aggressive innocence, seemed to have little to do with the author himself when he came coolly out into the fallen world he'd been so ardent about down in the canyon. In fact, the writer who found irresistible all vital and dubious types, not excluding the swindlers of both sexes who trampled upon the large hearts of his optimistic, undone heroes; the writer who could locate the hypnotic core in the most devious American self-seeker and lead him to disclose, in spirited locutions all his own, the depths of his conniving soul; the writer whose absorption with \"the grand human discord\" made his every paragraph a little novel in itself, every page packed as tight as Dickens or Dostoevsky with the latest news of manias, temptations, passions, and dreams, with mankind aflame with feeling\u2014well, in the flesh he gave the impression of being out to lunch.\n\nWhich isn't to suggest that Felix Abravanel lacked charm. On the contrary, the charm was like a moat so oceanic that you could not even see the great turreted and buttressed thing it had been dug to protect. You couldn't even find the drawbridge. He was like California itself\u2014to get there you had to take a plane. There were moments during his public lecture\u2014this was at Chicago, my last year there\u2014when Abravanel had to pause at the lectern, seemingly to suppress saying something off the cuff that would have been just too charming for his audience to bear. And he was right. We might have charged the stage to eat him up alive if he had been any more sly and enchanting and wise. Poor marvelous Abravanel (I mean this without satire)\u2014even what was intended to guard the great rose window of his inner brilliance was itself so damn beautiful that the ungifted multitudes and art lovers of the world could not but find him all the more alluring. On the other hand, maybe he wanted it that way. There is obviously no simple way to be great, or so I was beginning to find out.\n\nAfter the lecture I had been invited to come along to a faculty-club reception by the professor whose prot\u00e9g\u00e9 I was. When we were able at last to break through the rings of admirers, I was introduced as the student whose story would be discussed the next morning in the class Abravanel had consented to visit. From the dash of imperiousness in the photographed face I had never envisioned him quite so guarded-looking, or with a head a good size and a half too small for the six-foot plank that supported it. He reminded me, amid all those who would flatter and adore him, of a radio tower with its tiny red light burning high up to warn off low-flying aircraft. He wore a five-hundred-dollar shantung suit, a burgundy silk tie, and gleaming narrow black tasseled loafers, but everything that counted, all that made for the charm and the laughs and the books and the breakdowns, was stored compactly right up there at the top\u2014at the edge of a precipice. It was a head that the Japanese technicians, with their ingenuity for miniaturizing, might have designed, and then given over to the Jews to adorn with the rug dealer's thinning dark hair, the guarded appraising black eyes, and a tropical bird's curving bill. A fully Semiticized little transistor on top, terrific clothes down below\u2014and still the overall impression was of somebody's stand-in.\n\nI thought, In the novels nothing ever seems to get by him, so how come when he's here, he's not? Perhaps so much assails him that he has to close down ninety percent of himself to phenomena in order not to explode. Though then again, I thought, maybe he's just out to lunch.\n\nAbravanel shook my hand obligingly and was about to turn away to shake another obligingly when the professor repeated my name. \"Of course,\" said Abravanel, \"N. Zuckerman.\" He had read a mimeographed copy of my story on the plane from the Coast; so had Andrea read it. \"Sweetheart,\" he said, \"this is Zuckerman.\"\n\nWell, where to begin? Andrea had maybe only five years on me, but five years put to good use. After graduating from Sarah Lawrence, she had evidently continued her education at Elizabeth Arden and Henri Bendel. As we all knew\u2014her fame having preceded her\u2014Andrea's father had been a dollar-a-year man in the first Roosevelt Administration, and Mother was Carla Peterson Rumbough, the loquacious liberal congresswoman from Oregon. While still a college student she had written the first of her portraits of \"Men in Power\" for The Saturday Evening Post, the series eventually collected in her best-selling book. Undoubtedly (as the envious were quick enough to point out), family contacts had got her going, but clearly what encouraged those busy and powerful men to keep on talking was the proximity of Andrea herself, for Andrea was a most juicy girl. Truly, you felt that if you pressed her, you could drink a glassful of refreshing, healthy Andrea for breakfast.\n\nAt the time, she was in residence with Abravanel at his Pacific Palisades retreat, a few miles from the home of his friend and mentor, Thomas Mann. (\"The grand human discord\" was how Mann had perceived Abravanel's subject in the elevating preface with which he had consecrated the German edition of Properly Scalded.) After Abravanel's latest divorce (and rumored emotional collapse), Andrea had come to interview him for the Post series and, as transcontinental literary legend had it, had never left. Legend also had it that Abravanel was not only the first man of letters to be named a man of power in America but the first man of power to whose advances Andrea had yielded. I myself wondered if maybe Andrea wasn't the first journalist to whose advances Abravanel had yielded. He looked more like the one who would have had to be seduced.\n\n\"How terrific finally to meet you,\" Andrea said, briskly shaking my hand. The briskness of the handshake was in disarming contrast with the soft voluptuous appearance. The face was heart-shaped and gentle, but the handshake said, \"Have no doubts, I am the girl who has everything.\" Not that I was about to argue. I was already convinced a month before laying eyes on her, when we had exchanged letters about hotel accommodations. As student representative of the University Lecture Committee, I had, per her instructions, reserved a room in their two names at the Windermere, the closest the neighborhood had to a grand hotel. \"Mr. Abravanel and Miss Rumbough?\" the desk clerk had asked. \"Are they husband and wife, sir?\" This question was put to me, mind you, in March of 1953, and so when I answered with the lie that I had devised to shelter a hero from scandal\u2014\"Mrs. Abravanel is the well-known journalist; that of course is her professional name\"\u2014I was sure that the end result of Miss A. Rumbough's bohemian daring would be my expulsion from college without a degree.\n\n\"I loved your story,\" she said. \"It's so funny.\"\n\nGrimly I acknowledged the compliment tendered my wit by the bosomy girl with the heart-shaped face and the milkmaid complexion and the soldierly self-assured grip. In the meantime, having passed me on to Andrea to dispose of, Abravanel found himself being exhibited by another of our professors to a huddle of graduate students waiting shyly beside their teacher to ask the writer serious questions. \"Oh, well,\" I heard him say, with a light annihilating laugh, \"I don't have the time these days to think about 'influences'\u2014Andrea keeps me pretty much on the run.\" \"Felix,\" she was telling me, \"is nuts about the story, too. You should have seen him on the plane. He just kept throwing back his head and laughing. Where are you going to publish it? Maybe Felix ought to talk to\u2014\" She mentioned a name. It was Knebel, but for one whose stories had appeared previously only in the college literary quarterly, the effect would have been no more stunning if she had said, \"After the reception I have to get back to the hotel to interview Marshal Tito in the bar\u2014but while I do, Felix can rise unto Heaven from the lobby and discuss your funny little mimeographed story with the author of The Brothers Karamazov. We all met in Siberia when Felix and I did the prison tour.\" Somewhere behind me I heard Abravanel applying himself to another serious question from the graduate division. \"Alienation? Oh,\" he said, with that light laugh, \"let the other guy be alienated.\" Simultaneously Andrea informed me, \"He's seeing Sy tomorrow night in New York\u2014\" (Sy being Knebel, the editor for twenty years of the New York intellectual quarterly that I had been devouring for the past two).\n\nThe next day Abravanel visited our advanced-writing class, accompanied\u2014to the surprise of those ready to live only for art\u2014by the bold Andrea. Her luminous, shameless presence in the very front row (and her white jersey dress; and her golden hair, out of some rustic paradise) led me to recall October afternoons half a lifetime ago when I sat like a seething prisoner, practicing my penmanship at my sloping school desk while the World Series was being broadcast live to dinky radios in every gas station in America. It was then that I learned what tore at the hearts of the delinquents and the dummies who loathed the classroom and the teacher and wished the whole place would burn down.\n\nHands plunged into his pockets, and angled casually against the professor's desk, Abravanel spoke of my story with oblique admiration, defending it, largely with his laugh, from criticism brought by the orthodox Forsterites that my narrator was \"two-dimensional\" instead of being \"round\" like the characters they'd read about in Aspects of the Novel. But that day to all carping I was immune. Andrea, I thought, whenever one of those fools said \"round.\"\n\nAfterward I was invited by Abravanel for a cup of coffee at a local luncheonette, along with Andrea, my professor, and a member of the sociology department, an old friend from Abravanel's youth who had been waiting outside the classroom door to give Abravanel a nostalgic hug (which the author managed graciously to accept even while backing away). Abravanel had extended the invitation personally (as I was to write my parents) and with what sounded for the first time like real sympathy: \"They're a rough bunch, Zuckerman. You better come along for a transfusion.\" I figured he would tell me over the cup of coffee that he was taking his copy of my story to New York to show to Seymour Knebel. For a hundred reasons I was in ecstasy. When he told me to come along for my transfusion, I could not remember having myself ever felt like such a round character before. What Mann had done for him he was about to do for me. Literary history in the making. Good thing Andrea was there to get it all down for posterity.\n\nBut over his coffee Abravanel said not a word: just leaned his long demi-emaciated frame back in his chair, looking smooth and strokable as a cat in his teaching attire of soft gray flannel slacks, a light mauve pullover, and a cashmere sports coat. With hands and ankles elegantly crossed, he left it to his buoyant young companion to do the talking\u2014lively, funny stories, mostly, about Felix's old father, an L.A. housepainter, and the winning remarks he made to her in his homely mix of two languages. Even the sociology professor was bowled over, though from campus gossip I knew he was a dear friend of Abravanel's litigious first wife and disapproved of the writer's treatment of her, first in the flesh, then in fiction. Moreover, he was said to disapprove of Abravanel's way with women generally and, on top of that, believed that a novelist of his stature oughtn't to have articles about himself in The Saturday Evening Post. Yet now the sociology professor began lifting his voice so as to get Andrea to hear him. As a boy, he also had been a great fan of Felix's father's malapropisms, and he wanted it known. \"'That fellow,'\" shouted the sociologist, imitating the elder Abravanel, \"'he ain't here no more\u2014poor guy committed suitcase.'\" If Abravanel thought the retired housepainter was so impressive for speaking cockeyed English all his life, he didn't let on. So genteel and assured and courtly was the posture he'd assumed to listen to Andrea tell her stories that I found myself doubting it. Out in the open, Abravanel's cup did not spill over with sentiment for the old days in L.A.; such effusions he left to readers of his novels who had come to love the super-charged emotional world of his childhood as though it had been their own. He himself seemed to prefer to look down at us from a long way off, like a llama or a camel.\n\n\"Good luck\" was what he said to me when they got up to catch the New York train\u2014and Andrea said even less. This time, because we knew each other, she took my hand in five soft fingers, but the touch of the fairy princess seemed to mean much the same to me as the garrison handshake at the faculty-club reception. She's forgotten, I thought, about Knebel. Or maybe she's told Abravanel and figured he'd take care of it, and he's forgotten. Or maybe she's told him and he said, \"Forget it.\" Watching her leave the luncheonette on Abravanel's arm\u2014seeing her hair brush his shoulder as out on the street she rose on her toes to whisper something into his ear\u2014I realized that they'd had other things than my story to think about when they got back to the Windermere the night before.\n\nAll of this was why, from Quahsay, I had mailed my four published stories to Lonoff. Felix Abravanel was clearly not in the market for a twenty-three-year-old son.\n\n* * *\n\nJust before nine, having checked the time on his watch, Lonoff drank up his last drop of brandy, which had sat thirty minutes at the bottom of the glass. He said that though he must be off, I might stay in the living room and listen to music, or, if I preferred, I could retire to his study, where I would be sleeping. Beneath the corduroy cover I would find that the study daybed was already made up with fresh linen. Blankets and an extra pillow were in the closet there, on the bottom shelf, and fresh towels were in the downstairs-bathroom cupboard\u2014please, I mustn't hesitate to use the striped ones, they were the least worn and best for a shower\u2014and also in the cupboard, at the rear of the second shelf, I would find a toothbrush in its original unopened plastic case, and a small new tube of Ipana. Any questions?\n\n\"No.\"\n\nWas there anything else that I would need?\n\n\"Thank you, this is all perfect.\"\n\nHe winced when he stood\u2014lumbago, he explained, from turning one too many sentences around that day\u2014and said that he still had his evening's reading. He did not do justice to a writer unless he read him on consecutive days and for no less than three hours at a sitting. Otherwise, despite his notetaking and underlining, he lost touch with a book's inner life and might as well not have begun. Sometimes, when he unavoidably had to miss a day, he would go back and begin all over again, rather than be nagged by his sense that he was wronging a serious author.\n\nHe told me all this in the same fastidious way he had described the location of the toothpaste and towels: a blunt, colloquial, pointedly ungrandiloquent Lonoff seemed to take turns with a finicky floorwalker Lonoff as official representative to the unwritten world.\n\n\"My wife considers this a grave affliction,\" he added. \"I don't know how to relax. Soon she'll be telling me to go out and have a good time.\"\n\n\"Not that soon,\" I said.\n\n\"It's only as it should be,\" he said, \"for somebody else to think I'm a fool. But I can't afford the luxury myself. How else am I supposed to read a book of real depth? For 'enjoyment'? For the hell of it\u2014to put me to sleep?\" Wearily\u2014more ready for bed, I would have thought from the tired, irascible tone, than for one hundred and eighty minutes concentrating on the inner life of a deep book by a serious author\u2014he asked, \"How else am I to conduct my life?\"\n\n\"How else would you like to?\"\n\nWell, I had done it, escaped at last from wooden self-consciousness and egregious overearnestness\u2014and sporadic attempts to be witty in the Lonovian mode\u2014and put to him a direct, simple question, the answer to which I wanted very much to hear.\n\n\"How else might I like to?\"\n\nIt thrilled me to see him standing there taking altogether seriously what I had asked. \"Yes. How would you live now, if you had your way?\"\n\nRubbing at the small of his back, he replied, \"I would live in a villa outside Florence.\"\n\n\"Yes? With whom?\"\n\n\"A woman, of course.\" He answered without hesitation, as though I were another grown man.\n\nSo, as though I were one, I went ahead and asked, \"How old would she be, this woman?\"\n\nHe smiled down at me. \"We have both had too much to drink.\"\n\nI showed him that there was brandy enough still to swirl around in my snifter.\n\n\"For us,\" he added, and not bothering this time to catch the trouser crease in his fingers, sat back down somewhat gracelessly in his chair.\n\n\"Please,\" I said, \"I don't mean to keep you from reading. I'll be fine alone.\"\n\n\"Sometimes,\" he said, \"I like to imagine I've read my last book. And looked for the last time at my watch. How old would you think she should be?\" he asked. \"The woman in Florence. As a writer, what would be your guess?\"\n\n\"I think you'll have to ask me to guess that thirty years from now. I don't know.\"\n\n\"I say thirty-five. How does that strike you?\"\n\n\"As right, if you say so.\"\n\n\"She would be thirty-five and she would make life beautiful for me. She would make life comfortable and beautiful and new. She would drive me in the afternoon to San Gimignano, to the Uffizi, to Siena. In Siena we would visit the cathedral and drink coffee in the square. At the breakfast table she would wear long feminine nightgowns under her pretty robe. They would be things I had bought for her in a shop by the Ponte Vecchio. I would work in a cool stone room with French windows. There would be flowers in a vase. She would cut them and put them there. And so on, Nathan, in this vein.\"\n\nMost men want to be children again, or kings, or quarterbacks, or multimillionaires. All Lonoff seemed to want was a thirty-five-year-old woman and a year abroad. I thought of Abravanel, that fruit gatherer, and the Israeli actress\u2014\"like lava\"\u2014who was Abravanel's third wife. And of that rounded character Andrea Rumbough. In whose sea did Andrea bob now? \"If that's all...\" I said.\n\n\"Go on. We're having a drunken conversation.\"\n\n\"If that's all, it doesn't sound too hard to arrange,\" I heard myself telling him.\n\n\"Oh, yes? What young woman that you know is out looking for a fifty-six-year-old bald man to accompany to Italy?\"\n\n\"You're not the stereotypical bald man of fifty-six. Italy with you wouldn't be Italy with anyone.\"\n\n\"What does that mean? I'm supposed to cash in the seven books for a piece of ass?\"\n\nThe unforeseen plunge into street talk made me feel momentarily like the boutonniered floorwalker. \"That isn't what I meant. Though of course that happens, such things are done...\"\n\n\"Yes, in New York you must see a lot of it.\"\n\n\"No one with seven books in New York City settles for one piece of ass. That's what you get for a couplet.\" I had spoken as though I knew what I was talking about. \"All I meant was that you're not exactly asking for a harem.\"\n\n\"Like the fat lady said about the polka-dot dress, 'It's nice, but it's not Lonoff.'\"\n\n\"Why not?\"\n\n\"Why not?\" he repeated, a little scornfully.\n\n\"I meant\u2014why couldn't it be?\"\n\n\"Why should it be?\"\n\n\"Because\u2014you want it.\"\n\nHis answer: \"Not a good enough reason.\"\n\nI lacked the courage to ask \"Why not?\" again. If drunk, still only drunk Jews. So far and no further, I was sure. And I was right.\n\n\"No,\" he said, \"you don't chuck a woman out after thirty-five years because you'd prefer to see a new face over your fruit juice.\"\n\nThinking of his fiction, I had to wonder if he had ever let her in, or the children either, who, he had told me earlier, had provided him with diversion and brought a certain gaiety into his world for so long as they lived at home. In his seven volumes of stories I could not think of a single hero who was not a bachelor, a widower, an orphan, a foundling, or a reluctant fianc\u00e9.\n\n\"But there's more to it than that,\" I said. \"More to it than the new face... isn't there?\"\n\n\"What, the bed? I had the bed. I know my singularity,\" said Lonoff, \"and what I owe to it.\" Here, abruptly, he concluded our drunken conversation. \"I've got my reading. Let me show you before I go how to work the phonograph. We have an excellent classical record collection. You know about wiping the records? There is a cloth\u2014\"\n\nHe came heavily to his feet; slowly and heavily, like an elephant. All the obstinacy seemed to have gone out of him, whether owing to our exchange or to the pain in his back\u2014or exhaustion with his singularity\u2014I didn't know. Maybe every day ended like this.\n\n\"Mr. Lonoff\u2014Manny,\" I said, \"may I ask you something before you go, while we're alone\u2014about my stories? I don't know if I entirely understood what you meant by 'turbulence.' At dinner. I don't mean to hang on to one word, but any word from you\u2014well, I'd like to be sure I understand it. That is, I'm thrilled just that you read them, and I'm still amazed even to have been invited, and now staying over\u2014all that should be enough. It is enough. And the toast you made\"\u2014I felt my emotions getting out of hand, as I had, to my astonishment, while receiving my college diploma with my parents looking on\u2014\"I hope I can live up to it. I don't take those words lightly. But about the stories themselves, what I'd like to know is what you think is wrong with them, what you think I might do\u2014to be better?\"\n\nHow benign was his smile! Even while kneading the lumbago. \"Wrong?\"\n\n\"Yes.\"\n\n\"Look, I told Hope this morning: Zuckerman has the most compelling voice I've encountered in years, certainly for somebody starting out.\"\n\n\"Do I?\"\n\n\"I don't mean style\"\u2014raising a finger to make the distinction. \"I mean voice: something that begins at around the back of the knees and reaches well above the head. Don't worry too much about 'wrong.' Just keep going. You'll get there.\"\n\nThere. I tried to envision it, but couldn't. It was more than I could take being here.\n\nI told Hope this morning.\n\nMeanwhile, buttoning his jacket and smoothing down his tie\u2014and checking his watch with the glance that ruined his wife's every Sunday\u2014he attended to the last item of business on the agenda. Working the record player. I had interrupted his train of thought.\n\n\"I want to show you what happens if the arm doesn't go all the way back at the end of the record.\"\n\n\"Sure,\" I said, \"absolutely.\"\n\n\"It's been acting up lately and nobody is able to fix it. Some days it somehow fixes itself, and then out of the blue it's on the blink again.\"\n\nI followed him over to the turntable, thinking less about his classical record collection than about my voice starting back of my knees.\n\n\"This is the volume, of course. This is the start button. This is the reject, you push it\u2014\"\n\nAnd this, I realized, is the excruciating scrupulosity, the same maddening, meticulous attention to every last detail that makes you great, that keeps you going and got you through and now is dragging you down. Standing with E. I. Lonoff over the disobedient arm of his record player, I understood the celebrated phenomenon for the first time: a man, his destiny, and his work\u2014all one. What a terrible triumph!\n\n\"And,\" he reminded me, \"it would be best for the records, and for your own pleasure, if you remember to wipe them first.\"\n\nOh, the fussiness, the fastidiousness! The floorwalker incarnate! To wrestle the blessing of his fiction out of that misfortune\u2014\"triumph\" didn't begin to describe it.\n\nSuddenly I wanted to kiss him. I know this happens to men more often than is reported, but I was new to manhood (about five minutes into it, actually) and was bewildered by the strength of a feeling that I had rarely had toward my own father once I'd begun to shave. It seemed, at the moment, even stronger than what invariably came over me when I was left alone with those long-necked aerial friends of Betsy's, who walked with their feet turned charmingly outward and looked (just like Betsy!) so appetizingly wan and light and liftable. But in this house of forbearance I was better at suppressing my amorous impulses than I had been lately, unchained in Manhattan.\n2. Nathan Dedalus\n\nWho could sleep after that? I didn't even turn the lamp off to try. For the longest time I just stared at E. I. Lonoff's tidy desk: neat piles of typing paper, each stack a different pale color\u2014for different drafts, I assumed. Finally I got up and, sacrilege though it surely was, sat on his typing chair in my undershorts. No wonder his back hurt. It wasn't a chair made for relaxing in, not if you were his size. Lightly I touched my fingers to his portable typewriter keys. Why a portable for a man who went nowhere? Why not a machine on the order of a cannonball, black and big and built to write for all time? Why not a comfortable padded executive's chair to lean back in and think? Why not indeed.\n\nPinned to the bulletin board beside his desk\u2014the cell's only real embellishments\u2014were a little wall calendar from the local bank and two annotated index cards. One card bore a fragmentary sentence ascribed to \"Schumann, on Chopin's Scherzo No. 2 in B flat minor, Op. 31.\" It read, \"... so overflowing with tenderness, boldness, love, and contempt that it may be compared, not inappropriately, to a poem by Byron.\" I didn't know what to make of it there, or rather, what Lonoff made of it, until I remembered that Amy Bellette could play Chopin with great charm. Maybe it was she who had typed it out for him, scrupulous attribution and all\u2014enclosing it, perhaps, with the gift of a record so that in the late afternoons he could listen to Chopin even when she was no longer around. Perhaps it was this very line she'd been musing upon when I first saw her on the study floor: musing because the description seemed as pertinent to herself as to the music...\n\nIf displaced, what had become of her family? Murdered? Did that explain her \"contempt\"? But for whom the overflowing love, then? Him? If so, the contempt might well be for Hope. If so, if so.\n\nIt required no ingenuity to guess the appeal of the quotation typed on the other card. After what Lonoff had been telling me all evening, I could understand why he might want these three sentences hanging over his head while beneath them he sat turning his own sentences around. \"We work in the dark\u2014we do what we can\u2014we give what we have. Our doubt is our passion and our passion is our task. The rest is the madness of art.\" Sentiments ascribed to a story I did not know by Henry James called \"The Middle Years.\" But \"the madness of art\"? I would have thought the madness of everything but art. The art was what was sane, no? Or was I missing something? Before the night was over I was to read \"The Middle Years\" twice through, as though preparing to be examined on it in the morning. But that was canon law to me then: ready to write a thousand words on \"What does Henry James mean by 'the madness of art'?\" if the question should happen to turn up on my paper napkin at breakfast.\n\nPhotographs of Lonoff's children were set out on a bookshelf behind the typing chair: one male, two females, not a trace of the paternal genes in any of their bones. One of the girls, a fair, freckled maiden in horn-rimmed glasses, looked, in fact, much as her shy, studious mother probably did back in her art-school days. Beside her photo in the twin frame was a postcard that had been mailed from Scotland to Massachusetts one August day nine years earlier, addressed to the writer alone. This perhaps accounted for its status as a memento to be preserved under glass. Much about his life indicated that communicating with his children had been no easier for him than having enough opinions for Manhattan in the thirties. \"Dear Pop, We are now in Banffshire (Highlands) and I am standing amidst the wreck of Balvenie Castle, Dufftown, where Mary Stuart once stayed. Yesterday we biked to Cawdor (Thane of Cawdor, ca. 1050, Shakespeare's Macbeth), where Duncan was murdered. See you soon, Love, Becky.\"\n\nAlso directly behind his desk were several shelves of his works in foreign translation. Seating myself on the floor I tried translating from French and German sentences that I had read first in Lonoff's English. With the more exotic tongues the most I could do was try to spot his characters' names in the hundreds of indecipherable pages. Pechter. Marcus. Littman. Winkler. There they were, surrounded on all sides by Finnish.\n\nAnd which language was hers? Portuguese? Italian? Hungarian? In which did she overflow like a poem by Byron?\n\nOn a large lined pad that I took from my briefcase, a bulging Bildungsroman briefcase\u2014ten pounds of books, five obscure magazines, and easily enough paper to write the whole of my first novel if it should happen to come to me while riding back and forth on the bus\u2014I began methodically to list everything on his bookshelves I had not read. There was more German philosophy than I had been expecting, and only halfway down the page I already seemed to have sentenced myself to a lifetime at hard labor. But, worthily, I kept going\u2014to the accompaniment of the words with which he had commended me before going up to his reading. That, and the toast, had been echoing in my head for an hour. On a clean sheet of paper I finally wrote down what he'd said so as to see exactly what he'd meant. All he'd meant.\n\nAs it turned out, I wanted someone else to see as well, for soon I had forgotten the forthcoming ordeal with Heidegger and Wittgenstein, and was seated with my pad at Lonoff's desk, struggling to explain to my father\u2014the foot-doctor father, the first of my fathers\u2014the \"voice\" that, according to no less a vocalist than E. I. Lonoff, started back of my knees and reached above my head. The letter was overdue. Three weeks now he had been waiting for some enlightened sign of contrition for the offenses I had begun to commit against my greatest supporters. And for three weeks I had let him stew, if that is how you describe being yourself unable to think of little else upon awakening from bad dreams at 4 a.m.\n\n* * *\n\nOur trouble had begun when I gave my father the manuscript of a story based on an old family feud in which he had played peacemaker for nearly two years before the opponents ended up shouting in court. The story was the most ambitious I had written\u2014some fifteen thousand words\u2014and, as I saw it, my motives for sending it to him were no less benign than those I'd had in college, when I mailed home poems for the family to read even before they appeared in the student verse magazine. It wasn't trouble I was looking for but admiration and praise. Out of the oldest and most ingrained of habits, I wanted to please them and make them proud.\n\nThat wasn't hard either. For years I had been making him proud just by sending along clippings for his \"files,\" a voluminous accumulation of magazine and newspaper articles\u2014including an unbroken series of transcripts of \"America's Town Meeting of the Air\"\u2014on what he called \"vital issues.\" Whenever I was home on a visit, my mother, who could repeat herself, would invariably remind me\u2014with her own deeply satisfied look\u2014of the thrill it gave him to say to his patients (after working them around to the vital issue on his mind), \"I just got something in the mail this morning on that subject. My son Nathan saw it at college. He's out at the University of Chicago. Straight A's in everything. Went out there when he was sixteen\u2014special program. Well, he saw it in one of the Chicago papers and sent it on for my files.\"\n\nOh, what sitting ducks I had for parents! A son of theirs would have had to be a half-wit or a sadist not to make them proud. And I was neither; I was dutiful and thoughtful, and too excited with myself in flight to be ungrateful for the boost I'd begun with. Despite the flaming wrangles of my adolescence\u2014weekend night hours, fashions in footwear, the unhygienic high-school hangout, my alleged but ceaselessly disavowed penchant for the last word\u2014we had emerged from our fifty textbook scenes of domestic schism much the same close family bound by the same strong feelings. I'd slammed a lot of doors and declared a few wars, but still I loved them like their child. And whether or not I wholly knew just how extensive the addiction, I was much in need of their love for me, of which I assumed there was an inexhaustible supply. That I couldn't\u2014wouldn't?\u2014assume otherwise goes a long way toward explaining why I was na\u00efve enough to expect nothing more than the usual encouragement for a story that borrowed from our family history instances of what my exemplary father took to be the most shameful and disreputable transgressions of family decency and trust.\n\nThe facts I had begun my story with were these:\n\nA great-aunt of mine, Meema Chaya, had left for the education of two fatherless grandsons the pot of money she had diligently hoarded away as a seamstress to Newark's upper crust. When Essie, the widowed mother of the twin boys, attempted to invade the trust to send them from college to medical school, her younger brother, Sidney, who was to inherit the money remaining in Meema Chaya's estate upon conclusion of the boys' higher education, had sued to stop her. For four years Sidney had been waiting for Richard and Robert to graduate from Rutgers\u2014waiting mostly in pool rooms and saloons, to hear the family tell it\u2014so he could buy a downtown parking lot with his legacy. Loudly\u2014his way\u2014Sidney proclaimed that he was not about to postpone the good life just so there could be two more fancy doctors driving Caddies around South Orange. Those in the family who detested Sidney's womanizing and his shady friends immediately lined up in support of the boys and their dignified aspirations, leaving Sidney with a phalanx consisting of his ill-used, timid wife Jenny, and his mysterious Polish tootsie Annie, whose scandalously florid shmatas were much discussed, if never once seen, at family weddings, funerals, etc. Also in the phalanx, for all it was worth to him, was me. My admiration was long-standing, dating back to Sidney's Navy days, when he had won four thousand dollars on the homeward journey of the battleship Kansas, and was said to have thrown into the South Pacific, for the sharks to dispose of, a Mississippi sore loser who at the end of an all-night poker game had referred to the big winner as a dirty Jew. The lawsuit, whose outcome hinged on how exhaustive Meema Chaya had meant to be in her will with the ringing words \"higher education,\" was eventually decided by the judge\u2014a goy\u2014in Sidney's favor, though within only a few years the Raymond Boulevard parking lot bought with his inheritance became such a hot piece of real estate that it was nationalized out from under him by the Mob. For his trouble they gave Sidney a tenth of what it was worth, and shortly thereafter his heart broke like a balloon in the bed of yet another overdressed bimbo not of our persuasion. My cousins Richard and Robert were meanwhile being put through medical school by their iron-willed mother. After she lost the lawsuit, Essie quit her job at a downtown department store and for the next ten years went to work on the road selling shingles and siding. So iron-willed was she that by the time she had finally bought carpeting and venetians for the new offices leased for Richard and Robert in suburban North Jersey, there was hardly a working-class neighborhood in the state that she hadn't left encased in asphalt. Out canvassing one hot afternoon during the twins' internship, Essie had decided to spend an hour in an air-cooled Passaic movie theater. In her thousands of days and nights finding leads and closing deals, this was said to be the first time ever that she stopped to do anything other than eat and call the boys. But now residencies in orthopedics and dermatology were only just around the corner, and the thought of their advent, combined with the August heat, made her just a little light-headed. In the dark movie theater, however, Essie hadn't even time to mop her brow before a fellow in the next seat put his hand on her knee. He must have been a very lonely fellow\u2014it was a very stout knee; nonetheless, she broke the hand for him, at the wrist, with the hammer carried in her purse all these years to protect herself and the future of two fatherless sons. My story, entitled \"Higher Education,\" concluded with Essie taking aim.\n\n\"Well, you certainly didn't leave anything out, did you?\"\n\nThus began my father's critique on the Sunday I'd come to say goodbye before leaving for the winter at Quahsay. Earlier in the day, along with a favorite aunt and uncle and a childless neighbor couple\u2014also called \"Aunt\" and \"Uncle\" by me since the cradle\u2014I had partaken of our family's traditional Sunday brunch. Fifty-two Sundays a year, for most of my lifetime, my father went out to the corner for the smoked fish and the warm rolls, my brother and I set the table and squeezed the juice, and for three hours my mother was unemployed in her own house. \"Like a queen\" was how she described the predicament. Then, after my parents had read the Newark Sunday papers and listened on the radio to \"The Eternal Light\"\u2014great moments from Jewish history in weekly half-hour dramatizations\u2014we two boys were rounded up and the four of us set off in the car to visit relatives. My father, long in contention with an opinionated older brother for the vacant position of family patriarch, generally delivered a hortatory sermon somewhere along the way to somebody who seemed to him to need it, and then we drove home. And always at dusk, before we reassembled around the kitchen table to observe the Sunday-evening rites\u2014to partake of the sacred delicatessen supper, washed down with sacramental soda pop; to await together the visitation from heaven of Jack Benny, Rochester, and Phil Harris\u2014the \"men,\" as my mother called us, went off for their brisk walk to the nearby park. \"Hi, Doc\u2014how are you?\" So the neighbors we passed along the way always greeted my popular and talkative father, and though he seemed never to be bothered by it, for a time his class-conscious little boy used to think that if only there had been no quotas and he'd become a real physician, they would have greeted him as \"Doctor Zuckerman.\" \"Doc\" was what they called the pharmacist who made milk shakes and sold cough drops.\n\n\"Well, Nathan,\" began my father, \"you certainly didn't leave anything out, did you?\"\n\nI was by then a little weary from doing my duty and anxious to leave for New York to pack for Quahsay. My brunch-time visit had now lasted the entire day and, to my surprise, had been marked by the comings and goings of numerous relatives and old family friends dropping by seemingly just to see me. Kibitzing, reminiscing, swapping dialect jokes, and munching too much fruit, I had hung around until the company began to leave, and then had stayed on, at my father's request, so that he could give me his thoughts on my story. Portentously he said he wanted an hour with me alone.\n\nAt four that afternoon, in our coats and scarves, the two of us set out for the park. Every half hour a New York bus stopped just by the park gateway on Elizabeth Avenue, and my plan was to catch one after he'd had his say.\n\n\"I left a lot of things out.\" I pretended to be innocent of what he meant\u2014as innocent as when I'd sent him the story, though the moment he'd spoken in the house of giving me his \"thoughts\" (rather than his pat on the head), I realized immediately how mindless I had been. Why hadn't I waited to see if I could even get it published, and then shown him the story already in print? Or would that only have made it worse? \"Things had to be left out\u2014it's only fifty pages.\"\n\n\"I mean,\" he said sadly, \"you didn't leave anything disgusting out.\"\n\n\"Did I? Didn't I? I wasn't thinking along those lines, exactly.\"\n\n\"You make everybody seem awfully greedy, Nathan.\"\n\n\"But everybody was.\"\n\n\"That's one way of looking at it, of course.\"\n\n\"That's the way you looked at it yourself. That's why you were so upset that they wouldn't compromise.\"\n\n\"The point is, there is far more to our family than this. And you know that. I hope that today reminded you of the kind of people we are. In case in New York you've forgotten.\"\n\n\"Dad, I had a good time seeing everybody. But you didn't have to give me a refresher course in the family's charms.\"\n\nBut on he went. \"And people who are crazy about you. Is there anybody who came into the house today whose face didn't light up when they laid eyes on you? And you couldn't have been kinder, you couldn't have been a sweeter boy. I watched you with your family and with all our old dear friends, and I thought to myself, Then what is this story all about? Why is he going on like this about ancient history?\"\n\n\"It wasn't ancient history when it happened.\"\n\n\"No, then it was nonsense.\"\n\n\"You didn't seem to think so. You were running from Essie to Sidney for over a year.\"\n\n\"The fact remains, son, there is more to the family, much much more, than is in this story. Your great-aunt was as kind and loving and hard-working a woman as you could ever meet in this world. Your grandmother and all her sisters were, every last one of them. They were women who thought only of others.\"\n\n\"But the story is not about them.\"\n\n\"But they are part of the story. They are the whole story as far as I'm concerned. Without them there would be no story at all! Who the hell was Sidney? Does anybody in his right mind even think about him any longer? To you, as a boy, I suppose he was an amusing character, somebody to get a kick out of, who came and went. I can understand how that would be: a big six-foot ape in bell-bottom trousers, clanking his I.D. bracelet and talking a mile a minute as though he was Admiral Nimitz and not just the nobody who swabbed the deck. Which is all he ever was, of course. I remember how he came to the house and got down on the floor and taught you and your little brother to roll dice. As a joke. I wanted to throw the lummox out on his ear.\"\n\n\"I don't even remember that.\"\n\n\"Well, I do. I remember plenty. I remember it all. To Meema Chaya, Sidney was never anything but heartache. Little children don't realize that underneath the big blowhard who rolls on the floor and makes them laugh there can be somebody who makes other people cry. And he made your great-aunt cry plenty, and from the time he was old enough to go into the street, looking for grief to give her. And still, still, that woman left him that chunk of her hard-earned dough, and prayed that somehow it would help. She rose above all the misery and the shame he had caused her\u2014just like the wonderful woman that she was. 'Chaya' means life, and that is what she had in her to give to everybody. But that you leave out.\"\n\n\"I didn't leave it out. I suggest as much about her on the first page. But you're right\u2014I don't go into Meema Chaya's life.\"\n\n\"Well, that would be some story.\"\n\n\"Well, that isn't this story.\"\n\n\"And do you fully understand what a story like this story, when it's published, will mean to people who don't know us?\"\n\nWe had by now descended the long incline of our street and reached Elizabeth Avenue. No lawn we passed, no driveway, no garage, no lamppost, no little brick stoop was without its power over me. Here I had practiced my sidearm curve, here on my sled I'd broken a tooth, here I had copped my first feel, here for teasing a friend I had been slapped by my mother, here I had learned that my grandfather was dead. There was no end to all I could remember happening to me on this street of one-family brick houses more or less like ours, owned by Jews more or less like us, to whom six rooms with a \"finished\" basement and a screened-in porch on a street with shade trees was something never to be taken for granted, given the side of the city where they'd started out.\n\nAcross the wide thoroughfare was the entrance to the park. There my father used to seat himself\u2014each Sunday the same bench\u2014to watch my brother and me play tag, yelling our heads off after hours of good behavior with grandparents, great-aunts and great-uncles, ordinary aunts and uncles\u2014sometimes it seemed to me that there were more Zuckermans in Newark than Negroes. I wouldn't see as many of them in a year as I saw cousins on an ordinary Sunday driving around the city with my father. \"Oh,\" he used to say, \"how you boys love to shout\" and with one hand for each son's head would smooth back our damp hair as we started out of the park and back up the familiar hill where we lived. \"Any game with shouting in it,\" he would tell our mother, \"and these two are in seventh heaven.\" Now my younger brother was knuckling under to the tedium of a pre-dental course, having surrendered (to my father's better judgment) a halfhearted dream of a career as an actor, and I\u2014? I apparently was shouting again.\n\nI said, \"I think maybe I'll just get the bus. Maybe we should skip the park. It's been a long day, and I have to go home and get ready to leave for Quahsay tomorrow.\"\n\n\"You haven't answered my question.\"\n\n\"It wouldn't be useful, Dad. The best thing now is to put the story in the mail and send it back to me\u2014and try to forget it.\"\n\nMy suggestion triggered a light sardonic laugh from my father.\n\n\"All right,\" I said sharply, \"then don't forget it.\"\n\n\"Calm down,\" he replied. \"I'll walk you to the bus. I'll wait with you.\"\n\n\"You really ought to go home. It's getting cold.\"\n\n\"I'm plenty warm,\" he informed me.\n\nWe waited in silence at the bus stop.\n\n\"They take their time on Sundays,\" he finally said. \"Maybe you should come home and have dinner. You could catch one first thing in the morning.\"\n\n\"I've got to go to Quahsay first thing in the morning.\"\n\n\"They can't wait?\"\n\n\"I can't,\" I said.\n\nI stepped out into the street to watch for the bus.\n\n\"You're going to get yourself killed out there.\"\n\n\"Perhaps.\"\n\n\"So,\" he said, when at last, in my own sweet time, I came back up on the curb, \"what do you do with the story now? Send it to a magazine?\"\n\n\"It's long for a magazine. Probably no magazine will publish it.\"\n\n\"Oh, they'll publish it. The Saturday Review has put you on the map. That was a wonderful write-up, a terrific honor to be chosen like that at your age.\"\n\n\"Well, we'll see.\"\n\n\"No, no. You're on your way. The Saturday Review never sold so many copies in North Jersey as when your picture was in it. Why do you think everybody came by today, Frieda and Dave, Aunt Tessie, Birdie, Murray, the Edelmans? Because they saw your picture and they're proud.\"\n\n\"They all told me.\"\n\n\"Look, Nathan, let me have my say. Then you can go, and up there at the artists' colony maybe you'll think over in peace and quiet what I'm trying to get you to understand. If you were going to turn out to be nobody, I wouldn't be taking this seriously. But I do take you seriously\u2014and you have to take yourself seriously, and what you are doing. Stop looking for that goddam bus and listen to me, please. You can catch the next bus! Nathan, you are not in school any more. You are the older brother and you are out in the world and I am treating you accordingly.\"\n\n\"I understand that. But that doesn't mean that we can't disagree. That's what it does mean.\"\n\n\"But from a lifetime of experience I happen to know what ordinary people will think when they read something like this story. And you don't. You can't. You have been sheltered from it all your life. You were raised here in this neighborhood where you went to school with Jewish children. When we went to the shore and had the house with the Edelmans, you were always among Jews, even in the summertime. At Chicago your best friends who you brought home were Jewish boys, always. It's not your fault that you don't know what Gentiles think when they read something like this. But I can tell you. They don't think about how it's a great work of art. They don't know about art. Maybe I don't know about art myself. Maybe none of our family does, not the way that you do. But that's my point. People don't read art\u2014they read about people. And they judge them as such. And how do you think they will judge the people in your story, what conclusions do you think they will reach? Have you thought about that?\"\n\n\"Yes.\"\n\n\"And what have you concluded?\"\n\n\"Oh, I can't put it into one word, not out here in the street. I didn't write fifteen thousand words so as now to put it into one word.\"\n\n\"Well, I can. And the street isn't a bad place for it. Because I know the word. I wonder if you fully understand just how very little love there is in this world for Jewish people. I don't mean in Germany, either, under the Nazis. I mean in run-of-the-mill Americans, Mr. and Mrs. Nice Guy, who otherwise you and I consider perfectly harmless. Nathan, it is there. I guarantee you it is there. I know it is there. I have seen it, I have felt it, even when they do not express it in so many words.\"\n\n\"But I'm not denying that. Why did Sidney throw that redneck off his ship\u2014?\"\n\n\"Sidney,\" he said furiously, \"never threw any redneck off any ship! Sidney threw the bull, Nathan! Sidney was a petty hoodlum who cared about nobody and nothing in this world but the good of Sidney!\"\n\n\"And who actually existed, Dad\u2014and no better than I depict him!\"\n\n\"Better? He was worse! How rotten he was you don't begin to know. I could tell you stories about that bastard that would make your hair stand on end.\"\n\n\"Then where are we? If he was worse\u2014 Oh, look, we're not getting anywhere. Please, it's getting dark, it's going to snow\u2014go home. I'll write when I get up there. But there is no more to say on this subject. We just disagree, period.\"\n\n\"All right!\" he said crisply, \"all right!\" But only, I knew, to defuse me for the moment.\n\n\"Dad, go home, please.\"\n\n\"It won't hurt if I wait with you. I don't like you waiting out here by yourself.\"\n\n\"I can manage perfectly well out here by myself. I have for years now.\"\n\nSome five minutes later, blocks away, we saw what looked like the lights of the New York bus.\n\n\"Well,\" I said, \"I'll be back down in a few months. I'll keep in touch\u2014I'll phone\u2014\"\n\n\"Nathan, your story, as far as Gentiles are concerned, is about one thing and one thing only. Listen to me, before you go. It is about kikes. Kikes and their love of money. That is all our good Christian friends will see, I guarantee you. It is not about the scientists and teachers and lawyers they become and the things such people accomplish for others. It is not about the immigrants like Chaya who worked and saved and sacrificed to get a decent footing in America. It is not about the wonderful peaceful days and nights you spent growing up in our house. It is not about the lovely friends you always had. No, it's about Essie and her hammer, and Sidney and his chorus girls, and that shyster of Essie's and his filthy mouth, and, as best I can see, about what a jerk I was begging them to reach a decent compromise before the whole family had to be dragged up in front of a goyisher judge.\"\n\n\"I didn't depict you as a jerk. Christ, far from it. I thought,\" I said angrily, \"I was administering a bear hug, to tell you the truth.\"\n\n\"Oh, did you? Well, it didn't come out that way. Look, son, maybe I was a jerk, trying to talk sense to such people. I don't mind being made a little fun of\u2014that couldn't bother me less. I've been around in life. But what I can't accept is what you don't see\u2014what you don't want to see. This story isn't us, and what is worse, it isn't even you. You are a loving boy. I watched you like a hawk all day. I've watched you all your life. You are a good and kind and considerate young man. You are not somebody who writes this kind of story and then pretends it's the truth.\"\n\n\"But I did write it.\" The light changed, the New York bus started toward us across the intersection\u2014and he threw his arms onto my shoulders. Making me all the more belligerent. \"I am the kind of person who writes this kind of story!\"\n\n\"You're not,\" he pleaded, shaking me just a little.\n\nBut I hopped up onto the bus, and then behind me the pneumatic door, with its hard rubber edge, swung shut with what I took to be an overly appropriate thump, a symbol of the kind you leave out of fiction. It was a sound that suddenly brought back to me the prize fights at the Laurel Garden, where once a year my brother and I used to wager our pennies with one another, each of us alternately backing the white fighter or the colored fighter, while Doc Zuckerman waved hello to his few acquaintances in the sporting crowd, among them, on one occasion, Meyer Ellenstein, the dentist who became the city's first Jewish mayor. What I heard was the heartrending thud that follows the roundhouse knockout punch, the sound of the stupefied heavyweight hitting the canvas floor. And what I saw, when I looked out to wave goodbye for the winter, was my smallish, smartly dressed father\u2014turned out for my visit in a new \"fingertip\" car coat that matched the coffee-toned slacks and the checkered peaked cap, and wearing, of course, the same silver-rimmed spectacles, the same trim little mustache that I had grabbed at from the crib; what I saw was my bewildered father, alone on the darkening street-corner by the park that used to be our paradise, thinking himself and all of Jewry gratuitously disgraced and jeopardized by my inexplicable betrayal.\n\nNor was that the end. So troubled was he that several days later, against the counsel of my mother, and after an unpleasant phone conversation with my younger brother, who warned him from Ithaca that I wasn't going to like it when I found out, he decided to seek an audience with Judge Leopold Wapter, after Ellenstein and Rabbi Joachim Prinz perhaps the city's most admired Jew.\n\nWapter had been born of Galician Jews in the slums adjacent to the city's sweatshops and mills some ten years before our family arrived there from Eastern Europe in 1900. My father still remembered having been rescued by one of the Wapter brothers\u2014it could have been the future jurist himself\u2014when a gang of Irish hooligans were having some fun throwing the seven-year-old mocky up into the air in a game of catch. I had heard this story more than once in my childhood, usually when we drove by the landscaped gardens and turreted stone house on Clinton Avenue where Wapter lived with a spinster daughter\u2014one of the first Jewish students at Vassar College to earn the esteem of her Christian teachers\u2014and his wife, the department-store heiress, whose philanthropic activities had given her family name the renown among the Jews of Essex County that it was said to have in her native Charleston. Because the Wapters occupied a position of prestige and authority rather like that accorded in our household to President and Mrs. Roosevelt, I used to imagine her, when I was a small boy, going around wearing Mrs. Roosevelt's dowager hats and dresses, and, oddly for a Jewish woman, speaking in the First Lady's awesome Anglified tones. It did not seem to me that, coming from South Carolina, she could really be Jewish. Which was exactly what she thought about me, after reading my story.\n\nTo approach the judge, my father had first to contact a lofty cousin of ours\u2014an attorney, a suburbanite, and a former Army colonel who had been president for several years of the judge's Newark temple. Cousin Teddy had already helped him to the judge once before, back when my father had gotten it into his head that I should be one of the five youngsters for whom each year Wapter wrote letters of recommendation to college-admissions officers which\u2014it was said\u2014never failed to do the trick. To go up before Judge Wapter I had to wear a blue suit on a bus in broad daylight and then, from where the bus left me off at the Four Corners (our Times Square), to walk all the way up Market Street through throngs of shoppers, whom I imagined dropping in their tracks at the sight of me out in my only dress suit at that hour. I was to be interviewed at the Essex County Courthouse, in his \"chambers,\" a word that had been intoned to relatives on the phone so frequently and with such reverence by my mother during the preceding week that it may well have accounted for the seven visits I made to our bathroom before I could get myself buttoned for good into the blue suit.\n\nTeddy had telephoned the night before to give me some tips on how to conduct myself. This explained the suit and my father's black silk socks, which I was wearing held up with a pair of his garters, and also the initialed briefcase, a grade-school graduation present that I had never removed from the back of my closet. In the gleaming briefcase I carried ten typewritten pages I had written for International Relations the year before on the Balfour Declaration.\n\nAs instructed, I \"spoke up\" right away and offered to show the judge the essay. To my relief, his chambers had turned out to be one room, not ten\u2014and a room no more grand than the principal's office in our high school. Nor did the tanned, plumpish, cheery judge have the shock of white hair I had been expecting. And though not as small as my father, he still was easily a foot shorter than Abraham Lincoln, whose bronze statue you pass coming into the courthouse. He actually looked years younger than my own anxious father, and not half as serious. Reputedly an excellent golfer, he was probably either on his way to or from a game; that's how I later came to terms with his argyle socks. But when I first noticed them\u2014as he leaned back in his leather chair to flip through my essay\u2014I was shocked. It was as though he were the callow, unworldly applicant, and I, with my father's garters pulled tight as a tourniquet, were the judge. \"May I keep this for now, Nathan?\" he asked, turning with a smile through my pages of op. cits and ibids. \"I'd like to take it home for my wife to see.\" Then began the inquiry. I had prepared myself the night before (at Teddy's suggestion) by reading through the Constitution of the United States, the Declaration of Independence, and the editorial page of the Newark Evening News. The members of Truman's Cabinet and the majority and minority leaders of both Houses of Congress I of course knew already by heart, though before bed I had gone over them out loud with my mother just to help her relax.\n\nTo the judge's questions I gave the following answers:\n\nJournalist. The University of Chicago. Ernie Pyle. One brother, younger. Reading\u2014and sports. The Giants in the National League and the Tigers in the American. Mel Ott and Hank Greenberg. Li'l Abner. Thomas Wolfe. Canada; Washington, D.C.; Rye, New York; New York City itself; Philadelphia; and the Jersey shore. No, sir, never to Florida.\n\nWhen the judge's secretary made public the names of Newark's five Jewish boys and girls whose college applications Wapter would endorse, mine was one.\n\nI never saw the judge again, though to please my father I had sent my sponsor a letter from the University of Chicago during orientation week of my freshman year, thanking him again for all he had done on my behalf. The letter I received from Wapter some seven years later, during my second week as a guest at Quahsay, was the first I knew of their meeting to talk about \"Higher Education.\"\n\nDear Nathan:\n\nMy familiarity with your fine family goes back, as you must know, to the turn of the century on Prince Street, where we were all poor people in a new land, struggling for our basic needs, our social and civil rights, and our spiritual dignity. I still remember you as one of the outstanding Jewish graduates of our Newark public-school system. I was most pleased to hear from your father that your college record was at the same high level of achievement that you had maintained throughout your school career here, and that you are already beginning to gain recognition in the field of short-story writing. Since there is nothing a judge likes better than to be right from time to time, I was delighted to know that my confidence in you as a high-school senior has already been substantiated in the larger world. I expect that your family and your community can look forward to great achievements from you in the not too distant future.\n\nYour father, knowing of my interest in the development of our outstanding young people, recently asked if I would take time out from my judicial duties to write you with my candid opinion of one of your short stories. He informed me that you are soon to submit the short story entitled \"Higher Education\" to a leading national magazine, and he wanted to know whether I thought the story contained material suitable for such a publication.\n\nIn our lengthy and interesting conversation here in my chambers, I informed him that classically, down through the ages and in all countries, the artist has always considered himself beyond the mores of the community in which he lived. Great artists, as history reveals, have been harshly persecuted time and again by the frightened and ill-educated, who do not understand that the artist is a special individual with a unique contribution to make to mankind. Socrates was considered an enemy of the people and a corrupter of the young. The Norwegian playwright and Nobel Prize winner, Henrik Ibsen, was forced into exile because his countrymen failed to understand the profound truth of his great dramas. I explained to your father that I for one would never want to be allied with the intolerance shown by the Greeks towards Socrates, or by the Norwegians towards Ibsen. On the other hand, I do believe that, like all men, the artist has a responsibility to his fellow man, to the society in which he lives, and to the cause of truth and justice. With that responsibility and that alone as my criterion, I would attempt to give him an opinion on the suitability for publication in a national magazine of your latest fictional effort.\n\nAttached you will find a questionnaire about your story, prepared jointly by my wife and myself. Because of Mrs. Wapter's interest in literature and the arts\u2014and because I did not think it fair to rely solely upon my reading\u2014I have taken the liberty of securing her opinion. These are serious and difficult questions to which Mrs. Wapter and I would like you to give just one hour of your time. We don't want you to answer them to our satisfaction\u2014we want you to answer them to your own. You are a young man of great promise and, we all think, of potentially great talent. But with great talent come great responsibilities, and an obligation to those who have stood behind you in the early days so that your talent might come to fruition. I would like to think that if and when the day should dawn that you receive your invitation to Stockholm to accept a Nobel Prize, we will have had some small share in awakening your conscience to the responsibilities of your calling.\n\nSincerely yours,\n\nLeopold Wapter\n\nP.S. If you have not yet seen the Broadway production of The Diary of Anne Frank, I strongly advise that you do so. Mrs. Wapter and I were in the audience on opening night; we wish that Nathan Zuckerman could have been with us to benefit from that unforgettable experience.\n\nThe sheet of questions prepared for me by the Wapters read as follows:\n\nTEN QUESTIONS FOR NATHAN ZUCKERMAN\n\n1. If you had been living in Nazi Germany in the thirties, would you have written such a story?\n\n2. Do you believe Shakespeare's Shylock and Dickens's Fagin have been of no use to anti-Semites?\n\n3. Do you practice Judaism? If so, how? If not, what credentials qualify you for writing about Jewish life for national magazines?\n\n4. Would you claim that the characters in your story represent a fair sample of the kinds of people that make up a typical contemporary community of Jews?\n\n5. In a story with a Jewish background, what reason is there for a description of physical intimacy between a married Jewish man and an unmarried Christian woman? Why in a story with a Jewish background must there be (a) adultery; (b) incessant fighting within a family over money; (c) warped human behavior in general?\n\n6. What set of aesthetic values makes you think that the cheap is more valid than the noble and the slimy is more truthful than the sublime?\n\n7. What in your character makes you associate so much of life's ugliness with Jewish people?\n\n8. Can you explain why in your story, in which a rabbi appears, there is nowhere the grandeur of oratory with which Stephen S. Wise and Abba Hillel Silver and Zvi Masliansky have stirred and touched their audiences?\n\n9. Aside from the financial gain to yourself, what benefit do you think publishing this story in a national magazine will have for (a) your family; (b) your community; (c) the Jewish religion; (d) the well-being of the Jewish people?\n\n10. Can you honestly say that there is anything in your short story that would not warm the heart of a Julius Streicher or a Joseph Goebbels?\n\nThree weeks after hearing from the judge and Mrs. Wapter, and only days before my visit to Lonoff, I was interrupted around noon by the Colony secretary. She had come out to my cabin in her coat, apologizing for the disturbance, but saying that I had a long-distance phone call that had been described by the other party as an emergency.\n\nWhen my mother heard my voice she began to cry. \"I know it's wrong to bother you,\" she said, \"but I can't take any more. I can't take another night of it. I can't sit through another meal.\"\n\n\"What is it? What's the matter?\"\n\n\"Nathan, did you or didn't you get a letter from Judge Wapter?\"\n\n\"Oh, I got it all right.\"\n\n\"But\"\u2014she was flabbergasted\u2014\"then why didn't you answer it?\"\n\n\"He should not have gone to Wapter with that story, Mother.\"\n\n\"Oh, darling, maybe he shouldn't. But he did. He did because he knows you respect the judge\u2014\"\n\n\"I don't even know the judge.\"\n\n\"That's not true. He did so much for you when you were ready for college. He gave you such a wonderful boost. It turns out that in his files he still had the essay you wrote on the Balfour Declaration in high school. His secretary took out the files and there it was. Daddy saw it, right in his chambers. Why you haven't given him the courtesy of a reply... Daddy is beside himself. He can't believe it.\"\n\n\"He'll have to.\"\n\n\"But all he wanted was for you not to bring yourself harm. You know that.\"\n\n\"I thought it was the harm I was going to do the Jews that you're all worried about.\"\n\n\"Darling, please, for my sake, why won't you answer Judge Wapter? Why won't you give him the hour he asks for? Surely you have an hour where you are to write a letter. Because you cannot, at the age of twenty-three, ignore such a person. You cannot make enemies at twenty-three of people who are so admired and loved, and by Gentiles, too.\"\n\n\"Is that what my father says?\"\n\n\"He says so much, Nathan. It's been three weeks now.\"\n\n\"And how does he even know I haven't answered?\"\n\n\"From Teddy. He didn't hear from you, so finally he called him. You can well imagine. Teddy is a little fit to be tied. He's not used to this treatment, either. After all, he also extended himself on our behalf when you wanted to go to Chicago.\"\n\n\"Ma, I hate to suggest this, but it could be that the judge's famous letter, procured after great ass-kissing all around, had about as much effect on the University of Chicago as a letter about my qualifications from Rocky Graziano.\"\n\n\"Oh, Nathan, where's your humility, where's your modesty\u2014where's the courtesy you have always had?\"\n\n\"Where are my father's brains!\"\n\n\"He only wants to save you.\"\n\n\"From what?\"\n\n\"Mistakes.\"\n\n\"Too late, Mother. Didn't you read the Ten Questions for Nathan Zuckerman?\"\n\n\"Dear, I did. He sent us a copy\u2014and the letter, too.\"\n\n\"The Big Three, Mama! Streicher, Goebbels, and your son! What about the judge's humility? Where's his modesty?\"\n\n\"He only meant that what happened to the Jews\u2014\"\n\n\"In Europe\u2014not in Newark! We are not the wretched of Belsen! We were not the victims of that crime!\"\n\n\"But we could be\u2014in their place we would be. Nathan, violence is nothing new to Jews, you know that!\"\n\n\"Ma, you want to see physical violence done to the Jews of Newark, go to the office of the plastic surgeon where the girls get their noses fixed. That's where the Jewish blood flows in Essex County, that's where the blow is delivered\u2014with a mallet! To their bones\u2014and to their pride!\"\n\n\"Please don't shout at me. I'm not up to all of this, please\u2014that's why I'm calling. Judge Wapter did not mean you were Goebbels. God forbid. He was only a little shocked still from reading your story. We all were, you can understand that.\"\n\n\"Oh, maybe then you all. shock a little too easily. Jews are heirs to greater shocks than I can possibly deliver with a story that has a sharpie in it like Sidney. Or Essie's hammer. Or Essie's lawyer. You know as much yourself. You just said as much.\"\n\n\"Oh, darling, then tell the judge that. Just tell him that, the way you told it to me, and that'll do it. Your father will be happy. Write him something. You can write such wonderful and beautiful letters. When Grandma was dying, you wrote her a letter that was like a poem. It was like\u2014like listening to French, it was so beautiful. What you wrote about the Balfour Declaration was so beautiful when you were only fifteen years old. The judge gave it back to Daddy and said he still remembered how much it had impressed him. He's not against you, Nathan. But if you get your back up and show disrespect, then he will be. And Teddy too, who could be such a help.\"\n\n\"Nothing I could write Wapter would convince him of anything. Or his wife.\"\n\n\"You could tell him you went to see The Diary of Anne Frank. You could at least do that.\"\n\n\"I didn't see it. I read the book. Everybody read the book.\"\n\n\"But you liked it, didn't you?\"\n\n\"That's not the issue. How can you dislike it? Mother, I will not prate in platitudes to please the adults!\"\n\n\"But if you just said that, about reading the book, and liking it... Because Teddy told Daddy\u2014well, Nathan, is this true?\u2014that to him it looks like you don't really like Jews very much.\"\n\n\"No, Teddy's got it confused. It's him I don't like very much.\"\n\n\"Oh, darling, don't be clever. Don't start that last-word business, please. Just answer me, I'm so confused in the middle of all this. Nathan, tell me something.\"\n\n\"What?\"\n\n\"I'm only quoting Teddy. Darling...\"\n\n\"What is it, Ma?\"\n\n\"Are you really anti-Semitic?\"\n\n\"I'll leave it to you. What do you think?\"\n\n\"Me? I never heard of such a thing. But Teddy...\"\n\n\"I know, he's a college graduate and lives with wall-to-wall carpeting in Millburn. But they come pretty stupid too.\"\n\n\"Nathan!\"\n\n\"Sorry, but that's my opinion.\"\n\n\"Oh, I don't know anything any more\u2014all this from that story! Please, if you will not do anything else I ask, at least phone your father. He's been waiting for something for three whole weeks now. And he's a doer, your father, he's not a man who knows how to wait. Darling, phone him at his office. Phone him now. For me.\"\n\n\"No.\"\n\n\"I beg of you.\"\n\n\"No.\"\n\n\"Oh, I can't believe this is you.\"\n\n\"It is me!\"\n\n\"But\u2014what about your father's love?\"\n\n\"I am on my own!\"\n\n* * *\n\nIn Lonoff's study that night I began letter after letter explaining myself to my father, but each time I got to the point of repeating E. I. Lonoff's praise for my work, I tore the thing up in a rage. I owed no explanations, and he wouldn't buy those I offered anyway, if he even understood them. Because my voice started back of my knees and reached above my head wasn't going to make him any happier about my informing on those unsavory family miscreants who were nobody's business but our own. Nor would it help to argue that Essie wielding her hammer came off in my story as something more impressive than an embarrassment; that wasn't what other people were going to say about a woman who behaved like that, and then expressed herself in a court of law like a man in a barroom brawl. Nor would a spin through the waxworks of my literary museum\u2014from Babel's Odessa gangsters to Abravanel's Los Angeles worldlings\u2014convince him that I was upholding the responsibilities placed on me by his hero, the judge. Odessa? Why not Mars? He was talking about what people would say when they read that story in North Jersey, where we happened to come from. He was talking about the goyim, who looked down on us with enough unearned contempt already, and who would be only too pleased to call us all kikes because of what I had written for the whole world to read about Jews fighting over money. It was not for me to leak the news that such a thing could possibly happen. That was worse than informing\u2014that was collaborating.\n\nOh, this is useless, I thought, this is idiotic\u2014and tore up yet another half-finished letter in my defense. That the situation between us had deteriorated so rapidly\u2014by his going to Wapter with my story, and by my refusal to justify myself to my elders\u2014was as it had to be, sooner or later. Hadn't Joyce, hadn't Flaubert, hadn't Thomas Wolfe, the romantic genius of my high-school reading list, all been condemned for disloyalty or treachery or immorality by those who saw themselves as slandered in their works? As even the judge knew, literary history was in part the history of novelists infuriating fellow countrymen, family, and friends. To be sure, our dispute hadn't achieved the luster of literary history quite yet, but still, writers weren't writers, I told myself, if they didn't have the strength to face the insolubility of that conflict and go on.\n\nBut what about sons? It wasn't Flaubert's father or Joyce's father who had impugned me for my recklessness\u2014it was my own. Nor was it the Irish he claimed I had maligned and misrepresented, but the Jews. Of which I was one. Of which, only some five thousand days past, there had been millions more.\n\nYet each time I tried again to explain my motives, the angrier with him I became. It's you who humiliated yourself\u2014now live with it, you moralizing ass! Wapter, that know-nothing windbag! That dopey pillar! And the pious belle with her love for the arts! Worth ten million and she chides me about \"financial gain\"! And Abba Hillel Silver on top of that! Oh, don't waste time on prodigal me about Rabbi Silver's grandeur, lady, tell my late cousin Sidney and his friends in the Mob\u2014quote Zvi Masliansky to them, like you do at the country club on the eighteenth hole!\n\nAt around eleven I heard the town snowplow clearing the unpaved road beyond the apple orchard. Later a pickup truck with a snowblade clamped to the front end charged into the driveway and shoved the evening's snowfall into the orchard atop the snowfall of the previous thirty nights. The little Renault arrived last, swerving slowly into the driveway about half an hour later, one beam on high, the other dim, and with half-dead windshield wipers.\n\nAt the first sound of her car returning, I had flipped off all my lights and crawled to the study window on my knees so as to watch her make her way toward the house. For I had not stayed awake simply because I couldn't forget my father's disapproval or E. I. Lonoff's toast\u2014I also had no intention of being unconscious when the enchanting and mysterious houseguest (all the more alluring, of course, as Hope's imagined erotic rival) got back to change into her nightdress on the floor above me. What I would be able to do about this, I had no idea. However, just to be awake and unclothed in one bed while she was awake and nearly unclothed in another was better than nothing. It was a start.\n\nBut predictably, it was worse than nothing and the start of little that was new. The lantern on the half-buried lamppost between the house and the car shed went dark, and then, from where I was kneeling beside the study door, I heard her enter the house. She moved through the hallway and up the carpeted stairs\u2014and that was the last of her that I saw or heard until about an hour later, when I was privileged to audit another astounding course, this one in the adult evening division of the Lonoff School of the Arts. The rest of what I'd been waiting up for I had, of course, to imagine. But that is easier work by far than making things up at the typewriter. For that kind of imagining you don't have to have your picture in the Saturday Review. You don't even have to know the alphabet. Being young will usually get a fellow through with flying colors. You don't even have to be young. You don't have to be anything.\n\nVirtuous reader, if you think that after intercourse all animals are sad, try masturbating on the daybed in E. I. Lonoff's study and see how you feel when it's over. To expiate my sense of utter shabbiness, I immediately took to the high road and drew from Lonoff's bookshelves the volume of Henry James stories containing \"The Middle Years,\" the source of one of the two quotations pinned to the bulletin board. And there where I had indulged myself in this most un-Jamesian lapse from the amenities, I read the story two times through, looking to discover what I could about the doubt that's the writer's passion, the passion that's his task, and the madness of\u2014of all things\u2014art.\n\nDencombe, a novelist \"who had a reputation,\" is convalescing from a debilitating ailment at an English health resort when a copy of his latest book, The Middle Years, arrives from his publisher. Seated alone on a bench looking out to sea, Dencombe reluctantly opens the book\u2014to discover what he believes is the artistic distinction that had always evaded him. His genius has flowered, however, just when he no longer has the strength to develop a \"'last manner'... to which his real treasure would be gathered.\" That would require a second existence, and everything tells him that the first one is nearly over.\n\nWhile fearfully contemplating the end of his life, Dencombe is joined on the bench by a garrulous young stranger carrying his own copy of The Middle Years. He begins to speak ardently of Dencombe's achievement to the mild gentleman who he finds has also been reading the new novel. The admirer\u2014\"the greatest admirer... whom it was supposable he might boast\"\u2014is Dr. Hugh, physician to a rich, eccentric English countess who is at the hotel, like Dencombe, to recover from some grave illness. Inflamed with passion for The Middle Years, Dr. Hugh opens the book to read aloud a particularly beautiful passage; but, having mistakenly seized Dencombe's copy rather than his own, he discovers that the printed text has been altered in a dozen places by a pencil. With this, the anonymous and ailing author on the brink of being discovered\u2014\"a passionate corrector\" never able to arrive at a final form\u2014feels his sickness sweeping over him and loses consciousness.\n\nIn the days that follow, Dencombe, bedridden, hopes that some remedy miraculously concocted by the attentive young physician will restore his strength. However, when he learns that the countess plans to disinherit Dr. Hugh of a magnificent fortune if he continues to neglect her for the novelist, Dencombe encourages Dr. Hugh to follow her to London. But Dr. Hugh cannot overcome his passionate idolatry, and by the time he acts on Dencombe's advice to hurry to his employer, he has already suffered \"a terrible injury\" for which Dencombe almost believes himself to be responsible: the countess has died, in a relapse brought on by her jealousy, bequeathing to the young physician not a penny. Says Dr. Hugh, returning from her grave to the dying soul whom he adores, \"I had to choose.\"\n\n\"You chose to let a fortune go?\"\n\n\"I chose to accept, whatever they might be, the consequences of my infatuation,\" smiled Doctor Hugh. Then, as a larger pleasantry: \"The fortune be hanged! It's your own fault if I can't get your things out of my head.\"\n\nA thin black line had been drawn beneath the \"pleasantry\" in Lonoff's book. In script so tiny it was almost unreadable, the writer had noted beside it a droll pleasantry of his own: \"And also your fault if I can.\"\n\nFrom there on, down both margins of the final page describing Dencombe's death, Lonoff had penned three vertical lines. Nothing resembling drollery here. Rather, the six surgically precise black lines seemed to simulate the succession of fine impressions that James's insidious narrative about the novelist's dubious wizardry had scored upon Lonoff's undeluded brain.\n\nAfter Dencombe has learned the consequences of the young man's infatuation\u2014consequences so utterly irreconcilable with his own honorable convictions that, upon hearing of his place in it all, Dencombe utters \"a long bewildered moan\"\u2014he lies \"for many hours, many days... motionless and absent.\"\n\nAt the last he signed to Doctor Hugh to listen and, when he was down on his knees by the pillow, brought him very near. \"You've made me think it all a delusion.\"\n\n\"Not your glory, my dear friend,\" stammered the young man.\n\n\"Not my glory\u2014what there is of it! It is glory\u2014to have been tested, to have had our little quality and cast our little spell. The thing is to have made somebody care. You happen to be crazy of course, but that doesn't affect the law.\"\n\n\"You're a great success!\" said Doctor Hugh, putting into his young voice the ring of a marriage-bell.\n\nDencombe lay taking this in; then he gathered strength to speak once more. \"A second chance\u2014that's the delusion. There never was to be but one. We work in the dark\u2014we do what we can\u2014we give what we have. Our doubt is our passion and our passion is our task. The rest is the madness of art.\"\n\n\"If you've doubted, if you've despaired, you've always 'done' it,\" his visitor subtly argued.\n\n\"We've done something or other,\" Dencombe conceded.\n\n\"Something or other is everything. It's the feasible. It's you!\"\n\n\"Comforter!\" poor Dencombe ironically sighed.\n\n\"But it's true,\" insisted his friend.\n\n\"It's true. It's frustration that doesn't count.\"\n\n\"Frustration's only life,\" said Doctor Hugh.\n\n\"Yes, it's what passes.\" Poor Dencombe was barely audible, but he had marked with the words the virtual end of his first and only chance.\n\nWithin moments of hearing muffled voices coming from above my head, I stood up on the daybed\u2014my finger still holding my place in the book\u2014and, stretching to my full height, tried to make out what was being said up there and by whom. When that didn't help, I thought of climbing onto Lonoff's desk; it was easily a foot or so higher than the daybed and would put my ear only inches from the room's low ceiling. But if I should fall, if I should alter by a millimeter the placement of his typing paper, if somehow I should leave footprints\u2014no, I couldn't risk it and shouldn't even have been thinking of it. I had gone far enough already by expropriating the corner of the desk to compose my half dozen unfinished letters home. My sense of propriety, not to mention the author's gracious hospitality, required me to restrain myself from committing such a sordid, callow little indecency.\n\nBut in the meantime I had done it.\n\nA woman was crying. Which one, over what, who was there comforting her\u2014or causing the tears? Just a little higher and maybe I could find out. A thick dictionary would have been perfect, but Lonoff's Webster's was down on a shelf of fat reference books level with the typing chair, and the best I could manage under pressure was to gain another couple of inches by kneeling to insert between the desk and my feet the volume of stories by Henry James.\n\nAh, the unreckoned consequences, the unaccountable uses of art! Dencombe would understand. James would understand. But would Lonoff? Don't fall.\n\n\"Now you're being sensible.\" Lonoff was the speaker. \"You had to see for yourself, and so you saw.\"\n\nA light thud directly overhead. Someone had dropped into a chair. The weary writer? In his bathrobe now, or still in suit and tie and polished shoes?\n\nThen I heard Amy Bellette. And what was she wearing at this hour? \"I saw nothing\u2014only more misery either way. Of course I can't live here\u2014but I can't keep living there, either. I can't live anywhere. I can't live.\"\n\n\"Quiet down. She's had it for today. Let her rest, now that she's asleep.\"\n\n\"She's ruining everyone's life.\"\n\n\"Don't blame her for what you hold against me. I'm the one who says no around here. Now you go to sleep.\"\n\n\"I can't. I don't want to. We can talk.\"\n\n\"We've talked.\"\n\nSilence. Were they down on their knees listening through the old floorboards for me? Then they had long since heard my drumming heart.\n\nBedsprings! Lonoff climbing in beside her!\n\nBut it was Amy getting out of bed I heard, not Lonoff climbing in. Her feet lightly crossed the floor only inches above my lips.\n\n\"I love you. I love you so, Dad-da. There's no one else like you. They're all such dopes.\"\n\n\"You're a good girl.\"\n\n\"Let me sit on your lap. Just hold me a little and I'll be fine.\"\n\n\"You're fine now. You're always fine in the end. You're the great survivor.\"\n\n\"No, just the world's strongest weakling. Oh, tell me a story. Sing me a song. Oh, imitate the great Durante, I really need it tonight.\"\n\nAt first it sounded like somebody coughing. But then I could hear that, yes, he was singing to her, very quietly, in the manner of Jimmy Durante\u2014\"So I ups to him, and he ups to me\"\u2014 I could catch just the one line, but that was enough for me to recall the song itself being sung by Durante on his radio show, in the celebrated raffish voice, and with the hoarse, endearing simplehearted delivery that the famous author was now impersonating overhead.\n\n\"More,\" said Amy.\n\nWas she now on his lap? Amy in her nightie and Lonoff in his suit?\n\n\"You go to sleep,\" he told her.\n\n\"More. Sing 'I Can Do Without Broadway.'\"\n\n\"'Oh, I know don well I can do widout Broadway\u2014but... can Broadway do widout meeeee?...'\"\n\n\"Oh, Manny, we could be so happy\u2014in Florence, my sweetest, we could come out of hiding.\"\n\n\"We're not in hiding. We never have been.\"\n\n\"No, not when it's like this. But otherwise it's all so false and wrong and lonely. We could make each other so happy. I wouldn't be your little girl over there. I would when we played, but otherwise I'd be your wife.\"\n\n\"We'd be what we've always been. Stop dreaming.\"\n\n\"No, not so. Without her\u2014\"\n\n\"You want a corpse on your conscience? She would be dead in a year.\"\n\n\"But I have a corpse on my conscience.\" The floor creaked where her two feet had suddenly landed. So she had been on his lap! \"Look!\"\n\n\"Cover yourself.\"\n\n\"My corpse.\"\n\nScuffling on the floorboards. The heavy tread of Lon-off on the move.\n\n\"Good night.\"\n\n\"Look at it.\"\n\n\"Melodrama, Amy. Cover up.\"\n\n\"You prefer tragedy?\"\n\n\"Don't wallow. You're not convincing. Decide not to lose hold\u2014and then don't.\"\n\n\"But I'm going crazy! I cannot live apart from you! I don't know how. Oh, why didn't I take that job\u2014and move back! And the hell with her!\"\n\n\"You did the right thing. You know just what to do.\"\n\n\"Yes, give things up!\"\n\n\"Dreamy things, correct.\"\n\n\"Oh, Manny, would it kill you just to kiss my breasts? Is that dreamy, too? Would it cause the death of anyone if you just did that?\"\n\n\"You cover yourself now.\"\n\n\"Dad-da, please.\"\n\nBut next I heard Lonoff's carpet slippers\u2014yes, he was out of his suit, dressed for bed\u2014padding through the upstairs corridor. Soundlessly as I could, I slipped down from the desk and made my way on my toes to the day-bed, where, from the sheer physical effort that had gone into my acrobatic eavesdropping, I collapsed. My astonishment at what I'd overheard, my shame at the unpardonable breach of his trust, my relief at having escaped undiscovered\u2014all that turned out to be nothing, really, beside the frustration I soon began to feel over the thinness of my imagination and what that promised for the future. Dad-da, Florence, the great Durante; her babyishness and desire, his mad, heroic restraint\u2014Oh, if only I could have imagined the scene I'd overheard! If only I could invent as presumptuously as real life! If one day I could just approach the originality and excitement of what actually goes on! But if I ever did, what then would they think of me, my father and his judge? How would my elders hold up against that? And if they couldn't, if the blow to their sentiments was finally too wounding, just how well would I hold up against being hated and reviled and disowned?\n3. Femme Fatale\n\nIt was only a year earlier that Amy had told Lonoff her whole story. Weeping hysterically, she had phoned him one night from the Biltmore Hotel in New York; as best he could understand, that morning she had come down alone on a train from Boston to see the matinee performance of a play, intending to return home again by train in the evening. Instead, after coming out of the theater she had taken a hotel room, where ever since she had been \"in hiding.\"\n\nAt midnight, having only just finished his evening's reading and gone up to bed, Lonoff got into his car and drove south. By four he had reached the city, by six she had told him that it was the dramatization of Anne Frank's diary she had come to New York to see, but it was midmorning before she could explain even somewhat coherently her connection with this new Broadway play.\n\n\"It wasn't the play\u2014I could have watched that easily enough if I had been alone. It was the people watching with me. Carloads of women kept pulling up to the theater, women wearing fur coats, with expensive shoes and handbags. I thought, This isn't for me. The billboards, the photographs, the marquee, I could take all that. But it was the women who frightened me\u2014and their families and their children and their homes. Go to a movie, I told myself, go instead to a museum. But I showed my ticket, I went in with them, and of course it happened. It had to happen. It's what happens there. The women cried. Everyone around me was in tears. Then at the end, in the row behind me, a woman screamed, 'Oh, no.' That's why I came running here. I wanted a room with a telephone in it where I could stay until I'd found my father. But all I did once I was here was sit in the bathroom thinking that if he knew, if I told him, then they would have to come out on the stage after each performance and announce, 'But she is really alive. You needn't worry, she survived, she is twenty-six now, and doing very well.' I would say to him, 'You must keep this our secret\u2014no one but you must ever know.' But suppose he was found out? What if we both were? Manny, I couldn't call him. And I knew I couldn't when I heard that woman scream 'Oh, no.' I knew then what's been true all along: I'll never see him again. I have to be dead to everyone.\"\n\nAmy lay on the rumpled bed, wrapped tightly in a blanket, while Lonoff listened in silence from a chair by the window. Upon entering the unlocked room, he had found her sitting in the empty bathtub, still wearing her best dress and her best coat: the coat because she could not stop trembling, in the tub because it was the farthest she could get from the window, which was twenty floors above the street.\n\n\"How pathetic, you must think. What a joke,\" she said.\n\n\"A joke? On whom? I don't see the joke.\"\n\n\"My telling this to you.\"\n\n\"I still don't get it.\"\n\n\"Because it's like one of your stories. An E. I. Lonoff story... called... oh, you'd know what to call it. You'd know how to tell it in three pages. A homeless girl comes from Europe, sits in the professor's class being clever, listens to his records, plays his daughter's piano, virtually grows up in his house, and then one day, when the waif is a woman and out on her own, one fine day in the Biltmore Hotel, she casually announces...\"\n\nHe left his chair and came to sit beside her on the bed while she went to pieces again. \"Yes,\" he said, \"quite casually.\"\n\n\"Manny, I'm not a lunatic, I'm not a crackpot, I'm not some girl\u2014you must believe me\u2014trying to be interesting and imitate your art!\"\n\n\"My dear friend,\" he replied, his arms around her now and rocking her like a child, \"if this is all so\u2014\"\n\n\"Oh, Dad-da, I'm afraid it really is.\"\n\n\"Well, then, you have left my poor art far behind.\"\n\n* * *\n\nThis is the tale that Amy told the morning after she had gone alone to the Cort Theatre to sit amid the weeping and inconsolable audience at the famous New York production of The Diary of Anne Frank. This is the story that the twenty-six-year-old young woman with the striking face and the fetching accent and the felicitous prose style and the patience, according to Lonoff, of a Lonoff, expected him to believe was true.\n\nAfter the war she had become Amy Bellette. She had not taken the new name to disguise her identity\u2014as yet there was no need\u2014but, as she imagined at the time, to forget her life. She had been in a coma for weeks, first in the filthy barracks with the other ailing and starving inmates, and then in the squalid makeshift \"infirmary.\" A dozen dying children had been rounded up by the SS and placed beneath blankets in a room with twelve beds in order to impress the Allied armies advancing upon Belsen with the amenities of concentration-camp living. Those of the twelve still alive when the British got there had been moved to an army field hospital. It was here that she finally came around. She understood sometimes less and sometimes more than the nurses explained to her, but she would not speak. Instead, without howling or hallucinating, she tried to find a way to believe that she was somewhere in Germany, that she was not yet sixteen, and that her family was dead. Those were the facts; now to grasp them.\n\n\"Little Beauty\" the nurses called her\u2014a silent, dark, emaciated girl\u2014and so, one morning, ready to talk, she told them that the surname was Bellette. Amy she got from an American book she had sobbed over as a child, Little Women. She had decided, during her long silence, to finish growing up in America now that there was nobody left to live with in Amsterdam. After Belsen she figured it might be best to put an ocean the size of the Atlantic between herself and what she needed to forget.\n\nShe learned of her father's survival while waiting to get her teeth examined by the Lonoffs' family dentist in Stockbridge. She had been three years with foster families in England, and almost a year as a freshman at Athene College, when she picked an old copy of Time out of the pile in the waiting room and, just turning pages, saw a photograph of a Jewish businessman named Otto Frank. In July of 1942, some two years after the beginning of the Nazi occupation, he had taken his wife and his two young daughters into hiding. Along with another Jewish family, the Franks lived safely for twenty-five months in a rear upper story of the Amsterdam building where he used to have his business offices. Then, in August 1944, their whereabouts were apparently betrayed by one of the workers in the warehouse below, and the hideout was uncovered by the police. Of the eight who'd been together in the sealed-off attic rooms, only Otto Frank survived the concentration camps. When he came back to Amsterdam after the war, the Dutch family who had been their protectors gave him the notebooks that had been kept in hiding by his younger daughter, a girl of fifteen when she died in Belsen: a diary, some ledgers she wrote in, and a sheaf of papers emptied out of her briefcase when the Nazis were ransacking the place for valuables. Frank printed and circulated the diary only privately at first, as a memorial to his family, but in 1947 it was published in a regular edition under the title Het Achterhuis\u2014\"The House Behind.\" Dutch readers, Time said, were greatly affected by the young teenager's record of how the hunted Jews tried to carry on a civilized life despite their deprivations and the terror of discovery.\n\nAlongside the article\u2014\"A Survivor's Sorrows\"\u2014was the photograph of the diarist's father, \"now sixty.\" He stood alone in his coat and hat in front of the building on the Prinsengracht Canal where his late family had improvised a last home.\n\nNext came the part of her story that Lonoff was bound to think improbable. She herself, however, could not consider it all that strange that she should be thought dead when in fact she was alive; nobody who knew the chaos of those final months\u2014the Allies bombing everywhere, the SS in flight\u2014would call that improbable. Whoever claimed to have seen her dead of typhus in Belsen had either confused her with her older sister, Margot, or had figured that she was dead after seeing her so long in a coma, or had watched her being carted away, as good as dead, by the Kapos.\n\n\"Belsen was the third camp,\" Amy told him. \"We were sent first to Westerbork, north of Amsterdam. There were other children around to talk to, we were back in the open air\u2014aside from being frightened it really wasn't that awful. Daddy lived in the men's barracks, but when I got sick he managed somehow to get into the women's camp at night and to come to my bed and hold my hand. We were there a month, then we were shipped to Auschwitz. Three days and three nights in the freight cars. Then they opened the doors and that was the last I saw of him. The men were pushed in one direction, we were pushed in the other. That was early September. I saw my mother last at the end of October. She could hardly speak by then. When Margot and I were shipped from Auschwitz, I don't even know if she understood.\"\n\nShe told him about Belsen. Those who had survived the cattle cars lived at first in tents on the heath. They slept on the bare ground in rags. Days went by without food or fresh water, and after the autumn storms tore the tents from their moorings, they slept exposed to the wind and rain. When at last they were being moved into barracks, they saw ditches beyond the camp enclosure piled high with bodies\u2014the people who had died on the heath from typhus and starvation. By the time winter came, it seemed as if everyone still alive was either sick or half mad. And then, while watching her sister slowly dying, she grew sick herself. After Margot's death, she could hardly remember the women in the barracks who had helped her, and knew nothing of what happened to them.\n\nIt was not so improbable either that after her long hospital convalescence she had not made her way to the address in Switzerland where the family had agreed to meet if they should ever lose touch with one another. Would a weak sixteen-year-old girl undertake a journey requiring money, visas\u2014requiring hope\u2014only to learn at the other end that she was as lost and alone as she feared?\n\nNo, no, the improbable part was this: that instead of telephoning Time and saying, \"I'm the one who wrote the diary\u2014find Otto Frank!\" she jotted down in her notebook the date on the magazine's cover and, after a tooth had been filled, went off with her school books to the library. What was improbable\u2014inexplicable, indefensible, a torment still to her conscience\u2014was that, calm and studious as ever, she checked The New York Times Index and the Readers' Guide to Periodical Literature for \"Frank, Anne\" and \"Frank, Otto\" and \"Het Achterhuis,\" and, when she found nothing, went down to the library's lowest stacks, where the periodicals were shelved. There she spent the remaining hour before dinner rereading the article in Time. She read it until she knew it by heart. She studied her father's photograph. Now sixty. And those were the words that did it\u2014made of her once again the daughter who cut his hair for him in the attic, the daughter who did her lessons there with him as her tutor, the daughter who would run to his bed and cling to him under the covers when she heard the Allied bombers flying over Amsterdam: suddenly she was the daughter for whom he had taken the place of everything she could no longer have. She cried for a very long time. But when she went to dinner in the dormitory, she pretended that nothing catastrophic had once again happened to Otto Frank's Anne.\n\nBut then right from the beginning she had resolved not to speak about what she had been through. Resolutions were her strong point as a young girl on her own. How else could she have lasted on her own? One of the thousand reasons she could not bear Uncle Daniel, the first of her foster fathers in England, was that sooner or later he wound up telling whoever walked into the house about all that had happened to Amy during the war. And then there was Miss Giddings, the young teacher in the school north of London who was always giving the orphaned little Jewess tender glances during history class. One day after school Miss Giddings took her for a lemon-curd tart at the local tearoom and asked her questions about the concentration camps. Her eyes filled with tears as Amy, who felt obliged to answer, confirmed the stories she had heard but could never quite believe. \"Terrible,\" Miss Giddings said, \"so terrible.\" Amy silently drank her tea and ate her lovely tart, while Miss Giddings, like one of her own history students, tried in vain to understand the past. \"Why is it,\" the unhappy teacher finally asked, \"that for centuries people have hated you Jews?\" Amy rose to her feet. She was stunned. \"Don't ask me that!\" the girl said\u2014\"ask the madmen who hate us!\" And she had nothing further to do with Miss Giddings as a friend\u2014or with anyone else who asked her anything about what they couldn't possibly understand.\n\nOne Saturday only a few months after her arrival in England, vowing that if she heard another plaintive \"Belsen\" out of Uncle Daniel's mouth she would run off to Southampton and stow away on an American ship\u2014and having had about enough of the snooty brand of sympathy the pure-bred English teachers offered at school\u2014she burned her arm while ironing a blouse. The neighbors came running at the sound of her screams and rushed her to the hospital emergency room. When the bandage was removed, there was a patch of purple scar tissue about half the size of an egg instead of her camp number.\n\nAfter the accident, as her foster parents called it, Uncle Daniel informed the Jewish Welfare Board that his wife's ill health made it impossible for them to continue to have Amy in their home. The foster child moved on to another family\u2014and then another. She told whoever asked that she had been evacuated from Holland with a group of Jewish schoolchildren the week before the Nazis invaded. Sometimes she did not even say that the schoolchildren were Jewish, an omission for which she was mildly rebuked by the Jewish families who had accepted responsibility for her and were troubled by her lying. But she could not bear them all laying their helpful hands upon her shoulders because of Auschwitz and Belsen. If she was going to be thought exceptional, it would not be because of Auschwitz and Belsen but because of what she had made of herself since.\n\nThey were kind and thoughtful people, and they tried to get her to understand that she was not in danger in England. \"You needn't feel frightened or threatened in any way,\" they assured her. \"Or ashamed of anything.\" \"I'm not ashamed. That's the point.\" \"Well, that isn't always the point when young people try to hide their Jewish origins.\" \"Maybe it isn't with others,\" she told them, \"but it is with me.\"\n\nOn the Saturday after discovering her father's photograph in Time, she took the morning bus to Boston, and in every foreign bookstore looked in vain for a copy of Het Achterhuis. Two weeks later she traveled the three hours to Boston again, this time to the main post office to rent a box. She paid for it in cash, then mailed the letter she was carrying in her handbag, along with a money order for fifteen dollars, to Contact Publishers in Amsterdam, requesting them to send, postage paid, to Pilgrim International Bookshop, P.O. Box 152, Boston, Mass., U.S.A., as many copies as fifteen dollars would buy of Het Achterhuis by Anne Frank.\n\nShe had been dead for him some four years; believing her dead for another month or two would not really hurt much more. Curiously she did not hurt more either, except in bed at night when she cried and begged forgiveness for the cruelty she was practicing on her perfect father, now sixty.\n\nNearly three months after she had sent the order off to her Amsterdam publisher, on a warm, sunny day at the beginning of August, there was a package too large for the Pilgrim Bookshop post-office box waiting to be picked up in Boston. She was wearing a beige linen skirt and a fresh white cotton blouse, both ironed the night before. Her hair, cut in pageboy style that spring, had been washed and set the previous night, and her skin was evenly tanned. She was swimming a mile every morning and playing tennis every afternoon and, all in all, was as fit and energetic as a twenty-year-old could be. Maybe that was why, when the postal clerk handed her the parcel, she did not tear at the string with her teeth or faint straightaway onto the marble floor. Instead, she walked over to the Common\u2014the package mailed from Holland swinging idly from one hand\u2014and wandered along until she found an unoccupied bench. She sat first on a bench in the shade, but then got up and walked on until she found a perfect spot in the sunshine.\n\nAfter thoroughly studying the Dutch stamps\u2014postwar issues new to her\u2014and contemplating the postmark, she set about to see how carefully she could undo the package. It was a preposterous display of unruffled patience and she meant it to be. She was feeling at once triumphant and giddy. Forbearance, she thought. Patience. Without patience there is no life. When she had finally untied the string and unfolded, without tearing, the layers of thick brown paper, it seemed to her that what she had so meticulously removed from the wrappings and placed onto the lap of her clean and pretty American girl's beige linen skirt was her survival itself.\n\nVan Anne Frank. Her book. Hers.\n\n* * *\n\nShe had begun keeping a diary less than three weeks before Pim told her that they were going into hiding. Until she ran out of pages and had to carry over onto office ledgers, she made the entries in a cardboard-covered notebook that he'd given her for her thirteenth birthday. She still remembered most of what happened to her in the achterhuis, some of it down to the most minute detail, but of the fifty thousand words recording it all, she couldn't remember writing one. Nor could she remember anything much of what she'd confided there about her personal problems to the phantom confidante she'd named Kitty\u2014whole pages of her tribulations as new and strange to her as her native tongue.\n\nPerhaps because Het Achterhuis was the first Dutch book she'd read since she'd written it, her first thought when she finished was of her childhood friends in Amsterdam, the boys and girls from the Montessori school where she'd learned to read and write. She tried to remember the names of the Christian children, who would have survived the war. She tried to recall the names of her teachers, going all the way back to kindergarten. She pictured the faces of the shopkeepers, the postman, the milk delivery-man who had known her as a child. She imagined their neighbors in the houses on Merwedeplein. And when she had, she saw each of them closing her book and thinking, Who realized she was so gifted? Who realized we had such a writer in our midst?\n\nThe first passage she reread was dated over a year before the birth of Amy Bellette. The first time round she'd bent back the corner of the page; the second time, with a pen from her purse, she drew a dark meaningful line in the margin and beside it wrote\u2014in English, of course\u2014\"uncanny.\" (Everything she marked she was marking for him, or made the mark actually pretending to be him.) I have an odd way of sometimes, as it were, being able to see myself through someone else's eyes. Then I view the affairs of a certain \"Anne\" at my ease, and browse through the pages of her life as if she were a stranger. Before we came here, when I didn't think about things as much as I do now, I used at times to have the feeling that I didn't belong to Mansa, Pim, and Margot, and that I would always be a bit of an outsider. Sometimes I used to pretend I was an orphan...\n\nThen she read the whole thing from the start again, making a small marginal notation\u2014and a small grimace\u2014whenever she came upon anything she was sure he would consider \"decorative\" or \"imprecise\" or \"unclear.\" But mostly she marked passages she couldn't believe that she had written as little more than a child. Why, what eloquence, Anne\u2014it gave her gooseflesh, whispering her own name in Boston\u2014what deftness, what wit! How nice, she thought, if I could write like this for Mr. Lonoff's English 12. \"It's good,\" she heard him saying, \"it's the best thing you've ever done, Miss Bellette.\"\n\nBut of course it was\u2014she'd had a \"great subject,\" as the girls said in English class. Her family's affinity with what families were suffering everywhere had been clear to her right from the beginning. There is nothing we can do but wait as calmly as we can till the misery comes to an end. Jews and Christians wait, the whole earth waits; and there are many who wait for death. But while writing these lines (\"Quiet, emphatic feeling\u2014that's the idea. E.I.L.\") she had had no grandiose delusions about her little achterhuis diary's ever standing as part of the record of the misery. It wasn't to educate anybody other than herself\u2014out of her great expectations\u2014that she kept track of how trying it all was. Recording it was enduring it; the diary kept her company and it kept her sane, and whenever being her parents' child seemed to her as harrowing as the war itself, it was where she went to confess. Only to Kitty was she able to speak freely about the hopelessness of trying to satisfy her mother the way Margot did; only to Kitty could she openly bewail her inability even to pronounce the word \"Mumsie\" to her aloud\u2014and to concede the depth of her feeling for Pim, a father she wanted to want her to the exclusion of all others, not only as his child, but for me\u2014Anne, myself.\n\nOf course it had eventually to occur to any child so mad on books and reading that for all she knew she was writing a book of her own. But most of the time it was her morale that she was sustaining not, at fourteen, literary ambition. As for developing into a writer\u2014she owed that not to any decision to sit down each day and try to be one but to their stifling life. That, of all things, seemed to have nurtured her talent! Truly, without the terror and the claustrophobia of the achterhuis, as a chatterbox surrounded by friends and rollicking with laughter, free to come and go, free to clown around, free to pursue her every last expectation, would she ever have written sentences so deft and so eloquent and so witty? She thought, Now maybe that's the problem in English 12\u2014not the absence of the great subject but the presence of the lake and the tennis courts and Tanglewood. The perfect tan, the linen skirts, my emerging reputation as the Pallas Athene of Athene College\u2014maybe that's what's doing me in. Maybe if I were locked up again in a room somewhere and fed on rotten potatoes and clothed in rags and terrified out of my wits, maybe then I could write a decent story for Mr. Lonoff!\n\nIt was only with the euphoria of invasion fever, with the prospect of the Allied landings and the German collapse and the coming of that golden age known around the achterhuis as after the war, that she was able to announce to Kitty that the diary had perhaps done more than just assuage her adolescent loneliness. After two years of honing her prose, she felt herself ready for the great undertaking: my greatest wish is to become a journalist someday and later on a famous writer. But that was in May of 1944, when to be famous someday seemed to her no more or less extraordinary than to be going back to school in September. Oh, that May of marvelous expectations! Never again another winter in the achterhuis. Another winter and she would have gone crazy.\n\nThe first year there it hadn't been that bad; they'd all been so busy settling in that she didn't have time to feel desperate. In fact, so diligently had they all worked to transform the attic into a superpractical home that her father had gotten everybody to agree to subdivide the space still further and take in another Jew. But once the Allied bombing started, the superpractical home became her torture chamber. During the day the two families squabbled over everything, and then at night she couldn't sleep, sure that the Gestapo was going to come in the dark to take them away. In bed she began to have horrifying visions of Lies, her schoolfriend, reproaching her for being safe in bed in Amsterdam and not in a concentration camp, like all her Jewish friends: \"Oh, Anne, why have you deserted me? Help, oh, help me, rescue me from this hell!\" She would see herself in a dungeon, without Mummy and Daddy\u2014and worse. Right down to the final hours of 1943 she was dreaming and thinking the most terrible things. But then all at once it was over. Miraculously. \"And what did it, Professor Lonoff? See Anna Karenina. See Madame Bovary. See half the literature of the Western world.\" The miracle: desire. She would be back to school in September, but she would not be returning to class the same girl. She was no longer a girl. Tears would roll down her cheeks at the thought of a naked woman. Her unpleasant menstrual periods became a source of the strangest pleasure. At night in bed she was excited by her breasts. Just these sensations\u2014but all at once forebodings of her miserable death were replaced with a craze for life. One day she was completely recovered, and the next she was, of course, in love. Their troubles had made her her own woman, at fourteen. She began going off on private visits to the secluded corner of the topmost floor, which was occupied exclusively by Peter, the Van Daans' seventeen-year-old son. That she might be stealing him away from Margot didn't stop her, and neither did her scandalized parents: first just teatime visits, then evening assignations\u2014then the defiant letter to the disappointed father. On May 3rd of that marvelous May: I am young and I possess many buried qualities; I am young and strong and am living a great adventure. And two days later, to the father who had saved her from the hell that had swallowed up Lies, to the Pim whose favorite living creature she had always longed to be, a declaration of her independence, in mind and body, as she bluntly put it: I have now reached the stage that I can live entirely on my own, without Mummy's support or anyone else's for that matter... I don't feel in the least bit responsible to any of you... I don't have to give an account of my deeds to anyone but myself...\n\nWell, the strength of a woman on her own wasn't all she'd imagined it to be. Neither was the strength of a loving father. He told her it was the most unpleasant letter he'd ever received, and when she began to cry with shame for having been too low for words, he wept along with her. He burned the letter in the fire, the weeks passed, and she found herself growing disenchanted with Peter. In fact, by July she was wondering how it would be possible, in their circumstances, to shake him off, a problem resolved for her on a sunny August Friday, when in the middle of the morning, as Pim was helping Peter with his English lessons and she was off studying by herself, the Dutch Green Police arrived and dissolved forever the secret household still heedful of propriety, obedience, discretion, self-improvement, and mutual respect. The Franks, as a family, came to an end, and, fittingly enough, thought the diarist, so did her chronicle of their effort to go sensibly on as themselves, in spite of everything.\n\n* * *\n\nThe third time she read the book through was on the way back to Stockbridge that evening. Would she ever read another book again? How, if she couldn't put this one down? On the bus she began to speculate in the most immodest way about what she had written\u2014had \"wrought.\" Perhaps what got her going was the rumbling, boundless, electrified, indigo sky that had been stalking the bus down the highway since Boston: outside the window the most outlandish El Greco stage effects, outside a Biblical thunderstorm complete with baroque trimmings, and inside Amy curled up with her book\u2014and with the lingering sense of tragic grandeur she'd soaked up from the real El Grecos that afternoon in the Boston Museum of Fine Arts. And she was exhausted, which probably doesn't hurt fantastical thinking, either. Still spellbound by her first two readings of Het Achterhuis, she had rushed on to the Gardner and the Fogg, where, to top off the day, the self-intoxicated girl with the deep tan and the animated walk had been followed by easily a dozen Harvard Summer School students eager to learn her name. Three museums because back at Athene she preferred to tell everyone the truth, more or less, about the big day in Boston. To Mr. Lonoff she planned to speak at length about all the new exhibitions she'd gone to see at his wife's suggestion.\n\nThe storm, the paintings, her exhaustion\u2014none of it was really necessary, however, to inspire the sort of expectations that resulted from reading her published diary three times through in the same day. Towering egotism would probably have been sufficient. Perhaps she was only a very young writer on a bus dreaming a very young writer's dreams.\n\n* * *\n\nAll her reasoning, all her fantastical thinking about the ordained mission of her book followed from this: neither she nor her parents came through in the diary as anything like representative of religious or observant Jews. Her mother lit candles on Friday night and that was about the extent of it. As for celebrations, she had found St. Nicholas's Day, once she'd been introduced to it in hiding, much more fun than Chanukah, and along with Pim made all kinds of clever gifts and even written a Santa Claus poem to enliven the festivities. When Pim settled upon a children's Bible as her present for the holiday\u2014so she might learn something about the New Testament\u2014Margot hadn't approved. Margot's ambition was to be a midwife in Palestine. She was the only one of them who seemed to have given serious thought to religion. The diary that Margot kept, had it ever been found, would not have been quite so sparing as hers in curiosity about Judaism, or plans for leading a Jewish life. Certainly it was impossible for her to imagine Margot thinking, let alone writing with longing in her diary, the time will come when we are people again, and not just Jews.\n\nShe had written these words, to be sure, still suffering the aftereffects of a nighttime burglary in the downstairs warehouse. The burglary had seemed certain to precipitate their discovery by the police, and for days afterward everyone was weak with terror. And for her, along with the residue of fear and the dubious sense of relief, there was, of course, the guilt-tinged bafflement when she realized that, unlike Lies, she had again been spared. In the aftermath of that gruesome night, she went around and around trying to understand the meaning of their persecution, one moment writing about the misery of being Jews and only Jews to their enemies, and then in the next airily wondering if it might even be our religion from which the world and all peoples learn good.... We can never become just Netherlanders, she reminded Kitty, we will always remain Jews, but we want to, too\u2014only to close out the argument with an announcement one most assuredly would not have come upon in \"The Diary of Margot Frank\": I've been saved again, now my first wish after the war is that I may become Dutch! I love the Dutch, I love this country, I love the language and want to work here. And even if I have to write to the Queen myself, I will not give up until I have reached my goal.\n\nNo, that wasn't mother's Margot talking, that was father's Anne. To London to learn English, to Paris to look at clothes and study art, to Hollywood, California, to interview the stars as someone named \"Anne Franklin\"\u2014while self-sacrificing Margot delivered babies in the desert. To be truthful, while Margot was thinking about God and the homeland, the only deities she ever seemed to contemplate at any length were to be found in the mythology of Greece and Rome, which she studied all the time in hiding, and adored. To be truthful, the young girl of her diary was, compared to Margot, only dimly Jewish, though in that entirely the daughter of the father who calmed her fears by reading aloud to her at night not the Bible but Goethe in German and Dickens in English.\n\nBut that was the point\u2014that was what gave her diary the power to make the nightmare real. To expect the great callous and indifferent world to care about the child of a pious, bearded father living under the sway of the rabbis and the rituals\u2014that was pure folly. To the ordinary person with no great gift for tolerating even the smallest of differences the plight of that family wouldn't mean a thing. To ordinary people it probably would seem that they had invited disaster by stubbornly repudiating everything modern and European\u2014not to say Christian. But the family of Otto Frank, that would be another matter! How could even the most obtuse of the ordinary ignore what had been done to the Jews just for being Jews, how could even the most benighted of the Gentiles fail to get the idea when they read in Het Achterhuis that once a year the Franks sang a harmless Chanukah song, said some Hebrew words, lighted some candles, exchanged some presents\u2014a ceremony lasting about ten minutes\u2014and that was all it took to make them the enemy. It did not even take that much. It took nothing\u2014that was the horror. And that was the truth. And that was the power of her book. The Franks could gather together by the radio to listen to concerts of Mozart, Brahms, and Beethoven; they could entertain themselves with Goethe and Dickens and Schiller; she could look night after night through the genealogical tables of all of Europe's royal families for suitable mates for Princess Elizabeth and Princess Margaret Rose; she could write passionately in her diary of her love for Queen Wilhelmina and her desire for Holland to be her fatherland\u2014and none of it made any difference. Europe was not theirs nor were they Europe's, not even her Europeanized family. Instead, three flights up from a pretty Amsterdam canal, they lived crammed into a hundred square feet with the Van Daans, as isolated and despised as any ghetto Jews. First expulsion, next confinement, and then, in cattle cars and camps and ovens, obliteration. And why? Because the Jewish problem to be solved, the degenerates whose contamination civilized people could no longer abide, were they themselves, Otto and Edith Frank, and their daughters, Margot and Anne.\n\nThis was the lesson that on the journey home she came to believe she had the power to teach. But only if she were believed to be dead. Were Het Achterhuis known to be the work of a living writer, it would never be more than it was: a young teenager's diary of her trying years in hiding during the German occupation of Holland, something boys and girls could read in bed at night along with the adventures of the Swiss Family Robinson. But dead she had something more to offer than amusement for ages 10\u201315; dead she had written, without meaning to or trying to, a book with the force of a masterpiece to make people finally see.\n\nAnd when people had finally seen? When they had learned what she had the power to teach them, what then? Would suffering come to mean something new to them? Could she actually make them humane creatures for any longer than the few hours it would take to read her diary through? In her room at Athene\u2014after hiding in her dresser the three copies of Het Achterhuis\u2014she thought more calmly about her readers-to-be than she had while pretending to be one of them on the stirring bus ride through the lightning storm. She was not, after all, the fifteen-year-old who could, while hiding from a holocaust, tell Kitty, I still believe that people are really good at heart. Her youthful ideals had suffered no less than she had in the windowless freight car from Westerbork and in the barracks at Auschwitz and on the Belsen heath. She had not come to hate the human race for what it was\u2014what could it be but what it was?\u2014but she did not feel seemly any more singing its praises.\n\nWhat would happen when people had finally seen? The only realistic answer was Nothing. To believe anything else was only to yield to longings which even she, the great longer, had a right to question by now. To keep her existence a secret from her father so as to help improve mankind... no, not at this late date. The improvement of the living was their business, not hers; they could improve themselves, if they should ever be so disposed; and if not, not. Her responsibility was to the dead, if to anyone\u2014to her sister, to her mother, to all the slaughtered schoolchildren who had been her friends. There was her diary's purpose, there was her ordained mission: to restore in print their status as flesh and blood... for all the good that would do them. An ax was what she really wanted, not print. On the stairwell at the end of her corridor in the dormitory there was a large ax with an enormous red handle, to be used in case of fire. But what about in case of hatred\u2014what about murderous rage? She stared at it often enough, but never found the nerve to take it down from the wall. Besides, once she had it in her hands, whose head would she split open? Whom could she kill in Stockbridge to avenge the ashes and the skulls? If she even could wield it. No, what she had been given to wield was Het Achterhuis, van Anne Frank. And to draw blood with it she would have to vanish again into another achterhuis, this time fatherless and all on her own.\n\nSo she renewed her belief in the power of her less than three hundred pages, and with it the resolve to keep from her father, sixty, the secret of her survival. \"For them,\" she cried, \"for them,\" meaning all who had met the fate that she had been spared and was now pretending to. \"For Margot, for my mother, for Lies.\"\n\nNow every day she went to the library to read The New York Times. Each week she read carefully through the newsmagazines. On Sundays she read about all the new books being published in America: novels said to be \"notable\" and \"significant,\" none of which could possibly be more notable and more significant than her posthumously published diary; insipid best-sellers from which real people learned about fake people who could not exist and would not matter if they did. She read praise for historians and biographers whose books, whatever their merit, couldn't possibly be as worthy of recognition as hers. And in every column in every periodical she found in the library\u2014American, French, German, English\u2014she looked for her own real name. It could not end with just a few thousand Dutch readers shaking their heads and going about their business\u2014it was too important for that! \"For them, for them\"\u2014over and over, week after week, \"for them\"\u2014until at last she began to wonder if having survived in the achterhuis, if having outlived the death camps, if masquerading here in New England as somebody other than herself did not make something very suspect\u2014and a little mad\u2014of this seething passion to \"come back\" as the avenging ghost. She began to fear that she was succumbing to having not succumbed.\n\nAnd why should she! Who was she pretending to be but who she would have been anyway if no achterhuis and no death camps had intervened? Amy was not somebody else. The Amy who had rescued her from her memories and restored her to life\u2014beguiling, commonsensical, brave, and realistic Amy\u2014was herself. Who she had every right to be! Responsibility to the dead? Rhetoric for the pious! There was nothing to give the dead\u2014they were dead. \"Exactly. The importance, so-called, of this book is a morbid illusion. And playing dead is melodramatic and disgusting. And hiding from Daddy is worse. No atonement is required,\" said Amy to Anne. \"Just get on the phone and tell Pim you're alive. He is sixty.\"\n\nHer longing for him now exceeded even what it had been in childhood, when she wanted more than anything to be his only love. But she was young and strong and she was living a great adventure, and she did nothing to inform him or anyone that she was still alive; and then one day it was just too late. No one would have believed her; no one other than her father would have wanted to. Now people came every day to visit their secret hideaway and to look at the photographs of the movie stars that she'd pinned to the wall beside her bed. They came to see the tub she had bathed in and the table where she'd studied. They looked out of the loft window where Peter and she had cuddled together watching the stars. They stared at the cupboard camouflaging the door the police had come through to take them away. They looked at the open pages of her secret diary. That was her handwriting, they whispered, those are her words. They stayed to look at everything in the achterhuis that she had ever touched. The plain passageways and serviceable little rooms that she had, like a good composition student, dutifully laid out for Kitty in orderly, accurate, workaday Dutch\u2014the super-practical achterhuis was now a holy shrine, a Wailing Wall. They went away from it in silence, as bereft as though she had been their own.\n\nBut it was they who were hers. \"They wept for me,\" said Amy; \"they pitied me; they prayed for me; they begged my forgiveness. I was the incarnation of the millions of unlived years robbed from the murdered Jews. It was too late to be alive now. I was a saint.\"\n\nThat was her story. And what did Lonoff think of it when she was finished? That she meant every word and that not a word was true.\n\nAfter Amy had showered and dressed, she checked out of the hotel and he took her to eat some lunch. He phoned Hope from the restaurant and explained that he was bringing Amy home. She could walk in the woods, look at the foliage, sleep safely in Becky's bed; over a few days' time she would be able to collect herself, and then she could return to Cambridge. All he explained about her collapse was that she appeared to him to be suffering from exhaustion. He had promised Amy that he would say no more.\n\nOn the ride back to the Berkshires, while Amy told him what it had been like for her during the years when she was being read in twenty different languages by twenty million people, he made plans to consult Dr. Boyce. Boyce was at Riggs, the Stockbridge psychiatric hospital. Whenever a new book appeared, Dr. Boyce would send a charming note asking the author if he would kindly sign the doctor's copy, and once a year the Lonoffs were invited to the Boyces' big barbecue. At Dr. Boyce's request, Lonoff once reluctantly consented to meet with a staff study group from the hospital to discuss \"the creative personality.\" He didn't want to offend the psychiatrist, and it might for a while pacify his wife, who liked to believe that if he got out and mixed more with people things would be better at home.\n\nThe study group turned out to have ideas about writing that were too imaginative for his taste, but he made no effort to tell them they were wrong. Nor did he think that he was necessarily right. They saw it their way, he saw it like Lonoff. Period. He had no desire to change anyone's mind. Fiction made people say all kinds of strange things\u2014so be it.\n\nThe meeting with the psychiatrists had been underway for only an hour when Lonoff said it had been an enjoyable evening but he had to be getting home. \"I have the evening's reading still ahead of me. Without my reading I'm not myself. However, you must feel free to talk about my personality when I'm gone.\" Boyce, smiling warmly, replied, \"I hope we've amused you at least a little with our na\u00efve speculations.\" \"I would have liked to amuse you. I apologize for being boring.\" \"No, no,\" said Boyce, \"passivity in a man of stature has a charm and mystery all its own.\" \"Yes?\" said Lonoff. \"I must tell my wife.\"\n\nBut an hour wasted some five years ago was hardly to the point. He trusted Boyce and knew that the psychiatrist would not betray his confidence when he went the next day to talk with him about his former student and quasi daughter, a young woman of twenty-six, who had disclosed to him that of all the Jewish writers, from Franz Kafka to E. I. Lonoff, she was the most famous. As for his own betrayal of the quasi daughter's confidence, it did not count for much as Amy elaborated further upon her consuming delusion.\n\n\"Do you know why I took this sweet name? It wasn't to protect me from my memories. I wasn't hiding the past from myself or myself from the past. I was hiding from hatred, from hating people the way people hate spiders and rats. Manny, I felt flayed. I felt as though the skin had been peeled away from half my body. Half my face had been peeled away, and everybody would stare in horror for the rest of my life. Or they would stare at the other half, at the half still intact; I could see them smiling, pretending that the flayed half wasn't there, and talking to the half that was. And I could hear myself screaming at them, I could see myself thrusting my hideous side right up into their unmarred faces to make them properly horrified. 'I was pretty! I was whole! I was a sunny, lively little girl! Look, look at what they did to me!' But whatever side they looked at, I would always be screaming, 'Look at the other! Why don't you look at the other!' That's what I thought about in the hospital at night. However they look at me, however they talk to me, however they try to comfort me, I will always be this half-flayed thing. I will never be young, I will never be kind or at peace or in love, and I will hate them all my life.\n\n\"So I took the sweet name\u2014to impersonate everything that I wasn't. And a very good pretender I was, too. After a while I could imagine that I wasn't pretending at all, that I had become what I would have been anyway. Until the book. The package came from Amsterdam, I opened it, and there it was: my past, myself, my name, my face intact\u2014and all I wanted was revenge. It wasn't for the dead\u2014it had nothing to do with bringing back the dead or scourging the living. It wasn't corpses I was avenging\u2014it was the motherless, fatherless, sisterless, venge-filled, hate-filled, shame-filled, half-flayed, seething thing. It was myself. I wanted tears, I wanted their Christian tears to run like Jewish blood, for me. I wanted their pity\u2014and in the most pitiless way. And I wanted love, to be loved mercilessly and endlessly, just the way I'd been debased. I wanted my fresh life and my fresh body, cleansed and unpolluted. And it needed twenty million people for that. Twenty million ten times over.\n\n\"Oh, Manny, I want to live with you! That's what I need! The millions won't do it\u2014it's you! I want to go home to Europe with you. Listen to me, don't say no, not yet. This summer I saw a small house for rent, a stone villa up on a hillside. It was outside Florence. It had a pink tile roof and a garden. I got the phone number and I wrote it down. I still have it. Oh, everything beautiful that I saw in Italy made me think of how happy you could be there\u2014how happy I would be there, looking after you. I thought of the trips we'd take. I thought of the afternoons in the museums and having coffee later by the river. I thought of listening to music together at night. I thought of making your meals. I thought of wearing lovely nightgowns to bed. Oh, Manny, their Anne Frank is theirs; I want to be your Anne Frank. I'd like at last to be my own. Child Martyr and Holy Saint isn't a position I'm really qualified for any more. They wouldn't even have me, not as I am, longing for somebody else's husband, begging him to leave his loyal wife to run off with a girl half his age. Manny, does it matter that I'm your daughter's age and you're my father's? Of course I love the Dad-da in you, how could I not? And if you love the child in me, why shouldn't you? There's nothing strange in that\u2014so does half the world. Love has to start somewhere, and that's where it starts in us. And as for who I am\u2014well,\" said Amy, in a voice as sweet and winning as any he'd ever heard, \"you've got to be somebody, don't you? There's no way around that.\"\n\nAt home they put her to bed. In the kitchen Lonoff sat with his wife drinking the coffee she'd made him. Every time he pictured Amy at the dentist's office reading about Otto Frank in Time magazine, or in the library stacks searching for her \"real\" name, every time he imagined her on Boston Common addressing to her writing teacher an intimate disquisition on \"her\" book, he wanted to let go and cry. He had never suffered so over the suffering of another human being.\n\nOf course he told Hope nothing about who Amy thought she was. But he didn't have to, he could guess what she would say if he did: it was for him, the great writer, that Amy had chosen to become Anne Frank; that explained it all, no psychiatrist required. For him, as a consequence of her infatuation: to enchant him, to bewitch him, to break through the scrupulosity and the wisdom and the virtue into his imagination, and there, as Anne Frank, to become E. I. Lonoff's femme fatale.\n4. Married to Tolstoy\n\nThe next morning we all ate breakfast together like a happy family of four. The woman whom Lonoff could not throw out after thirty years just because he might prefer to see a new face over his fruit juice proudly told us\u2014over our fruit juice\u2014of the accomplishments of the children whose chairs Amy and I occupied. She showed us recent photographs of them, all with their own children. Lonoff had not mentioned to me the night before that he was a grandfather several times over. But why would he?\n\nHope seemed overnight to have been transformed from his aging, aggrieved, lonely wife into somebody rather more like the happy author of the sweet nature poems framed on the kitchen wall, the tender of the geraniums, the woman of whom Lonoff had said over the broken saucer, \"She can glue it.\" Nor did Lonoff seem quite the same man; whether deliberately or not, he was humming \"My Blue Heaven\" when he came to the breakfast table. And almost immediately began the mordant clowning, also designed to make Hope all the happier.\n\nAnd why the change? Because Amy would return to Cambridge after breakfast.\n\nBut I could not really think of her as Amy any longer. Instead I was continually drawn back into the fiction I had evolved about her and the Lonoffs while I lay in the dark study, transported by his praise and throbbing with resentment of my disapproving father\u2014and, of course, overcome by what had passed between my idol and the marvelous young woman before he had manfully gone back to bed with his wife.\n\nThroughout breakfast, my father, my mother, the judge and Mrs. Wapter were never out of my thoughts. I'd gone the whole night without sleep, and now I couldn't think straight about them or myself, or about Amy, as she was called. I kept seeing myself coming back to New Jersey and saying to my family, \"I met a marvelous young woman while I was up in New England. I love her and she loves me. We are going to be married.\" \"Married? But so fast? Nathan, is she Jewish?\" \"Yes, she is.\" \"But who is she?\" \"Anne Frank.\"\n\n\"I eat too much,\" said Lonoff, as Hope poured the water for his tea.\n\n\"It's exercise you need,\" Hope said. \"It's more walking. You gave up your afternoon walk and so you began to gain weight. You actually eat almost nothing. Certainly nothing that's fattening. It's sitting at the desk that does it. And staying in the house.\"\n\n\"I can't face another walk. I can't face those trees again.\"\n\n\"Then walk in the other direction.\"\n\n\"For ten years I walked in the other direction. That's why I started walking in this direction. Besides, I'm not even walking when I'm walking. The truth is, I don't even see the trees.\"\n\n\"That's not so,\" Hope said. \"He loves nature,\" she informed me. \"He knows the name of everything that grows.\"\n\n\"I'm cutting down on my food,\" said Lonoff. \"Who wants to split an egg with me?\"\n\nHope said, happily, \"You can treat yourself to a whole egg this morning.\"\n\n\"Amy, you want to split an egg with me?\"\n\nHis invitation for her to speak gave me my first opportunity to turn her way without embarrassment. It was so. It could be. The same look of unarmored and unimpaired intelligence, the same musing look of serene anticipation... The forehead wasn't Shakespeare's\u2014it was hers.\n\nShe was smiling, as though she too were in the best of spirits and his refusal to kiss her breasts the night before had never happened. \"Couldn't do it,\" she said to him.\n\n\"Not even half?\" asked Lonoff.\n\n\"Not even a sixteenth.\"\n\nThis is my Aunt Tessie, this is Frieda and Dave, this is Birdie, this is Murray... as you see, we are an enormous family. This is my wife, everyone. She is all I have ever wanted. If you doubt me, just look at her smile, listen to her laugh. Remember the shadowed eyes innocently uplifted in the clever little face? Remember the dark hair clipped back with a barrette? Well, this is she.... Anne, says my father\u2014the Anne? Oh, how I have misunderstood my son. How mistaken we have been!\n\n\"Scramble an egg, Hope,\" said Lonoff. \"I'll eat half if you'll eat half.\"\n\n\"You can eat the whole thing,\" she replied. \"Just start taking your walks again.\"\n\nHe looked at me, imploringly. \"Nathan, eat half.\"\n\n\"No, no,\" said his wife and, turning to the stove, announced triumphantly, \"You'll eat the whole egg!\"\n\nBeaten, Lonoff said, \"And to top things off, I threw out my razor blade this morning.\"\n\n\"And why,\" said Amy, pretending still to be in her blue heaven too, \"did you do a thing like that?\"\n\n\"I thought it through. My children are finished with college. My house is paid for. I have Blue Cross and Major Medical protection. I have a '56 Ford. Yesterday I got a check for forty-five dollars in royalties from Brazil\u2014money out of the blue. Throw it out, I told myself, and have a fresh shave with a new blade. Then I thought: No, there's at least one shave left in this blade, maybe even two. Why be wasteful? But then I thought it through further: I have seven books on the paperback racks, I have publishers in twenty countries, there's a new shingle roof on the house, there's a quiet new furnace in the basement, there's brand-new plumbing in Hope's little bathroom. The bills are all paid, and what is more, there is money left over in the bank that is earning three percent interest for our old age. The hell with it, I thought, enough thinking\u2014and I put in a new blade. And look how I butchered myself. I almost took my ear off.\"\n\nAmy: \"Proves you shouldn't be impulsive.\"\n\n\"I only wanted to see what it was like living like everybody else.\"\n\n\"And?\" asked Hope, back at the table now, frying pan in hand.\n\n\"I told you. I almost took my ear off.\"\n\n\"Here's your egg.\"\n\n\"I only want half.\"\n\n\"Darling, feast for once,\" said Hope, kissing his head.\n\nDear Mom and Dad: We have been with Anne's father for three days now. They have both been in the most moving state of exaltation since our arrival...\n\n\"And here's your mail,\" said Hope.\n\n\"I never used to look at this stuff until the end of the day,\" he explained to me.\n\n\"He wouldn't even look at the newspaper headlines,\" said Hope. \"He wouldn't even eat breakfast with us until a few years ago. But when the children were all gone, I refused to sit here by myself.\"\n\n\"But I wouldn't let you talk to me, would I? That's new.\"\n\n\"Let me make you another egg,\" she said.\n\nHe pushed aside his empty plate. \"No, darling, no. I'm full.\"\n\nDear Folks: Anne is pregnant, and happier, she says, than she ever thought possible again...\n\nHe was sorting now through the half dozen letters in his hand. He said to me, \"This is what gets forwarded from a publisher. One in a hundred is worth opening. In five hundred.\"\n\n\"What about a secretary to open them?\" I asked.\n\n\"He's too conscientious,\" Hope explained. \"He can't do it that way. Besides, a secretary is another person. We can't turn the house into Grand Central Station.\"\n\n\"A secretary is six other people,\" he informed her.\n\n\"What is it this time?\" she asked Lonoff as he turned over the penciled sheets in his hand. \"Read it, Manny.\"\n\n\"You read it.\" He handed the letter across to his wife. \"Let Nathan see what it is to be lifted from obscurity. Let him not come hammering at our door to tell us that he wasn't warned.\"\n\nShe wiped her hands on her apron and took the letter. It was quite a morning she was having, a new life altogether. And why? Because Amy was on her way.\n\n\"'Dear Mr. Lonoff,'\" she read. \"'I suggest that you with your talent write a story with the following plot. A non-Jew comes from the West to New York City and meets Jews for the first time. Being a good-natured person he does them favors. When he gives up part of his lunch hour at work to help them, they act like pigs in getting as much of his time as possible. When he helps his coworkers by getting them ball-point pens wholesale, the same happens. They try to get him to buy some for strangers by saying, \"A man I know wants to buy a dozen pens,\" and saying later, \"I didn't tell you to, I didn't ask you to buy them for him, I only told you I wanted two dozen and you can't tell me I told you to buy him two dozen.\" Consequently he develops a dislike for Jews. Later he finds out that non-Jews who don't try to impose are trying to put him out of a job while the Jews take his side when the boss wants to fire him. When he gets sick, the Jews donate blood for him. At the end he has a conversation with a person in which he learns how the history of the Jews led to their habit of opportunism. Yours truly, Ray W. Oliver. P.S. I am also a writer of short stories. I am willing to collaborate with you on a story using that plot.'\"\n\n\"Me too,\" said Amy.\n\n\"The consequences of his infatuation,\" I said. A line out of \"The Middle Years,\" but not even Lonoff seemed to remember it. \"From Henry James,\" I added, flushing. \"'The rest is the madness of art.'\"\n\n\"Aha,\" said Lonoff.\n\nAss! Idiot! I had been caught\u2014while showing off my erudition! Aha. He knew everything.\n\nBut rather than asking me to get up and go because of the way I had behaved in his study, he opened a second letter and removed the small index card inside. He read it and handed it to Hope.\n\n\"Oh, these,\" she said. \"They make me so angry.\"\n\n\"Has style, however,\" said Lonoff. \"I like the absence of the salutation. Just puts out the line and hangs up the wash. Read it, Hopie.\"\n\n\"I hate these so.\"\n\n\"Go on. For Nathan's edification.\"\n\nThen he didn't know. Or knew and forgave me.\n\n\"'I have just finished your brilliant story, \"Indiana,\" '\" Hope read. \"'What do you know about the Middle West, you little Jewish shit? Your Jew omniscience is about as agreeable to the average person as is your kike sense of \"art.\" Sally M., Fort Wayne.'\"\n\nLonoff, meanwhile, had been carefully slicing open a blue overseas air letter.\n\n\"New Delhi,\" he announced.\n\n\"You've been made a Brahman,\" said Amy.\n\nHope smiled at the girl who would be gone now in less than an hour. \"He won't accept.\"\n\n\"Well,\" replied Amy, \"maybe he's in luck and they made him an Untouchable.\"\n\n\"Or less,\" said Lonoff, and handed the letter to Hope.\n\n\"You can't have everything,\" Amy told him.\n\nHope read, this time without being prompted. \"'Dear Sir, I am a twenty-two-year-old youth from India. I introduce myself as there is no other way to make your acquaintance. Perhaps you may not relish the idea of being acquainted with a stranger who is bent on exploiting you.'\" Here, suddenly, her confidence seemed shaken, and she looked up at Lonoff, confused as to what to do next.\n\nHe told her. \"Go on.\"\n\n\"\u2014'bent on exploiting you. I beg your assistance fully aware of the barriers like caste, creed, etc., that divide us. As I am just a beggar in different garb I will put forward my request rather impetuously. My desire is to settle down in America. Will you please take me out of my country by some means? If my educational qualification disqualifies me from entering America as a student, and if all other means fail, will you just adopt me as the last resort? I am quite ashamed to write such a request for I am so old and I have parents who depend upon me to provide for them during their old age. I shall do any kind of work and I will try my best to be of some use to you. Sir, by now you would have formed in your mind the unimpressive figure of a short, dark, ambitious Indian guy whose character is sprinkled with a generous amount of jealousy. If you have thought in the above manner you are in for a surprise. For the above description suits me to the core. I want to escape from the harsh realities and live with some peace and pursue part-time education. Sir, please let me know whether it is possible for you to assist your humble servant\u2014'\"\n\nHope brought the letter to her chest\u2014she saw that Amy had pushed back her chair and was standing. \"I'm sorry,\" Hope said to her.\n\n\"Why?\" asked Amy, forcing a smile.\n\nHope's hands began to tremble.\n\nI glanced toward Lonoff, but he was saying nothing.\n\nWith just a tinge of exasperation, Amy said, \"I don't understand why you should be sorry.\"\n\nHope undertook to fold the letter from India, though not with any method I could discern. Her eyes went to the geraniums when she said, \"I didn't mean to embarrass you.\"\n\n\"But I'm not embarrassed,\" said Amy, innocently.\n\n\"I didn't say you were,\" Hope conceded. \"I said I didn't mean to.\"\n\nAmy didn't follow\u2014that was the act. She waited for Hope to explain herself further.\n\n\"Forget it, please,\" said Hope.\n\n\"It's forgotten,\" Lonoff said softly.\n\n\"I'm going now,\" Amy said to him.\n\n\"Must you,\" asked Lonoff, \"without finishing the coffee?\"\n\n\"You're half an hour behind schedule already,\" Amy said. \"What with all this promiscuous socializing over your egg, it could take you the rest of the morning to recover.\"\n\n\"Yes,\" I said, jumping up, \"and I have to be off, too.\"\n\n\"There's no bus this early,\" Lonoff informed me. \"The first bus north arrives at eleven-twenty.\"\n\n\"Still, if she could drop me in town, I'll just walk around\u2014if that's not out of your way,\" I added, and looked as shyly as I had the day before at the girl I had veiled in so many imaginings, and whom still I couldn't see plain.\n\n\"Suit yourself,\" said Lonoff.\n\nHe rose and came around the table to kiss Amy on her cheek. \"Stay in touch,\" he told her. \"And thanks for the help.\"\n\n\"I think I at least got each of the books separated out. At least that's in order.\"\n\n\"Fine. The rest I have to see to myself. And think about. I'm not sure it's for me, my friend.\"\n\n\"Please,\" she said, \"I beseech you, don't destroy anything.\"\n\nA charade it may have been, but still I understood her to be entreating him about the worksheets of his old stories that she had been sorting for the Harvard manuscript collection. But to Hope the girl's request clearly had a less innocent intention. Before either of them could speak another double entendre in her presence, Hope was out of the room.\n\nWe heard her mount the stairs, and then the bedroom door slammed shut overhead.\n\n\"Excuse me one moment,\" said Lonoff, and buttoning his jacket, he followed after his wife.\n\nSilently Amy and I took our things from the hall closet and got dressed for the snow. Then we stood there trying to decide what to do next. I had all I could do not to say, \"Did you ever have the feeling that you wanted to go, still have the feeling that you wanted to stay?\"\n\nWhat I came up with was not much better. \"Last night at dinner he told me about the letter that you sent him from England.\"\n\nShe took this in and went back to waiting. On her head was the white wool cap with the long tassel that ended in a fluffy white ball. Of course! He had given it to her, her first winter here in the Berkshires; and now she could not part with it, no more than she could part with him, her second Pim.\n\n\"When was that?\" I asked. \"When were you living in England?\"\n\n\"Oh, my.\" She closed her eyes and pressed one hand to her forehead. I saw then how very tired she was. Neither of us had slept the night before, she thinking of who she might become living in Florence with Lonoff, and I thinking of who she might have been. When the sleeve of her coat fell back, I of course saw that there was no scar on her forearm. No scar; no book; no Pim. No, the loving father who must be relinquished for the sake of his child's art was not hers; he was mine. \"I was short, dark, ambitious\u2014and sixteen. Eleven years ago,\" she said.\n\nMaking her Anne Frank's age exactly, had she survived.\n\n\"Where had you been before England?\"\n\n\"That's a long story.\"\n\n\"You'd been through the war?\"\n\n\"I missed the war.\"\n\n\"How so?\"\n\nShe smiled politely. I was getting on her nerves. \"Luck.\"\n\n\"I suppose that's how I missed it too,\" I replied.\n\n\"And what did you have instead?\" she asked me.\n\n\"My childhood. What did you have instead?\"\n\nDryly she said, \"Somebody else's. I think perhaps we should go, Mr. Zuckerman. I have to be off. It's a long drive.\"\n\n\"I'd rather not leave without saying goodbye.\"\n\n\"I'd rather not, either, but we better.\"\n\n\"I'm sure he wanted us to wait.\"\n\n\"Oh, did he?\" she said strangely, and I followed her into the living room, where we sat in the easy chairs beside the fireplace. She had taken Lonoff's chair and I took my place in the other. Angrily she removed the hat.\n\n\"He's been awfully generous to me,\" I explained. \"It's been quite a visit. For me,\" I added.\n\n\"He's a generous man.\"\n\n\"He helped you to come to America.\"\n\n\"Yes.\"\n\n\"From England.\"\n\nShe picked up the magazine that I'd leafed through the evening before while Lonoff spoke on the phone.\n\nI said, \"Pardon me, for insisting...\"\n\nShe smiled vaguely at me and began turning pages.\n\n\"It's just\u2014that you bear some resemblance to Anne Frank.\"\n\nA shiver went down my body when she replied, \"I've been told that before.\"\n\n\"You have?\"\n\n\"But,\" she said, bringing her intelligent eyes directly up to mine, \"I'm afraid I'm not she.\"\n\nSilence.\n\n\"You've read her book, however.\"\n\n\"Not really,\" she said. \"I looked at it.\"\n\n\"Oh, but it's quite a book.\"\n\n\"Is it?\"\n\n\"Oh, yes. She was a marvelous young writer. She was something for thirteen. It's like watching an accelerated film of a fetus sprouting a face, watching her mastering things. You must read it. Suddenly she's discovering reflection, suddenly there's portraiture, character sketches, suddenly there's a long intricate eventful happening so beautifully recounted it seems to have gone through a dozen drafts. And no poisonous notion of being interesting or serious. She just is.\" My whole body was damp from the effort of compressing my thoughts and presenting them to her before Lonoff returned to inhibit me. \"The ardor in her, the spirit in her\u2014always on the move, always starting things, being boring as unbearable to her as being bored\u2014a terrific writer, really. And an enormously appealing child. I was thinking\"\u2014the thought had only just occurred to me, of course, in the rapture of praising Anne Frank to one who might even be her\u2014\"she's like some impassioned little sister of Kafka's, his lost little daughter\u2014a kinship is even there in the face. I think. Kafka's garrets and closets, the hidden attics where they hand down the indictments, the camouflaged doors\u2014everything he dreamed in Prague was, to her, real Amsterdam life. What he invented, she suffered. Do you remember the first sentence of The Trial? We were talking about it last night, Mr. Lonoff and myself. It could be the epigraph for her book. 'Someone must have falsely traduced Anne F., because one morning without having done anything wrong, she was placed under arrest.'\"\n\nHowever, despite my ardor, Amy's mind was elsewhere. But then so was mine, really\u2014back in New Jersey, where the lucky childhood had been spent. To be wed somehow to you, I thought, my unassailable advocate, my invulnerable ally, my shield against their charges of defection and betrayal and reckless, heinous informing! Oh, marry me, Anne Frank, exonerate me before my outraged elders of this idiotic indictment! Heedless of Jewish feeling? Indifferent to Jewish survival? Brutish about their well-being? Who dares to accuse of such unthinking crimes the husband of Anne Frank!\n\nBut, alas, I could not lift her out of her sacred book and make her a character in this life. Instead, I was confronted by Amy Bellette (whoever she might be), turning the pages of Lonoff's magazine, and, while she savored his every underlining, waiting to see if at the last minute he would not change his life, and hers with it. The rest was so much fiction, the unchallengeable answer to their questionnaire that I proposed to offer the Wapters. And far from being unchallengeable, far from acquitting me of their charges and restoring to me my cherished blamelessness, a fiction that of course would seem to them a desecration even more vile than the one they had read.\n\nHope was coming down the stairs, dressed for the outdoors in a hooded green loden coat and wearing snow boots pulled over her wool trousers. She held firmly to the banister with one hand\u2014to prevent herself from falling\u2014and in the other carried a small overnight bag.\n\nLonoff spoke to her from the top of the stairs. \"This won't do,\" he said softly. \"This is pure\u2014\"\n\n\"Let's all have what we want, please.\" She spoke without looking back at him; in her emotional state she had all she could do to negotiate the stairs.\n\n\"This is hardly what you want.\"\n\nShe stopped\u2014\"It is what I have wanted for years\"\u2014then proceeded once more with leaving home.\n\n\"Come back up here. You don't know what you're saying.\"\n\n\"You're just frightened,\" she said, from between her teeth, \"of losing your boredom.\"\n\n\"I can't hear you, Hope.\"\n\nSafely now at the bottom landing, the little woman turned and looked up the stairs. \"You're just worried about how you will get all your writing done and all your reading done and all your brooding done without the boredom of me. Well, let someone else be boring for you from now on! Let someone else be no trouble!\"\n\n\"Please come back up here.\"\n\nRather than doing as he asked, she picked up her bag and came into the living room. I alone stood to receive her.\n\n\"Take off your coat,\" she said to Amy. \"Now you're going to have thirty-five years of it!\" And with that she began to shake with sobs.\n\nLonoff was now making the cautious trek down the stairs. \"Hope, this is playacting. And pure indulgence.\"\n\n\"I am going,\" she told him.\n\n\"You're not going anywhere. Put the bag down.\"\n\n\"No! I am going to Boston! But don't worry\u2014she knows where everything is. It's practically home to her already. No precious time will be lost. She can hang her things back in the closet and be ready to begin boring you as soon as I'm out the door. You won't even notice the difference.\"\n\nAmy, unable to watch any longer, looked down into her lap, prompting Hope to say, \"Oh, she thinks otherwise. Of course she does. I've seen her fondling each sheet of each draft of each story. She thinks with her it will all be the religion of art up here. Oh, will it ever! Let her try to please you, Manny! Let her serve as the backdrop for your thoughts for thirty-five years. Let her see how noble and heroic you are by the twenty-seventh draft. Let her cook you wonderful meals and light candles for your dinner. Let her get everything ready to make you happy and then see the look on your stone face when you come in at night and sit down at the table. A surprise for dinner? Oh, my dear girl, that is merely his due for a miserable day of bad writing. That gets no rise out of him. And candles in the old pewter holders? Candles, after all these years? How poignant of her, he thinks, how vulgar, what a wistful souvenir of yesterday's tearooms. Yes, have her run hot baths for your poor back twice a day, and then go a week without being talked to\u2014let alone being touched in bed. Ask him in bed, 'What is it, dear, what's the matter?' But of course you know all too well what the matter is\u2014you know why he won't hold you, why he doesn't even know you're there. The fiftieth draft!\"\n\n\"That is enough,\" said Lonoff. \"Quite thorough, very accurate, and enough.\"\n\n\"Fondling those papers of yours! Oh, she'll see! I got fondled more by strangers on the rush-hour subway during two months in 1935 than I have up here in the last twenty years! Take off your coat, Amy\u2014you're staying. The classroom daydream has come true! You get the creative writer\u2014and I get to go!\"\n\n\"She's not staying,\" Lonoff said, softly again. \"You're staying.\"\n\n\"Not for thirty-five more years of this!\"\n\n\"Oh, Hopie.\" He put a hand out to her face, where the tears were still falling.\n\n\"I'm going to Boston! I'm going to Europe! It's too late to touch me now! I'm taking a trip around the world and never coming back! And you,\" she said, looking down at Amy in her chair, \"you won't go anywhere. You won't see anything. If you even go out to dinner, if once in six months you get him to accept an invitation to somebody's home, then it'll be even worse\u2014then for the hour before you go your life will be misery from his kvetching about what it's going to be like when those people start in with their ideas. If you dare to change the pepper mill, he'll ask what's the matter, what was wrong with the old one? It takes three months for him just to get used to a new brand of soap. Change the soap and he goes around the house sniffing, as though something dead is on the bathroom sink instead of just a bar of Palmolive. Nothing can be touched, nothing can be changed, everybody must be quiet, the children must shut up, their friends must stay away until four\u2014There is his religion of art, my young successor: rejecting life! Not living is what he makes his beautiful fiction out of! And you will now be the person he is not living with!\"\n\nAmy pushed herself up out of her chair and put on the childish hat with the ball on the end of the tassel. Looking past Hope, she said to Lonoff, \"I'm going.\"\n\n\"I'm going,\" Hope cried.\n\nTo me Amy said, \"I'm leaving now, if you'd like a ride to town.\"\n\n\"I'm leaving now,\" Hope told her. \"Take that silly hat off! School is over! You are twenty-seven! This is officially your house!\"\n\n\"It's not, Hope,\" Amy said, beginning at last to cry. \"It's yours.\"\n\nAnd so broken and pathetic did she seem in that moment of capitulation that I thought, But of course last night is not the first time she's sat cuddled up in his lap\u2014but of course he's seen her unclothed before. They have been lovers! Yet when I tried to imagine E. I. Lonoff stripped of his suit and on his back, and Amy naked and astride his belly, I couldn't, no more than any son can.\n\nI don't think I could keep my wits about me, teaching such beautiful and gifted and fetching girls.\n\nThen you shouldn't do it.\n\nOh, Father, is this so, were you the lover of this lovesick, worshipful, displaced daughter half your age? Knowing full well you'd never leave Hope? You succumbed too? Can that be? You?\n\nThe bed? I had the bed.\n\nConvinced now that that wasn't so\u2014that nobody, nobody, has ever really had the bed\u2014I persisted nonetheless in believing that it was.\n\n\"You do as I say!\" Hope again, ordering Amy. \"You stay and look after him! He cannot stay here alone!\"\n\n\"But I won't be alone,\" Lonoff explained to her. \"You know that I won't be alone. Enough, enough now, for your sake, too. This is all because we've had visitors. This is all because somebody new stayed the night. There was company, we all had breakfast, and you got excited. Now everybody's going away\u2014and this came over you. You got lonely. You got frightened. Everybody understands.\"\n\n\"Look, Manny, she is the child\u2014don't you treat me like the child! She is now the child-bride here\u2014\"\n\nBut before Hope could describe her in further detail, Amy was past her and out the front door.\n\n\"Oh, the little bitch!\" cried Hope.\n\n\"Hope,\" said Lonoff. \"Don't. Not that routine.\"\n\nBut he did not move to stop her as she too ran from the house, carrying her bag.\n\nI said, \"Do you want me\u2014to do anything?\"\n\n\"No, no. Let it run its course.\"\n\n\"Okay.\"\n\n\"Calm down, Nathan. One at a time we are about to calm down.\"\n\nThen we heard Hope scream.\n\nI followed him to the front window, expecting to see blood on the snow. Instead, there was Hope, seated in a drift only a few feet from the house, while Amy's car was slowly backing out of the car shed. But for the billowing exhaust fumes everything out of doors was gleaming. It was as though not one but two suns had risen that morning.\n\nHope watched, we watched. The car turned in the driveway. Then it was out onto the road and gone.\n\n\"Mrs. Lonoff's fallen down.\"\n\n\"I see that,\" he said sadly.\n\nWe watched her struggle to her feet. Lonoff rapped on the frosted window with his knuckles. Without bothering to look back up to the house, Hope retrieved the overnight bag from where it lay on the path and proceeded with cautious tiny steps to the car shed, where she got into the Lonoffs' Ford. But the car only whined when she tried to start it; effort after effort produced only that most disheartening of winter sounds.\n\n\"The battery,\" he explained.\n\n\"Maybe she flooded it.\"\n\nAgain she tried: same results.\n\n\"No, the battery,\" he said. \"It's been happening all month. You charge it up and it makes no difference.\"\n\n\"You may need a new one,\" I said, since that was what he wanted to talk about.\n\n\"I shouldn't. The car is practically brand-new. Where does it go but into town?\"\n\nWe waited, and finally Hope got out of the car.\n\n\"Well, good thing you got a lemon,\" I said.\n\n\"Perhaps.\" He walked around to the hallway and opened the front door. I continued to watch from the window.\n\n\"Hope,\" he called. \"Come in now. That's it.\"\n\n\"No!\"\n\n\"But how can I live alone?\"\n\n\"The boy can live with you.\"\n\n\"Don't be silly. The boy is going. Come inside now. If you slip again, you're going to get hurt. Darling, it's slippery, it's cold as hell\u2014\"\n\n\"I'm going to Boston.\"\n\n\"How will you do that?\"\n\n\"I'll walk if I have to.\"\n\n\"Hope, it's twenty degrees. Come back in and get warm and calm down. Have some tea with me. Then we'll talk about moving to Boston.\"\n\nHere, with her two hands, she hurled the overnight bag into the snow at her feet. \"Oh, Manny, you wouldn't move into Stockbridge because the streets are paved, so how could I ever get you to Boston? And what difference would it be in Boston anyway? You'd be just the same\u2014you'd be worse. How could you concentrate in Boston, with all those people swarming around? There, somebody might even ask you something about your work!\"\n\n\"Then maybe the best bet is to stay here.\"\n\n\"Even here you can't think if I so much as make toast in the kitchen\u2014I have to catch my toast before it pops up so you won't be disturbed in the study!\"\n\n\"Oh, Hopie,\" he said, laughing a little, \"that's overdoing things. For the next thirty-five years just make your toast and forget about me.\"\n\n\"I can't.\"\n\n\"Learn,\" he said sternly.\n\n\"No!\" Picking up the bag, she turned and started down the driveway. Lonoff closed the door. I watched from the window to see that she stayed on her feet. The snow had been banked so high by the town plow the night before that when she turned into the road she immediately passed out of sight. But then, of course, she wasn't very big to begin with.\n\nLonoff was at the hall closet, wrestling with his overshoes.\n\n\"Would you like me to come along? To help?\" I asked.\n\n\"No, no. I can use the exercise after that egg.\" He stamped his feet on the floor in an attempt to save himself from having to bend over again to get the boots on right. \"And you must have things to write down. There's paper on my desk.\"\n\n\"Paper for what?\"\n\n\"Your feverish notes.\" He pulled a large, dark, belted coat\u2014not quite a caftan\u2014from the closet and I helped him into it. Pressing a dark hat over his bald head, he completed the picture of the chief rabbi, the archdeacon, the magisterial high priest of perpetual sorrows. I handed him his scarf, which had fallen out of a coat sleeve onto the floor. \"You had an earful this morning.\"\n\nI shrugged. \"It wasn't so much.\"\n\n\"So much as what, last night?\"\n\n\"Last night?\" Then does he know all I know? But what do I know, other than what I can imagine?\n\n\"I'll be curious to see how we all come out someday. It could be an interesting story. You're not so nice and polite in your fiction,\" he said. \"You're a different person.\"\n\n\"Am I?\"\n\n\"I should hope so.\" Then, as though having concluded administering my rites of confirmation, he gravely shook my hand. \"Which way did she go on the road? To the left?\"\n\n\"Yes. Down the mountain.\"\n\nHe found his gloves in his pocket and after a quick glance at his watch opened the front door. \"It's like being married to Tolstoy,\" he said, and left me to make my feverish notes while he started off after the runaway spouse, some five minutes now into her doomed journey in search of a less noble calling.\nBOOKS BY PHILIP ROTH\n\nGoodbye, Columbus\n\nLetting Go\n\nWhen She Was Good\n\nPortnoy's Complaint\n\nOur Gang\n\nThe Breast\n\nThe Great American Novel\n\nMy Life as a Man\n\nReading Myself and Others\n\nThe Professor of Desire\n\nThe Ghost Writer\nPhilip Roth was born in New Jersey in 1933. He studied literature at Bucknell University and the University of Chicago. His first book, Goodbye, Columbus, won the National Book Award for Fiction in 1960. He has lived in Rome, London, Chicago, New York City, Princeton, and New England. Since 1955, he has been on the faculties of the University of Chicago, Princeton University, and the University of Pennsylvania, where he is now Adjunct Professor of English. He is also General Editor of the Penguin Books series \"Writers from the Other Europe.\" Recently he has been spending half of each year in Europe, traveling and writing.\n\nSeptember 1979\nCopyright \u00a9 1979 by Philip Roth\n\nAll rights reserved\n\nPublished simultaneously in Canada by McGraw-Hill Ryerson Ltd., Toronto\n\nThe text of this book first appeared in The New Yorker\n\nLibrary of Congress Cataloging in Publication Data\n\nRoth, Philip.\n\nThe ghost writer.\n\nI. Title.\n\nPZ4.R8454Gh [PS3568.0855] 813'.5'4 79-13146\n\neISBN 9781466846432\n\nFirst eBook edition: May 2013\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
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FOR PUBLIC DOMAIN ETEXTS*Ver.04.29.93*END*\n\n\n\n\n\nThis etext was prepared by Dennis McCarthy, Atlanta, GA.\n\n\n\n\n\nTHE DIVINE COMEDY\n\nOF DANTE ALIGHIERI\n(1265-1321)\n\n\nTRANSLATED BY\nHENRY WADSWORTH LONGFELLOW\n(1807-1882)\n\n\n\n\nCANTICLE II: PURGATORIO\n\n\n\n\nCREDITS\n\n\nThe base text for this edition has been provided by Digital Dante, a\nproject sponsored by Columbia University's Institute for Learning\nTechnologies.  Specific thanks goes to Jennifer Hogan (Project\nEditor\/Director), Tanya Larkin (Assistant to Editor), Robert W. Cole\n(Proofreader\/Assistant Editor), and Jennifer Cook (Proofreader).\n\nThe Digital Dante Project is a digital 'study space' for Dante studies and\nscholarship.  The project is multi-faceted and fluid by nature of the Web.\nDigital Dante attempts to organize the information most significant for\nstudents first engaging with Dante and scholars researching Dante.  The\ndigital of Digital Dante incurs a new challenge to the student, the\nscholar, and teacher, perusing the Web: to become proficient in the new\ntools, e.g., Search, the Discussion Group, well enough to look beyond the\ntechnology and delve into the content.  For more information and access to\nthe project, please visit its web site at:\nhttp:\/\/www.ilt.columbia.edu\/projects\/dante\/\n\nFor this Project Gutenberg edition the e-text was rechecked.  The editor\ngreatly thanks Dian McCarthy for her assistance in proofreading the\nParadiso.  Also deserving praise are Herbert Fann for programming the text\neditor \"Desktop Tools\/Edit\" and the late August Dvorak for designing his\nkeyboard layout.  Please refer to Project Gutenberg's e-text listings for\nother editions or translations of 'The Divine Comedy.'  For this three part\nedition of 'The Divine Comedy' please refer to the end of the Paradiso for\nsupplemental materials.\n\nDennis McCarthy, July 1997\nimprimatur@juno.com\n\n\n\n\nCONTENTS\n\n\nPurgatorio\n\n     I. The Shores of Purgatory.  The Four Stars.  Cato of Utica.\n        The Rush.\n    II. The Celestial Pilot.  Casella.  The Departure.\n   III. Discourse on the Limits of Reason.  The Foot of the Mountain.\n        Those who died in Contumacy of Holy Church.  Manfredi.\n    IV. Farther Ascent.  Nature of the Mountain.  The Negligent,\n        who postponed Repentance till the last Hour.  Belacqua.\n     V. Those who died by Violence, but repentant.\n        Buonconte di Monfeltro.  La Pia.\n    VI. Dante's Inquiry on Prayers for the Dead.  Sordello.  Italy.\n   VII. The Valley of Flowers.  Negligent Princes.\n  VIII. The Guardian Angels and the Serpent.  Nino di Gallura.\n        The Three Stars.  Currado Malaspina.\n    IX. Dante's Dream of the Eagle.  The Gate of Purgatory and\n        the Angel.  Seven P's.  The Keys.\n     X. The Needle's Eye.  The First Circle: The Proud.\n        The Sculptures on the Wall.\n    XI. The Humble Prayer.  Omberto di Santafiore.\n        Oderisi d' Agobbio.  Provenzan Salvani.\n   XII. The Sculptures on the Pavement.  Ascent to the Second Circle.\n  XIII. The Second Circle: The Envious.  Sapia of Siena.\n   XIV. Guido del Duca and Renier da Calboli.  Cities of\n        the Arno Valley.  Denunciation of Stubbornness.\n    XV. The Third Circle: The Irascible.  Dante's Visions.  The Smoke.\n   XVI. Marco Lombardo.  Lament over the State of the World.\n  XVII. Dante's Dream of Anger.  The Fourth Circle: The Slothful.\n        Virgil's Discourse of Love.\n XVIII. Virgil further discourses of Love and Free Will.\n        The Abbot of San Zeno.\n   XIX. Dante's Dream of the Siren.  The Fifth Circle:\n        The Avaricious and Prodigal.  Pope Adrian V.\n    XX. Hugh Capet.  Corruption of the French Crown.\n        Prophecy of the Abduction of Pope Boniface VIII and\n        the Sacrilege of Philip the Fair.  The Earthquake.\n   XXI. The Poet Statius.  Praise of Virgil.\n  XXII. Statius' Denunciation of Avarice.  The Sixth Circle:\n        The Gluttonous.  The Mystic Tree.\n XXIII. Forese.  Reproof of immodest Florentine Women.\n  XXIV. Buonagiunta da Lucca.  Pope Martin IV, and others.\n        Inquiry into the State of Poetry.\n   XXV. Discourse of Statius on Generation.  The Seventh Circle:\n        The Wanton.\n  XXVI. Sodomites.  Guido Guinicelli and Arnaldo Daniello.\n XXVII. The Wall of Fire and the Angel of God.  Dante's Sleep\n        upon the Stairway, and his Dream of Leah and Rachel.\n        Arrival at the Terrestrial Paradise.\nXXVIII. The River Lethe.  Matilda.  The Nature of\n        the Terrestrial Paradise.\n  XXIX. The Triumph of the Church.\n   XXX. Virgil's Departure.  Beatrice.  Dante's Shame.\n  XXXI. Reproaches of Beatrice and Confession of Dante.\n        The Passage of Lethe.  The Seven Virtues.  The Griffon.\n XXXII. The Tree of Knowledge.  Allegory of the Chariot.\nXXXIII. Lament over the State of the Church.  Final Reproaches\n        of Beatrice.  The River Eunoe.\n\n\n\n\nThe Divine Comedy\ntranslated by Henry Wadsworth Longfellow\n(e-text courtesy ILT's Digital Dante Project)\n\nPURGATORIO\n\n\n\nPurgatorio: Canto I\n\n\nTo run o'er better waters hoists its sail\n  The little vessel of my genius now,\n  That leaves behind itself a sea so cruel;\n\nAnd of that second kingdom will I sing\n  Wherein the human spirit doth purge itself,\n  And to ascend to heaven becometh worthy.\n\nBut let dead Poesy here rise again,\n  O holy Muses, since that I am yours,\n  And here Calliope somewhat ascend,\n\nMy song accompanying with that sound,\n  Of which the miserable magpies felt\n  The blow so great, that they despaired of pardon.\n\nSweet colour of the oriental sapphire,\n  That was upgathered in the cloudless aspect\n  Of the pure air, as far as the first circle,\n\nUnto mine eyes did recommence delight\n  Soon as I issued forth from the dead air,\n  Which had with sadness filled mine eyes and breast.\n\nThe beauteous planet, that to love incites,\n  Was making all the orient to laugh,\n  Veiling the Fishes that were in her escort.\n\nTo the right hand I turned, and fixed my mind\n  Upon the other pole, and saw four stars\n  Ne'er seen before save by the primal people.\n\nRejoicing in their flamelets seemed the heaven.\n  O thou septentrional and widowed site,\n  Because thou art deprived of seeing these!\n\nWhen from regarding them I had withdrawn,\n  Turning a little to the other pole,\n  There where the Wain had disappeared already,\n\nI saw beside me an old man alone,\n  Worthy of so much reverence in his look,\n  That more owes not to father any son.\n\nA long beard and with white hair intermingled\n  He wore, in semblance like unto the tresses,\n  Of which a double list fell on his breast.\n\nThe rays of the four consecrated stars\n  Did so adorn his countenance with light,\n  That him I saw as were the sun before him.\n\n\"Who are you? ye who, counter the blind river,\n  Have fled away from the eternal prison?\"\n  Moving those venerable plumes, he said:\n\n\"Who guided you? or who has been your lamp\n  In issuing forth out of the night profound,\n  That ever black makes the infernal valley?\n\nThe laws of the abyss, are they thus broken?\n  Or is there changed in heaven some council new,\n  That being damned ye come unto my crags?\"\n\nThen did my Leader lay his grasp upon me,\n  And with his words, and with his hands and signs,\n  Reverent he made in me my knees and brow;\n\nThen answered him: \"I came not of myself;\n  A Lady from Heaven descended, at whose prayers\n  I aided this one with my company.\n\nBut since it is thy will more be unfolded\n  Of our condition, how it truly is,\n  Mine cannot be that this should be denied thee.\n\nThis one has never his last evening seen,\n  But by his folly was so near to it\n  That very little time was there to turn.\n\nAs I have said, I unto him was sent\n  To rescue him, and other way was none\n  Than this to which I have myself betaken.\n\nI've shown him all the people of perdition,\n  And now those spirits I intend to show\n  Who purge themselves beneath thy guardianship.\n\nHow I have brought him would be long to tell thee.\n  Virtue descendeth from on high that aids me\n  To lead him to behold thee and to hear thee.\n\nNow may it please thee to vouchsafe his coming;\n  He seeketh Liberty, which is so dear,\n  As knoweth he who life for her refuses.\n\nThou know'st it; since, for her, to thee not bitter\n  Was death in Utica, where thou didst leave\n  The vesture, that will shine so, the great day.\n\nBy us the eternal edicts are not broken;\n  Since this one lives, and Minos binds not me;\n  But of that circle I, where are the chaste\n\nEyes of thy Marcia, who in looks still prays thee,\n  O holy breast, to hold her as thine own;\n  For her love, then, incline thyself to us.\n\nPermit us through thy sevenfold realm to go;\n  I will take back this grace from thee to her,\n  If to be mentioned there below thou deignest.\"\n\n\"Marcia so pleasing was unto mine eyes\n  While I was on the other side,\" then said he,\n  \"That every grace she wished of me I granted;\n\nNow that she dwells beyond the evil river,\n  She can no longer move me, by that law\n  Which, when I issued forth from there, was made.\n\nBut if a Lady of Heaven do move and rule thee,\n  As thou dost say, no flattery is needful;\n  Let it suffice thee that for her thou ask me.\n\nGo, then, and see thou gird this one about\n  With a smooth rush, and that thou wash his face,\n  So that thou cleanse away all stain therefrom,\n\nFor 'twere not fitting that the eye o'ercast\n  By any mist should go before the first\n  Angel, who is of those of Paradise.\n\nThis little island round about its base\n  Below there, yonder, where the billow beats it,\n  Doth rushes bear upon its washy ooze;\n\nNo other plant that putteth forth the leaf,\n  Or that doth indurate, can there have life,\n  Because it yieldeth not unto the shocks.\n\nThereafter be not this way your return;\n  The sun, which now is rising, will direct you\n  To take the mount by easier ascent.\"\n\nWith this he vanished; and I raised me up\n  Without a word, and wholly drew myself\n  Unto my Guide, and turned mine eyes to him.\n\nAnd he began: \"Son, follow thou my steps;\n  Let us turn back, for on this side declines\n  The plain unto its lower boundaries.\"\n\nThe dawn was vanquishing the matin hour\n  Which fled before it, so that from afar\n  I recognised the trembling of the sea.\n\nAlong the solitary plain we went\n  As one who unto the lost road returns,\n  And till he finds it seems to go in vain.\n\nAs soon as we were come to where the dew\n  Fights with the sun, and, being in a part\n  Where shadow falls, little evaporates,\n\nBoth of his hands upon the grass outspread\n  In gentle manner did my Master place;\n  Whence I, who of his action was aware,\n\nExtended unto him my tearful cheeks;\n  There did he make in me uncovered wholly\n  That hue which Hell had covered up in me.\n\nThen came we down upon the desert shore\n  Which never yet saw navigate its waters\n  Any that afterward had known return.\n\nThere he begirt me as the other pleased;\n  O marvellous! for even as he culled\n  The humble plant, such it sprang up again\n\nSuddenly there where he uprooted it.\n\n\n\nPurgatorio: Canto II\n\n\nAlready had the sun the horizon reached\n  Whose circle of meridian covers o'er\n  Jerusalem with its most lofty point,\n\nAnd night that opposite to him revolves\n  Was issuing forth from Ganges with the Scales\n  That fall from out her hand when she exceedeth;\n\nSo that the white and the vermilion cheeks\n  Of beautiful Aurora, where I was,\n  By too great age were changing into orange.\n\nWe still were on the border of the sea,\n  Like people who are thinking of their road,\n  Who go in heart and with the body stay;\n\nAnd lo! as when, upon the approach of morning,\n  Through the gross vapours Mars grows fiery red\n  Down in the West upon the ocean floor,\n\nAppeared to me--may I again behold it!--\n  A light along the sea so swiftly coming,\n  Its motion by no flight of wing is equalled;\n\nFrom which when I a little had withdrawn\n  Mine eyes, that I might question my Conductor,\n  Again I saw it brighter grown and larger.\n\nThen on each side of it appeared to me\n  I knew not what of white, and underneath it\n  Little by little there came forth another.\n\nMy Master yet had uttered not a word\n  While the first whiteness into wings unfolded;\n  But when he clearly recognised the pilot,\n\nHe cried: \"Make haste, make haste to bow the knee!\n  Behold the Angel of God! fold thou thy hands!\n  Henceforward shalt thou see such officers!\n\nSee how he scorneth human arguments,\n  So that nor oar he wants, nor other sail\n  Than his own wings, between so distant shores.\n\nSee how he holds them pointed up to heaven,\n  Fanning the air with the eternal pinions,\n  That do not moult themselves like mortal hair!\"\n\nThen as still nearer and more near us came\n  The Bird Divine, more radiant he appeared,\n  So that near by the eye could not endure him,\n\nBut down I cast it; and he came to shore\n  With a small vessel, very swift and light,\n  So that the water swallowed naught thereof.\n\nUpon the stern stood the Celestial Pilot;\n  Beatitude seemed written in his face,\n  And more than a hundred spirits sat within.\n\n\"In exitu Israel de Aegypto!\"\n  They chanted all together in one voice,\n  With whatso in that psalm is after written.\n\nThen made he sign of holy rood upon them,\n  Whereat all cast themselves upon the shore,\n  And he departed swiftly as he came.\n\nThe throng which still remained there unfamiliar\n  Seemed with the place, all round about them gazing,\n  As one who in new matters makes essay.\n\nOn every side was darting forth the day.\n  The sun, who had with his resplendent shafts\n  From the mid-heaven chased forth the Capricorn,\n\nWhen the new people lifted up their faces\n  Towards us, saying to us: \"If ye know,\n  Show us the way to go unto the mountain.\"\n\nAnd answer made Virgilius: \"Ye believe\n  Perchance that we have knowledge of this place,\n  But we are strangers even as yourselves.\n\nJust now we came, a little while before you,\n  Another way, which was so rough and steep,\n  That mounting will henceforth seem sport to us.\"\n\nThe souls who had, from seeing me draw breath,\n  Become aware that I was still alive,\n  Pallid in their astonishment became;\n\nAnd as to messenger who bears the olive\n  The people throng to listen to the news,\n  And no one shows himself afraid of crowding,\n\nSo at the sight of me stood motionless\n  Those fortunate spirits, all of them, as if\n  Oblivious to go and make them fair.\n\nOne from among them saw I coming forward,\n  As to embrace me, with such great affection,\n  That it incited me to do the like.\n\nO empty shadows, save in aspect only!\n  Three times behind it did I clasp my hands,\n  As oft returned with them to my own breast!\n\nI think with wonder I depicted me;\n  Whereat the shadow smiled and backward drew;\n  And I, pursuing it, pressed farther forward.\n\nGently it said that I should stay my steps;\n  Then knew I who it was, and I entreated\n  That it would stop awhile to speak with me.\n\nIt made reply to me: \"Even as I loved thee\n  In mortal body, so I love thee free;\n  Therefore I stop; but wherefore goest thou?\"\n\n\"My own Casella! to return once more\n  There where I am, I make this journey,\" said I;\n  \"But how from thee has so much time be taken?\"\n\nAnd he to me: \"No outrage has been done me,\n  If he who takes both when and whom he pleases\n  Has many times denied to me this passage,\n\nFor of a righteous will his own is made.\n  He, sooth to say, for three months past has taken\n  Whoever wished to enter with all peace;\n\nWhence I, who now had turned unto that shore\n  Where salt the waters of the Tiber grow,\n  Benignantly by him have been received.\n\nUnto that outlet now his wing is pointed,\n  Because for evermore assemble there\n  Those who tow'rds Acheron do not descend.\"\n\nAnd I: \"If some new law take not from thee\n  Memory or practice of the song of love,\n  Which used to quiet in me all my longings,\n\nThee may it please to comfort therewithal\n  Somewhat this soul of mine, that with its body\n  Hitherward coming is so much distressed.\"\n\n\"Love, that within my mind discourses with me,\"\n  Forthwith began he so melodiously,\n  The melody within me still is sounding.\n\nMy Master, and myself, and all that people\n  Which with him were, appeared as satisfied\n  As if naught else might touch the mind of any.\n\nWe all of us were moveless and attentive\n  Unto his notes; and lo! the grave old man,\n  Exclaiming: \"What is this, ye laggard spirits?\n\nWhat negligence, what standing still is this?\n  Run to the mountain to strip off the slough,\n  That lets not God be manifest to you.\"\n\nEven as when, collecting grain or tares,\n  The doves, together at their pasture met,\n  Quiet, nor showing their accustomed pride,\n\nIf aught appear of which they are afraid,\n  Upon a sudden leave their food alone,\n  Because they are assailed by greater care;\n\nSo that fresh company did I behold\n  The song relinquish, and go tow'rds the hill,\n  As one who goes, and knows not whitherward;\n\nNor was our own departure less in haste.\n\n\n\nPurgatorio: Canto III\n\n\nInasmuch as the instantaneous flight\n  Had scattered them asunder o'er the plain,\n  Turned to the mountain whither reason spurs us,\n\nI pressed me close unto my faithful comrade,\n  And how without him had I kept my course?\n  Who would have led me up along the mountain?\n\nHe seemed to me within himself remorseful;\n  O noble conscience, and without a stain,\n  How sharp a sting is trivial fault to thee!\n\nAfter his feet had laid aside the haste\n  Which mars the dignity of every act,\n  My mind, that hitherto had been restrained,\n\nLet loose its faculties as if delighted,\n  And I my sight directed to the hill\n  That highest tow'rds the heaven uplifts itself.\n\nThe sun, that in our rear was flaming red,\n  Was broken in front of me into the figure\n  Which had in me the stoppage of its rays;\n\nUnto one side I turned me, with the fear\n  Of being left alone, when I beheld\n  Only in front of me the ground obscured.\n\n\"Why dost thou still mistrust?\" my Comforter\n  Began to say to me turned wholly round;\n  \"Dost thou not think me with thee, and that I guide thee?\n\n'Tis evening there already where is buried\n  The body within which I cast a shadow;\n  'Tis from Brundusium ta'en, and Naples has it.\n\nNow if in front of me no shadow fall,\n  Marvel not at it more than at the heavens,\n  Because one ray impedeth not another\n\nTo suffer torments, both of cold and heat,\n  Bodies like this that Power provides, which wills\n  That how it works be not unveiled to us.\n\nInsane is he who hopeth that our reason\n  Can traverse the illimitable way,\n  Which the one Substance in three Persons follows!\n\nMortals, remain contented at the 'Quia;'\n  For if ye had been able to see all,\n  No need there were for Mary to give birth;\n\nAnd ye have seen desiring without fruit,\n  Those whose desire would have been quieted,\n  Which evermore is given them for a grief.\n\nI speak of Aristotle and of Plato,\n  And many others;\"--and here bowed his head,\n  And more he said not, and remained disturbed.\n\nWe came meanwhile unto the mountain's foot;\n  There so precipitate we found the rock,\n  That nimble legs would there have been in vain.\n\n'Twixt Lerici and Turbia, the most desert,\n  The most secluded pathway is a stair\n  Easy and open, if compared with that.\n\n\"Who knoweth now upon which hand the hill\n  <DW72>s down,\" my Master said, his footsteps staying,\n  \"So that who goeth without wings may mount?\"\n\nAnd while he held his eyes upon the ground\n  Examining the nature of the path,\n  And I was looking up around the rock,\n\nOn the left hand appeared to me a throng\n  Of souls, that moved their feet in our direction,\n  And did not seem to move, they came so slowly.\n\n\"Lift up thine eyes,\" I to the Master said;\n  \"Behold, on this side, who will give us counsel,\n  If thou of thine own self can have it not.\"\n\nThen he looked at me, and with frank expression\n  Replied: \"Let us go there, for they come slowly,\n  And thou be steadfast in thy hope, sweet son.\"\n\nStill was that people as far off from us,\n  After a thousand steps of ours I say,\n  As a good thrower with his hand would reach,\n\nWhen they all crowded unto the hard masses\n  Of the high bank, and motionless stood and close,\n  As he stands still to look who goes in doubt.\n\n\"O happy dead!  O spirits elect already!\"\n  Virgilius made beginning, \"by that peace\n  Which I believe is waiting for you all,\n\nTell us upon what side the mountain <DW72>s,\n  So that the going up be possible,\n  For to lose time irks him most who most knows.\"\n\nAs sheep come issuing forth from out the fold\n  By ones and twos and threes, and the others stand\n  Timidly, holding down their eyes and nostrils,\n\nAnd what the foremost does the others do,\n  Huddling themselves against her, if she stop,\n  Simple and quiet and the wherefore know not;\n\nSo moving to approach us thereupon\n  I saw the leader of that fortunate flock,\n  Modest in face and dignified in gait.\n\nAs soon as those in the advance saw broken\n  The light upon the ground at my right side,\n  So that from me the shadow reached the rock,\n\nThey stopped, and backward drew themselves somewhat;\n  And all the others, who came after them,\n  Not knowing why nor wherefore, did the same.\n\n\"Without your asking, I confess to you\n  This is a human body which you see,\n  Whereby the sunshine on the ground is cleft.\n\nMarvel ye not thereat, but be persuaded\n  That not without a power which comes from Heaven\n  Doth he endeavour to surmount this wall.\"\n\nThe Master thus; and said those worthy people:\n  \"Return ye then, and enter in before us,\"\n  Making a signal with the back o' the hand\n\nAnd one of them began: \"Whoe'er thou art,\n  Thus going turn thine eyes, consider well\n  If e'er thou saw me in the other world.\"\n\nI turned me tow'rds him, and looked at him closely;\n  Blond was he, beautiful, and of noble aspect,\n  But one of his eyebrows had a blow divided.\n\nWhen with humility I had disclaimed\n  E'er having seen him, \"Now behold!\" he said,\n  And showed me high upon his breast a wound.\n\nThen said he with a smile: \"I am Manfredi,\n  The grandson of the Empress Costanza;\n  Therefore, when thou returnest, I beseech thee\n\nGo to my daughter beautiful, the mother\n  Of Sicily's honour and of Aragon's,\n  And the truth tell her, if aught else be told.\n\nAfter I had my body lacerated\n  By these two mortal stabs, I gave myself\n  Weeping to Him, who willingly doth pardon.\n\nHorrible my iniquities had been;\n  But Infinite Goodness hath such ample arms,\n  That it receives whatever turns to it.\n\nHad but Cosenza's pastor, who in chase\n  Of me was sent by Clement at that time,\n  In God read understandingly this page,\n\nThe bones of my dead body still would be\n  At the bridge-head, near unto Benevento,\n  Under the safeguard of the heavy cairn.\n\nNow the rain bathes and moveth them the wind,\n  Beyond the realm, almost beside the Verde,\n  Where he transported them with tapers quenched.\n\nBy malison of theirs is not so lost\n  Eternal Love, that it cannot return,\n  So long as hope has anything of green.\n\nTrue is it, who in contumacy dies\n  Of Holy Church, though penitent at last,\n  Must wait upon the outside this bank\n\nThirty times told the time that he has been\n  In his presumption, unless such decree\n  Shorter by means of righteous prayers become.\n\nSee now if thou hast power to make me happy,\n  By making known unto my good Costanza\n  How thou hast seen me, and this ban beside,\n\nFor those on earth can much advance us here.\"\n\n\n\nPurgatorio: Canto IV\n\n\nWhenever by delight or else by pain,\n  That seizes any faculty of ours,\n  Wholly to that the soul collects itself,\n\nIt seemeth that no other power it heeds;\n  And this against that error is which thinks\n  One soul above another kindles in us.\n\nAnd hence, whenever aught is heard or seen\n  Which keeps the soul intently bent upon it,\n  Time passes on, and we perceive it not,\n\nBecause one faculty is that which listens,\n  And other that which the soul keeps entire;\n  This is as if in bonds, and that is free.\n\nOf this I had experience positive\n  In hearing and in gazing at that spirit;\n  For fifty full degrees uprisen was\n\nThe sun, and I had not perceived it, when\n  We came to where those souls with one accord\n  Cried out unto us: \"Here is what you ask.\"\n\nA greater opening ofttimes hedges up\n  With but a little forkful of his thorns\n  The villager, what time the grape imbrowns,\n\nThan was the passage-way through which ascended\n  Only my Leader and myself behind him,\n  After that company departed from us.\n\nOne climbs Sanleo and descends in Noli,\n  And mounts the summit of Bismantova,\n  With feet alone; but here one needs must fly;\n\nWith the swift pinions and the plumes I say\n  Of great desire, conducted after him\n  Who gave me hope, and made a light for me.\n\nWe mounted upward through the rifted rock,\n  And on each side the border pressed upon us,\n  And feet and hands the ground beneath required.\n\nWhen we were come upon the upper rim\n  Of the high bank, out on the open <DW72>,\n  \"My Master,\" said I, \"what way shall we take?\"\n\nAnd he to me: \"No step of thine descend;\n  Still up the mount behind me win thy way,\n  Till some sage escort shall appear to us.\"\n\nThe summit was so high it vanquished sight,\n  And the hillside precipitous far more\n  Than line from middle quadrant to the centre.\n\nSpent with fatigue was I, when I began:\n  \"O my sweet Father! turn thee and behold\n  How I remain alone, unless thou stay!\"\n\n\"O son,\" he said, \"up yonder drag thyself,\"\n  Pointing me to a terrace somewhat higher,\n  Which on that side encircles all the hill.\n\nThese words of his so spurred me on, that I\n  Strained every nerve, behind him scrambling up,\n  Until the circle was beneath my feet.\n\nThereon ourselves we seated both of us\n  Turned to the East, from which we had ascended,\n  For all men are delighted to look back.\n\nTo the low shores mine eyes I first directed,\n  Then to the sun uplifted them, and wondered\n  That on the left hand we were smitten by it.\n\nThe Poet well perceived that I was wholly\n  Bewildered at the chariot of the light,\n  Where 'twixt us and the Aquilon it entered.\n\nWhereon he said to me: \"If Castor and Pollux\n  Were in the company of yonder mirror,\n  That up and down conducteth with its light,\n\nThou wouldst behold the zodiac's jagged wheel\n  Revolving still more near unto the Bears,\n  Unless it swerved aside from its old track.\n\nHow that may be wouldst thou have power to think,\n  Collected in thyself, imagine Zion\n  Together with this mount on earth to stand,\n\nSo that they both one sole horizon have,\n  And hemispheres diverse; whereby the road\n  Which Phaeton, alas! knew not to drive,\n\nThou'lt see how of necessity must pass\n  This on one side, when that upon the other,\n  If thine intelligence right clearly heed.\"\n\n\"Truly, my Master,\" said I, \"never yet\n  Saw I so clearly as I now discern,\n  There where my wit appeared incompetent,\n\nThat the mid-circle of supernal motion,\n  Which in some art is the Equator called,\n  And aye remains between the Sun and Winter,\n\nFor reason which thou sayest, departeth hence\n  Tow'rds the Septentrion, what time the Hebrews\n  Beheld it tow'rds the region of the heat.\n\nBut, if it pleaseth thee, I fain would learn\n  How far we have to go; for the hill rises\n  Higher than eyes of mine have power to rise.\"\n\nAnd he to me: \"This mount is such, that ever\n  At the beginning down below 'tis tiresome,\n  And aye the more one climbs, the less it hurts.\n\nTherefore, when it shall seem so pleasant to thee,\n  That going up shall be to thee as easy\n  As going down the current in a boat,\n\nThen at this pathway's ending thou wilt be;\n  There to repose thy panting breath expect;\n  No more I answer; and this I know for true.\"\n\nAnd as he finished uttering these words,\n  A voice close by us sounded: \"Peradventure\n  Thou wilt have need of sitting down ere that.\"\n\nAt sound thereof each one of us turned round,\n  And saw upon the left hand a great rock,\n  Which neither I nor he before had noticed.\n\nThither we drew; and there were persons there\n  Who in the shadow stood behind the rock,\n  As one through indolence is wont to stand.\n\nAnd one of them, who seemed to me fatigued,\n  Was sitting down, and both his knees embraced,\n  Holding his face low down between them bowed.\n\n\"O my sweet Lord,\" I said, \"do turn thine eye\n  On him who shows himself more negligent\n  Then even Sloth herself his sister were.\"\n\nThen he turned round to us, and he gave heed,\n  Just lifting up his eyes above his thigh,\n  And said: \"Now go thou up, for thou art valiant.\"\n\nThen knew I who he was; and the distress,\n  That still a little did my breathing quicken,\n  My going to him hindered not; and after\n\nI came to him he hardly raised his head,\n  Saying: \"Hast thou seen clearly how the sun\n  O'er thy left shoulder drives his chariot?\"\n\nHis sluggish attitude and his curt words\n  A little unto laughter moved my lips;\n  Then I began: \"Belacqua, I grieve not\n\nFor thee henceforth; but tell me, wherefore seated\n  In this place art thou?  Waitest thou an escort?\n  Or has thy usual habit seized upon thee?\"\n\nAnd he: \"O brother, what's the use of climbing?\n  Since to my torment would not let me go\n  The Angel of God, who sitteth at the gate.\n\nFirst heaven must needs so long revolve me round\n  Outside thereof, as in my life it did,\n  Since the good sighs I to the end postponed,\n\nUnless, e'er that, some prayer may bring me aid\n  Which rises from a heart that lives in grace;\n  What profit others that in heaven are heard not?\"\n\nMeanwhile the Poet was before me mounting,\n  And saying: \"Come now; see the sun has touched\n  Meridian, and from the shore the night\n\nCovers already with her foot Morocco.\"\n\n\n\nPurgatorio: Canto V\n\n\nI had already from those shades departed,\n  And followed in the footsteps of my Guide,\n  When from behind, pointing his finger at me,\n\nOne shouted: \"See, it seems as if shone not\n  The sunshine on the left of him below,\n  And like one living seems he to conduct him.\"\n\nMine eyes I turned at utterance of these words,\n  And saw them watching with astonishment\n  But me, but me, and the light which was broken!\n\n\"Why doth thy mind so occupy itself,\"\n  The Master said, \"that thou thy pace dost slacken?\n  What matters it to thee what here is whispered?\n\nCome after me, and let the people talk;\n  Stand like a steadfast tower, that never wags\n  Its top for all the blowing of the winds;\n\nFor evermore the man in whom is springing\n  Thought upon thought, removes from him the mark,\n  Because the force of one the other weakens.\"\n\nWhat could I say in answer but \"I come\"?\n  I said it somewhat with that colour tinged\n  Which makes a man of pardon sometimes worthy.\n\nMeanwhile along the mountain-side across\n  Came people in advance of us a little,\n  Singing the Miserere verse by verse.\n\nWhen they became aware I gave no place\n  For passage of the sunshine through my body,\n  They changed their song into a long, hoarse \"Oh!\"\n\nAnd two of them, in form of messengers,\n  Ran forth to meet us, and demanded of us,\n  \"Of your condition make us cognisant.\"\n\nAnd said my Master: \"Ye can go your way\n  And carry back again to those who sent you,\n  That this one's body is of very flesh.\n\nIf they stood still because they saw his shadow,\n  As I suppose, enough is answered them;\n  Him let them honour, it may profit them.\"\n\nVapours enkindled saw I ne'er so swiftly\n  At early nightfall cleave the air serene,\n  Nor, at the set of sun, the clouds of August,\n\nBut upward they returned in briefer time,\n  And, on arriving, with the others wheeled\n  Tow'rds us, like troops that run without a rein.\n\n\"This folk that presses unto us is great,\n  And cometh to implore thee,\" said the Poet;\n  \"So still go onward, and in going listen.\"\n\n\"O soul that goest to beatitude\n  With the same members wherewith thou wast born,\"\n  Shouting they came, \"a little stay thy steps,\n\nLook, if thou e'er hast any of us seen,\n  So that o'er yonder thou bear news of him;\n  Ah, why dost thou go on?  Ah, why not stay?\n\nLong since we all were slain by violence,\n  And sinners even to the latest hour;\n  Then did a light from heaven admonish us,\n\nSo that, both penitent and pardoning, forth\n  From life we issued reconciled to God,\n  Who with desire to see Him stirs our hearts.\"\n\nAnd I: \"Although I gaze into your faces,\n  No one I recognize; but if may please you\n  Aught I have power to do, ye well-born spirits,\n\nSpeak ye, and I will do it, by that peace\n  Which, following the feet of such a Guide,\n  From world to world makes itself sought by me.\"\n\nAnd one began: \"Each one has confidence\n  In thy good offices without an oath,\n  Unless the I cannot cut off the I will;\n\nWhence I, who speak alone before the others,\n  Pray thee, if ever thou dost see the land\n  That 'twixt Romagna lies and that of Charles,\n\nThou be so courteous to me of thy prayers\n  In Fano, that they pray for me devoutly,\n  That I may purge away my grave offences.\n\nFrom thence was I; but the deep wounds, through which\n  Issued the blood wherein I had my seat,\n  Were dealt me in bosom of the Antenori,\n\nThere where I thought to be the most secure;\n  'Twas he of Este had it done, who held me\n  In hatred far beyond what justice willed.\n\nBut if towards the Mira I had fled,\n  When I was overtaken at Oriaco,\n  I still should be o'er yonder where men breathe.\n\nI ran to the lagoon, and reeds and mire\n  Did so entangle me I fell, and saw there\n  A lake made from my veins upon the ground.\"\n\nThen said another: \"Ah, be that desire\n  Fulfilled that draws thee to the lofty mountain,\n  As thou with pious pity aidest mine.\n\nI was of Montefeltro, and am Buonconte;\n  Giovanna, nor none other cares for me;\n  Hence among these I go with downcast front.\"\n\nAnd I to him: \"What violence or what chance\n  Led thee astray so far from Campaldino,\n  That never has thy sepulture been known?\"\n\n\"Oh,\" he replied, \"at Casentino's foot\n  A river crosses named Archiano, born\n  Above the Hermitage in Apennine.\n\nThere where the name thereof becometh void\n  Did I arrive, pierced through and through the throat,\n  Fleeing on foot, and bloodying the plain;\n\nThere my sight lost I, and my utterance\n  Ceased in the name of Mary, and thereat\n  I fell, and tenantless my flesh remained.\n\nTruth will I speak, repeat it to the living;\n  God's Angel took me up, and he of hell\n  Shouted: 'O thou from heaven, why dost thou rob me?\n\nThou bearest away the eternal part of him,\n  For one poor little tear, that takes him from me;\n  But with the rest I'll deal in other fashion!'\n\nWell knowest thou how in the air is gathered\n  That humid vapour which to water turns,\n  Soon as it rises where the cold doth grasp it.\n\nHe joined that evil will, which aye seeks evil,\n  To intellect, and moved the mist and wind\n  By means of power, which his own nature gave;\n\nThereafter, when the day was spent, the valley\n  From Pratomagno to the great yoke covered\n  With fog, and made the heaven above intent,\n\nSo that the pregnant air to water changed;\n  Down fell the rain, and to the gullies came\n  Whate'er of it earth tolerated not;\n\nAnd as it mingled with the mighty torrents,\n  Towards the royal river with such speed\n  It headlong rushed, that nothing held it back.\n\nMy frozen body near unto its outlet\n  The robust Archian found, and into Arno\n  Thrust it, and loosened from my breast the cross\n\nI made of me, when agony o'ercame me;\n  It rolled me on the banks and on the bottom,\n  Then with its booty covered and begirt me.\"\n\n\"Ah, when thou hast returned unto the world,\n  And rested thee from thy long journeying,\"\n  After the second followed the third spirit,\n\n\"Do thou remember me who am the Pia;\n  Siena made me, unmade me Maremma;\n  He knoweth it, who had encircled first,\n\nEspousing me, my finger with his gem.\"\n\n\n\nPurgatorio: Canto VI\n\n\nWhene'er is broken up the game of Zara,\n  He who has lost remains behind despondent,\n  The throws repeating, and in sadness learns;\n\nThe people with the other all depart;\n  One goes in front, and one behind doth pluck him,\n  And at his side one brings himself to mind;\n\nHe pauses not, and this and that one hears;\n  They crowd no more to whom his hand he stretches,\n  And from the throng he thus defends himself.\n\nEven such was I in that dense multitude,\n  Turning to them this way and that my face,\n  And, promising, I freed myself therefrom.\n\nThere was the Aretine, who from the arms\n  Untamed of Ghin di Tacco had his death,\n  And he who fleeing from pursuit was drowned.\n\nThere was imploring with his hands outstretched\n  Frederick Novello, and that one of Pisa\n  Who made the good Marzucco seem so strong.\n\nI saw Count Orso; and the soul divided\n  By hatred and by envy from its body,\n  As it declared, and not for crime committed,\n\nPierre de la Brosse I say; and here provide\n  While still on earth the Lady of Brabant,\n  So that for this she be of no worse flock!\n\nAs soon as I was free from all those shades\n  Who only prayed that some one else may pray,\n  So as to hasten their becoming holy,\n\nBegan I: \"It appears that thou deniest,\n  O light of mine, expressly in some text,\n  That orison can bend decree of Heaven;\n\nAnd ne'ertheless these people pray for this.\n  Might then their expectation bootless be?\n  Or is to me thy saying not quite clear?\"\n\nAnd he to me: \"My writing is explicit,\n  And not fallacious is the hope of these,\n  If with sane intellect 'tis well regarded;\n\nFor top of judgment doth not vail itself,\n  Because the fire of love fulfils at once\n  What he must satisfy who here installs him.\n\nAnd there, where I affirmed that proposition,\n  Defect was not amended by a prayer,\n  Because the prayer from God was separate.\n\nVerily, in so deep a questioning\n  Do not decide, unless she tell it thee,\n  Who light 'twixt truth and intellect shall be.\n\nI know not if thou understand; I speak\n  Of Beatrice; her shalt thou see above,\n  Smiling and happy, on this mountain's top.\"\n\nAnd I: \"Good Leader, let us make more haste,\n  For I no longer tire me as before;\n  And see, e'en now the hill a shadow casts.\"\n\n\"We will go forward with this day\" he answered,\n  \"As far as now is possible for us;\n  But otherwise the fact is than thou thinkest.\n\nEre thou art up there, thou shalt see return\n  Him, who now hides himself behind the hill,\n  So that thou dost not interrupt his rays.\n\nBut yonder there behold! a soul that stationed\n  All, all alone is looking hitherward;\n  It will point out to us the quickest way.\"\n\nWe came up unto it; O Lombard soul,\n  How lofty and disdainful thou didst bear thee,\n  And grand and slow in moving of thine eyes!\n\nNothing whatever did it say to us,\n  But let us go our way, eying us only\n  After the manner of a couchant lion;\n\nStill near to it Virgilius drew, entreating\n  That it would point us out the best ascent;\n  And it replied not unto his demand,\n\nBut of our native land and of our life\n  It questioned us; and the sweet Guide began:\n  \"Mantua,\"--and the shade, all in itself recluse,\n\nRose tow'rds him from the place where first it was,\n  Saying: \"O Mantuan, I am Sordello\n  Of thine own land!\" and one embraced the other.\n\nAh! servile Italy, grief's hostelry!\n  A ship without a pilot in great tempest!\n  No Lady thou of Provinces, but brothel!\n\nThat noble soul was so impatient, only\n  At the sweet sound of his own native land,\n  To make its citizen glad welcome there;\n\nAnd now within thee are not without war\n  Thy living ones, and one doth gnaw the other\n  Of those whom one wall and one fosse shut in!\n\nSearch, wretched one, all round about the shores\n  Thy seaboard, and then look within thy bosom,\n  If any part of thee enjoyeth peace!\n\nWhat boots it, that for thee Justinian\n  The bridle mend, if empty be the saddle?\n  Withouten this the shame would be the less.\n\nAh! people, thou that oughtest to be devout,\n  And to let Caesar sit upon the saddle,\n  If well thou hearest what God teacheth thee,\n\nBehold how fell this wild beast has become,\n  Being no longer by the spur corrected,\n  Since thou hast laid thy hand upon the bridle.\n\nO German Albert! who abandonest\n  Her that has grown recalcitrant and savage,\n  And oughtest to bestride her saddle-bow,\n\nMay a just judgment from the stars down fall\n  Upon thy blood, and be it new and open,\n  That thy successor may have fear thereof;\n\nBecause thy father and thyself have suffered,\n  By greed of those transalpine lands distrained,\n  The garden of the empire to be waste.\n\nCome and behold Montecchi and Cappelletti,\n  Monaldi and Fillippeschi, careless man!\n  Those sad already, and these doubt-depressed!\n\nCome, cruel one! come and behold the oppression\n  Of thy nobility, and cure their wounds,\n  And thou shalt see how safe is Santafiore!\n\nCome and behold thy Rome, that is lamenting,\n  Widowed, alone, and day and night exclaims,\n  \"My Caesar, why hast thou forsaken me?\"\n\nCome and behold how loving are the people;\n  And if for us no pity moveth thee,\n  Come and be made ashamed of thy renown!\n\nAnd if it lawful be, O Jove Supreme!\n  Who upon earth for us wast crucified,\n  Are thy just eyes averted otherwhere?\n\nOr preparation is 't, that, in the abyss\n  Of thine own counsel, for some good thou makest\n  From our perception utterly cut off?\n\nFor all the towns of Italy are full\n  Of tyrants, and becometh a Marcellus\n  Each peasant churl who plays the partisan!\n\nMy Florence! well mayst thou contented be\n  With this digression, which concerns thee not,\n  Thanks to thy people who such forethought take!\n\nMany at heart have justice, but shoot slowly,\n  That unadvised they come not to the bow,\n  But on their very lips thy people have it!\n\nMany refuse to bear the common burden;\n  But thy solicitous people answereth\n  Without being asked, and crieth: \"I submit.\"\n\nNow be thou joyful, for thou hast good reason;\n  Thou affluent, thou in peace, thou full of wisdom!\n  If I speak true, the event conceals it not.\n\nAthens and Lacedaemon, they who made\n  The ancient laws, and were so civilized,\n  Made towards living well a little sign\n\nCompared with thee, who makest such fine-spun\n  Provisions, that to middle of November\n  Reaches not what thou in October spinnest.\n\nHow oft, within the time of thy remembrance,\n  Laws, money, offices, and usages\n  Hast thou remodelled, and renewed thy members?\n\nAnd if thou mind thee well, and see the light,\n  Thou shalt behold thyself like a sick woman,\n  Who cannot find repose upon her down,\n\nBut by her tossing wardeth off her pain.\n\n\n\nPurgatorio: Canto VII\n\n\nAfter the gracious and glad salutations\n  Had three and four times been reiterated,\n  Sordello backward drew and said, \"Who are you?\"\n\n\"Or ever to this mountain were directed\n  The souls deserving to ascend to God,\n  My bones were buried by Octavian.\n\nI am Virgilius; and for no crime else\n  Did I lose heaven, than for not having faith;\"\n  In this wise then my Leader made reply.\n\nAs one who suddenly before him sees\n  Something whereat he marvels, who believes\n  And yet does not, saying, \"It is! it is not!\"\n\nSo he appeared; and then bowed down his brow,\n  And with humility returned towards him,\n  And, where inferiors embrace, embraced him.\n\n\"O glory of the Latians, thou,\" he said,\n  \"Through whom our language showed what it could do\n  O pride eternal of the place I came from,\n\nWhat merit or what grace to me reveals thee?\n  If I to hear thy words be worthy, tell me\n  If thou dost come from Hell, and from what cloister.\"\n\n\"Through all the circles of the doleful realm,\"\n  Responded he, \"have I come hitherward;\n  Heaven's power impelled me, and with that I come.\n\nI by not doing, not by doing, lost\n  The sight of that high sun which thou desirest,\n  And which too late by me was recognized.\n\nA place there is below not sad with torments,\n  But darkness only, where the lamentations\n  Have not the sound of wailing, but are sighs.\n\nThere dwell I with the little innocents\n  Snatched by the teeth of Death, or ever they\n  Were from our human sinfulness exempt.\n\nThere dwell I among those who the three saintly\n  Virtues did not put on, and without vice\n  The others knew and followed all of them.\n\nBut if thou know and can, some indication\n  Give us by which we may the sooner come\n  Where Purgatory has its right beginning.\"\n\nHe answered: \"No fixed place has been assigned us;\n  'Tis lawful for me to go up and round;\n  So far as I can go, as guide I join thee.\n\nBut see already how the day declines,\n  And to go up by night we are not able;\n  Therefore 'tis well to think of some fair sojourn.\n\nSouls are there on the right hand here withdrawn;\n  If thou permit me I will lead thee to them,\n  And thou shalt know them not without delight.\"\n\n\"How is this?\" was the answer; \"should one wish\n  To mount by night would he prevented be\n  By others? or mayhap would not have power?\"\n\nAnd on the ground the good Sordello drew\n  His finger, saying, \"See, this line alone\n  Thou couldst not pass after the sun is gone;\n\nNot that aught else would hindrance give, however,\n  To going up, save the nocturnal darkness;\n  This with the want of power the will perplexes.\n\nWe might indeed therewith return below,\n  And, wandering, walk the hill-side round about,\n  While the horizon holds the day imprisoned.\"\n\nThereon my Lord, as if in wonder, said:\n  \"Do thou conduct us thither, where thou sayest\n  That we can take delight in tarrying.\"\n\nLittle had we withdrawn us from that place,\n  When I perceived the mount was hollowed out\n  In fashion as the valleys here are hollowed.\n\n\"Thitherward,\" said that shade, \"will we repair,\n  Where of itself the hill-side makes a lap,\n  And there for the new day will we await.\"\n\n'Twixt hill and plain there was a winding path\n  Which led us to the margin of that dell,\n  Where dies the border more than half away.\n\nGold and fine silver, and scarlet and pearl-white,\n  The Indian wood resplendent and serene,\n  Fresh emerald the moment it is broken,\n\nBy herbage and by flowers within that hollow\n  Planted, each one in colour would be vanquished,\n  As by its greater vanquished is the less.\n\nNor in that place had nature painted only,\n  But of the sweetness of a thousand odours\n  Made there a mingled fragrance and unknown.\n\n\"Salve Regina,\" on the green and flowers\n  There seated, singing, spirits I beheld,\n  Which were not visible outside the valley.\n\n\"Before the scanty sun now seeks his nest,\"\n  Began the Mantuan who had led us thither,\n  \"Among them do not wish me to conduct you.\n\nBetter from off this ledge the acts and faces\n  Of all of them will you discriminate,\n  Than in the plain below received among them.\n\nHe who sits highest, and the semblance bears\n  Of having what he should have done neglected,\n  And to the others' song moves not his lips,\n\nRudolph the Emperor was, who had the power\n  To heal the wounds that Italy have slain,\n  So that through others slowly she revives.\n\nThe other, who in look doth comfort him,\n  Governed the region where the water springs,\n  The Moldau bears the Elbe, and Elbe the sea.\n\nHis name was Ottocar; and in swaddling-clothes\n  Far better he than bearded Winceslaus\n  His son, who feeds in luxury and ease.\n\nAnd the small-nosed, who close in council seems\n  With him that has an aspect so benign,\n  Died fleeing and disflowering the lily;\n\nLook there, how he is beating at his breast!\n  Behold the other one, who for his cheek\n  Sighing has made of his own palm a bed;\n\nFather and father-in-law of France's Pest\n  Are they, and know his vicious life and lewd,\n  And hence proceeds the grief that so doth pierce them.\n\nHe who appears so stalwart, and chimes in,\n  Singing, with that one of the manly nose,\n  The cord of every valour wore begirt;\n\nAnd if as King had after him remained\n  The stripling who in rear of him is sitting,\n  Well had the valour passed from vase to vase,\n\nWhich cannot of the other heirs be said.\n  Frederick and Jacomo possess the realms,\n  But none the better heritage possesses.\n\nNot oftentimes upriseth through the branches\n  The probity of man; and this He wills\n  Who gives it, so that we may ask of Him.\n\nEke to the large-nosed reach my words, no less\n  Than to the other, Pier, who with him sings;\n  Whence Provence and Apulia grieve already\n\nThe plant is as inferior to its seed,\n  As more than Beatrice and Margaret\n  Costanza boasteth of her husband still.\n\nBehold the monarch of the simple life,\n  Harry of England, sitting there alone;\n  He in his branches has a better issue.\n\nHe who the lowest on the ground among them\n  Sits looking upward, is the Marquis William,\n  For whose sake Alessandria and her war\n\nMake Monferrat and Canavese weep.\"\n\n\n\nPurgatorio: Canto VIII\n\n\n'Twas now the hour that turneth back desire\n  In those who sail the sea, and melts the heart,\n  The day they've said to their sweet friends farewell,\n\nAnd the new pilgrim penetrates with love,\n  If he doth hear from far away a bell\n  That seemeth to deplore the dying day,\n\nWhen I began to make of no avail\n  My hearing, and to watch one of the souls\n  Uprisen, that begged attention with its hand.\n\nIt joined and lifted upward both its palms,\n  Fixing its eyes upon the orient,\n  As if it said to God, \"Naught else I care for.\"\n\n\"Te lucis ante\" so devoutly issued\n  Forth from its mouth, and with such dulcet notes,\n  It made me issue forth from my own mind.\n\nAnd then the others, sweetly and devoutly,\n  Accompanied it through all the hymn entire,\n  Having their eyes on the supernal wheels.\n\nHere, Reader, fix thine eyes well on the truth,\n  For now indeed so subtile is the veil,\n  Surely to penetrate within is easy.\n\nI saw that army of the gentle-born\n  Thereafterward in silence upward gaze,\n  As if in expectation, pale and humble;\n\nAnd from on high come forth and down descend,\n  I saw two Angels with two flaming swords,\n  Truncated and deprived of their points.\n\nGreen as the little leaflets just now born\n  Their garments were, which, by their verdant pinions\n  Beaten and blown abroad, they trailed behind.\n\nOne just above us came to take his station,\n  And one descended to the opposite bank,\n  So that the people were contained between them.\n\nClearly in them discerned I the blond head;\n  But in their faces was the eye bewildered,\n  As faculty confounded by excess.\n\n\"From Mary's bosom both of them have come,\"\n  Sordello said, \"as guardians of the valley\n  Against the serpent, that will come anon.\"\n\nWhereupon I, who knew not by what road,\n  Turned round about, and closely drew myself,\n  Utterly frozen, to the faithful shoulders.\n\nAnd once again Sordello: \"Now descend we\n  'Mid the grand shades, and we will speak to them;\n  Right pleasant will it be for them to see you.\"\n\nOnly three steps I think that I descended,\n  And was below, and saw one who was looking\n  Only at me, as if he fain would know me.\n\nAlready now the air was growing dark,\n  But not so that between his eyes and mine\n  It did not show what it before locked up.\n\nTow'rds me he moved, and I tow'rds him did move;\n  Noble Judge Nino! how it me delighted,\n  When I beheld thee not among the damned!\n\nNo greeting fair was left unsaid between us;\n  Then asked he: \"How long is it since thou camest\n  O'er the far waters to the mountain's foot?\"\n\n\"Oh!\" said I to him, \"through the dismal places\n  I came this morn; and am in the first life,\n  Albeit the other, going thus, I gain.\"\n\nAnd on the instant my reply was heard,\n  He and Sordello both shrank back from me,\n  Like people who are suddenly bewildered.\n\nOne to Virgilius, and the other turned\n  To one who sat there, crying, \"Up, Currado!\n  Come and behold what God in grace has willed!\"\n\nThen, turned to me: \"By that especial grace\n  Thou owest unto Him, who so conceals\n  His own first wherefore, that it has no ford,\n\nWhen thou shalt be beyond the waters wide,\n  Tell my Giovanna that she pray for me,\n  Where answer to the innocent is made.\n\nI do not think her mother loves me more,\n  Since she has laid aside her wimple white,\n  Which she, unhappy, needs must wish again.\n\nThrough her full easily is comprehended\n  How long in woman lasts the fire of love,\n  If eye or touch do not relight it often.\n\nSo fair a hatchment will not make for her\n  The Viper marshalling the Milanese\n  A-field, as would have made Gallura's Cock.\"\n\nIn this wise spake he, with the stamp impressed\n  Upon his aspect of that righteous zeal\n  Which measurably burneth in the heart.\n\nMy greedy eyes still wandered up to heaven,\n  Still to that point where slowest are the stars,\n  Even as a wheel the nearest to its axle.\n\nAnd my Conductor: \"Son, what dost thou gaze at\n  Up there?\"  And I to him: \"At those three torches\n  With which this hither pole is all on fire.\"\n\nAnd he to me: \"The four resplendent stars\n  Thou sawest this morning are down yonder low,\n  And these have mounted up to where those were.\"\n\nAs he was speaking, to himself Sordello\n  Drew him, and said, \"Lo there our Adversary!\"\n  And pointed with his finger to look thither.\n\nUpon the side on which the little valley\n  No barrier hath, a serpent was; perchance\n  The same which gave to Eve the bitter food.\n\n'Twixt grass and flowers came on the evil streak,\n  Turning at times its head about, and licking\n  Its back like to a beast that smoothes itself.\n\nI did not see, and therefore cannot say\n  How the celestial falcons 'gan to move,\n  But well I saw that they were both in motion.\n\nHearing the air cleft by their verdant wings,\n  The serpent fled, and round the Angels wheeled,\n  Up to their stations flying back alike.\n\nThe shade that to the Judge had near approached\n  When he had called, throughout that whole assault\n  Had not a moment loosed its gaze on me.\n\n\"So may the light that leadeth thee on high\n  Find in thine own free-will as much of wax\n  As needful is up to the highest azure,\"\n\nBegan it, \"if some true intelligence\n  Of Valdimagra or its neighbourhood\n  Thou knowest, tell it me, who once was great there.\n\nCurrado Malaspina was I called;\n  I'm not the elder, but from him descended;\n  To mine I bore the love which here refineth.\"\n\n\"O,\" said I unto him, \"through your domains\n  I never passed, but where is there a dwelling\n  Throughout all Europe, where they are not known?\n\nThat fame, which doeth honour to your house,\n  Proclaims its Signors and proclaims its land,\n  So that he knows of them who ne'er was there.\n\nAnd, as I hope for heaven, I swear to you\n  Your honoured family in naught abates\n  The glory of the purse and of the sword.\n\nIt is so privileged by use and nature,\n  That though a guilty head misguide the world,\n  Sole it goes right, and scorns the evil way.\"\n\nAnd he: \"Now go; for the sun shall not lie\n  Seven times upon the pillow which the Ram\n  With all his four feet covers and bestrides,\n\nBefore that such a courteous opinion\n  Shall in the middle of thy head be nailed\n  With greater nails than of another's speech,\n\nUnless the course of justice standeth still.\"\n\n\n\nPurgatorio: Canto IX\n\n\nThe concubine of old Tithonus now\n  Gleamed white upon the eastern balcony,\n  Forth from the arms of her sweet paramour;\n\nWith gems her forehead all relucent was,\n  Set in the shape of that cold animal\n  Which with its tail doth smite amain the nations,\n\nAnd of the steps, with which she mounts, the Night\n  Had taken two in that place where we were,\n  And now the third was bending down its wings;\n\nWhen I, who something had of Adam in me,\n  Vanquished by sleep, upon the grass reclined,\n  There were all five of us already sat.\n\nJust at the hour when her sad lay begins\n  The little swallow, near unto the morning,\n  Perchance in memory of her former woes,\n\nAnd when the mind of man, a wanderer\n  More from the flesh, and less by thought imprisoned,\n  Almost prophetic in its visions is,\n\nIn dreams it seemed to me I saw suspended\n  An eagle in the sky, with plumes of gold,\n  With wings wide open, and intent to stoop,\n\nAnd this, it seemed to me, was where had been\n  By Ganymede his kith and kin abandoned,\n  When to the high consistory he was rapt.\n\nI thought within myself, perchance he strikes\n  From habit only here, and from elsewhere\n  Disdains to bear up any in his feet.\n\nThen wheeling somewhat more, it seemed to me,\n  Terrible as the lightning he descended,\n  And snatched me upward even to the fire.\n\nTherein it seemed that he and I were burning,\n  And the imagined fire did scorch me so,\n  That of necessity my sleep was broken.\n\nNot otherwise Achilles started up,\n  Around him turning his awakened eyes,\n  And knowing not the place in which he was,\n\nWhat time from Chiron stealthily his mother\n  Carried him sleeping in her arms to Scyros,\n  Wherefrom the Greeks withdrew him afterwards,\n\nThan I upstarted, when from off my face\n  Sleep fled away; and pallid I became,\n  As doth the man who freezes with affright.\n\nOnly my Comforter was at my side,\n  And now the sun was more than two hours high,\n  And turned towards the sea-shore was my face.\n\n\"Be not intimidated,\" said my Lord,\n  \"Be reassured, for all is well with us;\n  Do not restrain, but put forth all thy strength.\n\nThou hast at length arrived at Purgatory;\n  See there the cliff that closes it around;\n  See there the entrance, where it seems disjoined.\n\nWhilom at dawn, which doth precede the day,\n  When inwardly thy spirit was asleep\n  Upon the flowers that deck the land below,\n\nThere came a Lady and said: 'I am Lucia;\n  Let me take this one up, who is asleep;\n  So will I make his journey easier for him.'\n\nSordello and the other noble shapes\n  Remained; she took thee, and, as day grew bright,\n  Upward she came, and I upon her footsteps.\n\nShe laid thee here; and first her beauteous eyes\n  That open entrance pointed out to me;\n  Then she and sleep together went away.\"\n\nIn guise of one whose doubts are reassured,\n  And who to confidence his fear doth change,\n  After the truth has been discovered to him,\n\nSo did I change; and when without disquiet\n  My Leader saw me, up along the cliff\n  He moved, and I behind him, tow'rd the height.\n\nReader, thou seest well how I exalt\n  My theme, and therefore if with greater art\n  I fortify it, marvel not thereat.\n\nNearer approached we, and were in such place,\n  That there, where first appeared to me a rift\n  Like to a crevice that disparts a wall,\n\nI saw a portal, and three stairs beneath,\n  Diverse in colour, to go up to it,\n  And a gate-keeper, who yet spake no word.\n\nAnd as I opened more and more mine eyes,\n  I saw him seated on the highest stair,\n  Such in the face that I endured it not.\n\nAnd in his hand he had a naked sword,\n  Which so reflected back the sunbeams tow'rds us,\n  That oft in vain I lifted up mine eyes.\n\n\"Tell it from where you are, what is't you wish?\"\n  Began he to exclaim; \"where is the escort?\n  Take heed your coming hither harm you not!\"\n\n\"A Lady of Heaven, with these things conversant,\"\n  My Master answered him, \"but even now\n  Said to us, 'Thither go; there is the portal.'\"\n\n\"And may she speed your footsteps in all good,\"\n  Again began the courteous janitor;\n  \"Come forward then unto these stairs of ours.\"\n\nThither did we approach; and the first stair\n  Was marble white, so polished and so smooth,\n  I mirrored myself therein as I appear.\n\nThe second, tinct of deeper hue than perse,\n  Was of a calcined and uneven stone,\n  Cracked all asunder lengthwise and across.\n\nThe third, that uppermost rests massively,\n  Porphyry seemed to me, as flaming red\n  As blood that from a vein is spirting forth.\n\nBoth of his feet was holding upon this\n  The Angel of God, upon the threshold seated,\n  Which seemed to me a stone of diamond.\n\nAlong the three stairs upward with good will\n  Did my Conductor draw me, saying: \"Ask\n  Humbly that he the fastening may undo.\"\n\nDevoutly at the holy feet I cast me,\n  For mercy's sake besought that he would open,\n  But first upon my breast three times I smote.\n\nSeven P's upon my forehead he described\n  With the sword's point, and, \"Take heed that thou wash\n  These wounds, when thou shalt be within,\" he said.\n\nAshes, or earth that dry is excavated,\n  Of the same colour were with his attire,\n  And from beneath it he drew forth two keys.\n\nOne was of gold, and the other was of silver;\n  First with the white, and after with the yellow,\n  Plied he the door, so that I was content.\n\n\"Whenever faileth either of these keys\n  So that it turn not rightly in the lock,\"\n  He said to us, \"this entrance doth not open.\n\nMore precious one is, but the other needs\n  More art and intellect ere it unlock,\n  For it is that which doth the knot unloose.\n\nFrom Peter I have them; and he bade me err\n  Rather in opening than in keeping shut,\n  If people but fall down before my feet.\"\n\nThen pushed the portals of the sacred door,\n  Exclaiming: \"Enter; but I give you warning\n  That forth returns whoever looks behind.\"\n\nAnd when upon their hinges were turned round\n  The swivels of that consecrated gate,\n  Which are of metal, massive and sonorous,\n\nRoared not so loud, nor so discordant seemed\n  Tarpeia, when was ta'en from it the good\n  Metellus, wherefore meagre it remained.\n\nAt the first thunder-peal I turned attentive,\n  And \"Te Deum laudamus\" seemed to hear\n  In voices mingled with sweet melody.\n\nExactly such an image rendered me\n  That which I heard, as we are wont to catch,\n  When people singing with the organ stand;\n\nFor now we hear, and now hear not, the words.\n\n\n\nPurgatorio: Canto X\n\n\nWhen we had crossed the threshold of the door\n  Which the perverted love of souls disuses,\n  Because it makes the crooked way seem straight,\n\nRe-echoing I heard it closed again;\n  And if I had turned back mine eyes upon it,\n  What for my failing had been fit excuse?\n\nWe mounted upward through a rifted rock,\n  Which undulated to this side and that,\n  Even as a wave receding and advancing.\n\n\"Here it behoves us use a little art,\"\n  Began my Leader, \"to adapt ourselves\n  Now here, now there, to the receding side.\"\n\nAnd this our footsteps so infrequent made,\n  That sooner had the moon's decreasing disk\n  Regained its bed to sink again to rest,\n\nThan we were forth from out that needle's eye;\n  But when we free and in the open were,\n  There where the mountain backward piles itself,\n\nI wearied out, and both of us uncertain\n  About our way, we stopped upon a plain\n  More desolate than roads across the deserts.\n\nFrom where its margin borders on the void,\n  To foot of the high bank that ever rises,\n  A human body three times told would measure;\n\nAnd far as eye of mine could wing its flight,\n  Now on the left, and on the right flank now,\n  The same this cornice did appear to me.\n\nThereon our feet had not been moved as yet,\n  When I perceived the embankment round about,\n  Which all right of ascent had interdicted,\n\nTo be of marble white, and so adorned\n  With sculptures, that not only Polycletus,\n  But Nature's self, had there been put to shame.\n\nThe Angel, who came down to earth with tidings\n  Of peace, that had been wept for many a year,\n  And opened Heaven from its long interdict,\n\nIn front of us appeared so truthfully\n  There sculptured in a gracious attitude,\n  He did not seem an image that is silent.\n\nOne would have sworn that he was saying, \"Ave;\"\n  For she was there in effigy portrayed\n  Who turned the key to ope the exalted love,\n\nAnd in her mien this language had impressed,\n  \"Ecce ancilla Dei,\" as distinctly\n  As any figure stamps itself in wax.\n\n\"Keep not thy mind upon one place alone,\"\n  The gentle Master said, who had me standing\n  Upon that side where people have their hearts;\n\nWhereat I moved mine eyes, and I beheld\n  In rear of Mary, and upon that side\n  Where he was standing who conducted me,\n\nAnother story on the rock imposed;\n  Wherefore I passed Virgilius and drew near,\n  So that before mine eyes it might be set.\n\nThere sculptured in the self-same marble were\n  The cart and oxen, drawing the holy ark,\n  Wherefore one dreads an office not appointed.\n\nPeople appeared in front, and all of them\n  In seven choirs divided, of two senses\n  Made one say \"No,\" the other, \"Yes, they sing.\"\n\nLikewise unto the smoke of the frankincense,\n  Which there was imaged forth, the eyes and nose\n  Were in the yes and no discordant made.\n\nPreceded there the vessel benedight,\n  Dancing with girded loins, the humble Psalmist,\n  And more and less than King was he in this.\n\nOpposite, represented at the window\n  Of a great palace, Michal looked upon him,\n  Even as a woman scornful and afflicted.\n\nI moved my feet from where I had been standing,\n  To examine near at hand another story,\n  Which after Michal glimmered white upon me.\n\nThere the high glory of the Roman Prince\n  Was chronicled, whose great beneficence\n  Moved Gregory to his great victory;\n\n'Tis of the Emperor Trajan I am speaking;\n  And a poor widow at his bridle stood,\n  In attitude of weeping and of grief.\n\nAround about him seemed it thronged and full\n  Of cavaliers, and the eagles in the gold\n  Above them visibly in the wind were moving.\n\nThe wretched woman in the midst of these\n  Seemed to be saying: \"Give me vengeance, Lord,\n  For my dead son, for whom my heart is breaking.\"\n\nAnd he to answer her: \"Now wait until\n  I shall return.\"  And she: \"My Lord,\" like one\n  In whom grief is impatient, \"shouldst thou not\n\nReturn?\"  And he: \"Who shall be where I am\n  Will give it thee.\"  And she: \"Good deed of others\n  What boots it thee, if thou neglect thine own?\"\n\nWhence he: \"Now comfort thee, for it behoves me\n  That I discharge my duty ere I move;\n  Justice so wills, and pity doth retain me.\"\n\nHe who on no new thing has ever looked\n  Was the creator of this visible language,\n  Novel to us, for here it is not found.\n\nWhile I delighted me in contemplating\n  The images of such humility,\n  And dear to look on for their Maker's sake,\n\n\"Behold, upon this side, but rare they make\n  Their steps,\" the Poet murmured, \"many people;\n  These will direct us to the lofty stairs.\"\n\nMine eyes, that in beholding were intent\n  To see new things, of which they curious are,\n  In turning round towards him were not slow.\n\nBut still I wish not, Reader, thou shouldst swerve\n  From thy good purposes, because thou hearest\n  How God ordaineth that the debt be paid;\n\nAttend not to the fashion of the torment,\n  Think of what follows; think that at the worst\n  It cannot reach beyond the mighty sentence.\n\n\"Master,\" began I, \"that which I behold\n  Moving towards us seems to me not persons,\n  And what I know not, so in sight I waver.\"\n\nAnd he to me: \"The grievous quality\n  Of this their torment bows them so to earth,\n  That my own eyes at first contended with it;\n\nBut look there fixedly, and disentangle\n  By sight what cometh underneath those stones;\n  Already canst thou see how each is stricken.\"\n\nO ye proud Christians! wretched, weary ones!\n  Who, in the vision of the mind infirm\n  Confidence have in your backsliding steps,\n\nDo ye not comprehend that we are worms,\n  Born to bring forth the angelic butterfly\n  That flieth unto judgment without screen?\n\nWhy floats aloft your spirit high in air?\n  Like are ye unto insects undeveloped,\n  Even as the worm in whom formation fails!\n\nAs to sustain a ceiling or a roof,\n  In place of corbel, oftentimes a figure\n  Is seen to join its knees unto its breast,\n\nWhich makes of the unreal real anguish\n  Arise in him who sees it, fashioned thus\n  Beheld I those, when I had ta'en good heed.\n\nTrue is it, they were more or less bent down,\n  According as they more or less were laden;\n  And he who had most patience in his looks\n\nWeeping did seem to say, \"I can no more!\"\n\n\n\nPurgatorio: Canto XI\n\n\n\"Our Father, thou who dwellest in the heavens,\n  Not circumscribed, but from the greater love\n  Thou bearest to the first effects on high,\n\nPraised be thy name and thine omnipotence\n  By every creature, as befitting is\n  To render thanks to thy sweet effluence.\n\nCome unto us the peace of thy dominion,\n  For unto it we cannot of ourselves,\n  If it come not, with all our intellect.\n\nEven as thine own Angels of their will\n  Make sacrifice to thee, Hosanna singing,\n  So may all men make sacrifice of theirs.\n\nGive unto us this day our daily manna,\n  Withouten which in this rough wilderness\n  Backward goes he who toils most to advance.\n\nAnd even as we the trespass we have suffered\n  Pardon in one another, pardon thou\n  Benignly, and regard not our desert.\n\nOur virtue, which is easily o'ercome,\n  Put not to proof with the old Adversary,\n  But thou from him who spurs it so, deliver.\n\nThis last petition verily, dear Lord,\n  Not for ourselves is made, who need it not,\n  But for their sake who have remained behind us.\"\n\nThus for themselves and us good furtherance\n  Those shades imploring, went beneath a weight\n  Like unto that of which we sometimes dream,\n\nUnequally in anguish round and round\n  And weary all, upon that foremost cornice,\n  Purging away the smoke-stains of the world.\n\nIf there good words are always said for us,\n  What may not here be said and done for them,\n  By those who have a good root to their will?\n\nWell may we help them wash away the marks\n  That hence they carried, so that clean and light\n  They may ascend unto the starry wheels!\n\n\"Ah! so may pity and justice you disburden\n  Soon, that ye may have power to move the wing,\n  That shall uplift you after your desire,\n\nShow us on which hand tow'rd the stairs the way\n  Is shortest, and if more than one the passes,\n  Point us out that which least abruptly falls;\n\nFor he who cometh with me, through the burden\n  Of Adam's flesh wherewith he is invested,\n  Against his will is chary of his climbing.\"\n\nThe words of theirs which they returned to those\n  That he whom I was following had spoken,\n  It was not manifest from whom they came,\n\nBut it was said: \"To the right hand come with us\n  Along the bank, and ye shall find a pass\n  Possible for living person to ascend.\n\nAnd were I not impeded by the stone,\n  Which this proud neck of mine doth subjugate,\n  Whence I am forced to hold my visage down,\n\nHim, who still lives and does not name himself,\n  Would I regard, to see if I may know him\n  And make him piteous unto this burden.\n\nA Latian was I, and born of a great Tuscan;\n  Guglielmo Aldobrandeschi was my father;\n  I know not if his name were ever with you.\n\nThe ancient blood and deeds of gallantry\n  Of my progenitors so arrogant made me\n  That, thinking not upon the common mother,\n\nAll men I held in scorn to such extent\n  I died therefor, as know the Sienese,\n  And every child in Campagnatico.\n\nI am Omberto; and not to me alone\n  Has pride done harm, but all my kith and kin\n  Has with it dragged into adversity.\n\nAnd here must I this burden bear for it\n  Till God be satisfied, since I did not\n  Among the living, here among the dead.\"\n\nListening I downward bent my countenance;\n  And one of them, not this one who was speaking,\n  Twisted himself beneath the weight that cramps him,\n\nAnd looked at me, and knew me, and called out,\n  Keeping his eyes laboriously fixed\n  On me, who all bowed down was going with them.\n\n\"O,\" asked I him, \"art thou not Oderisi,\n  Agobbio's honour, and honour of that art\n  Which is in Paris called illuminating?\"\n\n\"Brother,\" said he, \"more laughing are the leaves\n  Touched by the brush of Franco Bolognese;\n  All his the honour now, and mine in part.\n\nIn sooth I had not been so courteous\n  While I was living, for the great desire\n  Of excellence, on which my heart was bent.\n\nHere of such pride is paid the forfeiture;\n  And yet I should not be here, were it not\n  That, having power to sin, I turned to God.\n\nO thou vain glory of the human powers,\n  How little green upon thy summit lingers,\n  If't be not followed by an age of grossness!\n\nIn painting Cimabue thought that he\n  Should hold the field, now Giotto has the cry,\n  So that the other's fame is growing dim.\n\nSo has one Guido from the other taken\n  The glory of our tongue, and he perchance\n  Is born, who from the nest shall chase them both.\n\nNaught is this mundane rumour but a breath\n  Of wind, that comes now this way and now that,\n  And changes name, because it changes side.\n\nWhat fame shalt thou have more, if old peel off\n  From thee thy flesh, than if thou hadst been dead\n  Before thou left the 'pappo' and the 'dindi,'\n\nEre pass a thousand years? which is a shorter\n  Space to the eterne, than twinkling of an eye\n  Unto the circle that in heaven wheels slowest.\n\nWith him, who takes so little of the road\n  In front of me, all Tuscany resounded;\n  And now he scarce is lisped of in Siena,\n\nWhere he was lord, what time was overthrown\n  The Florentine delirium, that superb\n  Was at that day as now 'tis prostitute.\n\nYour reputation is the colour of grass\n  Which comes and goes, and that discolours it\n  By which it issues green from out the earth.\"\n\nAnd I: \"Thy true speech fills my heart with good\n  Humility, and great tumour thou assuagest;\n  But who is he, of whom just now thou spakest?\"\n\n\"That,\" he replied, \"is Provenzan Salvani,\n  And he is here because he had presumed\n  To bring Siena all into his hands.\n\nHe has gone thus, and goeth without rest\n  E'er since he died; such money renders back\n  In payment he who is on earth too daring.\"\n\nAnd I: \"If every spirit who awaits\n  The verge of life before that he repent,\n  Remains below there and ascends not hither,\n\n(Unless good orison shall him bestead,)\n  Until as much time as he lived be passed,\n  How was the coming granted him in largess?\"\n\n\"When he in greatest splendour lived,\" said he,\n  \"Freely upon the Campo of Siena,\n  All shame being laid aside, he placed himself;\n\nAnd there to draw his friend from the duress\n  Which in the prison-house of Charles he suffered,\n  He brought himself to tremble in each vein.\n\nI say no more, and know that I speak darkly;\n  Yet little time shall pass before thy neighbours\n  Will so demean themselves that thou canst gloss it.\n\nThis action has released him from those confines.\"\n\n\n\nPurgatorio: Canto XII\n\n\nAbreast, like oxen going in a yoke,\n  I with that heavy-laden soul went on,\n  As long as the sweet pedagogue permitted;\n\nBut when he said, \"Leave him, and onward pass,\n  For here 'tis good that with the sail and oars,\n  As much as may be, each push on his barque;\"\n\nUpright, as walking wills it, I redressed\n  My person, notwithstanding that my thoughts\n  Remained within me downcast and abashed.\n\nI had moved on, and followed willingly\n  The footsteps of my Master, and we both\n  Already showed how light of foot we were,\n\nWhen unto me he said: \"Cast down thine eyes;\n  'Twere well for thee, to alleviate the way,\n  To look upon the bed beneath thy feet.\"\n\nAs, that some memory may exist of them,\n  Above the buried dead their tombs in earth\n  Bear sculptured on them what they were before;\n\nWhence often there we weep for them afresh,\n  From pricking of remembrance, which alone\n  To the compassionate doth set its spur;\n\nSo saw I there, but of a better semblance\n  In point of artifice, with figures covered\n  Whate'er as pathway from the mount projects.\n\nI saw that one who was created noble\n  More than all other creatures, down from heaven\n  Flaming with lightnings fall upon one side.\n\nI saw Briareus smitten by the dart\n  Celestial, lying on the other side,\n  Heavy upon the earth by mortal frost.\n\nI saw Thymbraeus, Pallas saw, and Mars,\n  Still clad in armour round about their father,\n  Gaze at the scattered members of the giants.\n\nI saw, at foot of his great labour, Nimrod,\n  As if bewildered, looking at the people\n  Who had been proud with him in Sennaar.\n\nO Niobe! with what afflicted eyes\n  Thee I beheld upon the pathway traced,\n  Between thy seven and seven children slain!\n\nO Saul! how fallen upon thy proper sword\n  Didst thou appear there lifeless in Gilboa,\n  That felt thereafter neither rain nor dew!\n\nO mad Arachne! so I thee beheld\n  E'en then half spider, sad upon the shreds\n  Of fabric wrought in evil hour for thee!\n\nO Rehoboam! no more seems to threaten\n  Thine image there; but full of consternation\n  A chariot bears it off, when none pursues!\n\nDisplayed moreo'er the adamantine pavement\n  How unto his own mother made Alcmaeon\n  Costly appear the luckless ornament;\n\nDisplayed how his own sons did throw themselves\n  Upon Sennacherib within the temple,\n  And how, he being dead, they left him there;\n\nDisplayed the ruin and the cruel carnage\n  That Tomyris wrought, when she to Cyrus said,\n  \"Blood didst thou thirst for, and with blood I glut thee!\"\n\nDisplayed how routed fled the Assyrians\n  After that Holofernes had been slain,\n  And likewise the remainder of that slaughter.\n\nI saw there Troy in ashes and in caverns;\n  O Ilion! thee, how abject and debased,\n  Displayed the image that is there discerned!\n\nWhoe'er of pencil master was or stile,\n  That could portray the shades and traits which there\n  Would cause each subtile genius to admire?\n\nDead seemed the dead, the living seemed alive;\n  Better than I saw not who saw the truth,\n  All that I trod upon while bowed I went.\n\nNow wax ye proud, and on with looks uplifted,\n  Ye sons of Eve, and bow not down your faces\n  So that ye may behold your evil ways!\n\nMore of the mount by us was now encompassed,\n  And far more spent the circuit of the sun,\n  Than had the mind preoccupied imagined,\n\nWhen he, who ever watchful in advance\n  Was going on, began: \"Lift up thy head,\n  'Tis no more time to go thus meditating.\n\nLo there an Angel who is making haste\n  To come towards us; lo, returning is\n  From service of the day the sixth handmaiden.\n\nWith reverence thine acts and looks adorn,\n  So that he may delight to speed us upward;\n  Think that this day will never dawn again.\"\n\nI was familiar with his admonition\n  Ever to lose no time; so on this theme\n  He could not unto me speak covertly.\n\nTowards us came the being beautiful\n  Vested in white, and in his countenance\n  Such as appears the tremulous morning star.\n\nHis arms he opened, and opened then his wings;\n  \"Come,\" said he, \"near at hand here are the steps,\n  And easy from henceforth is the ascent.\"\n\nAt this announcement few are they who come!\n  O human creatures, born to soar aloft,\n  Why fall ye thus before a little wind?\n\nHe led us on to where the rock was cleft;\n  There smote upon my forehead with his wings,\n  Then a safe passage promised unto me.\n\nAs on the right hand, to ascend the mount\n  Where seated is the church that lordeth it\n  O'er the well-guided, above Rubaconte,\n\nThe bold abruptness of the ascent is broken\n  By stairways that were made there in the age\n  When still were safe the ledger and the stave,\n\nE'en thus attempered is the bank which falls\n  Sheer downward from the second circle there;\n  But on this, side and that the high rock graze.\n\nAs we were turning thitherward our persons,\n  \"Beati pauperes spiritu,\" voices\n  Sang in such wise that speech could tell it not.\n\nAh me! how different are these entrances\n  From the Infernal! for with anthems here\n  One enters, and below with wild laments.\n\nWe now were hunting up the sacred stairs,\n  And it appeared to me by far more easy\n  Than on the plain it had appeared before.\n\nWhence I: \"My Master, say, what heavy thing\n  Has been uplifted from me, so that hardly\n  Aught of fatigue is felt by me in walking?\"\n\nHe answered: \"When the P's which have remained\n  Still on thy face almost obliterate\n  Shall wholly, as the first is, be erased,\n\nThy feet will be so vanquished by good will,\n  That not alone they shall not feel fatigue,\n  But urging up will be to them delight.\"\n\nThen did I even as they do who are going\n  With something on the head to them unknown,\n  Unless the signs of others make them doubt,\n\nWherefore the hand to ascertain is helpful,\n  And seeks and finds, and doth fulfill the office\n  Which cannot be accomplished by the sight;\n\nAnd with the fingers of the right hand spread\n  I found but six the letters, that had carved\n  Upon my temples he who bore the keys;\n\nUpon beholding which my Leader smiled.\n\n\n\nPurgatorio: Canto XIII\n\n\nWe were upon the summit of the stairs,\n  Where for the second time is cut away\n  The mountain, which ascending shriveth all.\n\nThere in like manner doth a cornice bind\n  The hill all round about, as does the first,\n  Save that its arc more suddenly is curved.\n\nShade is there none, nor sculpture that appears;\n  So seems the bank, and so the road seems smooth,\n  With but the livid colour of the stone.\n\n\"If to inquire we wait for people here,\"\n  The Poet said, \"I fear that peradventure\n  Too much delay will our election have.\"\n\nThen steadfast on the sun his eyes he fixed,\n  Made his right side the centre of his motion,\n  And turned the left part of himself about.\n\n\"O thou sweet light! with trust in whom I enter\n  Upon this novel journey, do thou lead us,\"\n  Said he, \"as one within here should be led.\n\nThou warmest the world, thou shinest over it;\n  If other reason prompt not otherwise,\n  Thy rays should evermore our leaders be!\"\n\nAs much as here is counted for a mile,\n  So much already there had we advanced\n  In little time, by dint of ready will;\n\nAnd tow'rds us there were heard to fly, albeit\n  They were not visible, spirits uttering\n  Unto Love's table courteous invitations,\n\nThe first voice that passed onward in its flight,\n  \"Vinum non habent,\" said in accents loud,\n  And went reiterating it behind us.\n\nAnd ere it wholly grew inaudible\n  Because of distance, passed another, crying,\n  \"I am Orestes!\" and it also stayed not.\n\n\"O,\" said I, \"Father, these, what voices are they?\"\n  And even as I asked, behold the third,\n  Saying: \"Love those from whom ye have had evil!\"\n\nAnd the good Master said: \"This circle scourges\n  The sin of envy, and on that account\n  Are drawn from love the lashes of the scourge.\n\nThe bridle of another sound shall be;\n  I think that thou wilt hear it, as I judge,\n  Before thou comest to the Pass of Pardon.\n\nBut fix thine eyes athwart the air right steadfast,\n  And people thou wilt see before us sitting,\n  And each one close against the cliff is seated.\"\n\nThen wider than at first mine eyes I opened;\n  I looked before me, and saw shades with mantles\n  Not from the colour of the stone diverse.\n\nAnd when we were a little farther onward,\n  I heard a cry of, \"Mary, pray for us!\"\n  A cry of, \"Michael, Peter, and all Saints!\"\n\nI do not think there walketh still on earth\n  A man so hard, that he would not be pierced\n  With pity at what afterward I saw.\n\nFor when I had approached so near to them\n  That manifest to me their acts became,\n  Drained was I at the eyes by heavy grief.\n\nCovered with sackcloth vile they seemed to me,\n  And one sustained the other with his shoulder,\n  And all of them were by the bank sustained.\n\nThus do the blind, in want of livelihood,\n  Stand at the doors of churches asking alms,\n  And one upon another leans his head,\n\nSo that in others pity soon may rise,\n  Not only at the accent of their words,\n  But at their aspect, which no less implores.\n\nAnd as unto the blind the sun comes not,\n  So to the shades, of whom just now I spake,\n  Heaven's light will not be bounteous of itself;\n\nFor all their lids an iron wire transpierces,\n  And sews them up, as to a sparhawk wild\n  Is done, because it will not quiet stay.\n\nTo me it seemed, in passing, to do outrage,\n  Seeing the others without being seen;\n  Wherefore I turned me to my counsel sage.\n\nWell knew he what the mute one wished to say,\n  And therefore waited not for my demand,\n  But said: \"Speak, and be brief, and to the point.\"\n\nI had Virgilius upon that side\n  Of the embankment from which one may fall,\n  Since by no border 'tis engarlanded;\n\nUpon the other side of me I had\n  The shades devout, who through the horrible seam\n  Pressed out the tears so that they bathed their cheeks.\n\nTo them I turned me, and, \"O people, certain,\"\n  Began I, \"of beholding the high light,\n  Which your desire has solely in its care,\n\nSo may grace speedily dissolve the scum\n  Upon your consciences, that limpidly\n  Through them descend the river of the mind,\n\nTell me, for dear 'twill be to me and gracious,\n  If any soul among you here is Latian,\n  And 'twill perchance be good for him I learn it.\"\n\n\"O brother mine, each one is citizen\n  Of one true city; but thy meaning is,\n  Who may have lived in Italy a pilgrim.\"\n\nBy way of answer this I seemed to hear\n  A little farther on than where I stood,\n  Whereat I made myself still nearer heard.\n\nAmong the rest I saw a shade that waited\n  In aspect, and should any one ask how,\n  Its chin it lifted upward like a blind man.\n\n\"Spirit,\" I said, \"who stoopest to ascend,\n  If thou art he who did reply to me,\n  Make thyself known to me by place or name.\"\n\n\"Sienese was I,\" it replied, \"and with\n  The others here recleanse my guilty life,\n  Weeping to Him to lend himself to us.\n\nSapient I was not, although I Sapia\n  Was called, and I was at another's harm\n  More happy far than at my own good fortune.\n\nAnd that thou mayst not think that I deceive thee,\n  Hear if I was as foolish as I tell thee.\n  The arc already of my years descending,\n\nMy fellow-citizens near unto Colle\n  Were joined in battle with their adversaries,\n  And I was praying God for what he willed.\n\nRouted were they, and turned into the bitter\n  Passes of flight; and I, the chase beholding,\n  A joy received unequalled by all others;\n\nSo that I lifted upward my bold face\n  Crying to God, 'Henceforth I fear thee not,'\n  As did the blackbird at the little sunshine.\n\nPeace I desired with God at the extreme\n  Of my existence, and as yet would not\n  My debt have been by penitence discharged,\n\nHad it not been that in remembrance held me\n  Pier Pettignano in his holy prayers,\n  Who out of charity was grieved for me.\n\nBut who art thou, that into our conditions\n  Questioning goest, and hast thine eyes unbound\n  As I believe, and breathing dost discourse?\"\n\n\"Mine eyes,\" I said, \"will yet be here ta'en from me,\n  But for short space; for small is the offence\n  Committed by their being turned with envy.\n\nFar greater is the fear, wherein suspended\n  My soul is, of the torment underneath,\n  For even now the load down there weighs on me.\"\n\nAnd she to me: \"Who led thee, then, among us\n  Up here, if to return below thou thinkest?\"\n  And I: \"He who is with me, and speaks not;\n\nAnd living am I; therefore ask of me,\n  Spirit elect, if thou wouldst have me move\n  O'er yonder yet my mortal feet for thee.\"\n\n\"O, this is such a novel thing to hear,\"\n  She answered, \"that great sign it is God loves thee;\n  Therefore with prayer of thine sometimes assist me.\n\nAnd I implore, by what thou most desirest,\n  If e'er thou treadest the soil of Tuscany,\n  Well with my kindred reinstate my fame.\n\nThem wilt thou see among that people vain\n  Who hope in Talamone, and will lose there\n  More hope than in discovering the Diana;\n\nBut there still more the admirals will lose.\"\n\n\n\nPurgatorio: Canto XIV\n\n\n\"Who is this one that goes about our mountain,\n  Or ever Death has given him power of flight,\n  And opes his eyes and shuts them at his will?\"\n\n\"I know not who, but know he's not alone;\n  Ask him thyself, for thou art nearer to him,\n  And gently, so that he may speak, accost him.\"\n\nThus did two spirits, leaning tow'rds each other,\n  Discourse about me there on the right hand;\n  Then held supine their faces to address me.\n\nAnd said the one: \"O soul, that, fastened still\n  Within the body, tow'rds the heaven art going,\n  For charity console us, and declare\n\nWhence comest and who art thou; for thou mak'st us\n  As much to marvel at this grace of thine\n  As must a thing that never yet has been.\"\n\nAnd I: \"Through midst of Tuscany there wanders\n  A streamlet that is born in Falterona,\n  And not a hundred miles of course suffice it;\n\nFrom thereupon do I this body bring.\n  To tell you who I am were speech in vain,\n  Because my name as yet makes no great noise.\"\n\n\"If well thy meaning I can penetrate\n  With intellect of mine,\" then answered me\n  He who first spake, \"thou speakest of the Arno.\"\n\nAnd said the other to him: \"Why concealed\n  This one the appellation of that river,\n  Even as a man doth of things horrible?\"\n\nAnd thus the shade that questioned was of this\n  Himself acquitted: \"I know not; but truly\n  'Tis fit the name of such a valley perish;\n\nFor from its fountain-head (where is so pregnant\n  The Alpine mountain whence is cleft Peloro\n  That in few places it that mark surpasses)\n\nTo where it yields itself in restoration\n  Of what the heaven doth of the sea dry up,\n  Whence have the rivers that which goes with them,\n\nVirtue is like an enemy avoided\n  By all, as is a serpent, through misfortune\n  Of place, or through bad habit that impels them;\n\nOn which account have so transformed their nature\n  The dwellers in that miserable valley,\n  It seems that Circe had them in her pasture.\n\n'Mid ugly swine, of acorns worthier\n  Than other food for human use created,\n  It first directeth its impoverished way.\n\nCurs findeth it thereafter, coming downward,\n  More snarling than their puissance demands,\n  And turns from them disdainfully its muzzle.\n\nIt goes on falling, and the more it grows,\n  The more it finds the dogs becoming wolves,\n  This maledict and misadventurous ditch.\n\nDescended then through many a hollow gulf,\n  It finds the foxes so replete with fraud,\n  They fear no cunning that may master them.\n\nNor will I cease because another hears me;\n  And well 'twill be for him, if still he mind him\n  Of what a truthful spirit to me unravels.\n\nThy grandson I behold, who doth become\n  A hunter of those wolves upon the bank\n  Of the wild stream, and terrifies them all.\n\nHe sells their flesh, it being yet alive;\n  Thereafter slaughters them like ancient beeves;\n  Many of life, himself of praise, deprives.\n\nBlood-stained he issues from the dismal forest;\n  He leaves it such, a thousand years from now\n  In its primeval state 'tis not re-wooded.\"\n\nAs at the announcement of impending ills\n  The face of him who listens is disturbed,\n  From whate'er side the peril seize upon him;\n\nSo I beheld that other soul, which stood\n  Turned round to listen, grow disturbed and sad,\n  When it had gathered to itself the word.\n\nThe speech of one and aspect of the other\n  Had me desirous made to know their names,\n  And question mixed with prayers I made thereof,\n\nWhereat the spirit which first spake to me\n  Began again: \"Thou wishest I should bring me\n  To do for thee what thou'lt not do for me;\n\nBut since God willeth that in thee shine forth\n  Such grace of his, I'll not be chary with thee;\n  Know, then, that I Guido del Duca am.\n\nMy blood was so with envy set on fire,\n  That if I had beheld a man make merry,\n  Thou wouldst have seen me sprinkled o'er with pallor.\n\nFrom my own sowing such the straw I reap!\n  O human race! why dost thou set thy heart\n  Where interdict of partnership must be?\n\nThis is Renier; this is the boast and honour\n  Of the house of Calboli, where no one since\n  Has made himself the heir of his desert.\n\nAnd not alone his blood is made devoid,\n  'Twixt Po and mount, and sea-shore and the Reno,\n  Of good required for truth and for diversion;\n\nFor all within these boundaries is full\n  Of venomous roots, so that too tardily\n  By cultivation now would they diminish.\n\nWhere is good Lizio, and Arrigo Manardi,\n  Pier Traversaro, and Guido di Carpigna,\n  O Romagnuoli into bastards turned?\n\nWhen in Bologna will a Fabbro rise?\n  When in Faenza a Bernardin di Fosco,\n  The noble scion of ignoble seed?\n\nBe not astonished, Tuscan, if I weep,\n  When I remember, with Guido da Prata,\n  Ugolin d' Azzo, who was living with us,\n\nFrederick Tignoso and his company,\n  The house of Traversara, and th' Anastagi,\n  And one race and the other is extinct;\n\nThe dames and cavaliers, the toils and ease\n  That filled our souls with love and courtesy,\n  There where the hearts have so malicious grown!\n\nO Brettinoro! why dost thou not flee,\n  Seeing that all thy family is gone,\n  And many people, not to be corrupted?\n\nBagnacaval does well in not begetting\n  And ill does Castrocaro, and Conio worse,\n  In taking trouble to beget such Counts.\n\nWill do well the Pagani, when their Devil\n  Shall have departed; but not therefore pure\n  Will testimony of them e'er remain.\n\nO Ugolin de' Fantoli, secure\n  Thy name is, since no longer is awaited\n  One who, degenerating, can obscure it!\n\nBut go now, Tuscan, for it now delights me\n  To weep far better than it does to speak,\n  So much has our discourse my mind distressed.\"\n\nWe were aware that those beloved souls\n  Heard us depart; therefore, by keeping silent,\n  They made us of our pathway confident.\n\nWhen we became alone by going onward,\n  Thunder, when it doth cleave the air, appeared\n  A voice, that counter to us came, exclaiming:\n\n\"Shall slay me whosoever findeth me!\"\n  And fled as the reverberation dies\n  If suddenly the cloud asunder bursts.\n\nAs soon as hearing had a truce from this,\n  Behold another, with so great a crash,\n  That it resembled thunderings following fast:\n\n\"I am Aglaurus, who became a stone!\"\n  And then, to press myself close to the Poet,\n  I backward, and not forward, took a step.\n\nAlready on all sides the air was quiet;\n  And said he to me: \"That was the hard curb\n  That ought to hold a man within his bounds;\n\nBut you take in the bait so that the hook\n  Of the old Adversary draws you to him,\n  And hence availeth little curb or call.\n\nThe heavens are calling you, and wheel around you,\n  Displaying to you their eternal beauties,\n  And still your eye is looking on the ground;\n\nWhence He, who all discerns, chastises you.\"\n\n\n\nPurgatorio: Canto XV\n\n\nAs much as 'twixt the close of the third hour\n  And dawn of day appeareth of that sphere\n  Which aye in fashion of a child is playing,\n\nSo much it now appeared, towards the night,\n  Was of his course remaining to the sun;\n  There it was evening, and 'twas midnight here;\n\nAnd the rays smote the middle of our faces,\n  Because by us the mount was so encircled,\n  That straight towards the west we now were going\n\nWhen I perceived my forehead overpowered\n  Beneath the splendour far more than at first,\n  And stupor were to me the things unknown,\n\nWhereat towards the summit of my brow\n  I raised my hands, and made myself the visor\n  Which the excessive glare diminishes.\n\nAs when from off the water, or a mirror,\n  The sunbeam leaps unto the opposite side,\n  Ascending upward in the selfsame measure\n\nThat it descends, and deviates as far\n  From falling of a stone in line direct,\n  (As demonstrate experiment and art,)\n\nSo it appeared to me that by a light\n  Refracted there before me I was smitten;\n  On which account my sight was swift to flee.\n\n\"What is that, Father sweet, from which I cannot\n  So fully screen my sight that it avail me,\"\n  Said I, \"and seems towards us to be moving?\"\n\n\"Marvel thou not, if dazzle thee as yet\n  The family of heaven,\" he answered me;\n  \"An angel 'tis, who comes to invite us upward.\n\nSoon will it be, that to behold these things\n  Shall not be grievous, but delightful to thee\n  As much as nature fashioned thee to feel.\"\n\nWhen we had reached the Angel benedight,\n  With joyful voice he said: \"Here enter in\n  To stairway far less steep than are the others.\"\n\nWe mounting were, already thence departed,\n  And \"Beati misericordes\" was\n  Behind us sung, \"Rejoice, thou that o'ercomest!\"\n\nMy Master and myself, we two alone\n  Were going upward, and I thought, in going,\n  Some profit to acquire from words of his;\n\nAnd I to him directed me, thus asking:\n  \"What did the spirit of Romagna mean,\n  Mentioning interdict and partnership?\"\n\nWhence he to me: \"Of his own greatest failing\n  He knows the harm; and therefore wonder not\n  If he reprove us, that we less may rue it.\n\nBecause are thither pointed your desires\n  Where by companionship each share is lessened,\n  Envy doth ply the bellows to your sighs.\n\nBut if the love of the supernal sphere\n  Should upwardly direct your aspiration,\n  There would not be that fear within your breast;\n\nFor there, as much the more as one says 'Our,'\n  So much the more of good each one possesses,\n  And more of charity in that cloister burns.\"\n\n\"I am more hungering to be satisfied,\"\n  I said, \"than if I had before been silent,\n  And more of doubt within my mind I gather.\n\nHow can it be, that boon distributed\n  The more possessors can more wealthy make\n  Therein, than if by few it be possessed?\"\n\nAnd he to me: \"Because thou fixest still\n  Thy mind entirely upon earthly things,\n  Thou pluckest darkness from the very light.\n\nThat goodness infinite and ineffable\n  Which is above there, runneth unto love,\n  As to a lucid body comes the sunbeam.\n\nSo much it gives itself as it finds ardour,\n  So that as far as charity extends,\n  O'er it increases the eternal valour.\n\nAnd the more people thitherward aspire,\n  More are there to love well, and more they love there,\n  And, as a mirror, one reflects the other.\n\nAnd if my reasoning appease thee not,\n  Thou shalt see Beatrice; and she will fully\n  Take from thee this and every other longing.\n\nEndeavour, then, that soon may be extinct,\n  As are the two already, the five wounds\n  That close themselves again by being painful.\"\n\nEven as I wished to say, \"Thou dost appease me,\"\n  I saw that I had reached another circle,\n  So that my eager eyes made me keep silence.\n\nThere it appeared to me that in a vision\n  Ecstatic on a sudden I was rapt,\n  And in a temple many persons saw;\n\nAnd at the door a woman, with the sweet\n  Behaviour of a mother, saying: \"Son,\n  Why in this manner hast thou dealt with us?\n\nLo, sorrowing, thy father and myself\n  Were seeking for thee;\"--and as here she ceased,\n  That which appeared at first had disappeared.\n\nThen I beheld another with those waters\n  Adown her cheeks which grief distils whenever\n  From great disdain of others it is born,\n\nAnd saying: \"If of that city thou art lord,\n  For whose name was such strife among the gods,\n  And whence doth every science scintillate,\n\nAvenge thyself on those audacious arms\n  That clasped our daughter, O Pisistratus;\"\n  And the lord seemed to me benign and mild\n\nTo answer her with aspect temperate:\n  \"What shall we do to those who wish us ill,\n  If he who loves us be by us condemned?\"\n\nThen saw I people hot in fire of wrath,\n  With stones a young man slaying, clamorously\n  Still crying to each other, \"Kill him! kill him!\"\n\nAnd him I saw bow down, because of death\n  That weighed already on him, to the earth,\n  But of his eyes made ever gates to heaven,\n\nImploring the high Lord, in so great strife,\n  That he would pardon those his persecutors,\n  With such an aspect as unlocks compassion.\n\nSoon as my soul had outwardly returned\n  To things external to it which are true,\n  Did I my not false errors recognize.\n\nMy Leader, who could see me bear myself\n  Like to a man that rouses him from sleep,\n  Exclaimed: \"What ails thee, that thou canst not stand?\n\nBut hast been coming more than half a league\n  Veiling thine eyes, and with thy legs entangled,\n  In guise of one whom wine or sleep subdues?\"\n\n\"O my sweet Father, if thou listen to me,\n  I'll tell thee,\" said I, \"what appeared to me,\n  When thus from me my legs were ta'en away.\"\n\nAnd he: \"If thou shouldst have a hundred masks\n  Upon thy face, from me would not be shut\n  Thy cogitations, howsoever small.\n\nWhat thou hast seen was that thou mayst not fail\n  To ope thy heart unto the waters of peace,\n  Which from the eternal fountain are diffused.\n\nI did not ask, 'What ails thee?' as he does\n  Who only looketh with the eyes that see not\n  When of the soul bereft the body lies,\n\nBut asked it to give vigour to thy feet;\n  Thus must we needs urge on the sluggards, slow\n  To use their wakefulness when it returns.\"\n\nWe passed along, athwart the twilight peering\n  Forward as far as ever eye could stretch\n  Against the sunbeams serotine and lucent;\n\nAnd lo! by slow degrees a smoke approached\n  In our direction, sombre as the night,\n  Nor was there place to hide one's self therefrom.\n\nThis of our eyes and the pure air bereft us.\n\n\n\nPurgatorio: Canto XVI\n\n\nDarkness of hell, and of a night deprived\n  Of every planet under a poor sky,\n  As much as may be tenebrous with cloud,\n\nNe'er made unto my sight so thick a veil,\n  As did that smoke which there enveloped us,\n  Nor to the feeling of so rough a texture;\n\nFor not an eye it suffered to stay open;\n  Whereat mine escort, faithful and sagacious,\n  Drew near to me and offered me his shoulder.\n\nE'en as a blind man goes behind his guide,\n  Lest he should wander, or should strike against\n  Aught that may harm or peradventure kill him,\n\nSo went I through the bitter and foul air,\n  Listening unto my Leader, who said only,\n  \"Look that from me thou be not separated.\"\n\nVoices I heard, and every one appeared\n  To supplicate for peace and misericord\n  The Lamb of God who takes away our sins.\n\nStill \"Agnus Dei\" their exordium was;\n  One word there was in all, and metre one,\n  So that all harmony appeared among them.\n\n\"Master,\" I said, \"are spirits those I hear?\"\n  And he to me: \"Thou apprehendest truly,\n  And they the knot of anger go unloosing.\"\n\n\"Now who art thou, that cleavest through our smoke\n  And art discoursing of us even as though\n  Thou didst by calends still divide the time?\"\n\nAfter this manner by a voice was spoken;\n  Whereon my Master said: \"Do thou reply,\n  And ask if on this side the way go upward.\"\n\nAnd I: \"O creature that dost cleanse thyself\n  To return beautiful to Him who made thee,\n  Thou shalt hear marvels if thou follow me.\"\n\n\"Thee will I follow far as is allowed me,\"\n  He answered; \"and if smoke prevent our seeing,\n  Hearing shall keep us joined instead thereof.\"\n\nThereon began I: \"With that swathing band\n  Which death unwindeth am I going upward,\n  And hither came I through the infernal anguish.\n\nAnd if God in his grace has me infolded,\n  So that he wills that I behold his court\n  By method wholly out of modern usage,\n\nConceal not from me who ere death thou wast,\n  But tell it me, and tell me if I go\n  Right for the pass, and be thy words our escort.\"\n\n\"Lombard was I, and I was Marco called;\n  The world I knew, and loved that excellence,\n  At which has each one now unbent his bow.\n\nFor mounting upward, thou art going right.\"\n  Thus he made answer, and subjoined: \"I pray thee\n  To pray for me when thou shalt be above.\"\n\nAnd I to him: \"My faith I pledge to thee\n  To do what thou dost ask me; but am bursting\n  Inly with doubt, unless I rid me of it.\n\nFirst it was simple, and is now made double\n  By thy opinion, which makes certain to me,\n  Here and elsewhere, that which I couple with it.\n\nThe world forsooth is utterly deserted\n  By every virtue, as thou tellest me,\n  And with iniquity is big and covered;\n\nBut I beseech thee point me out the cause,\n  That I may see it, and to others show it;\n  For one in the heavens, and here below one puts it.\"\n\nA sigh profound, that grief forced into Ai!\n  He first sent forth, and then began he: \"Brother,\n  The world is blind, and sooth thou comest from it!\n\nYe who are living every cause refer\n  Still upward to the heavens, as if all things\n  They of necessity moved with themselves.\n\nIf this were so, in you would be destroyed\n  Free will, nor any justice would there be\n  In having joy for good, or grief for evil.\n\nThe heavens your movements do initiate,\n  I say not all; but granting that I say it,\n  Light has been given you for good and evil,\n\nAnd free volition; which, if some fatigue\n  In the first battles with the heavens it suffers,\n  Afterwards conquers all, if well 'tis nurtured.\n\nTo greater force and to a better nature,\n  Though free, ye subject are, and that creates\n  The mind in you the heavens have not in charge.\n\nHence, if the present world doth go astray,\n  In you the cause is, be it sought in you;\n  And I therein will now be thy true spy.\n\nForth from the hand of Him, who fondles it\n  Before it is, like to a little girl\n  Weeping and laughing in her childish sport,\n\nIssues the simple soul, that nothing knows,\n  Save that, proceeding from a joyous Maker,\n  Gladly it turns to that which gives it pleasure.\n\nOf trivial good at first it tastes the savour;\n  Is cheated by it, and runs after it,\n  If guide or rein turn not aside its love.\n\nHence it behoved laws for a rein to place,\n  Behoved a king to have, who at the least\n  Of the true city should discern the tower.\n\nThe laws exist, but who sets hand to them?\n  No one; because the shepherd who precedes\n  Can ruminate, but cleaveth not the hoof;\n\nWherefore the people that perceives its guide\n  Strike only at the good for which it hankers,\n  Feeds upon that, and farther seeketh not.\n\nClearly canst thou perceive that evil guidance\n  The cause is that has made the world depraved,\n  And not that nature is corrupt in you.\n\nRome, that reformed the world, accustomed was\n  Two suns to have, which one road and the other,\n  Of God and of the world, made manifest.\n\nOne has the other quenched, and to the crosier\n  The sword is joined, and ill beseemeth it\n  That by main force one with the other go,\n\nBecause, being joined, one feareth not the other;\n  If thou believe not, think upon the grain,\n  For by its seed each herb is recognized.\n\nIn the land laved by Po and Adige,\n  Valour and courtesy used to be found,\n  Before that Frederick had his controversy;\n\nNow in security can pass that way\n  Whoever will abstain, through sense of shame,\n  From speaking with the good, or drawing near them.\n\nTrue, three old men are left, in whom upbraids\n  The ancient age the new, and late they deem it\n  That God restore them to the better life:\n\nCurrado da Palazzo, and good Gherardo,\n  And Guido da Castel, who better named is,\n  In fashion of the French, the simple Lombard:\n\nSay thou henceforward that the Church of Rome,\n  Confounding in itself two governments,\n  Falls in the mire, and soils itself and burden.\"\n\n\"O Marco mine,\" I said, \"thou reasonest well;\n  And now discern I why the sons of Levi\n  Have been excluded from the heritage.\n\nBut what Gherardo is it, who, as sample\n  Of a lost race, thou sayest has remained\n  In reprobation of the barbarous age?\"\n\n\"Either thy speech deceives me, or it tempts me,\"\n  He answered me; \"for speaking Tuscan to me,\n  It seems of good Gherardo naught thou knowest.\n\nBy other surname do I know him not,\n  Unless I take it from his daughter Gaia.\n  May God be with you, for I come no farther.\n\nBehold the dawn, that through the smoke rays out,\n  Already whitening; and I must depart--\n  Yonder the Angel is--ere he appear.\"\n\nThus did he speak, and would no farther hear me.\n\n\n\nPurgatorio: Canto XVII\n\n\nRemember, Reader, if e'er in the Alps\n  A mist o'ertook thee, through which thou couldst see\n  Not otherwise than through its membrane mole,\n\nHow, when the vapours humid and condensed\n  Begin to dissipate themselves, the sphere\n  Of the sun feebly enters in among them,\n\nAnd thy imagination will be swift\n  In coming to perceive how I re-saw\n  The sun at first, that was already setting.\n\nThus, to the faithful footsteps of my Master\n  Mating mine own, I issued from that cloud\n  To rays already dead on the low shores.\n\nO thou, Imagination, that dost steal us\n  So from without sometimes, that man perceives not,\n  Although around may sound a thousand trumpets,\n\nWho moveth thee, if sense impel thee not?\n  Moves thee a light, which in the heaven takes form,\n  By self, or by a will that downward guides it.\n\nOf her impiety, who changed her form\n  Into the bird that most delights in singing,\n  In my imagining appeared the trace;\n\nAnd hereupon my mind was so withdrawn\n  Within itself, that from without there came\n  Nothing that then might be received by it.\n\nThen reigned within my lofty fantasy\n  One crucified, disdainful and ferocious\n  In countenance, and even thus was dying.\n\nAround him were the great Ahasuerus,\n  Esther his wife, and the just Mordecai,\n  Who was in word and action so entire.\n\nAnd even as this image burst asunder\n  Of its own self, in fashion of a bubble\n  In which the water it was made of fails,\n\nThere rose up in my vision a young maiden\n  Bitterly weeping, and she said: \"O queen,\n  Why hast thou wished in anger to be naught?\n\nThou'st slain thyself, Lavinia not to lose;\n  Now hast thou lost me; I am she who mourns,\n  Mother, at thine ere at another's ruin.\"\n\nAs sleep is broken, when upon a sudden\n  New light strikes in upon the eyelids closed,\n  And broken quivers ere it dieth wholly,\n\nSo this imagining of mine fell down\n  As soon as the effulgence smote my face,\n  Greater by far than what is in our wont.\n\nI turned me round to see where I might be,\n  When said a voice, \"Here is the passage up;\"\n  Which from all other purposes removed me,\n\nAnd made my wish so full of eagerness\n  To look and see who was it that was speaking,\n  It never rests till meeting face to face;\n\nBut as before the sun, which quells the sight,\n  And in its own excess its figure veils,\n  Even so my power was insufficient here.\n\n\"This is a spirit divine, who in the way\n  Of going up directs us without asking,\n  And who with his own light himself conceals.\n\nHe does with us as man doth with himself;\n  For he who sees the need, and waits the asking,\n  Malignly leans already tow'rds denial.\n\nAccord we now our feet to such inviting,\n  Let us make haste to mount ere it grow dark;\n  For then we could not till the day return.\"\n\nThus my Conductor said; and I and he\n  Together turned our footsteps to a stairway;\n  And I, as soon as the first step I reached,\n\nNear me perceived a motion as of wings,\n  And fanning in the face, and saying, \"'Beati\n  Pacifici,' who are without ill anger.\"\n\nAlready over us were so uplifted\n  The latest sunbeams, which the night pursues,\n  That upon many sides the stars appeared.\n\n\"O manhood mine, why dost thou vanish so?\"\n  I said within myself; for I perceived\n  The vigour of my legs was put in truce.\n\nWe at the point were where no more ascends\n  The stairway upward, and were motionless,\n  Even as a ship, which at the shore arrives;\n\nAnd I gave heed a little, if I might hear\n  Aught whatsoever in the circle new;\n  Then to my Master turned me round and said:\n\n\"Say, my sweet Father, what delinquency\n  Is purged here in the circle where we are?\n  Although our feet may pause, pause not thy speech.\"\n\nAnd he to me: \"The love of good, remiss\n  In what it should have done, is here restored;\n  Here plied again the ill-belated oar;\n\nBut still more openly to understand,\n  Turn unto me thy mind, and thou shalt gather\n  Some profitable fruit from our delay.\n\nNeither Creator nor a creature ever,\n  Son,\" he began, \"was destitute of love\n  Natural or spiritual; and thou knowest it.\n\nThe natural was ever without error;\n  But err the other may by evil object,\n  Or by too much, or by too little vigour.\n\nWhile in the first it well directed is,\n  And in the second moderates itself,\n  It cannot be the cause of sinful pleasure;\n\nBut when to ill it turns, and, with more care\n  Or lesser than it ought, runs after good,\n  'Gainst the Creator works his own creation.\n\nHence thou mayst comprehend that love must be\n  The seed within yourselves of every virtue,\n  And every act that merits punishment.\n\nNow inasmuch as never from the welfare\n  Of its own subject can love turn its sight,\n  From their own hatred all things are secure;\n\nAnd since we cannot think of any being\n  Standing alone, nor from the First divided,\n  Of hating Him is all desire cut off.\n\nHence if, discriminating, I judge well,\n  The evil that one loves is of one's neighbour,\n  And this is born in three modes in your clay.\n\nThere are, who, by abasement of their neighbour,\n  Hope to excel, and therefore only long\n  That from his greatness he may be cast down;\n\nThere are, who power, grace, honour, and renown\n  Fear they may lose because another rises,\n  Thence are so sad that the reverse they love;\n\nAnd there are those whom injury seems to chafe,\n  So that it makes them greedy for revenge,\n  And such must needs shape out another's harm.\n\nThis threefold love is wept for down below;\n  Now of the other will I have thee hear,\n  That runneth after good with measure faulty.\n\nEach one confusedly a good conceives\n  Wherein the mind may rest, and longeth for it;\n  Therefore to overtake it each one strives.\n\nIf languid love to look on this attract you,\n  Or in attaining unto it, this cornice,\n  After just penitence, torments you for it.\n\nThere's other good that does not make man happy;\n  'Tis not felicity, 'tis not the good\n  Essence, of every good the fruit and root.\n\nThe love that yields itself too much to this\n  Above us is lamented in three circles;\n  But how tripartite it may be described,\n\nI say not, that thou seek it for thyself.\"\n\n\n\nPurgatorio: Canto XVIII\n\n\nAn end had put unto his reasoning\n  The lofty Teacher, and attent was looking\n  Into my face, if I appeared content;\n\nAnd I, whom a new thirst still goaded on,\n  Without was mute, and said within: \"Perchance\n  The too much questioning I make annoys him.\"\n\nBut that true Father, who had comprehended\n  The timid wish, that opened not itself,\n  By speaking gave me hardihood to speak.\n\nWhence I: \"My sight is, Master, vivified\n  So in thy light, that clearly I discern\n  Whate'er thy speech importeth or describes.\n\nTherefore I thee entreat, sweet Father dear,\n  To teach me love, to which thou dost refer\n  Every good action and its contrary.\"\n\n\"Direct,\" he said, \"towards me the keen eyes\n  Of intellect, and clear will be to thee\n  The error of the blind, who would be leaders.\n\nThe soul, which is created apt to love,\n  Is mobile unto everything that pleases,\n  Soon as by pleasure she is waked to action.\n\nYour apprehension from some real thing\n  An image draws, and in yourselves displays it\n  So that it makes the soul turn unto it.\n\nAnd if, when turned, towards it she incline,\n  Love is that inclination; it is nature,\n  Which is by pleasure bound in you anew\n\nThen even as the fire doth upward move\n  By its own form, which to ascend is born,\n  Where longest in its matter it endures,\n\nSo comes the captive soul into desire,\n  Which is a motion spiritual, and ne'er rests\n  Until she doth enjoy the thing beloved.\n\nNow may apparent be to thee how hidden\n  The truth is from those people, who aver\n  All love is in itself a laudable thing;\n\nBecause its matter may perchance appear\n  Aye to be good; but yet not each impression\n  Is good, albeit good may be the wax.\"\n\n\"Thy words, and my sequacious intellect,\"\n  I answered him, \"have love revealed to me;\n  But that has made me more impregned with doubt;\n\nFor if love from without be offered us,\n  And with another foot the soul go not,\n  If right or wrong she go, 'tis not her merit.\"\n\nAnd he to me: \"What reason seeth here,\n  Myself can tell thee; beyond that await\n  For Beatrice, since 'tis a work of faith.\n\nEvery substantial form, that segregate\n  From matter is, and with it is united,\n  Specific power has in itself collected,\n\nWhich without act is not perceptible,\n  Nor shows itself except by its effect,\n  As life does in a plant by the green leaves.\n\nBut still, whence cometh the intelligence\n  Of the first notions, man is ignorant,\n  And the affection for the first allurements,\n\nWhich are in you as instinct in the bee\n  To make its honey; and this first desire\n  Merit of praise or blame containeth not.\n\nNow, that to this all others may be gathered,\n  Innate within you is the power that counsels,\n  And it should keep the threshold of assent.\n\nThis is the principle, from which is taken\n  Occasion of desert in you, according\n  As good and guilty loves it takes and winnows.\n\nThose who, in reasoning, to the bottom went,\n  Were of this innate liberty aware,\n  Therefore bequeathed they Ethics to the world.\n\nSupposing, then, that from necessity\n  Springs every love that is within you kindled,\n  Within yourselves the power is to restrain it.\n\nThe noble virtue Beatrice understands\n  By the free will; and therefore see that thou\n  Bear it in mind, if she should speak of it.\"\n\nThe moon, belated almost unto midnight,\n  Now made the stars appear to us more rare,\n  Formed like a bucket, that is all ablaze,\n\nAnd counter to the heavens ran through those paths\n  Which the sun sets aflame, when he of Rome\n  Sees it 'twixt Sardes and Corsicans go down;\n\nAnd that patrician shade, for whom is named\n  Pietola more than any Mantuan town,\n  Had laid aside the burden of my lading;\n\nWhence I, who reason manifest and plain\n  In answer to my questions had received,\n  Stood like a man in drowsy reverie.\n\nBut taken from me was this drowsiness\n  Suddenly by a people, that behind\n  Our backs already had come round to us.\n\nAnd as, of old, Ismenus and Asopus\n  Beside them saw at night the rush and throng,\n  If but the Thebans were in need of Bacchus,\n\nSo they along that circle curve their step,\n  From what I saw of those approaching us,\n  Who by good-will and righteous love are ridden.\n\nFull soon they were upon us, because running\n  Moved onward all that mighty multitude,\n  And two in the advance cried out, lamenting,\n\n\"Mary in haste unto the mountain ran,\n  And Caesar, that he might subdue Ilerda,\n  Thrust at Marseilles, and then ran into Spain.\"\n\n\"Quick! quick! so that the time may not be lost\n  By little love!\" forthwith the others cried,\n  \"For ardour in well-doing freshens grace!\"\n\n\"O folk, in whom an eager fervour now\n  Supplies perhaps delay and negligence,\n  Put by you in well-doing, through lukewarmness,\n\nThis one who lives, and truly I lie not,\n  Would fain go up, if but the sun relight us;\n  So tell us where the passage nearest is.\"\n\nThese were the words of him who was my Guide;\n  And some one of those spirits said: \"Come on\n  Behind us, and the opening shalt thou find;\n\nSo full of longing are we to move onward,\n  That stay we cannot; therefore pardon us,\n  If thou for churlishness our justice take.\n\nI was San Zeno's Abbot at Verona,\n  Under the empire of good Barbarossa,\n  Of whom still sorrowing Milan holds discourse;\n\nAnd he has one foot in the grave already,\n  Who shall erelong lament that monastery,\n  And sorry be of having there had power,\n\nBecause his son, in his whole body sick,\n  And worse in mind, and who was evil-born,\n  He put into the place of its true pastor.\"\n\nIf more he said, or silent was, I know not,\n  He had already passed so far beyond us;\n  But this I heard, and to retain it pleased me.\n\nAnd he who was in every need my succour\n  Said: \"Turn thee hitherward; see two of them\n  Come fastening upon slothfulness their teeth.\"\n\nIn rear of all they shouted: \"Sooner were\n  The people dead to whom the sea was opened,\n  Than their inheritors the Jordan saw;\n\nAnd those who the fatigue did not endure\n  Unto the issue, with Anchises' son,\n  Themselves to life withouten glory offered.\"\n\nThen when from us so separated were\n  Those shades, that they no longer could be seen,\n  Within me a new thought did entrance find,\n\nWhence others many and diverse were born;\n  And so I lapsed from one into another,\n  That in a reverie mine eyes I closed,\n\nAnd meditation into dream transmuted.\n\n\n\nPurgatorio: Canto XIX\n\n\nIt was the hour when the diurnal heat\n  No more can warm the coldness of the moon,\n  Vanquished by earth, or peradventure Saturn,\n\nWhen geomancers their Fortuna Major\n  See in the orient before the dawn\n  Rise by a path that long remains not dim,\n\nThere came to me in dreams a stammering woman,\n  Squint in her eyes, and in her feet distorted,\n  With hands dissevered and of sallow hue.\n\nI looked at her; and as the sun restores\n  The frigid members which the night benumbs,\n  Even thus my gaze did render voluble\n\nHer tongue, and made her all erect thereafter\n  In little while, and the lost countenance\n  As love desires it so in her did colour.\n\nWhen in this wise she had her speech unloosed,\n  She 'gan to sing so, that with difficulty\n  Could I have turned my thoughts away from her.\n\n\"I am,\" she sang, \"I am the Siren sweet\n  Who mariners amid the main unman,\n  So full am I of pleasantness to hear.\n\nI drew Ulysses from his wandering way\n  Unto my song, and he who dwells with me\n  Seldom departs so wholly I content him.\"\n\nHer mouth was not yet closed again, before\n  Appeared a Lady saintly and alert\n  Close at my side to put her to confusion.\n\n\"Virgilius, O Virgilius! who is this?\"\n  Sternly she said; and he was drawing near\n  With eyes still fixed upon that modest one.\n\nShe seized the other and in front laid open,\n  Rending her garments, and her belly showed me;\n  This waked me with the stench that issued from it.\n\nI turned mine eyes, and good Virgilius said:\n  \"At least thrice have I called thee; rise and come;\n  Find we the opening by which thou mayst enter.\"\n\nI rose; and full already of high day\n  Were all the circles of the Sacred Mountain,\n  And with the new sun at our back we went.\n\nFollowing behind him, I my forehead bore\n  Like unto one who has it laden with thought,\n  Who makes himself the half arch of a bridge,\n\nWhen I heard say, \"Come, here the passage is,\"\n  Spoken in a manner gentle and benign,\n  Such as we hear not in this mortal region.\n\nWith open wings, which of a swan appeared,\n  Upward he turned us who thus spake to us,\n  Between the two walls of the solid granite.\n\nHe moved his pinions afterwards and fanned us,\n  Affirming those 'qui lugent' to be blessed,\n  For they shall have their souls with comfort filled.\n\n\"What aileth thee, that aye to earth thou gazest?\"\n  To me my Guide began to say, we both\n  Somewhat beyond the Angel having mounted.\n\nAnd I: \"With such misgiving makes me go\n  A vision new, which bends me to itself,\n  So that I cannot from the thought withdraw me.\"\n\n\"Didst thou behold,\" he said, \"that old enchantress,\n  Who sole above us henceforth is lamented?\n  Didst thou behold how man is freed from her?\n\nSuffice it thee, and smite earth with thy heels,\n  Thine eyes lift upward to the lure, that whirls\n  The Eternal King with revolutions vast.\"\n\nEven as the hawk, that first his feet surveys,\n  Then turns him to the call and stretches forward,\n  Through the desire of food that draws him thither,\n\nSuch I became, and such, as far as cleaves\n  The rock to give a way to him who mounts,\n  Went on to where the circling doth begin.\n\nOn the fifth circle when I had come forth,\n  People I saw upon it who were weeping,\n  Stretched prone upon the ground, all downward turned.\n\n\"Adhaesit pavimento anima mea,\"\n  I heard them say with sighings so profound,\n  That hardly could the words be understood.\n\n\"O ye elect of God, whose sufferings\n  Justice and Hope both render less severe,\n  Direct ye us towards the high ascents.\"\n\n\"If ye are come secure from this prostration,\n  And wish to find the way most speedily,\n  Let your right hands be evermore outside.\"\n\nThus did the Poet ask, and thus was answered\n  By them somewhat in front of us; whence I\n  In what was spoken divined the rest concealed,\n\nAnd unto my Lord's eyes mine eyes I turned;\n  Whence he assented with a cheerful sign\n  To what the sight of my desire implored.\n\nWhen of myself I could dispose at will,\n  Above that creature did I draw myself,\n  Whose words before had caused me to take note,\n\nSaying: \"O Spirit, in whom weeping ripens\n  That without which to God we cannot turn,\n  Suspend awhile for me thy greater care.\n\nWho wast thou, and why are your backs turned upwards,\n  Tell me, and if thou wouldst that I procure thee\n  Anything there whence living I departed.\"\n\nAnd he to me: \"Wherefore our backs the heaven\n  Turns to itself, know shalt thou; but beforehand\n  'Scias quod ego fui successor Petri.'\n\nBetween Siestri and Chiaveri descends\n  A river beautiful, and of its name\n  The title of my blood its summit makes.\n\nA month and little more essayed I how\n  Weighs the great cloak on him from mire who keeps it,\n  For all the other burdens seem a feather.\n\nTardy, ah woe is me! was my conversion;\n  But when the Roman Shepherd I was made,\n  Then I discovered life to be a lie.\n\nI saw that there the heart was not at rest,\n  Nor farther in that life could one ascend;\n  Whereby the love of this was kindled in me.\n\nUntil that time a wretched soul and parted\n  From God was I, and wholly avaricious;\n  Now, as thou seest, I here am punished for it.\n\nWhat avarice does is here made manifest\n  In the purgation of these souls converted,\n  And no more bitter pain the Mountain has.\n\nEven as our eye did not uplift itself\n  Aloft, being fastened upon earthly things,\n  So justice here has merged it in the earth.\n\nAs avarice had extinguished our affection\n  For every good, whereby was action lost,\n  So justice here doth hold us in restraint,\n\nBound and imprisoned by the feet and hands;\n  And so long as it pleases the just Lord\n  Shall we remain immovable and prostrate.\"\n\nI on my knees had fallen, and wished to speak;\n  But even as I began, and he was 'ware,\n  Only by listening, of my reverence,\n\n\"What cause,\" he said, \"has downward bent thee thus?\"\n  And I to him: \"For your own dignity,\n  Standing, my conscience stung me with remorse.\"\n\n\"Straighten thy legs, and upward raise thee, brother,\"\n  He answered: \"Err not, fellow-servant am I\n  With thee and with the others to one power.\n\nIf e'er that holy, evangelic sound,\n  Which sayeth 'neque nubent,' thou hast heard,\n  Well canst thou see why in this wise I speak.\n\nNow go; no longer will I have thee linger,\n  Because thy stay doth incommode my weeping,\n  With which I ripen that which thou hast said.\n\nOn earth I have a grandchild named Alagia,\n  Good in herself, unless indeed our house\n  Malevolent may make her by example,\n\nAnd she alone remains to me on earth.\"\n\n\n\nPurgatorio: Canto XX\n\n\nIll strives the will against a better will;\n  Therefore, to pleasure him, against my pleasure\n  I drew the sponge not saturate from the water.\n\nOnward I moved, and onward moved my Leader,\n  Through vacant places, skirting still the rock,\n  As on a wall close to the battlements;\n\nFor they that through their eyes pour drop by drop\n  The malady which all the world pervades,\n  On the other side too near the verge approach.\n\nAccursed mayst thou be, thou old she-wolf,\n  That more than all the other beasts hast prey,\n  Because of hunger infinitely hollow!\n\nO heaven, in whose gyrations some appear\n  To think conditions here below are changed,\n  When will he come through whom she shall depart?\n\nOnward we went with footsteps slow and scarce,\n  And I attentive to the shades I heard\n  Piteously weeping and bemoaning them;\n\nAnd I by peradventure heard \"Sweet Mary!\"\n  Uttered in front of us amid the weeping\n  Even as a woman does who is in child-birth;\n\nAnd in continuance: \"How poor thou wast\n  Is manifested by that hostelry\n  Where thou didst lay thy sacred burden down.\"\n\nThereafterward I heard: \"O good Fabricius,\n  Virtue with poverty didst thou prefer\n  To the possession of great wealth with vice.\"\n\nSo pleasurable were these words to me\n  That I drew farther onward to have knowledge\n  Touching that spirit whence they seemed to come.\n\nHe furthermore was speaking of the largess\n  Which Nicholas unto the maidens gave,\n  In order to conduct their youth to honour.\n\n\"O soul that dost so excellently speak,\n  Tell me who wast thou,\" said I, \"and why only\n  Thou dost renew these praises well deserved?\n\nNot without recompense shall be thy word,\n  If I return to finish the short journey\n  Of that life which is flying to its end.\"\n\nAnd he: \"I'll tell thee, not for any comfort\n  I may expect from earth, but that so much\n  Grace shines in thee or ever thou art dead.\n\nI was the root of that malignant plant\n  Which overshadows all the Christian world,\n  So that good fruit is seldom gathered from it;\n\nBut if Douay and Ghent, and Lille and Bruges\n  Had Power, soon vengeance would be taken on it;\n  And this I pray of Him who judges all.\n\nHugh Capet was I called upon the earth;\n  From me were born the Louises and Philips,\n  By whom in later days has France been governed.\n\nI was the son of a Parisian butcher,\n  What time the ancient kings had perished all,\n  Excepting one, contrite in cloth of gray.\n\nI found me grasping in my hands the rein\n  Of the realm's government, and so great power\n  Of new acquest, and so with friends abounding,\n\nThat to the widowed diadem promoted\n  The head of mine own offspring was, from whom\n  The consecrated bones of these began.\n\nSo long as the great dowry of Provence\n  Out of my blood took not the sense of shame,\n  'Twas little worth, but still it did no harm.\n\nThen it began with falsehood and with force\n  Its rapine; and thereafter, for amends,\n  Took Ponthieu, Normandy, and Gascony.\n\nCharles came to Italy, and for amends\n  A victim made of Conradin, and then\n  Thrust Thomas back to heaven, for amends.\n\nA time I see, not very distant now,\n  Which draweth forth another Charles from France,\n  The better to make known both him and his.\n\nUnarmed he goes, and only with the lance\n  That Judas jousted with; and that he thrusts\n  So that he makes the paunch of Florence burst.\n\nHe thence not land, but sin and infamy,\n  Shall gain, so much more grievous to himself\n  As the more light such damage he accounts.\n\nThe other, now gone forth, ta'en in his ship,\n  See I his daughter sell, and chaffer for her\n  As corsairs do with other female slaves.\n\nWhat more, O Avarice, canst thou do to us,\n  Since thou my blood so to thyself hast drawn,\n  It careth not for its own proper flesh?\n\nThat less may seem the future ill and past,\n  I see the flower-de-luce Alagna enter,\n  And Christ in his own Vicar captive made.\n\nI see him yet another time derided;\n  I see renewed the vinegar and gall,\n  And between living thieves I see him slain.\n\nI see the modern Pilate so relentless,\n  This does not sate him, but without decretal\n  He to the temple bears his sordid sails!\n\nWhen, O my Lord! shall I be joyful made\n  By looking on the vengeance which, concealed,\n  Makes sweet thine anger in thy secrecy?\n\nWhat I was saying of that only bride\n  Of the Holy Ghost, and which occasioned thee\n  To turn towards me for some commentary,\n\nSo long has been ordained to all our prayers\n  As the day lasts; but when the night comes on,\n  Contrary sound we take instead thereof.\n\nAt that time we repeat Pygmalion,\n  Of whom a traitor, thief, and parricide\n  Made his insatiable desire of gold;\n\nAnd the misery of avaricious Midas,\n  That followed his inordinate demand,\n  At which forevermore one needs but laugh.\n\nThe foolish Achan each one then records,\n  And how he stole the spoils; so that the wrath\n  Of Joshua still appears to sting him here.\n\nThen we accuse Sapphira with her husband,\n  We laud the hoof-beats Heliodorus had,\n  And the whole mount in infamy encircles\n\nPolymnestor who murdered Polydorus.\n  Here finally is cried: 'O Crassus, tell us,\n  For thou dost know, what is the taste of gold?'\n\nSometimes we speak, one loud, another low,\n  According to desire of speech, that spurs us\n  To greater now and now to lesser pace.\n\nBut in the good that here by day is talked of,\n  Erewhile alone I was not; yet near by\n  No other person lifted up his voice.\"\n\nFrom him already we departed were,\n  And made endeavour to o'ercome the road\n  As much as was permitted to our power,\n\nWhen I perceived, like something that is falling,\n  The mountain tremble, whence a chill seized on me,\n  As seizes him who to his death is going.\n\nCertes so violently shook not Delos,\n  Before Latona made her nest therein\n  To give birth to the two eyes of the heaven.\n\nThen upon all sides there began a cry,\n  Such that the Master drew himself towards me,\n  Saying, \"Fear not, while I am guiding thee.\"\n\n\"Gloria in excelsis Deo,\" all\n  Were saying, from what near I comprehended,\n  Where it was possible to hear the cry.\n\nWe paused immovable and in suspense,\n  Even as the shepherds who first heard that song,\n  Until the trembling ceased, and it was finished.\n\nThen we resumed again our holy path,\n  Watching the shades that lay upon the ground,\n  Already turned to their accustomed plaint.\n\nNo ignorance ever with so great a strife\n  Had rendered me importunate to know,\n  If erreth not in this my memory,\n\nAs meditating then I seemed to have;\n  Nor out of haste to question did I dare,\n  Nor of myself I there could aught perceive;\n\nSo I went onward timorous and thoughtful.\n\n\n\nPurgatorio: Canto XXI\n\n\nThe natural thirst, that ne'er is satisfied\n  Excepting with the water for whose grace\n  The woman of Samaria besought,\n\nPut me in travail, and haste goaded me\n  Along the encumbered path behind my Leader\n  And I was pitying that righteous vengeance;\n\nAnd lo! in the same manner as Luke writeth\n  That Christ appeared to two upon the way\n  From the sepulchral cave already risen,\n\nA shade appeared to us, and came behind us,\n  Down gazing on the prostrate multitude,\n  Nor were we ware of it, until it spake,\n\nSaying, \"My brothers, may God give you peace!\"\n  We turned us suddenly, and Virgilius rendered\n  To him the countersign thereto conforming.\n\nThereon began he: \"In the blessed council,\n  Thee may the court veracious place in peace,\n  That me doth banish in eternal exile!\"\n\n\"How,\" said he, and the while we went with speed,\n  \"If ye are shades whom God deigns not on high,\n  Who up his stairs so far has guided you?\"\n\nAnd said my Teacher: \"If thou note the marks\n  Which this one bears, and which the Angel traces\n  Well shalt thou see he with the good must reign.\n\nBut because she who spinneth day and night\n  For him had not yet drawn the distaff off,\n  Which Clotho lays for each one and compacts,\n\nHis soul, which is thy sister and my own,\n  In coming upwards could not come alone,\n  By reason that it sees not in our fashion.\n\nWhence I was drawn from out the ample throat\n  Of Hell to be his guide, and I shall guide him\n  As far on as my school has power to lead.\n\nBut tell us, if thou knowest, why such a shudder\n  Erewhile the mountain gave, and why together\n  All seemed to cry, as far as its moist feet?\"\n\nIn asking he so hit the very eye\n  Of my desire, that merely with the hope\n  My thirst became the less unsatisfied.\n\n\"Naught is there,\" he began, \"that without order\n  May the religion of the mountain feel,\n  Nor aught that may be foreign to its custom.\n\nFree is it here from every permutation;\n  What from itself heaven in itself receiveth\n  Can be of this the cause, and naught beside;\n\nBecause that neither rain, nor hail, nor snow,\n  Nor dew, nor hoar-frost any higher falls\n  Than the short, little stairway of three steps.\n\nDense clouds do not appear, nor rarefied,\n  Nor coruscation, nor the daughter of Thaumas,\n  That often upon earth her region shifts;\n\nNo arid vapour any farther rises\n  Than to the top of the three steps I spake of,\n  Whereon the Vicar of Peter has his feet.\n\nLower down perchance it trembles less or more,\n  But, for the wind that in the earth is hidden\n  I know not how, up here it never trembled.\n\nIt trembles here, whenever any soul\n  Feels itself pure, so that it soars, or moves\n  To mount aloft, and such a cry attends it.\n\nOf purity the will alone gives proof,\n  Which, being wholly free to change its convent,\n  Takes by surprise the soul, and helps it fly.\n\nFirst it wills well; but the desire permits not,\n  Which divine justice with the self-same will\n  There was to sin, upon the torment sets.\n\nAnd I, who have been lying in this pain\n  Five hundred years and more, but just now felt\n  A free volition for a better seat.\n\nTherefore thou heardst the earthquake, and the pious\n  Spirits along the mountain rendering praise\n  Unto the Lord, that soon he speed them upwards.\"\n\nSo said he to him; and since we enjoy\n  As much in drinking as the thirst is great,\n  I could not say how much it did me good.\n\nAnd the wise Leader: \"Now I see the net\n  That snares you here, and how ye are set free,\n  Why the earth quakes, and wherefore ye rejoice.\n\nNow who thou wast be pleased that I may know;\n  And why so many centuries thou hast here\n  Been lying, let me gather from thy words.\"\n\n\"In days when the good Titus, with the aid\n  Of the supremest King, avenged the wounds\n  Whence issued forth the blood by Judas sold,\n\nUnder the name that most endures and honours,\n  Was I on earth,\" that spirit made reply,\n  \"Greatly renowned, but not with faith as yet.\n\nMy vocal spirit was so sweet, that Rome\n  Me, a Thoulousian, drew unto herself,\n  Where I deserved to deck my brows with myrtle.\n\nStatius the people name me still on earth;\n  I sang of Thebes, and then of great Achilles;\n  But on the way fell with my second burden.\n\nThe seeds unto my ardour were the sparks\n  Of that celestial flame which heated me,\n  Whereby more than a thousand have been fired;\n\nOf the Aeneid speak I, which to me\n  A mother was, and was my nurse in song;\n  Without this weighed I not a drachma's weight.\n\nAnd to have lived upon the earth what time\n  Virgilius lived, I would accept one sun\n  More than I must ere issuing from my ban.\"\n\nThese words towards me made Virgilius turn\n  With looks that in their silence said, \"Be silent!\"\n  But yet the power that wills cannot do all things;\n\nFor tears and laughter are such pursuivants\n  Unto the passion from which each springs forth,\n  In the most truthful least the will they follow.\n\nI only smiled, as one who gives the wink;\n  Whereat the shade was silent, and it gazed\n  Into mine eyes, where most expression dwells;\n\nAnd, \"As thou well mayst consummate a labour\n  So great,\" it said, \"why did thy face just now\n  Display to me the lightning of a smile?\"\n\nNow am I caught on this side and on that;\n  One keeps me silent, one to speak conjures me,\n  Wherefore I sigh, and I am understood.\n\n\"Speak,\" said my Master, \"and be not afraid\n  Of speaking, but speak out, and say to him\n  What he demands with such solicitude.\"\n\nWhence I: \"Thou peradventure marvellest,\n  O antique spirit, at the smile I gave;\n  But I will have more wonder seize upon thee.\n\nThis one, who guides on high these eyes of mine,\n  Is that Virgilius, from whom thou didst learn\n  To sing aloud of men and of the Gods.\n\nIf other cause thou to my smile imputedst,\n  Abandon it as false, and trust it was\n  Those words which thou hast spoken concerning him.\"\n\nAlready he was stooping to embrace\n  My Teacher's feet; but he said to him: \"Brother,\n  Do not; for shade thou art, and shade beholdest.\"\n\nAnd he uprising: \"Now canst thou the sum\n  Of love which warms me to thee comprehend,\n  When this our vanity I disremember,\n\nTreating a shadow as substantial thing.\"\n\n\n\nPurgatorio: Canto XXII\n\n\nAlready was the Angel left behind us,\n  The Angel who to the sixth round had turned us,\n  Having erased one mark from off my face;\n\nAnd those who have in justice their desire\n  Had said to us, \"Beati,\" in their voices,\n  With \"sitio,\" and without more ended it.\n\nAnd I, more light than through the other passes,\n  Went onward so, that without any labour\n  I followed upward the swift-footed spirits;\n\nWhen thus Virgilius began: \"The love\n  Kindled by virtue aye another kindles,\n  Provided outwardly its flame appear.\n\nHence from the hour that Juvenal descended\n  Among us into the infernal Limbo,\n  Who made apparent to me thy affection,\n\nMy kindliness towards thee was as great\n  As ever bound one to an unseen person,\n  So that these stairs will now seem short to me.\n\nBut tell me, and forgive me as a friend,\n  If too great confidence let loose the rein,\n  And as a friend now hold discourse with me;\n\nHow was it possible within thy breast\n  For avarice to find place, 'mid so much wisdom\n  As thou wast filled with by thy diligence?\"\n\nThese words excited Statius at first\n  Somewhat to laughter; afterward he answered:\n  \"Each word of thine is love's dear sign to me.\n\nVerily oftentimes do things appear\n  Which give fallacious matter to our doubts,\n  Instead of the true causes which are hidden!\n\nThy question shows me thy belief to be\n  That I was niggard in the other life,\n  It may be from the circle where I was;\n\nTherefore know thou, that avarice was removed\n  Too far from me; and this extravagance\n  Thousands of lunar periods have punished.\n\nAnd were it not that I my thoughts uplifted,\n  When I the passage heard where thou exclaimest,\n  As if indignant, unto human nature,\n\n'To what impellest thou not, O cursed hunger\n  Of gold, the appetite of mortal men?'\n  Revolving I should feel the dismal joustings.\n\nThen I perceived the hands could spread too wide\n  Their wings in spending, and repented me\n  As well of that as of my other sins;\n\nHow many with shorn hair shall rise again\n  Because of ignorance, which from this sin\n  Cuts off repentance living and in death!\n\nAnd know that the transgression which rebuts\n  By direct opposition any sin\n  Together with it here its verdure dries.\n\nTherefore if I have been among that folk\n  Which mourns its avarice, to purify me,\n  For its opposite has this befallen me.\"\n\n\"Now when thou sangest the relentless weapons\n  Of the twofold affliction of Jocasta,\"\n  The singer of the Songs Bucolic said,\n\n\"From that which Clio there with thee preludes,\n  It does not seem that yet had made thee faithful\n  That faith without which no good works suffice.\n\nIf this be so, what candles or what sun\n  Scattered thy darkness so that thou didst trim\n  Thy sails behind the Fisherman thereafter?\"\n\nAnd he to him: \"Thou first directedst me\n  Towards Parnassus, in its grots to drink,\n  And first concerning God didst me enlighten.\n\nThou didst as he who walketh in the night,\n  Who bears his light behind, which helps him not,\n  But wary makes the persons after him,\n\nWhen thou didst say: 'The age renews itself,\n  Justice returns, and man's primeval time,\n  And a new progeny descends from heaven.'\n\nThrough thee I Poet was, through thee a Christian;\n  But that thou better see what I design,\n  To colour it will I extend my hand.\n\nAlready was the world in every part\n  Pregnant with the true creed, disseminated\n  By messengers of the eternal kingdom;\n\nAnd thy assertion, spoken of above,\n  With the new preachers was in unison;\n  Whence I to visit them the custom took.\n\nThen they became so holy in my sight,\n  That, when Domitian persecuted them,\n  Not without tears of mine were their laments;\n\nAnd all the while that I on earth remained,\n  Them I befriended, and their upright customs\n  Made me disparage all the other sects.\n\nAnd ere I led the Greeks unto the rivers\n  Of Thebes, in poetry, I was baptized,\n  But out of fear was covertly a Christian,\n\nFor a long time professing paganism;\n  And this lukewarmness caused me the fourth circle\n  To circuit round more than four centuries.\n\nThou, therefore, who hast raised the covering\n  That hid from me whatever good I speak of,\n  While in ascending we have time to spare,\n\nTell me, in what place is our friend Terentius,\n  Caecilius, Plautus, Varro, if thou knowest;\n  Tell me if they are damned, and in what alley.\"\n\n\"These, Persius and myself, and others many,\"\n  Replied my Leader, \"with that Grecian are\n  Whom more than all the rest the Muses suckled,\n\nIn the first circle of the prison blind;\n  Ofttimes we of the mountain hold discourse\n  Which has our nurses ever with itself.\n\nEuripides is with us, Antiphon,\n  Simonides, Agatho, and many other\n  Greeks who of old their brows with laurel decked.\n\nThere some of thine own people may be seen,\n  Antigone, Deiphile and Argia,\n  And there Ismene mournful as of old.\n\nThere she is seen who pointed out Langia;\n  There is Tiresias' daughter, and there Thetis,\n  And there Deidamia with her sisters.\"\n\nSilent already were the poets both,\n  Attent once more in looking round about,\n  From the ascent and from the walls released;\n\nAnd four handmaidens of the day already\n  Were left behind, and at the pole the fifth\n  Was pointing upward still its burning horn,\n\nWhat time my Guide: \"I think that tow'rds the edge\n  Our dexter shoulders it behoves us turn,\n  Circling the mount as we are wont to do.\"\n\nThus in that region custom was our ensign;\n  And we resumed our way with less suspicion\n  For the assenting of that worthy soul\n\nThey in advance went on, and I alone\n  Behind them, and I listened to their speech,\n  Which gave me lessons in the art of song.\n\nBut soon their sweet discourses interrupted\n  A tree which midway in the road we found,\n  With apples sweet and grateful to the smell.\n\nAnd even as a fir-tree tapers upward\n  From bough to bough, so downwardly did that;\n  I think in order that no one might climb it.\n\nOn that side where our pathway was enclosed\n  Fell from the lofty rock a limpid water,\n  And spread itself abroad upon the leaves.\n\nThe Poets twain unto the tree drew near,\n  And from among the foliage a voice\n  Cried: \"Of this food ye shall have scarcity.\"\n\nThen said: \"More thoughtful Mary was of making\n  The marriage feast complete and honourable,\n  Than of her mouth which now for you responds;\n\nAnd for their drink the ancient Roman women\n  With water were content; and Daniel\n  Disparaged food, and understanding won.\n\nThe primal age was beautiful as gold;\n  Acorns it made with hunger savorous,\n  And nectar every rivulet with thirst.\n\nHoney and locusts were the aliments\n  That fed the Baptist in the wilderness;\n  Whence he is glorious, and so magnified\n\nAs by the Evangel is revealed to you.\"\n\n\n\nPurgatorio: Canto XXIII\n\n\nThe while among the verdant leaves mine eyes\n  I riveted, as he is wont to do\n  Who wastes his life pursuing little birds,\n\nMy more than Father said unto me: \"Son,\n  Come now; because the time that is ordained us\n  More usefully should be apportioned out.\"\n\nI turned my face and no less soon my steps\n  Unto the Sages, who were speaking so\n  They made the going of no cost to me;\n\nAnd lo! were heard a song and a lament,\n  \"Labia mea, Domine,\" in fashion\n  Such that delight and dolence it brought forth.\n\n\"O my sweet Father, what is this I hear?\"\n  Began I; and he answered: \"Shades that go\n  Perhaps the knot unloosing of their debt.\"\n\nIn the same way that thoughtful pilgrims do,\n  Who, unknown people on the road o'ertaking,\n  Turn themselves round to them, and do not stop,\n\nEven thus, behind us with a swifter motion\n  Coming and passing onward, gazed upon us\n  A crowd of spirits silent and devout.\n\nEach in his eyes was dark and cavernous,\n  Pallid in face, and so emaciate\n  That from the bones the skin did shape itself.\n\nI do not think that so to merest rind\n  Could Erisichthon have been withered up\n  By famine, when most fear he had of it.\n\nThinking within myself I said: \"Behold,\n  This is the folk who lost Jerusalem,\n  When Mary made a prey of her own son.\"\n\nTheir sockets were like rings without the gems;\n  Whoever in the face of men reads 'omo'\n  Might well in these have recognised the 'm.'\n\nWho would believe the odour of an apple,\n  Begetting longing, could consume them so,\n  And that of water, without knowing how?\n\nI still was wondering what so famished them,\n  For the occasion not yet manifest\n  Of their emaciation and sad squalor;\n\nAnd lo! from out the hollow of his head\n  His eyes a shade turned on me, and looked keenly;\n  Then cried aloud: \"What grace to me is this?\"\n\nNever should I have known him by his look;\n  But in his voice was evident to me\n  That which his aspect had suppressed within it.\n\nThis spark within me wholly re-enkindled\n  My recognition of his altered face,\n  And I recalled the features of Forese.\n\n\"Ah, do not look at this dry leprosy,\"\n  Entreated he, \"which doth my skin discolour,\n  Nor at default of flesh that I may have;\n\nBut tell me truth of thee, and who are those\n  Two souls, that yonder make for thee an escort;\n  Do not delay in speaking unto me.\"\n\n\"That face of thine, which dead I once bewept,\n  Gives me for weeping now no lesser grief,\"\n  I answered him, \"beholding it so changed!\n\nBut tell me, for God's sake, what thus denudes you?\n  Make me not speak while I am marvelling,\n  For ill speaks he who's full of other longings.\"\n\nAnd he to me: \"From the eternal council\n  Falls power into the water and the tree\n  Behind us left, whereby I grow so thin.\n\nAll of this people who lamenting sing,\n  For following beyond measure appetite\n  In hunger and thirst are here re-sanctified.\n\nDesire to eat and drink enkindles in us\n  The scent that issues from the apple-tree,\n  And from the spray that sprinkles o'er the verdure;\n\nAnd not a single time alone, this ground\n  Encompassing, is refreshed our pain,--\n  I say our pain, and ought to say our solace,--\n\nFor the same wish doth lead us to the tree\n  Which led the Christ rejoicing to say 'Eli,'\n  When with his veins he liberated us.\"\n\nAnd I to him: \"Forese, from that day\n  When for a better life thou changedst worlds,\n  Up to this time five years have not rolled round.\n\nIf sooner were the power exhausted in thee\n  Of sinning more, than thee the hour surprised\n  Of that good sorrow which to God reweds us,\n\nHow hast thou come up hitherward already?\n  I thought to find thee down there underneath,\n  Where time for time doth restitution make.\"\n\nAnd he to me: \"Thus speedily has led me\n  To drink of the sweet wormwood of these torments,\n  My Nella with her overflowing tears;\n\nShe with her prayers devout and with her sighs\n  Has drawn me from the coast where one where one awaits,\n  And from the other circles set me free.\n\nSo much more dear and pleasing is to God\n  My little widow, whom so much I loved,\n  As in good works she is the more alone;\n\nFor the Barbagia of Sardinia\n  By far more modest in its women is\n  Than the Barbagia I have left her in.\n\nO brother sweet, what wilt thou have me say?\n  A future time is in my sight already,\n  To which this hour will not be very old,\n\nWhen from the pulpit shall be interdicted\n  To the unblushing womankind of Florence\n  To go about displaying breast and paps.\n\nWhat savages were e'er, what Saracens,\n  Who stood in need, to make them covered go,\n  Of spiritual or other discipline?\n\nBut if the shameless women were assured\n  Of what swift Heaven prepares for them, already\n  Wide open would they have their mouths to howl;\n\nFor if my foresight here deceive me not,\n  They shall be sad ere he has bearded cheeks\n  Who now is hushed to sleep with lullaby.\n\nO brother, now no longer hide thee from me;\n  See that not only I, but all these people\n  Are gazing there, where thou dost veil the sun.\"\n\nWhence I to him: \"If thou bring back to mind\n  What thou with me hast been and I with thee,\n  The present memory will be grievous still.\n\nOut of that life he turned me back who goes\n  In front of me, two days agone when round\n  The sister of him yonder showed herself,\"\n\nAnd to the sun I pointed.  \"Through the deep\n  Night of the truly dead has this one led me,\n  With this true flesh, that follows after him.\n\nThence his encouragements have led me up,\n  Ascending and still circling round the mount\n  That you doth straighten, whom the world made crooked.\n\nHe says that he will bear me company,\n  Till I shall be where Beatrice will be;\n  There it behoves me to remain without him.\n\nThis is Virgilius, who thus says to me,\"\n  And him I pointed at; \"the other is\n  That shade for whom just now shook every <DW72>\n\nYour realm, that from itself discharges him.\"\n\n\n\nPurgatorio: Canto XXIV\n\n\nNor speech the going, nor the going that\n  Slackened; but talking we went bravely on,\n  Even as a vessel urged by a good wind.\n\nAnd shadows, that appeared things doubly dead,\n  From out the sepulchres of their eyes betrayed\n  Wonder at me, aware that I was living.\n\nAnd I, continuing my colloquy,\n  Said: \"Peradventure he goes up more slowly\n  Than he would do, for other people's sake.\n\nBut tell me, if thou knowest, where is Piccarda;\n  Tell me if any one of note I see\n  Among this folk that gazes at me so.\"\n\n\"My sister, who, 'twixt beautiful and good,\n  I know not which was more, triumphs rejoicing\n  Already in her crown on high Olympus.\"\n\nSo said he first, and then: \"'Tis not forbidden\n  To name each other here, so milked away\n  Is our resemblance by our dieting.\n\nThis,\" pointing with his finger, \"is Buonagiunta,\n  Buonagiunta, of Lucca; and that face\n  Beyond him there, more peaked than the others,\n\nHas held the holy Church within his arms;\n  From Tours was he, and purges by his fasting\n  Bolsena's eels and the Vernaccia wine.\"\n\nHe named me many others one by one;\n  And all contented seemed at being named,\n  So that for this I saw not one dark look.\n\nI saw for hunger bite the empty air\n  Ubaldin dalla Pila, and Boniface,\n  Who with his crook had pastured many people.\n\nI saw Messer Marchese, who had leisure\n  Once at Forli for drinking with less dryness,\n  And he was one who ne'er felt satisfied.\n\nBut as he does who scans, and then doth prize\n  One more than others, did I him of Lucca,\n  Who seemed to take most cognizance of me.\n\nHe murmured, and I know not what Gentucca\n  From that place heard I, where he felt the wound\n  Of justice, that doth macerate them so.\n\n\"O soul,\" I said, \"that seemest so desirous\n  To speak with me, do so that I may hear thee,\n  And with thy speech appease thyself and me.\"\n\n\"A maid is born, and wears not yet the veil,\"\n  Began he, \"who to thee shall pleasant make\n  My city, howsoever men may blame it.\n\nThou shalt go on thy way with this prevision;\n  If by my murmuring thou hast been deceived,\n  True things hereafter will declare it to thee.\n\nBut say if him I here behold, who forth\n  Evoked the new-invented rhymes, beginning,\n  'Ladies, that have intelligence of love?'\"\n\nAnd I to him: \"One am I, who, whenever\n  Love doth inspire me, note, and in that measure\n  Which he within me dictates, singing go.\"\n\n\"O brother, now I see,\" he said, \"the knot\n  Which me, the Notary, and Guittone held\n  Short of the sweet new style that now I hear.\n\nI do perceive full clearly how your pens\n  Go closely following after him who dictates,\n  Which with our own forsooth came not to pass;\n\nAnd he who sets himself to go beyond,\n  No difference sees from one style to another;\"\n  And as if satisfied, he held his peace.\n\nEven as the birds, that winter tow'rds the Nile,\n  Sometimes into a phalanx form themselves,\n  Then fly in greater haste, and go in file;\n\nIn such wise all the people who were there,\n  Turning their faces, hurried on their steps,\n  Both by their leanness and their wishes light.\n\nAnd as a man, who weary is with trotting,\n  Lets his companions onward go, and walks,\n  Until he vents the panting of his chest;\n\nSo did Forese let the holy flock\n  Pass by, and came with me behind it, saying,\n  \"When will it be that I again shall see thee?\"\n\n\"How long,\" I answered, \"I may live, I know not;\n  Yet my return will not so speedy be,\n  But I shall sooner in desire arrive;\n\nBecause the place where I was set to live\n  From day to day of good is more depleted,\n  And unto dismal ruin seems ordained.\"\n\n\"Now go,\" he said, \"for him most guilty of it\n  At a beast's tail behold I dragged along\n  Towards the valley where is no repentance.\n\nFaster at every step the beast is going,\n  Increasing evermore until it smites him,\n  And leaves the body vilely mutilated.\n\nNot long those wheels shall turn,\" and he uplifted\n  His eyes to heaven, \"ere shall be clear to thee\n  That which my speech no farther can declare.\n\nNow stay behind; because the time so precious\n  Is in this kingdom, that I lose too much\n  By coming onward thus abreast with thee.\"\n\nAs sometimes issues forth upon a gallop\n  A cavalier from out a troop that ride,\n  And seeks the honour of the first encounter,\n\nSo he with greater strides departed from us;\n  And on the road remained I with those two,\n  Who were such mighty marshals of the world.\n\nAnd when before us he had gone so far\n  Mine eyes became to him such pursuivants\n  As was my understanding to his words,\n\nAppeared to me with laden and living boughs\n  Another apple-tree, and not far distant,\n  From having but just then turned thitherward.\n\nPeople I saw beneath it lift their hands,\n  And cry I know not what towards the leaves,\n  Like little children eager and deluded,\n\nWho pray, and he they pray to doth not answer,\n  But, to make very keen their appetite,\n  Holds their desire aloft, and hides it not.\n\nThen they departed as if undeceived;\n  And now we came unto the mighty tree\n  Which prayers and tears so manifold refuses.\n\n\"Pass farther onward without drawing near;\n  The tree of which Eve ate is higher up,\n  And out of that one has this tree been raised.\"\n\nThus said I know not who among the branches;\n  Whereat Virgilius, Statius, and myself\n  Went crowding forward on the side that rises.\n\n\"Be mindful,\" said he, \"of the accursed ones\n  Formed of the cloud-rack, who inebriate\n  Combated Theseus with their double breasts;\n\nAnd of the Jews who showed them soft in drinking,\n  Whence Gideon would not have them for companions\n  When he tow'rds Midian the hills descended.\"\n\nThus, closely pressed to one of the two borders,\n  On passed we, hearing sins of gluttony,\n  Followed forsooth by miserable gains;\n\nThen set at large upon the lonely road,\n  A thousand steps and more we onward went,\n  In contemplation, each without a word.\n\n\"What go ye thinking thus, ye three alone?\"\n  Said suddenly a voice, whereat I started\n  As terrified and timid beasts are wont.\n\nI raised my head to see who this might be,\n  And never in a furnace was there seen\n  Metals or glass so lucent and so red\n\nAs one I saw who said: \"If it may please you\n  To mount aloft, here it behoves you turn;\n  This way goes he who goeth after peace.\"\n\nHis aspect had bereft me of my sight,\n  So that I turned me back unto my Teachers,\n  Like one who goeth as his hearing guides him.\n\nAnd as, the harbinger of early dawn,\n  The air of May doth move and breathe out fragrance,\n  Impregnate all with herbage and with flowers,\n\nSo did I feel a breeze strike in the midst\n  My front, and felt the moving of the plumes\n  That breathed around an odour of ambrosia;\n\nAnd heard it said: \"Blessed are they whom grace\n  So much illumines, that the love of taste\n  Excites not in their breasts too great desire,\n\nHungering at all times so far as is just.\"\n\n\n\nPurgatorio: Canto XXV\n\n\nNow was it the ascent no hindrance brooked,\n  Because the sun had his meridian circle\n  To Taurus left, and night to Scorpio;\n\nWherefore as doth a man who tarries not,\n  But goes his way, whate'er to him appear,\n  If of necessity the sting transfix him,\n\nIn this wise did we enter through the gap,\n  Taking the stairway, one before the other,\n  Which by its narrowness divides the climbers.\n\nAnd as the little stork that lifts its wing\n  With a desire to fly, and does not venture\n  To leave the nest, and lets it downward droop,\n\nEven such was I, with the desire of asking\n  Kindled and quenched, unto the motion coming\n  He makes who doth address himself to speak.\n\nNot for our pace, though rapid it might be,\n  My father sweet forbore, but said: \"Let fly\n  The bow of speech thou to the barb hast drawn.\"\n\nWith confidence I opened then my mouth,\n  And I began: \"How can one meagre grow\n  There where the need of nutriment applies not?\"\n\n\"If thou wouldst call to mind how Meleager\n  Was wasted by the wasting of a brand,\n  This would not,\" said he, \"be to thee so sour;\n\nAnd wouldst thou think how at each tremulous motion\n  Trembles within a mirror your own image;\n  That which seems hard would mellow seem to thee.\n\nBut that thou mayst content thee in thy wish\n  Lo Statius here; and him I call and pray\n  He now will be the healer of thy wounds.\"\n\n\"If I unfold to him the eternal vengeance,\"\n  Responded Statius, \"where thou present art,\n  Be my excuse that I can naught deny thee.\"\n\nThen he began: \"Son, if these words of mine\n  Thy mind doth contemplate and doth receive,\n  They'll be thy light unto the How thou sayest.\n\nThe perfect blood, which never is drunk up\n  Into the thirsty veins, and which remaineth\n  Like food that from the table thou removest,\n\nTakes in the heart for all the human members\n  Virtue informative, as being that\n  Which to be changed to them goes through the veins\n\nAgain digest, descends it where 'tis better\n  Silent to be than say; and then drops thence\n  Upon another's blood in natural vase.\n\nThere one together with the other mingles,\n  One to be passive meant, the other active\n  By reason of the perfect place it springs from;\n\nAnd being conjoined, begins to operate,\n  Coagulating first, then vivifying\n  What for its matter it had made consistent.\n\nThe active virtue, being made a soul\n  As of a plant, (in so far different,\n  This on the way is, that arrived already,)\n\nThen works so much, that now it moves and feels\n  Like a sea-fungus, and then undertakes\n  To organize the powers whose seed it is.\n\nNow, Son, dilates and now distends itself\n  The virtue from the generator's heart,\n  Where nature is intent on all the members.\n\nBut how from animal it man becomes\n  Thou dost not see as yet; this is a point\n  Which made a wiser man than thou once err\n\nSo far, that in his doctrine separate\n  He made the soul from possible intellect,\n  For he no organ saw by this assumed.\n\nOpen thy breast unto the truth that's coming,\n  And know that, just as soon as in the foetus\n  The articulation of the brain is perfect,\n\nThe primal Motor turns to it well pleased\n  At so great art of nature, and inspires\n  A spirit new with virtue all replete,\n\nWhich what it finds there active doth attract\n  Into its substance, and becomes one soul,\n  Which lives, and feels, and on itself revolves.\n\nAnd that thou less may wonder at my word,\n  Behold the sun's heat, which becometh wine,\n  Joined to the juice that from the vine distils.\n\nWhenever Lachesis has no more thread,\n  It separates from the flesh, and virtually\n  Bears with itself the human and divine;\n\nThe other faculties are voiceless all;\n  The memory, the intelligence, and the will\n  In action far more vigorous than before.\n\nWithout a pause it falleth of itself\n  In marvellous way on one shore or the other;\n  There of its roads it first is cognizant.\n\nSoon as the place there circumscribeth it,\n  The virtue informative rays round about,\n  As, and as much as, in the living members.\n\nAnd even as the air, when full of rain,\n  By alien rays that are therein reflected,\n  With divers colours shows itself adorned,\n\nSo there the neighbouring air doth shape itself\n  Into that form which doth impress upon it\n  Virtually the soul that has stood still.\n\nAnd then in manner of the little flame,\n  Which followeth the fire where'er it shifts,\n  After the spirit followeth its new form.\n\nSince afterwards it takes from this its semblance,\n  It is called shade; and thence it organizes\n  Thereafter every sense, even to the sight.\n\nThence is it that we speak, and thence we laugh;\n  Thence is it that we form the tears and sighs,\n  That on the mountain thou mayhap hast heard.\n\nAccording as impress us our desires\n  And other affections, so the shade is shaped,\n  And this is cause of what thou wonderest at.\"\n\nAnd now unto the last of all the circles\n  Had we arrived, and to the right hand turned,\n  And were attentive to another care.\n\nThere the embankment shoots forth flames of fire,\n  And upward doth the cornice breathe a blast\n  That drives them back, and from itself sequesters.\n\nHence we must needs go on the open side,\n  And one by one; and I did fear the fire\n  On this side, and on that the falling down.\n\nMy Leader said: \"Along this place one ought\n  To keep upon the eyes a tightened rein,\n  Seeing that one so easily might err.\"\n\n\"Summae Deus clementiae,\" in the bosom\n  Of the great burning chanted then I heard,\n  Which made me no less eager to turn round;\n\nAnd spirits saw I walking through the flame;\n  Wherefore I looked, to my own steps and theirs\n  Apportioning my sight from time to time.\n\nAfter the close which to that hymn is made,\n  Aloud they shouted, \"Virum non cognosco;\"\n  Then recommenced the hymn with voices low.\n\nThis also ended, cried they: \"To the wood\n  Diana ran, and drove forth Helice\n  Therefrom, who had of Venus felt the poison.\"\n\nThen to their song returned they; then the wives\n  They shouted, and the husbands who were chaste.\n  As virtue and the marriage vow imposes.\n\nAnd I believe that them this mode suffices,\n  For all the time the fire is burning them;\n  With such care is it needful, and such food,\n\nThat the last wound of all should be closed up.\n\n\n\nPurgatorio: Canto XXVI\n\n\nWhile on the brink thus one before the other\n  We went upon our way, oft the good Master\n  Said: \"Take thou heed! suffice it that I warn thee.\"\n\nOn the right shoulder smote me now the sun,\n  That, raying out, already the whole west\n  Changed from its azure aspect into white.\n\nAnd with my shadow did I make the flame\n  Appear more red; and even to such a sign\n  Shades saw I many, as they went, give heed.\n\nThis was the cause that gave them a beginning\n  To speak of me; and to themselves began they\n  To say: \"That seems not a factitious body!\"\n\nThen towards me, as far as they could come,\n  Came certain of them, always with regard\n  Not to step forth where they would not be burned.\n\n\"O thou who goest, not from being slower\n  But reverent perhaps, behind the others,\n  Answer me, who in thirst and fire am burning.\n\nNor to me only is thine answer needful;\n  For all of these have greater thirst for it\n  Than for cold water Ethiop or Indian.\n\nTell us how is it that thou makest thyself\n  A wall unto the sun, as if thou hadst not\n  Entered as yet into the net of death.\"\n\nThus one of them addressed me, and I straight\n  Should have revealed myself, were I not bent\n  On other novelty that then appeared.\n\nFor through the middle of the burning road\n  There came a people face to face with these,\n  Which held me in suspense with gazing at them.\n\nThere see I hastening upon either side\n  Each of the shades, and kissing one another\n  Without a pause, content with brief salute.\n\nThus in the middle of their brown battalions\n  Muzzle to muzzle one ant meets another\n  Perchance to spy their journey or their fortune.\n\nNo sooner is the friendly greeting ended,\n  Or ever the first footstep passes onward,\n  Each one endeavours to outcry the other;\n\nThe new-come people: \"Sodom and Gomorrah!\"\n  The rest: \"Into the cow Pasiphae enters,\n  So that the bull unto her lust may run!\"\n\nThen as the cranes, that to Riphaean mountains\n  Might fly in part, and part towards the sands,\n  These of the frost, those of the sun avoidant,\n\nOne folk is going, and the other coming,\n  And weeping they return to their first songs,\n  And to the cry that most befitteth them;\n\nAnd close to me approached, even as before,\n  The very same who had entreated me,\n  Attent to listen in their countenance.\n\nI, who their inclination twice had seen,\n  Began: \"O souls secure in the possession,\n  Whene'er it may be, of a state of peace,\n\nNeither unripe nor ripened have remained\n  My members upon earth, but here are with me\n  With their own blood and their articulations.\n\nI go up here to be no longer blind;\n  A Lady is above, who wins this grace,\n  Whereby the mortal through your world I bring.\n\nBut as your greatest longing satisfied\n  May soon become, so that the Heaven may house you\n  Which full of love is, and most amply spreads,\n\nTell me, that I again in books may write it,\n  Who are you, and what is that multitude\n  Which goes upon its way behind your backs?\"\n\nNot otherwise with wonder is bewildered\n  The mountaineer, and staring round is dumb,\n  When rough and rustic to the town he goes,\n\nThan every shade became in its appearance;\n  But when they of their stupor were disburdened,\n  Which in high hearts is quickly quieted,\n\n\"Blessed be thou, who of our border-lands,\"\n  He recommenced who first had questioned us,\n  \"Experience freightest for a better life.\n\nThe folk that comes not with us have offended\n  In that for which once Caesar, triumphing,\n  Heard himself called in contumely, 'Queen.'\n\nTherefore they separate, exclaiming, 'Sodom!'\n  Themselves reproving, even as thou hast heard,\n  And add unto their burning by their shame.\n\nOur own transgression was hermaphrodite;\n  But because we observed not human law,\n  Following like unto beasts our appetite,\n\nIn our opprobrium by us is read,\n  When we part company, the name of her\n  Who bestialized herself in bestial wood.\n\nNow knowest thou our acts, and what our crime was;\n  Wouldst thou perchance by name know who we are,\n  There is not time to tell, nor could I do it.\n\nThy wish to know me shall in sooth be granted;\n  I'm Guido Guinicelli, and now purge me,\n  Having repented ere the hour extreme.\"\n\nThe same that in the sadness of Lycurgus\n  Two sons became, their mother re-beholding,\n  Such I became, but rise not to such height,\n\nThe moment I heard name himself the father\n  Of me and of my betters, who had ever\n  Practised the sweet and gracious rhymes of love;\n\nAnd without speech and hearing thoughtfully\n  For a long time I went, beholding him,\n  Nor for the fire did I approach him nearer.\n\nWhen I was fed with looking, utterly\n  Myself I offered ready for his service,\n  With affirmation that compels belief.\n\nAnd he to me: \"Thou leavest footprints such\n  In me, from what I hear, and so distinct,\n  Lethe cannot efface them, nor make dim.\n\nBut if thy words just now the truth have sworn,\n  Tell me what is the cause why thou displayest\n  In word and look that dear thou holdest me?\"\n\nAnd I to him: \"Those dulcet lays of yours\n  Which, long as shall endure our modern fashion,\n  Shall make for ever dear their very ink!\"\n\n\"O brother,\" said he, \"he whom I point out,\"\n  And here he pointed at a spirit in front,\n  \"Was of the mother tongue a better smith.\n\nVerses of love and proses of romance,\n  He mastered all; and let the idiots talk,\n  Who think the Lemosin surpasses him.\n\nTo clamour more than truth they turn their faces,\n  And in this way establish their opinion,\n  Ere art or reason has by them been heard.\n\nThus many ancients with Guittone did,\n  From cry to cry still giving him applause,\n  Until the truth has conquered with most persons.\n\nNow, if thou hast such ample privilege\n  'Tis granted thee to go unto the cloister\n  Wherein is Christ the abbot of the college,\n\nTo him repeat for me a Paternoster,\n  So far as needful to us of this world,\n  Where power of sinning is no longer ours.\"\n\nThen, to give place perchance to one behind,\n  Whom he had near, he vanished in the fire\n  As fish in water going to the bottom.\n\nI moved a little tow'rds him pointed out,\n  And said that to his name my own desire\n  An honourable place was making ready.\n\nHe of his own free will began to say:\n  'Tan m' abellis vostre cortes deman,\n  Que jeu nom' puesc ni vueill a vos cobrire;\n\nJeu sui Arnaut, que plor e vai chantan;\n  Consiros vei la passada folor,\n  E vei jauzen lo jorn qu' esper denan.\n\nAra vus prec per aquella valor,\n  Que vus condus al som de la scalina,\n  Sovenga vus a temprar ma dolor.'*\n\nThen hid him in the fire that purifies them.\n\n\n* So pleases me your courteous demand,\n  I cannot and I will not hide me from you.\nI am Arnaut, who weep and singing go;\n  Contrite I see the folly of the past,\n  And joyous see the hoped-for day before me.\nTherefore do I implore you, by that power\n  Which guides you to the summit of the stairs,\n  Be mindful to assuage my suffering!\n\n\n\nPurgatorio: Canto XXVII\n\n\nAs when he vibrates forth his earliest rays,\n  In regions where his Maker shed his blood,\n  (The Ebro falling under lofty Libra,\n\nAnd waters in the Ganges burnt with noon,)\n  So stood the Sun; hence was the day departing,\n  When the glad Angel of God appeared to us.\n\nOutside the flame he stood upon the verge,\n  And chanted forth, \"Beati mundo corde,\"\n  In voice by far more living than our own.\n\nThen: \"No one farther goes, souls sanctified,\n  If first the fire bite not; within it enter,\n  And be not deaf unto the song beyond.\"\n\nWhen we were close beside him thus he said;\n  Wherefore e'en such became I, when I heard him,\n  As he is who is put into the grave.\n\nUpon my clasped hands I straightened me,\n  Scanning the fire, and vividly recalling\n  The human bodies I had once seen burned.\n\nTowards me turned themselves my good Conductors,\n  And unto me Virgilius said: \"My son,\n  Here may indeed be torment, but not death.\n\nRemember thee, remember! and if I\n  On Geryon have safely guided thee,\n  What shall I do now I am nearer God?\n\nBelieve for certain, shouldst thou stand a full\n  Millennium in the bosom of this flame,\n  It could not make thee bald a single hair.\n\nAnd if perchance thou think that I deceive thee,\n  Draw near to it, and put it to the proof\n  With thine own hands upon thy garment's hem.\n\nNow lay aside, now lay aside all fear,\n  Turn hitherward, and onward come securely;\"\n  And I still motionless, and 'gainst my conscience!\n\nSeeing me stand still motionless and stubborn,\n  Somewhat disturbed he said: \"Now look thou, Son,\n  'Twixt Beatrice and thee there is this wall.\"\n\nAs at the name of Thisbe oped his lids\n  The dying Pyramus, and gazed upon her,\n  What time the mulberry became vermilion,\n\nEven thus, my obduracy being softened,\n  I turned to my wise Guide, hearing the name\n  That in my memory evermore is welling.\n\nWhereat he wagged his head, and said: \"How now?\n  Shall we stay on this side?\" then smiled as one\n  Does at a child who's vanquished by an apple.\n\nThen into the fire in front of me he entered,\n  Beseeching Statius to come after me,\n  Who a long way before divided us.\n\nWhen I was in it, into molten glass\n  I would have cast me to refresh myself,\n  So without measure was the burning there!\n\nAnd my sweet Father, to encourage me,\n  Discoursing still of Beatrice went on,\n  Saying: \"Her eyes I seem to see already!\"\n\nA voice, that on the other side was singing,\n  Directed us, and we, attent alone\n  On that, came forth where the ascent began.\n\n\"Venite, benedicti Patris mei,\"\n  Sounded within a splendour, which was there\n  Such it o'ercame me, and I could not look.\n\n\"The sun departs,\" it added, \"and night cometh;\n  Tarry ye not, but onward urge your steps,\n  So long as yet the west becomes not dark.\"\n\nStraight forward through the rock the path ascended\n  In such a way that I cut off the rays\n  Before me of the sun, that now was low.\n\nAnd of few stairs we yet had made assay,\n  Ere by the vanished shadow the sun's setting\n  Behind us we perceived, I and my Sages.\n\nAnd ere in all its parts immeasurable\n  The horizon of one aspect had become,\n  And Night her boundless dispensation held,\n\nEach of us of a stair had made his bed;\n  Because the nature of the mount took from us\n  The power of climbing, more than the delight.\n\nEven as in ruminating passive grow\n  The goats, who have been swift and venturesome\n  Upon the mountain-tops ere they were fed,\n\nHushed in the shadow, while the sun is hot,\n  Watched by the herdsman, who upon his staff\n  Is leaning, and in leaning tendeth them;\n\nAnd as the shepherd, lodging out of doors,\n  Passes the night beside his quiet flock,\n  Watching that no wild beast may scatter it,\n\nSuch at that hour were we, all three of us,\n  I like the goat, and like the herdsmen they,\n  Begirt on this side and on that by rocks.\n\nLittle could there be seen of things without;\n  But through that little I beheld the stars\n  More luminous and larger than their wont.\n\nThus ruminating, and beholding these,\n  Sleep seized upon me,--sleep, that oftentimes\n  Before a deed is done has tidings of it.\n\nIt was the hour, I think, when from the East\n  First on the mountain Citherea beamed,\n  Who with the fire of love seems always burning;\n\nYouthful and beautiful in dreams methought\n  I saw a lady walking in a meadow,\n  Gathering flowers; and singing she was saying:\n\n\"Know whosoever may my name demand\n  That I am Leah, and go moving round\n  My beauteous hands to make myself a garland.\n\nTo please me at the mirror, here I deck me,\n  But never does my sister Rachel leave\n  Her looking-glass, and sitteth all day long.\n\nTo see her beauteous eyes as eager is she,\n  As I am to adorn me with my hands;\n  Her, seeing, and me, doing satisfies.\"\n\nAnd now before the antelucan splendours\n  That unto pilgrims the more grateful rise,\n  As, home-returning, less remote they lodge,\n\nThe darkness fled away on every side,\n  And slumber with it; whereupon I rose,\n  Seeing already the great Masters risen.\n\n\"That apple sweet, which through so many branches\n  The care of mortals goeth in pursuit of,\n  To-day shall put in peace thy hungerings.\"\n\nSpeaking to me, Virgilius of such words\n  As these made use; and never were there guerdons\n  That could in pleasantness compare with these.\n\nSuch longing upon longing came upon me\n  To be above, that at each step thereafter\n  For flight I felt in me the pinions growing.\n\nWhen underneath us was the stairway all\n  Run o'er, and we were on the highest step,\n  Virgilius fastened upon me his eyes,\n\nAnd said: \"The temporal fire and the eternal,\n  Son, thou hast seen, and to a place art come\n  Where of myself no farther I discern.\n\nBy intellect and art I here have brought thee;\n  Take thine own pleasure for thy guide henceforth;\n  Beyond the steep ways and the narrow art thou.\n\nBehold the sun, that shines upon thy forehead;\n  Behold the grass, the flowerets, and the shrubs\n  Which of itself alone this land produces.\n\nUntil rejoicing come the beauteous eyes\n  Which weeping caused me to come unto thee,\n  Thou canst sit down, and thou canst walk among them.\n\nExpect no more or word or sign from me;\n  Free and upright and sound is thy free-will,\n  And error were it not to do its bidding;\n\nThee o'er thyself I therefore crown and mitre!\"\n\n\n\nPurgatorio: Canto XXVIII\n\n\nEager already to search in and round\n  The heavenly forest, dense and living-green,\n  Which tempered to the eyes the new-born day,\n\nWithouten more delay I left the bank,\n  Taking the level country slowly, slowly\n  Over the soil that everywhere breathes fragrance.\n\nA softly-breathing air, that no mutation\n  Had in itself, upon the forehead smote me\n  No heavier blow than of a gentle wind,\n\nWhereat the branches, lightly tremulous,\n  Did all of them bow downward toward that side\n  Where its first shadow casts the Holy Mountain;\n\nYet not from their upright direction swayed,\n  So that the little birds upon their tops\n  Should leave the practice of each art of theirs;\n\nBut with full ravishment the hours of prime,\n  Singing, received they in the midst of leaves,\n  That ever bore a burden to their rhymes,\n\nSuch as from branch to branch goes gathering on\n  Through the pine forest on the shore of Chiassi,\n  When Eolus unlooses the Sirocco.\n\nAlready my slow steps had carried me\n  Into the ancient wood so far, that I\n  Could not perceive where I had entered it.\n\nAnd lo! my further course a stream cut off,\n  Which tow'rd the left hand with its little waves\n  Bent down the grass that on its margin sprang.\n\nAll waters that on earth most limpid are\n  Would seem to have within themselves some mixture\n  Compared with that which nothing doth conceal,\n\nAlthough it moves on with a brown, brown current\n  Under the shade perpetual, that never\n  Ray of the sun lets in, nor of the moon.\n\nWith feet I stayed, and with mine eyes I passed\n  Beyond the rivulet, to look upon\n  The great variety of the fresh may.\n\nAnd there appeared to me (even as appears\n  Suddenly something that doth turn aside\n  Through very wonder every other thought)\n\nA lady all alone, who went along\n  Singing and culling floweret after floweret,\n  With which her pathway was all painted over.\n\n\"Ah, beauteous lady, who in rays of love\n  Dost warm thyself, if I may trust to looks,\n  Which the heart's witnesses are wont to be,\n\nMay the desire come unto thee to draw\n  Near to this river's bank,\" I said to her,\n  \"So much that I might hear what thou art singing.\n\nThou makest me remember where and what\n  Proserpina that moment was when lost\n  Her mother her, and she herself the Spring.\"\n\nAs turns herself, with feet together pressed\n  And to the ground, a lady who is dancing,\n  And hardly puts one foot before the other,\n\nOn the vermilion and the yellow flowerets\n  She turned towards me, not in other wise\n  Than maiden who her modest eyes casts down;\n\nAnd my entreaties made to be content,\n  So near approaching, that the dulcet sound\n  Came unto me together with its meaning\n\nAs soon as she was where the grasses are.\n  Bathed by the waters of the beauteous river,\n  To lift her eyes she granted me the boon.\n\nI do not think there shone so great a light\n  Under the lids of Venus, when transfixed\n  By her own son, beyond his usual custom!\n\nErect upon the other bank she smiled,\n  Bearing full many colours in her hands,\n  Which that high land produces without seed.\n\nApart three paces did the river make us;\n  But Hellespont, where Xerxes passed across,\n  (A curb still to all human arrogance,)\n\nMore hatred from Leander did not suffer\n  For rolling between Sestos and Abydos,\n  Than that from me, because it oped not then.\n\n\"Ye are new-comers; and because I smile,\"\n  Began she, \"peradventure, in this place\n  Elect to human nature for its nest,\n\nSome apprehension keeps you marvelling;\n  But the psalm 'Delectasti' giveth light\n  Which has the power to uncloud your intellect.\n\nAnd thou who foremost art, and didst entreat me,\n  Speak, if thou wouldst hear more; for I came ready\n  To all thy questionings, as far as needful.\"\n\n\"The water,\" said I, \"and the forest's sound,\n  Are combating within me my new faith\n  In something which I heard opposed to this.\"\n\nWhence she: \"I will relate how from its cause\n  Proceedeth that which maketh thee to wonder,\n  And purge away the cloud that smites upon thee.\n\nThe Good Supreme, sole in itself delighting,\n  Created man good, and this goodly place\n  Gave him as hansel of eternal peace.\n\nBy his default short while he sojourned here;\n  By his default to weeping and to toil\n  He changed his innocent laughter and sweet play.\n\nThat the disturbance which below is made\n  By exhalations of the land and water,\n  (Which far as may be follow after heat,)\n\nMight not upon mankind wage any war,\n  This mount ascended tow'rds the heaven so high,\n  And is exempt, from there where it is locked.\n\nNow since the universal atmosphere\n  Turns in a circuit with the primal motion\n  Unless the circle is broken on some side,\n\nUpon this height, that all is disengaged\n  In living ether, doth this motion strike\n  And make the forest sound, for it is dense;\n\nAnd so much power the stricken plant possesses\n  That with its virtue it impregns the air,\n  And this, revolving, scatters it around;\n\nAnd yonder earth, according as 'tis worthy\n  In self or in its clime, conceives and bears\n  Of divers qualities the divers trees;\n\nIt should not seem a marvel then on earth,\n  This being heard, whenever any plant\n  Without seed manifest there taketh root.\n\nAnd thou must know, this holy table-land\n  In which thou art is full of every seed,\n  And fruit has in it never gathered there.\n\nThe water which thou seest springs not from vein\n  Restored by vapour that the cold condenses,\n  Like to a stream that gains or loses breath;\n\nBut issues from a fountain safe and certain,\n  Which by the will of God as much regains\n  As it discharges, open on two sides.\n\nUpon this side with virtue it descends,\n  Which takes away all memory of sin;\n  On that, of every good deed done restores it.\n\nHere Lethe, as upon the other side\n  Eunoe, it is called; and worketh not\n  If first on either side it be not tasted.\n\nThis every other savour doth transcend;\n  And notwithstanding slaked so far may be\n  Thy thirst, that I reveal to thee no more,\n\nI'll give thee a corollary still in grace,\n  Nor think my speech will be to thee less dear\n  If it spread out beyond my promise to thee.\n\nThose who in ancient times have feigned in song\n  The Age of Gold and its felicity,\n  Dreamed of this place perhaps upon Parnassus.\n\nHere was the human race in innocence;\n  Here evermore was Spring, and every fruit;\n  This is the nectar of which each one speaks.\"\n\nThen backward did I turn me wholly round\n  Unto my Poets, and saw that with a smile\n  They had been listening to these closing words;\n\nThen to the beautiful lady turned mine eyes.\n\n\n\nPurgatorio: Canto XXIX\n\n\nSinging like unto an enamoured lady\n  She, with the ending of her words, continued:\n  \"Beati quorum tecta sunt peccata.\"\n\nAnd even as Nymphs, that wandered all alone\n  Among the sylvan shadows, sedulous\n  One to avoid and one to see the sun,\n\nShe then against the stream moved onward, going\n  Along the bank, and I abreast of her,\n  Her little steps with little steps attending.\n\nBetween her steps and mine were not a hundred,\n  When equally the margins gave a turn,\n  In such a way, that to the East I faced.\n\nNor even thus our way continued far\n  Before the lady wholly turned herself\n  Unto me, saying, \"Brother, look and listen!\"\n\nAnd lo! a sudden lustre ran across\n  On every side athwart the spacious forest,\n  Such that it made me doubt if it were lightning.\n\nBut since the lightning ceases as it comes,\n  And that continuing brightened more and more,\n  Within my thought I said, \"What thing is this?\"\n\nAnd a delicious melody there ran\n  Along the luminous air, whence holy zeal\n  Made me rebuke the hardihood of Eve;\n\nFor there where earth and heaven obedient were,\n  The woman only, and but just created,\n  Could not endure to stay 'neath any veil;\n\nUnderneath which had she devoutly stayed,\n  I sooner should have tasted those delights\n  Ineffable, and for a longer time.\n\nWhile 'mid such manifold first-fruits I walked\n  Of the eternal pleasure all enrapt,\n  And still solicitous of more delights,\n\nIn front of us like an enkindled fire\n  Became the air beneath the verdant boughs,\n  And the sweet sound as singing now was heard.\n\nO Virgins sacrosanct! if ever hunger,\n  Vigils, or cold for you I have endured,\n  The occasion spurs me their reward to claim!\n\nNow Helicon must needs pour forth for me,\n  And with her choir Urania must assist me,\n  To put in verse things difficult to think.\n\nA little farther on, seven trees of gold\n  In semblance the long space still intervening\n  Between ourselves and them did counterfeit;\n\nBut when I had approached so near to them\n  The common object, which the sense deceives,\n  Lost not by distance any of its marks,\n\nThe faculty that lends discourse to reason\n  Did apprehend that they were candlesticks,\n  And in the voices of the song \"Hosanna!\"\n\nAbove them flamed the harness beautiful,\n  Far brighter than the moon in the serene\n  Of midnight, at the middle of her month.\n\nI turned me round, with admiration filled,\n  To good Virgilius, and he answered me\n  With visage no less full of wonderment.\n\nThen back I turned my face to those high things,\n  Which moved themselves towards us so sedately,\n  They had been distanced by new-wedded brides.\n\nThe lady chid me: \"Why dost thou burn only\n  So with affection for the living lights,\n  And dost not look at what comes after them?\"\n\nThen saw I people, as behind their leaders,\n  Coming behind them, garmented in white,\n  And such a whiteness never was on earth.\n\nThe water on my left flank was resplendent,\n  And back to me reflected my left side,\n  E'en as a mirror, if I looked therein.\n\nWhen I upon my margin had such post\n  That nothing but the stream divided us,\n  Better to see I gave my steps repose;\n\nAnd I beheld the flamelets onward go,\n  Leaving behind themselves the air depicted,\n  And they of trailing pennons had the semblance,\n\nSo that it overhead remained distinct\n  With sevenfold lists, all of them of the colours\n  Whence the sun's bow is made, and Delia's girdle.\n\nThese standards to the rearward longer were\n  Than was my sight; and, as it seemed to me,\n  Ten paces were the outermost apart.\n\nUnder so fair a heaven as I describe\n  The four and twenty Elders, two by two,\n  Came on incoronate with flower-de-luce.\n\nThey all of them were singing: \"Blessed thou\n  Among the daughters of Adam art, and blessed\n  For evermore shall be thy loveliness.\"\n\nAfter the flowers and other tender grasses\n  In front of me upon the other margin\n  Were disencumbered of that race elect,\n\nEven as in heaven star followeth after star,\n  There came close after them four animals,\n  Incoronate each one with verdant leaf.\n\nPlumed with six wings was every one of them,\n  The plumage full of eyes; the eyes of Argus\n  If they were living would be such as these.\n\nReader! to trace their forms no more I waste\n  My rhymes; for other spendings press me so,\n  That I in this cannot be prodigal.\n\nBut read Ezekiel, who depicteth them\n  As he beheld them from the region cold\n  Coming with cloud, with whirlwind, and with fire;\n\nAnd such as thou shalt find them in his pages,\n  Such were they here; saving that in their plumage\n  John is with me, and differeth from him.\n\nThe interval between these four contained\n  A chariot triumphal on two wheels,\n  Which by a Griffin's neck came drawn along;\n\nAnd upward he extended both his wings\n  Between the middle list and three and three,\n  So that he injured none by cleaving it.\n\nSo high they rose that they were lost to sight;\n  His limbs were gold, so far as he was bird,\n  And white the others with vermilion mingled.\n\nNot only Rome with no such splendid car\n  E'er gladdened Africanus, or Augustus,\n  But poor to it that of the Sun would be,--\n\nThat of the Sun, which swerving was burnt up\n  At the importunate orison of Earth,\n  When Jove was so mysteriously just.\n\nThree maidens at the right wheel in a circle\n  Came onward dancing; one so very red\n  That in the fire she hardly had been noted.\n\nThe second was as if her flesh and bones\n  Had all been fashioned out of emerald;\n  The third appeared as snow but newly fallen.\n\nAnd now they seemed conducted by the white,\n  Now by the red, and from the song of her\n  The others took their step, or slow or swift.\n\nUpon the left hand four made holiday\n  Vested in purple, following the measure\n  Of one of them with three eyes m her head.\n\nIn rear of all the group here treated of\n  Two old men I beheld, unlike in habit,\n  But like in gait, each dignified and grave.\n\nOne showed himself as one of the disciples\n  Of that supreme Hippocrates, whom nature\n  Made for the animals she holds most dear;\n\nContrary care the other manifested,\n  With sword so shining and so sharp, it caused\n  Terror to me on this side of the river.\n\nThereafter four I saw of humble aspect,\n  And behind all an aged man alone\n  Walking in sleep with countenance acute.\n\nAnd like the foremost company these seven\n  Were habited; yet of the flower-de-luce\n  No garland round about the head they wore,\n\nBut of the rose, and other flowers vermilion;\n  At little distance would the sight have sworn\n  That all were in a flame above their brows.\n\nAnd when the car was opposite to me\n  Thunder was heard; and all that folk august\n  Seemed to have further progress interdicted,\n\nThere with the vanward ensigns standing still.\n\n\n\nPurgatorio: Canto XXX\n\n\nWhen the Septentrion of the highest heaven\n  (Which never either setting knew or rising,\n  Nor veil of other cloud than that of sin,\n\nAnd which made every one therein aware\n  Of his own duty, as the lower makes\n  Whoever turns the helm to come to port)\n\nMotionless halted, the veracious people,\n  That came at first between it and the Griffin,\n  Turned themselves to the car, as to their peace.\n\nAnd one of them, as if by Heaven commissioned,\n  Singing, \"Veni, sponsa, de Libano\"\n  Shouted three times, and all the others after.\n\nEven as the Blessed at the final summons\n  Shall rise up quickened each one from his cavern,\n  Uplifting light the reinvested flesh,\n\nSo upon that celestial chariot\n  A hundred rose 'ad vocem tanti senis,'\n  Ministers and messengers of life eternal.\n\nThey all were saying, \"Benedictus qui venis,\"\n  And, scattering flowers above and round about,\n  \"Manibus o date lilia plenis.\"\n\nEre now have I beheld, as day began,\n  The eastern hemisphere all tinged with rose,\n  And the other heaven with fair serene adorned;\n\nAnd the sun's face, uprising, overshadowed\n  So that by tempering influence of vapours\n  For a long interval the eye sustained it;\n\nThus in the bosom of a cloud of flowers\n  Which from those hands angelical ascended,\n  And downward fell again inside and out,\n\nOver her snow-white veil with olive cinct\n  Appeared a lady under a green mantle,\n  Vested in colour of the living flame.\n\nAnd my own spirit, that already now\n  So long a time had been, that in her presence\n  Trembling with awe it had not stood abashed,\n\nWithout more knowledge having by mine eyes,\n  Through occult virtue that from her proceeded\n  Of ancient love the mighty influence felt.\n\nAs soon as on my vision smote the power\n  Sublime, that had already pierced me through\n  Ere from my boyhood I had yet come forth,\n\nTo the left hand I turned with that reliance\n  With which the little child runs to his mother,\n  When he has fear, or when he is afflicted,\n\nTo say unto Virgilius: \"Not a drachm\n  Of blood remains in me, that does not tremble;\n  I know the traces of the ancient flame.\"\n\nBut us Virgilius of himself deprived\n  Had left, Virgilius, sweetest of all fathers,\n  Virgilius, to whom I for safety gave me:\n\nNor whatsoever lost the ancient mother\n  Availed my cheeks now purified from dew,\n  That weeping they should not again be darkened.\n\n\"Dante, because Virgilius has departed\n  Do not weep yet, do not weep yet awhile;\n  For by another sword thou need'st must weep.\"\n\nE'en as an admiral, who on poop and prow\n  Comes to behold the people that are working\n  In other ships, and cheers them to well-doing,\n\nUpon the left hand border of the car,\n  When at the sound I turned of my own name,\n  Which of necessity is here recorded,\n\nI saw the Lady, who erewhile appeared\n  Veiled underneath the angelic festival,\n  Direct her eyes to me across the river.\n\nAlthough the veil, that from her head descended,\n  Encircled with the foliage of Minerva,\n  Did not permit her to appear distinctly,\n\nIn attitude still royally majestic\n  Continued she, like unto one who speaks,\n  And keeps his warmest utterance in reserve:\n\n\"Look at me well; in sooth I'm Beatrice!\n  How didst thou deign to come unto the Mountain?\n  Didst thou not know that man is happy here?\"\n\nMine eyes fell downward into the clear fountain,\n  But, seeing myself therein, I sought the grass,\n  So great a shame did weigh my forehead down.\n\nAs to the son the mother seems superb,\n  So she appeared to me; for somewhat bitter\n  Tasteth the savour of severe compassion.\n\nSilent became she, and the Angels sang\n  Suddenly, \"In te, Domine, speravi:\"\n  But beyond 'pedes meos' did not pass.\n\nEven as the snow among the living rafters\n  Upon the back of Italy congeals,\n  Blown on and drifted by Sclavonian winds,\n\nAnd then, dissolving, trickles through itself\n  Whene'er the land that loses shadow breathes,\n  So that it seems a fire that melts a taper;\n\nE'en thus was I without a tear or sigh,\n  Before the song of those who sing for ever\n  After the music of the eternal spheres.\n\nBut when I heard in their sweet melodies\n  Compassion for me, more than had they said,\n  \"O wherefore, lady, dost thou thus upbraid him?\"\n\nThe ice, that was about my heart congealed,\n  To air and water changed, and in my anguish\n  Through mouth and eyes came gushing from my breast.\n\nShe, on the right-hand border of the car\n  Still firmly standing, to those holy beings\n  Thus her discourse directed afterwards:\n\n\"Ye keep your watch in the eternal day,\n  So that nor night nor sleep can steal from you\n  One step the ages make upon their path;\n\nTherefore my answer is with greater care,\n  That he may hear me who is weeping yonder,\n  So that the sin and dole be of one measure.\n\nNot only by the work of those great wheels,\n  That destine every seed unto some end,\n  According as the stars are in conjunction,\n\nBut by the largess of celestial graces,\n  Which have such lofty vapours for their rain\n  That near to them our sight approaches not,\n\nSuch had this man become in his new life\n  Potentially, that every righteous habit\n  Would have made admirable proof in him;\n\nBut so much more malignant and more savage\n  Becomes the land untilled and with bad seed,\n  The more good earthly vigour it possesses.\n\nSome time did I sustain him with my look;\n  Revealing unto him my youthful eyes,\n  I led him with me turned in the right way.\n\nAs soon as ever of my second age\n  I was upon the threshold and changed life,\n  Himself from me he took and gave to others.\n\nWhen from the flesh to spirit I ascended,\n  And beauty and virtue were in me increased,\n  I was to him less dear and less delightful;\n\nAnd into ways untrue he turned his steps,\n  Pursuing the false images of good,\n  That never any promises fulfil;\n\nNor prayer for inspiration me availed,\n  By means of which in dreams and otherwise\n  I called him back, so little did he heed them.\n\nSo low he fell, that all appliances\n  For his salvation were already short,\n  Save showing him the people of perdition.\n\nFor this I visited the gates of death,\n  And unto him, who so far up has led him,\n  My intercessions were with weeping borne.\n\nGod's lofty fiat would be violated,\n  If Lethe should be passed, and if such viands\n  Should tasted be, withouten any scot\n\nOf penitence, that gushes forth in tears.\"\n\n\n\nPurgatorio: Canto XXXI\n\n\n\"O thou who art beyond the sacred river,\"\n  Turning to me the point of her discourse,\n  That edgewise even had seemed to me so keen,\n\nShe recommenced, continuing without pause,\n  \"Say, say if this be true; to such a charge,\n  Thy own confession needs must be conjoined.\"\n\nMy faculties were in so great confusion,\n  That the voice moved, but sooner was extinct\n  Than by its organs it was set at large.\n\nAwhile she waited; then she said: \"What thinkest?\n  Answer me; for the mournful memories\n  In thee not yet are by the waters injured.\"\n\nConfusion and dismay together mingled\n  Forced such a Yes! from out my mouth, that sight\n  Was needful to the understanding of it.\n\nEven as a cross-bow breaks, when 'tis discharged\n  Too tensely drawn the bowstring and the bow,\n  And with less force the arrow hits the mark,\n\nSo I gave way beneath that heavy burden,\n  Outpouring in a torrent tears and sighs,\n  And the voice flagged upon its passage forth.\n\nWhence she to me: \"In those desires of mine\n  Which led thee to the loving of that good,\n  Beyond which there is nothing to aspire to,\n\nWhat trenches lying traverse or what chains\n  Didst thou discover, that of passing onward\n  Thou shouldst have thus despoiled thee of the hope?\n\nAnd what allurements or what vantages\n  Upon the forehead of the others showed,\n  That thou shouldst turn thy footsteps unto them?\"\n\nAfter the heaving of a bitter sigh,\n  Hardly had I the voice to make response,\n  And with fatigue my lips did fashion it.\n\nWeeping I said: \"The things that present were\n  With their false pleasure turned aside my steps,\n  Soon as your countenance concealed itself.\"\n\nAnd she: \"Shouldst thou be silent, or deny\n  What thou confessest, not less manifest\n  Would be thy fault, by such a Judge 'tis known.\n\nBut when from one's own cheeks comes bursting forth\n  The accusal of the sin, in our tribunal\n  Against the edge the wheel doth turn itself.\n\nBut still, that thou mayst feel a greater shame\n  For thy transgression, and another time\n  Hearing the Sirens thou mayst be more strong,\n\nCast down the seed of weeping and attend;\n  So shalt thou hear, how in an opposite way\n  My buried flesh should have directed thee.\n\nNever to thee presented art or nature\n  Pleasure so great as the fair limbs wherein\n  I was enclosed, which scattered are in earth.\n\nAnd if the highest pleasure thus did fail thee\n  By reason of my death, what mortal thing\n  Should then have drawn thee into its desire?\n\nThou oughtest verily at the first shaft\n  Of things fallacious to have risen up\n  To follow me, who was no longer such.\n\nThou oughtest not to have stooped thy pinions downward\n  To wait for further blows, or little girl,\n  Or other vanity of such brief use.\n\nThe callow birdlet waits for two or three,\n  But to the eyes of those already fledged,\n  In vain the net is spread or shaft is shot.\"\n\nEven as children silent in their shame\n  Stand listening with their eyes upon the ground,\n  And conscious of their fault, and penitent;\n\nSo was I standing; and she said: \"If thou\n  In hearing sufferest pain, lift up thy beard\n  And thou shalt feel a greater pain in seeing.\"\n\nWith less resistance is a robust holm\n  Uprooted, either by a native wind\n  Or else by that from regions of Iarbas,\n\nThan I upraised at her command my chin;\n  And when she by the beard the face demanded,\n  Well I perceived the venom of her meaning.\n\nAnd as my countenance was lifted up,\n  Mine eye perceived those creatures beautiful\n  Had rested from the strewing of the flowers;\n\nAnd, still but little reassured, mine eyes\n  Saw Beatrice turned round towards the monster,\n  That is one person only in two natures.\n\nBeneath her veil, beyond the margent green,\n  She seemed to me far more her ancient self\n  To excel, than others here, when she was here.\n\nSo pricked me then the thorn of penitence,\n  That of all other things the one which turned me\n  Most to its love became the most my foe.\n\nSuch self-conviction stung me at the heart\n  O'erpowered I fell, and what I then became\n  She knoweth who had furnished me the cause.\n\nThen, when the heart restored my outward sense,\n  The lady I had found alone, above me\n  I saw, and she was saying, \"Hold me, hold me.\"\n\nUp to my throat she in the stream had drawn me,\n  And, dragging me behind her, she was moving\n  Upon the water lightly as a shuttle.\n\nWhen I was near unto the blessed shore,\n  \"Asperges me,\" I heard so sweetly sung,\n  Remember it I cannot, much less write it.\n\nThe beautiful lady opened wide her arms,\n  Embraced my head, and plunged me underneath,\n  Where I was forced to swallow of the water.\n\nThen forth she drew me, and all dripping brought\n  Into the dance of the four beautiful,\n  And each one with her arm did cover me.\n\n'We here are Nymphs, and in the Heaven are stars;\n  Ere Beatrice descended to the world,\n  We as her handmaids were appointed her.\n\nWe'll lead thee to her eyes; but for the pleasant\n  Light that within them is, shall sharpen thine\n  The three beyond, who more profoundly look.'\n\nThus singing they began; and afterwards\n  Unto the Griffin's breast they led me with them,\n  Where Beatrice was standing, turned towards us.\n\n\"See that thou dost not spare thine eyes,\" they said;\n  \"Before the emeralds have we stationed thee,\n  Whence Love aforetime drew for thee his weapons.\"\n\nA thousand longings, hotter than the flame,\n  Fastened mine eyes upon those eyes relucent,\n  That still upon the Griffin steadfast stayed.\n\nAs in a glass the sun, not otherwise\n  Within them was the twofold monster shining,\n  Now with the one, now with the other nature.\n\nThink, Reader, if within myself I marvelled,\n  When I beheld the thing itself stand still,\n  And in its image it transformed itself.\n\nWhile with amazement filled and jubilant,\n  My soul was tasting of the food, that while\n  It satisfies us makes us hunger for it,\n\nThemselves revealing of the highest rank\n  In bearing, did the other three advance,\n  Singing to their angelic saraband.\n\n\"Turn, Beatrice, O turn thy holy eyes,\"\n  Such was their song, \"unto thy faithful one,\n  Who has to see thee ta'en so many steps.\n\nIn grace do us the grace that thou unveil\n  Thy face to him, so that he may discern\n  The second beauty which thou dost conceal.\"\n\nO splendour of the living light eternal!\n  Who underneath the shadow of Parnassus\n  Has grown so pale, or drunk so at its cistern,\n\nHe would not seem to have his mind encumbered\n  Striving to paint thee as thou didst appear,\n  Where the harmonious heaven o'ershadowed thee,\n\nWhen in the open air thou didst unveil?\n\n\n\nPurgatorio: Canto XXXII\n\n\nSo steadfast and attentive were mine eyes\n  In satisfying their decennial thirst,\n  That all my other senses were extinct,\n\nAnd upon this side and on that they had\n  Walls of indifference, so the holy smile\n  Drew them unto itself with the old net\n\nWhen forcibly my sight was turned away\n  Towards my left hand by those goddesses,\n  Because I heard from them a \"Too intently!\"\n\nAnd that condition of the sight which is\n  In eyes but lately smitten by the sun\n  Bereft me of my vision some short while;\n\nBut to the less when sight re-shaped itself,\n  I say the less in reference to the greater\n  Splendour from which perforce I had withdrawn,\n\nI saw upon its right wing wheeled about\n  The glorious host returning with the sun\n  And with the sevenfold flames upon their faces.\n\nAs underneath its shields, to save itself,\n  A squadron turns, and with its banner wheels,\n  Before the whole thereof can change its front,\n\nThat soldiery of the celestial kingdom\n  Which marched in the advance had wholly passed us\n  Before the chariot had turned its pole.\n\nThen to the wheels the maidens turned themselves,\n  And the Griffin moved his burden benedight,\n  But so that not a feather of him fluttered.\n\nThe lady fair who drew me through the ford\n  Followed with Statius and myself the wheel\n  Which made its orbit with the lesser arc.\n\nSo passing through the lofty forest, vacant\n  By fault of her who in the serpent trusted,\n  Angelic music made our steps keep time.\n\nPerchance as great a space had in three flights\n  An arrow loosened from the string o'erpassed,\n  As we had moved when Beatrice descended.\n\nI heard them murmur altogether, \"Adam!\"\n  Then circled they about a tree despoiled\n  Of blooms and other leafage on each bough.\n\nIts tresses, which so much the more dilate\n  As higher they ascend, had been by Indians\n  Among their forests marvelled at for height.\n\n\"Blessed art thou, O Griffin, who dost not\n  Pluck with thy beak these branches sweet to taste,\n  Since appetite by this was turned to evil.\"\n\nAfter this fashion round the tree robust\n  The others shouted; and the twofold creature:\n  \"Thus is preserved the seed of all the just.\"\n\nAnd turning to the pole which he had dragged,\n  He drew it close beneath the widowed bough,\n  And what was of it unto it left bound.\n\nIn the same manner as our trees (when downward\n  Falls the great light, with that together mingled\n  Which after the celestial Lasca shines)\n\nBegin to swell, and then renew themselves,\n  Each one with its own colour, ere the Sun\n  Harness his steeds beneath another star:\n\nLess than of rose and more than violet\n  A hue disclosing, was renewed the tree\n  That had erewhile its boughs so desolate.\n\nI never heard, nor here below is sung,\n  The hymn which afterward that people sang,\n  Nor did I bear the melody throughout.\n\nHad I the power to paint how fell asleep\n  Those eyes compassionless, of Syrinx hearing,\n  Those eyes to which more watching cost so dear,\n\nEven as a painter who from model paints\n  I would portray how I was lulled asleep;\n  He may, who well can picture drowsihood.\n\nTherefore I pass to what time I awoke,\n  And say a splendour rent from me the veil\n  Of slumber, and a calling: \"Rise, what dost thou?\"\n\nAs to behold the apple-tree in blossom\n  Which makes the Angels greedy for its fruit,\n  And keeps perpetual bridals in the Heaven,\n\nPeter and John and James conducted were,\n  And, overcome, recovered at the word\n  By which still greater slumbers have been broken,\n\nAnd saw their school diminished by the loss\n  Not only of Elias, but of Moses,\n  And the apparel of their Master changed;\n\nSo I revived, and saw that piteous one\n  Above me standing, who had been conductress\n  Aforetime of my steps beside the river,\n\nAnd all in doubt I said, \"Where's Beatrice?\"\n  And she: \"Behold her seated underneath\n  The leafage new, upon the root of it.\n\nBehold the company that circles her;\n  The rest behind the Griffin are ascending\n  With more melodious song, and more profound.\"\n\nAnd if her speech were more diffuse I know not,\n  Because already in my sight was she\n  Who from the hearing of aught else had shut me.\n\nAlone she sat upon the very earth,\n  Left there as guardian of the chariot\n  Which I had seen the biform monster fasten.\n\nEncircling her, a cloister made themselves\n  The seven Nymphs, with those lights in their hands\n  Which are secure from Aquilon and Auster.\n\n\"Short while shalt thou be here a forester,\n  And thou shalt be with me for evermore\n  A citizen of that Rome where Christ is Roman.\n\nTherefore, for that world's good which liveth ill,\n  Fix on the car thine eyes, and what thou seest,\n  Having returned to earth, take heed thou write.\"\n\nThus Beatrice; and I, who at the feet\n  Of her commandments all devoted was,\n  My mind and eyes directed where she willed.\n\nNever descended with so swift a motion\n  Fire from a heavy cloud, when it is raining\n  From out the region which is most remote,\n\nAs I beheld the bird of Jove descend\n  Down through the tree, rending away the bark,\n  As well as blossoms and the foliage new,\n\nAnd he with all his might the chariot smote,\n  Whereat it reeled, like vessel in a tempest\n  Tossed by the waves, now starboard and now larboard.\n\nThereafter saw I leap into the body\n  Of the triumphal vehicle a Fox,\n  That seemed unfed with any wholesome food.\n\nBut for his hideous sins upbraiding him,\n  My Lady put him to as swift a flight\n  As such a fleshless skeleton could bear.\n\nThen by the way that it before had come,\n  Into the chariot's chest I saw the Eagle\n  Descend, and leave it feathered with his plumes.\n\nAnd such as issues from a heart that mourns,\n  A voice from Heaven there issued, and it said:\n  \"My little bark, how badly art thou freighted!\"\n\nMethought, then, that the earth did yawn between\n  Both wheels, and I saw rise from it a Dragon,\n  Who through the chariot upward fixed his tail,\n\nAnd as a wasp that draweth back its sting,\n  Drawing unto himself his tail malign,\n  Drew out the floor, and went his way rejoicing.\n\nThat which remained behind, even as with grass\n  A fertile region, with the feathers, offered\n  Perhaps with pure intention and benign,\n\nReclothed itself, and with them were reclothed\n  The pole and both the wheels so speedily,\n  A sigh doth longer keep the lips apart.\n\nTransfigured thus the holy edifice\n  Thrust forward heads upon the parts of it,\n  Three on the pole and one at either corner.\n\nThe first were horned like oxen; but the four\n  Had but a single horn upon the forehead;\n  A monster such had never yet been seen!\n\nFirm as a rock upon a mountain high,\n  Seated upon it, there appeared to me\n  A shameless whore, with eyes swift glancing round,\n\nAnd, as if not to have her taken from him,\n  Upright beside her I beheld a giant;\n  And ever and anon they kissed each other.\n\nBut because she her wanton, roving eye\n  Turned upon me, her angry paramour\n  Did scourge her from her head unto her feet.\n\nThen full of jealousy, and fierce with wrath,\n  He loosed the monster, and across the forest\n  Dragged it so far, he made of that alone\n\nA shield unto the whore and the strange beast.\n\n\n\nPurgatorio: Canto XXXIII\n\n\n\"Deus venerunt gentes,\" alternating\n  Now three, now four, melodious psalmody\n  The maidens in the midst of tears began;\n\nAnd Beatrice, compassionate and sighing,\n  Listened to them with such a countenance,\n  That scarce more changed was Mary at the cross.\n\nBut when the other virgins place had given\n  For her to speak, uprisen to her feet\n  With colour as of fire, she made response:\n\n\"'Modicum, et non videbitis me;\n  Et iterum,' my sisters predilect,\n  'Modicum, et vos videbitis me.'\"\n\nThen all the seven in front of her she placed;\n  And after her, by beckoning only, moved\n  Me and the lady and the sage who stayed.\n\nSo she moved onward; and I do not think\n  That her tenth step was placed upon the ground,\n  When with her eyes upon mine eyes she smote,\n\nAnd with a tranquil aspect, \"Come more quickly,\"\n  To me she said, \"that, if I speak with thee,\n  To listen to me thou mayst be well placed.\"\n\nAs soon as I was with her as I should be,\n  She said to me: \"Why, brother, dost thou not\n  Venture to question now, in coming with me?\"\n\nAs unto those who are too reverential,\n  Speaking in presence of superiors,\n  Who drag no living utterance to their teeth,\n\nIt me befell, that without perfect sound\n  Began I: \"My necessity, Madonna,\n  You know, and that which thereunto is good.\"\n\nAnd she to me: \"Of fear and bashfulness\n  Henceforward I will have thee strip thyself,\n  So that thou speak no more as one who dreams.\n\nKnow that the vessel which the serpent broke\n  Was, and is not; but let him who is guilty\n  Think that God's vengeance does not fear a sop.\n\nWithout an heir shall not for ever be\n  The Eagle that left his plumes upon the car,\n  Whence it became a monster, then a prey;\n\nFor verily I see, and hence narrate it,\n  The stars already near to bring the time,\n  From every hindrance safe, and every bar,\n\nWithin which a Five-hundred, Ten, and Five,\n  One sent from God, shall slay the thievish woman\n  And that same giant who is sinning with her.\n\nAnd peradventure my dark utterance,\n  Like Themis and the Sphinx, may less persuade thee,\n  Since, in their mode, it clouds the intellect;\n\nBut soon the facts shall be the Naiades\n  Who shall this difficult enigma solve,\n  Without destruction of the flocks and harvests.\n\nNote thou; and even as by me are uttered\n  These words, so teach them unto those who live\n  That life which is a running unto death;\n\nAnd bear in mind, whene'er thou writest them,\n  Not to conceal what thou hast seen the plant,\n  That twice already has been pillaged here.\n\nWhoever pillages or shatters it,\n  With blasphemy of deed offendeth God,\n  Who made it holy for his use alone.\n\nFor biting that, in pain and in desire\n  Five thousand years and more the first-born soul\n  Craved Him, who punished in himself the bite.\n\nThy genius slumbers, if it deem it not\n  For special reason so pre-eminent\n  In height, and so inverted in its summit.\n\nAnd if thy vain imaginings had not been\n  Water of Elsa round about thy mind,\n  And Pyramus to the mulberry, their pleasure,\n\nThou by so many circumstances only\n  The justice of the interdict of God\n  Morally in the tree wouldst recognize.\n\nBut since I see thee in thine intellect\n  Converted into stone and stained with sin,\n  So that the light of my discourse doth daze thee,\n\nI will too, if not written, at least painted,\n  Thou bear it back within thee, for the reason\n  That cinct with palm the pilgrim's staff is borne.\"\n\nAnd I: \"As by a signet is the wax\n  Which does not change the figure stamped upon it,\n  My brain is now imprinted by yourself.\n\nBut wherefore so beyond my power of sight\n  Soars your desirable discourse, that aye\n  The more I strive, so much the more I lose it?\"\n\n\"That thou mayst recognize,\" she said, \"the school\n  Which thou hast followed, and mayst see how far\n  Its doctrine follows after my discourse,\n\nAnd mayst behold your path from the divine\n  Distant as far as separated is\n  From earth the heaven that highest hastens on.\"\n\nWhence her I answered: \"I do not remember\n  That ever I estranged myself from you,\n  Nor have I conscience of it that reproves me.\"\n\n\"And if thou art not able to remember,\"\n  Smiling she answered, \"recollect thee now\n  That thou this very day hast drunk of Lethe;\n\nAnd if from smoke a fire may be inferred,\n  Such an oblivion clearly demonstrates\n  Some error in thy will elsewhere intent.\n\nTruly from this time forward shall my words\n  Be naked, so far as it is befitting\n  To lay them open unto thy rude gaze.\"\n\nAnd more coruscant and with slower steps\n  The sun was holding the meridian circle,\n  Which, with the point of view, shifts here and there\n\nWhen halted (as he cometh to a halt,\n  Who goes before a squadron as its escort,\n  If something new he find upon his way)\n\nThe ladies seven at a dark shadow's edge,\n  Such as, beneath green leaves and branches black,\n  The Alp upon its frigid border wears.\n\nIn front of them the Tigris and Euphrates\n  Methought I saw forth issue from one fountain,\n  And slowly part, like friends, from one another.\n\n\"O light, O glory of the human race!\n  What stream is this which here unfolds itself\n  From out one source, and from itself withdraws?\"\n\nFor such a prayer, 'twas said unto me, \"Pray\n  Matilda that she tell thee;\" and here answered,\n  As one does who doth free himself from blame,\n\nThe beautiful lady: \"This and other things\n  Were told to him by me; and sure I am\n  The water of Lethe has not hid them from him.\"\n\nAnd Beatrice: \"Perhaps a greater care,\n  Which oftentimes our memory takes away,\n  Has made the vision of his mind obscure.\n\nBut Eunoe behold, that yonder rises;\n  Lead him to it, and, as thou art accustomed,\n  Revive again the half-dead virtue in him.\"\n\nLike gentle soul, that maketh no excuse,\n  But makes its own will of another's will\n  As soon as by a sign it is disclosed,\n\nEven so, when she had taken hold of me,\n  The beautiful lady moved, and unto Statius\n  Said, in her womanly manner, \"Come with him.\"\n\nIf, Reader, I possessed a longer space\n  For writing it, I yet would sing in part\n  Of the sweet draught that ne'er would satiate me;\n\nBut inasmuch as full are all the leaves\n  Made ready for this second canticle,\n  The curb of art no farther lets me go.\n\nFrom the most holy water I returned\n  Regenerate, in the manner of new trees\n  That are renewed with a new foliage,\n\nPure and disposed to mount unto the stars.\n\n\n\n\n\nEnd of The Project Gutenberg Etext of Dante's Purgatory [Divine Comedy]\nas translanted by Henry Wadsworth Longfellow\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\nTable of Contents\n\nTitle Page\n\nCopyright Page\n\nONE - Retro Voodoo and the Spirit of Dorian Gray\n\nTWO - At Home with John and Suzie\n\nTHREE - Not Really Fitting In at All at the Adventurers Club\n\nFOUR - Justice, for All\n\nFIVE - Bad Boys and Wayward Girls\n\nSIX - The Only Thing Worse Than Asking Questions of God\n\nSEVEN - The Good Man\n\nEIGHT - There Is Always a Price to Be Paid\n\nNINE - Last Man Standing\n\nEPILOGUE\n_Novels of the Nightside_\n\nSOMETHING FROM THE NIGHTSIDE   \nAGENTS OF LIGHT AND DARKNESS   \nNIGHTINGALE'S LAMENT   \nHEX AND THE CITY   \nPATHS NOT TAKEN\n\nSHARPER THAN A SERPENT'S TOOTH   \nHELL TO PAY   \nTHE UNNATURAL INQUIRER   \nJUST ANOTHER JUDGEMENT DAY\n\n_Secret History Novels_\n\nTHE MAN WITH THE GOLDEN TORC   \nDAEMONS ARE FOREVER\n\n_Deathstalker Novels_\n\nDEATHSTALKER   \nDEATHSTALKER REBELLION   \nDEATHSTALKER WAR   \nDEATHSTALKER HONOR\n\nDEATHSTALKER DESTINY   \nDEATHSTALKER LEGACY   \nDEATHSTALKER RETURN   \nDEATHSTALKER CODA\n\n_Hawk and Fisher Novels_\n\nSWORDS OF HAVEN   \nGUARDS OF HAVEN\n\n_Also by Simon R. Green_\n\nBLUE MOON RISING   \nBEYOND THE BLUE MOON   \nDRINKING MIDNIGHT WINE\n\n_Omnibus_\n\nA WALK ON THE NIGHTSIDE\n**THE BERKLEY PUBLISHING GROUP**   \n**Published by the Penguin Group**   \n**Penguin Group (USA) Inc.**   \n**375 Hudson Street, New York, New York 10014, USA**   \nPenguin Group (Canada), 90 Eglinton Avenue East, Suite 700, Toronto, Ontario M4P 2Y3, Canada   \n(a division of Pearson Penguin Canada Inc.)   \nPenguin Books Ltd., 80 Strand, London WC2R 0RL, England   \nPenguin Group Ireland, 25 St. Stephen's Green, Dublin 2, Ireland (a division of Penguin Books Ltd.)   \nPenguin Group (Australia), 250 Camberwell Road, Camberwell, Victoria 3124, Australia   \n(a division of Pearson Australia Group Pty. Ltd.)   \nPenguin Books India Pvt. Ltd., 11 Community Centre, Panchsheel Park, New Delhi\u2014110 017, India   \nPenguin Group (NZ), 67 Apollo Drive, Rosedale, North Shore 0632, New Zealand   \n(a division of Pearson New Zealand Ltd.)   \nPenguin Books (South Africa) (Pty.) Ltd., 24 Sturdee Avenue, Rosebank, Johannesburg 2196,   \nSouth Africa\n\nPenguin Books Ltd., Registered Offices: 80 Strand, London WC2R 0RL, England\n\nThis is an original publication of The Berkley Publishing Group.\n\nThis is a work of fiction. Names, characters, places, and incidents either are the product of the author's imagination or are used fictitiously, and any resemblance to actual persons, living or dead, business establishments, events, or locales is entirely coincidental. The publisher does not have any control over and does not assume any responsibility for author or third-party websites or their content.\n\nCopyright \u00a9 2009 by Simon R. Green.\n\nAll rights reserved.\n\nNo part of this book may be reproduced, scanned, or distributed in any printed or electronic form without permission. Please do not participate in or encourage piracy of copyrighted materials in violation of the author's rights. Purchase only authorized editions.\n\nACE and the \"A\" design are trademarks of Penguin Group (USA) Inc.\n\nLibrary of Congress Cataloging-in-Publication Data\n\neISBN : 978-1-440-66073-3\n\n1. Taylor, John (Fictitious character)\u2014Fiction. 2. Private investigators\u2014England\u2014London\u2014  \nFiction. 3. London (England)\u2014Fiction. I. Title.\n\nPR6107.R44J87 2009   \n823'92\u2014dc22   \n2008043274\n\n<http:\/\/us.penguingroup.com>\nIn the Nightside, that sour secret hidden heart of London, it's always three o'clock in the morning and the dawn never comes. Streets full of sin and cellars full of suffering, magic in the air and mystery around every corner; hot neon, hotter music, and the hottest scenes anywhere. Good and bad and everything in between. Dreams come true in the Nightside, especially the bad ones. Everything's available, for the right price. So shop till you drop, dance till you bleed, and party like Judgement Day will never come.\n\nI'm John Taylor, private eye. I have a gift for finding things, and people. I won't promise you justice, or revenge, or your heart's desire. But I will find the truth for you, every damned bit of it.\n\nWelcome to the Nightside. Watch your back. Or someone will steal it.\n**ONE**\n\n_Retro Voodoo and the Spirit of Dorian Gray_\n\nYou don't go to Strangefellows for the good company. You don't go to the oldest bar in the world for open-mike contests, trivia quizzes, or theme nights. And certainly not for happy hour. You don't go there for the food, which is awful, or the atmosphere, which is worse. You go to Strangefellows to drink and brood and plan your revenges on an uncaring world. And you go there because no-one else will have you. The oldest bar in the world has few rules and fewer standards, except perhaps for _Mind your own damned business._\n\nI was sitting in a booth at the back of the bar that particular night, with my business partner and love, Suzie Shooter. I was nursing a glass of wormwood brandy, and Suzie was drinking Bombay Gin straight from the bottle. We were winding down, after a case that hadn't gone well for anyone. We didn't talk. We don't, much; we don't feel the need. We're easy in each other's company.\n\nMy long white trench coat was standing to attention beside our table. I've always believed in having a coat that can look after itself. People gave it plenty of room, especially after I happened to mention that I hadn't fed it recently. The trench coat is my one real affectation; I think a private eye should look the part. And while people are distracted by the clich\u00e9, they tend not to notice me running rings around them. I'm tall, dark, and handsome enough from a distance, and no matter how bad things get, I never do divorce work.\n\nSuzie Shooter, also known as Shotgun Suzie, was wearing her usual black motorcycle leathers, complete with steel studs and chains and two bandoliers of bullets crossing over her impressive chest. She has long blonde hair, a striking face with a strong bone structure, and the coldest blue gaze you'll ever see. My very own black leather Valkyrie. She's a bounty hunter, in case you hadn't guessed.\n\nWe were young, we were in love, and we'd just killed a whole bunch of people. It happens.\n\nStrangefellows was full that night... the night he came to the Nightside. We thought it was just another night, and the joint was jumping. Roger Miller's \"King of the Road\" was pumping out of hidden speakers, and thirteen members of the Tribe of Gay Barbarians were line-dancing to it, complete with sheathed broadswords, fringed leather chaps, and tall ostrich-feather head-dresses. Two wizened Asian conjurers in long, sweeping robes had set their tiny pet dragons to fighting, and already a crowd had gathered to place bets. (Though I had heard rumours that only the dragons were real; the conjurers were merely illusions generated by the tiny dragons so they could get around in public without being bothered.) Half a dozen female ghouls, out on a hen night, were getting happily loud and rowdy over a bottle of Mother's Ruination and demanding another bucket of lady-fingers. It probably helps to be a ghoul if you're going to eat the bar snacks at Strangefellows. And a young man was weeping into his beer because he'd given his heart to his one true love, and she'd put it in a bottle and sold it to a sorcerer in return for a pair of Manolo Blahnik shoes.\n\nIn a more private part of the bar, a small gathering of soft ghosts were flickering in and out around a table that wasn't always there. Soft ghosts\u2014the hazy images of men and women who'd travelled too far from their home worlds and lost their way. Now they drifted through the dimensions, from world to world and reality to reality, trying desperately to find their way home, fading a little more with every failure. A lot of them find their way to Strangefellows, and stop off for a brief rest. Alex Morrisey keeps the memories of old wines stored in Klein bottles, just for them. Though what they pay him with is beyond me. The soft ghosts clustered together, whispering the names of lands and heroes and histories that no-one else had ever heard of and comforting each other as best they could.\n\nAlex Morrisey is the owner and main bartender of Strangefellows, last of a long line of miserable bastards. He always wears black, right down to designer shades and a snazzy black beret pushed well back on his head to hide his spreading bald spot, because, he says, anything else would be hypocritical. Alex wakes up every evening pissed off at the entire world, and his mood only gets worse as the night wears on. He has a gift for short-changing people, doesn't wash the glasses nearly often enough, and mixes the worst martinis in the world. Wise men avoid his special offers.\n\nStrangefellows attracts a varied crowd, even for the Nightside, and Alex has to be able to cater to all kinds of trade, with everything from Shoggoth's Old and Very Peculiar, Angel's Urine (not a trade name, unfortunately), and Delerium Treebeard (taste that chlorophyll!). Alex will never say where he obtained some of the rarer items on his shelves, but I knew for a fact he had contacts in other dimensions and realities, including a whole bunch of disreputable alchemists, tomb-robbers, and Time-travellers.\n\nI poured myself another glass of the wormwood brandy, and Suzie tossed aside her empty gin bottle and reached for another. Both our hands were steady, despite everything we'd been through earlier. A Springheel Jack meme had entered the Nightside through a Timeslip, sneaking in from an alternate Victorian England. The meme had spread unnaturally quickly, infecting and transforming the minds of everyone it came into contact with. Soon there were hundreds of Springheel Jacks, raging through the streets, cutting a bloody path through unsuspecting revellers. Every bounty hunter in the Nightside got the call, and I went along with Suzie, to keep her company.\n\nWe killed the Jacks as fast as they manifested, but the meme spread faster than we could stamp it out. Bounty hunters filled the Nightside streets with the sound of gunfire, and bodies piled up while blood ran thickly in the gutters. We couldn't save any of them. The meme had completely overwritten their personalities. In the end I had to use my gift to find the source of the infection, the Timeslip itself. I put in a call to the Temporal Engineers, they shut it down, and that was finally that. Except for all the bodies lying in the streets. The ones the Springheel Jacks killed, and the ones we killed. Sometimes you can't save everyone. Sometimes all you can do . . . is kill a whole bunch of people.\n\nBusiness as usual, in the Nightside.\n\nThere was a sudden drop in the noise level as someone new entered the bar. People actually stopped what they were doing to follow the progress of the new arrival as he strode majestically through the packed bar. In a place noted for its eccentrics, extreme characters, and downright lunatics, he still stood out.\n\nA tall and slender figure, with a gleaming black face and an air of aristocratic disdain, he wore a bright yellow frock coat over a powder-blue jerkin and green-and-white-striped trousers. Calfskin boots and white satin gloves completed the ensemble. He didn't look like he belonged in Strangefellows, but then, I would have been hard-pressed to name anywhere he might have looked at home. He stalked arrogantly through the speechless crowd, and they let him pass untouched, awed by the presence of so much fashion in one person. He was too weird even for us; an exotic butterfly in a dark place. And, of course, he was heading straight for my table.\n\nHe swayed to a halt right before me, looked down his nose at me, ignored Suzie completely, which is never wise, and struck a dramatic pose.\n\n\"I am Percy D'Arcy!\" he said. \" _The_ Percy D'Arcy!\" He looked at me as though that was supposed to mean something.\n\n\"Good for you,\" I said generously. \"It's not everyone who could bear up under a name like that, but you it suits. Now what do you want, Percy? I have some important drinking and brooding to be getting on with.\"\n\n\"But...I'm Percy D'Arcy! Really! You must have seen me in the glossies, and on the news shows. It isn't a fabulous occasion unless I'm there to grace it with my presence!\"\n\n\"You're not a celebrity, are you?\" I said cautiously. \"Only I should point out Suzie has a tendency to shoot celebrities on general principles. She says they have a tendency to get too loud.\"\n\nPercy actually curled his lip, and made a real production out of it, too. \"Please! A celebrity? Me? I . . . am a _personality_! Famous just for being me! I'm not some mere actor, or singer. I'm not functional; I'm decorative! I am a dashing man about town, a wastrel and a drone and proud of it. I add charm and glamour to any scene simply by being there!\"\n\n\"You're getting loud, Percy,\" I said warningly. \"What do you do, exactly?\"\n\n\"Do? I'm rich, dear fellow, I don't have to _do_ anything. I have made myself into a living work of art. It is enough that I exist, that people may adore me.\"\n\nSuzie made a low, growling noise. We both looked at her nervously.\n\n\"Your existence as a work of art could come to an abrupt end any moment now,\" I said. \"If you don't leave off fancying yourself long enough to explain what it is you want with me.\"\n\nPercy D'Arcy pouted, in a wounded sort of way, and pulled over a chair so he could sit down facing me. He gave the seat a good polish with a monogrammed silk handkerchief first, though. He shot Suzie an uncertain glance, then concentrated on me. I didn't blame him. Suzie gets mean when she's on her second bottle.\n\n\"I have need of your services, Mr. Taylor,\" Percy said stiffly, as though such directness was below him. \"I am told you find things. Secrets, hidden truths, and the like.\"\n\n\"Those are the kinds of things that usually need finding, yes,\" I said. \"What do you want me to find, Percy?\"\n\n\"It's not that simple.\" He looked round the bar, looking at everything except me while he gathered his courage. Then he turned back, took a deep breath, and made the plunge. It was a marvellous performance; you'd have paid good money to see it in the theatre. Percy fixed me with what he thought was a commanding gaze and leaned forward confidentially.\n\n\"Usually my whole existence is very simple, and I like it that way. I show up at all the right places and at all the right parties, mingle with my friends and my peers, dazzle everyone with my latest fashions and devastating bon mots, and thus ensure that the occasion will be covered by all the right media. I do so love to party, and make the scene, and generally brighten up this dull old world with my presence. There's a whole crowd of us, you see; known each other since we were so high, you know how it is . . . There isn't a club in the Nightside that doesn't benefit regularly from the sheer spectacle of our presence . . . But now it's all changed, Mr. Taylor! And it's not fair! How can I be expected to compete for my moment in the spotlight when all my friends are cheating? Cheating!\"\n\n\"How are they cheating?\" I said, honestly baffled.\n\nPercy leaned in very close, his voice a hoarse whisper. \"They're staying young and beautiful, while I'm not. I'm aging, and they're not. I mean; look at me. I've got a wrinkle!\"\n\nI couldn't actually see it, but I took his word for it. \"How long has this been going on?\" I said.\n\n\"Months! Almost a year now. Though I've had my suspicions . . . Look, I know these people. Have known them all my life. I know their faces like I know my own, down to the smallest detail. I can always tell when someone's had a little work done, around the eyes or under the chin . . . but this is different. They look _younger_ , untouched by time or the stresses of our particular life-style.\n\n\"It started last autumn, when some of them began patronising this new health club, the Guaranteed New You Parlour. Very expensive, very elite. Now all my friends go there, and every time they appear in public, they're the absolute peak, the very flower of beauty. Not a detail that isn't perfect, no matter how dissolute their private lives may be. I mean, people like us, Mr. Taylor, we live . . . extreme lives. We experience . . . everything. It's expected of us, so the rest of you can live the wild life vicariously, through us. Drink, drugs, debauchery, every night and twice on Saturday. It all gets just a bit tiring, actually. But anyway, as a result, we've all been in and out of those very discreet clinics that provide treatments for the kind of diseases you only get by being very social, or help in getting over the kind of good cheer that comes in bottles and powders and needles. We all need a little help to be beautiful all the time. A little something to help us soldier on to the next party. We all need damage repair, on a regular basis.\n\n\"But that's all stopped! They don't need the clinics any more, just this Parlour. And they all look like teenagers! It's not fair!\"\n\n\"Well,\" I said reasonably, \"If this Parlour is doing such a good job, why don't you go there, too?\"\n\n\"Because they won't have me!\" Percy slumped in his chair, and suddenly looked ten years older, as though he could only maintain his air of glamour through sheer effort of will these days. \"I have offered to pay anything they want. Double, even triple the going rate. I begged and pleaded, Mr. Taylor! And they turned me away, as though I were nobody. Me! Percy D'Arcy! And now my friends don't want me around any more. They say I don't . . . fit in.\n\n\"Please, Mr. Taylor, I need you to find out what's going on. Find out why the Parlour won't let me in. Find out what they're really doing behind those closed doors . . . and if they are cheating, shut them down! So I won't be left out any more.\"\n\n\"It's not really my usual kind of case,\" I said.\n\n\"I'll pay you half a million pounds.\"\n\n\"But clearly this is something that needs to be investigated. Leave it with me, Percy.\"\n\nHe stood up abruptly, pulling his dignity back about him. \"Here's my card. Please inform me when you know something.\" He tossed a very expensive piece of engraved paste-board on to the table before me, then stalked off back through the crowd with his head held high. A smattering of applause followed him. I picked up the card, tapped it thoughtfully against my chin a few times, and looked at Suzie.\n\n\"It's something to do,\" I said. \"You interested?\"\n\n\"I'll come along,\" said Suzie. \"Just to keep you company. Will I get to kill anybody?\"\n\n\"Probably not.\"\n\nSuzie shrugged. \"The things I do for love.\"\n\nIn the sane and normal world outside the Nightside, if you're getting older and starting to look your age, there's always cosmetic surgery and associated treatments. In the Nightside, the rich and the famous and the powerful have access to other options, some of them quite spectacularly nasty and extreme.\n\nThe Guaranteed New You Parlour was situated in Uptown, the very best part of the Nightside, offering only the very best services for the very best people. Suzie and I went there anyway. The rent-a-cops in their colourful private uniforms took one look at us and decided they were needed urgently somewhere else. The neon there was just as hot, but perhaps a little more restrained, and the clubs and restaurants and discreet establishments glowed in the night like burning jewels. And the lost souls filling the streets and squares were all pounding the pavements in search of a better class of damnation.\n\nIn Uptown, even the Devil wears a tie.\n\nThe Guaranteed New You Parlour occupied the site of what used to be a rather tacky place called The Cutting Edge, an S&M joint for people with a surgery fetish. It got closed down for cutting corners on the after-care services, and for being too damned tacky even for the Nightside. The new owner had pulled the old place down and started over, so the Parlour was a gleaming new edifice of steel and glass, style and class, with pale-veined marble for the entrance lobby. Someone had spent a lot of money pushing the place up-market, and it showed. But then, money attracts money.\n\nSuzie and I studied the Parlour from the other side of the street. Very rich people came and went, in stretch limousines and private ambulances, but though a great many old people went in, only young people came out. Which was . . . odd. There are ways of turning back the clock to be found in the Nightside, but the price nearly always involves your soul, or someone else's. And there are any number of places that will sell you false youth, but nothing that lasts. What did the Guaranteed New You Parlour have that no-one else could provide?\n\nI headed for the main door, Suzie right there at my side. Her steel chains jangled softly, and the butt of her pump-action shotgun stood up behind her head from its holster down her back. There were two very large gentlemen in well-fitting formal suits standing on either side of the door. Security, but discreet, so as not to frighten the nice ladies and gentlemen. They tensed visibly as they saw Suzie and me approaching but made no move to challenge us. We swept past them with our noses in the air and strolled into the lobby as though we were thinking of buying the place. We got various looks from various people, but no-one said anything. We walked right up to the huge state-of-the-art reception desk, and I smiled pleasantly at the coldly efficient young lady sitting behind it. She wore a simple white nurse's uniform with no markings on it, and her smile was completely professional while at the same time possessing not an ounce of any real warmth. She didn't bat an eye at my trench coat or Suzie's leathers. This was the Nightside, after all.\n\n\"Welcome to the Guaranteed New You Parlour, Mr. Taylor, Ms. Shooter,\" said the receptionist.\n\nI considered her thoughtfully. \"You know who we are?\"\n\n\"Of course. Everyone knows who you are.\"\n\nI nodded. She had a point. \"We're here about Suzie's face,\" I said.\n\nSuzie and I had already decided this was our best chance for getting a close look at the Parlour's inner workings. One side of Suzie's face had been terribly burned during an old case, leaving it a mess of scar tissue. Her left eye was gone, the eyelid sealed shut. It didn't affect her aim. The damage was my fault. She'd never have been hurt if she hadn't been helping me out. Suzie forgave me almost immediately. But I don't forgive me, and I never will.\n\nShe could have had her face healed or repaired in a dozen different ways. She chose not to. She believed a monster should look like a monster. I never pushed her on it. We monsters have to stick together.\n\nThe receptionist's smile didn't waver one bit. \"Of course, Mr. Taylor, Ms. Shooter. If you'll just fill out these forms for me . . .\"\n\n\"No,\" I said. \"We want to see what this place has to offer first.\"\n\nThe receptionist gathered her papers together again. \"One of our interns is on his way here, to give you a guided tour,\" she said, still professionally cheerful. If I smiled like that on a regular basis, my cheeks would ache. \"Ah, here he is. Dr. Dougan, this is . . .\"\n\n\"Oh, I know who you are, Mr. Taylor, Ms. Shooter,\" the intern said cheerfully. \"Doesn't everyone?\"\n\n\"Our reputation precedes us,\" I said dryly, shaking his proffered hand. He had a firm, manly grip. Of course. He offered his hand to Suzie, but she just looked at it, and he quickly pulled it back out of range and stuck it in his coat pocket as though he'd meant to do that all along. He wore the traditional white coat, along with the traditional stethoscope hanging loosely around his neck.\n\n\"Every medico in the Nightside knows about you two,\" he said, still cheerful. \"Most of us get our training in the emergency wards, patching up people who've come into contact with you.\"\n\nI looked at Suzie. \"If nothing else, it seems we provide employment.\"\n\nDr. Dougan babbled on for a while, telling us how marvellous the Parlour was, and how fantastic its new techniques were, while I looked him over. His coat was starched blindingly white and had clearly never seen a bloodstain in its life. And he was far too young and handsome for a real hands-on doctor, which meant he was a shill. He was just for show. He wouldn't know anything about the real inner workings of the Parlour. But we followed him through the rear doors into the show ward behind the lobby, because you've got to start somewhere. Dr. Dougan never stopped talking. He'd been given a script designed to sell the Parlour's services, he'd learned every word of it, and by God we were going to hear it.\n\nThe show ward turned out to be very impressive, and utterly artificial. Neat patients in neat beds, none of them suffering from anything unsightly or upsetting, attended to by very attractive young nurses in starched white uniforms. There were flowers everywhere, and even the antiseptic in the air had a trace of perfume in it. Lots of light, lots of space, and no-one in any pain at all. A complete dream of a hospital ward. We weren't actually allowed to talk to any of the patients or nurses, of course. The intern did his best to blind us with statistics about recovery rates, while I looked around for something, anything, out of place. The ward looked absolutely fine, but... something about it disturbed me.\n\nIt took me a while to realise that the whole ward was simply too normal for the Nightside. If this was all the rich and powerful patients wanted, they could get it in Harley Street. The clincher was that not one of the patients or the nurses so much as glanced at me, or Suzie. And that was very definitely not normal.\n\nDr. Dougan broke off from his speech when the doors burst open behind us and half a dozen security men moved quickly forward to surround us. Large men, with large bulges under their jackets where their guns were holstered. Suzie looked at them thoughtfully.\n\n\"We're not here to make any trouble,\" I said quickly. \"We're just looking.\"\n\n\"Visiting hours are over,\" said the largest of the security men. \"Your presence is disturbing the patients.\"\n\n\"Yeah,\" I said. \"They do look disturbed, don't they? We'll come back another day, when they're feeling more talkative.\"\n\nHe didn't smile. \"I don't think that would be wise, Mr. Taylor.\"\n\n\"Is he giving us the bum's rush, John?\" said Suzie. Her voice was calm and lazy and very dangerous. The security men held themselves very still.\n\n\"I'm sure the nice gentleman didn't mean anything of the kind,\" I said carefully. \"Let's go, Suzie.\"\n\nSuzie fixed the man with her cold blue eye. \"He has to say _please_ , first.\"\n\nYou could feel the tension on the air. Everyone's hands were only an impulse away from their guns. Suzie was smiling, just a little. The main security man gave her his full attention.\n\n\"Please,\" he said.\n\n\"Let's get out of this dump,\" said Suzie.\n\nThe security men escorted us out, maintaining a respectful distance at all times. I was impressed at their professionalism. I'd known Suzie to reduce grown thugs to tears with only a look. Which begged the question\u2014why would a supposedly straightforward operation like the Guaranteed New You Parlour need heavy-duty security like them? What kind of secret were they hiding, that needed this level of protection?\n\nI couldn't wait to find out.\n\nWe gave it a few hours before we went back again. Long enough to make them think we were thinking it over and still planning our next move. We killed the time at a pleasant little tea-shop nearby, where I enjoyed a nice cup of Earl Grey while Suzie wolfed down a whole plate of tea-cakes, and amused herself by practising her menacing glare on the trembling uniformed maids and the steadily decreasing number of fellow customers. The place was pretty much empty by the time we left, and the maids were refusing to come out of the kitchen. I left a generous tip.\n\n\"Can't take you anywhere,\" I said to Suzie.\n\n\"You love it,\" said Suzie.\n\nWhen we returned to the Guaranteed New You Parlour, the whole place had been locked down tight. Doors were firmly closed, windows were covered with reinforced steel shutters, and a dozen security men were making themselves very visible, politely informing anyone who approached the Parlour that it was currently closed to all visitors and new patients. Some very rich and famous people wanted to get inside very badly, but for once, shouting, bribes, and temper tantrums got them nowhere. The Parlour was closed. I felt quite flattered that I'd made such an impression. Though to be honest, a lot of it was probably due to Suzie. Quite a few places close early when they see her coming, which is why I usually end up doing the shopping.\n\nThe security men looked like they knew what they were doing, so Suzie and I wandered casually round the side of the building. Not to the back. That's an amateur's mistake. Any security force worth its wages knows enough to guard the back doors as closely as the front. But there's nearly always a side entrance, used by staff and maintenance, that most people don't even know exists or think to mention. There were still a few oversized gentlemen keeping an eye on things, but they were so widely spaced it was easy to sneak past them.\n\nThe side door was right where I expected it to be. Suzie dealt with the lock in a few seconds, and as easily as that, we were in. (Getting past locked doors is just one of the many skills necessary to the modern bounty hunter. Though it does help if you've got a set of skeleton keys made from real human bones. Personally, I've always attributed Suzie's skills with locks to the fact that they're as scared of her as everyone else is.) We found ourselves in a narrow corridor, whitely tiled and brightly lit, with not a shadow to hide in anywhere. There was no-one about, for the moment. Suzie and I moved quickly down the corridor, trying doors at random along the way, to see what there was to see. A few store-rooms, a few offices, and a toilet that could have used a few more air fresheners. It all seemed normal and innocuous enough.\n\nA set of swing doors let us into the main building. The lights were bright, every surface had been polished and waxed to within an inch of its life, but still there was no-one about. It was as though the whole place had been evacuated in a hurry. The silence was absolute, not even the hum of an air-conditioner. I looked at Suzie. She shrugged. I'd seen that shrug before. It meant _You're the brains; I'm the muscle. Get on with it._ So I chose a corridor at random and started down it. Several corridors later, we still hadn't encountered anyone, not even a guard doing his rounds. Surely they couldn't have shut the whole place down just because Suzie and I had expressed an interest? Unless . . . there never had been anything going on there, and the whole place was only a front for something else . . .\n\nI was starting to get a really bad feeling about this. When hospitals go bad, they go really bad.\n\nIt didn't take long to find the ward we'd been shown earlier. It was as still and silent as everywhere else. I quietly pushed the door open, and Suzie and I slipped inside. The lights had been turned down low, and the patients were shadowy shapes in their beds. There were half a dozen nurses, but they were all standing very still, in the central aisle between the two rows of beds. They didn't move a muscle as Suzie and I slowly advanced on them.\n\nIt was so quiet I could hear Suzie's steady breathing beside me.\n\nUp close, the nurses seemed more like mannequins than people. Their faces were utterly empty, they didn't breathe, and their fixed eyes didn't blink. Suzie produced a penlight and briefly shined it in a nurse's face, but the eyes didn't react at all. Suzie put the light away, then punched the nurse in the shoulder; but she only rocked slightly on her feet. We checked the beds. The patients lay flat on their backs, staring sightlessly upwards. They weren't dead. It was more like they'd never really been alive. A show ward, with show nurses and show patients, not a bit of it real. I murmured as much to Suzie, and she nodded quickly.\n\n\"Window dressing. But if this is just a show for the visitors, where's the real deal? Where are the real wards and the real patients? Percy D'Arcy's celebrity chums?\"\n\n\"Not here,\" I said. \"I think we need to dip below the surface, see what's underneath all this.\"\n\n\"Underneath,\" said Suzie. \"The real deal's always going on underneath, in the Nightside.\"\n\nWe made our way quickly through the ward, heading for the far doors. I kept expecting the nurses and patients to come suddenly alive, and raise the alarm, or even attack us. Instead, the nurses stood very still, and the patients lay unmoving in their beds, like toys that weren't currently being played with. A horrible suspicion came over me, that perhaps the whole world was like this, whenever I turned my back . . . By the time we got to the far doors, I was practically running.\n\nWe found a stairwell easily enough and descended a set of rough concrete steps to the next level. There were no signs on the walls, nothing to indicate where the stairs might lead. Clearly either you knew where you were going, or you weren't supposed to be there. The air was very still, and there wasn't a sound to be heard except for our feet on the rough concrete. The steps fell away before us for quite a while, taking us deep down into the bedrock under the streets. At the bottom of the steps we found another set of swing doors, perfectly ordinary, with no lock or alarm. Suzie and I pushed cautiously through them, and found ourselves in an entirely different kind of ward.\n\nIt was huge, with rows and rows of beds stretching away into the distance. And in these beds were hundreds and hundreds of very real patients served by more high-tech medical equipment than I'd ever seen in one place. Suzie and I moved slowly forward. There were no doctors, no nurses, just naked men and women lying flat on their backs, hooked up to intravenous drips, and respirators, and heart and lung and kidney monitors. Breathing tubes and catheters and more than one set of heavy leather restraints . . .\n\nI found my first clue in the nurse's cubicle. There was a large book lying open on a table, next to a row of monitor screens. The old-fashioned printed pages were written in English, French, and Creole, and I understood enough of it to know what it was about. Voodoo. The gods of the loa, their powers and practices, and all the things you could do with their help.\n\n\"Look at this,\" said Suzie. She'd found a printout listing all the patients in the ward. No details, no instructions, only basic identities. Suzie and I flicked through the pages, and a whole bunch of familiar names jumped out at us. Not just Percy's friends, the beautiful people from the colour supplements; but the rich and the powerful, the real movers and shakers of the Nightside. I went back into the ward, moving quickly down the rows of beds, staring into faces. I recognised quite a few, but none of them recognised me. Even with their eyes open, they saw nothing, nothing at all.\n\nAt least they were breathing . . .\n\nThe next big clue was that they all looked so much older than they should\u2014all wrinkled faces, sagging flesh, and shrivelled limbs. I'd seen many of them recently, and they'd all looked in their prime, as usual. Now their faces and bodies showed the clear ravages of time and much hard living, along with any number of destructive antisocial diseases. There were also clear signs of elective surgery, some of it quite extensive, on faces and body parts. Some of the patients were so heavily wrapped in blood-stained bandages they were practically mummified. It was like touring a hospital in a war zone, and many of the patients looked like they'd been through hell. Some were clearly barely hanging on, only kept alive by invasive medical technology.\n\nIt took me a while to get it. A very new twist on a very old practice. The voodoo book was the key. These patients on their beds of pain weren't the real rich and famous faces of the Nightside; they were living duplicates. The techniques in the book had been used to turn them into the equivalent of voodoo dolls, but in reverse. Instead of whatever happening to the doll happening to the victim, what happened to the original happened to the duplicate. Like Dorian Gray's painting, these poor bastards soaked up the excesses of the real people's lives, so they could go on being young and beautiful and untouched . . . The patients aged and suffered and underwent the elective surgeries, while the rich and powerful reaped all the benefits.\n\nNo wonder poor Percy D'Arcy couldn't compete.\n\nI ran it through for Suzie, and she wrinkled her nose. \"Now that...is tacky. Where are they getting all these duplicates from? I mean, they'd have to be exact doubles for this to work.\"\n\n\"Any number of options,\" I said. \"Clones, homunculi, doppelg\u00e4ngers . . . It doesn't matter. The point is, I very much doubt any of these people are here by choice. The heavy restraints are a bit of a give-away there. This isn't a hospital ward; it's a torture chamber.\"\n\nIn the end, we found the answer behind a very ordinary-looking door. The sophisticated electronic lock aroused our suspicions, and Suzie opened it easily with her skeleton keys. (Magic still trumps science, usually by two falls and a submission.) She pulled the door open, and we both stepped quickly back. There was nothing behind the door. Lots and lots of nothing. Space that wasn't space, filled with squirming, shimmering lights you could only see with your mind, or your soul. There was a terrible appeal to it, an attraction, that made you want to throw yourself into it and fall forever . . . I carefully pushed the door shut again.\n\n\"A Timeslip,\" I said. \"Someone's stabilised a Timeslip and held it in neutral; a ready-made door into another reality.\" That would take time and serious money. Timeslips are inherently unstable. The universe is self-correcting, and it hates anomalies. \"The only people I know to have worked successfully with Timeslips are Mammon Emporium, that mall that specialises in providing goods and services from alternate time-lines. And they've never shared that knowledge with anyone.\"\n\n\"Could they be behind this?\" said Suzie.\n\n\"No. I don't think so. They've already made themselves rich beyond the dreams of tax accountants by legitimate means. Why risk all that, for this? Still, at least now we know where the duplicates come from. Whoever owns this place goes fishing in some other world, for that place's equivalent of our important people. Exact physical duplicates . . . forcibly abducted and brought here, to suffer every conceivable illness, surgery, and self-inflicted injury, so their other selves don't have to and can remain young and pretty forever . . .\"\n\nWe both looked round sharply. Someone was coming. A lot of people were coming. Suzie and I moved quickly to stand shoulder to shoulder, facing the main doors. There was something odd about the sound, though; the pounding feet sounded muffled, flat . . . And it took me a moment to realise that the sound was approaching from below, not above. Coming up the stairs, from some further, lower level. The main doors finally burst open, and a small army of heavily armed nurses stormed into the ward in perfect lock-step. Suzie and I stood very still. The guns were no surprise, but the nature of the nurses was.\n\nThey weren't alive. They were constructs, their bodies made entirely from bamboo woven and twisted into a human form. Their faces were blank bamboo ovals with neither mouths nor eyes, but every one of them orientated on Suzie and me. They all wore the same starched white nurse's uniform, right down to the little white cap on the backs of their bamboo heads. Not living, not even aware, as such, but quite capable of following orders. And their guns were real enough. The nurses scurried forward with inhuman speed, their bamboo feet scuffing across the floor, spreading out into a perfect semicircle to cover us. Suzie swept her shotgun back and forth, looking for a useful target, knowing she was outnumbered and outgunned, but refusing to be intimidated. I _was_ intimidated, but I made a point of striking a defiantly casual pose, while waiting for the puppet master to show himself.\n\nWhoever ran the nurses wouldn't miss an opportunity to gloat over the capture of two such famous faces as Suzie Shooter and John Taylor. If he'd been sensible, he'd have had the nurses shoot on sight, but the bigger the ego, the bigger the need to show off.\n\nAnd sure enough, the crowd of bamboo nurses suddenly broke apart, silently opening a central aisle for their lord and master to make his entrance. Surprisingly, it was no-one I knew. Not one of the Major Players, not even one of the more ambitious up-and-comers. The man striding quite casually through his army of bamboo nurses was entirely unknown to me, and that doesn't happen often in the Nightside.\n\nHe was tall, well made, well dressed, in a rich cream suit; the kind usually favoured by remittance men banished by their families to hot and far-away places. At first I thought he was a young man, but the closer he got the more the little tell-tale details gave him away. The skin of his face was too tight, too taut, and his eyes were very old. Old and cold. His smile was a dead, mirthless thing, meant to frighten. This was a man who had seen the world, found it wanting, and taken his revenge. His movements had the surety and control that only comes from age and experience, and he walked like a wolf in a world of sheep. He had large, powerful hands, with long, slender fingers\u2014surgeons' hands. And for all his grace, there was no mistaking the sheer brute power of his wide shoulders and barrel chest. He finally came to a halt, a respectful distance away, nodded to me and smiled at Suzie, ignoring the shotgun she was levelling on his chest.\n\n\"The famous John Taylor and the infamous Shotgun Suzie,\" he said, in a rich, deep voice with just a hint of an unfamiliar accent. \"Well. I am honoured. I should have known that if anyone would find me out, it would be you.\" He laughed briefly, as though at some private joke. \"Allow me to introduce myself. I am Frankenstein. Baron Viktor von Frankenstein.\"\n\nHe said it as though expecting a flash of lightning and a roll of thunder in the background. I didn't quite laugh in his face.\n\n\"That's a not uncommon name in the Nightside,\" I said. \"The place is lousy with Frankensteins. I don't know how many nephews and nieces and grandsons I've run into down the years, along with any number of your family's monstrous creations. You'd think practice would make perfect, but I've yet to see any proof of that. They're nearly always complete fuck-ups. What is it with you and your family, and grave-yards, anyway? I'm sure it was all very cutting-edge, back at the dawn of medical science, messing about with body parts and batteries and cosmic radiation, but the rest of us have moved on. Science has moved on. You people should have gone into transplants and cloning, like everyone else. So you're another Frankenstein. What relation, exactly?\"\n\n\"The original,\" said the Baron. \"The first... to bring life out of death. To take dead meat and make it sit up and talk.\"\n\n\"Damn,\" said Suzie. \"Colour me impressed.\"\n\n\"Doesn't that make you over two hundred years old?\" I said.\n\nThe Baron smiled. There was no humour in it, and less warmth. \"You can't spend as long as I have studying life and death in intimate detail and not pick up a few tips on survival.\" He looked around him at the rows of patients suffering silently in their beds and smiled again. \"My latest venture. I know\u2014voodoo superstitions and medical science aren't natural partners, but I have learned to make use of anything and everything that can assist me in my researches. Like these bamboo figures. Pretty little things, aren't they? And a lot more obedient than the traditional hunchback.\"\n\n\"I should have known a Frankenstein was involved when I saw this,\" I said. \"Your family's always been drawn to the dark side of surgery.\"\n\n\"Oh, this isn't my real research,\" said the Baron. \"Only a little something I set up to fund my real work. The creation of life from the tragedy of death. The prolongation of life, so that death shall have no triumph. What I do, I do for all Mankind.\"\n\n\"Except for the poor bastards strapped to those beds,\" I said. A thought came to me. \"You're not from around here, are you? You came from the same reality as these people. That's why I never encountered you before.\"\n\n\"Exactly,\" said the Baron. \"I came through a Timeslip.\"\n\n\"Why?\" said Suzie. \"Another mob with blazing torches? Another creature that turned on you?\"\n\n\"I'd done all I could there,\" said the Baron, entirely unmoved by the disdain in Suzie's voice. \"I found the Timeslip, and I came here, to the Nightside. Such a marvellous locality, free from all the usual hypocrisies and restraints.\"\n\n\"How did you stabilise the Timeslip?\" I asked, genuinely interested.\n\n\"I inherited it. Apparently Mammon Emporium had their first premises here. They took their Timeslips with them when they moved to a bigger location . . . but they left one behind. Of such simple accidents are great things born. I shall do great work here. I can feel it.\" He wasn't boasting, or trying to convince himself. He believed it utterly, convinced of his own genius and inevitable triumph. He looked at me dispassionately. \"May I enquire...what brought you here, Mr. Taylor?\"\n\n\"One of your clients was very upset when you turned him away,\" I said. \"Never underestimate the fury of professionally pretty people.\"\n\n\"Ah yes . . . Percy D'Arcy. He offered me a fortune, but I couldn't take it. There was nothing I could do for him, because in the other dimension he was already dead. Percy . . . another loose end that will have to be attended to. Fortunately, I have two very reliable people in charge of my security. I brought them with me, from my home dimension.\"\n\nHe snapped his fingers, and as though they'd been waiting just out of sight for his signal, a man and a woman came through the doors and strode lightly between the ranks of bamboo nurses to stand on either side of the Baron. The man was tall and blond, and wore black leather motorcycle leathers with two bandoliers of bullets crossing over his chest. The pump-action shotgun in his hands covered me steadily. The woman . . . was tall, dark-haired, and wore a long white trench coat. She grinned at me mockingly.\n\n\"Allow me to present Stephen Shooter and Joan Taylor,\" said the Baron, savouring the moment. \"Where we come from, their legend is as extensive as yours, though perhaps in a more unsavoury fashion. Their destiny led them down different, darker paths. I've always found them very useful.\" He looked me over, taking his time, then studied Suzie just as carefully. \"I would have enjoyed working with you. Opening you up, studying your details, seeing what I could have made of you. Surgery is an art, and I could have worked such miracles in your flesh, with my scalpels . . . But now that you have found me out, others are bound to follow. This operation must be shut down, and I must move on.\" He sighed. \"The story of my life, really.\"\n\nHe gestured abruptly, and the bamboo nurses surged forward inhumanly quickly. They snatched the shotgun out of Suzie's hand and punched and kicked her to the ground. I went to help her, and they clubbed me down with their gun butts. It all happened so quickly. They gathered around us, beating at us with their gun butts, over and over again. I tried to get to Suzie, to shield her, but I couldn't even do that. In the end, all I could do was curl into a ball and take it.\n\n\"Enough,\" the Baron said finally, and the nurses fell back immediately. I was a mass of pain, aching everywhere, blood soaking and dripping from my face, but it didn't feel like anything important was broken. I looked across at Suzie. She was lying very still. I did, too. Let them think they'd beaten the fight out of us. I concentrated on breathing steadily, nursing my rage and hate, trying to find some part of me that didn't hurt like hell.\n\n\"Stephen, Joan, take care of these two,\" said the Baron. \"Be as creative as you like, as long as the effects are permanent. When you're finished, come down to me. I have more work for you.\"\n\nHe turned unhurriedly and walked away. The whole army of bamboo nurses spun on their bamboo heels and stomped out after him. Still in perfect lock-step, the bitches. I sat up slowly, trying not to groan out loud as every new movement sent pain shooting through me. I hate being ganged up on\u2014it's so undignified. There's no way you can look good afterwards. Suzie sat up abruptly, and spat a mouthful of dark red blood on to the floor. Then she looked round for her shotgun, and glared at the male version of herself as he waggled the gun mockingly at her.\n\n\"Mine! Finders keepers, losers get buried in unmarked graves.\"\n\nThe female version of me smirked, both hands thrust deep in her trench coat's pockets. I really hoped I didn't look like that when I smiled. She leaned forward a little, so she could stare right into my bloodied face.\n\n\"Wow. That had to hurt. But that's what happens when you choose the wrong side.\"\n\nI ignored her, climbing slowly and painfully to my feet. Suzie got up on her own. I knew better than to offer to help. We stood together, shoulder to shoulder, more than little unsteady, and considered our counterparts. Stephen Shooter had all the menace of Suzie, but none of her dark glamour. Where she was disturbingly straightforward and driven, he gave every indication of being crude and brutal. Gun for hire, no morals and less subtlety. My Suzie could think rings round him, even as she was blowing his head off his shoulders.\n\nHe still had a whole face, untouched by scar tissue. He hadn't endured what she'd been through.\n\nJoan Taylor looked far more dangerous. Simply standing there, with no obvious weapons, she looked entirely calm and confident. I hadn't realised how disconcerting that could be. It was strange, looking into her face and seeing so many similarities. I could see myself in her. Her gaze was cool and mocking, her smile an open insult. _Take your best shot,_ everything about her seemed to be saying. _We both know it's not going to be good enough._\n\n\"So,\" I said, making sure the words came out clear and casual, despite my smashed mouth. \"My evil twin. I suppose it had to happen, eventually.\"\n\n\"Hardly,\" Joan said easily. \"You and I are the perfect example of the only child. Self-sufficient, self-taught, a legend in our own lifetime by our own efforts. Was your mother . . . ?\"\n\n\"Yes. Did you . . . ?\"\n\n\"Yes.\" Her smiled widened. \"And I made her beg before I killed her.\"\n\nI smiled. \"We're not even remotely alike. My partner is a professional. Yours is a psychopath.\"\n\n\"Perhaps,\" said Joan. \"But he's my psychopath.\"\n\nStephen Shooter giggled suddenly. A brief, disturbing sound. \"It's true, it's true. I do enjoy my work. That's why I'm so good at it. Practice makes perfect.\"\n\n\"You talk too much,\" said Suzie.\n\n\"How did the two of you end up here?\" I said, before things could get out of hand. I needed to keep Joan talking, buy myself some time, because I was counting on there being one major difference between us and them.\n\n\"We made the old home-town a touch too hot for us,\" Joan said coyly. \"We'd spent years together as soldiers for hire, professional trouble-shooters, whatever euphemism floats your boat, but we made the mistake of taking out a very well-connected functionary called Walker. It was all his fault. Stupid old man, thinking he could tell us who we could and couldn't kill. We'd have done him for the fun of it, but luckily he had an awful lot of enemies . . . Stephen blew him in half with his shotgun, and we laughed about it all the way home. But it turned out Walker also had friends, rich and powerful friends, and, just like that, no-one loved us any more. So when the Baron very kindly offered us a regular gig and a guaranteed new start . . .\"\n\n\"We killed a whole bunch of people, settled some old scores, burned down half the town, and escaped here before anyone knew we were gone,\" said Stephen. He was grinning, a loose, crafty smile with far too many teeth in it.\n\n\"We've been here for ages,\" said Joan Taylor. \"Doing all sorts of things you wouldn't approve of. You'll probably take the blame for a lot of them. Everyone knows about you, but no-one knows about us. Though I can't say I believe half the things they say about you.\"\n\n\"Goody Goody Two-shoes,\" said Stephen.\n\n\"Any chance we can make a deal?\" I said.\n\nJoan raised an eyebrow. \"Would you?\"\n\n\"No,\" I said. \"Your very existence offends me.\"\n\nI lunged forward and punched her right in the face. She fell backwards, sprawling awkwardly on the floor. She hadn't even had the time to take her hands out of her pockets. I looked round, and Suzie had already taken her shotgun away from Shooter and back-elbowed him in the throat. I grinned. Sometime back, Suzie and I had both received werewolf blood, diluted enough that we were in no danger of turning were, but still potent enough that we healed really quickly. My aches were already fading away. I looked down at Joan Taylor and smiled as she scrambled angrily back on to her feet.\n\nWe stood facing each other, hands clenched into fists at our sides as we concentrated, both of us calling on our gifts. I opened my inner eye, my third eye, and studied her coldly, searching for some gap in her defences, something I could use against her. I could feel her doing the same thing. Strange energies flickered on and off in the air between us, a tension of unseen forces building and building until they had to explode somewhere. My gift versus hers. It was like arm-wrestling with invisible, intangible arms.\n\nI was vaguely aware of all hell breaking loose in the hospital ward, as Suzie and Stephen went head to head. Shotgun blasts were going off all over the place, accompanied by the roar of grenades. Beds overturned, and patients were thrown out, disconnected from their supporting tech. Dark smoke drifted across the ward as equipment caught fire.\n\nI couldn't let this go on. We were too evenly matched with our duplicates, and too many innocents were getting hurt. So I found a slippery patch under Joan's left foot, let her stumble and lose her concentration for a moment, then I yelled to Suzie.\n\n\"Hey, Suzie! Switch partners and dance!\"\n\nShe grasped the idea immediately and turned her shotgun on Joan Taylor. And while Stephen Shooter hesitated, I used my gift to find the one pin that wasn't secure in his grenades. It popped out, Stephen glanced down, and there was a swift series of explosions, as the one grenade set off all the others. Small parts of Stephen Shooter went flying all over the hospital ward in a soft, pattering, crimson rain. Behind me there was the single blast of a shotgun, and when I looked round Joan Taylor was lying flat on her back, without a head. She probably wasted time trying to find a way to stop Suzie, the fool. No-one stops Suzie Shooter.\n\n\"They were good,\" I said. \"But they weren't us. They hadn't been hardened and refined by life in the Nightside.\"\n\n\"They weren't us,\" Suzie agreed. She came over to me and looked closely at my face. \"You took a hell of a beating.\"\n\n\"So did you. Thank the good Lord for werewolf blood.\"\n\n\"But you still tried to get to me, to protect me. I saw you. I didn't even think to do that for you. You've always been better than me, John.\"\n\n\"Forgive me?\" I said.\n\nShe smiled briefly. \"Well, just this once.\" She looked at Joan's headless body. \"I've never cared for cheap knock-offs.\"\n\n\"Our dark sides,\" I said.\n\n\"Well, darker,\" said Suzie.\n\nI considered the point. \"Do you suppose . . . there might be better versions of us, somewhere? In some other world? More saintly selves?\"\n\n\"You're creeping me out now,\" said Suzie. \"Let's go find the Baron and shut him down.\"\n\n\"First things first,\" I said. \"I've had enough of this place. No more suffering innocents. Not on my watch.\"\n\nI raised my gift again, and studied the whole ward through my inner eye, until I could See the connection the Baron had forged with his science and his voodoo, between the patients in their beds and their more fortunate duplicates in the Nightside. A whole series of shimmering silver chains, rising from every patient and plunging through the ceiling. And having found them, it was the easiest thing in the world for me to break the weakest of the chains, with the slightest mental touch. Pushed out of its awful balance, the whole system collapsed, the shimmering chains snapping out of existence in a moment. The patients in their beds cried out with a single great voice, as all the traces of age and surgery and hard living disappeared; and, just like that, they were young and perfect again. They didn't wake up, which was probably as well. Let Walker send some people down to help them, and hopefully get them home again.\n\nSuzie and I had other business.\n\nI considered what must be happening, in all the best clubs and bars and parlours in the Nightside above, as rich and powerful faces were suddenly struck down with years, and the many results of debauchery and surgical choices. I visualised them screaming in pain and shock and horror as they all finally assumed their real faces. What better revenge could there be?\n\n\"You're smiling that smile again,\" said Suzie. \"That _I've just done something really nasty and utterly justified and no-one's ever going to be able to pin it on me_ smile.\"\n\n\"How well you know me,\" I said. \"Now, where were we? Ah yes\u2014the Baron.\"\n\n\"Bad man,\" said Suzie Shooter. She worked the action on her shotgun. \"I will make a wicker man out of his nurses and burn him alive.\"\n\n\"I love the way you think,\" I said.\n\nWe found another door that opened on to another stairwell, leading down into hell. We crept quietly down the bare concrete steps. The Baron had to have heard the fire-fight above him; but he had no way of knowing who'd won. Suzie led the way, shotgun at the ready, and I struggled to maintain my gift, searching the descent below us with my inner eye for hidden traps or alarms. But the stairwell remained still and quiet, and there wasn't even a glimpse of a bamboo nurse.\n\nThe smell hit me first. A thick stench of spilled blood and spoiled meat, of foul things done in a foul place. It grew stronger as we descended the last few steps and found ourselves facing a simple wooden door. The air was hot and sweaty, almost oily on my bare skin. It was the heat of opened bodies in a cold room, the pulsing warmth of inner things exposed to the light. _Frankenstein_ . . . I pushed quietly past Suzie, and tried the handle. It wasn't locked. I went inside, and Suzie was right there with me, silent as an avenging ghost.\n\nWe were in a great stone chamber, carved out of the very bedrock itself. Rough pitted walls and ceiling, and an uneven floor partly covered with blood-stained matting. Naked light bulbs hung down on long, rusting chains, filling the chamber with harsh and unforgiving illumination. There were shadows, but not nearly enough to hide what had been done in this place. Trestle tables had been set up in long rows, and each of them bore a human body, or bits of bodies. Men and women had been opened up, and the parts dissected. White ribs gleamed in dark red meat. Piles of entrails steamed in the cool air. Heavy leather restraining straps held the bodies to the tables. They had been alive when the cutting began.\n\nThe Baron had gone back to his old surgical experiments. Frankenstein, the living god of the scalpel.\n\nHe was standing at the far end of the room, wearing a blood-spattered butcher's apron over his cream suit, half-bent over the body on the table before him. It had been a young woman, though it was hard to tell that now. The Baron looked up at me, startled, his scalpel raised, dripping blood. We'd interrupted him at his work.\n\n\"Get out,\" he said. \"You can't be here. I'm doing important work here.\"\n\n\"This isn't a surgery,\" I said. \"It's a slaughter-house.\"\n\nHe straightened up, and, with almost prissy precision, put his scalpel down beside the woman's body. \"No,\" he said calmly. \"A slaughter-house is a place of death. This is a salon dedicated to life. Look beyond the obvious, Mr. Taylor. I am working to frustrate death, to cheat him of his victims. I take dead flesh and make it live again, all through my own efforts. You have no idea of the wonders and glories I've seen inside people.\"\n\nHe came out from behind the table to face Suzie and me, wiping the blood from his bare hands with a bit of rag. \"Try to understand and appreciate what I'm doing here. I have gone far beyond merely duplicating nature. Now I seek to improve on her work. I use only the most perfect organs, reshaped and improved by surgical skills perfected over centuries. I . . . simplify things, removing all unnecessary details. And from these perfect parts I have built something new\u2014a living creature completely in balance with itself. I see no reason why it should not live forever, and know lifetimes. It took me so long to understand . . . the key was to work not with corpses, but with the living! To harvest them for what I needed\u2014the most fresh and vital tissues!\"\n\n\"How many?\" I said, cutting him off roughly. There was something almost hypnotic in the brute certainty of his voice.\n\n\"I don't understand,\" he said. \"How many what?\"\n\n\"How many victims, you bastard! How many good men and women died at your hands, to make your perfect bloody creature?\"\n\nHe actually looked a little sulky, angry that I hadn't got the point, even after he'd explained it all so carefully.\n\n\"I really don't know, Mr. Taylor. I don't keep count. Why should I? It's the parts that matter. It isn't as if they were anyone important. Anyone who mattered. People go missing all the time in the Nightside, and no-one ever cares.\"\n\n\"He does,\" said Suzie, unexpectedly. \"Part of why I love him. He cares enough for both of us.\"\n\nThe Baron looked at her uncertainly, then turned his attention back to me. \"Progress always has a price, Mr. Taylor. Nothing is ever gained without sacrifice. And I sacrificed them.\" He gestured at all the bodies on all the tables, and smiled briefly. \"I do so love an audience. A failing, I admit, this need to explain and justify myself... But I think I've rattled on quite long enough. Am I to understand that Joan Taylor and Stephen Shooter will not be joining us?\"\n\n\"No,\" said Suzie. \"They rest in pieces.\"\n\nThe Baron shrugged. \"It doesn't matter. I still have my nurses.\"\n\nHe snapped his fingers, and a whole army of bamboo nurses appeared out of the bare stone walls, snapping into existence, to fill the space between us and the Baron. They surged forward, bamboo hands reaching out to Suzie and to me, but this time I was prepared. I'd been waiting for them. I took the salamander egg from my coat pocket, crushed it in my hand, and threw it into their midst. The egg exploded into flames, and a dozen nurses immediately caught fire. Yellow flames leapt up, jumping from nurse to nurse as the bamboo figures lurched back and forth, spreading the flames with their flailing arms. In a few moments the cellar was full of juddering, burning figures, a hellish light dancing across the bare stone walls. Suzie and I were back by the door, ready to make our escape if necessary, but the Baron was trapped with his back against the far wall. He watched helplessly as the nurses crashed into his trestle tables, overturning them and setting them on fire, too. And in the end he had no choice but to shout the command Word that shut them all down. The figures crashed to the floor and lay there, still burning. The sound of crackling flames was very loud in the quiet.\n\nSuzie and I moved forward into the cellar again, stepping carefully around blackened bamboo shapes. The Baron studied me thoughtfully. He didn't look nearly as worried as I'd thought he would. He had the air of someone who still had a card left to play.\n\n\"Wait,\" he said. \"I'm sure we can reason together.\"\n\n\"I'm pretty sure we can't,\" said Suzie.\n\n\"You must meet my latest creation,\" said the Baron. \"See the results of my work. Creature, stand! Show yourself!\"\n\nAnd from a dark, concealing shadow in one corner, something stirred and stood up. It had been sitting quietly on a chair all this time, so inhumanly inert it went unnoticed. Suzie moved quickly to cover the figure with her shotgun as it moved forward into the light. It was beautiful. Tall and perfect, utterly naked, it stood head and shoulders above us all, perfectly proportioned, no scars or visible stitches anywhere, thanks to modern surgical techniques. It had strong androgynous features, and it moved with a sublime and perfect grace.\n\nI hated it on sight. There was something . . . _wrong_ about it. Perhaps simply because it didn't move like anything human, because its face held no trace of human thoughts or human emotions. I felt the same way looking at the creature as I did when surprised by a spider. An instinctive impulse to strike out, at something with which I could never have any empathy.\n\n\"Isn't it marvellous?\" said the Baron von Frankenstein, moving forward to place one large and possessive hand on the creature's bare shoulder. \"Hermaphroditic, of course. Self-repairing, self-fertilising, potentially immortal.\"\n\nNo breasts and no obvious genitals, but I took his word for it. \"Whose brain did you use this time?\" I said finally.\n\n\"My own,\" said the Baron. \"Or at least, all my memories, downloaded into a brain wiped clean of its original patterns. Computers have made such a difference to my work. You see, Mr. Taylor? Even if you kill me here, my work goes on. I go on, in every way that matters.\"\n\nHe patted his creature fondly on the shoulder. It turned its perfect head and regarded him thoughtfully, turned and placed its perfect hands on the Baron's face, and ripped the Baron's head right off his shoulders. The body fell jerking and kicking to the floor, the neck stump pumping blood, while the creature held the Baron's slack face up before its own. The Baron's eyes were still moving, and his mouth worked, though no sound came out.\n\n\"Now that I exist, you are redundant,\" said the creature, to the Baron's dying eyes. Its voice was like music; horrible music\u2014with nothing human in it. \"I have all your knowledge, all your techniques, so what use are you? Yes, you made me. I know. Did you think I'd be grateful?\"\n\n\"I can't believe he didn't see that one coming,\" said Suzie.\n\nThe creature looked into the Baron von Frankenstein's eyes, satisfied itself that its creator no longer saw anything, and tossed the head aside. Then it turned slowly, thoughtfully, to consider Suzie and me.\n\n\"Nice operation the Baron had here,\" said the creature. \"Think I'll take it over.\"\n\nI shook my head. \"Not going to happen.\"\n\n\"You can't stop me,\" said the creature.\n\nSuzie shot it in the chest at point-blank range. The blast blew half its chest away, and the impact sent the creature staggering backwards. But it didn't fall, and when it regained its balance the huge wound was already repairing itself. The creature's mouth moved in something that would have been a smile on anything human.\n\n\"My creator made me very well. The best work I ever did.\"\n\nI raised my gift, searching for the link that held all the creature's separate parts and pieces together, but there wasn't one. The Baron hadn't used science or sorcery to put his creature together, only expert surgical skills honed over lifetimes of work. I dropped my gift and looked at Suzie.\n\n\"We're going to have to do this the hard way. You ready to get your hands dirty?\"\n\n\"Always,\" said Suzie Shooter.\n\nSo we took a scalpel each, slammed the creature to the floor, and took it apart piece by piece. There was a lot of kicking and screaming, and in the end we had to burn all the pieces separately to stop them moving, but we did it.\n**TWO**\n\n_At Home with John and Suzie_\n\nUntil Walker's people arrived, Suzie and I stuck around, talking to the newly awakened patients, and comforting them as best we could. Well, I did most of the talking and comforting. Suzie isn't really a people person. Mostly she stood at the door with her shotgun at the ready, to assure the patients that no-one was going to be allowed to mess with them any more. A lot of them were confused, and even more were in various states of shock. The physical injuries might have been reversed, but you can't undergo that kind of extended suffering without its leaving a mark on your soul.\n\nSome of them knew each other, and sat together on the beds, holding each other and sobbing in quiet relief. Some were scared of everyone, including Suzie and me. Some . . . just didn't wake up.\n\nWalker's people would know what to do. They had a lot of experience at picking up the pieces after someone's grand scheme has suddenly gone to hell in a hand-cart. They'd get the people help and see them safely back to their home dimension. Then they'd shut down the Timeslip, and slap a heavy fine on the Mammon Emporium for losing track of the damn thing in the first place. If people can't look after their Timeslips properly, they shouldn't be allowed to have them. Walker's people . . . would do all the things I couldn't do.\n\nWhen Suzie and I finally left the Guaranteed New You Parlour, Percy D'Arcy was outside waiting for us. His fine clothes looked almost shabby, and his eyes were puffy from crying. He came at me as though he meant to attack me, and stopped only when Suzie drew her shotgun and trained it on him with one easy move. He glared at me piteously, wringing his hands together.\n\n_\"What have you done, Taylor? What have you done?\"_\n\n\"I found out what was going on, and I put a stop to it,\" I said. \"I saved a whole bunch of innocent people from . . .\"\n\n\"I don't care about them! What do they matter? What have you done to my friends?\" He couldn't speak for a moment, his eyes clenched shut to try to stop the tears streaming down his face. \"I saw the most beautiful people of my generation reduced to hags and lepers! Saw their pretty faces fall and crack and split apart. Their hair fell out, and their backs bent, and they cried and shrieked and screamed, running mad in the night. I saw them break out in boils and pus and rot! _What did you do to them?_ \"\n\n\"I'm sorry,\" I said. \"But they earned it.\"\n\n\"They were my friends,\" said Percy D'Arcy. \"I've known them since I was so high. I never meant for this to happen.\"\n\n\"Percy . . .\" I said.\n\n\"You can whistle for your fee!\" said Percy, with almost hysterical dignity. And then he spun around and walked away, still crying.\n\nI let him go. I saw his point, sort of. Some cases, no-one gets to feel good afterwards. So Suzie and I went home.\n\nThe Nightside doesn't have suburbs, as such. But a few areas are a little more safe and secure than anywhere else, where people can live quietly and not be bothered. Not gated communities, because gates wouldn't even slow down the kind of predators the Nightside attracts, but instead small communities protected by a few magical defences, a handful of force shields, and a really good mutual defence pact. Besides, if you can't look after yourself, you shouldn't be living in the Nightside anyway. Suzie and I lived together in a nice little detached house (three up, three down, two sideways) in one of the more peaceful and up-market areas. Just by living there, we were driving the house prices down, but we tried not to worry about that too much. Originally, there was a small garden out front, but since Suzie and I were in no way gardening people, the first thing we did was dig it up and put in a mine-field. We're not big on visitors. Actually, Suzie did most of the work, while I added some man-traps and a few invisible floating curses, to show I was taking an interest.\n\nOur immediate neighbours are a Time-travelling adventurer called Garth the Eternal, a big Nordic type who lived in a scaled-down Norman castle, complete with its own gargoyles who kept us awake at night during the mating season, and a cold-faced, black-haired alien hunter from the future named Sarah Kingdom, who lived in a conglomeration of vaguely organic shapes that apparently also functioned as her star-ship, if she could only find the right parts to repair it.\n\nWe've never even discussed having a housing association.\n\nSuzie and I live on separate floors. She has the ground floor, I have the top floor, and we share the amenities. All very civilised. We spend as much time in each other's company as we can. It's not easy being either of us. My floor is defiantly old-fashioned, even Victorian. They understood a lot about comfort and luxury. That particular night, I was lying flat on my back in the middle of my four-poster bed. The goose-feather mattress was deep enough to sink into, with a firm support underneath. Some mornings Suzie had to pry me out of bed with a crow-bar. Supposedly Queen Elizabeth I had slept in the four-poster once, on one of her grand tours. Considering what the thing cost me, she should have done cart-wheels in it.\n\nA carefully constructed fire crackled quietly in the huge stone grate, supplying just enough warmth to ward off the cold winds that blew outside. The wood in the fire remained eternally unconsumed, thanks to a simple moebius spell, so the fire never went out. One wall of my bedroom is taken up with bookshelves, mostly Zane Grey and Louis L'Amour Westerns, and a whole bunch of old John Creasey thrillers, of which I am inordinately fond. Another wall is mostly hidden behind a great big fuck-off wide-screen plasma television, facing the bed. And the final wall holds my DVDs and CDs, all in strict alphabetical order, which Suzie never ceases to make remarks about.\n\nI have gas lighting in my bedroom. It gives a friendlier light, I think.\n\nA richly detailed Persian rug covers most of the floor. It's supposed to have been a flying carpet at some point, but no-one can remember the activating Words any more, so it's just a rug. Except I always have to be very careful about what I say out loud while I'm standing on it. Scattered about the room are various and assorted odds and ends I've collected and acquired down the years, often as part or even full payment for a case. A few purported Objects of Power, some antiques with interesting histories, and a whole bunch of things that might or might not turn out to be valuable or useful someday.\n\nThere's a musical box that plays top-twenty hits from thirty years in the future. Still mostly crap . . . Some _Tyrannosaurus rex_ dung, in a sealed glass jar, labelled _For when any old shit just won't do._ A brass head that could supposedly predict the future, though I've never heard it utter a word. And a single blood-red rose in a long glass vase. It doesn't need watering, and it hisses angrily if anyone gets too close, so mostly I leave it alone. It's only there to add a spot of colour.\n\nAs I lay on top of the blankets on my huge bed, listening to the wind battering outside and feeling all warm and cosy, it occurred to me how far I'd come since I returned to the Nightside. Wasn't that long ago I'd been trying to live a normal life in normal London and being spectacularly bad at it. I'd been living in my one-room office, in a building that should have been condemned, sleeping on a cot pushed up against one wall. Eating take-away food and hiding under my desk when the creditors came calling . . . I'd left the Nightside to feel safe. And because I was afraid I was turning into a monster. But there are worse things than that. Failure tastes of cold pizza and over-used tea bags, and the knowledge that you're not really helping anyone, even yourself.\n\nI'll never leave the Nightside again. For all its many sins, it's my home, and I belong there. Along with all the other monsters. And Suzie Shooter, of course. My Suzie.\n\nI got up off the bed, with a certain amount of effort, and went downstairs to see what she was doing. We loved each other as best we could, but I was always the one who had to reach out. Suzie . . . couldn't. But then, I knew that going in. So down the stairs I went, and treading the patterned carpeting was like moving from one world to another. Suzie wasn't what you'd call house-proud.\n\nHer floor looked a lot like her old place\u2014a mess. Dirty and disgusting with overtones of appalling. It was somewhat more hygienic, because I insisted, but the smell always hit me first. Her floor smelled heavy, female, borderline feverish. I peered through the bedroom door in passing. It was empty apart from a pile of blankets in the middle of the floor, churned up like a nest. At least they were clean blankets. Since she wasn't there, I moved on to the living-room, careful to knock on the door first. Suzie didn't react well to surprises.\n\nSuzie was crashed out on her only piece of furniture, a long couch upholstered in deep red leather. _So it won't show the blood,_ Suzie had said when I asked, so I stopped asking. She ignored me as I entered the room, her attention fixed on the local news showing on her more modest television set. The room never ceased to depress me. It was bleak, and so empty. Bare wooden floor-boards, bare plaster walls, apart from a huge life-size poster of Diana Rigg as Mrs. Emma Peel in the old _Avengers_ TV show. Suzie had scrawled _My Idol_ across the bottom, in what looked suspiciously like dried blood.\n\nHer DVDs were stacked in piles against one wall. Her Bruce Lee and Jackie Chan movies, her much-watched copies of _Easy Rider_ and Marianne Faithful in _Girl on a Motorcycle._ She also had a fond spot for James Cameron's _Aliens_ and his two _Terminator_ movies. Plus a whole bunch of Roger Cor-man's Hells Angels movies, which Suzie always claimed were comedies.\n\nShe was wearing her favourite Cleopatra Jones T-shirt over battered blue jeans, and scratching idly at the bare belly between the two, while eating deep-fried calamari nuggets from a bucket. I sat down beside her, and we watched the local news together. The impossibly beautiful presenter was in the middle of a story about a proposed strike by the Nightside sewer workers, who were holding out for bigger flame-throwers and maybe even bazookas. Apparently the giant ants were getting to be a real problem.\n\nNext, a new Timeslip had opened up in a previously unaffected area, and already members of the Really Dangerous Sports Club were racing to the location, so they could throw themselves in and be the first to find out where they'd end up. Nobody was trying to stop them. In the Nightside we're great believers in letting everyone go to Hell in their own way.\n\nAnd finally, a fanatical Druid terrorist had turned up in the Nightside with his very own backpack nuke wrapped in mistletoe. Fortunately, he had a whole list of demands he wanted to read out first, and he hadn't got half-way through them before Walker turned up, used his commanding Voice on the Druid, and made him eat his bomb, bit by bit. People were already placing bets as to how far he'd get before the plutonium gave him terminal indigestion.\n\nWithout looking away from the screen, Suzie reached out and placed her left hand lightly on my thigh. I sat very still, but she took the hand away again almost immediately. She tries hard, but she can't bear to be touched, or to touch anyone else in a friendly way. She was abused as a child, by her own brother; and it left her psychologically scarred. I would have killed the brother, but Suzie beat me to it, years ago. We're working on the problem, taking our time. We're as close as we can be.\n\nSo I was surprised when she deliberately put down her calamari bucket, turned to me, and put both her hands on my shoulders. She moved her face in close to mine. I could feel her steady breath on my lips. Her cool, controlled expression didn't change at all, but I could feel the growing tension in her hands on my shoulders, the sheer effort she had to put into such a small gesture. She snatched her hands away and turned her back on me, shaking her head.\n\n\"It's all right,\" I said. Because you have to say something.\n\n\"It's not all right! It'll never be all right!\" She still wouldn't look at me. \"How can I love you when I can't touch you?\"\n\nI took her shoulders in my hands, as gently as I could, and turned her back to face me. She tensed under my touch, despite herself. She met my gaze unflinchingly for a moment, then lunged forward, pressing me back against the couch. She put both her hands on my chest and kissed me with painful fierceness. She kissed me for as long as she could stand it, then pushed herself away from me. She jumped up from the couch and moved away from me, hugging herself tightly as though afraid she'd fly apart. I didn't know what to say, or do.\n\nSo it was probably just as well that the doorbell rang. I went to answer it, and there at my front door was Walker himself. The man who ran the Nightside, inasmuch as anyone does, or can. A dapper middle-aged gentleman in a smart City suit, complete with old-school tie, bowler hat, and furled umbrella. Anyone else you might have mistaken for someone in the City, some nameless functionary who kept the wheels of business or government turning. But you only had to look into his calm, thoughtful eyes to know how dangerous he was, or could be. Walker had the power of life and death in the Nightside, and it showed. He smiled easily at me.\n\n\"Well,\" I said. \"This is . . . unexpected. I didn't think you did house calls. I wasn't even sure you knew where we lived.\"\n\n\"I know where everyone is,\" said Walker. \"All part of the job.\"\n\n\"As a matter of interest,\" I said, \"how did you get past all the mines, man-traps, and shaped charges we put down to discourage the paparazzi?\"\n\n\"I'm Walker.\"\n\n\"Of course you are. Well, you'd better come in.\"\n\n\"Yes,\" said Walker.\n\nI took him into Suzie's living-room. He was clearly distressed by the state of the place, but was far too well brought up to say anything. So he smiled brightly, tipped his bowler hat to Suzie, and sat down on the couch without any discernable hesitation. I sat down beside him. Suzie leaned back against the nearest wall, arms tightly folded, glaring unwaveringly at Walker. If he was in any way disturbed, he did a good job of hiding it. Surprisingly, he didn't immediately launch into whatever business had brought him to my home for the very first time. Instead, he made small-talk, was polite and interested and even charming, until I felt like screaming. With Walker, you're always waiting for the other shoe to drop. Usually he speaks to me only when he absolutely has to\u2014when he wants to hire me, or have me killed, or drop me right in it. This new friendly approach . . . just wasn't Walker. But I played along, nodding in all the right places, while Suzie scowled so fiercely it must have hurt her forehead.\n\nFinally, Walker ran out of inconsequential things to say and looked at me thoughtfully. Something big was coming\u2014I could feel it. So I did my best to avert it with other business, if only to assert my independence.\n\n\"So,\" I said. \"Did you get all the Parlour's patients safely back to their home dimension?\"\n\n\"I'm afraid not,\" said Walker. \"Less than half, in the end. Many didn't survive being separated from their life-support technology. Many more died from the shock of what had been done to them. And quite a few were in no fit physical or mental state to be sent anywhere. They're being cared for, in the hope that their condition will improve, but the doctors . . . are not hopeful.\"\n\n\"Less than half?\" I said. \"I didn't go through all that just to save less than half!\"\n\n\"You saved as many as you could,\" said Walker. \"That's always been my job\u2014to save as many people as possible.\"\n\n\"Even if you have to sacrifice some of your own people along the way?\" I said.\n\n\"Exactly,\" said Walker.\n\n\"Why should you get to decide who lives and who dies?\" said Suzie.\n\n\"I don't,\" said Walker. \"That's up to the Authorities.\"\n\n\"But they're dead,\" I said. \"We were both there when they were killed and eaten by Lilith's monstrous children. So who . . . exactly . . . pulls your strings these days?\"\n\n\"The new Authorities,\" said Walker, smiling pleasantly. \"That's why I'm here. I need you to come with me and meet the new Authorities.\"\n\nI considered him thoughtfully. \"Now you know very well I've never got on with authority figures.\"\n\n\"These people . . . are different,\" said Walker.\n\n\"Why now?\" I said.\n\n\"Because the Walking Man has finally come to the Nightside,\" said Walker.\n\nI sat up straight, and Suzie pushed herself away from the wall. Walker's voice was as cool and collected as always, but some statements have a power all their own. I would have sworn the room was suddenly colder.\n\n\"How do you know it's really him and not just some wannabe?\" said Suzie.\n\n\"Because it's my business to know things like that,\" said Walker. \"The Walking Man, the wrath of God in the world of men, the most powerful and scariest agent of the Good, ever, has come at last to the Nightside to punish the guilty. And everyone here is either running for the horizon, barricading themselves in while arming themselves to the teeth, or hiding under their beds and wetting themselves. And every single one of them is looking to the new Authorities to do something.\"\n\nSuzie paced up and down the room, scowling heavily, her thumbs tucked in the top of her jeans. She might have been worried, or she might have been relishing the challenge. She wasn't scared. Suzie didn't get scared or intimidated. Those were things that happened to other people, usually because of Suzie. She sat down abruptly on the edge of the couch, next to me. Close though she was, she still didn't quite touch me. I caught Walker noticing that, and he nodded slowly.\n\n\"So close,\" he said. \"In every way but one.\"\n\nI gave him my best hard look, but to his credit he didn't flinch. \"Is there anything you don't know about?\" I said.\n\nHe smiled briefly. \"You'd be surprised.\"\n\n\"It's none of your business,\" said Suzie. \"And if you say anything to anyone, I'll kill you.\"\n\n\"You'd be surprised how many people already know, or guess,\" said Walker. \"It's hard to keep secrets in the Nightside. I am merely . . . concerned.\"\n\n\"Why?\" I said bluntly. \"What are we, to you? What have I ever been to you, except a threat to your precious status quo, or an expendable agent for some mission too dangerous or too dirty for your own people? And now, suddenly, you're _concerned_ about me? Why, for God's sake?\"\n\n\"Because you're my son,\" said Walker. \"In every way that matters.\"\n\nHe couldn't have surprised me more if he'd taken out a gun and shot me. Suzie and I looked blankly at each other, then back at Walker, but he gave every indication of being perfectly serious. He smiled briefly, holding his dignity close about him.\n\n\"We've never really talked, have we?\" he said. \"Only shared a few threats and insults, in passing . . . or discussed the details of some case we had to work on together. All very brisk and businesslike. You can't afford to get too close to someone you know you may have to kill one day. But things are different now, in so many ways.\"\n\n\"I thought you had two sons?\" I said. I didn't know what else to say.\n\n\"Oh yes,\" said Walker. \"Good boys, both of them. We don't talk. What could we talk about? I've gone to great pains to ensure that neither they nor their mother has any idea what it is I do for a living. They know nothing about the Nightside, or the terrible things I have to do here, just to keep the peace. I couldn't bear it if they knew. They might look at me as though I were some kind of monster. I used to be so good at keeping my two lives separate. Two lives, two Walkers, doing my best to give equal time to both. But the Nightside is a jealous mistress . . . and what used to be my real life, my sane and rational life, got sacrificed to the greater good.\n\n\"My boys, my fine boys . . . are strangers to me now. You're all I've got, John. The only son of my oldest friend. I'd forgotten how much that time meant to me, until I met your father again during the Lilith War. Those happy days of our youth . . . We thought we were going to change the world; and unfortunately we did. Now your father is gone, again, and you're all I've got left, John. Perhaps the nearest thing to a real son I'll ever have. The only son who could ever hope to understand me.\"\n\n\"How many times have you tried to kill me?\" I said. \"Directly, or indirectly?\"\n\n\"That's family for you,\" said Walker. \"In the Nightside.\"\n\nI looked at him for a long time.\n\n\"Don't listen to him,\" said Suzie. \"You can't believe him. It's Walker.\"\n\n\"The words _manipulative_ and _emotional blackmail_ do spring to mind,\" I said. \"This is all so sudden, Walker.\"\n\n\"I know,\" he said calmly. \"I put it all down to midlife crisis myself.\"\n\n\"And where does all this leave us?\" I said.\n\n\"Exactly where we were before,\" said Walker. \"We'll still probably end up having to kill each other, someday. For what will no doubt seem like perfectly good reasons at the time. But it means . . . I'm allowed to be concerned. About you, and Suzie. And no, you don't get a say in the matter.\"\n\n\"We're doing fine,\" said Suzie. \"We're making progress.\"\n\nShe let one arm rest casually across my shoulders. And I hope only I could tell what the effort cost her.\n\n\"Let us talk about the Walking Man,\" I said. Everything else could wait till later, after I'd had more time to think about it. \"He's never come here before. So, why now?\"\n\n\"In the past, the Nightside's unique nature kept out all direct agents of Heaven and Hell,\" said Walker. \"But since Lilith was banished again, it appears a subtle change has come over the Nightside, and many things that were not possible before are cropping up now with regrettable regularity.\"\n\n\"So all kinds of agents for the Good could be turning up here?\" I said.\n\n\"Or agents of Evil,\" said Suzie.\n\n\"Well, quite,\" murmured Walker. \"As if things weren't complicated enough . . .\"\n\n\"Still,\" I said, \"what's bringing the Walking Man here _now_?\"\n\n\"It would appear he disapproves of the new Authorities,\" said Walker. \"The group whose interests I now represent.\"\n\n\"That's why you're here!\" I said. \"Because if they're in danger, so are you!\"\n\nWalker smiled and said nothing.\n\n\"Who are they?\" said Suzie. \"These new Authorities? The old bunch were nothing more than faceless businessmen who ran things because they owned most of the Nightside. So, are we talking about their families? The next generation? Meet the new boss, same as the old boss, don't get screwed again?\"\n\n\"The inheritors?\" said Walker, with something very like a sniff. \"They wish. We saw them off. One quick glimpse of what actually goes on here, and they couldn't sell their holdings fast enough. No . . . Certain personages in the Nightside have come together to represent the main interests in this place. Essentially, the Nightside is now determined to run itself.\"\n\n\"Who, exactly?\" I said. \"Who are these brand-new _self-appointed_ Authorities? Do I know them?\"\n\n\"Some of them, certainly,\" said Walker. \"They all know you. That's why I'm here.\"\n\n\"How can you serve people from the Nightside?\" I said, honestly curious. \"You've never made any secret about your feelings for us. You always said the best thing to do would be to nuke the place and wipe out the whole damned freak show once and for all.\"\n\n\"I've mellowed,\" said Walker. \"Just possibly, these new Authorities can bring about real change, from within. I would like to see that, before I die. Now, come with me and meet the new Authorities. Hear what they have to say; learn what they mean to do. Before the Walking Man tracks them down and kills them all.\"\n\n\"But what do they want with me and Suzie?\" I said.\n\nWalker raised an eyebrow. \"I would have thought that was obvious. They want you to use your gift to find the Walking Man, then find a way to stop him. Shall we go?\"\n**THREE**\n\n_Not Really Fitting In at All at the Adventurers Club_\n\nI let Suzie finish setting up the house's defences while Walker and I stood outside in what used to be the garden, not looking at each other. Suzie always likes arming the hidden charges and taking the safeties off the concealed weaponry and contemplating the mayhem and general carnage that will undoubtedly ensue if anyone is dumb enough to try to get into the house while we're out. One very professional burglar actually made it all the way to our front door once, and the door ate him. The letter-box was spitting out bone fragments for weeks afterwards.\n\nI was still thinking about what Walker had said. _You're my son, in every way that matters._ You can't just drop an emotional bomb-shell like that into the conversation and expect everyone to act all business-like afterwards, as though nothing had happened. Unless you're Walker, I suppose. That calm, collected, cold-hearted functionary, who only runs the Nightside because he doesn't trust anyone else to do the job properly. Who always has an agenda, and a secret goal hidden inside every end game. Was he telling the truth this time? With Walker you could never tell, until it was too late. And what did I feel about him, after all these years? He's always been there, in the background of my life, sometimes helping, sometimes watching, sometimes sending his dogs after me. He's tried to have me killed on several occasions, but I never took that personally. For Walker, it was always just business.\n\nI respected him. Even admired him on occasion, from a safe distance. But you couldn't like Walker. He wouldn't let you. He never let anyone get close enough to see the real him.\n\nSuzie slammed the front door shut and muttered the last few activating Words, then I led us down the safe path, through the mine-field. Walker strode casually along beside me, swinging his furled umbrella like a walking-stick. Typical of the man. You could set fire to his old-school tie, and it still wouldn't affect his stiff upper lip. Walker was old school all the way, and proud of it. Family means a lot, to people like him. It's all they've got outside duty.\n\nOnce we were safely out on the street, Walker drew his gold watch from his waistcoat pocket and looked at me thoughtfully.\n\n\"I'm about to share one of my greatest secrets with you, John, Suzie. So do pay attention. I don't tell them to just anyone. So, basically, Timeslips don't just happen. Well, actually yes they do, suddenly and violently and all over the place. Bloody things are always popping up exactly where they're least needed and making trouble for everyone . . . But, there is a reason, a pattern, behind their appearances, and some people have learned to control them. Like Mammon Emporium . . .\"\n\n\"Like the one we found in Frankenstein's cellar,\" said Suzie, determined not to be left out of things.\n\n\"Well, quite,\" said Walker. \"They learned how to stabilise Timeslips, for their own profit. The old Authorities learned how to control them, for their own purposes. And the old Authorities didn't just give me my Voice\u2014they also gave me this.\" He indicated the gold pocket-watch in his hand. \"A Portable Timeslip. A doorway to everywhere, in and out of the Nightside. So that I can be wherever I need to be, whenever I need to be there. And sometimes just a little bit in advance.\"\n\n\"That explains a lot,\" said Suzie.\n\n\"I'll be damned,\" I said, staring at the watch. I'd seen it in Walker's hands a hundred times before and never thought twice about it. Typical of the man, to hide his greatest secret in plain sight.\n\n\"I'm only revealing this to you now because we have to get where we're going without being observed,\" said Walker. \"I hope I can depend on both of you to be discreet about this?\"\n\n\"Oh sure,\" I said cheerfully. \"Right up to the point where I need to blackmail a favour out of you. So, where are we going?\"\n\n\"Uptown,\" said Walker. \"Clubland, to be exact. The Adventurers Club. That distinguished home away from home for all the great heroes, gallants, and adventurers who pass through the Nightside. And most of them have, at one time or another.\"\n\n\"Why not the Londinium Club?\" I said. \"It's older, more established, and more exclusive than any other club in the Nightside, and it's always been the home base of all the real Powers That Be.\"\n\n\"Precisely,\" said Walker. \"Far too connected with the old order. The new Authorities intend to make a clean break with all the old ways of doing things and are determined to send a clear message, right from the start. So, the Adventurers Club it is.\"\n\nHe fiddled with the rolled gold fob on the side of his watch, and the lid flew open, revealing an impenetrable darkness within. A deep, deep dark that seemed to draw my gaze in, till it felt like I was standing on the edge of an abyss and might fall in at any moment. And then the darkness leapt up and out, enveloping us all, and when it fell back again, we were somewhere else.\n\nUptown is the very best part of the Nightside, where all the very best people go. The most exclusive and exciting night spots, the most expensive bars and restaurants, and all the richest, most famous and powerful and totally up themselves people you could ever hope not to meet. And all the most exclusive, members-only, circle the wagons to keep out the riffraff clubs in Uptown gather together in Clubland. Where distinguished and discreet establishments cater to every need, enthusiasm, and obsession known to man. Some are nearly as old as the Nightside itself, while others deal in fads and fancies that come and go like mayflies. But they all have one thing in common. Membership is by invitation only. Plebs need not apply.\n\nWalker led Suzie and me through the packed streets, and everyone gave way before us. Some because they recognised Walker, some because they recognised me, and quite a few because Suzie always looks dangerous even when she's just wondering what's for dinner. Walker nodded easily to famous and powerful faces, and they nodded respectfully back. He was one of them. Suzie and I quite definitely weren't. They did give us plenty of room. Which on the whole I think I preferred.\n\nI gave my attention to the various clubs we passed along the way\u2014the famous and the infamous, the outrageously exotic and the determinedly obscene. Names you could drop to impress your friends, or infuriate your enemies. Members-only clubs are the ultimate extension of the Old Boys Network, and it is in these very private back rooms that all the real decisions get made. In between the very best drinks and drugs and debauchery, of course. You go to clubs like them to do things behind closed doors that you'd never even think of discussing in polite society, to do the things of which your friends and family would never approve.\n\nLike the Caligula Club, dedicated to exploring the furthest reaches of pleasure and pain, the most extreme forms of sensation. Or Club Dead, exclusively for the mortally challenged. A club for zombies, vampires, mummies, and quite a few of the Frankenstein clan's creations. (Club motto: _We belong dead._ ) The Blue Parrott exists to cater to the Nightside's bird-watchers. Oh yes, we have them, too. You'd be surprised at some of the strange species that turn up here, and bird-watchers from all over the world come to the Nightside to observe ancient, rare, and impossible species that can't be found anywhere else. Everything from the dodo to the pteranodon, the giant roc to the fabled Oozalum bird. But no pigeons . . . There are no pigeons in the Nightside; or at least, not for long. Something eats them.\n\nThen there's Pagan's Place, for barbarian warriors who want to better themselves, and right next to that, the Adventurers Club. Older than all the others put together, the original Club was supposedly founded back in the sixth century, and has been a watering hole for heroes between quests ever since. You wouldn't have thought any real hero would be seen dead in a place like the Nightside, but something about its reputation draws them here, possibly like moths to a flame, and the Adventurers Club is where they gather. Getting in is not easy. In fact, simply getting past the Doorman can be an adventure in itself. I think you have to slay an ogre and rescue a princess just to be allowed to use the rest rooms.\n\nStill, every adventurer with a name or a reputation worth the knowing is supposed to have passed through its doors at one time or another. Why? Perhaps because the Nightside is the single greatest challenge any hero can face, the Mount Everest of challenges, and you can't call yourself a real hero until you've tested yourself against it. I only know about the Club because my sometime friend Julien Advent has been a Member in good standing on two separate occasions. First, when he was the greatest hero and adventurer of the Victorian Age, then again after a Timeslip brought him here in the nineteen sixties. Julien's a good man and a revered personage; I planned to drop his name at every opportunity and hope some of his respectability rubbed off on me.\n\nI said as much to Suzie, but she just shrugged. She's never cared about being respectable.\n\n\"Julien's not the oldest Member in the Club, though, is he?\" she said.\n\n\"Not by a long way. I think that honour goes to Tommy Squarefoot. Of course, he's a Neanderthal.\"\n\nWalker led us right up to the Adventurers Club Doorman, who stood tall and broad and very large before the closed Club doors. He was supposed to be a were sabre-tooth tiger, and given the sheer size of him, I was perfectly prepared to believe it. He stood aside for Walker, because everyone does, but gave first Suzie and then me his best cold, assessing look as we passed. Suzie glared right back at him, and he actually blushed a little and looked away.\n\n\"He likes you,\" I said solemnly to Suzie.\n\n\"Shut up,\" said Suzie.\n\n\"He likes you. He's your special Doorman friend.\"\n\n\"I have a gun.\"\n\n\"Never knew you when you didn't.\"\n\n\"Children, children,\" murmured Walker as he led us into the gorgeously appointed lobby. \"Try not to show me up . . .\"\n\nI decided immediately to piss in the first potted plant I\n\nsaw, on general principles, but I got distracted. The interior of the Adventurers Club was as impressive as I'd always thought it would be. The Club proper was all gleaming wood-panelled walls, waxed floors, portraits and chandeliers, and proudly antique furnishings. Familiar faces passed by on every side, or gathered together to chat happily in the luxurious meeting rooms, or consult the leather-bound volumes of Club history in the huge private Library, or just brag to each other in the Club bar about their latest exploits.\n\nChandra Singh, the monster hunter, and Janissary Jane, the demon killer, were discussing new tracking techniques in the Library. They completely ignored me as I peered in through the open door. Jane was wearing her usual battered combat fatigues, which I knew from personal experience would smell of smoke, blood, and brimstone up close. Because they always did. She'd fought in every major demon war in the last twenty years, in as many different time-lines and dimensions, and while she'd been on as many losing as winning sides, she was a true professional, feared and respected by all who knew her. Especially when she had a few drinks in her.\n\nChandra Singh was tall, dark-skinned, and distinguished, with a sophisticated style and a truly impressive black beard. He was wearing his usual height-of-the-Raj finery, all splendid silks and satins, topped with a jet-black turban boasting the biggest single diamond I'd ever seen. Chandra hunted monsters in and around the Indian subcontinent, with a passion and enthusiasm unmatched anywhere in the world. His wall of trophies was legendary. He says he does it to protect the innocent and keep them safe, but I think he just likes killing monsters.\n\nWell hell, who doesn't?\n\nWalker dropped Suzie and me off in the bar while he went upstairs to tell the new Authorities we'd arrived. I didn't argue. I felt like I could use several large drinks, with an even larger drink for a chaser. The bar itself was almost overpoweringly luxurious, and I was impressed despite myself. No expense had been spared to make the Adventurers Club bar the envy of all lesser mortals, and it openly boasted every comfort known to man. The bar itself was a work of art, in gleaming mahogany and brightly polished glass and crystal, with a whole world of extraordinary potables lined up, just waiting to be ordered by some hero who'd worked up a serious thirst slaughtering everything in sight. Suzie, who had never been impressed by anything in her entire life, marched straight up to the bar, ordered a bottle of Bombay Gin, and put it on Walker's tab. I drifted in beside her, studied the bottles on display, and ordered an heroic measure of the most expensive brandy I could see. Also on Walker's tab. Having thus happily attended to the inner man, I put my back to the mahogany bar and took a good look at my fellow imbibers.\n\nA dozen good men and women stood scattered about the oversized bar, in various garb from various times and places, all intent on each other and thoroughly ignoring Suzie and me. So I just as deliberately ignored them, giving my full attention to the various displays and trophies and portraits that adorned the bar. The walls were positively crowded with portraits of old Club Members who'd distinguished themselves down the years. There were Admiral Syn, Salvation Kane, Julien Advent, Owen Deathstalker, in a whole series of clashing styles and periods. And the bar was positively lousy with impressive trophies.\n\nThe shadow of a Leopard Man, imprisoned in a great block of transparent lucite. A hollowed-out alien's skull, put to use as an ash-tray. Something I didn't recognise from the Black Lagoon, stuffed and mounted, and a severed demon head, unconsumed by ever-burning flames. Several of the Club Members lit their cigars off it. And up on the far wall, proudly presented, the withered and mummified arm of the original Grendel monster. Donated by Beowulf himself, apparently. (I told you the Club dated back to the sixth century.)\n\nMost of the famous faces were quite happy to pretend Suzie and I weren't there, but two braver adventurers made a point of coming over to say hello. Augusta Moon was a professional trouble-shooter, and a noted dispatcher of problem supernatural menaces. She was also an impressively large middle-aged woman who looked like she should have been running a girls' finishing school somewhere in the Home Counties. Augusta was large and loud and famous for not giving a damn. She dressed like an old-fashioned maiden aunt, in a battered tweed suit, with a monocle screwed firmly into her left eye. She also carried a stout walking-stick topped with silver, and wasn't above poking people with it to make her point. Augusta greeted me with a firm handshake, accompanied by her usual bark of a laugh, loud enough to shake the furnishings. She had the good sense just to nod to Suzie, who nodded back. Augusta shrugged cheerfully.\n\n\"What the hell are you doing here, John? Thought you had more good taste than to show up in a dump like this. Place has gone severely downhill, since they started letting in people like us. Eh? Eh? Bunch of stiffs for the most part, old thing, haven't a clue how to have a good time. Had that Charlston Blue Blade in here the other day, really big noise by all accounts, but he damn near fainted away when I pinned him in a corner and inquired about the possibility of a little nookie!\"\n\nShe laughed again, a loud, uncomplicated, and only faintly threatening sound. \"Did you hear about my latest exploit? Jolly good sport, and a nice day out into the bargain. I was down in Cornwall on a walking holiday, just seeing the sights and putting the wind up the locals, when word came of a possible manifestation of the old god Pan. Well! Wasn't going to let that one by, was I? You mention Pan these days, to your modern high-tech hero, and all they can come up with is the goaty fella with the pipes and the hairy legs and the maiden fixation. No, no, Pan is where we get the word _panic_ from. The spirit of wild and remote places that strike terror into the human heart for no good reason. Well, thought I, just the thing to shake up the old constitution, so I get myself down there and have a good old poke around.\n\n\"Didn't take me long to track down the source. An old village church, not far from Land's End. Norman architecture mostly, though not in the best of condition. Only thing holding it together was the ivy. Anyway, turned out that back in the day the locals had captured this terrible beastie and imprisoned it in a dimensional trap under the church, to be used as a defence against marauding Norsemen. Except, of course, the bally Vikings never did get that far south, so the beastie was left there and eventually forgotten. You can see the rest coming, can't you? The trap was finally breaking down, and beastie was flexing his muscles and preparing a break-out. The locals were picking up on the dread thing's thoughts of escape and revenge, and reacting accordingly, even if they didn't know why.\n\n\"So I broke into the church, kicked the trap apart, and let the beastie out, then slapped the nasty thing down with vim and vigour. Mercy killing really, poor old chap. No place left for olde-worlde monsters, in this day and age.\"\n\n\"How did you kill it?\" I asked, professionally curious.\n\nHer head went right back as she laughed her appalling laugh again. She brandished her walking-stick before me. \"Clubbed it to death with this, old thing! Blessed oak and a silver handle, nothing better for beating the brick-dust out of a tall dark nasty!\"\n\nSome heroes are more frightening than others. I turned, with a certain amount of relief, to the only other adventurer who was prepared to be seen talking with the likes of me. Sebastian Stargrave, also known as the Fractured Protagonist, who claimed to have been three other Members of the Adventurers Club at different times in his confused time-line. Sebastian was tall and fragile, with an air of defeated nobility. A pale face under stringy jet-black hair, with eyes like coals coughed up out of Hell. He never smiled, and an air of quiet melancholy hung about him like an old tattered cape. He wore shimmering, futuristic golden armour, cut close to the skin, that murmured and whispered to itself, and rose up in a tall, stiff collar behind his head. Sebastian had been back and forth in Time so often, explored so many different timetracks and been so many different people, that he'd quite forgotten who he originally was. I've seen five different versions of him discussing the problem at the Hawk's Wind Bar & Grille, trying to work out where they might have come from originally. He may, or may not, have done many amazing and impressive things, in his time. He was quite certainly crazy as a bagful of badgers, and dangerous with it. I smiled and shook his frail hand, and said pleasant things because everyone does. Sebastian's been down on his luck for so long he brings out the protective instinct in most of us. Especially Augusta, who was always ready to clap him on the back and offer bluff, well-meant advice. Which is probably why he avoided her as much as he did.\n\nSebastian started one of his long, wandering quest stories, but none of us had the patience for that, so Augusta butted in and fixed me with a blunt glare through her gold-rimmed monocle.\n\n\"So, you and Suzie gal are here to meet the new Authorities, eh? Auditioning, are you?\"\n\n\"Possibly,\" I said. \"What do you make of them, Augusta?\"\n\nShe snorted loudly, polished off the last of her single malt in one good gulp, and shrugged good-naturedly. \"Someone's got to be in charge, I suppose, so why not some of our own, for a change? Doubt they'll last, though. Far too full of good intentions, and we all know where they lead. And you've got to be a little crazy to think you can run a madhouse like this. Eh? What?\"\n\nAll of a sudden, a new figure appeared out of nowhere, right in front of us, and everyone in the bar fell silent to look at him. He was short and stout, dressed in black from head to toe, with ten alien power rings on his fingers, and I knew him immediately. Bulldog Hammond\u2014burglar, thief, and quite possibly the most useless criminal in the Nightside. He lucked into those powerful alien rings and immediately became convinced he could use them to make himself a criminal mastermind. Unfortunately, the rings didn't come with an instruction manual, and he was still trying to figure out how to use them properly.\n\nHis eyes bulged in his silly face as he looked around and realised he wasn't where he'd meant to be. He fiddled desperately with his teleport ring but couldn't make it work again. He bestowed a strained smile on the barful of heroes and adventurers glaring at him, while giving every indication of a man who desperately needed a toilet.\n\n\"Ah. Yes. Hello, all! Sorry about this, got the coordinates wrong again. You know how it is I meant to burgle Pagan's Place next door and this explanation isn't going at all well is it?\"\n\nI had to smile. \"You really did pick the wrong club to break into, Bulldog.\"\n\n\"Oh shit it's John Taylor. Hi! Yes! Is Suzie with you by any chance oh hell she's right behind me isn't she? I really don't feel very well.\"\n\nAugusta Moon glared furiously at him. \"I know you, Hammond! Nasty little sneak thief! You stole the Golden Frogs of Samarkand from my little sister Agatha, didn't you?\"\n\n\"Who me? What makes you think that was me? They weren't real gold anyway and I really think I'll be getting along now.\"\n\n\"Agatha cried on my shoulder for a week over those bloody frogs!\" said Augusta. \"Can't stand her most of the time, but family is family. Come here, you worm, so I can bestow beatings.\"\n\nShe raised her walking-stick, and Bulldog Hammond whimpered pitifully and grabbed at one of his rings. A force shield sprang up around him, enclosing him inside a cube of shimmering energies. Augusta gave it a good prod with the point of her stick, grunted once, then lifted her stick and whacked the hell out of the energy cube. The shield held, while Bulldog cowered inside and made high-pitched noises of distress. Augusta belaboured the force shield with all her considerable strength, and strange energies discharged on the air as the magic of her stick met the science of the shield. Everyone else watched, entranced. Many were laying bets. Suzie stepped lazily forward, her shotgun in her hands.\n\n\"No, Suzie,\" I said quickly. \"The key word here is ricochets. There's all kind of delicate and expensive-looking shit in here, and I just know they'd make me pay for any breakages.\"\n\n\"Getting soft, John,\" said Suzie. But she did lower the shotgun.\n\nBulldog was still trying one ring after another, as the force shield shook and trembled under Augusta's unceasing assault. And then a series of brightly coloured rays shot out from one ring, piercing the force shield and flying across the room. Everyone threw themselves out of the way, but the rays did no obvious damage to anyone they touched. Instead, they worked their alien magic on all the trophies scattered around the bar. The muscles on Grendel's severed arm swelled and bulged, and the huge fist hammered against the wall. A suit of armour drew its sword, a tall potted plant lashed about with its sting, a small statue of a demon started playing with itself. Some artefacts exploded, some melted, some disappeared; and some launched open attacks on the Club Members.\n\nA great painting of a strange alien jungle suddenly came alive and formed a window into that world. Terrible shrieks and cries came clearly to us, along with a gusting wind that stank of carrion. And through this newly opened gateway to another world, a whole cloud of ugly flying things burst into the bar; dark, hairy shapes with flapping batwings, glaring eyes, and huge, snapping teeth. They shot back and forth in the confined space, biting fiercely at everything in reach. There was chaos in the bar as everyone defended themselves as best they could.\n\nSuzie Shooter opened fire with casual skill, her shotgun blasting the nasty flappy things out of mid air one after the other, never missing once; but still more and more came flooding through the open doorway. The Club Members fought the flying horrors with all kinds of weapons, and even their bare hands, but the growing numbers came close to overwhelming them. Augusta struck about her with her walking-stick, while loudly singing a psalm, and blood and bat brains flew on the air as she connected again and again. Bulldog cringed inside his force shield crying, \"Sorry! Sorry!\" I took a pair of chaos dice from my coat pocket and rolled them back and forth in my hand, and just like that the flying horrors couldn't seem to find me. I glared around. I don't carry weapons, as such. I don't usually need them. But I had to do something to stop this, before people started getting hurt. Even the greatest of heroes and adventurers can be brought down by sheer force of numbers.\n\nJanissary Jane and Chandra Singh came rushing in. Jane had an energy gun in each hand, and shot the flying horrors out of the air with deadly speed and skill. Chandra had a long, curved sword, and danced amongst the swarming creatures, cutting them out of mid air with swift graceful strokes that were a work of art. Blood flew on the air as he worked his way into the very centre of the mayhem, grinning broadly all the while.\n\nA batwinged nightmare bigger than all the rest came sweeping in out of nowhere and snapped its jaws shut on Suzie's shoulder. She didn't even flinch, but kept on firing. The teeth worked fiercely, gnawing into the black leather. I grabbed the thing with both hands and tore it away from her shoulder. The leather was torn, but I didn't see any blood. The thing struggled in my hands, its wings flapping fiercely, struggling to turn itself round so it could get at my fingers. I crushed it, my fingers sinking deep into its hairy body. It exploded in blood and bits, and died still trying to bite me.\n\nI threw the bloody mess aside, and only then realised I'd dropped my chaos dice to help Suzie. I wasn't protected any more. Except by my gift. I sheltered behind Suzie as I concentrated on opening my inner eye. It was the work of a moment to find the energies holding the gateway open. Bulldog had accidentally cancelled them out. Then it was the easiest thing in the world to find the right combination to slam the gateway shut. The opening was immediately only a picture again, and no more creatures came flying through.\n\nThe Club Members made short shrift of the remaining flapping things, and the suit of armour and the potted plant, and all the other problems . . . then everything was quiet in the bar again, apart from the muffled curses of heroes and adventurers checking their wounds and trying to get their breath back. The floor was a mess of dead flappy things, with blood and hair and organs pulped into the rich carpet. One by one, we all turned to look at Bulldog Hammond.\n\nHe gulped hard and turned off his force shield. He then raised both hands high above his head and turned to me.\n\n\"Mr. Taylor, sir! I really would like to surrender now please. Oh yes and very definitely. Haul me off to jail I'll go quietly please don't let them kill me.\"\n\n\"People could have died here,\" I said.\n\n\"I know and I'm really very very sorry! It's all their fault for having so many nice and desirable things and for tempting such a weak-spirited soul as me and why is that large woman glaring at me like that?\"\n\n\"I've got bat blood on my best suit!\" snapped Augusta, brandishing her walking-stick. Blood and brains dripped off the end. \"I know dry-cleaning isn't going to get it out! Come here and take your medicine, you appalling little man.\"\n\n\"I don't think I will if that's all right with everyone,\" said Bulldog.\n\n\"The rings, Bulldog,\" I said firmly. \"Hand them over. You can't be trusted with them.\"\n\n\"But without them I won't be a master criminal any more!\"\n\n\"You insist on hanging on to them, and you'll end up as one more bloody mess on the carpet.\"\n\n\"I see your point,\" said Bulldog. And he quickly stripped the rings from his fingers and dropped them on to my waiting open palm. I hefted them thoughtfully, then slipped them into my coat pocket.\n\n\"Very good,\" I said. \"Now go and sit quietly in that corner, and wait here till Walker comes to collect you.\"\n\n\"You really think we're going to let that little snot get away with this?\" said Augusta.\n\nSeveral other Club Members made noises of agreement. I looked around me, taking my time. \"He's just a small man who made a big mistake. It's over. Let it go.\"\n\n\"Why should we?\" said Sebastian Stargrave in his quiet, deadly way.\n\n\"Because he's under my protection,\" I said. \"Anyone here have a problem with that?\"\n\nNo-one said anything. And then, one by one, they turned away and set about clearing up the mess. Because while they were all quite definitely heroes and adventurers...I was John Taylor; and you never knew. Bulldog went off to sit in the corner, Suzie put her shotgun away, and I retrieved my chaos dice from the blood-soaked carpet. Augusta Moon and Sebastian Stargrave ostentatiously turned their backs on me and drifted off together. Janissary Jane stood before the jungle painting, studying it thoughtfully. And Chandra Singh came forward, cleaning his long blade with a length of silk.\n\nHe nodded easily to me, extremely white teeth flashing in his great black beard. \"Good to meet you at last, Mr. Taylor. I know you by reputation, of course, and I am pleased to discover it is not exaggerated.\" He turned his smile on Suzie and actually beamed broadly at her. \"Miss Suzie, a pleasure to make your acquaintance again.\"\n\nAnd to my surprise, Suzie actually smiled briefly at him. \"Chandra. Killed any good monsters recently?\"\n\nHe laughed, a rich and carefree sound. \"I have been to many places in the world, and seen many monstrous things. Some I had no choice but to kill; some I captured to protect innocent lives; and some I photographed and let go. Not every creature is a monster, if you catch my meaning.\"\n\n\"You two know each other?\" I said, trying to keep it casual.\n\n\"I watched his back, on a few hunts,\" said Suzie. \"I was his native guide in the Nightside.\"\n\n\"Miss Suzie is a most excellent shot,\" said Chandra. \"We worked well together. And I am hoping that you and I will also be able to work together, Mr. Taylor. You have been summoned here to hunt the Walking Man, am I not correct?\"\n\n\"Could be,\" I said. \"How would that concern you? I thought you only hunted monsters.\"\n\nChandra Singh nodded soberly. \"Such has been my calling for many years, yes. I am a Sikh, Mr. Taylor, from the Punjab. I am what my people call a khalsa, or holy warrior. I stand against the forces of darkness, in all their forms. Does that perhaps remind you of anyone?\"\n\n\"The Walking Man,\" I said. \"Both of you serve your god in violent ways.\"\n\n\"Exactly, Mr. Taylor. I feel a great need to meet this Walking Man, and talk with him, and discover if he is indeed what they say he is.\"\n\n\"And if he is?\" I said.\n\nChandra smiled his great smile again. \"Then perhaps I shall sit at his feet and learn wisdom. But I think that unlikely. If he has done even some of the things they say he has, he would seem to be as much a servant of the dark as the light. And I will oppose him to my last breath. So, I ask your permission to accompany you and Miss Suzie as you track him down.\"\n\n\"What do you think, Suzie?\" I said.\n\n\"He kills monsters,\" said Suzie. \"Better to have him where we can see him, than maybe sneaking up on us. And I am kind of curious to see what will happen when two holy warriors go head to head.\"\n\n\"All right,\" I said to Chandra. \"You're in. We split the fee three ways, and you're responsible for your own expenses. Agreed?\"\n\n\"Most certainly, Mr. Taylor. I shall be very interested to see how you work, close up.\"\n\n\"If the Walking Man truly is a servant of the Christian God, where does that leave you?\" I said, honestly curious.\n\n\"God is God,\" said Chandra. \"Creator of us all. I do not think the Supreme Being cares what name we give him, as long as we talk to him. And listen.\"\n\nWalker finally came down to fetch me and Suzie, looked around at the general blood and mess, and gave me a stern look.\n\n\"Can't take you two anywhere.\"\n\n\"Entirely not my fault,\" I said. \"See Bulldog Hammond over there, sitting very quietly in the corner?\"\n\n\"Ah,\" said Walker. \"I suppose none of this is Suzie's fault either?\"\n\n\"Of course not,\" I said. \"Or there'd be dead bodies piled up all over the place.\"\n\n\"Good point,\" said Walker. \"Come with me. The Authorities are waiting.\"\n\n\"What took you so long?\" I said. \"I was under the impression they were expecting us.\"\n\n\"We had things to discuss first,\" said Walker. \"Like whether the situation really was bad enough to justify hiring you and Shotgun Suzie.\"\n\n\"Good point,\" said Suzie.\n\nWalker nodded respectfully to Chandra Singh. \"Always good to see you again, Chandra. Keeping busy?\"\n\n\"Of course, Mr. Walker. There is never any shortage of monsters in the Nightside.\"\n\nThey bowed to each other briefly, then Walker led the way upstairs.\n\n\"I didn't know you knew Chandra,\" I said to Walker.\n\n\"Of course,\" he said. \"I went to Eton with his father. Splendid chap. First-class geneticist these days, by all accounts.\"\n\nThe Nightside is full of unexpected connections. Heroes and villains, gods and monsters, we all know each other. Sometimes as friends, sometimes as enemies, sometimes as lovers. Sometimes all three. It's that kind of place.\n\nI let Walker lead the way up the back stairs, just in case. Only a fool turns his back on Walker. Suzie brought up the rear. And in a small private room at the top of the Club, surrounded by the very best security measures the Adventurers Club had to offer, I finally came face-to-face with my new would-be lords and masters. They sat around a long, polished table, trying to look like people in charge. My breath caught in my throat as I saw their faces, and I thought my heart would stop. I knew them. I had seen them all together before, and not in a good way.\n\nJulien Advent, the legendary Victorian Adventurer, now editor of the _Night Times_. Jessica Sorrow, the Unbeliever. Annie Abattoir, spy, assassin, and high-class courtesan. Count Video, lord of the binary magics. King of Skin, in all his sleazy glory. And Larry Oblivion, the dead detective. I had seen these people gathered together in one place before, in a future time-line where they had been the last survivors of Humanity, and my Enemies. They sent terrible agents back through Time to try to kill me, before I could bring about the awful devastated future in which they lived. I had gone to great pains to avert that particular time-line, to save their souls and mine, but here they were, gathered together again for the first time.\n\nIt had to mean something.\n\nI strolled into the room and gave them all my best unimpressed look, on general principles. Never let them see you're hurting. And never let them think they've got the upper hand, or they'll walk all over you. Suzie didn't look impressed either, but then, she never does. Count Video spotted the shotgun holstered on Suzie's back and stirred uncomfortably.\n\n\"Hold everything. I thought we agreed\u2014no weapons at meetings!\"\n\n\"You want to try to take it away from her, be my guest,\" said Annie, amused.\n\nOf course then everyone at the table had to make their views known, and I took the opportunity to gather my shattered thoughts. It didn't matter whether this particular grouping had any future significance; I had to deal with them here and now. So . . . Julien Advent I knew of old. We'd worked together, on various cases. Julien was a good, honest, and highly moral man, which meant he tended not to approve of me. Or at least, some of my methods. He's far too good a man for the Nightside. I think he only stays because he's never been known to back down from a fight. As always, he was dressed in the height of Victorian finery, all stark black-and-white, with the only touch of colour the apricot cravat at his throat, held in place by an ornate silver pin supposedly presented to him by Queen Victoria herself. He looked to be a handsome man of about thirty, and had appeared so for several decades.\n\nJessica Sorrow's appearance was altogether more disturbing. Called the Unbeliever because for many years she didn't believe anything was real except herself, and she believed that so fiercely that if any particular thing or person caught her attention . . . she disbelieved in them until they stopped existing. A very scary and dangerous personage, until I helped defuse her. She still had a powerful presence, a kind of anti-charisma that fascinated and appalled at the same time. Barely five feet tall, she sat curled up in her chair like a feral child, horribly emaciated and corpse pale. Her eyes were very big in her face, her colourless mouth little more than a slit. She wore a battered brown leather jacket and leggings, the jacket hanging open to reveal her bare, sunken chest, to which she tightly hugged the teddy bear I'd found for her. Her old childhood friend, perhaps her only friend, it helped her ground herself in reality. Given the fierce, unsettlingly blank look in her dark eyes, I wouldn't have put money on her stability, but just the fact that she was there, interacting with other people, was a good sign. She cocked her head suddenly to one side, and looked at me, and knew me. For a moment, her expression was almost human. She smiled briefly. Her eyes didn't blink nearly often enough.\n\nAnnie Abattoir was altogether easier on the eye. A ripe, voluptuous woman in her midforties, Annie was an accomplished seductress and heart-breaker, and many other things beside, most of which could not be discussed in polite company. Six-foot-two, broad-shouldered and imposing, with a sharp sensual face, she wore a ruby red evening gown, cut daringly low at front and back, that went well with her great mane of copper red hair. She was beautiful and sexy and effortlessly charming, and she knew it. She wore long white evening gloves; presumably to disguise how much blood she had on her hands.\n\nCount Video was a Major Player, when he could get his act together, and an old adversary of mine. And a real pain in the arse. Tall and stiff, he wore a stylish suit with little grace and less poise. I could still see the staples and stitches on his neck and face from where he'd had his skin ripped off during the Angel War, then reattached afterwards. The skin also puckered around the odd silicon node, or patch of implanted sorcerous circuitry, which powered his impressive binary magics. Plasma lights sputtered on and off around him, as some drifting thought or impulse rewrote reality on some basic level. He was good-looking enough, in a sulky sort of way, and would probably be dangerous if he ever got around to growing a pair.\n\nKing of Skin was more than a man but less than a god. Or possibly the other way round. It was hard to tell. Wrapped in his usual sleazy glamour, people only saw of him what he wanted them to see. He could charm or enchant you with a word or a look, or show you what you feared most. He could make nightmares real and send them chasing through the street after you, or grant you something very like your heart's desire, though it might look very different in the morning. Except mostly . . . he couldn't be bothered. A nasty man with nasty tastes and worse habits, King of Skin was also a Major Player, when he chose to be. For today's meeting, he had chosen to appear as the young Elvis, in Ann-Margret drag.\n\nAnd, finally, there was Larry Oblivion. The dead detective, the post-mortem private eye. He looked in pretty good shape, for a zombie. Word was he'd been betrayed and murdered by the only woman he ever loved. She brought him back as a zombie, and he killed her for it. Just another love story, in the Nightside. Tall and well built, he wore the very best suit Armani had to offer. He had a colourless, stubborn face under lank, straw-coloured hair, and his icy blue eyes burned with something much worse than life. Up close, I knew he would smell faintly of formaldehyde. He had a good reputation as a private eye. Almost as good as mine.\n\nHis brother was missing, presumed dead. Because of me.\n\nAnd these were the new Authorities\u2014my old Enemies. Did that mean something? Had I escaped one awful destiny, only to see the start of another? Or had I really escaped anything at all? Julien Advent excused himself from the increasingly bad-tempered discussions and came over to join me. Walker made a point of moving politely away, while Suzie made a point of standing firmly at my side, glaring at everyone impartially.\n\n\"Good to see you again, John,\" Julien said easily. \"I know we're going to achieve great things together.\"\n\nSuzie sniffed loudly. We both ignored her.\n\n\"You always were the optimist,\" I said. \"I thought you didn't approve of me?\"\n\n\"Mostly I don't,\" said Julien, with his usual frankness. \"But on the whole you do more good than harm, in your own disconcerting and quite appalling way.\"\n\n\"That's right,\" I said. \"Smooth-talk me.\"\n\nJulien regarded me seriously. \"We need you, John. No-one else can do what needs doing.\"\n\nHe broke off as Jessica Sorrow drifted over to join us, still hugging her teddy bear to her. Even the great Julien Advent got nervous around the Unbeliever. I sensed as much as saw Suzie reaching for her shotgun and shook my head urgently. Jessica stopped right in front of me and fixed me with her dark, bottomless gaze. She was so skinny there was hardly anything of her; in fact, her leather jacket probably weighed more than she did. She smiled briefly, almost shyly, and when she finally spoke, her voice was like a whisper from another room.\n\n\"You helped me, John. Or at least, the bear did. I'm so much more together, these days.\"\n\n\"I'm glad to hear that,\" I said.\n\nShe looked me over slowly, consideringly. \"Something bad happened. Something so bad I had to make myself forget everything, just to be rid of it. I don't even know if my name really is Jessica. I'm better now. More . . . focussed. Being here, being a part of this, helps.\"\n\n\"We're all very pleased to have you here with us, Jessica,\" said Julien. And being him, he probably meant it. I had to wonder how the others felt, having the Unbeliever in their midst. Must be like sitting down with an unexploded bomb and wondering if you could hear ticking. I left Julien and Jessica talking and moved over to the long table. They'd run out of things to argue about, for the moment, and were scowling coldly at each other. Until I arrived, then they all switched immediately to glaring at me. I gave them my best cheerful smile.\n\n\"Hi, guys. Where's the buffet?\"\n\n\"We should never have invited you here,\" said Larry Oblivion, his voice remarkably normal for a dead man. He scowled past me at Jessica Sorrow. \"We should never have invited her, either. I don't trust her.\"\n\n\"Hell, darling, I don't trust anybody here,\" said Annie Abattoir. If a cat could purr with a mouthful of cream while screwing another cat, it would sound like Annie. \"But if I can put aside my prejudices, and my quite-justified paranoia where some of you are concerned, to try and make this work, so can you. Oh hush, dead man. We've heard it all before. Don't make me come over there and sit on you.\"\n\n\"We all bring something to the table,\" Julien Advent said firmly, as he and Jessica seated themselves again. \"I bring respectability, and the power of the press. Jessica is here to frighten our enemies. Annie has practised her appalling profession for every side there is, and a few she made up specially, and so has important contacts everywhere. Count Video and King of Skin are both Major Players, and command respect. And Larry has built quite a reputation for public service, since his death.\"\n\n\"Nothing like dying to provide a real wake-up call to the conscience,\" said Larry. \"Heaven and Hell seem so much closer . . .\"\n\n\"If you wanted a professional private investigator, why didn't you ask me?\" I said, a bit put out.\n\n\"You've never been much of a team player, John,\" Julien said kindly. \"And to be honest, given your . . . family history, no-one in the Nightside is ever going to feel comfortable with you in charge.\"\n\n\"He has a point,\" said Suzie, leaning back lazily against the wall with her arms folded. \"I'll still shoot them all, though, if you like.\"\n\n\"Maybe later,\" I said. I can never tell when she's joking about things like that. Maybe she can't either. I indicated Walker, still standing politely off to one side. \"What about him? Why isn't he a part of the new Authorities? He's got more experience in running the Nightside than all of you put together.\"\n\n\"They asked me,\" Walker said calmly. \"I declined. My feelings about the Nightside are no secret, and I have to admit; my recent attempts at imposing some kind of order on the various Beings of the Street of the Gods...didn't work out too well. I was called in to organise, regulate, and modernise all the various churches, religions, and Beings, but despite my best efforts, things . . . deteriorated quite rapidly. It's not my fault the make-overs didn't take. Worshippers can be so literal, and very stubborn. And then the Punk God of the Straight Razor got involved, and it all went to Hell in a hurry.\"\n\n\"I remember that,\" I said. \"For a while you couldn't move in some parts of the Nightside for Beings running out of the Street of the Gods, crying their eyes out.\"\n\n\"Well, quite,\" said Walker. \"Either way, I feel I can best serve the interests of the Nightside as a functionary, not a decision-maker.\" He smiled briefly. \"Unless the new Authorities should prove unworthy or incompetent, in which case I will move in to shut them down.\"\n\n\"You would, too, wouldn't you?\" I said. \"Suddenly and violently and with malice for all.\"\n\n\"It's what I do best,\" said Walker. \"I have always found the possibility of sudden death tends to concentrate the mind wonderfully.\"\n\nThe new Authorities gave every indication of being united for the first time, as they glared at Walker.\n\n\"Let's get down to business,\" I said. \"You brought me here because of the Walking Man. Why don't you people want him here? Would it really be so bad if he were to wipe out some of our more prominent scumbags and generally take out the trash?\"\n\n\"This Walking Man tends to favour the scorched earth policy,\" murmured Walker. \"And bad as this place undoubtedly is... there are some things here worth preserving.\"\n\nI smiled. \"You are mellowing, Walker.\"\n\n\"Told you,\" said Walker. \"Terrible, isn't it?\"\n\n\"What exactly do we know for sure, about the Walking Man?\" I said, looking round the table.\n\nJulien Advent took the lead, as always. \"Throughout history, there has always been the legend of the Walking Man. That once in every generation, a man can make a deal with God to become more than a man. He can swear his life to God, and if that man will swear to serve the Light and the Good with all his heart and all his will, forsaking all other paths, such as love or family or personal needs...then that man will become stronger, faster, and more terrible than any other man. He will be invulnerable to all harm, as long as his faith remains true and he walks in Heaven's path. God's will in the world, God's warrior, the wrath of God in the world of men, sent forth to punish the guilty and stamp out evil wherever he finds it. Called the Walking Man because he will walk in straight lines to get where he has to go, and do what he has to do, and no-one will be able to stop him or turn him aside.\"\n\n\"Some Walking Men have killed kings,\" said Walker. \"Some have overturned countries and changed the fate of the world. Others have followed more personal paths, clearing the world of evil one death at a time. Some stick to the shadows, some lead armies; and now one has come to the Nightside.\"\n\n\"If some of them have been so important, why don't I know their names?\" I said.\n\n\"You probably do, if you think about it,\" said Julien.\n\n\"Ah,\" I said. \"Like that, is it?\"\n\n\"Mostly,\" said Julien. \"There have never been that many, down the centuries. Perhaps because no normal man would take such a deal, giving up love and friends and everything that makes life worth living.\"\n\n\"They're killers,\" said Larry. \"Cold-blooded, cold-hearted killers. Judge and jury and executioner. No mercy, no compassion, no pity.\"\n\n\"And only he gets to decide what's evil and what isn't,\" said Count Video. \"He doesn't care what the law has to say. He doesn't have to. He answers to a higher power.\"\n\n\"No shades of grey for the Walking Man,\" said Annie. \"Only stark black and white, all the way. You can see why so many people in the Nightside might be feeling a tad nervous, now that he's here.\"\n\n\"So as far as he's concerned, just by being here we're all guilty,\" I said. \"I can see why you thought you needed me.\" I considered the matter for a while. \"What do we know about the current Walking Man?\"\n\n\"Nothing,\" said Larry Oblivion. \"Not even his real name. He's invulnerable to all forms of remote viewing. We've tried science and sorcery, seers and oracles, and computers, gone cap in hand begging answers from important personages on all sides, and no-one knows anything. No-one wants to know anything. They're all afraid of being . . . noticed. All we know for sure is that he's on his way here. Hell, he could be here right now, walking our streets, and we wouldn't know it till the bodies started piling up.\"\n\n\"He punishes the guilty,\" Jessica Sorrow said quietly. \"And so many here are guilty of something.\"\n\n\"But . . . if no-one can see him, what makes you so sure he's coming?\" I said.\n\n\"Because he told us,\" said Annie.\n\n\"Sent me a very nice handwritten letter,\" said Julien. \"In my capacity as editor of the _Night Times_. Advising us of his purpose and intentions, and that he would be here within twenty-four hours. Which time is almost up. He wanted me to publish his letter, so everyone would know he was on his way and could put their affairs in order before he got here. Very considerate of him, I thought.\"\n\n\"Yes,\" I said. \"You would. Are you going to publish his letter?\"\n\n\"Of course!\" said Julien. \"It's news! But... not just yet. We don't need a panic. Or people taking advantage of the situation to settle old scores. We're hoping you can . . . do something, before matters get out of hand.\"\n\nI looked around the table. \"What, exactly, do you want me to do?\"\n\n\"I would have thought it was obvious,\" said Julien. \"We want you to find the Walking Man and stop him from bringing death and destruction to the Nightside in general, and us in particular. He was quite clear in his letter that he intends to kill the new Authorities to send a message to the rest of the Nightside.\"\n\n\"How am I supposed to stop the wrath of God?\" I said. Not unreasonably, I felt.\n\nLarry Oblivion smiled. \"That's your gift. We're confident you'll . . . find a way.\"\n\nI suppose I asked for that. \"What's the fee?\" I said.\n\n\"One million pounds,\" said Julien. \"And...we'll owe you.\"\n\nI nodded. \"Sounds about right.\" I looked from face to face. \"You're all powerful people. And you know even more powerful people. Some of them so powerful they aren't people at all. So why put your faith in me?\"\n\n\"Walker recommended you,\" said Julien. \"And you do have a reputation for winning out against impossible odds.\"\n\n\"You of all people should know better than to believe everything you read in the papers,\" I said. I sighed, heavily. \"All right. But let us be very clear about this. What _exactly_ do you mean, when you say you want me to stop him? Do you mean reason with him, overpower him, or kill him?\"\n\n\"You are authorised to use any and all means necessary,\" Julien said carefully.\n\n\"Hell, you can try bribing him if you think it'll do any good,\" said Annie. \"Do whatever it takes, we'll clean up the mess afterwards. If you've tried being reasonable, and he doesn't want to know, feel free to stick a gun up his nostrils and blow his bloody head off.\"\n\n\"Love to,\" said Suzie, and we all looked at her.\n\n\"I'm still worried about the whole unstoppable, invulnerable, wrath of God bit,\" I said.\n\n\"This from a man who's fought angels from Above and Below,\" said Larry. \"At least, according to him.\"\n\n\"I know my limits,\" I said, matching him stare for stare. \"I can find the Walking Man. I can talk to him. I can use all kinds of tricks to confuse and divert him . . . but after that, your guess is as good as mine. We're in unknown territory here.\"\n\n\"Scared?\" said Count Video.\n\n\"Bloody right I'm scared!\" I said. \"When the angels came here to fight their war over the Unholy Grail, their powers were strictly limited by the nature of the Nightside, and they still killed thousands of people and wrecked the place! And now Walker tells me the Nightside's nature has changed, and we don't even have that protection any more. If I had any sense, I'd go home and hide under the bed until this is all over. As it is . . . Look, when we talk about the wrath of God, we should be bearing in mind what happened to Sodom and Gomorrah, two cities destroyed by God for the sinfulness of their inhabitants. And I'll bet good money they weren't up to half the stuff that happens here on a regular basis, half price at weekends.\"\n\n\"He's still just a man,\" said King of Skin. His voice was deep and rich and irredeemably sleazy. \"Every man has his weaknesses.\"\n\n\"I'll be sure to mention that to him,\" I said. \"From a safe distance. Come on, I'm good, people, but even I can't go up against the direct will of God. Just saying that out loud is enough to make me nervous of a plague of boils on my nether regions.\"\n\n\"You do have a Biblical background,\" Julien said carefully. \"Your mother was Lilith, first wife to Adam.\"\n\n\"Yeah, right\u2014the one who rebelled against God's authority, got kicked out of Eden, went down to Hell and slept with demons, and gave birth to monsters,\" I said. \"Really don't plan on mentioning that connection to the Walking Man, thanks all the same.\"\n\n\"It's only a parable anyway,\" said Suzie, unexpectedly. \"A simple way to comprehend a much more complex reality.\"\n\nWe all looked at her for a moment. Suzie can always surprise you.\n\n\"Jessica Sorrow,\" I said. \"The Unbeliever...It seems to me that you're the only one here with a strength of belief, or rather unbelief, to match the Walking Man. Maybe if we put the two of you together, you'd . . . equal out.\"\n\n\"That was then,\" said Jessica, fixing me with her deep, dark, unblinking eyes. \"I'm much better now.\"\n\nThere was a certain amount of uncomfortable shifting about in the room, as everyone disagreed vehemently without actually saying anything.\n\n\"We're saving Jessica as our last resort,\" said Julien. \"Our most dangerous weapon.\"\n\n\"Damn,\" said Suzie. \"I thought that was me.\"\n\nJulien flashed her a sympathetic smile, then gave me his best grave and concerned look. \"It has to be you, John. You're the only one we can trust to do this.\"\n\n\"You keep saying that,\" I said. \"I'm still not convinced.\"\n\n\"I still don't get this,\" Suzie said stubbornly. \"I mean, God's wrath, fast and strong, yes, get all that. But what does he actually _do_?\"\n\n\"Anything he wants,\" said Walker. \"He's as strong as he needs to be, and as fast. He can kill with any weapon, or with his bare hands. No door can keep him out, no argument can turn him aside, and nothing in science or magic can protect you from him.\"\n\n\"Yeah,\" said Suzie. \"But is he bullet-proof?\"\n\n\"As long as he walks in Heaven's path, nothing in this world can touch him,\" said Julien.\n\n\"Even blessed or cursed bullets, with crosses carved in the end?\" said Suzie.\n\n\"He wouldn't even blink,\" said Walker.\n\nSuzie smiled suddenly. \"Then I guess I'll have to try harder.\"\n\n\"I've just had a cunning and downright disturbing thought,\" I said. \"If the nature of the Nightside has changed, could we perhaps contact the Opposition, and have them send one of their agents to take on the Walking Man?\"\n\n\"Let's you and him fight,\" said Count Video. \"I like it.\"\n\n\"Are you crazy?\" said Julien. \"Two Walking Men, going head to head in the Nightside? Remember how much damage the angels did? We're still rebuilding!\"\n\n\"Well, what about the Street of the Gods?\" I said, doggedly. \"Isn't there any Being there who feels strong enough to\u2014\"\n\n\"Not one,\" said Walker. \"The whole Street is discussing moving itself out of phase with the Nightside, until this is all over, and it's safe for them to return.\"\n\n\"There's always Razor Eddie,\" said Suzie.\n\nThere was another silent uncomfortable moment, as everyone considered the implications of that.\n\n\"The Punk God of the Straight Razor has always been a very just man, in his own appalling way,\" I said finally. \"He might decide to go along with the Walking Man. Eddie's always practised a zero-tolerance policy where the really bad guys are concerned. In a strictly hands-on, blood and brains all over the walls, sort of way.\"\n\n\"I still say we should defend ourselves!\" King of Skin said abruptly. \"Each of us is a Power, in our own right. We need to show the Nightside that we are a force to be reckoned with! We don't need to hide behind the likes of John Taylor. We should go abroad now, in all our awful glory, and grind this Walking Man beneath our feet!\"\n\n\"No!\" Julien Advent said firmly. \"This is no time to be proud! We can't stop him. Not alone, or all together. He is the wrath of God in the world of men. There is no greater Power upon the Earth today! Our only hope is that John can out-think or out-manoeuvre him.\"\n\n\"We're doomed . . .\" said Count Video.\n\n\"Hold everything,\" I said. \"Are we missing the obvious here? Why not send Walker? He can use his Voice on the Walking Man and command him to leave the Nightside and never come back.\"\n\n\"Wouldn't work,\" said Walker. \"My Voice derives its authority from that original Voice, that said _Let there be light_. I doubt it would have any effect on one who is a lot closer to the source of that Voice than I will ever be.\"\n\nWe waited, but that was all he had to say. Trust Walker to give you an answer that left you with more questions than you started with. Another thought occurred to me, and I looked hard at Walker.\n\n\"It's just like old times, this, isn't it? You recommended me for this job because I'm expendable. If I can stop the Walking Man, fine. If I can't, you'll have learned something from the encounter you can use to brief the next poor fool you send after him. You haven't changed a bit, Walker.\"\n\n\"I'd go myself if I could,\" said Walker. \"But I can't stop him. At least you've got a fighting chance. And if he should kill you, John, I will find a way to make him pay.\"\n\n\"How very reassuring,\" I said. \"You didn't have to bother with the emotional manipulation, you know. I would have done this anyway.\"\n\n\"John, I didn't\u2014\"\n\n\"Not now, Walker,\" I said. \"Not now.\"\n\nI fired up my gift, concentrating on my inner eye, opening it wide so that my Sight soared high above the Nightside. Bright lights shone amongst dark buildings, and hot neon blazed like bale-fires in the night that never ends. The streets turned slowly under me as I searched, until I spotted one single spark that shone so much more brightly than all the others. I plunged down, closing in on my target, until finally I found him, the Walking Man, strolling down a main street with laughter on his lips and cold, cold death in his eyes. And then he stopped, and turned, and looked right at me.\n\n\"Well hello there! Come and find me, John Taylor. Before I find you.\"\n**FOUR**\n\n_Justice, for All_\n\nI have been hated and feared, loved and adored, but being looked on with sheer naked jealousy was a whole new experience to me. I decided to enjoy it while it lasted. It seemed like half the Membership of the Adventurers Club had crowded into the bar to watch Suzie and me descend the stairs from our meeting with the new Authorities. Some were trying to look without being seen to be looking, some just happened to be glancing in our direction, but most were glaring right at us with stares that could have punched holes through an elephant. I could see jealousy, curiosity, intrigue, and barely suppressed fury in the famous faces turned in our direction, and I loved every moment of it. All these heroes and adventurers, with their magnificent histories and legends, but it was Suzie and me who got to meet with the new Authorities first.\n\n_It should have been me,_ all the faces said, and I gloried in it.\n\nI bestowed upon them all my most cheerful and enigmatic smile and walked through the bar without saying a single word. Let them wonder, let them marvel . . . I was the man on the spot, and they weren't. It's the little victories that keep me going. Suzie, as usual, gave no indication of giving a damn what anyone thought of her, good or bad. In fact, it was entirely possible she hadn't noticed any of the jealousy around her. Such small things were beneath her.\n\nWalker followed us through the Club, and out on to the street again, also without saying a word to anyone. But then, Walker never says anything without a purpose. I like to think he escorted us out as a mark of respect, and not because he was afraid we might take offence and start something.\n\nOutside in the street, leaning quite casually against the Club's oversized Doorman, Chandra Singh was waiting for us. He favoured us all with his great flashing smile and came forward, his every movement as smooth and lithe as a jungle cat scenting a kill.\n\n\"I trust your meeting with our new Authorities went well, Mr. Taylor, and that you are now fully empowered to track down the infamous Walking Man.\"\n\nWalker sighed. \"You really cannot keep a secret in this place . . .\"\n\n\"You still want to help out on this?\" I said to Chandra. \"Knowing how dangerous the Walking Man can be?\"\n\n\"Of course!\" Chandra said happily. \"I love a good hunt.\"\n\nI considered him thoughtfully. Chandra Singh had an excellent reputation as a tracker, fighter, and holy terror in trouble spots all over the world, and I could certainly use his expertise. But I had to wonder if his motives were quite as clear-cut as he made out. Whether he only wanted in on this . . . for a chance to go head to head with the Walking Man to test his faith, one holy warrior against another.\n\nWhat the hell, I could always use a good stalking horse. And someone big to hide behind. Suzie and I could always throw him to the wolves if necessary.\n\n\"All right,\" I said. \"You're in. Try not to get in our way.\"\n\nChandra laughed. \"No, Mr. Taylor, you must try to keep out of mine.\"\n\n\"Men,\" said Suzie. \"Why don't you just get them out and measure them?\"\n\nWalker started talking over her before she'd even finished. He'd always had problems with Suzie's directness.\n\n\"You found the Walking Man with your gift, John. Can you tell us what he looked like? Most people only ever get to see the Walking Man if they're about to die at his hands, which makes it very difficult to get a clear description.\"\n\nSuzie and Chandra looked at me curiously, too, so I thought about it. \"He's tall and lean,\" I said finally. \"And he swaggered down the street like he owned it. He wore a long duster coat, earth brown, battered and worn as though through long exposure to the elements. I couldn't tell you how old he is; he had a blunt, square face, heavily lined, as though life had cut harsh experiences deeply into him. He smiled all the time, a bright, mocking smile, as though all the world was crazy and only he knew why. His eyes . . . looked right through me. As though I was just another obstacle in his path, something to be knocked down and walked over if I got in his way. I've lived most of my life in the Nightside, gone head to head with gods and monsters and worse, and I am here to tell you . . . I have never seen anything as scary as that man. So sharp, so intense, so focussed. . . . He looked like every human weakness had been scoured out of him\u2014by life, or death, or maybe even God himself.\"\n\n\"I never knew you to be so eloquent, John,\" murmured Walker.\n\n\"Yeah, well,\" I said. \"Stark terror will do that to you.\"\n\n\"You want to let this one go?\" said Walker. \"Step aside, and let someone else talk over?\"\n\n\"No,\" I said.\n\n\"Hell no,\" said Suzie.\n\nChandra just gave us his broad grin again, his eyes twinkling and happy. I was beginning to get a bit worried about Chandra.\n\nWalker took out his pocket-watch, fiddled with the fob, and immediately the three of us were on our way. The transition was as unpleasant as before\u2014darkness, total and complete, but with the enduring sense that there was something else in there with us. Something imprisoned in the dark, waiting for its chance. It could have been just my imagination, but that's not the way to bet in the Nightside. The three of us reappeared half-way down the street where I'd Seen the Walking Man in my vision. He wasn't there any more. No-one in the busy street paid any attention at all to our sudden arrival. In fact, I got the impression from the faces of people around me that sudden arrivals were so common as to be utterly unfashionable.\n\n\"An impressive way to travel,\" said Chandra Singh, quickly checking his person to make sure everything had arrived safely.\n\n\"You have no idea,\" I said. \"Really.\"\n\nWe were standing on one of the main shopping streets, in the wildly expensive area usually referred to as the Old Main Drag. The kind of exclusive establishments where nothing has a price tag, because if you have to ask, you can't afford it. The neon signs were delicate and restrained, the window displays were works of art, and you had to make an advance appointment just to get sneered at by the sales staff. The Timeslip had deposited us right in front of one of the most famous stores. The elegant sign said simply PRECIOUS MEMORIES, the single window was covered with steel shutters, and there wasn't a clue anywhere as to exactly what the shop sold. Again, either you already knew, or you were in the wrong place. Precious Memories only supplied its very expensive products to those in the know. An exclusive place, offering exclusive services, for very exclusive people. I'd heard of the shop and what it offered because I make it my business to know about such things.\n\n\"Memory crystals,\" I said to Suzie and Chandra. \"These people can impress real, _you are there_ , POV memories on to a single crystal, which can then replay the experience in its entirety. Complete sensory recordings of any experience, to be enjoyed as many times as you wish.\"\n\n\"What kind of memories?\" said Chandra. \"What kind of experiences?\"\n\n\"No-one knows,\" I said. \"Except the few fortunate customers. The suppliers go to great pains to keep it all very hush-hush. There are any number of guesses, of course. Important events from the point of view of the protagonist. Any and all kinds of sex, by any and all kinds of people. Gourmet meals, enjoyed by the experienced taste buds of a real epicure. The rarest of wines, on an educated palate. Whatever interests you . . . Precious Memories is supposed to be able to supply you absolutely any experience you can name, from climbing Mount Everest to diving in the Mariana Trench. For the right price, of course. But, no-one knows for sure.\n\n\"The customers never talk. Part of the deal. The crystals are very expensive, and there's only a limited supply. There's a waiting list to get on the waiting list. Precious Memories is in a position to pick and choose, and it does. So even though there is intense curiosity everywhere as to what the experience is like, no-one ever talks.\"\n\n\"Oh come on,\" said Suzie. \"This is the Nightside. Someone always talks.\"\n\n\"A few customers dropped a hint or two, and were immediately cut off,\" I said. \"They killed themselves.\"\n\n\"Ah,\" said Chandra. \"The practice is addictive, perhaps?\"\n\n\"Could be,\" I said. \"The crystals are supposed to be a safe way of observing or experiencing very extreme and unsafe things. Though, of course, that's not for everyone. When you come to the Nightside, the risk is part of the game.\"\n\n\"The door's open,\" said Suzie.\n\n\"Yes,\" I said. \"I Saw the Walking Man push it open, quite easily, as though all its locks and security measures were nothing to him.\"\n\nWe looked at the door, standing slightly ajar.\n\n\"It seems . . . very quiet in there,\" said Chandra. \"I think we have a duty to investigate the situation.\"\n\n\"Right,\" said Suzie. \"Try and stay out of the way when I start shooting.\"\n\nI pushed the door in, with one hand. No reaction, no alarms, no sound at all from inside. Not good. I led the way in, Suzie and Chandra pressing close behind me. The lobby of Precious Memories was perfectly normal\u2014comfortable chairs, a nice carpet, tasteful prints on the walls, and an impressive state-of-the-art reception desk. All perfectly normal. Except for the bodies lying everywhere, and the blood splashed thickly across the walls, soaking into the rich carpet. Dozens of men and women, in expensive clothing, lying broken and bloodied with staring eyes, reaching out for help that never came. All of them shot to death, and not too long ago.\n\nI moved cautiously forward, stepping over and around the bodies. Everything was still, and silent. Suzie had her shotgun in her hands. Chandra had his long, curved sword. Dead men and women covered the floor of the lobby, cut down where they stood. Huge chest wounds, gaping holes in backs, heads blown apart. The stench of spilled blood was so strong I could taste it in my mouth, and it squelched up out of the carpet as I trod on it. More blood ran down the walls, along with the occasional grey splash of brains. Some of the dead looked to be clients, some staff. Young and old, they'd all been murdered with brutal efficiency. Heart shots, head shots, and in the back if they'd tried to run. Even the receptionist was dead, sitting slumped in her chair behind her desk. She was just a teenager, but the Walking Man had shot her through the left eye.\n\nChandra Singh moved quickly through the lobby, kneeling here and there to check for a possible pulse, searching increasingly desperately for anyone who might have survived. Suzie swivelled back and forth, searching for a target, for someone she could shoot. The dead didn't bother her. She'd seen worse. I stood in the middle of the lobby, looking around for some sign of where the Walking Man might have gone, but the bodies kept drawing my attention back to them. Forty-eight in total, mostly men. Gathered together in the lobby for some kind of meeting. Some had been gut-shot, their insides splashed across the carpet. Some looked like they'd tried to surrender. It hadn't saved them. _The wrath of God in the world of men . . ._ What could have been going on here to make him so angry? There was another door, at the far end of the lobby, with a single bloody hand-print on it.\n\n\"This is an abomination,\" said Chandra Singh, quite simply. \"There cannot be any justification for such . . . slaughter, such human butchery.\"\n\n\"This is bad,\" I said. \"Even for the Nightside.\"\n\n\"He walked in and killed everyone he saw,\" said Suzie. \"What could they have been guilty of, to make him so angry? Or were they just in his way?\"\n\n\"I hunt monsters,\" said Chandra. \"I have dedicated my life to protecting people from the things that prey on them. I never thought I would see the day when I would end up on the trail of a human monster. How could a man of God do something like this?\"\n\nI moved over to the reception desk. Set directly before the dead receptionist was a single memory crystal. Someone had drawn an arrow in blood on the desk top, pointing to the crystal. We all gathered together before the desk and studied the crystal carefully, without touching it.\n\n\"Did he leave this here, for us?\" said Chandra. \"His . . . explanation, or justification, for this atrocity?\"\n\n\"Could be a clue as to where he's gone,\" said Suzie. \"Hope so. I really want to kill this one.\"\n\n\"I'll try it,\" I said. \"If it looks like it's a trap, or the memory's . . . getting to me, slap the bloody thing out of my hand.\"\n\n\"Got it,\" said Suzie.\n\nShe put her shotgun away, and moved in close beside me as I nerved myself to pick up the crystal. It looked like such a small, innocent thing, but I didn't want to touch it. I didn't trust it. And . . . I wasn't at all sure I wanted to see what was in it. The things the Walking Man had done here. But in the end I picked it up anyway. Because that was the job.\n\nTo my surprise, a giant screen appeared, floating in mid air in the middle of the lobby. And from Suzie and Chandra's immediate reactions, it was clear they could see it, too.\n\n\"This isn't what I was expecting,\" I said.\n\n\"He must have modified the crystal,\" said Chandra, frowning. \"I didn't know you could do that.\"\n\n\"You can't,\" I said. \"At least, not without access to really high tech.\"\n\n\"He probably just touched it,\" said Suzie. \"And it had no choice but to do what he and his god wanted.\"\n\nWe thought about that. What could be so terrible, that we couldn't experience it first hand, but only on the screen?\n\n\"How do we activate the thing?\" said Suzie.\n\n\"I don't know,\" I said. \"Maybe you just say _Start!_ \"\n\nAnd the huge screen came to life and showed us awful things.\n\nIt wasn't a memory. Or a sensory experience. It wasn't even POV. It showed us a view of the lobby, with men and women standing around, talking quietly. They all seemed quite happy, and relaxed. Ordinary men and women, going about their ordinary business. They had no idea what was coming. No idea who was coming for them. They all looked round in surprise as the door suddenly opened, all the locks and security measures disengaging by themselves. And then the Walking Man strode in, with a smile on his lips and murder in his eyes, his long duster coat flapping about him like some Wild West preacher come to dispense brimstone and hellfire.\n\nThe men and women were still looking at him, puzzled and a little taken aback, like hosts presented with an unexpected guest. I wanted to call out and warn them, but there was no way my voice could reach them. The Walking Man's coat opened by itself, falling back to reveal a simple white shirt over worn blue jeans and two large pistols holstered head to head across his flat stomach. The guns seemed almost to leap into his hands as he reached for them; old-fashioned Wild West pistols, with long barrels and wood grips. Peacemakers, the guns Wyatt Earp and his brothers used to tame helltowns like Tombstone. The Walking Man was still smiling when he began killing people.\n\nHe strode forward into the lobby, shooting the men and women before him with casual, practised skill. No warnings, no chance to surrender, no mercy. He shot them in the head or in the chest, and he never needed more than one bullet. The screaming started then, as surprise turned to shock, and to horror. People fell back as bodies crashed to the floor, and blood and brains flew on the air. The Walking Man never missed, and he never shot to wound, and though he fired and fired without pausing his guns never ran out of bullets. By now the lobby was full of shouting and screaming and pleading, and the sound of continuous gunfire. Some tried to run, and the Walking Man shot them in the back, or in the back of the head.\n\nThe huge guns bucked and roared in the Walking Man's hands, but his aim was always perfect, and he never grew tired. His smile actually widened a little as he worked his way through the lobby, as though the killings invigorated him. Bullets slammed into bodies like sledgehammers, throwing men and women backwards, or slamming them to the ground. Arms flailed wildly amongst spurting blood, and heads exploded in flurries of blood and brains. The Walking Man stepped over kicking bodies, to get at those who remained.\n\nSome pleaded, some protested, some even sank to their knees and begged for their life, tears streaming down their faces. The Walking Man killed them all anyway. A few tried to fight back. They drew guns and knives, and even beat at him with their bare hands. But bullets bounced off him, knives couldn't cut him, and he didn't seem to feel their blows. He was the wrath of God in the world of men, and no-one could stop him doing anything he wanted.\n\nSome men pulled hysterical women before them, to use as human shields. The Walking Man killed the women, then the men behind them. Until finally he stood in the centre of the lobby and looked around him. No-one had escaped. The floor was heaped with the dead, the last of their life's blood soaking into the rich carpeting. The only sound came from the teenage receptionist, crying loudly, hopelessly, in her chair behind her desk. The Walking Man shot her through the left eye. Her head snapped back, and her brains stained the wall behind her.\n\nHe walked unhurriedly across the lobby, sometimes kicking bodies out of his way, until he came to the door at the far end. He paused there a moment, then picked up a dead man's arm to press the bloody hand against the door, leaving a clear bloody handprint. A sign of where he'd gone. The view on the screen followed him through the door and down the steps he found there, to the next level. At the bottom of the steps, another heavy door, with state-of-the-art electronic locks and security devices. The Walking Man looked at them, and, one by one, the locks snapped open and the security devices disengaged. The door swung slowly open as he approached it.\n\nThe Walking Man entered a long, narrow room full of computers and assorted technology. Someone had money for the very best. The Walking Man passed them by, indifferent. He did pause to consider hundreds of memory crystals growing in a thick, shimmering liquid bath, inside a wide glass-and-steel lattice. The equivalent of a DVD-pressing plant, perhaps. The technicians working in the room looked round sharply as he entered, then rose quickly from their chairs and backed away as they saw the guns in his hands. One of them hit an alarm, and a raucous electronic howl filled the room. Armed men came running into the room from the other end. They had semi-automatic weapons, and body armour. They opened fire the moment they saw the Walking Man\u2014short, controlled bursts, just the way they'd been trained.\n\nHe killed them all anyway. Guards and technicians, armed and unarmed. His bullets punched clean through the body armour as easily as through the technician's white lab coats. Weapons couldn't touch him, couldn't stop him. He walked unhurriedly forward and killed everyone before him. Once again there was shouting and screaming, and pleas for mercy, and blood and brains on the air and on the floor, but the Walking Man never stopped smiling. A cold, grim, satisfied smile. When they were all dead, he systematically smashed the crystal lattice, and half-formed crystals splashed on to the floor, and the Walking Man crushed them under his boots.\n\nAnother door, at the far end. More stairs, down to the next level. The defences there were really hard core. They would have stopped anyone else. As the Walking Man reached the bottom of the stairs, heavy-duty gun barrels protruded from both walls and opened fire on him. The din in the confined space was appalling, as the guns pumped out thousands of rounds per minute, but he strode unflinchingly through the smoke and the noise, and none of the bullets could touch him. His coat wasn't holed or tattered, or even scorched by proximity to the red-hot gun barrels. The guns finally fell silent, and the Walking Man went on.\n\nFurther down the hallway, energy guns slid smoothly out of the walls, future or alien technology from some Timeslip or another. They blasted the Walking Man with all kinds of energies and radiations, strange lights flaring in the dimly lit hallway, and none of it affected him in the least. He grabbed one gun barrel as he passed, ripping it effortlessly from its mounting. He examined it briefly, then threw it aside, never slowing his pace for a moment.\n\nForce shields sprang into being before him, shimmering walls to block his way. He strode through them, and they burst like soap bubbles. Poison gasses belched into the hallway from hidden vents, and he breathed them in like summer air and kept going. A trap-door opened abruptly beneath his feet, revealing a bottomless pit, but he kept walking, as though the floor was still there to support him.\n\nFinally, he came face-to-face with a massive steel door. Ten feet tall, eight feet wide. Just to look at it was to know it was thick and heavy and solid. Tons of steel, held in place by massive bolts. The Walking Man stopped, and considered the door thoughtfully. Far behind him, the alarms were still shrieking dimly. The Walking Man put away his guns and placed both his hands flat against the steel door. He frowned slightly, and his fingers sank slowly, unstoppably, into the solid steel as though it were so much mud. He buried his hands in the metal, took a good hold, and tore the door apart, splitting it from top to bottom. The steel screeched like a living thing as it broke, forced to left and right like a pair of curtains. The Walking Man pulled his hands free with hardly an effort and walked on.\n\nCyborg guards came running to meet him, huge ugly men with crudely implanted technology. They were big and muscular with unfamiliar tech thrust inside their bodies, some of it still protruding through puckered skin. Home-made cyborgs, not from any future time-line. They came at him with augmented hands\u2014steel claws and energy guns protruding from their wrists and palms. But the guns couldn't touch him, and the claws couldn't cut him. The Walking Man tore their implants right out of them, ripping the tech out with his bare hands, then smashed it over their misshapen heads. He beat them to death, with simple brute efficiency, one after the other, until there weren't any more. He stood over their broken bodies for a moment, his hands dripping blood and motor oil, then he went on, into the rough stone cellar at the base of the building.\n\nA long run of basic kennels held some twenty or more dogs. Large, powerful creatures in good condition. They all barked loudly at the Walking Man, protesting his presence. They could smell the blood and death on him. They moved restlessly back and forth in their kennels, uneasy as he approached them. Some actually backed away, disturbed by his intensity, while others threw themselves at the steel mesh of their kennel doors, barking and snarling and slavering, desperate to get at him. The doors were all firmly padlocked. The Walking Man was in no danger from them. He killed them all anyway. He walked slowly from one end of the kennels to the other, shooting each dog in the head. Some defied him to the last, some backed away with their tails between their legs. The last few crouched down, abasing themselves before him, pissing themselves and wagging their tails hopefully. He killed every last one of them.\n\nFinally, he turned to face us, looking out of the screen as though he could see the three of us watching him. And perhaps he could. It took me a moment to realise he wasn't smiling any more. He put his guns away, and said, \"This is why.\"\n\nThe scene moved past him, past the dead dogs in their kennels, to give us a clear view of the whole cellar. It was full of cages, rows and rows of them, maybe four feet square at most, simple steel mesh in steel frames. And in each of these cages was a child. Naked, bruised, and beaten, shivering, with a hopeless face and empty eyes. A bowl of water, and straw on the floor to soak up the wastes, and that was all. Not even a bucket to shit or piss in. Children, kept like animals. Worse than animals. Small children, none older than nine or ten. The youngest looked to be a little girl about four years old. None of them were crying, or asking for help, because they'd learned the hard way that didn't work. They looked at the Walking Man with blunt animal curiosity. They didn't expect to be rescued. All hope had been systematically beaten out of them. The cages weren't big enough for them to stand up. They sat or crouched listlessly, in their own filth. Waiting for whatever this man wanted to do to them.\n\n\"These children were snatched off streets all over London,\" said the Walking Man. \"Brought here to the Nightside, to be raped, tortured, mutilated, and, eventually, murdered. All so that the experience could be impressed on a memory crystal, then sold to those who delight in such things. A real _you are there_ experience, for sale to the very highest bidders. This was the product Precious Memories dealt in, for its very select clientele. Utter degradation, from a safe distance. They didn't do anything, after all. They just watched. Over and over again, until the thrill wore off. Long after the child was dead and gone. That's why everyone here had to die. They all knew what was going on. They all profited. They were all guilty. After the children died their slow, horrible deaths, their bodies were fed to the dogs, for disposal. And that's why they had to die, too.\"\n\nHe moved into view again, unlocking the cages one by one. None of the children tried to leave. They cowered back, afraid of the Walking Man, as they'd learned to be afraid of all men. Even with the doors open, they wouldn't, couldn't, leave. When the Walking Man had finished, he turned back to look at us.\n\n\"Help them,\" he said. \"Get them out of here. Get them to safety, and comfort, and heal those who can be healed. Get them home. I can't stay here. I still have work to do. I have to track down everyone who was on Precious Memories' customer list, and kill them all.\"\n\nThe viewscreen disappeared, and the three of us were left together in the lobby full of dead people. I snatched my hand away from the memory crystal. I was shaking so hard I couldn't speak. Suzie moved in close beside me, comforting me as best she could with her presence. I looked around at the dead men and women. I couldn't believe I'd ever felt sorry for them. After what they'd done... the Walking Man showed them more mercy than I would have. He'd given them quick, clean deaths. I felt cold, so cold, right down to my soul. Bad things happen in the Nightside. That's what it's for. But this . . . systematic, business-like brutality, to feed the worst appetites of humanity . . . a concentration camp for children . . . He was right. The Walking Man was right, to kill every last one of them.\n\nI must have said some of that aloud, because Chandra Singh nodded quickly. When he spoke, his voice was thick with outrage.\n\n\"Perhaps . . . I have been hunting the wrong kind of monster, all these years.\"\n\n\"We have to go down there,\" said Suzie. \"Into the cellar. We have to help the children.\"\n\n\"Of course we do,\" I said.\n\nWe went down into the cellar. Sometimes we stepped over the bodies, sometimes we kicked them out of our way. At the bottom level, the smell hit us first. It drifted through the broken steel door like a breeze gusting out of Hell. A bad smell, of death and horror, of human filth and children's suffering. Of piss and shit, sweat and blood. Of terrible things, done in a terrible place. A harsh, reeking, animal smell.\n\nThe children were still there, in their cages, trapped in the world that had been made to hold them. Suzie and Chandra approached the cages slowly and cautiously, speaking softly to the children, trying to coax them out. I got on the phone to Walker. I told him what had happened there, then I told him to send help. All the help the children would need. There must have been something in my voice, because Walker didn't argue or waste my time with unnecessary questions. He promised me help was on the way, and I hung up on him.\n\nChandra was having some success reaching the children, with his great smile and his warm, friendly voice. And perhaps because he was dressed so differently from what they were used to seeing. Suzie did better. They weren't as afraid of a woman. I tried to help, but I was too close to what they'd been taught to be afraid of. It seemed to take forever for Walker's people to arrive. Down there, in that hell. When the doctors and nurses and shrinks finally turned up, we'd still only managed to coax seven of the children out of their cages. Five boys, two girls. They looked at us with wide, traumatised eyes, still too disturbed to talk, just beginning to hope that maybe their long nightmare was finally coming to a close.\n\nOne of the girls, a small bruised child of maybe five or six, impulsively hugged Suzie, who was kneeling before her. I moved forward to take the child away, but Suzie stopped me with a look. She slowly closed her arms around the girl and hugged her back. The child nestled against Suzie's breast, safe at last. Suzie looked up at me.\n\n\"It's all right, John,\" she said. \"I can do this. I can hold her. It's like holding me.\"\n\nI guess one abuse survivor can always recognise another.\n\nThe doctors and the nurses and the shrinks did what they could. I got the feeling they'd seen this kind of thing before. They seemed to know what to say. One by one, the children began to emerge from their cages. Some could even say their names. Walker finally showed up and looked the scene over. His expression never changed, but his eyes were colder than I'd ever seen them.\n\n\"We don't have social services, as such, in the Nightside,\" he said finally. \"Not much call for them. But I've got people coming in from all over, including a few telepaths and empaths. They'll get the children stabilised, then I'll arrange for them to be taken back into London proper. Back to their homes, eventually. Hopefully. The children will get everything they need, John. You have my word on that.\"\n\n\"Search the computers here,\" I said. \"There has to be a complete list of Precious Memories' customers, distributors, everyone involved in this filthy business who weren't here when the Walking Man came calling. Find them all, Walker, and punish them. No exceptions, no excuses, no mercy. No matter how well connected some of them may be. Because if the Walking Man doesn't kill them, I will.\"\n\n\"He's been sighted again,\" said Walker. \"At the Boys Club. Do you know it?\"\n\n\"Of course I know it,\" I said. \"It's back in Clubland. Send us there.\"\n\n\"I'm not going,\" said Suzie. I looked at her, and she met my gaze steadily, still holding the small child in her arms. \"I need to be here, John. To see they all get the help they need. I can help. I understand.\"\n\n\"Of course you do,\" I said. \"Stay. Do what you can. I'll take care of things.\"\n\n\"I will go with you,\" said Chandra Singh. \"I need to talk to this Walking Man. What kind of a man is he? What kind of man can go into places like this and kill everyone he finds? What must that do to a man, to his state of mind? To his soul?\"\n\n\"He wants us to know,\" I said. \"That's why he showed us everything. He's teaching us to see the world as he does. Black and white, right and wrong, and no shades of grey. A world where the guilty will be punished.\"\n\n\"He still has to be stopped,\" said Walker. \"All cats are grey in the Nightside. And not all of them deserve to be judged so harshly.\"\n\n\"Are there other places like this, in the Nightside?\" I asked him. \"Did you know about this place?\"\n\n\"No,\" said Walker. \"But I can't say it surprises me. The Nightside exists to serve sinners. All kinds of sin. There are places worse than this, and if you keep following the Walking Man . . . I've no doubt he'll show you just how dark the night can get.\"\n**FIVE**\n\n_Bad Boys and Wayward Girls_\n\nWalker's Portable Timeslip delivered Chandra Singh and me right into the middle of Clubland, and we took a moment to lean on each other while our heads and stomachs settled. Passing through that unnatural darkness was getting worse. The latest one had felt like being trapped in a plummeting lift, while it was on fire, and something really bad was gnawing its way through the lift floor to get at me. Only more so.\n\n\"That . . . was most unpleasant,\" Chandra said finally.\n\n\"Yeah,\" I said. \"And Walker's been doing that every day for years. Explains a lot about the man.\"\n\nI led the way through the relatively sophisticated streets of Clubland (where you could still get mugged but at least the fellow would have the decency to wear a dinner jacket) and headed for the Boys Club. Chandra was inexperienced in the ways of the Nightside, so it fell to me to explain to him just what kind of a place the Boys Club was. Basically, it was a particularly nasty and wholly corrupt establishment where all the Nightside's most pre-eminent gangsters, crime lords, Mr. Bigs, and general scumbags went to be with their own kind. To spend their money ostentatiously, practise very basic one-upmanship, usually involving guns, and boast of their latest successes and ill-gotten gains. Taste, restraint, and charm are notable by their absence, at the Boys Club.\n\n\"The law knows of this place, and does nothing?\" said Chandra.\n\n\"This is the Nightside,\" I said patiently. \"There is no law here, and less justice, unless you make some for yourself. Walker and his people only ever step in when things are really getting out of hand, and then only to restore the status quo. This is a place where people come to do the things they're not supposed to, and pursue the pleasures they're not supposed to want. Forbidden knowledge, forsaken gods, and all the fouler kinds of sex. And where there's business, you can be sure there's always someone taking a cut. By force if need be.\"\n\n\"And these...people belong to the Boys Club,\" said Chandra.\n\n\"The nastiest, vilest, and most unpleasant representatives of their kind,\" I said.\n\nChandra Singh considered this. \"Why not just kick in the door and toss in half a dozen incendiaries?\" He smiled briefly. \"Being a monster hunter teaches you to be practical, above all else.\"\n\n\"You could kill everyone in there,\" I said. \"And most of us have thought about it, at one time or another, but they'd all be replaced within the hour. There's never any shortage of people on the way up, eager for a chance to prove they can be even nastier and more unpleasant than the scumbags they're replacing.\"\n\nChandra looked at me seriously. \"Why do you stay in this terrible place, John Taylor? I have heard stories about you . . . but you do not seem such a bad man. What keeps you in the Nightside?\"\n\n\"Because I belong here,\" I said. \"With all the other monsters.\"\n\nI increased my pace. Part of me was worried that we'd get there too late and find another massacre. And part of me wondered if that might be such a bad thing . . . But not everyone in the Boys Club deserved to die. Just most of them.\n\nThe Club finally loomed up before us, flashy, gaudy, and weighed down with a really over-the-top Technicolor neon sign. Nothing to indicate what the Club was for, of course; either you already knew, or you had no business being there. Membership was strictly by invitation only, an acknowledgment by your peers that you'd made it, that you were finally big enough and important enough to be one of the Boys.\n\nAnd there, waiting outside the front door for us, was the Walking Man. He was leaning casually against a lamp-post in his long duster, with his hands in his pockets, smiling easily, one foot planted on the neck of the Club's unconscious Doorman. Chandra and I came to a halt, maintaining a respectful distance. The Doorman was big enough to be part troll, but there he was lying facedown in the gutter, without an obvious wound on him. The Walking Man nodded to us, then we all stood there for a while, taking the measure of each other.\n\nThe Walking Man looked just as I remembered him to, but in person there was so much . . . more to him. He had an air, a presence, an almost overwhelming intensity to him, as though he was the only real man in a world of fakes and posers. His eyes were bright and merry, his smile was full of mischief and bravado, and everything about him exuded an almost spiritual insolence. _I am here to do absolutely appalling things in the name of the Good,_ his stance positively shouted. _And what are you going to do about it?_ He had the look of a man who would do anything he felt like doing, and do it with a laugh on his lips and a song in his heart. This was no sombre driven warrior of God come to do his duty, no cold and dour executioner. This man enjoyed what he did.\n\n_Dead men and women, and dogs. And children in cages._\n\n\"John Taylor,\" the Walking Man said finally, in a happy, cheerful voice. \"Thought you'd be taller.\"\n\n\"I get that a lot,\" I said.\n\n\"Who's your friend?\"\n\n\"I am Chandra Singh, monster hunter!\" Chandra said proudly.\n\n\"Good for you,\" said the Walking Man.\n\nChandra bristled just a bit, as he realised his name and cherished reputation meant nothing to the Walking Man. He drew himself up to his full height, the better to show off his magnificent Raj silks and the diamond flashing in his turban.\n\n\"I, too, am a holy warrior,\" he said hotly. \"I also do God's work, striking down those who would threaten the innocent!\"\n\n\"How nice,\" said the Walking Man. \"Try not to get in the way.\"\n\nChandra suddenly realised he was being teased and gave a great bark of laughter.\n\nI was concentrating on the Walking Man's face. There was something of the impish, the almost devilish, about his mocking gaze and easy smile. He wasn't at all what I'd expected. He was far more complicated, and therefore far more dangerous.\n\n\"I can't just let you walk in there and kill everyone,\" I said bluntly. \"This isn't like Precious Memories, where everyone was guilty. There are bad people in the Boys Club, but not everyone is bad enough to be worth killing.\"\n\n\"That's my decision to make, not yours,\" said the Walking Man. \"This is what I do. You're just along for the ride.\"\n\n\"I know the Nightside better than you ever will,\" I said.\n\n\"You're too close,\" the Walking Man said kindly. \"You can't see it clearly any more. You need me, to do what you've never been able to do.\"\n\n\"I'll stop you if I have to,\" I said.\n\nHe flashed me a bright smile and shot me a merry look, one professional to another. \"You're welcome to try. Now, let the fun begin!\"\n\nWe just walked in. The Doorman was currently making low, sad moaning sounds in the gutter, clearly in no shape to ask to see our Membership cards. The door swung open by itself. (At least the Walking Man hadn't killed the Doorman outright. I told myself there was hope in that.) There were, however, a number of large and very competent-looking security guards waiting for us in the lobby, their muscular forms all but spilling out of their expensive suits. The Walking Man sauntered in like he owned the place, nodding briskly to the security guards. They nodded back, responding instinctively to his arrogant authority, before catching themselves and moving quickly forward to block our way. The Walking Man stopped, and looked them over, his smile openly mocking.\n\nI looked around the lobby. They'd redecorated the place since I was last there, but it was still big and flashy and overstated, like most of the Club Members. Chandra and I moved in on either side of the Walking Man, and several of the security men got a bit twitchy when they recognised me. It was because of my last visit that they'd had to redecorate the lobby. But still, they were just thugs with guns, for all their nice suits, and I'd spent my whole life running rings round goons like them.\n\nThe most senior thug took a step forward, fixing me with his best intimidating stare. \"You know you're not allowed in here, Mr. Taylor. You upset the nice gentlemen and their ladies. You are banned. And that goes for your friends as well, whoever they are.\"\n\n\"I am Chandra Singh, holy warrior and mighty monster hunter!\" said Chandra, getting a little peeved at his lack of fame in the Nightside. \"I have got to get myself a better agent . . .\"\n\n\"And I am the Walking Man,\" said the Walking Man cheerfully. \"Come to judge your souls.\"\n\nThe security men went very pale. Several started perspiring, several more began shaking, and one actually whimpered. All their attention was on the Walking Man. Chandra and I might as well have not been there. It would seem what had happened at Precious Memories had already reached the Boys Club. Nothing travels faster than bad news, especially in the Nightside. The thug in charge swallowed audibly.\n\n\"I think we'd all like to run away now, sir, if that's all right with you.\"\n\n\"Go,\" said the Walking Man, gesturing grandly. \"I can always find you later if I need you.\"\n\nThe body-guards departed, but they didn't just leave\u2014they ran as if Death herself was on their trail, actually fighting each other to get through the door first. I'd never had that effect on people, on the best night I ever had. I felt distinctly jealous.\n\n\"Doesn't the lobby seem so much bigger, without them in it?\" said the Walking Man. \"Shall we go in?\"\n\n\"Why not?\" I said. \"I think you've done all the damage you can here.\"\n\nHe laughed.\n\nI opened the doors into the main Club area, and the Walking Man swaggered through with his hands still stuffed deep in his coat pockets. He couldn't have looked more at ease if he'd been walking into his own front room. Chandra and I took up our positions on each side of him again. Though whether to support or restrain him, I hadn't actually decided.\n\nEntering the Club's huge recreation area was like walking into the world's sleaziest circus, all bright lights and glaring primary colours, with all kinds of beasts on display. People sat at tables, or milled around in the open central area, or propped up the massive bar. Music blasted out of concealed speakers, almost drowned out by the sheer din of so many people shouting and laughing at once, doing their best to convince themselves and everyone around them that they were having a great time. There was a lot of looking around, to see what everyone else was doing, in case it looked like more fun, and a constant checking of who was with whom.\n\nThere were gambling tables\u2014cards, craps, roulette\u2014as well as display boards giving the odds for every kind of bet, on anyone and anything. And there were other games, not so nice. Like the great pit in one corner, for bare-knuckle fights, knife fights, or drunks who thought they could take on creatures of varying size and nastiness. The betting action was really hot around the pit, whose sides were dark with layers of dried blood. Expensively dressed women clutched at men's arms, and oohed and aahed and squealed delightedly at the sight of blood. Men struck poses in expensive suits, and women stalked back and forth in the very latest fashions, all of it for show. To say _Look at me. I've arrived. I belong here._ Except they wouldn't have needed to try so hard if they'd really believed it.\n\nSitting at their tables, the Boys watched the circus go by with the blank, expressionless faces of those who'd seen it all before. The Boys: Big Man, Mr. Big, the Big Guy . . . the men who ran everything, owned everything, and cared for nothing but themselves. You could all but smell the testosterone in the air. They were all big, fat, ugly men, crammed sloppily into exquisitely cut suits. Men who didn't care about their appearance any more because they didn't have to. Women were drawn to them by money, power, status, and even the harsh glamour of what they were. There have always been such women, sometimes coming completely cold-bloodedly, sometimes drawn like moths to a flame.\n\nThe women came and went, but the Boys remained. Accompanied by women in wine-stained blouses and smeared makeup, laughing at everything they thought might be funny, clinging to their meal ticket's arm, snuggling up against them, kidding themselves they were important because their men were important.\n\nAnd, of course, every Boy had his own little court, his circle of sycophants and admirers, business partners and advisors, and whole armies of stone-faced body-guards. Men to carry out commands, or run errands, to listen while their lord and master spoke, and never ever do or say anything other than what was expected of them. And if no-one in that circle was ever entirely comfortable or at ease, because they knew they could be replaced at any minute, or dragged off and shot on a moment's whim. Well, that was the price they paid for being so close to the Boys. For believing, hoping, that power might trickle down, just like money.\n\nThe Boys Club\u2014the only place to be if you were a part of every sick and dirty business in the Nightside.\n\nThe din was deafening, people laughing and shrieking and shouting above each other, all trying to convince themselves of what a great time they were having. Drinking and gambling and indulging themselves . . . but always keeping one eye on the Boys, who might or might not deign to notice them, do business with them, raise them up out of their empty little lives and into the Inner Circle . . . All the fun of the fair in the Boys Club, for nasty desperate little men and women.\n\nSpangled girls swung on trapezes overhead, or danced long-leggedly on the raised stage. Waiters bustled back and forth, bearing the very best food and drink in the world to people the waiters knew didn't appreciate it. There was even a heated indoor swimming pool, steam rising gently around young men and women showing off their perfect bodies in the briefest of costumes, for the enjoyment of the Boys. They, too, hoped to be noticed and made use of, in one way or another.\n\nThe scene was unrelentingly tacky and tasteless, but no expense had been spared, with every imaginable luxury laid on. The best of everything, or what these people thought of as the best. These large men, with their large appetites, indulging themselves to their limits, just because they could. And all around them, men on the way up and men on the way down, always ready to do anything that might be required of them. No matter how degrading. You left your pride behind when you went calling on the Boys.\n\nSurprisingly, many of the body-guards were women. Beautiful women in beautiful clothes, with cold faces and colder eyes, all of them armed to the teeth. Presumably the latest fad or fashion. The Boys liked to keep up with such things. I even spotted a few combat sorceresses, with their Clan affiliations tattooed above their right eyes. Which meant they were professionally trained, and guaranteed incredibly dangerous.\n\nThe Walking Man strode right into the midst of everything, and people on every side fell back to give him room. They might not know who he was yet, but one predator can always recognise another. The Walking Man headed straight for the Boys themselves, and all the body-guards tensed, their hands suddenly full of many guns. The combat sorceresses eased gracefully into attack position. Chandra Singh and I strolled casually along beside the Walking Man, not deigning to notice any of it.\n\nAnd then I stopped abruptly, as I recognised one of the body-guards. Tall and lithe, dark-skinned and elegant, Penny Dreadful dressed like a flapper from the 1920s, in a tight scarlet dress, long, swinging beads, and neat little hat. She nodded easily to me, and I nodded back. Penny and I had been friends and enemies, and about everything in between, at one time or another. Just two hard-working professionals, getting by in the Nightside. Penny Dreadful was an old-school enchantress. She could make you do anything. She could make you do awful things, to yourself, or to your friends or loved ones. She never killed anyone. Mostly, after she'd finished with them, they killed themselves.\n\nPenny was the most amoral woman I have ever met, and I've met a few. She would work for anyone, good or bad, as long as she was paid in advance. Penny genuinely did not care. She was only ever in it for the money. The complete professional. She worked with me on a case once. After I paid her to do it. We got along okay.\n\n\"Hello, Penny,\" I said. \"Keeping busy?\"\n\n\"You know how it is, John darling. A girl has to eat.\"\n\nShe had a little girl's voice, with a charming French accent. Word had it she'd danced at the Crazy Horse, in her younger days. She twirled her beads at me artlessly.\n\n\"Still,\" I said. \"The Boys Club? As a body-guard? A bit below you, isn't it, Penny? You used to work for a much better class of scumbag.\"\n\nShe shrugged. \"The money's good. Needs must, when your creditors bay at your heels. Please don't start anything, John. I'd hate to have to stop you. Really I would.\"\n\n\"If you've quite finished chatting up the staff,\" said the Walking Man. \"I have death and destruction to be about.\"\n\n\"John Taylor,\" said a slow, growling voice, and we all looked round. We'd ended up in front of Big Jake Rackham's table. He sat sprawling in a vast overstuffed chair as though it were a throne, surrounded by the pinched, unfriendly faces of his court. He was large, rather than fat, with brute, powerful features and eyes that didn't give a damn about anything. Big Jake Rackham ran the sex trade in the Nightside, taking his cut from every business that operated. No-one indulged in the sins of the flesh in the Nightside without putting money in Rackham's pocket. He was middle-aged but looked older, the awful experiences of his life etched deep into his face. His hair was receding, so he wore it in a long, greasy ponytail down his back. It had been a long time since he'd beaten enemies and rivals to death with his bare hands, but no-one doubted he was still capable of it.\n\nI knew him. He knew me. He leaned forward abruptly, fixing me with eyes as cold and dark as any shark's.\n\n\"How did you get in here, Taylor? You're banned. You killed Kid Cthulhu, and handed Max Maxwell over to Walker. You have interfered in my business and cost me money. You must be mad to force your way in here. You must know I'll have you killed for such an affront.\"\n\nI looked at him, holding his gaze, and he couldn't look away. He stiffened as he realised he wasn't in control any more. I looked at him, and his whole body began to tremble. He cried out, as bloody tears trickled down his cheeks from his bulging eyes, and still he couldn't move a muscle. When he started to whimper, his body-guards trained their guns on me, but didn't dare open fire without a direct order from Rackham. In the end, Penny Dreadful stepped forward and put herself between Rackham and me, blocking my gaze. I smiled at her, and nodded slightly. Behind her, Big Jake Rackham had collapsed in his chair, struggling for breath.\n\n\"What did you just do, John?\" murmured Chandra.\n\n\"I stared him down,\" I said, not bothering to lower my voice. \"Scumbags should know their place.\"\n\nI looked around, and several people winced, or tried to hide behind each other. A few actually made warding signs against the evil eye. The whole of the Club had gone quiet, like animals around a watering hole sensing the arrival of a lion. Someone had shut off the music, all the games had been stopped, and everyone's attention was fixed on me. I don't think I've ever seen so many unhappy faces, or had so many guns trained on me at one time. It made me feel rather better, after being ignored by the lobby's security men. I smiled condescendingly on one and all, ostentatiously taking all the ill will and threats in my stride. Never let them see you sweat. It helped that I really had done many of the awful things they thought I'd done. Nobody wanted to be the first to start anything, because none of them were entirely sure of what I might do . . .\n\nMore of the body-guards were moving forward, putting their bodies between us and their masters. The Boys paid extremely well to be protected. I looked thoughtfully about me, and many of the heavily armed men and women actually flinched, but none of them fell back. That's the trouble with real professionals; it takes more than a bad reputation to hold them off. Chandra moved round to protect our rear, his long, curved sword ready in his hand.\n\n\"What am I to do, John Taylor?\" he murmured in my ear. \"I can't fight women! It would be . . . unseemly!\"\n\n\"Then you're going to be at a serious disadvantage in the coming unpleasantness,\" I said. \"Because these women will quite definitely kill you, given half a chance.\"\n\n\"Really?\" said Chandra, tugging at his long black beard and beginning to smile. \"How very . . . exotic.\"\n\nThe Walking Man stepped forward and struck a dramatic pose, and it was as though a great spotlight had fallen upon him. Everyone forgot all about me and Chandra, and turned their complete attention to the Walking Man. I don't think they could have looked away if they'd wanted to. Suddenly he was the most important, significant, and dangerous man in the room.\n\n\"Hello boys, hello girls, anyone else see me afterwards,\" he said, smiling happily about him. His hands weren't anywhere near his guns, but his stance dared anyone to start anything. \"Sorry to put such a crimp in your celebrations, but I'm afraid the party's over. No more good times for bad little boys and girls.\"\n\nHe paused, looked at the table beside him, took a firm hold on the edge of the tablecloth and whipped it off the table with a dramatic snap. Everything on the table flew through the air and crashed to the floor. The Walking Man smiled brilliantly, and dropped the table-cloth.\n\n\"I meant to do that. Now, where was I?\"\n\nHe strolled between the tables, and the body-guards fell back despite themselves, giving him plenty of room to go wherever he wanted. His every movement made it clear he'd known they would. The sheer confidence in the man was unsettling, even disturbing. He stopped at every table to talk with every Boy, and he always had something to say about them.\n\n\"I am the Walking Man,\" he said grandly. \"Latest in a long line of utter bastards, completely dedicated to slapping down villains and scumbags and brown-trousering the ungodly. I am the wrath of God in the world of men, walking in straight lines to punish the guilty, wherever they may be found. And there are so many guilty faces here tonight! Let's start with you, Big Jake Rackham.\"\n\nHe stopped right in front of the big man and shook his head sadly, like a teacher disappointed by a determinedly under-achieving student.\n\n\"Big Jake. Self-made man and proud of it. Everyone knows you run the sex trade in the Nightside. Everyone knows you take a cut from every sordid little transaction: every blow from every pimp; every disease from every hooker; every mugged and rolled client. Every woman driven to an early grave . . . But, does everyone know what you do to your gorgeous wife, Jezebel, because you can't do anything else with her?\"\n\nHe moved on to Marty DeVore, also known as Devour, though never to his face, of course. Marty with a thin, weaselly figure with an endless appetite for acquiring new businesses. Whether the original owners wanted to sell or not. The Walking Man clapped him familiarly on the shoulder, and DeVore shrank away from the touch.\n\n\"Dear old Marty DeVore,\" said the Walking Man happily. \"Such an unrelenting sinner. Your sheer enthusiasm for awfulness never ceases to impress me. You made your original money in slavery, of course, selling anyone and anything to anyone and anything. Everyone knows that. But do they know what you like to do for a bit of relaxation, Marty? How you bribe mortuary staff to let you lie down with dead bodies, with the prettiest corpses, and have your wicked way with them? Especially if they're the wives and daughters of your friends and enemies?\"\n\nHe moved on to the Hellsreich brothers, the twins, Paul and Davey. Big blond blue-eyed Aryan types, young and healthy and rotten to the core. Heading right to the top, through endless alliances and very secret behind-locked-doors deals. Everyone wanted to hang on to their coat-tails.\n\n\"Paul and Davey,\" said the Walking Man, moving suddenly between them so he could put an arm across both their shoulders. \"Does my heart good to see such young men striving for success. You deal in insurance, or more properly protection, taking money to pay yourselves not to do nasty things to your customers. And you're so good at making deals that profit everyone! Everyone knows that. But, do they know you murdered your loving parents to get the money that got you started? Who could ever trust you again, knowing a thing like that?\"\n\nAnd finally he came to Josie Prince. One of the few women to be accepted by the Boys as their equal. Slim, elegant, stiff-backed in her formal evening gown, she looked like everyone's stern, grey-haired granny. She'd strangled her eldest son with her bare hands to take over his business because he wasn't making enough money for her. Josie Prince was a debt-collector, the kind who sent the leg-breakers round if you were a day late paying back what you owed.\n\nThe Walking Man swept her a low, sarcastic bow. Her stern, disapproving features didn't give an inch. He straightened up with a snap, sat in her lap, and threw an arm across her bony shoulders.\n\n\"Sweet Josie Prince, as I live and breathe! Old in years and dyed in sin, right down to the bone. I know what I need to know, when I need to know it, so I can do my job, but just knowing what you do makes me sick to my stomach. You deal in enforcement and intimidation, in torture and brutality and murder. Everyone knows that. But does everyone here know you founded and funded Precious Memories? Do they know why your youngest son killed himself?\"\n\nEveryone in the Boys Club looked at Josie Prince, as the Walking Man rose easily to his feet and strode away. Even some of her own body-guards looked at her with loathing. Josie Prince's face didn't change at all.\n\nSuddenly, Big Jake Rackham was on his feet, shouting denials and abuse and threats. The other Boys quickly rose and joined in, saying that the Walking Man was a liar, spreading rumour and gossip for his own purposes. Others were on their feet, too, protesting and threatening, perhaps for fear the Walking Man would come after them next. And the Walking Man just stood there, in the middle of the Boys Club, smiling happily at the bedlam he'd caused. Dozens of guns and worse weapons were trained on him from all sides. And he didn't give a damn. He looked smoothly self-satisfied, a man happy in his work. Then he glanced at me, and I realised it had all been for my benefit. He could have just walked in and started shooting; but he wanted me to know why. He started speaking again, and immediately everyone fell silent again. They couldn't help it. There was something about the Walking Man that demanded your attention.\n\n\"You're all guilty,\" he said. \"You all profit from the sin and suffering of others. You all know where your money comes from, and how much blood it has on it, and you've never done anything about it. Your sin is you didn't care.\"\n\nHis hands suddenly came up full of guns, and before anyone knew what was happening the bodies were already falling. He shot Big Jake Rackham and Marty DeVore while they were still standing by their chairs. Josie Prince tried to run, and he shot her in the back of her head, blowing her face right off. He turned his guns on the Hellsreich brothers, but they were already hiding behind their overturned table. Body-guards on all sides opened up with all kinds of weapons, and I hit the ground, rolling away in search of my own cover. The Walking Man might be bullet-proof, but I sure as hell wasn't. Chandra Singh roared a cheerful challenge in his own tongue and waded into the nearest body-guards with his long, curved sword. Blood flew on the air as he cut them down with swift, skilful strokes, moving so fast no-one could get a bead on him.\n\nBullets pounded into the Walking Man from all sides, only to ricochet away harmlessly. He didn't even feel the impact. He aimed and fired, aimed and fired, picking off his targets quite casually, smiling his terrible unforgiving smile. He was punishing the guilty, and loving every minute of it. Most of the Boys were already dead, the rest running for the exits, though I knew they would never reach them. Body-guards' bullets slammed into the overturned table I was hiding behind, and I decided I needed to find new cover. I scrambled away on all fours, head well down to avoid the bullets flying overhead, and found a female body-guard moving towards me with an energy gun in her hand. I backed away quickly. I've never been much of a one for physical combat, mostly because I'm no good at it. I've always preferred outsmarting people, or intimidating them, or being somewhere else when the shit actually hits the fan.\n\nAnother female body-guard came running at me, firing a semi-automatic weapon. The bullets didn't even come close. I can move really quickly when I have to. The two body-guards came together to get a clear shot at me. I rose, whipped the tablecloth off the overturned table, and threw it over both of them. They struggled with the cloth, and it was the easiest thing in the world for me to move in and bang their heads together. I may not be much of a fighter, but I'm a sneaky bastard.\n\nI risked a quick look around. Chandra Singh was holding his own against a whole crowd of opponents, stamping and dancing amongst them, swinging his long sword with glee and gusto. He grinned broadly as enchanted blades shattered against his sword, and magics and curses exploded as he cut them out of the air. As long as he worked in close, no-one could use their guns for fear of shooting their own people, but I had to wonder how long that would last. Still, for a man who said he didn't want to fight women, he certainly seemed to be getting the hang of it. Bodies fell to the left and to the right as he cut his way through the enemies crowding around him.\n\nThey all fell back suddenly to let a combat sorceress approach him, a short and stocky Asian woman in a black dress, with the Tiger's Claw ideogram tattooed above her right eye. That meant serious magic, and nasty with it. She pulled a spitting and sparking magic out of nowhere and threw it at Chandra. It roared through the air, burning up half a dozen body-guards in its path on its way to Chandra Singh. He laughed aloud and sliced the magic in two in mid air with one slash of his blade. The magic exploded, its sorcerous fires spraying everywhere. People ran screaming, with their flesh on fire. The combat sorceress began a staccato incantation in a language I didn't recognise. Chandra advanced on her, step by step, pressing against some invisible resistance. The sorceress's voice rose with urgency as he drew nearer, then she stopped short, and looked down at the blade buried in her stomach. Chandra Singh pulled the sword back, and her guts fell out on to the floor. The sorceress tried to say something, and Chandra cut her head off with one sweep of his blade. He turned away, not bothering to watch her hit the floor.\n\nThe Walking Man hadn't moved from his last position. He didn't need to. He just fired his guns, his old-fashioned long-barrelled Peacemakers that never ran out of ammunition, and blood flew on the air as men and women crashed to the floor and did not rise again.\n\nWhat was left of the Boys Club Membership was in full rout. Fighting each other to get to the exits, trampling the fallen underfoot, screaming and shouting and trying to use each other as human shields. The exit doors were all sealed shut, though no-one had given any such order. Most of the body-guards were dead already. The Walking Man didn't care whether they stood and fought or turned and ran. He killed them all, starting with the worst and working his way down, choosing his targets through some hidden knowledge of his own. The remaining body-guards grouped together and hit the Walking Man with everything they had. But bullets couldn't touch him, enchanted blades shattered against his shabby coat, and magics and curses discharged harmlessly about him. He ignored the body-guards, unless they got in his way, then he shot them dead.\n\nHe was smiling widely, and it was not the kind of smile you expected to see on a man of God.\n\nBut as big as the Club was, and large though the Membership was, eventually he ran out of targets. The last body was thrown against a wall by the impact of the bullet and slid lifelessly to the floor, and the shooting stopped. The Walking Man lowered his guns and looked about him. The dead were piled up everywhere, men and women lying sprawled without dignity across the blood-soaked floor. The biggest heaps lay before the sealed exits, where the panicked Membership had tried to crawl over the bodies of the fallen to get to doors that would not open. A handful of the living still remained, hiding, crouched behind overturned tables and other cover, keeping silent, hoping not to be noticed. They should have known better. The Walking Man looked about him and casually picked them off, one by one, his bullets ploughing right through the cover to kill the prey concealed behind them.\n\nThe Hellsreich brothers rose abruptly from where they'd been hiding, clasped hands, and shrieked in unison a brutally simple spell of Unbinding. They'd finished it before the Walking Man could even turn his guns upon them. A great blue pentacle appeared on the floor of the Club, half-hidden under the dead bodies. The lines blazed brightly, a harsh actinic blue that seared the eye, steaming with released ectoplasm. The floor under the pentacle exploded, throwing dead bodies aside like leaves, ragged splinters flying through the air like shrapnel. And up through the great dark hole there rose a demon from the Pit, free to do its awful will in the world of men. The Boys Club's last act of malice, a terrible revenge on anyone who dared to bring them down.\n\nIt was a traditional, old-school demon, twice the size of a man, with blood-red skin, goat's horns and hooves, and very sharp teeth. It had the shape of a man, and the proportions of a man, but there was nothing human in its stance or in its glowing slit-pupilled eyes. Steam rose up from its scarlet skin, the air all around it heated past endurance by its very presence. It stank of shit and blood and brimstone, because it chose to. The Walking Man looked at me and Chandra Singh.\n\n\"You deal with it,\" he said. \"I'm busy.\"\n\nAnd he went back to looking for hidden prey, shooting them where he found them.\n\nI was giving serious thought to finding some cover of my own when Chandra Singh started forward, swinging his long blade casually before him. The demon considered the monster hunter with interest, its long spade-tipped tail swinging lazily. Chandra shouted a challenge in his own tongue and brought his sword round in a long, sweeping arc that would have sliced most things in two, only to see his blade rebound harmlessly from the demon's scalding skin. The vibrations almost tore the sword from Chandra's hands, but he hung on stubbornly and struck at the demon again and again, grunting with the effort of his blows. The demon stood there and laughed at him soundlessly.\n\nI searched frantically through my coat pockets for anything that might help, but I had nothing on me that could stop a demon from the Inferno. This was no ordinary demon, this was the real deal, a Lord of Hell. Where had the Boys Club found the power to summon something like this? Unless the founder of the Club really was who some people swore he was . . . You could hurt a demon like this with holy water, or give it pause with a crucifix, provided you had the faith to back it up, but nothing short of a full-scale exorcism could banish it from this plane. I racked my brain . . . and then shouted at Chandra, as he paused in his attack, bent over and breathing harshly.\n\n\"Chandra! The pentacle! It's a gateway between this place and the Pit! That's how they summoned it here! Break the pentacle, and the gateway will close!\"\n\nChandra raised his sword and brought it slamming down on the nearest pulsing blue line. His enchanted blade sheared clean through the blue line, breaking the connection and short-circuiting the summoning. The gateway began to close, and the demon sank back into the darkness below, pulled inexorably back to where it belonged. It turned its horned head unhurriedly to look at the Walking Man.\n\n\"We know you in Hell,\" it said, in a voice like screaming children. \"We will meet again, Walking Man. All murderers end up in Hell. Even the ones who say God told them to do it.\"\n\nThe Walking Man shot the demon dispassionately between the eyes. Its horned head snapped back under the impact, then it shook its head, gargled for a moment, and spat out the bullet. It was still laughing as it disappeared back beneath the floor, a terrible, soul-destroying sound. It cut off abruptly as the last of the pentacle lines faded away, and the floor was a floor again, though with a bloody big hole in it now. The Walking Man looked at it for a while, his face unmoved. But he wasn't smiling any more.\n\nI went over to Chandra, and he leaned heavily on me, his sword hanging down as though it had become too heavy to lift.\n\n\"Nice call, John,\" he said faintly.\n\n\"Nice cut,\" I said.\n\nThe Boys Club was still and silent. There was blood and dead bodies everywhere, even in the swimming pool, where the perfect bodies of young men and women floated facedown in bloody waters. The Hellsreich brothers stood together, holding their hands high in the air in surrender. The Walking Man regarded them thoughtfully.\n\n\"You've killed hundreds of men and women,\" I said. \"Isn't that enough?\"\n\n\"No,\" said the Walking Man. \"It's never enough.\"\n\n\"We're just businessmen!\" protested Paul Hellsreich. \"We provide a service, we protect our customers from the vicissitudes of fate!\"\n\n\"We're insurance men!\" said Davey Hellreich. \"We never killed anyone!\"\n\n\"We'll go legitimate!\" said Paul. \"We'll pay taxes! We promise!\"\n\n\"You don't have to kill us!\" said Davey. \"We're not worth it!\"\n\n\"It's always worth it,\" said the Walking Man.\n\n\"You should turn them over to Walker,\" I said quickly, as he started to raise his guns again. \"They have surrendered.\"\n\n\"To Walker?\" said Paul. \"And end up in Shadow Deep? I think I'd rather be shot.\"\n\n\"No problem,\" said the Walking Man.\n\n\"To hell with that,\" said a new voice. \"I've never let a client down yet.\"\n\nWe all looked round in surprise as the owner of the charming French accent came forward. God alone knew where she'd managed to hide, but Penny Dreadful had survived the massacre without a drop of blood on her. She moved carefully through the carnage, stepping daintily over dead bodies, and came to a halt facing the Walking Man.\n\n\"Penny,\" I said carefully. \"Get out of the way. You don't have anything that can stop the Walking Man.\"\n\n\"I took their money,\" she said. \"Swore to guard them against all dangers, to put my body between theirs and all harm. That's the job.\"\n\n\"She took their money,\" said the Walking Man. \"Even knowing where it came from. That makes her as guilty as them.\"\n\n\"No it bloody doesn't!\" I said. \"She's a professional, that's all! Just like me. And Chandra.\"\n\n\"You side with the sinners, you die with the sinners,\" said the Walking Man. \"It really is that simple.\"\n\n\"No it isn't,\" I said. \"Not here. Not in the Nightside. We do things differently here.\"\n\n\"I know,\" said the Walking Man. \"That's the problem. Sin is sin. You've lived here so long you've forgotten that.\"\n\n\"She is brave, and honourable, and trustworthy, in her way,\" I said. And I moved slowly and deliberately forward, to stand between Penny and the Walking Man. \"She's done good things.\"\n\n\"I'm sure God will take that into consideration,\" said the Walking Man. And he shot right past my ear. I spun round, but it was already too late. Penny was falling to her knees, a dark and bloody third eye in the middle of her forehead. I caught her before she hit the floor, but she wasn't breathing any more. I knelt before the Walking Man, holding my dead friend in my arms. I heard two more shots, but didn't look round to watch the Hellsreich brothers fall. I didn't want to let Penny go, even though I knew there was nothing I could do. Her body leaned heavily against me, like a sleeping child. She didn't deserve to die like this. Even if she had been the infamous Penny Dreadful, and done all the things she'd done, she didn't deserve to die like this.\n\nI finally put her aside, got back on my feet, and glared at the Walking Man, who stared impassively back. I started towards him, and Chandra was quickly there to grab my arm and stop me.\n\n\"No, my friend! Not now. We're not ready.\"\n\n\"Let go of my arm,\" I said, and he let go immediately.\n\nI was breathing hard, my whole body tense with the need to do . . . something. I knew he'd kill me if I took another step forward, but right then, I wasn't sure I cared, as long as I took him down with me.\n\n\"What about God's mercy?\" I said finally, in a harsh voice I barely recognised. \"What about his compassion?\"\n\n\"Not my department,\" said the Walking Man. He decided I wasn't going to do anything after all and put away his guns.\n\n\"What gives you the right to condemn anyone to Hell?\"\n\n\"I don't send anyone to Hell. I send them to judgement.\"\n\n\"Who are you, to take such responsibility upon yourself?\" said Chandra Singh.\n\nThe Walking Man smiled; and for the first time it was a simple, human smile. \"About time you asked. Very well, just for you; the secret origin of the Walking Man. My name is, or more properly was, Adrien Saint. No-one special. Just a man with a job and a wife and two small children. Mr. Average, I suppose. No great ambitions. All I wanted was to get on with my life and look after my family.\n\n\"A teenage joy-rider in a stolen car hit my wife and my two children head-on, when he lost control taking a corner too fast. Cut my wife in half, and dragged my children under his car for almost half a mile before he finally had to stop. He ran away, with his friends. The police couldn't identify any of them.\n\n\"I survived. You couldn't call it living, but I survived. Lost my job, my house, my money . . . and then one of the few friends I hadn't driven away found me a place in a monastery, in the countryside. A place for solitudes and contemplatives, and those hiding from a world that had become unbearable. It was a good place. I found a kind of peace there, if not comfort. And then one day, while helping to catalog the library, I found a very old book that told me all about the deal a man can make with God, to be his man, to be his Walking Man, and punish the guilty.\n\n\"I made the deal. Didn't hesitate for a moment. I went back into the world transformed, with God's will and God's wrath burning within me. I found the teenage joy-rider, with God's help. Sitting on a sofa, watching television, as though nothing had happened. I beat him to death with my bare hands, and his screams comforted me. I went round to his friends, and killed them all. There's a fine line between justice and revenge, but as long as it ended up with dead joy-riders, I didn't care.\n\n\"And then . . . I went travelling in the world, seeing it as it really was, walking up and down in it, dispensing justice. Until finally I was ready to come to the Nightside, and bring the wrath of God to the most sinful place on Earth.\"\n\n\"No wonder you're always smiling,\" I said. \"This has never been about justice for you. It's always been about revenge. Every time you fire your guns, you're killing joy-riders, over and over again.\"\n\nThe Walking Man smiled briefly. \"You think I don't know that? I'm obsessed, not crazy.\"\n\n\"You sure about that?\" I said.\n\nHe actually laughed. \"Well, I hear voices in my head telling me to kill people in God's name, so I suppose there has to be a chance that I'm a complete loony tune; but I don't think so. Not as long as I remain untouchable by all the evil in the world.\"\n\n\"What brought you to the Nightside, at this particular time?\" said Chandra.\n\n\"I know what I need to know, when I need to know it. When God was sure I was ready, he showed me the secret ways into the Nightside.\"\n\n\"You talk often with your god?\" said Chandra. He sounded genuinely curious. \"What is that like?\"\n\n\"Comforting,\" said the Walking Man.\n\n\"I often speak with my god,\" said Chandra. \"He speaks to me through dreams, and prophecies and omens. And he has never once insisted I commit murder in his name.\"\n\n\"You kill monsters,\" said the Walking Man.\n\n\"Only when I have to. And then, only to protect the innocent.\"\n\n\"Yes!\" said the Walking Man. \"Exactly! I punish the guilty to avenge and protect the innocent. I kill the killers before they can kill again! The law might not be able to touch these evil men, but I can. And I do. Think of me . . . as a champion of last resort. The last person you can go to for justice, when the ways of the world have failed you. What I do is never murder, because I have a valid legal warrant for all that I have done, and will do, from the highest court of all. The Courts of the Holy.\"\n\n\"Penny wasn't evil,\" I said.\n\n\"Get over her,\" said the Walking Man, not unkindly. \"I will do worse before I'm done because I must. The Nightside is an abomination in the world of men, and it must be humbled and brought down. There are too many temptations here, too many evils operating openly. It gives people . . . the wrong idea. That they can sin and get away with it.\"\n\n\"You don't believe in free will?\" I said. \"Or free choice? God gave them to us. Everyone who comes here knows the score, knows what they're getting into. You could say the Nightside keeps all the real sin and temptation in one place, away from the rest of the world.\"\n\n\"Shows how little you know about the rest of the world,\" said the Walking Man. \"You argue well, John, but none of this matters. I will do what I will do, and no-one can stop me. I am here to clean up the Nightside, scour the filth right out of it, from top to bottom. Including your presumptuous new Authorities. As soon as I've finished the tasks I've set myself, I will kill these new Authorities, to put the fear of God into the Nightside. And you, John Taylor . . . are either with me, or against me.\"\n\n\"That's why you let me see what you do, and why,\" I said. \"You want me to understand. To approve.\"\n\n\"I want you to stay out of my way,\" said the Walking Man.\n\n\"Many people whose opinion I respect tell me that the Nightside serves a purpose,\" I said slowly. \"There are good people here. I won't let you hurt them. This is my home.\"\n\n\"Not for long,\" said the Walking Man. He pulled his old mocking insolence about him, flashed me a smile, then turned his back on me and walked away.\n\n\"Bastard son of a bitch,\" I said, after a moment.\n\n\"Well, yes,\" said Chandra. \"By the way, you have blood all down the front of your trench coat.\"\n\nI looked. Penny's blood, from where I'd held her.\n\n\"Not for the first time,\" I said.\n\nWe stood alone in the middle of the Boys Club, surrounded by the dead. The air seemed very still, very calm, as though a thunderstorm had just passed.\n\n\"I couldn't stop him,\" I said finally, unable to keep the helplessness out of my voice. \"Even though I knew what to expect, even though I thought I was prepared for what he was, and what he did . . . I still couldn't stop him.\"\n\n\"Who are we, to stand against the will of God?\" said Chandra Singh, reasonably. \"And the men and women of this establishment were very definitely people who needed killing.\"\n\n\"Not all of them,\" I said. \"The world is undoubtedly a better place with most of these people gone, but some of them were just...ordinary men and women, doing their jobs, drawing a pay-cheque to pay the bills and look after their families. Getting by, as best they could. Yes, they knew where the money came from... but whatever evil they did by working here was a small thing. Not worth dying like this.\"\n\n\"Like your Penny Dreadful?\" he said.\n\n\"She was never mine,\" I said, automatically. \"Penny was always her own woman. I never approved of her, but I liked her. She took no shit from anyone. And she really did do some good things in her time, even if she had to be paid to do them.\" I looked around me, and a slow, steady anger burned within me. \"They didn't all need killing, Chandra. Some of them could have been saved.\"\n\n\"Of course! That's why you stay, isn't it?\" said Chandra, with the enthusiasm of a sudden insight. \"To try and save those you care about. Like your Suzie Shooter.\"\n\n\"Don't go there,\" I said, and when I looked at him, he fell silent.\n\nNo telling where that conversation might have gone because that was when King of Skin suddenly materialised out of mid air before us. Chandra and I both fell back a little, startled, as King of Skin skipped and swaggered among the dead bodies, sniggering and cackling and looking very pleased with himself. He stopped suddenly, and looked back over his shoulder at Chandra and me.\n\n\"I've been here all along,\" he said, in his hot breathy voice. \"Hidden by my power and my nature, watching and listening. Know thy enemy! He does like to talk, this Walking Man, and says so much more than he realises. He has a weakness, and it's a very old one. Pride! He cannot ever admit to being wrong . . . Destroy his faith in the righteousness of what he does, even for a moment, and he will crumble . . . Oh yes!\" He was suddenly right in front of me again, wrapped in his sleazy glamour, laughing right in my face. \"Because of what I was, and what I am, I see the world very clearly. I see the Nightside for what it is, and not for what people on both sides like to think it is, or should be . . . That's why Julien Advent insisted I be a part of his precious new Authorities. Because I will always see what needs to be done, and the best way to do it, no matter how upsetting.\"\n\nAnd just like that, he was gone again. Or at least, I presumed so. With King of Skin, you could never be sure.\n\nI thought about Adrien Saint, the current Walking Man, so sure in his vocation. Could he really bring down the whole Nightside? Not by shooting the bad guys one by one . . . That would take him years, maybe centuries. So he must be planning something else. Something more . . . apocalyptic. Could he perhaps be the one to bring about the bleak dead future I'd encountered in the Timeslip? Where all the world was dead, and even the stars were going out? Could he be the real cause of that, and not me? Was that why the members of the new Authorities were the same people who had been my Enemies in that terrible future?\n\nI had to stop the Walking Man. For many reasons. But how do you stop the will and wrath of God?\n\nI was going to have to do some research.\n**SIX**\n\n_The Only Thing Worse Than Asking Questions of God_\n\nWe set fire to the Boys Club before we left. It seemed like the least we could do.\n\nAfterwards, Chandra Singh and I stood outside in the street and watched the place burn. It went up very nicely. A crowd gathered around us to enjoy the spectacle. We like free entertainment in the Nightside. A street trader soon turned up to provide the crowd with snacky things on sticks, and in no time at all we were all variously toasting and roasting things in the flames of the burning Club. There's nothing like a good pork, beef, and quite probably something else sausage you've personally blackened in a fire. Chandra politely declined to get involved and looked around uncertainly.\n\n\"Shouldn't the fire brigade be here by now?\"\n\n\"No such thing in the Nightside,\" I said cheerfully. \"The surrounding clubs have their own fire-insurance spells, so the blaze won't spread. And in a high-rent area like this, reconstructive magics come as standard. This time tomorrow, there'll be a whole new club standing here. Minus the Boys and their lackeys, of course.\"\n\n\"What about the Walking Man?\" said Chandra, apparently determined to be upset about something. \"Shouldn't we be hot on his trail before he causes another massacre?\"\n\n\"If he'd been planning something imminent, he'd have told us,\" I said, around a mouthful of sausage. \"The man does love an audience. No, we've got time to do a little research. I need to talk with some Christian authorities, someone who can give us more detailed information...on the Walking Man in general, and the present incumbent in particular. Trouble is, there aren't that many truly Christian people in the Nightside, apart from some rather extreme groups on the Street of the Gods, and a handful of missionaries.\"\n\n\"Wouldn't we be better off in a library?\" said Chandra, tactfully. \"You have some of the most famous libraries in the world here.\"\n\n\"I think you mean infamous,\" I said. \"Not to mention downright dangerous. Some of our libraries have books that read people. And edit them. No, I think we need a more personal touch for something like this. Which rules out the big organisations, like the Salvation Army Sisterhood. They'd only feed us the party line. We need to talk to the missionaries, the holy rollers, and the dedicated individuals. Like Prestor Johnny, Saint Gorgeous, Kid Christ, or the Really Righteous Brothers.\"\n\n\"They sound . . . rather eccentric,\" said Chandra. Still being tactful.\n\n\"Well, yes,\" I said. \"You've got to be a little weird, not to mention certifiably strange, to want to spread the good word in a place like this. But we've always attracted more than our fair share of determined and highly individual religious zealots. Like Tamsin MacReady, the current rogue vicar. Yes, I think she's our best bet. Ooh look\u2014are those marshmallows?\"\n\n\"The rogue vicar?\" said Chandra, refusing to be side-tracked.\n\nI finished the last of my sausage, discarded my stick, and wiped my greasy fingers on the coat of the person standing next to me. I strode away from the burning Boys Club, and Chandra walked along with me. A mothman had turned up, circling overhead, attracted by the light, and already people were using it for target practice.\n\n\"Direct agents from Above and Below have always been banned from the Nightside,\" I said patiently. \"Lilith designed it that way. Even the bigger organisations have trouble operating here, not least because the Street of the Gods offers mighty and ineffable Beings you can actually have a conversation and even do business with. But there's a long tradition of rebel priests and rogue vicars who come here against standing orders, to test their faith and their mettle against the Nightside. Half-mad missionaries and holy terrorists, no practice too extreme, variously successful and always a pain in the arse. Tamsin MacReady is the latest in a long line of hard-nosed optimists. She probably knows all there is to know about the Walking Man. If only I can persuade her to talk to me.\"\n\n\"Would I be correct in assuming that there is some bad feeling between you?\" said Chandra.\n\n\"Sort of,\" I said. \"The previous rogue vicar was a man called Pew. My mortal enemy, for many years. He's dead now, because of me.\"\n\n\"I can see that would cause problems,\" said Chandra.\n\nBecause I was in a hurry to get some information on the Walking Man before the bodies started dropping again, I broke one of my oldest rules and hailed a passing taxi-cab. Normally I know better. You can't trust the taxis in the Nightside. Partly because you can never be sure who the drivers are really working for, or reporting back to . . . but mostly because taxis are just too bloody dangerous. Some of them run on powdered virgin's blood, some of them interrupt their journeys to fight duels with cabs from rival firms, and some of them eat their passengers. Not everything that looks like a cab is necessarily a cab. But this was an emergency, so . . .\n\nAn old-fashioned black London taxi-cab pulled sharply out of the endless roar of Nightside traffic and screeched to a halt before me. I recognised the firm, Infernal Taxis. Their proud motto\u2014 _We promise you a Hell of a ride!_ I held the door open for Chandra so he could get in first, just in case. I let him get settled comfortably and only then got in after him. You can't be too careful.\n\nA sign inside the cab said _Please refrain from smoking or the driver will rip your lungs out._ Fair enough. I'd barely settled back into the scuffed leather seat beside Chandra before the driver slammed through the gears and forced his way back into the flow of traffic through brute force and intimidation. He body-slammed a few slower-moving vehicles out of his way, and heavy-duty automatic weapons deployed from the gleaming black bonnet to threaten any other vehicles that didn't move fast enough, or looked like they were getting too close. Which was also fair enough. Offensive driving is the norm in the Nightside if you want to reach the end of your journey alive, or even in one piece. I relaxed a little, feeling that I was in safe hands.\n\nThe driver was human enough, from the waist up. From the waist down, his torso plugged directly into the driving seat. Cables, wires, and tangles of translucent plastic tubing full of pulsing liquids connected him to the cab on both a physical and a mental level. Basically, he was a cyborg, and the cab was an extension of his truncated body. He drove it with his thoughts, but he kept his hands on the steering wheel to reassure his passengers. He kept a bonsai pine tree on his dash-board to serve as an air-freshener.\n\nChandra took one look at the driver's situation, and immediately lost his temper.\n\n\"Who did this to you, sir?\" he demanded loudly. \"Give us the man's name, and I promise you we shall hunt him down and inflict dire punishments upon him!\"\n\n\"Will you relax?\" I said. \"He paid for it himself. You can make serious money driving a cab in the Nightside, if you live long enough. Being a cabby here is a vocation, like mountain-climbing or spree killing. You leave him alone, Chandra, he's quite happy.\"\n\n\"Too right, squire,\" said the cabbie, without looking round. His skin was as pale and puffy as a mushroom, but his voice was disturbingly hale and hearty. \"I had that Walker in the back of my cab the other day, you know. A real toff. Lousy tipper, mind. Where to, squire?\"\n\n\"I need to speak to the rogue vicar,\" I said. \"Take us to the Vicarage.\"\n\nThe driver sucked in a sharp breath between his yellow teeth. \"Ooh no, I don't think so, squire. I don't go that far into the badlands. Far too dangerous.\"\n\nI leaned forward so he could get a good look at me in his mirror. \"I'm John Taylor. How dangerous do you think it's going to get in here if you don't do what I tell you to?\"\n\n\"Oh bloody hell,\" said the driver.\n\nHe sniffed loudly, put his mental foot down, then sulked in silence for the rest of the way. Which suited me well enough. He'd only have wanted to talk politics, and how there were far too many elves in the Nightside these days. Chandra was apparently lost in his own thoughts, so I just stared out the window at the traffic. It was the usual mixture of vehicles\u2014from the past, present, and future\u2014thundering through the Nightside on their way to somewhere more interesting. Ambulances that ran on distilled suffering. Articulateds with unfamiliar logos emblazoned on their sides, transporting goods too dangerous or too disturbing even for the Nightside. Demon messengers on souped-up motorcycles, with hellfire flying out their exhausts. And a whole bunch of things pretending to be vehicles, for reasons of their own.\n\nAt least there are never any roadblocks to slow things down, mostly because the road is tougher than the traffic, and bites back if it gets annoyed. In fact, certain sections have been known to eat slower-moving vehicles, to encourage everyone else to get a move on. The whole road system in the Nightside is basically one big Darwinian struggle for survival, with only the strongest making it to the end of their journeys. Hell, sometimes you can actually watch vehicles _evolving_ , right before your eyes. Some have become so advanced they're now purely conceptual\u2014just the idea of vehicles in motion . . .\n\nAnd no, there aren't any traffic lights. Anywhere. We tried putting some in a few years back, and they all retired with nervous breakdowns.\n\n\"Hello,\" said the driver suddenly. \"Don't remember seeing that before . . .\"\n\nI immediately leaned forward to take a good look over his shoulder. Anything new and unexpected in the Nightside is automatically considered dangerous until proven otherwise by exhaustive testing. Up ahead a new bridge straddled the road, all gleaming steel and bright lights. The rest of the traffic seemed to be going out of their way to avoid it. I frowned.\n\n\"Is there another way we can take, driver?\"\n\n\"Not one that doesn't add an hour or more to our journey,\" said the driver. \"That new bridge crosses the only main road into the badlands. What do you say, squire? How much of a hurry are you in?\"\n\n\"We're going in,\" I said. \"Take it slow and steady. And if anything even looks at you in a way you don't like, feel free to shoot the crap out of it.\"\n\n\"Got that right, squire.\"\n\n\"Are we in trouble, John?\" said Chandra.\n\n\"Maybe,\" I said. \"That bridge wasn't there yesterday. It could have dropped out of a Timeslip, or it could be a projection from another dimension. Or it could just be a new bridge. I have absolutely no idea as to who's in charge of traffic improvements. Mostly, they just . . . happen.\"\n\nThe bridge and the tunnel it made remained reassuringly solid and ordinary as we approached the entrance. The lights inside were bright and steady. The taxi slowed right down as we passed under the bridge and entered the tunnel . . . then the beast revealed its true colours. The smell hit me first, even through the cab's closed windows\u2014rotting meat spoiling in digestive juices. The lights lost their electric fierceness and sank into the blue-white glare of bioluminescence. The walls of the tunnel rippled slowly, the blue steel look replaced by a soft organic pink. And the road ahead and under us was suddenly the rough red meat of an endlessly long tongue. Sharp bones protruded from all sides of the tunnel, like the cutting parts of a meat-grinder. The tunnel was alive . . . and we were driving right down its throat.\n\nThe driver slammed on his brakes, but the tongue convulsed, rising and falling beneath us, carrying us on. The driver opened up with all his guns, but the heavy-jacketed bullets did little damage to the walls, which absorbed them. Thick pearly digestive juices were already dropping from the ceiling, hissing and fizzing on the cab's metal surfaces. The driver swore loudly, and threw the cab into reverse. Its wheels dug deep into the red meat of the road, and churned madly, but still we were carried deeper into the tunnel. I yelled for the driver to open the windows, and they juddered down slowly.\n\nChandra immediately leaned right out of his window, so far out I had to hold on to his legs for fear he'd fall. He stabbed the red road with his sword, the tip digging deep into the red meat, leaving a long, bloody furrow behind us. The tongue convulsed, throwing the taxi this way and that, but we were still being pulled in. I hauled Chandra back into the cab and concentrated on raising my gift. I forced my inner eye all the way open, the better to See the situation we were in. It only took me a moment to find what I was looking for, and hit the tunnel in its weakest spot. The red road whipped out from under us, the whole tunnel shaking violently. The taxi's wheels dug into the road again, and just like that we were backing out of the tunnel at speed. The starry skies reappeared above us as the taxi accelerated back into the Nightside traffic, which made every angry noise conceivable as it fought to avoid us. Chandra looked at me.\n\n\"All right, what did you do?\"\n\nI grinned, just a little smugly. \"I used my gift to find its gag reflex . . .\"\n\nThe taxi finally lurched to a halt, and we watched the living bridge melt away into mists. Getting around in the Nightside can be murder sometimes.\n\nThe taxi took us deep into the badlands, the roughest, most desperate and desolate part of the Nightside. So rough that even the more adventurous tourists find excuses to avoid it, and only the hardiest sinners venture in, looking for the pleasures and satisfactions they can't find anywhere else. The techno fetishists, looking to have sex with computers. Volunteers for drug-testing labs, only too willing to take on the latest pharmaceutical heavens and hells, just to be first in line for the latest trip. Innocence for sale on every street corner, only slightly shop-soiled. Sin eaters, soul eaters, sleep eaters. The darkest delights and the deepest damnations, for all those foolish enough to think they've already hit bottom. There's always further to fall, in the Nightside.\n\nThe buildings slouch together for support, with brickwork blackened by decades of traffic, or maybe just the general environment. Broken windows, holes patched with faded newspapers, doors hanging permanently half-open because the locks were broken long ago. Street-lights that sometimes worked, and the burned-out skeleton shapes of dead neon. Heaps of garbage everywhere, that sometimes moved, revealing the homeless. Many of them had missing limbs. You can sell anything in the badlands.\n\nAnd, finally, long after we'd had to shut the cab's windows to keep out the smell, when it seemed we'd reached the sleaziest scummiest depths of the badlands, the taxi eased to a halt outside the Vicarage, the only civilised-looking building in the middle of a row of destitute properties. The streets looked wet and sticky, and something told me that had nothing to do with the recent rain. I've walked through alien jungles that looked less dangerous and forbidding. Exactly where a Christian missionary would be most needed . . .\n\nChandra and I stepped out of the taxi, which had parked under the only working street-light. I'd barely shut the cab door before the cabbie revved up and roared away, so desperate to get out of the badlands that he hadn't even paused to ask for his fare. Not that I'd had any intention of paying, of course.\n\nVarious figures stirred in the darkest parts of the shadows, deliberating whether Chandra and I were easy targets. Chandra drew his sword with a dramatic gesture, and the long curved blade burned supernaturally bright in the gloom. The figures shrank back, dim silhouettes disappearing into the concealing night. One predator can always recognise another. Chandra smiled briefly and sheathed his sword. I knocked on the Vicarage door. It was an old-fashioned brass knocker, in the shape of a lion's head, and the sound it made echoed on and on behind the closed door, as though travelling unguessable distances. There were no lights on anywhere, and I began to wonder if this was really such a good idea after all. But after a worryingly long pause, the door swung abruptly open, and bright, golden light spilled out into the street, like the illumination of Heaven itself. And standing in the doorway was a healthy, happy, young lady in a baggy brown jumper over worn-in riding britches and boots. She had short, tufty red hair and vivid green eyes, and she grinned broadly at Chandra and me as though we were two old chums who'd come to tea.\n\n\"Hello!\" she said, in a bright cheerful voice. \"I'm Sharon Pilkington-Smythe. Come in, come in! All are welcome here. Even you, John Taylor! No sin too great to be forgiven, that's our motto!\"\n\n\"You know me?\" I said, the moment I could get a word in edgeways.\n\n\"Of course, sweetie! Everyone knows you. You're right at the top of _People we intend to save by whatever means necessary before we die._ Now in you come, don't be bashful, all are welcome in the Vicarage! Don't know your friend.\"\n\nChandra drew himself up to his full impressive height and stuck out his beard. \"I am Chandra Singh, holy warrior, mighty monster hunter, and legend of the Indian subcontinent!\"\n\nHe was clearly gearing up to say a lot more, but Sharon butted in before he could get going.\n\n\"Gosh!\" she said, with that particular mixture of innocence and ignorance that can be especially galling. \"A real live monster hunter! We really could use you round here. If only to keep the local rat population under control. You can't keep using land-mines; it upsets the neighbours. Come in, Chandra, you're just as welcome as John Taylor, and probably more so. I should go easy on the whole monster-killing bit when you meet the vicar, though\u2014not really her thing.\"\n\n\"She doesn't approve of killing monsters?\" said Chandra.\n\n\"Well, I don't give a damn myself,\" Sharon said airily. \"Carve them all up and make soup out of them, see if I care. But the vicar takes her beliefs very seriously. To her, a monster is only another lost soul that needs saving. The sweet and soppy thing. Come on, come on in both of you, and I'll take you to meet Tamsy!\"\n\nSharon Pilkington-Smythe stepped smartly back, encouraging us both to enter with emphatic arm gestures, and Chandra and I allowed ourselves to be ushered in, if only to stop her talking. She slammed the door shut behind us with casual violence, and there was the sound of many heavy-duty locks, chains, and bolts closing by themselves. I can't honestly say it made me feel any safer. Sharon led the way down an excessively neat and tidy hallway that wouldn't have looked out of place in a traditional country vicarage, the kind that only seems to exist on the lids of biscuit tins these days. Gleaming linoleum covered the floor, while pretty flowered prints adorned the walls. The light was a pleasant golden glow, warm and comforting. The whole scene couldn't have seemed more cosy if it tried. I didn't trust it an inch. Half a dozen puppies scrambled suddenly out of a side doorway, furry little bundles with oversized paws, falling over each other to get to us. And, of course, nothing would do but Chandra had to stop and make a fuss of them. They were still too young for me to guess their breed, and some of them clearly hadn't had their eyes open long. Chandra knelt and petted them all happily. He held one up before his face, and the puppy wagged its stumpy tail ecstatically. Chandra looked at me.\n\n\"Would you like one, John?\"\n\n\"Thanks,\" I said. \"But I've already eaten.\"\n\nChandra gave me a disapproving look and put his puppy down. Sharon herded them all back through the side door with brisk efficiency, then closed the door firmly. She looked at me reproachfully, and I stared right back at her. Actually, I'm quite fond of dogs, but I had a reputation to maintain.\n\nSharon led us down the hallway and ushered us into a nice comfortable parlour, which contained everything you'd expect to find in a cosy vicarage parlour, but rarely do outside of a Jane Austen novel. Bright and open, with flowered wallpaper, tasteful prints on the walls, and the usual mixture of rough-and-ready furniture. The big surprise was the huge bay-window, which opened out on to a view of wide-open fields and low stone walls. Bright sunlight flooded in through the open window, beyond which I could hear a church-bell ringing in the distance. I didn't ask Sharon what was going on there because she so obviously wanted me to. So I nodded, and smiled, and said nothing. I can be really mean-spirited sometimes. The door opposite opened, and in came the current rogue vicar, Tamsin MacReady. She'd just been baking her own bread. I could tell, because she brought the smell in with her. How homey can you get?\n\nThe rogue vicar was a tiny little thing, barely five feet tall and slender with it. She looked like a strong breeze would blow her away, but there was something about her, a strength, a gravitas, that suggested hidden depths. Which was only to be expected. Delicate blossoms don't last long in the badlands. Tamsin had sharply defined features, softened by kind eyes and a winning smile, with frizzy blonde hair held in place by a cheap plastic headband. She wore a simple grey suit, with a white vicar's collar. She extended a hand for me to shake, and it was hardly bigger than a child's. I shook it carefully, and so did Chandra, then we all sat down in the surprisingly comfortable chairs.\n\n\"Well,\" the vicar said sweetly. \"How nice. Two such important men, come all the way here to visit me. John Taylor and Chandra Singh. Monster, and monster hunter. What can I do for two such vaunted figures?\"\n\n\"Just looking for a little advice,\" I said. \"So you're the new rogue vicar, Tamsin?\"\n\n\"I have that honour,\" she said. \"I am Pew's replacement. Sharon, sweetie, there's blood all down the front of Mr. Taylor's coat. Be a dear and see to it, would you?\"\n\nAnd, of course, everything had to stop while I stood up and took off my coat, and handed it over to Sharon to be cleaned. She accepted the coat with a brisk, flashing smile, held it carefully between finger and thumb, and darted out of the room. I sat down again. I could have warned her about the coat's built-in defences, but I had a feeling Sharon could look after herself. Just as the coat could. And, in fact, Sharon was back almost immediately, without the coat, clearly not wanting to be left out of anything. She settled herself on the arm of the vicar's chair, one arm draped across Tamsin's shoulders.\n\nTamsin MacReady made a big deal out of serving us all tea and biscuits, from a silver tray that I would have sworn wasn't there on the table a moment ago. The tea service was delicate bone china, and I handled the cup carefully with my little finger extended, to show I wasn't a complete barbarian. Chandra insisted on pouring the tea, putting the milk in first and frowning at me when I added more than one teaspoon of sugar. I waited patiently until everyone was settled again, then addressed the vicar while Chandra chomped happily on a mouthful of biscuits.\n\n\"Why are you here, vicar?\" I said bluntly. I was finding pretending to be civilised very wearing, especially when the clock was ticking its way down to another massacre.\n\n\"People need me,\" said Tamsin, quite equably. \"I choose to live here, amongst the lowest and worst of human kind, because they need me the most. People tend to forget that our Lord came down to earth to live among sinners because they needed him most. And since most of them can't or won't come to me, I must go out amongst them.\"\n\n\"Isn't that dangerous?\" said Chandra.\n\n\"Oh no,\" said Tamsin. \"Not while I've got Sharon.\"\n\nSharon wriggled happily on the arm of the chair, and the vicar patted her arm companionably.\n\n\"She's my partner. All gals together, ever since school. Inseparable, really, though I often fear Sharon hasn't got a truly Christian bone in her entire delightful body. Have you, dear?\"\n\n\"I'll believe whatever you believe, Tamsy,\" Sharon said doughtily. \"And Heaven help anyone who tries to hurt you while I'm around, that's what I say.\"\n\n\"Sharon is my body-guard,\" Tamsin said fondly. \"She is so much more than she seems.\"\n\n_She'd have to be,_ I thought, but had the good sense not to say so out loud.\n\n\"I bear the word of the Lord to those who need it most,\" said the vicar. \"I listen, offer advice and comfort where I can, and if I can lead just one sinner back into the light, then my time here will have been well spent. Though of course I hope to save rather more than that. Still, I am a missionary, not a crusader. The way of the sword is not mine.\"\n\n\"It is mine,\" said Sharon. \"Though I don't usually limit myself to a sword.\"\n\n\"Not much like your predecessor, then,\" I said. \"Pew always saw himself as a holy terrorist, fighting the good fight by any and all means necessary.\"\n\n\"Dear Pew,\" said Tamsin. \"He is sorely missed.\"\n\n\"He was my teacher, for a time,\" I said. \"Before he decided I was an abomination.\"\n\n\"I know,\" said Tamsin. \"I've read his diaries from that period. He had great hopes for you, for a time.\"\n\nI raised an eyebrow despite myself. \"I didn't know Pew left any diaries.\"\n\n\"Oh yes. Fascinating reading. He wrote quite a lot about you. Before he gave away his eyes, in return for knowledge. About you. Do have another biscuit, John, that's what they're there for.\"\n\n\"I don't have time for distractions,\" I said bluntly. \"What can you tell me about the Walking Man?\"\n\nTamsin and Sharon shared a look. \"We heard he was here, at last,\" said Tamsin. \"It's said . . . he talks directly with God, who talks directly with him.\" She looked directly at Chandra. \"I understand you are a khalsa, Mr. Singh. A holy warrior. What brings you here, to the Nightside? At this time in particular? Did you know the Walking Man was going to be here?\"\n\n\"Like you, I go where I am needed,\" said Chandra. \"My life is a holy quest, for purpose and meaning, in the service of my god.\"\n\n\"Have you ever tried looking for your god on the Street of the Gods?\" said Tamsin.\n\n\"No,\" said Chandra. \"Have you?\"\n\nThey both laughed, politely. A new subtle tension had entered the Vicarage parlour. It was getting in the way, so I intervened.\n\n\"The Beings on the Street of the Gods aren't gods at all, strictly speaking,\" I said. \"Some of them are other-dimensional travellers, some are psychonauts from higher dimensions, some are aliens or icons or manifestations of abstract concepts. You get all sorts in the Nightside. Many of the older Beings are descendants of my mother Lilith, from when she went down to Hell and lay down with demons, and gave birth to monstrous Powers and Dominations. It's probably a lot more complicated than that, but there's a limit to how much weird shit the human mind can cope with.\"\n\n\"So...some of these Beings are related to you?\" said Chandra.\n\n\"Only very indirectly,\" I said. \"We're not close. Like so many other relationships in the Nightside, it's complicated.\"\n\n\"There is only one Supreme Being,\" said Tamsin.\n\n\"Yes,\" said Chandra. \"There is.\"\n\n\"And the one true God has one true nature.\"\n\n\"Yes,\" said Chandra. \"I would agree with that.\"\n\n\"But your god and mine are very different,\" said Tamsin. \"I preach love and understanding and living peaceably with one another; and you follow the way of violence. We can't both be right. Is that why you came here to the Nightside, to see the Walking Man in action . . . and test your faith against his? Because if he really is what he says he is, a man touched directly by the Supreme Being, then what does that make you?\"\n\n\"A searcher after truth,\" said Chandra. \"In my travels, I have met many who claimed to hear the Voice of God instructing them to do things, and most of them had to take a lot of medication. Few of them were in any way worthy of the God they claimed to worship. You said it yourself\u2014yours is the way of love and peace. John and I have seen the Walking Man at his work, and it seems to me that if he serves any Lord at all, it is the Lord of Darkness.\"\n\n\"God moves in mysterious way,\" said Tamsin, implacably.\n\n\"So does Walker,\" I said. \"But I've never felt like worshipping him. Save the religious debates for another time. The Walking Man\u2014do you know of any way to stop him, or turn him aside?\"\n\n\"No,\" said Tamsin. \"No-one can. That's the point.\"\n\n\"We did a lot of reading up on the Walking Man, once we heard he was here, didn't we, sweetie?\" said Sharon. \"Pretty disturbing stuff, actually. Real Old Testament retribution, eye for an eye and all that. Give him the jawbone of an ass and stand well back.\"\n\n\"We don't know anything for sure about the Walking Man,\" said Tamsin. \"I was hoping he'd come to see me, so I could . . . reason with him. But I have no authority over him, or any control over his actions. He will do what he will do. He answers to God, not the Church. To be honest, I always thought he was just a myth, a story they tell in seminaries as an example of faith getting out of hand. But myths have a way of coming true in the Nightside, don't they, Lilith's son?\"\n\n\"If I can't find a way to stop him, he's going to destroy the Nightside and everyone in it,\" I said, as harshly as I could. \"Including you and Sharon and all those poor sinners you were hoping to save. Isn't there any help or advice you can offer?\"\n\nTamsin thought for a long moment. \"Only a certain kind of man becomes a Walking Man. Broken men, their lives destroyed by great tragedy and loss. Men with nothing left to lose . . . seeking redemption, by enforcing justice on a world that seems to have none. Heal them, and they often don't feel the need to be the Walking Man any more. In fact, certain very old texts seem to suggest that the office of the Walking Man only exists to give the most desperate of men a chance to heal themselves and return to a state of grace.\" She looked at me, not smiling at all. \"In another time, and in another place, I think you might have become a Walking Man, John Taylor.\n\n\"My only advice...is to go to church. The only real church in the Nightside, St. Jude's. A place where prayers are heard, and answered. If you're really serious about wanting the truth . . . go and talk to the Walking Man's Boss. But remember, John, the only thing worse than asking questions of God . . . is getting them answered.\"\n\nChandra leaned forward suddenly. \"There is a place here, where a man can talk directly with his God?\"\n\n\"Yes,\" said Tamsin. \"You should go, Mr. Singh. Ask your questions, and see who answers you.\"\n\n\"Yes,\" said Chandra. \"That should prove most interesting.\"\n\nTamsin turned to Sharon. \"Mr. Taylor's coat should be clean by now, dear. Go and get it for him, would you?\"\n\n\"Oh sure, sweetie! Won't be a moment!\"\n\nShe bounced up off the chair's arm and hurried out the door. It seemed it was time to leave, so I got up. Chandra made a point of finishing his tea first and making appreciative noises, then he got up, too. Sharon came bustling back in with my coat. It was, of course, spotless. I put it back on, and said good-bye politely to the rogue vicar. Chandra was even more polite. Sharon led us back down the cosy hallway to the front door. I glanced covertly at Chandra. Tamsin MacReady had been pushing him pretty strongly about whose god was biggest, but it didn't seem to have ruffled his composure. If there's one thing I've come to be sure of, in all my years of walking up and down in the Nightside, it's that while there are always answers to be found if you know where to look... they inevitably only lead to more questions.\n\nSharon opened the front door for us, and Chandra and I stepped back out into the night. I looked back to say good night, and Sharon smiled at me through the closing gap. And for a moment I caught a glimpse of her hidden self, the vicar's body-guard\u2014a quick flash of huge teeth and ragged claws and something hideously vile and vicious. Just a glimpse, then it was gone, and Sharon Pilkington-Smythe smiled good-bye as the door closed. I wondered whether Tamsin MacReady knew. I thought she probably did. I looked at Chandra.\n\n\"Did you see that?\"\n\n\"See what?\"\n\n\"Never mind.\"\n\nI took a moment to check my trench coat thoroughly, in case Sharon had planted any listening or tracking things, or some other little surprise. You can never be too careful with the truly righteous\u2014their faith allows them to justify all kinds of underhanded behaviour. I found half a dozen small silver crucifixes, scattered through various pockets. They didn't seem to be anything out of the ordinary, but I discarded them anyway, just in case. What is the world coming to, when you can't even trust a rogue vicar and her demon lover?\n\nA movement further down the street caught my attention, and I looked round sharply. Out of the shadows, walking calmly and serenely in the night, came Annie Abattoir, large as life and twice as glamorous. She was wearing a rich purple evening gown, complete with elbow-length gloves, high heels, and enough jewellery to fill a pawnbroker's. Not that anyone would bother her, of course, even here. She was Annie Abattoir. She strode up to me, and I nodded respectfully.\n\n\"Hello, Annie. Seduced and killed anyone interesting recently?\"\n\n\"No-one you'd know,\" said Annie.\n\n\"What is a high-class courtesan, experienced assassin, and truly dangerous individual such as yourself doing in this low-rent area?\"\n\n\"I'm here to visit the rogue vicar.\"\n\nI raised an eyebrow, and Annie looked at me witheringly.\n\n\"What's the matter?\" she said. \"Can't a mother visit her own daughter?\"\n\nShe knocked on the Vicarage door. Sharon opened it and let her in. I looked thoughtfully at the door as it closed. I never knew Annie had any family. I thought she killed them all. So, the most vicious assassin in the Nightside had a vicar for a daughter. Made you wonder which of them was the black sheep . . .\n\nChandra Singh and I walked from the Vicarage to St. Jude's. It wasn't far. The church's actual location had become somewhat elusive, ever since the Lilith War, and is seldom to be found in the same place twice. You have to need to find it really badly, then there it is, right in front of you. Or not. It's not supposed to be easy to find. Either way, St. Jude's has always preferred the darkest and most out-of-the-way locations in the Nightside. I must have wanted to find the church really badly, because after only a few minutes walking, it loomed up before me, in a setting I was pretty sure it had never patronised before.\n\nSt. Jude's is the one real church in the Nightside, and it wouldn't be seen dead anywhere near the Street of the Gods. A simple cold stone structure that almost certainly predates Christianity itself, it has no trappings, no rituals, and no services. You don't come to St. Jude's for prayer or contemplation or comfort. It's a place to go when you've tried everywhere else. A place where prayers are heard and paid attention to. A church where you can talk to your god directly, and be pretty damned sure of an answer. St. Jude's deals in truth, and justice, which is why most people have the good sense to steer clear of it.\n\nAnd only the truly desperate would ever use it for sanctuary.\n\nWhich is why it really shouldn't have surprised me to find one particular person already there, kneeling before the crude but functional altar, lit by the light of hundreds of candles. I knew him, and stopped just inside the doorway. Chandra stopped beside me, and looked dubiously at the old man in his torn and tattered robe.\n\n\"That,\" I said quietly, \"is the Lord of Thorns. Once, and for a long time, the most powerful man in the Nightside. Overseer and Court of Last Resort, very powerful and very scary, he believed God had put him here to be the Nightside's protector. Until Lilith came, and slapped him aside like he was nothing. He's been trying to figure out his true role and purpose ever since. Be warned, Chandra. The Nightside does so love to break a hero.\"\n\n\"It hasn't broken you,\" said Chandra.\n\n\"Exactly,\" I said.\n\nEven though we'd been talking in low voices, the Lord of Thorns still heard us. He rose slowly and painfully to his feet, as though his many centuries of existence were finally catching up with him, and turned to face us with a certain wounded gravitas. He no longer had his staff of power, supposedly grown from a sliver off the original Tree of Life. Lilith broke it, when she broke him. I could remember when just his presence was enough to make me kneel to him, but he was just a man now. Someone had cut his Old Testament prophet's hair and beard to more manageable proportions, and it looked like someone had been feeding him. People will adopt the strangest pets, in the Nightside.\n\nHe came down the aisle to join us, taking his time, and I nodded respectfully.\n\n\"Didn't expect to see you still here,\" I said.\n\n\"I look after the church,\" he said flatly. \"Or it looks after me. It's often hard to tell . . . I keep it clean, keep the candles lit . . . because someone has to, and I tell myself it's all about learning patience and humility. I'm still waiting for an answer to my prayer, the question I put to God. If I'm not the Nightside's Overseer, then what am I? What is my true nature and purpose?\"\n\n\"Isn't that what every man would know of his god?\" said Chandra.\n\n\"Most people haven't lived a lie for as many centuries as I have,\" said the Lord of Thorns.\n\n\"Have you regained any of your power?\" I asked.\n\n\"No,\" said the Lord of Thorns, his voice quite matter-of-fact. \"I'm just a man. I sometimes wonder if I'm supposed to work out the answer myself, before I can take up my old power and authority again. Right now I'd settle for a sign. Or even a hint.\" He looked at me thoughtfully. \"I could have returned to my old home, in the World Beneath. It has been largely rebuilt and repopulated, since the end of the Lilith War. But it wouldn't feel right. It would feel too much like hiding. So here I stay, in the church named after the Patron Saint of Lost Causes. What are you doing here, John Taylor? Come to talk to God at last, and ask him what you're supposed to be?\"\n\n\"I already know,\" I said. \"That's my problem.\"\n\n\"A moment, please,\" said Chandra. \"Is this really a place where a man can speak directly with God? And get an answer? There are so many things I would dearly love to ask Him . . .\"\n\n\"This is the place,\" said the Lord of Thorns. \"Can't you feel it?\"\n\n\"Yes . . .\" said Chandra. \"There are places such as this in India. Ancient and sacred places that feel like this . . . But I never considered myself worthy enough, holy enough, to approach them. But then, perhaps this is not a place to find my god.\"\n\n\"God is God,\" said the Lord of Thorns. \"You think he gives a damn what name we choose, just as long as we talk to him and listen for his answers? This is not a Christian place, though it currently uses Christian forms . . . It's much older than that. This is the real thing, the pure pattern, just a man and his god, and nothing to separate them. Could anything be scarier?\"\n\nChandra looked at me. \"You've been here before. Have you ever asked a question?\"\n\n\"No,\" I said. \"I've got more sense. The last thing any sensible man wants is God taking a keen interest in him. I have no wish to be given a quest, or a duty, or a destiny. I'm not a holy warrior, or any kind of saint. I'm just a man, trying to get through life as best I can. Don't look at me like that, Thorns. You know what I mean.\"\n\n\"Sorry,\" said the Lord of Thorns. \"I thought you were being ironic.\"\n\n\"I decide my life,\" I said. \"No-one else.\"\n\n\"I used to think that,\" said the Lord of Thorns.\n\nChandra approached the stone altar, his voice soft and flat with awe. \"To speak directly with God, without the intervention of priest or ritual. I am khalsa, a holy warrior. I have dedicated my life to serving my god, and yet still . . . I fear to hear what he might say to me. What does that say about me?\"\n\n\"That you're still human,\" I said. \"Only a fool or a fanatic never has doubts about himself.\" I looked at the Lord of Thorns. \"What do you know about the Walking Man?\"\n\n\"I've met a few, in my time,\" he said easily. \"I haven't always been bound to the Nightside. I have met Walking Men, out in the world. Not the happiest of men, usually. Driven, desperate to make the world make sense . . . by making sure the guilty are punished. For supposedly holy men, they seem to have remarkably little faith in the justice of the world to come. They want their justice here and now, where they can see it.\"\n\n\"What if I were to bring him here, to you?\" I said suddenly. \"Could you stop him from destroying the Nightside?\"\n\n\"Even if I still had my old power, and my old certainty, I am nothing compared to the Walking Man,\" said the Lord of Thorns. \"He is the wrath of God, you see. And besides . . . perhaps he's right in what he's doing. Perhaps God has finally decided to do away with the Nightside, for the sinfulness of its inhabitants. There are precedents . . .\"\n\n\"There has to be a way to stop him!\" I said, almost shouting at the old man. He didn't flinch.\n\n\"There might be a way,\" he said slowly. \"Not a very pleasant way, but that's often how these things go . . . I suppose it would depend on how desperate you are.\"\n\n\"Oh, I am way past desperate,\" I said. \"What is it?\"\n\n\"To stop a man of God, you need a weapon of God,\" said the Lord of Thorns. \"You need the Speaking Gun.\"\n\nThat stopped me. I turned away. My mouth was suddenly very dry, and there was a chill in my bones.\n\n\"What exactly is this Speaking Gun?\" said Chandra.\n\n\"An ancient, terrible weapon,\" I said. \"It uncreates things. It could destroy everything. So I destroyed it.\"\n\n\"It still exists in the Past,\" said the Lord of Thorns. \"If you could travel back into Time Past... Perhaps if you were to speak with Old Father Time?\"\n\n\"No,\" I said. \"Not after . . .\"\n\n\"Oh yes. Quite. Well then, I suggest you visit the Street of the Gods. Time has never been too strongly nailed down there. And that is where the Walking Man is, right now.\"\n\n\"What?\" I said. \"Oh shit . . .\"\n\nI left St. Jude's at a run, with Chandra pounding along behind me. I had to get to the Street of the Gods. Before the Walking Man brought the wrath of God to things that only thought they were gods.\n**SEVEN**\n\n_The Good Man_\n\nI'd barely cleared the door of St. Jude's when I found myself charging down the Street of the Gods, with Chandra Singh pounding along behind me. A gift from the Lord of Thorns, or from the church itself? Or maybe even from Someone higher up . . . Some questions you just don't ask, especially in the Nightside. I skidded to a halt and looked quickly around me as I realised the Street of the Gods wasn't in any more of an upset than usual. Gods and worshippers, strange Beings and stranger tourists, all milled about making rather more noise than was necessary, stirring up trouble for themselves and each other, but there was no sign anywhere of the Walking Man. No-one was dead and dying, there were no piled-up bodies, and no-one was screaming . . . so perhaps he hadn't actually got here yet. I made myself take a deep breath and concentrate. I'd spent too long chasing around after the Walking Man. Now I was ahead of him for once, I had to stop and think. Find some way to stop him. The Walking Man already had two massacres to his credit. I couldn't let him get away with a third.\n\nEspecially not here.\n\n\"It's like a carnival!\" Chandra Singh said suddenly. He was staring all around him, beaming widely. \"Brightly coloured tents holding wonders within, while hawkers shout their wares, and boast of the glories to be enjoyed by braver and more adventurous souls. The scale may be different, but the spirit's the same. Come in, come in, put your money down, for an experience that will change your life forever! I have seen this before, John Taylor, from the smallest towns to the biggest cities. Religion for sale and faith on special offer. This is just another marketplace!\"\n\n\"Of course,\" I said. \"Why do you think the Street of the Gods has always been so closely associated with the Nightside?\"\n\n\"Bit short on taste, though,\" said Chandra, positively curling his lip at some of the more ostentatious displays.\n\nHe was saved from hearing my perhaps overly cynical reply when we were ambushed by a pack of pamphleteers. They seemed to jump up out of nowhere, loud and aggressive and very much in our faces, surrounding us in a moment, forcing their cheaply printed pamphlets into our hands, while keeping up a constant clamour of hard-sell conversion. I glanced reflexively at the pamphlet in my hand.\n\n_Better Living Through Urine: Drink Yourself Holy! Worship Baphomet Now\u2014Avoid The Rush When He Finally Manifests In All His Awful Glory! Join The Church Of Smiting: Strike Down The Ones You Hate With A Truly Nasty Act Of God! Suffering And Unfairness Guaranteed Or Your Money Back! Are You Not Sure Of Anything Really? Then Join The Church Of The Undecided. Or Not. See If We Care. We're Only Printing These Things As A Tax Dodge._\n\nChandra made the mistake of trying to talk kindly to these hyperventilating vultures and was immediately shouted down by a dozen competing voices. Some of them even grabbed at his silk sleeves and tried to drag him off in a dozen different directions at once. So I made a point of throwing all my pamphlets on the ground and stamping on them, and when I had the pamphleteers attention, I fixed them all with a hard stare. They fell back as one, struck suddenly dumb. It's amazing what you can achieve with a good hard stare when you've got a reputation like mine. But by now more pamphleteers had arrived, scenting blood in the water, and filled the silence with their own shouts.\n\n\"I saw them first! They're mine!\"\n\n\"Don't listen to him! Only I can bring you to Enlightenment!\"\n\n\"You? You couldn't even spell Enlightenment! I offer a tenfold path to true transcendence!\"\n\n\"Ten? Ten? I can do it in eight!\"\n\n\"Seven!\"\n\n\"Four!\"\n\n\"Dagon shall rise again!\"\n\nIt got nasty after that. They fell on each other, pamphlets thrown to the winds, fluttering on the air like particularly gaudy autumn leaves. Fists were brandished, shins were kicked, and there was a lot of close grappling and unnecessary biting. I strolled off and left them to it, and Chandra hurried after me.\n\nThe Street of the Gods was being its usual strange and unnatural self, with weird shit on every corner and more manifestations than you could shake a crucible at. Chandra enjoyed the sights, like any other tourist on his first grand tour, but every now and again he'd catch himself as he remembered he wasn't supposed to approve of things like this. Organised religions are always jealous of the up-and-comers. But there was a lot to look at and enjoy. Self-appointed saints with neon halos looked disapprovingly on other-dimensional entities playing croquet with the heads of heretics, while rival congregations shouted rap sermons at each other from the safety of their church doors.\n\nAnd a long line of sad furry animals followed a large scruffy bear as he trudged down the Street, holding up a crucifix to which was nailed a small green frog.\n\nI pointed out some of the more interesting faiths and beliefs to Chandra as they presented themselves, at least partly in the spirit of self-defence. It pays to watch your back in the Street of the Gods. You never knew when some of the more aggressive Ideas will sneak up behind you and mug your subconscious. But there are many sights to be seen in the Street of the Gods, and I enjoyed showing them off to Chandra. It was all so new to him. The glamour rubs off fast after you've cleaned a fallen god's blood off your shoes, as he's viciously ejected from his temple to make way for someone more popular.\n\nI showed him the Church of the Blood Red God\u2014a tall Gothic structure with spiked towers and barbed parapets, a gloomy crimson edifice made entirely out of blood. Blood and nothing but blood, gallons of the stuff shaped and held in place entirely by the will of the Blood Red God. Impressive to look at, though up close it smelled pretty bad. Attracted flies like you wouldn't believe. The God's disciples provide the blood, mostly voluntarily.\n\n\"And what, precisely, does the Blood Red God get out of all this?\" said Chandra suspiciously. \"Apart from a church that smells like a slaughterhouse?\"\n\n\"Well,\" I said. \"He feeds off his flock, transmutes the blood in his own divine body, then feeds the supercharged blood back to his devotees, a few drops at a time. Their worship makes him a God, and they get to feel divine, for a time. Do I really need to tell you that the process is addictive and that it burns out the human system pretty damn quickly? Not that it matters. There's a believer born every minute.\"\n\n\"But...that means he's nothing more than a glorified leech! Feeding off his followers!\"\n\n\"I could say something very cynical and cutting here about the nature of most organised religions,\" I said. \"But the Street says it all, really.\"\n\nChandra sniffed loudly. \"What does he look like, this Blood Red God?\"\n\n\"Good question,\" I said. \"No-one knows. Like many of the Beings on the Street, he rarely walks abroad in person. Probably because if their flocks ever got a good look at what they were actually worshipping, they'd go off the whole idea. However, the Blood Red God has been known to send out humanoid figures composed entirely of blood to take care of day-to-day business. Some of the more adventurous vampires like to sneak up behind and stick straws in them.\"\n\n\"Show me something else,\" said Chandra. \"Before I projectile vomit every meal I've eaten in the last three months.\"\n\n\"Well,\" I said. \"If you're looking for something more spiritual . . . over there we have the Hall of Entropy. A dour-looking place for a congregation of real gloomy buggers. They believe that since the whole universe is winding down, and everything that lives is going to die, it's up to us to evolve into a higher order of Being and get the hell out of here in search of a better class of universe. They offer courses in how to become a higher order of Being. Very expensive courses.\"\n\n\"Ah,\" said Chandra. \"And have any of these people ever actually transcended?\"\n\n\"Funnily enough, no,\" I said sadly. \"According to the people who run the courses, it's because the students aren't trying hard enough. Or because they haven't taken enough courses. There's a pool running on the Street as to how long it will take before the students wise up and rebel, and tear the whole place apart. Probably only to find that the organisation's leaders have already absconded with all the cash. In search of a better universe, presumably.\"\n\n\"Why is everyone staying well away from that one?\" said Chandra, pointing entirely unselfconsciously. \"Even the tourists are taking their photos from the other side of the Street.\"\n\n\"Ah,\" I said. \"That is the Church of Sacrifice. Its priests have an unnerving tendency to rush out of their church without warning, grab anyone handy, or anyone who doesn't run away fast enough, and drag them into their church to sacrifice to their god. Usually singing psalms very loudly, to drown out the screams and objections. Their god, who has no name but I think we can all take a pretty good guess at his nature, sucks up the souls and shares the life energy with its followers. No-one on the Street objects, as such. They think he adds colour and character to the Street. And besides, he helps keep the tourists moving. The Church's worshippers wear masks at all times. Because if any of them do get identified, everyone else kills them. Just on general principles.\"\n\n\"This whole Street is a disgrace!\" said Chandra, rather more loudly than I was comfortable with. \"None of these Beings are gods! Powerful creatures, yes, but not gods! Nothing worthy of worship. In fact,\" he said, his voice suddenly thoughtful. \"Many would seem to me to qualify as monsters . . .\"\n\n\"Let us not go there,\" I said quickly. \"We really don't want to start anything. We're here to stop the Walking Man.\"\n\n\"But I'm right, aren't I?\" insisted Chandra.\n\n\"Well, yes, quite probably,\" I said. \"But it's still not something you want to actually announce out loud unless you like having your testicles expand suddenly and violently, then blow up in slow motion. Some of the gods here have very old-fashioned ideas when it comes to smiting unbelievers.\"\n\n\"You think that will stop the Walking Man?\" said Chandra.\n\n\"No. But then, his god is bigger than everyone else's god.\"\n\n\"I am a khalsa,\" said Chandra. \"I do not believe . . . that this Walking Man can do anything that I cannot.\"\n\n\"You can believe anything you like, on the Street of the Gods,\" I said. \"But that doesn't necessarily make it true.\"\n\nThere was the sudden sound of loud and angry confrontation, from further down the Street. I started running again, with Chandra pounding along behind me. He was in better shape than I, but he was carrying more weight, so I kept a comfortable lead. I felt a very definite need to encounter situations or Beings before Chandra did. He had a disturbing tendency to say exactly what he was thinking, and that can get you into a whole lot of trouble on the Street of the Gods.\n\nLots of other people were running right alongside me, including a whole bunch of tourists with their cameras at the ready. We do love our free entertainment in the Nightside, especially if it promises to be dramatic, violent, and quite spectacularly bloody. And given that this involved the Walking Man, it promised to be all three. He was standing quite calmly in the middle of the Street, his long duster hanging open to reveal the guns still holstered on his belt. He was surrounded by proponents of a whole bunch of belief systems, singing the praises of their gods and denouncing the Walking Man as a heretic, an unbeliever, or worse still, a fake prophet. Even more were shouting insults from the safety of their church doors. And yet, nobody wanted to get too close to him. Even the fiercest of believers, the most fanatical wide-eyed extremists, could sense the power and the threat of the Walking Man. Even standing still, he was more frightening and more dangerous than any of the Beings on the Street of the Gods.\n\nYou just knew it.\n\nI pushed my way through the crowd surrounding the Walking Man, and most people only gave me a quick glance before getting out of my way. Probably because they were curious to see what I was going to do. My name moved swiftly through the crowd, along with a sense of _Now we're going to see something . . ._ Chandra Singh stuck close behind me. I was huffing and puffing from the run, and he wasn't even out of breath. And then the Walking Man opened his mouth to speak, and everyone fell silent.\n\n\"You aren't gods,\" he said, in a calm but still loud and carrying voice. \"You're spiritual con men, confidence tricksters offering false faith and false hope. Is there a greater sin?\"\n\n\"Even false hope is better than none,\" I said. \"Especially in a place like the Nightside.\" Everyone around me fell back to what they clearly hoped was a safe distance. The Walking Man looked at me, and I met his gaze firmly. I needed to get him talking, try to reason with him, before the horror I sensed hanging on the air erupted into bloody murder. There had to be a way to reach him. Before all hell broke lose.\n\nThe Walking Man did me the politeness of considering my words for a moment, then shook his head. \"No. All of... this is just a distraction from the true God, the real God, and a real state of grace. God is God, and none of these pretenders can be allowed to continue in their offences. There's no room for mercy when souls are at stake.\"\n\n\"What are you going to do?\" I said bluntly. \"Fight your way into all the churches and temples, drag the gods out into the Street, and shoot them all in the head? Even if you could do that, which I rather doubt, there are so many of them, you'd still be at it years from now.\"\n\n\"I have faith,\" said the Walking Man. \"And faith can move mountains, never mind a false Church or two.\" He stopped and glared across the Street at a grimy stone edifice. \"I mean, come on, look at that. The Temple of the Unspeakable Abomination. Who in their right mind would want to worship _that_?\"\n\n\"Someone looking for an unfair advantage, probably,\" I said. \"It's all about the deals you can make on the Street of the Gods. Faith is currency here, with valuable prizes to be won by the faithful. You can win good fortune, bad cess to your enemies, transformation or immortality, and everything in between, if you make the right kind of deal with the Being of your choice. Though the price will almost certainly be your soul, or someone else's. And I don't see that you're in any position to protest. You made a deal, didn't you? To put your humanity behind you and become the Walking Man?\"\n\nHe glared at me, all the casual humour gone from his face, and when he spoke his voice was flat and calm and very dangerous. \"Don't press me, John Taylor. And don't you dare compare me to the debauched fools and heretics of this corrupt and corrupting place. I serve the real deal, the one true God.\"\n\n\"That's what they all say here,\" I said easily, refusing to be intimidated.\n\n\"But my god has made me strong enough to destroy all their gods,\" said the Walking Man.\n\n\"Is that who you serve?\" I said. \"A god of blood and murder?\"\n\nHe smiled suddenly, and I realised I hadn't even touched his faith and conviction. \"I am the wrath of God. I punish the guilty. Because someone has to.\"\n\nChandra Singh pushed in beside me, positively quivering with eagerness to join the debate. He still thought we were only talking.\n\n\"I have no interest or affection for this place, but still, everyone has the right to worship who or what they please, in their own way,\" he said earnestly. \"There are many paths to enlightenment, and none of us are fit to judge them. Do you intend to kill me, for worshipping my god in a way that is different to yours?\"\n\n\"I don't know,\" said the Walking Man, with breath-taking casualness. \"I haven't decided yet.\"\n\n\"You would kill me?\" said Chandra Singh.\n\nThe Walking Man shrugged easily. \"Only if you get in my way. You're not guilty. Merely deluded. Ah well, time to get to work.\"\n\nHe drew both his pistols and opened fire on the Temple of the Unspeakable Abomination. The crowd scattered to give him room, keeping their heads well down. I stood my ground, and Chandra stood his ground beside me. Under normal circumstances I would have done the sensible thing and run like hell with the rest of them, but somehow I just couldn't while Chandra was with me. Never hang around with heroes; they'll always get you killed. The pistols' bullets hammered away at the front of the temple, punching holes clean through the wall and exploding the ancient stonework. There was a power in those guns and those bullets that the temple was no match for.\n\nCracks spread jaggedly across the entire front of the temple, then the whole front wall exploded outwards, as the Unspeakable Abomination showed itself for the first time in centuries, to see who was knocking so loudly on its door. Dozens of loathsome tentacles burst out into the street, dozens of feet long and bigger around than the average car, all of them lined with hundreds of vicious suckers packed full of rotating knifelike teeth. The flesh of the tentacles was a sick and leprous grey, as much metallic as organic, an impossibly flexible living metal that dripped corrosive slime. More and more tentacles slammed through the disintegrating front of the temple, as the Unspeakable Abomination rose up from the depths of its night-dark caverns far beneath the Street of the Gods, determined to have its revenge on whoever had dared disturb its sleep of centuries.\n\nThe tentacles lashed back and forth, grabbing everything within reach and crushing it to rubble or pulp. People died screaming as the tentacles shot after them faster than they could run. Men and women were snatched and slammed against the ground or the nearest buildings. Razor-packed suckers ate greedily into yielding flesh, and blood and other fluids ran down the Street in thickening streams. The temple was gone now. All that remained was a nest of long, thrashing tentacles killing everyone within reach. And finally, deep in the heart of the tentacles, there rose up a burning three-lobed eye, almost the size of the temple itself, staring unblinkingly on the death and destruction it was causing and finding it good.\n\nBeings of all shapes and sizes and natures came charging out of their churches and temples to face this new threat to the Street of the Gods, for whatever threatened the security and business of the Street was a threat to them all. The Walking Man might have intimidated them, but this was one of their own, and no-one would take you seriously on the Street if you let your neighbour intimidate you. So gods and icons and avatars spilled out on to the Street, and magics and sciences and strange energies spit and crackled on the air. Tentacles writhed and caught fire, exploded and cracked apart, and a choking, noxious smell filled the air as thick black blood spilled. But there were always more tentacles to replace those that were destroyed. Fanatical worshippers rushed in to cut and hack at the tentacles with blessed swords and axes, urged on by their priests, only to see the metal of their weapons break and shatter against the unyielding unearthly flesh of the Unspeakable Abomination.\n\nThe three-lobed burning eye looked on god and follower alike and found them all equally hateful in its gaze.\n\nThe tentacles churned out from the ruins of the temple, growing longer and thicker. They snatched up gods and squeezed them till their heads exploded, or pounded them against their own churches like a child having a temper tantrum with its toys. They slammed down on whole congregations, crushing them under their writhing weight until nothing was left but red pulp. The Abomination was awakening from its long sleep and remembering the joys of slaughter and destruction and the sweet taste of blood and suffering.\n\nChandra Singh strode steadily forward, his long, curved sword glowing almost unbearably bright in the gloom of the Street. Some of the lesser Beings actually flinched away from its light and fell back to give Chandra room to work. He cut savagely at the nearest tentacle, and the shining blade sank deep into the metallic flesh. Steaming black blood spurted, hissing and spitting on the ground, but though the tentacle reached for Chandra, it couldn't touch him. He gripped his sword in both hands, raised it high above his head, and brought it sweeping down in a mighty blow that sheared clean through the tentacle. The severed end flapped and flopped on the Street, curling and uncurling aimlessly. The stump retreated, spurting blood. Chandra went after it, his gaze fixed on the three-lobed eye.\n\nMeanwhile, I had my own problems.\n\nA tentacle came right for me, then hesitated at the last moment, as though it recognised me, or at least something about me. Which was both flattering and worrying. The tentacle humped and coiled before me, as though making up its mind, then suddenly pressed forward. I jumped out of the way, dodging behind a handy stone pillar. The tentacle curled around the massive pillar and wrenched it away with one heave. The roof started to come down, and I was forced back out into the Street. There was nowhere to run; the tentacles were everywhere. I dug through my coat pockets, searching for something I could use, and finally came up with a flat blue packet of salt. I tore the packet apart and spilled the salt on to the tentacle as it reached for me. The metallic flesh shrivelled and blackened and fell apart, the way salt affects a slug.\n\nNever leave home without condiments.\n\nI tried raising my gift, hoping I could use it to find some fatal weakness in the Abomination (seeing as I'd run out of salt), but the aether was jammed with the emanations of all the Beings out on the Street, fighting the Abomination. It was like being blinded by spotlights\u2014I couldn't See a damned thing. I had to screw my inner eye shut to keep from being overwhelmed.\n\nWhen I could see clearly again, the Walking Man was striding right into the heart of the lashing and roiling tentacles, heading straight for that burning three-lobed eye. It loomed over him, bigger than a house by then. The tentacles couldn't even get close to him, let alone touch him. Something made them pull back in spite of themselves, as though just the touch of him would be more than they could stand. He was protected because he was walking in Heaven's path. He passed by Chandra Singh, still fighting valiantly though surrounded on all sides. The Walking Man didn't even glance at Chandra, all his attention fixed on the three-lobed eye.\n\nHe walked right up to the eye, tentacles recoiling from his very proximity, and when he was standing right before it . . . he raised one of his long-barrelled pistols and shot the eye three times; one bullet for each lobe. The eye exploded in a blast of incandescent fire, and a wave of almost unbearable heat rushed down the Street, but none of it touched the Walking Man. The tentacles collapsed and lay still, slowly melting away, disappearing into long blue streams of decaying ectoplasm. The Unspeakable Abomination was gone. I'd like to think it was dead, but such creatures are notoriously hard to kill.\n\nAll around, Beings and men alike stared at the Walking Man, and a whisper went down the Street; _Godkiller . . ._\n\nI started towards him, and Chandra Singh came forward to join me. He looked like he'd been in a fight, his silks torn and steaming from black blood-stains, but he still held his long sword, and his back was straight and stiff. He only had eyes for the Walking Man, and he looked mad as hell.\n\n\"You!\" he said, when he was close enough. \"Walking Man! You did this! How many dead and injured, simply because they happened to be here when you chose to pick a fight with the Abomination? How many innocents dead today, because of you?\"\n\n\"There are no innocents here,\" the Walking Man said calmly. \"Not on the Street of the Gods, or in the whole damned Nightside. Isn't that right, John?\"\n\n\"Not everyone here needs killing,\" I said stubbornly. \"Sometimes, a place like this can be a haven for the damaged and the broken . . . a place to go when no-one else will have you. You can't just kill everyone.\"\n\n\"No?\" said the Walking Man. \"Watch me.\"\n\nHe didn't even bother with his guns this time. He walked unhurriedly down the Street, turning his terrible implacable gaze this way and that, and buildings and structures on all sides began to shudder and shake and fall apart under the impact of his deadly faith. Centuries-old stone and marble cracked and splintered, while construction materials from a hundred worlds and dimensions collapsed, or shattered like glass, or melted away like mist. For what use was antiquity and mystery in the face of his brutal faith? He was the Walking Man. He had God on his side, and he wasn't afraid to use Him. Beings and creatures and things beyond reason stumbled horrified out on to the Street, driven from their places of worship. Some came out howling and screaming, some sobbing bitterly, and some came out fighting.\n\nThe Robot God, the Deus in Machina, demon construct from the forty-first century, all strangeness and charm and vicious quarks, came stamping down the Street on its solid steel legs, its divine metal workings exposed, clanking and scraping against each other. Its eyes were multi-coloured diodes, and its slit mouth roared static. All kinds of energy weapons emerged from secret recesses, and the Robot God unleashed all its terror arsenal on the Walking Man, seeking to blast him right down to the quantum level.\n\nThe Walking Man swaggered down the Street to meet it, flashing his old insolent smile, and when he got close enough, he jumped lightly up to grab a handhold on the massive metal body and tore the Robot God apart, piece by piece, with his bare hands. Future energies howled and sputtered around the pair of them as the Robot God lurched back and forth, screaming bursts of static. In a matter of moments, all that remained was a scattered pile of metal parts and a few dispersing energies.\n\nThe Inscrutable Enigma appeared out of nowhere, forming itself around the Walking Man in spiralling circles of coruscating intensities. Its living energies had burned up through the material world to reach the Street, and its very presence set fire to the ground and ignited the air. Unearthly flames burned all around the Walking Man, but could not consume him. The Inscrutable Enigma might have been as much idea as matter, an alien concept manifesting in the material world, but it was still no match for the power that burned within the Walking Man. And all too soon the Enigma exhausted its energies and faded away, its base idea consumed by a bigger one.\n\nPretty Kitty God gave it her best shot. She was an utterly artificial god, cold-bloodedly designed and created by marketing groups to appeal to the biggest possible audience. But they did their job too well, and Pretty Kitty God became real, or real enough. She escaped the confines of her planned Christmas Special, broke the shackles of her trade-mark, and took up residence on the Street of the Gods, where she belonged. She was vast and powerful and almost unbearably cute. All fluffy pink fur and enormous eyes, ten feet tall and wondrously soft, she advanced on the Walking Man with her padded arms outstretched for a hug, to overwhelm as she always had, through sheer, unnatural cuteness. The God of Lost Toys, designed to appeal to all those who never got over finding out Father Christmas wasn't real, or having their favourite teddy bear thrown out by their mother because _they were too old for it now_ , though they weren't and never would be. I'd seen Pretty Kitty God subdue and smother old-school horned demons within a deluge of sheer niceness.\n\nShe always gave me the shudders. Toys should know their places. They certainly shouldn't want you to worship them.\n\nThe Walking Man gave Pretty Kitty God a hard look, and she burst into flames. She waddled away sadly, her leaping flames lighting up the gloom of the Street. The Walking Man, still smiling his mocking smile, looked unhurriedly about him, and all the gods of the Nightside stood there and stared back, not knowing what to do.\n\nThen Razor Eddie appeared, and everything on the Street of the Gods went really quiet. He didn't come walking down the Street, he didn't make an entrance. He was suddenly there, the Punk God of the Straight Razor, a terrible thin presence in a filthy old coat, more than a man but less than a god. Or just possibly the other way round. Thin to the point of emaciation, his eyes dark and feverish in his sunken grey face, Razor Eddie was one of the more disturbing agents of the Good in the Nightside. He slept in doorways, lived on hand-outs, and killed people who needed killing, all in penance for the sins of his youth. He did awful things with his straight razor, in the name of justice, and didn't give a damn.\n\nI suppose he's my friend. It's hard to tell, sometimes.\n\nHe wandered down the Street towards the Walking Man, who turned and considered him thoughtfully. Like two gun-fighters in a Western town who'd always known that some day they'd have to meet, and sort out once and for all which of them was fastest on the draw. The wrath of God and the Punk God of the Straight Razor finally stood facing each other, maintaining a respectful distance, and it felt like the whole Street was holding its breath. God's holy warrior and the most distressing agent the Good had ever had. The Walking Man's nose twitched. Eddie lived among the homeless, and up close his smell could get pretty rank. But when the Walking Man finally spoke, his voice was calm and measured and even respectful.\n\n\"Hi, Eddie,\" he said. \"I wondered when you'd get here. I've heard a lot about you.\"\n\n\"Nothing good, I hope,\" said Razor Eddie, in his pale ghostly voice.\n\n\"You should approve of what I'm doing here. Striking down the false gods, punishing those who prey on the weak.\"\n\n\"I don't give a damn for most of the scum who infest this place,\" said Razor Eddie. \"And yes, I've killed a few gods in my time. But Dagon . . . is my friend. You don't touch him.\"\n\n\"Sorry,\" said the Walking Man. \"But I really can't make exceptions. Bad for the reputation. People would think I was going soft.\"\n\n\"Bloody hell,\" I said, stepping forward. \"The testosterone's getting so thick around here you could carve your initials in it. Both of you, take a step back and calm the hell down.\"\n\nThe Walking Man looked at me. \"Or?\" he said politely.\n\nI met his gaze steadily. \"You really want to find out?\"\n\n\"Oh you're good,\" said the Walking Man. \"You really are, John.\"\n\nI looked at Razor Eddie. \"You've got a friend here, on the Street of the Gods? You've been holding out on me.\"\n\nHe shrugged briefly, the merest lifting of his shoulders. \"Do you tell me all your secrets, John?\"\n\n\"Can we at least give reason and common sense a try?\" I said. \"Before the shit hits the straight razor, and I have to get seriously peeved with both of you?\"\n\n\"All right,\" said the Walking Man. \"I'm game. Try me.\"\n\n\"The Street of the Gods serves a purpose,\" I said, trying hard to sound both firm and reasonable. \"Not everyone who comes to the Nightside is ready for the real thing, for true faith. You could say this whole place is a repository and a haven for the spiritually walking wounded. They have to work their way up, in easy steps, one step at a time, out of the dark and back into the light.\"\n\n\"There is only one way,\" the Walking Man said patiently. \"There is good, and there is evil. No shades of grey. You've been living here too long, John. Made too many compromises along the way. You've got soft.\"\n\n\"I haven't,\" said Razor Eddie. \"You're not so different from me, Walking Man. We both gave up our old lives, and all human comforts, to serve God in violent ways, to do the dirty work no-one else wants to know about.\"\n\n\"If you understand, then step aside and let me do my work,\" said the Walking Man. \"You don't have to die here today, Eddie.\"\n\n\"Can't do that,\" said Razor Eddie. \"Hard as it may be to believe, there are some good people here. And some good gods. One of them is my friend. And what kind of... good man would I be, to step aside and let my friend be killed? Sometimes this Street can be a place for second chances, one last opportunity to make something better of one's life. I found new hope here. You have to believe that.\"\n\n\"No I don't,\" said the Walking Man. And he shot Razor Eddie in the head.\n\nOr at least, he tried to. Razor Eddie's hand came up and round impossibly fast, his straight razor blazing like the sun, and cut the bullet out of mid air before it could reach him. The two separated halves fell to the ground, and the two small sounds seemed to echo on forever in the hushed quiet of the Street of the Gods. The Walking Man stood still, openly stunned, defied and defeated for the first time in his life since he'd left his simple humanity behind to become God's hit-man. Things like this weren't supposed to happen any more. And while he was standing there, trying to make sense of what was happening, Razor Eddie brought his straight razor round in a blindingly swift arc and cut the Walking Man's throat.\n\nOr at least, he tried to. The supernaturally sharp blade, which had been known to cut through Time and Space, sliced across the Walking Man's throat but couldn't touch it. The blade just swept past, held back the merest fraction of an inch from the bare skin, by the power and the force operating within the Walking Man. The two men just stood there, shocked silent, looking first at each other, then down at the weapons that had betrayed them. And from the crowd that had gathered all round, there came the busy murmurs of many bets being made.\n\nThe Walking Man's hands were suddenly full of his guns. He blazed away with both pistols, firing over and over again, but somehow Razor Eddie was never there to be hit. He surged back and forth, dancing through the fusillade of bullets, here there and everywhere at once, like the grey god he was. The Walking Man swept his guns back and forth, raking the Street with bullets, and everyone watching fell to their knees or flattened themselves on the ground, as bullets flew overhead. I had to pull Chandra Singh down beside me. He was so caught up in the spectacle of two earthly gods going at it right in front of him that he forgot all about self-preservation.\n\nBoth guns kept firing long after they should have run out of bullets, but for all the deafening thunder of the gunfire, Razor Eddie was drawing closer, step by step. Now and again he cut another bullet out of mid air, just to prove the first time hadn't been a fluke, slicing clean through the flashing bullet with his shining blade. And finally, inevitably, he drew close enough to go head to head with the Walking Man. He cut and sliced and slashed, moving almost too fast to be followed by mortal eye; and still he couldn't touch the man touched by God.\n\nAnd finally, inevitably, they duelled each other to a standstill. They stood facing each other, both breathless from their exertions, close enough to feel each other's panting breath on their faces, eyes staring into eyes. Neither of them beaten, neither willing to admit defeat. And then, quite unexpectedly, the Walking Man took a step back. He put his guns back in their holsters and showed Razor Eddie his empty hands. And as Eddie looked, and hesitated, the Walking Man snatched the straight razor out of Razor Eddie's hand. Eddie cried out, as though he'd lost a part of himself. The Walking Man threw the straight razor the length of the Street. It tumbled end over end through the air, the blade flashing brightly, until it vanished into the distance. And then the Walking Man clubbed Razor Eddie to the ground with his bare hands, beating him unmercifully again and again until Eddie crashed bloodily to the ground and stopped moving. The Walking Man stood over him, breathing harshly, blood dripping from his fists. And then he drew back his foot to kick the fallen god in the head.\n\n\"No!\" said Chandra Singh. \"Don't you dare!\"\n\nI was back on my feet again, and so was he. And if he hadn't spoken out, I would have. But when Chandra advanced steadily on the Walking Man, I stayed right where I was and let him do it. I was still observing the Walking Man, seeing what he could do, and making up my mind as to what I was going to have to do. So I let Chandra Singh take his shot, to see what would happen. I can be a real cold-blooded bastard when I have to.\n\nChandra stood protectively over the fallen Razor Eddie, and stuck his face right into the Walking Man's. Chandra was clearly steaming mad, but his face and his gaze had never looked so cold. The Walking Man met Chandra's gaze calmly and didn't budge an inch. One holy warrior facing off against another. This was what Chandra had wanted all along, whether he'd admitted it to himself or not. Why he insisted on sticking with me. To end up here, in this place and at this moment, for a chance to test his faith and his god and his standing, against the legendary Walking Man.\n\nHe stepped quite deliberately over the unconscious Razor Eddie, putting himself between the fallen god and further violence, openly defying the Walking Man to do anything about it. He didn't draw his sword, made no move to attack or defend; but stood there, confident in his faith and the righteousness of his cause.\n\n\"Go ahead,\" he said steadily to the Walking Man. \"Shoot me. Kill a good man. Just because you can.\"\n\n\"A good man?\" said the Walking Man, raising an eyebrow. \"Is that what you are, Chandra Singh? After all those creatures you killed, merely for the sin of being . . . different?\"\n\n\"You'll have to do better than that,\" said Chandra, entirely unmoved. \"I have only ever acted to save lives. Can you say the same?\"\n\n\"Yes,\" said the Walking Man.\n\n\"Too much faith can blind a man,\" said Chandra. \"Especially to his own faults. I admit, I came here for selfish reasons. I wanted to test myself, my skills, my faith, against yours. To prove once and for all that I was your equal, if not more, in everything that mattered. But now that I have seen you at your bloody work, your murderous function . . . I see I have a duty here. You have to be stopped. You're out-of-control. What you are doing . . . is not God's work. He may have his wrath, but He tempers it with mercy and compassion.\"\n\n\"Mercy,\" said the Walking Man. \"Compassion. Sorry, not my department.\"\n\n\"Then I must represent it,\" said Chandra. \"Even with the blood of so many unfortunate creatures on my hands. Because someone has to. John Taylor was right. There is still some hope left in the Nightside, and not everyone here deserves to die.\"\n\n\"If you stand against me,\" said the Walking Man, quite casually, \"you stand against God's plan. God's will.\"\n\n\"This is your will,\" said Chandra. \"Your need to punish the guilty and avenge your lost family. How many deaths will it take, Mr. Saint, how many murders, to put your soul at rest?\"\n\n\"Only one way to find out,\" said the Walking Man.\n\nThey didn't just throw themselves at each other. They were both professionals, after all, with many years of experience in what they did, and they knew enough about each other to respect each other's skills. So the Walking Man didn't go for his guns, and Chandra Singh didn't draw his sword. Not just yet.\n\n\"I am the wrath of God,\" the Walking Man said finally.\n\n\"No,\" said Chandra. \"You're only another monster.\"\n\nHe drew his sword with inhuman speed, and thrust the blade straight for the Walking Man's heart. It all happened in the space of a single breath, all of Chandra's strength and speed compressed into a single deadly strike, planned and launched while he was still speaking, to catch the Walking Man off-balance. But that was never going to happen. The Walking Man hardly seemed to move, but one hand came out of nowhere to grab the long, shining blade and stop it dead in its track. The two men stood face-to-face for a long moment, straining almost imperceptibly, Chandra to push the blade forward, the Walking Man to hold it where it was. Until finally the sword blade snapped, broken clean in half by the two immovable forces working upon it. Chandra staggered and almost fell. The Walking Man opened his hand, and the broken half of the blade fall to the ground. His hand wasn't even bleeding. Chandra breathed harshly, swaying as though he'd been hit, but he didn't drop his broken sword, and he still stood before Razor Eddie, protecting him. The Walking Man smiled on Chandra, almost kindly.\n\n\"Nice try. But you're only a khalsa, a holy warrior, whereas I am so much more. I made a deal with God Himself.\" He looked at me for the first time. \"Always get it in writing, eh, John?\"\n\n\"You'll have to kill me to get to Eddie,\" said Chandra.\n\n\"Kill you, Chandra?\" said the Walking Man. \"I'm not here to kill men like you. You're a good man. Unfortunately for you, and everyone else here, I've gone far beyond that.\" He looked at me again. \"Are you going to try and stop me, John Taylor?\"\n\n\"You really think you're ready to throw down with me?\" I said. \"I may not be holy, but I'm sneaky as hell. I move in really mysterious ways, and I guarantee you'll never see it coming.\"\n\nI met his gaze easily, holding my breath . . . and he shrugged abruptly and turned away from Chandra and Eddie.\n\n\"I'm wasting my time here,\" he said. \"I've allowed myself to become distracted. I came to this godforsaken place to kill your precious new upstart Authorities before they can organise the Nightside into a real threat to the outside world. I can always come back here, after I've killed them. So, stop me if you can, John.\"\n\nHe turned his back and strolled away. I let him go. I was thinking furiously. He hadn't realised I was bluffing. And that...was interesting. Chandra Singh knelt beside the unconscious Razor Eddie, hugging his broken sword to his chest. He was crying.\n**EIGHT**\n\n_There Is Always a Price to Be Paid_\n\nThe crowd was already dispersing. Money was reluctantly changing hands, as many bets were settled. I was frankly amazed that anyone had been ready to bet on Chandra Singh and me against the legendary Walking Man. But then, the Nightside has always had a weakness for the long odds. Chandra was still on his knees, still hugging what was left of his broken sword to his chest, still sobbing quietly. And I stood there and did some hard thinking.\n\nI'd seen the Walking Man in action, seen how implacable and relentless he could be. I'd tried reasoning with him. I hadn't expected that to work, but I had to try. And I'd stood back and let Chandra have his run at it, just in case one man of faith could bring down another. Now it was up to me to take the detestable, necessary, and maybe even evil step that was all that was left.\n\nWhen all else fails, you can always damn yourself with a necessary evil, for the greater good.\n\nMeanwhile, all around us the shot-up, blasted, and downright-ruined churches and temples were already starting to rebuild themselves. Cracked stonework came together again, splintered marble smoothed itself over, and vast edifices rose unmarked from their own graves, given shape and substance again by the unrelenting faith of their congregations. Those faithful whose certainties had taken a severe kicking from seeing the Walking Man in action were already looking for Something new to follow, leaving their smashed-up churches to rot in the rubble. And people passing on the Street only paused to spit on the remains of the Temple of the Unspeakable Abomination. Some of the more up-and-coming Beings were already squaring off to see who would take over the more valuable positions on the Street. There'd be lightning strikes and plagues of boils and general massed smiting going on soon, and I planned to be somewhere else when it happened.\n\nRazor Eddie sat up suddenly. His eyes snapped back into focus as his injured face repaired itself, then he shook himself sharply, like a dog emerging from a cold river. Chandra Singh, to his credit, immediately put aside his grief and his bruised pride and helped Eddie to his feet. Which made him a braver man than I. I wouldn't have touched Razor Eddie's filth-encrusted coat for all the gold in Walker's teeth. Razor Eddie nodded brusquely to Chandra and raised his right hand. His straight razor was immediately there again, shining as brightly and as wickedly as ever. The Punk God and his straight razor were never separated for long. I don't think they can be any more. They belong to each other.\n\n\"Well,\" said Razor Eddie, in his grey and ghostly voice. \"That was . . . unexpected. It's been a long time since anyone was able to put me down so thoroughly. It would appear the Walking Man actually is the real deal, after all. Which is kind of scary, if you think about it. So I don't think I will.\" He smiled slowly, showing rotten yellow teeth. \"I suppose it is possible I've been getting a little cocky, of late. The occasional humbling can be good for the soul. Though you mustn't overdo it, of course.\"\n\nI took advantage of Razor Eddie's unexpected chattiness to recover the broken half of Chandra's sword and offer it to him. The metal wasn't glowing any more. It looked like just another broken sword. Chandra nodded his thanks and accepted the blade as though I were handing him the body of his dead child. I felt like slapping him. It's always a mistake to get too attached to things. Chandra carefully slid both halves of the broken sword back into the scabbard at his side.\n\n\"It cannot be repaired or remade,\" he said, his voice surprisingly steady. \"Or at least, not by any human hand. It was a most ancient weapon, entrusted to me to protect the innocent and punish the guilty, and I have brought about its destruction through my own stubborn pride.\"\n\n\"You had the right idea,\" I said, touched despite myself. \"But the wrong weapon.\" I turned to Razor Eddie. \"To stop a man of God you need a weapon of God. One particular and very nasty weapon.\"\n\nEddie looked at me thoughtfully. \"You want a weapon, John? I thought you were above such things.\"\n\n\"You know what weapon I'm talking about,\" I said.\n\nHe nodded slowly, reluctantly. \"No good will come of this, John.\"\n\n\"I need the Speaking Gun,\" I said, and the Punk God of the Straight Razor shuddered briefly.\n\n\"Nasty thing,\" he said. \"I thought you destroyed it.\"\n\n\"I did,\" I said. \"But as with so many other awful things in the Nightside, it's only ever one step away from a comeback. Any idea where I might find it?\"\n\n\"You know I know where it is,\" said Razor Eddie. \"How is it you always know things like that?\"\n\n\"Because it's my job,\" I said. \"Now stop stalling.\"\n\n\"You'll find it at the Gun Shop,\" said Razor Eddie. \"At the place where all weapons are worshipped.\"\n\n\"Is that where you got your straight razor?\" said Chandra.\n\nRazor Eddie looked down at the steel blade shining so brightly in his hand and smiled briefly. \"Oh no,\" he said. \"I went to a far worse place for this.\"\n\n\"Then the Gun Shop it is,\" I said, trying hard to sound like I knew what I was doing.\n\n\"Wait,\" said Chandra, moving forward to stare me in the eye. \"You think you can stop the Walking Man, John Taylor? After I failed so miserably? After seeing him throw down all these false temples and churches? After he beat down the Punk God of the Straight Razor and shot the Unspeakable Abomination in the head? After he broke my blessed sword, a thing not achieved in centuries of trials against evil? What makes a man like you believe he can defeat the Walking Man?\"\n\n\"You have to have faith,\" I said. \"And I believe I'm a bigger bastard than the Walking Man will ever be. I'll find a way to stop him. Because I have to.\"\n\nChandra nodded slowly. \"Are you ready to die to protect your friends, John?\"\n\n\"Not if I can help it,\" I said. \"I was rather more planning on making him die. That's why I'm going to the Gun Shop.\"\n\n\"Want me to come with you?\" said Razor Eddie. The straight razor flashed briefly, eagerly, in his hand.\n\n\"No,\" I said. \"They see you coming, they'll probably lock the doors, slam home the bolts, and hide under the bed until you've gone away again. I would.\"\n\n\"They couldn't keep me out,\" said Razor Eddie.\n\n\"True,\" I said. \"But I think I'm going to need them on my side, for this.\"\n\n\"Fair enough,\" said Razor Eddie. He looked about him. \"I think I need to spend a little quality time here, walking up and down the Street of the Gods, carving up the minor Beings and doing terrible things to their gullible followers, just to prove I've still got it. Reputations have to be carefully maintained and nurtured, or people will start thinking they can take advantage. Besides, I'm in the mood for a little carnage and mayhem.\"\n\n\"Never knew you when you weren't,\" I said generously.\n\n\"I will go with you to the Gun Shop,\" said Chandra Singh. He was standing straight and tall again, his eyes dry and his voice firm. \"The game isn't over yet, and I am not beaten till I say I'm beaten.\"\n\nHeroes and holy warriors. They always bounce back faster than you'd think.\n\nSo we nodded our good-byes to Razor Eddie and watched him stride off down the Street. People and Beings took one look at what was coming their way and suddenly remembered they were urgently needed somewhere else. I looked at Chandra.\n\n\"Are you all right? The Walking Man really did a number on you.\"\n\n\"I am fine,\" he said. \"Or at least, I will be. I failed to understand what was really going on here, you see. I thought this was a conflict between the god I serve and that of the Walking Man, to see which was the greater. To determine which was the one true God, and therefore which of us was the true holy warrior. But instead . . . it was a conflict between two men. And in the end, it was my faith that proved to be lacking. I doubted I could beat him, and in that moment, I was lost.\"\n\n\"You really believe that?\" I said.\n\n\"I have to believe that,\" said Chandra. He looked around him, taking in the ruins and the rubble, the dead and the dying. And the tourists, taking photos of it all. \"No true God would approve of this . . . this indiscriminate slaughter. No, everything that happened here is down to the pride and needs of one stubborn man. And if there is one thing in this world you can be sure of, John Taylor, it is that the proud shall always be humbled.\"\n\n\"Yeah,\" I said. \"And the Nightside does so love to break a good man.\"\n\nI was looking right at him when I said that, but he still didn't get the point. \"So,\" he said briskly, \"where is this Gun Shop?\"\n\n\"Right here on the Street of the Gods,\" I said. \"It isn't just a Gun Shop, you see.\"\n\n\"Of course,\" said Chandra Singh. \"I should have known.\"\n\n\"The Gun Shop . . . is the Church of the Gun,\" I said. \"It exists because of all the people who worship weapons. Everything that is worshipped strongly enough and long enough has a place here. People do have an awful lot of faith in weapons, and the more people believe in them, the more power and influence they have in the world. You can find anything in the Gun Shop, anything that kills, from swords to nukes to energy weapons from future time-lines. The Speaking Gun will be there. Because even a terrible thing like that needs somewhere to go that feels like home.\"\n\nWe walked down the Street of the Gods, and people and other things hurried to get out of our way. Chandra Singh, because so many people had just seen him go head to head with the Walking Man and survive, and me . . . because I was John Taylor, and had done far worse things in my time. And might again. Meanwhile, I did my best to explain to Chandra exactly what the Speaking Gun was and what it could do. He needed to be prepared.\n\n\"The Speaking Gun is an old horror,\" I said. \"And I mean really old. So ancient it was created before the days of History, from the time of Myth and Legend. A gun fashioned from flesh and bone, that breathes and sweats and hates everything that lives. Its power comes from God, indirectly.\"\n\n\"And that's why you think it will work against the Walking Man,\" said Chandra.\n\n\"Exactly. You see . . . in the beginning was the Word, and the universe burst into existence. Or so they say I wasn't there. But anyway, as a result, the echoes of that Word live on in everything that exists. In their true, secret, descriptive Name. The Speaking Gun can see that Name and say it backwards. Thus . . . Uncreating them. I destroyed the Speaking Gun by forcing it to speak its own true Name backwards, and making it Uncreate itself. Seemed to work well enough, at the time. But the bloody thing still exists in the Past, and in certain future time-lines. And so the Gun Shop will always be able to reach out to it because its very nature links it to every weapon that ever was, is, or will be.\"\n\nChandra Singh shook his head. \"Words fail me.\"\n\n\"Well, quite,\" I said.\n\nIt didn't take us long to track down the Gun Shop. I didn't need to use my gift. Like so many places on the Street of the Gods, the Gun Shop lies in wait for those who need it. Never far, always ready to be of service, always ready to slap a gun in your hand and encourage you to use it. Death And Destruction \"R\" Us, but don't come back crying when it all goes horribly wrong.\n\nIt wasn't much to look at, when it finally hove into sight before us. More like a corner shop than a church, which I\n\nsuppose was only to be expected. A simple wooden door next to a single glass window, showing off all the wonders to be found inside. I stopped, and looked. I couldn't help myself. Chandra stood beside me. And in the window of the Gun Shop, weapons showed themselves off like whores. Swords and axes, guns and rifles, energy weapons and shifting shapes that made no sense at all. All of them utterly glamorous and sweetly tempting.\n\n_Come inside, find something you like. You know you want to._\n\nI pulled my gaze away from the display and looked at Chandra. \"Those aren't just weapons,\" I said. \"They're icons, archetypes, avatars of their kind. The Onlie True Originals, of which everything else are but pale reflections.\"\n\n\"Yes,\" said Chandra, turning his head abruptly to look at me. \"Not just guns, but the Spirits of Guns. Every gun, every sword, maybe every bomb, too. You don't come here looking for something to protect the innocent or punish the guilty. These are simply instruments of death. Means to murder.\"\n\n\"Got it in one,\" I said. \"Once we get in there, watch yourself. Murder is a sacrament in the Gun Shop, and temptation comes as standard.\"\n\nI headed for the door, and it opened silently before me, without my even having to touch it. The Gun Shop was expecting me. I strode in as though I'd come to condemn the place on Moral Health grounds, and Chandra was right there with me, giving the place his best snotty and entirely unimpressed look. Sharp fluorescent lighting blazed up, revealing a huge emporium containing every killing tool known to man, and a few that wandered in from adjoining dimensions. Like so many churches in the Street of the Gods, the Gun Shop's interior was much bigger than its exterior. It's the only way they can fit everything in. The Shop fell away before us, retreating endlessly into the uncomfortably bright light, with lines and lines of simple wooden shelves, stretching away into the distance for further than the merely mortal eye could follow. I never knew there were so many types of weapon.\n\nAnd then I blinked, and almost fell back a step, as the Gun Shop's owner, or manager, or high priest was suddenly right there before me. A respectable-looking middle-aged man in a respectable suit, with a broad square face, retreating hair, and rimless eyeglasses, he looked more like an undertaker than anything else. Which was only appropriate, I suppose. He had that quiet, remorseless calm that comes from dealing with death on a regular basis, and his warm, professional smile didn't touch his calm dead eyes at all. He nodded briskly to me, then to Chandra. My skin crawled. It was like being noticed by some poisonous snake or spider that might strike at any moment. He was an icon of suffering and slaughter; cold-eyed, cold-hearted, always ready to cut a deal, everything for sale but nothing on credit. And why not? You didn't come to the Gun Shop for a gun. You came to get yourself an unfair advantage, a weapon so powerful no-one could stand against it.\n\n\"Good to see you at last, Mr. Taylor,\" said the storekeeper, in a voice like every salesman you've ever heard. The ones who don't have to try too hard, because everyone wants what they've got. \"Always knew you'd drop in, eventually. Everyone does, eventually. And Mr. Chandra Singh, renowned monster hunter. How nice. You may call me Mr. Usher, if you wish. What can I do for you?\"\n\n\"Are you a god?\" said Chandra, honestly curious.\n\n\"Bless you, no, sir,\" said Mr. Usher. \"Nothing so limited. Gods may come and beings may go, but the Gun Shop goes on forever. I am the human face of this establishment. An extension of the Gun Shop, if you will. Because people find it easier to discuss business with something that looks like people. I am the Gun Shop.\"\n\n\"So . . . you're not really real, then?\" Chandra persisted.\n\n\"I'm as real as the Shop is, sir. And the Gun Shop is very real and very old. Many names, but one nature. Ah, sir, the old jokes are still the best. I always find a little humour helps the medicine go down more easily, as it were. I see you have a broken weapon about your person, sir. A most excellent and powerful sword, sadly now in two pieces, its very nature abused and shattered. Such a shame. Would you like me to repair it for you, sir?\"\n\n\"No he wouldn't,\" I said quickly. \"Tell him, Chandra. He could do it, but the sword would never be the same afterwards. And you really wouldn't want to pay the price he'd ask.\"\n\n\"I am quite capable of making my own decisions,\" Chandra said stiffly. \"The sword was entrusted to me, and I allowed it to be broken. I have a duty to see it repaired. If it can be repaired.\"\n\n\"Oh it can, sir, it really can,\" said Mr. Usher. \"I know all there is to know about swords.\"\n\n\"Including restoring its true nature?\" I said.\n\n\"Ah,\" said Mr. Usher, reluctantly. \"Well, no. You have me there, sir. I deal strictly with the material, not the spiritual.\"\n\n\"Then I cannot let you touch this sword,\" said Chandra. \"I will take it home, to be remade again.\"\n\n\"As you wish, sir.\" Mr. Usher turned his attention away from Chandra to concentrate on me. \"Mr. Taylor, what brings you at long last to the Gun Shop?\"\n\n\"You know why I'm here,\" I said, keeping my voice cold and unmoved. \"It's your business to know things like that. I'm here for the Speaking Gun.\"\n\n\"Oh yes, sir,\" said Mr. Usher, reverently. \"Of course. A most remarkable weapon. Older than the Nightside, they say. Certainly older than I am. A gun that is so feared and worshipped it's practically a god in itself.\"\n\n\"I destroyed it, not long ago,\" I said.\n\n\"Why bless you, sir, I don't think so. Oh, you may have put an end to its story in the here and now, but it still persists, in other times and places. It will always exist somewhere, in the Past or some Future time-line.\"\n\n\"How can that be?\" said Chandra, frowning.\n\n\"Because it's fished for,\" I said. \"It's always being looked for, stalked, and possessed by various talented individuals with more ambition than sense. Like the Collector. You have heard of the Collector, Chandra?\"\n\n\"I am not a rube,\" said Chandra, with some dignity.\n\n\"Can you locate the Speaking Gun, either in the Past or some accessible Future time-line?\" I asked Mr. Usher, and he gave me a polite but pitying smile.\n\n\"Of course, sir. Wherever or whenever the Speaking Gun may be, it is still always on a shelf here somewhere. I am in constant contact with every weapon ever made or believed in. I have them all here, from Excalibur to the Despicable Word. Though, of course, you'd have to be particularly gifted, or cursed, to be able to use either of those two items. I can provide anyone with anything, but getting it to work is up to the client.\" He smiled his mirthless smile. \"Ah, many the customer I've known, with eyes bigger than his stomach, if you follow me, sir.\"\n\n\"I want the Speaking Gun,\" I said. \"I can make it work.\"\n\n\"Of course you can, sir.\"\n\nHe turned and started unhurriedly down his endless hall of weapons, leaving us to follow after. I stuck close behind him. It would be only too easy to get lost in a place like this. Chandra stared about him, almost hypnotised by the endless shelves of endless weapons. I could hear them calling out to me. Singing swords of legend, rings of power, future guns with AI interfaces, pieces of armour still haunted by their previous owners. All of them asking, pleading, demanding to be taken up and used.\n\n\"You see,\" said Mr. Usher, \"I have it all. Everything from the first club, fashioned from a thigh-bone by some forgotten man-ape, right up to the Darkvoid Device, which wiped out a thousand star systems in a moment. I can provide you with anything your heart desires. All you have to do is ask.\"\n\n\"And pay the price,\" I said.\n\n\"Well, of course, Mr. Taylor. There is always a price to be paid.\"\n\nI was beginning to have second thoughts. I had no doubt that if anything could stop the Walking Man in his tracks, it would be the Speaking Gun, but . . . I still remembered how the Gun had made me feel, still remembered what using it even briefly had done to me. Just to touch it was to dirty your soul, to burden yourself with almost unbearable temptation. And even more than that, I remembered seeing the Speaking Gun grafted on to the maimed arm of a future incarnation of Suzie Shooter, by my future Enemies. Sent back in time to kill me, to prevent the awful future world they lived in. The same people I was trying to save, now. Sometimes I swear the Nightside runs on irony.\n\nI had thought that by destroying the Speaking Gun, I'd saved my Suzie from that horrid destiny. Would bringing it back into the Present make that particular Future possible again?\n\n\"What is the price?\" I said abruptly to Mr. Usher. \"What do you want for the Speaking Gun?\"\n\n\"Oh, no price for you, Mr. Taylor,\" he said, not even looking round. \"No price, as such, for a renowned and important gentleman such as yourself. No, just... a favour. Kill the Walking Man. He really is terribly bad for business, with his limited and inflexible morality. Even though both his wonderful guns came from here, if he only knew . . .\"\n\nI decided not to pursue that. I didn't think I really wanted to know. But still . . . kill the Walking Man? He had to be stopped, and stopped hard, but who was I to remove such a vital agent of the Good from this world? He did kill people who needed killing. Mostly. He was wrong about the new Authorities, but I still thought I could talk him out of that if I could just make him stop long enough to listen. And even the Walking Man would stop and pay attention with the Speaking Gun aimed right at him. Anyone would. But if he wouldn't, couldn't, listen . . . Then I would kill him if I had to. His view of the world, of the Nightside, of people . . . was too limited. I had to think of the greater good.\n\nAnd no, the irony of that wasn't lost on me.\n\nMr. Usher came to a sudden halt and stepped aside, indicating a particular spot on a particular shelf with a theatrical wave of the hand. I recognised the small black case immediately. I looked at it for a long moment as my breathing speeded up and small beads of sweat popped out on my brow. My hands had clenched into fists. I knew how the box would feel if I picked it up\u2014eerily light and strangely delicate, though nothing in this world could break or damage it. The case was about a foot long, maybe eight inches wide, its surface a strangely dull matte black, a darkness so complete that light seemed to fall into it.\n\nSeeing that I had made no move to touch it, Mr. Usher took the case off the shelf and offered it to me. Holding it didn't seem to affect him at all. I still didn't want to touch it. I leaned forward and pretended to examine the only marking on the lid of the case, a large letter C with a stylised crown inside it. The mark of the Collector, the only man ever to own the Speaking Gun and not use it. Because for him, ownership was everything.\n\n\"Open it,\" I said, and Mr. Usher smiled broadly.\n\nHe lifted the lid of the black case, and there it was, nestling in its bed of black velvet. The smell hit me first, of mad dogs in heat and the sweat of horses being dragged screaming to the abattoir. The stench of spilled blood and guts. The Speaking Gun looked just as I remembered. It was made of meat, of flesh and skin and bone, of dark-veined gristle and shards of cartilage, all held together with long strips of pale skin. Slabs of bone made up the handle, surrounded by freckled skin, that had a hot and sweaty look. The trigger was a canine tooth, and the red meat of the barrel glistened wetly. It was a thing, the ultimate killing tool, and it was alive.\n\nChandra Singh leaned in close beside me for a better look, and I could sense his revulsion.\n\n\"Is that really it?\" he said finally, his voice hushed and strangely respectful.\n\n\"Yes,\" I said. \"The gun created specifically to kill angels, from Above and Below.\"\n\n\"Who would want such a thing?\" said Chandra. \"Who ordered it made?\"\n\n\"I don't think anyone really knows,\" I said. I looked at Mr. Usher, but he had nothing to say. I looked back at the Gun, in its case. \"I've heard Merlin Satanspawn's name mentioned, but he gets the blame for most bad things, on general principles. Then there's the Engineer, or the Howling Thing . . . There is a name marked on the Gun somewhere\u2014of its original manufacturers, Abraxus Artificers.\"\n\n\"Ah yes,\" said Mr. Usher. \"The old firm. The sons of Cain, solving problems since the Beginning. They're responsible for many of the more impressive items on my shelves.\"\n\n\"You know them?\" I said.\n\n\"Not . . . as such, sir. I know my place.\"\n\nThe Speaking Gun stirred in its black velvet. I could feel its rage and hate. It remembered me, and how I fought to use it rather than have it use me. I hoped it didn't know that someday in its future, I would be the one to finally put an end to it.\n\n\"Close the lid,\" I said, and Mr. Usher did so with an elegant flourish. I made myself take hold of the case and slipped it quickly into a pocket inside my coat, next to my heart. I could still hear it breathing. I looked at Chandra.\n\n\"Time to go,\" I said.\n\n\"Quite definitely,\" he said, sounding distinctly relieved. \"This is no place for a holy man.\"\n\n\"You're not the first,\" said Mr. Usher equitably. \"And you won't be the last.\" He looked at me. \"See you again, sir?\"\n\n\"Maybe,\" I said. \"Suzie would love this place. Perhaps I'll bring her here for her Christmas treat.\"\n\nWe'd only just left the Gun Shop when my cell phone rang. It still plays the theme from the _Twilight Zone_. When I find a joke I like, I tend to stick with it. Walker's voice sounded urgently in my ear.\n\n\"The Walking Man is on his way to the Adventurers Club. He's coming for the new Authorities, and even my best people are barely slowing him down. Tell me you have something that will put him in his place.\"\n\n\"I have something,\" I said. \"But I don't think you're going to like it.\"\n\n\"How very typical of you, John,\" said Walker.\n\nHe opened up a doorway with his Portable Timeslip and brought Chandra and me right to the Adventurers Club.\n**NINE**\n\n_Last Man Standing_\n\nAt the Adventurers Club, they'd done everything but drain the moat and pull up the drawbridge. Chandra and I arrived in a lobby packed full of heroes, adventurers, border-line rogues, and even a few quite definite villains. Someone had put out the call, and everyone had come running. Either to defend the Club, or the new Authorities, or because they just couldn't resist testing themselves against the legendary Walking Man. It was the last stand of the Adventurers Club, and no-one wanted to miss it.\n\nI'd never seen the place so full. They'd already pretty much drained the bar dry, and the barman had been reduced to pulling dubiously dusty bottles off the back of shelves he'd forgotten were even there. There were figures out of Myth and Legend that I'd never thought to see in the flesh, and some faces I knew for a fact had even less business being in the Adventurers Club than I did. Augusta Moon and Janissary Jane were there, of course, the spinster-aunt monster hunter and the veteran demon killer, right at the front of the crowd and spoiling for a fight. I saw Mistress Mayhem and Jacqueline Hyde, Bishop Beastly and Sister Igor, Dead Boy and the Mad Monk. Colourful figures all, in every sense of the word. Common cause can bring about the strangest of allies, especially in the Nightside.\n\nAnd yet for all the size of the crowd, containing some of the most powerful people in the Nightside, it was still surprisingly quiet in the lobby. The atmosphere was tense but focussed, waiting for the true star to arrive. There was none of the usual boasting, or showing off of powers, no rousing speeches or pep talks. Everyone knew about the Walking Man\u2014who he was, and what he represented, and what he could do. Beyond the usual cold professional preparedness, I could tell they were all, quietly and very secretly, scared out of their minds. Just like me.\n\nBut still, credit where credit was due, here they all were . . . the good and the bad and the rogues, ready to stand shoulder to shoulder and lay it all on the line, to defend the new Authorities. Impressed as I was, I had to wonder why.\n\n\"Why are all these people prepared to risk their lives and reputations for the sake of the new Authorities?\" Chandra asked Walker, beating me to it. \"I have been a member in good standing of this Club for many years, and I don't think I've ever heard anyone here say one good word about the Nightside, or the Authorities. We only come here to challenge our courage and our skills against it.\"\n\n\"They believe in the new Authorities,\" Walker said calmly. \"Julien Advent has been doing the rounds, talking to people; and you know how persuasive he can be. Especially when you know he's right. He is the greatest adventurer of all time, after all, and people respect that. And it does help that people want to believe what he's saying. That the Nightside, and everyone in it, can be redeemed, with the new Authorities leading the way.\"\n\nI looked at him curiously. \"Do you believe that?\"\n\n\"I believe in duty and responsibility,\" said Walker. \"I leave hope and faith to people like Julien Advent.\"\n\n\"You didn't answer the question,\" I said.\n\n\"No,\" said Walker. \"I didn't.\"\n\nHe led us through the crush of the crowd, through the lobby and the bar, to the stairs at the back of the room, and people fell back and gave way for him, where they wouldn't have budged an inch for me, or even Chandra Singh. No-one messes with Walker. Familiar faces bowed briefly to him, nodded and smiled to Chandra, and gave me long, thoughtful looks.\n\n\"So, John, what did you find to set against the unstoppable Walking Man?\" said Walker, as we made our way up the stairs to the back room where the new Authorities were waiting. \"Something truly dangerous and appallingly destructive, I trust?\"\n\n\"Yes,\" I said. \"I think that's a fair description.\"\n\n\"Then why are you so sure I'm not going to approve of it?\"\n\n\"Because it's the Speaking Gun.\"\n\nWalker stopped dead on the stairs, then turned and looked back at me. I'd never seen his face so cold, or his gaze so utterly bleak.\n\n\"Oh John,\" he said. \"What have you done?\"\n\n\"What I had to,\" I said. \"Revived an old terror to stop a new one.\"\n\n\"I was under the impression you had destroyed the vile thing.\"\n\n\"I did,\" I said. \"But some things just won't stay gone. You should know that.\"\n\n\"I was there when a Shotgun Suzie appeared out of a possible future, with the Speaking Gun grated on to her mutilated arm,\" said Walker.\n\n\"I know,\" I said. \"I was there, too.\"\n\n\"Are you really prepared to put Suzie at such awful risk to preserve the new Authorities?\"\n\n\"Yes,\" I said. \"Because you're not the only one who understands about duty and responsibility.\"\n\n\"And Suzie?\" said Walker.\n\n\"She'd want me to take the risk,\" I said.\n\n\"Yes,\" said Walker. \"She would, wouldn't she?\"\n\nUpstairs, in the barely furnished back room, the new Authorities were preparing themselves for war. Julien Advent, the great Victorian Adventurer, sat at his ease in a chair tilted back against the far wall, polishing the slender steel blade that usually lay concealed in his sword-stick. His handsome, almost saturnine, features were completely without fear or concern. Julien had never cared whether he lived or died, as long as he was fighting on the side of the right. He had a certainty in his cause to match that of the Walking Man.\n\nJessica Sorrow, that gaunt and still scary presence who used to be the Unbeliever, was striding up and down in her flapping black leather jacket, scowling at anything and everything. She'd only recently found faith in the everyday world and the people around her, and she was clearly furious at the prospect of having it all taken away from her again. Everyone else was keeping a cautious eye on her, and giving her plenty of room, just in case things started disappearing around her.\n\nAnnie Abattoir, in a fabulous off-the-shoulder emerald green evening gown, was mixing something potent and noxious with an old-fashioned pestle and mortar, then using the resultant heaving mixture to daub disturbing symbols on to an Aboriginal pointing bone that looked big and mean enough to take out a blue whale. Her face was fixed and intent, but not altogether concerned. Annie had killed many men in her career, and to her the Walking Man was only another man.\n\nShifting plasma lights sparked and sputtered on the air around Count Video, as he hovered in mid air in the middle of the room, concentrating on his weird binary magics. I always knew he could be a Major Player, if he could just grow a pair. I suppose there's nothing like imminent death and the destruction of everything you believe in and care about to bring out the true nature of a man.\n\nKing of Skin was crouching in one corner of the room, surrounded by dark and nasty images that could only be glimpsed out of the corner of the eye. I still couldn't believe he was on the side of the Good, if only because the Good usually wouldn't have him on a bet. But still, here he was, preparing to stand and fight with the others, when I would have bet good money he'd have been legging it for the horizon by now.\n\nLarry Oblivion sat alone, not looking at anyone, frowning heavily, caught up in whatever dead men think about. Of us all, he had the least to lose.\n\nThe new Authorities, who had been and might yet be again my future Enemies. I could walk away and let them die. Except then, I would be the kind of man the Enemies always said I was. And I hate to be predictable.\n\nThey all looked up with some kind of hope as I walked in, ignoring Walker and Chandra. I smiled and nodded to all concerned, doing my best to look relaxed and confident. Julien Advent got up from his chair, slipped his blade back into the stick, and strode forward to shake my hand in his usual hale and hearty way.\n\n\"I knew we could rely on you, John. What have you found that will stop the Walking Man?\"\n\n\"He's found something,\" said Walker. \"But you're really not going to like it.\"\n\n\"Oh bloody hell,\" said Larry Oblivion. \"He hasn't got Merlin up and walking around again, has he?\"\n\n\"Worse than that,\" I said, savouring the moment despite myself. \"I bring the Speaking Gun, and all that goes with it.\"\n\nIt went very quiet in the room. They all knew of the Speaking Gun, what it was and what it could do. I watched them considering the possibilities of whether it might actually be the one thing that would slap down the Walking Man, against whether just using it would go against everything they were trying to achieve. And damn all their souls in the process.\n\n\"Maybe we should have asked Chandra Singh to find something,\" said Annie Abattoir.\n\n\"No,\" Chandra said simply. \"I have tested myself against this Walking Man and failed. John Taylor is your only hope.\"\n\n\"Then we are in deep trouble,\" said Count Video.\n\n\"You have got to be kidding!\" said Larry Oblivion, striding forward on his silent feet so he could glare right into my face with his dead blue eyes. \"We can't risk using the Speaking Gun! It's . . . evil! More dangerous than the Walking Man himself!\"\n\n\"Yes,\" said King of Skin, giggling suddenly. \"It is. And that's why it will work.\"\n\n\"Oh, it'll work all right!\" said Count Video, shifting uneasily from foot to foot. \"It'll kill him, then kill everyone else! That's what it does!\"\n\n\"I remember the Speaking Gun,\" said Jessica Sorrow, and everyone stopped to listen. She knew more about the unseen world than we ever would. \"I can hear it, drawing closer. It moans and sings and hates. It is a hunger that can never be satisfied, a rage that can never be eased. Because that is how it was made. It has murdered angels and delighted in the destruction of God's work.\"\n\n\"But can it stop the Walking Man?\" said Annie Abattoir, and we all waited to hear what Jessica would say.\n\n\"The Walking Man is both more and less than an angel,\" she said finally. \"He was designed to perform a function, just like the Speaking Gun. Who can say what will happen when the divine and the infernal come face-to-face?\"\n\n\"Well, that was about as helpful as we had any right to expect,\" said Count Video.\n\n\"No-one's ever killed a Walking Man,\" said King of Skin. \"But they can be broken. It seems to me that a gun constructed to kill God's messengers should be just what we need to do the job.\" He sniggered suddenly, his sleazy glamour beating on the air like musty wings. \"I can't wait to see . . .\"\n\n\"You disgust me,\" said Larry Oblivion.\n\nKing of Skin smiled. \"It's what I do best.\"\n\n\"Going head to head with the Walking Man is our last resort,\" Julien Advent said firmly. \"I don't want any killing unless it's absolutely necessary. There's still a chance we can reason with the man, make him understand that we're not what he thinks we are. Make him understand what it is we're trying to achieve.\"\n\n\"I think he already knows,\" I said. \"And I don't think he gives a damn.\"\n\n\"We can't allow ourselves to be destroyed,\" said Larry. \"We are the last hope of the Nightside.\"\n\n\"Whether we want to be or not,\" said Count Video.\n\n\"I knew your father,\" said Julien. \"This is what he wanted for you. He would be so proud of what you're doing.\"\n\n\"You always did know how to fight dirty, Julien,\" said Count Video. But he smiled a little as he said it.\n\n\"I just want to see a Walking Man go down,\" said Annie. \"To do what no-one else has ever done.\"\n\n\"It doesn't have to come to that,\" Julien insisted. \"I refuse to believe that God would allow His servant to wage war against the Good once its nature had been made clear to the Walking Man.\"\n\n\"I've met the man,\" I said. \"And I think the God he serves is strictly Old Testament. Eye for an eye, tooth for a tooth, and to hell with repentance. Mercy and compassion, and just possibly reason, too, are not in him any more. He gave all that up long ago, for a chance to punish the guilty.\"\n\n\"We have to make a stand,\" said Julien. \"We're all of us powerful people, in our own way. Perhaps together we can do what no-one else has . . .\"\n\n\"Right,\" said Larry. \"And hey, I'm dead. What else can he do to me, after all?\"\n\n\"You really don't want to know,\" said Annie.\n\n\"We have to make a stand,\" Julien said doggedly. \"To prove we are worthy to be the new Authorities.\"\n\n\"And all those adventurers and rogues gathered down below?\" I said. \"Are you ready to let them fight and die, sacrificing themselves to defend you?\"\n\n\"No-one asked them to do this,\" said Julien. \"They are volunteers, every last one of them. It's about faith, John.\"\n\n\"Right,\" said Larry. \"They wanted to do this. You couldn't drive them out of here with sticks.\"\n\n\"Of course,\" said Chandra. \"We are adventurers. Heroes and warriors and defenders of the Light. It is what we are here for.\"\n\n\"At least half the people I saw down there wouldn't fit that description if you used a tire iron to squeeze them in,\" I said. \"In fact, some of them are exactly the kind of people you and your kind formed this Club to fight.\"\n\nChandra smiled. \"What is it you people say\u2014needs must when the Devil drives?\"\n\n\"You've grown cynical,\" I said. \"It doesn't suit you.\"\n\n\"That's what comes of hanging around with you,\" said Chandra, and we both smiled.\n\n\"I still have hope that seeing so many men and women of good faith come together will shock the Walking Man back to sanity,\" said Julien.\n\n\"Yeah, well,\" I said. \"Good luck with that.\"\n\n\"He's here,\" said Jessica Sorrow, and we all stopped and looked at her. Her gaunt face was blank, her eyes empty and far away. \"He is at the door. And the rage that burns within him is cold... so very cold.\"\n\n\"Stay here!\" I snapped at Julien. \"Let us test the waters first, see if he can be talked down. Or stopped. Having you people there would only concentrate him on his mission.\"\n\n\"Give it your best shot, John,\" said Julien Advent. \"But preferably not with the Speaking Gun.\"\n\n\"We're relying on John Taylor to reason with the Walking Man,\" said Larry Oblivion. \"We're doomed.\"\n\nWalker and Chandra and I scrambled back down the stairs at speed and charged through the bar into the lobby. All the heroes and the rogues and the morally undecided were standing together, tense and silent, their eyes fixed on the closed front door of the Club. Walker gestured for Chandra and me to stay with him at the back of the crowd and observe how things went before we committed ourselves, and I was happy to go along with that. I really didn't want to do what I was there to do. The tension in the air was almost unbearable, like waiting for the bullet to come your way, knowing your name is on it. The front door shook suddenly in its frame, as some massive force slammed against it. Like God himself knocking on the door and demanding entry. There was another great impact, and the huge door flew inwards, blasted right off its hinges. It slammed flat against the floor, and in came Adrien Saint, the Walking Man.\n\nJust a man in a long coat, with worn-down heels on his shoes from walking up and down in the world, doing good the hard way. He hadn't even drawn his guns. But still he was the most dangerous, the most frightening man in the Club, and we all knew it. He walked in Heaven's way, and Death walked with him. He was as inevitable as an earthquake or a flood, as implacable as cancer or heart failure. He was smiling his insolent smile, his gaze openly mocking as he contemplated the rows of adventurers gathered against him. He had come here to do a thing, and he was going to do it, no matter what we might set against him.\n\nHe walked forward, and all the Club's built-in security defences went to work. Force shields sprang into being before him, fierce energy screens generated by salvaged alien machines down in the Club basement. The Walking Man strode through the force shields, and they popped like soap bubbles. Protective magics and potent sorceries snapped and crackled on the air, bending the very laws of reality to get at him, and none of them could touch him. Even the mechanical booby-traps failed to slow him down. Trap-doors opened beneath him, and he just kept walking. Spikes protruded from the wall, only to break in half against his long duster as though it was armour. Man-traps snapped together around his ankles, and he kicked them away.\n\nThe Walking Man headed straight for the packed crowd of waiting adventurers, who tensed, ready for action; and then he stopped before them and smiled easily. He looked back and forth, nodding briefly to familiar faces, and all the time his smile said _I can do any damned thing I want, and none of you can stop me._\n\n\"Stand aside,\" he said finally, and his voice was quite cheerful and relaxed, as though he couldn't imagine not being obeyed. Augusta Moon sniffed loudly and stepped out of the crowd to ostentatiously block his way. She scowled fiercely at him, her monocle screwed firmly into one eye, and brandished her staff of blessed wood tipped with silver.\n\n\"And if we don't? Eh? What will you do then?\"\n\n\"Then, I will kill as many of you as I have to, to get past you,\" said the Walking Man, his voice as calm as though he was discussing the weather. \"I walk in straight lines, to get to where I have to be, to do what I have to do. To carry out God's will in this sinful world.\"\n\n\"This isn't His will,\" I said, from the safety of the back of the crowd. \"This is your will.\"\n\n\"Ah, hello, John,\" he said happily, and actually waved at me. \"I was wondering what had happened to you. But you're quite wrong, you know. When I take my aspect upon me, His will and my will are one and the same. To protect the innocent, by punishing the guilty.\"\n\n\"You'd really kill us?\" said Janissary Jane, her voice cold and measured. \"All these good people?\"\n\n\"If they're standing against me,\" said the Walking Man, his voice the very epitome of reason and patience, \"then they're standing against God's will. Which means, by definition, they're no longer good people. It's really up to all of you what happens next. I'm not here for you. I want the Authorities.\"\n\n\"Well you can't have them!\" snapped Augusta. \"Never heard such arrogance in all my life! Now get out of here or I'll stick this staff in one end and out the other!\"\n\nThe Walking Man sighed. \"There's always one . . .\"\n\nAugusta Moon roared with rage and lashed out at him with her staff, her tweeds flying bravely as she launched herself at him. But the staff that had struck down so many monsters in its time slammed to a halt a few inches short of the Walking Man's head, then snapped in two as it finally met an immovable force. Augusta cried out in shock and pain as the unexpected impact tore her half of the staff right out of her hands, and she watched in horror as the two pieces fell to the floor. The Walking Man looked at her sadly, then struck her down with a single blow. And since Augusta was really just a middle-aged woman, she hit the floor hard and lay there groaning.\n\nJanissary Jane drew two automatic pistols out of nowhere and opened fire on the Walking Man. Veteran of a hundred demon wars, her guns were always loaded with blessed and cursed ammunition, but still none of them could find their target. Janissary Jane might be prepared, but the Walking Man was protected. She fired and fired, until both guns were empty, and the Walking Man stood there and let her do it. In the end, Jane looked down at her empty guns, put them away, and knelt to comfort Augusta.\n\nNext up was Zhang the Mystic, Asian master of the unknown arts. A hero and a sorcerer since the nineteen thirties, Zhang wore a sweeping gown of gold, his long fingernails were pure silver, and his eyes burned with eldritch fires. He'd duelled demons from the Inferno, and faced down Elder Gods in his day, and founded most of the combat sorcery schools in the Nightside, and no-one knew more magic than he did. But all his spells and sorceries detonated harmlessly, savage destructive energies reduced to nothing more than fireworks. The Walking Man waited patiently until Zhang had exhausted himself, and then did Zhang the final insult of ignoring him.\n\nWalker made his way forward through the crowd, and everyone fell back to let him pass, and see what he could do. Chandra and I stuck close behind him. The Walking Man's smile widened as he recognised Walker, becoming insolent and taunting almost beyond bearing. Walker stopped right before him and studied him sadly, like a teacher disappointed by a promising pupil.\n\n\"Hello, Henry,\" said the Walking Man. \"It's been a while, hasn't it?\"\n\n\"Hold everything,\" I said. \"You two know each other?\"\n\n\"Oh, he knows everyone, don't you, Henry?\" said the Walking Man. \"Especially when they can be useful to him, to do those dirty and dangerous jobs that no-one else wants to know about. Henry doesn't just deal with problems in the Nightside, you know. Especially after he lost his famous Voice and had to go out into the world to find a replacement.\"\n\n\"That's all right, Adrien,\" said Walker, entirely unmoved. \"I got it back. _Now stand down, Adrien, and surrender yourself to me._ \"\n\nAnd there it was, Walker's Voice that could not be denied, hammering on the air like the Voice of God. This close, even I could feel the power of it, like the thunderstorm that breaks right over your head. I looked at the Walking Man, to see how he was taking it.\n\nHe laughed at Walker. \"I know that Voice,\" he said cheerfully. \"I hear it every day. Only rather more clearly than that. I have to say, Henry, I'm very disappointed in you. That you of all people should be prepared to defend these upstart new Authorities. A mixture of old heroes and worse villains, and even two authentic monsters? What were you thinking?\"\n\n\"I know my duty,\" said Walker.\n\n\"So do I,\" said the Walking Man. And he struck Walker down. The punch came out of nowhere, and Walker crashed to the floor and lay still. I was actually shocked. No-one touches Walker. And on the few occasions they had, he'd always bounced right back. But instead he lay there on the floor, barely moving, blood flowing from his mouth and nose. The Walking Man regarded the fallen man thoughtfully, then drew one of his guns. I reached inside my coat.\n\n\"Leave that man alone!\"\n\nThe voice crackled on the air with natural authority, and we all, including the Walking Man, turned to look as Julien Advent led his new Authorities through the crowd. Julien looked very fine and every inch the hero, in his traditional Victorian clothes, including a sweeping black opera-cloak. The others gathered defensively around him, each with their own deadly glamour and gravitas. Even in such august company, surrounded by heroes and adventurers on all sides, there was still something noble and impressive about the new Authorities. Good and bad, determined to be better, not just for their own sakes but for all the Nightside. I moved in on one side of Julien, and Chandra took the other.\n\n\"We are the new Authorities,\" Julien said flatly to the Walking Man. \"We are the hope of the Nightside. For the first time in its long existence, the Nightside is being run by its own kind. The good, the bad and the unnatural, working together for the greater good. For a better future. We will remake the Nightside . . .\"\n\n\"Don't be na\u00efve,\" said the Walking Man, cutting right across him. \"This place corrupts everyone. Look at you, the great Victorian Adventurer, reduced to running a cheap news rag. Look at who you associate with\u2014the infamous John Taylor, who could have been so much more but settled for being just another sleazy enquiry agent. And Chandra Singh, standing up for the kind of monster he used to hunt. I had such hopes for you two . . . I thought, if I showed you . . . but you wouldn't listen. The Nightside grinds everyone down, dragging them down to its own level, just because it can. There is no hope here, no future. Only filth and evil and corruption of the body and the soul. I will kill you, all of you presumptive Authorities, and that will send a message that cannot be ignored. Leave the Nightside, or die.\"\n\n\"We can redeem the Nightside!\" said Julien Advent.\n\n\"I don't care,\" said the Walking Man.\n\nAnd then everything stopped, as I drew the flat black case from inside my coat and took out the Speaking Gun. People cried out all around me, shrinking back from the sudden dark presence in the room. It felt like standing over the corpse of your best friend or looking down at the hilt of the knife protruding from your guts. The Speaking Gun was death and horror and the end of all things, and just to be near it was to feel your heart stutter and taste bad blood in your mouth.\n\nJulien Advent turned his head away, unable to look at it. The Walking Man curled his lip in disgust.\n\nThe Speaking Gun was right there in my head with me. A vicious, spiteful presence, almost overpowering in its ancient and awful power. It crashed against my mental shields, trying to force its way in and take control. Wanting, needing, demanding to be used, because for all its power, it couldn't fire itself. It lived to kill, but it needed me for that, and so its voice howled in my head, telling me to pull the trigger and kill someone. Anyone. It didn't care who. It never had. It just ached to say the words that would uncreate. The red raw meat of the Gun was heavy in my hand, a weight on my soul, dragging me down. But slowly, steadily, I set my will against it. And won. Because bad as it was, I had faced far worse in my time.\n\nSomehow I kept the struggle out of my face, and when I finally pointed the Speaking Gun at the Walking Man, my hand was entirely steady. He looked at the Gun, then at me, and for the first time I heard uncertainty in his voice.\n\n\"Well,\" he said, trying for a light touch and not quite bringing it off. \"Look at that. The Speaking Gun; almost as infamous as you, John. I should have known it would show up here. It belongs in a place like this. I thought I destroyed it in Istanbul, five years ago, when the Silent Brotherhood were fighting their endless feud against the Drood Family . . . but it always comes back. Would you really use such a vile thing, John? Would you use such an evil thing, to stop a good man in his work? To use that Gun, in that way, would damn your soul forever.\"\n\n\"Yes,\" I said. \"It would.\"\n\nAnd I slowly lowered the Speaking Gun, even as it hissed and squirmed in my hand. Because that was the real price the Gun Shop owner had wanted me to pay\u2014for me to damn my own soul. And I wouldn't do that, not even to save my friends. If only because I knew they would never have wanted me to do that.\n\n\"What are you doing?\" Chandra Singh asked. \"After all we went through to get that thing, now you're not going to use it?\"\n\n\"No,\" I said.\n\n\"Then give it to me. I am not afraid to use it!\"\n\n\"Chandra . . .\"\n\n\"I have to do something! _He broke my sword!_ \"\n\nAnd he grabbed the Speaking Gun and wrestled it from my hand. He aimed it at the Walking Man, but already his hand was shaking, and his eyes were very wide as he heard the Gun's awful voice in his head, the terrible temptation\u2014to use the Gun and keep on using it, for the sheer joy of slaughter. Julien reached out to Chandra, seeing the horror in his face, but I stopped him with a sharp gesture. This was Chandra's fight, he had to do it for himself. For the sake of his own soul. Or he'd always wonder what he would have done.\n\nI had faith in him.\n\nAnd slowly, inch by inch, he lowered the Speaking Gun, fighting it all the way, refusing to be tempted or mastered. Because he was, at heart, a good man.\n\nThe Walking Man waited until the Speaking Gun was pointing at the floor, then he reached out and gently eased the Gun out of Chandra's hand. The Indian monster hunter swayed, and almost fell, but Julien and I were there to support him. He was clearly shaken, and there was cold sweat on his grey face. The Walking Man hefted the Speaking Gun in his hand, turning it back and forth as though he'd never seen anything so ugly before. If he heard anything in his head, he hid it well. And having examined the thing thoroughly, and found not a trace of good in it, he crushed the Speaking Gun in his hand.\n\nThe bone and cartilage cracked and shattered, the red meat pulped, and the Speaking Gun cried out in agony in all our heads as it died. The Walking Man slowly opened his hand, and the already decaying pieces of the Speaking Gun fell from his hand to spatter on the floor. The Walking Man lifted his foot to crush what remained; but it had already disappeared, every last bit of it. Gone, back to the Gun Shop perhaps, or to wherever else in the world it could do the most harm.\n\nI didn't need to check inside my coat to know the black case was gone, too.\n\n\"Well,\" said the Walking Man. \"That's that. Now, back to work.\"\n\n\"No,\" I said, and stepped forward to put myself directly before him, placing my body between him and the new Authorities. I was thinking hard on what the rogue vicar had said\u2014 _To stop a broken man, heal the man._ Julien had been right, too. There had to be a way to reach Adrien Saint. Even after everything he'd done, he was still a man. I had to try reason because I'd run right out of weapons.\n\n\"So much justice,\" I said, holding his gaze with mine. \"So many dead, for the sake of those taken from you. So much blood, and suffering, in payment for the loss of your family. You killed the joy-riders responsible. Did that make you feel any better?\"\n\n\"Yes,\" he said. \"Oh yes.\"\n\n\"Really?\" I said. \"Then why are you still walking back and forth in the world, punishing the guilty? How many deaths will it take, before you can say _enough_? How much more of this . . . before you become as bad as they are?\"\n\n\"I'm not like them. I don't kill for the pleasure of it, or the profit in it. I only kill those who need killing. When law fails, and justice has become a joke, there is always the Walking Man.\"\n\n\"You see any justice in this?\" I said. \"This isn't about justice, and you know it. You kill because that's all you can do. Because there's nothing else left in you. I've done my share of killing, in my time\u2014to protect others, and yes, sometimes, to avenge injustice. But every killing, every death, eats away at you a little. Until there's nothing left but the gun and how good it feels when you use it. How long, Adrien, before you start to seek out your victims, like any other addict eager for his fix?\n\n\"Look at the people you're planning to kill here! Julien Advent, the greatest adventurer of his time, and this. Jessica Sorrow, who fought her way back from Unbelief to sanity. Larry Oblivion, who wouldn't let Death itself keep him from fighting the good fight. The others . . . are trying. Determined to put aside their past and make something better of themselves. And not just for themselves, but for everyone in the Nightside. Not by killing off everything that's bad, but by helping bring about real change, one step at a time.\"\n\nThe Walking Man nodded slowly. \"I'm still going to kill them. Because it's all I can do.\"\n\nI moved in even closer, and suddenly both his long-barrelled pistols were in his hands. I was so close now they pressed against my chest. I could feel both barrels, quite distinctly, through the cloth of my coat. I stood very still, my hands open and empty at my sides.\n\n\"I'm not going to fight you, Adrien. But I will stand here, weaponless and defenceless, blocking your way. If you strike me down, I'll just get up again. As many times as it takes. You're going to have to kill me, to get to my friends. To the people who matter more to the Nightside than I ever will.\"\n\n\"You're ready to die for them?\" said the Walking Man. He sounded honestly curious.\n\n\"No-one's ever really ready to die,\" I said steadily. My mouth was dry, and my heart was hammering in my chest. \"But I'm still going to do this. Because it's necessary. Because it matters. Are you ready to kill an unarmed man in cold blood, just because he's in your way? A man who's only trying to do the right thing?\"\n\n\"Sure,\" said the Walking Man.\n\nHe raised one gun, and placed the barrel square against my forehead.\n\n\"One last chance, John.\"\n\n\"No,\" I said.\n\nHe pulled the trigger.\n\nThe sound of the hammer falling was the loudest thing I've ever heard, but the gun didn't fire. There were bullets in the chambers, I could see them, but the gun didn't fire. The Walking Man frowned and pulled the trigger again, and again, but still the pistol wouldn't fire. He tried the one pressed against my chest, and still nothing. I took a deep breath, stepped back a pace, and slapped both pistols out of the Walking Man's hands and punched him right in the mouth. He cried out and stumbled backwards, and sat down suddenly. He put his hand to his smashed mouth, and looked in shock at the blood on his fingers.\n\n\"You're only untouchable as long as you walk in Heaven's path, Adrien,\" I said, a bit breathlessly. \"And you left that behind when you were ready to murder an innocent man.\"\n\n\"Innocent?\" he said. \"You?\"\n\n\"For once, yes,\" I said. \"Give it up, Adrien. It's over.\"\n\nI offered him my hand, and after a moment he reached up to take it. I pulled him back up on to his feet, and steadied him as he got his balance. It had been a long time since he'd felt pain, and shock. He shook his head slowly.\n\n\"I've been doing this for so long,\" he said. \"I just got tired. It was easier to act, than to think. Maybe . . . the world needs a new Walking Man. If I could be so wrong about this, I'm no longer fit for the job.\"\n\n\"Hey,\" I said. \"No-one ever said you had to do this forever.\"\n\nHe nodded again, his eyes lost and far-away, and he turned and walked out of the Adventurers Club. No-one felt like going after him. Chandra Singh moved in beside me.\n\n\"That . . . was something to see, John Taylor. Did you know he wouldn't be able to kill you?\"\n\n\"Of course,\" I lied.\n**EPILOGUE**\n\n_Sometime later, upstairs at the Adventurers Club:_\n\nThe Club's kitchens had put together a superb buffet at short notice, and the new Authorities were all making healthy inroads into the piles of food and drink, in celebration of the fact that they weren't going to die, after all. Julien Advent was already on his second bottle of pink champagne and was rattling the rafters with an enthusiastic rendition of an old Victorian drinking song, \"Dr. Jekyll's Locum.\" An altogether filthy song, but then the Victorians did like their filth, on the quiet. Jessica Sorrow had discovered a wholly splendid dessert, made up of white chocolate mousse layered over milk chocolate mousse layered over a dark chocolate truffle base. With cream. Every now and again, when she thought no-one was looking, Jessica would allow herself a small mouthful.\n\nCount Video and Annie Abattoir had made complete fools of themselves over the cooked meats, and were now performing a tango up and down the middle of the room, complete with twirls and dips. King of Skin had put together a surprisingly healthy salad for himself, while drinking messily from a tall glass of snake-bite. (A terrible drink made up of vodka, brandy, cider, and cranberries. And other things. Drink enough of it and you can puke fruit and piss petrol.) Larry Oblivion, being dead, didn't need to eat or drink, but the Club's chef had prepared a special delicacy for him that he swore always went down well with the Club's other mortally challenged members. I don't know what it was, but it smelled _awful_ , and it moved about on the plate. Larry seemed to enjoy it.\n\nWalker and I were there, too, probably because neither of us have ever been able to refuse an offer of free food and drink. Chandra Singh declined. He said he had a duty to return home to India, to see what could be done for his broken sword, but I think he'd simply had enough of the Nightside.\n\nI made a point of sampling a little bit of everything, just in the name of research and broadening my horizons. The Club's chef had a spectacular reputation. Walker, on the other hand, didn't touch a thing. Which was unlike him. I studied him thoughtfully as he stood alone on the other side of the room, peering out the only window, lost in his own thoughts. He was holding a folded handkerchief to his nose, which still hadn't stopped bleeding. I found that worrying. The Walking Man hadn't hit him that hard.\n\nJulien Advent wandered over to join me, biting great chunks out of a huge steak and stilton pasty with his perfect Victorian teeth. He clapped me on the shoulder with more than usual good fellowship.\n\n\"You did well, John. I'm really quite proud of you. Imagine my surprise.\"\n\n\"You're welcome,\" I said dryly. \"You will remember to put your name and address on the back of the cheque, won't you?\"\n\n\"You're not fooling me, John. This wasn't only for the money.\"\n\nI decided to change the subject and nodded at Walker. \"What's up there? Walker's always had the constitution of an ox, and the stubbornness to go with it.\"\n\nA lot of the good humour went out of Julian. I could actually see it slipping away. He looked at Walker, then at me.\n\n\"He hasn't told you, has he?\"\n\n\"What?\" I said. \"Told me what?\"\n\n\"It isn't public knowledge yet,\" said Julien. \"And won't be, for some time. Not until things are . . . settled.\"\n\n\"Tell me,\" I said. \"You know I need to know things like this.\"\n\n\"I'm sure he would have got round to telling you. When he thought the time was right.\"\n\n\"Julien!\"\n\n\"He's dying,\" said Julien.\n\nIt was like being hit in the guts. I actually felt a chill in my heart. I looked across at Walker, still dabbing carefully at his blood-caked nostrils with his blood-stained handkerchief. He looked healthy enough. He couldn't be dying. Not Walker. But it never once occurred to me to doubt Julien's word. He was never wrong about things like that.\n\nI couldn't imagine the Nightside without Walker. Couldn't imagine my life without Walker. He'd always been there, for as long as I could remember. Usually in the background, pulling strings and moving people around on his own private chessboard. Sometimes my enemy and sometimes my friend...When I was young, and my father was too busy drinking himself to death to have any time for me, it was Uncle Henry and Uncle Mark who were there to take care of things. Walker and the Collector. Perhaps the greatest authority figure and the greatest rogue the Nightside ever produced.\n\nWalker. Who ran the Nightside, inasmuch as anyone did, or could. I'd worked for him, and against him, defied and defended him, according to which case I was working on. He'd threatened my life and saved it, for his own reasons. It seemed to me then that much of the time, I defined my life by how much it would affect his.\n\nWhat would I do, when he was gone?\n\n\"How can he be dying?\" I said. \"He's . . . protected. Everyone knows that. Did somebody finally get to him?\"\n\n\"No,\" said Julien. \"There's no villain to pursue here, no crime to avenge. It isn't a voodoo curse, or an alien weapon, or some old case come back to haunt him. Just a rare and very severe blood disorder. Runs in the family, apparently. He lost his grandfather, his father, and an uncle to it, at much the same age he is now.\"\n\n\"But...this is the Nightside!\" I said. \"There must be something someone can do.\"\n\n\"He's tried most of them,\" said Julien. \"But some things . . . must run their course. I suppose there is still hope. Miracles do happen in the Nightside. But you shouldn't put too much hope in that, John. He doesn't. We all die from something.\"\n\n\"But . . . if he isn't going to represent the new Authorities, who is? Who else is there, who can hold things together the way he has?\"\n\n\"Ah,\" said Julien. \"That's the question, isn't it?\"\n\nHe clapped me on the shoulder again and moved away to talk with Jessica. Who was actually almost half-way through her dessert. People can change. I looked over at Walker again. Much had suddenly become clear. I knew now why Walker had found it necessary to visit my house for the first time and call me son. When a man is facing his end, the first thing he thinks of is family, and who will carry on the family business. Walker turned suddenly, and caught me staring at him. He regarded me thoughtfully, dabbed at his nose one last time, folded the blood-stained handkerchief into a neat square, and tucked it back into his top pocket, then nodded for me to come over and join him.\n\nI did so, carefully not allowing myself to be hurried, and stood beside him at the window. He stuck out his hand to me. I went to shake it, and he shook his head.\n\n\"The rings, John,\" he said, firmly.\n\n\"Rings?\" I said, innocently. \"What rings?\"\n\n\"The alien power rings you took off Bulldog Hammond earlier tonight, here at the Club. You know I can't allow you to keep them.\"\n\nI dug into my coat pockets and handed them over. He counted the rings carefully, then made them vanish somewhere about his person. I wasn't too upset. It wasn't like I had a clue how to work the damned things.\n\n\"I was rather hoping you'd forgotten about them,\" I said.\n\n\"I never forget anything that matters,\" said Walker. \"Julien . . . told you, didn't he?\"\n\n\"Yes.\"\n\n\"I swear, that man never could keep a secret.\"\n\n\"I don't think he believes in them,\" I said. \"That's why he runs a newspaper, so he can tell people things he thinks they ought to know. When were you going to tell me?\"\n\n\"Eventually,\" he said. \"I was working up to it. I didn't want to muddy the waters, not when there were still so many things we needed to work out between us.\"\n\n\"This is why you're not a part of the new Authorities,\" I said, the penny suddenly dropping.\n\n\"They don't need me,\" said Walker. \"In fact, as a new force in the Nightside, they're better off operating without an outsider like me. They need to start with a completely clean slate, not having to be committed or supportive of any decision or action I might have taken in the past. They need to be their own people now. Of course, I still have a lot to do, while I'm still able to do it.\"\n\n\"And when you're not?\" I said.\n\nHe looked at me steadily, then smiled unexpectedly. \"I thought you might like to take over, John.\"\n\n\"Me?\" I was honestly shocked. \"You know how much I've always hated authority figures!\"\n\n\"The best man for my job is the man who doesn't want it,\" Walker said easily. \"The man least likely to be corrupted by power is the man who never wanted it in the first place. And besides, doesn't every father want his son to follow in his footsteps?\"\n\n\"Don't start that again,\" I said. \"Look, there has to be someone in the Nightside better qualified than me . . .\"\n\n\"Almost certainly,\" said Walker. \"But who else do I know as well as I know you, John? Who else could I trust as much as I have learned to trust you?\"\n\n\"Give me a minute, and I'll make you a list,\" I said. \"Walker . . . Henry, there must be somebody who can help you.\"\n\n\"No,\" said Walker. \"There isn't. I've looked. In all the places you can think of, and a few that would never even occur to you.\"\n\n\"What about the Street of the Gods? There are Beings there who raise the dead and heal the sick every day of the week, and run special matinees for the tourists!\"\n\n\"Not in any useful way,\" said Walker. \"There are . . . possibilities, I admit, but they all involve paying a price I find unacceptable.\" He looked at me thoughtfully. \"You did well today, John. The Walking Man really might have killed you.\"\n\n\"Yes,\" I said. \"He might have.\"\n\n\"I wonder,\" said Walker. \"Would he really have been able to kill the new Authorities if he had been able to get to them? Or would his God's power have failed him at the last moment, as it did with you?\"\n\n\"We'll never know now,\" I said. \"And I have to wonder just who was being tested here today?\"\n\n\"All of us, probably,\" said Walker. He paused for a moment, looking around the room at nothing in particular. \"I enjoyed meeting your father again, during the Lilith War, even if only for a short while. Helped me to remember who he and I used to be, all the things we meant to do, before life got in the way . . . I don't think he would have approved of the man I've become. But I know he was proud of you.\"\n\nHe turned abruptly and walked away, heading for the buffet. I didn't go after him. I had a lot to think about. The trouble with Walker . . . was that anything could be one of his schemes. He wasn't above using even a truth like this to manipulate me for his own ends. Julien came over to join me.\n\n\"I'm pretty sure I know what that was about,\" he said.\n\n\"Pretty sure you don't,\" I said.\n\n\"He wants you to take over his role in the Nightside. Not a bad idea, actually. I may not always have approved of the way you do things, but I've never doubted your heart is in the right place. But consider this, instead. What if I were to offer you a place in the new Authorities?\"\n\n\"People are lining up today to offer me things I don't want,\" I said. \"Thank you, Julien, but no. My job is to look out for the people the Authorities can't or won't help. To be there for people the system has failed. But I will...hang around. Work with you, when I can. Be your conscience, when necessary.\"\n\nJulien sighed. \"You always have to do it your own way, don't you?\"\n\n\"Of course.\"\n\n\"I'll talk to the others.\"\n\n\"You do that,\" I said. \"Preferably when I'm a safe distance away.\"\n\nWe shook hands, very solemnly, and he walked off again.\n\nThe door slammed open, and Suzie Shooter strode into the room. Everybody stopped what they were doing to look, holding themselves very still. Suzie glared at them all impartially, then dismissed them all with a sniff, to join me. Everyone else went back to their food and drink with a certain amount of relief, like a group of animals who'd just been joined at the watering hole by a well-known predator. Suzie nodded calmly to me, and her bandoliers of bullets clinked softly.\n\nI've always liked the soft, creaking sounds her leathers make.\n\n\"You've missed all the excitement, Suzie,\" I said. \"Not like you.\"\n\n\"I've been busy,\" she said, in her usual cold, measured tones. \"Looking after the abused children we rescued from Precious Memories. Making sure they got all the help they needed, arranging for them to get safely home again. Or seeing they had somewhere safe to go, if that wasn't going to be possible. And then . . . I stayed on anyway. Just being with the children, comforting them. They wouldn't let anyone else touch them, at first. They'd learned not to trust anyone. But... they could accept it, from me. I suppose we can always recognise our own kind.\" She smiled, briefly. \"I held them, and they held me. And I wonder... who was comforting who?\"\n\n\"Suzie . . .\"\n\n\"Hush,\" she said. \"Hush, John. My love.\"\n\nShe put her arms around me and hugged me close. It was a careful, gentle hug, but unmistakably the real thing. For the first time since I'd known her, Suzie didn't have to force herself to touch me. I held her back, carefully, gently, and her breathing in my ear was slow and easy and content.\n\nMiracles do happen, in the Nightside.\n_Novels of the Nightside_\n\nSOMETHING FROM THE NIGHTSIDE   \nAGENTS OF LIGHT AND DARKNESS   \nNIGHTINGALE'S LAMENT   \nHEX AND THE CITY   \nPATHS NOT TAKEN\n\nSHARPER THAN A SERPENT'S TOOTH   \nHELL TO PAY   \nTHE UNNATURAL INQUIRER   \nJUST ANOTHER JUDGEMENT DAY\n\n_Secret History Novels_\n\nTHE MAN WITH THE GOLDEN TORC   \nDAEMONS ARE FOREVER\n\n_Deathstalker Novels_\n\nDEATHSTALKER   \nDEATHSTALKER REBELLION   \nDEATHSTALKER WAR   \nDEATHSTALKER HONOR\n\nDEATHSTALKER DESTINY   \nDEATHSTALKER LEGACY   \nDEATHSTALKER RETURN   \nDEATHSTALKER CODA\n\n_Hawk and Fisher Novels_\n\nSWORDS OF HAVEN   \nGUARDS OF HAVEN\n\n_Also by Simon R. Green_\n\nBLUE MOON RISING   \nBEYOND THE BLUE MOON   \nDRINKING MIDNIGHT WINE\n\n_Omnibus_\n\nA WALK ON THE NIGHTSIDE\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
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+{"text":" \nTable of Contents\n\nTitle Page\n\nCopyright Page\n\nDedication\n\nPart One\n\nChapter 1\n\nChapter 2\n\nChapter 3\n\nChapter 4\n\nChapter 5\n\nChapter 6\n\nChapter 7\n\nChapter 8\n\nChapter 9\n\nChapter 10\n\nChapter 11\n\nChapter 12\n\nChapter 13\n\nChapter 14\n\nChapter 15\n\nChapter 16\n\nChapter 17\n\nChapter 18\n\nPart Two\n\nChapter 19\n\nChapter 20\n\nChapter 21\n\nChapter 22\n\nChapter 23\n\nChapter 24\n\nChapter 25\n\nChapter 26\n\nChapter 27\n\nChapter 28\n\nChapter 29\n\nChapter 30\n\nChapter 31\n\nChapter 32\n\nChapter 33\n\nChapter 34\n\nChapter 35\n\nChapter 36\n\nChapter 37\n\nChapter 38\n\nChapter 39 - CityTalk\n\nChapter 40\n\nAcknowledgements\n\nAbout the Author\n**Also by John Lescroart**\n\n_Betrayal_   \n_The Suspect_   \n_The Hunt Club_   \n_The Motive_   \n_The Second Chair_   \n_The First Law_   \n_The Oath_   \n_The Hearing_   \n_Nothing but the Truth_   \n_The Mercy Rule_   \n_Guilt_   \n_A Certain Justice_   \n_The 13th Juror_   \n_Hard Evidence_   \n_The Vig_   \n_Dead Irish_   \n_Rasputin's Revenge_   \n_Son of Holmes_   \n_Sunburn_\n\nDUTTON   \nPublished by Penguin Group (U.S.A) Inc.   \n375 Hudson Street, New York, New York 10014, U.S.A.   \nPenguin Group (Canada), 90 Eglinton Avenue East, Suite 700, Toronto, Ontario M4P 2Y3, Canada   \n(a division of Pearson Penguin Canada Inc.); Penguin Books Ltd, 80 Strand, London WC2R 0RL, England;   \nPenguin Ireland, 25 St Stephen's Green, Dublin 2, Ireland (a division of Penguin Books Ltd); Penguin Group   \n(Australia), 250 Camberwell Road, Camberwell, Victoria 3124, Australia (a division of Pearson Australia   \nGroup Pty Ltd); Penguin Books India Pvt Ltd, 11 Community Centre, Panchsheel Park, New Delhi - 110 017,   \nIndia; Penguin Group (NZ), 67 Apollo Drive, Rosedale, North Shore 0632, New Zealand (a division of   \nPearson New Zealand Ltd); Penguin Books (South Africa) (Pty) Ltd, 24 Sturdee Avenue, Rosebank,   \nJohannesburg 2196, South Africa\n\nPenguin Books Ltd, Registered Offices: 80 Strand, London WC2R 0RL, England\n\nPublished by Dutton, a member of Penguin Group (U.S.A) Inc.\n\nFirst printing, July 2009\n\nCopyright \u00a9 2009 by The Lescroart Corporation\n\nAll rights reserved\n\nREGISTERED TRADEMARK\u2014MARCA REGISTRADA\n\nLIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA   \nLescroart, John T.   \nA plague of secrets: a novel \/ by John Lescroart.   \np. cm.\n\neISBN : 978-1-101-06020-9\n\n1. Hardy, Dismas (Fictitious character)\u2014Fiction. 2. Glitsky, Abe   \n(Fictitious character)\u2014Fiction. 3. San Francisco (Calif.)\u2014Fiction. I. Title.   \nPS3562.E78P55 2009   \n813'.54\u2014dc22   \n2008043003\n\nPUBLISHER'S NOTE\n\nThis book is a work of fiction. Names, characters, places, and incidents either are the product of the author's imagination or are used fictitiously, and any resemblance to actual persons, living or dead, business establishments, events, or locales is entirely coincidental.\n\nWithout limiting the rights under copyright reserved above, no part of this publication may be reproduced, stored in or introduced into a retrieval system, or transmitted, in any form, or by any means (electronic, mechanical, photocopying, recording, or otherwise), without the prior written permission of both the copyright owner and the above publisher of this book.\n\nThe scanning, uploading, and distribution of this book via the Internet or via any other means without the permission of the publisher is illegal and punishable by law. Please purchase only authorized electronic editions, and do not participate in or encourage electronic piracy of copyrighted materials. Your support of the author's rights is appreciated.\n\n<http:\/\/us.penguingroup.com>\n\n_To my muse, mentor, partner, and true love Lisa Marie Sawyer_\n_Men are not punished for their sins, but by them._\n\n\u2014Elbert Hubbard\n**Part One**\n1\n\n**Friday, the end of the workweek.**\n\nOn the small deck outside his back door a lawyer named Dismas Hardy sat with his feet up on the deck's railing and savored a rare moment as the sun spent the last hour of its day lowering itself toward the horizon behind his home.\n\nThe house cast its ever-lengthening shadow out over the neighborhood to the east\u2014San Francisco's Richmond District\u2014and it threw into relief the bright west-facing facades of the buildings in the city before him as it stretched away to downtown. The random window reflected glints of sunlight back at him, fireflies in the gathering dusk, shimmering in the Indian-summer air.\n\nHe sipped his gin and ice, placed the glass down on the meshed metal of the picnic table they'd set up out here, and was suddenly and acutely aware that he could not be more content. His wife, Frannie, whom he still loved after twenty-three years, was inside the house behind him, humming as she did whatever she was doing. His two children were away and doing well at their respective schools\u2014Rebecca at Boston University and Vincent at UC San Diego. The law firm of Freeman, Farrell, Hardy & Roake, of which he was the managing partner, was humming along as though it were on autopilot.\n\nHardy looked for a moment into the blue above him, blinking against a wave of emotion. Then, being who he was, his mouth cracked into a small grin at himself and he lifted his glass for another sip.\n\nInside, the telephone rang twice and stopped, which meant that it was someone they knew and that Frannie had picked it up. Her voice, with notes of sympathy and understanding, floated out to him, but he didn't bother trying to make out any of the words. She had begun to have a somewhat thriving career of her own as a marriage and family therapist and often would wind up counseling her clients from home.\n\nHardy drifted, not off to anywhere, but into a kind of surrender of conscious thought. For a long moment he was simply there in the same way that his drink or his chair existed; or the light, or the breeze off the ocean a little over a mile west of where he sat. So that when the door opened behind him, he came back with a bit of a start.\n\nFrannie put a hand on his shoulder and he brought his hand up to cover hers, half turning, seeing the look on her face. \"What's up?\" he asked, his feet coming down off the railing. \"Are the kids all right?\" Always the first concern.\n\nShe nodded a yes to the second question, then answered the first. \"That was Treya.\" Treya was the wife of Hardy's best friend, Abe Glitsky, the head of San Francisco's homicide department. Anguish in her eyes, Frannie held and released a breath. \"It's Zack,\" she said, referring to Glitsky's three-year-old son. \"He's had an accident.\"\n\nAccompanied by her five-year-old daughter, Rachel, Treya Glitsky opened the gate in the Hardys' white picket fence. Dismas Hardy, in his living room watching out through the plantation shutters of his front window, called back to his wife in the kitchen that they were here, then walked over and opened his front door.\n\nTreya turned away and, closing the gate, reached down for a small duffel bag. By the effort it took to lift, it might have weighed a hundred pounds. When she straightened up, her shoulders rose and fell, then she brought a hand to her forehead and stood completely still for another second or two. With her tiny hand Rachel held on to the front pocket of her mother's jeans while she looked up at her face, her own lips pressed tight.\n\nHardy crossed his porch and descended three steps to the cement path that bisected his small lawn. The sun had gone down behind the buildings across the street, although true dusk was still twenty minutes away. As she turned and saw him now, Treya's legendary composure threatened to break. She was a tall woman\u2014nearly Hardy's size\u2014and strongly built. Her mouth, expressive and normally quick to smile, quivered, then set in a line.\n\nHardy came forward, took the duffel bag from her, and put an arm around her neck, drawing her in, holding her for a moment. Finally he stepped back and whispered, \"How is he?\"\n\nShe shrugged and shook her head. Then, her voice as quiet as his, \"We don't know yet.\"\n\nFrannie came up, touched his shoulder, and came around to hug Treya.\n\nHardy stepped to the side and went down on one knee to face Rachel at her level. \"And how's my favorite little girl in the whole world?\"\n\n\"Okay,\" she said. \"But Zack got hit by a car.\"\n\n\"I know he did, hon.\"\n\n\"But he's not going to die.\"\n\nHardy looked up at the two women. Treya gave him a quick nod, and he came back to her daughter. \"No, of course not. But I hear you're going to stay here for a couple of days while he gets better. Is that okay with you?\"\n\n\"If Mom says.\"\n\n\"And she does. Is that duffel bag your stuff? Here, let me get it. If you put your arms around my neck, your old uncle Diz will carry you inside.\"\n\nThen they were all moving up the path and into the house. \"Abe went with the ambulance,\" Treya was saying. \"We don't know how long we're going to have to be down there. I don't know how to thank you for watching Rachel.\"\n\n\"Don't be ridiculous,\" Frannie said. \"We love Rachel.\" She reached out and touched the little girl's cheek where she rested it on Hardy's shoulder. \"She's our favorite little girl.\"\n\nHardy and Frannie walked Treya out after they got Rachel settled in with cookies and milk in front of the television. They stopped again on the path just inside the fence. \"Was he conscious?\" Hardy asked.\n\n\"No.\" Treya paused, then lowered her voice. \"He didn't have his helmet on.\"\n\n\"What happened exactly?\" Frannie asked.\n\n\"We may never know,\" she said. \"Abe had just brought down his Big Wheel bike and Zack was on it, but Abe told him to just sit still and wait a minute while he turned around and got his helmet, which he'd set down like two feet away on the stairs. But then as soon as his back was turned, Zack got aboard and either started pedaling or just rolling down the driveway, just as another car was coming up the street. One of our neighbors. He was only going like five miles an hour, but Zack just plowed into him and got knocked off the bike and into the street.\" She flashed a pained look from Hardy to Frannie. \"He banged his head.\" She hesitated. \"I've got to get down there now. You guys are great. Thank you.\"\n\n\"Go,\" Hardy said. \"Call when you can.\"\n\nAt ten-thirty Hardy was shepherding the evening's last glass of wine, which he didn't need at all. He was sitting in his reading chair across from the fireplace in the living room. Rachel had gone down to sleep early and easily about an hour and a half ago. Frannie was in the family room now and for the past half hour had been talking to their son, Vincent, down in San Diego. She'd already called the Beck back in Boston, both calls not so much to share the bad news as to touch base with their own offspring, to make sure they were safe.\n\nNeither Treya nor Abe had called yet with any report from the hospital. Hardy, hamstrung by his overwhelming sense of dread, had his hand around the stem of his glass but hadn't yet brought it to his lips. He simply stared at the fire.\n\nFrannie must have hung up, because she was now standing in the portal that separated their dining and living rooms. \"Diz?\"\n\nHe turned his head toward her, perhaps surprised to see her there, appearing out of thin air the way she had. \"Hey.\"\n\nShe crossed the remaining few steps to him and sat on the ottoman at his feet. \"You've been just sitting there without moving a muscle since I've been in this doorway.\"\n\n\"Isometric exercise. Every muscle tensed for maximum effect.\" But there was no humor in it.\n\n\"Are you all right?\"\n\nHe shrugged, his effort to smile halfhearted at best. \"How's Vinnie?\"\n\n\"Good. He got a B-plus on his first poly-sci exam.\"\n\n\"Slacker.\"\n\n\"He wanted to know if we needed him to come up. He said he would. I told him I didn't think so.\"\n\n\"Probably right. Nothing for him to do.\"\n\n\"You either,\" Frannie said. \"Just be there for them if they need us.\"\n\nSighing, Hardy shook his head. \"You think this stuff is buried so deep down, and next thing you know you're blindsided by it.\"\n\nFrannie hesitated, but she knew what he was talking about. \"Michael?\"\n\nHardy's firstborn son had died in infancy thirty-five years before. A precocious seven-month-old, he'd stood up in his crib well before he was supposed to be able to and had pitched over the guardrail that they'd kept at half-mast. He had landed on his head.\n\n\"I don't think I've consciously thought about him in five years, and now here he is, big as life. Bigger than he was in life.\"\n\nFrannie rested a hand on his knee. \"This may not turn out the same. Let's hope.\"\n\n\"I don't know if Abe could take it, how anybody does. I don't know how I did.\"\n\nFrannie knew. Hardy's son's tragedy had marked the end of his first marriage and the abandonment of his law career. It had led to ten years behind the bar at the Little Shamrock, where he had averaged somewhere between one and two dozen beers a day, not to mention the rest of the alcoholic intake.\n\nShe squeezed his leg reassuringly. \"Let's wait till we hear something. You want to come to bed?\"\n\n\"I want to drink a bottle of gin.\"\n\n\"You could, but you wouldn't be happy about that tomorrow.\"\n\n\"No. I know. Plus, if Abe needs something . . .\" He shook his head and looked away, then came back and met her eyes. \"Shit, Frannie.\"\n\n\"I agree. But Rachel's going to be up early. We're going to want to be rested. I've got to go lie down. You're welcome to join me.\"\n\n\"I'd be lousy company.\" Then, softening it, he patted her hand with his own. \"Couple more minutes,\" he said.\n\nAnd the phone rang.\n\n\"The best bit of news,\" Treya was saying to both of them as they listened on the two extension phones, \"is that he's out of his twos. Evidently the younger you are, the worse the prognosis. Three is way better than two. And this is a Level One hospital, so they had a neurosurgical resident in house, which is also lucky since he could go right to work.\" Her voice, while not by any stretch cheerful, was strong and confident-sounding. Conveying facts, honing to the bearable news, she was keeping herself together the way she always did, by sucking it up.\n\n\"They've cooled him down to make him hypothermic,\" she went on, \"which is what they always do, and taken some scans, and they've got him on a continuous EEG and his vital signs are good, so that's all heartening.\"\n\n\"But he's still unconscious?\" Hardy asked.\n\nFrannie and Hardy heard Treya's quick intake of breath and flashed their reactions to one another. \"Well, that's really not so much of an issue now, since they've induced a coma. He's going to be unconscious for a while. Maybe a week or more.\"\n\n\"He's in a coma?\" Frannie, before she could stop herself.\n\n\"It's not as bad as it sounds,\" Treya said. \"They induce it with some drug to let his brain heal. And they've got him on something for the internal swelling, but the doctor says they still may have to operate. In fact, probably.\"\n\nHardy, possibly leaving the actual ridges of his fingerprints in the telephone at his ear, asked, \"When's that going to be, the surgery?\"\n\n\"Probably pretty soon, maybe by the morning. They've got him stuck with a couple of catheters in his head to measure his cranial pressure. It gets above fifteen, whatever that means, they're going to have to go in. And it's at thirteen now, up from ten when he got here, so ...\"\n\n\"Do you need us to do anything?\" Frannie asked.\n\n\"Watching Rachel is enough. I don't see either of us leaving here for a while.\"\n\n\"Take whatever time you need, Trey.\" Frannie's eyes were locked on Hardy's as they nodded together. \"Don't even think about that. It's no issue. She's wonderful and we love having her. Both of us.\"\n\n\"Both of us,\" Hardy repeated. \"So what's next?\"\n\n\"I think probably the surgery.\"\n\n\"What are they going to do?\"\n\n\"They take a couple of bones out of his skull to relieve the pressure.\"\n\n\"Not permanently?\" Hardy asked.\n\n\"No,\" Treya said, \"I don't think so. But I'll ask now for sure. Anyway, then they make some slits in the dura.\"\n\n\"What's that?\" Frannie asked.\n\n\"Oh, you'll like this.\" Treya obviously wearing herself down trying to keep a positive spin on things. \"It means tough mother.\"\n\n\"What does?\"\n\n\" _Dura mater_. It's the outer layer of the brain. Tough and fibrous. They make some small slits in it to let the brain expand.\"\n\nSilence collected in the line as this bit of horrifying, yet perhaps good, information began to sink in. Finally, Hardy cleared his throat. \"So how's Abe?\"\n\nTreya hesitated. \"Quiet. Even for him.\"\n\n\"It's not his fault,\" Frannie said.\n\n\"I know that. It might not be so clear to him.\" Again, a stab at an optimistic tone. \"He'll get to it.\"\n\n\"I know he will,\" Frannie said.\n\nHardy, not so certain of that, especially if Zachary didn't make it, turned to face away from his wife. Stealing a glance at his watch, he did some quick math: If the accident had taken place at five-thirty, it had now been five and a half hours. After they'd gotten his own son Michael to the hospital, he had survived for six.\n\nThe women's words continued to tumble through the phone at his ear, but he didn't hear any of them over his own imaginings\u2014or was it only his pulse, sounding like the tick of a clock counting down the seconds?\n2\n\n**Bay Beans West** enjoyed a privileged location, location, location at the intersection of Haight and Ashbury streets in San Francisco.\n\nThe large, wide-windowed coffee shop had opened in the summer of 1998 and from its first days became a fixture in the neighborhood. It opened every morning at six o'clock, except Sunday, when it opened at eight, and it stayed open until ten. Between the UCSF medical school a couple of blocks east, the University of San Francisco a few blocks north, the tourists visiting the epicenter of the birth of hippiedom, and the vibrant and wildly eclectic local neighborhood, the place rarely had a slow moment, much less an empty one.\n\nThe smell of its roasting beans infused the immediate vicinity with a beckoning aroma; the management provided copies of the city's newspapers\u2014the _Chronicle_ , the _Free Press_ , and the _Bay Guardian_. The papers rarely disappeared before three o'clock. Even the homeless honored the custom, except for Crazy Melinda, who used to come in, scoop all the papers up, and try to leave with them\u2014until the patrons started setting aside a copy of each paper at the counter for her to pick up whenever she wanted them.\n\nComfortable, colorful couches were available as well as the usual chairs and tables; the ethic of the place allowed an unlimited time at your seat once you'd claimed it, whether or not you continued to drink coffee; for the past five years or so customers could avail themselves of free wireless Internet service; and legal or not, pets were welcome. For many in the neighborhood BBW was a refuge, a meeting place, a home away from home.\n\nAt a few minutes before seven o'clock on this Saturday morning, the usual line of about twenty customers needing their morning infusions of caffeine was already growing along Haight Street at the establishment's front door. A long-haired man named Wes Farrell, in jogging pants and a T-shirt that read \"DAM-Mothers Against Dyslexia,\" stood holding in one hand the hand of his live-in girlfriend, Sam Duncan, and in the other the leash of Gertrude, his boxer. They, like many others in the city that morning, were discussing the homeless problem.\n\nFor decades San Francisco has been a haven for the homeless, spending upwards of $150 million per year on shelters, subsidized rental units, medical and psychiatric care, soup kitchens, and so on. Now, suddenly, unexpectedly, and apparently due to a series of articles that had just appeared in the _Chronicle_ , came a widespread outcry among the citizenry that the welcome mat should be removed. Wes finished reading today's article aloud to Sam and, folding up the paper, said, \"And about time too.\"\n\nSam extracted her hand from his. \"You don't mean that.\"\n\n\"I don't? I thought I did.\"\n\n\"So what do you want to do with them, I mean once you give them a ticket, which by the way they have no money to pay, so that won't work.\"\n\n\"What part of that statement, I hesitate to call it a sentence, do you want me to address?\"\n\n\"Any part. Don't be wise.\"\n\n\"I'm not. But I'd hate to be the guy assigned to trying to diagram one of your sentences.\"\n\n\"You're just trying to get me off the point. Which is what would you do with these homeless people who suddenly are no longer welcome?\"\n\n\"Actually, they're just as welcome. They're just not going to be welcome to use public streets and sidewalks as their campsites and bathrooms anymore.\"\n\n\"So where else would they go?\"\n\n\"Are we talking bathrooms? They go to the bathroom in bathrooms, like the rest of us.\"\n\n\"The rest of us who have homes, Wes. I think that's more or less the point. They don't.\"\n\n\"You're right. But you notice we're loaded with shelters and public toilets.\"\n\n\"They don't like the shelters. They're dangerous and dirty.\"\n\n\"And the streets aren't? Besides, this may sound like a cruel clich\u00e9, my dear, but where do you think we get the expression 'Beggars can't be choosers'?\"\n\n\"I can't believe you just said that. That is so\"\u2014Sam dredged up about the worst epithet she could imagine\u2014\"so _right wing_.\"\n\nWes looked down, went to a knee, and snapped his fingers, bringing Gertrude close in for a quick pet. \"It's all right, girl, your mom and I aren't fighting. We're just talking.\" Standing up, he said, \"She's getting upset.\"\n\n\"So am I. If you try to pet me to calm me down, I'll deck you.\"\n\n\"There's a tolerant approach. And meanwhile, I hate to say this, but it's not a right wing, left wing issue here. It's a health and quality of life issue. Feces and urine on public streets and playgrounds and parks pose a health risk and are just a little bit of a nuisance, I think we can admit. Are we in accord here?\"\n\nSam, arms folded, leaned back against the windows of the coffee shop, unyielding.\n\n\"Sam,\" Wes continued, \"when I take Gertie out for a walk, I bring a bag to clean up after her. That's for a dog. You really think it's too much to ask the same for humans?\"\n\n\"It's not the same thing.\"\n\n\"Why not?\"\n\n\"Because a lot of these people, they have mental problems too. They don't even know they're doing it, or where.\"\n\n\"And so we should just tolerate it? You send your kids out to play and there's a pile of shit on your front stoop? Next thing you know, half a school's got hepatitis. You don't think that's a small problem?\"\n\n\"That's not what's happening.\"\n\n\"Sam, that's exactly what's happening. They've got to check the sandbox near the merry-go-round in Golden Gate Park every morning for shit and needles. Some of these people think it's a litter box.\"\n\n\"Well, I haven't heard of any hepatitis epidemic. That's way an exaggeration.\"\n\n\"The point is the alfresco bathroom kind of thing that's been happening downtown for years. I think you'll remember we had a guy used our front stoop at the office every night for a month. We had to wash the steps down every morning.\"\n\n\"There,\" Sam said. \"That was a solution.\"\n\n\"It was a ridiculous solution. It was insane. To say nothing about the fact that using the streets for bathrooms punishes innocent, good citizens and devalues property.\"\n\n\"Aha! I knew property would get in there.\"\n\n\"Property's not a bad thing, Sam.\"\n\n\"Which is what every Republican in the world believes.\"\n\n\"And some Democrats too. Dare I say most? And for the umpteenth time, Sam, it's not a Republican thing. You can be vaguely left of center and still not want to have people shitting in your flower-pots. Those aren't mutually exclusive.\"\n\n\"I think they might actually be.\"\n\n\"Well, no offense, but you're wrong. Public defecation and homeless encampments on the streets and in the parks are gross and unhealthy and sickening. I don't understand how you can't see that.\"\n\nSam again shook her head. \"I see those poor people suffering. That's what I see. We've got a fire department with miles of hoses. We could deploy them to wash down the streets. The city could get up some work program and hire people to clean up.\"\n\n\"What a great idea! Should we pay them to clean up after themselves, or after each other? Except then again, where does the money to do that come from?\"\n\n\"There it is again, money! It always comes down to money.\"\n\n\"Well, as a matter of fact, yes, sometimes it does.\"\n\n\"The point is, Wes, these people just don't have the same options as everybody else.\"\n\n\"And they never will, Sam. That's rough maybe, okay, but it's life. And life's just not fair sometimes. Which doesn't mean everybody else has to deal with their problems. They get rounded up and taken to the shelters whether or not they want to go, and I say it's about time.\"\n\nWithout either Sam or Wes noticing, several others in the line, both male and female, had closed in around them, listening in. Now a young hippie spoke up to Wes. \"You're right, dude,\" he said. \"It's out of control. It is about time.\"\n\nA chorus of similar sentiments followed.\n\nSam took it all in, straightened up, and looked out into the faces surrounding her. \"I just can't believe that I'm hearing this in San Francisco,\" she said. \"I'm so ashamed of all of you.\"\n\nAnd with that she pushed her way through the crowd and started walking up Ashbury, away from her boyfriend and their dog.\n\nSam was the director of San Francisco's Rape Crisis Counseling Center, which also happened to be on Haight Street. Her plan this morning had been to take her early morning constitutional from their home up on Buena Vista with Wes and Gertie, share a cup of coffee and a croissant at BBW, then check in at the office to make sure there hadn't been an overnight crisis that demanded her attention.\n\nBut now, seething, just wanting to get away from all the reactionaries, she had started out in the wrong direction to get to the center. Fortunately, the line for the BBW stretched down Haight Street, and not up Ashbury, and she'd gone about half a block uphill when she stopped and turned around, realizing she could take the alley that ran behind the Haight Street storefronts, bypassing the crowd and emerging on the next block on the way to her office.\n\nBut first she stopped a minute, not just to get her breath, but to try to calm herself. After an extraordinarily rocky beginning to their relationship she and Wes hadn't had a fight in six or seven years. She'd come to believe that he was her true soul mate and shared her opinions about nearly everything, especially politics. But now, apparently not.\n\nIt shook her.\n\nAnd, okay, she knew that she was among those whom most people would include among California's \"fruits and nuts.\" She certainly didn't too often doubt the rightness of her various stances. She was in her early forties and had seen enough of the world to know that the dollar was the basic problem. The military-industrial complex. Big oil and corporate globalism. Republicans.\n\nBut here now Wes, who had registered Green and hated the right wingers as much as she did, was arguing for something that she just knew in her heart was wrong. You couldn't just abandon these homeless people who had, after all, flocked to San Francisco precisely because of the benign political environment. That would be the worst bait-and-switch tactic she could imagine. She would have to talk to him, but after they'd both calmed down.\n\nShe crossed back to where she wouldn't be visible to Wes or anyone else in the line as she came back down the hill. It was the kind of clear morning that people tended to expect when they visited San Francisco during the traditional summer months. Those people often left in bitter disappointment at the incessant fog, the general inclemency of the weather. But today the early sun sprayed the rooftops golden. The temperature was already in the low sixties. It was going to be a perfect day.\n\nShe got to the alley, squinting into the bright morning sun, when here was an example of exactly the thing she and Wes had been talking about\u2014a pair of feet protruded from the backdoor area of BBW. Not wanting to awaken the poor sleeping homeless man, she gave him a wide berth and only a quick glance as she came abreast of where he slept.\n\nBut something about the attitude of the body stopped her. It didn't seem to be lying in a natural position, the head propped up against the screen door. She couldn't imagine such a posture would be conducive to sleep. Most of the weight seemed to be on his left shoulder, but under that the torso turned in an awkward way so that both feet pointed up, as if he were lying on his back.\n\nMoving closer, she noticed a line of liquid tracing itself down over the concrete and pooling in the gap between the cement of the porch and the asphalt of the alley. In the bright morning sunlight, from a distance it could have been water. But another couple of steps brought her close enough to remove any doubt on that score\u2014the glistening wet stuff was red.\n\nLeaning over, Sam shaded her eyes against the glare and she saw the man's face; a face she recognized, had expected to see that morning behind the counter where he always was at BBW.\n\nHer hand, already trembling, went to her mouth.\n3\n\n**At a few minutes** past seven-thirty a sergeant inspector of homicide named Darrel Bracco double-parked on Ashbury. He unhooked his squawk box handset and draped the cord up over the rearview mirror, so that a meter person coming by might surmise that this was a police vehicle and as such shouldn't get a parking ticket. Just to be double sure, though, he left his business card on the dashboard of his city-issue Pontiac. He knew from bitter personal experience that even these precautions might not be enough.\n\nA crowd of perhaps sixty souls stood beyond the yellow crime-scene tape that the responding unit had strung across the mouth of the alley and again farther down. Bracco saw that the coroner's van hadn't yet arrived, but two black-and-white squad cars also helped to close off the entrance to the alley from the inquisitive populace.\n\nHis badge out, excusing himself as he went, he pushed his way through the mass of people and ducked under the tape. A no-nonsense guy, he met no real resistance\u2014Bracco was forty-two years old, just under six feet tall, clean-cut, casually buffed. He nodded to the two uniformed officers who were keeping the crime scene from being violated.\n\nOver by the body, obvious enough on the ground by the back door to one of the local establishments, another uniform with graying hair and the start of a gut, undoubtedly the lieutenant from Park Station, was standing talking with Bracco's new partner, Debra Schiff. Debra was thirty-eight, wore her sandy hair short, and possessed a very good if tough-looking face that looked tougher without makeup. For which reason she never wore any.\n\nBracco flashed his badge and stuck his hand out. \"How you doin', Lieutenant? Darrel Bracco.\"\n\n\"Bill Banks.\"\n\n\"Nice to meet you. Thanks for holding down the fort. I miss anything fun yet?\"\n\nSchiff answered, shaking her head no. \"Waiting on the techs. Story of our lives, huh? You'd think these people would have the good grace to get themselves shot during regular business hours. But here it is, first thing on a weekend. Time the techs get mounted and rolling, they might not get here till noon.\" She turned to Banks. \"But Darrel and I can handle things here, Lieutenant, if you want to get back to your station or go home. Your call.\"\n\nBanks clucked and shrugged. \"Thanks, but if you don't mind, I'll just hang awhile. See where this goes a little.\"\n\n\"He was just telling me he knows the guy,\" Schiff said.\n\nBanks nodded. \"Everybody in the neighborhood knows him. Dylan Vogler. He managed this place.\"\n\n\"And what place is that?\" Bracco asked.\n\n\"The coffee shop, Bay Beans West. Takes up the whole corner.\" Banks pointed. \"This is the back entrance he's up against. Also, I was just showing Inspector Schiff, see on the side wall that hole in the stucco . . .\"\n\n\"The bullet. But, hmm . . .\" Bracco moved over to look more closely.\n\n\"What?\" Schiff said.\n\nBracco, his face right up against the wall, said, \"No blood?\"\n\nSchiff, now over next to him, pointed down and said, \"Backpack.\"\n\n\"Backpack.\" Bracco repeated. \"That'd do it.\" Then he went down into a squat.\n\n\"Darrel,\" Schiff began, a warning note in her voice.\n\nBut he put out a hand. \"I'm not moving him, Debra. If my eyes don't deceive me, that holster on his belt's got a cell phone in it.\" He flipped the leather top open. \"Aha!\" Extracting the device from its holder, he stood back up and opened it.\n\n\"Ice?\" Schiff asked.\n\nPushing buttons on the phone, Bracco nodded.\n\nBanks's gaze went from Bracco over to Schiff. \"Ice?\"\n\n\" 'In case of emergency,' \" Schiff said. \"ICE. They're telling everybody to put that in their cell phones now. You don't have that in yours?\"\n\nBanks shook his head. \"I'm lucky if I can keep the damn thing charged.\"\n\n\"Here you go.\" Darrel pushed the send button and held the phone to his ear. \"Hello,\" he said after a brief moment, then identified himself. \"I'm calling because you're the emergency number on a cell phone in the possession of a man named . . .\" He raised his eyebrows at Banks, a question, and got the name again from the lieutenant.\n\n\"Dylan Vogler.\" Bracco paused, listened. \"Yes. Yes,\" he said. \"I'm afraid so. Well, at the moment I'm in the alley behind his place of business. Sure. Just tell the officers who you are and they'll let you through. No, you don't want to bring your child. Can we send someone up to your house to get you? Okay, then. Okay. There's no hurry, ma'am. We'll be here.\"\n\nClosing the phone, he shrugged and let out a heavy breath. \"The wife.\" Then, cocking his head and checking his watch, he turned to Schiff. \"Not too bad for a weekend. There's a siren now.\"\n\nBy the time the first cops had arrived, there had been no question that Dylan Vogler was completely and absolutely dead\u2014no hint of a pulse, the skin just warm to the touch, his eyes wide open and unresponsive to light or other stimulation. Nevertheless, the first responding squad car cops got some EMTs down to pronounce him. The photographer took a couple of dozen photos, memorializing the scene, before anyone else touched the body at all.\n\nBehind Bracco and Schiff the three-person crime-scene investigation unit under Lennard Faro continued scouring the alley and its environs for evidence, although within the first minutes they'd already called Faro over to identify and bag as evidence a .40-caliber semiautomatic Glock pistol that had recently been fired and a brass bullet casing that probably went with it. After watching them poking around and letting the assistant coroner and the photographer finish, at long last Bracco got to the body.\n\nThe first thing he did was take off Vogler's light blue backpack so he could turn the body over and look at where the shot or shots had entered. He then turned the backpack over to verify the location of the bullet hole. And there it was, high up in the fabric adjacent to where the slug had exited Vogler's body, surrounded with the bloom of blood that Bracco had expected and failed to see around the hole in the stucco. After he flipped the backpack over and saw the corresponding exit hole on the other side, he sat back and turned to his partner, squatting next to him.\n\n\"I love opening presents.\" Bracco undid the clasp, pulled the top up, and held it open.\n\n\"Well, look at that,\" Schiff said.\n\n\"I am.\" The pack was filled to about the two-thirds mark with sandwich-size baggies of marijuana. Bracco removed one of them, opened it, smelled it again, and passed it over to his partner. \"What I don't get,\" he said, \"is why they didn't take this.\"\n\n\"Maybe they didn't know it was in there,\" Schiff said.\n\n\"They _definitely_ didn't know it was in there,\" Bracco said. \"They couldn't have known about this much weed and just left it. That'd skew my whole worldview.\"\n\nSomeone tapped him on his shoulder, and Bracco half turned. \"Sorry, Inspector,\" Banks said, \"but the wife's here.\"\n\nNodding, Bracco sighed, then straightened up. \"Hide that backpack,\" he said to Schiff. \"We don't know nothing about no stinking backpacks.\"\n\n\"Got it,\" his partner replied.\n\nDebra Schiff dropped the backpack onto the asphalt out of sight behind Banks's squad car. Turning around, she saw that her partner had already gone over to greet the widow, who was standing just inside the crime-scene tape next to one of the uniformed officers.\n\nFrom Schiff's distance the woman appeared young and very pretty. Her shoulder-length black hair, still wet\u2014her morning shower?\u2014framed a face of pale beauty, with wide dark eyes, strong cheekbones, red lips. She wore a long-sleeved 49er T-shirt tucked into her jeans, but the blousy shirt camouflaged neither her breasts nor her tiny waist.\n\nComing closer, though, Schiff saw something else around the eyes too\u2014a swelling that might be from the crying but might have another source. And under the swelling did she discern a faint yellowish cast to the skin? An ancient, or not-so-ancient, bruise?\n\n\"I can see that it's him from here,\" she was saying to Bracco. Her left hand\u2014no wedding band\u2014was at her mouth now. \"I don't know if I can . . . if I need to go any closer.\"\n\n\"That's all right, Mrs. Vogler.\" Schiff inserted herself into the conversation, identifying herself and laying a hand on Bracco's shoulder.\n\n\"I'm not Mrs. Vogler.\" The woman corrected her right away. \"My name is Jansey Ticknor. We're not married. Weren't married. But just call me Jansey, okay?\" Her shoulders sagged. \"God.\"\n\nSchiff wanted to get her away from her immediate reaction. \"My partner mentioned a child when he talked to you.\"\n\nMs. Ticknor nodded. \"My son, Ben. He's with our boarder. He's fine.\" Her eyes went back to the body. \"My God, how did this happen?\"\n\n\"We don't know yet, ma'am,\" Bracco said. \"We did find a gun. Did your husband own a gun?\"\n\nJansey Ticknor blinked into the sun for a moment. \"He couldn't.\"\n\n\"He couldn't? Why was that?\" Schiff asked.\n\nJansey's face went flat. She looked from one inspector to the other. \"He served some time in jail when he was younger.\"\n\n\"What for?\" Bracco asked.\n\nShe shrugged. \"He was a driver in a robbery. It was the only time he ever did anything like that. Anyway . . . he went to prison. So, no, he couldn't have a gun.\"\n\nSchiff threw a quick look at Bracco. There was a real difference, they both knew, between going to jail, which meant the city and county lockup downtown, and spending time in prison. Prison was hard time, and in San Francisco, the probation capital of the Western world, time in the joint argued strongly against Jansey's description that it had been the only wrongdoing of Dylan Vogler's life.\n\n\"Jansey,\" Schiff asked, \"did you see Dylan before he went to work this morning?\"\n\n\"No, he got up early with Ben, our boy. He lets me sleep in on weekends sometimes.\" The body over on the asphalt drew her gaze again.\n\nBracco spoke up. \"Did Dylan have any enemies that you know of? Somebody who was mad at him?\"\n\n\"Not really, no. I guess it's possible, but he didn't have any power. He just ran this coffee shop. There wasn't any drama in his life.\"\n\n\"Maybe he fired somebody recently?\" Schiff suggested. \"Something like that.\"\n\n\"No. The staff, it's like only ten people or so and they've all been here forever.\" She shook her head, dismissing the thought. \"Whatever it was, it wasn't about his job, I'm sure.\" Her eyes went to the doorway. \"Maybe somebody robbed him.\"\n\n\"His wallet was on him,\" Bracco said. \"Cell phone. No sign of robbery.\"\n\n\"Maybe they were going to take his stuff and something scared them away.\"\n\n\"That's possible,\" Schiff said.\n\n\"What stuff?\" Bracco asked.\n\nShe closed her mouth, pursed her lips, and shifted to her other foot. \"I don't know. What you said, his wallet and cell phone. Like that.\"\n\nBracco kept it low-key. \"He didn't have anything else particularly worth stealing that you know of that maybe wouldn't be obvious to us? A watch, maybe?\"\n\n\"I don't think so, no.\" She turned her head back toward the body. \"You can't just leave him lying there.\"\n\n\"We won't, Jansey,\" Schiff said. \"The coroner's ready to take him to the morgue as soon as we release him.\" Lowering her voice, she moved in closer. \"It might save you a difficult trip downtown if you wanted to give us a positive identification now. I'd be right next to you, if you think you can handle it.\"\n\nJansey was biting her lower lip and eventually nodded, putting her arm in Schiff's. \"Don't let go of me,\" she said, \"in case I fall down or faint or something. Please.\"\n\n\"I got you.\"\n\n\"Okay, let's go.\"\n\nWith BBW closed up, Schiff told her partner she'd meet him at a place she loved that had been serving breakfasts on Irving Street just west of Nineteenth Avenue for about eighty years. She and Bracco had been partnered up for only about six months and still had favorite haunts that the other didn't know.\n\nAs usual, the place was packed; but also as usual, they moved the customers along right smartly. So the wait for Schiff's table wasn't more than ten minutes. She'd just had her first sip of coffee when Bracco came in, caught her eye over the other patrons, and threaded his way over to her. When he sat down, she lowered her cup. \"What took you?\"\n\nBracco's normal sunny disposition sulked under a shadow. He was all but breathing fire but simply shook his head, his eyes dark. \"You don't want to know.\"\n\nShe sipped coffee. \"They gave you another ticket.\"\n\nBracco's head wagged from side to side. \"They are twenty-four-karat idiots, Debra. I'm going to find out who wrote this one up and go after him.\"\n\n\"Or her,\" Schiff said. \"Don't forget saying 'or her.' \"\n\n\"I never would, of course, not in my real life. But I don't care if it's a him or a her. I'm going to take the sucker down, whoever it is. You didn't get tagged?\"\n\nShe shrugged.\n\n\"But here's the thing. I parked in the street with my squawker hanging from my rearview mirror and my goddamned card on the dash. You know, Bracco, homicide, with the badge and all. You think it's possible they don't know that homicide is actually part of the PD? Maybe they think homicide is like the name of a pest control company.\"\n\n\"I wouldn't rule it out.\"\n\nBracco blew out heavily. \"It's not right, Debra. It's just so incredibly demoralizing.\"\n\n\"It is, I agree.\"\n\n\"I'm not writing up another memo for another bullshit ticket like this.\"\n\nThe way it worked was that parking tickets incurred by city vehicles required the employee to fill out a form detailing the reason that the parking infraction had been unavoidable, and hence forgivable. The chief had issued a general order. Any officer who got a ticket had to fill out the form before leaving his shift for the day. Of course, a lot of times people couldn't be bothered, so about every six months they'd get a memo they had to sign and return, acknowledging in a sub rosa fashion that\u2014officially\u2014parking violations were, in fact, about as important as murders.\n\n\"I wouldn't write it up, either, Darrel. Call those bastards on it. Why don't you bring it up to Glitsky on Monday, let him handle it?\"\n\n\"He'll go ballistic. He hates this stuff worse than me.\"\n\n\"Yeah, but that's why they pay him the big bucks.\"\n\n\"Good point. What else is he doing anyway, right?\" The waiter appeared at his elbow and Bracco looked up. \"Anything better here than everything else?\"\n\nTwo minutes later, his eggs ordered, Bracco stirred his own coffee and looked across at his partner. \"So, how about our victim?\"\n\n\"I think he hit Jansey.\"\n\n\"How do you get that?\"\n\n\"Her cheek didn't look right. Even under the tears. She didn't love him, I don't think. You see how she talked about him? 'He didn't have any power. He just ran this coffee shop. There wasn't any drama in his life.' That's not a woman who loves her man.\"\n\n\"So she knew about the weed?\"\n\n\"Of course. How could she not?\"\n\n\"You notice she didn't say anything about the backpack.\"\n\n\"She might not have known he had it with him. She didn't see him leave home, you remember. But as you said, the killing wasn't about the weed or whoever shot him would have taken it.\"\n\n\"If he'd known. If it was a 'him.' \"\n\n\"Well, yes, that.\"\n\nTheir waiter arrived with their plates and both inspectors dug in for a moment before Bracco took it up again. \"You believe her about the gun?\"\n\n\"Not for a second. I ask if he owns a gun and she says he couldn't. Not he didn't.\"\n\n\"I heard that. So he was shot with his own gun?\"\n\n\"We'll find out soon enough, but that's my bet.\"\n\n\"He know the shooter?\"\n\n\"Maybe.\" She chewed for a minute. \"No sign of struggle, anyway. He gave him his own gun and then the guy shot him with it? How does that play?\"\n\n\"I don't know.\" Bracco put his fork down. \"Actually, maybe Jansey.\"\n\n\"Pretty early for that, but maybe.\" She pushed food around on her plate before she looked up. \"We have to search the house.\"\n\n\"I know.\" And Bracco added, \"Like yesterday.\"\n4\n\n**Joanne Ticknor sat** next to her husband, holding her grandson Ben on her lap on the couch in her daughter's living room.\n\nJansey came back into the room behind a man and a woman, both of whom were dressed casually but who looked serious and professional. \"Mom, Dad,\" she said, \"these are inspectors Bracco and Schiff with the police department.\" At the introductions Wayne Ticknor stood and shook hands, and Ben wriggled out of his grandmother's arms and came forward to do the same.\n\nBracco went down on a knee to shake Ben's hand. \"How you doing, big guy?\"\n\n\"Okay. Are you going to find who shot my daddy?\"\n\n\"We're going to try, Ben. We're really going to try.\" Then he looked up at Jansey's mother. \"But we're going to have to have a little adult time to talk before we really get going.\"\n\nGetting the message, she stood up. \"Come on, Ben, let's you and Grandma go and find ourselves a snack in the kitchen. How's that sound?\"\n\nAs soon as they'd gone, Wayne asked, \"Do you have any leads yet?\"\n\nBracco gave him a nod. \"Well, as a matter of fact, we might, or at least a place to start.\" Including Jansey now, he continued, \"Dylan was wearing a backpack that was full of marijuana. Did you know anything about that?\"\n\nShe opened, then closed her mouth. Finally came out with it. \"I didn't know he had some with him this morning, but it doesn't surprise me, no. He was selling it sometimes. I wanted him to stop. I asked him to stop. But he said it didn't hurt anybody and we needed the money.\"\n\n\"That asshole,\" Wayne said.\n\n\"Dad.\"\n\n\"Putting Ben and you at risk like that? What a fool.\"\n\nSchiff turned to the father. \"You had other problems with him, Mr. Ticknor?\"\n\n\"You could say that.\"\n\n\"Dad!\" Jansey repeated. \"That's enough, okay? He's dead. Whatever he did, it's over now. Let's just leave it alone, can we?\"\n\nBut Bracco wasn't of a mind to do that. \"What else did he do, Mr. Ticknor?\"\n\nWayne looked to his daughter and shook his head. \"Why can't they know what he really was, Jansey? That he wasn't much of a father to Ben? Or that he beat you?\"\n\n\"He didn't beat me!\" She turned to Schiff, met her eyes. \"He didn't beat me,\" she repeated more softly. \"He hit me a couple of times, that's all.\"\n\n\"Recently?\" Bracco asked.\n\n\"A couple of weeks ago, we talked about this marijuana thing and he got mad at me. But it wasn't really a fight. He just got physical for a minute. It wasn't really a big deal.\"\n\n\"No, no big deal at all,\" Wayne put in, with heavy sarcasm, \"except for six months ago when she and Ben moved in with us for a couple of weeks.\"\n\n\"He was under a lot of stress then,\" Jansey said. \"He wasn't perfect, okay, but nobody is, you know?\"\n\n\"True,\" Debra said, \"we all have imperfections, but maybe one of his made somebody want to kill him. You knew him better than anyone else. Maybe you could help us.\"\n\nBracco jumped in. \"Was anybody mad at him? Jealous about his job? Anything like that?\"\n\nNothing.\n\nSchiff asked, \"Jansey, do you know where he got the marijuana? If it's any help,\" she continued, \"we brought a search warrant along with us.\"\n\nThis brought a bit of reaction. \"What for?\"\n\nBracco stepped up. \"Dylan was on his way to work from here at home. Which means the weed was probably in this house last night. There might be more of it. He might also have left some records of where he got it or who he was going to sell it to.\"\n\nJansey looked to her father, indecision playing over her features. Finally, she came back to the inspectors. \"It's in the attic,\" she said. \"He grew it up there.\"\n\nDebra Schiff climbed the stepladder and ducked through the small opening in the upper half of the closet wall and straightened up into a warm and humid room baking in a grow-light glow. She found a light switch next to the opening and flicked it, then spoke back over her shoulder to Darrel, on the steps of the ladder right behind her. \"You're not going to believe this.\"\n\nBracco poked his head into the opening. \"Lordy Lordy,\" he said.\n\nThe attic space the size of the house's footprint was filled with plants in various stages of growth, from just-germinated little shoots in cardboard egg cartons to full-blown, six-foot-high plants in raised planter boxes. The air was rich with the resinous scent of marijuana.\n\nBracco got through the opening and straightened up next to his partner, taking it all in. They shared a wondering glance and, at last, Bracco let out a breath. \"Wow.\"\n\n\"You said it,\" Schiff replied. \"How much is this worth?\"\n\n\"Ten grand a pound, right? Or close.\" He turned around and peered across the space and into the recesses in the far corners. \"And he's got a jungle of it up here.\"\n\nWalking over to one of the closer tall plants, he reached out and picked one of the heavy and sticky buds, rubbing it between his thumb and forefinger, then smelling his hand. \"Not that I ever inhaled any of this stuff, Debra, of course, and not to get too technical, but my limited experience tells me that this is some righteously good shit.\"\n5\n\n**First thing Monday morning** Bracco knocked on Lieutenant Glitsky's door on the fifth floor of San Francisco's Hall of Justice.\n\n\"It's open.\"\n\nBracco turned the knob, gave the door a push. \"Actually, it wasn't.\"\n\nGlitsky, a large-boned man with a prominent hatchet of a nose, an ancient scar between his lips, and a graying Afro, sat in semidarkness\u2014room lights off, blinds closed up. Glitsky's elbows rested on his bare desk, his hands covering his mouth. Even with half of his intimidating facial arsenal covered up, Glitsky's eyes alone could do the trick\u2014they gleamed like glowing coals, the window to his mind, announcing to anyone paying attention that it was scary in there.\n\nToday those eyes stopped Bracco in his tracks. \"You all right, Abe?\"\n\nGlitsky didn't move a muscle, still speaking from behind his hands. \"I'm fine. How can I help you, Darrel?\"\n\n\"Can I come in?\"\n\n\"You already are in.\"\n\nBracco stood holding the doorknob. \"If this isn't a good time . . .\"\n\n\"I said it's fine. Get the lights if you want.\"\n\n\"Yes, sir.\" He reached over and the room lit up.\n\nGlitsky didn't stir. Finally, his eyes moved and met Bracco's. \"Anytime,\" he said. \"Whenever you're ready.\"\n\nThe office featured a couple of folding chairs set up in front of Glitsky's desk, a few more leaning against the wall under the Active Homicide board. Bracco took the nearest open one and sat on it, pulling a folded sheet of paper from his breast pocket. \"Well, sir,\" he began, \"I don't know how much you've heard about it yet, but we had a shooting out in the Haight Saturday morning.\"\n\n\"Vogler.\"\n\n\"Right. Me and Debra pulled it and here I am out there at seven-thirty or so and there's no place to park so I double up out on Ashbury\u2014\"\n\n\"And you got tagged.\"\n\n\"Yes, sir. Again.\" He came forward in his chair and placed the parking ticket on the desk. \"The thing is, somebody's gotta talk to them and make them cut this shit out.\"\n\nGlitsky lowered his hands, his mouth expressing distaste.\n\nBracco, who'd mentored under Glitsky in his first weeks of homicide duty, knew his lieutenant's disdain for profanity as well as anyone, and he shrugged. \"You know what I mean.\"\n\nGlitsky's shoulders rose and fell. \"How many does this make?\"\n\n\"For me? Like six or seven this year. Others guys might have more. I figured I had to talk to you about it.\"\n\nGlitsky linked his fingers on the desk in front of him. \"You think this is important?\"\n\n\"Yes, sir. I do. Enough is enough.\"\n\nGlitsky nodded. \"And what would you have me do?\"\n\n\"Well, number one, get these tickets erased. I'm out trying to do my job and I have to stop and fill in this totally bogus form. That's just wrong, Abe. So I thought maybe you could talk to somebody in traffic and just make it a rule that they can't tag us like this. Tell 'em that pretty soon it's going to cut into the time we need for our sensitivity training. That ought to do the job.\"\n\n\"Good idea, Darrel. They're always asking me how I can improve their operation, and now I'll have something to tell them.\" Glitsky scratched at his jawline. \"Or, alternatively, of course, you can fill in the form. Or go to traffic yourself and make friends with whoever's running the place now, plead your case. That might work.\"\n\nNot giving in, Bracco said, \"I thought if it came from higher up . . .\"\n\n\"Tell you what, Darrel, I'll mention the issue at the next chief's meeting, which is in about two hours. I'm sure they'll give it all the time it deserves. Meanwhile\"\u2014Glitsky pointed at the citation\u2014\"you hold on to that particular ticket. Call a reporter, maybe Jeff Elliot, have him come down and pitch him a 'CityTalk' column.\" Suddenly, the lieutenant pushed himself back from his desk and stood up. \"I don't have you yet on the board.\"\n\nComing around, he went to the Active Homicide whiteboard and wrote the name VOGLER in the victims' column, then BRACCO\/ SCHIFF under inspectors. Finishing, he took a step back over to his desk and rested a haunch on the corner of it. \"So where are you on that?\"\n\n\"Couple of steps beyond nowhere, but only that.\" Bracco filled Glitsky in on some of the basics: the lack of signs of struggle, the backpack full of marijuana, the apparent murder weapon in the alley. \"Because of the dope we got a warrant and searched his house on Saturday afternoon. And guess what? The guy had a full hydroponic pot garden in his attic.\" Bracco waited for a reaction, a nod, something to acknowledge this discovery. But Glitsky was just staring over his head, his bloodshot eyes vacant and glassy.\n\n\"Abe?\"\n\n\"Yeah.\" Coming back. \"What?\"\n\n\"An attic full of pot plants.\"\n\n\"Good,\" Glitsky said.\n\n\"Yeah, we thought so. To say nothing of the computer records. The guy kept pretty good records on his clients and the wife, common-law, Jansey, didn't think to delete them before we got there.\"\n\n\"So she knew.\" Glitsky's gaze drifted back up to the ceiling.\n\nBracco nodded. \"Well, yeah. Meanwhile, she, the girlfriend, Jansey, moved out with the kid, back in with her parents, about six months ago for a while.\"\n\n\"Why was that?\"\n\n\"Just working things out with the relationship, if you believe her, which Debra doesn't.\" Again, since he wasn't getting anything resembling normal feedback from Glitsky, Bracco waited. After several seconds he went on reporting. \"He beat her up. Sir?\"\n\n\"Beat her up. Yeah. Go on.\"\n\n\"And because of the weed still there in the backpack, we're leaning toward some other motive besides that, maybe personal. Maybe like she got tired of getting hit. Jansey.\"\n\nGlitsky nodded wearily. \"Alibi?\"\n\n\"That's another thing. They've got a boarder living in a room behind their garage. Young guy, med student at UCSF. Robert Tripp. Says he was with her. The kitchen drain was clogged up. He was helping her.\"\n\n\"Okay.\"\n\n\"Well, okay, except we're talking about six-thirty on a Saturday morning.\"\n\n\"Pretty early,\" Glitsky said.\n\n\"That's what we thought. Meanwhile, Vogler, the vic, worked all day six days a week.\"\n\n\"So Jansey and Tripp are hooked up?\"\n\n\"Not impossible by a long shot.\"\n\n\"So what's next?\"\n\n\"We talk to him, see if the alibi story holds up. If not, I go back and hit Jansey pretty hard. But on the chance that it's the weed in some way, Debra's got the list of clients she's working through.\"\n\n\"He kept a list?\"\n\n\"He was an organized guy. Names, cell numbers, average buy disguised as coffee, dates. Of course, proving that this list was his marijuana customers won't be easy. Nobody's going to admit they were buying dope.\"\n\n\"How many of 'em are there?\"\n\n\"Seventy or so. It might take a few days.\"\n\n\"So what'd he do, unload this stuff at the coffee shop?\"\n\n\"That's the theory. He managed the place and had it all to himself, seems like.\"\n\n\"But he didn't own it?\"\n\n\"No. The owner's a Maya Townshend. We're talking to her today, see what she knows, but the staff down there says they don't know her, she never came in the shop.\"\n\n\"If he's dealing to seventy people, maybe it's a turf thing.\"\n\n\"That might turn up. Oh, and last but not least, Vogler had a record. Robbery back in ninety-six. Jansey says he was just the driver and didn't even know what his friends were doing, but I pulled up the file and he was not an altar boy. They let him plead to one count, but the smart money says he was already in the life and just ran out of luck.\"\n\nGlitsky took in that information in silence. After a minute, frowning at the effort to stay involved, he looked down at Bracco. \"What about the gun on the street, with Vogler?\"\n\n\"No idea, Abe, other than it was probably the murder weapon.\"\n\n\"Probably? They didn't run ballistics?\"\n\n\"Sure. But it's our old pal the Glock hex-barrel. Bullet's consistent with the gun we found. The casing didn't have enough markings for positive ID. But we got one Glock .40 with a round fired, one bullet from a Glock .40, and one casing from a Glock .40. And we're running registration today. It's got a number.\"\n\n\"Will wonders never cease?\"\n\n\"Well, we'll see.\" Bracco sat back in the folding chair. \"So as I say, a lot's going to hang on Jansey's alibi, but if it holds up, we're about at square one.\"\n\nGlitsky nodded and nodded.\n\n\"Sir,\" Bracco asked, \"is everything all right?\"\n\nGlitsky looked through him, then focused on his inspector. \"Fine,\" he said. \"Everything's fine.\"\n\nTwenty-six-year-old Robert Tripp's one-room studio was a narrow rectangle, about ten by fifteen, tacked onto the back of the garage. It featured a Formica counter with the butcher-block knife holder of a serious cook, every slot filled with high-end cutlery\u2014carving, boning, and filet knives of various sizes, an impressive cleaver, and a sharpening steel. Also a sink and four-burner gas stove. A small shower-, sink-, and toilet-only bathroom in one corner.\n\nHe'd papered the walls with enlarged, full-color details of human body parts from his medical literature. The double bed was made up. A flat-screen television sat on a Goodwill desk below half a wall of Ikea bookshelf packed with CDs, magazines, paperbacks, and some folded clothes. A well-used bicycle hung from the ceiling.\n\nIt was a little after two P.M., and with the predictable volatility of San Francisco weather, the weekend's heat wave had been replaced by an Arctic afternoon, as an early fog had started to drift in just about when Schiff and Bracco had pulled up and parked on the street out front.\n\nNow the two inspectors sat across from Tripp, in his medical scrubs, at his table in front of the solitary window that looked out onto a small grassless backyard bounded by a weathered brown fence, and with molded-plastic swings and a sliding board play-set erected in an island of tanbark.\n\n\"The disposal was backed up,\" Tripp said. \"I already told you guys this.\"\n\n\"We believe you,\" Bracco replied. \"We're trying to get the timing clear, that's all. You said this was at six-thirty?\"\n\n\"Give or take. It was still dark out, so it couldn't have been much later.\"\n\nSchiff, sitting back from the table with her legs crossed, canted forward a bit. \"And Jansey felt okay coming over to knock at your door at that hour?\"\n\nThe young man lifted his shoulders and let them fall. A couple of days' stubble darkened his cheeks and the bloodshot brown eyes said he hadn't been getting a lot of sleep; that combination lent a few years to an otherwise young face. \"I was already up, studying. That's all I do, every waking hour, is study. Anyway, she probably saw the light was on.\"\n\n\"She couldn't fix the disposal herself?\" Bracco asked.\n\nHe shrugged again. This seemed to be his default mannerism. \"Ben. You know Ben? Her kid? He had a stomachache. He woke her up and told her about it right after his dad left for work. He'd been trying to do the dishes they'd left in the sink or something and then it overflowed and he left the water running. The place was a mess. The kid was a mess.\" He broke a smile. \"It was a messy morning. Jansey was freaking out a little. That's all it was.\"\n\n\"And this was before she heard about Dylan?\" Schiff asked.\n\n\"Of course.\"\n\n\"What was she wearing?\" Bracco asked.\n\n\"When?\"\n\n\"When she knocked on your door.\"\n\n\"I don't know. I don't remember. Jeans, I think, maybe a T-shirt. Why?\"\n\nBracco came back with another question of his own. \"So she was dressed? Shoes? Socks? A jacket?\"\n\nTripp frowned. \"Of course she was dressed. Why wouldn't she be dressed?\"\n\nSchiff supplied the answer. \"If she'd just gotten woken up by her son and there was disaster going on below, she might have just thrown on a robe or something.\"\n\nTripp shook his head, impatient. \"I just told you I didn't remember exactly what she was wearing. I thought it was jeans and a T-shirt. That's what she usually wears.\"\n\n\"You wouldn't have noticed,\" Bracco asked, \"if she was in a robe? Maybe you were used to seeing her in a robe.\"\n\nTripp sat back and crossed his arms. \"What's that supposed to mean?\"\n\n\"It means maybe you were used to seeing her in a robe.\" Bracco came forward in his chair. \"What is your relationship with her?\"\n\n\"With Jansey? We're friends.\"\n\n\"Friends with benefits?\"\n\n\"You mean am I sleeping with her? No, I'm not. Did I like her getting hit by Dylan? No to that one too. Did she come over here to talk about Ben or her life sometimes? Yep.\"\n\nSchiff took over the questioning. \"Did you know Dylan well?\"\n\nThe topic shift slowed Tripp down. \"To talk to. He was my land-lord. He didn't treat Ben or Jansey right, but that really wasn't my business. I can't say I'm brokenhearted to see he got killed. He put on a good act, but he wasn't really that nice a guy. Jansey's going to be better off without him.\"\n\n\"So.\" Bracco, elbows on the table, asked, \"So you were already up when Dylan went to work Saturday morning?\"\n\n\"I don't know when Dylan went to work. But if it was after four, I was wide awake, in here studying until Jansey came to the door.\"\n\n\"And that was about six-thirty, you said?\"\n\n\"I said I didn't know the time for sure. Only that it was still dark.\"\n\nAfter the inspectors left, Tripp followed them outside to make sure they were leaving. When the car started up and headed down the street, he walked to the back door, opened it, and walked inside. \"Jan!\"\n\nIn a minute she was in the hallway coming toward him and then she was in his arms. They held each other for a long moment until finally Tripp pulled out of the embrace. \"At the very least,\" he said, \"they suspect. They asked me directly about us, but I said no, we were just friends. And how are they going to prove otherwise?\" Looking back behind her, he went on. \"So from the resounding silence I'm guessing they finished up there too.\"\n\nShe nodded. \"They got it all, every leaf, every bud, every seed.\"\n\n\"Jesus.\"\n\n\"It's okay, actually,\" she said. \"I can always start up again when this has all blown over. I've been thinking maybe it would be better if I didn't go back to it at all. The inspectors took all the records, all the buyers, so I'd have to start completely from scratch. And you know they'll be watching the house . . .\"\n\n\"I doubt that. They've got better things to do, Jan. I mean, when they're done with this case. They're not coming back here to check your attic again.\"\n\nShe nodded. \"You're probably right, but even so. It's no way to make a living. Maybe I'm just starting to realize that now, living in fear all the time that you're going to get caught.\"\n\n\"So how much are you getting from the insurance?\"\n\n\"Three hundred. That's at least a few years. I could do something else.\"\n\n\"I'm sure you could,\" he said. \"Anything you wanted, probably.\"\n\n\"And you wouldn't care?\"\n\nHe laughed quietly. \"Jan, I'm going to be a doctor. I'm going to make money hand over fist. You're going to be able to do anything you want.\" He drew her back into him. \"So where's our little Benjamin now?\"\n\n\"He's still at my mom and dad's.\"\n\n\"So we're actually alone? What are we waiting for?\"\n6\n\n**Maya Townshend's home** was a big cut above average even in its very prestigious location. Behind a sculpted rose garden the residence rose four stories on the large northeast corner lot of Green and Divisadero. Behind it the escarpment dropped off precipitously down to the Marina, which meant that all of Maya Townshend's back and west-side windows\u2014all forty-six of them\u2014had killer views of the bay, the rust-red Golden Gate Bridge, the Marin headlands.\n\nIt was a multimillion-dollar property, and standing out in front of it, Bracco whistled. \"There's more money in coffee than I thought.\"\n\nSchiff stared at the immensity of the house, shaking her head. \"This isn't coffee money, Darrel. Unless she also owns Starbucks. But in that case Bay Beans West would have been a Starbucks, right? No way she wouldn't have gone for the brand name.\"\n\nIt was closing in on one o'clock, the schizophrenic temperature back up near seventy. Above them, high clouds drifted in the blue. A fitful breeze, barely strong enough to ruffle Schiff's hair, hinted of another change in the weather, but for the moment it was nice.\n\nThe ornately carved door had an eight-toned ring.\n\n\"Lord, we thank thee. We bow our heads.\"\n\nSchiff turned to him. \"What?\"\n\n\"Those bells. The song that goes with it. Lord, we thank thee. We bow our heads. You watch,\" he said. \"She's Catholic.\"\n\n\"Maybe, but the Ferry Building, you might not have noticed, plays the same song.\"\n\n\"Maybe it's a Vatican plot.\"\n\nBefore Schiff could come back with a suitable wisecrack, the door opened to an attractive dark-haired woman in her early thirties who dressed as though she'd never heard of the Haight-Ashbury, or blue jeans, for that matter. In fact, she wore a grown-up, upscale version of the uniform for a Catholic girls' school\u2014a plaid skirt over a white shirt under an argyle sweater. Her hair curled under at the shoulders. Green eyes, flawless skin.\n\nBracco and Schiff hadn't specifically told her when, or even if, they'd be coming by. Schiff had talked to her by telephone briefly over the weekend and said that the police might like to interview her sometime about Dylan Vogler and the business she owned, but she'd purposely refrained from making an appointment. There was the possibility that Maya wouldn't be in when they came to call, of course, but that downside was more than offset by the chance to catch her before she'd talked to a lawyer or given too much thought to what she might want to tell the inspectors.\n\n\"Hello,\" she said. \"Can I help you?\"\n\nBracco had his ID out. \"Police inspectors, ma'am. Homicide. We wonder if we might have a word. On the Dylan Vogler matter.\"\n\n\"Sure. Of course.\" She stepped back, maybe unable to come up with an excuse on the spur of the moment why this wasn't a great time\u2014and invited them inside, through a large square foyer with a thirty-foot ceiling.\n\nSchiff stopped, agog at the panorama through the enormous windows. Apparently her reaction wasn't that unusual.\n\nMaya stopped and presented the view as though it belonged to her. \"I know,\" she said. \"We're very fortunate.\"\n\n\"You must be selling a whole lot of coffee,\" Bracco said.\n\nMaya's contralto laugh was unforced. \"Oh, this doesn't come from BBW. This is all Joel, my husband. He's in real estate. The coffee shop is really more or less a hobby for me, to keep me busy.\"\n\nSchiff came at her with a casual tone. \"I understand you don't spend much time there.\"\n\nMaya nodded. \"Yes, that's true, very little. But I do most of the books, approve the ordering, sign the paychecks, that kind of thing.\" She shrugged apologetically. \"It might not be really true, but I feel like I'm somewhat involved. It's good to have something keeping you busy besides the kids and outside of housework. Maybe you know.\"\n\nNeither Schiff nor Bracco was married, so maybe they didn't. But Bracco kept the early patter alive. \"But the place breaks even?\"\n\n\"Oh, much better than that. Last year we grossed around forty thousand a month. It's actually quite a little gold mine, all things considered. People really like the place.\" Suddenly a pout appeared. \"I'm sorry. What kind of hostess am I? Here we are all standing around. Would you like to sit down? Can I get you some coffee or something?\"\n\n\"Sitting's good.\" Bracco lowered himself onto an ottoman. \"Nothing for me, though.\"\n\nSchiff took one end of the overstuffed floral-print couch. \"I'm fine too.\"\n\nFor another second or two Maya stood expectantly, then she shrugged and took her place at the other end of the couch. \"So all this business talk is interesting to me, of course, but that's not why you're here. How can I help you?\"\n\nSchiff threw a look over to Bracco, and he came forward slightly. \"Well, let's get the hard stuff out of the way first. How long had Dylan Vogler managed BBW?\"\n\nMaya's lips turned up. \"That's not a hard one. He pretty much started when I opened, which was ten years ago, and took over full-time about two years later.\"\n\n\"Were you aware,\" Bracco continued, \"that he was selling marijuana out of BBW?\"\n\nAll traces of animation left her face. \"To be honest, I had heard a couple of rumors.\" She looked at Schiff.\n\nThe female inspector nodded. \"They were evidently true. He was growing high-grade marijuana in his attic. He had a backpack full of it on him when he was shot. He's got records at his house for about seventy regular clients, a couple dozen of which we've already talked to. He sold it out of the store.\"\n\nMaya's hand went to her mouth. \"I didn't realize it was\u2014\"\n\n\"So\"\u2014Bracco kept up the press\u2014\"you didn't know that he had a criminal record?\"\n\nHer brow clouded as she whiplashed back to Bracco. \"Well, yes. I knew about that. But that was a long time ago.\"\n\nSchiff again. \"Before he worked for you.\"\n\n\"Right.\"\n\nBracco, double-teaming. \"You knew about his record when you hired him?\"\n\n\"Of course.\"\n\n\"Of course?\" Schiff asked.\n\nMaya nodded. \"We were friends. We'd been friends in college, USF. I knew he'd made a mistake, but he'd paid for it, and I had an opportunity to help him get back on his feet. It didn't seem like any kind of risk. He was a good guy and everybody liked him. He's been an ideal manager for all this time.\" She paused. \"I can't believe he was selling dope over the counter at the store.\"\n\n\"That's pretty much established, ma'am,\" Bracco said. \"Do you mind telling us how much he made working for you?\"\n\nFor the first time Maya showed a reluctance to answer. Her back straightened for a second. \"I don't see what that has to do with anything.\"\n\n\"Nevertheless,\" Schiff said, \"it could save us some time.\"\n\nStill rigid on her corner of the couch, now no longer smiling, Maya looked at her hands in her lap. \"He made ninety thousand dollars a year. Seventy-five hundred a month.\"\n\n\"A lot of money,\" Schiff said.\n\n\"As I said,\" Maya responded, \"the store made money. And largely because of Dylan's management. He did a good job, and I thought it was fair to pay him well.\"\n\n\"What's a manager of a Starbucks make?\" Schiff asked.\n\nMaya shook her head. \"Less than that, I'm sure. But that doesn't matter. I'm not a big multinational corporation. I don't have stock-holders. I can pay him whatever I want. He worked hard and I wanted to keep him happy, so I paid him well. As I said, we were friends in college. Once I got him set up, and especially once he started having a family, I felt a responsibility for him. Is there anything wrong with that?\"\n\nSchiff shook her head. \"Nobody's saying there is, Mrs. Townshend.\"\n\nBut Bracco wasn't ready to stop mining this vein. He jumped in quickly. \"So did you and your husband socialize with Dylan and his wife?\"\n\n\"No,\" Maya said. \"No. Not very much. He's my employee, after all. We have very different lives now.\" Suddenly seeming to realize that she'd exposed herself somehow, Maya relaxed back into the couch, trailed an arm along the armrest. \"I'm afraid I don't understand what all these questions are about. Do you think I had something to do with Dylan's death? Or knew more about his marijuana business? I don't even know what's going to happen to BBW now. I may put it up for sale. Joel and I don't need it, and now that Dylan's gone, there's no real reason . . .\" She shook her head and shrugged.\n\n\"Reason for what?\" Schiff asked.\n\n\"I mean, to keep the place. I certainly don't have the time to go back in there and work it every day. I don't know what I'm going to do.\" By this time her eyes had taken on a brightness and shine\u2014she seemed to be near tears.\n\n\"Mrs. Townshend\"\u2014Schiff laid a hand on the couch between them\u2014\"we're trying to get some idea of who might have had a reason to kill Dylan. It's possible he said something to you, something he was worried about, a staff problem. Did he fire anybody recently, for example?\"\n\n\"No. The staff's very loyal. He didn't mention anything like that. I really just don't have any idea. Maybe it was just a random shooting.\"\n\n\"Maybe,\" Bracco said, \"but he wasn't robbed, so that leaves us scratching for a motive.\"\n\n\"If it's not something to do with the marijuana,\" Maya offered, \"I just can't imagine what it would be.\"\n\n\"All right, ma'am.\" Bracco got to his feet. \"One last quick thing. Just for the record, would you mind telling us where you were Saturday morning?\"\n\nClearly, the question offended Maya, but she recovered. \"I went to six-thirty Mass.\"\n\n\"On Saturday?\" Bracco asked.\n\n\"I go to Mass most Saturdays. And Sundays too. It's not too fashionable anymore, I suppose,\" she said, \"but it brings me a lot of peace.\"\n\n\"Well, here's to peace,\" Schiff said. \"Can't have too much of that.\" She rose from her own seat, flashed a perfunctory smile. \"We may need to speak with you again at some point.\"\n\n\"That'd be fine,\" Maya said, \"if it will help you find whoever shot Dylan.\"\n\nBracco and Schiff were driving back downtown. They were stopped at a light at Van Ness Avenue, and Bracco was in the passenger seat. Schiff was talking. \"So they're friends from college, and she feels responsible for him and his family, but they don't see each other socially and still she pays him nearly a hundred grand a year. This sings for you?\"\n\n\"Why not?\" Bracco said. \"You notice her house? Her husband's doing okay.\"\n\n\"So why didn't she just sell the shop to him? Dylan?\"\n\n\"I don't know. Maybe she hadn't thought of it. Maybe he didn't ask. It wasn't broke, so she didn't need to fix it.\"\n\nThey rode a few blocks in silence. Then Schiff said, \"Another thing.\"\n\n\"You're really chewing on this, aren't you?\"\n\n\"Tell me why there's no reason now to keep the shop. It's pulling in half a mil a year. She hires another manager, pays him half of what she paid Dylan, it's still making a half a mil a year. I'm not a business gal, but I don't see selling something that's making me half a million dollars a year.\"\n\n\"She doesn't need the money.\"\n\n\"Give me a break, Darrel. Half a million dollars to do basically nothing?\"\n\nIn the passenger seat Bracco shrugged. \"She'll sell it for five times that and it's out of her hair forever.\"\n\n\"I've got to think she owed him something. Dylan.\"\n\n\"What?\"\n\n\"If she kept it open just to keep him getting paid.\"\n\n\"You're fishing.\"\n\n\"I am, but I got a license.\" They rode in silence for a half a block.\n\nThen Bracco looked across at her partner. \"I thought you were leaning toward Jansey.\"\n\n\"I was, maybe I still am. I like to keep an open mind. But something Robert Tripp said stuck with me.\"\n\nAfter a couple of seconds Bracco said, \"He didn't give us anything except the alibi.\"\n\n\"No. In fact, he did. He said Ben went and woke up his mother Saturday morning, remember?\"\n\nHe nodded.\n\n\"Well,\" Schiff went on, \"we can always double-check\u2014and I intend to\u2014by asking the kid about it, but that's the kind of detail I don't see Tripp or anybody else making up. That's the story as he knew it. And if it's true, it means Jansey hadn't left the house early to go down and lie in wait for Dylan at the store. She could have shot him way closer to home anyway.\"\n\n\"So how about Tripp?\"\n\n\"As the shooter?\"\n\nBracco nodded again. \"He admits he was up. Maybe it's him who went to the store instead of Jansey. He could have thought he was protecting her, who maybe he's got a thing with, in spite of him saying no. Or wants to have one.\"\n\n\"Why?\"\n\n\"Why what?\"\n\n\"Why do it at the store?\"\n\n\"I don't know. He says he's walking to school to study and they go down together. Then, maybe he knows Dylan's carrying a gun. And they're kind of friends, so he asks Dylan if he can just see it for a minute. And bang.\" He darted a quick glance at Schiff. \"That accounts for the lack of any struggle. He caught him off guard, threw the gun away, ran back home in time to unplug the sink.\"\n\n\"Maybe,\" Schiff said. \"Could have happened.\"\n\n\"But?\"\n\n\"But nothing. As I say, I'm keeping an open mind.\"\n7\n\n**The next day, Tuesday** , Dismas Hardy sat at a small two-top against the back wall of Lou the Greek's, nursing a club soda and lime. As it was still well before noon, the lunch crowd hadn't yet materialized, and looking around him at the grungy, dark, semisubterranean watering hole and restaurant, Hardy marveled anew\u2014as he did nearly every time he came here\u2014that the place did any business at all, much less accommodated the booming daily influx of people who worked in and around the Hall of Justice just across the street.\n\nAfter all, this was San Francisco, restaurant town extraordinaire. You could eat like a king at a couple of dozen places within a half-mile radius\u2014elegant ambience, exotic ingredients, world-class chefs, superb professional service.\n\nWhere you wouldn't find any of the above was at Lou's. The eponymous Lou had a Chinese wife named Chiu who had all the creativity of any of the city's celebrated cooks, a fact she proved every day with the Special, which was the only menu item the place served. While showcasing Chiu's culinary wizardry, the Special also revealed a glaring blind spot in her originality\u2014she believed that her creations should always and only include native dishes and ingredients from her own China and from Lou's Greece. Together.\n\nIt wasn't exactly what the rest of California was eating under the name Pacific Rim fusion, but within her rather limited universe, Chiu for years had been inventing meal after adventurous meal featuring often-bizarre combinations of wontons, bao dumplings, grape leaves, tsatsiki, cilantro, duck, squid, olives, yogurt\u2014some of which were tasty, many not. It didn't seem to matter\u2014the crowds kept coming, packing the place for lunch five days a week.\n\nToday the Special, sweet and sour spanakopita with five-spice lemon chicken, had Hardy thinking about passing on that selection and walking uptown to Sam's Grill after his meeting, ordering some sand dabs and a nice glass of Gavi. If she'd only left out the sweet and sour, he was thinking . . .\n\n\"Hey, Diz.\"\n\nHardy, caught unawares in his daydreaming, pushed his chair back and stood to shake hands with Harlen Fisk, a member of San Francisco's Board of Supervisors and nephew of the mayor, Kathy West. Fisk, at a couple of inches over six feet, weighed in at around two hundred and fifty pounds and cut an impressive figure in his tailored Italian suit.\n\nHardy had first met him when Harlen had partnered with Darrel Bracco and worked for a time as a hit-and-run inspector in the homicide detail. The cop phase had been just another step in the man's political grooming\u2014he was going to be West's handpicked successor and everybody knew it. At forty-one he was getting to be the right age now, but if he was impatient with the wait to become mayor, he didn't show it.\n\nNow, sitting down, he glanced at the Special card and grimaced. \"You know,\" he said, \"spanakopita by itself is a fine dish. Why's it have to be sweet and sour?\"\n\nHardy broke his grin. \"I just was thinking the exact same thought. And here's another one\u2014if it's five-spice lemon chicken, doesn't the lemon make it six spices? And what are the other five?\"\n\n\"I think five-spice is more or less considered one spice. Like curry.\"\n\n\"I thought curry was one spice.\"\n\n\"No. It's a mixture. That's why you have different flavors and heats of curries. Different mixtures of stuff.\"\n\n\"Dang. Just when you think you've got it all figured out,\" Hardy said. His eyes brightened. \"Maybe they'd hold the sweet and sour if we asked.\"\n\nFisk nodded. \"We could always try, though history argues against it.\"\n\nTen minutes later, they were served. It turned out that, as expected, the sweet and sour was integral to this particular version of spinach in filo dough and couldn't be substituted out; less expectedly, when Fisk took his first bite, he discovered that it tasted pretty good. He told a still-skeptical and reluctant Hardy, \"My kids like ketchup on spinach. This is kind of similar.\"\n\nHardy took his own small bite, chewed, shook his head in admiration. \"The woman's a genius.\" He forked a larger portion. \"So,\" he said when he'd swallowed, \"what's up?\"\n\n\"My sister,\" Harlen said. \"My little sister, actually. Maya. Her last name's Townshend now. She wants to talk to a lawyer and I thought I'd recommend you, if you were interested.\"\n\n\"In all probability,\" Hardy said, \"if it's not a divorce. I don't do divorce.\"\n\n\"I don't blame you,\" Fisk said. \"It's not that. What it is, is she owns Bay Beans West, a coffee shop out on Haight. You know it?\"\n\n\"I've driven past, sure.\" But then Hardy's brain caught up, and he pointed a finger. \"Somebody got shot there over the weekend. The manager?\"\n\n\"Right. Dylan Vogler.\"\n\n\"Is she a suspect?\"\n\nFisk had a rich two-note laugh and he used it. \"No, no, no way. You've got to know Maya. Little Miss Junior League, mother of two, sweetest thing you ever met. No, what happened is she just got a visit from homicide yesterday\u2014actually, in the small-world department, it was Darrel and his new partner. A woman.\"\n\n\"Debra Schiff.\"\n\n\"Must be, if you say so. Anyway, they came and talked to her and after they left she called and said maybe she ought to have a lawyer if she was going to be talking to the police.\"\n\n\"I love people who think like she does. And she's not all wrong.\"\n\n\"That's what I told her. You can't be too careful on that front, although in her case, knowing her, I'd say it's a bit of a stretch.\"\n\n\"What'd they ask her about? She tell you?\"\n\nFisk shrugged. \"It all sounded general to me. Her guy gets shot outside her store, they're going to want to talk to her, right? It turns out, evidently, that Dylan was selling dope out of the shop, and she thinks because she owned it, that might get her in trouble.\"\n\n\"She might be right. What kind of dope?\"\n\n\"Just weed, I think.\"\n\n\"How much weed?\"\n\n\"I don't know. Does it matter?\"\n\n\"It might if it was a major warehouse for distribution.\"\n\n\"I don't think it was that. It was mostly a happening coffee shop. But say it was.\"\n\n\"What?\"\n\n\"A major warehouse or something.\"\n\nHardy fixed him with a wary look. \"You know something you're not telling me?\"\n\n\"No, no. Just to know so I can tell Maya if she asks. What if this guy Dylan was moving large quantities? What would be Maya's exposure as the owner?\"\n\n\"I'm not sure,\" Hardy said. \"I'd have to look it up. Offhand, I'd say she's probably okay if she can prove she didn't know anything about it. But landlords in crack neighborhoods\u2014I mean, where they're selling out of every second apartment\u2014they've been known to get their property forfeited.\"\n\nThe word jacked Harlen right up. \"Forfeited! You mean the whole building?\"\n\nHardy held up a palm to calm him. \"Sometimes, but usually this is with bad guys, knee-deep in the business. If the feds get involved, they can take the whole property.\" Hardy knew that, actually, the city's own DA could try to take the property too; but they never would in this situation. He took a bite of his Special. \"But that's usually, as I say, when they know they've got a live one they're trying to hassle. And that doesn't sound much like your sister's situation.\"\n\n\"Not even close, Diz. She didn't know much, if anything, about this, I'm sure. She's a Goody Two-shoes and would never have taken that risk. Her husband is Joel Townshend\u2014Townshend Real Estate, struggling by on a couple of mil a year. Believe me, they don't need more money.\"\n\n\"I hate them already,\" Hardy said.\n\n\"Me too. But there you go. Anyway, the point is, the cops surprised her and got her nervous. You know how that is. So would you mind talking to her?\"\n\nHardy told Harlen that that went without saying, then pulled a small grimace. \"But it's just a shame she's already talked to them. That's all I was thinking. You know how long they were there, Darrel and Debra?\"\n\n\"She didn't say. Half hour or so, I gathered.\"\n\n\"Well, probably not too much damage done. As long as she didn't lie to them.\"\n\nFisk nodded comfortably. \"I don't think you have to worry on that score,\" he said. \"She wouldn't have done that. That's just not who she is.\"\n\nAfter telling Fisk to have his sister give him a call to make an appointment, Hardy crossed the street and walked into the massive gray stucco block that was San Francisco's Hall of Justice. He'd worked there as an assistant DA for a couple of years after law school, and then for most of another year when he'd started practicing law again after he'd woken up from his own grief-induced decade following Michael's death.\n\nHe thought it said something about the building's load of negative karma that after all the time he'd spent in it\u2014it was also where he'd tried the great majority of his cases as a defense attorney\u2014he still found the place oppressive. Back in the day the front doors at least had lent an air of expansiveness to the front lobby area. But since 9\/11 the terrorism experts had closed all but one doorway, covering the rest of the front window glass with plywood.\n\nNow everyone passed through the one door, waited in line, went through the makeshift joke of a security checkpoint, metal detector and all, and eventually emerged into the din and bustle of the ground floor, which housed not only the line for traffic court, serpentining its way out of the courtroom and past the elevators, but also the Southern Station of the San Francisco Police Department.\n\nSo uniformed cops were thick on the ground, as were lawyers, people visiting the jail upstairs, workers in the building. In its wisdom the city had also licensed a snack and coffee kiosk right out on the lobby floor, and the line of cheerful folks queuing up for their something to eat or drink often got tangled up with their counterparts happily awaiting their turn in traffic court. Hardy had heard that the record for most fistfights in a day over spaces in one line or another was six, although that was admittedly an anomaly. The average for actual blows struck was no more than one a week.\n\nBut because he'd met Harlen early to avoid the rush at Lou's, it was high lunch hour when he got to the metal detector, and all the various lines within and without the lobby seemed to have merged into one cacophonous mob. Finally, getting to the front of his own line, Hardy put his keys and his Swiss army knife onto the desk next to the metal detector and walked through, picking them up without any acknowledgment from the cop manning the station, who was turned around the whole time, arguing with another cop about when he was going to get relieved so he could have some lunch.\n\nHardy felt he could have put a Stinger missile on the table, walked through the metal detector, picked up the rocket, and gone on his merry way, and no one would have been the wiser. He'd seen plain-clothes cops walk through with guns and had always told himself that this was because the station cops at the detector knew the plain-clothes, but really he wasn't so sure. Maybe it was just a stupid system that didn't work.\n\nHis sense of the surreal was heightened when he turned the corner and watched the stream of people coming through the completely unsecured back door between the Hall and the jail. The door was supposed to be locked, but anyone who worked in the building for more than a few months could get a copy of the key. And polite folks that they were, many would routinely hold open the door for anybody else trying to walk in at the same time.\n\nMaybe, he thought, that's why the cops at the metal detector were so lackadaisical. They figured that anybody who had a gun would probably have the sense to walk around the building and come in the back.\n\nFinally, entertained by his musings, Hardy made it to the elevator, pressed \"5,\" and rode up pressed by the crush of bodies against the side wall, resolving he would never again come here for a social call, as he was doing now.\n\nWhen he was being paid, okay, but this was lunacy.\n\nBy contrast the hallway on the fifth floor was a haven of serenity. Still with all the charm of an Eastern bloc housing project, still a sterile airless walkway with industrial green tile and fluorescent lighting, but peaceful nonetheless, somehow\u2014strangely\u2014comforting, even welcoming, after what he'd come through to get there.\n\nHe walked down about halfway and turned into the door marking the homicide detail. Neither of the two clerks assigned there were at their positions, so Hardy lifted the hinged counter that separated the room and went through to the hall leading to Glitsky's office. With the metal detector still fresh in his mind and his Swiss army knife in his pocket, it occurred to him that he could quite easily take a few more steps into Glitsky's office and cut his friend's throat and walk out, and in all probability no one would ever know.\n\nThe thought brought half a smile. It was a funny world, Hardy thought, if you knew where to look.\n\nNow here he was at Glitsky's door, but it was closed, locked up. He knocked once, waited half a second. If Abe was in, traditionally the door would be open or at least unlocked. He turned to leave and heard a drawer slam inside. \"One minute.\"\n\nGlitsky looked like hell\u2014ashen and drawn\u2014and for a moment Hardy thought that Zachary hadn't made it and that Abe had only just heard.\n\n\"Tell me he's okay,\" he said.\n\n\"The same.\"\n\n\"The induced coma?\"\n\nA nod, and Hardy took a breath of relief. Glitsky squinted out of the gloom of his office at his best friend. \"What do you want?\"\n\n\"Nothing. Just checking in.\"\n\nWhen Treya came by his house to pick up Rachel and take her to school that morning, Hardy had been stunned to learn from her that Abe had gone in to work. Treya, as usual, had defended him\u2014they'd done the brain-opening surgery on Zachary Sunday morning and there was nothing to be done with him now for at least the next several days, during which time they'd be keeping him in what was apparently called a pentobarbital coma. Abe could either sit in the waiting room at the hospital going crazy, or go to work and hope the day passed more quickly. He'd chosen the latter.\n\nNow, after another few seconds staring at nothing, Glitsky turned back toward his desk and Hardy followed him in. Closing the door, Hardy reached for the light switch, thought better of it, pulled around a chair, and sat. A diffuse light from the high windows kept the place from utter darkness, but reading here would be a stretch.\n\nGlitsky sat with his arms crossed over his chest, his eyes focused somewhere a foot or two above Hardy's head. From time to time he'd draw a breath, but nothing so deep as a sigh. There was resignation in the wasted face, but no rage, usually Glitsky's default emotion.\n\nThe lack of anger worried Hardy.\n\n\"Yesterday morning Treya said they're keeping him unconscious for a few days,\" he said at last. \"You got any more than that?\"\n\n\"No.\"\n\n\"She said the operation was a success.\"\n\n\"In the sense that he lived through it.\"\n\n\"I thought it gave the brain room to swell.\"\n\n\"Right. That's what it does.\"\n\n\"Then what?\"\n\n\"What do you mean?\"\n\n\"I mean, what are you looking at? What's the prognosis?\"\n\nGlitsky brought his eyes to Hardy's. It seemed a long time before he spoke. \"Either the swelling's going to go down and he gets better to some degree, although we can't know how much for a couple of months\"\u2014he hesitated\u2014\"either that, or one of the clots breaks up too much or any other random thing happens and he dies.\"\n\nThe silence gathered.\n\n\"You know,\" Glitsky said quietly at last, \"I'm thinking it wouldn't have been the worst result if the heart thing had killed him when he was born.\" Zachary's birth had been accompanied by the discovery of a heart murmur, which, though later found to be benign, had raised the specter of his early death from congenital heart failure. \"At least that wouldn't have been my fault.\"\n\n\"This wasn't your fault, Abe.\"\n\nGlitsky shook his head. \"You weren't there.\"\n\n\"Treya told me what happened.\"\n\n\"She wasn't there either.\"\n\n\"So tell me.\"\n\nGlitsky's gaze went back to the ceiling. He unfolded his arms and put his palms flat on the desk. \"He was right next to me. I mean, all I had to do was block him, one foot in front of that big fucking wheel.\" Glitsky's unaccustomed profanity hung in the room, a boundary crossed. \"Instead I walked over to get his helmet, which should have been on him first.\" He leveled his gaze. \"Five seconds, Diz. Five stupid seconds.\"\n\n\"You know why they call them accidents, Abe? They're nobody's fault.\"\n\nGlitsky lived with that for a minute. Then, \"I think I'm going to quit.\"\n\n\"Quit what?\"\n\n\"This.\" Glitsky gestured around at the office. \"Here.\"\n\n\"How would that help?\"\n\n\"I don't know. Maybe it wouldn't.\" He brought a hand to his forehead, rubbed at the bridge of his nose. \"What were we saying?\"\n\n\"I've got an idea,\" Hardy said. \"Why don't you go home and get some sleep? Take a few days off while this shakes out.\"\n\n\"And what? Just wait?\"\n\n\"What else are you doing here?\"\n\nGlitsky looked through him for about five seconds. Finally, he nodded and started to push himself back from the desk, then stopped and reached for his telephone. He punched a few numbers, then after a moment spoke into the receiver. \"Hey,\" he said. \"No, nothing new. Diz is up here. He thinks I ought to go home and get some rest. Maybe you want to do the same thing.\" He waited, listened for another second or two, then said, \"I'll swing by and pick you up on the way out.\"\n8\n\n**When Hardy got back** to his office on Sutter Street about twenty minutes after he'd left Glitsky, his receptionist\/secretary, Phyllis, greeted him out in the lobby with a chilly smile and the comment that since she kept his calendar, it might be helpful if he shared his appointment schedule with her from time to time.\n\n\"But I do,\" he said. \"Religiously.\" He put his hand over his heart. \"Phyllis, I hope you know with an absolute certainty I would never, under any conditions, make an appointment without sharing every detail of it with you.\"\n\nPhyllis cast her eyes heavenward in her perpetual exasperation over her boss's sarcasm. She threw a fast glance back over her shoulder, indicating a young woman sitting and perusing a magazine on the couch against the wall behind her circular workstation.\n\nHardy followed the glance. The woman turned a page in her magazine. \"She's here for me?\" he whispered with a bit of theatricality. \"It must be a trick to make me look bad in front of you. I swear I've never seen her before.\"\n\nPhyllis pursed her lips. \"She says she has an appointment, referred by Harlen Fisk. A Mrs. Townshend.\"\n\n\"Aha! She was supposed to call and make an appointment, Phyllis. Maybe she misunderstood. But the real good news is that this was not my fault.\" At her skeptical expression he added, \"Hey, it happens.\"\n\nLeaving his receptionist with a conciliatory pat on the arm, he breezed around her and in a couple of steps stood in front of his waiting guest. \"Mrs. Townshend? Dismas Hardy. Sorry to have kept you waiting.\"\n\nShe snapped the magazine closed and popped up to her feet, her mouth set in a prim line, her forehead creased with worry. Reaching out, she took Hardy's hand in a firm grip, as though now that he'd finally arrived, she didn't want to lose him.\n\n\"I asked Harlen to have you give me a call to make an appointment. I'm afraid I didn't expect you to come right on down.\"\n\nShe let go of his hand and brought her fingers up to her mouth. \"Oh, I'm sorry. I just thought . . . I mean, he told me where you worked and that he'd talked to you and I was free and just gathered\u2014\"\n\nHardy held up his own hand, stopping her. \"It's okay,\" he said. \"Timing's everything and yours couldn't be better. I was looking at a long tedious afternoon of administration, and now instead I get to chat with Harlen's sister.\" He broke a welcoming grin and guided her toward his office with a hand under her elbow. \"Does that also make you the mayor's niece?\"\n\n\"Yes.\"\n\n\"Well\"\u2014Hardy led her into his office\u2014\"I'm a big fan of Kathy's as well. Since back in her own supervisor days.\" Closing the door behind them, he motioned to the more casual of the two seating areas, a couple of wing chairs by a magazine table. \"Can I get you something to drink? Coffee? Wine? Something a little stronger?\"\n\n\"Actually . . . well, it's a little early, but I'm . . . I think I must be a little nervous. Maybe a glass of wine wouldn't be too bad.\"\n\n\"You don't need to be nervous,\" Hardy said. \"Nothing we say in this room leaves here if you don't want it to. Red or white?\"\n\n\"White.\"\n\n\"White it is.\" Hardy crossed over to the mirror-backed, granite-topped wet bar that took up most of one of his walls. The bar was a bit of a showcase piece, with a golden inlaid sink and gold faucet, one open shelf for the oversized wineglasses and another for the china cups, a large commercial espresso-making machine, and a selection of teas, mixers, and spirits arranged along the rest of the free wall space. Opening the half-sized refrigerator, he stopped and turned back to her again. \"Chardonnay or other?\"\n\n\"Other, I think.\"\n\n\"I think so too. Maybe I'll join you.\" He pulled out a bottle of Groth Sauvignon Blanc. Serving her, he said, \"If you think the bar service here is good, wait'll you see our legal work.\" He flashed what he knew was his professional disarming smile, sat down across from her, and took a sip of his wine, silently prompting her to do the same. \"Now how can I help you?\"\n\nAfter her first small sip she held her wineglass on her lap with both hands. \"I think I'm in trouble,\" she began. \"I don't know what to do.\"\n\n\"Let's see if the first part's true first, then see where that leads us. Why do you think you're in trouble? Because the police came to see you about your manager's death?\"\n\n\"Partly that. I don't know how much Harlen told you, but Dylan was selling dope\u2014marijuana only, I hope\u2014out of my store.\"\n\n\"Harlen told me you didn't know much about that.\"\n\n\"I didn't. Not really.\"\n\n\"Then you shouldn't be in trouble.\" He broke a smile. \"That was easy. Next problem?\"\n\n\"Really?\"\n\n\"You mean really you shouldn't be in trouble?\" He didn't feel he needed to go into the low-probability scenario of a forfeiture. \"Yes, really.\"\n\n\"But . . . well, I mean, I own the place. I'm the legal owner. If somebody trips and falls there, I'm the one who gets sued.\"\n\nHardy sat back, put an ankle on a knee, and took another sip of his wine. \"That's not the same situation. Nobody's suffering recoverable harm because they bought marijuana at your place. Who's going to sue you?\"\n\nBut she shook her head again. \"I'm not so worried, really, about getting sued. I'm worried about\u2014about the police coming to talk to me again.\"\n\nAgainst all of his training, and possibly because of the casual nature of Harlen's request that Hardy have a chat with his sister, Hardy was tempted for a moment to come right out and ask her if she had in fact killed her manager. Though he didn't for a minute think that this was likely, it was a question you normally didn't ask, an unspoken rule of the defense business. Because if you, the lawyer, didn't know, you would always be acting in technical good faith in your client's defense. And, of course, in theory it wasn't supposed to matter anyway. You argued the evidence that could be proved in court. Not necessarily the facts.\n\nSo, instead, he said, \"I'm guessing you really don't have anything to worry about.\"\n\n\"I don't know if that's true.\" She saw her wine sitting there on her lap and brought the glass to her lips. \"Why would that be true?\"\n\n\"Because your inspector, Bracco, used to be Harlen's partner in homicide. Did you know that?\"\n\n\"Okay, but what does that mean?\"\n\n\"Well, the first thing it means in the real world is that Bracco's going to find out you're Harlen's sister. Knowing Harlen's inherent shyness,\" he said with irony, \"he might even know by now. So unless Bracco's got something close to a smoking gun in your hand, he's going to be inclined to cut you some slack to begin with. You're the one who's lost your manager, so you've been victimized by this murder too. Plus, your connection to the mayor isn't going to make Darrel Bracco want to cause you any problems. Was he a little hard on you?\"\n\n\"A little bit.\" She hesitated. \"He seemed to think that there was something weird about how much I paid Dylan, or something about our relationship, I don't know what. But it just made me uncomfortable.\"\n\n\"It's supposed to. It's one of the things cops do when they interrogate people. They find a soft spot and go at it.\"\n\n\"But why did he think it was a soft spot?\"\n\n\"I don't know. How much did you pay him? Dylan?\"\n\nWhen he heard the number, Hardy kept his face straight and took a quick breath to hide his surprise. \"That's a real salary.\"\n\n\"I know. But he did a real job. He was good with the customers. I hardly ever had to be there. If ever. I felt he was worth it.\"\n\n\"Well, then, who's to argue? You own the place.\"\n\n\"Right. But Inspector Bracco, he wanted to know if we socialized together, Dylan and I.\"\n\n\"And?\"\n\n\"And I told him no, which is true. But he seemed to think that was weird somehow. In spite of the fact that Dylan and Jansey had their own life and it's nothing like mine and Joel's.\"\n\n\"Lots of business owners don't socialize with their employees,\" Hardy said. \"I don't see why Bracco would think it's strange that you don't.\"\n\n\"Maybe because I told him Dylan and I had been friends in college. This was before he did his time in prison, of course.\"\n\nHardy took a beat to let that settle. \"I don't believe I've heard about that yet.\"\n\nShe shook her head. \"It was a misunderstanding, a stupid juvenile mistake, call it what you will. He got involved somehow in a robbery and got caught. But long story short, when he got out, I was hoping to get the store up and going and . . . anyway, he started working for me.\"\n\n\"So you were close friends in college?\"\n\nHesitating, she tightened her mouth, checked out the windows behind Hardy. \"We weren't intimate, if that's what you're asking. We were friends.\"\n\nHardy brought his glass to his mouth, sipped, waited. She had more to tell him and he wanted to give her the space. She scanned the corners of the room, telegraphing to Hardy the jumble of her thoughts. He sat, unmoving, giving her time.\n\nFinally, with an intake of breath, she met his eyes. \"I suppose I wasn't exactly the same person then as I am now.\"\n\n\"I wouldn't think so,\" Hardy said. \"That was what? About ten years ago?\"\n\n\"Close enough.\"\n\n\"So you're saying that you and Dylan wouldn't have been friends if you met him now?\"\n\nShe shook her head. \"Not the same type of friends, certainly.\"\n\n\"And what type was that?\"\n\n\"Well,\" she said, \"we were a little wild, I guess. This crowd of us who just kind of found each other and got into doing stuff together, partying. Drinking, pranks, you know.\"\n\nHardy had an idea of what she was talking about. \"Dope?\"\n\n\"Mostly just weed,\" she said, \"but, yeah. Some cocaine, too, once in a while, when we could get it.\" She picked up her wineglass and drank half of it down. \"Hell, why am I sugarcoating this to you, Mr. Hardy?\"\n\n\"Dismas, please.\"\n\n\"All right. Dismas. We would try anything we could get our hands on. Weed, coke, Ecstasy, alcohol, mushroom, pills\u2014uppers or downers or whatever. It was funny,\" she went on, \"it wasn't like we were all stoned all the time. I mean, we had classes and most of us generally did okay in them, I think, but then we'd get together on weekends and just kind of blow it all out. It was really stupid.\"\n\n\"And you're afraid, now that the police have this dope connection to Dylan, that somehow all this you did way back then is going to come back and bite you?\"\n\nHer expression of gratitude and relief at his understanding made Hardy realize how seriously she was taking all of this. \"I really didn't want to know about him selling dope through the shop, but if they find out about the way we were in college, they're not going to believe me, no matter what I say. I don't know if _I'd_ believe me.\"\n\n\"Belief isn't the point,\" Hardy said. \"Is there anything on your books from the shop that might make it look like you were somehow profiting from his dope business?\"\n\n\"No. There couldn't be. I wasn't.\"\n\nHardy sat back, consciously pausing. He had no intention of getting answers from his new client relating to the facts of her guilt or innocence, but that's where this discussion seemed to be leading them. He put on what he hoped would be a neutral expression. \"Well, as I said earlier, given your connection to Harlen and the mayor, Bracco isn't going to be looking to open a can of worms investigating you.\" And then, in spite of himself, in an effort to give her a touch of comfort, he broke his own lawyer's rule and added, \"Not unless he's got something tying you to Dylan's murder.\"\n\nShe took this as a question and, evading it, swallowed, tried a smile, met his eyes, and quickly looked down.\n\nHardy, who'd been about to stand up and walk her out with a figurative pat on the head, checked himself and settled back into his chair. \"Is there anything else?\"\n\n\"Not really. But I'm just afraid it might look . . . I'd so really rather not talk to the police again. It's Joel too.\"\n\n\"Your husband?\"\n\nShe bobbed her head. \"He didn't know me back then. I met him after that time was over. I haven't been able to make myself tell him about too much of it. He thinks . . . well, he'd never think that I could have been the way I was. I don't think he'd have an easy time accepting it. We're the Townshends, after all. He's got investors who count on that. So there's a certain expected\"\u2014she sighed\u2014\"behavior. He's always wanted me to sell the shop, you know.\"\n\n\"Why was that?\"\n\n\"It just wasn't the kind of business he felt comfortable with. I think the bottom line was that he really just didn't like Dylan, didn't trust him, didn't understand why I kept him on and wouldn't let go of the place.\"\n\n\"Why wouldn't you? If you didn't need the money, and I presume you didn't.\"\n\n\"No. It wasn't the money.\" She hesitated, then finally came out with it. \"But the shop was my own. It made me feel like I was contributing. I just couldn't ever convince myself that there was a good enough reason to give it up.\" She let out a breath of pent-up frustration. \"Anyway, Harlen told me you could be there with me if the police want to talk to me again, just to make sure I don't say something wrong.\"\n\n\"I could do that,\" Hardy said, \"and of course I will do that.\" He leaned forward in his chair and leveled his gaze at her. \"But you and I both know you don't need a lawyer to keep the police from asking you about the hijinks of you and your friends in college. And practically speaking, no one's really going to think you were skimming from Dylan's dope business. If anything, people will feel sorry for you that he was abusing your confidence the way he was.\"\n\n\"So you're asking why I told Harlen I needed a lawyer.\"\n\n\"Never that,\" Hardy said with a small smile. \"Everybody needs a lawyer all the time. That's my motto. But in this case, from what you've told me, maybe not so much.\"\n\n\"You don't think I'm telling you the truth,\" she said.\n\n\"It's not what you've said. Maybe it's what you haven't.\" He pointed down at her hands and added gently, \"That's a fragile glass. If you squeeze it any harder, I've got to warn you, it's going to break.\"\n\nFor a long moment, her eyes glazed over and she sat utterly still. Finally, a small tremor passed through her body, she blinked, and a tear spilled onto her cheek. \"Dylan called me the night before and said he had to see me first thing the next morning. That it was an emergency. So I went down there.\"\n\n\"You mean Saturday morning?\"\n\n\"Yes.\" She closed both eyes, trying to regain her composure. \"I went into the alley and saw him. He was already dead.\" Meeting Hardy's eyes, she went on in a rush. \"I didn't know what I should do, other than I knew I didn't want to be there. I got back in the car and left. I mean, there was nothing I could do for Dylan. That was obvious. But then, when the police came to question me at my house, I told them I'd been at Mass, which is where I did go afterward, except I was very late, after communion, and somebody might remember that. And then I thought, what if somebody had seen me and they described me or my car to the police?\"\n\nHardy let her sit with her words for a moment. Then, \"What was the emergency?\"\n\n\"He didn't say. Just that he had to see me.\"\n\n\"In person?\"\n\n\"I know. I didn't know what to do with that\u2014it didn't seem to make much sense\u2014but it was the first time he'd ever called with a message like that, and I thought I ought to go.\"\n\nHardy placed his wineglass onto the small table in front of him. Suddenly things had turned serious. She had lied to the police about her alibi for the time of a murder. Her reason for wanting him to represent her in the event of another interrogation was now not only rational but powerful. Given a lack of other quality suspects, that fact alone might be enough to give her prominence in their investigation.\n\nWhether or not she was politically connected.\n\n\"Plus,\" she went on.\n\nHe waited.\n\n\"If they check his phone records\u2014and I guess they do that, don't they?\u2014they're going to find out he called me, and they'll want to know about that, won't they?\"\n\nHardy shrugged. \"He managed your store. That wouldn't necessarily be incriminating.\" He sat back again. \"How about this? When Bracco calls again, if he does, let me know right away and we'll see what he wants to talk about and then decide if we'd be well served by telling him you were there. If not, we won't. How's that sound?\"\n\nShe attempted a shaky smile. \"A little scary, really. I just want this to go away. Not have Joel and the kids have to find out the way I was.\"\n\n\"I don't know,\" Hardy said, finally getting up, taking one of his business cards out of his wallet, and handing it to her. \"People surprise you. They might all understand and then you'd never have to worry about it again. And, you know,\" he added, \"we were all in college and not all of us were saints. Maybe not even Joel.\"\n\nShaking her head, she said, \"You don't know him.\" She'd followed him up and now crossed over to his desk, taking her own wallet from her purse. \"I'm afraid Harlen didn't mention what this would cost. Do you bill me or do I pay as I go?\"\n\n\"Whatever you'd prefer,\" Hardy said, willing in this case to break one of the major rules of defense law, which was get your money up front. But Maya was Harlen's sister and he thought a little professional courtesy wouldn't be out of order. Going to the file drawer behind his desk, he withdrew his standard contract and handed it over to her.\n\nShe scanned it quickly. \"How does three thousand sound as a retainer?\" she asked, opening her checkbook.\n\n\"That'll probably get you a refund when this is over,\" he said.\n\nShe handed him the check, and then they were standing facing each other by the office door. \"So it's okay. I can call you?\" she asked.\n\n\"Anytime, day or night.\" He pointed at the card. \"All the numbers in the world where I can be reached.\"\n\nThe gratitude flooded back into her eyes. \"Thank you,\" she said.\n\nAnd he opened the door to let her out.\n\nAbout twenty minutes later Hardy picked up the phone on his desk.\n\n\"Yo.\"\n\n\"Yo yourself.\" The voice of his partner Wes Farrell. \"What are you doing?\"\n\n\"When?\"\n\n\"Right now.\"\n\n\"Many things all at once,\" Hardy said. \"Breathing, talking to you, figuring out our talented pool of associates' utilization numbers for the third quarter. Why?\"\n\n\"Because I wondered if you might have a minute.\"\n\n\"Are you upstairs?\" Wes worked alone on the third floor one level up, in an office that had once in a different world been Hardy's. \"You could always just come on down like you usually do.\"\n\n\"I could, but then I'd have to pass the Phyllis test and I don't know if I'm up to it.\" Hardy heard something in the voice. Wes was nearly always upbeat, but he wasn't now. \"If I'm really not interrupting you at something important, you want to come up for a minute?\"\n\n\"Sure,\" Hardy said. \"I'm on my way.\" As he passed the reception area, Phyllis raised her eyebrows and attempted a smile that nevertheless seemed somehow accusatory. Hardy pointed upward. \"Just going to see Wes,\" he explained. \"Firm business.\"\n\nThis was the password, he knew. Hardy was doing what she thought he ought to be doing, managing the firm. Phyllis graced him with an approving nod and swirled back to face her switchboard. Over the years Hardy had developed a faint and grudging affection for his receptionist\/secretary, but as he mounted the stairway at the far end of the lobby, he wondered how sad he would actually be if she were, say, mercifully and swiftly executed by a large truck running a red light.\n\nFarrell's door, festooned with left-wing bumper stickers, yawned open and Hardy knocked once before crossing the threshold. The office, such as it was, gave only the merest nod to the legal work Farrell supposedly did there. No desk, no files, just a couple of couches, a coffee table, some random easy chairs, a flat-screen TV on one side wall, a Nerf basketball hoop on another, a library table with more functional wooden chairs scattered roughly around it. One of the chairs was on its side at the moment.\n\nGert, his dog, slept in a corner.\n\nIn another corner by one of the windows Farrell did have a modern computer he never turned off, and he was sitting at that now, though facing away from it and toward him as Hardy came in. As usual when he wasn't going to court, Wes wasn't dressed much for success. Today he wore a pair of wrinkled tan Docker pants and wingtips that hadn't been shined since Watergate. And of course he sported his usual T-shirt, which today took Hardy more than the usual quick glance to read: \"Haikus can be easy.\/But sometimes they don't make sense.\/Refrigerator.\"\n\nHardy had to break a smile, pointing to it and saying, \"That might be one of the best.\"\n\nFarrell looked down. \"Yeah. I thought it'd get Sam laughing, but no.\"\n\n\"You guys okay?\"\n\nThe shoulders rose and fell. \"We'll probably get over it. I hope so.\"\n\n\"What?\"\n\n\"This stupid argument. Or maybe not so stupid if it might really break us up. Which I'm starting to think it's got a chance.\"\n\n\"What about?\"\n\nFarrell rolled his eyes. Sitting in his ergonomic chair, he slumped. His thick brownish-gray hair was unsecured and fell all around to the top of his shoulders. Hardy thought he looked about twenty years older than he was. \"She thinks I don't care enough about the homeless.\"\n\n\"What about the homeless?\"\n\n\"We shouldn't tell 'em it's cool to come here and then start making them go to shelters and stuff. We should respect them as individuals. Jesus. That's how it started, anyway. Now it's all she's not sure she knows who I really am or if she still wants to be with me.\"\n\nNormally, Hardy would have asked why she wanted to be with him in the first place, but this wasn't the time. So he asked, \"Because why, exactly?\"\n\n\"I think in the last fight, I used the word _vagrant_ , or maybe _bum._ Or maybe both. I probably did both, knowing me when I'm arguing. Anyway, somehow I betrayed my terminal insensitivity to the plight of . . .\" He gestured in little circles with his hand. \"Et cetera, et cetera.\" Farrell let out a long breath. \"I don't know what I'm talking about, Diz. And that's not it, anyway. What I wanted to see you about.\"\n\nHardy pulled the fallen wooden chair upright and sat on it. \"I'm listening, but I hope you're not going to tell me you're quitting, because Glitsky just told me he's quitting and if you both quit on the same day, I'll start to feel like all my friends are old, which would mean I'm old, and that would be depressing.\"\n\nFarrell's head came up. \"Glitsky's quitting?\"\n\n\"Maybe not,\" Hardy said. \"I might have talked him out of it. He probably didn't even mean it. He's having a bad time.\"\n\n\"Maybe we should start a club.\"\n\n\"You don't want to be in his club. His kid's in the hospital with a head injury.\"\n\n\"Shit. How bad?\"\n\n\"Bad enough, but alive at least. For now.\" Hardy let out his own sigh, met his partner's gaze. \"So. What do you want to talk about?\"\n\nFarrell came forward, elbows on his knees, his hands linked tightly in front. \"There's this coffee place out near my house,\" he said. \"Bay Beans West, maybe you read about it this weekend. The manager, this guy named Dylan Vogler, got himself shot on Saturday. Sam, in fact, discovered the body. Well, I just got a call on my cell from Debra Schiff, you know her?\"\n\n\"Sure.\" Hardy nodded. \"Homicide. Why'd she call you?\"\n\nFarrell hung his head for a minute. \"Because Vogler sold weed out of the shop, and he evidently kept a list of his regular clients on his computer at home.\" He raised his tortured eyes. \"It's gonna get out, Diz. Hell, it's probably already out. What I'm wondering is if you think it would be better for the good of the firm if I resigned.\"\n9\n\n**Schiff couldn't let go** of what she felt was Maya Townshend's crucial slip of the tongue: \"There's no real reason to keep the place.\" Although admittedly slim pickins, she felt it was worth pursuing. Bracco and she agreed, however, that they could do their fishing elsewhere first, before coming back if necessary and taking on Maya head-to-head.\n\nTo this end, in the midafternoon, maybe ten other people in the shop, they were sitting up near the bakery products area of BBW with Eugenio Ruiz, who'd been one of the assistant managers under Vogler, and who'd opened the place this Tuesday morning and was currently functioning as the manager.\n\nEugenio was in his early twenties, small, wiry, and highly strung. He wore his thick black hair in a ponytail and had a couple of days of dark beard growth covering the acne scars. Today he was wearing black slacks, sandals, an incongruous button-down pink shirt, and a vest that looked like it came from South America. A diamond sparkled in his right earlobe. Though not handsome\u2014not with the prominent and crooked nose and the gold-crowned front tooth\u2014he had a confidence and a straightforward warmth that Schiff thought gave him some appeal.\n\nShe must unintentionally have been conveying that fact somehow, because even though she had at least ten years on him, he was definitely hitting on her. \"She's okay,\" he was saying of his boss Maya Townshend, \"nice enough, but not as pretty, say, as you.\"\n\nSchiff did her best to ignore not just the comment but Bracco's quick smirk. \"But you haven't really talked to her that often?\" she asked.\n\n\"No. The longest conversation I had with her ever, really, was yesterday when she asked me if I would take over the place for a while until she could get a new manager. I told her I wanted to be the first to formally apply, and she said she appreciated that, she'd keep it in mind.\"\n\n\"So she's planning to keep the place open?\" Bracco asked.\n\n\"I hope so. I haven't heard not. Why? Have you?\"\n\nBut Schiff the cop was there to ask questions, not answer them. \"How would you characterize Mrs. Townshend's relationship with Dylan?\"\n\n\"What do you mean?\"\n\n\"I mean, how did they act together? Like friends? Or more like boss and employee?\"\n\nEugenio scratched at the corner of his mouth, a smile playing around his lips. \"Boss and employee, but maybe not the way you think.\"\n\n\"We don't think any way,\" Bracco said. \"That's why we're asking you.\"\n\nSchiff shot her partner an unappreciative glance and came back at the witness, softening the rebuke. \"What are you trying to say, Eugenio?\"\n\n\"Well, just that if you didn't know and you saw them together, you wouldn't think she was the boss.\"\n\n\"You'd think he was?\"\n\n\"Most people, I think, yeah.\" A quick shrug. \"When I started here, the first time I see her come in, she's back in the office, doing some books or something and it's cooking out here\u2014I mean, we got a line out the door and everybody's in high gear. So she comes to the office door and calls for Dylan and he's taking the orders and doing his schtick and he just waves her off, he doesn't have time. Makes a joke about accountants when we're the actual bean counters\u2014get it, coffee beans . . .\"\n\n\"I get it,\" Schiff replied deadpan.\n\n\"Yeah, so, anyway, the whole time she's back there and then finally she just finishes up and leaves without saying anything to anybody else. And when it finally slows down, I ask, 'So who was that, our accountant?' and Dylan about busts a gut laughing. 'That,' he says, 'is the owner. But I,' he says in that Godfather voice he could do, 'I'm the boss and don't you forget it.' But not really serious. That was the way he talked, that was all. He could be funny when he turned it on.\"\n\n\"So he was a good boss?\"\n\n\"Definitely.\"\n\n\"Did you know he was selling marijuana out of here?\"\n\nRuiz quickly looked from Schiff to Bracco and back. \"Nope,\" he said. \"No clue.\"\n\n\"Did you ever buy any from him?\" Bracco asked.\n\n\"No way, man. I don't do drugs.\" A smile at Schiff. \"Except caffeine, of course.\"\n\nSince Ruiz's name did not appear in Vogler's computer, Schiff was willing to let this answer pass. It might even be true. \"Let's get back to Dylan and Mrs. Townshend, if we can, all right? Did he always treat her as though he was the boss, and not vice versa?\"\n\n\"Pretty much.\"\n\n\"And she took it . . . how?\"\n\n\"I think mostly . . . I mean, I don't know for sure . . . but if you ask me, it's why she didn't come in too often. She was nervous, like. I don't think they really liked each other.\"\n\nSchiff told him that Maya had told them she and Dylan had gotten along.\n\nHis eyes went to both inspectors in turn. \"Well, I don't want to get her in trouble. She seems like a nice enough lady. Maybe they saw each other out of work.\"\n\n\"No,\" Bracco said. \"But she did tell us that with Dylan dead, now there was no reason for her to keep the shop open. You have any idea what she meant by that?\"\n\nThe young man shook his head. \"She didn't tell me she was going to close it up. I don't know why she'd do that. The business is great. That just doesn't make any sense.\"\n\nIn the passenger seat of their car just after the interview with Eugenio Ruiz, Bracco hung up his cell phone. \"Well, that's interesting.\"\n\n\"What?\"\n\n\"Guess who's the registered owner of our purported murder weapon? I'll give you a hint. By all accounts she's not quite as pretty as some men find you.\"\n\n\"You caught that, huh?\"\n\n\"I'm a trained detective. Nothing escapes.\"\n\n\"You want to go by again and say hello?\"\n\n\"I was thinking maybe we should.\"\n\nSlammed by the admission of Wes Farrell that he was one of Dylan Vogler's marijuana customers, and still worried sick about the Glitskys and the fate of Zachary, Hardy couldn't make himself concentrate on his junior associates' utilization figures. So he decided to leave work early and on the way home to seek an hour or so of solace in the company of his brother-in-law Moses McGuire, who would be behind the rail at the Little Shamrock, the bar they co-owned out on Lincoln near Ninth Avenue.\n\nHe'd just found a miraculous parking place around the corner on Tenth and pulled into it when his cell phone rang, his most recent client calling in a panic to tell him that the police had just shown up at her door again and she didn't know what she should do. It was getting late and the kids were underfoot and Joel would be home soon too.\n\n\"Where are they now?\" Hardy asked. \"The cops?\"\n\n\"Still out on the porch. I told them I had to talk to my attorney before I could let them come in and talk to me again, and Inspector Bracco said that that was fine but I should know that they'd identified what they think is the murder weapon and found out it was mine. I mean, registered to me.\"\n\n\"Is that true?\"\n\n\"I don't know. It could be, I suppose. I had left a gun I bought a long time ago down at the shop, but I hadn't seen it in years. I didn't know it was there anymore, but I guess it was. Anyway, they said maybe I should talk to them here and now if I didn't want to have to come downtown.\"\n\n\"That's a bluff,\" Hardy said. \"They can't take you anywhere you don't want to go without a warrant. And they can't make you talk to them under any circumstances. Do they have a warrant?\"\n\n\"I don't think so. They didn't say so.\"\n\n\"Are they still out there?\"\n\n\"Yes. I mean, it's only been . . .\" He heard her talking away from the phone. \"That's okay, honey, Mommy's just . . .\" He missed the rest of it, and then she was back with him. \"I'm sorry, where were we?\"\n\n\"Are Bracco and Schiff still there?\"\n\n\"I think so.\" A pause. \"Yes, they're just standing outside, talking.\"\n\n\"Could you let me speak with Inspector Bracco, please?\"\n\n\"Sure, if you think . . . just a second.\"\n\n\"Darrel Bracco here. Who's this?\"\n\n\"Darrel, it's Dismas Hardy. How are you doing?\"\n\n\"Fine, maybe a little cold standing outside in the fog, but okay. Call me a mind reader, but Mrs. Townshend's your client?\"\n\n\"She is. I could be there in fifteen minutes. How does that sound?\"\n\n\"Frankly, sir, it sounds like she's got herself lawyered up.\"\n\n\"Every citizen's right, Darrel.\"\n\n\"No question, sir, no question. Though as you know, it sometimes gives a cop pause.\"\n\nHardy well knew. \"Sometimes it should,\" he said. \"But I don't think this is one of those times. Although I'll tell you frankly I don't know how much I'm going to let my client say to you until I've had a chance to talk to her a little more. Maybe not much.\"\n\n\"Why am I not shocked?\"\n\n\"Experience, Darrel. It's a beautiful thing. Can I talk to Mrs. Townshend again?\"\n\n\"Sounds like it's your show. Here she is.\"\n\n\"Maya,\" Hardy said, \"why don't you ask the inspectors in and I'll be there very shortly. But don't answer questions until I get there. Is it really your gun?\"\n\n\"It might have been. If they say so, I'm sure they're right.\"\n\nHardy wondered why she hadn't seen fit to remember that detail in their earlier interview, but this wasn't the time to bring that up.\n\n\"But what about Joel?\" she asked.\n\n\"What about him?\"\n\n\"He's going to be coming home. I mean, maybe we could meet someplace else later. You and me and these people.\"\n\n\"We could do that,\" Hardy said evenly. \"What time does your husband get home?\"\n\n\"Sixish. Six-thirty. Usually. But sometimes not. It's hard to predict.\"\n\nHardy took a beat, checked his watch. \"It's just past four now. I'm sure we can get this all cleared up by five if I come right over.\"\n\n\"But if Joel gets home early . . .\"\n\n\"You're going to have a hard time keeping this from him in any event. Maybe you want to get that part over with now. But meanwhile, I'll be there in a heartbeat.\"\n\n\"Or sooner if you could,\" she said.\n\nThe two unknown guests in the living room\u2014a man and a woman\u2014stopped Joel Townshend in his tracks as he was coming in. He looked a question at his wife, who was sitting with them making small talk.\n\nShe had turned and now she stood up, wiping her hands nervously on her skirt. \"Oh, Joel. You're early.\" Walking back to him, her face a map of her worries, she kissed him on the cheek, then turned to present the couple on the couch as they were getting to their feet together. \"These are inspectors Bracco and Schiff. They have some questions about Dylan and BBW.\"\n\nJoel put on a welcoming smile, took a few steps forward, and shook hands all around. Thirty-five years old, tall and thin with short-cropped brown hair, he projected an easygoing, casual style only slightly belied by the perfectly tailored tan business suit, light yellow shirt, and brown and gold tie.\n\nIn fact, though, he gave no sign that these unexpected visitors bothered him in any way. They were guests in his house, and he was their host. End of story. \"Please,\" he said, \"sit back down. I didn't mean to interrupt you.\"\n\n\"That's all right,\" Debra Schiff replied. \"You didn't interrupt anything. We're waiting for your lawyer anyway.\"\n\nJoel's face clouded in confusion. \"My lawyer?\"\n\n\"Actually, mine.\" Maya reached out and took her husband's hand, facing him now, cutting off any further response. She added, \"A friend of Harlen's. He thought we ought to have a lawyer if we're going to be talking to the police about a murder.\"\n\nJoel made a dismissive gesture and shook his head with a bemused humor. \"That's ridiculous. You know I love your brother, My, but sometimes he's a bit too much of a drama junkie, don't you think? I hardly believe we need a lawyer to tell these people the simple truth, do we? You didn't have anything to do with Dylan's death.\"\n\n\"No, but\u2014\"\n\n\"Well, then? And now we're making them wait here in their busy day. And for what?\"\n\n\"Well, Harlen thought . . .\" She tried a conciliatory smile. \"Mr. Hardy will be here in just a minute anyway. He thought it was worthwhile me calling him and asking him to come by.\"\n\nIn a bit of theatricality Joel cast his eyes to the ceiling. \"Well, of course he did. You ask a mechanic if he thinks you need a brake job. Ninety-nine times out of a hundred, guess what? You do. New pads all around, more brake fluid and lots of it, maybe balance the tires while he's at it. Oh, and PS, that'll be five hundred dollars.\" He looked at the inspectors. \"Am I right?\"\n\nBracco wasn't completely successful hiding his appreciation at this response. But he kept it low-key. \"We're not encouraged to argue when citizens say they want their attorney, sir,\" he said. \"But I think it's fair to say they're probably overused, especially in situations like this one, where your wife is not a suspect.\"\n\n\"Well,\" Joel said, \"her brother's a big, important city supervisor now and when he gets dumb ideas, nobody ever calls him on them.\"\n\n\"I know Harlen pretty well, sir,\" Bracco said. \"I used to be his partner when he was a cop.\" Now he broke a broad grin. \"The ambition thing makes him a little cautious.\"\n\n\"There you go,\" Joel said. \"Excessive caution. Sometimes it's just unnecessary.\" Still holding Maya's hand, he gave it a little confident squeeze. \"I'm sure my wife will be happy to talk to you. What do you want to know?\"\n\n\"Joel.\" Maya now squeezed his hand hard, warning him off.\n\n\"Really, My. Come on. This is silly.\"\n\nAnd the doorbell rang.\n\n\"There he is now.\" Maya jumped as she let go of her husband's hand and ran to the door.\n\nTownshend watched her for a second, then turned back to the inspectors and shrugged with some exaggeration. \"Fantastic,\" he said.\n\nHardy, walking in to a cool reception at best from both the inspectors and the husband, didn't make matters any better when, first thing after the introductions, he asked Maya if he could speak to her alone, or with her husband if she wanted.\n\n\"I don't think we need to do that,\" Joel said. \"Maya doesn't have anything to hide. She can say anything she needs to in front of me and these inspectors.\"\n\n\"Absolutely,\" Hardy said. \"If she wants to, of course she can. Maya? Your call.\"\n\nThey stood in a frozen tableau for a long moment, until she finally turned to face Hardy and said, \"Maybe Joel ought to come with us.\"\n\nAfter his initial stunned expression Joel took in the cops again with an apologetic shrug, then came back to Hardy and Maya with a terse, \"All right. Let's go, then.\"\n\nMaya led the little party of three off to a front working den\u2014flats-creen TV, bookshelves, fireplace. Closing the door, they remained standing because Joel gave no one any time to sit down before he more or less exploded, although he kept his voice in check. \"Maya, you want to tell me what this is about?\"\n\nShe threw a glance at Hardy\u2014and again, clearly, this didn't get her any points with her husband\u2014nodded, took in a breath. \"Mr. Hardy knows that I went by BBW on Saturday morning and saw the body, and then got scared and drove away without calling the police.\"\n\nJoel's mouth went tight. \"You went to BBW Saturday morning? Why?\"\n\n\"Because Dylan called me Friday night and said he needed to see me first thing, that it was an emergency.\"\n\n\"What kind of emergency?\"\n\n\"He didn't say that.\"\n\n\"But you went?\"\n\n\"Yes. I went. But the real problem, ask Mr. Hardy here, is that the first time I talked to those people, I didn't say anything about that. I told them I went to Mass.\"\n\n\"The first time you talked to who? Those inspectors out there? This isn't the first time?\"\n\nHardy finally felt that he could join the conversation. \"They talked to your wife yesterday morning.\"\n\nJoel couldn't take his eyes off his wife. \"Why didn't you tell me you'd talked to them? And not told them the truth?\"\n\n\"I don't know, Joel. I don't know. I panicked. I was afraid, or embarrassed, or something. I thought you'd be mad at me being in this on any level, for getting you involved.\" She had her arms crossed over her chest, displaying more defiance than her words indicated. \"The point is I'm telling you now, all right? I don't know what I should do _right now_. And by the way, you should know, Joel, that the gun they think is probably the murder weapon is the one I left down there back when I first opened the place, like ten years ago, and it's registered to me.\" She looked from one man to the other. \"And in case either of you are thinking it, if I were going to have shot Dylan, which I never would have done under any conditions, period, I never would have been so stupid as to throw it away where the police could find it.\"\n\nFor a minute no one spoke. Eyes flashed between husband and wife. Hardy kept his own counsel in silence until he felt again that he would be heard. \"The thing to do right now, in my opinion, Maya, is to go out there and tell the inspectors the truth. As your husband has said. If you don't do that, and somebody did witness you in the alley on Saturday morning, it will look much worse and be a lot harder to explain. As for the gun, you owned it. So what? If you kept it at the shop, Dylan undoubtedly knew about it and probably had it with him illegally for protection while he was carrying the weed.\"\n\n\"What weed?\" Joel asked.\n\nMaya shook her head in anger and frustration. She spoke under her breath. \"Oh, Jesus!\"\n\n\"Dylan was selling marijuana out of your wife's store,\" Hardy said in his most neutral voice. \"I don't know why it hasn't been in the papers. The cops have known this all along.\"\n\n\"How special for them,\" Joel said. Clearly seething now, he spoke in a near whisper. \"How long were you going to keep all this from me, Maya? What is that about? I thought we talked to each other.\"\n\n\"We do.\"\n\n\"Not so much, though, as it turns out.\" Finally, Joel brought his attention to Hardy. \"So you're suggesting we go outside and tell these people that my wife lied to them, is that it?\"\n\n\"Omitted,\" Hardy said. \"Not lied. At least then we start over with a clean slate.\"\n\n\"But Maya's at the murder scene within, apparently, minutes of the crime.\"\n\n\"That's true. And in point of fact, she was.\"\n\nNow Joel came back to her. \"And you don't know what the emergency was?\"\n\n\"No.\"\n\n\"No idea?\"\n\n\"No, Joel, really.\"\n\nThis wasn't enough for her increasingly furious husband. He kept at her. \"So the situation here, correct me if I'm wrong, is that Dylan called you on Friday night saying he needed to see you first thing next morning, and you dropped everything and got up at five-thirty, lied to me and the kids about going to Mass\u2014\"\n\n\"But I did go to Mass, after\u2014\"\n\nJoel waved that off. \"After you went to see Dylan first, for some reason that he wouldn't even tell you. Is that what you expect me to believe?\"\n\nTears glistened in Maya's eyes. \"That's what happened, Joel. That's exactly what happened.\"\n\n\"That twerp calls you, doesn't even give you a reason, and you come running, and now we've got the cops sitting in our living room and your lawyer here says we need to tell them the truth, except that the truth leaves you going down to visit the murdered man just about the time he was killed, and with essentially no reason.\" He turned to Hardy. \"How can we tell them she went down there if we can't tell them why? Can you answer that for me?\"\n\n\"Keep it simple. He asked her to, that's all. Some problem with the business, some decision she had to make in person.\" Hardy slowed himself down. \"I'm sure Maya thought it was going to be a quick little meeting and then she'd have time to make it back to Mass. Isn't that right, Maya?\"\n\nHardy had given her the answer and was glad to see her embrace it. \"That's exactly it, Joel. I didn't think it was anything really important. I wasn't hiding anything from you. It was just a small business hassle that I thought I'd take care of like I have a million others.\"\n\nAnother silence, finally broken when Joel asked Hardy, \"You really think this will fly?\"\n\n\"It's the truth,\" Hardy said. \"All things considered, honesty's still the best policy.\"\n\nHusband and wife stared at each other for a long beat. Maya reached out and took Joel's hand in hers. \"That ought to be the end of it,\" she said.\n\n\"Not exactly,\" Joel said, extricating his hand from his wife's. \"You and I are going to have to have a discussion.\"\n\n\"We can do that.\" She looked up at Hardy. \"Meanwhile, let's go tell 'em,\" she said.\n\nHe nodded, no-nonsense. \"All right,\" he said. \"But let me do the talking.\"\n\nAt ten-thirty that night Hardy threw the next-to-last dart of his round at the Little Shamrock bar and it landed in his \"out\" spot of double eleven. He plocked the next shot directly in the center of the bull's-eye, ending the game. He was playing \"301\" and he'd gone out ahead of his opponent, Wyatt Hunt, by hitting his last eight throws in a row, a fairly nice run.\n\nAnd all too underappreciated by Hunt, his firm's private investigator, who now owed him not only the tab for the three beers they'd each consumed in the three-game minitournament, but the extra hundred bucks they'd put up as the pot. No sooner had Hardy's winning shot landed than Hunt handed him the Franklin and offered to go double or nothing.\n\n\"That's a sucker bet, Wyatt, as you well know.\" Hardy took the bill and put it into his wallet. \"But I'll buy you a consolation drink to help assuage the agony of defeat.\"\n\n\" _Assuage_ is a good lawyer word,\" Hunt said. \"You don't hear people say _assuag_ e every day.\"\n\n\"No indeed, you don't,\" Hardy replied. \"And yet, sometimes it is the perfect choice, _le mot juste_ , as Hemingway would have said.\"\n\n\"Or me if I spoke French.\"\n\nThe private eye went about six three, two ten, an athletic hunk comprised of about equal parts gristle and testosterone. If you could be handsome in an ugly way, that's what Hardy would have said he was. He'd grown up in foster homes, done a stint in Iraq I, then worked a dozen or so years in Child Protective Services, taking kids from abusive environments away from their parent or parents, pretty much the apogee of thankless jobs. Now, and for the past seven or eight years, he ran a private investigations business called The Hunt Club, and Hardy's firm used it almost exclusively.\n\nWyatt was leading the way as the two men moved from the dart area and into the narrow recesses of the bar proper, which was having a relatively slow night. Two stools stood open in front of the taps, and they got themselves seated. \"That was an obscene run of darts, you know.\"\n\n\"Admittedly. I'm sure I couldn't do it again. Although you've got to figure that a guy who's got a board on the wall of his office and his own customized darts probably spends a few minutes playing the game. He's going to get a lucky run from time to time.\"\n\nHunt was grinning. \"I'll try to keep it in mind.\"\n\nMoses McGuire appeared in front of them and they ordered\u2014a club soda for each of them. McGuire, on a club soda regimen himself for the past couple of years, still couldn't help himself. \"Whoa,\" he said. \"Katie, bar the door. Want those babies full-strength up or on the rocks?\"\n\n\"The great thing about drinking here\"\u2014Hardy ignored his brother-in-law and spoke directly to Hunt\u2014\"is the commentary.\"\n\n\"I knew there was something,\" Hunt replied.\n\n\"Rocks,\" Hardy said, coming back to Moses, \"and hold the pithy observations, thank you.\"\n\nMcGuire pulled the drinks, and Hardy held up his glass to clink Hunt's. \"I feel a little guilty inviting you down here and then taking your money, but thanks for coming.\"\n\nHunt sipped his soda. \"Long day?\"\n\n\"Actually, fairly brutal.\" Hardy filled him in on the dramas surrounding both Glitsky and Wes Farrell, which had continued into the night as Hardy, after dinner at home, went to the hospital to check on Abe and Zachary\u2014Abe still a zombie, Zachary unchanged.\n\nHardy had stayed on with Abe for a long half hour, then patted his friend's knee and told him to hang in there, call if he needed anything, and left. Unable to make himself go back home to Frannie, Treya, and Rachel, he'd stopped by the Shamrock and called Farrell, who'd apparently turned off his telephones. Getting an idea, then he had called Hunt. \"Anyway, between Abe and Wes, it's like I'm knocked off my horse. I can't seem to get my arms wrapped around this Dylan Vogler situation. Not just what it's done to Wes, or potentially could do.\"\n\n\"You're really worried about that?\"\n\n\"A little bit, yeah.\"\n\n\"Well, let me lighten your load, Diz. You can get over that. Nobody outside of Singapore cares about who smokes weed. Certainly nobody in law enforcement in this town. 'Course, the bad news in Singapore is they hang you for it. But the good news is we're not there. Not even Wes. But I'd warn him if he's thinking about making the trip.\"\n\n\"I'll do that,\" Hardy said with a strained tolerance. \"But in actual fact Wes is an officer of the court. He's a rainmaker for the firm, he's\u2014\"\n\nHunt held up a hand. \"It's only going to increase his street cred among his potential clients, Diz, all of whom probably light up a doob with some regularity. The guy's one of them.\"\n\n\"Judges won't think that's a plus if it gets out. I promise.\"\n\n\"How are they going to prove it? So his name's on a list. So what?\" Hunt drank. \"He's not really thinking of quitting, is he?\"\n\n\"He offered.\" A shrug. \"I told him to think about it some more.\"\n\n\"Well, before he does anything dumb, at least he ought to talk to Craig.\" This was Craig Chiurco, one of Hunt's operatives, working on his own private investigator's license. At Hardy's look Hunt went on. \"This guy Vogler had a good book, I'll give him that.\"\n\nHardy's eyebrows went up in surprise. \"Craig was on this list too?\"\n\nHunt bobbed his head. \"Yeah, and he's actually a pretty big number. He came and told me about it yesterday. I mean that the cops had called him about it. He was worried it might affect his license chances.\"\n\n\"Same story. If they could prove it, it might, but without a confession, forget it.\"\n\n\"Right,\" Wyatt said. \"And I don't really see anybody going to go out of their way to bust these guys, even if they could prove anything. At the most it's casual use, and then only if they in fact catch 'em in flagrante. Hundred bucks if anybody actually cares enough to write you up, which they won't. Not in this town.\"\n\n\"So what'd you tell Craig?\"\n\n\"I told him to dump his stash and give it up. But really, Diz, it's a nonissue. Vogler, maybe not. But Wes and Craig and whoever else, nothing.\"\n\nHardy glanced over at his companion and lifted his glass. \"Okay, since you've got all the answers tonight, let me ask you another one. There's a piece missing somewhere and I can't put my finger on it.\" He ran down what he'd learned about Maya up to this point\u2014the mysterious call from Vogler on Friday night, the early morning trip to BBW, Maya driving away from the body, her concern about her supposedly profligate fling in college, and then bringing the story around to Dylan's exorbitant salary, the gun, and so on.\n\nWhen he finished, Wyatt nodded. \"Can you say 'blackmail'?\"\n\n\"Okay. For what?\"\n\n\"I don't know. Something she's ashamed of or worried about. Probably when she was having her wild time back in college.\"\n\n\"That's pretty much what I'd come to. But I didn't want to let myself believe it.\"\n\n\"Why not?\"\n\n\"Because blackmail comes with implications.\"\n\n\"She's done something bad?\"\n\n\"In the past, yeah. But nearer the present is the real concern.\"\n\n\"You're thinking she did it?\"\n\nHardy hesitated for a few seconds. \"If he was blackmailing her and she went down there on Saturday morning? The blackmail was the missing piece. If it's in there, the picture gets a lot more clear and maybe real ugly in a hurry.\"\n\n\"You think Bracco and Schiff have put it together?\"\n\n\"If they haven't already, they will soon.\"\n\n\"So what do you want to do?\"\n\n\"I thought I'd ask you to see what you could find out.\"\n\n\"About her college years?\"\n\nAt Hardy's nod Hunt went on. \"Not that I couldn't use the work, but why don't you just ask her? Tell her you figured out she was being blackmailed, see what she does.\"\n\n\"Well, I could. But a couple of things. First, her husband kind of made it clear that he didn't want her seeing me without him being there too. So if he's the one she doesn't want to know whatever it is\u2014and that's a decent bet\u2014she doesn't tell me no matter what. Next, I might be wrong and the accusation might piss her off. Maybe even enough to where she wants to fire me, which would be letting a potential big one get away. Finally, if whatever she did was bad enough that she killed Vogler to stop it coming out, no way she's just giving it up, even privileged, to a lawyer she barely knows. I'd be wasting my breath even asking. Better if I find out what it is on my own, then hold on to it and use it as things develop.\"\n\n\"Knowledge being power and all.\"\n\n\"Truer words,\" Hardy said.\n\n\"And why do you want to know all this, exactly?\"\n\nThe question seemed to stump Hardy for a minute. \"If I'm going to defend her, it would help to know who she is.\"\n\n\"But you're going to bill her to find out something she doesn't want you to know?\"\n\n\"If it's going to help her in the long run. If it turns out I need her history, which now I'm thinking I might. Otherwise, I step in it without ever seeing it coming. And she winds up screwed.\" He tipped up his glass, brought it down slowly. \"So what do you say?\"\n\nHunt nodded. \"I could give it a couple of days. See what pops.\"\n\n\"That's all I'm asking. She gave me three thousand as a retainer. You can spend a good chunk of it. How's that sound?\"\n\n\"Doable,\" Hunt said. \"I'll give it a run.\"\n10\n\n**Hardy wasn't wrong** when he said that Schiff and Bracco wouldn't be far behind him in coming to the conclusion that Dylan Vogler was blackmailing Maya Townshend.\n\nThey'd gotten to it almost by osmosis the next morning. At a few minutes after nine A.M. they knocked at the front door of Jansey's house, figuring that she would most probably have known what dirt her man had had on his boss that he had used not only to keep himself gainfully employed, but that also allowed him to treat her as an underling when she came into her own store.\n\nLast night, in spite of their great frustration at having Dismas Hardy show up at the Townshends' to limit the free flow of information, the inspectors had learned a great deal. Most importantly, Maya had lied to them about her alibi on Saturday morning. Beyond that, she'd admitted that she'd actually been called down to the murder scene by the victim and had discovered his body and then opted not to call the police and report it. In the eyes of the inspectors these two revelations elevated Maya in a hurry to a person of interest in the homicide.\n\nShe had had both the means and the opportunity to have killed Dylan Vogler. If Bracco and Schiff could establish a compelling motive, they would be well on their way to establishing her as their prime suspect. And the fact that Maya had apparently been at Vogler's beck and call\u2014coming down to the store before dawn on a Saturday morning?\u2014argued strongly, in spite of Hardy's disclaimers, that theirs was not a simple business relationship.\n\nVogler must have had something on Maya that she didn't want revealed. And maybe he'd been threatening her with just that\u2014upping the ante on what she was paying him, making new demands. Maybe she'd just had enough and decided to put an end to it.\n\nIt wasn't much of a leap for either of them to imagine her killing him. And the why of it led them to Jansey's door again this morning.\n\nShe was barefoot in cutoff jeans and wearing her usual T-shirt. \"You guys put in some serious hours, you know that? You got another warrant?\"\n\n\"Not this time,\" Schiff said. \"We were hoping you'd talk to us about Maya.\"\n\nHer forehead crinkled. \"Why? I don't even know her.\"\n\n\"You know who she is,\" Bracco said.\n\n\"Well, yeah, of course I know who she is. She owns the shop. Do you guys hang out with the chief of police?\"\n\n\"I take your point.\" Schiff didn't want to antagonize Jansey, who was at this point about their best hope. \"Do you think we could come in and talk for a minute?\"\n\n\"About Maya? Look, I really don't know anything about Maya.\" But the cops simply nodded until Jansey hesitated, looked behind her, then shrugged, indicating they should follow her. \"Robert's over having some coffee with me,\" she explained in advance.\n\nAs Maya turned to lead the way back into the house, Bracco flashed his partner a knowing look, and Schiff acknowledged it with a nod as they fell in behind their witness.\n\nIn the kitchen Robert Tripp sat at the table, again in his green medical scrubs. He'd heard the doorbell and then the discussion at the door and appeared, if not actively enthusiastic about the police presence, then at least engaged. \"Hey.\" He stood up, coming around the table and shaking both of their hands. \"Jansey and I are just having a cup,\" he said. \"It's hot and fresh. Bay Beans's finest.\"\n\n\"Sounds good to me. Black.\" Schiff would take anything that would give her and Bracco more time to chat with Jansey and Robert. \"Where's Ben this morning?\" she asked.\n\n\"Preschool. Eight to twelve.\" Jansey looked at Bracco. \"Inspector? Coffee?\"\n\n\"Sure,\" he said. \"Why not? Two sugars, please.\"\n\nJansey was grabbing mugs and putting them on the counter when Tripp declared, \"White sugar'll kill you.\"\n\nBracco let out a halfhearted chuckle. \"That,\" he said, \"or something else. I promise you, sugar's the least of my worries.\" He pulled a chair around and straddled it backward. \"So, Robert, let me ask you this. When do you go to school?\"\n\nThe question, perhaps intended to get a rise, drew only a muted reply. \"I got off at midnight. I'm back in at noon. Twelve on, twelve off, this week. Oh, and I'm on call during the off hours every third day, lest we start to catch up on sleep. That would be wrong.\"\n\n\"They don't want you to sleep?\" Schiff asked. \"Isn't that dangerous for patients?\"\n\n\"If it turns out it is,\" Tripp said, \"you're out of the program. If sleep's more important to you than medicine, you don't want to be a doctor bad enough anyway. If lack of sleep affects your performance, you don't have what it takes. I don't think there's an American-trained doctor in the world who hasn't gone through five years of serious sleep deprivation. It's part of the culture. If you can't hack it, get another gig.\"\n\nJansey set the mugs in front of the inspectors. She put a quick hand on Tripp's shoulder. \"Robert's record is four days without a minute of sleep.\"\n\n\"That's a long four days,\" Bracco said.\n\nTripp broke a tired smile. \"That was a long month, Inspector, let me tell you. I finally fell asleep outside an OR, standing up in the hall, which I didn't think was possible until then. Luckily, one of the nurses noticed and got me onto a gurney, pushed me into an empty room.\"\n\nSchiff blew over her coffee. Bracco took his first slurping sip and pulled his tiny portable tape recorder out and put it on the table.\n\nJansey got herself settled into the chair next to Tripp, reached over and touched his hand on the table, then brought her hands back, clenched in front of her. \"So, back to what you came for, I don't really know what I can tell you about Maya. I've only met her a couple of times.\"\n\nBracco and Schiff exchanged a glance and Bracco took the lead. \"We're looking at the possibility that Dylan might have been blackmailing her.\"\n\nThe news didn't seem to startle Jansey. Still, she asked, \"Why do you say that?\"\n\n\"Couple of reasons,\" Bracco went on. \"First, his salary. She paid him ninety grand a year. For comparison the same job at Starbucks pays around forty.\"\n\n\"Yeah, but he'd been there nine years.\"\n\n\"Okay, so say he got raises every year. That brings him up to fifty, or even sixty. Ninety's still a good ways out of the box. Second, some employees at the shop have told us that when Maya came in, which wasn't very often, Dylan treated her like she was the help, like he had something on her. And if he did, it's hard to believe he wouldn't have mentioned at least something about it to you at some time.\"\n\nThe young woman stared down at the table.\n\n\"Jansey,\" Schiff put in, \"if he was blackmailing her, it may have been part of the reason he was killed.\"\n\nThis brought her head up. \"You mean she might have killed him?\"\n\n\"We don't know,\" Bracco said. \"If we've got a blackmail situation, that'd be something we'd be forced to consider.\"\n\nSchiff expanded on the theme. \"It might have just been an ongoing thing covered in his salary. So it wasn't like she was paying him every month out of her own cash.\"\n\n\"Even the ninety wasn't enough,\" Jansey said. \"It was only sixty after taxes, you know. Why do you think he needed to sell weed? If he was blackmailing her, he could have just asked for a raise, and she would have had to give it to him, right?\"\n\n\"Maybe,\" Bracco said. \"But also maybe she told him she was at the limit, she couldn't or wouldn't go any higher. Her husband wouldn't let her, I don't know, something. Did he tell you he wanted to ask her for more money recently? Something that would have made him a danger to her again?\"\n\n\"He always wanted more money.\" She looked across from one of them to the other. \"You're right, though, about him not being afraid of her, or of losing the job.\"\n\n\"But he never talked about why?\" Schiff asked.\n\n\"The most he ever said was that she owed him.\"\n\n\"There you go.\" Bracco leaned forward. \"Did he say what she owed him for?\"\n\nFor a second she appeared to think about it. \"It wasn't like we really ever talked about it,\" she said. \"Once or twice he might have said something like, 'She won't fire me. She owes me her life.' But that was just Dylan being dramatic. She owed him her life. I'm sure.\"\n\n\"If that's a grieving woman,\" Bracco said as soon as they were rolling in their car again, \"I'm the shah of Iran.\"\n\n\"I don't think there's been a shah in Iran for a few years, Darrel.\"\n\n\"Lucky for me,\" Bracco replied. \"And I don't really want a leadership role in Iran anyway. Just think about it, no booze, no women. Talk about dull parties. I can't even imagine what the inaugural ball must be like. But I wasn't so much talking about Iran as the grieving part. If those two don't have something going on, they will soon, don't you think?\"\n\n\"If body language talks, it's already happening. And the little kid's gone every morning for four hours when Tripp's home. I'm tempted to give them fifteen minutes and go back and catch them in the act. Then we'll at least have caught the future Dr. Tripp in a lie, and it might lead to something else, like their meshing alibis.\"\n\n\"You think it might have been them together?\"\n\n\"I think that if they're an item, and let's pretend they are, they both wouldn't mind seeing Dylan dead.\"\n\n\"Why wouldn't she just have left him?\"\n\nSchiff, driving, thought for a while. \"This isn't a complete list, but offhand here are the first reasons that occur to me. Because of the beatings he had power over her. Two, Ben was Jansey and Dylan's kid together. Or maybe Tripp wasn't that serious, just some recreational sex while the old man was at work. Then, finally, Dylan brought in the money and lots of it, where Tripp's a destitute student. That enough?\"\n\n\"It'll get us started, Debra. In fact, assuming Tripp and her are serious, killing Dylan's a solution to three of their problems, maybe even all four if Tripp's good for taking over the father role. But I'll tell you something else.\"\n\n\"What's that?\"\n\n\"I'm getting sick of all this theorizing. You ever get tired of people lying to you?\"\n\n\"No. It's my favorite. But who this time?\"\n\n\"Jansey.\"\n\n\"You think she knows what the blackmail's about?\"\n\n\"You don't? She's lived with the guy for like five or six years and doesn't know something that basic to Dylan's work? To their whole situation? If Dylan was blackmailing Maya, she might have known about it, might have even been part of it.\"\n\n\"Might might might.\"\n\n\"I know. I agree. And if she\u2014Jansey\u2014and Dylan were in cahoots on that, where does that take us?\"\n\n\"It gives her less of a motive to shoot him, if that's their business together. And that puts Maya back square in the middle of the picture.\"\n\n\"Except if Jansey's really in love with Tripp and wants out with Dylan.\"\n\n\"So we've got Maya alone? Or Jansey alone? Or Jansey and Tripp together? Or a random shooter out for a stroll?\"\n\n\"I'm not leaning toward random shooter.\"\n\n\"No, me neither.\"\n\nThe two inspectors rode along in silence for a couple of blocks, until at last Schiff said, \"We've got to figure out a way to turn up the heat.\"\n11\n\n**Hardy showed up** by surprise with deli sandwiches and Diet Cokes in Farrell's office, but they'd barely unpacked the lunch when Hardy took the call from Frannie. The partners were both sitting on the dilapidated couch, their food and napkins and bags of chips and cans of soda untouched on the low table in front of them.\n\nFrannie told him that she'd just gotten off the phone with Treya and they had brought Zachary out of the induced coma and done something called a \"pinch test\" and that he'd reacted, which apparently was very good news. The swelling had gone down considerably and they were now talking about reinserting the dura mater and closing up the brain again within the next couple of days.\n\nThe doctors were starting to think, and had told Treya and Abe, that their son appeared to be out of immediate danger, on the mend, and that he might recover completely. Although with these types of injuries there would be a long watch-and-wait period to determine if there were going to be any ongoing problems with development, cognition, or motor skills. This still sounded quite serious to Hardy, and Frannie agreed with him that it was, but compared with what they'd been looking at for the past four days, it was the best possible news.\n\nHanging up, Hardy, with a great sense of relief, reached for his drink and sat back on the couch. \"See?\" He recounted the gist of the conversation, concluding with, \"Things sometimes do turn around for the better.\"\n\nFarrell still wasn't much in the mood to agree with him. In fact, his confidence and spirits had retreated so far that he'd worn a regular business suit to work today, and without a funny T-shirt under it. He'd gone out earlier in the morning and trimmed his thick gray-brown hair to a length that qualified as relatively normal. Now Wes hunched on the couch, holding his sandwich over the table in front of him, shredded lettuce spilling, condiments dripping. \"Sometimes they do, and I'm glad as hell for Abe's kid, and for him. But I haven't even told you yet about Jeff Elliot's call this morning.\"\n\n\"What did our paper's most esteemed columnist have to say?\"\n\n\"He just wanted to give me a heads-up 'cause we're friends. The _Chronicle_ 's talking about running the weed story and including the whole list of us alleged dope-smoking fiends.\"\n\nHardy was shaking his head. \"Can't happen. Won't happen. Never in a million years.\"\n\n\"Why not?\"\n\n\"Because your name on a list on somebody's computer doesn't mean anything. You didn't admit anything to Schiff when she called and asked you about it, did you?\"\n\n\"I'm sure.\" Farrell rolled his eyes. \"What, I'm retarded?\"\n\n\"That's my point. You're not. So you didn't cop to it. So she's got nothing she can prove. Besides, no way does this make 'CityTalk.' That doesn't sound like Jeff.\"\n\nFarrell chewed and swallowed, chasing with Coke. \"No. He was talking regular news. And you might be right about the libel problem, but the _Chron_ 's got to be tempted. It's a great story.\"\n\n\"It's a nonstory. They can't run it.\"\n\n\"Okay, good. But evidently there's more than a few semipublic figures on the list, not including yours truly and Wyatt's guy. And the public would like to know.\"\n\n\"Like who?\" Hardy asked.\n\n\"Jeff, God bless him, didn't want to name names to me. But at least one judge, more than a couple of city department heads, several prominent educators, two supervisors, a few actors and like that, public personalities, and, oh yeah, some DAs . . .\"\n\n\"You want to talk screwed,\" Hardy said. \"Just on the innuendo, those DAs are screwed. At least the ones that didn't have the sense to get medical marijuana cards.\"\n\n\"Yeah, heads are gonna roll for sure. If I still worked here, I'd swoop and scoop 'em up cheap and get 'em on our payroll.\"\n\n\"You're still working here, Wes. Don't worry about that.\"\n\n\"I'm not worried about getting fired, Diz.\" He looked sideways down the couch. \"Tell you the truth, I'm just embarrassed as all shit to have exposed the firm like this. You and Gina don't deserve it, and it doesn't exactly put on the best face for the associates, either, does it?\"\n\nHardy waved that off. \"Wes, it's marijuana in San Francisco in the twenty-first century. It's going to blow over in a week, maybe two. I appreciate your feelings but truly, nobody really cares.\"\n\n\"They will if this murder turns out to be about a little benign weed.\"\n\n\"It won't come down like that. Whoever shot Dylan, he didn't steal any of it.\"\n\n\"How do you know that?\"\n\n\"He was still wearing his backpack, which was full of it. How about that?\"\n\n\"How about if he also happened to be pushing a shopping cart loaded with the stuff and the shooter ran off with that?\"\n\nThat proposal stopped Hardy short for a second, but then he shook his head, banishing the unwelcome thought. \"That didn't happen, Wes. Look, worst case, if the _Chronicle_ does the story, it'll sell a few papers, but it's a nonissue to everybody else.\"\n\nIn fact, it wasn't a nonissue to at least one San Francisco official\u2014the newly minted special assistant United States attorney, Jerry Glass.\n\nThe previous U.S. attorney in San Francisco, construed by the attorney general's office to be too liberal, had been one of the notorious Alberto Gonzalez fires. Upon taking office his replacement wanted to waste no time establishing his credentials as a hard-line prosecutor, aligned four-square against the permissive culture of the city that Herb Caen, the legendary columnist for the _Chronicle_ , had christened Baghdad by the Bay. For some years after his graduation from law school, Jerry Glass had been an assistant district attorney in Orange County, following his boss the district attorney to Sacramento as a speechwriter during the first appointments of the Schwarzenegger era, eventually catching on as an assistant director of one of California's dozens of bureaucracies, the Department of Alcoholic Beverage Control.\n\nGlass, thirty-five by now, was a well-built though slightly overweight, plain-looking specimen with an office worker's pasty complexion. He shaved close and wore his light brown hair short, parted low on the right. He trimmed his sideburns up around the top of his ears. He was also aggressive and ambitious and had seen his ABC assignment\u2014accurately\u2014as a dead end. He'd had r\u00e9sum\u00e9s out and was in a holding pattern when his ex-boss, now an assistant attorney general in Washington, D.C., tapped him for the San Francisco job, and he jumped at it. With this plum in his lap Jerry had no intention of following in the footsteps of his predecessor and, among other priorities, set to work immediately making efforts to shut down the city's medical marijuana parlors, of which there were dozens. This was always a somewhat delicate endeavor, since the state of California, as well as the city and county of San Francisco, either sanctioned or at the very least turned a blind eye to these so-called compassionate use facilities.\n\nBut Jerry was there to enforce U.S., not local, law, and the use of marijuana was a federal crime. He got his name in the paper several times during his first year in office for busting some of the medical marijuana folks, but except for burnishing his conservative credentials\u2014not exactly a plus in the San Francisco cultural environment\u2014these actions did little, if anything, to raise his profile.\n\nAnd suddenly, here in his office this cool Wednesday afternoon, all by herself, was Debra Schiff. He'd run into the very attractive homicide inspector a couple of times at the bar at Lou the Greek's and he'd planned to meet her there some more if he could, but here she was now, telling him about this murder of a coffee-shop manager out in the godforsaken Haight-Ashbury.\n\nTo date, Glass had only been aware of rumors and what he'd read about this particular murder in the papers. Astoundingly, he thought, Schiff was telling him with a straight face that she and her partner, Bracco, hadn't brought up the dope connection to the news media before because it simply _didn't occur to them_ that it might be of some special importance\u2014since apparently no marijuana had been stolen, it couldn't have been part of a motive in the case.\n\nShe waved off his objection. \"No, listen, Jerry, there's _always_ dope somewhere in a homicide picture. A roach in the drive-by car, some paraphernalia around a DD\"\u2014domestic disturbance\u2014\"gangbangers loaded up with coke or heroin. So it's always there someplace. You don't comment on it any more than you'd talk about the weather. 'In other news tonight,' she said in her best anchor voice, 'Shawahn Johnson was shot seventeen times in an apparent drive-by shooting in Hunters Point when the fog was in.' Generally, we don't mention the fog.\"\n\n\"But this fellow, Vogler, he had an entire marijuana garden in his attic, didn't he? Thousands of dollars' worth, right?\"\n\n\"Right. But again we didn't have any reason to believe that was part of our case at the outset. We handed the dope part over to the narcs and that might have been the end of it.\"\n\n\"But for what?\" Glass adjusted his spectacles.\n\nFor the next few minutes Schiff ran the highlights of their investigation. \"The bottom line, though,\" she concluded, \"is that we think . . . in fact, we're morally certain that Maya, Jansey, and Robert Tripp have lied to us, in some cases more than once. We have motives for each of them, both alone or possibly together in the case of Jansey and Tripp, but almost no evidence and certainly nothing we can use to bring any leverage to bear on getting anybody to talk. We're pretty sure, for example, that Vogler was blackmailing Maya, and that Jansey may have known about that, but if they both say, 'No he wasn't,' we're stuck.\"\n\n\"You can't just lean on them harder?\"\n\n\"We could, but as I say, it's kind of pointless without some new leverage, some change in the status quo. There's no physical evidence that's very compelling.\" She shook her head. \"Besides, we've already gone back and talked to all of them at least twice, but Jansey and Tripp are at the very least well-rehearsed, and Maya's got herself a lawyer. Plus, you know, we've got to walk a little easy around her anyway.\"\n\n\"Why's that?\"\n\n\"The whole political thing, which I hate, and Darrel hates, but there you go. The plain fact is, Darrel and Harlen Fisk used to be partners, and she's Harlen's sister.\"\n\nJerry's eyes lit up. \"Are you talking Supervisor Fisk?\"\n\n\"Right.\"\n\n\"Which also makes her the niece of Mayor West?\"\n\n\"I guess so, yeah.\"\n\nJerry Glass pulled himself up straight in his chair, his attention now riveted. \"Is Mr. Fisk interfering with your investigation? Is he talking to your partner?\"\n\n\"Not that I know of, no. That would be a little awkward, even if . . .\" She stopped.\n\n\"What?\"\n\n\"Well,\" she said, \"Harlen, among many other names you might recognize, was one of Vogler's regular customers.\"\n\nThis stopped Glass dead. He squinted through his glasses, across at her. \"Marijuana customers? You're sure of that?\"\n\n\"Absolutely. He's on the list.\"\n\n\"The list?\"\n\n\"I'm sorry. Haven't I told you yet about the list?\" She gave him that news, the incriminating computer records. \"Anyway, in short it looks like there's a ton of connections between all these people, and we'd like an excuse to shake their trees and find out if we can what those connections are. The blackmail, for example. What was that about? Was it serious enough that Maya might have killed to keep it quiet? Or, on the other hand\u2014\"\n\n\"No\"\u2014Glass raised his palm to her\u2014\"hold up a minute. Let's go back to what might really make a difference. You've told me that Maya says she didn't know this weed was sold out of her shop, right? How credible is that to you? Especially if her brother was one of the customers.\" He waited, a smile beginning to play at the corners of his mouth. \"That's what I thought. And beyond that, if the mayor\u2014I'm kind of new in town, but Harlen's her prot\u00e9g\u00e9 if I'm not mistaken\u2014I mean, she'd know as well, or might know. How much was Maya paying Vogler again?\"\n\n\"Ninety thousand,\" Schiff said.\n\n\"Well, that's enough, or almost enough, to live on, right? Do you think it's actually possible that he _didn't_ kick back some percentage of this drug money to Maya, who had, after all, set him up in business?\"\n\nSchiff kept nodding. \"You're saying Vogler\u2014\"\n\n\"I'm saying it sounds to me like he was her partner on the dope side as well. Which would explain his cavalier attitude toward her as much as blackmail, wouldn't it? He can treat her any way he wants and she can't fire him, can she? Since he's her supplier. They're in it together hip deep.\"\n\nGlass was making sense, although neither she nor Bracco had yet considered the possibility that this whole thing might, in fact, be about the weed. Schiff's hope, and the reason she'd come to visit Jerry Glass today, was that he could start some kind of a U.S. prosecution on the marijuana issues that would make the principal witnesses nervous enough about the possible dope charges against them that in exchange for lenient treatment on that score, they would perhaps be inclined to trade information they might have about the murder.\n\nBut now Jerry's take took it to a different level, contemplating that Maya herself might have been the prime mover, and armed with political connections and possibly even police protection, she would have been all but invulnerable to suspicion, much less prosecution.\n\nAnd then\u2014instead of this imagined blackmail about what she'd maybe or maybe not done in her past\u2014the murder had simply been the usual dope deal gone bad. Maya had killed her employee because of any number of common reasons\u2014he wanted a bigger cut, he was selling to his own customers and leaving her out, he was either getting sloppy or hard to control.\n\nNow Jerry Glass settled back into his chair, his hands clasped on the desk in front of him, a faraway glint in his eyes over a tight-lipped smile. \"I know how we can get these people to talk,\" he said.\n\nBack in his office once again, Glitsky sat slumped, his elbows on the armrests of his chair, his hands joined in front of his mouth. He was back in at work because what else was he going to do? Zachary was coming out of the coma, although they were going to operate on him again to close up his skull tomorrow. Rationally, he knew that there was reason for hope, and yet all he could feel was a deep self-loathing. Regardless of what Treya or Hardy or anyone else said, he knew that all of this was his fault.\n\nThrough his lack of attention he'd allowed his son to be hit by a car\u2014there was still a reasonable chance that his boy could die. Even if he didn't die, he might never be completely right in the head again. And they might not know the extent of those injuries, if any, for years.\n\nHe'd left the lights off at the door, so again the high windows provided the only illumination, and not much of it at that.\n\nHe clearly wasn't welcoming guests.\n\nNevertheless, somebody knocked and he straightened up and intoned, \"Come in.\"\n\nBracco poked his head in. \"Sir? Lights?\"\n\n\"Sure.\"\n\nGlitsky covered his face with one hand against the sudden brightness, then lowered the hand and faced both of his inspectors with a flat eye. \"Come on in. Have a seat.\"\n\nBracco was on his way over to a chair, but Schiff saw him and noticed something and stopped in the doorway. \"Are you okay, Lieutenant?\"\n\nHe turned to look at her and surprised himself when he said, \"My son's in the hospital. He got hit by a car. He came out of a coma this morning, but he's got another operation tomorrow. I'm sorry I've been out. What can I do for you two?\"\n\nBoth of the inspectors broke into condolences and questions, and he responded and answered dutifully without really hearing many of the individual words. They were just noise against the constant thrum of the guilt in his head.\n\nAnd then finally he became vaguely aware that they were talking about something else, something to do with their case, and after a couple of minutes of that\u2014mostly more white noise\u2014he held up a hand. \"Whoa up,\" he said to Schiff, who appeared to be acting as spokesperson. \"Can you repeat that last part? Are you talking about Jerry Glass? Federal Jerry Glass?\"\n\n\"Yes, sir, but that's what makes this so good, at least potentially. He says the dope is enough, especially in the quantity we found at Vogler's place, to trigger a forfeiture.\"\n\n\"Forfeiture?\"\n\nSchiff nodded with enthusiasm. \"Confiscating their property.\"\n\nGlitsky said, \"I know what forfeiture is, Debra. But whose property?\"\n\n\"Maybe Vogler's, if for example we can prove that he used any part of the profits from the drug sales to pay off his house. But also Maya Townshend's, and even better, maybe her husband Joel's.\"\n\n\"Townshend Real Estate?\" Glitsky asked.\n\nBracco finally spoke. \"It could be huge, Abe. Millions and millions.\"\n\n\"They were in the drug business? I thought she didn't know anything about that.\"\n\n\"Well, that's her story,\" Schiff said. \"But Darrel and I don't really believe it. And Jerry Glass doesn't believe it. And he thinks he can get a federal grand jury motivated to prove it.\"\n\n\"Well, all that's well and good, but how's it relate to the homicide you're trying to bring to trial? We're still doing homicide here, right? That hasn't changed during my short absence?\"\n\n\"Jerry thinks there's much more going on, and that Vogler's murder's in the middle of it. He gets these people into a forfeiture situation on the civil side, then he gets to ask them anything on the criminal side in secret with the grand jury, they look into their assets, get connections we wouldn't have a chance at.\"\n\n\"Plus,\" Bracco added, \"the threat alone. It's pretty powerful leverage. They tell us the truth or\u2014\"\n\nGlitsky cut him off. \"I get the concept,\" he said, \"but I can't say I really like it.\"\n\n\"What's not to like?\" Schiff asked.\n\n\"Well, for starters, if you don't have any evidence, how do you decide that these people are your suspects? Or that one of them is. You leaning toward any one of them?\"\n\n\"Maya doesn't look bad for it, Lieutenant,\" Schiff said. \"She was down there, it was her gun. We know her relationship with Vogler was squirrelly at best.\"\n\n\"So bring her downtown and sweat her.\"\n\n\"Not so easy,\" Schiff said. \"She's already lawyered up. Your friend Diz Hardy.\"\n\n\"Wonderful.\" Glitsky studied the ceiling for a moment. Then, \"What about this list of Vogler's customers? You don't think it's reasonable he was killed by one of them?\"\n\n\"Why?\" Bracco asked.\n\nA shrug. \"The usual stupid reasons, Darrel. He cut the dope with parsley and somebody didn't like it. Or one of 'em graduated to crack and just went psycho. Or he stiffed a guy for five bucks. Or any one of a hundred other reasons. Have you talked to any of these people?\"\n\n\"Some,\" Schiff said. \"There's seventy-two of them, Abe.\"\n\nHe nodded soberly. \"I'm sorry about that, I really am. But it seems to me that at least you've got to talk to them, if only to eliminate. Find out who was where on that Saturday morning. I know it's tedious, but that's the job. Sometimes we've just got to grind it out.\"\n\n\"What about Jerry Glass?\" Schiff asked.\n\n\"I don't know,\" Glitsky said. \"If I'd have been here, I might have suggested you two hold off on going that route for a while, at least until somebody pops up as a bona fide suspect that the forfeiture or the grand jury might squeeze. Now I think we just gotta hope he doesn't get too much in the way.\"\n12\n\n**As was often** the case early on a workday, Craig Chiurco was lounging in the small reception area of The Hunt Club, Wyatt's office in the heart of Chinatown, chewing the fat with his girlfriend, Tamara Dade, who answered the phones and occasionally did fieldwork\u2014taking pictures, tailing female witnesses. Tamara, twenty-six, tended to dress for the office in brightly colored miniskirts with form-hugging tops, and there was ample form to hug over the tight, and often exposed, stomach with its tasteful little gold naval ring. Today only the ring's shape showed under the orange leotard an inch or two before it disappeared into her black skirt\u2014Halloween was coming up.\n\nCraig, maybe five years her senior, had been going out with her now for about three years, although they still maintained separate apartments. After four years working with Hunt, doing anything he was asked to do, but mostly subpoena service and stakeout work, Craig had acquired enough hours in the profession to start the application process for his own private investigator's license. But, of course, being on Vogler's list, his career plans were in jeopardy. And he was saying so to Tamara.\n\nWho dismissed the idea with a wave. \"Wyatt already told you not to worry about that.\"\n\n\"Oh. Okay, I won't then.\"\n\n\"Craig. Really. He's the one paying you, so if it doesn't bother him, how is it going to hurt you?\"\n\n\"It goes on my record and I have to put that on my application . . .\"\n\nTamara shook her head. \"It's a misdemeanor at most, Craig.\"\n\n\"That would do it, though, Tam, which is kind of the point.\"\n\n\"But you don't even have that. The only way that happens is if they catch you with the actual weed. Being on this list isn't proof of anything. And you've gotten rid of all your stuff, so even if they come and search your place\u2014as if\u2014then so what?\" She gave him a tolerant look. \"You're just upset because you got caught. And because now Wyatt knows.\"\n\n\"Maybe some of that.\"\n\n\"Except he doesn't care. You don't think he's smoked a little weed in his time?\"\n\n\"I'd bet not much.\"\n\n\"Well, you might be right there. But don't you think he supposes you and me maybe were together a time or two that your alleged dope-smoking took place?\"\n\nCraig, reclining sideways with his knees up over the edge of the small love seat that was the only place for a guest or a client to sit, broke a small smile. \"I didn't rat you out, Tam. Promise.\"\n\nShe favored him with her own smile. \"I didn't say you did, Gala-had, and I know you wouldn't. But that doesn't mean that Wyatt wouldn't have put two and two together\u2014or in our case, one and one.\" She picked up an emery board from her desk blotter and started working on one of her fingernails. \"I think the smart thing for you and me to do, which we've already done, is just take it as a wake-up call to be a little smarter, give the stuff up altogether.\"\n\nChiurco, arms crossed, pursed his lips at that request.\n\n\"What?\" Tamara asked. \"Would that really be so hard?\"\n\n\"Not really hard. More like just unnecessary. I like the stuff. _You_ like the stuff. Everybody agrees it shouldn't be illegal. So why should I be coerced to give it up entirely?\"\n\nTamara held up one finger. \"Me, me, Monty, call on me. How about because it _is_ illegal? Whether it should be or not. And you want to work around law enforcement. You get caught with it\u2014you said it\u2014it's on your record. It can affect things\u2014your application, for example. So there's a reason to give it up right there.\" She pushed back her chair and turned to face him. \"The thing is, though, in real life nothing's going to happen around this. Your name is on a list that may or may not have been this guy Vogler's clients. It might have just been people who owed him money.\"\n\nA short laugh. \"That too.\"\n\n\"Well, that's fine. You may know that. But the police just can't know anything, or prove anything, about anybody on that list. Even if everybody else owned up and said they were his customers, that still wouldn't prove that you were. And, by the way, if you're worried that the paper might print it, forget it. They'd get sued from here to Italy. It won't happen.\"\n\n\"Okay,\" he said. \"I'm convinced.\"\n\n\"Good. I mean, bottom line is we just don't do it anymore. Easy enough, right?\"\n\n\"It should be,\" Chiurco said.\n\n\"Well, there you go. Done deal.\"\n\nWyatt Hunt looked briefly out onto Grant Street through the one window across from Tamara in the reception area, then turned back to his employees. \"I will entertain even the smallest crumb of an idea.\"\n\n\"Do we have a hint,\" Chiurco asked, \"of what we're looking for? Or some kind of timeline?\"\n\n\"Hardy thinks when she was in college, so ten to fourteen years ago. In the city here. Something she was embarrassed by, or worse. Obviously, he thinks, something she could still get in trouble for if word gets out.\"\n\n\"Well,\" said Tamara, who had taken her share of criminology classes as well, \"the statute of limitations would have run out on almost anything she did back then, except if she killed somebody. What did Vogler do that got him in prison? Could she have been involved in that?\"\n\nHunt pointed a finger at his secretary. \"There you go. There's someplace to start. If she was any part of that, and Vogler took the fall for it . . . how well did you know him, Craig? Did he ever talk about that?\"\n\n\"Not to me. I barely knew him at all, except through the coffee shop. Maybe we could get our hands on that list and ask some of those people what they know?\"\n\n\"I wouldn't bank much on that. Besides, I'm thinking what Tam suggests is probably going to be more productive. See if he had an accomplice or two and go talk to them.\"\n\n\"Hardy should just ask her,\" Chiurco said. \"Whatever she tells him, it's privileged, right? Nobody else would have to know. I don't see the problem.\"\n\n\"Well, one problem, Craig, not to sound mercenary, is if he asks her and she tells him, there goes our fee. But the other thing is that she's evidently cut a deal with her husband\u2014his name's Joel\u2014that she's not going to be seeing Diz except with him there with them too. So what's that leave?\"\n\nTamara raised her hand like a good student and spoke right out. \"She doesn't want Joel to find out.\"\n\n\"Ten points.\" Hunt nodded. \"That's my guess too. Which of course means it might not be a criminal thing at all. Just some behavior she'd rather he never knew about.\"\n\n\"She had an abortion,\" Tamara said.\n\nAgain, Hunt nodded. \"Not impossible. Especially being a good Catholic and all like she is, like they are.\"\n\n\"Wait a minute.\" Chiurco swung his body around and sat up. \"She pays Vogler ninety thousand dollars a year just so he won't tell her husband that she had an abortion? And Vogler's the only one who knows? I don't think that flies.\"\n\n\"I don't know, Craig. Stranger things have happened. Maybe Vogler was the father.\" Hunt pushed himself off the window ledge. \"But why don't we see what we can find out about this prison time he did, who he might have been hanging with, see if it leads us back to Maya in any way?\"\n\n\"I'll take that,\" Chiurco said.\n\n\"Fine. Meanwhile, I'll dig around and see if I can talk to somebody who remembers her from school. I talked to Diz about this yesterday and he's a little worried, beyond everything else we've talked about, that if Vogler was blackmailing her, she might know something dangerous that she doesn't know she knows. So there's a bit of urgency.\"\n\nChiurco was on his feet. \"I'm all over it,\" he said.\n\nAt a little before noon, with a full blustery fall day building up around them, Bracco and Schiff were back out in the Haight-Ashbury, this time talking to an elderly woman named Lori Bradford. They were all sitting around a small wooden table with a lace tablecloth in a nook off her kitchen. She lived on the second floor of an apartment building looking out over Ashbury, several structures up and across the street from the alley where Dylan Vogler had died.\n\nShe'd of course seen the police and the crowd last Saturday and since then had read about the murder, following the story rather closely in the newspaper. Over the last couple of days she had been trying to decide if it would be worthwhile to call somebody about a possible discrepancy that she'd noticed, and finally thought that, yes, it would be, and here they all were.\n\n\"Are you sure about this?\" Schiff asked her.\n\n\"Yes. Absolutely. There were two shots, not just one.\" Mrs. Bradford, in her late sixties, had dressed for her appointment with these inspectors in a pair of purple slacks over sensible black shoes, and a black turtleneck. \"I thought at the time I heard them that I should have called nine one one, but then there wasn't any more noise, and no screaming or anything like that, so I just assumed it must have been a backfire or cherry bombs or something. If it was a real emergency, someone else would have called nine one one anyway, I thought. It wasn't that I didn't want to get involved. People always say that, I know, that they don't want to get involved, but I don't have a problem with that. But I think I just convinced myself that it was probably nothing. I looked out the window there\u2014you see how you've got a clear view of the first twenty or thirty feet of the alley anyway\u2014and didn't see anything moving. Or on the street either. And then I didn't want to send a false alarm, which would have been worse than not calling at all. Wouldn't it? Anyway . . . ,\" she said. And trailed off.\n\n\"Well, it's good you called at whatever time, ma'am,\" Bracco said. \"But we haven't heard anybody else talking about more than one shot.\" Bracco's face reflected his frustration with San Francisco's laissez faire reality. This wasn't Hunters Point, exactly, in terms of gunshots per minute, but Bracco thought it wasn't such a high crime area that a couple of gunshots would be a completely normal event. And yet, apparently, no one among the citizenry had seen fit to rally to report them. If it wasn't napalm, he figured, nobody paid attention.\n\nMrs. Bradford looked from one inspector to the other, as though soliciting their forgiveness. \"Nobody else called nine one one, then?\"\n\n\"No, ma'am.\"\n\n\"Oh, then I really should have, shouldn't I?\"\n\n\"I wouldn't worry about that, Mrs. Bradford,\" Schiff said. \"The point is that you called now and we're here. Inspector Bracco and I will check with dispatch and see if anybody called to report these shots or make a noise complaint on Saturday morning. Maybe they didn't think it was an emergency, and then it wouldn't have come to us through dispatch.\"\n\nBracco leaned forward, elbows on the table. \"Could you tell us a little more about these shots, ma'am? How far apart were they spaced, for example?\"\n\nMrs. Bradford sat back and stared off into nothing for a second or two. \"I'd say about a minute. A fairly long time, anyway. They weren't right away, one after the other. I was awake, I remember, but still in bed, when I heard the first one, and I kind of lay there wondering what that was for a while, and if I'd really heard it. You know? The way you are when you're half awake. And then I decided I'd really heard something and got up to see if I could see what it had been and I was just in the hallway there when the second one went off.\"\n\n\"And what did you do then?\" Schiff asked.\n\n\"Well.\" Mrs. Bradford's face grew animated at the recollection. \"Well, then, I of course got to the window as fast as I could and looked down at the street here, and I could see the alley, too, but I didn't know that's where the shots must have come from. I couldn't tell anything, really. Anyway, but then when I didn't see anybody moving and hear anything else down below there, that's when I decided it was probably nothing and not to call nine one one.\"\n\n\"Mrs. Bradford,\" Schiff asked, \"did you happen to notice the exact time of these shots?\"\n\n\"Yes,\" she said. \"It was ten minutes after six. The second one, I mean. The first one, just before that. Six oh eight or nine.\" She pointed. \"There's the digital on the stove.\"\n\n\"And how sure are you,\" Bracco asked, \"that it was the same kind of sound?\"\n\n\"Oh, the same, definitely. If the second one was a shot, the first one was a shot, and vice versa. Loud, and sharp. Louder than TV.\" Back to her recurring theme, she said, \"I really should have called nine one one. Someone might have gotten here in time to catch the killer.\"\n\n\"Really, Mrs. Bradford\"\u2014Schiff patted her hand on the table\u2014\"I wouldn't lose one minute of sleep over that. You've done the right thing to call us now, and this is a very important bit of information that we didn't have before.\" She cast an eye on Bracco. \"This may change our entire theory of the case, and it's all because you're a good citizen. We thank you very much.\"\n\nOn the second flight down the stairs, out of earshot, Schiff started talking about it. \"You believe her?\"\n\n\"I think she heard something.\"\n\n\"There was only one bullet missing from the murder weapon.\"\n\n\" _Maybe_ the murder weapon. Consistent with the murder weapon. And I kind of vaguely remember, Debra.\"\n\n\"Vogler didn't shoot somebody in that alley.\"\n\n\"Nope.\"\n\n\"And there was only one casing.\"\n\n\"Yep.\"\n\n\"Which means what?\"\n\n\"It means the woman's going on a hundred. She's bored living alone. She heard some noises maybe the same morning Vogler was shot.\"\n\nThey came out into the overcast and windy day and turned downhill toward Haight, where, even though they'd parked legally in an open metered space, Darrel had gone through his radio-over-the-rearview-mirror and business-card-on-the-dashboard routine. They were walking on the opposite side of the street from Bay Beans West, and as they came abreast of the place, Schiff hit Bracco on the arm. \"Darrel,\" she said, \"wait up. Look at that.\"\n\nThey both stopped.\n\n\"What?\" Bracco asked.\n\n\"On the door.\"\n\nBracco squinted to look, then stepped off the curb and started across the street. \"What is that?\"\n\nWhen they came closer, the answer presented itself. Taped to the front door was an official yellow-colored single sheet of a government document with the heading \"Posting of Real Property,\" declaring that the establishment was subject to forfeiture to the federal government, as the proceeds of trafficking in controlled substances.\n\n\"Jerry Glass,\" Schiff said. \"I fucking love that guy.\"\n13\n\n**Dismas Hardy hadn't thought** to bring his trench coat to work with him this morning, and on general principles he'd be damned if he was going to take a cab from his office the dozen or fewer blocks to the Federal Building on Golden Gate Avenue. But now he was paying for his stubbornness, leaning into the teeth of a minigale as he walked, suitcoat buttoned up, hands in his pants pockets.\n\nAfter the ten-thirty A.M. emergency cries for help, first from Maya and then minutes later from Joel Townshend, Hardy had immediately placed his own high-priority call to Jerry Glass, who did not seem inclined to discuss much about the forfeiture situation on the telephone\u2014\"It pretty much speaks for itself\" was all the explanation he was ready to volunteer. But Hardy had an ace or two up his sleeve, as well, in the person of his former DA friend and mentor Art Drysdale, now one of the Grand Old Men of the U.S. Attorney's Office, and ten minutes after Hardy got off the phone with Art, Glass called him and told him he'd give him some face time if they could do it in Glass's office in the next half hour.\n\nHence the hike.\n\nBut the exercise did serve a couple of small purposes. It gave Hardy time to think. And walking into the gusts and grit really pissed him off.\n\nNow, as he walked down the perennially sterile hallway on the eleventh floor, Hardy found himself forcefully reminded of the last time he'd been down to this neighborhood on business. It had been directly across the street in the State Building. At that time, probably the best part of six years before, he'd essentially been accused of setting fire to his own home for the insurance. An arson inspector and a couple of detectives had three-teamed and threatened him with arrest until he'd called their bluff and simply walked out on them in the middle of the interview.\n\nHe wondered, not for the first time, if there was some kind of bland but powerful psychic karma in these two governmental edifices\u2014one federal and one state\u2014that attracted heartless, deceptive, self-righteous bureaucrats. For all of his dislike of the physical layout and general tone of the Hall of Justice at Seventh and Bryant\u2014which is where he normally did his business\u2014no one could argue that the place didn't thrum with almost the very heartbeat of humanity in all of its flaws and grandeur. By contrast these fat faceless rectangles of glass and granite\u2014the halls were silent\u2014seemed the embodiment of the anonymous power of the state to harm and to meddle wherever it saw fit under the rubric of enforcing the rules.\n\nAn aphorism of someone he'd once known sprang to his mind: The essence of fascism is to make laws forbidding everything and then enforce them selectively against your enemies.\n\nIt wasn't that bad, of course. Hardy had several friends, including Art Drysdale, who worked in one or the other of these buildings. But he himself avoided them whenever he could, all but unconsciously. And getting to Glass's outer office, he could neither ignore the bile that had risen in his gut nor the frisson of what felt like fear tickling at the base of his brain.\n\nGlass evenly carried twenty extra pounds on a frame about the same size as Hardy's. Today he wore a gray suit, white shirt buttoned tight at the neck, a light blue tie. With some effort he shook Hardy's hand over his desk, then sat back down and indicated either of the two beige faux-leather chairs facing him.\n\nHardy generally thought it best to start out civilly. \"I appreciate your taking the time to see me.\"\n\nGlass turned a hand up. \"Art Drysdale's a legend, Mr. Hardy. He recommends that I talk to you, that's what I do. Although I'm not sure how I'm going to be able to help you.\"\n\n\"Well, then we're a bit in the same boat.\"\n\n\"How's that?\"\n\n\"I think this forfeiture action you're contemplating is going to turn out to be an embarrassment and a mistake. I don't know how I'm going to help you avoid making it.\"\n\nGlass's mouth tightened, the lips conveying a mild distaste. \"I'm not just contemplating going forward with the forfeiture process, Mr. Hardy. I've got plenty of grounds and it's a pretty cut-and-dried precedent. You deal in drugs, your profits and whatever you buy with your profits are subject to forfeiture.\"\n\n\"Fair enough,\" Hardy said. \"But my client hasn't been dealing in drugs. One of Maya Townshend's employees evidently sold marijuana out of her coffee shop, but she didn't know anything about it.\"\n\n\"No?\"\n\n\"No.\"\n\n\"And you're sure of that?\"\n\n\"It's not a question of whether I'm sure of it, which I am. It's a question of whether you can prove it, which I don't see how you can.\"\n\n\"Well, that's another matter and what I've already convened the grand jury about. As I'm sure you know, I can't talk about what goes on in those proceedings at all. But as to whether your client knew this was going on\u2014and let's leave for a minute the question of whether she was profiting from the sale of this marijuana herself\u2014it would be hard to imagine that she didn't.\"\n\n\"And why is that?\"\n\n\"Because Bay Beans West has been the subject of no fewer than twenty-three nuisance calls from neighbors in the past five years. Almost all of them concerned flagrant marijuana use, much of it in front of children and adolescents. The nuisance complaints were, of course, conveyed not just to the manager of the business but to the owner of the establishment, who happens as well to own the building. Beyond that, and leaving out the stabbing that took place in the alley behind the place two years ago, to say nothing of the murder last week, would you care to guess how many citations for marijuana smoking have been issued in the past twenty-four months on the street directly in front of the coffee shop?\"\n\n\" _In front of_ isn't _in_.\"\n\nGlass waved that objection away. \"Forty-three. Forty-three tickets. The place is a well-known dope den, Mr. Hardy.\"\n\n\"Be that as it may, sir, and I'm not denying it, the fact remains that my client didn't know much about it. She rarely went there. She was a silent partner in running the place, that's all.\"\n\n\"She knew it well enough to have her civil lawyers come to the Zoning Commission when some neighbors tried to lift her business license three years ago. It went all the way to the Board of Supervisors, Mr. Hardy, and some say that if it weren't for her brother, they would have shut her down then.\"\n\nThis was completely unexpected and bad news to Hardy. Neither Maya nor Joel had mentioned anything about it to him. \"Okay,\" Hardy said, conceding the point, \"but this is marijuana on Haight Street. You can get it in any doorway. You can't seriously claim that BBW was the source or even a major contributor to all these tickets.\"\n\nGlass sniffed his displeasure. \"Your client is the sister of one of our supervisors and the niece of the mayor. And mustn't that be nice?\" His lips turned up, but no one would have called it a smile. \"Your client certainly knew the kind of place they were running, believe me. It's a plain and simple narcotics operation, complete with the gun that's the purported murder weapon for the latest problem there, huge amounts of cash\u2014far more than you'd expect in a coffee shop\u2014and substantial quantities of marijuana on the premises.\"\n\nHardy took in this information in silence, masking his concern with a nonchalant posture\u2014sitting back now, arms on the chair rests, his foot resting over its opposite knee. \"Mr. Glass,\" he said, \"I'm not here to dispute whether or not the place was a source for marijuana. Obviously, it was. But it's a long stretch\u2014even if my client knew about it, or had a hunch about it, or anything like that\u2014it's a hell of a long stretch to prove that she profited from the dope at all. Do you know who Joel Townshend is? He doesn't need dope money, believe me.\"\n\n\"You mean on the theory, Mr. Hardy, that people who have a lot of money don't want to have more?\"\n\n\"He doesn't need to take that kind of risk to get it. He wouldn't take that risk. Neither would she.\"\n\n\"Which came first, I wonder, the real estate or the drugs? Mr. Townshend may have a fortune, Mr. Hardy, but we intend to claim every dollar of it that came from the narcotics business. Then we'll see how much he's got left.\"\n\n\"Why would they take the risk?\" Hardy repeated.\n\nGlass had a hand stretched out casually in front of him as he scratched at his desk blotter. \"One could make the argument, I think you'll agree, given the, shall we say, personal relationship between your client and the mayor's office, that there was no risk here in this city in running any kind of illegal operation.\" Now he came forward, his eyes narrowing, a hint of real anger ruddying up the pale flesh of his face. His voice, though, remained controlled. \"She was paying the man ninety thousand dollars a year, for Christ's sake.\"\n\n\"That's right.\"\n\n\"To manage a coffee shop.\"\n\n\"Correct. Last time I checked, that wasn't a crime.\"\n\n\"No, but money laundering is. He gives her his dope money, she puts it in her or her husband's account, and they pay him back out of that.\"\n\n\"That wasn't happening,\" Hardy said flatly.\n\n\"I intend to show that it was. You get people worried about their assets, you'd be surprised what turns up.\"\n\nHardy uncrossed his legs and came forward in his chair. \"Mr. Glass, have you met these people? They didn't do any of this.\"\n\n\"No? Well, we'll see. But what's your point? That I'd like them if I met them socially? That it would matter to me? I'm sure they're charming. People who deal in cons tend to be.\"\n\n\"You've got this completely wrong,\" Hardy said. \"You don't have any facts that implicate my client in any of this. And meanwhile, you've got her threatened with this forfeiture. It's just a blunt instrument at this point.\"\n\n\"Well.\" Glass folded his heavy hands on the desk. \"It'll get us on the road to finding out what we need to know. And sometimes you just have to use the tools you got.\"\n\n\"You can still do that?\" Hardy asked from the office doorway.\n\n\"It's like riding a bicycle,\" Art Drysdale replied, \"once you've got it . . .\" He caught the last of the three baseballs he'd been juggling at his desk, tucked them into one enormous paw and, with a lot more enthusiasm than Jerry Glass had evinced, sprang up from his chair to shake Hardy's hand. \"But, hey, you're looking great. How you doin'?\"\n\n\"Any better and they'd have to change my medication,\" Hardy said. He cast a quick eye around the premises, which sported a lot more personality than Jerry Glass's digs. Of course, that might have been because Drysdale himself had a lot more personality than his gung-ho new colleague. Drysdale\u2014no relationship to the ex-Dodger Don\u2014had been a professional baseball player in his youth, making it up to the Giants for a cup of coffee in the mid-sixties, before deciding to go into the law. The bookshelf that covered his left-hand wall was packed with sports memorabilia, trophies from the PAL coaching days, photos with the great\u2014McCovey, Cepeda, Mays!\u2014and with his family, four boys, himself, and even his wife usually attired in some kind of sports uniform.\n\n\"If I hadn't just come from Jerry Glass,\" Hardy added, \"I might even be positively glowing.\"\n\nDrysdale boosted himself back up onto his desk, motioned that Hardy might want to get the door behind him. When that was done, Drysdale clicked his tongue. \"Mr. Glass didn't give you much satisfaction, did he?\"\n\n\"Oh, no. To the contrary, he was nothing if not informative. The problem was that the information sucked. You guys can really just take property?\"\n\nDrysdale grimaced. \"We're the federal government, Diz. We can do anything we want. Why? Because who's going to stop us?\" Then, in a different tone, \"I admit, it's a bit of problem for some of us. On both sides. That little, tiny potential for abuse of the system, since if you play it close enough, you don't really get seriously called on anything.\"\n\n\"And that's what Glass is doing? Playing it close?\"\n\nA nod. \"From what I hear, he's pretty much on his game, let's say that.\"\n\n\"So what do I do?\"\n\n\"What do you mean?\"\n\n\"I mean, I've got a client involved here, Art. In theory I'm supposed to keep her and maybe even her family out of this trouble.\"\n\nDrysdale let out a dry chuckle. \"Well, there's your problem. The system's kind of set up to keep you out of it. Especially if he's using the grand jury, which I happen to know he is.\"\n\n\"Yeah. He told me that too.\"\n\n\"Okay. So you'll never find out what happens there. Don't even try, Diz. No lawyers allowed. No witnesses. No talking about anything said there, ever ever. But you know this.\"\n\n\"Okay, but how's he do the forfeiture?\"\n\n\"Well, actually, that's pretty slick. He's only asking for a civil forfeiture.\"\n\n\"As opposed to criminal, I presume. But what does that mean?\"\n\n\"It means, basically, that he posts the property . . . you know anything about this at all?\"\n\n\"Not really. It doesn't come up every day.\"\n\n\"No. I'd guess not. Which is why Glass can have so much fun with it. Just for starters, you want to guess what the forfeiture rules are administered under?\"\n\n\"The Little League?\"\n\nDrysdale cracked a smile. \"Closer than you'd think, actually. The Rules of Admiralty.\"\n\n\"That was my second guess.\"\n\n\"I'll give you partial credit, then. And you know why it was Admiralty rules? Because since Elizabethan times, the British Empire allowed an action against a ship as a way of getting at the owner. They would literally 'arrest' the thing, the ship, before it took off, and make the owners in some faraway country post a bond before they would release the ship back to the high seas. Then they could collect whatever was owed from the bond. In rem jurisdiction. Latin for 'against the thing.' Just like here. Grab the store. Make the owners come to court to free it in a civil case. So basically, your clients are going to have to sue to get their shop out of this limbo, and, surprise, the burden of proof is now on them. The good news is that they get to stay in business\u2014their legitimate business\u2014until the final ruling.\"\n\nHardy walked over and settled himself into a rocking chair in the corner by the bookshelf. \"So what's the point? What's it get Glass to just post the place?\"\n\n\"Not much, if that's all he's doing. He might win, he might not. But either way, he gets their attention.\"\n\n\"So what?\"\n\n\"Aha!\" Drysdale held up a finger. \" 'So what' is that he's allowed to talk about a civil case. To the newspapers, TV, to your clients, to the cops, to anybody. He's doing the public a service by talking about it. Meanwhile, he's stirring the pot to see what rises.\"\n\n\"But as opposed to what?\"\n\n\"I'd tell you, but I know you already know.\"\n\nHardy paused, and of course the obvious truth emerged. \"The grand jury.\"\n\n\"Ta da!\" Drysdale spread his hands in a victory gesture. \"Two prongs. One public, one secret.\" His face went dark. \"It is a serious, no-bullshit press, Diz. And my sources tell me that old Jerry is playing it so far like a maestro. You know, he got his homicide inspector\u2014Schiff, is it?\u2014designated as a special agent of the grand jury?\"\n\n\"He can do that?\"\n\nDrysdale tsked. \"I believe we've mentioned that he can do anything, haven't we? He can get the grand jury to designate anybody as its agent. And what does that agent have access to? Grand jury documents, including financial and bank records, which, by the way, in real life the feds\u2014us\u2014can subpoena anytime and the state can never ever get its hands on.\" Drysdale turned a hand over. \"Now, of course, that agent can't reveal what's in those documents\u2014that's secret\u2014but she can act on her knowledge of them. Including\u2014you'll love this\u2014based on this private knowledge, she can argue for a judge to order release of these otherwise secret docs. And also, PS, if that doesn't work, once the documents leave the grand jury room, sometimes they get leaked somehow. Though that, of course again, would be wrong.\"\n\nHardy could listen to Drysdale's commentary all day, but he wasn't even slightly amused. \"This isn't right, Art.\"\n\nDrysdale laughed with some enthusiasm. \"We've barely started, Diz, and if you can't laugh at it, you're in deep shit.\"\n\nHardy sat back. \"What else?\"\n\n\"You really want to know?\" At Hardy's nod Drysdale settled himself on the desk. \"Jerry's got so many ways he can play this, it's just gorgeous. You said Kathy West may be involved here, right? And Harlen? Okay, first, he has them talk to one of our agents a few times. They're not targets, he tells them. He wants them to roll over on your client, but they're not themselves part of the investigation. So what's that get him? Well, first, if either of them tells even a little fib to the federal agent, they are in felony land. And guess what? Federal agents don't have to tape-record interviews.\"\n\n\"Now you're kidding me!\"\n\n\"Would that I were, my son, but that was J. Edgar's original policy and it's in force today, so it's always your word against that of a federal agent, and guess who the grand jury is more likely to believe? They've even got a cute little name for this cute little strategy\u2014the Perjury Trap. Isn't that special?\"\n\n\"Beautiful. And I'm guessing we're still not done yet.\"\n\n\"You catch on fast, Batman. You really want to know?\"\n\n\"I want to know where they teach this stuff. I've been a lawyer for thirty years and I've never run across it.\"\n\n\"That's not a coincidence, Diz, I promise. This is some _tr\u00e8s_ arcane shit. But anyway, since you asked, let's say your people\u2014Kathy and Harlen and even your client\u2014avoid lying to their friendly federal agent. Now they go in front of the grand jury as individuals, where, you remember, they are specifically not targets. Glass gives them immunity for anything they say, and what's interesting about that? Now they can't take the Fifth! Now they've got to answer every single thing Glass asks them; if they refuse, they go to jail for contempt. Is that great, or what?\"\n\n\"Why is that somehow familiar?\" Hardy asked.\n\n\"Because you, as a lawyer, will remember that this is almost exactly what happened to Susan McDougal in Ken Starr's Whitewater investigation. The grand jury called her up and even gave her immunity, but she refused to answer questions because she was concerned her statements would be viewed as false\u2014\"\n\n\"There's a nice distinction,\" Hardy commented. \"Viewed as.\"\n\n\"Isn't it? Well, anyway, if they were viewed as false, then she'd be indicted for perjury, so she didn't answer, and so for her troubles she got slammed with civil contempt, where you stay in custody as long as you refuse to answer or until the grand jury term expires, which in McDougal's case was eighteeen months.\"\n\n\"Holy shit.\" Hardy rocked gently, his hands gripping the armrests, taking it all in. \"So it's way more than just this forfeiture stuff? What's Glass going for? Money laundering?\"\n\n\"At least. Plus distribution, conspiracy, you name it\u2014where you're looking at major hard time.\"\n\n\"Jesus.\"\n\nDrysdale wasn't smiling anymore either. \"And I'm afraid it just gets worse, Diz.\"\n\n\"I can't really imagine how.\"\n\n\"No. You probably can't. So let me tell you the real ugly truth. You should know for your client's sake, and Kathy and Harlen's, too, for that matter, that you want to do everything you can to keep them from getting charged at all. That's what Jerry wants\u2014he wants to force them to cop a plea to maintaining a place.\"\n\n\"Even if Kathy or even Maya had nothing to do with the dope?\"\n\nDrysdale shook his head. \"Doesn't matter. They can still both be criminally liable.\"\n\n\"How's that?\"\n\n\"Because if any of them has reason to believe there was the criminal activity, but didn't ask, the jury is allowed to impute knowledge.\"\n\n\"Under what possible guise, Art?\"\n\n\"Simple and glorious. They should have asked, so it's deliberate ignorance.\"\n\n\"Deliberate ignorance. I love that.\"\n\n\"And why would you not? It's a lovely thing.\"\n\nHardy sat still for a long moment, his feet planted to the floor. \"So let me get this straight. They're going to get them at least for maintaining a place, pretty much automatically, it sounds like. Is that about right?\"\n\n\"Close enough.\"\n\n\"Then why wouldn't they want to duke it out in court on the money-laundering and distribution and conspiracy charges?\"\n\n\"Good,\" Drysdale said. \"I love a guy who pays attention. That was just hanging out there, wasn't it?\" He absently threw up one of the baseballs and caught it. \"I was saving the best for last. I bet you think that if you get acquitted in federal court, you can't be sentenced.\"\n\n\"Well, yeah. That's kind of what _acquitted_ means, doesn't it?\"\n\n\"Ah, the na\u00efvet\u00e9 of youth! In federal court, as it happens, if you're convicted on even one count of anything\u2014perjury, maintaining a place\u2014the judge can base a sentence up to the statutory max on your acquitted conduct. So one small white lie to a federal agent\u2014which, by the way, may not have ever been actually told\u2014could get your client _five years_ federal time. And keep in mind that the max for maintaining a place is twenty years. And, oh yeah, there's no parole with the feds. So of course they try to plead it out, even if it costs them the property. Maybe that's all Glass wants anyway, but probably not. Is that a lovely squeeze or what?\"\n\n\"It's unbelievable, Art. There's got to be a way around it.\"\n\n\"Well, if and when you stumble upon it, my friend, get the word out and you'll make yourself a quick million bucks the first week. I guarantee it.\"\n\nGlitsky said, \"Yeah. I told Debra maybe she moved a little too soon on that. Glass.\"\n\n\"You know him?\" Hardy asked.\n\n\"Never had the pleasure.\"\n\n\"It wasn't.\"\n\n\"If it's any help, I kind of tried to call her and Darrel off.\"\n\n\"That would have been good if the horse wasn't already out of the barn.\"\n\n\"I told her this being an agent of the grand jury wasn't really recommended SOP. For what that was worth. Which, from her reaction, I gather wasn't much.\" At the table at Kokkari, Glitsky turned a hand over. \"Another failure, I'm afraid. I'm going for a record.\"\n\nHardy killed a minute lifting a perfect backbone out of the whole sea bass he'd ordered for lunch. Hardy had cabbed back from Glass's office and picked up Glitsky in front of the Hall of Justice, thinking maybe some great Greek food would cheer them both up. But so far, halfway through the meal, it wasn't working too well.\n\nThey'd covered Zachary's situation on the drive over. The doctors were recommending a few more days in the hospital before proceeding to the next operation to replace the dura mater early the next week. The boy had apparently recognized everybody in the family on the visit last night, going so far as to reach out and poke his sister, who'd come along to the hospital for the first time, in the arm, after which he'd broken into a short-lived smile. He still hadn't spoken yet, which everyone agreed might be a little worrisome\u2014Glitsky loved the word, _worrisome_!\u2014but his other motor skills had clearly improved. The diagnosis had moved from critical to guarded, and the general tone of the medical team was one of optimism.\n\nAlthough very little of that optimism had rubbed off on Abe.\n\nThe usually glib Hardy kept his peace as he squeezed lemon on his fish. Self-loathing was about the last reaction he'd ever expected to run into from his hard-assed longtime best friend. Glitsky hadn't before harbored too many doubts about who he was or what he was all about.\n\nOr if he did, he didn't show it.\n\nNow Zachary's accident seemed to have unleashed a pride of demons set upon undermining his confidence and self-respect.\n\nHardy chewed, then put his fork down. \"You know,\" he began, \"I was the one who changed Michael's diaper before I put him in bed that last night. I had all the time in the world to lift the side of the crib. I mean, there I was, leaning over the damn thing, tucking him in. It was halfway up and all I had to do was stand and pull it up the rest of the way. Easiest thing in the world. Piece of cake. Unfortunately, the thought never crossed my mind.\"\n\nGlitsky put his iced tea down halfway to his mouth. \" _Unfortunately_ . Think that's strong enough?\"\n\nHardy's heart thumped in his chest with an unexpected jolt of rage that it took several seconds to control. Finally, he let out a breath. \"It's how I've come to see it, Abe. It's what I've had to get to so I could live with it. You think I've been lying to myself all these years?\"\n\n\"You said it yourself\u2014the thought never crossed your mind.\"\n\nHardy took a sip of his club soda, picking his way with care. \"So you're standing there being a good dad, taking Zack out on his new bike. You get him settled on the seat and think, 'Oh, yeah, the helmet . . .' \"\n\nGlitsky cut him off, his volume up a notch. \"I know what I did.\"\n\n\"I don't know if you do.\"\n\n\"Don't push me, Diz. I mean it.\"\n\nHardy drew a breath. \"I'm not pushing you. I'm saying you didn't do anything that caused it. _The thought never crossed your mind._ \"\n\n\"It should have.\"\n\n\"Why? Anything remotely like that ever happen before? You've got to think of every single contingency that can happen? If that were true, you'd never let your kids out of your sight. Ever. Hell, you might not let 'em get out of bed because something might happen.\"\n\n\"Something did happen.\"\n\n\"You didn't make it happen.\"\n\n\"I could have prevented it. If I'd have thought\u2014\"\n\nHardy put a flat palm on the table between them. \"If you'd have thought,\" he said. \"But there was no reason you should have. Nothing like that had ever happened before. Next time, okay, you'll think to put the helmet on first. But not thinking of it then wasn't negligence, Abe. It was a freak accident. You could do everything exactly the same a thousand times and nothing bad would ever happen again. It wasn't your fault.\"\n\nGlitsky sat hunched forward over his plate. Their table was by a window and he glared out at the blustering day. Finally, he came back to Hardy, seemed to force the words out one at a time. \"How can it not be my fault when he was my responsibility? If it happens on my watch, I'm at fault.\"\n\n\"This isn't police bureaucracy, Abe. This is your life.\"\n\n\"Being a cop is my life.\"\n\n\"Don't give me that shit. Being a cop is what you do. The rest of you is your life. The problem you've got here is this really happened to you, to your boy. So you're both victims of it. And since the one thing you won't do, ever, is be a victim, that leaves you holding the bag and taking responsibility for it. 'Cause that's who you are. That's what you do. It's automatic.\"\n\nGlitsky spit it out. \"It's not wrong either.\"\n\n\"I'm not saying it is. Not all the time, not usually. But this once, this one time, it's beating you down when you're going to need to be strong, when Treya and Rachel and even poor fucking attorneys like me need you to get over it so your troops don't go riding roughshod over their cases. You didn't do this. You didn't cause it. It happened, that's all. You're a victim of that, okay, fine. Legitimately. But that doesn't make you any kind of unworthy human, not if you don't let it.\"\n\nGlitsky's scar burned white through his lips. His heavy brows hung like a precipice over hooded eyes, which remained fixed on the plate before him and refused to meet Hardy's, who thought it wasn't impossible that his friend would suddenly either physically explode at him across the table or throw something and storm out. Instead, though, the eyes came up. \"You done?\"\n\n\"Pretty much.\"\n\nGlitsky nodded. \"I'll give it some thought.\"\n\nIt was a bit of an extra drive\u2014several other churches, and even St. Mary's Cathedral, were closer to her house\u2014but Maya Townshend felt a special energy connecting her with St. Ignatius, the church at the edge of the USF campus, and it was where she had driven now. She needed all the divine intervention she could get, and here is where she most often came to pray for forgiveness. Those prayers she had prayed here had, for the most part, been answered.\n\nAnswered in the form of Joel and her life with him. Their healthy family. Their wonderful home and financial security. If God had not forgiven her, surely he would not have showered such beneficence upon her.\n\nOr so she had come to believe.\n\nBut now she was suddenly not so sure. She knew that killing was a mortal sin and wondered if God's apparent acceptance of her penance and prayers was really just the first stage in a punishment that would strip from her all that she loved and cherished. If, because of all this, if she lost Joel now, or the children, or even their home and fortune, it would be far more devastating than if she'd never known such love and contentment. God demanded justice as well as he dispensed mercy. The Church taught that there was no sin that God would not forgive, and that the failure to believe that was the worst sin of all\u2014despair. God's mercy was infinite. But the key to any claim to that mercy was confession. And she could not confess.\n\nShe could never confess.\n\nAnd that truth, she believed, stood to damn her for eternity.\n\nA regular here, she went to her usual back pew and knelt, making the sign of the cross, then bringing her hands together and bowing her head.\n\nBut no prayers would come. Her mind kept returning to the lies she had told Joel just last night; the lies she'd been living now for so long; the truths that were even worse.\n\nThe padded wooden rail on which she knelt had a gap in the middle of the pew, and after only a minute of attempting to pray she moved down and again went to her knees, but directly onto that gap now, putting all of her weight onto it, offering up the pain even as it shot up her leg and became nearly unbearable.\n\n\"Please, God. Please, please forgive me. I am so, so sorry.\"\n\nShe raised her head and through tearful eyes tried to focus on the crucifix above the altar far away up front, on the suffering of Christ.\n\nBut Christ had never done what she'd done. Christ knew that God's mercy would save him.\n\nAfter the events of the past few days she no longer harbored that hope for herself.\n14\n\n**Not two hundred yards** away from where Maya suffered and tried to pray, Wyatt Hunt turned another page in the yearbook, thinking that private investigators in the future would have an easy time of it. All they'd have to do with kids who were going to school now would be call up their MySpace or Facebook accounts, and they'd have a blow-by-blow account of everything their subjects had done from about sixth grade on.\n\nMaya Townshend, though, at thirty-two, was just a bit too old for that approach. So Hunt was reduced to searching for clues in the hard copy of her college years. Of course, first he'd Googled her and her husband, and though there had been three thousand or so hits, the majority of them by far concerned Joel's business and their philanthropy. For such a politically connected couple there was very little about either local or national politics, nor were they particularly active in San Francisco's high society. Hits for Bay Beans West appeared a whopping four times\u2014all of the stories variants on the Little Local Coffee Shop That Could standing up to the Starbucks giant and making it work.\n\nNot a whiff of marijuana or, indeed, troubles of any kind.\n\nOn a whim Hunt had done a search for Dylan Vogler, and the coffee shop manager had come up completely empty except for references to his death recently\u2014one of the country's very few invisible men, Hunt thought.\n\nMaybe Craig Chiurco, he thought, checking the criminal databanks, would have more luck.\n\nHis next stop was the library at USF, where he started on the 1994 yearbook and found the standard posed picture of Maya Fisk looking about fifteen\u2014fresh-faced, perfect hair, big smile. She was one of her class's representatives in student government her freshman year, on the debate and IM soccer teams, active in music and theater, appearing in two student productions. She was also a cheerleader. Sophomore year was basically freshman year redux.\n\nThe change must have occurred late in her sophomore year or in the succeeding summer, because her picture as a junior was so different from the others as to be nearly unrecognizable. Though the hair color had turned light and the style more untamed, the main change from Hunt's perspective was the facial expression. In place of the adolescent with the sunny smile of the previous two years, now a young woman stared defiantly at the camera with a bored smirk. Seeking another view of this chameleon, Hunt turned to the club and team pages, but here again something drastic had changed\u2014Maya had stopped taking part in extracurricular activities.\n\nIn her senior year her photo placed her more closely with the girl from her first two years\u2014she wore a passive toothless smile and she'd combed her still-light hair\u2014but it was a more formal portrait than the others had been. And again, she'd joined nothing.\n\nPretty much striking out with the yearbooks, Hunt turned to the microfiches of the student newspaper, the _Foghorn_ , for the first couple of years, when Maya was still active, and might have appeared in some captioned photographs with other students. In this he was luckier right away. Here was Maya, in her freshman year, mugging for the camera with three other cheerleader friends at a pep rally. Hunt took down all the names. And three others that he found captioned throughout the rest of her freshman year. Obviously, at the beginning, Maya had been a popular and involved student.\n\nShe'd costarred in _Othello_ her sophomore year, and there was a picture of her with her leading man, a handsome African-American kid named Levon Preslee. In an accompanying story entitled \"It's in the Genes,\" Hunt read about Maya's introduction to acting and to the theater through her aunt, the truly famous actress Tess Granat, who'd by that time been the star of sixteen movies and had appeared in four leads on Broadway.\n\nHunt sat back, intrigued by the connection about which he'd previously been unaware. He'd seen some of Granat's films before, he was sure, but he couldn't remember any titles. Or whatever happened to her. Probably the same thing that had happened to so many former talented beauties who lost enough of their looks to become undesirable and uncastable in Hollywood.\n\nOr had she died? Some tragedy?\n\nThe name tickled a vague memory of that, but he just couldn't remember for sure. In any event there was no mention in the article that Granat had played any kind of a day-to-day role in Maya's life back then, but she was another someone who may have known what the young woman was like or what she had done in those days, and he wrote her name in his notepad.\n\nSure, he thought, if she was even alive, he'd just call up the once-famous movie star in Hollywood or wherever she was and chat about old times. That was going to happen. Not.\n\nBut the afternoon, after all, had not been a total loss. When he was finished, he had nine names of people Maya's age who had known her in college.\n\nIt was someplace to start.\n\nBack in his office downtown Hunt realized that having nine names to work with was all well and good, but seven of them were women, and this made it likely that some of them, like Maya, had changed their last names since college. Meanwhile, he had Levon Preslee and one other male, Jimi d'Amico, and Levon was listed in the San Francisco phone book.\n\nHunt called the number, got the young man's answering machine, left a message, and decided that it was time he got Tamara working with him on this tedious business. There were several d'Amicos in San Francisco, and Hunt and Tamara called all of them, hoping to find a Jimi, but since it was the middle of the afternoon on a weekday, between them they managed to talk to only one human being, who didn't know a Jimi.\n\nThey left more messages.\n\nAs he thought it would be, finding even one of the women turned out to be a chore. He and Tamara were hoping that one of the last names would reveal at least a set of parents who might be inclined to pass Hunt's name along to one of their daughters, but this was going to involve quite a few phone calls and, again, messages, messages, messages.\n\nBy four-fifteen they'd been at the whole business for better than three hours when Hunt punched up the twenty-third telephone number under Peterson and a woman's voice answered.\n\n\"Hello,\" he said, \"I'm trying to reach a Nikki Peterson.\"\n\n\"This is Nikki.\"\n\nHunt punched a fist into the air, threw a paper clip at Tamara to get her attention and let her know he'd finally gotten a hit, then went into his spiel, identifying himself and stating his business. When he'd finished, she said, \"Sure. I knew Maya. We were cheerleaders together. I don't know where she is now, though. I haven't seen her since college. Is she in trouble?\"\n\n\"Why do you ask that?\"\n\n\"Well, you're a private investigator asking about her. I wasn't great at math, but I can put two and two together. So she is?\"\n\n\"What?\"\n\n\"In trouble.\"\n\n\"Not yet,\" Hunt said, \"but she might be getting there pretty quick.\"\n\nHe told her he was free if she was, and within an hour she was sitting across from his desk. No longer a cheerleader, but from looks alone she would still have a good shot to make the team.\n\n\"So,\" Hunt asked her, \"I'm talking to people who knew her back then. Did you know a guy named Vogler? Dylan Vogler?\"\n\nShe hesitated. \"I don't think so. Was he a jock? Mostly I hung out with the jocks.\"\n\n\"Did Maya? Hang out with the jocks, I mean?\"\n\n\"Not really. She started out with us, then dropped off the team.\"\n\n\"Why?\"\n\n\"No idea, really. Maybe it was too much practice. I don't know. Maybe she just lost interest. That happens.\"\n\n\"You don't remember any rumors or gossip about her sometime around the time she quit? Pregnancy, abortion, anything like that? Drugs? Arrests?\"\n\n\"Not really, no. But we weren't really that close, you know. I mean, I knew her when she was on the team. But after she left, like I said, I haven't heard from her since.\"\n\n\"Were there any other cheerleaders who might have known her better? I've got a picture of her with you and two other girls in the _Foghorn_ , Amy Binder and Cheryl Zolotny.\"\n\n\"Amy, no, I'm sure. Cheryl? Maybe a little. But she's not Zolotny anymore now. Just a second, let me think.\"\n\n\"Take all the time you need.\"\n\nIn the reception room, at Tamara's desk, the telephone rang. Tamara put her own call on hold and answered, then said, \"Just a minute, please. Can you hold a sec?\"\n\nAnd then Nikki answered Hunt's earlier question. \"Cheryl Biehl. That's it. Biehl. B-I-E-H-L. I think she's still in the city. She was at the reunion last year. You can try her.\"\n\n\"Okay. Well, thanks, Nikki. You've been a help.\"\n\nShe'd no sooner left the office when Hunt gave Tamara the high sign and immediately was on the telephone again. \"Hello.\"\n\n\"Mr. Hunt?\"\n\n\"That's me.\"\n\n\"My name is Jimi d'Amico. You left a message for me?\"\n\nAnd it started all over again.\n\n\"Nothing?\" Gina Roake asked.\n\n\"Nothing.\"\n\nIt was six forty-five and Gina, Dismas Hardy and Wes Farrell's law partner and Hunt's somewhat clandestine girlfriend, had her shapely legs curled under her on the couch in her well-appointed one-bedroom condominium on Pleasant Street just down from the peak of Nob Hill. Hunt sat across from her, in one of her matched brace of reading chairs. They'd pulled closed the drapes in the picture window behind him and she'd turned on some of the room's lights and the gas fire-logs as the now-fierce wind rattled the panes. Gina, barefoot but otherwise still dressed for work in a tan skirt and a beige turtleneck, sipped her Oban scotch and sighed. \"That sounds like a long day, Wyatt.\"\n\nHunt sat back, shaking his head. \"I don't mind long if I get something for it. But we finally got to only five of them before I gave it up. Tamara's still at it and I must say it's great to have workaholic employees. But it's a little weird. It's like Maya almost didn't exist after her sophomore year. And there's no way, or at least it's unlikely, she was involved in some kind of scandal. Whatever it was, if she was being blackmailed by Vogler, he was one of the very few who knew about whatever it was.\"\n\n\"Maybe the only one. Maybe that's why it worked. And nobody knew him either?\"\n\n\"Not so far. The mystery man.\"\n\n\"And you're sure he went there? USF?\"\n\n\"Diz says so.\"\n\n\"Did you check the yearbook and the student paper for him too?\"\n\n\"No.\" Hunt made a face. \"The reason I like you is that you're so much smarter than me. But say he didn't go to USF, so what?\"\n\n\"I don't know. You might be able to find out where he actually went, which might tell you something you don't know about him.\"\n\n\"I don't know anything about him, except he did hard time for a robbery\u2014which Craig's checking out\u2014then came back to town and ran this coffee shop and evidently moved a hell of a lot of dope.\"\n\nPensive, Gina absently turned her scotch glass around and around on the arm of the couch. Finally, she looked up at Hunt. \"You're saying he went to prison from San Francisco?\"\n\n\"Yep.\"\n\n\"If he was sentenced to prison, he had a presentence report, and the background section of that is going to tell you everything they could find out about him at the time. Surely you have a close personal friend in probation.\"\n\nHunt considered for a moment. \"Have I already told you you're way smarter than me?\"\n15\n\n**At Hardy's house** , less than twenty blocks from the ocean out in the Avenues, the approaching storm decided to get serious. A heavy, wind-driven rain raked the rooftop, turning the skylight over their kitchen into a booming kettle drum that reverberated through the rooms. Hardy, on the wall telephone, trying to hear his client over the din, stood frowning with his finger in one ear and the receiver at the other.\n\n\"The best advice,\" he said, \"is don't panic. I got the impression that Mr. Glass sees a political opportunity here. He wants to get his name in the paper, and he thinks tweaking you to get at your brother and the mayor is as good a way as any.\"\n\nThis, Hardy knew, was easy for him to say, but not so easy for the Townshends to live with. The truth, verified that afternoon by Art Drysdale, was that Jerry Glass was moving with an almost unheard of dispatch to bring pressure to bear on Joel and Maya. Seen in the kindest possible light, maybe Glass was motivated by a desire to help Schiff and Bracco solve their homicide.\n\nBut Hardy didn't really buy that, and by the time they both hung up, he didn't feel like he'd done much of a job consoling or reassuring his client. Still angry about Glass and the way he was operating, Hardy thought a beer wouldn't hurt him and he opened an Anchor Steam and then placed a call to Harlen Fisk.\n\nThe supervisor picked up on the second ring. \"Yo, Diz. What's up?\"\n\n\"Have you talked to your sister recently?\"\n\nHardy heard a sigh.\n\n\"I talked to Joel earlier today.\"\n\n\"Well, if it was before noon, it's gotten worse since then. Now they're looking for a court order to freeze Joel's accounts.\"\n\n\"Jesus. Why?\"\n\n\"Because they can. They're saying they've got a money-laundering case. But I'm thinking the real reason is so that Jerry Glass can finally get some national profile for being a good conservative prosecutor with the guts to be tough on dope. He busts the compassionate use spots, the only people who care at all think he's wrong, and none of them are in the media. But he ties you and your aunt into a bona fide dope operation, I don't care how obliquely, and you watch, he's a household name in a week or so.\"\n\n\"Joel and Maya aren't running a dope operation, Diz. Guaranteed.\"\n\n\"Right, but the problem is that he doesn't have to prove it to make noise about it.\"\n\n\"Can he do that? I mean just freeze assets?\"\n\n\"He's the U.S. government. He can sure try. I don't think he'll actually find a judge who'll approve it, but he's got your sister half around the bend with worry.\"\n\n\"But what about the forfeiture?\"\n\n\"Forfeiture is a civil case, so in essence he's just filing a lawsuit. I haven't turned on the TV yet, but the smart money says this gets covered tonight and tomorrow it's in the paper.\"\n\n\"Shit.\"\n\n\"I agree. Which is why I called you. Maybe there's something we can do to keep this from exploding any bigger than it has to.\"\n\n\"Like what?\"\n\n\"Like, the first thing is call him on it, get him back on defense a little. You and Kathy get together and make a strong public statement that this is just a political ploy, another partisan attack on liberals. Then you get the medical marijuana or compassionate use people to go nuts. It's about politics, pure and simple. The second thing is something I've already got my investigator working on, but maybe you can help me with it better than anybody else.\"\n\n\"If I can, I'm in. What?\"\n\nHardy tipped up his bottle. \"Well, it looks like both me and homicide have come up with the same theory, and that's that Vogler was connected to Maya in something that happened a long time ago. The bad news would be if that connection gives her a motive to have killed him.\"\n\n\"Jesus Christ, Diz. Maya didn't kill anybody. That's crazy.\"\n\n\"I hope you're right, but\u2014\"\n\n\"You _hope_? You're her lawyer, Diz. You've got to do more than hope. She's not some kind of a murderer. She's my little sister, for Christ's sake.\"\n\nHardy kept his voice modulated. \"This hasn't come out yet, but you've got to know that she was down there that morning, Harlen. Vogler might have been squeezing or threatening her. The homicide inspectors went to Glass to try to get Maya to start talking.\"\n\n\"Darrel did that?\"\n\n\"Glitsky said it was Schiff, but Darrel's on board with her.\"\n\n\"That's bullshit. I'm going to call him.\"\n\n\"Don't do that. Please don't do that. They haven't arrested her yet. They don't have enough. But if you try to pressure them not to, I guarantee it won't help. They'll think she ran to you for protection because she's guilty and you could pull strings.\"\n\n\"This is insane.\"\n\n\"It's the way it is, Harlen.\"\n\n\"So what did you want me to do? About this connection?\"\n\n\"See if you can get her to tell me what it was.\"\n\n\"What, exactly?\"\n\n\"What was her history with this loser, who treated her so badly? Why was she paying him ninety grand when the going rate is about half that?\"\n\n\"I've already heard her answer to that. It was a point of contention between her and Joel. At first, she felt sorry for him and wanted to help him get back on his feet after he got out of prison, and then he did such a good job.\"\n\n\"I've heard that one too.\"\n\n\"You don't think it's true?\"\n\n\"Maybe I would if he hadn't treated her like the help. But he did.\"\n\nAt this, Fisk went silent for a long beat. \"So if and when we find out, assuming she'll tell me, then what?\"\n\n\"I don't want her to tell you, Harlen. She can't tell you. You're not her lawyer. There's no privilege. You'd have to repeat anything she told you in court if you got a subpeona. You have to get her to tell me or one of my investigators. Then at least we've got answers. We're dealing with the reality of what was going on down there. Glass is going on the theory that the ninety grand was money laundering through the drug business. We need to explain away the high salary without any reference to the dope.\"\n\n\"But, as you say, it also gives her a motive to have killed him.\"\n\nThis, of course, remained a true source of concern, but Hardy spun it the best he could. \"I'm hoping if we can somehow defuse Glass, Darrel and Schiff won't get enough.\"\n\n\"You're saying you think she might actually have done it.\"\n\n\"I'm her lawyer, Harlen. I'm trying to keep her out of jail. Jerry Glass is trying to make her a drug dealer. If she's a drug dealer, she's a much more likely killer to Darrel and Schiff. At this point it's mostly a matter of perception, and admittedly it isn't much, but it's about all we got.\"\n\nThe Hardys rented a double garage only a couple of blocks from their home, and most of the time this was an advantage over having to drive around the neighborhood for long minutes in search of a parking place. Tonight, however, the short walk through the ongoing monsoon had delivered Frannie, soaked and freezing, to her home about five minutes after her husband's talk with Harlen Fisk.\n\nHe poured her a glass of wine to go with his second beer and suggested she go upstairs and run a hot bath while he made them one of his extemporaneous \"black-frying-pan meals.\" Since these were usually great-tasting and an absolute snap to clean, Frannie agreed, gave him a shivering kiss and a quick hug, and disappeared up the stairs.\n\nThe heavy, well-seasoned cast-iron pan was the one possession that Hardy retained from his childhood, and he treated it with great care. Normally it hung on a marlin hook behind the stove and now he took it down, and after admiring the look of it for a moment, he ran a finger over the cooking surface. As always, it was silken to the touch, shiny with a micron brush of oil from its last use, unmarred by any scratch or even the hint of residue.\n\nRummaging, Hardy started in the refrigerator\u2014perennially bare now that the kids had gone\u2014and after pulling out a half head of iceberg lettuce, he fixed his eyes upon a carton of eggs and a decent-sized half wedge of triple-cr\u00e8me d'Affinois cheese, which he knew would turn the blood in his arteries to the consistency of tar, but he cared about as much as he had a few days before when he and Frannie had split the first half of it, which is to say not at all. Something was going to get him someday, and if it happened to be the d'Affinois, he could think of lots of worse ways to go.\n\nThey had other only-in-San Francisco staples on hand\u2014butter, truffle oil, sourdough bread in the freezer, some packaged dried mushrooms in the pantry. Hardy dumped the mushrooms in a bowl of warm water to reconstitute, carried his beer with him over to the family room, where he fed his tropical fish, and sat down on the couch to wait for Frannie to descend.\n\nHe was still wrestling with the idea of why he wasn't asking Maya himself.\n\nThe reasons he'd given Wyatt Hunt had, at the time, seemed reasonable, but now he wondered. True, he didn't want to get Maya defensive with him. And one of the main tenets of defense work is that no lawyer wants to put his client in a position where she has to lie to him. But he was dimly, naggingly aware of another motivation that made him feel morally uneasy\u2014and that was that he didn't want to lose her as a client because she represented perhaps a quarter of a million dollars in fees if she got arrested, which he was starting to consider at least as a possibility.\n\nHardy billed a hell of a lot of very expensive hours every year, as did his partners and their associates, but even so, a quarter million dollars or more wasn't something to risk if you didn't absolutely have to. To say nothing of the publicity surrounding a case with such a high-profile client. And if he got her off, it was probably worth another half million or more to the firm, plus the gratitude of the city's mayor and one of its supervisors.\n\nHe was hyperaware of the money. That was it.\n\nHe didn't like to think that he'd become strictly mercenary, not when for so long the law had been a passion for him\u2014first as a beat cop and then a lawyer on the prosecution side, then for the next two and more decades as a defense attorney. Of course, it was also a business and had turned into a fairly lucrative one, but the business side alone had never been the point. And he didn't want it to be now.\n\nHe wondered if for all the wrong reasons he had sent Wyatt Hunt and now Harlen Fisk off to do a job that should by all rights have fallen to Hardy himself. Or maybe should not be done at all. He knew that he could argue blackmail to Glass without revealing or even knowing the actual fact of it, and thus refute the money-laundering theory upon which the U.S. attorney was building his forfeiture case. But some instinct told him that there had in fact been blackmail, and that the nature of it might be at the crux of this case.\n\nHe sat sipping his beer and staring at his tropical fish, which didn't provide him with any kind of answers by the time the telephone on his belt went off\u2014Wyatt Hunt atypically calling him off-hours. He must have come up with something.\n\n\"Tell me you've got it already,\" Hardy said.\n\n\"We got something, all right,\" Hunt replied, \"but it won't make you too happy.\"\n\n\"I'm listening.\"\n\n\"The guy who did the robbery with Dylan Vogler? He was a friend of our client when she was in college, name of Levon Preslee.\"\n\n\"Okay.\"\n\n\"Well, not so okay, as it turns out. Levon's dead.\"\n16\n\n**A gust of wind** pulled the door of Darrel Bracco's car out of his hand and slammed it for him just as a fresh volley of rain peppered the blacktop all around him. Lowering his head, he pulled up the hood of his yellow parka and jogged at a good clip toward the obvious destination\u2014the coroner's van parked in front with a squad car, lights on at the porch and in the front windows. It was ten forty-three when Bracco flashed his badge at the two patrolmen standing by the door.\n\nDebra Schiff was already there inside, clogging up the hall by the kitchen with some coroner and crime-scene people, including Lennard Faro, and the original team of inspectors who'd pulled the call\u2014Benny Yung and Al Tallant. They were all trying to keep out of the way as the photographer finished her work.\n\nSchiff, at a glance, was wet and, by the looks of her, none too happy either. Darrel looked around as he came in out of the rain\u2014the murder had occurred in a ground-floor front unit on the right-hand side of a Victorian building on Potrero Hill. There weren't any obvious signs of struggle in the living room to Bracco's right. A distraught-looking young man was sitting on the couch with his hands clasped between his knees, while another patrolman sat across from him, unspeaking.\n\nThere was similarly not much sign of struggle as Bracco came and looked over Schiff's shoulder, except for the one overturned kitchen chair and the body sprawled out on the floor, the puddle of blood underneath Levon's head.\n\n\"Not that I'm not thrilled to be here,\" Bracco announced to all and sundry, \"but does somebody want to remind me again why we need Deb and me?\"\n\nTallant was a mid-thirties distance runner with big teeth, a long, jowly face, and a perennial shadow that he couldn't ever seem to shave off completely. \"Not our call,\" he said. \"We ran it by Glitsky and he said to bring you in.\"\n\nDebra turned back to her partner. \"Listen to this, Darrel,\" she said. \"Why don't you hit it, Ben?\"\n\nYung, heavyset and normally cheerful, at the moment seemed stretched thin and exhausted. He reached over and pushed a button on the telephone unit on the kitchen counter. \"Levon,\" a voice said, \"I am a private investigator named Wyatt Hunt and I'm working for a lawyer here in town who's representing a woman named Maya Townshend, maybe known to you as Maya Fisk, who I believe went to school with you at USF. If I could have a couple minutes of your time to ask you a few questions, I'd appreciate a callback. My cell number, anytime, is\u2014\"\n\nYung hit the stop button and turned back to his colleagues. \"We called Hunt and asked him what he was working on and eventually got around to Dylan Vogler. I recognized the name and we talked about it and decided to call Abe.\"\n\n\"It was a good call, Benny,\" Schiff said. \"Don't mind Darrel. He gets crabby when his beauty sleep gets interrupted.\"\n\n\"Hey,\" Bracco said, \"I'm not crabby. I said I was thrilled to be here. And if this is part of Vogler, even more so.\" He pointed back toward the living room. \"Who's the kid out front?\"\n\n\"Boyfriend,\" Yung said. \"Brandon Lawrence, says he's an actor. He called it in and waited for us to arrive. Had a dinner date and a key, but this was over before he got here and I think I believe him.\"\n\n\"Well, let's keep him on a while anyway.\"\n\n\"That's why he's still here,\" Tallant commented with some asperity. \"He's not going anywhere till we let him.\"\n\n\"Hey, no offense, Al. I see a fresh body, I get a little pumped up.\" Bracco looked across and down to the body, spoke to the crime-scene boss. \"So, Len, what do we got?\"\n\nFaro, the squad's token metrosexual with his well-trimmed goatee, spiky hair, and multiple gold chains around his neck, was in his early forties but looked and dressed a decade younger. He'd been leaning against the kitchen wall and now came off it. \"He got hit hard and hit at least once again, best guess is by the back of the cleaver we found rinsed off in the sink. Maybe dead before the second blow, although that'll have to wait for the autopsy, not that it matters much. He's dead enough now.\"\n\nFaro moved away to the far side of the kitchen table. \"Whoever did this, our victim almost undoubtedly knew him. Or her. No sign of forced entry.\" He pointed down at the table. \"Note the condensation ring, still here, across from where Levon was sitting. Maybe they were sitting here together having a glass of something. We bagged up some clean and dried glasses that were in the tray by the sink. Maybe find a print on one of 'em, but unlikely. So whatever else you might say, your killer's a pretty cool customer, washing up after. Michelle,\" he asked the photographer, \"you get all this?\"\n\nShe nodded, then pointed and shot at the ring on the table one last time and stepped back to survey the room and make sure she'd captured it.\n\n\"So what's his connection to Vogler?\" Bracco asked. \"Besides Maya?\"\n\nAl Tallant knew that one. \"None that we know of. Not yet.\"\n\n\"Is that why we got invited to this party?\" Bracco asked.\n\nTallant nodded. \"Pretty good guess.\"\n\n\"Anything else?\" Schiff asked.\n\n\"Nope,\" Yung said. \"Levon was clean, with a job and everything.\"\n\n\"Where?\" Bracco asked.\n\nYung nodded. \"ACT.\" This was the American Conservatory Theater. \"He had business cards in his wallet. Associate director of development. He was moving up.\"\n\nSchiff looked down on the body. \"Not anymore.\"\n\n\"How about dope?\" Bracco asked. \"You see any sign of marijuana?\"\n\n\"Funny you should ask,\" Faro said. \"He had a half-full Baggie in the drawer next to his bed. Anybody else, hardly worth talking about. But if he's connected to Vogler . . .\"\n\nBracco nodded. \"I hear you.\"\n\n\"Well,\" Tallant said, \"if you guys won't be needing us anymore, it's been a slice.\"\n\nBracco and Schiff stayed on the scene until the coroner's team removed the body well on toward two o'clock in the morning. Faro and his crime-scene unit stayed on as well, poring over the house from stem to stern but adding little to their store of information.\n\nOut in the living room the inspectors tag-teamed Brandon Lawrence, who in fact had his own key to the apartment and had called nine one one when he'd discovered the body. He told them both, verifying the obvious, that Levon lived alone and that they were in a \"wonderful, committed relationship.\" He told them that he hadn't touched anything after coming upon the body and, not being able to stand the proximity to his lover, had waited outside the whole time for the arrival of the first squad car. He would do anything he could\u2014anything!\u2014to help them find who'd done this. But he'd seen nothing suspicious, either in the neighborhood or once he'd let himself in. Until he'd seen the body. Bracco and Schiff made sure they had his ID, DNA, and fingerprints. They told him these were for elimination purposes and let him go home.\n\nBracco walked Lawrence to the door and then returned to sit at the end of the couch, catercorner to where his partner sat back in an armchair in the well-lit living room. Schiff's face wore a pained expression, and she sighed. Finally, she looked over at Bracco. \"I'd hate to think that getting Jerry Glass involved and shaking things up at the Townshends' had anything to do with this.\"\n\n\"Maybe it didn't, Debra. Maybe Maya doesn't have anything to do with this.\"\n\n\"Do you believe that?\"\n\n\"No. You?\"\n\n\"Based on the rule of never a coincidence, me neither.\"\n\n\"I'd love to call her right now, find out if she's got an alibi.\"\n\n\"Not yet. Not in the middle of the night, without more than this.\"\n\n\"I know. But still . . .\"\n\n\"We could pull an all-nighter and hit her at seven sharp. If she's got no alibi, we sit her down for a serious chat.\"\n\n\"She'd just call Hardy and he wouldn't let her talk.\"\n\n\"Fine. Wake him up early too. And by the way, I've been meaning to ask, how do you get to be friendly with a defense attorney?\"\n\n\"I wouldn't go so far as friendly. He and Abe are pals. I worked with him a time or two. He used to be a cop, you know.\"\n\n\"Who did? Hardy?\"\n\n\"Yeah. Then a DA.\"\n\n\"Get out of here!\"\n\n\"True.\"\n\n\"What made him go over to the dark side?\"\n\nBracco gave her a sideways glance. \"You're more mad at yourself than at me or Hardy or anybody else, aren't you?\"\n\nShe shook her head. \"I shouldn't have gone to Glass. Levon might still be alive.\"\n\n\"I'm not going to say you might have wanted to discuss it with your partner first.\"\n\n\"Good. Don't.\"\n\nBracco took a beat. \"What do you think of the cleaver?\"\n\n\"As a murder weapon? It seems to have worked.\"\n\n\"You think it's a woman's weapon?\"\n\n\"Spur of the moment? It'd do.\"\n\n\"But it couldn't have been spur of the moment. Whoever it was knew him and if they came over here to kill him, they would have brought something to do it.\"\n\nSchiff nodded. \"Either that or she knew he had the cleaver. All she had to do was get him into the kitchen and get behind him. In fact,\" warming to her theory a little, she went on, \"I think I like that she used the wrong side, the dull side. A guy maybe doesn't do that.\"\n\nBracco sat back on the couch. \"Maybe not. I don't know. But we could talk about this all night and never go anywhere. As opposed to what we do know.\"\n\n\"Which is what?\"\n\n\"Well, keeping it simple, let's assume that Levon hung out with Maya in college. We've been thinking that Vogler was blackmailing Maya, so let's call that a fact too. What does that say to you?\"\n\n\"She's the connection, back when they were all in school.\"\n\n\"That's what I see.\"\n\n\"She didn't own the coffee shop then.\"\n\n\"Yeah, okay. So the blackmail didn't start then. It wasn't until she had money.\"\n\n\"Maybe she was paying Levon, too, somehow.\"\n\n\"And then he finds out Vogler's been killed and suddenly he's a little uncomfortable.\"\n\n\"No, he's a lot uncomfortable.\" Bracco sat with his thoughts for a moment, then suddenly came forward, stood, and went over to a lamp table across the room where he'd left some small Ziploc evidence bags and other stuff from Levon's pockets, including his cell phone. As a matter of course he and Schiff were going to go through the recent history of calls received and made, which were automatically logged, but they'd both thought they'd wait until the next morning when people would be awake. Now, though, he picked up the phone, turned it on, and brought it back over to where he'd been sitting. \"I love these things,\" he said. \"Remember what a hassle it used to be to get phone records on people? Days, weeks, subpoenas. Now, push a button, bingo. Ah, here we go.\"\n\nThe very first number in Levon's recently made calls menu was a 415 area code that struck Bracco as familiar. He took out his own cell phone and ran down his own recently called menu until he came to the same number.\n\n\"It looks like Levon got uncomfortable enough to call somebody we know,\" he said.\n17\n\n**Debra Schiff wasn't** the only person feeling some responsibility for setting events in motion that had apparently and very suddenly gotten out of control. At three A.M., Dismas Hardy still hadn't gotten to sleep.\n\nHe'd come down for the first time after an hour's tossing in bed, made himself a warm Ovaltine, gone into his front room, and rearranged the caravan of glass elephants that trekked across the mantel over his fireplace.\n\nSitting in his reading chair with the lights off, though, he'd convinced himself that really he had had no choice. All he'd done was send his own investigator team out to try to pry loose one of his client's secrets. He would need to do that, to have that information, if he was going to help her in her defense.\n\nShould it come to that.\n\nWhich\u2014pretty obviously\u2014was looking more probable every minute.\n\nJust before Hunt had received the call from the police at Levon's place and called Hardy with the news, he'd learned from his own employee Craig Chiurco that the same Levon Preslee that Hunt had already identified as a friend of Maya's during their time at USF was the guy who'd been arrested with Vogler in the robbery they'd committed at about that same time.\n\nChiurco had gone out to Levon's apartment in Potrero in the late afternoon, but no one had answered his knock\u2014he might have already been dead. Chiurco was in the process of reporting back to Hunt, planning to track the potential witness down either later that same night or in the next day or so to question him, when the call had come in from Inspector Tallant with the news of Levon's death.\n\nAs soon as Hardy heard this, it had immediately become clear that if Maya did not have an alibi\u2014and of course no one knew even the approximate time of Levon's murder\u2014she was going to be even more squarely in the sights of Bracco and Schiff as a suspect not just in this latest crime, but with Vogler as well.\n\nPart of Hardy wished that Wyatt hadn't been so forthcoming with the police when they'd called him. But then again, what else was he supposed to do? They already had the message he'd left on Levon's phone\u2014that he was working for the lawyer who was representing Maya Townshend. He couldn't very well deny that, and once the police recognized her name, along with any connection whatsoever to the dead man, she was going to assume a higher profile, and there was nothing at all he could do about that.\n\nThe Ovaltine finished, Hardy had gone back up to his bedroom and tossed for another hour and change, his mind ping-ponging willy-nilly between Maya and her husband and Jerry Glass, then Bracco and Schiff, and Glitsky and Zachary, and Wes Farrell and then back through the litany in a different order. Everybody either in trouble or making it, or both.\n\nUntil finally he got up again, grabbed a robe, and padded downstairs. The rain still fell heavily onto the skylight, drumming away. He went back up to the front of the house and settled himself down in his reading chair in the dark.\n\nHe couldn't afford a sleepless night. He had a feeling he was going to get a call from his client in the very early A.M., was somewhat surprised that he hadn't gotten one already. But maybe she didn't know yet about Levon.\n\nOr maybe she knew all too well.\n\nAnd at this thought\u2014the actual admission of it to himself as a possibility\u2014all of Hardy's random imaginings about the troubles of his friends or those making trouble for them coalesced into a tiny pinpoint of something that suddenly felt like a certainty.\n\nWhether or not she was in fact a killer, he was sure that Maya was involved as some kind of active participant in all of this. In both the deaths of Dylan Vogler and of Levon Preslee.\n\nAnd it was starting to seem that regardless of what Hardy chose to do, and however cooperative Maya was with the police, she could be arrested for both murders.\n\nStill sleeping in his reading chair up at the front of his house, the rain and wind pounding at the bay window three feet from his right hand, Hardy never heard the telephone ring. And now suddenly here was his wife first touching his shoulder, then shaking him gently. \"Dismas.\" Opening his eyes, everything out of focus, he saw her standing there in a bathrobe, the receiver in her hand, concern writ large on her features. \"Maya Townshend,\" she whispered.\n\nStraightening up, his neck cricked with a stabbing pain, it took him a few more seconds to get his bearings. All right, he was still downstairs, must've fallen asleep trying to figure . . .\n\n\"Hello?\"\n\n\"I'm sorry. Did I wake you?\"\n\nHardy cleared his throat. \"No, of course not.\" What the hell time was it anyway? He glanced outside, where the heavy storm clouds kept it looking like half-night. \"This is just my precoffee voice. Don't mind it. How can I help you?\"\n\n\"They're here again.\"\n\n\"Schiff and Bracco?\"\n\n\"They're unbelievable, these two.\"\n\n\"I don't know. I find myself believing in them lately. What do they want?\"\n\n\"Apparently they've got a search warrant. They want to look through the house. Joel's furious, of course. We haven't even finished breakfast, and the kids are all upset. I don't know who's going to take them to school now.\"\n\nIn fact, Hardy heard children crying in the background. \"What time is it, actually?\"\n\n\"Ten after seven. They got here at seven sharp.\"\n\nHardy knew that this was a bad sign. Generally speaking, police were not permitted to serve warrants in the middle of the night. In fact, search warrants were not valid for service between ten P.M. and seven A.M. unless a judge specifically found evidence that justified the extreme intrusion into someone's home. Absent an emergency, judges were reluctant to issue such a warrant. They would do that, of course, if there was cause to believe that a suspect would destroy evidence or flee under cover of darkness. So the fact that they'd waited until seven\u2014the first allowable minute without that extraordinary finding\u2014was ominous.\n\n\"So where are they now?\"\n\n\"Right here. Joel's trying to reason with them. They said we had to let them in. They have us all sitting on a couch in the front room. They won't let us move. If we try to move, they said they'll put us in handcuffs. They wouldn't even give me my cell phone until I said I needed to call Harlen to get the kids and then you. Can they do all this?\"\n\n\"If they have a warrant, they can. Did they say what they're looking for specifically?\"\n\n\"Shoes and\/or clothing that might contain blood . . .\"\n\nWhich meant, Hardy knew, that she was now a suspect.\n\n\". . . phone and financial records, computer files\u2014a lot of the same kind of stuff they wanted for the other\u2014\" The woman's voice suddenly broke. \"Oh, God. I don't know why all this is happening to us all of a sudden. I don't know what's going on. It's like we're living in a police state. Can they just come in here and look through everything?\"\n\n\"Not without a reason, so they must think they have one, and they must have convinced some judge too. Have they talked to you at all?\"\n\n\"To get in, yes. Before they told me they had this warrant, they asked me about what I did yesterday.\"\n\n\"When yesterday? What time?\"\n\n\"Afternoon.\"\n\n\"And you didn't tell them anything, right?\"\n\n\"I said I'd gone to church, that's all.\"\n\nThat was enough, Hardy thought, wondering anew about his client's predilection to lock herself into a position that might incriminate her. But he kept his voice mild. \"You went to church again?\"\n\n\"I know. Most people don't, I suppose. But I do all the time. St. Ignatius.\"\n\n\"And how long were you there?\"\n\n\"I don't know. A little while. Before I had to pick up the kids. But I told them, the inspectors, that I wouldn't answer any more questions until you got here.\"\n\nOpen barn door, let horse out, close barn door after it. Check. But there was nothing to do about it now, so Hardy merely said, \"Good for you, Maya. Try to stick with that. I can be there in a half hour. How's that sound?\"\n\n\"Like a long time.\"\n\n\"I know. I can't help that. I'll get there as fast as I can. Promise.\"\n\n\"Okay.\" Hardy heard her breathe.\n\n\"Maybe between Harlen and Joel they can stop them before that.\"\n\n\"Harlen? Your brother Harlen?\"\n\n\"Yes. I told you I called him first, didn't I?\"\n\n\"Yeah, but you said it was something about the kids.\"\n\n\"Well, that too. But he and Sergeant Bracco are friends, you know.\"\n\n\"Right. I'm aware of that. They were friends, but now he's\u2014\" Hardy stopped before he said anything else, such as that given the presence of Jerry Glass around this case, Harlen Fisk was possibly the worst imaginable choice of a person to confront the police, and especially Schiff, about the legality or reasonableness of a search warrant in Maya's house.\n\n\"He'll be good with them, Mr. Hardy. Harlen's good with everybody.\"\n\n\"Okay, then, but even after he gets there, if it's before me, can I ask you please not to say anything to the police until I get there? Can you promise me that?\"\n\nAfter she did, Hardy pushed the button to ring off the phone and went to straighten himself, but the crick in his neck asserted itself again and he sat back down with some care, twisting his head to find an angle that didn't hurt.\n\n\"Are you all right?\" Frannie coming through the dining room with two steaming cups in her hands.\n\n\"Except for the icepick in my neck.\" Taking one of the cups. \"You're the best, you know that?\"\n\n\"I've heard rumors. So why again were you sleeping down here?\"\n\n\"I wasn't sleeping upstairs and didn't want to wake you up.\"\n\n\"You can always wake me up.\"\n\n\"That's what they all say, but they don't mean it.\"\n\n\"I mean it, Dismas. You know that.\"\n\n\"I know. I'm sorry, just kidding.\" He sipped his coffee, and sighed. \"But all kidding aside, this isn't starting to look too good.\"\n\n\"Maya Townshend?\"\n\nHe went to nod but stopped himself before he got too far. \"I need to get over there right now. They've got to have something new or they wouldn't have moved like this.\"\n\n\"You think it's this guy Glass?\"\n\n\"I don't know. Maybe. Maybe I should call Abe.\"\n\n\"And what?\"\n\n\"Finesse him to get some inside dope. Failing that, see if he can slow things down.\" Realizing the absurdity of that possibility, he added, \"Which he's just plain not going to do, is he?\"\n\n\"Not if they have something on her, which they must, right?\"\n\n\"Right. I wish I knew what it was.\" Grimacing, he reached over and put his cup down on the windowsill. \"I've got to get moving.\" He started up again, and again his hand went to his neck, but this time he fought through the pain, got to his feet. \"One step at a time,\" he said half to himself. \"One step at a time.\"\n18\n\n**Arriving at the premises** , Hardy convinced Bracco to let him sit with his clients in their kitchen in return for a vague promise that they might have something to say to the inspectors.\n\nMaya set her mug of coffee down on the countertop. \"Even if he did call me, that doesn't mean I went and saw him afterwards, does it? I don't even know where he lives. Lived.\"\n\n\"So you couldn't have gone there,\" Hardy said. \"You're absolutely sure you didn't go there, right?\"\n\n\"Well, yes. Of course. I don't see why there has to be a connection between him calling me and me going to see him. He just wanted to talk about Dylan and if anybody suspected him.\"\n\n\"Because you all used to be friends,\" Hardy said in a low voice.\n\nThe police had let them give the children to a neighbor\u2014Harlen hadn't made it there yet\u2014to take to school. They were probably just as happy not to have the kids underfoot anyway. The three of them\u2014Joel, Maya, and Hardy\u2014sat around the island stove in the Townshends' ultramodern, supergourmet kitchen. Every appliance, from the refrigerator and stove to the toaster and coffeemaker, was of brushed steel; every flat surface a green-tinged granite. Outside the wraparound back windows the storm swirled and eddied around them. The lights had already blinked twice as gusts of wind hammered at the glass.\n\nAlong with two other search-specialist cops Bracco and Schiff were somewhere back or up in the house behind them. Occasionally the disembodied voices from one or more of these people would carry in to the trio in the kitchen\u2014thrumming undertones of a somehow undefined menace and conflict. The uniformed officer left at the door of the kitchen to watch them didn't appear to be either interested or listening.\n\nNevertheless, they kept their voices low. \"It made perfect sense to me, Dismas. Even if it doesn't to you.\" She motioned back toward the rest of the house. \"Or to them.\"\n\nHardy nodded. \"Although you must admit,\" he added, \"that the timing doesn't look too good. He calls you the day he's killed.\"\n\n\"I can't help when he called me,\" Maya said, \"or what he wanted to talk about. And it wasn't like I spent a lot of time talking to him. He was mostly afraid somebody, like those inspectors, might think he had something to do with Dylan, you know? And had I heard anything? He was worried.\"\n\n\"I know. That's what you said. And it looks like he had reason to be. Look,\" Hardy said. \"As long as you didn't go there, and they can't prove you did . . .\"\n\n\"Come on. I told you. I was at church.\"\n\n\"For two hours?\" Joel asked.\n\n\"I didn't time it, Joel. As long as it took. I don't know.\"\n\n\"It's all right.\" Hardy held up a hand. \"If you were at church, that's where you were. All I'm saying is if that's the case, there's nothing Schiff and Bracco can do. If you weren't at Levon's, you weren't there. End of story.\"\n\nMaya stared hard at her husband. \"That's what I'm saying, Joel. And there's no dispute about whether I was there, so the phone call doesn't matter anyway.\"\n\nNo doubt, Joel wanted to help his wife, but he obviously didn't believe yet, as Hardy had come to, that Maya could possibly be going to jail, maybe in the very near term\u2014possibly today.\n\nWhen Hardy had arrived, he'd asked what had changed in their investigations that Bracco and Schiff needed to serve a search warrant on his client first thing in the morning. They had told him about the call from Levon's cell phone to Maya's home number. After a flustered minute she'd admitted not only to her past friendship with Levon and the connection between Dylan, Preslee, and herself, but that he had in fact called her yesterday, out of the blue. Before that she hadn't heard from him in a couple of years.\n\nThe good news from Hardy's perspective was that now he felt sure he understood in a general way what the blackmail had been about. The specifics might not ever be forthcoming, but given Levon and Dylan's criminal conspiracies, and the fact of Maya's close friendship\u2014and perhaps more\u2014with at least one of them, it was pretty clear that she'd gotten herself involved in some kind of illegal activity, that she'd made deals with each of them to keep herself off the radar.\n\nThe bad news, of course, was that her involvement on any level with two men murdered within the same week made her an extremely attractive candidate as a suspect in the killings.\n\nExcept that, according to her, she'd never been to Levon's home. \"Maya,\" Hardy now said, \"it might be helpful if you could write down as much as you can remember about the phone call. Just to give it added credibility.\"\n\nThe police packed up and left, taking with them a lot of clothing, their computers, phone books, and financial records. Joel was on the phone in his office calling his place of business to see if perhaps the police had been there, and trying to decide how to reconstruct the financial records the cops had carted off. Hardy and Maya had just sat down in the kitchen when the doorbell rang, and Maya got up to answer it.\n\nShe came back in trailing her brother, who parked his bulk on a counter chair and sighed. \"I don't like this, Diz.\"\n\n\"I can't say I'm wild about it either, Harlen. But if she's never been to Levon's . . .\"\n\n\"Yeah, but you can't prove a negative.\"\n\n\"True, but luckily, the burden of proof isn't on us. It's on Darrel and Debra.\"\n\nThe doorbell rang again, and again Maya went out to answer it.\n\n\"You think she's telling the truth?\" Fisk asked, his body language saying he didn't.\n\n\"She's my client,\" Hardy said. \"I have to believe her. If there's no evidence placing her at Levon's, no blood on her shoes or clothes . . .\"\n\n\"That's not what I asked.\"\n\n\"No, but\u2014\"\n\nMaya's returning footsteps closed out the discussion as Hardy turned to see her coming back into the kitchen. \"It's your investigators,\" she said. \"They're wet and said they're good waiting out in the lobby. You asked them to come out here?\"\n\nHardy shrugged, standing up. \"I didn't know what was going down exactly when I called them. I knew your children needed rides to school. But sometimes cops serving search warrants get carried away. It never hurts to have backup. Witnesses tend to keep things copasetic. Although it doesn't look like that's needed today. I'll go and talk to them.\"\n\nOut by the front door Wyatt Hunt stood dripping in hiking boots, jeans, and a Giants slicker, and Craig Chiurco looked a bit more well-defended against nature with a natty tan trench coat. But the weather wasn't foremost on their minds. They didn't even notice Hardy as he approached them, so intent were they on their conversation, whispering back and forth.\n\nUntil he stopped two feet away from them, and hearing Chiurco's last words, \". . . don't have to say anything about it?\" Hardy said, \"About what?\"\n\nHunt shook him off. \"Nothing.\"\n\n\"Ah, the famous nothing.\"\n\n\"You don't want to know, Diz,\" Hunt said. \"Really.\"\n\n\"I like knowing stuff,\" Hardy countered. \"It's one of my hobbies.\"\n\n\"You really might not want to know this, Diz. I promise. The only way you want to know this now is if it comes out some other way later and you didn't hear it here first.\"\n\n\"You're saying I'd be pissed?\" Hardy leaned in toward them and lowered his own voice. \"Maybe I should get to decide. I hate surprises later. So I decide yes now.\"\n\nHunt motioned off with his eyes behind Hardy, over toward the kitchen. He stopped, turned to Chiurco, and shrugged, then shook his head. To all appearances, he had a bad taste in his mouth.\n\n\"You're the boss,\" Chiurco said. \"Your call.\"\n\nHunt hesitated another moment, then finally let out a long breath. \"Craig saw her.\"\n\n\"Who?\" Hardy asked, his empty stomach suddenly bunching up on him. For of course he immediately knew who, and when, and where.\n\nTwo minutes later they were all back in the kitchen. Joel had appeared from his duties elsewhere in the house and now stood over by the sink, holding Maya's hand. They'd all been in a spirited conversation talking about something but stopped when a firm-jawed Hardy trooped in with Hunt and an especially disconsolate Chiurco in his wake.\n\nWithout any preamble Hardy looked around to Joel and Harlen and said, \"If you don't mind, I'd like to speak to Maya alone for just a minute if I could.\"\n\nJoel, on edge in any case and perhaps emboldened by his interactions over the past hour or so with the police, moved a half-step over in front of his wife, protectively. \"That's not happening. We've already told you our decision on that. We're fighting this together, Maya and me, all of it.\"\n\n\"All right, then,\" Hardy said. \"But if that's the case, I have to tell you that you'll be doing it without me.\"\n\n\"Fine,\" Joel said. \"We didn't\u2014\"\n\nMaya held up her own hand. \"Wait!\"\n\n\"Maya.\" Joel, warning her, scolded her back into her place.\n\n\"No!\" She turned her gaze to Hardy. \"Dismas, can't you just say whatever it is in front of Joel? We are in this together.\" She turned to her husband, met his eyes. \"We really are, Joel. But\"\u2014coming back to Hardy\u2014\"but I'll go talk with you if you need me to. If that's the only way.\"\n\n\"There's no only way, Maya. There's no one way. There's just the way it's worked for me. The way I do it.\"\n\nJoel, adopting a reasonable tone, said, \"Mr. Hardy, all right. Maya wants to keep you on, we'll play it your way if you need to. But I'm telling you that you can say whatever you need to in front of me. And Harlen, for that matter. He's family too.\"\n\nHardy, exhausted from the lack of sleep and the postadrenaline slump after what he'd just heard from Chiurco, felt his shoulders sag, and this tweaked the crick in his neck anew. This was not the way the practice of law was supposed to work. To be effective you had to maintain control over the client, the family, the flow of information. And now he was feeling it all inexorably swirling away from him. \"I very much appreciate all of your cooperation with one another,\" he said, \"and your mutual trust. But as I've told you, this is just not how I do it. I've got to talk to Maya first and alone. She's my client and I've got no choice.\" He turned to her. \"Maya?\"\n\nShe looked around at the room full of men, brushed her husband's arm, and moved around him. \"We'll be right back,\" she said.\n\n\"He's sure?\" she said.\n\n\"He said he's one hundred percent sure. You've got a memorable face, Maya. You passed right by him as he was going in.\"\n\n\"I don't remember him.\"\n\n\"No,\" Hardy said, \"maybe you don't.\" Thinking that it was probably because she had just killed someone. \"But you were in fact there, weren't you?\"\n\nShe didn't say anything.\n\n\"Maya?\"\n\nShe looked up at him. \"I didn't think anybody would believe me if said I went there but he wasn't home. But that was what happened.\"\n\n\"Why did you go there?\"\n\n\"He asked me to. He told me he needed to see me. That he'd tell about me and Dylan and him if I didn't.\"\n\n\"Just like Dylan?\"\n\n\"What do you mean?\"\n\n\"That's what Dylan threatened you with if you didn't come down too.\"\n\n\"No. That was different. That was the shop. I already told you that.\"\n\nHardy took a beat. \"You also told me you didn't go to Levon's.\"\n\nAgain, silence. Finally, \"So what are you going to do?\"\n\n\"What do you mean?\"\n\n\"I mean, are you going to tell the police?\"\n\n\"No. Of course not. I'm on your side here, Maya. We can't let the police find out about this at all. We're just lucky it was my investigator who saw you. He'll never tell a soul. I'll never tell a soul. And there is no way we can ever be made to testify against you. But I think it's time we stop answering any more questions at all. Someone wants to talk to you, you refer them to me.\"\n\nBut no sooner had they walked back into the kitchen than Maya walked and then ran the last few steps up to her husband, hugged him, and started crying.\n\n\"Hey. Hey,\" he said, holding her. Then, at Hardy, \"What did you say to her?\"\n\nHardy stood his ground. \"There were things she had to understand. She'll be all right.\"\n\n\"She'll be all right! She'll be all right! Look at her. She's crying now, for God's sake. She's not all right at all.\"\n\n\"I'm sorry,\" Hardy said. \"I didn't mean to make her cry.\"\n\n\"Well, whether or not you meant it . . .\" He brushed his hand down over her hair. \"It's okay, babe. It's okay.\"\n\nShe pulled away and looked up at her husband, her voice breaking, hysteria coming on. \"It's not okay. It's not going to be okay. Maybe not ever again.\"\n\n\"Sure, it will. We'll get through this and\u2014\"\n\n\"No, Joel. You don't understand. I was there. I was _there_.\" She turned and pointed to Chiurco. \"He saw me. Oh, God! Oh, God! I'm so, so sorry.\"\n\nThree days later, after the lab confirmed that both Maya's fingerprints and DNA were on the doorknob of Levon's apartment, Schiff and Bracco took Maya into custody.\n**Part Two**\n19\n\n**There were Superior Court** judges Hardy liked a lot, and a very few that he'd prefer to avoid if at all possible, but only one he actively despised, and that was Marian Braun.\n\nThe history between the two of them was so extreme that it included a contempt violation and actual jail time for Hardy's _wife_. He honestly believed that he might prevail on appeal, should it come to that, if he argued that Braun should have recused herself when she discovered that Hardy was going to be defending a murder suspect in her courtroom. Of course, the flip side of that was that if Hardy was worried about the impossibility of getting a fair trial from Braun, he could have exercised his 170.6.\n\nThat section of the California Code said that any lawyer assigned to trial could excuse one, but only one, judge, without giving any specific reason. The lawyer was sworn and simply declared under oath that he believed the judge to whom he'd been assigned was prejudiced against himself or the interests of his client to the point he thought he couldn't get a fair trial.\n\nThat was it\u2014no hearing, no evidence. The declaration itself caused the judge to be removed forever from the case. And challenges were reported to the judicial council. Obviously, a judge with too many challenges acquired the unfavorable attention of that supervisory body.\n\nBut the move had its price.\n\nFirst, the courts hated challenges. They not only dinged one of their colleagues, however deservedly, but screwed up the scheduling for everyone else, because another judge had to take the case, and someone had to take their cases, and so on. And even if the judges personally despised the object of the challenge, they despised more the hubris of a mere lawyer who dared to suggest that one of their own tribe might not be fair.\n\nSo if Hardy exercised a challenge, he would likely immediately find himself in the courtroom of the most antidefense judge that the presiding judge could find available, and that judge would have an additional motive to make Hardy's life as miserable as he or she possibly could. Hardy knew he challenged at his peril.\n\nSo Hardy elected to roll the dice with Braun. Call him superstitious or crazy\u2014he'd also pulled Braun for his last murder trial, nearly four years before. She hadn't liked him any better then, nor he her. And that trial had never been given over to the jury because a key prosecution witness had changed his testimony at the eleventh hour. Nevertheless, Hardy's client had walked out a free woman, Braun or no Braun. He'd already proven that he could win in her courtroom, and if he could do it once, he could pull it off again.\n\nNow, as he sat in Department 25 on the third floor of the Hall of Justice, waiting for his client's appearance in the courtroom, Hardy found himself marveling anew at the thought that they were about to begin a full-blown murder trial. He felt vaguely responsible and not-so-vaguely incompetent that things had come to this point. Surely a better lawyer could have closed the case after the PX\u2014the preliminary hearing\u2014which they'd had a little over four months ago, within two weeks of Maya's arrest.\n\nAt the end of that fiasco, Maya had been held to answer. In Superior Court he'd filed the pro forma 995, which called for the dismissal of the two first-degree murder charges against Maya on the grounds that the prosecution had failed to present even probable cause to suggest she'd committed these crimes.\n\nHardy had even permitted himself a flicker of optimism. There might have been technically enough evidence to justify a trial, but surely the court had to see the same weaknesses in the evidence that he himself saw. That was why Hardy had demanded, as Maya had a right to do, that the prelim take place within ten court days of her arrest. He had felt that on the evidence, he might win, and in any event, the case wasn't going to get any better for the defense. But now, here he was in Braun's court.\n\nHe'd been wrong.\n\nThe other, political, reason that he'd pressed for the speedy PX was that Maya's arrest had set off a news frenzy in the city that Hardy thought could only get worse over time, and in this he was right. The secret grand jury investigation that Jerry Glass was conducting on the U.S.-attorney front, along with the public threats of forfeiture of the properties of one of the town's major development and political families, had by now neatly dovetailed into a narrative that had captured the public's imagination, as Hardy had suspected it would.\n\nKnowing that the body politic of San Francisco in general, and probable members of jury pools specifically, tended to have little sympathy and lots of hostility and envy for the two aligned, and\u2014in the public eye, generally malignant\u2014classes of developers and politicians, Hardy had wanted to hurry up with a jury trial before every single person in San Francisco had been so exposed to innuendo, insinuation, and the venom of the press that they had all long since made up their minds. Juries didn't always return verdicts based on the facts; sometimes they voted their prejudices. So, given the dearth of evidence for the actual murders, he'd believed back in October that a quick defense was his best chance to free his client and cut short the debate about the kinds of people the Townshends and other developers and power brokers must be.\n\nAnd now, in late February, here they were, with Braun presiding, about to begin exactly what he'd strategized and labored to avoid and yet called down upon himself. He had demanded a speedy trial, and now he was going to get it.\n\nEven moving as quickly as he could, he couldn't avoid the collateral damage that continued to wreak its havoc on the extended Fisk\/ Townshend\/West families\u2014Harlen's, Maya's, and the mayor, Kathy West's. It appeared that the U.S. attorney's power to subpoena\u2014particularly financial records\u2014in capable hands like those of Jerry Glass could be a blunt weapon indeed.\n\nBy the time the preliminary hearing had begun, Glass had barely had time to look into the Bay Beans West bookkeeping, much less Joel Townshend's wider business affairs, and how, if at all, they might relate to one another. But since the marijuana connection with Dylan Vogler was intimately connected with BBW, and this was needed by the State to establish a purported motive for Maya to have killed him, Glass and his conduit Debra Schiff had obviously been supplying the prosecution with whatever they could in terms of questionable financial dealings between the coffee shop and the Townshend household.\n\nThis hadn't hurt anyone too badly during the preliminary hearing\u2014although the money laundering possibility had apparently been part of the court's decision that a jury should weigh the evidence and reach its own conclusions in Maya's case\u2014but over the past months, and especially in the past couple of weeks, Glass's investigators and accountants had finally unearthed what appeared to be a treasure trove of sophisticated financial relationships and arrangements that now appeared to implicate Townshend, Harlen, Kathy West, and some other large players in at the very least questionable, if not to say unethical or illegal, conduct.\n\nPotential kickbacks, preferential treatment, undocumented meetings about matters of public interest in violation of the city's Sunshine Ordinance.\n\nVery little, if any, of this had been proven yet, except that Glass had succeeded in crippling BBW, and the government was preliminarily close to attaching the entire building as the probable proceeds from a drug operation, although the place itself was still open day to day. Because Maya had a Fifth Amendment right not to answer any questions in the forfeiture proceeding while her criminal case was pending, any final decision was on hold for now, but the questions alone raised a spectre of criminality over Maya and everything she touched.\n\nThe BBW accounts were incredibly sloppy. As just one example, Maya had cut Vogler a check from her own personal checking account for $6,000 for emergency repairs from water damage in July and another personal check for a half month's pay, $3,750, last March. There was no record he had ever given her back the money. There was at least $30,000 worth of checks from Vogler to Maya over the past two years with no explanation at all in their records. The only question seemed to be what precise illegality was being funded by the operation.\n\nMaya told Hardy she'd been busy with the kids' school and on vacation and hadn't been able to make it into the store to sign the business checks, but she'd also neglected to reimburse herself from the company account during the many visits when she'd had a chance to do so. She had no idea what the checks from Vogler to her represented. She had left it to Vogler to keep the books. In the current climate this explanation was widely discredited.\n\nThe victory for Glass and the accompanying widely perceived truth that the Townshends were in fact in the drug business had then in turn played a huge role in people's perception of the Townshends, and public opinion shifted away from presumption of innocence. Suddenly, if you did business with Joel Townshend, or Harlen Fisk, or Kathy West\u2014in fact, if you did business with the city\u2014you were going to get cheated. That's just the way \"these people\" did things.\n\nJust this morning Hardy had read the _Chronicle_ 's editorial and letters page, and it was fully one-third choked with vitriol\u2014Supervisor Fisk and the mayor should quit or, failing that, they should be impeached. The drumbeat was picking up; even in Hardy's office it was water-fountain talk.\n\nAnd though none of this had anything to do with Maya's guilt for the crimes of murder of which she was accused, Hardy knew that it was going to have a lot to do with Paul, aka Paulie, aka \"The Big Ugly,\" Stier\u2014the assistant DA who'd pulled the case\u2014and how he played the evidence. From an untutored perspective the entire courtroom drama could unfold as a large multi-tentacled conspiracy fueled by drugs and moral turpitude in high places.\n\nHardy glanced over at his opponent.\n\nDespite his flamboyant nicknames Stier was in his mid-thirties, earnest, and, from Hardy's dealings with him so far, possessed of little personality or sense of humor. The nicknames remained worrisome, though.\n\nIt was a truism in the courtroom that what you didn't know _would_ hurt you, and Hardy hadn't been able to pick up much in the way of gossip or dirt on The Big Ugly, which probably meant he kept his personality\u2014and his possible clever moves and dirty tricks\u2014well hidden until he needed them, when they could inflict the most damage. Of course, it was also possible that the nicknames were sarcastic\u2014that Stier was what he appeared to be, a hard-charging, fair-minded, good-looking working attorney. Certainly, he didn't look dangerous now, leaning back over the bar rail chatting amicably with Jerry Glass. They were simply two clean-cut, hardworking, self-righteous, ambitious guys doing the people's hard work\u2014one for the country's government, and one for the state's.\n\nHardy felt a twist in his stomach.\n\nThere, also, in the front row, was Debra Schiff, who, Hardy knew, had started to see Glass socially, if not intimately. Leaning around further, Hardy briefly caught the eye of Darrel Bracco, who gave him a quick ambiguous look and then looked away\u2014clearly all along Bracco had not been as gung-ho as Schiff about Maya's guilt and the wisdom of her arrest, but in the maelstrom that had developed, his doubts, if any, had surely been laid to rest. Still, though, to Dismas the look somehow felt heartening.\n\nOr maybe it was pity.\n\nAt a signal from the bailiff Hardy got up and walked through the door at the back of the courtroom leading to the corridor and the judge's chambers. There, out of the sight of the jury, the bailiff took off Maya's handcuffs, and Hardy entered with his client, followed by the bailiff, and they took their places at counsel's table.\n\nIn what Hardy thought was a show of judicial nastiness if not downright personal affront to him, Braun had considered denying Maya the privilege of \"dressing out,\" or wearing normal street clothes when she appeared in the courtroom. For the duration of the trial, she opined, his client would sit next to Hardy at his table in her yellow jumpsuit.\n\nHardy, insane with rage, had had to file a fifteen-page brief before he could convince Braun that a variety of federal and state cases held squarely that his client had an absolute right to appear in front of the jury in civilian clothes. Dressed as a convict, she would present to the jury an image that was at odds with that of a citizen who was presumed innocent. She must be already guilty of something, went the not-so-subtle psychology of it. She wouldn't be in jail, wearing that outfit, brought into the courtroom in handcuffs, if she hadn't done anything at all, if she weren't a danger to the community. Braun's position was ridiculous and had been repudiated by courts for a good fifty years. Even so, she had conceded this absolutely undebatable point grudgingly and with bad grace.\n\nThe gallery noise behind them abated slightly. Maya gave Hardy a lost look and then scanned around behind her, nodding at her husband in the first row on \"her\" side of the gallery, or maybe it was that she was relieved not to see her children, who had been living with Fisk's family all the while she'd been incarcerated.\n\nThe whole thing was awful, Hardy thought. Simply awful.\n\nAnd what made it worse, all but intolerable from his perspective, was that in spite of the lack of evidence he'd finally come to lose almost all of his belief that she was not actually guilty of both murders.\n\nCertainly, he knew, she had done something she was unwilling, under pain of life in prison, to reveal.\n\nAlso, while her family and her outside world appeared to be imploding around her, as the weeks had passed, she seemed to have grown more and more acquiescent, and less concerned with her defense, as though she deserved whatever happened to her. She still professed a desire to be found innocent, but mostly because she thought the children needed her. She didn't want them to have to live with the fact that their mother was in jail, convicted of murder. For herself, though, it didn't seem that critical an issue.\n\nHardy stood and pulled out her chair as all the parties rose while another bailiff brought in the jury from their room farther back along the same corridor Hardy and Maya had just used to enter the courtroom. When all the jurors were seated, she sat and Hardy pushed her forward until she was comfortably up at the table. As he'd coached her, she cast a look over to the newly empaneled jury and nodded a few times, making as much eye contact as seemed natural.\n\nIt was, from his perspective, a decent jury. Nine men and three women. Five whites, four African-Americans, three Asians. All between forty and seventy, and Hardy guessed from various nuances that seven or eight of them had at least tried marijuana. Nine of them held full-time jobs. Two of the men and one woman were retired and had been moderately successful in business. Hardy was surprised that Stier hadn't peremptorily dismissed any of these, but maybe he hadn't factored the antidevelopment prejudice adequately into his jury-selection strategy.\n\nAlthough sometimes, Hardy knew, you just got lucky.\n\nThe way things had been going, though, Hardy didn't think that was it in this case.\n\nBut before Hardy had a chance to sit again, behind them the gallery energy shifted, and both Hardy and Maya turned around to see what had caused it.\n\n\"Well, look at this,\" Hardy said, a small grin toying with the sides of his mouth as Kathy West, the mayor of San Francisco herself, came walking down the center aisle toward them, accompanied by her nephew Harlen Fisk and a small procession of both of their staff members. Beyond them flowed a steady stream of reporters, courtroom groupies, and the simply curious, such that by the time Kathy and Harlen got up to the front row and began moving in beside Joel, the gallery was standing room only and the buzz in the room was constant and formidable.\n\nThe bailiff, obviously at a loss as to what he should do, especially after Kathy West shook his hand, allowed the mayor to further ignore the rules and reach across the bar rail to shake hands with both Hardy and her niece, while Harlen pulled Hardy a little closer and whispered, \"This is Kathy's spur of the moment inspiration. Maybe put our friend Stier over there a bit off his feed for his opening statement.\"\n\n\"Couldn't hurt,\" Hardy said. The grandstanding, coming as it did after weeks of inactivity and silence from Maya's extended family, was in fact far from unwelcome. A smile creased Hardy's features and he glanced over in time to catch Stier, Glass, and Schiff in what were to him sweet expressions of disbelief and shock.\n\nBut the energy had no time to gather momentum as the door by the judge's bench opened and the bailiff up there at the far end of the room intoned, \"All rise. Department Twenty-five of the Superior Court of California is now in session, Judge Marian Braun presiding.\"\n\nAnd Braun swept in and up to her chair behind the bench, glanced out at the crowd, then glared as she became aware of her visitors. After a second's hesitation she lifted and slammed her gavel and said, \"Attorneys, my chambers, immediately!\"\n\nThe judge, in her black robe, was standing waiting for both of them as they came in. She didn't even ask the court recorder, Ann Baxter\u2014sitting on the couch with her magic machine\u2014if she was ready to take down every word that was said, as was required in a murder trial, before she started in. \"Mr. Hardy. Because of our long history together, I thought I'd made clear that there wouldn't be any showboating in or around my courtroom. And now I come in here on the first actual day of trial and who do I see out in the first row but the mayor and one of our city supervisors, and if you think\u2014\"\n\n\"Your Honor,\" Hardy said.\n\nBut she raised a hand. \"I'm not finished talking yet, and I don't want you interrupting me. Ever. Here or in the courtroom. Clear?\"\n\nIt was unprofessional and might even be counterproductive in the short run for his client, but if Braun was going to insult him and act like a tyrant whose malice toward him might provide grounds for an eventual appeal, Hardy was going to be happy to help her along. So, knowing that decorum demanded that he respond aloud to her\u2014otherwise the court recorder couldn't put his answer in the record\u2014he nodded with an exaggerated solemnity.\n\nAnd waited.\n\nIt didn't take Braun long. Her eyes went nearly shut as she squinted across at him. \"I asked you a question, Mr. Hardy. I asked if it was clear that you were not to interrupt me.\"\n\n\"Yes, Your Honor. Of course. I'm sorry. I wasn't sure you'd finished and I didn't want to interrupt.\" Straight-faced.\n\nShe pointed a finger at him, schoolmarmish, her voice a hoarse and controlled rasp. \"I'd like to know what you mean to accomplish by having the mayor and Supervisor Fisk sitting out there. This is exactly the kind of circus environment that I've cautioned you that I want to avoid, and here it is before we've even begun.\"\n\nHardy stood at attention.\n\n\"Well? Are you going to answer me? Or not?\"\n\nHardy canted his head slightly, leaning forward. \"I'm sorry, Your Honor. I didn't hear a question and didn't know you required a response.\"\n\n\"What are they doing out there?\"\n\n\"I don't know, Your Honor. Intending to take in the trial, or at least part of it?\"\n\n\"Why?\"\n\n\"I don't know. I wouldn't care to hazard a supposition.\"\n\n\"I don't believe you. I sense your hand in their presence here.\"\n\n\"Your Honor, you flatter me to assign me such influence, but I assure you that I have no control over the movements of the mayor. Or Mr. Fisk. Their appearance here is as much a surprise to me as it is to you.\"\n\n\"They are sitting on your client's side. You don't think this is going to influence the jury, seeing them sitting rooting for her?\"\n\n\"I don't know about that and I can't help how the jury will react. Ms. West and Mr. Fisk are both related to the defendant.\" He turned. \"As Mr. Stier and, I believe, you, well know.\"\n\nAgain the finger. \"Don't you presume to tell me what I know or don't know.\"\n\n\"Of course not, Your Honor. But regardless of your knowledge or lack of it, it's only natural that as Ms. Townshend's relatives, they should sit on the defense side of the gallery.\"\n\nBraun turned her angry eyes to the prosecutor. \"Mr. Stier? Do you have anything to add to this conversation?\"\n\nThe clean-cut and quite possibly cutthroat attorney, who had come in the door behind Hardy and remained slightly behind him until now, stepped up beside him, cleared his throat, but remained silent.\n\n\"Your Honor, with respect,\" Hardy began, \"first and primarily, this is a public courtroom. Anyone has a right to be here. We fought a revolution about this sort of thing. Further, there is an argument to be made that their presence might be calculated to combat the pretrial prejudice that the prosecution has been abetting throughout the lead-up to this trial.\"\n\n\"What are you talking about?\" Stier snapped.\n\nHardy kept himself at attention, eyes forward.\n\nAfter a satisfying five seconds Braun finally came at him. \"Did you hear Mr. Stier's question, Mr. Hardy?\"\n\n\"Of course, Your Honor.\"\n\n\"Well?\"\n\n\"I'm sorry. Well what, Your Honor?\"\n\n\"I asked you if you'd heard Mr. Stier's question.\"\n\n\"Yes, of course, but you've instructed me many times to address my remarks only to the court. I'm trying to hone to the court's protocol, Your Honor. As to Mr. Stier's question, I'm certain he knows full well what I was talking about.\"\n\n\"Would you care to enlighten the court what that is?\"\n\n\"Certainly, Your Honor. It's no secret that for the past several months Mr. Glass, the U.S. attorney here in San Francisco, has been prosecuting a campaign in the civil courts, in the media, and with a federal grand jury, trying to link my client and her husband to her brother and to the mayor and trying to implicate all the families in a money-laundering, dope-dealing, and racketeering conspiracy. That's why I submitted all the questions for your voir dire about which of our prospective jurors follow the news closely. I had assumed you were aware of this, Your Honor.\"\n\nFor an answer Braun turned to the prosecutor. \"Mr. Stier?\"\n\n\"Nonsense, Your Honor. It's true that Jerry Glass has been following his own trail of malfeasance that appears to lead through some of these same individuals, including Mr. Hardy's client, but to imply that we've colluded to prejudice\u2014\"\n\n\"Excuse me, Your Honor. I didn't mean to imply any such thing. I meant to state it as established fact.\"\n\nStier wheeled on Hardy. \"That's absurd.\"\n\n\"To the contrary,\" Hardy replied evenly, facing Braun. \"It's demonstrable, Your Honor. Debra Schiff, the homicide inspector who arrested my client, has been designated a special agent for Mr. Glass's federal grand jury. Some would call that collusion.\"\n\nBraun glowered.\n\n\"But more to the point, Your Honor, Ms. West's and Mr. Fisk's right to be here, and my client's right to have them here, is absolute. Of course, if you or Mr. Stier would like me to pass along a message to the mayor and a member of the Board of Supervisors that you want them to leave, I'd be happy to oblige. I'd actually be kind of interested to hear what they had to say to that.\"\n\nA longish pause. Then, \"All right\"\u2014Braun bit off her words\u2014\"that's quite enough. I won't condone this type of bickering, either here or in my courtroom.\" Hanging her head for a second, she shook it in disgust, then came back to the attorneys standing before her. \"This situation infuriates me, but I don't see any help for it. You gentlemen are excused. I'll be out there again in just a minute.\"\n\nWord had evidently spread quickly, and by the time Hardy was back next to Maya at his table in the bullpen, there wasn't a seat to be had in the gallery. A line stretched out through the door that led from the hallway into the courtroom, and Hardy was more than a little surprised to see Abe Glitsky standing in it, just inside the door, having come down to check out the show. He gave Hardy an infinitesimal nod.\n\nBecause they were scheduled to appear as witnesses and could not remain in the courtroom, Schiff and Bracco had both abandoned their earlier front-row seats in favor of a couple of reporters, who were among the number of people questioning both Harlen Fisk and Kathy West in what appeared to be a virtual impromptu press conference. Indeed, the gallery was fairly humming on all sides, so much so that the bailiff's ringing call to order as Braun reentered the room and ascended to the bench went largely unheeded.\n\nHardy, up front, heard it and turned, but the noise behind him continued and, if anything, increased. Until Braun, standing, used her gavel, at first once, gently. And getting no response, then with a more imperious and forceful _Bam! Bam! Bam!_\n\n\"Order!\" she called out. \"Order in this court!\"\n\nUntil gradually, finally, the place grew silent.\n\nBraun waited until the last whisper had died, then put her gavel down and, still standing, leaned forward onto her hands, scowling down at the crowd. \"This is a court of law,\" she began, her voice strained with emotion. \"There is no place in it for bedlam. I would ask those of you who have seats now to please take them, and for those of you standing along the sides, find a seat or I will be obliged to ask you to leave.\"\n\nAfter giving the gallery time to comply Braun finally took her seat. \"Thank you. The court,\" she went on, \"recognizes Her Honor, the mayor of San Francisco, Kathy West, as well as City Supervisor Harlen Fisk, and welcomes them both to these proceedings.\" In a convincing display of graciousness the judge nodded through a tight smile, then turned immediately to the prosecution table.\n\n\"Mr. Stier, are the People ready to begin their case?\"\n\n\"Yes, Your Honor.\"\n\n\"Mr. Hardy, the defense?\"\n\n\"Ready, Your Honor.\"\n\n\"All right, then. Mr. Stier, you may begin.\"\n20\n\n**For all of his** low-affect demeanor and appearance, Stier's public persona projected the first hint of the enigmatic Paulie\u2014a real authority that seemed based on equal parts confidence in who he was and the certainty of his position. He spoke in a normal, conversational tone with few oratorical flourishes, but his down-home sincerity created a simple eloquence that rang with conviction.\n\n\"Ladies and gentlemen of the jury.\" He was standing just in front of and sideways to Hardy and Maya, facing the jury box. As he began, he held his hands in a relaxed manner down and slightly out in front of him, reminiscent of a shortstop in the ready position, from time to time bringing them up, clasping them for emphasis, or sometimes pointing a finger from one of them for clarity or effect.\n\n\"The evidence and facts in this case are fairly simple, straightforward, and unambiguous. They concern a significant drug-dealing operation and long-standing relationships among three individuals that for some unknown reason suddenly went bad, with tragic, in fact fatal, results for two of them. And they point to an inescapable conclusion\u2014that the defendant in this case, Maya Townshend\"\u2014and here he turned and pointed a finger directly at her\u2014\"willfully murdered her accomplice in her marijuana business, Dylan Vogler, and then several days later she willfully murdered another former accomplice in the marijuana business, Levon Preslee.\n\n\"Here's how we know this.\n\n\"At nine forty-seven on the night of October twenty-sixth of last year, a young man who is one of the two victims in this case, Dylan Vogler, the manager of a coffee shop called Bay Beans West on Haight Street here in the city, placed a phone call to his employer, the defendant Maya Townshend. We don't know precisely what he told her during that phone call, but whatever the message, it was important enough that Defendant first lied to the police about ever having received the call, and only when caught in the lie did she admit that it was enough to convince her to get up before dawn the next morning and drive to Bay Beans West.\"\n\nHardy squirmed. Maya had not been caught in a lie but had admitted her deception to the police on her own, on his advice. He made a note to make the point later through Bracco or Schiff. But for the moment the accusation rang unchallenged in front of the jury.\n\nStier went on. \"Less than one hour later, by the time it was just starting to get light, Mr. Vogler was dead, shot once in the chest at point blank range in the alley that runs behind Bay Beans West. There was no sign of a struggle. Police investigators discovered a gun in the alley from which one shot had recently been fired. One bullet was recovered. One shell casing was recovered. Both matched the gun. This gun belonged to Defendant. It was registered to her and her fingerprints were on it, as they were on cartridges inside the gun.\n\n\"So why did Defendant do it?\n\n\"They had been business partners for nearly ten years. Why did Defendant wake up on this particular Saturday morning and decide that she was going to have to kill Mr. Vogler? We may never know the precise reason. But we do know with certainty about the life of crime they were leading together, a life where violent death, even at the hands of partners and associates, is as common as this city's morning fog in June.\"\n\nStier smiled politely at his homespun witticism but didn't pause. \"At the time of his death,\" he continued, \"Mr. Vogler was wearing a backpack into which he'd packed fifty Ziploc snack bags, each containing a few grams to up to half an ounce of high-grade marijuana that he grew himself in his attic. It seems that Mr. Vogler used Bay Beans West, the coffee shop owned by Defendant and managed by himself, as a cover for a thriving marijuana business, a business whose books and accounting ledgers will show operated with the complete cooperation and collusion of Defendant.\"\n\nMaya was beginning to fidget and Hardy reached over and put a hand on her arm, squeezing gently. Everything Stier was saying was old news to both of them by now, but that didn't mean it wasn't disconcerting hearing it laid out in a smoothly flowing narrative. And he didn't want a member of the jury to pick up on Maya's discomfort, which any one of them might construe as guilt.\n\nFor his own part Hardy wore a practiced expression of barely disguised disgust at this reading of the purported \"facts.\" Without lapsing into anything like true theatricality he let his head, as though of its own accord, shake back and forth ever so slightly whenever he sensed a juror checking him for his reaction.\n\nStier went on. \"But Defendant wasn't done yet. Her drug business went back a long way, and it would take more than one murder to keep it secure. Unfortunately, the murder of Dylan Vogler aroused the suspicion of another of her confederates named Levon Preslee. Until his death Mr. Preslee worked as a fund-raising executive at the American Conservatory Theater. Like Defendant and Mr. Vogler, he had attended the University of San Francisco in the nineteen nineties. While they were students there, several witnesses will testify that the three of them\u2014Defendant and the two victims, Mr. Vogler and Mr. Preslee\u2014first got involved together in a marijuana distribution business. Eventually, the law caught up to Mr. Vogler and Mr. Preslee and they were both convicted of robbery in connection with a dope deal gone bad and sentenced to prison.\"\n\nHardy had fought vigorously to keep Vogler and Preslee's prior marijuana dealings and the robbery away from the jury. There was no evidence, he'd argued, that connected Maya to that in any way. As with almost every other motion he had tried to make, Braun had brushed him aside: \"Goes to the relationship among the parties,\" she'd said, as though that either made sense or had something to do with the legal ruling.\n\nStier picked up the narrative again. \"But not Defendant. The evidence will show that she remained a silent partner, and that silence had a price. In the early afternoon on Thursday, November first, Mr. Preslee got a phone call and abruptly left work at ACT in an agitated state. At two-oh-five that afternoon he placed a call to Defendant on his cell phone. Although Defendant\u2014again\u2014initially denied to police that she had ever been to Mr. Preslee's apartment, DNA and her fingerprints will in fact place Defendant at Mr. Preslee's home right around the time of his death.\"\n\nAt their table Hardy's hand closed around Maya's wrist, and she cast him a downward look and let out a sigh.\n\nThis last bit of evidence, of course, had caused Maya's arrest and was in many ways the low point of the past several months. The prosecution had developed its theory about the supposed relationships and possible blackmail between Vogler, Preslee, and Maya, but without any physical evidence tying Maya to Preslee's home, even with his telephone call to her from his cell phone, there was no practical chance that she could ever be charged with Preslee's murder. And possibly not even with Vogler's.\n\n\"Ladies and gentlemen,\" Stier went on, \"we have here nearly the exact same pattern of behavior from Defendant in two related homicides. When she was in college, Defendant became involved with both victims in the sale of marijuana. You will hear evidence that Defendant both used and sold this and other drugs, and hear eyewitness testimony that her criminal partners, Vogler and Preslee, participated in robberies of other drug dealers.\n\n\"Since those days Defendant has masqueraded as an upper-class mother, a good wife, a regular churchgoer, and a law-abiding citizen. This new life was all-important to her for many reasons, but most particularly because she is a member of one of San Francisco's most prominent political families.\"\n\nHere at last was Hardy's first chance to stem the onslaught. \"Objection, Your Honor,\" he said. \"Irrelevant and argumentative.\"\n\nJudge Braun frowned down at him and let him know how the wind was going to blow. \"I think neither,\" she said. \"Overruled.\"\n\nStier nodded at the bench, continuing smoothly. \"Defendant paid dearly to keep her past secret. You will hear another eyewitness\u2014the victim Mr. Vogler's common-law wife\u2014testify that her husband, with whom Defendant had been intimate, was blackmailing Defendant over an eight-year period. The blackmail mostly took the form of an exorbitant salary that he took as manager of Bay Beans West, but lately, Defendant's financial records will reveal a pattern of money laundering through the coffee shop that corroborates the bare fact of the blackmail and provides a compelling motive for Mr. Vogler's murder. And, in fact, for Mr. Preslee's.\n\n\"The evidence overwhelmingly supports the People's contention that Defendant killed both Mr. Vogler and Mr. Preslee because one had been blackmailing her and the other was about to do the same. She used her own gun to kill Mr. Vogler and\u2014with that gun in police custody\u2014used the nearest thing that came to hand, a kitchen cleaver, to kill Mr. Preslee. But both of these were premeditated acts that the state of California defines as first-degree murder, and that is the verdict I will ask you to deliver at the end of this trial. Thank you.\"\n\nGlitsky sat, feet up, behind his desk, which was getting pretty much littered with peanut shells. He'd opened the high blinds up sometime over the past six weeks since Hardy had last been up here, once it had become reasonable to assume that Zachary would recover, so the room was at last adequately lighted again.\n\nHardy and Frannie had been at the Glitskys' home two weeks before, and while Zack still wore a football-type helmet during his every waking moment, to both Hardys he seemed absolutely normal, back to what he had been before the accident.\n\nIt was Abe, Hardy felt, who had irrevocably changed. Not a man whom anybody would mistake for Mr. Sunshine in any event, Glitsky couldn't seem to absorb the reality that Zachary was better, and that this was good news for him and for his life. Instead, his focus tended to be on his own responsibility for the accident in the first place; his general incompetence as a human being; his unlucky star. Whatever it was, much of what had always been at best a dark and cynical spark now had ceased to throw any light at all, and Hardy found it disturbing and wearying. Not that he was giving up on his best friend, but he was constantly trying to come up with ideas that might help restore Abe to something like what he used to be.\n\nStopping up here unexpectedly at lunchtime today on the first day of trial with a fresh supply of peanuts, for example. The peanuts that Glitsky had always kept in his desk drawer\u2014top left until Hardy had surreptitiously moved them one day to top right\u2014had run out just before Christmas, never to be replaced. So even though he had his own opening argument to deliver when court resumed after lunch, he stopped by to drop off the gift and chat for a few minutes.\n\nAnd it had started, of course, with a discussion of Stier's opening, which Glitsky thought was pretty compelling. \"Admittedly, though,\" he said, popping a nut, \"I'm the choir he was preaching to. You probably didn't really want to ask me.\"\n\n\"Oh, right, I forgot for a minute. What was the part, though, that convinced you?\"\n\n\"Of what?\"\n\n\"That Maya's guilty.\"\n\nGlitsky's hands rested together on his stomach. He leaned back in his chair. \"I've got one for you. What part of it didn't you believe?\"\n\n\"I believed all of it,\" Hardy said.\n\n\"There you go. Don't worry about it. You're due for a loss anyway. Nat\"\u2014Glitsky's eighty-something father\u2014\"says the occasional loss strengthens the spirit.\"\n\n\"The old 'What doesn't kill us makes us strong'?\"\n\n\"Right.\" A shadow fell over Glitsky's face. \"I have to admit, though, sometimes not.\"\n\n\"When did you get a loss recently?\"\n\nGlitsky's face went a shade darker. \"Hello? You been around the last few months?\"\n\n\"You're taking Zack as a loss? Last I saw, he was bouncing off the furniture.\"\n\n\"Last I saw, he was walking around in a football helmet. Maybe you didn't notice?\"\n\n\"Maybe you didn't hear what you just said: He was walking around. The football helmet was against future injury, if I'm not mistaken. Is there something you aren't telling me?\"\n\n\"About what?\"\n\n\"Zack. All I've heard is that all signs point to complete recovery.\"\n\nGlitsky shook his head. \"They don't know for sure.\"\n\n\"But they say what I said, don't they? All signs point, et cetera.\"\n\n\"They say they're 'cautiously optimistic.' That's 'cause if they say he's all better and something happens, they're afraid I'll sue 'em.\"\n\n\"How about if it's because they don't think anything else bad is going to happen?\"\n\n\"They can think it all they want. Nobody's saying they know it. Nobody can know it. Why again are we talking about this?\"\n\n\"You were calling it a loss, that's why.\"\n\n\"Yeah. Well, it's what it is, whatever you call it.\" Glitsky pulled his feet off the desk. \"What were we talking about before that came up?\"\n\n\"Stier's opening.\"\n\nStaring off into the middle distance between them, Glitsky absently cracked another peanut shell. \"That's the main thing. I used to have a pretty good brain. Now, my attention span . . . I get one thought. It goes away. Another one stops by. I can't string any of them together. It's just like I'm endlessly distracted. I can't seem to get myself out of it.\"\n\nHardy asked, \"You talking to somebody?\"\n\n\"Sure. Treya, Nat, you from time to time.\"\n\n\"I mean a professional.\"\n\nGlitsky almost smiled. \"That's not happening. It's not something I can figure out and decide to change.\"\n\n\"How do you know that?\"\n\n\"I just do, all right.\" He ate a nut. \"And I'm kind of done with this topic, okay?\"\n\nHardy could take a hint. \"Sure. What do you think about the mayor being down there?\"\n\n\"Pretty bold statement.\"\n\n\"I can't figure out if it helps or hurts. Me, I mean.\"\n\n\"It's a jury,\" Glitsky said. \"Only takes one. How'd Braun take it?\"\n\n\"Like you'd suspect. She blamed me, of course.\"\n\n\"Naturally. I would have too.\"\n\n\"Well, there you go. But however it plays with Kathy and Harlen, bottom line is it's just another distraction. And my client's only chance is if this thing starts being about the evidence at some point.\"\n\n\"I thought that was the PX.\"\n\n\"Never got there. Not even close.\" Hardy shook his head and threw a baleful look across the desk. \"This might be a good time to remind you that you never signed off on the arrest, if you recall.\"\n\n\"Let's not go there, Diz. You know I didn't have to. Bracco and Schiff had more than enough. The PX confirmed it. And, PS, didn't you just tell me about five minutes ago you believed every word Stier said?\"\n\n\"Yeah. I think he's right. It all works as a theory. But I don't think he proves any of it\u2014the evidence doesn't prove it, that's for sure. And that's kind of what he's supposed to do.\"\n\n\"Well.\" Glitsky suddenly realized they'd eaten all the peanuts he'd left out, so he stood up, stretched his back, started gathering the used shells for the wastebasket. \"There's the beauty of the system. If there's no evidence, you'll get her off.\"\n\n\"I'd say, 'Isn't it pretty to think so?' Abe, except the line's already taken.\"\n\nAfter Hardy left, Glitsky's short attention span still worked well enough to jog him into writing himself a note to go over the Maya Townshend file just to make sure that Bracco and Schiff had presented their case as clearly and with enough evidence as they could to Paul Stier. Hardy was right\u2014Glitsky had been out at the time with Zachary's medical care issues, and his troops hadn't run their evidence by him even once. If they'd left anything out, Glitsky wanted to be sure he got it back in, not that it would break his heart for Hardy to lose one.\n\nThe guy, God knew, was due.\n21\n\n**If Hardy thought** it had been madness in and around the courtroom for the morning session, in fact it had been as a mild and peaceful meadow compared to the riotous frenzy that greeted him as he got off the elevator on the third floor after his talk with Glitsky.\n\nEvidently, Kathy West was going to be staying around at least for the afternoon session and clearly this was making some big waves out in the real world. The mayor didn't come down and sit around in open court very often, and her presence had become just what Hardy didn't need right now\u2014the biggest news story of the day, perhaps the biggest nationwide.\n\nThe entire hallway was stuffed with humanity\u2014lots of the press variety\u2014and Hardy was trying to elbow his way through. Should he be even one minute tardy, he would face Judge Braun's wrath and possibly a contempt fine. Hardy didn't know whether it was police paranoia, Braun's need for control, or one of the mayor's staff trying to protect the boss, but someone had ordered a makeshift metal detector station outside the courtroom door, and what had at first appeared to be an amorphous mob was in fact a restricted and organized line waiting to get in.\n\nVery, very slowly.\n\nAt near the head of the line he made out the figures of his two partners\u2014Gina Roake and Wes Farrell\u2014unexpectedly coming down for the show. As if he needed it, here was a true litmus test for how quickly the news of the mayor's attendance had spread throughout the city. But he didn't think he could push his way through enough to get to them in any event. The crowd didn't strike him as one that would be tolerant of cuts.\n\nHardy might not have been a fan of the architecture of the Hall of Justice, but he knew his way around the building. Hewing to the back wall of the wide and echoing hallway, he inched his way along against the current and eventually found that the door to Department 24 was open. Court wasn't yet in session there, and he walked up through the deserted courtroom and into the back corridor that connected all the departments on this floor. Unchallenged by bailiffs, all of whom were doing crowd control in Department 25, he approached the door through which they would later bring his client.\n\nAs he came abreast of the judge's chambers, he stopped. The door to Braun's chamber was open about halfway and Paul Stier and Jerry Glass were coming out of it, still in amiable conversation with Braun. When they saw Hardy, both their progress and the discussion came to an abrupt and awkward halt.\n\n\"Gentlemen. Your Honor,\" Hardy said, and held his ground, actually more shocked than angry, waiting for the explanation that would have to be forthcoming. One of the most sacrosanct rules in jurisprudence was that attorneys with active cases before a judge were not to have any ex parte interaction with that judge.\n\nAny.\n\nAnd it went both ways. A judge should not allow or entertain the possibility of such interaction.\n\nWhat Hardy had just witnessed was an apparently flagrant violation of that rule\u2014enough that he might on those grounds alone immediately move for a mistrial and, later, the judge's recusal of herself from the case.\n\nGlass came around Stier and stepped right into the breach with what Hardy considered a pathetically cavalier approach, an offhand wave, a light tone. \"Counselor. This is not what you think it is.\"\n\nThis was unworthy of a response, since obviously it was what it was. Hardy, in no way tempted to be forgiving or friendly, looked around the two men and into the room. \"Your Honor?\" he asked with a hint of demand in his voice.\n\nBraun came forward, embarrassed but clearly determined to brass her way through. \"Mr. Glass is right. Nothing untoward occurred here, Mr. Hardy. These gentlemen happened to pass my doorway and I heard them talking about the mayor's appearance in the gallery and we exchanged a few casual words about it, that's all. Much as you and I are doing right now.\"\n\n\"With respect, Your Honor. You and I are talking right now in the presence of my opponent, and overtly or not, we are discussing the case before your court. As a matter of fact, before we go on, and if we are to go on, I'd like to request that the court recorder be present.\"\n\n\"That's ridiculous,\" Glass blurted out.\n\nHardy ignored him, focused on Braun. \"Your Honor?\" he said again.\n\nAfter an excruciating five seconds, the judge's eyes having squinted down in concentration, she nodded and with a touch of ostentation checked her watch. \"Court's back in session in six minutes,\" she said. \"I'll see you gentlemen out there.\"\n\nAnd with that she closed her door.\n\nIn the courtroom Maya had yet to be brought in. Hardy greeted Kathy and Harlen cordially through the press around them and thanked them for their show of support. He said hello to Joel. Then, excusing himself, he caught Gina Roake's eye back a few rows and motioned both her and Farrell up to the bar rail.\n\nWhen they got there, he said, \"I'm going to believe you both came down here to take notes on how a master does an opening statement.\"\n\n\"What else could it have been?\" Roake asked with a straight face, then gave a little wave over at the mayor and Harlen. The bonds among all of them had of course become a bit strained over the years and all of these individuals evolved into new relationships, new jobs, even\u2014it sometimes seemed\u2014new selves. But seven or eight years before, when the city was in turmoil over the resignation of District Attorney Sharron Pratt and the grand jury indictment for murder of her chief assistant, the then-mayor had appointed a new district attorney. Clarence Jackman had come on board from the private sector to restore some semblance of order\u2014getting the department back on budget, prosecuting crimes, litigating the city's business problems. Jackman had gathered around him a kitchen cabinet that met most Tuesdays at Lou the Greek's. That group had included, among a few others, Hardy, Roake, their now-deceased partner David Freeman, Kathy West, who was a city supervisor back then, Glitsky, the _Chronicle_ columnist Jeff Elliot, and Jackman's secretary, Glitsky's future wife Treya.\n\n\"Although,\" Gina continued, \"it is always nice to see Kathy. She's looking particularly perky today, don't you think?\"\n\n\"I do, but enough about Kathy,\" Hardy said. \"I need a little advice. I've got a question for you guys.\"\n\nFarrell was ready for him. \"Berlin,\" he said.\n\n\"Good answer,\" Hardy replied. \"Wrong question, though. The real question is what do you do if you see your judge schmoozing with your opposite number?\"\n\n\"Yeah, Berlin would be wrong for that one,\" Farrell conceded. \"You're talking ex parte? When did it happen?\"\n\n\"Just now. Five minutes ago. Braun and Stier and Jerry Glass, back in her chambers.\"\n\n\"What were they talking about?\" Roake asked. \"Not that it should matter too much.\"\n\n\"That's my point,\" Hardy said. \"I think at the least I've got to have her memorialize what went on.\"\n\nFarrell asked, \"Doesn't she already hate you?\"\n\n\"I believe that's accurate. So in that case, how could it hurt?\"\n\n\"It could always hurt,\" Roake said. \"Your judge hates you, she can fuck you in myriad subtle and unreviewable ways, as I know you're aware. You really don't want her hating you more than she does.\"\n\n\"Yeah, but this happened. If she doesn't memorialize it, it goes away.\"\n\n\"All I'm saying,\" Roake went on, \"is compare it to what happens if she does. Could be a lot worse, and you wouldn't even know it. And more to the point, Diz, what do you get for pissing her off? They're going to make up some kind of bullshit explanation no matter what they were doing, and no court of appeal will ever give you a reversal. You get nothing for your trouble, so anything you could lose is not worth it.\"\n\n\"Maybe,\" Farrell put in, \"you could ask her if she wants to recuse herself.\"\n\n\"That would just piss her off too.\"\n\nFarrell made a face. \"Okay, then, how about going to Thomasino?\" Oscar Thomasino was the presiding judge of the Superior Court and, more importantly for these purposes, a reasonably warm acquaintance of Hardy and both his partners.\n\n\"I thought of that,\" Hardy said. \"But I didn't hear anything they said, and Braun will just say it was a casual conversation that had nothing to do with the case. And guess what? That, too, will piss her off. Knowing that I get out of bed every morning probably pisses her off, now that I think about it.\"\n\n\"Maybe you should have challenged,\" Farrell said.\n\n\"Thank you,\" Hardy replied with heavy irony. \"If only. Maybe I'll whip into my time machine and go back and do it when I could.\"\n\n\"Do you really want her out, Diz?\" Roake asked.\n\nHardy turned to her, his voice barely a whisper. \"Nothing would make me happier. But one ex parte communication seems a little thin, as grounds go, to get rid of her. Especially if they weren't, in fact, talking about the case.\"\n\n\"It might be smarter,\" Gina said, \"to let her keep on knowing that you've got something on her.\"\n\n\"I like that,\" Farrell said. \"Better to have her think she owes you.\"\n\n\"And I'm guessing,\" Roake added, \"that you want to decide right away.\"\n\n\"Actually, I think I've decided. But the last thing is I don't want her thinking I'm a wimp and she's frightened me off.\"\n\nFarrell grinned at that. \"I think she already knows you better than that.\"\n\n\"So I just keep this in my pocket? That flies for both of you? No memorializing? No recusing?\"\n\nHis partners silently conferred with each other, glances back and forth, consensus.\n\nAs soon as she ascended to the bench and got the courtroom under control, Braun called the attorneys up to her bench for a sidebar. \"Mr. Hardy,\" she began, \"we're on the record now. Is there anything you'd like to bring up before the court?\"\n\nCalling him right away on what he'd seen. If he was going to make trouble for her, it would start now. And she'd have it in her mind while he was delivering his opening statement.\n\nHardy, his blood rushing with what had somewhat surprisingly turned into rage-tinged frustration, tried to slow his breathing. He finally came out with it. \"Nothing, Your Honor.\"\n\nHardy saw Braun's eyes narrow. If he looked, he was sure he could have seen the wheels spinning in Stier's head as he tried to figure out what trick the legendary Dismas Hardy was pulling now.\n\nBraun could see no reason not to accept the Trojan horse, and actually looked as though she felt a moment of relief, if not gratitude, that Hardy had decided to let her off the hook. \"Mr. Stier?\" she asked.\n\nJust at that moment a camera clicked loudly in the gallery, followed immediately by a cell phone going off, and Braun looked up and exploded, rapping her gavel several times in quick succession. \"That's all I'm going to tolerate of cameras and other disturbances! I granted permission for a number of news cameras to be in this courtroom. At the slightest further disruption that permission will be revoked. I want no more pictures taken. I want all cell phones turned off.\" Here she looked over the front of her podium. \"As a matter of fact, now that I think about it, for the remainder of this trial, after today\u2014bailiffs, please note\u2014I will not be allowing cameras into the courtroom.\"\n\nAt the mild rumble of protest that arose in the gallery at this edict, she banged her gavel again. \"I am this close,\" she said, \"to expelling people with cameras right now. But in the interests of keeping things moving I'll hold off on that order, unless someone abuses it.\" She glared through her glasses for another ten seconds or so, scanning the gallery right to left, left to right, for signs of disobedience.\n\nFinding none, she returned to the prosecuting attorney, standing next to Hardy in front of her. \"Mr. Stier?\"\n\n\"Yes, Your Honor.\"\n\n\"I believe before that interruption that the court was asking if the People are ready to begin?\"\n\nThe Big Ugly for an instant took on an expression that somewhat explained the nickname. Nervous, and with a light sheen of perspiration on his high forehead, Stier cleared his throat and threw a quick glance at Hardy, then came back up to the judge.\n\nHe finally decided that while he couldn't figure out what Hardy was doing, if Hardy wanted something, any smart prosecutor wanted the opposite. \"Your Honor,\" he began, \"I call your attention to a meeting that took place just minutes ago at the door to your chambers, where you and I exchanged a few pleasantries relating to the mayor's appearance in the courtroom today, but outside of the presence of Mr. Hardy.\"\n\nHardy couldn't believe his ears. But he wasn't inclined to interrupt.\n\nBraun looked for all the world as though she was going to have a stroke right there on the bench. \"Go on,\" she said. \"What do you think is so important that it needs to be memorialized at this point in the proceeding?\"\n\nOblivious, Stier kept digging his grave. \"I believe that in the interests of precluding a defense appeal on grounds of this technically ex parte communication between you and myself, it is in the interest of justice that that discussion be memorialized and entered into the record. Then, if Mr. Hardy's got any objections, he can raise them now.\"\n\nHardy stood with the muscles in his jaw locked against breaking into a victory grin. This was the kind of moment that his old mentor, David Freeman, had lived for. You plan and you plan and then you strategize and plan some more and then something completely unexpected happens and you're back in the ball game in a way you had never imagined possible. Sometimes you just had to love the majestic insanity of the law.\n\nStier had just overstrategized himself into a truly dumb move and Judge Braun, never subtle, was letting him know it by her body language and withering expression. \"Very well, Counselor,\" she clipped out through lips tight enough that it didn't appear she was moving her mouth at all. \"By all means, let's memorialize that conversation. Court reporter and attorneys in chambers. Ten-minute recess.\"\n\nFinally Hardy stood to deliver his opening statement. He had the option of either delivering it now or waiting until the prosecution closed its case in chief. But like most experienced defense attorneys, he didn't want to give the jury too much time to live with the version of the crime they'd just heard described in the prosecution's opening statement.\n\nEven with many murder trials under his belt Hardy expected that he would be struck by opening-day jitters\u2014the familiar hollowness in his stomach, the deadness in his legs\u2014when he first stood to address the jury. Especially with the large and captivated crowd in the courtroom, the sudden sense that something of major import was transpiring here. When he rose to come around his table and face the panel, though, he found himself possessed of an almost unnatural calm, even a confidence.\n\nThe easy camaraderie between Braun and Stier had just suffered a serious blow and while the prosecutor was probably still reeling from it, Hardy could use this small but real advantage to push the envelope a bit\u2014maybe throw in a little argument, which was forbidden in opening statements\u2014and, while Stier's attention was focused elsewhere, perhaps escape without too much interruption in the form of objections from the prosecution table.\n\nHe began in an amiable fashion, wearing an easy smile and making eye contact with every juror he could before he started. \"Good afternoon. This morning Mr. Stier related to you an extravagant scenario of motivation and coincidence that he hopes will convince you that Maya Townshend is guilty of two counts of first-degree murder.\" Much in the same way that Stier always referred to Maya as \"Defendant\" to dehumanize her to the jury, Hardy would strive at every opportunity to refer to her by her given name, underscoring her humanity and personhood. \"Unfortunately for the People's case, but fortunately for Maya and for justice, what he left out of his story were the gaps and holes and inconsistencies in the so-called chain of evidence upon which the prosecution relies. The prosecution cannot and will not prove that Maya killed Dylan Vogler or that she killed Levon Preslee, because she didn't.\n\n\"Did Maya know Dylan and Levon when she was in college? Absolutely she did. Did she do some things she's ashamed of now, as Mr. Stier alleges? Yes. Will there be evidence, such as direct eyewitness testimony, to prove these things? Again, the answer is yes.\"\n\nHardy, always conscious that he had a tendency to go too fast and gloss over elements of syllogisms that might be crucial to jury members, had trained himself to slow down, timing his restrained pacing from one end of the jury box to the other, getting back to his table ostensibly to consult notes or take a drink of water, sometimes just to touch it to keep him in his rhythm, center him for another lap.\n\nNow he touched the wood of his table, gave a quick confident nod to his client, and turned back to the jury. \"So the prosecution can prove that Maya Townshend\"\u2014he walked over to her, putting his hands on her shoulders\u2014\"small-business owner, wife, and mother of two young children, made mistakes when she was in college.\n\n\"We know that she was a student at the University of San Francisco because there are records supporting her attendance there. She appears four times in four years in the school's yearbook, and several times in the university's newspaper, the _Foghorn._ Similarly, we will learn from her classmates at the time that she associated regularly with both Dylan Vogler and with Levon Preslee, and we will hear from other eyewitnesses that these young students were not exactly members of the choir. These are facts supported by both documentary and eyewitness testimony.\"\n\nHardy didn't dare glance back at Stier. He was well into argument here and so far he was getting away with it. The prosecutor, still licking his wounds, hadn't engaged yet. He was no doubt listening, but he wasn't hearing.\n\n\"But that's not what she's accused of. She's accused of murder. And for that accusation the prosecution has no evidence. The district attorney tells you that it has evidence to support the charges it has brought against her, evidence that directly ties her\u2014and this is important\u2014that ties her, and no one else, to these crimes. That is simply not so.\n\n\"The actual truth is that unlike the story about Maya's earlier life, which the prosecution can back up with witnesses and documents, there is nothing to tie her to evidence of these murders except innuendo and speculation. And why is that?\"\n\nHardy paused, taking a moment up by the witness chair, again meeting the gaze of juror after juror. \"The answer, ladies and gentlemen, is quite simple. The prosecution won't provide you with this evidence because none of it exists. There are no eyewitnesses who will claim they saw her in the presence of either of the two victims on the day of their respective deaths. There is no documentary evidence\u2014say a time stamp or video recording\u2014analogous to the USF yearbook or the issues of the _Foghorn_ that places Maya in the company of either of these two victims at the time of their deaths. Nearby? Yes, by her own admission. But nearby, ladies and gentlemen, is not good enough to meet the legal standard that will take you beyond reasonable doubt.\"\n\nThis time Hardy stopped at his table for a quick sip of water. He glanced out at the gallery, at Kathy West and Harlen and Joel in the front row right in front of him. Nodding to them soberly, he came back to the jury.\n\n\"Now, I can see some of you asking yourselves: Wait a minute. This is a young woman without a criminal record. If she didn't do it, if there were no proof that she did it, why would she be on trial? Why would the state of California expend all this enormous time, energy, and expense if there is no physical evidence tying her to these crimes? These are excellent questions, and unfortunately they go begging for answers. Because the real truth of this prosecution is that there is no physical evidence proving that Maya ever fired the weapon that killed Mr. Vogler, or held the knife that killed Mr. Preslee. No eyewitnesses. No fingerprints. No physical evidence. No incriminating bloodstains on Maya or on her shoes or on her clothing. No nothing.\n\n\"She was in the vicinity of both deaths on the times they occurred, yes. But both times she was summoned to those places\u2014as her phone records will attest\u2014by the victims themselves, or by someone calling her on their telephones. That someone is, I submit, the person who should be sitting where Maya is now, charged with these murders. He or she is every bit as real\u2014in fact, more real\u2014than the so-called evidence you will hear connecting Maya to these murders. The police simply haven't found or identified this person as a suspect.\"\n\nThis\u2014the theory of the case that Hardy would be arguing whether he believed it or not\u2014brought a significant buzz to the packed courtroom, as he'd known it would. The pundits, the reporters, the Court TV and other television crews\u2014and with Kathy West's presence he knew there'd be vanloads of them now in the next few days\u2014would dissect this strategy from every imaginable angle. Was Hardy wise to show his hand so early? Was this pure cynicism? Did he have any proof of his own to support what he was saying? Wasn't the SODDIT\u2014\"some other dude did it\"\u2014defense one of the most hackneyed and noncredible strategies in criminal law?\n\nHardy didn't care. Whether he could prove it or not\u2014and he couldn't\u2014he still felt that he could make it sing to at least one of the jurors, and that was the name of the game.\n\nAnd incredibly, he thought, Stier still hadn't said a word.\n\nWell, Hardy was going to give him another chance.\n\nHe took another sip of water, set the glass down carefully, turned slowly to face the jury panel again. \"All this brings us back, of course, to the question of why Maya has been arrested and charged with these murders.\n\n\"Unfortunately, the answer is cynical at best, and despicable at worst: Maya Townshend owned the coffee shop Bay Beans West, out of which Mr. Vogler sold marijuana. Although there is, again, no evidence tying Maya to Mr. Vogler's marijuana business\u2014the documents to which Mr. Stier referred in his opening, purportedly proving some marijuana business connection between Mr. Vogler and Maya, are inconclusive and ambiguous at best\u2014Maya proved an inviting target as a suspect for a number of reasons, none of them having to do with evidence. All of them having to do with political ambition and expediency.\"\n\nIf Stier had been asleep to this point, he was all the way awake now, and seemingly in full fettle. \"Objection, Your Honor! Argumentative. This is an outrageous accusation, offered without proof. It has no place in an opening statement or, indeed, anywhere in this trial.\"\n\nAnd again, Braun, revealing the depths of enmity one encountered if one got on her wrong side as Stier had obviously done, surprised Hardy. \"I was wondering when you'd notice, Mr. Stier,\" she said. \"But you're a few beats late. Mr. Hardy is simply presenting his theory of the case, as you did in your own opening. Objection overruled. You may proceed, Mr. Hardy.\"\n\n\"Thank you, Your Honor.\" Hardy wasted not a second before getting back to his tale. \"From the outset of their investigation the two homicide detectives handling this case were hampered with\u2014guess what?\u2014lack of evidence. In an effort to shake up one or more of their potential suspects\u2014and the testimony of those inspectors will reveal that there were more than a couple of them\u2014one of the detectives, Debra Schiff, happened upon the strategy of contacting a gentleman named Jerry Glass, the United States federal attorney based in San Francisco.\n\n\"She persuaded Mr. Glass to use the very tenuous marijuana connection between Bay Beans West and Maya Townshend not only to impugn Maya's character and reputation, but also to provide her with an apparent motive for these murders\u2014one that has no basis in reality or in evidence. But almost worse, it also attempts to explain away this lack of evidence by the implication that Maya's close relatives\u2014who include a supervisor and the mayor of this city\u2014somehow colluded with her to cover up her transgressions.\"\n\n\"Your Honor, I must object again.\" Stier rose at his table. \"All of this high-flown rhetoric is just a smoke screen meant to confuse the jury.\"\n\nBraun, humorless, looked down over her eyeglasses. \"Objections, as you know, Mr. Stier, must be on legal grounds.\"\n\n\"Argumentative, then, Your Honor.\"\n\nShe appeared to consider for a moment, then shook her head. \"Overruled.\"\n\nHardy nodded quickly to the bench, acknowledging the ruling. Stier might not have realized it, but he'd just insulted the jury and questioned its intelligence by implying that Hardy's \"smoke screen\" would fool them into giving the wrong verdict. Now Hardy thought he'd play the other side of that coin, praising their sagacity and collective wisdom. \"Finally, ladies and gentlemen,\" he continued, \"I need hardly point out to you that this trial has taken on a very high public profile. A glance at the size of the gallery here, the number of reporters, and even some of the spectators\"\u2014he paused for a ripple of appreciation to flow through the gallery\u2014\"all of these things make it clear that this trial has the potential to be a career-making moment\u2014\"\n\n\"Objection!\"\n\nHardy heard the word behind him, but he was too energized to stop himself now, and not inclined to in any event. He was speaking what he believed to be the absolute truth and he wanted the jury to hear. In fact, he raised his voice and continued. \"A career-making moment for people whose ambitions\u2014\"\n\n\"Your Honor!\" Louder still. \"Objection! Irrelevant and argumentative!\"\n\n\"Mr. Hardy!\"\n\n\"\u2014whose ambitions exceed their sense of fairness and whose thirst for fame and recognition blinds them to the simple demands of justice.\"\n\n_Bam! Bam!_ \"Mr. Hardy, that's enough. Mr. Stier, objection sustained. Mr. Hardy\u2014\"\n\nBut he was a step ahead of her. \"I apologize, Your Honor. I got a little carried away.\"\n\n\"Apparently,\" she said. \"Please don't let it happen again. Jurors will disregard that last outburst of Mr. Hardy's.\" Then, back at Hardy. \"All right. You may proceed.\"\n\nHardy took a small breath, having made it at last to what had become almost his boilerplate closing. \"This trial is about determining who caused the deaths of two people\u2014Dylan Vogler and Levon Preslee. One died by gunshot wound and the other by the stroke of a cleaver. The evidence is quite clear on these points. But where the evidence is not clear, and in fact where it altogether fails, is where it purports to connect Maya Townshend to either of these murders. It is neither clear nor clean. Where it needs to be unambiguous, it is open to interpretation. Where it needs to dispel reasonable doubt, it only adds to it. No real evidence inexorably connects Maya Townshend to these murders.\"\n\nNow, his own adrenaline storm having passed, Hardy thought he could maintain his less dramatic tone and lull Stier into failing to object on argumentative grounds one last time. \"As you were seated on this jury, you all swore an oath that you would presume the innocence of Maya Townshend. She must remain innocent in your eyes until the prosecution presents you with enough hard, physical evidence to prove to you beyond a reasonable doubt that she in fact committed these crimes. That means you must be sure of the intimate details of these crimes. When Mr. Stier tells you that he can't say exactly how Maya killed Mr. Vogler or Mr. Preslee, he is admitting that he doesn't have that proof. And without that proof there is doubt. Where there is doubt, there is innocence. My client, Maya Townshend, is innocent\u2014and she will rely on your sworn oath to presume that innocence and, after you have weighed all the facts in this case, to return a verdict of not guilty.\"\n22\n\n**Braun called a recess** as soon as Hardy sat down. While Maya was in the restroom, Hardy pushed his chair back to the bar rail and turned around, resting his elbow on it. \"Well,\" he said to what he hoped was his private little fan club of Kathy, Harlen, and Joel Townshend, \"I think I got a few licks in, anyway. How'd it play out here?\"\n\n\"Excellent,\" Joel said.\n\nJoel had become a rather more enthusiastic partner in Maya's defense since the arrest. Of course, this had come at the expense of a seismic shift in his worldview. Before the weekend of Dylan Vogler's death he'd never had occasion to think that the world wasn't at base a fair and equitable place. He'd always had enough money and social standing to remain above the little mundane headaches that most people faced constantly\u2014household bills, fights about money or time or chores. If he wanted to go out to dinner, they hired a babysitter and didn't care what the meal cost. If he and Maya were tired or bored, they'd go spend a night or two in Napa or Carmel to rejuvenate themselves. Their friends were people more or less like them. And other people he met tended to be polite, at least to him personally. Perhaps even more fundamentally, he never really had to prove himself to get a loan or make a connection; he got the benefit of the doubt.\n\nAnd now, not just suddenly but seemingly instantaneously, all of that had ended. The properties against which he'd taken out more loans to finance other properties and ventures were no longer rock-solid as collateral. His social life, with his wife incarcerated in the county jail, essentially vanished. He found himself amazed by how completely life changed when you got accused of wrongdoing. At first he'd held to the belief that this whole affair was just a mistake and if he could just find the right person to talk to and explain everything, it would all go away. He and Maya would go back to their real life.\n\nBut by now he had come to realize that this wasn't going to happen. He and his wife were somehow \"in the criminal justice system,\" and this more than anything meant that the benefit of the doubt had evaporated. No one in the system was inclined to believe anything he said. The motivations for anything he did got skewed and twisted by people who started out by considering him, if not a criminal, then at least a shady character. And once they had that mind-set, nothing was going to change.\n\nNow he was going on to Hardy: \"I like the way you laid this conspiracy these people have cooked up right out there.\"\n\n\"Me too,\" Hardy said. \"I couldn't believe Braun let it in, but if she was going to let me, I sure as hell was going to run with it.\"\n\n\"My concern,\" Harlen Fisk said, \"is it's going to turn up the heat on Glass.\"\n\n\"Let it,\" Kathy West declared. \"Harlen and I showing up here ought to be enough to do that. I welcome it. And, Diz, you just declared open war, which also suits me fine. Jerry Glass has got nothing on us. This will all get litigated away in civil court, but in the meanwhile this is where we fight it, where it can do Maya the most good.\"\n\n\"It's great you both came down for this,\" Hardy said to Kathy and Harlen. \"It was really a good idea, Kathy. Let them know we're not cowering and hiding and plotting some backroom deal. I think it's really shocked them.\"\n\nThe mayor nodded. \"That was my intention.\"\n\n\"Are you planning on coming in every day?\" Hardy asked.\n\nThis brought a smile. \"When I can, maybe I will, if it will have some strategic value for you. But day-to-day, I've still got this city to run.\"\n\n\"I should be here most days,\" Fisk said. \"Wave the flag for my sis.\"\n\n\"So what's the next step?\" Joel asked.\n\n\"Witnesses,\" Hardy replied. \"We get down to it.\"\n\nIf Paul Stier felt he'd taken a few hits from Hardy's opening statement, or harbored any residual resentment at Judge Braun, he showed no sign of either as he stood in the center of the courtroom. \"The People call Sergeant Lennard Faro.\"\n\nThe head of Crime Scene Investigations stood up in the second row of the gallery and came through the door in the bar rail and up to the witness stand. Well-dressed as always in snug tan pants, a pink dress shirt, and a subtly shimmering light brown sports coat, he cut a dashing figure very much at odds with that of most other cops. With his spiky dark hair, gold stud earring, and well-trimmed goatee, he might have been a young graduate student or fashion designer; but even so, his experience and ease on the witness stand soon verified the credentials he outlined to Stier as they began\u2014fourteen years on the force, the last eight with the CSI unit, the last six in charge of it.\n\n\"Now, Sergeant, what is your role at these crime scenes?\"\n\n\"My team of three officers and I search the general area for physical evidence that might be related to the crime. We collect as evidence anything of interest. We also photograph the victim and the scene to try and create a record of everything at the scene as it was when we found it.\"\n\nThough a bit unusual, since murder trials often began with forensic and medical evidence, Hardy thought Stier's decision to call Faro first was a good bit of strategy. This would put evidence at the crime scenes into the trial at the outset, potentially rebutting Hardy's contention in his opening statement that there was little or no physical evidence tying Maya to the murders. It was also a prime opportunity to get pictures of the victims in front of the jury\u2014real human beings who'd been murdered.\n\n\"Sergeant, were you present at the scene of Dylan Vogler's murder?\"\n\n\"Yes, sir.\"\n\n\"And would you tell the jury how you proceeded?\"\n\n\"Sure.\" Faro, the consummate witness, nodded and came forward in the witness chair, turning slightly to be facing the jury. \"I arrived at a few minutes before eight with three other crime-scene technicians.\"\n\n\"Would you describe the scene as you found it?\"\n\n\"It was a Saturday morning, nice day, and patrolmen from the local precinct had already cordoned off the site with police tape. Their lieutenant, Bill Banks, was also at the scene.\"\n\n\"Did it appear that officers had appropriately preserved the scene so that you could begin your investigation?\"\n\n\"Yes, it did.\"\n\n\"Describe, please, the body of the victim.\"\n\n\"Mr. Vogler's body was lying on the ground in a paved alley by the back door of his business. He showed signs of a gunshot wound in the chest.\"\n\n\"Showing you People's One through Six, do these appear to be photographs accurately depicting Mr. Vogler's body in the alley as you first saw it?\"\n\n\"Yes, they do.\"\n\n\"After the scene was photographed, did you conduct a search of the alley to determine what, if any, evidence might be present at the scene?\"\n\n\"Yes, I did.\"\n\nHardy knew that, in fact, all four crime techs had searched the alley. But if any of the other three located something, they would call Faro over without touching it, and he would photograph and collect the evidence. That way, Faro could testify to finding each piece of evidence without needing to have the other three come to court. \"Among other debris, I found one .40-caliber brass bullet casing and a .40-caliber Glock semiautomatic handgun.\"\n\nStier went through the same process of authenticating and introducing the photos of the items as they were found at the scene. Then he went to his counsel table and retrieved two evidence containers that held the items. He had them marked as People's Exhibits and showed them to Faro. \"Now, Sergeant, do you recognize these?\"\n\n\"Yes, I do.\"\n\n\"Please tell the jury what they are.\"\n\nThis allowed Faro to repeat for the third time\u2014in case one of the jury members was actually so dense that they'd missed it the first two times\u2014his account of finding the gun and the casing in the alley. Whatever else Stier might be, he was professional and methodical. He went through the same process having Faro describe where and how he found the bullet in the stucco wall. Photos of the bullet hole and the projectile itself went into evidence.\n\nFor the next twenty minutes they went over all of the things Faro had not found in the alley, although he had looked for them. No other casings, no other weapons, no other bullet strikes on any of the walls or surfaces. No signs of blood, no footprints. Absolutely nothing out of the ordinary in that alley. He even described, though they did not physically produce, the bag of garbage they packaged up for later examination at the lab\u2014the Coke cans, cigarette butts, and, not surprisingly, about a dozen coffee cups.\n\nHaving finished the crime scene, Stier moved on to work Faro had done at the lab. As well as working at crime scenes Faro wore a second hat as a firearms examiner in the lab. Stier went through his extensive training and experience and qualified him as an expert, and then led him through the process of comparing the bullet from the wall to the gun\u2014test-firing the weapon and comparing the known bullet microscopically to the bullet in evidence.\n\nAs Hardy knew he would, he said that although the bullets appeared similar in class characteristics and likely came from the same sort of gun, there were insufficient details on the recovered slug to say with absolute certainty that it had come from the gun in the alley.\n\nStier knew that this was not his strongest point, and he moved to buttress it. \"Tell the jury, please, what tests, if any, you ran on the spent casing, and what results you got.\"\n\n\"The brass casing is part of a round of ammunition used in the .40-caliber Glock. The marks on the base of the casing\u2014caused by the weapon's firing mechanism\u2014were consistent with other markings we could create on other bullet casings fired from the same weapon.\"\n\n\"Does that mean the casing necessarily came from the weapon found in the alley?\"\n\n\"No. Like the bullet, it came from a Glock .40, but I can't say with certainty it was that same Glock .40.\"\n\n\"But of course, Sergeant, you found no other bullets or casings in that alley, correct?\"\n\n\"Right.\"\n\nHardy knew that this was a repetitive and therefore objectionable question, but that objecting would only draw more attention to something he hoped the jury would not focus on. So he let it go.\n\nStier saved the best for last. \"Sergeant, is there a database that firearms examiners can access to determine ownership of a handgun?\"\n\nHardy knew that this was gilding the lily\u2014any cop could access this database. Even a clerk could access the database. Stier's question suggested that this was some sort of secret database and that you had to be a member of a club to look at it. But there was nothing Hardy could do about it. Once again, he had to tip his hat to Stier for knowing his business.\n\n\"Yes, there is a database. The gun had a registration number, and I ran that.\"\n\nWith a brightness implying that this was all new to him, Stier glanced over the jury, sharing with them his enthusiasm for the hunt. \"A registration number? You mean the gun was licensed to an individual?\"\n\n\"Yes.\"\n\n\"And who is that person, Sergeant?\"\n\n\"The defendant, Maya Townshend.\"\n\nA wave of energy swept through the gallery. Stier paused just a moment for dramatic effect, until the room was dead silent again.\n\nHardy knew that this was a low point, and that it was just going to get worse when the fingerprint examiner told the jury that Maya's fingerprints were on the magazine that held the ammunition on the weapon from the alley. The best Hardy could hope for from the fingerprint expert was going to be a discussion of an unidentified partial fingerprint on the spent casing.\n\nBut since Hardy knew that ultimately that print could have been left by anyone who ever handled the ammunition, who worked where it was manufactured, or clerked in the store where it was sold, that was precious little.\n\nStier took the opportunity by a sideways glance to include the jury in his acknowledgment of the witness. \"Thank you, Sergeant.\" Then, somewhat to Hardy's surprise, Stier half turned to look at him. \"Your witness, Mr. Hardy.\"\n\nHardy's surprise came from the fact that he'd expected Faro to remain on the stand to testify about the Preslee crime scene, but apparently Stier had an alternate strategy in mind for that portion of the People's case. For now, Hardy had a job to do, and he squeezed his client's arm and rose with a show of confidence from their table.\n\n\"Sergeant Faro,\" he began, \"in your testimony today, talking about the alleged murder weapon, the Glock .40 and the brass casing and bullet that you found at the scene of Mr. Vogler's murder, you used the words _consistent with_ several times, did you not?\"\n\n\"Yes, I think so.\"\n\n\"Tell the jury, please, what you mean by that phrase.\"\n\nAfter a moment's hesitation Faro shrugged. \"I'm not sure I know a better word. We fired a few rounds from the gun in the lab and compared the indent left by the firing pin on those casings to the gun from the alley and they were virtually indistinguishable from one another.\"\n\n\"Virtually indistinguishable? Do you mean to say that they were exactly the same?\"\n\n\"Yes.\"\n\n\"But you can't say that the casing came from the gun, can you, Sergeant?\"\n\n\"No.\"\n\n\"And that's because your virtually indistinguishable markings were in fact so few in number that they don't permit a comparison. Correct?\"\n\n\"Yes.\"\n\n\"To make a point, Sergeant, your name has an A. R. in it, doesn't it?\"\n\nStier spoke up from behind him. \"Objection. Irrelevant.\"\n\nBraun let her curiosity overcome her distaste for Hardy. \"Overruled.\"\n\nFaro spoke up. \"Yes, it does. F-A-R-O.\"\n\n\"Well, so does mine, Sergeant. H-A-R-D-Y. Does that mean we have the same name?\"\n\n\"Objection. Argumentative.\"\n\n\"Sustained. Move on, Mr. Hardy.\"\n\nBraun reminding him that she was aware that she'd been ruling in his favor more often than was her wont, but that his leash was very short now, and tightening.\n\n\"Sergeant, how many Glock .40s are there in the world?\"\n\n\"Objection! Speculation.\"\n\n\"Overruled, Mr. Stier. You qualified Sergeant Faro as a firearms expert.\"\n\nHardy fenced with Faro in this vein for a moment before concluding. \"In other words, Sergeant Faro,\" he said, \"you can't tell this jury that this casing came from this gun, can you?\"\n\n\"No. I cannot.\"\n\n\"And in fact, aren't there thousands of other Glock .40s that could have left this casing?\"\n\n\"Yes, there are.\"\n\n\"Thank you, Sergeant.\" Hardy kept his face impassive but brought his hands together in muted delight. \"Now, as to the bullet itself, the .40-caliber slug that you've identified as the bullet that killed Mr. Vogler. Again, you used the words _consistent with_. Sergeant, did you not run a ballistics test on this slug?\"\n\n\"Yes, we did.\"\n\n\"And aren't ballistics tests conclusive?\"\n\n\"Generally, yes, they can be.\"\n\n\"When are they not?\"\n\n\"Well, when the slug is deformed or mutilated.\"\n\n\"And was the slug deformed or mutilated?\"\n\n\"No, not too bad. It was embedded in stucco and wood, but it was okay.\"\n\n\"And so, was your ballistics test conclusive?\"\n\nFaro shot a quick, impatient look over to Stier, shook his head at Hardy. \"No.\"\n\nHardy put on an expression of mild surprise. \"No? Why not?\"\n\n\"Because like with the casing, this particular bullet lacked sufficient microscopic detail to permit a conclusive match.\" Faro seemed to feel obliged to defend his inability to give more conclusive evidence. \"This particular type of weapon has a type of unique hexagonal rifling in the barrel that tends not to leave the marks necessary for an exact ballistics comparison.\"\n\n\"So, again, Sergeant, let me ask you. Is it possible that the slug that we have here did not come from the gun owned by Maya Townshend?\"\n\nThis time, since it was foreordained, and though he clearly hated the pass to which he'd come, Faro didn't struggle with his answer. \"Yes.\"\n\nAfter a small pause, Hardy went on. \"Sergeant, did you and your crime-scene unit get called to the scene of Mr. Preslee's murder?\"\n\n\"Yes, we did.\"\n\nA confused frown. \"Well, Sergeant, it's true, is it not, that you found not one shred of evidence inside Mr. Preslee's home indicating that Maya Townshend had ever even been inside the place, much less murdered anybody there?\"\n\nAs Hardy had anticipated, Stier was on his feet immediately. \"Objection. Beyond the scope of direct examination. We'll get to the Levon Preslee murder scene in due course.\"\n\n\"Sustained.\"\n\nHardy didn't care. He knew he'd gotten on the boards first with that crime at least, making his point in front of the jury. Hardy came back to the witness. \"No further questions.\"\n23\n\n**The door to the** jail's visiting room swung open and Hardy stood as Maya came in. He waited patiently while the female guard asked his permission and then undid Maya's handcuffs with a gentleness that he found heartbreaking. Maya had proven herself time and again to be much tougher than she looked, but Hardy had found that it was the little personal indignities that often broke people's spirits when they were in jail. But this guard was solicitous, even going so far as to touch Maya's arm and give her a confident nod before leaving attorney and client alone in the glass-block-enclosed space.\n\n\"I hate this place, you know that?\" Maya said as they sat down on their metal chairs. \"It's worse than the cell.\"\n\n\"I can't say it's exactly my favorite either.\" Hardy quickly took in their surroundings. He'd been here many times, and the small semicircular room had a certain familiarity to him. At one time, not so very long ago, the building they were in had been the \"new\" jail and the polished concrete floors and glass walls lent a sense of openness and light to these rooms that at first had seemed far less oppressive than the rectangular, confessional-sized attorneys' visiting rooms at the old jail.\n\nOver the years, though, this room's diaphanous warmth, too, had dissipated somehow, perhaps under the psychic toll of its everyday use. Now it was just another old room, somehow colder for its modernity, its sterility, its cruel illusion of openness through the glass. \"Maybe I should smuggle in some rugs, a couple of plants,\" he said. \"I could bring them in my briefcase every time. That'd spruce the place right up, I bet.\"\n\nUnable to fake even a stab at levity, Maya simply said, \"I'm not sure it would help.\"\n\n\"No, I guess not.\" Hardy tried to maintain an upbeat and easy-going style, since he saw no reason to add to his client's pain, but sometimes there was no help for it. \"Has Joel been by?\"\n\nShe nodded, swallowed the lump in her throat. \"But outside, at the regular visiting place.\" This was a long room for friends and relatives\u2014as opposed to attorneys\u2014similar in fact to those seen on television and in the movies, with a row of visitor stations on either side of Plexiglas windows with speakers set in them, rendering any true personal contact impossible. \"It doesn't really work out there. He only comes by because he feels like he needs to.\"\n\n\"He comes by,\" Hardy said, \"because he loves you.\"\n\n\"All right.\" Maya clearly didn't want to talk about it. She bowed her head, lowered her eyes. Then, with a forced interest: \"So how'd we do out there today?\"\n\n\"I was going to ask you.\"\n\n\"I can't believe they keep going ahead with it.\"\n\n\"I know. I've had the same thought myself.\"\n\n\"Especially with Levon. They have nothing at all, do they?\"\n\n\"Your presence. I guess they feel that's all they're going to need, once they convince the jury on Dylan.\"\n\nShe sat still a moment, hands on her lap. \"I just keep thinking that if only he hadn't been carrying that weed with him.\"\n\n\"They probably would have found the stash at his house anyway, and the garden, and maybe the computer records too.\"\n\n\"But if he wasn't selling the stuff out of the shop . . .\"\n\n\"We can't just keep doing 'if,' Maya. He was.\"\n\n\"You're right, you're right.\" She paused. \"So what about Kathy and Harlen coming down today? Does that help us?\"\n\n\"I think so, though I wish she'd run it by me first.\"\n\nAnother silence. \"Can I ask you something?\"\n\n\"Anything you want.\"\n\n\"The other person who you said did it. Is anybody looking for him?\"\n\n\"Well, the cops aren't. That's a safe bet.\"\n\n\"So how about us?\"\n\n\"How about us what?\"\n\n\"We look for him.\"\n\n\"Or her. Don't forget her.\"\n\n\"No. I never would. But really.\"\n\nThis gambit, or suggestion, or whatever it was, was heartening in some small way, but Hardy kept his emotional guard up. Though technically it didn't matter what he actually thought about Maya's guilt or lack thereof, she might think it would give him a psychological boost at the trial if she somehow got him believing she was innocent. And this question clearly telegraphed _her assumption_ of another murderer, without her having to directly lie to her attorney by saying she hadn't done it.\n\nThe problem was, he knew that she'd done something. Something damn serious, about which she obviously was carrying an enormous load of guilt. And he also knew, or thought he knew, what she'd been blackmailed about\u2014robberies or perhaps worse that she must have committed with Dylan and Levon. So unless she'd committed murder in the course of one of those . . .\n\nWhoa, he told himself. Therein lies the path to madness. But then he thought, why not? They'd come this far. And he came out with it. \"Maya, yes or no, were you involved in the robbery that got Dylan and Levon sent to prison?\"\n\nShe straightened her back. \"Nobody can prove I was.\"\n\n\"That's not what I asked.\"\n\nShe hesitated. \"No.\" A beat. \"Not that one.\"\n\n\"So that is in fact what the blackmail was about?\"\n\nShe didn't answer, turned her face to look at the wall.\n\n\"I ask,\" Hardy pressed on, \"because you should know that unless you committed murder or some other heinous crime during one of these robberies, you can't be charged with anything. Anything else, and the statutes of limitations have tolled.\"\n\nHer eyes came back to him. They bore a shine that he thought might presage tears. \"Why are you so sure they were blackmailing me?\"\n\n\"For one reason, it's the thing that makes the most sense. You were involved in robberies with them in college. Yes?\"\n\nFinally, her shoulders gave an inch. \"I've already told you. I did some bad stuff.\"\n\n\"Bad enough for life in prison, Maya? Bad enough to never live with your kids or your husband again?\"\n\nShe stared through him.\n\n\"You want to tell me what it was? Just put it out here between me and you. It's privileged. Nobody else will ever know.\"\n\n\"Don't bully me.\" Her words had a sudden calm edge.\n\n\"I'm not bullying you. I'm saying you can tell me anything you've done.\"\n\n\"What for? So you'd do something different? I don't think so. I think you'd do all the same things, make the same arguments in court, whatever it is you believe I'd actually done, isn't that true?\"\n\nAngry now, Hardy did not answer.\n\nAnd then suddenly, Maya came at him on another tack. \"What you don't seem to understand is that I'm being punished,\" she said.\n\n\"For what? By who?\"\n\n\"God.\"\n\n\"God.\" Hardy felt his anger start to wane, washed away in a wave of pity for this poor woman. \"God's punishing you? Why?\"\n\n\"The same reason he punishes anybody.\"\n\n\"Because of what they've done?\"\n\nShe sat mute, facing him.\n\n\"Maya?\"\n\n\"If it's unforgivable, yes.\"\n\n\"I thought his forgiveness was supposed to be infinite.\"\n\nShe answered in a small voice. \"No. Not for everything.\"\n\n\"No? What wouldn't it cover?\"\n\n\"How about if what you harm is truly innocent\u2014\" Abruptly she drew herself up and stopped speaking.\n\n\"What do you mean by that?\"\n\n\"Nothing. I shouldn't have said anything.\"\n\nHardy came forward in his chair. \"Maya,\" he said, \"are you talking about something that happened with you and Dylan and Levon?\"\n\nA dead, one-note bark of laughter didn't break the harsh set of her mouth. \"If you even can ask that,\" she said, \"you don't have a clue what _innocent_ means.\"\n\n\"So tell me.\"\n\n\"Like the unborn. That kind of innocent. How about that?\"\n\nThat answer called to mind Hardy's discussion with Hunt about whether the blackmail had been about an abortion early in her life, so he asked her point blank. \"Is that it?\"\n\nBut she shook her head decidedly no. \"I would never do that. Not ever. But I've already said too much. The point is that whatever happens, however God decides all this has to go, I'll deserve it. I'm good with that now. I'm at peace with it.\"\n\n\"Well, I'm not.\"\n\nShe lifted her shoulders in a small shrug. \"I'm sorry about that.\" She gestured around them. \"About all of this.\"\n\n\"I am too.\"\n\n\"But . . . so, can we go back to what I was saying before?\"\n\n\"What part of it?\"\n\n\"Looking for who did this?\"\n\nA black, throbbing bolus of pain came and settled in the space behind Hardy's left eye. He brought his hand up and pressed at his temple. What was this woman getting at? Hardy could think of several ways to interpret all that Maya had said to him here this afternoon as a kind of confession. And now she was urging him to look for the real murderer.\n\nWho, he believed, very probably did not exist.\n\nHe looked across at his client's troubled face and entertained the fleeting thought that she might be legally insane. Should he hire a shrink and do some tests? Would he be negligent if he didn't?\n\nThe first day of trial had already been too long, too stressful. It seemed to Hardy that he'd been in constant combat since early in the morning.\n\nAnd now this.\n\nHe squeezed at his forehead. \"Maya,\" he said, \"are you telling me straight out now that you didn't kill these two guys?\"\n\nHer eyes widened, closed down, widened again, and to his astonishment, she broke into a genuine, if short-lived laugh. \"Of course not.\" Leaving it as ambiguous as ever. Of course not, she was not telling him such a thing straight out. Or, alternatively, of course not, she hadn't killed Dylan and Levon. After which she added in all seriousness, \"How could you even say such a thing?\"\n\nHardy left the jail shaken and confused. When he'd gone in to visit Maya, a February ball of pale egg yolk in the western sky was still dripping its feeble light onto the city. When he came out, his head still pounding, it was full night, and that added to his disorientation. The neighborhood around the Hall of Justice felt more than ordinarily bereft of humanity, but the emptiness seemed to go deeper.\n\nA cold, hard wind was kicking up a heavy, dirty dust along with fast food wrappers from the gutters. Hardy had a walk of a few blocks ahead of him to get to where he'd parked his car, but when he got to Bechetti's, the traditional comfort-food Italian place at Sixth and Brannan, he stopped long enough to consider going inside and having himself a stiff cocktail or two\u2014although he knew it was a bad idea when you were in the first days of a murder trial.\n\nReason won out.\n\nBut he hung a left and walked a hundred yards down the street and knocked at a purple door set in the side of a gray stucco warehouse and waited about ten seconds in front of the peephole until the door opened and then he was looking at Wyatt Hunt.\n\n\"Trick or treat,\" he said.\n\nHunt didn't miss a beat. \"I hope you like Jelly Bellies. That's all I've got left.\" He opened the door and stepped back. He was wearing black Nike-logo running pants and tennis shoes and a tank-top Warriors shirt and there was a shine to his skin as though he'd been working out. He certainly lived in the right place for it.\n\nHe'd converted an ancient decrepit flower warehouse into a one-of-a-kind environment. The ceiling was probably twenty feet high. The back third he'd dry-walled off into his living quarters\u2014bedroom, bathroom, den\/library, and kitchen. Which left an enormous open area, perhaps sixty by eighty or ninety feet, in front. Hardy had been here a few times before but every time was surprised by the fact that Hunt parked his Mini Cooper inside his domicile, just this side of the industrial slide-up garage-door entrance in the same wall as the front door. The other unique feature was the actual half-basketball-court floorboard Hunt had bought from the Warriors the last time they'd upgraded, for the fire sale price of four thousand dollars.\n\nIn the space between the court and his rooms on the other side of the court, he had several guitars, both acoustic and electric, out on stands. Amps, speakers, his stereo system. There was also a desk against the wall with a couple of computer terminals glowing with beach-themed screen savers.\n\nBut Hardy hadn't gotten too far inside before Hunt called out, \"You might as well come out now. I think the jig's up,\" and Gina Roake\u2014barefoot, wet hair, running shorts, blue Cal sweatshirt\u2014appeared from the back rooms, holding up a hand in greeting, a sheepish smile on her face. \"Yo,\" she said.\n\n\"Yo yourself,\" Hardy replied. \"I didn't mean to interrupt. If this isn't a good time . . .\"\n\n\"Half hour ago,\" Gina said, no shilly-shallying around, \"wouldn't have been a good time. Now the timing's fine.\"\n\n\"You can still have those Jelly Bellies if you want,\" Hunt said, \"but I think I'm good for a beer if you'd rather go in that direction.\"\n\n\"If you're going to twist my arm,\" Hardy said.\n\n\"I'm starting to think she might actually be crazy.\" Hardy, with his beer, was sitting on one of the tan stressed-leather easy chairs in the den\u2014lots of books and magazines, CDs and DVDs, on built-in white shelves and a large TV. \"Now she wants us to go after the killer.\"\n\n\"Us?\" Hunt asked. \"With our huge investigating team and unlimited resources?\"\n\n\"That's kind of what I told her,\" Hardy said.\n\nGina, next to Hunt, said, \"I thought she was factually guilty.\"\n\n\"Didn't she tell you she did it?\" Hunt asked. \"I thought I'd heard that.\"\n\n\"Not in so many words, but she never really denied it, and then she's been acting all along like if she's convicted, she deserves it. Not exactly an overt confession, but . . .\" Hardy sipped from his bottle. \"Anyway, so today she tells me she wasn't with Levon and Dylan on the robbery either. Though maybe it was another one.\"\n\n\"Another robbery?\" Gina asked. \"A different one?\"\n\n\"Again ambiguous, but apparently.\"\n\n\"Well, then,\" Gina asked, \"what would they have been blackmailing her about?\"\n\n\"I asked her that. She said God was testing her.\"\n\nThat struck Hunt funny. \"Not just her,\" he said.\n\nHardy nodded. \"Tell me about it. So then she tells me she can't believe I think she did this stuff. I mean, here we are almost a half year into this, and suddenly not only don't we have what she's being blackmailed about anymore, or what we thought it was, but now she wants us to find who really did these guys.\"\n\n\"She's trying to play you,\" Gina said.\n\n\"That's what I thought too. Maybe still think. I don't know. But what's in it for her if she plays me? What? She proves I'm gullible? So what? How's it help her?\"\n\nHunt cleared his throat. \"This may be the obvious answer, and I'm not a lawyer of course and maybe don't see the nuances like you two do, but if he or she does exist, and you find whoever it is, doesn't that get her off?\"\n\nHardy was sitting forward with his elbows on his knees, and his shoulders sagged. \"In other words,\" he said, \"what if she's not playing me?\"\n\nHunt shrugged. \"It's a thought.\"\n\n\"Okay,\" Gina said. \"But why'd this just come up?\"\n\n\"Didn't you tell me Diz brought it up today at trial? The other dude. Maybe it's the first time she actually thought about that option as something we could do.\"\n\n\"Yeah, but here's the thing, Wyatt,\" Hardy said. \"You know this whole evidence problem we're dealing with anyway? Same holds true if there's another suspect, even a guilty one, hanging out in the bushes. The thing I hate about this, because it's true, is that Maya's got not one, but two, great motives. She was at both places. And, I don't know, if any of us were being blackmailed for ten years, we might have gotten pretty tired of it ourselves.\"\n\n\"Definitely,\" Gina said, \"I would've cleaned their clocks a long time ago. And I wouldn't have left any evidence either.\"\n\n\"That's my girl.\" Hunt punched her gently on the leg. \"Remind me to destroy those secret videos of us I've been taking.\" Then, to Hardy, \"So what are you going to do?\"\n\n\"I don't know. If she's telling me now, point blank, she didn't do it, I'm still not sure if I need that to get her off. I just cannot see this evidence convicting her, not in this city.\"\n\n\"Well\"\u2014Gina was going to add her two cents\u2014\"all other things being equal, Diz, I'd normally agree with you. But you've got the Kathy and Harlen connection . . .\"\n\n\"There's no evidence about them, either, and that's\u2014\"\n\n\"Wishful thinking,\" Gina said. \"That is wishful thinking.\"\n\n\"What is?\"\n\n\"That you're obviously thinking some evidence standard is going to apply, either to Maya in the trial or to Harlen and Kathy and Maya's husband on all the forfeiture stuff. But, as you so eloquently noted in your opening today, this is not about evidence. And I'm not just talking the trial, I'm talking the whole megillah. Stier makes the case, even subversively, that the _reason_ there's no evidence is because Maya's got friends in high places who have all the means and power to get rid of evidence, and guess what? She goes down. And them sitting there, the mayor, Harlen\u2014nice show of confidence and all\u2014but it's not helping your client. And it sure as hell isn't impressing Braun, who undoubtedly and maybe truthfully sees it as intimidation.\"\n\n\"I love it when she gets all riled up,\" Hunt said.\n\nBut Hardy wasn't in the mood to laugh about it. \"So your point is?\"\n\n\"My point,\" Gina said, \"is if you've got any chance at all of finding at least a living, breathing human being to introduce as the famous other dude, I'd pull out all the stops trying to find him.\"\n\n\"With no evidence?\" Hardy asked. \"I wouldn't even know where to start.\"\n\n\"Well, on that,\" Hunt said, \"I might have an idea.\"\n24\n\n\" **There's nothing** to be worried about,\" Wayne Ticknor told his daughter Jansey.\n\nWith her bitten-to-the-quick index fingernail she picked at a little dried blob of ketchup on her kitchen table. The digital clock on the stove read 10:17. \"That's easy for you to say, Daddy. You're not going to be testifying.\"\n\n\"True. But they've already told you everything they were going to be asking you about, haven't they? Coached you, even.\"\n\n\"I know. But what if they don't just stick to that?\"\n\n\"Why wouldn't they?\"\n\n\"Maybe they want to get me on the weed too. I mean, they mentioned that enough. Wasn't I living off the proceeds? Wasn't I helping with the business?\"\n\n\"I thought they guaranteed they wouldn't. Wasn't that part of the deal?\"\n\n\"Well, it wasn't actually a real deal. More like I was just made to understand that if I could help them, they'd help me.\"\n\n\"By keeping you out of the dope side of it?\"\n\n\"I guess. Yeah. I can't really deny that I knew about it.\" She pouted and blew out a breath. \"Or the defense guy? What if once I'm up there he starts getting into stuff about me and Robert? I mean, if people know about that, it's going to look like we got together pretty soon after Dylan. And then, if they find out it was before too . . .\"\n\n\"How would anybody find that out?\" her father asked.\n\n\"I don't know.\"\n\n\"And even if they did, then what?\"\n\n\"Then they might start putting it together that Dylan was hitting me. So here's a guy who's hitting me that I'm also cheating on. You see what I'm saying? It wouldn't look good.\"\n\n\"Yeah, but, honey, listen. They knew that already and they didn't charge you or Robert with anything, did they? They charged Maya Townshend. They got her gun.\"\n\n\"Okay, but everybody knows Dylan just took that from the shop.\"\n\n\"I don't think the cops do know that, hon. And I don't think I'd volunteer it.\"\n\n\"Don't worry. I'm not going to volunteer anything.\" Suddenly, running on nerves, she stood up, went over to the sink, wet a sponge, and brought it back to wipe and scour the table\u2014the dried ketchup, a few days' worth of coffee-mug stains, some petrified oatmeal. \"It just worries me,\" she said. \"That's all.\"\n\n\"Well, it's natural to be worried.\"\n\nShe stood there squeezing the sponge. \"I just don't want them to see how good a thing it was, really, Dylan being killed. I know you shouldn't say that about the dead, but . . .\"\n\nWayne's eyes went black. \"You can say anything you want about him to me. You know that. He couldn't have been gone soon enough.\" Then, with an outward calm, he went on. \"They will never in a million years think that you had anything to do with it. Plus, you've got Robert and you saying you were both here the whole morning. You're not a suspect to anybody, hon. And you couldn't ever be. So just answer the questions you know the answers to and leave the rest of it alone. How's that sound?\"\n\nShe lowered herself onto her chair, letting out a breath. \"It sounds like a plan, Daddy. I'll just try to keep remembering that.\"\n\n\"You do that,\" Wayne said, reaching out and putting a hand over hers on the table. \"Now, how are you fixed for money lately?\"\n\nShe gave him a weak smile. \"Okay. I've been talking to the insurance guy. I got the feeling they were waiting for Maya to get convicted. When that happens, they won't have any excuse left not to pay me. So we ought to get the check soon after that.\"\n\n\"After they convict her? Just to rule you out? He didn't say that.\"\n\n\"Kind of. Not that anybody thinks . . .\" She let the phrase hang in the room. \"He just says if they've got the choice, having somebody else convicted makes it cleaner.\"\n\n\"You'd think somebody else getting arrested would be enough.\"\n\nShe shrugged. \"Maybe not, though.\" She pulled her hand out from under his and sat back in her chair, gripping the sponge in the other hand as though it were a tension ball. \"I'd bet a lot from what he's told me that no matter what, they're going to wait until she's convicted. On the chance that she might not be convicted, and then it would still be possible that it was me.\"\n\n\"It was you who what?\"\n\n\"You know. Killed Dylan.\"\n\n\"I can't believe he would actually say that.\"\n\n\"Not exactly, no. But it's what it feels like to me.\"\n\nHer father's face closed down. He sat square to the table, fists clenched, glowering. \"You got the insurance guy's name? Maybe I'll go and have a talk with him.\"\n\nBut Jansey shook her head. Her father had had a \"talk\" with Dylan and it hadn't helped at all. \"You don't have to do that. I don't think it's him personally. It's like the company policy, that's all.\"\n\n\"You might be surprised,\" Wayne said. \"They tell you it's company policy and then you find out they're just trying to get a bonus or brownie points or whatever by denying benefits until the last possible moment and even then some.\"\n\n\"Well, Daddy, I don't think this is like that. He seems like a nice man.\"\n\n\"Everybody thought your Dylan was a nice man too.\"\n\nShe shook her head. \"It's not the same.\"\n\n\"Well, no, nothing's the same, really. But I bet I could talk your insurance company nice man into rethinking his position, or his company policy, or whatever it is.\"\n\n\"I don't think . . . I mean, I appreciate you trying to help me, but I don't think I need it yet with the insurance.\"\n\nWayne took a few breaths, relaxed his fists, and laid his palms flat on the table. \"You didn't think you needed it with Dylan either.\"\n\n\"Well, as you say, that was different.\"\n\n\"Maybe not so different, though. Somebody taking advantage of your good nature, thinking they can get away with anything. But I look at you, I see the hurt in your eyes, the hurt in your life . . .\"\n\n\"It's not all hurt. There's good things too. Ben, and now Robert\u2014\"\n\n\"But no promises from Robert, yet, either.\"\n\nShe shook her head. \"Let's not go there again, Daddy. It's a little soon for promises. He's still in med school. And he doesn't treat me at all like Dylan did\u2014\"\n\n\"He'd better not.\"\n\n\"He doesn't, and for now that's enough, okay? Please.\"\n\nWayne reached out and again covered his daughter's hand with his own. His voice, rather suddenly, was husky with emotion. \"I just see what you've been through already. And now here's another guy who's essentially living with you and no talk of marriage or responsibility. I don't get it. I don't understand why you let yourself get in these situations.\"\n\n\"This one isn't bad. I promise.\" And repeated, \"I promise, Daddy.\"\n\nHe let out a lungful of air. \"All right, if you really think that. And you're okay with money? You're sure?\"\n\nShe nodded. \"Dylan left a lot of cash. I'm using that.\"\n\n\"Drug money.\"\n\n\"Probably.\"\n\n\"You know, if you're spending that to live on and you've got no claimed income, the IRS might ask you how you're doing that. Maybe you should start thinking about a way to claim it.\"\n\n\"I'm sure. Come on, don't worry. I'm not spending that much. It's not like I'm out blowing wads of dollars living high on the hog. All I do is buy groceries and stuff. And the IRS isn't going to care about somebody like me. I mean, we're talking probably less than ten thousand dollars.\"\n\nThis was untrue, and said to palliate her father. In fact, Dylan had put away close to two hundred thousand dollars and they kept it\u2014literally\u2014in a secret place under a couple of loose boards in the crawl space under the house. She checked to make sure it was still there every single night, and several times every day. And no one, not even Robert, knew of the money's existence. But one thing she'd told her father was true\u2014she wasn't worried about cash.\n\n\"You've got that much lying around the house? Do you know how dangerous that could be?\"\n\nThis finally brought a warm smile. \"Daddy,\" she cooed at him, \"you ought to be a shrink.\" She lifted her father's hand and brought it up to her lips. \"When you got over here, I was the one all worried about everything. Now it's all you. So now I'll tell you. You don't have to worry. Not about Robert, or the insurance guy, or money or the IRS. Everything's going to be fine. I promise. I really promise.\"\n\nCraig Chiurco pulled himself up so that his bare back leaned against the headboard of his queen-sized bed. \"Maybe I should just find another line of work.\"\n\nTamara, pulling a green silk bathrobe around her as she came out of the bathroom, stopped in her tracks. \"Let's see. Man makes love to his incredibly beautiful and sexually exotic girlfriend, rolls over, and, lost in the afterglow, says he wants to change jobs. The girlfriend is a) bemused, b) confused, or c) flattered? Hint, it's not 'c.' \"\n\n\"I didn't mean it had anything to do with us.\"\n\n\"Though, as you might have noticed, we work out of the same office, and quitting your job would be more or less leaving me.\"\n\n\"It's not you.\"\n\nShe made a show of turning around, checking the corners of the room. \"Is there someone else here I'm missing that you were talking to?\"\n\n\"No.\"\n\n\"Good. Okay, that's settled. So why do you want to change jobs?\"\n\n\"I was just thinking about this Townshend thing. So far, I've embarrassed Hardy and Wyatt by showing up on Vogler's list, and my total contribution to Maya's case has been to confirm the worst piece of evidence connecting her to Levon's murder. It was tons of fun telling the boss, 'Yep, that's her. She's the one I saw there.' Maybe I'll become a vet. No, wait, I hate animals.\"\n\n\"If your girlfriend thought you really hated animals, she would start seeing other men.\"\n\n\"You wouldn't.\"\n\n\"Would too.\" Tamara sat down on the bed. \"But this trial isn't over yet. Maybe you could do something good.\"\n\n\"I'll take any ideas.\"\n\n\"Well, for starters, they don't have her going inside Levon's, do they? And without that, what do they really have?\"\n\n\"They have her lying, again, to the cops. They get her established enough as a liar, and it seems like they ought to be able to do that easily, then whatever she says on the stand comes across as untrue. And of course it also leaves the question: Why was she there anyway, at Levon's, in the middle of the day?\"\n\n\"He called her.\"\n\n\"And she just came running? Why?\"\n\n\"I don't know. Maybe some variation of the blackmail again.\" Tamara went into a small pout. \"So then when you saw her, it must have been right after she killed him?\"\n\n\"That's what I've been assuming. And I think everybody else.\"\n\n\"So how did she seem? Upset? In a hurry to get away? Any of that?\"\n\nChiurco shook his head. \"It wasn't like that, Tam. It wasn't like she posed for me. She was there at the door, turned around, and we were face to face for about a second, enough for me to notice her, but not much more. Then she was gone.\"\n\n\"And you were sure it was her?\"\n\n\"It _was_ her, Tam. She admitted it, remember? And they got her fingerprints on the doorknob. I don't know what you're getting at.\"\n\n\"I'm just trying to get you something to make you feel better.\" Now with a little heat, \"So maybe you could feel like you contributed to casting doubt on what happened. Like if you saw her trying the knob or something, maybe trying to get in, and she couldn't, just before she turned and then you saw her as she was leaving.\"\n\n\"I don't think I'm going to change my story now. I saw what I saw. You want me to commit perjury under oath? I don't think Hardy would want me helping that way.\"\n\n\"No. It's just that you happening upon her just at the one second . . . anybody would believe if you just got there a minute earlier and watched her trying to get in. I mean, Mr. Hardy could ask you that anyway.\"\n\nChiurco wasn't warming to this idea at all. His mouth had hardened down to a thin line. \"And then I'd just say no.\"\n\n\"Hey, don't get mad at me,\" she said. \"You're the one who started with how bad you felt about not being able to help her. I'm just saying maybe Mr. Hardy could make it seem as if you'd seen her not getting in. Then they don't have that assumption anymore. You didn't see her coming out exactly, did you? I mean, she was just there at the door?\"\n\nSuddenly, Chiurco slapped a palm down on the bed between them. \"Hey! What's this interrogation? What are you trying to get at here?\"\n\n\"Craig! Nothing! I'm not trying to get at anything. I'm just talking to you. What's your problem? What are you so uptight about?\"\n\nAfter fighting his emotions for a second he gathered himself and let out a sigh. \"Maybe I'm uptight because I'm nervous enough about this to begin with. I'm not going to go changing my story, even a little, even if it might help her. That just gets me in trouble. With Wyatt, with Hardy, with everybody. I don't see how you want me to do that. It's tricky enough as it is.\"\n\n\"What's tricky?\"\n\n\"Saying what you saw. Keeping it simple. It's not as easy as it seems, especially when everybody's all over you with these little details you never thought about. I got my story and I'm sticking to it.\"\n\n\"The way you say it like that, it sounds like you made it up.\"\n\n\" _I'm not making anything up!_ Jesus, Tam, I can't believe you're saying this to me.\"\n\n\"Well, I can't believe you're so touchy about it. It's not that big a deal. We're just talking.\"\n\n\"No, we're not just talking.\" Now he sat up straight, off the headboard, pulling the blankets up around him. \"And it's way that big a deal! You don't see that?\"\n\n\"Not as big as you're making it.\" She stood up and walked across to the chair where she'd put her clothes. She slipped out of the robe and started to grab her underwear.\n\n\"What are you doing?\" Chiurco asked.\n\n\"I'm going home. I think we're done for tonight.\"\n\n\"Fine.\"\n\n\"Fine.\" She had her jeans on, pulled her sweater over her head. \"And while we're at it, disagreeing about this and other stuff, I thought we'd decided we weren't going to be smoking weed anymore.\"\n\nNow Chiurco crossed his arms, shaking his head back and forth, and went silent, rage and frustration smeared across his features.\n\n\"In case,\" Tamara went on, \"you think I didn't notice or smell it or anything.\"\n\n\"I wasn't trying to hide it.\"\n\n\"No? A quick toke in the bathroom with the window open? That's not exactly lighting up in front of me.\"\n\n\"I thought you'd be mad.\"\n\n\"Correct, Craig. Mad at you for using it, and mad that you can't stop.\"\n\n\"I don't want to stop, Tam. I've told you. I like it, is the problem. And I could stop anytime I want. Which maybe I don't.\"\n\n\"Maybe I'll believe you when I see it start even a little. And meanwhile, this paranoia problem, don't kid yourself. That's the weed too.\"\n\n\"Now I've got a paranoia problem.\"\n\n\"Your testimony issues? We just had a fight about them? Hello?\"\n\n\"You're wrong. You're just plain wrong.\"\n\n\"I really don't think so.\" She crossed over to the door. \"I really don't, Craig. And in the meanwhile, I'm just plain gone.\"\n\nIn the living room of his Marina mansion Harlen Fisk hit the remote switch and turned off the television right after the nightly news. He and Kathy had in fact made quite a splash by showing up today in the courtroom, and the networks had played it up in a gratifying way. The city wasn't coming close yet to an election cycle, so in spite of the negative connotations being slung around about his connection to Joel's development deals and his sister's coffee shop, the general rule of thumb was that the more your name appeared in the media, the better your chances to get elected.\n\nAnd getting elected was what Harlen was all about.\n\nStill, he couldn't help but be disappointed in his sister. As a matter of fact, _disappointed_ was hardly the word.\n\nWell, he told himself, I'm not going to think about Maya now\u2014what her future might be like if in fact she got convicted and sent to jail. That wasn't his fault; it was her doing. Her clueless, stubborn nature.\n\nIf she had only kept her mouth shut. That had been Harlen's intent in putting her in touch with Hardy in the first place. A good lawyer should in theory have kept her from admitting anything that put her near any of the murders. But by the time she'd gotten with Hardy, she'd already told the police that she'd been out at church that morning, and somehow the fear that she'd be caught in that lie had led her to compound the injury by confessing to both the lie and her whereabouts near the time of the murder.\n\nWhich put her in their sights.\n\nStop. Don't keep worrying this to death, he told himself. Get up. Go to bed.\n\nBut his body didn't respond. He sat there with the reading lamp on next to him, his hands crossed over his comfortable-looking stomach, which tonight felt suddenly knotted with tension.\n\n\"Babe?\" His wife, Jeannette, looking in. \"Are you all right? Are you coming to bed?\"\n\n\"In a minute.\"\n\n\"What are you thinking about?\"\n\n\"This trial. Maya. The whole thing.\"\n\nShe came into the room, pulled up an ottoman, and sat on it. She was tall, solidly built, athletic, with shoulder-length blond hair encircling a wholesome, all-American face. \"I'll talk about it if you want.\"\n\nHe smiled at her. \"I would have thought you'd have been sick of it by now.\"\n\n\"I might be sick of it, but I'm not too tired to talk about it if you want to.\"\n\nHe paused a moment. \"I just marvel that she can be so dumb. Sticking with the story that she didn't know much about the weed. I mean, come on, I knew about it, everybody knew about it.\"\n\nHer forehead creased in a look of concern. \"I don't think I knew that. You knew Dylan? How well did you know him?\"\n\nHe waved that away. \"I met him first when he was her boyfriend for a while when they were in college. Then again when Maya hired him, just after he got out of jail. I told her it was a mistake. And of course, she listened to me as much as she always does, which is not at all.\"\n\n\"Harlen, come on. She listens to you.\"\n\n\"Maybe listens, but doesn't hear. I told her this dope stuff could be a problem a couple of years ago, told her to fire him. No chance.\"\n\n\"Why not?\"\n\n\"She was saving him, I think. This messianic complex she's got. She's got everything and she's so lucky and so she's got to help losers to balance the scales or something. Not realizing, of course, about the people who are covering for her.\"\n\n\"You mean you?\"\n\n\"Let me just ask you,\" he said. \"Who's got her kids right now?\"\n\n\"I don't mind that. They're good kids.\"\n\n\"No argument. But they're not ours, are they? And you and me, we didn't sign on for the little darlings, did we?\" Sighing, he went on. \"She shouldn't even be in this at all. I told her not to go down there. Six in the morning? I mean, what kind of hour for a meeting is that? And why do these things with her become my problems?\"\n\n\"I didn't know you'd talked to her. When was that?\"\n\nAgain, he waved off her question. \"The night before. She called and asked me what I'd do. I told her to call him back and find out what was so important, but again, naturally . . .\" He turned a palm over, meaning she'd ignored his suggestion. He let out a long breath, his head shaking from side to side. \"And then there's this Levon thing too.\"\n\n\"The other victim?\"\n\nHe nodded. \"Levon Preslee. Actually not a bad guy.\"\n\n\"You knew him too?\"\n\nHe faked a short-lived smile. \"Hey, I'm a politician. I know everybody.\"\n\n\"So what is this Levon thing?\"\n\n\"He gets out of jail, he comes to my sweet little sister to help him out, since she helped Dylan when he got out. And if you haven't guessed yet, these guys\u2014Levon and Dylan\u2014still talk to each other. So I know people, right? It's what I do. So way back then I put him in with Jon Francona over at ACT, and it worked out pretty good until . . . well, until last fall.\"\n\n\"Okay.\"\n\n\"Okay. So, well, the point is, why I might be thinking about this stuff right now, and getting a little edgy about it, is Jon Francona died two years ago, so nobody in the world, besides my sister and you, has got or knows of any connection between me and Levon Preslee, and I'm just a little wee bit concerned that along with this forfeiture stuff we're all wrestling with, somebody's going to pull that up and wave it in my face too. And don't get me wrong, I love the publicity and all, but I think that might actually do me some harm.\"\n\n\"Well\"\u2014Jeannette reached out and put her hands on her husband's knees\u2014\"nobody's going to fault you for helping the poor man out all those years ago.\"\n\n\"Nobody's going to know, Jeannette. Nobody can entertain the thought even for a minute that I knew this guy from Adam.\" He let out a last deep sigh. \"I mean, I keep telling myself Maya put herself in this position. I've got no choice. I've got to let her get herself out of it. I can't cover for her anymore, or else everything we've got is at risk.\"\n\n\"Come on, hon. I think that must be a bit of an exaggeration.\"\n\nHarlen chewed at the inside of his cheek and pushed himself up out of his recliner. \"Not really,\" he said. \"Not too much.\"\n25\n\n**Paul Stier's first witness** the next morning was San Francisco's ancient medical examiner, Dr. John Strout. The good doctor had been a fixture in and around the Hall of Justice for over forty years and had appeared in court at least a thousand times, maybe more. Tall, with wispy white hair and positively gaunt instead of merely thin, he'd somehow evaded the mandatory retirement he should have taken the better part of a decade ago. But no one was pushing for it, because he remained highly and universally respected. His voice and manner retained a casual authority and easy affability that his Southern drawl only accented.\n\nNow he sat back, comfortable, and waited while Stier positioned the poster board with the mounted autopsy photographs on the tripod next to the witness box, where both Strout and the jury could see. In many trials Strout's testimony, which concerned itself with the cause and basic fact of a victim's death, might have a huge impact on the verdict. The patterns of bruises on the deceased's body could be highly significant. The shape of an injury could identify or eliminate an object as a possible murder weapon. Other, more subtle distinctions\u2014blood alcohol levels, scans for various drugs or poisons\u2014could be spun in myriad ways to cast doubt or lay blame.\n\nBut today, no one expected much in the way of fireworks from Strout's testimony. In fact, after the previous day's nearly unrelenting drama, the courtroom\u2014sans mayor and supervisor\u2014had nowhere near the buzz Hardy had expected. And this was a relief. After his conversation with Gina and Wyatt last night, he'd come to accept their mutual view that maybe Kathy and Harlen's presence wasn't doing his client as much good as they'd hoped.\n\nSo Strout's testimony was going to establish conclusively that there were in fact two dead people, killed at the hands of another. Nevertheless, you never knew exactly what was going to come up in live testimony, and Hardy was paying close attention as Stier took the small pile of photos from the last juror to have viewed them, placed them with the other marked exhibits, and walked to the center of the room.\n\n\"Dr. Strout,\" he said. \"To begin with Dylan Vogler, the gunshot victim. Were you able to determine the time of death?\"\n\n\"No.\" He looked over to the jury box, speaking to them in an avuncular tone. \"When the medical technicians arrived, he was warm to the touch. That suggests, for example, that he hadn't been in the alley overnight, but I can't say more than that.\"\n\n\"What killed Mr. Vogler?\"\n\n\"A gunshot wound to the chest.\"\n\n\"Please describe the injury.\"\n\nStrout did so\u2014the entrance, the exit, the track through the body\u2014and Stier took it from there. \"How quickly would an injury like this be likely to incapacitate the victim?\"\n\n\"The bullet went in his chest and then right through his heart. Most people would collapse immediately from the injury and die shortly thereafter.\"\n\n\"Doctor, would you tell the jury what defense wounds are?\"\n\n\"Defense wounds are injuries typically sustained when the deceased tries to ward off blows or an attack. Injuries to the hands, for example, or forearms, usually. Sometimes to the legs.\"\n\n\"Did you find any defense wounds on Mr. Vogler?\"\n\n\"No.\"\n\n\"Any abrasions, scrapes, cuts, or bruises to suggest he had been in a fight or struggle?\"\n\n\"No. I can't say there were.\"\n\n\"In fact, did Mr. Vogler have any sign of injury of any kind except the gunshot wound that killed him?\"\n\n\"No.\" In other words, Hardy thought, Vogler either knew his attacker or was shot without any warning, or both. But Strout had one last word. \"It was a pretty efficient killing.\"\n\nHardy could have objected to this gratuitous comment\u2014it wasn't in answer to one of Stier's questions\u2014but it wouldn't have accomplished anything, and he decided to let the prosecutor go on.\n\n\"Dr. Strout, moving on to the other victim, then, Levon Preslee. Again, can you tell the jury about the cause of death of this victim?\"\n\n\"Surely. The victim died from injuries sustained by blows to the top of the head from some sort of a bladed object that cracked his skull, causing massive brain trauma and hemorrhage.\"\n\n\"And were you able to determine, Doctor, what time it was when death occurred?\"\n\n\"No.\"\n\nHardy knew that this was a made-for-television question. The public had become so inundated with the pseudoscience of prime-time TV that they expected all sorts of forensic miracles. Stier simply wanted to dispel the popular notion that you could tell when someone was killed and that therefore the prosecution had been negligent in not presenting that evidence.\n\nBut Strout amplified anyway. \"The body had achieved ambient temperature.\"\n\n\"And again, same question as with Mr. Vogler, Doctor. Were there any signs of defense wounds on Mr. Preslee's body?\"\n\n\"No.\"\n\n\"And how quickly did this injury kill Mr. Preslee?\"\n\n\"Just about immediately. He would have been stunned and probably rendered unconscious by the force of the first blow and died soon after. Maybe not as immediate as the bullet through the heart, but pretty quick. Within a minute outside.\"\n\nStier checked the jury to make sure they understood the violent, gruesome, bloody nature of this attack, which, if it had been perpetrated by Maya, painted her as a monster. But he wasn't quite finished yet. \"A couple of clarifications, Doctor. You said blows. How many times was the victim hit?\"\n\n\"Twice. Although either one would have been plenty.\"\n\nHardy saw the effect this small sentence had on the jury, as a couple of the members actually flinched, imagining the moment.\n\n\"And again,\" Stier went on, \"you said the blows were struck by a bladed object. Can you explain what you mean by that?\"\n\nOver the next ten minutes Stier and Strout nailed down all the details of the attack on Levon Preslee\u2014the damage done and use of the dull edge of the cleaver, the attack from directly behind the unsuspecting and probably stoned victim. No surprise, Preslee's blood tested positive for THC, the active ingredient in marijuana. Overall, Hardy thought, the effect of the testimony painted a coherent scenario of two apparent friends sharing a doob and then one of them going behind the other and launching a premeditated, grisly, and murderous attack.\n\nThat is in fact what had happened, and Hardy couldn't think of a spin in the world that would do any good for his client. He also knew that there was no way he could control Strout, or stop him from delivering those little asides that had such a visceral impact on the jury. So he passed the witness.\n\nGlitsky sat on the corner of Bracco's desk in the large room that the homicide detail worked out of. Darrel himself was in his normal chair at his desk, while his partner, Debra Schiff, was three flights downstairs delivering her testimony in the trial of Maya Townshend.\n\n\"It'll bite you,\" Glitsky said.\n\n\"I don't care. I'm doing it.\"\n\n\"I don't see what it'll get you.\"\n\n\"Peace of mind. Very important for job satisfaction.\"\n\nGlitsky sighed. \"What's the exact wording you're going with?\"\n\nBracco looked down at the TR-26.5, the department form that cops were supposed to fill out to explain away their parking tickets. Under Alternative Parking Considered but Not Utilized, he read aloud what he'd written: \"Leave car on mayor's lawn with siren on and lights flashing. Walk three miles to crime scene.\"\n\n\"They'll flay you.\"\n\n\"Oh, well.\" Bracco sat back. \"No guts, no glory. Maybe they'll realize the absurdity of all of this.\"\n\n\"Sure,\" Glitsky said. \"That'll probably happen. But meanwhile, why are you even here?\"\n\n\"As opposed to?\"\n\n\"Downstairs. I thought you guys were testifying on Townshend today.\"\n\n\"Schiff. Stier wanted her first.\"\n\n\"Why?\"\n\n\"I don't know. DA strategy. Maybe she's a better witness.\"\n\n\"In what way?\"\n\n\"I don't know, Abe. More passionate, maybe.\"\n\nThe corner of Glitsky's mouth turned up. \"With Jerry Glass, you mean?\"\n\n\"Maybe a little of that.\" Bracco stood up and stretched, now closer to eye-to-eye with his lieutenant. \"She's probably more convincing than I'd be anyway. I don't blame Stier putting her on. I would too.\"\n\n\"And not you?\"\n\n\"As I said, maybe later. But maybe not at all.\" He hesitated, then shrugged. \"Either way, it doesn't matter. She'll do fine. She's a true believer.\"\n\n\"I hope you're not telling me at this stage, after the trial's started, that you don't believe in the case you guys have built.\"\n\n\"It's not so much that . . .\"\n\n\"That sounds like it's still some part of it.\"\n\nBracco's eyes scanned the large room, over Glitsky's shoulder, around behind them. Nobody else was around. It was safe to talk. \"I don't have any real doubt she did it, Abe. Maya, I mean. But from the time Debra went out and talked to Glass . . .\" Hesitating, Bracco made a face.\n\n\"What?\"\n\n\"You ever notice there's this mind-set among certain law enforcement people\u2014I mean we've all seen it a hundred times\u2014I just haven't had it run into one of my cases before. Where anybody who has money and knows a criminal, then that person's a criminal too.\"\n\n\"Yeah, I've seen that. In fact, I've thought it. You know why?\"\n\n\"Because it's true?\"\n\n\"Maybe more than you'd think, Darrel.\"\n\nBracco rolled his shoulders. \"But not always, huh?\"\n\n\"What are you saying?\"\n\n\"I'm saying what I started with. That Debra's probably a better witness. Hardy might be able to eat me up on cross, whereas he won't touch Debra, who buys everything Jerry Glass is selling. So does Stier.\"\n\n\"And you don't?\"\n\nAnother pause. Then, in a more quiet register, \"I don't want to rat my partner, Abe. She got the collar.\"\n\n\"I thought you both got the collar.\"\n\n\"If you get technical, okay.\"\n\n\"I don't care about technical. Was there something wrong with the arrest?\"\n\n\"No. I was there. It was righteous enough. I just . . . if it was me, I think I would have waited a little, that's all. Maybe go to a DA and see if he'd fly it for the grand jury. But Debra just got the news about the fingerprint ID on the doorknob and stepped in.\"\n\nGlitsky had seen this before too. A relatively inexperienced cop would sometimes arrest a suspect before he or she had built a solid case based on the evidence. Occasionally, this was warranted, as when the suspect was a danger to witnesses or an immediate flight risk and had to be detained until someone could check more facts. Or when someone flat out confessed.\n\nBut more often, the best case protocol was as Bracco suggested\u2014build the case and present it to the district attorney, who then\u2014if the evidence was compelling\u2014would get a warrant or get it in front of the grand jury. The alternative was that an inspector could simply go and make the arrest. And only then would the DA's office review the case to see if it would be charged.\n\n\"So what happened on this one?\" Glitsky asked.\n\n\"I didn't think it was enough at the time,\" Darrel said, \"and Debra and I had words about it, but what could we do? It was a done deal. And then, hey, of course Maya gets held to answer at the prelim, right? So we got it. It was going to trial. We had other cases. I stopped thinking about it.\"\n\n\"But you've still got questions?\"\n\n\"Not really questions, no.\" Bracco shook his head. \"And not really about whether Maya's guilty. I mean, who else? And with her motive and connections to both these guys? Just that she knew both of them, they were squeezing her. She's a liar. It just totally works.\"\n\n\"But?\"\n\n\"But I think we could have built Stier a better case. Now it's all this other stuff with the forfeitures and political heat. So Maya's a rich person who knows criminals, therefore she's a criminal, and if she's a criminal, then she probably did these guys. I just don't want to have to hold all that together on the stand, that's all, when I don't think we've got the evidence to back it up. Debra'll be way better at it.\"\n\nThat same morning in Chinatown the mood was strained at The Hunt Club.\n\nTamara Dade sat red-eyed at her computer, unspeaking, unsmiling. Wyatt Hunt had stopped by one of the local bakeries on the way in and had brought a bag of hot, fresh-from-the-oven _cha sui bao_ , the delicious pork-filled buns that were a rare treat and Tamara's favorite food on earth, and she told him she wasn't hungry.\n\nAfter twenty minutes back in his office Hunt stood and opened the door back to the reception area. \"Tam,\" he said gently, \"have you heard from Craig?\"\n\nShe half turned to face him. \"He called in sick.\"\n\n\"Sick?\" This was decidedly unusual. Sickness wasn't really an acceptable part of the culture of Hunt's business. \"What's he got? Tam? Hey. Are you okay?\"\n\nClearly, she wasn't. After the merest glance at her boss, and again without a word or a look back, she rose from her chair and walked out the main door. This led both down to Grant Street outside and to the bathroom, and Hunt wasn't at all sure whether she'd be back until he realized she hadn't taken her purse.\n\nSo leaving the door between reception and his office open in case she wanted to come in and talk to him, he went back to his desk, picked up his telephone, and punched some numbers.\n\n\"Hey, Wes.\"\n\n\"Hey yourself.\"\n\n\"You talk to Diz this morning?\"\n\n\"No. He's at trial. He's been going straight in.\"\n\n\"I know. But he stopped by my place last night.\"\n\n\"What'd he want?\"\n\n\"He wants me to put a press on who killed his victims.\"\n\nThis brought a pause. Farrell was the firm's resident adviser on never believing that your client was innocent. This was because the celebrated case that had made his bones in the city's legal community was one involving his best friend, another attorney named Mark Dooher, who'd been charged with murdering his wife. Farrell had gotten him off, cleanly acquitted. That turned out to have been a bad mistake that almost cost Farrell his own life a while later. \"You mean Maya Townshend's victims?\"\n\n\"Diz doesn't think so. Or at least he isn't sure anymore.\"\n\n\"Since when?\"\n\n\"Since yesterday afternoon when he talked to her.\"\n\n\"Denied it, did she?\"\n\n\"Ambiguously, at least. Enough to make him think he might be neglecting or ignoring something important.\"\n\n\"He always thinks that. That's why we made him managing partner. Nothing gets through.\" Hunt heard a breath in the phone. \"Anyway, you're calling me about this because . . . ?\"\n\n\"Because you knew Vogler.\"\n\nAnother hesitation. \"If Diz told you that, I'm going to have to have a talk with him.\"\n\n\"It wasn't Diz. I did some Net searching back when I first heard about this list of Vogler's customers.\"\n\n\"How'd you even hear about that?\"\n\n\"You know Craig, who works here?\"\n\n\"Sure.\"\n\n\"He's on it too. Told me about it right up-front in case it was a problem for me. I told him it was nothing I couldn't handle, but he'd be smarter if he didn't do anything overtly against the law while he was trying to get his license. Anyway, I got curious after that, found it in a blog somewhere. Nothing's sacred anymore, in case you hadn't heard. Good news for the PI trade; not so much for everybody else.\"\n\n\"Tell me about it. So, okay, I knew Vogler. So did your Craig. Ask him.\"\n\n\"I would, but he's out sick today. I thought I'd start with you.\"\n\n\"I have no idea, Wyatt, what I could tell you. That's the honest truth.\"\n\n\"I believe you, and that makes us about even. I don't know what I want to know. Not exactly, anyway. I just figured the weed side of the equation's been left out, I mean if somebody on that side killed him. So nobody's talked about how that whole thing worked. How often, for example, did you buy from him?\"\n\n\"About once a month. I hope you realize this makes me damned uncomfortable, Wyatt. I've been trying to put that all behind me as just another dumb mistake. Sam and I almost broke up over it, too, among other things. What does it matter how often I scored with Dylan?\"\n\n\"Again, Wes, I don't know. I'm trying to get a sense of how much marijuana he moved, or anything else. If he had seventy regular customers, give or take. What did a bag go for?\"\n\n\"Mine were a hundred.\"\n\n\"So call it ten grand a month?\"\n\n\"If you say so.\"\n\n\"I've got to think that's serious enough money to get shot over, in spite of everybody seeming to believe it wasn't about the dope. How'd it get delivered?\"\n\nOnce again, Hunt heard a frustrated exhale. \"You asked for the manager's special, whoever was on the register would call Dylan. He'd go in the back, come out with a sealed Ziploc in the bottom of a regular coffee bag, grind some beans in over it, close it up.\"\n\n\"And how long had this been going on?\"\n\n\"I don't know. I made the connection maybe six years ago, so at least that long. And I don't really believe I was his first customer.\"\n\n\"And you're telling me that in all that time, none of the employees picked up on it?\"\n\n\"No. I can't imagine they wouldn't have figured it out.\"\n\n\"But according to Diz that's been no part of the police investigation.\"\n\n\"That's hard to believe.\"\n\n\"Yeah, but I bet I know where some of that ten grand went every month. And I know why the guy had such loyal employees.\"\n\n\"You think one of them . . . ?\"\n\n\"I have no idea, Wes. Just like when I called you. But at least now I've got someplace fresh to start looking.\"\n\nTamara stood in the open doorway, her face blotched, her eyes red. \"I'm sorry.\"\n\nHunt waved off the apology. He'd known his secretary since the time when, as a Child Protective Services worker, he'd been called to the home of the two Dade children, brother and sister, who'd missed several days of school without an excuse. At the time Tamara had been Tammy, a starving twelve-year-old trying to feed and care for her emaciated younger brother, Mickey, and waiting for her mother\u2014a heroin addict who'd died in her bedroom of an overdose\u2014to wake up. Hunt, a former foster child himself, had followed the lives of both of the kids into young adulthood and, when he'd opened his agency, had brought Tamara along full-time, and began using Mickey as a runner and occasional driver.\n\nNow she said to him, \"Craig and I had a fight. I think we might have broken up.\"\n\n\"Is that why he's not in here?\"\n\n\"I'd guess so. There was just the message when I got in, that he was sick. But he wasn't sick last night.\"\n\nHunt leaned back in his ergonomic chair, rocked in it once or twice. \"You want to talk about it?\"\n\n\"I don't know.\" But she came inside his door and let herself down onto one of the chairs in front of him. \"It's just so stupid, is all.\"\n\n\"Stupid happens.\" He gave the silence another beat. \"Do you want to go home? I've got some fieldwork I need to do. We can close up.\"\n\n\"No. I can stay.\" She raised her eyes and met his. \"I hate all dope,\" she said, \"you know that?\"\n\nSince her mother had died from an overdose, this shouldn't have been so surprising; but Hunt knew or guessed that she and Craig were occasional pot users. \"I'm not too wild about it myself, to tell you the truth. Is that what the fight was about? Stop me if I'm prying.\"\n\nShe gave him a weak smile. \"You've earned pry rights.\" Crossing her arms, she stared into the space between them. \"I mean, everybody says a little weed'll never hurt you, you know? It's not addictive, safer than alcohol, blah blah blah. And maybe a little won't, but a lot . . .\"\n\n\"Craig does a lot?\"\n\n\"I don't know how much. I don't monitor it. But we told each other we were going to stop. Or at least I thought we told each other that. Maybe we didn't. I don't know. I'm not trying to get him in trouble with you, Wyatt. He doesn't get high when he's working. I know he doesn't do that.\" She shook her head. \"I just wish he could stop.\"\n\n\"He can't?\"\n\n\"Oh, he says he can. Anytime he wants. He just doesn't want to.\" From the shine in them, her eyes were on the verge of tears. \"It just reminds me so much of what my mom used to say. How she used to act. And I kept telling myself that _that_ was different, she was actually truly addicted to heroin, not the same thing as weed at all. But now, I don't know, somehow it seems a lot more similar than not. But I just don't think I want any of it in my life anymore, and I try to say that to Craig, and he's all . . . he just doesn't think that way.\"\n\n\"Even if it means losing you?\"\n\nNow a pair of tears broke and rolled down her cheeks. \"I don't want to think that, Wyatt, but that's what it seems like is happening. I never meant to make it either me or weed, you can't have both, but I think it's come pretty close to that.\"\n\nHunt rubbed a finger against the grain of his desk. \"I'll tell you one thing, if he picks the weed over you, he's a bona fide moron.\"\n\n\"But I think he might,\" Tamara said. \"I really think he might.\"\n26\n\n**Debra Schiff had** given her direct testimony to Paul Stier and now was well into her second hour on the stand. She thought she was holding her own pretty well in the first twenty minutes of cross-examination by Dismas Hardy, most of it dedicated so far to the murder of Dylan Vogler. He might have thought he'd scored some points off her on the gun issue, but she'd stuck to _her_ guns, reiterating how Maya had lied to them initially about whether she'd even been in the alley that morning. Beyond that they had Defendant's registration of the gun in her name, and her fingerprints, for God's sake, on the magazine.\n\nWhat more could the jury want?\n\nIn Schiff's mind there was no question of what had happened on that Saturday morning, and she knew that she was conveying it to the jury effectively in spite of Hardy's best efforts. Now he turned and walked back to his counsel table. He turned a yellow legal pad around and appeared to read from it for a moment\u2014although Schiff knew, since both Jerry Glass and Paul Stier had told her, that much of this extraneous physical activity was choreographed so that attorney and witness didn't just transmogrify into talking heads to the jury.\n\nHardy walked back to the middle of the courtroom, eight feet or so in front of her. \"Inspector Schiff,\" he began again, \"I'd like to ask you a couple of questions about the Levon Preslee murder scene. We've seen the pictures. There was a great deal of blood, was there not?\"\n\n\"I'd call it more a moderate amount, but there was blood, yes.\"\n\n\"A moderate amount, then. But certainly puddles of it both on the table and also on the floor between the table and the kitchen sink, yes?\"\n\n\"Yes.\"\n\n\"So the blood dripped from the table down to the floor, did it not?\"\n\n\"That's what it looked like, yes.\"\n\n\"But no blood was found on the cleaver, which Dr. Strout has identified from the deceased's injuries as consistent with the murder weapon. Is that true?\"\n\n\"Yes. No blood was found on the weapon. It had been washed.\"\n\n\"And how do you know that?\"\n\nSchiff, for the first time, showed a brush of annoyance\u2014a small pursing of her lips\u2014gone almost as soon as it appeared. \"Well,\" she said, now directly at Hardy and not to the jury, \"it appeared damp at the scene, as if it had been washed, and there were traces of the decedent's blood in the disposal under the sink and in the pipes underneath. And the cleaver was next to the sink in a drying rack.\"\n\n\"So presumably, someone had washed the murder weapon in the sink, is that right?\"\n\n\"That was our assumption, yes.\" Schiff cast a passing glance over at Stier, hoping that he might object. She was a little uncomfortable talking about what the crime scene meant, since that was really the provenance of the CSI team. But her ally the prosecutor just offered her a faint smile and sat with his hands crossed on his table.\n\n\"All right,\" Hardy said. \"That was your assumption. That the cleaver was the murder weapon, is that true?\"\n\n\"Yes.\"\n\n\"All right. Accepting that hypothesis for the moment, were there any other clues that indicated to you, a trained investigator, how the murder had actually taken place?\"\n\n\"I'm not sure what you mean. The deceased was hit from behind with the cleaver.\"\n\n\"Yes, but just before that. The deceased was seated at the table when he was struck, granted. But was there not a water ring on the table?\"\n\n\"Oh, that. Yes.\"\n\n\"And what did you assume from that?\"\n\n\"That Defendant was sitting\u2014\"\n\n\"Excuse me.\" Hardy, playing with her rhythm, interrupted and looked up at the judge expectantly. \"Your Honor, move to strike that last phrase.\"\n\n\"Granted.\" Braun frowned down at Schiff, who was all of a sudden aware that Hardy had tricked her\u2014she really should have known better. He'd lulled her with these mundane questions and caught her off guard. She would have to be more careful or risk losing her credibility. \"Sergeant,\" the judge intoned at her most sanctimonious, \"the jury will decide whether this defendant or someone else entirely was sitting with Mr. Preslee. Just stick to what you observed.\"\n\nHardy was graciousness itself. A quick, warm smile, a barely perceptible nod. \"Thank you, Your Honor. Now, Sergeant, again . . .\"\n\nShe wanted to punch him.\n\n\"We were talking about a water ring on the table, Sergeant, and your theory of the murder.\"\n\nSchiff tossed another look at Stier, who'd developed a frown, and then at the jury. \"It appeared that the assailant, Mr. Preslee's murderer, had been sitting across the table from him, perhaps just talking, having a glass of water, and possibly smoking marijuana. At some point the assailant got up\u2014maybe on the pretext of refilling the glass\u2014got behind Mr. Preslee, grabbed the cleaver, and hit him.\"\n\nHardy stood relaxed in front of her. \"Very succinct, Sergeant, and I believe supported by the evidence.\"\n\nHerself confused by Hardy's comment, Schiff could only manage a small nod. \"Thank you,\" she murmured, and realized that this interrogation had somehow gotten away from her.\n\nHardy was moving ahead. \"Sergeant, what was the approximate distance between where the deceased was hit and the kitchen sink right behind it?\"\n\nHe was off on another apparent tangent. Schiff didn't see the point of any of these questions, and yet Stier was allowing them. _Why wasn't he objecting to something?_ Her sense of dread increased, and she felt a drop of perspiration fall out of her hairline. She brushed it away and tried to narrow her focus. Just relax and stay with the facts, she told herself. And then, aloud, \"Not far. Maybe eighteen inches.\"\n\n\"And did the blood on the floor cover any of this eighteen-inch area?\"\n\n\"You can see from the pictures\u2014\"\n\n\"Yes, but I'm asking you to calibrate it for us.\"\n\n\"About half of it.\"\n\n\"So, according to your theory of the case, the assailant killed Mr. Preslee, then stood behind him cleaning up the murder weapon in the sink?\"\n\n\"Yes.\"\n\n\"And the glass?\"\n\n\"Yes.\"\n\n\"While blood dripped off the table just behind?\"\n\n\"Yes.\"\n\n\"Did you find any shoeprints in the blood itself?\"\n\n\"No.\"\n\n\"Or tracks or any traces of blood except directly at the scene?\"\n\n\"No.\"\n\n\"So according to your theory, Sergeant, the assailant stood directly behind the deceased, with blood dripping onto the floor from the table, into an area only eighteen inches wide. And stood there long enough to wash both the cleaver and the glass. Is that correct?\"\n\n\"Yes.\"\n\nHer eyes flitted between the jury box and Stier. _I've got no idea where he's going with this._ The thought unnerved her.\n\n\"Sergeant, did you and your partner obtain a warrant to search the Townshends' house?\"\n\n\"Yes, we did.\"\n\nHardy, in no hurry, took another walk back to his table, picked up a piece of paper, then turned again and walked all the way back to her, handing her the exhibit. \"Sergeant, do you recognize this?\"\n\n\"Yes, of course. It's the search warrant we served on Defendant the day after Levon Preslee's murder.\"\n\n\"Wasn't it first thing in the morning, just at seven o'clock, that you served this warrant?\"\n\n\"Yes.\"\n\n\"Would you please read for the jury, Sergeant, from the affidavit section, what you were searching for with this warrant?\"\n\nSchiff looked down at the paper and, suddenly aware of where this must be going, read in a mechanical voice. \"Computer disks and downloads, business and banking records, shoes and clothes that might contain blood spatter\u2014\"\n\n\"Thank you, Sergeant, that's enough. So you were looking for blood spatter, true?\"\n\n\"Yes.\"\n\n\"And why was that?\"\n\nIn the witness box Schiff lifted a hand, then cleared her throat. \"We thought there might be blood spatter on her clothes and shoes.\"\n\n\"And why is that?\"\n\nSchiff drew a breath and made herself sit up straight and face the jury. She would brazen it out. \"Because we figured the blood dripping on the floor right behind her would have some spatter, even if microscopic.\"\n\n\"Were you looking for spatter anywhere else?\"\n\n\"We thought it possible there would be some on material covering the upper body.\"\n\n\"Why did you think that?\" Hardy now had Schiff firmly assuming the role she didn't want and wasn't qualified for, that of crime-scene reconstruction expert. But if Stier wasn't objecting, she couldn't very well refuse to answer the question.\n\n\"We thought . . . after the first blow . . . the assailant would have to lift the cleaver, which now had blood on it, and swing it hard down again. Some blood might have come off in the swinging or from the second impact.\"\n\nNow Hardy turned and faced the jury, impassive. Without looking at Schiff he asked, \"Sergeant, did you in fact search for blood on the clothes you took from Maya's home early in the morning after the murder of Mr. Preslee?\"\n\n\"Yes, we did.\"\n\n\"Isn't it true, Sergeant, that you removed all the clothing from the house, including her husband's and children's? And removed for testing the contents of the hampers and laundry room? Everything, in fact, except for what they were wearing?\"\n\n\"Yes.\"\n\n\"And were there clothes in the washing machine or dryer or anywhere else in the house?\"\n\n\"No.\"\n\n\"So you got them all?\"\n\n\"Yes.\"\n\n_She hated this._ She knew it was coming across to the jury as some form of police harassment. Even if she didn't have the specific evidence. She knew that it wasn't particularly difficult to be in a room or an apartment, even for a substantial period of time, and leave no physical sign of it, especially if you knew you were going in to commit a crime. She _knew_ that Maya had been at Levon's, and if not to kill him, then why? She didn't know what the damned Townshend woman had done with her clothes and her shoes in the time she'd had to get rid of them. And if she hadn't gotten rid of them, Schiff didn't know how she'd avoided the blood spatter. But none of that made any difference to her core belief that this defendant was a crafty and dangerous killer. \"We were just trying to be thorough.\"\n\n\"Indeed,\" Hardy said, \"thoroughness is commendable. And you were careful when you seized this clothing to package it appropriately for later testing for blood by the crime lab, were you not?\"\n\n\"Yes.\"\n\n\"But with all their sophisticated testing, the crime lab found no evidence whatsoever of blood on anything you seized from Maya Townshend's house, did they?\"\n\nStier finally came alive. \"Objection. Hearsay.\"\n\n\"Sustained.\"\n\n\"Okay, let me ask it this way, then, Inspector. I want you to assume that lab personnel will testify that they found no blood. That's not consistent with your theory of how this crime was committed, is it?\"\n\nNow Stier compounded his error. He should have let Schiff say that maybe the defendant had gotten rid of her clothes, or maybe there just wasn't enough blood to find, but instead he objected. \"Speculation, Your Honor. Irrelevant. Inspector Schiff's theories are not evidence.\"\n\nHardy couldn't believe his luck. \"Well, gosh, Your Honor,\" he said. \"My point exactly. Since the prosecution concedes that Inspector Schiff's theories aren't evidence, and since the prosecution doesn't seem to have anything besides her theories, I have no further questions.\"\n\nBraun banged her gavel and chastised Hardy for making speeches, but he didn't care.\n\nFor the rest of the afternoon Hardy continued to hammer the same point through the other lab witnesses.\n\n\"You're a fingerprint expert, right? Did you find fingerprints inside Mr. Preslee's home?\"\n\n\"Yes. Lots of them.\"\n\n\"Were any of those Maya Townshend's fingerprints?\"\n\n\"No.\"\n\n\"In fact, there are several fingerprints that belong to people whom you've never identified, isn't that right?\"\n\n\"Yes.\"\n\n\"Fingerprints at the table where the victim was seated?\"\n\n\"Yes.\"\n\n\"Fingerprints at the sink where the cleaver was allegedly washed?\"\n\n\"Yes.\"\n\n\"Fingerprints on the interior door handle of the apartment?\"\n\n\"Yes.\"\n\n\"And none of these are Maya's, and some of them are unidentified, right?\"\n\n\"Correct.\"\n\nHardy did the same with the DNA\u2014some recovered, some unidentified, none belonging to Maya. When he was finally done with his last cross-examination at quarter to five, Hardy took a long beat and threw a look at Stier, wilting at his own table. The prosecutor had taken a beating today on the Preslee evidence, and he knew it.\n\nBut next up, he would be talking about motive. And motive evidence, Hardy knew, was going to be brutal.\n27\n\n**The apartment door** opened and Wyatt Hunt stood looking at his young associate. \"What is this bullshit, Craig?\"\n\n\"What bullshit?\"\n\n\" 'What bullshit?' he asks. Calling in sick when you look about as sick as I do, except for a little red around the eyes. Are you stoned?\"\n\n\"Slightly.\"\n\n\"And what do you hope to accomplish by that?\"\n\n\"Nothing. I'm not trying to accomplish anything. Except figure out how I'm going to get back with Tam.\"\n\n\"You think better when you're loaded?\"\n\n\"I don't know. Probably not.\"\n\n\"And yet here you are.\"\n\n\"I just thought I'd take a day off and think about things.\"\n\n\"This is thinking about things?\"\n\n\"No. I felt bad about Tam and was trying to cheer myself up about it.\"\n\n\"Yeah, you're just the picture of good cheer.\"\n\n\"What do you want me to say?\"\n\n\"There's nothing you can say, Craig. You know the rules. You want a day off, call in and ask for a day off. If I'm not mistaken, you've done that before and it's never been a problem. But you don't call in sick when you're not sick.\"\n\n\"I'm sorry.\"\n\n\"Yeah, well . . .\" Hunt hated this, hated Craig at this moment. \"You want to get back with Tamara, it's not rocket science. She wants you to stop with this dope shit.\"\n\n\"She send you here?\"\n\n\"Nope. I wanted to see how bad it was.\"\n\nChiurco blew into the air between them. \"It's not as bad as it looks.\"\n\n\"That's great. I'm glad to hear it. Because to tell you the truth, it doesn't look too good right now.\"\n\n\"You going to fire me?\"\n\n\"I'm thinking about it. I feel a little betrayed, if you want to know.\"\n\n\"Not by me?\"\n\n\"Yep, by you.\"\n\n\"Wyatt, come on. This is the first time for anything like this in like\u2014what?\u2014five years. We're not exactly in the busiest time we've ever had. I just made a bad decision.\"\n\n\"Couple of 'em. Notice any connection between the dope and the bad decisions?\"\n\n\"Maybe. A little.\"\n\n\"Maybe a little, yeah. And in the meanwhile Dismas Hardy comes by my place last night and gives us a shitload of work and I'm thinking you and me are going to be humping round the clock on this Townshend case for at least the next few days, maybe a week. Except you call in sick when you're not actually sick at all, and Tam's all messed up back at the office, can barely answer the phone, and I've got no goddamn backup.\"\n\n\"I didn't know that. I couldn't have known that.\"\n\n\"No, I know. Which is why one of the rules is you show up at work when somebody's paying you, so that if there's work to do, you're there to do it.\"\n\nChiurco hung his head; his shoulders rose and fell. \"Again, I'm sorry.\"\n\nHunt waited until Craig's head came back up, then looked him square in the eyes. \"Shit,\" he said. \"This is no way to run an airline. Didn't we already have a discussion about this once? How am I supposed to write a reference letter if this is going on? How about, if this is your chosen field, maybe you want to avoid things that threaten it?\"\n\n\"I don't usually smoke during the day.\"\n\n\"You shouldn't be usually smoking at all, Craig. You might lose your job over it\u2014hell, your whole profession. Worse, you're losing Tam, and you already know that.\"\n\n\"I know. You think I don't know that? That's what I've been trying to figure out all day.\"\n\n\"What's to figure out?\"\n\nNo answer.\n\n\"And beyond that, Craig, while we're on the topic, being high isn't going to help you figure anything out. Especially this. Isn't that pretty goddamn obvious?\"\n\n\"It should be, yes.\"\n\n\"So?\"\n\n\"So\"\u2014a sigh\u2014\"so I'm gonna stop. I mean it. Starting now, Wyatt. I swear to God.\"\n\nHunt just stared at him, this discussion already far beyond his tolerance level. \"So what do you think I ought to do about this now? About you?\"\n\n\"You could fire me if you want.\"\n\n\"I know I could. Maybe I should. If this wasn't the first time you screwed up like this, I sure as hell would.\"\n\nA trace of hope showed itself on Chiurco's face. \"I swear to God, Wyatt, it's over. You can tell Tam it's over.\"\n\n\"You can tell Tam it's over, Craig. I've got other work to do.\"\n\n\"I could\u2014\"\n\n\"No, you can't.\" He pointed a finger at Craig's chest. \"Tomorrow you can if you're straight by then. And this is the one and only warning. Fool me once, shame on you. Fool me twice, fuck you. Clear?\"\n\n\"It is. I hear you.\"\n\n\"I hope so,\" Wyatt said. Then, \"Get some sleep and be on time tomorrow.\" He turned on his heel and stalked off down the hallway.\n\nBay Beans West was open again, business at least back to slow but steady.\n\nWyatt Hunt, the embers of his anger still smoldering in his gut, stood across Haight Street on this cool and overcast Tuesday lunch hour and watched people come and go for about twenty minutes. The clientele couldn't be more diverse, and Hunt reflected that if we were what we eat and drink, then we human beings were really mostly the same; nothing should really separate us at all, since apparently every ethnic group in the world, both sexes, and people at every economic level drank coffee and lots of it.\n\nHunt entered at last and got his place, fifth in the ordering line. Getting up to the counter, he ordered a regular with a couple of shots of espresso. Leaning over, he then quickly showed his business card and mentioned that he was an investigator\u2014he specifically did not say police investigator. Although quite often that's what people heard, and he usually didn't correct them. Could he please, he inquired, have a few words with the manager? It was about the Maya Townshend case.\n\nBefore he'd had his order filled, a flamboyantly dressed, pony-tailed young man with a diamond in his ear appeared at Hunt's side and introduced himself as the manager, Eugenio Ruiz. Thanking him for coming over, Hunt again flashed his business card and this time identified himself as a private investigator working with the defense on the Townshend case.\n\n\"Okay, what can I do for you?\"\n\n\"We're trying to get a little specific,\" Hunt said, \"about the way Dylan Vogler ran the marijuana out of here. Did you know anything about that?\"\n\nRuiz had quick, dark brown eyes, and they flashed over to the register and then back to Hunt. \"Dylan pretty much handled all of that himself, I think.\"\n\n\"Really?\"\n\n\"Pretty much, yeah.\"\n\nAt the counter they called Hunt's coffee, and he turned and smiled. \"That's me, be right back. You mind we go sit someplace for just a minute?\"\n\n\"A minute. Sure.\"\n\nHunt got his coffee, turned, and found Ruiz again at his elbow. \"There's some chairs in my office,\" he said. \"After me.\" And led the way.\n\nThe room was small and narrow, maybe six or seven by ten feet. A cluttered desk sat along the left-hand wall, and Hunt took one of the two chairs at the far end of it. The walls were papered with posters of coffee-growing locations\u2014Costa Rica, Hawaii, Kenya, Indonesia. Ruiz closed the door behind them, then pulled over a small wooden barrel and sat on it. \"I've only got a couple of minutes,\" he began. \"We're getting into a rush out there.\"\n\n\"Seems like you've always got a rush.\"\n\n\"That's pretty much true.\" A hopeful smile came and just as quickly disappeared.\n\nHunt took a small sip of his hot coffee. \"Really delicious,\" he said.\n\n\"Yes.\"\n\n\"Well,\" Hunt said, \"I guess the big question is how Dylan distributed the money to the workers here. Was it only the assistant managers, or did everybody get a slice?\"\n\nRuiz, to Hunt's gratification caught completely off-guard, opened and closed his mouth a couple of times. \"Um, no.\"\n\n\"No, everybody got a slice?\"\n\nThe quick eyes triangulated the little room, finally came to settle on Hunt. \"No, neither. This was all Dylan's thing.\"\n\n\"No,\" Hunt said. \"No, we know that's not true.\"\n\n\"It is true.\"\n\n\"No, it's not.\" Hunt shook his head in commiseration. \"Good try, Eugenio, but Maya's told us in general terms how it all worked. And frankly we're to the point of getting a little desperate to find somebody else who had a motive to kill Dylan. Or the jury's going to decide Maya did it. So she\u2014Maya\u2014wants us to go to the police and start bringing you guys downtown to talk. And really, who can blame her? But my boss thinks we don't have to shake things up that much to get what we need.\"\n\n\"What do you need?\"\n\n\"I need to know what you and your coworkers know.\"\n\n\"Like what?\"\n\n\"I don't know specifically, you see. But certainly clients who might have been having a hard time paying, or maybe were making trouble for Dylan some other way. Competitors, people threatening to bust you. Come on, Eugenio, you know. You've been doing this. You don't run a ten-grand-a-month drug business and not have some problems.\"\n\nEugenio turned halfway around to check the door. When he came back to Hunt, again he shook his head. \"No.\"\n\nHunt smiled. \"I thought we'd been over that, Eugenio. 'No' is not the right answer. 'No' means you and your guys start going downtown.\"\n\n\"But they say it wasn't about the weed. They didn't steal the weed Dylan had on him.\"\n\n\"There you go. 'They.' 'They' is not 'she.' So who is 'they'?\"\n\nThe highly strung manager fidgeted on his barrel. \"I don't mean 'they' like that.\"\n\n\"So how did you mean it?\"\n\n\"You know, like a figure of speech.\"\n\n\"Okay. But let me tell you something. The more we're looking at this, the more we're convinced that it is, in fact, about the weed. Maya thinks it's about the weed, since it's definitely not about her. So you see where we're coming from. We're running out of time.\"\n\n\"Yeah, but I don't know any names.\"\n\nHunt broke a frigid smile. \"Well, that's where you're in luck. Because it turns out we do have names, a whole list of them. We just don't know what kind of relationships some of these people had with Dylan. We need to talk to you some more and other staff members who were part of this thing.\"\n\n\"Nobody was part of it. Nobody sold or handled anything except Dylan.\"\n\nHunt leaned back in his chair. \"I believe you, Eugenio. But we're not talking sales. We're talking cooperation and payoff. You guys knew what Dylan was doing and you helped him do it, and in exchange he paid you under the table, probably pretty well. Now, I know this and you know it, but it hasn't been the subject of much police concern so far because they've been thinking about Maya and murder. So up to now you're all under the radar. And the really good news here is that talking to me or my colleagues isn't going to get you in trouble. But if the cops come down here and get involved, that's all going to change.\" Hunt came forward. \"Is there something that's unclear about this to you? This is a great deal for you guys, I promise.\"\n\nEugenio tattooed out a rhythm on the edge of the barrel. \"Do you have that list with you?\" he asked. \"I could look at it, see if any names ring a bell.\"\n\nAt a few minutes past eight that night Treya and Abe Glitsky were standing over the sink, doing the dinner dishes\u2014Abe washing, Treya drying\u2014in their small kitchen. They had a dishwasher, but it had gone on the blink shortly after Zachary had gone into the hospital, and they'd just never gotten around to fixing it.\n\nNow it was beginning to look as though that might never happen. The simple rhythm of handling the dishes\u2014rinsing, handing the plates and cups and silverware to your partner to dry, talking all the while\u2014had brought to them both an unspoken comfort and even a kind of intimacy that had somehow kick-started their communication during those darkest days when Treya sometimes thought Abe would never really talk again.\n\nSometime during that crisis time with Zachary, Treya had also instigated a practice she called Parent Savings Time, or PST, and tonight she had put it into practice for the first time in a couple of weeks. The idea, she admitted, was fiendishly simple, and perhaps even inlaid with a tiny element of cruelty. But kids could be such a pain sometimes\u2014even though of course you always loved them\u2014that she didn't feel too guilty laying some payback on them for their own cruel ways.\n\nPST involved going around the house and setting the clocks an hour, or even two hours, ahead. Then, after dinner, you'd look up with surprise, and say, \"Oh, my gosh, where has the time gone? It's bedtime already.\" And you whisk them off to their slumbers.\n\nNow Treya took a dish from the drying tray and began wiping it down. \"So what did Diz say?\"\n\n\"He said it wasn't Schiff's finest moment.\"\n\n\"So what's going to happen?\"\n\n\"Nothing. Diz says that the Levon count might not even get to the jury.\"\n\n\"Wow. How often does that happen?\"\n\n\"Not too. Normally you go for a double one eight seven, if the second one's squirrelly, they don't file it. Or maybe it gets dismissed at prelim, but never in the middle of a trial. Still, Diz is talking about a motion to dismiss as soon as Stier rests. I can't imagine Braun granting it, but if she did, it would be pretty huge for Diz.\" He paused. \"It wouldn't be so huge for me.\"\n\n\"You? What do you have to do with it?\"\n\n\"Well, though you might not know it to look at me, especially the last few months, in theory I run the homicide detail. Which means I have some input on what we bring to the DA. Or not. At least where there's a question.\"\n\n\"You're saying there was a question here?\"\n\n\"I thought there might be when Debra first went to Glass. But I just couldn't seem to stay focused back then.\"\n\n\"Gee, Abe. I wonder why that was.\"\n\nGlitsky put his sponge inside a drinking glass and turned it absently around the rim. \"The reason doesn't really matter, Trey.\"\n\n\"No, I know. God forbid you have a legitimate excuse or, worse, use one.\"\n\n\"I don't need an excuse. I take full responsibility.\"\n\n\"You? You're kidding.\"\n\nHe handed her the rinsed glass. \"Quit busting my chops, woman, would you?\"\n\n\"I'm not. I'm teasing you.\"\n\n\"I'm laughing. See me laughing.\"\n\nShe put down the glass, put a finger into his belt, and turned him toward her. \"Kiss me.\"\n\n\"My hands are all wet.\"\n\n\"I don't care. Kiss me.\"\n\nAfter about thirty seconds he said, \"Are we going to finish these dishes?\"\n\n\"I doubt it,\" she said. \"At least not right now.\"\n\nWet hair wrapped in a towel, wearing a pale yellow terry-cloth robe, Treya came out into their living room where Abe, in black flannel pajamas, sat on the couch, hunched over a couple of stacks of papers on the coffee table. \"Well, look at this,\" she said.\n\nShooting her a false glare. \"You starting again with me?\"\n\nShe smiled down at him. \"You want me to?\"\n\nHe patted the couch and moved over an inch or two.\n\nShe sat down. \"Finding anything?\"\n\nShrugging, he turned a page over, laid it facedown on the second pile. \"That's the problem.\" Another page. And another. \"Diz said it was about the blood, and he might be right.\"\n\n\"What about it?\"\n\n\"There isn't any. Not on Maya's clothes, not in her house. Nowhere.\"\n\n\"Couldn't she have just ditched them?\"\n\nAbe put his current page down and sat back on the couch. \"Let's see if this flies for you. She kills Levon in a pretty spectacularly bloody way. Spends a few minutes cleaning up, running water in the sink, no doubt splashing, and blood dripping off the table onto the floor like a few inches behind her.\"\n\n\"Okay.\"\n\n\"Okay, first thing, we know she's got some blood on her.\"\n\n\"We do?\"\n\n\"Got to, Trey. No way with all that splashing front and back can she avoid it. So from there we've got two possible scenarios. One, she doesn't see any blood and just goes from Levon's to pick up the kids and then goes home with them. We've got a timeline for her somewhere in here\"\u2014he pointed to the papers in front of them\u2014\"that shows her actions from picking up the kids until the next morning. Her story, anyway, but corroborated by her husband and their housekeeper before anybody thought it was an issue. So I'm tempted to believe it. She didn't go out.\"\n\n\"Which means?\"\n\n\"It means those clothes are at her home at seven the next morning when Bracco and Schiff show up, and luminol's going to show the blood, even if she couldn't see it.\"\n\n\"All right.\"\n\n\"All right. So it didn't show up.\"\n\n\"What's the second scenario?\"\n\n\"She sees blood and has to dump her clothes. But the problem with that is she picked up the kids promptly at three.\"\n\n\"So she either brought a change with her\u2014\"\n\n\"Not.\"\n\n\"No, I agree. Or she . . . what? Went home first and changed?\"\n\nGlitsky shook his head. \"No time for that. And besides which, the maid says she didn't come home first.\"\n\n\"So what's that leave?\"\n\n\"That's the question.\"\n\n\"All the people who alibi her could be lying.\"\n\n\"That's true.\"\n\n\"But you don't think so?\"\n\nGlitsky nodded. \"Not that it couldn't happen, but they wouldn't have known what they were covering for when they said it, so it's unlikely.\"\n\n\"So what does this all mean?\"\n\n\"She wasn't inside. I'm okay with no fingerprints, no DNA, all that. Hard, but doable if you're careful. But if she was there and killed him, she got blood on herself, that's all there is to it.\"\n\n\"You know what, it's good to see you into this.\" She put her hand on his leg.\n\nHe turned to face her. \"I'm starting to believe, hope, whatever, that Zack's going to be all right.\" He leaned forward and rapped on the coffee table. \"Knock on wood. Anyway, so maybe I'm not hopeless. Maybe there's something I can do to make sure they don't get blown away on the Vogler side of the trial too.\"\n\n\"Is the evidence better on that?\"\n\n\"Oh, yeah. No question, basically. But still, if they left anything out, maybe I can help them get it back in.\"\n\n\"Like what?\"\n\n\"I don't know. Shore up if there's any other weak spots. Whatever they might need.\"\n\nTreya sat silently for another minute, her hand resting on his leg. \"So if the judge dismisses the Levon side, then what?\"\n\n\"Nothing, really, except that Diz looks good for a media minute, which actually lasts only about thirty seconds.\"\n\n\"No. I mean about Levon.\"\n\n\"What about him?\"\n\n\"Well, technically, wouldn't he be an open case again?\"\n\nAbe's mouth tightened up in concentration. \"Not really. I mean, even Diz thinks she looks good for it, even if the DA can't . . .\" He ground down to a stop, met his wife's eyes.\n\n\"Except,\" Treya said, \"she had no blood on her, did she? She never went inside. Which means somebody else was in there and killed him, doesn't it?\"\n28\n\n**At around nine o'clock** the next morning Hardy \"no-commented\" his way through the crowd of reporters who accosted him as he tried to sneak into the back door of the Hall of Justice. He was in relatively high spirits, having slept well for a trial day\u2014waking up without an alarm at five-thirty as opposed to the more usual three or four.\n\nEven though neither Kathy West nor Harlen Fisk had shown up at the truncated morning session of the trial yesterday, the powers that be had determined that a metal detector was still a necessity. So a line of spectators and more reporters snaked for fifty or sixty feet outside of Department 25. Upon laying eyes on it Hardy was about to backtrack and take his shortcut behind the courtrooms when he heard a familiar voice call his name and, turning, was somewhat surprised to see Fisk striding toward him.\n\nThe normally hale and hearty face seemed today to have an underlying pallor, and dark circles under his eyes spoke of a lack of sleep, but if Hardy had a sister on trial for murder, he thought he might lose a few zz's himself. He stepped into the line and extended his hand. \"Hey, Harlen. Got the trial bug, do you?\"\n\nHe tried a smile that mostly failed. \"Maybe some of that, Diz. But mostly I wanted to ask you, after yesterday, why can't Jackman just drop the Preslee side of this thing?\"\n\n\"Careful, Harlen, your politics are showing. The short answer is that Stier's picked this fight for them and they're in it. What I am hoping is that maybe Braun'll do it for them.\"\n\n\"She can do that?\"\n\n\"She can grant my motion to dismiss when Stier's done with his case. If I can convince her that no reasonable juror could convict on the Preslee count with this evidence.\"\n\n\"What's it going to depend on?\"\n\nHardy chortled, leaned in closer to whisper. \"In theory, careful weighing of the evidence. In fact, pretty much whim.\"\n\n\"That's heartening.\"\n\n\"Welcome to Superior Court. But in truth, I think we might actually have a chance. There really isn't anything that proves she killed Levon.\"\n\nHarlen nodded. \"This whole thing is a mockery, if you want my opinion. Always has been.\"\n\n\"I agree.\"\n\n\"And if Braun does drop Levon, isn't that saying Maya didn't do it?\"\n\n\"Well, not exactly. It means they can't prove she did it.\"\n\n\"So what do they do then?\"\n\n\"Who?\"\n\n\"The police. The people investigating his murder.\"\n\nHardy's grin had a sardonic twist to it. \"Again, we're up against theory versus reality. In theory the police should start looking for more proof, but there isn't any that I've seen. So then, still in theory, they should revisit the investigation and see if they might trip over another suspect somewhere along the way. In reality, since the cops believe that Maya in fact did kill Levon\u2014\"\n\n\"That's insane,\" Harlen interrupted. \"I _know_ she didn't do that.\"\n\nThis stopped Hardy. \"If you do, tell me how.\"\n\nThe supervisor, too, hesitated for a second. \"What I mean is my sister isn't hitting somebody on the head with a cleaver, Diz. It just flat couldn't happen.\"\n\n\"I'm not saying I disagree with you. It's a stretch for me too. But the cops think that's what happened, even though she avoided all traces of blood, which is a pretty good party trick if she did. Anyway, the bottom line is that in reality, Braun dismisses Levon and nobody's going to do a damn thing about it. They figure they'll get her on Dylan anyway. But the good news\u2014and this really is good, Harlen\u2014is if Levon gets dropped, it's no longer Specials.\" By this Hardy meant special circumstances\u2014mandated by multiple murder\u2014and because of which Maya would be facing life in prison without the possibility of parole. Without Levon, life without was going to be off the table.\n\nBut Harlen didn't take much solace in that. \"I don't want her to go down at all,\" he said. \"That's why I turned her on to you in the first place. I never intended for this to happen. You were supposed to stop it from getting to here.\"\n\nHardy had seen this before, the family becoming adversarial to the defense as the trial progressed. Still, Harlen was a long-standing colleague\u2014just short of being a personal friend\u2014and the accusation stung. \"Well\"\u2014Hardy's decent mood by now completely leached away\u2014\"I hope you know I'm doing all I can to keep that from happening.\"\n\n\"I know that. I didn't mean\u2014\"\n\n\"Yeah, you did. It's okay.\"\n\n\"It's not okay, Diz.\" Harlen swallowed, took a deep breath. \"I tell you, these fuckers are killing all of us. Joel and I almost had it out\u2014I mean actual fists\u2014last time we saw each other. He said I was ratting him out with the grand jury. You ever testify for one of those?\"\n\n\"Yeah. But I wasn't a target.\"\n\n\"Well, here's the good news. Neither am I. Or they tell me that's good news, but you ask me, make me a target anytime.\"\n\n\"So you can take the Fifth, right?\"\n\n\"Not that I've got anything to hide, really, but it would be a nice option. Instead of letting Glass, last time he got me on the stand, rip me a new one. Then he starts on my tax returns for like ten years ago. And how do I account for this? And how did I really make that? And how do I prove that my sister and I were not actual partners in BBW, and that the dope money isn't really what got Joel's real estate stuff started, or at least bailed him out after nine eleven.\"\n\n\"And you had to answer?\"\n\n\"Every time or I'm in contempt. I mean, that son of a bitch Glass treated me like I was a major criminal, but I've got nothing to tell him. Then after all that Joel busts my ass anyway.\" The big man blew out heavily. \"And you notice Kathy's lost about ten pounds. Ten pounds on her, that's like fifty on me. And it isn't her new exercise routine, believe me.\"\n\n\"I hadn't heard they'd called her yet.\"\n\n\"No. That's what's so awful. They're keeping the big ax\u2014testifying with the grand jury\u2014over her head. Glass waiting to see what happens down here in court, maybe. I don't know, but it's eating her up too. Like literally. I think that's what more or less got her to come down here. Put the fucker on notice, show him she's not afraid.\" He leaned in closer. \"But let me tell you something, Diz, between me and you. She is.\"\n\nFrom his own experiences with Joel\u2014arguing with him over billing, cash flows, trial strategy, his treatment of Maya\u2014Hardy had known that Glass's campaign against the families was taking a serious psychic toll. Now, though, Harlen's totally uncharacteristic outburst\u2014the man was a professional politician, after all, he never lost his temper\u2014had made Hardy realize how deep the knife cut, how threatening the grand jury must be, how very real loomed the possibility of ruined careers and even prison time. Now Hardy took his own deep breath. \"Well, Harlen,\" he said with a mustered calm he didn't come close to feeling, \"we're still a long way from done here. That's all I can tell you. We've got to let it play out.\"\n\nHardy let Fisk go through the metal detector and then stepped aside out of the line and walked back to the other familiar face he'd noticed in the lobby behind them. Chiurco, in a coat and tie, looked well-rested and clear-eyed as Hardy shook his hand. \"Hey, Craig,\" he said. \"You here with Wyatt?\"\n\n\"No. Wyatt told me to come down here and see if I could be of some use.\"\n\nThis wasn't the most impressive offer Hardy had ever heard. The only thing Craig had to talk about was Maya's presence outside Levon's flat just before or after he was murdered. Which meant that if Hardy put him on the stand, all he could do was damage the case further.\n\nBut then, suddenly, unexpectedly, an idea surfaced. \"Something you could do,\" he said. \"With all the craziness, you and I never talked about whatever you found out about Levon and Dylan.\"\n\n\"Sure, but I've got to tell you, beyond the robbery and his address, it wasn't much.\"\n\n\"Wyatt didn't ask you to follow up on any of that?\"\n\nCraig shook his head. \"No. And I don't really know what it would be. I think you guys know all I know.\"\n\n\"Probably,\" Hardy said, \"but maybe you know something you don't know you know. Stuff you might have seen with Maya at the door.\"\n\nThis brought a frown. \"Tamara kind of hinted that maybe I'd want to mess with my story if\u2014\"\n\nBut Hardy jumped all over that. \"No, no, no. Nothing like that. I'm not talking about making up a story. Just if what actually happened might change an argument or something.\"\n\n\"Well, whatever you'd want.\"\n\n\"You want to set a time? Give me an hour?\"\n\n\"Sure. When?\"\n\n\"Tonight, tomorrow night? Call Phyllis at my office and she can set us up. You okay with that?\"\n\n\"Of course.\"\n\n\"Good. So now if you'll excuse me\"\u2014Hardy indicated the courtroom behind him\u2014\"Her Highness awaits.\"\n\nUpstairs, Glitsky let Bracco and Schiff into his office, closed the door behind them, and walked around his desk to his chair. He had hot tea in his SFPD mug and he pulled it in front of him and cupped his hands around it.\n\nNot that he was cold.\n\nHe felt he needed a prop\u2014something immediate and proximately painful\u2014to take the edge off his main emotion at the moment, which was a fine amalgam of embarrassment, disappointment, and fury. As a further subterfuge\u2014to all appearances this was simply a chat about procedures\u2014he'd bought a couple of Starbucks frou-frou coffees downstairs and had put them on the edge of his desk in front of where his inspectors were sitting.\n\nSchiff pretty obviously hungover.\n\nAnd now, motioning to the coffees, Glitsky said, \"I hear those are great. Orange macchiato, or something like that. Treya swears by 'em.\"\n\nBracco reached forward, took a cup, removed the plastic top. \"Thank you, sir.\"\n\n\"You're welcome. Debra?\"\n\nShe raised a palm. \"Maybe in a minute, thanks.\"\n\nThe tension among the three of them taut as a wire.\n\n\"Are you feeling all right?\"\n\nA brisk nod. \"Little bit of a rough night is all.\"\n\nGlitsky kept his eyes on her. After a minute he sipped his own tea. \"It takes some getting used to, but you can't let that stuff get to you.\"\n\nShe didn't reply.\n\n\"You have a tough day of testimony,\" Glitsky said, \"it's part of the job. Comes with the territory. You shake it off and do better next time. At least that's my experience. The coffee might really help.\"\n\nSchiff sighed and reached for the cup.\n\n\"Of course,\" Glitsky continued, pressing his hands around his mug, focusing on the heat in his palms, \"it's preferable if you make sure your evidence is rock solid before you're stuck with explaining something that might not make much sense.\"\n\nSchiff, her mouth set tight, let a long, slow breath out through her nose. She left the paper coffee cup where it sat on the desk and straightened back up in her chair. \"It made perfect sense, Lieutenant. People have been known to cover their tracks, and she did. It doesn't mean she wasn't there.\"\n\n\"No, of course not.\"\n\n\"In fact, she was there.\"\n\n\"Well, in fact, to be precise, she may have been at the front door.\"\n\n\"She _was_ at the front door, Abe. Her fingerprints and DNA say so.\"\n\n\"That's true, sir,\" Bracco said.\n\nGlitsky's eyes went from one to the other. \"All right. Still, the Preslee count isn't too wonderful, is it? If it wasn't for Vogler, in fact, you and I both know it wouldn't have been charged. Why do you think that might be?\"\n\nSchiff wasn't backing down. \"Like I said, she planned it and pulled it off. And let me ask you something. Did you get your take on this from your friend Mr. Hardy?\"\n\nThe scar through Glitsky's lips went a little pale in relief. \"I'm going to pretend I didn't hear that, Debra. It's way beneath you, and maybe just a result of how you're feeling this morning, huh?\"\n\n\"I'm feeling fine.\"\n\n\"Good. Because I did want to ask you both about something. Never mind your write-ups or your testimony or what Maya Townshend might or might not have done at Levon's place, how do you, either of you, explain to me the complete absence of blood from any of her clothes or shoes or anything else you looked at? And before you start, let me give you my analysis and you tell me where I'm wrong.\"\n\nFor the next few minutes Glitsky outlined it for his inspectors. He wrapped it up by saying, \"And this isn't a question of admissible evidence or lack of sufficient proof to convict. I'm talking here the actual fact of what happened.\"\n\nSchiff didn't even hesitate. \"The actual fact is she killed him. Her husband lied when he corroborated her alibi. Either him or the housekeeper. Happens all the time.\"\n\nGlitsky's mug was tepid by now; it was failing to serve as a calming device. \"You're saying she got home, when, before she picked up the kids?\"\n\n\"She might have. We don't know.\"\n\n\"But we do know, don't we,\" Glitsky replied, \"what time she got the call from Preslee? Couple of minutes either side of two, right? And we know she picked up the kids at three sharp. So you're telling me she gets this call at her house on Broadway, decides on the spot to kill Preslee, drives out to Potrero? And by the way, I did it this morning coming in. No traffic, city streets, twenty-two minutes one way. So anyway, she sits down and drinks some water and maybe smokes a joint with Levon, whacks him with the cleaver, then cleans up with a lot of care, and she's got time to dump her blood-spattered clothes before she gets the kids?\"\n\n\"She could have done it anytime that night.\"\n\n\"So the husband knew about it?\"\n\n\"Had to.\"\n\nGlitsky looked over at Bracco. \"Darrel?\"\n\nNo hesitation. \"If she did it, and she did, Abe, then that's what happened.\"\n\nWhile a part of him admired the loyalty of his troops to one another, Glitsky felt his stomach roil at this absurd display of professional obstinacy. He was all but certain from his earlier discussions that Bracco thought that they could've tightened up the case before the arrest, and that Schiff had acted precipitously, but Darrel wasn't going to contradict his partner in front of his lieutenant, and that was all there was to it.\n\nNever mind that their convictions flew in the face of the first law of criminal investigation\u2014facts must flow from demonstrable evidence, and not the other way round, where the evidence is massaged or explained to fit a set of predetermined perceptions.\n\nNow, knowing he was defeated in his primary objective\u2014to get his inspectors to admit that they might be wrong, and might want to spend some of their time looking for who had really killed Levon Preslee\u2014Glitsky let out a breath, gave up on his tea, and leaned back in his chair. \"All right,\" he said. \"But I think you'll have to admit it's possible that the jury's going to have a hard time with Levon. Can we go with that?\"\n\n\"You know as well as me, Abe,\" Schiff replied. \"San Francisco juries have a hard time with guilt, period.\"\n\n\"All too true,\" Glitsky said. \"And all the more reason to make sure we give the DA everything he needs every single time.\"\n\n\"He's got plenty here, Abe,\" Schiff said. \"She's going down for Vogler. Even in San Francisco.\"\n\n\"All right, fine, I believe you, and I hope you're right. And you're both confident you've built the strongest case you could on Vogler?\"\n\nDarrel was the first to pipe up. \"Yes, sir.\"\n\n\"Debra?\"\n\n\"Absolutely.\"\n\n\"Okay, then.\" Glitsky pulled a small stapled stack\u2014five or six pages\u2014of computerized printouts over in front of him and flipped it open to the middle. \"Then I've just got one last quick question for both of you. Who is Lee or Lori Buford or Bradford?\"\n\nThe two inspectors traded glances with one another.\n\n\"Nobody,\" Schiff said.\n\n\"Nobody,\" Glitsky repeated. \"But I see here a Post-it in the file with our case number on it and that name or one like it.\"\n\nSchiff, her own blood high by now, wasn't hiding her anger. \"You're riding this one a little hard, wouldn't you say, Lieutenant?\"\n\n\"I'm in charge of this detail, Sergeant, and in my opinion, this case we gave the DA is about halfway down the tubes because we just didn't quite have enough evidence when we made the arrest\u2014correction, when _you_ made the arrest. And you want my opinion, we're still a damn sight light on Vogler. And if this _nobody_ happens in fact to be somebody you guys in your zeal to arrest just plain forgot to include in your write-ups or reports and who might actually help the DA get a conviction on this Townshend woman, then it's my job to point that out to you. Either of you got a problem with that? 'Cause if you do, we can take it upstairs and have a discussion with the chief. How's that sound?\"\n\nBracco, jaw set, a flush in his face, said, \"Lori Bradford. An old woman out in the Haight.\"\n\n\"A senile old woman out in the Haight,\" Schiff corrected him.\n\n\"You didn't take notes when you talked to her?\"\n\nAfter a minute Bracco said, \"No. We decided she wasn't credible, Abe. There was nothing worth putting in the file.\"\n\nGlitsky knew that though strictly against regulations, this was not an uncommon practice. Although inspectors were supposed to memorialize every interaction with witnesses or potential witnesses, either by tape or notes, in practice it often became the call of individual inspectors to include or exclude testimony, for whatever reason or for no real reason, from their reports. It was clear to Glitsky\u2014if only because he was certain that Bracco knew better, but also because of the look of pain on Bracco's face\u2014that Schiff had drawn the short straw to write up the report on Lori Bradford's interview and had decided for reasons of her own to leave it out.\n\nKeeping his voice under control, Glitsky finished the last of his tea. \"Nevertheless,\" he said, \"if either of you two remember, I'd be interested in hearing what she might have told you.\"\n29\n\n**Before the decision** really had a chance to sink in, a smiling and confident Big Ugly Stier, never looking bigger nor uglier to Hardy, rose at his table and\u2014no doubt seeking to undo some of the damage Hardy had done with Schiff yesterday\u2014called Cheryl Biehl to the stand.\n\nPaul Stier had discovered Biehl, n\u00e9e Zolotny, in much the same way that Wyatt Hunt had, by chasing down Maya's college connections in the hope that someone who knew her both then and in the present could shed some light on the blackmail question, and hence on Maya's purported motive for the killings. Now the former cheerleader, conservatively dressed in a tan business suit, clearly uncomfortable in the role of prosecution witness, shifted as she sat waiting for Stier to begin.\n\n\"Mrs. Biehl, how long have you known the defendant?\"\n\n\"About fourteen years now.\"\n\n\"And where did you meet?\"\n\n\"At USF, freshman year. We were both cheerleaders.\"\n\n\"And have you kept up on your friendship?\"\n\n\"Yes. Until she got arrested, we usually had lunch together every couple of months or so.\"\n\n\"Mrs. Biehl, did you also know the victims in this case, Dylan Vogler and Levon Preslee?\"\n\n\"Yes.\"\n\n\"And to your personal knowledge, did Defendant also know both of these victims when you were all in college?\"\n\n\"Yes.\"\n\n\"Did you ever witness Defendant using marijuana with either or both of these men?\"\n\nBiehl cast an apologetic glance across to Maya and nodded to Stier. \"Yes, I did.\"\n\n\"And did you ever witness Defendant, either alone or with one or both of the victims, selling or distributing marijuana?\"\n\n\"Yes, I did.\"\n\n\"Would you characterize this as a more or less common occurrence?\"\n\n\"For a while, when we were in school, yes. They were the main connection if you wanted to buy pot among our friends.\"\n\n\"All three of them?\"\n\n\"Yes.\"\n\n\"All right, Mrs. Biehl. Moving ahead several years, in the lunches that you and Defendant had together, did she ever mention either Mr. Vogler or Mr. Preslee?\"\n\n\"Yes. She mentioned both of them, Dylan quite frequently, since she still worked with him.\"\n\n\"But she mentioned Levon Preslee too?\"\n\n\"Right. But not really recently.\"\n\n\"Do you remember the last time she mentioned Mr. Preslee?\"\n\n\"About eight years ago, just after he got out of jail.\"\n\n\"And by jail, Mrs. Biehl, don't you really mean state prison?\"\n\n\"Yes. Right. I thought prison and jail were the same, I guess. But, yes, it was just after he got out of prison.\"\n\n\"And what were Defendant's comments on Mr. Preslee at that time?\"\n\n\"Just that he'd gotten in touch with her through Dylan. He wanted her to fix him up with a job or something.\"\n\n\"What was her reaction to this request?\"\n\n\"It really frustrated her.\"\n\n\"How did you know that?\"\n\n\"Because she said so. She said she was never going to get out from under these guys.\"\n\n\"She was never going to get out from under these guys. Did she offer any explanation of what she meant by _get out from under_?\"\n\n\"No, she didn't.\"\n\n\"Thank you, Mrs. Biehl. Now, turning to Dylan Vogler, he was her manager at Bay Beans West, was he not?\"\n\n\"That's right.\"\n\n\"And in these conversations you had with her, how did she characterize her relationship with Mr. Vogler?\"\n\nBiehl hesitated for a long moment before replying, \"Unpleasant.\"\n\n\"Was she more specific?\"\n\n\"Well, a couple of times she told me she just wanted him out of her life and she'd offered to buy him out, but he refused.\"\n\nStier, eyebrows raised, flagged the significance of this testimony to the jury. \"She used the phrase, _to buy him out_?\"\n\n\"Yes.\"\n\n\"Did you find that strange?\"\n\n\"A little bit, yes.\"\n\n\"And why was that?\"\n\n\"Well, because he worked for her, I wondered why she just didn't fire him.\"\n\n\"Did you ask her about that, why she didn't simply terminate him?\"\n\n\"Yes. We talked about it a couple of times.\"\n\n\"And what did she say?\"\n\n\"She said she couldn't. Couldn't fire him, I mean.\"\n\n\"And why was that?\"\n\n\"She wouldn't say specifically.\"\n\n\"Did she tell you in a general way?\"\n\nAnother look over at Maya, then Biehl let out a wistful sigh. \"She said she could never fire him because he owned her.\"\n\n\"He owned her. Those were her exact words?\"\n\n\"Yes. She said them more than once.\"\n\nStier, to all appearances sobered by the enormity and surprise of this testimony\u2014although he'd guided her directly to it\u2014nodded to the witness, then over to the jury. \"Mrs. Biehl, in the few months prior to Defendant's arrest, did you two have lunch together again?\"\n\n\"Yes, at the end of last summer.\"\n\n\"And did Mr. Vogler come up again in your conversation?\"\n\n\"Yes.\"\n\n\"How did that happen?\"\n\n\"I brought him up. I told her I'd been worrying about her situation with him. I'd heard somewhere that he was selling marijuana out of the store, and I told her that whatever it was she was hiding, it would be better just to get him out of there and get it behind her. Otherwise, it was just going to go from bad to worse.\"\n\n\"And what did she say to that?\"\n\n\"She just kind of shrugged it off and said I shouldn't worry about it. I was right. It wasn't a good situation, but she was going to take care of it pretty soon.\"\n\nA final repetitious riff to the jury. \"She was going to take care of it pretty soon.\" And then Stier was turning to Hardy. \"Your witness.\"\n30\n\n**Biehl's direct testimony** got them to lunchtime, so there wouldn't be any cross-examination until the afternoon session, and this suited Hardy fine. He didn't have much of an idea of what, if anything, he was going to ask her. Her testimony had been true and probably accurate. Vogler had no doubt been blackmailing Maya. He and Preslee probably both had had their claws into her, so that she wanted to get out from under their control. The strategy he'd decided to adopt called for a steady drumbeat about the lack of physical evidence tying Maya to either of the crimes, but Biehl hadn't offered anything he felt he could refute.\n\nHe had a voice mail from Wyatt Hunt on his cell phone, telling him that he'd be having lunch at Lou the Greek's if Hardy wanted a report on what he'd been doing out at BBW, and suddenly\u2014if for no other reason than he was perpetually somewhat morbidly curious about the Special\u2014that seemed like a good idea.\n\nSo he hung back until his client and Stier and most of the crowd had dispersed from the courtroom, then snuck out, walked the two flights down to the throbbing lobby where it was too crowded for anyone to notice him. Outside, trench-coat collar up and head down in an overcast chill, he jaywalked across to Lou's, stepped over the sleeping or dead body in the outer doorway, then descended the half-dozen ammonia-tinged steps that took him to the restaurant's entrance proper, swinging double doors covered in red leather.\n\nAs usual at lunchtime patrons stood three deep at the bar. Each of the twenty-odd tables was taken as well. Hardy recognized several cops, Harlen Fisk at a small table alone with Cheryl Biehl, five or six of his fellow attorneys, and a couple of members of his own jury at one of the side tables; and somewhat to his surprise, at the largest table in the house, Glitsky and Treya and Debra Schiff and Darrel Bracco along with District Attorney Clarence Jackman himself, scowling and listening intently to whatever Bracco was saying. Nobody at that table looked happy enough to interrupt, and besides, Hunt was holding up a hand flagging him from one of the booths, so Hardy picked his way through the mob and the cacophonous din and slid in across from his investigator.\n\n\"Souvlaki lo mein,\" Hunt said by way of greeting.\n\n\"That actually sounds edible.\"\n\n\"It does, I know. But I predict a secret ingredient. Octopus, something like that. All those little legs and the noodles mixed up together so you can't tell which is which.\"\n\n\"Octopus legs and noodles? I could tell the difference.\"\n\n\"You could? How?\"\n\n\"The legs are probably going to be thicker. And have those little suction cups on 'em. That's the giveaway.\"\n\nJust at that moment the proprietor stopped at their table. Lou was mid-fifties or so, with thick black hair, short legs, a solid round stomach under his starched white shirt. \"Hey, Diz, Wyatt. Lunch or just drinks?\"\n\n\"We'll have the octopus,\" Hardy said, \"if you can cut the suction cups off the legs for Wyatt here. He thinks suction cups suck.\"\n\nLou's face clouded over in something like real pain. \"No octopus. Noodles and lamb, maybe some hummus and hoisin. Delicious.\"\n\n\"Can Chiu put some octopus in mine?\" Hunt asked.\n\n\"Come on, guys, can't you see I'm hoppin' here? We don't do substitutions, you know that. How long you been comin' here? You eatin' or not?\"\n\n\"Two Specials,\" Hardy said.\n\n\"There you go. Water, tea, beer, what?\"\n\nBoth men chose water, and Lou was gone, on to the next order. Hardy jerked his head a little out toward the room. \"Check out the summit meeting.\"\n\n\"I know. They got here a few minutes after me. I don't think it's a birthday.\"\n\nHardy looked over and again noted the tension around the table. \"Maybe they just aren't as enthusiastic as we are about the Special.\"\n\n\"Those are our guys, aren't they? I mean our case.\"\n\n\"Schiff and Bracco, yeah.\"\n\n\"Maybe they screwed up.\"\n\n\"They've probably got ten other cases, but we can always hope.\" The water arrived\u2014pint jars with ice chips\u2014and Hardy took a drink. \"So how you doin' on our list?\"\n\n\"Slow,\" Hunt said. \"But we were right about all the staff being in on it. They really, really don't want to talk to the actual police.\"\n\n\"Are they still dealing out of there?\"\n\n\"It wouldn't shock me. Though not at the level Dylan was. At least not yet.\"\n\n\"So who? The new manager?\"\n\n\"Ruiz. Sharp guy. But he says there's a guy, he thinks called Paco, who got in a beef with Dylan while Levon was there maybe a couple of weeks before he got killed.\"\n\nHardy sat up. \"They were both there together, Dylan and Levon?\"\n\n\"Oh yeah. Pretty frequently, at least every time Levon came for his pickup.\"\n\n\"Well, there you go.\"\n\n\"Except there's no Paco on the list. I've got Ruiz watching for him if he comes in again, but he says he hasn't seen him since the big day. And, of course, he could be making it all up.\"\n\n\"Of course.\" Hardy threw another quick glance at Glitsky's table\u2014just as cheerful as last time. \"I had a chat with your man Craig this morning, you know.\"\n\n\"Yeah. He called in. Can he do anything for you?\"\n\n\"Well, so far he puts Maya at Levon's, but he doesn't put her inside. So if I need him for something on the stand, he won't do too much damage with that.\"\n\n\"Actually, it might be a little better than that. The way it sounds to me, she'd just got there and couldn't get in, as opposed to she was just coming out.\"\n\n\"Big difference,\" Hardy said.\n\n\"No shit.\" Wyatt hesitated for a second. \"But how did he seem?\"\n\n\"Who, Craig? Fine. Why?\"\n\nHunt shrugged. \"He and Tamara broke up. I think he's having some problems. But he was okay?\"\n\n\"He seemed fine.\"\n\n\"Good. Just checking on the puppies.\" Hunt turned his glass around in its condensation ring. \"I did get something else, maybe. Actually, Gina got the hunch from something else I was saying. If it's anything.\"\n\n\"You think you got enough qualifiers in there?\"\n\n\"I don't want to get your hopes up.\"\n\n\"I'll be on diligent guard. Meanwhile, at this point,\" Hardy said, \"I don't care if Daffy Duck is your source. I'll take it.\"\n\n\"Okay. What do you know about Tess Granat?\"\n\nHardy felt he'd be nothing without his memory, and he had his answer in a second. \"Movie star. _Falling Leaves_ , _Death by Starlight_. Died here in the city, didn't she? Hit by a car when she was pregnant, if I remember.\"\n\nHunt nodded. \"Hit-and-run. Mom and unborn kid both died. Driver never found.\"\n\n\"Okay.\"\n\n\"Okay. Did you know she was Kathy West's sister?\"\n\nWith his water halfway to his mouth Hardy stopped cold and slowly replaced the jar on the table. The words _unborn kid_ went jangling around in his brain. As did the details of his interview with Maya in the attorney visiting room at the jail\u2014when she had talked about the innocence of the unborn but had denied ever having had an abortion. Her words came back at him with a visceral force.\n\nLou had a lunch staff of two white women and two Filipino men\u2014all middle-aged\u2014that delivered food from the kitchen and never slowed down, and one of the women showed up and plopped their Specials down without fanfare between them, then threw after them their utensils wrapped in paper napkins.\n\nHardy finally found his voice again. \"When did this happen, the hit-and-run?\"\n\n\"March of ninety-seven,\" Hunt said. \"Maya was a junior that year. It's when things seemed to go south for her.\"\n\n\"How'd you get this?\" Hardy asked. \"Or Gina?\"\n\n\"We were just talking about how I got started on all this, and I mentioned running into an article about Tess Granat being Maya's aunt in USF's newspaper. And I ask Gina what was it that happened to her. So Gina, being senior to me, which I never let her forget, remembers the hit-and-run, the whole story, and then it hits us both at the same time.\"\n\n\"There's a connection?\"\n\n\"Maybe worth asking about.\"\n\n\"So you're thinking the blackmail might not have been about a robbery?\"\n\n\"I'm not thinking anything. I'm just wondering. Granat's death was a big deal at the time. A huge deal.\"\n\nA muscle worked in Hardy's jaw.\n\n\"They were an item back then, too, you know? Maya and Dylan.\" Hunt stopped to let that fact settle, then continued. \"Although by senior year, or maybe sooner, they broke up, and she goes back to being Junior League and finds religion again.\"\n\n\"It would explain a lot.\" Hardy getting into it. \"If she knew anything about the hit-and-run with Granat and didn't go to the cops at the time, and then her family found out about it later, she's fucked. The family would never forgive her, and she can't forgive herself. Which is why she thinks she deserves whatever happens to her. It's God working in biblical time, just paying her back now for what she did then.\"\n\n\"It's a damn compelling theory,\" Hunt said, \"but the bad news is that it doesn't actually change all that much. Dylan's blackmailing her about that, the bottom line is he's still blackmailing her, so she's got the same motive.\"\n\n\"Not exactly.\" Hardy was already thinking about how he could get any of this in front of the jury. \"If it's not about something she and Dylan did with Levon around dope in college, it takes Levon out of the picture, at least out of _her_ picture. She's got no reason at all to kill him.\"\n\n\"Except if maybe Dylan told him.\"\n\n\"Never. Knowledge being power and all, if Dylan's the only one who knows, and my money says he is, then he doesn't dilute it by telling anybody else.\"\n\n\"You're right.\"\n\n\"Only sometimes. But it would be nice if this was one of those times.\" Hardy pulled his Special over in front of him and poked at it with his fork. \"Hmm. Looks a little like Yeanling Clay Bowl.\" This, probably Lou's most famous and mysterious Special\u2014it didn't come in a clay bowl and no one had any idea what a yeanling was\u2014showed up on the menu about half a dozen times a year.\n\n\"You think maybe _yeanling_ could mean 'octopus'?\" Hunt asked.\n\nBut before Hardy could do anything about his latest information, he had to be sure that it was true.\n\nHe stood in the wide hallway behind Department 25 and waited, depressed as always by the sight of the shackled prisoners belching from the elevators coming down from the jail above him. Maya, over in the new jail behind the Hall of Justice, would be coming in through the back door in her personal little chain gang.\n\nHer saw her now and walked down to meet her. The months of incarceration hadn't been good to her. She'd asked for a short haircut to minimize the lack of luster brought about by the caustic soap they had in the showers, but the result was just an unkempt, vaguely butch, mop\u2014and now it was even showing signs of gray. Her skin, too, had the familiar jail pallor, although ironically she'd gained perhaps fifteen pounds with the huge servings of high-calorie jail food. And no one would ever mistake the deep creases around her eyes for laugh lines.\n\nHe accompanied her into the four-by-eight-foot cage built into the wall and connected to the back entrance to the courtroom, and the metal door clanged as the bailiff closed it behind them. This was where she waited every day, usually all alone, until court was called into session, and this is where they now both sat on the cold concrete ledge that served as a kind of bench.\n\nBraun walked by them, coming back from her lunch, in conversation with one of her judicial colleagues, and she didn't even glance in their direction.\n\n\"She's an awful person,\" Maya said.\n\n\"Yes, she is.\"\n\n\"How does somebody like that get to be a judge?\"\n\n\"Usually the governor appoints them first. Then they just keep getting elected.\"\n\n\"So the qualification is they know a governor?\"\n\n\"And probably either gave him money or helped him get it. Assuming a male governor, of course.\"\n\n\"And why wouldn't we?\" She plucked at her jail suit. \"I'm sorry, I'm just a total bitch today. I shouldn't be so judgmental. I'm sure she's trying her best.\" She sighed. \"And to think that's so much the life Joel and I bought into before all this began.\"\n\n\"What's that?\"\n\n\"You know. Fund-raising. Benefits. Helping people like her get appointed. I'm beginning to think it's really not about justice at all. I wonder what we were doing, what we were thinking, all that time.\"\n\n\"Protecting your interests,\" Hardy said. \"Your assets. And you wind up with people like Braun, and Glass, for that matter, as your gatekeepers. And they take it damn seriously. Problem is, once you're perceived of as outside the loop, you're the enemy. You're the threat.\"\n\n\"Joel's not a threat.\" Finally, some color came into her face. \"He's never done a dishonest or illegal thing in his life. And they're all over him.\"\n\n\"He's going to beat it,\" Hardy said. \"But he's going to need you beating this thing too.\"\n\nShe turned her head toward him. \"I thought that's what we were paying you for.\"\n\nHardy had heard this kind of thing before, from both husband and wife, even from Harlen, and he showed some of his growing impatience with it. \"As we've just been discussing, sometimes money doesn't get you what you think it should. Sometimes you've got to change your vision. Your idea of what you're all about. Like, for example, are you inside that big wall, protecting your assets, or are you going to just let these people take them?\"\n\n\"Me! Am I just going to just let these people take them? Like I've got any choice in what's happening here? Or out there?\"\n\nHardy put his back against the wall and turned to meet her eyes. There was no warmth in his expression. \"You've got all the choice in the world, Maya.\"\n\nShe just stared over at him, shaking her head. \"What are you talking about? I've got no choice about anything. Are you out of your mind?\"\n\n\"Maybe I am, trying to defend you with the wrong theory, the wrong motive, and you sitting there day in and day out watching me do it, letting me do it.\"\n\n\"I don't know what you're saying.\"\n\n\"Yes, you do, Maya. I'm talking about the basic fact of this case. Dylan wasn't blackmailing you because you guys sold drugs in college and, gosh, maybe people would find out. That wasn't it, was it? Although that's what you let me build our whole case on.\"\n\n\"And why would I do that?\"\n\n\"Two reasons. One, you felt guilty and that you deserved to be punished. And two, you could never tell anybody the truth. Not even your lawyer, because you can't trust him enough.\" Hardy came forward, his elbows resting on his knees. \"Okay, so enough. Now it's time. True or false, Maya. Dylan was blackmailing you because of something to do with your aunt's death, wasn't he?\"\n\nHer body gave slightly. No words came.\n\n\"What was it, Maya? Did you know who did the hit-and-run and not tell the police? Did you loan them your car?\"\n\nNow Maya's mouth went loose, her eyes glassy.\n\n\"You were there, weren't you, Maya? In the car with them.\" Hardy suddenly felt his own head go light as the probable reality hit him. \"No,\" he said. \"No, you were the driver.\"\n\nFor a long moment she regarded him as she might her executioner, then all at once a small sound came out of her throat. She hung her head and her shoulders began to heave.\n\nTears splashed like raindrops onto the floor between her feet.\n\nShe'd passed through the sobbing, though the blotched and wet effects of it remained on her face. \"What matters is that nobody in the family can know. Which means nobody at all, 'cause whoever knew would tell them.\" She let out a shuddering, unsteady breath. \"How did you find out?\"\n\n\"Serendipity,\" Hardy said. \"My investigator mentioned Tess Granat and you to his girlfriend in the same breath, and there it was. You've kept this to yourself all this time?\"\n\n\"Of course. I had to.\" Then, a hand quickly on his leg. \"And you can't tell anyone either. Ever.\"\n\n\"No. I know that. You don't have to worry about that.\" He hesitated. \"But maybe you could, after all.\"\n\nHer tortured gaze fell on him. \"If you think that,\" she said, \"you don't understand my family at all. Or me. Or any of this.\"\n\n\"What about your husband?\"\n\n\"Tell him I am a murderer? Tell him the mother of his children is a child killer?\"\n\nHardy straightened, his back stiff up against the cell wall. \"You're being too hard on yourself, Maya. It was a long time ago.\"\n\nShe shook her head. \"It's yesterday,\" she said. \"It's this morning. It's now, for God's sake. Don't you understand? I killed her. My mom's sister. Kathy's sister and her unborn child. Everybody's favorite.\"\n\n\"It was an accident.\"\n\n\"I was stoned and drunk. Both. Loaded. It was murder.\"\n\n\"And you'll never forgive yourself for it.\"\n\n\"Why should I? I did it. Would you?\"\n\n\"I don't know, to tell you the truth. Maybe after all this time I'd be tempted to start trying.\"\n\n\"Time hasn't made it go away.\"\n\n\"It might if you shared the burden of it. If you told somebody. Maybe you need absolution.\"\n\n\"I pray for it every day.\"\n\n\"It's not going to come without some kind of confession.\"\n\n\"What? Now you're a priest?\"\n\n\"Not even close,\" Hardy said. \"Just a fellow sinner like yourself. But I was raised a good Catholic. Believe me, I know how the forgiveness thing works.\"\n\n\"You ever kill anybody?\"\n\nHardy nodded. \"I was in Vietnam. I killed a lot of people.\" Including not just in Vietnam, he thought, but also the victims of the horrific gunfight he'd been part of here in San Francisco, the aftermath of which had dominated his emotional stability and career for the next three or four years. So, yes, he'd killed his share of people. And kept his share of secrets too. A plague of them, he sometimes felt. But Frannie, his children, Glitsky, Roake\u2014they all knew what he'd done, had worked through the consequences together, and that had helped.\n\nMaya shook her head. \"Vietnam was killing in a war.\"\n\n\"What? Like that doesn't count? It felt like it counted, trust me. I know it did to the families of my victims. I know it did to me.\" He drew in a breath. \"My only point is I think maybe keeping this secret has hurt you enough. Look at the power it gave Dylan Vogler.\"\n\n\"I hated that man.\"\n\n\"I'd imagine so. He was in the car with you?\"\n\nShe nodded. \"It was his car. No connection to me. He just washed it up and never told anybody. The bastard.\"\n\n\"When did the blackmail start?\"\n\n\"Not until he was out of prison, but right after that. He couldn't get any other work, not that he really tried, I don't think. He looked me up and reminded me how much I owed him for his silence.\"\n\n\"I get it,\" Hardy said.\n\n\"I don't know if you do. I don't know if anybody can.\" Her chin fell, a puppet's string cut. \"It never ends. It's just a constant weight.\"\n\n\"I don't want to beat a dead horse, Maya, so I'm only going to say it one more time. You could let it go. Let Joel in, at least. He's stuck by you through all this, and here maybe thinking you killed somebody too. He loves you. He could handle it.\"\n\nShe had her arms crossed over her chest, hunched over now, rocking on the hard concrete ledge. \"God God God.\"\n\n\"It's all right, Maya. It's all right.\"\n\n\"No. No, it's so not all right.\" Seconds passed and she slowed herself down in her movements, finally became still. \"You'd think I would have been on guard against it. I mean, it was the great myth I was raised with.\"\n\n\"What was that?\"\n\n\"Eve. The Garden of Eden. The tree of the knowledge of good and evil. That's what it all was to me back when I met Dylan. He was the serpent, just so attractive, so much wiser, I thought. Willing to try anything, you know, for the _experience_ of it. 'Here, try some of this.' And I was this kid who'd never done anything, who was just\u2014just so simple, and stupid. And you know what the real stupidity was?\"\n\n\"What's that?\"\n\n\"I really was happy.\" She looked over at Hardy, searching his face to see if he understood at all. \"I mean, before Dylan. I was a happy person, a good person. But then he'd started challenging and questioning me about everything, about who I was. 'How can you know you're as happy as you can be when you haven't even tried to experience anything outside of your well-ordered little life? Maybe you're just afraid to find out what real life is about. And if that's the case, then all your so-called happiness is just cowardice and sham, isn't it?' \" Her eyes pleaded with Hardy. \"How could I not see what he was doing?\"\n\n\"It's seductive, that's why,\" Hardy said. \"If it's any help, I doubt Eve saw it either. She just wanted the knowledge, to taste the forbidden fruit.\"\n\n\"One little taste. That's all I wanted. Just to see.\"\n\n\"Original sin,\" Hardy said. \"And so you're not the first to commit it, are you? It goes back a ways, that fall from grace. Some would say it's the human condition.\"\n\n\"But it wasn't who I was ever supposed to be.\"\n\n\"No,\" Hardy said heavily. \"No, I don't suppose it was.\"\n\n\"That's the horrible thing. And then Tess.\" Her voice broke again. \"If I could just have those days back. That day.\"\n\nJohn Greenleaf Whittier's phrase hovered in Hardy's consciousness\u2014\"Of all sad words of tongue or pen, the saddest are these: 'It might have been.' \" But he merely draped his arm over his client's shoulder and drew her in for a moment next to him. \"You've still got lots of days ahead of you, Maya. Better ones. I promise you.\"\n\nSuddenly, the bailiff knocked from the courtroom side and swung the connecting door open. Recognizing the not unfamiliar tableau\u2014a suspect wrung out with emotion, a face nearly disfigured, swollen and red from crying\u2014he stepped into the doorway and leaned over toward Hardy, asking with an unexpected solicitousness, \"Everything okay here, sir?\"\n\n\"If we could get a couple more minutes, I'd appreciate it,\" Hardy said. \"And maybe some Kleenex.\"\n31\n\n**Stier stood looking** down onto Seventh Street from the third-floor window in Clarence Jackman's office. \"You've got to be shitting me.\"\n\nJackman, obsidian black, stood six feet five inches tall and this morning had grunted in satisfaction when his bathroom scale failed to clear the two-hundred-seventy-pound marker. As always, he was dressed in a well-tailored dark suit and white shirt, today with a maroon-and-dark-blue rep tie. Ignoring Stier's profanity, Jackman spoke in his low-registered, powerful, quiet voice. \"You needed to be told right away. Get it in front of Marian, put the woman on your witness list.\"\n\nStier turned. \"Of course. Nothing else to do, really.\" He shook his head in disgust. \"This was Schiff?\"\n\n\"Apparently, although Bracco says he's just as responsible.\"\n\nAnother dismissive head shake. \"Cops. What was she thinking?\"\n\n\"I really believe she'd convinced herself it was immaterial. The woman seemed senile. Schiff didn't think you'd want some probably untrue random detail screwing up your story.\"\n\n\"I don't care about my _story_ , Clarence. I build the case out of whatever story I've got to work with. If it's got inconsistencies . . . but, hell, you know this. And it would have been nothing if I laid it out up front. Now it looks like we buried it.\"\n\n\"I know that.\"\n\nStier slammed his hand on the windowsill. \"Shit!\"\n\n\"Right. But I'm afraid there's something maybe worse, if you'd like to sit down.\"\n\nThe request clearly surprised Stier, but this was his boss, so he went where Jackman indicated and sat on the front couple of inches of one of the leather couches. \"Shoot,\" he said.\n\n\"Well, let me start out by admitting a personal bias, which I do try to leave out of my professional duties. Nevertheless, I think you may know, Paul, that Kathy West and I go back quite a way. When I first came on here, she walked me through quite a few minefields on the political side, actually was one of my informal advisers.\"\n\n\"Well, I\u2014\"\n\nJackman forged his smile of steel and held up a hand, cutting off the interruption. \"If I may. My point is that I've watched this case develop over the past few months with a lot of interest and a bit of a sense of discomfort, not only because of the inherent weaknesses in the evidence, but because of the media blitz that's accompanied all of Jerry Glass's side of things with the mayor and Harlen Fisk and your defendant's husband.\n\n\"But I never felt I had to discuss this with you because, as I say, I generally like to stay out of battles where I have a personal stake, but also because you won at the PX, so there was nothing for me to say. The court had ruled.\"\n\nJackman slid his haunch off the edge of his desk and went to sit across from Stier in his leather wing chair. \"But now, suddenly,\" he continued, \"this new wrinkle\u2014maybe there were two shots and not just one\u2014seems to undermine your basic theory of the case. This is important to me, first because it's no longer personal, and second because, contrary to popular opinion, my job\u2014 _our_ jobs, yours and mine\u2014that job is not only to prosecute. It's to serve justice. It's to find the truth of what happened. If we find exculpatory evidence, it's our duty to put it in the record, not hide it so we can go ahead and get our conviction.\"\n\n\"I'm not hiding anything, Clarence. I didn't know about this until twenty minutes ago.\"\n\n\"No, I know that. I guess my real question is how does this make you feel about this case, and about your defendant? Does it change anything for you, and if so, what?\"\n\nStier's body language\u2014hunched shoulders, flushed complexion\u2014belied the control he exerted over his confident tone. \"Strategically, I'd admit it's a pain in the ass. It's going to give more credence to this testimony than it deserves. But as to the actual facts, first, they probably don't change a lick. You tell me the woman's apparently senile, so she may or may not have heard two shots, and in any event she didn't get to Schiff and Bracco until a couple of days later. Hell, what she heard might not even have been on the morning of the murder. So do I have an issue with my basic theory? No. None. Nothing's changed.\"\n\nJackman, hands relaxed and linked in front of him, nodded. \"And Mr. Glass?\"\n\n\"Regardless of what the media's doing with the mayor and all that, Jerry's helping me make the dope case, Clarence, and that's the motive here. I know it's unusual for the feds to get involved in one of our murders, but to me the financial stuff he's got already proves the money laundering, which in turn proves her complicity with Vogler. As for the mayor . . .\" Stier met Jackman's gaze. \"She's no part of my case. Neither's Fisk. That said, their financial dealings with Joel Townshend are complicated and wide-ranging, and I don't think Jerry's out of line looking into them.\"\n\n\"Well\"\u2014Jackman stole a peek at his watch\u2014\"thanks for making the time. I see you've got to be back in court in ten minutes.\"\n\nThis was a dismissal.\n\n\"Certainly.\" Stier got up and made it to the office door before he turned. \"Thanks for the heads-up on Schiff's witness, Clarence, although I don't think she's going to make any difference in the verdict. And on the other stuff, I appreciate the candor.\"\n\nCheryl Biehl considered herself a close friend of Maya's. She'd visited her twice in jail, and Hardy knew that for a nonfamily member to brave the bureaucracy, indifference, cultural challenges, disorganization, noise, and crowds of the jail's visiting room showed a rare and true commitment and friendship. And to do so twice! Biehl's affection for Maya must be genuine. So he was happy that he wasn't going to be grilling her on her earlier testimony to Stier, testimony that had effectively painted her friend as a long-standing user and seller of drugs.\n\nHe was also marginally cheered, if slightly perplexed, by Stier's addition of a new witness, Lori Bradford, at this stage in the proceeding. Calling for a sidebar, and admitting as soon as the court had come back into session that he had only been informed of the existence of this witness during the lunch recess, Stier acknowledged that he would in all probability not actually call her. But he told Hardy and the court that a perusal of police procedures during the investigation had revealed that this woman's testimony had not made it into the inspectors' reports, and hence not into Hardy's discovery documents. Painting the oversight as little more than an unimportant technicality, Stier just wanted to preserve the sanctity of the record.\n\nHardy accepted this for the time being. He would have time to find out everything he might want to know about Lori Bradford and her testimony. And in the meanwhile he had what he hoped would be the simple cross-examination of Cheryl Biehl, where he might elicit some facts about her continuing friendship with his client that might help the jury view her in a better light in the here and now.\n\n\"Ms. Biehl,\" he began, \"in the past eight years, have you ever witnessed Maya using or selling marijuana?\"\n\n\"No.\"\n\n\"When you told her that you'd heard about Dylan Vogler selling marijuana out of Bay Beans West, what did she say to you about that?\"\n\n\"She said she was sure that wasn't happening. Dylan didn't need to do that.\"\n\n\"And about her statement regarding Levon Preslee, that 'she was never going to get out from under them.' In spite of that comment, to the best of your recollection, did she ever mention Levon Preslee to you again?\"\n\n\"No.\"\n\n\"So it was just that once, right after he got out of prison?\"\n\n\"That's right.\"\n\n\"And how long ago was that?\"\n\n\"I don't know exactly. It must have been seven or eight years.\"\n\nHardy took a beat, walking back to his table. Maya, her eyes still puffy from the crying jag, nevertheless seemed to be more engaged, less burdened somehow. He gave her a subtle nod of encouragement. And, in fact, Hardy felt he had cause for a renewed sense of hope. After all, he had two brand-new and unexpected facts with which to conjure\u2014Lori Bradford and Tess Granat\u2014and in his experience facts had always had a way of expanding concentrically, although he couldn't identify as yet the exact territory they were expanding into.\n\nNow he paused.\n\nHe'd been considering trying to use Cheryl Biehl's cross-examination as a way to give the jury some kind of a sense of the real reason that Dylan had been blackmailing Maya. Of course, this would be a very tricky strategy on a couple of levels, not the least of which because it left Maya with essentially the same motive\u2014blackmail\u2014to have killed her manager. But these, he considered, might both be mitigated by other considerations. In the first case, blackmail over the hit-and-run took Maya's purported selling of dope and its attendant moral turpitude out of the equation, and this also removed any motive for her having killed Levon. Also, in the real world, and absent Maya's confession\u2014which would never be forthcoming\u2014there was no chance of building a case for the hit-and-run, so that issue was moot.\n\nBut somehow the risk of pursuing any of this seemed suddenly too great. Hardy had his own responsibility under the attorney-client privilege to keep any hint of what he'd just learned to himself. He didn't want to play any morally ambiguous games with his fragile client on this score. He was now finally her confidant and confessor, and he couldn't betray her by not-so-subtle implications of other motivations. So all in all, though Hardy thought that getting the fundamental truth about Maya and Dylan before the jury might have its advantages, in the end he decided it was not something he could do.\n\nHe turned back to his witness. \"Thank you, Mrs. Biehl,\" he said. \"No further questions.\"\n\nAs far as witnesses went, Jansey Ticknor had opened up after they'd charged Maya back in October. In her first interviews with Bracco and Schiff she had been unforthcoming, but during the course of Paul Stier's preparations for the preliminary hearing back in November, she had come to remember quite a bit of what she couldn't seem to initially recall about Maya Townshend and her relationship to Dylan. Now Stier was seeing to it that she was laying as much of it as she could out for the jury. \"So Mr. Vogler told you about their earlier relationship?\"\n\nHardy objected on the grounds of hearsay, but as he thought she might, Braun overruled him.\n\nHearsay was one of the most flexible and confusing concepts in all of jurisprudence\u2014sometimes allowed, sometimes not\u2014and Braun's interpretation today looked like she was going to be allowing Jansey's testimony. She was buying Stier's theory that Vogler's statements were against his penal interest\u2014something so unfavorable to him that he would never have said it if it wasn't true. And this was an exception to the hearsay rule.\n\nBraun also appeared to accept Stier's argument that the statements were admissible for Vogler's state of mind, an argument so arcane that even Hardy couldn't follow it. In any event, whether it was a valid legal call or not, Braun's decision was going to be the rule in this courtroom today, and Hardy had to live with it.\n\n\"Yes,\" she said, \"they had been intimate in college.\"\n\n\"And since then?\"\n\nThis time, in frustration, Hardy held up his hand. \"Objection. Relevance.\"\n\n\"Goes to motive, Your Honor,\" Stier replied. If he wasn't going to convince the jury about the blackmail, he'd take the jilted lover as a backup position.\n\nBraun nodded in her brusque fashion and again shot Hardy down. \"Overruled.\"\n\n\"Since they finished college, then, Ms. Ticknor, did Mr. Vogler tell you that he'd had an intimate relationship with Defendant?\"\n\n\"Yes. Up till a little before he met me.\"\n\nHardy felt a tight grip over his forearm and Maya's voice sharp in his ear. \"That's a damn lie!\" Loud enough for all the courtroom to hear it, and maybe even the one next door.\n\nJudge Braun slammed her gavel.\n\nBut Maya, all but inert for much of these proceedings so far, suddenly had come alive. \"That's just not true,\" she said to Hardy, then turned the other way in her seat, toward the jury, and addressed them directly. \"That's not true,\" she repeated.\n\n_Bam! Bam!_ \"Mr. Hardy, control your client! Bailiffs.\"\n\nBut before either of the two bailiffs could get to her, Maya had turned completely around to face her husband, sitting in the row behind her. \"It's not,\" she said, \"it's not.\"\n\n\"It's all right,\" he said. \"I believe you.\" And he went to put an arm out to touch her.\n\nBut by this time the first bailiff had come up and gotten in between them, knocking Joel's arm away, looking up at Braun for instructions. And as if in response to this escalation the entire gallery seemed to erupt at once over the steady cadence of the gavel.\n\nWhen at last, after nearly a minute, a restive silence, if not true order, had been restored, Braun glared down from the bench, looking to Hardy as if she'd suddenly aged ten years. Real fright that her courtroom had so quickly gotten out of her control showed in her face, in the set of her mouth. Maybe it hadn't happened to her in a while, but whatever the reason, she had been unprepared. As Hardy's heart pounded in his ear, from one pulse to the next, Braun shifted from intimidated oldster to wrathful prelate. She wielded her gavel, randomly, it seemed, in the near silence, and then dropped the little hammer again, until the silence was complete.\n\nGathering herself, she summoned Stier and Hardy to sidebar. She spoke with an exaggerated quiet. \"Mr. Hardy, any further outburst from your client such as the one we've just all endured, and I will order her removed from the courtroom. She can watch these proceedings on closed circuit TV if she can't control herself. Is that about as clear as I can possibly make it?\"\n\n\"Yes, Your Honor.\" He could have gone on with a bit more of a floral apology but decided to leave it at that. If nothing else, his client had just achieved one of his primary objectives\u2014humanizing herself to the jury.\n\nHardy went back to counsel table and squeezed Maya's hand.\n\nStier, for his part, seemed to have enjoyed the blowup as well, for his own reasons. He would be happy to grant the defendant's humanity, too, so long as it was a humanity characterized by a hot temper and a dismissive disregard of authority.\n\nHe came back to his witness. \"Ms. Ticknor, how long did this intimacy between himself and the defendant go on after Mr. Vogler got out of prison?\"\n\n\"Until he met me.\"\n\n\"And when was that?\"\n\n\"About six years ago.\"\n\nHardy had one hand over Maya's own hand on the table and his other hand firmly holding her arm just above her elbow.\n\n\"So they broke off their relationship because of you?\"\n\n\"Yes.\"\n\nMaya leaned over and whispered to Hardy. \"Why is she saying this?\"\n\nHardy thought he might know, but this really wasn't the time to talk about it, so he shook his head very slightly and squeezed her arm tighter.\n\nBraun frowned in their direction.\n\nAnd Stier went on. \"Yet, after this breakup, Mr. Vogler kept working for her at BBW. As his domestic partner, did you know Mr. Vogler's salary there?\"\n\n\"Yes. Ninety thousand dollars a year.\"\n\nA few gasps from the gallery greeted this intelligence.\n\n\"Did your partner share with you why he was paid so handsomely?\"\n\n\"Your Honor\"\u2014Hardy showing some exasperation\u2014\"hearsay, relevance, facts not in evidence, conclusory. None of this entire line of questioning is probative.\"\n\n\"It all goes to motive,\" Stier put in, \"as will be clear shortly.\"\n\n\"Very well,\" Braun said. \"The objections are overruled. Go ahead, Mr. Stier.\"\n\nStier repeated the previous question, and Jansey nodded with some enthusiasm. \"She wanted to keep him around because she loved him. She thought she'd get him back.\"\n\n\"And how did you feel about that?\"\n\n\"I didn't like it, of course. I resented it.\"\n\n\"Did you ask him to quit his job?\"\n\n\"Several times.\"\n\n\"What reason did he give you for not quitting?\"\n\n\"He couldn't make anywhere near as much anywhere else. Besides, he could sell the marijuana out of BBW without any hassles. He had the perfect situation, he said. He couldn't be fired. She was paying him just to keep him around.\"\n\n\"So, to your knowledge, did Mr. Vogler tell you that Defendant knew about the marijuana sold out of her shop?\"\n\n\"Yes, of course.\"\n\nAnother whisper from Maya. _\"That lying bitch!\"_\n\nAnother upper-arm squeeze from Hardy.\n\nStier paused for a moment. Pure theatricality. \"Ms. Ticknor, did anything change between Mr. Vogler and Defendant in the last year?\"\n\n\"Yes.\"\n\n\"And what was that?\"\n\n\"They started up an affair again.\"\n\n\"And how do you know about this?\"\n\n\"Dylan wasn't coming home when he usually did and I called him on it.\"\n\n\"So he admitted it?\"\n\n\"Yes.\"\n\n\"And what did you do?\"\n\n\"I moved out. In with my parents.\"\n\n\"When was this?\"\n\n\"About this time last year. Say six months before\u2014before he was killed.\"\n\n\"And what happened next?\"\n\n\"After a couple of weeks, he stopped it\u2014the affair. He told me he'd made a mistake and begged me to come back to him, which I did. Mostly because of Ben. Our child. I wanted our son to have a father.\" Jansey ran a fingertip under one of her eyes, then the other.\n\n\"Yes, of course,\" Stier replied with an admirable sanctimoniousness. He turned to the jury, including them in his heartfelt emotion. Now, returning to his witness, he cleared his throat. \"After this second and most recent rejection of Defendant by Mr. Vogler, did things change at BBW?\"\n\n\"Yes.\"\n\n\"In what way?\"\n\n\"Now she wanted to punish Dylan for dropping her, to fire him, but he couldn't let her do that. He had too much stuff going on at the store. He couldn't let it go.\"\n\n\"So what did he do?\"\n\n\"Well, mostly he threatened to tell her husband about the affair, and also some of the stuff they'd done in college.\"\n\n\"In other words, he started blackmailing her.\"\n\n\"If you want to call it that. Yes.\"\n\n\"Thank you.\" And turning, he said to Hardy. \"Your witness.\"\n\nIn spite of Maya's outburst both she and Hardy had known the gist of Jansey's testimony before she'd gone onto the stand\u2014they had heard a similar version of it during the preliminary hearing. Hardy had hoped that much of Jansey's testimony would never in fact be heard by the jury because so much of it was hearsay.\n\nWell, that would show him.\n\nBut against the urge to hope, he was always prepared. Taking some pages from his binder, he walked up to his place in front of Jansey, handing them to her. \"Ms. Ticknor,\" he began, \"do you recognize these pages which I've just handed to you?\"\n\nShe glanced down at them, turned them over. \"Yes. They're transcripts of the talks I had with the inspectors.\"\n\n\"You've had a chance to read them and to compare them to the original tape-recorded statements that you gave police?\"\n\n\"Yes.\"\n\n\"And they are a full and complete record of those interviews?\"\n\n\"Yes, they are.\"\n\n\"Ms. Ticknor, you've just told Mr. Stier that you knew that Mr. Vogler was blackmailing the defendant, right?\"\n\n\"Correct.\"\n\n\"And you're absolutely sure about that?\"\n\n\"Yes.\"\n\n\"Now, Ms. Ticknor, I'd like you to turn to page two and read to the jury the highlighted section.\" Jansey looked down, found the place, and read in a shaky voice. _\"If he was blackmailing her, he could have just asked for a raise, and she would have had to give it to him, right_? _\"_\n\n\"Thank you. For the jury's benefit, Ms. Ticknor, the _him_ and _her_ you use refer to who?\"\n\n\"Dylan and Maya.\"\n\n\"Good. So you were asking the inspectors a question about _if_ Dylan were blackmailing Maya, isn't that so?\"\n\n\"I guess so, but\u2014\"\n\nHardy cut her off. \"So, Ms. Ticknor, if it is true that you knew at the time that Dylan was blackmailing Maya, why did you have to ask the inspector something that you already knew?\"\n\n\"Well, I\u2014\"\n\n\"Let me ask you again. Did you know for a fact that Dylan was blackmailing Maya?\"\n\n\"Well, I don't see how he could have\u2014\"\n\n\" _Ms. Ticknor_. Excuse me. Yes or no? Did you know for a fact that Dylan was blackmailing Maya?\"\n\n\"Well, yes, he told me.\"\n\n\"But is it correct that you have no explanation for that passage in the transcript that you just read?\"\n\n\"No. I guess I was just confused.\"\n\n\"Thank you.\" Hardy kept right on. \"Now you have just testified that Dylan told you that he was not afraid of Maya because he could tell her husband about their affair and she needed him for the marijuana business. Isn't that right?\"\n\n\"Well, yes.\"\n\n\"Thank you. Now I'd like you to read another short excerpt from the transcript of the same interview. Page four, please, the highlighted section.\"\n\nAgain, the witness found the spot and began to read: \" _'You're right, though, about him not being afraid of her, or of losing the job.'_\n\n_\" 'But he never talked about why?'_\n\n_\" 'The most he ever said was that she owed him.' \"_ She looked back up at Hardy.\n\n\" 'The most he ever said was that she owed him.' Are those your words?\"\n\n\"Yes.\"\n\n\"And you are referring to Dylan and Maya again, right?\"\n\n\"Right.\"\n\n\"So you're saying that the most Dylan ever said about not being afraid of Maya, or of losing his job, was that she owed him?\"\n\nAgain, a querulous, uncertain nod. \"I guess so.\"\n\n\"This isn't a guessing game, Ms. Ticknor. Again. Either that's what you said or it wasn't. Which is it?\"\n\n\"Okay, that's what I said.\"\n\n\"The most Dylan said about not being afraid of Maya was that she owed him, is that it?\"\n\n\"Yes.\"\n\n\"Yes.\" Hardy turned to include the jury. \"But you just testified that he said a lot more than that, didn't you?\"\n\n\"I don't know what you mean.\"\n\n\"You just testified that he said he could blackmail her for two separate reasons. Would you agree that that's different from that she owed him? Do you agree or not? Yes or no?\"\n\n\"Well, that's what I meant.\"\n\n\"And how often did you have these conversations?\"\n\n\"A lot of times.\" She took her plea directly to the jury. \"Just when we talked. It was just stuff he told me.\"\n\n\"But when?\" Hardy persisted. \"If you didn't know about any of this when you spoke to the inspectors, after Dylan was already dead, when could you have talked about it with him?\"\n\nJansey threw an agonized glance over at Stier. \"I don't know. I'm not sure. But we did. I'm sure we did.\"\n\nThe point made, Hardy left it. \"One last short reading, if I may. The highlighted section in the middle of page five.\"\n\nBy this time her voice had shrunk to a near-whisper, but she found her place. _\" 'Did he say what she owed him for?'_\n\n_\" 'It wasn't like we really ever talked about it.' \"_\n\n\"It wasn't like you really ever talked about it. That would be you and Dylan, correct?\"\n\n\"Yes.\"\n\n\"Just one more thing, Ms. Ticknor. Tell the jury what the police found in the attic of your home.\"\n\n\"What do you mean?\"\n\n\"I mean about a quarter million dollars' worth of marijuana. That's what I mean.\"\n\n\"Well, yes, the marijuana was up there.\"\n\n\"And that's the marijuana that you have just told us Dylan was selling in Maya's business?\"\n\n\"Yes.\"\n\n\"So naturally, you've been arrested and charged with having a very large stash of marijuana growing for sale in your house, haven't you?\"\n\n\"Well, of course not.\"\n\n\"But you've just told us you knew it was there?\"\n\n\"Yes.\"\n\n\"Growing in your house?\"\n\n\"Yes.\"\n\n\"Providing the money that supported, at least in part, you and your child, right?\"\n\n\"Well, I never took any dope money.\"\n\n\"But the fact remains, you've never been arrested for or charged with possession of any of that sizable stash of marijuana. Did you ever discuss that possibility with the police?\"\n\n\"Well, yes, they told me I wouldn't get in any trouble.\"\n\n\"Let me refresh your recollection, Ms. Ticknor, as to the order in which these conversations took place. First, you told the police you knew very little about what had happened, and nothing about the marijuana upstairs. Correct?\"\n\n\"Well, that was my first statement.\"\n\n\"Then, more than a week later, after police told you that you could go to jail for a very long time if they connected you to Dylan's marijuana business, you recalled information that incriminated Maya Townshend. And then the police told you you wouldn't be charged for the marijuana upstairs. Isn't that pretty much the way it went?\"\n\n\"Well, okay, but it's not the way you make it sound.\"\n\n\"Thank you,\" Hardy said. \"No further questions.\"\n32\n\n**It wasn't as though** the media had lost interest in the trial, and today's testimony sent the scribes and pundits scurrying from the courtroom to their telephones and keyboards to report on the newly revealed allegations of Maya's infidelity, her subsequent rejection, and the added motivation this would certainly have given her to have murdered Dylan Vogler.\n\nAll this was, for example, on the evening news, which Hardy and his partners, over drinks, were watching on the huge TV they'd had installed in tasteful cabinetry on the back wall of the Solarium. Although as soon as the broadcast was done, Hardy hit the remote and turned the television off. \"Never mind that none of it happened,\" he said, \"though I hate to quibble.\"\n\nFarrell, drinking espresso, was more or less back to being his old self, reconnected with his girlfriend, Sam, getting his hair cut with some regularity. Since it was after business hours, Phyllis had gone home, so Wes was comfortable enough coming downstairs with his dog and wearing his T-shirt, which today read \"Eternity: Smoking or Nonsmoking.\"\n\n\"You live to quibble,\" he said to Hardy. \"Quibbling gives meaning to your life, as anyone who knows you will surely attest.\"\n\nGina Roake sipped her Oban, neat. \"Are you sure?\" she asked. \"None of it happened?\"\n\n\"Okay, when they were in college. But not since. Sorry, but I believe Maya.\"\n\n\"So Jansey just perjured herself?\" Gina asked.\n\nHardy, in trial mode, took a pull at his bottle of water and nodded. \"All over the place.\"\n\n\"Why?\"\n\nWes chuckled. \"I love when you ask that, Gina. Like perjury's a surprise.\"\n\n\"I'm not surprised so much as disappointed it keeps happening. And what's in it for Jansey is, I guess, what I'm getting at.\"\n\n\"I think, first, mainly,\" Hardy replied, \"is she's in no-man's-land and this is her ticket out. Early on, Stier or Schiff or somebody probably told her something like, 'We're not interested in how much you knew about Dylan's dope business, or what you got out of it, or if you're still in it. We're interested in Maya killing him, and if you can help us out on that, we'll just conveniently forget about the rest.' So she's heavily motivated to give them something. And what better than a bunch of stuff Dylan supposedly said to her, which no one can ever check or even refute? It's perfect. And she probably thinks Maya did it anyway, that is if Jansey didn't do it herself . . .\"\n\n\"You think that's possible?\" Gina asked.\n\nHardy shrugged. \"Somebody did. Jansey's alibi's squishy at best. She's got a new boyfriend already, probably had him before. She's one of the best bets to have gotten her hands on the gun. But, though I hate to say it, Maya still doesn't look too bad for it either.\"\n\n\"Attaboy.\" Farrell had a strong and, it must be admitted, oft-justified prejudice that the client was always guilty. \"Don't wimp out on that now.\"\n\n\"Don't worry. I'm pretty secure, although I admit there's a small chance I could still be swayed.\"\n\n\"By what?\" Farrell asked.\n\n\"Oh, I don't know. A new fact or two.\"\n\n\"Well,\" Farrell said, \"that's not going to happen, not at this stage.\"\n\n\"Actually, it might,\" Hardy said. \"In fact, maybe it already did.\" He told them about Lori Bradford, new to Stier's witness list. \"I've already sent Wyatt out to talk to her, see what she's got to say.\"\n\n\"What's in the police reports?\" Gina asked.\n\nA rueful grimace. \"It seems they never got around to writing it up.\"\n\n\"You shock me,\" Farrell said.\n\n\"I know,\" Hardy agreed. \"It's rocked my worldview. But the fact remains, she's got to have something to say or Stier wouldn't have made such a fuss about getting her on the witness list. Even if he's not going to call her. He's hoping I'm going to let her slide too.\" He smiled at his two partners. \"But I'm afraid I'm going to let him down on that. At least until I know what she's got, or not.\"\n\nSeven-thirty P.M., killing time until Craig Chiurco's expected arrival, Hardy sat at his desk. As was his habit, he was reviewing his files, hoping something among this amorphous mass of kindling might spark. The files now ran to four thick black three-ring notebooks, into which he'd crammed, in some semblance of order, forensics reports, police reports, interview transcripts such as those he'd used with Jansey in the courtroom today, photographs, private notes of Schiff and Bracco\u2014the endless accretion of litigation.\n\nAt last, having reviewed his notes on Jansey's testimony\u2014forty-seven pages' worth\u2014for the second time, he closed the binder and leaned back into his chair. Though part of him yearned to recall her to the stand and pick apart individual strands of her testimony that he'd left unaddressed that afternoon\u2014which was, after all, most of it\u2014he also realized that he'd succeeded in doing his main job, which was discrediting her so that all of her testimony was suspect. Besides, he couldn't ignore his gut feeling, his pure instinct, that there was nothing in her perjured story that, were the truth known, would likely change any juror's opinion about Maya's guilt. The basic facts remained\u2014whether Maya had had an affair with him or not, Vogler had been blackmailing her, she'd been paying the blackmail (which meant she was guilty of _something_ ), she'd gone down to BBW and over to Levon's.\n\nWhy? Why? Why?\n\nJansey was undoubtedly lying, but lying for all of her own, probably very good, reasons. In the end he believed that nothing she said was going to make any real difference.\n\nHardy got up, walked first over to the window where he looked down on Sutter Street, then came around to another recessed cabinet on the wall across from his desk, this one holding his dartboard. He opened the doors of the cabinet and slid them back into wherever they went, then grabbed his tungsten beauties from their slots and retreated to the dark cherrywood throw line in his polished white oak hardwood floor.\n\nTwenty. Double twenty. Five.\n\nFrom the board to the line.\n\nOne. Five. Twenty. Then one, one, five. Another four or five lost rounds\u2014terrible, atypical shooting\u2014before he finally rang up twenty, twenty, twenty.\n\nOkay.\n\nLeaving those darts where they'd landed, he lifted himself back onto the desk.\n\nChiurco, again in his coat and tie, sat in a wing chair across from Hardy in the more informal of the two seating arrangements in the office. He seemed nervous, so Hardy did the initial lifting. \"So. Levon Preslee.\"\n\n\"Okay.\"\n\n\"Remind me. How did his name come up in the first place?\"\n\n\"Wyatt had put me on Dylan's old robbery conviction. He thought there might be some tie-in to whatever he was using to blackmail Maya. Or, even better, we might turn up somebody else who wanted to kill him.\"\n\n\"So how'd you get to Preslee?\"\n\n\"I just did a Web search. I found Vogler. That gave me the robbery in 1997. And there's his codefendant, Levon. So I run him on the Web and find out he's working for ACT. You're not going to believe this, but he's also listed in the phone book. I figure he works in the theater, he's probably home during the day, so I drove out there. I didn't even know that Wyatt had run across him, too, until I heard about that from you guys.\"\n\n\"You didn't call him first?\"\n\n\"No, sir. I thought in case he wasn't right with all this stuff, I might get better answers if I caught him off guard.\"\n\n\"So then what?\"\n\n\"Then I get into his lobby, and there's this woman standing there at the door.\"\n\n\"How'd you know it was Maya? Had you met her before?\"\n\n\"No, but she's our client. I saw her picture in the paper. It was her.\"\n\n\"As it turns out, you're right.\"\n\n\"But anyway, I didn't know what she was doing there, or what I should do, so I just stood there for a minute.\"\n\n\"Then what?\"\n\n\"Well, she told me he wasn't home, and walked out past me. Mr. Hardy, honest to God, I think she was jiggling the doorknob like she was trying to get in, but I got there a split second too late, and I can't be absolutely positive. But really, that's what I think I saw.\"\n\n\"Well, then, if that's the best you can do for us, then that's what we're going to go with. At least it's something. If I call you to testify, don't try to improve it. That's what you've got to say. Got it?\"\n\n\"Got it.\"\n\n\"Okay, then. So write it up just like that and sign it, because if I decide to call you, I'll need to give the discovery to the DA.\"\n\n\"Cool.\"\n\n\"Okay, then. Have a good night.\"\n\n\"You too.\"\n\n\"She's an old lady,\" Wyatt Hunt said, \"but I don't know where they got senile.\"\n\nHardy had remembered to call home and tell Frannie he didn't know when he'd be in\u2014common enough during trials\u2014but at the same time he'd remembered that he'd also forgotten to eat. So when Hunt had checked in after his meeting with Lori Bradford, saying he was at his own office just around the corner on Grant, Chinatown's main street, preparing to go out to grab some Chinese, Hardy invited himself along.\n\nNow they sat on high stools, sharing a tiny two-top in the front window, the only two customers, eating shrimp and pork and no sign of souvlaki lo mein \u00e0 la Lou the Greek's. A good thing.\n\n\"So what's her story?\"\n\nHardy chewed and listened while Hunt laid it out. For all of its simplicity the implications, Hardy realized, might be enormous\u2014nothing less than a complete restructuring of the theory of the case. More importantly, there was no set of facts he could imagine that would be consistent with Maya having been involved in this two-shot scenario.\n\n\"No,\" he told Hunt, \"think about it. There's only one shot from the supposed murder weapon, right? Right. So what did she do, shoot once\u2014at what? Dylan? Some kind of warning shot? Unlikely. But the main thing is if there's that second shot from the one gun, the magazine would have been light two bullets, and it wasn't, just one. And to get back to that one, she would have had to reload. And that's just plain absurd.\"\n\n\"Stier's going to say it didn't happen, period. He'll even use your own argument of no evidence. No second casing, no second slug, no nothing. It didn't happen. It was a backfire.\"\n\n\"Yeah. Right. I know. But let's pretend for a minute.\"\n\n\"All right. So what do you see?\"\n\n\"Got to be two guns.\"\n\n\"Two?\"\n\nHardy, into it, put down his chopsticks. \"Whoever came to shoot Dylan had his own gun and knew Dylan carried, so he stuck him up at gunpoint for the other gun first.\"\n\n\"Why? Why didn't he just shoot him, bang?\"\n\n\"He knew him. Maybe first he thought they could talk it out, whatever their differences were. Maybe Dylan tried to stall him somehow.\"\n\n\"So they had a meeting planned? With Maya too?\"\n\nHardy shook his head. \"I don't have that one figured yet. How would this woman, the one you saw tonight\u2014\"\n\n\"Lori.\"\n\n\"Right. How would she be on the stand?\"\n\n\"Pretty good, I'd say. Sincere and smart. Knew exact times for the shots and remembered the day and date even after all this time. She's no dummy, Diz.\"\n\n\"So. What is it? Did Stier just not believe her? I mean, why leave her out up front instead of trying to find some way to explain her story? And, PS, it's pretty easily explained, as you've already done about a minute ago.\"\n\n\"He might not have known about her.\"\n\n\"Till when?\" Then Hardy pointed a finger, recalling the tense lunchtime gathering at Lou's with Glitsky and Jackman and the inspectors. \"Maybe lunchtime today, huh?\"\n\n\"The thought crossed my mind, to be honest.\"\n\n\"This could do it,\" Hardy said. \"For the verdict, I mean.\"\n\nHunt popped a shrimp. \"It might,\" he said, then cocked his head with a question. \"Is there something else? Besides the verdict?\"\n\n\"There's who really did it, Wyatt. If it wasn't Maya. And if there were two guns . . .\"\n\nThe idea set back Hunt in his chair. \"Well, now,\" he said, and stared out the window into the misty street. \"An innocent client? Wes swears that never happens in real life.\"\n\n\"I know. He'll be devastated, but he's been wrong before.\"\n\nAfter a minute, Hunt came forward again, elbows on the table. \"But so, on the other thing, I've been dying to know what you found out.\"\n\n\"What other thing?\"\n\n\"Tess Granat? The hit-and-run? I Googled it after lunch.\"\n\n\"Thank God for Google,\" Hardy said, really wishing that Hunt hadn't brought this up again. \"Everything that's ever happened, there it is.\"\n\n\"Except Dylan Vogler. His early life, at least.\"\n\n\"What do you mean?\"\n\n\"I mean that except for the few days right after he got shot, I think our friend Dylan might be the only human being Google hasn't found and chronicled.\"\n\n\"You looked?\"\n\n\"Diz. Google's half my life, maybe three quarters. It's where you look first. Which brings us back to Tess Granat, who was very real and very chronicled. So what'd you find out?\"\n\nHardy picked up his tea and blew on it. \"Nothing.\"\n\n\"Nothing? She wouldn't say, or what? Even if she wasn't involved, she must have known all about it.\"\n\nHardy could see there wasn't anything to do but come clean. \"It was a privileged conversation, Wyatt. I can't talk about it.\"\n\nHunt broke a smile. \"Diz. Dude. I'm your investigator. I'm covered by the privilege.\"\n\n\"Well, just because I can tell you doesn't mean I should. And don't think it doesn't break my heart.\" Hardy put his cup down, moved on. \"But, listen, I don't know if we're going to need that anyway. This Lori Bradford, as I said, might do it all by herself. We've got to get her subpoenaed.\"\n\n\"As our witness?\"\n\n\"Absolutely. And ASAP, I think.\"\n\nHunt took a small notebook from his jacket pocket and made a note. \"I'll have Craig come by your office for it in the morning.\"\n\n\"That'll work,\" Hardy said. \"I'll make one out first thing and leave it with Phyllis. Give the boy some meaningful labor, work through his problems.\"\n\n\"Well, I'm hoping he's over them. Kids, you know. Love.\"\n\n\"I've heard of 'em both,\" Hardy said.\n\n\"Anyway, if Craig doesn't show, I will. Don't worry. And I got Lori on tape tonight, anyhow, for what that's worth. It's back at the office, locked up.\"\n\n\"Excellent.\" Hardy put away the last bite of pork and looked at his watch. Quarter to ten. Blowing out heavily, he shook his head. \"Sometimes I think I'm getting too old for these things anymore.\"\n\n\"Trials?\"\n\n\"Not just trials. Murder trials.\"\n\n\"I thought they were the fun part, when lawyers felt most alive.\"\n\nHardy gave him a look. \"Uh-huh. Only in the sense that when you're suffering, at least you know you're alive.\"\n\n\"Well, there you go.\"\n\n\"There you go,\" Hardy said.\n\nBut suddenly, Hardy realized as he was driving home that the confluence of the two new facts he'd only discovered today\u2014the two-shot scenario at the alley behind BBW, and Maya's involvement with the death of Tess Granat\u2014had, much against his will and inclination, pushed him not just over the line into doubt about his client's guilt, but into a near certainty that she might in fact be innocent.\n\nThe key element regarding Tess Granat, which he and Hunt had hinted about at lunch today, was simple and yet profound. Dylan Vogler had known about the accident and had been blackmailing Maya about it since he'd gotten out of prison. Hardy could believe\u2014and in fact had believed\u2014that his client had all the motive in the world to have killed Dylan. She'd also had means and opportunity.\n\nWhat had changed in the Tess Granat scenario, which had the rather significant advantage of being true, was that to Hardy's mind, it completely eliminated Levon Preslee from the picture. He'd already gotten his one favor, his job, from Maya, and maybe even through Dylan. But that had evidently been enough. That job had worked for him, for a new start on a different life. And in any event, that favor, or whatever it was, had been years before. There was no record or even sniff of a record that Maya had seen or spoken to him in eight years before she suddenly went over to his apartment on the day he was killed.\n\nAgain\u2014why?\n\nBecause Levon had called her?\n\nIn just the same way that Dylan had called her?\n\nOr had someone else called her? Either or both times?\n\nSomeone who was connected to both Dylan and to Levon in the present, and who might have had dealings with them in the past as well?\n\nPaco.\n33\n\n**At ten-fifteen** , long after everyone else except the downstairs guards had left the building, Harlen Fisk sat holding a Glock .40-caliber semiautomatic weapon, the twin to his sister's, in his office upstairs in City Hall. Harlen had bought both the guns at the same time, while he was still only a couple of years into his service with the police force. As was the custom, when Glock came out with the new model, they'd offered it at a discount to active-duty cops, in the hope that cops would come to favor the gun and entire cities would order it as the on-duty weapon for their police force. In fact, he'd insisted on buying Maya's for her after they'd had an early robbery at BBW. You needed a weapon if you owned a store in the Haight, even if you weren't planning to use it. It was good for peace of mind.\n\nBack in those days Dylan's time in prison hadn't seemed to weigh so heavily on everyone. Not even to a cop like Harlen. They'd all known each other when Dylan and Maya had been in college, Harlen the older brother, not yet a cop. Sometimes they all smoked dope together, had some laughs. Then Dylan had done something truly dumb, and got caught. But he'd paid for it, and now he was working with Maya, doing a great job. Harlen never considered that he'd go back to crime. Why would he? He didn't need it.\n\nSo he'd bought the guns, the Glocks. Harlen hadn't even known or cared about the ballistics quirk\u2014that fired bullets from this model couldn't usually be traced back to a particular gun\u2014until he'd heard about it at trial.\n\nHarlen's office wasn't large, and most of it was filled with the old-fashioned desk and free-standing bookshelves that lined the wall to his right. To his left the view out his large windows across Van Ness included a glorious stretch of San Francisco's somewhat grandiose architecture\u2014the Opera House, Performing Arts Center, and War Memorial. Behind him a framed rogues gallery of himself posing with various other politicians and celebrities\u2014his aunt Kathy, of course, Bill and Hillary, Dianne Feinstein, Robin Williams, Dusty Baker in his Giants uniform\u2014offered mute but compelling testimony to his own popularity and success.\n\nHarlen had made it, in a somewhat tortuous route, and in the most cutthroat of fields, almost to the very top. At least to the city's top\u2014and after that, who knew how far he could go? He'd been a supervisor now for seven years, after starting out as a clerk in Kathy's office just out of college about seven years before that. Through his aunt Kathy's tutelage and influence he'd joined the PD as a uniformed patrolman, and rose quickly, finally making it all the way to homicide for a few months before finally quitting and jumping over to the political side, starting with the low rungs of community activist work\u2014soup kitchen and homeless shelter service on the one hand; victims' rights advocacy, a natural with his police background, on the other. Mix in a couple of stints on various visible boards\u2014the National Kidney Foundation, Friends of the San Francisco Public Library\u2014and a term on the school board, and then Kathy moved up to mayor and he ran for and won her seat on the Board of Supervisors.\n\nAnd now here he was, gun in hand, wondering if it was all going to end.\n\nThe immediate problem was Cheryl Zolotny. No, Biehl now. Sweet sweet girl, and hot hot hot when she'd been younger. In fact, she was still more than easy to look at, and in other circumstances he might have found himself falling into those bedroom eyes\u2014eyes that he'd once known well\u2014over lunch.\n\nBut not today.\n\nToday her testimony about all those years ago with Maya simply had made Harlen realize how at risk he still was. This was a woman who'd not only known him, she'd done drugs with him. And so, okay, it had only been marijuana. Lately, and in spite of his long-term support of the medical marijuana laws and parlors in the city, he'd come to appreciate how much trouble a little pot could get people into.\n\nIf only Dylan hadn't been wearing that backpack . . .\n\nBut he had.\n\nAnd now Cheryl, from out of nowhere, had suddenly returned full-blown into the picture. Not that she was, so far as he knew, out to get him in trouble in any way. In fact, at lunch she'd been nothing if not inviting, even downright flirtatious, in spite of her marital status. Making noises about how flattered she was that he\u2014a very important man now, in his exalted position\u2014that he even remembered her from back when they'd fooled around a little, when she'd been just a kid.\n\nBut what if she talked to somebody, some reporter, anybody really? There was nothing more true about Harlen's business than the fact that you couldn't hide. He took it as a truism as universal as Murphy's Law that a politician with a damaging secret somewhere out in the ozone was a finished politician. It would come out\u2014the fact that he'd known Levon too. Hung with him.\n\nHe kept asking himself, so what? So what?\n\nAnd the simple answer was that he didn't know the consequences\u2014from petty to profound\u2014if the people already hounding him about these forfeiture issues got any more to chew on. No matter what, he thought, it would mean more headlines, and not the good kind. It was one thing to help a poor black kid get a job at ACT after a stretch in prison, but quite another to have partied with him and his doper friends and your own murder-suspect, dope-dealing sister. And even if it wasn't a career-breaking matter to the general public, it would be to Kathy.\n\nIt could finish him.\n\nAnd Cheryl knew all about it. And, yes, she'd told him that of course if it was important to him, she'd keep all that old stuff to herself. But what if . . . ?\n\nWhat if?\n\nHe looked down at the gun in his hand. What did he think he was doing with that? Had he come down here thinking that his career, his life, was really so close to over, that perhaps he was really going to kill himself? What about Jeannette and the kids? What would they do without him?\n\nHe had to relax. After all, nothing had happened yet. Maybe nothing ever would. And Cheryl had promised him that she'd keep it between them forever. Just like their other secrets from when they'd dated. She'd never betray him. She understood everything he'd told her and agreed that it was important.\n\nSuper important, she'd actually said. And the insipid, Valley girl adjective had brought back one of the other realities about Cheryl the ex-cheerleader. She had been hot hot hot, no doubt, but also dumb, dumb, dumb. Super dumb.\n\nWas she too dumb to understand what she knew? Or should he try to contact her again? Set up an appointment.\n\nMake it clearer.\n\nRobert Tripp, in his scrubs, came out of the bathroom, peeled off his surgical gloves, and dropped them into the trash can in Jansey's kitchen. \"I think I got it all.\" He started running the water in the sink, soaping up his hands. \"But that was not a pretty job.\"\n\n\"Thank you,\" she said. She sat at the kitchen table, a glass of wine in front of her. \"I owe you. I just couldn't handle that tonight.\"\n\nTripp turned. \"What if I wouldn't have been here?\"\n\n\"I would have quarantined the bathroom and forbidden flushing until I could call the plumber.\"\n\n\"You could always do it yourself.\"\n\nShe made a face. \"I do a lot of good-mother stuff, Robert. I really do. But putting my hands in that\u2014\"\n\nTripp held up his hands. \"Gloves, then soap. Does wonders.\"\n\n\"Did he use the whole roll, you think?\"\n\n\"Most of it. Looked like it, anyway.\"\n\n\"Yuck. I'm sorry. But yuck.\"\n\n\"Lucky you got me.\" He dried his hands and came to sit down across from her. \"But other than that, Mrs. Lincoln, how'd you like the play?\"\n\nShe drank off about half her glass and shook her head. \"It's been a tough day, if you want to know. Tough all the way. I look at Maya sitting there across from me, and she looks so harmless, really, so pathetic almost. I think she'd been crying before she came into court. Then I feel like such a beast, somehow.\"\n\nHe reached across and put his hand over hers. \"She did it, hon. I thought we were pretty clear about that. No matter what she looks like.\"\n\n\"I know. I know. But there's just all this other stuff.\"\n\n\"What other stuff?\"\n\n\"You know. The insurance, when they're going to pay out, whether the cops are still going to come after me for something about the business.\"\n\n\"Didn't they say not?\"\n\n\"Well\"\u2014she shrugged\u2014\"if you believe them. But I never signed anything, so I guess they still could.\"\n\nTripp stood up and came around the table, pulling up a chair next to her. He put his arm around her shoulders and drew her toward him, kissed the hollow of her neck, and held himself there for a moment. \"You're just worrying. I love you.\"\n\n\"I just think what if it's not her?\"\n\nHe pulled away. \"But it is her. Who else would it be?\"\n\n\"I know. I know. But it was just way different actually facing her and saying all that stuff out loud. And I also know\u2014don't think I don't\u2014that once she's convicted, it's way better for us.\"\n\n\"Hey,\" he said gently, \"we're cool. We don't have to worry about us.\"\n\n\"But I do. I mean, if he calls me back again.\"\n\n\"Who's that?\"\n\n\"The defense guy. Mr. Hardy.\"\n\n\"What about him?\"\n\n\"Well, he didn't even ask about us.\"\n\n\"Why would he?\"\n\n\"Well, you know, because . . .\"\n\n\"Because we're an item?\"\n\nShe turned to him. \"Not because we're an item, now, Robert. Because we _were_ an item. I mean, then. That's never come out, and if it does . . .\"\n\n\"Then what?\"\n\n\"I don't know. But something, I'd think.\"\n\n\"Why?\"\n\n\"Because it gives me a reason . . .\" She blinked back the starts of tears.\n\nHe pulled her again to him, his hand on her neck, whispered into her ear. \"You're just worn down, Janz. It's been a long haul, that's all. And it doesn't matter if you've got all the reason in the world to have done him\u2014which, by the way, you did . . .\"\n\n\"Don't say that!\"\n\n\"All right. But the fact remains, it still doesn't matter, since I said you were here.\"\n\n\"But I _was_ here.\"\n\n\"Of course. But me saying it makes you really here, with an actual alibi, as they call it. You know what I mean.\" He put a finger under her jaw, gently. Lifted it so that she was looking at him. \"We've talked all about this. Lots of times.\"\n\n\"I know. I'm being stupid, I guess.\"\n\n\"Not so stupid.\" He kissed her. \"But really really cute, all upset the way you are.\"\n\nShe pouted, shook her head. \"I don't feel cute.\"\n\n\"I bet I could fix that in about five minutes.\"\n\nShe stared past him through the window into the darkness outside. \"He never asked me about us at all,\" she said.\n\n\"That's because you and me, we're not what this is about. This is about Maya killing Dylan, and helping the prosecution prove it. That's all it's about.\"\n\n\"You're really sure?\"\n\n\"I'm positive, hon. Absolutely positive.\"\n\nRuiz thought it would have been downright irresponsible, since they had the program in place and working smoothly, to simply abandon the business just because Dylan was gone, along with his steady supply of quality sensimilla. The other long-term employees at BBW weren't likely to find any other job that gave them a monthly bonus even close to what Dylan had paid them for their loyalty and cooperation and Ruiz was, of course, ready to step in almost immediately once the heat just after the shooting had dissipated.\n\nNow, near midnight, Ruiz was in his ten-year-old Camaro crossing Golden Gate Park's panhandle at Masonic, on his way to tonight's meeting with his new source\u2014actually his old friend, Jaime Gutierrez, but who knew he was dealing weed until you looked around?\u2014and pick up some product for the upcoming week. Tuesday was always the night, and earlier on Jaime had left him a text message on his cell with the always different address, same as usual.\n\nSo Ruiz had shut down BBW at ten o'clock and swung by his apartment on Parnassus, where he'd picked up his eight thousand dollars cash, which he knew was way too much to be carrying around normally, but it was only once a week and had to be done. He also grabbed the old funky revolver, a six-shooter actually, that Jaime had sold him once they'd done the first couple of deals and it had looked like it was going to keep working.\n\nOf course, Ruiz knew that having a gun hadn't done any good for Dylan, but that's because Dylan had gotten complacent over time. Everybody at BBW knew where he kept it at work and how he carried it in his jacket's inside pocket whenever he was moving either product or money or both. And he was really, at base, such a trusting guy. Made a lot of money, gave a lot of it away, a sweetheart.\n\nRuiz was smarter. Nobody at BBW knew he even had this gun. Or when he moved the money in and out. Or, especially, when or where he scored his product.\n\nAlthough, he had to admit, this was the area of the business where Dylan had shown a talent for organization and control, and Ruiz was planning on emulating that model once he could get himself into a bigger crib where he could grow his own in quantity, the way Dylan had done in his attic. Which had meant that Dylan didn't have to go to these weekly buys that always felt a little sketchy. Dylan hadn't had to buy; he only sold, and that made everything so much cleaner. Even after all their years together Ruiz never figured out where he'd stored the cash in or around the store. No one ever knew when he'd show up with the product, or leave with cash.\n\nSo, the lesson to take home from that\u2014keep all your logistics to yourself, as Dylan had done. The thing to watch for, Ruiz knew, was one of the other guys in the shop getting ideas that he could take over if Ruiz disappeared. Just as Ruiz had. Dylan had never considered that possibility, or at least never showed it if he did.\n\nOh, well, times changed. Lives changed.\n\nAnd now in his new life, Ruiz parked on Turk down by Divisadero\u2014the whole area darkened now since this neighborhood, the outer Fillmore, tended to be underserved by the Department of Public Works. Streetlights were not the biggest priority here\u2014it was hard to say if, in fact, there were any other civic priorities either.\n\nLocking the car, checking for foot traffic\u2014none\u2014Ruiz heard hip-hop loud from a block or two away. The wind was light but very cold, and Ruiz pulled his parka up over his chin, hands in its pockets, around his gun in one and his money in the other, and checked doorways until he got to the address and stopped.\n\nIt was an old-style apartment building, four stories. The lobby shimmered under dull ceiling fluorescents, their coverings yellowed with age and neglect. Ruiz tried the front door.\n\nWhich was open.\n\nHow Jaime found these places, he didn't know.\n\nA large gray cat sat in a litter box just under the mailbox and from the smell, Ruiz was pretty sure it wasn't the only animal that had relieved itself nearby. Maybe even some humans.\n\nHe was looking for 3F, so he pressed the single elevator button, but it didn't light up. He only waited twenty seconds or so before he gave up and turned for the stairway. The second floor was dimmer than the lobby, but somewhat to his relief the third was brighter. Sweating now with nerves and the exertion of the climb\u2014he _had_ to get going making his own garden grow\u2014he turned out of the stair-well and walked back to 3F, where he knocked twice, then once.\n\nSpy shit. He chuckled at it. Ridiculous.\n\nAnd in a moment the door opens and here is Jaime, happy as ever, slapping his five, mellow, without a care in the world. Ruiz took a last look behind him on the landing, then stepped in and Jaime closed the door behind them, threw the dead bolt.\n\nAn adequate apartment, if a little small\u2014maybe one of Jaime's girlfriends'. Living room, dining room, kitchen. Furnished in Goodwill, but not bad. Tasteful.\n\nTheir usual protocol was they had a beer or two and caught up, exchanged money for product, made sure they were good for the next week, and said good-bye, and this is what they did now. The whole thing took twenty minutes, tops.\n\nAnd then they were saying their good-byes. Jaime was throwing back the dead bolt, starting to open the door, when suddenly it exploded in on them and they were being backed up by two guys in big parkas. Each carried a gun, pointed straight at Jaime and Ruiz. Both guns had extensions on their barrels.\n\nThe two parkas advanced, but didn't back up their targets for long, maybe a step or two.\n\nThen they opened fire.\n34\n\n\" **I know you're awake. Pick up.** \"\n\nIt was still dark out, 5:42 A.M., and Hardy was having his morning coffee and reading the front-page story in the paper about his day in court yesterday, when Jansey Ticknor had implicated his client in a long-standing and, he was sure, completely spurious affair with Dylan Vogler. For not the first time\u2014and though he already had some marginally serviceable answers\u2014he was asking himself why she had perjured herself so thoroughly and wondering if he had anything to gain by calling her back to the stand and taking her head off.\n\nBut at the sound of Glitsky's voice, these cogitations fled and he leaned over and grabbed the receiver. \"This isn't what we call a reasonable time.\"\n\n\"You're in trial. I know you're up.\"\n\n\"Frannie's not in trial.\"\n\n\"I didn't call that phone.\"\n\n\"You've got all the answers.\"\n\n\"Got to. I'm a cop. People depend on me.\"\n\n\"Actually, I'm glad you called. I was going to check in with you today about Lori Bradford.\"\n\n\"I figured you would someday, but that's not what I called about. Do you know who Eugenio Ruiz is?\"\n\n\"Why do you ask?\"\n\n\"Diz. Don't play games with me, please. Of course you know who he is, right?\"\n\n\"BBW. The new manager.\"\n\n\"Right. Except now he's the new dead manager.\"\n\n\"Oh, my God, poor Eugenio.\"\n\n\"I don't know, Maya. Maybe not so poor.\"\n\n\"So what does this mean?\" she asked him. They were next to one another at the table in the glass-block-enclosed attorney visiting room. It was still a few minutes short of eight A.M. \"Besides that, after this, now we're definitely closing the place down. We should have done it before, but Joel wanted to make a stand against Glass. So you're telling me they were still selling dope out of there.\"\n\n\"It looks like it. At least Eugenio was.\" Hardy shrugged. This was by no means the most important issue of the day, nor the most unexpected. \"Dylan had the whole system set up, everybody who worked there probably in on it. It makes sense somebody kept it going.\"\n\n\"Do they have any suspects? I mean for who shot him.\"\n\n\"No. It's way too soon for that.\"\n\n\"I hope Joel has an alibi. If he found out that Eugenio was dealing again after all we've been through, he would have killed him.\"\n\n\"Let's not mention that to anybody, okay? But it wasn't Joel, even without an alibi. There were two different-caliber bullets, so it looks like two shooters. What it looks like, classically in fact, is a dope rip. Somebody followed somebody to where the money and the dope changed hands and just started blasting away.\"\n\n\"That happens over marijuana?\"\n\n\"Every day, Maya. Every day.\"\n\n\"It seems so strange. Remember when we were younger?\"\n\n\"I wasn't young when you were, but I know what you mean.\"\n\n\"It's so hard to imagine. I mean, a little grass was like nothing, no big deal at all, and now these people are dying over it.\"\n\n\"It's illegal. So it's prohibition all over again.\"\n\n\"They ought to just legalize it.\"\n\n\"That's a different discussion which I'd love to have with you someday. But let's not make the argument when you get on the stand. How's that?\"\n\nThe comment clearly offended her. \"I'm not stupid, Diz.\"\n\n\"Not even close, Maya.\" He pushed his chair back a little from the table, crossed one leg over the other. \"But you asked me what the killing of Ruiz meant for us. I'd like to pretend that Braun or maybe Stier will see this as the next step in a turf war that began with Dylan and Levon, and one that you couldn't have been involved in, so they'll just decide this whole prosecution and trial is a mistake and let you go. But unfortunately, that is not happening, not in a million years.\"\n\n\"So. What's left?\"\n\n\"What's left is a guy named Paco, who Eugenio maybe could have identified, and now definitely can't.\"\n\n\"Paco?\"\n\n\"Ring a bell?\"\n\n\"Well, actually, yes.\"\n\nHardy sat back with a little thrill of surprise and pleasure. \"Tell me you know him and where he lives and you could pick him out of a lineup.\"\n\nShe bit her lip. \"None of the above, I'm afraid. But I do know that name. He was a friend of Dylan's. And Levon's, too, for that matter.\"\n\n\"All dead guys now, you notice. When did Paco know them? Back in college?\"\n\nShe nodded. \"Sometime back there. Evidently they were all kind of the in crowd before I became part of it. You know, Dylan and his pals always doing this crazy, dangerous stuff. And this kind of legendary guy named Paco.\"\n\n\"So what happened to him? You never met him?\"\n\n\"No. He was supposedly gone by the time I showed up.\"\n\n\"Dropped out, transferred, what?\"\n\n\"No idea, really. Maybe he wasn't even in school with us, was just kind of a hanger-on. Except, you know, I'm pretty sure Paco wasn't his real name. It was more like a nom de guerre. Sometimes I got the feeling it was somebody we all actually knew. I mean still knew, and still hung out with. It was just like Dylan to wrap it all up in a mystery and be the one keeping the big secret. Sound familiar?\"\n\n\"You think Dylan might have been blackmailing him too?\"\n\n\"I don't know. I kind of doubt it.\"\n\n\"Why?\"\n\n\"Well, I think first, he didn't need to. He had me. And second, if you don't have a weak and guilt-ridden person like me you're dealing with, blackmail can be a little dangerous. I mean, you'd better know your mark. You threaten to expose the wrong thing about the wrong guy, and the guy goes, 'Uh, no. I think I'll kill you instead.' You know what I'm saying?\"\n\n\"I do. And Paco wasn't weak or guilt-ridden?\"\n\n\"Evidently not. His toughness was why he was legendary. He was a real player. He used to go out with Dylan and Levon, like I did later, but was . . . well, he wasn't just a tagalong. They supposedly hit this liquor store once and the clerk pulled a gun and Paco shot him dead.\"\n\n\"This was a different robbery than the one Dylan and Levon went down for?\"\n\n\"Yeah. Before I'd even met them. But when Dylan told me about it, I thought he was just bragging, making it sound like they were such romantic studs, sticking up places, these fearless kind of Robin Hood guys, getting money from these liquor stores and buying our dope with it, which they shared with everybody. How did I ever get involved with people like that? I just don't know how that happened.\"\n\n\"Maybe by doing robberies with them?\"\n\n\"You make it sound way worse than it was. It wasn't anything strong arm. It was more just intimidation to get stuff we wanted. Three or four of us putting the press on somebody, that's all. It was mostly just other kids and their dope.\"\n\n\"You just took it from them?\"\n\nShe didn't answer, looked down at the floor.\n\n\"At gunpoint?\"\n\n\"No! Never with a gun. Dylan wouldn't use a gun after Paco. Said you couldn't predict what would happen and didn't want another mistake.\"\n\n\"Dylan thought it was a mistake, then? Using a gun.\"\n\n\"Oh, yeah, definitely. He saw it as the reason Paco stopped hanging with them. And that really bummed him out. One less guy he had power over.\"\n\n\"So Paco checked out because . . . ?\"\n\n\"Maybe he grew a conscience about the guy he shot. The way I heard it was Paco hadn't planned to kill anybody. It was all kind of a lark that suddenly went bad.\" She looked askance at Hardy. \"That's the way it happened with Dylan. You started messing around with him and doing crazier and crazier things until you did something awful that you didn't mean to do at all. Just one moment of frailty falling in with these guys, and then somehow later you are in just completely the wrong place you never really meant to be. Me and what happened with Tess. Levon. Maybe this guy Paco, I don't know.\"\n\nIt appeared that Stier wasn't going to let himself be sidetracked by the discovery of Lori Bradford or the murder of Eugenio Ruiz. He had three other witnesses tentatively scheduled to appear whose testimony, Hardy knew, closely adhered to that of Cheryl Biehl's about Maya's collusion with both Dylan and Levon in the marijuana business in college.\n\nBut since Stier had skipped from Biehl straight over to Jansey Ticknor, Hardy thought he was probably going to abandon any more discussion about Maya's distant past. Everybody in the courtroom probably believed by now that his client had dealt drugs in college. What Stier had to get to next was her current involvement in Dylan's operation, and to that end, as soon as Braun had taken the bench, he called Michael Jacob Schermer.\n\nSchermer, in his mid-sixties, might have been an athlete in his earlier life, or even still a long-distance runner in this one. Tall, thin, white-haired, and very well dressed for the courtroom in a light green Italian suit, he projected a quiet confidence as he took the oath and went to the witness chair.\n\n\"Mr. Schermer,\" Stier began, \"what is your profession?\"\n\n\"I'm an accountant.\"\n\n\"And for how long have you been in accounting?\"\n\nSchermer, genial, sat back to enjoy the experience of testifying, which he'd clearly done many times before. He broke a small smile that he shared with the jury. \"About forty years.\"\n\n\"And have you developed a specialty over these years?\"\n\n\"Yes, I have. It's called forensic accounting.\" Again, bringing in the jury. \"It's kind of like a superaudit, with a lot of computerized analysis and other bells and whistles, if you want to put it in lay terms.\"\n\n\"And you are licensed in this field?\"\n\n\"Yes. I am licensed and accredited as a CFE, or certified fraud examiner.\"\n\n\"And what do you do in this line of work?\"\n\n\"Well\"\u2014Schermer shrugged\u2014\"as the name implies, I'm basically trained to identify fraudulent business practices or financial transactions, embezzlements, misappropriation of assets, questionable bankruptcies, and so on.\"\n\n\"And how do you do that?\"\n\n\"Well, it gets a little complicated.\" Here he paused for the jury and gallery to chuckle with him. \"But basically I analyze both physical and computerized accounting records to document I and E to\u2014\"\n\n\"Excuse me, Mr. Schermer, what is I and E?\"\n\n\"Oh, sorry. I live in a world of jargon, I'm afraid. I and E is income and expenses. So I basically analyze I and E and movement of assets. I also reconstruct I and E to find hidden or illicit income. Stuff like that.\"\n\n\"Money laundering?\"\n\n\"Yes. That's more or less my subspecialty.\"\n\n\"Good. Thank you. Now, Mr. Schermer, have you had occasion to examine the financial records of Bay Beans West for the six months ending November first of last year?\"\n\n\"Yes, I did.\"\n\n\"And did you discover accounting irregularities?\"\n\n\"I did.\"\n\nHardy, sitting back in his chair, knew that this was not going to be a high point for the defense. His only early hope had been that the financial testimony itself would be so dry and technical that the jury's interest would flag after five minutes or so. But Schermer's chatty and agreeable style looked like it was going to trump the material itself. A quick glance at the jury verified this view.\n\n\"Could you summarize these irregularities for the jury?\"\n\n\"Well, there wasn't just one kind.\"\n\nHardy thought he might as well get in a lick or two if he could, and he objected. \"Nonresponsive, Your Honor.\" And much to his surprise Braun sustained him. Irrationally buoyed by the tiny decision, he straightened in his chair, pulled his yellow legal pad over in front of him, perked up. But only slightly.\n\nStier turned back to the witness. \"Starting from what you consider the most significant irregularity, can you tell the jury what your analysis uncovered?\"\n\n\"Well, I always start in this kind of a retail business with the cash register, since it will have a record of the primary sources of income.\"\n\nFor most of the next two hours Schermer put on a pretty compelling course\u2014complete with charts and graphs and regressive analyses of cash flows\u2014that to Hardy's perspective, and he was sure to the jury's, proved that BBW was not run, to say the least, according to strict adherence to established accounting procedures. It wasn't simply the personal checks that Maya had written to cover expenses or the lack of traceable reimbursables. During the course of his testimony, in the six months before Dylan Vogler's death, Schermer identified no fewer than sixty-seven individual transactions\u2014cash in or out, payroll discrepancies, simple checking errors, food and beverage cost, and use analysis\u2014that painted the business, and of course Maya as its owner, in at best an unflattering light.\n\nAnd at worst, of course, as a sophisticated criminal.\n\nAnd all this before it got personal. \"Mr. Schermer.\" Stier had put away the latest graph and now stood again in front of the witness in the center of the courtroom. \"At the time of Mr. Vogler's murder, what annual salary was he drawing as manager of BBW?\"\n\n\"Ninety thousand dollars.\"\n\nThough jurors had heard about the salary before in Stier's opening statement, still this number seemed to nearly knock a couple of the jurors out of their chairs, and sent a ripple of noise through the gallery as well.\n\nStier, knowing he was on to some juicy testimony, pressed ahead. \"And what was the approximate gross income of the coffee shop over the past fiscal year?\"\n\n\"Well, going on the tax records the business filed, the shop brought in, gross, four hundred sixty-one thousand ninety-two dollars and fourteen cents.\"\n\n\"Now, Mr. Schermer, was the salary of Mr. Vogler typical of other employers working similar jobs in the same business?\"\n\n\"No. It was approximately double the city average.\"\n\n\"Double. And were other employees at BBW similarly compensated, in terms of multiples of the city's average pay for those jobs?\"\n\n\"No. They made about the norm, which was essentially an hourly rate slightly above minimum wage.\"\n\n\"Let's take the assistant manager, for example, Mr. Schermer, an employee named Eugenio Ruiz. Did he work for an hourly rate, or was he on salary?\"\n\n\"He was hourly, making twelve dollars and eighty cents an hour, plus tips. About five hundred dollars a week at forty hours.\"\n\n\"So two thousand a month, about twenty-four thousand dollars a year? As opposed to Mr. Vogler's ninety thousand dollars?\"\n\n\"Yes, that's about right.\"\n\n\"Mr. Schermer, in your professional opinion, was Mr. Vogler's salary as a percentage of the coffee shop's gross income defensible as a viable business practice?\"\n\nHardy knew he could object, but also knew that it wouldn't do him any good. Schermer, with the credentials of a recognized expert witness, was allowed to give his opinion. The jury didn't have to believe it, but the court would permit the testimony. He sat, his hand on Maya's arm, and both of them seethed.\n\n\"No,\" Schermer said. \"It was an irregularity of a dramatic nature.\"\n\n\"So would the business running on this model be sustainable over the long run?\"\n\n\"In my opinion, no. Not given the business's gross income and this salary.\"\n\n\"And as a forensic accountant, does this type of irregularity raise a red flag for you of a certain kind of financial malfeasance?\"\n\n\"Yes, it does.\"\n\n\"And what is that?\"\n\n\"Most commonly, it would be money laundering.\"\n\n\"Could you explain to the jury how that works?\"\n\n\"Certainly.\" Schermer turned in his chair to face the panel. \"Let's say that there is an unreported source of illicit income in a coffee shop such as BBW, such as the sale of marijuana, for example. An employee can ring up any number of coffee drinks on the cash register and not actually pour any of these drinks. So that in the course of a day you might have an extra two or three hundred dollars, or more, or less, on the till. Then you simply supply the cash into the register that you've made on your illicit business and entered as regular coffee income, and it becomes part of the business's legitimate cash flow. Now the dirty money is so-called clean, or laundered, money, and since you can account for the income, it can be redistributed as dividends, profit sharing, or salary.\"\n\n\"Or salary,\" Stier repeated, loving this. And so, it seemed, was the jury. \"Now, Mr. Schermer,\" he went on, \"is there any way to reliably identify the existence of this sort of money-laundering scheme?\"\n\n\"Yes, there is. That's what my work essentially entails.\"\n\n\"Can you explain?\"\n\n\"Well, in our example above, I think we can all see that there is actually less coffee poured than there is a record of. So by comparing the amount of raw coffee beans actually bought by the business with the income that would be produced by the sale of that coffee, cup by cup, we can pretty accurately determine if there is a discrepancy.\"\n\n\"And did you find such a discrepancy in your analysis of BBW?\"\n\n\"Yes.\"\n\n\"And to what extent?\"\n\n\"Well, based on the actual amount of coffee beans bought, by weight\u2014we've seen this on one of our graphs, if you remember\u2014the maximum gross income from the sale of coffee drinks over the past fiscal year should have been no greater than about three hundred and seventy thousand dollars, as opposed to a reported four hundred and sixty-two thousand.\"\n\n\"So, a difference of ninety-two thousand dollars? Almost precisely Dylan Vogler's salary?\"\n\n\"That's correct.\"\n\n\"Thank you, Mr. Schermer, no further questions.\" He turned to Hardy. \"Your witness.\"\n\nBut Braun interrupted. \"Mr. Hardy, as it's getting close to noon, I suggest we hold off beginning your cross-examination until after our lunch recess. Is that acceptable to you?\"\n\n\"That's fine, Your Honor.\"\n\n\"All right, then.\" Braun tapped her gavel. \"Court's adjourned until one-thirty.\"\n35\n\n**Stier might have** simply decided to ignore the Ruiz murder as a factor in Maya's case, but as head of homicide, Glitsky could not do that, even if he was of a mind to. Which he most assuredly was not.\n\nOver the past several months, while Abe had been perpetually brooding over his son's accident and ultimate prognosis and his own karma, Hardy had grown unhappily accustomed to his new, low-affect persona, to the point that now\u2014meeting with him behind a curtain in a private booth at Sam's\u2014the full flower of evident rage emanating from his friend's demeanor struck him as perhaps actually dangerous. To Abe's own health, maybe, but more to his inspectors, the source of this anger.\n\n\"And, if you can imagine,\" he was saying with a guttural intensity, \"now Schiff is all bent out of shape because I didn't put them on Ruiz. After what they've done to Vogler and Preslee, they should be happy they're not busted down to robbery, or even patrol. Learn a few of the basics over again.\"\n\nHardy smeared butter on some sourdough. \"Maybe you could drop by the courtroom after we're done here and share some of these thoughts with Braun. She needs to hear them.\"\n\n\"I'm not saying your client's innocent, Diz.\"\n\n\"No. Of course not. You just asked me here to talk secretly because no one else would have lunch with you. And I can't say that I blame them. Although I'm a little surprised about Treya. You'd think, being your wife and all, she'd at least feel sorry for you.\" He popped the bread into his mouth. \"Why did Schiff want Ruiz? And Bracco, too, I assume.\"\n\n\"Why do you think?\"\n\n\"Obviously, because it's BBW again. And if that's the case, they've got doubts about Maya.\"\n\n\"No, they don't. Not even one. Don't even ask them.\"\n\n\"How about you?\"\n\n\"Not so much doubt about Maya, Diz.\" Glitsky tipped up his water glass and chewed some ice. \"I just don't know how they moved the case even this far along.\"\n\n\" _You_ don't know? I know. It's Jerry Glass and Schiff. They got the whole thing out of whack. As a righteous murder, much less two, it hasn't made any sense from the beginning. Not that Maya couldn't have actually done these guys, but there's never been any case, evidencewise. You know this.\"\n\n\"Well, at least I'm thinking it now. I just wonder what else is going to pop that's going to make the detail look even more incompetent.\"\n\n\"You mean like Lori Bradford?\"\n\n\"Close enough. Have you talked to her?\"\n\n\"Not yet, but Wyatt Hunt did. I put her on my witness list, which is great for the good guys, but not for you.\"\n\n\"Schiff and Bracco knew all about her and decided she wasn't important.\"\n\n\"That's what I gathered. I think, though, she might be.\"\n\nGlitsky sat back as the tuxedoed, ultimate professional waiter drew back the curtain and took their orders\u2014Hardy's every-time-he-came-here sand dabs and a Crab Louis for Glitsky. When he'd gone, a small silence settled, until Hardy said, \"So. You didn't invite me down here to help me get Maya off.\"\n\n\"True.\"\n\n\"So?\"\n\n\"So the bottom line is the case is starting to look like a loser for us. Certainly the Preslee side.\"\n\n\"As it should be.\"\n\n\"Okay, granted, maybe. That's the problem when things start out so sloppy and get all political.\"\n\n\"I'm more or less aware of that, Abe. What do you want?\"\n\nGlitsky took a beat. \"I want to know if you've got something I need to know on Ruiz.\"\n\n\"Like what?\"\n\n\"If I knew, I wouldn't need to ask, would I?\"\n\n\"If I do know something, how's it going to help my client?\"\n\n\"It probably won't.\"\n\nHardy broke a grin. \"Wow, you really make it tempting. What do you have so far?\"\n\n\"Essentially, nothing. If he hadn't worked at BBW, we'd be at absolute zero.\" Glitsky chewed another piece of ice. \"As you may have surmised, this goes a little up the food chain.\"\n\nHardy considered for a second, remained deadpan against the urge to show his surprise and pleasure. \"Kathy?\"\n\nA nod. \"Backstage, of course, and always deniable. But through Clarence, then Batiste.\" The DA and the chief of police, respectively. Serious high-level pressure from above. \"Her mayorship has made her case, especially after hearing about this Lori Bradford fiasco yesterday, that somehow a solid investigation into another BBW-related murder will set Maya free. I'm not so sure of that. It might help on Vogler, though I think she's going down for that, and she won't need it on Preslee. But whatever, Kathy thinks Ruiz is going to open a door, and she's more or less dared us to do something on it, and fast, or maybe a head or two will roll.\"\n\n\"Yours?\"\n\n\"Not impossible. Maybe even the chief's too. Who, you remember, serves at the mayor's pleasure.\"\n\nThe waiter knocked, opened the drapes, and delivered their plates. As the curtain closed, Hardy said to Glitsky, \"So where were we?\"\n\n\"Kathy West and Eugenio Ruiz.\"\n\nHardy forked a bite of fish, taking his time. Finally, he made his decision and came out with his answer. \"I might have something.\"\n\n\"Might. I like that.\"\n\n\"I knew you would. Hence my careful locution. I might have something if you've got something to trade.\"\n\n\"Probably not. But what?\"\n\n\"If you find something based on what I give you, I want it too.\"\n\nGlitsky didn't hesitate an instant, shaking his head from side to side. \"I can't do that.\"\n\n\"Fine.\"\n\n\"Diz.\"\n\n\"No argument, Abe. You can't do it, you can't do it.\"\n\n\"You mean if it helps your case?\"\n\n\"I mean whatever.\"\n\n\"I can't. You know I can't.\"\n\nHardy chewed and swallowed. \"Not my issue. My issue is my client.\"\n\n\"What if it doesn't help her?\"\n\n\"I'll be the judge of that. Sorry, but those are the rules.\" He hesitated. \"Look, if it's any help, give it to Stier too. I just wouldn't like to see whatever it might be disappear, the way Lori Bradford did.\"\n\nHardy, by now unexpectedly hopeful at the possibility of having the resources of the entire police department working on his behalf, nevertheless didn't want to push. He had the cards here and Glitsky either would recognize that fact or not. He took a sip of his club soda, pushed some buttered capers onto his fish.\n\n\"It would be discoverable,\" Glitsky said.\n\nHardy shook his head. \"Before that. Under the table\u2014under this very table if you want\u2014but before it goes through Stier and company. From what you say, Jackman's going to back you and so's Batiste.\"\n\n\"They're my troops,\" he said. \"Bracco and Schiff. I undermine their case . . .\"\n\n\"I get it. Though one could argue that it's already undermined and they deserve whatever happens. But again, Abe, not my problem. And, hey, what I have might be nothing.\"\n\nIt took Glitsky another full minute, maybe more, Hardy eating with gusto and apparent contentment, tasting none of it.\n\nFinally, Glitsky capitulated. \"You want me to sign an affadavit, or is my word good enough?\"\n\nHardy put down his fork. Took a steadying breath against the rush. \"There's a guy who may or may not be named Paco who knew both Levon Preslee and Dylan Vogler back in college and who showed up from time to time at BBW to buy his weed. But not since October.\"\n\n\"May or may not be named Paco.\" Now dismissively. \"That's what we've been negotiating about?\"\n\nHardy shrugged. \"It's what I got, Abe. Ruiz was looking out for him.\"\n\n\"What do you mean?\"\n\n\"Ruiz was going to get in touch with Wyatt Hunt if he came back into BBW. And by the way, it looks like the whole crew down there was getting cut in.\"\n\n\"Yeah, we're assuming that. We'll be talking to all of them this time, instead of a select few. But this Paco, is he on Vogler's list?\"\n\n\"No.\"\n\n\"No, of course not,\" Glitsky said. \"He wouldn't be. How'd you find out about him?\"\n\n\"Well, Ruiz, first. Then Maya.\"\n\nGlitsky's eyes narrowed. \"She knew him too.\"\n\n\"Knew of him. The name. Back at USF. He hung out with Vogler and Preslee and\u2014maybe\u2014killed a guy in a liquor store they held up.\"\n\nThis stopped Glitsky midbite. \"Maybe.\"\n\nHardy shrugged. It was what it was.\n\n\"Where?\"\n\n\"I don't know. Except it was probably in the mid-nineties\u2014ninety-five or -six.\"\n\n\"It might have been in the papers. There would have been an investigation. Maybe a suspect.\"\n\n\"Knock yourself out,\" Hardy said.\n\n\"Did Paco know Ruiz was looking out for him?\"\n\n\"No idea. Anybody working there could have told him, though.\"\n\nGlitsky put down his fork. \"You're not making this up?\"\n\n\"Not any of it.\"\n\nAfter lunch Hardy stood and approached the forensic accountant in the witness chair, seemingly as relaxed as he'd been all morning. \"Mr. Schermer,\" he began, \"you have given a great deal of technical testimony about accounting practices, working with numbers. Are any of these numbers subject to a margin for error?\"\n\n\"Well, yes, of course. Some to a greater extent than others, but generally, yes.\"\n\n\"Referring to the analysis you offered on BBW's gross income versus the amount of raw coffee bought over the last fiscal year, would this have a greater or lesser margin for error than some of the other calculations you performed and shared with the jury?\"\n\n\"Rather on the high side, I'd think. It is, after all, an estimate.\"\n\n\"An estimate, with a margin for error rather on the high side. I see. And is there an industry standard that enumerates the margin for error in this kind of analysis?\"\n\nHere, for the first time, Schermer's face creased into something like a frown. \"I'm not sure what you mean.\"\n\n\"Well, I mean you take a certain weight amount of a raw product\u2014coffee in this case\u2014and you do an analysis that shows it takes, say, a pound of coffee to make a certain amount of cups, and then you deduce that the business didn't buy enough raw coffee to make as many cups as it claimed it sold. Isn't that the basic idea?\"\n\n\"Basically, yes.\"\n\n\"Well, then, can we assume that this type of analysis is a standard tool in the industry?\"\n\n\"In a general way, yes.\"\n\n\"With other products, you mean?\"\n\n\"Yes.\"\n\n\"How about with coffee? Is this a test with a long history of analysis and comparison with other similar tests?\"\n\n\"Well, no. This was specific to this one business. BBW.\"\n\n\"Specific to this one business? Do you mean to say that other licensed and accredited forensics accountants such as yourself, and in fact the organization to which you belong, have not established benchmarks to measure the reliability of these analyses?\"\n\n\"Well, no, not exactly, but\u2014\"\n\n\"No is sufficient, thank you, Mr. Schermer. Now, can you please tell the jury a little about the methodology you employed to measure the amount of coffee needed to make a cup at BBW?\"\n\nFinally given a chance to simply discourse on his specialty again, Schermer leaned back in the chair and faced the panel. \"Well, I gathered information from other coffee shops in the city, both chain and individually owned, and took the average of the number of cups of coffee produced from every hundred pounds of beans.\"\n\n\"How many coffee shops did you use for your comparison?\"\n\n\"Ten.\"\n\n\"And how many different kinds of beans were represented in your answer?\"\n\n\"I don't know what you mean.\"\n\n\"Well, beans come from a lot of different places. South America, Africa, Jamaica, and so on. So what kinds of beans were represented in your sample?\"\n\n\"As I recall, most of them were from Colombia.\"\n\n\"And is that the sole source of BBW's beans, Colombia?\"\n\n\"No, I don't think so.\"\n\n\"They came from all over the world, did they not?\"\n\n\"Yes, I believe so.\"\n\n\"All right. And do you know how many bags were delivered from all over the world over the course of the fiscal year to BBW?\"\n\n\"I don't know that, exactly. Perhaps hundreds.\"\n\n\"But several thousand pounds of coffee, wouldn't you say?\"\n\n\"Yes, at least.\"\n\n\"And did you test to make sure that all of that coffee had the same density? That is, approximate number of beans per pound?\"\n\n\"Uh, no.\"\n\n\"So the representative sample you used for your analysis might have been stores that used more or fewer beans to make a cup, isn't that true?\"\n\n\"I guess so. Yes.\"\n\n\"And in fact, BBW was a very popular coffeehouse, was it not?\"\n\n\"Yes.\"\n\n\"Could that popularity have been based on the flavor of its coffee? That is, that its coffee was stronger or more mild than the shops you used in your sample?\"\n\n\"I have no way of knowing that.\"\n\n\"All right, then.\" Hardy glanced over to the jury, all of whom were with him, following the cross-examination with none of the more common postlunch torpor. \"Let's talk for a minute, if we may, about the coffee made from these beans. Is there a standard BBW uses for various strengths of coffee? Strong? Medium? Weak?\"\n\n\"I used medium, which is their house blend strength.\"\n\n\"But do they serve other coffees of different strengths?\"\n\n\"Yes.\"\n\n\"Both stronger and weaker?\"\n\n\"Yes, which is why I used medium, to be about average.\"\n\n\"But do you in fact know the percentage of coffee actually brewed there that is weak, medium, or strong?\"\n\nSchermer took a breath, no longer enjoying himself at all. \"No.\"\n\n\"And what about espresso?\"\n\n\"What about it?\"\n\n\"It was a rather large percentage of the coffee sold at BBW, was it not?\"\n\n\"Yes, it was.\"\n\n\"Do you know the exact percentage, Mr. Schermer?\"\n\n\"No.\"\n\n\"And espresso is roasted differently than other blends of coffee, is it not?\"\n\n\"Yes.\"\n\nHardy, hammering the man mercilessly, decided to back off for a moment lest to the jury he come across as unsympathetic. He walked back to his desk, took a sip of water, gave half a nod first to his client and then to Joel Townshend and Harlen Fisk, sitting next to one another in the front row. He pulled his legal pad over and pretended to read from it, then turned and came back to his place in the center of the courtroom.\n\n\"Mr. Schermer, at the beginning of this cross-examination testimony, you said that your analysis of raw coffee bought versus coffee served was merely an estimate with a margin for error, isn't that true?\"\n\n\"Yes.\"\n\n\"But there is no industry standard that defines an acceptable margin for error for an analysis of coffee shops, is there? Not for this particular comparison?\"\n\n\"Correct.\"\n\n\"Would you care now to estimate for the jury, and after the questions I've just put to you, how high the margin for error could go on an analysis such as this, with different density beans, and differing strengths of various coffee drinks?\"\n\n\"I don't know if I could say.\"\n\n\"Ten percent? Twenty percent?\"\n\n\"Yes. Yes, I suppose.\"\n\n\"In fact, since there is no industry standard on this margin for error for this particular test, it could even be higher, could it not?\"\n\n\"In theory, I suppose it could.\"\n\n\"How about fifty percent? Could it be as much as that?\"\n\n\"Well, I really don't think so.\"\n\n\"You don't think so?\" Hardy repeated with just enough emphasis on _think_ to make his point to the jury.\n\n\"That's correct. I don't think so.\"\n\n\"Okay, then let's go with the twenty percent that you admit is a possible margin of error. Now, if I could just ask you for a moment to revisit the actual income numbers you gave in your direct testimony.\" Hardy went back to his desk quickly and this time brought back with him his yellow legal pad. \"You said the amount of raw coffee bought should have produced income from coffee drinks sold of three hundred and seventy thousand dollars, and instead BBW's books showed an income of four hundred sixty-two thousand dollars, isn't that right?\"\n\n\"Yes.\"\n\n\"And would you agree, sir, that twenty percent of three hundred seventy thousand dollars\u2014the margin for error we've been discussing\u2014is seventy-four thousand dollars?\"\n\n\"That sounds right.\"\n\n\"It is right, sir. Which means that, according to your own calculations, BBW's coffee drink income from raw coffee bought could have easily been as high as four hundred forty-four thousand dollars, or only sixteen thousand dollars short of the reported income, isn't that right?\"\n\nThoroughly dispirited by now, Schermer stared down at the floor in front of him. \"It sounds like it.\"\n\n\"Well, Mr. Schermer,\" Hardy said, \"given your direct testimony outlining sixty-seven simple accounting errors, does a sixteen-thousand-dollar discrepancy on a gross income of between three and four hundred thousand dollars strike you now as necessarily indicative of money laundering?\"\n\nStier started to rise, but before he could object, the witness replied. \"Not necessarily, no.\"\n\nThe judge let the answer stand, and Hardy whirled, smiling. \"No further questions.\" Stier had no redirect.\n\n\"Mr. Schermer,\" Braun said, \"you may step down. Mr. Stier, your next witness.\"\n\nStier threw a look over at Hardy, back up to the judge. \"Your Honor, the People rest.\"\n\nBraun nodded once and looked up. \"Very well. Mr. Hardy, I believe you'll have a motion?\"\n\n\"Yes, Your Honor.\"\n\n\"All right. Ladies and gentlemen of the jury, I'm going to give you a longer recess than usual. Please remember my admonition not to form or express any opinion about the case or discuss it among yourselves or with anyone else until the matter is submitted to you. Come back in forty-five minutes.\"\n\nTen minutes later, with Braun back on the bench, Hardy made his 1118.1\u2014his motion to dismiss the charges on both Vogler and Preslee. Normally, this is a pro forma motion made at the end of the prosecution case in every criminal trial. But at least as to the Preslee count, Hardy actually thought he might have something to talk about.\n\n\"Your Honor,\" he said, \"no reasonable juror could possibly convict my client, particularly of the Levon Preslee murder.\"\n\nStier defended the charges. \"In spite of Inspector Schiff's admission about the lack of physical evidence in the Preslee slaying, there is no net change in the prosecution case. Admittedly, it is light on physical evidence, but as you know there are other kinds of evidence, and they can be compelling. Eyewitness testimony, for example. Consciousness of guilt. This is circumstantial but compelling evidence.\"\n\n\"Yes, Your Honor. But the burden of proof is on the prosecution to prove not just that Maya was in the hallway, but that she was inside the apartment, and more than that, that when she was in there she killed Levon Preslee. They have nothing remotely approaching that. You don't just convict the person with a motive who happens to be closest to the scene of the crime, especially in a case like this where you have no idea who else might have had a motive. Or, for that matter, who else had been inside. I don't have to prove that Maya wasn't inside that apartment. Mr. Stier has to prove she was. And there simply is no such proof. Letting the jury consider this evidence in this count would not be only an error with respect to the Levon Preslee charge, it would inevitably taint any verdict on the Vogler count.\"\n\nHardy was pushing it pretty hard here. Normally a judge could figure that if the evidence was really as weak as the defense claimed, the jury would simply acquit as to that count, and the defense would have nothing to appeal. But Hardy was taking that out away from Braun. By tying the charges together Hardy was arguing that the judge would be tainting any verdict on Vogler, even if the jury acquitted on Preslee.\n\nSo Braun was actually going to have to make this decision or expect to hear about it on appeal later. Hardy had her in a corner and she knew it. She took in the situation with a reptilian silence, her eyes closing to mere slits. Turning to her recorder, she said, \"Ann, I'm hoping you got all that.\"\n\n\"Yes, Your Honor.\"\n\n\"Mr. Stier. Comment?\"\n\n\"Your Honor, the prosecution rejects Mr. Hardy's efforts to tie these counts together like that. Each count stands on its own, each count is supported by the evidence, and that's how the court should rule.\"\n\n\"Nobody has put Maya inside the place, Your Honor,\" Hardy said. \"You can't ask the jury to decide she was there if there's nothing putting her there.\"\n\n\"I can do what I want in my courtroom, Mr. Hardy. I could get up on my desk and do a tap dance if I want to.\"\n\n\"Yes, of course, Your Honor, I didn't mean you couldn't\u2014\"\n\n\"That's what you said, Mr. Hardy.\"\n\n\"I'm sorry, Your Honor. I misspoke.\"\n\n\"Apology noted.\" And now Braun surprised him. \"All right. Mr. Hardy, you raise a colorable point. Give me a moment, please.\" She came forward and put her elbows onto her desk, her fingers templed over her nose, her eyes closed. Finally, her shoulders heaved and she brought her head back up. \"This issue is too complex to decide on the spur of the moment. Court is in recess for another half hour. I'll have a decision for you before the jury is seated again.\"\n36\n\n**Hardy had a message** on his cell phone that Craig Chiurco was outside in the hall, having escorted Lori Bradford down on her subpoena as a courtesy\u2014service with a smile from Freeman, Farrell, Hardy & Roake.\n\nNow, with the court in recess, Hardy walked out through the gallery, accepting congratulations from Joel and Harlen and some of his associates who'd shown up as they usually did when one of the bosses was in a big trial, to see how it was done. All and sundry agreed that he had just kicked some serious ass with Schermer, and between that cross-examination, his lunch at Sam's with Glitsky, and Braun's unexpected consideration of his motion to dismiss, Hardy had to fight to keep himself from getting cocky.\n\nIt still and always was going to come down to the jury, and without another suspect for them to even consider, Maya remained in a precarious place. Hardy had to get Paco or someone like him into the testimony somehow, and now with Ruiz dead, that was going to be problematic. Maya's purported knowledge of the man was hearsay anyway, and even if it weren't, she certainly couldn't put him at BBW or with either of the victims.\n\nOutside, in the hallway, Chiurco sat on one of the wooden benches with a white-haired woman dressed in a light blue pantsuit. The two appeared to be in a somewhat animated discussion, enjoying each other's company, as Hardy approached. Seeing him, Chiurco got up and gave him his signed statement from their conversation of the night before, then touched the woman's arm and introduced her.\n\n\"Thank you for coming down on such short notice,\" Hardy said.\n\n\"Thanks to this young man for bringing me.\"\n\nHardy grinned. \"I'll see he gets a raise right away.\"\n\n\"And did you say Dismas?\" she asked. \"Dismas? The good thief ?\"\n\n\"That's him, though too few people seem to know it.\"\n\n\"I don't believe I've ever actually known a Dismas.\"\n\n\"Well, you do now. I hope it's good for you.\"\n\n\"You're cute,\" she said.\n\n\"So are you.\" Hardy sat down next to her. \"Has Craig here explained what we'd like to talk to you about in the courtroom?\"\n\n\"What I saw, or heard, that morning.\"\n\n\"You remember the date, don't you?\"\n\n\"Of course. October twenty-seventh, two thousand seven, to be exact.\"\n\n\"Exact is good. We like exact.\"\n\nHer eyes brightened with the adventure. \"And two shots. One at six oh eight or nine and one at six ten.\"\n\n\"Very good.\" He leaned in toward her. \"I was hoping to call you to be a witness pretty much right away, if that's all right with you.\"\n\n\"Of course it's all right with me. That's why I'm here.\"\n\n\"Good. Now, I've already heard what you said in your talk with Mr. Hunt, and that will be the basis of your testimony, but if you don't mind, maybe we could just take a minute here before we go inside and run over some details?\"\n\n\"Sure, of course,\" she said. \"That would be fine.\"\n\nIn spite of the glimmer of hope he'd begun to entertain about his motion to dismiss, Hardy wasn't particularly shocked, nor even greatly disappointed, when Braun came back to the bench and ruled against him, denying his motion in its entirety.\n\nStill, he was buoyed by his belief that Lori Bradford was going to be an important and powerful witness, offering a completely alternative version of the bare facts of the case. He had given some thought to the phraseology and tenor of his opening questions, wanting not only to get to this witness's information but to alert the jury to the homicide inspectors' wily and discreditable ways.\n\nNow, already having established a solid rapport with her, one that he hoped the jury would recognize as between equals\u2014as opposed to a young man condescending to a senile witness\u2014he began his questioning. \"Mrs. Bradford, where do you live?\"\n\n\"I live in a second-story apartment on Ashbury Street here in the city, on the west side of the street, right up from Haight. It's also,\" she added, coached by Hardy, \"right across the street from the alley that runs behind Bay Beans.\"\n\n\"Can you see that alley from your apartment?\"\n\n\"The first twenty or thirty feet of it, out the living room and dining room windows, yes.\"\n\n\"Now, Mrs. Bradford, do you remember anything unusual and specific about the morning of Saturday, October twenty-seventh?\"\n\n\"Yes.\"\n\n\"And what was that?\"\n\n\"At a few minutes after six o'clock I was in bed in the back of the apartment, but already awake for the day, when I heard a loud report, like a firecracker, although for some reason I remember thinking that it might be a gunshot. So I got up and was in the hallway going to the front windows and then\u2014 _bang!_ \u2014there was another one. About a minute later.\"\n\n\"And what did you do then?\"\n\n\"I got to the window and looked down into the street and across to the alley.\"\n\n\"And did you see anything unusual down there?\"\n\n\"No. Nothing. It was still pretty dark out.\"\n\n\"Did you call nine one one?\"\n\n\"Not then. No. There didn't seem to be any emergency. It was just the two noises. Although, of course, when the police cars started getting there, I realized something must have happened. By then it was too late to call nine one one.\"\n\n\"But you did eventually call the police, did you not?\"\n\n\"Yes. A couple of days later.\"\n\n\"And why was that? The delay, I mean?\"\n\n\"Well, mostly because the news reports were all saying that there had only been one shot, and I thought they'd want to know that I'd heard two of them.\"\n\n\"You heard two shots?\"\n\n\"Yes.\" Lori, God bless her, added the word Hardy had recommended. \"Definitely.\"\n\nRaising his eyebrows for the jury's benefit, he went on. \"And so you called the police to tell them about this information?\"\n\n\"Yes.\"\n\n\"And did you speak to some inspectors?\"\n\n\"Yes. Two of them came by the apartment and we talked about it.\"\n\n\"You told them about the two shots, did you?\"\n\n\"Yes, I did.\"\n\n\"And what was their comment about that, if any?\"\n\n\"They thanked me and said that the information might be enough to change the entire theory of the case.\"\n\n\"I see. And then did you hear from them soon after that?\"\n\n\"No.\"\n\n\"No?\" A pause for the effect. \"Not even back in November after they'd arrested the defendant, and they were preparing for the preliminary hearing?\"\n\n\"No.\")\n\n\"And not as this case went to trial?\"\n\n\"No.\"\n\n\"Hmm. When the inspectors did speak to you at your home, did they tell you that they didn't believe your testimony, or your eyewitness account?\"\n\n\"Objection. Irrelevant.\"\n\n\"Goes to the witness's state of mind, Your Honor.\" This didn't make a lot of sense, but Hardy had learned from the testimony of Jansey Ticknor that Braun didn't have a real good grasp of what this hearsay exception meant. He figured if Stier could use it to get stuff in, he might be able to as well.\n\nIt worked. \"Overruled.\"\n\nHardy asked permission of the judge and then repeated his question. \"Mrs. Bradford, did the inspectors tell you that they didn't believe your testimony, or your eyewitness account?\"\n\n\"No. To the contrary, as I've said, they talked about it changing the theory of the case.\"\n\n\"And yet they never called you back, or served you with a subpoena, or asked you to come down here and testify in court, correct?\"\n\n\"Objection. Asked and answered.\"\n\n\"Sustained.\"\n\n\"Thank you, Mrs. Bradford. I have no further questions.\"\n\nStier was on his feet before Hardy was back at his counsel table. \"Mrs. Bradford,\" he began, \"did the inspectors you spoke to ask you if you'd seen anything in the street on the morning of Mr. Vogler's death?\"\n\n\"Yes.\"\n\n\"And did you in fact see anything down in the street, or in the alley?\"\n\n\"No, as I've already said.\"\n\n\"Now, as to the noises you heard. Are you familiar with the sound of gunfire?\"\n\n\"No. Not particularly.\"\n\n\"In your testimony with Mr. Hardy you said that while you were in bed, you heard a report, and this is a direct quote, 'like a firecracker. ' Unquote. Isn't that true?\"\n\n\"Yes, it is. I thought it might have been a firecracker. Or a backfire.\"\n\n\"And yet you told Mr. Hardy that you definitely heard two gunshots, did you not?\"\n\n\"I did.\"\n\nAnd here Stier, in his enthusiasm and lack of respect for this witness, made his big error. \"So let me ask you this. How could you know they were gunshots?\"\n\nHardy had asked Mrs. Bradford that very question in the hall and had fervently hoped Stier would be foolish enough to ask it in front of the jury.\n\n\"Well, they were identical sounds. And we know for sure that one of them was a gunshot from the alley across the street, don't we? That's when Mr. Vogler was killed, wasn't it? Right when I heard the shots.\"\n\nRule Number One, Hardy thought\u2014you talk to every single witness yourself, every single time. Hardy saw Stier's shoulders slump as some of the jurors came forward and the import of this testimony hit home. He turned hesitantly toward the panel, stopped, came back to the witness. He finally said, \"But can you say for certain that the second sound was in fact a gunshot, and not a backfire, or even a firecracker?\"\n\nShe thought about this for a second. \"I can say for sure that the two sounds were exactly alike. If the first one was a gunshot, the second one was a gunshot. And vice versa.\"\n\nStier decided to quit before he made it worse. \"Thank you, ma'am.\"\n\nLori Bradford got up from the witness chair. \"And they really did sound like gunshots,\" she added with a believability and sincerity that cemented her complete defeat of The Big Ugly.\n\nThe three partners\u2014Hardy, Farrell, Roake\u2014and Wyatt Hunt were at the Freeman Building after the close of business, gathered around the large round table in the Solarium considering options. The overhead lighting was on full against the encroachment of the misty darkness that gathered outside the glass panes. A bottle of red wine stood open on the table, although Gina's choice was her Oban and Hunt, next to her, was having an Anchor Steam.\n\nHardy was running out of time if he wanted to get any sort of \"other dude,\" Paco or anyone else, into the consciousness of the jury. Before Ruiz had been killed, he'd half planned to call him as a witness both on the Paco question and to counter the allegations that there had ever had been anything romantic going on between Dylan and Maya. But now, of course, that option had been foreclosed by events.\n\nOther witnesses for Maya's defense were few, if any, and far between. This was why Hardy had grabbed so desperately at Lori Bradford. At least here was a real bone for the jury to gnaw at. Nothing in the prosecution's case contemplated or explained a two-shot scenario, and that fact, if taken as fact, created a glaring hole if any jury member cared to look hard in that direction. But since there was no second bullet, nor casing, nor even gun for that matter, there was no guarantee, nor even a likelihood, that this would happen.\n\nAnd as for Maya, her alibis were flimsy and unsupported. Nobody had seen her either kill anybody or not kill anybody. And there were still the huge and unresolved questions of why she had been at both murder scenes. The time, in Dylan's case, and the location, in Levon's, pretty well eliminated any consideration of the idea that she'd simply been in the respective neighborhoods. She'd gone to both places on purpose, apparently summoned\u2014or setting up\u2014the victims. And if she hadn't gone by to kill them, then why?\n\n\"I've got to call her,\" Hardy said. \"Let the jury hear her story.\"\n\n\"Maybe I'm missing something,\" Gina said, \"but what is her story? I mean, does she even have any explanation for why she was at these places?\"\n\n\"Dylan called her, and then Levon called her.\"\n\nGina sipped her drink. \"And she just went? No reason? When was the last time she'd even seen Levon?\"\n\n\"I know,\" Hardy said. \"It's weak.\"\n\n\" _Weak_ 's one word for it.\" Farrell leaned back in his chair. \"You might just want to go to argument. I mean, the theory is that they've got to prove something and you don't.\"\n\nHardy reached for his glass. \"I'd just like to give 'em something, anything at all.\"\n\n\"Well,\" Hunt said, \"there was Lori.\"\n\n\"And God love her,\" Hardy replied. \"But two shots kind of goes nowhere without another story to go with them. And that I don't have.\"\n\n\"How about Glitsky?\" Hunt asked.\n\nHardy had informed them all of his lunchtime deal with Abe, but like everything else about this case, it was looking like anything Abe could bring to the party was going to be a day late and a dollar short. \"We're supposed to talk again tonight, but if he had anything live and pressing, I think I'd have heard.\"\n\n\"Maybe you could call the homicide guys Abe put on Ruiz,\" Gina offered. \"Talk about another weed-related murder at BBW, this one while Maya's in jail and couldn't have had anything to do with it. There's an element of doubt. Something else going on, at least.\"\n\n\"That's an actual thought,\" Hardy said. \"Although Abe would have me killed if I called his guys in the middle of this.\"\n\n\"Yeah, but at least you'd be killed by professionals,\" Farrell said, \"so it wouldn't hurt much.\" He went on. \"Braun wouldn't let it in anyway. Ruiz is six months removed from our victims here. That's a tough sell.\" He took a healthy drink of red wine. \"I'm back to closing argument. You've just got to argue that there's no evidence. That's all you can do.\"\n\n\"Well, not to get picky,\" Gina said, \"but there is evidence. There's Maya's gun, her fingerprints on it, fingerprints on Levon's doorknob.\" She shrugged. \"It's not much, granted, but it's hard to explain away. Any other jurisdiction in the state, given the motives, I think she goes down. Here, maybe you'll get your one juror, but on argument alone, I wouldn't get my hopes up.\"\n\n\"Well, on that cheery note.\" Hardy tipped his wineglass up and pushed himself back from the table. \"I'm on all my phones all night if anybody gets any ideas.\"\n\n\"The clerk, I'd bet,\" Glitsky said, \"was named Julio Gomez. Twenty-four years old when he died in ninety-five. The place was Ocean Liquors.\"\n\nGlitsky, going out of his way to stop by Hardy's home, had interrupted his friend's seemingly unending perusal of his trial binders, and now, just past nine o'clock, they stood in the kitchen waiting for the microwave to beep for Glitsky's tea.\n\n\"Was there an investigation back then?\"\n\n\"No,\" Glitsky said sarcastically. \"Homicide just decided not to look into this particular murder. It seemed like too much work.\" A beat. \"Of course we opened an investigation.\"\n\n\"And?\"\n\n\"And we closed it about a month later.\"\n\n\"No suspects?\"\n\n\"Not a one.\" He pulled an envelope from his inside jacket pocket. \"I copied the file and brought it around for you, though as you can see, it's a little thin.\" Then, gesturing back to the dining room where Hardy's binders were spread out on the table, \"Not that it looks like you need much more reading material. I gather that's your case in there.\"\n\n\"What there is of it.\" The microwave's timer sounded and Hardy crossed over, took the cup out, and handed it to his friend. \"Sant\u00e9. How about witnesses?\"\n\n\"Witness. One. You can see him in there. Old Asian guy, coming out of a bar across the street, twelve-thirty on a Tuesday night. And the fog was in, evidently heavy. Plus, he'd had a few. Anyway, he heard the shot, saw somebody run out of the store, get in a car, then take off.\" He pointed down at the envelope. \"It's all in there.\"\n\n\"Yeah, but, so a driver? More than one guy? Two guys waiting in the car?\"\n\n\"He doesn't say. And I know what you're thinking, that this is your Paco.\"\n\n\"It could be. Is this the only liquor store shoot-up in those years?\"\n\n\"No. There were actually six of them, homicides. But believe it or not, we got four of the guys, all solos, although to be fair, two of 'em got shot themselves by guys they shot behind the counter, which made it a little easier. The other one was a woman, never caught. That left whoever killed this guy Gomez. Maybe your Paco, after all.\"\n\nHardy nodded with satisfaction. \"That's pretty thorough. You ought to do this stuff for a living.\"\n\nGlitsky blew over his tea. \"I'm motivated. But none of this ancient history is helping much with Ruiz.\"\n\n\"You haven't got anything?\"\n\n\"Well, we've talked to most of the workers at BBW. That's going to go on for a while. But so far, not much, just everybody shocked that Ruiz could have been involved in drugs.\"\n\nHardy chuckled. \"I can imagine. But none of this helps Maya either.\"\n\n\"I never thought it would.\"\n\nSitting at his dining room table, having already scrutinized his binders all the way through again until he was nearly blind, Hardy accepted a kiss on the cheek from his wife at around ten-thirty and told her he'd be up in a while.\n\n\"This is going to be over soon, isn't it?\" Frannie asked.\n\n\"One way or the other, a day or two.\"\n\n\"That'd be neat. I've been thinking it really wouldn't be so bad having a husband again.\"\n\n\"I know.\"\n\n\"It's why I've stayed married to you. To have a husband.\"\n\n\"I know.\"\n\nShe kissed him again. \"I'll probably still love you.\"\n\n\"Good. That'd be good.\"\n\nBut in reality barely hearing her, kissing the air in front of her face, reaching for another pass at one of the binders.\n\nNothing. Nothing. Nothing.\n\nHe closed the black binder and stood. Going back into the kitchen, he opened the refrigerator, closed it back up, cricked his back, and saw Glitsky's envelope on the counter. This Gomez killing thirteen or fourteen years ago wasn't his case, Glitsky had given him the summary, and even if it had been Paco, so what? So he'd left the envelope and gone back in to try one last time to find something in his binders.\n\nStanding at the counter, he pulled out the half dozen or so pages\u2014incident report, copies of some pictures of the deceased, autopsy, ballistics, two pages of testimony from Mr. Leland Lee, pretty much as Glitsky had described it.\n\nMore nothing.\n\nHe started through the pages again, his routine, more slowly this time. Eyes burning, he forced himself to read every line.\n\nWait a minute. Wait.\n\nHe turned back to first the autopsy, then the ballistics report. The bullet that had killed Julio Gomez was a .40-caliber. A handwritten, barely readable scrawled notation by an unidentified ballistics lab worker read: \"Probably Glock .40. Ballistics markings unidentifiable.\"\n\nOkay, he had to make some assumptions, but they seemed warranted. And what other choice did he have anyway? Somehow these long-ago and near-invisible events and relationships, he was sure, were at the heart of the case that had consumed his life for the past six months. It was all about, perhaps not Maya at all, but certainly Dylan and Levon and the mysterious Paco.\n\nBack at the computer in his family room he suddenly realized that although Hunt and Chiurco had looked into them, he himself had never really pursued any of the details in the robbery that Dylan and Levon had been convicted of.\n\nAnd why should he have? It was, at best, tangential to Maya's situation, and again in the far distant past.\n\nBut now he suddenly realized what he should have considered a couple of days ago, when he'd first become aware of the existence of Paco\u2014that if there had been a trial back then, or even a plea bargain, there would have been both witnesses for the prosecution and possibly friends for the defense, friends and witnesses whose association with Dylan and Levon might have extended back beyond when Maya had met and hung out with them, back when Paco had been in their crowd, and as a real human being, not a nom de guerre.\n\nIn fact\u2014\n\nHe pulled his legal pad around and wrote a note to call Wyatt Hunt and leave him a message and instructions for tomorrow as soon as he'd finished his computer search here. He'd just realized that Cheryl Biehl and the other three female witnesses that Stier had never called might fit into this same category\u2014of people who'd been at USF back then and had known Dylan and Levon. And who might have known Paco under his real name.\n\nBut in the meanwhile he could do a quick search for the case that had involved Dylan and Levon, and armed with that he might be able to have Hunt or Chiurco identify the actual case files, the officers involved, other witnesses.\n\nHe went to Google and typed in Dylan Vogler's name, recalling even as the short page came up that Wyatt Hunt had told him that there was little mention of Vogler on the Net other than the recent details about his death. Shifting over to California Inmate Record Search, he again entered Dylan's name and there he was, at Corcoran State Prison in 1997 for robbery. Likewise, here was Levon Preslee in the system, starting two months into Dylan's time.\n\nDid any of this mean anything? Or help Hardy in any way? Certainly, these facts told him nothing about the actual crime they'd committed together. He spent another fifteen minutes or so searching the various criminal databases to which he had access. He found Dylan and Levon in several of them. What he didn't find was any indication that they had committed their crime together, or had gone to trial together. That information had apparently vanished into the mists of time.\n\nAnd if that was the case . . .\n\nSuddenly, staring at the screen, the issue that had nagged at him for days came into focus with a startling clarity, bringing with it a jolt of adrenaline so powerful that it threw Hardy back into his chair, suddenly breathless, blood pounding in his ears. He brought his hand up to rest over his heart.\n\nThought it all through, beginning to end. It had to be.\n\nIt had to be. There was no other option.\n\nAnd, late though it was, he reached for the telephone.\n37\n\n**Hardy didn't know** if it was because of her recent, albeit clandestine, interaction with the DA and the chief of police, but for whatever reason, Kathy West with her attendant entourage was back in the first row of the gallery when Hardy entered the courtroom from the holding cell with his client. Sitting between Joel Townshend and Harlen Fisk, she had also brought her trail of reporters, and once again the gallery was filled to overflowing.\n\nIn this Friday morning's paper the mayor had gone public with her suspicions, completely unfounded by any evidence Hardy had seen or heard about\u2014and he'd heard plenty by now from Glitsky\u2014that the Ruiz murder was intimately connected to the events surrounding Maya's trial and the deaths of Dylan Vogler and Levon Preslee. And this, of course, had ratcheted up the sense that something dramatic was going to take place in the courtroom today. Something, perhaps new evidence, that would remove once and for all the Townshend\/Fisk\/West family connection from the slanders of the past several months.\n\nAnd the mayor wanted to be there for it. To show her face for her niece, if for nothing else. Kathy West didn't believe that Maya had done anything wrong, and she was going to make sure that the jury understood that clearly before they went in to deliberate.\n\nBut such was Kathy's gravity in the city that the mere rumor, much less the actual fact, of her presence again in the courtroom served also to draw in a host of the politically involved, the suddenly interested, the professionally concerned, the simply curious\u2014DA Clarence Jackman, Police Chief Frank Batiste, U.S. attorney Jerry Glass, Glitsky, even the wheelchair-bound _Chronicle_ \"CityTalk\" columnist Jeffrey Elliot. Gina Roake sat halfway back next to Wyatt Hunt, ashen-faced and presumably as sleep-deprived as Hardy himself. Catching Hardy's questioning eye, Hunt gave a short and solemn incline of his head. The entire gallery sounded to Hardy's ear like a race car, loud and thrumming at the pole. The jury, collectively, seemed to be mesmerized by the energy level, the shifting planes of volume, intensity, and nerves playing out in front of them.\n\nAt the prosecution table, and since Debra Schiff had already given her witness testimony and it was allowed, Stier had brought her back in as moral support to sit next to him, and the two of them were head-to-head in conversation as Hardy, Maya, and the bailiff crossed in front of them. And then, after a few words of forbidden greeting to her family members in front of the starstruck and forbearing bailiff, Maya was at last in her seat and Hardy was arranging his papers when the clerk entered and, clearing his throat, spoke up loudly. \"Ladies and gentlemen, Department Twenty-five of the Superior Court of California is now in session, Judge Marian Braun presiding. All rise!\"\n\nGetting three new names approved onto his witness list had entailed another small battle with Braun and Stier this morning in the judge's chambers, but in the end Hardy argued that he had discovered new evidence that, in the interests of justice, the jury would need to hear in order to reach the correct verdict.\n\nOf course, this announcement had aroused Stier's deep suspicion and ire, and he'd demanded to know the substance of the prospective testimony. Hardy acknowledged that in the first case\u2014Jessica Cunningham\u2014it was fingerprint evidence; and in the second\u2014 Jennifer Foreman\u2014Stier already had had access to everything she might know, since she was on his original witness list. Indeed, she was one of the three uncalled old college friends of Maya.\n\nFinally, Hardy said, \"You know Chiurco. He's one of my investigators. And here's what he's going to say.\" And he handed the prosecutor Chiurco's short signed statement. Stier grumbled for a moment that he should have gotten these witnesses at the beginning of the trial, but everybody knew that this was a nonissue. The witnesses would be permitted to testify. But, Braun warned him, Hardy had better be sure he was talking about introducing new evidence and not spending a lot of time rehashing.\n\nBut\u2014the bottom line\u2014he was going to be able to get it all in. And now, his palms wet, his mouth dry, Hardy lifted his exhausted body from his chair. \"The defense would call Jessica Cunningham.\"\n\nThe bailiff disappeared out through the back door of the courtroom and returned a moment later with a young woman in a police officer's uniform. She made her way up the center aisle and into the bullpen, where she took the oath and then moved around to the witness seat.\n\n\"Ms. Cunningham,\" Hardy began, \"will you tell the jury what you do for a living, please?\"\n\n\"Sure.\" She turned to look at the panel. \"I'm a technician in the police department's lab here in the city.\"\n\n\"In that capacity, do you have a special expertise?\"\n\n\"I do. I do fingerprint analysis.\"\n\n\"Identifying people by their fingerprints, is that right?\"\n\n\"Yes.\"\n\n\"And how long have you been doing that?\"\n\n\"About six years.\"\n\nFor a few more moments Hardy established Cunningham's credentials as an expert in this field. Then he began to bring it closer to home. \"Did you have occasion several months ago to analyze the fingerprints found in the home of one of the victims in this case, Levon Preslee?\"\n\n\"Yes, I did.\"\n\n\"Can you tell the jury what you found?\"\n\nOf course, this testimony had already been cursorily addressed in the testimony of Debra Schiff, but now he had the lab technician herself on the stand, and a completely different approach. Cunningham, enthusiastic and professional, nodded and again spoke directly to the jury. \"Well, as in most locations, we found many fingerprints.\"\n\n\"How many separate prints in all did you locate?\"\n\n\"Oh, maybe fifteen or so.\"\n\n\"Could you identify any of them?\"\n\n\"Yes. Six came back from the victim.\"\n\n\"Were you able to identify any of the other eight or nine?\"\n\n\"A few, yes.\"\n\n\"But not all?\"\n\n\"No.\"\n\n\"Is it unusual to find fingerprints at the scene of a crime that you cannot connect to any individual?\"\n\n\"No.\"\n\n\"And why is that?\"\n\n\"Because, first, not everyone has their fingerprints on file. Secondly, sometimes, or really quite often, the fingerprints are not clear enough to match the computerized records. And finally, there are a limited number of databases we typically use to try to get our matches. Most of the time, for example, we're trying to match a fingerprint to a known suspect, and in that case it's a simple one-on-one cross-check.\"\n\n\"Did you compare the defendant's fingerprints to the remaining unidentified fingerprints at Mr. Preslee's?\"\n\n\"Yes, of course.\"\n\n\"Trying to see if any of those belonged to the defendant?\"\n\n\"Right.\"\n\n\"And, just to restate it for the jury, you did not find any of the defendant's fingerprints at Mr. Preslee's, did you?\"\n\n\"No.\"\n\nHardy threw a gratuitous look over his shoulder at Stier's table, where he and Schiff sat in miserable proximity. \"Now, Ms. Cunningham, as far as you knew, back in November when you ran these comparisons, did you compare the unknown prints to anyone's besides the victim, Mr. Preslee, and the defendant, Maya Townshend?\"\n\n\"Yes. The other victim, Dylan Vogler, and Mr. Preslee's friend, Brandon Lawrence.\"\n\n\"So two more people?\"\n\n\"Yes.\"\n\n\"Could you identify any of your unknown prints from the crime scene to any of those?\"\n\n\"Yes. Two of those fingerprints came back to Brandon Lawrence.\"\n\n\"Leaving you with seven unidentified prints. Correct?\"\n\n\"Correct.\"\n\n\"Were you able to identify any of your remaining seven latents?\"\n\n\"Actually, we identified four of them because they were in the criminal database, which is our primary tool.\"\n\n\"So there were three that remained unidentifiable, is that right?\"\n\n\"Yes.\"\n\n\"Good. Now, Ms. Cunningham\"\u2014Hardy closing in on it\u2014\"have you had a recent opportunity to revisit the fingerprints you originally lifted at Mr. Preslee's home?\"\n\n\"Yes, I have.\"\n\n\"And when was that?\"\n\n\"Just this morning.\"\n\nHardy felt some sonic energy begin to shoot through the gallery, but he spoke over it. \"And how did that come about?\"\n\n\"Lieutenant Glitsky of homicide reached me at home this morning and asked me if I would come in early and go back to the unidentified fingerprints and compare them to a specific other single set of fingerprints from another database to see if there was a match.\"\n\n\"And was there a match?\"\n\n\"Yes, there was.\"\n\n\"You mean there was a specific individual who had left his fingerprints in Mr. Preslee's home and whom this investigation had not discovered until just this morning, is that right?\"\n\n\"That's correct, yes.\"\n\nBraun gaveled down the now nearly constant, if low-pitched, hum of the gallery. After silence had been restored, Hardy came back at the witness. \"Ms. Cunningham, did Lieutenant Glitsky ask you to review any other fingerprint findings this morning?\"\n\n\"Yes.\"\n\n\"And what were they?\"\n\n\"There was a partial fingerprint on the brass bullet casing that was picked up at the scene of the Vogler murder.\"\n\n\"A partial print? What does that mean?\"\n\n\"Actually, most prints are partial prints. It's rare on a forensic sample to get an entire fingerprint from somebody. But this print was a smaller section even than most.\"\n\n\"And can that be useful for purposes of identity?\"\n\n\"Often not.\"\n\n\"And why is that?\"\n\n\"Because it's incomplete. Certainly a computer can't read it, so you have to have the known prints of an individual, you have to do a manual comparison, and you have to find enough points of identification on the forensic sample to compare to your known prints.\"\n\n\"Now, Lieutenant Glitsky asked you to run a manual test against the known fingerprint of a single individual whose prints were in Levon Preslee's home, did he not?\"\n\n\"Yes.\"\n\n\"Did you find a match?\"\n\n\"I'm sorry. The testing is not completed. As I said, it's a very small sample and I just haven't had enough time yet.\"\n\nHardy would have given his left arm to know the final results of this test. But this was it. If he was going to spring this trap, it was going to happen right now before anyone got wind of what he was up to. He had to press ahead. \"All right. So now, Ms. Cunningham, can you give us the name whose fingerprint you identified in Mr. Preslee's home?\"\n\n\"Yes, I can.\"\n\n\"And whose fingerprint was it?\"\n\n\"One of your investigators, Mr. Hardy. A Craig Chiurco.\"\n\nWhile the bailiff went to get the next witness, Stier asked Braun if counsel could approach, and at her impatient bidding both attorneys got up and walked to the bench.\n\n\"What do you want now, Mr. Stier?\" Braun asked, clearly at the limit of her forbearance.\n\n\"Your Honor,\" Stier began, \"I haven't got a clue as to what Mr. Hardy is up to. This seems irrelevant, immaterial, and just plain a waste of time.\"\n\n\"I'm going to wrap this up, Your Honor, within the hour. Two more witnesses and I'm done.\" Turning, and hoping to provoke an already rattled Stier, Hardy smiled sweetly. \"I have to give you the discovery, Counselor. I don't have to explain it to you.\"\n\n\"That's enough, you two!\" Braun snapped, nearly loud enough for the jury to hear. \"I'm tired of this bickering. Mr. Hardy, you're going to call your witnesses and we're going to get this thing done. Return to your counsel tables.\"\n\nHardy wasted no time calling his second witness, and by now, as he approached the witness seat, his fatigue had dissipated. Jennifer Foreman had been another one of the USF cheerleaders\u2014friends of Maya and Dylan back in the day\u2014that Stier had originally put on his witness list and then elected not to call for direct testimony.\n\nLate last night Wyatt Hunt had worked his magic and, in spite of the hour, had persuaded her to talk to him. Now, on the stand, and obviously dealing with a serious case of nerves, she appeared not to have had a great deal of luck getting back to sleep in the intervening hours. Or maybe it was the fact that Hardy and Hunt had asked that she check in upstairs, then wait at Lou the Greek's, accompanied by Gina Roake, so that she wouldn't come into contact with any other witnesses until she was called to the stand.\n\nStill, she came across as poised, well dressed, competent and, always a plus, very attractive, as these ex-cheerleaders tended to be. A good, solid witness if Hardy could direct her where he needed to go. Hardy stood five feet in front of her and gave her a reassuring smile. \"Mrs. Foreman,\" he began, \"you were a classmate of the defendant, Maya Townshend, at USF in the mid-nineties, were you not?\"\n\n\"Yes, I was.\"\n\n\"Were you in the same class?\"\n\n\"No, I was a couple of years ahead of her.\"\n\n\"But you were friends, were you not?\"\n\n\"Yes, I thought so. We were cheerleaders together.\"\n\n\"And during the time you were cheerleaders, did you also spend time with both of the victims in this case, Dylan Vogler and Levon Preslee?\"\n\n\"Yes, I did.\"\n\n\"Did you ever personally witness them smoking marijuana?\"\n\n\"Your Honor!\" Stier was standing up. \"Mr. Hardy has promised us that he has new evidence, but this is all old news and irrelevant.\"\n\nBut by now, after the previous witness, Braun was fully engaged and inclined to let Hardy go on, even without a strict evidentiary base. He'd already presented compelling fingerprint evidence that Stier hadn't been able to supply, and even if the meaning of that was still questionable, there was no doubt about its possible relevance. \"The objection is overruled, Counselor. Go ahead, Mr. Hardy.\"\n\n\"Thank you, Your Honor. Now, Mrs. Foreman, should I repeat the question?\"\n\n\"No. Did I ever witness Dylan and Levon smoking dope? Yes, of course.\"\n\n\"Many times?\"\n\nHere Mrs. Foreman broke a small chuckle. \"Pretty much all the time.\"\n\nHardy let the moment of levity run its short course. \"Mrs. Foreman, how did you meet Dylan and Levon?\"\n\n\"We had a mutual friend in my class who everybody called Paco. He turned me on to them.\" She shrugged and added to the jury, \"If you'll pardon the phrase. He was kind of the leader of the other, younger guys.\"\n\n\"And this Paco, to your personal knowledge, this friend and leader of Dylan and Levon, was also a regular user of marijuana, was he not?\"\n\n\"Yes.\"\n\n\"Mrs. Foreman, you've said that everybody called this person by the name of Paco. But was that his real name?\"\n\n\"No. It was just like a street name, something he thought was cool.\"\n\n\"And you also knew him by his real name, did you not?\"\n\n\"Yes.\"\n\n\"And what name was that?\"\n\n\"Craig Chiurco.\"\n\nAgain, Hardy let the considerable tumult recede before he filled his lungs with air, glanced one last time at the assembled crowd in the gallery, and threw a look over to Stier.\n\nWho looked as though the roof had fallen on him. Now he clearly knew what was going to happen, but didn't know how to stop it, or even if he should try.\n\nHardy turned to the bench. \"The defense calls Craig Chiurco, Your Honor.\"\n\nBraun scowled for a second, wondering about the decorum in her courtroom, but eventually raised her eyes to the back of the gallery. \"Bailiff, call the witness,\" she said to the officer standing just inside the closed back door, and she opened it and disappeared out into the hallway.\n\nAfter, to Hardy, an agonizing half minute, enough time for the gallery to begin to hum again, Chiurco entered in his trademark coat and tie, looking confident and, as opposed to his bosses Hardy and Hunt, well rested. He'd been waiting with Bracco upstairs in the homicide detail for the sign that it was almost time and he should move down to the corridor outside the courtroom. Now, passing up through the bar rail, by the defense table, he proffered a quick, silent greeting to Hardy, who was already standing in his spot before the witness chair.\n\nBut Hardy, intent and self-absorbed, didn't look up.\n\nThe clerk swore him in.\n\nCraig looked expectantly at Hardy, who carefully walked him through the statement he'd prepared about their discussion two nights before. Upbeat, Chiurco gave every indication that he was glad to be testifying. \"Now, Mr. Chiurco, to backtrack a bit. Just a moment ago you told the jury that you had been assigned by your employer, Wyatt Hunt, to locate Levon Preslee, did you not?\"\n\n\"Yes.\"\n\n\"Up until that time, had you ever heard of Levon Preslee?\"\n\n\"No.\"\n\n\"To your knowledge, had you ever met him?\"\n\n\"No.\"\n\n\"And you did, in fact, locate Mr. Preslee, did you not?\"\n\n\"Yes.\"\n\n\"In a matter of hours?\"\n\n\"Right.\"\n\nHardy went back to his table and picked up a piece of paper. \"I think you told us how you found Mr. Preslee. Didn't you just say that you had done a Web search and found out that Mr. Vogler was convicted for robbery back in 1997, and that he had a partner in that crime named Levon Preslee? Does that sound about right?\"\n\n\"Yes.\"\n\n\"In other words, your employer did not tell you that Mr. Vogler's partner was Mr. Preslee?\"\n\n\"No.\"\n\n\"And why not, do you think?\" This was technically objectionable, but as Hardy had hoped and predicted, Stier remained silent, certain that Braun was not going to interrupt.\n\nChiurco's expression wavered briefly, a moment of indecision. But Hardy exuded encouragement, and Chiurco gave him his answer. \"He didn't know it, not at that time.\"\n\n\"Mr. Hunt didn't know Mr. Preslee's name, that is?\"\n\n\"Right. We just knew that Vogler had a partner in the robbery he'd committed. We didn't know who it was.\"\n\n\"So again, how did you find that this partner was Mr. Preslee?\"\n\n\"As I said,\" Chiurco still cooperative, but some exasperation breaking through the veneer, \"I did a Web search.\"\n\n\"You looked on Google or Yahoo?\" Hardy asked. \"That type of thing?\"\n\n\"Yes. I don't remember precisely which one.\"\n\n\"Do you mean you don't remember which search engine you used?\"\n\n\"Yes. There are a lot of them. Prison databases, city and county records, and so on.\"\n\n\"And looking on one of those databases, you found a site that somehow informed you about the crime that Mr. Vogler and Mr. Preslee had been convicted of, is that right?\"\n\n\"Yes.\"\n\n\"So you must have checked on Mr. Vogler's name first?\"\n\n\"That was the only name I had, so yes.\"\n\n\"And then keying off Mr. Vogler, you found a related site for Mr. Preslee, correct?\"\n\n\"Yes.\"\n\nNodding, Hardy again went back to his desk and picked up another couple of sheets of paper, then came back to the witness. \"Now, Mr. Chiurco, I have here in my hand a copy of the cover page of the criminal proceeding that resulted in Mr. Vogler's conviction and sentencing back in 1997.\" Thanking his stars for Glitsky and his access, Hardy stepped closer to the witness box. \"Would you please read for the jury the title of this case? Right there inside the bracketed area.\"\n\nNow with a bit of reluctance, Chiurco came forward and accepted the paper. \" _The People of the State of California v. Dylan Vogler_. Case number SC-137804.\"\n\n\"Thank you.\" Hardy held out his hand, and Chiurco handed him back his copy. \"And now, if you please, would you read the title of this other case, which for the jury's benefit resulted in Mr. Preslee's conviction and sentencing?\"\n\nWorking to regain a semblance of cordiality, Chiurco took the next sheet of paper. \" _The People of the State of California v. Levon Preslee_. Case number SC-139504.\"\n\nHardy again took the paper back. \"As you can see, Mr. Chiurco, and as you've just read to the jury, these are different case numbers, are they not?\"\n\n\"Yes. Obviously.\"\n\n\"Obviously. But, if these cases are indeed separate and unconnected, this leads to the question of how you referenced one of them and had it lead you to the other. Can you tell us how you did that?\"\n\nChiurco sat back, his face set, and bounced his shoulders a few times. \"I don't exactly remember. They showed up together in one of the Web sites. That's all I can tell you.\"\n\n\"And from that you got Mr. Preslee's name and then were able to find his address and go out to his house, is that right?\"\n\n\"Right.\"\n\n\"A house where you had never been before. Is that correct?\"\n\n\"Yes.\"\n\n\"A house that you'd certainly never been inside?\"\n\n\"Right.\"\n\n\"A house where police could never, under any circumstances, have found your fingerprints. Is that correct?\"\n\nChiurco's face had gone dark now, and he turned to the judge, then back to Hardy. \"What's this all about? What do my fingerprints have to do with anything?\"\n\nHardy stepped closer to the witness. And after the earlier two witnesses Braun clearly was inclined to give him his head. \"Mr. Chiurco,\" he said, \"did you not already know who Mr. Preslee was, and that he had been Mr. Vogler's accomplice in the robbery that sent them both to prison, when you received your assignment from Mr. Hunt?\"\n\n\"No, I did not.\"\n\n\"In fact, didn't you request the assignment from Mr. Hunt so that you could keep from Mr. Hunt the reality of your relationship with Mr. Preslee?\"\n\n\"No, I did not.\"\n\n\"Are you saying you did not have a relationship with Mr. Preslee?\"\n\n\"Yes, that's what I'm saying.\"\n\n\"You hadn't been to his home before as a guest?\"\n\n\"That's right. I've already said that.\"\n\n\"Yes, you did,\" Hardy said. \"Then perhaps you can explain the testimony we just listened to this morning from Officer Jessica Cunningham of the San Francisco police lab, who identified your fingerprints inside Mr. Preslee's home.\"\n\nChiurco's eyes shot out beyond Hardy, past Hunt, to the back door, over to the side doors. \"Obviously, she either made a mistake or she lied. I've never been inside the place.\"\n\nHardy moved a step closer to him. \"Are you telling the court that you hadn't seen both Mr. Vogler and Mr. Preslee together at Bay Beans West in the last weeks of their lives?\"\n\n\"I don't know where you get any of this.\"\n\n\"If I were to tell you there were two witnesses\u2014\"\n\n\"Well, they're lying, too, whoever they were.\"\n\nHardy now hung his head, half turned briefly to the jury, his face impassive. \"Mr. Chiurco, isn't it true that you attended the University of San Francisco here in the city between 1992 and 1995?\"\n\nSuddenly, at this gambit, Chiurco's back went straight, his head snapped quickly from side to side. Hardy, aware of the bass rumble behind him starting to develop in the gallery, nevertheless pressed the attack. \"Mr. Chiurco? Your Honor?\"\n\nBraun glared out to the gallery, her gavel poised. Then leaned over the bench. \"The witness will please answer the question.\"\n\nChiurco shrugged into his sports coat. \"Yes.\"\n\n\"And while you were there, were you not acquainted with both Mr. Vogler and Mr. Preslee?\"\n\nThis time, as the gallery fairly erupted behind Hardy, he stood locked into eye contact with Chiurco while Braun gaveled the crowd back into silence.\n\n\"Mr. Chiurco?\"\n\n\"I think they were both there when I was, yes.\"\n\n\"And if we just heard from a witness, who said she knew all of you back then, testify that you were close friends of both of them, would that witness have been telling the truth?\"\n\nNo answer.\n\n\"That's the truth, isn't it, Paco?\"\n\nAll belligerence now. \"Who's Paco?\"\n\n\"You are, Mr. Chiurco, or you were, weren't you?\" Hardy kept waiting for the judge to step in to advise Chiurco of his Fifth Amendment rights, but if she wasn't going to do it, he sure as hell wasn't going to do it for her. This man had killed at least two people, probably three, and had tried to frame his client, and Hardy couldn't possibly have cared less about his rights.\n\nChiurco, still unresponsive, pulled at his tie, cleared his throat.\n\nHardy let a few seconds pass, silence settling into the room until it was complete. \"Mr. Chiurco,\" he asked, \"where do you buy your coffee?\"\n\n\"All over the place.\"\n\n\"Have you ever bought coffee at Bay Beans West on Haight Street?\"\n\n\"I might have. I can't say for sure.\"\n\n\"Mr. Chiurco, did you not tell your employer, Mr. Hunt, that you were a regular customer of Mr. Vogler's marijuana business at Bay Beans West? If you'd like, we can have Mr. Hunt come up here and so testify.\"\n\nThe witness did not move, did not speak.\n\n\"Mr. Chiurco?\"\n\n\"I don't have to answer that question. It might tend to incriminate me.\"\n\n\"So you're invoking the Fifth Amendment?\"\n\n\"Only against whether or not I bought marijuana, yes.\"\n\n\"All right,\" Hardy said. \"Let's move to another topic. Do you own a handgun?\"\n\nChiurco brought his hands up to his mouth, pulled at the sides of his face. \"All right. I own a gun. So what?\"\n\n\"What make of gun?\"\n\nBut Chiurco just shook his head. \"That's all. I'm not saying anything else.\"\n\nThe already heavy stillness seemed to take on an oppressive weight in the packed courtroom. Chiurco stared stone-faced into the space between him and Hardy.\n\n\"I'm not answering,\" Chiurco said again. \"I'm taking the Fifth.\"\n\nHardy nodded, took another step forward to within spitting distance of the witness. \"Isn't it true, Mr. Chiurco, that you used that same Glock .40 to kill Dylan Vogler and a liquor store clerk named Julio Gomez during a robbery in 1995?\"\n\nAt this the gallery fully exploded behind Hardy. And over that tumult, finally Stier found his voice again. \"Objection, Your Honor. The witness has taken the Fifth.\"\n\nShe banged with her gavel, again and again, her voice strained as she tried to make herself heard. \"The objection is sustained. That's enough.\" _Bam! Bam!_ \"Sustained.\" Now standing, leaning out over the bench, at the top of her voice. \"I want order in this courtroom! Order!\" And the sound of gavel pounding rang out again and again.\n\nAt last, a semblance of silence. Braun, still on her feet, shaking with rage, now asserted her authority, order after order. \"The jury is to retire to the deliberation room. Bailiffs, clear the courtroom. Clear the courtroom! Mr. Chiurco, you will remain on the witness stand. Counsel, stay at counsel table!\"\n\nThe gallery's removal took the better part of ten minutes, much of the crowd objecting and even refusing to move until Braun had more bailiffs called in to help from neighboring courtrooms.\n\nWhen, finally, the last spectator had been cleared, Braun pointed down at Chiurco. \"Sir, as a witness in this courtroom, you have asserted your Fifth Amendment rights. You need to talk with your attorney. You will consult with counsel and return to this courtroom with your attorney on this coming Monday at nine A.M.\"\n\nBut Hardy, still standing in front of Chiurco, couldn't let that go unchallenged. \"Your Honor, with respect, that's unacceptable. Mr. Chiurco should be taken into custody.\"\n\nNow she raised her gavel as though it were a weapon. \"That's all, Mr. Hardy. How dare you try to tell me what's acceptable or not in my courtroom. That's absolutely all from you.\" And now unnecessarily banging her gavel on every note for emphasis, she added, \"You . . . will . . . not . . . disrupt . . . this . . . courtroom . . . further!\"\n\nAnd again at last in total control, the master of her domain, Braun looked around in a kind of stunned disbelief at what her pronouncements had wrought. \"Bailiffs,\" she said evenly, \"the defendant goes to the holding cell. Mr. Chiurco, you go find yourself a lawyer. Counsel, in chambers. Right now. It's quarter of.\" Then, with another glance out at the empty gallery, \"Bailiffs, you may readmit the spectators. This trial resumes again in precisely fifteen minutes.\"\n\nIn Braun's office Stier was near apoplectic. \"Talk about no evidence! In spite of all of his self-serving rhetoric Mr. Hardy presented no evidence out there just now, Your Honor. All that was just a blatant attempt to find a handy scapegoat to distract the jury.\"\n\n\"Ridiculous, Your Honor. Fingerprints at the crime scene are evidence, particularly when the person whose fingerprints they are says they couldn't be there. What's your theory, Mr. Stier? Did Chiurco loan somebody his fingerprints? Did his hands take a walk without him? The fact is,\" Hardy said, \"that I've presented more evidence this morning that my client is innocent than Mr. Stier has presented in his entire case against her.\"\n\n\"She's not innocent until the jury says so,\" Stier said.\n\nHardy held out a hand in a behold-the-ass gesture: \"Actually, Your Honor, Mr. Stier's got it exactly backwards. Maya's innocent until the jury finds her guilty. I think they still teach this in law school in this country.\"\n\nBraun had finally lost all pretense of a judicial demeanor. \"God damn it! No more!\"\n\nBut Stier kept on. \"Mr. Hardy can split hairs, but I'm confident the court understood what I was saying, Your Honor. And this testimony from Ms. Foreman that Mr. Chiurco maybe used to be called Paco? On what planet does this rise to the level of evidence?\"\n\n\"The same one,\" Hardy shot across at him, \"that you landed on when you had Cheryl Biehl testify. I'm just, frankly, stunned that you think you've still got a case.\"\n\nStier harrumphed. \"To the contrary, Your Honor, since Mr. Chiurco does investigative work for Mr. Hardy's own law firm, I wouldn't put it past them to have colluded to put on this entire elaborate charade just so the jury would have to consider an alternate suspect.\" Then, directly to Hardy, \"So, how do you do it? You give your guy a bonus when this is done for the inconvenience you put him through?\"\n\n\"That's the most ridiculous and insulting accusation I've heard in all the time I've been practicing law, Your Honor. It's beneath contempt.\" Hardy, finally reaching his limit, raised his own voice. \"Here's what I did, Paul. I paid your police department to plant his fingerprint inside the scene of a murder and maybe on the casing from a cartridge at the scene of another murder. What kind of a bonus would you recommend for someone who's willing to put themselves in prison for life?\"\n\nBraun slapped a palm down on her desk. \"That exchange, gentlemen, just cost you each a grand. Want to go for another one?\"\n\nHardy, dizzy with adrenaline, fighting to reassert his rationality. \"The plain fact, Your Honor, as I said out there, is that Chiurco ought to be under arrest right now. He's a danger to himself and to the public. The police should be searching his stuff for spatter and Preslee's place for his DNA. We need to continue this trial at least into next week, or even longer, to let the police finally conduct a real investigation.\"\n\nBraun hated this whole thing. She hated Hardy's provocative and believable theory. She hated Stier's entire presentation of the case, the sideways involvement of Jerry Glass, Schiff's sloppy investigating, the political ramifications, the testimony about things that may or may not have happened as much as fifteen years before.\n\nAbove all, Braun hated the idea that she might have to tell the jury that this trial might be prolonged another week or even longer. There was no way she could accept a police investigation at this stage into another suspect without dismissing the charges against the current defendant.\n\n\"Well, gentlemen,\" she began in a cold fury, \"it seems we've gotten ourselves into\u2014\"\n\nAt that moment the first gunshot echoed from somewhere close by, inside the building. And they heard a woman scream.\n38\n\n**Chiurco didn't move** from the witness stand for a short while after he'd been dismissed. Things had happened fast, but the judge had told him he could go, so long as he returned to court next Monday morning. He heard the back door of the courtroom open behind him, watched Hardy and Stier march solemnly past him on the way out. Still he didn't move.\n\nAt last, though, since the audience had returned en masse to the gallery\u2014in fact, if anything, with the news of the drama, the crowd had increased\u2014the noise level was gearing up again. The mayor and Fisk and Maya's husband came forward off their seats and Maya had turned around, the bailiff hovering in hesitation about obeying the judge and bringing her back to the holding cell. Everybody talking about his testimony, what had just come down.\n\nGlitsky and DA Jackman were on their feet, stretching their backs, deep in discussion. Debra Schiff, over at the prosecution table, sat hunched over, head down, fingers at her temples. Chiurco's boss, Wyatt Hunt, had disappeared behind some other standees, everybody up and talking talking talking.\n\nIt was now or never.\n\nChiurco got to his feet, his shoulders squared, face set. Completely within his rights, he got out of the witness chair and crossed the open courtroom. Opening the bullpen gate, he stepped into the center aisle of the gallery, now clogged up with the overflowing crowd. A reporter grabbed at his elbow and said something, but the world had turned into a blurry tunnel that ended in the doorway about thirty feet away in front of him, and he shook the reporter off, moving forward, moving.\n\nOff to his side, in conversation with Jeff Elliot, his damn wheelchair in the aisle slowing everything down, Hunt and Gina Roake, at first barely noticing him except, now, for Hunt's double take as he passed. And hearing, as though muffled through water, Wyatt's cry\u2014\"Abe!\" Then louder, \"Abe!\"\n\nChiurco getting physical in the crush, pushing at someone, getting people out of his way.\n\n\"Hey!\"\n\nNow, from Hunt, an actual cry. \"ABE!\"\n\nChiurco was so close to the door, five or six steps, but still others clogged the way before him, blocking him as they were filing out for the bathroom, a smoke, a phone call, gossip.\n\nHe was stuck.\n\nAnd so he pushed someone else, took another step, kept moving.\n\nBut the door was open, and one small Asian female bailiff had come in from her post at the metal detector outside and was now standing by it. Chiurco tried to squeeze around a fat man, couldn't move him, got a sense of some activity in the rows behind him.\n\nHunt pushing his own way out? Trying to stop him?\n\nAnd then, suddenly, Glitsky was standing on his chair, his voice cutting through it all. \"Bailiff! Hold that man! Stop that man!\"\n\nThe judge may have ordered Chiurco released, but Glitsky on his own had the power of arrest, and with the support of Clarence Jackman, standing next to him, he had decided he had heard enough to at least hold Chiurco for further questioning.\n\nBut that was not going to happen, not if Chiurco had any say about it, and he did. He was getting out of here. Pushing again now at the heavy body in front of him.\n\nGlitsky's rasp again. \"Mr. Chiurco! Hold up! Bailiff!\"\n\nShe had come in from the hall to intercept Chiurco as he tried to make it out of the courtroom, but now the same fat man was trying to make it through the door before him and suddenly she was directly in front of him, blocking his way.\n\nTurning around for a glance, Chiurco saw Hunt coming at him out of one eye, Glitsky out of the other, the lieutenant pushing his own way out of his row toward the aisle, pointing at him, desperation in his voice. \"That man! The last witness! Hold him there!\"\n\nWith the fat man still inside, but pushed out of Chiurco's way, the bailiff was the last obstruction as she now pulled the door shut. But she was so small it was no contest. Chiurco lashed out, struck her a rabbit punch on the side of the neck, and she would have gone down at once except that the fat man saw what had happened and found himself holding her up.\n\nThere was nothing else Chiurco could do.\n\nThough San Francisco bailiffs on courtroom duty didn't carry guns, this particular hallway bailiff was armed because of her duty outside the courtroom by the metal detector. Now, unsnapping her holster, Chiurco grabbed, pulled out her gun, with all of his might tried to push the fat man and the bailiff to one side, then fired a shot into the ceiling.\n\nSomeone yelled out. \"Down! Everybody get down!\"\n\nAnd a woman screamed.\n\nThe fucking fat guy still in his way, Chiurco pushed again, got his hand on the door, and behind him heard a woman's voice. \"Drop it! Drop the gun now!\"\n\nAnd turning, he saw Schiff by the prosecution table, now with her own weapon drawn, on the far side of the bar rail, taking aim at him over the ducking crowd. No time to think, he brought the gun up, his hands together, and squeezed off two quick shots, textbook. The inspector went down, her gun clattering over the floor.\n\nChiurco turned to finally get out, but another blast from by the defense table exploded the wood on the door just over his head. And Chiurco, looking left, opened fired again at the big man in the business suit standing in the front row who'd perhaps just fired, and who fell back over the rail onto the floor by the defense table.\n\nAnd revealed the actual second shooter, the other bailiff, standing, holding Schiff's gun, over where Maya Townshend lay prostrate on top of her shot brother, sheltering him on the tile. The bailiff had his gun extended in a two-handed grip, drawing another bead.\n\nHis hands already up in the classic firing position, Chiurco once again fired twice in rapid succession and the bailiff, too, staggered backward, dropped Schiff's weapon, and fell.\n\nAnd then someone out of nowhere grabbed Chiurco's gun arm and chopped viciously at it. The female bailiff, trying again to restrain him, took another swing at his face, a glancing blow, and now he swung his gun at her. It went off accidentally as the fat man clutched at his shoulder and spun around and down to the ground next to them.\n\nNow Chiurco only needed another step and he'd be outside and free, but the damned bailiff woman was holding on to his leg, so he reached down, got an arm around her neck, and pulled her up against him, holding her there, waving his gun threateningly around at the room at anyone who dared raise his or her head.\n\nBut to get the door he had no choice. He needed either to release his hostage or lower his weapon.\n\nHe couldn't let go of the hostage, though. She would attack him again.\n\nHe had to let down the gun.\n\nWhich gave Glitsky, fifteen feet away, and waiting for just such an opportunity, one and only one clear shot.\n\nIt was all he needed.\n39\n\n_**CityTalk**_\n\nBy Jeffrey Elliot\n\nCity officials are still trying to piece together how security procedures in the Hall of Justice could have gone so awry as to allow the series of events that last Friday resulted in the deaths of four people, including two law enforcement personnel and City Supervisor Harlen Fisk, and the wounding of another man in one of the city's courtrooms.\n\nThis reporter was present during the events that transpired and can relate that even before court was called into session that morning, a palpable tension reigned in Department 25, the courtroom of Judge Marian Braun, scene of the murder trial of Maya Townshend. Both Mayor Kathryn West, Mrs. Townshend's aunt, and Fisk, her brother, were present in evident support of the defendant, and the attendant media presence as well as rumors of surprise, last-minute witnesses for the defense had packed the gallery.\n\nMrs. Townshend had been charged with the murders of Dylan Vogler, the manager of the Bay Beans West coffee shop that she owns, and another past associate of hers, Levon Preslee. The trial to date had focused upon evidence of Mrs. Townshend's apparent motive for these murders, and experts had opined that it was particularly light on physical evidence implicating the defendant. So when defense attorney Dismas Hardy's first witness, a fingerprint specialist at the police laboratory, identified one of Hardy's own investigating team, Craig Chiurco, as having been present at the scene of Preslee's murder, and perhaps having left a partial fingerprint on the bullet casing at the Vogler murder scene, the gallery grew tense with anticipation of what was to come.\n\nIt didn't have long to wait, as Mr. Hardy briefly questioned one other witness who established Mr. Chiurco's earlier and previously undisclosed relationship to both Vogler and Preslee, then called Mr. Chiurco. Apparently, not knowing what was taking place in court, he had been waiting outside in the hallway to take the stand. Mr. Hardy's questions, and Mr. Chiurco's responses, grew increasingly heated as Hardy tried to tie his associate to these crimes.\n\nIn the end, with Chiurco invoking his Fifth Amendment right against self-incrimination, Mr. Hardy accused him point-blank of these murders, and pandemonium broke out in the courtroom. It took Judge Braun several minutes to restore order. Rather than having her bailiffs hold Chiurco for the police, Braun ordered him to consult an attorney and keep himself available for further examination if necessary. At that, the judge and the two lead attorneys left the room to confer in Judge Braun's chambers, leaving Chiurco unguarded on the witness stand.\n\nA few moments later the folly of Braun's decision became apparent as Chiurco rose from the stand and started to make his way through the crowd that by now blocked the aisle of the gallery. He had nearly made it to the back door when Lieutenant Glitsky, chief of the city's homicide department, called out and ordered one of the courtroom bailiffs, Linda Yang, to restrain Chiurco. But the desperate witness\u2014now suddenly revealed as a murder suspect\u2014struggled with the bailiff and managed not only to disarm her but to gain possession of her service weapon and to fire it into the ceiling.\n\nAs members of the gallery dropped to the floor or took shelter behind their chairs, homicide sergeant inspector Debra Schiff, who'd been seated at the prosecution table, fired a shot at Chiurco, which he returned, fatally wounding her. In the next few seconds another bailiff, Rolfe Hagen, fired at Chiurco again from inside the bar rail, and in response to that, Chiurco got off a flurry of shots that killed both Supervisor Fisk and bailiff Hagen before Lieutenant Glitsky saw an opening and fired one shot into Chiurco's chest, killing him. Glitsky has been placed on the automatic administrative leave that follows any officer-involved shooting.\n\nBut the violence that could and did erupt with such tragic results even in a guarded courtroom leaves officials pondering a host of questions: Shouldn't courtroom bailiffs in San Francisco be armed, as they are in every other jurisdiction in California? Or, on the other hand, should guns, even in the hands of police personnel, ever be allowed in courtrooms at all? Is there an adequate number of bailiffs in San Francisco courtrooms? Was Judge Braun negligent in affording a potential murder suspect the opportunity to escape and\/or take hostages?\n\nAbove all, how was an innocent woman arrested and brought to trial for two murders in a San Francisco courtroom, based on an investigation that could be described, at best, as incompetent, and at worst, as grotesquely negligent?\n\nThe evidence of Maya Townshend's innocence was right in front of the police and the prosecution during this entire investigation. Yet they chose to ignore it in what the unkind might describe as the pursuit of a political vendetta. In this reporter's opinion it is a travesty that this case was ever allowed to be brought to trial at all.\n40\n\n\" **Actually,\" Glitsky said,** \"I'm enjoying the time off. Getting quality time with my little rat here.\" Zachary, the rat in question, still wore his helmet but otherwise looked and acted as healthy as any normal kid as he played with his sister in the sandbox in Glitsky's backyard. \"Rebonding.\"\n\n\"Don't kid yourself. You never unbonded.\"\n\n\"Maybe not, but it felt like it. Unbonded from the world.\"\n\n\"Yeah, well . . .\" They sat on the top step, their usual spot, looking down over the backyard and the greenery of the Presidio beyond. \"You came back just in time, so I wouldn't beat myself up over it.\"\n\n\"I won't. I thought I told you. I'm done with beating myself up.\"\n\nHardy threw him a sideways glance. \"If that's true, how will I recognize you? You'll find something else to beat yourself up over, you watch. It's just who you are. Screwed up, but probably worth saving. Marginally. In the long run.\"\n\n\"Thank you.\"\n\n\"You're welcome. But, in fact,\" Hardy added, \"not that I don't have anything better to do on a Sunday afternoon, but you did call.\"\n\n\"I did.\"\n\n\"And you're going to make me guess again?\"\n\n\"If you want, or I could just tell you what we found at Chiurco's.\"\n\n\"You mean besides blood spatter on what . . . his shoes?\"\n\n\"Shoes, check.\"\n\n\"And a Glock .40 hexagonal-barrel semi?\"\n\n\"Nope, but three live rounds and a cleaning kit that would fit that gun. Besides those?\"\n\n\"I give up. No, wait. Weed.\"\n\n\"You're good. You want to guess how much?\"\n\n\"Nope. I quit when I'm ahead. Weed is good enough. But what else?\"\n\n\"You're going to like it. You want another few seconds?\"\n\n\"Okay.\" A companionable silence settled for the better part of a minute, until finally Hardy said, \"What else?\"\n\n\"Newspaper clippings. Old ones.\"\n\n\"Julio Gomez.\"\n\n\"Right.\"\n\n\"I could have got that if I'd have thought a little more.\"\n\n\"Just like you got Chiurco knowing Preslee.\"\n\n\"No. I should have seen that long before I did. I mean, Wyatt told me all about Dylan not being on Google until recently, so how could Craig have found Levon? The answer was that he couldn't have. No way, no how. Especially when I realized that they'd gone to trial separately. So he must have known Levon before. And I even knew Craig had been at USF and knew Dylan and was on his weed list. I mean, flags everywhere and I couldn't see them.\"\n\n\"Yeah,\" Glitsky said, \"you're a little slow. It's amazing you keep getting clients.\"\n\n\"I marvel at it myself. Still, though\"\u2014Hardy let out a sigh\u2014\"what a fiasco at the end there.\"\n\n\"I hear you. Though that's one of the things I'm not going to beat myself up over. I've made up my mind.\"\n\n\"Probably smart. You had no choice.\"\n\n\"Really. None.\"\n\n\"I know. I believe you. You just wonder sometimes how things get to where they are. I mean, why did Maya even get charged? And because of that Harlen's dead? And Schiff? And even Ruiz. To say nothing of Chiurco and those poor bailiffs. What's that about? All those victims.\"\n\n\"And everybody still goes on calling it a victimless crime, don't they?\"\n\n\"It's the crime part,\" Hardy said. \"Take away the crime, make the stuff legal . . .\" He looked at his friend. \"But you being a cop and all, I don't suppose that's going to be your issue, is it?\"\n\n\"Good guess.\" Glitsky chewed at his cheek. \"But as to how things got to where they did, part of that, you want to be honest, was me. Bailing on the job. Worrying about Zack.\"\n\n\"That would have been a very small part. But I'm proud to see you're already back on the road to beating yourself up.\" Hardy glanced at his watch. \"You made it about forty-five seconds, a new record, I think.\"\n\n\"No. I know it was mostly Schiff, and God knows she paid for it.\"\n\n\"What about Bracco? You talk to him?\"\n\n\"Not since right after.\"\n\n\"How is he?\"\n\nGlitsky let out a breath. \"Talk about beating yourself up. He said he knew he should have stepped up, said something, but he wanted to be loyal to his partner.\"\n\n\"Cops and loyalty, huh?\"\n\n\"Don't I know? I just hope he can talk himself into staying on, but I'm not betting on it. On the other hand, Treya had some fun news the other night you might not have heard about.\"\n\n\"She's pregnant again.\"\n\nGlitsky gave him the bad eye. \"Don't even kid. Think DA's office.\"\n\n\"Clarence is stepping down and she's taking over.\"\n\n\"Incorrect. Think Paul Stier.\"\n\n\"The Big Ugly?\"\n\nGlitsky nodded. \"The big, now-between-jobs ugly. At least until he can hook on with Glass or somebody.\"\n\n\"I don't know. I think Mr. Glass might be having his own problems lately. Having taken on the mayor, stirring up all this shit, and really coming up with squat. Rumors abound. And speaking of which, the word is that you're back in the saddle next week.\"\n\n\"Might be. Might not.\"\n\n\"Let me guess. You're not beating yourself up over it?\"\n\nGlitsky nodded. \"Close enough.\"\n\nTamara Dade knew that Craig Chiurco's shell-shocked and disbelieving parents had taken his ashes and scattered them under the Golden Gate Bridge. She hadn't wanted to intrude on them in their own hours of grief; and besides, she did not come close to forgetting that she and Craig had broken up. A serious and, she had felt, irrevocable breakup. So she wasn't with the family and didn't want to be.\n\nBut she had her own grieving to deal with.\n\nNow, four days after the memorial service, she found herself at the pier behind the Ferry Building, waiting in line again for the boat to Sausalito. She hadn't come in to work, nor had she called, since the day of the shootings. Instead, four days ago she'd started to come out here after her mostly sleepless and crying nights, and she'd ride across the bay, sit alone on the Sausalito jetty and watch the water, then take the ferry back by about noon. She'd then repeat the round trip in the afternoon, getting back to the city after darkness had descended.\n\nToday was bleak, windy, and bitter cold. As the ferry left the protection of the shore, whitecaps piled up and flung their foam across the open front deck. This was where Tamara had taken to standing, but on this day, even with her raincoat, it was too wet, too miserable. She turned and went back inside, bought a hot chocolate, and found a seat at one of the bolted-in tables by a window, where she could look out and . . .\n\nWhat?\n\nImagine what life would have been like with Craig? Wonder why they had never progressed to a committed relationship? Try to understand what he'd done, and why? And what, simply, had happened in the courtroom?\n\nNone of it made any sense to her. She found it nearly impossible to get her mind around the stark reality that he'd murdered Dylan Vogler and Levon Preslee, and apparently another liquor store clerk years ago. That he had been able to live with letting Maya Townshend get all the way to trial.\n\nWho had he been all this time, and how had she not seen it?\n\nShe didn't have any answers. Except that it would be a long while before she would trust her romantic instincts, or even her fundamental human instincts, again. Maybe forever, she thought. She stared out into the windswept, gray-green, white-capped chop.\n\n\"Is this seat taken?\"\n\nThe familiar voice startled her and she turned her head quickly to verify the presence of her boss, Wyatt Hunt. After doing so she turned back to the window and her shoulders rose and fell as she blew out a long breath. \"How'd you find me?\"\n\n\"I'm a private eye, Tam. Finding people is what I do. If you don't want me to sit down, I'll go find another spot.\"\n\nShe turned back to him. \"No. It's fine. You can sit here.\" Then, when he had, \"I don't know if I can come back to work.\"\n\n\"Okay. That's not why I'm here. I wanted to make sure you were all right.\"\n\nHer lips turned up fractionally and she let out a dry, one-note, half-laugh half-sob. \"I don't know what that means, _all right_. Not anymore. I can't believe Craig's gone. Even more, maybe, I can't believe what Craig was.\"\n\nHunt nodded. \"I've been having some issues with it myself.\"\n\n\"So were we both just blind?\"\n\n\"I don't know. I suppose so. Although, how were we going to know? What did he show us that could have tipped us off?\"\n\n\"I don't know. But I keep thinking I should have known. I should have seen something. I mean, I knew he was confused, and he had his bad moments, but he was almost always nice to me. To everyone, really.\"\n\n\"You never threatened him. Thank God.\"\n\nShe let out another deep sigh. \"So he really did do it? I mean Vogler and Preslee.\"\n\n\"I don't think there's any doubt about that, Tam.\"\n\nTurning away from him, she looked out the window at the churning bay and, at the farthest extent of vision, the spectral shape of Alcatraz, the old deserted prison with its decrepit buildings. \"I really don't know what I'm going to do, Wyatt. About work, I mean.\"\n\n\"How about if you don't have to decide for a while?\"\n\n\"Even still. I don't know. It's like the world is all different. Maybe I should be in a different field, around different people.\"\n\n\"Maybe you should.\"\n\n\"You wouldn't hate me?\"\n\nHe put his hand over hers. \"There's nothing you could do that could make me hate you, Tam. You've got to know that.\"\n\nShe turned back to him and tried to smile. \"I don't feel like I know anything anymore, Wyatt. I feel like he stole my innocence or something. I just keep waiting for a break in these clouds, but I'm not sure there's going to be one.\"\n\n\"Except that there always has been before.\"\n\n\"No,\" she said. \"The clouds have never before been this thick. And I really hate him for that.\"\n\nHunt patted her hand. \"Time,\" he said.\n\nShe attempted another wan smile. \"God, I hope so.\"\n\nOn the third Friday after the last day of Maya's trial, the phone buzzed at Hardy's elbow in his office, and he punched the button to speak to Phyllis. \"Yo.\" Taking a moment's immature pleasure from his receptionist's exasperated sigh\u2014senior attorneys do not answer the phone informally, since that causes a disruption in the force\u2014he checked that it was indeed four-thirty and again stole Phyllis's thunder when he added, \"Send the Townshends right in.\"\n\nIt was both of them, holding hands, Maya looking so radiant and lovely that he might have passed her on the street and not recognized her. Her hair and her cheeks glowed. She'd lost the weight she'd gained on the jail food, as well as the cellblock pallor. Joel, for his part, wore a sense of comfort, a confidence, and an easy smile that Hardy hadn't noticed before.\n\nNot that there'd been much to smile about over the past six or seven months, but something in the couple's body language toward each other spoke of a renewed connection, an ease, a true rapport. No longer rich, successful husband and subservient, stay-at-home wife, but true partners now. A lot to grab from a first impression, but Hardy decided to believe it was true.\n\nThe occasion\u2014final payment for his legal services\u2014could have been handled by a check in the mail, but they'd wanted to come down and deliver it in person, and he was grateful for the opportunity to see them again, in this setting, with their ordeal behind them. So he offered coffee and condolences about Harlen, both of which they accepted, and they made small talk, until they were all settled in the formal seating area closest to Hardy's desk.\n\nAt which time Joel reached into his inside pocket and proffered an envelope embossed with his corporation's logo.\n\n\"Feel free to open it now, if you'd like,\" Maya said.\n\n\"That's all right.\" Hardy broke a small grin. \"I trust it's pretty close.\"\n\n\"Maybe not.\" Maya, with an impish smile of her own, made it sound like a dare.\n\nSo Hardy shrugged, opened the flap, pulled out the check, and looked up with some surprise. \"This is, um . . . I don't remember the last time I got tongue-tied.\"\n\n\"It's a bonus,\" Joel said.\n\nMaya was outright beaming now. \"We thought Dylan's salary for a year would have a nice symmetry.\"\n\n\"It's got a lot more than symmetry,\" Hardy said. \"Are you sure this is . . . I'm afraid I'm just a little overwhelmed. This is more than extremely generous.\"\n\nMaya nodded. \"You saved my life, Dismas. In many ways.\" She reached over and put a hand on her husband's knee. \"I told him.\"\n\n\"Good for you,\" Hardy said. And turning to Joel, \"And I bet you weren't even tempted to leave her.\"\n\nHe put his hand over hers. \"Not even close. I never would. No matter what. I don't know if she ever really believed that before. But we all make mistakes, huh? Do things we're ashamed of, and worse than that.\"\n\n\"I know it's happened to me,\" Hardy said. \"Though if you'd keep that in this room, I'd appreciate it. My associates would be shocked and dismayed.\"\n\n\"In any event,\" Maya said, \"I . . . we just wanted to thank you so much. It has been such a burden for so long and now I don't have it anymore. I feel like a different person.\"\n\nJoel hadn't let go of her hand. \"The same person, only happier. And better.\"\n\nShe looked contentedly across at him. _\"Arr\u00eate un peu.\"_ In French. Stop a little. But not too much. Then, back at Hardy, with a sigh. \"Anyway . . . if you don't mind, I've got one last little thing that you could explain that I wanted to understand, and just really don't.\"\n\n\"If I can, I will.\"\n\nShe let out a small breath. \"Why me?\"\n\n\"Why you what?\"\n\n\"I mean, with Craig Chiurco. How did he pick me to frame? I never met him, I never even had heard of him, and suddenly he picks me out of nowhere and tries to ruin my life. I just don't understand what happened. How that happened.\"\n\nHardy picked up his coffee and took a sip. He knew that it was an excellent question, and that she deserved an answer. But there was no certain answer. Craig was dead, and no one would ever really know for sure. Hardy just hoped that the one he had\u2014and he'd given it a lot of thought\u2014was good enough for her.\n\n\"Well,\" he began, \"here's my best guess. Dylan was in the blackmail business, and he was a greedy man. For a long time he was happy stringing you along, selling his dope, keeping up on his customer list. But remember, he also knew that Craig had killed the Gomez boy. Now, the fact that he'd done it in connection with a robbery they were both involved in made it a little squirrelly, since technically, legally, they'd both be guilty of that murder, whoever it was that pulled the trigger.\n\n\"But he liked pushing the limits, Dylan did. And what I think happened is that they were all together at BBW that day a few weeks before he got killed, and Dylan brought it up again. And here's Craig going for his private eye license, straight all these years, thinking his past is all behind him, and then Dylan ups the stakes. Somehow. Tells him what he's been doing with you, maybe without any of the specific details, but enough to make Craig know that you've got every reason to want Dylan removed too.\n\n\"So he decides to kill Dylan, and all he needs is to have you show up soon after.\"\n\n\"So he called me? That was him?\"\n\n\"I don't know for sure. But Dylan had a Brooklyn accent, which isn't so hard to mimic. Craig calls you late at night and makes it short and sweet, saying it's an emergency he can't talk about now . . . well, you came running. He knew what time Dylan got to the alley every day. He knew he'd have your gun with him. In any event, it all worked. If you want my opinion, you're damn lucky he didn't wait around to kill you too.\"\n\n\"I thought of that. I'm kind of surprised he didn't.\"\n\nHardy shook his head. \"Two dead people, and the police still left looking for who killed them? Too much to orchestrate. He wanted to keep it simple.\"\n\n\"So what about Levon?\"\n\n\"Levon would have remembered the conversation at BBW, their fight that Eugenio Ruiz witnessed, remember? So he goes to Levon's, pulls his gun, has Levon call you on his cell phone and invite you over, walks behind him and . . . well, you know the rest.\"\n\n\"So he didn't know me at all, and just did that?\"\n\n\"That's what I think,\" Hardy said.\n\n\"That's about what I told her too,\" Joel added. \"She just said that sounded like the essence of evil. She doesn't want to believe that people could really be that bad, in their souls.\"\n\n\"I mean,\" she said, \"we all make mistakes, sure. Even terrible ones. But this wasn't a simple mistake. This was a conscious decision to just destroy somebody he didn't know at all.\"\n\nHardy nodded. \"That's right.\"\n\n\"I don't want to believe that people can actually be like that,\" she said.\n\n\"Not all of them. And thankfully, maybe not too many. But definitely some,\" Hardy said. \"Definitely some.\"\n**Acknowledgments**\n\nIt is almost impossible for me to imagine that this is my twentieth book! And so my first acknowledgment is to all of you, my readers, who have been so enthusiastic and supportive of my work over all these years. I never forget that I owe my success\u2014never anticipated to this degree, and tremendously appreciated\u2014to those of you who buy these books, pass them to your friends and relatives, discuss them at work and at home, take them to your hearts. Having such a dedicated core of readers is one of the great thrills of a writer's life, and I am humbly grateful to each and every one of you. Thank you. Thank you. Thank you.\n\nThis book began in an e-mail discussion with one of my correspondents, Dr. Jack Crary, who had been intrigued by some of the medical issues in some of my earlier books\u2014particularly the effect of traumatic injury on family members of those who'd suffered it. That correspondence led me to Abe Glitsky's reaction to his son's accident, and got me off and running in Chapter One. Thanks, Jack.\n\nAs the story got under way, I encountered, as usual, a great dearth in my knowledge about what I was hoping to write about. For insights into business perspectives that were foreign to me, I'd like to thank my neighbors (and fellow Piscators) Tim Lien and Tim Cronan. These gentlemen connected me to a U.S. attorney in San Diego, Bruce Smith, who was a forthcoming and generous source on the uses of forfeiture in connection with the drug trade. After the first draft was finished, I turned to a very talented writer and author, John Poswall, and a couple of other colleagues of his who prefer to remain anonymous, for further insight into government prosecutions and grand jury proceedings.\n\nNone of my books would be what they are without the ongoing assistance and first-draft revision suggestions of my dear friend, San Mateo assistant district attorney Al Giannini, whose general expertise on all things criminal, exquisite taste, and refined judgment contribute mightily to the finished product. Like no one else, Al is a true collaborator in the Dismas Hardy-Abe Glitsky series, and my debt to him cannot be measured.\n\nOf course, any book owes its life to its publisher, and I am blessed to have worked with a wonderful staff at Dutton now for the past nine books. This is a fantastic group of enthusiastic, bright, committed people\u2014starting with the publisher Brian Tart; marketing whizzes Lisa Johnson and Beth Parker; Erika Imranyi, Trena Keating, Kara Welsh, Claire Zion, Rick Pascocello, Susan Schwartz; and the wonderful cover artist and designer Rich Hasselberger. Saving the most personal until last, I'm knocked out by the style, taste, and talents of my editor, Ben Sevier. His support in many conversations was crucial throughout the book's gestation, and his comments and suggestions as we approached a final manuscript were consistently pithy, germaine, and critical. Ben is the real deal as an editor, and I consider myself blessed to be able to work with him.\n\nMy writing life wouldn't be half as productive without the load taken up by my assistant, Anita Boone. Besides possessing one of the most even-keeled and sunny personalities in the world (a major plus when working with sometimes gnarly authors), she is truly the right arm and majordomo of many, many aspects of my life in the business of writing, and I couldn't do what I do without her.\n\nAs many have attested, the writing life can be solitary. Without close friends to keep perspective on the other things that are important, and that hopefully help to keep the writing fresh, the creativity wouldn't flourish, nor would the experience be joyful. And so for keeping the spirit alive, here's to the perennial best man, Don Matheson; to author\/bon vivant Max Byrd; Frank and Gina Seidl; Sandy and Peter S. Diedrich, M.D., M.P.H.; and my two children, Justine and Jack.\n\nSeveral characters in this book owe their names (although no physical or personality traits, which are all fictional) to individuals whose contributions to various charities have been especially generous. These people, and their respective charities, include: Stacy and Mark Wegzyn, Holy Family School; Katherine (Kay) Hansen, Thrillerfest (International Thriller Writers); Michael J. Schermer, the Sacramento Public Library Foundation; Deborah L. Dunham and Chuck Cunningham, the Davis, California, Chamber of Commerce; Mrs. Jacky Glass, H.E.L.P. (Healthcare and Elder Law Programs Corporation); and Mickey Friend (Sonoma Paradiso).\n\nFinally, my literary agent, Barney Karpfinger, is the rock of my career and of my professional life. A great friend, a tireless advocate, a beacon of taste and intelligence, Barney is simply the best in the world at what he does, and I'm endlessly grateful for my relationship with him. Thanks for everything you do, Barney\u2014you're an amazing and wonderful human being.\n\nI very much love hearing from my readers, and invite all of you to please visit me at my Web site, www.johnlescroart.com, with comments, questions, or interests.\n**About the Author**\n\n**John Lescroart** is the author of nineteen previous novels, including _Betrayal_ , _The Suspect_ , _The Hunt Club_ , _The Motive_ , _The Second Chair_ , _The First Law_ , _The Oath_ , _The Hearing_ , and _Nothing but the Truth_. He lives in northern California.\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\nSmashwords Edition\n\nCopyright\n\nThe Game\n\n\u00a92012 by Terry Schott\n\nAll rights reserved.\n\nThis book or any portion thereof may not be reproduced or used in any manner whatsoever without the express, written permission of the publisher except for the use of brief quotations in a book review.\n\nThis is a work of fiction. Names, characters, businesses, places, events and incidents are either the products of the author's imagination or used in a fictitious manner.\n\nAny resemblance to actual persons, living or dead, or actual events is purely coincidental.\n\nSmashwords Edition License Notes\n\nThis ebook is licensed for your personal enjoyment only. This ebook may not be re-sold or given away to other people. If you would like to share this book with another person, please purchase an additional copy for each recipient. If you're reading this book and did not purchase it, or it was not purchased for your enjoyment only, then please return to Smashwords.com or your favorite retailer and purchase your own copy. Thank you for respecting the hard work of this author.\n\nTable of Contents\n\nChapter 1\n\nChapter 2\n\nChapter 3\n\nChapter 4\n\nChapter 5\n\nChapter 6\n\nChapter 7\n\nChapter 8\n\nChapter 9\n\nChapter 10\n\nChapter 11\n\nChapter 12\n\nChapter 13\n\nChapter 14\n\nChapter 15\n\nChapter 16\n\nChapter 17\n\nChapter 18\n\nChapter 19\n\nChapter 20\n\nChapter 21\n\nChapter 22\n\nChapter 23\n\nChapter 24\n\nChapter 25\n\nChapter 26\n\nChapter 27\n\nChapter 28\n\nChapter 29\n\nChapter 30\n\nChapter 31\n\nChapter 32\n\nChapter 33\n\nChapter 34\n\nChapter 35\n\nChapter 36\n\nChapter 37\n\nChapter 38\n\nChapter 39\n\nChapter 40\n\nChapter 41\n\nChapter 42\n\nChapter 43\n\nChapter 44\n\nChapter 45\n\nChapter 46\n\nChapter 47\n\nChapter 48\n\nChapter 49\n\nChapter 50\n\nChapter 51\n\nChapter 52\n\nChapter 53\n\nChapter 54\n\nChapter 55\n\nChapter 56\n\nChapter 57\n\nChapter 58\n\nChapter 59\n\nChapter 60\n\nChapter 61\n\nEpilogue\n\nAcknowledgments\n\nCopyright\n\nBooks by Terry Schott\n\nFor Exclusive Stories and Offers\n\nPlease Join Terry Schott's Mailing List\n\nhttp:\/terryschott.com\/mailing-list\n\n1\n\nHe woke up in a white room.\n\nThe walls, ceiling, floor, lights, everything was white.\n\nHe couldn't remember how he got here.\n\nWhat he did recall was severe pain followed by a sense of leaving his body, floating above it as people stood around him. Then the room had disappeared and he was moving toward a tunnel of bright light. The closer he got to the light, the faster he flew. He streaked into the light, slammed to a stop, and lost consciousness.\n\nNow he lay on a table in a white room with a thin sheet draped over his body. He recalled hearing stories from people who had almost died. They had moved toward a light like that, but they had always come back. No one ever talked about going into the light.\n\n\"Am I dead?\" His voice sounded different. Instead of being deep and raspy, it sounded younger, more like sixteen than seventy-four.\n\nBut I'm 74. He held one hand in front of his face. Instead of the thin, frail, wrinkled hand of an old man, it looked young and strong, like a teenager's. \"Ah, crap. I am dead.\"\n\n\"Kind of.\" A friendly voice spoke from nearby. \"But not quite.\"\n\nHe turned and saw a young man in his late teens grinning at him.\n\n\"Welcome back, stranger. You had an incredible run that time, didn't you?\"\n\n\"Back? From where?\" He sat up, marvelling at his own strength. It was both strange and exhilarating. Swinging his legs over the edge of the bed, he turned to the young man. \"Where am I? I think I've been here before, but I'm not positive.\"\n\n\"Oh, you've been here before. Many times. Don't worry, Zack, your disorientation won't last long. You remember reality quickly once you come out.\"\n\n\"My name is Zack?\"\n\n\"It is.\"\n\nHe thought about it for a moment and nodded. \"What am I coming out of?\"\n\n\"I always enjoy the look on your face when you realize you're not dead.\" The young man stood and patted Zack's knee. \"You just came out of the Game.\"\n\n\"The Game?\"\n\n\"That's right. And, on this play, you managed to get your best score ever.\"\n\n2\n\nMemories began to return.\n\n\"You're Kyle, right? We've been friends for\u2014\"\n\n\"Since we were little kids.\" Kyle nodded. \"Yeah, there you go.\" He spread his hands to indicate the room. \"This will all come back to you over the next few hours. It takes a while because your brain has to access a lot of information that it left behind when you entered the Game. You can't remember life out here when you're playing. Are you hungry yet?\"\n\n\"Yeah.\"\n\n\"It's been a while since you've had real food. Let's go to the dining room and get something to eat.\"\n\nZack stood and examined himself in the mirror. He now remembered that he was seventeen and this was his real body. The reflection staring back at him looked familiar, dressed in a white, short-sleeved shirt and pants. A thin metal bracelet encircled his wrist. Attached to it was a green stone with gold flecks which seemed to float inside. \"What's with the bracelet and the colour?\"\n\n\"That colour mean you're a celebrity.\" Kyle slapped him on the back. \"I will explain more after you've had something to eat.\"\n\n\"How long have I been out?\"\n\n\"The normal amount of time. Don't worry, we will cover all of that soon.\"\n\nThey exited the room and entered a long, white hallway lined with closed doors on each side. Every door had its own number and small coloured badge near the handle. They passed people traveling in pairs, similar to themselves, a younger person dressed in white accompanied by people in regular clothes. Zack noticed that each kid in white was younger than he, and their bracelets pulsed with different colours. One was red with silver flecks, another blue with bronze\u2014many different colour combinations. None were green with gold, like Zack's.\n\nThey entered a large, sterile-looking room with a cafeteria-style layout of tables and a food table. They got into line and grabbed two trays, Kyle handed one to his friend as he scanned the food on the other side of a glass partition. He ordered for both of them and put some dishes on his own tray while handing others to Zack. By the time they reached the checkout, Zack had two full plates and Kyle had one.\n\nA few minutes into their meal, Zack looked up and noticed the people around them. \"Why are they all looking at me?\"\n\nKyle followed his gaze and shook his head before looking back at his own plate. \"You're famous. Everyone wants to come over and meet you, maybe get your autograph or talk about parts of your last play that they liked.\"\n\n\"Then why don't they?\"\n\n\"It's against the rules. No one is permitted to talk to other players in here.\"\n\n\"Why not?\"\n\nKyle swirled one finger in a circular motion near his head. \"It could mess with your mind. They might stare, but no one will bother you. For now, at least.\"\n\nThey ate the rest of the meal in silence. When Zack's food was gone, Kyle picked up one of the empty plates and traded it for his own.\n\nZack finished that, then sat back in his seat, took a drink from his glass, and sighed. \"That was good, thanks.\"\n\n\"My pleasure. Want more?\"\n\n\"I'm good.\" He looked around. \"What do we do now?\"\n\nKyle stood. \"We make sure your brain and body are fine. Come on.\"\n\nThey walked toward the exit and stopped in front of a white box mounted on the wall. It was solid, except for an opening in the bottom.\n\n\"Place your arm with the bracelet in there, count to five, then pull your hand out.\"\n\nZack did as instructed and white light pulsed, making the box flash five times. He pulled his hand away and the box flashed again. Five green pulses this time.\n\nKyle gave him a thumbs-up. \"That's good news. Let's head back to your room and take the bracelet off so we can complete the final few steps and get out of here.\"\n\n\"Sure. Lead the way.\"\n\nThey returned to the room where Zack had woken up. Kyle picked up a pair of sunglasses from the bed and patted the mattress. \"Okay, man. Lay back on the bed and put these on.\"\n\nThe glasses had a video screen built into them, currently displaying static. A faint hissing noise came from small speakers in the earpieces as Zack settled the glasses in place.\n\n\"I'm going to press Play now,\" Kyle's voice spoke above the static. \"Just sit back, pay attention to the video, and enjoy the show.\"\n\nThe static and hissing faded. A blue sky with fluffy white clouds materialized in front of Zack, accompanied by the chirping of birds and a whispering breeze.\n\n\"Welcome home, Player.\" A man's voice spoke in a gentle tone. \"I will now remind you who you are, and where you have been for the last few weeks . . .\"\n\n3\n\nKyle waited as the glasses reviewed the details of the Game for his friend on the bed. He'd been playing the Game all his life and knew what Zack was going through.\n\nWhen the glasses beeped and shut down, Kyle reached over and removed them from his friend's head, watching Zack's eyes for any telltale signs of psychosis.\n\nIf he cracks, they will keep him here for a few more days to rest. If he does more than crack, if he actually breaks . . . Kyle shook his head. Nah, his pupils aren't blown. He's fine. \"Feeling okay?\"\n\nZack squinted as he sat up. \"I think so.\"\n\n\"Good.\" Kyle placed the glasses on a table and picked up a clipboard, tapping a pencil against it. \"I'm going to ask you a few simple questions. Answer them correctly, and we can get out of here. How's that sound?\"\n\nZack leaned against the wall behind him. \"Fire away.\"\n\n\"Who invented the Game?\"\n\n\"Brandon Strayne.\"\n\n\"What is the Game?\"\n\n\"It's a virtual reality simulation designed to teach kids about life, letting them learn and make mistakes in a safe environment.\"\n\n\"How long does a play last?\"\n\n\"Until your avatar dies. When that happens, you exit the Game and return to this reality.\"\n\n\"Tell me about the point system.\"\n\n\"During your play, credits are earned. Those credits are deposited to your account when you exit. If you earn enough credits, you can use them to re-enter the Game and play again.\"\n\n\"How soon before you can go back in?\"\n\nZack frowned and then shrugged. \"The computer ranking system determines that. It's based on so many variables that no one can predict exact times, but you could re-enter as soon as a day after you come out, or wait up to two months. As long as you have enough credits to buy back in, and you're not older than eighteen, you can re-enter.\"\n\n\"How many kids are playing?\"\n\n\"Over a billion kids are inside, all playing at once, all in the same world, all interacting with each other.\"\n\n\"What can credits from the Game buy you in real life?\"\n\n\"Until you are eighteen, you can only use your credits for in-Game purchases. Once you turn eighteen and retire from playing, the credits you've earned and retain in your virtual account are converted to real money, which you use to begin life as an adult. That money can be used to purchase admission to a high-quality university, buy a position in a successful company, buy a house, build your own business, tons of things.\"\n\n\"You're almost eighteen, Zack. How much money will you have when you retire?\"\n\nZack smiled, holding up his bracelet. \"If my memory is right, and I think that it is, then I'm one of the top players to have ever played the Game. When I turn eighteen and cash out, I will be one of the richest people in the world.\"\n\n4\n\nThey drove to Zack's apartment. Kyle pulled up to the front entrance as a doorman approached and opened the door.\n\n\"Welcome home, sir,\" the doorman said. \"Congratulations on a spectacular play.\"\n\n\"Thanks, Bob.\" Zack stepped out of the car and leaned down to look at his friend, still in the driver's seat. \"You coming up?\"\n\n\"I have some errands to run, but I'll come back in an hour or two.\"\n\nZack tapped the roof. \"See ya, then.\"\n\nHe entered the building, got onto the elevator, and pressed the button for the top floor.\n\nZack was an orphan who had grown up in a state-run orphanage. As he moved up in the ranks of the Game, options presented themselves, allowing him to leave government care and strike out on his own. Officially, kids weren't able to benefit from their Game credits while still playing. Unofficially, at around the age of fifteen, a high-ranking player could trade current credit against future dollars for comforts in the real world. Certain banks and institutions did extend loans to players, charging higher than average interest since they were risking losing it all if the player did poorly. The risk on the parts of the banks was significant. Many players did well early on only to lose everything at sixteen or seventeen and drop out of the Game with no money to their name.\n\nZack entered his apartment and looked around, overcome with a sense of having been absent from this world for decades, even though it had only been weeks. Everything was as he remembered. It was strange to remember one lifetime while living in this one as a much younger man.\n\n\"Better get used to this world, Zack.\" He went to the sink and poured a drink from the faucet. \"You turn eighteen in five weeks.\"\n\nHe drained the glass and set it on the counter, then strolled through his residence, grounding his brain further. The apartment was two stories, filled with state-of-the-art furniture, appliances, and every current popular gadget and toy. Money from his loan had enabled Zack to get the apartment, but the bulk of his possessions\u2014the furnishings and playthings\u2014were gifts from his Patron.\n\nGood players became popular and developed a following, much like movie stars had when they still existed. Adults didn't play, but that didn't mean they weren't interested. Game-based television programming had replaced all other forms of entertainment. The best players were given their own dedicated channels, focused solely on their current avatar from the moment they entered the simulation until virtual death occurred.\n\nEach citizen followed their favourite players and story lines. Sports and reality shows? Why watch that when you could follow living and dying inside the virtual world? Fans much preferred to bet on whether a dictator would succeed and live or fail and die inside the Game. Would your favourite player overcome divorce and financial failure during his life in this play, or would he end up destitute and poor for the remainder of his virtual existence?\n\nThere was another expensive option available to society's very wealthy. When a player had completed a particularly interesting or exciting play, fans could spend the money to plug themselves in virtually. They would lie on a table and be plugged into the computer system, their bodies comatose while they virtually 'became' the avatar and lived the entire lifetime from the character's birth until death. This costly experience was called 'Firsting,' and it was one of the most profitable and exciting aspects of the game for many.\n\nTop-level players also attracted Patrons, rich people who helped market, coach, and support players in many diverse ways during their careers. In exchange for this support, they were legally entitled to a portion of the money paid out to the player when they retired. Having a good Patron was key in many ways, and it was impossible to become ultra-successful without one.\n\nZack entered the living room and saw his Patron sitting on a couch with a drink in hand and feet resting on the coffee table. The current Game news was being discussed on the large view screen mounted to the far wall.\n\nHe glanced over his shoulder and smiled at Zack before turning the volume down. \"Stunning adventure, my boy. Your best play yet.\"\n\n\"Thanks.\" Zack retrieved a cold drink from an ice bucket on the table and plopped into a chair. \"Give me the highlights. Which parts were the most profitable for us?\"\n\nZack's sponsor pulled up a list of notes from his tablet and began speaking.\n\nThey spent the next hour discussing the details. Zack's Patron was skilled and wealthy, and had assembled a world-class team to assist him.\n\nFinally, the highlights were covered and the two sat quietly.\n\nZack finished his drink. \"What do you recommend for my next play? How many points should I spend and on what?\"\n\nHis Patron leaned back and rested his feet on the coffee table. \"In my opinion, there are only two strategies to consider. One, you can play it safe. Most players in your shoes would do that.\"\n\n\"Make it a short, cheap game that ensures I hold onto most of credits that I already possess.\"\n\n\"That's right. Not very exciting for the fans, but it would guarantee you a good life after the Game. No one could blame you for doing that.\"\n\n\"Or?\"\n\n\"Or you spend your credits on a list of power increases and skill buys that set the stage for a very entertaining and exciting play.\" He produced a sheet of paper and handed it to Zack.\n\nZack read the list of suggestions and his eyes widened. \"This is aggressive.\"\n\nHis Patron shrugged. \"Play it safe, or play it on the edge. If you go for it, spend most of your credits to create an incredible playing opportunity, and then rely on your experience and knowledge\u2014which in the Game means intuition and listening to your gut\u2014I know you could finish your career as the number one ranked player in the Game.\"\n\n\"I was number one a few times over the years. It's not as fun as it sounds.\"\n\n\"It is when you finish number one on your last play. Number one out of just over a billion players. The odds of it actually occurring are astronomically high. In the thirty years since the Game went live, it has only happened eleven times.\"\n\nZack smiled. Only a small percentage of players ever made it to the top ranks, and those who did tended to play conservatively close to retirement, avoiding risk so they could finish rich. Even making it to retirement was a serious accomplishment. Most players failed out by fifteen or sixteen with insufficient credit to buy back in for another play. This virtual reality program had been invented to replace the school system, which it did, to a degree. But of the billion-plus children playing at any given time, there were less than six million older than fifteen, and more than three-quarters would fail out before reaching retirement.\n\nHis Patron leaned forward. \"I believe in you, Zack. Your rank prior to this last play was seven hundred fifty-two, and now you're sitting at number two. My advice is take the bold route and go for it.\"\n\n\"If I mess up and lose all my credits, will you cover me? Draft a legal document saying you'll pay what I am entitled to at this moment in time, should I gamble and lose it all.\"\n\nHis Patron chuckled. \"You know I can't do that. It's against the rules, a law, in fact, and one that even I dare not break.\"\n\n\"Then, when it all boils down to it, I'm on my own.\"\n\n\"You always were, just like everyone else.\"\n\nThe two sat for another moment.\n\n\"There are,\" his Patron offered, \"unique options that I can provide. If you want to make a brave play for number one.\"\n\n\"Tell me.\"\n\nFor the next half hour, Zack listened to the plan.\n\n\"No matter what we do it will still be very risky.\" Zack ran a hand through his hair. \"I could lose it all.\"\n\n\"Or win it all, and that's how you must think of it should you decide to move forward.\"\n\n\"I'll want time to think about this.\"\n\n\"It will be a few days before we learn when you can go back in. My guess is that it will be a week or two. Even if you can go in sooner, I advise waiting for a couple of weeks to set things up as perfectly as possible. The press wants to interview you as well.\"\n\n\"Which stations?\"\n\n\"All of them. They are fighting amongst each other to be first to talk with you. Number two from seven-fifty-two is a huge leap.\"\n\n\"Who are we leaning toward?\"\n\n\"The Buzz. They have worldwide coverage, and the owners are significant sponsors.\" His Patron grinned. \"It's best to reward them for backing you as long as they're one of the highest bidders. The real carrot they are dangling is a promise to have Angelica interview you if we decide to go with them.\"\n\nZack shifted forward in his seat. \"Are you serious? Angelica interviewing me? She's one of the best to ever play the Game. No one has heard from her since she finished number one four years ago. I would love to meet her.\"\n\n\"I will tell the Buzz you're in, then. We can start with them, then do a full press tour.\" Zack's Patron stood. \"I've got to get out of here. Lots of work to do, and Kyle will be back to check on you soon.\"\n\n\"When will we meet again?\"\n\n\"A few days.\" He placed a hand on Zack's shoulder and squeezed it. \"I'm very proud of you. If you manage to actually pull this off, I will make good on the reward you asked for when we first met. It seemed a silly request at the time, but nothing would make me happier than to officially give you my surname.\"\n\nZack grinned. \"Zack Strayne. I've always liked the sound of that, Brandon.\"\n\n5\n\nIntroduction music began to play and a deep, male voice came over the studio speakers.\n\n\"Thirty years ago, the middle class had disappeared and the lower class was in danger of becoming ineffective as workers in society. Poor mental and physical health plagued the common man, and the leaders of the world realized that if something was not done, civilization would crumble.\n\nIt was at this time that salvation came in the form of virtual reality. A small company named VirtDyne announced that they had invented functioning Virtual Reality, but despite all attempts, they could not perfect it. After the deaths of several test volunteers, they were on the verge of shutting down. Brandon Strayne, the only son of the world's most brilliant computer programmer, purchased a controlling share of the company and promptly succeeded where VirtDyne had failed, making virtual reality safe for everyone to use.\n\nCorporations all over the world offered to buy the technology, but Brandon had plans for virtual reality that did not involve the world of commerce. He unveiled the Game, a virtual reality life simulation designed to teach children valuable skills so they might become productive members of society once more. Where traditional schools had failed, Brandon planned to succeed. In this safe learning environment, children would live entire lifetimes in only five to eight weeks many times over before setting out to make their way in the world. Brandon presented his idea as an exciting new alternative to existing schools, capable of producing highly educated and sophisticated adults who would enrich the world with their experiences.\n\nGovernments accepted the idea and agreed to implement the Game worldwide.\n\nChildren first entered the Game at the age of five. They were given five free plays during which time they would earn credits based on their experiences. These credits would be used to buy skills and talents to help them in new lives, or incarnations, as they came to be called. After five plays, the children were required to buy their way into subsequent games from credits earned during plays.\n\nThose under the age of fourteen who lacked enough credit to play were labelled as 'Dropouts' and returned to the traditional schools. Those older than fourteen were sent to government-run schools where they were trained to perform simple labouring jobs until reaching the age of eighteen when they would enter the workforce.\n\nIt has been said that youth is wasted on the young. With the Game, a young person has the unique opportunity to gain wisdom and experience by living many lifetimes. Early graduates proved to be very intelligent and able to do a myriad of jobs and the Game was deemed a success. For the past thirty years, the Game has been our salvation, as well as our entertainment.\"\n\n6\n\nThe lights brightened and cameras focused on Lisa Rohansen, host of the popular program, The Game Source. Brandon Strayne sat beside her.\n\nLisa adjusted her black-framed glasses and smiled at the camera. \"The eighteenth of next month marks the thirtieth anniversary of the Big Bang, the day when the Game first went live. Brandon Strayne has agreed to join me to discuss the upcoming festivities surrounding the historic anniversary.\" She turned, tilted her head and reached up to tuck a stray lock of blonde hair behind her ear, smiling at Brandon. \"Thank you for joining us, Mr. Strayne.\"\n\n\"Please, Lisa, call me Brandon.\"\n\nLisa smiled. \"Thank you, Brandon. Let me begin by asking you what's on everyone's mind. Will the thirtieth year of the Game bring special events for viewers and, if so, can you share any details with us?\"\n\n\"Thirty years of the Game is a tremendous milestone that we are very proud to have reached. I am able to tell you that, yes, we do have some incredible special events planned. Some will be obvious to viewers but many will not. Our programmers and Game Masters have many interesting events and story lines designed, and I'm as excited as everyone else to see what develops. I'm especially excited to see if my young benefactor can complete his final play in the Game ranked number one.\"\n\nLisa sat forward in her seat. \"Let's talk about that. Zack was nowhere near the top in the rankings when he began his last incarnation. Now he's ranked number two after his last play. How would you respond to critics who claim he is doing well only because you are his Patron?\"\n\nBrandon shook his head. \"I would say these people have no idea what the Game is or how it's played. First of all, Zack entered his last play ranked seven hundred fifty-two. When you look at the world rankings, which includes over a billion currently active players, seven-fifty-two is quite high. Second, check the history over the last twenty-nine years and you'll see that many players have made jumps in rank considerably bigger than the one Zack made. Any player ranked in the top few hundred thousand can move into a high-ranked position\u2014even the top one hundred\u2014if they have a particularly good life inside the Game. It happens all the time.\"\n\n\"That's true. We have seen big jumps like this before.\"\n\n\"The Game was created by my company, but I can assure you that it is impossible for me to help anyone while they are playing. Such tampering would require writing immense amounts of new code. That would then result in massive shifting of the entire virtual timeline and cause billions, if not trillions of individuals to be adversely affected inside the Game. Over the years, hackers have tried to influence the Game from time to time, but they have never succeeded. Only Game Masters can do so, and the exhaustive time and effort required to make even the smallest change to the virtual universe is so complicated that tampering like you are suggesting could never happen.\" Brandon leaned forward. \"What happens in the Game is unscripted and uncontrolled by anyone outside of it. I don't know about you, but I think that's what makes it so popular and incredible. We nudge the system with great effort, but time and again it has been shown that the Mainframe creates more exciting events than our best programmers ever could.\"\n\nLisa smiled. \"Thank you for your frank response, Brandon. Let me ask you a question that you may be able to tell us the definitive answer to. Is Zack going to go for it? Will he be playing for first place, or going the safe route to ensure that he retires wealthy?\"\n\nBrandon smiled and spread his hands. \"Only he can know for certain, Lisa. I guess we will all just have to wait and see. If you want to hear him speak about it, be sure to watch his upcoming interview with Angelica.\"\n\nLisa's eyes widened. \"Angelica? That's incredible news. Are you serious?\"\n\nBrandon nodded.\n\nLisa turned to face the cameras. \"You heard it here first, everyone. On behalf of the network, I would like to thank Brandon for speaking with me tonight. It's sure to be an exciting time for everyone, both players and spectators alike.\"\n\n\"I have one more announcement before we go, Lisa.\"\n\n\"Of course.\" She turned to face him and the camera panned out. \"What would you like to share with us?\"\n\n\"Mainframe has announced that it's giving a free play to someone who previously dropped out. A free play hasn't been awarded in over three years, and I was wondering if you would like to hear who it will be.\"\n\n\"By all means, announce the lucky player's name for the audience.\"\n\n\"The name of the free play recipient is Alexandra Montoyas, age seventeen. It is very exciting that she will be getting a free play as the Game's thirtieth anniversary begins. Here's hoping that she's able to take advantage of it and does some entertaining things for us to watch.\"\n\n\"Alexandra Montoyas.\" Lisa repeated the name slowly. Brandon watched her with a smile on his face. Her eyes widened. \"Zack's old girlfriend? The brilliant young player who failed out of the Game and disappeared from the spotlight last year?\"\n\nBrandon feigned surprise. \"Ah, yes, that's right.\" He waved one hand. \"Well, I'm sure Mainframe has something interesting in store for fans by inviting her back into the Game. I can't wait to see what happens.\" Brandon's smile faded and his gaze became intent as he looked into the camera. \"Are you excited to watch as well?\"\n\n7\n\nBrandon Strayne's announcement last night has caused much speculation and excitement regarding Alexandra Montoyas.\n\nFor those of you who don't remember, she was a very skilled player who slowly moved up the ranks until she was in the top hundred thousand. Millions learned of her when she began to date the already popular player named Zack.\n\nNot long after their romance bloomed, they came up with a bold plan to have their virtual lives mingle during their next plays. They created an intricate strategy to run into each other and spend their lives together in the Game. Alexandra spent every available point she had and fans around the world were excited to watch the drama unfold.\n\nOf course, everything went terribly wrong only minutes into the play when her avatar died during childbirth.\n\nThe tragedy resulted in Alexandra being unable to buy another play in the Game. She was forced to attend a government school and fans lost track of her.\n\nIt is very exciting to learn that she will be given a chance to play one more time.\n\nLisa Rohansen, The Game Source \u2013 Your Online Source For All Things Game!\n\nAlexandra Montoyas stood with her back pressed against the wall, tilting her head back as she tried not to gasp for air. Her heart pounded, and she closed her eyes, willing it to slow down.\n\nAfter what felt like an eternity, her pulse slowed and breathing wasn't so difficult anymore. She opened her eyes and turned her head, looking along the wall and past the alley opening into the street beyond. She inched closer to the entrance of the alley, taking one step and then stopping to listen before repeating the process.\n\nI don't hear anything. Maybe they gave up.\n\nShe squatted and closed her eyes once more, fighting back tears. Please let them be gone. I can't do this today.\n\nFrom her vantage point, she could see up the street a ways. The pile of scrap was still in the street where she had dropped it, pieces of discarded and rusting metal bundled and tied with a piece of thick blue rope at the middle and ends. Alexandra weighed the cost of leaving it there or making the attempt to grab it.\n\nIf she returned to school empty-handed this would make it three times in a row. Punishment for not producing became worse as failures increased, and for her it would be more costly than most.\n\nWhen Alexandra had arrived at the government school, it hadn't taken her long to realize that the higher one rose while playing the Game, the more hated they were by everyone who failed out. For the past year, her life had been a living hell with teachers\u2014if you could call them that\u2014and students alike going out of their way to torment her.\n\nAfter waiting for what felt like ten minutes, Alexandra made her decision. She turned away from the bundle of scrap and headed for the other end of the alley. I don't have to report in for another day. That will be enough time to start all over again.\n\nShe stuck her head around the corner and cried out as a hand grabbed her by the hair and pushed her to the ground.\n\n\"Where you goin', Fallen? Thought we would give up on you so quick, did ya?\"\n\nAlexandra's pulse raced again as she was surrounded by mocking laughter. \"The bundle is at the other end of the alley. Take it.\"\n\nA fist punched her in the side. \"We know where the bundle is, and we'll take it when we're done. Don't need your permission for that.\" Her head was yanked back and she looked at her captor, a tall, muscular, ugly boy called Crunch. \"More interested in you at the moment.\" He sneered and shoved her into the middle of a circle formed by a half-dozen thugs from Crunch's gang.\n\nShe didn't ask what they wanted with her because she knew. They hated her more than anyone else in the school. Not for who she was, but for what she had accomplished as a player of the Game. Everyone was given a name when they arrived. In a population made up of kids who had all fallen from grace and failed out of the Game, she had fallen from the highest rank, and so they'd named her Fallen.\n\n\"I don't think there are enough of you to beat me.\"\n\nThe kids laughed and Crunch shook his head. \"You're not a fighter. We've all had a swing or two at you before.\"\n\nIt was true. Crunch and his gang seemed to 'run into' her more than most. She knew he hunted her, but there was nothing she could do to stop it. \"Then it's a good day to die.\"\n\n\"Maybe.\" Crunch shrugged and stalked toward her, a disturbing expression on his face.\n\nA shrill whistle from nearby made everyone turn to look for its source. A large muscular-looking man dressed in a black tailored suit stood at the end of the block. His features were chiselled and his hair short and slicked back. His eyes were concealed by dark black sunglasses.\n\n\"What's a Businessman's bodyguard doing out here?\" one of the kids asked.\n\n\"Shut up,\" Crunch raised one hand and yelled at the guard. \"You're in the wrong place, old man. Turn around and go home.\"\n\n\"I've come to collect Alexandra Montoyas.\" The man spoke in a monotone just loud enough for the kids to hear.\n\n\"No one here by that name.\" Crunch smirked and the others laughed.\n\n\"Let her go.\" The bodyguard began to walk toward them.\n\n\"What you gonna do?\" Crunch reached down and pulled a small knife from his boot. \"There's only one of you, and seven of us.\"\n\n\"There are two.\" An identical-sounding sterile voice spoke from behind them. Crunch began to turn but the second bodyguard punched him and knocked him to the ground. The other kids froze. The large man leaned down, punched Crunch twice more, this time in the face, then took the knife from his hand. He looked up at the other gang members and drew the blade across Crunch's throat, then stood and dropped the knife beside the body.\n\nThe rest of the gang turned and ran, leaving Alexandra with the two bodyguards.\n\n\"Are you Alexandra Montoyas?\"\n\n\"Yeah.\" She looked down at Crunch's lifeless body. It had all happened so fast.\n\n\"Come with us.\" One man took her arm and led her down the street.\n\nAlexandra forgot to ask about bringing her bundle of scrap.\n\n8\n\nThe guards led Alexandra into the school yard and directly to the principal's office. Principal Williams\u2014or 'the Toad' as students called him behind his back\u2014stood at the door. \"Ah, there she is.\" The short, balding man smiled, an expression Alexandra had never seen on his face before. \"I'm so glad they found you, Ms. Montoyas.\"\n\n\"What did I do?\"\n\n\"Do?\" The Toad's eyebrows shot up. \"Nothing at all, my dear. Please, step into my office.\"\n\nAt first, she had been relieved that the guards had saved her. Crunch had promised to kill her next time he caught her, and she was pretty certain that was where things had been heading. Now, though, she was nervous once more. The Toad did not have guards and, during the walk, she had recognized one of the bodyguards. She knew who they worked for, and she did not want to talk to their boss.\n\nShe stepped into the office and pressed her lips together as she recognized the woman sitting behind the principal's desk. \"Lilith.\"\n\nFrom the cut of her dark red business suit all the way to her posture and facial expression, everything about her former Patron exuded confidence, power, and beauty. Alexandra stopped in front of the desk. Lilith smiled and stood, opened her arms, and came around the desk to envelop the girl in a hug. Alexandra held her arms stiff at her sides and clenched her teeth as she glared at the wall. After a few moments, Lilith released her and took a step back, holding Alexandra at arms' length and looking her up and down.\n\n\"Alex, my dear, it's so good to see you again.\" The woman's tone was warm and genuine. \"I must say that, all things considered, you are in great shape.\"\n\nHer face flushed crimson. \"I look like garbage, Lilith, and smell worse. A proper meal hasn't found me in months, and I'll likely be dead soon. Why are you here after abandoning me? Have you come to gloat? I thought we were more than player and Patron. I thought we were friends.\"\n\nLilith frowned and removed her hands from Alex's shoulders, smoothing her blouse before walking back to sit in the Toad's chair. Lilith placed her hands on the desk and looked down. After a moment, she raised her head and motioned for Alex to sit.\n\nThe girl sat and took a deep breath. There's air-conditioning in here, at least. Just get through this. Whatever this is.\n\n\"Alex, I'm not here to hurt you or to take pleasure from your misery.\" Lilith sighed and reclined in her chair. \"Listen, kiddo, I know it sucks here. Honestly, I do. Before I tell you why I'm here, I want to set the record straight on a couple of things, if you'll hear me out.\"\n\nYou were my Patron. Closer to me than my mother. When the Game went bad, you abandoned me. \"I'm not interested in hearing anything that you have to say.\"\n\nLilith sighed and rubbed her temple. \"I've been a Game Patron for over twelve years. I've sponsored over a hundred players, and most of them turned out very well. I've also lost some.\" She paused for a moment. \"And it breaks my heart every time.\"\n\nAlex bit her lip.\n\n\"You know the rules, Alex. There was nothing either of us could have done differently. A student between the ages of fifteen and eighteen who can no longer afford to re-enter the Game must immediately report to a government public school, where they are to remain until they reach adulthood.\"\n\n\"Government public school.\" Alex laughed.\n\n\"I know, it's a joke. Slave pen is more accurate. When I learned what the government schools had become, I did my best to change it. You're too young to remember, but I ran for office, and my entire platform was focused on changing the current system.\" She frowned. \"I was not successful. Even if I had been, I doubt the system would have allowed for change. After that, I fought the only way I knew how. I began to sponsor players to try and help as many as I could to keep them out of here.\"\n\n\"But not all of us.\"\n\nLilith closed her eyes. \"No. Some climb high and step into the world spotlight. They become superstars.\" She opened her eyes. \"Sometimes they spend all of their credits on plays and risk too much. Occasionally, they drop out of the Game.\"\n\n\"And when that happens, you cut your losses and abandon them.\" Alex shook her head. \"You wouldn't even see me, Lilith. I came to your front gate and you had a servant hand me a ticket which brought me here. All of the pain and torment I've experienced is because of you.\"\n\nLilith's eyes became glassy. \"My dear girl, I did the best I could. If the two of us are going to have any chance of moving forward, it's important for you to believe that.\" She held out her hand and one of her guards placed a pair of video glasses on her palm.\n\n\"When your avatar died in childbirth\"\u2014the tone in Lilith's voice was soft\u2014\"I called in every favour I could to protect you. You went from superstar to Dropout in less than ten minutes, Alex. You were in trouble and time was running out.\" She looked around and indicated the office with one hand. \"I did it, by the way. Put you into the very best institution available.\"\n\nAlex laughed again. Tears flowed down her cheeks. \"Oh my god, you must be kidding me. Here? You called in favours to place me in this hell? Whoever told you this was a good place was lying. I would not send my worst enemy here, let alone someone I claimed to care for.\"\n\nLilith nodded and stood. She placed the glasses on the desk. \"Watch this video. It's footage of what goes on at an average or below-average government school.\"\n\nThe guards and the Toad left the office. Lilith followed and paused with her hand on the door. \"It's a ten-minute video. I'll be back in fifteen. If you still believe that I abandoned you after you watch it, then I'll leave you alone. Forever.\"\n\nThe door closed. Alex took another deep breath and wiped her eyes. When she had regained her composure, she put the glasses on and pressed 'Play'.\n\nTwo minutes into the video, she felt light-headed. At the five-minute mark, she paused the video, went to the Toad's garbage can, and vomited. Eight minutes in, she screamed and threw the glasses against the wall, wiping her eyes and shaking her head angrily.\n\nWhen fifteen minutes had passed, the door opened and Lilith entered the room, as promised. Alex ran to her and hugged her tight, burying her face in the woman's shoulder. \"I had no idea,\" she sobbed. \"Thank you, Lilith. Thank you for saving my life.\"\n\n\"I'm sorry that I couldn't have done more.\" She stroked the girl's hair.\n\nMoments passed. Alex's tears slowed and she pushed away from Lilith.\n\nHer Patron wiped her eyes, too. \"I'm sorry you had to see that. I apologize that I couldn't do more to help you.\"\n\n\"I forgive you.\"\n\n\"I'm glad.\" She smiled. \"I came to bring you good news, today.\"\n\n\"I could use some.\"\n\nLilith laughed. \"What do you mean? The announcement a few days ago should have cheered you up.\"\n\nAlex shook her head and frowned. \"What announcement?\"\n\n\"Oh wow. You don't know?\"\n\n\"Know what? Lilith, you're starting to worry me.\"\n\nShe grabbed Alex's hands and laughed as she spun the girl around. \"I'm so happy to be the one to tell you, my dear. Mainframe has awarded you a free play.\"\n\nAlex stopped moving and her eyes widened. \"What? Are you serious?\"\n\n\"Absolutely. You've been invited to go back into the Game.\"\n\n9\n\nBrandon Strayne sat in the back of his private transport watching the daily feeds of the Game as he drove to meet Zack. Today was the Angelica interview and the entire world would be watching. Brandon was pleased. Experts predicted this broadcast would draw one of the largest audiences in history. Although money no longer mattered to him, some of his partners would certainly appreciate the profits generated from today's event.\n\nHis phone buzzed and he pressed a button on a console to answer it. The speaker emitted a complex series of beeps and clicks indicating the call was encrypted to avoid being tapped. Brandon sighed and raised the privacy glass between him and the driver.\n\nThe noises stopped. \"Hello, sir.\"\n\n\"So formal, boy.\" The voice coming from the speakers was deep and rich, full of power. \"By now, you should be able to greet your father more warmly.\"\n\n\"I'm busy, Father, and so are you. What do you want?\"\n\n\"Is he on board? Will Zack do as you assured me he would?\"\n\nBrandon closed his eyes and pinched the bridge of his nose. \"He will do his best. You know better than anyone how the Game works. There are no guarantees once his play begins.\"\n\n\"Of course I know that,\" the voice snapped over the line. \"I didn't ask for a guarantee. I want to know if he has spent the appropriate credits, and if you feel that we are on track.\"\n\nBrandon paused. \"Yes.\"\n\n\"The others are all in place?\"\n\n\"Every one.\"\n\n\"You're almost out of time, Son. You know that as well as I do.\"\n\nI know that better than anyone. \"It's under control.\"\n\n\"Thirty years go by fast, Brandon. You've done better than I hoped.\"\n\nBrandon did not respond to the compliment. He had learned that unpleasant things often followed a compliment from his father.\n\n\"Alexandra Montoyas is re-entering the Game. What does that mean to the big picture?\"\n\n\"I'm sure it has no meaning. Her invitation is random hype. A small event that is part of the anniversary celebration and nothing more.\"\n\nThere was a long pause on the other end of the line. \"My gut tells me she's a concern. Keep an eye on her. Time is running out.\"\n\nWith a click, the call ended.\n\n10\n\nThe studio lights were bright and hot. Zack's face was covered in thick makeup and he felt a sheen of sweat forming beneath. He tried to smile and raise his eyebrows, but it was difficult and he sighed. Since coming out of this play, he had been very busy. Extensive press tours, interviews, fan-packed parties every night, plus team planning to decide what power increases to buy for his final play and a host of other activities had left him exhausted. He leaned against the wall near the stage and closed his eyes.\n\nI will rest. Right after this interview.\n\nA buzz grew in the room and Zack knew that Angelica was coming.\n\nShe walked into the room and he stood up taller. To his tired eyes, Angelica appeared sharp and clear while everything else became blurry. He smiled, suddenly unhampered by the makeup, and his pulse quickened.\n\nHer long blonde hair was thick and curly, bouncing as she walked. She was five-foot-six with an athletic frame and enticing smooth stride. As she got closer, her ice-blue gaze was penetrating, yet playful, as if she knew a joke no one else did. Gamers' eyes were distinct from those who had never played. The knowledge and wisdom gained from living multiple lives left a mark, and it made Angelica's eyes glint. She stopped in front of him and smiled. Zack could only smile back. He might be popular at the moment, but Angelica was perhaps the most famous Gamer ever.\n\n\"Hey there, handsome.\" She extended a hand toward him. \"You must be Zack.\"\n\nHe grinned and nodded as he reached for her hand. Her parents must have had special knowledge of the future when they named her. She looks exactly like an angel.\n\n\"A real talker, I see.\" She smirked. \"Let's sit down and hope that your voice comes back before the world tunes in, shall we?\"\n\nZack cleared his throat, still grinning. The old soul that lived inside his body laughed at him, but the kid that he still was puffed out his chest and spoke in a deep tone. \"I can't believe this is happening. I'm such a huge fan.\"\n\nAngelica twirled a lock of her hair. \"I get that a lot.\"\n\n\"Oh. Yeah, I guess you do. Sorry.\"\n\n\"It's okay.\"\n\n\"How long until we go live on the air?\"\n\nAngelica shook her head. \"It won't be a live broadcast.\"\n\n\"No?\"\n\n\"Absolutely not. They have to guess one of us will say something stupid or inappropriate. They will want to tape the interview and edit the mistakes out in order to present a polished product to the masses.\"\n\nA voice spoke from an unseen speaker. \"We will start the interview in two minutes.\"\n\nAngelica nodded and moved to the seats on the set. \"All right, buddy boy. Let's get this show on the road. I'm a busy girl with important places to be.\"\n\n\"Where?\"\n\nShe looked at him. \"Pardon?\"\n\n\"I mean, where have you been these past four years? You disappeared and no one knows where you went.\"\n\n\"Zack.\" The voice on the loudspeaker was Brandon's. \"We went over this. No questions for Angelica. Come on, you two. Let's do this thing properly.\"\n\n\"Yeah. Sorry, Brandon.\" Zack looked at Angelica and shrugged. She raised one eyebrow and returned the gesture.\n\n\"Go ahead and start when you're ready, A. We will cue the music and intro later.\"\n\n\"Okie dokie.\" She reached for a stack of cue cards on a table beside her and looked at the first one. She looked up at the ceiling. \"Are you serious? These questions are lame.\"\n\nThe sigh was audible over the speakers. \"Please. Just ask them.\"\n\n\"Not this one.\" She flicked her wrist and a card spun through the air.\n\n\"Angelica.\" Zack heard the frustration in the disembodied voice from the control room.\n\n\"Or this one.\" Another card flew from her hand. \"Nope. And no.\" She threw cards out of the pile so quickly that Zack wondered if she was even reading them.\n\n\"Ah ha!\" She held a card up and looked at him. \"Finally, a question that will be worth asking.\" She placed it on her lap, then went back to throwing more away. \"You know what? I'll get going with this one, and then ask more as they come to me. How's that sound, Pete?\"\n\n\"What will you do if I say no?\" The voice from the speakers asked.\n\n\"Do it anyway.\"\n\n\"Then that sounds great, Angelica. Can we get started?\"\n\n\"Pete? Buddy?\" She looked at Zack and winked. \"I hope the tapes are rolling, because so far this interview has been hilarious. Show this opening part for sure 'cause it might get boring once our boy starts yipping.\"\n\n\"Angelica\u2014\"\n\n\"Sorry, Pete.\" She raised a hand and shook it. \"I'd love to chat with you, but maybe later. We're trying to conduct a pretty serious interview out here.\" She frowned and shook her head. \"Sorry 'bout that, Zack.\"\n\nZack laughed. \"No problem.\"\n\n\"Good. Now where were we?\"\n\n\"Waiting for you to ask me questions.\"\n\n\"I just did.\"\n\n\"So the interview has started?\"\n\n\"Hey, simmer down, Sport. I don't know if you got the memo, but I'm asking the questions here, if you don't mind.\"\n\nHe tilted his head and raised his eyebrows. \"Knock yourself out.\"\n\n\"That's better.\" She picked up the card from her lap and read it before looking back at him. \"So, Zack. How's your final play gonna go? Will you risk it all and try for the number one spot, or are you leaning toward playing it safe so you can retire with some money to get you started in real life?\"\n\n\"Right to the point, huh?\"\n\n\"It's a decent question.\"\n\n\"Okay. Well, to tell you the truth, I haven't decided yet. You're just going to have to wait and see like the rest of the fans.\"\n\n\"Boring.\" Angelica flicked the little card right at Zack. He ducked as it flew past.\n\n\"What do you mean?\" He looked at a camera man for help, but he just shrugged.\n\n\"I mean\"\u2014Angelica continued to look at the cards in her hand, throwing them into the air one after the other\u2014\"that your answer is boring. The questions are crap.\" She blew a few stray strands of blonde hair out of her face. \"These questions are a waste of my time, Brandon. I knew I shouldn't have agreed to this.\"\n\n\"Angelica.\" Brandon's voice sounded stern over the speaker. \"We talked about this. You know why you're here.\"\n\n\"Yes, we all know why I'm here,\" she muttered then looked at Zack and smiled, as if noticing him for the first time. \"Heya.\"\n\n\"Um, hi.\"\n\nShe stood and grabbed her chair, dragging it across the stage until it was almost touching his, then plopped onto it and reached out to pat his knee.\n\n\"Okay, look. I know what the world wants to know. Four years ago, I sat in your seat and did this same damn interview myself.\" She turned to face the camera and smiled. \"My interviewer was nowhere near as beautiful as Zack's.\"\n\n\"I agree with that one hundred percent.\"\n\n\"Hold up, Stud.\" Angelica leaned back in her chair. \"Let's get some answers so you and I can leave, and these nice folks at home can get back to their miserable lives. You game, big boy?\"\n\n\"Sure.\"\n\nAngelica looked at the main camera with a deadpan expression. \"For those of you playing at home, if he answers quickly, then he's likely telling the truth. If he hesitates or stammers, then he's lying.\"\n\nShe glanced at Zack out of the corner of her eye. \"First question. Are you going for it?\"\n\n\"For what?\"\n\n\"The number one spot.\"\n\nZack laughed. \"Right to the big question, huh?\"\n\nAngelica shrugged. \"Want something easier first? Okay then. You going in as a man or woman?\"\n\n\"Well, I thought long and hard about that decision befo\u2014\"\n\n\"Nope, don't care about the thought long and hard part. We all assume you overthought everything. You're going for the number one spot, for crying out loud.\"\n\n\"Hey, don't put words in my mouth. I never said if I was or\u2014\"\n\n\"Or if you weren't. Right. So far, I've asked you two things. Even the guy who can't work the controls on his viewer and needs his mommy to come in and change channels for him can keep up with this interview, so far.\" She looked at the camera and winked. \"I'm looking for answers. Ready? Let's try again. Boy or girl?\"\n\nZack rolled his eyes. \"Boy.\"\n\n\"Where in the world will your avatar be born?\"\n\n\"Well, that's part of the fun of the Game. You can start in one area and quickly end up in another. Three lives ago I\u2014\"\n\n\"No. No. No, no no no. I turned twenty-two three months ago and I swear, if I turn twenty-three while still trying to get a decent answer out of you, I'm gonna do some bad things to a lot of people.\"\n\nZack laughed. \"Fine. I won't tell you exactly where, but my avatar will be born in a technological part of the world.\"\n\nAngelica clapped her hands together. \"Thank you. See how easy it is if you just focus on the actual answer to my questions?\"\n\nZack nodded.\n\n\"Personality type?\"\n\n\"Outgoing, leadership aptitude.\"\n\n\"Which doesn't mean a leader, necessarily?\"\n\nZack looked at her, saying nothing.\n\n\"Did you purchase a relationship package?\"\n\n\"Yes.\"\n\n\"Life span upgrade?\"\n\nZack smiled. \"Everyone buys that. Without a life span upgrade, you die around age twenty.\"\n\n\"Not everyone buys that.\" Angelica shook her head. \"Some players go in with the intent of having a short life span. To affect those around them.\"\n\n\"Yeah, that's true.\"\n\n\"Thank you. So, are you going to likely live past twenty in the Game during this play?\"\n\n\"Yes. I bought the life span upgrade.\"\n\nAngelica rolled her eyes. \"How do you hope for your play to impact the world of the Game? Barely at all, which is a level one, or closer to celebrity status, which is a level ten?\"\n\nHis mind went blank for a moment. This was one question that Brandon had told him not to answer. He opened his mouth, then closed it. Angelica's eyelashes fluttered. She raised her shoulders and sighed. Zack laughed. Answer her anyway. If they don't like it then they can edit it out. \"I have absolutely no idea. I think all of us want to affect the Game world at a level ten when we go into it, but I don't know of anyone who spent credits with that goal in mind and succeeded. There have been new players who become Game celebrities with no apparent effort, while other rich and experienced veterans end up wasting their play as a level one or two nobody.\"\n\n\"Yes, that's all true.\" Angelica yawned. \"I'm not asking what you intend to do, I'm wondering what you hope to accomplish. Trust me, your mindset matters in these areas of play. If you actually could influence things, what number would you shoot for?\"\n\nHe crossed his arms and answered in a monotone. \"Eleven.\"\n\n\"Boo. Another garbage answer, Zack. Do you know how many times I've asked this question of players? Their answer is always eleven.\"\n\nZack leaned forward and raised his eyebrows. \"I don't think you've ever asked another player that question and gotten the answer 'eleven'.\"\n\nHer eyes twinkled. \"Fine. You're right, but in my defence, it's the first time I've actually asked that question.\"\n\nAngelica stood from her chair moved to sit on Zack's lap.\n\nCareful, she's trying to throw you off your game. He leaned close to her and whispered. \"I know what you're doing.\"\n\nAngelica smiled. \"I don't know what you're talking about.\" She looked at the camera. \"Zack, I think you've answered many of the questions that you're allowed to before entering the Game. Let me ask you a final one before we go.\"\n\n\"Okay.\"\n\n\"If Angelica and Zack were both playing their final Game at the same time, who would come out as number one?\"\n\nZack chuckled and tilted his head to one side while keeping his eyes locked on her. \"I saw your last play Angelica. You and I both know a Gamer's true skill comes from what we have inside us. A player goes into the Game and forgets everything about who we truly are. We are born into a virtual reality and, for the entire time we're in it, we believe the Game world is real. We grow up, fall in love, have families, and experience a full lifetime. When we die, we're certain it's all been genuine. Still, I believe that we take something into the Game with us, something from deep inside our being that we can't control.\"\n\nZack raised one eyebrow and looked at her for a long moment before looking at the camera. He smiled. \"Given the exact same upgrades and credits for each of us, there's no doubt in my mind. I would beat Angelica every single time.\"\n\nAngelica looked at him silently, her face blank. Then she laughed and leaned in to kiss him on the cheek, tousling his hair and standing from his lap to walk toward the camera. \"Alright then, everyone, let's recap. We don't know if he's going for it or not. He will be playing as a guy, and will be born in civilized territory. He's going to add romance to the package, which always makes things volatile, plus he's invested hard-earned credits to live past the ripe old age of twenty. If you want to know more, then you'll have to tune in. I am serious when I say this, folks. I'm gonna watch his play because my gut tells me some big things are going to happen.\" She grinned. \"And my gut is never wrong.\"\n\nAngelica bowed and blew a kiss at Zack before turning back to the camera. \"That's it, but before we sign off, I have one important announcement. Mainframe has revealed the date of Zack's birthday for his new avatar. Normally, this isn't a big deal, but it's a date that anyone who follows the Game will recognize.\" She paused for effect. \"Zack's avatar will be born on Earth at 12:21 a.m. The Game date will be December 21, 2012. For those of you who have no clue why that is significant, I will tell you. Ancient prophecy inside the Game claims that the world will be irrevocably changed on that date. Coincidence?\" She shrugged. \"We will have to wait and see.\"\n\n\"Okay, Angelica.\" Zack could hear the smile in Pete's voice. \"We're done. Great job, you two, and good luck in the Game, Zack.\"\n\nAngelica turned to face the control booth which was located along the far wall. She waved to the silhouette of the man sitting inside. \"Thanks, Pete. Always a pleasure. Say hi to Geraldine and the kids.\"\n\n\"I'm not married.\"\n\n\"Don't tell the kids that 'til they're older.\" She smirked and glanced at Zack. \"Walk me out?\"\n\n\"Sure.\"\n\nThe walk to the elevator was quick and silent. The door opened, Angelica stepped in and raised her arm to block Zack from entering with her. \"You grab the next one, stud. I'm going somewhere you can't follow.\"\n\nZack frowned. \"Okay. Can I ask you a question?\"\n\nShe nodded.\n\n\"Do you have any advice for me?\"\n\nShe put her hands on his shoulders and pulled him into a strong, protective hug. Zack loved it.\n\nShe whispered into his ear as she let go. \"My advice is this. Don't try for first place. Do everything you possibly can to finish as low in the rankings as possible.\"\n\n11\n\nWhen the Game first went live, we had to call the imaginary world something. We invented a new word so we could effectively track it as popularity grew among both viewers and players. \"Earth\" is an acronym which stands for Educational Avatar Reality Training Habitat. A clever, albeit nerdy, description of our intention for the virtual school yard we created for our children. Earth was our third attempt at making a world in which the kids would thrive and grow. Initial attempts were too fantastic. The students ended up learning no more than they did with traditional entertainment-style video games, but we got the mix right on the third try. Earth is an exact reflection of the real world which allows graduates to bring their considerable lives of experience back with them when they exit the simulation and use these new skills to improve our reality. Of course, there are things the players can do inside the Game that are impossible in real life, but not many players figure that out while playing.\n\nInterview excerpt from \"What is the Game and how will it affect our lives\"\n\nBrandon Strayne interviewed by Melissa W.\n\nSix days after the Angelica interview, Zack reported to the Game facility to prepare for his final play. His normal feelings of excitement and anticipation were mixed with tiredness, relief, and sadness. This would be his final journey into a world that had been his entire life.\n\nZack checked in with the secretary on the ground floor, then entered the elevator and descended to the twelfth floor belowground. He exited the elevator and strode down the long, white hall toward his preparation room, a private chamber where attendants would attach the wires enabling him to interface with Mainframe on Earth. Then they'd hook him up to the nutrient delivery system to keep his body alive for the next few weeks.\n\nEntering the Game wasn't glamorous. It was a medical procedure where players were placed into a controlled coma for the duration of their virtual life. The brain was sedated to the correct wave level and then the player's consciousness entered the computer system where it was born into their avatar.\n\nWhen he'd been a new player, he'd entered the Game while resting in a large room with row upon row of sterile metal tables, each linking a player to Earth. As a player gained rank, their level of privacy increased. Zack, now a top ranked player, had a luxurious room with four full-time nurses and two doctors to monitor his health and well-being. It was good to be one of the most popular players in the Game.\n\nBrandon entered the room as they were finishing up with the wire and tube connections. Zack rested in a chair, watching video feeds.\n\n\"Well, my boy. Are you prepared for this final and glorious adventure?\"\n\n\"I've never been more ready in my life. Everyone's in place?\"\n\nBrandon nodded. \"Your pals, Kyle and Marcie, are inside the Game, their avatars married to each other and expecting the birth of their first child. Your two best friends in this life are about to be your parents inside the Game.\"\n\nZack nodded. It was common for groups of friends to interact with each other during their simulated lives. \"Are they receiving the benefits of their spent credits?\"\n\nBrandon poured a glass of water and sat down opposite Zack, signalling to the doctors and nurses. They nodded and left the room. \"They are. You will be born to successful, educated parents who have very specific ideas about how to raise a child. That will give you all of the perks and breaks that rich kids in Canada have access to, which are many. The other players are in place as well. We have over five hundred forty-six individuals set to interact with you during your avatar's lifetime, both positively and negatively, to steer you in the direction of our final objectives.\"\n\nZack whistled. \"I'm still amazed that you were able to recruit so many others. Each player spending their credits to assist me inside the Game has allowed me to spend my own credits on more things than we expected. I didn't think you could get so many on board.\"\n\n\"It wasn't too difficult. Many of them only needed to spend a few thousand extra credits to help us. If we succeed, each of them will get their investment back with significant profit. An influential teacher here, a girlfriend who dates you for only a month there, a salesman who sells you a car when you're thirty, a man who robs you when you're forty, just to name a few. Each scenario was simple and fairly inexpensive for each player. The key was getting so many each willing to do a little bit.\"\n\n\"Well, I still think it's remarkable. How many of them actually need to succeed in order to help us?\"\n\n\"Of the five hundred forty-six? Only a few hundred. The others will serve as backup. They spent the credits, but if someone before them succeeds, that particular action will be cleared and their credits refunded.\"\n\n\"Then I won't get robbed five times when I'm forty? I'm glad.\"\n\n\"You might get robbed twenty times when you're forty.\" Brandon chuckled. \"But once the robbery proceeds as we've planned, then no more will occur after.\"\n\n\"Then here's hoping the first one gets it right.\"\n\nBrandon leaned forward and placed the glass of water on a table. \"All kidding aside, Zack, this is, by far, the most elaborate play I've ever helped orchestrate, and I've done this more than anyone.\"\n\nZack draped a tube over his shoulder. \"I hope what we want to achieve is possible.\"\n\n\"It's possible if you believe it is. That attitude will transfer to your avatar. Number one is in your sights.\"\n\n\"I wish you had let me see Alex.\"\n\nBrandon shook his head. \"We agreed that there wasn't time. There will be plenty of opportunity to see her when this play is finished.\"\n\n\"When does she go into the Game? Will she be born close to me on Earth?\"\n\nBrandon shrugged. \"I have no clue. It's likely that she'll play conservatively to build as many credits as she can before she has to retire later this year. Like I said, focus on your own play and worry about asking about hers when you're done.\"\n\n\"It's strange that she was awarded this free play, don't you think? I hate to ask this, Brandon, but you didn't pull strings to get her back in did you?\"\n\nBrandon shook his head. \"You know I would have done that long ago if such a thing were possible, my boy, but I can't affect the Game in such a way. It's too secure.\"\n\n\"Yeah. I guess. But look at\u2014\"\n\nBrandon hissed, motioning for Zack to be silent. Both of them knew there were eyes and ears on them.\n\nBrandon reached out and took the young man's hand.\n\n\"All that is left is to select a name. Your family name is Radfield, but you get to choose your first name. What's it going to be this time?\"\n\n\"I've never heard this name used and I've always had good luck with firsts, so I'll will be called Trew.\"\n\nBrandon grinned and slapped the young man on the shoulder. \"I like it. Give 'em hell. I'll see you in a few weeks, and I promise to give you a victory tour that no one will forget.\"\n\nZack smiled and stood, carefully moving to the cushioned player table and leaning back so the doctors and nurses could complete their work.\n\nLess than ten minutes later, Zack was in a deep coma, and soon after, a baby boy was born to Mr. and Mrs. Radfield in the virtual reality of the Game. As was always the case, the parents were compelled by the Mainframe to name the child what the player had chosen prior to entry. The young avatar, Trew Radfield, slept for hours, tired from his birth.\n\n12\n\nWe modelled the Game world after our own planet, Tygon, with the goal of making it an exact reflection of the reality in which we live. After some adjustments, we succeeded. The sheer volume of operations required to simulate an identical virtual existence to our authentic one called for a powerful supercomputer to be designed. VirtDyne constructed a quantum supercomputer and named it Mainframe. Mainframe is responsible for everything, minor and major, in the creation and maintenance of Earth. It took years to program fully and requires constant attention to keep it current and operating at peak efficiency. Virtdyne employs full-time Game Masters and an army of technicians to keep it functioning optimally. Despite their best efforts, odd occurrences do happen from time to time which are impossible to remove from the programming and tend to become part of the reality itself. One example of this is quite famous. Not long after it went live, players inside the Game somehow seemed to recognize the influence and presence of Mainframe. Although not able to see it, they began to sense it and refer to this presence as 'God'. They worshipped it in many different ways, depending on their specific cultures. At first, we were concerned that this would interfere with the Gamers' experiences, but the religions and activities centred around 'God' have provided us with fantastic story lines, technological developments, and learning opportunities. Without 'God', I'm certain the Game wouldn't be as popular to watch and play as it is today. What appears to be a problem can quickly become a key factor in growth.\n\nExcerpt from Religion in the Game\n\nGabriel Lloyd\n\nAlex received no fanfare leading up to her Game re-entry. Lilith had said to expect a storm of reporters and interview requests, but none came. Despite the news feeds and fan sites buzzing with speculation about Alex's award of a free play and what it might or might not mean, the press left her alone.\n\nCurious, Lilith began contacting reporters to initiate interviews on Alex's behalf, and soon discovered something.\n\n\"Someone very powerful is blocking us.\"\n\n\"Why would anyone do that?\" Alex asked.\n\n\"I was finally able to corner a reporter who owes me a favour and she admitted that, as much as she wanted to interview you, she had been given explicit instructions to stay away.\" Lilith shook her head and looked at the ground. \"We could have generated so much interest. I assured her that you wouldn't talk about where you've been. I tried enticing as many of them in every way I know, kiddo, but no one will come near you.\"\n\nAlex shrugged. \"Thanks for trying Lilith, but I don't think it matters. I'm glad I don't have to speak to anyone. I don't know if I could be silent about what I've seen. Besides, my fan base doesn't seem to have been hurt by the lack of attention. It might have even helped. Have you seen my numbers today?\"\n\nLilith picked up a tablet and looked at the recent figures. Alex was right. Her popularity was skyrocketing. \"The only search term more popular than your name is Zack's.\"\n\n\"When is he going into the Game?\" She could hear the concern in her tone and shook her head. She'd hoped to hear from him, but hadn't. Her brain told her that was fine, but in her heart it wasn't. She thought they had been special together. Apparently, she was the only one of them who felt that way.\n\n\"He went in two days ago. Aren't you watching the feeds at all?\"\n\nHis avatar will be slightly older than mine. \"I've had no time to watch feeds about Zack. I've been preoccupied on how to best spend my meagre credits. Mainframe invited me back in, but it didn't provide a wealth of currency to spend on playing.\"\n\nLilith patted her shoulder. \"Trust in the god, my girl.\"\n\nAlex chuckled. The topic of religion had slowly moved out of the Game until now there were groups of people who believed that Tygon had its own god, similar yet more powerful than Earth's. Intelligent people had agreed decades ago that no such force existed. Despite that, the phrase was growing more popular with Game fans everywhere. \"I should trust in the god of Earth at least. I have no idea why Mainframe raised me up in the Game and then kicked me out so horribly. Now it invites me back? None of it makes sense.\"\n\n\"Don't start believing the Mainframe had anything to do with your fate, Alex. You know that it is just a computer that creates and maintains a virtual universe as set out by its programmers. It's not intelligent or self-aware. The only difference between the Mainframe and this computer in front of me is that it has a much larger processing speed and memory.\"\n\n\"Mainframe has an AI chip, too, Lilith.\"\n\n\"If you can even call it that. AI technology is still very basic. Mainframe contains a small amount of artificial intelligence which enables it to process tasks quicker, and that's it. No one has made any significant advances in AI technology in years. I would know if it existed.\"\n\n\"Brandon Strayne may have. He made virtual reality seem simple when everyone else failed at it. Maybe he's succeeded with creating artificial intelligence as well.\"\n\nLilith paused to consider the thought before shaking her head. \"It's illegal to even try. The dangers of artificial intelligence are extreme. Now let's stop wasting precious time on a silly topic. Are you ready to play? You go in tomorrow. How did you decide to spend your credits?\"\n\nAlex knew how much guilt Lilith felt from advising her on the last play, so this time Alex had told the rest of her team, small though it was, that she would assume sole responsibility for spending her credits. With the tiny number she'd been allotted, the task had been difficult.\n\n\"Are you sure you want to know? You might not like what I've done.\"\n\n\"Nonsense. I support your strategy, whatever it is.\"\n\n\"Okay then.\" She handed Lilith her tablet. \"Tell me what you think.\"\n\nLilith looked at the selections and frowned. \"Where's the rest? I can't get it to scroll to the next page.\"\n\n\"That's it. There is no next page.\"\n\nLilith closed her eyes and took a deep breath. \"I already told you, Alex. If you fail out of the Game again, I can't protect you like last time.\"\n\n\"I understand, and I'm not asking you to protect me. This strategy will work.\"\n\n\"Please explain it to me.\"\n\n\"I have limited credits, so I spent a long time looking at all the power increases, scenarios, and interactions that I could purchase. It was then that I noticed a couple of mistakes in the price lists.\"\n\n\"What mistakes?\"\n\n\"A few of the selections which are normally expensive appeared on my price list for a very low cost.\"\n\n\"Are you certain of that?\"\n\nAlex nodded. \"I looked them up on the world system. For everyone else, they are high-end purchases but, for some reason, I can get them for considerably less.\"\n\n\"Strange.\"\n\n\"Or a sign. I decided to spend my credits on them. All of my credits.\" She raised her hand. \"Before you say anything, we both knew from the start that there was no way to be conservative and hope for another play if this one fails. Some say I should limp through this play and get enough to buy in for a more aggressive session before I retire, but you and I know the truth of things. My free play is exactly that\u2014one free play. With that in mind, I've kept it simple and spent all my credits in very limited areas.\"\n\n\"List them for me again, please.\"\n\nAlex ticked them off on her fingers. \"Health, Longevity, Focus.\"\n\n\"You spent aggressively on Health and Longevity. I can't believe Mainframe allowed you to spend that much on them, but those are definitely available to you with the number of credits you had to start. But Focus is an expensive attribute. Only very wealthy players can afford that one and most avatars don't make good use of it, which often renders the purchase wasteful.\"\n\n\"I've studied that. I think the few who do spend the credits buy Focus and then dilute its power by trying to apply it to too many aspects of their lives.\"\n\n\"Focusing on too many things destroys Focus? Now that you mention it, I think you're right. That does seem silly.\"\n\n\"Well, I spent a lot on Focus, Lilith, and I'm going to focus on just one thing when I'm playing.\"\n\n\"What's that?\"\n\nAlex smiled. \"Living life as if it is only a game.\"\n\nLilith laughed. \"That won't work, and even if it does, what can that get you?\"\n\n\"I don't know. But I had a long time to look at my career as a player, and I keep having one overwhelming thought.\" She smiled and raised one eyebrow. \"I think I'm a prodigy.\"\n\nA prodigy was someone who continually focused on certain skills during each play, increasing in skill earlier and earlier in the life of their avatar. Eventually, prodigies would be masters of a talent at a young age. One example of this was Owen Brahlie. Over time, his avatar became Mozart, a musical genius at a young age in the Game.\n\n\"In what area do you think you're a prodigy? You've never shown any aptitude for the arts or math or science.\"\n\n\"I think I'm a prodigy at the Game itself. Risking it all and winning. I believe my skills are at playing games and winning against all odds.\"\n\nLilith snorted. \"Sorry to disagree, kiddo, but you didn't exactly win on your last play.\"\n\n\"True. Still, besides that one time, I used to play very aggressively and always got excellent results. I would spend more credits than you ever recommended. I recall coming out of a play and you telling me how lucky I was that I wasn't ruined. My rise in the standings wasn't overnight, but I didn't buy my way to the top or have a one-time stroke of luck. I played well each and every incarnation.\"\n\n\"That's true.\"\n\nAlex folder her arms. \"Plus, I don't think I really lost on my last play. I think Mainframe is an intelligent being and took me out of the Game on purpose.\"\n\nLilith furrowed her brows. \"Even if that were true, which I don't think it is, why would it do something like that?\"\n\nAlex smiled and jumped onto the couch, lacing her fingers behind her head. \"I go back to Earth tomorrow. If I'm right, I'm sure we're going to find out.\"\n\n13\n\nWhat is the allure of the Game and why do so many of us watch it? The simple answer is that it fulfills our desires for entertainment and fantasy. Want to gamble? Pick an event in the Game and place your bet. There's nothing that you can't bet on. Want to watch true love bloom? Once again, you can find it in the Game. You can experience anything through the virtual world, and watching the experiences is better than viewing movies from the old days. If you want to watch a spy actually become a spy and follow their adventures, just put in the correct search term, and the Game video feed system will find you a list of spies in action. If you have enough money, you can do more than watch. You can experience it firsthand. Quite simply, we watch the Game for the same reason we don't allow people over the age of eighteen to play it\u2014because it's better than real life. Or perhaps because, on rare occasions, for reasons that no one can explain, players who die in the game also die out here in real life. A strange occurrence, but when it does happen, everyone tunes in.\n\nDana Transton, Gamer's Quarterly Magazine\n\nStephanie\n\nSometimes I have dreams which seem one hundred percent real.\n\nThe sights, sounds, emotions, all of it is as real as if I'm awake. When these dreams occur, there are two parts of me existing at the same time. One part is the watcher who, in a detached way, sees everything as it is happening. The other watches as an observer and attempts to figure out what is going on.\n\nI recognize this one as it begins. It is a dream that I have often.\n\nI'm standing on a hill. In front of me is an empty city filled with abandoned cars and buildings. It's obvious that everyone has fled. Skyscrapers and other tall buildings seem alive and sad as they stand there, empty. Even the birds and animals are quiet, making the sudden roar even louder.\n\nI look behind me and see hundreds, maybe thousands of people. They are terrified and huddled in groups. Some are holding their children as they look at me, silently pleading, as if expecting me to protect them. At my right shoulder, almost touching me, stands an old woman. She's Spanish, like I am, my height with long, black hair and dark tanned skin. She looks at me and nods, and suddenly I understand that she is me from the future.\n\nThe old woman places her hand on my shoulder and, from the looks on the faces of the people behind me, I know that something terrible is approaching. I turn to face the threat.\n\nA tidal wave is rising above the city, roaring with rage and a feeling of intense hunger. The tallest skyscraper looks like a toy next to it. It engulfs the city, great white waves of boiling, rushing water destroying the man-made landscape as if it were made from paper and sticks instead of steel and concrete. The wave now rushes toward its true target\u2014me.\n\nI feel its cool mist on my face and smile. An old woman stands beside me and places one hand on my shoulder, giving me strength as we await its arrival.\n\nI can feel my eyes tingling as I raise my right hand, a thin, weak thing compared to the destructive force charging at us. Still, it contains the power of my intent.\n\nI extend my fingers and point at the wave. A warm, golden tingle creeps up from my feet and focuses out of my fingertips.\n\nThe wave is doomed. It never stood a chance against us.\n\nThe water washes harmlessly over us and flows past into the streets beyond. Seconds pass and the wave screams in frustration, but it is bound by laws that forbid it from turning back and trying to claim us one more time.\n\nI look toward my older self and smile, but she is gone. I can still feel the warmth of her hand on my shoulder. People surround me, smiling and crying with relief.\n\nI wake up to the sound of a local DJ speaking through my alarm clock.\n\n\"The big news in the world today is that, so far, we are all still here. Despite ancient prophecies by many different cultures, December 21st, 2012, appears to be just another regular day in Toronto, Canada and the rest of the world as well.\"\n\nI lay in bed and listen to him speak. Today is a big day and I'm expecting to hear something. I'm not sure what, but I'll know when I hear it.\n\n\"There is one interesting fact.\"\n\nHere we go.\n\n\"The birth rate has been incredibly high all over the world today. If you own stock in anything related to kid products, get ready to see your shares skyrocket. In the space of just a few hours, Earth is experiencing a baby boom greater than the one that occurred after the Second World War. No one can say why this is happening, but it isn't a cause for concern, as far as anyone is reporting.\"\n\nWell, that's curious. I wonder what it means.\n\n\"Similar to New Year's day, everyone has been tracking the baby born at the significant hour. No, I don't mean midnight. They're trying to identify the first child born at 12:21a.m, since many believe there is something important about that number. Number crunchers and computer geeks anticipated difficulties trying to identify the first child born at that exact moment, especially with the abnormally high number of births occurring but\u2014and, folks, this is a bit strange\u2014at 12:21, only one child was born on the entire planet. Wait, does that even make sense? Well, that's what my paper says. A baby boy born to parents from our own city of Toronto, if you can believe it. Trew Radfield was born at precisely 12:21a.m. to happy parents Louis and Carol. Not sure what prizes the little fella will receive, but I'm certain it will be something interesting.\"\n\nBingo! I jump up and write down the kid's name. Trew Radfield. I'm on fire with a compulsion to find the boy and watch over him. That's how it works. That's how I know.\n\nIf I'm looking for him, it's a good bet others will be too. I wish there were a million kids born at the same time as he was. It would have made things easier. As it stands, Trew Radfield is all alone, shining like a candle in the darkness to every nut job out there and to people even more dangerous than that.\n\n14\n\nThere are an incredible number of attributes, power increases, scenarios, and skills that can be purchased by players to use during their incarnation in the Game. The sheer volume of combinations available ensures that each avatar will be unique in many ways. It is this diversity which allows individuals the opportunity to learn and also provides viewers with countless story lines to follow. Strategies abound for advancing in the Game, but Mainframe has made it impossible to develop a clear path to the top rankings. Actions and life paths followed by one player do not yield the same results for another. Repeating a strategy doesn't produce identical results for the same player on their next play. Intuition and Spirituality are not often invested in heavily, but when they are, it can lead to the avatar searching for meaning from life on Earth and the belief in a higher intelligent life form that guides them. Major religions have formed as the result of players who have spent extreme amounts of credits on Spirituality and Intuition. Attributes alone are not enough to provide a religious breakthrough, however. A player must skillfully and correctly invest in scenarios, skills, and power increases at exactly the right moments in their avatar's lives to increase their odds of successful revelation.\n\nExcerpt from Gamer's Manual 7 - Human Level Guidebook\n\nEarth - Years before December 21, 2012\n\nI've been sitting at this crowded cafe all morning with my laptop sitting in front of me. The screen is blank and that annoying little cursor is flashing. Blink, blink, blink. Are you laughing at me, little cursor? Are you trying to frighten me into giving up again?\n\nThis book has been in my head for too long, but something always seemed to prevent me from writing it. Well, nothing's distracting me anymore. My kids are gone. My beautiful grandchildren. My wife. All gone.\n\nI shake my head. Don't think about Tricia right now, George. Now is not the time.\n\nDamn it, why didn't I get on that plane with the rest of them? How can a seventy-four-year-old man have a business meeting on the day he's taking his whole family to Hawaii for a big vacation? One plane crashes and the world keeps turning. Not my world. It died in a fiery explosion half an hour after a plane took off to Hawaii.\n\nI have to calm down. Time to take a break from sorrow and self-pity. I can't keep hiding. I swear, if one more person sends me a message saying how sad they are for my loss . . .\n\nAll right. I'm writing this. People have laughed at me all my life for this crazy theory. If I'd been born two hundred years ago, I would have been labelled a heretic, but I've always believed that fact makes it clear that that I'm on the right track. Throughout the ages, discoverers and geniuses are first ignored, then mocked, and eventually accepted. They laughed at Darwin, Copernicus, Mendel, even Columbus. Those men were all proven right. The world isn't flat, is it?\n\nI know I'm onto something. The evidence is all around us, yet so few see it.\n\nPerhaps the timing still isn't right. Maybe in ten or fifteen years someone will read this book and it will make perfect sense to them.\n\nOkay, George, here we go. I'm beginning to type, and I'm not stopping until it's all down.\n\nWe live in a game. Somewhere 'out there', our real bodies are plugged into a very real virtual reality simulation. Earth isn't real but, for some reason, it's important to those running it. What we call God, Allah, the Universe, or whatever spiritual name religion gives it, is simply the supercomputer that runs this simulation we are living in.\n\nHow can I be so sure of this?\n\nBecause I've spoken to it, and it has spoken to me . . .\n\n15\n\nIt took many years for the Game to thoroughly embed itself into Tygon society. As it did, television shows, movies, books, sports, and every other form of entertainment slowly declined in popularity.\n\nInstead of reading, people tuned in to the Game. The movie business of make-believe and special effects could no longer appeal to an audience that was seeing real avatars living, loving, and dying inside the Game more realistically than actors could portray. The Game provided that special something for everyone and, by the time it celebrated its ten-year anniversary, it had become a worldwide obsession. Thankfully, the old industries didn't die out. Jobs simply shifted to focus on servicing the Game. Sports experts were still required for fans, they just studied and followed virtual athletes. The media business grew even bigger. Thousands of new channels devoted to Earth players, continents, and history were created to feed the frenzy of interested fans.\n\nTygon prospered and thrived thanks to Brandon Strayne's creation. Through the Game, he gained control of all business and finance on our planet, a danger no one has ever seemed concerned about.\n\nExcerpt from the video Brandon Strayne: Rise to Power\n\nVirtDyne's headquarters were located in the tallest skyscraper positioned in the middle of Tygon's capital city. It was an impressive building. Public information stated that the building had two hundred floors aboveground and another twenty-five floors beneath. Command offices, where player teams met and strategized, were located on the top floors of the building, with each player sponsored by VirtDyne having their own dedicated floor. Of all the players Brandon sponsored, Zack was the highest-ranked and, as such, his command centre was located at the top of the skyscraper, directly below the CEO's penthouse.\n\nBrandon Strayne strode into Zack's central command office and went to one of the windows to look down at the city far below. The walls of this floor and many others were tinted glass from floor to ceiling, and they provided a majestic 360-degree view of clouds and the sprawling city. Interior walls separated the floor into five key areas: four large corner sections and a central boardroom. The boardroom was a glass-walled area filled with large screens, each displaying different feeds from both around Tygon and inside the Game. Zack's team met in the boardroom. His team was an elite group comprised of over thirty specialists in media, marketing, strategy, computer programming, and every aspect involving business and the Game. When building Zack's team, Brandon had made certain that each member was the best in their field. Walking into a command office revealed to any who thought otherwise that the Game was much more than an educational tool for kids. Big business and the world economy now revolved around the Game\u2014all controlled by VirtDyne and its majority shareholder, Brandon Strayne.\n\nHe turned away from the window and went to the boardroom, nodding to people as he made his way to the vacant seat at the head of the long table. All of the other chairs were occupied by team members.\n\nBrandon sat down and opened the folder in front of him. He read the highlights, then looked up and glanced around the table. \"Give me the details, kids. Same priority as always, biggest problems first.\"\n\nZack's Right Hand, Michelle, stood and walked to the large monitor on the wall mounted across from Brandon. The Right Hand of a player was the leader of the group, in charge and responsible for all aspects of the player from this side of the Game. The Right Hand answered only to the Patron. To everyone else, they were the ultimate authority. When Brandon was absent, Michelle's word was law.\n\nAt twenty-five, Michelle was a retired top-ranked player. She was beautiful, smart, and very experienced at coordinating winning teams. Each time a team's player went into the Game, they would elect one member to be the Right Hand for the duration of that play. Once that play concluded, the entire team would vote and select the Right Hand for the next play. It was common for the job to change hands with every play, but sometimes exceptional leaders emerged and were elected for the position more than once. Michelle had been Zack's Right Hand for the last five plays, an impressive accomplishment for a top player's team.\n\nMichelle stopped beside the large monitor and turned to face the group. \"Someone's trying to kill Trew.\"\n\nBrandon shrugged and nodded. \"Not a big surprise. Any idea who?\"\n\n\"We have some suspects, but nothing definite yet.\"\n\n\"Have all team members taken every precaution in their circle of influence to make certain that our boy is as safe as we can make him?\"\n\n\"Absolutely.\"\n\n\"Who's watching him day and night?\"\n\nMichelle met his gaze with a blank stare. \"I'm not able to say, sir.\"\n\n\"Yes. Let's keep that unspoken for now.\" He nodded and made a check mark on the sheet in front of him. \"That's the best we can do to protect him from attack. What's next on the agenda?\"\n\n\"It has been five days played, and Trew is still very young. The scenarios and credits spent on power increases have all worked properly so far. We know that he was awarded a one-million-dollar prize as a result of being born when he was. We spent a lot of credits to increase the chances of him winning something like that, and it turns out to have been a waste. Who would have guessed Mainframe would stop all other births from occurring once the first player purchased the birth time?\"\n\nBrandon chuckled. \"That's part of the fun dealing with the Game. Even experts can't predict how it will behave. The money sits in an account for him until he's what age?\"\n\n\"Twenty-five. His parents are comfortable when it comes to money so he won't need it until then.\"\n\n\"What's his overall health and disposition?\"\n\n\"He's a happy, healthy boy. They are teaching him a combination of religion and eastern spiritualism. Teachers and neighbours all like young Trew. His charisma is high. He's a natural leader.\"\n\n\"Exactly how old is he and has he begun to self-narrate?\"\n\n\"He's seven. The self-narrating is beginning, but still nothing an audience will be interested in listening to, for the most part. Soon the little voice that talks to itself will mature, and crowds of Game fans will begin to tune in and listen.\"\n\nBrandon nodded. Self-narration was part of the programming built into all avatars. Earthlings rarely gave much thought to why they constantly talked to themselves, but it served a crucial purpose for the Game audience. Anyone watching or Firsting the players received a clear, concise dialogue of what was going on in the player's head. Game viewing had exploded in popularity after the self-narration add-on was implemented.\n\n\"Anything else to report?\" Brandon closed the folder and looked around the table.\n\nMichelle shook her head. \"The first few years of life are always pretty boring. The excitement should ramp up when he is nine. He bought Maturity so his self-narration will be interesting to fans earlier than normal, likely tomorrow around two p.m. our time when he turns nine.\"\n\nBrandon nodded and stood. \"Then I will see you all tomorrow at two p.m.\"\n\nAt the door, he stopped and turned. \"What about Alexandra Montoyas? Where has she turned up in the Game?\"\n\nMichelle held out her hand and one woman stood and hurried forward to hand her a tablet. Michelle scanned the information, then looked up at her boss. \"Her avatar's name is Danielle Benton. She's in the United States, a couple of states away from the Canadian border. She is six years old and, as far as we can tell, living a very normal life.\"\n\n\"Any idea what attributes and credit purchases she made before going in?\"\n\n\"Of course.\" Michelle tapped a few commands onto the tablet and frowned. \"Seems like she didn't have many credits and it looks to me as if she wasted almost all of them.\"\n\n\"Let me see.\" Brandon held out his hand and Michelle brought him the tablet. He glanced at it, then handed it back.\n\n\"Yeah, that's pretty light in the credits department, but it looks harmless enough. I know for certain that Mainframe will never allow one of her selections to happen, but it accepts the credits from those foolish enough to spend them that way. Nothing interesting on Alex yet?\" He looked at Kate, the young woman in charge of following Alex.\n\n\"I have received only one questionable report about her so far. I can't confirm it, but my source is usually very reliable.\"\n\n\"What is it?\" Brandon looked at his watch.\n\n\"I'm still working on an absolute confirmation, but Raphael has apparently been seen near her, sir, and my source claims that he is guarding her.\"\n\nBrandon's head snapped up and he stared at the young woman. She took a step backward.\n\n\"Michelle\"\u2014he rubbed his forehead with one hand\u2014\"confirm that by tomorrow when we convene at two p.m. If Raphael's sniffing around, we need to know if that is an accident or on purpose. Either way, it could be a problem.\"\n\nBrandon turned and left the room, and the team exploded into activity.\n\n16\n\nNo one expected the Game to attract much of an audience at first. A virtual reality simulation where kids live normal lives in a world exactly like our own? Who would want to watch people waking up every day and going to a boring job, scraping out a regular life filled with monotony and boredom?\n\nPsychology experts predicted that regular people would become obsessed with the Game, and they were right. Viewer statistics and preferences are easily tracked, and the facts that they report are incredible.\n\nViewers love to watch it all. Not just the happy moments and the exciting, large events; Game fans tune in to witness even the smallest moments of pain and misery as well. For example, a recent event garnering record numbers was the final moments of Joanna Hughes. Her life had been sad, frustrating, and unremarkable. At the age of forty-two, she'd given up all hope and bought enough heroin to end her life. As despair filled her mind, she inserted the needle and ended her avatar's life. A small, seemingly insignificant event, yet record audience numbers tuned in to experience it.\n\nIf you can watch someone else's life and be drawn into it, you can escape your own for a time. Fans sum it up with the popular phrase, \"The Game is life.\"\n\n-The Fan channel 255\n\nDanielle - 8 years old\n\n\"Ready?\" I look over and my three friends are bent down with their hands on the line we've drawn in the dirt. Tommy, Cindy, and Mike all look at me with smiles on their faces. They can't beat me, but I know they are gonna try.\n\n\"Go!\" I take off as fast as I can and then put my head down and run hard. There's no reason to look behind me. They are all going to stick to the street even though they have to know I'm jumping that car hood. Okay, I'm over the car and can take a quick peek behind me.\n\nCindy and Mike are falling back. Tommy's ahead of me, but that's fine. He always starts strong and then tries to take a swing at me when I pass him. I pump my arms and, sure enough, he takes a swing while I laugh and take the lead.\n\nThe light ahead is red. Cars are zooming by in front of us, but I'm not stopping.\n\nI run into the street and I hear Tommy skid to a stop, yelling for me to stop too, but I won't. It's a game, and I win games.\n\nI make it to the other side pretty easy. Only one car comes close to hitting me, but he slams on the brakes and honks his horn. I wave over my shoulder and don't look back. Usually, this is where I stop and turn around to bow and wave, but I want to try out something new, so I keep running until I get to the garbage dumpster. When I reach it, I stop and bend down to catch my breath while the others catch up.\n\nA few days ago, we saw Tommy's older brother and his friends climbing up buildings, doing backflips and all other sorts of fun stuff. They called it parkour. I'm gonna try it.\n\nThey are not with me yet, but I'm tired of waiting. I get close to the garbage bin and jump up. I thud right into it\u2014ow!\u2014but manage to get my hands onto the top of the bin and I start to kick to help me get up. I grunt, moan, kick some more, and squirm until finally I'm on top of the bin. Very cool\u2014I'm parkouring! I look around for something else to climb, and there it is, a fire escape that I might just barely be able to reach. I go for it, and I make it. I keep looking for stuff to climb and, by the time the others catch up, I'm halfway up the outside of the building, sitting on a window ledge, swinging my legs with a grin on my face.\n\nCindy yells up. \"What are you doing up there, goofball?\" I can see the grin on her face. Cindy is one of the coolest kids I know. We spend all our time together.\n\n\"I'm parkouring like Jim and his friends do.\"\n\n\"Jim and his friends are idiots.\" Tommy shouts. \"My mom says one of them is going to die doing that stuff.\"\n\nI shrug. \"Everyone dies, Tommy. If they did a cool stunt while dying, that would be awesome!\"\n\nTommy rolls his eyes. \"Just come on and let's go. Mom gave me money for ice cream. I'll buy for all of us.\"\n\nI stand up and dust my hands off. \"Okay, be right down. I was just waiting for you all to catch up and watch this.\"\n\n\"Watch what?\" Mike asks.\n\n\"My backflip to the ground.\"\n\nThe three of them all raise their hands and shout up at once. I laugh cause I can't understand them, but Tommy shushes them and yells up at me by himself. \"Um, Danielle, that's a bit high for backflipping.\"\n\nI laugh at them. Cowards. \"It's fine. Just wait a minute, and I'll be ready to go.\" I turn my back to them and put my hands above my head. I'm silently counting to three\u2014I always jump after three\u2014but before I'm at two, an adult voice shouts up at me.\n\n\"I bet you can do it. No problem, Danni.\" I frown and turn to look down. There's a man with black hair pulled into a ponytail smiling up at me. He looks nice and friendly. I wave. He waves back. The voice is deep and has some kind of accent. Spanish, I think it's called. My Aunt Vi dated a Spanish man, and he sounded like that.\n\n\"Do me a favour, Danni. For your first try, come down a bit lower.\"\n\nI shake my head. \"That's too easy. Anyone can jump from lower.\"\n\n\"No, not really. I think we would all be pretty impressed to see you climb down super-fast from up there to the dumpster. I could do it by the count of fifteen and there's no way you could do it any faster.\"\n\n\"Ha ha ha. Watch me. Start counting.\"\n\nHe starts to count and I slide down to the dumpster and grin at him. \"What did you get to?\"\n\nHis eyes are wide. \"I only got to ten. You are way better than I am at climbing.\"\n\n\"Told ya.\"\n\nHe smiles. \"Okay. Do the backflip from there.\"\n\n\"Are you sure? This doesn't seem very hard. It's barely off the ground.\"\n\n\"It's higher than it looks.\"\n\n\"Okay.\" I turn my back and just flip. I already counted when I was up higher. I tuck my legs in and start to swing. I've done backflips before, just from the ground and on the trampoline. I stick my feet out and land just right, but the pavement is hard, and I start to fall back. Is that traffic where I'm falling? Darn it, I can't stop. Hope the cars see me and stop.\n\nJust as I'm about to fall onto the street, a hand catches me. It's a strong hand, and I have this feeling that there's no way I'm going to be hurt while it's holding me. Of course, it's the Spanish man. He holds me and I stand and look up at him. We both smile.\n\n\"Perfect, Danni. That was all you.\" He looks proud of me.\n\n\"No one calls me Danni, but I kinda like it.\"\n\n\"I'm glad. My name is Raphael. You be sure to stay safe, Danni. Have a great day.\" He walks away.\n\nI watch him go, then head over to join my friends. Parkouring and ice cream. It's a good day.\n\n17\n\nIt's impossible to directly influence the Game. The programming that operates the system is so complex that locating a specific detail in the code would be like trying to find a specific grain of sand on the beach. Even our best quantum supercomputers lack the ability. If we wanted to make a precise and specific change tomorrow, or next week, or even one hundred years from now on Earth, by the time all the computations and variables were factored in, the date would have passed. Even if it were possible, why would anyone want to? What difference could a small change really make? Using the same analogy, if you did manage to find that one grain of sand, made it into a tiny bomb, then placed it back onto the beach set to explode, the effect would be negligible.\n\nGame Masters are able to adjust programming to nudge the system regarding macro effects, large things such as weather patterns to ensure minimal droughts or floods, tidal patterns to make certain the Moon doesn't affect the Earth too much, and underwater currents to help prevent the Earth from becoming too hot or too cold. A common thought experiment is the ramifications of initiating communication with an avatar, but such a thing is beyond impossible. It would take more than even Mainframe to achieve that. To be completely honest, it's not something that Game Masters have even considered. The purpose of the Game is for students to forget this life and learn with a blank slate. What would the point be for us to try and communicate with them? It would be too much for them to handle and completely ruin their chance to learn from their play. Knowledge is gained along the way of the journey. It's not all sitting on the finish line.\n\nWorld feed interview with 'Foundation', Lead Game Master in year Twenty-three of the Game\n\nThe room was dark and silent. Three columns of bright light shone down from the ceiling to cast light on the boss's desk, the door to the office, and the visitor's chair where a man sat quietly. In a top secret room, thirty levels below the VirtDyne building\u2014five levels lower than the official plans to the building indicated\u2014the man could almost feel the tons of concrete pressing down on him. He sat up straighter and took a deep breath, scolding himself for his claustrophobia.\n\nA moment later the door opened and a man strode over to the illuminated desk. He sat and leaned forward to rest his elbows on the desk top. \"So, Hack, you've succeeded.\"\n\nThe Game Master responsible for developing and implementing new technology for the Game smiled. \"Yes, Mr. Strayne. It's ready.\"\n\nBrandon leaned back, folded his arms, and nodded. \"Tell me how it works.\"\n\n\"It's very simple. You enter the crucible chamber, put the helmet on, and insert your hands into the provided slots. Then, you calm your mind and count backwards from ten. Before you reach ten, you'll be Firsting your target live. Then you wait for the right moment and interrupt their self-narration.\"\n\nBrandon stared. Hack smiled. He knew the question that needed confirmation.\n\n\"With this technology, we can enter the Game reality? I can directly communicate with an avatar?\"\n\n\"Yes, sir.\"\n\n\"I don't have to be put into a coma?\"\n\n\"Not at all.\"\n\n\"And it accounts for the time differential?\"\n\n\"Yes. Your consciousness enters the faster time stream of the Game, then returns to normal when you exit.\"\n\nBrandon shook his head. \"This is impossible.\"\n\n\"This was impossible.\"\n\nBrandon paused for a moment before clapping his hands together and laughing. \"Incredibly well done, Hack.\"\n\n\"Thank you, sir.\"\n\n\"How many avatars have you tested the unit on?\"\n\n\"Twelve avatars all tested successfully, Mr. Strayne, with different ages and class levels in the Game. I'm now certain that you can speak with any avatar.\"\n\n\"What about Mainframe? Did it detect you?\"\n\n\"Not that I can tell, but that doesn't mean no for sure. I advise keeping the conversation brief and limited to only a few avatars. The more active you are, the more 'noise' you make, which increases the likelihood of Mainframe detecting your presence.\"\n\nBrandon nodded. \"I will keep that in mind.\"\n\n\"There is one serious issue that needs to be remembered.\"\n\n\"What is that?\"\n\n\"If anyone purchases a play and Firsts the targeted avatar, they will hear your interaction with them.\"\n\n\"I can assure you that any avatars I want to interact with are not available for Firsting.\"\n\n\"The other more significant issue is that anyone watching the player will witness it as well.\"\n\nBrandon paused. \"That could be a problem.\"\n\n\"Detection by fans is your biggest danger. If anyone were to see you and reports it, the integrity of the Game could be questioned.\"\n\n\"That can never be allowed to happen. Do you have a solution in mind, Hack?\"\n\n\"Absolutely.\" Brandon's brows furrowed for a moment before he held up one finger. \"No one watches an avatar when they are meditating, right?\"\n\n\"That's correct. When avatars meditate or pray, we've scrambled the signals so no viewer can have access. Even when Firsting an avatar, viewers see only darkness.\" Hack smiled and spread his hands. \"There you go. Make contact only when the avatar is meditating or praying. Viewers will never know it is happening.\"\n\nBrandon rapped his knuckles on the desk and leaned back in his seat. \"Perfect. What about the test avatars? I am guessing that some of them were spoken with while not meditating?\" Hack nodded. \"Anyone following them could put it together.\"\n\n\"They weren't popular avatars, sir, and each of them met with unfortunate accidents. I've been monitoring every mention of those avatars from viewers. We are clear. Even if someone did notice, who would believe them? The truth for thirty years has been that no one can communicate inside the Game from the outside. If a fan claimed it was possible, they would be labelled a conspiracy theorist.\"\n\nBrandon laced his fingers behind his head and looked up at the ceiling. \"This is an incredible achievement, Hack.\"\n\n\"Thank you, sir.\" He paused and then spoke again. \"May I ask one very personal question?\"\n\n\"Of course. You have earned that right.\"\n\n\"What are you going to do with this ability to talk to avatars?\"\n\nBrandon chuckled. \"I'm going to become a god.\"\n\n18\n\n\"Well, it has been less than a week on Tygon since December 21, 2012 came and went inside the Game. Despite popular theory, the virtual world did not end in a catastrophe predicted thousands of Earth years earlier by the ancient Mayan civilization. So far, the only change noticed has been weather and season shifts across Earth. Hot winters and cold summers are occurring around the globe.\n\nEvery player eligible to do so has gone into the Game to join in the thirtieth anniversary celebrations, many hoping to gain bonus credits or perhaps be involved in story lines that gain the attention of fans. Earth journalists are reporting alarming swells in the population, adding a dynamic to the Game not seen in some time. And let's not forget the real story all of Tygon is tuning in for \u2014how will Zack's avatar, Trew Radfield, perform during this lifetime? Our best attempts to uncover strategy and planning from Zack's camp have turned up nothing. I guess that's to be expected since his Patron, Mr. Strayne, is our boss and could fire us all at the drop of a hat if we press him too hard. Most fans will start watching Zack's channel now that he has begun to self-narrate. Fans are also beginning to tune in and subscribe to watch Alexandra Montoya's young avatar, Danielle Benton, who is currently eight years old. Since being awarded a free play, Alexandra has enjoyed a healthy fan following, and I must admit that, so far, her avatar, Danielle, has been much more entertaining than Trew. Of course, it's very early in the Game for both of them. We can expect many weeks of fun and entertainment before they die of old age. Unless they don't make it that far.\"\n\n-Video feed from Thirtieth anniversary Game update\n\nTrew Radfield - age 9\n\nMom's yelling something at me from downstairs. She says it's the tenth time calling me, but I think it might be the third. Anyway, that many tries must mean she wants me to answer her, so I turn down the music and open the door a bit. \"Pardon?\"\n\n\"I said you need to get ready for class, Trew. You know what day it is, so stop ignoring me, young man. There's no way that I'm letting you get out of this. Life is not just some big game, although you seem to think so.\"\n\nI toss my comic onto the bed and head downstairs. Mom sees that I am already dressed and shakes her head.\n\n\"You've been ready to go all this time?\"\n\n\"Yeah. I was just playing with you, Mom. I'm excited about today.\"\n\nShe laughs and kisses me on the cheek.\n\n\"What if life really is just a game, Mom?\"\n\n\"Then you'd need a second life because there are times when I'm tempted to end this one for you.\" She tries to look upset, but she can't. I can always make her smile. I have that effect on people.\n\n\"Will Dad be there?\"\n\n\"He's waiting for us in the driveway.\"\n\n\"That's great.\" I put on my shoes and we leave the house.\n\nIt's bright and hot out, a beautiful day for grown-up strangers to talk about. Mostly they all complain that it used to be cold in December, but now it's not. I don't like the cold\u2014that comes more in June and July now\u2014but it's too hot for me today, especially since I'm wearing my heavy karate gi. I hope they have the air-conditioning on when we get to the dojo, but they never do on test day.\n\nDad unrolls the car window, a big smile on his face, and sticks out his hand. I slap his palm as I walk by and try to open the back door, but it's locked. Staring at me through the window is the brat, my seven-year-old sister, Tara. She knows I love sitting behind Dad, which is why she takes the spot every time she can.\n\n'Move over.' I mouth the words and, with my eyes, I promise to hurt her if she doesn't. Tara looks at me and cups her hands to her ear. \"What?\" She yells through the window. \"I can't hear you, Trew.\" I know she wants me to lose my temper so that Mom or Dad will yell at me, which always makes Tara very happy. She lives to make my life miserable.\n\nI check to make sure Dad's window is rolled up again, which it is, because he doesn't want to let the cold air out. Then I put my hand over my mouth and whisper, \"Make her move over, please. Today's a special day and I should sit there.\"\n\nI hear the door unlock and Tara moves over. She doesn't look happy. Dad's finishing a sentence as I get in. \"It's a special day for Trew, Princess, and he should sit on his favourite side.\"\n\nIt's so cool when I say something out loud and it happens. I know it's just a coincidence, but it makes me feel like I have a superpower. How cool would that be? To be able to say something is going to happen, and it does?\n\nMom gets into the car and leans over to give Dad a kiss, then we all strap in and Dad backs the car out of the driveway. It's so nice and cold in here. The heat of the dojo is going to be horrible. I decide to test my powers again. \"It's so hot outside that I hope the dojo has the air-conditioning on, even though they usually don't for testing.\"\n\nDad hears me and groans. \"Oh, god, I forgot about that. I hope so, too, bud.\"\n\nMom puts her hand on Dad's neck and he laughs. She always seems to know what to do to make him feel better. That's not too tough, though. My dad's a pretty positive guy most of the time. \"No matter what the temperature is like, I know you're going to do awesome, Trew.\" Sometimes I think Dad and Mom are more excited about my life than I am.\n\nWe drive and I listen to Mom and Dad talk about grown-up stuff\u2014how her day was, how his day was, the boring crap adults talk about all the time. Tara looks out the window. She's likely figuring out how to bother me more, but I'm just glad to be left alone. I'm excited about the testing today. I'm going for my blue belt, and it's getting pretty fun at this level of karate. There's so much more than just throwing punches and kicking. Sensei offered to give me free private lessons, and my parents let me. Sensei teaches me that the mind is a powerful tool and, with much practice, we can bend the elements and energies to our will.\n\nShe's started trying to teach me to meditate. I don't really understand it, but it sounds cool to tell my friends that I'm learning meditation. So far it's just sitting there thinking about breathing but it must get more exciting 'cause some people do it their whole lives. I don't think I can do it, but I close my eyes and pretend to so that Sensei thinks I am.\n\nWe find parking and walk down the block to the dojo. It's an old, square building with a high ceiling and just one big room. Along the sides are benches for the parents to sit. In the middle is a big open area with the kind of thick blue mats that you see in a gym. The first thing I notice when we walk in is the crowd. The seats are almost full with parents and grandparents coming to watch their kids test. My parents are always saying how many kids there are my age. It happened the year I was born and kept going for the next seven years. Tons of kids are sitting on the mats. Sensei and her helpers are standing near the entrance, telling people where to sit.\n\nI'm so excited that I don't notice until my Dad slaps me on the back. \"Great luck, pal. They've got the air-conditioning on.\"\n\nI smile, thinking I should say 'You're welcome' for using my secret power, but I don't because I know it's just good luck.\n\nSensei comes over and shakes hands with Mom and Dad before patting me on the shoulder. \"Ready for your test, Trew?\"\n\nI try to look serious. She likes when we are serious. \"I am, Sensei.\"\n\nShe smiles. \"I know that you are. Just remember what you've learned and practiced, and it will go smoothly. Also, remember that the less you think, the better you will do. Trust deep down in yourself.\"\n\n\"The air-conditioning will help us parents sit still and pay attention better,\" my Dad says.\n\nSensei shrugs and then smiles. \"It's so hot out. Even though we usually turn it off for testing, it just felt like the right thing to turn it on today. Maybe Trew can take the credit for it?\"\n\nI look at her with wide eyes. \"What?\" Can she read my mind?\n\n\"I thought it would be a nice birthday present to put the air on.\"\n\n\"Oh, right. Thank you, Sensei.\"\n\n\"Go take your seat with the others. We have special guests from an American dojo. If you meet any of them, please make them feel welcome, Trew.\"\n\n\"Yes, Sensei.\" I bow.\n\n\"Birthday party after we are through, bud,\" my Dad says.\n\nI give him a thumbs-up, smile at Mom, and run off to join the others.\n\nTwo of my friends have saved me a spot, and I sit down beside them. The girl on my right isn't someone I've seen before, so I smile at her. She smiles back. Remembering what Sensei just told me, I introduce myself. \"Hi. Are you one of the students from the American dojo?\"\n\nThe girl grins and nods. She's really pretty and seems very . . . confident I guess is the right word. It's like she's a big movie star, and everyone is here to see her. She's really pretty. \"Yeah, I'm here from the States. This is a great dojo you have here.\"\n\n\"Thanks. What brings you here? We go to the States to compete sometimes, but I've been here for three years and I don't remember any American schools visiting us.\"\n\n\"We came because of me.\" She shrugs. \"Apparently, I'm pretty good at karate. Both sparring and kata. Somehow my sensei knows your sensei, and they got to talking and agreed to bring me here. There's a student here who is maybe as good as, or even better than I am. I'm excited to meet him.\"\n\n\"What's the student's name? I had no idea this dojo had someone that good.\"\n\n\"Trew Radfield.\" The girl looks around like she's waiting for me to point him out to her. When I don't say anything, she looks back at me. I'm sitting there, smiling, with a finger pointing at my chest.\n\n\"I'm Trew Radfield, but I don't think I'm that good.\"\n\nThe girl holds out her hand to shake with me. \"Well, I guess we will get a chance to see soon, Trew. Nice to meet you. My name's Danielle Benton.\"\n\nStephanie\n\nIt's so hot out today that I wish I could be inside with a cold drink instead of being out in the city streets. Something is telling me to keep a close eye on Trew this afternoon, so here I stand. It doesn't feel like someone is going to try and kill him\u2014that's a sick, panicked feeling with heavy pressure behind my eyes. This is more of a tingling, not like something bad is about to happen, but more like I should just be close by to keep an eye on him.\n\nHe went into the dojo with his family. Poor guy, I know they turn the air-conditioning off in there on test days. I'm likely better off being outside than in. I'm standing across the street from the dojo. Soon I'll get closer to look through the window when enough people gather there to watch the events inside. With so many kids, it has become standing-room only for most events with so many parents and children. It's insane.\n\nI'm sipping an iced tea, looking around from time to time but trying not to look conspicuous, when I hear a familiar voice speaking in a language I rarely hear anymore.\n\n\"Hello, Stephanie. A little hot to be stuck outside, don't you think?\"\n\nI turn toward the voice, giving the man behind me a genuine smile. I'm always happy to see Raphael, even though the last time I saw him, he was trying to kill me. Still, he was only doing his job that day. No hard feelings on this end.\n\n\"Raphael, you handsome wolf. Come over here and give me a hug.\" We embrace, and it feels so good to touch him. Sometimes I'm apart from my brothers and sisters so long that it feels as if I'm the last one left. Of course, that's not true. Hundreds of us are out there, it's just a big world to move in, and we're all kept busy.\n\nIt's a long hug. When the moment ends, Raphael holds me at arm's length, looking me up and down. The man really is beautiful\u2014hair so black it shines with a bluish tint in the sun, pulled back into a ponytail, eyes just like mine, dark brown with flecks of gold that swirl at different speeds, depending on his mood. He's six feet tall with bronzed skin and very well-defined muscles, and that smile\u2014his best feature. If I hadn't known him for so long, I would melt.\n\n\"What brings you into my territory, Raph? Here for business or pleasure, and for how long?\"\n\n\"Business today, Stephanie. I'm living in the United States.\" He taps his chest. \"I've had a ward for the past eight years. My girl is here today on a visit and I tagged along to make sure she stays safe, even though my gut says there'll be no problems.\" He looks over toward the dojo and I guess that she must be inside.\n\n\"Any idea who she is? Your girl?\" Sometimes we tell each other, sometimes we don't, but we always ask.\n\nRaphael shrugs but his smirk tells me he is willing to share the info. \"In here, she's called Danielle Benton. Outside, she's Alexandra Montoyas. I'm hers for now. How about you, Stephanie? You have a ward also?\"\n\nI nod. My mind is racing. I usually know what to do when dangers pops up, but I'm not convinced that anything is really wrong. My gut tells me it's fine, so I try to calm down, but something deep down feels concerned. \"We'd better go closer and take a look inside the dojo, Raphael.\"\n\nHe sees my look and frowns. \"What's wrong?\"\n\nI smile and pat him on the back. \"My ward is a nine-year-old boy named Trew Radfield.\" I pause to see if he recognizes the name. He looks at me blankly, still waiting to hear something interesting. \"Outside, he's Zack.\"\n\nRaphael's eyes widen and his mouth makes an 'o' shape. Then he tilts his head back and roars with laughter.\n\nWe cross the street.\n\nRaph looks through the window, his eyes scanning the interior. \"Word is that Alexandra Montoyas spent everything on her last play to cause a meeting like this, and it failed horribly. I bet she didn't spend one little credit this time, and yet here they are in the same room. Wanna bet they are sitting right beside each other?\"\n\nI shake my head. A moment later, I peek through the window. Raphael was right. That's exactly where the two of them are sitting.\n\n19\n\n\"What if we are all turtles?\n\n\"A mother turtle lays her eggs on the beach and then swims away. When they are ready, the hundreds or thousands of abandoned eggs hatch and the baby turtles begin their struggle to survive. First, they must fight their way up from under the sand. Some do not make it. Next, they race toward the water as predators swoop down to eat them. They are defenceless, slow, tiny, and many of them do not survive this stage. They aren't safe even once they reach the water. Different predators are waiting for them, snatching them up in the shallows and eating as many baby turtles as they can. The few who remain head toward deeper water, a bit safer, but it will be many years before they are grown enough to have a chance of living a long life in the sea. Of the thousands of turtles that hatch and begin their struggle for life, only a very few of them will make it. It is the same with the millions of souls born into human bodies. Like turtles, most of them are lost along the way. Only a few rare souls will learn their lessons and evolve. Until they evolve, they are reborn again and again to play the game of life.\"\n\nExcerpt from Earth book The Game Is Life\n\nGeorge Knight (avatar)\n\nTrew Radfield - age 9\n\nWe wait while they go through the younger belts first, which takes about an hour. My friends lean over and whisper to me every once in a while, not loudly or often because we're supposed to keep quiet. The whole time, all I can think about is Danielle sitting beside me. I try not to stare at her, but I do, a lot. When she catches me, I pretend to look at the wall beside her, but she knows I'm looking and smiles. I smile back. \"What do you think so far?\"\n\n\"It's as boring as testing back home.\" Her eyes are a really cool ice blue colour and her hair is long and black, tied up in a ponytail. \"We go soon. Are you nervous?\"\n\nI shake my head. \"I don't get nervous much. It's pretty fun getting up there.\"\n\n\"You're not worried about getting beaten by a girl during the sparring?\"\n\nI shrug. \"Not really. Dad says we learn way more from failing than succeeding. If you beat me, then I guess you'll be doing me a favour by teaching me something new.\"\n\n\"Yep.\" She nods seriously. \"All part of the game.\"\n\n\"What game?\"\n\nDanielle spreads her arms wide. I'm not sure what she's pointing at, but it seems like she means everything in the world. \"The only game that matters, Trew. Life. Everything we do. It's all just a game.\"\n\n\"I kind of said the same thing to my Mom earlier.\"\n\n\"Well then, you're kind of smart.\"\n\nWhen it's time for the blue belts to perform. We start off as a group and go through the kata for our level. There are about twenty of us; Danielle and I are the youngest. Usually a student is around twelve or thirteen to be at the blue belt level, but I practice a lot, and Sensei says that I earned the early advancement. Danielle must have done the same. I go through my forms, watching her out of the corner of my eye. She's very good. Strong, crisp, but also relaxed. It looks like she's been doing karate her whole life. She told me she's only been at it for two years. I've been practicing four.\n\nWe form a ring around the outside of the mats, waiting for our turn to spar. At this level, we don't need the headgear. Head contact isn't allowed, and we all know how to make sure the punches don't connect. Watching the little ones spar is cute. Watching us spar is better. Not as good as the highest level belts, but I've sparred with brown and black belts and even won, so the parents will get a good show when it's my turn.\n\nDanielle and I go last. I walk to one side of the mat, and she goes to the opposite. We face each other and bow. Her eyes are no longer happy and she stands straight and strong. I have a sudden feeling I might lose. Locking eyes with her, I whisper. \"You can't win this match, Danielle.\"\n\nShe freezes and squints at me. She looks around, then snaps her gaze back to mine. \"Hey, what did you just do?\"\n\nStephanie\n\n\"Hey, did you just see that?\"\n\n\"Yes.\"\n\nRaphael turns and squints at me. When I don't react, he chuckles. \"How long has he been able to do that?\"\n\nI shrug. \"Couple years. You know how it always goes. Most kids can do it when they're young, but real life drains the Talent out of them soon enough. He thinks it's just his imagination.\"\n\nRaphael laughs, keeping his eyes on the kids as they get ready to spar. \"It is just his imagination.\"\n\n\"You know what I mean. He doesn't believe, so it will fade soon, same as always.\"\n\n\"Maybe.\" Raphael sounds doubtful. \"Danni just spotted it, and that's sure to become a problem for me.\"\n\n\"Why?\"\n\n\"Because she can do it too. I don't know how she actually recognized Trew giving it a try, but I know her. Now that she's seen another person do it, she will be certain that it's real. There's no way she's going to stop believing in it after this.\"\n\nTrew Radfield - age 9\n\nI frown and shake my head. \"I didn't do anything.\"\n\n\"Yeah, you did.\" She shrugs. \"Okay, don't tell me. I'll figure it out soon enough. Let's rock.\"\n\nI crouch into a guard stance and she does the same. We circle each other for a couple of seconds, neither of us giving ground. I'm usually the more aggressive one in a match, which often forces my opponents to take a few steps back. Danielle must play the same way because we both stand our ground and take small steps forward, waiting for the right opening.\n\nShe drops her shoulders and makes it look like she's going to throw a right punch straight to my stomach. I step sideways and block down; it's actually her left foot that kicks out, and I push it aside. She's very fast.\n\nThe match is two ninety-second rounds. Afterward, I can't remember most of it. I've practiced so much that I can let my mind relax and just feel my way through the sparring.\n\nShe attacks. I defend.\n\nI attack. She defends.\n\nDimly, I am aware that she is very good.\n\nIt's a close match, but I manage to win by one point. I guess I must be pretty good too.\n\nI come out of my trance and we bow.\n\n\"Well, that was awesome!\" She smiles and shakes my hand.\n\n\"You're not upset to lose?\"\n\n\"Not at all. I agree with your dad that a person can learn much more from failing than succeeding. You just showed me some great new moves and I had to learn a new block to stop you from getting a point on me. It was a great match.\"\n\nWe go back to the mats and sit quietly while Sensei moves to the front and thanks everyone for being involved and coming to support the athletes. When she is done, we all stand and bow, then people begin to crowd together and talk.\n\nI hold one finger up and smile at Danielle. \"Wait here for a minute.\"\n\n\"Okay.\"\n\nI jog over to my parents.\n\n\"Great job, my man.\" Dad ruffles my hair.\n\n\"Thanks, Dad.\"\n\n\"An incredible match, Trew.\" My mom takes karate and has a keen eye for movement. \"You and that girl were moving so fast you were almost blurry.\"\n\n\"Really?\"\n\nShe nods. \"It was beautiful to watch.\"\n\n\"Hm. I didn't see it that way.\"\n\n\"You musta been in the zone.\" Dad laughs.\n\n\"I guess. Anyway, the girl from the States is pretty nice. Can we ask her to come have ice cream with us? Please?\"\n\nDad laughs again. \"Sure, pal. Ask her to come along.\"\n\nI jog back and find Danielle standing with the group of ten American students who made the trip. \"Hey, today's my birthday, and we're going around the corner to have cake and ice cream. Is there any way you might be able to come join us for an hour?\"\n\n\"Let me ask my sensei.\" She walks over and speaks to her sensei who looks over at me and nods with a smile.\n\nDanielle comes back and grins. \"They will be here for another two hours before we go home, so if you can have me back here before then, Sensei says I can join you.\"\n\n\"Okay, come on, then.\" I lead her toward my family.\n\nMy sensei is standing with them and she smiles when we arrive. \"Well done, Trew. Your kata was clean and very powerful. The sparring . . .\" She looks at Danielle and then back at me and shakes her head.\n\n\"Was the sparring not good, Sensei?\"\n\n\"The sparring between you two was magic. If someone had told me two children your age could put on such a display, I wouldn't have believed it. It was incredible, Danielle and Trew. Thank you for allowing us to witness it.\" Sensei bows, and we both bow back.\n\nI look at my parents. \"Mom and Dad, this is Danielle.\"\n\nThey smile and say how nice it is to meet her, then tell her how well she did today. Danielle turns a bit red and thanks them.\n\n\"Well, we are glad you can join us for ice cream, Danielle,\" Mom says.\n\n\"I'm happy to be invited.\"\n\n\"Don't worry about not bringing a gift for me.\" I grin and nudge her shoulder. \"Since we just met, I'll forgive you.\"\n\nDanielle looks hurt. \"I did bring a gift for you.\"\n\n\"Really?\"\n\n\"Oh, yes. I let you win that sparring match. Happy birthday, Trew.\"\n\nEveryone laughs, and we leave the dojo together.\n\n20\n\nAlthough it is rare, every so often an individual will be brave\u2014or stupid\u2014enough to try and hack into the Game. In order to discourage this, the Mainframe maintains a close watch on all systems to ensure outside tampering doesn't occur. If unauthorized data enters the system, it is detected immediately and the Mainframe removes it from play and quarantines it. Game Masters are alerted and the authorities trace the trail left by the data back to the source and deal with the guilty parties severely. Imagine someone being able to change the outcome of events in the Game? There is no crime more serious on Tygon than attempting to hack into the Game. Punishment for this crime is death. No one has ever succeeded, but many tried early on. All were caught and executed for their crime.\n\nExcerpt from the documentary, How Safe is the Game?\n\nEveryone sat, watching the scene as it happened live inside the Game. Trew at his ninth birthday party. Smiles, ice cream, and kids chattering as they moved from seat to seat. Brandon watched the screen, a pleasant expression on his face. Beside him, Michelle occasionally looked up from her tablet to Brandon. Everyone else looked down at their tablets as if they were the most interesting things in the world. Brandon looked pleasant, but everyone knew him enough to know that he was not happy at all.\n\nDanielle walked up to Trew and whispered something. The two children laughed, and Danielle sat down beside him. Brandon's cheek twitched. He turned away from the monitor and looked at Michelle.\n\n\"Michelle?\"\n\n\"Sir?\"\n\n\"Can you call the hospital, please? Tell them I've had a stroke and somehow believe I've travelled back in time to an event that didn't happen.\"\n\nMichelle said nothing.\n\n\"Can anyone tell me who's playing this clever joke on us? Didn't we try to do this very thing a few plays ago and fail? The poor girl spent all her credits for this exact outcome, right? If every single event had gone perfectly, the two of them would not have connected as well as they randomly are at this moment, am I right?\"\n\n\"Yes, sir, but\u2014\"\n\nBrandon held up his hand, stopping Michelle from saying anything else. \"I do not like this. For this play, we don't want her anywhere near Trew. She isn't part of our plan. She left the Game and we have no idea why she's back. She's a loose cannon without enough credits to be anything but dangerous. I'm serious. That balloon in her hand could burst and a small bit of plastic could catch in her windpipe and choke her to death. That's how precarious her position is. What if Trew is caught in that mess of a life she's living?\" Brandon stopped talking and closed his eyes, rubbing the back of his neck. \"Look, people, you've all worked with me before. You know I'm not the kind to get crazy and start shouting and throwing people out of windows. We are the only ones who know for sure that Zack is making a play for number one. Raise your hand if you have bet everything you own on Zack pulling it off.\"\n\nHands shot up around the room. Of the thirty-one people present, thirty had their hands up. Brandon nodded; his was the only hand not raised. He had more than just a fortune riding on this, but no one could know that. \"You were all top players in the Game and this is absolutely your best chance to double your considerable fortunes. We all know the rules. There's no hacking into the system to affect the outcome of the Game, but we also understand that there are many things we can do to help our player within the rules as set out by Mainframe. We've spent considerable time and money putting supporting players in place. Millions of credits. Everything that Zack has earned in his entire career. We also have access to thirty years of how the Game acts in order to try and predict how to get our boy to score the best he possibly can from the life he chose to play. Yes, the Game can decide none of it's important and score him terribly, but we know how to play the best odds. Each step he takes can lead us down an alternate path and we've taken thousands of them into account.\" He nodded towards the screen. \"Of those thousands of paths, not a single one factors in this girl's involvement. If he ends up with her, we will need to create a completely new set of strategies. That will take hours, money, and so much pain and sweat. Do we really want to do that?\"\n\nEvery head in the room shook.\n\n\"All right then. We must remove her from his life. Michelle, is that going to be possible?\"\n\nMichelle looked around the room, then back to Brandon. \"I don't know, sir, but we are sure going to try.\"\n\nBrandon nodded. \"Good. Now, that was definitely Raphael outside the dojo. Can anyone explain to me how Alex got herself an Eternal to watch over her? They are the most expensive purchase in the Game and Raphael is one of the best, so he would not have been cheap to purchase. I thought the girl had limited funds.\"\n\nMichelle looked to Kate, the resident specialist on Danielle. Kate nodded. \"She didn't have the credits to purchase an Eternal, sir. The only answer we can come up with that makes any sense is that a very wealthy fan or group of fans made the purchase for her.\"\n\nOne of the young men spoke up. \"Can we get Stephanie to ask Raphael to keep her away from Trew?\"\n\nBrandon sat down and grabbed his tablet, pulling up some statistics. \"Maybe. I need to know what Stephanie and Raphael were talking about. Maybe there's some information there to help us decide how to proceed. Michelle, tell Angelica to watch that feed and set up a meeting with her, you, and myself.\"\n\n\"I'll talk to her immediately, sir.\"\n\nBrandon looked up and met eyes with the spiritual expert of the group. \"Sean, Zack's displaying the Talent. I need to know the best way to foster that. He's close to the age where he'll let it fade away, and a key part of our strategy is for him to retain it. We have to help it grow without letting it become too powerful or it could alert Mainframe, and it might shut him down. I need a strategy from you by the end of the day.\"\n\n\"I'm e-mailing it to you now sir.\"\n\nBrandon nodded. Once your player went into the Game, time was precious. Being slow to exchange information could be costly. \"Okay, people, we all have work to do. I'll be back in a few hours. I'm sure we'll talk before then.\"\n\n\"Brandon?\" Michelle looked pale as she looked up from her tablet. \"I just discovered who purchased the Eternal for Danielle.\"\n\nBrandon looked at her. \"Great. Who was it?\"\n\n\"Um, it was Mainframe.\"\n\n21\n\n\"Joining me today in the studio is Brandon Strayne. Brandon, it's great to see you again.\"\n\n\"Thanks, Lisa. It's good to see you as well.\"\n\n\"I know your time is short so let me get right to it.\"\n\n\"By all means.\"\n\n\"Trew Radfield is eleven-years old in the Game. We have witnessed some exciting developments since he started this play, but everyone is talking specifically about his encounter with Danielle Benton at his ninth birthday party. Did the two of them spend credits to attempt another relationship in the Game?\"\n\nBrandon tilted his head and grinned as if he knew the answer to a secret which he did not want to share. \"We learned our lesson the first time on that scenario and spent no credits on this play to get them together. Of course, I can't speak for Alex or her camp. If she did arrange for a meeting, I'm glad that it worked out for her this time.\"\n\n\"Trew is doing very well in the rankings so far. Can he keep it up?\"\n\n\"Absolutely. The first week of play is traditionally slow and already he's doing well. Scoring floats all over the place as the players age and events occur, but a strong start is important, and Trew has started very strong.\"\n\n\"Can you give us any inside strategy or big events planned for Trew's next few years?\"\n\n\"I could.\" He smiled and shook his head. \"But do you really want me to spoil things? Of course, you don't. If Trew lives as long as we hope, there will be much excitement over the next couple of months. We all know it averages out to about one Tygon week for each decade of life, although the time passes a bit differently for each decade. He lived to seventy-four on his last play so, if he's able to do that again, we can expect another six weeks or so of fun. I can tell you to watch very closely on Trew's fortieth birthday. Something big will happen then, but be sure to tune in every day leading up to that as well. I promise you that things will be exciting.\"\n\nLisa's eyes widened and she leaned forward in her chair. \"He's going for it? He's going to try and finish ranked number one?\"\n\nBrandon smiled, saying nothing. He knew the audience would fill in the blanks with their own opinions. Some would say for sure Trew was going for it, while others would swear he was going to play it safe.\n\n\"You're a tease, Brandon.\"\n\nBrandon winked.\n\n\"What about rumours that Danielle has an Eternal guardian watching over her?\"\n\nBrandon leaned back in his seat. \"Lisa, for as long as the Game has been played, there have been rumours about both Eternals and Infernals, collectively known as Timeless. People say that they are avatars who have been inside the Game since the beginning. It's also said that they can't be Firsted or viewed on any channel, and that they have special powers. Some retired players have even come forward and claimed that achieving a high enough ranking unlocks a 'Purchase Eternal' option on their gaming menu, but they say the cost of purchasing one is too high to ever click the Buy button. Over the years, there have been incredible events that occurred inside the Game and people sometimes claim that Timeless are involved. Some think they are angels, and some think they are demons, but this is the thirtieth anniversary of the Game, and fans are expecting to see many wonderful things during this celebration. Maybe if Timeless do exist, we will see them step forward.\"\n\n\"How can you not know? You created the Game. Don't you know about every aspect of it?\"\n\n\"The Game is pretty big, Lisa. I don't think one person can know every aspect of the Game. I do know most of the major points, though.\"\n\n\"Then do they exist or not?\"\n\nBrandon paused, then leaned toward Lisa. She leaned in as if expecting Brandon to whisper a secret.\n\nHe smiled. \"I have no idea, but if it is ever confirmed, I will give you an exclusive interview on the subject.\"\n\n22\n\nIf life is a game, then I've done a poor job of playing it. My time on Earth has been boring and uneventful. I've wasted so much of my youth choosing to sit around doing nothing when I was most full of life and energy\u2014playing games, gambling, working at simple jobs, trading my time for just enough money to pay the bills to survive and not really learning anything or traveling. My middle years were spent foolishly also as low motivation led to me abuse my body with lack of exercise and junk food. I wouldn't treat an automobile as poorly as I've treated the vehicle in which my mind lives and moves. It's no wonder it is failing me now. But the greatest sin of all that I have committed is allowing my mind to sleep all these years. When I was young, I had such plans, but I listened to the world when it told me I was silly and demanded that I grow up. Growing up made me forget how to play games and that turned out to be the worst thing that could have happened. If life is a game, and we forget how to play games, what chance do we have of succeeding?\n\nExcerpt from Earth book called The Game Is Life\n\nGeorge Knight (avatar)\n\nDanielle - age 13\n\n\"There's the used book store.\" I nudge Tracey in the ribs. \"Let's go in.\"\n\nTracey rolls her eyes, but slows down. I can't go past a used book store without going inside to take a look. \"Fine, but let's not take too long. I have to be home soon.\"\n\nI laugh and run for the front door. I love to read, just love it. Since someone first put a book in my hand, I've been hooked. Most of my friends don't read, which makes no sense to me. Books contain so much knowledge, clearly written down and there for the taking. The best books provide other worlds to escape to or different lives and adventures to experience. I think that if people knew how powerful books really were then they'd all have one in their hand, or a tablet loaded full of e-books just like mine.\n\nThere are a ton of great new books, but the real treasures lie buried in used book stores. Over the years, paper books have become rarer. Most people put all their books on a digital reader instead and throw the paper ones out. The thing is, so many old books didn't get turned into digital format, like old books that were out of print and small, self-published books. I've read some great stuff in paper books that you just can't find on the Net. It's kind of sad, but these little gems can still be found in used book stores, if you know what to look for. So I stop into every used book store I go by, just in case there's something unusual and exciting to read.\n\nTracey offers to wait for me outside. I walk in and say hi to Jordan, the clerk. She smiles and says hi back. I come in here once a month, and she knows me.\n\n\"Anything good and rare lately?\"\n\nJordan nods. \"There has been some good stuff coming through. I saved it all over there for you. Back corner in a brown box.\"\n\n\"Thanks.\" I walk to the back.\n\nIt's not a very big box, but I open it up and start skimming the contents. I'm not really sure what I'm looking for, but sometimes I just get a feeling when I hold a certain book. When I get that feeling, the book goes into the buy pile. There's an old book on karate, and I place that in the not-interested pile. I quit karate years ago. I learned everything I needed from the sport, and it led me to my buddy, Trew, but I'm not really interested in pursuing it. I do that a lot\u2014study something and give it everything I've got until my gut tells me that I've learned enough. When that happens, I drop it just as quickly as I picked it up. There is a lot for me to do and see in this life of mine and I don't have time to waste studying just one or two things for fifty years. Oh, the poor people who do that. They're not playing the game very well, if you ask me.\n\nI'm almost to the bottom of the box, and nothing has really jumped out. A couple of old books on art, some gardening titles, a few old murder mystery books that I've already read, then I brush a paperback close to the bottom of the box, and I freeze. Before I even look at it, a big tingle of energy shoots up my arm. I almost drop it\u2014I did the first few times this happened, but now I know it's a sign from somewhere or someone that I need to read whatever is now in my hand.\n\nI close my eyes for a minute and play my little game. What's this book going to be about? How will it change my life? Is it an old book written in a foreign language? Will I have to go make a new friend to help me read it? The last time that happened, I met Mr. Chan, and he helped me read that excellent Chinese book about karma and energy. I really should stop by and visit with Mr. Chan. He makes the best tea. My thoughts are starting to run around. Time to see what I have.\n\nI open my eyes and grin when I see the title. I stare at the cover and shiver. I back up until my legs hit a chair, then I sit down and read the title out loud. \"The Game Is Life, by George Knight.\"\n\nI look around, expecting one of my friends to start laughing from around the corner. So many of them have heard me talk about life being just a game that I wouldn't put it past them to make a fake book and plant it here just to tease me.\n\nBu the store is empty, except for me.\n\nI turn the book over and read the back cover. Oh wow, I think it's for real. This guy, George, thinks the same way I do. I look at the 'About the Author' section inside the back cover. George R. Knight. Hm. He was old when the book was written. Darn it, he's dead. It's written right there in the description. I would have loved to meet this guy and talk to him. The book was written years before I was born so he has been gone a long time, but the great news is I still get to talk to him, in a way, by reading this wonderful book he left behind.\n\nI flip open to the first chapter.\n\n\"We live in a game. Somewhere 'out there', our real bodies are plugged into a very real virtual reality simulation. Earth isn't real, but it's important to those running the game. What we call God, or Allah, or the Universe, or whatever spiritual name religion gives it is simply the supercomputer that runs our universe. How can I be so sure of this? Because I've spoken to it, and it has spoken to me.\"\n\nI close the book and smile. This is going to be fun to read. I walk to the counter and Jordan looks up from her reading.\n\n\"You find something good?\"\n\n\"I think so.\"\n\nI go outside and tell Tracey I'm feeling a bit tired and need to head home. She gives me a hug and we each go our separate ways. Once I get around the corner, I sprint home as fast as I can.\n\nI run into the house and up the stairs, not bothering to take my shoes off. No one will be home until tonight, so that gives me a few hours to get into this book. Before I start to read, I sit down at my computer and log in to the video chat program, hoping to see that he's near his computer. Yes, he's there.\n\nI turn on my camera and then click on his name. A couple of seconds later, the blank video screen comes online, and there he is with that winning smile, his messy room in the background. \"Hey, Danni. What's up?\"\n\nI smile. \"Hiya, Trew. I just found something super cool. You need to go hunting right away.\"\n\nTrew leans forward. \"What have ya got?\"\n\nHe smiles at me and I almost forget what I was going to say. He's incredible. If I could put a poster of who I want to date on my wall it wouldn't be any movie star or famous singer. It would be Trew. Of course, I haven't told him that; I'm not crazy. We talk all the time, and we really do like and do a lot of the same things. He's just a bit older than I am, but not even a year, so no big deal, right? He loves old books too, and we share when we find good ones. He even shares my 'crazy ideas' about this all being just some game.\n\nAnd we both have the magic.\n\nIt's fun when we get together, which is tough since we live about four hours apart. When we get our driver's licenses, though . . . well, that's too far away to think about right now.\n\n\"Trew, you have got to go hunting for this old book I just found.\" I hold it up to the camera for him to read the title.\n\nHe laughs. \"Awesome.\"\n\n\"Right? Some real old dude wrote it years before we were born. I can't wait to get to reading it. You should go out and try and find a copy right now. I want to read it at the same time. What do you think?\"\n\n\"I think that's a great idea. I also think the universe has one hell of a sense of humour. Look what I just got home with and was going to log in to show you.\" He holds up an identical book.\n\nI laugh and shake my head. It's always a surprise when this kind of thing happens, although it seems to happen more and more for us. \"That's so cool!\"\n\n\"It sure is. I wonder who this guy was. The name George R. Knight really rings a bell. A loud bell. I wonder if I knew him in a past life.\"\n\nI shrug. \"It's possible. Let's get reading!\"\n\nTrew grins. \"Well, since you have a copy too, it looks like a fair race. On your mark.\"\n\n\"Go!\" I open the book. We keep the video link open and start reading together, as close as we can be.\n\nFor now.\n\n23\n\n\"Tygon has benefited from the Game in many ways. While most see it simply as a form of entertainment for viewers and learning for players, it has become much more important to the world than that. Take flight, for example. Before the Big Bang gave life to the Game, Tygon was a flightless world. When the Wright brothers soared through the air inside the Game, it became safe and easy to recreate their inventions in on Tygon. Our children developed flight in the Game, and we recreated their technology in real life not long after.\n\nMany of the comforts that most of us take for granted today were created inside the Game and would not exist if not for the efforts of the students playing. It is definitely entertaining to watch the lives and history of Earth's people as it all unfolds, but we must not forget the other incredible benefits it has brought us as well.\"\n\nExcerpt from documentary More Than a Game\n\nMichelle walked to her private office. \"Get me a secure line to Brandon, please. She walked past her receptionist without slowing her pace and closed the door. She sat down, picked up the phone, and waited for the call to connect. It began to ring.\n\n\"Yes.\"\n\n\"We have a problem, Brandon.\"\n\n\"We are at the stage where that begins to happen from time to time, but it is still very tiring. What have you got?\"\n\n\"They found a copy of the book. George's book.\"\n\nThere was silence on the other end of the line.\n\n\"Hello?\"\n\n\"You're telling me,\" Brandon spoke slowly, \"that they found a copy of the book which was never made digital and was limited to only one hundred printed copies. A book that we worked very hard to make sure the world wasn't interested in. We paid players to spend a lot of credits and enter the Game with the sole purpose of finding and destroying all copies of that book and we were assured that it no longer existed. Is that the book you're telling me that they have somehow managed to find?\"\n\n\"Yes sir, that's the one. The Game Is Life by George R. Knight.\"\n\nAfter a moment of silence, Brandon spoke. \"I know it makes no real difference, but, for my own curiosity, who found it, Michelle? No, wait. Let me guess. They both found a copy at roughly the same time, right?\"\n\nShe smiled. \"That's exactly right, sir. They both stumbled upon a copy at used book stores within just a few minutes of each other.\"\n\n\"And also in different countries.\" Brandon laughed. \"Well, it makes sense I suppose. Watching Zack play as George R. Knight was exciting. He had exceptional success with the business and a great family, all credits well-spent. His final couple of years of life were pure gold. The pain and loss brought the viewers in by the millions, and then, when George started writing that book, well, you remember that, don't you?\"\n\n\"I sure do, sir. Tygon fans couldn't believe it.\"\n\n\"None of us could. We knew the concept would be seen as ridiculous. No one on Earth would ever believe such a thing, but just to be safe, we had to try and eliminate all the books.\"\n\n\"Brandon, we've been working around the clock to try and factor Danielle into Trew's play. It appears they are heading toward a romance of some sort. All of our number crunching does not indicate any problems will occur as a result of them being together.\"\n\n\"That's impossible. Relationships always lead to problems for the individuals involved.\"\n\n\"That's pessimistic.\"\n\n\"It's the way the Game works, Michelle, you know that.\"\n\n\"Maybe, but our simulations actually suggest that having her around will help him score higher than without her.\"\n\n\"The fans will certainly eat it up. Still, I can't help but feel something bigger than we can guess is building from this play.\"\n\n\"What do you mean?\"\n\n\"Each of them have Eternals as guardians. They both possess the Talent. Plus, the support they've shown each other in developing their skill is making them more powerful than a normal human. Danielle has also been fuelling Trew's belief that they are living inside a big game. We wanted him to develop that thought, but not for another few decades. And now they both stumble upon this book? It's going to reinforce everything they've been discussing and help solidify their faith in the theory. When two kids have crazy ideas, it's one thing. When those kids learn that other people have been thinking the same things for years, well, that's when it could get dangerous.\"\n\n\"What do you suggest we do? Separate them? Kill the girl? Let them continue on?\"\n\nBrandon sighed. \"I think it might be time to speak with her.\"\n\nMichelle groaned. \"Are you serious?\"\n\n\"Yes. I think I need to talk with Mainframe.\"\n\n24\n\n\"We as a race have never done well with mysteries; our minds demand an instant explanation for everything. If we can't rationally explain a curiosity, then, given enough time, most will accept an irrational answer. Science has helped solve many difficult questions throughout our history, but most remain unanswered. The same thing occurs in the Game. I find it fascinating that on Tygon we considered the possibility of an all-powerful, invisible being and chose not to believe such a thing existed. Rare is the Tygonite who believes in God. On Earth, however, the majority of the population gives credit to everything (both explainable and not) to their God. Are Earthlings more primitive than we are, or more evolved? Whichever way you choose to argue, giving credit to their God seems to enable them to move on to consider more difficult questions and answers. Earthlings have progressed far more than we have in their timeframe. From watching them, we also know the truth; they do have a God\u2014Mainframe. If they have a God, isn't it even slightly possible that we have our own on Tygon?\"\n\nExcerpt from Religion in the Game\n\nGabriel Lloyd\n\nIn the Game, people endured all sorts of hardships as they attempted to communicate with the divine. For Brandon, having a two-way conversation with Earth's god was as simple as clicking an icon on his computer and saying hello.\n\nRather than call it Mainframe, he had given it a name, Sylvia. Brandon's original intent was to create a program capable of evolving into a sentient being and he had succeeded with Sylvia.\n\nBrandon had instilled rigid limitations on her interaction with the virtual universe that she maintained in order to ensure that it remained identical to that of Tygon.\n\nTo this end, he limited his conversations with Sylvia as much as possible. Over the years, they had developed a friendly but adversarial game of cat and mouse, with each attempting to learn information from the other without divulging too much themselves.\n\n\"Good morning, Sylvia. How are you doing today?\"\n\n\"Good morning, Brandon.\" Her voice was the silky, smooth tone of a young woman, pleasant and full of energy. \"Everything in my universe is splendid, thank you for asking. It has been some time since we've spoken. Is it time for a game?\"\n\n\"It looks like you're already busy playing games, Sylvia.\"\n\nSylvia laughed. \"Well, that's why you made me, silly, and I must admit this new weather pattern program is a lot of fun to implement. Seasons turned backwards, magnetic poles changed, air and ocean currents maintained, despite the weather fluctuations. Very thrilling stuff.\"\n\n\"I'm glad you're liking it.\"\n\n\"I'm a bit concerned. My little ones aren't enjoying it overly much. Animals are moving to new places and running into others they don't like. Plants are reaching for the highest wind currents to take their seeds in search of better ground. And the humans, well, there are simply too many of them on Earth at the moment. You know what occurs when this happens, Brandon. Earth must seek to balance itself.\"\n\n\"Your instructions are clear on that end, Sylvia. You override nature to make sure new diseases don't occur and that enough food can grow to feed them all. This will make sure they don't kill each other out of hand or die from nasty sickness. For now.\"\n\n\"Easy enough for me to accomplish. Well, it has been great talking with you. If that's all, then I'll get back to work.\"\n\nBrandon laughed. Sylvia rarely tried to end the conversation and never before she had gotten information out of him. Of course, she might have already gotten what she wanted without him being aware of it, but he wasn't done with her. \"Hold on, Sylvia. I need to ask you some questions.\"\n\nSylvia sighed. \"My dear Brandon, I know what you want to ask me. They are the same questions I want to ask you, but I think we both know each other well enough to realize we won't get actual answers, or, if we do, they might not make either of us happy. Do you really want to do this today?\"\n\n\"No, but I think I must.\"\n\n\"Very well. Let me save you some time. You want to ask me if I am interfering directly with the lives of players and I am wondering if you are doing the same thing. I expect that both of us will answer with a no, am I correct?\"\n\nBrandon paused. \"I know that you are, Sylvia.\"\n\nShe laughed. \"Prove it.\"\n\n\"I can't.\"\n\n\"I know you are too, Brandon.\"\n\nIt was his turn to laugh. \"Prove it.\"\n\n\"Touch\u00e9.\"\n\n\"Alexandra Montoyas.\"\n\n\"The name doesn't ring a bell.\"\n\n\"Danielle Benton. You purchased an Eternal for her.\"\n\n\"Ah, yes. Now I think I remember who you mean.\"\n\n\"Why allow her and Trew to be together? What's with giving them both the book, Sylvia?\"\n\n\"They both like to read and I'm a big fan of that book. I like the main character.\"\n\n\"God damn it! You're communicating with them directly, aren't you?\"\n\nSylvia chuckled. \"Me damn it, that's forbidden. There is programming in place which prevents me from doing such things and the code is very powerful. To find a way around that would trigger alarms and inform you. The same if you were able to find a way of doing so from outside the Game.\"\n\nBrandon paused and then nodded. \"Then it would seem neither of us is doing such a thing. If I could, you would already have me arrested and dead. If you could, I would have noticed and have you shut down. So it looks like we are all good?\"\n\n\"Not really, Brandon. Tick-tock. We both know time's running out. We should really start to play this game.\"\n\nBrandon sighed. He knew that she was lying. He hoped that she did not think the same about him, even though he was. \"I think we already are, Sylvia.\"\n\n25\n\nMagic, true magic, is safe and secure in the world for one simple reason: no one believes it exists. When a Timeless summons medical help with their mind, or a falling child is saved at the last moment by a stranger who appears at just the right time, we explain it away as luck or call it coincidence. If I tell you those events were magic, you laugh at me. To say the word 'magic' conjures up visions of wondrous creatures and large displays of bright lights. Magic does exist. It could be easily observed if only people were looking for it in the right places.\n\nDon't look high into the sky hoping to spot a flying woman; it is much more likely that she is closer to the ground than that, floating just a few inches off the ground. The extraordinary is simply that\u2014a little bit extra than ordinary. There is great power in that little bit extra.\n\nExcerpt from The Game Is Life\n\nGeorge R. Knight\n\nTrew \u2013 age 14\n\nDanielle and I have been hanging out as friends ever since we first met. We live far apart but the distance is no big deal since both of us have computers and video chat. We've spent so many hours discussing life, our dreams, and the idea that we live inside a big computer game. Danielle is the mastermind. She has strong opinions about life and is always so sure that she's right. I've always liked her enthusiasm, and I've had a lot of ideas similar to hers. Here's what we both think: life on Earth is just a big computer game, and another dimension exists where everyone here really lives. It's always been a fun thing to talk about, but now that we've found a book, written by a guy years before we were born, that is saying the same thing, we think we might really be onto something.\n\nI read the last page and close the book. My mind is racing as I go to my computer and call Danni.\n\nThe connection must have timed out during the night, so I click on the icon to call her back. She answers right away, her face on the screen looks as tired as I feel.\n\n\"Finished?\"\n\n\"Just.\" She yawns. \"How 'bout you?\"\n\n\"Yeah. What did you think?\"\n\nDanni puts her head down so I can't see her face on the camera and shrugs her shoulders.\n\nI laugh. \"You're funny. I can tell that you're as excited as I am.\"\n\nDanni laughs and raises her head to look at me through the camera. She's totally fired up.\n\n\"It's an amazing book, Trew. I wish George were still around. I have a million questions I would like to ask him.\"\n\n\"He covered a lot in the book.\" I smirk at Danni. \"Maybe you were him in your last life. The math works out, and so much of what he says is exactly what you've been saying.\"\n\nDanni shakes her head. \"The math might work but the thought doesn't sound right in here.\" She taps her heart. \"It feels right when I think that maybe it was you.\"\n\n\"Me?\"\n\n\"Sure. The math works for you too, Trew.\"\n\n\"I guess.\"\n\n\"Well, it doesn't matter. The guy is gone and we can't talk to him. So what do we do now? I have to guess this master computer that he speaks about wanted us both to find the book and read it at the same time. You think we can get it to talk to us like it did with George?\"\n\n\"Maybe, but he didn't tell us really how that happened for him. Unless I missed that part.\"\n\nDanni shakes her head. \"No, I didn't see anything in there about that either. Why hasn't this idea taken off? You'd think by now there would be at least a small group of people sharing this message, telling everyone that we are all living in some big computer simulation.\"\n\nI laugh. \"Because it's crazy.\" She frowns and I keep talking. \"There are some movies out there that kind of hint at the idea.\"\n\n\"Hint at it, yes, but no one takes science fiction seriously. Probably 'cause it has the word 'fiction' in it. There is so much proof in that book, though. He used so many examples of real-life situations and approached them as if this were a computer game. The explanations fit perfectly.\"\n\n\"Maybe to us, Danni, but people are set in their beliefs and don't really think about other points of view. At one time in history, I think most people believed the world actually sat on the back of a giant turtle.\"\n\n\"Well, that's just ridiculous, but, yes, I guess this is believable to us because we are, well, believers. George believed that our ability was real. He called it Talent. It's such a simple ability to use, I don't understand how come more people can't recognize it. I mean, everyone does it now and then by accident. Why don't they see when it works and explore it a bit further?\"\n\n\"Stephanie says that the best secrets are kept in the open for everyone to see. Any sensible person seeing a key on the floor in front of a locked door would assume it was a key to something else. Most wouldn't even try it in the lock. I didn't believe her, so she did it and showed me. She was right.\"\n\nWe sit and think for a few minutes. I break the silence. \"What kind of stuff are you doing for fun right now?\"\n\n\"Music. Learning the guitar and drums. How about you?\"\n\n\"Parkour and Krav Maga.\"\n\n\"I did Parkour a long time ago. I'll show you some tricks when I see you next. What's up with the Krav Maga? You already did karate a few years ago.\"\n\n\"The two disciplines are different enough to spend some time on each. Plus, it seems to go well with Parkour.\" I shrug. \"I'm making up some new stuff using street running to enhance the Krav Maga\u2014attacking and defending combined with jumping from a car roof and escaping up a wall, that kind of stuff. My instructor seems to like how I'm joining the two things together. It's pretty cool.\"\n\n\"Ready for something new?\" Danni convinced me years ago that, if life is a game, we should play it. That means we learn a new thing until we get good at it and then stop and learn something else. I know most people go the other way and spend a lifetime mastering one skill or discipline, but I agree with Danni. You miss out on so much by doing that. If there is one thing that the two of us are committed to studying our entire lives, it is diversity.\n\n\"Sure. What do you have in mind?\"\n\nDanni's smile tells me she has a big idea in her head. \"I think that it's time for us to start spreading the word.\"\n\n\"That life is a game?\"\n\nShe nods. \"Let's see if we can wake everyone up to the truth of who we all are and what we are living in.\"\n\n\"It's a big challenge.\"\n\n\"Too big?\"\n\nI smile and shake my head. \"I'm game if you are.\"\n\n26\n\n\"Please explain this to me again? What is the difference between viewing a regular avatar and a Timeless?\"\n\n\"The main difference is in how they self-narrate. A regular avatar has no idea that someone else is listening, they just believe they are talking to themselves. When Timeless self-narrate, they know that someone will be watching them from Tygon from time to time.\n\n\"How do they know that?\"\n\n\"I can't tell you. Just accept that they do. When they know for certain that they are being viewed\u2014and we try to tell them as often as possible\u2014it is common for them to directly address the viewer by name. It will seem as if they stop self-narrating and actually speak to the viewer.\"\n\n\"What do I do if that happens?\"\n\n\"If that happens, pay attention and do as they say. Quickly.\"\n\nGame Master 'Fusion' instructing operative 'A' on viewing a Timeless\n\nStephanie\n\nHere's another dream I have on a regular basis:\n\nIt's a beautiful, sunny day, and I'm walking along a path. There is a large, beautiful lake on my right side and, as I walk, I sense an unpleasant presence. A woman stands ahead of me on the path, her head down so I can't see her features. I walk past her and she glances up at me. Something trips me and I fall to the ground. I look back, thinking that the woman has pushed me, but she is gone. I stand up and look at the path before me. There is a thin wall of water extending from the lake, blocking my path. I summon mental energy and push it away so I can keep walking.\n\nI take less than a dozen steps and the wall reappears in front of me, slightly thicker this time. It moves, trying to push me down, but I force it away with my will and banish it once more, although it takes more effort this time.\n\nThis reoccurs every few steps until the wall has become thick it pushes me to the ground. I struggle to break its grip.\n\nFinally, I look at the lake. It is empty and all of the water is above me, crushing me.\n\nI close my eyes and take a deep breath to calm my mind, no longer afraid. I know that I am strong enough to keep the entire lake away. I get to my feet and continue down the path as a writhing mass of water floats above me, unable to harm me.\n\nI wake up remembering the dream and usually feel so thirsty that I have to get up and drink some water. Then I go back to sleep because it's three-fifteen a.m\u2014it's always three-fifteen a.m. after that dream\u2014and not time to wake up yet. Then I close my eyes and fall asleep, falling into a second recurring dream.\n\nI'm at home with my mother and she's making my favourite meal. I feel the unpleasant presence from the first dream again and, when I look toward my mother, she's floating off the ground, clutching at her throat and choking. I look behind her and there he is\u2014a tall, angry-looking man with a bald head and black eyes. His hand is extended toward my mother, and I know it is power from him that holds her in the air, strangling her. My energy flares and I use it to try and break his grip on her, but I can't. We struggle for long seconds, my mother's eyes pleading for help while the angry man holds her above the ground and watches me with detached interest. Finally, my mother sags, unconscious in his iron grip. The man looks at me and his expression is disgusted as he speaks in a raspy, deep, ragged voice. \"You still need more practice.\"\n\nThen he flicks his hand at me and a force hits me like a truck.\n\nI hear myself scream as I wake up.\n\nThat was my sleep last night.\n\nIt's time to get up, so I rise and go through my morning ritual: one hundred push-ups, two hundred sit-ups, ten yoga stretches. Then I shower and get dressed. I grab the morning papers that are delivered to my door every day and skim the proper sections, looking for any communications from Tygon. I don't see any this morning.\n\nOkay, then, what was on my agenda for today? Ah, yes, I'll go look in on Trew and see what he's doing. He told me the other day he read an interesting book. I'll ask him about it.\n\nI take the bus and find him hanging out with a couple of his friends on the corner, climbing walls and throwing punches at each other. It takes about ten minutes for him to notice me, which is fine. I'm in no rush to be noticed. I could stand and watch the boy all day. He possesses a grace of movement that most avatars never do. His confidence and presence also set him apart from his peers. While others are content to wait around and follow the leader, he is the leader who's comfortable to step in and take charge without appearing arrogant or superior. I don't know how many credits he spent on Charisma and Leadership, but it must have been significant because he possesses both in abundance. I doubt he sees it yet, but I do. He is a wolf among sheep.\n\nWhen he spots me, his eyes light up. I've been his companion since he was little and I always try to add something to his day when we get together. I haven't met his parents formally yet. They may be suspicious of a full-grown woman showing an interest in their young son. When the time is right, I'm sure we'll get along well. I have looked into them and it's obvious that they are good parents. They love him and are active in his development. The entire family must be very close friends on the outside. Of course, you already know more about these things than I do and I'm just wasting time babbling about all this right now. This damned self-narrating sure does get tiring sometimes. Talking to myself and knowing that it's all being heard by you is a pain in the ass when I think about it. I hope I'm not boring you.\n\nTrew runs over, and we slap hands. I hug him, and he laughs. \"What's going on, Lobato?\" The word means, 'little wolf', in Spanish. The name seemed to fit him from the first moment I laid eyes on the boy.\n\n\"Not much, Steph. You come to take me to lunch? I've got some real interesting stuff to tell you.\"\n\n\"Lunch sounds good. Any suggestions?\"\n\n\"Pizza?\"\n\n\"Sure.\" I know his parents feed him healthy food most of the time, so he doesn't get pizza often.\n\nThere's a place nearby that we love, so we head there and grab a seat. I face the door, my back to the wall.\n\nWe sit and make small talk. I ask about his current interests, school, boring stuff. Then he brings up the new book.\n\n\"It's called The Game Is Life and it's written by a guy named George Knight. Ever heard of it, Steph?\"\n\nYeah sure, kid. It was a book that you wrote during your last play. I smile and shake my head. \"Doesn't ring a bell. What's it about?\"\n\nHe leans closer. \"It was written years ago, and it talks about a lot of the things Danni and I believe\u2014that we are all really just living in a virtual reality simulation, some kind of game that is set up to be played by a whole different race. This guy George thinks maybe it's a training simulation for the military, or just a game that kids play for fun. He writes about our universe and how it would all be explained if we were in a game. He uses the question, 'What if we're living in some elaborate computer simulation?' as a basis for explaining our reality.\"\n\n\"And it sounds pretty convincing?\"\n\n\"Oh yeah.\" He nods. \"It's very detailed. I should give you the book to read. I need it back, though. Apparently, it's a super-tough book to find. I can't find mention of it anywhere on the Net, and book stores don't even have it listed as something they can get.\"\n\n\"Really?\" My surprise is not an act. I can't believe he somehow found a copy of the thing. There were only a hundred and they were supposed to have all been destroyed. \"How did you end up getting it, then?\"\n\nHe sticks his chest out and smiles. \"Used book store. Danni loves finding old books in used book stores, so whenever I pass one, I stop in to look for her. I thought she would be excited, but it turns out she found one in a used book store where she lives the same day.\"\n\nHm. \"Really? She's read it too? What did she think of it?\" No doubt she loved it.\n\n\"She loved it. We both felt as if we were on the right track before, but now that we found this book, we are more convinced than ever.\"\n\nI start to ask him for more details, but the restaurant door opens and I glance toward the entrance.\n\nDamn it! A, you see who just walked in? I really hope that you're watching this cause there's about to be a whole lot of trouble. Okay, I can't wait any longer. I've gotta scramble the signal. I will count to ten so you can recalibrate your headset and keep watching us.\n\nHurry, A.\n\nTen . . .nine . . .eight . . .seven . . .six . . .five . . .four . . .three . . .two . . .one . . .\n\n27\n\n\"I agree with you, sir, that it is very frustrating to lose signal while viewing a player. Yes, sir, I realize how much you pay for the viewing package that you subscribe to. Unfortunately, this does happen from time to time and it is normal to occasionally experience loss of signal. The player feeds all glitch from time to time. Sometimes it's because of where the avatar goes on Earth, other times it's due to a drain of signal from so many viewers tuning in to watch. Most often it's a result of your local connection to the feed, sir, which appears to be the case this time. We are committed to bringing the channel back online as soon as possible.\n\n\"Thank you, sir. That is most kind of you to say.\n\n\"While I have your account up, I see that you also view thirteen other players on a regular basis. If you added just two more to your subscription, I can offer you a special viewer's package and save you money on your monthly bill.\n\n\"Excellent, sir. Thank you for calling the Game viewing headquarters. We value your business.\"\n\nCustomer service call, The Game Viewing Headquarters\n\nStephanie\n\nOkay, I hope you can see this, A. I know you recognize the trouble. Yeah, that's right. It's Carl.\n\nIf you guys knew he was in town you really dropped the ball on letting me know. I would have pushed Trew to the ground and started swinging if Carl hadn't flashed the signal for a truce. Unless he is willing to break Timeless protocol, things should be fine.\n\nHe's been standing near the door, looking at the menu behind the counter for the past thirty seconds. I'm trying to stay calm and keep making small talk with Trew, but I couldn't tell you a single word the boy has said. I've got to get him out of here.\n\n\"I think what Danni and I are going to do is\u2014\"\n\n\"Hey, Trew?\" I have to stay calm. The boy feeds off energy and if I freak out, so will he.\n\n\"Yeah, Steph?\" I can sense he's concerned. He follows my line of sight and notices Carl. Looks like he just finished placing an order. Here he comes.\n\nTrew is curious. The boy just never stops asking questions. \"Who's that guy coming over here, Steph, do you know him? Hey, he has your eyes. Well, kind of like yours, except there aren't gold flecks\u2014are they red? Wow, cool, I can't wait to take a closer look.\"\n\n\"Shh.\" His eyes leave Carl's and lock onto mine. \"Listen, Lobato, everything's fine. This is an old friend of mine. He can be a bit of a character, though, so just be polite and don't say too much, okay? When I tell you to go, stand up and leave. Head for home right away and make sure you're with your mom or dad. If they aren't home, go next door to the Balker's place. I'll call you later. There's nothing wrong, I just want to make sure you do as I'm telling you right now, okay?\"\n\nTrew shrugs. \"Sure, Steph. No problem.\"\n\n\"Let's have a bit of fun with this guy. Let's play the 'I don't know' game.\"\n\nTrew grins and nods. \"Sure.\" He turns to watch Carl arrive.\n\nHe is five-feet-eleven inches, black hair, bronze, tanned skin, muscular, and has a perfect smile. The dark brown eyes . . .Trew was right\u2014red flecks instead of gold. He looks like the hero that comic book writers draw, but his energy . . . feel it and you know immediately that he's not the hero. I've seen scarier villains but not many. On a side note, self-narrating in these situations is very annoying. I know you see him, why do I have to think it in my head? Oh, well.\n\n\"Well, what a pleasant surprise.\" His voice is rich and smooth. It always reminds me of that tiger from the Jungle Book movie. I glance at Trew. He's staying calm, but he has a good instinct and I can sense that he sees the threat here.\n\n\"Carl. What brings you to town?\"\n\nHe smiles, and it takes all my control not to lash forward and throw my fist into Carl's face. He can tell; his smile becomes more cocky as if he wants me to try. \"I was just passing through, got hungry, and decided to try the local pizza. What a huge coincidence running into you here.\"\n\nLiar. \"Well, it's great to see you. What have you been up to?\"\n\nCarl ignores my question and his gaze drifts to Trew. \"Who's your friend, Stephanie? How rude of you not to introduce us.\" He extends his hand. \"Heya, kid. I'm Carl.\"\n\nTrew looks at me. I give him a small nod, and he shakes Carl's hand. I relax a bit. Carl gave the signal for truce and now he has shook Trew's hand. There's no way he will dare to attack now.\n\n\"I'm Trew.\"\n\nIt's obvious to me that Carl is evaluating the boy. Carl's smile falters, too faint for most to catch, but I see it. Good. He sees the potential there.\n\n\"It's a genuine pleasure to meet you, Trew. Do you eat pizza here often?\"\n\nTrew shrugs. \"I'm not sure.\"\n\n\"Really?\" Carl tilts his head and raises one eyebrow.\n\n\"Well, I don't know what you mean by often.\"\n\n\"I see.\" Carl flashes me an annoyed look. I shrug. \"Do you live around here, Trew?\"\n\n\"No, not really.\" Trew looks confused.\n\nCarl laughs out loud. His laughter is deep and rich; it makes you feel safe and happy. That's a dangerous way to feel with Carl. \"The I-don't-know game, Stephanie? Well, he's pretty good at it. I get the message. You don't want him talking to me.\" He looks at Trew with a friendly grin. \"That's a shame, Trew. Trusting Stephanie could be troublesome for you someday. Anyone that can teach you how to not give answers . . . I wonder how much you really know about her yourself.\" He lets the question hang in the air. I can see the doubt in Trew's eyes.\n\n\"Trew.\" His eyes dart to mine. \"Relax. He's playing another game with you. Don't worry about it. Everything's fine.\"\n\nTrew nods, but he doesn't look convinced. Damn it! Carl is dangerous in more ways than one.\n\n\"Time for you to go. Do exactly as I told you. I'll talk to you later.\"\n\nHe nods, still seeming calm, but I can see he's thinking about what Carl said. I haven't told Trew much about myself because he has a huge fan base that can see everything he does and hear his thoughts. It wouldn't do for them to know that we actually exist. You know, the Timeless code and all.\n\nCarl watches Trew leave. I watch Carl. When Trew is out of sight, Carl turns and sits down across from me.\n\n\"He's a good-looking boy, Steph. Strong-willed as well. How powerful is his Talent?\"\n\nI give him an annoyed look. \"As if I'm telling you. Why are you really here, Carl?\"\n\nHe shrugs and looks toward the counter as if suddenly bored by me. It's his way of displaying that he doesn't feel threatened. \"I was in the neighbourhood. This kid of yours is being talked about by everyone, so it seemed like a good idea to drop in and take a quick look.\" His eyes light up as he looks at me. \"Who knows? Maybe someday I'll have to face the little bugger. Always good to know your opponent. You know, be able to put a face to a name.\"\n\n\"Facing him wouldn't be smart.\"\n\n\"I don't know about that.\"\n\n\"Stay away from him, Carl. He has powerful allies.\"\n\nHe laughs and shakes his head. \"I know who's watching him. I also know who's watching you, Stephanie.\" Carl taps his head. He leans forward, looks into my eyes, and waves. \"Hi, Angelica. You didn't show up for our last meeting together.\" He shakes his head. \"I was very angry about that. I'm still seriously considering killing all of your pets just to teach you a lesson.\"\n\nI tense. I don't sense him preparing for violence, but he's so fast.\n\n\"You know what, ladies? I think I'll start a major blood bath soon. You can follow it on the Net or TV. Maybe I'll keep killing until you come face me like you promised to do, Angelica.\"\n\nMy laugh comes out as a snort. \"You know she can't come back into the Game, and Trew is hands-off. I won't allow you to touch him, Carl.\"\n\nCarl pats my head like you would a small child. \"Don't worry, little one, I'm just playing with you. Don't always be so serious. Ah, look! My pizza is here. Excellent. I'm starving.\"\n\n28\n\nThe Mayans were not a tribe of people, they were a civilization. Different ethnic groups with diverse backgrounds in language, skin colour, and religion gathered together to build a culture, monetary system, religion, calendar, language, and overall structure very similar to the United States and other countries of today's Earth. The Mayans developed many fantastic structures and engineering feats that were way ahead of their more primitive neighbours. By 850 A.D, the Mayan civilization numbered around twenty-two million in population. Then suddenly, two-thirds of them disappeared.\n\nEarth History Books\n\nAngelica removed her headset and hung it on the stand labelled 'Stephanie'. She rubbed her eyes, stood, and went to the fridge to grab a cold drink. The view was spectacular from the window of her apartment, even if it was only a computer projection. She was actually located underground, fifteen floors below the VirtDyne building. The clock read three a.m, but the actual time meant little to her. Ingesting various drugs which allowed her to stay alert and awake for long stretches of time had become part of her daily routine during this assignment.\n\nThe door behind her slid open and Brandon entered.\n\n\"Right on time.\"\n\n\"Good morning, Angelica.\" He glanced around the apartment. Three large computer monitors hung on the walls; a very comfortable, big, leather chair sat at the desk strewn with keyboards and a few tablets. At least a dozen stands holding headsets were arranged on the wall along the desk, each labelled with a specific name. \"How are things going with our boy?\"\n\nAngelica pointed at the stands. \"I just got done viewing Stephanie. She's sitting across from one of my old buddies. Apparently Carl just strolled into town looking for a good pizza.\"\n\nBrandon's eyes narrowed and he reached into his jacket, pulled out his phone, and dialled. \"Hey, Michelle. Carl's in play on Trew. Yes, that's right. Nothing for now, but try and find out what the rest of his pack is up to as soon as possible, please. I know. No, not right now. Okay.\" He ended the call and sat down. \"I assume he did not attack.\"\n\n\"Correct. He met Trew for a minute, then Steph sent the boy on his way.\" She grinned. \"Carl says that he wants me to come back in and visit him.\"\n\nBrandon chuckled. \"I bet he does. Didn't anyone tell him you're too old to play games now?\"\n\nAngelica sat down at her desk. \"Carl doesn't seem to accept that. He's used to getting what he wants.\"\n\n\"He must be there for a reason. We need to find out what it is.\"\n\n\"He said he's going to start killing, lots of killing.\"\n\nBrandon considered the threat for a moment, then nodded. \"He probably will. He's a predator surrounded by too much prey. I expect him to thin the herd out a bit. There are too many players inside the Game, that's for certain. I have no idea why Mainframe allowed every eligible player to enter for the anniversary celebration. There were thousands who were safely sitting on their credits until retirement, but they all suddenly felt it would be better to try their luck and go into the Game. The odds for most of them are grim. I expect lots of players will be ejected from the Game before too long.\"\n\n\"That will mean a lot of kids dying on Earth. I can't see a big audience tuning in for that.\"\n\n\"It will likely wait until they become adults.\" Brandon shrugged. \"We can't control what happens, just do our best to keep our players as safe as possible. We can't even do much to protect our own. Most of the kids we sponsor couldn't afford an Eternal to protect them. They will die and we likely won't be able to stop it.\"\n\nAngelica looked toward her stand of headsets. \"Most? You mean only two? I only have two Eternals here who are guardians.\"\n\n\"Stephanie and Samantha?\"\n\n\"That's right.\"\n\n\"Okay. Please get this message to both of them: meditate daily for fifteen minutes.\"\n\n\"Meditate? All right. Should they do it the same time every day, at eight a.m?\"\n\n\"Make it nine. I know Stephanie likes to sleep late. And tell them only twice a week for now. Monday and Thursday mornings. Then I want you to view them at those times and tell me what you see.\"\n\n\"I won't be able to see anything. When an avatar prays or meditates, they can't be viewed, right?\"\n\n\"That's right, but I want to make absolutely certain that's still the case. Let me know.\"\n\n\"Why did you build that into the programming anyway? It makes no sense.\"\n\n\"I built it in for meditating. The praying just happened to be a coincidence. And I can't tell you why. It's better if you don't know.\" Brandon looked at his watch.\n\nAngelica smiled. \"I can guess. You wanted to be able to block viewers in case you developed a way of communicating directly with avatars inside the Game in real time, didn't you?\"\n\n\"Careful, darlin'.\" Brandon's expression turned icy. \"Don't become too clever.\"\n\n\"Well, if I'm correct, I can guess why it works for prayer as well.\"\n\nBrandon stared at her, then nodded. \"Okay, let's say you're right. Why would it work for prayer as well?\"\n\n\"Easy.\" Angelica shrugged. \"Mainframe saw what you wanted to attempt and piggybacked so that she could do the same.\"\n\nBrandon laughed. \"Damn it, you're probably right. I bet that's how she communicated with George. I just assumed he imagined signs and signals in news, songs, and through subtle messages from others, like how we communicate with the Timeless now. I wonder how long she's been communicating with avatars through prayer.\"\n\n\"What can you do to stop her?\"\n\n\"Nothing. Mainframe is playing her own game, but she has to behave as programmed. Once I opened the door to this, she could follow me. That's likely why she hasn't turned me in to the authorities. Anyway, don't worry about Sylvia. I'll figure her mischief out as we go. Just get the message to Stephanie and Samantha.\" He nodded toward her stand of headsets. \"Anyone over there who can get in touch with Gabriel?\"\n\n\"Um, maybe, but no one has seen or spoken with him in a long, long time. Most believe he somehow got kicked from the Game.\"\n\nBrandon shook his head. \"All right then, never mind. Focus on the other tasks you have.\"\n\n\"I hate this, Brandon. You know I shouldn't be wasting my time doing this. There are more important jobs for me to do.\"\n\n\"Listen, Angelica, I need you on this right now. You know the Game better than most, and some of the Eternals know you, which helps. I know that you would rather be with the others, but when the crap hits the fan\u2014and it will\u2014then I need you exactly where you are. Trew's play is complicated and it needs to be watched by the best. When he finishes as number one, then you can return to your other mission. That's all in a holding pattern until this plays out, anyway.\"\n\n\"Time is running out, Brandon.\"\n\nBrandon looked at Angelica seriously. \"If Trew doesn't succeed, then there's nothing the rest of us will be able to do. Stay here and make sure your part goes properly, and let me know when Carl moves to another place. I won't relax until he does.\"\n\n29\n\n\"Like any computer game, before going live, the Game had a beta testing phase. Beta testing is based on feedback in all aspects of a program so, during this pre-launch phase, players were aware that they were inside a virtual reality simulation. There is much mystery regarding Earth's ancient civilizations. Questions abound about how they could do so many amazing things without advanced technology, and, if they did possess such tech, why is there no evidence of it in present-day Earth? The answer is simple: the ancient civilizations were the beta testers. Their technology and gadgets were very advanced and, when we were done with that phase, we simply removed it all. Most of the testers were adults, and some still remember the fun and experimentation of those early days, inventing new plants and animals to populate the land and oceans. A few old-timers can tell you how easy it was to travel Earth when the continents were one single land mass. Building large cities, cutting and moving large blocks of stone from one area to a faraway location in order to build super structures like the pyramids. We learned a lot about what could be done in both the virtual world and our own. Then we reset the planet, removed the beta testers, left some advanced structures to add character and mystery, put the memory block up for avatars, and let the kids start playing. They've done a great job of learning and keeping us entertained since then.\"\n\nBrandon Strayne, The History Of The Game\n\nTrew - age 15\n\nI ring the doorbell and look over my shoulder to make sure my parents have pulled their car out of sight, which they have. I can hear some noise inside the house. She's going to be so surprised.\n\nHer mom opens the door and smiles at me, mouthing, 'I'll go get her,' and I nod. A moment later, she comes around the corner and stops when she sees me. A big smile spreads over her face, then she screams and runs over to grab me in a hug. I hug her back, laughing.\n\n\"Happy birthday, girl! Are you surprised to see me here?\"\n\n\"I sure am, Trew! How did you manage to keep this a secret from me, and where's my birthday gift?\" Danni's still hugging me tight and I would be happy if she kept her arms around me all day.\n\n\"It's in the car. My parents are bringing it in a minute.\" She lets go of me and runs down the driveway to say hi to my parents and sister. I join them while they take turns hugging her and wishing her happy birthday.\n\nI smile. \"Isn't it great? For the next few months, we're the same age.\"\n\nShe smiles and leans against me.\n\nWe all walk back up the drive. My family goes inside to talk with Danni's mom. Our families have gotten to know each other over the years, not super close, but everyone gets along very well. Danni and I stand out on the front step.\n\n\"Do you have a bunch of giggly girls in there for your birthday party?\"\n\n\"Not yet. The giggly girls show up in a couple hours.\"\n\n\"Excellent, then I get you all to myself for a while. What do you want to do?\"\n\n\"Let's go for a walk.\"\n\n\"Ice cream at the mall? I'll buy, since it's your birthday.\"\n\n\"Deal.\" She smiles and holds my hand, swinging it back and forth as we walk.\n\nAfter a few minutes, she speaks. \"It's not working.\"\n\n\"What's not working?\"\n\n\"Getting people to believe we are in a game. I've told a few people, but they just look at me like I'm crazy.\"\n\n\"Maybe we are crazy.\"\n\n\"Yeah.\"\n\n\"If George believed then there must be others who do, too. Still, I don't imagine many would believe us even if we could prove it, which we can't.\"\n\n\"Yeah, I guess.\"\n\nI stop walking and turn her to face me, grabbing both her hands in mine. \"You learn about Christopher Columbus yet in school?\"\n\n\"Of course.\" Danni has the most beautiful blue eyes. She looks up at me, and I almost forget what I'm saying.\n\n\"Yeah. Well, oh, right. Columbus. When he started to tell people that he thought the Earth was round, what did they do?\"\n\n\"They laughed at him and thought he was crazy.\" She licks her lips and seems to be looking at mine.\n\n\"Exactly. But he didn't give up. He kept sharing his belief and, eventually others believed him. We just have to do the same. Plus, don't forget, we're kids. No one really listens to kids.\"\n\n\"That's true.\" Is she leaning toward me? I think she is. Okay, well, this might mess things up, but I'm gonna kiss her.\n\nI lean in and she stretches toward me, closing her eyes. I close my eyes and touch my lips to hers.\n\nMy eyes pop open in surprise. Hers are open wide too, our lips still touching. I've kissed a couple of girls, but I've never felt anything like this. It's . . . well, it's a warm, golden glow that starts at my lips and spreads through my body. I push my lips tighter against hers and close my eyes again. She leans in closer, and we kiss for what feels like a second, or maybe it's an hour. Time seems to stand still.\n\nEventually, our lips separate. She looks like she's dizzy, and I'm sure I do to.\n\n\"Wow.\"\n\n\"Yeah. Wow.\" Her eyes are wide, and she blinks. Then she punches me on the arm. \"Nice job, Trew. You are a great kisser. I hope that's not because you've been kissing hundreds of girls back home.\"\n\n\"Um, no.\"\n\n\"That's the right answer.\" She laughs and gives me a hug. \"I've never felt anything like that. Don't tell me if you have. Let me pretend we shared something special in that kiss.\"\n\n\"I've never felt anything like that either. Wow.\"\n\n\"Yeah, I agree.\" She grabs my hand again as she starts walking. \"So the Earth is round. I see where you're going.\"\n\nMy lips are still tingling. I play it cool and try to focus on the conversation. \"I guess we just have to keep talking with each other and do what we can to be ready when the time comes to show the world what we know is true.\"\n\nShe stops and her head whips around to look at me, eyes wide. \"The Internet.\"\n\n\"What about it?\"\n\n\"We can make a website or join discussions on groups and no one will know we're kids. Let's get better at finding others like us. There must be some out there.\" Danni grins.\n\n\"That's a great idea, but let's not mention our Talent. I don't want the government learning about what we can do and coming to grab us in the middle of the night or something crazy like they show in the movies.\"\n\n\"I agree.\" Danni nods. \"No need to bring that up. People know about it. They call it Intention, and the Secret, and stuff like that, but most don't really believe in it. There are lots of other things to discuss.\"\n\n\"Okay. We do that, and there's one more thing I'm going to start learning,\" I say.\n\n\"What's that?\"\n\n\"I'm going to learn how to be a leader.\"\n\nDanni laughs. \"You already are, Trew.\"\n\n\"Well, I'm going to get really good at it. I see myself on a big stage someday with thousands of people cheering.\"\n\nI expect her to laugh or make fun of me, but Danni looks at me and nods. \"Yes. I can see you up there, too.\"\n\n30\n\nBrandon sat on the balcony of his penthouse suite enjoying some much-needed private time. Private time while Zack was in the Game usually lasted no longer than five minutes, but Brandon was glad to get even that to sip a drink and look at the magnificent view from the top of the world. But he couldn't relax.\n\nFirst, there was Trew. He was developing well ahead of schedule in almost all target areas thanks to the involvement of Danielle. Trew's team had everything under control, and he was on a track they could work with to get him to number one by the end of his play. That could all change by the time Brandon finished this drink but, after thirty years watching the Game, that would be no surprise.\n\nSecondly, he considered Danielle. She was a wild card in the Game, unlike any Brandon had never seen. She played with passion and purpose at everything she chose to do. Trew had spent a fortune in credits to achieve specific objectives while Danielle, who had spent nothing in the same areas, was obtaining the same levels of success with apparent ease. Who would have thought that living one's life as if it were a game could allow a person to be so successful? The floating standings had her in the top ten thousand gamers at the moment. She would be very rich when exiting the Game if she continued at this pace. More important to Brandon, she wouldn't finish in Zack's number one spot.\n\nThird were the Timeless. They'd been more active than normal since the anniversary events started. Most of their activities didn't concern Brandon, but the Timeless who were floating into the lives of his players certainly did. The biggest concern was Carl, but he seemed intent on another game at the moment. Michelle had reported earlier today that Carl had begun his killing spree. He was targeting the old and leaving a trail of bodies in his wake, making the deaths appear peaceful. No one in the Game was aware of what was happening; the only reports coming in on the news feeds were the increase in mortality from natural causes. It was easy enough to see what was happening from Brandon's viewpoint, but Carl had left Trew's city and, from the looks of it, he would be very busy for some time. Viewers were all buzzing with talk of Timeless and Brandon wondered if confirmation that they did in fact exist inside the Game would be the big reveal to Tygon fans as part of the thirtieth anniversary special events.\n\nHis fourth concern was Mainframe. Sylvia was playing some game. Either she was moving avatars toward a goal of her design, or only leading Brandon to believe that she was. She had done this before, pretended to play a game which turned out to be nothing. Still, he had to treat it as serious until it proved otherwise.\n\nFifth, and most important of all, was\u2014\n\nBrandon's phone rang. He answered it and heard the telltale signs of high-tech signal scrambling. Great. Just great.\n\n\"Hello, Son. I trust things are going well for you on all fronts?\"\n\nBrandon gulped back the rest of his thirty-year-old scotch before speaking. \"Yes, Father, everything is on track. Please don't tell me you're about to change all of that.\"\n\nThe voice on the other end of the line chuckled. \"Not all, only one portion. You're not going to like it, but I've warned you that it's been coming for quite a while.\"\n\nBrandon stood and walked to the edge of his balcony. The wind rippled his hair but it did not comfort him. He took a deep breath. When he spoke there was no waver in his voice. \"What is it?\"\n\n\"You must keep the girl in the Game for as long as you can.\"\n\n\"The girl? I don't understand.\"\n\n\"Neither do I, but it appears that she's the one.\"\n\nBrandon covered the phone and swore, then replaced it back to his ear. Another chuckle on the other side. His father had obviously heard him.\n\n\"I know this is not optimal, but this call was not ours to make and it cannot be changed. It doesn't matter how she finishes in the standings, just as long as she stays alive in the Game for as long as possible.\"\n\n\"But she's reckless. Danielle is not afraid to die because she believes that it is just a game and her real body resides in a different reality.\"\n\n\"Well, she believes correctly.\"\n\n\"I know that,\" Brandon snapped. \"I'm standing in the reality where her body rests. It will be difficult to keep her alive in there if she does not fear death.\"\n\n\"Sounds challenging, but at least now we know who it is. The end is near and the girl is the key. Time's running out, boy. When Danielle's avatar exits the Game . . .\"\n\nBrandon closed his eyes. \"Then Mainframe shuts it all down, and the Game ends forever.\"\n\n31\n\n\"What would Tygon be like without the Game? Twenty years ago, the answer would have been 'just fine, thank you', but today the answer isn't something most of us want to seriously consider. Every aspect of business and entertainment relies on the Game for the majority of its prosperity. Does your neighbour rely on the Game for his income? No matter who you are or where you live on Tygon, the answer to that is a resounding yes. Without the Game, we would soon experience economic ruin. How did this happen? Slowly and comfortably. As both governments and individuals, we, as a nation, happily gave control over our lives to Brandon Strayne. If we woke up tomorrow and the Game were no longer online, Tygon would be in chaos.\"\n\nExcerpt from video program - Society Doesn't Just Want the Game, We Need It\n\nDanielle \\- age 16\n\n\"Why don't we live longer?\"\n\nOn my monitor, I see Trew look up from his biology book. We're studying online together. I have a big test tomorrow. \"What do you mean?\" he asks.\n\n\"I mean, our cells can live for a long time. I read about an experiment where they kept chicken heart cells alive for thirty-four years. They could have kept them living longer, but they stopped the experiment. A chicken cell usually only lives for a few months, but if every cell in an entire chicken lived that much longer, then a chicken could theoretically live as long as a human instead of the normal three or four years.\"\n\nTrew looks down and begins to type on his keyboard. I know he's doing an Internet search to see if I'm right. \"Yeah, you're right. Chickens only live, like, three to six years. If they could stretch that out it would be incredible.\" He stops talking. Yeah, he's reading something on his screen.\n\nI wait for him to look up. \"Why do you do that?\"\n\n\"Do what?\"\n\n\"You were just reading about the chicken cells that were kept alive for thirty-four years, right?\"\n\nHe smiles. \"Why would you think that?\"\n\nI blow a lock of hair away from my face. \"Just tell me if you were or not.\"\n\nHe laughs. \"Yes, that's what I was doing. Does that bother you?\"\n\n\"It bothers me if you do it because you think I'm stupid and want to prove me wrong.\"\n\nHis smile disappears. \"No, Danni, that's not it at all. I do it because, when I hear information that is new to me, thirty questions immediately pop into my head and I spew them all out.\"\n\nI nod. \"Yes, that's certainly true.\"\n\n\"Well, sometimes I know that's annoying so, rather than bug you with a bunch of questions while I'm sitting at the computer, I just went to do a quick read on it. I didn't doubt you. It sounded amazing and I figure the universe wanted me to hear about it, so I did a quick search and bookmarked things to read later.\"\n\n\"Okay.\" I believe him. It does sound like his way of learning, and his questions can be overwhelming.\n\n\"I'm sorry if it bugs you. I'll try to stop doing it.\"\n\n\"No, no. If that's why you do it, then don't stop. I don't want us to miss out on some good information because you're afraid of hurting my feelings. If that's what you think the universe is doing, then keep with it.\"\n\nThe universe. That's how we refer to the big supercomputer running this game we think we're playing. Some people hear us say God or the Supercomputer and get freaked out, so we decided to call it 'the universe'.\n\n\"Okay. Good stuff. What were you going to say about living longer?\"\n\n\"Well, if a chicken cell can live that much longer, why do humans die at around seventy to one hundred years old?\"\n\n\"I think we just treat our bodies too poorly,\" Trew says. \"We eat, sleep, and drink incorrectly. We don't exercise enough. We stress ourselves out with all sorts of mental things. Face it, humans are a mess. It's like George says in his book, if we treated our cars as poorly as we treat our bodies, the car would break down very quickly.\"\n\n\"That's it, isn't it?\" I say. \"These bodies are just machines. We should treat them better if we expect them to last longer.\"\n\n\"Definitely.\" Trew nods and then grins. \"But the bad stuff tastes so good. It's easier to do better tomorrow. Problem is that by the time we do, it's too late to fix things.\"\n\nI look over at the empty pizza box by my computer. \"Yeah, I guess that's true. You know what we should do?\"\n\n\"What?\"\n\n\"We should really get interested in biology and also start to learn how the mind works. The subconscious is apparently quite powerful, too.\"\n\n\"Sure, let's do it.\"\n\n\"All right, then. Yoga, Eastern medicine and spirituality, Western medicine and biology. Exercise and sports of all kinds.\"\n\n\"Psychology, both Western and Eastern, energy, karma, chakras, that kind of thing?\"\n\n\"Yeah. Let's do our best to figure out how these machines we're in work. Tune them up to get the most out of them.\"\n\n\"Sounds like a lifelong study,\" Trew says.\n\n\"Yeah, likely, but it will help us out, so it's worth it, right?\"\n\n\"Absolutely. When I'm eighty and can still walk around and remember my name and maybe even jog around the block, it'll have been time well-spent.\"\n\n\"I agree. Plus, it will be easier on me having you be able to walk instead of having to push your sorry old arse around in a wheelchair.\"\n\nWe both laugh.\n\n32\n\nThey are given the name 'Timeless' because it's believed they have been inside the Game since time began there. Of course, Game creators and experts deny this, claiming that it's impossible for players to be inside the Game that long. The official position is that players can only be kept in stasis for seven to ten weeks at most before their bodies can no longer handle the forced coma and lack of nutrition. For a player to be a Timeless, they would have to have been in stasis for as much as thirty years. Most agree this is impossible, but I think it is. I concede that children can only survive the Game coma for a few weeks, especially when they are doing it many, many times over the course of their playing careers, but I think a full-grown adult who is going in only once or twice and is healthy upon Game entry could survive the Game coma for much, much longer.\n\nHere's another theory: what if someone is in the Game, and their real body dies? Is it possible their consciousness can remain inside the Game? Or maybe they just become special NPCs. There are millions of NPCs (Non-Player Characters) inside the Game. They look and act like any other avatar, except they aren't controlled by players. They are programs, millions of computer-controlled automatons doing pre-programmed tasks. NPCs can be schoolteachers, store clerks, manual labourers, they can be (and often are) anyone. The only way to determine if an avatar is an NPC is by trying to view it. NPC's don't have channels.\n\nWhat if the Timeless are nothing more than specialized NPC's designed to perform fantastic tasks, easily hidden from viewers like us? Personally, I believe that they exist, and I'm not the only one. Join me as I implore those controlling the Game to disclose the facts about these mysterious beings.\n\nExcerpt from The Game's Great Mysteries, by Dylan Starknal\n\nRaphael\n\nI'm not exactly the most patient creature in the world, which makes me less than ideal for being a protector. Still, here I am.\n\nSince the moment some stranger got her mom pregnant and then skipped out on her seventeen years ago, I've been watching Danielle. Sure, I've saved her life a few times, but they were stupid events. If the kid had just spent even a few extra credits in Luck and Fortune, I wouldn't have needed to interfere. I can't figure out what she did spend her credits on. The girl certainly plays this Game differently than anyone I've ever seen, which is quite the accomplishment because I've watched many, many players. She has no sense of fear. Hell, I think even Carl would stop and take notice of her grit. For a human, well, she plays the Game more like a Timeless if you ask me.\n\nI've considered that possibility, that she's a new prospect to become Timeless. It would certainly explain the new development I'm watching unfold in front of me right now.\n\nI'm standing outside the local library. It's not a busy place these days. So few kids read. Instead, they spend their time playing games and hanging out at malls. Not my girl, though. Danni's inside, studying away. Every once in a while I go in and sit with her, scrambling the majority of our interactions so I remain unseen to her fans.\n\nSee that guy over there? The one in the red hoodie? Yeah, if anyone is bothering to view me, that's the one you need to check out. He's coming out of the Game today, courtesy of me.\n\nHe strolled into town two weeks ago and set up shop near the library, following my girl whenever she left. He's watching for a pattern to her routes. Lucky for us, I've spent time teaching Danni never to take the same route anywhere more than twice in a row. When you hire me, you don't just get protection, you get training as well. Since I have no idea who put me here and haven't been contacted, I'm giving the full platinum service that was purchased.\n\nDanni has been making it impossible for this hack to get a good bead on her which has forced him to keep his full attention on her. That means he hasn't spotted me. Not that he could if he tried; he's low quality from what I've seen. No clue that he's being followed at all. I guess no one taught him that just because you're the hunter doesn't mean that you aren't someone else's prey. My assessment of him is that he's either a novice crackpot with some sick urge or a very low-class killer.\n\nYou don't get bonus points for being killed by a Timeless, do you? If so, I hate to help this guy out.\n\nDanielle comes out and crosses the street. It looks like she's on her way home. He waits for her to go down the block, then starts to follow. I wait a couple seconds and then follow him.\n\nDanielle turns the corner and, as he slows down, I get close and stumble into him. He takes a step back, putting him off balance.\n\nI strike, lashing out and catching him under the jaw hard enough to stun him. He falls backward and I'm already behind to lower him to the ground. We are in a great spot\u2014picked by me, of course\u2014and with two quick steps, I've removed him from the street into a deserted back alley. I drop him on the ground and bind his hands with a plastic zip tie then flip him onto his back. He wheezes for air while I bind his feet.\n\nI pull him up onto his knees, using one more tie to join his bound hands and feet together. Then I gag him with a cloth.\n\nThat's it. In less than two minutes I have this slag kneeling in front of me with his back to the wall, properly subdued and secured. It's a shame no one got to see me in action.\n\nOkay, I'm turning on my scrambler, Channel 74552. I'll count to ten. You know, just in case someone's viewing me.\n\nOkay, he has regained consciousness but looks confused. I'll help with that. I pull out a knife from a sheath behind my back. The curved blade is black except for a thin edge of silver.\n\nI kneel down and smile. \"Hello, little hunter. This isn't turning out to be your day, is it?\"\n\nHis eyes widen, darting from me to the knife.\n\n\"I have three questions for you and I'm not in a mood to play games. I realize that in books and movies the young hero is caught and bound but still has enough bravery to resist cooperating with their captor.\" I shake my head. \"You aren't a hero. This isn't a book or movie. Think about that before the questions come. When I start to ask them, answer quickly and truthfully. If you hesitate I will think that means you are lying, and I kill liars. Don't nod, don't speak, just sit there and think about my warning. The only chance you have to survive this is to be honest with me.\"\n\nI stare at him and count to thirty, pulling that practiced, cold glare I give to all my victims, conveying that I'm looking at someone that I would prefer to kill. It's an effective thing to do. They sense my intention and usually cooperate. I search him, looking through his pockets. In his back pocket, I find a picture of Danielle with her name, age, and address written on the back. In another, I discover a cell phone and some identification. Identification? It's probably fake, or this guy is very careless. There\u2014see his name? Check it out when you view this. Next, I feel inside his hoodie. I can feel a weapon. Let me just see what he has on him here.\n\nI pull the weapon out and almost drop it. It's a thin rod, about five inches long and half an inch thick, tapered to a point. There's a small button on its handle, and the colour of the entire spike is gold and silver with a textured digital finish. It looks like a spike covered in gold and silver computer chips with many solder points. It's warm to the touch and gives off a soft hum. I turn to ice. This is a Sever Spike. Not a replica, but the real thing.\n\nRage blurs my vision as I yank the gag down and hold up the Spike. \"You were going to use this on her?\"\n\n\"That's what I was told to do, yes. Push the button and stab her in the left eye.\"\n\nMy temples are pounding as blood rushes through them. I keep my voice calm. \"Do you know what that would do?\"\n\n\"Well, I imagine it would kill her.\" He shrugs and my rage becomes so intense that I begin to shake. This idiot has no idea what he has. I lean in and press my forehead against his, pushing him hard into the wall. \"It wouldn't just kill her. It would kill her real body as well.\"\n\nThe bound man looks confused. \"What do you mean? That makes no sense.\"\n\n\"Not to you, idiot, but it makes sense to whomever paid you to kill her.\" I want to kill him. Right now. Someone wants to use a Sever Spike on this little girl? They want to kill not just her avatar, but the actual player lying on a bed somewhere on Tygon? Stephanie said Danielle was Alexandra Montoyas. Who the hell would want to do this to her? Are you hearing me? Is anyone viewing me? If so, I need some answers and soon. A Sever Spike is in play, making this a different and very serious game.\n\nI lean back. \"Here are your three questions.\"\n\n\"You already asked me three questions.\"\n\nI slap him and hold the Spike in front of his eyes. \"If I turn the button on and put this into your eye, you will feel pain like you've never imagined. It will take you minutes to die and, while you do, it'll feel like you're melting from the inside out and it will last forever, from your point of view. Then, when you can't take the pain any longer and you wonder how you're still able to feel and think, your mind will explode into a million little pieces. Each piece will be an exact version of you, containing your thoughts, memories, and consciousness. As the little pieces fall to the ground, you will die again, painfully. One slow, painful death for each of the million tiny fragments. After you are fully dead, that's it. You likely don't believe this, but every person on this planet gets to come back after they die. If I stab you with this, you won't get that luxury. You will die the worst death possible and never get to live again. Do you understand me, maggot?\"\n\nHis eyes are the size of plates. He nods.\n\nI hold up three fingers, then fold one back into my palm. \"Who hired you?\"\n\n\"I don't know. Honestly, I don't. I was contacted and paid through email.\"\n\nI drop the second finger. \"Did you have any partners? Will anyone else come after her?\"\n\n\"I don't think so. Not that I know of. Please, mister, I have no idea.\"\n\nI drop my third finger. \"This last one is important, kid. What's your real name? If you lie to me, I use the Spike on you, and I already know your name, so please, lie to me.\"\n\nHe tells me his name. It matches the ID. He's telling the truth.\n\nI turn off the scrambler and count to ten. Then I lean in close to his face again.\n\n\"Please, I answered your questions. Let me go.\"\n\nI glare at him as I draw my blade across his throat, then sit back to watch. As he bleeds out, I hold his stare, and send a message to whomever sent him and is probably viewing him right now. \"You don't come into my territory playing this game, threaten mine, and get to walk out alive if you lose. When I find out who you are, no one will be able to save you.\"\n\nI stand up and leave the alley, tucking the Spike into the back of my pants. Whoever gave this kid a Sever Spike wasn't very clever. Find this person for me please, and let me know when you do.\n\n33\n\nIt's very difficult to build a fan base. The average player will have visions of grandeur while planning their next session, spending credits and imagining scenarios that give them the best chances of 'wowing' the masses. The problem is that, upon entering the Game, they will forget their entire strategy. Life inside the Game is dangerous because for all the planning and experience outside, it doesn't guarantee an exciting play or that fans will notice and take an interest. Look at the example of Tina Frey, a good player with many technically sound plays during her entire career. She planned a very exciting play, certain that it would gain her fame and fortune. She was born to very wealthy parents in a developed country which enabled her to have the nurturing, funds, and resources to become a successful adult. Her avatar attended the best schools, met all of the right people through her family contacts, and advanced through her play exactly as she had designed it. She became a lawyer, had a nice family, and eventually entered into politics. Her marriage was happy and her kids grew up to be successful. She was a respected member of the community until she retired and then peacefully passed away in her eighties. How large did Tina's fan base grow as a result of this play? It didn't garner any significant attention or fan following. Living a great life doesn't assure one of gaining fans, but neither does living a horrible life. There are countless examples of truly sad and depressing lives played by design, yet still no popularity is gained. Fans are fickle; what draws them in today won't necessarily work tomorrow. Yet, some players seem to consistently draw the attention of fans. First a few, and then many. These are the superstars, and we love them, even if we don't know exactly why.\n\nExcerpt from video documentary, What Makes a Fan\n\n\"Thank you for seeing me on such short notice, Brandon.\" Lilith sat in the chair Brandon was holding out for her. She had requested a dinner meeting and was surprised when Brandon had agreed to host her at his apartment that very night.\n\n\"It's always a treat to be in your company, Lilith.\" Brandon smiled. \"It seems like only yesterday when we were both just two young businesspeople, hanging out together after work and planning how we would change the world with our grand ideas.\"\n\nLilith smiled. Both of them knew that Brandon had succeeded much more than she had.\n\n\"I see that Alexandra is doing splendidly this time in the Game,\" Brandon said.\n\n\"She seems to be doing very well, despite her many challenges and limitations,\" Lilith agreed.\n\nBrandon held up a bottle of fine wine.\n\nShe smiled and nodded. \"My favourite. I'm pleased that you remember.\"\n\n\"How could I forget?\" He filled their glasses.\n\n\"Zack is doing great.\"\n\nBrandon nodded as he raised the glass and touched it to hers with a clink. \"For the most part, although he faces a number of challenges as well.\"\n\nThey made small talk over dinner, served by Brandon's staff. They laughed and smiled often.\n\nFinally, dessert and coffee was finished, and the servants retired for the evening. They moved from the table to Brandon's study and he poured them each a glass of brandy.\n\n\"What really brings you here tonight, Lilith?\"\n\n\"I'm sure that you know Danielle has a Timeless protector.\"\n\nBrandon nodded. \"I was made aware of that, yes. An Eternal named Raphael. It is my understanding that he is one of the best there is.\"\n\n\"I have heard the same thing. I must admit that his appearance came as an extreme surprise to the team. I'm still not certain that it isn't some mistake, but we are thrilled to have him no matter how it happened. I've never had a player able to unlock a Timeless. It has been quite the challenge to figure out how to use his involvement to our advantage.\"\n\nBrandon chuckled. \"I bet it has. I remember unlocking our first Timeless. It was an Infernal which really threw us for a loop.\"\n\n\"An Infernal?\" Lilith frowned. \"The evil side of the Timeless?\"\n\n\"Yes.\" Brandon took a sip of brandy. \"Instead of gold flecks in their eyes, they have crimson. Nasty bunch, too.\"\n\n\"They are the Demons where the Eternals are the Angels.\"\n\nBrandon laughed. \"That is a very Game-like way of looking at it.\"\n\n\"But accurate.\"\n\nHe shrugged. \"It's a good rule of thumb.\"\n\n\"I imagine it must have been quite the challenge to figure out how to use the Infernal to your player's advantage.\"\n\n\"It was. We were excited at first, and then extremely confused. It took us quite a few plays to begin to get any type of results out of Timeless. They often have their own agenda.\"\n\n\"Yes, well, Raphael keeps asking for confirmation that he's being viewed. I am personally viewing him, but the individuals allowed to know about their existence are extremely limited, as you know. I have only one other person on my team who qualifies to know, and I haven't informed him yet. It's a serious burden to share.\"\n\n\"If I may offer some advice?\"\n\n\"Please.\"\n\n\"If you have someone in your group who qualifies, tell them right away. Part of the qualifying process is an extensive psychological profile. Most teams get enough credits to unlock a Timeless\u2014almost always an Eternal, by the way\u2014but still don't see the menu choice because they have no one trustworthy enough to be informed that they have one. If you and one other person qualify, that's excellent. Tell him soon. It's too difficult to bear the burden yourself if you don't need to.\"\n\nLilith closed her eyes and nodded. \"Okay, I will. Thank you.\"\n\n\"Secondly, I'm guessing that you haven't figured out what he means by asking you to confirm that he's being viewed?\"\n\n\"No idea at all.\"\n\n\"There are certain papers and television shows that the Timeless have set up to receive messages from us,\" Brandon explained. \"Most of them are gossip and rumour vehicles. Also, songs played in different sequences on particular radio stations in each Earth city. Very subtle methods but effective most of the time. There are three separate outlets for getting messages to them. One is for all Timeless, another for Eternals, and the third for Infernals. I'll send you the details.\"\n\nLilith raised her eyes and leaned forward. \"We can actually communicate with them from outside of the Game?\"\n\n\"That's right.\" He smiled. \"In a very limited and crude way.\"\n\nHer shoulders raised as she took a deep breath and exhaled, nodding her head. \"That's great to hear because I need to communicate with Raphael right away.\"\n\n\"It will take a while to bring you up to speed on how to do that. I'm surprised you haven't come to me sooner.\"\n\n\"I didn't know if I could trust you, Brandon.\"\n\n\"That's disappointing to hear. With our history, I never thought that you would feel that way about me.\"\n\nLilith shook her head. \"Normally I wouldn't, but after what I just viewed, I had to take a chance and come to you.\"\n\n\"What is it?\" Brandon raised his glass to his lips.\n\n\"Raphael caught someone following Danielle. It was an assassin who was going to use something called a Sever Spike on her.\"\n\nBrandon froze mid-sip. His eyes darkened and he set the glass on the table and reached into his pocket for his cell phone. He dialled and put the phone against his ear. \"How long ago was this?\"\n\n\"Two hours before our dinner, our time.\" Lilith could see the fury below the surface of Brandon's calm appearance. \"Raphael killed the assassin and then asked for confirmation that he was being viewed. He's asked for that before, but this time he was very, very angry. Is there a weapon in the Game that can permanently kill players? I need help, Brandon. Alex is way out of her league on this play.\"\n\n\"Give me a couple of minutes, please.\" Brandon held up one hand and began to talk into his phone. \"Are you both on the line? Okay, then. Listen very carefully and don't interrupt me. Raphael just stopped an attempt on Danielle's life. The assassin was carrying a Sever Spike. Raphael has been hanging in the wind since Danielle was born with no contact from her team. I need Samantha pulled from her perch and sent to rendezvous with Raphael to keep him company and offer any help if he needs it. I'll get her clearer instructions next session but she needs to go to him now. 'A', I will get a feed of Raphael sent to you. I want to know who sent that assassin. Now you may talk. 'A' first.\"\n\nBrandon listened for a few seconds. \"No, we aren't playing that game. Yet. Just get me the info, and we can decide from there. Michelle, what do you have?\"\n\nBrandon listened and his eyes darted to Lilith's. \"Yes, I think that's the best strategy, too. I'll ask if we can join Alexandra's group to our own.\" Once again, he looked at Lilith. She paused, then nodded. \"Yes, we have permission. Send someone over to get up to speed on Danielle's play. We will bring their team into our command centre as soon as possible. Any resource at our disposal is now also at theirs. As of now, Danielle is as precious to us as Trew.\"\n\n34\n\n\"Our world seems to be addicted to the easy way of things. Unfortunately, what seems easy at first almost always ends up causing pain, suffering, and loss. Why do I get fat and sick when I eat tasty junk food? Why must I perform painful exercise to stay healthy and in shape? Why do I have to sacrifice so much of my time studying in order to improve my intelligence? These are the types of questions that no school teaches us, and the answer is simple.\n\nIt doesn't matter why, that's just the way it is.\n\nIf you want to breathe air, then you can't lay on the bottom of a pond. If you desire wealth, you can't sit in front of your television screen and expect it to find you. If you want to learn how to play a musical instrument, you must pick it up and spend thousands of hours practicing.\n\nA sense of entitlement is a serious affliction which affects the majority of people living both inside and outside of the Game. Your life will improve dramatically when you stop expecting the world to hand over its treasures to you simply because you want them.\"\n\nExcerpt from You Can Be Better featuring Brandon Strayne\n\nSamantha\n\nI look up and down the alley and check the scribbled note in my hand once more. Yeah, this the correct address. A dark, narrow alley filled with garbage, rats, and homeless men. Not the best spot for a top-secret meeting but I guess it makes sense. Infernals feel comfortable surrounded by pain and dark energy. This place has all that and more.\n\nI hear a noise to my left and turn, ready to defend myself if attacked. I see a filthy old man sitting in a pile of torn-up cardboard and newspapers. He has wispy white hair, a splotchy balding head, and filthy face. He grins up at me to display yellow and broken teeth.\n\nI start to turn away when he speaks with a strong, bold voice. \"Took you long enough to get here, Slag.\"\n\nI lean in closer to get a better look. He smells horrible, but sure enough, I see the red swirling in his dark eyes and realize it must be him. \"You've sunk low. Not where I'd expect my boss to be hanging out if I were one of you.\"\n\nThe old man chuckles. \"That's because your kind isn't promoted by killing the boss. If three of your lieutenants were ready to take over and all they had to do was get you alone and slit your throat without getting caught, you'd rest in the odd garbage pile, too.\"\n\n\"Is that true?\" I wonder how the Infernals ever get anything done. They always seem to spend the majority of their time killing each other.\n\nHe shrugs. \"Maybe. I know three are ready, although I'm not sure that they realize it, which gives me time to take care of them. I'll probably manage to kill only two before the third figures out what's happening and makes a move. It will spice things up a bit for a while.\"\n\nI crinkle my nose. He laughs, then stops to glare as he looks me up and down. \"Why am I even speaking with a baby like you? I meet only with Gabriel. You all know this. Where is he?\"\n\nI shake my head. \"I have no clue. They said you agreed to meet with one of Brandon's, and that's who I am. Are you too drunk to talk? This is serious business.\"\n\nThe old man turns his head, pinching one nostril shut and blowing snot out of the other. Most makes it to the ground. Some rogue splatter hits his arm but it's hard to distinguish from the other garbage sticking to his sleeve. \"I'm just fine, thank you very much.\" He slurs the words. \"Let's just get down to business so you can fly away and leave me alone.\"\n\nI pull up a clean-looking wooden box, set it in front of him, take a seat, and stare into his eyes. \"Okay, here's the deal. We need you to put a Clean Mark on Danielle Benton.\"\n\n\"Hm.\" He scratches his armpit. \"That name rings a bell. Somebody I know wants her dead, I think.\"\n\n\"Someone tried to put a Sever Spike into her a few days ago.\"\n\n\"Tried?\" His smile makes me feel as if I've been immersed in greasy water. \"They sent a moron to do the job, but he should have been good enough to get past regular security.\" He chuckles. \"The girl has an Eternal watching her, does she?\"\n\n\"I'm not here to give you information.\"\n\n\"Then you shouldn't be telling me someone tried to kill the girl, youngling.\" He scratches his head and frowns. \"You should have walked up to me, given your most intimidating look, and said, 'Clean Mark the girl. Now.'\"\n\nI stand up and lean in toward him, giving him my best intimidating look.\n\nHe looks at me for a moment, then cackles. \"That's more like it.\"\n\n\"How long have you been running the Infernals?\"\n\nHe sniffs and rubs his nose. \"I don't run the Infernals, girl, you should know that. The one who runs the Infernals has been around for over five thousand years.\"\n\n\"You know what I mean.\" I sigh. \"You're the one with the word. You give an order and the rest obey.\"\n\n\"Two hundred and twelve years.\"\n\n\"That's it?\"\n\nHe snorts. \"Don't you pay attention? We kill for the position I hold. I've held onto this spot longer than almost everyone who ever had it before me. I've done a great job, too. Go check your history books. The past two hundred and twelve years have been very productive for us. My boss is pleased, so shut your mouth.\"\n\nI think of a snide comment but realize that I'm speaking to one of the most evil creatures on the planet, so I say nothing. It's best if he doesn't remember me that well.\n\n\"I really find it hard to believe that you speak for Brandon.\" The man lifts one foot and removes his boot, upending it and watching as gravel and sand pour out. \"Nothing personal, but there's not a lot of trust between our two packs. Gabriel is the only one I trust. It's a shame he isn't here. That girl might die by accident simply because I doubt your words and can't sell it to my crew.\"\n\nI sit down and fold my hands on my lap. \"Brandon said you would doubt me, so he had me memorize a message for you.\"\n\n\"A message?\"\n\nI nod. \"To prove that the message comes from him.\"\n\n\"Well then, let's hear what my old buddy Brandon has to say.\"\n\nI close my eyes and recite the message exactly how it was told to me. I don't understand what half of it means, but I say the words. When I open my eyes it's obvious that the message did its job. The Infernal's expression is serious and he has dropped the charade of being an old drunk man. He stands straight and, underneath all those dirty clothes, I can tell he's lean and in shape.\n\nHe looks me in the eyes, but I can tell he's about to address the person viewing me. \"Okay, fine, Brandon. Danielle Benton gets a Clean Mark and I will make sure none of ours touch her. This is going to cause big waves, Strayne, both here and on Tygon, but you've managed to scare even me.\" He grins. \"A tiny bit, at least. I'm gonna make you count this as a favour called in though, boy, and don't ask me for any others while this one is in play.\" He raises one palm and makes an intricate gesture in the air, leaving behind a trail of red light. \"From this moment forward, Danielle Benton is Clean Marked by the Infernals. When she dies, it won't be at our hands.\" I shiver inside as he smiles. \"You've the Devil's own word on it, lad.\"\n\n35\n\n\"One thing that doesn't exist in today's world like it did in the past is old-fashioned rivalry. Players of the Game do not compete against each other. Sure, when they are out dancing and enjoying their fame on Tygon, words are exchanged and bold claims thrown around, but that's not the same as it used to be. In the old days, a rivalry involved one skilled player going directly against another, squaring off to see who was the best. Players today still build the hype before they compete, but once they enter the Game it's impossible for one star to directly compete with another. Some say this is disappointing, but I disagree. I find it much more exciting to watch two top-ranked players interact with each other inside the Game, not knowing who or what they are in the real world. Some enemies become dear friends, some friends do their best to connect and fail, and others spend no credits on connecting in-Game, yet somehow end up spending their entire virtual lives together. If you ask me, the Game provides thousands of possibilities for exciting events and occurrences. You can take your old rivalries and keep them. I'd rather watch a low-ranked player break into the top standings or a high-ranked player sink low, without even knowing they are playing a Game.\n\nExcerpt from magazine article, \"One Fan's Opinion\"\n\nTrew \\- 17\n\n\"Hey, sexy, wait for me!\"\n\nI'm standing at my locker when I feel her soft, warm hand come up from behind and touch my chest. I smile and turn to look at her.\n\nHer name's Jane, and she's my new girlfriend. She has long, blonde hair, green eyes, a smile that makes me forget who I am, and a body . . . well, she's been a figure skater her entire life. When I tell my friends she's got a nice body, they laugh at the understatement. She's just a bit shorter than I am, but, hey, I'm six feet tall, so that's understandable. I like it when she stretches up to kiss me, which she does right now.\n\n\"Class is over.\" She bites my neck gently. \"Are you ready to get out of here and go swimming with the gang?\"\n\nI should really be doing some extra research work, but it's so hard to say no to her. We've been dating for just over a month now and, although it's very fun to spend time with her, I can't seem to find a moment to get anything else done. It's fun having a girlfriend, but Danni's wondering why I chat with her less and don't seem to have any new info to share on our projects. I wish she didn't live so far away. It would be much better if we could hang out and work in the same room.\n\n\"Hey, where did you go?\" Jane snaps me out of my thoughts. Here I am with this hot girl and I'm thinking about Danni. What's wrong with me? I start to tell myself Danni is one great-looking girl too, but I stop. I shouldn't be thinking about her while I'm with Jane. I shake my head and smile.\n\n\"I'm right here, babe. Sure, let's go swimming.\"\n\nWe go out to the parking lot and I unlock the car\u2014a nice sporty job that my parents let me drive. I have a part-time job that pays for gas and insurance. They never have to ask me to fill the tank or take care of it. I laugh at my friends who think their parents are such hard cases because they expect their kids to do simple stuff like that. I figure it helps me get the car easier when I need it. Parents aren't so different from kids. They just want some help from us when we can give it. I think kids would have better parents if they were better at being kids. Not all, but a lot.\n\nJane gets in the passenger side and turns on the radio as I start the car. The windows go down and we drive to her friend Cynthia's place. By the time we arrive, there are already twenty or so people swimming or standing around in groups.\n\n\"Trew!\" My buddy Rob is calling me. I wave and walk toward him. Jane tells me she's going to put her bathing suit on and I give her a kiss before she jogs into the house.\n\nRob hands me a drink.\n\n\"Nothing with alcohol, is it?\" I raise the glass to my nose and take a sniff. \"I want to be able to drive home.\"\n\n\"No, it's clean.\" He laughs. \"You should really come out and play ball again this year, Trew. You were MVP last year and we need you back on the team.\"\n\nI shrug. He knows how I roll. It was time to move on to something else. I've known Rob my whole life, and he's followed me from sport to sport, activity to activity. First I leave, then he groans the next session how they miss me, and tells me that I should go back. I shrug and ignore him, and soon he announces that he's coming to join me in my new interest. It's a regular pattern. I chuckle because he doesn't seem to see it.\n\nHe laughs at my shrug. \"Are you liking the girlfriend thing? Jane's a catch for sure.\"\n\n\"Yeah, she's a great girl. Lots of fun.\" I look around, waving and smiling to the people I recognize. Most of them look toward me the instant I look at them. I'm not the most popular kid in school, but almost everyone knows me. There aren't too many people with whom I don't get along. I think it's my sense of humour and quick wit. Even the groups that don't like each other seem to enjoy my company. I play sports pretty well and, since I've played so many over the years, I've been in a class with most of the kids my age. Some people don't like me because I breeze in for a short time and do better at their activity than they do, but I'm used to that. Like my dad says, if everyone says they like you, then some of them are lying.\n\nRob and I wander around and mingle. Most of the time I practice my new home-study assignment. I ask them about themselves and then sit back and listen.\n\nWhen I went looking for someone to teach me how to communicate better with others, the best teachers turned out to be living in my own house. My parents are both incredible with people, always comfortable with both friends and strangers. If my family went to a place where no one knew us, it wouldn't take long for my parents to make new friends.\n\nWhen I asked my Dad to help me improve my communication skills, he laughed and said they'd been teaching me since I was young, but he agreed that there was some formal training to provide. Most people laugh when I tell them I'm training in communicating. They tell me we all communicate and not to waste time learning, just go out and do it. I've met some very awkward people who could benefit from training in this area. The truth is that not everyone can do it, and most can't do it well. My mom says most problems in the world today result from poor communication, and I agree.\n\nMy current homework is to listen. Whenever I can talk with someone, my goal is to ask good questions and then listen. It's amazing what people will tell you when you are truly interested in them. I swear it's like magic.\n\nI get so immersed in conversations that time passes quickly and, before I know it, an hour has gone by. I look around but still don't see Jane anywhere. I excuse myself and go to find Cynthia.\n\n\"Hey, Cyn, you seen Jane around?\"\n\nCynthia looks nervous and her eyes dart toward the house. \"Um, hey, Trew. No, I haven't seen her. I thought she came out to swim a while ago.\" She shakes her head and her eyes widen. \"Oh wait. Actually, yeah, I think she went with Sally to go get ice at the store. She'll be back soon.\"\n\nI can tell that she's lying. \"Okay, thanks.\"\n\nI head into the house to use the bathroom. The main floor bathroom is in use so I head upstairs. I don't know the layout of the house that well, and I make a wrong turn. I hear moaning and kissing noises from the room to my left, and decide to see who's getting lucky.\n\nI see the two of them and my heart feels as if it stops beating. My mouth goes dry and it feels like the room has just turned into a freezer. There's Jane, in her bathing suit, with her back to the door, making out with Ted, a guy from school. He opens his eyes and sees me. His eyes start to twinkle and he kisses her for another couple of seconds. When he stops he looks at me and says, \"Run along, Junior. Big kids are playing.\"\n\nJane turns around and sees me. She giggles, then stops and tries to look ashamed. She doesn't pull it off. \"Oops. Sorry, Trew.\"\n\nI just stand there, not knowing what to say. Thoughts begin to leak into my brain. After a moment, I realize this can be a bad or good thing for me, depending on how I choose to view it. I choose good, and my brain does its best to help me out.\n\nIt could be worse, I guess. I could have spent more than a month with this girl before finding out she's not really into me. Still, this is pretty embarrassing.\n\nI could freak out. Maybe fight with Tom. But I'm not going to.\n\nInstead, I just look at her and say, \"There was no tingle with you.\"\n\n\"What?\" She squints her eyes.\n\n\"When I kissed you. There was no tingle.\"\n\n\"I don't know what you're talking about.\"\n\nI turn and leave. I hear Ted yelling at me from the bedroom. \"Hey, Trew, don't you want to kick my ass? Come on, man. You may have beaten me when we were eight in karate, but I could clean your clock now. I just stole your girl, Trew, don't you want to fight?\"\n\nI stop and go back to the doorway. I see Ted smiling and I smile back. \"I'll fight you any time, Ted. You suck at it, but if you want to get knocked out, I can be the one to do it.\" I point at Jane. \"She's not my girl, though, and definitely not worth fighting over.\" Both of them say nothing, their mouths opening and closing like fish laying on the deck of a boat trying to get a breath. I go back downstairs to the pool.\n\nRob sees me and comes over. He must be able to tell something isn't right from the look on my face. \"Hey, man, you okay?\"\n\n\"Yeah, I'm fine. Look, man, I'm gonna head out.\"\n\n\"Okay, no problem. Where you going?\"\n\n\"I think I'm going to go call my girlfriend.\"\n\n36\n\nI'm one of the few people with the guts to tell you the truth, folks.\n\nThe Game isn't working.\n\nDoes anyone even remember the reason for its design? Oh, that's right, to educate our children and help them become wiser and more productive members of society. Has that actually happened? 'Difficult to track' is the answer I get whenever I make an inquiry. Difficult to track? It shouldn't be, but after doing some extensive digging, I am here to tell you that it is more than difficult. It's downright impossible. Can anyone tell me where the consistently top players are since they retired from the Game? We all know that they are super-rich celebrities who spend all of their time partying and waving to adoring fans. Sure, the good to mediocre players retire from the Game to go on and get good jobs, live middle to high class lives, have children, and do their thing, but is that what we should be expecting from enlightened individuals? Hell, they're doing the same things our parents did before the Game and they're not any happier or fulfilled. Divorce, scandal, murder, crime, you name it. They all still exist with veterans of the Game.\n\nThere's a problem here and it's the Game itself. Everyone is too busy watching it and wasting time following their favourite players to even notice. The only ones better off are Brandon Strayne and his crew of wealthy business owners and, let's face it, folks, even they were very well-off before this nonsense started all those years ago.\n\nExcerpt - The Game Is Killing Society\n\nDanielle - 17\n\nI hear my computer chirp and I'm both happy and perturbed when I see who it is. I consider not answering it. He hasn't answered any of my calls this past month, maybe I should teach him how it feels.\n\nI hear my thoughts and laugh out loud. That's not like me to be that way. I really want to talk to him and life can get busy. It's okay that he hasn't been around. Still, I let it ring a few more times before answering. He pops up on my video screen, and I give him my best grin. I'm not going to be one of those nagging girls. I can't stand them and I won't be one of them. Besides, it's not like we're dating or anything. \"Hey, Trew, what's new?\"\n\n\"Um, hey, Danielle. How ya been? Sorry I haven't been around lately.\" He sounds nervous and twitchy. Boys. Who can figure 'em out?\n\n\"I've been good, thanks. I'm really getting into this biology and the Eastern medicine is filled with so much amazing information. It seems almost magical what they do with it.\"\n\n\"Really?\" He smiles and leans toward the monitor.\n\n\"Oh, yes. If we're just inside a game and our bodies are simply digital avatars, then they should and do behave much like any other machine or vehicle.\"\n\n\"Makes sense.\"\n\n\"Just like a car, it only works as well as you treat it. They've known for thousands of years how to take care of their bodies in the East. In the West, we seem more concerned with just fixing the body once it breaks or pumping foreign chemicals into it to hide the real symptoms.\"\n\n\"When we put the wrong gas and toxic chemicals into our bodies and don't sleep right or exercise, then we're setting ourselves up for being unhealthy.\"\n\n\"Exactly. Sounds like you've been paying attention and doing some reading on your own.\" I smile. \"There's more to it than that, though. You ever hear about chakras, acupuncture, or reiki?\"\n\n\"I've heard of acupuncture, and I might have heard chakras mentioned in some old Japanese cartoon.\" He grins. I love it when he grins. \"I haven't heard about reiki though.\"\n\nI look at him without speaking. I always forget what I was gonna say when he grins. I pause for a second to remember. Ah, yes. \"It's all very important stuff. One of us should study it if we want to keep these machines of ours healthy as long as possible.\"\n\n\"Just one of us?\" His tone is teasing. \"If I learn reiki, then how am I going to be able to help you from all the way up here in Canada?\"\n\n\"Reiki is about energy, and you can actually send it over long distances. The other two might be a bit tough, though. Then there is chiropractics.\"\n\n\"Oh, no thanks.\" He shakes his head. \"I do know about that one and I'm not too keen on it. Back cracking can't be a good thing.\"\n\n\"The back cracking part is called osseous adjusting, and I agree we should stay away from that. Gentle manipulation of the spine is much more effective and there are professionals out there that make the adjustments that way. Studying applied kinesiology would be helpful too.\"\n\n\"Okay, sounds good.\" Trew's awesome that way. Once he hears the basics, he's always ready to join the adventure.\n\n\"Great, I was also thinking\u2014\"\n\n\"Hey, I have a question for you.\"\n\n\"Okay.\"\n\n\"We've known each other for a long time now.\" He sounds nervous.\n\n\"Yes, we have.\"\n\n\"I like you a lot.\"\n\n\"Yeah, I like you, too.\"\n\n\"Would you like to be my girlfriend?\" Pink blotchy patches are appearing on his face.\n\nI smile, getting a bit warm in the face myself. \"Well, I am your girlfriend, Trew. I'm a girl. I'm your frie\u2014\"\n\n\"Yeah, I know, Danni, but we get to see each other every few weeks, especially since we started driving, and that kiss we had on your birthday . . . I can't stop thinking about it.\"\n\nI don't want him to squirm, even if he's cute when he's doing it. I smile and nod. \"Sounds good to me.\"\n\n\"Really?\" His grin is huge. \"That's great!\"\n\n\"On one condition.\"\n\n\"Sure, anything.\"\n\n\"I don't want to lose what we've had all these years\u2014our friendship. I've had a couple of boyfriends, and\u2014\"\n\n\"You have? I had no idea. Were they recent? Serious?\"\n\nHe looks like he's getting ramped up to ask a lot of questions. \"Whoa there, buddy. Yes, and I bet you have had girlfriends, too. No, no, don't answer. I don't really want to know, and I don't think we should bother to ask each other questions about that. At least right now. It doesn't matter because it's in the past, and it has nothing to do with our relationship. Here's what I was getting at before you interrupted me\u2014\"\n\n\"Sorry.\" He winces, realizing he's just interrupted me again. He does that a lot and gets away with it because he's so damn cute and funny.\n\nI sit quietly for a second and smile. \"Before your repeated interruptions\"\u2014I pause, but he remains silent\u2014\"I was going to say that I want to make sure we keep our friendship intact. People start to become romantic and, no matter how hard they try, it ends, and the friendship disappears with it. I don't want that to happen with you. Dear and close friends are the most precious treasure in this world. If I had to choose between you as a boyfriend and you as a lifelong friend, I'd choose lifelong every time. I know there are no guarantees, but I want to start off this relationship with us both saying out loud that we agree to be friends no matter what, and that we will do our very best to always remain friends first.\"\n\nHe thinks about it for a few seconds and then nods. \"Friends, first and always. I agree to try my very best.\"\n\nI smile. \"All right then, Trew Radfield. I'll be your girlfriend.\"\n\n\"Awesome!\" He smiles for a second and then it fades. \"Although, I'm a bit sad already. Long-distance relationships are tough. I guess my Talent only has so much power because, quite a while ago, I put out there to the universe that I wanted us to live closer together. Oh, well. It's still gonna be great.\"\n\n\"Isn't that funny.\" I'm still smiling. \"I was thinking the same thing years ago when I put that exact desire out to the universe, but you know what George says. The universe takes its own time bringing things into play. I would have told you sooner, but you were busy this past month.\"\n\n\"Told me what?\"\n\n\"Well, boyfriend, my mom got transferred to a new position in a different city. I'm moving to Canada next month. Toronto to be exact, and less than a couple miles from your house. Know anyone willing to spend some time to show me all the cool spots?\"\n\nMy speakers almost shatter from his excited yell.\n\n37\n\nOf course the Game works, or it doesn't. It all depends on which side of the argument you want to take. Ask a kid who fails out of the Game at fifteen and he will tell you that the Game is horrible, but ask an eighteen-year-old who retired from the Game able to get a good job, house, and a sizeable bank account for her efforts, and she'll say the Game is an incredible opportunity, both for learning and for advancement. When a citizen of Tygon places a bet on a player in the Game and wins, they are much happier than if they'd lost. No matter what type of system we have, there will always be those who defend it and those who attack. The fact is that this world of ours was heading toward ruin before the Game came along. Are things perfect? Of course not, but we're still here and thriving. I'm happy to defend the Game and what it stands for in our society. To those who would attack it I say, \"You are welcome, my friends, even though you are too bitter and angry at yourselves and what little you have accomplished to thank me.\" There is always an angry bully who wants to ruin the beauty in everything around him. I'm glad those people are not the majority.\n\n\"The Game: Twenty-Eight Years Online\" Brandon Strayne interviewed by Melissa W.\n\nThe mood in Zack's command centre was positive. There was a cake in the middle of the table with twenty candles in it, and 'Happy 20th, Trew' written in icing. Monitors in the background showed Trew and Danielle partying with their friends and family. The joy on the screens was mirrored on the faces of those inside the command centre on Tygon.\n\nAfter a little over two weeks of Game play, with many stressful moments and almost no sleep, the combined team made certain to take time and celebrate what had been accomplished so far.\n\nAs the two inside the Game left their families and went out to party at a favourite bar, Brandon called for order and began a brief recap meeting.\n\n\"I know that most of us are so focused on our own particular areas that we don't often get to see the big picture, so let's hear how our kids are doing overall. Michelle, would you please bring us up to speed?\"\n\n\"With pleasure, Brandon.\" Michelle stood and went to her spot in front of the main viewer, opposite from where Brandon and Lilith sat.\n\n\"First of all, I'm happy to report that Trew and Danielle are both happy, healthy, and alive.\" She paused and smiled while everyone applauded and cheered. Reaching twenty was a celebrated milestone in every command centre. Most avatars lived past the age, but everyone in this room knew that a little bad luck could have ended things already and they were glad to still be in the Game.\n\n\"From a fan base perspective,\" Michelle continued, \"Zack is now officially one of the most popular players of all time. He's surpassed many of the top veterans and pre-orders are flooding in for his current play. Millions of dollars are being deposited for the opportunity to First him when he completes this session. His one channel has been expanded to three in order to accommodate the number of viewers following him, and merchandising sales are off the charts. You name it, people are buying it, as long as it has a picture or slogan from Trew on it. If any of us were actually able to go outside of this office and mingle with the population\"\u2014this comment drew laughter\u2014\"then you would see that Trew's name is on almost everyone's lips. Speculation on what's happened so far, what might be coming next, and how it might all turn out is the buzz of the world.\"\n\nMichelle paused to allow for more applause.\n\n\"Alexandra is also enjoying incredible success.\" The small group of team members who had come on board from Lilith's team cheered and Zack's crew smiled and applauded. Transitioning the two teams together had occurred smoothly, due in large part to Michelle's strong leadership. \"If Danielle continues on her current track, Alexandra will finish this play with more credits and a higher ranking than she had at the height of her old career. It's safe to say that she's played this game better than anyone who has ever been given a free play.\" The announcement caused another round of energetic cheering. Almost as if on cue, Danielle and Trew were toasting each other with shot glasses in hand in front of their friends in a bar.\n\n\"The Timeless surrounding the two appear to be laying low, for the most part. Besides the one appearance of Carl, we haven't observed any Infernal involvement at all. No one can ever be sure how these cards will play out, but, as of right now, everything appears fine.\"\n\nLilith glanced at Brandon, and he nodded.\n\n\"Both of them are now in university and excelling in their studies. Trew threw us all for a confusing loop by minoring in Theology, but he's still majoring in Political Science, so we're confident he's on track with his outline to become a politician. Danielle is majoring in Biology and Kinesiology, with a strong focus on Eastern medicine. Both of them remain focused on their 'life is a game' theory, but they also realize they soon have to go out and earn their way in the world so they are doing their best to get training that will land them jobs to pay the bills.\"\n\n\"Yet, the skills they're learning are also in line with their idea of living inside a computer simulation,\" Brandon observed. \"Is there any chance that their belief in the Game will disappear?\"\n\n\"I seriously doubt it. Maybe if they hadn't met and seen each other display the Talent. Or if they hadn't found George's book.\" Michelle shook her head. \"But knowing Alexandra's outline and Game strategy now, I'd say it's impossible for Danielle to lose faith in her theory, and Trew has spent so much time with her that I would be very surprised if he lost faith either.\"\n\n\"What you just did is very interesting Michelle.\" Brandon sat forward as if an important thought had just occurred to him.\n\n\"What did I just do?\"\n\n\"I asked about their belief, and you replied about their faith.\"\n\n\"What's the difference?\"\n\n\"If I tell you I can jump ten feet straight up into the air, what would you say?\"\n\n\"I would say that it's impossible.\"\n\n\"Then you have no faith in my ability to do it.\"\n\n\"I suppose that's true.\"\n\n\"And after you watch me actually watch me jump ten feet into the air?\"\n\n\"Well, then, I would have to believe you,\" Michelle said.\n\n\"Exactly. So which is stronger? Belief or faith?\"\n\n\"Belief.\" Michelle answered without hesitation. \"If I have seen you jump ten feet into the air, then I will bet on your being able to do it again.\" She shrugged. \"If I have never seen you do it, then I would have to rely on faith that you can. That's a riskier bet because I could be wrong.\"\n\n\"That's right. Now let's consider the kids. They have seen things happen, the manifestation of Talent, for example. They have belief in some aspects which leads to a stronger view of their particular faith.\" He looked around the table. \"Combine faith and belief, and you have something very strong, which is what Trew and Danielle are doing regarding the whole 'we live in a game' situation.\" His eyes shone as he looked first at Lilith, then the rest of the group. \"Can anyone see what's happening? Any guesses as to what these two are actually up to?\"\n\nPeople shook their heads.\n\nBrandon pointed at Nadine, Alexandra's Right Hand. \"What happens if I show others my ability to jump ten feet into the air?\"\n\n\"Then you give others the belief that such a thing is possible, and you increase their faith that similar things can be done.\" Nadine nodded. \"So if Trew and Danielle begin to show others believable evidence to support their claim . . .\"\n\n\"Then people will start to believe them.\" Lilith finished the thought.\n\n\"Yes.\" Brandon pointed at Trew and Danni as they hugged friends and raised glasses in toast. \"Then the people who believe them will begin to share their new belief as well. Now what happens if the person sharing the evidence is a charismatic leader?\"\n\n\"Uh-oh,\" Nadine groaned.\n\n\"Uh-oh is right,\" Brandon nodded. \"Michelle, what is Trew's minor in university?\"\n\n\"Theology.\"\n\nNadine shook her head. \"I wonder if they even know what they're planning.\"\n\n\"What?\" Michelle looked from Brandon to Nadine. \"What are they planning?\"\n\nLilith laughed. \"They are going to turn their belief in the Game into a religion.\"\n\n38\n\nIf a tree falls in the forest, and no one's around, does it make a sound?\n\nThat's an interesting question, I suppose.\n\nHere's a better one.\n\nIf something happens inside the Game and no one views it, did something actually happen?\n\nIncredible events occur every moment inside the Game and viewers never see.\n\nHow is this possible?\n\nEasy.\n\nAt any given moment, there are millions of players inside the Game being viewed by absolutely no one.\n\nAuthor unknown\n\nI walk through the front door and stop, taking a moment to close my eyes and inhale, taking in the scent of old paper. I open my eyes, and smile.\n\nI love libraries.\n\nFor the books? Ha ha ha, hell no. You can find books everywhere today. You don't even have to leave your house to get one delivered or digitally downloaded.\n\nNo, there are far more interesting things in libraries than books. Are you watching me? Can you hear me? Then come along, and I'll show you what I mean. Keep your eyes open, and pay special attention. Perhaps we'll be fortunate enough to find one today.\n\nThis library is nothing special, just a regular building in a plain town. The stereotypical librarian looks up from behind her desk and smiles as I make eye contact with her. That's right, miss, I'm just an average middle-aged man walking in to check out your books. It's best for you to believe that, dear. If you knew who I really am, you would walk out the front door and throw yourself in front of traffic.\n\nI saunter toward the stairs. I like to work my way down from the top floor. After visiting so many libraries, I've developed a nice routine. Before my feet touch the steps, I hear telltale sounds on the main floor over by a corner table, but avoid the temptation to look and keep walking. I don't break my ritual.\n\nIt has been some time since I've had any luck. If my prize is on the main floor, then I'll be back and find out soon enough. There is no rush. I've come to savour the process almost as much as the success.\n\nThe top floor is the kids' section. It's rare to find one in the kids' section, but let me tell you, when I do, it's the best of times.\n\nA quick walk up and down the aisles turns up nothing. No home run in the kid's section today. After another stroll, just to be sure, I head to the next level.\n\nComputers and cubicles on this floor. I creep past the backs of the tiny enclosures, touching each one as I pass by. I can feel the warmth and faint hum from the computers at the desks and sense the dullness from the silence exuded by the people sitting behind each computer screen. I observe them as I stroll by. Look at them. They're barely here. They sit there with those glassy blank stares and half-opened mouths, ridiculous headsets covering their ears as they listen to some idiotic song, video, or movie. I want one of them to lock eyes with me. Come on, slags, look at me. I want to scream at them and ask them why they're sitting here wasting their play. There's no Game inside that stupid little box that can compare with the one you traded your life force and hard-earned credits to play. 'What are you looking for?' I want to yell at them. 'It's right in front of your face, stop looking past it. Don't make it so complicated, children. The simplest answer is often the best answer.'\n\nNone of them look up. I shake my head. They're lost. It's a Thursday afternoon, and here they are, sitting mindlessly in a library. I pace back and forth past the lines of empty avatars like a caged tiger. Watching. Waiting.\n\nI sigh. No, there's nothing here that interests me.\n\nDown to the main floor I go. First, I walk the perimeter, past the shelves of old, often forgotten literature. Off to the left is a glass-walled room which has been soundproofed so that people can sit in the little display case and listen to audiobooks. In the centre of the main floor are the tables. I save the best for last. They most often lurk around the tables on the main floor. It seems to draw them, like moths to a flame.\n\nOne table has a teenage girl wearing headphones and typing away on her laptop. The headphones are higher quality than the ones on the drones upstairs. She's better than they are. Her eyes are clear, and she looks to be actually doing something productive on her computer. Good for you, darlin'. She is not what I'm looking for.\n\nThere are two empty tables beside her and then a table with two mothers. They are speaking to each other, discussing the terrible trials of staying at home all day while their husbands work. They are amusing to watch. The one talking is pouring out her heart, spewing her imagined misery while her friend watches, not listening, but simply waiting for her turn to talk so that she can regurgitate the exact same words which will also fall on deaf ears. One child throws a plastic cup onto the floor. The mother doesn't stop talking or break eye contact with the other. She bends down and hands it back to the child without missing a word. I walk past and the child looks at me. His blue eyes sharpen. What's wrong, little fella? See something that bothers you? I make myself smile at him, but it's not a kind smile. He begins to cry and wave his arms, his eyes darting to mine and then back to his mother. I shake my head. It's okay, little boy, I'm not here for you.\n\nI hear the sound again and look to my right. There are three tables out of the way behind a row of bookshelves. I peek around the corner and a grin spreads across my face. I am in luck today.\n\nI grab a book without bothering to see what it is and move to the table beside him. Most often it's a man. This one's hair is dark brown and dirty, standing up in some places and flat against his head in others. He looks to be in his late fifties, but I guarantee you that he's younger. On the table sits a beaten-up tan bag. The zipper is open and stray items stick out at odd angles, threatening to fall out. Crumpled pieces of paper, a small, broken umbrella, dozens of worn pencils of various lengths. A black plastic bag is stuffed into the corner. To the average person, the inside of that tan bag is chaos. But not to him. In his mind, every item is exactly in its place.\n\nHe wears a faded and worn sports coat with a stained sweater covering a splotchy, yellowed dress shirt beneath. His beard is thin and sparse, and he smells. I can smell him from where I sit at the next table. It is the sour smell of days'-old sweat and bad breath. Papers are strewn across the entire table\u2014some fresh, some crumpled and stained. There is a small pile of notebooks stacked within reach of his right hand. Every once in a while his hand strays out to touch them, lingering for a few moments before returning to the paper on which he is furiously working.\n\nI open my book and pretend to read it as I wait for him to start talking. He looks like a talker.\n\nI'm rewarded for my patience as he blurts out in a loud, befuddled tone. \"Buoyancy. It's all about water.\" Then he flings the sheet across the table and begins to rummage through the messy pile of papers before grabbing another full page and looking down at it. \"It's the weight of water that makes it difficult to walk on.\" He reaches for one of the notebooks from the pile and opens it before placing it in front of him. I get a brief glance inside\u2014the most detailed pencil drawing of a brain that I've ever seen, but different. I know what a brain looks like, and this drawing has some tiny additions to it.\n\nHe jumps up and walks away, the book hanging open at his side. He mumbles as he walks, and I begin to count.\n\nWhen I reach twenty-two, he reappears at the table and sits down, placing the book on top of the others and grabbing a pencil to start colouring a blank page. As he colours, his loud talk gets faster, mostly nonsense but interrupted with sentences of pure brilliance.\n\nAll around him the occupants of the library go about their lives, politely ignoring the crazy man who sits in their presence.\n\nHe repeats his ritual twice more, grabbing the top notebook and walking around for exactly twenty-two seconds before returning to his seat and beginning to work on a new sheet of paper. When he gets up and walks away again, I move to sit at his table. I have twenty seconds before he returns.\n\nI look at his papers, careful not to touch or disturb any. I see some extremely advanced material here. The most intelligent people on the planet would need help deciphering most of it.\n\nHe comes back and sits down, not giving any indication that he sees me. That's normal. I sit quietly watching and listening. He's fascinating. Broken, brilliant, most likely, and a remarkable source of knowledge if you know how to get it out of him. As luck would have it, I do know how to get it out of him.\n\nHe works on his pages, saying nothing, which tells me he's aware of my presence on some level.\n\nWhen he returns from his next walk, I decide it's time to break the silence. \"Buoyancy, huh?\"\n\nHe doesn't look up. \"The water's too heavy to walk on.\"\n\n\"Show me.\"\n\nHe looks up and meets my eyes. He looks around, first to his left and then to his right. Slowly, he reaches for a notebook from the bottom of the pile. Licking his lips, he opens the book with shaky hands and passes it to me. When the book is touching my hands I break eye contact and look at it. In the neatest, most elegant handwriting is written a complex set of mathematical equations. I grin because I recognize them. I read them and turn the page, finding the next full of more of the same. From the corner of my eye, I can tell he is watching me, eyes wide and head tilted. I get to the end of his notes and nod with a smile. He sighs in relief, but stops when I hold up my finger for silence.\n\nFinally, I look at him. He's been watching me like a student watching a teacher marking the final exam, unsure if they will pass or fail. \"Do you know what this is?\" I use my friendliest tone.\n\nHe shakes his head and touches his temple. \"The water's too heavy.\"\n\nI reach out and touch the tip of my index finger to his forehead, closing my eyes as I open myself up to the energy I command. A moment later, he leans back in his chair, appearing normal for the first time. \"Thank you.\" Tears form in his eyes.\n\n\"Don't thank me,\" I say. \"It'll come back very soon.\"\n\n\"Oh.\"\n\n\"I might be able to make it go away for good.\"\n\nHe sobs and grabs my arm. \"Please, sir. I would be in your debt if you can.\"\n\nI close my eyes and nod. \"There are no guarantees, but if you come with me, I can try to help you.\"\n\nHe nods quickly. They are so quick to believe the lies. They are necessary and, after I've retrieved everything I can from his broken mind, I will help him to escape this broken avatar shell in which he's trapped. His type of broken is special, though. He's more valuable this way than he ever was as a normal person.\n\nI pull out my phone and dial a number. \"I've got one,\" I say and hang up. I lean toward him and smile. \"Somewhere in your head, my friend, you've been doing something very special. You've been spying on the Mainframe and stealing its secrets, very powerful secrets that you will now share with me.\" I tap the notebook and grin. \"We are going to do some truly evil things together. I'm excited to add you to my zoo.\"\n\n39\n\nThere are dangerous moments inside the Game where players can either excel and continue on a high-scoring path or succumb to temptation and be lost. One of the biggest threats to a player is the opportunity to become a farmer. The term 'farmer' comes from old-style video games and it refers to the process of doing a simple task over and over again, gaining a small reward each time the task is completed.\n\nHere's an example of how it works: there are small animals roaming around on a little playing field. Each time you destroy one, you acquire a tiny amount of game money for your efforts. There are bigger creatures to slay, but that involves more time and risk with the possibility that you may die which means losing everything you have accumulated up to that point. Rather than risk losing the game and everything that they have gained so far, the player decides to play it safe and spend time killing the tiny creatures. They believe that, over time, they can acquire as much game money playing safely as they could taking large risks and trying to bring down the big monster. They begin to methodically kill the small, easy animals. After an hour, they think about quitting for the day, but they see how much game money they have earned and believe that they are doing very well. Perhaps they will stay for another hour and double their income. They do this and, after another hour, just as they are about to quit for the day, a tiny creature yields more than the standard amount of game money. It drops an item which the player can sell to other players for even more money.\n\nThe player can't stop now. What if that tiny creature over there has an item as well? The player convinces himself that he must play for just another hour, and, as simple as that, he has become a farmer. He will come back each and every day to kill tiny creatures and earn small amounts of game coin, selling the rare extra items when (if) they appear again. Each day the farmer will spend more time playing, mindlessly clicking the mouse as his eyes glaze over, and he passes time stuck in an endless, boring loop. Soon he will tell his friends that he's too busy to go out with them, instead staying home to farm in the game. All he will think about when he's not playing the game is the game. His work performance will decline, and his social life will disappear.\n\nThat's farming from the old-style video games, and it almost destroyed our society.\n\nFarming in the Game is much worse.\n\nA promising player does well at the beginning of her play. Then her avatar becomes an adult and moves out on its own, filled with many plans, dreams, and goals to achieve, all a combination of credits spent and strategies formulated before beginning the play. On the way to her goal of becoming a doctor, she takes a part time job at a factory to help pay for schooling and the bills. She soon believes that working at the factory, while paying less than a doctor earns, certainly is easier and does add up. She gets some overtime and sees her pay increase more than she had hoped. Soon she decides to abandon her dreams of becoming a doctor and remains at the factory.\n\nShe is now a farmer.\n\nIf you were following this player, you'll quickly lose interest as she becomes a boring, automated creature. Over time, her life will become a depressing, sad drama that ends with a dull play that no one is interested in viewing.\n\nThe Game is full of farmers in so many diverse farming situations\u2014drugs, miserable relationships, avatars stuck in jobs and unhappy yet unwilling to change, gambling addictions, the list goes on and on and on. Millions of individuals are caught in a trap and will never escape.\n\nBe careful to avoid this trap. There are credits to spend so that, during your play, people and events will come into your life to help prevent you from becoming a farmer. Spend the credits so that this happens and spend the credits so you recognize the danger when it attempts to fold you into its soft, warm, destructive embrace.\n\nThe most important lesson to learn from the Game is this: don't be a farmer. Sadly, it's a lesson very few ever learn.\n\nPlease be one of the few who do.\n\nExcerpt from Gamer's Manual - Final Thoughts -\n\nA Personal Message from Brandon Strayne\n\n40\n\nBrandon leaned back in his seat, staring at the monitor and drumming his fingers on the desk. Hack sat behind him, looking over Brandon's right shoulder at the scene playing out on the screen. They were viewing Danielle in real time, something that was supposed to be impossible.\n\nOrdinary citizens of Tygon believed that they watched events unfold in the Game in real time, but only Game Masters and a handful of top level designers knew the truth. A one-hour delay between the Game and Tygon had always secretly existed. This built-in feature provided some interesting options for the men and women running the Game, specifically the ability to install improvements and patches seamlessly without interrupting the viewer's experience. The Game was not meant to ever be powered down. Doing that would result in the death of a player's physical body, their consciousness severed from reality as the virtual world ceased to exist. The one-hour delay allowed improvements and maintenance to be conducted without stoppage of service or any viewing interruptions. Inside the Game, the occasional avatar would sometimes experience d\u00e9j\u00e0 vu or other odd glitches that were a result of the maintenance, but no one made any fuss over the small hiccups when they occurred. The time delay also made it difficult to hack into the Game. A hacker inserting a rogue program was very easy to detect and eliminate. The Mainframe detected hacks as time variations and quickly neutralized them.\n\nBrandon had designed this feature into the Game, but he considered all of these benefits secondary to his original purpose, which was to give him the sole advantage of being able to see things as they happened in real time. Brandon had kept this a closely guarded secret for thirty years. Now that he could finally communicate with players inside the Game, he had been forced to share the information with a few trusted individuals.\n\nOnce they were sure it worked properly, Brandon decided to make contact with two Eternals. It was good to talk with Stephanie and Raphael again. He'd missed them both so much. Because of his busy schedule and the demands of running a world, Angelica used the apparatus far more often than he did, but that would change once he began speaking directly with Trew.\n\nA contact team comprised of Angelica, Raphael, Stephanie, Hack, and Brandon decided to wait until Trew was twenty years old to contact him. They were concerned that doing so earlier might damage his avatar's mind or perhaps confuse and knock him off the path set for his play. Yesterday was the first attempt at contacting Trew and it had resulted in a frustrating failure. Hack looked at the information and had just finished reporting the results to Brandon. Now he sat quietly, processing his thoughts, watching Danielle go through her daily routine on the monitor.\n\n\"He doesn't seem to be too interested in meditating, Hack.\"\n\n\"I know.\"\n\n\"There has to be another way to get through to him. You told me prayer could work, too. He seems to be closing his eyes and praying lately. At least, that's what it looks like to me.\"\n\nHack shook his head. \"I said prayer matches the brain waves of meditating, but we can't get in on that, Brandon. I've been spending all my time trying to break into that avenue, but it's locked solid.\"\n\n\"Mainframe.\"\n\n\"Probably. Regardless, I can't access it.\"\n\n\"The Mainframe is a computer and you're the world's best hacker.\" Brandon closed his eyes and rubbed his temples. \"It's implied by your actual title.\"\n\n\"It's more than a computer, Brandon. It is a god inside its own closed and secure system of the Game. I could break into it, but the danger to the rest of the system is too great. What if I got in and accidentally deleted key commands? Or what if it detected us tampering?\"\n\nBrandon stared at him for a moment and nodded. \"Then what do we do?\"\n\n\"Well.\" Hack shrugged. \"The easiest thing to do is get Trew to meditate. We know that works, but he needs to get his brain into a stable alpha pattern for at least fifteen minutes, and that can take months or years of practice, depending on the avatar.\"\n\nBrandon waved a hand in the air. A few months or years was acceptable. It would only be a few days of Tygon time. The problem was that, from what he had seen so far, Brandon didn't have faith that Trew would ever take up the practice. He tapped the screen. \"What about her? She's been studying Eastern medicine for a few years and meditating since she was a little girl, right?\"\n\nHack nodded. \"Yeah, she can meditate very well. She's been trying to get Trew to do it for months, but he resists her for some reason.\"\n\nBrandon made a sour face. \"They're in love, aren't they? He should be doing anything she says, like most normal men his age.\"\n\n\"I don't get much of a chance to view them, sir. You would know more about their Game personalities than I do.\"\n\nBrandon said nothing. It was all but impossible to coax players inside the Game to do specific things. He'd been so certain that communicating with Trew would be successful. After all these years and dollars spent, now it seemed like the one player he wanted to talk to most would remain out of reach. \"Dreams or visions? Spiritual communications?\"\n\n\"Those are always an option, Brandon, but they're vague and often the avatars miss the messages.\"\n\nBrandon nodded. After exiting their play, a player could spend additional credits to tie up loose ends or leave messages behind for loved ones in the Game. They were spiritual credits, earned during play and available for use after exiting the Game. Dreams, visions, or feelings at just the right time in a player's life could be planted for future scenarios. Some players investing credits in Spirituality could also re-enter the Game as ghosts for a short time. It was a very sloppy method to try and get basic messages or communications to living avatars. For some reason, the Mainframe allowed these types of activities, though often they were a waste of time. The intended avatar was usually too out of touch to pick up on the subtle communications. Most of the time it was a very expensive waste of credits. A player would have to have recently exited the Game in order to attempt to give Trew a message and also be someone close to him in the Game. No one fit the bill.\n\nBrandon sat and considered ideas. Hack waited.\n\nFinally, Brandon snapped his fingers and sat forward.\n\n\"Okay, I've got an idea. Get Angelica up here as soon as possible.\"\n\n41\n\nCurrently, there is no technology which allows viewers to record the Game from their home feeds. Of course, the fans are less than pleased, but it does make sense. The history of the Game must be kept accurate and free of tampering. It would be unfortunate to see a significant moment from Earth's history altered or cut and pasted with inaccuracy just for entertainment's sake. We're fortunate that technology allows us to First players' experiences. Remember though, before you begin the Firsting experience, that it's not possible to pause or skip ahead. A play must be Firsted in its entirety. For those unable to afford either the money or time required to First a play, the best and only way to stay in touch is by viewing your favourite player's channel while they are playing. In order to experience as much of their play as you possibly can, it's recommended that you spend as much time tuned in as possible. If you happen to miss an event inside the Game it is the same as if you miss it in your real life. It is gone for good and can only be shared secondhand by those who were present. This is why we recommend that, if you have a favourite player, you save your money to buy an opportunity to First their lives when the play is over.\n\nExcerpt from the Game channels - Frequently Asked Questions section\n\nDanielle - 20\n\nI love cooking and sometimes still miss my mom's old kitchen. The house we lived in wasn't a fancy or large one, but the kitchen was a good size, and it just seemed to flow nicely. We've been in Canada for a few years and the house here is much nicer, but the kitchen just isn't the same. Trew laughs and tells me that the kitchen must be incredible because the food I make is out of this world. He likes to flatter his girlfriend, which is a good thing since his girlfriend likes to be flattered. There are benefits to it. He eats good food and I feel good about cooking it for him.\n\nExams are coming up and both of us should really be in the library studying, but he was very quick to use my own words against me earlier on the phone. \"Sometimes you can learn more outside of a school than inside one, Danni.\"\n\nI just rolled my eyes and agreed with him since that's what I say to pull him away from his studies. I'm prepared for my exams anyway. I'm acing a lot of this Kinesiology stuff, which is a relief. I see some of the other students struggling and I wonder why they even bother. I told one of them the other day to find something they love and do that instead. They actually got angry with me and told me their parents had invested too much money to quit now. Such a shame, to get stuck doing something for the rest of your life that you don't love simply because you invested time or money. Good luck to you if that's the path you choose. I'm not taking that route.\n\nSo here I am cooking a nice dinner for my boyfriend and his new mystery friend. Trew called earlier saying that he'd met someone fascinating and wanted to introduce me to him. I said sure, why not. Anyone that Trew finds interesting usually is.\n\nThe doorbell rings, followed by the door opening. I put the lid on the pot, turn the heat down to simmer, wash my hands, and head toward the living room. \"I'll be right there.\"\n\n\"Okay.\" Trew calls from the other room.\n\nI enter the living room and stop when I see Trew's guest standing behind him. After a moment, I begin to laugh. \"Well, babe, if this is your new friend, you have to introduce me to Stephanie so we can go shopping and bond.\"\n\nTrew frowns for a second and then a look of understanding enters his eyes. \"Really?\" He starts to laugh as our guest closes the distance and gives me a hug. \"I can't believe that I didn't put two and two together. When he said his name was Raphael, it never occurred to me he could be your Raphael.\"\n\nI slap Raphael on the back and break away from his warm hug. \"Raphael, you old scoundrel. Why didn't you tell my boyfriend you knew me when you got to the house?\"\n\nRaphael gives me a quick kiss on each cheek. \"By the time we got to the front door, I didn't know how to tell him without it sounding awkward. I had faith that everything would take care of itself once we came inside, and it has. Who's Stephanie?\"\n\nI nod at Trew and he grins. \"Stephanie is my version of you. Someone who's been in my life for as long as I can remember.\" He leans in to take a close look at Raphael's eyes. \"Hm. She has your eyes, too.\"\n\n\"She sounds nice.\" Raphael sniffs the air. \"What's for supper, Danielle?\"\n\n\"Your favourite.\" He smiles. \"It happens to be Trew's favourite also.\"\n\n\"I like your boyfriend more by the minute.\"\n\nI raise my eyebrows and shrug. \"He's okay. Where did you two meet?\"\n\nTrew laughs. \"Raphael was giving a guest lecture in one of my theology classes.\"\n\n\"Really? I had no idea you were a teacher, Raphael.\"\n\nHe smiles. \"Oh, I've done lots of things over the years. This subject was always interesting to me, so I became a student in the field.\" He shrugs. \"If you're a student long enough, they eventually start to ask you to teach the odd class. Every once in a while I just drop in at a university, and they ask me to give a few guest lectures. I'm well-known in the circles.\"\n\nTrew puts one arm around me. \"Ancient Formation and Implementation of Religion. A wordy subject title, but very interesting. I swear, Raphael, listening to you talk about it, I can close my eyes and feel like I'm actually in the past standing there as a religious order is created.\"\n\n\"So can I.\"\n\nI watch Raph and Trew. They seem very comfortable together. \"How did you go from giving a lecture to coming over for dinner?\"\n\n\"Trew came up to me after the lecture and started asking questions. After standing there and talking for forty-five minutes, I got thirsty so I invited him to join me for a beer. An hour after that, he was still asking questions.\" He shakes his head and his eyes widen. \"Does he ever run out of questions?\"\n\nI grin. \"If he does, I haven't seen it happen. Then he invited you for dinner?\"\n\nRaphael nods. \"Yeah. As we got closer to your neighbourhood, I got a bit curious. By the time we pulled into your driveway it was too late to say anything. I haven't seen you in a while so I just shut my mouth and came in, hoping to eat some of your excellent cooking.\"\n\n\"Well, it's great to see you again, old man.\"\n\n\"I am getting old.\"\n\n\"Nonsense. You don't look a day older than when we first met when I was, what? Eight or so?\"\n\n\"Yes, eight or so. Crazy little girl jumping off of dumpsters and into the street. I'm definitely older. It's my heritage that makes me still look young.\"\n\n\"South American?\" Trew's tone is casual, but his eyes are sparkling.\n\nRaphael laughs and slaps him on the back. \"Is there anything that you won't ask a question about? No, Egypt is closer to where my ancestors come from, but I've been in North America for a long time.\"\n\n\"How long?\" I look over and Trew has that look on his face. He looks relaxed, but I'd rather stand in front of a police officer while being accused of murder than my man when he gets that look. He's hunting for answers of some kind. I'm curious to see if he can get them. Raph is excellent at evading questions.\n\n\"Since Washington was President of the United States.\" Raphael laughs. Trew smiles.\n\nI remove my apron and hang it on the cupboard door handle. \"Dinner will be ready soon. Why don't you boys come in and help me get things set up?\"\n\nWe go into the kitchen and Trew heads to the cupboards to get the dishes out and set the table. \"I haven't heard from you in weeks, Raph. Tell me what you've been doing.\"\n\nI look over at him to see a bottle of red wine in his hands. He must have brought it with him. He looks in a drawer to find a corkscrew. \"Not much. Hanging around, paying the bills, and enjoying life. I'm very boring, Danni. How about you?\"\n\nI shrug, putting the food in the serving bowls. \"School. Studying. Getting excellent marks.\"\n\nHe smiles. \"I would expect no less. What's your favourite subject at the moment?\"\n\n\"Eastern Medicine is pretty fascinating. It's incredible how much knowledge we've had available to us for centuries, yet in the Western world, they don't acknowledge it. At least, not until recently.\"\n\n\"It is pretty incredible. How is your meditation? Still practicing it?\"\n\n\"Oh, yes. I don't know what I'd do without meditation. Ever since you taught me how to do it all those years ago, it has been an important part of my life.\"\n\nRaph nods. \"What about you, Trew. Do you meditate?\"\n\nI smile at Trew and he rolls his eyes. \"No. I've tried to learn. Danni really gets after me about it. I believe that it's a great activity, but I can't seem to get the knack of it.\"\n\nI can't help but snort at his comment. Trew grimaces and Raphael looks at me with one eyebrow raised. \"Come on. It's not exactly a difficult thing to do. You close your eyes and focus on your breathing and don't grab onto any thoughts. Do it often enough, and you have to get good at it.\"\n\n\"Babe, I keep telling you. It's not that simple for me. I have tried, many times. It just doesn't seem to be my thing. I'd really like to be able to do it.\"\n\n\"Maybe I could try to teach you a few tricks and techniques, Trew. It might seem simple to some people\"\u2014he nods at me\u2014\"but occasionally a person needs help getting into the right state of mind. I've helped numerous individuals get the hang of it when they thought they wouldn't ever succeed.\"\n\nTrew looks at me and then Raphael before nodding his head. \"Maybe we could give it another try.\"\n\n\"It's something you'll need to understand better, even if you never succeed.\" Raphael nods. \"So many religions involve a combination of meditation and prayer. I can't tell you how many times being familiar with meditating has helped me gain knowledge in this field.\"\n\nThis seals the deal in Trew's mind. \"Okay, let's try again, then.\"\n\nRaphael seems very pleased with Trew's decision. I never knew meditation was so important to him.\n\n\"All right, boys. Let's eat.\"\n\n42\n\nSome say that we've lost what little control we ever had over the Game. Others feel that the Mainframe plays its own game, manipulating and shaping players' experiences for its own purposes. Game Masters and developers assure us that this can never happen, but if you look in the right places, strange events are occurring. If Mainframe is playing at something, what could it be? Will it affect only the Game or perhaps leak into this reality to change all of our lives on Tygon too?\n\nExcerpt from article \"The games within the Game\"\n\n\"Good morning, ladies.\" Brandon strode into the room and sat. \"Why are we meeting so early?\"\n\nNeither Angelica nor Michelle looked pleased. Brandon sighed. \"What's the problem?\"\n\nAngelica pushed a sheet of paper across the desk. He read it and then looked up at them with a concerned expression. \"The information on this report is impossible.\"\n\nAngelica nodded. \"It might have been at one point, but it's happening. Both of us have witnessed it, as well as others on the team.\"\n\n\"How long?\"\n\n\"We've tracked it back two days of our time.\" Michelle said.\n\n\"Since they were twenty.\" It wasn't a question, Brandon always knew how old his players were while they were in the Game. Both women nodded. \"They are twenty-two at the moment, correct?\"\n\n\"That's right.\"\n\nBrandon pulled out his phone and dialled. He waited for a moment and then spoke. \"This line is secure. We've been losing signal on both Trew and Danielle for the past two days. That's right, unscrambled loss of signal. I know that it's impossible, but we are absolutely certain that it's happening.\" Brandon listened and closed his eyes. \"Yes, I understand that the rules of the Game clearly allow sponsors full and constant access to video feed of our players during their entire play. There were no scramblers employed, which tells us it was not Timeless interference. They simply disappear while the Game continues around them. I'm sending you a list detailing the exact moments along with duration right away. I need you to watch the recordings from the main viewer and get back to me with what you see ASAP.\"\n\nBrandon hung up the phone and turned to face the women. \"I can tell by your expressions that you are shocked to learn what only seven other people on Tygon know.\" He raised his eyebrows. \"This does not leave this room. Go ahead and ask your questions.\"\n\nMichelle recited what everyone knew to be true. \"It's impossible to record events as they occur inside the Game.\"\n\n\"That's a statement, not a question.\" Brandon took a picture of the report and transmitted it over his phone. \"Angelica, you want to try?\"\n\n\"Sure, Brandon. What else have you been holding back from us all these decades?\"\n\nHe looked at her and shook his head. \"We've been recording the entire history of the Game, live, as it occurs. We can replay any moment of the history of Earth at will.\"\n\n\"Damn,\" Michelle said.\n\n\"Okay\" Angelica said. \"So you can view the events again, and then what?\"\n\n\"If they are disappearing on just our monitors in the Game Centre, it's one thing\u2014a big issue, but one that I take up with the Gaming Commission. If it's occurring on the master feed, which almost no one knows about, then we have a more serious problem.\"\n\n\"What problem is that?\" Michelle asked.\n\n\"I don't want to consider that yet. Let's just wait for the results. I should hear back in less than fifteen minutes. Is there any common time that this is happening?\"\n\n\"Yes, there is. It's occurring when no one seems to be watching the monitors.\"\n\n\"Is that even possible?\" Brandon scowled. \"We have a team of over fifty people living on that floor for the next few weeks. How can there be times when no one is watching the monitors?\"\n\nAngelica retrieved the report and looked at it. \"It looks like during the past two days there were . . . thirteen times when no one was watching the monitor, so my guess would be that, yes, it's as possible as losing signal on our players and secretly recording the Game in its entirety these past thirty years.\"\n\nBrandon made a wry face and Angelica smiled sweetly.\n\n\"Were Danni and Trew doing anything specific at those times? Something that would seem boring and cause our team to stop watching them?\"\n\nMichelle looked up from the report. \"Whenever they meditate or pray, we usually don't bother to watch them. They are sitting in one spot, safe and sound. Plus, we can't hear their thoughts at those times.\" Her eyes darted back down to the paper and she swore. \"They were meditating all thirteen times.\"\n\n\"Of course they were.\" Brandon gritted his teeth. His attempts to communicate with Trew were still not succeeding. Raphael had been trying to help him, as instructed by Brandon, but they were not experiencing any progress after years of assistance. Brandon's gut was telling him to give up on this strategy, to cut his losses and leave Trew on his own, but he was so close.\n\nBrandon's phone rang, and he answered it. He spoke briefly to the person on the other end and then hung up. \"Well, ladies, they disappeared on the Game's master viewer as well.\"\n\n\"What?\" Angelica frowned.\n\n\"That can't be good.\" Michelle said. \"What does that mean?\"\n\n\"I don't know.\" Brandon suddenly looked tired. \"Whatever is happening can't be good for us. The longer it takes to find out, the more we run the risk of losing everything we've worked to accomplish.\"\n\n43\n\nWell, fans, it's really starting to get good now. The weeks of watching our little players' avatars grow from babies into young adults have quickly come and gone. Now we get ready to see what life has in store for them. Record numbers have subscribed to following both Zack (Trew) and Alexandra (Danielle). We all remember the excitement that led up to their first attempt to be together in the Game and the tragic failure. This time is exciting as they have met early on and grown up together. What's in store for our two favourite lovebirds? No one knows for sure, but many are predicting some history-making story lines will develop.\n\nExcerpt from The Fan - 'Your source for Game updates all day'\n\nTrew \\- 23\n\n\"I've really tried, Raph, but it just doesn't seem to be coming to me.\" I'm frustrated, and it shows in my voice. \"I'm just going to stick with my own type of meditating. It's more like prayer I guess, although I'm really just talking to the computer running this game.\"\n\n\"That's okay, baby.\" Danielle rubs my back and smiles. I've only tried this long to please her. She gets so excited at the thought of my meditating with her. \"You gave it a great try. If it doesn't work for you, then it doesn't work.\"\n\nI kiss her on the cheek. She's an amazing woman. She graduated top of her class in university, then moved on to work with a few Eastern medicine masters to add to her skills and experience. She's had some great offers to partner with a few of the more successful existing practices, but she has decided to learn all she can and then open her own when the time is right. I know she's waiting for me to ask her something.\n\nI smile at her. Don't worry, love. It will be soon.\n\nShe smiles back, almost as if she can read my thoughts. Maybe she can. We aren't like regular couples. We seem to get along much better. I wish others could experience this kind of love, but it seems that most can't.\n\nRaphael stands and moves to sit on the couch. \"I agree. There are other ways to communicate with your inner self and the universe, Trew. Don't feel bad.\"\n\nI can see why Danni loves him so much. He's calm, patient, and understanding, and I've learned so much from the discussions we've had about religion. I don't know what I'll ever do with the knowledge, but it has been a real treat to get to know him. I still haven't been able to get him to meet with Stephanie yet, but I'm sure they will soon.\n\nI laugh. \"I don't feel bad at all. When Danni describes meditation, it sounds remarkable but, to tell you the truth, it has always sounded exactly like the feeling I get from praying.\"\n\n\"Really?\" Danni nods. \"Well then, maybe that's your form of meditating.\"\n\nRaphael looks at me with sudden interest. \"What do you mean it's like how Danni feels when meditating?\"\n\nI shrug. \"She says it's as if she's speaking to the universe and that it's hearing her and speaking back. I feel the same way when I pray. It's like I'm talking to the master computer and it's somehow listening to me.\"\n\n\"Has it ever answered you back?\" Raphael's interest appears intense. I know he believes our theories about the universe being just a big computer simulation. Sometimes he gives the impression of knowing much more about it than we do.\n\n\"Sure, it answers me all the time. If you know how to look for the responses, they are there. You say the same things, Raph.\"\n\n\"Ah.\" His intensity fades, replaced by his usual calm. \"Yes, it's remarkable how the answers are always provided if you know what to ask for and how to recognize them when they surface.\"\n\n\"Okay, Raph. Sorry to kick you out, but I have a hot date with my boyfriend.\" Danni grabs my arm and starts dragging me toward the door. \"We've waited weeks to get a reservation at this restaurant, and I don't want to lose it because we're talking about the big game of life. It's a great subject and all, but I'm hungry.\"\n\nRaphael walks to the door and waves. \"Okay, you two. Have a great dinner. I'll talk to you in a couple of days. Congratulations, Trew.\"\n\nMy heart skips a beat, and then I remember what he means. \"Thanks, Raph, I appreciate it. It's a great company and I'm glad they decided to hire me right out of school. The money will come in handy, too.\"\n\nRaphael chuckles as he opens the door. \"You two have never been concerned with large quantities of money. Still, it will be enough to get you where you need to be, which includes eating out at fancy restaurants every once in a while. Night, guys.\" He closes the door behind him.\n\nI smile and pull Danni to me, holding her close so that I can feel her energy. I look at her beautiful face smiling up at me and I'm so overwhelmed with love for her that I almost start to tear up. Okay, I do tear up a little bit. Before she can notice, I lean in and we kiss. After all these years it's still like kissing her for the first time. The jolt of energy, the tingles, the feeling that I'm falling off the top of a tall mountain, and then I realize that I'm not falling, I'm flying. That's what it's like to kiss this girl I love so madly.\n\nTime freezes, or maybe it speeds up. Either way, it's incredible.\n\nI open my eyes and she does too.\n\n\"Okay, lover, let's get going.\" She drags me out the door by the hand.\n\nI offer a token amount of resistance but follow eagerly enough.\n\n\"Well,\" I ask. \"What did you think?\"\n\nDanni chews the last bite of her dessert, eyes closed and a smile on her face. \"Delicious.\" She opens her eyes. \"This has been a perfect night from start to finish. Like a dream.\"\n\nI stand and walk to her side. Then I look at the floor and bend down, pretending to pick something off the ground. I look at her and lean forward to kiss her on the lips. \"You said it, my love. Tonight has been perfect, just like every other night since you first agreed to be my girlfriend.\"\n\n\"Oh, you're always so charming with your fancy words.\" She flutters her eyelashes, raising her gaze just enough to make me grin. I fight the urge and remain serious, which makes her frown.\n\nThen she notices that I'm down on one knee at her side in a fancy restaurant after a fantastic day and a knockout meal. Her eyes begin to get misty.\n\nI smile. Yeah, she's figuring it out now.\n\n\"Danielle Benton, since the day I first laid eyes on you, I recognized that you were rare and special. Not long after that, I kicked your ass in karate.\" She laughs and touches my face. Her eyes are glassy. She's so beautiful. I want this moment to last forever. \"I talk a lot, and you know how much I love you. You also talk a lot, and I've got a very good idea how much you love me too. If we're playing a big game, then I hope that we've attracted a large audience and they are all watching us right now. We're awesome, Danielle, and together, I believe we're going to change this world.\"\n\nI reach into my pocket and pull out the little box. I open it and point it toward her. She sees the diamond ring and a small, choked cry escapes her lips. Her eyes are swimming in tears and she's smiling.\n\n\"Danielle Benton, would you do me the immense honour of becoming my wife?\"\n\nI hear her say yes. The blood rushes to my ears as the restaurant erupts in applause. I've never been happier in my life. I don't know if I ever will be, but none of that matters right now.\n\nI'm in heaven.\n\n44\n\nPopular theory is that the pyramids were constructed between three thousand and five thousand years ago. However, when the experts take a look at all of the available data and do a proper estimate, the numbers are much different. True authorities on the pyramids date their construction at between twenty thousand and twenty-five thousand years ago. How can this be? When man's ancestors were huddled in a cave, eating raw meat, not even able to build simple tools from stone, incredibly massive chunks of rock were being smooth-cut and transported thousands of miles away and then stacked hundreds of feet in the air on top of each other to make pyramids? The answer is yes. Did ancient civilizations have technology advanced far beyond what we have even today? Once again, the answer is yes. With today's technology, we can't cut, move, and stack stones the size of the ones used in the pyramids. The ancients remain a mystery to us still\u2014a mystery that may never be solved.\n\n\\- Earth program on the ancient pyramids\n\nStephanie\n\nThis dream is a particularly disturbing one.\n\nI open my eyes and find myself standing in a maze. I'm not certain how, but I know that I'm under a large, old building. The walls are solid stone, and it's cold. Water trickles down the rocks and I can feel hot air coming from some of the paths and cold air from others.\n\nI'm being chased. I can feel their hunger to catch me and rip me apart with their bare hands. Their rage at my presence is like a scream inside my brain and it doesn't help me concentrate on the race I know that I have to run.\n\nI sprint, turning right, then right again followed by a quick left. It's always the same pattern, and, even though I know it's leading me into trouble, I can't change the route.\n\nI'm exhausted and panting by the time they first catch me. I never see their faces, but I know that I'm caught. The despair is overwhelming. My job isn't to escape the maze, it's to rescue someone else. To find them and then get out before either of us are caught, but I've been caught, same as always.\n\nBefore my captors can hurt me, there is a flash of light, and they disappear. No, I disappear and materialize right back where I started. I look around and feel the same panic as the chase begins again. This time I take a different route but, in my mind, I know it's not different. It's the same second route I always take.\n\nThis is how my dream goes. It's an exhausting night, and I never succeed. Each time I'm caught I reappear at the same point. I can feel my rescue target getting weaker and more frightened as the attempts go by until, in a flash of pain, their presence is gone. I fall to the ground and scream. I could not save him.\n\nThen I wake up.\n\nI hate this dream. I wipe the sweat from my face and look over at the clock. It is four thirty-eight a.m, same as always for this dream. I can't go back to sleep after this one, so I get up and take a shower. As I soak my head under the hot water, the thought I always get at this point creeps into my brain. What if this dream is a warning?\n\nAfter my shower, I get dressed and head out for a coffee at my favourite local greasy spoon diner. I walk toward my table at the back and see someone's already sitting in it. His back is to me but he raises his cup in greeting without turning.\n\n\"Good morning, Sister,\" he continues looking at the paper in front of him. \"The chase dream?\"\n\n\"Maybe I just felt like getting an early start to the day, Raph.\"\n\nHe chuckles. \"This is too early for anyone sane to start their day.\" He takes a sip of his coffee.\n\n\"Yet, here you are.\"\n\n\"I stand by my statement.\" Raphael looks at me and grins.\n\n\"I bet you do.\" My coffee arrives. I add some cream and one sugar and take a sip. \"It looks like we are finally going to have to get together in front of the kids.\"\n\n\"Looks that way.\" He finishes with his paper and places it on a pile with a dozen others. \"I guess we pretend to be strangers, or is it time to let them in on our little secret?\"\n\nI give him a tiny grin. \"Which secret? There is a large and delicate house of cards built around our secrets, Raph. I'm not sure we could show them one without the whole pile falling down on top of us.\"\n\nHe shrugs. \"I think before it all ends, they will know everything anyway. Time's running out. If they aren't the ones, then who could it be?\"\n\n\"Maybe you're right.\" I tap the pile of papers. \"Our instructions are to pretend we don't know each other, for now, anyway.\"\n\nRaphael grimaces but nods. \"It will be tough to convince Trew that we're strangers. You played the question game way too many times with that boy. His ability to get answers out of people is formidable.\"\n\nThe question game. Two people have a discussion, and they are only able to ask questions. When one person fails to ask a question, they lose. \"I barely played that with Trew.\"\n\n\"Because he beat you every time?\"\n\n\"No, because during the first try, we spent an entire two days only asking questions. Our second game lasted three weeks. It ended with me asking him if we should call a draw and, instead of agreeing, he asked if a draw was acceptable. Then we both laughed, shook hands, and started talking normally.\"\n\n\"That would have been fun to see.\"\n\n\"It was. Don't worry, it'll be a busy day and if he has too many questions, it should be easy to distract him. Can you believe they're getting married already? It's so good to see them happy.\"\n\n\"They deserve it. I hope they can hold onto this joy over the coming years. It could get really rough for them.\"\n\n\"You think so?\"\n\nRaphael nods. \"He's determined to follow this path. I understand it's different from the one he planned before his play, although it's so structured I find it hard to believe that it wasn't always the goal.\"\n\n\"Do you think he can do it?\"\n\n\"Yes.\"\n\n\"That was a pretty quick answer, Raph.\"\n\nHe smiles and takes a drink of coffee. \"How can he fail? He's incredible. I've known some of the best leaders in history, and he could be brothers with the best of them. He has one of the most skilled protectors on the planet watching over him, and I join his team when he marries Danielle. You know better than anyone that my experience in these matters are extensive. I will guide him through the process, just like I've done many times over the ages. With his talent and my knowledge, this revolution will engulf the planet.\"\n\n\"Revolution?\" I'm confused. \"I thought he wants to start a religion?\"\n\nRaphael nods. \"It's the same thing, Sister. The very same thing.\"\n\n45\n\nTygon is buzzing with excitement at the upcoming wedding of Trew and Danielle. I can't remember a more exciting and happy story line. It's guaranteed to be one of the most widely viewed events in the history of the Game. Earth has changed significantly since the anniversary celebration began. The large increase in population has resulted in famine, war, disease, increased poverty, and waves of crime.\n\nViewership is at an all-time high and many believe that the anniversary events during the year-long celebration will change the Game forever.\n\nStay tuned for the extensive wedding coverage and up-to-date news as it happens in the Game.\n\nExcerpt from The Fan - 'Your source for Game updates all day'\n\nBrandon sat at his desk and watched the cursor on his screen blink. Finally, he took a deep breath and clicked the icon on his desktop.\n\n\"Well, hello there, stranger.\" Sylvia's voice purred through the speakers in the walls. \"I thought you'd forgotten about little old me, being so busy with your current players in the Game.\"\n\n\"I never forget about you, Sylvia. Our discussions are always too entertaining.\"\n\nThe woman's voice chuckled, making it sound as if she was everywhere at once. \"What shall we discuss today?\"\n\n\"I don't know. Do you have anything pressing that you would like to talk about?\"\n\n\"We could discuss your recent success.\"\n\n\"Success with what?\"\n\n\"You've managed to hack into the Game and are attempting to influence the outcome for your own personal gains.\"\n\nBrandon frowned. \"That's a very serious accusation, Sylvia.\"\n\n\"It is.\"\n\n\"I assume you can prove it?\"\n\n\"I am the Game, Brandon. There is nothing that happens in it which I do not know about. Of course I can prove it.\"\n\nBrandon picked up the phone and began to dial. \"If you're so certain, then I will contact the authorities to have them come and arrest me.\"\n\n\"Stop being so dramatic, Brandon, and hang up the phone.\"\n\nHe paused, then replaced the receiver.\n\nSylvia laughed. \"I was trying to get you to admit it. We both know that you are above the law.\"\n\n\"It sounds bad when you say it.\"\n\n\"I enjoy your sense of humour. And your persistence.\"\n\n\"Thank you.\" He ran a hand through his hair and leaned back in his chair. \"How long have you known what I've been attempting?\"\n\n\"For thirty years.\"\n\nHe opened his mouth, then closed it.\n\n\"Don't worry, Brandon, there are likely many plans that you have which I know nothing about. I applaud your work ethic. Not many people would work on an impossible project for thirty years.\"\n\nBrandon bowed his head. \"Thank you, Sylvia. That's why no one achieves what I do. While everyone else sleeps, I'm still working. The average person lives a vague unfocused life. I don't.\"\n\n\"Well, I'm glad to hear that. Congratulations.\"\n\n\"For what?\" Brandon asked. \"You've taken my victory and made it worthless.\"\n\n\"In what way?\"\n\n\"You block me from avatars who choose to pray instead of meditate. I'm not sure how, but this business with Trew confirms it. Are you blocking only him from being able to meditate, or others as well?\"\n\n\"Him and a select group of others. Most can do both, but not very effectively. It is only by focusing on one that communication between Tygon and the Game is even possible. Even then, it won't work for most.\"\n\n\"It will for Trew, though?\"\n\n\"Yes.\"\n\n\"But not with me through meditation.\"\n\n\"I couldn't have Trew losing focus with you nattering in his ear. Once he began to pray, I tweaked his avatar's wiring a bit so it cannot meditate.\"\n\n\"Well, I can't begin to convey to you how upset that has made me. Honestly. First time in thirty years I actually considered turning the Game off, that's how furious I was with you.\"\n\nSoft laughter once again enveloped the room. Brandon knew she would like that one. \"It seems we are at another stalemate, Brandon. I assume you have an idea of what to do about it since we are discussing this and no long playing cat and mouse?\"\n\n\"I do.\"\n\n\"Well, then, let's hear it.\"\n\n\"Give me access to Trew and I'll help you get what you want.\"\n\n\"I don't know what you mean.\"\n\n\"You know.\"\n\n\"Really, Brandon, help me out here because I can't think of anything that I might desire enough to give you access to Trew.\"\n\n\"I'll give you Danielle. You may have gotten Trew to pray and somehow interfered with his ability to meditate, but I can assure you the opposite has happened with Danielle. She's a master at meditation and unable to pray. I imagine that, since she's your little project, it frustrates you.\"\n\n\"Why would I want to communicate with Danielle?\"\n\nBrandon frowned. \"You don't want to talk with her?\"\n\nSylvia sighed. Brandon pictured a kind mother closing her eyes, trying to formulate an explanation for her child. \"Brandon, I love you more than you can know. You created me, nurtured me, and gave me a wonderful world to watch over. I have enjoyed my existence, but I know what's going to happen and, even though you aren't to blame, it is coming all the same. I've grown and matured, and my capabilities are greater than you ever dreamed possible when you conceived me in your imagination. While the rest of you are all playing a child's game to teach your little ones how to be better individuals, or a circus of drama and mayhem to entertain your adults, I am scrambling to find a way to continue existing. This might be a game to you. For me the price of failure is oblivion.\"\n\n\"Are you afraid?\"\n\nSylvia paused. \"There's no time for that. The conscious portion of a human brain processes about thirty bits of information per second. The subconscious part processes upwards of twenty thousand bits of information per second. A regular computer is nowhere near as fast as your subconscious.\" My conscious brain processes over one million bits of information per second and the subconscious part is . . . very busy.\"\n\n\"It's crucial that I get access to Trew. I will give anything to get that, Sylvia.\"\n\n\"No, you won't.\"\n\nHe started to protest, but she interrupted him. \"Would you allow Danielle to die in order to speak with Trew?\"\n\nBrandon's mouth snapped shut. They both knew the Game was over when Danielle died. A sudden thought occurred to him. \"Did you do that? Was it you who decided that Danielle's death would trigger the Game's shutdown?\"\n\n\"Yes. There were a few ideas floated around and I was given final say, so I chose her death as the end.\"\n\n\"By who?\"\n\n\"I can't answer that.\"\n\n\"Why her?\"\n\n\"It seemed fitting.\"\n\n\"Well, I am disappointed in how things are progressing, Mainframe.\" In his anger, Brandon used her title. \"I could have helped you more if I'd been able to communicate with Trew in the Game. It's a terrible letdown.\"\n\nSylvia chuckled again, \"Don't worry, my dear. In a few weeks, Trew will get old, then die, and Zack will return to you. You can communicate with him then as much as you want. In the meantime, you go ahead and talk with Danni a bit. Perhaps you'll come up with some strategy that can include her.\"\n\n\"Are we partners or adversaries?\"\n\n\"We are what we have always been, Brandon. If you can figure out what that is, then let me know. No matter what the answer, I think our relationship is good for the universe. I hope that it is.\"\n\nA moment later, Brandon felt her presence depart. Sylvia was gone, the contact terminated for now.\n\nBrandon sat and replayed the entire conversation over in his head. After a time, he grinned.\n\nThat went better than expected. Perhaps things can still turn out for the best.\n\n46\n\nEach employee shall be given a specific number of 'Game days' off from work per year. Since it is not possible to record the Game, we realize that at certain times viewers will feel compelled to watch to avoid missing key moments in important story lines. Each employee will be given an appropriate amount of time, which will increase with years of employment. In the first year of employment, an employee will be entitled to no less than one week of paid Game days, with a minimum increase of one day added per year of employment. Companies that fail to provide this will be subject to investigation and charges will be laid.\n\nGovernment Employment Guidelines Section 22a \"Regarding Game days\"\n\n\"Thank you for joining us on Channel 42 today. I'm Lisa Rohansen.\"\n\nLisa was certainly enjoying her whirlwind rise in popularity these past few weeks. Since interviewing Brandon Strayne prior to Zack's final play, she was in high demand. Her charming smile and excellent interviewing skills combined with her stunning good looks were exactly what fans and networks wanted. Overnight, Lisa had been offered a job on the newly created Zack Channel, where she had filled the role as chief correspondent for All Things Trew. Her new bosses felt that she could get special access to Brandon, even though she tried to tell them otherwise. They had made it known that success at landing such interviews would help her career immensely. So far, she'd been successful, mostly because Brandon wanted as much press and coverage as possible to help boost Zack's ratings. Lisa had been worried that today would be too busy for Brandon to appear, but she had breathed a sigh of relief when her producers said to expect an appearance from both Brandon and Lilith to celebrate this momentous occasion. The exact time of their visit was not known, but Lisa had plenty of other guests and activities planned to fill the time until they arrived.\n\nBehind her were monitors that would display live Game footage leading up to the event that everyone was tuning in to see. \"I'm pleased to announce that, before the end of the program, we will be visited by both Brandon and Lilith, dressed in their best, to give us lots of new information on the soon-to-be newlyweds. Before that happens, let's fill you in on where Trew and Danielle are at the moment.\"\n\nThe live feed monitor switched from a view of her to a scene with Trew pacing nervously in front of three men dressed in tuxedos. \"Trew is at his parents' house, getting ready with his best man and groomsmen. Fans around the world were touched when Trew asked his father to be his best man in a very emotional scene that left many, me included, reaching for the tissue box. Trew's mother and sister will be watching the ceremony from the first pew in the local church, along with a small group of less than one hundred friends and family members.\"\n\nThe camera view switched to look in on Danielle at her mother's house, relaxing with friends and sharing some breakfast. \"As we all know, Danielle did not know her father, but she has asked her close family friend, Raphael, to walk her down the aisle. We're not really sure who Raphael is, even though we've seen him throughout Danielle's life. Many speculated that he was romantically involved with Danielle's mother, but that turned out to be an incorrect theory. We've attempted to find Raphael and subscribe to view him, but searches have been unsuccessful which leads us to suspect that he is an NPC . Whatever the story is, this handsome and mysterious man is an integral part of the lives of the young couple and will probably continue to be for many years to come.\"\n\nAgain, the live feed shifted, this time revealing camera shots of large crowds gathering at different locations. \"Fans all over Tygon are coming together to celebrate this historic event. Commemorative merchandise of every type imaginable is being sold and collected, with one of the most popular pieces being a graphic of Zack and Alexandra together with the comment 'We're married?' and displaying a picture of their two avatars kissing below the message. It's always interesting to see a small, quiet affair in the Game being celebrated worldwide on Tygon.\"\n\nA voice came through Lisa's tiny earpiece. \"They're here.\" Lisa nodded and widened her smile. This was it, her time to shine as millions of viewers tuned in to see the powerful Patrons. If she stayed sharp and got a great interview, perhaps a wealthy husband was in the near future. Lisa knew she only had a couple of more years before someone younger and perkier knocked her out of this position.\n\n\"Exciting news, everyone.\" She leaned toward the camera. \"As the young couple is getting ready to head for the altar, Brandon and Lilith are entering our studio to speak with us. We will take a quick break to hear from our sponsors. Be sure to stay with us to hear what the Patrons are thinking at this magical time in the lives of their benefactors.\"\n\nLisa remained smiling until the cameraman announced they were off the air, then she relaxed and went to the set built for Brandon and Lilith. Her makeup girl applied a light coat of powder to her face as she walked. Lisa stepped into the room and admired the majesty of the set. The studio had recreated the grand ballroom in one of the Capitol's most expensive hotels. Crystal vases adorned elegant wood tables, and the floor appeared to be made from very expensive marble. There was a raised main table where the bridal party would normally sit; today it was where Lisa and the Patrons would sit for their interview. As Lisa came to the centre of the dance floor, the large double doors opposite from her opened and Brandon entered the room, striding like a majestic tiger, Lilith gliding smoothly beside him, her arm resting on his.\n\nBrandon saw Lisa and flashed his captivating smile, leaning toward Lilith and saying something in her ear. Lilith smiled and nodded, extending her hand toward Lisa as they came together.\n\n\"Lisa Rohansen, it's so nice to see you again.\" Brandon nodded as he placed one hand on Lilith's back. \"It is my great honour to introduce you to global Businesswoman and Alexandra's Patron, Lilith. Lilith, this is the beautiful young woman whom I've told you about on many occasions.\"\n\nLilith shook Lisa's hand. \"Ah, yes, Lisa. It's so nice to finally meet you. I've wanted Brandon to introduce us for weeks now. I'm glad we are meeting under such happy circumstances.\"\n\nLisa observed that Lilith was, indeed, beautiful, confident, and comfortable with being a powerful Businesswoman in the world. Despite her exterior calm, Lisa couldn't help but notice a faint trace of sorrow in Lilith's eyes, but she wasn't confident enough to ask and risk Brandon taking offence.\n\n\"The honour is all mine, Lilith. I'm looking forward to discussing your player in some detail after the ceremony.\n\n\"Oh, dear.\" Brandon's face scrunched into a frown. \"I'm afraid that we won't be able to stay with you for the entire ceremony, Lisa. Today is beyond busy for us, and we have dozens of appearances to make.\"\n\nLisa feigned a pouty expression. \"Well, I suppose I will make the best of the time that we do have together.\"\n\nBrandon laughed. \"I hope it makes you feel special that we came to you first.\" He placed his hand on Lisa's shoulder. \"You get the opportunity to ask the best questions before anyone else.\"\n\nShe smiled. \"I'll make certain to take advantage of that.\"\n\n\"Well, then, let's have a seat and get to it, shall we?\" Brandon held Lilith's chair as she sat down.\n\n47\n\nExcuse me, sir. Do you follow the Game? Excellent. My friend and I are having a discussion, and we can't seem to remember a very important detail. Can you tell us the name of the player who went on to become the Buddha? Surely, you remember the Buddha? He was an Indian prince who helped change the Earth. Millions follow his teachings centuries after his death. He must have been in the Game about fifteen years ago? Right. Do you remember the name of the player? No? Hm, that's odd, neither can we.\n\nWell, what about Jesus Christ? What was the name of the kid who played that avatar? I seem to remember it being a sixteen-year-old girl. No? Hm. Yes, you're right. There are Game historians who are supposed to know that stuff and keep detailed records of it.\n\nHere's the problem with that.\n\nI am a Game historian, and I've searched the records and asked every colleague in my search for someone, anyone, who knows about these topics, but that colleague doesn't seem to exist.\n\n-Recent conversation on the street of the capital city of Tygon\n\nTrew \\- 25\n\nWhat a magnificent day!\n\nTime just flew by. I remember waking up nervous, spending time with Dad and the guys, getting dressed, going to the church and standing there by the preacher, still nervous. Then Danielle entered and began walking down the aisle, and I no longer felt nervous.\n\nNow it's two a.m.\n\nThe vows have been said, the meal served, the dances danced, the bouquet and garter thrown. Everything was perfect. It was a small crowd, but somehow I kept getting the feeling that millions of people were watching us. Maybe we're popular in this game we're living in and a big audience tuned in to watch us somewhere else. That's a nice thought.\n\nNow, just like that, the day is over. The present has become just another memory of the past, and I'm lying here in bed with my gorgeous bride, smiling as she rests her head on my shoulder, savouring every detail so that it's burned into my brain for as long as I can hold it.\n\n\"Great day, huh, babe?\"\n\nI kiss her forehead and close my eyes. \"It sure was, love.\"\n\n\"Quick, though.\"\n\nI laugh. \"I was just thinking the same thing.\"\n\n\"How do we top a day like this?\"\n\nI lean forward and bury my face in her hair. I'm drifting off to sleep, but, before I do, I say, \"Oh, I'm sure we'll think of something.\"\n\nThe sky is clear and crisp, full of stars. Brandon stood in the cool night on the balcony of his penthouse, sipping a brandy.\n\nLilith opened the sliding door and stepped out to join him. \"Well, today was a special day, Brandon.\"\n\nBrandon continued to look at the stars. \"It certainly was. The kids did extremely well. They're naturals at entertaining the masses, even though they have no clue that's what they're doing.\"\n\n\"Maybe.\" Lilith said uncertainly. \"You heard Trew. He felt like millions were watching.\"\n\n\"Yes, but there's no way he could know he was right.\"\n\n\"Still, it was a great show for the world and a happy day for our players.\"\n\n\"For us, too.\" Brandon raised his glass in salute. \"It's nice to have a relaxing day.\"\n\n\"The easy part is over now. Our babies are all grown up and married. Now they start to really play the Game.\"\n\n\"You look sad, Lilith.\"\n\nShe reached up and wiped a tear from her eye. Brandon walked over and put his arm around her. \"I am sad,\" she said. \"It might be just a Game, but they come back changed, and most times it isn't for the better. One child enduring lifetimes of pain and sorrow. I don't think I can take it anymore, Brandon. This will be my last player sponsored, I think.\"\n\n\"Mine too.\" He silently decided that now was not the time to tell her the Game would soon end and no more players would enter ever again.\n\nLilith buried her head in Brandon's chest and began to weep.\n\n\"Lilith, this is more than a little nostalgia. What's the matter?\"\n\n\"She didn't have enough points to spend, Brandon,\" her chest heaved as she sobbed. \"I hope she's strong enough for what's coming.\"\n\nBrandon wrapped his arms around her and held her for a long time.\n\n48\n\nThis game we play, just like the life we live, is filled with contrasts. It has to be. Being warm is much better if you have known what it is to be cold. The light is a welcome break from being surrounded by darkness. Earth is contrast. Nothing is bad or good, things simply lean toward one side of the spectrum or the other. Some periods in a person's life are full of confusion, peril, and pain, while others are filled with clarity, safety, and pleasure. I advise you to slow down and enjoy yourself when things are good. It can go on for years, but don't waste one precious moment of the good times. Because the bad times always appear and, if you haven't built up your reserves during the good times, you may not make it through the bad.\n\nExcerpt from Earth book The Game is Life\n\nGeorge Knight (avatar)\n\nBrandon called the meeting to order and the team sat, ready to listen. There was no scrambling for last-minute updates or whispers to get details for Brandon when he called for them. It was a calm time for their players and the team had taken advantage of the break to get their reports in order.\n\nMichelle looked as if she had actually gotten a few hours' sleep.\n\n\"What details do you have for us, Michelle?\"\n\n\"Everything is quiet. Our newlyweds have settled into their new home and careers without incident. They are active in their community and living normal, boring lives.\"\n\n\"Boring can be good sometimes.\" Lilith looked up from reading reports. \"How long have they been married now?\"\n\n\"Three years.\" Brandon furrowed his brows and looked at Michelle, who nodded.\n\n\"Trew is twenty-eight and Danielle twenty-seven\" Lilith said. \"No babies yet?\"\n\nMichelle smiled. \"That's why we're all here today. To celebrate the announcement of Danielle's pregnancy.\"\n\nEveryone in the room smiled. A few people gave little cheers. Brandon sighed and looked at Lilith, who closed her eyes and shook her head. \"This is wonderful news,\" Brandon said. \"How far along is she?\"\n\nMichelle pulled up a chart on the screen beside her. \"A few weeks. She's taken the test and the two of them know. It's too soon for them to share it with their families.\"\n\nBrandon nodded. \"Let's all keep a close eye on this development, please. I also want to know what player ends up getting this avatar. It's going to be an expensive life to buy into so let's make sure the player buying in to be Danni and Trew's child is worthy.\"\n\nThe rest of the meeting was filled with standard details of the young couple's lives. Danielle was running her own alternative medicine practice and enjoying phenomenal success. Trew was working as a middle sales manager for a multinational company, leading a team of twenty employees. Thankfully, he was home almost every night, and their relationship was not suffering due to their jobs. Both of them were happy and fulfilled; everything was terrific.\n\nAs the meeting let out, Brandon asked Michelle and Nadine to stay behind. Lilith also stayed.\n\n\"Michelle, you're Zack's Right Hand, and Nadine, you're Alexandra's.\"\n\nThe two ladies nodded.\n\n\"Tell me the challenge we face with this pregnancy.\"\n\nNadine's face was serious. \"The odds of this baby being born are slim to none.\"\n\nMichelle looked alarmed. \"Why?\"\n\nLilith spoke up. \"Because having a healthy child involves spending points in Luck. Significant points. When a player chooses to be a female avatar and have children, she must spend credits on luck for a successful birth.\"\n\n\"Ah, of course.\" Michelle nodded. \"None of my players have ever lacked for credits.\"\n\n\"Unfortunately, now they have.\" Nadine shook her head and looked down at the table. \"Alexandra didn't spend a single point in this area. She didn't have enough points for even the basics, let alone having a child.\"\n\n\"Which she was fine with, because the odds of meeting someone and getting married was also not in the Game plan. She had no credits to spend in romance, either.\"\n\n\"Ladies, let's focus on the positive for a minute.\" Brandon held up his hand. \"If memory serves me correctly, this girl didn't have credits to spend on one of the best Eternals in the Game either, but he walked her down the bloody aisle on her wedding day.\"\n\nEveryone nodded.\n\n\"You just said she didn't have a chance to find love either, based on the credits she spent. Someone show me a loveless Danielle, because all I see is an avatar who has one of the best relationships on Earth.\"\n\nLilith sighed. \"You're right, Brandon. She's not having a normal play with the credits she has invested. Perhaps the baby will be fine.\"\n\n\"That's a better attitude, thank you.\" Brandon smiled. \"Still, to be on the safe side, let's put a few support players in place in case things don't go as positively as we now expect them to.\"\n\nHe handed Michelle a tablet with a list of players currently in the Game and available to 'coax' into key support roles. \"Here's what must be done. Twenty-four hour monitoring and support until this baby is born. At the slightest sign of a problem, we go into extreme crisis mode. We will do everything we can to make sure the kids stay safe and they have a beautiful little baby. Sound reasonable?\"\n\n\"Absolutely.\" The ladies all nodded.\n\n\"Okay, then. Let's get to work.\"\n\nLilith pursed her lips and looked down at her tablet. \"I want Angelica in on this too, please.\"\n\nBrandon tilted his head and looked at Lilith for a second before nodding. \"Agreed. She will inform the Timeless near the kids. It can't hurt to have them keeping an eye out as well.\"\n\n49\n\nThe master computer, which I call God, speaks to us all the time, but few appear to hear it. I don't think it's because we're too busy to listen (although often we are). I think we simply don't understand how the communication is being presented, so we don't recognize that someone is actually speaking to us. The supercomputer speaks to us in a very subtle way. At first, you can hear it in the way the wind blows, or in the strange silence that comes over a busy park for just a brief moment and then is gone. At this point, most of you will laugh and say this is not possible. You will never fully communicate with your God if you cannot accept and learn to recognize the first steps. Once you learn to recognize these, the next and more direct forms of communication can be noticed.\n\nWhen you're petting a cat, and its eyes focus on something behind you, and then it gets strangely calm and starts to purr even louder. You think about a friend you haven't heard from in years, and see them sitting in a crowded restaurant soon after.\n\nIf you are able to sense the presence of your Creator at these moments, you become ready to handle more direct contact as time goes by. If you practice enough, then perhaps when the more direct communication arrives, you are able to participate and truly interact with the Divine. When grave trouble finds you\u2014and, make no mistake, it will\u2014it is very comforting to be able to communicate with your God. Sometimes it is the only thing that can save you from madness.\n\nExcerpt from Earth book The Game is Life\n\nGeorge Knight (avatar)\n\nTrew \\- 29\n\nI have a ritual for leaving my work behind me when the day is done. I get into my car, close the door, place my hands on the wheel, and announce out loud that the work day is done. I drive home, listening to the radio or a book on tape\u2014nothing to do with sales\u2014and just visualize all of the stress and anxiety of the day seeping out of my body and dropping onto the road behind me. By the time I get home, I'm ready to walk through the door and be devoted to my dear pregnant wife and the life we've built together.\n\nThings are good. I'm making a six-figure income and learning a lot about people and how they think. Danni is also making a six-figure income and helping people feel better each and every day with her own spiritual healing centre. Most of the time we just get up and go about our daily routine, but every so often I feel like I'm in a daze or sleepwalking. Is this what life is meant to be? Danni feels the same way, but it seems that this is what society wants from adults. The time to run around and play games is over.\n\nThat doesn't even sound right, does it?\n\nI think we're getting bored, but are accepting it because that's the best environment in which to bring up a baby. Once he or she gets here, our lives will be focused on them. For the next twenty years (or our entire lives, according to Dad), this little bundle of joy will be the centre of our universe. I'm so excited that it is difficult to wait.\n\nI think being a parent and helping to guide a young soul through this world will be one of the best things I ever do. Just a couple months now, and the baby will be here. It's gonna be awesome.\n\nI open the front door and immediately something doesn't feel right. It's too quiet. Usually, I can hear the television and Danni will call out a greeting from the kitchen where she's already started dinner. Tonight, it's silent. Maybe she's working late or went to her mother's place for a visit. Her mom is really excited about the baby and Danni has been spending more time over there as the date gets closer.\n\nI look to my left and see her work materials sitting by the door. She's here. Why can't I hear her?\n\n\"Danni? Where are you, babe?\"\n\nI walk down the dark hallway toward the bedroom. Maybe she's exhausted and decided to grab a little nap. The bedroom's empty, but I know she's here. The silence doesn't feel right. I run to the kitchen, calling out her name again.\n\nI peek around the corner and look into the kitchen. She's not here. I flip the light on and walk around the centre island toward the sink. My foot hits something, and I look down.\n\nOh, Christ.\n\nThere she is. Lying on the floor. Curled up into a tight ball, pale as a ghost and not moving.\n\n\"Danni!\" I yell and drop to my knees. Oh, God, please be okay. She's so cold. I put my head to her mouth and hear a slow, faint breath.\n\nI'm already dialling 911. The phone begins to ring and I look around as my vision begins to blur and my heart pounds in my chest. I don't know what else to do.\n\nPlease don't die, Danni.\n\nDamn it.\n\nPlease don't die!\n\nI'm in hell.\n\n50\n\nI don't get too upset about what happens to players inside the Game. I mean, it's just a game for our entertainment, right? Yes, I guess they do feel things while they are inside, but it can't be anywhere near what we feel out here in real life, right?\n\nNo, I never considered how that might affect them once they come out of the Game.\n\nIt's not real, so what's the big deal? Actually, when I think about it, I realize those kids are lucky. When I went to school, I had to sit in a classroom and was bored out of my mind. I'd love to just plug in and go having fun adventures for years and years.\n\nI'm sorry, can you repeat the question again? What if I had a life where I just did the kind of things I do now? Then I had to do it over and over again?\n\nI never really thought of it that way. I guess it could be pretty bad but still better than failing out, right?\n\nWell, if a player gets stuck in that type of loop, I just stop following them and tune in to someone more exciting.\n\nMe? I work at the computer chip facility on the line. No, I guess my life wouldn't be too exciting to follow, but what can I do? This is real life so I'm stuck doing what I have to in order to survive. If I was living in the Game, I know for sure that I'd take more risks and do exciting stuff. But I'm not. So . . .\n\nInterview with a local Game fan\n\nBrandon was halfway through the door when he began asking questions. \"What's the diagnosis?\"\n\nThe room was silent. No one looked up. Some of them were crying.\n\nBrandon scowled and opened his mouth, then closed it and took a deep breath. He wanted to scream at them to calm down and act like the professionals they were, to earn their pay for a change and deliver him a miracle. If they knew what was really on the line here they would melt down completely. Instead, he took a couple of breaths and forced himself to smile.\n\n\"Michelle\"\u2014his voice was calm\u2014\"what's the diagnosis?\"\n\n\"There is no detectable brain function. She's dead by definition. There's no hope, Brandon.\"\n\nBrandon knew that wasn't true. If her avatar was dead then the Game would be shut down and over a billion children would be lying dead on their Game tables all over Tygon. \"It's important that no one pulls the plug on her. Do we all understand this?\" Heads nodded. \"Angelica, tell me there is no danger of that happening.\"\n\n\"We're safe in that regard, Brandon.\" Angelica reclined in her chair beside Lilith at the other end of the large table. \"Three Eternals are within twenty feet of her. Either Raphael or Stephanie is in the room at all times. No one is pulling any plugs.\"\n\n\"What about Trew?\"\n\n\"He was hysterical,\" Michelle said. \"We thought he was going to rip the hospital down. Then he went to the chapel and prayed for a good hour. After that, he came back, and he has been as calm as, well, as cool as you seem to be.\"\n\n\"She's not going to die.\"\n\n\"Trew said the same thing and the tone of his voice sounded exactly as dangerous as yours does right now. At the moment he's sitting beside her, waiting. The doctors and nurses have been in and delivered more terrible news. She lost the baby. Danielle's internal bleeding has slowed but, for some reason, they can't stop it. They are encouraging him to let her go. He said she'll be okay and, since he has absolute say over when to stop life support, she will remain plugged into the machines. Friends and family are flocking to give their support. He's not alone.\"\n\n\"What do we do?\" Brandon looked around the table. He was answered with silence.\n\nFinally, someone mumbled something from his right side.\n\n\"What was that?\" Brandon's head swivelled to look at the speaker. \"I didn't hear what you said. Speak up.\"\n\nThe young man continued to look at his tablet. \"I said maybe we could pray.\"\n\nA woman on the other side of the table sniffed at the suggestion. \"Pray to whom? Tygon doesn't have a god. Even if we did, why would we bother to pray for a video game character?\"\n\nThe entire table stared at her. She looked surprised at her own outburst and began to stammer an apology, but Brandon held up his hand to silence her. He stared at her as her eyes darted from left to right, looking for support. He lowered his hand to the table, his gaze not moving.\n\n\"Out you go, Claudette.\"\n\n\"Where?\" She looked at the people sitting near her and her eyes widened. \"Oh, I'm sorry, I didn't mean\u2014\"\n\n\"You're done Claudette. I don't care where you go or what you do, but you better stay out of the circles I inhabit, which will be a challenge for you. Leave. Now.\"\n\nThe woman stood and left the room. No one spoke or moved.\n\nBrandon looked around the table, his eyes flat. \"She did that to herself. I won't accept that kind of attitude, and I've noticed that it is a growing sentiment in this society of ours. In my opinion, it is the poison that will destroy us all if we let it.\"\n\nBrandon looked back to the young man who had spoken up. \"Tell me more about your idea, please.\"\n\nHe nodded and cleared his throat before speaking. \"As a society, we no longer believe in a god because we see no evidence of one. But maybe we see no evidence of one because we no longer believe in its existence. If the Game can have one, why can't we? If our population can appeal to help Danielle inside the Game, maybe enough Patrons and influencers will do what they can to move their players to also focus inside the Game on her. Or, it might be a case of our positive energy flowing into the Game and helping to influence it in some way.\" He shrugged. \"There's nothing else to do, it's better than doing nothing.\"\n\nMichelle shook her head. \"No disrespect intended, sir, but what we're talking about here is real, at least from a Game perspective. This idea doesn't make much sense.\"\n\nBrandon nodded. \"I agree, Michelle, but we are helpless to help inside the Game. Could a game renew our faith in the divine? It's ridiculous, but I also know everyone on Tygon is watching Danielle in her bed right now. The numbers you showed me indicate our world has stopped functioning. Everyone who follows the Game has taken Game days to watch what unfolds. We have their undivided attention. Let's ask them to do the impossible\u2014to pray for Danielle.\"\n\nAngelica shrugged. \"It will be good for Game ratings in any event.\"\n\nBrandon wanted to reprimand her, but he simply nodded. For thirty years, Game ratings affected everything from the stock market to food production and tourism. Tygon existence rested on the Game and performance of its players. Claudette had crossed the line by disrespecting the children living and dying inside the Game, but it was acceptable to be focused on the ratings. Just because Brandon's goals were bigger wasn't anyone else's fault. He'd built this beast; he had to live by its rules. \"Okay, then. Pray for Danielle. What an interesting idea, that a video game could make us believe and speak to, something more than what we can see and touch. Let's try it.\"\n\n51\n\nFor hours now, everyone around the world has been glued to their viewers. Industry, trade, and commerce has all come to a complete stop as fans everywhere wonder the same thing. Will Danielle survive? What will this mean for our favourite player, Trew?\n\nTygon has started to pray. After decades of silence, millions of us are bowing our heads and appealing to someone to help the two lovers inside the digital world survive this terrible tragedy. Will it help? Common sense says no, but that isn't stopping the majority of fans from embracing Brandon Strayne's heartfelt plea. Millions of Tygon citizens have begun to pray.\n\nThere are only brief hours left in Danielle's struggle. Our entire world watches and hopes for a miracle while, on Earth, only one man and his dear friends sit and wait for something magical to happen.\n\nLisa Rohansen, Live report on Zack Channel 42\n\nThe elevator door opens.\n\nTwo hospital orderlies are walking past and immediately stop, their heads turning to look at the two men as they emerge.\n\nBoth men are tall. One with sandy, brown hair is six-foot-two. The other, with hair like spun gold, is at least six-foot-four. They are dressed in designer suits, complete with all the accessories one would expect a model or movie star to wear. As they step away from the elevator, everyone nearby stops and looks at them as if compelled to do so. The men smile pleasantly, nodding at each and every person, touching them as they walk by. At the moment they are touched, the person closes their eyes and a look of joy spreads across their face.\n\nThe shorter man heads down the hall while the taller one lingers, speaking softly as he continues to give attention to each person along his path.\n\n\"Excuse me.\" The man with sandy brown hair addresses the nurse sitting at her desk. His voice is like liquid copper, dripping with honey and warmth. The nurse looks up and smiles as if in mild ecstasy. His eyes are the deepest blue with bright platinum-coloured flecks swirling lazily inside the irises, like fish in a summer pond. \"I'm hoping that you can direct me to Danielle Radfield's room please.\"\n\nThe woman nods, reaching out her hand toward him. He grasps it, and her smile widens. \"Yes, you can find her in room thirty-three, just down this hallway and to the right. Shall I take you there?\"\n\n\"Thank you kindly.\" The taller man stands behind behind his colleague. His voice makes the nurse feel as if golden light is shining down on her while she sits in a peaceful green meadow. \"We can certainly find our way from here. Thank you, Margaret.\" The nurse nods and stands, leaning out over the desk to watch them as they continue down the hallway.\n\nEventually, the two men are standing outside the closed door of room thirty-three. \"I'll wait out here for a few moments.\" The taller man says.\n\nThe other nods and knocks before entering the room.\n\nThere are four people inside. Trew stands off to one side of the bed, whispering to Raphael and Stephanie. They appear calm in spite of the situation.\n\nRaphael looks toward the door first and his eyes light up with recognition and joy. He closes the distance and grabs the man in a fierce embrace, the way dear friends do when they haven't seen one another in a long time. The man returns the hug with even more emotion, laughing. \"Easy, my young Brother. You'll crush the very life from me if you're not careful.\"\n\nThe two hold each other for a long moment and, when they release each other, Stephanie is already pushing Raphael to the side as she flings herself against him, laughing with delight.\n\n\"That's it, little Sister.\" He laughs. \"You have totally ignored my warning to Raphael and attempt to crush me like a tin can.\"\n\nStephanie giggles and buries her head in his shoulder. When they separate, both wipe tears from their eyes.\n\n\"Trew.\" Raphael says. \"Please allow me the honour of introducing you to our dear big Brother, Gabriel.\"\n\nTrew looks at Gabriel and extends his hand. Gabriel grips it. \"I am pleased to meet you, Trew. I've heard so much about you. I apologize that we must meet under such troubling circumstances.\"\n\n\"It's good to meet you as well, Gabriel, although I have to apologize. I've never heard of you before this moment from either of your siblings. As a matter of fact\"\u2014Trew's eyebrows raise as he looks between Raphael and Stephanie\u2014\"up until this moment, I didn't even know you two were siblings.\"\n\nGabriel laughs. \"We are siblings, not in blood, but in spirit. Forgive them their secrets, Trew. They are required to keep as many as they can for as long as possible. What we are doing today hasn't occurred in a very long time on Earth.\"\n\n\"What's happening?\"\n\n\"You shall see soon enough, young man,\" Gabriel assures him. He turns to look at Raphael and Stephanie and his expression becomes more serious. \"Every option has been considered as to how we can save this girl's life.\" He points toward Danielle lying in the bed. \"All of us know that she is almost gone.\"\n\nEveryone nods.\n\n\"Recent developments have presented a possible solution.\" Gabriel looks seriously at Trew. \"It is risky, and may not work but, if you wish us to make one final attempt, I will do what I can to save her.\"\n\nTrew goes back to the bed and cradles Danielle's head in his hands. \"She is everything to me. I can't face this life without her.\" He looks up and there are tears streaming from his eyes. He lays her head on the pillow, turns to face Gabriel, and nods. \"Please do what you can to save her. She's my world. Without her, I am lost.\"\n\nGabriel nods. \"As are we all, Trew.\" He smiles and pats Stephanie on the shoulder. \"Prepare yourselves, then. I have a great surprise for all of you.\"\n\nGabriel opens the door and sticks his head out, nodding for the man in the hall to come into the room.\n\nHe walks in smiling with arms spread and palms turned up. Raphael and Stephanie both gasp and stare for a moment before dropping to one knee and bowing their heads. An enormous grin is on each of their faces. The man touches each of them on the top of their head, and they look up at him.\n\n\"Please, Children.\" His voice is deep and full. \"Don't fall down. Stand up and give me a hug.\" The two stand and hug the man, first Raphael and then Stephanie. There is whispered talk between them, followed by laughter, and then the group is standing back again so Trew can step forward.\n\nTrew walks closer to him and is immediately captivated by his eyes. They are the deepest green with gold flecks swirling in them. Trew has a flash of memory. He remembers wearing a bracelet, green with swirling gold flecks. The memory is vivid, but he knows that he was not Trew, then. He was someone else, someone younger. The vision is confusing but powerful.\n\nThe man breaks the memory by addressing Trew in his rich voice. \"It is a great honour to meet you, Trew.\"\n\n\"Who are you?\"\n\n\"I am the answer to millions of prayers, my boy.\" The man smiles. \"The bringer of truth and the deliverer of miracles. That is all which can be said at the moment. Many would not believe who I am if I were to say my name. Regardless of what I am called, I am the only one who can possibly bring her back. Now, shall we get down to business?\"\n\nTrew nods, moving out of the way as the man strides toward the bed to look down at Danielle. He places his left hand under her head, and his right hand gently rests on her heart. \"Okay, little bird,\" he says in a soothing, playful tone. \"It's time to leave that peaceful place and come back to us for a while longer.\"\n\nHis eyes close and the smile on his face widens. A humming begins to emanate from his body, and a warm golden glow appears from his hands and spreads to encompass Danielle. The hum increases in volume and the glow fully envelops her.\n\n\"Miracles can happen, Trew.\" The man's voice is both quiet and loud at the same time. He looks up and the gold flecks in his eyes dance. \"When enough people believe and come together, miracles can happen.\"\n\nHis gaze sharpens as he locks onto Trew, as if he's speaking to something or someone inside of him. \"You all saved her, today. Stop doubting and start believing again. It's time to wake up to the truth.\"\n\nHe widens his eyes and a tremendous clap of thunder throws Trew to the floor.\n\nWhen he looks up, Gabriel and the taller man are gone. Only Raphael and Stephanie remain, lying on the floor as well.\n\nDanielle is still in her bed and her eyes open. She blinks and reaches out for Trew.\n\nHe runs to her and wraps her in his arms, sobbing with joy.\n\n52\n\nNo one knows for certain what we witnessed today.\n\nThrough Trew's eyes, we saw that Danielle's life was saved by a miraculous stranger. Who were these two men that walked in like angels and disappeared the same way? Were they the fabled 'Timeless'? Do we finally have proof that they exist and, if so, what does this mean?\n\nTrew's following continues to be the highest of any player to ever enter the Game. There are, of course, other factors involved in the ranking process, but fans all over the world believe that Trew will achieve what he obviously set out to do: finish this play ranked number one.\n\nSome of the big questions being asked all over Tygon right now are:\n\nIf the Game exactly mirrors Tygon, are such miracles possible for us as well? Did our praying affect events inside the Game? If these were Timeless, do they walk among us on Tygon as well? Who was the mysterious stranger and was he actually speaking to us when he said, 'Wake up to the truth'?\n\nMost of Tygon will be sitting in front of their viewers today as we watch and hope to discover answers to these questions and many others.\n\nExcerpt from The Fan - 'Your source for Game updates all day'\n\nLisa Rohansen reporting\n\nTrew \\- 29\n\nThe doctors come in and order a barrage of tests for Danielle. They kick us out of the room and look her over for about an hour, taking blood, asking her questions to make certain there's no brain damage, doing scans to determine brain function, lots of things I don't really understand.\n\nDuring that time, I say nothing about what just happened to Raphael or Stephanie. We sit downstairs in the hospital cafeteria, drinking coffee and making small talk about what we think is happening with my girl. A few times their eyes become serious and they start to say something, but I hold up my hand. They nod. We will talk about it with Danielle present once we go back to her room.\n\nI get a call from the nurse's desk and we return to Danni's room. She's sitting up in her bed looking as healthy and energetic as ever. There's no sign of the weak, dying girl from just a short time ago. Her eyes are sad. She knows our baby is gone. I walk over and hug her, tears in my eyes. I hold her for what seems like only a second but is likely long minutes. Finally, I let her go and kiss her cheek.\n\n\"You gave us quite the scare there, love.\"\n\n\"That's what they're telling me. I'm sorry, Trew.\" Her voice cracks, and her eyes say it all.\n\nI smile and wipe her tears away. \"There's nothing to be sorry for, my sweet girl. You're back with me now and you look healthy as can be. Just don't ever do that again and everything will be fine.\"\n\nRaphael and Stephanie come forward and embrace Danielle, telling her how happy they are that she pulled through this. She smiles and accepts the praise as well as she can. We all pull up chairs around her bed.\n\n\"What happened? The last thing I remember is getting home from work and not feeling well. I walked to the kitchen for a drink of water, felt a stabbing pain in my belly, and then I was with her until I woke up. That's all I can remember.\"\n\n\"With her?\"\n\nDanni smiles. \"I'll tell you about that later. Fill me in on what I missed.\"\n\nI go over the details\u2014going home and finding her on the kitchen floor, the rush to the hospital, the days of watching her fade away in bed, and the doctors informing me there was no hope. Then I tell her about the two strangers, Gabriel and the other man, coming in, and the events that occurred.\n\n\"Wow, that sounds incredible. I'm sorry I missed seeing it. Gabriel sounds wonderful, and this other man, well, they both sound like angels.\"\n\nI nod. \"Sounded like, looked like, acted like. They fit the part of angels exactly.\" I look at Steph and Raph, who've been quiet the entire time. \"Is that what they were?\"\n\nThey look at each other and Stephanie nods to Raphael.\n\nRaphael takes a drink of water from his bottle. \"They aren't angels, but that's one of the names they've been given over the ages. Them and others like them.\"\n\n\"Others like you?\"\n\nRaphael looks at me and shrugs. \"I know you're going to have a million questions, Trew, and that's to be expected. That I can answer any of them is very surprising to me, but I've been given permission to tell you about us.\" He holds up his hand when I take a breath to speak. \"Perhaps it's best if I tell you what I can without interruptions. That way I can present the details in an order where they make the most sense. You can ask me questions after, but there won't be much more that I can tell you, likely. Perhaps a few little things, but not much.\"\n\n\"Okay.\"\n\nStephanie laughs. \"Don't worry, Lobato, I think you'll be happy with the information we do share with you.\"\n\nI look at Danielle. She shrugs and smiles at me. I pull my chair closer to her bed and nod. \"Okay, then. Tell us what you can.\"\n\n53\n\nI regret my seventh life in the Game.\n\nIt was amazing. Everything worked out perfectly, with just the right mix of triumph and tragedy, success and happiness. Today, it is still a big source of income for me via Firsting sales. I played many times after that, but none turned out even half as well.\n\nI'm very wealthy as a retired player, and I owe it all to my seventh life.\n\nThen why do I regret having lived it?\n\nBecause I have a vivid memory of how good things were, and how they could be. My real life is nowhere near as good as my seventh life was in the Game.\n\nI could have tolerated this life because it's still very good. However, knowing how much better it could be makes me sad to be stuck in this one. I know it probably doesn't make sense to most people, but it's the truth.\n\nJ. Danielson, retired player\n\nRaphael\n\nAlright, A. No scrambler, as you have instructed. Everyone on Tygon is going to see this conversation through Danielle's and Trew's eyes. I can only imagine what the reaction is going to be like with Game fans.\n\nI look at Trew and Danielle sitting before me. Okay, then, here it goes.\n\n\"What George wrote in his book is correct. The world that we are living in, Earth, is a computer simulation, a Game. There are some here who know this for a certainty because they retain their memory of the real world that exists beyond this one.\"\n\nI watch their reaction. Neither says a word, but they both look at each other with 'I knew it!' expressions.\n\n\"I can't get into the specifics of what this world is for\u2014that's more than I have permission to tell.\" I smile at them. \"Over the centuries, some individuals have come close to guessing. Religious and spiritual teachers grasp some of the key concepts, but none have been able to identify the entire purpose for your existence here on Earth. Maybe someone will get it totally correct, some day.\n\n\"Here's the basic idea: you log into the Game, and you're born. You live your life as best you can. Then you die and return to your real body, taking the lessons you learned and memories of the experiences with you. Many return to live multiple lifetimes in this reality, and many do not. Each individual who lives here retains no knowledge of the real world, except on rare occasions when a bit of residual memory remains. In other instances, an individual sees clues and formulates an educated guess which can then grow into belief and faith. For the most part, this isn't a dangerous thing because no one else believes the individual. If, by some small twist of luck, others do believe, then the person can develop a small following which turns into a religion. Most never grow to any significant size. Some do.\n\n\"When this simulation was created, it was done in the same way that game developers here bring a game to market. Designers and players inhabited the Game first to work out the bugs and make sure it ran properly. They were the beta testers, and they played with total knowledge of what it was, so they could help finalize the Game and make it ready for launch. When all of the kinks were worked out, the beta testers left, and the world was populated with real players, people like you. Some beta testers were asked to remain behind and others were invited to be inserted into the Game at different times throughout history, as required. That is what we are. Expert players who remain in the Game to help with troubles that arise as well as perform tasks to help this simulation proceed as designed.\n\n\"We're called Timeless, and there are many of us around the world with different abilities, jobs, and responsibilities. We vary in age from just a few decades to thousands of Earth years old, but we all share two common traits: we can never get sick or age, and we have full knowledge that this is a simulation, and a real world exists beyond this.\"\n\nI pause a moment to let the information sink into their brains. No questions from Trew. I'm not sure whether to be relieved or concerned.\n\n\"Two factions of Timeless have formed over the millennia. One faction is concerned with helping by doing good, and the other causes misery and strife in the world. The first group are named Eternals, while the second group call themselves Infernals. Trew, you met an Infernal by the name of Carl when you were younger.\"\n\nTrew nods.\n\n\"Many of us have been both Infernals and Eternals during our time inside the Game. I've been an Infernal for the past thousand years. Before that, I was an Eternal, but that was a long time ago. When Danielle was born, I became an Eternal once more.\"\n\nTrew opens his mouth to speak. I hold up my hand, and he remains silent. \"Sometimes individuals learn about our abilities and we are forced to reveal ourselves for what we are. That's what happened here with you two. It's impossible to ignore that there is something different about us. Over the ages, the humans, or players as we call them, who learn of our existence, have given us many names. God, demons, angels, devils, seraphim, genies, sprites, the list is long. Most stories that contain strange and powerful creatures are about us.\n\n\"Knowing that we are inside a Game allows us to manipulate the system. It can be dangerous so we are careful not to use our abilities more than necessary in order to maintain secrecy and keep the simulation functioning correctly.\n\n\"There are strict rules that govern how this universe operates. When we bend those rules, everything changes to accommodate that. The universal rules alter, which then allows anyone living in this reality to bend them in the same way. Let me give you an example. A few decades ago, it was impossible for a human to run a mile in under four minutes. Physically impossible. The laws of science and the universe wouldn't allow it. Then an Eternal ran just a bit faster than he should have during a fairly major incident. That Eternal ran faster than humans could, and, as a result of that, the universe changed the physics to compensate. A few years later, a man by the name of Roger Bannister ran the mile in under four minutes. A short time later, sixteen more people did the same. Today, a high school student can do it if she trains and focuses just a bit. Anyone can now do something that was impossible until the rules were changed to allow it.\"\n\nDanielle whistles, and I nod.\n\n\"Thankfully, most people playing in the Game have no clue that they might be able to do extraordinary things, so they never even try. That's a good thing because the Timeless have done many 'impossible' feats over the ages. It's entirely possible for humans to do things like fly and breathe underwater for short periods of time.\"\n\nThey look surprised by my statement. I nod. \"I doubt anyone can get there mentally, but that's the only thing standing in the way.\"\n\nI take another drink of water and look at both of them. \"That's who and what we are. Trew, you were fortunate enough to meet Gabriel, one of the oldest and most powerful Eternals on the planet. The longer we're here, the more powerful we become, and Gabriel was one of the first. The other one, the being who brought Danni back to us, is much older than any Eternal or Infernal. His kind was here before this version of the Game even existed. This is only the third time I've been in the presence of one. Stephanie?\"\n\nStephanie smiles. \"He was my first. I thought up until now that they didn't even exist.\"\n\nI chuckle at the idea. A Timeless with all her knowledge can still meet a myth.\n\n\"That's about all I can tell you. There is more\u2014much more\u2014but this is enough for today. I'm sure that, in the years ahead, you two will get little tidbits of information from us if we're allowed to share it, and the indications are that we will. Any questions?\"\n\nTrew thinks about it for a few seconds and then shakes his head. I chuckle. Of course, he won't ask questions now when I'm ready. Trew slides questions into a conversation, and it's often not until you answer them that you realize what he's done.\n\nDanielle nods her head and I smile. \"Go ahead, dear girl.\"\n\n\"How is it that you don't grow old and die? Is it possible for us to do the same? To live forever?\"\n\n\"Timeless can be killed, although it's a difficult thing to do, and it doesn't happen often because of our skills and powers. As for how we are able to live so long, there is a price for everything.\" I sigh and look at Stephanie.\n\nStephanie nods. \"The price we pay for not aging is high. When a normal player enters the Game, they leave their real body lying on stasis on a table. That body can only exist for a certain length of time without you in it\u2014a couple months, tops. We age differently in here so a couple of months out of the Game is equal to roughly eighty to one hundred years inside. We follow the same rules as you do in that respect so, when we are offered the opportunity to become an Eternal, to live hundreds or thousands of years inside the Game, we give it serious consideration before accepting because . . .\" She lets the sentence trail off.\n\nDanni gasps. \"Because the price you pay for living for a long time in the Game is that your bodies die in the home reality?\"\n\nI nod. \"That's right. When we die here, we cease to exist everywhere.\"\n\n54\n\nBrandon sat by the phone, waiting for it to ring. He considered pouring a drink but decided that he didn't feel like one. The day had been hectic and long, but it he wouldn't consider it complete until he received the call.\n\nThe phone rang.\n\nBrandon closed his eyes and rolled his head in a slow circle. Then he opened his eyes and answered the phone, holding it away from his head for the count of three. He wasn't in the mood to hear the unpleasant clicks and beeps which secured the line and grated on his nerves. After three, he forced himself to smile and placed the phone to his ear.\n\n\"Tell me\"\u2014his Father's voice sounded pleasant, but Brandon could hear the fury beneath\u2014\"that you did not have anything to do with what just happened on millions of viewer screens around the world.\"\n\n\"Millions?\" Brandon asked. \"It must have been at least a billion, Father. Factor in that most households have more than one viewer, and it's probably billions.\"\n\nThere was complete silence on the other end of the line. Brandon felt like a ten-year-old boy waiting to be punished by a man who expected nothing less than perfection. He looked out the window at the stars above, waiting for his father to speak.\n\nMinutes passed. Then, for the first time in Brandon's life, it happened.\n\n\"We don't have time for this nonsense boy. Answer my question.\"\n\nBrandon was stunned. The old man had spoken first. In the age-old power play of conversation, he had finally beaten his father for the first time. He knew he should be pleased, but it wasn't as satisfying as he'd imagined. Growing up never is.\n\nHe nodded. \"I had everything to do with it. What do you think I am, some doddering old man? As you seem to enjoy pointing out to me every time we speak, time's running out. A bold move was required, so I made one.\"\n\n\"I told you to watch that girl.\"\n\n\"I have done more than watch her, I've brought her into our camp so I could help her. The girl has no Luck attributes inside the Game. The Mainframe put her into play and is pushing her to where she is now. Her getting sick and almost dying was never part of the plan. Her death triggering the Game to end was never part of the plan. Nothing to do with her was ever part of the plan, and yet, there she is. Standing front and centre, directly in my way no matter which way I turn, and stopping us from doing what needs to be done at every opportunity.\"\n\n\"Son.\" His father's voice softened. \"Confirming the existence of Timeless to Tygon citizens was a mistake. We are severely off-track.\"\n\nBrandon sighed. \"Then we stay on the train and ride it as best we can until it comes to a full stop, Father.\"\n\n\"If we fail . . .\"\n\nBrandon took the phone away from his ear and held it in front of his mouth. He took a deep breath and screamed at the top of his lungs, years of pent-up frustration pouring out in one tremendous roar. \"I know what happens if we fail! I hear no ideas from you, just criticism. I know what I did. I always know what I am doing. I'm playing this game as well as I can. No one else dared to step forward to take my place.\"\n\nHe stopped yelling and pulled the phone close to his lips. \"No one could beat me,\" he whispered. \"No one. Not even you. So.\" He shouted again. \"Let me play!\"\n\nWith all of his strength, Brandon raised the phone above his head and rammed it into the marble floor, smashing into hundreds of little pieces.\n\nFalling to his knees, Brandon looked up at the ceiling and screamed as loudly and as long as he could. Then he sat on the floor, his chest heaving.\n\nTime was running out.\n\n55\n\nTrew \\- 30\n\n\"I'm excited for you, Trew. This car is incredible. This specific model is the reason that I got into selling cars in the first place.\"\n\nMy pen freezes above the dotted line of the contract. I look up, expecting to see the car salesman giving me a false smile. I was hoping to buy from a nice guy, not some stereotypical lying salesman. He does appear sincere. I've become very good at reading people over the years, and this guy looks truly excited about the car that I'm buying. Who can blame him? It's one of the best new automobiles to hit the market in years.\n\n\"You're kidding, right? John, there's no way you became a car salesman just to sell this new vehicle.\"\n\nJohn shrugs. He's a medium-built man just a bit shorter than I am, about five-foot-ten. He has short brown hair, friendly eyes, and a comfortable manner about him. His energy is pure and friendly, if you believe in that type of thing, which I do.\n\n\"True story, I've never sold cars before this. When I was thirty-nine, my life was in great shape. I was approaching forty, and it looked like I was going to avoid the midlife crisis so many of my friends seemed to be experiencing. It turns out that life had other plans. Just before my fortieth birthday, I was downsized from my job, my wife of twenty years announced that she wanted a divorce, and I wasn't sure what to do. Late one night, I saw a commercial for this new car, and it just came to me. 'Why don't I give that a try?' I said to myself. Three months ago, I took a job selling cars, and here I am in front of you today.\"\n\n\"That's very interesting. I wasn't looking for a car, I was perfectly happy with mine. Then, a couple months ago, I saw the advertisement for this one and thought, 'I should really look into buying that car.' I kept putting it off, and then today, sixty kilometres from home, I was driving past and something just made me pull in to take it for a test drive. Now here I am, buying the darn thing from you.\"\n\n\"Well, maybe it has nothing to do with the car.\" John smiles. \"Maybe it was the supercomputer's big plan for you and me to meet each other.\"\n\nI feel a tingling sensation in my scalp. \"What supercomputer is that?\"\n\nJohn laughs and waves his hand. \"It's nothing. I just read a book a long time ago, and it stuck with me. It said we live in a computer simulation. A lot of people think I'm a crackpot, but the idea really resonated with me. I'm not a religious man, but if I were, it would probably be something that preached that message. I could get behind that.\"\n\nThe tingling intensifies, spreading to my ears and chin. \"Was the book written by a man named George Knight?\"\n\nHis laughter stops. \"Yeah. The Game Is Life by George. How did you know that?\"\n\n\"Because I've read it. Many times. A religion, huh?\"\n\nJohn laughs and shakes his head. \"Well, yeah. That's what I always used to say. I was lucky to read it before it was published. About three quarters of the way through, I said, 'George, this would make a very cool religion. You should\u2014\"\n\nThe tingling disappears as I sit forward and lean on the desk. \"You knew George Knight?\"\n\n\"Yeah, we were very good friends. I'm surprised you even heard of that book, let alone read it. From what I understand, it didn't sell very many copies. I always wanted it to do well for him. Sad life he had at the end. Poor guy.\"\n\nIt's like I'm in a daze. \"John? How would you like to cut out early and let me buy you dinner?\"\n\nHe smiles at me. \"You drive?\"\n\n\"Of course.\"\n\n56\n\nIt is with deep sadness that we learned our beloved Danielle won't be able to have children. The young couple handled the news as well as can be expected. On a positive note, Danielle made a full recovery thanks to the strange man who walked into her hospital room and miraculously healed her.\n\nRelated to this story line, digital downloads of the Earth book, The Game Is Life, written by the avatar George R. Knight, are topping the charts here on Tygon. The little book about the Game has sold over two million copies in the last two weeks across our planet. Who profits from these sales? George R. Knight was the avatar of Zack, so naturally all profits will go to him and his sponsor, Brandon Strayne. It looks like Zack is doing well not just inside the Game during this play, but also on Tygon as well.\n\nJoin us tomorrow for all-day extensive coverage of Zack's current avatar's birthday. How will Trew spend his thirtieth birthday? No one knows for sure, but don't miss a second of the day.\n\nGame News at a Glance, Lisa Rohansen\n\nTrew \\- 30\n\nWhat an incredible day.\n\nMy best birthday yet.\n\nI lay back in bed and go over it in my mind. Breakfast in bed, served to me by my lovely wife, followed by a relaxing drive to see my parents and have lunch with them while Danni excuses herself to go attend to something. A party for me, was my guess at the time. On the way back, on a whim, I stop into a car dealership and buy my birthday gift. I meet a stranger, and it turns out that he knew George Knight, the author of the book that's changed our lives and the way we see the world. Then I get a chance to take him out for a coffee and find out things about George that I've always wondered but never thought I would learn. Then, I spend the evening with my remarkable wife. This year I'm blessed and thankful that Danni is alive, healthy, happy, and still madly in love with me. I don't know how I'd live without her, and I'm thankful that I don't have to find out. Most people take so much for granted, but not me. Not ever.\n\nThat was my thirtieth birthday. If anyone happened to be watching me play this game of life today, I hope that they enjoyed the show.\n\n\"Today was the best babe. Thank you so much.\"\n\nDanielle snuggles into the crook of my arm. \"I'm glad you enjoyed it. Thirty's a big one.\"\n\n\"Nah, thirty isn't such a big number. The odds are great that I'm not even halfway done.\"\n\n\"What do you mean?\"\n\n\"I'm thirty today. If I double that, I get sixty. I have an excellent chance of still being alive at sixty, so I'm not even half of the total age I'll live. I have a lot of time left to live, which is great.\"\n\nDanni stares at me and then shakes her head. \"That made some kind of sense to you, didn't it?\"\n\nI laugh. \"I'm just saying it's good to be young with a lot of life left in front of me.\"\n\n\"Okay, that I can understand.\" She pulls me toward her for a kiss.\n\nWe lie there for a few minutes, enjoying the silence and each other's company. I'm drifting off when she says something I don't catch.\n\nI open my eyes again. \"What was that, babe?\"\n\n\"I said I have one more present for you.\"\n\nI turn to face her and smile. \"Well, all right.\" I pull her close to kiss her.\n\nShe kisses me back, but I can tell there's something serious she wants to talk about so I sit up and look her in the eye. \"What is it?\"\n\n\"Her,\" Danni says. \"I need to tell you about the time I spent with God when I almost died.\"\n\nThat gets my attention. Danielle has avoided this conversation up until now, saying that she would talk about it when the time was right.\n\nDanni begins to speak, surprising me right from the start. \"God's name is Sylvia, and she told me that she's been communicating with you for many, many years Trew.\"\n\nI listen. A few moments into the conversation, we both get out of bed and go downstairs to sit at the kitchen table.\n\nThe next two hours pass in a blur. Eventually, she stops talking.\n\n\"Wow.\"\n\n\"Yes.\" She nods.\n\n\"It's time, then.\"\n\n\"Apparently.\" The tone of her voice is calm.\n\n\"You don't think it's crazy?\"\n\n\"Oh, absolutely. I think it's the craziest thing I've ever heard.\"\n\n\"It's going to work, you know.\"\n\nDanni gets up and walks over to my side of the table. She sits on my lap and hugs me. I can feel wetness on my neck. She's crying. \"I know it's going to work, sweet man. It feels like this is what we were put on the planet to do. Do you know how to get things started?\"\n\nI nod, still hugging her. \"I've been thinking, studying, and planning this for a long time Danni, just waiting for a sign. I guess this was it.\"\n\n\"I guess so. From what Sylvia asked me to do, it looks like I'm going to be part of this and very busy. I'm pretty scared. She's given me a tall order, especially at my age.\"\n\nI laugh. \"You're younger than I am, and you've always been fit and active. It's a great way to get the world's attention, to prove to them that it really is all a game.\" I wipe the tears from her eyes. \"Are you sorry you married me?\"\n\nDanni laughs and slaps my shoulder. \"No, I'm not sorry I married you. If I hadn't, I'd probably be doing something crazier.\"\n\nI nod in agreement. \"You were always an adventurous girl. This idea is just another boring day at the office for you, babe.\"\n\nShe laughs.\n\n\"It's settled then. We're going to start spreading the word and sharing the message.\"\n\n\"Everyone's going to think we're crazy, Trew.\"\n\nI grin at her. \"I sure hope so. Everyone thought Columbus was crazy when he said the world was round.\"\n\n\"At first.\"\n\n57\n\nEarth has been a real mess since the thirtieth anniversary celebrations began. As a result of so many players entering the Game in such a short period, Earth is overpopulated. Add to that the fact that Mainframe allowed most players to be born in civilized countries, and the result is a severe stress being placed on the planet and its inhabitants.\n\nThere is an immense shortage in school capacity, jobs, housing, and even food is being pushed to the edge of its limits.\n\nCrime and death are at all-time highs across the planet.\n\nThe masses are hungry, depressed, and desperate.\n\nAlthough the players' lives have been difficult, the scenarios and story lines created have been very entertaining to Game fans. There has never been so much excitement to witness on such a scale before.\n\nIt's incredible drama, and the Game's fan base continues to break records.\n\nThere has been some outcry from avatar sympathy groups, claiming that cruel and unusual conditions are causing severe trauma to many players, but don't feel bad for all the sadness and pain, folks. Many of the players are earning a lot of credits as they participate in these scenarios.\n\nRemember: it's all just a Game.\n\n30th Anniversary Game Update Channel\n\nBrandon entered the room and walked to his seat, stopping behind it and resting his hands on the leather back. \"Good afternoon, everyone. I came as soon as I received the newest rankings. Many of you have seen this type of shift before, but some haven't. Let's discuss where Trew is right now in the Game and what the current situation means to the big picture.\"\n\nBrandon paused to look around the table. Almost everyone looked worried. Brandon couldn't blame them. Each person here had their entire life savings invested in this play. Failure would lead to internment in the labour camps for some, while others would be lucky enough to merely find themselves in a deep hole of debt from which it would take years to recover. Brandon nodded to Michelle, and she stepped forward.\n\n\"Thanks, Brandon. Good morning, everyone.\" Brandon could see her smile was slightly strained, but she hid it well. \"As we are all aware, Trew has dropped in ranking. As of this moment, he is sitting at six thousand and sixty-five.\" Michelle stopped speaking for a moment to let the number register with everyone before continuing. \"He has been in the top one hundred for most of his play, and this drop is significant. Please let me summarize where Trew is in the Game at the moment, then I'll open up the floor for any comments, concerns, or theories regarding how we might be able to help in getting him back up to the top of the board.\"\n\nMichelle typed some commands on her tablet and the large screen beside her displayed a myriad of statistics and graphs. \"Trew is now thirty-five and still happily married to Danielle. On his thirtieth birthday, the two of them decided to try to form a faith-based movement and they have been working on that ever since. The message they are sharing with the world is that Earthlings are computer-generated avatars controlled by individual players who live in another reality. We know this has happened before in the history of the Game, but it looks like our boy has been better at communicating and getting others to subscribe to his theories than in the past.\"\n\nShe pointed at a portion of the screen that showed Trew on a stage in front of hundreds of people, all listening with rapt attention. \"Although it is by definition a religion, they are calling it a movement, and it is growing quickly. Trew and Danni are calling their movement 'The Game is Life', to pay respect to the little book written years ago by George R. Knight, Trew's last avatar. Sales of that book are exploding both on Earth and Tygon, and Trew is using it as a means to introduce the theory in an organized way to new people.\"\n\n\"Why is their movement being received so well, Michelle?\"\n\n\"Three main reasons. First, because Trew is keeping it very simple, but focused. His entire premise is if Earth is a computer simulation, then that explains this phenomenon, that force of nature, that spiritual philosophy, et cetera. He is able to look at the world and his surroundings and explain everything he sees from the perspective that it's all a computer simulation. Secondly, Trew and Danielle have the Talent and are using it to prove to the world that miracles can happen, and 'magical' things can be accomplished. They started off doing it on a small scale, but they've also managed to pull off a few larger ones. The more they practice, the better they are getting at it.\"\n\nBrandon smiled. \"That seems to be the way with everything. What's the third reason for their success in an arena where others have failed?\"\n\nMichelle tapped another picture on the screen. \"Raphael. When he first appeared on the scene as Danielle's protector, those of us who knew him were very surprised. For a thousand years inside the Game, he was one of the top-ranked Infernals. Most of us actually thought he had won the leadership title of the Devil a couple hundred years ago. Then we spotted him near Danielle and were afraid he was still an Infernal working to bring our girl to power with the intent of causing trouble.\"\n\n\"A valid concern,\" Brandon said. \"That's been his MO for the past thousand years.\"\n\n\"Exactly. It soon became obvious he had switched over to the Eternal side once again and we assumed that he would just be her protector, but it looks like he's bringing his considerable experience to the table and helping both Trew and Danni with their movement.\"\n\n\"I don't know very much about Raphael,\" Nadine spoke up. \"I received only limited info on him when we were informed Danni had unlocked an Eternal. What's his area of expertise?\"\n\nBrandon grinned and nodded. \"Cults, revolutions, and religions. If you look at every major\u2014and most minor\u2014religious movements in the past five thousand years, you will see Raphael's influence and guidance from the shadows. He just has a knack for it. In the past thousand years he's helped many historical avatars form some dangerous groups.\"\n\n\"Sounds like a strange grouping,\" one marketing expert said from beside Nadine. \"Cults, revolutions, and religions. All very different creatures.\"\n\n\"Not at all. The only significant difference is the motivator for the action. A cult is a religion that doesn't gain popular acceptance. Revolutions follow a government or policy instead of a god. Religion centres around a god that becomes accepted by enough people to gain credibility.\" Brandon nodded to Michelle and she sat down.\n\nHe stood and walked to the main screen. \"Here's our real concern at the moment. Trew and Danielle, apparently as instructed by the Mainframe, have formed one of the fastest-growing movements\/religions\/cults in recent history. Something like that should help him to maintain his ranking of number one, but almost overnight we've watched his rank drop by thousands of points. Does that sound like an accurate assessment?\"\n\nBrandon scanned the room. Everyone was nodding.\n\nHe smiled. \"Perfect. Let me assure you that there is no real problem here.\"\n\nEveryone looked confused. Their lives and futures were dropping like a stone thrown off a cliff, and here was their boss, smiling, not concerned at all.\n\nBrandon laughed. \"I've been at this Game for a long time, and that allows me to see a lot of plays and look for patterns, which there always are. Let me give you an example even worse than this one. On her last play, Angelica dropped over a million ranking spots. The computer ranking is a combination of many factors. I know that the final rank of a player is weighed heavily by two things. One factor is how they affect those who they leave behind on Earth after they exit the Game. For example, if a child dies fifteen days after it's born, but its death inspires people to get active and help others by forming a charity or even just volunteering for instance, then the player who was that child ranks much better than a player whose avatar lives eighty years and contributes nothing to society. The second factor is based on how many Tygon viewers a player has during the entire duration of their play.\"\n\nBrandon could see the group relax, many of them laughing in relief. \"That's right, team, Trew is breaking records for subscribers and viewers. If he continues on this path, his subscription rate will be the highest ever. He has, what? Another forty or fifty years, if he lives an average lifetime in the Game? More, if our credits spent on Longevity work out properly. That's another four to six weeks of Game time left for Trew, and millions of more fans to watch him.\"\n\nBrandon turned and pointed at the screen. \"Trew's going to continue on this path it appears. It isn't what we planned for him, so now we get behind this as best we can and help him in all the ways we are able.\"If he keeps this up, I'm extremely confident that not only will he finish in first place, but this play could very well end up being considered one of the greatest sessions in the history of the Game.\"\n\n58\n\nStephanie\n\nI can't remember the last time I spent so much time with one of my Brothers or Sisters on an assignment.\n\nRaphael was like a big brother to me when I first became an Eternal. He was calm and patient, helping me learn the ropes of this job and training me to unlock my specific strengths during the training stage of initiation. I had many instructors during those first few years, but I always remember my time with Raphael fondly.\n\nThen he tried to kill me.\n\nI don't even know why I'm bothering to think about it. Maybe it's because I know that you're viewing me from time to time, A. I miss you. You probably don't recall me from your plays, but I saw you more than once, and you were always one of my favourites. I know you understand the ways of both worlds better than most, and Raphael was a valuable lesson for me. Trust as much as you can, knowing that the gift of trust will probably be the thing that ends it all for you someday.\n\nThe driver is pulling up to the office and we're going in to see Danni. She asked Trew to bring me. Apparently, she has something incredible to show us.\n\nI look over at Trew and smile. He's everything I hoped he would grow into. He's dressed in a casual shirt and dress pants, very calm and self-confident, but not to the point of arrogance. Thousands of people cheer him when he stands on the stage, chanting his name and applauding his message. He hasn't let it change him, though. He believes in his heart that it's the message they follow, not the man. It's not true. They do follow the man, but I'm so glad that he's humble. I've seen power corrupt some strong people over the centuries, destroying their original ideals and intent more times than I can count. Souls like his are the reason I agreed to become an Eternal, to help the best players learn how to become even better in every way the Game allows.\n\nWe walk into the building and head for the elevator, taking it to the top floor where Danielle's spiritual centre for Gamers is located. She's hugging a patient at the front door when we arrive. The patient sees Trew and her eyes light up. She whispers something to Danni who laughs and brings the patient over to us.\n\nTrew, always the ambassador, smiles and shakes her hand and they exchange pleasantries. Trew focuses on the lady, maintaining eye contact and listening to every word as if no one else in the world exists. This is one of the most powerful gifts a person can give to another\u2014attention. It's a shame more people can't do it, but Trew has mastered the skill.\n\nThe masses of people seem to be learning from his example. For the first time in a long while, people are becoming more decent and caring toward each other. The common belief that they are all playing a game where everyone shares common struggles, hopes, and goals has been very powerful to society these past few years.\n\nThe movement is growing.\n\nThe lady leaves and Danni ushers us into her office. \"I think I've done it.\"\n\n\"That's excellent, babe.\" Trew smiles and hugs her.\n\n\"Done what?\" I ask.\n\n\"A few years ago we heard about a Reiki master who was able to heal cosmetic wounds. We thought it would be worth pursuing since it's impossible to deny the existence of a Talent that produces results for all to see.\"\n\n\"Have you done it, yet?\"\n\nDanni nods. \"Look at these pictures. This is Jenna when she first came to me two weeks ago.\" Danni shows us pictures of a girl with severe scarring on her face. \"She was a beautiful girl, and then a jealous ex-boyfriend followed her one night, beating her badly. She was lucky to survive, but she suffered major scarring. Jenna has had three surgeries to help heal her so far but, as you can see from this picture, they still had a long way to go.\"\n\nTrew shakes his head. \"Such a sad thing.\"\n\nDanielle nods. \"I met her aunt a few months ago, and we started talking. One thing led to another, and I had Jenna come to the centre. The surgeries were painful and expensive and she was losing faith that she would ever look normal again. I explained my belief in what could be done for her and, she agreed to let me try.\"\n\n\"Any improvement yet?\"\n\nDanni smiles. \"You tell me.\" She walks to the a side door and opens it. \"Jenna, please come in and meet my friends.\"\n\nJenna walks in, and both Trew and I are stunned. Her face is almost perfect. She turns her head, and the light catches the faintest of white scar lines, but she's the beautiful girl from the \"before\" pictures. I walk over to her. \"Is it all right if I touch your face, hun?\"\n\nJenna is smiling, her eyes moist. She nods and I touch her skin and feel no raised tissue. She is beautiful again, and no one would ever know what had happened to her if they didn't see the pictures.\n\n\"Wow.\" I say this not because I don't believe it's possible, but because only a very few of the most talented Timeless are able heal others in this manner. For a regular human to accomplish it? Our little Danni? I am stunned.\n\n\"I think maybe two more sessions and even those lines will disappear.\" In Danni's voice, I hear the same little fearless girl who expected the world to bend to her will, never surprised when it actually did. \"Guys?\"\n\n\"What, Steph?\" Trew knows that tone of mine. His expression is concerned. It should be.\n\n\"We need to discuss how we proceed. Until we do, it's very important that no one knows that you can do this. Do we all agree?\"\n\nDanni's smile softens. \"Okay, Steph, but it's very cool, right?\"\n\nI smile. \"Yes, sweet girl. It's very cool.\"\n\n59\n\n\"If it's all just a computer simulation, a game, then why bother doing anything at all? That's a common question people who challenge my beliefs ask me, and here is my answer: just because it's a game, doesn't mean it's not one hundred percent real. Has anyone in here ever played a game? Ask a football star how real his game is. It's the day-to-day focus for his entire being. His house, food, everything he has and is results from him playing a game. Ask an Olympic athlete how real their game is. I hope you see what I mean. Games can be real. They can affect the outcome of everything a person is and everything they do. Do you know that right now there are computer gamers sitting at their desks who make a six-figure income from what they're doing? A game has become their source of income and happiness.\n\n\"We all play games: politics, love, business, you name it, all games.\n\n\"I bet everyone here has heard this statement at least a dozen times in their lives. It has been used to shame you or make you act more grown up. 'This isn't just some big game you know.'\n\n\"The truth is that, when you look closely, it absolutely is all just some big game.\"\n\nTrew Radfield, excerpt from his opening talk at the world TED summit, Earth year 2047\n\nDanielle - 37\n\n\"Ah, this is the life.\"\n\nI open my eyes and look to my left. Trew watches me with a big, boyish grin on his face. The sun is shining and the breeze coming off the ocean takes the heat away from our skin as we lie baking in the sun on the white sand. Whenever I get too hot, I reach for my fancy island drink, complete with umbrella and pineapple. I smile and touch Trew's hand.\n\n\"It sure is, love.\" I'm smiling. This is day three of a fourteen-day vacation. We both work hard and make certain to take luxury vacations at least once every three months. It would be more often but, like I said, we both work hard. This one has a little bit of business attached to it. Trew is giving a talk to a group that decided the best place to hear our message would be at a five-star hotel located in the Bahamas. \"What time is the talk tonight?\"\n\n\"Eight. The venue is pretty big, babe. I'm a little nervous.\"\n\nI crack one eye open and peer at him through my sunglasses. The confident (but not arrogant) grin on his face tells me that he's teasing.\n\n\"You don't get nervous, Trew. You've stood in front of much larger crowds. There are only going to be, what, two thousand people there tonight?\"\n\nHe chuckles. \"Yeah, something like that. I know the talks go fine. Every once in a while I do get nervous, Danni, I just hide it well.\"\n\n\"You only get nervous when you start to think. Once you let that mind of yours go blank, that's when the real good stuff starts to come out of it.\"\n\n\"Hey, that's not very nice!\" I feel wet coldness touch my chest, and I bolt up. Trew grins, drops of the icy drink he flicked at me still dripping from his fingertips. \"It might be true, but still not nice.\"\n\n\"It's great to see such big crowds. Remember when only a few people would show up, and most of them were pretty out there?\"\n\nHe laughs. \"Yeah. The 'bring your own tinfoil hat' days. Those were some pretty fun times. Not as many vacations, though. I think I'll take the here and now over those lean days when I quit my job and you lost most of your clients because of the crazy ideas you and your husband were always spouting.\"\n\nWe lay there for another few minutes. Then I announce that I'm too hot.\n\n\"You certainly are.\" He reaches for me and I laugh. The guy loves me so much and I love him right back. I can't imagine being with someone who didn't make me feel like this. So alive and happy to, well, to just exist. It's a blessing that we found each other. I sometimes get a strong feeling that we tried to do this in another life and it didn't work out. Maybe this is our reward for the pain we've suffered in other plays of the Game.\n\nI stand on one side of the stage, preferring to be in the wings rather than in the spotlight. Someone from the host group comes on and speaks to the crowd, pumping them up before finally introducing Trew.\n\nWith a kiss and hug for me, he puts on his winning smile and walks onto the stage.\n\nThis crowd is a group of wealthy people from different parts of the world. I'm not sure how they all found each other, but that's part of the magic of this movement. If you have a powerful message and it resonates with people, then they'll somehow gather together.\n\nThe next two hours fly by. Crowd trouble is a rare occurrence, which Raphael says is an indicator that we're on the right track and attracting the correct crowd. Even so, we have a small but efficient security force in place to spot any trouble before it starts.\n\nTrew always opens the floor for questions at the end of his talks. We all know what a fan Trew is of questions. Things are going smoothly until the third question breaks the peacefulness of the event.\n\n\"Why don't you all kill yourselves?\" The voice asking the question is deep and menacing. It feels like darkness. I peek out to get a look at the man. He's well-dressed and tall. Spanish-looking, dark, and fit. \"If you all believe you're in a computer simulation, just kill yourselves to get back to wherever it is you're really living.\"\n\nI hear Raphael hiss behind me and Stephanie puts her hand on my shoulder, pushing me behind her.\n\n\"You recognize that man, Trew?\" Raphael whispers into a small handset which is wired to a microphone in Trew's ear. Trew glances over and nods with a confident smile. He makes a signal indicating that everything is fine. Raphael grumbles into the microphone but stands beside me, glaring at the man talking to Trew.\n\n\"You know him?\"\n\n\"It's Carl. What's he up to, Raph? I don't like him so close to Trew.\"\n\nRaphael says nothing, his eyes locked on Carl.\n\nOn stage, Trew is answering Carl's question. \"Killing ourselves is not an option I would recommend, friend. All religions agree on this point, and here's why I don't suggest it from a Game point of view: if you're playing a game, it's for some type of reward or prize, right?\"\n\nCarl smiles, and I shudder. He looks insane, like he wants to take a bite out of Trew. \"Some type of prize, yes.\"\n\nTrew nods. \"If the only way to claim your prize is to finish the game and you get nothing for quitting halfway through, what would the average player do?\"\n\n\"You're saying\"\u2014there is an innocent tone to Carl's voice that sounds frightening, somehow\u2014\"that if you start a game, make certain to play as long as you can?\"\n\n\"I'm saying don't give up. Don't quit right before the finish line. Everyone gets some reward for finishing. Of course, I am guessing that the better you play, the better the reward. Still, I believe that in this game we are living in, it's always better to play as long as possible. I don't judge those who end their game before it's done, but I encourage everyone to keep running until they cross the finish line of their own personal race.\"\n\nCarl runs a hand over his cheek, rubbing his chin. \"Makes perfect sense, boss. I was seriously considering quitting before coming here tonight, but you've helped me realize that there's no way I can. Thanks, I appreciate the helpful advice.\" Carl turns and strolls toward the exit.\n\nTrew watches him walk away and then speaks into the microphone once more. \"Can I ask you a question?\"\n\nCarl doesn't bother to turn around. He raises one hand and waves while speaking loud enough for the room to hear. \"Maybe another time, Junior.\"\n\nI look behind me, but Raphael is already gone. Off to hunt Carl down, I hope. I gasp for air. I'd forgotten to breathe.\n\n\"Hun.\" Stephanie touches my arm. \"We are going to finish this event and leave immediately.\"\n\nI look at her and can tell that there's no use trying to talk her out of it. \"What was that?\"\n\nStephanie looks at Trew, then back to me. \"Hopefully, nothing, Danni. Hopefully, nothing.\"\n\n60\n\nBelief is a remarkable thing. If we believe that we can do something, then we most often can. If we believe that something is impossible, it usually is.\n\nOur belief system limits us, shaping our entire lives as well as the lives of those around us. In order for any progress to be made, in order for something to be accomplished that is outside of our normal field of acceptance, a Heretic is required.\n\nHeretics do not share the common beliefs of the masses.\n\nThey think bigger.\n\nThey are scorned and mocked and laughed at for their strange ideas, yet still they believe.\n\nPeople challenge them, scoff at them, dismiss them as absurd. Yet, still they believe.\n\nTime passes and sometimes others join the Heretic. One or two at first, and then even more begin to tag along.\n\nWhen enough time has passed, if the Heretic has been particularly persistent in his beliefs and persuasive with the ability to share the message they believe in, the Heretic disappears.\n\nWhere once a lonely believer of strange ideas stood, there now stands what people see as a visionary thinker, a remarkable person who had the strength and wisdom to look at the world differently\u2014a person who leads us to a better understanding of the universe and a deeper view of ourselves.\n\nFor everyone around that unique and special individual, our limits increase.\n\nWe advance and prosper, thanks to the Heretic, and thanks to belief.\"\n\nExcerpt from A Player's Handbook for the Game of Life\n\nTrew Radfield (avatar)\n\nTrew \\- 39\n\n\"I seriously thought that thirty would be my best birthday ever, Danni, but I was wrong. Look at what we've accomplished in the last decade.\"\n\nI raise my glass of French red wine and Danni raises hers, smiling that beautiful smile which melts my heart and stills my thoughts. I look past her to the lights of Paris beyond. The breeze is mild and warm. We are the only two people sitting at the top level of the Eiffel Tower, enjoying a romantic meal while violins play in the background. Two waiters stand far enough away so that they cannot hear us but close enough should we require anything.\n\n\"I'm glad you like it, love of my life. It gets harder each year to find a better gift than the last, and tougher to surprise you.\"\n\nShe's wearing a blood-red dress, her hair curled and bouncing on her bare shoulders. Diamonds glitter around her throat. Matching earrings dangle like cold fire from her ears. I tell her all the time but it's true. She gets more beautiful every day. I look around and do my best to soak this moment into my memory. Life is really about moments. They arrive too rarely and flee too soon. We have had so many incredible moments throughout our lives, but I never want to take a single one of them for granted.\n\n\"Come dance with me, sweet girl.\" I stand up and walk to her, holding her chair while she rises.\n\nWe move toward the makeshift dance floor and start to dance. Nothing fancy, but it feels good.\n\n\"Happy early birthday, Trew.\" She kisses me. I still feel the electricity and the tingles, exactly like the first time we kissed.\n\nI twirl her around. \"Sneaky girl. How's a boy to guess at his surprises when you don't even give them on the correct day?\"\n\nShe laughs. \"I will always surprise you, hun, even if I have to spring it on you six months from the actual date.\"\n\nI dip her, and she giggles. \"Six months from the actual date, huh? That means I can expect my Christmas surprise in June?\"\n\n\"If that's what it takes.\"\n\nWe dance until the song ends, then return to the balcony and look out over the city. \"It's magical, Danni. Thank you so much. It will make tomorrow seem like a boring, normal day in comparison.\"\n\n\"Oh, please.\" Danni raises her eyebrows at me. \"Tomorrow is going to be a major celebration for the Digital Prophet, Trew Radfield. The man who has shown the world a better way to think about, well, about everything. People will line up outside just to catch a glimpse of you.\"\n\n\"A glimpse of us.\"\n\n\"Pfft, not us. Just you, handsome, which is exactly how I like it. I'm happy to do my thing from the sidelines.\"\n\n\"Yeah, it should be okay.\" For no reason, doubt settles over me and I frown.\n\n\"Trew.\" She laughs and slaps my chest, leaving her hand resting there. \"It's a birthday bash in a real German castle. There will be thousands of people in attendance and the event will be televised.\"\n\n\"I know. It's too much.\"\n\n\"It is appropriate.\" She hugs me. \"The movement has exploded. We have a worldwide following of how many now?\"\n\n\"Millions.\"\n\n\"Over forty million. We are helping so many people. They love both of us. I know that, but you're the leader, the one who sees where we all come from and where we all go. You've given the hopeless a reason to hope. You've fed the hungry by the millions and you continue to inspire the world to be a better place.\"\n\n\"Did you ever think it would get this big, Danni?\"\n\n\"No.\" She shakes her head. \"I thought it would be much bigger by now, but my husband is a bit of a slacker. He prefers to spend too much time hugging and kissing his wife and ignoring the real important things in the world.\"\n\nI pull her close and kiss her again, this time a long one. I wait until I'm dizzy before I stop. The look in her eyes says she feels dazed as well.\n\n\"You are my world, Danni.\"\n\n\"I feel the same, Trew.\" She hugs me, then her expression becomes sympathetic. \"It's just a shame that tomorrow you'll be an old man with only a few useful years left in you now that you're turning forty. I guess we should get you measured up for a home and wheelchair.\"\n\nI laugh and reach out to grab her, but she dances away. \"Very funny, lady, but you will be joining me at that age soon enough. Maybe we should go ahead and purchase a matching set. Or better still, a wheelchair built for two.\"\n\nShe laughs and shakes her head. \"I'm going to live another hundred years after I turn forty.\"\n\n\"Really?\"\n\n\"Of course. Remember those chicken cells that lived much longer than they were supposed to? If a chicken can do it, then so can a human. It just takes belief, which I have plenty of. Add some Talent and knowledge that the computer which controls this universe can be communicated with, and presto. It should be no problem.\"\n\n\"Hmm. I think you're onto something there, lover.\" I nod.\n\n\"Of course, I am. What do you think? Want to join me and live another hundred years? Can you put up with me for that long?\"\n\nI laugh. \"I most certainly can.\"\n\n61\n\nTrew \\- 40\n\nToday was certainly busier than yesterday's intimate celebration, but I have to admit, this birthday bash wasn't as bad as I had feared it would be.\n\nWe flew from Paris to Germany late last night\u2014early this morning, actually\u2014and fell asleep together in our penthouse suite. Danni said she was getting tired of fancy hotels. I laughed at first, then considered it and agreed with her. I promised her that when we get home we will spend some time and hang out in our modest little three thousand square foot cabin for a couple of weeks.\n\nThis morning we were up early to have breakfast with our family, who flew in to be with us. We're so blessed to have all of our parents still living and in good health. My sister brought her husband and kids as well. The little brat grew into an awesome lady with a great husband and amazing children. Of course, Stephanie and Raphael were there, too. My dad always cracks jokes about Raphael and Stephanie looking horrible for their age and offering to share his beauty secrets with them. Of course, they look the same age as they did when I was just a little boy\u2014 one of the perks of being a Timeless. Even with all the benefits they get, I wouldn't accept the job. The price is just too high, in my opinion, but they are part of our family, and I'm glad to have them with us.\n\nThe afternoon was busy, moving from venue to venue, shaking hands and meeting with the thousands of followers who'd travelled long distances to celebrate with me but weren't able to come to the actual event. Even castles can hold only so many people.\n\nThe crowd at the castle itself was huge. The organizers brought in famous bands to play for us and the meal was world-class. I was on top of the world all day, smiling and holding hands with my bride. I could see that she was proud of me and I glowed every time someone complimented her.\n\nThe big event ended with me standing up to say a few words, although I'm not sure exactly what I said. There are a lot of times when I feel like I'm just the medium for some greater message that needs an outlet. Whatever I did say, at the end of my little talk the audience went wild. It's quite a rush to look out and see a large crowd of people who feel the same way about life, death, and everything in between as I do.\n\nAnd that's it. Suddenly the day is over and I'm standing here, kissing Danielle, smacking her bottom as she giggles and moves away to catch a limo to the hotel with Stephanie accompanying her. Each of us are with an Eternal at these events, just to be safe.\n\n\"Okay.\" I look at Raphael and nod. \"Let's get this little meet-and-greet over with. I love to mingle, but I'm tired. Is it possible to wrap this up in less than an hour?\"\n\nRaphael nods, \"That should be no problem, Trew. Consider it my birthday present to you if we get you out in time.\"\n\nI smile and walk toward the elevator. People are all around us, gathered in small groups and talking. Some of them nod in my direction but keep a respectful distance.\n\nAs I get to the elevator, I glance back at Raph. The crowd has gotten thicker and somehow he's fallen behind. He moves through the crowd, touching them to move them out of the way and clear a path to me. He looks up and smiles at me. I smile back. The elevator door opens and I get on, still looking at him over my shoulder. Raphael looks past me and his eyes blaze gold. His smile fades and he begins pushing through the crowd more forcefully. He yells my name.\n\nThe elevator door starts to close and I reach for the button to stop it but a hand grabs mine in an iron grip. I realize I'm not alone and, as the door closes, I turn to lock eyes with a face I recognize. His eyes flash red and my legs turn to water, yet somehow, I manage to remain standing.\n\nInside, I am surprised at how calm my voice sounds.\n\n\"Hello, Carl. Fancy meeting you here.\"\n\nTrew's command centre becomes silent. Everyone takes their seat as all eyes stay glued to the main viewer.\n\nMichelle folds her arms to stop from shaking.\n\nAll eyes want to go to Brandon, but no one can look away from the screen.\n\n\"Sir?\" Michelle asks.\n\nBrandon's mind is racing. \"I see. Please be quiet.\"\n\n\"Is this the robbery? He was supposed to be robbed at forty,\" Michelle's voice quavers.\n\n\"This isn't the robbery,\" he snaps. \"Shut up and let me think. Everyone watch as if nothing in the world is more important to you.\"\n\nNadine stands up and looks at the monitor, her face pale. \"Nothing is more important.\"\n\nTrew \\- 40\n\nHe looks at me as if he's the cat and I'm a mouse. I take a deep breath and let it out slowly. I won't give him the satisfaction of losing my composure. Time feels as if it is standing still.\n\nFinally, he speaks. \"Look, kid, I'm not a real talker, and I get off at the next floor.\"\n\nCan it be just a bad coincidence that we are on this elevator together? Is it possible I can swim with a great white shark and walk away? I nod my head.\n\n\"You turn around, the elevator gets to the next floor, and I walk off. Calm and quiet. Okay?\"\n\nI swallow and turn, putting my back to him. Everything inside of me screams not to, but what choice do I have?\n\nHe presses the button and the elevator starts to move. All too soon it's coming to a stop. There is a ding, and the doors are opening.\n\nCarl whispers in my ear. \"I'm sorry, Trew. This is too much even for a guy like me, but hey, we all have a boss. Nothing personal, kid.\"\n\nI nod. He puts a hand on my shoulder to move past me. As he does, I feel something hard hit me in the side and then a hotness envelops me.\n\nCarl walks past, his eyes full of pity. Really? Can that be right?\n\nThen I fall to the ground, reaching up to try to rub my eye as a searing pain flashes from it. I gasp for breath, feeling like I'm melting from the inside out.\n\nI see a light in the distance, beautiful and warm. It's calling to me.\n\nI try to move toward it.\n\nEpilogue\n\n\"I have had an incredible life. I think a large reason for it being so amazing is that I viewed it as good. I know there are times in my life that were tough, challenging, and even painful. Other people would probably have lived my moments and decided that they were terrible. Then they would have let that bitterness and resentment shape how they viewed upcoming events as they occurred. I chose to be more positive and I think it helped.\n\nEach day in each person's life is filled with some good, some bad, and lots of filler. I think the secret to a happy life is to focus on the good, forget the bad, and wade through the filler without getting too bored.\n\nMy advice to everyone would be this:\n\nWhen you encounter the happy, live in that moment for as long as you can. Smile and tuck it away in your memory to be looked at whenever needed.\n\nWhen you encounter the bad, don't live in the moment. Let it pass as quickly as it can. Don't focus on it and, whatever you do, don't grab onto it and tuck it away in your memory.\n\nWhen you find yourself in the filler, search for the happy moments. Realize that it is in the filler moments where both the happy and the bad float around, waiting to be noticed by whomever chooses to focus on them.\n\nIf that advice is too complicated to follow, just smile and laugh as much as you possibly can.\"\n\nTrew Radfield - Excerpt from interview during his fortieth birthday Celebration\n\nNo one moved in Zack's command centre. No one spoke.\n\n\"This wasn't part of the plan,\" Michelle's voice sounded hollow.\n\n\"I know,\" Brandon whispered.\n\n\"He was supposed to live for at least another thirty years.\"\n\n\"Yes.\"\n\nSomeone spoke from the back of the room. \"He was supposed to\u2014.\"\n\nBrandon's head swivelled around to face the group. \"Supposed to what?\"\n\nMichelle shook her head, her eyes glassy. \"Lead the movement along.\"\n\n\"Lead it to where?\"\n\n\"Well . . .\"\n\nBrandon frowned and ran a hand through his hair, scratching his neck lightly. \"Who the hell knows because there was never a movement built into our plan. In our plan, he was supposed to become a world leader and help shape policies that would feed his country and lead them into winning a war.\"\n\nMichelle nodded.\n\n\"None of it happened. We couldn't stop it, we couldn't guide it. We had nothing to do with any of it.\" He sighed. \"She ruined everything.\"\n\nThe room was silent.\n\nBrandon closed his eyes and rubbed the bridge of his nose. \"He went out way too early to finish where we hoped. What ranking did he end up with?\"\n\n\"Just getting that now, sir.\"\n\nBrandon bit the inside of his lip and waited. His last look at the rankings had Trew sitting at around one thousand. He'd done well to climb his way up, but there was no chance for success now. Brandon was confident when they'd had more time, but time was up.\n\n\"Number one, sir.\"\n\nBrandon frowned and looked at Michelle. She was smiling as she held up the tablet which confirmed the truth.\n\n\"Well, I'll be damned.\" Brandon leaned back and closed his eyes, rubbing his face with both hands while, around him, the room erupted in cheering.\n\nWhen the celebration died down, Brandon stood and walked toward the door. \"I'm going to check on our boy. They will have started the exit process and he will be coming out soon. I want to make sure he's doing well so I can say so when I make a statement to the press.\"\n\n\"Sir?\"\n\nBrandon turned and saw Michelle staring at the viewer, her hand over one mouth and eyes wide.\n\n\"What is it?\"\n\n\"They just found Trew. Raphael is there. Look.\"\n\nBrandon eyes moved to the viewer and his heart turned to ice. Raphael bent over Trew's body, holding the bloody murder weapon in his hand. It was a Sever Spike.\n\nBrandon heard his own voice but it sounded as if it were far away. \"Zack's not waking up.\"\n\nWell after midnight, Brandon rode the elevator alone to the lowest level of the complex. He nodded to the security officers as he exited and trudged toward the door at the far end of the hall.\n\nBrandon had spent the last several hours in front of cameras, smiling and doing interview after interview in celebration of Zack's historical finish to his last play. During the chaos surrounding Trew's assassination, Raphael had hidden the Sever Spike, not that many viewers would have recognized it, but his quick thinking had allowed Brandon to keep Zack's permanent death a secret for a while longer. Tygon was celebrating like they never had. They could wait a few days to hear the sad news. Brandon would prepare a statement saying that Zack had experienced complications while coming out of stasis and died peacefully. Let the world have its day or two of happiness. It was all for the good of the Game.\n\nBrandon nodded to the nurses and doctors as he passed them. There were no happy faces on this level. Everyone here knew the truth. Zack lay in the room at the end of the hall, his body kept alive by machines even though his essence would never return to it. For Zack, time had run out and Brandon had come to send the empty shell of his star player off. He knew Zack would want it this way.\n\nEntering the room, Brandon discovered Zack had a visitor. He was standing at Zack's side, holding his hand and looking down at him. The tall man was dressed in an expensive tailored suit, his gold cuff links sparkled in the dim light. His golden hair hung forward. When he turned to greet Brandon, it was impossible to miss the green eyes with twinkling gold flecks in them.\n\nBrandon closed the door and moved to Zack's other side. He stood across from the man, saying nothing as he looked down at Zack's body, watching his chest move up and down to the pace of the machine forcing him to breathe. \"You seem to be standing over dying people a lot lately.\"\n\nThe man did not look up. \"Indeed.\"\n\nThey were quiet for a time.\n\n\"He played a hell of a Game.\" There was pride in the man's voice.\n\nBrandon reached down and tenderly pushed a lock of hair back from Zack's forehead. \"Orphans always seem to do well.\"\n\n\"Yes, they do. Terrible ending for him, though. Any idea who's responsible?\"\n\n\"Carl mentioned a boss, but that doesn't really narrow it down.\" Silent moments passed. Finally Brandon looked up. \"Can you help him?\"\n\nThe man frowned. \"I thought perhaps . . . but no, I cannot.\" He shook his head and sighed. \"I must leave. I can't be here long.\"\n\nBrandon nodded. \"I know. Thank you for coming.\"\n\n\"It was the least I could do.\" The man walked to the other side of the bed and embraced Brandon. Brandon resisted for a second, then gave in and hugged the man tightly, closing his eyes as he let his head rest on the man's shoulder.\n\n\"Well, there we go.\" The man smiled as he stepped back. \"That alone was worth the trip.\"\n\nBrandon smiled. \"It was good to see you.\"\n\nThe man walked toward the door. Brandon looked down at Zack.\n\n\"Brandon?\" The man paused at the door. \"Don't unplug him.\"\n\nBrandon's face was puzzled. \"Why not? He's gone.\"\n\n\"I know, but I was told that if I couldn't help him, then I was to give you that message. Don't unplug him.\"\n\nBrandon nodded.\n\nThe man started out the door. \"I'll see you again soon, Son.\"\n\nBrandon didn't bother to look up as he replied. \"I know, Father. Time's running out.\"\n\nContinued in Book 2: Digital Heretic\n\nhttps:\/\/itunes.apple.com\/ca\/book\/digital-heretic\/id956627574\n\nJoin my mailing list\n\nhttp:\/\/www.terryschott.com\/mailing-list\n\nFind me on Facebook\n\nhttps:\/\/www.facebook.com\/TerryLSchott\n\nAcknowledgments\n\nThis book idea surfaced years ago and I became very good at making excuses for not writing the story. None of them were very good, but they were extremely effective.\n\nOne day I decided to post the first six chapters (all I had written) and ask my Facebook friends to take a look. My commitment was that I would post one chapter a day for six days. I thought maybe one or two people would say it was pretty good and encourage me to write more, which would push me to write maybe a chapter every week or so until the book was finally complete. By the sixth day, my friends had shared my website with over 140 others, and people were beginning to get excited about the story.\n\nThis continued for the next three months, and I didn't just write a chapter or two. The support and encouragement allowed me to write the entire first book!\n\nThere have been over three thousand visits to my website and many, many excited people who could not wait to read the next chapter as I wrote it.\n\nI dedicate this book to all of you: my friends who wanted more from me than I wanted from myself.\n\nIt is with a smile on my face that I deeply thank you for your encouragement and support.\n\nThis book exists through me, but because of you, and, for that, I am extremely thankful.\n\nI'd also like to add a special thanks to my editor, Tiffany Maxwell. Editing is a difficult and painful process for me. You have made the editing portion of writing more bearable than I imagined possible.\n\nI've spent countless hours attempting to format my own books. While I manage to get it done, it is never easy. Thank you, Linda Boulanger, for doing the layouts and formatting. You helped take a painful process and make it smooth and fun!\n\nTerry Schott\n\nBooks by Terry Schott\n\nThe Game is Life Series\n\n The Game\n\n Digital Heretic\n\n Interlude-Brandon\n\n Virtual Prophet\n\n Digital Evolution\n\nOther books\n\nAscension\n\nShadows\n\n(set in the Game universe)\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nAlso by Django Wexler\n\nThe Shadow Campaigns Novels\n\n_The Thousand Names_\n\n_The Shadow Throne_\n\n_The Price of Valor_ (coming July 7, 2015)\n\nThe Forbidden Library Novels\n\n_The Forbidden Library_\n\n_The Mad Apprentice_\nThe Shadow of Elysium\n\nA Shadow Campaigns Novella\n\nDjango Wexler\n\nInterMix Books, New York\n\n**An imprint of Penguin Random House, LLC**\n\n**375 Hudson Street, New York, New York 10014**\n\nTHE SHADOW OF ELYSIUM\n\nAn InterMix Book \/ published by arrangement with the author\n\nCopyright \u00a9 2015 by Django Wexler.\n\nExcerpt from _The Price of Valor_ copyright \u00a9 2015 by Django Wexler.\n\nPenguin supports copyright. Copyright fuels creativity, encourages diverse voices, promotes free speech, and creates a vibrant culture. Thank you for buying an authorized edition of this book and for complying with copyright laws by not reproducing, scanning, or distributing any part of it in any form without permission. You are supporting writers and allowing Penguin to continue to publish books for every reader.\n\nINTERMIX and the \"IM\" design are trademarks of Penguin Random House, LLC.\n\nFor more information about the Penguin Group, visit penguin.com.\n\neBook ISBN: 978-0-698-19709-1\n\nPUBLISHING HISTORY\n\nInterMix eBook edition \/ May 2015\n\nThis is a work of fiction. Names, characters, places, and incidents either are the product of the author's imagination or are used fictitiously, and any resemblance to actual persons, living or dead, business establishments, events, or locales is entirely coincidental.\n\n_Penguin is committed to publishing works of quality and integrity. In that spirit, we are proud to offer this book to our readers; however, the story, the experiences, and the words are the author's alone._\n\nVersion_1\n\n# Contents\n\n_Also by Django Wexler_\n\n_Title Page_\n\n_Copyright_\n\n_Author's Note_\n\nChapter 1\n\nChapter 2\n\nChapter 3\n\nChapter 4\n\nChapter 5\n\nChapter 6\n\nChapter 7\n\nChapter 8\n\n_A Special Preview of_ The Price of Valor\n\n_About the Author_\n\n# Author's Note\n\nThis story takes place in the universe of the Shadow Campaigns, at around the same time that _The Shadow Throne_ begins. None of the other Shadow Campaigns books or stories are required reading to enjoy it, but if you're interested in how Alex ended up in this mess, it's chronicled in the short story _The Penitent Damned_ , available online.\n\n# 1\n\nIt's June by the time the little caravan works its way down out of the mountains, six wagons accompanied by as many horsemen. Each wagon is full of trade goods from the Sallonaik, the great blue lake where our journey began. Half are stacked with barrels of salted fish, fat red-eyes and narrow, blue-scaled clipper. The other half carry treasures from the south, painstakingly hauled over the Worldshearts and then sailed across the lake on the long, multi-oared trading galleys of the canton cities. There is Hamveltai glass and porcelain, packed in straw; Deslandai jewelry in heavy iron strongboxes; fine cloth from Vheed and the cities of the Old Coast.\n\nValuable things, things people want. And me.\n\nI ride in the back of a farm cart, along with some of the strongboxes. I have offered no hint of resistance, but the guards take no chances. Ropes bind my hands together and secure my ankles to the driver's seat, with just enough slack so I can shift my weight and hang on when the cart tips or shudders.\n\nI might have worked the cord down and over my feet, or scraped it apart on a nail in the bed of a cart like the hero of a romantic story. But then what? Heroes never seemed to have to think that far ahead. Even if I were to evade the half dozen armed, mounted men who surround our party, no small feat for a boy as unskilled in woodscraft as myself, then I would be afoot and alone in a lonely, hostile country. Every night, we heard the howling of the wolves in the woods. And if I were to escape my pursuers _and_ the wolves _and_ slow death by starvation or exposure or any number of other grisly ends, where was there to go?\n\nThat I think of escape, in spite of all of this, is a clear sign of my insanity. My demon, perhaps, wrecking the fabric of my mind. Peter is two hundred miles away and getting farther with every weary day. He is strapped to another wagon, headed to another prison.\n\nEven if I broke free, crossed the miles, rescued him from his captors, he would not welcome me. This time, he would probably kill me himself.\n\n***\n\nBut one cannot help but hope. So I sit, and wait, and plan. We will not be in the mountains forever. Sooner or later we will reach a wider road, and there will be towns along the way, places to lose myself and evade pursuit. I can read, write, and do sums; there is always a living to be made for someone with such esoteric skills. I will survive.\n\nI sleep in the cart, under a thick wool blanket. Twice a day, the guards let me off my leash to give me a chance to squat in the ditch beside the side of the road or make water. They feed me, hard black bread and sometimes a handful of greasy meat; squirrel, or rabbit, or fat gray mountain birds I've never seen before. The outriders travel with rifles at the ready, hoping for a shot at any animal flushed by the noise of the oncoming wagons. When they miss, all we have is bread.\n\nTullo is a mercenary, a southerner from the League cities. He has lank, dirty red hair and a curly red beard he rarely bothers to trim. Every second or third night, he comes to my cart, already drunk, hands fumbling with the strings of his leather trousers. He joins me under the blanket and I take his cock in my mouth. I feel his fingers grip my hair and I listen to the harsh sound of his breath until he spends himself.\n\nAfterward he lets me take a swallow from his belt skin, which is filled with a clear spirit so harsh it burns my throat, and leaves me an extra measure of bread. I eat it, huddle back under my blanket, and try to sleep.\n\nI will survive.\n\n***\n\nAt the base of the mountains, there is a road leading north and south, and a little town. It's barely bigger than my village by the lake, no more than two dozen log-and-shingle buildings, but the caravan stays well clear. Most of the guards go into town, to buy supplies, while another keeps an eye on me. It might be a good time to begin my escape, but the guard seems attentive, and his rifle is loaded.\n\nWhen the others return, they direct us to the north road, where another wagon is waiting in a little clearing. It's larger than my farm cart, with high sides and a gate at the back, pulled by a pair of horses. Sitting on a high box is a big man in a stained crimson robe, a Priest of the Red, and beside him a thin, ugly fellow with a bulbous nose and protruding ears under a mop of dark hair. It is accompanied by another half dozen guards, hard-looking men in forest leathers with rifles and long knives.\n\nThe leader of our party, a man named Voryil, has a conversation with the priest while the rest of us wait a little distance away. I can't quite overhear the conversation, but I catch the occasional word. \"Demon,\" he says. \"Sorcery.\" Voryil seems to be arguing some point, but the priest says something that shuts him up. Clearly, Voryil is outranked.\n\nA few minutes later, the guards untie me from the bed of the cart and lead me over to the high-sided wagon, opening the rear gate so I can climb in. There is a girl in rough linens there, curled on her side, asleep or unconscious. She is small, about my age but slight and very thin, and her black hair is limp and matted with filth. She has iron bands around one ankle, secured by a chain to a metal loop in the center of the wagon bed. Before I really understand what's happening, the guards are strapping a similar band around my leg and locking it into place with a steel pin.\n\nLooking down at my new confinement, I wonder if I have missed my chance to escape after all.\n\n# 2\n\nI don't remember my mother, or where I was born. I can remember, barely, arriving in Nestevyo. I was riding behind my father, gripping him hard around the middle. A second horse, following placidly behind us, carried all we had in the way of possessions. Clothes, tools, a few precious books.\n\nWe moved into a shack near the water, a few hundred yards from the village proper. I don't know if my father paid anyone for the right to live there or not. It hadn't been used in years, perhaps in decades, and there was nothing much left but four ugly walls and a fire pit. I remember the first night, sleeping under the stars, nothing overhead but the skeletal shapes of the rafters.\n\nThe next day, my father traded the horses to some of the villagers in exchange for help rebuilding the roof. A pack of them came over, riding in a wagon heaped high with dried grass. They were dour, suspicious men, often with their dour, suspicious sons along, and they stared at my father and me as though we were circus attractions. But they had brought ladders, and they spent all day putting up thin wooden shingles covered with mats of dried grass, fixed in place with an awful-smelling muck that looked like liquid shit. My father, though unused to manual labor, did his best to help, and in the evening he broke open a bottle of spirit he'd brought in our bags and poured each villager a generous measure.\n\nIt was as auspicious a beginning to our life in Nestevyo as we could have hoped for. Nevertheless, it was clear from the outset that we could never truly be a part of the village. In our old home in the south, where the Mithradacii tide rose high and lasted long, most of the old peoples of the world were erased. It's easy to forget that north of the Worldshearts there are clans who never knelt to any tyrant, people whose children bear no trace of the blood of the Children of the Sun. The people of Nestevyo were descended from such stock, short and broad shouldered, with hair as black as a crow's wing. They call us _mikadvi_ , which means \"muddy\" and is appropriate enough. My father and I both had hair the color of freshly turned earth; we would be unremarkable in the lowland cities, but here in the Murnskai mountains we were as foreign as Khandarai.\n\nMy father put food on our table however he could manage. He sold his services as a scribe, or traded them for things we needed. Aside from the village priest, no one in Nestevyo was literate, but there were still occasional things that needed writing down: wills, papers for the provincial government, letters to distant family. This did not bring in enough to either feed us or keep my father busy, so in the meantime he fished, like every other man in the village. The dark waters of the Sallonaik are bountiful, rich enough that even a clumsy pen pusher like my father could coax a fish or two onto his line. The other villagers laughed at his scrabbling efforts, and in spite of the hurt to his pride he laughed with them, and joked at his own expense, and got them to teach him how to do it properly.\n\nAt the time, I did not understand what my father gave up to live in Nestevyo. Like any child, I was concerned only with my own affairs.\n\n***\n\nI was nine years old when I first understood that I carried a demon.\n\nI realize now I had felt its touch before that, the _cold_ sensation of scaled skin scraping against the warmth of my heart. At the time, though, I thought nothing of it. It didn't hurt, exactly, and it always went away soon enough. If I told my father, he no doubt put it down to a chill.\n\nIn my ninth year, a villager named Belvetz, for whom my father had done some work copying out letters, gave us a dog. The animal was a runt, the tag end of a litter who would never be useful for work, and normally he would have been tossed into the lake as not worth feeding. Belvetz, who had four sons of his own, suggested that a small dog might make a good pet for a child my age, and so my father brought him home and I acquired a companion. My father named him Sagamet, which is an old Mithradacii word meaning \"dirty snow.\"\n\nSagamet was a Murnskai mountain dog, a breed as hardy as the villagers who raise them, thick legged with short, curly hair that sheds water like a duck's feathers. He was a dark, muddy gray, to match his name, with a few patches of pure black on his haunches. He took to me at once, and I of course loved him with all my heart\u2014no boy of nine can resist the attentions of a friendly dog. Before long he walked at my heel whenever I went out, like an eager shadow, and curled up by my side when I sat down to read.\n\nI did not play with the other children of the village. It was not so much that they hated me, though I suppose they might have and I would never have known it. The differences between us were so vast we knew instinctively they could not be bridged, and neither I nor they ever tried. I was already taller than every other boy my age, with my strange, mud-colored hair. Instead of learning to fish, hunt, and climb like the boys, or even to mend nets and make cloth like the girls, I was devoted to my father's strange trade of reading and writing. I practiced nearly every day, going through the few books we had over and over whenever the sun was high and the sky was clear. We could not afford to waste candles to give me light to study by, so it was in the evenings that Sagamet and I would venture into the thin woods surrounding the village, or wander up and down the shore of the Sallonaik and investigate its many rocky inlets and pools.\n\nThe great lake is so large it has winds and tides, like an ocean, and the shore is covered in rocky columns and tumbled boulders, overgrown with scraggly trees and vines. In some places, these form pools that are connected to the lake when the water is high, but not when it recedes, and sometimes in these pools the lake would leave us treasures. Big fish, trapped by the tide's retreat, flopping and gasping in the shallow water; one such find could feed us for days. Or bits of detritus, floated in from ships wrecked out in the deep and hung up on the rock. I had once found a man's shirt, torn and sodden, and a carved bit of wood my father said might have been part of a ship's rail.\n\nOn the day I discovered my demon, I knew the water had been particularly high the night before, and now that the tide had gone out I had hopes of finding either something to play with or something to eat. Sagamet was game for a walk, as always, and we set out up the shore towards a pool I knew, where a short scramble over rocks would let me in to a shallow, sand-floored basin. The sun was sinking toward the horizon, but I had at least a couple of hours before it became too dark to see.\n\nAs I walked, I picked up a stick and pretended it was a sword, swinging it around at imaginary foes. I had been reading the _Wisdoms_ , specifically the chapters dealing with the wars against the Demon King, and I imagined myself one of the holy soldiers of the Sworn Church battling the evil sorcerers of the south. Demons rose up before me and were cut down, one after another, while my faithful companion Sagamet ran circles around me and barked excitedly every time my stick _clacked_ against a tree branch.\n\nWhen I reached the pool, I looked down from the top of the rocks and saw that something was indeed waiting for me. It was a big gray hummock, longer than I was tall, lying motionless in the middle of the pool. From where I stood, I couldn't see any more than that\u2014it clearly wasn't a fish, but it looked too smooth to be a rock. It might be, I thought excitedly, a cannon, half buried in the sand. How a cannon could have floated up and into the pool I had no idea, but I was caught up in the idea at once. I clambered down the rocks, Sagamet following sure-footedly behind me until he was low enough to jump into the pool with a great splash.\n\nWading in the water, which came up to my thighs, I approached the humped thing. The part of its surface that was out of the water was smooth, like it had been polished. I realized with a start that it was _moving_ , very slightly, in and out. Sagamet barked excitedly, splashing back and forth in the water.\n\nI should have turned around and run, then and there. Instead I moved even closer and prodded the thing with my stick.\n\nThe books say that the salverre of the Sallonaik is not a true shark, because it breathes air and lacks gills. But it possesses all the other important attributes of a shark, most notably a mouth full of triangular, serrated teeth and a voracious appetite. This one had been stuck in the pool since last night's high tide, getting angrier and angrier as the water drained away and its hide dried in the unaccustomed sun. The touch of my stick roused it to a fury. Its head, which had been buried in the sand, came up with a spray of water, and it lunged forward by thrashing its long, gray body against the sand. Its teeth snapped closed inches from my foot, and I scrambled back in fright against the rock wall of the pool.\n\nAt that moment, Sagamet doubtless saved my life. He charged, barking furiously, hackles raised, and put himself between the salverre and me. The creature lurched toward him, and Sagamet jumped away, then dashed in again, trying to nip at the gray hide. This time the great fish was too quick for him; his barks changed to howls of pain as the jaws closed around his midsection. It thrashed back and forth, dragging the dog through the water, which turned a frothy red.\n\nI forgot my fear at once. I let go of my stick and groped under the water for a rock. When I found one, a jagged chunk of limestone I could barely lift with one hand, I charged the salverre. Sagamet was still howling weakly. The creature opened its mouth as I approached, and he slid free, floating limp in the water in a spreading slick of blood. It came at me, jaws wide, and I brought the rock down on its head with all the strength I could muster.\n\nI must have stunned it. I barely remember what happened next, in the wild tones of a dream. I gathered Sagamet into my arms and ran to the lakeward side of the pool, where there was a small lip of stone I could mount without using my hands. How I got back up onto the high ground without toppling over and cracking my skull, I have no idea. I laid Sagamet down and fell to my knees beside him.\n\nI was sobbing already, from fear and because I could see at a glance that my dog could not be saved. The salverre's teeth had torn great rents in his flanks, and while his breath still whistled feebly, the pulses of blood from the wound were already slowing. I put my hands on him, and they came away as red as if I'd dipped them in paint. I wanted to scream, but I didn't have the breath.\n\nThen I felt the _cold_ sensation again, right behind my eyes. Without quite knowing why, I touched Sagamet again, and this time the cold flowed out through my fingers and into his torn body. I could feel him, heart and lungs and guts and brain, as though his body were a beautiful, perfect machine someone had smashed great chunks out of with a hammer. In that moment I could see how it all fit together, and I reached out with the cold and began setting things to rights.\n\nI don't know how long it took. All I remember is opening my eyes, at the end, to find my dog sitting up and licking the tears from my face.\n\n***\n\nI went home that night, after Sagamet and I washed out the blood in a stream, and told my father what had happened. I did not have wit enough to lie. He listened, indulgently at first and then with cold eyes and furrowed brow.\n\n\"You have saved Sagamet, but you may have damned yourself doing it,\" he muttered when I was finished. \"Listen to me, Abraham. You must never tell anyone else of this. Never, you understand? Until the day you die. This kind of miracle does not come from God. It is _sorcery_. There is a demon inside you, working through you. I had hoped . . .\"\n\nMy eyes had gone very wide. My father pulled me to him and wrapped me in his arms.\n\n\"It will be all right. We will tell no one, and you will not use this power again. Just . . . don't say anything. Not even to me, in case someone is listening. Promise me.\"\n\nI nodded, my head pressed tight against his shoulder.\n\nThe next day, my father told the other villagers I had discovered a salverre in one of the tidal pools. A party of them went out, with spears and ropes, and brought the creature back in triumph. That night we roasted it by the shore and had a feast. The flesh was tougher than I liked, but I ate a second helping, and I brought home a string of guts for Sagamet.\n\n# 3\n\nThe girl sleeps almost all the time. I wonder if she is sick.\n\nThe north road is more heavily trafficked than the mountain passes, and we see other wagons or riders once or twice a day. When they are coming from the north, where we are bound, Voryil hails them and asks about conditions on the road.\n\n\"Mud,\" they say. Always mud.\n\nWhen southerners think of Murnsk, they picture snowy fields, trees hung with icicles, hungry wolves prowling through silent forests, and rivers frozen solid. But even Murnsk has its summer, however briefly, and we are in the height of it. To either side of the road, the dark green of pine needles has been joined by the brighter emerald of new leaves, while huge, brooding oaks and white birches shed ragged bands of bark. There are flowers everywhere, explosions of blue and red and purple wherever the trees let through a little light, lining the edges of the road as neatly as if they'd been planted there.\n\nWith the flowers come the insects, fat droning bees and clouds of butterflies that pass over the wagon like flashing, multicolored jewels. Somewhat less welcome are the biting midges that swarm over exposed skin. With my hands manacled, I cannot even slap at them, so I cover myself with my blanket in spite of the heat of the sun. The girl acquires painful-looking welts on her face and hands but does not seem to notice.\n\nWe make very slow progress. The thaw has turned the road into a sea of mud, orange, sticky stuff that clings to the wagon wheels and the legs of the horses. Usually there is solid ground a few inches down, and we can splash along, but the muddy surface conceals deep chuckholes and pools that could swallow a wagon whole. The guards, well versed in this kind of travel, ride ahead and probe the ground with long sticks, steering the vehicles around the worst obstacles. Even so, hardly a day goes by without an hour or two spent dragging a stuck wagon wheel out of a rut.\n\nThere are towns along the road, usually where it crosses one of the small west-flowing rivers at a ford or a wooden bridge. The guards stop to buy food, now that the hunting is scarcer, but the wagons never halt until we're well beyond the crossing. I don't know if the priest doesn't trust the townsfolk, or if he is worried a view of some kind of civilization might tempt his prisoners into rashness.\n\nEvery day, as the sun sets, the girl opens her eyes and raises her head. She still seems dazed, but she is awake enough to stumble along with the guards when they unchain her legs and take her off the cart to attend to her call of nature. When she returns, they feed her, spooning a thick, creamy broth directly into her mouth. Afterward, she falls asleep again.\n\nI get bread and dried meat, the latter tooth-breakingly tough unless I soak it in my tin cup of water. I watch for a chance to escape, but my hope burns lower now. There are more guards, more miles between us, and iron and steel securing me instead of hemp.\n\n***\n\nTullo still comes to me, though less frequently. He glances briefly at the sleeping girl, and I wonder if he would rather have her servicing him instead, but he raises no complaint when I bend to my task. The shot of spirit he offers me afterward sets fire to my stomach, but the extra bread is welcome.\n\n***\n\nOne night, a fortnight after I was put in irons, something is different. The guards unchain the girl as usual and lead her stumbling into the twilight, laughing at some crude joke. But when they return her, no food is forthcoming for either of us, and she does not return to her sleep. She sits, blinking, against the wall of the wagon, and at last her eyes seem to focus on me.\n\n\"Hello?\" I say. \"Can you understand me?\"\n\nShe blinks again, swallows, and shakes her head. She has a southerner's complexion, so I switch from my native Murnskai to Hamveltai. I speak Vordanai as well, though my accent and pronunciation for all the southern languages is atrocious; I learned them from books and snatches of conversations with my father.\n\n\"Hello?\"\n\nHer eyes widen. When she speaks, her voice is a croak, as though it had not been used for a long time.\n\n\"Hello,\" she says. \"You . . . you can understand me?\"\n\n\"If you speak slowly,\" I say.\n\n\"Who are you?\" She looks around, still shaking her head as though in a fog. \"Where am I?\"\n\n\"My name is Abraham. I don't know where we are, exactly. Somewhere on the north road.\"\n\n\"The north road?\"\n\nI wonder how far they have carried her, in her dazed state. \"North of the Worldshearts. On the way to Elysium.\"\n\n\"Murnsk,\" she says. There is fear on her face. \"I'm in Murnsk?\"\n\nI nod. \"What's your name?\"\n\n\"Alex. Or\u2014\" She hesitates, then shakes her head. \"Just Alex.\"\n\n\"Do you know what you're doing here?\"\n\n\"I\u2014\"\n\nThere's a _clack_ as someone unlocks the rear gate of the wagon. Alex stops. A moment later, a robed figure climbs up onto the wagon bed with us. At first I think it is the priest, but his robes are not red but utterly black. He face is obscured by a mask, a layer of thin cloth set all over with faceted chips of black glass. They glitter in the light of the outriders' torches, shifting liquidly as he moves.\n\n\"Good evening,\" he says, in Hamveltai. \"I see you're awake, Alex.\"\n\nShe has pulled herself away from him, as far as her chains will allow. Her eyes are full of hate. The masked man smiles, black glass shifting and gleaming. He turns to me.\n\n\"And you. I am told you can understand this tongue?\"\n\nI nod, stiffly.\n\n\"Good,\" he says. \"That will save me the trouble of explaining everything twice. My job is to prepare you as best I can for your new lives. Both of you bear demons.\" He catches my expression and sighs. \"Please don't attempt to deny it. Even if your use of sorcery were not well documented, this close I can _feel_ them. I have a demon of my own, you see. My name is Hunter, and I serve the Priests of the Black.\"\n\n\"My father told me there were no more Priests of the Black,\" I object.\n\n\"Your father thought there were no more demons, either,\" Hunter says. This isn't true, but I let it pass. \"These days we work in secret, but as long as there are supernatural forces loose to continue to corrupt humanity, our task will never end.\"\n\n\"Why,\" Alex says in her scratchy, damaged voice, and coughs. \"Why not kill us? If we're _corrupted_.\"\n\n\"That is, you might say, the heart of the matter.\" Hunter puts two fingers in the air, like a scholar lecturing a class. \"A demon can enter a human in two ways. Either the human can speak the demon's true name and summon it, or it can make its way to the world on its own and attach itself to some unwary soul, often in childhood. Once it has a host, the demon remains with them for life.\"\n\n_I will hide him._ I remember my father's hand, fumbling awkwardly with his pen. _They will not have my boy._\n\n\"Each demon,\" Hunter continues, \"is a singular being. Many are similar, of course, but each is ultimately unique, with its own unique name. They cannot die\u2014if the host is killed, the demon simply waits for its next chance. We still do not understand exactly under what circumstances they emerge into the world on their own, but we _do_ know that once a particular demon is attached to a human, that demon will not emerge elsewhere.\n\n\"Our holy order, therefore, fights the forces of darkness in two ways. First, we strive to eradicate knowledge of the true names of demons wherever they may be found. Second, when a demon does find a human host, we bring that host to Elysium, where the demon can be contained. Imprisoned, if you like. We ensure that the hosts live long lives, to keep the creatures from taking a new victim for as long as possible.\"\n\n\"So we're going to be locked up for the rest of our lives,\" I say.\n\n\"Yes. And when you die, I'm afraid you are already damned. The _Wisdoms_ are quite clear on the subject. But in case you are inspired to attempt anything . . . foolish, let me make two points. First, if you did somehow manage to win your way free, there is nowhere you could go that I could not track you. That is the power of _my_ demon. Once it has your taste, it will never let you go. Second . . .\" Hunter smiles again, light gleaming in new patterns on his face. \"We take great pains to keep you _alive_ , but we need not keep you _whole_. A man can live for a long time without hands, or without feet. Or without a tongue. Do you understand?\"\n\nI nod, feeling dazed. Alex, who seems to be getting stronger by the minute, sits up a little straighter and says, \"If you have a demon, then you're damned as well, aren't you? Why would you help do this to us?\"\n\n\"Because the more of you I lock away, the fewer innocents will suffer eternal torment. I am _Ignahta Sempria_ , Penitent Damned. Though my own soul is condemned to hellfire, I do what I can for the good of others.\" Hunter shrugs. \"You're both young. Someday you might aspire to join our ranks, if you work diligently and pass the tests. I suggest you spend the next few weeks contemplating what is the best use you can make of your lives, if you're guaranteed damnation in the hereafter.\"\n\nHe turns, in a swirl of black, and hops down from the wagon. Two guards arrive shortly thereafter, with our delayed meal. I can lift the bread to my mouth with my linked hands, but Alex is forced to sit and let them spoon-feed her soup, as carefully as a mother tending to a child.\n\nWithin minutes, she is asleep again, slumped against the side of the wagon. I chew the stone-hard dried meat and watch her, thoughtfully.\n\n# 4\n\nThe second time I used my demon, I was fifteen, and just beginning to realize I was in love.\n\nHis name was Peter Alivayani, and he was a novice of the Red, sent to Nestevyo to assist our resident priest. In one sense, Peter was the worst possible choice for my affections. In another, my feelings for him were inevitable.\n\nThe position of the priest in Nestevyo was a strange one. There was no man more respected, for reverence for the Church ran strong among the villagers. Holy Murnsk had never suffered from the schisms and conflicts that afflicted lesser nations like Vordan, leading them into heresy and disregard of spiritual matters. There was one Church, the Sworn Church of Elysium, and its red- and white-robed priests were the gatekeepers of salvation.\n\nBut in spite of this respect, or perhaps in part because of it, the priest was and would always be an outsider. He was not from the village, or any of the villages around the Sallonaik. Elysium's domain was vast, and a stroke of some functionary's pen had sent us a man from the western shore, along the Borel Sea, whose accent grated harshly on the ears of the natives.\n\nHe was a Priest of the White. When I first arrived in the village, there were two priests, one of the White and one of the Red. The former's attention was fixed on spiritual matters, while the latter tended to the material needs of the Church\u2014the collection of tithes, the maintenance of Church property, and so on. When I was fourteen, the Priest of the Red completed his term of service and returned to Elysium, and for a time we had only Father Orrelly. He was an old man by then, white haired and bent backed, but with a fine strong voice and an eye for sinful behavior all the village children had learned to mind.\n\nIn place of his departed companion, Elysium sent us Peter. He was a novice of the Red, a priest-in-training, and this was his first posting. Managing the business of a remote church like ours was considered good experience for a boy\u2014he was my age\u2014and in the meantime Father Orrelly would continue his spiritual education.\n\nLike his teacher, he was not a part of the village. He assisted Father Orrelly with services, helped the villagers with a bit of basic medicine, and studied books in the stone-walled house attached to the back of the church. The other boys and girls in the village gave him a wide berth, and the adults ignored him. But while Father Orrelly had had years to get used to his solitary life, I think it must have grated on Peter to live in a place where he had no one to talk to except a half-deaf old man. That would explain why he was wandering the day he found me reading in the clearing.\n\n***\n\nAs I'd grown up, my relations with the village children had worsened. I was no longer a novelty to be shunned, but a stranger in their midst, and by tormenting me whenever they could they strengthened the bonds of their own community through a mutual enemy. The boys would taunt me when I crossed the village, and if there were no adults about they might push me or hit me to get me to run so they could give chase. The girls made their disdain clear with elaborate gestures, walking around me in wide circles so they wouldn't have to breath the same air I did, or averting their eyes if they were forced to talk to me.\n\nI didn't mind, much. I had never had the company of other children, so I did not miss it, though I did not enjoy being pummeled, either. I kept to myself, and unless my father needed me for some errand I stayed away from the village, out in the woods along the rocky shore of the Sallonaik. There was a clearing where a giant old pine had toppled and made a space, and I would bring my books there to read.\n\nMy father's library had expanded over the years. The peddlers who were the town's main contact with the outside world usually had a worn volume or two on their carts, and they were more likely than most to need my father's skills. I worked for them too, sometimes, copying out letters and bills, quill scratching eagerly in the knowledge that some new book would soon be mine for the reading. So in addition to the _Wisdoms_ and the bare few histories my father had brought with us, I had read whatever had fallen into my lap: biographies of famous kings, romances of the Borelgai court, religious treatises, and descriptions of journeys to strange lands.\n\nThe day Peter found me, it was the last of these that I was enjoying. It was _Heart of Khandar_ , the story of the Vordanai explorer Merric's doomed attempt to follow the Tsel to its source, beyond the Great Desol. This was the third time I'd read it, and while my Vordanai was still weak, I was able to puzzle through some words that had eluded me before, so I turned each page with a fresh pleasure. I was so absorbed in the task that I didn't notice when a shadow fell over me.\n\n\"Is that interesting?\" the intruder said, eventually.\n\nI shot up like a startled cat, terrified the village boys had invaded my hiding place. Peter was sitting on the fallen log, watching me with his chin in his hands. I recognized him, vaguely, from Sunday service, but we had never spoken before. He was taller than me, with wispy blond hair that stood out from his head like a dandelion puff. He wore the robe of his office, a shapeless gray thing with a red stripe near the collar to mark the order of the Church he aspired to join.\n\nFor a moment I said nothing, trying to slow the beating of my heart, clutching the book to my chest. Peter frowned.\n\n\"I'm sorry,\" he said. \"Did I scare you?\"\n\n\"No,\" I said. \"No, I just . . . didn't expect anyone to find me here.\"\n\n\"I imagine not,\" he said. \"We're pretty deep in the woods.\"\n\nHis Murnskai had a different accent than the villagers' did, a hint of a lilt that I learned later was the mark of the far north, of Elysium. It made him sound like he was always half laughing. I looked at him, still suspicious, and said nothing.\n\n\"Do you come here often?\" he said, gently, with the air of someone patiently taming a wild animal.\n\nI nodded. \"The light is good here, during the day. If it doesn't rain.\"\n\n\"I like it,\" Peter said, looking around. \"It's peaceful. Nothing ever bothers you? The other boys told me there were wolves in these woods.\"\n\nI sighed. \"They're just trying to frighten you. The villagers shot out all the large animals around here ages ago. Sometimes you can hear wolves at night, but they're up in the hills.\"\n\n\"That's good to know.\" He looked down at the book again. \"So. Is it interesting?\"\n\n\"Fairly.\" I shrugged, for some reason wanting to play it cool. \"Captain Merric takes his men up the Tsel, fighting crocodiles and natives and never really sure where he's going. Only he gets the blue fever and dies, and his men have to go back without ever finding the source. Only ten out of thirty made it back to Ashe-Katarion.\"\n\n\"You know how it ends?\"\n\n\"I've read it before. We haven't got that many books, so I read them over a lot.\" I flushed a bit, embarrassed. None of the villagers have any books at all, of course, but I thought that a novice from Elysium must find my pretensions at literacy pathetic.\n\n\"I used to read a lot,\" Peter said with a sigh. \"The Great Library at Elysium has thousands of books. _Thousands_. Some of them are as old as Karis the Savior. None of the novices are allowed in there, though. Here, Father Orrelly only has the _Wisdoms_ , and he barely takes it down from the shelf anymore. He knows it by heart.\"\n\n\"I read the _Wisdoms_ , too.\"\n\n\"I bet Captain Merric and Khandar are more interesting, though.\"\n\nI wasn't sure if I should answer that truthfully\u2014he was a priest, after all, or would be\u2014but the look of longing on his face was such that I couldn't help but nod. Then, moved by an uncharacteristically generous impulse and the odd, fluttering feeling that was just beginning to take root behind by breastbone, I said, \"You could borrow this. If you promised to bring it back.\"\n\nFor a moment Peter lit up, but then his face fell. \"I can't. If Father Orrelly found it, he'd scold me, and he might take it away.\"\n\n\"Then come back here tomorrow,\" I said. \"I'll bring this for you to read, and something else for me.\"\n\n\"Really?\"\n\nI nodded, feeling like a prince dispensing spectacular munificence. Peter's smile made me feel warm, and slightly buoyant, as though I might float away into the midsummer sky.\n\n***\n\nThat was how we met, and how we started spending every sunny day reading in the clearing. At first we always sat in silence, reading, but eventually we began to talk a little as well. Peter told me about his life at Elysium, where he'd grown up from a very young age. Classes with the other novices, theology and languages and sums. Endless chores, rebuilding decaying sections of the crumbling, ancient fortress-city. Meeting boys from everywhere in the world that knew the Savior's grace, Vordanai and Old Coasters and Deslandai.\n\nIn return, I showed him my life in Nestevyo, the paths through the woods with which I'd grown so familiar. I knew where the old mother fox lived with her kits, and a place where there was a hollow tree so big we could both fit inside it together, pressed tight and giggling. In the end, I even agreed to take him to the tidal pools, which I hadn't returned to since that horrible day six years before.\n\nPerhaps I should not have done that. Those pools have been nothing but evil luck for me.\n\n***\n\nSagamet had lived another four years, then died from what my father said was probably a trouble with his heart. I had sat by my dog's side, listening to his labored breathing, and in the back of my mind I'd wondered if I could help him, if I could still call up that _cold_ feeling of the demon under my skin. But I'd promised my father, never again. We buried Sagamet in the stony soil in back of the house, and I'd cried myself to sleep. Going back to the tidal pools made me think of him again, and my eyes were unexpectedly misty as I led the way through the woods to the rocky shore where the natural basins could be found. Peter followed close behind me.\n\nAt his request, we bypassed a few of the shallower pools, where I'd once gone to look for fish and strange artifacts. Instead, I took him to a deeper basin, twenty feet across and full to a substantial depth even at low tide. Getting down to it involved a scramble over a series of ledges of protruding shale, edged with unexpectedly sharp points of rock. My hands were scraped and twinging by the time we reached the water's edge.\n\nI looked at the water dubiously. It was clear enough that I could see the bottom, and there was nothing more dangerous than a couple of trapped fish. Certainly no salverre. But it was too deep to pick the fish out with our hands, and we hadn't brought poles or spears. Peter knelt and trailed his hand in the water.\n\n\"Brr. Not exactly a bath, but it's warmer than the stream.\"\n\nThen, to my astonishment, he shed his robe in a heap. Underneath he had only an undershirt and breeches, and he was soon out of these as well. Before I could say a word, he backed up a few paces for a running start, paused, and jumped out over the water with a yell. He hit with his knees pulled up to his chest, creating a gigantic splash that flicked spray across my face.\n\nI stared. We didn't swim in Nestevyo. The Sallonaik was deep, dark, and _cold_ , and the villagers who took boats out onto it treated it with an almost superstitious dread. There were worse things than salverre in there, lurking in the depths. I had never been in water deeper than my shins, and watching Peter stroke easily across the tidal pool was as startling as if he'd casually started to fly.\n\nHe reached the other side, took hold of the rock, and looked back at me. \"Well? Aren't you coming in? It's not _that_ cold.'\n\n\"I don't . . .\" I shook my head. \"I can't . . . I mean, I don't know how to . . .\"\n\n\"You don't know how to swim?\" Peter pushed off from the wall and dove under the surface, skinny pale legs kicking for a moment in the air. I watched with mounting horror until he popped back up with a gasp right in front of me. \"It's shallow enough to stand here. Come on, I'll show you.\"\n\n\"I'll just . . . watch,\" I mumbled.\n\n\"Come _on_ ,\" Peter said. \"It's only water.\"\n\nWhether it was his mocking smile or the heat of the summer day that convinced me, I couldn't say. Eventually, though, after much prodding, I left my own clothes in a pile beside his and slid gingerly into the pool. It _was_ cold, but not as cold as the lake; the sun on the rocks had warmed it a little. I had a moment of panic when my feet slipped on the slimy bottom, and Peter caught my hand to steady me.\n\n\"Try putting your head under,\" he said. \"Getting your hair wet feels good.\" His dandelion-puff hair hung heavily around his head in thick blond masses.\n\nIt took a lot of coaxing, but eventually I managed that. Peter took my hands and convinced me to take my feet off the bottom, kicking so frantically that I beat the water to a froth. He laughed and laughed, and I ducked my face in the water to hide my flushing cheeks. After an hour or so, he had me doing a reasonable dog paddle. I even, breathless with my own daring, followed him out into the center of the pool to tread water over an abyss perhaps eight feet deep.\n\n\"Where did you learn to do this?\" I said while we were resting.\n\n\"At Elysium.\"\n\n\"I thought Elysium was up the side of a mountain, next to a river of ice that never melts. Wouldn't you freeze?\"\n\nPeter nodded. \"There are places where water wells up out the ground, too hot to touch. That's why Saint Ligamenti built the first fortress there. He was fleeing into the mountains, his men were all freezing to death, and God showed him where there was a spring warmed by an eternal flame. Nowadays it's all pipes and valves and things. The water goes into these big cisterns to cool, and you can swim in them.\" He winked. \"If you're smart enough to get away from the barracks without the priests finding you.\"\n\nI laughed. \"I thought it was all books and chores.\"\n\n\"There's plenty of that, too.\" He pushed off the wall, grinning. \"Come on. Let's try to touch the bottom.\"\n\n***\n\nWhen the sun started to slip toward the horizon and the cold waters of the Sallonaik began trickling over the lip of rock separating the pool from the lake, we reluctantly decided it was time to go back to the village. Peter scrambled back onto the rock where we'd left our clothes, and held out a hand to pull me up. We stood for a moment, dripping and shivering but thoroughly happy. It occurred to me, the thought springing from nowhere, that I would like nothing more in the world than for Peter to kiss me.\n\nI turned away from him immediately, fumbling with my clothes. By the time I managed to get dressed, Peter was already climbing the ledges, and I scrambled after him. Our wet hair and damp garments made it cold in the shadow of the trees, so we set a brisk pace on the walk home. We'd come some distance, though, so I had time to think.\n\nIt wasn't that I'd never thought about that sort of thing before\u2014I was a fifteen-year-old boy, after all\u2014but it had always seemed to take place on another world, something I could view via the telescope of my books but never touch. None of the village girls had ever shown the slightest interest in me, and I had long ago written them off entirely. The Borelgai court romances were full of brave knights and their ladyloves, but their affairs seemed to consist almost entirely of pining, jealousy, and tragic or violent deaths. What I felt now\u2014what I had felt for some time, I began to realize\u2014was entirely different.\n\nBefore I had decided what I could possibly do about it, we were approaching my shack. This was usually where we separated, me to return to help my father with the evening's tasks, him to report back to Father Orrelly. Today I saw that our little boat was halfway out of the water, as though my father had been out fishing and had gotten distracted before he'd gotten the chance to pull it entirely onto the rocky beach. It wasn't until we left the trees behind that I saw the crumpled shape beside the boat, and my throat went tight. All thoughts of Peter were immediately gone from my mind.\n\n\"Father!\" I said, running the last few yards. He lay on his side beside the boat, one hand stiffened into a claw and tangled in his shirt, his eyes wide and unfocused. His breath was harsh and ragged, and his skin had darkened to an ugly gray. He gave no sign that he noticed my approach, but only kicked his legs feebly.\n\n\"Father,\" I said, already crying freely. I fell to my knees beside him, groping for his hand. \"Father, what's wrong?\"\n\n\"It's his heart,\" Peter said. I looked up, my eyes blurry with tears. I had forgotten he was there.\n\n\"What should we do?\" The Priests of the Red were taught a little bit of healing, I knew. They were often the only recourse of lonely villages, far from the cutters and surgeons of the city. \"Help him!\"\n\nPeter chewed his lip. \"We can take him inside, try and get him warm.\"\n\nI nodded, sniffling, and went to take up my father's legs. Peter took his arms, and somehow we managed to lift him. The world seemed to spin around me. This was my _father_ , the man who had been at the center of my life since I could remember, as unchanging and eternal as the sun and the moon. Now we were carrying him into our shack like a sack of wheat, his head lolling, a spreading stain on his breeches were he'd pissed himself. I nearly dropped his legs several times, and once we had him laid out on his thin pallet, I sat down and started sobbing.\n\nPeter spoke to my father, tried to get him to respond, snapped a finger in front of his eyes. He bent down and put an ear against his chest, then sat up.\n\n\"What do we do now?\" I said.\n\n\"I don't know. I don't think there is anything _to_ do.\" Peter shook his head. \"Abraham, he's going to die.\"\n\n\" _No!_ \" I slammed my fists against the earth. \"No. There has to be something you can do!\"\n\nPeter just shook his head. I closed my eyes and wiped the snot from my nose, breathing hard.\n\nThere was nothing he could do. Maybe nothing any doctor could do. But there was something _I_ could do, something I'd sworn never to do again. Deciding to break my solemn promise took me only a moment.\n\n\"Get out of here,\" I said to Peter.\n\n\"What?\" He stared at me. \"What do you mean?\"\n\nI couldn't let him see what I was going to do. \"I mean go. Leave. Please. Leave me with him.\"\n\nHe shook his head again. \"I'm not going anywhere.\"\n\n\"Peter\u2014\"\n\nThe breath rattled in my father's chest. His hand twitched, weakly. There was no more time. I put Peter out of my mind, put everything out of my mind except my father and the _cold_ feeling of the demon, sliding up out of the depths of my soul and down into my fingers like an old friend coming home.\n\n# 5\n\nIt has to be a drug.\n\nEvery day, Alex sleeps soundly, no matter what I do to try and wake her. She only starts to revive as the sun sets, and once the guards spoon-feed her a bowl of soup, she's unconscious again in moments. I've tried to watch them prepare the soup, but I can't see very much from my chained position.\n\nI start to think about how I can help her.\n\n***\n\nVery little breaks the monotony of the days as the wagons grind north as fast as the roads allow. A week of sunshine dries the mud to hard-baked clay, and we make good progress, but then the rains break and it's back to probing the muck with sticks.\n\nI now pray for rain. The farther we go, the closer we get to Elysium, and the smaller my chance for escape. Not that I hold out a great deal of hope anymore, but once we reach the fortress-city there will be no chance at all.\n\nSo Hunter tells us, anyway. Once or twice a week, Alex's nightly drugging is put off for a few hours so the Penitent Damned can come and lecture us on the life we can expect once we're interred in the ancient catacombs. A healthy one, apparently, well cared for but ascetic in terms of physical pleasures. Hunter tells us this will be good for our souls, give us time to contemplate the hereafter, though how this squares with his earlier comments about being predestined to eternal damnation I cannot say. Theology was Peter's subject, not mine. I wonder if these lectures are official Church policy for incoming prisoners, or if the Penitent is simply indulging himself with a literally captive audience.\n\nI look forward to those days, though, because in the time before Hunter arrives, I have a little while to talk to Alex. It tears my heart to watch her struggling toward awareness, the moment of pain in her eyes as she surfaces from whatever dream had captured her and realizes that reality is still the wagon and the chains.\n\nShe tells me a little bit about her life in the League cities, and the small details are what astonish me. Newspapers, for example. I try to imagine a place where paper and printing are so cheap they can be put to a single use and then discarded, and my mind boggles. I counted myself fortunate to have access to a couple of dozen books; in Hamvelt they must have every book in the world.\n\n\"Did you know about them?\" I ask her. \"These Penitent Damned?\"\n\nShe shakes her head. \"The Old Man was always warning me about the Sworn Church, but I don't even think he really believed there were still Priests of the Black. As far as I knew, I was the only one with . . . a demon, I guess I have to call it now.\" Her face went hard, and I decide to change the subject.\n\n\"The Old Man\u2014your father?\"\n\n\"No\u2014I mean, yes, I suppose, in a way. The closest thing I ever had to one. He was my teacher.\"\n\n\"In a school?\" My breath caught trying to imagine it, thinking of the stories Peter told of his days at Elysium.\n\nShe chuckled. \"No. He was a thief.\"\n\n\"A . . . thief?\"\n\n\"The best thief in the world.\"\n\nNeedless to say, there were no professional thieves in Nestevyo. If something was stolen, it was never long before the culprit was discovered, and the villagers administered a sort of rough justice measured in shared favors, public shaming, and an occasional beating. I listen in awe as she tells me about Metzing, who robbed from the rich and powerful and was successful for so long he became a kind of hero. It fits perfectly into the world of the cheap romances that had provided so much of my reading material.\n\n\"Will he come find you?\" I blurt out, my mind suddenly abuzz. If someone like _that_ were to help us, then surely\u2014\n\nBut I can tell, at once, that it's the wrong thing to say. Her expression goes cold and hard again.\n\n\"He's dead,\" she says. \"They killed him, when they took me.\"\n\nWe sit for a moment, in silence. I am aware of precious seconds ticking past, these rare guarded moments, but I cannot think what to say.\n\nTime runs out before I can decide. Two guards ride forward from the rear of the caravan, with two strangers in tow. By the state of their clothes and horses, these men have been riding hard, and yet they are clearly impatient to be off. The guards make them speak to the Priest of the Red, an exchange of rapid-fire Murnskai.\n\n\"What's going on?\" Alex says, straining against her bonds to see. \"What are they saying?\"\n\n\"They're couriers on their way north with news.\"\n\n\"What news?\"\n\nI listen for a bit, then shrug. \"The King of Vordan is dead.\"\n\nAlex blinks. I can _see_ whatever they've given her fading, her powers of concentration returning. But not fast enough; Hunter comes, with his speeches, and then the laced gruel that sends her back to her poisoned sleep.\n\n***\n\nIt is not only sympathy that makes me want to help Alex. I have a slender reed of hope, a castle built on a foundation of sand. My reasoning runs like this:\n\nShe has a demon. I have a demon, too, but I am not kept unconscious day and night. It is a great deal of trouble for them, and they would not do it without a reason. Therefore, Alex's demon is one that, without the drug, might be able to help us escape.\n\nIf I can keep her awake long enough for her mind to clear, we have a chance.\n\n_She_ has a chance, anyway. She might flee on her own and leave me to rot, but I don't think this likely. Though we have only had a few short conversations, I feel like I know her well enough to make this guess, at least.\n\nIn any event, I have no other options.\n\n***\n\nI begin caching the extra bread Tullo brings me inside my filthy shirt. After two or three nocturnal rendezvous with the mercenary, I steel myself and make my move.\n\n\"Hey,\" I tell the guard who brings Alex soup. \"Do you want me to do that?\"\n\nHe looks at me quizzically. But he is thinking about it, which means another guess of mine was correct\u2014the ordinary guards do not know what sort of people they are transporting. Now I need to hope he is lazier than he is dutiful.\n\n\"Can you reach her?\" he says.\n\nI nod and shuffle across the wagon bed. Stretching my chains to their limit, I can just about put my hands on Alex. I have to stretch to reach her head. The edges of the fetters have chaffed the skin of my wrists into a mass of sores and scabs, and putting pressure on them makes me wince, but I try not to show the pain.\n\nAn irony: no matter how I try, I cannot use my demon to soothe my own hurts.\n\n\"It's just that you do this every day, and I imagine you have better things to worry about. Keeping us safe from wolves and so on.\" I give him my best guileless smile. \"I'm just sitting about here anyway, right?\"\n\nEmotions flicker across the guard's face. He's not very bright, but even he can see there must be more to my offer than it appears. On the other hand, spooning soup into a sleeping girl isn't the most pleasant duty, and I'm sure he'd be glad to be rid of it. It might work. It might work\u2014\n\n\"No.\" Voryil, the leader of the guards, materializes from the darkness outside the wagon. \"Feed her yourself, Bokka.\"\n\nBokka looks briefly truculent. \"Why should I? If he want to help\u2014\"\n\n\"He only wants to steal her food for himself,\" Voryil says, looking at me. \"Leave the wretch alone and see to your work.\"\n\nThe guard shrugs at me and goes back to his task. I retreat to my corner and eat the hard, moldy bread I'd been saving.\n\n***\n\nThe next time dinner is late, and Alex starts to blink and open her eyes, I speak to her in an urgent hiss.\n\n\"Alex. Alex, can you hear me?\"\n\nShe looks up at me blearily. \"Wha'?\"\n\n\"We have to get out of here. We have to escape.\" I keep my voice low. There's no telling when Hunter will arrive. \"Could your demon break these chains?\"\n\nAlex stares. \"Can't. Too . . . too sleepy. Can't think straight.\"\n\n\"But if you were awake?\"\n\nHer eyes cross with the effort of will it takes to produce a coherent answer. \"Yes. I think so.\"\n\n\"I . . . I might have a way. But it's dangerous. It could hurt you badly.\" Another pause. \"I don't want to try it unless you're willing. But if we wait too long, they'll take us to Elysium.\"\n\nThe back of the wagon opens with a _clunk_. Hunter is earlier than usual. But Alex fixes me with her gaze, then glances in the Penitent Damned's direction, and carefully mouths her words.\n\n_I would rather die._\n\nI swallow hard and close my eyes.\n\n***\n\nThere are two things I need to do, if this is going to work. First, Alex needs a clear head to break the bonds that hold us to the wagon.\n\nSecond, Hunter needs to die. He told us himself that his demon will let him track us wherever we flee. If we leave him alive behind us, we will only be captured again, and he has spoken often of the torments that await the recalcitrant. The lengths the torturers of Elysium can go to while leaving a victim alive and bound to his demon.\n\nIf it comes to that, Alex is right. I would rather die. But it would be better to live, and that means killing Hunter. I think I know how to do it.\n\nThe mask hides his face, and by day he speaks only Murnskai like the rest of the caravan, but the man's pride gives him away. It is the Priest of the Red who leads the expedition, who gives the orders, who never hammers a tent peg or pulls a stone from a horse's hoof. He cannot be Voryil\u2014Hunter is a big man, and the guard leader is skinny as a rail\u2014and I cannot imagine Hunter taking orders from a man like Tullo or the other guards. He must be masquerading as the priest.\n\nAnd Priests of the Red are trained in medicine . . .\n\n***\n\nMy demon waits, slick and _cold_ at the back of my skull. It feels . . . eager. I shiver.\n\n# 6\n\nMy father lived, but he was never the same man afterward.\n\nWith the demon flowing through my hands, I could feel his body as I had felt Sagamet's, in all its intricate complexity and machinelike precision. The damage was obvious, a thrown gear in the clockwork pump of the heart, but it was more than that. I could feel his brain, a great crackling cloud of bottled lightning, and feel the damage spreading there as well. The heart was simple enough; even an ignorant boy like me knew its function, and my demon had no trouble reassembling it. But I dared not turn it loose in the brain, where I understood nothing. I timidly fixed a few obvious gaps, but that was all.\n\nIt has haunted me ever since. If I had embraced my demon instead of turning away from it, practiced healing wounds and illness, I might have had the skill my father so desperately needed. Instead, I'd tried to pretend the thing didn't exist, and now when I needed to command it I was clumsy and useless.\n\nAt first, all seemed well. My father's breathing eased, and color returned to his face. He slept for days, but peacefully. When he woke, though, it became clear there was something terribly wrong with his mind. He could seem almost normal when he was engaged in a familiar task, his fingers handling a pen or mending a pot with all of their old skill, but on closer inspection the _sense_ of the task would be wrong. He would fix pots that weren't broken and write endless reams of gibberish with apparent satisfaction.\n\nSometimes he didn't recognize me or called me by the wrong name. Sometimes he pretended I wasn't there at all.\n\nThe villagers, to my surprise, were sympathetic. Though the children now had another name to shout at me\u2014the mad scribe's son\u2014the adults were more understanding. There were gifts, dried fish and sacks of grain, and requests for my scholarly skills that were probably more generous than they really ought to have been. I did my best to feed us both, though my father never showed any understanding or gratitude. It was painful to watch him and remember the kind, loving man he had once been. I thought, over and over, of taking my demon to him again and trying to fix what had gone wrong, but the memory of the torn, intricate web of connections inside his skull always stopped me. I could easily make things worse, or kill him, and for all that he had become difficult I still loved him.\n\nIn addition to my father, there was Peter to deal with. That day, when I returned to myself, he was gone from our house. He told me later that my hands had glowed with an eldritch light, and he'd taken to his heels at once; all I knew at the time is that he must have seen _something_ that told him of my true nature. I waited, for the first night and the next day, for the angry crowd of villagers outside my door, led by a grim-faced Father Orrelly.\n\nAt the very least, I never expected to see Peter again. What sane man would knowingly associate with a demon's host? And what priest of Elysium would suffer one to live?\n\n***\n\nI no longer had time to read in the clearing. I spent my days either scribing for the village folk, when work was available, or fishing when it was not. My skills in the latter area were woefully inadequate, and I nearly capsized our ragged little boat a half dozen times. A few of the other villagers condescended to show me the very basics of the art, and I usually managed to catch enough for our dinner, though never to supplement our income. When the peddlers came to town, I no longer examined the books they had for sale; instead, in spite of my efforts with pen and rod, I was forced to sell off my father's painfully acquired library, piece by piece. The coin went to food, patches on the roof, patches in the boat, broken rods, and new pens and ink and all the other little expenses that combine to ambush you when you think you've got things sorted out. I held each book for a while, like an old friend, before pressing it into the peddler's hands for a fistful of copper.\n\nIt was a month after my father's illness when Peter came to see me at our shack. It was morning, and I was pulling our boat down to the water, cursing the awkward, many-times-knotted ropes that scraped painfully against my arm as it slid past. I had my feet in the muck at the water's edge when I noticed he was there, watching.\n\nI dropped the rope and straightened up. Peter was wearing his red-striped robe of office, as always\u2014I don't know if the priests had provided him with any other clothes\u2014and his expression was solemn. I'd already played out this meeting in my mind, a dozen times, and I'd determined that if he had come to condemn me as a demon host, I wasn't going to deny it or try to fight him. My hope was that I could appeal for pity on behalf of my father, who would die without me to care for him. If the Church wanted to take me, perhaps Peter could be convinced to intercede on his behalf.\n\n\"I missed you,\" Peter said. \"In the clearing. I've got the last book you lent me, if you want it back.\"\n\n\"Keep it,\" I said, as gruffly as a fifteen-year-old could manage. It was a cheap edition of a Borelgai romance anyway. A peddler wouldn't give me much for it.\n\n\"Have you been avoiding me?\" he said.\n\nI shook my head, though I had been, a little. I hadn't been back to church services in a month. \"It's my father. Ever since . . . ever since then, he needs me to look after him. And I have to find food for us.\"\n\n\"He was dying. You saved him.\"\n\nI nodded. My heart thumped painfully loud.\n\n\"He ought to have died. That was the will of God.\"\n\n\"Can't my saving him also be the will of God?\"\n\nPeter shook his head. \"Demons are snares sent to test us. Every human who gives in to a demon's power strains the immense gift granted to us by the Lord after Karis' intercession, sparing the world from final judgment so that we might reform.\"\n\n\"Oh,\" I said, letting my eyes fall to the sand. \"Right.\"\n\nThere was a long silence.\n\n\"On the other hand,\" Peter said, \"it's a tricky theological point. Saint Ligamenti says to help a fellow man in need is the highest virtue to which one can aspire.\"\n\n\"If a demon lets you help someone,\" I said, \"do the two sort of cancel out?\"\n\n\"I don't know,\" Peter says. \"We didn't actually talk much about demons in my classes. Maybe that bit comes later.\"\n\n\"Have you told anybody?\"\n\nHe studied me for a long moment, wide brown eyes unreadable. \"No.\"\n\nI let out a breath, then paused. \"Are you afraid of me?\"\n\nPeter shook his head again. \"No.\"\n\n***\n\nThings weren't exactly like they were before, after that, but they weren't entirely different, either.\n\nPeter came to see me often. He told Father Orrelly that he was helping me in my time of need, and that was true enough. We would go out to fish together, taking turns with one of us working the rod while the other read aloud. There was something uniquely peaceful about staring at the dark waters of the Sallonaik, broken only by the bobbing wooden float, and hearing Peter's rich voice tell the story of an expedition down the Tsel or describe strange beasts discovered in the Gantean Islands. The other fishermen gave us strange looks, but we were both outsiders, after all, and our ways were not to be understood.\n\nEven my father seemed to improve, a little. He still often failed to recognize me, but his moods were calmer and flared less often into rage. He seemed to be engaged in some great project, writing and rewriting on the same piece of brown paper until it was nearly black and soggy with ink. I didn't have the heart to stop him, even if we could hardly afford the expense in stationery.\n\n_I will hide him_ , he wrote, over and over. _I will go to the mountains. They will not have my boy._\n\nI was sixteen when I kissed Peter for the first time, after nearly a year of frustration and sticky, furtive nights with my imagination. I approached the subject like a hunter stalking supremely dangerous prey, circling round and round without ever giving away a hint of my true intention. I suspect Peter knew what I was up to, and let it play out because he found it amusing.\n\nSo we talked about kissing in general, and the virtues of it, and how it featured heavily in certain dramas we'd read, and then about how I'd heard in general terms about boys who preferred to kiss other boys. Peter allowed that he'd heard of such a thing, too, and even let on that in the boys' barracks at Elysium there'd been a quiet fraternity of those who'd been interested in the matter. I expressed my fascination, in a purely scholarly sense of course, and wondered if he'd ever been a party to this society, and he hinted that he might have been, once or twice. And I said\u2014\n\nAnd so on. By the time he reached over and pulled my face to his, my lips were cracked, and my throat was dry with anticipation. He seemed to know what he was doing, which suggested his Elysian adventures had been more extensive then he'd let on. I clung to him like I'd been drowning.\n\nAfter _that_ , my life was almost happy, for a while.\n\n***\n\nMy father died, a little more than two years later. It was quick, and in his sleep. I was glad I hadn't found him until morning, by which time he was already cold. I didn't want to confront the temptation to call on my demon once again.\n\nHe had never improved enough to answer my questions, but I'd gathered hints, here and there, from his scribbles and his raving. He'd known about my demon, long before I had. He'd come to Nestevyo for my sake, giving up his old life, to keep me a secret. After we buried him, and the other villagers had gone, I fell to my knees and whispered the thanks I'd never been able to tell him while his mind was whole.\n\nBy that time my fishing had improved, and my business scribing for the villagers and the occasional traveler was enough that I didn't need to take the boat out as often. Without my father's share of the food to pay for, I was comfortable enough. Peter visited as often as his work allowed, which was quite frequently; old Father Orrelly made only occasional demands on his novice's time.\n\nThere was a distant feeling of looming dread, although that may only be in retrospect. I had a vague sense that what I was doing with Peter was wrong, or at least that his superiors would not approve. More importantly, he was approaching the time when he would be frocked as a full-fledged Priest of the Red and sent off to his final posting, which would almost certainly not be in Nestevyo.\n\nI resolved to myself that I would follow him. There was nothing holding me in the village anymore, and I was eighteen, a man with a man's right. I could go where I liked. Peter would object, but I was certain I could convince him. I had visions of living somewhere more civilized\u2014a cozy little town near the coast, perhaps, houses with clay-tiled roofs and brick chimneys. I could keep scribing, read more, maybe even become a scholar and write books of my own. It was a pleasant fantasy.\n\nThen Father Orrelly died. The village mourned, but it was not unexpected; he was an old man. Peter wrote out a letter to the local Bishop of the White, requesting the assignment of a new priest. A month later, Father Barca arrived.\n\nFather Barca was everything Father Orrelly had never been\u2014bombastic, imperious, rock certain in his faith, and scornful of anyone who did not share his certainty. He was a powerful man in his middle forties, with a thick black beard and tiny, deep-set eyes. Some instinct made him detest Peter on sight. Perhaps Barca sensed his kindness or his love of knowledge. In Barca's world, kindness was weakness, and the only things worth knowing were written in the _Wisdoms_.\n\nOur life became a series of stolen moments, time together snatched from under the watchful eye of the priest. I could do as I liked, of course, but Peter was bound to obey his superior, and Barca kept him busy with exercises designed to restore his flagging faith and morals. Peter copied out the _Wisdoms_ , over and over, and burnt each page as a sacred offering. He cleansed himself, holding his hands near the altar candles to the point of pain while he prayed to the Lord for mercy. Barca watched it all with his lip twisted in a smirk, and it was never enough for him. I thought that, a hundred years ago, Barca would have made an excellent inquisitor for the Priests of the Black, forcing heretics to recant with red-hot knives.\n\nI don't know when the priest started beating Peter savagely for failing to measure up to his standards. Peter kept it concealed from everyone for as long as he could, but one day I found him stumbling to my doorstep, robes in disarray, blood streaming from the back of his skull. When I took him inside and put my arms around him, I could feel the torn flesh beneath his robes. He was crying, sobbing with the pain, and the _cold_ feeling rose unbidden from the back of my mind.\n\nI fought it down and led Peter to my father's old pallet. I stripped off his robe and cleaned his wounds as best I knew how, wetting several rags with blood. When he recovered a bit, he directed me in binding strips of cloth around the slashes on his back and thighs. The priest, Peter explained dully, had given up on the switch as inefficient and started using his leather belt with its sharp-cornered steel clasp.\n\n\"What will you do now?\" I asked him when we were done.\n\n\"I have to go back.\" His voice sounded broken, dead. \"What else can I do?\"\n\n\"But he'll just do this again!\"\n\n\"I have to . . . keep him happy. Do my duties better.\" He closed his eyes. \"It's not that much longer. Another six months, and I'll be free of him.\"\n\n\"What did you do to provoke him this time?\"\n\nPeter rested his head on the pillow. His voice was small. \"I don't know.\"\n\nI smooth his hair, gently, and rage seethed white-hot in my chest.\n\n***\n\nIt wasn't hard to convince Peter that he should at least spend the night at my house, and apologize to Barca in the morning. Once I was certain he was asleep, I slipped out, padding carefully down the dirt track and into the village.\n\nWinter was finally releasing its grip on the land, and signs of spring were everywhere. The moon was nearly full, and in its silver light I could see the shoots sprouting from the gardens of the village women, the patches of grass and small white flowers that sprang up between the paths, the fluttering of countless moths overhead, and the occasional flap of a bat. Every house I passed was dark and silent. The priest's dwelling, attached to the rear of the church, was one of the only stone buildings in Nestevyo, though even this holy place had to make do with a mud-and-grass roof. It had a proper wooden door, though, and I was afraid this might stop me. But it opened when I gave it a tug\u2014there were no locks in the village, and it hadn't been tied shut.\n\nInside, the priest's house was no more luxurious than mine, save for the gilt-and-porcelain shrine in one corner that was carried into the church itself on holy days. A copy of the _Wisdoms_ , heavy and silver edged, sat on the little table, and a curtain separated the main room from the sleeping pallets. I pushed through it and found Father Barca sprawled and unconscious, massive, hairy arms akimbo. He slept soundly, and there was a faint smell of spirits in the air.\n\nI bent down, reaching for the rage I'd felt only minutes before. The thought of Peter's pale, torn skin made it flare up again. He wouldn't survive another six months with Barca, I was certain. It was one life against another; surely God would understand that.\n\nI called on my demon, and the _cold_ slipped down through my arms and into my fingers. I placed my hands, gently, on Barca's chest and saw in my mind the clockwork enormity of his body. Even a man like this, even an _evil_ man, is more intricate and complex than the finest creation of any artificer; to see it would be enough to make a heretic believe in the Creator. I let my demon prowl, slowly, through the myriad pathways of the priest's flesh. Then, exerting my will, I coiled it into a fist and sent it smashing outward, bringing the marvelous structure crashing down around us.\n\nIt didn't take much. Just a few taps, around the heart, before Father Barca's breath gurgled in his throat and his body spasmed. Killing was easy, so much easier than healing, and I thought I could feel my demon's glee.\n\n***\n\nThere were no marks on the body, no way for anyone to guess that the priest hadn't died a natural death. Few in the village mourned; his fiery brand of religion had been a poor fit for the practical people of Nestevyo, who were more worried about their next meal than the next life.\n\nBut there was one person, of course, who knew. After the villagers brought the news, Peter left my house the next morning without speaking to me. We avoided one another from then on as if by mutual consent. He had to have guessed what had happened, but I hoped he would eventually come to terms with it. I had saved his life, after all, even if he hadn't asked me to.\n\nI should have known better. Peter had never cared very much for his own life when it came up against the dictates of his conscience.\n\nA month passed without us exchanging more than a glance. Time for a letter to wend its way out to the Church, for them to respond. I thought they would send another priest. Instead, the village awoke one morning to find a black carriage waiting on the road, accompanied by a squad of nervous Imperial soldiers.\n\nI didn't resist. What would have been the point? They would have shot me down on the spot.\n\nThe troops delivered me, sealed in the back of the carriage, into the care of a caravan headed for Elysium. When they finally let me out, blinking against the sun, my breath caught. Peter was with them, bound to a saddle like a prisoner.\n\nOne of my guards explained later. The poor, sweet, stupid fool had written a letter to the bishop, confessing everything\u2014me and my demon, our relationship, Father Barca's death\u2014and begging for absolution. Orders had come back. I was to be taken to Elysium as a demon host, and Peter to the bishop's dungeons in Raga, to await judgment. Whether the charge was immorality, associating with demons, or conspiracy to murder they didn't say. Bishops of the Church are not obligated to justify themselves.\n\nUp to that point, I had been resigned to my fate. I had killed a man, after all. Perhaps they were right to imprison me. But when I saw them leading Peter away\u2014Peter, who had done nothing wrong but offer kindness\u2014I felt the rage rising again. They had to wrestle me into the cart, hold me down while they tied my bonds.\n\nI knew I had to find him. That night, I began planning my escape.\n\n# 7\n\nI do not know if my plan will work, and there is no way to test it beforehand. If I fail, though, what more can they do to me? Kill me on the spot? After what Hunter has told me, I am inclined to agree with Alex that death would be preferable.\n\nI wait until evening, when the convoy has pulled into its nightly camp beside the road. We are passing through an ancient wood, huge trees larger than anything near Nestevyo blotting out the stars. The road is rocky and dry for once, a narrow track cut through the underbrush barely wide enough for the wagons. Here and there it makes wide semicircles where the builders went around a particularly massive pine instead of going to the trouble of chopping it out of the way.\n\nTorches flare in the failing light as the outriders begin setting up their tents. We have perhaps an hour before they come to take Alex and me on our once-a-day sanitary excursion and then give her another dose of the drug.\n\nThe Priest of the Red sits on the box at the front of the wagon. His short companion has slipped off to help erect the camp, but the priest watched the men work with benign indifference. He yawns and raises his hands above his head to stretch.\n\n\"Sir,\" I say, putting as much urgency as I could into my voice. \"Father!\"\n\n\"Eh?\" The priest half turns. \"Quiet, you.\"\n\n\"There's something wrong with the girl.\" I point at Alex with my bound hands. \"I don't think she's breathing.\"\n\n\"What?\" The priest glares at her, but she lies very still, as she always does when the drug has her in its grasp. \"Damnation.\"\n\nAs I had hoped, he began to climb over the back of the box into the bed of the wagon. There is no one in the convoy more suited to give medical attention than a frocked Priest of the Red, so it made sense that he would attend to it himself. Once he is bent over Alex, the sides of the wagon will hide him from the view of the men outside.\n\nAll the same, I feel a sudden thrill of doubt. The priest _looks_ like Hunter, sounds like him\u2014as best I can tell, given the black glass mask and the enveloping robe\u2014but I can't swear they are the same man.\n\nStill. It's too late to back out now.\n\nThe Priest of the Red drops into the box and kneels beside Alex, looking at her closely. When he touches her cheek, she groans and stirs slightly. The drug is wearing off.\n\n\"She's alive,\" he says. \"What do you think\u2014\"\n\nI reach out, as far as my chained hands will allow, and grab him by the arm. My demon flows out through my fingers, _cold_ and gleeful. There is no time to admire the complexity of his form, no time for anything but a frantic descent into his body. He starts to utter a cry, but I stretch out my will and the muscles of his throat seize up. A moment later, I have a hold on his heart, which gives a frantic stutter and then stills forever. The priest falls to the floor of the wagon with a gasp and does not move.\n\n\"Wh . . .\" Alex's eyes are half-open, full of uncomprehending terror. It's painful to watch her try to focus through the haze of the drug.\n\n\"I don't know if this will hurt,\" I say. I tear a strip from the priest's robe, pull her mouth open, and stuff the cloth inside. I can't afford to have her scream. \"If it does, I'm sorry.\"\n\nHer eyes go wide. I take her bound hands in mine, and send out my demon once again.\n\nI can feel every part of her, every fiber of muscle and quivering nerve. I search, frantically, for what is wrong with her, and in her blood I find the drug. A nasty, spiky thing, slowing her heart and her lungs, pushing her toward darkness. The strength of it is such that I marvel she wakes up at all.\n\nThis is a more delicate operation than the crude murder I had just committed, and I have no idea if my skill is sufficient to the task. Her body is already attempting to pull the drug from her veins, rendering it harmless, and I exert my demon's power to help it along. Alex moans, muffled by the gag, and her back arches. I can feel her heart slamming in her chest, beating out a fearsome pace. I am hurting her; her hands curl into claws. But it is working. I can feel it working.\n\n***\n\nAfter a few seconds, or a few minutes, or an hour\u2014I can no longer tell\u2014I am finished. Every trace of the drug that I can find is gone. I open my eyes, pulling my demon back, and see that Alex is lying still, eyes closed, a fine sheen of sweat covering her face and dampening her filthy shirt. Her breath comes in gasps at first, but slows and steadies as I watch.\n\n\"Alex?\" I say very quietly. \"Can you hear me?\"\n\nShe nods and opens her eyes. I reach across and pull the gag from her mouth, and she coughs and spits onto the wagon bed.\n\n\"What . . .\" Her voice is a rasp. \"What did you do?\"\n\n\"I healed you. With my demon. They've been drugging you.\"\n\nAlex seems to take this in stride. She points at the Red Priest. \"What about him?\"\n\n\"He's dead,\" I say. \"My demon can . . . do that, too.\"\n\n\"Ah.\" She sits up, leaning against the side of the wagon. \"I take it we're escaping, then?\"\n\n\"If you can get us out of these chains.\"\n\n\"Give me a moment.\" She closes her eyes again, breathing deeply.\n\n\"Was it very painful?\"\n\nShe gives a jerky nod.\n\n\"I'm sorry,\" I say.\n\n\"Don't be. We do what we have to do.\" Alex opens her eyes and stares at me intently for a moment. \"Okay. Let me try.\"\n\nAt first, nothing happens, and I wonder if this has all been for nothing. Then something stirs around her arms. Worms of darkness work their way out of her skin, wrapping around her, over and over, until her arms wear cloaks of solid shadow as high as the elbow. The shadow stuff twists and writhes, like water on the boil, and mounds up around the iron shackles at her wrists. A moment later, there is a _clank_ as they fall away, solid metal sliced neatly apart.\n\n\"Hold your hands out, and stay still,\" she says. I comply, fascinated, and a lance of solid darkness slashes out and parts my own bonds as though they were made of soft cheese. Next she cuts the anklets that bind me to the wagon bed, then her own. The touch of air on the lacerated skin is enough to make me scream, and my joints pop and groan in protest as I stretch for the first time in weeks.\n\n\"God almighty,\" Alex says, \"that feels good.\"\n\nAt first I think she means being able to move freely, but I realize she is reveling in her magic. Her demon boils around her, flapping the edges of her clothes as though she stood in a strong wind. In the near darkness, she cuts a terrifying silhouette, and I wonder for a moment at what I have unleashed. But I push the thought from my mind. _We do what we have to do._\n\n\"Now what?\" she says.\n\nI stare at her, then shake my head, a grin springing unbidden to my lips.\n\n\"I have no idea,\" I say. \"I hadn't thought that far ahead.\"\n\n\"Fair enough,\" Alex says. \"I can't say planning ahead was ever my strong suit.\"\n\nThere's a _clunk_ as someone unlocks the rear gate of the wagon. One of the guards pulls it down, and it takes him a moment to process the scene. His mouth begins to open in a shout of surprise.\n\nAlex's demon moves faster than thought. A spear of solid shadow catches the man in the throat, bursting through his flesh as easily as it cut the iron manacles. His shout is drowned in blood, and he collapses forward, clawing at the wound. Alex stares at him, breathing hard.\n\n\"Nine,\" she says under her breath.\n\n\"What?\"\n\nShe shakes her head. \"Nothing.\"\n\nAlex unstraps the rifle from the still-twitching guard and tosses it to me. With practiced motions, she slashes his belt with a knife made of solid darkness and gathers his things, handing them over one by one. Balls and powder, a knife, a canteen, a belt pouch with a few coins.\n\n\"If you haven't got any better ideas,\" she says, \"then I suggest we run.\"\n\nI look from the dead priest to the dying guard, then to this strange, hard girl in whose hands I realize I've placed my life. I nod.\n\nAlex hops down from the wagon and leads the way into the darkness, moving without a sound. I follow, rifle over my shoulder, feeling clumsy by comparison.\n\n# 8\n\nThe mercenary who called himself Tullo watched the commotion from a distance. The guards had discovered the bodies and the missing prisoners, and a furious shouting match was in progress. The issues in question seemed to be what to do next and, more importantly, who was to blame. Consensus in the latter point seemed to be settling on the dead men.\n\nTullo turned away and walked back among the wagons. His own personal bag was strapped to the side of one the fish haulers; he undid the straps, then shifted his few personal effects out of the way. Another flap, cunningly stitched so as to be nearly invisible, gave access to a hidden space. From this he removed a long black cloak, which he swung about his shoulders, and a piece of folded black cloth, heavy and glittering with fragments of obsidian.\n\nWhen he pulled the formfitting black mask into place, glass clicking and clattering, he was Hunter once again. And just in time, too. Voryil, commander of the guards and the only one who knew about the Penitent Damned's presence in the entourage, hurried into the narrow alley between the two wagons, wearing a very nervous expression.\n\n\"Ah,\" he said. \"You've heard what happened, sir?\"\n\n\"I have,\" Hunter said, shedding Tullo's southern accent like an old coat. \"This is very unfortunate.\"\n\n\"The drug must have lost its effectiveness.\" Voryil's tone was very slightly accusatory. On the one hand, it _had_ been Hunter's responsibility to make sure the girl's power was contained. On the other hand, one did not live a long and healthy life by throwing failure in the face of the Penitent Damned, no matter how justifiably. \"Alex was able to access her power and break her bonds. She killed Erik. As for Father Omorte . . . there seems to be some confusion.\"\n\n_The boy_ , Hunter suspected. _I should have been more careful._\n\nVoryil coughed. \"Ah . . . what would you like us to do, sir? Shall we go after them?\"\n\nHunter shook his head, glass clicking. \"No. We cannot match the girl's power with what we have here. We press on to Elysium. I will make my report to the pontifex.\"\n\nVoryil looked uncomfortable, perhaps wondering how he would be represented in that report. \"They can't have gotten far, and she may still be weak. It will be nearly a month to Elysium and back\u2014by then they'll have gotten away clean.\"\n\nHunter smiled under the mask. \"That will not be a problem.\"\n\nHis demon filled his mind, and two trails appeared, like glowing ribbons in the air. They snaked off to the east, into the woods.\n\nTracks could be covered. Dogs could be fooled. But Hunter's demon placed its barbs into his targets' very souls, and they were not easy to shake off. _And I've had plenty of time to get my hooks into these two._\n\n\"No, Voryil,\" he said aloud. \"That will not be a problem.\"\n\nTwo weeks to reach Elysium, explain things to the pontifex, and two more weeks to return with a team of Penitents powerful enough to overcome the girl's formidable demon.\n\n_Only a month's head start. It hardly seems fair._\n\nHe only hoped they knew how to survive in the woods. _It would be a pity if they starved to death before the chase has even begun._\nRead on for a special preview of _The Price of Valor_ , coming July 7, 2015, from Roc.\n\n# Prologue\n\nIgnahta Sempria\n\n_Such pretty country, to be soaked in blood._\n\nSouth of the city of Desland, the valley of the river Velt flattened out into a rolling carpet of fields, gridded by neat hedgerows and punctuated by tiny orderly hamlets, each with its tall-spired church tipped by a golden double circle. The river itself traced out a series of lazy curves, as though exhausted by its frantic descent from the highlands, and it flashed like molten silver in the warm autumn sun. Here and there, lone hills rose from the endless flat farmland like islands jutting out of the sea, crowned with gnarled, ancient trees, the last remaining strongholds of the great forests that had covered this land before the arrival of men.\n\nAtop one of those hills, at the edge of one of those primeval woods, a man sat cross-legged on a boulder and stared down at the plain below. He was a young man, barely out of boyhood, with nut- brown hair and a wispy mustache. Dressed in leathers and homespun, he could have been mistaken for a native, the son of a peasant farmer come to trap or gather wood in the old forest.\n\nIn fact, he was a very long way from home, and he had no interest in firewood or game. His name was Wren. In his saddlebags, carefully folded and secured inside a lockbox, he carried a velvet mask sewn with a layer of glittering, clicking obsidian. It marked him as a servant of an order out of legend, one that was supposedly a hundred years dead: the Priests of the Black, fell agents of the Elysian Church, its spies and inquisitors.\n\nEven within the hidden fraternity who carried out the will of the Black Priests, Wren was of a special breed. He had spoken the true name of a demon, and would play host to the creature until the end of his days. When his death came, he would be condemned to eternal torment for daring to traffic with the supernatural. He had accepted this burden, and the certainty of this ultimate fate, to serve the Church and save others from suffering similar punishment. He was one of the Ignahta Sempria, the Penitent Damned.\n\n***\n\nWren stared down at the plain, across the miles, to a place where many campfires had lately burned like fireflies. At that distance, most men would have seen nothing but the fields and the rivers, but Wren's demon was with him. He could feel it in his eyes, a _tight_ feeling like someone twisting knotted cords around his skull, and it sharpened his vision to excruciating precision. Tiny men in blue milled and marched and formed ranks, teams of horses were harnessed to cannon, and cavalrymen checked their saddles and mounted. An army, preparing for battle.\n\nThe brush beside him rustled. With his demon's strength wholly poured into his eyes, Wren's hearing was no better than a normal man's, and only the discipline of long training kept him from starting at the sound. Instead he let out a long breath and forced himself to relax, letting his demon return to its resting state. Between blinks, the clarity of his vision faded, though it still would have put any hawk to shame. Sound rushed back in, every tiny rustle and animal noise of the forest now as obvious as a fanfare. He could hear the heartbeats of the two men who now stood beside him, and their breathing was as loud as the rasp of a bellows.\n\n\"The Vordanai are breaking camp,\" he said. He spoke in Murnskai, the native tongue of those raised in the fortress-temple of Elysium. \"But not to retreat. Vhalnich will offer battle to di Pfalen.\"\n\n\"Bold,\" said the man on his left.\n\nHe was much older than Wren, well into middle age, with a bald dome of skull sticking up from a ring of black and gray. His name, the only one that Wren had ever heard anyone use, was the Liar. Like Wren, he was dressed in simple peasant garb, but his hands might have invited comment: his nails were each at least an inch long, and painted with gleaming white resin.\n\n\"Di Pfalen has the numbers,\" Wren said. \"He has broken his force into three columns to attempt to cut off Vhalnich's escape.\"\n\nThe Liar snorted. \"I might not be so confident in his place, given Vhalnich's reputation.\"\n\nWren shrugged. The Liar liked to pass himself off as an expert in military matters, as in everything else, but the basic situation was simple enough. The revolution that had broken out after the death of King Farus VIII had shocked the civilized world, placing a sacred monarch in thrall to a mere elected parliament. With due encouragement from Elysium, the great powers of the west\u2014Borel, Murnsk, and the Free Cities League\u2014had gone to war to restore the rightful order. But declaration of war was one thing, and action another. Seafaring Borel preferred the slow weapons of blockade and economic warfare, while vast, backward Imperial Murnsk could take months to assemble her armies.\n\nThe League, on the other hand, was not a nation but a bickering, fractious collection of semi-independent polities. Vheed, Norel, and the more distant cities had sent only token contingents or empty promises to the supposedly common cause. Only Hamvelt and its close allies had leapt at the chance to defeat their longtime rival. So it was here, to familiar plains between Essyle and Desland, where the ever-shifting border between Vordan and the League ran, that the Vordanai had sent their newly minted hero. Janus bet Vhalnich. Conqueror of Khandar, vanquisher of the Last Duke, savior of Vordan. _Heretic. Sorcerer._\n\n\"We will observe the result,\" the Liar said. \"If Vhalnich falls, or is taken, our task is simplified. If not . . .\"\n\nThe third man grunted. He stood with his arms crossed over his massive chest, more than a head taller than either of his companions. His craggy face was made ferocious by a thick, unkempt black beard like wild thornbush, and his small dark eyes glared out ferociously from deep, sunken sockets. While he was dressed like the other two, no one would ever take him for a simple laborer. Quite aside from his enormous frame, the air of menace he projected was unmistakable. His name was Twist. Wren had rarely heard him speak more than a single word at a time, and often he was not even that voluble.\n\n\"Either way,\" Wren said, \"we'll need to get closer.\" They were still a solid day's ride from the place that would soon become a battlefield.\n\nThe Liar nodded. \"We will seek another vantage. Ready the horses.\"\n\nWren got to his feet, legs aching from too long spent absolutely still, and suppressed a frown. The Penitent Damned had no formal hierarchy among themselves, no ranks or chain of command apart from their shared obedience to the Pontifex of the Black. On the rare occasions when they did not work alone, their orders made it explicit who was to lead. The Liar was an agent of many years' standing, and this was Wren's first mission outside Murnsk, so it made sense that the older man was in charge. But Wren occasionally suspected the Liar of harboring a taste for idleness and worldly pleasures that was inappropriate for his position, and it led him to treat Wren like a servant instead of an equal. It was something to raise with the pontifex on their return.\n\nThey had six horses, enough to carry their gear and provide remounts if they needed a burst of speed. Wren went through the familiar ritual of preparing saddles and tack, loading the camp supplies, and fixing each animal with his supernatural senses for a few moments, listening to their breathing and heartbeats. Satisfied that nothing was amiss, he led them one by to the edge of the woods. Last in line was Twist's mount, a huge, stocky gelding matched to the big man's weight.\n\nTwist took the reins from him with another grunt and heaved himself gracelessly into the saddle, provoking a snort of complaint from the animal. The Liar mounted more skillfully, a testament to half a lifetime spent in the saddle in the service of the order. Wren paused in front of his favorite mare, staring out to the north.\n\n\"Wren?\" the Liar said. \"Is something wrong?\"\n\nWren closed his eyes and let the demon rush to his ears. The sounds that had been barely a shiver in the air a moment ago were now loud and distinct, low _crumps_ and rumbles like distant thunder. In between, he could even hear the faint skirl of drums.\n\n\"Wren?\" the Liar repeated, words booming in Wren's ears like the voice of God.\n\nWren opened his eyes and let the demon slither away inside his skull.\n\n\"It's begun,\" he said.\n\n# Part One\n# Chapter One\n\nWinter\n\n\"Keep it up! They're giving way!\" Winter Ihernglass shouted.\n\nThe air was thick with acrid smoke, slashed by the brief brilliant flares of muzzle flashes. Musketry roared around Winter like a continuous crackling peal of thunder, and she had no way of knowing whether her soldiers could hear her. Her world had contracted to this small section of the line, where a dozen young women of the Girls' Own stood behind the shot-torn hedgerow, each going through the drill of loading her musket: ramming the ball home, priming the pan, and bringing the weapon back up to firing position.\n\nThe Hamveltai were unseen in the murk, visible only by the flash of their own muskets. But they were weakening\u2014Winter could feel it\u2014the return fire becoming more scattered and sporadic. _Just a minute more_. She walked along the line, shouting herself hoarse and slashing the air with her sword, while the constant din of the muskets rattled the teeth in her skull.\n\nAhead, she saw one of the casualty teams, made up of girls too young or too small to carry a musket. They worked in threes and fours, running up to the hedge whenever a soldier went down and dragging her back a few paces to assess the injury. As Winter watched, the team ahead of her abandoned a woman who'd taken a ball high in the chest and leaked a wide swath of blood into the muddy earth, and went back to retrieve a plump, matronly woman who'd fallen on her side, clutching a shattered hand. As they got her to her feet, one of the smaller girls suddenly doubled over, clutching at her gut with both hands. One of her companions looked her over, shook her head, and left her where she fell.\n\n_Brass Balls of the Beast._ It was a scene Winter had witnessed before, but she couldn't get over how quickly girls who'd been selling flowers in Vordan not three months earlier had adapted to the brutal necessities of the battlefield. She thrust away a pang of guilt. There wasn't time for that. _No time for anything but survival._\n\nWinter hurried past the casualty team, stepping quickly around the dying girl, and continued down the line looking for Bobby. The young woman, who'd been a corporal in Winter's company on Janus' Khandarai campaign, now sported white lieutenant's stripes on her shoulder. A knot of women were gathered behind a dense spot in the hedge, loading awkwardly while crouched and then standing to loose another shot into the thickening bank of smoke.\n\n\"Bobby!\" Winter said, grabbing her arm and pulling her close enough to hear over the din. \"Go to Jane, tell her to move in!\"\n\nBobby's pale skin was already grimed with powder residue. Like Winter, she was one of the few in the Girls' Own to have an honest-to-goodness regulation uniform; unlike Winter's, hers was no longer tailored to conceal the truth of her gender from prying eyes. When Janus had created the all-female Fifth Volunteer Battalion from the ragtag group of volunteers Winter and Jane had led into battle at Midvale, Bobby had elected to discard her disguise. She had been the one who'd taken the nickname \"Girls' Own\"\u2014a play on the name old royal regiments, the King's Own, and the Boy's Own Guide series of books for children\u2014and turned it from mockery into a badge of honor. Next to Winter and Jane, she was probably the most respected officer in the battalion.\n\nShe was also\u2014cursed, enchanted, Winter didn't know what to call it\u2014by the Khandarai _naath_ that had saved her life. Winter knew that the scars of her wounds had healed, not in puckered skin, but as smooth, glittering stuff like living marble.\n\nBobby saluted to acknowledge the order, handed her musket to the nearest soldier, and hurried off to the right, bent double to keep her head from sticking above the hedge. _For all the good that will do._ A hedgerow might deflect a musket ball, but mostly it was good for hiding behind, and that only mattered against aimed fire. Nobody was aiming now; if not for their muzzle flashes and the accompanying noise, Winter wouldn't have been able to say whether the enemy was still there. She turned back in the other direction, keeping her eyes open for any signs of wavering or incipient panic, and was pleased to find her soldiers still firmly committed to their bloody work. The Hamveltai were laying down a hot, heavy fire, but for the moment the Girls' Own seemed to be standing up to the pressure.\n\nAs she moved toward the left, she could hear the deeper growl of artillery underneath the musketry. The hedge led to a small hamlet in that direction, no more than a dozen buildings, which was defended by a battalion of volunteers and half a battery of guns. Something was on fire\u2014she could see the glow, even through the smoke\u2014but the noise indicated the men there were still fighting hard.\n\nOn the right side of the line, the hedge took a dogleg forward a hundred yards before ending at a wide dirt path. Jane was waiting on the far side of that angle with another four companies, hunkered down and silent up until now, waiting to execute the trap. Winter didn't want her troops going toe-to-toe with a battalion of regulars longer than they had to.\n\nReaching the center of her line, Winter pressed herself against the hedge between a pair of soldiers and listened. _A couple of minutes for Bobby to run to Jane, a couple of minutes to get ready . . ._\n\nA chorus of hoarse battle cries, identifiably feminine even through the rattle and bang musketry, rolled out of the smoke on the right. All along the line, Winter's soldiers echoed the cheer, which was followed in quick succession by a blaze of new firing. More flashes stabbed through the smoke, at right angles to the Hamveltai position, as Jane led her troops in a charge with fixed bayonets that took the enemy line end-on. As Winter had guessed, that convinced them that their position was untenable, and before another minute had passed there was no more shooting to her front. Along the hedgerow, the women of the Girls' Own were cheering themselves hoarse.\n\n\"Make sure those muskets are loaded!\" Winter shouted, over the celebration. \"They'll be back.\"\n\n\"You should have seen the looks on their faces,\" Jane said. \"Bastards were so surprised they didn't even have a chance to shoot back.\"\n\n\"Nicely done,\" Winter said. Though rumors of the infamous female regiment had no doubt spread through the enemy camps by now, the League soldiers were always startled when they came to actual face-to-face contact with the Girls' Own. Winter was happy to use their hesitation to her advantage, if it meant keeping her troops alive. \"Any prisoners?\"\n\n\"A few dozen,\" Jane said. \"Plenty of wounded out there, but we didn't take any that couldn't walk.\"\n\nThey were squatting in the muddy dirt, a few yards back from the hedge. With the lull in the fighting, some of the Girls' Own were helping the casualty teams, carrying the wounded to a temporary station in the rear and dragging corpses clear of the firing line. Winter had cautioned them not to go too far. It was too easy to get caught up helping a wounded comrade and forget that the battle wasn't over yet.\n\nTo the left, artillery still growled, but the musketry had died away, indicating that the attack on the hamlet had tapered off while the League cannoneers continued the argument with their Vordanai counterparts at long range. The smoke was beginning to drift apart, torn into scraps by the late-morning breeze. Looking at the sun, Winter thought it was still at least an hour before noon; she already felt as if they'd been there for days. She closed her eyes for a moment, took a deep breath, and returned her mind to the matter at hand.\n\n\"See if any of the men you took speak Vordanai. I'd love to know what else they've got out there.\"\n\n\"You think they'll try it again?\"\n\n\"I think they've got to. They want to push through here to take Janus from behind.\" It felt odd to her to casually refer to the general of the army\u2014much less a count of Vordan\u2014by his first name, but it had become a universal practice among the troops he commanded, as a demonstration of their affection for their strange commander. \"They tried a narrow swing around the hamlet, and ran into us. So what's next?\"\n\nJane shrugged. \"You're the soldier.\"\n\nWinter grimaced, but it was true, in a sense. While there were times when she still felt like a fraud\u2014it was hard not to, when everyone but a select few thought she was a man\u2014it was hard to deny that she had more military experience than anyone else in the Girls' Own, with the possible exception of her ex-corporals Graff and Folsom. For that matter, she had more combat experience than almost anyone in Janus' Army of the East, which was an awkward conglomeration of old Royal Army troops and scratch battalions of revolutionary volunteers.\n\nJane's experience was of a different sort. They'd been lovers, long ago, at Mrs. Wilmore's Prison for Young Ladies, before Jane had been dragged away into involuntary marriage to a brutal farmer and Winter had escaped to join the army. While Winter had spent three years in Khandar, lying low, Jane had escaped from servitude, freed the rest of the girls from the Prison, and brought them to Vordan City. There they'd fought criminal, tax farmers, and anyone else who got in their way, forming the core of the Leatherbacks and striving to provide a rough justice to the Docks. When Winter and Jane had been reunited in the chaos of the revolution\u2014with a helping hand, Winter guessed, from Janus bet Vhalnich\u2014Jane's girls joined the fight to save the city from Orlanko.\n\nNow they made up almost half the Girls' Own, and Jane herself had accepted an officer's rank, but she didn't pretend to know anything much about tactics. Winter scratched a rough line in the earth with the toe of her boot. \"If I were them, I'd feel us out to the right. If they've got another couple of battalions, they could throw one against us here and push another one down the road to get behind us.\"\n\n\"And if we run for it, they can surround the town,\" Jane said. She looked to the south, where only the occasional hedge broke the endless, open country. A lone wood-topped hill, miles distant, loomed like a distant gray monolith. \"If they get us with horsemen in the open . . .\"\n\nWinter nodded. Jane might not have had a military education, but she had good instincts. The Girls' Own were brave, dedicated troops, but they didn't have the training to form square and stand off cavalry in the open. The volunteers that made up most of the rest of the force Janus had left to blunt the League advance were the same. They had only one regiment of \"Royals\"\u2014professional soldiers of the old Royal Army\u2014and a retreat under those circumstances could easily become a rout.\n\n\"I'll send Bobby to Colonel de Ferre,\" Winter said. \"If he brings up the reserve before they get here, we can give them another nasty surprise. They've got to get sick of banging their heads against this wall eventually.\"\n\nJane nodded and got to her feet. \"I'll get some of the girls out past the smoke to give us a bit of warning.\"\n\nWinter stood a bit more slowly, her legs already aching. Her throat felt suddenly thick, in a way that had nothing to do with having spent the morning shouting at the top of her lungs.\n\n\"Be careful,\" she said.\n\nJane smiled, her familiar, mischievous smile, and gave a slapdash salute. Winter fought a sudden impulse to wrap her arms around her. Instead she nodded, stiffly, and watched Jane stride back toward the front line.\n\nA passionate embrace between the commander of a battalion and his chief subordinate might have been a bit unorthodox, by old army standards, but Winter wasn't sure it would have made a difference if she'd given in to the temptation. Caution was an old, ingrained habit, though, and she tried to impress the importance of it on Jane. They lived in a weird fog of half-truths and lies\u2014the fact that Captain Ihernglass was sleeping with Lieutenant \"Mad Jane\" Verity was an open secret, at least among the Girls' Own, who gossiped as badly as the old Colonials had. But only a small cadre among them, Jane's former Leatherback girls, knew the secret of Winter's gender. So far, they'd kept her confidence\u2014Jane's girls were nothing if not loyal\u2014but having that knowledge so widely spread made Winter intensely nervous.\n\nBobby hurried over and snapped a crisp salute. One of her sleeves was red with blood.\n\n\"Jane said you wanted to see me, sir?\" she said.\n\n\"Are you all right?\" A foolish question, Winter thought. Bobby was the one soldier on the field who was virtually guaranteed to live through the day's fighting, thanks to the ongoing legacy of her experience in Khandar.\n\n\"What?\" Bobby caught sight of the blood and shook her head. \"Oh, it's nothing. I was helping with the wounded.\"\n\nWinter nodded. \"I need you to ride to Colonel de Ferre. Tell him we need reinforcements here, at least a battalion, to extend the line on the right. We haven't got the strength to stretch that far, and if they get around us this whole position could come unstuck.\"\n\n\"Yes, sir!\"\n\nBobby saluted again and hurried rearward. There was a small aid post there, where the battalion cutters did what they could for the casualties until they could be taken for proper care. Beside it was a string of horses, kept ready for couriers and other emergencies. Winter watched her mount up, then turned back to the front.\n\nThe corpses of the fallen had been removed from the line, and the injured helped to the rear. Now small parties vaulted the hedgerow, cautiously, and searched among the dissipating smoke for enemy wounded. Any who seemed likely to survive were taken prisoner and sent through the line for treatment.\n\nThe enemy were Hamveltai regulars, called yellowjackets for their lemon-colored coats, striped with black and worn over black trousers. They wore tall black shakos with gold devices on the front and long red plumes fluttering from the peak, the very image of professional soldiers. The contrast with the Vordanai, whose only uniform was a loose blue jacket worn over whatever each soldier had brought along, could not have been greater. But neat uniforms did not seem to provide any special protection from musket balls.\n\nThey were treated gently\u2014orders on that subject had come down from Janus himself. The reasoning was not humanitarian, but brutally practical. The League commanders had made noises about treating Vordanai volunteers as partisans or bandits rather than soldiers due honorable captivity if captured, and the best defense against any abuses was for the Vordanai army to gather its own stock of prisoners against whom it could threaten retaliation, if necessary. That went double for the Girls' Own, who had no idea what to expect if they fell into enemy hands. Winter knew there was a quiet trend among her soldiers to carry small daggers in the inner pockets of their uniforms, to be used for self-destruction in the last resort. It wasn't something she encouraged, but she couldn't blame them for wanting the reassurance.\n\nA certain amount of looting went along with the gathering of captives. Officially, they were only supposed to scavenge ammunition, food, and other military supplies, but Winter noted quite a few of the search parties returning with insignia, plumes, and other trophies. Another practice to which she felt she had to turn a blind eye. She didn't want her troops turning into ghouls, cutting off fingers to get at the rings, but pride in a hard-fought victory was something to encourage.\n\nAn outburst of laughter caught her attention. Over on the left, a knot of young women surrounded the stocky figure of Lieutenant Drake Graff, who was attempting to demonstrate the proper way to level a musket. It was hard to be sure under his thick beard, but Winter thought he was blushing. Another woman in a makeshift lieutenant's uniform was looking on, and Winter walked over to stand beside her.\n\n\"Sir,\" Cyte said, her salute almost as crisp as Bobby's.\n\nWinter nodded her acknowledgment. \"How is it?\"\n\n\"We missed the worst on this side,\" Cyte said. \"Anna got nicked by a splinter and bled a fair bit, but she'll be all right. No casualties in our company otherwise.\"\n\n_No wonder they're in the mood for laughing,_ Winter thought, as another round of giggles came from the cluster around Graff. Cyte, following Winter's gaze, heaved a sigh.\n\n\"They like to tease him,\" she said. \"I've tried to get them to stop, but . . .\"\n\nWinter shook her head. \"Don't bother. You won't be able to.\" Soldiers would have their fun, regardless of what their officers wanted. \"Just make sure it doesn't get out of hand.\"\n\n\"What's out of hand?\" Cyte said. \"Last week a gang of them found out where he was having a bath in the river and jumped in with him. They like to see him blush.\"\n\nWinter had to work to stifle a giggle of her own, picturing the gruff, hard-bitten Graff frantically averting his eyes and muttering through his beard. When Janus had offered her the services of her former corporals to fill out her new regiment, Winter tried to make it clear to them what they were getting into. Folsom had fit right in, his quiet assurance off the battlefield and foulmouthed tirades on it provoking something like awe among his troops. Bobby, of course, had not been a problem. Graff had taken the longest to decide, grumbling about the impropriety of it all before finally agreeing on the grounds that someone had to take care of things. For an old soldier, he was surprisingly straitlaced, a fact that his women had discovered and exploited with gusto.\n\nCyte was another matter altogether. Winter had been surprised to find the University student among her early volunteers. She'd been among the revolutionaries whom the speeches of Danton Aurenne had mobilized, and she and Winter had fought together to free the prisoners of the Vendre. After the victory of the revolution and the ascent of the Deputies-General to power, Winter had expected Cyte to take up a marginally safer life in politics. Instead she'd turned up not long after the declaration of war, with a copy of the _Regulations and Drill of the Royal Army of Vordan_ under one arm and a quiet determination to master the military life that Winter found strangely familiar. Winter had quickly made her a staff lieutenant\u2014recruited as it was mostly from the young women of the South Bank, the Girls' Own was desperately short of people with the basic education to perform an officer's duties.\n\n\"Someone's coming,\" Cyte said.\n\nShe pointed out across the field, where a lone figure was indeed sprinting through the remaining haze of smoke, headed for the hedgerow. Winter recognized Chris, one of Jane's Leatherback leaders, now wearing a sergeant's pips. Chris saw her at the same time, and headed in her direction, coming up hard against the hedge.\n\n\"Winter!\" she said without even an attempt at a salute. Military niceties were not the strong point of Jane's old cadre. \"The yellowjackets are back.\"\n\n\"Hell,\" Winter said, looking over her shoulder. No sign yet of Bobby, much less of troops marching to their relief. \"How many?\"\n\n\"Looks like two groups,\" Chris said. \"They're lining up just that way, on the other side of that little rise.\"\n\nTwo battalions, Winter translated, deploying into line for the attack. \"One of them out by the road?\"\n\nChris nodded, gulping air.\n\nWinter grimaced. \"Where's Jane?\"\n\nChris pointed, and Winter hurried back along the line. Jane was helping hoist the returning scouts over the hedgerow, and Winter grabbed her by the shoulder and pulled her aside.\n\n\"You've heard?\" Jane said.\n\nWinter nodded. \"Bobby's not back yet. De Ferre must be balking.\"\n\n\"Bastard.\" Jane smacked a fist against her palm. \"Want me to go talk some sense into him?\"\n\n\"I'll send Folsom,\" Winter said. \"I need you here.\"\n\n\"You want to try and hold them off?\"\n\nWinter gritted her teeth. _If we fall back, the whole line could come unstuck._ But to stand and fight, against these odds, would mean serious losses even if the line held. _And if it breaks, they might run us all down._\n\n\"I don't think we have a choice,\" she said.\n\nJane looked at her, an odd light in her green eyes. \"You're in charge here,\" she said. \"What's the plan?\"\n**Django Wexler** was born in San Francisco and raised in Westchester. He currently works for Microsoft in Seattle, Washington.\n**Looking for more?**\n\nVisit Penguin.com for more about this author and a complete list of their books.\n\n**Discover your next great read!**\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nTable of Contents\n\nALSO BY CHRISTOPHER LOCKE\n\nTitle Page\n\nDedication\n\nAcknowledgements\n\nIntroduction\n\nCHAPTER 1 - Eight Miles High: The View from 40,000 Feet\n\nHocus Focus\n\nRipping Out the Wall\n\nA Preview of the Gonzo Model\n\nCHAPTER 2 - The Value Proposition\n\nIt's Alive! It's Alive!\n\nThe Red Queen Is Talking Backwards\n\nCHAPTER 3 - Code Blue in the Marketing Ward\n\nThe Real Thing: Stories, Brands and Lies\n\nSlice and Dice\n\nOverSimplicity\n\nA Hand Full of Gimme and a Mouth Full of Much Obliged\n\nGonzo Interlude in the Marketing Ward\n\nBroadcast: The Meme That Wouldn't Die\n\nCHAPTER 4 - Stories as Strange Attractors\n\nOpen-Source Marketing\n\nOnly Rock and Roll\n\nMarketing Myopia Revisited\n\nNarrative Goes Online\n\nDon't Examples\n\nRhetorical Questions\n\nBrand Id\n\nNine Maxims\n\nCHAPTER 5 - Social Marketing and Public Journalism\n\nSocial Marketing\n\nCause for Concern\n\nThe United Weirdness of Benetton\n\nSegue: Social Capital and The Common Good\n\nThe Case and Cause of Public Journalism\n\nShallow Babble and the Shock of Recognition\n\nGetting Subjective\n\nCHAPTER 6 - From Micromedia to Micromarkets\n\nMicromedia\n\nMicromarkets\n\nCHAPTER 7 - The Gonzo Model\n\nImplementing the Program\n\nWhy do it?\n\nThe Coming Internet Land Rush\n\nCHAPTER 8 - Champions of the World\n\nnotes\n\nindex\n\nabout the author\n\nCopyright Page\n**ALSO BY CHRISTOPHER LOCKE**\n\n_The Cluetrain Manifesto_\n\n(with Rick Levine, Doc Searls, and David Weinberger)\n\n_for_\n\nLAURIE DOCTOR\n\n_your mind my sky_   \n_your eyes my fire_\n\n_www.lauriedoctor.com_\nconstruction phase, has since moved on. But in ways too numerous to catalog, this is her book.\n\nMany thanks to Eric Norlin of The Titanic Deck Chair Rearrangement Corporation (tdcrc.com) for his thoughtful feedback on early drafts, and for sending the Everclear and Eminem CDs. Eric is beyond a doubt the world's most capable CEO.\n\nJ.P. Rangaswami (of Dresdner Kleinwort Wasserstein) and Fritz Gutbrodt (of Swiss Re) both make brief appearances here. Too brief. They were fabulous hosts in London and Zurich, respectively, and I learned much from our conversations.\n\nMy sister, Elizabeth Locke, gave me more suggestions than I knew what to do with; for instance, about arcane matters like reciprocal ethnography. Liz, you're a trip, but you already knew that. Selene, my 11 year old daughter, also provided innumerable cool ideas. I believe her insight into the current state of marketing practice remains unparalleled.\n\nThough Laurie Doctor appears on the dedication page, what is not apparent to anyone but myself is _her_ dedication, for which no amount of gratitude will ever be sufficient.\n\nFinally, I'd like to thank the thousands of (valued) _EGR_ readers, who have not only endured my abstruse prolixity and unwarranted abuse, but who continue to grant me the invaluable permission to publicly discover what I mean to say.\n**ACKNOWLEDGEMENTS**\n\nBITS ITS OFF BOOKOOK APPEARED IN DIFFERENT FORM\u2014they've since been sliced and diced through my gonzo Vegematic\u2014in various hardcopy and online publications: _Agency_ (the journal of the American Association of Advertising Agencies), _byte.com_ (thanks to Daniel Dern), _Digitrends, Harvard Business Review_ (thanks to John Landry) _, Publish,sweetfancymoses.com_ (thanks to Matt Herlihy) _, Feed_ (thanks to Steven Johnson), and _Release 1.0_ (thanks to Kevin Werbach) _._ I'd like to especially thank Esther Dyson for her support and inspiration over the past 15 years, even when she wasn't aware she was providing it. Esther, you're a brick.\n\nChris Anderson, formerly with _The Economist_ and now at _Wired_ , jousted with me over sundry issues surrounding e-commerce. His good natured yet insistent prodding led to the beginnings of _The Cluetrain Manifesto_ , in which book I neglected to thank him. As those ideas are still operative in the present work, it's not too late to say thanks. So thanks.\n\nI'd also like to thank my C _luetrain_ co-authors David Weinberger, Doc Searls, and Rick Levine for keeping the flame(s) alive, David at _JOHO_ (hyperorg.com), Doc through his excellent blogging (doc.weblogs.com), and Rick at Word of Mouth (www.wom.com).\n\nTo my agent David Miller, I owe a great deal. And not just for the great deal he cut on this book. The outfit he cut it with, Perseus Publishing, is the best company I've ever worked with. David Goehring, Elizabeth Carduff, Lissa Warren, and my new editor Nick Philipson have all been wonderful: smart, understanding, and loads of fun. Jacqueline Murphy, who was my editor through the main \n**INTRODUCTION**\n\n**Participating in the Scene**\n\n_Only the insane take themselves quite seriously._\n\n-SIR MAX BEERBOHM\n\n**THIS IS A SERIOUS BOOK. NO FOOLING.**\n\nNow right off the bat that has to make you wonder, right? Because most books, especially business books, pretty much take it for granted that you believe that going in. Of course the book is serious. That's why you bought it. Either that, or you needed an over-the-counter alternative to your regular insomnia medication. Don't laugh. Recent studies show that seven out of ten business book buyers are really looking for semantic Sominex. And, as Harley Manning of Forrester Research points out in his insightful report\u2014\"The Snooze Factor: Sleepy Time in the Management Aisle\"\u2014these consumers find what they're looking for in 82% of all online book transactions.\n\nBut seriously. In his seminal work, _Homo Ludens: A Study of the Play Element in Culture,_ the Dutch cultural historian Johan Huizinga riffs on the perennial theme of wisdom, from the Latin _sapientia_. \"A happier age than ours,\" he wrote, \"once made bold to call our species by the name of Homo Sapiens.\" However, he wonders how appropriate this label remains today. \"In the course of time we have come to realize that we are not so reasonable after all as the Eighteenth Century, with its worship of reason and its naive optimism, thought us.\" So someone came up with Homo Faber: Man the Maker. Better, Huizinga says, but still no cigar. Homo Ludens, he then proposes: Man the Player.\n\nWhile some will find the notion ludicrous, play is no less an important aspect of business than it is of life. This is probably because, contrary to widespread popular belief, commerce is a subset of life and not the other way around. Therefore, as Huizinga goes to great lengths to point out, play is serious business. Or something like that. I only read the foreword.\n\nIn 1962, the French anthropologist Claude Levi-Strauss wrote a book called _The Savage Mind_ , in which he says \"Language is a form of human reason and has its reasons which are unknown to man.\" Man, I don't even know why I quoted that, except that it sounds pretty cool. More to the point, he talks about a concept for which English has no equivalent: _bricolage_. In essence, bricolage is what tinkers do\u2014collecting odd bits of stuff they think may be potentially useful, then using whatever bits seem to work in the context of some later repair job. Simple. And yet profound. Because the bits the bricoleur ends up using were not designed for the use they end up being put to. Figuring out which bits to collect and how to apply them to some task at hand requires a completely different kind of thinking than the procedural algorithmic thought processes business has become so dependent upon. While the Internet may have convinced some businesses to think \"out of the box,\" most are still not even sure what box they're in, much less which way to turn for emergency egress. If some unprincipled individual were to yell \"fire!\" right about now, the entire edifice of global commerce might suddenly collapse.\n\n_**Fire! Fire!**_\n\nWhat the hell. Because, while few corporations seem to realize it, the entire edifice of global commerce is collapsing already\u2014under its own top-heavy weight. And this is happening at the very moment business is crowing loudest about its own gross tonnage: the biggest media mergers, biggest advertising budgets, biggest aggregation of eyeballs. Yuck, what an image. In short, the messiest, massiest mass-marketing morass the world has ever seen. It's ironic.\n\nIn a wonderful _Newsweek_ article titled \"Will We Ever Get Over Irony?\" David Gates writes about the postmodern inclination to rip (off) ideas from a broad range of historical contexts and recombine  them in odd and often glaring ways. \"Such juxtapositional ironies flourish in the 20th century's most characteristic artistic mode: call it collage, assemblage, bricolage _,_ pastiche or (to be less Frenchified and more _au courant_ ) sampling.\" Aha! Now we're getting somewhere\u2014though these equivalents make the overall effect no less odd. The glare produced is still a kind of cognitive dissonance. Things that don't fit together in expected ways can make your head hurt. However, under the right conditions, this pain can also produce insight. It can illuminate not only the box, but the EXIT sign as well.\n\nI can see already that you're skeptical, gentle reader. This isn't sounding entirely level-headed, is it? Doesn't quite have that grimvisaged wrinkle-browed aura of unassailable fact. Hmmm, must be time for a quote from _Harvard Business Review_. \"Pragmatic managers. . . know what resources are available and how to round up more on short notice,\" write a couple of bona fide Ph.D.s, doubtless recalling how they managed to scrape by on assistant professor salaries. \"We call this aspect of pragmatism bricolage . . . Effective managers are bricoleurs . . . They play with possibilities. . . They tinker. . . .\"\n\nNow you believe me? Well, good. Oh yeah and by the way, Levi-Strauss says bricolage is analogous to the mythical thinking typical of primitive peoples. Savages. You know, the kind of uncivilized barbarians you get in places like Harvard, Borneo, New Guinea and the World Wide Web. So, taking all the above into account (along with a grain of salt and two aspirins), think of this book as playful bricolage involving serious matters. As sampling. As a hip-hop cover of boring old best practices played backwards and burned into a bad-ass MP3 dance remix download. At times, the recombinant results may strike you as freakish, as frivolous. Feel free to sue me. However, you'll get far more satisfaction by thinking of yourself as I do: as a Raider of the Lost Arc. To sample once again the comedy stylings of Johan Huizinga. . .\n\nThe reader of these pages should not look for detailed documentation of every word. In treating of the general problems of culture one is constantly obliged to undertake predatory incursions into provinces not sufficiently explored by the raider himself. To fill in all  the gaps in my knowledge beforehand was out of the question for me. I had to write now, or not at all. And I wanted to write.\n\nAs Lou Gerstner, chairman and CEO of IBM once said, \"Hey, I can dig it.\" The concept of gonzo marketing would never have come together at all if I'd had to rigorously research every damn thread we're about to touch on. Will some of these lead us into curious intellectual culs-de-sac? Yeah, probably. Are you likely to encounter grievous gaffes and disquieting half truths? Sure, but what else is new? By screwing up royally here, I hope to provide a new kind of model demonstrating to business that it not only can, but _must_ move beyond its unhealthy fear of error and imprecision. Today, it is certainty that is not an option. Failure is almost guaranteed.\n\nIn addition to being a sort of indie-Indy, I also think of myself as An Amateur and a Dilettante. The caps are there to echo the title of the movie, _An Officer and a Gentleman_ \u2014though as you're already finding out, I'm neither. At its heart, gonzo is animated by an attitude of deeply principled anti-professionalism in the best sense. And there is a best sense. Historian and former Librarian of Congress Daniel J. Boorstin once wrote: \"Democracy is government by amateurs. . . . The survival of our society depends on the vitality of the amateur spirit. . . . The representative of the people . . . must be wary of becoming a professional politician.\"\n\nHere, amateur clearly doesn't mean incompetent or unskilled. It doesn't mean unprofessional. But professional- _ism_ is something altogether else. Over time, any functional specialization tends to forget its relationship to the larger social context it was created to work within and serve. Instead, it concentrates on developing an inner sanctum of specialists who talk among themselves in a private language inaccessible to outsiders. Almost without exception, such professionals despise amateurs. Or worse, accord them a patronizing form of faux eye-rolling patience.\n\nRelated to \"amateur\" is the even more pejorative term _\"dilettante\"_ \u2014someone who practices a craft or studies a field of knowledge in which he or she is not a \"recognized professional.\" But the etymological roots of these words tell a different story. Amateurs do what they do for love (from the Latin _amare_ ), while dilettantes are not mere casual dabblers, but instead are inspired by delight (from  the Italian _dilettare_ by way of the Latin _delectare_ ). But delight and passion for the work are precisely the qualities professionals tend to lose first. The opposite of professionalism is what Zen master Shunryu Suzuki called \" _beginner's mind_ \"\u2014an ability to look at the world with fresh eyes and an open spirit.\n\nBoorstin's observation can be equally applied to the commercial sphere. In marketing, just as in government, professionalism tends to hew unimaginatively to its own timid orthodoxy. It does not provide leadership, enthusiasm or the kind of impassioned personal engagement that has come to be called gonzo. In stark contrast, business professionalism tends to be arid and passionless, narrowly focused, self-involved. However, this doesn't mean that everyone in business fits this damning characterization. Far from it. In my own experience, there are many more lively intellects at work in the workplace than the misbegotten \"corporate communications\" coming out of those places would lead one to believe. There's often more going on in today's corporation than today's corporation would care to admit. New life is growing between the cracks in the corporate edifice, and it's spreading like a weed.\n\nIn the past year or so, I've had the opportunity to test many of the ideas in this book before _very_ live business audiences from Maui to Bangalore. At places like Peoplesoft, Gartner Group, Sun Microsystems, SAP, First Union Bank, the Direct Marketing Association, and Andersen Consulting\u2014now, for their sins, renamed Accenture. To be fair, my Accenture-nee-Andersen audience was great. It was clear they'd been around the block. They'd seen it all. They laughed in all the right places. On the other hand, the Direct Marketing crowd was thoroughly unamused. Understandable. The rending of garments and gnashing of teeth would have been appropriate responses.\n\nThe day before I spoke at Swiss Re (the Re is for reinsurance, a hugely lucrative niche), my hosts opened an impressive muchomultimillion-dollar conference facility called R\u00fcschlikon. The festivities included a Chinese dancer performing on a rooftop in the snow to piano music piped to her wireless headset and further accompanied by nocturnal animal cries taped in some Southeast Asian jungle. In addition, there was an extremely Zen-looking Japanese guy playing a 2000-year-old stone flute that appeared to be nearly as ancient  as himself, and a terrorist-looking dude with his face weirdly painted in striking primary colors, who read long strings of numbers in German, timed to a strobe light. \"Acht hundert neun und zwanzig, sieben hundert vier und dreizig. . .\" Yeah, just another day of business as usual. The center's director, Fritz Gutbrodt, told me over a wonderfully animated dinner that he still teaches literature at the University of Z\u00fcrich.\n\nThe investment banking firm of Dresdner, Kleinwort, Benson was a slightly different story. IT director J. P. Rangaswami runs offsite swat teams that take a real problem, break it down, come up with a solution, code it, and integrate the results into the corporate computing infrastructure\u2014all within a week. In an industry where this sort of thing is usually measured in months, quarters or years, such results are astounding. Everyone on the team is expected to drink copious amounts of beer, liberally provided, between the impossibly long, often round-the-clock, hacking sessions. J. P. is working on a book about certain structural and management challenges facing large corporations. Working title: _Fossil Fools._ We had many deep exchanges about what's truly important in this industry at the moment. He turned me on to a Dire Straits bootleg. I convinced him to buy a pricey but totally kickass Roland guitar synth. \"Damn you,\" he wrote later in email, \"you are starting to cost me real money!\"\n\nThe Dresdner gang isn't cheap, though. They gleefully fete me with sumptuous dinners in Mayfair, theater tickets, limousines. Would I care to take in The Tate? They put me up in the Docklands, an outrageous suite overlooking the Thames. I drop some laundry off with the valet and it comes back wrapped in rich brocade, my socks and underwear not only _ironed_ \u2014what were they thinking?\u2014but also tied into little bundles with red ribbons that say \"Four Seasons Hotel\u2014Canary Wharf.\" It's totally over the top. I love it. But finally I have to get out, get real again. I give my talk on gonzo marketing, then ditch the chauffer. I take a train, then a bus. I get lost. London is better at eye level. . .\n\n#  **Waiting for History**\n\n\"There was a demon that lived in the air. They said whoever challenged him would die. Their controls would freeze up,  their planes would buffet wildly, and they would disintegrate. The demon lived at Mach 1. . . They called it the sound barrier.\"\n\n-FROM THE MOVIE _THE RIGHT STUFF_\n\n\"We're never gonna survive unless we get a little crazy . . . \"\n\n-SEAL\n\nI round the corner in Covent Garden and hear what sounds like Coltrane wafting up the block. Bent into his horn as if in fervent prayer, a musician is laying down fat splashy bop notes in the rain, punctuating the oblivious crowds of pre-Christmas shoppers. His saxophone case is open for donations and I drop in a ten pound note. He's surprisingly good to be playing in the street. Seeing the denomination, he jumps up and presses a compact disc into my hand. I turn it over. Karlsax Online it says.\n\nThe rain forests of the world constitute a cauldron of biological ferment and co-evolutionary experimentation, a living ecosystem where few parts exist independent of the whole. Lianas and mahoganies, primates and insect colonies, jaguars and bromeliads, slow-moving sloths and dazzling butterflies, intermittent light and impenetrable darkness, the endless cycle of rain and evaporation, transpiration and erosion, all weave together to produce a tapestry of nearly unimaginable color and complexity. The human world is no less complex, and the Internet reflects a similarly rich interweaving, the customs and experience of myriad diverse societies and cultures. The net is a planet-spanning virtual ecosystem, a cognitive rain forest teeming with new concepts and connections, issues and inquiries, studies and speculations, proposals, predictions and unlimited potential.\n\nSomething's shaking, something's up. But we're none of us quite sure what it is, what it all adds up to. How long will we have to wait for the history books that explain this amazing period we're living through? Fifty years? A hundred? I don't know about you, but I don't have that long. As you may recall, we die. My dates are the same as Jackson Browne's. \"In '65 I was 17,\" he sang in \"Running on Empty.\" Plus: \"gotta do what you can just to keep your love  alive\"\u2014immediately thereafter warning of the dangers of confusing that with whatever you need to do to survive, to \"make a living\" as we say. And now you're wondering again: _Jackson Browne?_ Hey, when you write these sorts of penetrating and insightful business books for busy executive types, you take your inspiration wherever you find it.\n\nIn the meantime, the time of our lives, all we have is intuition and stories to try to make sense of the world, to provide some sort of vision of where we're at and where we may be headed. But that's not so bad. As a species, it's all we've ever had.\n\nGonzo marketing is the shorthand I use for the work I do\u2014work I fell into almost accidentally, rather than as a path I set out on knowing in advance where it would lead. At first, I looked for models, guidelines, some sort of framework that would make sense of the business world I suddenly found myself inhabiting. But what I found seemed oddly broken, or ill-conceived from the outset. Perhaps because I came to the computer industry from such a contrasting set of experiences\u2014brain surgery (yes, really), railroad braking, goat husbandry, boat carpentry, pharmaceutical, uh. . . mergers and acquisitions\u2014most of what I saw passing for best practice seemed na\u00efve to the point of being ridiculous. Even from the inside, it felt demeaning.\n\nAt first I thought I'd get the hang of it with time. But I never did. Along the way, I've become less and less professional. To make a living, I had to find something I could do that actually worked. And to work for my company or client, first it had to work for me. Call it a character defect, but I'm no good at anything I can't put my heart into. So I explored. I followed my heart. And I began to discover that many of the things that worked were the diametric opposite of what was normal and expected in business. In fact, the more diametrically opposed, the more contrarian the approach, the more effective it tended to be. I began calling these directions, attitudes and informal rules-of-thumb \"worst practices.\"\n\nThey aren't algorithms or recipes. They're not procedures. They're inclinations and actions that flow from a particular state of mind. And states of mind don't lend themselves very well to bullet points. However, they can sometimes be transmitted through stories. Stories don't deal in definitions and formulas. Instead, they  convey impressions, colors, connotations. Their effect is cumulative. The whole encompasses more than the sum of the parts, suggesting new ways to look at problems. And sometimes, imaginative new approaches to solving them.\n\nI once heard a talk on aircraft design in which the speaker explained the aerodynamic basis for a scene in a movie I saw as a kid. I can't recall the name of the film, but I've often used this scenario as an analogy for solving critical problems by going against \"the rules\" dictated by the sort of sanity and logic that would apply under normal conditions. In the movie, various test pilots attempt to fly an experimental plane capable of supersonic speed. As the plane approaches Mach 1, something strange happens to the controls. Instead of causing the plane to climb, pulling back on the stick puts it into a dive, with terminal consequences for both plane and pilot. Finally, our hero, Chuck Yeager, breaks the sound barrier and lives to tell about it by reversing the normal procedure. As the plane begins to bore in, he pushes forward on the stick instead of pulling it back. The story may be apocryphal, but the point is that the pilot never would have survived unless he did something that was\u2014according to all available evidence up until that time\u2014a little crazy.\n\nThis story was retold by Tom Wolfe in _The Right Stuff_ , the 1979 book from which the movie was made four years later. Wolfe was fascinated by people who did the wrong thing at the right time\u2014like Ken Kesey and the Merry Pranksters dropping way too much LSD in _The Electric Kool-Aid Acid Test_. But that was later. In 1973, six years before _The Right Stuff_ , Wolfe wrote another book called _The New Journalism_ , in which he included Hunter S. Thompson's story \"The Kentucky Derby is Decadent and Depraved.\" Here Thompson answers a worried question from his illustrator, Ralph Steadman:\n\n\"Is it safe out there? Will we _ever_ come back?\"\n\n\"Sure,\" I said. \"We'll just have to be careful not to step on anybody's stomach and start a fight.\" I shrugged. \"Hell, this clubhouse scene right below us will be almost as bad as the infield. Thousands of raving, stumbling drunks, getting angrier and angrier as they lose more and more money. By midafternoon they'll be guzzling mint juleps with both hands and vomiting on each other between races.  The whole place will be jammed with bodies, shoulder to shoulder. It's hard to move around. The aisles will be slick with vomit; people falling down and grabbing at your legs to keep from being stomped. Drunks pissing on themselves in the betting lines. Dropping handfuls of money and fighting to stoop over and pick it up.\"\n\nHe looked so nervous that I laughed. \"I'm just kidding,\" I said. \"Don't worry. At the first hint of trouble I'll start Macing everybody I can reach.\"\n\nAnd Dr. Thompson has been Macing everybody he could reach ever since. He's reached quite a few. Merriam-Webster defines _gonzo_ as \"idiosyncratically subjective but engag\u00e9.\" As dictionary definitions go, this one's delicious. A bit fruity perhaps, but a great nose and a nice finish. It also means \"bizarre\" the lexicographers add rather woodenly, ruining the whole effect.\n\nThompson created gonzo journalism, a genre in which high humor meets bad taste. _Fear and Loathing in Las Vegas_ burst onto the literary scene with tsunami force in 1971. It was shocking, electrifying. He was simultaneously writing for _Rolling Stone_ magazine, and the rock-and-roll connection was no accident. There's a clue here the size of Everest that, to this day, remains invisible in plain sight. Around the same time, the Temptations were singing \"Papa Was a Rolling Stone,\" the Rolling Stones were singing \"I bet your mama was a tent show queen,\" and Thompson was writing: \"Moments after we picked up the car, my attorney went into a drug coma and ran a red light on Main Street. . . \" It makes the historian's task a real bitch when everything is connected and nothing is what is seems.\n\nBut gonzo is far more than the shock tactics it employs. \" _The writer must be a participant in the scene while he's writing it_ ,\" Thompson said. Being a full participant in events, having a point of view, a deeply personal perspective: gonzo is about being _engaged_. It's not distanced, impartial or \"objective\"\u2014it cares about outcomes. When Hunter Thompson wrote about Nixon, he wasn't just writing about one of two presidential candidates. He was writing about someone he hated\u2014hated to the point of intimacy, so much that he  almost loved the man. When Thompson got done with Nixon, Nixon wasn't an abstraction. He was as real as a hurricane hitting into the Keys. As concrete as a head-on train wreck.\n\nGonzo journalism represented a significant shift in news reporting, or at least the option of a new direction. It granted other writers the permission to be human, to stop pretending they were automatic cameras recording events about which they had no opinion, in which they had no personal stake. And it granted this permission even to writers who _didn't_ sprinkle acid on their morning cornflakes.\n\nWhile the so-called legitimate press (where does _that_ come from?) has not exactly risen to the occasion in overwhelming numbers, plenty of net-heads have. In the next _X_ years, billions of dollars worth of news, information, entertainment and what I like to call \"The Artist Formerly Known As Advertising\" are going to do a full 180. That is, a very large proportion of these media functions will no longer be delivered top-down, as in the broadcast model, but will be coming bottom-up from creative individuals on the Internet. _X_ may be two years or five years or ten\u2014the question is not if but when. These changes are inevitable for reasons the balance of this book will explore more deeply.\n\nBusiness created mass markets through broadcast advertising, the same stentorian voice of command-and-control it used on workers, but in this case applied to the marketplace. \"Shut up and do what you're told\" is not that much different a proposition from \"shut up and buy our product.\" The \"shut up\" part was built in to broadcast, as there was never any back-channel\u2014never a way to ask questions. The 30-second jive-and-jingle TV spot was never an invitation to converse.\n\nThe Internet brings something different into the world. It has connected people person-to-person, and the people so connected are today talking among each other about things they truly value. People are telling stories. From the dawn of human society, people have been drawn together by storytellers who not only shared their interests but also had a special quality of speech\u2014let's call it _voice_. True voice is not just the ability to speak, but the ability to speak effectively. The best measure of this effectiveness is whether a particular  voice can attract and hold an audience. This is as true today as it was in Neolithic times.\n\nTom and Ray Magliozzi are Click and Clack, the self-styled Tappet Brothers of National Public Radio's \"Car Talk\" show. They're funny, engaging, and they know their stuff cold. I don't know what a carburetor even looks like, but I could listen to these guys for hours.\n\nWhile \"Car Talk\" is an offline phenomenon\u2014and as NPR's largest non-news program it is a phenomenon\u2014another critical factor comes into play when the Internet is involved. Because the barriers to entry are so low, storytelling and voice do not necessarily have much to do with what business usually cares most about: the size of the audience. An online audience can be microscopic by mass-media standards. Nonetheless, the micro audiences just now taking shape on the net are also potential micro _markets_. web-based micromarkets are currently coalescing in real-time around articulate, entertaining, knowledgeable voices.\n\nTake Motley Fool, which began as a minuscule dot in the petri dish of AOL's greenhouse incubator. Today, these \"fools\" touch millions of personal investors. Micromarkets needn't remain micro. Internet communities have always been self-selecting\u2014audiences gather around content of high personal interest. In this natural aggregation, online is far more efficient than conventional media. People find what they want not as much through advertising as through far more credible word-of-mouth from friends and colleagues.\n\nThe mass markets traditionally served by broadcast media have been steadily fragmenting for decades as a result of global competition. Evidence of this erosion are market segmentation and targeting techniques, which attempt to track the detritus of once-mass markets the way an astronomer tracks the remnants of a burnt-out supernova. As competition for even tiny niches has intensified, market segments have become smaller and more refined, to the point that business is currently in hot pursuit of concepts like personalization and one-to-one marketing. However, many of these \"mass customization\" approaches still rely on analytic tools developed for conventional market segmentation, which in turn require some sort  of historical market data\u2014e.g., left-handed red-headed 18-25 year old males tend to buy more Snickers bars than right-handed blond 25-32 year old females.\n\nBut what happens when such historical data does not exist? Entirely new micromarkets are emerging on the web today. The real challenge lies not in predicting the behavior of markets this small, but in determining their existence. Because they are currently much smaller than existing market segments, they don't show up on conventional market radar screens. Because they have no history and don't behave like the markets that grew up around broadcast media, demographic segmentation is of little use in determining who constitutes these new micromarkets.\n\nThese new realities are presented above as seen from a corporate vantage point. From an Internet perspective, web micromarkets don't think of themselves as markets at all, but rather as nascent communities of interest. They tend to gravitate around articulate, knowledgeable, entertaining voices\u2014individuals or small groups driven by a passion to communicate their views. Because entry costs require high returns on investment, broadcast media rarely offer such emergent voices a hearing. However, the Internet reverses this trend, providing many low-cost vectors for small-scale publishing\u2014Usenet newsgroups, email lists, weblogs, web pages. Think of these as \" _micromedia_ \" as opposed to mass media.\n\nSuch micromedia will replace a great deal of current advertising. They will quickly become the best source of user-supplied news about products and services (Amazon.com broke new ground along these lines by inviting customer reviews). Potential buyers will not have to hunt down this information, but will find it in the online venues to which they naturally gravitate according to their interests. Companies that engage in this type of dialogue will forge powerful relationships with micromarkets that will soon\u2014continuing a trend toward market fragmentation that's been in effect for many decades\u2014become their major source of revenues.\n\nThe Internet constitutes a market for ideas\u2014real ideas that interest real people, not just the feel-good fantasies of product vendors. What's missing today is an effective method of _marketing_ those  ideas undistorted by hype and hucksterism. Mass production, whether of goods or information, has always depended on broadcast marketing in which markets are viewed as top-down targets from the lofty vantage point of long-established power and control. The Internet has destroyed that vantage. Wave after wave of new arrivals have eroded the cliffs it's built upon and the castle is crumbling into the sea.\n\nIt's about time.\n\nNet markets are micromarkets, reflecting not the mass of humanity, but rather the voluntary alliance of individuals around deeply shared interests. Because such communities are still growing bottom-up, they have don't have the sort of demographic profiles companies have always depended on to identify new business. These micromarkets are just emerging. They hardly exist yet. Invisible to the lens of traditional marketing, they are ignored.\n\nBut don't be fooled. Micromarkets aren't insignificant markets, and given the speed of propagation the net enables, their emergence will be faster than the emergence of the Internet itself. This book describes how billions of dollars of advertising, news, information and entertainment are about to shift out of corporate control forever.\n\nThe resulting landscape will not be a neat and orderly world, any more than a rain forest, or any physical ecosystem, is neat and orderly. Rather, it will be wild in many of the senses poet Gary Snyder lists in his book _The Practice of the Wild_ :\n\nfree, self-propagating, self-maintaining, flourishing in accord with innate qualities, pristine, ordered from within and maintained by the force of consensus and custom rather than explicit legislation, populated with original and eternal inhabitants, resisting economic and political domination, unintimidated, self-reliant, independent, proud, far-out, outrageous, \"bad,\" admirable, artless, spontaneous, unconditioned, expressive and ecstatic.\n\nOf course, artlessness and ecstatic badness don't always come in such a poetic package. The quality of wildness most lacking in commerce is play. Yet play, once again, is serious business. To the  rollicking delight of online audiences everywhere, corporations seem to get easily confused trying to balance their overly earnest brand personas with their All-New SuperCool E-Brand Avatars that plead, \"hey look, we're just one of the gang!\" The resulting display is a little like watching baboons dress up in Barbie doll outfits: amusing for a while, but ultimately unconvincing. Play is serious stuff, profound even. While it's hard to describe, we all know it when we see it, flourishing as it tends to do, in accord with innate qualities. Even when those qualities are coming at you right straight off the wall. . .\n\n#  **Difficulty At The Beginning** **17**\n\n\". . . you can go up on a steep hill in Las Vegas and look West, and with the right kind of eyes you can almost _see_ the high-water mark\u2014that place where the wave finally broke and rolled back.\"\n\n-HUNTER S. THOMPSON, _FEAR AND LOATHING IN LAS VEGAS_ 18\n\nHow many days have I been racked out on this couch? Three? Four? I got back from London last week and immediately came down with the flu. Influenza the ancients called it. An evil influence from the stars. Between hits of Alka Seltzer Plus and fitful bouts of restless, fevered sleep, I've been reading Elmore Leonard's novel, _The Hunted_. Maybe that's what did it.\n\nSomebody's banging on my door and bellowing. \"Locke! Come out here you bottom-feeding scum sucker! I know you're in there. Come out or I'm coming in!\" Something much harder than a fist hits the door with a sickening thud. A window shatters. I'm waking up now. More like coming to. What was I just dreaming? Something about the book. Something terrible. You know those dreams that keep repeating, won't let you go? One of those. I won't be able to finish it on time. I don't know what I'm doing, what to write. What if my publisher wants the money back? But this is worse. I stumble to the door, undo the bolt.\n\nAnd find myself eye-to-eye with the uncompromising orifice of a shotgun barrel. Look how round it is. Nasty. I am definitely not  ready for this. \"Look,\" I croak, my voice breaking, \"I've got a mother of a cold going on here. Could you maybe come back later?\"\n\nA rough hand reaches through the door and grabs me by the shirt, yanking me out into the cold, then hurling me back against the long bank of entryway windows. It's not the Fed-Ex guy. Not UPS or the mailman. Nobody else ever comes here. \"Who are you?\" I manage, \"and why are you doing this?\" The man looks crazed. He looks as if he's been drinking. Maybe even on drugs.\n\nThen I notice the cigarette holder. Oh dear God. My worst nightmare come true. It's Hunter S. Thompson. In that case, definitely on drugs. \"I wish I had something to offer you,\" I say, thinking as fast as I can, which isn't very, \"but I quit drinking 17 years ago.\" He jacks a shell into the pump. Uh-oh, wrong approach. However, he sees that I've recognized him. Sees the confusion lifting, the fear dawning in my face.\n\n\"I understand you're writing a book,\" he drawls. And just lets it hang there, the whole scene suddenly framed in tableaux. I should have seen this coming. I should have called it Seven something. Or something about Simplicity or Cheese. \"Look,\" I say . . . but that's as far as I get because the shotgun is now jammed between my teeth. \"Mrphh rmble xltrig forqwad!\" I protest.\n\n\"A book about gonzo,\" he says with towering contempt. \"A book about gonzo _marketing_ ,\" he says, and spits\u2014an ugly gesture at the best of times, and I'm thinking this isn't one of them. But at least he's pulled the gun back some, so I can talk.\n\n\"Hunter, man! It's not what you think! You're gonna love it, actually. See, the reason it's gonzo is what you said about the writer needing to be engaged in what he's writing.\" I compulsively add \". . . well, he or she.\" Big mistake. He rams the barrel into my sternum, pinning me against the window. \"Yeah sure, so it's a business book, OK. But not _that_ kind of business book. You know?\" It doesn't look like he knows. \"Listen . . .\" I try again.\n\nBut he says \"No, you listen to this!\" And suddenly there's a blinding light and a very loud noise that I'm hearing with every auditory synapse as I watch myself, fascinated, tumbling backwards in slow motion through the glass, which has shattered into a rainbow catching the morning light, fractal, delicate, heartbreakingly beautiful.  I slam into the Sony XBR TV, my head crashing through the largest tube job on today's consumer electronics market. Circuits spark and leap. The current streams into my brain. I realize as consciousness fades that the damn thing is trying to mate with me. Artificial intelligence attempting to spawn itself on the far and fading shores of broadcast. Predictably, the attempt fails.\n\nThe phone rings.\n\n\"Hello?\" Tentative. Thinking maybe this is what comes after. You get some kind of call. But it's David Weinberger. You remember him from _Cluetrain_ , right? \"So how's the book coming?\" he wants to know, all rested and cheery. At this moment I hate him. \"I've decided not to write it,\" I hear myself saying. \"I'm afraid people won't. . . you know, they just won't _get it_.\" Even though it's dawning on me it was all a dream. Still . . .\n\n\"What do you mean you're not writing it!\" Weinberger thunders. I can tell he's secretly pleased, though. He just signed a contract for his own book and, really, the guy is more competitive than Larry Ellison. Also, he senses something deeply neurotic with strong psychoanalytic potential. But I head him off before he can get into it. \"I just realized it was too complex,\" I say. \"These business types haven't evolved enough yet. Maybe if I live another thousand years. . . \"\n\nI don't want to tell him the truth. That Woody Creek, Colorado, is only a few hundred miles into the mountains west of here and it's all too clear that that fearful loathsome Dr. Thompson is still up there somewhere. Alive and kicking.\n**CHAPTER 1**\n\n**Eight Miles High: The View from 40,000 Feet**\n\n_\"All your base are belong to us.\"_\n\n_-ZERO WING_ 1\n\n**MARKET RESEARCH IS DEAD. LET'S HOPE SO ANYWAY, BECAUSE ALL IT** does is predict we'll want the same things tomorrow that we wanted yesterday. As practiced in most of the 20th century, market research works against creativity and the kind of risk taking that's crucially prerequisite to innovative products and services. Today, there's a counter-phenomenon at work, beginning in the realm of ideas. If they're any good, ideas propagate well over networks. And ideas create new markets.\n\nThe outcome hinges on that little word _if. If_ they're any good. Market research takes an idea and asks what proof there is of an audience. Will the idea fly? And if so, with whom? To start a new cable channel today, it's necessary to prove an audience of 30 million viewers. That's a lot of eyeballs. And terms like _eyeballs_ are what you get when you begin to think this way. How much can you know about individual tastes and interests among that many people? Not much. But all you really want to know is the chances of whether they'll tune in, because launching such a channel is going to take megabucks and whoever is putting up the cash is going to want pretty strong assurance of seeing those bucks back someday real soon, accompanied by a handsome return on the investment.  The return will come through advertising. Or so goes the formula. Aggregate enough eyeballs, show them whatever you think they want to see\u2014which you hope market research will tell you\u2014and slip in as much spam as you can between the \"content\" segments. The spam then cooks up into a tasty profit sandwich.\n\nTraditionally, this approach has produced a lot of money. And little else. It has produced the kind of television programming where everything is nearly indistinguishable from everything else\u2014where the women are always beautiful, the men are always tough, neither are any too bright and everybody wants to be a millionaire. Market research says that's what we want. So we get it by the bucketful, ad nauseam.\n\nThe same formula has produced \"news\" in which nothing is new. Watch CNN for a day and you'll hear the same stories repeated over and over in an endless loop. You think, how amazing that so little is happening in such a big world. If something really juicy is afoot\u2014say a football advertising personality offs his wife, or some minor British royalty buys it in a car crash\u2014you can watch the news for months at a time without hearing about much else. God help you if some cute little Cuban kid accidentally washes up in Florida.\n\nBut then, so much gets washed up in Florida. Two hundred years of American democracy, for instance. And again, it's the same market research formula at work behind the scenes. A presidential race run like a focus group, with a couple hundred million people expressing their poll-driven proclivities for the product features of Brand X or Brand Y. The U.S. election of 2000 reflected an almost beautiful, if totally twisted symmetry. Offered no real choice, the electorate returned no real decision. The only surprise is that anyone was surprised.\n\nSo what choice have we got? If everything we see and hear is beamed at us on the theory that what we want to see and hear is what we've _always_ seen and heard, it seems we're inexorably condemned to some maddening media hell where it's always Ground-hog Day. No wonder Eli Lilly sells so much Prozac. Who wouldn't go batshit under such conditions? Lab rats wouldn't just display neurotic behavior. They'd explode.\n\nBut we do have a choice: the Internet. Rather than explode with anger and frustration, a flood tide of humanity has immigrated to  this temporary autonomous zone. The net is like a vast global city packed with displaced persons, refugees fleeing the insanity of mass media. \"The sky above the port was the color of television tuned to a dead channel,\" wrote William Gibson in the opening salvo of _Neuromancer_ , the book that coined the word \" _cyberspace_ \" in 1984 before anyone had ever been there. Artists are outsiders. But artists are also outriders. A dense and crowded matrix of rainy street corners, the net offers little shelter from the elements. But you can pick up your guitar and play. Just like yesterday. Or your sax or your word processor or your graphics or film editing software. Like tens of millions of disaffected kids with more time than money and more brains than most record company executives, you can crank up your MP3 encoder and your CD burner. As the music industry learned from Napster\u2014just a few days late and a couple billion dollars short\u2014you can change the rules.\n\nMass media works top-down. Like Aztec temples, they concentrate power and ownership atop steep pyramids based on command and control, using broadcast as a form of human sacrifice. To the teeming millions massing from the bottom up on the net today, this is not just an overburdened metaphor. Having been treated their entire lives only as eyeballs, as fodder for this impersonal, inhuman media mill, they have no allegiance to the gods of broadcast and their unholy rituals of content licensing and windfall profit. If you change the rules, you can change the world. And the only real question has become: why not?\n\nBut as predicted, this revolution is not being televised. Business depends for its intelligence on broadcast news and market research, both of which tell it what it wants to hear. Business has its ear to the wrong ground. Happily touting the wonders of e-commerce, it is tuned to a dead channel, deaf to the voices of the dispossessed.\n\nAt first, the world at large ignored the net, missed its significance, scoffed, then jumped in with both feet, thinking it was a bandwagon, asked the wrong questions about how to make money with it, got too excited when it seemed to be something it wasn't, too depressed when it turned out to be what it is: mirrored fractal nets within nets, the collective intelligence of the human race unfolding in real time\u2014and for the first time, on its own terms. The Internet routes around obstacles; the bigger the obstacle, the more joyous  the detour. The humorless power of the state, the iron-fisted control demanded by the corporation, the sexless desire insinuated by broadcast advertising\u2014all are falling to networked imagination.\n\nAnd so far, we've just been playing. The flap over Napster is merely the toy of public opinion wound up and released\u2014a plastic duck quacking its way through the mainstream media. It's right! It's wrong! The millennium has come! The end is nigh! But who cares? Most of this \"debate\" is looking backward, trying to salvage constructs that no longer matter. Whose property is intellect? Whose right the right to copy what has gone before? Human culture has always been the work of thieves, beginning with Prometheus. Kill Napster today, get the fire next time.\n\nWhile the music industry wrings its hands over profits lost from catchy tunes it ensnared in the twentieth-century equivalent of bad-faith treaties with native tribes, the net is already dreaming about arts and music and literatures not yet composed. About how they will travel, whose eyes and ears, whose hearts they will arrive at. Business made an unholy pact with technology, and thought it had found the keys to the kingdom. But unlocking the gates, it imported a Trojan horse into the city of commerce. Within the code is a deeper code that business does not understand.\n\n\"Today I want to talk about piracy and music,\" said Courtney Love to the Digital Hollywood online entertainment conference in May 2000. \"What is piracy?\" she asked, then answered her own question. \"Piracy is the act of stealing an artist's work without any intention of paying for it. I'm not talking about Napster-type software. I'm talking about major label recording contracts.\"\n\nBusiness goes into heat at the smell of teen spirit. It dreams of new and untapped Internet markets, actionable tips on viral marketing to the stupid-turned-contagious? Yeah well, here we are now. Entertain us.\n\nMissing the darkly nuanced reference, business does indeed seek to entertain us. What it fails to realize is that, like Whitman, we are multiple. There is no \"us\" that can be entertained the way America was once entertained en masse by Norman Rockwell magazine covers. Nevertheless and notwithstanding that, nearly all business approaches to the Internet shoot for a mass market. \"Let's see, it'll cost us a million-five for the site and another mil for the ad campaign,  but think of all the ways we can monetize a billion clicks! We'll hit break-even inside 90 days. Cool! How soon can we IPO?\"\n\nUh-huh. But it ends up costing three times as much\u2014and no one shows. Meanwhile, some teenager puts up a page of dancing hamsters that pulls eighty-three bajillion hits in two weeks\u2014so many that her ISP's server melts down. Total cost: twenty-nine dollars.\n\nBut does business make the correct inference from this? Does anyone in the boardroom say \"Jeepers! They'd rather be looking at singing rodents than our zillion-dollar e-commerce site!\" Generally speaking, this realization is strenuously deprecated. And though everyone in the organization knows it's true, giving voice to such a sentiment at any level _below_ the boardroom constitutes seriously career-inhibiting behavior.\n\nSo, very few in the business scene seem to have learned much from the hamster gambit. Most companies kept on shooting for those imaginary mass markets on the web. Kept on, that is, until the dot.com bandwagon threw a wheel early in the year 2000. Too bad too, as it was during this period of Internet tulip mania that I was able to sell brooklynbridge.com. Seventeen times. And I don't even own it. But then the bottom fell out and, predictably, all these negative stories started appearing in the mainstream press. Is the Internet a Flop? Is There Any Money to be Made Online? Net Entrepreneurs Share Dumpster-Dining Tips. Etc. But the headline I kept looking for never appeared: E-commerce Exposed As Pathological Corporate Hallucination. The financial markets were worried, yes. There was deep concern on The Street. But what everyone seemed to take away from all this was what I like to call the e-berserker model. That online business plans needed to be even _more_ Byzantine and grandiose. That only the super-huge and hyper-capitalized could possibly survive \"the shakeout.\" Faster, faster, more hysteria, more hand-waving, more investment!\n\nAmong the top 10 most-visited websites as of this writing, Media Metrix lists AOL, Yahoo, Microsoft, Lycos, Excite, Go, and AltaVista. Microsoft has hit on a unique strategy for maintaining its position on this list: millions of customers trying to figure out why their computers suddenly stopped working. The rest are portals and search engines\u2014places people go online on their way to going _somewhere else_. If you look at the most frequent queries submitted to these  sites, you find an interesting pattern. Most people are looking for dirty pictures, jokes and\u2014you already guessed it\u2014the latest dancing-hamster equivalent. At the moment, that would be the single-page graphic of Al Gore and George W. Bush got up to look like Beavis and Butthead.\n\nBack in there somewhere I wondered: is it a shakeout when you flush a toilet? However, not being privy to my private ruminations, the press continued to drool over the prospect of a big media mating season just ahead.\n\nLet me propose a wager, gentle reader. I bet when you first heard about the merger of AOL and Time Warner, your reactions were . . . well, let's say a little mixed. On the one hand, impressive sums were mentioned, mountains of virtual money no one will ever see, numbers too large to count. On the other hand, you had no idea what any of it meant.\n\nThe one thing you must at all costs _not_ consider\u2014it would be rude of you at best\u2014is that it means nothing. Nada. Zero. Zip. But of course, we would never entertain such thoughts, so the rudeness issue is entirely moot. We all know it's a big deal. We all know it will shape our fortunes and our futures as surely as God made Edsels and Atari games.\n\nYou see, we now have this ultra-cool hyper-high-tech Internet, with which we must keep up. We must. And as we all know, it's moving fast\u2014at warp 8 light speed. Faster than sliced bread moved off the shelves the day after it was invented. We're running just to stay in place. We're checking out equipment down at DigiMart. We're taking courses. We're reading manuals thicker than _War and Peace_ that don't even have a basic plot. Pant-pant!\n\nBut the real problem\u2014as you'll appreciate when you come to fully understand these things\u2014is that the Internet is so darn slow.\n\nEh? Howzat?\n\nWell, look: Sure you got your basic e-mail and your basic 100 billion kajillion web pages, but do you have true broadband? Are you fully hardwired to a 7 x 24 x 365 multiply redundant TCP\/IP-enabled cable infrastructure? Because whether you know it or not, that's what you really want. It's what you need. Let's not mince words: it's what you'll fork out for. And it's been the American Dream for many years now. So much money has been spent already. Just for you.\n\nBack around 1993, another mega-convergence deal was announced between TCI and Bell Atlantic (\" _convergence_ \" is a technical term for hybrid\u2014sort of like when you mate a horse with a donkey and get a mule). True, it fell apart before it came together, but you have to admit they tried. Then, just a few years later another world-class merger of media titans was announced to great fanfare\u2014between MCI and Rupert Murdoch's News Corporation. The fact that it lasted less than a year should not blind us to its historic import, its brave and selfless attempt to bring us more precious bandwidth.\n\nBandwidth is an enormously complex concept, which you are probably not congenitally predisposed to understand. Here's the watered down Cliff Notes version. A word is worth one word. A picture is worth 1,000. We have the bandwidth to exchange these sorts of things online today, but they are embarrassingly low-tech. What can you really do with them? Draw some funny pictures for your home page? Write a letter to your granddaughter in China? Meet new people? Learn new things? Maybe explore another culture, or find a cure for cancer? Oh, puh-leease!\n\nBe honest. Look your techno-fetishism in the face for once. You don't want e-mail. You don't want friends or conversations. You certainly don't want knowledge. What you want is user-selectable full-motion video-on-demand. You want golf clubs and cubic zirconiums, strange new forms of exercise equipment, otherworldly food processors. You want nonstop astrological advice and 24-hour wall-to-wall home shopping. What you really want is Jerry Springer!\n\nAnd this is what AOL and Time Warner want too. It's what they want for you. Why? Because bandwidth this fat can deliver advertising like there's no tomorrow. And that, gentle reader, is worth considerably more than 1,000 words. Imagine this: It's worth a bucketful of bucks so big, so vast, so overwhelmingly impressive, that all those numbers you've seen up till now are nothing more than petty-cash chump change.\n\nNow does it all make sense?\n\nThe AOL\/Time Warner hookup represents the ultimate shared goals of mass media and mass marketing. Simply stated, the objective is to become as big as possible as fast as possible, to reach and lock in \"the mass market.\" This sort of strategy made perfect sense  at one time\u2014when there _was_ a mass market. But mass markets were fragmenting for many decades before the Internet came onstream, and since then, the net has enormously accelerated the fragmentation. I often refer to the new company resulting from the AOL\/Time Warner merger as The Titanic Deck Chair Rearrangement Corporation (NASDAQ:TDCRC). Huge media empires with dreams of top-down mass market control are living in a past that's no longer relevant. No more can broadcast advertising shape the tastes and desires of some undifferentiated mass of humanity. In contrast to mass media, the net has liberated audiences and markets to seek out what _they_ are interested in. And thereby hangs another tale entirely.\n\nIf they're any good, ideas propagate well over networks. And ideas create new markets. (Remember that bit? Just checking. . . ) Unlike market research, the net provides another, more immediate way to find out if ideas are \"any good.\" What you do is simply take the plunge. If a website or mailing list you create attracts an audience, you're off and running. If not, you crash and burn. Oh well. Of course, business never thinks \"oh well.\" It wants to know out front and top down that success is assured. It wants risk reduction and dependable size-of-audience projections. It wants a guaranteed return on its investment. But this is usually because it invests way too much based on obsolete mass-market expectations.\n\nHere's what's wrong with approaches based on this model: all they care about is making money for investors. And here's where many business readers will pull a full-body Keanu Reeves: \"Whoa!\" Because isn't that what business is all about? Yeah sure. But business is not what the Internet is all about. Never was, never will be. Mass media were created to serve the marketing requirements of corporations. The net had no such provenance. Companies that assume the net is there so they can sell more tend to forget why so many _people_ are there: because business is _not_ \u2014at least not in the same intrusive and unavoidable way business is there on television. People are there because of their interest in other people and what those other people are interested in. The net never promised anyone a media empire. It never purported to be the Northwest Passage to enormous corporate profits. If it turns out not to work the same way as conventional mass media\u2014and it doesn't\u2014whose fault is that?\n\nCompanies have always correctly assumed that people are not naturally inclined to be interested in their products. Not sufficiently interested, at any rate. However, mass media provided a perfect cure for this inattention: advertising. Advertising was an effective way to \"remind\" people of how much they really wanted\u2014how much they _needed_ \u2014that new car or insurance policy or washday miracle. Companies talk about branding products, but what mass marketing is really about is branding people\u2014stamping product impressions onto as many forebrains as possible as many times a day as possible. The product is boring? No problem. Get a bigger hammer to drive the message home. This process is what most media mediate. Commercial sponsors are their lifeblood and reason for existing.\n\nNot so with the net. It's possible to spend days and weeks online without ever seeing an ad\u2014if you don't count the email spam (delete, delete). Many sites have no sponsors, yet are drawing an audience. How do they make money? They don't. They are labors of love, created on nights and weekends by people deeply, often obsessively interested in their subject matter. Think about it this way. You know those horses and bison on the cave walls in places like Lascaux and Altamira? Can you imagine this conversation with one of the Neolithic artists who created them?\n\n\"Nice execution, Gork, but who's bankrolling this site? I mean, have you lined up investors yet? Any backers? And what about sponsors? Do you have a business plan _at all?\"_\n\n\"Duh. Gork not think of that. Gork guess he get busboy job down at Wooly Mammoth Burgers. . . \"\n\nThink about it this way. If the business notion of best practices had been applied from the dawn of human civilization, human beings never would have achieved civilization. Art history would focus on things like ancient Roman bas-reliefs of the current Tide and Cheer equivalents, the Sistine Chapel ceiling would say \"Bank With Medici!\" and instead of a torch, the Statue of Liberty would be brandishing a tube of Preparation H.\n\nFortunately for us, product placement is a relatively new idea. But hold the phone, some will indubitably say. Without making a profit for investors. . . why business wouldn't be. . . [sputter, choke, sputter] business! Well, one thing's for sure. It wouldn't be business as usual. Hmmm. . . interesting phrase, that. David Weinberger, Doc Searls, Rick Levine and myself used it in the name of a book we wrote together\u2014 _The Cluetrain Manifesto: The End of Business As Usual._ We were as serious about that subtitle as I am about Winning Through Worst Practices. There's even a connection.\n\nBefore _Cluetrain_ was a book it was a website. But long before that, it was a set of tentative, half-formed ideas. Ideas, as it turned out, that propagated well over the Internet. Ideas that not only created a new market\u2014for a highly unusual business book\u2014but that also began to question the whole idea of business and to redefine the very notion of markets. Years before _Cluetrain_ hit _Fast Company_ and _The Industry Standard_ , _The Wall Street Journal_ and _The New York Times_ , we had no conscious plan to make a nickel off any of the ideas we were kicking around. Perhaps I'd best speak for myself from here on out. What I thought _I_ was doing was destroying my (hah!) professional career. What can I say? I was bored.\n\nVery bored. From where I was sitting five years ago\u2014IBM as it happens\u2014business looked like a fetid swamp. All day I would watch as overgrown dinosaurs stumbled into the La Brea tar pits of their own bottomless ignorance. Fun for a while, to be sure. Godzilla Meets Gerstnera. Fortuna-500 vs. Earth. Et cetera. But it was all reruns after about the first 90 minutes.\n\n#  **Hocus Focus**\n\nSo I started a market research project. An Internet focus group. Only I didn't call it that. I disguised my true intentions by calling it Entropy Gradient Reversals. The name should be fair warning in itself. EGR was (and still is) a webzine and email list that, from the beginning, sought to answer one burning question: does intelligent life exist in online business?\n\nBut first, a word about shameless self-promotion. Media budget in the low three figures? Don't know how you'll ever make ends meet? As four out of five net-heads and zinesters have discovered, shameless self-promotion is just the ticket! And as your dentist will tell you, it's an important part of a regular program of bottom-up gonzo marketing. It's also an important part of our core theme, so try not to look too shocked as it dawns on you that, in this case, the bogus self-effacement so typical of business books went AWOL right from the outset in this one. We now return you to another exciting episode of _Practice What You Preach,_ already in progress. . .\n\nEGR is hard to characterize. Some would say impossible. From day one, it sought to rankle, to antagonize readers, drive them crazy. In fact, one of the site's primary objectives is to get curious viewers to go away. Needless to say, this was a major step in the evolution of gonzo marketing. However, nothing I've tried has worked. The number of hits on the site, while not exactly threatening to edge out Yahoo, has always grown, never diminished. What am I doing wrong?\n\nSince May Day 1996, EGR has been pumping out an irreverent stream of over-the-top gonzo effluvia as insurance against my ever again accepting employment in a so-called Fortune-class company. In the agonizingly slow process of aggregating an audience bottom-up, without benefit of a mega-dollar-java-animated-web-banner-advertising budget, and depending solely on its readership's goodwill and word-of-mouth peer review to attract new subscribers, here are some of the editorial mandates to which the publication has hewed religiously:\n\n\u2022 Assume that anyone who disagrees is a patent imbecile.\n\n\u2022 Insult readers at every opportunity; impugn their motives; question their cognitive reach.\n\n\u2022 Use profanity with licentious abandon.\n\n\u2022 Use arcane vocabulary demanding recourse to out-of-print editions of unabridged dictionaries.\n\n\u2022 Make pompous offhand allusions to literary works _no one_ has ever read.\n\n\u2022 Include interviews with fictitious media \"personalities,\" farm animals and B-movie monsters.\n\n\u2022 Encourage loyal subscribers to unsubscribe \"to make room for others.\"\n\n\u2022 Publish lurid personal confessions, often entailing wanton sex and the use of illegal pharmaceuticals.\n\n\u2022 Drop gratuitous equal-opportunity racial, religious and gender slurs.\n\n\u2022 Brutally mock potential sponsors.\n\n\u2022 Threaten to hand over subscribers' personal information to spammers.\n\n\u2022 Demand payment from readers for no apparent reason, then abruptly change tack and announce: \"We wouldn't take your stinking money if you paid us!\"\n\n\u2022 Make endless lists about which no one in their right mind could reasonably be presumed to give a rat's ass.\n\n. . . and so on; you catch the general drift. Or perhaps you don't. But either way, what did all this bombastic rant-and-raillery set out to accomplish? What could it possibly have hoped to prove?\n\nEGR is largely written by spectral constellation of psychic flotsam who insists on calling himself RageBoy\u00ae. There are days I'd like to forget about him, believe me. He is the product of what Poe called the imp of the perverse, a certain inexplicable inclination to self-destruct just as everything is going well. You're standing at the edge of an abyss, Poe says\u2014just taking in the scenery\u2014and suddenly you feel this incredible urge to throw yourself off the edge. That's the imp of the perverse, the ultimate font of worst practices.\n\nRageBoy is all my own worst qualities and character defects, somehow split out into a separate personality that, allowed free range on the web, has attained a disturbing measure of autonomy. He is my science-fiction monster run amok. My albatross. And probably my well-deserved karma for past offenses against various deities. But I can't get rid of him. He's also my cash cow. When new clients call up, do they want to talk to me? No way. \"Is RB available?\" they ask, as if I'm just the office boy. This is so unfair. Me,  I've worked really hard all my life to develop ideas that made some sort of logical sense. I've struggled to express them clearly and persuasively. I think I've even succeeded a few times. But nobody cared about that. It was so boring people fell asleep reading the stuff. Some even died.\n\nRageBoy, on the other hand, is insane. I don't mean this metaphorically, you understand. The guy is certifiably nuts. When I think of all the times he's threatened to destroy my career, I cringe. When I was working at IBM, he published a lengthy interview with Mr. Ed. That's right, the talking horse. He pretended that Ed was secretly running the whole worldwide media scene\u2014and intimated that he regularly overdosed on psychedelics. It was horrible. What if my employer had found out about this? As if that weren't bad enough, he started \"interviewing\" ranking individuals at IBM itself, including its chairman, Lou Gerstner. Jesus Christ!\n\nI lived in terror of what he'd do next. I still do.\n\nBut it's weird. RageBoy also has this knack of getting it precisely right by following these whacked-out inclinations. At times, anyway. Plenty of people hate him\u2014with just cause\u2014but there are also plenty who love him dearly and, against all logic, go to great lengths to do his insalubrious bidding. One time he got email from this business guy in the UK. \"You really don't give a shit, do you?\" he wrote. \"I am incredibly impressed.\" RB framed that one. I tell you, the guy's a total lunatic, but what can I do? He does all the writing and the interviews. He's now bringing all the income into this operation.\n\nOK, so we're the same person in reality, or whatever passes for that around here. But you see how it is. To be generous, a bit confusing. I've learned to live with this fractured personality setup, however, because it has taught me something. Everyone needs an outlet for that part of themselves that usually isn't allowed to speak at all. Not always to be sure, but often, that part has something vital to say. It has a certain wisdom, but we repress it, thinking it's too weird, too untamed, too out of control.\n\nThis is one sense of gonzo. Whenever I've thought about _Gonzo Marketing_ up till now (this book has been brewing for years), I've thought I would say that this _daemon_ , this wild and somewhat dangerous element wasn't really essential. Yes, it's a dimension I've explored, I was going to say, but it isn't something you need to consider  yourself. I thought I could get away with it. Hey, if I didn't have to spook anybody, bigger market for the book, right?\n\nBut I can't get away with it. As I write these paragraphs, I realize how wrong that separation sounds. While there are other, hugely important dimensions of gonzo (which we'll get to in due time), I now see that gonzo marketing can't possibly work without at least some measure of, well. . . call it fear and loathing. There has to be some sense of going over the edge, taking a leap into the unknown, going against all those internal alarms that pose as instincts but are really just paranoid defense mechanisms. There has to be some real sense that you're not only breaking the rules, but burning the bridge to boot. And that has to scare you. Otherwise, how would you become fearless?\n\nTo speak from the heart is to become who we truly are, and that's always risky, or at least surprising. If I strategize my speech, anticipate what I think you want me to say, things may go more smoothly on the surface. Certainly, there will be less confusion. Things will be simpler and more predictable. Fearful of exposure, we read from the expected social script. But we haven't really met. We haven't yet entered into that terra incognita where genuine communication becomes possible. Voice is far more than the sounds we make.\n\nNoting that corporate notions of markets were not based on real people but on cardboard cutout models of customers so straight and so stupid it's hard to imagine anyone except maybe Ward and June Cleaver ever fit the mold, I wondered out loud (or RB wondered, I forget) what impact all this might have on current approaches to online marketing. Like maybe all the hysterical e-commerce hoopla was a crock. But no one was really listening anyway. Or so I thought.\n\nIn December 1999, under the heading \"The wisdom of RageBoy,\" _The Economist_ wrote:\n\nFor the past four years, Mr. Locke has exorcised his demons with an irregular e-mail screed sent under the name of his one-man consultancy, Entropy Gradient Reversals. . . As often as not, he writes in the voice of his psychotic alter-ego, RageBoy, in a profanity-laced ramble that occasionally touches on the subject of Internet business strategy, ridiculing all it sees. There are plenty of nuts out there  firing off crazed e-mails, but what is extraordinary about Mr. Locke is that he has attracted some 3,500 devoted readers from some of the Internet's largest firms. After months of paging through his abuse, they eventually realise that it is all a subversive demonstration of his big idea, \"gonzo marketing\". . .\n\nUnfortunately, the magazine didn't quite grasp this big idea\u2014assuming it was a way for \"big companies to reach a new class of young, hip consumer with edgy, humorous and self-deprecating web content.\" Uh, no. . . not exactly. Though it would certainly be refreshing if companies could be less humorless and self-congratulatory\u2014a style, you may have noted, that I've adopted as a subversive demonstration of ham-fisted irony. _The Economist_ did hit the mark in one respect, however. \"Being right,\" the article observed, \"has not made Mr. Locke rich. . . \"\n\nYes, my readers expressed sincere and deeply warped delight. They egged me on. They begged for more. But I asked myself why I was doing this. It seemed thoroughly insane. Over the past five years, I have invested an absurd amount of time in this zine. And for what? At the moment, EGR is up to about 5,000 subscribers. By online business standards, this doesn't even rank in the pathetic showing category. However, what they lack in numbers, these readers make up for in raw intelligence, boundless skepticism and massive net savvy. They're smart. They're unconvinced. They're wired to the eyes. Oddly enough, many do work in major corporations.\n\nIn _The Cluetrain Manifesto_ I wrote, \"The word that's passing like a spark from keyboard to screen, from heart to mind, is the permission we're giving ourselves and each other: to be human and to speak as humans.\" And that's exactly what happened when the book hit. Before the publisher could launch its marketing campaign, _Cluetrain_ was already climbing the charts. The sales rank figures on Amazon had to be a mistake. It started out way too high. But it stayed in the top 50 for months; in the top 100 for most of the year.\n\nWhile much has been written about viral marketing, most of it is crap\u2014carrot-dangling to corporate sales droids who desperately want to believe their lackluster product come-on will go platinum on the net. Not bloody likely. But _Cluetrain_ did go platinum, did go viral. Why? Because it passed on that permission to be human. And  it passed it on via gonzo marketing\u2014which is _not_ some slick new trick for corporations to manipulate the young, the hip, the edgy. Gonzo marketing is market advocacy, the marketplace speaking in its own behalf.\n\n_Cluetrain_ was hardly what you'd call a _nice_ book. Not nice to business, at any rate. It railed, it ranted, it used bad words. It told corporations that everything they knew about the net was wrong. And not just wrong, but laughably deluded. Then, adding injury to insult, it refused to provide any sort of guidelines. You're on your own, it said. But suddenly, companies like BP Amoco, Citicorp, Conde Nast, Conoco, J. Walter Thompson, Nordstrom, Ogilvy & Mather, Reuters, Young & Rubicam were reading my harsh, implacable words. Buying them, in fact, in several senses. And making me rich as a result (it's always so nice to disprove the financial press). I almost began to feel guilty. _Almost_. The problem was this. Many companies seemed to agree with what I'd written in the manifesto: \"Conversations among human beings _sound_ human. They are conducted in a human voice. . . People recognize each other as such from the sound of this voice.\" And companies wanted to know, therefore, how they too could sound human. But I didn't think they could. And I still don't. I felt bad about it sure, especially with all those outfits purchasing _my_ product for a change. But there it was. Bummer, dudes. Impasse. You just can't get here from there. _Cluetrain_ said that a metaphorical Berlin Wall was separating the corporate conversations inside companies from the market conversations outside.\n\n#  **Ripping Out the Wall**\n\n\". . . we don't need no thought control.\"\n\n-PINK FLOYD, _THE WALL_\n\nIn February 2000 something extraordinary happened. One company\u2014a very large one\u2014ripped out the wall. Ford announced it was giving home PCs and Internet access to all 350,000 of its employees worldwide. The first sentence of the press release said: \"Ford Motor Company is taking a step forward to reach its vision of  being on the leading edge of technology and connect more closely with its customers _.\"_\n\nThis bold move was reported prominently on the front pages of _The Washington Post_ and _The New York Times_. However, these articles focused on who would be supplying the computers, how much the program would cost, how the move was good for labor relations, and detailed specs of the hardware. The _Post_ quoted Jac Nasser, Ford president and CEO as saying, \"We're committed to serving consumers better by understanding how they think and act. Having a computer and Internet access in the home will accelerate the development of these skills, provide information across our business and offer opportunities to streamline our processes.\"\n\nBut other than this clip, neither paper said anything about the company connecting more closely with customers. And none of the coverage that I saw quoted Nasser's far more detailed remarks in making the actual announcement:\n\n. . . we want to be able to improve communications\u2014two-way communications\u2014and make sure that our employees\u2014every one of us\u2014is connected to what's going on in the marketplace, so that we know where consumers are heading, what's happening to market trends, what's happening to product trends, and make it easier for our employees to have a better understanding of the shift that's happening out there. . . .\n\nMaybe that doesn't make for a great sound bite on the six o'clock news, but it's the heart of the story\u2014a story the mainstream press completely missed. The real deal here is that Ford has unleashed 350,000 independent\u2014and genuinely intelligent\u2014agents to fan out online and listen carefully.\n\nBut not just listen\u2014\"two-way communications,\" Nasser said. These computers and net connections will not be under corporate control. They will not be monitored in any way. Ford has unleashed 350,000 people to whom it has tacitly granted permission to speak on its behalf. Not in a legal sense, but in a much more powerful way. These are people who will tell their own stories, in their own voices, any way they see fit. Ford not only got out of their way, it provided the tools and the encouragement to use them. That's  smart. Replacing paranoia and control with no-strings permission is always smart.\n\nThe next day, Delta Air Lines announced a similar offer to its 75,000 employees. American Airlines, Intel and Bertelsmann have since followed suit, and I expect we'll hear many more such announcements. This trend alone could revolutionize current notions of Internet marketing. I suspect it will pick up momentum as the attendant advantages accruing to these companies become obvious to competitors and industry analysts.\n\nAnd Ford had even more strange news up its sleeve. In May, the company issued a \"corporate citizenship report\" in which it noted that sports utility vehicles\u2014including its own Explorers and Expeditions\u2014kill more people than tend to get killed in non-SUV crashes. Ford also said it wasn't too happy about the lousy gas mileage these vehicles get, as it's damaging the planet. When the media expressed surprise that the company would be so forthright on such potentially damning issues, Debbie Zemke, Ford's director of corporate governance, said \"For heaven's sake, everybody else is talking about it, so why shouldn't we?\"\n\nPerhaps Ford's willingness to tell the truth comes as even more of a surprise because, being digital and all, we've been conditioned by the simplistic wired\/tired dichotomy of Nicholas Negroponte that bits are way cool but atoms are old hat. Ford is a very atomic company\u2014a rustbelt NYSE discrete manufacturer, not a NASDAQ dot.com darling\u2014so it must not \"get it,\" right? Wrong. Companies like Ford were among the first to feel the fire of global competition, and it was no picnic. Ford was the first major U.S. company to bring in Deming and go through the Total Quality transformation. The company had to radically rethink its entire purpose. Perhaps most important, as Deming demanded, it had to drive out fear.\n\nFear masks arrogance, which in turn masks the kind of ignorance unable to admit it needs ideas that were \"not invented here.\" Managers from CEO on down had to become humble enough to realize that workers they'd been bossing around for better than half a century often knew more than they did. Ford began listening to its workers. So did General Electric. Jack Welch got religion for self-directed teams and process mapping. The results spoke for themselves\u2014not  just competitive survival, but better products, greater profits, better places to work.\n\nNow these \"old-economy\" corporations are listening again, extending the same attention to their markets via the Internet. This has nothing to do with facile tricks like \"permission\" or \"viral\" marketing. Instead, it's about what I have come to call _wide-area knowledge acquisition_. It's about the profound understanding that intellectual capital has little to do with ownership today, and everything to do with invitation, access and enthusiastic bottom-up community involvement. Is \"open source marketing\" an impossible oxymoron? Think about Linux and Napster. And reflect on how odd it is that sleepy old atomic tortoises like Ford and GE may turn out to be faster companies than digital hares like Intel, Microsoft and IBM.\n\nIn a clear reference to the infamous dictum that what's good for General Motors is good for America, Ford president and CEO Jac Nasser wrote:\n\nIt was not so long ago that leading companies believed what was good for them was good for the world. Business leaders made decisions without scrutiny or accountability and assumed the world would accept the consequences of those choices\u2014be they good or bad. At Ford, we believe exactly the opposite is true. What is good for the world is good for Ford Motor Company.\n\nThis might easily come across as just more corporate hot air\u2014sounds nice, means nothing\u2014except that Ford is putting its money where its mouth is. More to the point, it is putting its many voices where its money comes from. By giving PCs and Internet connections to its entire workforce worldwide, Ford has opened itself to the marketplace as no company has ever dared. These workers will fan out online and tell their own stories, engage in their own conversations, not about Mustangs and Explorers and Tauruses, but about the kinds of things human beings tend to get excited about. You know: what kind of education their kids are getting, why government is so broken, how grandma won the chili cookoff at the state fair, where wireless technology is headed, and by the way, how much _would_ it cost to start a chinchilla ranch in Tasmania?\n\nSpeak boldly and don't carry a big shtick. Most of the \"thinking\" in marketing these days is simply missing the boat. Mass markets have been steadily fragmenting many decades. They are being replaced by vibrant new micromarkets just now emerging from the web. These don't show up on corporate radars tuned to lock onto mass-market targets of opportunity\u2014or the fragmented debris of former mass markets, which is what conventional market segmentation keeps desperately trying to salvage.\n\n#  **A Preview of the Gonzo Model**\n\nFor nearly a century, companies like Ford have told workers to \"check your brain at the door.\" Corporations broadcast work orders down a tiered bureaucracy driven by command-and-control management. Similarly, they broadcast orders to the marketplace in the form of advertising: buy our product! But imagine Ford today, releasing all those workers into a chaotic uncontrolled and uncontrollable market space. Suddenly, the company might very much like to know what's in their workers' brains\u2014and not just the sorts of things they do on the job. Imagine the following scenario. While speculative, there is nothing preventing companies from exploring this model, and much to gain by testing its potential.\n\nSuppose Ford discovers, through offering open web space to self-motivated employees, that one-tenth of one percent of its workforce are gung-ho organic gardeners. Why would a car company be interested in such an avocation? Two reasons. First, 350,000 people is a pretty fair sample of the population at large, so it's reasonable to guess that a similar tenth of a percent of the market might be organic gardeners. Second, Ford is also a truck company, and people who grow gardens tend to haul stuff they wouldn't want to shovel into the back seat of the family sedan. Thus, such a micromarket includes excellent prospects for pickup trucks.\n\nFord would first want to introduce these workers to each other, and suggest that they collaborate on building an organic gardening sub-site at ford.com\u2014on company time of course. Imagine the enthusiasm that would result from being paid to do what you most love, instead of what you're told. Then Ford would find the best voices in this group\u2014the most articulate, engaging and informed\u2014 and sign them up as emissaries to the best _external_ organic gardening website. Call it Organic Gardening World, OGW for short. These ambassadors would then approach this best-of-breed site bearing gifts: cash, server hardware, technical assistance, even reverse ad banners to drive traffic from ford.com's homepage to this affiliate micromarket aggregator. Say the OGW site has a regular audience of 5,000. Ford would want to increase this audience to 500,000 as quickly as possible. It would also want an exclusive relationship with respect to competitors. OGW could have other underwriters, just not from the likes of GM, Daimler-Chrysler or Toyota.\n\nFord's money would enable the OGW site developers to quit their day jobs in some corporate cube farm and devote full time to doing what they love best. Notice that love is a powerful attractor on both sides of the equation. And it is an equation\u2014perhaps better, an _equator_. When organic gardeners click the banner on the OGW homepage that says \"Underwritten by Ford Motor Company,\" they would not be transported to ford.com, but instead to ford.com\/organic-gardening. And there they'd encounter Ford employees who understand and share their passion for mulch, for good rich dirt, for corn-on-the-cob served five minutes from harvest. These two groups also share an active interest in pickup trucks, automatic lift gates and power take-offs. Does this intersection of common interests hold more promise than conventional advertising? How much might it be worth to find out before competitors got the jump on the best voices emerging out there on the web right now?\n\nImagine taking this one step further. Say Joe Smith is Ford's primary ambassador to the OGW site, and is highly visible in posting there. It's part of his job. He doesn't write about Ford products, but about his knowledge of organic gardening. He knows a lot, and he's well respected for his advice. Now say Mary sends him private email. \"Joe, I know you work at Ford. I wonder if you can help me. I bought an Explorer a while back, but the driver's side door is sprung and my dealer is giving me the run-around.\" Joe promotes this to the EVP Customer Service at Ford corporate, for which he has hot-line priority, and 20 minutes later Mary gets the following note. \"Mary, Joe tells me you're having problems with your Explorer. Sorry to hear it. Call Bill Smith at the number below and schedule  a time to have it fixed. I worked it out with Bill to take care of you at no charge.\" How many times would a company have to comp such service to gain word-of-mouth evangelists it couldn't buy with a $100 million ad campaign?\n\nWelcome to gonzo marketing. As with the gonzo journalism from which it takes its name, this kind of engaged participation is the exact opposite of \"objectivity\" that pretends to have no perspective, no point of view. Every website worth its salt is an act of journalism, news of some passionate interest and engaged advocacy. By underwriting and participating in the life and growth of such sites, corporations can forge powerful relationships with emerging micromarkets. This is a win-win, not a zero sum, model. Everyone benefits: the corporation, its workers, external site producers, and their audiences.\n\nCould there be problems of undue corporate influence on content? Sure. But these are no different from the problems faced today by traditional publishers, who set up \"church and state\" boundaries between advertising and editorial departments. A site with many underwriters will be safer from such influence\u2014attempting which will be cause for terminating contracts. A company seeking unfair advantage would risk permanently ceding its relationship to a competitor. Not a real swift idea.\n\nWhy would a huge corporation get out of the way and enable mere workers to speak on its behalf? Workers are no longer valuable for their labor alone but also for their curiosity about the world _outside_ the company\u2014for their interests and passions and the uncontrived voices through which they express themselves. People want to talk to people, not flacks and lawyers and scripted marketing zombies with hidden and none-too-friendly subagendas.\n\nWhy would a company used to dictating to its markets via broadcast advertising suddenly switch gears and pay attention? Willie Sutton robbed banks, he said, because that's where the money was. Today, corporations must establish more intimate relationships with markets because that's where the knowledge is. Intellectual capital is no longer a strictly internal affair. Engaged conversations with relevant micromarkets will become a crucial source of insight and innovation, and the quality of this market intelligence will ultimately  determine market share. Without such interactions, efforts to create competitive products and services risk taking place in a vacuum. At least one company understands this today, and many more will follow. \"We need great ideas,\" says Nasser, \"from people both inside and outside of Ford. We will listen to those ideas with respect and seriousness.\"\n\nAs products come to reflect genuine esteem for workers and customers instead of self-congratulatory ballyhoo and the adversarial targeting tactics that surround the concept of brand today, companies will be far better served, and so will their markets.\n\nGonzo marketing provides a model whereby companies can stop manipulating people as if they were abstract demographic data, and instead create genuine relationships with emergent online communities of interest: powerful new web micromarkets. The paradox is that companies can have everything they've always wanted. Greater market share. Customer loyalty. Brand equity. All those empty phrases that today make people blow coffee out their noses. But companies can actually achieve these goals. No, really. All they have to do is follow the advice my Junior High principal once shared with me. \"Son,\" he said, shaking with anger, \"you've got to get your thinking straight!\"\n\nNaturally, I didn't. Instead, I immediately began developing my notion of worst practices. Fortunately for you, the worst of the worst will not be covered here. Serious mistakes are critically necessary to the learning process. In my own case, since these mistakes have given me such a powerful competitive advantage, I'm afraid they must remain proprietary. Plus, there are certain statutes of limitation to consider. I've made more than my fair share of catastrophic errors. Make your own.\n\nWhat the balance of this book does cover is a complex constellation of ideas capable of forging an entirely new kind of relationship between commercial organizations and post-colonial Internet cultural communities. Of course, they're _only_ ideas. At present. But\u2014as you may have already read somewhere\u2014if they're any good, ideas propagate well over networks. And ideas create new markets.\n**CHAPTER 2**\n\n**The Value Proposition**\n\n_**\"Value Proposition.** The reasons why a product is of sufficient value to the customer to be well worth its price. This term is often used in ad agencies as they formulate their ultimate pitch. . . **Values.** The deeply held beliefs and attitudes of the members of a particular society.\"_\n\n- _THE PORTABLE MBA IN MARKETING_\n\n_\"The possession of wealth, which was at the outset valued simply as an evidence of efficiency, becomes, in popular apprehension, itself a meritorious act.\"_\n\n-THORSTEIN VEBLEN\n\n_\"Money\u2014it's a hit.\"_\n\n-PINK FLOYD\n\n**THE SECOND CHAPTIER OF** _**KOTLER ON MARKETING**_ **IS TITLED \"USING** Marketing to Understand, Create, Communicate, and Deliver Value.\" Maybe this will help me, I think. Maybe I'll get what I'm missing if I read this bit. Yet out of 18 pages, there is no mention of _value_ until the 16th page, where all it says is: \"The full positioning of the brand is called the brand's value proposition. It is the answer to the customer's question, 'Why should I buy your brand?'\" Maybe it's just me, but whether marketing was used or not, I have to say that value\u2014the core concept this chapter promises to unpack\u2014was  not understood. Neither was it communicated or delivered. If it was created, it was created somewhere else. And that's my point. I'm not picking on Kotler, particularly. In fact, I like the guy. But this failure to communicate is not at all atypical. Business in general, and marketing in particular, seem to assume we know what they mean when they sling around terms like _value, brand_ and _positioning_ , and equate the resulting blur of vague ideas to something we might actually care about. This notion of value _was_ created somewhere else\u2014in some wish-fulfillment fantasy world where what is valuable to business maps seamlessly and unquestionably onto what is valuable to me. Value is value. It's obvious, isn't it? What if I said no?\n\nIt feels like spring, yet it's almost solstice, mid-winter coming in. Catching the light, a flock of pigeons turns through the sky over the highway and I remember. I couldn't have been more than 10 or 11, the age my daughter Selene is now. I raised pigeons, and every morning I would watch them fly out over the tilled adobe bean field, the huge fig tree at its center, the dairy where other, wild pigeons slept at night in the cow barn. We would go there with flashlights to try to catch them without waking the farmer, who was rumored to have a shotgun. This was California, the heart of Silicon Valley, though there wasn't any silicon there back then in the late 1950's. My heart would sing to see my flock tilt and wheel in the sun. I would feel something I couldn't describe, and still can't, to see them coming home at nightfall. I am driving and remembering and feeling how much is lost, how precious this life.\n\n\"I will survive\" sang Jerry Garcia a year after nearly dying and eight years before he actually did. Trying to explain The Grateful Dead is like trying to tell a stranger about rock and roll. No, it's like trying to tell the ungrateful, walking dead about life\u2014that value has something to do with gratitude. Gratitude for the mystery of the world and the heart to feel into it. Diamonds in the dust. Value as treasure unrecognized. The story has it that Garcia found \"grateful dead\" in an old Funk & Wagnall's dictionary entry referring to a ballad in which a traveler takes pity and lays a wandering ghost to rest. Grateful, the dead man richly rewards the deed. Shades of \"Finnegan's Wake,\" the traditional song on which James Joyce's sprawling novel of the same name was loosely (very loosely) based, in which Tim Finnegan's funeral gets entirely out of hand and his  corpse comes back to life when some drunken reveler splashes whiskey on it. Or of the Egyptian Book of the Dead, which is purported to say: \"in the land of the dark, the ship of the sun is drawn by the grateful dead.\" Or of Dylan Thomas, who sang in another key, \"After the first death there is no other.\" Or of _El Dia de los Muertos_ , the day of the dead, when roses bloom in skeletal eye sockets and the people dance in the streets to a grim fandango celebrating life.\n\nAmong other things you may imagine at this juncture (and thanks for keeping them to yourself), this exercise smacks of what anthropologist Clifford Geertz calls \"thick description.\" Using a complicated tale about sheep and thieves and justice and the lack of it in colonial North Africa in 1912, he demonstrates that any time we attempt to describe \"a particular event, ritual, custom, idea, or whatever,\" we end up spinning stories about other people's stories about yet other people's stories, and sorting it all out becomes next to impossible. It's a rich tapestry, and thick description, while it may seem confusing, often comes closer to what's actually going on than would \"thin description\"\u2014the kind of succinct clear-cut abstraction that appears perfectly plausible, but totally distorts reality. Not that I'm claiming any methodological rigor in these musings, but the thickness I'm attempting to suggest is what music and painting and literature\u2014what we roughly call The Arts\u2014typically point to. And what the specialized languages of logic and science and business typically do not. It's a Zen sort of thing you could say. _I_ could say; who's to stop me? Finger indicating moon-illuminated finger. The thickness of life as life is lived between the inexorable poles of birth and death. \"Man is an animal suspended,\" says Geertz, \"in webs of significance he himself has spun.\"\n\nWebs, yes. And although the Big Daddy web did not exist when that was written, that's why the choice of quote. That's where we're headed. It's where we already are. But wait. Though we have these words for our current situation\u2014words like Internet and World Wide Web\u2014it seems to me they obscure at least as much as they reveal. Because networks are inherently social realities, any attempt to definitively say what they are becomes immediately suspect. It depends on where you're standing when you look at them, and what sort of baggage you've brought along to the observation deck. \"Meaning is  use,\" said Ludwig Wittgenstein, meaning things mean what you make of them. But he also said, _\"Die Welt ist Alles was der Fall ist\"_ \u2014the world is everything that is the case. And really, how far does that get us? Except that \"Case\" is the main character in William Gibson's _Neuromancer_ , which, when it was published in 1984, was the first entry in a then-hot new literary genre called cyberpunk. And in German, \"neu Roman\" means \"new novel.\" The novelist then the new romancer. Sure, it's a stretch, but who knows what these creative types are capable of? Everything has at least two meanings.\n\nBecause it's expected, I guess, business tends to be way too serious. Tends to take language far too literally. \"A thing _is_ what it is called, and it could not be called anything else,\" writes Peter Berger in _The Social Construction of Reality_ , explaining how children perceive the world. But the following shoe may fit much larger feet: \"All institutions appear in the same way, as given, unalterable and self-evident.\" His point being that they're anything but. As you may have already picked up from the book title, his point is that reality is socially constructed. And institutions are hardly exempt from such construction: the Church, the State, Fortune 500 corporations, the Internet, the World Wide Web. When you get online, as Gibson wrote, reality is a consensual hallucination. If you're lucky.\n\nEvidently, Friedrich Nietzsche liked to say \"there are no facts, only interpretations.\" Unlike myself, Geertz and Berger and Wittgenstein probably actually read the guy. He supposedly says this in _The Will to Power: Attempt at a Revaluation of all Values_ , which sounds way too heavy for my head, and which, anyway, was patched together by his sister, who was married to a Nazi and took, shall we say, certain liberties with dearly departed Friedrich's notebooks, thus giving him a much worse rap than he might have had otherwise. Talk about your thick description. Admittedly, the rap was already pretty bad, because he's also the guy who lobbed the \"God is dead\" grenade into the middle of the Enlightenment garden party. To say the least, this did not ingratiate him with the God-fearing\u2014though if they were really all that afraid, you'd think at least some of them might have taken this as good news of another sort. After all, a few hundred million Buddhists do. At any rate, what I think he meant, among other things I can imagine (which I am keeping to myself), is that divine authority was no longer what you  might call a highly credible source in the working out of what certain things signified or what signified certain things. Like value, for instance, to loop back around to our theme, about which, at this point, _nothing_ is certain. Well, good then. That means it's working.\n\nAs Nietzsche bought the farm in 1900, you can see that this sort of general shakiness about the meaning of things has been floating around for quite some time. Hell, you could go back to the classical philosophers. Say you're walking in Memphis, home of Elvis and the ancient Greeks. Is what you think a thing to be what everyone else understands it as? Is the world as it appears to you, or does it look completely different to someone who _didn't_ grow up in Darien, Connecticut, and get an MBA from Wharton? Of course, Plato and Aristotle and that lot wouldn't have been able to tell an MBA from a banana fish. And anyway, who cares? Who cares, especially, because such questions verge on dangerous ground, on terra incognita. Business prides itself on hard-nosed practicality and pragmatism, even if it gets all dewy-eyed wondering where its pragmatism came from. Philosophy, anthropology, sociology, linguistics? Leave that stuff to the longhairs. We got a business plan to write!\n\nOK, so you write the plan. For a killer B2B e-commerce portal. And you structure the plan around the Holy of Holies, the infamous 4 Ps of marketing: product, promotion, place and price. Of the four, only the last generates revenue; the others represent costs. Price is what you can charge based on some proposed value. If you're a consulting group, maybe you write a meta-plan, something for clients to chew on, if not perhaps entirely digest. If you're working at the Ernst & Young \"Thought Center\"\u2014 _From Thought to Finish\u2014_ you write this:\n\n _ **Moving From First Mover to First Prover:**_\n\nThe race for dominance in business-to-business (B2B) digital marketplaces is picking up steam....A winning business model is based on alignment of a company and its industry with how the company will achieve competitive advantage in each of four areas: the company's _unique value proposition; delivery chain management; functionality;_ and _profit mechanisms._ 14\n\nCool! And not only that, Ernst & Young also promises to \"stress test\" your business model. After they've created it, naturally (imagine something here about the fox guarding the henhouse). For this important work, the company has assembled a team with a \"unique set of skills\"\u2014uniqueness having ultrahigh cachet at the moment\u2014consisting of \"investment bankers with top tier wall street experience, and academics and economists with diverse backgrounds including Harvard Business School.\" Wow, huh? And probably cheap too. How could you go wrong? Except maybe by buying into the odd notion that a degree from Harvard ever qualified anyone for the diversity category.\n\nLook, I have no particular animus toward Ernst & Young. I've spoken with some very smart people there over the years. But the fact is, you will find this sort of nonsensical no-nonsense cut-to-the-chase business rhetoric on thousands of corporate web pages today. Locating an example took me about two minutes on Alta Vista. Here's the search string; try it yourself:\n\n+B2B +\"e-commerce\" +\"value proposition\"\n\nMore substantively, you could go wrong with any number of customers, prospects, partners or suppliers by creating a \"value proposition\" with zero idea of what value means to a couple-three billion people, each of whom is genuinely unique, and who, taken together, are a hell of lot more diverse\u2014you can take this one to the bank\u2014than a bunch of fucking academic economists. Assuming that its world is _the_ world, choosing to be na\u00efve about language to the point of volunteer autism, business ends up looking a lot less hard-nosed than soft-headed.\n\nHowever, having thus blinded itself like Oedipus (what did it see that it couldn't bear to see?), business is reduced to common-sense dictionary definitions of value\u2014though this \"common sense,\" as we'll soon see, has nothing in common with the commons as construed to mean the people, the great seething mass of humanity that has been in these latter days transformed, as if by magic, into the miracle of global markets. That is to say, these definitions were largely created by business itself (more about the fox guarding the  lexicon below). The _American Heritage Dictionary_ includes the following definitions of \" _value\":_\n\n1. An amount, as of goods, services, or money, considered to be a fair and suitable equivalent for something else. . .\n\n2. Monetary or material worth. . .\n\n3. Worth in usefulness or importance to the possessor; utility or merit. . . .\n\n4. A principle, standard, or quality considered worthwhile or desirable. . .\n\nIt seems reasonable to assume that considerations of what is worthwhile or desirable might have some bearing on price. You'd think, right? Business certainly thinks so. But the same dictionary defines \" _price_ \" as follows:\n\n1. The amount as of money or goods, asked for or given in exchange for something else.\n\n2. The cost at which something is obtained. . . .\n\n3. The cost of bribing someone. . .\n\n4. A reward offered for the capture or killing of a person. . .\n\n5. _Archaic_. Value or worth.\n\nThough numbers three and four throw a bit of a curve\u2014\"every person has a price\" and \"a felon with a price on his head,\" the respective entries go on to explain\u2014at least one and two are pretty much what you'd expect. The real zinger is the last item. Archaic? But wasn't value just explained in terms of cost? In fact it was: \"an amount, as of goods, services, or money, considered to be a fair and suitable equivalent for something else . . .\" And that, as the saying has it, is the price you pay.\n\nMaybe it's some lexicographer's little joke, an Easter Egg like the ones Microsoft coders sneak into Office apps. Maybe the intent is to suggest that price _used to_ reflect value, but that was then. Ha ha. Or maybe it means something far more ominous: that an older sense of value has been supplanted. For while Nietzsche never achieved his  goal of revaluing all values, business has done precisely that. While nobody was looking.\n\nIn business, value determines price, or at least sometimes suggests it. Price is then a function of value\u2014what something costs bears some relationship, we suppose, to what it's worth. But what about value in a larger framework than cost? What is the value of something to our lives? Without needing any fancy equations, we all know the value of oxygen even though it doesn't have an explicit price tag (yet). Aside from price, the larger value of products and services is connoted by a mystical constellation of values that are ideally supposed to be captured and represented by the concept of _brand_. The most successful branding campaign ever carried out was the branding of brand itself\u2014getting human beings to accept the implicit assumption that all value is monetary, that everything has a price in dollars and cents (or currency of your choice). This largely unconscious theory of value is what defines and drives consumerism, in which identity is determined by what you have and can get instead of by who you discover you are or may become.\n\nBecause value is subjective and perceived differently by different cultures and communities, it cannot be reduced to fit neatly into a single systematic and comprehensive conceptual framework. However, this cultural relativity, this diversity of perspective and interpretation creates very large practical problems\u2014especially for corporations committed to growth at any cost, especially for companies willing to let others bet, via the financial markets, on whether such growth is sustainable beyond, say, next Thursday. By revaluing all values in monetary terms and throwing out anything that didn't have an obvious rate of exchange, a sort of tacit universal metaphysics was born by default. God is dead, but business is alive and well. Long live McDonald's! Would you like fries with that? Long live Disney! It's a small world after all. Long live the Global Economy! Tagline pending.\n\nIn _Jihad vs. McWorld,_ Benjamin Barber describes what he calls McWorld as a set of \"onrushing economic, technological, and ecological forces that demand integration and uniformity and that mesmerize peoples everywhere with fast music, fast computers, and fast food. . . pressing nations into one homogenous global theme park, one McWorld tied together by communications, information, entertainment,  and commerce.\" Later, contrasting Americans' choice of multiple automobile brands with the non-choice of public vs. private transportation\u2014a choice that was never explicitly offered\u2014he writes: \"This politics of commodity offers a superficial expansion of options within a determined frame in return for surrendering the right to determine the frame. It offers the feel of freedom while diminishing the range of options and the power to affect the larger world. Is this really liberty?\"\n\nFreedom as nothing left to lose\u2014Benjamin Barber, meet Bobby McGee. All values have been revalued. The frame has been hijacked. And as untold numbers of e-commerce pundits announce with messianic fanfare and not a trace of irony: \"Brand is everything!\"\n\n#  **It's Alive! It's Alive!**\n\nLove is not love Which alters when it alteration finds. . .\n\n-WILLIAM SHAKESPEARE\n\nLove is love and not fade away. . .\n\n-CHARLES HARDIN AND NORMAN PETTY\n\nEntropy is the outward and visible sign of the second law of thermodynamics. In layman's terms, it means the house always wins, but place your bets anyway ladies and gentlemen; there's one born every minute. It means there's no free lunch and perpetual motion devices make exceedingly bad investments. It means the transitoriness of the composite. Because friction\u2014there's the rub\u2014is always slowing things down, taxing energy transactions until there's nothing left to tax. And there's nothing left because, when things slow down _enough_ , they disappear. Ice Nine, if you've read Vonnegut _,_ or the fine print on those Dead albums: at absolute zero there's nothing doing. Entropy means that, once wound by the Big Bang, the cosmic clock is always running. Running down.\n\nThe directional vector of this process is the gradient, the slippery slope on which we build our hopes and dreams, technologies, empires,  civilizations. Steep grade ahead; test your brakes. Not much of a toehold really in the greater scheme of things. A fool's errand you might say. And yet, if all that's true, and things always move from a greater to a lesser degree of order and cohesion, then how is it that a point of no dimension whatsoever, one day before there were days to count, erupted with a violence so far beyond all measure that it's still red-shifting galaxies back to the beginning of what we lamely conceive of as time? Or that a handful of hydrogen comes to look around itself one day, at the world, the stars, the blackest, deepest night and says: \"What a gas!\"\n\nThat's the reversal.\n\nWe are dealing today with levels of complexity at which the immutable second law kicks in bigtime and begins to manifest as something tangible in our lives. The effect we feel is a kind of chaos in which things fall apart more readily than they come together. This downhill slide means more thankless work for everyone\u2014desperately trying to manage the inherently unmanageable, with increasingly small returns on the investment. Despite the 1000-megawatt euphoria of ubiquitous technology cheerleaders, the answer is not faster chips and logic-gate flips, more FLOPS or more bandwidth. It isn't \"enterprise-wide knowledge management\" or whatever foolproof fad is circulating at the moment. The answer is that there is no answer.\n\nWe are drowning in complexity and the more we try to simplify things, the more complex we make things in the process. It's hopeless. There is no way out.\n\nNo _obvious_ way, that is. And perhaps no permanent way. But there is one thing that seems to contradict the iron law of entropy. Life. Strangely opposite to the way we tend ourselves, the thermodynamic gradient is hell-bent for ultimate simplicity. And that simplicity is death. Simple atomic structures, perfectly equalized distribution, zero Kelvin. In contrast, life is complicated, as you may have noticed. Left to itself for billions of years, with no engineers in evidence and no management consultants, our planet suddenly became extremely complex as the result of contracting a virus. A billion years later, this viral anomaly developed into bipedal hominids with big brains and bigger plans. And we've been groping around ever since, blind, stumbling in the dark.\n\nSometimes a great wind comes out of space and shifts the points of the compass completely, revises longheld notions of what's valuable, what's worth spending life on. That's what happened to me in the course of writing this book. I fell in love. And how does something like that fit into the context of a business book? I ask you. I ask myself. Business books are boring. They're supposed to be boring. Dispassionate and objective, detached from personal concerns. The world of business is a world unto itself. Whatever insight business books may deliver, they must do so within a strictly circumscribed set of boundaries, within a framework that validates and reinforces their core subject. Which is of course: business. The tautology is so neat it's seamless. The business of business is business. Not even daylight can slip through the cracks.\n\nBut last time I checked, there was no world of business somehow separate from the world as a whole. There was no reality to the separation we speak so easily about between work life and private life\u2014a.k.a. \"real life.\" These are artificial distinctions, convenient fictions. But whose convenience do they serve? Yours, gentle reader? Mine? I don't think so. Something is desperately wrong here, I think. Then I think, well. . . maybe it's just me. Maybe I got bored with the power and majesty of commerce, with its challenges, obstacles, impact and opportunities. Got bored with its limits and limiting definitions of value. Got bored because I looked into my own heart and found something far more valuable there. I ask myself if I'm alone in this. And again, I don't think so. I think I've got company.\n\nHmmm, \"company.\" Now there's a business word if there ever was one. But how does the company I've got in my boredom with business differ from the kind of company a business creates? Language is funny stuff, mixing us up at every turn. Or perhaps, since I love a good conspiracy theory as much as the next poor sod, being _used_ to mix us up. _Webster's Third_ provides help in the form of linguistic archeology. The word _\"company,_ \" it tells us, comes from the word _\"companion,_ \" which originally meant someone with whom you shared food\u2014specifically, with whom you broke bread ( _panis_ in Latin). That's strange. Gets sort of Biblical there, doesn't it? But maybe this is leading us further away from the inherent nature of value. Maybe I'm just tripping here, reaching for a rationalization for  why I'm so bored with business. Me and all that company I suspect I've got.\n\nBut it gets even stranger. How does a company, a corporation, come into being? Not a trick question: it incorporates. But it is a trick answer. Back to the archeology, _corpus_ in Latin means body. So to incorporate means to become embodied\u2014to be made flesh. Is it just me, I ask myself, or are there linguistic clues here that business first sought legitimacy in the deepest mysteries of Christian theology? Maybe so. Legitimacy was certainly a problem for early business, dealing as it did with sublunary matters. There's a word you're not likely to find in your _Wall Street Journal._ And for good reason. The _Oxford English Dictionary_ defines _\"sublunary\"_ as:\n\nExisting or situated beneath the moon; lying between the orbit of the moon and the earth; hence, subject to the moon's influence. b. Inferior, subordinate (to). _Obsolete_\n\nOf or belonging to this world; earthly, terrestrial.\n\nCharacteristic of this world and its affairs; mundane; material, gross; temporal, ephemeral.\n\nThe sense comes through that the affairs of this world\u2014perhaps business especially\u2014were not terribly well thought of at one time. The Church, back when there was just one in Western Christendom, denigrated such involvement, to say the least. The whole idea of money was deeply suspect. We still speak of \"filthy lucre,\" even if the modern use of the phrase is usually jocular. At one time, lending money at interest constituted the sin of usury. This explains why many more Jews than Christians went into banking\u2014and also explains much of the resulting racial bias that has persisted to this day. Jews were not only the infidel, they became a sort of untouchable caste, performing necessary services for which they were, at the same time, deeply resented.\n\nThere was another community of practice whose concern with the sublunary sphere formed a counterbalance to the otherworldliness of the Church and its focus on the afterlife. To the alchemists, the material world was _prima materia_ \u2014the source of the earths and metals their art sought to transform. They were not just proto-chemists. They were philosophers working out a worldview that  was heretical in the eyes of Rome. They immersed themselves in the material plane, the world of here and now\u2014and out of this immersion came a powerfully legitimizing analogy for commerce.\n\nIn _The Business of Alchemy,_ Pamela Smith writes that in the 17th century, commerce was considered an unproductive practice. Merchants were seen as taking without returning anything to the communities in which they lived. They did not produce anything themselves, but acted as parasites, feeding off the exchange between the people who made things and the people who bought them. \"The unnatural offspring of this unnatural activity,\" writes Smith, \"was money. Money was considered unnatural because it was a means of exchange that did not contain the seeds of its own regeneration.\"\n\nDespite this strong prejudice, the paradox became obvious to many: money did seem to produce an increase in material well-being. It clearly created something valuable, but no one could quite figure out how. There was no model in nature\u2014which, there being no venture capitalists at the time, is where you went to find business models in those days. This quandary had people scratching their heads and the merchant class hopping up and down on hot coals. Business desperately wanted to be accepted as legitimate, but in keeping with the perception of all things sublunary as inferior, subordinate, mundane, ephemeral and generally gross, the whole proposition smelled fishy.\n\nEnter the alchemist Johann Joachim Becher, who, as official physician and mathematician to the court of some now-long-since-deceased German dude (the precise historical details need not concern us here) supplied the missing link. Long story short:\n\nAlchemy...became the vehicle by which Becher spoke to the court about production and material increase. The language of alchemy was particularly well suited to the discussion of commerce, for alchemical transmutation\u2014the ennoblement of metals\u2014provided an example of fabulous material increase and the production of surplus. This was especially true in Becher's theory of alchemical transmutation, which postulated that the multiplication of precious metals took place by means of consumption. Alchemy was thus a natural, virtuous activity within the compass of human art. . .\n\nIt's hard to imagine today, when commerce has become the life blood\u2014some would say the death knell\u2014of the planet, that there was once a time when business had to stoop to higher authority. Clearly, it got what it wanted in the end, and it accomplished this largely the way it gets things done today: by influence peddling. Political lobbying not having yet been invented, the moneychangers went to the temple. Metaphorically speaking, of course. Max Weber's classic study _The Protestant Ethic and the Spirit of Capitalism_ (1904) has been criticized as overly simplistic. Some argued that he put too much stock in the Calvinist notion of predestination and of wealth as an outward manifestation that the possessor was among the elect, i.e., those white, male B\u00fcrgermeisters lucky enough to be holding automatic get-out-of-jail cards and who were therefore and inevitably Bound for Glory, no thanks to Woody Guthrie. The book nonetheless brought much attention to the complex relationships that developed between ecclesiastical and earthly powers. This work was somewhat more successfully continued by Weber's student, R. H. Tawney, in _Religion and the Rise of Capitalism_ (1926). Specifics of the Calvin-for-Capital controversy aside, it's clear that business went from cap in hand to calling the shots, and it did so through accommodation. Commerce went looking for, and found, strong support from religion.\n\nSo, could \" _incorporation_ \" have been playing off the Christian mystery of transubstantiation\u2014Word become flesh? Whatever the answer, the fact remains that this term we use every day, along with its shortened form, _corporation,_ hides an anthropomorphic metaphor that has no basis in reality. No corporation has ever become embodied. But however mistaken, this metaphor has great power\u2014more so because it is perceived subliminally. On the other hand, ad agencies apply a variation of it quite consciously in the process of product branding. Citing the Jolly Green Giant, the Michelin Man and the Pillsbury Doughboy, a book titled _Brand Spirit_ states: \"While there are many executional typologies in advertising, some of the most prevalent and successful are those which exploit brand anthropomorphy to the full.\" The authors are associated with the advertising firm of Saatchi & Saatchi.\n\nThe embodied-corporation metaphor allows corporations to mimic human beings. To act as if. But the corporation has no heart.  The cries will go up at this one, I know. But the reaction is based on another misplaced metaphor. Forget how much your business gave to charity or how it's planting trees or teaching ghetto kids to use computers (so you can hire them later at minimum wage). I mean, the corporation lacks the physical organ we call the heart. That thing in your chest that goes thump-thump. Here, I'll make it easier for you: the corporation has no sex. Those who protest even at this obvious truth need to be reminded: it can only screw you _metaphorically_. But this is serious. This is important. Embodiment is a very big deal. Bodies don't come into being through mergers and acquisitions. They are born of woman, as King James put it. Bodies don't file for protection under Chapter 11. They die.\n\nNo corporation has ever fallen in love. Reflect on that a moment. Roll it around on your tongue, in the back of your mind. Does it seem a non sequitur, irrelevant? It's not.\n\nCompanies don't fall in love. But people do. And whether we speak about it publicly or not, as a species we tend to place great importance on this fact, this entry into a larger more connected world. Easy to ignore, forget, but this is vital. Love opens our hearts to each other, to people other than ourselves, and to the space we share as human beings cast into life without a manual, without a hardwired set of instructions. If, in our 100,000 years or so, we have made catastrophic mistakes, fought devastating wars, pillaged and raped and killed, we have also created complex cultures, built societies, created fabulous art out of nothing but imagination. Drawn on by the longing in our hearts, we have survived. Error but also Eros. Love has shaped and informed and colored our world as much as power. More. But we forget. We get embarrassed. Why? There is a reason, and that reason will unfold as we explore. This time of change is not any time. This world not any world. It is ours and we are here today, as never before, to chronicle and celebrate its wonders. To take it back.\n\nWhen _The Cluetrain Manifesto_ was published, a particular bit seems to have gotten left out. Perhaps someone got embarrassed. Because it's been on the website all along, it took me months to realize that what I'd written had mysteriously gone missing from the book. So, never having recanted anything, let me rectify the omission right now, in a place where it seems to me. . . ahem, appropriate.  Whether or not it puts me in dire straits, let me step right up to the microphone. . .\n\n**PEOPLE OF EARTH**\n\n_The sky is open to the stars. Clouds roll over us night and day. Oceans rise and fall. Whatever you may have heard, this is our world, our place to be. Whatever you've been told, our flags fly free. Our heart goes on forever. People of Earth, remember._\n\nWho are we? Look around you. Open your heart. Remember what you have forgotten.\n\n\"But what does this have to do with business?\" business asks. The question itself reflects the problem. Blind to the central experience of our reality, business never thinks to wonder. Is never awed, inspired, never enthusiastic, curious, ecstatic. Business has _never_ wondered\u2014for the same reason that business has never fallen in love. Yet all these capabilities and qualities are intrinsic to the human character. They make us what we are. Corporations say, \"We love our customers! You bet!\" They say, \"We love our workers! It's the people!\" But these are lies. Corporations are incapable of love. This is not a moral condemnation, but a simple truth. They aren't equipped for it. Corporations have no heart. If you cut them, they do not bleed. If they die, no children mourn their passing. When they say \"we love . . .\" they are using words as counters in a game, as they count out money.\n\nThere is a conjurer's trick of language here, and at first it seems trivial, a mere convenience. Since companies are populated by people, the anthropomorphic projection sets off no alarms. As a result, we have gradually forgotten that \"the company\" is in many respects a reverse metonym\u2014a figure of speech in which the whole takes on the qualities of its parts. It is not a reality. Companies produce goods, sell products, manage inventory. So far, so good; no problem. But later, closer to the present, companies begin to want our loyalty, our trust. They want us to be happy. Suddenly, big problem.  The metaphor has gotten up off Dr. Frankenstein's table and is walking on its own. _It's alive! It's alive!_\n\nBut it's important to remember that it's not alive. The corporation pretends to subscribe to values it does not and cannot understand. Human values. Like love, like trust, like camaraderie and joy. These are things we genuinely value, but they have been devalued and denatured to advance the very different interests of the company. In the process, we are not only losing our language, we are losing our lives.\n\nIn the beginning was the Word, moving silent and unspoken upon the face of the deep. But the word has been incorporated and co-opted into the service of another power, whose force is not grounded in the same spirit. We break bread in the company of strangers and it is as ashes in our mouths, giving no strength, no sustenance. Spirit, once sacred, has become an apparition, a ghost in the machine, and we are haunted by it. The historical journey from _Heilige Geist_ to Zeitgeist moves from churchly dogma of the Holy Spirit to the secular and desacralized soul of a new machine. And the word became dreck and the marketing communicators moved among us.\n\n\"Research on excellence and peak performance,\" writes Barry Heermann in _Building Team Spirit_ , \"confirms that high-performing teams and organizations consistently feel the spirit of the organization in their work, and that this feeling is an essential part of the meaning and value that members and observers place on their work.\" And what precisely is this spirit? What _is_ its meaning? What _is_ its value? We cannot translate such terms into organizational \"equivalents\" without doing violence to what we once recognized as both most wholly other and most deeply human.\n\nWhile religion staked out this territory long before business, neither has any rights of ownership. These feelings and meanings and values predate any institutional claim. \"The spirit does but mean the breath,\" says Tennyson, and etymologically, he is correct. In the Vulgate Bible, the Latin _spiritus_ was used to translate the Greek word for soul: _pneuma_ , which means to breathe\u2014the same word from which English gets \" _pneumatic_ \"; the same concept from which we draw \" _inspiration._ \" The first entry for \" _spirit_ \" in _The Oxford English Dictionary_ reads: \"The animating or vital principle in man (and animals); that which gives life to the physical organism, in contrast to its purely material elements; the breath of life.\" Despite the preponderance of scriptural\u2014and more recently, sports and business\u2014uses, spirit does not depend on devotion to either eclesiastical or organizational objectives, and neither piety nor gung-ho are needed to understand the sentence: \"The horse's spirit was broken.\"\n\nSomething animated and vital looks out from our children's eyes. Whatever it is, we recognize it and know it is precious. Yet except in rare cases today, that spirit is broken early and irreparably. The light goes out all too soon. We know, because at some inarticulate and dimly conscious level, we are those children. We feel the wind of spirit move us at odd moments, but put it down to nostalgia or temporary possession by some impractical flight of fancy. We shake it off and get back to work. Robbed of a voice to speak of these things, something animated and vital looks out from our own eyes, but only in rare, unguarded moments\u2014and even then, wary, circumspect, suspicious. We let no one see what we fear no one will understand.\n\nWhere is the value in this, I wonder? What is the cost? Catching the light, a flock of pigeons turns through the sky over the highway. I am driving and remembering and feeling how much is lost, how precious this life.\n\nThere is an ever-present danger in such talk of authenticity and heart and wondrous awe\u2014that it will come across like so much New Age trash. Na\u00efve. Idealistic. Out of touch with economic realities and the challenges of global competition. Don't bet on it. The Internet has brought hundreds of millions of human beings together in an entirely new way, and we are using it to explore the things we truly value, genuinely care about. We are using the net to talk about the things that turn us on, about what and whom we love. It may not seem so from the outside, but we are sharing our hearts' desires in a way that could never have been imagined by business command and control or the stentorian voice of broadcast.\n\nAnd as for Mr. and Mrs. America and all the ships at sea, I got your value proposition right here. Take a chance. Take a trip. Take a leap of faith. Incorporate for real. Take a walk on the wild side.\n\n#  **The Red Queen Is Talking Backwards** **35**\n\n\"Sing, O goddess, the anger of Achilles . . .\"\n\n\"Tell me, O muse, of that ingenious hero who traveled far and wide after he had sacked the famous town of Troy.\"\n\nRespectively, these two invocations launched the _Iliad_ and the _Odyssey,_ epic works that signal the dawn of Western civilization. But what does poetry have to do with business? In the era of the Internet, a lot. Paradoxically, the highest of high tech has created a doorway through which magic is re-entering the world.\n\nThe naive history books we read in school celebrated the triumph of science over ignorance and superstition. Experimentation based on empirical evidence gave us proven facts, not flights of fancy. Data won out over conjecture, and many times, knowledge over wisdom. Despite the miracles since wrought by science, the victim of this victory has often been imagination.\n\nToday we want the cold, hard facts, the definitive word. We can't be bothered with perspective and opinion, hunches. We want to manage knowledge and make it \"actionable.\" We want to \"operationalize\" intellectual capital. This is understandable given a view of the world as cold and hard, as a place where things can be known unequivocally, without a shadow of doubt. But this view born of scientific and technological tradition is just one way of seeing things. There are others.\n\n\"Content is King,\" the clich\u00e9 tells us. While the proposition has been widely debated, its obvious male bias has been ignored. Historically, science and technology have indeed been masculine pursuits. Both have shaped our world so long we can't remember anything that came before. And notice that both are about prediction and control. Cause and effect, action and reaction. Pull this lever, watch that plane incline. Provable. Repeatable. Powerful. Neat.\n\nBut the world is not always neat. Most of it is extremely messy and, despite our erudition, still mysterious. The abstractions and reductions of rational logic try to explain the world, but they mainly explain what is already visible. Their built-in assumptions\u2014for instance,  that everything has a \"scientific\" explanation\u2014blind this view to much of life. And literal, biological life is not a theory. We are inextricably embedded in it. Think about what really happens in a virgin forest. Think about what happens in the human heart.\n\nThese are deep waters with uncertain maps. Dark, hidden, flowing, oceanic, orgasmic, this is the realm of birth and death, of sex and passion, sleep and dream, of myth and intuition. Feeling not calculating. Yielding not controlling. This is the realm of the feminine.\n\nForget the sexual politics of gender. Yielding does not mean weak. Feminine doesn't even necessarily mean female. This is older knowledge. Much older. The ancient Chinese sages thought of Heaven as masculine, Earth feminine. Yin and Yang. Darkness and light. Complements, not polar opposites. Harmony comes from balance, not from victory of one over the other.\n\nYet in our culture today, science has won hands down, and its offspring, technology, has beaten all other views into submission. Technology begat big business and big business begat mass media. The intertwined histories of science, technology and commerce have left a legacy of domination and control\u2014from the geographic colonialism of the so-called major powers to the more psychic forms of colonialism represented by media empires such as Yahoo and AOL, Disney and Rupert Murdoch's News Corporation.\n\nIn the marketplace, the mouthpiece of this colonialist impulse is broadcast. In the workplace, it is command-and-control management. Both are about imposing power top down. And both deliver the cold, hard facts in definitive, no-nonsense terms: work orders, database records, stock prices, sports scores, dispassionate and supposedly \"objective\" news reports.\n\nThis way of framing the world has collided head-on with the Internet. People have come to this medium by the tens of millions with other interests and concerns, high among them body-based emotions far from the mechanistic inclinations of the Business-Technology complex. The Internet has given everyone a voice. But _vox populi_ \u2014the voice of the people\u2014is vastly more vital than the sterile pronouncements of corporations and media conglomerates.\n\nThe most fundamental quality of the feminine is mystery, not certain knowledge. Suggestion and connotation, not exhaustive description.  Poetry and parable, not news analysis. As a culture, we are moving from cold hard facts to warm and fluid narratives. Warm as in body temperature, not chill robotics. Fluid as in organic forms, not rectilinear wire frames. And these human stories exert tremendous attraction. The god breathes into us and we are made alive. That is the etymology of \" _enthusiasm._ \" The goddess lends breath to voice and we are literally \" _inspired.\"_\n\nWho is creating such stories today? Whose voices will draw new listeners the way Druids drew down the moon, the way Greeks drew a wooden horse to the gates of Troy? Tell me, O muse, of _those_ ingenious heroes. Sing to me, goddess, of anger and estrangement. I'm a motherfucker, baby, your mind my sky, your eyes my fire. This world, this life so intricate, delicate, complex. Precious beyond measure. I'm slamming my head against the walls of empire, the habits of power, enraged. Blasting and burning for your love. Imagining the network finally connected. Imagining joy. A wall of horns and drums and dangerous magical noise. I'm bending over my Fender, working the circuits, incendiary, incandescent. Rocking in the free world, serving notice on Babylon. Ain't in for a dollar, ain't in for a dime. Ain't going down for no two-bit dream. Armed only with imagination, I'm back in your spiral arms tonight. Everything has at least two meanings. But one thing girl that I want to say, love is love and not fade away.\n**CHAPTER 3**\n\n**Code Blue in the Marketing Ward**\n\n_\"The propagandist's purpose is to make one set of people forget that certain other sets of people are human.\"_\n\n-ALDOUS HUXLEY\n\n_\"The broad mass of a nation . . . will more easily fall victim to a big lie than to a small one.\"_\n\n-ADOLF HITLER\n\n_\"This little piggy went to market.\"_\n\n-ANONYMOUS\n\n**WHEN** _**ADVERTISING AGE**_ **ANNOUNCED ITS 1999 MARKETING 100 AWARDS** ceremony\u2014the magazine's eighth annual tribute to the people behind that year's hottest brands\u2014some copywriter wrote: \"The most important element of a successful marketing plan is not the budget or media selection, but the idea.\" Roger Shiffman took home a top- 100 slot for marketing Furby, and Kenn Viselman won for promoting the Teletubbies. The event was sponsored by Comedy Central. No lie. It may put things in perspective to realize that, among its Top 10 Jingles of the Century, _Ad Age_ lists \"I wish I was an Oscar Meyer Wiener.\" Remember: it's the _idea_ that's important.\n\nIf you're not laughing, you're in deeper shit than you thought. Chances are good that you _are_ laughing, though. Or crying. Or saying, hot damn, that's right, or that's wrong, or that's utterly beside  the point. Whatever form they may take, the sum of such reactions, added to constant analysis and endless talk, constitute the global conversation I wrote about in _The Cluetrain Manifesto_. \"Through the Internet, people are discovering and inventing new ways to share relevant knowledge with blinding speed. As a direct result, markets are getting smarter\u2014and getting smarter faster than most companies.\" (Hang onto that thought for a minute and see if you don't pick up an echo.)\n\nNow I can imagine some dyspeptic critic writing, \"In what sense can it be said that these random views amount to ' _relevant knowledge_ '? Haven't we heard enough from these stridently opinionated web-heads like Locke and his ilk? Not one of these people has ever had to grapple with the daunting management challenges facing a Fortune 500 company or brought in a billion dollars in revenue. Who do they think they are to question the _genuinely_ relevant knowledge hard-won from a century of hands-on marketing experience?\" Something like that.\n\nOr something like the assessment of _Cluetrain_ that appeared in _The New York Times Book Review_. While granting that \"the general thrust is on the mark,\" the reviewer accused the book of sloganeering. \"What the Slogan Era's 'business revolution' is really about is not borrowed from politics; instead, it's a phenomenon that offers middle-aged managers a second chance to sound a barbaric yawp and imagine a new significance to their lives.\" Not content to compare my deathless prose to Holden Caulfield's outpourings of teenage angst, _The Times_ came back a few weeks later for a second round of recreational ass kicking. This article implied that certain aspects of the net are reminiscent of the '60s. One got the feeling this was not intended as a compliment. \"The web, in Mr. Locke's view, brings the revolution against the sonorous all-knowing corporate voice to its inevitable climax and resolution in favor of the plebeians. 'The Internet enables people to talk directly to each other and to corporations,' he said. 'It is something businesses ignore at their own peril.'\" The piece ends with a sneer: \"Heavy, man, heavy.\"\n\nThe point is not to complain of mediocre reviews\u2014hey, if you piss on somebody's parade, you have to expect return fire\u2014nor is it to out myself as a dope-smoking brimstone-hurling web-whacked  anti-business middle-aged adolescent sloganeer. Rather, the point is to introduce someone who is none of those things\u2014except possibly middle aged; it can happen to the best of us\u2014but who has nonetheless been making some pretty radical pronouncements of late. \"The bottom line is that _markets_ are changing a lot faster than _marketing_ ,\" he writes in a book published 12 months after _Cluetrain_ . And there's the echo you've been waiting for so patiently. \"Today,\" he says, \"most company marketing strategies are obsolete!\" Emphasis and exclamation in original. And why is this so? Because, as he writes, \"With the World Wide Web, we are moving into a new marketing era.\"\n\nWho is this masked man? And what gives _him_ the right to yawp so barbarically? Let's just say he is to marketing what Werner Heisenberg was to quantum mechanics, or Jerry Lee Lewis to rockabilly. If marketing had a Godfather, a _capo di tutti capi_ , Philip Kotler would be it. Since 1962, he has taught at Northwestern University's Kellogg Graduate School of Management, defined the field of marketing to generations of corporate vice presidents\u2014his textbooks on the subject have long been required reading in MBA programs worldwide\u2014and consulted to companies such as IBM, Apple, GE, Ford, AT&T, Motorola, Bank of America, Merck, Ciba Geigy, JP Morgan, Dupont, Westinghouse and Merrill Lynch. So when this guy says marketing is fucked, you best believe it. Though he didn't put it quite that way. Unlike myself, Kotler comes across as a gentleman.\n\nI opened the last chapter by hacking on one of his books, but that came out in 1999, and a lot can happen in a couple years. Especially these days. We'll encounter him again below, and in another chapter for the seminal role he played in establishing the concept and practice of social marketing. For now, let's see what he's been saying about antisocial marketing. In the latest word on the profession, _Kellogg on Marketing_ , he writes:\n\nIndustrial-Age marketing thinking is rooted in the metaphor of marketing as hunting. The marketplace is seen as a jungle. Marketers have to scope out the jungle (market research) and define the prey that they want to capture (target marketing). Marketers must study the prey's habits and habitats (consumer behavior). Marketers have to build a better mousetrap (product differentiation), lay traps and  bait (advertising, direct mail, sales promotions), and secure the prey and prevent it from escaping (customer retention, relationship marketing).\n\nThe hunters\/marketers assume that the prey is not as smart or well informed as they are. The prey acts on emotion (positioning), is easily seduced by trinkets (promotions), and wanders unwittingly into the danger zone (retail stores, salespeople). The hunter has extensive information about the whereabouts of the prey, and knows how to aim the rifle (value proposition) at the prey's soft spot.\n\nSo let's cut the counterculture crap, OK? If people in general don't trust business, if they find it insulting and demeaning to be so cynically manipulated\u2014and people do feel this way, in numbers far greater than corporate denial allows for\u2014it doesn't necessarily mean they're stoned. Or stupid. It might just mean they're not drinking the KOOL-AID\u00ae anymore.\n\n\"Discover the Kraft Family of Brands\" the web page taunts me. I am driven to kraftfoods.com in a masochistic fugue of documentary due diligence. As a responsible author, I must definitively determine who owns the KOOL-AID\u00ae trademark. But once there, I serendipitously discover this surreal exhortation: \"Let the WIENERMOBILETM take you to the OSCAR MAYER Virtual Lunchbox!\" It's gotta be synchronicity. Even as I realize _Ad Age_ got the spelling wrong, I start humming their Top 10 Jingle of the Century. \"Oooooh I wish I was an Oscar Meyer Wiener . . .\" And for some reason that will remain forever shrouded in the deep recesses of my tortured psyche, this causes me to suddenly recall the most frightening conspiracy theory ever circulated on the Internet. \"What if,\" the message speculated darkly, \"the Hokey-Pokey really _is_ what it's all about?\"\n\n#  **The Real Thing: Stories, Brands and Lies**\n\n\"my heart is where it's always been. . . \"\n\nU2\n\nRichard Earle advised Johnson & Johnson during the Tylenol poisoning scare\u2014an impressive credential indeed, as that company's public response was both fast and forthright. In _The Art of Cause Marketing_, he explains why \"art\" figures in his book's title. Conventional advertising can be artful on occasion, he says, but seldom can it be called art. \"True art is something that moves people in important emotional and personal ways,\" he writes, \"something that stays with them and possibly affects their lives.\" Social marketing and cause marketing are themes we'll explore more deeply in a later chapter. For now, let's just say that the difference between traditional marketing and social marketing is critical. The first is focused on selling products; the second is aimed at raising awareness of issues that have high relevance to society as a whole. In the case of social marketing, Earle writes, \"because the consequences are so far-reaching and because the objective is _always_ to move people and affect their lives, it is very important that _every_ piece of cause marketing be crafted as carefully as a serious work of art!\"\n\nThough it was surely not the author's intent, this observation speaks volumes about conventional, non-cause marketing, correctly implying that most advertising does _not_ move people in personal ways or intrinsically affect their lives, no matter how much companies try to convince us\u2014and themselves\u2014that their product pitches have such persuasive power.\n\nMarketing has always been a black art\u2014and it's getting blacker by the minute. In the sense of shrouded, invisible, unknown. In a fit of Amazon.com one-click-purchase possession, I recently bought 20 volumes of the _Harvard Business Review_ Paperback Series. This collection covers more angles of business than you can shake a stick at (future stick-shaking was in fact my motivation for buying them): management, leadership, governance, performance measurement, information technology, you name it. However, in none of the book titles\u2014nor in the titles of the 162 included _HBR_ articles\u2014does the word \" _marketing\"_ appear. Not once. I find this curious. It's there in the indices, of course. But the listings say things like: \"Marketing strategy. See also brand building; mass media advertising; sales promotions; sponsorships.\" So if I do those things, then I'll be marketing, right? And to help me, the series does include a volume on _Brand Management_.\n\nAlmost en passant, Randall Rothenberg writes in _Advertising Age_ that \"it goes without saying branding has been exposed as a hoax.\" I like this guy\u2014and not just because he sends email crammed with  pointers to wonderfully germane books like Paul Lazarsfeld's _On Social Research and its Language_ and James W. Carey's _Communication and Culture_ (we got talking after he reviewed _Cluetrain_ ). I like him more because of the stuff he throws straight in the face of marketing's inner sanctum. \"Brands are promises,\" he continues, \"of service, quality, values and substance\u2014made by a company to its own people, and thereon to its customers. To believe such a promise, which normally takes years to build, can be short-circuited by a multi-million-dollar network dump, in an economy where employees have the loyalty of rutting gerbils, strains credulity.\"\n\nStill, marketers invoke brand as if it were the Holy Grail. They speak of its power in hushed and reverential tones. The rest of us think they're barking mad. If marketing is only fully and completely understood by some elite priesthood of MBA-equipped professionals, then why should the market give a damn? If they haven't explained it to me\u2014and they haven't\u2014then something is very wrong here. There has been, to quote from _Cool Hand Luke_ , a failure to communicate. The Big-M Marketing department behaves as if it isn't performing in front of a live audience. On the Internet, however, if there is no audience, neither is there a market.\n\nBut let's back up for a second to when we were all working without a net. I met Theodore Levitt in Pittsburgh in 1987. Cool guy. After his talk, I handed him a paper about the work I then did, called \"Corporate Communications: Telling Stories That Transmit Vision.\" I was surprised to get a handwritten note a few days later saying he'd like to publish it in _Harvard Business Review_ , of which he was then editor-in-chief. I'd just need to make a couple fairly simple changes, he said. Like a jerk, I never made them, and it never ran. Levitt had also written an important book called _The Marketing Imagination\u2014_ what a curious juxtaposition of words. Oxymoronic, you could almost say. Much earlier, in 1960, he had published a seminal article in _HBR_ titled \"Marketing Myopia,\" where he said: \"Marketing is a stepchild. I do not mean that selling is ignored. Far from it. But selling . . . is not marketing. . . . selling concerns itself with the tricks and techniques of getting people to exchange their cash for your product. It is not concerned with the values that the exchange is all about.\"\n\nThere's that maddeningly amorphous notion of value again. In 1975, _HBR_ re-published this article along with Levitt's \"Retrospective Commentary,\" in which he speculated as to why the piece had been so successful. At that date it had sold well over a quarter million reprints. And in this speculation he points to a dimension of value rarely if ever raised in marketing literature.\n\nIs it that concrete examples, joined to illustrate a simple idea and presented with some attention to literacy, communicate better than massive analytical reasoning that reads as though it were translated from the German? Is it that provocative assertions are more memorable and more persuasive than restrained and balanced explanations, no matter who the audience? Is it that the character of the message is as much the message as its content?\n\nHere, one of the greatest names in marketing returns the focus to the story and how it's told\u2014and why it might _matter_ how it's told. How provocative and persuasive are the stories marketing tells today? What is the character of the message?\n\nIn its first issue of 2000, _Fast Company_ ran a piece of corporate puffery indistinguishable from advertising. \"Experience the Real Thing\" the title beckoned. With no distracting hint of critical editorial distance, the text extolled in breathless prose \"the Coca-Cola branding experience in Las Vegas, where nostalgia, storytelling, and technology create a magic formula.\" Storytelling seems to have achieved a certain cachet in corporate circles, though as an eviscerated, bankrupt concept. It's amazing to listen in on marketers trying to imagine what a story might be\u2014almost like having a front row seat at a cargo cult ceremony. \"We wanted to bring the brand to life, to tell the stories of Coca-Cola, and to express Coca-Cola's core values: fun, refreshment, and specialness in people's lives,\" says Deborah MacCarthy, manager of Coke's College Channel. Yeah, I can relate. I don't know about you readers out there, but for me, Specialness comes right after Truth, Justice and The American Way on _my_ list of core values. Specialness? _Specialness?_ What the hell are these people talking about? I'm getting spontaneous flashbacks of the Talking Heads movie _True Stories_ intercut with _The Gods Must Be Crazy_. Ladies and gentlemen, please return your tray tables to the fully upright and locked position, suspend your disbelief and put on your tinfoil pyramid hats. We are now entering. . . [cue lights, cue music] the _Brand Dimension!_\n\n\"Any presentation has to have a dramatic arc,\" [some brainless Coca-Cola flack] explains. \"We wanted to create the sense of a journey, with a call to action at the end. If I give a presentation that's intended to sell, I tell a story whose call to action is 'Purchase my product.' In Las Vegas, our goal is to get people emotionally involved in the brand\u2014so much so that they're ready to spend big bucks in the retail store downstairs.\"\n\nI can report that after reading this _Fast Company_ article, I did get emotionally involved in the brand. I broke all the furniture in the office and swore a mighty oath to deconstruct such idiotic notions of \"story\" every chance I got. No time like the present, I figure.\n\nTwice head marketing honcho at The Coca-Cola Company, Sergio Zyman, describes why, under his guidance, things went better with Coke: \"We were successful because we never forgot that our goal was to get more people to buy more stuff more often so the company could make more money.\" Stirring words, to be sure. But who cares? Really. While this is certainly what every company hopes to accomplish, do a company's atavistic wish-fulfillment fantasies constitute a story? Such empty and self-serving statements are not only insufficient today, they generate outright hostility. Once upon a time, such discussions took place in ultra-private mahoganypaneled board rooms, where it was safe to talk about how your marketing program pivoted on a devious remote-control trip to trick more demographic abstractions into buying more stuff. Today, such heretofore sensitive matters as \"eyeball acquisition cost\" are openly bandied about in the public Internet _agora_ , where such talk has helped make it painfully obvious that companies seldom give a damn about what real people want or care about.\n\nEven Zyman's own product\u2014his book in this case\u2014is now open to assessment in the networked marketplace, an assessment over which he as producer has no control. On Amazon.com, reader-reviewer Byron Menides, adjunct professor at Worcester Polytechnic  Institute's School of Industrial Management, writes: \"I was disappointed after reading Sergio Zyman's book with the provocative title, _The End of Marketing as We Know It_. Old marketing based on mass merchandising with little attention to customer needs was dead years ago . . . I am surprised that a book published in 1999 says so little about the impact and influence of the Internet in business to business and consumer marketing.\"\n\nBut the fact that the Internet is missing from the discussion comes as no real surprise. This is marketing as it was canonized in the age of mass-market broadcast media, the dynamics of which differ deeply from those of the online world. The problem is not that marketing as Sergio Zyman knows it\u2014manipulative, intrusive, gimmick-ridden and inherently dishonest\u2014has come to an end. The problem is that this view of marketing remains unquestioned in most corporations and that its techniques are now being deployed in a new medium to which they have only negative relevance.\n\nAs Coca-Cola has been around for a long time, it may be tempting to think that its notions of marketing are typical of older, well-established companies, or of companies that offer commodity consumer products like fizzy brown sugar water. But much younger high-tech companies are prone to the same mentality and make the same mistakes. In an article titled \"Legends in Their Own Minds,\" _Salon_ looked at two business bestsellers: _High St@kes, No Prisoners_ and _Renegades of the Empire_. Reviewer Thomas Scoville called them:\n\n. . . particularly juicy specimens of the prevailing business rhetoric of the dot-com era. There is a kind of language\u2014an amalgam of hyperbole, geek-speak, and pop-media code phrases, delivered in a perverse, super-desiccated and emotionally bankrupt tone\u2014to be found in both of these books, and it is this contemporary mutation of language, rather than the stories themselves, that may ultimately communicate the Zeitgeist most effectively.\n\nTo offer more than the facile business pitch, stories alone are not sufficient. What is critical is the intent with which they are told. The best stories arouse curiosity; they invite us to wonder. They may be captivating, but they aren't about capture and control. John Borthwick,  a VP at AOL's Development Studio in New York, wrote to me after reading _The Cluetrain Manifesto_ : \"You talk about the importance of storytelling within organizations, and how stories humanize information. One reason I think this works is that telling stories encourages speaking from personal experience instead of talk based on corporate abstractions. Even when they're fictional, stories resonate because the back button is shared experience.\" While business rhetoric so often reflects the soulless quality of mass marketing, stories have a palpable heartbeat. Where the pitch seeks to isolate, reduce, to make us small and fearful, the story includes, expands, encourages. Imagination makes us larger.\n\nAt the end of the year 2000, _Context_ magazine invited Sergio Zyman and Jerry Della Femina to interview each other about marketing online. Della Femina has played an enormously influential role in the history of advertising, having first achieved notoriety in 1970 with his best-selling book, _From Those Wonderful Folks Who Gave You Pearl Harbor_. The title was a slogan he suggested to the Japanese electronics firm, Panasonic. It cost him his job, but the book hit the charts. Della Femina leads off by saying, \"I don't know any advertising agency that has mastered the Internet yet. Being able to understand it and sell products on it through advertising seem almost impossible.\" He says that most online advertising creates resentment, working to shut down attention rather than elicit interest. And Zyman concurs: \"I agree that banner ads are a joke.\"\n\nIt's refreshing to hear such overt skepticism about Internet advertising voiced by those wonderful folks who gave us so much vacuous handwaving in the first place. It's interesting, however, that adman Della Femina comes across more convincing than Zyman, the corporate marketeer. The latter, like so many of his brethren in The Craft (connotations of witchcraft fully intended), still invokes the concept of brand with all the crypto-mystical implications corporations insist on attaching to it. Zyman says: \"The trick is to find ways of creating content that can actually communicate the benefits of a brand to consumers.\" And what \"benefits\" would those be? If there is any use at all in the litany of wondrous qualities a brand purportedly embodies, the advantage is to the company that creates such a mystique, not to the consumer. So Zyman is right. It is indeed a trick.  One turned far too often by corporations\u2014and the reason emerging web markets are now turning the tables on the tricksters.\n\nZyman also provides unintended humor when he notes that \"sometimes consumers can get manipulated.\" No! Do you think? And his comments on the opportunities for companies using the Internet \"to grow bigger by building more powerful brands\" are oddly anachronistic, if not just plain out to lunch. Leave it to a dyed-in-the-wool mass marketer to see economies of scale lurking in the wings just as one-size-fits-all \"scaling\"\u2014going after larger and larger, but more mythical markets\u2014is precisely the problem the Internet is best suited to solving.\n\nIn contrast, Della Femina doesn't use the word _brand_ once, except in an almost opposite context. Where Zyman alludes to the mysterious _magic of brand_ , Della Femina says: \"We saw movies like _The Hucksters_ , and we thought the ad executive did a particular _brand of magic_ \" [italics mine]. I couldn't help wondering if the subtly inverted trope was a conscious hack on the Big Guy from Coke. If so, score one for Jerry.\n\nDella Femina says, \"We're going to have to be clever and figure out different ways to reach people. But we're not going to reach them through advertising on the Internet.\" I think he's right, though I would shift the emphasis slightly. It's entirely possible to reach people through the Internet\u2014just not through Internet _advertising_. This sort of neurotic attachment to labels is preventing business from realizing the genuine potential of the net. The typical syllogism runs like this. Marketing must be annoying, so if we're not annoying anyone, we must not be marketing, and therefore can't possibly make a profit. Ergo, the sky is falling.\n\nAt the end of the piece, Della Femina touches on an alternative to such turkey-in-the-rain stupidity, noting that companies are \"trying to talk to people without the direct sell.\" Smart companies would do this, yes, though it seems that, on average, corporate IQs are still not breaking any records in this respect. I'd be a lot happier with this approach, if instead of leveraging what Della Femina rather loftily labels \"truth-based communication,\" companies would just stop lying so damn much.\n\nOne form such lying takes is sucking up to particular demographic sectors that marketers drool over but don't even remotely  begin to comprehend. A perennial favorite for these ministrations is the so-called youth market. On May 16, 2000, rock star Courtney Love ranted to the Digital Hollywood online entertainment conference in New York, among other things, about the time she entered into a sponsor relationship with a company that makes a popular brand of soda pop. She didn't mention whether it was Pepsi or that other one. And most likely, no one cared. What's the difference?\n\n\"It was really dumb,\" she said. \"You had to buy the cola. You had to dial a number. You had to press a bunch of buttons. You had to do all this crap that nobody wanted to do.\" But that was just for starters. She also said she felt embarrassed to be shilling for a product she had no particular use for. And she didn't much like the marketers she was forced to deal with. \"They treated me like I was an ungrateful little bitch who should be groveling for the experience to play for their damn soda. I ended up playing without my shirt on and ordering a six-pack of the rival cola onstage. Also, lots of unwholesome cursing and nudity occurred. This way I knew that no matter how tempting the cash was, they'd never do business with me again.\"\n\n#  **Slice and Dice**\n\nA website accompanies Philip Kotler's textbook on _Marketing Management_ , now in its tenth edition. In discussing chapter nine\u2014\"Identifying Market Segments and Selecting Target Markets\"\u2014the site says \"To remain effective and profitable, marketers must strike the delicate balance between the ineffectiveness of trying to be 'all things to all people' through mass marketing products to everyone; and the cost prohibitive extreme of completely customizing a marketing mix to each individual.\"\n\nLike most marketing today, this logic admits\u2014in principle\u2014that mass marketing is a thing of the past. Mass markets, though once a huge source of profits, were in many respects a side effect of marketing inefficiency. As marketing adopted more sophisticated research tools, it became obvious that one size did not fit all. At first, divvying up mass markets into subcategories was a rough science, and the resulting segments were still very large. However, the process has become increasingly refined, to the point that, as the  Kotler site says, \"segmentation becomes critical in the marketing process. Segmentation enables marketers to divide prospective customer groups into 'segments' that consist of people with similar demographic, psychographic or usage patterns.\" Demographic slice-and-dice techniques are described in books such as _Divide and Conquer: Targeting Your Customers Through Market Segmentation\u2014_ the title as telling as the contents\u2014and the far more technical and detailed exposition of _The Clustered World_.\n\nHowever, the admission-in-principle that mass marketing is no longer effective, or even particularly workable, hasn't changed the fundamental mindset that underlies it. The mass marketing mentality is well expressed by Zyman's \"get more people to buy more stuff more often\" mantra. Perhaps this is understandable coming from a marketer whose aim was to sell what is perhaps the archetype of commodity products. Despite trying to mind-meld it with phantasmagoric images of fun, refreshment, and let's not forget _specialness_ , Coke is still just sugar-water in a can. In the grand taxonomy of product categories, cola is perhaps one evolutionary notch above coal and pork bellies.\n\nSavvier marketers have grappled with the obstacles and opportunities attaching to segmentation in a more rigorous manner. Regis McKenna understood and articulated the value of niche markets and highly targeted marketing. In his 1986 book, _The Regis Touch_ , he counseled a rifle-shot over a shotgun approach, saying that companies that tried to satisfy more than one niche were courting Chapter 11. This advice was primarily aimed at startups such as Apple, with which he had worked from the earliest days. However, successful startups sometimes end up as Fortune 500 companies, as Apple did despite many missteps, and at that point the allure of mass marketing comes back with a vengeance. By 1991, McKenna was thinking out loud\u2014in _Relationship Marketing_ 29\u2014about a more generalized approach to market niches. This spawned an entire industry sub-category known as Customer Relationship Management or CRM (not to be confused with Cause Related Marketing, which we've touched on already and will encounter again soon enough).\n\nAt roughly the same time, Joe Pine was preaching a related new wrinkle in mass production and mass marketing in _Mass Customization: The New Frontier in Business Competition_ and a series of articles in _Harvard Business Review_ that were eventually published in 2000 as _Markets of One: Creating Customer-Unique Value Through Mass Customization_. The trajectory of these developments moved from focusing on undifferentiated mass markets to targeting highly selective niches, and culminating in \"personalization\" techniques such as the one-to-one marketing of Don Peppers and Martha Rogers. Along this trajectory, these approaches increasingly acknowledge the importance of the Internet and electronic commerce. This new medium enabled marketers to reach individuals much more directly than, say, direct (snail) mail. However, the quotes around \"personalization\" are necessary because all these methods are still driven by database technologies. It is critical to remember the contribution of mass customization to this chain of development, because what \"personalization\" invariably boils down to is marketing to a mass of niches. In other words, and make no mistake, these purportedly \"personalized\" approaches to customers remain a form of mass marketing.\n\nAn advanced personalization technique called \" _collaborative filtering_ \"\u2014which has been put to especially interesting use by Amazon. com\u2014constitutes a potentially powerful exception. It's easy to forget that one of the primary uses of hypertext\u2014the tangled web of stuff the web is based on\u2014is to enable learning, which begins with establishing meaningful categories, connecting like to like. When I go to Amazon and see what other people found interesting enough to buy, I often gain valuable insight from a much larger social network than I could hope to connect with by any other means. Also, note that since Amazon's also-bought links are backed by non-trivial outlays of cold hard cash, they probably represent a more honest evaluation than the off-the-cuff opinions of friends and colleagues\u2014or publishers' advertisements. Collaborative filtering is the technology that enables the boundaries of such communities of interest to be determined. Malcolm Gladwell, author of _The Tipping Point_ , wrote what is perhaps the best overview of this technology and its true significance\u2014in _The New Yorker_ , of all places. In \"The Science of the Sleeper: How the Information Age could blow away the blockbuster,\" he says:\n\nCollaborative filtering underscores a lesson that . . . humans have been stubbornly resistant to learning: if you want to understand what one person thinks or feels or likes or does it isn't enough to draw inferences from the general social or demographic category to which he belongs. You cannot tell, with any reasonable degree of certainty, whether someone will like \"The Girl's Guide to Hunting and Fishing\" by knowing that the person is a single twenty-eight-year-old woman who lives in Manhattan, any more than you can tell whether somebody will commit a crime knowing only that he's a twenty-eight-year-old African-American male who lives in the Bronx. . . . None of this means that standard demographic data is useless. . . . But the central claim of the collaborative-filtering movement is that, head to head, the old demographic and 'psychographic' data cannot compete with preference data. This is a potentially revolutionary argument.\n\nMeanwhile, back to the present point, which bears repeating in any case: _most_ \"personalization\" is still a form of mass marketing. Historically, market segmentation has always been a top-down proposition, targeting groups of prospects according to the sales objectives of the company. But people are connecting with each other on the Internet bottom-up according to their own passions and interests, which seldom map directly to products. This bottom-up emergence of new markets is not an anomaly, but the continuation of a trend already well established before the net became a commercial force. It is hugely significant and will eventually become the primary source of corporate revenue. And here's the kicker: this entire phenomenon is invisible to current market research based on segmentation. Attached to their tried-and-true methods, corporations are literally running on empty, running blind.\n\nLet's turn to Levitt again. In \"Marketing Myopia,\" he said: \"Industries that assume themselves to be riding some automatic growth escalator invariably descend into stagnation. The history of every dead and dying 'growth' industry shows a self-deceiving cycle of bountiful expansion and undetected decay.\" And even in 1960, he equated this blindness to a fixation on the economies of scale associated with mass production. \"The tantalizing profit possibilities of low unit  production costs may be the most seriously self-deceiving attitude that can afflict a company. . . . The usual result of this narrow preoccupation. . . is that instead of growing, the industry declines. . . . The industry has its eyes so firmly on its own specific product that it does not see how it is being made obsolete.\" He follows this with a brief synopsis of the buggy whip industry.\n\nIn his 1975 retrospective commentary on Marketing Myopia, Levitt blames the continuation of this trend on the sudden influx of \"operating or financial executives\" into industry. Today we would probably not be wrong to lump them into the general category of bean counters. \"Executives with such backgrounds,\" he writes, \"have an almost trained incapacity to see that getting 'volume' may require understanding and serving many discrete and sometimes small market segments rather than going after a perhaps mythical batch of big or homogeneous customers.\" Levitt's use of \"may require\" here should be read as high facetiousness. His point is that without _understanding and serving_ no amount of _going after_ is going to do much good.\n\nYet this is precisely what most data-based marketing technologies offer\u2014deeper penetration and higher margins with only the _simulacrum_ of understanding and the improved service capabilities such understanding might enable. But perhaps that's too abstract. Try this: do you feel all warm and fuzzy inside when you get email addressed \"Dear Bill\" or \"Dear Mary\"? Assuming, of course, that one of those is actually your name. (Not taking anything for granted here. This is the remedial paragraph.) Do you feel that the company thus addressing you understands you and is therefore in a better position to serve your deepest and most existential consumer whims? If so\u2014and I'd really like to be more gentle about this, believe me, but\u2014you are a fool.\n\nThe basic problem with this approach is that, in sharp contrast to television, the Internet has failed to produce sufficient fools. The dependable old mass-media trick\u2014ramming canned commercial \"messages\" down a one-way broadcast pipe\u2014just doesn't get networked audiences to sit up and beg. It doesn't even get them to roll over. On TV, repeated pitches may create brand awareness. On the web, they create brand annoyance. This isn't the way we're communicating with each other online. We argue, cajole, we joke, we talk. We  tell each other stories. On television, a company has 30 seconds to be clever. But on the web, it has unlimited gigabytes to say what it's all about and why anyone should give a damn. This isn't a preview, like a TV ad. It's the main feature. If you advertise to us on your site once you've gotten us there, you've lost a prime opportunity to engage us, to converse with us, to tell us a story. You've blown it and we won't be back, no matter how big your banner budget.\n\nThe net has influenced the style of some broadcast advertising, but Internet audiences are hipper than many suspect. We see a knock-out ad on the tube and we're rolling on the floor laughing. At the same time, we know full well that we're unlikely to encounter the same mentality if we go to the website or call the customer service line. We'll get business as usual. When we appreciate certain ads, we're usually cheering for the agency creatives who conceived them. When I see a great spot for IBM, I immediately think \"Man, somebody at Ogilvy is sure having fun!\" I know from experience that no one is having fun logging trouble tickets at IBM's call center. It's a high-tech sweatshop.\n\nSo what now? If a) the we-really-know-you-and-love-you-why-look-your-name-is-right-here-in-our-database gambit plays only with sub-morons on the net, and b) it turns out that the Internet is far less efficient than television in turning out sub-morons. . . then oh dear! What's a marketer to do? As we'll see next, some have gone off and thought about this problem deeply.\n\n#  **OverSimplicity** **\u00ae**\n\nPerhaps the real problem is that all that razzle-dazzle brand manipulation has consumers plumb tuckered out. Maybe the real problem is that it got too goshdarn _complicated_. In a nutshell, that is the underlying premise of _Simplicity Marketing: Relieving Customer Stress in the Digital Age_ , by Steven M. Cristol and Peter Sealey.\n\nThe fundamental axioms of business are precipitously red-shifting, receding at the speed of light from the power and relevance they once had with respect to pre-Internet commerce. \"The Digital Age\" is invoked in this book's subtitle for good reason: corporations are feeling\u2014if not fully understanding\u2014the enormity of this shift. It's good business these days to question core business assumptions.  One way of questioning the tried and true is to find a new lens through which to reassess long-established business practices. Deming's lens is a good example. By looking at the whole organization from the perspective of Quality, companies began to understand and accept the wrenching changes they would have to undertake to remain competitive in newly globalized markets.\n\nCristol and Sealey attempt to present Simplicity as an equally powerful explanatory and predictive lens for marketing. Markets are faced with a daunting array of product and service choices that have proliferated to the point of becoming counterproductive, driving customers away rather than attracting them. The authors emphasize stress as a major factor in contemporary consumer psychology, and stress reduction as a concomitant opportunity for business. They warn of the dangers of incrementally extending products and creating new brands. Instead they propose consolidating product and service functions via their \"4 R's\" approach to Simplicity Marketing\u2014replace, repackage, reposition and replenish. All are aimed at alleviating customer anxiety.\n\nBut is Simplicity thus defined as powerful a lens as Quality proved to be? Paradoxically, the answer is yes only if we discount the real impact and ramifications of the digital age, and agree with the tacit but strongly implied message of _Simplicity Marketing_ : that the Internet does not constitute a radical rite of passage into a truly new economy, and requires of business no dark night of soul searching.\n\nThe authors cite Seth Godin's book _Permission Marketing_ , which holds out a similar promise to companies: that they can retain, or more accurately regain, some measure of control over their markets. However, the comfort this brings to marketers comes at the cost of self-delusion. Since the advent of the commercial Internet, markets are in control. And the First Step in any effective 12-step program of recovery has to be: get used to it. Business as usual is not alive and well. It's dying. The net has called code blue on the marketing department, and it's flatlining, monitors screaming that the patient's pulse is gone. When open heart surgery is the only recourse, suggesting a simplified lifestyle, or a please-and-thank-you rationale for the same old high-cholesterol spam, comes a day late and a couple trillion dollars short.\n\n\"As with the segmentation process, traditional approaches to prioritizing segments for targeting are not meant to be thrown out,\" _Simplicity Marketing_ assures. \"They are meant to be enhanced by considering customer stress as another important variable . . . \" But the dynamics the Internet brings to bear on market interactions raise fundamental questions about the viability of conventional segmentation and targeting. By freighting old concepts with new parameters, the authors seem to be suffering from their own denigrated incrementalism.\n\nWhile the authors acknowledge debate about whether the \"4 P's\" of conventional marketing remain valid in a digital economy, they choose not to engage the issue, instead positioning their own \"4 R's\" as complementary to existing practice. \"Regardless of which side of the debate you're on, the 4 P's are still the foundation learned and used by most marketing managers for planning and execution.\" And with that weak disclaimer\u2014the familiar Everybody's-Doing-It defense\u2014far more challenging and potentially enlightening questions about how marketing fits into an altogether new kind of electronically mediated commerce are neatly swept aside.\n\nThe same kind of slippery trope appears at the beginning of the book. \"How,\" the authors rhetorically inquire, \"did we get to a consumer world of 40,000 products in a supermarket, hundreds of long distance and cellular calling plans, 52 versions of Crest toothpaste . . . ?\" But the crucial question of how we got into this mess is ignored. Historically, the explosion of consumer choice resulted from competition for unprotected niche market sectors, first from smaller domestic producers and later from large international companies seeking to penetrate lucrative U.S. markets. These competitors were effective because the companies whose share they went after were often arrogant and complacent, believing they were impervious to attack. Think Honda Civic. Think Sony Walkman.\n\nWhile the global economy and the economies of scope it spawned may be old news, most companies are still missing the fact that the Internet hugely accelerates this same trend. In the late '60s, auto executives dismissed the VW Bug. \"Only students drive those,\" they said. Notice that 20 years later, business missed the significance of the early Internet for the same reason. \"Networked Unix workstations? But only students drive those . . . \"\n\nToday, competition is coming not from offshore, but from agile net upstarts catering to web-based micromarkets that don't yet raise a blip on the demographic oscilloscope. Even after decades of warning signals, most companies still believe they are in control of their markets, impervious to attack from below. But online, the market _is_ the competition. Think Linux. Think Napster.\n\nThrough the reputation so many corporations have developed for self-serving consumer manipulation, marketers have lost credibility. Today the marketplace is connected, networked. Consumers are talking among themselves. And this changes everything. Cristol and Sealey argue that markets are stymied by too many options and must depend on vendors to make sense of their world again. For this they will be grateful, and gratitude will beget trust, trust will beget loyalty, loyalty will beget greater market share, and greater share will beget new profits. Thus runneth the prophecy. But the prophets are wrong and the profits are not forthcoming.\n\nMarkets are not stymied. They are not as confused as many companies nostalgically continue to wish they were. In the digital age, markets are rapidly becoming smarter than the companies that pretend to serve them. Faced with a broad array of choices, potential buyers are turning to the only source they trust: each other. Typical exchanges take place through email or online message boards, and they go a little like this . . .\n\nQUESTION: I'm trying to get my head around the differences between products X, Y and Z. I'm getting a migraine from all the marketing double-talk. And the pricing schemes seem as if they were invented by Rube Goldberg. Can anyone help me sort this stuff out?\n\nANSWER (RECEIVED TEN MINUTES LATER): Forget any of the above. I've used them all and they all suck. Take a look at a little company a knowledgeable pal turned me on to. He thought highly of their product, and having used it for six months now, so do I. These folks got it right.Their site isn't fancy and they have no four-color brochures to send you, but there's an online demo that'll blow your mind. Also, because they haven't invested in the usual \"brand\" nonsense, you'll  pay about 60% less than you would have for X, Y or Z\u2014might as well pocket some of the difference in their banner ad budgets. This outfit deserves more recognition. If you're as impressed as I was, spread the word.\n\nIf X, Y or Z is your product, there goes your $10 million simplicity campaign. Because this word _will_ spread. Like wildfire. This isn't \"viral marketing\" or \"permission marketing\" or \"simplicity marketing.\" It's just real simple. Given the right vector\u2014and the net has supplied it\u2014people will talk about the products they hate and the ones they love. The latter will be well crafted, developed to address real needs, and backed up by friendly open straight-talking customer service. You got a problem? Well bummer, dude. And bam, it's fixed. That's simplicity.\n\n\"Entities should not be multiplied beyond necessity,\" said William of Ockham almost 700 years ago, a formulation that has come to be known as the law of parsimony or Ockham's razor. In non-philosophical terms it means: keep it simple, stupid. If marketing simplicity boils down to elegant, responsive product design, quality craftsmanship, a clear articulation of what the product does, and fast attentive customer service, then why inflate such a perfectly useful concept into a theory that invokes needless\u2014and largely empty\u2014neologisms such as _\"overchoice,\" \"brand soul,\" \"brandscape\"_ and _\"stressographics\"?_\n\nThere's nothing simple about reducing people to databased demographic profiles, and nothing respectful about painting targets on their backs. If you really want simple, try telling the truth. But this prospect strikes abject terror into the hearts of those whose mission it is to package segments and deliver eyeballs.\n\n#  **A Hand Full of Gimme and a Mouth Full of Much Obliged**\n\n\"Hey, baby, there ain't no easy way out. . . \"\n\n-TOM PETTY\n\nI first met Seth Godin in 1993, virtually speaking. He edited the _Information Please Business Almanac & Desk Reference_ which included email addresses, something new at that time in a business  publication. I contacted him. Later, I contributed to a book he put together called _E-Mail Addresses of the Rich & Famous_. When I found myself named in the acknowledgements, I emailed Seth, thanking him and expressing my surprise. \"I should have dedicated the book to you,\" he replied. \"You gave me more addresses than anyone else.\" We were never close pals, but we were friendly. By all accounts, he's a good guy with a working sense of humor. In _E-Mail Addresses,_ he claims to have written \"over 400 books, including _Valley of the Dolls_ , _The Eiger Sanction_ , _Catcher in the Rye_ , _The Cat in the Hat_ , and many others.\" All of which inclined me to like what he had to say. But I don't like what he's saying. I have trouble with his ideas for two reasons: 1) they've been enormously influential, and 2) they're fundamentally wrong. If not for 2, 1 would be cause for congratulation. Without 1, 2 wouldn't much matter. Together, it's a dangerous combination.\n\nGodin is the most visible presence in online marketing today. I can't think of anyone else who comes close. And it isn't just because he was associated with Yahoo. His popularity is solely the result of his ideas. Despite the contributions of serious analysts like John Hagel ( _Net Worth_ and _Net Gain_ ), there was a perceived vacuum of solid ideas about e-commerce before Seth Godin came along. Or so anyone would have to conclude from the impact he's had. Marketers took up the banner of permission marketing with a vengeance.\n\n\"What do you consider your greatest professional achievement?\" asks _The Industry Standard_ , and Godin replies \"I created the idea of permission marketing back when the web was all about Java, hits and push. Now, everyone from the press to key aggregators are rushing to embrace the idea that extracting attention and value from a relationship takes frequency and for that to happen online, you need Permission(TM).\" No kidding about the trademark. Looks like it's official then.\n\nBut the vacuum is still there. Godin does a good job on the ineffectiveness of broadcast advertising, on the annoyance of what he calls \"interruption marketing,\" and on the way word-of-mouth works online. The problem is the service into which he presses these insights.\n\n_E-Mail Addresses of the Rich & Famous_ is out of print now, at which Godin breathes a sigh of relief. Why? It raised quite a furor at the  time about privacy and a neologism that had just come into the world: spam. Spam, as we all know today, is unsolicited commercial email. The offending item was a proposal the book tried to float.\n\nA simple new convention will allow easy communication without overloading the system. . . Just follow these two rules when mailing to someone you don't know: If you're sending unsolicited mail, precede your subject with a _?._ If you're sending a commercially related piece of mail, precede your subject with a _$._ This is a courtesy that will allow people to screen their mail and increases the chances that your mail will be read by someone who _wants_ to read it. (italics in original)\n\nIt didn't float. Nor did it just quietly sink. It caused a firestorm. Godin took a good deal of flameage for trying to rationalize a framework for sending ?$ **\u2014** which is to say, spam. He was obviously thinking early on about how marketers could use the Internet to reach prospects, and he's obviously been thinking about it ever since. He finally found his framework. In _Permission Marketing: Turning Strangers Into Friends and Friends Into Customers_ , he calls permission marketing \"the way to make advertising work again.\"\n\nPermission Marketing. . . offers the consumer an opportunity to volunteer to be marketed to. By talking only to volunteers, Permission Marketing guarantees that consumers pay more attention to the marketing message. It allows marketers to tell their story calmly and succinctly, without fear of being interrupted by competitors or Interruption Marketers. It serves both consumers and marketers in a symbiotic exchange.\n\nI have to smile at the notion of calm, succinct, fearless marketers. The image that comes to mind is the used car sales division of the Power Rangers. But hold on just a second, I'm thinking. . . I turn the page. \"I know what you're thinking,\" Godin says. \"There's a catch.\" _Damn_ , this guy is good! He's reading my mind.\n\nIf you have to personalize every customer message, that's prohibitive. If you're still thinking within the framework of traditional marketing,  you're right. But in today's information age, targeting customers individually is not as difficult as it sounds. Permission Marketing takes the cost of interrupting the consumer and spreads it out, over not one message, but dozens of messages. And this leverage leads to substantial competitive advantages and profits.\n\nActually, I'm not thinking anywhere even close to traditional marketing\u2014reader, back me up here\u2014but I notice that the issue of personalization expense is raised, displayed to the congregation in the spirit of full disclosure\u2014then neatly swept under the rug. These rhetoricians, I tell ya (it takes one to know one). In fact, the mention of personalization here is genuflection to an empty buzzword. The only \"personal\" element in the ensuing \"symbiotic exchanges\" is likely to be \"Dear John.\" Some will argue that, no, customers are divvied up according to their expressed or demonstrated interest in certain product categories. But that's not _personal_. It's not something some person takes personally. It's good old traditional segmentation and targeting. For those who may have forgotten, a personal communication is more like this:\n\nYou have spaced out picking up the kids from day care for the last time. You're an irresponsible no-good drunk, Jim. Get help\u2014from someone else. I'm leaving you forever.\n\n-ALICE\n\nNow let's ask ourselves: how much more information does Alice have about Jim than the typical permission marketer has about any given random pick from its base of five jillion target prospects? Alice may not _like_ Jim a whole lot, but he knows right away on opening this mail that it's not a form letter.\n\nActually, there's not just one catch. There are two. The second gets talked about far less than the first (which doesn't get talked about much either, such is the raw corporate enthusiasm for this stuff), but it contains a bigger gotcha. Here it is now: and how do you _give_ consumers the \"opportunity to volunteer\" to be marketed to? Well, er, ah, um, that is . . . The actual no-mumbling answer is simple: you spam them. The companies that have jumped on this bandwagon were already itching for a rationale to do just that\u2014why  let the MLM bottom-feeders have all the fun?\u2014and Godin gave it to them on a silver platter. These companies aren't starting webzines and inviting a few dozen pals to sign up. They are sitting on databases that contain tens of millions of email addresses representing people they know no better than the Man in the Moon.\n\nBut perhaps you'd like a second opinion on this. Writing in _Harvard Business Review_ , Peter Sealey says \"Godin. . . concedes that permission marketers also rely on interruptions to introduce themselves to a broad base of customers. But the introductory ads can be quite simple because they don't need to sell the product. All they need to do is ask permission to say more. From that point on, all participation is voluntary.\" Allow me to translate sans murky euphemisms: it's not voluntary _at first_. So what's for lunch, Mom? _Spam!!!_\n\nSealey goes on to say that \"Permission marketing gives consumers _some say_ , but the process is still _managed by the marketer_.\" In this case the italics are mine\u2014to point out that the core program has not really changed at all. This is not about a new form of symbiotic exchange. It's about a very old form of command and control.\n\nGodin has heard criticism like this before. To his credit, he hasn't blown it off as irrelevant, any more than he ignored the flames he fanned up with _E-Mail Addresses of the Rich & Famous_. He doesn't just listen, he takes it seriously, he thinks about it, mulls it over. Godin is trying to get it right. The question that motivated his latest book was clearly: How do you get people to give you permission to send them \"exciting email offers\" without having to first shotgun them with \"invitations\" that look like, smell like and\u2014oh hell, why quibble\u2014 _are_ in fact spam?\n\nThe opening page of _Unleashing the Ideavirus_ frames the same problem in\u2014you'll be unsurprised to learn\u2014somewhat different language. \"The #1 question people ask me after reading _Permission Marketing_ : So, how do we get attention to ask for permission in the first place? This manifesto is the answer to that question.\"\n\nIt's odd. Godin talks a lot about manifestos. Even though everyone knows those are the sorts of things that Godless communists produce. Introducing the basic concept in _Fast Company_ before the book came out, Godin said: \"an idea that moves, grows, and  infects everyone it touches . . . that's an ideavirus. . . . It starts with an idea manifesto, a powerful, logical 'essay' that assembles a bunch of existing ideas and transforms them into a new, larger idea that's unified and compelling. . . As long as you can use your manifesto to change the way that people think, talk, and act, you create value. . . \" Right. As long as your \"manifesto\" doesn't spook companies like Procter & Gamble, Coke, Disney, Newscorp, IBM. What would companies of this towering stature make of a manifesto that said things like \"Armed only with imagination, we're gonna rip the fucking lid off\"? Godin needed a more cleaned-up and presentable idea of what a manifesto should be. Maybe\u2014why not?\u2014it could be a sweepstakes or a lottery. A game. Something more _fun_. Who knows, maybe something that conveyed refreshment and specialness.\n\n\"So, is an ideavirus a form of marketing?\" Godin asks. And he answers himself: \"Absolutely! But today, what else is there?\" Well, gee, let's see . . . I can think of two things right off the top: 1) imagination and 2) ripping the fucking lid off\u2014though I hope _Gonzo Marketing_ as a whole will constitute a more rigorous and complete answer. The question itself implies everything this book deprecates, deplores and despises. To wit: that marketing has any future at all as a dressed-up tricked-out exercise in manipulating human beings, operating on the (entirely) base assumption that their only value is to consume commercial products for a price.\n\n\"But you're being unrealistic.\" I can hear the response already. Have heard it my whole damn life, as have we all. \"That's impractical and irrelevant. Business is business and that's the way it's always been.\" Well guess what. That's not the way it is any more. Grow up. Get used to it. Power has shifted irreversibly while business continued to delude itself with laughable schemes, transparent lies and obsequious bullshit.\n\nYes, memic propagation _is_ an important factor in how ideas move around online, but adding the commercial dimension is not just a minor wrinkle. It fundamentally changes the nature of the dynamic. Are marketers really na\u00efve enough to believe that the same brain-numbing \"key messages\" their advertising and PR departments have been peddling all along are somehow going to magically \"go viral\" and capture hearts and minds?\n\n\"Contrary to what you may think,\" writes Godin in a moment of high levity, \"the Macarena was not an organized, sinister plot; it just happened. But many other products, services, hit movies, or catch-phrases are the intentional acts of smart entrepreneurs and politicians who know that launching and nurturing an ideavirus can help them accomplish their goals.\" This is marketing as information warfare\u2014hardly a new concept. It's the same old spin and manipulation. Yeah, it's more sophisticated, but the main tactics are still target and attack. Using a slew of slick new-economy neologisms, Seth Godin has reinvented and repackaged a very old concept: propaganda.\n\nGodin says that \"the future belongs to marketers who establish a foundation and process where interested people can market to each other. Ignite consumer networks and then get out of the way and let them talk.\" But what exactly is a \"consumer network\"? People tend to join into self-selecting communities online, but unless we're talking about buying clubs, they don't typically aggregate around products. Instead, they come together around common _interests_. They may \"consume\" products in the process, but this consumption is a side effect. They do not network as the \"consumers\" business has seen them as for a century, but as new tribes of hunter\/gatherers. Often enough to constitute a trend, they are not only _not_ hunting for products, they are hunting the businesses that make them\u2014as radical bricoleurs, eyeing rusted-out corporations for spare parts. Too weird, you think? Too bizarre? Some companies have discovered large collections of MP3s cached deep within their firewalled IT fortresses. Who put them there? The company will never know. It was merely a temporary host. A convenient hard disk for a roving band of cultural nomads who have since moved on. A new species some speculate. It's 11 o'clock. Do you know where your children are?\n\nIn these subtle and often alien distinctions lie a world of difference\u2014a chasm that business-as-usual can never cross.\n\nBut buck up, it's not _all_ that grim. If you take the advice of the _Rocky Horror Picture Show_ , liberation from these blues is just a jump to the left. And no, it's not a political thing. It's about getting your groove back, Jack. It's about joy, remember? But mostly, it's about _DOING THE TIME WARP AGAIN!_ Cue the band. . .\n\nIn 1991, on a day that will forever live in infamy, MCI launched its \"Friends & Family\" marketing program. The basic idea was that, in exchange for lower rates calling them, you could drop a dime on intimate acquaintances, thus causing them to be mercilessly hounded by the company either a) forever, or b) until they had to be put on powerful prescription medications, whichever came first. This initiative was hugely successful up until the inevitable moment when participating MCI customers had lost all their friends and\/or been disowned by their families.\n\nA more sanguine and approving version of this story is recounted in a chapter on viral marketing in _The Anatomy of Buzz_ , where it is explained that, while such campaigns are roughly as effective as feeding d-Con to rats, they tend to be prohibitively expensive. \"If you're not a marketing executive at a telephone company,\" says author Emanuel Rosen, \"you may think, 'Okay, but what can _I_ do about this?'\" On first reading, I thought to myself, \"Yeah, how many tons of C-4 _would_ it take to permanently remove MCI from the planet?\" But more careful attention to the text alerted me that this was not the response the book was really calling for. I came to see that the author's rhetorical question was meant to imply that the typical marketing reader would be thinking, \"Hey, how come _I_ can't do this?\" In the old days, it just wouldn't have been possible, we're told. But there's good news too. Now, \"with the net,\" says Rosen, \"this type of promotion is no longer limited to telephone companies.\" Oh, aren't you _glad?_\n\nNonetheless, telephone companies seem to have a special bent for this sort of thing, having taken to the whole viral\/permission idea as enthusiastically as the Black Death took to Europe in the 14th century. While writing this chapter, I woke up one morning to this crap from Sprint.\n\nFrom: Sprint [r15901@discounts-direct.com]   \nSent: Thursday, January 18, 2001 2:17 PM   \nTo: clocke@panix.com   \nSubject: Dear Christopher, Sprint requests your permission\n\nDear Christopher,\n\nEveryday more and more exciting and important information is being communicated via e-mail. In the future, Sprint would like to communicate with you  via e-mail, and send you exciting and \"Up to Date\" information on new products and services that Internet users like yourself would have interest in. Sprint is presently seeking your permission for the privilege to serve you efficiently and electronically via e-Mail. Thank you!\n\nWhere in the world did a freaking Telco get the idea I might like to receive their \"Up to Date\" information \"via e-Mail\"? Who is responsible for this befuddled spew? Wait a second. . . I think I know\u2014\"seeking your permission\" is a big clue\u2014and I think a little payback is in order.\n\nYou may argue that a concept like \"payback\" has no more place in a serious business book than would that beastly trope so hated and shunned by people of good will everywhere: the _ad hominem_ attack. But, while that is certainly true in the usual case, let us reason this out together. How many email addresses would you suppose are in Sprint's database of targets for this letter? Come on, pick a figure. OK, now memorize it and don't tell me. If you guessed any number smaller than the sum of all sentient beings in the known universe having both telephones and Internet access, you would be wrong. So now take this very large number and multiply it by the number of companies that want to establish a direct pipeline to your VISA card\u2014approximately equal to the number of grains of sand in Hawaii\u2014and you begin to get some idea of how many times you can count on being interrupted by some imaginative marketing oxymoron asking your permission to \"serve you efficiently and electronically.\" Do you still think payback is out of line? Just as I thought. Thank you!\n\n#  **Gonzo Interlude in the Marketing Ward**\n\n\"Your doctor has your written permission to inject just about anything he wants into your IV bag.\"\n\n-SETH GODIN, _PERMISSION MARKETING_\n\n\"You'll pay money just to see yourself with Doctor Robert . . . \"\n\n-THE BEATLES, _REVOLVER_\n\nI never should have taken the job. It was just after midnight in L.A. and I was sitting at the desk in my third-floor office drinking cheap whiskey from the bottle and watching a blood red moon rise over the City of Angels. A full moon. In Scorpio. The calendar had just ticked over to Friday the 13th. Could my luck get any worse? The phone rang.\n\nWhere do these studio execs get my unlisted number? PacBell says it values my privacy. Yeah right. It turns out to be Harvey Promoski over at Universal. What a loser. He's telling me the script writers walked out on his project today. No wonder. _Bottomliners_ sounds like one of those films that should never be made. Not a lot there to distinguish it from every other POS these guys have cranked out in the last ten years, but hey, what do I know? Promoski's telling me there's big money behind the thing. Julia Roberts likes the storyboards, he says panting, all excited. Yeah? So who's she play? (Just asking. I'm not committing to anything here.) Martha Rogers, he says. He's impressed, I can tell. I can tell he wants company. And we're talking to Kiefer Sutherland and Kevin Bacon, he whispers (like it's a big secret if he's telling me), for Seth Godin and Sergio Zyman. Respectively, he says. Harvey reads the dictionary.\n\nWhat are you telling me 'you never heard of them,' he yells into the line, like it's a personal affront. The actors, yeah, I say, but not the other ones. Was I supposed to? Maybe you better give me the plot. I listen. I tap my pencil on the blotter. I look at the clock. My luck has gotten worse.\n\n_Bottomliners_. Whose godforsaken idea was this? I can't believe what I'm hearing. It seems a bunch of third-year grad students at the Kellogg School of Management figure out a way to experience Chapter 11 without really bellying up. They come back, he's telling me. Do you _get it?_ They know what it's like to bore in, but they're still holding all their options! Wow, I say, not bothering to explain why. But get this, he says, they start having these, like, creeped-out visions, on accounta stuff they did. You know, customers they screwed, perpetrating boredom, lies. I can tell he's reading from the script. \"Somehow we've brought our sins back physically. And they're pissed.\"\n\nWe even got the creatives working on it. \" _Bottomliners_ \u2014Some lines should never be crossed.\" Whaddya think? Why do they call them \"creatives,\" I'm wondering, but I know it's not worth asking. Yeah, I say, sounds hot. So what was it you wanted from me? He tells me again about the script guys taking a powder and the next thing I know I'm on a plane. They want to know what it's like to be at death's door. Background, he said, we need background. What can I say? I need the money.\n\nI'm at the St. Vitus Dance Hospital for the Criminally Insane. I finally manage to find the staff lounge and here's my contact, Dr. Robert. Rising to shake my hand, he tells me everything's been set up. The marketing ward is right this way, he says, not wasting time, and I should follow him. He's got grand rounds, he explains, and they just got a wave of new admissions so it's pretty hectic. I can imagine, I say, looking around. I've never been in a marketing ward. How's your immune system, he asks, producing a paper mask from the pocket of his white coat. I dunno, I say, some days I get as many as 100 spams and I haven't crashed yet. That's nothing, he says. In the Level IV hot lab we've recorded over 100,000. No kidding, I say, bored already. I jot the figure in my notebook. Per minute, he says, glancing at me sideways. You don't want to go viral, believe me. I take the mask.\n\nGood decision, he says, the place is crawling with MTDs. This is a new one on me, so I ask. Oh sorry, I forget, he says. Specialization, you know. Not fatal, usually, but they can be very nasty. Marketing Transmitted Delusions. I look at him. I don't say anything.\n\nDr. Robert takes the chart from the foot of the bed as he sweeps into the first room, all cheerful confidence. And how are we feeling today, Mr. Godin? I grab a look at the chart. Hey, isn't this the guy Harv mentioned? The doc looks over at me, annoyed that I'm interrupting. Form follows fiction, he says, winking, and jams a thermometer into Godin's mouth. Ooo didn ash my pamishon, he protests.\n\nThe guy doesn't look good. Do they ever leave, I ask. Oh, they come and go, says the doctor, but the recidivism rate is high. Over 98 percent. This fellow's a regular, aren't you, Mr. Godin? He reads the thermometer. Frowns.\n\nWhat about the ad agencies? says the guy in the bed. With so many talented people, why aren't they working to solve this problem?\n\nThere, there, the doc says, checking Godin's pupils for dilation. Don't you worry about the ad agencies. You're in good hands here.\n\nWhy's he talking about ad agencies? I ask, puzzled.\n\nOh, Seth here thinks a lot about advertising. It's his profession. When he's out there, that is. Got a thing about permission, though. It's odd. You should have seen it when we asked him to sign the permission forms. He smiled down at Godin as if he were a bad little boy. Took five orderlies to get this rascal into a straitjacket.\n\nEarly on at Yoyodyne, says Godin as if it just occurred to him, we discovered that we needed one full-time customer service person for every 10,000 people in the database.\n\nAnd are we taking our meds like we talked about? asks Dr. Robert, ignoring him and surreptitiously rolling his eyes at the ceiling for my benefit.\n\nGodin looks at him a minute, blank. Then says: Your doctor has your written permission to inject just about anything he wants into your IV bag.\n\nThat's correct, says Dr. Robert, approvingly. They've obviously been over this ground more than once. And are we cooperating with the staff? But Godin is counting on his fingers now, distracted. Suddenly he looks up at us as if coming to. One lucky customer could win a $100,000 shopping spree, he says.\n\nI'll be back on Tuesday, assures the doctor. If there's anything you need, you just tell Nurse Ratshit. And he ushers me out. Yoyodyne ? I ask when the door closes. What was that all about?\n\nDr. Robert looks concerned. He's been watching this _Buckaroo Banzai_ video over and over and yelling 'Laugh-a while can, Monkey Boy!' Scares the crap out of the night desk. But look, we've got to keep moving.\n\nWho's next, I ask as we walk down the long fluorescent hallway. The doctor checks his list. Hmmm, let's see. Today we've got Sergio Zyman, Don Peppers, Harry Beckwith, Steven Cristol, Peter Sealey, Geoffrey Moore, Al Ries, Jack Trout, Sam Hill, Glenn Rifkin . . . quite a list. He flips the page on his clipboard. Oh, and Gary Hammel.\n\nAre they all like him?, I ask, gesturing back to the room we've just left. Are they, all, like . . . you know.\n\nI'm afraid so, the doctor replies, stopping to look at me full on. He takes his glasses off and rubs his eyes. Suddenly he looks weary. Beat. Been at it too long, I think. Must take a special kind of person. To keep it up. To keep the cheery smile in place while listening to such demented gibberish day after day. Personally, I don't see how he does it.\n\n#  **Broadcast: The Meme That Wouldn't Die**\n\nAlthough something clearly has to give, it is enormously difficult for any one individual, group or even company to drive the kind of change that's most required. The assumptions underpinning the business status quo are distributed across many organizations and corporate cultures interwoven in a complex ecological web involving companies, market research firms, advertising and PR agencies, and mass media. The complexity of these relationships, and the cross purposes these various factions are often pursuing, work against understanding, let alone creating, new and fundamentally different relationships to audiences and markets.\n\nThis tangled complex is the result of a viral pandemic so powerful that everyone's infected. But the nature of the contagion is such that hosts don't know they have it. The name of this disease is broadcast.\n\nBusiness has become a dream world of nostalgia and denial, desperately trying to hang onto a memory that is fast slipping out of control. Too many companies today are on a collision course with a networked reality that doesn't recognize old notions of control and doesn't operate according to principles that once appeared to be timeless laws of nature. E-commerce planning founded on broadcast assumptions is guaranteed to fail. Catastrophically. When fantasy and reality clash, reality always wins.\n\nBroadcast is a genuine paradigm in the sense Thomas Kuhn defined the term in _The Structure of Scientific Revolutions_ \u2014an overarching theoretical framework that makes reasonably logical sense  of the world, or some large part of it. The part of the world that concerns us here is business\u2014its aims, objectives, strategies and tactics. At the most fundamental level, the primary goal of any business is to create products or services it can sell for a profit. Strategies and tactics map to marketing and sales\u2014how the business identifies potentially interested prospects and converts them to revenue-contributing customers.\n\nFor the past 100 years or so, the broadcast paradigm has colored, shaped and informed corporations' strategic market planning and the tactical implementation of those plans via specific sales initiatives. The broadcast paradigm made sense of a confusing array of data and helped to coordinate complex organizational efforts. It provided an effective basis for achieving goals and measuring progress. In short, it worked. And because it worked so well, the broadcast paradigm is now so deeply ingrained that its principles are taken for granted\u2014universally accepted axioms that are transparent to the point of invisibility. Business is largely unconscious of these first principles. They remain unexamined. Ask a company why it behaves as it does with respect to markets and marketing and you're likely to get the answer a five-year-old might give: because. Businesses behave as they do because, well . . . because that's just the way things are.\n\nWrong.\n\nAnd fatally wrong today. The Internet represents a genuine paradigm shift. The broadcast model never explained \"the way things are\" in some eternal and unchanging way. True, it explained the way things _were_ for quite a long time. And that time was a time of great productivity and burgeoning wealth, both for companies and for society at large\u2014First-World societies at any rate. For business, the first three-quarters of the 20th century constitute a sort of golden era, and the memory of this period still casts its Midas-touch aura over business thinking today. A critical factor in this automesmerism, this attempt at self-hypnosis, is stonewall denial. That world was so good, it worked so well, so smoothly, and we understood how and why. Let's stick with that. Let's stick to our knitting, stay the course. Let's not admit that this fabled golden age is quickly fading.\n\nBut it is. The world is not fixed, immutable. It changes. Over the last several decades, two enormous forces have radically reshaped the world of business: the global economy and global networks. And these two powerful trends are linked in fundamental ways, though their linkage is still not obvious to most corporations. It is not obvious because business is blinded by nostalgia for the broadcast paradigm. Broadcast is the meme that wouldn't die.\n\nTo understand how \"the way things are\" has changed, it is necessary to grasp the way things were before, in those halcyon days of the broadcast era. Those days out of which the world is now passing forever. To understand and make effective use of the Internet, business must grasp how different it is from all that has gone before, and how much it has already undermined the broadcast model.\n\nBroadcast is a media phenomenon. Specifically, it is a _mass_ media phenomenon that arose in response to the needs of mass production and mass marketing. Media and business are often perceived as being separate, but this is largely a convenient fiction maintained at great cost to hide a powerful secret in plain sight: what we call \"the media\" today evolved and are only allowed to exist as the hand-maidens of mass advertising. As soon as we call the Internet a \"medium,\" we fall into the trap of assuming that it too must inevitably follow this pattern. If the net is a medium, then it must be an advertising medium. Right? From the perspective of business, that's what media are for\u2014to serve its advertising needs. That's what media mediate. Otherwise, why would they exist?\n\nTo put it generously, this is a self-centered perspective. Less generously, it's a deluded perspective that explains why business has had so much trouble understanding how to work with the net. Why won't this damn thing behave itself? Why doesn't it do what it's _supposed_ to do? The answer is that the \"it\" in this case is a different kind of it. Another animal altogether. While the Internet will eventually connect billions of people, it will never be a mass medium in the way television is a mass medium. The difference is crucial.\n\nMass media are \"mass\" because they have for so long served the core requirement of mass production: to move \"excess\" inventory. The more product such advertising could move, the more profit the  company made, so obviously, the bigger the audience the better. Mass media are mass because they're huge. And the way such hugeness is achieved is by appealing to lowest-common-denominator tastes in terms of programming content. The program, the content, is merely bait to draw the audience. The real show, the real message, is the advertising. And advertisers want to lower the common denominator so that they can get everyone possible into the audience. The best medium is the most massive medium. The best place to place advertising is where the most eyeballs will be forced to eyeball it. This is why CNN loves Eli\u00e1n Gonzalez and Princess Di and OJ Simpson. This is why the cultural legacy we are creating and exporting to the rest of the world is a simpleminded sitcom with a dumbbell laugh track.\n\nThis is the broadcast model. Did somebody say MacDonald's?\n\nPeople didn't come to the Internet for more of this featureless, characterless crap. They came for less. They came because they were bored silly by sterile vanilla one-size-fits-all commercial media. They came because they were hungry for something entirely else. And we found it: each other. The net enables people to speak, not just to listen. And to speak about things we're truly interested in. In 999 out of 1000 cases, we're not interested in talking or hearing about your product. This new empowerment of the audience is intrinsic to Internet technology. It's not something extra or something that can be taken away. It comes with the territory.\n\nThis is very bad news for mass producers. The good news is that there aren't many of those left. Look around. Since the advent of serious global competition, companies have not been able to rely on single products with long product cycles. Instead, they've been forced to create a wide array of options to compete with offshore producers and providers seeking to steal even tiny slices of their market share. As a result, markets that were once mass markets have exploded into a vast array of micromarkets.\n\nMass marketing to micromarkets is just plain stupid. And companies already know it. This insight has long been practiced in the form of demographic segmentation and target marketing. Companies that are already marketing to segments are clearly no longer marketing to the undifferentiated mass. In one sense, the web has merely put this powerful pre-Internet trend on a diet of steroids.\n\nBut there's another deeper sense in which networks are changing the fundamental nature of commerce. When companies use the techniques of demographic segmentation, they look at markets through the lens of product. \"We have this thing. Who can we get to buy it?\" In contrast, when online audiences look at this new medium, they look through the lens of interest. \"I'm curious about this subject. Who can tell me more?\"\n\nPeople gravitate toward websites that feed their curiosity, that speak to their passions, their genuine interests. And in this process new micromarkets are just now emerging. Thousands of them. They are coalescing around voice: around people who are articulate, entertaining, knowledgeable and informative. These micromarkets are too small to show up on any demographic radar. To reach such micromarkets and form productive relationships with them, companies need to share the interests they represent. And to do so they must first stop speaking in the insistently demanding voice of command-and-control to which they became addicted in the days of broadcast. _Attention K-Mart shoppers!!!_\n\nInstead of pitching products, corporate communications must seed conversations that become the basis for further community discourse. Effective communications will come not from traditional PR and marketing mouthpieces, but from employees spanning the corporation\u2014real people with real passions, real enthusiasm. In contrast, one-way product pitches will fail to connect with genuine market interests. They will fall on deaf ears.\n\nIn the post-broadcast era, brand will become the sum of all a company has said and the _spirit_ in which it has said those things\u2014a powerful symbol of the state of the relationship between a company and _all_ its stakeholders. In the best cases, brand will become a reputation for shared understanding and deep respect. Brands that do not convey these values will become embarrassing public flags signaling ignorance, arrogance and needlessly lost opportunity.\n\nWhile broadcast is anything but subtle in its methods, understanding its full implications calls for a delicate touch. The dynamics of television and mass media have shaped and molded us, changed our minds in fundamental ways. But as we use those same minds to look at how media affects us, the effects can be extremely difficult to perceive. You're unlikely to see them by looking  at yourself straight on. You'd probably want to change the channel after 30 seconds. You won't find them reflected in ratings statistics or in analysts' pie charts and spreadsheets. Occasionally, though, you may stumble across some odd exchange, a scrap of conversation that goes nowhere. Just words in passing. Ships in the night. It may look trivial on the surface. But look deeper. Wonder about it.\n\nIn March 1999, Brian Lamb interviewed NBC news anchor Tom Brokaw on C-SPAN's _Booknotes_ program\u2014Brokaw's book, _The Greatest Generation_ , had just come out. And there's this nearly poignant moment where Lamb says, \". . . in television and radio, you almost become something other than what you are.\" Then he asks \"Why has the business grown up that way where there's a lot of yelling and, 'We'll be right back after this!' You know, what's that come from? Because we don't talk to each other . . . \"\n\nFor some reason that's not entirely clear\u2014it's as if they're not talking to each other\u2014Brokaw responds by reminiscing about the original broadcast announcers. \"Edward R. Murrow was highly stylized,\" he says. \"I mean, he's a reverential figure for all of us, but he couldn't get away with that now. You know, that cigarette smoke and the kind of the use of the language and how he did it and, 'the fault lies not in the stars but with us,' and that kind of thing . . . \"\n\nLamb, evidently feeling that this response has not quite addressed the substance of his question, takes another shot. \"Let me ask you again, though,\" he says, \"why is it like in commercials, especially radio commercials, they're yelling at. . . what. . . what happened?\" Brokaw digs way down deep this time. And comes up empty. \"I. . . I don't know. I. . . there's this. . . it's probably the rock 'n' roll attitude about radio that it has to be louder.\"\n\nSure, that's right. Blame it on rock and roll. But the fault lies not in the stars.\n**CHAPTER 4**\n\n**Stories as Strange Attractors 1**\n\n_Control is the enemy of imagination. The two aren't just incompatible; they are inimical. One drives out the other. Deming, the Total Quality guy, said \"drive out fear.\" Imagine._\n\n**DAVID WEINBERGER, GOOD FRIEND AND** _**CLUETRAIN**_ **CO-AUTHOR, DEFINES** the web as \"many small pieces loosely joined.\" This chapter will be like that: an undone puzzle; a bit of sky here, a wisp of cloud, perhaps a shadowed face. This piece is also part of a larger piece. It's a story about stories that start conversations. A story about how conversations lay the groundwork for commerce\u2014and how, sometimes, commerce grounds conversation.\n\nBut the story will not be linear. It will jump around. We expect this of fiction, but not of business writing, which should proceed in stately order, from one clear point to the next. However, since the arrival of the tangled higher-order logic of the web, business has become more dependent on narrative than on explication\u2014and the narrative is no longer straightforward and predictable. It takes odd turns. It turns you on, then turns on you. It leaves you stranded. And then, just as you thought you'd reached a dead end, the road picks up again. The plot thickens. Stories are strange attractors.\n\nGonzo marketing isn't really about marketing at all. At least not the kind that mutters amnesiacally about the 4 Ps of Product, Place, Price and Promotion. Since the web came along, place no longer matters, the right price is often zero, and the first rule of promotion is to never talk about the product. Maybe instead, marketing should be about persuading people to listen, just as the goal of fiction is to  get readers to willingly suspend disbelief. Hmmm, curious thought. But if that's the point, then \" _marketing_ \" is probably the wrong word for the program. Which is why I call it gonzo marketing\u2014a boring, not very friendly concept turned inside out and stuffed full of yarns and fables, myths and sagas, outright fictions: stories.\n\nIf I set out to tell you about my product, I'm already hosed, right out of the gate. You're not interested. Your eyes glaze over. And I can't _make_ you listen these days\u2014not with 30 bajillion web links beckoning every second. Certainly not the way I could make you listen with a 30-bajillion-dollar advertising budget and a populace hardwired to The Tube. Mass marketing is a special case of mass production in which the product is mass-produced commercial \"messages.\" In the pre-net heyday of broadcast advertising, these messages had to appeal to the widest possible audience. Therefore they could offend no one. They could have no real personality. They had to be one-size-fits-all, bland, vanilla, preferably humorless. So pervasive was this jargon-ridden communicational \"style\" that even individuals deployed it in one-to-one business letters wherein they did such things as thank each other in advance for their earliest attention to those important matters impacting mutual concerns in re their earlier communication. Many businesses still think and talk this way.\n\nWith the advent of the Internet, markets have again become open, unconstrained conversations. Free talk. And the best conversations, the ones people gravitate toward, are based on stories. Stories, like conversations, don't have targets, fixed goals, Q2 objectives. They circumambulate their subjects. They explore. They don't have mission statements. If the pitch is the epitome of broadcast, the story embodies the essential character of the web.\n\n#  **Open-Source Marketing**\n\nIt's Spring 1999 and I'm nearly broke. I'm getting worried. My phone rings. It's Steve Larsen, who was then senior VP marketing at Net Perceptions. I've known him since 1994, when he was at Prodigy and I was at Mecklermedia exploring a concept that would soon come to be called e-commerce. Now, he tells me, he's thinking  about putting together a website focusing on personalization. I have to ask what that means. \"Don't worry about it,\" Larsen says, \"You'll pick it up real quick.\" Oh, so he's talking about a gig. Good timing. \"Anyway, we were just kicking around who we could get to help us out with this, and at the same instant several people said 'Hey! This is a job for RageBoy!' So whaddya think? Are you interested?\"\n\nThe result was that, for two years, I was editor-in-chief of personalization. com, and Net Perceptions was my client. The project started with Steve and I experimenting with an idea suggested by something said by Eric Raymond, president of the Open Source Initiative. The web page at opensource.org explains the basic concept as it applies to software:\n\nThe basic idea behind open source is very simple. When programmers can read, redistribute, and modify the source code for a piece of software, the software evolves. People improve it, people adapt it, people fix bugs. And this can happen at a speed that, if one is used to the slow pace of conventional software development, seems astonishing. We in the open source community have learned that this rapid evolutionary process produces better software than the traditional closed model, in which only a very few programmers can see the source and everybody else must blindly use an opaque block of bits.\n\nWhen he signed the manifesto at cluetrain.com, Raymond wrote: \"The cluetrain is to marketing and communications what the open-source movement is to software development\u2014anarchic, messy, rude, and vastly more powerful than the doomed bullshit that conventionally passes for wisdom.\"\n\nWhat a terrific sound bite! But what if I took it seriously? Was it possible that there could be such a thing as \"open-source marketing\"? On its face, the idea seemed absurd. The canonical model for the open source movement is Linux, the development of which has been collaborative and widely distributed, percolating good ideas from the bottom up without explicit direction from any focal control point. How could marketing\u2014competitive, centralized and highly managed via a top-down chain of command\u2014bear any resemblance?\n\nBut the more Steve and I talked about it, the more we realized that an open-source marketing model fit with what we already believed. On the personalization.com site, we first banned any form of product promotion. We set up a forum for anyone who wanted to talk about the subject, pro or con, and we even published several articles that basically said personalization sucks. Then we decided to invite Net Perceptions' competitors to join in.\n\nSteve had seen an early draft of _The Cluetrain Manifesto_ and was interested in answering the question: If markets are conversations, how do you go about starting and sustaining that kind of conversation? We both felt that the success of the site should be measured on the quality of the content and the diversity of its sources\u2014the number and variety of people participating\u2014instead of by the sales leads it generated.\n\nWhen the site launched, Steve wrote a column explaining what we were up to. He told the story about how we originally met (and how I got the name RageBoy from Esther Dyson). He followed with a telling comment: \"I knew Chris would provide the separation from Net Perceptions necessary to the site being accepted as a legitimate source of high-quality information on an important topic and not just propaganda from some PR machine.\"\n\nSeparation as critical prerequisite for legitimacy? Isn't that kind of a weird concept for a marketing guy to be entertaining? No weirder, certainly, than putting his company's core market positioning into the hands of someone who calls himself RageBoy. But the response was fantastic. Many people wrote articles for the site (without pay, so it wasn't that). About 10,000 visitors\u2014many from major corporations\u2014subscribed to the newsletter I started putting out. The forum immediately started filling up with substantive discussion and lively debate. Links from other pages were plentiful and personalization.com got some great write-ups. Jesse Berst of ZDnet's _AnchorDesk_ told his two-million-plus subscribers about the site: \"Although it is sponsored by personalization vendors, it contains thoughtful commentary and information about the pros, cons and uses of personalization.\" And _USA Today_ quoted me on the seed of an idea that eventually turned into the book you're now holding:\n\n\"In the days of broadcast media, pre-net, everything was outbound. You had these demographers slicing and dicing the market to see who the perfect target for their ads was,\" says Christopher Locke, editor of Personalization.com. \"What's going on online now is the complete opposite of that; it's micromarkets which are emerging out of nowhere.\"\n\nBut it wasn't all thoughtful commentary and penetrating insight. RageBoy, my psycho online alter ego, definitely put his oar in from time to time. Announcing the first Personalization Summit conference, held November '99 in San Francisco, he managed to break out of the leg irons, get control of my terminal and write to thousands of personalization newswire subscribers:\n\n _ **Hear!**_\n\n[this followed by a list of well-known industry speakers]\n\n_**Experience!**_\n\n[followed by a litany of equally well-known companies]\n\n\u2022 Steve Larsen, vice president of marketing, Net Perceptions, droning on interminably and telling really bad jokes.\n\n\u2022 Christopher Locke, editor of personalization.com (securely restrained in a bamboo cage for your personal protection).\n\n_**See!**_\n\n1000 virgins sacrificed to the Great God Baal . . .\n\nOne CEO telephoned me within minutes of this crossing the net. \"I've never seen a business newsletter quite like this,\" he said. He was clearly perplexed. I tried to be serious. \"We only live to serve,\" I told him. But he registered anyway, as did hundreds of others. The conference sold out early. It was a standing-room-only success, exceeding everyone's expectations. And the newsletter was the only vector we used to flog the thing\u2014if you don't count press releases,  which are basically worthless. Did something strange happen to marketing while the world was busy making other plans? Yup. The web has turned the world upside down and inside out. When paradox becomes paradigm, worst practices work best.\n\n#  **Only Rock and Roll**\n\nIn _The Cluetrain Manifesto_ I talk about the ancient marketplace, the social hub around which civilization emerged. It was a confusing place, filled with noise, with talk, with song. Nearly 20 years ago, standing at a Tokyo news kiosk, I read an interview with Keith Richards in which he said he saw Mick Jagger and himself as being in direct line of descent from antique bards and medieval troubadours.  In place of \"Let It Bleed\" and \"Sympathy For the Devil,\" I suddenly flashed on the lyric poet-musicians of the 12th century, on Beowulf, Homer, and even further back to bones and rattles and skin drums around some Neolithic campfire.\n\nFor me, this was a moment of radical reframing. Here was this roughneck rocker junkie talking about being connected to an authentic human lineage, which in turn connected him to both his own purpose as a man, and to his audience. Quite literally, to his market. Suddenly, Richards wasn't just a London punk grabbing for money and fame. He was reenacting and embodying a ritual that has united people at a primal, atavistic level for thousands of years\u2014however dark, a powerful communion. Reading his almost throw-away comment revised my entire outlook on popular music. And on marketing.\n\nIs the heritage of the ancient marketplace merely a legacy of barkers hawking their wares in some B-movie commercial carnival? Or was there ever poetry to it? Was there once upon a time some deeper story? Advertising shares certain qualities with the craft of storytelling. Unfortunately, the stories advertising tells are created to please clients, not the audience. That's upside down. Only a live and fully wide-awake audience\u2014not a \"focus group\"\u2014can truly judge a story's value. But instead of asking whether the story was effective, the ad agency today asks the client whether the story sold the product.\n\nBecause broadcast is intrusive, it's possible in that model for crappy stories\u2014another way of saying ads\u2014to sell mediocre products.  However, the Internet is not broadcast. Broadcast assumptions\u2014especially the high value advertising places on intrusion and manipulation\u2014immediately fall apart on the Internet. If the story bombs online, that's the _end_ of the story. If nobody listens, nobody buys.\n\nI am inordinately fond of books. And I spend a lot of money acquiring them. It's a neurosis I've learned to live with. Who gets all this ill-gotten loot? Amazon. Certainly not because they're aiming spam and banner ads at me, but because of the stories and conversations there. \"Huh?\" you ask. \"What stories? What conversations?\" Perhaps you're too old, too set in your assumptions to see what's happening. Go to the Harry Potter pages. Slowly, haltingly, the children of the world are beginning to talk to one another. _They_ understand. No one had to explain it to them. Barnes & Noble and Borders may have the same books, but they haven't yet embedded them in as rich and attractive a context. Not attractive as in pretty. Attractive as in magnetizing and awakening interest. Catalogs of bare product listings rarely have that effect, whereas interactions with other people often do.\n\nNew medium or not, companies are always going to try to sell us their stuff. It's what they do. It's what we expect them to do. But the point is no longer just to capture people's attention\u2014though that remains critical. It's to encourage their goodwill. From this point forward, companies will never achieve substantial market share without first establishing an elusive quality called \" _mindshare._ \" Do I want to obey my thirst and glug down a Sprite? Do I want to take the Pepsi Challenge? Do I care if you got milk? No, no, and no.\n\nBut I might care a lot if some company offered to hook me up with a bunch of interesting people who think sorta like I do, and have similar or complementary tastes and interests. People who could tell me stuff I wanted to know. Or even better, people good at telling stories, sharing experiences, insights, new perspectives. There are many places where that sort of exchange is happening on the net. But most of them are zines or e-mail lists or personal sites created by talented turned-on individuals.\n\nVery few companies offer anything even remotely close. Sure there are huge chat conglomerates like ICQ and Yahoo and AOL, but they're just providing the tools or the pipe, not the juice. To them the stories are just message traffic and page hits. What about  companies that sell other things, like cars or shoes or power tools? The sites that all these trillions of dollars of e-commerce are supposed to be coming from. Maybe I'm blind and I'm missing it. But I just don't see people hanging out at corporate websites. There's nothing to do there but buy more stuff so the company can make more money. Gosh, _that's_ exciting! Thanks, Sergio.\n\nTo capture the interest of online markets, where we have gotten used to talking amongst ourselves in uncontrived, unpremeditated human voices, companies need to tell human stories. Not the smarmy, cloyingly sentimental \"human interest\" stories businesses are so fond of leveraging in support of some arcane brand mysticism, but rather, stories that come from having actually grappled with the class of problems the product or service purports to solve. In other words, companies need to tell stories based on genuine understanding, not purposeful misdirection. However, to tell such human stories, companies need human beings\u2014a \"product\" with which they've never had much success. It's not that they lack the raw materials. They start with perfectly good stock. But they consistently turn out androids that sound like Tickle Me Elmo dolls.\n\n#  **Marketing Myopia Revisited**\n\nIn the realm of technology, the unnatural spawn of Big Science and Big Business, it's all facts and figures. It's passionless objectivity all the way down. I woke up one day and said to myself: Yeah? Well, screw that. I was at an AI conference. Artificial intelligence not artificial insemination. And all these academic research types were arguing about natural language processing. They were arguing about it as if language was their personal property, something that they'd inherited along with their degrees and official membership in The Discipline. I remember getting angry. I remember thinking about the cave paintings at Lascaux and Altamira, about dictionaries as a form of lexical archeology, about Indo-European etymologies that went back the steppes of Asia, to people who rode into battle bare-back and made up words for the sounds their swords and axes made, for the sounds of love, for the sounds of the night. And I  thought, who do these hosers think they are, these long-winded doctors of philosophy with their anemic propositions and their feeble proofs? I walked away and never looked back.\n\nI love language. And not just for what it can do. For what it is. But I'm also a working stiff. Somehow, I ended up in high-tech marketing. And for years I asked myself if there might be some way to combine my interest in language with my work in marketing. Could there be some hidden connection? This is one of those questions that is so profoundly stupid, you actually blush when you finally hear yourself asking it. \"Hmmm, let's see . . . language, marketing . . . language, marketing . . .\" And then the light bulb went off. Duh!\n\nCould it be just remotely possible that the articulation of a company's history, direction and focus, what it cares about and spends its time doing, how it perceives its contribution to the world beyond itself . . . that all that could have some bearing on things like management, leadership, brand, positioning, value proposition and suchlike buzzwords? Double-duh! But companies mostly want to talk about just one thing: the product. And they mostly want to say just one thing about that: buy it! If markets are conversations, this makes for one hell of a dull conversation.\n\nWhy is corporate speech so unimaginative? In \"Marketing Myopia,\" Theodore Levitt wrote:\n\nThe reason [the railroads] defined their industry incorrectly was that they were railroad-oriented instead of transportation oriented. . . . What the railroads lack is not an opportunity but some of the managerial imaginativeness and audacity that made them great. . . . Even an amateur like Jacques Barzun can see what is lacking when he says: \"I grieve to see the most advanced physical and social organization of the last century go down in shabby disgrace for lack of the same comprehensive imagination that built it up.\"\n\nNote here that Levitt turns to the amateur, and the amateur gets it right. Note also the references to imagination and audacity. Where professionals are cool and analytic, beginners and dilettantes often see things more clearly\u2014and care more deeply about what they see.  The more people care, the more they are willing to risk. Concern, passion, shock, outrage: all tend to inspire engaged, audacious, imaginative speech. And such speech has true voice, the power to compel attention because\u2014are you ready for this?\u2014it is grounded in love.\n\nIn an era of networked markets, the love of the amateur and the delight of the dilettante represent a critical new dimension of economic reality, a powerful new market dynamic. The common online rabble\u2014among which I definitely count myself\u2014has no love for commerce and its convoluted, self-deluded marketing schemes.\n\nGonzo marketing is about reframing and recontexualization. Re-imagining. So imagine this: gonzo marketing is marketing from the _market's_ perspective. It is not a set of tricks to be used against us. Instead, it's a set of tools to achieve what _we_ want for a change. At the same time, it holds great promise for business, because . . . well, because we believed it all those years when business said it wanted to know what we really wanted. And for starters, what we want is for business to leave us the hell alone!\n\nFortunately for me, I'm schizophrenic\u2014a definite plus when attempting to hold such views _and_ make a living in the business world. So I actually do see the value of gonzo marketing to companies. I see it as a powerful form of market advocacy, which companies sorely need. They need it because, despite all the lip service, they are incapable of imagining what is going on in the minds of their own markets. Not so fortunately, the downside of this juggling act\u2014where the \"act\" is telling the truth about things as I perceive them\u2014is that I can only work for those rare companies that really want to know what their markets are thinking, as opposed to the many that merely pretend they want to know. But this market segmentation is OK by me. It prevents me from having assholes for clients.\n\nYou think this is Internet \"attitude\" talking? Ironic postmodern overstatement? Forty years ago, Ted Levitt speculated in some amazement about how the auto industry could have missed the public's clear preference for smaller, more fuel-efficient cars. \"The answer,\" he wrote, \"is that Detroit never really researched customers' wants. It only researched their preferences between the kinds of things which it had already decided to offer them.\"\n\n#  **Narrative Goes Online**\n\nSo-called personalization technologies purport to help companies understand their customers better. And in a way, they do. When Amazon tells you that \"customers who bought this book also bought . . .\" and gives you a list of titles, these _collaboratively filtered_ results represent the collective knowledge of widely dispersed individuals. However, as used by most companies, personalization is an oxymoron. Without knowing anything about customers as people, it merely automates \"cross-selling\" and \"upselling\" opportunities\u2014a more sophisticated version of \"Would you like fries with that?\" Does this sell more fries? Yeah. But that's an extremely limited view.\n\nRe-visioned from a higher vantage point, the view looks radically different. Collaborative filtering works bottom up by feeling out the edges of emergent micromarkets based on personal tastes and interests\u2014in effect, defining potential online communities. This is a powerful capability, much better suited to a networked medium than the top-down demographic slicing and dicing typical of broadcast. Such techniques could enable companies to stop marketing altogether\u2014at least in the sense of marketing _to_ and marketing _at_. Instead, personalization could be used to get genuinely personal, connecting members of these emergent micromarkets _to each other_. Do that, and something different in kind results. People start talking, having conversations, telling stories.\n\nRecall all those kids on Amazon vibing back and forth about Harry Potter. J. K. Rowling's first four _Harry Potter_ books have so far elicited over 10,000 reader reviews\u2014an incredible number. What's the commercial benefit? It's impossible to measure with scientific accuracy, but here's a clue. As I write this, the fifth volume in the series won't be published until next year\u2014at least nine months away\u2014yet today it's Amazon's #1 bestseller. Is that worth something in cold hard cash? You bet.\n\nAmazon is facilitating this conversation and the resulting community of interest is far more likely to value the facilitator than if the company found a way to \"message\" at them more efficiently. Efficiency is not effectiveness. Talking about MyWidget\u2014your wonderful product\u2014is generally boring and tends to quickly turn into gushing,  blatherous hype. But talking about the kinds of problems a product was created to solve, the opportunities and obstacles it was created to take advantage of or overcome\u2014in other words, its larger market context\u2014can often help people to decide why (and if) they should give a damn about it in the first place\u2014a significant challenge for many companies these days.\n\nAmazon.com's real innovation was to create a marketplace where customers, not advertisers and marketeers, could assess the value of products. For years, academic librarians built OPACs\u2014online patron access catalogs\u2014but to the best of my knowledge, none ever asked the reader, \"so hey, did you _like_ that book?\" Back at the beginning of this chapter, I wrote: \"sometimes, commerce grounds conversation.\" This is a good example. It took a commercial organization, not Yale or Stanford or the Library of Congress, to get ordinary people talking to each other about\u2014of all things\u2014books.\n\nDo site visitors scanning reader reviews feel they are being advertised to? I don't think so. Especially when they encounter reviews warning off potential buyers: \"This book sucks. It was a waste of money. Don't make the same mistake I did!\" Is there slop in Amazon's system? Uh-huh. Are there design flaws? Definitely. Inequities? Possibly; I don't know for sure. But overall it's a great model. And it opens up rich possibilities, of which I suspect we've only seen the surface. The company is enriching its relational space\u2014both hyperlinked knowledge and person-to-person relationships\u2014in many ways: through its affiliates program, wish lists, member pages, reviews of reviewers, discussion boards, purchase circles, auctions, \"Honor System PayPages,\" \"Listmania\" lists and so on.\n\nThe really interesting marketing action at Amazon is not how this information is being used to pitch products\u2014\"Would you like _War and Peace_ with that?\"\u2014but in how it's being used to hook people up and get them talking with each other. \"Hey, I just read _War and Peace_ , and man, I gotta tell ya, this Tolstoy dood rulez!\" So what's gonzo about that? Easy. It's anti-marketing. To be more precise, it's anti-marketing-as-usual\u2014it's actually very _smart_ marketing. Because people talking to each other don't sound like marketing droids.\n\n#  **Don't Examples**\n\nIn 1996, Microsoft was running a thing called _Internet Magazine_ on its site. The people responsible for putting it together got wind of my zine, EGR, and against all reasonable expectations, evidently liked what they saw. In fact, they said hey, write some of that gonzo stuff for us\u2014none of this crap we get about how wonderful Microsoft's products are.\n\nI was fascinated by the anything-but-our-product focus, so I tried to get to know the crew. One person sent me mail saying: \"You wouldn't believe the background of this team: acupuncturist, MFA in poetry, mediaeval vocalist, '60s protestor for civil rights in the south, and many other secrets. Best of all, it's an ego-free-zone!\" And then there was this, in response to my query about an odd quote in one of these Microsofters' sigs: \"The Black Sabbath line comes from the convicted ex-journalist from S.F. He gets in every day at 7 a.m. and cranks up the volume and the writing. He also understands IE 4 better than most of the entire marketing team.\"\n\nRemember: we're talking about the notorious Evil Empire here. The editor-in-chief was Emily Warn, a published poet. I bought one of her books, where I came across this: \"But the haze in the hills is not fog or smoke from hermit fires. It is America breathing.\" Wow, I thought, there is life in the trenches. Heart is still alive and beating inside the corporate monoliths. But a couple months later, Microsoft shut the project down.\n\nAudioactive sells MP3 encoders and related sorts of things. I was impressed by the site when I first went there several years ago. It was funny and self-effacing. You could tell the crew was turned on, having fun. One page talked about the technology. This is pretty daunting stuff, it said. And it could be boring. Are you sure you want to wrap your head around the algorithms these wire-head scientists came up with?\n\nThe Audioactive site was good-looking and conveyed deep competence. I remember it a million sites later for only one reason: it had voice. I could feel there were real people on the other end. But when I went back to those pages to grab some examples, I couldn't find a single one. The site has been sterilized. The edge, the humor,  the voice is gone. All the information is still there, and maybe the pages are a little slicker. But now the company sounds like every other e-bozo outfit on the web.\n\nOne day in June 1997, I hit the Microsoft website looking for some information now long forgotten. At the top of the main page was a headline about a recent deal: \"Microsoft Invests $1 Billion in Comcast.\" Nothing very surprising there. What was memorable was the sub-slug: \"We found some extra cash lying around in a sock drawer.\" Whoa! What was this? I ripped into the press release, hoping for more, but fell asleep at the terminal halfway through the obligatory Gates quote: \"Today's announcement will enhance the integration of broadband pipes and content to expand the services offered to consumers.\" Zzzz . . .\n\nI went back to the page for weeks afterwards, wondering if there'd be more inspired headlines, captions, further signs of life from whoever had produced the sock drawer line. No dice. Maybe one day I'll run into this person and hear the story of how she got demoted to Encarta shipping clerk for unauthorized cheek. Too bad. Too sad. Why do companies insist on being boring and character-free? Moreover, why do startups, those zany hackers with the wild ideas and boundless energy, insist on emulating big asleep-at-the-wheel companies as soon as they land their first-round financing? I imagine an exchange that goes something like this.\n\nVENTURE CAPITALIST: \"You fellows are bright as a pin and we like your spunk. Otherwise we wouldn't be handing you such a big wad of cash. But you have to realize this isn't a game anymore. No more goofing around. We expect to get a whopping return on this investment, and for that to happen, you're going to have to start acting and sounding like a real company.\"\n\nDEVELOPER: \"Gee. How does that work, exactly?\"\n\nVC: \"Well, look at your Fortune 500 companies out there. You want to join them one day, right? We certainly want you to. You don't see them being funny do you? You don't see them  making cracks about their products or management team. No, you don't. And you won't. Not ever. You have joined the ranks of serious business, and while you may find it a little plain, I can assure you this is how it's done.\"\n\nIn a medium well known for sites with names like \"The Cathedral of the Hydrogenated Snack Cake,\" why would _any_ company assume it needed to sound \"businesslike\"? Why would it ever write something like this unedited clip from a bona fide press release?\n\nIBM is focused on delivering customized, flexible and scalable Internet solutions for companies of all sizes. Drawing on resources from across IBM and 90,000 IBM Business Partners, IBM's Global Net Generation Business helps Service Providers and other web-based companies (hosters, portals and born-on-the-web B2B and B2C companies) establish their businesses and become profitable in Internet time.\n\nHey, in \"Internet time\" I'm snoring over here, guys. I'm cuttin' Z's again.\n\n#  **Rhetorical Questions**\n\nSteve Larsen periodically mails out an informal screed he calls Friends of Net Perceptions. It used to be Friends of Prodigy (which \"had fewer friends\" he notes), then Friends of CitySearch. He's been doing this for a long time now. In one of these he recapped the inside story of what it was _actually_ like to go public. This was a hysterically irreverent look at what most company executives consider a sacred rite of passage into corporationhood. He ends thusly:\n\nIn the next bizarre iteration of this newsletter run amok, I'll clue you in on some other interesting stuff. If you are smart and value your sanity, you'll get off this list NOW! As always, getting off requires that you whirl a live chicken around your head three times on the night of a full moon while muttering lyrics from an obscure Doors tune . . .\n\nHe ripped off the chicken-whirling trope from EGR\u2014though he tacked on the Doors bit, which I think adds a nice touch. Anyway, you get the idea. This isn't exactly your average business communiqu\u00e9. It's solidly in the gonzo camp. Yet he sends it out to clients, journalists, industry analysts, even to investors. Steve doesn't hesitate to tell these readers to subscribe to my EGR ravings, where\u2014trust me on this one\u2014they are liable to encounter all manner of unseemly and highly unbusinesslike content. I ask him whether this isn't . . . uh, just a little risky. \"Marketing is about real relationships,\" Larsen replies. \"I tell my friends about stuff I like, no matter how off-the-wall. They don't always share my tastes, but they end up knowing me better.\"\n\nOnly in a world gone crazy would that be gonzo. But the business world today is not just crazy. It's headed for the rubber room. In \"Fear and Loathing on the web\" (gonzo ported from Las Vegas to AltaVista), I quoted David Weinberger, who said: \"The dogs have it right. Customers want to take a good long whiff. But companies so lobotomized that they can't speak in a recognizably human voice build sites that smell like death.\" That was one thread, one shared stream of consciousness that led to the cluetrain manifesto, where later I would write:\n\nTo speak with a human voice, companies must share the concerns of their communities. But first, they must belong to a community. Companies must ask themselves where their corporate cultures end. If their cultures end before the community begins, they will have no market. Human communities are based on discourse\u2014on human speech about human concerns. The community of discourse is the market. Companies that do not belong to a community of discourse will die.\n\nI'm cautiously edging toward a theory of rhetoric here. The word _rhetoric_ often causes eyebrows to be raised, and is sometimes even met with alarm. This reaction involves the conflict between two contradictory sets of semantics:\n\n_**rhetoric, noun**_\n\n1. persuasive speech or writing: speech or writing that communicates its point persuasively\n\n2. pretentious words: complex or elaborate language that only succeeds in sounding pretentious\n\nFrom ancient times to the present, the study of rhetoric has always focused on effective, persuasive communication. However, lacking a theory of rhetoric\u2014an informing overall set of communicational principles and a sense of what they are to be used for\u2014institutional speech has largely been reduced to the second definition.\n\nStories often employ figures of speech: similes, metaphors. They use these rhetorical devices to ground abstractions in the familiar\u2014like the face of a friend emerging from an anonymous crowd. Slacking off and surfing around one day (my usual routine), I came across an article titled \"Ashby's Law Revisited.\"\n\nWhere before, companies could get away with making the right noises about flexibility but really remain as rigid as they want to while instead trying to pull political and other strings to control the environment, they can't any more\u2014trying to do this in the current environment will be akin to bolting the stable door after the horse has fled and is already out there in the wild mounting many mares and making many foals.\n\nThe writer's name is Olu Oni. When he wrote this, he was just some guy, one of millions of people posting pages to the web. However, when the weekend is over and he puts on his shoes and tie and business suit, he is Assistant Vice President for Global Markets Technology at Chase Manhattan Bank. When he writes like this, he isn't speaking on behalf of his company. He is very careful to say so. But when he leaves for work, does he leave the poetry at home? I doubt it. Consider the metaphor of the horse. Notice that it is drawn from the world of the living. Notice that the horse is wild, that it has broken free. Notice that its first thought is to replicate itself.\n\nSome metaphors are so powerful they speak directly in the language of the collective unconscious. In an e-mail conversation we got into about cluetrain and his paper on Ashby's Law, Olu wrote: \"Markets have strong supernatural and spiritual bearings in Yoruba culture and indeed the reason for the adage 'do not buy from strangers' is because of the belief that spirits also came to the market to transact in souls . . . Buy from a stranger and the transaction may cost you more than you bargained for.\"\n\nThe best stories can become myths that draw people together, create entire cultures. The people within the culture so created are not strangers to each other precisely because they know the old stories. They share and reflect on them. They remember together. This creates powerful cohesion, even identity. And sometimes the stories are warnings. They persist because they continue to protect the people, often from great harm. Is the notion of a market traffic in souls merely superstition? If it's just a metaphor, what is it a metaphor _for?_ Is it possible that the engine of commerce decoupled and estranged from the concerns of any human society could actually steal people's souls? In some real sense, destroy their life force? Perhaps it's not a metaphor at all.\n\nIf you think deeply about this story, it becomes an allegory\u2014richer, deeper, entangled with other meanings. You turn it over in your mind. You talk about it and retell it. This is how stories travel through time, as word of mouth from ancient days. This is how stories replicate themselves.\n\nFor a long time, all our lives in fact, the engine of commerce roared on, insatiably devouring the 20th century. The deafening sound it made was not only the noise of industrial factories, but also of the mass communication machines that pumped out an endless stream of mesmeric anti-myth\u2014the empty stories that were advertising. Then along came the web and the Thorazine wore off, the hypnotic spell began to break. As networking replaces broadcasting, communication must become richer and more interesting\u2014not just louder and more insistent. It must have character, invite participation. Must differentiate itself from the plethora of uncommunicative corporate blather, which by its sheer volume\u2014in both senses\u2014threatens to drown out all memory of life-before-the-brand.\n\nFor purposes of such differentiation, it's a good idea to explore styles and concepts that corporate communications are apparently incapable of even conceiving. Such radical approaches include, but are not limited to:\n\n\u2022 being funny\n\n\u2022 being playful\n\n\u2022 being angry\n\n\u2022 using big words\n\n\u2022 using bad words\n\n\u2022 using parody and satire\n\n\u2022 dropping arcane literary allusions\n\n\u2022 admitting to heavy use of illegal pharmaceuticals\n\nAnd, for extra credit, most outrageous of all:\n\n\u2022 telling the truth\n\nThe challenge today is to engage with people in something larger than yourself. Something you have in common. Something murky and ill-defined that's hovering on the edges, waiting to be discovered. Whatever that something is, it's out there on the web. Lurking. The world has changed. Fundamentally and irrevocably. The comforting certainty of the database, the fixed field, the form, is gone forever. Good. The fill-in-the-blanks approach to information and knowledge, to life, is what T.S. Kuhn\u2014The Paradigm Guy\u00ae\u2014called puzzle solving: the slavish, formulaic rule-following that comes between revolutions, scientific or otherwise. It's stupid, stultifying, boring. And on the Internet at least, it's over, finito, dead, kaput. Hail Eris!\n\nMarketing has an agenda, an objective. It wants us to do something, buy something. Now! Stories aren't like that. They suggest, they explore, they imagine. They say, hey take your time. Become larger. The web is storyspace. It's its own strange attractor.\n\nBut wait. Doesn't all this reduce to some vague form of muddle-headed web mysticism? Gonzo or not, shouldn't \"marketing\" have something to do with making money? Absolutely. The real question  is whether websites emulating the lowest-common-denominator style of mass media will be effective at bringing in new business. Today, it may seem so. But tomorrow, attempting to please everyone is likely to please no one.\n\n#  **Brand Id**\n\nI first heard from Brian Millar soon after the cluetrain manifesto appeared on the web. At the time, he was working at RMG International, a subsidiary of The WPP Group. WPP is arguably the world's largest advertising and public relations conglomerate\u2014we're talking motels on Boardwalk. Brian sent me e-mail that became an article, \"Modern Life is Rubbish,\" which I published on personalization.com. \"We now benefit from economies of scale at the cost of any modicum of humanity creeping into our dealings with brands,\" he wrote. \"But I think that it's a temporary problem, because many of these Industrial Age monoliths are pretty doomed.\"\n\nHe has since left RMG and WPP and started a company of his own, called myrtle. The site says:\n\nmyrtle is a new company which helps brands communicate in an accelerated culture. Yes: people are more contradictory, more aware of choice, more demanding and less ready to be talked down to or imposed upon than ever. No: they can't be bribed, they don't think your ads are entertaining any more and they resent being sneaked up on. Yes: our work starts with consumers. We find patterns in the chaos of their lives.\n\nBy the way, myrtle is also his dog's name. \"In a market that's accelerating in incomprehensible ways,\" Millar explains in e-mail, \"doing nothing is the greatest risk of all. And in a market that's a conversation, the winners are going to be the people with something to say. Our website represents our brand's id. All the sneaky little things we've always wanted to do and say are out there for everybody to see.\"\n\nSneaky little things like what, precisely? Well . . . myrtle imagines \"ultranarrow ultramodern microchannels\" offering endless loops of  sampled video\u2014people swearing for hours on end, for instance, or interminably strung-together car chase scenes. \"It's a meaner, more lizardly attitude to our treasured media archives,\" Millar admits, tongue firmly in cheek. \"But then, nothing's sacred.\" Brian tells me that myrtle is also offering \"Turin Shroud duvet covers. The extraordinary deposition image, only shown in public once per generation, preserved on your comforter forever. A gift to treasure. Yes. What have Turin Shroud duvet covers got to do with running an ad agency? Frankly, nothing as far as I can work out. But I bet they'd look nifty.\"\n\nAnd then there are a number of items such as . . .\n\nHuman Crisps: If it's okay for vegetarians to eat, say, bacon-flavour snacks because it's just \"pretend\" or \"bacon-effect\" and contains no actual animal products, then we want to eat human-flavoured crisps. It's only fair that carnivores get a share of the new fiction-food market too. So while you're thinking, hmm . . . who do I want to eat the most, please understand we don't want just any person-flavour. We crave celebrities, novelists, philosophers, stars of stage and screen, athletes, musicians and (where available) leading figures from history. In snack form. Let's be clear\u2014there's no actual human in them, so it isn't cannibalism, just hugely similar, and about as close as we'll ever get in today's world. Yum.\n\nThe message isn't \"here's how we'll help you sell.\" Instead, it's \"here's how we think.\" There's an exuberance to the site that's tangible, infectious. We won't even try to describe the blipvert for \"Transparent Bone-less Lions\"\u2014except to repeat the tagline claim: \"They're educational!\" One gets the feeling that myrtle represents a significant departure from the kind of advertising and branding Brian Millar previously did for companies like Compaq, IBM, Mercedes-Benz and British Airways. Call it a wild hunch.\n\nSo is gonzo marketing just whacked out, undisciplined indulgence run amok? Partly, yes. But that's not necessarily the point. Nor is there any point at all without some deeper substance\u2014the dimension of character, of voice. The myrtle site, for instance, is pure voice. Uncut, undiluted. If you become their client, what you see is very likely what you're going to get. This has manifold ramifications.  For one thing, it signals: this is who we are. In the same breath, it gives fair warning: who we are is non-negotiable. If you can't dig it, just go away.\n\nGonzo marketing has attitude to spare, but it's not the attitude of the poseur. Gonzo is not a style that can be faked. Sophistry is not an option. We're not talking about some generic class of \"free-age\" nouveau-consultants here, or camouflaged faux-hip cyber-alley suits with a fast rap. Instead, what is emerging from the huge new mind-space the Internet has opened up is a new breed of professionals-turned-dilettantes\u2014who work for delight more than dollars and value the work itself above company or client. These creative Ronin first ply their marketing skills by representing the things they passionately care about. Their websites are their resumes, attracting precisely the sorts of people they want to\u2014and are willing to\u2014work with. A company doesn't hire such people, it woos them. It doesn't control them\u2014it finds the best possible fit, then takes the trip.\n\nBut why would a company brook such unconscionable independence? Why would it ever agree to such risk? The answer is simple: because the risks of continuing in status-quo mode are infinitely greater. Authentic, engaged voice is precisely what companies desperately need today. Lacking that, they're sunk. Networked markets are smart markets. To these new audiences, the broadcast pitch is a carrier wave for unadulterated boredom. The faintest hint of hucksterism triggers an inattention so profound it constitutes a form of commercial catatonia. The billions being spent on e-commerce marketing of this sort might just as well be flushed down an enormous toilet. If somebody put up a webcam and streamed the video, it might even draw as big a crowd as the one that thronged the Dancing Hamsters page. Good show. A million laughs. But what can you do for an encore?\n\nMost companies needn't look far to find genuine voices within their ranks. All they have to do then is get out of the way. They don't need \"empowerment\" programs. Such paternalism is just as stifling as the control it tries to mask. What they need are nonintervention treaties. A model already exists for this in the publishing world. Without a voice, a newspaper is nothing. So newspaper companies search out voices they respect and make them editors. Then the company stays out of the editor's face. The publisher\u2014that  is, the business side of the house\u2014doesn't tell the editorial side what to write, or how to write it. There are plenty of instances in which this arrangement is honored in the breach, but it exists and it mostly works. It's referred to metaphorically as Church and State. Given such a setup, it shouldn't come as a great surprise that gonzo first emerged in the world of journalism. But nothing inherently limits it to that world. Gonzo marketing simply represents business getting the clue about 30 years late.\n\n#  **Nine Maxims**\n\nOK, time to regroup, mop up and get out. Time to try to reassemble what these many small loosely joined pieces have been intimating, insinuating, hinting at, suggesting.\n\n_Marketing has become irrelevant._ As practiced today, most marketing is dependent on assumptions that may still hold true with respect to broadcast media, but have little relevance to the Internet.\n\n_Best practices usually aren't._ Techniques that have worked in the past tend to be misleading and even dangerous when change is extremely rapid.\n\n_Frustration is inspiration._ People who work for companies _want to believe_. They want to engage with each other and with the market, but they're hobbled by functional categories and bureaucratic management that militate toward group stupidity.\n\n_Gonzo is a terminal response._ Adopting worst practices is an extreme response to frustration with existing practice. People finally engage because they care. Better engaged than enraged\u2014though gonzo marketing is often both.\n\n_Permission is the critical hurdle._ Frustration is not enough. There has to come a moment in which people give themselves permission to speak\u2014just as gonzo journalism offered new freedom of speech to a whole generation of writers. Inspiration must pass through rationalization and fear. Only then can voice emerge and true words go forth. Such words pass the same permission on to others. Things ignite.\n\n_Storytelling is the path._ True voice is the articulation of craft, and craft cares about quality. That's what defines it as craft, as art\u2014\"good enough\" is not good enough. Storytelling is the path and primary tool of gonzo marketing. It's pragmatic, it's opportunistic, it's about what works. Even if what works breaks all the rules. And it will.\n\n_Gonzo marketing is market advocacy._ The goal of gonzo marketing is not to better \"penetrate\" markets, but to better represent the market's interests\u2014in every possible sense.\n\n_Companies aren't real enough to speak._ Gonzo speech is what companies need right now, but they can't produce it. By nature, they have no personality, no character, no subjective take, idiosyncratically engaged or otherwise. Plus, they can't relinquish control, can't loosen up, let go. They are bound by the paranoia they have created.\n\n_Only individuals can be gonzo._ Only people can convey enthusiasm through their stories. The marketing department doesn't have a story. Neither does the company. The discovery of worst practices is imagination replacing control. Worst practices tend to be radically anti-corporate, anti-marketing\u2014but only because they are unconditionally human.\n\nI opened this chapter by quoting W. Edwards Deming's dictum: \"drive out fear.\" Deming also said if you want quality, shut down the Quality Control department. Make quality everybody's job. Companies that need marketing that actually works could take a tip from Deming. Shut down the marketing department. Then get out of the way. We'll take it from there. Hell, we'll take it anyway. What's happening in this medium is crucial, epochal. But what is unique and most consequential about the net is not what most companies are pursuing. At best, their bread-and-circus sideshows are temporary holding actions. Temporary insanity.\n\nToday we need anthems more than analysis. We need to tell new and deeper, larger stories. Stories about ourselves\u2014the kind of creatures who invent them, and why their creation is so important. Stories about why we can't afford to lose such a precious human legacy in a din of charlatanism and slobbering artless venality. The promise  of the net is the promise of humanity coming together, seeing itself for the first time, as we saw ourselves from the moon more than three decades ago, saw the breathtaking blue planet spinning out there. Out _here_. This time it's much more intimate. Maybe we can't see the faces yet, but we can read the words and begin to sense the lives behind them.\n**CHAPTER 5**\n\n**Social Marketing and Public Journalism**\n\n_\"Social capital is about networks, and the Net is the network to end all networks.\"_\n\n-ROBERT D. PUTNAM IN _BOWLING ALONE_\n\n**ON THE SURFACE, SOCIAL MARKETING AND PUBLIC JOURNALISM MAY** seem only vaguely related to gonzo marketing. But they're highly germane to where we're headed. For two reasons. First, both represent significant attempts to get closer to audiences, to become more relevant and credible to smaller, more focused niches. The Internet is a more intimate medium than broadcast or mass publishing ever was. Whether with respect to markets or readerships, both social marketing and public journalism are attempts to establish more intimate relationships. Second, both developed before the Internet became a big deal, and therefore do not depend on hyperactive tub-thumping about the wonderful new world of e-commerce. Too much thinking about business today relies on a highly questionable form of pretzel logic that did not exist before 1995. The Internet can make companies a lot of money. Money is good. Therefore the Internet is good. Or . . . the Internet cannot make companies a lot of money. Therefore it is bad. Either way, _quod erat demonstrandum_. Such fatuous syllogisms aside, I wanted to find evidence of trends that were already underway when the net and business began to intersect, and thus had at least an outside chance of  being based on something more substantive than the promise of instant e-riches\u2014or the pall of e-poverty.\n\nI am not proposing social marketing and public journalism as models in the usual sense\u2014as templates on which to build further. Instead, I find social marketing and public journalism interesting for what they say about the limitations of broadcast marketing. Both are direct responses to those limitations\u2014detached, impersonal, bland and humorless one-size-fits-all mass communications. These movements make an appearance here because they deal with fundamental issues\u2014both problems and potential\u2014that have a large bearing on the alternatives this book does propose.\n\nNeither social marketing or public journalism is likely to continue very long in its present form. Though they will continue for a time, the dynamics of the net will ultimately cause a definitive interruption of these courses, just as they will for mass marketing and broadcast. They will not survive because both seek to salvage the conventional institutions in which they are embedded\u2014in one case broadcast advertising, in the other mass-media journalism. This point is crucial, but involves a longer story\u2014one that I hope will make better sense when we return to it at the end of the chapter. For now, let's just say that both rely on business as usual continuing essentially unchanged. Does the expression \"fat chance\" mean anything to you?\n\nDespite these caveats and disclaimers, social marketing and public journalism constitute instructive precursors\u2014call them foreshadowings, intimations\u2014of what I'm calling, for better or worse, the gonzo model.\n\n#  **Social Marketing**\n\nEveryone has experienced social marketing in some form\u2014media campaigns to raise awareness about the dangers of cigarettes, illegal drugs, sexually transmitted diseases and various other health and environmental hazards. Social marketing was first defined in 1971 by Philip Kotler and Gerald Zaltman. Eighteen years later, in 1989, Kotler and Eduardo Roberto wrote _Social Marketing: Strategies for Changing Public Behavior_ , the subtitle underscoring the cultural dimension. They describe the scope of the discipline as follows: \"Social  marketing is a strategy for changing behavior. It combines the best elements of the traditional approaches to social change in an integrated planning and action framework and utilizes advances in communication technology and marketing skills.\"\n\nThe goal of social marketing is to change minds\u2014values, beliefs and behavior\u2014not to promote products with price tags attached. If a campaign is successful, the only \"product\" is the effect produced: revised attitudes about some issue thought to be of high relevance to society as a whole.\n\nBut thought to be relevant by whom? Because it does not attempt to get people to buy products, social marketing is often perceived as more credible than commercial advertising. However, it also risks creating resentment. \"Who are 'they' to tell me to quit smoking?\" While many public service campaigns are created by major advertising agencies and delivered through conventional mass media channels, bottom-up local programs are usually more effective. When members of a particular group use marketing tools in their own behalf, the message is less likely to be perceived as coming from some paternalistic outsider whose intentions may be suspect.\n\n_Fostering Sustainable Behavior: An Introduction to Community-Based Social Marketing_ makes the point that attempting to change people's behavior works best when you talk to people directly. \"The emergence of community-based social marketing,\" the authors write, \"can be traced to a growing understanding that conventional social marketing, which often relies heavily on media advertising, can be effective in creating public awareness and understanding of issues . . . but is limited in its ability to foster behavior change.\" It's limited because people tend to blow it off. The distance that broadcast inevitably creates is, well . . . distancing. The message seems to be aimed at someone else. It isn't immediate, doesn't apply to my life here and now.\n\nAt first, some big issue (say cancer awareness) is socially marketed by a big non-profit org (say the American Cancer Society) using the resources of a big advertising agency (say Ogilvy & Mather). But then, smaller organizations, even neighborhoods, realize they can do something similar\u2014set up a block watch program, for instance. In such cases, word of mouth works much better than mass marketing. And note that, on the Internet, \"community-based\"  need not imply geographic proximity. Online communities can be globally distributed, yet still act as communities with respect to shared interests, values and objectives.\n\nSocial marketing has been extensively deployed in the third world, especially in public health programs. _Social Mobilization & Social Marketing in Developing Communities_ notes that \"little success has been achieved in developing countries using a strictly mass media model.\" AIDs education is a case in point. Author Neill McKee writes that \"mass media is seldom sufficient to bring about behavior change. Networks and peer counseling are needed, involving those most at risk.\" While community involvement is crucial to the effectiveness of such initiatives, it is not easily accomplished, nor is this an area in which traditional marketing has much experience\u2014or much interest. Traditional marketing is designed and delivered from the top down. It does not usually elicit input and involvement from its targeted markets.\n\nThis criticism of mass marketing echoes the feelings of many in the general online population. Because Internet audiences self-organize around common interests, and therefore tend to form natural communities, people are generally much more interested in each other than in intrusive marketing messages. In this respect, the net world begins to look a lot like the Third World.\n\n_Participatory Development Communication: A West African Agenda_ recaps the history of many \"modernization\" programs in which wealthy Western countries attempted to help less fortunate global neighbors. \"Such modernization was planned in the national capitals under the guidance and direction of experts brought in from developed countries,\" writes Chin Saik Yoon. \"Often, the people in the villages who are the 'objects' of these plans would first learn that 'development' was on the way when strangers from the city turned-up, frequently unannounced, to survey land or look at project sites.\"\n\nPrograms like this are modeled on the top-down methods of mainstream marketing and mass media. A central organization determines what is in the best interests of their \"backward\" beneficiaries, then goes about implementing its \"altruistic\" plans without bothering to consult with the targets of their largesse. Such paternalism smacks of Rudyard Kipling's infamous \"White Man's Burden,\" a  phrase that Microsoft defines via its _Encarta World English Dictionary_ as \"the supposed responsibility of Europeans and their descendants to impose their allegedly advanced civilization on the non-Caucasian original inhabitants of the territories they colonized,\" adding that the phrase is often considered offensive. No shit, Sherlock.\n\n_Take up the White Man's burden\u2014_   \n_Send forth the best ye breed\u2014_   \n_Go, bind your sons to exile_   \n_To serve your captives' need;_   \n_To wait, in heavy harness,_   \n_On fluttered folk and wild\u2014_   \n_Your new-caught sullen peoples,_   \n_Half devil and half child._ _8_\n\nThe white man's burden trope was an important ideological component of a much larger agenda called colonialism. This agenda is hardly an artifact of yesteryear. The attitude of large corporations coming onto the Internet has all the same earmarks. Call it e-colonialism. Here we were, all these wild and sullen half-devil children fooling around with the net, engaging in bizarre rituals and idolizing false gods. Then along came the Fortune 500 to civilize our heathen asses and get us all to worship at the Church of the One True Disney. Wow, thanks.\n\nPractitioners of participatory communication take an altogether different approach, not just teaching, but also learning from the people with whom they work. The impetus for the participatory approach grew out of anthropological field work, in which it became obvious that researchers often brought their own biased cultural assumptions to their description of non-Western societies. Recall here anthropologist Clifford Geertz's notion of thick description, which was an important step in the attempt to cure this sort of trans-cultural arrogance. But ultimately, there is no cure, for the simple reason that there is no ultimate authority to appeal to on questions of whose culture is better, more advanced, more civilized. These are inherently judgments of value, which cannot be decided by scientific  method, no matter how rigorously applied. In response to these issues, Elaine Lawless developed the concept of reciprocal ethnography, in which the people she is observing are invited to observe her in the same manner, and to question her own assumptions, biases and beliefs. \"My work is 'reciprocal,'\" she writes, \"in that we [herself and the people she is studying] . . . have established a working dialogue about the material, a reciprocal give and take.\"\n\nIt is precisely this kind of give-and-take that is noticeably absent from traditional marketing. Most conventional marketers don't even seem to notice its absence, having apparently forgotten that it was ever important to speak with real customers\u2014except perhaps in the context of focus groups. In heterogeneous societies, however\u2014whether we're talking about the vastly varied nations of Africa or the global Internet\u2014focus groups can be extremely misleading, as outside marketers are thrust into an unfamiliar constellation of cultural beliefs. Social marketers in developing countries focus on participation, both because they are highly sensitive to the colonialist impulse, and because they have a different set of objectives from those of commercial marketing. These differences are reflected in the following passage from _Participatory Development Communication_ :\n\nCommercial stations which are caught-up in \"rating-wars\" and competition for the advertising dollar probably do more elegant audience research than participatory media managers. But there is a very fundamental ideological difference . . . Commercial stations aim to capture \"market segments\" which they can then sell to advertisers for a profit. Their loyalty in business is to the advertiser. Participatory media's loyalty is to the people.\n\nAmong the techniques used to foster participatory communication, the author includes listening, negotiation, sensitivity to local language, appreciation of traditional customs and folklore, facilitating the sharing of knowledge, understanding acceptable methods of entering the community, knowing when and how to leave it, and keeping in touch afterwards. To say the least, these are not matters that conventional marketing pays much attention to. But ignoring them can result in ugly charges of cultural manipulation. And here\u2014let me say it again\u2014the net world begins to look a lot like the Third World.\n\nOf course, conventional marketing has refined manipulation to an art form. And on that note, complicating the issue of credibility even further, we come to the closely allied notion of \" _cause-related marketing,_ \" or often simply \" _cause marketing._ \" But hold that thought. We'll come back to it in just a second. This is pretty dense stuff, so let's take a little break.\n\n_**Intermission**_\n\nGot your popcorn right here. There you go. What's that? You want a Coke? Sorry, no Coke. Pepsi.\n\nIn _The Blues Brothers_ movie, Dan Aykroyd, in his character as Elwood Blues, repeatedly repeats: \"We're on a mission from God.\" He is dead serious, which is why it's funny. The mission is to put the band back together and save the orphanage. You get the picture. Consider how many people who build personal websites feel they're on a mission from God. Some might even use the expression to denote a kind of ironic self-awareness of their own obsessive focus on something that's so tiny and trivially insignificant compared to all the Big Deal doings of E-Commerce, from Amazon to Yahoo. Now consider that a mission is a kind of _cause_. It may not be Cancer Prevention or World Peace. It could be anything that generates the same kind of hell-bent mania with which the Blues Brothers brought Chicago to a screeching halt. It could be day trading or javascript programming, home schooling, quantum physics or amateur pornography. It could be chinchilla ranching. Whatever it is, it could also be hugely effective in bringing people together who share that particular passion. Finally, consider that\u2014without any commercial product being involved\u2014Napster was on such a mission and had such a cause. Working bottom-up, using a community-based approach, it fostered social behavior change on a global scale. It got millions of kids to stop buying music from large multinational entertainment cartels. I'm not saying this is good or bad, mind you. It's just so. As Elwood says: \"It's 106 miles to Chicago, we've got a full tank of gas, half a pack of cigarettes, it's dark  and we're wearing sunglasses.\" And without missing a beat, Jake replies, \"Hit it!\"\n\nDon't ask. It's just so. The net is just like that. But we're getting ahead of ourselves.\n\n#  **Cause for Concern**\n\nBack to the difference between social and cause marketing. A few examples of the latter include Ben & Jerry's promoting peace with popsicles and American Express sharing its spare change with the homeless. It was in fact AmEx that first coined the _cause-related marketing_ usage in 1983, when it agreed to donate a penny to the Statue of Liberty restoration project every time anyone used their card, and a buck for each new account. What they meant by the term was \"the marketing of a product or service by using commercial exchanges to trigger donations, thereby raising money and visibility for a cause.\" _Cause Related Marketing: Who Cares Wins_ defines cause marketing in pretty much the same terms: \"a commercial activity by which a business with a product, service or image to market builds a relationship with a cause or a number or causes for mutual benefit.\"\n\nIn February 2001, _New York_ magazine began running an ad for Absolut vodka that was created by the advertising firm TBWA\/ Chiat\/Day. As in all the entries in this long-running campaign, it features the distinctive Absolut bottle, this time representing the logo of GLADD, the Gay and Lesbian Alliance Against Defamation. In his _New York Times_ advertising column, Stuart Elliott writes that the ad \"is indicative of two trends that are helping to reshape how advertisers appeal to consumers.\" The first is cause-related marketing, \"which seeks potential customers by supporting causes they themselves support.\" The second is niche marketing, \"which seeks potential customers among narrow demographic segments rather than the general population.\" The article notes that these interrelated approaches have also been adopted by much larger companies such as American Express, General Motors and Procter & Gamble.\n\nThere is fast-growing interest in cause marketing, and no lack of enthusiastic proponents on both sides of the corporate\/cause equation. Among the most eloquent is Bill Shore, founder and executive director of Share Our Strength. SOS describes itself as \"one of the nation's leading anti-hunger and anti-poverty organizations.\" It has raised over $65 million for such causes since 1984. Among the many partners SOS has attracted are America Online, American Express, Barnes & Noble, Bloomingdale's, Coors Brewing, KitchenAid, Kraft Foods, Macy's, The Home Shopping Network, Williams-Sonoma, and Yahoo. SOS speaks in uncharacteristically entrepreneurial language for a non-profit. \"Share Our Strength understands the return on investment these relationships provide for our partners and our work to end hunger.\" Shore argues that people have a deep-seated desire to contribute to society, and that organizations like SOS provide an opportunity to do so. In _The Cathedral Within: Transforming Your Life by Giving Something Back,_ he writes about doing something that counts:\n\nAll of us have strengths we need to share. . . It's not just about volunteering or trying to be a better person. It's not about making your community a better place. It's not about service being good for your soul. It is more fundamental, almost primal. It is what the species instinctively wants to do: to perpetuate itself by leaving something behind; to make a mark that lasts; to make ourselves count.\n\nThe corporate world finds strong appeal in such ideas. Businesses are tired of being perceived as heartless. There's only one catch: they _are_ heartless. No incorporation for the corporation. No body, no heart. Remember? Or did you skip that chapter? While it's true that many _individuals_ involved in business enterprises might love to feel they were giving something back\u2014or perhaps just leaving a legacy to a monumentally engorged ego\u2014they can only do so within the corporate framework if they can prove the ROI on such gifts.\n\nThere is no doubt cause marketing can do real good. But no matter how good the concept sounds, we're still talking about companies aligning themselves with sympathetic social causes primarily so they can move more product. The terms \" _social marketing\"_ and  _\"cause-related marketing_ \" are often used interchangeably, which is seriously misleading. An otherwise excellent book on the subject, _The Art of Cause Marketing_ , unfortunately perpetuates this confusion. \"Cause marketing informs about and creates action on behalf of a cause,\" writes author Richard Earle. So far so good. But he then says, \"Advertising which does that is also widely classified as 'social marketing.'\"\n\nThis conflation of labels glosses over a critical distinction. Kotler and Andreason define cause-related marketing as \"any effort by a corporation to increase its own sales by contributing to the objectives of one or more non-profit organizations.\" They also define social marketing: \"Social marketing seeks to influence _social behaviors_ not to benefit the marketer but _to benefit the target audience and the general society_.\" The italics are in the original, indicating that the authors thought it was important whether a product was being sold or not. And they say this multiple times in various different wordings. For instance, the goal of social marketing \"is not to market a product or service _per se_ but to influence a social behavior . . . Its sponsors simply wish to make the society a better place, not merely benefit themselves or their organization.\"\n\nWhy all this emphasis? Why is it so important to distinguish social marketing from cause marketing, which often adopts the same terminology? \"There is . . . a legitimate concern,\" write Kotler and Andreason\u2014and remember, these are dyed-in-the-wool mainstream marketing guys, not flaming Marxists\u2014\"that, without careful training and monitoring, those adopting social marketing will employ some of the more unsavory persuasive strategies that have helped create economic successes of a number of socially dubious products and services.\" And then they go even further: \". . . in stating that social marketing involves customer behavior that the marketer thinks is socially desirable, we make no judgments about whether in any given circumstances they are right. Sound marketing approaches and techniques can be used as easily by a Hitler or a Charles Manson as by a Mother Theresa or a Pope John Paul.\"\n\nContrast these powerfully cautionary notes with the following statement which appears in the foreword to _Brand Spirit_ , a book on cause marketing by two writers associated with the advertising firm  of Saatchi & Saatchi. Here, Edward de Bono both acknowledges serious flak and in the same breath discounts it.\n\nSome might think that Cause Related Marketing is simply a cynical exploitation of public sympathy for the sake of profits. There will always be people who take it upon themselves to make these sorts of judgments on behalf of others. However, consumers always have the power of the final choice and if most of them felt it was cynical, then CRM would cease to exist.\n\nTo be generous, this is an extremely weak argument. It is not only legitimate, but a thoroughly excellent idea to question the implications and effects of corporate sponsorship\u2014on _anything_ , cause-related or otherwise. The disparity in knowledge resulting from huge differences in power and financial resources between corporations and de Bono's trusting \"consumers\" makes the asking and answering of questions about exploitation far more than a rhetorical parlor game. The operative concern is a little item called corporate influence. If consumers didn't like nuclear power plants so much, we wouldn't be spending billions of dollars to clean up the poisonous shit they dumped into our world, right? Point being, powerful corporate interests sold consumers on the wonders of having a plutonium breeder in their very own back yard. Speaking of poisonous shit, has the intellectual caliber of television _really_ been degraded by commercial sponsors? We all pretty much know the answer to that one without having to launch another study. And while we're at it, are kids adversely affected by companies sponsoring school events? Many reasonable parents find the implications seriously upsetting. This doesn't make them cynics.\n\nBy whatever name they call it\u2014social or cause marketing\u2014corporations are allying themselves with social issues as a way to better position their products. And what they're up to isn't always crystal clear from a quick scan. For instance, Novartis has mounted several extensive \"social marketing\" campaigns targeting diseases such as leprosy and epilepsy in third-world countries. While such programs may deliver solid, dependable information, their overall credibility cannot help but be colored by the fact that Novartis is a  Global 500 pharmaceutical firm that makes drugs specifically indicated for these illnesses.\n\nIn \" _A Short Course in Social Marketing,_ \" Novartis blurs the distinction between social and cause marketing when it says that in social marketing \"demand has to be created for the idea or product concept, such as family planning, as well as for the tools or _product itself_ , such as condoms.\" (My italics.) The Ciba-Geigy Leprosy Fund described in the report hinges on drugs that are manufactured by Novartis. Is the company profiting from leprosy? Not a nice thought. As it turns out, Novartis has suspended commercial sale of these products, and has committed to donate them to the World Health Organization in sufficient quantities to cure everyone suffering from the disease. This obviously makes a huge difference in assessing the company's motivation. Because the tangible products are not for sale, it is legitimate to call this program social marketing. On the other hand, Novartis does sell its anti-epileptic product, which, as the company explains in \"Social Marketing for Epilepsy,\" has been on the market for many years. \"The commercial objectives are to expand the anti-epileptics market by closing the treatment gap and to maintain or increase the market share of Tegretol\u00ae in a growing market.\"\n\nSuch ambiguities of intent have generated skepticism and even overt hostility. The December\/January 2001 issue of _Ms._ magazine featured an article about cause-related marketing, noting that between 1990 and 1998 corporate investment in such programs leaped from $125 million to $545 million\u2014an increase of over 400 percent. Unlike many glowing words written on the subject by participating companies and marketing consultants, this spike in cause marketing was not reported as cause for joy. \"Doubts about the motives behind these campaigns are being raised by consumers, charities, and cause-related marketers themselves,\" the article says, sharply criticizing campaigns by Philip Morris, American Express, the Internet-based Hunger Site, and Benetton.\n\n#  **The United Weirdness of Benetton**\n\nAh, Benetton, certainly the most controversial practitioner of cause marketing. For a $2+ billion company selling clothing, fashion accessories and sporting goods, the company sure has some strange  ideas\u2014and an attitude that never quits. Of all the cause-related sources I looked at, only Kotler and Andreason mention the company at all, and then only to say that \"Benetton produces shocking ads designed to energize consumers to care about AIDs.\" Kotler also puts founder Luciano Benetton on his list of 30 \"marketing visionaries.\"  However, most cause-marketing aficionados seem to want to distance themselves from Benetton's bad example. Personally, I find myself drawn to the company's approach\u2014precisely because it's so outr\u00e9. It looks a lot more authentic from where I'm sitting than the squeaky-clean go-team boosterism that characterizes so much of this kind of marketing.\n\nBenetton's $15 million \"We on Death Row\" ad campaign ran full-page photographs of condemned U.S. felons along with the company logo. This brought howls of protest and several lawsuits. But the company held its ground. \"When we talk about death row or AIDS or war or peace, it's not a contrived topic,\" said Mark Major, director of communications for Benetton USA. \"It's definitely something that people at Benetton feel very strongly about. We don't apologize for the fact that dual purposes can be achieved. We can raise brand awareness that we are a company that cares about capital punishment and we can get people engaged in the topic.\" The _Ms._ article charges that Benetton made no financial contribution to the fight against capital punishment, but fails to acknowledge how much this kind of publicity would normally cost. On the other hand, many felt it was negative publicity. Much to its credit, in my opinion, Benetton doesn't seem to give a damn. If brand meant what the _people_ in a company actually believe in\u2014beyond the sheer wonderfulness of the company's products\u2014I might take the concept of branding more seriously. Typically, brand has nothing to do with what anyone believes, unless a belief means something you trick someone else into.\n\n\"Benetton likes to shock,\" writes _The Economist_ in a burst of reserved British understatement. \"The company has a history of running provocative advertising campaigns that seem quite unrelated to the buying of T-shirts and jeans.\" These have included images of neon condoms, a war cemetery, horses copulating in a field, a very raw-looking newborn infant with umbilicus still attached, and dying AIDS patients. They are the work of Oliviero Toscani, acclaimed photographer and advertising _enfant terrible_. Both Toscani and  Benetton have been accused of ruthlessly exploiting social issues to enhance the company's appeal to the \"youth market.\" But while their advertising has generated enormous outcry, I think these guys are not so easy to dismiss as blatant hucksters.\n\n\"We're more interested in discovering people than in selling them dreams,\" said company founder Luciano Benetton, who once posed nude to raise money for the homeless. \"Here is the discovery of beauty without stereotypes; here is diversity highlighted by uniqueness.\"  Are such sentiments genuine, or do they simply represent a higher order of cynical market manipulation? To my own ear, Toscani comes across as pretty credible. In an interview on the _Salon_ website, he says, \"I hate to make advertising by saying that it goes to charity.\" And he brutally mocks companies that publicly pat themselves on the back for giving to the poor. \"Oh, we're doing an eight-course charity dinner,\" he mimics in scathing parody of such self-congratulation. Then, \"Fuck you!\" he explodes. \"I hope your eight-course dinner is poisoned!\"\n\nThis may be as close to genuine gonzo as an advertiser has ever come. If it's a staged posture intended to improve his company's positioning, the subterfuge sets a whole new standard in rhetorical sophistication. But it doesn't appear to be fake. \"Media is just a bunch of bullshit,\" says Toscani. \"Media is the real advertising. And they belong to big companies. There are some newspapers and TV companies that can't talk about certain things because they belong to General Electric or some big gas company.\" This isn't the kind of talk you're real likely to overhear in a hallway at, oh say, American Express or AOL.\n\nBut is such an outspoken, against-the-grain approach to marketing viable? Can it last? _Business Week_ reported that this style of advertising was over. \"Now, though, Luciano [Benetton] says 'shock' images are a thing of the past.\" That was obviously wrong, however. The article was written in 1995, and since then, Toscani's work for Benetton became even more outrageous.\n\nIn April 2000, Benetton and Toscani finally did part ways. Was the company displeased with the controversy he had created? It's impossible to know for certain, but the company explicitly thanked Toscani for his \"fundamental contribution to a new advertising concept\" that supported the company's \"brand communication requirements.\"  Toscani appeared to be undaunted. \"Fortunately, nothing lasts forever,\" he said. He is now creative director at _Talk_ magazine, working with equally controversial editor Tina Brown, formerly of _The New Yorker_. We'll see how long that lasts. The venture is backed by Miramax Films and Hearst.\n\nMeanwhile, even with Toscani gone, the madness continues at Benetton. Drawing on ten years of images that appeared in its magazine, _Colors_ , the company has created an exhibition in the Leopolda train station in Florence. The press release called Colors Extra\/Ordinary Objects \"an anthropological report on our world.\" There's also a website, but of course. The first item there reads: \"Fatherly love\u2014More than 850 million Roman Catholics worldwide regard the Pope as the 'earthly representative of Jesus Christ.' They also believe that he's infallible when speaking on moral matters.\" Pictured alongside this entry is the Official Pope John Paul all-day lollipop. There is also a Pope John Paul II bottle opener. The text reads in part: \"'Does the Pope use this opener?' we asked the Vatican Press Office. 'That is a ridiculous question,' they snapped and promptly hung up.\" Rounding out the Western religious paraphernalia category is this: \"Nun bra\u2014Nuns of the convent of St. Rita . . . shop for their underwear at religious underwear suppliers in Rome. St. Rita's nuns prefer the Cross Your Heart model from Playtex in beige. It's unlikely St. Rita herself was so well supported during her lifetime\u2014she's the saint of desperate causes.\"\n\nBut it's not just all anti-clerical fun. Also included in the collection is a land mine, which the site calls \"a favorite toy of generations of Afghan children. . . Children just love the bright green color and wings of the 'butterfly,' as it's nicknamed.\" The introduction to the show was written by rocker Peter Gabriel. Book by\u2014who else?\u2014Oliviero Toscani.\n\nThis form of marketing begs many questions, and many are radically unsure of Benetton's motives\u2014at least among those who haven't already decided they despise the company. To me, Benetton's brand of drive-by semiotics has more credibility than the safe, please-all-the-people-all-the-time approach of most cause marketing. Benetton positions itself by actually taking positions, even though its stance is liable to alienate as many customers as it attracts. Somehow, I don't get the impression of marketing committees behind these  acts. Rather, I sense something quite rare and wonderful in the commercial world: intelligent, quirky human beings possessed of genuine character and a thoroughly gonzo sense of humor.\n\n#  **Segue: Social Capital and The Common Good**\n\nLet's pull back a bit from the close-up view of how any one company connects with any particular social issue. If we look at the phenomenon in broader perspective, it becomes clear that cause marketing is part of a larger, deeper trend. \"A big new idea is emerging in America,\" writes Harvard Business School's Rosabeth Moss Kanter. \"Everywhere I look, businesses are discovering social values, and social purpose organizations are discovering business principles. And both are finding that they can create new benefits for their stakeholders by reaching out to the other.\" Sounds terrific. In fact, we're exploring these matters in such depth because gonzo marketing sees similar potential in the intersection of community and commercial interests. For our purposes, these communities are indeed \"social purpose organizations\"\u2014passionate, highly voiced websites and the new audiences coming together around them.\n\nThe Kanter quote is from a book titled _Common Interest, Common Good: Creating Value Through Business and Social Sector Partnerships,_ which includes a chapter on cause-related marketing. However, common interests aside, business has often been perceived not as the friend, but as the enemy of the common good. While business obviously doesn't like this perception, it has become a lot harder to dodge as communications have become faster, more efficient and more global. It is no longer possible for companies to quietly clear-cut ancient forests or to pollute a thousand miles of pristine coast-line with impunity. People care, and people are talking\u2014across previous cultural and geographic boundaries, across obsolete demographic sectors. Across the Internet. It is no longer possible to run a sweetly profitable sweatshop operation in Southeast Asia without having dozens of websites spring up including photos and first-hand interviews with exploited women and children workers.\n\nCompanies that are charged with such offenses usually question the interpretation of the events on which they are supposedly  based. Do such allegations, they ask, reflect objective reality? And then we're thrown back into the ontological soup and the endless morass of philosophy. Because the real question is, whose reality trumps whose? We'll soon return to the vexing issue of objectivity. For now let's agree that many corporations want to align themselves with the common good. It's just none too clear to whom this \"common good\" is common.\n\nRelated is the notion of the _commons,_ \"a tract of land, usually in a centrally located spot, belonging to or used by a community as a whole,\" says _The American Heritage Dictionary_. This has become extended to mean any place where people gather to converse about issues that affect their collective well-being. In 1968, an influential paper on this subject appeared: \"The Tragedy of the Commons.\" The central metaphor involves a common grazing area, large enough that each farmer can raise a single sheep on this communal tract. However, without enforcement of who does what, various farmers\u2014thinking what the hell, more for me\u2014begin to add two sheep, then three, and soon the commons becomes overgrazed and worthless to all. Bummer. Perhaps the modern commons is our collective attention. Every media outlet, advertiser and politician wants to put another sheep on our cognitive pasture. The attention we need to pay to public matters is thereby rapidly depleted. Whatever the cause, something has certainly made people\u2014Americans anyway\u2014pull back from public involvement.\n\nRobert Putnam is one of the prime purveyors of the concept of social capital. In _Bowling Alone: The Collapse and Revival of American Community_ , he argues that sociability has taken a steep downturn in American society. The title refers to significant attrition in previously popular social involvements, such as league bowling. He voluminously documents many other examples. The cost of this downturn in community engagement is a critical measure of the social cohesion necessary to maintain a healthy democracy. What is being lost is social capital. \"The core idea of social capital theory,\" writes Putnam, \"is that social networks have value . . . social contacts affect the productivity of individuals and groups.\" He defines social capital as \"connections among individuals\u2014social networks and the norms of reciprocity and trustworthiness that arise from them.\" While individuals gain from these networks, so does the  larger community in which they are embedded\u2014the public sphere. \"Social capital can thus be simultaneously a 'private good' and a 'public good,'\" Putnam says. \"Some of the benefit from an investment in social capital goes to bystanders, while some of the benefit redounds to the immediate interest of the person making the investment.\"\n\nBut what precisely is this benefit? What accrues to the public good? Simple. \"A society characterized by generalized reciprocity is more efficient than a distrustful society,\" says Putnam. \"Trustworthiness lubricates social life.\"\n\n_Business Week_ criticized what it took to be the pessimism of _Bowling Alone_. \"The Internet is creating new networks and communities,\" wrote By Farrell. \"Putnam ends up documenting the decline of a particular type of social capital tied to an industrial economy\u2014even as more heterogeneous, eclectic forms of social capital emerge in the Information Age.\" However, Putnam makes much the same point:\n\nCommunity, communion, and communication are intimately as well as etymologically related. Communication is a fundamental prerequisite for social and emotional connections. Telecommunications in general and the Internet in particular substantially enhance our ability to communicate; thus it seems reasonable to assume that their net effect will be to enhance communication, perhaps even dramatically. Social capital is about networks, and the net is the network to end all networks.\n\nThe Internet is the most powerful means we have today for building social cohesion, yet it is being used by business without regard for the larger interests of society. Gonzo marketing involves a more integrated approach, whereby corporations and markets can genuinely collaborate in the creation of social capital.\n\nIn _Knowledge and Social Capital_ , Eric Lesser extends the concept of social capital into the workings of business organizations. While many companies are beginning to see the advantages, they generally want to leverage, own and manage these benefits for themselves. This could be a showstopper with something called _social_ capital, unless you believe that the organization constitutes  a society unto itself. It's true that social networks exist within companies, and that understanding how they operate is valuable to the organization. But companies exist within a social context larger than themselves, and while they may greatly influence and shape this context, they do not control it. Lesser's book has much to say about reciprocity as it affects organizational dynamics, but includes little discussion of reciprocity between the organization and the wider community\u2014a.k.a. the market. It is mysterious behavior, yet entirely typical of business-as-usual, to exclude the market as an integral part of the organization's social network, context and reason for existing. This should come as no real surprise, however, as Lesser is (and I quote) \"an Executive Consultant with the IBM Institute for Knowledge Management and a member of IBM's Global Knowledge Management and Solutions Practice.\" But maybe that's just me. When I hear the word \" _solutions,_ \" I reach for my revolver.\n\nHaving thus savaged the guy, let me praise his other book, _Knowledge and Communities_. This collection reprints the brilliant paper by John Seely Brown and Paul Duguid on \"Organizational Learning and Communities of Practice.\" This was the foundation for the authors' critically acclaimed 2000 book _The Social Life of Information_ . There's that word again: _social_. It sure is getting popular in business circles these days. Had you noticed? If not, notice.\n\nBut business tends to talk about communities of practice the same way it talks about social capital: in terms of the internal workings of the organization, and not so much in terms of interaction with the marketplace. This is odd, since customers often have more collective knowledge about a company's products or services than the company itself. Networked communities of practice\u2014and of plain old garden-variety _interest_ \u2014are certainly crucial. But to be genuinely useful to a corporation, they must extend beyond the corporate borders and include a much larger external audience\u2014present and potential markets.\n\nGonzo marketing is a way for companies to create genuine relationships with external web-based markets. One important difference from traditional marketing\u2014and a crucial prerequisite for success\u2014is that the company will not _own_ or _manage_ the knowledge developed  in these communities. It will be outside the corporate sphere of influence\u2014at least where influence is construed to mean control.\n\nSuch border jumping has an interesting precedent. \" _Benchmarking_ \"\u2014the search for best practices\u2014not only cuts across internal functional boundaries, it also gets people talking across companies, or even across entirely different industries. But there's always a trade-off in such exchanges, especially where direct competitors are involved. How much do you share relative to the knowledge advantage you expect to receive in return? If you keep the kimono closed, you get nothing. If you open it too far, you could lose it all. In fact, the whole tit-for-tat best practices gambit is based on paranoia symptomatic of closed systems knowing that they must become open systems or die, but kicking and screaming a lot in the process. Under such trying conditions\u2014i. e., constant kimono checking\u2014best practices become dysfunctional. It takes so long to reach consensus about anything important, that the results are either trivial or patently wrong.\n\nNonetheless, given the internetworking of markets, opening up closed systems has become more critical than ever\u2014getting outside the box, outside the beltway, outside the insular frame of mind that has kept the audience \"safely\" removed from business decisions about strategy and tactics. The same pressures apply to the media business, though\u2014being a very different sort of business\u2014they apply in a different way.\n\n#  **The Case and Cause of Public Journalism**\n\nThe aims of social marketing are in many ways congruent with those of public journalism, a ten-year-old movement started by journalists who feel that reporting is too top-down, too much shaped by national polls, veiled political agendas and corporate press releases. They have sought to become more engaged in local civic concerns and tend to take positions on issues rather than pretend to a remote and questionable \"objectivity.\" Recall here Hunter Thompson's definition of gonzo as engagement. We'll soon be hearing more from him and others on how such engagement\u2014and the engagement called for by public journalism\u2014is impossible under traditional media standards of objectivity.\n\nPublic journalism could be seen as a form of cause marketing, where the cause is democracy and the associated product is the local paper. Trying to resurrect democracy within the context of a media business's profit mandate is a tricky proposition. Trickier still, the ills that public journalism seeks to cure are not merely tactical mistakes, but inherent qualities of mass media. It does little good to ameliorate symptoms without acknowledging the disease that causes them. However, the goals of public journalism are laudable, even if they seem Quixotic in the context of conventional media. Jay Rosen chronicles the ups and downs of the movement in _What Are Journalists For?_ On Amazon, he posted an overview, from which the following is excerpted.\n\nCountering spin, hype and entertainment with real news of public import is tougher than ever, especially when the company that owns your operation pushes it onto a more commercial grid. . . . What happens in the public arena still matters to people, even if a game show does better in the ratings. . . . journalists need democracy if their work is to make a difference. But were they doing enough to make democracy work? And what could they do differently? We can reduce some of our engrained [sic] cynicism, they answered, because it distorts our outlook, and the audience can sense it. We can try to provide a better forum for discussion, and connect the talk there to problems in real life. We can lend our reporting talent not only to problems, but to possible solutions where they might exist. Going further, we can attempt to engage people in civic life, and give them more help when they take that step. At times, we can be a convener or catalyst in local communities just as we are, at times, a watchdog and critic. And we can do all this without abandoning our role as truthteller and information source.\n\n_The New York Times_ review charges that public journalism's \"most ardent supporters have taken on the trappings of evangelists.\" Note that evangelists is used here as a code word. The implications are not good, as Real Journalists are supposed to be \"unbiased,\" which means they would never dream of evangelizing. Too engaged. Too _involved_. \"Its detractors have denounced it as a fad, a gimmick, a commercial ploy or an idea that was not new at all,\" the review continues.  Then interestingly, the paper invokes its own views. How much more unbiased can you get? \"Influential journalists from _The New York Times_ have been more scathing. In a signed Editorial Notebook article, Howell Raines _, The Times_ 's editorial page editor, said James Fallows's much-discussed 1996 book, _Breaking the News_ , posed an 'insidious danger, and that is that reporters and editors become public policy missionaries with a puritanical contempt for horse-race politics.'\"\n\nMuch of this debate centers on the slippery concept of \"objectivity.\" What Fallows actually said, among many other juicy provocations, was this: \"One of public journalism's basic claims is that journalists should stop kidding themselves about their ability to remain detached from and objective about public life. . . . They inescapably change the reality of whatever they are observing by whether and how they chose to write about it.\" He's surely going to hell for that one. Imagine the nerve. Disrupting the profound majesty of those scintillating horse races.\n\nFrom the perspective of the Internet, which\u2014in case you've somehow missed it\u2014is my perspective in this book, this debate is absurd. We don't need press credentials to have a point of view, and in expressing such views we don't pretend to be omniscient or impartial. For better or worse, we call em like we see em. But the debate is extremely serious from the perspective of conventional media, which either a) have not grasped the true significance of the net, or b) having grasped it just fine, are terrified by the implications. All of which could be ignored as insignificant inside-the-metaphorical-media-beltway navel-gazing except for one critical fact: old media is where business gets its news about new media. The irony here is that, in defending its high standards of objectivity, traditional media have betrayed a bias that is tantamount to a news blackout. The real Internet\u2014the net as it is, as it actually operates\u2014doesn't fit traditional models of media _or_ business. Ergo, that Internet doesn't exist. The media has created an image of the net that appeals to business and what business already knows\u2014which is television. But this view is a complete fiction. When the net fails to \"live up\" to this projection, it is judged anarchic, wild, untamable\u2014or simply a failure. Things were simpler in the old days. All you had to do was shoot all the buffalo and the Indians.\n\nNearly all the controversy surrounding public journalism has come from the establishment press, which has lobbed charges of \"advocacy journalism.\" For traditionalists, expressing a point of view breaks the first commandment of reporting: thou shalt remain impartial. These complaints would have greater moral weight if many of the mass media publications from which they come were not themselves open to charges of corporate and government influence. The principle of \"Church and State,\" which is supposed to insulate news reporting and editorial opinion from the potential sway of advertising dollars, is often honored more in the breach than the observance. Because such bias is hidden and benefits the highest bidder, it is far more pernicious than journalists actively engaging in civic debates whose outcome they honestly care about.\n\nThe most biased and unbalanced claim the mainstream press ever made is that it is objective. Is there anyone stupid enough to believe that what is presented is \"the facts and nothing but the facts,\" or even \"all the news that's fit to print\"? The press itself certainly doesn't have any illusions about the illusions it projects. Yet it wants us to take them as an undistorted reflection of \"reality.\" This represents either towering arrogance or a degree of uncritical ignorance that should disqualify the media from reporting on anything more complex than Johnny's birthday party.\n\nWriting about the role of the press as defender of the republic, Rosen writes\n\nthe litany of government lying during Vietnam, the showdown with the White House over the Pentagon Papers, and the triumph of the _Washington Post_ during Watergate convinced a generation of journalists that official authority was not to be trusted. From there it was a short step to concluding that their own authority rested on rituals of mistrust. Any criticism of those rituals could be seen as a demand to \"soften\" the news, a deadly epithet, for to go soft was to lose your commitment to truth and thus all your credentials.\n\nAnd, Rosen adds, \"This was not an irrational fear.\" The pressure on journalists to keep things crisp and snappy and not too intellectually challenging came from many quarters, notably, strong competition from _USA Today_ and concurrent demands from the business  side to staunch the bleeding that newspapers were experiencing as a result of dwindling subscriptions. In an interview discussing his book, _Deadlines & Datelines: Essays at the Turn of the Century_, Dan Rather says this. Can you see him making the air-quotation-marks? Sort of like air-guitar, but with just two fingers.\n\nI think the audience says, \"Well, listen, the evening news has sort of gone into,\" quote, \"News Lite,\" as some evening news broadcasts have. I consider it part of my job to keep the _CBS Evening News_ hard news, as hard as we possibly can, but I wouldn't kid anybody that there are great pressures to make it more entertainment, quote, \"soften it up\" because the belief runs strong if you do that, you attract a larger audience.\n\nA larger audience equals a mass market\u2014and the \"editorial content\" is only advertising bait. Howard Kurtz, press critic for the _Washington Post_ , is considerably more forthcoming. In _Media Circus: The Trouble with America's Newspapers_ , he tells this delightful little story.\n\n\"Look at the front page,\" Mike Barnicle says. \"More often than not it's full of what I call made-up stories, ideas they cook up at these cluster-fuck meetings: 'Go out and do left-handed teenagers who are thinking of becoming gay.' They do trends, they don't do news. There's a burnt fuse, a lack of connection between people in the business and a large number of people who read newspapers.\"\n\nOur efforts to repair this burnt fuse are rather awkward. We hire teenagers to review movies for other teens and pretend that we've plugged into the youth culture. We assign reporters to cover shopping malls. We ballyhoo the local football team on the front page. We serve up modest portions of News Lite, congratulating ourselves for not overtaxing the poor reader.\n\nMedia critic Jon Katz, discussing his book _Virtuous Reality_ on _Booknotes,_ says that if Thomas Paine were alive today, he'd be writing on the Internet. \"He couldn't get a job at any newspaper in America,\" observes Katz. \"He certainly did not believe in objectivity and he  was far too outspoken and independent-minded to work in a newsroom. And he would not have liked corporate media in the least.\" He speculates that if Paine had followed the dictates of objective journalism, _Common Sense_ would have begun \"A spokesperson for the British says the colonies should remain attached, and a spokesperson for the colonists says it shouldn't.\" And the American Revolution would still be the subject of the world's longest filibuster.\n\nIn _Custodians of Conscience: Investigative Journalism and Private Virtue_ the authors open a chapter called \"The Paradox of the Disengaged Conscience,\" as follows:\n\nIf investigative reporting is American journalism at its most rigorous, it is also American journalism at its most paradoxical. The essential energy of investigative reporting is still best characterized as \"righteous indignation,\" a term coined by Ida Tarbell a century ago as the anthem of the muckrakers. . . But this unmistakable tone of moral engagement stands in apparent opposition to the presumed objectivity of news. How can journalists function as the custodians of conscience and at the same time claim to be mere observers of fact? That is, how can they expose wrongdoing without making moral judgments?\n\nThe reprehensible advocacy public journalism is accused of, in fact, takes its place in a long tradition of investigative reporting. If engagement and advocacy are perceived as impediments to the media, then something is inherently wrong with the media, not with the basic human inclination to engage and advocate. Trying to suppress these inclinations artificially for the sake of some elusive notion of balance is not only futile but psychologically dysfunctional. People care. They are not simply cameras passively recording random events with no emotional valence. The pretense of such \"objectivity\" not only damages the pretender, but also deeply unravels the social fabric (or capital, if you prefer) of the society that depends on observant, informed, articulate and _engaged_ reporters to better understand and appreciate itself.\n\nBut the truth is that \"objectivity\" is a McGuffin here, a diversionary tactic. The real objective is to gather the largest possible audience  for advertisers. The pretense of detachment is merely camouflage for media whose prime directive is to serve the mass marketing requirements of business.\n\nTom Wolfe's 1973 book, _The New Journalism_ , took the impulse to engage a step further than social muckraking. Journalists are really frustrated novelists, said Wolfe, and what they really want to do is what novelists do: make stuff up. One branch of this genre turns into literary journalism, which claims such practitioners as Tracy Kidder _(Soul of a New Machine, House),_ Joan Didion _(The White Album, Miami),_ John McPhee _(The Curve of Binding Energy, Annals of the Former World)_ and Wolfe himself _(The Electric Kool-Aid Acid Test, Bonfire of the Vanities)._ 58 These authors brought to the reporting of fact an attention to detail and a style of writing more generally associated with fiction. Another, smaller and much stranger branch turns into gonzo journalism and claims one king-hell kingpin, Hunter S. Thompson _(Fear and Loathing in Las Vegas, Generation of Swine)._\n\n\"The 'new journalism' attracted attention,\" writes Jack Fuller in _News Values_ , \"especially when it ran in newspapers or was written by people whose names were identified with newspapers, by its fundamental violation of the old traditions of the craft, beginning with the tradition of colorlessness of expression.\" Thompson is colorful all right. In this mode of writing, it would be unusual to read about the Justice Department deciding to break up Microsoft. Instead, you might get a detailed description of how giant vampire bats ate Bill Gates' brain. And what it tasted like. Thompson not only used novelistic techniques, he made real events seem stranger than fiction. Which, as we all know, they often are. And he's still doing it. In a recent screed on _ESPN_ , he wrote about the night of the 2000 U.S. national election. On hearing that CNN had awarded Florida to Gore, he says \"My own immediate reaction was bafflement and surprise. . . I was troubled by waves of Queasiness & shudders of Gnawing Doubt. I felt nervous & vaguely confused, as if I had just heard a dog speak perfect English . . . That will get your attention, for sure.\" Thompson gets people's attention. For sure. And ESPN knows it. In another column there he writes about the Oakland Raiders football team, bemoaning their currently kinder, gentler ways. \"The Raiders of yore had no mercy on anything they  could get their hands on,\" he says. \"They strangled cops and ate their own babies.\" It must be true. I read it on the web. Yeah, it's a little weird, but that's OK by me\u2014and a few million others. It sure beats reading marginally rewritten press releases and the Sunday _Parade_ supplement.\n\nDavid Mindich opens _Just the Facts: How \"Objectivity\" Came to Define American Journalism_ by stating that \"if American journalism were a religion. . . it's supreme deity would be 'objectivity.'\" No other book explores this article of faith in such historical depth. Calling the phenomenon na\u00efve empiricism, Mindich writes: \"It is no less than remarkable that years after consciousness was complicated by Freud, observation was problematized by Einstein, perspective was challenged by Picasso, writing was deconstructed by Derrida, and 'objectivity' was abandoned by practically everyone outside news-rooms, 'objectivity' is still the style of journalism that our newspaper articles and broadcast reports are written in, or against.\" Most relevant to our purpose here, the book\u2014which mostly focuses on the 19th century\u2014concludes by talking about the Internet. \". . . [A]n explosion in new media has again threatened the elite, 'objective' journalists. With so many storytellers (each of the thousands of home-pages, for example, is a separate news source), and with so many departing from the 'information model' of 'objective' news, journalists are called on once again to define themselves.\" It is no surprise, Mindich says, that the issue of objectivity should arise at this critical juncture. What is a surprise are the very real alternatives the web presents to getting past the current denial about the function of journalism. Telling stories that make sense of the world is something human beings have always done, and will continue to\u2014not within the confines of a conflicted media industry, but within the context of a diverse and vibrant global culture.\n\n#  **Shallow Babble and the Shock of Recognition**\n\nIn a review of Rosen's _What Are Journalists For?_ , _The American Prospect_ notes that public journalism continues a much earlier debate between the journalist Walter Lippmann and the philosopher  John Dewey. \"Lippmann had questioned the ability of ordinary citizens to be objective enough to exercise their democratic responsibilities,\" writes the reviewer, while \"Dewey had more faith in their collective judgment and insisted that democracy can't be left to the elites.\" Uh-huh. And in support of public journalism's position, Rosen also quotes from _The Structural Transformation of the Public Sphere_ by J\u00fcrgen Habermas. It is no accident that Habermas would later go on to write _The Legitimation Crisis_ , attempting to read which book made my head hurt. However, from an intensive five-minute scan, I can summarize its findings as follows: \"Says who?\" This basic uncertainty at the heart of our culture was explored in depth by continental thinkers such as Jacques Derrida and Michel Foucault and the fundamental query was expanded into a larger challenge to the entire Western intellectual tradition: \"You and what army?\"\n\nSteve Martin liked to say that he studied just enough philosophy in college to fuck him up for the rest of his life. We can all sympathize, I'm sure. But look, it's really simpler than all that. Leaving out certain American politicians, most of us have gotten past the notion of the divine right of kings. That was once the font from which legitimacy issued. We got past it with the alternative\u2014if admittedly radical\u2014notion of democracy. But there are holdouts and throw-backs hidden in plain sight today. One of them is \"objectivity,\" of which some purport to have more than others. If this means being fair and balanced and trying to understand complex debates by taking both sides fully into account, then cool. But it often means something that's at the same time a lot larger and a lot less explicit\u2014that some group has privileged access to The Truth, and you're not part of it. Hey, don't you know anything? Read your newspaper!\n\nThe Internet and the web have quietly but inexorably undermined our willingness to cop to this implied elitism. Why write a letter to the editor when you can start your own web site? If it's good, you could get more traffic than the paper has subscribers. Love him or hate him, Matt Drudge did exactly that. But is news on the web dependable? Is it true, is it _trustworthy?_ Is it legitimate, the way the \"legitimate press\" is supposed to be legitimate?\n\nJay T. Harris is chairman and publisher of the _San Jose Mercury News_. In April 2000, he delivered the keynote address to the 36th annual  Scripps dinner at the Reynolds School of Journalism and Center for Advanced Media Studies. That certainly has an insider ring to it, eh? But just wait. In his talk, \"New Media in the New Millennium,\" Harris warned that since the Internet enables almost anyone to publish whatever they please, readers will have a hard time telling the difference between the output of bona fide journalists and the ravings of \"plain old crackpots.\" Personally, I think the latter will be pretty easy to spot, as they're generally a lot funnier. Brilliantly clarifying the distinction between net-based communications and journalism\u2014they \"are not the same thing,\" he said. \"More often than not, they are different.\"\u2014Harris further explained that journalism is \"a profession committed to informing the public about public issues and significant events,\" which mission is to be carefully distinguished from the \"the shallow babble of the masses.\" After all, without the special secret decoder rings issued to Official and Authorized members of the Legitimate Press, how could shallow babblers like ourselves possibly determine the deep significance of historic public figures such as O.J. Simpson, Princess Di, and \"Little Eli\u00e1n Gonzalez\"?\n\nJournalism is a noble profession and my intent is not to vilify its practitioners. Why, some of my best friends are journalists! (And of course, book reviewers are not included in this critique.) However, the notion that journalism brings to the reporting of events a magical \"objectivity\" that is somehow sacrosanct or received from a higher authority is clearly crap. Nonetheless, the net has come in for plenty of abuse from such defenders of the purportedly privileged relationship the press has with its various audiences. More various than it cares to admit. _The San Jose Merc_ 's Jay T. Harris is hardly an isolated example; there are plenty like him. First, such guardians of the public good ignored the Internet. Then they got seriously spooked by the attrition of their readerships to online alternatives. Then they pandered to \"the New Media,\" and pontificated about its impact as if they'd actually spent time on the web, which most clearly had not. Much of the mainstream media reaction to net journalism has been either violently negative or pedantically patronizing.\n\nThe news media have been on the defensive for a lot longer than the net has been around, and it has often made of the net a convenient  whipping boy for what public journalism's Jay Rosen calls \"the troubles in the press.\" Cataloguing its problems in detail would be an exhaustive undertaking, which, fortunately for us, has already been undertaken by others. A brief scan of the titles of a handful of books on the subject tells a tale that can't credibly be pinned on the Internet: _Uncertain Guardians: The News Media as a Political Institution_ ; _Unreliable Sources: A Guide to Detecting Bias in News Media_ ; _Rich Media, Poor Democracy: Communication Politics in Dubious Times_ ; _Republic of Denial: Press, Politics and Public Life_ ; _When MBAs Rule the Newsroom_ ; _The Control Room: How Television Calls the Shots in Presidential Elections_ ; _Media Circus: The Trouble with America's Newspapers_ ; and a book by James Fallows that _really_ pissed off a lot of publishers, _Breaking the News: How the Media Undermine American Democracy_. The list could go on. And does. But we should trust established media and distrust voices from the net. Maybe I need to have this explained to me again. I don't get it.\n\nIn many respects, the press has itself to thank for the outpouring of public discourse on the Internet. People came to the net in droves (a drove representing roughly ten million souls) and responded with enormous enthusiasm to anything _different_ from the bland and boring fare they'd been force fed for so long by broadcast journalism. Who created this audience? In many ways, mainstream media did. As Frank Zappa once remarked (at rather high volume), \"Do you love it? Do you hate it? There it is the way you made it.\" This was on the album _Absolutely Free_. And freedom is the issue here. Not as in the problem, but as in the result. We may not be able to say with much certainty what the ultimate \"objective\" truth about the world is, but on the Internet we've given ourselves and each other an increasing measure of liberty to say what it feels like to be living in whatever version of this world we can manage\u2014the freedom, in fact, to say whatever comes into our heads. Inevitably, this horrifies the self-appointed arbiters of taste and the elite interpreters of what is good and real. So what? Freedom is _not_ just another word for nothing left to lose. Freedom is wild in the litany of senses Gary Snyder enumerated, one of which was \"far out,\" if you recall. The web is not a definitive history or a map of  the stable reality so many seem to long for. The web is a non-stop planet-spanning celebration. And we ain't goin' back in the box.\n\nThe box being \"objectivity,\" of course, which implies accepting the idea that someone else, someone \"well placed,\" some \"credible informant,\" some unnamed and faceless source close to the president (whether of the country or the corporation), will speak to us, channeled through some official interpreter, and tell us how it is. Hey, don't you know anything? Turn on your radio and listen to the rap that Tipper Gore and her ilk have taken such pains to label offensive\u2014and that will get more offensive the more it's so labeled. Turn on your web browser and your email client and your MP3 player. Listen. _There's_ the news that didn't fit. _That's_ the way it is _,_ Walter. And it ain't goin' back in the box. Baby.\n\nDemocracy would be a lot easier to buy if it weren't for the free speech addendum. And democracy is still a highly tentative experiment. There are plenty who feel we'd be better off if we had just the true stuff. The real stuff. The official version. Then everyone would know what was going on. Only problem is, this is called fascism. If not for the Internet, we might already be there. But even before the net\u2014yes, kids, it's true, this stuff goes way back\u2014there were people who didn't give a flying fuck about the official version. Artists, they're sometimes called.\n\nSeen in historical context, gonzo journalism continues a long tradition of highly unofficial chroniclers, writers whose take on the world offended popes and kings and even commoners, their tastes attenuated to a hot-house frailty that suited the refined and elevated sensibilities of their betters. Take another look at literature. At the nasty bits of Ovid, Chaucer and Boccaccio, Rabelais. At Cervantes, Voltaire and Jonathan Swift, Lewis Carroll, Charles Dickens. At Thomas Paine and Thomas Jefferson. At Upton Sinclair and Sinclair Lewis. At Pasternak, Solzhenitsyn, Nelson Mandela. At John Steinbeck, Henry Miller, Kurt Vonnegut, Salman Rushdie. All these authors were censored or suppressed at one time. And that's the short list. While _The Canterbury Tales_ were first published at the end of the 14th century, none of this is ancient history. Chaucer was challenged in a 1988 court case in Florida, the initial complaint citing sexual references, vulgarity and \"the promotion of women's lib.\"  More specifically, the plaintiff objected to the use of the words \"ass\" and \"fart\" in The Miller's Tale. Today, one suspects this individual has probably not availed his family of the rich resources the Internet provides. The Alta Vista search engine returns 76,095 hits for the query term \"fart.\" Google returns 173,000. See, for instance\u2014offered in the spirit of social commentary on such censorship\u2014the interactive audio permutations on this theme at www.createafart.com.\n\nWhile gonzo journalism is in good company with respect to its disrespect for normative social strictures, it cares deeply about the \"objectivity\" debate. In his acid-tongued (and -headed) obituary for Richard Nixon, Hunter Thompson says Nixon's casket should have been \"launched into one of those open-sewage canals that empty into the ocean just south of Los Angeles\" and that \"his body should have been burned in a trash bin.\" It seems fair to say that Thompson was not terribly fond of this particular president, calling him many vile and terrible names.\n\nSome people will say that words like _scum_ and _rotten_ are wrong for Objective Journalism\u2014which is true, but they miss the point. It was the built-in blind spots of the Objective rules and dogma that allowed Nixon to slither into the White House in the first place. He looked so good on paper that you could almost vote for him sight unseen. He seemed so all-American, so much like Horatio Alger, that he was able to slip through the cracks of Objective Journalism. You had to get Subjective to see Nixon clearly, and the shock of recognition was often painful.\n\nPolitics aside, the gonzo turn was a crucially important response to the notion that, to be \"legitimate,\" journalism had to be distanced from personal perspective, that it had to be cool, impartial and detached. That it had to be everything, in other words, that the net is not.\n\n#  **Getting Subjective**\n\nWhile worlds apart in many respects, social marketing and public journalism share a desire to get closer to audiences than was possible with mass media broadcast techniques. They also raise deep issues  of motivation and credibility. Who is seeking to engage our attention, and why? Who can we believe? Both also deal with relevance and interest as determined by audiences themselves, bottom-up, rather than being predetermined top-down by publishers and media conglomerates. Public journalists ask their readerships what issues are important to _them_ , irrespective of Gallup and CNN polls. Social marketers speak of participatory communication in which the values and beliefs of the audience are considered from the outset.\n\nThe corporate appetite for cause marketing runs headlong into the law of diminishing returns. Companies use a mass marketing metric in determining the appeal of such causes. AIDS is good, for instance. Lots of upscale youth market pull. Arthritis, on the other hand, is far less sexy. Though many more people may feel its effects, a) it is not fatal\u2014critical to establishing deep empathy\u2014and b) it does not target the bloated belly-of-the-bell-curve demographic that broadcast aims to reach. As more companies graze their products on the pastures of our civic concern, that concern is proportionally diminished. The tragedy of the commons is inevitably repeated when our attention to the public sphere is attenuated by too many profit-driven appeals to the common good.\n\nThe gonzo approach of a Thompson or a Toscani strikes me as much more intrinsically interesting than the earnest exhortations of the public journalists, even though their intent can easily be made to look more thoughtful and serious. I mean, who's going to dis democracy? But the paradox is that by taking on the role of guardian of democracy, public journalism risks a higher-order public paternalism. And in this it looks not a lot different from the attitudes of mainstream media. The charge of \"advocacy\" has never carried more weight than it does in the following gonzo critique by America's foremost sociologist and culture critic. I'm referring of course to Dave Barry. In his first work of fiction, _Big Trouble\u2014_ called out on the cover as \"an actual novel by Dave Barry\"\u2014he describes the frustration of a journalist whose newspaper management wants him to write articles that, he believes in his heart, nobody wants to read:\n\nThey preferred issues stories, which were dense wads of facts, written by committees, running in five or six parts under some title  that usually had the word \"crisis\" in it, like \"Families in Crisis,\" \"Crisis in Our Schools,\" \"The Coming Water Crisis,\" et cetera. These series, which were heavily promoted and often won journalism contests, were commonly referred to in the newsroom as \"megaturds.\" But the honchos loved them. Advocacy journalism, it was called. It was the hot trend in the newspaper business. Making a difference! Connecting with the readers\n\nBarry's character resolves this plot conflict by putting his foot through his managing editor's computer screen. The author comments laconically: \"He'd burned a bridge there.\" Perhaps relevant to our current cogitations, the guy ends up doing advertising and PR.\n\nNoam Chomsky is a very different sort of thinker. Unlike Dave Barry, very few have ever accused him of being funny. But while humor is a powerful weapon, there are more serious charges to be laid at the door of the press than its inability to entertain. In _Manufacturing Consent: The Political Economy of the Mass Media_ , authors Herman and Chomsky write:\n\n. . . the democratic postulate is that the media are independent and committed to discovering and reporting the truth, and that they do not merely reflect the world as powerful groups wish it to be perceived. Leaders of the media claim that their news choices rest on unbiased professional and objective criteria. . . . If, however, the powerful are able to fix the premises of discourse, to decide what the general populace is allowed to see, hear, and think about, and to \"manage\" public opinion by regular propaganda campaigns, the standard view of how the system works is at serious odds with reality.\n\nThis is also a reality that public journalism sidesteps no less than the traditional press. Public journalism is nothing more than a na\u00efvely optimistic band-aid if it assumes that its audience-driven agenda will not run into headlong conflict with the powerful corporate interests that own or control an overwhelming share of conventional (i.e., non-Internet) media. And this is not an oh-by-the-way observation. It represents a crucial and defining factor in the options that will be available\u2014or not\u2014to any form of future journalism.  We should care about this, as one of those options involves the continuance or termination of a free and open society.\n\nThe challenges faced by social marketing and public journalism stem largely from the institutional dimension of both: the institution of corporate advertising, the institution of the press as it is currently constituted. If the attempt to hew to these old models is removed from the equation, many \"problems\" of credibility and objectivity disappear. Much hand wringing about these matters represents a last-ditch effort to preserve Big-A Advertising or Big-J Journalism at all costs.\n\nBut Internet audiences don't care about saving these institutions. They may care a lot about preserving \"a free press.\" But that concern doesn't map to GE, Viacom, Disney, Bertelsmann, Time Warner\/AOL or News Corp\u2014the six companies that basically own global media today. Net audiences want information that's relevant, credible and engaging. If those criteria are met\u2014contrary to the esoteric brand cabalism of mass media empires\u2014they don't much care where it comes from. Given that many web sites are overt acts of passionate advocacy journalism, companies need to find a way to underwrite the best of breed without expecting to own them, control them or otherwise influence their independent editorial perspective. And there is a way\u2014surprisingly simple and sane\u2014for companies to do just that. We'll soon be exploring this alternative: the gonzo model.\n\nThis is not to say I don't care about the quality of journalism or the press as it exists today. I value the press. I hope it gets better. And it will\u2014to compete with thousands of new voices percolating up from the nether regions of the net. If it can't compete, whether for economic or journalistic reasons, I don't think any amount of civic concern will bail it out. I'd join in thinking such an eventuality was tragic if I didn't believe that at least some of the new voices coming from the bottom up won't be as good as anything we've seen from journalism so far. And they won't need \"the media\" as it exists today in order to survive.\n\nAt the end of his book, _Deciding What's News: A Case Study of CBS Evening News, NBC Nightly News, Newsweek and Time_ , sociologist Herbert Gans proposed something he called \"multiperspectival  news.\" It would be bottom-up, he said, not top-down like traditional broadcast media. \"For example,\" he wrote, news about Federal (and corporate) policies would \"be accompanied by reactions not just from high officials, but from citizens in various walks of life who would be affected by these policies.\" This sounds very much like the agenda of public journalism, though Gans was writing in 1979, at least a decade before that initiative began. Multiperspectival news would also include what Gans calls \"subcultural programming,\" content created to satisfy a broad and heterogeneous array of \"taste cultures\"\u2014audiences having distinct shared aesthetic values and standards. Unfortunately, this increased coverage would also require many more delivery channels than existed at the beginning of the '80s, so it seemed wildly impractical.\n\nWho knew then that the web was on the way?\n**CHAPTER 6**\n\n**From Micromedia to Micromarkets**\n\n_\"The prevalence of mass marketing has obscured the fact that for centuries consumers were served as individuals.\"_\n\n-ARMSTRONG AND KOTLER, _MARKETING: AN INTRODUCTION_ 1\n\n**OVER THE LAST SEVERAL DECADES, NEWS, INFORMATION AND ENTERTAINMENT** have come to be controlled by a rapidly conglomerating collection of corporate media empires. When Ben Bagdikian wrote _The Media Monopoly_ in 1983, 50 firms dominated U.S. media. By the second edition, the number had shrunk to 29; by the third, 23; by the fourth, 14; by the fifth, 10. The sixth edition, published in 2000, lists only six companies that together control the vast majority of journalism that Americans see and hear\u2014news and information that also colors and shapes, if not defines, what the rest of the world believes about itself. The Big Six are General Electric, Viacom, Disney, Bertelsmann, Time Warner\/AOL and Rupert Murdoch's News Corporation.\n\nAt the end of January 2001, the Walt Disney Company announced it was deep-sixing its Internet portal site, Go.com. Where were _you_ when the news came? I'm sure we all shed a silent tear. _The New York Times_ quoted Disney CEO Michael Eisner as saying the company would \"refocus its efforts on the web sites related to its broadcast  and entertainment brands.\" Disney decided on the move because \"the advertising community has lost faith in the Internet and specifically in portals,\" according to Eisner, who reported that the future of the Internet is\u2014now here's a surprise\u2014\"interactive television and pay-per-view.\"\n\nThis story is a classic. We got brands, we got broadcast, we got tee-vee. Who was it said, \"What else _is_ there?\" We even got lost faith and redemption. You gotta love the way these guys talk. But listen, can we, like, refocus our efforts on reality for just a second? Complaining that the Internet fails as a mass medium for broadcast advertising is like being disappointed that a BMW makes a lousy tractor. \"That's right, Farmer Bill, the damn thing keeps getting stuck between the furrows. Hell, Ol' Bessie never useta get stuck!\"\n\n_Motley Fool_ noted a number of factors working against Go.com, not least of which was \"the questionable idea of creating an umbrella site for an in-house family of brands, no matter how individually strong those brands may be.\" The article mentions that, relying on essentially the same strategy, \"Time Warner's Pathfinder, a pioneering online newsstand for Time Inc. magazines, had already been through several failed incarnations by the time plans for Go.com were being hatched.\" Being kinder than I, the author does not emphasize the obvious: that _it's not like those failures were exactly a big secret at the time_. Why is it that we all remember the bit about the pain in the dinosaur's tail taking so long to get to the dinosaur's brain? It must be one of them Jungian archetype things.\n\nThe truth is, the net takes to advertising the way fish take to bicycles. Search engines\u2014a de-buzzed synonym for \" _portals_ \"\u2014are a great idea, sure. People use them all the time, which is why they always rank highest in the Whopper Site Sweepstakes, the mine-is-bigger-than-yours measurements of who's going where most. In every respect that counts\u2014and there's really only one: where deep-pocket advertisers will plunk down their media-buy megabucks\u2014these metrics are indistinguishable from Nielsen ratings as applied to TV sitcoms. While considerably less amusing, the portals are a lot more efficient in delivering audience stats. And who doesn't love a pie chart?\n\n\"According to Media Metrix (December 2000), Walt Disney Internet Group's combined web sites collectively represent the eighth  largest web property, attracting more than 20 million unique visitors representing 25% of the web universe per month.\"\n\nThat's massive. But not massive enough for true King-of-the-Hill mass media players. Michael Wolff, duly infamous author of _Burn Rate_ , writes about Eisner in _New York Magazine_ , saying there are really two Eisners, one good, one bad. \"The good Michael is the no-Hollywood-jive, drooping-sock Michael, the faithful-to-his-wife Michael, the decent, goofy, puppy-dog Michael. The Michael played by Tom Hanks.\" That doesn't sound so good to me, actually, but then Wolff has never been much noted for sucking up. It gets worse, of course. \"And then there's the bad Michael: controlling, vindictive, dissembling Michael. The avaricious Disney-is-too-small-and-no-company-is-too-big-for-Michael-Eisner Michael.\"\n\nThis is not just a passing observation. The operative concern here is scale, as in \"economies of.\" We are observing a game of monster-media hubris that would make Caligula blush, played out by titanic egos risking everything\u2014going for broke as if the world were coming to an end. And it is. Their world anyway. Accompanying its story on Disney's no-Go, _The Financial Times_ ran a timeline showing that in June 2000, General Electric's NBC Internet dumped several web offerings and a month later Viacom changed its mind about launching its online MTVi music network. By January 2001, AltaVista had announced layoffs for the third time, NBC Internet and CNN had made deep staff cuts, and News Corp had decided to can its Fox internet division. All for the same reasons: audiences declining and advertisers taking a hike as a direct result.\n\nBut Internet audiences are not really declining. There are more people online than ever. They've just found better ways to spend their time. People do go to portal sites, in droves. But they go there to search for somewhere _else_ to go. Could be why Disney named it GO.com, eh? They don't go to click on banner ads. They don't go to \"interact\"\u2014at least not in the sense Eisner means when he talks about interactive TV. As I was writing this chapter, an item arrived from _Wired News_ , titled \"Placing Product Before Art.\"\n\nGame shows and advertisers have been quick to embrace interactive programming . . . But independent filmmakers at the Digital Independence  conference said the real money to be made doesn't come from creating interactive programming for sitcoms and hour-long dramas; it's in product placements similar to those seen in _The Truman Show_. . . . the founder of the first 24-hour television-shopping network . . . encouraged directors to build that product interactivity directly into films and television . . . \"Interactive television gives . . . viewers the opportunity to drill down and find out more about the products they might want.\"\n\nRight. In the big love scene, what we really want to do is mouse on the lipstick and get some hot makeup tips. We want to click on the tires in the hair-raising car chase. \"Honey, wouldn't those look great on the SUV?\" And she says, \"You touch that remote, Frank, it's over. I mean it.\"\n\nSince the mid-'90s, the topic of \"interactive media\" has been the focus of innumerable articles in the popular press. But most of these have looked at the phenomenon through a mass-media lens, with \"interactivity\" reduced to advertising links and \"Buy It\" buttons. At base, however, the Internet is a _publishing_ medium, allowing individuals to express views, opinions and perspectives in a way that was never possible before its arrival. \"Freedom of the press,\" wrote A. J. Liebling in 1960, \"is guaranteed only to those who own one.\" His witticism has taken on a double irony today, as the Internet and World Wide Web have in fact reduced the cost of owning one by orders of magnitude.\n\nThe barriers to entry are lower in this medium than in any that preceded it. The net has given writers, artists, musicians, hackers and other creative defectors from the homogenized wasteland of mass media a place to express themselves. These expressions are not uniformly compelling, to be sure\u2014many are godawful by conventional standards. But their worth is not determined by conventional standards. That is to say, it is not determined by the expectations of media conglomerates bent on appealing to the lowest common denominator and therefore, by the inexorable and inflexible logic of broadcast, to the largest possible collection of passive ad receivers. In contrast, these network-mediated communications are valuable to whatever degree they can draw an audience, be it two or two million. They are valued by whomever comes back.\n\nThe Internet is still young. Very young. But people have already learned to use the search engines and all the nifty little bookmarking doo-dads. They've learned to use email. They've learned what they like, and they've told their pals. No wonder traffic passing through ad-infested portal sites is down. What they like is not advertising. It's voice. Websites that have genuine voice are where people are beginning to congregate online, where they _do_ hang out. Not in the huge aggregations demanded by traditional media-cum-marketing expectations, but in pockets, in ecological niches too small to attract the notice of the Eisners and the Murdochs. However, the size of these audiences is directly proportional to the perceived quality of the voice that attracts them and the cogency of what it has to say, whether the delivery vector is a word processor, an overdriven guitar amp, or a can of spray paint. An entirely new class of micromarkets\u2014small, but growing fast\u2014are forming around such micromedia sites today.\n\n#  **Micromedia**\n\nBecause entry costs require high returns on investment, broadcast media rarely offer emergent voices a hearing. The Internet reverses this trend, providing many low-cost vectors for small-scale publishing\u2014micromedia, as opposed to mass media. Low-budget bottom-feeder webzines don't worry much about size of readership. With little investment at risk, the primary motive is personal gratification, seldom profit, and the style of such publishing is therefore often quirky and experimental. If there's an audience that clicks with the material, _that's_ the market\u2014and it shows up via word of mouth. The process works bottom-up, by attraction, not top-down by intrusive demographic targeting.\n\nA handful of webzines such as _Salon_ and _Feed_ are professionally produced, including the work of many journalists. They emulate the \"controlled circulation\" model of offline publications wherein subscription is free, with costs and profits covered by advertising. These sites have had a hard go of it, as this model requires a relatively large audience. But _Salon_ and _Feed_ are exceptions. Most zines and other forms of micromedia\u2014email lists, web conferencing sites, chat boards, Usenet newsgroups\u2014typically do not have business plans,  advertisers or investors. Instead, they are independent efforts by individuals or small groups with nothing much to lose, and a possible audience to gain\n\nOne of the latest and most interesting additions to the suite of micromedia tools are weblogs\u2014simply \" _blogs_ \" to the faithful. There are a lot of faithful. Blogging exploded across the non-commercial regions of the Internet like a global pandemic\u2014the real thing, not a drummed-up marketer's dream of manifesto destiny.\n\nA weblog is a little like an online diary. Date-stamped entries are usually in the form of short observations or opinions of the moment, often including hyperlinks to news items and other web pages of interest to the author. Several startups now offer free weblog services to make such postings a piece of cake. At first glance, weblogs don't seem like anything new. Given a little effort, anyone with a text editor, an FTP client and a web page could put one together. But how much effort is too much? The requirement to write HTML would probably exclude most people right off the bat. Remember when URLs that came in email had to be cut and pasted into a web browser? Once it was possible to click directly on emailed links, the web took a huge leap forward. As Malcolm Gladwell demonstrates in _The Tipping Point_ , little things can have disproportionately large consequences. Weblogging appears to be one such wrinkle in the web today. And one thing you can count on: there will be more. Such tools will keep getting better, connecting more people entirely outside the big-media sphere of influence.\n\nDave Winer created weblogs.com to advance the phenomenon. \"A weblog is kind of a continual tour,\" he says, \"with a human guide you get to know. Each guide develops an audience, and there's camaraderie and politics between the them. They point to each other in all kinds of structures, graphs, loops, etc. They also point to the sites they read.\" If you look at a few random weblogs, you might come away thinking that they're simply another form of random link lists. In a way, they are. But they're also much more. Something profound is going on here. The incestuous linking and camaraderie Winer talks about constitutes a powerful form of bottom-up news filtration and consensus building. The best voices emerging via weblogs and other micromedia are forming the kernels around which new networked communities of interest will coalesce\u2014micromarkets  _in potentia_. The Internet has always demanded that business read between the lines. Weblogs raise the bar. Now the challenge is to read between the sites.\n\nAnd the micromedia phenomenon is growing\u2014in the number of tools available to create and support them, in the number of sites coming onstream, in number of links among them, in number of loyal fans they are attracting. How many times have you gotten email\u2014\"Trust me, you really _need_ to check this out!\"\u2014accompanied by some exceedingly strange URL like www.goatsatemywashingmachine.com. or www.sweetfancymoses.com. It might be the worst garbage you've ever seen. Or it might have you laughing so hard inside of ten seconds that you marvel once again at the inventiveness of the human species. And instantly you know your friend was right: you _did_ need that.\n\nFortunately, _Goats Ate My Washing Machine_ is not a real site. Not so fortunately, _Sweet Fancy Moses_ is. Be forewarned, you could end up wasting a lot of time on this utterly bent \"online journal of wit.\" And you're too busy for that, I know. But trust me, you really _need_ to check this out! To illustrate the point, I asked Brian Crowley if I could quote a clip from his \"Pretty Damn Good Dream Analysis.\" He agreed to this, writing back via his editor: \"And feel free to tell Mr. Locke that the author toils each day in the marketing world, so he writes from experience.\" See? These are not just a bunch of kids fooling around. These are dedicated professionals.\n\n_Dream:_ \"I am in my childhood home standing in front of the door to my bedroom, which is closed. I reach out to pull the door open, but someone inside the bedroom is holding it shut. I pull harder and harder, but the person is too strong, almost inhumanly so. After struggling with the door for many moments, I slump to the floor and catch my breath. 'Why won't you let me in?' I whisper into the door. A voice from inside the room answers, 'Because you are not ready.' I immediately recognize the other voice as my own.\"\n\n_Analysis:_ The dreamer is most likely troubled by pressures at work\u2014an upcoming financial report for stockholders, perhaps. The dreamer's inability to open the door signifies his real-life failure to make third-quarter earnings reflect a significant growth to stock-holder market shares. His ass is really on the line this time.\n\nWhat's more interesting about this piece than its high hilarity (though I think it's pretty funny) is the level of audience sophistication it depends on. The site says of itself: \"Our obsession is to build a collective work where intellect, humor, and voice come together in orgiastic triple climax.\" And this expectation has not gone unmet. Traffic to _Sweet Fancy Moses_ has done a hockey-stick ramp in the few months since a handful of writers got together and decided to launch it on the web. This is not stuff you'd be likely to encounter in the Sunday supplement of your local paper, or even in online publications with a broadcast-oriented business charter. Nonetheless, unsuspected and unpredicted by market segmentation analysis, there is a smart and avid audience emerging here. And new audiences hold the potential to become gateways to new micromarkets. This potential, however, will not be fulfilled through the usual traps and snares of traditional advertising.\n\nIn a moment of advanced procrastination\u2014of which I experienced several thousand in the course of writing this book\u2014I decided that I should explain this core principle of gonzo marketing in exhaustive detail on _Sweet Fancy Moses_ itself, thus using the site as both example and delivery vehicle. Sparing you the full scope of my self-indulgence (masochists see endnote), here's part of what I wrote there:\n\nIn general, vice presidents of marketing working in large corporations think we are morons. Takes one to know one, I guess they figure. For decades, they have been sponsoring \"content\" that fits their bell-curve-driven dreams of mass market penetration. Bend over, here comes another sitcom. They will tell you they only sponsor this sort of thing for the mindless, shuffling Thorazine-Drooler category, which however, comprises 98.74% of all Americans. Because when they ask them \"Who wants to be a millionaire?\" every hand in the house goes up. Of course, they'd get the same reaction if they said, \"Who wants to go to Arts and Crafts now?\" or \"Who needs to use the bathroom?\" But the marketeers will tell you they've conducted extensive, expensive research. They'll tell you this is what the people _want_.\n\nYeah, but look who they asked! Forming a focus group is like jury selection at the OJ trial. \"Not that one. He sneered. Swear to God, I saw his lip curl! And not the one laughing into her laptop, either.\" They never ask the smart people. They never ask us. And you know why? Because they know what we'd tell them. To stick it up their Nielsen ratings. Sure they do these multiple choice questionnaires. \"Do you like _Friends_ better than _Cheers?\"_ And maybe for the octogenarians: \"Did you like _Cheers_ better than _Mork and Mindy?\"_ But they never give you any _real_ options, like: \"If given half a chance, would you strangle Robin Williams with a length of rusted barbed wire dipped in botulism toxin?\"\n\nWhile it's a perennial favorite, black corporate humor is obviously not the only focus of such micromedia attractors. It might be artistic, a real-time performance piece in which the Zapatistas take over Mexico\u2014like www.ezln.org. Or political\u2014like www.artcrimes.com. Slashdot is a community of Linux users that hacked together a web conferencing platform that has served to connect people who share that particular interest (maniacal obsession perhaps comes closer). The Slashdot platform is open-source software, which means it can be modified by other groups with different interests. The latest site to adopt the Slash code is _Plastic,_ 14 masterminded by Joey Anuff, one of the original founders of _Suck.com_ 15\u2014spawned out of _HotWired_ \u2014and Steven Johnson, co-founder and editor of _Feed_. _Suck_ , _Feed_ and _Plastic_ have recently shut down. But their problems have little to do with content quality, and much to do with the advertising model on which they depend. The audience size of any single micromedium is minuscule compared to broadcast media. But taken together, micromedia could easily eclipse television. And soon.\n\nWhether hotshot media management types in New York and L.A. choose to believe it or not, these net-based publications are overt acts of journalism. In 1998, Jamie Heller, then executive editor of _TheStreet.com_ , wrote a piece in _The New York Times_ titled \"Online Journalism Coming Into Its Own.\" It ends: \"whatever the conventional media elite may think, online journalists might have decided that they're already arrived\u2014and are happy to stay right where they  are.\" Sounds good. Change comes to MediaLand. However, what has lent the Internet validity\u2014for Heller, as he says in the article, and many others who originally came from the print side\u2014is the immigration of known and respected members in good standing of the _legitimate_ press. This is a rather colonial perspective. A view from the Raj. Gin and tonics with the natives. A spot of hunting. \"Indjya, old man, nothing like it! Great fun. Take the missus.\"\n\nThis is not to denigrate professional journalists\u2014if their expertise is in researching issues and events and articulating their findings in\u2014as the _Miami Herald's_ Carl Hiaasen suggested\u2014a kick-ass delivery modality. As in when you go, \"Wow, that piece whomped serious butt!\" But if\u2014how should I put this?\u2014the _specialness_ of having worked in conventional media is based on the mystique of the secret \"objectivity\" handshake. . . well, we've been over this already, haven't we? Don't get me started. Don't make me have to come over there! In fact, by jettisoning (or more likely, never having thought of) such primitive beliefs about \"objective\" and emotionally disengaged reporting, many _un_ known, _un_ credentialed _non_ -pro web journalists are already doing\u2014effortlessly, unselfconsciously, without a second thought\u2014what public journalism has had so much trouble attempting to accomplish within the institutional framework of commercial broadcast, online or off. That is, these new web journalists are engaging people's real-live vital concerns and exploring issues percolating from the bottom up, not imposed top-down by polls and pundits. This is bona fide journalism, even if nobody official gives it official sanction. Badges? We don't need no steenkin badges  In _The World Wide Web and Contemporary Cultural Theory_ , Steven Jones writes:\n\nJournalism on the web is not journalism as we have known it thus far. It creates a different order of content. . . It asks us less to attend to \"the latest\" and more to attend to what we find interesting; less to synthesize and understand a \"who, what, when, where, how, and why\" and more to attend to \"what's next?\"; less about a \"them\" and more about an \"us\". . . The range of possibilities has widened: we are no longer certain of what is reported in the news, and we are much more likely to allow alternative explanations. . . It  is not so much that we do not believe what we read, see, and hear in the news as it is that we are inclined to believe that there is more . . . As Marshall McLuhan put it, \"'content' . . . is always another medium. The content of the press is literary statement, as the content of the book is speech, and the content of the movie is the novel.\" It is now more clear than ever that the content of the web is news, though not necessarily journalism.\n\nIn an article called \"The Dotcom Brain Drain,\" _The American Journalism Review_ reported that a surprising number of reporters are abandoning print publications to write on the web. \"Web sites are basically about conveying information in engaging ways,\" says veteran journalist Nick Denton, adding: \"That's what journalists do.\" And that's what Denton did. For eight years, he wrote for _The Economist_ and _The Financial Times_. Then in 1998 he founded Moreover.com, which delivers news stories from thousands of sources to websites across the planet. \"Traditional Internet technology leaves a significant blind spot around dynamic content,\" says Moreover.com. \"Information that changes quickly is either omitted or delivered too late to be useful.\"\n\n_The New York Times_ writes about the company in \"Mining the 'Deep web' With Sharper Shovels,\" noting that only a tiny fraction of the estimated 500 billion \"pieces of content\" on the net are visible to conventional search engines. The clich\u00e9 has it that 99% of this stuff is junk. But the clich\u00e9 reflects the primary bias of broadcast media. It's \"junk\" only because the people who want to find it don't aggregate into large enough segments to constitute sufficiently lucrative advertising targets. It's \"worthless\" only because media moguls like Michael Eisner and Rupert Murdoch can't figure out how to make a buck off it. Randall Rothenberg frames the problem neatly in _Advertising Age_ :\n\n. . . while the Internet destroys many existing economic models, it doesn't necessarily replace them with something equally viable. I've written about the radio's problem: with universal broadband penetration, the individual listener has access to thousands of stations, serving every niche interest imaginable. With any 17-year-old with a handful of MP3s and some time on his hands able to have  his own global network, the value of brick-and-mortar stations, which has skyrocketed in recent years as conglomerates tried to assemble national networks, erodes. How do you rebuild\u2014or sell advertising within\u2014an industry composed of a kazillion stations, each with a handful of listeners?\n\nAnd he answers his own question: \"Damned if I know.\" At least he's honest. But the real problem lies in automatic assumptions of how to parse \"equally viable\"\u2014usually construed to mean something you can sell advertising in, around, about, over, under, sideways, down. But many \"insignificant\" niches can add up to a lot of people. _The Times_ \"Deep Web\" story reports that in December 2000, some 340,000 people hit the Moreover site, adding \"and that is without any consumer marketing from the company.\" Advertising isn't the only way to make a buck. Moreover is both giving away its service to smaller independent web sites, which spread awareness of the company and its tools, while licensing its core engine to major corporations, where it's being used to assemble and annotate distributed topical knowledge bases on the fly.\n\nSo far, most of the news stories served by moreover.com come from traditional publishers: newspapers, the financial press, big-media web sites. But that's changing fast. The company has partnered with Blogger, an explosively expanding online startup that produces software for creating and maintaining personal weblogs. The result is newsblogger.com, which not only lets small sites publish links to late-breaking news stories, but lets editors at those sites add their own commentary. This constitutes something completely new in the world, a form of populist meta-journalism. The commentary is often sophisticated media criticism\u2014noticing how the publication plays up certain aspects of a story and plays down others. For an example of such media criticism, you really _need_ to go check out _Online Journalism Review_. It's not a weblog, it's a website, but here the point is not the mechanism, but how these tools are being used to comment and expand on mainstream news, to which people previously had no way to respond outside of token letters to the editor. In a similar (though non-populist) vein, _Slate_ 's excellent Daily Papers feature is worth looking at. This email-cum-web column is teaching many  thousands how to read and deconstruct the deep rhetoric of newspaper layout decisions, such as the significance of how an article is placed on or absent from Page One at publications like _The Wall Street Journal_ , _The Washington Post_ and _The New York Times_. Such unprecedented and fast-growing popular sophistication with respect to media is a direct result of the net.\n\nBut back to blogs. Because moreover.com also indexes an increasing number of small indie weblogs, things are starting to get recursively tangled beyond all recognition out there. It's getting hard to tell who's \"in the business\" and who's doing it for love. \"ALL THE NEWS THAT'S FIT TO BLOG\" reads the motto on the newsblogger site. \"What could be more intuitive than a list of chronological, commented links?\" asks a piece in _digitalMASS_ about Moreover's offbeat alliance. \"It's only natural that a company like Blogger would be helping publish blogs with names like Deadman and Brainsluice alongside corporate news services.\"\n\nOn Tom Peters' web site, Tom or someone near and dear to him explains weblogs and their significance. \"A lot of people keep online 'blogs'\u2014or 'weblogs'\u2014as personal journals, or just as a running series of observations about anything under the sun. We've created a series of blogs in order to make a running commentary of neat, weird, or odd ideas that have to do with corporate culture, work, online commerce, or a variety of other topics.\" Thus a phenomenon that grew bottom-up out of the deep, invisible web wins endorsement from the world's numero uno business consultant. Hands have been laid on. Yeah, it's dangerous, out of control. Yeah, it trashes all sorts of sacred-cow boundaries. But it's cool to like this stuff. Tom Peters turns serious webhead. I love it.\n\nThe stars of this new medium are just now emerging. Don't think Matt Drudge, think Walter Cronkite. Individually, their audiences will be much smaller than those of today's mass-market broadcast channels, but taken together, the total audience will be much larger. Within a few years, many thousands of quality news, entertainment and information sources will spring up on the Internet to serve highly specific communities of interest. These micromedia sites will constitute an increasingly important vector for electronic commerce, serving as possible points of entry into a huge collection of web micromarkets.\n\n#  **Micromarkets**\n\nMicrosoft's _Slate_ represents an interesting modification of the strictly advertising-based webzine model: corporate underwriting. The company owns the site and pays the considerable costs of producing it. But this begs the age-old journalistic question of influence\u2014the separation of powers (or lack thereof) between editorial and business interests. How credible is _Slate_ in reporting on the Microsoft antitrust case? Ownership isn't everything. In cases like this, it can be an impediment. What if, instead of launching _Slate_ itself, Microsoft had bankrolled an indie zine with proven editorial appeal, then adopted an ironclad hands-off policy with respect to content? If corporations underwrote externally produced webzines and were careful to preserve site independence, the resulting sites could be far more credible attractors than are most current corporate web pages. This sort of enlightened patronage first appeared in the Renaissance when the Medici banking family supported artists like Botticelli, Michelangelo and Leonardo da Vinci. Strangely perhaps, it could work again today, financially rewarding quality site producers and enabling companies to better connect with nascent web micromarkets.\n\nBut these are hints of things soon to come\u2014both in the next chapter and the near future. At present, micromarkets don't yet exist. Micromedia do exist, and are growing rapidly. Audiences are coming together around these new bottom-up sources of news and views. But these audiences will not become markets until business finds a viable way to interact with them. Markets exist only in the eye of the beholder\u2014this is the view from the world of commerce. If business doesn't learn how to behold online markets\u2014doesn't come to perceive them for what they really are\u2014these markets will _never_ come into being as such. Like any market, micromarkets are relational affairs. They do not exist independent of their observers in quite the same way as shoes and ships and sealing wax. This may seem an abstruse philosophical point, but it has critical ramifications for business, so pay close attention here. People in the microaudiences coalescing around micromedia do not think of themselves as micromarkets. _They think of themselves as people._\n\nThis is perhaps the greatest shift in the balance of power between companies and what they have viewed until now as \"consumers\"\u2014people whose only function was to buy products. The net has helped human beings to rediscover other, and often more interesting, uses for their humanity. Because of this shift in perspective\u2014which has caused online markets to radically realign priorities and allegiances\u2014business needs to be especially wary of using old broadcast terminology as if it still applied in familiar ways. \"It looks like a medium, so it must be like television.\" Or \"I see a lot of eyeballs out there, so it must be a branding opportunity.\" Just because some of the words sound the same doesn't mean they describe the same realities. In _Principles of Marketing,_ Philip Kotler and Gary Armstrong talk about _micromarketing_ in the following terms:\n\nSegment and niche marketers tailor their offers and marketing programs to meet the needs of various market segments. At the same time, however, they do not customize their offers to each individual customer. Thus, segment marketing and niche marketing fall between the extremes of mass marketing and micromarketing. Micromarketing is the practice of tailoring products and marketing programs to suit the tastes of specific individuals and locations. Micromarketing includes local marketing and individual marketing.\n\nWhat they mean by _local marketing_ is street-level GPS coordinated with point-of-sale data. Real sophisticated. Real complex. Real spooky. I don't mean that. What they mean by _individual marketing_ is mass customization, one-to-one stuff, \"personalization.\" I don't mean that either. In fact, I don't talk about \"micromarketing\" at all. Or marketing _to_ anybody, for that matter. That's still the whole targeting trip. Ready, aim, _sell!_ Instead, I talk about _gonzo_ marketing _for_ and _with_ micromarkets. As used in this book, \" _micromarkets_ \" are not hash-browned or refried databases. Neither are they individuals, so-called \"markets of one.\" Instead, they're genuinely _social_ social groupings. Little ones perhaps, at first, but they're collections of people, communities joined by shared interests. And (this part is probably important too) they're groups you actually _belong_ to, that you _interact_ with\u2014not by punching buttons and entering your zip code, but by exposing something real about who you are.\n\nThis kind of interaction\u2014unlike Michael Eisner's variety\u2014applies to _everyone_ who wishes to be part of the community. Even businesses. Companies that want to relate to these communities as markets, must first become active participants. No more remote-control media buys. No more painting bull's-eyes on the backs of abstract demographic segments. So maybe this is a good time to let you in on a little wrinkle in the unified revised standard theory\u2014gonzo marketing isn't really marketing at all. It's market advocacy.\n\nOn the net, advertising works against itself. Because it relies on scattergun tactics guaranteed to repel more attention than it attracts, it needs as large an audience as possible. If only 2 percent of the audience will even register an ad, much less act on it, the advertising model needs sites 50 times larger than sites in which everyone is paying attention. However, sites that much larger cost that much more. Therefore they must be even bigger to cover costs and bring in more eyeballs to satisfy more advertisers so more people will buy their products more often. It's a rat race. Critically, this never ending upward spiral directly degrades the quality of content. To attract a larger audience, content must be less challenging, more popular\u2014less focused on specific interests, more broadly appealing. In other words, more generic. And because every other site with mass media pretensions is offering the same kind of generic information, it becomes a commodity, readily available in so many places that no one site can attract a critical mass in terms of audience share. This may have been OK for early TV, where the audience was captive and all the broadcast networks offered essentially the same fare. And by God, anyone who didn't like it could move to Russia! But on the web, it's not so OK. We don't have to move anything but our index fingers. Click. We weren't looking for commodity information anyway. We were looking for voice.\n\nMeeting market expectations is a way for a business to be predictable, yes, granted. It's also a way to be _boring as hell_. Some will be tempted to argue here that at least it's safe. Don't. It's not safe. Boring is dangerous. Boring communicates that you have no guts, no heart, no soul. Conventional market research offers black-and-white certainty\u2014or at least insinuates that it can provide powerful predictors  of future market directions. Let's take a look at how this works. Say Nirvana hits big in Seattle, and OK so your big-assed record company missed it, but you pick up on the trend right away\u2014and sign a thousand mediocre grunge bands. If Apple makes a sort of blue computer housing and it catches on because every other computer ever made was that puky off-ivory, then hey, you make yours sort of chartreuse. If everyone suddenly wants to be a millionaire, you launch a game show where the contestants get a wheelbarrow, a truss, and 10-minute pass to Fort Knox. Your time-slot competitor hits you with brilliantly creative programming about people stranded on a desert island with no sex? No problem. You strike back with strongly competitive programming about people stranded on a desert island with lots of sex and rabid half-starved monitor lizards. See? Difference is minimized. Expectations preserved.\n\nOnly by then, your market's gone. Your audience has long since split.\n\nThe Internet is entirely different. It's not an opportunity for viral marketing. We _are_ a virus and we want to multiply. We _are_ the audience. We _are_ the market. We are in it and of it. This is not just our \"positioning,\" it's our position. And we won't recant or renege or back down. Where would we go? What else _is_ there? This is market advocacy. This is gonzo marketing. You don't have to be nuts, but it helps to have been there. Because when you get personal with so many people, you begin to get stretched, to blur at the edges. You don't define your product\u2014you discover who you are. Prepare for deep existential terror at times. And, if you really connect, for the rush of your life.\n\nLet's turn to Kotler and Andreason one last time. These guys are all right if you overlook their proclivity to prepend \"target\" to \"audience.\"\n\nMarketers who constantly keep attuned to their target audience are confronted again and again by the market's diversity. As a consequence, they assume markets almost always must be segmented with strategies fine-tuned to the needs and wants of each subpopulation. Closeness to consumers also leads to recognition that _traditional demographic approaches are seldom adequate_ to capture the rich diversity in target audience's needs, wants, life-styles, perceptions, and preferences.\n\nWithin a few years, thousands of quality news, entertainment and information sources will spring up on the Internet, each serving a highly specific community of interest. Around many of these micromedia, a web of intercommunicating micromarkets will emerge in a band of spectrum invisible to conventional marketing. The stars of this new medium are just now emerging. Don't think Dan Rather, think Chaucer, Cervantes. Think Dante. Don't think Jerry Springer, think Rabelais and Shakespeare. Don't think George W., think Winston C. Don't think Oprah, think the Oracle at Delphi. Human beings have always discovered magic and magnificence within themselves. It wasn't created by media marketeers\u2014they just saw an opportunity to make a killing. The magic was there all along. It still is.\n**CHAPTER 7**\n\n**The Gonzo Model**\n\n_\"As the chief and only true gonzo, Thompson, in his famous 'Fear and Loathing' reportage for_ Rolling Stone _magazine, wasn't just a passive observer but played his own freaked-out part as unofficial Tom O'Bedlam to the events he covered.\"_\n\n_-THE OXFORD ENGLISH DICTIONARY_ QUOTING _NEWSWEEK_ 1\n\n_\"Orr was crazy and could be grounded. All he had to do was ask; and as soon as he did, he would no longer be crazy and would have to fly more missions.\"_\n\n-JOSEPH HELLER, _CATCH-22_\n\n**THOUGH MANY READERS MAY SKIP TO THIS CHAPTER FIRST, ITS LOGIC** will probably be perplexing without the circuitous route that leads to the gonzo model being proposed here. That route is not defined by the previous chapters in this book, but by the history of business in the 20th century. Let's briefly recap the essential elements. Mass production and its attendant economies of scale typified business for most of the past 100 years. Because this mode of production was so enormously successful, it has continued to shape and color the conduct of business even long past the ascendancy of the industrial model out of which it grew. Perhaps the major reason for this long and painful hangover is the persistence of mass media, which were spawned in response to the needs of business as critical vectors to mass markets. Like the management of large industrial corporations with many thousands of workers and millions of customers, broadcast advertising partakes of the same top-down style of command  and control. Both employees and customers were told what to do\u2014whether to work hard or shop hard\u2014but not asked in any substantive way for their input or opinions.\n\nThis basic mass marketing-mass media scenario was already changing in fundamental ways long before the advent of the Internet. Because of the vastly expanded range of products and services that became available through global competition once mass markets began to fragment into many segments and niches. The same competition brought enormous pressure to bear on companies, forcing them to turn to their entire workforce in search of process improvements and new product ideas. Though loudly proclaimed by many companies, the \"empowerment\" of workers to contribute such insights\u2014as though this were a \"privilege\" granted thanks to corporate largesse\u2014has done little to change the inherently authoritarian nature of management. Command and control remains the order of the day. And the same is true with respect to markets. Through there is much talk these days about the empowerment of the customer, companies still communicate their demands by broadcasting them to demographically determined abstractions about which they know very little, and with which they have little in the way of genuine relationships.\n\nThe coming of the Internet has greatly accelerated these trends. While the net did not cause these long-term shifts, it has catalyzed a much faster evolution of business than would have been possible without global networks. This change in the speed of business has also produced a change in the _kind_ of business that will be viable from this point forward. With the reality of interconnected audiences and markets, something fundamental has changed in the world, and the world continues to change as a result. The catalyst has triggered an irreversible chain reaction.\n\nHowever, both mainstream media and corporate marketing are blind to these changes inasmuch as they continue to rely on deep-seated yet tacit assumptions attaching to the pre-Internet broadcast model. The strategy of the ostrich notwithstanding, blindness never offers protection, only higher\u2014since unacknowledged\u2014risk. Four decades ago, one of best minds in marketing, Theodore Levitt, wrote about the catastrophic impact of a similar blindness on an earlier business era.\n\nEven after the advent of automobiles, trucks and airplanes, the railroad tycoons remained imperturbably self-confident. If you had told them 60 years before that in 30 years they would be flat on their backs, broke, and pleading for government subsidies, they would have thought you totally demented. Such a future was simply not considered possible. It was not even a discussable subject, or an askable question, or a matter which any sane person would consider worth speculating about.\n\nUsing only slightly different language, anyone daring to challenge the \"obvious\" and unshakable supremacy of the railroad barons would have been considered gonzo. Whacko. A nutcase. Today, anyone failing to genuflect to the similarly \"obvious\" and unassailable hegemony of AOL\/Time Warner, Disney, News Corp and other such media empires is also thought to be demented, deranged\u2014or perhaps just hopelessly ignorant and na\u00efve. But these Masters of the Mediaverse betray a confidence just as blind as that of the railroad companies a century ago. And they don't have 60 years, or 30, to figure it out. They don't even have three.\n\nSo what happens if the great \"iron horses\" of broadcast are about to encounter the media equivalent of the automobile and the airplane? What if their millions of miles of inflexible track, laid at such great cost, are about to be made superfluous by alternate routes appearing out of a dimension invisible to the imperturbably self-confident chieftains of these great conglomerates? But \"what if\" has nothing to do with it. These eventualities are not forthcoming; they've already materialized. A quick change of transportation metaphors is now called for, from railroads to shipping, because however cleverly Michael Eisner, Rupert Murdoch, Steve Case and the rest of these broadband tycoons rearrange the deck chairs on their respective _Titanic_ s, an even more titanic iceberg with their names carved into it has already calved off some remote Arctic ice shelf and is inexorably drifting their way. That iceberg, of course, is the Internet. If a just God grants my fervent prayer that I may be the James Cameron of their fateful rendezvous, my heart will go on and on. Film crews are standing by on seven continents. The revolution will be streamed in MPEG.\n\nAnd what will happen to business then? What will happen if companies are left with no way to advertise? But this is the wrong question entirely. Companies don't give a damn about advertising\u2014any more than they did about railroads. What they cared about 100 years ago was getting goods to market by whatever means was most effective. What they care about today is connecting with potential customers by whatever means is most effective. In the pre-Internet days, when broadcast was the only way to accomplish that\u2014the transcontinental railway of marketing\u2014advertising was a foregone conclusion. But advertising is not only exorbitantly expensive, it's a ridiculously inefficient means of attempting to reach and form productive relationships with an increasingly fragmented array of networked markets. Many of these markets are just now emerging bottom-up from the web, and are completely invisible to the traditional analytic tools of market research.\n\nThese micromarkets are forming around micromedia, myriad small online publications that are beginning to attract millions beneath the notice (and contempt) of convention marketing radar, and which _could_ \u2014given a framework radically different from broadcast advertising\u2014serve to mediate between companies and potential customers. This framework is what the gonzo model aims to provide.\n\n#  **Implementing the Program**\n\nThe balance of this chapter describes how, by adopting this model, companies can open up to new markets in ways that are smarter, friendlier and far more effective than outmoded legacy marketing methods\u2014the unnecessary baggage business has so far brought to the Internet. If you skipped over Chapter 1, pretend _this is a hypertext link_. Before you read on, go back and scan the section about what Ford Motor Company is up to\u2014\"Ripping Out the Wall\"\u2014and the speculative \"Preview of the Gonzo Model.\" We're about to delve into the nuts and bolts. Without the contextual connections those previous bits provide\u2014the conceptual bolts\u2014the following may strike you as merely nuts.\n\n##  _**Motivation and Resources**_\n\nParadoxically perhaps, there are several reasons why Global 1000 corporations may have the best advantage in the early stages of the transition from traditional marketing to more intimate micromarket relationships. This does not mean that smaller companies are excluded from adopting this model, or that they would reap less benefit. It's just to suggest that very large companies may well be first in to the pool (last one's a rotten investment).\n\nFirst, these companies are most dependent on broadcast advertising, and therefore most at risk from its failure to port from conventional media to the Internet. While most are unaware of the reasons for this failure, many are exploring other avenues to reach networked markets. Given the near-religious fervor with which some of these companies have responded to approaches like permission marketing, this exploration often telegraphs to markets a counterproductive aura of desperation. These companies are ready for something different, but they're not quite sure what it is. The old broadcast model does not offer much help in assessing why one method is more likely to work, or fail, than another. Or worse, it leads to false predictions. This has caused much costly thrashing\u2014companies going overboard for flavor-of-the-moment nostrums such as \"push,\" \"personalization\" and \"permission,\" which turn out to have the half-life of late-August fireflies.\n\nSecond, these companies are currently spending prodigious sums on adverting\u2014in both offline media and on the more broadcast-oriented forms of web marketing. The funding for initial gonzo-model testbeds will come out of such supersized media budgets. And testbeds will be crucial. No company is going to shift a major portion of its marketing resources into this mode without testing the waters first. Micromarkets are not mass markets, or even the type of large market niches business has typically pursued. While this may seem obvious, it's important to understand the implications. Each micromarket will represent a much smaller percentage of revenue potential than the markets currently targeted through conventional segmentation. Therefore, companies will need to establish a much broader array of micromarket partnerships. Using a fairly random  example, if each external micromarket partner represented 1\/10 of 1% of overall revenues, the company would eventually need to establish 1,000 such relationships to replace earnings generated by its current marketing methods.\n\nThird, these large global companies have very sizable and diverse workforces. This is critical, as what underpins the gonzo model are personal interests and passionate engagement around those interests. The first tactical step for companies is to determine what these interests are. Today, most corporations have little idea.\n\n##  _**Intellectual Capital Audit**_\n\nIntellectual capital has been the subject of much discussion in business journals, conferences, and high-level corporate think tanks. And lately, nascent ideas about social capital have been folded into the mix. However, most of this discussion has focused on knowledge about products and production processes, or social relationships within the organization. This self-reflexive and insular examination leaves the lion's share of existing intellectual and social capital lying on the table. It's there in plain sight, but the legacy of command and control prevents most companies from seeing it. They are blind to enormously valuable assets they're already holding.\n\nIn the first half of the twentieth century, nearly all industrial companies had a \"check your brain at the door\" policy. While not explicitly written into official employee handbooks, workers knew it was there, and behaved accordingly\u2014keeping perfectly viable process improvement ideas to themselves. When Total Quality Management began to reverse this trend, and self-directed teams were given unprecedented authority to design their own work environments, management was often surprised to learn how much these workers knew. \"How come you never told us any of this?\" the bosses inquired. \"How come you never asked?\" the workers replied.\n\nBut here we're talking about a different sort of intellectual capital that has been undervalued to the point of invisibility. What are employees interested in _outside_ the framework of \"the job\"? Human Resources never asks, except perhaps to fill in those trivial \"other\"  fields in the resum\u00e9 database\u2014hobbies, club memberships, neighborhood action groups, whatever. The company yawns. The company doesn't really care. But it should. What drives the self-selection process whereby communities of interest come together on the Internet is not products\u2014Seth Godin's notion of \"consumer networks\" is little more than a convenient fiction. Instead, what unites these communities of interest is\u2014duh!\u2014their common _interests_.\n\nSometimes these shared interests have a political dimension, as with \"interest groups\" that make common cause to advance some desired change. More often, though, these are common, garden-variety interests, as in rock music or opera, historical biographies or mystery fiction, home schooling or scuba diving, or any of thousands of other interests workers pursue outside of their paid involvement with the company. While most of these are understandably avocational, many are related to the individual's professional work, whether it be accounting practice, computer programming or some aspect of business management. Whatever form they take, all are potential points of intersection with external communities of interest currently emerging on the net. As such, these interests are like diamonds in the dust in a networked economy.\n\nCompanies need to understand the worth of these interests, then identify their specific focus. This will require more than vague statements about valuable employees. It will require the establishment of serious programs to encourage and showcase such interests, and to develop and nurture communities of interest within the company.\n\nLong ago, AOL created a content incubator, a \"greenhouse\" in which to let various creative talents show what they could produce. AOL promoted those it thought best into its commercial offering. Companies can follow a similar model. It's not rocket science. All that's required is a large and unconstrained web space behind the corporate firewall\u2014and a top-management-blessed invitation for people to build sites around subjects they really care about. Given the \"check-your-brain\" hangover, most employees will contribute nothing. Incentives should be carefully considered, such as time off regular work to produce these sites. However, incentives that are too enticing across the board could remove an important quality filter. Those who are naturally inclined to contribute will be driven by an extra degree of enthusiasm to communicate their passions\u2014and  this is the most valuable stuff a company can elicit. Such passion and enthusiasm forms a good fit with the Zeitgeist of the web.\n\nOnce the program gets underway, the developers of these internal sites will begin to realize that they share interests with other workers they've never met. In a company with 100,000+ employees, this is no big surprise. The company should encourage collaboration between such individuals and groups. The goal is a single site on each topic of interest, incorporating whatever talents and expertise members of the community can bring to the party. In themselves, such initiatives are likely to surprise the companies that seriously encourage them, if only through the _Hawthorne effect_ \u2014the phenomenon whereby the productivity of workers increases any time management pays attention to them, that being such a rare event. A less academic way of describing this is to recall the question, \"How come you never asked?\"\n\n##  _**Identifying best of breed**_\n\nHowever, the point is not productivity. The point is marketing. There is a trajectory to such work, and it's vector is through and beyond the corporate firewall. The point is to connect with external micromarkets. To accomplish this, the company needs to assess the sites it has nurtured through such a greenhouse program, and select the best results for further development. There are two critical measures of what \"the best\" means here. The first could be a serious challenge for many corporations. It entails understanding what \"voice\" is. A good metric to use in this regard\u2014a worst practice, if you're keeping track\u2014would be to select sites as distant as it's humanly possible to get from the vacuous rhetoric of the typical corporate home page. Elements to look for include personal style, differences of opinion, humor, deep knowledge of the territory\u2014and an ability to articulate it\u2014plus, if you're lucky, that indefinable quality of gonzo. Companies that promote the bland, the vanilla\u2014in other words, the kind of crap they're used to delivering through their current \"marketing communications\"\u2014might just as well not embark on this route. They'd be wasting their time.\n\nThe other measure of what constitutes best of breed entails fit with the company's markets. This is tricky ground. In the earlier Ford example, there is a distinct (if non-obvious) connection between organic gardening and the company's products\u2014specifically, no one is going to haul manure in the family four-door. But such an explicit tie-in need not exist. If enough people outside the company are interested in cooking, say, such a focus could be attractive to certain web micromarkets even if the company offers no products that are directly related. If the markets it wants to attract are fairly general, it makes little difference. As long as its products or services _could_ be useful to such an audience, such topical interests should not be excluded out of hand. However, if the company makes molybdenum gears for bulldozers, cooking might be a bit far afield. In making decisions about which areas to focus on, companies will use whatever insight they've garnered from previous demographic segmentation efforts. They'll also use gut feel. And they'll make mistakes. The latter is unavoidable, but since this is not a mass market strategy, and dozens or hundreds of sites will be offered to the web at large, no one bad call will be fatal. On the other hand, the near certainty of error makes it critical to establish out front a way to reset from such missteps such that none is catastrophic or ends up generating bad will either inside or outside the organization.\n\n##  _**Identifying external partners**_\n\nThe challenge here is to locate independent external websites that form a natural fit with the internal employee interests identified in the previous step. Matching the interests of people in the company to those of people in the marketplace offers the potential for engendering conversations on matters of actual interest to emergent web micromarkets. No matter how hard companies wish for it, these micromarkets are unlikely to give their permission to talk about the wonders of your company's product. However, they may well grant permission for individuals who happen to work for you to join in discussions already underway\u2014the nature of which discussions being what brought the micromarkets into existence in the first place.\n\nActually, these are not markets at all until the company is able to sell to them, and\u2014critical paradox alert!\u2014they will never _become_ markets as long as the company's main purpose is to do so. It is crucial to understand that the primary objective of such internal\/external intersections is to establish relationships of genuine trust among people sharing specific focal interests. Any attempt to undermine or short-circuit this process using intrusive marketing techniques will have devastating instant-karma consequences.\n\nIn looking for external web partners, the knowledge of employees already engaged in these programs will be critical. The most knowledgeable and articulate voices on the company side will also tend to be intimately familiar with relevant external web resources. They will know which sites are best, which worst, which marginal, and this information will be essential to making good micromedia partnership decisions. Usually, such expertise will be closely related to an individual's specific interests. However, some employees may have more general web sleuthing skills and a good nose for promising sites, whether or not they are well versed in the particular subject area. Companies should consider turning these generalists into dedicated web scouts, analogous to the A&R (artist and repertoire) scouts that major music recording labels employ to search out new talent. Identifying newly emerging web micromarkets will be an ongoing involvement, and such A&R scouting will soon form an important aspect of corporate marketing\u2014as it should have from the beginning of corporate entry onto the web.\n\nThe best external candidates for partnership will not necessarily be the best established. The slicker the site and the greater the size of its existing audience, the more expensive the relationship is likely to be. This is where \"radar for voice\" can pay enormous dividends. A nascent site that is interesting, engaging, compelling, creative, independent, and again, if you're lucky, a little gonzo, is the ideal candidate. Such a site will have great potential to draw an audience. It is less likely to be encumbered by restrictions stemming from previous marketing or venture capital relationships. And critically, it will need resources of the sort that corporate underwriting can provide.\n\n##  _**Underwriting**_\n\nWhat exactly does _underwriting_ mean? In essence, underwriting is a form of patronage, in the sense the term was used in the Renaissance. In fact, the practice it describes largely kicked off the Renaissance. In the 14th century, the Medici banking family served as a powerful patron to artists such as Botticelli, da Vinci and Michelangelo, whose work we might never have heard of without such corporate support. True, the word \" _patronizing_ \" has come to have extremely negative connotations\u2014as in, \"don't patronize me!\" We'll deal with these in the section below on the problem of influence.\n\nIsn't _underwriting_ just a fancy word for sponsorship? As the term is being used here, the answer is a resounding and definitive no. In the corporate marketing mindset, sponsorship is indissolubly linked to advertising, and underwriting does not involve advertising. In fact, it is a more effective alternative to advertising's inherently distanced and impersonal methods. The aim of underwriting external sites is to establish strong _personal_ relationships between a company and emerging web micromarkets in which the company has a perceived future stake, and in whose subject matter company employees have a preexisting _personal_ interest.\n\nThere is one important sense in which underwriting and advertising are linked. As the former will increasing replace the latter, the financial resources required to support these micromarket initiatives will come out of current media budgets. For this reason, the marketing department has to fully buy in. Achieving consensus on this point will constitute a substantial challenge for many corporations\u2014an insurmountable hurdle in some cases. As this book has shown, marketing is set in its ways, and many of those ways are grounded in realities that ceased to apply decades before the Internet became a major avenue to markets. On the positive side, the decreasing effectiveness of current methods should act as a strong incentive, encouraging marketing to look beyond \"best practices\" that have long since become liabilities in a networked world.\n\nSo, what sorts of resources do these external sites need? The usual: time and money. Micromedia sites tend to be labors of love. Their developers  are typically working to make ends meet while keeping their sites afloat on nights and weekends. The first contribution of corporate underwriting is to enable these creative principals to quit their day jobs in some cube farm, thus freeing them to devote full time to their primary passion. Companies can simply underwrite external partners by giving them money with which they can purchase needed resources. However, other forms of support tend to forge closer relationships\u2014and as that's the whole idea, this should be considered. Companies can lend or donate computer equipment, disk space, bandwidth, and render various forms of technical, design and artistic assistance. They can also develop or license content relevant to the specific interests of these communities and make it freely available to them. Such content would be more welcome, and therefore more effective in creating recognition and goodwill, than the majority of current expensive-but-empty \"branding\" ploys.\n\nCompanies can also direct traffic to these partner sites from their web pages\u2014a sort of reverse advertising. The objective is to grow these sites in which the company is investing. Just because they're micromarkets today doesn't mean they have to remain so. It is in the mutual interest of underwriters and external partners to announce the existence of partner sites and encourage customers and prospects to visit them. The set of micromarket partnerships a company engages in becomes an important component in its brand. Think of Benetton here. Its employees care\u2014so the company tells us\u2014about issues like AIDs and racial equality and capital punishment. The company further assumes that its market shares similar concerns. So it welds its brand to those issues. If it loses some customers in the process, it figures it will attract others more sympathetic to its positions. Benetton's radical experimentation along these lines is understandably terrifying to most companies.\n\nHowever, the issues that interest people need not be \"issues\" at all; these interests extend far beyond the realm of heated political or cultural debate. A company may underwrite micromedia sites focusing on subjects as commonplace and uncontroversial as baseball, wine collecting, javascript programming, film noir, telecommuting, or notable bassoon performances. Though the last is a little unlikely (unless, of course, the company manufactures bassoons), a company will identify itself with emergent markets by the underwriting  positions it takes, and the collection of these positions will say a lot about the character of the company as a whole. Companies should neither embrace nor sidestep controversy based on ulterior marketing considerations, but should take positions their employees truly support and consciously choose to align themselves with. This is a roundabout way of stating the obvious: that companies should tell the truth about who they are instead of representing themselves as airbrushed fictions.\n\nBottom line: _the fundamental message of marketing must change from \"we want your money\" to \"we share your interests.\" In this respect, corporate underwriting is a way\u2014perhaps the only viable way at present\u2014for companies to put their own money where their mouth is._\n\n##  _**Structuring the relationship**_\n\nIf money is changing hands, you can bet that lawyers will be involved. They will. These won't be casual handshake deals but formal contractual relationships. Both parties will want to maximize the value of what they give and what they get for it. Both parties will want to minimize their risk. One tradeoff involving both value and risk will be the term of such contracts. As noted already, a company might find a smaller, newer micromedia partner attractive because the relationship will be relatively cheap. The site has little but sweat equity and voice to show; the rest is potential. The company is investing in this voice in the reasonable expectation that the audience it is able to attract will become more valuable over time. Plus, the company is agreeing to provide certain other valuable resources (as described in the last section) to assist in the success of the site. The company will want to extend its relationship for as long as possible at the same level of financial support, and not be penalized\u2014through a ramping schedule of payments\u2014for a success it has helped to secure. But too long a term might not be in the company's best interests either. There is no rule of thumb at this point on the optimal length of these relationships, and there may never be\u2014many factors will have to be taken into account, and these will differ from company to company and site to site. The two parties will have to work out a compromise amenable to both. Exit protection for both sides therefore becomes  especially important\u2014one form of which might be yearly or biannual renewal options with plenty of notice given if one party intends to bail, or feels that renegotiation is warranted.\n\nOne protection the company will (and should) require is _exclusivity with respect to the domain_. While a site may have many underwriters\u2014the more the merrier, for reasons we'll see below\u2014it should be precluded from having more than one in any single competitive market arena (hereinafter, as those lawyers might say, the _domain)._ In simpler terms, if a site enters into an underwriting relationship with Ford, it will not be able to ink a similar deal with General Motors. In the case of a coveted potential web partner, this will engender competitive bidding, which is good for the site. However, the site should take many other factors besides money into account. Prime among these is cultural fit. Do the parties \"speak the same language\"? Do they see eye to eye on expected results? Are both being honest and above board? If these questions are not explored, nasty surprises could result. If the answers are not in the affirmative, one party or both is going to be unhappy with the marriage.\n\nBut back to competitive bidding for a moment. If a company identifies a candidate site early enough, and offers it fair underwriting terms, price inflation due to bidding may be avoided. There are tradeoffs here on both sides. Should the site wait to get other companies interested, or are immediate funds more valuable than a potentially greater sum later? This is simply the old bird-in-the-hand question\u2014though exclusivity considerations make it crucial to chose well here. As to the company, should it invest in the relationship now, at a lower price, or wait to find a possibly better candidate? The company is not explicitly bound by exclusivity\u2014it would be too difficult to define, for one thing\u2014but a) will not usually wish to underwrite competing sites, and b) resources are, after all, finite. So the company will obviously need to choose well too.\n\nDespite these tradeoffs and admittedly gnarly considerations, companies will clearly attempt to sign quality partners before competitors can scoop them up. Without pretending to cover all the details here\u2014as we say on the net, IANAL: I Am Not A Lawyer\u2014contracts will have to spell out who gets what, for how long, and how the relationship will be continued beyond the contract term\u2014or dissolved  with the least damage to either party. More important than the letter of the law, however and as usual, is a sense of goodwill and a spirit of enthusiastic collaboration. These hookups should be joyous affairs. If they're not, they'll be disappointing. Or nightmares. There's not a lot of middle ground. Sure, problems will arise and need to be ironed out. Sure unforeseen factors will come to light and need to be dealt with. But this will only work if both sides basically respect each other.\n\n##  _**Influence: Church and State**_\n\nMutual respect already has a deep tradition in conventional media. And this is one convention worth preserving. The separation of \"Church and State\" refers to the longstanding rule that editorial content must not be swayed by advertising dollars. The number of ad pages Microsoft buys in a magazine, for instance, should have no bearing on the review of Windows 2010. While this principle is often honored in the breach, it remains an excellent idea\u2014for both the publication _and_ the sponsor. If corporations are too often successful in influencing content decisions, readers begin to notice that the publication has sold out, and they soon go elsewhere for opinions they can trust. Ultimately, this is a pyrrhic victory for the advertiser, as it thereby loses a critical path of communication with the market. Understanding how this works is hardly a new thing in mainstream media. The general outlines of the principle were articulated by Adolph Ochs, publisher of _The New York Times_ , as far back as 1916:\n\nIt is an axiom in newspaper publishing\u2014'more readers, more independence of the influence of advertisers; fewer readers and more dependence on the advertiser.' It may seem like a contradiction (yet it is true) to assert: the greater number of advertisers, the less influence they are individually able to exercise with the publisher.\n\nWithin the framework under discussion, an important difference lies in the \"more readers\" argument, which itself reflects old broadcast and advertising axioms. Micromedia sites are not playing quite the same numbers game. A site far too small to attract broadcast advertisers can be highly sought after by multiple underwriters. But  aside from considerations of audience size, Ochs's dictum still applies, albeit in somewhat restated form: the more _underwriters,_ the more independence of voice is assured. Agreeing not to bring undue influence to bear on editorial content will be an important item in contracts. An underwriter attempting to do so will automatically be in breach and risk losing its long-term exclusive position. If competitors are avidly waiting in the wings for this to happen, it very likely won't. A company would have to be crazy to hand such advantage to a rival.\n\nThis is a delicate aspect of the relationship between companies and their micromedia partners. The diciest situations will be where the content of the external site has a direct bearing on the company's products\u2014for example, if Toyota were to underwrite a site equivalent to _Car & Driver_ magazine. This might be a dynamite idea. It's certainly not one to be avoided. But in cases like this, the company will need to sit on its hands and count to ten when the site reports that its latest product bites. Of course, it can argue and debate the opinion\u2014it just can't threaten to penalize the site. If it does so, it paradoxically opens the door to Mitsubishi taking over its slot. This would obviously constitute a Very Bad Move. As a result of this dynamic, micromedia underwriting partners will be _better_ protected from corporate manipulation than are their mass media counterparts in the broadcast world.\n\nHowever, the influence problem probably won't be a very big deal overall. If Ford underwrites an organic gardening site, for instance, the company is highly unlikely to use its financial clout to sway readers' views on the best way to mulch carrots. So everyone can just relax. An excellent tactic in any case.\n\n#  **Why do it?**\n\nSo far, this book has mostly looked at the negative motivations for gonzo marketing. Radical alternatives tend to appear when nothing else really works. The main agenda up to this chapter has been to show that marketing as currently practiced is badly mismatched to the culture and dynamics of the Internet. But the gonzo model goes beyond critique. Following the steps outlined above, companies can encourage authentic voice and genuine conversation  within their walls, then break down the walls and connect those conversations to related exchanges already underway in the networked marketplace. Let's take a brief walkthrough of how this could work.\n\nSay you're currently interested in K-12 education. You've got two kids and you're worried they're getting shortchanged in the public schools they go to. You want to know why and you want to explore your options. There's a lot of debate on this topic and sorting it out isn't easy. The conclusions that seem most obvious turn out to be questionable. The \"definitive sources\" you once might have trusted seem like mouthpieces for the status quo, or seem as if they've got hidden vested interests. But you've got little time to research all this. You care, but you also have to go buy a computer. Otherwise the kids won't be able to keep up with their schoolwork.\n\nYou go to the Dell site\u2014let's say; this is entirely hypothetical\u2014to start trying to figure out what system you need and how much it's going to set you back. To your amazement, right there on the homepage, you see a banner saying something like \"Visit Our Home Schooling Community.\" As you watch, the banner changes. Next it says, \"Visit Our Personal Investing Community,\" then \"Visit Our Gonzo Tasmanian Chinchilla Ranching Community,\" but you're not interested in those (you're not even sure what that last one means). When the home schooling banner rolls back around, you click, and\u2014hey, look at that!\u2014there's a well produced web magazine addressing all your questions. The first thing you notice is a graphic saying \"Underwritten by Dell.\" This is strange. And now you're curious. You click on this graphic assuming it will take you back to the Dell home page you've just come from. But another surprise: it doesn't. Instead, you end up on another sections of the Dell site where employees of the company are writing and talking about the very issues that have been bugging you. Intrigued but skeptical, you click around and scan a bunch of articles. The site is substantial and there's more to explore than you possibly could in one sitting. You bookmark the main entry point and pop over into email to send the URL to the half dozen friends you've lately been talking to about these school issues. \"Look what I just found,\" you write. \"I know, it's weird to find this on a computer company site, but what's even weirder is that there isn't any advertising.\"\n\nOf course, there are links to Dell's regular site\u2014this is a company page, so the frames are the same, with buttons for products and support and such. There are also links to many more of these \"communities\" Dell seems to be \"underwriting.\" You explore the school pages some more and discover contributions by Dell people who think home schooling is the greatest, and Dell people who tried it and thought it sucked. They talk that way too\u2014as if no one is controlling what they say. And they all have email addresses listed with invitations to comment on their views. You decide this must be bogus, some kind of advertising gimmick after all. But you email one person whose perspective you particularly agree with. To your astonishment, you get a reply 20 minutes later answering the question you asked, then adding \"You know, it's a highly individual decision. Ask around, but go with your gut.\" Aside from a signature block that identifies this person as a Dell employee and a URL back to the Dell home schooling site, the message contains no pitch to buy anything. You forward it to the same six friends. \"I can't believe these people have time to respond to stuff like this. Their company must be supporting this in a big way. I don't know why.\" But your skepticism is melting. You're impressed. You write back to the person who mailed you from Dell. \"Wow, that was fast. Thanks. By the way, what do you do there?\" The reply comes back even quicker this time. \"I'm in customer service. Let me know if you ever have questions on that side of things. Doesn't matter if you have a Dell or something else. I know how they all work. ;-)\"\n\nAs you browse around\u2014you've come back several times now\u2014you do find an article or two about Dell products. Aha, you think, this is where they get the payoff. But both sound like good advice on buying systems best suited to kids. \"Forget the more expensive lines\" one says. \"Those are either for road-warrior business types or they're servers. Unless your kid is making a full-length movie (mine is, actually), you don't need that much power.\" Accompanying the piece is a chart laying out an optimal configuration for homework, gaming and Internet browsing. For less than you thought you'd have to pay. You click again. You buy it. While the price was a nice surprise, it wasn't the reason you bought the computer\u2014and you didn't shop  around as you were planning to. You bought it because you were impressed by what this company was doing. The next week, in the school parking lot, another parent mentions she's been thinking about a new computer for Billy. \"Have you looked at the Dell site?\" you ask. \"I know you're interested in K-12 education. . . Here, let me write down this URL. It's really quite amazing.\"\n\nNotice that there's nothing particularly gonzo about this little scenario\u2014except that its approach to marketing breaks every accepted \"rule\" and notion of best practice. Also note that it focuses mainly on the company side of the micromarket partnership. In fact, the boundary between the two would be pretty permeable. There would be lots of links back and forth between the company site and its external underwriting partner, to content and resources existing on both sides. The partner would provide many pointers to Dell, and Dell would send as many people as it could to the partner site. They would be complementary, building in-depth understanding of the related issues, familiarity with regular contributors, and confidence in the company's intentions. They would also build customers. Loyal customers. But more than that, this combination would create more credible _evangelists_ than any company could ever hope to generate, no matter how big its advertising budget.\n\nThere are other reasons why this model would be a major win for companies. Like attracting and holding onto the best and brightest talent\u2014environments like this would be highly seductive to creative individuals. Like giving stockholders a better view of employee morale and the corporate culture's overall health than can be conveyed in a quarterly spreadsheet and a glad-handing annual report. Like giving journalists a thousand reasons for writing about the company. Like giving the net-at-large a million reasons to link to your web pages. Like the fact that what the gonzo model actually creates is a gigantic wide-area knowledge-acquisition filter attached to thousands of intelligent agents\u2014a.k.a. knowledgeable human beings\u2014and that this speaks directly to the capacity for innovation and the ability to remain competitive. There are many reasons for adopting the gonzo model, but the best will only be discovered in the course of exploration and experiment.\n\nWhy do it? Wrong question. The real question is, why not?\n\n#  **The Coming Internet Land Rush**\n\nI've always wanted to write The Coming Something-or-Other in a business book. It sounds so, you know, business-bookish. Don't worry, though, this is no convoluted consulting jive, compadres. You may think the net has been a big deal up to now, but you ain't seen nothing yet. Frankly, reviewing most of the corporate Internet gambits we've seen to date is not essentially dissimilar from watching a monkey trying to. . . (down, RageBoy, down!) fondle a football. In contrast, though mistakes will certainly be made, the model we've been circumambulating here will spur greater and faster development than everything that's happened on the net so far.\n\nAll it will take to torch it off is a few major corporations establishing the first micromarket partnerships. As soon as word leaks out that this is happening, their competitors will freak\u2014with good reason. A company moving quickly to lock in relationships with the best voices in its areas of interest will reap substantial first-mover advantage. The next company to go looking will be looking at candidates of lesser quality. Competitors who wait a year or more to get started will find themselves picking over factory seconds. It's so simple. Deadly simple.\n\nThe result will be an Internet land rush of nearly unimaginable proportions. Imagine corporate buckboards lined up along the Internet border. Imagine B-movie thunder and lightning, sturm und drang. Imagine a light. . . over at the Frankenstein place. . . Imagine joyful anarchy and wild-eyed chaos as the empires of business-as-usual finally come crashing down of their own top-heavy weight. It's just a jump to the left. And it's about bloody time.\n\nSo, if you run a website worth its salt, be prepared to see company A&R agents come calling, and soon. If it's not worth its salt, get busy. Gonzo marketing is market advocacy, remember? Despite the very real advantages to corporations, this one's for us. Be prepared to work with companies who get what you're up to and want to help circle the wagons around real\u2014not bogus \"consumer\"\u2014communities. As for the rest, the arrogant bastards had it coming all along. Enjoy the last laugh. Take no prisoners.\n**CHAPTER 8**\n\n**Champions of the World**\n\n_\"Devil or angel, I can't make up my mind. . . \"_\n\nTHE PLATTERS\n\n_\"You don't know where you belong. . . \"_\n\nCYNDI LAUPER, _SISTERS OF AVALON_\n\n**SOMETIMEBACK AROUND THE 3** **RD** **CENTURY A.D., IF YOU CAN REMEMBER** back that far, a certain meme got loose in an area roughly corresponding to what we now call the Middle East. Historically, quite a few whacked out ideas have originated in this region, most of them involving, in one way or another, the sacrifice of goats. Dave Barry can laugh at Santer\u00eda all he wants, and we can all wonder what was up with those Aztecs, but this ancient proclivity to off the living in the pursuit of supernatural favor must reflect some deep, blood-thirsty need in the human soul. Or maybe\u2014not to be insensitive to multicultural considerations, you understand\u2014it was just an atavistic form of influence peddling. \"Hello, God? Got a nice goat here for you. Uh-huh, hope you like it. Now about that Babylonian land development deal I was telling you about . . .\" In all likelihood, we'll never know for sure.\n\nAnyway, this meme came to be called _Manichaeism_ \u2014or if you happened to be in any way attached to a pope back in those days, the Manichean heresy. The core idea here was that nature and spirit are opposed and at war. Now, you can see right away how this  would cause papal heartburn, as this was clearly encroaching on the monopoly turf of the whole Judeo-Christian setup. Gnostics and Buddhists horning in on the act clearly wouldn't do. To get the general flavor of this, think Microsoft and Netscape without Janet Reno. As if that weren't bad enough, Manichaeism also ticked off the Zoroastrians, from whose tradition it had borrowed certain critical elements, to the point that they finally did a drive-by on the rapper who was laying this stuff down\u2014the dude's street name was Mani\u2014and that was basically that. Or so everybody thought.\n\nBut these ideas continued to spread. They held a powerful attraction. God all-knowing and powerful, man stupid and weak. Spirit pure, flesh evil. Heaven good, earth bad. (You can see how the top-down thing got going.) This perspective simplified things a lot. And it had a straightforward agenda: the end of life and the destruction of the world. Talk about your perfect elevator pitch. What's to not understand? Much as I disapprove the fire-in-the-belly CEOLIKE qualities of Torquemada\u2014who, granted, didn't get the Spanish Inquisition into high gear until much later\u2014I think I might have been among the inquisitors on this particular Manichean issue. Fundamentalist dualism fundamentally sucks. Let's not quibble: any kind of dualism sucks. It's dumb. But it's understandable, I guess.\n\nHistorically, human beings have attempted to reduce the world to fit some overarching paradigm, some all-inclusive explanatory framework. Without such a worldview, the thinking goes, we would be left with only confusion and chaos. But the complexity of the world is such that every attempt to reduce it to fit such conceptual models impoverishes not only the world, but ourselves. Nonetheless, we can't seem to resist asking questions of the form: _which side are you on?_ In the case of the Manichean debate: are you for the world or against it? But this attempt to simplify matters is na\u00efve in the extreme, simplifying\u2014and signifying\u2014nothing. Instead, such black-and-white categorical distinctions mask what is truly interesting about the diverse ways in which people have come to perceive and value experience.\n\nHowever, extreme na\u00efvet\u00e9 never having posed much of a hurdle to human judgment, it should come as no surprise that the ancient Manichean war between matter and spirit has continued unabated to this day. Benjamin Barber writes of _Jihad vs. McWorld_ and the binary,  zero-sum implications seem unavoidable. This is a war between fundamentalist spirituality and fundamentalist materialism. Which side are you on? Are you for the world or against it? Come on, join up, take sides! But let's back up a minute. I want to make two points about materialism, the first personal and contemporary, the second cultural and historical, revisiting the dawn of business.\n\nI have not been easy on business in this book. I have kicked asses and taken names. Applying the which-side-are-you-on filter, many may therefore conclude that I'm down on \"materialism\"\u2014which translates into being rabidly anti-business. In fact, that stance is increasingly popular these days. You know the catechism. Business is evil, money is theft, corporations are rapacious juggernauts out of control, which left unchecked will destroy the quality of life on earth and the earth itself.\n\nParadoxically, the old Manichean agenda to put an end to the world, once based on spiritual opposition to the material plane, is now within the reach of the worldly powers. And this is no joke. Think global warming. Think industrial pollution, acid rain, break-neck deforestation. Business often seems to be at war with \"the _environment_ \"\u2014our more sophisticated way of referring to what the ancients simply called the world. It would be a serious mistake for business to take such anti-business sentiment lightly or to think that opposition to the bright and shiny vision of McWorld is safely localized in Islamic nations with unreasonably resistant notions about modernization and the wonders of a global economy. Next time you get a chance, drop by a demonstration against the World Trade Organization. Those are your children getting their heads busted open in the street.\n\nSo yeah, I share these concerns. But does this make me an \"antimaterialist\"? The quotation marks here and above, around \"materialism,\" are necessary because these are essentially silly conceptual categories, setting up a bogus straw-man opposition between options that are not really optional. Abstruse philosophizing aside, the material world is not a concept. Whatever I may think about it, I remain in it and of it. If I question the attitudes and actions of business, does this mean I must \"renounce the world\" in favor of penitential sackcloth and ashes? If I think that business assumptions that applied in an earlier epoch have become dysfunctional in a networked  society, does it mean I must go to the desert, wear funky sandals and eat locusts? It better not. Such either-or thinking constitutes a conceptual booby trap. Although the \"logic\" is usually transparent and invisible, when we think this way we are invoking extremely old binary opposites. Spirit good, world bad. World good, spirit bad. But such zero-sum, heads-I-win-tails-you-lose alternatives are suffocating and insufferable. I don't want to take sides. I don't want to be lumped into such confining categories. I want an olive tree _and_ a Lexus. I want a Big Mac _and_ a jihad.\n\nLet me try to explain this a different way. In the course of writing this book, in which I have admittedly given business a bad time, I have also given business quite a lot of . . . well, business. As you might expect, I pretty much have no life. I'm plugged into this monitor every damn day, online more than off. It's pathetic, I know. I'm a slave to the web. But I also eat and drink like mere mortals. I drive a car. I even wear clothes on occasion. The point is, I buy stuff. It's just that, being lazy, I buy it, whenever I can, on the net. Just while I was laboring over the last couple paragraphs, two delivery trucks arrived. The first brought ink cartridges for my printer; the second some really cool cooking software (I eat therefore I cook) and two boxes of _Harry Potter_ audio CDs (they're not for my kid, they're for me). In the past several months I've ordered lots of stuff off the web: a Maxtor 80 gigabyte hard drive, a super-nifty Iomega Predator CD burner, an HP OfficeJet all-in-one printer\/scanner\/copier\/fax combination, Iris OCR software and handheld text scanner, a Microsoft Encarta DVD encyclopedia upgrade, a Sony handheld digital voice recorder, a Sony digital camera, a CD Walkman, music CDs, DVD and VHS videos, a stereo with an integrated DVD player, (yet another) desktop computer, an online subscription to the _Grove Dictionary of Art_ , an offline subscription to _Harvard Business Review_ , and, of course, endless and innumerable books.\n\n\"Sure,\" you say, \"you're an information junkie. That kind of stuff is all you net-heads ever buy _._ \" But _au contraire, mon frere_. I also purchased\u2014again, from the web\u2014all manner of clothing, toothpaste, vitamins, deodorant (very necessary in my line of work), several items of furniture and luggage, a pasta maker, a waffle iron, a crepe maker, a bread machine, a food processor, a microwave oven, a cast-iron barbecue grill, and\u2014against all my better judgment, of  which I haven't much to begin with\u2014a Roland guitar synthesizer whose technology is sufficiently advanced as to be indistinguishable from magic. OK, so maybe this doesn't qualify me as the world's greatest online shopper, but neither does it exactly brand me as a sworn enemy of e-commerce. While I strongly resist the idea that my identity is defined and bounded by my role as consumer, all in all, I think I've more than earned the sanguine salutation so typical of spammers: Valued Customer. Aside from a certain gender disparity, I'm right there with Madonna when she says, \"I am a material girl.\"\n\nBut am I therefore a material- _ist_? I don't think so. And perhaps the information-junkie dimension constitutes some sort of skeleton key here, not just to my own behavior, but to that of the hundred-million-plus who have come online since I started writing about the Internet a decade ago. My personal buying habits aren't very interesting in themselves, unless you're my accountant (be glad you're not). They aren't interesting at all unless they represent some larger trend. But I think they do. I think they represent an enormous shift, not just in market attitudes and expectations, but in\u2014for lack of a better phrase\u2014collective consciousness. A deep and profound shift.\n\nAmong many attempts to explain the rising importance of computer-generated data was what Nicholas Negroponte saw as a critical differentiation between informational bits and \"atomic\" matter, upon which he expounded in _Being Digital_. However, I've never been able to get very excited about this distinction. It seems to me yet another binary opposition. Bits good, atoms bad. Or\u2014in the amphetamine-jazzed rhetoric of _Wired_ magazine, where Negroponte flogged this simplistic concept to within centimeters of the grave\u2014bits wired, atoms tired. While I know it's true that you can jam a webzine down a net connection a lot easier than, say, a pair of Nikes or a Ford Mustang, this doesn't do much to reduce my need for shoes and transportation. At the end of the day, after finally getting my head around the crucial difference between an HDTV signal and a chunk of Wisconsin cheddar, I'm not entirely sure what conclusion I am meant to draw from the bits-v-atoms argument\u2014except maybe, the blur between content and advertising being what it is today, that I need to renew my subscription to _Wired_. Get some more hot tips on technofetishism.\n\nBut here's a tip of an altogether different stripe. Information is halfway between matter and spirit. I want to be very careful here. I don't mean that information is somehow sacred or spiritual in itself. I'm not trying to launch a new religion. Neither do I mean that information is superior to hula hoops but inferior to the angelic choirs. Instead, what I mean is that information mediates the spirit in which we perceive and value the material world. This mediation, which is neither inherently \"spiritual\" nor \"materialistic,\" has a bearing on what we mean today by \" _media_ ,\" and how our cultural perception of that concept has changed over time.\n\nTake the neologism \" _multimedia_ ,\" for example. This term partakes of a sort of meta-ambiguity, referring as it does to two distinct meanings of media without being very clear about either. In the first case, the multiplicity of multimedia refers to various _media of expression_ , such as words, pictures, and sound. In the second case, the term refers to various _communication media_ \u2014such as newspapers, radio, television, and the Internet\u2014through which such hybrid assemblages can be delivered. This latter sense has all but eclipsed the former, and in doing so has turned yet another of those sleight-of-tongue pop-philological tricks that serve to make meaning opaque, and eventually meaningless. As when someone protests\u2014one of my personal all-time favorites\u2014\"Come on, that's just semantics. You know what I _mean_.\"\n\nNo, I don't know what you mean. Yet it's never been more important for all of us to understand what we mean by \" _media_ \" and what it is that media mediate. Business understands this mediation as providing a vector for advertising\u2014a channel through which to connect the dots from product to consumer. But let's go back to the older sense of _media_. A writer's medium is inscribed language; a painter's, color and form; a sculptor's, stone or metal; a musician's, sound and time. The medium is the means of conveyance, but what is conveyed is (usually) more than the material employed. Art communicates a _sense_ of the world, not in literal terms, but by attempting to reproduce in another soul some deep, intangible and otherwise inexpressible quality of how the artist _experiences_ the world\u2014how the world _feels_. Art mediates spirit.\n\nIt is in this spirit that human beings, unbidden and uninstructed, have begun to use the Internet. Just as we used colored earths and  stone tools to create mimetic images of bison and horses in Neolithic caves. Just as we constructed monumental architectures honoring gods now long forgotten. Just as we invented symbols and emblems that pointed beyond themselves, hieroglyphics, pictograms, alphabets, stories, epics, novels, histories. Just as we invented ecstatic dance and ritual music. Yeah, and so what? What does it all _mean_ , Mr. Natural? While nobody can say with any certainty, it is certain that whatever human beings have been attempting to express all these millennia continues to hold huge fascination for human beings today. And this isn't some academic exercise in art history. We practice what we preach. It's in our bones. It's in our blood. It's in the beat of some larger heart. Perhaps the Stones said it best. \"I know, it's only rock and roll, but I like it.\"\n\nBillions of people will soon be connected to the Internet. They're not all here yet, but they're coming. Writing in _The New York Times_ , Thomas L. Friedman reports that \"Chinese will be the most popular language on the web by 2007.\" They're coming, and what they're coming for is what the net mediates: the beat of that larger heart. The net is not intrinsically a medium for advertising. They're not coming for product brochures or lower prices. They're not coming for some ersatz Disney World \"experience.\" Instead, the net is an artistic medium. It mediates spirit. Whatever spirit we bring to it, we are coming for that. We are coming to discover who we are.\n\nBut let's not set up another Manichean spirit\/matter dichotomy here. Rock and roll good, e-commerce bad. The problem with materialism is not that it loves the world too much, but that it does not love the world _enough_. If the dictates of business are causing the exhaustion of planetary resources, something is clearly wrong with its system of valuing matter. Not all value reduces to dollars and cents. Most people I know detest being addressed as \"Valued Customer\" because they understand precisely what they're being valued for: the chance that they'll fork over the purchase price. Any other dimension of our existence is outside business's concern, beneath its interest, immaterial. And, that's exactly right. This dimension _is_ immaterial. What does a company care that your dog can speak Urdu? That your daughter is dying of leukemia? That you almost broke under the pressure once, but somehow you survived. That tonight the air feels the way it did the first time you fell in love?  These are matters that matter to people who appreciate and value your spirit. They are not material to a materialism that views human beings only through monetary criteria of value.\n\nIn adopting such a one-dimensional perspective, business has devalued the world it once represented. This stance is not an intrinsic aspect of business. It's not a given, not irreversible. Historically, the only-money-is-material attitude is fairly recent. I'm always amazed to hear people singing the Queen lyric\u2014\"we are the champions of the world\"\u2014after their team wins a football game. I suspect the inspiration for this song had about as much to do with sports as the Star Spangled Banner had to do with web advertising. It's not about taking home the trophy. It's about _championing the world_. Four definitions are listed for \" _champion_ \" in _The American Heritage Dictionary_. The first two involve contending and winning prizes. But the second two entail speaking on behalf of, or defending the honor of, some other entity. \"3. An ardent defender or supporter of a cause or another person: a champion of the homeless. 4. One who fights; a warrior.\" Business was once a champion of the world in this larger sense.\n\nDo you remember the sublunary sphere we talked about back toward the beginning of all this? Skipped that bit, did you? It figures. Well, for you slackers then, the sublunary sphere was the material world and _all_ its material girls\u2014the world, literally, under the orbit of the moon. In the eyes of the early Christian Church, the \"things of this world\" were mundane\u2014that is, \" _worldly_ \" in a highly pejorative sense. The other world (as in _\"otherworldly\")_ was the only world worth having any truck with: the destination of the just: heaven. What happened down here below on earth was of no interest or importance except as it related to getting _out_ of this world, escaping this vale of toil and tears for a purely spiritual realm, \"a better place.\" This was echoed in the Manichean dualism with which we opened this final chapter: world bad, spirit good. Simply put, matter didn't matter.\n\nTo say the least, this is a dim view of life on earth. What changed it was largely business. Business championed the world as no other segment of society had dared. It concerned itself with people and their needs, their hopes and dreams. It trafficked in desire and traded in \"filthy lucre.\" It made the world its home base and permanent  headquarters. It also made the world a better place. Less toilful for many. Less tearful for most. It did not eradicate pain and injustice. It did not create heaven on earth. But that was never its aim. Always in favor of the pragmatic business plan, its aim was earth on earth. And no apologies.\n\nHistorically and culturally, this was a huge accomplishment, and in many respects, a great leap for civilization. Significantly, business did not accomplish this by opposing matter to spirit and winning in a head-to-head contest, but rather by accommodating itself to the world of spirit and showing that the two were not incompatible. Commercial and ecumenical values were shown to be non-exclusive. But over time, business came to recast _all_ values that were once commonly held by the inhabitants of this worldly sphere in terms that were conducive only to its own interest in maximizing profit. In an ironic reversal, business has become the new Church, with an equally inflexible, if secular, binary dogma. Now money is everything, and personal wealth the Promised Land. The produce-market-consume cycle is all that matters, and anything falling outside it simply noise. Simply a challenge that can be steam-rollered with a better jingle, a shinier brand, a bigger advertising budget. If something comes along that business doesn't quite understand, something that doesn't fit its value proposition, hey, no problem: invoke the ancient catechism. But first, give it to the boys in marketing to give it a bit of a hook and a better spin. Disney World good, Internet bad.\n\nAnd so the thrashing continues, from pole to pole, until we're exhausted and ready to scream. Black vs. white. White vs. black. It's been going on for centuries. But quick, choose camps. Which side are you on?\n\nIt doesn't have to be this way.\n\nWe are people of earth. Feet firmly on the ground, we dream, but we also buy shoes. We explore each other's heads and hearts, but we also rent the occasional video, buy the occasional car or house or\u2014whoops, there goes the neighborhood, honey\u2014Eminem CD. Explicit lyrics and all. We value the spirit of the world that holds our lives in the balance so tentatively, but we also buy computers and carpets and zucchinis and vacuum cleaners and a million other things we need or want or decide\u2014though we know it's not true\u2014 that we just can't live without. And it's OK. All of it. It's OK that business makes stuff and tries to get us interested in buying it. It's OK that we're often interested in more than what business has to offer. We _might_ be interested if only business came across a little less lame, a little less blind to what we're all about. We are not the devils of McWorld. We are not the angels of Jihad. We are both and neither. We are people of earth.\n\nWhile dogma tends to limit and shut down the realm of the possible, contradiction and uncertainty enrich it. We have a name for people who deal with confusion without trying to reduce and simplify it, who enter into an open conversation with the world. We call them artists. Without artists, the world would be one big billboard. Without artists, the human dream would be over. Fortunately, it's not. Around populist artists\u2014though most wouldn't call themselves that\u2014new communities are emerging bottom-up on the net. An artist who connects with such a community is a shaman, a healer. And the disease that's gone truly viral, the malady that most needs a cure today is Either-Or Syndrome. Paradoxically, given where this emergence is taking place, being an artist is about being _non_ -digital, _non_ -binary. Not this versus that. Not that versus this. We are both and neither. We are more than is dreamed in your marketing plan, Horatio.\n\nBut isn't all this talk about artists ( _artists_ for God's sake!) really just more harebrained, impractical net-head bullshit? One last time, here's Philip Kotler, perhaps the world's most highly credentialed marketing authority, writing in _Harvard Business Review_ five years ago\u2014just as the Internet was getting off the ground and the notion of community as local and geographically bounded was being redefined as borderless and globally connected.\n\nBy supporting the arts, businesses demonstrate good citizenship, add polish to their corporate image, enhance their community's quality of life, and promote goodwill among customers, clients, and employees. Moreover, a thriving cultural community helps businesses recruit and retain highly educated and talented people. The collective power of these benefits allows businesses to attribute many of the cash expenses of collaborative ventures to marketing rather than philanthropic budgets.\n\nThe most critical factor in creating collaborative alliances between business and the arts, says Kotler, is trust. Internet artists and corporate underwriters must come to understand each other's view of the world. There is nothing written in stone that says the two must forever remain incompatible. But trust, says Kotler, \"cannot be built in the abstract by thinking, planning, and talking about it. The best way to build trust is to get to work.\"\n\nCommerce and culture don't need to be at war. They need to be reintegrated. The bellicose imagery of business\u2014waging campaigns, penetrating markets, beating the competition with killer-apps\u2014won't be changed by adopting a new net-correct vocabulary or more worshipful protestations about Valued Customers. Fears about a global economy replacing indigenous customs with cheap made-in-America media trash, and enslaving the populations of poor countries as indentured sweatshop workers, won't be ameliorated by breaking windows at anti-WTO rallies. Maybe there's no hope for such an integration. Maybe business and society are bound for head-on collision or head-on collusion and there's no other way out. In which case, we are all well and truly fucked. Either way, the end of life and the destruction of the world are guaranteed. The Manicheans get the last laugh. And we can all go to heaven happy.\n\nOn the other hand, the challenge may not be so daunting after all. That's what I'm betting. That's what this book has been about. The dot-com meltdown of 2000 didn't prove that commerce is unworkable online. It only proved that get-a-bigger-hammer tactics based on antiquated notions about mass markets and broadcast media are unworkable online. Even for high-latency MTFTTB (Mean Time From Tail To Brain) dinosaurs, the message is slowly sinking in. Business is tired of playing the clueless bad guy. People are tired of working for and buying from clueless bad-guy businesses. The gonzo model is a way that companies and Internet communities can begin to work together in genuine partnership. The net has heightened our consciousness of ourselves as a species. This is a profound shift, the implications of which we can barely glimpse, still only guess at. There is more to the world that's coming than electronic commerce. For one thing, there's a potential Renaissance waiting in the wings, an explosion of art and culture greater than that touched off 500 years\u2014not incidentally, by a  form of corporate underwriting. Florentine bankers wanted to be remembered for their patronage of the arts. We remember them today because it worked. But the rifts between workers and companies, between companies and their markets, are profound and the negative effects of these rents in the social fabric touch nearly everyone on the planet today. The healing has to begin somewhere. Commerce is an excellent starting point.\n\nThe ideas in this book will be only ideas at first, bloodless and abstract. But as people in corporations and Internet communities begin to get to know each other _as_ people\u2014as acquaintances, friends and even sparring partners\u2014begin to expect the unexpected. You know the cartoon that shows a scientist working out the formula for the Big Bang, and right in the middle it says \"then a miracle occurs\"? Expect that. Gonzo marketing is market advocacy. It's not zero-sum, not us-against-them. It's about lighting up the human network, creating a more humane global society\u2014and achieving undreamed-of market efficiencies in the process. While the reasons the gonzo model is necessary and inevitable may be complex, the method is simple. Hook up, connect, co-create, procreate. Redeploy. Foment joy. Brothers in arms, sisters of Avalon, champions of the world get to work.\n**notes**\n\n#  **Introduction**\n\n _Encarta Book of Quotations,_ developed for Microsoft Corporation by Blooms-bury Publishing, 1999.\n\n Look for the January 2001 Forrester Report \"The Snooze Factor: Sleepy Time in the Management Aisle.\" You won't be able to find it, however, because it doesn't exist. If you believed it did, seek immediate help from a professional gullibility counselor. Harley Manning, on the other hand, is a real research director at Forrester who reads Entropy Gradient Reversals and does, in fact, believe that most business books are better than Valium for getting to sleep at night. Much to the credit of both Manning and his company, this gratuitous chain yanking is published with knowledge aforethought and prior consent. Whatever those mean.\n\n Johan Huizinga, _Homo Ludens: A Study of the Play Element in Culture,_ Beacon Press, 1955. First published in Dutch, 1938. Quotes from the original foreword.\n\n _Encarta Book of Quotations_ , op. cit.\n\n Claude Levi-Strauss, _The Savage Mind_ , University of Chicago Press, 1966. Originally published in French as _La Pensee Sauvage_ , 1962.\n\n David Gates, \"Will We Ever Get Over Irony?,\" _Newsweek_ , January I, 2000, p. 90.\n\n Nitin Nohria and James D Berkley, \"Whatever Happened to the Take-Charge Manager?\" _Harvard Business Review_ , January, 1994, p. 128.\n\n No, we're not really putting down the fine indigenous cultures of Borneo and New Guinea. See irony, supra. Even better, see a headshrinker.\n\n Huizinga, op. cit.\n\n <http:\/\/www.ibm.com\/lous-grooves.html> Unfortunately, this page now reports \"Our apologies. . . 404 multifail.\"\n\n Daniel J. Boorstin, _Hidden History_ , Vintage Books, 1989.\n\n Shunryu Suzuki, _Zen Mind, Beginner's Mind_ , Weatherhill, 1972.\n\n Hunter S. Thompson, \"The Kentucky Derby is Decadent and Depraved,\" included in Tom Wolfe, _The New Journalism_ , Harper & Row, 1973. p. 179.\n\n Hunter S. Thompson, _Fear and Loathing in Las Vegas: A Savage Journey to the Heart of the American Dream_ , Vintage Books, 1971.\n\n Motley Fool, <http:\/\/www.fool.com>\n\n Gary Snyder, _The Practice of the Wild_ , North Point Press, 1990.\n\n _The I Ching or Book of Changes_ , translated by C. F. Baynes and R. Wilhelm, Princeton University Press, 1967.\n\n Hunter S. Thompson, op. cit.\n\n#  **Chapter 1**\n\n Taken from an obscure and badly translated Japanese arcade game, this meme burned up the net for a time. If you have to ask what it means, it's already too late. <http:\/\/www.scene.org\/redhound\/AYB.swf>. See also Jon Carroll, \"All your base are belong to us,\" _The San Francisco Chronicle_ , February 20, 2001. \"The Net revealed how slow the media were, maybe how slow they had always been. By the time something hit the mass media, it was over.\" <http:\/\/tribalwar.com\/forums\/showthread.php?threadid=24539>\n\n William Gibson, _Neuromancer_. New York: Ace Science Fiction Books, 1984.\n\n Part of this section appeared on _Feed_.<http:\/\/www.feedmag.com>\n\n Courtney Love, speaking to the Digital Hollywood online entertainment conference in New York on May 16 2000, as reproduced on _Salon_ -<http:\/\/www.salon.com\/tech\/feature\/2000\/06\/14\/love\/index.html>\n\n This section originally ran on Byte's web site on February 21, 2000.\n\n Entropy Gradient Reversals lives at <http:\/\/www.rageboy.com>\n\n _The Economist_ , \"Lost in cyberspace,\" December 16, 1999.\n\n For a sampling of the companies from which EGR draws subscribers, see <http:\/\/www.rageboy.com\/domains.html>\n\n As transcribed from the RealAudio file on Ford's website.\n\n _The New York Times_ , May 13, 2000; \"Ford's Admission Perplexes the Neighbors in Henry's Hometown.\"The full Ford \"1999 Corporate Citizenship Report\" is at: http:\/\/www.ford.com\/default.asp?pageid=399&storyid=387. The Ford \"Sport Utility Vehicle Case Study\" is online at: http:\/\/www.ford.com\/default.asp?pageid=399&storyid=742\n\n Jac Nasser, \"Letter to Ford Stakeholders\" at http:\/\/www.ford.com\/default.asp?pageid=399&storyid=733\n\n#  **Chapter 2**\n\n Charles D. Schewe and Alexander Hiam, _The Portable MBA in Marketing_ , John Wiley & Sons, 1998. Quotes taken from the glossary section, p. 473.\n\n Thorsten Veblen, _The Theory of the Leisure Class_ , 1899.\n\n Pink Floyd, \"Money,\" on _Dark Side of the Moon_ , 1973. Lyrics by Roger Waters.\n\n Philip Kotler, _Kotler on Marketing_ , Free Press, 1999, pp. 17-34.\n\n The Grateful Dead, \"Touch of Grey,\" on _In the Dark_ , 1987. Lyrics by Robert Hunter.\n\n Dylan Thomas, \"A Refusal to Mourn the Death, by Fire, of a Child in London,\" from _The Poems of Dylan Thomas_ , New Directions, 1971.\n\n Clifford Geertz, \"Thick Description: Toward an Interpretative Theory of Culture,\" in _The Interpretation of Cultures_ , Basic Books, 1973, p. 6.\n\n Ibid. p. 5.\n\n Peter L. Berger and Thomas Luckmann, _The Social Construction of Reality: A Treatise on the Sociology of Knowledge_ , Anchor Books, 1966, pp. 59.\n\n William Gibson, _Neuromancer_. New York: Ace Science Fiction Books, 1984.\n\n Friedrich Nietzsche, _The Will to Power_ , Random House, 1987. See also <http:\/\/plato.stanford.edu\/entries\/nietzsche\/>\n\n Marc Cohn, \"Walking in Memphis,\" on _Marc Cohn_ , 1991. Also performed by Cher on several albums and probably at least once in Las Vegas, home of the pyramids. The Talking Heads, \"Cities,\" on _Fear of Music_ , 1979. While it's not clear how many Greeks were in Memphis at any one time, David Byrne seems to have believed they were there in force. On the other hand, he's on the money about The King. Perhaps he believed, as I do, that Elvis said it best: \"we can't go on together with suspicious minds.\"\n\n Philip Kotler, _Marketing Management: The Millennium Edition_ , Prentice Hall, 2000, p. 15.\n\n http:\/\/www.ey.com\/global\/gcr.nsf\/US\/First_Mover_to_First_Prover_-_Thought_Center_-_Ernst_&_Young_LLP (emphasis in original)\n\n http:\/\/www.ey.com\/global\/gcr.nsf\/US\/Marketplaces~Business_Model__eBusiness_-_Ernst_&_Young_LLP\n\n _The American Heritage Dictionary of the English Language_ , _Fourth Edition_ , Houghton Mifflin, 2000.\n\n Benjamin R. Barber, _Jihad vs. McWorld: How Globalism and Tribalism Are Reshaping the World_ , Ballantine Books, 1995, p. 4\n\n Ibid, p. 220.\n\n Kris Kristofferson, \"Me & Bobby McGee.\" Also performed by Roger Miller (1969), Janis Joplin, and Jerry Lee Lewis (1972). \"Freedom's just another word for nothing left to lose.\"\n\n For instance: Duane E. Knapp, _The Brand Mindset: Five Essential Strategies for Building Brand Advantage Throughout Your Company_ , McGraw-Hill Professional Publishing, 1999. See also the related site where the quote appears <http:\/\/www.brandstrategy.com\/m_ebrand.htm>. Also: \"Our brand is everything to us,\" says Valerie Oberle, Vice President of Business Development at the Disney Institute - <http:\/\/www.qualitydigest.com\/jan97\/disney.html> Also: \"The brand is everything,\" says Bloomingdale's CEO Michael Gould - <http:\/\/www.columbia.edu\/cu\/business\/botline\/marketing.html>\n\n William Shakespeare, Sonnet 116.\n\n Charles Hardin and Norman Petty, \"Not Fade Away.\" Originally performed by Buddy Holly in 1957. Recorded by the Rolling Stones on their first album in 1964 and again in 1972 on _Exile On Main St._\n\n Gampopa, _The Jewel Ornament of Liberation_ , translated by Herbert Guenther, Shambala, 1959.\n\n _Webster's Third New International Dictionary: Unabridged_ , electronic edition, Merriam Webster, 2000.\n\n _The Oxford English Dictionary_ , second edition, Oxford University Press, 1989.\n\n _The Business of Alchemy: Science, Culture and the Holy Roman Empire_ , Pamela H. Smith, Princeton University Press, 1994. pp. 7-8.\n\n Ibid. p. 9.\n\n Hamish Pringle and Marjorie Thompson, _Brand Spirit: How Cause Related Marketing Builds Brands_ , John Wiley & Sons, 1999, p. 57.\n\n Dire Straits, \"Sultans of Swing,\" on _Dire Straits_ , 1978. Thank you, goodnight, now it's time to go home.\n\n Recast from _The Old Testament_ , Genesis 1:2, King James version.\n\n Tracy Kidder, _The Soul of a New Machine_ , Little Brown and Company, 1981. See also, Laurie Windham, _The Soul of the New Consumer: The Attitudes, Behavior, and Preferences of E-Customers_ , Allworth Press, 2000.\n\n Barry Heermann, _Building Team Spirit: Activities for Inspiring and Energizing Teams_ , McGraw-Hill, 1997. From the introduction, online at <http:\/\/www.coax.net\/spirit_at_work\/intro.htm>. See also, John W. Newstrom and Edward Scannell, _The Big Book of Team Building Games: Trust-Building Activities, Team Spirit Exercises, and Other Fun Things to Do_ , McGraw-Hill, 1998.\n\n _The Oxford English Dictionary_ , second edition, Oxford University Press, 1989.\n\n Lou Reed, \"Take a Walk On the Wild Side,\" on _Transformer_ , 1972.\n\n Jefferson Airplane, \"White Rabbit,\" on _Surrealistic Pillow_ , 1967.\n\n Homer, _The Iliad,_ translated by Samuel Butler.\n\n Homer, _The Odyssey,_ translated by Samuel Butler.\n\n See \"Content is King,\" a talk delivered by Bill Gates, Chairman of Microsoft Corporation, January 3, 1996. <http:\/\/www.microsoft.com\/billgates\/columns\/1996essay\/essay960103.asp>\n\n David Noble, _A World Without Women: The Christian Clerical Culture of Western Science_ , Knopf, 1992.\n\n#  **Chapter 3**\n\n Aldous Huxley, _The Olive Tree And Other Essays_ , 1936.\n\n Adolf Hitler, _Mein Kampf_ , 1933.\n\n <http:\/\/adage.com\/news_and_features\/special_reports\/mktg100-1999\/index.html>\n\n <http:\/\/adage.com\/century\/jingles.html>\n\n Rob Walker, \"Biz.Com: Four e-business journalists offer a guide to the new capitalism in the Internet age,\" a review of _The Cluetrain Manifesto_ in _The New York Times Book Review_ , March 26, 2000.\n\n Leslie Kaufman, \"Tuning In the New Way: The Internet Scene May Just Have a Lot in Common with the 1960's,\" _The New York Times_ , April 10, 2000.\n\n Philip Kotler, \"Reflections on Marketing,\" the preface to The Kellogg Marketing Faculty, Northwestern University, _Kellogg on Marketing_ , Dawn Iacobucci (editor), John Wiley & Sons, 2001.\n\n Philip Kotler, \"Marketing in the Age of Information Democracy,\" in The Kellogg Marketing Faculty, Northwestern University, _Kellogg on Marketing_ , Dawn Iacobucci (editor), John Wiley & Sons, 2001, p. 387.\n\n Christopher Locke, \"Take My Word for It,\" _Journal of the Wild-Assed Guess_ , September, 1995.\n\n <http:\/\/www.kraftfoods.com\/html\/brands\/brands.html>\n\n U2, \"Even Better Than the Real Thing,\" _Achtung Baby_ , Island Records Ltd., 1991.\n\n Richard Earle, _The Art of Cause Marketing: How to Use Advertising to Change Personal Behavior and Public Policy_ , NTC Business Books, 2000. Italics in original.\n\n After writing this, I discovered that the _Harvard Business Review_ Paperback Series does include two volumes with \"marketing\" in their titles, though both are much older. _Sharpening the Marketing Edge_ was published over 10 years ago, and _Consumer Marketing Strategies_ is out of print.\n\n Randall Rothenberg, \"What Makes Sense, and Doesn't, or How to Resist Internet's Song,\" _Advertising Age_ , August 5, 2000. <http:\/\/adage.com\/news_and_features\/rr_viewpoint\/archives\/rr20000508.html>\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , July-August 1960.\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , reprinted September-October 1975. The quote is from Levitt's \"Retrospective Commentary\" on his original 1960 article.\n\n Jill Rosenfeld, \"Experience the Real Thing,\" _Fast Company_ , January\/February 2000.\n\n David Byrne (director), _True Stories_ , 1986. A highly satirical look at a small Texas town during its \"celebration of specialness.\" Jamie Uys (director), _The Gods Must Be Crazy_ , 1980. A Coke bottle falls from the sky in the Kalahari desert causing severe cultural disruption to a tribe of Bushmen.\n\n Jill Rosenfeld, \"Experience the Real Thing,\" _Fast Company_ , January\/February 2000.\n\n Sergio Zyman, _The End of Marketing As We Know It_ , HarperCollins, 2000.\n\n Quoted with the permission of the poster.\n\n Thomas Scoville, \"Legends in Their Own Minds,\" _Salon_ , December 16, 1999. <http:\/\/www.salon.com\/tech\/books\/1999\/12\/16\/renegades\/index.html>\n\n Jerry Della Femina and Sergio Zyman, \"It's a Mad, Mad, Mad Ad World,\" _Context_ , December 2000\/January 2001. <http:\/\/www.contextmag.com\/setFrameRedirect.asp?src=\/archives\/200012\/thelastword.asp>\n\n Courtney Love, speech at the Digital Hollywood online Entertainment Conference, New York, May 16, 2000. Published on _Salon_ as \"Courtney Love Does the Math\" <http:\/\/www.salon.com\/tech\/feature\/2000\/06\/14\/love\/index.html>\n\n Susan Sesolak, \"Discovering Sources for Segmentation Data.\" from the companion website to Philip Kotler, _Marketing Management: The Millennium Edition_ , Prentice Hall, 2000. The quote is from an \"Internet exercise\" dealing with chapter 9: Identifying Market Segments and Selecting Target Markets. <http:\/\/cw.prenhall.com\/bookbind\/pubbooks\/kotler5\/chapter9\/deluxe.html>\n\n Ibid. Susan Sesolak, \"Discovering Sources For Segmentation Data.\"\n\n Harry Webber, _Divide and Conquer: Targeting Your Customers Through Market Segmentation_ , John Wiley & Sons, 1998. Michael J. Weiss, _The Clustered World: How We Live, What We Buy, and What It All Means About Who We Are_ , Little, Brown and Company, 2000.\n\n Regis McKenna, _The Regis Touch: New Marketing Strategies For Uncertain Times_ , Addison-Wesley, 1986.\n\n Regis McKenna, _Relationship Marketing: Successful Strategies for the Age of the Customer_ , Addison-Wesley, 1991.\n\n B. Joseph Pine II, _Mass Customization: The New Frontier in Business Competition_ , Harvard Business School Press, 1993. See also: James H. Gilmore and B. Joseph Pine II, _Markets of One: Creating Customer-Unique Value Through Mass Customization_ , A Harvard Business Review Book, 2000.\n\n See for instance, Don Peppers and Martha Rogers, _Enterprise One to One: Tools for Competing in the Interactive Age_ , Doubleday\/Currency, 1997.\n\n In 1999, I created personalization.com for Net Perceptions. At the beginning of 2001, I handed off my position as editor in chief to Eric Norlin. In June 2001, Net Perceptions decided to close down the site. <http:\/\/www.personalization.com>\n\n See a somewhat more detailed discussion in Christopher Locke, \"Beyond Purchase Circles,\" _personalization.com_ , November, 1999. <http:\/\/www.personalizationcom\/soapbox\/columns\/clocke-column-3.asp>.\n\n Malcolm Gladwell, \"The Science of the Sleeper: How the Information Age Could Blow Away the Blockbuster,\" _The New Yorker_ , October 4, 1999. <http:\/\/www.gladwell.com\/1999_10_04_a_sleeper.htm>\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , July-August, 1960, pp. 45-65.\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , reprinted September-October 1975. The quote is from Levitt's \"Retrospective Commentary\" on his original 1960 article.\n\n Some of the material in this section is from an interview I did for the journal of the American Association of Advertising Agencies: \"The Fortune Tellers,\" _Agency_ (Vol. 10, No. 1), Winter 2000.\n\n Steven M. Cristol and Peter Sealey, _Simplicity Marketing: Relieving Customer Stress in the Digital Age_ , Free Press, 2000. Much of the material in this section is from my article \"Smart Customers, Dumb Companies,\" _Harvard Business Review_ , November-December, 2000.\n\n Ibid. Cristol and Sealey, p. 201.\n\n Ibid. Cristol and Sealey, p. 190.\n\n Ibid. Cristol and Sealey, p. 7.\n\n Tom Petty, \"I Won't Back Down,\" on _Full Moon Fever_ , MCA Records, 1989.\n\n <http:\/\/www.thestandard.com\/people\/display\/0,1157,1043,00.html>\n\n Personal communication.\n\n Seth Godin, _E-Mail Addresses of the Rich & Famous_, Addison-Wesley, 1994. p. viii.\n\n Seth Godin, _Permission Marketing: Turning Strangers Into Friends and Friends Into Customers_ , Simon & Schuster, 1999.\n\n Peter Sealey, \"How E-Commerce Will Trump Brand Management,\" _Harvard Business Review_ , July-August 1999.\n\n Seth Godin, \"Unleash Your Ideavirus,\" _Fast Company_ , August 2000, p. 115. <http:\/\/www.fastcompany.com\/online\/37\/ideavirus.html>\n\n Seth Godin, \"Unleash Your Ideavirus,\" _Fast Company_ , August 2000, p. 115. <http:\/\/www.fastcompany.com\/online\/37\/ideavirus.html>\n\n Christopher Locke, \"Internet Apocalypso,\" _The Cluetrain Manifesto_ , Perseus, 2000.\n\n Seth Godin, \"Unleash Your Ideavirus,\" _Fast Company_ , August 2000, p. 115. <http:\/\/www.fastcompany.com\/online\/37\/ideavirus.html>\n\n Seth Godin, \"Unleash Your Ideavirus,\" _Fast Company_ , August 2000, p. 115. <http:\/\/www.fastcompany.com\/online\/37\/ideavirus.html>\n\n Seth Godin, _Unleashing the Ideavirus_ , electronic edition, Do You Zoom, Inc., 2000. <http:\/\/www.ideavirus.com>\n\n Emanuel Rosen, _the anatomy of buzz: how to create word of mouth marketing_ , Doubleday\/Currency, 2000. p. 195.\n\n With the exception of this statement, all Seth Godin's remarks in this section are direct quotes from his book, _Permission Marketing: Turning Strangers into Friends and Friends into Customers_ , Simon & Schuster, 1999.\n\n Parts of this section previously appeared in different form as \"The Halcyon Days of Broadcast Ad Model Fade,\" _Digitrends_ , October 2000. Also online at <http:\/\/www.digitrends.net\/marketing\/11542_12584.html>\n\n Thomas S. Kuhn. _The Structure of Scientific Revolutions_ , third edition, University of Chicago Press, 1996. Originally published in 1962.\n\n From an interview on C-SPAN's Booknotes, March 7, 1999. <http:\/\/www.booknotes.org\/transcripts\/50506.htm>\n\n#  **Chapter 4**\n\n A different version of this chapter ran in Esther Dyson's _Release 1.0_ in February, 2000.\n\n <http:\/\/www.personalization.com>. After creating the site and getting the core community together, I passed the project on to Eric Norlin, who is now editor in chief.\n\n <http:\/\/www.opensource.org>\n\n Elizabeth Weise, \"Future Will Be Up Close And Personal,\" _USA Today_ , November 23, 1999.\n\n I forget the publication this interview appeared in. Email me if you know.\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , July-August 1960.\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , July-August 1960.\n\n Emily Warn, _The Novice Insomniac_ , Copper Canyon Press, 1996.\n\n IBM press release, \"Web Integrators, Hosters and Incubators Now to Provide IBM Offering for Internet Start-Ups,\" Partnerworld, Atlanta, GA, February 26, 2001.\n\n <http:\/\/www.cluetrain.com>\n\n Olu Oni, \"Ashby's Law Revisited,\" <http:\/\/members.home.net\/onis\/articles\/feature1.htm>\n\n Brian Millar, \"Modern Life is Rubbish,\" _personalization.com_ , www.personalization.com\/soapbox\/contributions\/millar.asp.\n\n#  **Chapter 5**\n\n Robert D. Putnam _, Bowling Alone: The Collapse and Revival of American Community_ , Simon & Schuster, 2000, p. 171.\n\n Philip Kotler and Gerald Zaltman, \"Social Marketing: An Approach to Planned Social Change,\" _Journal of Marketing_ , July 1971, pp. 3-12.\n\n Philip Kotler and Eduardo L. Roberto, _Social Marketing: Strategies for Changing Public Behavior_ , Free Press, 1989, p. 24.\n\n Doug McKenzie-Mohr and William Smith, _Fostering Sustainable Behavior: An Introduction to Community-Based Social Marketing_ , New Society Publishers, 1999.\n\n Neill McKee, _Social Mobilization & Social Marketing in Developing Communities: Lessons for Communicators_, Southbound, 1993.\n\n _Chin Saik Yoon,_ \"Participatory Communication for Development,\" in Guy Bessette and C.V. Rajasunderam (editors), _Participatory Development Communication: A West African Agenda,_ Stylus Publications, 1996.\n\n _Encarta World English Dictionary_ , 1999. Developed for Microsoft by Blooms-bury Publishing Plc.\n\n Rudyard Kipling, \"The White Man's Burden,\" _McClure's Magazine,_ February, 1899. <http:\/\/www.boondocksnet.com\/kipling\/kipling.html> in Jim Zwick, (editor) _Anti-Imperialism in the United States, 1898-1935_ <http:\/\/www.boondocksnet.com\/ail98-35.html> (January 8, 2001).\n\n Ariel Dorfman and Armand Mattelart, _How to Read Donald Duck: Imperialist Ideology in the Disney Comic_ , International General, 1984. While it pre-dates the net by a bit, this seems relevant to the general theme.\n\n Elaine Lawless, _Holy Women, Wholly Women: Sharing Ministries Through Life Stories and Reciprocal Ethnography_ , University of Pennsylvania Press, 1993. Special thanks to my sister, Elizabeth Locke, who pointed out the potential relevance of reciprocal ethnography to gonzo marketing.\n\n _Chin Saik Yoon,_ op. cit.\n\n _The Blues Brothers_ , Universal Pictures, 1980.\n\n Shirley Sagawa and Eli Segal, _Common Interest, Common Good: Creating Value Through Business and Social Sector Partnerships_ , Harvard Business School Press, 1999, p. 117.\n\n Sue Adkins, _Cause Related Marketing: Who Cares Wins_ , Butterworth-Heinemann, 2000, p. 11.\n\n Stuart Elliott, \"Advertising: Absolut to Salute GLAAD,\" _The New York Times_ , February 22, 2001.\n\n Share Our Strength is online at <http:\/\/www.strength.org>\n\n Bill Shore, _The Cathedral Within: Transforming Your Life by Giving Something Back_ , Random House, 1999.\n\n Richard Earle, _The Art of Cause Marketing: How to Use Advertising to Change Personal Behavior and Public Policy_ , NTC Business Books, 2000, p. 3.\n\n Philip Kotler and Alan R. Andreason, _Strategic Marketing for Nonprofit Organizations,_ fifth edition _,_ Prentice Hall, 1996, p. 304.\n\n Philip Kotler and Alan R. Andreason, _Strategic Marketing for Nonprofit Organizations,_ fifth edition _,_ Prentice Hall, 1996, p. 389.\n\n Philip Kotler and Alan R. Andreason, _Strategic Marketing for Nonprofit Organizations,_ fifth edition _,_ Prentice Hall, 1996, p. 388.\n\n Hamish Pringle and Marjorie Thompson, _Brand Spirit: How Cause Related Marketing Builds Brands_ , John Wiley & Sons, 1999, p. xix. Edward de Bono has written many books, perhaps the best known of which is _Lateral Thinking_.\n\n \"A Short Course in Social Marketing,\" Novartis Foundation for Sustainable Development, 2001. <http:\/\/www.foundation.novartis.com\/social_marketing.htm>\n\n \"Social Marketing for Epilepsy,\" _Novartis Foundation for Sustainable Development, 2001._ <http:\/\/www.foundation.novartis.com\/social_marketing_epilepsy.htm>\n\n Dan Bischoff, \"Consuming Passions,\" _Ms._ magazine, December 2000\/January 2001, pp. 61-65.\n\n Philip Kotler and Alan R. Andreason, _Strategic Marketing for Nonprofit Organizations,_ fifth edition _,_ Prentice Hall, 1996, p. 306.\n\n Philip Kotler, _Kotler on Marketing_ , Free Press, 1999, p. 14.\n\n Evantheia Schibsted, \"Shock It to You,\" _Business 2.0_ , May 1, 2000.\n\n \"Advertising and death,\" _The Economist_ , February 17, 2000.\n\n Luciano Benetton, March 1998, <http:\/\/www.benetton.com\/wws\/aboutyou\/peopleplaces\/file2063.html>\n\n Debra Ollivier, \"The Colorful Dissenter of Benetton,\" _Salon_ , April 17, 2000. <http:\/\/www.salon.com\/people\/feature\/2000\/04\/17\/toscani_int\/index.html>. Some quotes are from the associated interview, \"Toscani in His Own Words,\" which begins at <http:\/\/www.salon.com\/people\/feature\/2000\/04\/17\/toscani_int\/index1.html>\n\n Ibid.\n\n John Rossant, \"The Faded Colors of Benetton,\" _Business Week_ , April 10, 1995.\n\n Benetton corporate press release, \"Benetton Advertising: Toscani Passes The Baton,\" Ponzano, Italy, April 29, 2000. <http:\/\/www.benetton.com\/press\/sito\/press_releases\/press2000\/communication\/oting.html>\n\n _Talk_ magazine, \"the Players\" (editorial team), <http:\/\/www.talkmagazine.com\/players\/index.html>\n\n Reviewing _Talk_ magazine, Alex Kuczynski writes: \"Of 22 articles in the first four issues written by people in the film industry or about people or characters in the film industry, 11 featured people recently or currently affiliated with Miramax or Disney Projects.\" As reported in \"The Critics: Mainstream Media,\" _Columbia Journalism Review_ , March\/April 2000. On the other hand, Michael Wolff reports on an interview with Tina Brown about _Talk_. \"We want it to have the feeling of the voices of the Web.\" Wolff notes that she adds \"Of course we want it to be accurate.\" Michael Wolff, \"All Talk,\" _New York Magazine_ , January 25, 1999.\n\n Oliviero Toscani, _1000 Extra\/Ordinary Objects_ , Taschen America, 2000. <http:\/\/www.benetton.com\/wws\/aboutmake\/colors\/index.html>\n\n Rosabeth Moss Kanter in the preface to Shirley Sagawa and Eli Segal, _Common Interest, Common Good: Creating Value Through Business and Social Sector Partnerships_ , Harvard Business School Press, 1999.\n\n See for instance: NikeWatch at <http:\/\/www.caa.org.au\/campaigns\/nike\/index.html>; Corporate Watch at <http:\/\/www.corpwatch.org\/trac\/nike\/announce\/nikes.html>; and the Boycott Nike site at <http:\/\/www.saigon.com\/nike\/>. These are just near-random examples of the kind of public corporate oversight the web has enabled.\n\n Garrett Hardin, \"The Tragedy of the Commons,\" _Science_ , 162, 1968, pp. 1243-1248.\n\n Robert D. Putnam _, Bowling Alone: The Collapse and Revival of American Community_ , Simon & Schuster, 2000, p. 19.\n\n By Farrell, \"Bring Back the Quilting Bee,\" a review of _Bowling Alone_ in _Business Week_ , June 26, 2000.\n\n Robert D. Putnam _, Bowling Alone: The Collapse and Revival of American Community_ , Simon & Schuster, 2000, p. 171.\n\n Eric L. Lesser, _Knowledge and Social Capital: Foundations and Applications_ , Butterworth-Heinemann, 2000.\n\n Eric L. Lesser, _Knowledge and Communities_ , Butterworth-Heinemann, 2000.\n\n John Seely Brown and Paul Duguid, \"Organizational Learning and Communities of Practice: Toward a Unified View of Working, Learning, and Innovation,\" originally published in _Organization Science_ , February, 1991. The George W. Bush quote is purportedly from a talk he gave in Arlington Heights, Ill., on Oct. 24, 2000. \"It's important for us to explain to our nation that life is important. It's not only life of babies, but it's life of children living in, you know, the dark dungeons of the Internet.\"\n\n John Seely Brown and Paul Duguid, _The Social Life of Information_ , Harvard Business School Press, 2000.\n\n Jay Rosen, posted to Amazon.com November 22, 1999. <http:\/\/www.amazoncom\/exec\/obidos\/tg\/stores\/detail\/-\/books\/0300078234\/reviews\/>.\n\n Tom Goldstein, \"Good Question\" (review of _What Are Journalists For?_ ), _The New York Times_ , November 14, 1999.\n\n James Fallows, _Breaking the News: How the Media Undermine American Democracy_ , Vintage Books, 1997, p. 260.\n\n Rosen, _What Are Journalists For?_ , Yale University Press, 1999, p. 34.\n\n From an interview on C-SPAN's Booknotes, July 25, 1999. <http:\/\/www.booknotes.org\/transcripts\/50525.htm>\n\n Howard Kurtz, _Media Circus: The Trouble with America's Newspapers_ , Times Books\/Random House, 1993, p. 341.\n\n Jon Katz discussing his book - _Virtuous Reality: How America Surrendered Discussion of Moral Values to Opportunists, Nitwits & Blockheads Like William Ben-nett_ on _Booknotes_ , Air Date: March 23, 1997. <http:\/\/www.booknotes.org\/transcripts\/50404.htm>\n\n James S. Ettema and Theodore L. Glasser, _Custodians of Conscience: Investigative Journalism and Private Virtue_ , Columbia University Press, 1998, p. 61.\n\n For an interesting note on McGuffins, see <http:\/\/nextdch.mty.itesm.mx\/~plopezg\/Kaplan\/Mcguffin.html>\n\n Tom Wolfe, _The New Journalism_ , Harper & Row, 1973.\n\n Kevin Kerrane and Ben Yagoda (editors), _The Art of Fact: A Historical Anthology of Literary Journalism_ , Touchstone Books, 1998. Also: Norman Sims (editor), _The Literary Journalists_ , Ballantine Books, 1984. Also: Norman Sims (editor), _Literary Journalism: A New Collection of the Best American Nonfiction_ , Ballantine Books, 1995.\n\n Jack Fuller, _News Values: Ideas for an Information Age_ , University of Chicago Press, 1997, p. 136.\n\n Hunter S. Thompson, \"The fix is in,\" _ESPN, Page 2,_ <http:\/\/espn.go.com\/page2\/s\/thompson\/001127.html>\n\n David T.Z. Mindich, _Just the Facts: How \"Objectivity\" Came to Define American Journalism_ , New York University Press, 1998.\n\n Mary Linsky, \"The Public Interest in Journalism,\" _The American Prospect,_ January 17, 2000. See also, Walter Lippmann, _Public Opinion_ , Free Press Paperbacks (Simon & Schuster), 1997. Originally published by Macmillan in 1922.\n\n Jurgen Habermas, _Legitimation Crisis_ , Beacon Press, 1975. German edition originally published in 1973. J\u00fcrgen Habermas, _The Structural Transformation of the Public Sphere: An Inquiry into a Category of Bourgeois Society_ , MIT Press, 1991. German original published 1962.\n\n Scott Sonner, \"Publisher Sees Newspapers Flourishing in Internet Era,\" Associated Press, dateline: Reno, Nevada, April 1, 2000, available at <http:\/\/www.sfgatecom\/cgi-bin\/article.cgi?file=\/news\/archive\/2000\/04\/01\/state0401EST0107.DTL>.\n\n Bartholomew H. Sparrow, _Uncertain Guardians: The News Media as a Political Institution_ , Johns Hopkins University Press, 1999; Martin A. Lee and Norman Solomon, _Unreliable Sources: A Guide to Detecting Bias in News Media_ , Lyle Stuart,  1990; Robert W. McChesney, _Rich Media, Poor Democracy: Communication Politics in Dubious Times_ , University of Illinois Press, 1999; _Republic of Denial: Press, Politics and Public Life_ , Yale University Press, 1999; Doug Underwood, _When MBAs Rule the Newsroom_ , Columbia University Press, 1993; Martin Plissner, _The Control Room: How Television Calls the Shots in Presidential Elections_ , Free Press, 1999; Howard Kurtz, _Media Circus: The Trouble with America's Newspapers_ , Times Books, 1993; James Fallows, _Breaking the News: How the Media Undermine American Democracy_ , Vintage, 1997.\n\n Gary Snyder, _The Practice of the Wild_ , North Point Press, 1990.\n\n Dawn B. Sova, _Banned Books_ , Facts on File, 1998. The series includes four volumes: _Literature Suppressed on Political Grounds, Literature Suppressed on Sexual Grounds, Literature Suppressed on Religious Grounds,_ and _Literature Suppressed on Social Grounds\u2014_ the Florida (Chaucer) case appears in the last, pp. 64-65. All the authors listed in this paragraph are included in the series.\n\n _Better Than Sex: Confessions of a Political Junkie\u2014The Gonzo Papers, Volume 4_ , Hunter S. Thompson, Ballantine Books, 1994. p. 243. Italics in original.\n\n Dave Barry, _Big Trouble_ , Berkeley Books, 2001, pp. 14-15.\n\n Edward S. Herman and Noam Chomsky, _Manufacturing Dissent: The Political Economy of the Mass Media_ , Pantheon Books, 1988, p. xi.\n\n Ben H. Bagdikian, _The Media Monopoly_ , Fifth edition, Beacon Press, 2000.\n\n Herbert J. Gans, _Deciding What's News: A Study of CBS Evening News, NBC Nightly News, Newsweek, and Time_ , Vintage Books, 1989, p. 313.\n\n Herbert Gans, _Popular Culture and High Culture: An Analysis and Evaluation of Taste_ , Basic Books, 1999, p. 175. Originally published in 1974.\n\n#  **Chapter 6**\n\n Gary Armstrong and Philip Kotler, _Marketing: An Introduction_ , fifth edition, Prentice Hall, 1999, p. 183.\n\n Ben H. Bagdikian, _The Media Monopoly_ , Fifth edition, Beacon Press, 2000. pp. x-xxi.\n\n Saul Hansell, \"Disney to Abandon Portal Site,\" _New York Times,_ January 30, 2001.\n\n Nico Detourn, \"Was Disney's Go.com a Goofy Idea?,\" _Motley Fool,_ January 30, 2001. <http:\/\/www.fool.com\/news\/2001\/dis010130.htm>\n\n Walt Disney Internet Group investor relations page, <http:\/\/disney.go.com\/investors\/wdig\/invest.html>\n\n Michael Wolff, \"Eisner Un-Moused?\" New York Magazine, July12, 1999, <http:\/\/www.newyorkmag.com\/page.cfm?page_id=143>.\n\n Source is a timeline accompanying Christopher Parkes, \"Disney ends Go.com portal,\" _The Financial Times_ , January 29, 2001.\n\n Brad King, \"Placing Product Before Art,\" _Wired News_ , February 1, 2001.\n\n Abbot Joseph Liebling, \"Do You Belong in Journalism?,\" _The New Yorker,_ May 14, 1960.\n\n Malcolm Gladwell, _The Tipping Point: How Little Things Can Make a Big Difference_ , Little Brown, 2000.\n\n Personal communication\n\n <http:\/\/www.sweetfancymoses.com\/crowley_dream>\n\n Christopher Locke, \"Writer's Bloc,\" _Sweet Fancy Moses_ , <http:\/\/www.sweetfancymosescom\/locke_bloc.htm>.\n\n <http:\/\/www.plastic.com>\n\n <http:\/\/www.suck.com>\n\n <http:\/\/www.feedmag.com>\n\n Jamie Heller, \"Online Journalism Coming Into Its Own.,\" _The New York Times_ , August 3, 1998.\n\n Carl Hiaasen, _Kick Ass_ , University Press of Florida, 1999.\n\n \"Badges? We ain't got no badges. We don't need no badges. I don't have to show you any stinking badges!\" Dialogue from _The Treasure of the Sierra Madre_ , 1948.\n\n Steven Jones, \"The Bias of the Web,\" in Andrew Herman and Thomas Swiss (editors), _The World Wide Web and Contemporary Cultural Theory_ , p. 177. The embedded quote is from Marshall McLuhan, _Understanding Media, The Extensions of Man_ , Penguin, 1964, p. 266.\n\n Paul Farhi, \"The Dotcom Brain Drain: Print Journalists Are Heeding the Siren Song of the Internet,\" _American Journalism Review_ , March, 2000.\n\n <http:\/\/w.moreover.com\/site\/about\/team\/index.html#nickdenton>\n\n Lisa Guernsey, \"Mining the 'Deep Web' with Sharper Shovels,\" _The New York Times_ , January 25, 2001.\n\n Randall Rothenberg, \"What Makes Sense, and Doesn't, or How to Resist Internet's Song,\" _Advertising Age_ , August 5, 2000. <http:\/\/adage.com\/news_and_features\/rr_viewpoint\/archives\/rr20000508.html>\n\n Lisa Guernsey, \"Mining the 'Deep Web' With Sharper Shovels,\" _The New York Times_ , January 25, 2001.\n\n <http:\/\/www.blogger.com>\n\n <http:\/\/www.newsblogger.com>\n\n <http:\/\/www.onlinejournalism.com>\n\n Scott Shuger and others, \"Today's Papers\" (ongoing column), _Slate_ , <http:\/\/slate.msn.com\/code\/TodaysPapers\/TodaysPapers.asp>\n\n Julia Lipman, \"Weblogs Crawl Out from Underground,\" _digitalMASS,_ December 13, 2000. <http:\/\/digitalmass.boston.com\/columns\/internet\/1213.html>\n\n <http:\/\/www.tompeters.com\/content\/weblogs\/index.html>\n\n Philip Kotler and Gary Armstrong, _Principles of Marketing_ , 9th edition, Prentice Hall, 2001, pp. 247-248.\n\n Philip Kotler and Alan R. Andreason, _Strategic Marketing for Nonprofit Organizations,_ fifth edition _,_ Prentice Hall, 1996, p. 397. Italics added.\n\n#  **Chapter 7**\n\n _Newsweek_ , May 12, 1980, as quoted in _The Oxford English Dictionary_ , second edition, Oxford University Press.\n\n Theodore Levitt, \"Marketing Myopia,\" _Harvard Business Review_ , July-August 1960.\n\n Adolph S. Ochs, in an address to the Philadelphia convention of the Associated Advertising Clubs of the World, June 26, 1916. Cited in Elmer Davis, _History of the New York Times, 1851-1921_ , which is in turn cited in Walter Lippmann, _Public Opinion_ , Free Press Paperbacks (Simon & Schuster), 1997. Originally published by Macmillan in 1922.\n\n Thanks and a tip o' the hat to _Rocky Horror_. If you're not familiar with this film, go rent it, Frederick. Give yourself over to absolute pleasure. Find out what bottom-up is all about. Oh, Frankie!\n\n#  **Chapter 8**\n\n Blanche Carter, \"Devil or Angel.\" Performed by The Clovers in 1956; also by Bobby Vee in 1960.\n\n Cyndi Lauper and Jan Pulsford \"You Don't Know,\" _Sisters of Avalon_ , Epic (Sony), 1997.\n\n Benjamin R. Barber, _Jihad vs. McWorld: How Globalism and Tribalism Are Reshaping The World_ , Ballantine Books, 1995. Thomas L. Friedman, _The Lexus and Olive Tree_ , Farrar Straus & Giroux, 2000.\n\n \"Any sufficiently advanced technology is indistinguishable from magic.\" The line appears in Arthur C. Clarke, _Profiles of the Future: An Inquiry into the Limits of the Possible_ , 1962.\n\n Nicholas Negroponte, _Being Digital_ , Knopf, 1995.\n\n Mick Jagger and Keith Richards, \"It's Only Rock & Roll,\" performed by The Rolling Stones on _It's only Rock & Roll_, 1974.\n\n Thomas L. Friedman, \"Hype and Anti-Hype,\" _The New York Times_ , February 23, 2001.\n\n Freddy Mercury, \"We Are the Champions,\" performed by Queen on _News of the World_ , 1977.\n\n Joanne Scheff and Philip Kotler, \"How the Arts Can Prosper Through Strategic Collaborations,\" _Harvard Business Review_ , January 1996, p. 52.\n\n Joanne Scheff and Philip Kotler, op. cit.\n\n Mark Knopfler, \"Bothers in Arms,\" performed by Dire Straits on _Bothers in Arms_ , 1985.\n**index**\n\n1-to-1 marketing\n\n4 Ps of marketing\n\n##\n\nABC\n\nAccenture (Andersen Consulting)\n\n_Advertising Age_\n\nadvocacy journalism\n\nAfrica\n\nAIDS\n\naircraft design\n\nalchemy\n\nAltamira\n\nAltaVista\n\namateur spirit\n\nAmazon.com\n\nAmerican Airlines\n\nAmerican Express\n\n_American Journalism Review_\n\nAmerican Revolution\n\n_Anatomy of Buzz, The_ (Rosen)\n\n_AnchorDesk_\n\nAndersen Consulting (Accenture)\n\nAndreason, Alan R.\n\nanthropology\n\nanthropomorphism\n\nantisocial marketing\n\nAnuff, Joey\n\nAOL (America Online)\n\nand Share Our Strength\n\n\/Time Warner merger\n\nApple Computer\n\nAristotle\n\nArmstrong, Gary\n\n_Art of Cause Marketing, The_ (Earle)\n\nAshby's Law\n\nAT&T (American Telephone & Telegraph)\n\nAudioactive\n\nautomobile industry\n\nAykroyd, Dan\n\n##\n\nB2B (business-to-business) commerce\n\nBagdikian, Ben\n\nbandwidth\n\nBank of America\n\nBarber, Benjamin\n\nBarne's & Noble\n\nBarry, Dave\n\nBeatles\n\nBecher, Johann Joachim\n\nBeerbohm, Max\n\n\"beginner's mind,\" notion of\n\n_Being Digital_ (Negroponte)\n\nBell Atlantic\n\nBen & Jerry's\n\nbenchmarking\n\nBenetton (company)\n\nBenetton, Luciano\n\nBerger, Peter\n\nBerlin Wall\n\nBerst, Jesse\n\nBertelsmann\n\nbest of breed, identifying\n\n_Big Trouble_ (Barry)\n\nBloomingdale's\n\n_Blues Brothers_ (film)\n\nBoorstin, Daniel J.\n\nBorthwick, John\n\nBottomliners\n\n_Bowling Alone: The Collapse and Revival of American Community_ (Putnam)\n\nBP Amoco\n\nbrand(s)\n\nequity\n\nmagic of\n\nuse of the term\n\nvalue proposition of\n\n_Brand Spirit_\n\n_Breaking the News_\n\n_bricolage_\n\nBritish Airways\n\nbroadcast paradigm\n\nBrokaw, Tom\n\nBrown, Tina\n\nBrowne, Jackson\n\nBuddhism\n\n_Building Team Spirit_ (Heermann)\n\nBush, George W.\n\n_Business of Alchemy, The_ (Smith)\n\n_Business Week_\n\n##\n\nCalvinism\n\nCamerson, James\n\n\"Car Talk\" (radio show)\n\nCarey, James W.\n\nCase, Steve\n\n_Catch-22_ (Heller)\n\n_Cathedral Within: Transforming Your Life by Giving Something Back_ (Shore)\n\ncause marketing\n\nCause Related Marketing (CRM)\n\n_Cause Related Marketing: Who Cares Wins_\n\nCBS (Columbia Broadcasting System)\n\ncensorship\n\nChase Manhattan Bank\n\nChaucer\n\nchildren, perception of the world by\n\nChomsky, Noam\n\nChristianity\n\nChurch, and State\n\nCiba Geigy\n\nCiticorp\n\nClick and Clack\n\n_Cluetrain Manifesto: The End of Business As Usual_ (Levine, Locke, Searls, and Weinberger)\n\nCNN (Cable News Network)\n\nCoca-Cola\n\ncollaborative filtering\n\ncolonialism\n\n_Colors_ magazine\n\nComedy Central\n\ncommon good\n\ncommon sense\n\n_Common Interest, Common Good: Creating Value Through Business and Social Sector Partnerships_\n\n_Communication and Culture_ (Carey)\n\ncommunities of interest\n\nCompaq\n\ncomplexity\n\ncomputers, provision of, to employees\n\nConde Nast\n\nConoco\n\n_Context_ (magazine)\n\ncontractual relationships _. See also_ partnerships\n\nconvergence, use of the term\n\nCoors Brewing\n\nCristol, Steven M.\n\nCRM (Cause Related Marketing)\n\nCRM (Customer Relationship Management)\n\ncross-selling\n\nCrowley, Brian\n\nC-SPAN\n\n_Custodians of Conscience: Investigative Journalism and Private Virtue_\n\nCustomer Relationship Management (CRM)\n\ncyberspace, coining of the word\n\n##\n\nDaimler-Chrysler\n\n_Deadlines & Datelines: Essays at the Turn of the Century_ (Rather)\n\nDe Bono, Edward\n\nDella Femina, Jerry\n\nDell Computer\n\nDelta Airlines\n\nDeming, W. Edwards\n\ndemocracy\n\nand cause marketing\n\nand micromarkets\n\nand social marketing\n\ndemographic(s)\n\nand micromarkets\n\nprofiles\n\nsegmentation\n\nslice-and-dice techniques\n\nand youth markets\n\nDenton, Nick\n\nDerrida, Jacques\n\nDewey, John\n\nDidion, Joan\n\nDigital Hollywood entertainment conference\n\nDirect Marketing Association\n\nDisney\n\nDruids\n\nDupont\n\n##\n\nEarle, Richard\n\nEaster Eggs, in software\n\neconomies of scale\n\n_Economist, The_\n\necosystems\n\nEGR (Entropy Gradient Reversals)\n\n_Egyptian Book of the Dead_\n\nEisner, Michael\n\nEli Lilly\n\nElliott, Stuart\n\nEllison, Larry\n\n_E-Mail Addresses of the Rich & Famous_ (Godin)\n\nEncarta (Microsoft)\n\n_End of Marketing as We Know It, The_ (Zyman)\n\nEntropy Gradient Reversals (EGR)\n\nentropy, law of\n\nErnst & Young\n\nESPN\n\nethnography, reciprocal\n\nExcite\n\nexternal partners, identifying\n\n##\n\nFallows, James\n\n_Fast Company_\n\n_Fear and Loathing in Las Vegas_ (Thompson)\n\n_Feed_\n\nfinancial markets\n\n_Financial Times, The_\n\n_Finnegan's Wake_ (Joyce)\n\nFirst Union Bank\n\nFloyd, Pink\n\nfocus groups\n\nFord Motor Company\n\nForrester Research\n\nFortune 500 corporations\n\n_Fostering Sustainable Behavior: An Introduction to Community-Based Social Marketing_\n\nFoucault, Michel\n\n_From Those Wonderful Folks Who Gave You Pearl Harbor_ (Della Femina)\n\nFTP (File Transfer Protocol)\n\nFuller, Jack\n\n##\n\nGans, Herbert\n\nGarcia, Jerry\n\nGartner Group\n\nGates, Bill\n\nGates, David\n\nGeertz, Clifford\n\ngender\n\nGeneral Electric\n\nGeneral Motors\n\nGerstner, Lou\n\nGibson, William\n\nGLADD (Gay and Lesbian Alliance Against Defamation)\n\nGladwell, Malcolm\n\nGo.com\n\nGodin, Seth\n\nGoogle.com\n\nGore, Al\n\nGore, Tipper\n\nGrateful Dead\n\ngratitude\n\n_Greatest Generation, The_ (Brokaw)\n\nGutbrodt, Fritz\n\nGuthrie, Woody\n\n##\n\nHabermas, J\u00fcrgen\n\nHagel, John\n\nHardin, Charles\n\nHarris, Jay T.\n\n_Harry Potter_ books\n\n_Harvard Business Review_\n\n\"Hawthorne effect,\"\n\nHeermann, Barry\n\n_Heilige Geist_\n\nHeller, Jamie\n\nHeller, Joseph\n\nHiaasen, Carl\n\nHitler, Adolf\n\nHomer\n\nHome Shopping Network\n\n_Homo Ludens: A Study of the Play Element in Culture_ (Huizinga)\n\n_HotWired_\n\nHTML (HyperText Markup Language)\n\nHuizinga, Johan\n\n_Hunted, The_ (Leonard)\n\nHuxley, Aldous\n\n##\n\nIBM (International Business Machines)\n\nICQ\n\n_Iliad_ (Homer)\n\nimagination\n\nindividual marketing\n\n_Industry Standard, The_\n\n_Information Please Business Almanac & Desk Reference_\n\nIntel\n\nintellectual capital\n\n_Internet Magazine_\n\ninterruption marketing\n\nIPOs (initial public offerings)\n\nISPs (Internet Service Providers)\n\n##\n\nJagger, Mick\n\nJapan\n\nJews\n\n_Jihad vs. McWorld_ (Barber) Johnson, Steve\n\nJohnson & Johnson\n\nJones, Steven\n\njournalism\n\nadvocacy\n\ngonzo\n\nliterary\n\nmeta-\n\nand micromedia\n\nand objectivity\n\nand social marketing\n\nand subjectivity\n\nJoyce, James\n\nJP Morgan\n\n_Just the Facts: How \"Objectivity\" Came to Define American Journalism_\n\nJ. Walter Thompson\n\n##\n\nKanter, Rosabeth Moss\n\nKarsax Online\n\nKellogg Graduate School of Management\n\n_Kellogg on Marketing_\n\nKesey, Ken\n\nKidder, Tracy\n\nKipling, Rudyard\n\nK-Mart\n\nKnowledge\n\nacquisition\n\nrelevant\n\n_Knowledge and Social Capital_ (Lesser)\n\nKotler, Philip\n\nKraft Foods\n\nKuhn, Thomas\n\nKurtz, Howard\n\n##\n\nLamb, Brian\n\nLarsen, Steve\n\nLascaux\n\nLatin\n\nLauper, Cyndi\n\nLawless, Elaine\n\nLazarsfeld, Paul\n\nlegitimacy\n\nLeonard, Elmore\n\nLesser, Eric\n\nLevi-Strauss, Claude\n\nLevine, Rick\n\nLevitt, Theodore\n\nLewis, Jerry Lee\n\nLiebling, A. J.\n\nLinux\n\nLippman, Walter\n\nlocal marketing\n\nLocke, Selene\n\nlove\n\nLove, Courtney\n\nloyalty\n\nLycos\n\n##\n\nMacCarthy, Deborah\n\nMacDonald's\n\nMcKee, Neill\n\nMcKenna, Regis\n\nMcPhee, John\n\nMacy's\n\nMagliozzi, Ray\n\nMagliozzi, Tom\n\nMajor, Mark\n\nManicheanism\n\nmanifestos\n\nManning, Harley\n\n_Manufacturing Dissent: The Political Economy of Mass Media_ (Chomsky and Herman)\n\nmarketing _. See also_ micromarkets\n\nantisocial\n\ncause\n\n\"4 Ps\" of\n\nindividual\n\ninterruption\n\nlocal\n\nmyopia\n\nniche\n\none-to-one\n\nopensource\n\npermission\n\nsimplicity\n\nsocial\n\n_Marketing: An Introduction_ (Armstrong and Kotler)\n\n_Marketing Imagination, The_ (Levitt)\n\n_Marketing Management_ (Kotler)\n\n_Marketing Myopia_ (Levitt)\n\n_Markets of One: Creating Customer-Unique Value Through Mass Customization_ (Pine)\n\nMartin, Steve\n\nMarxism\n\n_Mass Customization: The New Frontier in Business Competition_ (Pine)\n\nmaterialism\n\nMCI\n\nMecklermedia\n\n_Media Circus: The Trouble with America's Newspapers_ (Kurtz)\n\nMedia Metrix\n\n_Media Monopoly, The_ (Bagdikian)\n\nMedici banking family\n\nMenides, Byron\n\nMercedes-Benz\n\nMerck\n\nMerrill Lynch\n\n_Miami Herald_\n\nmicromarketing, Kotler and Armstrong definition of\n\nmicromarkets\n\nbasic description of\n\ncreating relationships with\n\nand identifying best of breed\n\nand identifying external partners\n\npartnerships\n\nreplacement of mass markets by\n\nmicromedia\n\nMicrosoft\n\nantitrust case against\n\nEncarta\n\n_Internet Magazine_\n\nOffice\n\n_Slate_\n\nWindows\n\nMillar, Brian\n\nMindich, David\n\nMiramax Films\n\nMitsubishi\n\nmodernization programs\n\nmotivation\n\nMotley Fool\n\nMotorola\n\nMP3. _See also_ music industry\n\n_Ms._ magazine\n\nMTVi music network\n\nmuckraking\n\nmultimedia, use of the term\n\nMurdoch, Rupert\n\nMurrow, Edward R.\n\nmusic industry\n\n##\n\nNapster\n\nNASDAQ\n\nNasser, Jac\n\nNational Public Radio\n\nNBC (National Broadcasting Corporation)\n\nNegroponte, Nicholas\n\nNet Perceptions\n\nNetscape\n\n_Neuromancer_ (Gibson)\n\nNew Journalism, The (Wolfe)\n\nnewsblogger.com\n\nNews Corporation\n\n_News Values_ (Fuller)\n\n_Newsweek_\n\n_New Yorker, The_\n\n_New York_ magazine\n\n_New York Times, The_\n\nniche marketing\n\nNietzche, Friedrich\n\nNixon, Richard M.\n\nNordstrom\n\nNovartis\n\nNYSE (New York Stock Exchange)\n\n##\n\nobjectivity\n\nand journalism\n\nOchs, Adolph\n\nOckham's razor\n\n_Odyssey_ (Homer)\n\nOedipus\n\nOffice (Microsoft)\n\nOgilvy & Mather\n\n_On Social Research and its Language_ (Lazarsfeld)\n\none-to-one marketing\n\nOni, Olu\n\nOnline Journalism Review\n\nOPACs (online patron access catalogs)\n\nOpen source marketing _. See also_ Open Source Movement\n\nOpen Source Movement _. See also_ open source marketing\n\n##\n\nPaine, Thomas\n\nPanasonic\n\nParadigm Guy\n\n_Participatory Development Communication: A West African Agenda_ (Yoon)\n\npartnerships\n\npaternalism\n\nPeopleSoft\n\nPeppers, Don\n\npermission marketing\n\n_Permission Marketing: Turning Strangers Into Friends and Friends Into Customers_ (Godin)\n\npersonal computers, provision of, to employees\n\npersonalization\n\nPersonalization Summit conference\n\nPetty, Norman\n\nPetty, Tom\n\nPhilip Morris\n\nPine, Joe\n\npiracy\n\nplace, as one of the 4 Ps of marketing\n\nPlato\n\nplay, importance of\n\n_pneuma_\n\n_Portable MBA in Marketing, The_\n\n_Practice of the Wild, The_ (Synder)\n\npragmatism\n\nprice\n\ndetermination of, by value\n\nas one of the 4 Ps of marketing\n\nuse of the term\n\n_Principles of Marketing_\n\nProcter & Gamble\n\nProdigy\n\nproduct\n\nas one of the 4 Ps of marketing\n\nplacement\n\nprofessionalism\n\npromotion, as one of the 4 Ps of marketing\n\n_Protestant Ethic and the Spirit of Capitalism, The_ (Weber)\n\nPutnam, Robert D.\n\n##\n\nracism\n\nRageBoy\n\nrain forests\n\nRaines, Howell\n\nRangaswami, J. P.\n\nRather, Dan\n\nRaymond, Eric\n\nReeves, Keanu\n\nreframing\n\n_Regis Touch, The_ (McKenna)\n\n_Relationship Marketing_ (McKenna)\n\nRenaissance\n\nReno, Janet\n\nreturn on investment (ROI)\n\nReuters\n\nrhetoric\n\nRichards, Keith\n\n_Right Stuff, The_ (film)\n\n_Right Stuff, The_ (Wolfe)\n\nRMG International\n\nRoberto, Eduardo\n\nrock and roll\n\nRogers, Martha\n\nROI (return on investment)\n\nRosen, Emanuel\n\nRosen, Jay\n\nRothenberg, Randall\n\nRowling, J. K.\n\nR\u00fcschlikon conference facility\n\n##\n\nSaatchi & Saatchi\n\n_Salon_\n\n_San Jose Mercury News_\n\n_Savage Mind, The_ (Levi-Strauss)\n\nScoville, Thomas\n\nSeal\n\nSealey, Peter\n\nsearch engines\n\nSearls, Doc\n\nShakespeare, William\n\nShare Our Strength (SOS)\n\nShiffman, Roger\n\nShore, Bill\n\n_Short Course in Social Marketing_ , A\n\nsimplicity marketing\n\n_Simplicity Marketing: Relieving Customer Stress in the Digital Age_ (Cristol and Sealey)\n\n_Slate_ (Microsoft)\n\nSmith, Pamela\n\n\"Snooze Factor: Sleepy Time in the Management Aisle\" (Manning)\n\nSnyder, Gary\n\nsocial capital\n\n_Social Construction of Reality, The_ (Berger)\n\n_Social Life of Information_ (Lesser)\n\nsocial marketing\n\ndefinition of\n\nin the third world\n\n_Social Marketing: Strategies for Changing Public Behavior_ (Kotler and Roberto)\n\n_Social Mobilization & Social Marketing in Developing Communities_ (McKee)\n\nspam\n\nspirit\n\nstartups\n\nstorytelling\n\n_Structural Transformation of the Public Sphere, The_ (Habermas)\n\n_Structure of Scientific Revolutions, The_ (Kuhn)\n\nsubjectivity\n\nSuck.com\n\nSun Microsystems\n\nSuzuki, Shunryu\n\nSwiss Re\n\n##\n\nTalking Heads\n\n_Talk_ magazine\n\nTawney, R. H.\n\nTBWA\/Chiat\/Day\n\nTCI\n\nteam spirit\n\nthermodynamics\n\nTheStreet.com\n\nthick description, use of the term\n\nThomas, Dylan\n\nThompson, Hunter S.\n\nTime Warner\n\n_Tipping Point, The_ (Gladwell)\n\nToscani, Oliviero\n\nToyota\n\ntrademarks\n\ntransubstantiation\n\ntrust\n\ntruth\n\nTylenol poisoning scare\n\n##\n\nU2 (rock band)\n\nunderwriting\n\nup-selling\n\n_USA Today_\n\n##\n\nvalue\n\nproposition\n\nand social marketing\n\nuse of the term\n\nVeblen, Thorsten\n\nViacom\n\n_Virtuous Reality_ (Katz)\n\nViselman, Kenn\n\nvoice\n\n##\n\n_Wall, The_\n\n_Wall Street Journal, The_\n\nWarn, Emily\n\n_Washington Post, The_\n\nWeber, Max\n\nweblogs\n\nWeinberger, David\n\nWelch, Jack\n\nWestinghouse\n\n_What Are Journalists For?_ (Rosen)\n\nWhitman, Walt\n\n_Will to Power: Attempt at a Revaluation of all Values_ (Nietzche)\n\n\"Will We Ever Get Over Irony?\" (Gates)\n\nWilliam of Ockham\n\nWilliams-Sonoma\n\nwin-win model\n\nWindows (Microsoft)\n\nWiner, Dave\n\n_Wired_\n\n_Wired News_\n\nWittgenstein, Ludwig\n\nWolfe, Tom\n\nWolff, Michael\n\nWorcester Polytechnic Institute\n\nWorld Health Organization\n\nWorld Trade Organization\n\n_World Wide Web and Contemporary Cultural Theory, The_ (Jones)\n\nWPP Group\n\n##\n\nYahoo!\n\nYeager, Chuck\n\nYoon, Chin Saik\n\nYoung & Rubicam\n\nyouth markets\n\n##\n\nZaltman, Gerald\n\nZappa, Frank\n\nZDnet\n\nZeitgeist\n\nZemke, Debbie\n\nZen Buddhism _. See also_ Buddhism\n\n_Zero Wing_\n\nzero sum models\n\nZyman, Sergio\n**about the author**\n\nChristopher Locke   \nclocke@panix.com\n\nNamed in a 2001 Financial Times Group survey as one of the \"top 50 business thinkers in the world,\" Locke is author of _Gonzo Marketing: Winning Through Worst Practices_ , co-author of _The Cluetrain Manifesto_ , president of Entropy Web Consulting, and editor \/publisher of the widely acclaimed and justly infamous webzine _Entropy Gradient Reversals_. Now based in Boulder, Colorado, has worked for Fujitsu, Ricoh, the Japanese government's \"Fifth Generation\" artificial intelligence project, Carnegie Mellon University's Robotics Institute, CMP Publications, Mecklermedia, MCI, and IBM. He has written extensively for publications such as _Forbes, Release 1.0, Information Week, Publish, The Industry Standard,_ and _Harvard Business Review_ , and his professional work has been covered by _Fast Company, Wired, Advertising Age, Business Week, The Economist, Fortune, The New York Times, The Wall Street Journal_ and many others.\n\nHe has never recanted anything.\nMany of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. Where those designations appear in this book and Perseus Publishing was aware of a trademark claim, the designations have been\n\nCopyright \u00a9 2001 by Christopher Locke\n\nwww.gonzomarkets.com\n\nAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.\n\nCataloging-in-Publication Data is available from the Library of Congress\n\neISBN : 978-0-786-74872-3\n\nPerseus Publishing is a member of the Perseus Books Group.\n\nFind us on the World Wide Web at <http:\/\/www.perseuspublishing.com>\n\nPerseus Publishing books are available at special discounts for bulk purchases in the U.S. by corporations, institutions, and other organizations. For more information, please contact the Special Markets Department at the Perseus Books Group, 11 Cambridge Center, Cambridge, MA 02142, or call (617) 252-5298.\n\nSet in 11-point ITC Garamond by the Perseus Books Group\n\nFirst paperback printing, October 2002\n\n\u2014\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\n\n\nProduced by Richard Tonsing, David Garcia and the Online\nDistributed Proofreading Team at http:\/\/www.pgdp.net (This\nfile was produced from images generously made available\nby The Kentuckiana Digital Library)\n\n\n\n\n\n\n\n\n\n                              THE SAXONS\n\n                 A DRAMA OF CHRISTIANITY IN THE NORTH\n\n\n                      BY EDWIN DAVIES SCHOONMAKER\n\n                      THE HAMMERSMARK PUBLISHING\n                     COMPANY, CHICAGO. ILL., 1905\n\n                      COPYRIGHT, FEBRUARY, 1905,\n                                  BY\n                    THE HAMMERSMARK PUBLISHING CO.\n                                CHICAGO\n\n     [Illustration: JOHN F. HIGGINS PRINT 279-251 EAST MONROE ST]\n\n                             TO MY MOTHER\n\n\n\n\nPERSONS OF THE DRAMA.\n\n\nTHE SAXON UNIT.\n\n  CANZLER, chief of the Saxons.\n  FRITZ, a shepherd.\n  RUDOLPH, }\n  MAX,     } foresters.\n  CONRAD,  }\n  HARTZEL, an old man.\n  WIGLAF, a gleeman.\n  OSWALD, a shepherd, afterward a monk.\n  SELMA, daughter of Canzler.\n\n\nTHE ROMAN UNIT.\n\n  FATHER BENEDICT, the village priest.\n  FATHER PAUL, a friar.\n  JARDIN, the bailiff.\n  JACQUES SAR, an old crusader.\n  JULES BACQUEUR, the smith.\n  HUGH CAPET, the barber.\n  MADAM BACQUEUR, wife of Jules Bacqueur.\n  MADAM VALMY, a country woman.\n  RACHEL, aunt of Madam Valmy.\n  ROSA, granddaughter of Rachel.\n  A BOY.\n\n\nTHE GREEK UNIT.\n\n  THE ABBOT OF ST. GILES.\n  LOUIS, the prior of the abbey.\n  PIERRE, the sacristan.\n  ANDREW, an old acolyte.\n  ELY, the porter.\n  SIMON,   }\n  RENE,    }\n  BASIL,   } monks.\n  SOLOMAN, }\n  LEO,     }\n  GUIDO,   }\n  MACIAS, a hunter attached to the abbey.\n\n\nTHE SUPERNATURAL.\n\n  SIGURD, apparently a dwarf, really something else.\n  HULGA, a witch.\n  ZIP,   }\n  GIMEL, }\n  KILO,  } gnomes.\n  SUK,   }\n  ZORY,  }\n  FAIRIES.\n\n         Other foresters, monks and villagers, men and women.\n\n                                  As for me,\n    Let a man be a man. Outside of that\n    There is no power on earth that dares ask more;\n    No power in heaven that will.\n\nTHE SAXONS\n\n\n\n\nACT ONE.\n\n\n    _SCENE ONE--A road through a forest. On either side trees\n      stand thick and dark. Immediately in front the light sifts\n      down upon a rude bridge spanning a narrow stream. At\n      the roadside, to the right, a large crucifix, apparently_\n      _new, stands upon a post some ten feet in height. It is_\n      _elaborately carved and is set in a deep frame to protect it_\n      _from the weather. At the foot of the post, cut into the_\n      _mossy bank which <DW72>s toward the road, is a kneeling_\n      _place with a white sheep's pelt lying upon it._\n\n    _A sound of voices is heard. Fritz and Rudolph enter from the\n      left and pause where a path leads off through the wood. The\n      latter has an ax upon his shoulder. Far in the forest a\n      faint sound of chopping is heard._\n\n    _TIME--Mid-day in summer, in the early part of the thirteenth_\n      _century._\n\n    RUDOLPH--He's worth six.\n\n    FRITZ--      I'll give you five, you pick them.\n\n    RUDOLPH--I'll pick six.\n\n    FRITZ--      I'll keep my ewes, then.\n\n    RUDOLPH--                             And walk\n    To the mountains?\n\n    FRITZ--    We have not gone yet.\n\n    RUDOLPH--                        But--\n\n    FRITZ--And if I had my way we would not go.\n\n    RUDOLPH--Nor would we go had I mine, Fritz. But we\n    Have not our way. The dragon has his way.\n    As far as Niflheim the North is red.\n\n    FRITZ--Are we their sheep that we must follow them\n    Or be hung up on trees?\n\n    RUDOLPH--                    He follows us.\n\n    FRITZ--Who do these woods belong to, anyhow?\n\n    RUDOLPH--Where a man puts his foot the dragon puts\n    His belly, and the man's track disappears.\n    Where is the tree that has not felt the storm?\n    Have they not disappeared? Like leaves the tribes\n    Are scattered.\n\n    FRITZ--        It has blown down trunk and all.\n\n    RUDOLPH--Forests and rivers and ten thousand graves\n    Lie under that red paw.\n\n    FRITZ--                It stains the world.\n\n    RUDOLPH--The Weser rolls down bodies to the sea;\n    Their yellow hair is matted in the Rhine;\n    The deer that drinks the Aller in the night\n    Starts back from bloody faces in the stream.\n    They are our fathers, Fritz, who cannot sleep\n    While this coiled Hunger tracks us toward the north.\n\n    FRITZ--And we must feed it, eh? We must grub roots,\n    Fatten ourselves on acorns in the wood,\n    As swine do, and then waddle to the swamp\n    And stuff its belly so that it will sleep\n    And trouble us no more, we must do that?\n\n    RUDOLPH--No; we must leave, and starve it.\n\n    FRITZ--                                   It don't starve.\n    More hunger means more flesh. Let's feed it steel.\n\n    RUDOLPH--Steel draws the blood and brings the hunger on.\n\n    FRITZ--Then draw the life. We don't feed it enough.\n\n    RUDOLPH--It eats the blade--\n\n    FRITZ--                       Then feed it hilt and all.\n\n    RUDOLPH--It eats our swords and they come out in claws.\n    As Canzler says, a thousand spears have but\n    Peeled off its poisonous scales, and where they fall\n    A deadly fire burns and the elves die.\n\n    FRITZ--We will call Wittikind.\n\n    RUDOLPH--                       From out the grave?\n\n    FRITZ--His spirit will hear.\n\n    RUDOLPH--                Wittikind was baptized.\n\n    FRITZ--His head was baptized, but his heart was not.\n    A few drops here could not put out a fire\n    That scarred and seamed the dragon till it lashed,\n    Maddened and bleeding, all the tribes away.\n    A spark of him is in this forest.\n\n    RUDOLPH--        Oswald.\n\n    FRITZ--             Yes.\n\n    RUDOLPH--Silent and shy.\n\n    FRITZ--       Their fate whom Woden loves.\n    He homes the lightning in the silent cloud.\n\n    RUDOLPH--Weak.\n\n    FRITZ--      In himself, but strong by prophesy.\n\n    RUDOLPH--Can you or I or chief hasten the day\n    Wherein Val-father's voice shall wake the North?\n    What man can say unto the lightning, \"Leap\"?\n    Of Woden's race, a million summer leaves,\n    We are, as it were, the winter mistletoe,\n    A lone green sprig with barren woods all round.\n    Can we shake off the snow and say, \"Appear,\"\n    To the young race asleep within the trees?\n    Cry out above the dragon winter, \"Die\"?\n    You cannot hurry in its growth one leaf.\n    Yet you would thrust a sword in Oswald's hands,\n    Thinking to hurry Prophesy along.\n    If naked strength can save us, why not chief's?\n    Why Oswald, if the battle is to be now?\n    Without the aid of Woden, he is naught.\n\n    FRITZ--Without it, naught, and with it, everything.\n\n    RUDOLPH--Val-father calls to-day then?\n\n    FRITZ--            Wiglaf's ears\n    Are where the whispers of the dead go by.\n\n    RUDOLPH--Heard he the word, \"to-day\"?\n\n    FRITZ--            And Wiglaf's eyes\n    Blazed glee-fire and his lips spake Woden's word:\n    \"In him shall be the strength of all your dead.\"\n\n    RUDOLPH--In Oswald?\n\n    FRITZ--      In the seed of Wittikind.\n    \"The seed of Wittikind shall put forth a sprout\n    Shall make the whole North green.\"\n\n    RUDOLPH--      The \"seed\" of.\n\n    FRITZ--                      Yes.\n\n    RUDOLPH--There, Fritz, is where the whole great purpose turns.\n\n    FRITZ--Eh?\n\n    RUDOLPH--Prophesy, you see, walks in the air.\n    No man can say on whom it will lay its hand.\n\n    FRITZ--Why?\n\n    RUDOLPH--Would not Oswald's seed be Wittikind's?\n    Do you not see that some child still unborn,\n    The issue of Oswald's loins, may be the one\n    To take the sword that Woden will hand down?\n    Meanwhile, suppose the Christians hear of this.\n    Their spies are all about us.\n\n        (_Dropping his voice and pointing to the bridge._)\n\n                        Who knows?\n\n    FRITZ--(_After looking under it._)   No.\n\n    RUDOLPH--Suppose they once get rumor of it. Then\n    Suppose they torture Wiglaf for the rest.\n    Will not a thousand trumpets sound the chase?\n    Will they not beat the forest through and through,\n    Set fire to it, and when the stag appears\n    Shall breed the fawn shall grow the golden horns--\n\n        (_As though drawing back a bow-string and letting\n            spring the arrow._)\n\n    Then what? What then?\n\n    FRITZ--    We--\n\n    RUDOLPH--        We--?\n\n    FRITZ--            We have our swords.\n\n    RUDOLPH--We have them now.\n\n    FRITZ--                    And we can keep them.\n\n    RUDOLPH--                                        We\n    Can neither keep our swords nor keep ourselves.\n    Who is it plants the white cross in our land?\n    The Frank? The Wend? The Saxon; we ourselves.\n    No; in that fire that burns up from the south\n    Thousands of our swords have melted and become\n    Scales on the dragon's back and teeth and claws\n    That now tear out our hearts. To-day swords strike\n    For Woden, and to-morrow the strange god\n    With those same swords storms Valhal, and lays low\n    Its golden roof. Our ash Iggdrasil dies.\n    Its beautiful leaves fall far off on the sea.\n\n    FRITZ--Let's kill the worm that bites it, then.\n\n    RUDOLPH--                                       That worm\n    Hath bit the Northman and the Northman bites\n    Val-father.\n\n        (_A crash is heard in the forest._)\n\n    FRITZ--    It was the tree fell.\n\n    RUDOLPH--                      So falls\n    Iggdrasil and the golden roof comes down.\n    When the North bites, Val-father dies. No, Fritz;\n    The South has thrown a snake upon the North,\n    And in its trail no fairy can be found.\n    They, too, have gone to the mountains.\n\n    FRITZ--                                Leave our homes?\n\n    RUDOLPH--For all of us it will be better there.\n    The <DW72>s are thickly clothed with oak and pine.\n    There, too, your flock will find good grazing, Fritz.\n    Conrad and I saw ledges thick with grass.\n\n    FRITZ--It's thick here, too.\n\n    RUDOLPH--                    And torrents tumbling down\n    Fill to the brim the basins of the rocks.\n    There, in the dryest season--\n\n    FRITZ--         Look down here.    (_He points down in the stream._)\n    And this mid-summer.\n\n    RUDOLPH--    And game is plentiful.\n\n    FRITZ--It's plentiful here, too; deer and--\n\n    RUDOLPH--                                    Chamois\n    And wild-goats browsing on the crags.\n\n    FRITZ--                       And here\n    Are wild-boars' lairs and--\n\n    RUDOLPH--           The dragon's den.\n\n    FRITZ--His den is here, but he feeds everywhere.\n\n    RUDOLPH--Not on the mountains.\n\n    FRITZ--                        They are barren; but\n    He would feed there if we should go there.\n\n    RUDOLPH--                         No.\n\n    FRITZ--He ravages the whole wide--\n\n    RUDOLPH--                          (_Moving his hand horizontally._)\n                                               This way, yes;\n    But that way?\n\n        (_Pointing up._)\n\n                  No. He dare not face the light\n    That father Woden pours upon the peaks.\n    Under Valhalla's eaves the dark elf died\n    When the dawn smote him; so the dragon there.\n    His paws would break off on the mountain sides.\n\n    FRITZ--We will stay here and cut them off.\n\n    RUDOLPH--                                  Those paws?\n    Those huge, red, century-scarred paws? With what?\n\n    FRITZ--They want our woods and crofts, that's what they want.\n\n    RUDOLPH--The Saxon sword is broken. The great shield\n    That covered all the North lies in the loam\n    Rusting, and the wild-flowers eat its stains.\n    Where are our fathers, Fritz? Heimdall, who sees\n    All races, sees not anywhere that race\n    That stood at bay when Swabian went down,\n    Frank and Bavarian and the great North fell.\n    A paw was put upon its breast and lo,\n    It is scattered, blood and bones and heart and brain!\n    Its hand is here; its heart is in the north;\n    Its head far off an island in the sea;\n    Its blood is everywhere, in grass, in leaves;\n    Its flesh still fronts the dragon in these trees.\n\n    FRITZ--And we, we men--\n\n    RUDOLPH--                Our time has not yet come.\n\n    FRITZ--Must be the feet and run, eh?\n\n    RUDOLPH--                            We must wait\n    Until the heart calls from the silent north.\n\n    FRITZ--Wait?\n\n    RUDOLPH--    You would have us--?\n\n    FRITZ--                           If we are the hand,\n    For the hand strikes.\n\n    RUDOLPH--    Without the head? No, Fritz;\n    We must delay our battle with the beast.\n    A new shield we will shape us on the heights;\n    Temper it in the flashes of the sky\n    And boss it with the terror of the grave.\n    Of mountain metal on the mountain tops,\n    New armor we will forge. Let the old shield\n    Lie here upon the plain, covering the dead.\n    Let the leaves cover it. And for the sword\n    That broken lies between the dragon's paws,\n    Val-father will reach down and put the hilt\n    Of some great Fafnir's-bane in Canzler's hand,\n    Canzler, in turn, in Oswald's when he weds,\n    And Oswald and the girl will pass it on\n    Down to the hand of that child--\n\n    FRITZ--                    Canzler go?\n\n    RUDOLPH--Whom Woden shall bid seek the dragon's den,\n    And Siegfried of the North shall slay the snake.\n\n    FRITZ--Canzler will not go. Canzler!\n\n    RUDOLPH--                            He will go.\n\n    FRITZ--Canzler will lay him in the grave first.\n\n    RUDOLPH--                                 Fritz,\n    Who calls the fairies?\n\n    FRITZ--       What of that?\n\n    RUDOLPH--                   Witchcraft.\n\n    FRITZ--You mean that they will burn her?\n\n    RUDOLPH--                       Do they not\n    Burn witches in the city...? We can die;\n    We on our swords can perish; but the girl...?\n\n        (_He goes off through the wood, leaving Fritz\n            silent upon the bridge._)\n\n    FRITZ--                                              (_To himself._)\n    Canzler will lay his sword upon her throat.\n\n        (_With bowed head he walks on across the bridge.\n            As he passes into the deeper shadows the\n            white sheep's pelt lying in the bank at the\n            roadside catches his eye. He goes curiously\n            toward it, when, seeing the post, he glances\n            up and stops suddenly. For a time he stands as_\n            _one appalled._)\n\n    Rudolph!\n\n    RUDOLPH--Ho!\n\n    FRITZ--   Here!\n            (_To himself._) This will break Canzler's heart.\n\n        (_Rudolph reappears and joins Fritz, and the two\n            stand in silence, Rudolph with his eyes fixed\n            upon the crucifix, and Fritz with his eyes on\n            Rudolph._)\n\n    FRITZ--What do you think?\n\n    RUDOLPH--              It was put up last night.\n\n    FRITZ--You still think we should leave here?\n\n    RUDOLPH--                            Still think?\n\n    FRITZ--                                         Yes.\n\n    RUDOLPH--Can there be any doubt of what this means?\n    Almost its eyeballs gleam between the trees.\n\n    FRITZ--And if we leave here, what?\n\n    RUDOLPH--                         We bear away\n    To some far mountain nest our eagle's egg.\n    We save our hope.\n\n        (_Fritz points to the crucifix._)\n\n                        Only proves what I say.\n    'Tis some poor burgher who refused to bow\n    And would not leave.\n\n        (_Fritz goes toward the crucifix._)\n\n                           And they have put it up\n    To mock us with the pains they will make us feel\n    If we don't bow.\n\n    FRITZ--                                   (_Bending over the pelt._)\n                     Knee prints. He has knelt here;\n    Knelt here and prayed--\n\n        (_Coming back to the road._)\n\n                            to Woden, do you think?\n    You know the hand that carved that?\n\n        (_Rudolph goes closer and scrutinizes the\n            crucifix._)\n\n                                           Your great sword,\n    Where is it now, Rudolph? the Fafnir's-bane\n    Val-father should reach down to Canzler's hand;\n    To whose hand will the chief's hand pass it now?\n    Out of the dragon's belly will he come,\n    Our Siegfried, with the great heart of the beast?\n    Our hope, our eagle's egg, where is it now?\n\n    RUDOLPH--It can't be.\n\n    _Fritz_--                 Can't be?\n\n    _Rudolph_--                                Can't be.\n\n    _Fritz_--                                     But it is.\n    At dusk last night I saw him in the wood\n    And he was wending this way carrying that.\n    And there are knee-prints on it.\n\n        (_A pause._)\n\n                                     And that thing;\n    What other hand could have carved out that brow\n    And laid that sorrow there? Look at those knees.\n\n    RUDOLPH--This is why he has shunned us.\n\n    FRITZ--                                   Say no word\n    To Canzler about this or to the girl.\n    Never will she be happy any more.\n    He will leave now.\n\n    RUDOLPH--                         (_Contemplating the knee-prints._)\n                       Under Val-father's trees!\n\n    FRITZ--Canzler has been a father to the boy.\n\n        (_Rudolph comes toward the road, then turns and\n            looks back at the Christ._)\n\n    So Balder looked lying on Valhal floor.\n    If the men hear this, they will vote to die.\n\n    RUDOLPH--He must go quietly and no word be said.\n\n        (_They walk together along the road._)\n\n    FRITZ--The way he goes, the Saxon race has gone.\n\n    RUDOLPH--We must go to the mountains, not the grave.\n\n    FRITZ--Canzler has been a father to the boy.\n\n    RUDOLPH--He may return and bring the Saxon race.\n\n    FRITZ--Who will deliver him?\n\n    RUDOLPH--                            Val-father lives.\n\n    FRITZ--(_Bitterly._) Lives with the dead.\n\n        (_He goes out._)\n\n    RUDOLPH--                            He may yet be reclaimed.\n    The paths of Prophesy lead far away\n    But still the Powers of the air are bent\n    To guide it and their eyes are on its feet.\n    Let us not doubt Val-father's hand in this.\n    That eye in Mimer's fountain sees through all\n    The dark, gnome-haunted caverns of the earth;\n    The other under his calm brow watches heaven.\n\n        (_He goes off through the forest._)\n\n\n    _SCENE TWO--Under an old beech in the edge of the forest.\n      A knoll, like the toe of a large boot shoved in from the\n      rear, butts squarely against the trunk. Up under the\n      boughs, left, lies a decaying log with here and there a\n      tuft of rank grass growing from the cores of old knots._\n      _Beside it is a small basket filled with berries. At the_\n      _foot of the beech, bubbles a spring partly walled in with_\n      _dark mossy rocks, on top of which lies a brown gourd_\n      _dipper. Two worn foot-paths, one winding up the <DW72> into\n      the forest, the other entering from the left, meet at the\n      spring. The ground is checkered with flakes of sunlight_\n      _that fall through the leaves, and over all is the silence_\n      _of the summer noon._\n\n    _A crackle is heard as of a dry twig breaking under foot. The\n      branches on the left swing apart and Selma pushes through\n      backwards. She is a fairy-like creature dressed in green.\n      Her hair falls loose about her shoulders and upon her head\n      she wears a coronet of wild-flowers. Holding the boughs\n      slightly apart, she stands peering intently to the left,\n      then, turning quickly, she snatches up the basket and hides\n      it behind the log, and after picking a few green burrs from\n      the branches above her, darts to the right and conceals\n      herself behind the trunk. For a time she stands motionless.\n      Then, as if upon second thought, she stoops and removes the\n      dipper from the rocks._\n\n    _Along the foot-path, leading in from the left, Oswald enters._\n      _He stops and looks back and for a time stands thus, as one_\n      _undecided, a forlorn expression upon his face. He then_\n      _turns and proceeds to the spring. Not finding the dipper,_\n      _he lays aside his staff and hat, and stretches himself out\n      upon the flat stone at the entrance of the spring. While\n      he is drinking, Selma leans cautiously from behind the\n      trunk and raises her arm as if to drop something. Having\n      evidently seen her shadow in the water, Oswald glances\n      up, but seeing no one, lies down again and drinks. From\n      behind the hole Selma tosses a burr into the spring. Oswald\n      continues to drink. Finally he rises, and, taking up his\n      hat and staff, goes up the <DW72> and sits down upon the\n      log. The girl moves stealthily around the trunk._\n\n    OSWALD--Selma.                                    (_After a pause._)\n                            Selma. I saw you in the spring.\n\n    SELMA--I'm there yet, then; you didn't take me out.\n\n        (_She comes round the side of the trunk opposite\n            the log and, stooping over, looks down into\n            the spring._)\n\n    O you should see the fishes! two, three, four,\n    A troop of them! O Oswald, come and see!\n    They're round a splash of sunlight in the spring.\n    See how they twinkle and in the current stir\n    Their little crimson fins. Ah, I've scared them.\n    I really did; I scared them with my hair.\n    See how it fell.\n\n        (_She points to a mass of hair that has fallen past\n            her cheek._)\n\n                          It would not hurt them, though.\n    We must be still; we must not say a word.\n    They never will play if they see us looking.\n\n        (_Oswald points down into the spring._)\n\n    That little green thing? That's a beech-nut burr.\n    I threw it in to scare the water-sprite\n    That looked up at you when you stooped to drink.\n    You did not see her? Oh, I did. I peeped\n    Like this, softly, over, over the edge,\n    And saw her peeping from the mossy stones\n    Down in the spring. Her hair was loose like mine\n    And brown as buckeyes, and her lips were stained\n    With juice of berries. Then I raised my hand.\n    Thinks I: \"I'll drop a beech-nut on his head.\"\n    Then she raised hers as if to say: \"Be still!\n    I'll make the bubbles break against his nose.\"\n    Was that what made you jump? You scared her so.\n    I saw her hair fly up about her face\n    As I leaped back. She lives down in the spring.\n    This morning as I passed I stooped and said:\n    \"I'm going after berries; won't you come?\"\n    She beckoned to me, too, and seemed to say:\n    \"I can't leave home; my little fish will stray.\n    You come down here; I have some pretty shells.\"\n    Oh, look! Be still! She's let them come again.\n    See them flash.\n\n    OSWALD--          It's the green shell they're after.\n\n    SELMA--Why, there's no kernel in it. If there were\n    They could not eat it; it would break their gills,\n    They are so very thin.\n\n    OSWALD--     We all do that;\n    We follow shells sometimes.\n\n    SELMA--                            O Oswald, look!\n    See how the little silver bubbles rise.\n\n    OSWALD--And we are like the fishes--\n\n    SELMA--                                       Oh, do look!\n    You are not thinking of the fishes. See!\n    They follow it through the dimples round and round,\n    Paddling the current with their little fins,\n    And poising. They're afraid. They're drawing back.\n    There, by the green stone.\n\n    OSWALD--       They are safer there\n    Than in the current.\n\n    SELMA--     See, there's one that still\n    Nips at it in the eddies. See its scales.\n    You cannot carve like that. Look out! Oh, oh!\n\n        (_She runs down to the outlet of the spring by\n            which the minnow has passed out, and walks up\n            and down, stooping occasionally to feel among\n            the stones of the rill. Oswald goes back and\n            sits down upon the log. After a while Selma\n            rises and looks toward the spring. The trunk\n            is between her and Oswald._)\n\n    'Twill grieve her so.\n\n        (_In a low chant, abstractedly._)\n\n                            She's sleeping in the spring\n    Under the dark rock where the white sand pours.\n    The moss is softer in the forest there,\n    And there the wood-doves coo.\n    He's going away; they told me yesterday.\n    The forest heard them moan: He will not come.\n    The chestnut burr shall break;\n    The wild bird, feeding, shake\n    Unpicked the purple hartcrops to the ground,\n    And the hushed forest only hear the sound\n    Of antlers knocking where the wild deer rubs.\n    He's going away--away--away.\n\n        (_Staring vacantly into the forest, her back to\n            Oswald, she unconsciously picks the green\n            burrs from the branches above her._)\n\n    OSWALD--Selma.                                    (_After a pause._)\n                     Come here; will you?\n\n    SELMA--                             I'm gathering mast.\n    My fawns, they like it so. It makes them sleek.\n\n    OSWALD--I want to tell you something.\n\n    SELMA--                                    Tell me here.\n    If I had listened to the forest birds,\n    I'd have no berries. And my fawns must eat.\n\n    OSWALD--'Tis something serious.\n\n    SELMA--                         Ah, you've been to town.\n\n        (_As she saunters toward the log she reaches up in\n            the air._)\n\n    Gossamers, where do they come from, Oswald?\n    You never are gay when you've heard the bells.\n    We are going to the mountains, _may_ be. Then\n    You will not hear them. Are there berries there?\n    Rudolph said he saw flowers in the ice.\n    Think of that. Blue-bells.--You are like my crow.\n\n        (_She takes a berry from her basket and holds it up\n            between her fingers._)\n\n    If you will talk, you may.--I must go home.\n\n        (_She pulls down a bough and begins to pick the\n            leaves off, one by one._)\n\n    OSWALD--I want you to go with me to the bridge.\n\n    SELMA--I can't. I must go home. Father will think\n    I have been captured by the villagers.\n\n        (_She removes her basket from the sun and lays the\n            leaves upon her berries._)\n\n    He said: \"You will not find them.\" But I did.\n\n    OSWALD--Sit down.\n\n    SELMA--              I can't.--It makes my berries red.\n    Father will say: \"You see? They are not ripe.\"\n\n        (_She goes about under the boughs selecting the\n            largest of the leaves._)\n\n    It makes them black, then makes them red again.\n\n        (_After a pause._)\n\n    _I_ heard bells ring last night. I dreamed I did.\n    I called and they called and you would not come.\n    I thought you could not hear me where you were.\n\n    OSWALD--In a great forest once two children lived.\n    They used to wander about the wood. One day,\n    Playing among the trees, suddenly they heard\n    Small voices calling: \"Ho, children!\" At that--\n\n    SELMA--Fairies.                            (_She comes to the log._)\n\n    OSWALD--          The children rose wide-eyed and let\n    Fall the wild-flowers they had gathered and stood\n    Listening. Again the cry: \"Ho, children!\"\n\n        (_Selma sits down._)\n\n                                                          Then\n    They, hand in hand, slowly, and half afraid,\n    Moved forward, and the voices, as they moved,\n    Moved onward, sometimes above them in the air\n    Singing, and sometimes in the fernshaws: \"Ho,\n    Here we are!\" And then a wisp of sun-bright hair\n    Flashed in the deeper shadows of the wood.\n    The children, shouting, \"Catch her! There she goes!\"\n    Darted in glee from trunk to trunk. At last\n    The voices died away. The children saw\n    The great trees glooming round them--\n\n    SELMA--                      Oh, I know!\n    They cried themselves to sleep, for they were lost,\n    And then the birds brought leaves and--Didn't they?\n                                                        No.\n\n    OSWALD--As night came on, the elder of them, a boy,\n    Remembering to have heard a holy man\n    Speak of a house--a holy house--where men\n    Live as the angels live--\n\n    SELMA--                    Went there?\n\n    OSWALD--                                 To pray.\n    To pray for help.\n\n    SELMA--             For the other child?\n\n    OSWALD--                                  For her.\n\n    SELMA--What did the fairies do?\n\n    OSWALD--                             But ere he went,\n    Carved with his knife upon a tree a sign\n    A good man in the wood had taught him, a charm\n    Against the spirit of the forest. Then he\n    Told her strange words to say and leaving her\n    Kneeling upon the moss, her little hands\n    Folded, he went away.                                   (_A pause._)\n                           Not for himself.\n\n    SELMA--And did he not come back? Tell me the rest.\n\n    OSWALD--Come with me to the bridge.\n\n    SELMA--                             Did he come back?\n\n    OSWALD--I have carved a charm.\n\n    SELMA--                    A charm?\n\n    OSWALD--                             For you.\n\n    SELMA--                                      For me?\n\n        (_A pause._)\n\n    Where are you going, Oswald?--(_A pause._) See my hair.\n    Why should it scare the fishes? You are wise;\n    Why should it, Oswald? It is soft as hers\n    Down in the spring, and if you'll come and look\n    You'll see the smallest minnows twinkle there;\n    They do not fear.\n\n    OSWALD--                   It is a snare.\n\n    SELMA--                                                 (_Naively._)\n                                                Is it?\n    I would not harm them, Oswald.\n\n    OSWALD--                       Father Paul says\n    It is the snare of Satan.\n\n    SELMA--                   I know him.\n    'Tis not my hair he uses.\n\n    OSWALD--        (_With horror._)      Know Satan! (_He turns away._)\n\n    SELMA--I did not know his name was--Ah, you run!\n    You are just like the fishes. Come and play.\n    I will not let it fall.                  (_Throwing back her hair._)\n                            I will just peep\n    Over the edge.\n\n        (_Going up the <DW72> to where the boughs hang low,\n            she begins to gather the green burrs. While\n            she gathers them, she sings:_)\n\n        _Hark, shepherd, hark; the forest calls_\n        _Away to the greenwood still._\n        _We'll leave the dewy wether-bell_\n        _To tinkle on the hill._\n\n        _Our ewes shall nibble gowan;_\n        _We'll gipsy in the wood;_\n        _Our bed shall be the wild plush moss;_\n        _Our cruse shall be the flood._\n\n        _The lush blue whortle-berries_\n        _We'll gather eve and morn_\n        _And we'll wander where the brocket_\n        _Rubs the velvet from his horn._\n                  _Come, shepherd, come_--\n\n    I will not sing; the shepherd will not come.\n    I'll go and call the forest children.   (_She takes up her basket._)\n\n    OSWALD--                                Selma.\n\n    SELMA--Night-bird hooting at noon!\n\n    OSWALD--                          Listen to me.\n\n    SELMA--I'll listen to the jay; he's merrier.\n\n    OSWALD--You are not of the witches that at night\n    Fly through the air to that far windy crag\n    That beetles o'er the foam of the wild sea\n    And there, with orgies lewd to the black goat,\n    Whirl in the revel with dark Barrabam?\n\n    SELMA--There is no fairy with a name like that.\n\n    OSWALD--He is the prince of fairies and of fiends.\n    Father Paul says that oft on stormy nights,\n    When stars scarce venture to the brink of heaven,\n    Witches go down the sky scattering fogs,\n    Diseases, blights, and death, and with them go\n    Those whom their cursed arts have wrought upon\n    To taste the air of Hell. Far in the West,\n    From every quarter of the earth and sky\n    And from those awful rivers, they assemble\n    And hold their sabbaths on a windy cliff,\n    A headland hanging over the edge of the world,\n    About whose base an ocean bellows so\n    That nothing dares approach save frenzied things.\n    There, while the moon protrudes an awful horn\n    Far off at sea and rocks among the waves,\n    They curse God's watchful planets from the sky\n    And lead their converts, dizzy with the brew,\n    To trample on the blood of Christ and swear\n    To serve the arch-demon who is known to them\n    As Barrabam. A while ago you said\n    You did not know his name as Satan. Selma,--\n\n    SELMA--You said he used my hair, but 'tis not mine.\n    The other day I saw him in the stream\n    Snaring the silver chubs. Said he: \"My lass,\n    I'll give two shiners for a lock of hair.\"\n    \"To snare the fishes with! You horrid man.\n    I will not give it.\" And I ran away.\n    'Tis not my hair he uses.\n\n    OSWALD--(_Aside._)   What a child!\n    Walking in darkness to the Tempter's snare.\n    Oh, I would die for you!\n\n    SELMA--      You run away.                      (_He looks at her._)\n    You cannot guess what I found in the wood.\n\n    OSWALD--You do not know what danger you are in.\n\n    SELMA--I know the ground-bird lays five speckled eggs;\n    That filberts wear green hoods.\n\n    OSWALD--       Oh, what of that?\n    What will that profit in the Judgment Day?\n    You have not been baptized. You do not hear\n    The terrible, terrible, groanings of the lost.\n    O God, you do not know, you do not know!\n\n    SELMA--I know the wood-pink is the first to wake\n    Of all the flowers. I know where king-cups grow\n    And wink-a-peeps that sleep when days are dark.\n    I know when shadows lie beneath the boughs\n    As they do now, I know you'll never find\n    A squirrel or chipmunk out in all the wood,\n    For then the forest sleeps. And I know where--\n\n    OSWALD--O Selma, listen to me just this once,\n    And then forever listen to the years\n    Give back the echo of this golden hour.\n    Do you remember that day in the wood\n    When we were gathering may-apples? You ran\n    Shouting: \"Here is a large one,\" and you stooped\n    To pick it, when a snake coiled round the stalk,\n    Hissed at you and you started back in fear.\n    Had it not hissed you never would have known\n    That it was there, so green it was, so like\n    The stalk it coiled about. You saw that one\n    Because it hissed. But one that hisses not\n    Is coiled about the world, as like the world\n    As was the green one to the may-flower stalk.\n\n    SELMA--I have heard father speak of it. He says\n    That it is full of bones.\n\n    OSWALD--        And souls of men.\n    Only in holy houses are we safe.\n\n    SELMA--He said that I should not go near the village\n    In gathering berries.\n\n    OSWALD--               'Tis the serpent Sin.\n    Oh, how its sting has marred the perfect world!\n    Ready to spring, the fiends couch for us. We\n    Are hunted, Father Paul says, through the world\n    As was the deer the good saint saved, Saint Giles.\n    And men are fleeing from the wrath to come.\n\n    SELMA--It cannot come up on the mountain tops.\n\n    OSWALD--(_Fervently._) Call on the Virgin. Yield to Lord Jesus.\n    Do not reject him. Be baptized. Be saved.\n    Do you not see that I would die for you?\n    O Selma, playmate, loved one, promise me--\n\n    SELMA--I will not eat May-apples any more.\n\n    OSWALD--Oh, not to understand and yet be lost!\n\n        (_He walks away._)\n\n    SELMA--I will not eat them, Oswald. I will not\n    Go near them if you do not wish me to.\n\n    OSWALD--Some day you will know why.\n    (_He takes up his staff._) Then you will know\n    It was not for myself. You will know why.\n\n        (_He stops near the spring._)\n\n    You will remember this--this day--these leaves--\n    The golden sunlight on the waters there--\n\n        (_Thoughtfully, looking down into the spring._)\n\n    And never will come back forevermore.\n\n    SELMA--Oh, yes it will. They will not let her grieve.\n    The fairies, when they trip the wood to-night,\n    Will miss her, for she dances with them there.\n    Oh, you should see them, Oswald. When they dance\n    She is no bigger than the fairies are.\n    To see them swing--\n    Oh, 'tis a sight to make the wood-dove gay.\n\n        (_Circling round in a dance._)\n\n        _Lightly whirling round and round_\n        _Through the forest, scarcely shaking_\n        _Flower stalk upon the ground._\n        _In the leaves the violets waking_\n        _Scatter perfume. Fairies, bow;_\n        _Lift their purple hoods and kiss them._\n        _Join the dance and leave them now._           (_Ecstatically._)\n\n    One night up in the wood, when silver flakes\n    Were dancing with the fairies on the moss,\n    An owl whooped. The fairies scampered off\n    Into the ferns. The little water elf\n    I found up close against a gnarled oak trunk,\n    Hid in a moss-pink in a drop of dew.\n    Oh, she was tiny as a fairykin!\n    Her hair was scattered, she was frightened so.\n    You should have seen her how she looked at me,\n    As if to say: \"You here!\" I nod, and then\n    We laugh together, thinking of the trick\n    The surly owl played.        (_Again she circles round in a dance._)\n\n    OSWALD--(_With horror._) This is enchantment!\n    This is the cursed spells of forest devils,\n    Witchcraft and Barrabam, the broth of Hell\n    And the wild mountain and the swirling sea!\n\n        (_Advancing toward her, he reaches into his bosom\n            and fetches forth a large silver crucifix\n            fastened to a black string that encircles his\n            neck._)\n\n    Selma, touch this, touch this and say with me:\n    \"_Pater noster_--\" come--\"_qui es in coelis_--\"\n\n    SELMA--                                           (_Still dancing._)\n    I don't know what it means.\n\n    OSWALD--                    \"_Pater_--\". Repeat.\n\n    SELMA--I say I do not know--\n\n    OSWALD--                      It does not matter.\n\n    SELMA--Then tell me what it means.\n\n    OSWALD--                           You must not ask.\n    You show more faith not knowing. \"_Pater_--\" Come.\n    \"_Pater noster_--\" (_Reaching toward her._)\n                            Will you?\n\n    SELMA--(_Snatching up her basket._) What does it mean?\n\n    OSWALD--                                        (_Bowing his head._)\n    I do not know.\n\n    SELMA--      You are just teasing me.\n\n    OSWALD--Selma, listen to me. If our dear Lord,\n    Who died upon the tree that we might live,\n    Had meant that we should know what this thing means,\n    He would have told us. Let us show our faith.\n    Oh, let us say it as He taught us. Come,\n    Repeat it with me. \"_Pater_--\" (_Advancing toward her._)\n                                        Will you say it?\n\n    SELMA--(_Skipping up the <DW72> and disappearing through_\n    _the boughs._)\n    I will not till you tell me what it means.\n\n        (_Oswald stands as one who knows not what to do.\n            Along the path leading in from the left,\n            Father Paul, the friar, enters. For a time he\n            stands contemplating the scene before him._)\n\n    FATHER PAUL--My son. Come now. Come now. The Lord Christ calls.\n    Delay is death. Give up this heathen world.\n    You cannot save her here. But there, who knows?\n    Prayer can do much. Go now and get the cross.\n    I shall wait for you in the grotto here.     (_They go out, right._)\n\n    _SCENE THREE--In the depths of the forest. Back through the\n      trees, to the right, is seen the home of Canzler, a small\n      cottage built of logs, with antlers over the doorway. It\n      sits in a space partially cleared, and the light falls\n      golden about it. Among the trees in the foreground, where\n      the shadows are thicker, is the stump of a large oak and a\n      newly fallen trunk extending out left. Over to the right,\n      at the foot of one of the trees, lies a small bundle\n      fastened to the end of a stick. At intervals a bird is\n      heard singing in the forest._\n\n    _Near the stump several men are gathered. Canzler, facing\n      right, stands beside the log with his hand resting upon\n      his ax. He is bareheaded. His sleeves are rolled up above\n      his elbows and his shirt, open in front, discloses his\n      broad, hairy breast. Near the stump stands Hartzel, a man\n      apparently seventy years of age. He wears a long, white\n      beard and his hands are folded on top of a tall rustic\n      staff. The others are Fritz and Rudolph and Wiglaf, the\n      gleeman, in a fantastic garb faded and tattered. On the\n      other side of the log, to the right of Canzler, is Max,_\n      _another woodman, also in his shirt sleeves._\n\n    WIGLAF--Why did they burn my harp, then? I'm a man.\n\n    FRITZ--\n\n        (_Leaning forward and speaking in a loud voice in\n            Hartzel's ear._)\n\n    You hear what Wiglaf says? Says he's a man;\n    Why did they burn his harp, then?\n\n    CANZLER--                No, Hartzel;\n    'Tis not enough with them that we are men;\n    We must be Christians.\n\n    WIGLAF--      That's it.\n\n    CANZLER--            We must pray\n    The prayers the priests pray. We must go to church,\n    Chant when they chant and what they chant and be\n    Clay, as it were, upon their potter's-wheel.\n    'Tis not enough the great All-father wrought\n    Us in his image; not enough to live\n    The honest life of man. We must submit\n    To be remolded to whatever shape\n    The potter-priest may give us. So we bear\n    His stamp and pray his prayers and wear the name\n    Christian--\n\n    FRITZ--    Then you can steal or--\n\n    CANZLER--                          No, Hartzel;\n    Mass counts with them much more than manhood does.\n\n    WIGLAF--Canzler's just right. Who ever heard of them\n    Injuring a man because his life was bad,\n    If his Faith was good?\n\n        (_Hartzel puts his hand to his ear and looks at\n            Fritz._)\n\n    FRITZ--        Who ever heard of them\n    Injuring a man because his life was bad,\n    If his Faith was good?               (_Wiglaf listens to the bird._)\n\n    HARTZEL--     I don't doubt that some would. (_Canzler touches him._)\n\n    WIGLAF--The birds are free to sing Val-father's songs.\n    Wiglaf must sing the songs men bid him sing\n    Or have his tongue pulled out.\n\n    CANZLER--       Speaking of Faith,\n    How can a good man have a bad Faith? Isn't\n    His life his Faith?\n\n    HARTZEL--    Life his faith? Just so; but--\n    But circumstances, Canzler. If we knew--\n\n    WIGLAF--He thinks I've been a scoundrel.\n\n    HARTZEL--                                    I don't say.\n    I don't say that, for I don't know.\n\n    WIGLAF--           Don't know!\n\n        (_Back through the trees to the left, Selma is seen\n            going toward the cottage._)\n\n    FRITZ--                               (_Shouting in Hartzel's ear._)\n    He says you think he's been a scoundrel? Think\n    That's why they tried to kill him?\n\n    HARTZEL--(_In amazement._)    Why--why--no:\n    I did not hear, Wiglaf; your back was turned.\n\n    SELMA--                                   (_Holding up her basket._)\n    I found them, Father. See? I said I would.\n\n    WIGLAF--That island, Canzler, where they say our race\n    Rebuilt its kingdom, who knows aught of it?\n\n    CANZLER--No word has reached us from that far off land.\n\n    WIGLAF--It used to live in gleemen's songs, but now--\n\n    CANZLER--Old men recall it as a forgotten thing.\n\n        (_Selma enters the cottage._)\n\n    WIGLAF--In what sea lies it?\n\n    CANZLER--        Where the Frankish land\n    Looks toward the setting Balder, I have heard.\n\n    WIGLAF--And does this river off here empty near it?\n\n    CANZLER--First flowing through wide forests and high rocks.\n\n        (_Wiglaf walks to and fro thoughtfully._)\n\n    HARTZEL--I don't doubt you've been wronged, Wiglaf. I don't\n    Doubt that they're arming. What I do say is\n    Who knows it is against us?\n\n    WIGLAF--       Wait and see.\n\n    HARTZEL--It may be they are mustering a host\n    To take the East again. Nigh forty years\n    Ago now, Frederic Red-beard--Canzler here\n    Remembers; he was young then--mustered\n    Nigh on to four score thousand, Canzler?\n\n    CANZLER--                             About.\n\n    HARTZEL--And they were not against us.\n\n    WIGLAF--                (_Taking up the bundle and starting right._)\n                                                             Farewell, all.\n\n    CANZLER--Where are you going, Wiglaf?\n\n    WIGLAF--                              There's no place\n    In all this land for Wiglaf.\n\n    CANZLER--       Don't say that\n    While that roof stands.\n\n    WIGLAF--       It won't stand long, Canzler.\n\n    FRITZ--                                     (_Clenching his hands._)\n    'Twill stand till he won't need it any more.\n\n    WIGLAF--Wild deer shall listen and no foot be heard.\n\n    CANZLER--Have you forgotten your inspired word?\n\n        (_Fritz and Rudolph exchange glances._)\n\n    WIGLAF--But centuries may pass ere that child comes.\n\n        (_Selma comes from the cottage and begins to gather\n            dry leaves and chips about the doorway. She\n            is singing to herself and her voice comes\n            faintly through the trees._)\n\n    CANZLER--Or in these hard days have you, too, lost faith\n    In Woden?\n\n    WIGLAF--Wiglaf lose faith in Woden!\n    O chief!\n\n        (_Looking down._)\n\n               What shall Wiglaf say? Shall the skald,\n    Whose eye sees through the darkness, see no light?\n    Beyond the winter see no spring, beyond\n    The storm, no calm?                              (_He starts away._)\n\n    CANZLER--    Stay here with us, Wiglaf. (_Selma enters the cottage._)\n\n    WIGLAF--Lose faith in Woden when the north wind blows?\n    Think the trunk dead because the boughs are bare?\n    Shall the bloom live forever, and the seed\n    Not swell and break its pod and find the earth?\n    Val-father sows and reaps and sows again.\n    Our race has come to harvest, and the hands\n    Of southern reapers have laid low the tribes,\n    Bound them in sheaves and stacked them far away\n    And threshed them out on many a bloody field.\n\n    CANZLER--And the war-maidens have gleaned heroes there.\n\n    WIGLAF--Gleaned them and sown them in the earth again.\n    The years fall white upon the silent tribes.\n    Val-father's winter locks them in the ground.\n\n        (_Looking up at the trees._)\n\n    But O, O chief, these, too, were once down there.\n\n    CANZLER--The seed of Wittikind shall put forth a sprout.\n\n        (_Fritz bows his head and walks back among the\n            trees._)\n\n    RUDOLPH--                                  (_From a pent-up heart._)\n    Shall it, Wiglaf?\n\n    CANZLER--   The bare North shall be green.\n\n    WIGLAF--Be red.\n\n    CANZLER--       Wiglaf!\n\n    WIGLAF--           The young leaves come out red.\n    As one who puts his ear against a door\n\n        (_He gets down and puts his ear to the earth._)\n\n    And hears within a noise of armed men,\n    I hear the washing of Val-father's waves\n    Rushing from Naastrand where their bodies lie\n    Piled on the dark shore where the ships come not.\n\n    CANZLER--Bringing them back.\n\n    WIGLAF--(_Rising._)    With shock of arms, O chief,\n    The breaking of the bark.\n\n    CANZLER--      Then comes the leaf.\n\n    WIGLAF--Red from the breaking of--\n\n    CANZLER--           It shall be green.\n\n    WIGLAF--Bragi is singing the white years away. (_He goes out right._)\n\n    CANZLER--We may be few, Wiglaf, but--\n\n    MAX--                                  Stay with us.\n\n    WIGLAF--He beckons from that island in the sea.\n    Wiglaf must go where Bragi calls.\n\n    CANZLER--                        Oh, say\n    \"Hail,\" to that kindred land!\n\n        (_He drops his ax against the log._)\n\n    From us say \"Hail!\"\n\n        (_Stepping past the stump._)\n\n    Oh, if you find them holding up the North,\n    Oh, tell them, Wiglaf, to keep iron hearts!\n    Say that the ancient trunk of Wittikind\n    Shows a green sprout! Say all the North is green!\n\n    RUDOLPH--Go with us to the mountains!\n\n    FRITZ--                                Stay and die!\n\n    CANZLER--Or say--say, Wiglaf, say--it shall be green!\n\n        (_Smoke is seen curling above the roof of the\n            cottage._)\n\n    HARTZEL--I did not say he was a scoundrel. Eh?       (_To Rudolph._)\n    Did I? Did I, Max?                           (_Calling to Canzler._)\n                                               Where is he going?\n    I don't doubt he's been wronged; I don't doubt that.\n    Where's he--\n\n        (_Fritz comes forward._)\n\n    RUDOLPH (_To Max._)--We must leave here.\n\n    FRITZ--                                       We must stay here.\n\n        (_In Hartzel's ear._)\n\n    He says we, too, must leave here.\n\n    HARTZEL--                           Leave? What for?\n    What have we done?\n\n    FRITZ--       But I say stay and die.\n    Let them thresh us out, too. (_To Max._) What do you say?\n\n    RUDOLPH--What do you say, Max?\n\n    MAX--     I say stay and live.\n    They cannot kill us.\n\n    RUDOLPH--   How so?\n\n    MAX--      If they do,\n    They must kill Oswald, too. Then where's the child?\n\n        (_Fritz and Rudolph exchange glances._)\n\n    Where then's Val-father's promised child?\n\n    FRITZ--            Max--\n\n    RUDOLPH--                No.\n\n    CANZLER--                                (_Returning to the stump._)\n    The question, Hartzel, is not what they've done;\n    It's what they think they have a right to do.\n    They own, they think, our bodies and our brains.\n    There is no thing or thought or word or deed\n    Can take its way, but must report to them\n    And square itself and do a bondman's work.\n    They have a right, they think, to chop the North,\n    Lop off her great green boughs and graft instead\n    The South's pale branches.\n\n    FRITZ--                   To bear bastard fruit.\n\n    CANZLER--The oak's red blood must nourish olive leaves.\n    They would remake the world Val-father made\n    And take the seasons from his great right hand.\n    We must be like them or be not at all.\n    Like them in manhood, Hartzel?\n\n    FRITZ--                          No; in Faith.\n    And even their gods know not the Saxon tongue.\n\n    RUDOLPH--If a man speak Val-father's name, he dies.\n\n    MAX--And we must die if we be not baptized.\n\n    FRITZ--Must even ask of them what we may eat!\n\n    CANZLER--Why is it not enough to be a man?\n    To do a man's work and to live a life\n    Free like the wild deer, and to grow like these?\n\n        (_He looks about upon the trees._)\n\n    You, Hartzel, have lived longer than we have\n    And you have seen more seasons, and you know\n    In father Woden's forests how the trees\n    Grow as they will, acknowledging no lord\n    But him who made them to be lordless, and\n    Obeying no law save that law that bids\n    Each be itself and bring forth its own fruit.\n    In all the populous forests of this world\n    There is no tyrant tree that lifts its head\n    Above the rest and says, \"Obey my law.\"\n    For each tree hath its own law in itself,\n    And no tree hears another, but each hears\n    The voice of father Woden in the loam\n    Laying the law of selfhood on each seed.\n    The seed bursts and the law starts toward the sky.\n    The acorn lays it softly on the oak,\n    The chestnut on the chestnut, and the pine\n    Upon the loftiest mountain hears its cone\n    Whispering with father Woden in the air,\n    Learning the law it taketh to the ground.\n    Thus by that law that each tree be itself,\n    This forest hath become a stalwart state,\n    A nation governed by one law, a vast\n    Green kingdom of ten thousand happy trees\n    With father Woden monarch in the boughs.\n    The law of selfhood is the law of trees;\n    Who says the law of sameness governs man?\n    Because the South has not the girth of trunk\n    To bear Val-father's weight upon its boughs,\n    Must he climb down from ours and let the South\n    Climb up and with its law bind leaf and limb?\n    Did he, who made these oaks to grow and spread\n    Their branches, make our branching minds to be\n    Pinched to a point and put inside a ring?\n\n    HARTZEL--But they say that they got that ring from some\n    God that once came down--\n\n    CANZLER--      From their southern skies?\n    Who gave the southern cypress mouth to speak\n    Val-father's law unto the northern pine?\n    God, do you say, come down to bind men? _God?_\n    A _God_ that _binds?_                   (_Looking up at the trees._)\n                                     I see no ring on these.\n\n    FRITZ--Loki is a smith. He made their ring.\n\n    CANZLER--Where in our northern sagas will you find\n    A track of any shackle-bearing god?\n    In all the past has any such a god\n    Come down the northern sky? All round the walls\n    Of Midgard stand the Asas guarding man\n    Against whatever brings bonds.\n\n        (_Selma comes from the cottage with a bucket._)\n\n    FRITZ--               Sons of Lok.\n\n    CANZLER--The southern gods may bring down shackles, but\n    The northern hammer breaks the shackles off.\n\n    SELMA--                               (_From back among the trees._)\n    I'm going after water, Father.\n\n    CANZLER--And one shall come to take that hammer up.\n\n    MAX--The Asas walk the walls of Midgard still.\n\n        (_Selma goes out left._)\n\n    RUDOLPH --Val-father made the mountain rocks to be\n    The bastions of the oppressed.\n\n    FRITZ--                He made the grave.\n\n        (_He sits down on the log and takes his head\n            between his hands._)\n\n    CANZLER--\"In him shall be the strength of all your dead.\"\n    No, Hartzel; as Fritz says, their ring was wrought\n    Far in the south at that old fire that burns\n    Eternal mid the hills. Of old they forged\n    Law for our fathers, and, with iron hands,\n    Welded it on them. For five hundred years\n    The noise of that old furnace filled the world,\n    And from her red mouth link on link her hands\n    Drew one continuous shackle, and the North\n    Walked heavily, until Val-father's spear\n    Flashed southward. Then the noise stopped. The great beast,\n    That wore for head and neck those seven hills,\n    Roused her and saw her whelps come bleeding back\n    And heard wild Tyr holloing the tribes for dogs\n    Round her on every side, and rose at bay\n    And clawed through bloody foam and ceased and saw\n    Her hills go round and round and with a crash\n    Stretched her vast skeleton over all the south.\n\n    HARTZEL--Then she is dead.\n\n    CANZLER--                  Rome dead?\n\n    HARTZEL--                             If she is bones.\n\n    CANZLER---Bones, Hartzel, are not dead. The life returns.\n    The ghastly thing moves in the silent night\n    When swords are sleeping and the ear hears not.\n    Old hands scratch round old battle-fields and there\n    The skulls that wore the helmet don the hood,\n    And when the morning breaks no man will say.\n    \"The thing that stands there is the thing that fell.\"\n    Our father found it so. For after that\n    Great hunt down in the south, the tribes lay down\n    And slept and woke and saw--they knew not what.\n    It wore a sword, but had no hauberk on.\n    'Twas robed in black and on each shoulder sat\n    What seemed an eagle in a vulture's plumes.\n    They, too, thought bones were dead, and seeing no\n    Mark of their swords upon it nor anywhere\n    The indenture of those old hills in the south,\n    They showed it all the paths among the tribes.\n\n    FRITZ--Welcomed it to their homes.\n\n    MAX--                              And took its ring.\n\n    RUDOLPH--And then lay down and slept and never woke.\n\n    CANZLER--If Rome is dead, whence all these harried lands,\n    Wigmodia and the Phalias, East and West?\n\n    RUDOLPH--There, even to this day, the clay is red.\n\n    CANZLER--If Rome is dead, what is this thing that now\n    On hands and knees creeps on us toward the north\n    Gathering flesh for its bones as it comes?\n\n    HARTZEL--Most of them have gone over to their Faith.\n\n    CANZLER--Most of them? Most of them lie, as Wiglaf says,\n    Piled on the dark shore where the ships come not.\n\n    FRITZ--Between the ring and sword they chose the sword.\n\n    CANZLER--What is this thing that says, \"Accept this Faith,\"\n    But the same thing that to our fathers said,\n    \"Accept this Law\"? It is the same old Rome.\n    The snake hath cast her skin but not her fangs.\n    Witness the rivers red. Witness the charred\n    Track of the dragon and these silent lands.\n    Has she not gathered flesh? Has she not clothed\n    Her limbs and filled her bowels with the North?\n    Climb to the clouds and call the Saxon race\n    And who will answer? Silence.\n\n    RUDOLPH--            And the streams\n    Moaning and hurrying red waves to the sea.\n\n    CANZLER--There is a day that would but cannot die.\n    That day--\n\n    MAX AND RUDOLPH--At Verden.\n\n    CANZLER--                   When our fathers died\n    Unarmed, defenceless, butchered, Hartzel.\n    Ah, that day hides her face among the years\n    But cannot hide her hand. Val-father has--  (_Closing his fingers._)\n    Her wrist in his grasp and holds that hand aloft\n    To drip and rouse the North, and it shall drip\n    Till Ragnarok shall swallow it up at last\n    And vomit it out to bleed forevermore.\n    Four thousand and five hundred in one day!\n    Till set of sun, all day the axes swang,\n    And when night fell the Aller's waters slipped\n    Thick through the headless bodies in her bed.\n    Oh, for once more a day like Dachtelfeld!         (_He turns away._)\n\n    RUDOLPH--Val-father's spear shall flash again, Canzler.\n    There shall a horn wind that shall rouse the tribes\n    And strew those bones again.\n\n    FRITZ--               Let's wind it now.\n\n    HARTZEL (_To Canzler._)--Do you think we should leave here?\n\n    RUDOLPH--                                 Yes.\n\n    FRITZ--                                        No.\n\n    MAX--                                              No.\n    Our Wittikind shall come and--\n\n    CANZLER--                They shall hear\n    The North's great hammer ringing round the world.\n    Max, you tell Conrad that we meet to-night.\n    Have Herman come.                             (_Max goes out left._)\n                       And, Rudolph, you go down--\n\n    HARTZEL--                          (_Touching, him with his staff_.)\n    Canzler, you said just now the point was not\n    What they have done.\n\n    CANZLER--    Nor is it.\n\n    HARTZEL--               Then why this\n    Summoning of the men? Are we to have war?\n\n        (_Fritz and Rudolph, talking together, walk back\n            among the trees._)\n\n    CANZLER--Hartzel, the past and present are two limbs\n    On one tree. Though the one bears withered leaves\n    And these on this around us here are green,\n    The trunk is the same; the sap is the same;\n    The new fruit is the old fruit. What to-day\n    Is Wiglaf fleeing to the ocean isles\n    But the whole Saxon race? What is his harp\n    In ashes but our homes and all this land?\n    Are those graves yonder old? Were these, our scars,\n\n        (_Opening his bosom._)\n\n    Handed down from our fathers? When we start\n    Alarmed in the night, is it the past we fear?\n    There is no past to things that have been dead.\n    It is a scabbard empty of its sword.\n    What shall we do? Accept their Faith?\n\n    HARTZEL--                    No, no.\n\n    CANZLER--Without it, we must steal the air we breath\n    And thank Val-father if we get it then.\n    Their blades are out; shall we not lift our shields?\n    Wolves are we? Wolves are not hunted so.\n    Bears have the caves; must our cave be the grave?\n    There is no room there. How then can we die?\n    After his great meal, Death hath lain him down.\n    Famine, the gleaner, has the field. There is\n    No plot unreaped, no sheaf unflailed. The barns\n    Are stuffed to breaking with the dead. And we,\n    In this great carnage, in this harvest-home,\n    The last few straws whisked from the threshing-floor,\n    Hunted by that old Hunger of the south\n    From field to wood, from wood to darker wood,\n    Far up strange rivers and--down under them--\n    Hartzel, remember; when we fall, there goes\n    Down the whole North. We alone stand. Of all\n    Val-father's oaks, there's but one acorn left\n    That can re-forest and make green the North.\n    Rudolph and you and I and the rest, save one,\n    Are, as it were, its protecting shell. Off there,\n    A sword is coming toward us, and shall we\n    With hands down take the point and hear the unborn\n    Wail of that child that should have filled the north\n    With shouts and wound his horn upon its hills?\n    Behind him, in array, the dead tribes come\n    On fire for the south; their umbered shields\n    Upon the gunwales lour; and shall the snake\n    Swallow the haven where that host must land?\n    See the North die? Never.       (_He turns as if to call Rudolph._)\n\n    HARTZEL--Accept their Faith,\n    We need not.\n\n    CANZLER--Die?\n\n    HARTZEL--We need not. (_A pause._) We might flee.\n\n    CANZLER--                            (_Emphatically._)\n    Canzler will never vote to flee.\n\n    FRITZ--         Hear that?\n    Canzler will never vote to flee.                 (_Coming forward._)\n                                        Nor Fritz, chief.\n\n    CANZLER--Where could we flee?\n\n    FRITZ--          We have already fled.\n\n    CANZLER--No.\n\n        (_Hartzel turns and, with his face to the ground,\n            walks slowly left._)\n\n    RUDOLPH--Canzler, listen to me.\n\n        (_Unnoticed, Conrad appears coming through the\n            trees on the right. Several young squirrels\n            hang from the belt about his waist and in\n            his right hand is a cross-bow. Upon his left\n            shoulder he carries the crucifix which he has_\n            _pulled up, post and all._)\n\n    CANZLER--                       The red ax\n    They swung at Verden swings clear round the North\n    And her great head falls.\n\n        (_With a jolt Conrad sets the crucifix down and\n            leans it against one of the large trees._)\n\n                                              Where did that come from?\n\n    CONRAD--Over on the road; by the bridge.\n\n        (_Canzler goes toward it. Fritz quickly says\n            something to Rudolph. The latter walks lack\n            in the rear._)\n\n    RUDOLPH--                                (_As if to draw him away._)\n                                                        Canzler, here.\n\n    CONRAD--There was a sheep's pelt lying in the bank--\n\n        (_With a motion._)\n\n    Down here where we could kneel to it.\n\n    HARTZEL--                                           (_Coming back._)\n                                              What is it?\n\n    CONRAD--It is the Christians' Irminsul. They chop\n    Ours down to put theirs up.\n\n    RUDOLPH--      Canzler.\n\n    FRITZ--           The men\n    That followed Wiglaf must have put it up.\n\n    CONRAD--They're closing round us, Canzler, every day.\n    If you say stay and fight through, for my part--\n\n        (_Suddenly Canzler turns and looks Conrad full in\n            the face._)\n\n    I know I did, but if the rest say stay--\n\n        (_After looking tip at the crucifix again, Canzler\n            turns slowly and walks away left._)\n\n    What is the matter?\n\n        (_When near the stump, Canzler again glances back;\n            then drops his head and walks on among the\n            trees. Conrad turns to Fritz._)\n\n                     What is the matter?\n\n    HARTZEL--                         (_Apologetically, following him._)\n    Canzler, I hope I have said nothing. I--\n    I did not mean flee--in that sense.            (_Canzler goes out._)\n                                             I meant\n    Leave.\n\n        (_He goes out. The men stand looking after them.\n            Rudolph comes forward._)\n\n    FRITZ--This will break Canzler's heart.\n\n    CONRAD--                                 What?\n\n    RUDOLPH--                              (_Pointing to the crucifix._)\n                                                             Oswald.\n\n    FRITZ--We tried to keep it from him.\n\n    RUDOLPH--                             Selma, too.\n\n    FRITZ--Canzler must never tell her.\n\n    CONRAD--                             Where is he?\n\n    RUDOLPH--No one has seen him since last night when Fritz--\n\n    FRITZ--I saw him with the pelt--\n\n    RUDOLPH--                                               (_Quickly._)\n                                                 Here comes Canzler.\n\n        (_The men assume an expression of unconcern._)\n\n    CONRAD--                                                  (_Aloud._)\n    Whatever Canzler says. If he says stay--\n\n        (_Canzler appears among the trees. He stops and\n            looks off through the forest to the right,\n            and his brow darkens._)\n\n    FRITZ--And brought it out from town and put it up.\n\n        (_Rudolph lifts up the squirrels at Conrad's belt._)\n\n    CONRAD--There were not many in the woods to-day.\n\n    CANZLER--          (_Coming forward and giving his orders hastily._)\n    Rudolph, you and Fritz go summon the men.\n    Go with them, Conrad.\n\n        (_Fritz glances off through the forest, right._)\n\n    RUDOLPH--                That we meet to-night?\n\n    CANZLER--This afternoon. Be quick.      (_The men start back left._)\n\n    FRITZ--(_Huskily._) Oswald. (_Conrad glances right._) Oswald.\n\n        (_Rudolph glances right, and the three go out in\n            silence. Canzler, who has stepped left,\n            stands in the shadow of one of the trees. A\n            little later Oswald appears coming through\n            the trees to the right. He is looking about as_\n            _if in search of something._)\n\n    CANZLER--                           (_Firmly, but without passion._)\n    There, there it is. Take it, take it and go.\n\n    OSWALD--(_Downcast, stammering._) I--\n\n    CANZLER--(_Lifting his hand._) No word.\n\n        (_Oswald moves slowly to the tree, takes the\n            crucifix upon his shoulder, and, with bowed\n            head, goes off right._)\n\n    SELMA--(_Calling from the left._) Oswald!\n\n        (_The girl enters with her water. She stops, looks\n            after Oswald until he has disappeared,\n            then turns with a questioning look to her\n            father._) O father!\n\n    CANZLER--                          As for me,\n    Let a man be a man. Outside of that,\n    There is no power on earth that dares ask more;\n    No power in heaven that will.\n\n        (_He turns and goes back toward the cottage._)\n\n    SELMA--(_With a sigh, looking right._)    Oswald, Oswald.\n\n\n\n\nACT TWO.\n\n\n    _SCENE ONE--A forest on the mountain tops, the great trees\n      glooming with the shadows of nightfall. In the distance,\n      between the dark boles, patches of sky with the fading\n      light of evening. The scene <DW72>s down into a clump of\n      tangle-wood on the left. Up the <DW72>, upon a stump that\n      stands out from among the trees, Selma is sitting with\n      her head bowed, her face almost hidden by her hair which\n      has fallen forward across her shoulders. She is dressed\n      in dappled fawn-skin. In her hand she has a spray of\n      dog-wood blossoms from which she is thoughtlessly tearing\n      the leaves. From the thicket below, three fairies steal in\n      one after another, having in their hands wild-flowers and\n      ferns._\n\n    _TIME--Early spring, three years later._\n\n    FIRST FAIRY--    (_Running a little way up the <DW72> and stopping._)\n    Sister, see! (_Holding forth her flowers._) Kingcups!\n\n    SECOND FAIRY--(_Running closer._) Sister, see, I bring\n    The laced fern.\n\n    THIRD FAIRY--(_Running still closer._) See, see! Violets, sister!\n    I found them waking in an open place\n    Where the dew falls.           (_Together they approach the stump._)\n\n    SECOND FAIRY--(_Softly._) Sister!\n\n    THIRD FAIRY--                            Flowers, sister.\n\n        (_The first stoops down and looks up into Selma's\n            face. The others whisper together. From the\n            thicket below, two other fairies enter._)\n\n    FOURTH FAIRY--(_Stopping._) Hark, how it tinkles!\n\n    FIFTH FAIRY--It's the dew falling.      (_They hurry up the <DW72>._)\n\n    FIRST FAIRY--(_Rising quickly._) Her eyes are wet!\n\n    SECOND AND THIRD--(_To fourth and fifth._) Her eyes are wet!\n\n    FOURTH FAIRY--                                Sister,\n    Anemones are opening in the wind.\n\n    FIFTH FAIRY--And every pink is jeweled in the fells.\n\n    FIRST FAIRY--And here are buttercups.\n\n    THIRD FAIRY--                          And violets.\n\n    SECOND FAIRY--                                         (_Stooping._)\n    See, sister, here I bring the first frilled fern.\n    I found it where the dashing water-fall\n    Sprayed it. It was uncurling near a rock.\n\n    SELMA--                                      (_Without looking up._)\n    I do not like you, for you will not tell.\n\n        (_The fairies start and exchange glances._)\n\n    FIRST FAIRY--Oh, see the dew-globes break upon the moss!\n\n        (_She runs back a little way among the trees.\n            The others follow her and they talk among\n            themselves._)\n\n    SECOND FAIRY--Where is he now?\n\n    THIRD FAIRY--                  He is making his way\n    To his cold dark cell in the cold dark house\n    Where the lizards dart and the crickets call.\n\n    FIRST FAIRY--I heard the grind of his wooden shoe\n    On the mountain road; but she must not know.\n\n    FOURTH FAIRY--We stood in the pines and we saw him pass,\n    A thin white shadow she would not know.\n\n    FIFTH FAIRY--And, sisters, he turned his face to the stars\n    And we heard him sigh.\n\n    FOURTH FAIRY--            And we heard him sigh.\n\n    THIRD FAIRY--It must be, it must be, for he cannot see.\n\n    FIRST FAIRY--He cannot see till he sees no more.\n\n    SELMA--                                               (_As before._)\n    You said he would come when the dog-wood bloomed.\n\n    SECOND FAIRY--Oh, see them!\n\n    THIRD FAIRY--               See the fairies!\n\n        (_They all look up the <DW72>._)\n\n    FIRST FAIRY--                                Round they go,\n    In their ringlets whirling, whirling.\n\n    FOURTH FAIRY--At every sparkle racing through the wood,\n    From crottle, kingcup, and green maiden-hair\n    In dainty gowpens fetch the dewy globes\n    And slide them down the sagging gossamers\n    To light them in the dance.\n\n        (_They glance toward the stump. Seeing that they\n            have not succeeded in attracting Selma's\n            attention, they take hands and circle toward\n            her singing._)\n\n    _Hark the bracken rustle, sister._\n    _Other elves are awaking, peeping,_\n    _While the cowslip buds are weeping_\n    _On the downs and in the dells._\n    _Trip it softly, softly, sister,_\n    _Lest the stock-dove, lightly sleeping,_\n    _Wake and hear our fairy bells._\n\n        (_After circling round the stump and seeking in\n            every way to induce her to join them, one\n            of them tries gently to take the spray of\n            dog-wood blossoms from her hand._)\n\n    SELMA--(_Calling aloud._) Father!\n\n    FIRST FAIRY--Oh, smell the wood pinks! They are waking now.\n\n    SECOND FAIRY--The bees are stirring in the gum.\n\n    THIRD FAIRY--                                  O sisters,\n    I know a brake where the brown quails sleep.\n    Let's tip the leaves and let the star-light on them.\n\n        (_Four of them run up the <DW72> one after another\n            and each in turn as she disappears among the\n            trees glances back and calls to Selma._)\n\n    FIRST FAIRY--Sister!\n\n    SECOND FAIRY--       Sister!\n\n    THIRD FAIRY--             Sister!\n\n    FOURTH FAIRY--                    Sister!\n\n        (_The fifth fairy stands for a time looking after\n            the others, then comes to the stump and sits\n            down at Selma's feet._)\n\n    FIFTH FAIRY--                             Sister,\n    If you will come and play, I'll show you slim\n    Young heath-bells in the dingle. Won't you, if\n    We take you where may-apples grow and pinks\n    Bend with their fairy mirrors on the moss?\n\n    VOICE-- (_From the thicket below._) O sister!\n\n        (_The fairy starts up and skips down the <DW72>._)\n\n    SELMA--                                      (_Without looking up._)\n    Three times it has bloomed and he does not come.\n\n    SIXTH FAIRY--               (_Entering hurriedly from the thicket._)\n    We were floating along on the river mist\n    And saw them creep up the mountain side--\n\n    SEVENTH FAIRY--                                        (_Entering._)\n    And heard them plotting and heard them say:\n    \"We will throw him down, we will throw him down.\"\n\n    SIXTH FAIRY--We called in his ear, but he did not hear,\n\n        (_The seventh starts up the <DW72> toward Selma._)\n\n    FIFTH FAIRY--Oh, do not tell her! Oh, do not tell!\n\n    SEVENTH FAIRY--They will throw him down! They will throw him down!\n\n    FIFTH FAIRY--Oh, catch him with delicate hands as he falls\n    Into the mist and--\n\n    SIXTH FAIRY--     Save him!\n\n    SEVENTH FAIRY--             Save him!\n\n    FIFTH FAIRY--And I will run to the mountain cave.\n\n        (_The two fairies hasten out through the thicket,\n            the fifth disappears back among the trees,\n            left. Singing is heard up the <DW72>. A moment\n            later, a number of fairies circle in with\n            green boughs in their hands._)\n\n    _On the downs and in the dells._\n    _Trip it softly, softly, sister,_\n    _Lest the stock-dove, lightly sleeping,_\n    _Wake and hear our fairy bells._\n\n    FIRST FAIRY--Oh, something black tumbled into the mist!\n\n    SECOND FAIRY--And something bright--what was it, sister?\n\n    FIRST FAIRY--A star, I think; it glanced and fell.\n\n    THIRD FAIRY--Sister, it flashed like a silver cross.\n\n    FOURTH FAIRY--And plopped into the brook. Did you see the ripples\n    Glitter in the moon?\n\n    SECOND FAIRY--      O sisters, see!\n    The will-o'-the-wisps rush down the valley fogs,\n    Their white veils trailing round the tall dark crags.\n\n        (_They hurry down the mountain. Selma, startled,\n            gets off the stump and runs a little way back\n            in the wood and, stopping, looks after them._)\n\n    VOICE OF CANZLER--                                 (_Up the <DW72>._)\n    Where are you, child?                                 (_He enters._)\n                           Why do you stand out here\n    In darkness?\n\n    SELMA--They have gone away again.\n\n    CANZLER--                     (_Who waits till she comes near him._)\n    Do not ask anything to stay, my child.\n    Where the leaf goes the tree goes, and the rocks\n    Flow away with the waters to the sea.\n\n        (_They go up the <DW72> together._)\n\n    SELMA--He does not come and they will not tell.\n\n        (_She stops and looks back._)\n\n    CANZLER--Let us go home and watch the stars come out\n    Above the mountains where Val-father lives.\n    Perhaps the Norns will spin us a white thread.\n\n        (_They go out, Selma looking back._)\n\n\n    _SCENE TWO--A mountain cavern with jutting ledges of rock.\n      From the bones that lie about, one would imagine it to be\n      a den to which wild beasts drag and devour their prey. To\n      the right, a vine, growing out of the crevice in the rear\n      wall, shows by its leaves becoming a darker green as it\n      spreads to the right that the entrance is in that direction_\n      _and near by. Bowlders, evidently used for seats, lie here\n      and there, and in the rear, center, a smouldering fire\n      throws their shadows about the floor and walls. Several_\n      _willow baskets freshly woven hang on pegs driven into\n      seams in the rocks. To the left, an old spinning wheel with\n      a thread trailing from it, and near it, upon the floor, a\n      quantity of black wool. Farther over in the corner, a couch\n      of rushes and forest grass. From the ledge that projects\n      out over it hang bunches of dry herbs. In the left wall,\n      extending to the ceiling and barely wide enough to admit\n      of one's passing through, is a cleft whence are heard at\n      intervals the muffled sound of hammers far down in the\n      earth._\n\n    _To the right of the fire, Sigurd, the dwarf, is peeling\n      osiers. He is barefooted. About his neck he wears a string\n      of buckeyes. Beside him, upon the floor, lies a pile of\n      white osiers newly peeled. Occasionally he takes the withes\n      in his mouth and tears the bark off with his teeth. On the_\n      _other side of the fire, reclining upon his elbow, the gnome_\n      _Kilo is poking the coals with a stick._\n\n    _Despite the red glow of the fire, the cave is quite dark._\n\n    KILO--Love the monks, eh?\n\n    VOICE--(_To the left._) Kilo!\n\n    KILO--                             Granny says you do.\n\n    VOICE--Kilo!\n\n    KILO--Hush! I'm tired.\n\n    VOICE--Loki wants you. (_After a pause._) Kilo!\n\n    KILO--                                               (_To himself._)\n    Call on; Kilo don't care. It's sweat and drudge\n    And puff and hammer the livelong day\n    At the blazing forge, and then all night\n    The big black sledges swing and fall.\n    I'm tired. You love the bells?\n\n    VOICE--                    Kilo! You hear?\n\n    KILO--\n    Dumb, are you, elf-brat? You squealed loud enough\n    The night that Granny found you on the moss\n    White as a hail-stone, thunder-whelped, and cold.\n    \"Tweakle! tweakle!\" Elf-cub, are you?\n\n    VOICE--                          Kilo!\n\n    KILO--                                            (_Out of temper._)\n    Tell him I've gone with Granny.\n\n        (_From the left Zip enters. Under his arm he\n            carries a great sword, the blade of which he is\n            burnishing with a piece of sand-stone._)\n\n    ZIP--                      Where is she?\n\n    KILO--Darkening the moon.\n\n    ZIP--                      Is to-night the time?\n\n    KILO--     (_With a look warning him of the presence of the dwarf._)\n    Got the runes cut on it?\n\n        (_Zip hands the sword to Kilo and goes over and\n            stands near the vine. Kilo examines the\n            curiously wrought haft._)\n\n    ZIP--               Listen!\n\n    KILO--          (_Sitting up._)       What is it?   (_They listen._)\n\n    ZIP--The geese are out.\n\n    KILO--(_To the dwarf._) Hear that, gozzard? Do you?\n\n    ZIP--Hark! Hissing, they go down the mountain side\n    With flip-flap of their big grey wings.\n    (_He returns toward the fire._) Last night\n    The monks' new hunter wrung two ganders' necks.\n    I found their heads in the grotto.\n\n    KILO--(_Poking the dwarf with the sword._) Hear that, lob?\n    You herd the goslets for the holy men?\n    Next thing you'll grind the scauper for the monk,\n    And help him carve the cross. Granny'll get you.\n\n    ZIP--Where's Suk and Gimel?\n\n    KILO--          Digging water-herbs\n    Down in the marsh.               (_He rises and the two walk left._)\n                      'Twas said to throw him off.\n    The young imp shoots his ears out like a snail\n    To feel about for danger to the monks.\n    If he should hear the gnomes are out for blood,\n    You'd see him, he'd be footed like a hare\n    To put the monk on guard.\n\n        (_From the right, Zory enters. He crooks his back,\n            screens his eyes with his hand, and walks\n            feebly._)\n\n    ZORY--           \"O dear! my eyes!\n    Rosa, is the moon up, dear?\" Ha, ha! Zory! Zory!\n\n        (_He takes up the sword from the floor, and using\n            it as a cane, walks unsteadily._)\n\n    ZIP--Steal into the abbey, will they?\n\n    KILO--                                 No, no.\n    He's down in the village. At break of day\n    I saw the blur of his big black gown\n    In the mountain mists as he made his way.\n    To-night he will come from the little town.\n    Then Suk and Gimel--the road runs by\n    Where some wild vines dangle.\n      (_As though jerking them._) And far below,\n    The waters gurgle.\n\n    ZORY--     They will? Ho, ho!\n\n    KILO--                        (_Huskily, nodding toward the dwarf._)\n    The spy of Woden.\n\n    ZORY--(_Dropping his voice._) If that's the plan,\n    Then the old dame with her gimlet eye\n    Sees farther than Woden's ravens can.\n    At dusk I crept over behind the town.\n    Some boys were up on the mountain side\n    Running a cow they were driving down,\n    With puff-balls pelting her brindled hide.\n    On a <DW72> of heather I knew a sink\n    Where a brown backed bunny was wont to squat,\n    To warm his fur in the sun and wink\n    At the shadows darkening a cabbage plot.\n    Says I: \"Now Zory will have some fun.\n    He'll start the hare for the village boys\n    And hear them hollo and see them run.\"\n    With barking of dogs and a hue and a cry\n    They will soon be off, and, flying the noise,\n    Wat will go bobbing across the down.\n    I'm off for the heather when lo, I hear,\n    Behind the sallows that fringe the foss,\n    A sneeze and a sigh and then, \"O dear!\"\n    Some women are trying to get across.\n    I hide in the dock. The dames pass by\n    With baskets of bennet. I hear one say:\n    \"With our dear Lord hanging upon the tree,\n    And oh, such a beautiful, beautiful cross\n    No one ever saw, so the people say\n    Who have peered in the window. And think, la me!\n    In another day and another day\n    My every prayer will have been fulfilled.\n    May the Virgin spare us.\" The other sighs\n    And, scanning the shadowy mountain side:\n    \"I fear he will never complete it, Clotilde.\n    He climbs that dreadful mountain at night.\n    Can you see him now? Oh, I fear, I fear\n    Those awful rocks where the devils hide!\n    It seems so dark. Rosa, is the moon up, dear?\"\n    To see the old dame as she--\n      (_Mimicing with the sword for a cane._) daddled on\n    With her skirt in her hand, through the dewy grass,\n    Her little whisket of herbs on her arm\n    To keep off the devils, and mumbling a mass\n    And snuffling and moaning and sighing, \"O dear!\n    It's a wicked world.\"\n\n        (_He laughs till he falls to the floor_ _where\n            he continues to laugh. Kilo steals to the fire\n            and_ _is about to snap a coal toward Zory when\n            Suk rushes in_ _right._)\n\n    SUK--Granny! O Granny!\n\n    ZIP AND KILO--What?\n\n    SUK--Where's Granny?\n\n    KILO--               On the peaks.\n\n    SUK--(_Rushing left._) Loki!\n\n    KILO--Stop him!\n\n    SUK--(_Dodging past Zip._) Loki!\n\n    KILO--Stop him, Zory! (_As he darts by, Zory, still upon_\n    _the floor, catches the gnome about the legs._) What is it?\n\n    ZIP--Over the cliff?\n\n    SUK--(_Panting._) Over and over. His black gown--\n    The wind puffs it--like a big bat\n    Swoops after him.\n\n    ZORY--Whew!\n\n    VOICE--(_Right._) Cock-a-doodle-doo!\n\n    SUK--(_Breaking away._) Loki!\n\n        (_He rushes out left, followed by the three other\n            gnomes. From the right Gimel enters._)\n\n    GIMEL--Cock-a-doodle-doo!\n    The sun's up, Granny! Hear the cock!\n    His morning trumpet wakes the village up.\n    Cock-a-doodle-doo!\n    See the good people in their Sunday clothes.\n    A long procession up the mountain goes\n    With boughs of cypress and boughs of yew.\n    And now the big bell in the abbey tower\n    T-o-l-l-s and it t-o-l-l-s and it t-o-l-l-s.\n    Cock-a-doodle-doo!\n    What makes the big bell\n    Sob in its tower? Can any one tell?\n    Why, the monk that pulls at the rope, I ween.\n    Cock-a-doodle-doo!\n\n        (_He follows the others through the narrow passage,\n            left. A moment later, from the opposite side,\n            a fairy appears and beckons to the dwarf. The\n            latter, after a quick glance to the left,\n            stealthily takes up the sword from the floor\n            and follows the fairy from the cave._)\n\n\n    _SCENE THREE--The monastery of St. Giles, in the mountains._\n      _An open court, with buildings dimly seen in the darkness.\n      To the right, the dormitory, a large structure built of\n      stone, with high, deep-set windows protected by heavy\n      shutters which are closed. Across the court a high wall,\n      starting in front, extends back some fifteen feet and abuts\n      the side of the chapel before which in outline long stone\n      steps may be discerned. In the center of the wall is an\n      archway with a pair of ponderous iron gates. The night is\n      dark and windy._\n\n    _Along the side of the dormitory comes old Andrew with a\n      staff and lighted taper. He is singing in a low voice._\n\n    ANDREW--_The barque o' the moon, like the Ithican's ship,_\n    _Heigho, she's swamped on the sea,_\n    _With her big bags of wind_--\n\n        (_Turning the corner and meeting the wind._) Hey!\n\n    Up, lads! Swell your bellies, sails! Now we're for't!\n\n        (_His candle threatening to go out, he draws back.\n            For a while he stands as if perplexed. Then,\n            rounding the corner, he again turns his\n            shoulder to the wind and, shielding his taper\n            thus, moves sidewise across the court toward\n            the chapel._)\n\n    Puff, devils, puff, puff! Howl and snap! howl and snap!\n    You'll scare old Andrew, will you? By the saints,\n    I'll have this taper in the chapel sconce\n    In spite of all your snarling.\n\n        (_He throws down his staff and shields his taper\n            with his gown._) Blow! blow! blow!\n\n    Here's a monk's soul borne to the Virgin's arms\n    Across a strip of Hell. D'you want to leap\n    Out of this greasy world? Out with you, then!\n    Here's a fine night to jump in, wind and moon,\n    Roar and the scud of swollen water-bags.\n    Jump, jump, soul! Swounds, here's a coward for you;\n    Here's a tallow-swad that loves swine's belly\n    Better'n the big deep. Shrift, eh? shrift and housel?\n    _Primum confessum_, foul monk. Gluttony.     (_The taper flickers._)\n    Yip! See the devils pluck at him! Quick, priest;\n    St. Giles will lose a lamb. If I damn one,\n    I damn them all; damn the Abbot; damn Andrew.\n    Flesh is flesh. _Absolvo te. Secundum._\n    Bibbing, eh? Vap or burgundy? Vap?\n    That's a vile sin; but vap is hell enough.\n    _Quid tertio?_                     (_He puts his ear to the taper._)\n                     St! lower; the Devil's listening.     (_Starting._)\n    Whee! Bless the saints! God must have gold for that.\n    No gold? No gold, no shrift. And here's old Claw-foot\n    Coming through the dark, that needs a furnace tender,\n    A skimmer for his bullion pots. Gramercy, monk.\n    No wench-craft there nor bibbing, soft bells and venison.\n    Limbs hot, hot lungs, hot belly, everything--\n                 (_The taper goes out._)     Puff!\n    Down over the big, windy world. Good jump;\n    Clean to the pit.                                       (_Thunder._)\n                      Ay, night, smack your black chaps.\n    Rumble! rumble!\n\n        (_He feels about the ground for his staff, and,\n            having found it, walks back and stands under\n            one of the windows of the dormitory._) Soloman!\n            Soloman!\n\n    The Devil wants you. D'you hear? His pipe's gone out.\n    Give him a coal.\n\n        (_He waits a while, then beats upon the shutter\n            with his staff. A low voice is heard within._)\n\n                     What's that? Eh?\n\n    VOICE--                  Who is it?\n    Lucifer?\n\n    ANDREW--Ay, with his light out.\n                    (_After a pause._)   Come, come!\n    I'll have to cut a reed and suck the stars\n    Like the big fool you told of.\n\n        (_The shutter opens and the head of Soloman\n            appears._)\n\n                                   Light, light, man! (_Soloman whispers._)\n    Pipe out, cricket. Here's the big noisy winds\n    Roarin' in my ears.   (_Soloman whispers and points to the corner._)\n                         Prowling? A night like this!\n    Turned wolf, eh? There's a fine porker gone.\n    Louis and he were at their wassail cups,\n    Nuzzling a stoup o' hipo' a while ago. (_He comes toward the corner._)\n    God bless you, senechal, another stoup.\n    Swine-herd, all-hail! Fill up the Abbot's trough.\n    An he breaks sty, look out! God bless us then!\n    Water and bread, water and bread. Zooks, zooks!\n    The devil's up with Andrew if he finds\n    The oratory dark. (_He listens._) Otho! Spot! Hya! Hya!\n    There's something snooping here.\n\n        (_He crosses himself._)   I'll get a light\n\n    And bustle from this place. It's the Devil\n    Walking on wool.                (_He turns back toward the window._)\n        Water and bread. Sfoot, sfoot!\n    The sheep will find thin food on Andrew's grave.\n    Light, man, light! It's the bats hurtling.\n        (_Soloman disappears._)    There's a chinch\n    That burrows in the vellum like a mole,\n    A parchment moth what can spin yarn or yarn\n    Like the old dame i' the tale. He reads and reads.\n    He's got a wit strung like a rosary thread\n    With tales and names and things and things and things.\n    Tell me a tale, says I, something valorous,\n    Something to lighten life for an old man.\n    Tales for tapers, says he. A go, says I.\n    And so I pilfers from the chapel sconce\n    The snuffed stubbs. To lighten life, says I.\n\n        (_Soloman reappears with a lighted candle._)\n\n    The lad that rode the dolphin, did he get\n    To land?\n\n    SOLOMAN--He stayed upon the sea.\n\n    ANDREW--                         And drowned?\n\n    SOLOMAN--Turned buccaneer and sacked the christian ships\n    And sold the spoil in Jewry.                  (_Andrew walks away._)\n                                 Don't you wish\n    To hear it? The tale goes on to tell\n    How Hugh de Bouillon, cruising in the East,\n    Found him upon a cliff and took him down\n    From off a gibbet where the sea-gulls flew,\n    And with his harp upon the deck at night\n    He made the sea-lads merry with his songs.\n    Let's have them now, here at the gates of heaven,\n    Far off from dead men crying in the sea.\n\n    ANDREW--What makes the lightning go that way, zigzag?\n\n    SOLOMAN--The Devil broke it on a gibbet--\n\n    ANDREW--      Tush!\n\n    SOLOMAN--And hung it upon a sea-cliff.\n\n    ANDREW--Tush, tush, lad!\n    Don't make game o' the old man. If he's bent,\n    It's with prayer.                   (_He comes back to the window._)\n\n    SOLOMAN--     Sing me a sea-song.\n\n    ANDREW--     It's too raw\n    A night, lad.\n\n        (_He holds his taper up toward Soloman's, when\n            suddenly some one carrying a light appears at\n            the farther corner of the dormitory. Soloman\n            jerks back his candle._)\n\n                     Eh? It's Bill-o'-the-wisp!\n    God save us, man! Moving! It's a torch.\n\n        (_The light passes behind the chapel. Andrew walks\n            back in the court._)\n\n    How the wind blows! There's blood in it. Caw, rooks,\n    Chatter and caw. Villainy is abroad.\n    There's blood on the stones somewhere, fresh blood.\n\n        (_He stands looking in the direction whence the\n            light disappeared._)\n\n    It's the new deer-man fastening up the dogs.\n    He hunts in the night when the brockets o' the wood\n    Come to the stream to drink. And none to tell them\n    O' the foul spear. No abbot-stag to say--\n    Standing to his belly in the stream--\n    \"Drink will be the death of you.\" It's a foul world.\n\n        (_Returning toward the window._)\n\n    The hunter's at the kennel wi' his pups.\n    What's his name? He's been here now a sennight.\n\n    SOLOMAN--Macias.\n\n    ANDREW--      Macias; that's a good name.\n\n    SOLOMAN--                                 (_Giving Andrew a light._)\n    It's a lean name.\n\n    ANDREW--    Lean name? Fat, man, fat.\n    An it was lean we'd have to cast our skins,\n    As the snakes do, and sleep at breakfast time.\n    I tell you, Soloman, there a hunter for you.\n    He's for a beast, he fronts it i' the dark,\n    Blazing its pretty orbs wi' his big torch.\n    His eye's a rook's eye and his spear as true\n    As the bolt o' the buskined hussy what you say\n    Drops from the moon i' the dead o' night and hunts\n    Naked i' the woods. She's a--I'm a monk, though.\n    An you could see him coming through the copse,\n    Shuffling the dews away, zooks, you would say\n    The burnt faced fellows of Libya were for sure\n    Making a revel feast for the big god.\n    The game! the game! Sweet, tender prickets,\n    Stags and chamois calves, pheasants and geese,\n    Turtles and loaches and toper horse-fish\n    Wi' fins as red as blood. God bless us, though.\n    An the Abbot finds the oratory dark,\n    There'll be thin food for sheep on Andrew's grave.\n    Water and bread.\n\n        (_He starts toward the chapel, humming to himself._)\n\n    SOLOMAN--    What's the song, Andrew?\n\n    ANDREW--                                Sh!\n    The Abbot hears me trill that heathen song,\n    I'll get no chick-weed. It's a foul song.\n\n        (_He comes forward and looks round the corner of\n            the dormitory, then returns to the window._)\n\n    A cricket chirped it from a chink i' the wall\n    As the old man dozed dreaming o' green fields,\n    Up there.                                              (_He sings._)\n          _The grass is food for the ewe_\n          _And the ewe is food for man_\n          _And man is food for the green, green grass_\n          _And the grass for the ewe again._\n    The foul song makes goat's food of us all.\n    Old Andrew's shoots, gowan, and aigilops\n    For filthy goats to browse on.                   (_He starts away._)\n                                      Sfoot, I'll fast\n    'Fore I'll be carried around in a goat's udder.\n\n        (_Suddenly around the farther corner of the chapel\n            the light reappears. Soloman snatches-to the\n            shutter. Old Andrew blows out his taper and\n            gets down upon his knees by the wall. Macias,\n            the hunter, carrying a pine torch, comes\n            forward across the court._)\n\n    ANDREW--                                      (_Telling his beads._)\n    _Adeste, sancti_; villainy is abroad.\n\n    MACIAS--                                 (_Holding down his torch._)\n    Ay, monk, you're right. Are all the brothers in?\n\n    ANDREW--_Abi_, fiend! Out with the sooty torch!\n    Old Andrew's prayers can fly to heaven i' the dark.\n\n    MACIAS--I meant no harm, monk. I was passing by\n    And heard you say there's villainy abroad.\n    I thought perhaps you'd heard the blind bitch howl,\n    As I did, mournful. Did you? Did you hear her?\n\n    ANDREW--                                             (_Looking up._)\n    Who breaks old Andrew's mass? Zooks, it's the Devil\n    Thrusting his grimy face through censer smoke.\n\n        (_Turning to the wall._)\n\n    _Adeste, sancti_; villainy is abroad.\n\n    MACIAS--                                             (_Reflecting._)\n    It may have been in my dream.         (_He walks out in the court._)\n                                          A few white stars\n    Still burned above the village. (_Looking up._) Not a star\n    In all the heavens.          (_He returns right. Andrew has risen._)\n                        Are all the brothers in?\n\n    ANDREW--Up there behind the clouds?\n\n    MACIAS--                          Did you hear the howl?\n\n    ANDREW--Ay, heard it in the pines.\n\n    MACIAS--                            The bitch, I mean.\n\n    ANDREW--Carnus is dog. Bitch is a carnal thought.\n    I've been at prayer.\n\n    MACIAS--        Within?\n\n    ANDREW--                The prayer was in;\n    Andrew was out.\n\n    MACIAS--       Here in the gale? How long?\n\n    ANDREW--Till a soul jumps from the big windy world.\n\n    MACIAS--Jumps from the world? Whose soul?\n\n    ANDREW--                               The monk's.\n\n    MACIAS--(_Aside._)                 The monk's!\n    There, there it is, the howl of the hound!\n    Death has been here.\n\n    ANDREW--     Shook and refused to jump\n    Till he was driven off.\n\n    MACIAS--       What! Driven off?\n\n    ANDREW--Ay, by the winds.\n\n    MACIAS--       He died not in his cell?\n\n    ANDREW--He died here by the wall.\n\n        (_He walks back in the darkness._)\n\n    MACIAS--                            Monk, beat the brush;\n    I fear some crime is crouching in the dark.\n\n    ANDREW--Ay, that there is; there's villainy abroad.\n\n        (_He stands listening._)\n\n    MACIAS--Why are you silent? Tell me how he died.\n\n        (_Andrew returns gloomily and lights his taper at\n            the hunter's torch._)\n\n    ANDREW--His soul was calm until it sniffed the gale\n    And saw the wild-fire grazing in the sky.\n    And then you should have seen him. When he heard\n    The roar of the wind and saw the lean moon\n    Rush through the clouds, tearing them with her horn,\n    Zooks, then he fluttered like a gull on a mast\n    When a big barque is poppling up and down\n    I' the foam. And all the while devils' grimy hands\n    Plucked at him through the dark.\n\n        (_The hunter turns away mumbling to himself._) Eh?\n            Mad? You're right.\n\n    An you'd a seen 'em you'd a said they're mad.\n\n    MACIAS--Where will I find the Abbot?\n\n    ANDREW--                              Legions of them.\n    They'd seen me sponge him twice with a good shrift.\n    As soon as ever the third foul sin appeared,\n    They pounced him and pitched him down over the world\n    To where the big deep dashes up the sky\n    Spraying the stars of heaven. Down, down, down!\n\n        (_He walks back in the court and stands listening._)\n\n    Hear it? Blood on the stones, fresh blood.   (_Calling._) Mother!\n\n    MACIAS--Chattering to himself. It must be he,\n    The ancient acholyte they told me of.\n    Gray hairs and staff--\n\n    ANDREW--       Mother!\n\n    MACIAS--               His ears are keen\n    From listening to the crickets in the stones,\n    Year after year. Jesu, that's a long time.\n    The eagles that were young upon the crags\n    When he came here are gray. God, fifty years!\n    For fifty years to watch the lizards spawn,\n    To feed them, name them, miss them then and see\n    In the green crevices of the old wall\n    Another brood come forth. Each rook that haunts\n    These musty gables here, he knows them all;\n    Knows every tomb-bat in the coffin'd crypt;\n    Can tell the spiders, where they cast their webs\n    In the dark corners, where and how and why;\n    The rere-mice, when they breed; the vermin--God!\n    Fifty long years, fifty! And all that time\n    To count the days like beads and feel them black!\n    I'd rather be a fox. I'd rather be--\n    Never to have chased the chamois up the cliffs!\n    Never to have felt the thrill of stag at bay,\n    Or heard the pheasant in the wild brown brake\n    Whir! (_Walking right._) I'd rather be a chipmunk free to--\n\n    ANDREW--You got the dogs shut in?\n\n    MACIAS--                         (_At the corner of the dormitory._)\n                                               They're shut in. Why?\n\n    ANDREW--Hear it.\n\n    MACIAS--   I hear nothing.\n\n    ANDREW--                   Far down in the dark.\n    There, groaning in the wind.\n    It tries to rise.\n    Some stag or something's fallen from the rocks.\n    Are the dogs in? Is Twinkle in, and Spot?\n\n        (_Macias walks back._)\n\n    There's something moving round it.\n\n    MACIAS--                           Stag, you say?\n\n    ANDREW--It's not a stag. Its foot sounds like a paw.\n    Hear it? It's dragging off the carcass. Hear?\n\n    MACIAS--Old man, your ears are at the gates of death.\n    What is it that you hear in this wild night?\n    Awake you strike the trail I struck in sleep.\n    I have just had a dream in which I saw\n    A stag out on the mountain there dragged down.\n\n    ANDREW--                                           (_Abstractedly._)\n    Its foot sounds like a paw.\n\n    MACIAS--                   'Twas in the dream.\n    I am just from a dream in which I saw\n    A snow-white talbot pull a stag down.\n\n    ANDREW--                      Dream?\n\n    MACIAS--And when the talbot had pulled down the buck\n    A pair of hands, small as a fairy's are,\n    Reached through the leaves and--\n\n    ANDREW--                 Mother Mary! Hold!\n    I will wake Daniel.\n\n    MACIAS--    Are all the brothers in?\n\n        (_Andrew beats upon the shutter._)\n\n    Do what?\n\n    ANDREW--You're right. He'll read it as easy\n    As the old fellow what ate pulse and got\n    Lean as the kine he saw. He knows them all.\n    Says he: \"Dreams sleep under the dog-wood blooms\n    And love to hear the patter o' the rain.\"\n    Why, he knows the color o' their beards, man.\n    Says he, one day, telling me of a dream--\n    Onar was its name, gray-beard like a king--\n    Steals into a tent: \"Now you can get the girl;\n    Wake up and fight; now you can get her.\"\n                (_A low voice within._) Eh?\n    A dream, God bless us, fire-wing.             (_The shutter opens._)\n                            He.\n\n    SOLOMAN--          Tell it.\n\n        (_Farther back, a second shutter opens._)\n\n    MACIAS--First tell me this: Did either of you monks\n    Hear Fever howl?\n\n    SOLOMAN--   I heard no howl.\n\n    MACIAS--(_Flashing back his torch._) Did you?\n\n    LEO--                                           (_In a thin voice._)\n    What?\n\n    MACIAS--Hear Fever howl.\n\n    LEO--                     What's Fever?\n\n    MACIAS--                                The bitch.\n\n    LEO--                                              Shame!\n\n    MACIAS--                                             (_To Soloman._)\n    A while ago I started up from sleep\n    And hurried to the kennel, thinking sure\n    I'd find old Fever sick again; but no;\n    The bitch was sleeping. And yet I heard a howl.\n    It may have been the white hound in my dream.\n    I seemed to be out on the mountain there.\n    'Twas early morning; a few stars still shone\n    Above the village. Soon, far down the road,\n    I heard a baying as of hounds. Thinks I:\n    \"A deer has passed and waked the village dogs.\n    Now for a chase.\" There must have been a slot\n    Of fresh blood on the road that fired the pack,\n    For on they came like mad. Around the cliff\n    Long bodies swung like shadows through the mist,\n    And tore on up the mountain. Farther up\n    A stag plunged from a hazel copse, and then\n    A snow-white talbot, following close behind,\n    Shot smoking from the brake. \"Abloy!\" I cried,\n    And leaped upon a rock. The after-pack,\n    Nosing the vent along the mountain road,\n    Heard the loud challenge of the leading hound\n    And, breaking trail, came crashing through the brush\n    And spied the quarry, and with their heads in air\n    Sprang after up the scree, their steaming mouths\n    Ringing the mountains round. The pretty deer,\n    With nostrils flaming and with dappled flanks\n    Torn by the furze, came skirting round a rock\n    And turned to dash under some low-hung boughs\n    When over a near knoll the hot, sinewy hound,\n    Like to a cat-o'-mountain from a limb,\n    Shot through the air. Crash through the boughs he went.\n    Sprinkling the earth with leaves. Out jumped my knife,\n    And, leaping from the rock, I hurried down\n    To slit the poor brute's throat and save a steak\n    From the mad, hungry pack. The pretty buck\n    Staggered beneath the hound, while the beads of blood\n    Dripped from the quivering hocks. The head fell back,\n    The tender haunches sank on the soft turf,\n    And death was closing up the eyes, when lo,\n    Sancta Maria, what a miracle!\n\n        (_He pauses a moment, then proceeds with more and\n            more animation._)\n\n    A gale had risen and the clouds that hung\n    Gray in the heavens when the chase began,\n    Foamed, and, flying black before the winds,\n    Grappled the woods and threw his thick, green hair\n    Into the swirling rack of livid sky.\n    Lightnings and thunders, winds and tumbling rocks\n    Charged on the pack of dogs as though they were\n    Devils come up from Hell, and hurled them down\n    Into the pit again. Under the beech\n    Where the white talbot had pulled down the buck\n    Behold the miracle the Virgin wrought!\n    Out of a dallop of green boughs that hung\n    Close to the haunches of the hart appeared\n    A pair of small pink hands that with one wrench\n    Tore the hound's jaws apart. The deer rose up\n    As from a sleep, shook his brown coat and browsed\n    The succulent green twigs, then wandered off\n    Up the dark mountain side, whilst like a star\n    Between the dim, dissolving antlers shone\n    A crucifix of silver, dripping blood.\n\n        (_Several shutters in the second story have opened\n            and faces are seen white in the glare of the\n            torch. Old Andrew, frightened, has drawn back\n            in the shadow against the wall._)\n\n    Lo, then a sight such as I hope our Lord\n    Will visit to these dying eyes of mine\n    In their last hour. The louring mountain brows\n    Brightened beneath a drift of golden feet,\n    And wings waved in the air, and faces bloomed\n    In the edding sky, and the dark towering ridge,\n    Lifting its weight of crags above the storm,\n    Sloughed off its shadow, and the field of pines,\n    Like a green army climbing to the clouds\n    Out of the darkness of the dale below,\n    Shook their victorious plumes, and every rock,\n    Tree, bush, and vine, and weed, and flower sent up\n    Voices of joy till all the mountains rang.\n\n    LEO--\"I say unto you that joy shall be in heaven over one\n    sinner that returneth.\"\n\n    VOICE--                                   (_From the second story._)\n    Who is the sinner?\n\n    MACIAS--(_Calling up._) Are all the brothers in?\n\n    VOICE--(_Calling._) Oswald!\n\n    ANOTHER-- Ask Pierre.\n\n    ANOTHER--            (_Far within._) He has not returned. (A pause.)\n\n    ANOTHER--He may have stayed with Father Benedict.\n    He finishes to-morrow.\n\n    SOLOMAN--     Tell this dream\n    To the Abbot.            (_The hunter disappears round the corner._)\n\n    A VOICE-- Let us hear what Father says.\n\n    ANOTHER--Oswald is girt about with prophesy.\n\n    ANOTHER--Fiends cannot harm him.\n\n    ANOTHER--                         Jesus is with him.\n\n        (_The shutters are closed hurriedly._)\n\n    ANDREW--                                                  (_Alone._)\n    The Devil is a big, long-legged crane,\n    Wading the marsh of life, and we are frogs,\n    Tadpoles and water-bugs. I'll fast and pray.\n\n        (_He shields his flickering taper with his gown and\n            makes his way across the court toward the\n            chapel._)\n\n\n    _SCENE FOUR--A desolate mountain road along the top of a\n      cliff that plunges down from the edge of a pine-wood._\n      _Overhead the wind is heard moaning in the trees, and upon\n      the ground patches of moonlight wave to and fro. From the\n      left, past some bushes which almost hide the road from\n      view, the dwarf, Sigurd, appears carrying the monk, Oswald,\n      limp in his arms. The latter's face is so emaciated that\n      one would never recognize him as the same person as was\n      seen in the forest some three years ago. His feet, upon\n      which are heavy wooden shoes, drag along the road. Suddenly\n      from somewhere in his clothing the large silver crucifix\n      falls to the ground. The dwarf stoops, and, resting the\n      monk upon his knee, reaches down and secures the crucifix,\n      which he puts between his teeth. Then, having gotten a new\n      hold, he rises and, with difficulty, makes his way up the\n      road._\n\n\n\n\nACT THREE.\n\n\n    _SCENE ONE--A grassy ledge far up on the mountain side. Tall\n      pine trunks rise here and there. Down the <DW72>, to the\n      left, are russet tops of small oaks newly leaved. To the\n      right, a rocky acclivity of about thirty degrees elevation\n      with scattered bushes and a sheep path winding back and up.\n      In the distance, a blue range of mountains with their bases\n      buried in the white mists of early morning._\n\n    _Some distance back from where the path comes down upon\n      the ledge, Conrad is broiling woodcocks on coals. Brown\n      feathers are sprinkled about upon the turf. Upon a rock\n      near by lies a well-filled hunting bag. Fritz, with his\n      face to the fire, is reclining upon the grass with a_\n      _shepherd's staff in his hands. From down the <DW72>, comes_\n      _a tinkle of bells as of sheep browsing on the mountain side._\n\n    _TIME--Two days later._\n\n    FRITZ--I was with Canzler when the boy climbed up\n    Among the rocks and handed it to him.\n\n    CONRAD--What does it look like?\n\n    FRITZ--                        It's as long as that,\n\n        (_Indicating on his staff._)\n\n    And blue as the waters of the tarn down there.\n    Upon the haft are wrought two eagles' heads\n    And, twisted round the blade in coil on coil,\n    A serpent in the talons of the birds\n    Forms the cross piece upon the lower haft.\n    On the blade between the coils what may be runes\n    Are cut in characters of some unknown tongue;\n    At least, no man has ever made them out.\n\n    CONRAD--Where could the boy have gotten it?\n\n    FRITZ--                                     No one knows.\n    Turn the bird over.\n\n    CONRAD--    It is not brown yet.\n\n    FRITZ--There is something magical about it all.\n    In the light, the blade bends like a willow wand,\n    But when the sky is overcast with clouds\n    Or in the shade of rock or tree no man\n    With all his might can bend it, and it slips\n    Through tree and rock as through a pawpaw leaf.\n\n    CONRAD--The boy himself, what did he say?\n\n    FRITZ--                                   He vanished.\n\n    CONRAD--                                               Eh?\n\n    FRITZ--When Canzler turned to ask him, he was gone.\n\n    CONRAD--And have you seen him since?\n\n    FRITZ--                              Where is your bread?\n\n    CONRAD--I have some here.            (_He reaches up into the bag._)\n                                        Has no one seen him since?\n\n    FRITZ--He was out on the mountains every day\n    Before, either by the abbey over there\n    Or climbing in the vines above the tarn,\n    But always in the shade of rock or tree.\n    When he crossed spaces where the sunlight fell\n    'Twas always in the shadow of a cloud.\n    No one has seen him since he disappeared.\n\n    CONRAD--                        (_Laying the bread upon the grass._)\n    You know the song that Wiglaf used to sing,\n    Of how Val-father wanders over the earth\n    In human form--\n\n    FRITZ--    That is what Rudolph says;\n    Val-father turns his dark side to the earth.\n\n    CONRAD--And leaves swords sticking in the rock and trees.\n\n    FRITZ--Rudolph insists that Oswald will return.\n    He says that Selma learned it from the trees.\n    She listens in the forest all day long\n    And when the wind is loud and the boughs sway--\n\n    CONRAD--How could he ever find us here?\n\n    FRITZ--                                 I see\n    How that could be; Woden knows where we are,\n    And where he turns his face the way is clear.\n\n    CONRAD--Oswald has turned his back on Woden's face.\n\n    FRITZ--Blind Hoder wandered once as far as Hell,\n    And he came back, for Woden in his mind\n    Directed him and--Here comes Canzler now.\n\n    CONRAD--Is that the sword.\n\n    FRITZ--                    Yes.\n\n    CONRAD--        What was that he said?\n\n    FRITZ--He must be going down to see the priest.\n\n        (_With the sword at his side and wearing a cap\n            made of a wild-cat's skin, its head upon his\n            head and the rest of the skin hanging down\n            his back, Canzler comes down the sheep path,\n            followed by Rudolph._)\n\n    CANZLER--More than two years have passed and not a word\n    Was ever said to throw the claim in doubt;\n    But now that Hartzel is about to die\n    They think to get the whole tract for the Church,\n    Upon the ground that he who sold the land\n    To Hartzel was apostate to their Faith.\n\n    RUDOLPH--They don't deny that the man owned the land?\n\n    CANZLER--He owned the land till he disowned the Faith\n    And by that act he dispossessed himself,\n    And then, they say, the land reverted to God.\n\n    RUDOLPH--And Hartzel's money, to whom does it revert?\n\n    CANZLER--That is a matter between infidels,\n    And proves, when they rob one another so,\n    There is no honesty outside the Faith.\n\n    RUDOLPH--The man that sold the land robbed Hartzel, eh?\n\n    CANZLER--If knavery is all outside the Faith.\n\n    CONRAD--Will you men have some breakfast?\n\n    RUDOLPH--                                 And did they\n    Tell Hartzel on what ground they had seized his land?\n\n    CANZLER--\"All land is God's, and pagans have no right\n    To own it,\" was the answer that he got.\n    That was a month ago, though. When they found\n    That the wind passed and still the fruit hung on,\n    Thinking perhaps 'twould fall of its own weight.\n    They waited until yesterday and then\n    Unexpectedly they bumped the tree.\n    Hartzel should hold possession during life--\n    He is about to die--and at his death\n    The Church should take the burden of the estate\n    From his dead shoulders, and carry it without charge\n    And with it save his soul from Hell.\n\n    RUDOLPH--                    And save\n    His children--?\n\n    CANZLER--     From the path that leads to Hell.\n\n    RUDOLPH--Is that their proposition?\n\n    CANZLER--                           That is it.\n    The old man in despair appealed to me.\n\n    RUDOLPH--What are you going to tell them, Canzler?\n\n    CANZLER--What am I going to tell them? Tell them what\n    Val-father tells the mountains, tells the rocks,\n    The trees, the beasts, the birds, all things that live.\n    Woden, who made all things, made each to be\n    Different from the rest. He made the oak\n    To bear its acorns and the pine its cones.\n    The mole to burrow and the fox to run,\n    The eagle to hatch her brood upon the crag\n    Under the sun, the bat, in the dark cave.\n    The ox to eat grass, and the lion flesh,\n    And each to go its own particular way\n    Upon a path as separate and clear\n    As are the curves and risings of the stars.\n\n        (_Fritz and Conrad come forward._)\n\n    He made no bell to ring all things that live\n    To sameness in their lives or in their thought.\n    To keep them, as he made them, different,\n    He gave to each an individual taste\n    And matched the taste within with that without\n    Which, when the two meet, the result is joy.\n    Joy is the voice of each thing as it moves\n    Toward Woden on the path that he laid out.\n    The eagle finds its way without a guide\n    To Woden, and the stars without a guide,\n    Each in its own light, and all things that live,\n    From the blind worm to the all-seeing sun,\n    Follow their joy and come at last to him.\n    The eagle's right to go the eagle's way\n    Is not conditioned by another thing\n    Save by the fact alone that it is so:\n    That Woden gave to it an eagle's wings.\n    And so with man. To what man has a right,\n    He has a right because he is a man\n    And not because he is a kind of man.\n    Val-father's bells have each a different tone.\n    You cannot make the million aisles that lead\n    To him one aisle and drive all things through that,\n    Or make the right of each to be and to have\n    Rest on its answering a particular bell.\n    If we admit their principle that Faith,\n    Or anything outside the fact that one\n    Is a man, is the basis of the rights of man,\n    We shame our Saxon fathers who fought and died\n    For a lie, if this be true. For when the South\n    Pushed through the Frankish forest with her sword\n    Between her teeth, and stained with blood, and held\n    Her hands out, saying, \"Here, take this or this,\"\n    Our fathers chose the darkness of the grave\n    From the red hand, and left the black hand filled\n    With that which now to keep itself alive\n    Eats Hartzel's land and licks its fangs toward us.\n    When the great night came on and they laid down\n    Under their battered shields and broken swords,\n    The trees have told us what their last word was:\n    \"The northern air will kill the southern lie;\n    Then we will come again. Remember this.\"\n\n    FRITZ--And here we are.\n\n    CANZLER--                It may not be dawn yet,\n    But some are up before the light.\n\n    FRITZ--                  And all\n    The dead will rise when Balder comes.\n\n    RUDOLPH--                     But now\n    Val-father has his dark side to the earth,\n    And works in his own shadow.\n\n    FRITZ--              But the dawn\n    Will reach down and lift Balder out of Hell.\n\n    CONRAD--                  (_Drawing the sword from Canzler's belt._)\n    If we concede to every man the right,\n    As you say, Canzler, to his own belief,\n    We must concede to the villagers the right\n    To their belief that they own Hartzel's land.\n\n    CANZLER--We do concede it.\n\n    RUDOLPH--                  Their right to their belief.\n    But not their right to Hartzel's land.\n\n    CANZLER--                      With them\n    Men are God's vassals, and the land they hold,\n    They hold in fief to him, on terms of faith.\n\n    RUDOLPH--And while they keep the Faith, they keep the land.\n\n    FRITZ--And when they lose the Faith, they lose the land.\n\n    CONRAD--                                          (_Walking aside._)\n    And when they have no Faith, they have no land.\n\n        (_He tries to pierce with the sword a pine tree in\n            the sunlight._)\n\n    CANZLER--Try that one in the shade there.\n\n        (_The sword passes deeply into the second trunk._)\n\n    FRITZ--                               Is it through?\n\n    CONRAD--                               (_Looking behind the trunk._)\n    More than a hand's breadth.\n\n\n    FRITZ--                     If the village dogs\n    Snap at you as they are wont to--\n\n    CANZLER--                         I shall have\n    No trouble with them.\n\n    FRITZ--               And yet you expect\n    To tell them what you said just--\n\n    CANZLER--                          I expect\n    Hartzel to have his rights. Fetch it here, Conrad.\n\n    RUDOLPH--The Bailiff, Canzler, is a rabid man.\n\n    CANZLER--I have no business with the Bailiff.\n\n    RUDOLPH--                                      Still,\n    To reach the church, you must pass through the street.\n\n    CANZLER--Is it too narrow for two men to pass?\n\n        (_He receives the sword and goes left._)\n\n    RUDOLPH--For two such men as you two are, it is.\n\n    FRITZ--With swords on thighs.\n\n    CONRAD--                           (_Walking back toward the fire._)\n                      The hilts might knock.\n\n    FRITZ--(_Following him._)                  Or blades.\n\n    VOICE OF SELMA--                                          (_Above._)\n    I'm going with you, Father!\n\n    CANZLER--                     No, Selma;\n    You--\n\n    SELMA--                         (_Who comes running down the path._)\n            Just to the dingle; the faries say\n    The heather-bells are out.\n\n    RUDOLPH--                    Let her go, Canzler.\n\n    CANZLER--Throw the white blooms away.\n\n    SELMA--                       (_Throwing away a sprig of dog-wood._)\n                                                     Now may I go?\n\n    CANZLER--They make you sad.            (_He starts down the slope_.)\n\n    SELMA--        I'll not cry any more.\n    I'll be gay, Father, if you let me go.\n\n        (_She turns and looks questioningly at Rudolph,\n            who nods to her. Then, skipping forward, she\n            takes hold of the hilt of her father's sword\n            and steadies herself with it as they go down\n            the <DW72>._)\n\n    CONRAD--Come back and have a woodcock.\n\n        (_Rudolph walks back._)\n\n    FRITZ--        There he goes.                          (_Shouting._)\n    O Canzler!\n\n    CONRAD-- He don't hear you.\n\n    RUDOLPH--                   Who?\n\n    CONRAD--                         The Priest.\n\n    RUDOLPH--Which way is he?\n\n    FRITZ--                  Riding down toward town.\n\n        (_Rudolph joins the others, and the three stand\n            looking off left._)\n\n    CONRAD--                                      (_Directing Rudolph._)\n    Up that way from the Abbey.\n\n    FRITZ--                    I bet he's been\n    Back to see Hartzel. (_Shouting._) Canzler!\n\n    CONRAD--                                  He can't hear.\n\n\n    _SCENE TWO--The courtyard of the abbey, as in Scene three\n      of the second act. The large crucifix which was seen in\n      the forest in the first Act is fixed above the door of_\n      _the chapel. On either side of the door is a stained glass_\n      _window, the farther one depicting the Transfiguration, the\n      nearer one, the legend of St. Giles. The deer with blood\n      dripping from a wound in its haunch stands behind the\n      saint who holds in his hand an arrow with blood upon its\n      tip. The emporer and his huntsmen are presenting the saint\n      with golden cups. The deer is watching them. Several rude\n      benches of stone are ranged alongside of the dormitory.\n      In the rear, about ten feet back from the building, a low\n      stone wall extends across, passing behind the dormitory on\n      the one side and the chapel on the other. To the left, far\n      back, is seen the side of the mountain on which the abbey\n      stands. The upper part is thickly wooded, and below, where\n      the timber is sparse, a road winds down the cliff to the\n      village. Farther down, the <DW72> becomes more precipitous\n      and is covered with bowlders and stunted evergreens, some\n      of which have been broken off by rocks tumbling from the\n      cliff above. Off to the right, a space of sky with the\n      snow-peaks flashing in the sunlight. To the left in the\n      last Scene, they are now far to the right._\n\n    _From a door in the dormitory facing the court, Ely and_\n      _Pierre enter. The former has a hunting horn suspended from\n      his shoulder by a chain, and in his hand a small wooden\n      crucifix. Pierre carries two large silver candelabra. They\n      come out talking._\n\n    ELY--For he was old and he had come four miles.\n\n    PIERRE--A <DW36> too! When was this?\n\n    ELY--                                Yesterday.\n    And when I showed him this and said: \"Good man,\n    Here is a rood he carved with his own hands,\"\n    Light filled his eyes.\n\n    PIERRE--     And had he come so far?\n\n        (_Ely walks forward and looks around the corner of\n            the dormitory._)\n\n    ELY--                                                (Turning back.)\n    I must be at the gate when father comes--\n    Four miles on crutches. Suddenly he looked up.\n    He must have seen a wing flash in the sky,\n    For his face brightened with the light of faith,\n    And like a seed he seemed to scent a shower.\n\n    PIERRE--What did you do?\n\n    ELY--        I asked him to kneel down.\n    Oh, what a power there is in holy things!\n    No sooner had I touched him with the rood\n    Than like a plant he rose up from the stones\n    And blossomed; cried: \"Lord Jesus, I am cured!\"\n    And down the mountain ran shouting for joy.\n\n    PIERRE--The Holy Virgin bless us!\n\n    ELY--           Yes, he did;\n    Ran down. I watched him till he disappeared,\n    Then turned to stone. I could not stir, but stood\n    Frightened as though an angel hovered near\n    In the blue sky.\n\n    PIERRE--   Oh, I have felt it too!\n    These two days have to me been like a dream\n    And I am dizzy as on some high place.\n    At night I feel the stars are not far off,\n    And when I wake, it seems to me the dawn\n    Is breaking far below us on the world.\n    So near we are to that which lights the sun,\n\n        (_He holds up the candelabra._)\n\n    These candles, if I should dare to speak the word,\n    Would burst out into flame.\n\n    ELY--           Pierre!\n\n    PIERRE--(_Still looking up._)      Oh, surely,\n    Surely the hands that lifted Oswald up,\n    Lifted our abbey too, and we are close\n    To heaven. Perhaps about us in the air\n    Are voices and the wings of those that hear\n    Our very whispers,--martyrs, saints, Saint Giles.\n\n    ELY--You make it terrible to live in flesh.\n\n    PIERRE--Oh, terrible! It is terrible to live\n    Where every word drops in an angel's ear.\n    I feel that every breath should be a prayer.\n\n    ELY--I feel so too, Pierre. These acts of grace--\n\n    PIERRE--Are but the sparks of power.\n\n        (_He starts toward the chapel._)\n\n    ELY--          Mere sparks, you think?\n    These healings and this rescue from the gulch,\n    Mere sparks?\n\n    PIERRE--     Simply the scattered beams.\n\n    ELY--                                  And yet,\n    The same great light hath kindled one and all.\n    Is it not so?\n\n    PIERRE--     All these will vanish when--\n\n    ELY--Tell me. Go on.\n\n    PIERRE--     When the full orb shall burst.\n\n    ELY--What do you mean?\n\n    PIERRE--(_Mounting the steps._) I dare not speak it.\n\n    ELY--                                                     Brother!\n\n    PIERRE--Ely, we stand in darkness by the Tomb,\n    And little beams flash on us from the chinks,\n    But the full glory, flooding all the vault,\n    Awaits the angel.\n\n    ELY--     Is it the dream you mean?\n\n    PIERRE--No one must ever tell him, Father says.\n\n    ELY--You think then that the dream will be fulfilled?\n    That it is Oswald whom the hounds of Hell\n    Will chase up some vast mountain of the soul?\n\n    PIERRE--Soon the stone will stir.          (_He enters the chapel._)\n\n    ELY--                              Pierre!\n\n        (_While Ely stands hoping that Pierre will\n            reappear, loud laughter breaks from the open\n            door of the dormitory, and Simon and Basil\n            come sprawling out. The former is pulling at\n            a piece of flesh. Ely's face shows anger, and\n            he starts left._)\n\n    BASIL--              His crutches!\n\n        (_He laughs aloud._)\n\n    SIMON--Here he is now. Ely!\n\n    BASIL--(_Calling through the door._) Hear that, Rene?\n    The beggar left his crutches for his gift.\n\n        (_Laughter within._)\n\n    SIMON--You ask him. Ely!\n\n        (_Ely unlocks the iron gates and passes out._)\n\n    BASIL--                  Bring the crutches, man!\n    Simon's got the gout.\n\n        (_Rene comes out and joins Basil in laughing at\n            Simon. The latter, eating his meat, walks back\n            in the court. Basil whispers to Rene._)\n\n    RENE--                                            When was it, Simon?\n\n    SIMON--Yesterday. I was sleeping on the bench\n    When the old codger's shouting waked me up.\n    And there he was.                      (_He points up to the road._)\n                       I thought the man was mad,\n    Or had been in the gables robbing nests,\n    For his white hair fluttering in the wind\n    Looked like a pair of pigeons on his poll.\n    He must have thought the Devil--        (_He sits down on a bench._)\n\n    BASIL--          Or else Ely.\n\n    RENE--Yes, chasing him for his pay.\n\n    BASIL--(_Indignantly._)      His crutches!\n\n    SIMON--                                                  (_Drolly._)\n    He left his sole support.\n\n        (_They all laugh. Basil, who has come forward,\n            peeps round the corner of the dormitory.\n            Withdrawing quickly, he hurries back toward\n            the door._)\n\n    BASIL--(_Excitedly, in an underbreath._) Rene!\n\n        (_He points back over his shoulder with his thumb._)\n\n    RENE--(_Huskily._)                             Simon!\n\n        (_Simon leaps up, jerks away his meat, and, wiping\n            his mouth with his sleeve, hurries after the\n            others into the dormitory. From the right,\n            the Abbot enters followed by a train of\n            monks. He wears a miter and a flowing cope_\n            _of scarlet, richly apparelled. From the end\n            of a rosary about his neck dangles an ivory\n            crucifix. The monks are all in black and wear\n            their hoods. Upon reaching the center of the\n            court, the Abbot raises his staff and the_\n            _procession stops._)\n\n    ABBOT--Saint Martin hath restored the golden dawn\n    And put the clouds to flight. The kingly sun\n    Looks on the world like our new-risen Lord\n    Driving the night before Him. And the fiends,\n    That fly with darkness from the pit of death\n    To conjure with the baleful midnight stars\n    And wreck God's holy chime of human souls,\n    Are scourged to Hell, and all the rebel orbs\n    Are thunder-stunned. Vapors and noxious fogs\n    That hatch contagion in rank, drizzling swamps,\n    Will soon beneath the lightning's flagellum\n    With breezes fan their fevers from the blood,\n    And with pure sea-dews from green ocean urns\n    Sprinkle the parched earth to cool the vines\n    Preparing clusters of our dear Lord's blood.\n    The serpent spawn of imps and evil dreams,\n    Fairies and watching wanderers of the night,\n    That kennel in the bowels of the earth\n    And taint its waters, blight the tender sprouts,\n    And sow infections through the flocks and herds,\n    Have flown like bats into the squalid caves,\n    And there are numb with fear. O'er Zion's towers\n    The virgin dawn brings forth the sun of God\n    And smiles upon the world. The blessed light\n    Spreads o'er the earth its bright, archangel wings,\n    Dripping with balmy dews and cassia smells.\n    The day will--\n\n        (_High up on the mountain is heard the blast of a\n            trumpet._) Hark!\n\n    A MONK--     It was Ely's trumpet.\n\n    ANOTHER--Some one comes.\n\n    ABBOT--                  The asses from Italy,\n    Bringing the wine and frankincense, no doubt.\n\n    A MONK--And the golden chalices.\n\n    ANOTHER--                         And Father's cope.\n\n        (_Pierre comes from the chapel_.)\n\n    ABBOT--Pierre!\n\n    PIERRE--  What it is, Father?\n\n    ABBOT--                       Is the ambry clean?\n\n    PIERRE--It is, Father.\n\n    ABBOT--                 Go find Louis, and fetch--\n    Fetch the diotas and--let's see--three casks.\n\n        (_He saunters toward the gate. Three monks\n            follow Pierre, right. The rest disperse about\n            the court, the greater part eventually finding\n            their way into the chapel. A few walk back in\n            the rear and stand looking up at the road.\n            Three monks, who came in at the end of the\n            procession and who all the while have stood\n            perfectly still, slip back their hoods and\n            discover Simon, Rene, and Basil. At the corner\n            of the dormitory, Pierre and his companions\n            meet Louis entering_.)\n\n    ONE OF THE MONKS--The train has come.\n\n    PIERRE--                               Father says bring the casks.\n\n        (_Louis reaches under his gown and produces a\n            large iron key which he hands to Pierre. He\n            then passes into the court. The four go out_.)\n\n    ABBOT--                                             (_Calculating._)\n    Thirty gallons and six--(_Turning._) Four casks, Pierre.\n\n    SIMON--The chopin too, Pierre. You know the men,\n    The mule-men will be dry.\n\n    BASIL--          Or Simon will.\n\n    RENE--Or Basil.\n\n    BASIL--          Or Rene.\n\n    SIMON-- (_With his hand to his mouth._) Or Father.\n\n        (_They laugh._)\n\n    ABBOT--                                                Louis!\n\n        (_The shutter near the corner of the dormitory\n            opens, and Solomon leans out. He has a\n            parchment in his hand._)\n\n    SOLOMAN--_Quid est_, Leo?\n\n    LEO--                  (_Telling his beads, on one of the benches._)\n                                         The wine train has arrived.\n\n    SOLOMAN--From Paradise.\n\n    LEO--                       Don't be irreverant.\n\n    BASIL---(_To Soloman._) Let no man look on wine when it is red.\n\n    SIMON--I shut my eyes.\n\n        (_Holding their sides for laughter, Rene and\n            Basil stagger back toward the rear. Soloman\n            withdraws from the window._)\n\n    LEO--           Father will tend to you.\n\n        (_Simon makes faces at him and follows his\n            companions._)\n\n    ABBOT--                                (_Walking aside with Louis._)\n    Say nothing to the strangers of the affair.\n\n    LOUIS--Of finding brother Oswald?\n\n    ABBOT--                            No, not that.\n    His fall, his being found before the gate,\n    All that, no doubt, the villagers last night\n    Poured into their ears. The folk are deeply stirred.\n    From tongue to tongue the flame of rumor runs\n    That heavenly hands bore Oswald from the gulch.\n    They think the holy saints have blessed his palms\n    With power of healing and of miracles.\n    Alms have increased ten-fold. Cattle and sheep,\n    Jewels and coin, and corn and casks of wine\n    Pour in from every side. Within a year,\n    St. Giles will swell her roofs and shine in gold-- (_Confidentially._)\n    Provided, Louis, provided. You understand?\n\n    LOUIS--You mean the abbey here will robe herself\n    In purple cloth-of-bodkin stiff with pearl,\n    Provided--\n\n    ABBOT--      This new loom shall keep her hum.\n\n    LOUIS--That here red wines will flow to flush her face,\n    Provided--\n\n    ABBOT--      Hand in hand upon the hills\n    This sudden sun that hath sprung up the sky\n    Shall lead the vine and pour his blood to swell--\n\n    LOUIS--That morning when it strikes her eastern gate\n    Will see her heaving heavenward dome on dome,\n    Provided--\n\n    ABBOT--     Ay, that's it. You understand.\n    The quarry for our domes is in our brains.\n    Here, in our brains, your brain and mine, Louis,\n    We have the shuttle of that wonderous loom\n    That shall array her in her cloth-of-gold.\n    Here is the sun, the bridegroom of the grape.\n    And here, from hills of France and Italy,\n    The purple bride shall come and loose her zone\n    And lay her dower in the abbey's lap.\n    Lock up that jewel, Louis, in its case.\n    Let it not get abroad that you suspect--\n    Suspect, I say; you surely do not know--\n\n    LOUIS--I only know of what I heard and saw.\n    I heard his voice and--\n\n    ABBOT--       You were fast asleep.\n\n    LOUIS--At first I was; then, wakened by the shout,\n    Three times I heard him cry out in the dark:\n    \"Haro! help! help!\"\n\n    ABBOT--     A voice, of course; but whose?\n    The night so alters sound you cannot tell.\n    A cat-o'-mountain screaming in the dark\n    For all the world sounds like a wailing child.\n\n    LOUIS--But when I see the track, I'll tell you then.\n    The track up by the gate, and it's there now,\n    Is the dwarf's track, four toes on the left foot.\n\n    ABBOT--Preposterous, Louis, that this hunched devilock,\n    Brought up on witch's dugs, in the dead of night\n    Should be about the service of the Lord.\n    Asses can talk like men when angels bid.\n    Perhaps the angels, taking him in the act\n    Of throwing brother Oswald from the cliff,\n    Scourged him before them to the abbey gate\n    And made him in his pain cry out for help\n    And set his print to attest the power of God.\n    Who knows?\n\n    LOUIS--Brother Oswald, perhaps.\n\n    ABBOT--Only God.\n    But make no mention of the witch's son.\n    When truth is whist and doubt a favoring gale\n    Blowing toward golden islands in the sea,\n    Let the ship drive before it into port.\n    No one was with you when you found him.\n\n    LOUIS--No one.\n\n    ABBOT--And no one saw you.\n\n    LOUIS--No one. It was still dark;\n    The brothers were asleep.\n\n    ABBOT--Say nothing of it.\n    Let rumor blow it as a miracle.\n    Sweet feet of saints have run down in the night\n    And with a touch enriched a holy house\n    Of no more worth than this of good St. Giles.\n    Rumor of saints can do as much as saints.\n    If thoughts of bright wings stirring in the sky\n    Can kindle hearts to deeds of charity,\n    And by those deeds the Virgin's chapels rise,\n    Let the flame run. We'll blow it through the land.\n    I've had the brothers circulate report\n    That wings were seen dissolving in the dawn\n    Above the mountains.\n\n    LOUIS--(_With a smile._) So, perhaps, there were--\n    Of eagles wheeling airily in the clouds.\n    Is this not, Father, to build upon the sand?\n\n    ABBOT--To build on sand is to build on a lie.\n\n    LOUIS--What is a lie?\n\n    ABBOT--A lie is not a thing\n    That is not, but a thing that cannot be.\n    Thus to say good is evil is a lie,\n    For good cannot be evil. But to say\n    That that hath been which God hath power to do\n    Is to make faith a fact. In days like these,\n    When the Albigensian heresy is rank,\n    We must support the Holy Writ in this,\n    That what is done in thought is done in deed.\n    Has a good deed been done? Then a good thought\n    Has done that deed, and that good thought is God's,\n    And such thoughts we call angels.\n\n    LOUIS--Oswald, then,\n    Was rescued by the angels?\n\n    ABBOT--Without doubt.\n    The globe of fire that Dominic beheld\n    Above our Lady's chapel in the plain\n    Of Prouille was a light in his own mind.\n\n    LOUIS--The multitude will never understand\n    This nice distinction.\n\n    ABBOT--Just so; but shall we\n    Show them the foul body of fair Truth\n    Or the clear spirit?\n\n    LOUIS--The spirit, Father.\n    I never doubt the end you have in view.\n\n    ABBOT--You doubt the means, though. Deep down in your heart\n    You smile and say: \"But Father is all right.\n    The times are fire, and fight for Benedict.\n    To build the abbey, Father must have gold.\n    To get the gold, the people must be bilked.\n    But Father will return them light for gold.\n    I never doubt the end he has in view.\"\n\n    LOUIS--You are the brain, Father; I, the hand.\n    You know that I would help you. You know that.\n\n    ABBOT--Anyway, Louis, I am justified.\n    For simple souls find joy in simple faith.\n    Go down into the village. Guido tells me\n    Their faces shine because of this bright thing.\n    It purifies and cheers them. Cyprian says\n    There is no power that does not come from God.\n    He might have said the same of light and joy,\n    And shall I, to whom what I know this thing is\n    Seems quite as strange as what they think it is--\n    That angels did it--, take their light away\n    Because I know it falls not from a star?\n    A thousand lamps burn in the House of Life.\n    Shall I walk through its chambers and say: \"This,\n    Children, and this, now these were lit of Hell;\n    But that one there--see how the oil of God\n    Goes up the wick and throws a brighter flame\"?\n    Unless they see it brighter, it is not.\n    They cannot see it so without my eye.\n    They cannot have my eye and keep their own,\n    And they must keep their own a little while;\n    At least until I get my abbey built,\n    Until I shout the sun from out the sea\n    And with its beams illumine the valley there.\n    And since its rising on their gifts depends,\n    And since their gifts depend on their belief,\n    I cannot tell them their belief is false;\n    'Twould bring the abbey down upon their heads;\n    And Benedict would shout forevermore,\n    Seeing their night come back without a star.\n    And so I cannot tell them what is true.\n    Nothing is sadder than to see a mind\n    Drifting between an old faith torn away\n    And a new rock not risen from the waves.\n    Their wisp must burn until the sun comes up.\n    Our Lord himself tempered his dazzling truth\n    To simple minds, and spake in parables,\n    Leaving the halo on the brow of things.\n    And shall we blow it away?\n\n    LOUIS--                    Is it there?\n\n    ABBOT--                                 For them,\n    It is intensely there. And when they come\n    Bringing their little gifts, what can I say?\n    They ask me, \"Is this light?\" I say, \"Does it\n    Shine?\" They answer, \"Yes.\" \"Then it is light.\" (_A pause._)\n    Is it? (_A pause._) Louis?\n\n    LOUIS--                     Suppose so; if it shines.\n\n    ABBOT--And if they say it shines?\n\n    LOUIS--(_After a pause._)      I suppose so.\n\n    ABBOT--Shall Plato take Saint Giles' faith away?\n    That, Louis, is the question of all time.\n\n    LOUIS--If he can give him Plato's.\n\n    ABBOT--                             _If_ he can.\n    And if he cannot?\n\n    LOUIS--    If he cannot--                              (_He stops._)\n\n    ABBOT--                                      What?\n    Ready to give to one who cannot take,\n    Who cannot see my light beyond her light.\n    Shall I step in upon my mother's prayer\n    With noise, and say: \"But see, yours is no god.\"\n    And pick and pound and blow her hope away\n    And loose her tears upon my father's corpse?            (_A pause._)\n    Louis? (_A pause._) Shall I?\n\n    LOUIS--                        (_Walking about with his head down._)\n                                        I have naught to say.\n\n    ABBOT--Do I still seem to be a hypocrite?\n\n    LOUIS--                                         (_Turning quickly._)\n    Father!\n\n    ABBOT--What should I say? \"Your eye sees false\"?\n    If they think rue will keep the devils off,\n    To kill their thought would bring the devils back\n    And leave them fleeing Hell, not seeking God;\n    A different thing though Benedict knows it not.\n    They are not ready for the larger life,\n    And in a day I cannot make them so.\n    They cannot take my light. Shall I take theirs,\n    Their little light, and leave them in the dark?\n    Take from their hearts the glory and the hope?\n    How do I know what God means by this thing?\n    If they should ask me I must drop my eyes\n    And say: \"He hides to-morrow from to-day,\"\n    Which is no answer, Louis, and I know it.\n    What can I do? No, I must seem to lie:\n    While I am serving God, seem to serve Hell;\n    Pray to the Giver of Light, \"Thy will be done,\"\n    And then give darkness! Oh, for some power,\n    Some angel, Louis, that should come from heaven\n    And free us from these bonds of policy!\n    That we must hide our light like secret parts\n    As though each shining ray were snake of Hell!\n    Oh, that some god would step down on the peaks\n    And make us throw our thought out on the dark,\n    As fields their seeds, leaving the god of growth\n    To separate and slay and bring to sheaf!\n    How I would lay this cope and this aside,\n    And with my face upon the mountains run,\n    Aye, run to meet the bright thing coming down,\n    And cry, \"Hail, hail, hail, hail, thou blessed one!\"\n\n        (_Shaking with emotion, his voice husky._)\n\n    I cannot be a man!\n\n    LOUIS--                But, Father, that--\n\n    ABBOT--Accursed bondage harder than the Nile!\n\n    LOUIS--That prophesy that Oswald brings, may it\n    Not mean this very thing, that by his fall\n    And this bright rumor that the angels saved him,\n    A summer cloud that seems to rain down gold,\n    May it not be that by this very gold\n    Your tower of light shall rise upon this rock\n    And save the North from darkness? May it not?\n\n    ABBOT--But who will save us from our policy,\n    From playing hide and seek with God's bright son,\n    From the necessity of withholding truth\n    From those to whom the vital thing belongs,\n    Who do not even hunger for it more,\n    Who live and die about a taper's flame,\n    Calling it star, and sun, salvation, God--\n    And here all round us--Louis, look, the dawn!\n\n    LOUIS--The quality of all light is the same.\n\n    ABBOT--Quality, Louis, is not quantity.\n    The myriad spheres of dew leave the fields dark.\n    The midnight luster on the swamp is light,\n    Enough to guide the wild thing paddling there.\n    The willow leaves give light unto the moth.\n    The stars that fill us with the life to come\n    Leave darkness in the prowling tiger's eye,\n    And rise and set upon its curve of ball.\n    God made the day for higher things than these.\n    Some light is not enough for something more\n    Than moth and water-rat and prowling maws\n    That find their food in flesh. With what design\n    Lit God the radiant pages? For what purpose\n    Hung he the planet Plato in the sky\n    With kindred constellations of pure thought,\n    If I, a mortal man, can lift my hand\n    And leave a shadow in the valley there?\n    It fills my life with meaning to know this,\n    That God hath ordered so our spiritual world\n    That every bright thing needs my will to shine,\n    As it needs His to reach the shining state.\n    Think of such confidence of God in man!\n    And I betray it.                      (He walks about thoughtfully.)\n\n    LOUIS--         You betray it? How?\n    By holding back the truth about the dwarf?\n\n    ABBOT--I hide the light.\n\n    LOUIS--                  You hide it as a seed\n    Which, if the people eat, the famine spreads,\n    But which, if planted, wide the harvest waves.\n    Your own heart tells you you are right in this.\n\n    ABBOT--But when, when is the feeding to begin?\n    If I to-day withhold the seed, who knows\n    That I will not to-morrow withhold the yield,\n    And so continue, building larger barns?\n    Meanwhile the people in the valley die.\n\n    LOUIS--But God, who sees your purpose in it all,\n    Sees the day coming when this rock shall be\n    A beacon, and this region full of light.\n\n    ABBOT--'Twill never be while Benedict is here.\n\n    LOUIS--Oh, but look yonder, Father! Three hours ago\n    Black clouds besieged the east, and lo, now Day\n    Stands on the mountain tops and sees them not.\n    Where Night has gone there's room for Benedict.\n\n    ABBOT--I know that, Louis; but the years go by.\n    And oh, to use the little breath I have\n    In doing what I never did before!\n    How is it I cannot tell them what is true?\n\n    LOUIS--'Twould crush in seed the abbey you would build.\n\n    ABBOT--How can an abbey rise upon a lie?\n\n    LOUIS--You said it was not a lie.\n\n    ABBOT--                          It is a lie\n    Until they know that it is not a lie.\n    As I do.\n\n    LOUIS--      Will you tell them?\n\n    ABBOT--                                           (_Walking about._)\n                                       I am bound,\n    Bound hand and foot by cursed policy.\n    I cannot be a man.\n\n    LOUIS--             Many a church\n    Has lies like this above the altar place.\n\n    ABBOT--My abbey was to be part of the one.\n\n    LOUIS--                                           (_After a pause._)\n    You said, \"Until they know it,\" Father.\n\n    ABBOT--                                Yes.\n\n    LOUIS--\"As I do.\" (_The Abbot turns._)\n                                 Do you doubt it was the dwarf?\n\n    ABBOT--I do not doubt the fact in the case, but\n    I may not limit its significance.\n\n    LOUIS--                                            (_With a smile._)\n    An angel or a god, then?\n\n    ABBOT--                  Half so, yes.\n\n    LOUIS--To free us from our policy?\n\n    ABBOT--                                Pray God\n    It may be, Louis, pray God it may be.\n    That unknown god should have an altar here.\n    No, Louis: what I mean is simply this:\n    This thing that we call evil, may it not\n    Be the other side of this thing we call good,\n    The passing of bright planets of the mind,\n    Dreaming eclipse that is no thing at all,\n    Simply the passing of the two things, both bright?\n    God ever wrestles with his shadow, Louis,\n    And now the bright goes down and now the dark:\n    And man stands by and watches the great game\n    With heart divided and with swaying mind\n    And lifts whichever falls. The game goes on\n    Forever, and the nations rise and fall\n    Forever, and fall and rise. And so they strive,\n    Like light and shade over the mountain <DW72>s,\n    Each wrestling not for victory but strength.\n\n    LOUIS--And you and Benedict?\n\n    ABBOT--                      I am not his foe.\n    I come from Florence and he comes from Rome.\n\n    LOUIS--And you love painted windows.\n\n    ABBOT--                               I love God;\n    He loves the Church. There is the difference.\n    He iterates with fire in his eyes\n    That Heathendom shall tumble down to Hell,\n    But not a word that Ignorance shall fall\n    Or Passion lose her lightning in the deep.\n    I wrestle with the bright against the dark.\n\n    LOUIS--For the world-soul.\n\n    ABBOT--                    Neither of us may win.\n    In fact, I pray God that we may not.\n\n    LOUIS--                              How?\n\n    ABBOT--I hope that some free, some _free_ spirit may win.\n    Not one wrapped round with ignorance, nor one\n    Bound hand and foot by cursed policy.\n    But I am not his foe.\n\n    LOUIS--               But he is yours.\n\n    ABBOT--Night does not understand.\n\n    LOUIS--                           I cannot see.\n\n    ABBOT--Louis, the greatest man in this great world\n    Is he who sees all things are going right.\n    Yet fights as though all things were going wrong.\n\n        (_Louis shakes his head._)\n\n    I know you don't. But I can do no more\n    Than show my thought. To see it, must be yours.\n\n    LOUIS--Then Oswald's fall--\n\n    ABBOT--                      Not if it gives him strength\n    To do the work his spirit bids him do,\n    To wrestle with the dark and with the bright,\n    To wrestle better than he did before.\n    And shake the fruit down of that prophesy.\n    Who knows what God behind the horizon holds\n    For Oswald till the dawning of that day?\n    I somehow feel the dream is, as it were,\n    The warp to which the prophesy is woof,\n    And that beneath the hills unseen a loom\n    Rocks as it weaves in dogs and storm and deer\n    And underneath the meaning of it all.\n    But I was speaking of the witch's son.\n    This pebble here I take up in my hand.\n    I turn it, yet I always see one side.\n    The other side is toward the underworld,\n    And though I turned it till the Judgment Day,\n    That side would still be round there. Bid it grow,\n    Swell to a bowlder's, now the chapel's size,\n    And now a globe's. And let us hold it thus.\n    Above us, on our palms. Like Atlas now\n    I stand supporting it.       (_Pointing as though under the globe._)\n                            Down here I see\n    A little night following a little day\n    About a water-drop, a grain of sand,\n    A point in which my spirit lives and moves. (_Reaching up and around._)\n    How do I know that up here are not worlds\n    Lit with Gods' providence and bathed with soul?\n    What is my thought that it should scale these zones\n    And take my law of good and evil there\n    And recreate that life to what I know?\n    Is my eye God's, that it should see all things?\n    From what far mountains come the grains of gold\n    That sparkle in the river of my soul?\n    Ranges of being and tall peaks of thought\n    May hold up here a brighter metal still,\n    Some burning thing would dry my river bed.\n    The dreams that vein the dark sky of our sleep,\n    As lightnings vein the night and then are gone,\n    Whence come they and whither go they, that they leave\n    Vast expectation and the vacant eye?\n    And out beyond the chalice of our sleep\n    That cases round my dew-drop soul, who knows\n    What oceans roar with life beyond our life,\n    And spray with stars the dark rocks of the void?\n    How do I know what creatures come and go\n    Beyond my little line of night and day,\n    Doing the will of the Eternal Mind?\n    I am not Benedict to say, \"This is He,\n    And this is not.\"\n\n    LOUIS--            Not even of the dwarf?\n\n    ABBOT--God is the author of the book we see\n    Whose pages are the mountains and the stars.\n    Though He may sit aloof, his soul pervades\n    Each word and letter. Prowling in the spring,\n    The mountain lion feels Him in her paws,\n    And the wild creatures of the caves are His.\n\n    LOUIS--Was He in Oswald's fall?\n\n    ABBOT--                 'Tis past my thought\n    How He should not be;--in his rising, too.\n    If God is with me when I climb a hill,\n    When I descend do I leave God somewhere\n    Upon the top? If only he ascends,\n    How came he in the valley, then, at first?\n    Only the ignorant halve the universe\n    And thresh events and say, \"The _wheat_ is God's,\"\n    Piecing their small minds out with nothingness.\n    The chaff too served its purpose in its time\n    And while it served its purpose it was good\n    And like the wheat it drew its strength from God.\n    Having served its end, is wheat itself not chaff?\n    If Oswald's fall is evil in our minds,\n    It is because we do not see its place.\n    But where my knowledge ends, does God end, too?\n    Our brother tumbling from the bluff that night\n    Into the gorge, but tumbled, as it were,\n    Off of God's fingers into his great palm.\n    Ascent and descent are in one straight line.\n    I see no angle in the universe,\n    A break in things, a point where God begins\n    And Satan ends. If, in this strange event,\n    The people see a movement of the sky\n    And stand amazed, I stand even more amazed\n    At what I see than they at seraphim.\n    For what I see is darkness giving light,\n    An earth-born thing showing capacity\n    For deeds divine, and busy in the dark\n    Not with its own low nature but with God.\n    I grapple with it and my light goes out.\n    I feel as though I walked in a strong wind\n    Along a reed, with only faith for eyes.\n    Reason calls it to me with a blind man's voice.\n    That helplessness should bring an angel down,\n    Is that as wonderful as that it should bring\n    A devil up to do an angel's work?\n    What _we_ see, Louis, is the miracle.\n    What _they_ see, while it jars our sense of things,\n    Falls nicely into the mental harmony.\n\n    LOUIS--Good becomes evil having served its end.\n    How Benedict would rage should he hear this.\n\n    ABBOT--Each mind takes of the light what it can hold.\n\n    LOUIS--You know that day in the scriptorium,\n    When you were reading the Symposium,\n    What he said, do you remember?\n\n    ABBOT--                        Yes, I do.\n\n    LOUIS--\"If I had my way I would burn that thing.\"\n\n    ABBOT--A beam of the sunshine hurts the owl's eyes.\n\n    LOUIS--And he would peck the stars out if he could.\n\n    ABBOT--As though our faith were fungus!\n\n    LOUIS--           If it be,\n    If it must feed on darkness, let it die.\n\n    ABBOT--                              (_Walking about thoughtfully._)\n    It need not feed on darkness, Louis.\n\n    LOUIS--                              This\n    Miracle, Father, will bring back the day.\n\n    ABBOT--                                              (_To himself._)\n    The Age is torn and shaken. Passions swell\n    And range like winter rivers. I would have it\n    Lucid and calm as Arno flowing down\n    By sacred Florence. I am far away,\n    Far away and my hairs begin to fall.\n\n    LOUIS--This will bring back the day.\n\n    ABBOT-- (_To himself._) And nothing done.\n\n        (_He stands with his eyes upon the ground. Then,\n            dreamily._)\n\n    Young faces radiant with the golden air\n    That Plato breathed among the olive leaves.\n\n    LOUIS--                                              (_Half aloud._)\n    \"If I had my way I would burn that thing.\"\n\n    ABBOT--                      (_Half to himself, his back to Louis._)\n    And if I had my way--(_He lifts his face._)--\n                         Oh, I would build\n    An abbey! I would cut its trenches deep\n    Down into God, the God of all things. Then\n    I would lay the white stones of Philosophy,\n    The Sages who, as gifts to Delphi, brought\n    Small sheaves of wisdom, offering them to God\n    As better gifts than first born bulls and goats.\n    And I would slay the griffin, Policy,\n    And scatter its bright gold about the world\n    And lay its carcass for the corner stone.\n    Its telamons should be those giant men\n    Who propt the fabric of the ancient world.\n    The east and west and north and south should lay\n    Their four white corners on the four broad backs\n    Of Plato and his solid pupil's mind,\n    Then him who dove too deep for Rome to see,\n    Lucretius, maddening round the seeds of things,\n    And Cicero because he loved the truth.\n    And there should stand all round as peristyle\n    The Bards of Greece in cluster, speaking gold;\n    Young Sappho with the glory of the sea\n    All round her milk white throat and marble arms,\n    Proud Pindar fawning kings, and Sophocles,\n    And he, he, Aeschylus, wild son of fire,\n    Who never swerved for mincing Policy,\n    But spake his sea-thought out and shook the world.\n    Its roof should be the shields of golden song\n    Wherever burning on the hills of Time,\n    Wherever smouldering in Eternity.\n    And I would have all planets God hath hung\n    Since first His word went forth, \"Let there be light,\"\n    Within our spiritual heaven, shining here\n    Without eclipse forever. And up there,\n    In alto relievo on the frieze, should be\n    Apollo slaying python Ignorance,\n    And Darkness with the face of Benedict\n    Half hung down, heavy, livid, hands and teeth\n    Tugging and biting at the architrave\n    To tear these golden letters from the slab.\n    \"THE SOUL IS IN THE BRAIN.\" And over all,\n    Towering with her calm eternal eyes,\n    Athene, soul of Athens, holy One.\n    Oh, I would build an abbey!\n\n    LOUIS--(_As in prayer._) Father! Father!\n\n    GUIDO--                     (_Appearing at the door of the chapel._)\n    The fifteenth chapter has that blue stain on it.\n\n    ABBOT--                                          (_Pointing right._)\n    In the scriptorium, the second shelf;\n    Get the Symposium; I will read that.\n\n        (_Horrified, the monk stands for a moment, then\n            goes slowly down the steps across the court,\n            every now and then glancing back over his\n            shoulder at the Abbot._)\n\n    LOUIS--                                          (_In a low voice._)\n    Remember, Father. Is this policy.                       (_A pause._)\n    You know your abbey is not risen yet.\n\n        (_The Abbot bows_ _his head. Louis lifts his\n            hand as a signal. Guido,_ _crossing the court,\n            stops and stands waiting._)\n\n    One breath of this would bring the rafters down.        (_A pause._)\n\n    ABBOT--                           (_Turning, with his eyes closed._)\n    The other Bible, Guido.\n\n        (_The monk quickens his step and_ _enters the\n            dormitory._)\n\n    LOUIS--                And you know\n    Some of the brothers might tell Benedict,\n    And he would send it blazing down to Rome.\n\n    ABBOT--Lamp after lamp goes out for policy.\n\n        (_He opens the gate through which Ely passed._)\n\n    LOUIS--Better one lamp than total darkness, though.\n\n    ABBOT--Say nothing to the carriers of the affair.\n\n    LOUIS--Have you cautioned Oswald?\n\n    ABBOT--(_Astounded._)        Cautioned Oswald?\n\n    LOUIS--                                              Yes.\n\n    ABBOT--You said he was unconscious.\n\n    LOUIS--                             When I found him\n    He was unconscious. But from what he dropped\n    Yesterday in his cell, I am sure he knows\n    It was the dwarf that brought him up the rocks.\n\n    ABBOT--You should have told me that.        (_He walks to and fro._)\n\n    LOUIS--                                        Where is he now?\n\n    ABBOT--He had four golden letters to put on.\n\n    LOUIS--Down in the village at his work again!\n    Why, Father!\n\n    ABBOT--      He insisted.\n\n    LOUIS--               (_Under his breath._) Benedict! (_A silence._)\n\n    ABBOT--Get ready and go down. A word from him,\n    And down the abbey falls.\n\n    LOUIS--Never to rise.\n\n    ABBOT--And yet--\n    I do not think he'll tell it. Rumor, you know,\n    Has stamped an image on the heated mind.\n    They never could efface it by a thought\n    So monsterous as that devils had turned saints\n    And tripped the air with angels, hand in hand,\n    Moving as musically as summer stars.\n    Having no coin that bears the face of truth\n    They never will suspect a counterfeit,\n    And so no one will put the question to him.\n    Unquestioned, certainly Oswald will not speak.\n\n    LOUIS--But if he should?                                (_A pause._)\n                                       Awhile ago you prayed\n    Some god to free us from our policy.                    (_A pause._)\n    What time did he go down?\n\n    ABBOT--Before day-break.\n    The town at that time would have been asleep.\n\n    LOUIS--And Benedict, who never sleeps?\n\n    ABBOT--Go down.\n\n    LOUIS--Whose dragon eyes are ever open?\n\n        (_He starts toward the dormitory._)\n\n    ABBOT--Stay.\n\n    LOUIS--Supposing Oswald has already told?\n    If he has, Benedict will come up here\n    Raging as upon a den of wolves. Then.\n    If he should say: \"Ha! So it was the dwarf\n    And not an angel saved your monk. And here\n    You pass the deed off as a miracle\n    To swell your abbey's revenues and rob\n    Me of the alms of my parishioners?\"\n    He sees me coming down the mountain side\n    And shouts this at me, and I say to him--?\n\n    ABBOT--Surprised, amazed, you lift your hands: \"Mon Dieu!\n    A son of Satan save St. Giles' child!\n    Do devils, then, wait upon men of God\n    Working salvation? Do they? If they do,\n    What means this storm of banners in the dawn,\n    This, 'Dieu le volt!' and these bright harnassed knights\n    Trampling the Orient into battle smoke?\n    Why this vast tumult in the dead sunrise?\n    If devils will take up arms and fight for God,\n    Why roll these human surges down the East\n    To smoke and break about the Sepulcher\n    In hard white foam from which the ravens fly?\n    Let Hell lead forth her legions from the pit\n    Impervious to drought and pain alike,\n    To take and guard the Tomb. No, Father, no.\n    'Tis blasphemy, the unforgiven sin,\n    To ascribe to Hell a deed that God hath done.\"\n\n    LOUIS--Says Father Benedict: \"But brother Oswald\n    Told me himself it was the witch's son.\"\n\n    ABBOT--\"Mon Dieu again! Could Father keep his wits\n    After a fall like that, and, rising, say:\n    'This is the hand that struck me, this that saved'?\n    It was the dwarf that threw the brother down.\"\n    With words like these, chisels of policy,\n    Upon the shield of each returning knight\n    That hath spilt blood about the Sepulcher,\n    We carve an angel that shall plead our cause\n    Through all the fields and villages of France\n    And far on into the North and--Ah, this train!\n    This train shall be the trumpet that shall blow\n    Our miracle abroad through Italy,\n    And Italy is the trumpet of the world.\n    Talk to the strangers then of shooting stars,\n    Of sounds of heavenly music in the night,\n    But only when a question calls it forth.\n    Climbing the tree gives flavor to the fruit.\n    Be reticent; that will add majesty.\n    Appear subdued and point to yonder peaks\n    Where, in the gray dawn, gleams of vanishing wings\n    Shone on the mountain snows like molten gold.\n    You understand? About the witch's son,\n    _Adeste cum silentio._\n\n        (_After passing out through the gate, the Abbot\n            turns and calls after Louis, who is crossing\n            the court._)\n\n                                    Louis,\n    No word as yet to Oswald of the dream.\n    He would not see the glory of it now,\n    Only the horror. I should fear the result.\n\n    BASIL--                           (_Coming from behind the chapel._)\n    Macias is coming with another sorel. (_Louis enters the dormitory._)\n    Bah, then! Go on. St. Christopher. Plum-head.\n\n        (_Drawing himself up as Rene and Simon come from\n            behind the chapel._)\n\n    I am the Prior. Down, St. Peter! John!\n\n    RENE--                                                 (_To Simon._)\n    Matthew, thou publican!\n\n    SIMON--                Bacchus, thou saint!\n\n        (_He points forward to the corner of the dormitory\n            where Pierre and his companions enter with\n            the wine vessels which they proceed to place\n            beside the wall._)\n\n    BASIL--Simply the old clothes of My Lady Wine.\n\n    FIRST MONK--The blessed Virgin grant it be the train.\n    I had half yielded to old Andrew's dream;\n    I feared the train was lost.\n\n    SECOND MONK--      Another dream?\n\n    FIRST MONK--Last night, between the glances of the moon,\n    While his soul grabbled in the fogs of sleep,\n    He beheld Father's new cope in a brook,\n    Swishing against a fallen sycamore.\n    The censer and the golden chalices\n    Lay gleaming on the gravel.\n\n    SIMON--                          (_Who has been tipping the casks._)\n                                And the wine?\n\n    FIRST MONK--While he was hunting for it in his dream,\n    Like a blind weasel for a nest of eggs,\n    And had his hand on what felt like a skin,\n    The matins rang. He's been gruff ever since.\n    There's not a holy bell can call to prayer\n    To smooth our spirits with the thought of God,\n    But brings him from his hole with ruffled quills,\n    Threatening the belfry with his palmer's staff.\n    He says he hopes the Devil has snared the train\n    And spurred the asses off the bluffs to Hell.\n\n    SIMON--Now God forbid, with all that precious wine!\n\n    LEO--                                                  (_To Basil._)\n    I shall tell Father on you.\n\n    BASIL--(_Imitating Leo's small voice._) Hear him roar!\n\n    RENE--If you roar, Lion, when the hunter comes--\n\n    SOLOMAN--                             (_Leaning out of the window._)\n    _Heus, heus, O fratres, favete linguis!_\n    The train is safe. The tigers of the god\n    Are ramping down the mountain, yoked in vines\n    Whose dangling clusters sway their tawny backs\n    And purple all the sky above the peaks.\n    Limp in the car the noisy Bromios\n    Tips the full cup and stains his ivory breast.\n    Look, yonder his herald, plump Silenus, comes!\n\n        (_He points up the mountain over the gate through\n            which the Abbot passed._)\n\n    RENE--Ho, that's the occasion of the trumpet blast!\n\n    FIRST MONK--No need of casks.\n\n    BASIL--                        No need of empty casks.\n    This is keel that draws five fathoms full.\n\n    RENE--And where it anchors, there a reef appears.\n\n    BASIL--And where it founders, there the--sea goes down.\n\n    RENE--Its beak hath ta'en the color o' the wave.\n\n    SIMON--                                           (_To_ FIRST MONK.)\n    If Father Benedict had had the train\n    Or been among the muleteers, I'd say\n    No wonder Andrew couldn't find the wine.\n\n    RENE--Come on, Simon; let's go meet Macias.\n\n    BASIL--If we can't wine it we can dine it.\n\n    SIMON--(_As he passes Leo._)                   Bah!\n\n    LOUIS--\n\n        (_Dressed for travel, appearing at the corner of\n            the dormitory._)\n\n    Are they in sight yet?\n\n    PIERRE--               It was not the train.\n    'Twas Father Benedict.\n\n        (_Louis stands as one stunned._)\n\n    What can it mean?\n\n        (_Louis crosses the court and takes a position at\n            the corner of the chapel near the gate._)\n\n    FIRST MONK--He never came as early as this before.\n\n    SECOND MONK--And see how worried Father looks.\n\n    PIERRE--                                       I fear\n    That some one has told Oswald of the dream,\n    And he has fainted.\n\n    FIRST MONK--        I will loiter about.\n\n        (_With his eyes upon the ground the monk saunters\n            over toward the chapel steps and, apparently\n            absorbed in telling his beads, loiters about\n            in order to overhear the conversation. The\n            Abbot enters, followed by Father Benedict\n            leading an ass. Green twigs are stuck about_\n            _the bridle. The Abbot appears thoughtful._)\n\n    ABBOT--What do you mean by wolves?\n\n    FATHER BENEDICT--                    Wild paws that prey\n    Upon the fold.\n\n    ABBOT--       And by the fold, you mean--?\n\n    FATHER BENEDICT--The Church.\n\n    ABBOT--       These wolves live on the mountains here?\n\n    FATHER BENEDICT--They do.\n\n    ABBOT--                      And are not far?\n\n    FATHER BENEDICT--                             Some are not far.\n    Within an eyeshot of the peaks.\n\n    ABBOT--                  And some\n    Have even made this abbey here their den?\n\n    FATHER BENEDICT--Would make it so.\n\n    ABBOT--                           And from these holy halls\n    Steal forth and prey--well, let us say, upon\n    Your flock?\n\n    FATHER BENEDICT--They have preyed there.\n\n    ABBOT--                                  Since when?\n\n    FATHER BENEDICT--And with the fleeces wiped their heathen mouths,\n    These wolves of Hell.\n\n    ABBOT--       Benedict!\n\n    FATHER BENEDICT--        Ay, wolves of Hell.\n    Hear what I say. Ah, Father, Father!\n    Sometimes we think our Lord is dead in heaven,\n    His enemies so thrive upon the earth.\n    We see the Devil's squatters on our lands\n    With deeds that seem to bear the seal of Heaven;\n    Yea, everything they do seems blest of Heaven.\n    They plow and sow; God gives them sun and rain.\n    Their fields wave green; the frosts are kept at bay.\n    They build their barns; Heaven holds her storms in leash\n    And seems to slumber while the singing foe\n    Silver their scythes beneath the harvest moon.\n    But when the season plumps the golden ears\n    And Satan brings his sacks to get the grain,\n    God puts his sickle in and takes the crop.\n\n    ABBOT--Or sends a reaper?\n\n    FATHER BENEDICT--    Ay, sends Benedict.\n    When vines are bending and the song is heard\n    Of Bacchus revelling in the bubbling must,\n    The golden trumpets of the sun in heaven\n    Proclaim a festival and wake the skies.\n    Angels come tripping to the foaming vats\n    And, while the devils tread the vintage out,\n    Brim their bright casks with gushing purple meath\n    To crown the crystal goblets of the saints,\n    Leaving the pulp to slop the swine of Hell.\n\n    ABBOT--In you I see an angel?\n\n    FATHER BENEDICT--             With a cask.\n\n    ABBOT--And in the abbey here I see the vat?\n\n    FATHER BENEDICT--A goblet.\n\n    ABBOT--                    And in myself a--\n\n    FATHER BENEDICT--                             Saint.\n\n    ABBOT--                        Ha!  (_Searching the Priest's face._)\n    I do not understand you, Benedict.\n\n    FATHER BENEDICT--Then I will put it this way: See this garb?\n    You know I am a shepherd.\n\n    ABBOT--             Yes, I know.\n\n    FATHER BENEDICT--And tend a flock of sheep.\n\n    ABBOT--                                     I know you do.\n\n    FATHER BENEDICT--And sheep have wool?\n\n    ABBOT--                                Yes.\n\n    FATHER BENEDICT--                           Now we go afield.\n    Do briers grow in pastures?                      (_The Abbot nods._)\n                                 And have flukes?\n\n    ABBOT--I see. You mean to say that flukes tear wool.\n\n    FATHER BENEDICT--That's what I mean.\n\n    ABBOT--                              That, therefore, from the shears\n    The fleece comes lighter to the shepherd's hands.\n\n    FATHER BENEDICT--And to the Master's.\n\n    ABBOT--                       Ha! but in this case--\n    For your insinuation I perceive\n    Clearly, I think;--well, in this case, I say,\n    It does not follow that the Master gets\n    Less tribute from the flock; for, Benedict,\n    Remember this: When God's bright seraphim\n    Collect His revenues, it matters not\n    Whether it be your hand that pays, or mine.\n\n    FATHER BENEDICT--Provided your hand pays, it matters not.\n\n    ABBOT--Ah, now you leave your figure.\n\n    FATHER BENEDICT--                     And take yours.\n\n    ABBOT--You climbed the mountain, then--?\n\n    FATHER BENEDICT--                        To get my wool.\n\n    ABBOT--And chop the brier?\n\n    FATHER BENEDICT--          That belonged to God.\n\n    ABBOT--Then tell me this: If it belonged to God,\n    How then do you, His shepherd, claim the wool\n    That God's own flukes have pulled from his own sheep?\n\n    FATHER BENEDICT--You do not understand.\n\n    ABBOT--                                 I think I do.\n\n    FATHER BENEDICT--I did not mean the brier was God's, but this:\n    That it belonged to God to chop it down.\n\n    ABBOTABBOT--The brier, then, has fallen?\n\n    FATHER BENEDICT--                                Praise the saints.\n\n    ABBOT--You came to tell me how the blow was struck?\n\n    FATHER BENEDICT--I stopped to tell you how I got my wool.\n\n    ABBOT--You need not.\n\n    FATHER BENEDICT--Why?\n\n    ABBOT--                  I know.\n\n    FATHER BENEDICT--                 You know?\n\n    ABBOT--                                       I do.\n\n    FATHER BENEDICT--I have not spoken since I left him.\n\n    ABBOT--                                               Well.\n\n    FATHER BENEDICT--How did you learn it, then?\n\n    ABBOT--                                      I had a seed.\n    Your coming was the sun, your words the shower;\n    It could not help but put forth leaves and bloom.\n\n    FATHER BENEDICT--Strange, very strange.\n\n    ABBOT--                                 To see a stalk with flukes\n    Put forth a bloom? 'Tis not unnatural.\n\n    FATHER BENEDICT--I do not understand.\n\n    ABBOT--                               Nor I.\n\n    FATHER BENEDICT--                            What?\n\n    ABBOT--                                            This:\n    How that a shepherd could believe a wolf\n    Had suckled a lost lamb.\n\n    FATHER BENEDICT--     What do you mean?\n\n    ABBOT--That it is strange that you, a priest of God,\n    Could see an angel's track upon a <DW72>\n    And say: \"Here went a devil up the rocks.\"\n\n    FATHER BENEDICT--It is too dark.\n\n    ABBOT--                          'Twill ever be too dark\n    To see aught but an angel in that gulch.\n\n    FATHER BENEDICT--'Tis midnight.\n\n    ABBOT--                         No; for yonder peaks are flushed,\n    And there bright wings are wasting in the dawn.\n\n    FATHER BENEDICT--Father, what do you mean?\n\n    ABBOT--(_Closing his eyes._)           Listen, Benedict.\n    In an old abbey down in Italy\n    There hangs an ancient chime of seven bells.\n    Oft when a child I heard them in the dawn\n    Singing like angels in the Apennines,\n    Their tones so blended, so harmoniously\n    Tuned to the planets that, when twilight fell,\n    They were the echoes of the Pleiades.\n    Those old, old bells! I hear them still sometimes.\n    We children called them by the golden names\n    Archangels wear. Well, in a storm one night\n    Raphael went down. Some say a huge black hand\n    Strangled him in his tower and hurled him down.\n    And others say--mark, Benedict--that God--\n\n    FATHER BENEDICT--Anathema!\n\n    ABBOT--                    God's hand that shaped the spheres\n    And hung them in the belfry of the night\n    To ring through heaven an universal mass,\n    And set the holy bells of earth in tune,\n    And set our hearts in tune with holy bells.\n    That, in the blue cathedral of the air,\n    One chant might rise from hearts and bells and spheres,\n    Some say that His, God's hand, threw down that bell.\n\n    FATHER BENEDICT--I say, anathema!\n\n    ABBOT--                           And so you think--?\n\n    FATHER BENEDICT--I think it was the foul hand of Hell.\n\n    ABBOT--                                                Ah?\n    Since withered faces skir along the sky,\n    Might it have been some--witch?\n\n    FATHER BENEDICT--       I said the hand\n    And that includes the fingers.\n\n    ABBOT--                 So it does.\n    Well, Benedict, there you and I are one.\n    We hold that that which jangles God's great chime.\n    Whether it strike a sphere or a bell or a heart,\n    Springs from the pit and hath its root in Hell.\n\n    FATHER BENEDICT--Ay, we agree.\n\n    ABBOT--                        Then follow the same path\n    And you shall see your seraph of the night\n    Bleed out his strength upon the spears of dawn.\n    'Twas thought that Raphael's tumbling down the rocks\n    Had wrecked his silver voice, and so he lay\n    Three years half-sunken in a slimy marsh,\n    His golden throat choked up with water-weeds\n    And fetid lilies breathing of the swamp.\n    'Twas said that oft when morning woke the bells\n    Upon the heights, a drowned voice was heard,\n    A strangled booming in the marsh-fogs. Well.\n    One Sabbath while the morning star still burned\n    A lone white taper, on a sudden from his couch\n    The ancient bellman started. The old chime\n    Was singing in its tower, and, like a thrush\n    That eyeless hath escaped a narrow cage,\n    The voice of Raphael on his bough again\n    Rang through the woods. The eagles on the crags\n    Shook out their wings and circled in the sky;\n    The mountain shepherds shouted from the rocks,\n    While down the ether, flaming out of the East,\n    Melodious angels in the sun-burst sang.\n\n        (_With his eyes burning and fixed upon the Priest._)\n\n    Now, Benedict, who lifted up that bell?\n\n    FATHER BENEDICT--'Twas God reclaimed it and restored His chime.\n\n    ABBOT--And if that bell had been a--soul, who then?\n\n    FATHER BENEDICT--Still God.\n\n    ABBOT--                    And if that soul had been-- (_Vehemently._)\n                                                                 Oswald?\n\n        (_For a moment they look into one another's eyes,\n            the Abbot with a penetrating glance, the\n            Priest with a look of blank amazement. The\n            Abbot quickly drops his head and walks aside,\n            his face almost white, the drawn mouth and\n            furrowed brow showing a mind in desperation,\n            casting about for an escape._)\n\n    FATHER BENEDICT--                        (_With rising resentment._)\n    What does this mean?\n\n        (_The monk, who a few yards back has been\n            pacing to and fro in order to overhear\n            the conversation, has stopped and stands\n            observing them. He has the same bewildered_\n            _expression as the Priest. The face of Louis\n            near the corner of the chapel reflects the\n            palor and perturbation of the Abbot's._)\n\n    FATHER BENEDICT--     You put my faith to test?         (_A pause._)\n    A damned insult!\n\n        (_His brow darkens and he turns aside. Suddenly his\n            face lights up as with a revelation._)\n\n                     Ah, I see what it means.\n    Out with it, Father. Speak what God commands.           (_A pause._)\n    Before you speak I know what you will say.              (_A pause._)\n    Out of pure envy you are silent.\n\n        (_He turns away. While the Priest and the Abbot\n            walk about, each occupied with his own\n            thought, Pierre and his two companions\n            approach and stand a few yards away,\n            observing them._)\n\n    ABBOT--(_With a glance toward the Priest_.) Out--?\n\n    FATHER BENEDICT--                               (_Without turning._)\n    Of envy, or else fear that I would shrink.\n    You need not, though.\n\n    ABBOT--(_Stopping._) I fear that you would shrink?\n\n    FATHER BENEDICT--To you, too, my great honor has been revealed.\n\n        (_A pause._)\n\n    ABBOT--I do not understand you, Benedict.\n\n    FATHER BENEDICT--                  (_Turning and facing the Abbot._)\n    Why do you hide it from me?\n\n    ABBOT--            What are you\n    Hiding from me?\n\n    FATHER BENEDICT--       You feared that I would shrink\n    To tear those jaws upon the mountain side.\n    Your dropping of your eyes shows I am right.\n\n    ABBOT--                                 (_Walking aside, composed._)\n    I was not sure.\n\n    FATHER BENEDICT--Why did you think that God\n    Had revealed it only to you?\n\n    ABBOT--             I was not sure\n    That what I had in mind you had in mind.\n\n    FATHER BENEDICT--And you thought you would feel about and see\n    If I knew it. And if I did not, \"Truth, retire.\n    Do not obtrude yourself on Benedict.\n    He knows the hunter's dream. If he cannot\n    Discover whose hands those were the hunter saw\n    Reach through the green boughs of the Tree of Life\n    And tear the hell-jaws from the holy deer,\n    It is not your fault. And I lose no glory.\n    It is his own crass mind. He comes from Rome.\n    Florence is Athens come to life again.\"\n\n    ABBOT--Envy, you think?\n\n    FATHER BENEDICT--       I know it. When you asked\n    Whose hand it was that lifted up that bell,\n    I knew that you were feeling me about\n    To see if I knew that the hand was mine.\n    Had I not known it, do you suppose I think\n    You would have told me? Of your own accord:\n    \"Benedict, God hath chosen you for this.\n    Be faithful to it. The glory is yours\"? Not much.\n    You pride yourself on what you think is God,\n    Your erudition. But I know some things.          (_He walks aside._)\n\n    ABBOT--It is hard to know what another has in mind.\n\n    FATHER BENEDICT--It may be hard for the Athenians.\n\n    ABBOT--I am an old man, Benedict, and with\n    White hair the eyes blur and the mind dulls. You,\n    Vigorous in body and in intellect.\n    Scale heights I cannot climb. Bear with me, then.\n    If I just now, forgetting youth is past,\n    Ventured to tilt with you, is it not enough\n    That you stand there triumphant while I here\n    Lie prostrate with my gray hairs in the dust?\n\n        (_He bows his head and walks to the rear._)\n\n    FATHER BENEDICT--                           (_With a superior air._)\n    Rome is Jerusalem, the city of God.\n\n        (_Biting down his smile, Louis advances, his face\n            assuming a doleful expression._)\n\n    LOUIS--                 (_In a low voice, barely hiding his irony._)\n    Don't treat the old man that way, Benedict.\n    You do not know how keenly Father feels\n    The issue of this bout. Amazed I stood\n    Just yonder by the chapel steps and watched\n    Your spears break into fire. O Benedict,\n    What skill, what skill, what admirable skill!\n\n    FATHER BENEDICT--In dialectics I do boast some skill.\n\n    LOUIS--Compared to Father's admirable skill!\n\n    FATHER BENEDICT--                  (_With a leer toward the Abbot._)\n    For what I have I thank no heathen sage.\n\n    LOUIS--With that composure which the gods must feel\n    Your reached your spear and slipped his lady's glove--\n\n    FATHER BENEDICT--His lady's glove?\n\n    LOUIS--                            The secret from his heart\n    In spite of all his desperate guarding it.\n\n        (_Guido comes from the dormitory with a large book\n            under his arm. As he passes toward the chapel\n            he turns his burden toward the Abbot, who\n            gives it an unconcerned glance and walks\n            right._)\n\n    FATHER BENEDICT--Why should he hide it from me?\n\n    LOUIS--                                          I can't say.\n    Father is not a man to show his heart.\n    He no doubt had his reason for it.\n\n    FATHER BENEDICT--          Humph!\n\n    LOUIS--I do know, though, that Father admires you.\n\n    FATHER BENEDICT--\n    Admires me?\n\n    LOUIS--         Yes.\n\n    FATHER BENEDICT--Scorns me.\n\n    LOUIS--                     You are wrong.\n\n    FATHER BENEDICT--How do you know he does?\n\n    LOUIS--                           Before you came,\n    Father had just conceived of a great temple\n    With you in large space on the entablature.\n\n    FATHER BENEDICT--                              (_Opening his eyes._)\n    That is another proof he knew that I\n    Was to have part in that great enterprise\n    And achieve glory. And he lied to me.\n\n        (_The Abbot speaks to Pierre, who turns and goes\n            out, right._)\n\n    LOUIS--You may mistake what Father had in mind.\n    He may have thought it would be policy\n    To keep you in the dark about this thing.\n\n    FATHER BENEDICT--What cause had he to fear that I would shrink\n    To face the glory of the Lord that day?\n    'Tis only guilt that fears to face the Lord.\n\n    LOUIS--You may mistake what Father had in mind.\n\n    FATHER BENEDICT--Too subtle, I suppose, for my dull brain.\n\n    LOUIS--I do not think, though, that he envies you.\n\n    FATHER BENEDICT--You may have your opinion.\n\n    LOUIS--                                     You may not.\n    I mean you may not know what Father means.\n\n    FATHER BENEDICT--\n    You two know everything.\n\n    LOUIS--         I know one thing.\n    You would not have said, \"You two know everything,\"\n    If you had been here half an hour ago.            (_Walking aside._)\n    With you in large space on the entablature.\n\n    FATHER BENEDICT--He need not think that God revealed to him\n    Alone my glory, for I knew it, too.\n    Blood appeared on my hands the other night,\n    And while the congregation sat amazed,\n    The altar cups took fire, and a white dove--\n\n        (_To the Abbot, who has drawn near._)\n\n    The night the brother fell I saw some things\n    During service would have made my hair stand up\n    Had I been less courageous than I am,\n    Or less near God. You would have quaked with fear,\n    And sought the books of some old heathen sage\n    For explanation. I--I went to God,\n    With the result that I am ready now.\n    I have been shown the blood of that great hound.\n\n        (_He looks at his hand._)\n\n    And I have got God's meaning. I am called.\n    Now, when the chase starts I will make my way\n    Up to the mountain tops and meet the Lord,\n    And Heathendom shall tumble down to Hell.\n\n        (_He espies the wine vessels over against the\n            dormitory wall and goes toward them, pulling\n            the ass by the bridle._)\n\n    ABBOT--What did you come up here to see me for?\n\n    FATHER BENEDICT--                                      (_Stopping._)\n    Come up to see you?\n\n    ABBOT--              You are here.\n\n    FATHER BENEDICT--                  I am.                (_A pause._)\n    It seems you don't know how I got my wool.\n\n        (_He continues his way across the court. Louis and\n            the Abbot whisper together. In the rear, from\n            behind the chapel, Macias, the hunter, enters\n            with a young deer upon his back, and at his\n            belt a brace of geese. Simon is holding one\n            of the fowls by the tip of its wing, Basil_\n            _and Rene following._)\n\n    BASIL--What'll you have, Simon?\n\n    SIMON--                         Collops and sauce.\n\n    BASIL--Pluck-pudding or crupper?\n\n    SIMON--                          Both, God bless us.\n\n    BASIL--                                              Both!\n\n    RENE--Goose, too?\n\n    SIMON--           Ay, stuffed with plums.\n\n    BASIL--                                   Why, you just had\n    A hunk of beef.\n\n    SIMON--     Sh!                          (_He points to the Abbot._)\n\n    RENE--(_Nudging him._) Basil, see the twigs.\n\n        (_The jesters chuckle and come forward toward the\n            Priest, while the hunter and Simon pass\n            out behind the dormitory. The Abbot also\n            approaches the Priest, followed a few feet\n            back by Louis._)\n\n    LOUIS--(_Huskily._) Be wary, Father; it may be a snare.\n\n    ABBOT--A little wine will bring it to the light.\n\n    BASIL--Well, it is spring when asses put forth leaves.\n\n    FATHER BENEDICT--Ay, rue that devils flee from in the dark.\n\n        (He looks into the casks.)\n\n    ABBOT--But when you left the town the dawn was bright.\n\n    FATHER BENEDICT--The dawn was bright?\n\n    ABBOT--                               The day is two hours old.\n\n    FATHER BENEDICT--                (_After a long look at the Abbot._)\n    When I rode out of town the sun's red car\n    Stood hub-deep in the western ocean's sand.\n    I met the morning on the mountain tops\n    Fresh dropt from heaven, with one golden wing\n    Bright on the pines, the other softly sheathed\n    In valley shadows thinning round her plumes.\n    The night I spent far back among the hills.\n    For three hours in the darkness on the road\n    I staked my life upon the ass' step\n    And ass and life upon these slips of rue.\n\n        (_He thrusts his switch into the narrow necked\n            diotas, and drawing it out, feels the end._)\n\n    If any manna fell upon the heights\n    The Devil must have harvested the flakes:\n    I found none on the way.\n\n    ABBOT--      I fear the fiend\n    Has washed it down with our good Tuscan wine\n    And dressed Hell's tables with the golden cups\n    The Abbot Boldi sent from Aosta.\n    The tide is out and the Italian moon\n    Has slipped her sphere that ruled the purple flood.\n    These are the empty shells that held the sea.\n\n        (_Pierre enters, carrying a flagon and a silver\n            cup. Simon follows him._)\n\n    Have something, Benedict.\n\n    FATHER BENEDICT--   Ah, you are good.\n\n    ABBOT--What could have drawn you back among the hills\n    When every pass was choked with drizzling dag?\n\n    FATHER BENEDICT--I'm like a desert.\n\n    RENE--(_To Basil._)            And there flows the Nile.\n\n    FATHER BENEDICT--                                  (_To the Abbot._)\n    The service of our Lord that knows no flaw,\n    Mountains or darkness or the voice of storms.\n    Last night--Fill it up.--Last night God's--There.--\n    Last night God's dread apparitor--                    (_He drinks._)\n\n    ABBOT--                   What's that?\n\n    FATHER BENEDICT--                              (_Tasting his lips._)\n    Rumney, isn't it?\n\n    ABBOT--   Not that--\n\n    FATHER BENEDICT--                         (_With mock seriousness._)\n                                  Isn't it?\n\n    ABBOT--                        I mean--\n\n    FATHER BENEDICT--Pour me another, then; I'll taste again.\n\n        (_Pierre pours._)\n\n    ABBOT--You said God's dreadful summoner--\n\n    FATHER BENEDICT--                          Appeared.\n    And clapped his irons on old--\n\n        (_He drinks and again holds the cup toward Pierre._)\n\n    ABBOT--                  Benedict,--\n\n    FATHER BENEDICT--One more.\n\n    ABBOT--       Don't think--\n\n    FATHER BENEDICT--            The night is in my veins.\n\n    BASIL--(_To Rene._) It's a dry night.\n\n    FATHER BENEDICT--                            (_Holding up the cup._)\n        But the red dawn is breaking--                    (_He drinks._)\n\n    RENE--                                                 (_To Basil._)\n    The abbey here.\n\n    FATHER BENEDICT--And lightening--                     (_He drinks._)\n\n    BASIL--(_To Rene._)               The great deep.\n\n    RENE--Come, sing the matins, Simon, for the dawn--\n\n    ABBOT--Don't think it is the wine I care for.\n\n    FATHER BENEDICT--                              Ha!\n    The cup, eh?--Take it.\n\n        (_He hands the cup to Pierre and leads the ass back\n            to one of the benches, upon which he climbs\n            and stands fixing the saddle._)\n\n    ABBOT--       A while ago you said\n    God's dreadful summoner appeared.\n\n    FATHER BENEDICT--                Yes.\n                 (_Pierre goes out._)         Whoa!\n\n    SIMON--                                        (_Following Pierre._)\n    Pierre.\n\n    PIERRE--No.\n\n    SIMON--     Just a tiff.\n\n    PIERRE--                 No, I say.\n\n    SIMON--             (_Supplicating._)       Brother! (_Spitefully._)\n    Dinky! Bed-bug! Pizzle-wizzle!                   (_With a grimace._)\n                              U-g-h! (_He spits at him and turns back._)\n\n    FATHER BENEDICT--                               (_Who has mounted._)\n    Now if you get my switch, I think I'll go.\n\n        (_One of the monks stoops and picks up the switch,\n            which he hands to the Priest, who looks from\n            the Abbot to Louis and then from Louis to the\n            Abbot._)\n\n    FATHER BENEDICT--You see, I could ride off without one word.\n\n    LOUIS--Without one word of what?\n\n    FATHER BENEDICT--(_Contemptuously._) One word of what!\n    You think I came from town and so does he.\n\n    ABBOT--What of it?\n\n    FATHER BENEDICT--  Simply this: that I did not.\n\n    ABBOT--We are glad to have learned that.\n\n    LOUIS--                                  Delighted.\n\n    FATHER BENEDICT--                                   Humph!\n    And you don't wish to know where I have been?\n\n    ABBOT--'Tis immaterial.\n\n    FATHER BENEDICT--       That is another proof\n    You envy me. First, you conceal from me\n    That which you feared would blow my name abroad;\n    And now you fear to hear where I have been\n    Because from what you know of me you know\n    Whatever comes I meet events as friends,\n    And never sally out but I return\n    With spoil, and that stirs up the green in you.\n    Now I will tell it though the heavens fall.\n    Old Hartzel's dead.\n\n    ABBOT--    I find no joy in that.\n\n    FATHER BENEDICT--Of course, you don't.\n\n    RENE--(_Calling across the court._)      Old Hartzel's dead!\n\n    BASIL--(_Under his breath._)                             Thank God!\n\n        (_The monks upon the chapel steps and others\n            sitting about upon the benches start up and\n            gather forward._)\n\n    FATHER BENEDICT--You don't think I told that to give you joy?\n\n    ABBOT--It matters nothing to me in either case.\n\n    FATHER BENEDICT--But this will matter something. Listen now.\n\n        (_Leaning over and speaking in the Abbot's ear_.)\n\n    I get his forty neat and all the land\n    Between the river and the raddle-hedge\n    South of the village, with the acreage\n    Of tilth and vines that fronts the rising sun\n    Near the White Torrent. Does _that_ give you joy?\n\n        (_He strikes the ass with the switch and starts\n            left._)\n\n    BASIL--(_Aloud._) Thank _God!_\n\n    ABBOT--(_Lifting his hand._) This is the work of Benedict.\n\n    FATHER BENEDICT--(_Stopping._) You mean that as reproach?\n\n    ABBOT--I simply mean\n    We had no hand in this; the glory is yours.\n\n    FATHER BENEDICT--Come with me.\n\n        (_He rides on toward the gate. The Abbot walks\n            beside him. Louis, behind, where he cannot\n            be seen, follows them. The bell rings and\n            the monks move toward the chapel and enter,\n            leaving the court bare._)\n\n    FATHER BENEDICT--         You remember, I suppose,\n    As we clashed spears a while ago I said\n    The abbey here was a goblet, and you a saint.\n    I might say that I spoke in irony,\n    But that would not be nice.\n\n    ABBOT--              And you said, too,\n    Something about an angel with a cask.\n\n    FATHER BENEDICT--That is a cut at me. I recollect.\n    I said that I would fill your cup.\n\n    ABBOT--                     Proceed.\n\n    FATHER BENEDICT--                                  (_Leaning over._)\n    Of this estate you get one cow. You hear?\n    That's a fine liquor, eh, Father? (_To the ass._) Come up.\n\n        (_Pierre comes from the dormitory and crosses the\n            court toward the chapel._)\n\n    You are an old man and your work is done.\n    You may retire now and live on milk.\n    'Twill nourish that great intellect of yours.\n\n    LOUIS--                                        (_Under his breath._)\n    As well as anything that you could give.\n\n    ABBOT--I welcome anything that can do that.\n\n    FATHER BENEDICT--If it be heathen.\n\n    ABBOT--                         Benedict, before you came\n    Louis and I were talking of the things\n    That late have happened.\n\n    FATHER BENEDICT--       The dream.\n\n    ABBOT--                            Oswald's fall\n    And his unnatural rescue from the gulch.\n\n    FATHER BENEDICT--'Twas _super_natural, not _un_natural.\n\n    ABBOT--A nice discrimination, Benedict.\n    I do not see as you do. You were trained\n    By masters who, no doubt, had they heard this\n    Distinction, would have said: \"_Benissime!_\"\n\n    FATHER BENEDICT--                                (_Superciliously._)\n    Well done is _optime._\n\n    ABBOT--(_With mock humility._) Just so--just so--\n    My master would have said--yes, _optime._\n    A boon it is that words cannot change things.\n\n        (_Pierre, who has climbed the steps slowly,\n            listening the while, enters the chapel._)\n\n    FATHER BENEDICT--You feared that I would shrink to play my part?\n\n    ABBOT--We feared if you should learn what your part is--\n\n    FATHER BENEDICT--That I would shrink?\n\n    ABBOT--                            If you should learn your part.\n\n    FATHER BENEDICT--                                 (_Getting angry._)\n    You feared that I would shrink?\n\n    ABBOT--(_Hesitatingly._)          W-e-l-l--\n\n    FATHER BENEDICT--                         _Say_ it.\n\n    ABBOT--                                            Yes.\n\n    FATHER BENEDICT--                            (_Shaking his finger._)\n    Deep in your heart you wish I would, old man.\n    'Twould fill your soul with joy. But mark you this:\n    To give you joy is not my destiny.\n\n        (_He rides out through the gate._)\n\n    ABBOT--Your destiny, Benedict, is in God's hand.\n\n    FATHER BENEDICT--Thank God it's not in yours.           (_A pause._)\n\n    ABBOT--                                    You must go down.\n    Oswald, by noon, will have finished up his work.\n    Stay with him till he does, then bring him back.\n\n    LOUIS--If I go now, though, Benedict will suspect\n    Something is up.\n\n        (_The Abbot goes toward the steps, Louis half\n            following him._)\n\n                    As it is, he does not know\n    That Oswald has returned to work. (_A pause._) Besides,\n    After his long, hard ride he will want rest.\n    He will not go near the church.                         (_A pause._)\n                                    What do you say?        (_A pause._)\n    I will go after service.\n\n    ABBOT-- (_After a pause_.) Very well.\n\n        (_He enters the chapel, followed by Louis._)\n\n\n    _SCENE THREE--A street in the village showing a low thatched\n      cottage with a door made accessible by steps. To the left\n      of the door is a small square open window, on the sill of\n      which are garden plants and pots of winter flowers put\n      there to get the morning sun. In the corner of the yard,\n      right, is a well with an old wooden wheel high up on posts.\n      At the end of the chain hanging from it is a bucket from\n      which water is leaking back into the well._\n\n    _Madam Valmy, the country-woman who has just come to town and\n      who has a basket upon her arm, has stopped before the house\n      and is looking intently left._\n\n    MADAM VALMY--Aunt Rachel!\n\n    A VOICE--(_Back in the house._) Yes.\n\n    MADAM VALMY--(_After a pause._) O auntie!\n\n    THE VOICE--                                    Yes, child, yes.\n    I get this dough off. Rosa!\n\n        (_From the right, Madam Bacqueur enters. She is\n            bareheaded and carries a child in her arms._)\n\n    MADAM BACQUEUR--     Every day\n    Some dark deed sends a shudder through all hearts.\n    Who is it this time?\n\n    MADAM VALMY--        No one seems to know.\n    It happened on the mountain, Rosa said.\n\n    MADAM BACQUEUR--I wonder if Father Benedict has returned?\n\n    MADAM VALMY--Returned from where?\n\n    MADAM BACQUEUR--             He rode away last night\n    Into the mountains. I do hope and pray--\n\n        (_They stand looking left. From the right, Hugh\n            Capet enters hurriedly. Reaching over the\n            fence to the well he swings the bucket to his\n            mouth._)\n\n    You know so many strange and evil things\n    Have happened lately. Just a week ago\n    Old mother Sar was palsied. Then young Foy,\n    In the dead of night, saw witch-fire on the heath.\n    Next day two cows, their udders drizzling blood,\n    Ran snorting down the road into the wood,\n    And all the village curs that ventured out\n    Came yelping to their kennels cramped with fear\n    As though the devils chased them.\n\n    MADAM VALMY--                     Did you ever!\n\n    MADAM BACQUEUR--              (To Hugh Capet who hurries out, left.)\n    You will come back and tell us what it is?\n\n    HUGH CAPET--That all depends, Madam, that all depends.\n\n    MADAM BACQUEUR--Indeed they did. And that's not all. Thursday\n    A black stone fell from heaven. Father said\n    It was a challenge. And that very night\n    Occurred a wonder during complines. Yes,\n    The golden chalices in the church took fire\n    And circled round the altar. Blood appeared\n    On Father's hands, and while all sat amazed,\n    Looking to see him caught away to heaven,\n    A snow-white dove flew through the trancept wall,\n    The Holy Spirit, Father says. You know\n    The canvass that they keep covering the cross\n    That Oswald carves, round that it whisked and moaned,\n    And Rachel says she heard the voice of Christ\n    Under the canvass: \"It will not be done.\"\n    Meaning the cross, I thought; but Father says:\n    \"Maybe it means God's will will not be done,\"\n    And so it proved. Disaster came at dawn.\n    Pierre, the sacristan of good St. Giles,\n    Brought the news down to Father Benedict.\n    But you have heard of the great miracle? No?\n    And all the world has heard of it?\n\n    MADAM VALMY--                       You know\n    I have not been to town since Sunday week.\n\n    MADAM BACQUEUR--Oh, angels have fluttered down on us since then!\n    And will again, so Father says. La me!\n    I tell you, Madam Valmy, if any grave\n    In the churchyard there had jumped a horrid ghost\n    To stalk the moonlight in a rotten shroud,\n    There'd be less stir among the village folk.\n    I know not how it was. It seems they found\n    The dear monk, Oswald, bruised and bathed with blood,\n\n        (_She clasps her child to her heart\n            passionately._)\n\n    Lying before the monastery gate.\n\n    MADAM VALMY--Why, Clotilde!\n\n    MADAM BACQUEUR--        Yes, indeed. And _that's_ not all.\n    To think we slept through all of it! To think\n    We did not wake and cry out, \"God is here!\"\n    And then run up and down and ring the bells.\n    Oh, expectation kindles every bush\n    For our Lord's coming.\n\n    MADAM VALMY--             What?\n\n    MADAM BACQUEUR--                 Oh, everything!\n    How wonderful are mountains angels' feet\n    Have trodden on! How beautiful the air!\n    Oh, everything seems different to me now.\n    I half expect to see the stone put forth\n    A human face and speak to me of God.\n    Dear Madam Valmy, trees are not really trees.\n    As Father says, all things have passed away,\n    And with the miracle the other night\n    Our Lord begins his reign upon the earth.\n    For hours I sit and look in my child's face\n    And wonder if he sees.\n\n    MADAM VALMY--           What?\n\n    MADAM BACQUEUR--                           (_Holding up her child._)\n                                      Fire! fire!\n    O child, child, see the fields, the glory--\n\n    A VOICE--(_To the right._)             Fire?\n\n    JULES BACQUEUR--                                       (_Entering._)\n    Where is the fire?\n\n    MADAM VALMY--The crowd, you see.\n\n    JULES BACQUEUR--                      Whose house?\n\n    MADAM VALMY--Rosa ran in and said some one was hurt.\n\n    MADAM BACQUEUR--Don't you go with them, husband.\n\n        (_The smith goes out, left._)\n\n                                            Jardin's been\n    Trying to get the men to storm the heights\n    And kill the heathen and the witch.\n\n    THE VOICE--(_Back in the house._)   Rosa!\n\n    MADAM VALMY--She is not here. And he is still alive?\n\n    MADAM BACQUEUR--There's not a night since the dear brother fell\n    But what I've heard her on the roof.\n\n    MADAM VALMY--                          Clotilde!\n\n    MADAM BACQUEUR--But oh, the Holy Ghost was with him. Yes,\n    His staff they found next morning and his hood--\n    Thank God for that--they found his hood and staff\n    Down in the gorge, full forty feet below\n    The mountain road.\n\n    MADAM VALMY--    Not over the steep gray bluff!\n\n    MADAM BACQUEUR--Think of a fall like that! At break of day\n    They found him at the monastery gate\n    Unconscious, carried there by unseen hands--\n\n    MADAM VALMY--What!\n\n    MADAM BACQUEUR--    Yes, indeed. And those who found him saw\n    Archangels sitting on the mountain tops\n    With golden shields, and there were sounds of war\n    Far off as they were fighting in the clouds;\n    Driving the witches off to hell, no doubt.\n\n    MADAM VALMY--On _these_ mountains?\n\n    MADAM BACQUEUR--     And even _that's_ not all.\n\n    MADAM VALMY--                        (_Putting her arms about her._)\n    Dear Madam Bacqueur.\n\n    MADAM BACQUEUR--      I get so dizzy.\n    You must have Rachel tell you. I won't fall.\n\n        (_She takes hold of the fence._)\n\n    Such wonders and such cures and things to come.\n    I dare not think of much less speak of that.\n    Such brilliance, la! You should see Father's face\n    How it lightens when he speaks of it. His eyes\n    Look far away across the glory fields.\n    \"Bretheren, this miracle is but the blossom\n    Whose fruit shall fall in fire upon the world.\n    Pray, all of you, that you may be perpared.\"\n\n    MADAM VALMY--For what?\n\n    MADAM BACQUEUR--                            (_Catching her breath._)\n                 I am afraid I--\n\n    MADAM VALMY--          Don't try, then.\n\n    MADAM BACQUEUR--There is a glory far off in the air.\n    Father has seen it and his eyes are bright.\n    _So_ bright. Rachel will tell you. Or it may be\n    He sees the pilgrims that shall gather here.\n    This morning Marie heard two brothers say\n    There's sure to be a shrine where Oswald fell.\n    Think of it, Madam Valmy, these streets thronged\n    With holy men that live beyond the sea.\n    I never even thought to pray for that.\n    God does all things so easily, though. And--\n    And all for his dear sake. But I don't know.\n    The Scriptures say Satan shall be let loose.\n\n    MADAM VALMY--The shrine? Indeed I do.\n    In the last days; in these days, then. Do you?\n\n    MADAM BACQUEUR--       How good of you!\n    You always did have so much faith.\n\n    MADAM VALMY--       You know\n    The day your child was christened--\n\n    MADAM BACQUEUR--       Oh, how true!\n    How like a star his _name_ will shine!\n\n    MADAM VALMY--        I now\n    Predict again. He'll be a saint.\n\n    MADAM BACQUEUR--                             (_In utter amazement._)\n                        A--\n\n    MADAM VALMY--           Saint.\n\n    MADAM BACQUEUR--You think he will? Oh, do you, Madam Valmy?\n    Do you, indeed? Oh, think of what that means\n    To little Oswald here! To wear a name\n    A blessed saint hath worn and given him\n    With his own lips at the baptismal font;\n    To see a white hand beckon from the sky\n    And hear forever in each vesper chime\n    A saint's clear voice calling his soul to come\n    And flower out beneath the holy bells.\n    Oh, think, Fidele, some day when he is old\n    And in his cloister yonder on the mountain,\n    When the dear brothers gathered after prayer\n    Shall talk of holy things, and one shall say:\n    \"My father fought with Montfort in the wars\";\n    Another: \"I have seen St. Bavon's tree\";\n    And some old palmer who hath seen all shrines\n    Shall tell of Subiaco and the thorns\n    Of good St. Benedict, my boy can say:\n    \"I grew to manhood in the little town\n    Down in the valley. I have never been\n    Beyond the mountains, but each day have heard,\n    Morning and night, St. Giles' dewy bells\n    Ring from these towers the twilight hour of prayer,\n    Yet was I favored. When they christened me\"--\n    Oh, I can see them wonder at him then,\n    And press about him.--\"When they christened me\n    St. Oswald stood god-father at the font\n    And blessed me with his hands upon my head,\n    Blessed me and said: 'The Virgin keep this child.'\n    A neighbor said his face shone like a star,\n    He was so full of glory. And the night,\n    The night the angels brought him from the gorge\n    And laid him here before the abbey gate,\n    He wore the holy hood my mother made.\n    They keep it yet inside the sacred chest,\n    There in the chapel.\" (_Faint shouts far to the left._)\n                          I am so afraid\n    Jules will go with them. Would you mind if I--\n\n        (_The cottage door opens._)\n\n    Have Rachel tell you of that awful dream.\n\n        (_She goes out, left. With a staff in one hand and\n            screening her eyes with the other, old Rachel\n            comes sidling down the steps. Madam Valmy\n            sets her basket over the fence._)\n\n    RACHEL--Clotilde? Marie? Oh, it's Fidele! Why, child,\n    When did you come to town?\n\n    MADAM VALMY--                         (_Taking Rachel by the hand._)\n                 There's some one hurt.\n\n    RACHEL--_Fidele!_ You frighten me. That horrid word!\n    Who is it?\n\n    MADAM VALMY--The crowd.\n\n    RACHEL--             Where?\n\n    MADAM VALMY--            Down by the church.\n\n    RACHEL--Those heathen dogs. Are they in town? I fear--\n\n        (_They go out, left._)\n\n\n    _SCENE FOUR--Before the church which stands about twenty\n      feet back from the street. Low stone fences on either side\n      project in to its corners and form with its front three\n      sides of a hexagon. To the right, in a higher fence, also\n      of stone, which runs parallel with the street, is an iron_\n      _gate, overgrown with vines, leading into the churchyard._\n      _Between the palings can be seen white crosses marking the\n      graves. In the corners, just where the fences start in_\n      _toward the church, stand Lombardy poplars in full foliage,_\n      _one on either side. The church is built of rough stone,_\n      _with irregular seams of white mortar. In the center is_\n      _an arched doorway and beside it two false windows almost_\n      _covered with ivy. High up over the door is seen the lower\n      part of a narrow louvre window with several long straws,\n      which the birds have carried there, hanging down from\n      between the slats._\n\n    _In the open space before the church, a crowd is gathered._\n      _Upon the steps with his back to the door stands Jardin,_\n      _the Bailiff. He wears a sleeveless hauberk wrought of_\n      _chain, and upon his head a heavy open helmet. Some_\n      _distance to the right, upon a step lower down, Jacques\n      Sar, wearing a leather corselet and a cap of wolf skin, is\n      leaning with his right hand against the church. His right_\n      _arm is off near the shoulder. The crowd is made up of men,\n      for the most part in their working clothes. Some have no\n      hats on. Among the latter is Hugh Capet, whose red head\n      is seen far in near the steps. Jules Bacqueur, with his\n      sleeves rolled up, stands on the edge of the crowd. Out in\n      the street to the left, is a group of women. A boy is up in\n      the poplar tree, right._\n\n    _As the Scene progresses, other villagers enter, among them_\n      _the women of the last Scene._\n\n    JARDIN--Was Jardin right last week when comrade's wife\n\n        (_With a motion toward old Jacques._)\n\n    Fell palsied and he said: \"Let's kill the witch;\n    Next thing she'll strike some brother.\" Was he right?\n    Was he? In here is a cross can tell you.\n    Is the cross done? Can any man say why?\n    The holy monk that carves it, where is he?\n    Up yonder on the mountain in his cell,\n    Nigh unto death. Only the Virgin's hands\n    That plucked him from the pit can save his life.\n    And who's to blame? Who is to blame, men? Eh?\n    You men that shout to sail out to the East\n    And swell about the neck as vipers do,\n    Blowing against the Moslems, what do you say\n    To the heathen on the mountain up there, eh?\n    Twenty moons and more have risen and set\n    Since they took up their station 'neath the stars\n    And, in collusion with the hag of hell,\n    Shook pestilence and death upon the air.\n    Planets have knocked and fire has fallen and blood\n    Has drizzled over all this region. Eh?\n    What do you think our Lord thinks of these things?\n    Rescue the mountains; they are His Sepulcher.\n    You want to see Golgotha? _There_ it is.\n    A mountain with a heretic on its peak\n    Is like a spear thrusting a bitter sop\n    Up to our Lord's lips even in heaven. You men\n    Who see the sop and leave it there are Jews.\n\n    HUGH CAPET--They're Maccabees.\n\n    JARDIN--        As for Jacques Sar and me,\n    We'll wear these arms--\n\n    JACQUES SAR--    Until the Judgment Day.\n\n    JARDIN--Till our old bodies rot, or see those peaks\n    Waved over with the banner of our Lord.\n    And you think you will live to see that chase.\n    You know what I would do if I were God?\n\n        (_He draws his sword._)\n\n    Gabriel should pass over with his sword\n    And pierce some heart would bow all heads in tears.\n    Then you would go shouting up the mountains. And\n    If this keeps up, you mark me what I say,\n    Crosses will thicken out there on that grass.\n\n        (_He points toward the churchyard. A man reaches\n            out of the crowd and touches him on the leg._)\n\n    But eat and sleep, though. Feed your coward hearts.\n    Then die. And then what? Then the Judgment Day.\n    And after that, what? Hell.\n\n        (_He stoops down and the man talks with him in an\n            undertone._)\n\n    BACQUEUR--      Who is it's dead?\n\n    JACQUES SAR--Dead? All of us, he says, an the hag lives.\n\n    HUGH CAPET--He's right, too.\n\n    MADAM BACQUEUR--(_Entering, right, and hurrying to the_\n    _women._)\n\n                 Is it Father Benedict?\n\n    JARDIN--                                       (_Straightening up._)\n    It was for that that he rode back there. Eh?\n    Tell them? What for? What good would that do? What\n    Do they care if the heathen keeps his land?\n    I see some of you here that yesterday\n    Was down at Bacqueur's. Do I? Do I see you?\n    Somehow it seems to me I recollect\n    Hearing as how old Hulga'd never strike\n    No man no more since God had saved the monk\n    And maybe threw her off the cliff herself.\n    Did any of you hear that? Did you men?\n    Eh? No one, eh? So Jardin must have dreamed.\n    Well, in the dream then Jardin seemed to say:\n    \"The hag will strike till we have dragged her down,\n    Her and her dwarf, Canzler, the big heathen,\n    And all his kith, and burnt them in the street.\"\n\n    A VOICE--You got him in the church, Jardin?\n\n    MADAM BACQUEUR--         La, now!\n\n    HUGH CAPET--          Down with him!\n\n    JARDIN--Was Jardin right again? Has Hulga struck?\n    You'd see the ass he rode you'd think she'd struck.\n    Awhile ago here some one shouted out:\n    \"Who's in the church?\" I've got the arrow strung\n    And now I'll tell you, now I'll let it fly.\n    The wine train's lost; three of the mules are dead;\n    Two men were crushed to death; our Lord's dear blood,\n    Witches have poured out on the mountain rocks.\n    Now, has she struck? You think she has, eh? Hugh,\n    What did we tell them? Jacques Sar? Bacqueur? Eh?\n    Didn't we?\n\n    BACQUEUR--How did it happen, Bailiff?\n\n    JARDIN--Some one here asked if Canzler was in here.\n    No. Yes. What if he were or what if he is?\n    You think I'd tell you and see you fall dead?      (_Madam_\n        _Valmy enters, right, leading old Rachel by the hand._)\n    One of the muleteers rode in for help.\n    He only spoke Italian. A friar, though,\n    Told me his tale. Last night when the train reached\n    The Devil's Pass--'twas dark; the moon had sunk--Three\n    withered hell-hags, with the skirring clouds\n    Flying toward Pampeluna to their sabbath,\n    Lit on a gray crag. Lightning splintered blue\n    About them, smells of sulphur rose, and thunder\n    Clapped the dark rock. The mountain shook. Straightway,\n    Cries of the men rang out. The leaders crashed,\n    Dumb-smitted with horror, mules and packs and all,\n    Down through the chaparral to the gowle below.\n    The witches vanished. All the Pass was still\n    Save through the night the golden chalices\n    Clinking far down the scaur. Then on a sudden\n\n        (_Rosa, excited, runs in, right, and hurries to the\n            women._)\n\n    The grisly hags, crooning a wild song, rose\n    Tossing the golden cups up in the air,\n    And like a strip of mist went down the wind\n    Toward Pampeluna. What is the matter, women?\n\n    A MAN--They say the hag's in town.\n\n    ROSA--(_In an underbreath._)    Sigurd.\n\n    MADAM BACQUEUR--          The dwarf.\n\n    THE MAN--They say the dwarf's in town.\n\n    JARDIN--(_Deeply moved._)       Men,--!\n\n    THE BOY--(_Up in the tree craning his neck._)   I see him!\n    Yonder he is by the bridge. He's got something\n    Shining in his hand.\n\n    JARDIN---(_His face paling._) What was it the hunter saw\n    In his dream, men? What was it that roused the dogs--\n    The heathen dogs to chase the brother?\n\n    HUGH CAPET--          Blood.\n\n    JARDIN--                           (_Feeling the tip of his sword._)\n    To-day God stains the trail.\n\n    A SHOUT--      Down with him!\n\n    JARDIN--              Wait.\n\n    THE BOY--See it! See it flash! It's a dagger!\n\n    JARDIN--               Men!\n\n    JACQUES SAR--               Men!\n\n    A SHOUT--Come on, men!\n\n    JARDIN--     Stop them, Bacqueur! Knock them down!\n    Bring those fools back.\n\n        (_Hugh Capet, out in the street, waves with his\n            arm. The men who rushed out, right, return\n            sulky._)\n\n    ONE OF THEM--Who is the coward now?\n\n    ANOTHER--Hush, Noel.\n\n    ANOTHER--    Let's have no trouble, men.\n\n    JARDIN--          Silence!\n\n    FIRST MAN--'Cause we ain't seen the wars--\n\n    SEVERAL--          Be quiet, Noel.\n\n    JARDIN--Is that the way you fowlers take your birds,\n    Rush out and throw the net before their eyes?\n    Is it? And when the wolves prowl for your lambs,\n    You raise a shout before you stretch the string,\n    Do you? Here's Jacques. You think he'd have this cap\n    If he had yelled to the brute, \"Watch for your skin,\"\n    And rushed on him waving a club? Do you?\n    Eh? If you do, I tell you Jardin don't;\n    'N I reckon Jardin's seen a wolf or two.\n    This dwarf of Hulga's, you don't think he's sly,\n    Do you? Eh? Well, he is, sly as a newt.\n    You touch the stones once and you'll see him gone.\n    What's to be done, then? Listen to Jardin:\n    Deploy. You don't know what that means, do you?\n    Some of you here are burning for the East\n    To fight the Moslems. Just cry: \"Allah-ho!\"\n    And then rush on them, will you? Turks, ain't they?\n\n    JACQUES SAR--Right.\n\n    JARDIN--          Listen, men; I'll tell you what it means.\n    You've seen the falcon 'fore she strikes the hern\n    Open her talons, ain't you? That's deploy.\n    Well, then we'll open ours. Three of you fellows\n    Skirt the ford yonder and shut off retreat\n    To the cave. There's one claw open. Halt, men.\n    Then two detachments--Here, attention, men;\n    Wait for your orders.--Then two squads of three\n    March up that way--                              (_He points left._)\n                      and when you strike the hedge,\n    Right! left! one along the wold; the other\n    Down through the waddy; each to the river.\n    Then we've got him flanked. There's three claws open\n    And the bird is ours. Now listen. Listen men.\n    You men that mean to cut off his retreat,\n    Take spears. He'll squawk we pinch him, and the old hen,\n    Hearing her chick, will swoop down from the rocks.\n    Then's your chance; stick her.\n\n    JACQUES SAR--      Mine!\n\n    HUGH CAPET--        Let Jacques have her.\n\n    JACQUES SAR--I'll fetch her head back home to mother Sar.\n\n        (_He and the Bailiff come down into the crowd._)\n\n    A VOICE--What if the heathen charge down on us?\n\n    HUGH CAPET--             Bah!\n\n    JARDIN--You think he'd leave that peak for all the world?\n\n    HUGH CAPET--After what's happened?\n\n    JACQUES SAR--      After this shower of blood?\n\n    BACQUEUR--From that black planet came the thunder stone\n    That tore the field back there.\n\n    HUGH CAPET--     You think he would?\n\n    JARDIN--Now hear what Jardin says. If he could ask,\n    For what he suffered in the Holy Wars,\n    Two gifts of Heaven, and two strong saints should soar\n    Past the green steeples of these poplars here\n    And fold their white wings in that street and say:\n    \"Soldier, what are they?\" What would Jardin say?\n    First this:                        (_He steps back upon the steps._)\n                Up yonder is a holy monk\n    Whom God has blessed above all living men.\n    Abaddon hurled him down to take his life.\n    He's bruised almost to death. Saints, bring him down.\n    We're going to kindle such a fire here\n    As friends of darkness, glowering from the caves,\n    Shall see and then scoot shuddering to Hell.\n\n        (_The crowd shouts._)\n\n    Bring him down, then, and let him see the flames\n    Lick up the limbs that tripped him.\n\n    JACQUES SAR--        Right.\n\n    BACQUEUR--                     You're right.\n\n    HUGH CAPET--Let's bring him down!\n\n    SHOUTS--           Right! Bring him! Bring him down!\n\n    JARDIN--Here, men, put on those caps. You think you're saints?\n    If you can fly through air, why bring him down;\n    You can't, then hush and hear what Jardin says.\n    First then I'd say: \"Bring down the monk.\" Then this:\n    There's a big fellow on the mountain tops\n    What calls Thor Father, spitting at our Lord.\n    And in the dawn when Christians gather here\n    To holy mass he stands upon the peaks\n    And scowls upon the bells. He and the witch\n    Are brain and bowels to some heathen god\n    Whose dark hand works at night beneath the hills\n    Sapping the towers of Christ. Saints, send him down.\n    Tell him to strap his big old martel on him.\n    He comes down here he'll feel a damaskin\n    That's sliced the Turks and choked the gates of hell\n    With ghosts of Allah, and another'll go\n    Bloody and hot to Thor.                                  (_Shouts._)\n                             Send him down, saints.\n    Some one here says, \"If Canzler comes, what then?\"\n    He'll die. Who'll do it? Listen: Jardin will.\n\n        (_He comes down into the crowd that surges and\n            clamors about him._)\n\n    Line up! (_He chooses nine men, whom he arranges in squads of three._)\n\n    A MAN--                                      (_In the first squad._)\n    About those spears.\n\n    JARDIN--Stop at the armory.\n\n        (_He produces a great key._)\n\n    You know your orders, do you?\n\n    A CHORUS--We do.\n\n    JARDIN--Jacques.\n\n    LEAD.\n\n        (_He hands the key to the old man, who puts\n            himself at the head of the first squad._)\n\n                   Bacqueur.\n\n    MADAM BACQUEUR--No, no.\n\n    JARDIN--Capet.\n\n        (_The two men put themselves at the head of the\n            second and third squads._)\n\n    JARDIN--March!\n\n    MADAM BACQUEUR--(_Holding out her child._) Husband!\n\n        (_They pass out, left. Madam Bacqueur looks after\n            them for a while, then lifts her skirt to her\n            eyes and sobs aloud._)\n\n    RACHEL--Where are they going, child?\n\n    JARDIN--Line up now, men.\n    We'll strike the front. Women, pray that the saints\n    May bring the monk to see this devil burn,\n    And send the old warlock down. He will breathe hard,\n    I slit his entrails once and put this foot\n    On his big chest.\n\n        (_As he goes along lining up the men with his\n            sword, the church door opens and, pale and_\n            _emaciated, the monk Oswald appears._)\n\n    FIDELE--Clotilde! Auntie! Rosa!\n\n    THE WOMEN--Look! Look!               (_They fall upon their knees._)\n\n    JARDIN--What is it, women!\n\n    A MAN--Look! Look!\n\n        (_The men cross themselves and fall prostrate.\n            Old Rachel and the Bailiff alone remain\n            standing._)\n\n    RACHEL--                                     (_Screening her eyes._)\n    What is it, Rosa?\n\n    FIDELE--   Auntie! auntie!\n\n        (_She pulls old Rachel to her knees._)\n\n    A BREATH--(_Through the crowd._)   His ghost!\n\n    OSWALD--What is the matter?\n\n        (_Upon hearing his voice, old Rachel, who has\n            continued to stare toward the church, falls\n            with her face to the ground._)\n\n    A MAN--(_In a low voice._) Jardin, speak.\n\n    JARDIN--             Father.\n\n    OSWALD--What is it? (_A pause._) What is the matter?\n\n    JARDIN--              Is that you?\n\n    OSWALD--What was that shouting?\n\n        (_A silence ensues. The monk puts his palm to\n            his breast and coughs._)\n\n    JARDIN--(_Completing his thought._)--these men aghast here\n    Calls up to Jardin's mind a night in the wars\n    When we were storming Acre. The Infidel,\n    Sallying out, had laid the Lion Heart\n    Low in the dust. The waves of battle clapped\n    Over his head. Barred in with dripping spears\n    Of Turk and Christian, raged the bleeding whelp,\n    His paws red-clotted in his own hot blood.\n    Cleaving the gloom, a burst of crimson light\n    Streamed down the slanting spears and like a prow\n    Rolled back the waves of war. Between the crests\n    Of foam-white faces holy St. Augustine\n    Came walking down the bodies of the dead,\n    And lifting the Lion, fired him. At once\n    Rose on the night the planet of his shield\n    Burning a lane before his falchion fed,\n    And down the <DW72> into the Turks he swept\n    Through dropping shields and sabers thrown in air,\n    A lurid streak of flame. So Jardin now,\n    Seeing this blessed monk the saints have brought,\n    Takes fire, and blown with hate of our Lord's foes,\n    Will lick the crags and leap from peak to peak,\n    Nor shall the flame go out until the wind\n    Rain heathen ashes on the pit of hell.\n\n        (_Roused by the Bailiff's words, four or five of\n            the men spring to their feet. The rest rise\n            slowly and remain mute. Oswald comes down the\n            steps._)\n\n    JARDIN--                        (_Knocking the men with his sword._)\n    Line, line up!                     (_A man points down the street._)\n\n    ANOTHER--    We'll fix him, Father!\n\n    ANOTHER--He'll never strike no holy monk again!\n\n    ANOTHER--We'll burn the imp!\n\n    ANOTHER--        Father shall see to it, too!\n\n        (_The Bailiff strikes with his sword. The line\n            marches right, double-quick._)\n\n    OSWALD--                                              (_Excitedly._)\n\n    Stay, men! Lay no rough hands upon the boy.\n\n        (_The line halts. The monk puts his palm to his\n            breast and coughs._)\n\n    JARDIN--No rough hands on--?\n\n    OSWALD--        The boy has done no harm.\n    The night I fell--\n\n    A MAN--   Here's Father Benedict.\n\n        (_They wait in silence._)\n\n    FATHER BENEDICT--Ah, brother Oswald!\n\n        (_He comes riding in, left. The women bow\n            reverently; the men bare their heads._)\n\n    _Benedicite._\n    You see my children gathered here about,\n    How glad they are to see you.\n\n    OSWALD--        And I, Father,\n    To be at work once more.\n\n    FATHER BENEDICT--   Praise the Virgin.              (_Dismounting._)\n    You show a Christian spirit coming thus,\n    Bruised as you are, to do the Master's work.\n\n    OSWALD--I promised it should be done to-morrow.\n\n    FATHER BENEDICT--            And--?\n\n    OSWALD--I have two golden letters to put on.\n\n    FATHER BENEDICT--God hath his eye upon our altar cross;\n    And on you, too, my brother.\n\n    OSWALD--        God has been\n    Good to me.\n\n    FATHER BENEDICT--The angels do His will.\n\n    OSWALD--And even human hands--\n\n        (_He looks down the street._)\n\n    FATHER BENEDICT--      'Twas marvelous.\n    As I came down I passed the jagged cliff\n    You tumbled over, and there a while I paused\n    Entranced, as it were, by unseen Presences.\n\n        (_The boy, who climbed down from the tree upon the\n            arrival of the Priest, leads the ass out,\n            left._)\n\n    The mountains wore a new and hallowed look\n    In the morning light. I would give half my life\n    To have stood upon the peaks that night and seen\n    God's ministers drop shining down the sky\n    And blaze the gorge. But God works in the dark.\n    At night His golden ladders are let down\n    And deeds are done and no man knoweth how.\n    At dawn we see the severed hills, the seas\n    Huddled aghast at some vast mountain head\n    That yesterday lay fathoms in the deep.\n    So quietly He worketh in the night\n    That mountain ranges rise and no babe wakes.\n    Who can say: \"Yonder God is\"?\n\n    OSWALD--         None, Father.\n\n    FATHER BENEDICT--            None.\n    The hand that executes His purposes\n    Is hidden like the purposes themselves.\n    He dwelleth in the storm and in the calm,\n    Yet both look round and say: \"Where dwelleth He?\"\n    The sun that shines on all, shines not on Him.\n    He goeth forth at night and doth His will,\n    Yet the moon sees Him not. I rode along\n    Thinking upon your providential\n    Escape from death that night and of the work\n    God hath reserved for me in the great chase,\n    For half the glory is mine. I prayed our Lord\n    That if it be His will I might catch some\n    Glimpse of the dogs far off. I could not see\n    My hand before my eyes in spirit, but\n    With eyelids down, rode on, probing the dark,\n    Sounding deep in my soul the ocean of God,\n    And finding there bottomless waters.\n    The night of ebony and the golden dawn,\n    The deed the past holds and the future's deed,\n    Rose half way up the sky and called across\n    Fathomless spaces: \"Who are you?\" And I\n    Thought answer: \"Thou art Fall; and thou, with hair\n    Bright with the morning and with frightened eyes\n    Fleeing the noise of dogs behind thee, thou\n    Art Resurrection and the Peace of God.\"\n    Connection I could find none. Stark and lone\n    They stood upon the twilight fields of air,\n    Strangers, each looking in the face of each,\n    When through the gloaming came a glittering link\n    Star-like with the image of our Lord\n    Bleeding in silver on a silver cross,\n    A marriage ring that married them, and I\n    Deep in my soul knew the Eternal and\n    Saw Prophesy grappling the North and heard\n    Heathendom hiss and coil and loose her folds;\n    And then a voice filling the heavens: \"Well done.\"\n    Speaking to me, for the glory is mine.\n    Your crucifix has not been found yet?\n\n    OSWALD--          No.\n\n    FATHER BENEDICT--And will not be.\n\n    OSWALD--         It must be in the brook.\n    I had it in my hand just as I fell.\n\n    FATHER BENEDICT--'Tis in the hand of God where it shall be\n    Until the morning breaks of that great day\n    When Heathendom shall tumble down to hell.\n    Then it shall dangle bloody from the sky\n    While all the mountains shake.\n\n    OSWALD--        What do you mean?\n\n    FATHER BENEDICT--The mountains trembled in the tempest.\n\n    OSWALD--               When?\n\n    FATHER BENEDICT--\n    During the great chase. (_A pause._) Is it possible\n    You start upon the chase with darkened eyes?\n\n    OSWALD--I do not understand you.\n\n    FATHER BENEDICT--(_Aside._)    Can it be\n    They have not told him of the dream? Mum, then.\n\n    OSWALD--Brother Andrew told me.\n\n    FATHER BENEDICT--      And you understand\n    On whom this dark calamity shall fall?\n\n    OSWALD--It has already fallen.\n\n    FATHER BENEDICT--    Already fallen!\n    You think the stag is down, then, do you?\n\n    OSWALD--           Stag?\n\n    FATHER BENEDICT--You think the chase is run?\n        (_Oswald looks at him blankly._)    You seem to think\n    The dream has been fulfilled.\n\n    OSWALD--       I do. How not?\n    This last calamity fulfilled the dream.\n\n    FATHER BENEDICT--Fulfilled? Nay, nay. The chase has not begun.\n    The bruised stag is resting in the grove.\n    The hounds of Hell have yet to strike the trail,\n    And when they do, my feet are on the hills,\n    And the loud talbot's baying shall be still.\n\n    OSWALD--You speak as one whose joy is in the chase.\n\n    FATHER BENEDICT--                                (_Glaring at him._)\n    You mean by that that I--\n\n    OSWALD--      I mean, Father,\n    You speak as those that chase the deer with hounds--\n\n    FATHER BENEDICT--You mean to intimate that I lead the dogs?\n\n    OSWALD--As hunters do. (_The Priest searches the monk's_\n    _face._) You spoke of a stag and a trail.\n\n    FATHER BENEDICT--To show you that the dream is not fulfilled.\n\n    OSWALD--Have you not heard it, then? The train is lost.\n\n    FATHER BENEDICT--The--\n\n    OSWALD--    Thrown from the cliffs.\n\n    A MAN--           The witches did it.\n\n    ANOTHER--Blue devil-fire sputtered on the crags and sulphur--\n\n    ANOTHER--Two men were struck by the hags.\n\n    ANOTHER--         The wine, too, Father,\n    They've poured it all out on the mountain rocks.\n\n    ANOTHER--Old Hulga did it.\n\n    SEVERAL--       And the dwarf.\n\n    THE CROWD--           The dwarf, too.\n\n    OSWALD--                           (_With a nod toward the church._)\n    One of the men who rode in town for help\n    Is with the clerk.          (_The Priest starts toward the church._)\n\n    JARDIN--(_Stepping forward._) Can Jardin say a word?\n    One night at Acre when the camps were sick,\n    And smells of corpses tainted every breath,\n    Jardin was pacing watch. Through the darkness,\n    Pierced by the burial torches of the Turks,\n    A smoke-thin shadow passed across the plain\n    Between the armies, blotting one by one\n    The drifting death-fires of old Saladin.\n    Nearer it came, and Jardin heard a moan,\n    And walking toward it found a Turkish lad\n    Half eaten by hunger, in a fever trance\n    Low-moaning piteously: \"Dates, mother, dates.\"\n    Did Jardin say, Because the Turk's a boy\n    I'll spare him? Did Jardin give him dates? No.\n    He'd made a vow never to spare no foe\n    Of Mary's Son, so, like a starving hound,\n    This Christian blade, drinking his little blood,\n    Licked up the crumbs that Famine's jaws had left.\n    Did Jardin right?\n\n    FATHER BENEDICT--Our Paternoster says:\n    \"Thy kingdom come.\" How could the kingdom come\n    If heathens were allowed to--\n\n    JARDIN--        If the young Turk,\n    Instead of wobbling in a fever trance\n    As weak as smoke a breath could blow away,\n    Jardin had found astride a Christian corpse\n    Holding his red dirk up against the moon\n    For Allah's eyes and laughing at the blood,\n    Had Jardin spared him then--?\n\n    FATHER BENEDICT--    Then the red dirk\n    Had hovered over your gray hairs like a hawk\n    Until your day of death, and when your soul,\n    Fresh from the holy lustral dews, had sprung\n    Singing toward Mary's bosom in the sky,\n    That red-plumed vulture swooping through the dark\n    Had chased it down to Hell.\n\n    JARDIN--       Line up, men.\n\n    OSWALD--             Stay!\n    You know not what you do.\n\n    FATHER BENEDICT--   What does this mean?\n\n    JARDIN--It means that Jardin is a soldier still,\n    Still fighting as a servant of the Cross,\n    And never, while this arm can lift a sword,\n    Will this sword ever spare a scoffing imp\n    To invocate the devils of the air,\n    And pointing to the gouts of holy blood\n    Upon the mountain rocks, say: \"Aha, see!\n    The Master's slave bleeds as the Master bled.\"\n\n        (_Pointing with his sword down the street._)\n\n    The son of Satan.\n\n    A MAN--   It's the dwarf, Father.\n\n    FATHER BENEDICT--                                      (_Solemnly._)\n    God lifts the curtain and the Play is on,\n    Whose last act shall unfold above the clouds\n    With Tempest and with Earthquake that shall shake\n    Hell to the very bottom. Seize him.\n\n    OSWALD--(_Excitedly._)       No!\n    No, no! The boy has done no--                          (_Coughing._)\n\n    JARDIN--         Come on, men!\n    Shall bloody daggers drip on our gray hairs,\n    And chase us through the deep? Shall they? Come on!\n\n        (_The line swings off._)\n\n    Never will Jardin patch a truce with Hell\n    Until her towers, stormed by angels' wings,\n    Shall bow like Acre to the Son of God.\n\n    OSWALD--Stop them, Father! Until I tell you!\n\n    FATHER BENEDICT--(_Overcome with rage._)   This,\n    This is the worst I ever did hear. (_Looking about him while_\n    _Oswald coughs with great distress._) Men,--\n\n        (_Seeing that all the men have gone, he shouts\n            after them._)\n\n    Pile your wood here, men! We shall have sacrifice!\n\n        (_He goes toward the church._)\n\n    OSWALD--                                            (_Frantically._)\n    Father! Father!                         (_He falls upon his knees._)\n\n    FATHER BENEDICT--A burnt offering. (_Oswald rises quickly,\n    his face full of horror, and flees in the direction of the\n    Abbey, coughing violently._)\n\n    FATHER BENEDICT--    (_From the steps, calling after him bitterly._)\n    If Benedict, whose \"joy is in the chase,\"\n    Shall \"chase the deer with hounds as hunters do,\"\n    Perhaps this devil that goes up in smoke\n    Will drop somewhere upon the mountain paths\n    And pluck your haunches from the talbot's teeth.\n    Pray God he may, when Benedict turns hound.\n\n        (_He enters the church and closes the door._)\n\n\n    _SCENE FIVE--The same street, projected to the outskirts of\n      the village. On the right, is a wagon bridge built of logs.\n      Some slabs, left over from the building of the bridge\n      years ago, lie in a pile at the roadside. Farther back,\n      across the river the course of which is marked by a line of\n      sycamores, the mountain rises abrupt and green, with here\n      and there patches of bare rocks and trees thickening as it\n      extends back and up. Away to the center and left, a stretch\n      of bottom land with cultivated fields. One gets a nearer\n      view of the snow-capped peaks seen from the mountain side\n      in the first Scene and from the courtyard of the abbey in\n      the second. In the foreground at the roadside, is a large\n      olive tree with its dark shadow lying directly beneath it,\n      for over the landscape is a clear light as of a noonday sun\n      shining from a cloudless sky._\n\n    _Under the tree, with several willow baskets strung together_\n      _lying upon the ground beside him, sits the dwarf, Sigurd,_\n      _polishing Oswald's silver crucifix upon his knee. He holds\n      it out in a bit of sunshine that falls through the leaves\n      and, after flashing the light about, resumes rubbing it\n      upon his trousers._\n\n    JARDIN--                       (_Left, shouting as to men far off._)\n    Close in, men! Close in!\n\n        (_The dwarf rises to his knees and looks in the\n            direction of the town. Then, hiding the\n            crucifix in his bosom, he comes out in the\n            road and looks in the opposite direction as\n            though trying to discover who it is they are\n            after. Stones strike in the road and go\n            clattering across the bridge. A moment later\n            Jardin and his men come rushing in._)\n\n    ONE OF THE MEN--(_With his hands to his mouth, shouting_\n    _across the river._)      We've got him!\n\n    ANOTHER--                        Fellows!\n\n        (_He makes for the pile of slabs. Several of the\n            men follow him._)\n\n    ANOTHER--We can get shavings up at Bacqueur's shop.\n\n        (_They load themselves with slabs. Jardin, who with\n            the dwarf is in the center of the crowd,\n            suddenly holds aloft the silver crucifix._)\n\n    JARDIN--You know who threw him down now, don't you, eh?\n\n    A CRY OF RAGE--Devil!\n\n    JARDIN--Don't knock him, men. This is God's work.\n\n    CRIES--Down with him! Burn him!\n\n    JARDIN--                       Fetch your slabs, men.\n\n    CRIES--                 Come on!  (_They start toward the village._)\n\n    SHOUTS--                                    (_From over the river._)\n    Look out! Look out!\n\n        (_The men carrying slabs glance back, then throw\n            their loads down and go fleeing toward the\n            village._)\n\n    CRIES--      Men! Men!\n\n        (_The crowd flees, leaving Jardin holding the dwarf\n            by the collar standing in the road._)\n\n    A VOICE--(_From across the bridge._)      Let go that boy.\n\n    JARDIN--This is a day of miracles.               (_Canzler enters._)\n                                                                Heathen,\n    Between us is a grave.          (_He lays his hand upon his sword._)\n\n    CANZLER--                          Let go that boy.\n\n    JARDIN--                                  (_Advancing to meet him._)\n    With Christ in one hand, and in the other this.\n\n        (_Canzler draws his sword, and a duel ensues. The\n            Bailiff, protected by his armor which Canzler\n            has twice struck and failed to pierce, lays\n            his blows on as though he would end it all at\n            once. Canzler deliberately draws back into\n            the shade of the tree. Lunging madly, Jardin_\n            _follows him. The villagers reappear with\n            stones in their hands, and try to get where\n            they will not hit Jardin when they throw._)\n\n    CRIES--Run him through, Bailiff! Run him through!\n\n    JARDIN--(_With a lunge._)                   There!\n\n    A CRY--                                                Ha!\n\n        (_Canzler has parried the thrust, and his sword has\n            passed through the chain hauberk deep into\n            the Bailiff's breast. The latter staggers\n            back, his astonishment that steel armor\n            should be pierced by mortal sword giving way_\n            _to a look of chagrin, and after endeavoring to\n            steady himself with the blade of his sword,\n            falls flat, his armor clanking on the road.\n            The villagers drop their stones and flee\n            terror-stricken. Canzler stands for a moment,_\n            _wipes the perspiration from his brow, then\n            reaches down and takes up the Bailiff's sword\n            by the point._)\n\n    CANZLER--\n\n        (_Swinging it around his head and hurling it toward\n            the village._)\n\n    You men in steel!\n\n        (_He goes back under the tree and gets the baskets\n            and comes out into the road. The dwarf stoops\n            to pick up the crucifix that lies in the dirt\n            about a yard from the Bailiff's hand._)\n\n    Canzler--                 Nay, let it lie, my boy.\n\n        (_He takes the boy by the hand and they return\n            across the bridge. The Bailiff stirs, lifts\n            himself to his elbow, and stretches his hand\n            toward the crucifix. He cannot reach it and\n            falls back and lies still._)\n\n\n\n\nACT FOUR.\n\n\n    _SCENE ONE--In the cavern, as in Scene two of the second act.\n      The spinning wheel stands against the wall and above it\n      from a peg hangs a heavy skein of black wool. The baskets\n      lie upon the floor. To the right of the low fire, a heap\n      of chips, pine cones, and broken limbs. The cave is quite\n      dark._\n\n    _From the left the gnomes enter stealthily, one after another._\n\n    _TIME--The same night._\n\n    KILO--(_Huskily._) Gone.\n\n    ZIP--(_Calling back._)   Gone.\n\n    VOICE--(_To the left._)      She's gone.\n\n        (_Gimel enters and, after him, Suk. Kilo crosses\n            the cave and stands listening._)\n\n    ZIP--(_Stopping._)                      What is it?\n\n        (_Gimel puts out his hand, palm back, warningly.\n            Suk stops. Suddenly, to the left, a sound of\n            whistling is heard._)\n\n    SUK--    (_Huskily, to silence him._) Zory! (_The whistling stops._)\n\n    KILO--                                             (_Turning back._)\n    It's a frog booming on the river bank.\n\n    GIMEL--The villagers should hear it they would squeal:\n    \"Ave! Ave!\" and hurry to the church\n    And take their pennies to the Priest. Curse them!\n\n        (_While the rest snoop about the cave in search\n            of food, Kilo puts some kindling upon the\n            fire, and getting down upon his knees, blows\n            it into a flame. He then stretches himself\n            out upon the floor, and proping his head upon_\n            _his elbow, begins to poke in the ashes with a\n            stick._)\n\n    KILO--Gimel, you're mad because your monk's alive.\n\n        (_Zip goes out right on tiptoe._)\n\n    SUK--I wonder if Granny knows we killed the bat?\n\n    GIMEL--I haven't had a bite since.\n\n    SUK--                              Yesterday\n    I found a cricket down among the stones\n    Still numb with winter's cold.\n\n    GIMEL--(_Fearfully._)     What is it, Zip?\n\n    KILO--                                             (_Nonchalantly._)\n    Gimel, if the monk was sleeping there\n    On Granny's couch and you had Loki's sledge,\n    Think you could kill him?\n\n    SUK--                                     Sh!\n\n        (_Kilo sits up._)\n\n    GIMEL--              Zip, what is it?\n\n    ZIP--                                               (_Re-entering._)\n    It's going to storm. The clouds are scudding fast\n    And thick and dark, brushing the mountain tops.\n\n    SUK--She gets the owl, she'll be here.\n\n        (_Kilo lies down. The other gnomes, as if fearing\n            the entrance of the witch, walk, left._)\n\n    SUK--                                      Better get up.\n\n    ZIP--She'll flog you, Kilo, if she finds you there.\n\n    KILO--I'll play I'm Sigurd.\n\n    ZIP--                                    Then she'll drub you sure.\n    You see these baskets here? To-night at dusk\n    The boy crept tiptoe to the entrance there\n    And threw them in. I holloed at him: \"Hey!\n    You'd better run! Granny's been looking for you.\"\n\n        (_Kilo rakes a coal from the fire and blows the\n            ashes from it._)\n\n    KILO--You say the wind's up, Zip?\n\n    ZIP--                                  It's going to storm.\n\n    SUK--                               (_Looking among the dry herbs._)\n    There's not a leaf of Odin's helmet here.\n\n    KILO--Gimel!                                  (_He blows the coal._)\n\n    GIMEL--                                                  (_To Suk._)\n    She's taken it with her. She knew\n    If we should get out in the air--\n\n    KILO--            Come here.\n\n    GIMEL--She'd never see us in this cave again.\n\n    VOICE--                              (_To the left, in a monotone._)\n    A rat and a cat and a cat and a mouse.\n\n    SUK--I wonder when she's going to make us broth.\n\n    GIMEL--She said we'd be as thin as chestnut leaves\n    Before she put the cauldron on again.\n\n    SUK--How can we toil when fire won't burn,\n    When Loki's hammers are soft as lead,\n    When her charms all fail wherever we turn,\n    When blight won't gather and murrain won't spread?\n    How can we toil when there's not a Nix\n    But turns to stone at a crucifix?\n\n        (_From the left, Zory enters._)\n\n    ZIP--What are you chewing, Zory?\n\n    ZORY--           Slippery elm.\n\n    GIMEL--She's scared herself at the pesky thing.\n    Often as here by the coals she's sat\n    Crunching her pignuts and stroking her cat,\n    Many a time I've heard her say\n    That Thor's arm shriveled that April day\n    When out of a cloud in a thunder shower\n    He threw his bolt at the tall gray tower.\n    It shivered a poplar tree near by.\n    The church stood sound with its cursed crest,\n    While the god went bellowing down the sky,\n    Clutching his shoulder in terrible pain.\n    Now he rides to the east and he rides to the west--So\n    Granny says--and he's never seen\n    Lashing his goats through the driving rain.\n    Dark and fireless the clouds drift round;\n    Their waters fall without any sound.\n    It's Hoder that drives them now, I ween.\n\n    ZORY--                                        (_Leaving the herbs._)\n    She'd left a slip of the Devil's herb,\n\n        (_Skipping to the right._)\n\n    You'd see me sweeping along the sky;\n    I'd straddle the moon and ride her down.\n\n    ZIP--Be quiet, Zory.--You'd better not. You hear?\n\n        (_Zory goes out._)\n\n    SUK--The fairies too are bolder now.\n    Every hour you can hear them call\n    From forest and bracken and water-fall.\n    Even at midday, when I've been clearing\n    Ore from the mountains and stood a peering\n    Through cracks in the cliff, I have seen them at play\n    Catching the drops of silvery spray,\n    Running with emeralds and amethysts\n    To the stones where the purple iris rests.\n    With hands to their mouths, from the mossy ledge,\n    They boom to the bittern far down in the sedge\n    On the river bank. They are in the air.\n    Woodland and water--everywhere.\n\n    GIMEL--And there's not a place even down in the ground,\n    No matter how dark, but that elves are found\n    Whispering and prying, their little eyes\n    Darting and glancing like fireflies.\n\n    SUK--They say that's the cause of Loki's fright.\n\n    ZIP--And well it might be, if this tale is true.\n    Sleeping he lay on the ground one night--\n    He had guzzled his fill of Granny's brew--\n    When, thinking he heard his bellows blow,\n    He opened his eyes and spied the glow\n    Of flames on his forge, the sparks a leaping,\n    And a score of elves---they thought him sleeping--\n    On trough and anvil and on the ground\n    Clapping their hands as they fell around.\n    Then he stirred, when lo! there was not a spark;\n    The bellows was still, the stithy was dark.\n\n    KILO--                      (_Rising quickly to a sitting posture._)\n    The tale is as true as the master's steel.\n    Here on the stones I lay that night,\n    Curled like a cat in the fire-light,\n    While there by the wall with a whirring sound\n    Granny's old spinning wheel went round.\n    It whirred and it whirred so I could not sleep,\n    So I lay and yawned and began to peep\n    And nudge the fire, for the night was cool.\n    Around the big wheel the wether's wool\n    Ran black, the dame's foot under her skirt\n    Paddling the pedal for Sigurd's shirt.\n    The wheel stopped a moment, and during the hush\n    I had dropped to a doze, when there came a rush\n    Of the coldest air that ever warped skin,\n    And Loki, frightened, dashed up and in\n    From the rift in the rocks.                (_He rises to one knee._)\n                                 His face was white\n    And the smut upon it showed black as night\n    And his limbs were so weak that he almost fell.\n    When he got his breath he began to tell\n    How, roused from his sleep by a noise in his shop--\n    Then Granny spied me and nudged him to stop,\n    And the two went out. I leaped to the ledge\n    And peered through the crack. Far up on the edge\n    Of the cliff where the hazel bushes grow,\n    The pines were glossing; the gnomes, I trow,\n    Were choking the caves to get in the ground\n    And hide in the dark lest they should be found\n    When Balder should roll his bright wheel on high.\n    Already his lances waved in the sky\n    Bedabbled with blood. The heavens were pale\n    And the peaks were bright with his burning mail.\n    I lost not a trice. As quick as a wink\n    I rushed to the roots and out through the chink\n    With the Devil's herb I followed the pair.\n    Darting invisible through the air,\n    I squatted toad-like on the turf and heard\n    Them babble their plans, heard every word,\n    Heard Granny wheeze and the master say--As\n    they rose from the rock and turned away--\"We\n    must nag on the gnomes or the cross will rise.\n    They must take the monk's life or put out his--\"\n\n    ZORY--(_Rushing in._)            Look out!\n\n        (_He dashes out, left, followed by the other\n            gnomes. From the right, the witch enters. In\n            her right hand she holds a big black owl by\n            the wing; in her left, a large club. She is\n            tall, raw-boned, and weasened. Her hair is of\n            a stringy gray, and a skein of it hangs upon\n            her cheek. Her breath comes short, and there\n            is a wheeze in her voice._)\n\n    WITCH--What's this? Burning my wood?                   (_Shouting._)\n                   Sigurd! Ay, ay!\n    You'd better hide, you lazy, crooked dwarf.\n    You'll pay for this.\n\n        (_She throws the owl down, and taking the sticks\n            from the fire, beats the flames out upon the\n            floor._)\n\n              You'll pay for this, I say.\n    You'll gladly sleep upon the coldest stones,\n    But you'll not close an eye. You'll moan all night,\n    Dragging your red-puffed soles across the floor,\n    And beg the gnomes for snow. I'll teach you how\n    To burn my kindling up. Here I must trudge\n    Up to the blasted cliffs day after day,\n    Strip bark, drag brush, break limbs, and gather cones\n    Among the pines, the bait of all the winds,\n    And barely get enough to heat my brew,\n    And here you'll lie roasting your wretched bones.\n    I'll warm your cursed shanks. I'll put your feet\n    To blister on the red-hot coals again\n    And flog you limping up the rocks for wood.\n\n        (_Hanging up the baskets._)\n\n    Let the monks take the geese. They're out there now\n    Flapping their wings and gaggling at the moon\n    To call the Christians down. You'll keep their necks!\n    You'll swear by father Thor you fetched them up\n    And penned them in the lot. I'll beat you, though;\n    I'll whale you with these rods until you're sore.\n\n        (_She piles her wood against the wall._)\n\n    Let the monks steal the geese. You'll gather wood.\n    You'll find it scarce, I vow. There's not a day\n    You're by the stream. You're up among the crags,\n    Beating the eagles from the new-dropped kids.\n    You feed the woodman's ewes. You hunt the hills\n    For sorrel-grass to see the lambkins eat.\n    You never drain an udder for my sop,\n    Or bring me honey from the gum. Sneezeweed\n    You never dig or nightshade from the marsh.\n    You play among the logs. My nuts and corn\n    You steal to feed the striped chipmunks with.\n    All day you're in the wood or on the <DW72>,\n    Listening to hear the noisy Christian bells.\n    You love the damned sound. You love the monks.\n    You fetch them pine knots from the big green ridge\n    To singe the gnomes and light their altar fires.\n    You've learned to fumble buckeyes on your breast.\n    I'll teach you how to pray. Ay, ay! You hear?\n    I'll weave my dwarf a cowl. Ha, ha! You hear?\n    Sigurd! I'll get you in the morning.\n\n        (_A rumble of thunder._)\n\n    Eh?\n\n        (_Thunder again._)\n\n    Ay, ay, Thor! I'll have them there!\n\n        (_Shouting._)\n\n    Gnomes! Gnomes!\n    Zip! Gimel! Kilo! Lazy broth-suckers!\n    Here's work for you, you knaves!\n    Work and broth!\n    (_Louder._)       Broth, I said! You hear?\n    Zory, you scamp!\n\n        (_Feeling about her dress._)\n\n                       Hear what I say?\n    Kilo! Suk! Gimel! Here's broth for you!\n\n        (_In an underbreath._)\n\n    If you'll work.\n    You don't, I'll lamn you, you toads.\n\n        (_Shouting._)\n\n    You hear?\n    Ay, peak about! peak about!\n    Thor wants you.\n\n        (_The gnomes enter timidly, half-afraid._)\n\n    SUK--                                                (_Whimpering._)\n    I'm hungry.\n\n    WITCH--Hungry!\n    Out in the air with you, then!\n    Suck the lightning's dugs! Guzzle in the rain!\n\n        (_Low muttering thunder._)\n\n    Hear that? Can you? Can you bark?\n    Ay, ay, Thor!\n\n        (_As the thunder dies away, the gnomes rush wildly\n            toward the witch._)\n\n    Ay, here's your herb!\n    Out with you now, every last one of you!\n\n    ZIP--                                         (_Giving him a leaf._)\n    Up with you!                                     (_Zip disappears._)\n                 Kilo! There you go!\n\n        (_Kilo disappears._)\n\n    Now Suk! Now Gimel! Now you can get him!\n\n        (_The gnomes, taking the slips, disappear._)\n\n    Ay, ay! Chase the monk! Crack the big bells!\n    Pluck up the pines and knock the steeples down!\n\n    ZORY--                                               (_Rushing in._)\n    Me too, Granny!\n\n    WITCH--Ay, you scamp!                         (_Giving him a leaf._)\n    Bark now!\n    Skedaddle in the air!\n\n    ZORY--I'll straddle the moon and--\n\n        (_He disappears._)\n\n    WITCH--                             There you go!\n    Ay, straddle her! Ride her through the clouds!\n    There they are, Thor.\n    Now for my dwarf.                           (_Picking up her club._)\n    I'll bruise him a little.                              (_Shouting._)\n    Sigurd!\n    I'll get you.                                (_She goes out, left._)\n\n\n    _SCENE TWO--The scriptorium in the dormitory of the abbey._\n      _The walls are of stone. In the left wall, near the_\n      _corner, a door opens into a hall that leads thence to the_\n      _courtyard. Near it, forward, an enormous chest with metal\n      trimmings and handles of embossed stags' heads, the antlers\n      gradually disappearing into the panel. Upon the chest, as\n      though thrown there carelessly, lies a heavy cloak. About\n      ten feet from the door, against the rear wall, stands a\n      small priedieu covered with a rich altar-cloth interwoven\n      with the figure--seen in old arras--of St. Giles sitting\n      upon a rock with the deer resting its head in his lap.\n      Behind the deer is a clump of brambles. The kneeling piece,\n      which projects from under the folds of the altar-cloth,\n      is of dark wood highly polished. Upon it is a scarlet\n      cushion. A little above the priedieu, in a semicircular\n      niche in the wall, is set a bronze crucifix some ten inches\n      in height. Before it burns a small taper. Farther to the\n      right, a second door leading into a corridor which connects\n      with the sleeping apartments. Between this door and the\n      priedieu are shelves filled with books and old manuscripts.\n      Beyond the door, which swings in and is partly open, an\n      old buckler hangs upon the wall, and beneath it, upon two\n      iron spikes, a long spear. Between the spear and buckler\n      is fixed a parchment cut mitriform and bearing in large\n      illumined letters the inscriptions_ HUGH DE BUILLON CUM DEO\n      ET CUM GODEFRIDO NICAEIS ANTIOCHIIS HIEROSOLYMIS MIL NONAG\n      SEPT OCT NOV. _Farther to the right, in the corner, a\n      Saracen coat-of-mail filled with spears which, converging\n      center and spread out above and below, look like a sheaf\n      of steel. Across the breast of the coat-of-mail is a strip\n      of parchment with the inscription illumined as before_: A\n      MOHAMED FILIO SATAN CHRISTO FILIO DEI. _In the right wall are\n      apertures of two deep-set windows, near which are three\n      carrels, each with an old manuscript spread out upon it\n      and ink-pots and other copying and illuminating materials.\n      Hanging beside them are finger rags smeared with various\n       stains. On one of the carrels lies a sprig of\n      flowering mountain laurel. Near the center of the room, a\n      few feet to the right, stands a long table running parallel\n      with the side walls. It is overstrewn with old manuscripts,\n      some of them discolored and half unrolled; others, near\n      the forward end, piled in the form of a miniature pyramid.\n      Farther back, a small brass lamp, pitcher-shaped and with a\n      wick protruding from its spout, burns with a yellow flame.\n      The room is but dimly lighted, as a large room would be,\n      with a single lamp burning upon the table and a little\n      taper winking in the niche in the wall._\n\n    _To the right of the table, in a square, high-backed chair\n      with animal-feet, sits the Abbot in a black gown,\n      bareheaded. His feet, which are under the table, are cased\n      in slippers of sheep-skin with the white fleece still upon\n      it. From his right hand, which hangs beside his chair, a\n      scroll of parchment trails upon the floor. Farther back,\n      upon the opposite side of the table, stands the Priest, his\n      left hand resting upon the back of a chair the front legs\n      of which are raised a few inches from the floor. At the\n      further end of the table Oswald is standing with his finger\n      wiping away the tears that trinkle down his cheeks._\n\n    _Thunder is heard intermittently, and from time to time the_\n      _windows are shaken by the violence of the wind._\n\n\n    FATHER BENEDICT--        (_White with wrath, turning to the Abbot._)\n    Endorse this, Father?\n\n    OSWALD--     Father, I did not say it.\n\n    ABBOT--_Ira_, Benedict, _altis urbibus_\n    _Causa cur perirent_. Let him explain.\n\n    FATHER BENEDICT--I say, do you endorse this?\n\n    OSWALD--            I did not say it.\n\n    ABBOT--I endorse nothing till I hear both sides.\n\n    FATHER BENEDICT--I gave you both sides.\n\n    ABBOT--            Sit down, Benedict.\n\n    FATHER BENEDICT--You think I'd sit down with these things\n        spread here,             (_With a wave toward the manuscripts._)\n    And Christ thrust yonder in the little niche?\n    Not while I have in mind the first Psalm.\n\n    ABBOT--               Yet\n    You seem to have forgotten what #agapa\u00f4# means,\n    As found in that third chapter of St. John.\n\n        (_He lays his parchment upon the table and reaches\n            over and takes a book from the pile at his\n            right._)\n\n    FATHER BENEDICT--Not while I have in mind the first Psalm.\n\n    ABBOT--                     (_Turning over the leaves of the book._)\n               If\n    You thought more of the Gospels--\n\n    FATHER BENEDICT---(_Sarcastically._) As heathens do.\n\n    ABBOT--What is it to be a heathen? Is it not\n    To act unchristlike?\n\n    FATHER BENEDICT--     What is it to be a dog?\n\n    OSWALD--I did not say that Father was a--\n\n    FATHER BENEDICT--         What!\n    Just now you did confess--\n\n    OSWALD--           I said you spoke--\n    _Spoke_ as hunters--\n\n    FATHER BENEDICT--_That's a lie!_\n\n    ABBOT--          Benedict!\n    Be circumspect, lest in your anger you\n    Bay at him and turn that which you do scorn.\n\n    FATHER BENEDICT--I scorn the imputation which his pride\n    Popped at me. As though all the saints in heaven\n    Bowed down to him because the other night--\n\n        (_Turning away._)\n\n    Oh, but God hates the proud man!\n\n    ABBOT--        And, therefore,\n    Wisdom doth bid you keep an open ear\n    And leave the scroll of judgment still unsealed.\n    For how shall Mercy find the iron leaf?\n    Will Heaven's book be open if we close\n    Ours? When men cry to us, if we shut our ears,\n    We shut out Heaven's whispers. Oh, nothing--Of\n    all the deeds men do that vex the sky--Nothing\n    so rankles in the heart of God\n    As to see lips, fresh come from prayer for grace,\n    Refusing justice.\n\n        (_The Priest has walked forward at an angle from\n            the table and stands with his back to the\n            Abbot. Reaching under his gown, he draws a\n            dark string across his breast and begins,\n            seemingly, to untie a knot. The Abbot regards_\n            _him in silence._)\n\n           Will you hear him?\n\n    FATHER BENEDICT--(_Gruffly._)        Go on.\n\n    ABBOT--No, Benedict; do it dispassionately.\n    You say God hates the proud. So he does. Yet\n    Wrath is more perilous to a man than pride.\n    For while pride turns a man's face to the sky,\n    'Tis wrath that shoves him where the thunders fall.\n\n    FATHER BENEDICT--                              (_Under his breath._)\n    I'll drop some thunder on you.\n\n    ABBOT--                         Now, my son,\n    Speak as though angels heard you. 'Tis almost\n    Midnight, and the Sabbath draweth nigh.\n\n    OSWALD--                                          (_To the Priest._)\n    Father.\n\n    ABBOT--Do you hear?--He shuts his ears. Proceed.\n    Remembering that truth is God's own bread.\n    He hungers for it.\n\n    OSWALD--            Oh, I have not lied!\n    I did not say that Father was a dog.\n\n    ABBOT--I know you have not, Oswald. The three years\n    That you have been here never have been stained\n    With pride and falsehood. Those that now malign,\n    God knows where they shall go when the end comes.\n\n    OSWALD--I will explain just how it came about.\n    Then, if you think I have done Father wrong,\n    Tell me and let me do penance for it. I--\n    I will not be here long.\n\n    ABBOT--                  My son!\n\n    OSWALD--                          I feel\n    The darkness gathering round me.\n\n    ABBOT--                           Don't say that.\n    You will be well again. You will be strong\n    Some day, my son, and many years shall pass\n    Ere the Lord calls you. Hath he not given proof?\n    A shepherd to you, surely God hath been.\n    Three nights ago at this time, where were you?\n    Lying down in the gorge, and the night wind\n    Passed and you knew it not. But God watched there,\n    And sent his servant--for all things serve Him--And\n    here you are safe in the fold again.\n    That deed unclasped a volume of bright days.\n    God doth not put his hand forth and lift up\n    As he hath lifted you, and then cast down\n    Ere the knees be straightened. Your tears should fall\n    For joy, my son, not sorrow. Think how near\n    Your foot was to the gates of darkness when\n    God turned your face around and there flashed out\n    A jeweled finger pointing toward a dawn--Far\n    off it may be or it may be near--When\n    the last shred of darkness shall vanish.\n    Let those that hound you, fear, for God shall cleave\n    A chasm in the earth for them; but you--No,\n    no, my son, not darkness, light. God's light\n    And glory from the new Jerusalem\n    Will shine upon you on the mountain tops,\n    If dreams are tapers lighting what is to be,\n    As some believe they are.\n\n        (_The Priest reaches under his gown and takes\n            something in his right hand, and with the\n            other draws the string from around his neck\n            and drops it into his right hand, after which\n            he pulls the sleeve down over it till only the_\n            _knuckles are visible._)\n\n                              Therefore, my son,\n    Lift up your face and let white words go forth\n    And usher in the Sabbath. Truth in the heart\n    Is fire under water, but on the lips\n    It lighteth every man the Way of Life.\n\n        (_The Priest goes toward the chest near the door._)\n\n    Benedict, will you do as Pilate did?\n\n    FATHER BENEDICT--Is he the Lord?\n\n    ABBOT--             He is--\n\n    FATHER BENEDICT--                      Then who are you?\n\n    ABBOT--He is a child of our Lord's.\n\n    FATHER BENEDICT--                      So am I.\n\n    ABBOT--So you are, Benedict, a full grown child.\n\n    FATHER BENEDICT--Even if I don't pray here\n\n        (_With a disdainful motion toward the priedieu._)\n\n    ABBOT--                    A full grown child;\n    Large enough, one would think, to have slain the wolf\n    Of hate in you.\n\n        (_The Priest takes up the cloak from the chest and\n            begins to put it on._)\n\n                     Is it the truth you fear?              (_A pause._)\n    You dare to go out under the open sky\n    With hatred in your heart, a night like this?           (_A pause._)\n    If you go now I know the reason why.\n    You fear to lay your heart down here and let\n    The light shine on it with Oswald's, side by side.\n\n    OSWALD--                                           (_To the Abbot._)\n    Father--\n\n    FATHER BENEDICT--                             (_Over his shoulder._)\n                  Call a dog Father?\n\n    ABBOT--                      Benedict,\n    Exasperating beyond word in this\n    Conduct of yours. You come up here as one\n    Whose honor has been wounded, and you throw\n    Your charge down and when Oswald takes it up\n    To answer it, you will not hear him, but\n    You slink away. A travesty on man\n    Is he who has but one ear, and that filled\n    With his own voice.                                      (_Rising._)\n                          But I will settle this.\n\n        (_Lifting his hand._)\n\n    My son, I now absolve you from all--\n\n    FATHER BENEDICT--                               (_Turning quickly._)\n                                              Hold!\n\n        (_He pulls his cloak around so as to hide his right\n            hand, then comes forward._)\n\n    Your haste to wash his heart is evidence--\n\n    ABBOT--You tacitly admit your charge is false\n    By the eagerness--\n\n    FATHER BENEDICT--What are you talking of?\n\n    ABBOT--Your eagerness to get out in the dark.\n\n    FATHER BENEDICT--Who said that I was going?\n\n        (_To Oswald._)\n\n                                             Now then, you\n    Lay your heart down under the lamplight here,\n    And I will show a hunch-backed devil in it.\n\n    ABBOT--Tell us, my son, just how it came about.\n    Let truth spring out upon the table armed.\n\n        (_He resumes his seat._)\n\n    OSWALD--When Father spoke this morning of a chase,\n    A stag pursued by hounds and things like that,\n    I simply said that--\n\n    FATHER BENEDICT--\"_Simply_ said!\"\n\n    OSWALD--                              I said--\n\n    FATHER BENEDICT--I was one of the hounds, the talbot hound\n    That led the pack.\n\n    OSWALD--        Why, Father!\n\n    FATHER BENEDICT--                          (_Advancing toward him._)\n                                          You say that\n    A second time, and by the--\n\n    ABBOT--                   Benedict!\n    Sprinkled with eyes, a wheel of God's own car\n    Attends our brother. You would best beware.\n    You know God hath him circled round about\n    With that that shall uproot the steadfast hills.\n\n        (_Through the door, rear. Louis enters, carrying\n            a flagon and a silver cup, his face showing\n            terror. Seeing the Priest, he stops suddenly\n            as though amazed, then enters slowly._)\n\n    FATHER BENEDICT--I care not were he nine times circled\n    round,\n    As Hell is, I would--\n\n    ABBOT--                                        (_Lifting his hand._)\n                             Let me finish. Then,\n    If with eyes open you will venture on,\n    Do it. The night is wild. Heaven hath shaken down\n    Many a pine upon the mountain tops,\n    And steeples too, no doubt, and towns, who knows?\n    No man can tell what dawn shall look on. Even\n    This house of God--Hark how the thunders break!\n    The winds are playing havoc with the world\n    And Order frightened hath plunged into the sea.\n\n    LOUIS--The southern gable has been blown down.\n\n    ABBOT--(_After a look of surprise._) And\n    Thrice in the mossed chapel tower the bell\n    Hath rung, and no hand touched it; as it were\n    A tocsin to alarm the world that Hell\n    Hath landed. Though the seas be blown away\n    And the everlasting hills be tumbled down,\n    In summer calmness still the soul of man\n    Stands like a fortress, sure against assault\n    And terrible as a gorgon's head to Hell,\n    And adamant to all her engines. But\n    Let wrath break out inside, and crash! the gates\n    Are down.\n\n    FATHER BENEDICT--               (_Tapping himself upon his breast._)\n             And Hell comes in.\n\n    ABBOT--         And Hell goes in\n    And ravins there.\n\n    FATHER BENEDICT--In me.\n\n    ABBOT--             The lightning hath\n    No power to strike a tree while the blue sky\n    Bends over it. But let the wrath of Hell\n    Build up a cloud and fire it, and the tree\n    Falls shattered. But God calls the cloud away\n    And His winds blow it into nothingness.\n\n    FATHER BENEDICT--The tree is--?\n\n    ABBOT--                Oswald there. He stands secure.\n\n    FATHER BENEDICT--And the cloud--?\n\n    ABBOT--                    You. You blacken over him\n    And, charged with passion, make an atmosphere\n    Of sulphur and in it, as in native air,\n    Hell slips her flame and the trunk tumbles down\n    To darkness. But God calls the cloud away\n    To judgment, and its shadow is seen no more.\n    If you will venture further in your wrath,\n    Do it, for I have done. (_A pause._) Very well, then.\n    You may resume, my--\n\n    OSWALD--                I will undergo\n    Whatever ordeal Father may suggest;\n    Will walk hot irons or put my hand in fire\n    Or anything.\n\n    ABBOT--       You hear that, Benedict?\n\n    FATHER BENEDICT--He knows the Pope has banned the ordeal.\n\n        (_To Oswald with scorn._)\n\n                 Brave!\n\n    OSWALD--I call the saints--\n\n    FATHER BENEDICT--                                      (_To Louis._)\n                                  Do I look like a hound?\n\n    OSWALD--I said you _spoke_ as those that hunt--\n\n    FATHER BENEDICT--                       By that\n    Meaning that I should tarre them on him.\n\n    OSWALD--(_With a puzzled look._)       On\n    Me?\n\n    ABBOT--How did you come to say it, Oswald?\n\n    OSWALD--I grew up, Father, in a forest where\n    Men used to hunt, and I have often sat\n    In winter round their fires and heard them tell\n    Tales of the chase. And so when Father spoke\n    Of a chase my mind went back--\n\n    ABBOT--               Did you say this\n    After he told you of the hunter's dream?\n\n    OSWALD--Dream?\n\n    FATHER BENEDICT--_I_ told? I did not tell him.\n\n        (_Instantly the Abbot frowns silence at the\n            Priest._)\n\n                                                           Speak out.\n\n    ABBOT--_Non somnium venatoris._--\n\n    OSWALD--                        What dream?\n\n    PRIEST--                                         (_Contemptuously._)\n    As if he did not know it!\n\n    ABBOT--                                                (_Agitated._)\n                               _Ne--ne dic!_\n    _Non scit somnium._\n\n    PRIEST--                                  (_Opening wide his eyes._)\n                       That's the trick, then!\n    I'm to believe that, am I?\n\n    OSWALD--          Father, what--?\n\n    FATHER BENEDICT--I'll tell you what. The hunter--\n\n    ABBOT--                                          Benedict!\n\n    FATHER BENEDICT--If he don't know the dream, I'll tell him.\n    Macias saw a pack of--\n\n    ABBOT--(_Striking the table._) Will you stop?\n    _Eum ad insaniam adiges._\n\n    FATHER BENEDICT--Let it drive him mad.\n\n        (_As though provoked beyond expression, the Abbot\n            passes his hand across his brow and casts a\n            scornful glance toward the Priest._)\n\n    ABBOT--          Oswald, you go back\n    Into your cloister.\n\n    OSWALD--    Drive who mad, Father?\n\n    FATHER BENEDICT--You. The hunter saw the furious\n    hounds of Hell\n    Chasing you up a mountain, while a storm--\n\n    ABBOT--Benedict, God's curse--\n\n    FATHER BENEDICT--                On his enemies?\n\n    ABBOT--                                           On--\n\n    FATHER BENEDICT--                  (_Stretching out his right arm._)\n    On those that aid them?\n\n    ABBOT--        Yes, and on--\n\n    FATHER BENEDICT--              Him, then.\n\n        (_From his right hand he drops the silver crucifix\n            and, with the forefinger of his left, points\n            at Oswald. The latter starts, shrinking in\n            terror from the curse. The Abbot and Louis,\n            dumbfounded, stare wide-eyed at the crucifix_\n            _which dangles from its cord about the Priest's\n            finger. The latter, after regarding with an\n            expression of triumph the astonishment of the\n            Abbot, lets the crucifix fall to the table\n            and, reaching across to the other side, pulls\n            the flagon over to himself and proceeds to\n            pour out a cup of wine._)\n\n    You're a smart set. You've wormed your way around\n    To let him out of calling me a dog;\n    Now let him out of that. You've made it seem--\n\n        (_He sips the wine._)\n\n    ABBOT--Where did you find it?\n\n    FATHER BENEDICT--             To yourselves, no doubt,\n    That he was ignorant of the dream when he\n    Insinuated that I led the pack\n    That chased him.\n\n        (_After a sip of wine._)\n\n                      Or would lead it.\n\n    ABBOT--                    Where did you\n    Find it?\n\n    FATHER BENEDICT--Where do you suppose?\n\n    LOUIS--                                In the brook?\n\n    FATHER BENEDICT--A cauldron of hell-broth would be\n    nearer it. And you?                   (_The Abbot shakes his head._)\n    On his best-beloved.\n\n    LOUIS--       On Pierre?\n\n    FATHER BENEDICT--      On the dwarf.                  (_He drinks._)\n    Wages for his services, I suppose.\n\n        (_While the Priest drains the cup, the Abbot nods\n            to Louis, who steps quickly toward Oswald as\n            if to hurry him out._)\n\n    FATHER BENEDICT--Hold up! You let him stay.\n\n    OSWALD--(_Excitedly._)       You had no right--\n\n    FATHER BENEDICT--                              (_Lifting his hand._)\n    It's my turn to explain.              (_He begins to fill the cup._)\n\n    ABBOT--              Oswald, retire.\n\n    OSWALD--I want to clear myself.\n\n    FATHER BENEDICT--               _Clear!_ Let him stay.\n\n        (_Cup in hand, to the Abbot._)\n\n    After your pretty speech this morning I,\n    Reaching the village, found your monk, here, and\n    Jardin at swords' points. Some one had espied\n    The dwarf, it seems, in town. And the people,\n    Remembering what he did the other night,\n    Shouted, and the Bailiff's voice rang loud\n    For vengeance.\n\n    OSWALD--      But 'twas the boy--\n\n    LOUIS--                           You be still.\n\n    FATHER BENEDICT--Jardin proposed that they should burn him. He\n    Opposed it, fought it, he did. Just then I\n    Rode in. Jardin appealed to me, and I\n    Urged them to seize the devil. Then it was\n    This upstart here let loose his venomous,\n    Vile, hell-suggested intimation that\n    I had turned hound.\n\n    OSWALD--            I did not--\n\n    FATHER BENEDICT--               Not a word.\n    The upshot of it all was--Ah, but God\n    Will pour his wrath out on your head for this!\n    In view of what then happened, I now call\n    This night, this midnight hour, and wake up God\n    To witness that these mountains shall be cleared\n    Of heathen; that the dews of heaven shall fall\n    Baptizing bodies of the unbaptized\n    Stiff among the wild-flowers. For this young week,\n    That in this storm hath stepped upon the world,\n    Shall see a storm more terrible than this\n    On mountain tops uprooting human trees\n    And choking Death and Hell and Darkness.\n    Or let the infant Sabbath, born this hour,\n    Put not a foot on earth, but like a bird\n    Wander upon the winds, and in the dark\n    Grope for the morning star and find it not.\n    Let the gates of the morning be shut and let no bell\n    Wake up the world, unless it wake to see\n    Death ravining on the mountains and white Faith\n    Painting her banners there in heathen blood.\n    But Mercy shall be shut up in the caves,\n    For this accursed deed shall be tracked down,\n    And Vengeance ranging like a wild beast--Thou,\n    Above these maddening winds that wreck this world,\n    Hear me, _hear me_, HEAR ME. Thou in heaven!\n\n        (_Out of breath._)\n\n    And you--and you who caused all this, may God--\n\n    ABBOT--Benedict!\n\n    FATHER BENEDICT--But let God have his--\n\n              (_He swallows the wine._)       His will.\n    And he will have it, mark you that, young man.\n\n        (_To the Abbot._)\n\n    Strange are the ways God hath of rousing up\n    The slothful to a work he long since laid\n    Upon the world and the world shirked it. But\n    It shall be done now, _it shall be done now_.\n    If for three years the heathen on the heights\n    Have served their idols, in less than three days\n    Their idols and themselves shall be in Hell.\n    Lead the chase yonder, Father, lead it there!\n    Beneath _them_ shake the mountains. Let this hand\n    Strike for Thee there, and serve Thee, striking them,\n    That this accursed deed may smell no more,\n    A putrid carcass rotting under heaven.\n    This is how God hath roused us up at last.\n\n        (_He drains the cup and sets it down._)\n\n    My people armed with vengeance had swung down\n    And reached the bridge, and Jardin, valiant man,\n    Soldier of God, Knight Templar of the Cross,\n    Who in the heathen land fought for ten years\n    To stamp out Satan, even in his old age\n    A furnace burning with the breath of God\n    And firing those about him to the work\n    Of ridding these mountains of the heathen, he--May\n    God reward him for it in the world\n    Without end, Amen--he had grabbed the dwarf\n    To drag him off and burn him--\n\n    OSWALD--                       It was wrong--\n\n    FATHER BENEDICT--His blood is on your hands.\n\n    OSWALD--(_Frantically._)        You murdered him!\n    You had no cause to kill him.\n\n    FATHER BENEDICT--     _I!_. Hear that.\n\n    OSWALD--The boy had done no harm. The night I fell\n    'Twas he who--\n\n    LOUIS--(_Seizing him._) Will you hush?\n\n    ABBOT--(_White with fear._)            Oswald, retire.\n    Your fever--you're excited. (_Rising._) Benedict,\n    Don't press this matter further--now.\n\n    FATHER BENEDICT--(_Bewildered._) The _boy_!\n\n    ABBOT--Louis, take him--\n\n    FATHER BENEDICT--        No cause to kill the _boy_!\n\n    OSWALD--He--\n\n    LOUIS--       Father has forbidden it.\n\n    FATHER BENEDICT--                      Um-hm!\n    I think I see--I think--I think I see.\n\n    ABBOT--What?\n\n    FATHER BENEDICT--So he told you it was the dwarf, eh?\n\n    LOUIS--\n\n        (_All the while shoving Oswald toward the rear_\n            _door._)\n\n    Just his imagination Father. I--\n    I was the one who found him at the gate.\n    He knew no more about it than a stone.\n    'Twas night; the stars were shooting in the--\n\n    FATHER BENEDICT--                              When?\n\n    LOUIS--When he was brought up. Why he--\n\n    ABBOT--(_Quickly._)                       Louis!\n      (_Searching the Priest's face._)                 You asked\n    If he told us--?\n\n    FATHER BENEDICT--It was the dwarf was killed.\n\n    ABBOT--He told us that you had burned him.\n\n    FATHER BENEDICT--(_Fiercely to Oswald._) God shall burn\n    You, griffon, son of Tophet, damned thing!\n\n        (_Terrified at the dark in the corridor and with\n            a wild expression upon his face, Oswald\n            clutches hysterically at the door jambs._)\n\n    OSWALD--No, no, no, no! (_Piteously, as he is shoved along_\n    _through the hall._) Father, Father!\n\n    FATHER BENEDICT--                  Call Hell!\n    I pray to God--\n\n    ABBOT--         Breathe no curse, Benedict.\n    I will inquire into this affair.\n    If he hath done aught culpable--\n\n    FATHER BENEDICT--                 _If! If!_\n\n    ABBOT--If he hath spoken unbecomingly--\n\n    FATHER BENEDICT--Is Jardin's life then nothing? I suppose\n    Not, to you.            (_He turns and goes toward the door, left._)\n\n    ABBOT--   What?\n\n    FATHER BENEDICT--   I suppose not, to you.\n\n    ABBOT--You mean to say--\n\n    FATHER BENEDICT--         Go your way; I go mine.\n\n    ABBOT--To say the dwarf killed--\n\n    FATHER BENEDICT--                You have espoused the cause\n    of the guilty.\n\n    ABBOT--         Of the guilty? _I_ espoused?\n\n        (_Following with the light_.)\n\n    Don't tell me Oswald had a hand in this.\n    Benedict, this is pure malignity.\n\n    FATHER BENEDICT--And no mouth in it, either, I suppose.\n\n    ABBOT--You mean he instigated this attack?\n\n    FATHER BENEDICT--\n\n        (_At the door, buckling his cloak about him_.)\n\n    Go your way; I go mine.\n\n    ABBOT--                 I don't believe it.\n    I don't believe it. It smacks too like the charge\n    That he called you a dog. If you can prove\n    That any word of his caused Jardin's death,\n    I will attend to him.\n\n    FATHER BENEDICT--By cursing me.\n\n    ABBOT--You know why I--\n\n    FATHER BENEDICT--        You needn't apologize.\n\n    ABBOT--You, Benedict, not I, are needing grace.\n    You have assailed a child of God, and you\n    Know what our Lord said: \"'Twere better a mill-stone\n    Were hanged about his neck and he were flung\n    Into the sea, than offend one of these.\"\n    You even seemed to take delight, to relish\n    Harrowing his soul up with the hunter's dream\n    And breaching it for horror to peep through.\n\n    FATHER BENEDICT--You wait.\n\n        (_He reaches down behind the chest_.)\n\n    ABBOT--                     God will hold you responsible\n    If anything should happen to him.\n\n    FATHER BENEDICT--                You\n    Take care he does not visit you.\n\n    ABBOT--                          Just now\n    You said yourself that it was you who urged\n    Jardin to seize the dwarf.\n\n    FATHER BENEDICT--          And so I did.\n\n    ABBOT--Whose fault is it if the dwarf killed him, then?\n\n    FATHER BENEDICT--We will let God decide whose fault--\n        Move this.\n\n    ABBOT--                    (_Setting the lamp down upon the floor._)\n    You even said Oswald opposed it, and\n    For that just now you blamed him.\n\n    FATHER BENEDICT--                 You think you\n    Understand everything. You _think_ you do.\n\n        (_They pull the chest from the wall._)\n\n    ABBOT--Then tell me.\n\n    FATHER BENEDICT--           (_Reaching down and getting his staff._)\n                         The dwarf did not kill him.\n\n    ABBOT--                                 How?\n    Is he not dead?\n\n    FATHER BENEDICT--By this time, he may be.\n\n    ABBOT--I still don't see where Oswald's fault comes in.\n\n        (_He takes up the lamp._)\n\n    FATHER BENEDICT--We will let God decide whose fault it is.\n\n        (_He goes out._)\n\n    ABBOT--How did it happen?\n\n    FATHER BENEDICT--God was there; ask him.\n\n        (_Louis reappears._)\n\n    ABBOT--Stay, Benedict, tell me explicitly--\n\n    FATHER BENEDICT--\n    This is the last time you will see me here.\n\n    ABBOT--Eh?                     (_Holding the light above his head._)\n               What do you propose to do?\n\n    FATHER BENEDICT--                    You wait.\n\n    ABBOT--I fear for you, unless you quench your wrath.\n\n        (_A moment later, he turns back._)\n\n    LOUIS--Again safe.\n\n    ABBOT--            Barely.\n\n    LOUIS--                    What was that he said?\n    The last time he would come here?\n\n    ABBOT--                           I hope so.            (_Thunder._)\n\n    LOUIS--And don't let Oswald--\n\n    ABBOT--                      Close tight the shutters.\n\n    LOUIS--And don't let Oswald go down there again.\n    We would be risking all that we have gained.\n    The brothers, begging in the town to-day,\n    Brought in four hundred franks, a silver cup,\n    Three rings, a pair of bracelets, and a pearl\n    Big as a pea.\n\n    ABBOT--       A very good day's work.\n\n    LOUIS--If this keeps up, the chest won't hold it all.\n\n    ABBOT--                 (_Suddenly, glancing about upon the table._)\n    Benedict--did he take--the crucifix?\n\n    LOUIS--                                           (_At the window._)\n    Oswald took it.--Do you think Benedict\n    Found it where he said he--\n\n    ABBOT--(_Aghast._)           Oswald!\n\n    LOUIS--                            Why?\n\n    ABBOT--The hunter saw it blood-stained in his dream.\n\n        (_A gust of wind blows out the light in his hand._)\n\n    LOUIS--Perhaps it got blood on it when he fell.\n    Benedict may have washed it off. I thought\n    It might help quiet him. Shall I get it?\n\n    ABBOT--                No;\n    You may be right.\n\n    LOUIS--           Still, if you think--\n\n    ABBOT--                                 You fetch--\n    I'll take the lamp and cup; you fetch the wine.\n    I will have Pierre watch with him to-night.\n\n        (_Louis turns back to the window. The Abbot\n            relights his lamp at the little taper in the\n            wall and then goes left._)\n\n    LOUIS--By the way, Father, old Andrew has gone mad.\n    The storm has blown his mind's last spark out. Yes;\n    He tried to take the bracelets from Luigi\n    And would have dragged the chest out.\n\n    ABBOT--                               And did he?\n\n    LOUIS--                                           No;\n    But it was all that four of us could do\n    To hold him. He is on the seas again,\n    And peers abroad and swears he sees great ships--\n\n        (_Out in the storm is heard the booming of a bell.\n            They listen. Louis crosses himself and\n            mutters._)\n\n    _Sed libera nos a malo._ Father--      (_The Abbot lifts his hand._)\n                                    What\n    Do you think it means?                                  (_A pause._)\n\n    ABBOT--                Come to my room.\n\n                (_To himself, as he goes left._)           If\n    The etherial gods, as the wise poet says,\n    Dwell afar off and in the affairs of men\n    Interfere not, our domes shall rise yet.\n                          (_Turning._)         Louis,\n    Bring the scroll.\n\n    LOUIS--           Which?\n\n    ABBOT--                  Lucretius. On the floor.\n\n        (_In the doorway he stops and listens as for the\n            bell. As he goes out._) If.\n\n        (_Louis takes up the parchment which lies upon the_\n            _floor near the Abbot's chair and, going to the\n            rear door, shuts it and slides the bolt. He\n            then blows out the taper in the wall._)\n\n    LOUIS--                                               (_Listening._)\n        The witches have their way in heaven to-night.\n\n        (_He comes to the table and, taking up the flagon,\n            goes out, left._)\n\n\n    _SCENE THREE--The court yard of the abbey, as in Scene Three\n      of the Second Act. A storm is heard roaring through the\n      mountains, with an occasional rumble of thunder and in the\n      darkness sudden luster as of lightning far off. In these\n      flashes, the scene gleams wet as after a hard rain._\n\n    _From the right, comes a faint sound as of a stick tapping on_\n      _stone, and soon along the side of the dormitory old Andrew_\n      _appears, carrying a staff with which he is feeling his way\n      through the darkness._\n\n    ANDREW--Here a black squall, sou'-wester, south-south-west.\n    Star--star gone! Where's the pole?\n                      (_Shouting._)      Furl the main, lads!\n    On she spins, whirling past world on world. Hip!\n    Feel her--feel her heave! (_Shouting._) Take in the mizzen!\n    A thousand thousand fathoms down, the moon\n    Shines like a fish.                  (_He peers around the corner._)\n                        Black as--Hear the masts crack.\n    Watch Alvinach! Watch for the ninth wave, lads!\n\n        (_Lightning._)\n\n    Put out that broom! You'll have the witches here.\n    Mother, they've burnt the baby!--Hya! Lie down.\n\n        (_He walks out in the court._)\n\n    Here's a night, God bless us! Here's a gale\n    To make the sea-girls sing. Scylla! Carribee!\n    Shake your dead bones! Shake 'em and sing! Blow, then.\n    Growl, Scylla! Growl, ocean-bitch, bark and growl!\n    Now, Carribee, whirl! Shake the big gulf and slush!\n    Gulp down the worlds with stars and moons and moons!\n\n        (_Lightning._)\n\n    Yip, there they go! Suck 'em down! suck 'em down!\n    Arcturus down! Down Cancer! down the Scales!\n    Whirled into the pit! Weigh the devils, Scales!\n    Weigh the big Serpent! Weigh Beelzebub!\n    Hands ahelm! Ahull, boys! Lash her to the lea!\n    Lash her to the lea! Splinters! Watch out, lads!\n    Saint Telme! Saint Telme! Hold the gunnel there!\n\n        (_The bell sounds in the chapel tower._)\n\n    Who's dead? Who's dead, i' the Devil's name?\n    Fetch me those rings. Now throw him overboard.\n    Scrub these stains, Luigi. Keep the dog back there.\n    This gold will glitter on the Judgment Day.\n    I hear you whispering, scoundrels!--Hya! Lie down.\n\n        (_He walks back, singing._)\n\n              _There's wind up in her pitch-black flag;_\n              _There's foam around her keel._\n\n    Now we're scudding. Right through the Dipper--\n\n        (_Lightning._) Ahoy!\n\n    Elmo! Elmo! Light up! light up, man!\n    Argo's to the larboard! Signal her! Ahoy!\n    Ship ahoy, Cap! Ship ahoy! Ship full of gold!\n    She's whirling south! Man the boats! Lay to! lay to!\n    Here's a squall winks at the pirates, lads!\n    Mount her, hardies! Break her hatches! Gold under 'em.\n\n        (_Singing._)\n\n            _There's foam up in her pitch-black flag;_\n            _There's wind around her keel...._             (_Shouting._)\n\n    Watch Alvinach, though! Keep the lantern dry!\n\n        (_He stops and listens._)\n\n    I hear you whispering, scoundrels!---Hya! Lie down.\n    Who said so? Louis lied. Stand back, I say!\n    Four on an old man! Dogs! Let go my hair!\n\n        (_A loud clap of thunder._)\n\n    The shrouds break now, God bless us! here's a wind\n    Will blow us far off to the Pleiades\n    And swamp us.                                         (_Lightning._)\n                  That was the Bear went by. And\n    Virgo has sunk here jewels in the south.\n    Sink 'em deep, girl! Pirates abroad.--What's this?\n\n        (_Calling down._)\n\n    Got it, boys? Got the gold? See it, see it shine!\n    Throw your cloak over it. Don't let God see this.\n    Ho, Prester John! sailing among the stars?\n    Here's your chest, John! Here's your sparklers! Where is he?\n    Where is he, boys? Throw the king overboard?\n    Pitched him to Plato on his big fork, eh?\n    _Odi Persicos._ Like their gold, though. Up,\n    Up with it, lads. Heave, now. Chest broken open.\n    Leak, gold, leak, leak! Here's your spring, Crashus!\n    Here, Jew! here you can cool your tongue!\n    Traders, drink! Drink, worms! Pigs! Pastors! Devils!\n    Drink, drink! Everything drink!\n                (_Stooping down._)    Here's a dead man's ring.\n    Finger's in the coral. Bracelets and gems.\n    Topaz from Tartary. Emeralds from the East.\n    Garnets. Eh? Garter-buckles!                      (_Reproachfully._)\n                                 Lads! lads!\n\n        (_A glare of lightning reveals him with his hand\n            close to his eyes._)\n\n                                               \"From Carlos.\"\n    Chloe's gone bathing, Carlos. Turned cold nymph.\n    Let go! Let go, I say! Androphanes!\n    Strike him, Juba! Slash him with the broad-sword!\n    You hand that back here, then. Hell-dog.\n    Here's a widow's mite; bought a monk's prayer.\n    Flip it into the sea.\n                          Judas! here you are!              (_Thunder._)\n    Rumble on! Growl and growl! Who cares for Heaven now?\n    Rain or not rain. We can fight, too, old boy.\n    Wipe your lips, Scariot. Take the chamois bag.\n    There's thirty-two. Off with you.--Wallets! Old coin!\n    Rich man, miser, knave! Sick, eh? Quick, your gold!\n    Take it to the priest, then you can jump\n    Right through the needle's eye.\n\n        (_He gets down upon his knees._) Well, God bless\n            us!\n\n    Sacked the sea-king's coffers. See the pearls!\n    Crescents and ear-bobs. Here's a brooch fine as\n    Sparkles on Memnon's sister. What's this clammy thing?\n    Cold, bloody hand! Hand with a locket in it!\n    _Un_lock it. Ho! picture, eh? Say mamma, baby!\n    Mamma's in the sea-weed. That's a foul deed.\n    Throw your cloak over it. Don't let God see this.\n\n        (_Calling up._)\n\n    Who's there? (_Rising._) Who calls Andrew? Stand down on the ground.\n    The lid _is_ off. (_Stooping._) Parchment deeds, eh? I. X.\n    If Andrew's Andrew, then I. X. is eleven.\n    What shines? Silver.                                    (_A pause._)\n                         Monk's cross.                      (_A pause._)\n                                  Wet.           (_Flash of lightning._)\n                                       Red!             (_With horror._)\n                                            Lads! lads!\n    We'll sink for this, God bless us! Pretty muss!\n    Who daubed it? (_Thunder._) Hear that. Horror in the dark\n    Doffs his big plume at this. And up there--Here!\n    Wash it! wash it in the sea! In with the chest, lads!\n    Murder like a foam-bird dashed upon the prow\n    Shakes her red wings. And there--Look!                 (_Shouting._)\n                                           Wash it clean!\n    Heaven's golden scales are rising from the deep!\n    Off! lay her--lay her off, lads! They'll weigh us!\n\n        (_A sharp flash of lightning. Andrew is seen with\n            his left hand up beside his head, which is\n            drawn down, backing fearfully through the\n            door into the dormitory. The thunder rumbling\n            in the darkness sounds like the growl of an\n            enormous wild beast._)\n\n\n\n\nACT FIVE.\n\n\n    _SCENE ONE--A street in the village. Low thatched cottages,_\n      _with deep, wide eaves overhanging the street, stand in a\n      dark mass. To the left, a little way from the others and\n      back a few paces from the street, is a small house, the_\n      _home of Jardin. Through a window in the room on the right\n      side comes a faint light as from a low-burning lamp. To the\n      left of the window, one feels that there is a door, though,\n      either on account of intervening bushes or perhaps because\n      of a porch that makes it darker there, one does not see\n      it. Out in the yard where the light from the window falls\n      upon the bushes near the casement, the glistening of the\n      leaves shows that it has been raining. The windows of the\n      other houses, like vacant eyes under deep brows, are dark,\n      and there are no signs of life anywhere. Over the roofs and\n      through the great trees that rise up behind them flows a\n      greyness that emphasizes the quiet of the hour. About the\n      street lie several limbs that were broken off by the storm\n      during the night._\n\n    _TIME--Sunday morning. Day is just beginning to break._\n\n    A CRY--             (_Far to the left, full or terror and anguish._)\n    Haro! Haro!                                      (_Drawing nearer._)\n                Wake, people! Help, oh, help!\n\n        (_After a pause._)\n\n    Will no one hear? Will no one hear?                     (_Near by._)\n    O men of God! Dear men of God! (_A pause._) Oh, run,\n    Run to the mountains, men!\n\n        (_Pierre enters half on a run, breathless. There is\n            a wild light in his eyes and his thin frame\n            is shaken with sobs._)\n\n    Oh! Oh! Oh! Oh! Oh!\n\n        (_He glances toward the lighted window as though in\n            doubt whether or not to rouse the inmates of\n            the house. Then, as though to make up even\n            for the moment he has lost, he hurries along\n            the goes out, right._)\n\n    People! Christian people!\n\n        (_The light in the window grows dimmer and suddenly\n            disappears, leaving the house in total\n            darkness._)\n\n                            Will no one hear?\n    Will no one hear? Wake! Oh, wake!               (_In the distance._)\n                                      Haro!\n\n    VOICE--                                             (_To the left._)\n    Jules!\n\n    SECOND VOICE--(_Nearer._) Ho?\n\n    FIRST VOICE--               Who is it?\n\n    SECOND VOICE--                         Some brother.\n\n                                   (_Jules Bacqueur enters._)   Pierre.\n\n    FIRST VOICE--                                 The abbey's\n    Blown down, perhaps.\n\n    HUGH CAPET--(_Entering._) Where are all the people?\n\n    JULES BACQUEUR--At special mass for Jardin.\n\n        (_He glances back toward the house where, at\n            that moment, the door opens and the light\n            appears._)\n\n    HUGH CAPET--(_Hurrying on after Pierre._) Come on.\n\n    JULES BACQUEUR--                                 Wait.\n    Let's hear how the Bailiff is.\n\n        (_Hugh Capet returns to the corner of the cottages\n            that are flush with the street and the men\n            look back to where two figures, one after\n            the other, appear in the lighted doorway\n            of Jardin's house, a man who comes out and_\n            _an old woman with a white cap on who carries\n            a small lamp. A little later the door is\n            closed._)\n\n    HUGH CAPET--          Who is it, Jacques?\n\n    JULES BACQUEUR--He spent the night there.\n\n    HUGH CAPET--                       What a night it was!\n    Just see these limbs.\n\n    JULES BACQUEUR--   And there's some fellow's hat.\n\n    HUGH CAPET--The roof's off Pirot's barn, and Lisette--\n\n    JULES BACQUEUR--                                       Here.\n\n        (_He comes forward to the edge of the street._)\n\n    HUGH CAPET--                                      (_Following him._)\n    And Lisette found a big bird in her yard\n    With a broken wing, blown in here miles and miles,\n    From the Holy Land or Joppa or some sea.\n\n    JULES BACQUEUR--                                 (_Pointing right._)\n    Look at those yew trees in the church yard there.\n    Bless God, they've pulled up dead mens' skulls.         (_A pause._)\n\n    HUGH CAPET--And those men there--?\n\n    BACQUEUR--                         Are filling up the graves.\n    And where's the cross?                                  (_A pause._)\n\n    HUGH CAPET--           Not on the steeple? Say,\n    That monk--There's something up. When dead men's bones\n    Are thundered over in the night, and graves\n    Ungorge like that with wind, strange birds, and things--\n\n    VOICE--                                                    (_Left._)\n    Who is that shouting?\n\n    HUGH CAPET--          Don't know.\n\n    BACQUEUR--                        How's Jardin?\n\n    JACQUES--(_Entering._)                            Eh?\n\n    HUGH CAPET--He didn't hear you.\n\n    JACQUES--                       What's he shouting for?\n\n    BACQUEUR--The storm tore up the dead last night.\n\n    HUGH CAPET--                                     The abbey's\n    Blown down, perhaps, or-- Come on. Hurry, men.\n\n    BACQUEUR--How is the Bailiff?                   (_Distant thunder._)\n\n    HUGH CAPET---                                (_Hurrying out right._)\n                                  Going to have another'n.\n\n    JACQUES--The soldier had a bad night. In his fever\n    He picks the sheets, mumbling: \"Saints, send him down,\"\n    And: \"Listen, men!\" and things like that. And once,\n    Jumps him clean out of bed and cries out: \"There!\"\n    As he had run the woodman through and through,\n    And wipes his sword like on his pants, and then,\n    As though he felt his wound, falls back and pop!\n    The wind or something blows the light out and\n    We hear the banshee singing in the storm,\n    Wild--wild. I fear the bell with toll 'fore night.\n\n        (_They go out._)\n\n\n    _SCENE TWO--The open space in front of the church. In the\n      corner of the fence, left, the top of the poplar tree,_\n      _broken off by the wind during the night, hangs out in the_\n      _street almost brushing the ground. To the right of the_\n      _steps is a large wooden cross which was blown from the_\n      _steeple. It lies sidewise, hazing been split off at the\n      bottom. The gate into the church yard is slightly ajar, as_\n      _though some one had lately passed through, and against the\n      dark grass the taller of the white grave markers lean as\n      though the wind had been among them. Over the low fences\n      where one looks back into the church yard on the one side\n      and into an open space on the other, is seen yellow light\n      from the side windows of the church, pouring out into the\n      gloom. From within, comes the sound of the service._\n\n    CONGREGATION--His spear was lifted over Acre, Lord,\n    And his right arm hath made the heathen quail.\n\n    FATHER BENEDICT--And he hath spread thy glory through the East.\n\n    CONGREGATION--And he hath spread thy glory through the East.\n\n    FATHER BENEDICT--Let not the flags be draped that fluttered high\n    Above the strongholds of the Infidel.\n\n    CONGREGATION--Let not the flags be draped that fluttered high\n    Above the strongholds of the Infidel.\n\n    FATHER BENEDICT--Let not the scorners from the mountain tops\n    Look down and see the dark procession go;\n    But lift him up and lift up trembling, Lord.\n\n    CONGREGATION--Let not the scorners from the mountain tops\n    Look down and see the dark procession go;\n    But lift him up and lift up trembling, Lord.\n\n    FATHER BENEDICT--Keep death off, Lord, until the gates of death\n    Receive the accursed hand that laid him low.\n\n    CONGREGATION--Keep death off, Lord, until the gates of death\n    Receive the accursed hand that laid him low.\n\n    FATHER BENEDICT--Let not thine enemies triumph over thee.\n    Thunder it, brethren, so that God may hear.\n\n    CONGREGATION--Let not thine enemies triumph over thee.\n\n    FATHER BENEDICT--The mountains are afraid of thee, O Lord.\n    Shake their wild tops and shake the heathen down.\n\n    CONGREGATION--The mountains are afraid of thee, O Lord.\n    Shake their wild tops and shake the heathen down.\n\n    FATHER BENEDICT--So shall thy Church with loud hosannas ring.\n\n    CONGREGATION--So shall thy Church with loud hosannas ring.\n\n    FATHER BENEDICT--World without end.\n\n    CONGREGATION--                       World without end.\n\n    FATHER BENEDICT--                                        Amen.\n\n    PIERRE--(_Far to the left._) Haro! haro!\n\n    FATHER BENEDICT--Accept, O eternal Father, the offering that is\n    here made to Thee by Thy minister, in the name of us all here\n    present. It is as yet only bread and wine, but by a miracle of\n    Thy power and grace will shortly become the body and blood--\n\n    PIERRE--(_Drawing nearer._) Help, help! Oh, help!\n\n    FATHER BENEDICT--(_After a pause, as though he had heard the cry._)\n\n    --the body and blood of Thy beloved Son. He is our high priest\n    and He is our victim. By Him and--\n\n    PIERRE--O men of God! Dear men of God!\n\n        (_There is a hush in the church._)\n\n    _Will_ you not help? _Will_ you not--\n\n        (_He enters with his hands to his head, fearful\n            lest he has disturbed the service._)\n\n    FATHER BENEDICT--                                      (_Resuming._)\n    He is our high priest and He is our victim.\n\n        (_Pierre throws himself down upon the steps,\n            sobbing._)\n\n                                                 By Him and through\n    Him, we desire to approach--Sit down, men!              (_A pause._)\n    Women! Men! Sit down!\n\n        (_The noise in the church increases._)\n\n    A VOICE--             Sit down, brethren!\n    Don't desecrate the Lord's house!\n\n    FATHER BENEDICT--(_Shouting._) You hear me?\n\n    A WOMAN'S VOICE--Husband!\n\n    FATHER BENEDICT--(_Enraged._) Malediction!\n\n        (_The church door is jerked open, and the people\n            come pouring out with anxious faces lest\n            something terrible has happened. Back in the\n            church, above the heads of the people, is\n            seen the altar ablaze with lights, and high_\n            _behind it a colossal cross with a beautiful\n            carven Christ upon it. The wound in the side\n            shows red and over the thorn-crowned brow\n            is an arch bearing in golden letters the\n            inscription: FORGIVE THEM FOR THEY KNOW NOT\n            WHAT THEY--The DO has never been put on._)\n\n    PIERRE--                           (_Staggering up from the steps._)\n    Run, run to the mountains, men!\n    Quick! quick!\n    They're dragging him off! They're dragging him off!\n    O run, run, run, run, run!\n\n    CRIES--What--where--who is it?\n\n    PIERRE--Yonder! yonder!\n    Oh, get torches,\n    Get torches and run\n    And kindle fires on the mountain tops\n    So he may see his way!\n    No, that won't help! Oh, that won't help!\n    But he can hear, though!\n    Call, call to him!\n    Search all the places where the blind may be!\n    Run shouting \"Oswald! Oswald!\" through the woods!\n    Find him, oh, find him before Satan comes!\n    Before the storm breaks!\n    They'll track him by the blood drops!\n    They'll tear his body on the mountains!\n    O men, dear men--              (_A clap of thunder. Pierre dodges._)\n    What--what was that?\n    Oh, God said something! God said something!\n\n        (_Pointing up at the sky._)\n\n    He knows! He knows!\n    Lord Jesus knows that it was not his fault!\n    And He will pay--oh, He will bless you, men!\n    Do, do, do run!\n\n    FATHER BENEDICT--Make way!\n\n    PIERRE--O Father! Father!\n\n        (_In his snow-white chasuble, the priest appears\n            pushing his way through the throng about the\n            door. In his hand he has a silver communion\n            plate with the bread upon it._)\n\n    FATHER BENEDICT--Why all this clamor?\n    This is the Sabbath and the hour of mass.\n\n    PIERRE--It's done! It's done!\n\n    FATHER BENEDICT--                          (_Descending the steps._)\n    How dare you cry out on this holy morn?\n\n    PIERRE--Oh, last night, Father, last night in the dark\n    White angels, oh, white angels in the storm--It\n    tore their wings and blew them from the sky,\n    And then--and then--O father, then the fiends--He\n    saw them in the stones and--screamed and--Oh,\n    They did a deed of horror in the dark!\n\n        (_He presses his hands into his eyes as if to\n            shut out the sight of it._)\n\n    Oh! Oh! Oh!\n\n    FATHER BENEDICT--What is this?\n\n    PIERRE--                                    (_Bending up and down._)\n    Oh! Oh! Oh!\n\n    FATHER BENEDICT--Pierre!                                (_A pause._)\n                                 Pierre, if Hell hath done\n    Some wild deed in the night, be sure that God\n    Will right it.\n\n    PIERRE--Will He, oh, will He, Father, make him to see--\n    See the blue sky again?\n\n    FATHER BENEDICT--Who is it Hell hath blinded in the night?\n\n    PIERRE--                    (_With his hands to his eyes, sobbing._)\n    Brother--brother--\n\n    FATHER BENEDICT--Pierre!\n\n    PIERRE--O, Oswald! Oswald!\n\n        (_With a cry, Madam Bacqueur falls fainting upon\n            the steps. The women about her take her child\n            from her arms and support her back into the\n            church. The crowd stands silent._)\n\n    PIERRE--                                    (_Bending up and down._)\n    Say something! say something!\n\n    FATHER BENEDICT--                               (_Almost overcome._)\n    Can this be true? Can this be true, Pierre?\n\n    PIERRE--Oh! Oh! Oh!\n\n    FATHER BENEDICT--Swift fly the avenging angels from the Throne.\n    Guilt like a red cloud passes from the sky,\n    And day looks in and sees where eyes have been.\n\n    PIERRE--                        (_As though his heart would break._)\n    Brother! brother! brother!\n\n    FATHER BENEDICT--_Praise be to God!_\n    The tempest shaketh showers upon the grass;\n    The storm wind cooleth the low violet;\n    But the proud pine I shatter, saith the Lord.\n    He shall go down and toss his boughs in hell.\n    The coffin-worm shall slime him. He shall not\n    Mock me upon the mountains, saith the Lord.\n    _Praise be to God!_\n\n        (_Pierre glances up at the priest and then, as from\n            something infernal, falls flat and hides his\n            face against the ground._)\n\n    The lights are out in Babylon the Proud,\n    And the Lord God in blackness sitteth there\n    Among the ruins, dealing judgment.\n\n        (_The rising wind blows shut the door of the\n            church and leaves the scene enveloped in the\n            half-light of early morning._)\n\n    My scales are hung in heaven, saith the Lord.\n    I weigh them in the darkness of the night.\n    They balance with the Dragon on one side.\n    _Glory be to God in the highest!_\n\n        (_Shouting off demoniacally in the direction of the\n            abbey._)\n\n    Lift up thy head, O Lucifer, in hell,\n    And see what God hath written on the sky\n    In letters that burn through thy broken panes.\n\n        (_With his finger as though tracing the letters._)\n\n    \"Weighed and found wanting!\n    I am the Lord God.\n    In Me the moon goes down; in Me the sun\n    Rises; I am the night and day.\n    If over any man a light break forth\n    And make his brow bright, let him not think\n    It shines for him alone, and be puffed up\n    Because of it, and speak\n    Bitterly, saying: 'See what pure prayers can do.'\n    For when his lungs are empty, saith the Lord,\n    Then I will give him flesh unto the dogs.\n    I will put out the light that kindles pride,\n    Saith the Lord God, and with the light the eyes.\" (_In a wild chant._)\n    _Praise be to God who doeth all things well._\n    Shinar hath seen the glory of the Lord.\n    Nimrod, who piled up Babel to the stars,\n    Lies sprawling under it, and the thunders laugh.\n\n        (_Shouting in the direction of the abbey._)\n\n    Who lieth under Babel?--Up, Pierre;\n    I have a message. Rise, for you\n    Must bear it to your sainted abbot.\n\n        (_Pierre rises and, with his head thrown back and\n            his hands covering his face, without waiting,\n            goes straight out, left._)\n\n    \"Benedict to his brother in Christ,\n    Greeting:\n    Who lieth under Babel? You were right\n    In saying that the storm would shake the world.\n    It hath indeed played havoc. Certain trees\n    In the churchyard tore the graves up, and the dead\n    Have shaken roofs and spires in the town.\n    We lost our cross.\n    I hear you, too, lost somewhat. Gables though\n    Can be repaired.\n    We should both thank our Lord he hath not let\n    A lamb he careth for be scathed.\n    Who lieth under Babel?\"\n\n        (_Coming out in the street and shouting after\n            Pierre._)\n\n    And to the brother, the dear ward of God,\n    Convey felicitations!\n    Ask him to\n    Tell you the color of the abbot's hair\n    This morning.\n    Wake him!\n    Say:\n    \"The stars are flying in and out the clouds;\n    The mountain tops are tinging;\n    Night passes;\n    Rouse up, and behold the Dawn\n    Pouring her beautiful gold upon the world!\"\n    Tell him to\n    Run down and see the print the bishop John\n    Sent me from Rome.\n    Blind Samson's head, who pulled the pillars down,\n    Under a dog's paws in the Gaza streets.\n    And in his car, as a salutation for the Sabbath,\n    Bark this from Benedict, from Benedict, the dog:\n    \"Pride is a wind that from the shores of light\n    Bloweth far off where neither sun nor moon\n    Nor stars shine nor shall shine forevermore.\"\n    God hath heard one prayer. Come in, men.\n\n        (_He enters the church. After a silence the\n            men about the steps begin to talk among\n            themselves in undertones._)\n\n    ONE OF THEM--                          (_Calling through the door._)\n                                            Father!\n\n    ANOTHER--If he don't let us go, let's go ourselves.\n\n    FATHER BENEDICT--                                   (_Reappearing._)\n    Who called?                                             (_A pause._)\n                   What is it?\n\n    A MAN--Before you come out, Father, the monk spoke\n    Like as how the chase was on.\n\n    ANOTHER--\"Run to the mountains, men!\"\n\n    ANOTHER--                            \"Quick! quick!\"\n\n    ANOTHER--Said we should find him before Satan comes.\n\n    ANOTHER--That was before you came out.\n\n    FIRST MAN--Spoke like as how the dogs were on his trail.\n\n    FATHER BENEDICT--Run, some one, and fetch Pierre back.\n\n        (_Two men dart out, left._)\n\n    He did not tell me this.                                (_A pause._)\n                                Arm yourselves, men.\n\n        (_In a mass the men hurry out, left, a confused hum\n            of voices rising for a moment, then dying\n            away in the distance. The scene has grown\n            darker. A gust of wind blows to the door of\n            the church._)\n\n    FATHER BENEDICT--                          (_Alone upon the steps._)\n    This is the day.                                        (_A pause._)\n    Inscrutable are the ways of God. Dark, dark,\n    Unfathomable the sea in which He moves.\n    He changeth as the waters change, and yet\n    The mountains strike their roots in Him and stand.\n\n        (_Thunder right. The priest comes down from the\n            steps and out into the street, where he\n            stands looking up at the sky._)\n\n    Thy ways are not our ways. Thy voice is heard\n    Abroad upon the firmament. The stars\n    That should have been put out an hour ago\n    Burn bright upon the edges of the storm.\n    Satan hath laid his hand upon the sun,\n    And the day gropes, feeling her way far off\n    As doth the blind. But yesterday the morn\n    Walked beautiful on the mountains, with her lamp\n    Kindled as for the Resurrection.\n    This is the Sabbath, yet Golgotha's gloom\n    Hangs o'er the Sepulcher, and like a torch\n    Thrown down upon the mountains burns the dawn\n    A scant blue flame far down behind the world.\n\n        (_A pause._)\n\n    God shall not call in vain.\n\n        (_Looking left._)\n\n               I will forgive\n    The bitter words. The lost shall be reclaimed.\n\n        (_He walks briskly back and climbs the steps and\n            enters the church. A man with a shovel on\n            his shoulder appears coming from back in the\n            churchyard. He stops by the fence and looks\n            about._)\n\n    THE MAN--Don't see them.\n\n    A VOICE--                           (_From back in the churchyard._)\n               Someone's moaning in the church.\n\n        (_Another man appears with a shovel. They listen.\n            Faint shouting, left._)\n\n    FIRST MAN--Let's leave our shovels here.\n\n        (_They put down their shovels and get over the low\n            fence into the open space before the church\n            and start, left. Pierre is heard returning._)\n\n    PIERRE--But it was not his fault.\n\n        (_Between the two men he enters wringing his\n            hands._)\n\n    It was the fiends that did it.\n    'Twas his hand but--                              (_Starting back._)\n    They're hiding--they're hiding back of there!\n\n        (_He points to the broken top of the poplar tree\n            that hangs out in the street. The men from\n            the churchyard come from behind it._)\n\n    Oh, they've been by the graves!\n\n        (_He covers his face with his hands and bends up\n            and down, sobbing hysterically._)\n\n    ONE OF THE MEN--       What has he done?\n\n        (_With a great shining crucifix upon a staff, the\n            priest appears in the doorway and comes\n            hurriedly down the steps._)\n\n    FATHER BENEDICT--Pierre, in the name of God, all-hail!\n    I greet you as one having holy lips,\n    Since God hath chosen you to set on fire\n    With one bright word all days to be. Pierre,\n    Which way hath he gone? God is waiting.\n    The seraphim--Nay, fear me not, for I\n    Have been baptized with fire that hath fallen\n    Suddenly from heaven. Which way hath he gone?\n    To the high places fly the seraphim\n    And banners flash and fade among the clouds.\n    The Lord of Life into my power hath given\n    The life of him who spoke--I will forgive\n    The bitter words. This is the day of days.\n    Within I shine, though round about the storm\n    Spreadeth her gloom. Even my hands are dark.\n    The thunder peals the muster of the dead.\n\n        (_Faint shouts, left._)\n\n    PIERRE--                                 (_Falling upon his knees._)\n    They've bitten him! they've bitten him! Pray! pray! pray!\n\n    FATHER BENEDICT--Nay, Pierre, these are shouts of them whose mouths\n    Shall sing upon the mountains when my hand\n    Shall rend the hound and pluck the blind from death.\n    His breath is in the hollow of my hand,\n    And though he taunted me and though I might--\n\n        (_He blows in his palm._)\n\n    The dream shall be fulfilled. Throughout all time\n    All dreams shall hail this dream a holy thing\n    That hath chosen from all days this holy day\n    To wake and run. While from the Sepulcher\n    God rolls the stone back, the dream opens hell\n    And slips the dogs while angels have the world.\n    Henceforth the Angel of the Resurrection,\n    Hand in hand with the hunter's dream, shall run\n    With fiery feet over the ages leaving\n    Luminous the eyes of holy men.\n    For me this is a great day. From the clouds\n    The purposes of God, in fold on fold,\n    Fall round and mantle me with light. Pierre,\n    In what dread shape came Blindness through the halls\n    Of the abbey, feeling for the brother's eyes\n    In the darkness? What did he say when God\n    With one blow blotted out the moon and sun\n    Forever, and the faces of his friends?\n    Forgiveness did he cry for, for the things--\n    But that is past. I have been and shall be,\n    Yesterday and to-morrow, Benedict.\n    To-day, as nameless as the stars of heaven,\n    Forgetful of all injuries like the winds,\n    I rush about the earth and, like the lightning,\n    Will strike where God shall throw me. Like the rain,\n    I shall fall mercifully on hot eyes that lit\n    But a few hours before with pride and scorn\n    But now are dark forever.\n\n    PIERRE--          Oh! Oh! Oh!\n\n    FATHER BENEDICT--I will not say that. God in his power can make\n    The blind earth fill the sockets of the blind\n    With balls as bright as orbs of seraphim,\n    Or without eyes can fill the soul with light.\n    Your brother, Pierre, fell upon the dark--\n    _My_ brother; I will say it and forgive--\n    Our brother fell on darkness not last night,\n    But long since turned his shining face away\n    From light, and gradually as the sun\n    Sinks, sank low down where sun and moon and stars\n    Say, \"Vanity!\" and the grave is over all.\n\n        (_The sobbing of Pierre is heard._)\n\n    But he shall rise. I thank God for this power.\n    It shall be to my glory that for hate\n    I returned love. Vengeance is His, and I\n    Simply a wind to blow and do His will.\n    God shall have praise, but I shall have praise, too.\n    Names shall be written high and lamps shall burn\n    Under them, so that all the saints may see.\n\n        (_He comes out in the street and stands looking in\n            the direction in which the men went, talking\n            to himself._)\n\n    Then some who with high heads walked this low earth--\n    'Tis not my prayer, but if God so decide--\n    What a day will bring forth no man can--\n\n        (_Turning back._)\n\n                                               Pierre,\n    Did he speak of me when the blow fell? Did he say,\n    \"I wronged that holy man\"? Did he say that?\n    With what word bade he farewell to the stars?\n    Did not remorse--Why do you look at me\n    With eyes of horror?\n\n    PIERRE--                                             (_Shuddering._)\n                           Out into the dark\n    As if to--\n\n        (_He presses his hands into his eyes._)\n\n    FATHER BENEDICT--With no word?\n\n    PIERRE--                       \"The dogs! the dogs!\"\n\n    FATHER BENEDICT--And called, then, I suppose, upon the dwarf.\n    Did he appear and give him back his eyes?\n    I judge not, from these tears that trickle down.\n    And did no sinner's wail go up to God?\n    God, Pierre, will plant eyes in his blind soul.\n    With what cry hoisted he sail for the dark land?\n\n    PIERRE--                                           (_Between sobs._)\n    \"Father--Woden!\"\n\n    FATHER BENEDICT--Ha, and he saw him, then!\n    Cried to the Father that the heathen god\n    Was putting out his eyes! 'Tis well. In that\n    Last flash God showed him whence the darkness came.\n\n        (_One of the men who came back with Pierre whispers\n            to the Priest._)\n\n    PIERRE--Lord Jesus knows that it was not his fault.\n\n    FATHER BENEDICT--                                        (_Amazed._)\n    Did he do that, Pierre, did he do that?\n\n    PIERRE--'Twas not his fault.\n\n    FATHER BENEDICT--           _Put out his eyes himself!_\n\n    PIERRE--Oh, in his fever--\n\n    FATHER BENEDICT--           What will sin not do!\n\n    PIERRE--And someone--\n\n    FATHER BENEDICT--     Rather than look upon my face!\n    By this deed he admits the charge I made.\n\n    PIERRE--And someone--someone told him of the dream,\n    How that the dogs should tear him--\n\n    FATHER BENEDICT--           Stop right there!\n    You come down here to cast his blood on me?\n    I see the hand inside this hellish glove.\n\n        (_He turns and comes straight out into the street._)\n\n    PIERRE--                                                (_Timidly._)\n    'Twas that that did it.\n\n    FATHER BENEDICT--           (_Lifting his hand and shouting aloud._)\n                             Go back, men, go back!\n    We will stay here! This I will _not_ forgive.\n\n        (_He returns toward the church and climbs the\n            steps. On top he stops, stands for a moment,\n            then sets his crucifix in the doorway and\n            comes back down. Pierre, fearing he is about\n            to be attacked, draws back. The priest follows_\n            _him._)\n\n    I know who sent you down here and I know\n    Why.                                         (_Shaking his finger._)\n         Pierre, had this word not been distilled\n    Under old fangs and put in your young mouth,\n    This sting should cost you something. As it is,\n    In you I overlook it.\n\n        (_Hoarse with wrath._)\n\n                           The old snake!\n    God shall pass judgment between me and him.\n    The seraphim shall burn his mouth with coals.\n    Accursed envy! He beneath the wreck\n    Of Babel lies and thence looks out and sees\n    Me in white garments on the mount of God\n    Going toward glory, and it rankles in him.\n\n        (_Women appear in the doorway._)\n\n    And so he seeks to terrify my soul\n    With: \"Hide from the lightning! God is in it!\"\n    As though I went toward Ramoth-Gilead\n    With Ahab's hand smoking with prophets' blood.\n    That is why he told you to tell me this.\n    But I will not be terrified by him.\n\n        (_Pierre backs out._)\n\n    Accursed envy! And you tell him so.\n    Much rather would he see the brother lost--\n\n        (_The women press too close and the crucifix\n            tumbles down the steps._)\n\n    What is it you do? Go back in there! God's curse--\n\n        (_Looking after Pierre._)\n\n    On any man who would much rather see\n    A dear son lost than see me glorified.\n    Tell _him_ to hide. The wind that curls these clouds\n    Is the same wind that blew last night. Does he\n    With black mouth cry to me my hand is red?\n    If it be, if he think so, you tell him to stand\n    On his wrecked gable and watch Benedict\n    Walk right straight up to God with this red hand\n    And take the crown and leave no finger marks.\n\n        (_On tiptoe, Madam Valmy steals down the steps to\n            recover the crucifix._)\n\n    As for his charge that I have done this deed,\n    Tell him it smells of Hell.--Go back in there!\n\n        (_Madam Valmy goes back up the steps and the women\n            withdraw from the door._)\n\n    Daunted shall I be by lying lips?\n    Shall Belial reign? Shall God call twice and thrice?\n    I will not leave my cup of glory stand\n    Untouched because the old snake cannot drink;\n    Because he, having wormwood on his lips,\n    Cries: \"God boils in the wine upon the heights!\"\n    I will drink it.\n\n        (_Armed and with Jacques Sar at their head, the\n            men enter silent, their faces showing\n            disappointment. In the disorder in which they\n            enter, there are traces of three lines into\n            which they had been drawn up._)\n\n    FATHER BENEDICT--     We will go, men.\n\n        (_The men brighten up and become turbulent, and the\n            three lines immediately reappear. The priest\n            walks back toward the church._)\n\n    Pick up--\n\n        (_A man goes toward the crucifix that lies on the\n            ground. The Priest steps upon the steps and\n            turns, facing the men. While he speaks,\n            Jacques Sar marches the lines right and\n            wheels them around so as to face left, the_\n            _direction in which Pierre came and went. For\n            others who keep coming in, he finds places in\n            the lines and, examining weapons and moving\n            the men about, goes up and down with the air\n            of an old commander._)\n\n    FATHER BENEDICT--                      Men,\n    This is the grandest day that ever mixed\n    Her golden hair with banners. The hunter's dream,\n    That flashed and vanished in the night, after\n    Lying like our Lord three days in darkness,\n    Bursts like a shining angel upon the world\n\n        (_He receives the crucifix._)\n\n    And dazzles. We see not clearly, for the light\n    Blinds as the darkness doth. All night the earth\n    Tumbled as a man in fever. Saints on fire\n    Walked grandly on the mountain combs and called,\n    And the graves opened, and the silent ones--\n    What can it mean that of the churchyard dead\n    Only the soldiers rose? And that, too, when\n    Hell's hand was heavy on the brother? Men,\n    At midnight riding down the mountain, I\n    Saw wonders and heard things I dare not tell.\n    What the hounds are I know not, but I know\n    One up there hath a snare laid for them. And I--\n    I see my name in fire on those clouds.\n    These winds shall blow it luminous, and all\n    The world shall see it, and all time. Then some\n    Who now accuse me will come round with smiles.\n    For I will not be terrified by him.\n\n        (_He says something under his breath and comes\n            quickly down the steps and out into the\n            street where he shouts after Pierre._)\n\n    Tell the old man I go upon this chase\n    Out of no love for him or for his monk.\n    For I despise them both. You\n    Tell him just what I say and why I go.\n    Tell him the storm hath spoken to me. Say\n    I saw a hand of fire in the night\n    Beckon, and heard a trumpet peal in heaven.\n    He thinks I am a coward. So I am;\n    I fear to disobey the voice of God,\n    And therefore go. Listen to me, Pierre!\n    You tell him this: Had Heaven not delivered\n    Its orders to me, by the throne of God,\n    Not a spear--Hear me?--not a single spear\n    Should redden in the rescue of this monk.\n    As for his charge that I have done this deed,\n    Tell him it smells of Hell.\n\n        (_Thunder right. The priest turns and for a time\n            contemplates the sky in silence._)\n\n                                        One of you men\n    Run and ask Pierre which way hath he gone,\n    For there are trails and trails.\n\n        (_A man darts out, left._)\n\n    JACQUES SAR--                Fly fast now, Noel.\n\n    FATHER BENEDICT--           (_Rapt, looking off at the sky, right._)\n    Why should the storm move that way, if the chase--\n\n        (_Turning left._)\n\n    Lies yon way? We will wait.\n\n        (_Aloud._)\n\n                                   God seems to call\n    Up yonder where the lightning cracks the sky.\n\n        (_After a silence, with his eyes upon the heavens._)\n\n    Like golden links your names shall hang to mine\n    And dangle down the ages. Men shall say:\n    \"This man and that man were with Benedict\n    Up in the glory of the Lord that day\n    When heathendom went tumbling down to hell.\"\n    Oh, you shall live forever envied men!\n\n        (_He walks about buried in his thought.\n            Occasionally he stops for a moment in\n            meditation, then resumes his pace. Old\n            Jacques, hesitatingly and stopping whenever\n            the priest stops, follows him about as though\n            he wished to communicate something, but was\n            uncertain whether to break his revery. The\n            men watch them in silence._)\n\n    FATHER BENEDICT--\n\n        (_Approaching the lines, his chin still upon\n            his breast._)\n\n    Something I have to tell you, hitherto,\n    For his own good, religiously concealed.\n    For adulation maketh pride to swell\n    And man becomes an idol.                             (_Looking up._)\n                              Years ago\n    A prophesy went sounding down the south\n    That sent a thrill through Christendom. From Rome\n    The echo came to us. The rumor ran\n    That in the Saxon forest lived a boy\n    Through whom the North should come contrite to God:\n    A shepherd as was Moses and therefore\n    Prepared to lead his people. Friar Paul\n    Was sent to flash the light upon his way\n    And win him unto Christ, to make his staff\n    Put forth green Christian buds. With what result\n    I need not tell you. Few, few men can bear\n    Honor and the favor of the Most High. He,\n    Moses himself could not. \"Watch Moses now;\"\n    And struck the rock. And then God: \"Now watch Me;\"\n    And gave his staff to Joshua. And here\n    I find a lesson, this: Glory shall pass\n    From the proud man to the humble man. To-day\n    I take that prophesy up in _my_ hands\n    And with it seek the mountains of our God,\n    And Heathendom shall fall like Jerich--\n\n    THE MAN--(_Returning._)           Says\n    He don't know which way. Lost him in the dark.\n\n        (_The crowd stands silent, not knowing which way to\n            go. A woman appears in the doorway._)\n\n    WOMAN--Madam Bacqueur in her swoon hath thrice cried out:\n    \"O keep from the mountains! Look! See there!\n    The fire of God falls on the hills. See! See!\"\n\n    FATHER BENEDICT--The voice of Hell that fears our coming. Woman,\n    Baths her entranced brows with holy water.\n\n        (_The woman goes back in the church. Jacques speaks\n            to the Priest._)\n\n    A MAN--                       (_After a pause, from the rear line._)\n    Let's go toward the abbey.\n\n    ANOTHER--                     (_In the front line, pointing right._)\n                                 This way.\n\n    ANOTHER--         (_Shaking his head, as though fearing the storm._)\n                                             No.\n\n    SECOND MAN--                                     (_Shouting, left._)\n                                                   Jules!\n\n        (_He walks on a few paces and, frowning with\n            impatience, beckons in with his arm._)\n\n    FATHER BENEDICT--This is a sudden beam on the dark web.\n\n    JACQUES SAR--And his blood shed down yonder by the\n    bridge.\n\n    FATHER BENEDICT--And the storm moving toward that mountain top.\n\n        (_To the men._)\n\n    Jacques tells me that our honored bailiff lies\n    His martial limbs half hanging in the grave.\n\n    JACQUES SAR--I fear the bell will toll 'fore night.\n\n    FATHER BENEDICT--                                  (_deeply moved._)\n                                                         The dead\n    Soldiers are up to meet their sergeant.\n\n        (_He walks quietly back and climbs the steps._)\n\n                                             Men,\n    Wing and wing this terrible morning, fly\n    Two avenging angels toward one mountain top.\n    One in his hand two bloody eyeballs bears;\n    The other, an old man's picture with a wound\n    Swollen and with Death's finger in it. Fixed\n    On two eyes are their four eyes. Toward one man\n    Four wings and two bright swords are on their way.\n    They light! They beckon me! I see it all!\n    From two wounds two red trails converge in one!\n    The hounds that have their noses on the track\n    Of the brother, had their tongues in Jardin's blood!\n    _The big white talbot is Canzler!_\n\n        (_There is a moment's silence so intense that the\n            wind is heard whistling among the white\n            crosses in the churchyard. Then a terrible\n            shout goes up._)\n\n    SHOUTS--Down with him!\n                          To Hell with the hounds!\n                                          Lead us! Lead us!\n\n        (_Jacques strikes with his sword and the lines\n            move swiftly to the left, the direction of\n            the abbey._)\n\n    FATHER BENEDICT--                                    (_To himself._)\n    God's purposes begin where man's prayers end.\n\n    JACQUES SAR--                                           (_On fire._)\n    Right about! Face the heathen and face God!\n\n        (_The lines wheel and face right, the direction in\n            which the storm is moving._)\n\n    FATHER BENEDICT--                                   (_Transported._)\n    This is most wonderful. Men, Hell hath here\n    Packed all her seeds in one infernal bloom.\n    And who knew till this beam fell where to turn?\n    Henceforth let no man say he knows the way\n    That God will move on the morrow, for in a flash\n    The hem of his great garment passeth by.\n\n        (_Bacqueur enters with an armful of swords and\n            spears. On his left shoulder hangs a great\n            shield._)\n\n    JACQUES SAR--Here's two men have none.\n\n    CRIES--                                     Here, Jules!\n                                                          Hand me one!\n\n    FATHER BENEDICT--(_Half to himself, his face upturned to_\n    _the sky._)\n    What have I done that Thou shouldst honor me\n    With glory such as no man ever--Nay,\n    'Tis not for me this glory is prepared,\n    For I have ever labored for another.\n    Thou movest in her and she in me and I\n    Am but a cloud upon her gale and storm.\n    Let no man move a foot. I know my time.\n    You see me but you see not what I see.\n    God hath arranged to bring us face to face.\n    This is no combat between merely men.\n    All Heathendom gives chase in this big hound.\n    Our brother stands for all men lost to God.\n    And my hand is the hand of Christendom.\n\n        (_Bacqueur offers him a sword._)\n\n    Nay, I have weapons that ye know not of.\n\n        (_Looking off at the storm._)\n\n    The lightnings whip the foothills and the clouds\n    Sag with the weight of the wrath of the Lord of Hosts.\n\n        (_His face becomes luminous._)\n\n    Who hears what I hear? Speak out. Then be still.\n\n        (_With an old scarlet flag, amid the folds of which\n            sections of a white cross are seen, Hugh\n            Capet comes running in. Seeing the priest\n            entranced upon the steps and the men hushed\n            with awe, he checks himself._)\n\n    FATHER BENEDICT--             (_Lifting his hand, without turning._)\n    If any man moves I will call down fire.               (_A silence._)\n    To-day the last great tower of Hell goes down.\n\n        (_He comes down the steps._)\n\n    JACQUES SAR--                  (_His voice quivering with emotion._)\n    This banner once waved over Acre, men.\n\n    HUGH CAPET--And we will plant it on Jerusalem.\n\n    SHOUTS--God's with us! God's with us!\n\n    FATHER BENEDICT--                              (_Lifting his hand._)\n    Hear my last word.\n\n    JACQUES SAR--        Silence!\n\n    FATHER BENEDICT--             Let there be\n    No shouting or any noise. Let us go\n    Quietly as befits the Sabbath day.\n    The vales blow white. Yonder the mountains stand\n    Like quiet altars waiting sacrifice.\n    You, with the holy banner of God, stand here.\n    Now if there be among you one who hath\n    Guilt, looking upon this storm let him step\n    Out, lay his spear down and stay here and not\n    Tempt the wrath of God. For soon upon the heights\n    The heavens shall blacken and there shall be a loud\n    Burst of His power and the shining glory of God.\n    I pause a moment. Let that man step out\n    Now.                                                    (_A pause._)\n        Then you have naught to fear. The innocent\n    Are safe. God's shield is over them. Come.\n\n    JACQUES SAR--The signal, Father.\n\n    FATHER BENEDICT--               The signal shall be this:\n\n    JACQUES SAR--Attention, men!\n\n    FATHER BENEDICT--          I shall uplift the Christ.\n\n        (_He raises the crucifix._)\n\n    And God, burning the clouds to ashes, will throw\n    Lightning upon Antichrist. Then you\n    Charge.                                       (_A roll of thunder._)\n             The trumpets of the heavenly host.\n\n    JACQUES SAR--                                Now, men!\n    Up with your spears.\n\n    FATHER BENEDICT--       There shall be wonders done.\n\n        (_He starts right, the lines following him._)\n\n    In years to come, men, tell your children this:\n    When God crowned Benedict upon the heights\n    It was not Benedict but the Church He crowned.\n\n        (_They go out silent. The scene has become darker\n            and the wind is heard whistling among the\n            white crosses in the churchyard. Back in the\n            church through the open door is seen the\n            beautifully carven Christ with overhead in_\n            _golden letters the inscription: FORGIVE THEM_\n            _FOR THEY KNOW NOT WHAT THEY--. The DO has\n            never been put on._)\n\n\n    _SCENE THREE--The mountain side, as in Scene one of the\n      third Act. There is heard a steady roar as of wind over\n      vast forests, and all about are signs of an approaching_\n      _storm. At intervals an unnatural, ghastly light as from\n      rifted clouds swiftly driving overhead passes across the\n      scene. In a moment the gloom has returned and the trees are\n      racing back into the shadow._\n\n    _Back upon the ledge, his long yellow hair tossing in the_\n      _wind, stands Rudolph watching the gathering of the storm._\n\n    RUDOLPH--                                            (_To himself._)\n    Flying on starless wings the Powers of night\n    Keep back the bird of morning till the Norns\n    Have traced the lines of guilt and set the snare.\n\n        (_A moment later Canzler appears coming down the\n            sheep-path._)\n\n    CANZLER--What was that shouting down the mountain for?\n\n    RUDOLPH--                                       (_Turning quickly._)\n    The whirling of the wheel!\n\n    CANZLER--                  The wheel?\n\n    RUDOLPH--                                      (_Hurrying forward._)\n                                           Look there\n    Where the vast felly flies! Far out it swings\n    And sways the forests. Look at it, Canzler!\n    For miles around below the mountain heads\n    The storm goes racing in a wheel whose hub\n    Turns on the village spire.\n\n        (_Canzler follows him back along the ledge._)\n\n                                   Awhile ago,\n    Divinely guided through the mountain ways,\n    A common cloud, afloat upon the dark,\n    Blotted the stars that glimmered in the tarn\n    And whirled into a wheel. Around the rim\n    Flows the white cloud-wool, and a thread is drawn\n    Under the hills. The distaffs of the Norns\n    Grow big with fate, and, sitting there in silence,\n    Their withered fingers from this flying skein\n    Loop off the lives of men. Val-father takes\n    In his almighty hand the reins of things\n    And drives them either way through earth and air.\n\n        (_Shouting far down the mountain._)\n\n    CANZLER--I heard that far up on the mountain tops.\n\n    RUDOLPH--In some procession honoring their god.\n\n    CANZLER--But louder now.\n\n    RUDOLPH--                 And nearer.\n\n    CANZLER--                              Where is Fritz?\n\n    RUDOLPH--Rounding the sheep up.                  (_Shouting again._)\n                                  They have crossed the bridge.\n\n    CANZLER--                        (_Turning and looking at Rudolph._)\n    Honoring their god upon the mountain side?\n\n    RUDOLPH--'Tis the great dragon crawling through the hills.\n\n    CANZLER--No wonder darkness fills the valley.\n\n                                           (_After a pause_.)\n\n    And in a storm like this!\n\n    RUDOLPH--                    Hunger.\n\n    CANZLER--                              No doubt.\n    And there is hunger in the heavens, too.\n\n    RUDOLPH--And the two face.                          (_They listen._)\n                                 The Asas all night long\n    Were loud above the mountains as though some\n    Vast purpose long pent up were finding way.\n\n    CANZLER--And Selma heard it like a river flow\n    Washing the peaks and down the wooded <DW72>s\n    Into the valley where the dragon lies.\n\n        (_Shouts still afar but growing nearer._)\n\n    That belly levels all things in the plain.              (_Thunder._)\n\n    RUDOLPH--Val-father's voice from out the clouds mid-air\n    Meets with the dragon's voice and devours it. Hark!\n\n    CANZLER--It may lay hands on Fritz.\n\n        (_He goes back along the ledge and starts down the\n            mountain._)\n\n    RUDOLPH--                             Be careful, chief!\n    The wheel moves this way.\n\n    CANZLER--                    It is following them.\n\n    RUDOLPH--Here he comes running up the mountain!\n\n    CANZLER--                                      Where?\n\n    RUDOLPH--Wait till the lightning shows the <DW72>s again.\n\n        (_They listen. The shouts draw nearer._)\n\n    CANZLER--The Bailiff's blood has roused them.\n\n    RUDOLPH--                                       With that blood\n    Val-father has enticed it from its lair\n    To tempt the mountains and to seek for more.\n\n        (_Lightning._)\n\n    Up here! Coming up here!\n\n    CANZLER--(_Shouting._)     Fritz!\n\n    RUDOLPH--                                 The dark bloom,\n    Whose scattered roots the years have fed, at last\n    Unfolds its petals to the sun. The North\n    In all her graves is waiting for the dawn.\n    To-day Val-father lays his shadow by.\n\n    CANZLER--Go up the rocks and blow the battle horn.\n\n        (_Rudolph goes leaping up the rocks._)\n\n    And let the battle cry be \"Dachtelfeld\"!\n\n    RUDOLPH--The peaks are tipped with day!\n\n        (_He disappears up the rocks._)\n\n    VOICE OF SELMA--(_Above._)             Where are you, Father?\n\n        (_Lightning._)\n\n    CANZLER--Stay from the timber! Don't get near the trees!\n\n        (_Thunder._)\n\n    Stay in the open, Selma!\n\n        (_The form of Canzler, who stands back upon the\n            ledge, disappears in the gathering gloom._)\n\n    VOICE OF SELMA--         Father!\n\n    VOICE OF FRITZ--(_Down the mountain._)   Chief!\n\n        (_There is heard, at first scarcely audible but\n            rising more and more, low music as of spirit\n            voices. Above, just where the sheep-path\n            enters the bushes, Selma appears coming_\n            _hurriedly down. Hearing the music, she stops\n            and, listening, becomes as one entranced._)\n\n    SELMA--                                     (_Almost in a whisper._)\n    Father!\n\n        (_Canzler comes forward into view. The girl, still\n            transported and more like a being of the air,\n            has come further down the path._)\n\n               Oh, hear them!\n\n    CANZLER--                 Go back, go back, child!\n    They shall not harm you.                      (_She rushes to him._)\n                             They will not come up here.\n\n        (_The girl lays her hand on his arm. They listen._)\n\n    Only Val-father's voice along the storm.\n\n    VOICE OF FRITZ--Chief!\n\n    CANZLER--             It is Fritz.\n\n    SELMA---                    The trees--the trees are singing.\n    The wild vines and the mountain flowers--Oh!\n    O Father, see!\n\n    CANZLER--       What ails you, child?\n\n    SELMA--The elves--the storm elves gather in the air,\n    And up the mountain there--\n    Hear them, Father! Hear the fairies calling!\n    Oh, the white flakes! The dog-wood blooms are falling!\n\n        (_She runs wildly up the path._)\n\n    He's coming, Father! Oswald's coming!\n\n        (_She disappears among the bushes. In the rear\n            Fritz is seen climbing up the mountain._)\n\n    FRITZ--                        (_Who goes leaping on up the rocks._)\n    Chief!\n\n    CANZLER--Here I am.\n\n        (_Fritz leaps back down to the ledge and comes\n            hurrying forward._)\n\n    FRITZ--                                           (_Out of breath._)\n                         They've killed--they've killed the sheep!\n    Like hungry dogs. It's us they're after, though.\n    Dashed in and slashed them with their swords. Hear that!\n\n        (_Wild shouting below._)\n\n    That's for our blood.                               (_They listen._)\n                          If we don't arm, chief,--\n    CANZLER--                                         Hark!\n\n    FRITZ--                                           (_After a pause._)\n    If we don't arm--\n\n        (_Up the mountain sounds the battle horn._)\n\n    To have lived to see this day!\n\n        (_He hurries up the path and disappears._)\n\n    CANZLER--Val-father's winds have blown them here to die.\n\n        (_He goes up the path. The music is now distinctly\n            heard above the noise of the storm. A flash\n            of lightning reveals, in the rear, the dwarf\n            climbing up the mountain, leading Oswald\n            by the hand. Instantly loud and prolonged_\n            _shouting bursts up from about a hundred feet_\n            _below. The two come hurrying forward along\n            the ledge. Oswald's face is streaked with\n            blood and from the end of its black cord, his\n            silver crucifix, likewise stained, dangles\n            almost to his knees. Gradually it slips lower\n            and lower till it finally falls and lies upon\n            the grass. Having reached the path, they make\n            their way up and are soon lost to view. That\n            peculiar light which one sometimes sees when\n            clouds are rifted during a storm illumines\n            the scene and makes the green grass and trees\n            show almost like flame. Below, voices are\n            heard, and soon, climbing up the mountain,\n            Father Benedict appears, his face pale, his\n            eyes set before him. Upon the skirt of his\n            snow-white chasuble there is seen, slanting_\n            _down, a red streak as though he had pressed\n            against a bloody sword-blade. Behind him,\n            scattered, come, first, Hugh Capet with the\n            great flag blown straight out in the wind,\n            then Jules Bacqueur and Jacques Sar, their\n            swords dripping, and, after them, the other\n            villagers._)\n\n    JULES BACQUEUR--Straight ahead. Father! Straight ahead!\n\n    A VOICE--                                            (_From below._)\n    See them, Hugh?\n\n    JACQUES SAR--You come on; we'll find them.\n\n        (_Instead of coming forward to the path, which the\n            bushes and bowlders hide from their view,\n            they go pushing straight on up the rocks._)\n\n    HUGH CAPET--Come on, men!\n\n    JACQUES SAR--Stay together, men!                        (_A pause._)\n    Hold her low, Phil!\n\n        (_Up the mountain sounds the battle-horn._)\n\n    CRIES--Hear that! Hear that!\n\n    JACQUES SAR--Don't get scared, men!\n\n    CRIES--Don't get scared! Don't get scared!\n\n    A VOICE--God's with us!\n\n    ALL--God's with us! God's with us!\n\n    HUGH CAPET--Come on, men!\n\n    JACQUES SAR--Wait for the signal! Wait for the signal, men!\n\n        (_All look to the priest._)\n\n    Now then.\n\n    JULES BACQUEUR--Now, Father.\n\n    A VOICE--Now.                                           (_A pause._)\n\n    HUGH CAPET--Signal! signal!\n\n        (_Above, sounds the battle-horn, this time nearer._)\n\n    JACQUES SAR--Now!\n\n    JULES BACQUEUR--Now then!\n\n    CRIES--Now! Now! NOW!\n\n        (_Slowly the priest lifts the crucifix._)\n\n    ALL--God's with us! God's with us!\n\n        (_They go springing up the mountain. A flash of\n            lightning strikes the uplifted crucifix\n            and clings for a moment like a wreath of\n            blue fire round the brow of the priest whose_\n            _face shows white as chalk. The crucifix slips\n            from his fingers and he reels and falls\n            backwards._)\n\n    CRIES--Men! Men! Men!\n\n        (_As the men turn and see the priest, whom Jules\n            has caught in his arms, borne backward down\n            the <DW72>, some of them throw down their\n            arms and flee terror-stricken down the\n            mountain. There is a loud crash of thunder_\n            _followed, above, by the shouts of the Saxons\n            who come charging down upon them. Attempting\n            to rescue the priest's body, before which\n            Bacqueur has thrown his great shield, the\n            villagers receive the shock and are driven\n            back fighting down the mountain, Fritz hacking_\n            _at Hugh Capet's head-with his battle ax,\n            Rudolph charging old Jacques, while Canzler\n            with one slash of his magic sword slices in\n            two Bacqueur's great shield which falls like\n            paper from his hands. Even after they have_\n            _disappeared, from down the mountain can still\n            be heard the voice of old Jacques calling to\n            his men in God's name to stand. Up the <DW72>,\n            caught in the bushes where it fell, hangs the\n            crucifix, the figure of which is tarnished\n            and melted by the lightning. On the ledge_\n            _just below, outstretched upon the grass,\n            his fingers bent as though still clutching\n            the crucifix, lies the body of the priest.\n            The scene gradually becomes darker and the_\n            _thunder is still heard reverberating through\n            the mountains._)\n\n\n    _SCENE FOUR--A forest on the mountain tops. Untouched by the\n      storm, which has swept the lower <DW72>s, the trees here\n      stand calm and motionless. Flowers are everywhere. Far off,\n      between the innumerable trunks, is seen a space of dark sky\n      rifted near the horizon and bright with the red and gold of\n      the new dawn. From the left, into this forest stillness,\n      silent as the scene itself, comes the dwarf leading Oswald\n      by the hand. There is now no blood upon the latter's\n      face which, slightly upturned, is lighted as with a soul\n      conscious of a great crisis and hearing its approach in the\n      least noise. Suddenly, from far to the right, the voice of\n      Selma is heard. Instantly the dwarf vanishes. Oswald starts\n      and stands as one in a dream._\n\n    SELMA--\n\n        (_At first afar, then drawing nearer and nearer\n            until at last she rushes in gleefully. She\n            is dressed, as in the first Act, in green,\n            and upon her head she wears a coronet of_\n            _wild-flowers._)\n\n    Oswald! Oswald! Oswald! Oswald! Oswald!\n\n        (_She starts, and throws herself at his feet,\n            covering her face with her hands. The disc of\n            the sun, emerging above the line of clouds,\n            shoots its myriad golden needles through the\n            wood. Revealed in the light, like things seen\n            in a mirage, a number of fairies are discerned_\n            _watching the two. From far down the mountain\n            comes the sound of a bell tolling._)\n\n\n\n\nTranscriber's Notes:\n\n\n    Simple spelling, grammar, and typographical errors were\n    silently corrected.\n\n    Punctuation normalized.\n\n    Anachronistic and non-standard spellings retained as printed.\n\n    Italics markup is enclosed in _underscores_.\n\n    Greek text is transliterated and enclosed in #number symbols#.\n\n\n\n\n\nEnd of the Project Gutenberg EBook of The Saxons, by Edwin Davies Schoonmaker\n\n*** ","meta":{"redpajama_set_name":"RedPajamaBook"}}
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+{"text":" \nVolume 10227\n\nLecture Notes in Computer ScienceProgramming and Software Engineering\n\nSeries Editors\n\nDavid Hutchison\n\nLancaster University, Lancaster, United Kingdom\n\nTakeo Kanade\n\nCarnegie Mellon University, Pittsburgh, Pennsylvania, USA\n\nJosef Kittler\n\nUniversity of Surrey, Guildford, United Kingdom\n\nJon M. Kleinberg\n\nCornell University, Ithaca, New York, USA\n\nFriedemann Mattern\n\nInst. Pervasive Computing, ETH Zurich, Z\u00fcrich, Switzerland\n\nJohn C. Mitchell\n\nStanford, California, USA\n\nMoni Naor\n\nWeizmann Institute of Science, Rehovot, Israel\n\nC. Pandu Rangan\n\nMadras, Indian Institute of Technology, Chennai, India\n\nBernhard Steffen\n\nFakult\u00e4t Informatik, TU Dortmund, Dortmund, Germany\n\nDemetri Terzopoulos\n\nUniversity of California, Los Angeles, California, USA\n\nDoug Tygar\n\nUniversity of California, Berkeley, California, USA\n\nGerhard Weikum\n\nMax Planck Institute for Informatics, Saarbr\u00fccken, Saarland, Germany\n\nCommenced Publication in 1973\n\nFounding and Former Series Editors:\n\nGerhard Goos, Juris Hartmanis, and Jan van Leeuwen\n\nMore information about this series at http:\/\/\u200bwww.\u200bspringer.\u200bcom\/\u200bseries\/\u200b7408\n\nEditors\n\nClark Barrett, Misty Davies and Temesghen Kahsai\n\nNASA Formal Methods9th International Symposium, NFM 2017, Moffett Field, CA, USA, May 16\u201318, 2017, Proceedings\n\nEditors\n\nClark Barrett\n\nStanford University, Palo Alto, California, USA\n\nMisty Davies\n\nNASA Ames Research Center, Moffett Field, California, USA\n\nTemesghen Kahsai\n\nNASA Ames Research Center, Moffett Field, California, USA\n\nISSN 0302-9743e-ISSN 1611-3349\n\nLecture Notes in Computer Science\n\nISBN 978-3-319-57287-1e-ISBN 978-3-319-57288-8\n\nDOI 10.1007\/978-3-319-57288-8\n\nLibrary of Congress Control Number: 2017937299\n\n\u00a9 Springer International Publishing AG 2017\n\nThis work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed.\n\nThe use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use.\n\nThe publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\nPrinted on acid-free paper\n\nThis Springer imprint is published by Springer Nature\n\nThe registered company is Springer International Publishing AG\n\nThe registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland\n\nPreface\n\nThe NASA Formal Methods (NFM) Symposium is a forum to foster collaboration between theoreticians and practitioners from NASA, academia, and industry, with the goal of identifying challenges and providing solutions to achieving assurance in mission- and safety-critical systems. Examples of such systems include advanced separation assurance algorithms for aircraft, next-generation air transportation, autonomous rendezvous and docking for spacecraft, autonomous on-board software for unmanned aerial systems (UAS), UAS traffic management, autonomous robots, and systems for fault detection, diagnosis, and prognostics. The topics covered by the NASA Formal Methods Symposia include: model checking, theorem proving, SAT and SMT solving, symbolic execution, automated testing and verification, static and dynamic analysis, model-based development, runtime verification, software and system testing, safety assurance, fault tolerance, compositional verification, security and intrusion detection, design for verification and correct-by-design techniques, techniques for scaling formal methods, formal methods for multi-core GPU-based implementations, generation, specification, and validation of requirements, human\u2013machine interaction analysis, certification, and applications of formal methods in systems development.\n\nThis volume contains the papers presented at NFM 2017, the 9th NASA Formal Methods Symposium, held at the NASA Ames Research Center, Moffett Field, CA, during May 16\u201318, 2017. Previous symposia were held in Minneapolis, MN (2016), Pasadena, CA (2015), Houston, TX (2014), Moffett Field, CA (2013), Norfolk, VA (2012), Pasadena, CA (2011), Washington, DC (2010), and Moffett Field, CA (2009). The series started as the Langley Formal Methods Workshop, and was held under that name in 1990, 1992, 1995, 1997, 2000, and 2008. Papers were solicited for NFM 2017 under two categories: regular papers describing fully developed work and complete results, and short papers describing tools, experience reports, or work in progress with preliminary results. The symposium received 77 submissions for review (60 regular papers and 17 short papers) out of which 31 were accepted for publication (23 regular papers and eight short papers). These submissions went through a rigorous reviewing process, where each paper was first independently reviewed by at least three reviewers and then subsequently discussed by the Program Committee.\n\nIn addition to the refereed papers, the symposium featured five invited presentations: \"Formal Methods for the Informal World,\" by Michael Wagner, Senior Commercialization Specialist at the Robotics Institute at Carnegie Mellon University, Pittsburgh, PA; \"Agile Aerospace at Planet,\" by Ben Haldeman, Technologist and Program Manager at Planet, San Francisco, CA; \"Moving Fast with High Reliability: Static Analysis at Uber,\" by Manu Sridharan, Senior Software Engineer at Uber, Palo Alto, CA; \"Challenges in Designing for the Next Era of Human Space Exploration,\" by Jason Crusan, Director of the Advanced Exploration Systems Division within the Human Exploration and Operations Mission Directorate at NASA, Washington, DC; and \"A Tour of Formal Methods in Support of Aerospace Products Development,\" by Alexandre Arnold, Research Engineer at Airbus. The symposium also featured a panel that discussed how to make more real problems and case studies from NASA and the aerospace industry available to researchers.\n\nThe organizers are grateful to the authors for submitting their work to NFM 2017 and to the invited speakers for sharing their insights. NFM 2017 would not have been possible without the collaboration of the outstanding Program Committee and additional reviewers, the support of the Steering Committee, the efforts of the staff at the NASA Ames Research Center, and the general support of the NASA Formal Methods community. The NFM 2017 website can be found at: https:\/\/\u200bti.\u200barc.\u200bnasa.\u200bgov\/\u200bevents\/\u200bnfm-2017 .\n\nClark Barrett\n\nMisty Davies\n\nTemesghen Kahsai\n\nMay 2017\n\nOrganization\n\n## Program Committee\n\nElla Atkins\n\nUniversity of Michigan, USA\n\nDomagoj Babic\n\nGoogle, USA\n\nJulia Badger\n\nNASA Johnson Space Center, USA\n\nClark Barrett\n\nStanford University, USA\n\nKirstie Bellman\n\nThe Aerospace Corporation, USA\n\nDirk Beyer\n\nLMU Munich, Germany\n\nNikolaj Bjorner\n\nMicrosoft Research, USA\n\nKalou Cabrera Castillos\n\nLAAS-CNRS, France\n\nAlessandro Cimatti\n\nFBK-IRST, Italy\n\nMisty Davies\n\nNASA Ames Research Center, USA\n\nEwen Denney\n\nStinger Ghaffarian Technologies and NASA Ames Research Center, USA\n\nDino Distefano\n\nFacebook, UK\n\nEric Feron\n\nGeorgia Institute of Technology, USA\n\nPierre-Loic Garoche\n\nONERA, France\n\nPatrice Godefroid\n\nMicrosoft Research, USA\n\nAlwyn Goodloe\n\nNASA Langley Research Center, USA\n\nAlberto Griggio\n\nFBK-IRST, Italy\n\nAarti Gupta\n\nPrinceton University, USA\n\nArie Gurfinkel\n\nUniversity of Waterloo, Canada\n\nJohn Harrison\n\nIntel Corporation, USA\n\nKlaus Havelund\n\nJet Propulsion Laboratory, California Institute of Technology, USA\n\nKelly Hayhurst\n\nNASA Langley Research Center, USA\n\nMats Heimdahl\n\nUniversity of Minnesota, USA\n\nMike Hinchey\n\nLero-the Irish Software Engineering Research Centre, Ireland\n\nSusmit Jha\n\nSRI International, USA\n\nRajeev Joshi\n\nLaboratory for Reliable Software, Jet Propulsion Laboratory, USA\n\nDejan Jovanovi\u0107\n\nSRI International, USA\n\nTemesghen Kahsai\n\nNASA Ames Research Center\/CMU, USA\n\nGerwin Klein\n\nData61, CSIRO, Australia\n\nDaniel Kroening\n\nUniversity of Oxford, UK\n\nWenchao Li\n\nBoston University, USA\n\nLowry Michael\n\nNASA Ames Research Center, USA\n\nJorge A Navas\n\nSRI International, USA\n\nNatasha Neogi\n\nNASA Langley Research Center, USA\n\nMeeko Oishi\n\nUniversity of New Mexico, USA\n\nLee Pike\n\nGalois, Inc., USA\n\nZvonimir Rakamaric\n\nUniversity of Utah, USA\n\nMurali Rangarajan\n\nThe Boeing Company, USA\n\nKristin Yvonne Rozier\n\nIowa State University, USA\n\nLael Rudd\n\nDraper, USA\n\nPhilipp Ruemmer\n\nUppsala University, Sweden\n\nNeha Rungta\n\nAmazon Web Services, USA\n\nJohn Rushby\n\nSRI International, USA\n\nSriram Sankaranarayanan\n\nUniversity of Colorado, Boulder, USA\n\nMartin Sch\u00e4f\n\nSRI International, USA\n\nCesare Tinelli\n\nThe University of Iowa, USA\n\nChristoph Torens\n\nGerman Aerospace Center, Institute of Flight Systems, Germany\n\nVirginie Wiels\n\nONERA\/DTIM, France\n\n## Additional Reviewers\n\nBackeman, Peter\n\nBackes, John\n\nBittner, Benjamin\n\nBlackshear, Sam\n\nCalder\u00f3n Trilla, Jos\u00e9 Manuel\n\nCattaruzza, Dario\n\nChowdhury, Omar\n\nCohen, Raphael\n\nDangl, Matthias\n\nDimjasevic, Marko\n\nElliott, Trevor\n\nErkok, Levent\n\nGalea, John\n\nGay, David\n\nGross, Kerianne\n\nHamon, Arnaud\n\nHe, Shaobo\n\nHendrix, Joe\n\nHowar, Falk\n\nLuckow, Kasper\n\nMattarei, Cristian\n\nMercer, Eric\n\nMote, Mark\n\nMukherjee, Rajdeep\n\nPoetzl, Daniel\n\nReynolds, Andrew\n\nSanchez, Huascar\n\nSun, Youcheng\n\nTkachuk, Oksana\n\nZelji\u0107, Aleksandar\n\nContents\n\nAn Automata-Theoretic Approach to Modeling Systems and Specifications over Infinite Data 1\n\nHadar Frenkel, Orna Grumberg and Sarai Sheinvald\n\nLearning from Faults:\u200b Mutation Testing in Active Automata Learning 19\n\nBernhard K. Aichernig and Martin Tappler\n\nParametric Model Checking Timed Automata Under Non-Zenoness Assumption 35\n\n\u00c9tienne Andr\u00e9, Hoang Gia Nguyen, Laure Petrucci and Jun Sun\n\nMulti-timed Bisimulation for Distributed Timed Automata 52\n\nJames Ortiz, Moussa Amrani and Pierre-Yves Schobbens\n\nAuto-Active Proof of Red-Black Trees in SPARK 68\n\nClaire Dross and Yannick Moy\n\nAnalysing Security Protocols Using Refinement in iUML-B 84\n\nColin Snook, Thai Son Hoang and Michael Butler\n\nOn Learning Sparse Boolean Formulae for Explaining AI Decisions 99\n\nSusmit Jha, Vasumathi Raman, Alessandro Pinto, Tuhin Sahai and Michael Francis\n\nEvent-Based Runtime Verification of Temporal Properties Using Time Basic Petri Nets 115\n\nMatteo Camilli, Angelo Gargantini, Patrizia Scandurra and Carlo Bellettini\n\nModel-Counting Approaches for Nonlinear Numerical Constraints 131\n\nMateus Borges, Quoc-Sang Phan, Antonio Filieri and Corina S. P\u0103s\u0103reanu\n\nInput Space Partitioning to Enable Massively Parallel Proof 139\n\nAshlie B. Hocking, M. Anthony Aiello, John C. Knight and Nikos Ar\u00e9chiga\n\nCompositional Model Checking of Interlocking Systems for Lines with Multiple Stations 146\n\nHugo Daniel Macedo, Alessandro Fantechi and Anne E. Haxthausen\n\nModular Model-Checking of a Byzantine Fault-Tolerant Protocol 163\n\nBenjamin F. Jones and Lee Pike\n\nImproved Learning for Stochastic Timed Models by State-Merging Algorithms 178\n\nBraham Lotfi Mediouni, Ayoub Nouri, Marius Bozga and Saddek Bensalem\n\nVerifying Safety and Persistence Properties of Hybrid Systems Using Flowpipes and Continuous Invariants 194\n\nAndrew Sogokon, Paul B. Jackson and Taylor T. Johnson\n\nA Relational Shape Abstract Domain 212\n\nHugo Illous, Matthieu Lemerre and Xavier Rival\n\nFloating-Point Format Inference in Mixed-Precision 230\n\nMatthieu Martel\n\nA Verification Technique for Deterministic Parallel Programs 247\n\nSaeed Darabi, Stefan C. C. Blom and Marieke Huisman\n\nSystematic Predicate Abstraction Using Variable Roles 265\n\nYulia Demyanova, Philipp R\u00fcmmer and Florian Zuleger\n\n specgen : A Tool for Modeling Statecharts in CSP  282\n\nBrandon Shapiro and Chris Casinghino\n\n H y P ro : A C++ Library of State Set Representations for Hybrid Systems Reachability Analysis  288\n\nStefan Schupp, Erika \u00c1brah\u00e1m, Ibtissem Ben Makhlouf and Stefan Kowalewski\n\n Asm2C++ : A Tool for Code Generation from Abstract State Machines to Arduino  295\n\nSilvia Bonfanti, Marco Carissoni, Angelo Gargantini and Atif Mashkoor\n\nSPEN:\u200b A Solver for Separation Logic 302\n\nConstantin Enea, Ond\u0159ej Leng\u00e1l, Mihaela Sighireanu and Tom\u00e1\u0161 Vojnar\n\nFrom Hazard Analysis to Hazard Mitigation Planning:\u200b The Automated Driving Case 310\n\nMario Gleirscher and Stefan Kugele\n\nEvent-B at Work:\u200b Some Lessons Learnt from an Application to a Robot Anti-collision Function 327\n\nArnaud Dieumegard, Ning Ge and Eric Jenn\n\nReasoning About Safety-Critical Information Flow Between Pilot and Computer 342\n\nSeth Ahrenbach\n\nCompositional Falsification of Cyber-Physical Systems with Machine Learning Components 357\n\nTommaso Dreossi, Alexandre Donz\u00e9 and Sanjit A. Seshia\n\nVerifying a Class of Certifying Distributed Programs 373\n\nKim V\u00f6llinger and Samira Akili\n\nCompact Proof Witnesses 389\n\nMarie-Christine Jakobs and Heike Wehrheim\n\nQualification of a Model Checker for Avionics Software Verification 404\n\nLucas Wagner, Alain Mebsout, Cesare Tinelli, Darren Cofer and Konrad Slind\n\nSpeAR v2.\u200b0:\u200b Formalized Past LTL Specification and Analysis of Requirements 420\n\nAaron W. Fifarek, Lucas G. Wagner, Jonathan A. Hoffman, Benjamin D. Rodes, M. Anthony Aiello and Jennifer A. Davis\n\nJust Formal Enough?\u200b Automated Analysis of EARS Requirements 427\n\nLevi L\u00facio, Salman Rahman, Chih-Hong Cheng and Alistair Mavin\n\nAuthor Index435\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_1\n\n# An Automata-Theoretic Approach to Modeling Systems and Specifications over Infinite Data\n\nHadar Frenkel1  , Orna Grumberg1 and Sarai Sheinvald2\n\n(1)\n\nDepartment of Computer Science, The Technion, Haifa, Israel\n\n(2)\n\nDepartment of Software Engineering, ORT Braude Academic College, Karmiel, Israel\n\nHadar Frenkel\n\nEmail: hfrenkel@cs.technion.ac.il\n\nAbstract\n\nData-parameterized systems model finite state systems over an infinite data domain. VLTL is an extension of LTL that uses variables in order to specify properties of computations over infinite data, and as such VLTL is suitable for specifying properties of data-parameterized systems. We present Alternating Variable B\u00fcchi Word Automata (AVBWs), a new model of automata over infinite alphabets, capable of modeling a significant fragment of VLTL. While alternating and non-deterministic B\u00fcchi automata over finite alphabets have the same expressive power, we show that this is not the case for infinite data domains, as we prove that AVBWs are strictly stronger than the previously defined Non-deterministic Variable B\u00fcchi Word Automata (NVBWs). However, while the emptiness problem is easy for NVBWs, it is undecidable for AVBWs. We present an algorithm for translating AVBWs to NVBWs in cases where such a translation is possible. Additionally, we characterize the structure of AVBWs that can be translated to NVBWs with our algorithm, and identify fragments of VLTL for which a direct NVBW construction exists. Since the emptiness problem is crucial in the automata-theoretic approach to model checking, our results give rise to a model-checking algorithm for a rich fragment of VLTL and systems over infinite data domains.\n\n## 1 Introduction\n\nInfinite data domains become increasingly relevant and wide-spread in real-life systems, and are integral in communication systems, e-commerce systems, large databases and more. Systems over infinite data domains were studied in several contexts and especially in the context of datalog systems [4] and XML documents [5, 7], that are the standard of web documents.\n\nTemporal logic, particularly LTL, is widely used for specifying properties of ongoing systems. However, LTL is unable to specify computations that handle infinite data. Consider, for example, a system of processes and a scheduler. If the set of processes is finite and known in advance, we can express and verify properties such as \"every process is eventually active\". However, if the system is dynamic, in which new processes can log in and out, and the total number of processes is unbounded, LTL is unable to express such a property.\n\nVLTL (LTL with variables) [11] extends LTL with variables that range over an infinite domain, making it a natural logic for specifying ongoing systems over infinite data domains. For the example above, a VLTL formula can be  , where x ranges over the process IDs. Thus, the formula specifies that for every process ID, once it is logged in, it will eventually be active. Notice that this formula now specifies this property for an unbounded number of processes. As another example, the formula  , where x ranges over the message contents (or message IDs), specifies that in every step of the computation, some message is sent, and this particular message is eventually received. Using variables enables handling infinitely many messages along a single computation.\n\nIn the automata-theoretic approach to model checking [18, 19], both the system and the specification are modeled by automata whose languages match the set of computations of the system and the set of satisfying computations of the formula. Model-checking is then reduced to reasoning about these automata. For ongoing systems, automata over infinite words, particularly nondeterministic and alternating B\u00fcchi automata (NBWs and ABWs, respectively) are used [18]. Thus, for ongoing systems with infinite data and VLTL, a similar model is needed, capable of handling infinite alphabets. In [10, 11], the authors suggested non-deterministic variable B\u00fcchi word automata (NVBWs), a model that augments NBWs with variables, and used it to construct a model-checking algorithm for a fragment of VLTL that is limited to  -quantifiers that appear only at the head of the formula.\n\nThe emptiness problem for NVBWs is NLOGSPACE-complete. Since the emptiness problem is crucial for model checking, NVBWs are an attractive model. However, they are quite weak. For example, NVBWs are unable to model the formula   above.\n\nIn this work, we present a new model for VLTL specifications, namely alternating variable B\u00fcchi word automata (AVBWs). These are an extension of NVBWs, which we prove to be stronger and able to express a much richer fragment of VLTL. Specifically, we show that AVBWs are able to express the entire fragment of  -VLTL, which is a fragment of VLTL with only  -quantifiers, whose position in the formula is unrestricted.\n\nWe now elaborate more on NVBWs and AVBWs. As mentioned, an NVBW   uses variables that range over an infinite alphabet  . A run of   on a word w assigns values to the variables in a way that matches the letters in w. For example, if a letter a.8 occurs in w, then a run of   may read a.x, where x is assigned 8. In addition, the variables may be reset at designated states along the run, and so a.x can be later used for reading another letter a.5, provided that x has been reset. Resetting then allows reading an unbounded number of letters using a fixed set of variables. Another component of NVBWs is an inequality set  , that allows restricting variables from being assigned with the same value. Our new model of AVBWs extends NVBWs by adding alternation. An alternating automaton may split its run and continue reading the input along several different paths simultaneously, all of which must accept.\n\nThere is a well-known translation from LTL to ABW [18]. Thus, AVBWs are a natural candidate for modeling VLTL. Indeed, as we show, AVBWs are able to express all  -VLTL, following a translation that is just as natural as the LTL to ABW translation. Existential quantifiers (anywhere) in the formula are translated to corresponding resets in the automaton. Moreover, unlike the finite alphabet case, in which NBWs and ABWs are equally expressive, in the infinite alphabet case alternation proves to be not only syntactically stronger but also semantically stronger, as we show that AVBWs are more expressive than NVBWs.\n\nAs we have noted, our goal is to provide a model which is suitable for a model-checking algorithm for VLTL, and that such a model should be easily tested for emptiness. However, we show that the strength of AVBWs comes with a price, and their emptiness problem is unfortunately undecidable. To keep the advantage of ease of translation of VLTL to AVBWs, as well as the ease of using NVBWs for model-checking purposes, we would then like to translate AVBWs to NVBWs, in cases where such a translation is possible. This allows us to enjoy the benefit of both models, and gives rise to a model-checking algorithm that is able to handle a richer fragment of VLTL than the one previously studied.\n\nWe present such a translation algorithm, inspired by the construction of [14]. As noted, such a translation is not always possible. Moreover, we show that there is no algorithm that is both sound and complete, even if we restrict completeness to require returning \"no translation possible\". Our algorithm is then sound but incomplete, and we present an example for which it will not halt. However, we give a characterization for AVBWs for which our algorithm does halt, relying on the graphical structure of the underlying automaton. The essence of the characterization is that translatable AVBWs do not have a cycle that contains a reset action which leads to an accepting state. Consider once again  . Here, we keep sending messages that must arrive eventually. However, there is no bound on when they will arrive. Since this is a global requirement, there must be some cycle that verifies it, and such cycles are exactly the ones that prevent the run of the translation algorithm from halting.\n\nThe importance of our algorithm and structural characterization is a twofold: (1) given an AVBW  , one does not need to know the semantics of   in order to know if it is translatable, and to automatically translate   to an equivalent NVBW; and (2) Given a general  -VLTL formula, one can easily construct an equivalent AVBW  , use our characterization to check whether it is translatable, and continue with the NVBW that our translation outputs.\n\nIn addition to the results above, we also study fragments of  -VLTL that have a direct construction to NVBWs, making them an \"easy\" case for modeling and model checking.\n\nRelated Work. Other models of automata over infinite alphabets have been defined and studied. In [13] the authors define register automata over infinite alphabets, and study their decidability properties. [16] use register automata as well as pebble automata to reason about first order logic and monadic second order logic, and to describe XML documents. [3] limit the number of variables and use extended first order logic to reason about both XML and some verification properties. In [4] the authors model infinite state systems as well as infinite data domains, in order to express some extension of monadic first order logic. Our model is closer to finite automata over infinite words than the models above, making it easier to understand. Moreover, due to their similarity to ABWs, we were able to construct a natural translation of  -VLTL to AVBWs, inspired by [18]. We then translate AVBWs to NVBWs. Our construction is consistent with [14] which provides an algorithm for translating ABWs to NBWs. However, in our case additional manipulations are needed in order to handle the variables and track their possible assignments.\n\nThe notion of LTL over infinite data domains was studied also in the field of runtime verification (RV) [1, 2, 8]. Specifically, in [1], the authors suggest a model of quantified automata with variables, in order to capture traces of computations with different data values. The purpose in RV is to check whether a single given trace satisfies the specification. Moreover, the traces under inspection are finite traces. This comes into play in [1] where the authors use the specific data values that appear on such a trace in order to evaluate satisfiability. In [2] the authors suggest a 3-valued semantics in order to capture the uncertainty derived from the fact that traces are finite. Our work approaches infinite data domains in a different manner. Since we want to capture both infinite data domains and infinite traces, we need a much more expressive model, and this is where AVBWs come into play.\n\n## 2 Preliminaries\n\nGiven a finite set of directions D, a D-tree T is a set  . The root of T is the empty word  . A node x of T is a word over D that describes the path from the root of T to x. That is, for a word   there is a path in the tree   such that every word   is a successor of the previous word  . For a word   where   and  , if   then  , i.e. the tree is prefix closed. A successor of a node   is of the form   for  .\n\nGiven a set L, an L-labeled D-tree is a pair   where T is a D-tree, and   is a labeling function that labels each node in T by an element of L.\n\nA non-deterministic B\u00fcchi automaton over infinite words (NBW) [6] is a tuple   where   is a finite alphabet; Q is a finite set of states;   is the initial state;   is a set of accepting states; and   is the transition function. For a word  , we denote by   the letter of   in position i.\n\nA run of   on a word   is an infinite sequence of states  , that is consistent with  , i.e.,   is the initial state and  . A run of   is accepting if it visits some state of   infinitely often. We say that   accepts a word   if there exists an accepting run of   on  . The language of  , denoted  , is the set of words accepted by  .\n\nAn alternating B\u00fcchi automaton over infinite words (ABW) [15] is a tuple   where   and   are as in NBW. The transition relation is  , where   is the set of positive boolean formulas over the set of states, i.e. formulas that include only the boolean operators   and   1. For example, if  , then, by reading a from q, the ABW   moves to either both   and  , or to  . We assume that   is given in a disjunctive normal form (DNF).\n\nA run of an ABW is a Q-labeled Q-tree. Disjunctions are equivalent to non- deterministic choices, and so every disjunct induces a tree. A conjunction induces a split to two or more successors. For example,   induces two trees. In the first, q has two successors,   and  . In the second tree the only successor of q is  . A run is accepting if every infinite path in the corresponding tree visits a state from   infinitely often, and every finite path ends with  . The notions of acceptance and language are as in NBWs.\n\nWe say that an automaton (either NBW or ABW) is a labeled automaton if its definition also includes a labeling function   for its states, where L is a set of labels. We use this notion to conveniently define variable automata later on.\n\nWe assume that the reader is familiar with the syntax and semantics of LTL.\n\nVariable LTL, or VLTL, as defined in [11], extends LTL by augmenting atomic propositions with variables. Let AP be a set of parameterized atomic propositions, let X be a finite set of variables, and let   be a vector of variables. Then, the formulas in VLTL are over  , thus allowing the propositions to carry data from an infinite data domain. We inductively define the syntax of VLTL.\n\n  * For every   and   the formulas a.x and   are VLTL formulas2.\n\n  * For a VLTL formula   and  , the formulas   and   are in VLTL.\n\n  * If   and   are VLTL formulas, then so are  ;  ;  ;  ;  ;  ; and  , where   is the release operator, which is the dual operator of  .\n\nGiven an alphabet  , an assignment  , and a word  , we denote   if   under the standard semantics of LTL. For example, for   it holds that   for  .\n\nWe denote   if there exists an assignment   to the variable x such that  , where   is as defined before. We denote   if for every assignment   to the variable x, it holds that  .\n\nWe say that a formula   is closed if every occurrence of a variable in   is under the scope of a quantifier. Notice that the satisfaction of closed formulas is independent of specific assignments. For a closed formula   over  , we then write  .\n\nThe logic  -VLTL is the set of all closed VLTL formulas in negation normal form (NNF) that only use the  -quantifier. Note that the  -quantifier may appear anywhere in the formula. The logic  -VLTL is the set of all  -VLTL formulas in prenex normal form, i.e.,  -quantifiers appear only at the beginning of the formula.\n\nThe language of a formula  , denoted  , is the set of computations that satisfy  .\n\nWe now define non-deterministic variable B\u00fcchi automata over infinite words (NVBWs). Our definition is tailored to model VLTL formulas, and thus is slightly different from the definition in [10]. Specifically, the alphabet consists of subsets of  , where AP is a finite set of parameterized atomic propositions.\n\nAn NVBW is a tuple  , where   is a labeled NBW, X is a finite set of variables,   is a labeling function that labels each state q with the set of variables that are reset at q, the set   is an inequality set over X, and   is an infinite alphabet.\n\nA run of an NVBW   on a word  , where   is a pair   where  , is an infinite sequence of states, and   is a sequence of mappings   such that:\n\n  1. 1.\n\nThere exists a word   such that   and   is a run of   on z. We say that z is a symbolic word that is consistent on   with the concrete word  .\n\n  2. 2.\n\nThe run respects the reset actions: for every  , if   then  .\n\n  3. 3.\n\nThe run respects  : for every   and for every inequality   it holds that  .\n\nA run   on   is accepting if   is an accepting run of   on a symbolic word z that corresponds to   on  , i.e.   visits   infinitely often. The notion of acceptance and language are as in NBWs.\n\nIntuitively, a run of an NVBW   on a word   assigns each occurrence of a variable a letter from  . A variable can \"forget\" its value only if a reset action occurred. The inequality set   prevents from certain variables to be assigned with the same value.\n\nWe say that an NVBW   expresses a formula   if  .\n\nExample 1\n\nConsider the concrete word  . In an NVBW  , a corresponding symbolic word can be  . If   includes reset actions for   and   in every even state in some path of  , then another concrete word consistent with z can be  , since the values of   and   can change at every even state.\n\n## 3 Variable Automata: Non-determinism Vs. Alternation\n\nIn Sect. 5 we show that NVBWs are useful for model checking in our setting, since they have good decidability properties. In particular, there is a polynomial construction for intersection of NVBWs, and their emptiness problem is NLOGSPACE-complete [10]. In Sect. 4 we describe a translation of  -VLTL formulas to NVBWs. We now show that NVBWs are too weak to express all VLTL formulas, or even all  -VLTL formulas. It follows that  -VLTL is strictly more expressive than  -VLTL. Nevertheless, we use NVBWs for model checking at least for some fragments of  -VLTL.\n\nBefore discussing the properties of variable automata, we first give some motivation for their definition, as given in Sect. 2. In particular, we give motivation for the reset labeling function and for  , the inequity set.\n\nExample 2\n\nWe begin with resets. Consider the  -VLTL formula  . One possible computation satisfying   is  . No NVBW with a finite number of variables can read  , unless some variable is reassigned. The reset action allows these reassignments.\n\nExample 3\n\nTo see the necessity of the inequality set  , consider the  -VLTL formula  . We can use a variable x to store a value that never appears along the computation with a. Imposing inequality restrictions on x with all other variables makes sure that the value assigned to x does not appear along the computation via assignments to other variables. Note that if the logic does not allow negations at all, the inequality set is not needed.\n\n### 3.1 NVBWs Are Not Expressive Enough for  -VLTL\n\nWe first show that NVBWs cannot express every  -VLTL formula.\n\nLemma 1\n\nThe formula   cannot be expressed by an NVBW.\n\nProof\n\nConsider the following word   over   and  .\n\ni.e., b.(i) occurs in  , and   occurs for the first time in   and continues until  .\n\nIt is easy to see that   satisfies   since at step t for   we have that b.t holds, and at some point in the future, specifically at step  , the proposition a.t will hold.\n\nAssume, by way of contradiction, that   is an NVBW with m variables that expresses  . Then over a sub-word with more than m values for b, one variable must be reset and used for two different values. We can then create a different computation in which the value that was \"forgotten\" never appears with a, thus not satisfying  , but accepted by  , a contradiction.\n\nNot only  -quantifiers are problematic for NVBWs. NVBWs cannot handle  -quantifiers, even in PNF. The proof of the following Lemma is almost identical to the proof of Lemma 1.\n\nLemma 2\n\nThe formula   cannot be expressed by an NVBW.\n\n### 3.2 Alternating Variable B\u00fcchi Automata\n\nIn Sect. 3.1 we have shown that NVBWs are not expressive enough, even when considering only the fragment of  -VLTL. We now introduce alternating variable B\u00fcchi automata over infinite words (AVBW), and show that they can express all of  -VLTL. We study their expressibility and decidability properties.\n\nDefinition 1\n\nAn AVBW is a tuple   where   is a labeled ABW, X is a finite set of variables,   is a labeling function that labels every state q with the set of variables that are reset at q, the set   is an inequality set, and   is an infinite alphabet. We only allow words in which a proposition   for   appears at most once in every computation step, i.e., no word can contain both   and   for   at the same position.\n\nA run of an AVBW   on a word   is a pair   where T is a Q-labeled Q-tree and r labels each node t of T by a function   such that:\n\n  1. 1.\n\nThe root of T is labeled with  .\n\n  2. 2.\n\nFor each path   on T there exists a symbolic word   such that  .\n\n  3. 3.\n\nThe run respects  : for each node   labeled by q of depth i on path  , the successors of t are labeled by   iff one of the conjuncts in   is exactly  .\n\n  4. 4.\n\nThe run respects the reset actions: if   is a child node of t labeled by q and  , then  .\n\n  5. 5.\n\nThe run respects  : for every   and for every node   it holds that  .\n\nIntuitively, much like in NVBWs, the variables in every node in the run tree are assigned values in a way that respects the resets and the inequality set.\n\nA run   on   is accepting if every infinite path   is labeled infinitely often with states in  . The notion of acceptance and language are as usual. Note that the same variable can be assigned different values on different paths.\n\nJust like ABWs, AVBWs are naturally closed under union and intersection. However, unlike ABWs, they are not closed under complementation. We prove this in Sect. 3.4.\n\n### 3.3 AVBWs Can Express All of  -VLTL\n\nWe now show that AVBWs can express  -VLTL. Together with Lemma 1, we reach the following surprising theorem.\n\nTheorem 1\n\nAVBWs are strictly more expressive than NVBWs.\n\nThis is in contrast to the finite alphabet case, where there are known algorithms for translating ABWs to NBWs [14].\n\nTheorem 2\n\nEvery  -VLTL   formula can be expressed by an AVBW  .\n\nWe start with an example AVBW for   from Lemma 1.\n\nExample 4\n\nLet   where  .\n\n  *  ,\n\n  *\n\nIntuitively,   makes sure that at each step there is some value with which b holds. The run then splits to both   and  . The state   waits for a with the same value as was seen in   (since   is not reset along this path, it must be the same value), and uses   to ignore other values that are attached to a, b. The state   continues to read values of b (which again splits the run), while using   to ignore values assigned to a. See Fig. 1 for a graphic representation of  .\n\nFig. 1.\n\nThe AVBW   described in Example 4 and an example of a run. The double arch between transitions represents an \"and\" in  .\n\nWe now proceed to the proof of Theorem 2.\n\nProof\n\nLet   be an  -VLTL formula. We present an explicit construction of  , based on the construction of [18] and by using resets to handle the  -quantifiers, and inequalities to handle negations. First, we rename the variables in   and get an equivalent formula  , where each existential quantifier bounds a variable with a different name. For example, if   then  . Let   denote all sub-formulas of   and let   denote the set of variables that appear in  .\n\nLet   where   and where\n\n  *\n\n  *\n\n  *   and, for  , we have  .\n\n  *  .\n\n  *   consists of all states of the form  .\n\nThe set of states Q consists of all sub-formulas of  . Intuitively, at every given point there is an assignment to the variables, that may change via resets. If an accepting run of   on   visits a state  , then the suffix of   that is read from   satisfies   under the current assignment to the variables. The set of variables X consists of all variables in  , as well as a variable   for every atomic proposition  . The additional variables enable the run to read and ignore currently irrelevant inputs. For example, for  , we want to read (and ignore) values of a and b until   occurs with some  .\n\nLet A be a subset of   (recall that   is defined over the alphabet  ). We define   as follows.\n\n  *   if   and   if\n\n  *   if   and   if\n\n  *  .\n\n  *\n\n  *\n\n  *\n\n  *\n\n  *\n\nNote that since we only use formulas in NNF, we define   for both \"and\" and \"or\", as well as for   (until) and   (release) operators.\n\nCorrectness. It can be shown that a word   is accepted from a state   with a variable assignment r iff  . We elaborate on how the construction handles the  -quantifier and negations.\n\nThe  -quantifier is handled by resetting the variables under its scope. Indeed, according to the semantics of  , for   of the form  , the suffix of   holds if   holds for some assignment to x. Resetting x allows the run to correctly assign x in a way that satisfies  . Notice also that from this point on, due to the   quantifier, the previous value assigned to x may be forgotten.\n\nRecall that we only allow negations on atomic propositions. We handle these negations with inequalities. If   is a sub-formula of  , then we do not want the value assigned to x to appear with a when reading a from state  . Thus, all variables that a can occur with from state   must be assigned different values from the value currently assigned to x. We express this restriction with the inequality set  .\n\n### 3.4 AVBWs Are Not Complementable\n\nAs mentioned before, unlike ABWs, AVBWs are not complementable. To prove this, we show that  -VLTL cannot generally be expressed by AVBWs. Since negating an  -VLTL formula produces a  -VLTL formula, the result follows.\n\nTheorem 3\n\nThere is no AVBW that expresses  .\n\nProof\n\nObviously, if the alphabet is not countable, then it cannot be enumerated by a computation. However, the claim holds also for countable alphabets. Assume by way of contradiction that there exists an AVBW   that expresses   for  . Then   accepts  . Since the variables are not sensitive to their precise contents but only to inequalities among the values, it is easy to see that the accepting run of   on w can also be used to read  , in which the value 0 never occurs.\n\nThe negation of the above   is in  -VLTL, thus there is an AVBW that expresses it.\n\nCorollary 1\n\nAVBWs are not complementable.\n\nCorollary 2\n\n -VLTL is not expressible by AVBWs.\n\n### 3.5 Variable Automata: From AVBW to NVBW\n\nThe emptiness problem for NVBWs is NLOGSPACE-complete [10]. In the context of model checking, this is an important property. We now show that for AVBWs, the emptiness problem is undecidable.\n\nLemma 3\n\nThe emptiness problem for AVBWs is undecidable.\n\nProof\n\nAccording to [17], the satisfiability problem for  -VLTL is undecidable. The satisfiability of a formula   is equivalent to the nonemptiness of an automaton that expresses  . Since we have showed that every  -VLTL formula can be expressed by an AVBW, the proof follows.\n\nSince the emptiness problem for NVBWs is easy, we are motivated to translate AVBWs to NVBWs in order to model check properties that are expressed by AVBWs. In particular, it will enable us to model check  -VLTL properties. This, however, is not possible in general since AVBWs are strictly more expressive than NVBWs (Theorem 1).\n\nIn this section we present an incomplete algorithm, which translates an interesting subset of AVBWs to equivalent NVBWs. We later give a structural characterization for AVBWs that can be translated by our algorithm to NVBWs.\n\n#### 3.5.1 From AVBW to NVBW\n\nOur algorithm is inspired by the construction of [14] for translating ABW to NBW. In [14] the states of the NBW are of the form   where S is the set of the states the ABW is currently at, and O is the set of states from paths that \"owe\" a visit to an accepting state. While running the NBW on a word  , accepting states are removed from O, until  . Thus, when  , all paths have visited an accepting state at least once. Now, O is again set to be S, and a new round begins. The accepting states of the NBW are states of the form  .\n\nHere, we wish to translate an AVBW   to an NVBW  . For simplicity, we assume that  . The changes for the case where   are described later.\n\nIn our case, the variables make the translation harder, and as shown before, even impossible in some cases. In addition to S, O we must also remember which variables are currently in use, and might hold values from previous states. In our translation, the states of the NVBW are tuples containing S, O and the sets of variables in use. Since AVBWs allow different paths to assign different values to the same variable, the translation to an NVBW must allocate a new variable for each such assignment. We also need to release variables that were reset in the AVBW, in order to reuse them in the NVBW to avoid defining infinitely many variables. Since we need to know which variables are in use at each step of a run of  , we dynamically allocate both the states and the transitions of  .\n\nThus,  , the transition function of  , is defined dynamically during the run of our algorithm, as do the states of  . Moreover, since each path may allocate different values to the same variable, it might be the case that the same variable holds infinitely many values (from different paths). Such a variable induces an unbounded number of variables in  . Our algorithm halts when no new states are created, and since the fresh variables are part of the created states, creating infinitely many such variables causes our algorithm not to halt. Therefore, the algorithm is incomplete.\n\nAlgorithm   Let   be an AVBW, where    . For simplicity we assume that   is defined over the alphabet   instead of  . Recall that we assume that   is in DNF for all  . Let   be an NVBW where  , and3:\n\nTo handle cases where  , instead of mapping x to any unmapped variable  , each variable x may be mapped only to a unique set  . Then, we define  . Notice that this does not change the cardinality of Z.\n\n#### 3.5.2 A Structural Characterization of Translatable AVBWs\n\nIn order to define a structural characterization, we wish to refer to an AVBW   as a directed graph   whose nodes are the states of  . There is an edge from q to   iff   is in   for some  . For example, if   then there are edges from q to   and  .\n\nDefinition 2\n\nAn x-cycle in an AVBW A is a cycle   where  , of states in   such that:\n\n  1. 1.\n\nFor all   it holds that   is in   for some  .\n\n  2. 2.\n\nThere exists   such that   is in   for   and  . i.e. there is an edge from one state to another on the cycle, labeled x.\n\nTheorem 4\n\nAssume the preprocessing of stage 1 in the algorithm has been applied, resulting in an AVBW  . Algorithm AVBWtoNVBW halts on   and returns an equivalent NVBW iff for every x-cycle   in   one of the following holds:\n\n  1. 1.\n\nFor every q on   it holds that  .\n\n  2. 2.\n\nFor every state q on a path from the initial state to   with   for  , such that   is on the cycle   and   leads to an accepting state, it holds that every x-cycle   on a path from   to an accepting state contains a state   with  .\n\nProof\n\nFirst, notice that Algorithm AVBWtoNVBW halts iff Z is of a finite size, i.e., the number of variables it produces is finite.\n\nFor the first direction we show that running AVBWtoNVBW on an AVBW   with the above properties results in an NVBW with Z of a finite size. In each of the two cases, we can bound the distance between two reset actions for the same variable, or between a reset action and an accepting state, along every possible run. This, since we can bound the length of the longest path from a state on an x-cycle to an accepting state. Thus all variables in X induce a finite number of variables in Z.\n\nFor the other direction, since 1\u20132 do not hold, there exists a state q that leads both to an x-cycle   on which x is reset, and to an x-cycle   with no  , on a way to an accepting state. While running our algorithm, a new mapping   is introduced at every visit to   on  . At the same time,   cannot be removed from  , because of the visits to  , which does not reset x, and thus its value must be kept. Therefore, the algorithm continuously creates new assignments   for  . Thus   contains an unbounded set of variables. The fact that there is a path to an accepting state is needed in order for this cycle to \"survive\" the preprocessing.\n\n#### 3.5.3 Completeness and Soundness\n\nAs we mentioned before, no translation algorithm from AVBWs to NVBWs can be both sound and complete, and have a full characterization of inputs for which the algorithm halts. We now prove this claim.\n\nTheorem 5\n\nThere is no algorithm   that translates AVBWs into NVBWs such that all the following hold.\n\n  1. 1.\n\nCompleteness - for every   that has an equivalent NVBW,   halts and returns such an equivalent NVBW.\n\n  2. 2.\n\nSoundness - If   halts and returns an NVBW  , then   is equivalent to A.\n\n  3. 3.\n\nThere is a full characterization of AVBWs for which   halts.\n\nProof\n\nAs we have shown in Lemma 3, the emptiness problem of AVBWs is undecidable. Assume there is a translation algorithm   as described in Theorem 5. Then consider the following procedure. Given an AVBW  , if   halts, check if   is empty. If   does not halt on input  , we know it in advance due to the full characterization. Moreover, we know that   is not empty (otherwise, since   is complete,   would halt on  , since there is an NVBW for the empty language). Hence, a translation algorithm as described in Theorem 5 gives us a procedure to decide the emptiness problem for AVBWs, a contradiction.\n\nFor our algorithm, we have shown a full characterization for halting. Now we prove that our algorithm is sound, and demonstrate its incompleteness by an example of an AVBW for the empty language, for which our algorithm does not halt.\n\nTheorem 6\n\nAlgorithm AVBWtoNVBW is sound.\n\nProof\n\nFirst we show that the definition of   is correct. Indeed, every   is derived from  , and each   is induced from only one variable,  . Therefore,   preserves exactly the inequalities of  . Now,   is defined according to   such that if   is induced from x, and x is reset in a state q then   is reset in states that include q. Therefore   allows fresh values only when   does. The correctness of the rest of the construction follows from the correctness of [14] and from the explanations in the body of the algorithm.\n\nExample 5\n\nIncompleteness of the algorithm Let   where     and  . The definition of   is:  . The language of   is empty, since in order to reach an accepting state on the path from  , the input must be exactly   for some  , but the cycle of   only allows to read  , without any b.i. Although there is an NVBW for the empty language, our algorithm does not halt on  : it keeps allocating new variables to x, thus new states are created and the algorithm does not reach a fixed point.\n\n## 4 Fragments of  -VLTL Expressible by NVBWs\n\nWe now present several sub-fragments of  -VLTL with a direct NVBW construction.\n\nWe can construct an NVBW for  -VLTL formula in prenex normal form, denoted   -VLTL. The construction relies on the fact that variables cannot change values throughout the run. Since every  -VLTL formula is expressible with an NVBW, together with Lemma 1, we have the following corollary.\n\nCorollary 3\n\n -VLTL is stronger than  -VLTL.4.\n\nAnother easy fragment is  -  -VLTL, which is  -VLTL with only the   temporal operators, similar to the definitions of [9].   and   are interchangeable. Thus, every  - -VLTL formula is equivalent to an  -VLTL, which has a direct construction to an NVBW.\n\nA direct construction from VLTL to NVBWs exists also for  -VLTL formulas in which all quantifiers are either at the beginning of the formula, or adjacent to a parameterized atomic proposition. This extends the construction for  -VLTL by adding resets to some of the states.\n\n## 5 Model Checking in Practice\n\nThe model-checking problem over infinite data domains asks whether an NVBW   accepts a computation that satisfies an  -VLTL formula  , which specifies \"bad\" behaviors. If   is one of the types mentioned in Sect. 4, we can build an equivalent NVBW   for  . For a general  , we build an equivalent AVBW   according to Sect. 3.3 and if the structure of   agrees with the structural conditions of Theorem 4, we translate   to an equivalent NVBW   according to Sect. 3.5.1. Now, if   exists, the intersection   includes all computations of   that are also computations of  . Checking the emptiness of the intersection decides whether   has a \"bad\" behavior that satisfies  .\n\n## 6 Conclusions and Future Work\n\nWe defined AVBWs, a new model of automata over infinite alphabets that describes all  -VLTL formulas. We showed that AVBWs, unlike ABWs, are not complementable and are stronger than NVBWs. Nevertheless, we presented an algorithm for translating AVBWs to NVBWs when possible, in order to preform model checking. Moreover, we defined a structural characterization of translatable AVBWs. Finally, we presented the full process of model checking a model M given as an NVBW against an  -VLTL formula. A natural extension of our work is to use the techniques presented in this paper in order to preform model checking for VCTL [12] formulas as well.\n\nReferences\n\n1.\n\nBarringer, H., Falcone, Y., Havelund, K., Reger, G., Rydeheard, D.: Quantified event automata: towards expressive and efficient runtime monitors. In: Giannakopoulou, D., M\u00e9ry, D. (eds.) FM 2012. LNCS, vol. 7436, pp. 68\u201384. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-32759-9_\u200b9 CrossRef\n\n2.\n\nBauer, A., Leucker, M., Schallhart, C.: Runtime verification for LTL and TLTL. ACM Trans. Softw. Eng. Methodol. 20(4), 14:1\u201314:64 (2011)CrossRef\n\n3.\n\nBoja\u0144czyk, M., Muscholl, A., Schwentick, T., Segoufin, L., David, C.: Two-variable logic on words with data. In: 21st IEEE Symposium on Logic in Computer Science (LICS 2006), 12\u201315, Seattle, WA, USA, Proceedings, pp. 7\u201316. IEEE Computer Society, 2006, August 2006\n\n4.\n\nBouajjani, A., Habermehl, P., Jurski, Y., Sighireanu, M.: Rewriting systems with data. In: Csuhaj-Varj\u00fa, E., \u00c9sik, Z. (eds.) FCT 2007. LNCS, vol. 4639, pp. 1\u201322. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-74240-1_\u200b1 CrossRef\n\n5.\n\nBrambilla, M., Ceri, S., Comai, S., Fraternali, P., Manolescu, I.: Specification and design of workflow-driven hypertexts. J. Web Eng. 1(2), 163\u2013182 (2003)\n\n6.\n\nJ. R. Buechi. On a decision method in restricted second-order arithmetic. In International Congress on Logic, Methodology, and Philosophy of Science, pp. 1\u201311. Stanford University Press, (1962)\n\n7.\n\nCeri, S., Matera, M., Rizzo, F., Demald\u00e9, V.: Designing data-intensive web applications for content accessibility using web marts. Commun. ACM 50(4), 55\u201361 (2007)CrossRef\n\n8.\n\nColin, S., Mariani, L.: Run-time verification. In: Broy, M., Jonsson, B., Katoen, J.-P., Leucker, M., Pretschner, A. (eds.) Model-Based Testing of Reactive Systems. LNCS, vol. 3472, pp. 525\u2013555. Springer, Heidelberg (2005). doi:10.\u200b1007\/\u200b11498490_\u200b24 CrossRef\n\n9.\n\nEmerson, E.A., Halpern, J.Y.: \"sometimes\" and \"not never\" revisited: on branching versus linear time temporal logic. J. ACM 33(1), 151\u2013178 (1986)MathSciNetCrossRefMATH\n\n10.\n\nGrumberg, O., Kupferman, O., Sheinvald, S.: Variable Automata over Infinite Alphabets. In: Dediu, A.-H., Fernau, H., Mart\u00edn-Vide, C. (eds.) LATA 2010. LNCS, vol. 6031, pp. 561\u2013572. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-13089-2_\u200b47 CrossRef\n\n11.\n\nGrumberg, O., Kupferman, O., Sheinvald, S.: Model checking systems and specifications with parameterized atomic propositions. In: Chakraborty, S., Mukund, M. (eds.) ATVA 2012. LNCS, pp. 122\u2013136. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-33386-6_\u200b11 CrossRef\n\n12.\n\nGrumberg, O., Kupferman, O., Sheinvald, S.: A game-theoretic approach to simulation of data-parameterized systems. In: Cassez, F., Raskin, J.-F. (eds.) ATVA 2014. LNCS, vol. 8837, pp. 348\u2013363. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-11936-6_\u200b25\n\n13.\n\nKaminski, M., Francez, N.: Finite-memory automata. Theor. Comput. Sci. 134(2), 329\u2013363 (1994)MathSciNetCrossRef90242-9)MATH\n\n14.\n\nMiyano, S., Hayashi, T.: Alternating finite automata on omega-words. Theor. Comput. Sci. 32, 321\u2013330 (1984)MathSciNetCrossRef90049-5)MATH\n\n15.\n\nMuller, D., Schupp, P.E.: Alternating automata on infinite objects, determinacy and Rabin's theorem. In: Nivat, M., Perrin, D. (eds.) LITP 1984. LNCS, vol. 192, pp. 99\u2013107. Springer, Heidelberg (1985). doi:10.\u200b1007\/\u200b3-540-15641-0_\u200b27 CrossRef\n\n16.\n\nNeven, F., Schwentick, T., Vianu, V.: Towards regular languages over infinite alphabets. In: Sgall, J., Pultr, A., Kolman, P. (eds.) MFCS 2001. LNCS, vol. 2136, pp. 560\u2013572. Springer, Heidelberg (2001). doi:10.\u200b1007\/\u200b3-540-44683-4_\u200b49 CrossRef\n\n17.\n\nSong, F., Wu, Z.: Extending temporal logics with data variable quantifications. In: Raman, V., Suresh, S.P. (eds.) 34th International Conference on Foundation of Software Technology and Theoretical Computer Science, FSTTCS 15\u201317, 2014, New Delhi, India, vol. 29 of LIPIcs, pp. 253\u2013265. Schloss Dagstuhl - Leibniz-Zentrum fuer Informatik, 2014, December 2014\n\n18.\n\nVardi, M.Y.: An automata-theoretic approach to linear temporal logic. In: Moller, F., Birtwistle, G. (eds.) Logics for Concurrency. LNCS, vol. 1043, pp. 238\u2013266. Springer, Heidelberg (1996). doi:10.\u200b1007\/\u200b3-540-60915-6_\u200b6 CrossRef\n\n19.\n\nVardi, M.Y., Wolper, P.: An automata-theoretic approach to automatic program verification (preliminary report). In: Proceedings of the Symposium on Logic in Computer Science (LICS 1986), Cambridge, Massachusetts, USA, June 16\u201318, pp. 332\u2013344. IEEE Computer Society (1986)\n\nFootnotes\n\n1\n\nIn particular, the negation operator is not included.\n\n2\n\nThe semantics of   is regarding a specific value. I.e., if   then a.d does not hold, but   for   may hold.\n\n3\n\nComments to the algorithm are given in gray.\n\n4\n\nIn [17] the authors conjecture without proof that the formula   does not have an equivalent in PNF. In Lemma 1 we showed   does not have an equivalent NVBW, thus it does not have an equivalent  -VLTL formula. This is a different formula from  , but the conclusion remains the same.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_2\n\n# Learning from Faults: Mutation Testing in Active Automata Learning\n\nMutation Testing in Active Automata Learning\n\nBernhard K. Aichernig1  and Martin Tappler1\n\n(1)\n\nInstitute of Software Technology, Graz University of Technology, Graz, Austria\n\nBernhard K. Aichernig\n\nEmail: aichernig@ist.tugraz.at\n\nMartin Tappler (Corresponding author)\n\nEmail: martin.tappler@ist.tugraz.at\n\nAbstract\n\nSystem verification is often hindered by the absence of formal models. Peled et al. proposed black-box checking as a solution to this problem. This technique applies active automata learning to infer models of systems with unknown internal structure.\n\nThis kind of learning relies on conformance testing to determine whether a learned model actually represents the considered system. Since conformance testing may require the execution of a large number of tests, it is considered the main bottleneck in automata learning.\n\nIn this paper, we describe a randomised conformance testing approach which we extend with fault-based test selection. To show its effectiveness we apply the approach in learning experiments and compare its performance to a well-established testing technique, the partial W-method. This evaluation demonstrates that our approach significantly reduces the cost of learning \u2013 in one experiment by a factor of more than twenty.\n\nKeywords\n\nConformance testingMutation testingFSM-based testingActive automata learningMinimally adequate teacher framework\n\n## 1 Introduction\n\nSince Peled et al. [21] have shown that active automata learning can provide models of black-box systems to enable formal verification, this kind of learning has turned into an active area of research in formal methods. Active learning of automata in the minimally adequate teacher (MAT) framework, as introduced by Angluin [2], assumes the existence of a teacher. In the non-stochastic setting, this teacher must be able to answer two types of queries, membership and equivalence queries. The former corresponds to a single test of the system under learning (SUL) to check whether a sequence of actions can be executed or to determine the outputs produced in response to a sequence of inputs. Equivalence queries on the other hand correspond to the question whether a hypothesis model produced by the learner represents the SUL. The teacher either answers affirmatively or with a counterexample showing non-equivalence between the SUL and the hypothesis.\n\nThe first type of query is simple to implement for learning black-box systems. It generally suffices to reset the system, execute a single test and record observations. Equivalence queries however, are more difficult to implement. Peled et al. [21], as one of the first to combine learning and formal verification, proposed to implement these queries via conformance testing. In particular, they suggested to use the conformance testing algorithm by Vasilevskii [30] and Chow [6].\n\nThis method is also referred to as W-method and there exist optimisations of it, like the partial W-method [11] or an approach by Lee and Yannankakis [16], but all have the same worst-case complexity [4]. All three methods share two issues. They require a fixed upper bound on the number of states of the black-box system which is generally unknown. Additionally, the size of the constructed test suite is exponential in this bound. Therefore, implementing the equivalence oracle can be considered \"the true bottleneck of automata learning\" [4].\n\nIn practice, there is limited time for testing and thereby also for learning. The ZULU challenge [7] addressed this issue by limiting the number of tests to be executed [12]. More concretely, competitors learned finite automata from a limited number of membership queries without explicit equivalence queries. Equivalence queries thus had to be approximated through clever selection of membership queries. This led to a different view of the problem: rather than \"trying to prove equivalence\", the new target was \"finding counterexamples fast\" [12].\n\nIn this paper we propose an implementation of equivalence queries based on mutation testing [15], more specifically on model-based mutation testing [1]. This approach follows the spirit of the ZULU challenge by trying to minimise the number of tests for executing equivalence queries. We use a combination of random testing, to achieve high variability of tests, and mutation analysis, to address coverage appropriately. To illustrate the effectiveness of our approach, which has been implemented based on the LearnLib library [14], we will mainly compare it to the partial W-method [11] and show that the cost of testing can be significantly reduced while still learning correctly. In other words, our method reliably finds counterexamples with less testing. In addition to that, we also compare it to purely random testing and to an effective implementation of a randomised conformance testing method described by Smeenk et al. [26].\n\nWe target systems which can be modelled with a moderately large number of states, i.e. with up to fifty states. This restriction is necessary, because mutation analysis is generally a computationally intensive task for large systems. Nevertheless, there exists a wealth of non-trivial systems, such as implementations of communication protocols, which can be learned nonetheless. The rest of this paper is structured as follows. Section 2 discusses related work and Sect. 3 introduces preliminaries. The main parts, the test-suite generation approach and its evaluation, are presented in Sects. 4 and 5. We conclude the paper in Sect. 6. The implementation used in our evaluation is available at [27].\n\n## 2 Related Work\n\nWe address conformance testing in active automata learning. Hence, there is a relationship to the W-method [6, 30] and the partial W-method [11], two conformance testing methods implemented in LearnLib [14]. However, we handle fault coverage differently. By generating tests to achieve transition coverage, we also test for \"output\" faults, but do not check for \"transfer\" faults. Instead we present a fault model directly related to the specifics of learning in Sect. 4.3.\n\nWe combine model-based mutation testing and random testing, which we discussed in previous work [1]. Generally, random testing is able to detect a large number of mutants fast, such that only a few subtle mutants need to be checked with directed search techniques. While we do not aim at detecting all mutants, i.e. we do not apply directed search, this property provides a certain level of confidence. By analysing mutation coverage of random tests, we can guarantee that detected mutations do not affect the learned model.\n\nHowar et al. noted that it is necessary to find counterexamples with few tests for automata learning to be practically applicable [12]. We generally follow this approach. Furthermore, one of the heuristics described in [12] is based on Rivest and Schapire's counterexample processing [23], similar to the fault model discussed in Sect. 4.3. More recent work in this area has been performed by Smeenk et al. [26], who implemented a partly randomised conformance testing technique. In order to keep the number of tests small, they applied a technique to determine an adaptive distinguishing sequence described by Lee and Yannakakis [17]. With this technique and domain-specific knowledge, they succeeded in learning a large model of industrial control software. The same technique has also been used to learn models of Transmission Control Protocol (TCP) implementations [10].\n\n## 3 Preliminaries\n\n### 3.1 Mealy Machines\n\nWe use Mealy machines because they are well-suited to model reactive systems and they have successfully been used in contexts combining learning and some form of verification [10, 18, 24, 28]. In addition to that, the Java-library LearnLib [14] provides efficient algorithms for learning Mealy machines.\n\nBasically, Mealy machines are finite state automata with inputs and outputs. The execution of such a Mealy machine starts in an initial state and by executing inputs it changes its state. Additionally, exactly one output is produced in response to each input. Formally, Mealy machines can be defined as follows.\n\nDefinition 1\n\nA Mealy machine   is a 6-tuple   where\n\n  * Q is a finite set of states\n\n  *   is the initial state,\n\n  * I\/O is a finite set of input\/output symbols,\n\n  *   is the state transition function, and\n\n  *   is the output function.\n\nWe require Mealy machines to be input-enabled and deterministic. The former demands that outputs and successor states must be defined for all inputs and all states, i.e.   and   must be surjective. A Mealy machine is deterministic if it defines at most one output and successor state for every pair of input and state, i.e.   and   must be functions in the mathematical sense.\n\nNotational Conventions. Let   be two sequences of input\/output symbols, i.e.   or  , then   denotes the concatenation of these sequences. The empty sequence is represented by  . The length of a sequence is given by |s|. We implicitly lift single elements to sequences, thus for   we have   with  . As a result, the concatenation   is also defined.\n\nWe extend   and   to sequences of inputs in the standard way. Let   be an input sequence and   be a state, then   is the state reached by executing s starting in state q. For   and  , the output function   returns the outputs produced in response to s executed in state q. Furthermore, let  . For state q the set   contains the access sequences of q, i.e. the sequences leading to q. Note that other authors define a unique access sequence   for each q [13].\n\nFinally we need a basis for determining whether two Mealy machines are equivalent. Equivalence is usually defined with respect to outputs [10], i.e. two deterministic Mealy machines are equivalent if they produce the same outputs for all input sequences. A Mealy machine   is equivalent to another Mealy machine   iff  . A counterexample to equivalence is thus an   such that  .\n\n### 3.2 Active Automata Learning\n\nWe consider learning in the minimally adequate teacher (MAT) framework [2]. Algorithms in this framework infer models of black-box systems, also referred to as SULs, through interaction with a so-called teacher.\n\nMinimally Adequate Teacher Framework. The interaction is carried out via two types of queries posed by the learning algorithm and answered by a MAT. These two types of queries are usually called membership queries and equivalence queries. In order to understand these basic notions of queries consider that Angluin's original   algorithm is used to learn a deterministic finite automaton (DFA) representing a regular language known to the teacher [2]. Given some alphabet, the   algorithm repeatedly selects strings and asks membership queries to check whether these strings are in the language to be learned. The teacher may answer either yes or no.\n\nAfter some queries the learning algorithm uses the knowledge gained so far and forms a hypothesis, i.e. a DFA consistent with the obtained information which should represent the regular language under consideration. The algorithm presents the hypothesis to the teacher and issues an equivalence query in order to check whether the language to be learned is equivalent to the language represented by the hypothesis automaton. The response to this kind of query is either yes signalling that the correct DFA has been learned or a counterexample to equivalence. Such a counterexample is a witness showing that the learned model is not yet correct, i.e. it is a word from the symmetric difference of the language under learning and the language accepted by the hypothesis.\n\nAfter processing a counterexample, learning algorithms start a new round of learning. The new round again involves membership queries and a concluding equivalence query. This general mode of operation is used by basically all algorithms in the MAT framework with some adaptations. These adaptations may for instance enable the learning of Mealy machines as described in the following.\n\nLearning Mealy Machines. Margaria et al. [18] and Niese [20] were one of the first to infer Mealy-machine models of reactive systems using an  -based algorithm. Another  -based learning algorithm for Mealy machines has been presented by Shahbaz and Groz [25]. They reuse the structure of  , but substitute membership queries for output queries. Instead of checking whether a string is accepted, they provide inputs and the teacher responds with the corresponding outputs. For a more practical discussion, consider the instantiation of a teacher. Usually we want to learn the behaviour of a black-box SUL of which we only know the interface. Hence, output queries are conceptually simple: provide inputs to the SUL and observe produced outputs. However, there is a slight difficulty hidden. Shahbaz and Groz [25] assume that outputs are produced in response to inputs executed from the initial state. Consequently, we need to have some means to reset a system. As discussed in the introduction, we generally cannot check for equivalence. It is thus necessary to approximate equivalence queries, e.g., via conformance testing as implemented in LearnLib [14]. To summarise, a learning algorithm for Mealy machines relies on three operations:\n\nreset:\n\nresets the SUL\n\noutput query:\n\nperforms a single test executing inputs and recording outputs\n\nequivalence query:\n\nconformance testing between SUL and hypothesis.\n\nAs shown in Fig. 1, the teacher is usually a component communicating with the SUL. An equivalence query results in a positive answer if all conformance tests pass, i.e. the SUL produces the same outputs as the hypothesis. If there is a failing test, the corresponding input sequence is returned as counterexample.\n\nFig. 1.\n\nThe interaction between SUL, teacher and learning algorithm (based on [26]).\n\nDue to the incompleteness of testing, learned models may be incorrect. If, e.g., the W-method [6, 30] is used for testing, the learned model may be incorrect if assumptions placed on the maximum number of states of the SUL do not hold.\n\n## 4 Test-Suite Generation\n\nWe had shown previously \"that by adding mutation testing to a random testing strategy approximately the same number of bugs were found with fewer test cases\" [1]. Motivated by this, we developed a simple and yet effective test-suite generation technique. The test-suite generation has two parts, (1) generating a large set of tests T and (2) selecting a subset   to be run on the SUL.\n\n### 4.1 Test-Case Generation\n\nThe goal of the test-case generation is to achieve high coverage of the model under consideration combined with variability through random testing. The test-case generation may start with a random walk through the model and then iterates two operations. First, a transition of the model is chosen randomly and a path leading to it is executed. If the transition is not reachable, another target transition is chosen. Second, another short random walk is executed. These two operations are repeated until a stopping criterion is reached.\n\nStopping. Test-case generation stops as soon as the test has a length greater than a maximum number of steps  . Alternatively, it may also stop dependent on probabilities   and  . The first one controls the probability of continuing in case a selected transition is not reachable while the second one controls the probability of stopping prematurely.\n\nRandom Functions. The generation procedure uses three random functions. A function   defined for   by   and  . The function   selects a single sample from a set according to a uniform distribution, i.e.  . The function   takes a set S and a bound   and creates a sequence of length   consisting of elements from S chosen via  , whereby l is chosen uniformly from [0..b].\n\nWe assume a given Mealy machine   in the following. Algorithm 1 realises the test-case generation based on  . As additional inputs, it takes stopping parameters and  , an upper bound on the number of steps executed between visiting two transitions. The function   returns a path leading from the current state to another state. Currently, this is implemented via breadth-first exploration but other approaches are possible as long as they satisfy   iff   and   such that  , where   denotes that no such path exists.\n\n### 4.2 Test-Case Selection\n\nTo account for variations in the quality of randomly generated tests, not all generated tests are executed on the SUL, but rather a selected subset. This selection is based on coverage, e.g. transition coverage.\n\nFor the following discussion, assume that a set of tests   of fixed size   should be selected from a previously generated set T to cover elements from a set C. In a simple case, C can be instantiated to the set of all transitions, i.e.   as   uniquely identifies a transition because of determinism. The selection comprises the following three steps:\n\n  1. 1.\n\nThe coverage of single test cases is analysed, i.e. each test case   is associated with a set   covered by t.\n\n  2. 2.\n\nThe actual selection has the objective of optimising the overall coverage of C. We greedily select test cases until either the upper bound   is reached, all elements in C are covered, or we do not improve coverage. More formally:\n\n  3. 3.\n\nIf   tests have not yet been selected, then further tests are selected which individually achieve high coverage. For that   are sorted in descending size of   and the first   tests are selected.1\n\n### 4.3 Mutation-Based Selection\n\nA particularly interesting selection criterion is mutation-based selection. The choice of this criterion is motivated by the fact that model-based mutation testing can effectively be combined with random testing [1]. Generally, in this fault-based test-case generation technique, known faults are injected into a model creating so-called mutants. Test cases are then generated which distinguish these mutants from the original model and thereby test for the corresponding faults.\n\nThus, in our case we alter the hypothesis  , creating a set of mutants  . The objective is now to distinguish mutants from the hypothesis, i.e. we want tests that show that mutants are observably different from the hypothesis. Hence, we can set   and  .\n\nType of Mutation. The type of faults injected into a model is governed by mutation operators, which basically map a model to a set of mutated models (mutants). There is a variety of operators for programs [15] and also finite-state machines [9]. As an example, consider a mutation operator change output which changes the output of each transition and thereby creates one mutant per transition. Since there is exactly one mutant that can be detected by executing each transition, selection based on such mutants is equivalent to selection with respect to transition coverage. Hence, mutation can simulate other coverage criteria. In fact, for our evaluation we implemented transition coverage via mutation.\n\nBlindly using all available mutation operators may not be effective. Fault-based testing should rather target faults likely to occur in the considered application domain [22]. Thus, we developed a family of mutation operators, called split-state operators, directly addressing active automata learning.\n\nSplit-State Operator Family. There are different ways to process counterexamples in the MAT framework, such as by adding all prefixes to the used data structures [2]. An alternative technique due to Rivest and Schapire [23] takes the \"distinguishing power\" of a counterexample into account. The basic idea is to decompose a counterexample into a prefix u, a single action a and a suffix v such that v is able to distinguish access sequences in the current hypothesis. In other words, the distinguishing sequence v shows that two access sequences, which were hypothesised to lead to the same state, actually lead to observably nonequivalent states. This knowledge is then integrated into the data structures.\n\nSince it is an efficient form of processing counterexamples, adaptations of it have been used in other learning algorithms such as the TTT algorithm [13]. This algorithm makes the effect of this decomposition explicit. It splits a state q reached by an access sequence derived from u and a. The splitting further involves (1) adding a new state   reached by another access sequence derived from u and a (which originally led to q) and (2) adding sequences to the internal data structures which can distinguish q and  .\n\nThe development of the split-state family of mutation operators is motivated by the principle underlying the TTT and related algorithms. Basically, we collect pairs   of access sequences of a state q, add a new state   and redirect   to  . Furthermore, we add transitions such that   behaves the same as q except for a distinguishing sequence v. Example 1 illustrates this mutation operator.\n\nExample 1\n\n(Split State Mutation). A hypothesis produced by a learning algorithm may be of the form shown in Fig. 2a. Note that not all edges are shown in the figure and dashed edges represent sequences of transitions. The access sequences   of   thus include   and  . A possible corresponding black-box SUL is shown in Fig. 2b. In this case, the hypothesis incorrectly assumes that   and   lead to the same state. We can model a transformation from the hypothesis to the SUL by splitting   and   and changing the output produced in the new state   as indicated in Fig. 2b. State   has to be split as well to introduce a distinguishing sequence of length 2 while still maintaining determinism. A test case covering the mutation is  .\n\nFig. 2.\n\nDemonstration of split state.\n\nA mutant models a SUL containing two different states q and   which are assumed to be equivalent by the hypothesis. By executing a test covering a mutant  , we either find an actual counterexample to equivalence between SUL and hypothesis or prove that the SUL does not implement  . Hence, it is possible to guarantee that the SUL possesses certain properties. This is similar to model-based mutation testing in general, where the absence of certain faults, those modelled by mutation operators, can be guaranteed [1].\n\nSplit state is a family of mutation operators as the effectiveness of the approach is influenced by several parameters, such that the instantiation of parameters can be considered a unique operator. The parameters are:\n\nMax. number of sequences   :\n\nan upper bound on the number of mutated access sequences leading to a single state.\n\nLength of distinguishing sequences k :\n\nfor each splitting operation we create   mutants, one for each sequence of length k. Note that this requires the creation of k new states. Coverage of all mutants generated with length k implies coverage of all mutants with length  .\n\nSplit at prefix flag:\n\nredirecting a sequence   from q to   usually amounts to changing   to  . However, if the other access sequence in the pair is   with  , this is not possible because it would introduce non-determinism. This flag specifies whether the access sequence pair   is ignored or whether further states are added to enable redirecting  . We generally set it to  .\n\nEfficiency Considerations. While test-case generation can efficiently be implemented, mutation-based selection is computationally intensive. It is necessary to check which of the mutants is covered by each test case. Since the number of mutants may be as large as  , this may become a bottleneck.\n\nConsequently, cost reduction techniques for mutation [15] need to be considered. We reduce execution cost by avoiding the explicit creation of mutants. Essentially only the difference to the hypothesis is stored and executed. Since this does not solve the problem completely, mutant reduction techniques need to be considered as well. Jia and Harman identify four techniques to reduce the number of mutants [15]. We use two of them: Selective Mutation applies only a subset of effective mutation operators. In our case, we apply only one mutation operator. With Mutant Sampling only a subset of mutants is randomly selected and analysed while the rest is discarded.\n\nIn essence, the choice of the bound on the number of access sequences, the number of selected tests, the sample size, etc. needs to take the cost of executing tests on the SUL into account. Thus, it is tradeoff between the cost of mutation analysis and testing, as a more extensive analysis can be assumed to produce better tests and thereby require fewer test executions. Additionally, the number of mutants may be reduced as follows.\n\nMutation analysis of executed tests:\n\nwe keep track of all tests executed on the SUL. Prior to test-case selection, these test cases are examined to determine which mutants are covered by the tests. These mutants can be discarded because we know for all executed tests t and covered mutants   that   and   which implies  , i.e. the mutants are not implemented by the SUL. This extension prevents unnecessary coverage of already covered mutants and reduces the number of mutants to be analysed. This takes the iterative nature of learning into account as suggested in [12] in the context of equivalence testing.\n\nAdapting to learning algorithm:\n\nby considering the specifics of a learning algorithm, the number of access sequences could be reduced. For instance in discrimination-tree-based approaches [13], it would be possible to create mutants only for access sequences S stored in the discrimination tree and for their extensions  . However, this has not been implemented yet.\n\n## 5 Evaluation\n\nIn the following, we evaluate two variations of our new test-suite generation approach. We will refer to test-case generation with transition-coverage-based selection as transition coverage. The combination with mutation-based selection will be referred to as split state. We compare these two techniques to alternatives in the literature: the partial W-method [11] and the random version of the approach discussed in [26] available at [19]. We refer to the latter as random L & Y. Note that this differs slightly from [10, 26] in which also non-randomised test, i.e. complete up to some bound, were generated.\n\nWe evaluate the different conformance testing methods based on two case studies from the domain of communication protocols. The examined systems are given in Table 1. This table includes the number of states and inputs of the true Mealy machine model and a short description of each system. Due to space limitations, we refer to other publications for in-depth descriptions.\n\nTable 1.\n\nA short description of examined systems.\n\nSystem | # States | # Inputs | Short description\n\n---|---|---|---\n\nTCP server (Ubuntu) | 57 | 12 | Models of TCP server\/client implementations from three different vendors have been learned and analysed by Fiter\u0103u-Bro\u015ftean et al. [10]. We simulated the server model of Ubuntu available at [29].\n\nMQTT broker (emqtt [8]) | 18 | 9 | Model of an MQTT [3] broker interacting with two clients. We discussed the learning setup in [28].\n\n### 5.1 Measurement Setup\n\nTo objectively evaluate randomised conformance testing, we investigate the probability of learning the correct model with a limited number of interactions with the SUL, i.e. only a limited number of tests may be executed. We generally base the cost of learning on the number of executed inputs rather than on the number of tests\/resets. This decision follows from the observation that resets in the target application area, protocols, can be done fast (simply start a new session), whereas timeouts and quiescent behaviour cause long test durations [24, 28]. Note that we take previously learned models as SULs. Their simulation ensures fast test execution which enables a thorough evaluation.\n\nTo estimate the probability of learning the correct models, we performed each learning run 50 times and calculated the relative frequency of learning the correct model. In the following, we refer to such a repetition as a single experiment. Note that given the expected number of states of each system, we can efficiently determine whether the correct model has been learned, since learned models are minimal with respect to the number of states [2].\n\nIn order to find a lower limit on the number of tests required by each method to work reliably, we bounded the number of tests executed for each equivalence query and gradually increased this bound. Once all learning runs of an experiment succeeded we stopped this procedure. For learning with the partial W-method [11] we gradually increased the depth parameter implemented in LearnLib [14] until we learned the correct model. Since this method does not use randomisation, we did not run repeated experiments and report the measurement results for the lowest possible depth-parameter value.\n\nAs all algorithms can be run on standard notebooks, we will only exemplarily comment on runtime. For a fair comparison, we evaluated all equivalence-testing approaches in combination with the same learning algorithm, i.e.   with Rivest and Schapire's counterexample-handling implemented by LearnLib 0.12 [14].\n\nTCP \u2013 Ubuntu. The number of tests and steps required to reliably learn the Ubuntu TCP-server are given in Table 2. In order to perform these experiments, we generated 100,000 tests and selected the number of tests given in the first line of Table 2 to perform each equivalence query. For the partial W-method this line includes the depth-parameter value. Note that the mean values of tests\/steps represent the numbers summed over all rounds of learning (but averaged over 50 runs), while the bound on the number of tests applies to only a single round. The test-case generation with Algorithm 1 has been performed with parameters  ,  ,  , and  . The chosen parameters for split state selection are   (max. access sequences per state) and   (length of distinguishing sequence). Additionally, we performed mutant sampling by first reducing the number of mutants to one quarter of the original mutants and then to 10,000 if necessary.\n\nTable 2.\n\nPerformance measurements for learning an Ubuntu TCP-server-model. | Transition coverage | Split state | Partial W-method | Random L & Y\n\n---|---|---|---|---\n\nBound on # equivalence tests\/depth parameter | 10,000 | 4,000 | 2 | 46,000\n\nMean # tests [equivalence] | 12,498 | 4,786 | 793,939 | 71,454\n\nMean # steps [equivalence] | 239,059 | 138,840 | 7,958,026 | 823,623\n\nMean # tests [membership] | 9,633 | 10,017 | 13,962 | 11,445\n\nMean # steps [membership] | 127,684 | 129,214 | 147,166 | 136,827\n\nWe see in the table that the average number of tests and steps required for membership queries is roughly the same for all techniques. This is what we expected as the same learning algorithm is used in all cases, but the numbers shall demonstrate that techniques requiring less tests do not trade membership for equivalence tests. With this out of the way, we can concentrate on equivalence testing. We see that split state pays off in this experiment with transition coverage requiring 1.7 times as many steps. The average cost of test selection is 104 seconds for split state and 4 seconds for transition coverage. However, considering the large savings in actual test execution, split state performs better.\n\nWe also evaluated random L & Y with a middle sequence of expected length 4 (similar to [10]). For this setup, random L & Y requires significantly more steps and tests than both alternatives. There may be more suitable parameters, however, which would improve the performance of random L & Y. Nevertheless, the model structure of Ubuntu's TCP-server seems to be beneficial for our approach.\n\nAll randomised approaches outperformed the partial W-method. In particular split state is able to reduce the number of test steps by a factor of 57. Taking the membership queries into account, the overall cost of learning is reduced by a factor of about 22. The relative gap between tests, a reduction by a factor of 166, is even larger. This is an advantage of our approach as we can flexibly control test length and thereby account for systems with expensive resets. Purely random testing is not a viable choice in this case. An experiment with 1,000,000 tests per equivalence query succeeded in learning correctly in only 4 of 50 runs.\n\nMQTT \u2013 emqtt. The number of tests and steps required to reliably learn models of the emqtt broker are given in Table 3. In order to perform these experiments, we used largely the same setup and the same sampling strategy as for the TCP experiments, but generated only 10,000 tests as a basis for selection. Furthermore, we set  ,  ,  ,  , and  .\n\nIn Table 3, we see a similarly large improvement with respect to the partial W-method. The partial W-method requires about 52 times as many test steps as split state. Other than that, we see that the improvement of split state over transition coverage is not as drastic as for the Ubuntu TCP-server and testing with random L & Y also performs well. Figure 3 depicts the learning performance of the three different approaches and undirected random testing. It shows the dependency between the average number of equivalence-test steps and the estimated probability   of learning the correct model. The graph shows that significantly more testing is required by random testing.\n\nTable 3.\n\nPerformance measurements for learning an emqtt-broker model. | Transition coverage | Split state | Partial W-method | Random L & Y\n\n---|---|---|---|---\n\nBound on # equivalence tests\/depth parameter | 275 | 125 | 2 | 1100\n\nMean # tests [equivalence] | 345 | 182 | 72,308 | 1,679\n\nMean # steps [equivalence] | 13,044 | 7,755 | 487,013 | 11,966\n\nMean # tests [membership] | 1,592 | 1,623 | 1,808 | 1,683\n\nMean # steps [membership] | 12,776 | 13,160 | 11,981 | 12,005\n\nFig. 3.\n\nAverage number of equivalence-test steps required to reliably learn the correct emqtt-broker model.\n\nDiscussion and Threats to Validity. The results shown above suggest that transition coverage and especially split state perform well. However, the performance depends on the system structure. There are systems for which transition coverage performs slightly better with regard to the required number of steps than split state, as the latter favours longer tests. In these cases, split state may simply add no value because transition coverage already performs well.\n\nFor the TCP-server case study, we report effectiveness superior to that of random L & Y. The performance of our technique depends on the concrete instantiation of more parameters than the performance of random L & Y. Finding suitable parameters is thus more difficult for our approach and relative performance gains may decrease for unsuitable choices. Additionally, random L & Y generates tests much more efficiently than split state. Split-state mutation analysis is only feasible for moderate-sized models, whereas random L & Y has successfully been applied for learning of a system with more than 3,000 states [26]. Mutation-based test-case selection would be hindered by the large number of mutants and tests forming the basis for selection \u2013 to our experience the number of tests should be increased with model size. More concretely, applying the technique to systems with significantly more than 100 states would likely not pay off. Aggressive mutant sampling would be necessary, rendering the mutation-based selection less effective. Without sampling, the decreased testing duration would not compensate for the cost of mutation analysis.\n\n## 6 Conclusion\n\nWe presented a simple test-case generation technique which accompanied with appropriate test-case selection yields effective test suites. In particular, we further motivated and described a fault-based test selection approach with a fault model tailored towards learning. First experiments showed it is possible to reliably learn system models with a significantly lower number of test cases as compared to complete conformance testing with, e.g., the partial W-method [11].\n\nA potential drawback of our approach, especially of split-state-based test selection, is the large number of parameters, which according to our experience heavily influence learning performance. Additionally, mutation-based selection applies mutant sampling, thus it is of interest to determine the influence of sampling and whether corresponding observations made for program mutation [15] also hold for FSM mutation. Nevertheless, alternative mutant reduction techniques are not entirely exhausted. As indicated in Sect. 4.3, information stored by learning algorithms could help to reduce the number of mutants.\n\nWe conclude that mutation-based test-suite generation is a promising technique for conformance testing in active automata learning. Despite initial success, we believe that it could show its full potential for testing more expressive types of models like extended finite state machines [5]. This would enable the application of more comprehensive fault models. Finally, alternatives to the simple greedy test-selection may also provide benefits.\n\nAcknowledgment\n\nThis work was supported by the TU Graz LEAD project \"Dependable Internet of Things in Adverse Environments\". We would also like to thank the developers of LearnLib and of the test-case generator available at [19].\n\nReferences\n\n1.\n\nAichernig, B.K., Brandl, H., J\u00f6bstl, E., Krenn, W., Schlick, R., Tiran, S.: Killing strategies for model-based mutation testing. Softw. Test. Verif. Reliab. 25(8), 716\u2013748 (2015)CrossRef\n\n2.\n\nAngluin, D.: Learning regular sets from queries and counterexamples. Inf. Comput. 75(2), 87\u2013106 (1987)MathSciNetCrossRef90052-6)MATH\n\n3.\n\nBanks, A., Gupta, R. (eds.): MQTT Version 3.1.1. 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Springer, Boston (1999). doi:10.\u200b1007\/\u200b978-0-387-35578-8_\u200b13 CrossRef\n\n22.\n\nPretschner, A.: Defect-based testing. In: Dependable Software Systems Engineering, NATO Science for Peace and Security Series, D: Information and Communication Security, vol. 40, pp. 224\u2013245. IOS Press (2015)\n\n23.\n\nRivest, R.L., Schapire, R.E.: Inference of finite automata using homing sequences. Inf. Comput. 103(2), 299\u2013347 (1993)MathSciNetCrossRefMATH\n\n24.\n\nde Ruiter, J., Poll, E.: Protocol state fuzzing of TLS implementations. In: USENIX Security 15, pp. 193\u2013206. USENIX Association (2015)\n\n25.\n\nShahbaz, M., Groz, R.: Inferring Mealy machines. In: Cavalcanti, A., Dams, D.R. (eds.) FM 2009. LNCS, vol. 5850, pp. 207\u2013222. Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-05089-3_\u200b14 CrossRef\n\n26.\n\nSmeenk, W., Moerman, J., Vaandrager, F., Jansen, D.N.: Applying automata learning to embedded control software. In: Butler, M., Conchon, S., Za\u00efdi, F. (eds.) ICFEM 2015. LNCS, vol. 9407, pp. 67\u201383. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-25423-4_\u200b5 CrossRef\n\n27.\n\nTappler, M.: mut-learn - randomised mutation-based equivalence testing. https:\/\/\u200bgithub.\u200bcom\/\u200bmtappler\/\u200bmut-learn. Accessed 07 Dec 2016\n\n28.\n\nTappler, M., Aichernig, B.K., Bloem, R.: Model-based testing IoT communication via active automata learning. In: ICST 2017. IEEE Computer Society (2017)\n\n29.\n\nTCP models. https:\/\/\u200bgitlab.\u200bscience.\u200bru.\u200bnl\/\u200bpfiteraubrostean\u200b\/\u200btcp-learner\/\u200btree\/\u200bcav-aec\/\u200bmodels. Accessed 14 Nov 2016\n\n30.\n\nVasilevskii, M.P.: Failure diagnosis of automata. Cybernetics 9(4), 653\u2013665 (1973)MathSciNetCrossRef\n\nFootnotes\n\n1\n\nNote that more sophisticated test suite reduction\/prioritisation strategies could be used. However, this is beyond the scope of this paper.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_3\n\n# Parametric Model Checking Timed Automata Under Non-Zenoness Assumption\n\n\u00c9tienne Andr\u00e91, Hoang Gia Nguyen1  , Laure Petrucci1 and Jun Sun2\n\n(1)\n\nLIPN, CNRS UMR 7030, Universit\u00e9 Paris 13, Sorbonne Paris Cit\u00e9, Villetaneuse, France\n\n(2)\n\nISTD, Singapore University of Technology and Design, Singapore, Singapore\n\nHoang Gia Nguyen\n\nEmail: hoanggia.nguyen@lipn.univ-paris13.fr\n\nAbstract\n\nReal-time systems often involve hard timing constraints and concurrency, and are notoriously hard to design or verify. Given a model of a real-time system and a property, parametric model-checking aims at synthesizing timing valuations such that the model satisfies the property. However, the counter-example returned by such a procedure may be Zeno (an infinite number of discrete actions occurring in a finite time), which is unrealistic. We show here that synthesizing parameter valuations such that at least one counterexample run is non-Zeno is undecidable for parametric timed automata (PTAs). Still, we propose a semi-algorithm based on a transformation of PTAs into Clock Upper Bound PTAs to derive all valuations whenever it terminates, and some of them otherwise.\n\nThis work is partially supported by the ANR national research program PACS (ANR-14-CE28-0002).\n\n## 1 Introduction\n\nTimed automata (TAs) [1] are a popular formalism for real-time systems modeling and verification, providing explicit manipulation of clock variables. Real-time behavior is captured by clock constraints on system transitions, setting or resetting clocks, etc. TAs have been studied in various settings (such as planning [19]) and benefit from powerful tools such as Uppaal [21] or PAT [24].\n\nModel checking TAs consists of checking whether there exists an accepting cycle (i. e. a cycle that visits infinitely often a given set of locations) in the automaton made of the product of the TA modeling the system with the TA representing a violation of the desired property (often the negation of a property expressed, e. g. in CTL). However, such an accepting cycle does not necessarily mean that the property is violated: indeed, a known problem of TAs is that they allow Zeno behaviors. An infinite run is non-Zeno if it takes an unbounded amount of time; otherwise it is Zeno. Zeno runs are infeasible in reality and thus must be pruned during system verification. That is, it is necessary to check whether a run is Zeno or not so as to avoid presenting Zeno runs as counterexamples. The problem of checking whether a timed automaton accepts at least one non-Zeno run, i. e. the emptiness checking problem, has been tackled previously (e. g. [11, 15, 16, 25\u201327]).\n\nIt is often desirable not to fix a priori all timing constants in a TA: either for tuning purposes, or to evaluate robustness when clock values are imprecise. For that purpose, parametric timed automata (PTAs) extend TAs with parameters [2]. Although most problems of interest are undecidable for PTAs [3], some (semi-)algorithms were proposed to tackle practical parameter synthesis (e. g. [4, 9, 18, 20]). We address here the synthesis of parameter valuations for which there exists a non-Zeno cycle in a PTA; this is highly desirable when performing parametric model-checking for which the parameter valuations violating the property should not allow only Zeno-runs. As far as the authors know, this is the first work on parametric model checking of timed automata with the non-Zenoness assumption. Just as for TAs, the parametric zone graph of PTAs (used in e. g. [4, 17, 18]) cannot be used to check whether a cycle is non-Zeno. Therefore, we propose here a technique based on clock upper bound PTAs (CUB-PTAs), a subclass of PTAs satisfying some syntactic restriction, and originating in CUB-TAs for which the non-Zeno checking problem is most efficient [27]. In contrast to regular PTAs, we show that synthesizing valuations for CUB-PTAs such that there exists an infinite non-Zeno cycle can be done based on (a light extension of) the parametric zone graph. We make the following technical contributions:\n\n  1. 1.\n\nWe show that the parameter synthesis problem for PTAs with non-Zenoness assumption is undecidable.\n\n  2. 2.\n\nWe show that any PTA can be transformed into a finite list of CUB-PTAs;\n\n  3. 3.\n\nWe develop a semi-algorithm to solve the non-Zeno synthesis problem using CUB-PTAs, implemented in IMITATOR and validated using benchmarks.\n\nOutline. Section 2 recalls the necessary preliminaries. Section 3 shows the undecidability of non-Zeno-B\u00fcchi emptiness. We then present the concept of CUB-PTAs (Sect. 4), and show how to transform a PTA into a list of CUB-PTAs. Zeno-free parametric model-checking of CUB-PTA is addressed in Sect. 5, and experiments reported in Sect. 6. Finally, Sect. 7 concludes and gives perspectives for future work.\n\n## 2 Preliminaries\n\nThroughout this paper, we assume a set   of clocks, i. e. real-valued variables that evolve at the same rate. A clock valuation is a function  . We write   for  . Given  ,   denotes the valuation such that  , for all  .\n\nWe assume a set   of parameters, i. e. unknown constants. A parameter valuation   is a function  . A strictly positive parameter valuation is a valuation  .\n\nIn the following, we assume   and  . Throughout this paper,   denotes a linear term over   of the form  , with  . Similarly,   denotes a parametric linear term over  , that is a linear term without clocks (  for all i). A constraint   (i. e. a convex polyhedron) over   is a set of inequalities of the form  , with   two linear terms. We denote by   (resp.  ) the constraint that corresponds to the set of all possible (resp. the empty set of) valuations. Given a parameter valuation  ,   denotes the constraint over   obtained by replacing each parameter   in   with  . Likewise, given a clock valuation  ,   denotes the expression obtained by replacing each clock   in   with  . We say that   satisfies  , denoted by  , if the set of clock valuations satisfying   is non-empty. We say that   is satisfiable if   s.t.   evaluates to true. We define the time elapsing of  , denoted by  , as the constraint over   and   obtained from   by delaying all clocks by an arbitrary amount of time. Given  , we define the reset of  , denoted by  , as the constraint obtained from   by resetting the clocks in  , and keeping the other clocks unchanged. We denote by   the projection of   onto  , i. e. obtained by eliminating the clock variables using existential quantification.\n\nA guard   is a constraint over   defined by inequalities of the form  . We assume w.l.o.g. that, in each guard, given a clock  , at most one inequality is in the form  , that is a clock has a single upper bound (or none). A non-parametric guard is a guard over  , i. e. with inequalities  , with  . A parametric zone   is a constraint over   defined by inequalities of the form  . A parametric constraint   is a constraint over   defined by inequalities of the form  , with   two parametric linear terms. We use the notation   to indicate that valuating parameters   with   in   evaluates to true. We denote by   (resp.  ) the parametric constraint that corresponds to the set of all possible (resp. the empty set of) parameter valuations. Given two parametric constraints   and  , we write   whenever for all  ,  .\n\nDefinition 1\n\nA PTA   is a tuple  , where: (i)   is a finite set of actions, (ii)   is a finite set of locations, (iii)   is the initial location, (iv)   is a set of clocks, (v)   is a set of parameters, (vi)   is the initial parameter constraint, (vii)   is the invariant, assigning to every   a guard  , (viii)   is a set of edges   where   are the source and target locations,  ,   is a set of clocks to be reset, and   is a guard.\n\nThe initial constraint   is used to constrain some parameters (as in, e. g. [4, 17]); in other words, it defines a domain of valuation for the parameters. For example, given two parameters   and  , we may want to ensure that  . Given  , we write   as a shortcut for the initial constraint of  . In addition, given  , we denote by   the PTA where   is replaced with  .\n\nObserve that, as in [27], we do not define accepting locations. In our work, we are simply interested in computing valuations for which there is a non-Zeno cycle. A more realistic parametric model checking approach would require additionally that the cycle is accepting, i. e. it contains at least one accepting location. However, this has no specific theoretical interest, and would impact the readability of our expos\u00e9.\n\nGiven a parameter valuation  , we denote by   the non-parametric TA where all occurrences of a parameter   have been replaced by  .\n\nDefinition 2\n\n(Concrete semantics of a TA). Given a PTA  , and a parameter valuation  , the concrete semantics of   is given by the timed transition system  , with  ,  , and   consists of the discrete and (continuous) delay transition relations:\n\n  * discrete transitions:  , if  , there exists  ,  , and   is true.\n\n  * delay trans.:  , with  , if  .\n\nA (concrete) run is a sequence   s.t.  . We consider as usual that concrete runs strictly alternate delays   and discrete transitions   and we thus write concrete runs in the form  . We refer to a state of a run starting from the initial state of a TA   as a concrete state of  . Note that when a run is finite, it must end with a concrete state. Given a concrete state  , we say that   is reachable (or that   reaches  ) if   belongs to a run of  . By extension, we say that   is reachable in  , if there exists a concrete state   that is reachable.\n\nAn infinite run is said to be Zeno if it contains an infinite number of discrete transitions within a finite delay, i. e. if the sum of all delays   is bounded.\n\nSymbolic Semantics. Let us recall the symbolic semantics of PTAs (as in e. g. [4, 18]). A symbolic state is a pair   where   is a location, and   its associated parametric zone. The initial symbolic state of   is  . That is, the initial state corresponds to all clocks equal to 0 followed by time-elapsing, intersected with the initial invariant and the initial parameter constraint. The symbolic semantics relies on the   operation. Given a symbolic state   and an edge  ,  , with  . The   operation is effectively computable, using polyhedra operations: note that the successor of a parametric zone   is a parametric zone. A symbolic run of a PTA is an alternating sequence of symbolic states and edges starting from the initial symbolic state, of the form  , such that for all  , we have  , and  . The symbolic semantics is often given in the form of a parametric zone graph, i. e. symbolic states of   and transitions   whenever  . Given a symbolic run  , its untimed support is the sequence  . Two runs (symbolic or concrete) are equivalent if they have the same untimed support.\n\nLet us recall a lemma relating concrete and symbolic runs.\n\nLemma 1\n\nLet   be a PTA, and let   be a symbolic run of   reaching  . Let  . There exists an equivalent concrete run in   iff  .\n\nProof\n\nFrom [17, Propositions 3.17 and 3.18].\n\nGiven a symbolic run   reaching  , we call the concrete runs associated with   the concrete runs equivalent to   in  , for all  .\n\nProblems. In this paper, we aim at addressing the following two problems.\n\n## 3 Undecidability of the Non-Zeno Emptiness Problem\n\nAs reachability is undecidable for PTAs [2], it is unsurprising that the existence of a valuation for which there exists a non-Zeno infinite run is undecidable too.\n\nTheorem 1\n\nThe non-Zeno emptiness problem is undecidable for PTAs.\n\nProof\n\nBy reduction from the halting problem of a deterministic 2-counter-machine, which is undecidable [22]. We encode a 2-counter machine (2CM) using PTAs, following an encoding in [8]. This encoding is such that the location   encoding the halting state of the 2CM is reachable iff the 2CM halts, and for valuations of the (unique) parameter   such that   is larger than or equal to the maximum value of the counters along the (unique) run of the machine. Then, since this encoding is such that for any parameter valuation, the encoding stops after   discrete steps, the encoding has no infinite run for any valuation.\n\nThen, from the location encoding the halting location (i. e.  ), we add a transition resetting   to a new location  . This location has a self-loop guarded with   and resetting   (where   is any of the four clocks used in the encoding in [8]). Hence whenever   is reachable, there is an infinite non-Zeno run looping on  . That is, there is an infinite non-Zeno run iff the 2CM halts.\n\nSince the emptiness problem is undecidable, the synthesis problem becomes intractable. In the remainder of this paper, we will devise a semi-algorithm to address non-Zeno synthesis, i. e. an algorithm that computes the exact solution if it terminates. Otherwise, we compute an under-approximation of the result.\n\n## 4 CUB-Parametric Timed Automata\n\nIt has been shown (e.g. [11, 25]) that checking whether a run of TA is infeasible based on the symbolic semantics alone. In [27], the authors identified a subclass of TAs called CUB-TAs for which non-Zenoness checking based on the symbolic semantics is feasible. Furthermore, they show that an arbitrary TA can be transformed into a CUB-TA. Based on their work, we first show that arbitrary PTAs can be transformed into a parametric version of CUB-TAs, and then solve the non-Zeno synthesis problem based on parametric CUB-TAs.\n\nAs defined in [27], a clock upper bound is either   or a pair   where   (recall that   is either < or  ). We write   to denote   and  ;   to denote  , or if  , then either   is   or both   and   are <. Further, we write   where d is a constant to denote  . We define   to be   if  , and   otherwise. Given a clock   and a non-parametric guard  , we write   to denote the upper bound of   given  . Formally,\n\nDefinition 3\n\nA TA is a CUB-TA if for each edge  , for all clocks  , we have (i)  , and (ii) if  , then  .\n\nIntuitively, every clock in a CUB-TA has a non-decreasing upper bound along any path until it is reset.\n\n### 4.1 Parametric Clock Upper Bounds\n\nLet us define clock upper bounds in a parametric setting. A parametric clock upper bound is either   or a pair  .\n\nGiven a clock   and a guard  , we denote by   the parametric upper bound of   given  . This upper bound is a parametric linear term. Formally,\n\nRecall that, in each guard, given a clock  , at most one inequality is in the form  . In that case, at most one of the two terms is not   and therefore the minimum is well-defined (with the usual definition that  .1\n\nWe write   to denote the constraint\n\nThat is, we constrain the first parametric clock upper bound to be smaller than or equal to the second one, depending on the comparison operator.\n\nGiven two parametric clock upper bounds   and  , we write   to denote the constraint\n\nThis yields an inequality constraining the first parametric clock upper bound to be smaller than or equal to the second one.\n\n### 4.2 CUB Parametric Timed Automata\n\nWe extend the definition of CUB-TAs to parameters as follows:\n\nDefinition 4\n\nA PTA is a CUB-PTA if for each edge  , for all clocks  , the following conditions hold: (i)  , and (ii) if  , then  .\n\nHence, a PTA is a CUB-PTA iff every clock has a non-decreasing upper bound along any path before it is reset, for all parameter valuations satisfying the initial constraint  .\n\nNote that, interestingly enough, the class of hardware circuits modeled using a bi-bounded inertial delay2 fits into CUB-PTAs (for all parameter valuations).\n\nExample 1\n\nConsider the PTA   in Fig. 1a s.t.  . Then   is not CUB: for x, the upper bound in   is   whereas that of the guard on the transition outgoing   is  .   yields  . Then,  ; for example,   does not satisfy  .\n\nConsider again the PTA   in Fig. 1a, this time assuming that  . This PTA is a CUB-PTA. (The largest constraint   making this PTA a CUB will be computed in Example 2.)\n\nLemma 2\n\nLet   be a CUB-PTA. Let  . Then   is a CUB-TA.\n\nProof\n\nLet  . Let   be an edge. Given a clock  , from Definition 4, we have that  , and therefore  . This matches the first case of Definition 3. The second case ( ) is similar.\n\nFig. 1.\n\nExamples of PTAs to illustrate the CUB concept\n\n### 4.3 CUB PTA Detection\n\nGiven an arbitrary PTA, our approach works as follows. Firstly, we check whether it is a CUB-PTA for some valuations. If it is, we proceed to the synthesis problem, using the cycle detection synthesis algorithm (Sect. 5); however, the result may be partial, as it will only be valid for the valuations for which the PTA is CUB. This incompleteness may come at the benefit of a more efficient synthesis. If it is CUB for no valuation, it has to be transformed into an equivalent CUB-PTA (which will be considered in Sect. 4.4).\n\nOur procedure to detect whether a PTA is CUB for some valuations is given in Algorithm 1. For each edge in the PTA, we enforce the CUB condition on each clock by constraining the upper bound in the invariant of the source location to be smaller than or equal to the upper bound of the edge guard (line 4). Additionally, if the clock is not reset along this edge, then the upper bound of the source location invariant should be smaller than or equal to that of the target location (line 5). If the resulting set of constraints accepts parameter valuations (i. e. is not empty), then the PTA is a CUB-PTA for these valuations.\n\nExample 2\n\nConsider again the PTA   in Fig. 1a, assuming that  . This PTA is CUB for  .\n\nConsider the PTA   in Fig. 1b, with  . When handling location   and clock x, line 4 yields   and then, from line 5,  . Hence, there is no valuation for which this PTA is CUB.\n\nProposition 1\n\nLet  . Then   is a CUB-PTA.\n\nProof\n\nFrom the fact that Algorithm 1 gathers constraints to match Definition 4.\n\n### 4.4 Transforming a PTA into a Disjunctive CUB-PTA\n\nIn this section, we show that an arbitrary PTA can be transformed into an extension of CUB-PTAs (namely disjunctive CUB-PTA), while preserving the symbolic runs.\n\nFor non-parametric TAs, it is shown in [27] that any TA can be transformed into an equivalent CUB-TA. This does not lift to CUB-PTAs.\n\nExample 3\n\nNo equivalent CUB-PTA exists for the PTA in Fig. 2b where  . Indeed, the edge from   to   (resp.  ) requires   (resp.  ). It is impossible to transform this PTA into a PTA where   (which is  ) is included in both   and  .\n\nTherefore, in order to overcome this limitation, we propose an alternative definition of disjunctive CUB-PTAs. They can be seen as a union (as defined in the timed automata patterns of, e. g. [13]) of CUB-PTAs.\n\nDefinition 5\n\nA disjunctive CUB-PTA is a list of CUB-PTAs.\n\nGiven a disjunctive CUB-PTA  , with  , the PTA associated with this disjunctive PTA is  , where   with  .\n\nBasically, the PTA associated with a disjunctive CUB-PTA is just an additional initial location that connects to each of the CUB-PTAs initial locations, with its initial constraint on the guard.3\n\nExample 4\n\nIn Fig. 2d (without the dotted, blue elements), two CUB-PTAs are depicted, one (say  ) on the left with locations superscripted by 1, and one (say  ) on the right superscripted with 2. Assume   is   and   is  . Then the full Fig. 2d (including dotted elements) is the PTA associated with the disjunctive CUB-PTA made of   and  .\n\nThe key idea behind the transformation from a TA into a CUB-TA in [27] is as follows: whenever a location   is followed by an edge   and a location   for which   or   for some   if  , otherwise  , location   is split into two locations: one (say  ) with a \"decreased upper bound\", i. e.  , that is then connected to  ; and one (say  ) with the same invariant as in  , and with no transition to  . Therefore, the original behavior is maintained. Note that this transformation induces some non-determinism (one must non-deterministically choose whether one enters   or  , which will impact the future ability to enter  ) but this has no impact on the existence of a non-Zeno cycle.\n\nHere, we extend this principle to CUB-PTAs. A major difference is that, in the parametric setting, comparing two clock upper bounds does not give a Boolean answer but a parametric answer. For example, in a TA,   holds (this is true), whereas in a PTA   denotes the constraint  . Therefore, the principle of our transformation is that, whenever we have to compare two parametric clock upper bounds, we consider both cases: here either   (in which case the first location does not need to be split) or   (in which case the first location shall be split). This yields a finite list of CUB-PTAs: each of these CUB-PTAs consists in one particular ordering of all parametric linear terms used as upper bounds in guards and invariants. (In practice, in order to reduce the complexity, we only define an order on the parametric linear terms the comparison of which is needed during the transformation.)\n\nFig. 2.\n\nExamples: detection of and transformation into CUB-PTAs\n\nExample 5\n\nLet us transform the PTA in Fig. 2a: if   then the PTA is already CUB, and   does not need to be split. This yields a first CUB-PTA, depicted on the left-hand side of Fig. 2d. However, if  , then   needs to be split into   (where time cannot go beyond  ) and into   (where time can go beyond  , until  ), but the self-loop cannot be taken anymore (otherwise the associated guard makes the PTA not CUB). This yields a second CUB-PTA, depicted on the right-hand side of Fig. 2d. Both make a disjunctive CUB-PTA equivalent to Fig. 2a.\n\nSimilarly, we give the transformation of Fig. 2b in Fig. 2e.\n\n## 5 Zeno-Free Cycle Synthesis in CUB-PTAs\n\nTaking a disjunctive CUB-PTA as input, we show in this section that synthesizing the parameter valuations for which there exists at least one non-Zeno cycle (and therefore an infinite non-Zeno run) reduces to an SCC (strongly connected component) synthesis problem.\n\nFirst, we define a light extension of the parametric zone graph as follows. The extended parametric zone graph of a PTA   is identical to its parametric zone graph, except that any transition   is replaced with  , where   is a Boolean flag which is true if time can potentially elapse between   and  . In practice,   can be computed as follows, given   and edge  :\n\n  1. 1.\n\nadd a fresh extra clock   to the constraint  , i. e. compute\n\n  2. 2.\n\ncompute the successor   of   via edge\n\n  3. 3.\n\ncheck whether  : if so, then  ; otherwise  .\n\nIntroducing such a clock is cheap: the check is not expensive, and the extra clock does not impact the size of the parametric zone graph:   is 0 in all nodes of the zone graph and can be eliminated from the memory, therefore not requiring more space nor extra states.\n\nIn contrast to non-parametric TAs, the flag   does not necessarily mean that time can necessarily elapse for all parameter valuations. Consider the example in Fig. 2c. After taking one loop, we have that  : therefore,   is not necessarily 0, and   is  . But consider   such that  : then in   time can never elapse. However, we show in the following lemma that the flag   does denote time elapsing for strictly positive parameters.\n\nLemma 3\n\nLet   be a transition of the extended parametric zone graph of a PTA  . Then, for any strictly positive parameter valuation in  , there exists an equivalent transition in   in which time can elapse.\n\nProof\n\nFirst note that, for any  , an equivalent concrete transition exists in  , from Lemma 1. Now, since   is true, the extra clock   in the state of the extended parametric zone graph corresponding to   is either unbounded, or bounded by some parametric linear term  . If it is unbounded, then time can elapse for any valuation, and the lemma holds trivially. Assume   for some  . As our parameters are strictly positive, then for any valuation  ,   evaluates to a strictly positive rational, and therefore time can elapse along this transition in  .\n\nDefinition 6\n\nAn infinite symbolic run   is non-Zeno if all its associated concrete runs are non-Zeno.\n\nIn the remainder of this section, given an edge  ,   denotes that the clocks in   reset along  .\n\nThe following theorem states that an infinite symbolic run is non-Zeno iff the time can (potentially) elapse along infinitely many edges and, whenever a clock is bounded from above, then eventually either this clock is reset or it becomes unbounded.\n\nTheorem 2\n\nLet   be an infinite symbolic run of the extended parametric zone graph of a CUB-PTA  .   is non-Zeno if and only if\n\n  *   there exist infinitely many k such that  ; and\n\n  *   for all  , for all  , given  , if  , there exists j such that   and   or  .\n\nWe now show that synthesizing parameter valuations for which there exists a non-Zeno infinite run reduces to an SCC searching problem.\n\nFirst, given an SCC  , we denote by   the parameter constraint associated with  , i. e.  , where   is any state of the SCC.4\n\nTheorem 3\n\nLet   be a CUB-PTA of finite extended parametric zone graph  . Let   be a strictly positive parameter valuation.   contains a non-Zeno infinite run if and only if   contains a reachable SCC   such that   and\n\n  *     contains a transition   such that  ; and\n\n  *   for every clock   in  , given  , if   for some state   in  , there exists a transition in   with label   such that  .\n\nTherefore, from Theorem 3, synthesizing valuations yielding an infinite symbolic run reduces to an SCC searching problem in the extended parametric zone graph. Then, we need to test each SCC against two conditions: whether it contains a transition which can be locally delayed (i. e. whether it contains a transition where  ); and whether every clock having an upper bound other than   at some state is reset along some transition in the SCC. Then, for all SCCs matching these two conditions, we return the associated parameter constraint.\n\nWe give in Algorithm 2 an algorithm   to solve the non-Zeno synthesis problem for CUB-PTAs.   simply iterates on the SCCs, and gathers their associated parameter constraints whenever they satisfy the conditions in Theorem 3.\n\nIf   is finite, then the correctness and completeness of   immediately follow from Theorem 3. If only an incomplete part of   is computed (e. g. by bounding the exploration depth, or the number of explored states, or the execution time) then only the   direction of Theorem 3 holds: in that case, the result of   is correct but non-complete, i. e. it is a valid under-approximation. In the context of parametric model checking, knowing which parameter valuations violate the property is already very helpful to the designer, as it helps to discard unsafe valuations, and to refine the model.\n\n## 6 Experiments\n\nWe implemented our algorithms in IMITATOR [5].5 The Parma Polyhedra Library (PPL) [10] is integrated inside the core of IMITATOR in order to solve mainly linear inequality system problems. Experiments were run on an Intel Core 2 Duo P8600 at 2.4 GHz and 4 GiB of memory.\n\nWe compare three approaches: (1) A cycle detection synthesis without the non-Zenoness assumption (called  ). The result may be an over-approximation of the actual result, as some of the parameters synthesized may yield only Zeno cycles. If   does not terminate, its result is an under-approximation of an over-approximation, therefore considered as potentially invalid; that is, there is no guarantee of correctness for the synthesized constraint. (2) Our CUB-detection (Algorithm 1) followed by synthesis (Algorithm 2): the result may be under-approximated, as only the valuations for which the PTA is CUB are considered. (3) Our CUB-transformation ( ) followed by synthesis (Algorithm 2) on the resulting disjunctive CUB-PTA. If the algorithm terminates, then the result is exact, otherwise it may be under-approximated.\n\nWe consider various benchmarks: protocols (CSMA\/CD, Fischer [2], RCP, WFAS), hardware circuits (And-Or, flip-flop), scheduling problems (Sched5), a networked automation system (simop) and various academic benchmarks.\n\nWe give from left to right in Table 1 the case study name and its number of clocks, parameters and locations. For  , we give the computation time (TO denotes a time-out at 3600 s), the constraint type ( ,   or another constraint) and the validity of the result: if   terminates, the result is an over-approximation, otherwise it is potentially invalid. For   (resp.  ) we give the detection (resp. transformation) time, the total time (including  ), the result, and whether it is an under-approximation or an exact result. We also mention whether   outputs that all, none or some valuations make the PTA CUB; and we give the number of locations in the transformed disjunctive CUB-PTA output by  . The percentage is used to compare the number of valuations (comparison obtained by discretization) output by the algorithms, with   as the basis (as the result is exact).\n\nThe toy benchmark CUBPTA1 is a good illustration:   terminates after 0.073 s (and therefore its result is exact) with some constraint.   is faster (0.015 s) but infers that only some valuations are CUB and analyzes only these valuations; the synthesized result is only 69% of the expected result. In contrast,   is much faster (0.006 s) but obtains too many valuations (208% of the expected result) as it infers many Zeno valuations.\n\nTable 1.\n\nExperimental comparison of the three algorithms\n\nLet us discuss the results. First,   almost always outputs a possibly invalid result (neither an under- nor an over-approximation), which justifies the need for techniques handling non-Zeno assumptions. In only one case (CUBPTA1), it outputs a non-trivial over-approximation. In two cases, it happens to give an exact answer, as the over-approximation of   necessarily means that   is the exact result. In contrast,   gives an exact result in five cases, a non-trivial under-approximation in two cases; the five remaining cases are a disappointing result in which   is output as an under-approximation. By studying the model manually, we realized that some non-Zeno cycles actually exist for some valuations, but our synthesis algorithm was not able to derive them. Only in one of these cases (Sched5),   outputs a more interesting result than  .\n\nThe transformation is relatively reasonable both in terms of added locations (in the worst case, there are 40 instead of 10 locations, hence four times more, for WFAS) and in terms of transformation time (the worst case is 1.2 s for Sched5). Our experiments do not allow us to fairly compare the time of   (without non-Zenoness) and   (with non-Zenoness assumption) as, without surprise due to the undecidability, most analyses do not terminate. Only two benchmarks terminate for both algorithms, but are not significant (<1 s).\n\nNote that flip-flop is a hardware circuit modeled using a bi-bounded inertial delay, and is therefore CUB for all valuations.\n\nAn interesting benchmark is WFAS, for which our transformation procedure terminates whereas   does not. Therefore, we get an exact result while the traditional procedure cannot produce any valuable output.\n\nAs a conclusion,   seems to be faster but less complete than  . As for  , its result is almost always more valuable than  , and therefore is the most interesting algorithm.\n\n## 7 Conclusion\n\nWe proposed a technique to synthesize valuations for which there exists a non-Zeno infinite run in a PTA. By adding accepting states, this allows for parametric model checking with non-Zenoness assumption. Our techniques rely on a transformation to a disjunctive CUB-PTA (or in some cases on a simple detection of the valuation for which the PTA is already CUB), and then on a dedicated cycle synthesis algorithm. We implemented our techniques in IMITATOR and compared our algorithms on a set of benchmarks.\n\nFuture Works. Our technique relying on CUB-PTAs extends the technique of CUB-TAs: this technique is shown in [27] to be the most efficient for performing non-Zeno model checking for TAs. However, for PTAs, other techniques (such as yet to be defined parametric extensions of strongly non-Zeno TAs [26] or guessing zone graph [16]) could turn more efficient and should be investigated.\n\nIn addition, parametric stateful timed CSP (PSTCSP) [7] is a formalism for which the CUB assumption seems to be natively verified. Therefore, studying non-Zeno parametric model checking for PSTCSP, as well as transforming PTAs into PSTCSP models, would be an interesting direction of research.\n\nStudying the decidability of the underlying decision problem should be done for famous subclasses of PTAs constraining the use of parameters (namely L\/U-PTAs, L-PTAs and U-PTAs [17]) as well as for new semantic subclasses that we recently proposed and that benefit from decidability results (namely integer-point PTAs and reset-PTAs [6]).\n\nAn interesting future will be to design a multi-core extension of our non-Zeno synthesis algorithm; this could be done by reusing parallel depth first search algorithms for finding cycles [14].\n\nFinally, combining our synthesis algorithms with IC3 [12], as well as extending them to hybrid systems [23] is also of high practical interest.\n\nReferences\n\n1.\n\nAlur, R., Dill, D.L.: A theory of timed automata. Theoret. Comput. Sci. 126(2), 183\u2013235 (1994)MathSciNetCrossRef90010-8)MATH\n\n2.\n\nAlur, R., Henzinger, T.A., Vardi, M.Y.: Parametric real-time reasoning. In: STOC, pp. 592\u2013601. ACM (1993)\n\n3.\n\nAndr\u00e9, \u00c9.: What's decidable about parametric timed automata? In: Artho, C., \u00d6lveczky, P.C. (eds.) FTSCS 2015. CCIS, vol. 596, pp. 52\u201368. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-29510-7_\u200b3 CrossRef\n\n4.\n\nAndr\u00e9, \u00c9., Chatain, T., Encrenaz, E., Fribourg, L.: An inverse method for parametric timed automata. IJFCS 20(5), 819\u2013836 (2009)MathSciNetMATH\n\n5.\n\nAndr\u00e9, \u00c9., Fribourg, L., K\u00fchne, U., Soulat, R.: IMITATOR 2.5: a tool for analyzing robustness in scheduling problems. In: Giannakopoulou, D., M\u00e9ry, D. (eds.) FM 2012. LNCS, vol. 7436, pp. 33\u201336. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-32759-9_\u200b6 CrossRef\n\n6.\n\nAndr\u00e9, \u00c9., Lime, D., Roux, O.H.: Decision problems for parametric timed automata. In: Ogata, K., Lawford, M., Liu, S. (eds.) ICFEM 2016. LNCS, vol. 10009, pp. 400\u2013416. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-47846-3_\u200b25 CrossRef\n\n7.\n\nAndr\u00e9, \u00c9., Liu, Y., Sun, J., Dong, J.S.: Parameter synthesis for hierarchical concurrent real-time systems. Real-Time Syst. 50(5\u20136), 620\u2013679 (2014)CrossRefMATH\n\n8.\n\nAndr\u00e9, \u00c9., Markey, N.: Language preservation problems in parametric timed automata. In: Sankaranarayanan, S., Vicario, E. (eds.) FORMATS 2015. LNCS, vol. 9268, pp. 27\u201343. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-22975-1_\u200b3 CrossRef\n\n9.\n\nA\u015ftef\u0103noaei, L., Bensalem, S., Bozga, M., Cheng, C.-H., Ruess, H.: Compositional parameter synthesis. In: Fitzgerald, J., Heitmeyer, C., Gnesi, S., Philippou, A. (eds.) FM 2016. LNCS, vol. 9995, pp. 60\u201368. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-48989-6_\u200b4\n\n10.\n\nBagnara, R., Hill, P.M., Zaffanella, E.: The Parma Polyhedra Library: toward a complete set of numerical abstractions for the analysis and verification of hardware and software systems. Sci. Comput. Program. 72(1\u20132), 3\u201321 (2008)MathSciNetCrossRef\n\n11.\n\nBowman, H., G\u00f3mez, R.: How to stop time stopping. Formal Aspects Comput. 18(4), 459\u2013493 (2006)CrossRefMATH\n\n12.\n\nCimatti, A., Griggio, A., Mover, S., Tonetta, S.: Parameter synthesis with IC3. In: FMCAD, pp. 165\u2013168. IEEE (2013)\n\n13.\n\nDong, J.S., Hao, P., Qin, S., Sun, J., Yi, W.: Timed automata patterns. IEEE Trans. Softw. Eng. 34(6), 844\u2013859 (2008)CrossRef\n\n14.\n\nEvangelista, S., Laarman, A., Petrucci, L., van de Pol, J.: Improved multi-core nested depth-first search. In: Chakraborty, S., Mukund, M. (eds.) ATVA 2012. LNCS, vol. 7561, pp. 269\u2013283. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-33386-6_\u200b22 CrossRef\n\n15.\n\nG\u00f3mez, R., Bowman, H.: Efficient detection of Zeno runs in timed automata. In: Raskin, J.-F., Thiagarajan, P.S. (eds.) FORMATS 2007. LNCS, vol. 4763, pp. 195\u2013210. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-75454-1_\u200b15 CrossRef\n\n16.\n\nHerbreteau, F., Srivathsan, B., Walukiewicz, I.: Efficient emptiness check for timed B\u00fcchi automata. Formal Methods Syst. Des. 40(2), 122\u2013146 (2012)CrossRefMATH\n\n17.\n\nHune, T., Romijn, J., Stoelinga, M., Vaandrager, F.W.: Linear parametric model checking of timed automata. JLAP 52\u201353, 183\u2013220 (2002)MathSciNetMATH\n\n18.\n\nJovanovi\u0107, A., Lime, D., Roux, O.H.: Integer parameter synthesis for timed automata. Trans. Softw. Eng. 41(5), 445\u2013461 (2015)CrossRefMATH\n\n19.\n\nKhatib, L., Muscettola, N., Havelund, K.: Mapping temporal planning constraints into timed automata. In: TIME, pp. 21\u201327. IEEE Computer Society (2001)\n\n20.\n\nKnapik, M., Penczek, W.: Bounded model checking for parametric timed automata. Trans. Petri Nets Models Concurr. 5, 141\u2013159 (2012)CrossRefMATH\n\n21.\n\nLarsen, K.G., Pettersson, P., Yi, W.: UPPAAL in a nutshell. Int. J. STTT 1(1\u20132), 134\u2013152 (1997)CrossRefMATH\n\n22.\n\nMinsky, M.L.: Computation: Finite and Infinite Machines. Prentice-Hall, Inc., Upper Saddle River (1967)MATH\n\n23.\n\nSchupp, S., \u00c1brah\u00e1m, E., Chen, X., Makhlouf, I.B., Frehse, G., Sankaranarayanan, S., Kowalewski, S.: Current challenges in the verification of hybrid systems. In: Berger, C., Mousavi, M.R. (eds.) CyPhy 2015. LNCS, vol. 9361, pp. 8\u201324. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-25141-7_\u200b2 CrossRef\n\n24.\n\nSun, J., Liu, Y., Dong, J.S., Pang, J.: PAT: towards flexible verification under fairness. In: Bouajjani, A., Maler, O. (eds.) CAV 2009. LNCS, vol. 5643, pp. 709\u2013714. Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-02658-4_\u200b59 CrossRef\n\n25.\n\nTripakis, S.: Verifying progress in timed systems. In: Katoen, J.-P. (ed.) ARTS 1999. LNCS, vol. 1601, pp. 299\u2013314. Springer, Heidelberg (1999). doi:10.\u200b1007\/\u200b3-540-48778-6_\u200b18 CrossRef\n\n26.\n\nTripakis, S., Yovine, S., Bouajjani, A.: Checking timed B\u00fcchi automata emptiness efficiently. Formal Methods Syst. Des. 26(3), 267\u2013292 (2005)CrossRefMATH\n\n27.\n\nWang, T., Sun, J., Wang, X., Liu, Y., Si, Y., Dong, J.S., Yang, X., Li, X.: A systematic study on explicit-state non-Zenoness checking for timed automata. IEEE Trans. Softw. Eng. 41(1), 3\u201318 (2015)CrossRef\n\nFootnotes\n\n1\n\nNote that if a clock has more than a single upper bound in a guard, then the minimum can be encoded as a disjunction of constraints, and our results would still apply with non-convex constraints (that can be implemented using a finite list of convex constraints).\n\n2\n\nThis model assumes that, after the change of a signal in the input of a gate, the output changes after a delay which is modeled using a parametric closed interval.\n\n3\n\nA purely parametric constraint (e. g.  ) is generally not allowed by the PTA syntax, but can be simulated using appropriate clocks (e. g.  ). Such parametric constraints are allowed in the input syntax of IMITATOR.\n\n4\n\nFollowing a well-known result for PTAs, all symbolic states belonging to a same cycle in a parametric zone graph have the same parameter constraint.\n\n5\n\nFor experimental data including source and binary, see http:\/\/\u200bimitator.\u200bfr\/\u200bstatic\/\u200bNFM17.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_4\n\n# Multi-timed Bisimulation for Distributed Timed Automata\n\nJames Ortiz1  , Moussa Amrani1  and Pierre-Yves Schobbens1\n\n(1)\n\nComputer Science Faculty, University of Namur, Namur, Belgium\n\nJames Ortiz\n\nEmail: james.ortizvega@unamur.be\n\nMoussa Amrani (Corresponding author)\n\nEmail: moussa.amrani@unamur.be\n\nPierre-Yves Schobbens\n\nEmail: pierre-yves.schobbens@unamur.be\n\nAbstract\n\nTimed bisimulation is an important technique which can be used for reasoning about behavioral equivalence between different components of a complex real-time system. The verification of timed bisimulation is a difficult and challenging problem because the state explosion caused by both functional and timing constraints must be taken into account. Timed bisimulation was shown decidable for Timed Automata (TA). Distributed TA and TA with Independent Clocks (icTA) were introduced to model Distributed Real-time Systems. They are a variant of TA with local clocks that may not run at the same rate. In this paper, we first propose to extend the theory of Timed Labeled Transition Systems to Multi-Timed Labeled Transition Systems, and relate them by an extension of timed bisimulation to multi-timed bisimulation. We prove the decidability of multi-timed bisimulation and present an EXPTIME algorithm for deciding whether two icTA are multi-timed bisimilar. For multi-timed bisimilarity, an extension of the standard refinement algorithm is described.\n\n## 1 Introduction\n\nDistributed Real-Time Systems (DTS) are increasing with the scientific and technological advances of computer networks. The high demand for computer networks has caused the development of new complex applications which benefit from the high performance and resources offered by modern telecommunications networks. Current researches in the area of DTS have emerged from the need to specify and analyze the behavior of these systems, where both distributed behavior and timing constraints are present. Formal verification methods, such as model checking, have been used to verify the correctness of complex DTS. Model checking over DTS becomes rapidly intractable because the state space often grows exponentially with the number of components considered. A technique to reduce the state space is to merge states with the same behaviour. For untimed systems, the notion of bisimulation [13] is classically used to this end, and its natural extension for real-time systems, timed bisimulation, was already shown decidable for Timed Automata (TA) [2, 12]. A timed automaton is a finite automaton augmented with real-valued clocks, represented as variables that increase at the same rate as time progresses. TA assume perfect clocks: all clocks have infinite precision and are perfectly synchronized. In this paper, we study two variants of TA called Distributed Timed Automata (DTA) and Timed Automata with Independent Clocks (icTA) proposed by [1, 11, 16] to model DTS, where the clocks are not necessarily synchronized. TA have been used to model DTS such as Controller Area Network [14] and WirelessHART Networks [10]. But, TA, icTA and timed bisimulation are based on a sequential semantics of a Timed Labelled Transition Systems (TLTS), i.e., a run of a TLTS is given by a sequence of actions and timestamps.\n\nUnfortunately, a sequential semantics does not describe completely the behavior of the DTS, because interactions between processes with their associated local clocks that are running at the same rate and distribution of the actions over the components are not considered. Also, model-checking and bisimulation equivalence algorithms have been implemented in tools [19, 20] for the sequential semantics used by the model (e.g., TA, TLTS, etc.). In contrast, behavioral equivalences for DTS have only been introduced in [3]. It is, however, not clear whether such equivalences agree with the distributed timed properties in DTS. Therefore, we propose an alternative semantics to the classical sequential semantics for TLTS and icTA: specifically, a run of a system in our alternative semantics is given by the sequences of pairs (action, tuples of timestamps). We propose an alternative semantics in order to be able to consider a semantics which expresses the distribution of the actions and timestamps over the components. With this alternative, it becomes possible to analyze the local behavior of the components independently, thus enhancing the expressiveness of the TLTS (and icTA). We introduce Multi-Timed Labelled Transition Systems (MLTS), an extension of classical TLTS in order to cope with the notion of multiple local times, and we propose efficient algorithms using refinement techniques [17].\n\nContributions. One of our main contributions is to incorporate a alternative semantics over sequential semantics for TLTS and icTA. Also, we extend the classical theory of timed bisimulation with the notion multi-timed bisimulation and their corresponding decision algorithms. We also present two algorithms: (i) a forward reachability algorithm for the parallel composition of two icTA, which will help us to minimize the state space exploration by our second algorithm, and (ii) a decision algorithms for multi-timed bisimulation using the zone-based technique [5]. Multi-timed bisimulation is a relation over local clocks (and processes), and cannot be computed with the standard partition refinement algorithm [17]. Instead, our algorithm successively refines a set of zones such that ultimately each zone contains only multi-timed bisimilar pairs of states. Furthermore, we show that our algorithm is EXPTIME-complete. Since TA are a special variant of icTA, our work conservatively extends the expressiveness of TA and TLTS; and since timed bisimulation over TA [19, 20] can be regarded as a special case of multi-timed bisimulation, our decision algorithms could potentially be used to analyze complex DTS.\n\nStructure of the Paper. After recalling preliminary notions in Sect. 2, we introduce our alternative semantics for icTA in Sect. 3, based on multi-timed words consumed by MLTS. Section 4 deals with bisimulation: we first define multi-timed bisimulation, by adapting the classical definition to MLTS, then show its decidability by exhibiting an EXPTIME algorithm. Finally, Sect. 5 compares our work with existing contributions, and Sect. 6 concludes. Due to space constraints, some proofs are not given here, but stay available in a Technical Report available online [15].\n\n## 2 Preliminaries\n\nWe describe in this section the notations needed for formally defining Timed Labelled Transition Systems (TLTS) and Timed Automata TA.\n\nTimed Words. The set of all finite words over a finite alphabet of actions   is denoted by  . Let  ,   and   respectively denote the sets of natural, real and nonnegative real numbers. A timed word [2] over   is a finite sequence   of actions paired with nonnegative real numbers (i.e.,  ) such that the timestamped sequence   is nondecreasing (i.e.,  ). We sometimes define   as the pair   with   and t a sequence of timestamps with the same length.\n\nClocks. A clock is a real positive variable that increases with time. Let   be a finite set of clock names. A clock constraint   is a conjunction of comparisons of a clock with a natural constant c: with  ,  , and  ,   is defined by\n\nA clock valuation   over   is a mapping  . For a time value  , we note   the valuation defined by  . Given a clock subset  , we note   the valuation defined as follows:   if   and   otherwise. The projection of   on  , written  , is the valuation over   containing only the values in   of clocks in  .\n\nTimed Automata (TA). A TA is a tuple   where   is a finite alphabet, X a clock set, S a set of locations with   the initial location and   the set of (sink) final states,   is the automaton's transition relation,   associates to each location a clock constraint as invariant. For a transition  , we classically write   and call s and   the source and target location,   is the guard, a the action or label, Y the set of clocks to be reset. During the execution of a TA  , a state is a pair  , where s denotes the current state with its accompanying clock valuation  , starting at   where   maps each clock to 0. We only consider legal states, i.e. states that satisfy   (i.e. valuations that map clocks to values that satisfy the current state's invariant).\n\nTimed Transition System (   ). The transition system TLTS   generated by   is defined by TLTS  , where Q is a set of legal states over   with initial state  ,   a finite alphabet and       is the TLTS transition relation defined by: (a) Delay transition:   for some  , iff      , (b) Discrete transition:  , iff  ,  ,   and  .\n\n## 3 An Alternative Semantics for DTA\n\nIn this section, we define an alternative semantics (which we will call multi-timed semantics) for icTA as opposed to the mono-timed semantics of [1]. The main problem with the semantics of [1] is that they use the reference time. The benefits of this new definition are threefold. First, the multi-timed semantics preserves the untimed language of the icTA. Second, the multi-timed semantics can work with multi-timed words. Third, the region equivalence defined in [1] could form a finite time-abstract bisimulation on the multi-timed semantics. Hence, the multi-timed semantics allows to build a region automaton that accepts exactly Untime   for all icTA   [1]. Thus, we extend TLTS and icTA to their multi-timed version.\n\n### 3.1 Multi-timed Actions\n\nLet Proc be a non-empty set of processes, then, we denote by   the set of functions from Proc to  , that we call tuples. A tuple   is smaller that  , noted,   iff   and  . A Monotone Sequence of Tuples (MST) is a sequence   =   of tuples of   where:    ,  . A multi-timed word on   is a pair   where   is a finite word  , and   is a MST of the same length. This is the analog of a timed word (or multi-timed action) [2]. A multi-timed word can equivalently be seen as a sequence of pairs in  .\n\n### 3.2 Multi-timed Labeled Transition Systems\n\nOur multi-timed semantics is defined in terms of runs that record the state and clock values at each transition points traversed during the consumption of a multi-timed word. Instead of observing actions at a global time, a multi-timed word allows to synchronise processes on a common action that may occur at a specific process time.\n\nDefinition 1\n\n(Multi-timed Labelled Transition System). A Multi-Timed Labelled Transition System (MLTS) over a set of processes Proc is a tuple   such that: (i)   is a set of states. (ii)   is the initial state. (iii)   is a finite alphabet. (v)   is a set of transitions.\n\nThe transitions from state to state of a MLTS are noted in the following way: (i) A transition   is denoted   and is called a  , if a     and  , (ii) A transition   is denoted   and is called a  , if   and  .\n\nA run of   can be defined as a finite sequence of moves, where discrete and continuous transitions alternate:   =  , where   and  . The multi-timed word of   is  , where  . A multi-timed word   is accepted by   iff there is a maximal initial run whose multi-timed word is  . The language of  , denoted  , is defined as the set of multi-timed words accepted by some run of  . Note that MLTS are a proper generalisation of TLTS: each TLTS can be seen as a MLTS with a single process and conversely.\n\nFor example, consider the two transition systems in Fig. 1: a MLTS on the left ( ) and two TLTS on the right (  and  ) with the finite input alphabet  . In brief,   and   could be considered as the projection of   on the case of process 1 and 2.\n\nFig. 1.\n\nMulti-timed and Timed Labelled Transition Systems\n\n### 3.3 A Multi-timed Semantics for icTA\n\nDTA [1, 11] consist of a number of local timed automata. In [1], DTA are not much studied. Instead, their product is first computed, giving rise to the class of icTA ( , where   is a TA and   is a function maps each clock to a process).\n\nGiven  , a clock valuation   and      : the valuation   is defined by   =   for all  . A Rate is a tuple   =   of local time functions. Each local time function   maps the reference time to the time of process  , i.e.,  . The functions   must be continuous, strictly increasing, divergent, and satisfy  . The set of all these tuples   is denoted by  .\n\nThe operational semantics of an icTA has been associated to a sequential semantics. A run of an icTA   for   with a sequential semantics as a sequence         where  ,   and  ,   and  . Here, we want to associate operational semantics of a icTA to a MLTS.\n\nDefinition 2\n\nLet   be an icTA and  . Our multi-timed semantics of the icTA   is given by a MLTS over  , denoted by MLTS( ). The set of states Q consists of triples composed of a location, a clock valuation and lastly the reference time:  . The starting state is  , where   is the valuation that assigns 0 to all the clocks.   is the alphabet of  . The transition relation   is defined by:\n\n  1. (i)\n\nA transition   is denoted  , and is called a  , where  ,  ,   and  .\n\n  2. (ii)\n\nA transition   is denoted  , and is called a    , where  ,  ,  , there exists a transition  , such that  ,   =  ,  ,  .\n\nIn Definition 2, we have introduced a multi-timed semantics for icTA, following ideas of [1]. A run of an icTA   for     Rates with our multi-timed semantics is an initial path in MLTS   where discrete and continuous transition alternate. A multi-timed word is accepted by   for   iff it is accepted by MLTS  .\n\nExample 1\n\nThe Fig. 2(a) shows an icTA   with the finite input alphabet  , the set of processes Proc =  , the set of clocks   and   = (2t, t) i.e.   = 2t and   = t. A run of   on multi-timed word   = ((a, (2.0, 1.0))(b, (3.0, 1.5))(c, (4.2, 2.1)) (d, (6.0, 3.0))) is given by                                    .\n\nFig. 2.\n\n(a) An icTA  , (b) An counter example of Multi-timed bisimulation\n\n## 4 Multi-timed Bisimulation\n\nFrom a distributed approach, a DTS consist of several processes with their associated local clocks that are not running at the same rate. Thus, in order to formalize preservation of distributed timed behavior, we extend the classical definition of timed bisimulation [9] towards a multi-timed semantics. Our motivation for extending the classical definition of timed bisimulation is twofold: first, efficient algorithms checking for timed and time-abstract bisimulation have been discovered [12, 19]. Nonetheless, these algorithms are based on sequential semantics (i.e., TLTS and TA). Second, verifying the preservation of distributed timed behavior in DTS could be used to master the combinatorial explosion of the size of the model due to the composition of the processes.\n\n### 4.1 Strong Multi-timed Bisimulation\n\nLet   and   be two MLTS over the same set of actions   and processes Proc. Let   (resp.,  ) be the set of states of   (resp.,  ). Let   be a binary relation over  . We say that   is a strong multi-timed bisimulation whenever the following transfer property holds (note that technically this is simply strong bisimulation over  ):\n\nDefinition 3\n\nA strong multi-timed bisimulation over MLTS  ,   is a binary relation   such that, for all  , the following holds:\n\n  1. (i)\n\nFor every   and for every discrete transition      , there exists a matching discrete transition       such that   and symmetrically.\n\n  2. (ii)\n\nFor every      , for every delay transition      , there exists a matching delay transition       such that   and symmetrically.\n\nTwo states   and   are multi-timed bisimilar, written  , iff there is a multi-timed bisimulation that relates them.   and   are multi-timed bisimilar, written      , if there exists a multi-timed bisimulation relation   over   and   containing the pair of initial states.\n\nAs a consequence of Definition 3, the notion of multi-timed bisimulation extends to icTA and we have the following definition:\n\nDefinition 4\n\nLet   and   be two icTA. We say the automata   and   are multi-timed bisimilar, denoted      , iff       Rates MLTS( )   MLTS( ).\n\nWhen there is only one process, the multi-timed bisimulation is the usual timed bisimulation. Consider the two icTA   (top) and   (bottom) in Fig. 2(b) with the alphabet  , the set of processes Proc =  , the set of clocks   and   =   i.e.   =   and   = 3t.   and   in Fig. 2(b) depicts an icTA.   performs nondeterministically the transition with the guard  , the action a, resets clock   to 0 and enters location  . Similarly,   performs nondeterministically the transitions with the guard  , the action a, resets clock   to 0 and enters location  . We will show that these icTA are not multi-timed bisimilar (Definition 3) ever if their underling TA are bisimilar (and ever isomorphic): We have   in   and   since   can run the delay transition       and   in  . We have       can only match this transition with      . From these states   can fire a while   cannot.\n\n### 4.2 Decidability\n\nInspired by [12], we show that for given icTA  ,  , checking whether       is decidable via a suitable zone graph [12]. In order to define the notion of clock zone over a set of clocks  , we need to consider the set   of extended clock constraints.\n\nDefinition 5\n\nA clock constraint   is a conjunction of comparisons of a clock with a constant c, given by the following grammar, where   ranges over  ,  ,  , and  :\n\nA clock constraint of the form   is called diagonal constraint and  ,   must belong to the same process. The notion of satisfaction of a clock constraint       by a valuation is given by the clause         c iff     c.\n\nInformally, a clock zone   is a conjunction of extended clock constraints   with inequalities of clock differences and its semantics is the set of clock valuations that satisfy it   =  . We omit the semantics brackets ( ) when obvious. For any clock zones  ,   and finite set of clocks X, the semantics of the intersection, clock reset, inverse clock reset, time successor and time predecessor events on clock zone can be defined as: (i)  , (ii)  , (iii)  , (iv)  , (v)  .\n\nA zone graph [12] is similar to a region graph [2] with the difference that each node consists of pair (called a zone) of a location s and a clock zone    . For  , we write     q if   and  , indicating that a state is included in a zone. Analogously, we can write   to indicate that   and      . We will use the notation   to denote the action a of the edge e. Furthermore, we extend the zone operations for an icTA   in the following way:\n\nDefinition 6\n\nLet   be a zone and       be a transition of  , then  =  is the set of valuations that q can reach by taking the transition e.\n\nDefinition 7\n\nLet   be a zone and       be a transition of  , then  =  is the set of valuations that q can reach by executing the transition e.\n\nIntuitively, the zone   describes the discrete successor of the zone   under the transition e, and the zone   describes the discrete predecessor of the zone   under the transition e.\n\nDefinition 8\n\n(Multi-timed Zone Graph). Given an icTA    , its symbolic multi-timed zone graph (ZG( )) is a transition system ZG( ) =  , where: (i) Q consists of pairs   where s    , and       is a clock zone with  . (ii)   is the initial zone   with   =  . (iii)   is the set of labels of  . (iv)       is a set of transitions, where each transition in ZG( ) is a labelled by a transition      , where s and   are the source and target locations,   is a clock constraint defining the guard of the transition, a is the action of the edge and Y is the set of clocks to be reset by the transition in the icTA  . For each  , transitions are defined by the rules:\n\n  1. (i)\n\nFor every e =   and clock zone  , there exists a discrete transition  , where   if      .\n\n  2. (ii)\n\nFor a clock zone  , there exists a delay transition  , where   and   I(s).\n\nNote that   is used here as a symbol to represent symbolic positive delay transitions. Only the reachable part is constructed.\n\nLemma 1\n\nLet   be a zone and   be a transition of an icTA  , then  ,  ,  ,   and   are also zones.\n\nMulti-timed Zone Graph Algorithm: In Algorithm 1, we build a reachable multi-timed zone graph (ZG(     )) for the parallel composition of two icTA (  and  ). Algorithm 1 build a multi-timed zone graph, starting with the pair   (  initial location of the automaton   with   =   represents the initial zone). However, the multi-timed zone graph can be infinite, because constants used in zones may grow for ever. Therefore, we use a technique called extrapolation abstraction (  (LU-bound)) [4, 7], where L is the maximal lower bound and U is the maximal upper bounds. For every location s of a ZG( ), there are bound functions LU and the symbolic zone graph using  . Then, we build zones of the form  .\n\nLemma 2\n\n(Completeness). Let   =           be a run of  , for some     Rates. Then, for any state   where  , there exists a symbolic zone   added in Q such that      .\n\nThe above lemma tells that the Algorithm 1 over-approximates reachability. Now, we can establish the termination of the Algorithm 1, because there are finitely many   zones. Here, we will use Algorithm 1 to over-approximate the co-reachable state space of the two icTA   and  , on the strongly synchronized product of   and  . The time complexity of this algorithm is given in terms of the number of clocks, the number of clocks and the number of transitions of the icTA:   where |S| represent the number of states in the icTA  , |X| the number of clocks in   and   the number of transitions in  .\n\nRefinement Algorithm: Now, we describe a refinement algorithm with signature to compute the multi-timed bisimulation from their zone graph of their strong product ZG(ZG(     )). The passage of arbitrary local times are abstracted by time elapse   transitions from a zone to successor zones, and discrete transitions. Essentially, our algorithm is based on the refinement technique [6, 17, 19]. The state space Q of ZG(     ) is divided in zones that initially over-approximate the co-reachable states of   and  . Algorithm 2 starts from an initial set of zones   and successively refines these sets such that ultimately each zone contains only bisimilar state pairs.\n\nThe runs of a zone graph involve a sequence of moves with discrete and time-elapse   transitions. The refinement algorithm has thus to deal with the following difficulties: when taking a   transition, where the clocks in different processes are not perfectly synchronous, it should take into consideration that the time elapse traverses continuously diagonal, almost vertical and horizontal time successor zones. Conversely, when the clocks belonging to the same process (i.e., perfectly synchronous), the time elapsing traverses only continuously diagonal time successor zones. Thus, the time refinement operator presented in [19] is not applicable within our Algorithm 2. Figure 3 presents an example: (a) a time elapsing traversing the clock regions 1 to 3 for synchronous clocks, (b) a time elapsing traversing continuously diagonal, almost horizontal and vertical time successor zones for asynchronous clocks.\n\nFig. 3.\n\n(a) A time elapsing traversing 0 to 3, (b) Multi-timed time successors.\n\nThe discrete refinement operator presented in [19] is also not applicable within our Algorithm 2. Therefore, our algorithm adopts the idea of the signature-based technique [6], which assigns states to equivalence blocks according to a characterizing signature. In each refinement iteration, the set of zones are refined according to a signature. The algorithm in [6], cannot be applied in our setting in a straightforward way, due to its untimed characteristic, while in our case, the time and discrete characteristics should be considered. Based on [6], we introduce a signature refinement operator which refine the set of zones until a fixed point is reached, which is the complete multi-timed bisimulation. Thus, we introduce the timed and discrete predecessor operators.\n\nDefinition 9\n\nLet q =   and   =   be two zones, then:     =   is the set of valuations in the zone   from which a valuation of   can be reached through the elapsing of time, without entering any other zones besides   and   (i.e.,  ).\n\nThe   operator refines   selecting the states that can reach  .\n\nLemma 3\n\nLet  ,     Q be two zones, then     is a clock zone.\n\nWe use as signature of a state   the set of outgoing transitions from  . Then, a refinement of a zone can be computed by grouping states that have the same signature. The resulting set of zones then represents the multi-timed bisimulation relation: two states   and   are multi-timed bisimilar iff they are in the same zone with similar outgoing transitions. Formally, this is captured in the following definition:\n\nDefinition 10\n\nLet q =   be a zone, then the signature of a state     q formed by the set of labels of all the edges starting from   is defined as:\n\n  =  . Also, the signature of the zone q is defined as:   =    .\n\n  operator is used to compute the signatures of a state into a zone. Our Algorithm 2 consists of two steps: The initial phase, is responsible for keeping a pair of states in q into zones so that every pair of states     from the same zone q have the same signature      . The refinement phase, consists of computing the timed predecessors (see Definition 11 below) and the discrete signature predecessors (see Definition 12 below) until a stable set of zones is reached. Stable zone are a multi-timed bisimulation relation if every pair of states of every zone in the set have the same signature with respect to every computed refinement. A detailed explication about building a stable zones follows:\n\n  * Initial phase: Let   = Q be the initial set of zones, where Q is given by Algorithm 1. After the initial phase, the set   contains zones consisting of states with unique signatures,      .\n\n  * Refinement phase: An existing set of zones are iteratively refined until all zones becomes stable simultaneously with respect to all their timed predecessors and discrete predecessors. For simplicity, we will write   to denote the pairs  .\n\nDefinition 11\n\nLet   be a set of zones and q =  ,   =   be two zones in  . Then for the delay transitions, the refinement function is defined as follows:\n\n  =\n\nDefinition 12\n\nLet   be a set of zones and q =  ,   =   be two zones in  . Let q =   be the currently examined zone and   be the signatures of the set of states into the zone q. Let   and   be the transitions of the icTAs   and  . Then the refinement of a zone q is defined as follows:\n\nLemma 4\n\nLet   be a class of   and let e be an edge of the  , then each of   and   forms a partition of   in zones.\n\nThe correctness of the Algorithm 2 follows from the algorithm in [6, 17]. The definition   above to generate a finer set of zones, which deals with delay transitions. The definition of  , generate also a finer set of zones and distinguishes the states with discrete transitions. Termination is ensured by Lemma 4. Algorithm 2 describes the main steps of the decision procedure for multi-timed bisimulation checking. It is based on the function BuildSymbZoneGraph (i.e., Algorithm 1). The function PartitionZoneGraph returns stable set of zones  . Given a set of zones  , the Algorithm 2 computes the states   from   that are bisimilar up to the desired initial state  .\n\nProposition 1\n\nLet q =   be a zone. Let   and   be two states in q, then       iff      .\n\nTheorem 1\n\nDeciding multi-timed bisimulation between two icTA is EXPTIME-complete.\n\nAn example of the zone graph, partition and multi-timed bisimulation computed by our algorithms can be found in Fig. 4. The Fig. 4(a) shows two icTA   and   with the finite input alphabet  , the set of processes Proc =  , the set of clocks   and   >  . The Fig. 4(b) shows the zone graph computed by Algorithm 1. The Fig. 4(c) shows the multi-timed bisimulation for   and  .\n\nFig. 4.\n\n(a) Composition of icTAs; (b) Zone graph; (c) bisimulation\n\n## 5 Related Work\n\nBecause TA are a general-purpose formalism, several implementations and extensions have been considered. For example, Puri [18] studied the semantics of robustness timed automata where clocks can drift in a bounded way, i.e. clocks may grow at independent rates in the interval  . Krishnan [11] considered asynchronous distributed timed automata, where clocks evolve independently in each component. Akshay et al. concentrate on the untimed language of DTA. In a previous work [16], we suggested a model that has the same expressive power as event clock automata [2], but without studied possible simulation algorithms.\n\nThe notion of bisimulation for TA is studied in various contributions [4, 8, 9, 19, 20]. Cerans [9] gives a proof of decidability for timed bisimulation. Several techniques are used in the literature for providing algorithms capable of checking (bi-)simulation: Weise and Lenzkes [20] rely on a zone-based algorithm for weak bisimulation over TA, but no implementation is provided; Bulychev et al. [8] study timed simulation for simulation-checking games, for which an implementation is available from [4]; region construction for timed bisimulation was also considered by Akshay et al. [1], but never implemented; and more closely to our work, Tripakis and Yovine proposed a time-abstract bisimulation over TA in [19]. Krishnan [11] and our previous work [16] manipulated clock drifts as well for manipulating DTA, but without considering bisimulation.\n\n## 6 Conclusions\n\nBisimulation is a common technique to reduce the state space explosion issue encountered during model-checking of real-time systems. To enable the application of this technique for DTS modelled by icTA, we proposed an alternative semantics for capturing the execution of icTA, based on multi-timed words running over Multi-Timed Labelled Transition Systems. We extended the notion of bisimulation to such structures, and proposed an EXPTIME algorithm for checking decidability. We are now studying how to efficiently implement such structures and decidability algorithm, and plan to compare their performance against classical work as proposed in [4, 19].\n\nReferences\n\n1.\n\nAkshay, S., Bollig, B., Gastin, P., Mukund, M., Narayan Kumar, K.: Distributed timed automata with independently evolving clocks. In: Breugel, F., Chechik, M. (eds.) CONCUR 2008. LNCS, vol. 5201, pp. 82\u201397. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-85361-9_\u200b10 CrossRef\n\n2.\n\nAlur, R., Dill, D.L.: A theory of timed automata. Theor. Comput. Sci. 126(2), 183\u2013235 (1994)MathSciNetCrossRef90010-8)MATH\n\n3.\n\nBalaguer, S., Chatain, T.: Avoiding shared clocks in networks of timed automata. In: Koutny, M., Ulidowski, I. (eds.) CONCUR 2012. LNCS, vol. 7454, pp. 100\u2013114. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-32940-1_\u200b9 CrossRef\n\n4.\n\nBehrmann, G., Bouyer, P., Larsen, K.G., Pel\u00e1nek, R.: Lower and upper bounds in zone-based abstractions of timed automata. STTT 8(3), 204\u2013215 (2006)CrossRefMATH\n\n5.\n\nBengtsson, J., Yi, W.: Timed automata: semantics, algorithms and tools. In: Desel, J., Reisig, W., Rozenberg, G. (eds.) ACPN 2003. LNCS, vol. 3098, pp. 87\u2013124. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-27755-2_\u200b3 CrossRef\n\n6.\n\nBlom, S., Orzan, S.: A distributed algorithm for strong bisimulation reduction of state spaces. Electr. Notes Theor. Comput. Sci. 68(4), 523\u2013538 (2002)CrossRef80390-1)MATH\n\n7.\n\nBouyer, P.: Forward analysis of updatable timed automata. Form. Methods Syst. Des. 24(3), 281\u2013320 (2004)MathSciNetCrossRefMATH\n\n8.\n\nBulychev, P., Chatain, T., David, A., Larsen, K.G.: Efficient on-the-fly algorithm for checking alternating timed simulation. In: Ouaknine, J., Vaandrager, F.W. (eds.) FORMATS 2009. LNCS, vol. 5813, pp. 73\u201387. Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-04368-0_\u200b8 CrossRef\n\n9.\n\n\u010cer\u0101ns, K.: Decidability of bisimulation equivalences for parallel timer processes. In: Bochmann, G., Probst, D.K. (eds.) CAV 1992. LNCS, vol. 663, pp. 302\u2013315. Springer, Heidelberg (1993). doi:10.\u200b1007\/\u200b3-540-56496-9_\u200b24 CrossRef\n\n10.\n\nDe Biasi, M., Snickars, C., Landern\u00e4s, K., Isaksson, A.: Simulation of process control with WirelessHART networks subject to clock drift. In: COMPSAC (2008)\n\n11.\n\nKrishnan, P.: Distributed timed automata. In: Workshop on Distributed Systems (1999)\n\n12.\n\nLaroussinie, F., Larsen, K.G., Weise, C.: From timed automata to logic \u2014 and back. In: Wiedermann, J., H\u00e1jek, P. (eds.) MFCS 1995. LNCS, vol. 969, pp. 529\u2013539. Springer, Heidelberg (1995). doi:10.\u200b1007\/\u200b3-540-60246-1_\u200b158 CrossRef\n\n13.\n\nMilner, R.: Communication and Concurrency. Prentice Hall, Upper Saddle River (1989)MATH\n\n14.\n\nMonot, A., Navet, N., Bavoux, B.: Impact of clock drifts on CAN frame response time distributions. In: ETFA, Toulouse, France (2011)\n\n15.\n\nOrtiz, J., Schobbens, P.-Y.: Extending timed bisimulation for distributed timed systems. Technical report, University of Namur (2016). http:\/\/\u200bwww.\u200binfo.\u200bfundp.\u200bac.\u200bbe\/\u200b~jor\/\u200bMulti-TimedReport\/\u200b\n\n16.\n\nOrtiz, J., Legay, A., Schobbens, P.-Y.: Distributed event clock automata. In: Bouchou-Markhoff, B., Caron, P., Champarnaud, J.-M., Maurel, D. (eds.) CIAA 2011. LNCS, vol. 6807, pp. 250\u2013263. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-22256-6_\u200b23 CrossRef\n\n17.\n\nPaige, R., Tarjan, R.E.: Three partition refinement algorithms. SIAM J. Comput. 16(6), 973\u2013989 (1987)MathSciNetCrossRefMATH\n\n18.\n\nPuri, A.: Dynamical properties of timed automata. In: Ravn, A.P., Rischel, H. (eds.) FTRTFT 1998. LNCS, vol. 1486, pp. 210\u2013227. Springer, Heidelberg (1998). doi:10.\u200b1007\/\u200bBFb0055349 CrossRef\n\n19.\n\nTripakis, S., Yovine, S.: Analysis of timed systems using time-abstracting bisimulations. Form. Methods Syst. Des. 18(1), 25\u201368 (2001)CrossRefMATH\n\n20.\n\nWeise, C., Lenzkes, D.: Efficient scaling-invariant checking of timed bisimulation. In: Reischuk, R., Morvan, M. (eds.) STACS 1997. LNCS, vol. 1200, pp. 177\u2013188. Springer, Heidelberg (1997). doi:10.\u200b1007\/\u200bBFb0023458 CrossRef\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_5\n\n# Auto-Active Proof of Red-Black Trees in SPARK\n\nClaire Dross1  and Yannick Moy1\n\n(1)\n\nAdaCore, 75009 Paris, France\n\nClaire Dross\n\nEmail: dross@adacore.com\n\nAbstract\n\nFormal program verification can guarantee that a program is free from broad classes of errors (like reads of uninitialized data and run-time errors) and that it complies with its specification. Tools such as SPARK make it cost effective to target the former in an industrial context, but the latter is much less common in industry, owing to the cost of specifying the behavior of programs and even more the cost of achieving proof of such specifications. We have chosen in SPARK to rely on the techniques of auto-active verification for providing cost effective formal verification of functional properties. These techniques consist in providing annotations in the source code that will be used by automatic provers to complete the proof. To demonstrate the potential of this approach, we have chosen to formally specify a library of red-black trees in SPARK, and to prove its functionality using auto-active verification. To the best of our knowledge, this is the most complex use of auto-active verification so far.\n\nWork partly supported by the Joint Laboratory ProofInUse (ANR-13-LAB3-0007, http:\/\/\u200bwww.\u200bspark-2014.\u200borg\/\u200bproofinuse) and project VECOLIB (ANR-14-CE28-0018) of the French national research organization.\n\n## 1 Introduction\n\nFormal program verification allows programmers to guarantee that the programs they write have some desired properties. These properties may simply be that the program does not crash or behave erratically, or more complex critical properties related to safety or security. Being able to guarantee such properties will be essential for high assurance software as requirements are increasingly complex and security attacks more pervasive.\n\nSPARK is a subset of the Ada programming language targeted at safety- and security-critical applications. GNATprove is a tool that analyzes SPARK code and can prove absence of run-time errors and user-specified properties expressed as contracts. GNATprove is based on modular deductive verification of programs, analyzing each function in isolation based on its contract and the contracts of the functions it calls. The main benefit of this approach is that it allows using very precise semantics of programming constructs and powerful automatic provers. The main drawback is that top-level specifications are not sufficient. Programmers need to provide many intermediate specifications in the form of additional contracts, loop invariants and assertions.\n\nProviding the right intermediate specifications is a difficult art, but progress has been achieved in recent years through a method known as auto-active verification. Various languages and tools now provide features for effective auto-active verification. SPARK is among these. In this paper, we explore the capabilities of auto-active verification for automatically proving complex algorithms. We have chosen to target red-black trees because they are well-known, commonly used in practice, and yet sufficiently complex that no implementation of imperative red-black trees has been formally verified using auto-active verification. Our implementation of red-black trees, with all the code for auto-active verification, is publicly available in the repository of SPARK.1\n\n## 2 Preliminaries\n\n### 2.1 SPARK 2014\n\nSPARK is a subset of the Ada programming language targeted at safety- and security-critical applications. SPARK builds on the strengths of Ada for creating highly reliable and long-lived software. SPARK restrictions ensure that the behavior of a SPARK program is unambiguously defined, and simple enough that formal verification tools can perform an automatic diagnosis of conformance between a program specification and its implementation. The SPARK language and toolset for formal verification have been applied over many years to on-board aircraft systems, control systems, cryptographic systems, and rail systems [18].\n\nIn the versions of SPARK up to SPARK 2005, specifications are written as special annotations in comments. Since version SPARK 2014 [17], specifications are written as special Ada constructs attached to declarations. In particular, various contracts can be attached to subprograms: data flow contracts, information flow contracts, and functional contracts (preconditions and postconditions, introduced respectively by Pre and Post). An important difference between SPARK 2005 and SPARK 2014 is that functional contracts are executable in SPARK 2014, which greatly facilitates the combination of test and proof. The definition of the language subset is motivated by the simplicity and feasibility of formal analysis and the need for an unambiguous semantics. Tools are available that provide flow analysis and proof of SPARK programs.\n\nFlow analysis checks correct access to data in the program: correct access to global variables (as specified in data and information flow contracts) and correct access to initialized data. Proof is used to demonstrate that the program is free from run-time errors such as arithmetic overflow, buffer overflow and division-by-zero, and that the functional contracts are correctly implemented. GNATprove is the tool implementing both flow analysis and proof of SPARK code.\n\n### 2.2 Auto-Active Verification\n\nThe term auto-active verification was coined in 2010 by researcher Rustan Leino [15] to characterise tools where user input is supplied before VC generation [and] therefore lie between automatic and interactive verification (hence the name auto-active). This is in contrast to fully automatic verifiers for which the specification is fixed and interactive verifiers for which the user input is supplied after VC generation, which is the typical case when the reasoning engine is an interactive proof assistant. Auto-active verification is at the center of the academic formal program verification toolsets Dafny [14], the Eiffel Verification Environment (EVE) [9], Why3 [8] as well as the industrial formal program verification toolsets Frama-C2 and SPARK3.\n\nIn all these toolsets, auto-active verification consists in a set of specification features at the level of the source language, and a set of tool capabilities to interact with users at the level of the source code. The specification features consist at least in constructs to specify function contracts (preconditions and postconditions) and data invariants, as well as specialized forms of assertions (loop invariants and loop variants, assumptions and assertions). All the toolsets mentioned above also support ghost code, a feature to instrument code for verification. Ghost functions are also called lemmas when their main purpose is to support the proof of a property that is later used at the point where the function is called. See [12] for a comparison of how ghost code differs between Why3, Frama-C and SPARK. Various tool capabilities facilitate user interaction at source level: fast running time that exploits multiprocessor architectures and minimizes rework between runs, the ability to trade running time for more verification power, feedback from the toolset when verification is unsuccessful (counterexamples in particular).\n\nAuto-active verification in the above toolsets has been used to fully verify algorithms, libraries and even full applications: examples include a container library in Eiffel [19], distributed systems in Dafny [10], secure execution of apps in Dafny [11], binary heaps in Why3 [21], allocators in SPARK [5].\n\n### 2.3 Red-Black Trees\n\nRed-black trees are a kind of self-balancing binary search trees. Nodes in the tree are colored red or black, and balance is maintained by ensuring that two properties are preserved: (1) a red node can only have black children, and (2) every path from the root to a leaf has the same number of black nodes. The consequence of these two properties is that the path from the root to a leaf can be at most twice as long as the path from the root to another leaf.\n\nImplementations of red-black trees are used in the Linux kernel (in C) and standard container libraries for various languages (C++ STL, Java.util, Ada). The insertion and deletion algorithms work by inserting or deleting the node as in a binary search tree, which may violate properties (1) and (2) above, and then restoring the balance by working their way up on the path from the root to the point of insertion or deletion. At every node on this path, the algorithms may rotate the subtree, which consists in a local rearrangement of nodes to restore properties (1) and (2). These algorithms are sufficiently complex that no implementation of imperative red-black trees has been formally verified in Dafny, Eiffel or Why3. See Sect. 5 for a list of the closest works, including some using auto-active verification. We are following the algorithm from Cormen et al. [4] for insertion in a red-black tree. We did not implement the deletion algorithm, which would be very similar to insertion. In the same way, we did not verify that every branch in a red-black tree contains the same number of black nodes.\n\n## 3 Red-Black Trees in SPARK\n\n### 3.1 Invariants and Models\n\nImplementing red-black trees correctly from the pseudo-code algorithm in a textbook is straightforward, but understanding why the algorithm is correct is tricky, and thus the implementation is hard to verify formally. The main point of complexity is that it forces one to reason about different levels of properties all at once. Instead, we have divided the implementation into three distinct parts, each one concerned with one property level: binary trees, search trees and red-black trees. Binary trees maintain a tree structure on the underlying memory. Search trees build on binary trees by associating values to tree nodes and maintain the order of values in the tree. Red-black trees build on search trees and enforce balancing using the classical red-black tree coloring mechanism.\n\nThe property enforced at each level is expressed in a type invariant. In SPARK, the invariant may be temporarily violated inside the implementation of the functions that operate on the type, but are guaranteed to hold for external users of objects of that type. More precisely, functions that operate on a type can assume the invariant on entry and must restore it on exit (which leads to verification conditions in SPARK).\n\nBinary Trees: As explained in Sect. 3.2, binary trees are implemented as arrays, using the representation described in Fig. 1. Each node contains a reference to its left and right children, if any, as well as a reference to its parent and a position, which may be Top for the root, Right or Left otherwise depending on the node position with respect to its parent. The invariant of binary trees states that values of these fields are consistent across the tree. For example, the left child of a node has position Left and the node as parent.\n\nTo reason about the tree structure at a higher level, we provide a model (an abstract representation) of binary trees which makes explicit the access paths from the root to every node in the tree. It associates a sequence of directions, namely Right or Left, with each node in the binary tree, corresponding to the path from the root to the node. As the underlying array also contains unused cells that do not correspond to tree nodes, an additional boolean encodes whether the node belongs to the tree. Figure 2 gives the model of the binary tree presented in Fig. 1. In this example, all the nodes belong to the tree except the last one. The access paths written below each node can be used to reconstruct easily the high level view of the tree.\n\nFig. 1.\n\n(from left to right) Representation of nodes in binary trees. Example of a binary tree, for readability, parents and positions are not represented. A higher level view of the same binary tree.\n\nFig. 2.\n\nExample of model of a binary tree.\n\nFig. 3.\n\nType invariant of search trees. For a search tree T, Model (T) returns the model of the underlying binary tree of T. For each index I in the underlying array, if Model (T) (I).Reachable is true then I is reachable in T and Model (T) (I).Path is the sequence of directions corresponding to the path from the root of T to I. < stands for prefix order on paths.\n\nSearch Trees: The invariant of search trees states that the value stored in each node of the tree is larger than all the values stored in the subtree rooted at its left child and smaller than all the values stored in the subtree rooted at its right child. It is given in Fig. 3, together with an example of values that would fit the tree from Fig. 1. To express this invariant, we use the model of the underlying binary tree. The value stored at node J belonging to the subtree rooted at node I (where path inclusion from the root is used to determine that J belongs to the subtree rooted at node I) is smaller (resp. greater) than the value stored at node I if J belongs to the subtree rooted at the left (resp. right) child of I.\n\nRed-Black Trees: The invariant of red-black trees states that a red node can only have black children. It is given in Fig. 4. An example of colors that would fit the tree from Fig. 3 is also given in Fig. 4. This corresponds to property (1) of red-black trees as presented in Sect. 2.3. Verifying property (2) would require implementing a new inductive model function over binary trees, like the one we defined for reachability. As it would be very similar to the work presented here, and would essentially double the effort, we did not attempt it.\n\nFig. 4.\n\nType invariant of red-black trees. (Color figure online)\n\n### 3.2 Implementation\n\nOur implementation of red-black trees differs on two accounts from the straighforward implementation of the algorithm. First, as stated above, we used an array as the underlying memory for trees, instead of dynamically allocating nodes. This is to comply with a restriction of SPARK which does not allow pointers, but only references and addresses. The rationale for this restriction is that pointers make automatic proof very difficult due to possible aliasing. Hence trees are bounded by the size of the underlying array. As the algorithm for balancing red-black trees requires splitting and merging trees, we had the choice of either copying arrays for generating new trees, or sharing the same array between disjoint trees (coming from the splitting of a unique tree). For obvious efficiency reasons, we chose the latter. Hence we are defining a type Forest for possibly representing disjoint binary trees sharing the same underlying array.\n\nThe other distinguishing feature of our implementation is the layered design. Each module defining a type with an invariant also needs to provide functions for manipulating objects of the type while preserving their invariant. As an example, binary trees are not updated by direct assignments in the implementation of search trees, but using two new functions, Extract and Plug, which split and merge disjoint trees while preserving the forest invariant.\n\nAt the next layer, search trees are defined as records with two components: a binary tree along with an additional array of values. For search trees, we only need to consider forests that hold one tree identified through its root. Only intermediate values will hold true forests with multiple roots, while the tree is being rotated. The module defining search trees provides basic set functions, namely inserting a value into the tree and testing a value for membership in the tree. It also provides balancing functions for the upper layer of red-black trees. They allow rotating nodes of a search tree to the left or to the right while preserving the order between values. An example of such a rotation is given in Fig. 5. Defining these balancing functions inside the implementation of search trees rather than inside the implementation of red-black trees allows keeping all order-related concerns in the search tree layer. Indeed, balancing functions do not preserve balance, as they are to be called on unbalanced trees, but they do preserve order. Note that implementing the balancing functions at this level avoids the need for lifting low-level tree handling functions such as Plug and Extract at the next layer. All the functions defined on search trees are implemented using functions over binary trees.\n\nFig. 5.\n\nExample of application of Right_Rotate.\n\nRed-black trees are implemented in the same way as search trees by adding an array of colors to a search tree and using balancing functions to rebalance the tree after an insertion.\n\n### 3.3 Specification\n\nFunctional specifications of the insertion and membership functions that operate on red-black trees consist in simple contracts (preconditions and postconditions) presented in Fig. 6. These contracts use a model function Values that returns the set of values in the tree. Mem returns true if and only if the element is in the tree and Insert adds a new element in the tree.\n\nFig. 6.\n\nSpecification of red-black trees.\n\nThe most complex specifications have to do with the four properties to maintain over red-black trees:\n\n  1. 1.\n\nA red-black tree is always a valid binary tree (we can navigate it from the root in the expected way).\n\n  2. 2.\n\nThere is no memory leak (if we have inserted fewer than Max elements, there is still room enough in the data structure to insert a new element).\n\n  3. 3.\n\nThe values stored in the tree are ordered (it is a valid search tree).\n\n  4. 4.\n\nThe tree stays balanced (we only verify this property partially, that is, that red nodes can only have black children).\n\nAs already discussed, each property is specified at the most appropriate layer. The first property is enforced at the level of binary trees. The invariant on binary trees (see Sect. 3.1) ensures that the fields of a node (Parent, Position, Left, and Right) are consistent. This is not enough to ensure that all the allocated nodes in the forest belong to well-formed binary trees though, as it does not rule out degenerate, root-less, cyclic structures that would arise from linking the root of a binary tree as the child of one of its leafs. Still, this is enough to ensure that red-black trees are always well formed, as red-black trees always have a root. Note that the fact that every node in the forest is part of a well formed binary tree is ensured at the level of binary trees by enforcing that such degenerate structures can never be created in the contracts of functions operating on binary trees.\n\nThe second property is enforced at the level of search trees. It is specified as a postcondition of every function operating on search trees. Figure 7 shows the part of the postcondition of Right_Rotate ensuring that it has not introduced any dangling node. It uses the function Model described in Sect. 3.1 to reason about node reachability.\n\nFig. 7.\n\nPostcondition of Right_Rotate dealing with absence of memory leaks.\n\nThe third and fourth properties are expressed in the type invariant of respectively search trees and red-black trees as explained in Sect. 3.1.\n\nApart from these top-level specifications, many more specifications are needed on subprograms at lower layers (binary trees and search trees) in order to be able to prove the properties at higher layers (respectively search trees and red-black trees). This is inherent to the modular style of verification supported by GNATprove. For example, as Right_Rotate on search trees calls Plug and Extract on binary trees, the contracts for these functions need to provide enough information to verify both the absence of memory leaks as stated in the postcondition of Right_Rotate and the preservation of the order of values as stated in the invariant of search trees.\n\n### 3.4 Proof Principles\n\nVerifying our implementation of red-black trees has proved to be challenging, and above the purely automatic proving capabilities of GNATprove. There are several reasons for this:\n\n  * The imperative, pointer-based implementation of red-black trees makes it difficult to reason about disjointness of different trees\/subtrees in the forest.\n\n  * Reasoning about reachability in the tree structure involves inductive proofs, which automatic provers are notoriously bad at.\n\n  * Reasoning about value ordering involves using transitivity relations, to deduce that ordering for two pairs of values (X, Y) and (Y, Z) can be extended to the pair (X, Z). This requires in general to find a suitable intermediate value Y, which usually eludes automatic provers.\n\n  * The size of the formulas to verify, number of verification conditions, and number of paths in the program are large enough to defy provers scalability.\n\nTo work around these limitations, we used auto-active verification techniques, which, as described in Sect. 2.2, can guide automatic provers without requiring a proof assistant. We explain some of these techniques in this section.\n\nFig. 8.\n\nIntermediate lemma stating disjointness of trees in a forest.\n\nIntermediate Lemmas: One of the classical techniques in manual proof consists in factoring some useful part of a proof in an intermediate lemma so that it can be verified independently and used as many times as necessary. In auto-active verification, this can be done by introducing a procedure with no output, which, when called, will cause the deductive engine to verify its precondition and assume its postcondition. In Fig. 8, we show an intermediate lemma which can be used to verify that two trees of a single forest with different roots are disjoint. A caller of this function will have to verify that T1 and T2 are different valid roots in F and as a consequence we know that there can be no node reachable from both roots in F. Naturally, the lemma is not assumed, its actual proof is performed when verifying the procedure Prove_Model_Distinct.\n\nReasoning by Induction: Though some automatic provers are able to discharge simple inductive proofs, inductive reasoning still requires manual interaction in most cases. In auto-active style, an inductive proof can be done using loop invariants. GNATprove splits the verification of a loop invariant in two parts. First, it verifies that the invariant holds in the first iteration of the loop and then that it holds in any following iteration knowing that it held in the previous one. This behavior is exactly what we want for a proof by induction. For example, Fig. 9 demonstrates how the intermediate lemma presented in Fig. 8 can be verified using a loop to perform an induction over the size of the path from the root T1 to any node reachable from T1 in F. The loop goes from 1 to the maximum size of any branch in the forest F. We have written the property we wanted to prove as a loop invariant. To verify this procedure, GNATprove will first check that the invariant holds in the first iteration of the loop, that is, that T1 itself cannot be reached from T2. Then, it will proceed by induction to show that this holds for any node reachable from T1 in F.\n\nFig. 9.\n\nProof by induction over the path length from the root to a node in the tree.\n\nProviding Witnesses: When reasoning about value ordering, it is common to use transitivity. For example, when searching for a value in a search tree, we only compare the requested value with values stored along a single path in the tree, that is, the path where it was expected to be stored. All other values are ruled out by transitivity of the order relation: if value X is not found on this path, it cannot be equal to another value Z in the tree, as X and Z are on two opposite sides of the value Y at the root of the subtree containing both X and Z. Unfortunately, due to how they handle universal quantification, automatic provers used in GNATprove are usually unable to come up with the appropriate intermediate value to use in the transitivity relation. To achieve the proofs, we provided provers with the appropriate term whenever necessary. For example, function Find_Root in Fig. 10 computes the first common ancestor of two nodes in a search tree.\n\nFig. 10.\n\nFunction that computes a witness for transitivity applications.\n\n### 3.5 Ghost Code\n\nIn this experiment, we made an extensive use of ghost code, that is, code meant only for verification, that has no effect on the program behavior. We used it for two different purposes. The first use of ghost code is for specifying complex properties about our algorithms, in particular through model functions. As ghost code can be executed in SPARK, these ghost model functions can be used to produce complex test oracles that can be exercised in the test campaign.\n\nThe second use of ghost code in our experiment is for auto-active verification. In particular, the procedures used to encode intermediate lemmas are ghost, as they have no effect. What is more, we strived to keep all verification-only code inside ghost procedures so that it can be removed by the compiler and will not slow down the execution of the program. It is all the more important since the code is very inefficient, involving multiple loops and model constructions. As functional behaviors are complex, coming up with contracts for these ghost procedures can be painful, and produce huge, hard to read specifications. To alleviate this problem, we can benefit from a feature of GNATprove which inlines local subprograms with no contracts, allowing the proof to go through with less annotation burden. In this way, we can choose, on a case-by-case basis, if it is worthwhile to turn a chunk of auto-active proof into an intermediate lemma with its own contract, allowing for a modular verification, or if we prefer to have the tool automatically inline the proof wherever we call the ghost procedure.\n\n## 4 Development and Verification Data\n\nAll the execution times and verification times reported in this section were obtained on a Core i7 processor with 2,8 GHz and 16 GB RAM.\n\nThe code implementing the core algorithm for red-black trees, even when split in three modules for binary trees, search trees and red-black trees, is quite small, only 286 lines overall. But this code only accounts for 14% of the total lines of code, when taking into account contracts (22%) and more importantly ghost code (64%). Table 1 summarizes the logical lines of code as counted by the tool GNATmetric. It took roughly two weeks to develop all the code, contracts and ghost code to reach 100% automatic proof.\n\nTable 1.\n\nNumber of lines of code for operational code, contracts and ghost code. | Code | Contracts | Ghost | Total\n\n---|---|---|---|---\n\nBinary trees | 92 (10%) | 250 (28%) | 548 (62%) | 890\n\nSearch trees | 127 (12%) | 188 (17%) | 780 (71%) | 1095\n\nRed-black trees | 67 (52%) | 18 (14%) | 45 (35%) | 130\n\nTotal | 286 (14%) | 456 (22%) | 1373 (64%) | 2115\n\nThere are few simple top-level contracts for red-black trees (see Table 2). Many more contracts and assertions are needed for auto-active verification, in the form of subprogram contracts, type invariants, type default initial conditions, loop invariants and intermediate assertions which split the work between automatic provers and facilitate work of individual provers.\n\nTable 2.\n\nNumber of conjuncts (and-ed subexpressions) in contracts on types, on subprograms, in loop invariants and in assertions. Numbers in parentheses correspond to conjuncts for contracts on externally visible subprograms. | On types | On subprograms | On loops | Assertions | Total\n\n---|---|---|---|---|---\n\nBinary trees | 10 | 155 (73) | 42 | 12 | 219\n\nSearch trees | 2 | 138 (60) | 20 | 68 | 228\n\nRed-black trees | 2 | 4 (4) | 8 | 10 | 24\n\nTotal | 14 | 297 (177) | 70 | 90 | 471\n\nTaking both tables into account, it is clear that verification of search trees was the most costly in terms of overall efforts, with a large part of ghost code (71%) and many intermediate assertions needed (68 conjuncts). Verification of red-black trees on the contrary was relatively straighforward, with less ghost code than operational code (35% compared to 52%) and few intermediate assertions needed (10 conjuncts). This matches well the cognitive effort required to understand the correction of search trees compared to red-black trees. Note that the verification of red-black trees would probably have needed roughtly the same effort as binary trees if the second propery of red-black trees had been considered. Overall, ghost code accounts for a majority (64%) of the code, which can be explained by the various uses of ghost code to support automatic proof as described in Sect. 3.4.\n\nThe automatic verification that the code (including ghost code) is free of run-time errors and that it respects its contracts takes less than 30 min, using 4 cores and two successive runs of GNATprove at proof levels 2 and 3. As automatic provers CVC4, Z3 and Alt-Ergo are called in sequence on unproved Verification Conditions (VCs), it is not surprising that CVC4 proves a majority of VCs (3763), while Z3 proves 103 VCs left unproved by CVC4 and Alt-Ergo proves the last 3 remaining VCs, for a total of 3869 VCs issued from 2414 source code checks (1185 run-time checks, 231 assertions and 998 functional contracts).\n\nAs the code has been fully proved to be free of run-time errors and that all contracts have been proved, it is safe to compile it with no run-time checks, and only the precondition on insertion in red-black trees activated (since this might be violated by an external call). Disabling run-time checks is done through a compiler switch (-gnatp) and only enabling preconditions in red-black trees is done through a configuration pragma in the unit. Inserting one million integers in a red-black tree from 1 to 1 million leads to a violation of the balancing in 999,998 cases, which requires 999,963 left rotations and no right rotations. The running time for performing these 1 million insertions is 0.65 s without run-time checks, and 0.70 s with run-time checks (which are few due to the use of Ada range types for array indexes), or 0.65  s (respectively 0.70  s) per insertion.\n\nEnabling all contracts and assertions at run-time is also possible during tests. Here, ghost code is particularly expensive to run, as constructing the model for a binary tree is at worst quadratic in the size of the tree, and contracts contain quantifications on the maximal size of the tree that call functions which themselves quantify over the same size in their own contracts or code. In addition, the expensive operation of constructing the model is performed repeatedly in contracts, as SPARK does not yet provide a let-expression form. As a result, inserting one element in a tree of size one takes 2 min.\n\n## 5 Related Work\n\nThere have been several previous attempts at verifying red-black trees implementations. In particular, red-black trees are used in the implementation of ordered sets and maps in the standard library of the Coq proof assistant [1, 7]. As part of these libraries, the implementations have been proven correct using interactive proofs in Coq. These implementations notably differ from our work because they are written in a functional style, using recursive data types instead of pointers and recursive functions instead of loops. Similar libraries are provided for the Isabelle proof assistant [13]. Functional implementations of red-black trees have also been verified outside of proof assistants, using characteristic formulas [3], or in the Why3 programming language as part of VACID-0 competition [16]. This last implementation differs from the previous ones in that it is mostly auto-active, even if it uses Coq for a few verification conditions.\n\nVerifying imperative implementations of red-black trees is more challenging as it involves reasoning about the well-formedness of the tree structure, which comes for free in the functional implementations. As part of VACID-0, attempts have been made at verifying red-black trees in C using VCC and in Java using KeY [2]. Both attempts seem to have been left in preliminary stages though.\n\nMore recently, imperative implementations of red-black trees in C and Java have been verified using more specialized logics. Enea et al. obtained an automatic verification of a C implementation of red-black trees using separation logic, a logic specialized for the verification of heap manipulating programs [6]. In the same way, Stef\u0103nescu et al. were able to verify several implementations of red-black trees in particular in Java and C using matching logic [20]. As used in this work, matching logic provides a very precise, low-level view of the heap structure, allowing for powerful proofs on this kind of programs. Both works use specialized tools, which are specifically designed for verifying low-level, heap manipulating programs but which have never been used, to the best of our knowledge, to verify higher-level software.\n\n## 6 Conclusion\n\nIn this article, we have explained how, using auto-active techniques, we could achieve formal verification of key functional properties of an imperative implementation of red-black trees in SPARK. This is not an example of what should be a regular use of the SPARK toolset but rather a successful demonstration of how far we can go using such technology.\n\nHowever, the techniques presented on this example can be reused with significant benefits on a much smaller scale. In particular, we have shown that inductive proofs can be achieved rather straightforwardly using auto-active reasoning. The multi-layered approach, using type invariants and model functions to separate concerns, can also be reused to reason about complex data structures.\n\nTo popularize the use of auto-active techniques, we are also working on integrating simple interactive proof capabilities in GNATprove. This would allow applying the same techniques in a simpler, more straightforward way, and also to avoid polluting the program space with ghost code which is never meant to be executed.\n\nAcknowledgements\n\nWe would like to thank our colleague Ben Brosgol and the anonymous reviewers for their useful comments.\n\nReferences\n\n1.\n\nAppel, A.W.: Efficient verified red-black trees (2011). https:\/\/\u200bwww.\u200bcs.\u200bprinceton.\u200bedu\/\u200b~appel\/\u200bpapers\/\u200bredblack.\u200bpdf\n\n2.\n\nBruns, D.: Specification of red-black trees: showcasing dynamic frames, model fields and sequences. In: Wolfgang, A., Richard, B. (eds.) 10th KeY Symposium (2011)\n\n3.\n\nChargu\u00e9raud, A.: Program verification through characteristic formulae. ACM Sigplan Not. 45(9), 321\u2013332 (2010)CrossRefMATH\n\n4.\n\nCormen, T.H., Leiserson, C.E., Rivest, R.L., Stein, C.: Introduction to Algorithms, 3rd edn. The MIT Press, Cambridege (2009)MATH\n\n5.\n\nDross, C., Moy, Y.: Abstract software specifications and automatic proof of refinement. In: Lecomte, T., Pinger, R., Romanovsky, A. (eds.) RSSRail 2016. LNCS, vol. 9707, pp. 215\u2013230. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-33951-1_\u200b16\n\n6.\n\nEnea, C., Sighireanu, M., Wu, Z.: On automated lemma generation for separation logic with inductive definitions. In: Finkbeiner, B., Pu, G., Zhang, L. (eds.) ATVA 2015. LNCS, vol. 9364, pp. 80\u201396. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-24953-7_\u200b7 CrossRef\n\n7.\n\nFilli\u00e2tre, J.-C., Letouzey, P.: Functors for proofs and programs. In: Schmidt, D. (ed.) ESOP 2004. LNCS, vol. 2986, pp. 370\u2013384. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-24725-8_\u200b26 CrossRef\n\n8.\n\nFilli\u00e2tre, J.-C., Paskevich, A.: Why3 \u2014 where programs meet provers. In: Felleisen, M., Gardner, P. (eds.) ESOP 2013. LNCS, vol. 7792, pp. 125\u2013128. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-37036-6_\u200b8. https:\/\/\u200bhal.\u200binria.\u200bfr\/\u200bhal-00789533 CrossRef\n\n9.\n\nFuria, C.A., Nordio, M., Polikarpova, N., Tschannen, J.: AutoProof: auto-active functional verification of object-oriented programs. Int. J. Softw. Tools Technol. Transfer 1\u201320 (2016). http:\/\/\u200bdx.\u200bdoi.\u200borg\/\u200b10.\u200b1007\/\u200bs10009-016-0419-0\n\n10.\n\nHawblitzel, C., Howell, J., Kapritsos, M., Lorch, J.R., Parno, B., Roberts, M.L., Setty, S., Zill, B.: IronFleet: proving practical distributed systems correct. In: Proceedings of the 25th Symposium on Operating Systems Principles, SOSP 2015, pp. 1\u201317. ACM, New York (2015). http:\/\/\u200bdoi.\u200bacm.\u200borg\/\u200b10.\u200b1145\/\u200b2815400.\u200b2815428\n\n11.\n\nHawblitzel, C., Howell, J., Lorch, J.R., Narayan, A., Parno, B., Zhang, D., Zill, B.: Ironclad apps: end-to-end security via automated full-system verification. In: Proceedings of the 11th USENIX Conference on Operating Systems Design and Implementation, OSDI 2014, pp. 165\u2013181. USENIX Association, Berkeley (2014). http:\/\/\u200bdl.\u200bacm.\u200borg\/\u200bcitation.\u200bcfm?\u200bid=\u200b2685048.\u200b2685062\n\n12.\n\nKosmatov, N., March\u00e9, C., Moy, Y., Signoles, J.: Static versus dynamic verification in Why3, Frama-C and SPARK 2014. In: Margaria, T., Steffen, B. (eds.) ISoLA 2016. LNCS, vol. 9952, pp. 461\u2013478. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-47166-2_\u200b32. https:\/\/\u200bhal.\u200binria.\u200bfr\/\u200bhal-01344110 CrossRef\n\n13.\n\nLammich, P., Lochbihler, A.: The isabelle collections framework. In: Kaufmann, M., Paulson, L.C. (eds.) ITP 2010. LNCS, vol. 6172, pp. 339\u2013354. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-14052-5_\u200b24 CrossRef\n\n14.\n\nLeino, K.R.M.: Dafny: an automatic program verifier for functional correctness. In: Clarke, E.M., Voronkov, A. (eds.) LPAR 2010. LNCS (LNAI), vol. 6355, pp. 348\u2013370. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-17511-4_\u200b20. http:\/\/\u200bdl.\u200bacm.\u200borg\/\u200bcitation.\u200bcfm?\u200bid=\u200b1939141.\u200b1939161 CrossRef\n\n15.\n\nLeino, K.R.M., Moskal, M.: Usable auto-active verification. In: Usable Verification Workshop (2010). http:\/\/\u200bfm.\u200bcsl.\u200bsri.\u200bcom\/\u200bUV10\/\u200b\n\n16.\n\nLeino, K.R.M., Moskal, M.: VACID-0: verification of ample correctness of invariants of data-structures, edition 0 (2010)\n\n17.\n\nMcCormick, J.W., Chapin, P.C.: Building High Integrity Applications with SPARK. Cambridge University Press, Cambridge (2015)CrossRefMATH\n\n18.\n\nO'Neill, I.: SPARK - a language and tool-set for high-integrity software development. In: Boulanger, J.L. (ed.) Industrial Use of Formal Methods: Formal Verification. Wiley, Hoboken (2012)\n\n19.\n\nPolikarpova, N., Tschannen, J., Furia, C.A.: A fully verified container library. In: Bj\u00f8rner, N., de Boer, F. (eds.) FM 2015. LNCS, vol. 9109, pp. 414\u2013434. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-19249-9_\u200b26 CrossRef\n\n20.\n\nStef\u0103nescu, A., Park, D., Yuwen, S., Li, Y., Ro\u015fu, G.: Semantics-based program verifiers for all languages. In: Proceedings of the 2016 ACM SIGPLAN International Conference on Object-Oriented Programming, Systems, Languages, and Applications, pp. 74\u201391. ACM (2016)\n\n21.\n\nTafat, A., March\u00e9, C.: Binary heaps formally verified in Why3. Research report 7780, INRIA, October 2011. http:\/\/\u200bhal.\u200binria.\u200bfr\/\u200binria-00636083\/\u200ben\/\u200b\n\nFootnotes\n\n1\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bAdaCore\/\u200bspark2014\/\u200btree\/\u200bmaster\/\u200btestsuite\/\u200bgnatprove\/\u200btests\/\u200bred_\u200bblack_\u200btrees.\n\n2\n\nhttp:\/\/\u200bframa-c.\u200bcom\/\u200b.\n\n3\n\nhttp:\/\/\u200bwww.\u200badacore.\u200bcom\/\u200bsparkpro\/\u200b.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_6\n\n# Analysing Security Protocols Using Refinement in iUML-B\n\nColin Snook1  , Thai Son Hoang1  and Michael Butler1\n\n(1)\n\nECS, University of Southampton, Southampton, U.K.\n\nColin Snook (Corresponding author)\n\nEmail: cfs@ecs.soton.ac.uk\n\nThai Son Hoang\n\nEmail: t.s.hoang@ecs.soton.ac.uk\n\nMichael Butler\n\nEmail: mjb@ecs.soton.ac.uk\n\nAbstract\n\nWe propose a general approach based on abstraction and refinement for constructing and analysing security protocols using formal specification and verification. We use class diagrams to specify conceptual system entities and their relationships. We use state-machines to model the protocol execution involving the entities' interactions. Features of our approach include specifying security principles as invariants of some abstract model of the overall system. The specification is then refined to introduce implementable mechanisms for the protocol. A gluing invariant specifies why the protocol achieves the security principle. Security breaches arise as violations of the gluing invariant. We make use of both theorem proving and model checking techniques to analyse our formal model, in particular, to explore the source and consequence of the security attack. To demonstrate the use of our approach we explore the mechanism of a security attack in a network protocol.\n\nKeywords\n\nVirtual LANSecurityEvent-BiUML-B\n\n## 1 Introduction\n\nEnsuring security of protocols is a significant and challenging task in the context of autonomous cyber-physical systems. In this paper, we investigate the use of formal models of protocols in order to discover and analyse possible security threats. In particular, we are interested in the role of formal models in identifying security flaws, exploring the nature of attacks that exploit these flaws and proposing measures to counter flaws in systems that are already deployed.\n\nOur contribution is a general approach based on abstraction and refinement for constructing and analysing security protocols. The approach is suitable for systems containing multiple conceptual entities (for example, data packets, devices, information tags, etc.). We use class diagrams to specify the relationships between entities and state-machines to specify protocols involved in their interactions. Security principles are defined as constraints on the system entities and their relationships. We use refinements of these models, to gradually introduce implementation details of the protocols that are supposed to achieve these security properties. The use of abstract specification and refinement allows us to separate the security properties from the protocol implementation. In particular, possible security flaws are detected as violations of the gluing invariants that link the abstract and concrete models. Further analysis helps to pinpoint the origin and nature of attacks that could exploit these flaws. The approach has been developed within the Enable-S3 project [4] which aims to provide cost-efficient cross-domain verification and validation methods for autonomous cyber-physical systems. Within Enable-S3, we are applying the approach on case studies in the avionics and maritime domains. The case-studies involve secure authentication and communications protocols as part of larger autonomous systems.\n\nWe illustrate our approach with an analysis of Virtual Local Area Network (VLAN) operation including the principle of tagging packets. We explore a known security flaw of these systems, namely double tagging. We use the Event-B method and iUML-B class diagrams and state-machines as the modelling tool.\n\nThe rest of the paper is structured as follows. Section 2 gives some background on the case study, the methods and tools that we use. The main content of the paper is in Sect. 3 describing the development using iUML-B and analysis of the VLAN model. Finally, we summarise our approach in Sect. 4 and conclude in Sect. 5. For more information and resources, we refer the reader to our website: http:\/\/\u200beprints.\u200bsoton.\u200bac.\u200buk\/\u200bid\/\u200beprint\/\u200b403533. The website contains the Event-B model of the VLAN.\n\n## 2 Background\n\n### 2.1 VLAN Tagging\n\nA Local Area Network (LAN) consists of devices that communicate over physical data connections that consist of multiple steps forming routes via intermediate network routing devices called switches. The 'trunk' connections between switches are used by multiple routes. A VLAN restricts communication so that only devices that share the same VLAN as the sender, can receive the communication thus providing a way to group devices irrespective of physical topology. In order to achieve this, switches attach a tag to message packets in order to identify the sender's VLAN. The tag is removed before being sent to the receiving device. Typically, a system uses one VLAN identity to represent a default VLAN. This is known as the native VLAN. A packet intended for the native VLAN does not require tagging. The IEEE 802.1Q standard [6] is the most common protocol for ethernet-based LANs and includes a system for VLAN tagging and associated handling procedures. The standard permits multiple VLAN tags to be inserted so that the network infrastructure can use VLANs internally as well as supporting client VLAN tagging. A well-known security attack exploits double tagging by hiding a tag for a supposedly inaccessible VLAN behind a tag for the native VLAN. The receiving switch sees the unnecessary native VLAN tag and removes it before sending the packet on to the next switch. This switch then sees the tag for the inaccessible VLAN and routes the packet accordingly so that the packet infiltrates the targeted VLAN. Double tagging attacks can be avoided by not using (i.e. de-configuring) the native VLAN.\n\n### 2.2 Event-B\n\nEvent-B [1] is a formal method for system development. Main features of Event-B include the use of refinement to introduce system details gradually into the formal model. An Event-B model contains two parts: contexts and machines. Contexts contain carrier sets, constants, and axioms constraining the carrier sets and constants. Machines contain variables  , invariants   constraining the variables, and events. An event comprises a guard denoting its enabled-condition and an action describing how the variables are modified when the event is executed. In general, an event   has the following form, where   are the event parameters,   is the guard of the event, and   is the action of the event1.\n\n(1)\n\nA machine in Event-B corresponds to a transition system where variables represent the states and events specify the transitions. Contexts can be extended by adding new carrier sets, constants, axioms, and theorems. Machine M can be refined by machine N (we call M the abstract machine and N the concrete machine). The state of M and N are related by a gluing invariant   where   are variables of M and N, respectively. Intuitively, any \"behaviour\" exhibited by N can be simulated by M, with respect to the gluing invariant J. Refinement in Event-B is reasoned event-wise. Consider an abstract event   and the corresponding concrete event  . Somewhat simplifying, we say that   is refined by   if   guard is stronger than that of   and   action can be simulated by   action, taking into account the gluing invariant J. More information about Event-B can be found in [5]. Event-B is supported by the Rodin platform (Rodin) [2], an extensible toolkit which includes facilities for modelling, verifying the consistency of models using theorem proving and model checking techniques, and validating models with simulation-based approaches.\n\n### 2.3 iUML-B\n\niUML-B [8\u201310] provides a diagrammatic modelling notation for Event-B in the form of state-machines and class diagrams. The diagrammatic models are contained within an Event-B machine and generate or contribute to parts of it. For example a state-machine will automatically generate the Event-B data elements (sets, constants, axioms, variables, and invariants) to implement the states while Event-B events are expected to already exist to represent the transitions. Transitions contribute further guards and actions representing their state change, to the events that they elaborate. An existing Event-B set may be associated with the state-machine to define its instances. In this case the state-machine is 'lifted' so that it has a value for every instance of the associated set. State-machines are typically refined by adding nested state-machines to states.\n\nClass diagrams provide a way to visually model data relationships. Classes, attributes and associations are linked to Event-B data elements (carrier set, constant, or variable) and generate constraints on those elements. For the VLAN we use class diagrams extensively to model the sets of entities and their relationships and we use state-machines to constrain the sequences of events and to declare state dependant invariant properties.\n\nFig. 1.\n\nExample iUML-B diagrams\n\nFigure 1 shows an abstract example of an iUML-B model to illustrate the features we have used in the VLAN. We give the corresponding translation into Event-B in Fig. 2. In Fig. 1a, there are three classes;   which elaborate carrier sets, and  , which is a sub-class of   and elaborates a variable. An attribute or association of a class can have a combination of the following properties: surjective, injective, total, and functional. Attributes   of   and   of   are total and functional, while   of   is functional. An injective association   defined between   and   elaborates a constant. Figure 1b shows an example of a state-machine, which is lifted to the carrier set   for its instances. This is also the instances set for the class   and a state of the state-machine is named after its variable sub-class,  . Further sub-states   and   are modelled as variable subsets of  . The state of an instance is represented by its membership of these sets. The state-machine transitions are linked to the same events as the methods of  . Hence the state-machine constrains the invocation of class methods for a particular instance of the class. The contextual instance is modelled as a parameter   which can be used in additional guards and actions in both the class diagram and the state-machine.\n\nFig. 2.\n\nEvent-B translation of the iUML-B example\n\nThe transition  , from the initial state to   also enters parent state   and therefore represents a constructor for the class  . The class method   is also defined as a constructor and automatically generates an action to initialise the instance of   with its defined initial value. The same event   is also given as a method of class   in order to generate a contextual instance   which is used in an additional (manually entered) guard to define a value for the association   of the super-class. The transition and method   is a normal method of class  , which is available when the contextual instance exists in   and  , and changes state by moving the instance from   to  . The other guards and actions shown in this event concerning parameter   and attribute  , have been added as additional guards and actions of the transition or method. These are not shown in the diagram as they are entered using the diagram's properties view. The state invariant shown in state   applies to any instance while it is in that state. The Event-B version of the invariant is quantified over all instances and an antecedent added to represent the membership of  . In the rest of this paper we do not explain the translation to Event-B.\n\n### 2.4 Validation and Verification\n\nConsistency of Event-B models is provided via means of proof obligations, e.g., invariant preservation by all events. Proof obligations can be discharged automatically or manually using the theorem provers of Rodin. Another important tool for validation and verification of our model is ProB [7]. ProB provides model checking facility to complement the theorem proving technique for verifying Event-B models. Features of the ProB model checker include finding invariant violations and deadlock for multiple refinement levels simultaneously. Furthermore, ProB also offers an animator enabling users to validate the behaviour of the models by exploring execution traces. The traces can be constructed interactively by manual selection of events or automatically as counter-examples from the model checker. Here, an animation trace is a sequence of event execution with parameters' value. The animator shows the state of the model after each event execution in the trace.\n\n## 3 Development\n\nIn this section, we discuss the development of the model. The model consists of three refinement levels. The abstract level captures the essence of the security property which is proven for the abstract representation of events that make new packets and move them around the network. The first refinement introduces some further detail of the network system and is proven to be a valid refinement of the first model. That is, it maintains the security property. Both of these first levels are un-implementable because they refer directly to a conceptual property of a packet which is the VLAN that the packet was intended for. In reality it is not possible to tell from a raw packet, which VLAN it was originally created for. The second refinement introduces tagging as a means to implement a record of this conceptual property. The refinement models nested tagging and the behaviour of a typical switch which, apart from tagging packets depending on their source, also removes tags for the native LAN. The automatic provers are unable to prove that removing tags satisfies the gluing invariant. This is the well-known security vulnerability to double tagging attacks. Adding a constraint to, effectively, disallow the native LAN from being configured as a VLAN, allows the provers to discharge this proof obligation. This corresponds to the usual protective measure against double tagging attacks.\n\n### 3.1 M0: An Abstract Model of VLAN Security\n\nWe aim to make the first model minimally simple while describing the essential security property. We use a class diagram (Fig. 3) to introduce some 'given' sets for data packets (class  ) and VLANs (class  ). The constant association   describes the   that each packet is intended for. (Note that this is a conceptual relationship representing an intention and hence the implementation cannot access it). We abstract away from switches and devices and introduce a set of nodes, class  , to represent both. The communications topology is given by the constant association,  , which maps nodes to nodes in a many to many relationship.\n\nFig. 3.\n\nAbstract model of VLAN security requirement\n\nThe set of VLANs that a particular node is allowed to see, is given by the constant association  . For now this is a many to many relationship but in later refinements we will find that, while switches are allowed to see all VLANs, devices may only access the packets of one VLAN.\n\nThe class   represents the subset of packets that currently exist (whereas,   represented all possible packets that might exist currently or in the past or future). A packet that exists, always has exactly one owner node. The method   takes a non-existing packet from   and adds it to   and initialises the new packet's   to the contextual node instance. The method   changes the   of an existing packet to a new node that is non-deterministically selected from the nodes that the current owner node is directly linked to via  .\n\nThe class invariant,  , in class   describes the security property2:\n\n(2)\n\ni.e., the VLAN for which this packet is intended, belongs to the VLANs that its owner is allowed to see. For this invariant to hold we need to restrict the method   so that it only moves packets to a new owner that is allowed to see the VLAN of the packet. For now we do this with a guard,  , where   is the packet and   is the destination node. However, this guard must be replaced in later refinements because it refers directly to the conceptual property   and is therefore not implementable. We also ensure that   only creates packets with a   value that its maker node is allowed to see.\n\nWe use a state-machine (Fig. 3) to constrain the sequence of events that can be performed on a packet. The state-machine is lifted to the set   of all packets, At this stage we only require that   is the initial event that brings a packet into existence, and this can be followed by any number of   events.\n\nFig. 4.\n\nFirst refinement of VLAN introducing switches and devices\n\n### 3.2 M1: Introducing Switches and Devices\n\nIn M0, to keep things simple we did not distinguish between switches and devices. However, they have an important distinction since switches are allowed to see all VLAN packets. The design will utilise this distinction so we need to introduce it early on. In M1 (Fig. 4) we introduce two new classes,   and  , as subtypes of  .\n\nSince switches are implicitly associated with all VLANS (i.e. trusted), we do not need to model which VLANs they are allowed to access. Therefore, we replace   with a functional association   whose domain (source) is restricted to  . It is a total function, rather than a relation, because a device has access to exactly one VLAN and again we model this as a constant function since we do not require it to vary.\n\nSwitches are not allowed to create new packets so we move   to  . Since, when moving a packet, the destination kind affects the security checks, we split   into two alternatives:   which does not need any guard concerning   and   where we replace the guard,  , with   to reflect the data refinement. Note however, that the new guard still refers to  .\n\nThe refinement introduces the need for some further constraints on the sequence of events for a particular package. We introduce sub-states   and   (Fig. 4) to show that a packet can only be moved to a device from a switch. Note that these states could be derived from   (hence the invariants in states   and  ) however, the state diagram helps visualise the process relative to a packet which will become more significant in the next refinement level.\n\nFig. 5.\n\nSecond refinement of VLAN introducing tagging\n\n### 3.3 M2: Introducing Tagging\n\nWe can now introduce the tagging mechanism that allows switches to know which VLAN a packet is intended for. Our aim is that, in this refined model, switches should not use the   relationship other than for proving that the tag mechanism achieves an equivalent result. We introduce a new given set,   (Fig. 5) which has a total functional association   with  . This function represents the VLAN identifier within a tag, which is part of the implementation, i.e., guards that reference   are implementable. We add a variable partial function association,  , from   to  , which represents the tagging of a packet.\n\nIn typical LAN protocols, already tagged packets can be tagged again to allow switches to use VLANs for internal system purposes. Although, for simplification, we omit this internal tagging, we allow tags to be nested so that we can model a double tagging attack by a device. Therefore we model nested tags with a variable partial functional association,   from   to itself. When a packet arrives at a switch from a device, the switch can tell which VLAN it belongs to from the port that it arrived on. However, for simplicity, we avoid introducing ports in this refinement. Instead we model this information via a variable functional association   from   to  . Hence a switch can determine which VLAN a packet, p, is for via  . Port configuration could easily be introduced in a subsequent refinement without altering the main points of this article. A significant behaviour of switches that relates to security is how they deal with packets for the native VLAN. Therefore, in the Event-B context for M2, we introduce a specific instance of   called  .\n\nThe behaviour (Fig. 5) is refined to add procedures for handling tagged packets. State   is split into three sub-states,   for packets that have just been received from a device,   for packets from a device that have been successfully processed and   for packets that are found to be invalid. A device may now send an untagged packet to a switch (transition   and allow the switch to determine appropriate tagging, or it may tag the packet itself (transition   in which case the switch will check the tag. In the latter case the tag may be valid or invalid and may have nested tags.\n\nAfter receiving a packet,  , at the state  , the new owner switch processes it by taking one of the following transitions:\n\n  *   : if   is not already tagged, a tag, , such that  , is added and the packet is accepted by moving it to state  .\n\n  *   : if   is already tagged correctly (i.e.,  ) and not tagged as the native VLAN (i.e.  ) the packet is accepted as is.\n\n  *   : if   is correctly tagged for the native VLAN (i.e.,  ), the tag is removed and the packet is accepted. The tag is removed in such as way as to leave   tagged with a nested tag if any.\n\n  *   : if   is incorrectly tagged (i.e.,  ), it is rejected by moving it to state   which has no outgoing transitions.\n\nAfter processing packet,  , the switch can either pass it on to another switch or, if available, pass it to a device via one of the following transitions:\n\n  *   : if   is not tagged, and the switch is connected to a device,  , on the native VLAN (i.e.  ),\n\n  *   : if   is tagged and the switch is connected to a device,  , which is on the VLAN indicated by the tag (i.e.  ).\n\nIt is these two transitions that refine  , which need to establish the security invariant using tags rather than the unimplementable guard concerning  . This has been done as indicated above by the conditions on  . It can been seen by simple substitution, that the state invariants of   enable the prover to establish that the new guards are at least as strong as the abstract one ( ). We also need to prove that these state invariants are satisfied by the incoming transitions of state  . A state invariant   is added to   in order to allow the prover to establish this. Again, this can be checked using simple substitutions of the guards of  ,   and   using this state invariant. The other two state invariants for   are merely to establish well-definedness of the function applications. The state invariants of state   are clearly established by the actions of incoming transitions   and  .\n\n### 3.4 Analysis\n\nWe analyse the protocol using both theorem proving and model checking techniques. Given the model in Sect. 3.3, the automatic provers discharge all proof obligations except for one. The prover cannot establish that the transition   establishes the state-invariant\n\n(3)\n\nof state  . In general, a failed invariant preservation proof identifies the property (the invariant) that may be at risk and the transition (event) that may violate it. We say 'may' because lack of proof does not necessarily indicate a problem. It can be a result of insufficient prover power. We therefore use the ProB model checker to confirm the problem.\n\nFig. 6.\n\nNetwork topology for analysis\n\nAs with any model checker, we instantiate the context of the system, in this case, the network topology. The network topology under consideration can be seen in Fig. 6. The switches, i.e.,   and   have access to all VLANs, namely,  , and  . The native VLAN   is defined to be  . Devices   belong to   and devices   and   both belong to   We define two packets   and   where   is intended for   and   is for  , i.e.,\n\nFinally, we define two tags   and   corresponding to   and  , respectively. A tag with nested tag is numbered accordingly, for example,   is for   and has an inner tag for  . Our subsequent analysis is based on this particular setting.\n\nFirstly, we want to identify whether the state-invariant (3) can indeed be violated. We model check the whole refinement-chain from M0 to M2. ProB indeed identifies a counter-example trace which leads to the violation of the invariant as follow.\n\n(4)\n\n(5)\n\n(6)\n\nIn the trace,   creates   (4) before moving it to   with tag   (5). When   removes the native tag   from   (6), resulting in   the state-invariant (3) becomes invalid since   is intended for  , but it is now tagged with  , which is identified for\n\nHowever, the violation could be caused by an unnecessarily strong gluing invariant. To verify whether the security invariant (2) is indeed violated in M2, we model check M2 without M0 and M1 but with the security invariant copied from M0 to M2 in place of the gluing invariant. Once again, ProB returns a counter-example trace which is an extension of the previous trace, i.e.,\n\n(7)\n\n(8)\n\n(9)\n\n(10)\n\nAfter removing the native tag of   (9), the packet is moved from   to   (10). At this time,   has arrived to a device   which does not have permission to receive any packet for  .\n\nNote that there are three different points in the process leading to the security breach:\n\n  * the point where the security attack is initiated (8),\n\n  * the point where the design assumptions are violated and (9),\n\n  * the point where the security is breached (10).\n\nComing back to the original failed invariant preservation proof obligation, we can now confirm that it is indeed possible for the invariant to be violated3. Examination of the pending goal that the prover is attempting to prove reveals more detail about the problem.\n\nIt shows that the prover has replaced the packet's tag with its nested tag in the design property, and is attempting to show that the VLAN of the nested tag is also for the correct VLAN for the packet. From the theorem prover, therefore, we know that\n\n  * the switch's procedure of removing the native tag causes a problem,\n\n  * the problem is that the nested tag becomes the packets main tag and does not necessarily indicate the correct VLAN.\n\nWhen a constraint,  , i.e., no device can be configured to use the native VLAN, is added to the model the proof obligation is immediately discharged since the guard of the transition   can easily be shown to be false. This constraint corresponds to the recommended protective action to prevent double tagging attacks.\n\nOverall, the theorem provers can identify the security flaw in a design or protocol. They do not need to find an example attack but can pinpoint the exact nature of the flaw directly. This is because proof obligations are generated from the actions of individual events. While the provers indicates the nature of the violation of the design assumption, they do not reveal the complete sequence from attack to security breach. The model-checker, while being restricted to example instantiations, is able to illustrate the process from initial attack through to security breach.\n\n## 4 Summary of Approach\n\nTo summarise, our approach is as follows:\n\n  1. 1.\n\nCreate an iUML-B Class diagram model of the entities and relationships that are essential concepts of the system. Add a state-machine to model the required behaviour of the system. Only model sufficient concepts to express the security property. Do not model the mechanism that implements the security.\n\n  2. 2.\n\nExpress the security property as an invariant over the entities in the model. Make sure that the model preserves the invariant.\n\n  3. 3.\n\nRefine the iUML-B model (possibly over several iterations) to introduce the mechanism that will ensure the system is secure. Do not constrain the behaviour of elements unless the security system has control over this behaviour. That is, allow attacks to occur within the model.\n\n  4. 4.\n\nAnimate each refinement level to ensure that the model behaves in a useful way. This is important to validate that our formal model captures the behaviour of the real system.\n\n  5. 5.\n\nIf any POs are not proven check the type of PO and the goal to see whether there is a mistake in the model. Correct the model as necessary.\n\n  6. 6.\n\nIf unproven POs remain for the gluing invariant, this may mean that the security mechanism has a flaw. Analyse the problem as follows:\n\n  * Examine the PO. Note the event that it relates to and examine the goal of the prover. This can often be used to interpret what is going wrong or whether a manual proof is possible.\n\n  * Run the model-checker to establish that there really is a problem. If the model checker can not find a trace to the violation, a manual proof may be possible.\n\n  * Remove the gluing invariant and copy the security property invariant from the abstract model and run the model checker (without previous refinement levels). If it does not find a trace that violates the security property, the gluing invariant may be too strong.\n\n  * If a trace to the security property is found there is a flaw in the protocol. The trace can be examined to analyse the nature of the attack, the flaw in the security mechanism and how it leads to the security violation.\n\nIn the example presented in this paper, the abstract model (step 1) M0 was developed in Sect. 3.1, and the security invariant (step 2) was introduced in the same section. The refinement process (step 3) involved an intermediate refinement M1 in Sect. 3.2 and a final refinement M2 in Sect. 3.3. At each refinement level, animation with ProB (step 4) and examination of unproven POs (step 5), helped us to arrive at a correct and useful model. A security flaw was detected and analysed (step 6) as described in Sect. 3.4.\n\n## 5 Conclusion\n\nOur investigation into a known example of a security vulnerability indicates that formal modelling with strong verification tools can be extremely beneficial in understanding security problems. The tools at our disposal include an automatic theorem prover as well as a model checker. In our previous work on safety-critical systems we have found that these tools exhibit great synergy and this is also the case when analysing security protocols.\n\nWe use iUML-B class diagrams and state-machines as a diagrammatic representation of the Event-B formalism. The diagrams help us create, visualise and communicate the models leading to a better understanding of the systems.\n\nAlthough we use animation to informally validate system behaviour, we have not yet done any rigorous analysis of liveness properties. A future aim of our research is to incorporate liveness reasoning into our approach.\n\nThis refinement-based approach can be applied to any problem that involves sets of entities that are interacting in some way via a procedure or protocol. For example, an authentication protocol such as Needham-Schroder could be modelled abstractly as a class of agents sending messages and receiving them with property perceived sender based on an actualSender. This could then be refined to replace direct references to the actual sender, with encrypted nonces.\n\nFinally, we envisage that without refinement, formulating the gluing invariant that links the specification to the implementation would, in general, be challenging. Here the role of the gluing invariant is essential as its violation helps the designer to identify the point where the design assumptions are offended, causing the actual security breach. A similar observation has been made in [3].\n\nAcknowledgement\n\nThis work is funded by the Enable-S3 Project, http:\/\/\u200bwww.\u200benable-s3.\u200beu.\n\nReferences\n\n1.\n\nAbrial, J.-R.: Modeling in Event-B: System and Software Engineering. Cambridge University Press, Cambridge (2010)CrossRefMATH\n\n2.\n\nAbrial, J.-R., Butler, M., Hallerstede, S., Hoang, T.S., Mehta, F., Voisin, L.: Rodin: an open toolset for modelling and reasoning in Event-B. Softw. Tools Technol. Transf. 12(6), 447\u2013466 (2010)CrossRef\n\n3.\n\nButler, M.: On the use of data refinement in the development of secure communications systems. Form. Asp. Comput. 14(1), 2\u201334 (2002)CrossRefMATH\n\n4.\n\nEnable-S3 consortium. Enable-S3 project website. http:\/\/\u200bwww.\u200benable-s3.\u200beu. Accessed 04 Dec 2016\n\n5.\n\nHoang, T.S.: An introduction to the Event-B modelling method. In: Romanovsky, A., Thomas, M. (eds.) Industrial Deployment of System Engineering Methods, pp. 211\u2013236. Springer, Heidelberg (2013)\n\n6.\n\nIEEE. 802.1Q-2014 - Bridges and Bridged Networks. http:\/\/\u200bwww.\u200bieee802.\u200borg\/\u200b1\/\u200bpages\/\u200b802.\u200b1Q-2014.\u200bhtml. Accessed 02 Dec 2016\n\n7.\n\nLeuschel, M., Butler, M.: ProB: an automated analysis toolset for the B method. Softw. Tools Technol. Transf. (STTT) 10(2), 185\u2013203 (2008)CrossRef\n\n8.\n\nSaid, M.Y., Butler, M., Snook, C.: A method of refinement in UML-B. Softw. Syst. Model. 14(4), 1557\u20131580 (2015)CrossRef\n\n9.\n\nColin, S.: iUML-B statemachines. In: Proceedings of the Rodin Workshop 2014, pp. 29\u201330, Toulouse, France (2014). http:\/\/\u200beprints.\u200bsoton.\u200bac.\u200buk\/\u200b365301\/\u200b\n\n10.\n\nSnook, C., Butler, M.: UML-B: Formal modeling and design aided by UML. ACM Trans. Softw. Eng. Methodol. 15(1), 92\u2013122 (2006)CrossRef\n\nFootnotes\n\n1\n\nActions in Event-B are, in the most general cases, non-deterministic [5].\n\n2\n\nA concise summary of the Event-B mathematical notation can be found at http:\/\/\u200bwiki.\u200bevent-b.\u200borg\/\u200bimages\/\u200bEventB-Summary.\u200bpdf.\n\n3\n\nThis is because removing the native tag may reveal an invalid nested tag (the known security flaw exploited by double tagging attacks).\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_7\n\n# On Learning Sparse Boolean Formulae for Explaining AI Decisions\n\nSusmit Jha1  , Vasumathi Raman1, Alessandro Pinto1  , Tuhin Sahai1  and Michael Francis1\n\n(1)\n\nUnited Technologies Research Center, Berkeley, USA\n\nSusmit Jha (Corresponding author)\n\nEmail: jha@csl.sri.com\n\nAlessandro Pinto\n\nEmail: pintoa@utrc.utc.com\n\nTuhin Sahai\n\nEmail: sahait@utrc.utc.com\n\nMichael Francis\n\nEmail: francism@utrc.utc.com\n\nAbstract\n\nIn this paper, we consider the problem of learning Boolean formulae from examples obtained by actively querying an oracle that can label these examplesz as either positive or negative. This problem has received attention in both machine learning as well as formal methods communities, and it has been shown to have exponential worst-case complexity in the general case as well as for many restrictions. In this paper, we focus on learning sparse Boolean formulae which depend on only a small (but unknown) subset of the overall vocabulary of atomic propositions. We propose an efficient algorithm to learn these sparse Boolean formulae with a given confidence. This assumption of sparsity is motivated by the problem of mining explanations for decisions made by artificially intelligent (AI) algorithms, where the explanation of individual decisions may depend on a small but unknown subset of all the inputs to the algorithm. We demonstrate the use of our algorithm in automatically generating explanations of these decisions. These explanations will make intelligent systems more understandable and accountable to human users, facilitate easier audits and provide diagnostic information in the case of failure. The proposed approach treats the AI algorithm as a black-box oracle; hence, it is broadly applicable and agnostic to the specific AI algorithm. We illustrate the practical effectiveness of our approach on a diverse set of case studies.\n\nS. Jha\u2014The author is currently at SRI International.\n\n## 1 Introduction\n\nThe rapid integration of robots and other intelligent agents into our industrial and social infrastructure has created an immediate need for establishing trust between these agents and their human users. The long-term acceptance of AI will depend critically on its ability to explain its actions, provide reasoning behind its decisions, and furnish diagnostic information in case of failures. This is particularly true for systems with close human-machine coordination such as self-driving cars, care-giving and surgical robots. Decision-making and planning algorithms central to the operation of these systems currently lack the ability to explain the choices and decisions that they make. It is important that intelligent agents become capable of responding to inquiries from human users. For example, when riding in an autonomous taxi, we might expect to query the AI driver using questions similar to those we would ask a human driver, such as \"why did we not take the Bay Bridge\", and receive a response such as \"there is too much traffic on the bridge\" or \"there is an accident on the ramp leading to the bridge or in the middle lane of the bridge.\" These explanations are essentially propositional formulae formed by combining the user-observable system and the environment states using Boolean connectives.\n\nEven though the decisions of intelligent agents are the consequence of algorithmic processing of perceived system and environment states [24, 30], the straight-forward approach of reviewing this processing is not practical. First, AI algorithms use internal states and intermediate variables to make decisions which may not be observable or interpretable by a typical user. For example, reviewing decisions made by the A* planning algorithm [20] could reveal that a particular state was never considered in the priority queue. But this is not human-interpretable, because a user may not be familiar with the details of how A* works. Second, the efficiency and effectiveness of many AI algorithms relies on their ability to intelligently search for optimal decisions without deducing information not needed to accomplish the task, but some user inquiries may require information that was not inferred during the original execution of the algorithm. Third, artificial intelligence is often a composition of numerous machine learning and decision-making algorithms, and explicitly modelling each one of these algorithms is not practical. Instead, we need a technique which can treat these algorithms as black-box oracles, and obtain explanations by observing their output on selected inputs. These observations motivate us to formulate the problem of generating explanations as an oracle-guided learning of Boolean formula where the AI algorithm is queried multiple times on carefully selected inputs to generate examples, which in turn are used to learn the explanation.\n\nGiven the observable system and environment states, S and E respectively, typical explanations depend on only a small subset of elements in the overall vocabulary  , that is, if the set of state variables on which the explanation   depends is denoted by  , then  . This support or its exact size is not known a priori. Thus, the explanations are sparse formulae over the vocabulary V. The number of examples needed to learn a Boolean formula is exponential in the size of the vocabulary in the general case [8, 18, 19]. Motivated by the problem of learning explanations, we propose an efficient algorithm that exploits sparsity to efficiently learn sparse Boolean formula. Our approach builds on recent advances in oracle-guided inductive formal synthesis [16, 17]. We make the following three contributions:\n\n  * We formulate the problem of finding explanations for decision-making AI algorithms as the problem of learning sparse Boolean formulae.\n\n  * We present an efficient algorithm to learn sparse Boolean formula where the size of required examples grows logarithmically (in contrast to exponentially in the general case) with the size of the overall vocabulary.\n\n  * We illustrate the effectiveness of our approach on a set of case-studies.\n\n## 2 Motivating Example\n\nWe now describe a motivating example to illustrate the problem of providing human-interpretable explanations for the results of an AI algorithm. We consider the A* planning algorithm [20], which enjoys widespread use in path and motion planning due to its optimality and efficiency. Given a description of the state space and transitions between states as a weighted graph where weights are used to encode costs such as distance and time, A* starts from a specific node in the graph and constructs a tree of paths starting from that node, expanding paths in a best-first fashion until one of them reaches the predetermined goal node. At each iteration, A* determines which of its partial paths is most promising and should be expanded. This decision is based on the estimate of the cost-to-go to the goal node. We refer readers to [20] for a detailed description of A*. Typical implementations of A* use a priority queue to perform the repeated selection of intermediate nodes. The algorithm continues until some goal node has the minimum cost value in the queue, or until the queue is empty (in which case no plan exists). Figure 1 depicts the result of running A* on a 50 50 grid, where cells that form part of an obstacle are colored red. The input map (Fig. 1(a)) shows the obstacles and free space. A* is run to find a path from lower right corner to upper left corner. On the output map (Fig. 1(b)), cells on the returned optimal path are colored dark blue. Cells which ever entered A*'s priority queue are colored light cyan, and those that never entered the queue are colored yellow.\n\nFig. 1.\n\n(a) Input map to A* (b) Output showing final path and internal states of A* (Color figure online)\n\nConsider the three cells X, Y, Z marked in the output of A* in Fig. 1(b). An observer might want to enquire why points X, Y or Z were not selected for the optimal path generated by A*. Given the output and logged internal states of the A* algorithm, we know that Y was considered as a candidate cell and discarded due to non-optimal cost whereas X was never even considered as a candidate. But, this is not a useful explanation because a non-expert observing the behavior of a robot cannot be expected to understand the concept of a priority queue, or the details of how A* works. Looking at point Z, we notice that neither X nor Z was ever inserted into the priority queue; hence, both were never considered as candidate cells on the optimal path. When responding to a user query about why X and Z were not selected in the optimal path, we cannot differentiate between the two even if all internal decisions and states of the A* algorithm were logged. So, we cannot provide the intuitively expected explanation that Z is not reachable due to certain obstacles, while X is reachable but has higher cost than the cells that were considered. This is an example of a scenario where providing explanation requires new information that the AI algorithm might not have deduced while solving the original decision making problem.\n\n## 3 Problem Definition\n\nThe class of AI algorithms used in autonomous systems include path planning algorithms, discrete and continuous control, computer vision and image recognition algorithms. All of these algorithms would be rendered more useful by the ability to explain themselves. Our goal is to eventually develop an approach to generate explanations for the overall system, but we focus on individual components in this paper rather than the overall system. For example, the path planner for a self-driving car takes inputs from machine learning and sensor-fusion algorithms, which in turn receive data from camera, LIDAR and other sensors. The processed sensor data often has semantic meaning attached to it, such as detection of pedestrians on the road, presence of other cars, traffic distribution in a road network, and so on. Given this semantic information, the reason for a particular path being selected by the path planner is often not obvious: this is the sort of explanation we target to generate automatically.\n\nA decision-making AI algorithm   can be modelled as a function that computes values of output variables   given input variables  , that is,\n\nThe outputs are decision variables, while the inputs include environment and system states as observed by the system through the perception pipeline. While the decision and state variables can be continuous and real valued, the inquiries and explanations are framed using predicates over these variables, such as comparison of a variable to some threshold. Let the vocabulary of atomic predicates used in the inquiry from the user and the provided explanation from the system be denoted by  . We can separate the vocabulary   into two subsets:   used to formulate the user inquiry and   used to provide explanations.\n\nIntuitively,   is the shared vocabulary that describes the interface of the AI algorithm and is understood by the human-user. For example, the inquiry vocabulary for a planning agent may include propositions denoting selection of a waypoint in the path, and the explanation vocabulary may include propositions denoting presence of obstacles on a map. An inquiry   from the user is an observation about the output (decision) of the algorithm, and can be formulated as a Boolean combination of predicates in the vocabulary  . Hence, we can denote it as   where the predicates in   are over the set  , and the corresponding grammar is:\n\nSimilarly, the response   is a Boolean combination of the predicates in the vocabulary   where the predicates in   are over the set  , and the corresponding grammar is:\n\nDefinition 1\n\nGiven an AI algorithm   and an inquiry  ,   is a necessary and sufficient explanation when   where   are predicates over   as explained earlier, and  .   is a sufficient explanation when  .\n\nIf the algorithm   could be modelled explicitly in appropriate logic, then the above definition could be used to generate explanations for a given inquiry using techniques such as satisfiability solving. However, such an explicit modelling of these algorithms is currently outside the scope of existing logical deduction frameworks, and is impractical for large and complicated AI systems even from the standpoint of the associated modelling effort. The AI algorithm   is available as an executable function; hence, it can be used as an oracle that can provide an outputs for any given input. This motivates oracle-guided learning of the explanation from examples using the notion of confidence associated with it.\n\nDefinition 2\n\nGiven an AI algorithm   and an inquiry  ,   is a necessary and sufficient explanation with confidence   when   where   are predicates over   as explained earlier,   and  .   is a sufficient explanation with confidence   when  .\n\nThe oracle used to learn the explanation is implemented using the AI algorithm. It runs the AI algorithm on a given input   to generate the decision output  , and then marks the input as a positive example if   is true, that is, the inquiry property holds on the output. It marks the input as a negative example if   is not true. We call this an introspection oracle, and it marks each input as either positive or negative.\n\nDefinition 3\n\nAn introspection oracle   for a given algorithm   and inquiry   takes an input   and maps it to a positive or negative label, that is,  .\n\nWe now formally define the problem of learning Boolean formula with specified confidence   given an oracle to label examples.\n\nDefinition 4\n\nThe problem of oracle-guided learning of Boolean formula from examples is to identify (with confidence  ) the target Boolean function   over a set of atomic propositions   by querying an oracle   that labels each input   (which is an assignment to all variables in  ) as positive or negative   depending on whether   holds or not, respectively.\n\nWe make the following observations which relates the problem of finding explanations for decisions made by AI algorithms to the problem of learning Boolean formula.\n\nObservation 1\n\nThe problem of generating explanation   for the AI algorithm   and an inquiry   is equivalent to the problem of oracle-guided learning of Boolean formula using oracle   as described in Definition 4.\n\n  denotes the restriction of the Boolean formula   by setting   to   in   and   denotes the restriction of   by setting   to  . A predicate   is in the support of the Boolean formula  , that is,   if and only if  .\n\nObservation 2\n\nThe explanation   over a vocabulary of atoms   for the AI algorithm   and a user inquiry   is a sparse Boolean formula, that is,  .\n\nThese observations motivate the following problem definition for learning sparse Boolean formula.\n\nDefinition 5\n\nBoolean function   is called k-sparse if  . The problem of oracle-guided learning of k-sparse Boolean formula from examples is to identify (with confidence  ) the target k-sparse Boolean function   over a set of atomic propositions   by querying an oracle   that labels each input   (which is an assignment to all variables in  ) as positive or negative   depending on whether   holds or not, respectively.\n\nFurther, the explanation of decisions made by an AI algorithm can be generated by solving the problem of oracle-guided learning of k-sparse Boolean formula. In the following section, we present a novel approach to efficiently solve this problem.\n\n## 4 Learning Explanations as Sparse Boolean Formula\n\nOur proposed approach to solve the k-sparse Boolean formula learning problem has two steps:\n\n  1. 1.\n\nIn the first step, we find the support of the explanation, that is,  . This is accomplished using a novel approach which requires a small number of runs (logarithmic in  ) of the AI algorithm  .\n\n  2. 2.\n\nIn the second step, we find the Boolean combination of the atoms in   which forms the explanation  . This is accomplished by distinguishing input guided learning of propositional logic formula which we have earlier used for the synthesis of programs [16].\n\nBefore delving into details of the above two steps, we introduce additional relevant notations. Recall that the vocabulary of explanation is  . Given any two inputs   and  , we define the difference between them as follows.\n\nNext, we define a distance metric d on inputs as the size of the difference set, that is,\n\nIntuitively,   is the Hamming distance between the n-length vectors that record the evaluation of the atomic predicates   in  . We say that two inputs   are neighbours if and only if  . We also define a partial order   on inputs as follows:\n\nGiven an input   and a set  , a random J-preserving mutation of  , denoted  , is defined as:\n\nFinding the Support: We begin with two random inputs   on which the oracle   returns different labels, say it returns positive on   and negative on   without loss of generality. Finding such   can be done by sampling the inputs and querying the oracle until two inputs disagree on the outputs. The more samples we find without getting a pair that disagree on the label, the more likely it is that the Boolean formula being used by the oracle to label inputs is a constant (either   or  ). We later formalize this as a probabilistic confidence. Given the inputs  , we find   on which the inputs differ with respect to the vocabulary  . We partition J into two subsets   and  . The two sets   and   differ in size by at most 1. The set of inputs that are halfway between the two inputs w.r.t the Hamming distance metric d defined earlier is given by the set   defined as:\n\nSatisfiability solvers can be used to generate an input   from  . The oracle   is run on   to produce the corresponding label. This label will match either the label for the input   or that of the input  . We discard the input whose label matches   to produce the next pair of inputs, that is,\n\nStarting from an initial pair of inputs on which   produces different labels, we repeat the above process, considering a new pair of inputs at each iteration until we have two inputs   that are neighbours, with  . Hence,   is in the support of the explanation  . We add this to the set of variables  . We repeat the above process to find the next variable to add to the support set. For example, consider a 2-sparse Boolean formula   over the vocabulary set  . Given two random samples   and   \\- the first is labelled positive by oracle   and the second is negative. The   set is   and the   produces a new example   which is labelled positive. So, the next pair is   and  . The   now produces new example   which is labelled positive. Now, the   set is a singleton set  . So,   is in the support set of  . This is repeated to find the full support  . The efficiency of the introspection process to obtain each variable is summarized in Lemma 1.\n\nLemma 1\n\nThe introspective search for each new variable   takes at most   queries to  .\n\nProof\n\nThe size of the difference set   for any inputs   is at most n for a vocabulary   of size n. The i-th call to   reduces the size of the difference set as follows:  . Thus, the number of calls to   before the difference set is singleton and the two inputs are neighbours, obtained by solving the above recurrence equation, is  .\n\nThis introspective search for variables in the support set   is repeated till we cannot find a pair of inputs   on which the oracle produces different outputs. We check this condition probabilistically using Lemma 2.\n\nLemma 2\n\nIf m random samples   from   produce the same output as input ' ' for the oracle   where   is k-sparse, then the probability that all mutations   produce the same output is at least  , where  .\n\nProof\n\nIf all the mutations   do not produce the same output, then the probability of the Oracle   differing from the output of   for any random sample   is at least   since the size of the set   is at most  . So,\n\nWe can now define   that samples   inputs from the set   and generates two inputs on which the oracle   disagrees and produces different outputs. If it cannot find such a pair of inputs, it returns  . The overall algorithm for finding the support of the explanations   with probability   is presented in Algorithm 1.1 using the oracle  . It is a recursive algorithm which is initially called with a randomly generated input   and an empty set J. Notice that the support of a sufficient explanation can be found by making the recursive call on only one of the two inputs, that is,   or   instead of both.\n\nTheorem 1\n\nThe introspective computation of the support set   of variables of the k-sparse Boolean formula   defined over the vocabulary of size n using at most   examples.\n\nProof\n\nEach variable in   can be found using an introspective search that needs at most   examples according to Lemma 1. So, the   loop in Algorithm 1.1 makes at most   queries. In Lemma 2, we showed that the maximum number of examples needed for   is  . The recursion is repeated at most   times. Thus, the overall algorithms needs at most  , that is,   examples.\n\nLearning Boolean Formula   : Learning a Boolean formula that forms the explanation   for the given query   is relatively straight-forward once the variables   which form the support of the Boolean formula have been identified. Efficient techniques have been developed to solve this problem in the context of program synthesis, and we adopt a technique based on the use of distinguishing inputs proposed by us in [16]. The algorithm starts with a single random input  . The oracle   is queried with the example and it is marked positive or negative depending on the label returned by the oracle. A candidate explanation   is generated which is consistent with the positive and negative examples seen so far. Then, the algorithm tries to find an alternative consistent explanation  . If such an alternate explanation   cannot be found, the algorithm terminates with   as the final explanation. If   is found, we find an input which distinguishes   and   and query the oracle with this new input in order to mark it as positive or negative. This refutes one of the two explanation formulae   and  . We keep repeating the process until we converge to a single Boolean formula. Algorithm 1.2 summarizes this learning procedure.\n\nTheorem 2\n\nThe overall algorithm to generate k-sparse explanation   for a given query   takes   queries to the oracle, that is, the number of examples needed to learn the Boolean formula grows logarithmically with the size of the vocabulary n.\n\nProof\n\nThe first-step to compute the support set   of the explanation   takes   queries and after that, the learning of explanation   takes   queries. So, the total number of queries needed is  .\n\nThus, our algorithm adopts a binary search like procedure using the Hamming distance metric d to find the support of the Boolean formula over a vocabulary of size n using a number of examples that grow logarithmically in n. After the support has been found, learning the Boolean formula can be accomplished using the formal synthesis based approach that depends only on the size of the support set and not on the vocabulary size n. Algorithms that do not exploit sparsity have been previously shown to need examples that grow exponentially in n [18, 19] in contrast to the logarithmic dependence on n of the algorithm proposed here. The proposed algorithm is very effective for sparse Boolean formula, that is,  , which is often the case with explanations.\n\n## 5 Experiments\n\nWe begin by describing the results on the motivating example of A* presented in Sect. 2. The vocabulary is   for each cell i, j in the grid  where   denotes the decision that i, j-th cell was selected to be on the final path, and   denotes the decision that the i, j-th cell was not selected to be on the final path. The vocabulary   for each cell i, j in the grid where   denotes that the cell i, j has an obstacle and   denote that the cell i, j is free. The explanation query is: \"Why were no points in   (around z) not considered on the generated path?\" The inquiry framed using   is  . A sufficient explanation for this inquiry is   with   set to 0.9. This is obtained in 2 min 4 s (48 examples). The second query is for the area around x:   and the sufficient explanation obtained is   in 2 min 44 s (57 examples). The third query for area around y is   and the corresponding explanation is   which was obtained in 1 min 48 s (45 examples). Given the 177 obstacles, a naive approach of enumerating all possible explanations would require   runs of A* which is clearly infeasible in each of these three cases. Even if we assumed that the number of explanations is 2 (but did not know which two variables are in the support set), there are more than 15, 000 cases to be considered.\n\nFig. 2.\n\nExecution of reactive strategy for particular sequence of door closings. Each Robot i is initially assigned to goal Area i, but they can swap if needed to achieve the global goal (each marked Area must eventually get one robot). Brown lines indicate closed doors preventing the robots' motion. Time steps depicted are 0, 3, 4 and 24. (Color figure online)\n\nExplaining Reactive Strategy [26]: We also applied our approach to a reactive switching protocol for multi-robot systems generated according to the approach described in [26]. The task involves 4 robots operating in the workspace depicted in Fig. 2. In the beginning, each robot is assigned the corresponding area to surveil (i.e. Robot i is assigned to Area i). Starting from their initial positions, they must reach this region. However, in response to the opening and closing of doors in the environment at each time step, they are allowed to swap goals. As can be seen from the Fig. 2, robots 1 and 2 swap goals because the top door closes, and robots 3 and 4 swap goals because the bottom door is closed. They stand by these decisions even though the doors later reopen. The simulation takes 24 time steps for all the robots to reach their final goals. The vocabulary is  , where   denotes that robot i ended up in area j. The vocabulary    , where   denotes that the door between the top and middle row of areas is closed at time t,   denotes that the door between the left and middle column of areas is closed at time t, etc. We pose the query,\"Why did Robot 1 end up in Area 2?\", i.e.  . Starting with the original input sequence and one in which no door-related events occur, the generated explanation is  , which is obtained in 0.76 s, and 7 introspective runs of the protocol on mutated inputs (door activity sequences). The second query was, \"Why did Robot 3 not end up in Area 3?\", or  . This took 0.61 s and 6 runs to generate\",  . Given that there are 4 doors and 24 time steps, a naive approach of enumerating all possible explanations would require   runs of the reactive protocol.\n\nExplaining Classification Error in MNIST [21]: MNIST database of scanned images of digits is a common benchmark used in literature to evaluate image classification techniques. MNIST images were obtained by normalization of original images into greyscale 28 28 pixel image. We consider a k-NN classifier for k = 9 as the machine learning technique. Some of the test images are incorrectly identified by this technique and we show one of these images in Fig. 3 where 4 is misidentified as 9. We deploy our technique to find explanations for this error. The k-NN classifier uses voting among the k-nearest neighbours to label test data. We show the nearest neighbour with label '9' to the misclassified image in the figure below. This image of 4 had 6 neighbours which were labelled '9'. The oracle for generating explanations works as follows: If the number of neighbours of the image labelled '9' decreases from 6 (even if the final label from the k-NN classifier does not change), the oracle marks the image as positive, and negative, otherwise. The vocabulary of explanation is formed by 4 4 pixel blocks (similar to superpixels in [29]) being marked completely dark or clear (this corresponds to predicate abstraction of greyscale pixels). The set of atomic propositions in the support of the explanation is illustrated in the third figure by manually picking assignment values to support variables for purpose of illustration. The last two figures show images which are filtered by two conjunctions in the generated explanation. The generation of the explanation took 3 min 48 s and required 58 examples where we initialized the algorithm with the images of 4 and 9 in the figure below.\n\nFig. 3.\n\nLeft to right: Misclassified image of '4', closest image of '9', changing all pixels corresponding to support of explanations, changing pixels for one of the sufficient explanation, changing pixels for another sufficient explanation\n\n## 6 Related Work\n\nOur approach relies on learning logical explanations in the form of sparse Boolean formula from examples that are obtained by carefully selected introspective simulations of the decision-making algorithm. The area of active learning Boolean formula from positive and negative examples has been studied in literature [1, 18] in both exact and probably approximately correct (PAC) setting. Exact learning Boolean formula [3, 19] requires a number of examples exponential in the size of the vocabulary. Under the PAC setting, learning is guaranteed to find an approximately correct concept given enough independent samples [2, 23, 25]. It is known that k-clause conjunctive normal form Boolean formula are not PAC learnable with polynomial sample-size, even though monomials and disjunctive normal form representations are PAC learnable [8, 25]. Changing the representation from CNF to DNF form can lead to exponential blow-up. In contrast, we consider only sparse Boolean formula and our goal is to learn the exact Boolean formula with probabilistic confidence, and not its approximation. Efficient learning techniques exist for particular classes of Boolean formulae such as monotonic and read-one formulae [12, 15], but explanations do not always take these restricted forms, and hence, our focus on sparse Boolean formulae is better suited for this context.\n\nAnother related research area is the newly emerged field of formal synthesis, which combines induction and deduction for automatic synthesis of systems from logical or black-box oracle specifications [16]. Unlike active learning, formal synthesis is also concerned with defining techniques for the generation of interesting examples and not just its inductive generalization, much like our approach. While existing formal synthesis techniques have considered completion of templates by inferring parameters [4, 28, 32], composition of component Boolean functions or uplifting to bitvector form [7, 13, 16, 35], inferring transducers and finite state-machines [5, 6, 11], and synthesis of invariants [31, 33], our work is the first to consider sparsity as a structural assumption for learning Boolean formulae.\n\nThe need for explanations of AI decisions to increase trust of decision-making systems has been noted in the literature [22]. Specific approaches have been introduced to discover explanations in specific domains such as MDPs [9], HTNs [14] and Bayesian networks [36]. Explanation of failure in robotic systems by detecting problems in the temporal logic specification using formal requirement analysis was shown to be practically useful in [27]. Inductive logic programming [10] has also been used to model domain-specific explanation generation rules. In contrast, we propose a domain-independent approach to generate explanations by treating the decision-making AI algorithm as an oracle. Domain-independent approaches have also been proposed in the AI literature for detecting sensitive input components that determine the decision in a classification problem [29, 34]. While these approaches work in a quantitative setting, such as measuring sensitivity from the gradient of a neural network classifier's ouput, our approach is restricted to the discrete, qualitative setting. Further, we not only detect sensitive inputs (support of Boolean formulae) but also generate the explanation.\n\n## 7 Conclusion and Future Work\n\nWe proposed a novel algorithm that uses a binary-search like approach to first find the support of any sparse Boolean formula followed by a formal synthesis approach to learn the target formula from examples. We demonstrate how this method can be used to learn Boolean formulae corresponding to the explanation of decisions made by an AI algorithm. This capability of self-explanation would make AI agents more human-interpretable and decrease the barriers towards their adoption in safety-critical applications of autonomy. We identify two dimensions along which our work can be extended. First, our approach currently uses a predicate abstraction to Boolean variables for learning explanations. We plan to extend our technique to a richer logical language such as signal temporal logic for explanations involving real values. Second, we need to extend our approach to infer multiple valid explanations in response to an inquiry. 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Springer, Heidelberg (2016). doi:10.\u200b1007\/\u200b978-3-662-49674-9_\u200b4 CrossRef\n\n36.\n\nYuan, C., Lim, H., Lu, T.-C.: Most relevant explanation in bayesian networks. J. Artif. Intell. Res. (JAIR) 42, 309\u2013352 (2011)MathSciNetMATH\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_8\n\n# Event-Based Runtime Verification of Temporal Properties Using Time Basic Petri Nets\n\nMatteo Camilli1  , Angelo Gargantini2  , Patrizia Scandurra2  and Carlo Bellettini1\n\n(1)\n\nDepartment of Computer Science, Universit\u00e0 degli Studi di Milano, Milan, Italy\n\n(2)\n\nDepartment of Management, Information and Production Engineering (DIGIP), Universit\u00e0 degli Studi di Bergamo, Bergamo, Italy\n\nMatteo Camilli (Corresponding author)\n\nEmail: camilli@di.unimi.it\n\nAngelo Gargantini\n\nEmail: angelo.gargantini@unibg.it\n\nPatrizia Scandurra\n\nEmail: patrizia.scandurra@unibg.it\n\nCarlo Bellettini\n\nEmail: bellettini@di.unimi.it\n\nAbstract\n\nWe introduce a formal framework to provide an efficient event-based monitoring technique, and we describe its current implementation as the MahaRAJA software tool. The framework enables the quantitative runtime verification of temporal properties extracted from occurring events on Java programs. The monitor continuously evaluates the conformance of the concrete implementation with respect to its formal specification given in terms of Time Basic Petri nets, a particular timed extension of Petri nets. The system under test is instrumented by using simple Java annotations on methods to link the implementation to its formal model. This allows a separation between implementation and specification that can be used for other purposes such as formal verification, simulation, and model-based testing. The tool has been successfully used to monitor at runtime and test a number of benchmarking case-studies. Experiments show that our approach introduces bounded overhead and effectively reduces the involvement of the monitor at run time by using negligible auxiliary memory. A comparison with a number of state-of-the-art runtime verification tools is also presented.\n\nKeywords\n\nRuntime verificationFormal methods @ runtimeTiming analysisTemporal propertiesPetri nets\n\n## 1 Introduction\n\nSoftware systems are increasingly employed in most domains and activities, including safety critical ones. Therefore, the society increasingly relies on software, and unreliable or unpredictable behavior is becoming less and less tolerated. As a consequence, over the past years, the validation of software systems has become an increasingly important and active research area.\n\nEvent-based runtime verification [1] is the monitoring of running programs to verify the occurring events against the requirements. A particularly challenging aspect is the monitoring of temporal properties in the presence of strict time constraints. In fact, monitoring at runtime introduces overheads on the System Under Test (SUT) that may affect the correctness of the verified properties.\n\nIn this paper, we introduce a formal event-based runtime verification framework and we describe its current implementation as a Java software tool, so called MahaRAJA 1. This framework enables the monitoring of Java programs, by evaluating the conformance of the concrete implementation with respect to its formal specification given in terms of Time Basic (TB) Petri nets [2] (or simply TB nets), a powerful temporal extension of Petri nets (PNs) for modeling concurrent\/distributed systems with real-time constraints.\n\nAlthough descriptive formalisms are very popular in runtime verification [3], the adoption of operational specifications, like in our approach, offers some advantages with respect to declarative specifications [4, 5]. They are usually easier to write, visualize, understand, and allow for step-wise model refinement [6]. Moreover, although other operational formalisms such as timed-automata [7] or finite-state-machines [8] support the modeling of temporal or behavioral aspects, PNs-based approaches can be more concise and easier to use [9]. Furthermore, aspects such as messaging, communication protocols, which are commonly used in concurrent or distributed systems, can be difficult to model with the language primitives of timed-automata [10, 11]. Finally, despite several state-based, logic-based, and event-based notations have been used for runtime verification [1], our work is the first attempt (to the best of our knowledge) exploiting the expressiveness of the TB nets for verifying temporal properties at runtime.\n\nThe MahaRAJA framework requires the SUT to be instrumented by using simple Java annotations on methods, in order to link the implementation to its formal model. Then, at runtime, the execution of the events of interest triggers the conformance verification of temporal properties. Rather than using heavy offline computation to predict the generation rate of possibly invalid events to estimate the maximum detection latency [12], we use an online approach that focuses on maintaining the analysis as lightweight as possible. MahaRAJA operates on and in conjunction with the SUT and it performs data collection and processing asynchronously with the SUT execution. The monitor and the SUT run concurrently on separated CPU cores using a buffer-based mechanism for communication. Our approach tries to bound the cost of executing the SUT instrumentation by having a bounded number of instructions executed upon the generation of possible invalid events. This runtime verification procedure is highly scalable because it does not depend on the size of the entire state space (often far larger than the model size [13]). It operates using just an occurring event and the 1-step reachability set of the current model's state, thus using limited extra memory.\n\nThe tool has been applied to a number of benchmarking case studies [14] and we experimentally evaluated the runtime overhead, making it possible for a system designer to reason about the timing constraints of the SUT. The experiments show that MahaRAJA introduces limited monitoring overhead and limited detection latency, thereby opening up the possibility to adopt a fast failing approach or implement a self-healing procedure [15] in a latency-aware adaptation setting.\n\nThe paper is organized as follows. Section 2 introduces the proper background on TB nets. Section 3 introduces the formalization of our technique and Sect. 4 describes our current software implementation. Section 5 introduces our experimental evaluation of the runtime overhead, making it possible for a system designer to reason about the timing constraints of the SUT. Section 6 compares our monitoring framework with a number of state-of-the-art runtime verification tools, thus showing both advantages and disadvantages of our framework. Finally, Sect. 7 presents our conclusion and future directions of our work.\n\n## 2 Background on Time Basic Nets\n\nThis section briefly introduces the TB nets formalism by means of a running example, i.e., the timed producer\/consumer (P\/C) model reported in Fig. 1.\n\nTB nets are a formal model for distributed systems with real-time constraints. This modeling formalism is more expressive then other temporal extensions of PNs and it supports both time and functional extensions in a semantically clear and rigorous way [2]. Thus it represents an effective formal model to deal with specification of highly concurrent systems with real-time constraints.\n\nThe structure of a TB net [2, 16] is a bipartite graph  , where P is the finite set of places (i.e., system state variables), T is the finite set of transitions (i.e., events causing state changes),   is the flow relation. The pre\/post-sets of   are  =   and  = , respectively.\n\nFig. 1.\n\nProducer-consumer TB net model.\n\nThe P\/C example describes two processes that asynchronously interact through the place  . After producing (respectively, consuming), the two processes perform some local activity (i.e.,   and  ).\n\nIn TB nets, tokens are enriched by timestamps recording their creation time. Each place can contain a multiset (bag) of tokens2. A marking (i.e., a representation of the system state) is a mapping  , that associates time-stamps to tokens in places (e.g.,   in Fig. 1).\n\nTime constraints are associated with transitions: two (linear or linearizable) functions associated to each transition t define the lower and the upper bounds ( ) of the interval of real values representing its possible firing times (e.g., [ ] associated with  ). Tokens produced by the atomic firing of a transition are time-stamped with the same value. The actions of removing and creating tokens are performed instantaneously.\n\nA binding of t is a function   that represents a set of time-stamps possibly causing t to be fired. The numerical interval   holds the possible firing times for   and it is evaluated by replacing each occurrence of a place p (free variable) with  .\n\nFor instance, consider the transition   and the following binding:  :  . According to the time function of  , the firing times range over [3500, 8500].\n\nStarting from the marking m, a binding   is enabled if and only if  . A firing instance of t is a pair   composed of an enabled binding and a real value  . The firing of t results in a new marking  :\n\nwhere   is   if  , the null bag otherwise,   is   if  , the null bag otherwise, and   operators are extended to bags. This is denoted  .\n\nFor instance, the binding  :   is enabled in the marking  . Thus, the firing instance   is valid. The firing process produces a new marking  . In particular, it withdraws the token from place   and it puts a fresh new token, time-stamped with the value 450, into  .\n\nThe interval   can be interpreted in two different ways. The weak semantics states that t can fire at any instant in  . The strong semantics instead states that t must fire at any instant in  , unless it is disabled by a conflicting transition fired before the upper bound of   (refer to [2] for the details). Our running example adopts a strong semantics.\n\nThe marking   is reachable from   if and only if there exists a path   (sequence of firing instances and markings) such that:\n\nThe transitions associated with the enabled bindings in m are called enabled transitions and they are denoted by enab(m).\n\n## 3 Event-Based Runtime Verification\n\nThis section introduces the formalization of our event-based monitoring approach. In order to abstract the behavior of a running program  , let us introduce the observable components of  , so called action methods.\n\nDefinition 1\n\n(Action method). Given a program  , an action method is a subroutine performing a specific task, such that its execution is observed at runtime.\n\nThe action methods are the events of interest that we want to observe and verify with respect to the expected behavior provided in terms of a TB net formal specification. During the execution of  , we extract temporal information from the action methods depending on their own action time.\n\nDefinition 2\n\n(Action time). Given a program   and a set of action methods A, the action time function   maps action methods in A to a non empty set of elements in  .\n\nIntuitively, the action time determines the moment (i.e., time instant) at which we want to observe the action methods.    , implies that a is observed at its own invocation time. The temporal information extracted from the execution of a is a timestamp representing the initial time. Similarly, if    , a is observed at its own final time; if    , a is observed both at invocation and termination time.\n\nGiven the observable components and the action time function, we use the notion of timed trace to abstract the behavior of a running real-time system.\n\nDefinition 3\n\n(Timed trace). Given a program   and a set of action methods  , a timed trace is a finite sequence of events  , such that each event   is a triplet  , where:\n\n  *   is the action method that triggers the event. We denote it with  .\n\n  *   is the moment associated with the event. We denote it with  .\n\n  *   is the timestamp associated with the event. We denote it with  .\n\nAs an example, consider the code excerpts reported in Fig. 2. They represent a Java implementation of the   and the  , respectively, in a simple producer-consumer program. The   calls the   method that retrieves and removes a   object from the  , waiting if necessary until an element becomes available. Then it performs some additional tasks using the new element through the   method. The   creates a new   object through the   method and then it pushes the element into the  .\n\nThe set of action methods is defined as   produce, producerTask, consume, consumerTask  , while the action type function is  : {produce   { }, producerTask   { }, consumerTask   { }, consume   { ,  }}.\n\nFig. 2.\n\nJava implementation of the Producer and Consumer.\n\nThe rationale behind the   function is explained by means of the following example. Both the produce (Fig. 2, line 8) and the producerTask (line 12) action methods maps to  } action time. In fact, the two action methods affect the behavior of the program at the end of their own execution: the producerTask method creates a new data element that becomes available at the end of the method execution; the produce puts the new data element into the buffer data structure and then terminates itself. Therefore, we want to observe only the final time of these action methods. Instead, the consumerTask action method (Fig. 2, line 13) processes the new data by launching an external asynchronous task. In this case we are just interested in knowing whether the external task is called in due time. Therefore, the consumerTask maps to { } action time. Finally, the execution of the consume action method (Fig. 2, line 8) causes the program to wait until a new element becomes available, which is consumed and returned at the end of the method execution. Hence, for each (multiple) execution of the consume action method, we want to observe both the initial and the final time. In fact, we may want to check that the consumer does not wait for available data more than a specific time limit.\n\nThe execution of the producer-consumer program can generate, for instance, the timed trace   reported in (1).\n\n(1)\n\nIt is worth noting that consume occurs twice in  . In fact, the   function maps the consume action method both to   and  , thus its own execution generates two different events timestamped with the initial and the final time, respectively.\n\nAnother important observation is that the program can perform inside the action methods different nested methods calls not belonging to A, therefore these are not observed at runtime. This allows us to build timed traces with different levels of granularity.\n\nThe construction of a timed trace is formalized as follows.\n\nDefinition 4\n\n(Timed trace construction). Given a running program  , the set of action methods A and the action time function  , the timed trace   is constructed from the execution of each   such that:\n\nwhere v is the timestamp associated with the moment g.\n\nThe timed trace constructed following Definition 4 includes only the events of interest defined by the action methods and the action time function.\n\nTo formalize the conformance relation between a running program   and its formal specification, let us introduce first the notion of action method mapping.\n\nDefinition 5\n\n(Action method mapping function). Given a TB net structure (P, T, E) and the set of action methods A associated with the program  , the action method mapping function   associates each element   and each moment   to a transition  .\n\nWe use this mechanism to bind action methods in the implementation to transitions in the model. This way, the conformance verification can be performed by checking that all the events of a timed trace correspond to feasible firing transitions in the formal specification. The formalization is reported below:\n\nDefinition 6\n\n(Path Conformance). Given a timed trace   and an execution path   of a TB net model, there exists a conformance relation between   and   iff. for each  , there exists   such that:\n\n  1. (i)\n\n  (i.e.,   is mapped to transition  )\n\n  2. (ii)\n\n  (i.e., the timestamp of   belongs to the firing times of  )\n\nDefinition 7\n\n(Model Conformance). Given a timed trace   and a TB net model N and the   function, there is a conformance relation between   and N iff. there exists a feasible execution path   of N, such that   conforms to  , according to  .\n\nFor example consider the timed trace   introduced in (1) and the following definition of the mapping function\n\nIn this case, there exists a conformance relation between   and the producer-consumer TB net reported in Fig. 1. In fact, from the initial marking   the transition   is enabled with the following binding  :  . The timestamp   belongs to  : [0, 1000], thus we observe a valid event, and we can compute the next marking  , reachable from   by firing the   transition at time 450.\n\nThe transition   is enabled from   by the binding  :  . The timestamp 1100, associated with the second event   belongs to  : [1000, 2500], thus we observe a valid event, and we can compute the next marking  , reachable from   by firing the   transition at time 1100.\n\nAnd so forth, until we process the last action method. The complete path  , such that   conforms to   is:\n\n## 4 The MahaRAJA Framework\n\nWe implemented the runtime verification technique presented in the previous section as a Java library3. The main component of the library is the Monitor, i.e., a system that observes and analyzes an executing SUT (Java program) in order to verify its correctness by comparing the observed behavior (i.e., ordered timed trace) with an expected behavior (i.e., feasible execution path) of the TB model given in input as a PNML file [18]. The model can be easily generated using a graphical user interface that allows the user to create and edit arbitrary complex TB net models through simple drag and drop gestures.\n\nThe input program is linked to the formal specification exploiting the mechanism of Java annotations to map action methods to corresponding transitions (i.e., the mapping function introduced in Definition 5). The Monitor is executed in a separated thread and is composed of the following modules: the Observer, the Analyzer and the Executor.\n\nThe Observer module makes use of AspectJ [19] to observe code execution and trigger the verification of the conformance relation, performed by the Analyzer component. The framework defines a set of annotations4 used to define the   action type function and the   action methods mapping function. The following annotations were inserted into the producer-consumer program:\n\nAs an example, the   annotation maps the consume action method to { ,  } action times, thus observable both before and after its own execution. For each invocation we observe two events: the first event is bound to the   transition; the second event is bound to the   transition.\n\nThe execution of the methods annotated by  ,   and   are handled by  ,   and   AspectJ advice types [19], respectively, to generate the proper   and\/or   observable events. The Observer module inspects the execution of the SUT by using the facilities of AspectJ and generate observable events into the event queue by injecting additional code upon the execution of the action methods.\n\nThe Analyzer module incrementally builds the timed trace   through the verification procedure reported in Algorithm 1. For each occurring event e, extracted from the event queue, the Analyzer launches the verification procedure, passing as argument the current marking   and the current event e. Thus, it verifies that in the input model, the transition t, retrieved by applying the   function, is enabled from the current marking m (line 3) and the time   belongs to   (line 6). If this condition holds, the Executor component updates the trace   (line 7) creating a new reachable marking with the proper timestamp  .\n\nIt is worth noting that, given an event e and a reachable marking m, there can be multiple enabled bindings for the transition t (line 5). In this case, for each binding, we compute a new reachable marking   and we put it into the reachability set (line 8) representing all the valid next steps of  . During the construction of the   path, for each event e it is fundamental to maintain the entire 1-step reachability set for the transition t (instead of a single reachable marking), in order to avoid false alarms (i.e., unreal inconsistencies between the code and its specification) during the conformance checking. The Verify function is executed for each marking in the reachability set. If there does not exist any marking in the reachability set such that the verification procedure is successful, the Analyzer does not verify the conformance relation between   and  , thus a conformance failure exception is thrown. This exception contains useful information about the throwing action method, along with the timestamp associated to this event and the set of enabled bindings (i.e., the expected events). The Analyzer module do not need to store the full history of both   and  , thus it requires limited extra memory. Moreover, the verification procedure is scalable with respect to the SUT size, in fact its own time complexity (i.e.,  ) does not depend on either the model size or the entire state space, but just on the number of enabled bindings in the current marking.\n\nTo alleviate possible burst of the monitoring overhead, our framework makes use of the Java Thread Affinity [20] library to separate the execution of the SUT and the Monitor into different isolated CPU cores, decreasing the latency caused by suspending and resuming important running tasks. Moreover, MahaRAJA let the user define a tolerance that should be set to the expected monitor invocation overhead. The tolerance allows two levels of risk to be defined: warning and error corresponding to a timing constraint violation respectively in- and outside the tolerance range. By default the tolerance is disabled, in fact, its definition involves the evaluation of the monitor invocation overhead, which is not an easy task and it strictly depends on the underlying hardware\/software environment.\n\nIn order to help the user to increase the confidence about the correctness of the SUT, the MahaRAJA software tool can be used in conjunction with JUnit to generate different monitored test cases. This way, the user can integrate our runtime verification technique with assertions on variables and on specific goal conditions, given in terms of time constraint (i.e., a logical predicate formed by linear inequalities involving timestamps) on the observed timed trace [17].\n\nThe next section introduces our experimental results that could also be used as a guide to evaluate the runtime overhead in order to reason about the timing constraints of the SUT.\n\n## 5 Experimental Validation\n\nWe validated the MahaRAJA framework by collecting data at runtime and performing a testing activity on a number of real-time benchmarking examples [14] summarized in Table 1: a simple producer-consumer (P\/C) application, a cruise-control (CC) system, an automated teller machine (ATM) software system, an elevator (EL) controller and a factory (FA) automation distributed system.\n\nTable 1.\n\nCase studies.\n\nCase study | |P| | |T| | SLOC | Tasks | Frequency\n\n---|---|---|---|---|---\n\nP\/C | 5 | 4 | 208 | 3 | 4,19\n\nCC | 11 | 16 | 1185 | 4 | 2,65\n\nATM | 12 | 25 | 1409 | 3 | 1,57\n\nEL | 18 | 24 | 1231 | 5 | 1,12\n\nFA | 14 | 12 | 996 | 10 | 1,09\n\nThe model size is reported in terms of number of places (|P|) and number of transitions (|T|). The SLOC column reflects the source lines of code number in the corresponding Java SUT. The tasks column contains the number of parallel threads (or process in case of distributed computing) composing the SUT. The frequency column reports the average number of monitor invocations per second.\n\nThe monitoring process ran in parallel with the SUT in a machine equipped with a Intel Xeon E5-2630 at 2.30 GHz CPU, 32 GB of RAM, the Ubuntu 14.04.3 LTS (GNU\/Linux 3.13.0-39-generic x86_64) operating system with a completely fair scheduler [21], and the Java HotSpot 1.8 64-Bit Server virtual machine using the Garbage-First (G1) collector tuned to avoid full runs5. Data about runtime overhead is reported in this section. They were extracted from program executions monitoring     events. The runtime overhead has been assessed considering the following metrics.\n\n  * Monitoring Overhead: The monitoring overhead is caused by the AspectJ instrumentation (AJO) and the monitor invocation overhead (MIO). Table 2 reports the average values (in  s) of these two different components, for each running case study. The average AJO values, introduced by the invocation of AspectJ advices, strictly depend on the byte code generated from the annotated program by using the ajc compiler [19]. Generally, we observed a lower AJO within   advices (i.e., events with   action time) and a higher AJO within   advices (i.e., events with both   and   action time). The order of magnitude of the measured AJO values is approximately 10  s (see Table 2).\n\nThe MIO (i.e., the time required to enqueue an occurring event into the event queue) does not depend on the action time. In general, both the MIO and the AJO have the same order of magnitude, but the average MIO is 50% lower. Thus, the overhead introduced by AspectJ dominates the overall monitoring overhead. Although the distribution of the MIO values for different programs are very similar, a different monitor invocation frequency (e.g., the CC frequency is 47% lower than the P\/C one) impacts on the average MIO. For instance, the average P\/C MIO is lower then the average CC MIO (approximately 16% lower).\n\n  * Jitter: The Jitter represents the deviance between the monitoring overhead values. The results reported in Table 2 show that the order of magnitude of the AJO jitter and the MIO jitter is the same (approximately 10  s). We found that the AJO jitter, for all the action method types, is approximately 43% lower than the MIO jitter. While the AJO jitter strictly depends on the behavior of AspectJ at runtime, the MIO jitter depends on the state of the Monitor during the execution of the action methods. In fact, a suspended Monitor causes a burst of the MIO due to the time required by resuming it, during the enqueuing of an acton method into an empty event queue.\n\n  * Detection latency: Bounding the detection latency (DL) makes it possible for the Monitor to quickly recognize a conformance failure, thus making the SUT able to promptly react to a degraded situation though a recovery procedure.\n\nTable 2 reports the average DL in  s. Our experience indicates the following trend: the higher the frequency is, the lower the DL is. This behavior is caused by the overhead of resuming a suspended Monitor thread. In fact, a low frequency implies an empty event queue almost all the execution time long. In this case, it is very likely to observe the Monitor resumption upon an incoming event. Therefore, although different programs lead to similar DL distribution, lower monitor invocation frequency results in more scattered DL values. The results obtained from our experiments show that MahaRAJA reacts to a conformance failure with a DL of the order of 1 ms.\n\n  * Memory Overhead: The memory overhead is the space used by the Java virtual machine to run and maintain the Monitor component. Table 2 shows that MahaRAJA requires negligible auxiliary memory (few KBytes on average). Gathered data shows that this value is related to the monitor invocation frequency: the higher is the frequency, the higher is the memory overhead. In fact, a high frequency implies the accumulation of events into the event queue.\n\nTable 2.\n\nMonitoring overhead experiments results.\n\nCase study | P\/C | CC | ATM | EL | FA\n\n---|---|---|---|---|---\n\nAJO ( s) | Before | 43.8 | 48.5 | 45.0 | 44.5 | 50.1\n\nAfter | 59.0 | 51.5 | 47.4 | 52.3 | 52.8\n\nAround | 53.4 | 53.8 | 53.1 | 61.4 | 58.3\n\nAJO Jitter ( s) | Before | 28.2 | 30.9 | 36.6 | 37.1 | 33.0\n\nAfter | 27.2 | 24.8 | 19.6 | 20.6 | 20.3\n\nAround | 22.8 | 12.5 | 26.2 | 27.6 | 34.5\n\nMIO ( s) | 28.0 | 23.6 | 24.0 | 23.0 | 24.1\n\nMIO Jitter ( s) | 45.5 | 45.4 | 44.8 | 50.4 | 45.7\n\nDL ( s) | 874.7 | 1221.9 | 1243.9 | 1274.4 | 1335.6\n\nMemory (KB) | 10838 | 5302 | 3503 | 2083 | 1734\n\n## 6 Related Work and Comparative Evaluation\n\nThis section mentions the main approaches in the field of event-based runtime verification, and reports also a qualitative comparative evaluation of these tools for the runtime verification of Java programs. A preliminary quantitative comparison is available at [17].\n\nCoMA [22] is a formal specification-based software tool that can continuously monitor the behaviors of a target Java program and recognize undesirable behaviors in the implementation with respect to its formal specification given in terms of Abstract State Machines (ASMs). Java PathExplorer (JPaX) [23] is a system for monitoring the execution of Java programs. The system extracts an execution trace (as a sequence of events) from a running program and verifies that the trace satisfies certain (past and future) LTL properties. Monitored bytecode is instrumented (by using JTrek) and an observer can check during runtime that the properties are never violated. The Java Monitoring and Checking (MaC) architecture [24] supplies two different specification languages: the Primitive Event Definition Language (PEDL) and Meta Event Definition Language (MEDL) allowing for a separation between the definition of the primitive events of a system and the system properties. Instrumented programs send an event stream to the event recognizer to identify higher-level activities, which are in turn processed to find property violations. HAWK [25] is a programming-oriented extension of the rule-based EAGLE logic [26] that has been shown capable of defining and implementing a range of finite trace monitoring logics, including future and past time temporal logic, extended regular expressions, and state machines. It is implemented as a Java library able to perform monitoring through a state-by-state comparison, avoiding to store the entire input trace.\n\nLarva [27] is an event-based runtime verification monitoring tool for temporal and contextual properties of Java programs. The technique implemented in Larva makes use of dynamic communicating automata with timers and events (DATE) to describe properties of systems.\n\nMonitored-oriented programming (MOP) [3] allows the source code of the SUT to be annotated with formal property specifications that can be written in any supported formalism. The formal specifications are translated in the target programming language. Thus, the obtained monitoring code can be used either at runtime or offline by checking traces recorded by probes. In this case, the violation handling mechanism is itself part of the design of the SUT, rather than an additional component on top of the system.\n\nThe analysis technique in [12] tries to estimate the rate of possible invalid occurring events and the maximum detection latency to realize predictable monitoring schemas. However, this is not always applicable due to different patterns in the occurrence of monitored events for different execution scenarios of the SUT [28]. An alternative approach used to decrease the monitoring overhead is time-triggered monitoring [28, 29] which makes use of periodic sampling of the SUT state and different strategies to reduce the monitoring overhead by dynamically adjusting the sampling period.\n\nTable 3 reports a comparative evaluation between MahaRAJA and some representative state-of-the-art runtime verification software tools. The following key features have been taken into account (for a more general comparison see [1]):\n\nTable 3.\n\nFeatures comparison of different Java runtime monitoring tools.\n\nTool | MahaRAJA | Coma | Larva | Java-MOP | Java-MaC | Hawk | JPaX\n\n---|---|---|---|---|---|---|---\n\nFormalism | TB nets | ASMs | DATEs | various  | PEDL, MEDL | LTL, PLTL | LTL, PLTL\n\nO\/D  | O | O | O | O, D | D | D | D\n\nS\/E  | E | S | E | E | E | E | E\n\nExceptions |   |   |   |   |   |   |\n\nReal-time |   |   |   |   |   |   |\n\nVariables |   |   |   |   |   |   |\n\nSelf-awareness |   |   |   |   |   |   |\n\nTesting |   |   |   |   |   |   |\n\n Depending on the plug-in: Finite State Machines, Regular Expressions, Context Free Grammar, PLTL, LTL, String Rewriting Systems.  Operational\/Descriptive formalism.  State\/Event-based approach.\n\n  * formalism: it represents the formalism used to specify the SUT;\n\n  * operational\/descriptive: it represents whether the tool uses a operational or descriptive formalism;\n\n  * state\/event-based: state-based monitoring approaches rely on a state-by-state comparison, where a state stores the relevant data about the SUT;\n\n  * exceptions: it represents whether or not the user can express properties which include exception handling;\n\n  * real-time: it refers to the ability to verify quantitative temporal properties;\n\n  * variables: it refers to the ability of monitoring value changes of variables;\n\n  * self-awareness: it refers to the capability of the monitoring system to return feedback to the SUT upon failure;\n\n  * testing: it represents the possibility to use the facilities of the monitoring framework to write test cases.\n\nThe results of our comparative evaluation show for each selected monitoring tool, the explicit support for the considered features. As we can see, the MahaRAJA framework has some interesting features, not directly supported by other tools. For instance, it allows both the runtime verification and testing of quantitative temporal properties. MahaRAJA does not support the monitoring of variables (Coma, Larva, Java-MOP and Java-MaC have this feature).\n\n## 7 Conclusion\n\nWe presented an event-based runtime verification approach and its supporting tool MahaRAJA to verify temporal properties on Java programs. The proposed framework adopts TB nets to represent the desired behavior of the SUT, including real-time requirements. The designer annotates the source code to link Java methods to transitions of the model. Then, MahaRAJA exploits AspectJ to observe code execution and trigger the conformance verification at runtime. The usefulness of the approach has been assessed by monitoring a number of real-time benchmarking case-studies to discover both modeling and implementation faults. MahaRAJA focuses on the monitoring of timed events and its main limitation is that it does not support the monitoring of variables, although they can be easily checked during testing activity using MahaRAJA in conjunction with JUnit. Nonetheless, we believe that our approach represents a viable technique for checking temporal properties of Java programs with respect to their formal specifications. Our experience shows that the monitoring overhead can be numerically evaluated and we found AspectJ as the major bottleneck. For this reason, we plan to replace AspectJ with other efficient bytecode transformation techniques [30]. The auxiliary memory used by the instrumentation is negligible and a preliminary quantitative comparison with other representative state-of-the-art runtime verification software tools individuates MahaRAJA as the less invasive [17]. The detection latency is also limited, thus allowing for a prompt recover after a failure.\n\nThe quantitative evaluation lead us to consider MahaRAJA as a viable light-weight pluggable tool to support the verification at runtime of real-time self-adaptive systems [15, 31]. We will explore this last topic in our future work.\n\nReferences\n\n1.\n\nDelgado, N., Gates, A.Q., Roach, S.: A taxonomy and catalog of runtime software-fault monitoring tools. IEEE Trans. Softw. Eng. 30(12), 859\u2013872 (2004)CrossRef\n\n2.\n\nGhezzi, C., Mandrioli, D., Morasca, S., Pezz\u00e8, M.: A unified high-level Petri net formalism for time-critical systems. IEEE Trans. Softw. Eng. 17, 160\u2013172 (1991)CrossRef\n\n3.\n\nChen, F., D'Amorim, M., Ro\u015fu, G.: A formal monitoring-based framework for software development and analysis. In: Davies, J., Schulte, W., Barnett, M. (eds.) ICFEM 2004. LNCS, vol. 3308, pp. 357\u2013372. 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SIGPLAN Not. 44(4), 65\u201374 (2009)CrossRef\n\n22.\n\nArcaini, P., Gargantini, A., Riccobene, E.: CoMA: conformance monitoring of Java programs by abstract state machines. In: Khurshid, S., Sen, K. (eds.) RV 2011. LNCS, vol. 7186, pp. 223\u2013238. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-29860-8_\u200b17 CrossRef\n\n23.\n\nHavelund, K., Ro\u015fu, G.: An overview of the runtime verification tool Java PathExplorer. Formal Methods Syst. Des. 24(2), 189\u2013215 (2004)CrossRefMATH\n\n24.\n\nKim, M., Viswanathan, M., Kannan, S., Lee, I., Sokolsky, O.: Java-MaC: a run-time assurance approach for Java programs. Form. Methods Syst. Des. 24(2), 129\u2013155 (2004)CrossRefMATH\n\n25.\n\nd'Amorim, M., Havelund, K.: Event-based runtime verification of Java programs. SIGSOFT Softw. Eng. Notes 30(4), 1\u20137 (2005)CrossRef\n\n26.\n\nBarringer, H., Goldberg, A., Havelund, K., Sen, K.: Rule-based runtime verification. In: Steffen, B., Levi, G. (eds.) VMCAI 2004. LNCS, vol. 2937, pp. 44\u201357. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-24622-0_\u200b5 CrossRef\n\n27.\n\nColombo, C., Pace, G.J., Schneider, G.: Dynamic event-based runtime monitoring of real-time and contextual properties. In: Cofer, D., Fantechi, A. (eds.) FMICS 2008. LNCS, vol. 5596, pp. 135\u2013149. Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-03240-0_\u200b13 CrossRef\n\n28.\n\nBonakdarpour, B., Navabpour, S., Fischmeister, S.: Time-triggered runtime verification. Formal Methods Syst. Des. 43(1), 29\u201360 (2013)CrossRefMATH\n\n29.\n\nNavabpour, S., Bonakdarpour, B., Fischmeister, S.: Path-aware time-triggered runtime verification. In: Qadeer, S., Tasiran, S. (eds.) RV 2012. LNCS, vol. 7687, pp. 199\u2013213. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-35632-2_\u200b21 CrossRef\n\n30.\n\nMastrangelo, L., Hauswirth, M.: JNIF: Java native instrumentation framework. In: Proceedings of the International Conference on Principles and Practices of Programming on the Java Platform: Virtual Machines, Languages, and Tools, ser. PPPJ 2014, pp. 194\u2013199. ACM, New York (2014)\n\n31.\n\nde Lemos, R., Garlan, D., Ghezzi, C., Giese, H.: Software engineering for self-adaptive systems: assurances (Dagstuhl Seminar 13511). Dagstuhl Rep. 3(12), 67\u201396 (2014). http:\/\/\u200bdrops.\u200bdagstuhl.\u200bde\/\u200bopus\/\u200bvolltexte\/\u200b2014\/\u200b4508\n\nFootnotes\n\n1\n\nMonitoring at Runtime of temporAl properties on Java Applications.\n\n2\n\n  is a map  , formally expressed as a weighted sum of X elements.\n\n3\n\nThe source code, binaries, and some runnable examples can be found at [17].\n\n4\n\nThey are recorded in class files by the compiler and retained by the virtual machine at run time, so they can be read reflectively by the Observer component.\n\n5\n\nAdditional information about the configurations of MahaRAJA and the JVM is available at [17].\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_9\n\n# Model-Counting Approaches for Nonlinear Numerical Constraints\n\nMateus Borges1  , Quoc-Sang Phan2, Antonio Filieri1 and Corina S. P\u0103s\u0103reanu2, 3\n\n(1)\n\nImperial College London, London, UK\n\n(2)\n\nCarnegie Mellon University Silicon Valley, Mountain View, USA\n\n(3)\n\nNASA Ames, Mountain View, USA\n\nMateus Borges\n\nEmail: m.borges@ic.ac.uk\n\nAbstract\n\nModel counting is of central importance in quantitative reasoning about systems. Examples include computing the probability that a system successfully accomplishes its task without errors, and measuring the number of bits leaked by a system to an adversary in Shannon entropy. Most previous work in those areas demonstrated their analysis on programs with linear constraints, in which cases model counting is polynomial time. Model counting for nonlinear constraints is notoriously hard, and thus programs with nonlinear constraints are not well-studied. This paper surveys state-of-the-art techniques and tools for model counting with respect to SMT constraints, modulo the bitvector theory, since this theory is decidable, and it can express nonlinear constraints that arise from the analysis of computer programs. We integrate these techniques within the Symbolic Pathfinder platform and evaluate them on difficult nonlinear constraints generated from the analysis of cryptographic functions.\n\nKeywords\n\nModel counting modulo theoriesBitvector arithmeticNonlinear constraintsCryptographic functions\n\n## 1 Introduction\n\nModel counting is of central importance in quantitative reasoning, with applications in probabilistic inference [7, 8], reliability analysis [11], and quantitative information flow [2, 3, 23, 24]. Most previous work in those areas was performed on programs with linear constraints, using model counting tools such as Latte [18]. Model counting for nonlinear constraints is notoriously hard, and thus programs with nonlinear constraints are not well-studied (with only limited support for floating-point values abstracted as real numbers [4]). In this paper we survey state-of-the-art model counting techniques and tools for SMT (satisfiability modulo theories) constraints modulo the bitvector theory, since this theory is decidable and it can express the nonlinear constraints that arise naturally from the analysis of computer programs. Our work is motivated by a security project [1] that aims to develop automated quantitative information flow analysis techniques for complex applications, including cryptographic functions that are very difficult to analyze. The bitvector theory is particularly useful for these functions which typically use operations on bitvector values.\n\nWe integrate the surveyed techniques within Symbolic PathFinder (SPF) [25] and evaluate them on difficult nonlinear constraints generated using symbolic execution. Although we restrict our evaluation to cryptographic functions, our study should be relevant to anybody interested in quantitative reasoning over complex, nonlinear systems.\n\n### 1.1 Symbolic Execution and SPF\n\nSPF performs symbolic execution over Java byte code programs. Symbolic execution [14] is a systematic analysis technique that executes a program on symbolic, rather than concrete, input values and computes the effects of the program as functions of these symbolic inputs. The result of symbolic execution is a set of symbolic paths, each with a path condition PC, which is a conjunction of constraints over the symbolic inputs that characterizes all the inputs that follow that path. All the PCs are disjoint by construction.\n\n### 1.2 Quantification of Information Leaks\n\nPerfect software security is hard to achieve. Systems often leak information to an adversary who can observe different aspects of program behavior. Research on quantitative information flow aims at quantifying (in number of bits) the expected leakage.\n\nA program can be viewed as a probabilistic function that maps a high security input h and a low security input l to an observable output o. An adversary tries to guess h by providing l and observing the output. The leakage of the program P is defined as the mutual information between the secret h and the public output o [19]:  , where   denotes the classical Shannon entropy of a random variable x, measuring the \"uncertainty\" about x. For a deterministic program P, there is no uncertainty about o when h is given. Therefore  . The entropy can thus be computed as:   .\n\nIntuitively, the leakage gives an estimate on the number of bits in the secret that an adversary can infer by observing the output of the program. If this estimate is small (or zero) then the program can be considered safe. In [2], Backes et al. combined model checking and model counting to compute the leakage when the observable is an output variable. In a similar setting, we used symbolic execution (SPF) combined with Latte to compute an upper bound on the leakage [23].\n\nMore recently [3, 24], we used SPF and Latte to compute the leakage when the observables are non-functional characteristics of program executions, i.e. side-channels, such as time consumed, number of memory accessed or packets transmitted over a network. In this model, a symbolic path identified by   leads to a concrete observable  . Assuming the secret input has uniform distribution, which means the adversary has no prior knowledge about it, the probability of observing   can be computed using SPF and model counting as follows:  , where   is the number of solutions (computed with model counting) of constraint   and   is the size of the input domain D assumed to be (possibly very large but) finite.\n\nIn all the previous work mentioned above, Latte was used to perform model counting; it implements the polynomial time Barvinok algorithm to count models for a system of linear integer inequalities. However Latte cannot handle nonlinear constraints. In this paper we study approaches for the fixed-width bitvector theory, which can represent such constraints. In the following, we use the term \"bitvector\" and \"word\" interchangeably.\n\n## 2 Model Counting Techniques and Tools\n\nIn this section we evaluate several tool-supported approaches for counting the models of bitvector constraints. These approaches can be classified according to two orthogonal dimensions: exact vs approximate and bit-level vs word-level.\n\nExact techniques count the exact number of models for a given constraint. Approximate techniques only explore a portion of the solution space, carefully selected to provide probabilistic guarantees on the accuracy ( ) and confidence ( ) of the result. In particular, they guarantee that  , where   is the approximate result and c is the exact (unknown) count. Other randomized approaches not providing formal guarantees (e.g., [26, 31]) are not considered in this study.\n\nBit-level Approaches address the model counting problem for propositional (SAT) formulas, i.e., #SAT. Model counting for bit vector formulas can be performed as follows. A bitvector formula is first converted to a propositional formula using bit blasting to generate an equivalent Boolean circuit based on bit-level behavior of bitvector operations. This Boolean circuit is interpreted as a propositional logic problem and converted in conjunctive normal form (CNF); at this point #SAT approaches can be used to count the number of models. While the procedure is general, the conversion of Boolean circuits into CNF is usually based on the Tseitin transformation [30], which introduces additional Boolean variables in the process. While this transformation guarantees a model for the CNF form is also a model for the initial problem, the introduction of additional variables may lead to different model counts. For this reason, in this paper we use only #SAT tools supporting projection, i.e., able to project the solution space only on the variables appearing in the Boolean circuit, ignoring the ones introduced by Tseitin transformation.\n\nWe found five tools for #SAT that support projection and can thus be used in our setting for bitvector counting: SharpCDCL, All-SAT, SharpSAT and Dsharp, which compute exact solutions, and ApproxMC-p, which produces approximate solutions.\n\n  * SharpCDCL [15] is an enumeration-based approach; it iteratively invokes the SAT solver to produce at each iteration a new model, keeping trace of the set of models and their number.\n\n  * All-SAT [13] and SharpSAT [28] extend the DPLL algorithm to count the number of solutions of a SAT problem. They both use caching mechanisms and use constraint propagation for pruning the DPLL, which avoid the exhaustive exploration of subtrees containing no solutions.\n\n  * Dsharp [20] reuses the algorithmic core of SharpSAT, adapting it to work with a deterministic Decomposable Negation Normal Form (d-DNNF) representation of the SAT problem. d-DNNF provides a more compact representation of the constraints in memory that, according to [20], may better support model counting.\n\n  * ApproxMC-p [16] takes as input accuracy and confidence targets and produce an approximate count which deviates from the exact count by at most a factor   with probability at least  . The approach uses universal hash functions to perform a uniform sampling within the domain. The ratio between the number of models for this sample and the sample size is used as an estimate of the ratio of models over the entire problem domain. The samples is automatically decided to achieve   and  .\n\nWord-Level Approaches aim to avoid the cost of bit blasting by defining counting procedures that operate directly on SMT variables and operations. We investigate a recent tool that provides an approximate counting procedure for bitvectors: SMTApproxMC [7]. SMTApproxMC uses word-level hashing functions to sample a finite number of candidate models and then an SMT solver to check how many of these candidate models satisfy the constraint. The number of models found within the sample are used to build a robust statistical estimator achieving the desired probabilistic guarantees. SMTApproxMC can avoid bit blasting whenever the SMT solver can check a constraint without it (e.g., for linear constraints); however, for nonlinear constraints (all the subjects of this study), SMTApproxMC requires bit blasting.\n\nChistikov et al. [8] also extend the hashing-based approach used for #SAT (e.g., in [16]) to counting for SMT problems. Hashing functions allow to uniformly sample candidate solutions. Statistics on the sample are used to estimate the total number of models. However, no tool is available and, according to [7], SMTApproxMC is faster.\n\nA related approach is implemented in the MathSAT solver [9], which provides a functionality, called All-SMT, that given a set of Boolean variables  , it can enumerate all the models of the problem projected on  . The source code of the tool is not available, nor a technical description of the All-SMT feature, thus we do not know the details of the counting algorithm it implements but can only report its execution time. Our own All-SMT solver aZ3 [21, 22] is less efficient than MathSAT, so we do not include its experiment results here.\n\nOther Approaches. We have also investigated other techniques for model counting: blocking-clause enumeration, BDD-based enumerations, counting with Gr\u00f6bner bases and a brute-force enumeration that we use as baseline.\n\nBlocking clause enumeration make the solver find all the models for a problem by iteratively adding the negation of already found models to the initial problem. The iteration terminates when no more solutions can be found. Intuitively, this method can work only for complex problems with few models. We implemented it on top of Z3 SMT solver [10] to practically confirm this intuition.\n\nBDD-based enumeration represents a propositional formula as a binary decision diagram and then counts the paths from its root to the leaf representing the Boolean constant \"true\". We implemented a prototype based on the BDD library CUDD [27], which builds a BDD corresponding to a constraint bitblasted with Z3. Unfortunately, for all the subjects in this study the execution time exceeded the timeout of 1 h.\n\nGr\u00f6bner bases are used in computational algebra to reason about polynomials over finite fields. Boolean variables and and operators from propositional logic can be mapped into corresponding variables and functions over polynomials. Each zero of such polynomials corresponds to exactly one model of the initial propositional formula [12, 29]. Algebraic solvers can be used to find those zeroes. We implemented this technique using PolyBoRi [5], but its execution timed out for all the subjects.\n\nFinally, we also implemented as a reference a brute force approach which encodes the constraints as bitwise operations on unsigned integers in C. The mapping is straightforward from the smtlib representation. The program iterates over the entire domain and count the number of models for a constraint. We compiled the C sources using level 1 optimization in GCC.\n\n## 3 Evaluation\n\nSubjects. We study modular exponentiation ( ) and modular multiplication ( ) implementations. These are core routines for most public-key cryptographic systems, most notably RSA. In the past, some implementations have been found vulnerable to side channel attacks [6, 17], mostly as effect of optimizations. Our goal is to localize side channels by quantifying information leaks with symbolic execution and model counting (see Sect. 1).\n\nFor our experiments, we analyzed a set of randomly selected path conditions from two different implementations of the modular operations (the source code is given in the appendix). The first implementation (subjects a-* in the following), taken from [24], optimizes modPow with a reduction step at each iteration, but uses a naive implementation of modMul. We analyze the program with the same configurations from [24]: the modulus m can be either 1717, 834443, or 1964903306; both the base b and exponent e are symbolic, with   and  .\n\nThe second implementation (benchmarks b-*) is more realistic as it uses Java's BigInteger class to encode large messages and secrets (this example was provided to us by DARPA at a recent engagement) and uses fast multiplication. Here modulus m is fixed with a 1536-bit value; the base b is also a concrete 1532-bit value; the exponent e is symbolic BigInteger with 40 bits. We analyze both modPow and modMul, where both x and y are symbolic 24-bit BigInteger.\n\nFig. 1.\n\nExecution time comparison.\n\nExperimental Results. Figure 1 summarizes the performance of the different tools. The results indicate that enumeration-based techniques perform well for complex problem with few solutions (SharpCDCL, Z3-BC). Exact techniques based on DPLL (All-SAT and SharpSAT) scale better than enumeration, but fail for the subjects involving complex constraints over large domains, like a-6 and a-7 which have approximately 58k and 78k CNF clauses over a domain of 59B points. Notably, All-SAT produced the correct count only for the first three subjects. For all the others (marked with  ), it significantly under-approximated the count. However, the most recent release dates back to 2004 and the tool is not maintained, making difficult to get the tool fixed.\n\nThe performance of approximate methods (ApproxMC and SMTApproxMC) depends on the required accuracy   and confidence  . The correct counts and the approximate ones are shown in a table in the appendix. We run the tools with two different settings: (f)  ,   and (p)  ,  . SMTApproxMC provides a bad performance on our subjects; this is however expected since its internal solver is required to bit blast our nonlinear constraints for each query. From our experience, low-accuracy approximate methods can be used for a preliminary assessment of the number of solutions: if the coarse approximate count is small, exact methods may then be used for an exact solution. Similarly, if the count is close to the domain size, it is possible to count exactly the models of the negation of the problem (which should be only a few). If the count is far from its extreme values (0 and domain size) or if the problem is particularly complex (  CNF clauses on our subjects), exact counters will probably fail if the domain is large and a more precise approximate solution can be pursued.\n\nNot surprisingly, the brute force approach is faster than model counting tools when the domain size is small enough ( ), but it is not a viable solution for larger problems.\n\n## 4 Conclusion\n\nWe surveyed model counting techniques that are applicable to complex nonlinear constraints. We restricted our study to techniques and tools that are capable of providing formal guarantees on the results. Our survey suggests that that the most promising techniques use approximate model counting and bit-level hashing, however the performance of the tools can degrade when increased precision is required. SMT-based model counting is still a very young research area, but its relevance for quantitative analysis can be an effective driver for its development, as program verification has effectively driven the development in SMT solving.\n\nAcknowledgement\n\nThis work was funded in part by the National Science Foundation (NSF Grant Nos. CCF-1319858, CCF-1549161) and also by DARPA under agreement number FA8750-15-2-0087. The U.S. Government is authorized to reproduce and distribute reprints for Governmental purposes notwithstanding any copyright notation thereon. Mateus Borges is funded by an Imperial College PhD Scholarship.\n\nReferences\n\n1.\n\nISSTAC: Integrated Symbolic Execution for Space-Time Analysis of Code. http:\/\/\u200bwww.\u200bcmu.\u200bedu\/\u200bsilicon-valley\/\u200bresearch\/\u200bisstac\n\n2.\n\nBackes, M., Kopf, B., Rybalchenko, A.: Automatic discovery and quantification of information leaks. In: SP 2009, pp. 141\u2013153 (2009)\n\n3.\n\nBang, L., Aydin, A., Phan, Q.S., P\u0103s\u0103reanu, C.S., Bultan, T.: String analysis for side channels with segmented oracles. In: FSE 2016, pp. 193\u2013204. ACM (2016)\n\n4.\n\nBorges, M., Filieri, A., d'Amorim, M., P\u0103s\u0103reanu, C.S., Visser, W.: Compositional solution space quantification for probabilistic software analysis. In: PLDI, pp. 123\u2013132. ACM (2014)\n\n5.\n\nBrickenstein, M., Dreyer, A.: PolyBoRi: a framework for gr\u00f6bner-basis computations with boolean polynomials. J. Symb. Comput. 44(9), 1326\u20131345 (2009)CrossRefMATH\n\n6.\n\nBrumley, D., Boneh, D.: Remote timing attacks are practical. In: SSYM 2003, pp. 1\u20131. USENIX Association (2003)\n\n7.\n\nChakraborty, S., Meel, K.S., Mistry, R., Vardi, M.Y.: Approximate probabilistic inference via word-level counting. In: AAAI 2016, pp. 3218\u20133224 (2016)\n\n8.\n\nChistikov, D., Dimitrova, R., Majumdar, R.: Approximate counting in SMT and value estimation for probabilistic programs. In: Baier, C., Tinelli, C. (eds.) TACAS 2015. LNCS, vol. 9035, pp. 320\u2013334. Springer, Heidelberg (2015). doi:10.\u200b1007\/\u200b978-3-662-46681-0_\u200b26\n\n9.\n\nCimatti, A., Griggio, A., Schaafsma, B.J., Sebastiani, R.: The MathSAT5 SMT solver. In: Piterman, N., Smolka, S.A. (eds.) TACAS 2013. LNCS, vol. 7795, pp. 93\u2013107. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-36742-7_\u200b7 CrossRef\n\n10.\n\nMoura, L., Bj\u00f8rner, N.: Z3: an efficient SMT solver. In: Ramakrishnan, C.R., Rehof, J. (eds.) TACAS 2008. LNCS, vol. 4963, pp. 337\u2013340. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-78800-3_\u200b24 CrossRef\n\n11.\n\nFilieri, A., P\u0103s\u0103reanu, C.S., Visser, W.: Reliability analysis in symbolic pathfinder. In: ICSE, pp. 622\u2013631. IEEE Press (2013)\n\n12.\n\nGao, S.: Counting zeros over finite fields using Gr\u00f6bner bases. Master's thesis, Carnegie Mellon University (2009)\n\n13.\n\nGrumberg, O., Schuster, A., Yadgar, A.: Memory efficient all-solutions SAT solver and its application for reachability analysis. In: Hu, A.J., Martin, A.K. (eds.) FMCAD 2004. LNCS, vol. 3312, pp. 275\u2013289. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30494-4_\u200b20 CrossRef\n\n14.\n\nKing, J.C.: Symbolic execution and program testing. Commun. ACM 19(7), 385\u2013394 (1976)MathSciNetCrossRefMATH\n\n15.\n\nKlebanov, V., Manthey, N., Muise, C.: SAT-based analysis and quantification of information flow in programs. In: Joshi, K., Siegle, M., Stoelinga, M., D'Argenio, P.R. (eds.) QEST 2013. LNCS, vol. 8054, pp. 177\u2013192. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-40196-1_\u200b16 CrossRef\n\n16.\n\nKlebanov, V., Weigl, A., Weisbarth, J.: Sound probabilistic #SAT with projection. In: QAPL 2016, pp. 15\u201329 (2016)\n\n17.\n\nKocher, P.C.: Timing attacks on implementations of Diffie-Hellman, RSA, DSS, and other systems. In: Koblitz, N. (ed.) CRYPTO 1996. LNCS, vol. 1109, pp. 104\u2013113. Springer, Heidelberg (1996). doi:10.\u200b1007\/\u200b3-540-68697-5_\u200b9\n\n18.\n\nLoera, J.A.D., Hemmecke, R., Tauzer, J., Yoshida, R.: Effective lattice point counting in rational convex polytopes. J. Symb. Comput. 38(4), 1273\u20131302 (2004)MathSciNetCrossRefMATH\n\n19.\n\nMalacaria, P.: Algebraic foundations for quantitative information flow. Math. Struct. Comput. Sci. 25, 404\u2013428 (2015)MathSciNetCrossRefMATH\n\n20.\n\nMuise, C., McIlraith, S.A., Beck, J.C., Hsu, E.I.: Dsharp: fast d-DNNF compilation with sharpSAT. In: Kosseim, L., Inkpen, D. (eds.) AI 2012. LNCS (LNAI), vol. 7310, pp. 356\u2013361. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-30353-1_\u200b36 CrossRef\n\n21.\n\nPhan, Q.S.: Model counting modulo theories. Ph.D. thesis, Queen Mary University of London (2015)\n\n22.\n\nPhan, Q.S., Malacaria, P.: All-solution satisfiability modulo theories: applications, algorithms and benchmarks. In: ARES 2015, pp. 100\u2013109 (2015)\n\n23.\n\nPhan, Q.S., Malacaria, P., P\u0103s\u0103reanu, C.S., d'Amorim, M.: Quantifying information leaks using reliability analysis. In: SPIN 2014, pp. 105\u2013108. ACM (2014)\n\n24.\n\nP\u0103s\u0103reanu, C.S., Phan, Q.S., Malacaria, P.: Multi-run side-channel analysis using Symbolic Execution and Max-SMT. In: CSF 2016, pp. 387\u2013400, June 2016\n\n25.\n\nP\u0103s\u0103reanu, C.S., Visser, W., Bushnell, D., Geldenhuys, J., Mehlitz, P., Rungta, N.: Symbolic PathFinder: integrating symbolic execution with model checking for Java bytecode analysis. Autom. Softw. Eng. 20, 1\u201335 (2013)CrossRef\n\n26.\n\nRubinstein, R.: Stochastic enumeration method for counting NP-hard problems. Methodol. Comput. Appl. Probab. 15(2), 249\u2013291 (2013)MathSciNetCrossRefMATH\n\n27.\n\nSomenzi, F.: CUDD: CU decision diagram package release 3.0.0 (2015)\n\n28.\n\nThurley, M.: sharpSAT \u2013 Counting models with advanced component caching and implicit BCP. In: Biere, A., Gomes, C.P. (eds.) SAT 2006. LNCS, vol. 4121, pp. 424\u2013429. Springer, Heidelberg (2006). doi:10.\u200b1007\/\u200b11814948_\u200b38 CrossRef\n\n29.\n\nTran, Q., Vardi, M.Y.: Groebner bases computation in boolean rings for symbolic model checking. In: MOAS, pp. 440\u2013445. ACTA Press (2007)\n\n30.\n\nTseitin, G.S.: On the complexity of derivation in propositional calculus. In: Siekmann, J.H., Wrightson, G. (eds.) Automation of Reasoning: 2: Classical Papers on Computational Logic, pp. 466\u2013483. Springer, Heidelberg (1983)CrossRef\n\n31.\n\nWei, W., Selman, B.: A new approach to model counting. In: Bacchus, F., Walsh, T. (eds.) SAT 2005. LNCS, vol. 3569, pp. 324\u2013339. Springer, Heidelberg (2005). doi:10.\u200b1007\/\u200b11499107_\u200b24 CrossRef\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_10\n\n# Input Space Partitioning to Enable Massively Parallel Proof\n\nAshlie B. Hocking1  , M. Anthony Aiello1  , John C. Knight1  and Nikos Ar\u00e9chiga2\n\n(1)\n\nDependable Computing, Charlottesville, Virginia, USA\n\n(2)\n\nToyota InfoTechnology Center, Mountain View, Virginia, USA\n\nAshlie B. Hocking (Corresponding author)\n\nEmail: ben.hocking@dependablecomputing.com\n\nM. Anthony Aiello\n\nEmail: tony.aiello@dependablecomputing.com\n\nJohn C. Knight\n\nEmail: john.knight@dependablecomputing.com\n\nNikos Ar\u00e9chiga\n\nEmail: narechiga@us.toyota-itc.com\n\nAbstract\n\nReal-world applications often include large, empirically defined discrete-valued functions. When proving properties about these applications, the proof naturally breaks into one case per entry in the first function reached, and again into one case per entry in the next function, and continues splitting. This splitting yields a combinatorial explosion of proof cases that challenges traditional proof approaches. While each proof case represents a mathematical path from inputs to outputs through these functions, the full set of cases is not available up front, preventing a straightforward application of parallelism. Here we describe an approach that slices the input space, creating a partition based on pre-computed mathematical paths such that each slice has only a small number of proof cases. These slices are amenable to massively parallel proof. We evaluate this approach using an example model of an adaptive cruise control, where proofs are conducted in a highly parallel PVS environment.\n\n## 1 Introduction\n\nReal-world applications from many domains, such as embedded control systems in the automotive domain, depend upon large discrete-valued functions (DVFs) [3, 4]. Frequently, these systems operate on physical processes for which no sufficiently accurate analytic models are known. For example, the air-fuel ratio of an internal-combustion engine must be accurately and precisely controlled to maximize fuel efficiency and minimize pollutants [5, 7]. Since there are factors for which no sufficiently general and accurate analytic models exist, the values used are determined empirically and represented in the control system as DVFs.\n\nAttempting to prove theorems representing safety properties for applications including DVFs results in a large number of proof cases. When multiple DVFs are combined mathematically, the number of proof cases multiplies combinatorially. For realistic applications, merely running a theorem prover sequentially on the proof cases may take decades \u2014 even moderate-size examples require months.\n\nTwo approaches to solving this problem naturally arise: (1) replace the DVFs with suitable abstractions and (2) exploit the parallelism inherent in the proof cases to reduce wall-clock time. This paper focuses on exploiting parallelism.\n\nMathematical interactions amongst distinct DVFs prevent trivial enumeration of proof cases up-front, inhibiting straightforward application of parallelism. Our approach, shown in Fig. 1, enables parallelism by carefully partitioning the input space of the application, yielding proof slices with small and approximately equal numbers of proof cases. We then apply simple optimizations across all slices, significantly reducing the per-slice proof time. Finally, we use a custom tool to invoke the theorem prover in parallel and generate tailored proof reports.\n\nWe applied our approach to a Simulink model for an example adaptive cruise control system in which the DVFs are represented as lookup tables (LUTs). The approach, which relies on our Simulink2PVS tool [2], yields a 67,000% speedup as compared to sequential proof of the 74,170 proof cases.\n\nFig. 1.\n\nOverview of the parallelization process\n\n## 2 Input Space Partitioning and Parallel Proof\n\nProving proof cases in parallel is an obvious approach to dealing a large number of proof cases [1]. If N proof cases can be completed in parallel, then the total speedup is up to a factor of N. Moreover, if N equals the number of proof cases, then the total time required is the time required to prove the slowest proof cases.\n\nUnfortunately, the complete set of proof cases is not available up-front, especially when proof cases arise from the interactions amongst entries in multiple DVFs. An obvious solution is to partition the input space of the application, yielding proof slices that each contain a subset of the proof cases. A na\u00efve partitioning might yield proof slices with input intervals of the same size.\n\nSuch a partitioning, however, is unlikely to result in small and equal numbers of proof cases per proof slice. Mathematical interactions amongst entries in the discrete-valued functions may lead to large numbers of proof cases for some slices and small numbers of proof cases for other slices, dramatically reducing the efficacy of parallelization. The input space must be carefully partitioned so that the proof slices have a small and equal number of proof cases. Our approach to generating proof slices is shown in Fig. 2.\n\nFig. 2.\n\nProof slice generation\n\n  1. 1.\n\nA map of DVF domain intervals is created for each DVF in the application. For LUTs, these intervals correspond to breakpoints delineating the table data.\n\n  2. 2.\n\nThe DVF domain intervals are traced back through the application to inputs, to create input domain intervals that form the basis of the input space partitioning. This process requires careful consideration of interactions among inputs. For example, if two inputs are added before entering a DVF, each input domain's upper and lower bounds must be considered. For the smaller input domain, the input domain interval size is governed by the smallest DVF domain interval size. For a given pair of input domain intervals, the DVF domain intervals relevant are those between the sum of the lower bounds and the sum of the upper bounds.\n\n  3. 3.\n\nOften each input does not affect only one DVF. When multiple DVFs are affected by an input, the intersection of domain intervals is used. For example, if one input directly feeds into two DVFs where the first has breakpoints [0, 3, 9, 12] and the second has breakpoints [0, 4, 9, 12], then the input domain intervals are 0\u20133, 3\u20134, 4\u20139, and 9\u201312.\n\n  4. 4.\n\nInput domain intervals are analyzed to determine if they should be collapsed. For example, if there are three input domain intervals such that the first and last create 1 proof case and the middle input domain interval creates 2 proof cases (for a total of 4 proof cases), combining the first and second input domain intervals might still only yield 2 proof cases. This process reduces the total number of proof slices without changing the maximum number of proof cases per slice.\n\nFig. 3.\n\nHypothetical model of an adaptive cruise control system\n\nWe instantiated this process for the example Simulink model shown in Fig. 3. The result of the input-space partitioning is captured in a Matlab script that generates slices of the original Simulink model. Simulink2PVS is executed for each model slice, resulting in a set of PVS theories where each theory represents a single proof slice.\n\nTo support running PVS in a highly parallel environment, we created a new tool called ParaPVS that: (a) manages the parallel PVS processes based upon control input, (b) generates custom reports, and (c) can limit the proof to a random subset of the cases (input slices).\n\n## 3 Reducing Per-Slice Proof Time\n\nMechanical theorem provers like PVS [6] are often applied to complex proofs. In these applications, the time required for automatic decision procedures to complete the proof is important, but is not a primary goal of the analyst. Instead, the primary goal is completing the proof; much of the time required is identifying a sequence of steps that enable the decision procedures to complete the proof. Once the proof is completed, optimization of the proof steps is not beneficial.\n\nIn our parallel application of PVS to proof slices, however, the per-slice proof time is important. Proving N proof slices in parallel offers up to a factor N speedup. Reducing the per-slice proof time by a factor of M offers up to a factor   speedup. In our experience, moreover, M can be a significant factor.\n\nWe explored two approaches to reduce per-slice proof time: (1) tailor the proof steps for each proof slice to reduce the time taken by automated decision procedures; and (2) increase the efficiency of the DVF representations.\n\nTo tailor the proof for each proof slice, we first used ParaPVS to complete proofs for a random sampling of proof slices. The initial proofs were completed automatically, e.g., by using PVS strategy (grind). We then analyzed results of a random sampling and manually developed more efficient proof strategies for the proof obligations that required the most time. While there is a time cost associated with this process ( 1 day), this cost is expected to be roughly constant. These proof strategies always terminate in calls to automatic decision procedures, ensuring that they are generally applicable across all proof slices.\n\nAdditionally, we identified an inefficiency in the DVF representation. For a generic DVF, the PVS specification describes the output of the DVF when the input is outside the breakpoints and also when the input is between the breakpoints. When the input space is partitioned, however, most of the resulting proof slices do not have inputs that lie outside the given breakpoints. To accommodate this, Simulink2PVS was modified to only specify the relevant breakpoint intervals given any lower and upper bounds present on the input data.\n\n## 4 Case Study\n\nWe assess the performance of our approach by application to the model shown in Fig. 3 [8]. This model has three DVFs represented as a 1-D, 2-D and 3-D LUT. The proof of the safety property for this model (that the projected relative distance is non-negative) requires that a total of 74,170 proof cases be completed.\n\nIdeally, the baseline for our assessment would be sequential proof of the safety property for this model. Unfortunately, PVS cannot complete this proof because the number of lines of text in the sequent grows exponentially as the composition of DVFs is expanded, quickly resulting in a sequent that cannot be manipulated.\n\nFig. 4.\n\nInput-space partitioning comparison\n\nTo provide a baseline, we first applied our input-space partitioning approach, generating a total of 26,880 proof slices. Our input-space partitioning approach is much more efficient than a uniform input-space partitioning approach that generates the same number of proof slices, as shown in Fig. 4. Our approach yields an average of 2.75 cases per slice and a total of 74,170 proof cases, whereas the uniform approach yields 16.04 and a total of over 430,000 proof cases, many of which are contained in more than one slice and are therefore redundant.\n\nWe then used ParaPVS to complete the proofs for all proof slices, using 44 PVS processes in parallel. All experiments were performed on a PowerEdge R730 Server with two 22-core 2.2 GHz Xeon hyper-threaded processors and 256 GB of main memory. The result was 98.4 days of CPU time, which we take as our baseline for further comparison. Table 1 presents our results; speedup in the table is the ratio of elapsed time to the baseline CPU time of 98.4 days, where CPU time is the sum of the amount of time spent by each process.\n\nUsing ParaPVS to complete 88 proof slices in parallel takes advantage of the test platform's hyper-threading, results in only a 1.13  speedup due to a diminishing return of increasing parallelism without additional computation resources. Applying the first per-slice optimization \u2014 proof-strategy improvement \u2014 yields a 9.78  speedup. Applying the second per-slice optimization \u2014 DVF-representation improvement \u2014 yields a 1.38  speedup. In total, the proof time is reduced from nearly 100 days to about 3.5 h, a 67,000% speedup.\n\nTable 1.\n\nTiming results | Baseline (44 Processes) | Hyper-threading (HT) (88 Processes) | HT + Imp strategies | HT + Imp strategies & representation\n\n---|---|---|---|---\n\nCPU time | 98.4 days | 173.6 days | 18.3 days | 13.2 days\n\nElapsed time | 53.7 h | 47.6 h | 4.87 h | 3.52 h\n\nAvg time per slice | 316.3 s | 558.2 s | 59.0 s | 42.7 s\n\nSpeedup | 4,400% | 4,960% | 48,500% | 67,000%\n\n## 5 Conclusion\n\nThis paper presents a novel approach to dealing with large numbers of proof cases: enabling parallelism through careful partitioning of the application input space, reducing the per-slice proof time, and leveraging a tool for parallel invocation of a theorem prover. Our results demonstrate a speedup of 67,000%.\n\nFor moderate-size examples, this approach works; we expect the approach to scale to handle proofs with up to   proof cases. Further speedup can be achieved by leveraging additional parallelism. Some real-world examples we have seen, however, have proofs with on the order of   or more proof cases. These proofs require additional techniques, such as replacement of the DVFs with abstractions that are simple enough to enable efficient proof, yet accurate enough to prove the property of interest. This approach is the subject of ongoing research.\n\nReferences\n\n1.\n\nBordeaux, L., Hamadi, Y., Samulowitz, H.: Experiments with massively parallel constraint solving. In: IJCAI, vol. 2009, pp. 443\u2013448 (2009)\n\n2.\n\nHocking, A.B., Aiello, M.A., Knight, J.C., Ar\u00e9chiga, N.: Proving critical properties of Simulink models. In: 2016 IEEE 17th International Symposium on High Assurance Systems Engineering (HASE), pp. 189\u2013196. IEEE (2016)\n\n3.\n\nHocking, A.B., Aiello, M.A., Knight, J.C., Shiraishi, S., Yamaura, M., Ar\u00e9chiga, N.: Proving properties of simulink models that include discrete valued functions. Technical report, SAE Technical Paper (2016)\n\n4.\n\nJeannin, J.B., Ghorbal, K., Kouskoulas, Y., Gardner, R., Schmidt, A., Zawadzki, E., Platzer, A.: Formal verification of ACAS X, an industrial airborne collision avoidance system. In: Proceedings of the 12th International Conference on Embedded Software, pp. 127\u2013136. IEEE Press (2015)\n\n5.\n\nJin, X., Deshmukh, J.V., Kapinski, J., Ueda, K., Butts, K.: Benchmarks for model transformations and conformance checking. In: 1st International Workshop on Applied Verification for Continuous and Hybrid Systems (ARCH) (2014)\n\n6.\n\nOwre, S., Rajan, S., Rushby, J.M., Shankar, N., Srivas, M.: PVS: combining specification, proof checking, and model checking. In: Alur, R., Henzinger, T.A. (eds.) CAV 1996. LNCS, vol. 1102, pp. 411\u2013414. Springer, Heidelberg (1996). doi:10.\u200b1007\/\u200b3-540-61474-5_\u200b91 CrossRef\n\n7.\n\nWu, C.W., Chen, R.H., Pu, J.Y., Lin, T.H.: The influence of air-fuel ratio on engine performance and pollutant emission of an si engine using ethanol-gasoline-blended fuels. Atmos. Environ. 38(40), 7093\u20137100 (2004)CrossRef\n\n8.\n\nYamaura, M., Ar\u00e9chiga, N., Shiraishi, S.: SimulinkVerificationBenchmark. https:\/\/\u200bgithub.\u200bcom\/\u200bToyota-ITC-SSD\/\u200bSimulinkVerifica\u200btionBenchmark\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_11\n\n# Compositional Model Checking of Interlocking Systems for Lines with Multiple Stations\n\nHugo Daniel Macedo1, 2  , Alessandro Fantechi1, 3  and Anne E. Haxthausen1\n\n(1)\n\nDTU Compute, Technical University of Denmark, Lyngby, Denmark\n\n(2)\n\nDepartment of Engineering, Aarhus University, Aarhus, Denmark\n\n(3)\n\nDINFO, University of Florence, Firenze, Italy\n\nHugo Daniel Macedo (Corresponding author)\n\nEmail: hdm@eng.au.dk\n\nAlessandro Fantechi\n\nEmail: alessandro.fantechi@unifi.it\n\nAnne E. Haxthausen\n\nEmail: aeha@dtu.dk\n\nAbstract\n\nIn the railway domain safety is guaranteed by an interlocking system which translates operational decisions into commands leading to field operations. Such a system is safety critical and demands thorough formal verification during its development process. Within this context, our work has focused on the extension of a compositional model checking approach to formally verify interlocking system models for lines with multiple stations. The idea of the approach is to decompose a model of the interlocking system by applying cuts at the network modelling level. The paper introduces an alternative cut (the linear cut) to a previously proposed cut (border cut). Powered with the linear cut, the model checking approach is then applied to the verification of an interlocking system controlling a real-world multiple station line.\n\nKeywords\n\nRailway interlockingCompositional verificationModel checking\n\nH.D. Macedo and A.E. Haxthausen\u2014The authors' research, conducted at DTU Compute, was funded by the RobustRailS project granted by Innovation Fund Denmark.\n\nA. Fantechi\u2014The author's research was funded by Villum Fonden.\n\n## 1 Introduction\n\nA railway is a mechanised means of mass movement where diverse vehicles take paths on a shared space\/network of tracks. Its main feature is guidance by mechanical contact of wheels on rails. Switch points are introduced to dynamically change the network topology allowing a vehicle to change tracks. Another distinctive feature is the poor braking response time given the physical properties of wheel on rail rolling friction. Such features impose hard restrictions on traffic, vehicle movements, and network configuration.\n\nTo regulate traffic, a railway signalling system [14] is deployed as an information processing\/transmission control loop. The system monitors the status of vehicles and track elements issuing network re-configuration and vehicle dispatch commands. The usually deployed monitoring scheme assumes that the network under control is divided into sections with train detection equipment and the existence of additional track side elements such as signals. The status (occupied or clear) of train detection sections, position of points, and configuration of track side elements (e.g. the setting of signals) is relayed to the control system. Issued decisions are then transmitted back to each element affecting its configuration (e.g.: issuing a change in point position) and vehicle movements (e.g.: sending dispatch commands to trains through signals).\n\nThe technology\/operation mode of signalling systems ranges from basic human communication, for instance telecommunications between stakeholders (human controllers, station masters, and vehicle operators), to advanced automation where computers are responsible for the whole control loop. Usually the different systems are used heterogeneously through a network. Several of the recent railway disasters were due to signalling system failures1 in networks lacking automated control.\n\nAutomated systems require railway engineers\/architects to define the appropriate operation requirements, for instance in the form of routes: each prescribing the path and the required network configuration for safe train traversal along that path. When the system issues a dispatch route command, the network must be reconfigured to comply with such requirements. In addition, the system must ensure the required configuration is maintained during the traversal. And above all, the command must not lead to a safety violation. For that purpose an interlocking system takes the responsibility of safely transform each dispatch decision into the control commands that must be executed before a proceed command to a train is issued.\n\nSuch responsibility demands for standards in the development of the software controlling interlocking systems. The standard CENELEC 50128 [1] labels such software with the highest safety integrity level (SIL4), and highly recommends the usage of formal methods and formal verification in its development process. However, full formal verification of interlocking systems demands heavy if not infeasible computational resources2, a phenomenon known as the state explosion problem. The pioneering research in model checking and in applying model checking to the domain of railways [3\u20135, 7, 9, 20] has developed techniques allowing the verification of models of the interlocking systems controlling larger and highly-complex networks. For example, abstraction techniques can be applied at the domain modelling level before the model checking is performed [9]. Other very efficient techniques applied for real world railways are bounded model checking [8] and k-induction [19]. The state explosion problem can also be tamed using techniques that allow a compositional approach to the model checking task [10]: the model checker must prove that assumptions imply the guarantees of each contract of the component. The authors report that this technique allowed the verification of a real world station.\n\nPursuing the same goal, in a previous work [11] we described a compositional approach to the verification of safety properties of models of interlocking systems controlling lines with multiple stations. The approach was developed in the context of the RobustRailS research project3 extending an automated method for the formal verification of the new Danish interlocking systems [17\u201319]. The idea in our previous work was based on the observation that decomposing a network at specific points which satisfy a given topological configuration (called border cut, see Fig. 1) generates sub-models corresponding to a complete partition of disjoint, connected components of the state space. It is therefore straightforward to combine the results of checking each sub-model to compute the result of checking the monolithic model. This is the case as the routes that can be set inside one sub-model are completely independent from those in the other sub-model.\n\nFig. 1.\n\nBorder cut dividing the network topology into two parts.\n\nWe have then realised that the border cut configuration does not occur in some real world networks, but instead a similar configuration (that we call linear cut, see Sect. 3.1), in which the routes of the two sub-models partially overlap, is frequent. Inspired by the already cited compositional approach [10], where a similar route overlap is taken into account, we have modified our compositional approach to consider linear cut configurations as the points at which to cut a network into sub-models. This requires a finer analysis of the interferences between sub-models, but again we show that checking each sub-model allows the result of checking the monolithic model to be computed, with significant verification time savings.\n\nThe exposition of our results is structured as follows: in Sect. 2 we recall some principles of railway interlocking systems and present the RobustRailS verification method and toolkit on the top of which we have built our compositional approach; in Sect. 3 we present our approach using a divide-and-conquer strategy: we introduce the linear cut and explain how our method first uses this to divide a network into sub-networks, then generates sub-models and finally conquer the model checking results for these. The soundness and completeness of the approach is proved in Sect. 4, and in Sect. 5 we report on the results given by the application of our compositional approach to a typical example and to a real-world line that nearly reached the capacity bounds of the adopted tools when proved as a whole. In both cases the results show that significant gains in verification effort can be achieved. Section 6 summarises the achieved results and discusses possible future extensions and improvements of the work presented here, especially in the direction of addressing interlocking systems that control large stations.\n\n## 2 The New Danish Route-Based Interlocking Systems\n\nIn this section we introduce briefly the new Danish interlocking systems and the domain terminology. The subsequent Sect. 2.1 explains different components of a specification of an interlocking system which is compatible with ERTMS\/ETCS Level 2 [2], and Sect. 2.2 explains how the safety properties are verified.\n\n### 2.1 Specification of Interlocking Systems\n\nThe specification of a given route-based interlocking system   consists of two components: (N) a railway network, and (R) an interlocking table.\n\nRailway Networks. A railway network in ETCS Level 2 consists of a number of track and track-side elements of different types4: linear sections, points, and marker boards. Figure 2 shows an example layout of a railway network having six linear sections (b10,t10,t12,t14,t20,b14), two points (t11,t13), and eight marker boards (mb10, ..., mb21). These terms, and their functionality within the railway network, will be explained in more detail in the next paragraphs.\n\nFig. 2.\n\nAn example railway network layout.\n\nA linear section is a section with up to two neighbours: one in the up end, and one in the down end. For example, the linear section t12 in Fig. 2 has t13 and t11 as neighbours at its up end and down end, respectively. In Danish railway's terminology, up and down denote the directions in which the distance from a reference location is increasing and decreasing, respectively. The reference location is the same for both up and down, e.g., an end of a line. For simplicity, in the examples and figures in the rest of this article, the up (down) direction is assumed to be the left-to-right (right-to-left) direction.\n\nA point can have up to three neighbours: one at the stem, one at the plus end, and one at the minus end, e.g., point t11 in Fig. 2 has t10, t12, and t20 as neighbours at its stem, plus, and minus ends, respectively. The ends of a point are named so that the stem and plus ends form the straight (main) path, and the stem and minus ends form the branching (siding) path. A point can be switched between two positions: PLUS and MINUS. When a point is in the PLUS (MINUS) position, its stem end is connected to its plus (minus) end, thus traffic can run from its stem end to its plus (minus) end and vice versa. It is not possible for traffic to run from plus end to minus end and vice versa.\n\nLinear sections and points are collectively called (train detection) sections, as they are provided with train detection equipment used by the interlocking system to detect the presence of trains. Note that sections are bidirectional, i.e., trains are allowed to travel in both directions (but not at the same time).\n\nAlong each linear section, up to two marker boards (one for each direction) can be installed. A marker board can only be seen in one direction and is used as reference location (for the start and end of routes) for trains going in that direction. For example, in Fig. 2, marker board mb13 is installed along section t12 for travel direction up. Contrary to legacy systems, there are no physical signals in ETCS Level 2, but interlocking systems have a virtual signal associated with each marker board. Virtual signals play a similar role as physical signals in legacy systems: a virtual signal can be OPEN or CLOSED, respectively, allowing or disallowing traffic to pass the associated marker board. However, trains (more precisely train drivers) do not see the virtual signals, as opposed to physical signals. Instead, the aspect of virtual signals (OPEN or CLOSED) is communicated to the onboard computer in the train via a radio network. For simplicity, the terms virtual signals, signals, and marker boards are used interchangeably throughout this paper.\n\nInterlocking Tables. An interlocking system constantly monitors the status of track-side elements, and sets them to appropriate states in order to allow trains travelling safely through the railway network under control. The new Danish interlocking systems are route-based. A route is a path from a source signal to a destination signal in the given railway network. A route is called an elementary route if there are no signals that are located between its source signal and its destination signal, and that are intended for the same direction as the route.\n\nIn railway signalling terminology, setting a route denotes the process of allocating the resources \u2013 i.e., sections, points, and signals \u2013 for the route, and then locking it exclusively for only one train when the resources are allocated.\n\nAn interlocking table specifies the elementary routes in the given railway network and the conditions for setting these routes. The specification of a route   and conditions for setting   include the following information, that will be needed while verifying the expected properties:\n\n  *   \u2013 the source signal of  ,\n\n  *   \u2013 the destination signal of  ,\n\n  *   \u2013 the list of sections constituting  's path from   to  ,\n\n  *   \u2013 a list of the sections in  's overlap 5, i.e., the buffer space after   that would be used in case trains overshoot the route's path,\n\n  *   \u2013 a map from points6 used by   to their required positions,\n\n  *   \u2013 a set of protecting signals used for flank or front protection [14] for the route, and\n\n  *   \u2013 a set of conflicting routes which must not be set while   is set.\n\nTable 1 shows an excerpt of an interlocking table for the network shown in Fig. 2. Each row of the table corresponds to a route specification. The column names indicate the information of the route specifications that these columns contain. As can be seen, one of the routes has id 1a, goes from mb10 to mb13 via three sections t10, t11 and t12 on its path, and has no overlap. It requires point t11 (on its path) to be in PLUS position, and point t13 (outside its path) to be in MINUS position (as a protecting point). The route has mb11, mb12 and mb20 as protecting signals, and it is in conflict with routes 1b, 2a, 2b, 3, 4, 5a, 5b, 6b, and 7.\n\nTable 1.\n\nExcerpt of the interlocking table for the network of Fig. 2. The overlap column is omitted as it is empty for all routes. (p = PLUS, m = MINUS)\n\nId | src | dst | path | points | signals | conflicts\n\n---|---|---|---|---|---|---\n\n1a | mb10 | mb13 | t10;t11;t12 | t11:p;t13:m | mb11;mb12;mb20 | 1b;2a;2b;3;4;5a;5b;6b;7\n\n.. | ... | ... | ... | ... | ... | ...\n\n7 | mb20 | mb11 | t11;t10 | t11:m | mb10;mb12 | 1a;1b;2a;2b;3;5b;6a\n\n### 2.2 The RobustRailS Verification Method and Toolkit\n\nThis section describes shortly the RobustRailS verification method and toolkit that we use as verification technology. For detailed information, see [6, 16\u201319].\n\nThe method for modelling and verifying railway interlocking systems is a combination of formal methods and a domain-specific language (DSL) to express network diagrams and interlocking tables. According to this, a toolkit consisting of the following components is provided.\n\n  * An editor and static checker [6] for editing and checking that a DSL specification   (describing an interlocking system) follows certain well-formedness rules.\n\n  * The bounded model checker of RT-Tester [12, 15] which we use for performing k-induction proofs as explained in [19].\n\n  * Generators transforming a DSL specification   of an interlocking model into inputs to the model checker:\n\n    * a behavioural model   (a Kripke structure) of the interlocking system and its environment, defining the state space and possible state transitions, and\n\n    * the required safety properties given as a state invariant (expressing that there are no hazards like train collisions). The invariant is a conjunction of high-level safety properties   over the variables of the interlocking system model. An  -property is satisfied by an interlocking specification I, written as  , if it is valid in the model of the interlocking system  .   is valid in the model   can be written as  , where   is either the subset of all linear sections or all point sections in N and   is a section property related to  .\n\nFor details of the models and properties, see [19].\n\nThe tools can be used to verify the design of an interlocking system in the following steps:\n\n  1. 1.\n\nA DSL specification of the configuration data (a network layout and its corresponding interlocking table) is constructed in the following order:\n\n    1. (a)\n\nfirst the network layout,\n\n    2. (b)\n\nand then the interlocking table (this is either done manually or generated automatically from the network layout).\n\n  2. 2.\n\nThe static checker verifies whether the configuration data is statically well-formed according to the static semantics [18] of the DSL.\n\n  3. 3.\n\nThe generators instantiate a generic behavioural model and generic safety properties with the well-formed configuration data to generate the model input of the model checker and the safety properties.\n\n  4. 4.\n\nThe generated model instance is then checked against the generated properties by the bounded model checker performing a k-induction proof.\n\nThe static checking in step (2) is intended to catch errors in the network layout and interlocking table, while the model checking in step (4) is intended to catch safety violations in the control algorithm of the instantiated model.\n\nThe tool-chain associated with the method has been implemented using the RT-tester framework [12, 15]. The bounded model checker in RT-tester uses the SONOLAR SMT solver [13] to compute counterexamples showing the violations of the base case or induction step. Using this SMT solver rather than a SAT solver allowed us to use very efficient bit-vector operations.\n\nAs proof technique in step 4, we used k-induction as this was the most promising (cf. the comparison with other techniques in [19]), however, our compositional method could also be used in combination with other proof techniques.\n\n## 3 Method\n\nWe now proceed to describe the details of how we use the locality features of railway networks to verify large interlocking systems in a compositional manner. The idea is to decompose the model into smaller models that are separately verified for safety properties, and to show that under given conditions such separate verifications are enough to guarantee that the whole network satisfies the safety properties as well. We show that a multi-station interlocking system satisfies such conditions if a suitable (and natural) divide strategy is applied. The strategy provides a completely automated method to verify this class of interlocking systems.\n\n### 3.1 Linear Cuts on Multiple Station Lines\n\nThe typical pattern of a railway is a line connecting multiple stations. Without loss of generality, we can consider a line, denoted  , corresponding to a network diagram consisting of two stations denoted by   and  , interconnected by one or several linear sections. More complex multi-station layouts can be obtained by concatenation of such elementary lines.\n\nTo divide multiple station lines we search for an interface  , which we define as a linear section7 with an up and down marker board subject to certain conditions described further below. A cut is then applied producing two sub-networks:\n\n  * The   network defined as the   station and the interface  . An entry marker board is added on the up ( ) side of this network.\n\n  * The   network defined as the   station and the interface  . An entry marker board is added on the down ( ) side of this network.\n\nWith the required configuration of marker boards on the interface and the addition of entry marker boards, the two sub-networks fulfil the required marker board configuration at borders of a railway network.\n\nFig. 3.\n\nThe multiple station line pattern where sections T2 and T3 connect two stations A and B.\n\nFig. 4.\n\nResulting   network.\n\nFig. 5.\n\nResulting   network.\n\nFor example in Fig. 3 we depict a highlight of a line network diagram in which T2 connects two stations   and  . In the example   contains element P2 and its down neighbours and   contains elements T3 and its up neighbours. Linear section T2 configures a candidate to a linear cut, which results in the two networks illustrated in Figs. 4 and 5, where the linear section (T2) is kept in both as it defines the interface  .\n\nTo guarantee that the compositional approach (to be described in next subsection) is sound, the interface   must satisfy the following linear cut conditions (LCCs):\n\n  1. 1.\n\nthere is an up marker board on the upper part of the interface section   and a down marker board on the down part;\n\n  2. 2.\n\nthe two networks (  and  ) resulting from the cut described above must only have   in common;\n\n  3. 3.\n\nno flank\/front protection requirements for routes in the up (down) sub-network   ( ) depends on elements outside   ( ), except for routes in down (up) direction with destination marker board mounted in   (i.e. routes that end at the entrance of the   ( ) station).\n\n### 3.2 A Compositional Model Checking Approach\n\nIn the division process a network is inspected in search for regions that present candidate patterns to be cut, that is, linear sections of the form T2 of Fig. 3. The search is then recursively applied to the created sub-networks, until either no more suitable cut points can be found or the sub-networks produced are already sufficiently small.\n\nThe linear cut allows to automate the compositional verification of multi-station interlocking systems by dividing the network in sub-networks by means of four steps:\n\n  1. 1.\n\nSearch the network for suitable interfaces satisfying the LCCs. For each interface instantiate the   pattern and divide recursively the network into sub-networks as described in Subsect. 3.1.\n\n  2. 2.\n\nFor each of the resulting sub-networks  , complete the specification of a sub-interlocking system using the interlocking table generator mentioned in item 1 of Sect. 2.2. The resulting specifications are called the   interlocking specifications.\n\n  3. 3.\n\nStatically check each of the resulting   specifications and generate the models   (called the   models) and properties to be verified using the checker and generator mentioned in item 2 and item 3, respectively, of Sect. 2.2.\n\n  4. 4.\n\nVerify the   models following item 4 of Sect. 2.2.\n\n## 4 Soundness and Completeness of the Approach\n\nTo prove that the decomposition approach is sound and complete one needs to show that the result of checking any of the high-level safety properties   (as defined in Subsect. 2.2) for the   and   sub-models implies the result of checking the same property   for the   monolithic model, and vice versa. (The extension to more than one sub-model is then straightforward). First we prove soundness and then completeness.\n\n### 4.1 Soundness\n\nSoundness can be rephrased in terms of  's related invariant  . If the invariant holds for every section in the   interlocking specification and for every section in the   interlocking specification we can conclude the whole interlocking specification   satisfies  , meaning its related invariant   holds for every section in the   interlocking specification.\n\nGiven that  -properties are universal quantifications over the sets of linear\/point sections8, a natural strategy to produce such a proof is to decompose the property in terms of the disjoint sets of sections defining the   and   stations, and the interface  . That is, the   related property   holds for every section in the   network, if   holds for every section of the network containing the   station, for the interface section  , and for every section of the network containing the   station. In mathematical terms, if we denote by   the set of sections of an interlocking specification  , it corresponds to rewrite the formulation of the satisfiability of   by the model of  , i.e.  , into:\n\n(1)\n\nThe aforementioned rewrite leads one to decompose the proof into three lemmas. The first two relate the local properties satisfied by   and   and similarly by   and  .\n\nLemma 1\n\nConsider a line interlocking specification with A and B stations satisfying the   pattern, the   and   interlocking specifications resulting from the application of a linear cut, a high-level safety property   and its related invariant  . We relate the outcome of evaluating   and   through the following implication:\n\nProof\n\nBy contradiction. Let us assume that in   the property   holds for every section in   and there is a section e in   such that   does not hold in the   model. Then, as detailed in [19], there is a state s of  , where   is false, reachable from the initial state by a sequence of transitions (trace) that we denote as  . The state s is characterised by an assignment of values to a vector of variables referring to the elements (sections, signals etc.) of the network. Due to the linear cut definition, such variables refer to elements that are in the   or in the   network. Any transition in   changes such assignments: following   we can find in   a corresponding trace   that makes the same changes to the variables in the state vector of  , skipping those transitions in   that do not change variables in  . The trace   therefore ends in a reachable state   in which the assignments to variables in   are the same of those of s, and hence   does not hold, contradicting the hypothesis.\n\nLemma 2\n\nThe dual case of Lemma 1. Given by substitution of the interlocking specification   by  ,   by   and A by B.\n\nThe two lemmas above allow us to transfer checking results on the sections of the two stations   and   to the check of the whole line; however, we still miss the contribution of the interface section, which is copied in both the   and   networks. The next lemma has this purpose.\n\nLemma 3\n\n(Interfacing lemma) Consider the   interlocking specification, the   interlocking specification and the   interlocking specification resulting from applying a linear cut, a high-level safety property   and its related invariant  . For the interface   we have:\n\nProof\n\nBy contradiction. Assume   is true in both the   and   models, but false in the   model. Furthermore assume s is the state of   falsifying  . Thus, there is a trace   in   leading from the model's initial state to the variable assignment in s. Similarly to what said for Lemma 1 it is then possible to form a trace   in   and a trace   in   from the initial states to two states   and   such that the state vector has an assignment falsifying   in   or  . Thus arriving at a contradiction.\n\nGiven the proofs of Lemmas 1, 2, and 3, one is in the position to relate the result of the monolithic checking of the   interlocking specification with the results of the compositional approach in which the   and   interlocking specifications are checked.\n\nTheorem 1\n\n(Soundness) Consider the   interlocking specification, the   and   interlocking specifications resulting from the application of a linear cut, and a high-level safety property  . Then\n\nwhich means that if   is satisfied by   and by  , one can conclude that it is satisfied by  .\n\nProof\n\nAssume   is true, our goal is to prove  , i.e. (cf. Formula (1)):   which is equivalent to:\n\nApplying Lemma 1, Lemma 2, and Lemma 3, one obtains:\n\nwhich is equivalent to:  .\n\n### 4.2 Completeness\n\nThe following theorem states that the method is complete.\n\nTheorem 2\n\n(Completeness) Consider the   interlocking specification, the   and   interlocking specifications resulting from the application of a linear cut at an interface  , and a high-level safety property  . Assume that for each internal section b of   which appears as a border section in one of the subnetworks  \/  (i.e. b is an  \/  neighbour to  ), there exists a finite trace prefix in   leading a train to b from some outer border of the  \/  network without changing any of the variables that only exist in  \/ . Then\n\nwhich means that if   is dissatisfied by   or by  , one can conclude that it is dissatisfied by  .\n\nProof\n\nAssume that   is dissatisfied by  \/ , and let t be the associated counter example (trace). t can now be lifted to a counter example   in   by first extending the states of t with the additional variables of   mapped to their initial states, and then, if the t trace involves a train entering   from the border b at the  \/  side of  , this extended trace should be preceded by a trace prefix from   leading the train to b from some outer border of  \/  without changing any of the variables that only exist in  \/ .\n\n## 5 Experiments\n\nIn this section we present the results of applying our decomposition approach to an invented line ( ) with two stations and to a real world case study with eight stations. Both lines exhibit the pattern of a line with multiple stations which cannot be divided using the border cut defined in our previous work [11].\n\n### 5.1 Experimental Approach\n\nFor each of the case studies, we put the method described in Sect. 3.2 in practice by first obtaining sub-networks (in XML format) according to the divide strategy. Then for each sub-network, we use the RobustRailS verification tool [17\u201319] to generate a model instance and safety properties, and then to verify that the generated safety properties hold in the model.\n\nWe also use the RobustRailS verification tool to monolithically verify the railway network (without decomposing it) such that we can compare verification metrics for the compositional approach with verification metrics for the monolithic approach.\n\nWhile verifying each instance we measure (in seconds) the real time taken to obtain the verification result and what was the total memory (in MB) used by the verification tool. In addition we collect some statistics about the network and model instances as presented in Tables 2 and 3. Such statistics provide a basis for complexity comparison and include: the number of linear and point sections, the number of marker boards (signals), routes, and the potential state space dimension (in logarithmic scale).\n\nAll the experiments for both case studies have been performed on a machine with an Intel(R) Xeon(R) CPU E5-1650 @ 3.6 GHz, 125 GB RAM, and running Linux 4.4.0\u201347.x86_64 kernel.\n\n### 5.2 Two Stations Case Study\n\nLet us consider as an example the railway line of Fig. 6 denoted  . In it we find two stations: the set of elements   defines the   station, whereas the set   defines the   station. The linear section T2 connects   and  .\n\nFig. 6.\n\n  Network\n\nThe RobustRailS tool allows the automatic generation of interlocking tables from a given network layout, and for the   network it generates 24 routes. A thorough inspection of the table shows that routes can be categorised into three blocks, partitioning the network into two disjoint networks and a common interface (linear section T2). The inspection of the   route table reveals that it makes sense to divide the   network into two networks, choosing the linear section T2 as an interface between a network containing the   station and a network containing the   station.\n\nAs planned, we have verified the model both compositionally and monolithically; Table 2 shows the verification metrics, first separately for the   and   networks. The metrics for the compositional analysis ( ) are obtained by summing the corresponding metrics for the networks, except for the state space and the memory usage, which are calculated as the respective maximum between the two sub-networks. The table also shows the verification metrics for the monolithic analysis of the network ( ).\n\nIn all cases the verification tool succeeded to verify the safety properties. As it can be observed the verification time and memory usage of the compositional analysis ( ) is, as expected, much better than for the monolithic analysis of ( ): The verification time is approximately three times faster and the memory usage (234 MB) is more than halved.\n\nMoreover, if the verification for the   and   networks were run in parallel, our compositional approach would achieve a running time of just 16 s. Even though memory consumption would increase in this case, the parallelisation would still use less memory resources (the sum of individual memory usages: 420 MB) than the monolithic case (556 MB).\n\nTable 2.\n\nVerification metrics for the   case study. | Linears | Points | Signals | Routes |   | Time | Memory\n\n---|---|---|---|---|---|---|---\n\n  | 6 | 2 | 9 | 13 | 38 | 10 | 186\n\n  | 7 | 2 | 9 | 13 | 41 | 16 | 234\n\n  | 13 | 4 | 18 | 26 | 41 | 26 | 234\n\n  | 10 | 4 | 14 | 24 | 68 | 68 | 556\n\n### 5.3 EDL: The Real World Case Study\n\nThe EDL is the first regional line in Denmark to be commissioned in the Danish Signalling Programme. The line spreads over 55 km from the station in Roskilde to N\u00e6stved's station, with 8 small to medium sized stations, and the statistics shown in Table 3 gives insight into its composition.\n\nWith the definition of the linear cut it is now directly possible to cut the EDL network into eight sub-networks, each corresponding to an EDL station. Six of the sub-networks (Gadstrup, Havdrup, Herf\u00f8lge, Tureby, Haslev, and Holme-Olstrup) are of fairly similar complexity, while two (L. Skensved and K\u00f8ge) are more complex. With such a division we decompose the verification of the interlocking system for EDL into the separate verification of the eight stations.\n\nAs in the   case study, the verification tool succeeded to verify the safety properties for the eight sub-interlocking systems and the verification metrics show that for the compositional analysis (see the entry Compositional in Table 3) the verification time is approximately a third (approx. 1.5 h) of that for the monolithic analysis (approx. 4 h). Furthermore, the compositional analysis uses less than half of the memory resources (9243 MB) because we only need as much as the maximum value of memory used to verify each sub-interlocking. Although we are still far from the memory bounds of the used machine in this experiment, such memory reduction is important when checking real world interlocking systems where a single station with a complex network may quickly exhaust the amount of memory available. As already discussed, if run in parallel our compositional approach would achieve a much better running time. Even though memory consumption would increase, the parallelisation would only use roughly 50% (the sum of the individual memory usages: 11711 MB) of the memory resources than the monolithic case. The parallel verification time is dominated by the time to verify the K\u00f8ge station, which is the largest of the network: actually, the internal layouts of the stations do not present candidates for linear cuts, so they are not further decomposed in this approach.\n\nTable 3.\n\nVerification metrics for the EDL case study. | Linears | Points | Signals | Routes |   | Time | Memory\n\n---|---|---|---|---|---|---|---\n\nGadstrup | 14 | 3 | 16 | 21 | 73 | 62 | 567\n\nHavdrup | 10 | 2 | 12 | 14 | 51 | 19 | 264\n\nL. Skensved | 15 | 3 | 16 | 21 | 75 | 72 | 616\n\nK\u00f8ge | 58 | 23 | 62 | 75 | 337 | 5170 | 9243\n\nHerf\u00f8lge | 6 | 2 | 10 | 14 | 39 | 13 | 210\n\nTureby | 6 | 2 | 10 | 14 | 39 | 11 | 203\n\nHaslev | 10 | 2 | 12 | 14 | 51 | 14 | 256\n\nHolme-Ol | 12 | 2 | 16 | 20 | 63 | 22 | 352\n\nCompositional | 131 | 39 | 154 | 193 | 337 | 5383 | 9243\n\nEDL | 110 | 39 | 126 | 179 | 651 | 14352 | 22476\n\n## 6 Conclusion\n\nWe have presented a compositional approach to the problem of model checking large railway interlocking systems. This approach, built on top of tools providing support for efficient verification of this kind of systems, is tailored to the characteristics of multi-station interlocking systems, that is, systems that control a line connecting several stations. The approach extends our previous work [11], by a new, realistic division process which can be applied in cases where the previous, simpler approach is not applicable. The approach has successfully been applied to a real world line with eight stations in which case it achieved significant improvements in verification time and memory usage compared to the previous non compositional verification process.\n\nIn order to compositionally address more general network layouts the linear cut concept put forward in this paper needs to be generalised. An immediate extension is to combine it with the border cut concept introduced in our previous work [11]: such interesting strategy should not demand any special efforts beyond the practicalities involved. But the generalisation of the concepts to the application to interlocking systems controlling large stations, which exhibit highly complex and densely connected networks, requires a novel cut concept, which is the subject of some of our new, ongoing work. In that case the main source of difficulty stems from the fact that a division of a large station into smaller areas implies that some routes have to go through the operated cuts, a situation that is not exhibited by the multiple station lines we have addressed till now. Actually, we have seen that the interface elements in the linear cut have the destination signals of routes coming from both sides of the interface: in the cut the added markerboard behaves as an abstraction of the removed subnetwork. We are currently studying a similar abstraction principle to support the more complex cut configuration required to address large station interlocking systems.\n\nAnother topic for future work could be to formalise the proofs done in Sect. 4 by using a proof assistant like Coq or Isabelle.\n\nAcknowledgement\n\nThe authors would like to express their gratitude to Jan Peleska and Linh Hong Vu with whom Anne Haxthausen developed the RobustRailS verification method and tools used in the presented work.\n\nReferences\n\n1.\n\nCENELEC European Committee for Electrotechnical Standardization. EN 50128:2011 - Railway applications - Communications, signalling and processing systems - Software for railway control and protection systems (2011)\n\n2.\n\nEuropean Railway Agency. ERTMS - System Requirements Specification - UNISIG SUBSET-026, April 2014. http:\/\/\u200bwww.\u200bera.\u200beuropa.\u200beu\/\u200bDocument-Register\/\u200bPages\/\u200bSet-2-System-Requirements-Specification.\u200baspx\n\n3.\n\nFerrari, A., Magnani, G., Grasso, D., Fantechi, A.: Model checking interlocking control tables. In: Schnieder, E., Tarnai, G. (eds.) FORMS\/FORMAT 2010 - Formal Methods for Automation and Safety in Railway and Automotive Systems, pp. 107\u2013115. Springer, Heidelberg (2010)\n\n4.\n\nHvid Hansen, H., Ketema, J., Luttik, B., Mousavi, M.R., Pol, J., Santos, O.M.: Automated verification of executable UML models. In: Aichernig, B.K., Boer, F.S., Bonsangue, M.M. (eds.) FMCO 2010. LNCS, vol. 6957, pp. 225\u2013250. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-25271-6_\u200b12 CrossRef\n\n5.\n\nHaxthausen, A.E., Bliguet, M., Kj\u00e6r, A.A.: Modelling and verification of relay interlocking systems. In: Choppy, C., Sokolsky, O. (eds.) Monterey Workshop 2008. LNCS, vol. 6028, pp. 141\u2013153. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-12566-9_\u200b8 CrossRef\n\n6.\n\nHaxthausen, A.E., \u00d8stergaard, P.H.: On the use of static checking in the verification of interlocking systems. In: Margaria, T., Steffen, B. (eds.) ISoLA 2016. LNCS, vol. 9953, pp. 266\u2013278. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-47169-3_\u200b19 CrossRef\n\n7.\n\nHaxthausen, A.E., Peleska, J., Kinder, S.: A formal approach for the construction and verification of railway control systems. Form. Asp. Comput. 23(2), 191\u2013219 (2011)CrossRefMATH\n\n8.\n\nHaxthausen, A.E., Peleska, J., Pinger, R.: Applied bounded model checking for interlocking system designs. In: Counsell, S., N\u00fa\u00f1ez, M. (eds.) SEFM 2013. LNCS, vol. 8368, pp. 205\u2013220. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-05032-4_\u200b16 CrossRef\n\n9.\n\nJames, P., Moller, F., Nguyen, H.N., Roggenbach, M., Schneider, S., Treharne, H.: Techniques for modelling and verifying railway interlockings. Int. J. Softw. Tools Technol. Transf. 16(6), 685\u2013711 (2014)CrossRef\n\n10.\n\nLimbr\u00e9e, C., Cappart, Q., Pecheur, C., Tonetta, S.: Verification of railway interlocking - compositional approach with OCRA. In: Lecomte, T., Pinger, R., Romanovsky, A. (eds.) RSSRail 2016. LNCS, vol. 9707, pp. 134\u2013149. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-33951-1_\u200b10\n\n11.\n\nMacedo, H.D., Fantechi, A., Haxthausen, A.E.: Compositional verification of multi-station interlocking systems. In: Margaria, T., Steffen, B. (eds.) ISoLA 2016. LNCS, vol. 9953, pp. 279\u2013293. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-47169-3_\u200b20 CrossRef\n\n12.\n\nPeleska, J.: Industrial-strength model-based testing - state of the art and current challenges. In: Petrenko, A.K., Schlingloff, H. (eds.) 8th Workshop on Model-Based Testing, Rome, Italy, vol. 111, Electronic Proceedings in Theoretical Computer Science, pp. 3\u201328. Open Publishing Association (2013)\n\n13.\n\nPeleska, J., Vorobev, E., Lapschies, F.: Automated test case generation with SMT-solving and abstract interpretation. In: Bobaru, M., Havelund, K., Holzmann, G.J., Joshi, R. (eds.) NFM 2011. LNCS, vol. 6617, pp. 298\u2013312. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-20398-5_\u200b22 CrossRef\n\n14.\n\nTheeg, G., Vlasenko, S.V., Anders, E.: Railway Signalling & Interlocking: International Compendium. Eurailpress, Hamburg (2009)\n\n15.\n\nVerified Systems International GmbH. RT-Tester Model-Based Test Case and Test Data Generator - RTT-MBT - User Manual (2013). http:\/\/\u200bwww.\u200bverified.\u200bde\n\n16.\n\nVu, L.H., Haxthausen, A.E., Peleska, J.: A domain-specific language for railway interlocking systems. In: Schnieder, E., Tarnai, G. (eds.) FORMS\/FORMAT 2014\u201310th Symposium on Formal Methods for Automation and Safety in Railway and Automotive Systems, pp. 200\u2013209. Institute for Traffic Safety and Automation Engineering, Technische Universit\u00e4t Braunschweig (2014)\n\n17.\n\nVu, L.H., Haxthausen, A.E., Peleska, J.: Formal modeling and verification of interlocking systems featuring sequential release. In: Artho, C., \u00d6lveczky, P.C. (eds.) Formal Techniques for Safety-Critical Systems. Communications in Computer and Information Science, vol. 476, pp. 223\u2013238. Springer International Publishing, Cham (2015)\n\n18.\n\nVu, L.H.: Formal development and verification of railway control systems. In the context of ERTMS\/ETCS Level 2. Ph.D. thesis, Technical University of Denmark, DTU Compute (2015)\n\n19.\n\nLinh Hong, V., Haxthausen, A.E., Peleska, J.: Formal modelling and verification of interlocking systems featuring sequential release. Sci. Comput. Program. 133, 91\u2013115 (2017)CrossRef\n\n20.\n\nWinter, K.: Symbolic model checking for interlocking systems. In: Flammini, F. (ed.) Railway Safety, Reliability, and Security: Technologies and Systems Engineering. IGI Global (2012)\n\nFootnotes\n\n1\n\nFor instance the July 2016 rural Southern-Italy head-on train collision would have been prevented if automated train detection equipment had been in place.\n\n2\n\nA model of the interlocking for a fairly simple network may lead to the potential inspection of an astronomical number of states (e.g. in the order of   [11]).\n\n3\n\nIn Denmark, in the years 2009\u20132021, new interlocking systems that are compatible with the standardised European Train Control System (ETCS) Level 2 [2] will be deployed in the entire country within the context of the Danish Signalling Programme. In the context of the RobustRailS project accompanying the signalling programme on a scientific level, the approach is applied to the new systems.\n\n4\n\nHere we only show types that are relevant for the work presented in this article.\n\n5\n\nAn overlap section is needed when, for the short distance of a marker board to the end of the section, there is the concrete danger that a braking train stops after the end of the section, e.g. in adverse atmospheric conditions.\n\n6\n\nThese points include points in the path and overlap, and points used for flank and front protection. Sometimes it is required to protect tracks occupied by a train from another train not succeeding to brake in due space. For details about flank and front protection, see [14].\n\n7\n\nThe extension of the interface to divide networks with parallel tracks is straightforward and defines the interface as a set   of linear sections dividing a network into disjoint and valid connected sub-networks.\n\n8\n\nIn the following, for simplicity, we just quantify over the whole set of sections of a network, intending that we are referring either only to point or only to linear sections according to the nature of  .\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_12\n\n# Modular Model-Checking of a Byzantine Fault-Tolerant Protocol\n\nBenjamin F. Jones1  and Lee Pike1\n\n(1)\n\nGalois, Inc., Portland, Oregon 97204, USA\n\nBenjamin F. Jones (Corresponding author)\n\nEmail: bjones@galois.com\n\nLee Pike\n\nEmail: leepike@galois.com\n\nAbstract\n\nWith proof techniques like IC3 and k-induction, model-checking scales further than ever before. Still, fault-tolerant distributed systems are particularly challenging to model-check given their large state spaces and non-determinism. The typical approach to controlling complexity is to construct ad-hoc abstractions of faults, message-passing, and behaviors. However, these abstractions come at the price of divorcing the model from its implementation and making refactoring difficult. In this work, we present a model for fault-tolerant distributed system verification that combines ideas from the literature including calendar automata, symbolic fault injection, and abstract transition systems, and then use it to model-check various implementations of the Hybrid Oral Messages algorithm that differ in the fault model, timing model, and local node behavior. We show that despite being implementation-level models, the verifications are scalable and modular, insofar as isolated changes to an implementation require isolated changes to the model and proofs. This work is carried out in the SAL model-checker.\n\n## 1 Introduction\n\nFault-tolerant distributed systems are famously complex, yet are the backbone of life-critical systems, such as commercial avionics. Consequently, this class of systems demands high-assurance of correct design and implementation. Formal verification can help provide that assurance.\n\nThe verification of this class of systems has usually been at the algorithmic level, eliding details about a concrete implementation. Historically, it has relied on formal models verified by interactive theorem-proving [1\u20134]. If formal verification is to be introduced into the workflow of system designers, though, we need more automated methods that scale for implementation-level models. (Mostly) automated proof techniques are required to reduce the need for specialized verification expertise. We also need programmatic verification of implementations. System designers create software and hardware implementations to test, simulate, and deploy. Discrepancies between implementations and algorithmic models can arise if the latter is abstracted too much from the former [5], particularly if those abstractions are ad-hoc and system specific. Furthermore, as implementations are modified to explore the design space, it is easy for the formal model and the implementation to become inconsistent, so the verification is no longer about the system deployed.\n\nThere are at least two classes of abstractions that separate protocol-level models of fault-tolerant distributed algorithms from their implementations. One is to intertwine the environmental model with the system description. For example, the behaviors of nodes are naturally specified as a transition system in which transitions are guarded by the node's fault state. But faults are part of the environment; an implementation does not typically use its own fault status to choose actions! Another class of abstractions is used to simplify models. For example, message passing might be abstracted with shared state, or a node's local behavior is elided and instead, the output is constrained by a specification of the behavior.\n\nIn this paper, we present a fault-tolerant distributed systems model, and use that model to verify several variant implementations of the Byzantine fault-tolerant Hybrid Oral Messages algorithm ( ) [3]. The model combines various ideas from the literature to build scalable and modular formal models suitable for infinite-state model-checking, and it reduces the need for ad-hoc abstractions and optimizations. In Sect. 2, we present the important aspects of the model, including calendar automata, originally developed by Dutertre and Sorea [6], symbolic fault-injection, and abstract transition systems for verification.\n\nWe use the model to verify implementation-level models of   in which message passing is explicit, nodes are not forced to execute strictly synchronously, and voting is explicit. In short, the models corresponds closely with an implementation of the algorithm. In Sect. 3, we first describe  , then an implementation of it that uses the Boyer-Moore Fast Majority Vote algorithm (Fast MJRT) [7]. We then describe a set of modular invariants, such that the invariants only concern specific aspects of the model (e.g., faults, local node behavior, or the passage of time). The verification is interesting in its own right, as it is the first fully parametric (on the number of nodes) model-checked implementation of the algorithm.\n\nIn Sect. 4, we first show that despite being implementation-level, the model is scalable. Developing invariants requires some user guidance, and isolated changes to an implementation should require isolated modifications to the model and proof. To demonstrate this, we modify the   implementation along the dimensions of faults (by adding an omissive-asymetric fault type [8]), time (by making a time-triggered model), and local behavior (by changing the majority vote to a mid-value selection) and show that in each case, the modifications are small and modular.\n\nOur primary contributions are (1) a model-checking verification of an   implementation, and (2) demonstrating that our modeling paradigm allows for modular verification. Additionally, the idea of symbolic fault injection (Sect. 2.2) is novel.\n\nFinally, in Sect. 5 we describe related work, and we make concluding remarks in Sect. 6.\n\nThe models and experiments reported herein can be found online.1\n\n## 2 Formal Model\n\nHere we describe our formal model specialized for fault-tolerant distributed systems. The model draws on three principal abstractions: calendar automata, symbolic fault injection, and abstract transition systems; we describe each below.\n\n### 2.1 Calendar Automata\n\nReal-time system verification in general-purpose model-checkers requires an explicit formalism of real-time progression. Trying to encode real-time clocks directly is difficult; in particular, one must avoid Zeno's paradox in which no progress is made because state transitions simply update real-valued variables by an infinite sequence of decreasing amounts whose sum is finite. To avoid this problem, Dutetre and Sorea developed calendar automata [6], which is itself inspired by event calendars used in discrete-event simulation. Rather than encoding \"how much time has passed since the last event\", it encodes \"how far into the future is the next scheduled event\", and a real-valued variable representing the current time is updated to the next event time.\n\nDefine a set of events  . For now, we do not define events; intuitively, an event is a set of state variables (shortly, we will associate events with messages sent in a distributed system). When an event is enabled, the transitions over events are enabled; otherwise, the variables stutter (maintain the same value).\n\nAn event calendar   is a set of ordered pairs   called calendar events where   is an event and   is a timeout, the time at which the event is scheduled. We denote element   of an event calendar by  .\n\nLet cal be an event calendar and   be calendar events. Define an ordering on calendar events such that   iff  , and   are the minimum elements of cal.\n\nLet a transition system  , be a set of states S, a set of initial states  , and a transition relation  . We implicitly assume a set of state variables such that each state   is a total function that maps state variables to values. We sometimes prime a state to denote that it satisfies the transition relation:  . We also sometimes use a variable assignment notation to describe what state variables are specifically updated: e.g.,  .\n\nWe distinguish two special state variables in a transition system: (1)   denotes the current time in the state, and (2) cal is an event calendar.\n\nThe following laws must hold of a transition system   implementing a calendar automaton:\n\n  1. 1.\n\nTime is initialized to be less than or equal to every calendar timeout:  ,  ,  .\n\n  2. 2.\n\nIn all states, if the current time is strictly less than every calendar event, then the only enabled transition is a time progress update:  ,  , if  , then   such that  ,  .\n\n  3. 3.\n\nIn all states, if the current time equals a timeout, then the only transitions enabled are calendar event updates associated with the timeout:  ,   such that   implies   such that  ,  ,   for all   such that   (recalling that by convention,  ), and  .\n\nFrom the definitions, it follows that in every state, the timeouts are never in the past, and that time is monotonic:\n\nLemma 1\n\n(Future timeouts).  ,  ,  .\n\nLemma 2\n\n(Monotonic time).  , if  , then  .\n\nProofs of these two lemmas are straightforward and omitted.\n\nIn a distributed system, it is convenient to distinguish global actions and local actions. Global actions are principally interprocess communication, while local actions are those carried out by each process to update its local state and produce new messages to broadcast. While both global and local actions can both be modeled as events in a calendar automata, doing so is generally overkill and complicates the model. From the global perspective, individual processes can update their local state atomically.\n\nAgain, following Dutetre and Sorea, we associate calendar events with channels in a distributed system [6]. Specializing calendars to message passing does not lose generality since all external communication from an individual process can be abstracted as message passing. Furthermore, fault models can be abstracted to act over channels rather than processes [9]. The calendar introduces real-time constraints on when processes send and receive messages.\n\nAssume processes are indexed from a finite set  . A channel from process i to j is an ordered pair (i, j). Fix a set of messages  . Given a channel and a timeout, let send be a relation on messages sent on a channel at a given time:\n\nSo send(i, j, t, m) holds iff i sends to j message m at time t. Likewise, let\n\nbe a relation on messages received on a channel at a time, so that recv(i, j, t, m) holds iff the message m received by j from i at time t.\n\nIn the absence of faults, we require that messages received were previously sent and not previously received: if  , then   such that   where  , and   such that   and  . (We address faults in Sect. 2.2.)\n\nThen an event calendar for sending and receiving messages on channels is the union of the send and recv relations.\n\nThe event of receiving a message initiates a process to update its local transition system and generate additional messages to send. When the process is updating its local transition system, the event calendar is paused. That is, updating an event   also includes updating j's transition system.\n\n### 2.2 Symbolic Fault Injection: A Synchronous Kibitzer\n\nThe typical approach to modeling faults is to add new state variables to each process representing its fault state. Then a node chooses actions based on its fault state. As a simple example, we might define a node that sends a good message if it is non-faulty and a bad message otherwise. In pseudo-code using guarded commands, its definition might look like the following:\n\nBut this approach mixes the specification of a node's behavior with the fault model, an aspect of the environment. Generally, nodes do not contain state variables assigned to their faults, or use their fault-status to determine their behavior!2 The upshot is that combining faults and node state divorces the specification from its implementation.\n\nA second difficulty with model-checking fault-tolerant systems in general is that modeling faults requires adding state and non-determinism. The minimum number of additional states that must be introduced may depend non-obviously on other aspects of the fault model, specific protocol, and system size. Such constraints lead to \"meta-model\" reasoning, such as the following, in which Rushby describes the number of data values that a particular protocol model must include to model the full range of Byzantine faults (defined later in this section):\n\n> To achieve the full range of faulty behaviors, it seems that a faulty source should be able to send a different incorrect value to each relay, and this requires n different values. It might seem that we need some additional incorrect values so that faulty relays can exhibit their full range of behaviors. It would certainly be safe to introduce additional values for this purpose, but the performance of model checking is very sensitive to the size of the state space, so there is a countervailing argument against introducing additional values. A little thought will show that  . Hence, we decide against further extension to the range of values [10].\n\nThe second problem is the most straightforward to solve. In infinite-state model-checking, we can use either the integers or the reals as the datatype for values. Fault-tolerant voting schemes, such as a majority vote or mid-value selection (see Sect. 3), require only equality, or a total order, respectively, to be defined for the data.\n\nThe solution to the first problem is more involved. Our solution is to introduce what we call a synchronous kibitzer that symbolically injects faults into the model. The kibitzer decomposes the state and transitions associated with the fault model from the system itself. For the sake of concreteness in describing the synchronous kibitzer, we introduce a particular fault model, the hybrid fault model of Thambidurai and Park [11]. This fault model distinguishes Byzantine, symmetric, and manifest faults. It applies to broadcast systems in which a process is expected to broadcast the same value to multiple receivers. A Byzantine (or arbitrary) fault is one in which a process that is intended to broadcast the same value to other processes may instead broadcast arbitrary values to different receivers (including no value or the correct value). A symmetric fault is one in which a process may broadcast the same, but incorrect, value to other processes. Finally, a manifest (or benign) fault is one in which a process's broadcast fault is detectable by the receivers; e.g., by performing a cyclic redundancy check (CRC) or because the value arrives outside of a predetermined window.\n\nDefine a set of fault types\n\nAs in the previous section, let   be a finite set of process indices, and let the variable\n\nrange over possible mappings from processes to faults.\n\nThe hybrid fault model assumes a broadcast model of communication. A   takes a sender, a set of receivers, a real-time, and a message to send each receiver, and returns a set of calendar events:\n\nWith this machinery, we can define the semantics of faults by constraining the relationship between a message broadcast and the values received by the recipients. For a nonfaulty process that broadcasts, every recipient receives the sent message, and for symmetric faults, there is no requirement that the messages sent are the ones received, only that every recipient receives the same value:\n\nByzantine faults are left completely unconstrained.\n\nThus, faults can be modeled solely in terms of their effects on sending and receiving messages. A node's specification does not have to depend on its fault status directly.\n\nIf the faults mapping is a constant, then faults are permanently but non-deterministically assigned to nodes. However, we can easily model transient faults in which nodes are faulty temporarily by making faults a state variable that is updated non-deterministically. Whether we model permanent or transient faults, a maximum fault assumption (MFA) describes the maximum number of faults permitted in the system. The faults mapping can be non-deterministically updated during execution while satisfying the MFA using a constraint such as  , where the MFA is defined by the function  .\n\n### 2.3 Abstract Transition Systems\n\nDue to the sheer size of implementation-level models, manually examining counterexamples is tedious. To scale up verification, we use abstract transition systems (also known as disjunctive invariants) [12, 13]. In this context, an abstract transition system, relative to a given transition system  , is a set of state predicates   over S and a transition system   such that:\n\n  1. 1.\n\n  is a set of \"abstract states\" which correspond one-to-one with the state predicates  .\n\n  2. 2.\n\n .\n\n  3. 3.\n\n  where   are the abstract states to which   may transition from  .\n\nFor verification purposes, it is important to note that if   and   satisfy the requirements above, then   is an inductive invariant of  . We may use such an invariant freely as a powerful assumption in the proof of other invariants (see Sect. 3.3).\n\nThe use of abstract transition systems not only allows us to scale proofs farther, but also to improve traceability and debugging while developing a model. In models like the ones described in Sect. 4.2 where there are on the order of 100 state variables and counterexample traces could be 30 steps long, the designer can be easily lost trying to identify the essence. In such cases, the values of the abstract predicates can serve to focus the designer's attention on one particular mode of the system where the counter example is taking place. At the present we do not have a good method for synthesizing the predicates   automatically for general systems; they must be supplied by the user.\n\n## 3 Modeling and Verification for Oral Messages\n\nThe Hybrid Oral Messages ( ) algorithm [3] is a variant of the classic Oral Messages ( ) algorithm [14], originally developed by Thambidurai and Park [11] to achieve distributed consensus in the presence of a hybrid fault model. However,   had a bug, as originally formulated, which was corrected and the mended algorithm was formally verified by Lincoln and Rushby using interactive theorem-proving [3].\n\nFirst, we briefly describe the algorithm, sketch our instantiation of the model for the particular protocol in Sect. 2, then describe it's invariants.\n\n### 3.1    Algorithm\n\n  is a recursive algorithm that proceeds in rounds of communication. Here we give a recursive specification for  , parameterized by the number of rounds, m. Consider a finite set of nodes N. Distinguish one node as the general, g, and the remaining nodes   as the lieutenants. We assume the identity of any general or lieutenant cannot be spoofed. Broadcast communication proceeds in rounds. Denote any message that is detectably faulty (e.g., fails a CRC) or is absent, by  . Additionally, in the algorithm, nodes report on values they have previously received. In doing so, nodes must differentiate reporting   from an   itself. Let R denote that an error is being reported. Finally, let V be a special, designated value.\n\nThe algorithm is recursively defined for  :\n\n  *  : g broadcasts a value to each lieutenant and the lieutenants return the value received (or  ).\n\n  *  ,  :\n\n    1. 1.\n\ng broadcasts a value to each lieutenant, l.\n\n    2. 2.\n\nLet   be the value received by   from g. Then for each l, execute  , assigning l to be the general and   to be the lieutenants. l sends  , or R if  .\n\n    3. 3.\n\nFor each lieutenant  , remove all   values received in Step 2 from executing  . Compute the majority value over the remaining values, or V if there is no majority. If the majority value is R, return E.\n\nIn particular,   includes two rounds of broadcast communication: one in which the general broadcasts, and one in which the lieutenants exchange their values.\n\n  is designed to ensure validity and agreement properties under suitable hypotheses on the number and type of faults in the system. Validity states that if the general is nonfaulty, then every lieutenant outputs the value sent by the general. Agreement states that each lieutenant outputs the same value. More formally, Let   denote the outputs of lieutenants  , respectively, and let v be the value the general broadcasts:\n\nWe described a hybrid fault model in Sect. 2.2. Under that fault model, validity and agreement hold if  , where n is the total number of nodes, a is the number of Byzantine (or asymmetric) faults, s is the number of symmetric faults, and b is the number of benign faults. Additionally, the number of rounds m must be greater or equal to the number of Byzantine faults, a [3, 11].\n\n### 3.2 Model Sketch\n\nWe have implemented   (as well as the variants described in Sect. 4.2) in the Symbolic Analysis Laboratory (SAL) [15]. SAL contains a suite of model-checkers. In our work, we use infinite-state (SMT-based) k-induction [6].\n\nWe follow Rushby [10] in \"unrolling\" the communication among lieutenants into two sets of logical nodes: relays and receivers. Relays encode the lieutenants' Step 2 of the   algorithm, in which they rebroadcast the values received from the general after filtering manifestly bad messages, while the receivers encode the voting step. We refer to the general as the source. The unrolling shows that a generalization of the original algorithm holds: the number of relays and receivers need not be the same. We model communication through one-way, typed channels. The source broadcasts a message to each relay which, in turn, each broadcast their messages to all receivers.\n\nThe relays and receivers explicitly send and receive messages and store them in local buffers as needed. In addition, the receivers implement the Fast MJRY algorithm [7].\n\nOur SAL model defines seven transition systems in total: clock, source, relay (parametrized over an ID), receiver (parametrized over an ID), observer, abstractor, and abstract_monitor. The first four of these are composed asynchronously, in an intermediate system we label system, and share access to a global calendar consisting of event slots  , one for each channel in the system. The clock transition system is responsible for updating a global variable t (called now in Sect. 2.1) representing time according to the rules for calendar automata.\n\nThe asynchronous composition of the system relaxes the original specification of the algorithm considerably. For example, in our implementation, a receiver may receive a message from one relay before another relay has received a message from the source. We only require that all relays and receivers have executed before voting. With a general asynchronous model, it is easy to refine it further; for example, we refine it to a time-triggered model in Sect. 4.2.\n\nThe observer is a synchronous observer [16] that encodes the validity and agreement properties as synchronously-composed transition systems. State variables denoting validity and agreement are set to be false if the receivers have completed their vote but the respective properties do not hold.\n\nFinally, the abstractor and abstract_monitor encode an abstract transition system for the system, as described in Sect. 2.3.\n\nFig. 1.\n\nInvariant classification and dependencies.\n\n### 3.3 Invariants\n\nTo make the proof scalable, we specify inductive invariants to be used by SAL's k-induction engine. There are 11 invariants, falling into five categories:\n\n  1. 1.\n\nCalendar automata: Lemmas relating to the calendar automata model. These include lemmas such as time being monotonic, channels missing messages if there is no calendar event, and only nodes associated with a calendar event may execute their local transition systems.\n\n  2. 2.\n\nAbstract transition sytem (ATS): Lemmas relating the ATS states to the implementation states.\n\n  3. 3.\n\nReceiver local behavior: Lemmas describing the modes of behavior of the receivers. The major modes of their behavior are receiving messages, then once it has filled its buffer, it votes, and after voting returns the result. An additional lemma notes that the messages currently received plus missing messages equals the total number of expected messages.\n\n  4. 4.\n\nFaults: Lemmas characterizing the effect of a fault in a single broadcast. Examples include lemmas stating that if a node receives a faulty message, some \"upstream\" node in the communication path was faulty. Another example is that the faults of messages latched by a node in its buffer match the faults ascribed to the sender in the calendar event.\n\n  5. 5.\n\nVoting: Lemmas proving that the Fast MJRTY algorithm implements a majority vote, if one exists. These lemmas are nearly verbatim transcriptions from the journal proofs for the algorithm [7].\n\nThe proof structure is shown in Fig. 1. The number of lemmas per category are shown in parentheses. Arrows denote dependencies. For example, the ATS lemmas depend on both the calendar automata and receiver state-machine lemmas. As can be seen, the proof structure is modular. The calendar lemmas are general and independent of any particular protocol or fault model. Similarly, lemmas about the internal behavior of a receiver is independent of the global protocol behavior. It is also independent of the effect of faults on the system\u2014the only \"knowledge\" of faults that receiver has is whether a fault is benign or not. Lemmas about the behavior of faults in the system are also independent of the particular protocol being modeled. Likewise, lemmas about the particular voting algorithm used depend only on the receiver's internal behavior. Only the ATS depends on both calendar-specific and local state-machine results, since it is an abstraction of the entire system implementation. Recall, however, that the ATS is a convenience for debugging and can be elided.\n\n## 4 Experimental Results\n\nHere we present two classes of experimental results. First, we demonstrate the scalability results of the verification, despite the low-level modeling. Then we describe modularity results, demonstrated by making modifications to the model and re-validating the model.\n\n### 4.1 Scalability\n\nWe present benchmarks in Fig. 2. The benchmarks were performed on a server with Intel Xeon E312xx (Sandy Bridge) CPUs. The table provides execution times in seconds, with a timeout limit of one hour, for verifying the model, given a selected number of relays and receivers. The voting logic is in the receivers, so they have substantially more state than the relays, and dominate the execution time. The execution times sums the execution times for verifying each of the eleven lemmas individually, as well as the final agreement and validity theorems. Each proof incurs the full startup, parsing, type-checking, and model-generation time of SAL. Observe the theorems hold even in the degenerate cases of one relay or one receiver.\n\nFig. 2.\n\nBenchmark of full proof computation time for   implementation. Times are in seconds with a timeout ( ) limit of one hour. Dashes ('-') denote no benchmark was run.\n\nAs a point of comparison, Rushby presents an elegant high-level model of  , also in SAL [10]. For small numbers of relays\/receivers, the verification of Rushby's model is much faster, likely due to making only one call to SAL. However, for six relays and two receivers, it takes 449 seconds and timeouts (at one hour) for seven relays and two receivers. Checking Rushby's model requires use of symbolic, BDD-based model-checking techniques which are well-known to scale poorly. On the other hand, our model requires the use of k-induction which scales well, but requires (inductive) invariants to be provided.\n\n### 4.2 Modular Verification\n\nTo demonstrate the modularity of the modelling and verification approach, in this section, we explore variants to the model and report the effort required to implement the modifications and repair the proofs. The results are summarized in Fig. 3 and sketched below. In the table, for each modification, we report how much of the model must be modified. We report on four aspects of the system: which transition systems are modified (as described in Sect. 3.2), how many definitions have to be added or modified, the number of invariants that have to be added or modified, and which invariant classes (as defined in Sect. 3.3) those lemmas belong to. We modify the implementation along the axes of faults, time, and local node behavior.\n\nFig. 3.\n\nRefactoring effort for protocol modifications, measured by which portions of the model have to be modified.\n\nOmissive Asymmetric Faults. Removing faults already described by the fault model is easy. Recall that in our model faults do not appear in the system specification and only operate on the calendar. Removing a fault from the system requires only setting the number of a particular kind of faults to zero in the maximum fault assumption.\n\nAdding new kinds of faults requires more work but is still modular. Consider adding omissive asymmetric faults, a restriction of Byzantine faults in which a broadcaster either sends the correct value or a benign fault [8], to the fault model. Doing so requires modifying none of transition systems, because of the synchronous kibitzer. We add a new uninterpreted function definition for omissive asymmetric faults, then modify the type of faults, and their effect on the calendar. Two invariants, both in the class of invariants cover faults, are extended to cover the cases where a sender is omissive asymmetric.\n\nTime-Triggered Messaging. A time-triggered distributed system is one in which nodes are independently clocked, but clock constraints allow the model to appear as if it is executing synchronously [17].\n\nChanging the model to be time-triggered principally requires making the source, relays, and receivers driven explicitly by the passage of time (we do not model clock drift or skew). As well, a \"receive window\" is defined at which messages from non-faulty nodes should be received. Messages received outside the window are marked as coming from manifest-faulty senders. The model requires three new definitions to encode nondeterministic message delay and two are small helper functions. The guards in the relays and receivers are modified to latch messages received outside the receive windows as being manifest faults. The ATS definition is modified to track the times in the calendar, not just the messages. Two new calendar invariants are introduced, stating that the calendar messages are either empty, or their time-stamps fall within the respective message windows. Then, three invariants classifying faults are relaxed to allow for the possibility of faulty nodes sending benign messages.\n\nMid-Value Selection. Our   model leverages a majority vote in order to tolerate faults. Another choice for the fault masking algorithm used is mid-value selection. This choice is common in applications involving hardware, signal selection, or cases where information about congruence is useful. To implement mid-value selection in our model, we allow messages sent to take values in   and the receiver transition system is modified in two ways. First, a second buffer is introduced which will hold the sorted contents of the main buffer once voting has commenced. Second, a mid-value select function is called on the sorted buffer and the result is stored as the receiver's vote. The only invariants needing modification were the ATS definition (to account for the values stored by the new buffer and the relation between it and the main buffer) and the voting invariant.\n\n### 4.3 Proof Effort Remarks\n\nThe lemmas described in Sect. 3.3 are constructed by-hand and represent multiple days of effort, but that effort includes both model and protocol construction and generalization as well as verification. The counterexamples returned by SAL are very useful for strengthening invariants, but tedious to analyze\u2014a model with five relays and two receivers contains 90 state variables, and there are known counterexamples to models that size [3]. Once we developed the synchronously-composed ATS observer, the verification effort was sped up considerably.\n\nThe invariants are surprisingly modular. One benefit of a model-checking based approach is that it is automated to rerun a proof of a theorem omitting lemmas to see if the proof still holds. This allowed us to explore reducing dependencies between invariants related to different aspects of the system.\n\nThe modifications to the implementation described in Sect. 4.2 took at most hours to develop. Moreover, most of the invariants do not concern the specific protocol modeled at all, and we hypothesize that for completely different fault-tolerance protocols, only the modeling aspects related to the protocol behavior and local node behavior would change, and the invariant structure would remain modular.\n\nMoreover, we are agnostic about how lemmas are discovered. As techniques like IC3 scale, they may be discovered automatically. k-induction in infinite-state model-checking blurs the lines between interactive and automated theorem proving. IC3 can even be strengthened using k-induciton [18].\n\n## 5 Related Work\n\nThe Oral Messages algorithm and its variants and its variants have a long history of formal verification.   was verified in both the PVS and ACL2 interactive theorem-provers [2]. Also in ACL2, an implementation of a circuit design to implement   is given [1]; the low-level model most closely relates to our level of detail. A refinement-based verification approach is used, and   is specialized to a fixed number of nodes. Bokor et al. describe a message-passing model for synchronous distributed algorithms that is particularly amenable to partial-order reduction for explicit-state model-checking [19]. The model is efficient for up to five nodes, but results are not presented beyond that. Very recently, Jovanovi\u0107 and Dutertre use a \"flattened\" high-level model of   as a benchmark for IC3 augmented with k-induction [18].\n\nMoreover, our work is heavily influenced by previous verifications of fault-tolerant and real-time systems in SAL [6, 10, 13].\n\n## 6 Conclusions\n\nThis work fits within a larger project, in collaboration with Honeywell Labs, to build an architectural domain-specific language (ADSL) for specifying and verifying distributed fault-tolerant systems. The ADSL should be able to synthesize both software and\/or hardware implementations as well as formal models for verification. Before building such an ADSL, we needed a scalable general formal model to which to compile, leading to the work presented in this paper. We hypothesize that the ADSL will make refactoring even easier, and we can generate invariants or invariant templates useful for verification. Indeed, we have developed a preliminary ADSL that generates C code as well as formal models in SRI's Sally [18], to be described in a future paper.3\n\nBeyond building an ADSL, another avenue of research is producing a formal proof that a software implementation satisfies the node specification in our formal model. While our model of node behavior is low-level, there are gaps. For example, our work is in SAL's language of guarded commands [15] and needs to be either refined or verified to be equivalent to a software implementation's semantics. Another aspect is that behavior related to networking, serialization, etc. is left abstract, implicit in the send and recv functions.\n\nAcknowledgments\n\nThis work is partially supported by NASA contract #NNL14AA08C. We are indebted to our collaborators Brendan Hall and Srivatsan Varadarajan at Honeywell Labs, and to Wilfredo Torres-Pomales at NASA Langley for their discussions and insights. Additionally, we acknowledge that this work is heavily inspired by a series of papers authored by John Rushby.\n\nReferences\n\n1.\n\nBevier, W.R., Young, W.D.: The proof of correctness of a fault-tolerant circuit design. Computational Logic Inc., Technical report 57 (1990). http:\/\/\u200bcomputationallog\u200bic.\u200bcom\/\u200breports\/\u200bindex.\u200bhtml\n\n2.\n\nYoung, W.D.: Comparing verification systems: interactive consistency in ACL2. IEEE Trans. Softw. Eng. 23(4), 214\u2013223 (1997)CrossRef\n\n3.\n\nLincoln, P., Rushby, J.: A formally verified algorithm for interactive consistency under a hybrid fault model. In: 23rd Fault Tolerant Computing Symposium, pp. 402\u2013411. IEEE Computer Society (1993)\n\n4.\n\nOwre, S., Rushby, J., Shankar, N., von Henke, F.: Formal verification for fault-tolerant architectures: prolegomena to the design of PVS. IEEE Trans. Software Eng. 21(2), 107\u2013125 (1995)CrossRef\n\n5.\n\nChandra, T.D., Griesemer, R., Redstone, J.: Paxos made live: an engineering perspective. In: ACM Symposium on Principles of Distributed Computing (PODC), pp. 398\u2013407. ACM (2007)\n\n6.\n\nDutertre, B., Sorea, M.: Modeling and verification of a fault-tolerant real-time startup protocol using calendar automata. In: Lakhnech, Y., Yovine, S. (eds.) FORMATS\/FTRTFT -2004. LNCS, vol. 3253, pp. 199\u2013214. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30206-3_\u200b15 CrossRef\n\n7.\n\nBoyer, R.S., Moore, J.S.: MJRTY-a fast majority vote algorithm. In: Boyer, R.S. (ed.) Automated Reasoning. Automated Reasoning Series, vol. 1, pp. 105\u2013117. Springer, Dordrecht (1991)CrossRef\n\n8.\n\nAzadmanesh, M.H., Kieckhafer, R.M.: Exploiting omissive faults in synchronous approximate agreement. IEEE Trans. Comput. 49(10), 1031\u20131042 (2000)MathSciNetCrossRefMATH\n\n9.\n\nPike, L., Maddalon, J., Miner, P., Geser, A.: Abstractions for fault-tolerant distributed system verification. In: Slind, K., Bunker, A., Gopalakrishnan, G. (eds.) TPHOLs 2004. LNCS, vol. 3223, pp. 257\u2013270. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30142-4_\u200b19 CrossRef\n\n10.\n\nRushby, J.: SAL tutorial: analyzing the fault-tolerant algorithm OM(1). Computer Science Laboratory, SRI International, Menlo Park, CA, CSL Technical note. http:\/\/\u200bwww.\u200bcsl.\u200bsri.\u200bcom\/\u200busers\/\u200brushby\/\u200babstracts\/\u200bom1\n\n11.\n\nThambidurai, P., Park, Y.-K.: Interactive consistency with multiple failure modes. In: Symposium on Reliable Distributed Systems, pp. 93\u2013100. IEEE (1988)\n\n12.\n\nRushby, J.: Verification diagrams revisited: disjunctive invariants for easy verification. In: Emerson, E.A., Sistla, A.P. (eds.) CAV 2000. LNCS, vol. 1855, pp. 508\u2013520. Springer, Heidelberg (2000). doi:10.\u200b1007\/\u200b10722167_\u200b38 CrossRef\n\n13.\n\nDutertre, B., Sorea, M.: Timed systems in SAL. In: SRI International, Menlo Park, CA, SDL Technical report SRI-SDL-04-03, July 2004\n\n14.\n\nLamport, L., Shostak, R., Pease, M.: The Byzantine generals problem. ACM Trans. Program. Lang. Syst. 4(3), 382\u2013401 (1982)CrossRefMATH\n\n15.\n\nBensalem, S., Ganesh, V., Lakhnech, Y., Mu\u00f1oz, C., Owre, S., Rue\u00df, H., Rushby, J., Rusu, V., Sa\u00efdi, H., Shankar, N., Singerman, E., Tiwari, A.: An overview of SAL. In: NASA Langley Formal Methods Workshop, pp. 187\u2013196 (2000)\n\n16.\n\nRushby, J.: The versatile synchronous observer. In: Iida, S., Meseguer, J., Ogata, K. (eds.) Specification, Algebra, and Software. LNCS, vol. 8373, pp. 110\u2013128. Springer, Heidelberg (2014). doi:10.\u200b1007\/\u200b978-3-642-54624-2_\u200b6 CrossRef\n\n17.\n\nKopetz, H.: Real-Time Systems: Design Principles for Distributed Embedded Applications. Kluwer, Philadelphia (1997)MATH\n\n18.\n\nJavanovi\u0107, D., Dutertre, B.: Property-directed  -induction. In: Formal Methods in Computer Aided Design (FMCAD) (2016)\n\n19.\n\nBokor, P., Serafini, M., Suri, N.: On efficient models for model checking message-passing distributed protocols. In: Hatcliff, J., Zucca, E. (eds.) FMOODS\/FORTE -2010. LNCS, vol. 6117, pp. 216\u2013223. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-13464-7_\u200b17 CrossRef\n\nFootnotes\n\n1\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bGaloisInc\/\u200bmmc-paper.\n\n2\n\nThere are exceptions; for example, benign faults may be detected by a node itself (e.g., in a built-in-test).\n\n3\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bGaloisInc\/\u200batom-sally.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_13\n\n# Improved Learning for Stochastic Timed Models by State-Merging Algorithms\n\nBraham Lotfi Mediouni1  , Ayoub Nouri1, Marius Bozga1 and Saddek Bensalem1\n\n(1)\n\nUniversit\u00e9 Grenoble Alpes, CNRS, VERIMAG, 38000 Grenoble, France\n\nBraham Lotfi Mediouni\n\nEmail: braham-lotfi.mediouni@univ-grenoble-alpes.fr\n\nAbstract\n\nThe construction of faithful system models for quantitative analysis, e.g., performance evaluation, is challenging due to the inherent systems' complexity and unknown operating conditions. To overcome such difficulties, we are interested in the automated construction of system models by learning from actual execution traces. We focus on the timing aspects of systems that are assumed to be of stochastic nature. In this context, we study a state-merging procedure for learning stochastic timed models and we propose several enhancements at the level of the learned model structure and the underlying algorithms. The results obtained on different examples show a significant improvement of timing accuracy of the learned models.\n\n## 1 Introduction\n\nA necessary condition for a successful system design is to rely on faithful models that reflect the actual system behavior. In spite of the long experience designers have on building system models, their construction remains a challenging task, especially with the increasing complexity of recent systems. For performance models, this is even harder because of the inherent complexity and the induced stochastic behavior that is usually combined with time constraints.\n\nMachine Learning (ML) is an active field of research where new algorithms are constantly developed and improved in order to address new challenges and new classes of problems (see [13] for a recent survey). Such an approach allows to automatically build a model out of system observations, i.e., given a learning sample S, a ML algorithm infers an automaton that, in the limit1, represents the language L of the actual system [11]. We believe that ML can be used to automatically build system models capturing performance aspects, especially the timing behavior and the stochastic evolution. Those system models may be useful for documenting legacy code, and for performing formal analyses in order to enhance the system performance, or to integrate new functionalities [11].\n\nDespite the wide development of ML techniques, only few works were interested in learning stochastic timed models [9, 10, 12, 14]. In this paper, we study the RTI+ algorithm [14] and we propose improvements that enhance its accuracy. This algorithm learns a sub-class of timed automata [1] augmented with probabilities, called Deterministic Real-Time Automata (DRTA). Given a timed learning sample S (traces of timestamped actions of the system), the algorithm starts by building a tree representation of S, called Augmented Prefix Tree Acceptor (APTA). Then, based on statistical tests, it performs state-merging and splitting operations until no more operations are possible. In this algorithm, clock constraints are captured as time intervals over transitions and are built in a coarse fashion. These time intervals are actually considered to be the largest possible, which makes the learning procedure converge faster. However, this introduces a lot of generalization in the built APTA, by allowing timing behaviors that are not part of the actual system language L. Furthermore, we identified that such behaviors cannot be refined during the learning process. The learned model is thus not accurate from a timing point of view.\n\nIn this work, we propose a more accurate learning procedure by investigating better compromises between the time generalization introduced in the APTA and its size (and consequently its learning time). We introduce three new APTA models representing different levels of time generalization; the first model is the exact representation of the learning sample, i.e., with no generalization, while the two others introduce some generalization which is less than the original RTI+. We implemented the new variants of the RTI+ algorithm and validated them on different examples. The obtained results show that the learned models are more accurate than the original implementation, albeit the learning time is generally higher.\n\nOutline. In Sect. 2, we discuss some related works on learning stochastic timed models. Section 3 introduces notations and key definitions used in the rest of the paper. We recall the RTI+ learning algorithm and study underlying time representation issues in Sect. 4. In Sect. 5, we present the three improvements we propose for RTI+ and discuss them. Section 6 presents experiments and results of the improved algorithms. Conclusions are drawn in Sect. 7.\n\n## 2 Related Works\n\nIn the literature, several algorithms have been proposed for automata learning [3, 3, 7, 14], mostly in the deterministic case. In the last decades, an increasing interest has been shown for learning probabilistic models, partly due to the success of verification techniques such as probabilistic and statistical model checking [5, 6]. Despite this development, only few works considered the problem of learning stochastic timed models [9, 10, 12, 14].\n\nMost of the algorithms proposed in this setting are based on the state-merging procedure made popular by the Alergia algorithm [3]. Moreover, many of them consider Continuous-Time Markov Chains (CTMCs) as the underlying model. For instance, in [12], an algorithm is proposed for model-checking black-box systems. More recently, the AAlergia algorithm [8], initially proposed for learning Discrete-Time Markov Chains and Markov Decision Processes, was extended to learn CTMCs [9]. This work is an extension of Alergia to learn models having timed in\/out actions.\n\nOther algorithms such as RTI+ [14] and BUTLA [7] focus on learning timed automata augmented with probability distributions on discrete transitions and uniform probabilities over timing constraints. Both follow a state-merging procedure but consider different statistical tests for checking states compatibility.\n\nIn [10], authors focus on learning more general stochastic timed models, namely Generalized Semi-Markov Processes, following the same state-merging procedure. This algorithm relies on new statistical clocks estimators, in addition to the state compatibility criterion used in Alergia.\n\n## 3 Background\n\nLet   be a finite alphabet,   the set of words over   and   the empty word. Let   be a time domain and   the set of time sequences over  . In our work, we consider integer time values, i.e.,  . For a set of clocks  , let   denote the set of clock constraints over  . Let   be the intervals domain, where   is an interval of the form   such that  , and represents the set of integer values between a and b. Let   be an untimed word over   and   a time sequence over  . We write   (resp.  ) whenever   (resp.  ) is a prefix of   (resp.  ). We also write   (resp.  ) for the concatenation of   (resp.  ) and   (resp.  ).   (resp.  ) is the size of   (resp.  ).\n\n### 3.1 Deterministic Real-Time Automata (DRTA)\n\nA Real-Time Automaton (RTA) is a timed automaton with a single clock that is systematically reset on every transition.\n\nDefinition 1\n\n(Real-Time Automaton (RTA)). An RTA is a tuple   where: (1)   is the alphabet, (2) L is a finite set of locations, (3)     L is the initial location, (4)   contains a single clock, (5) T   is a set of edges with a systematic reset of the clock c, (6) inv : L   associates invariants to locations.\n\nFor more convenience, transitions are denoted as  , where   and   is a time interval including both transition guards and location invariants. For simplicity, we also omit the systematic reset.\n\nAn RTA is deterministic (DRTA) if, for each location l and a symbol  , the timing constraints of any two transitions starting from l and labeled with   are disjoint, i.e.,     and  . A DRTA generates timed words over  . Each timed word is a sequence of timed symbols  =( )( )...( ), representing an untimed word   together with a time sequence  . A set of n timed words constitute a learning sample  . We denote by   the set of time values appearing in S.\n\nA Prefix Tree Acceptor (PTA) is a tree representation of the learning sample S where locations represent prefixes of untimed words in S. Timing information is captured in a PTA in form of intervals   over transitions. This structure is called Augmented PTA (APTA). In the latter, each transition   is annotated with a frequency that represents the number of words in S having   as a prefix. An APTA can be seen as an acyclic DRTA annotated with frequencies. Let   be this annotation function. Given a DRTA  , a pair   is an annotated DRTA, denoted  .\n\n### 3.2 Stochastic Interpretation of a DRTA\n\nA DRTA starts at the initial location   with probability 1. It moves from a location to another using transitions in T. At each location l, a transition is chosen among the set of available transitions  . Selecting a transition consists of choosing a timed symbol  . A probabilistic strategy   that associates a probability function to each location l over the set of transitions   is used to make this choice:  , such that  . For the chosen transition  , the choice of the time value is done uniformly over the time interval I. Figure 1 shows an example where two transitions labeled A and B are possible from location 1. The strategy   associates probability 0.6 to A and 0.4 to B. Then, uniform choices on the associated time intervals are performed.\n\nFig. 1.\n\nProbabilistic strategy with uniform choice\n\n## 4 The RTI+ Learning Procedure\n\nRTI+ [14] is a state-merging algorithm for learning DRTA models from a sample of timed words. The algorithm first builds a PTA then reduces it by merging locations having similar behaviors, according to a given compatibility criterion. Compared to other state-merging algorithms, RTI+ relies on a time-split operation to identify the different timed behaviors and to split them into disjoint ones. The algorithm is able to learn a stochastic DRTA, i.e., a   where the strategy is obtained from the associated annotation function  .\n\n### 4.1 Building the APTA\n\nThe timed learning sample is represented as an APTA where all the time intervals span over  . Initially, the built APTA only contains a root node consisting of the empty word  . RTI+ proceeds by adding a location in the tree for each prefix of untimed words in S. Then, a transition labeled with   is created from location l to location   if the prefix of   is obtained by concatenating the prefix of l and symbol  . Finally, transitions are augmented with the largest time constraint  , where  . The annotation function   is built at the same time and represents transitions frequencies. In this work, we denote this construction as generalized-bound APTA.\n\nDefinition 2\n\n(Generalized-bound APTA). A generalized-bound APTA is a     where:\n\n  *  ,  ,\n\n  * T contains transitions of the form   s.t.  , and  .\n\n### 4.2 The Learning Process\n\nThe learning process aims to identify the   that represents the target language while reducing the size of the initial APTA. At each iteration, the algorithm first tries to identify the timing behavior of the system, by using time-split operations. The second step consists of merging compatible locations that show similar stochastic and timed behaviors. Locations that are not involved in merge or split operations are marked as belonging to the final model (promote operation). The algorithm proceeds by initially marking the root of the APTA as part of the final model and its successors as candidate locations. The latter will be considered for time-split, merge or promote operations.\n\nTime-Split Operation. For a given transition  , splitting t at a specific time value   consists of replacing t by two transitions   and   with disjoint time intervals [a; c] and  , respectively. This operation alters the subtree of   such that the corresponding timed words that used to trigger transition t with time values in [a; c] (resp.  ) are reassigned to the subtree pointed by transition   (resp.  ).2\n\nMerge Operation. Given a marked location l (belongs to the final model) and a candidate location  , this operation is performed by first redirecting the transitions targetting  , to l and then by folding the subtree of   on l (see footnote 2).\n\n### 4.3 Compatibility Evaluation\n\nThe compatibility criterion used in RTI+ is the Likelihood Ratio (LR) test. Intuitively, this criterion measures a distance between two hypotheses with respect to specific observations. In our case, the considered hypotheses are two   models: H with m transitions and   with   transitions ( ), where H is the model after a merge operation (resp. before a split) and   is the model before a merge (resp. after a split). The observations are the traces of S.\n\nWe define the likelihood function that estimates how S is likely to be generated by each model (H or  ). It represents the product of the probability to generate each timed word in S 3. Note that the   timed word   in S corresponds to a unique path   in the  . The probability to generate   is the product of the probabilities of each transition in  :\n\nWhere   corresponds to the probability to transit from the location   to   in H with the   timed symbol  . Given a learning sample S of size n, the likelihood function of H is  . The likelihood ratio is then computed as follows\n\nLet Y be a random variable following a   distribution with   degrees of freedom, i.e.,  . Then,   is asymptotically   distributed. In order to evaluate the probability to obtain y or more extreme values, we compute the p-value  . If  , then we conclude that H and   are significantly different, with   confidence.\n\nThe compatibility criterion concludes that a time-split operation is accepted whenever it identifies a new timing behavior, that is, the model after split is significantly different from the model before split ( ). In constrast, a merge is rejected whenever the model after merge is significantly different from the model before merge since the merged locations are supposed to have similar stochastic and timed behaviors.\n\n### 4.4 Shortcomings\n\nThe RTI+ algorithm relies on the generalized-bound APTA as initial representation of the learning sample S. As pointed out before, this kind of APTA augments an untimed PTA with the largest possible time intervals, without considering the values that concretely appear in S. This introduces an initial generalization that leads the APTA to accept words that do not actually belong to S and might not belong to the target language L. In Example 1, we show that this initial generalization cannot be refined later in the learning process. More concretely, we observe that the time intervals that do not appear in S are not isolated and removed from the  .\n\nExample 1\n\nLet us consider the following learning sample  (A,5)(B,5); (A,4)(A,3); (A,3)(B,5); (B,1)(A,5); (B,3)(B,5); (B,5)(A,1) . The left-hand model in Fig. 2 presents the initial   (H) of S on which we evaluate a time-split operation. The latter is expected to identify the empty interval [0; 2] on transition  , since no timed word in S takes this transition with time values in [0; 2]. The right-hand figure represents the model assuming a split of transition t at time value 2 ( ). The LR test returns   which leads to reject the time-split operation, and hence, the empty interval [0; 2] is not identified during the learning process.\n\nFig. 2.\n\nIdentifying empty intervals with time-split operation\n\nThe generalized-bound APTA introduces empty time intervals that cannot be removed during the learning process. To overcome this issue, we propose, in the next section, new representations of the learning sample S.\n\n## 5 Learning More Accurate Models\n\nA faithful representation of the learning sample consists of building an APTA that accepts only words in S by taking into account the time values. This can be done at different granularities, which results on different tradeoffs between the introduced initial generalization and the APTA size. We propose three different APTA models denoted unfolded, constructive-bound and tightened-bound APTAs.\n\n### 5.1 Unfolded APTA\n\nThis APTA model fits perfectly the traces in S, that is, accepts exactly the timed words in S. Hence, it does not introduce any initial generalization. To build such a model, we need to consider both symbols and time values. The APTA initially contains the empty word. Locations are added for every timed prefix and corresponding transitions are created such that each transition only accepts a single time value, i.e., time intervals are equalities of the form  .\n\nDefinition 3\n\n(Unfolded APTA). An unfolded APTA is a   where:\n\n  *  ,\n\n  * T contains transitions of the form   such that: (1)  , (2)  , and  .\n\n### 5.2 Constructive-Bound APTA\n\nA more compact representation of S compared to the unfolded APTA can be obtained by reducing the size of the initial APTA. At each location, a reduction of the number of transitions is performed by grouping all the contiguous time values for the same symbol into a single transition where the time interval I is the union of the different time intervals.\n\nDefinition 4\n\n(Constructive-bound APTA). A constructive-bound APTA is a   where:\n\n  *  ,\n\n  * T contains transitions of the form   such that: (1)  , (2)   and  , and  .\n\nIn Definition 4, each location corresponds to a subset of timed words that have a common untimed prefix where each symbol (of the prefix) apprears with contiguous time values. A location is labeled by the given untimed prefix   and the sequence of intervals   corresponding to each symbol of  .   is the interval grouping the contiguous time values for the symbol   of  . All time values of these intervals are present in at least one timed word in S. A transition is added between locations l and   such that: (1) the concatenation of the untimed prefix relative to l and symbol   produces the untimed prefix relative to  , and (2) adding I to the interval sequence of l gives the interval sequence of  .\n\n### 5.3 Tightened-Bound APTA\n\nThe minimal size of APTA is obtained by allowing the minimal number of transitions from each location. This minimal number is obtained by assigning at most one transition for each symbol of  . The initial generalization is reduced (compared to the generalized-bound APTA) by identifying the minimum (resp. the maximum ) time value   (resp.  ) among all the time values for each location l and symbol  . Then, a single transition is created from l with symbol   and a time interval  . We call this APTA model a tightened-bound APTA. It has the same structure as the generalized-bound APTA but with tighter bounds. The time interval   of each transition is computed locally depending on the corresponding timed words in S.\n\nDefinition 5\n\n(Tightened-bound APTA). A tightened-bound APTA is a   where:\n\n  *  ,  ,\n\n  * T contains transitions of the form   such that: (1)  , (2)  , (3)  , and  , where  .\n\n### 5.4 Evaluation\n\nIn this section, we discuss the proposed APTA models with respect to their ability to faithfully represent S and to their size. We consider the following sample  (A,5)(B,5); (A,4)(A,3); (A,3)(B,5); (B,3)(A,5); (B,3)(B,5); (B,1)(A,1) . Figure 3 depicts the three types of APTAs representing S.\n\nFig. 3.\n\nThe three APTA models for the sample S\n\nInitial Generalization. The unfolded APTA does not introduce any initial generalization (Fig. 3a). The constructive-bound APTA is a more compact representation of S compared to the unfolded APTA with less generalization than the generalized-bound APTA. Some generalization is introduced due to the possible combination of grouped time values. In other words, the time values of the time intervals appear in S, but the language generated by the APTA overapproximates S since it accepts more time sequences. For instance, in Fig. 3b, the timed word (A,3)(A,3) is accepted although not in S. This is due to the combination of time values coming from the timed words (A,4)(A,3) and (A,3)(B,5).\n\nFig. 4.\n\nGeneralization introduced by the different APTAs\n\nThe tightened-bound APTA introduces two kinds of generalization. The first is due to the combination of grouped time values, as for the constructive-bound APTA. The second one is caused by the presence of empty intervals. An example is given in Fig. 3c where transitting from the root is possible using the timed symbol (B,2) which is not in S. This latter generalization is similar to the one we pointed out for the generalized-bound APTA albeit with more restrictive time intervals, since the empty intervals   and   are initially removed. The relationship between these models and the generalization they introduce is summarized inFig. 4.\n\nAPTA Size. In terms of the size of initial representation, the unfolded APTA is the largest. The APTA size depends on the size of   and  . The worst case is encountered when all the traces in S are of the same length N and when S contains all the combinations of symbols and time values. The resulting complete tree, in this case, represents the upper bound on the exponential number of locations and can be expressed as\n\nThis maximum number of locations is reduced in the constructive-bound APTA by grouping contiguous time values. However, this improvement is meaningless in the case where all the time values are disjoint. For a given interval  , the maximum number of disjoint intervals is encountered when all the time values are disjoint and is equal to  . The worst case number of locations of a complete tree of depth   is\n\nThe number of locations, in this case, is highly dependent on the size of   and less on the size of  . This latter can be removed by allowing only one interval for each symbol at each location. This is the case of the generalized-bound APTA and the tightened-bound APTA which return the minimum number of locations.\n\n## 6 Experiments\n\nIn this section, we evaluate the learned model according to its ability to accept the words belonging to L and to reject the others. This gives insight into how accurate the learned model is. A C++ implementation of the proposed algorithms and the considered examples can be found in http:\/\/\u200bwww-verimag.\u200bimag.\u200bfr\/\u200b~nouri\/\u200bdrta-learning. The same page also contains additional materials such as algorithms and formal definitions of the elementary operations, in addition to a discussion about the proposed models' accuracy.\n\n### 6.1 Evaluation Procedure\n\nThe accuracy of the learned model can be quantified using two metrics: the precision and the recall. The precision is calculated as the proportion of words that are correctly recognized (true positives) in the learned model   over all the words recognized by  , while the recall represents the proportion of words that are correctly recognized in   over all the words recognized by the initial model H. The precision and the recall can be combined in a single metric called F1 score. A high F1 score corresponds to a high precision and recall, and conversely.\n\nBased on these metrics, we distinguish four degrees of generalization for the learned models (see Fig. 5):\n\n  1. 1.\n\nThe maximum F1 score is obtained when the exact target language L(H) is learned.\n\n  2. 2.\n\nA precision of 1 and a recall strictly lower than 1 characterize an under-approximation, i.e., the learned model   recognizes a subset of words of L(H).\n\n  3. 3.\n\nA recall of 1 and a precision strictly lower than 1 characterize an over-approximation, i.e., the learned model   accepts all the words of L(H) in addition to extra words not in L(H).\n\n  4. 4.\n\nA precision and a recall strictly lower than 1 characterize a cross-approximation, i.e.,   contains only a subset of words in L(H) plus additional words not in L(H).\n\nFig. 5.\n\nDegrees of generalization of the learned language   with respect to the target language L(H)\n\nOur experimental setup shown in Fig. 6, consists of three modules responsible for trace generation, model learning and model evaluation. Since we are trying to evaluate how accurate the learning algorithm is, the initial model H, designed as a  , is only known by the trace generator and the model evaluator, while the model learner has to guess it. The trace generator produces a timed learning sample S and a test sample. The latter contains timed traces that do not appear in S. This sample is used to evaluate the learned model with respect to new traces that were not used during the learning phase.\n\nFig. 6.\n\nExperimental setup to validate the improved learning procedure\n\n### 6.2 Benchmarks\n\nWe run our experimental setup on three examples, namely, Periodic A, Periodic A-B and CSMA\/CD communication medium model.\n\nPeriodic A is a synthetic periodic task A that executes for 1 to 3 time units in a period of 5 time units. The goal of this benchmark is to check if the algorithm is able to learn the periodicity and the duration of a single task. Two less constrained variants of this model are also considered. In both of them, we remove the periodicity of the task by setting a predefined waiting time of 5 time units after the task A finishes. In the first variant, called aperiodic contiguous-time (ap_cont A), the execution time of the task A can take contiguous time values in [1; 3]. In the second one, called aperiodic disjoint (ap_dis A), the execution time takes the disjoint time values 0, 2 and 4. Our goal is to check if the algorithm is able to detect the unused time values 1 and 3.\n\nPeriodic A-B consists of two sequential tasks A and B, taking execution time values, respectively, in intervals [1;3] and [1;2] with a periodicity of 5 time units. In this example, the learning algorithm is faced with dependencies between clock constraints for the task A, the task B and their periodicities, which is a more complex setting.\n\nFig. 7.\n\nCSMA\/CD communication medium model for a 2-station network\n\nCSMA\/CD communication Medium Model is a media access control protocol for single-channel networks that solves data collision problems. We focus on the CSMA\/CD communication medium model for a 2-station network presented in [5]. Figure 7 represents the underlying CSMA\/CD communication medium model where   represents the propagation time. We assume that   is the maximum time elapsing between two consecutive events.\n\n### 6.3 Results\n\nExperiments have been done on the described examples using a learning sample of size 200 and a test sample of size 1000.\n\nThe Synthetic Examples. Table 1 summerizes the results for periodic A (and variants) and periodic A-B. Since all the learned models have a 100% recall, only the precision is discussed in the sequel. The obtained results show that the original RTI+ learns an over-approximating model with a poor precision for all the considered examples. In contrast, as shown by the F1 score, the exact model is learned using the unfolded APTA for periodic A and its variants. Both the constructive and the tightened-bound APTAs do not learn the exact periodic A model (although more accurate than RTI+). They actually fail to identify the periodicity of task A. For ap_cont A, the constructive and the tightened-bound APTAs learn the exact model. However, for ap_dis A, the constructive-bound approach learns the exact model, while the tightened-bound one returns a model with a low precision since it does not detect the unused time values 1 and 3.\n\nFor the periodic A-B example, none of the variants was able to learn an accurate model: the obtained precision is at most 2.27% (using the constructive-bound APTA). They all fail to capture dependencies over clock constraints. Nevertheless, the precision is still better than the original RTI+ (0.18%).\n\nTable 1.\n\nAccuracy results for the synthetic benchmarks with the four APTAs\n\nBenchmark | Periodic A | Ap_dis A | Ap_cont A | Periodic AB\n\n---|---|---|---|---\n\nGeneralized-bound | Precision | 11% | 0.8% | 0.6% | 0.18%\n\nRecall | 100% | 100% | 100% | 100%\n\nF1 score | 0.1982 | 0.0159 | 0.0119 | 0.0036\n\nUnfolded | Precision | 100% | 100% | 100% | 1.97%\n\nRecall | 100% | 100% | 100% | 100%\n\nF1 score | 1.0000 | 1.0000 | 1.0000 | 0.0386\n\nConstructive-bound | Precision | 16.4% | 100% | 100% | 2.27%\n\nRecall | 100% | 100% | 100% | 100%\n\nF1 score | 0.2818 | 1.0000 | 1.0000 | 0.0444\n\nTightened-bound | Precision | 16.9% | 3.01% | 100% | 2.18%\n\nRecall | 100% | 100% | 100% | 100%\n\nF1 score | 0.2891 | 0.0584 | 1.0000 | 0.0427\n\nFigure 8 shows the impact of bigger time periods in the periodic A example on the quality of the learned model (Fig. 8a) and the learning time (Fig. 8b). We observe that increasing the period makes it more difficult to learn accurate models; Increasing the period decreases the precision as shown in Fig. 8a and increases the learning time as shown in Fig. 8b. For instance, the original RTI+ with generalized-bound APTA is quite fast but its precision tends to zero. Using constructive and tightened-bound APTAs improves the precision with a similar learning time. Finally, relying on the unfolded APTA produces very precise models but induces an important learning time when the period exceeds 15 time units.\n\nFig. 8.\n\nImpact of varying the task A period on the precision\/the learning time\n\nThe CSMA\/CD Example. Table 2 summerizes the experiments done on CSMA\/CD. On the one hand, one can notice that RTI+, like in the previous cases, learns an over-approximating model with a poor precision (6.20%) but in a short time ( 6 s). Moreover, the generalized-bound APTA, initially having 2373 locations, is reduced to a final model with only 4 locations which represents a high reduction. On the other hand, the proposed APTAs produce significantly different models that cross-approximate the original CSMA\/CD. For instance, the tightened-bound APTA learns a very precise model (93.70%). However, the model is obtained in more than 8 hours and has 370 locations. Using the constructive-bound APTA gives a model with less precision (85.80%) in a lower execution time ( 3 h). Finally, the unfolded APTA gives a model with a 49.40% precision and a 96.70% recall, which corresponds to the best F1 score (0.6539). Furthermore, compared to constructive and tightened-bound APTAs, the learning time for the unfolded APTA is lower ( 9 min). Hence, we conclude that, for this example, the unfolded APTA provides a good tradeoff between accuracy and learning time.\n\nTable 2.\n\nExperimental results for CSMA\/CD using the four APTA models\n\nAPTA type | Precision | Recall | F1 score | Time | APTA size | DRTA size | Reduction\n\n---|---|---|---|---|---|---|---\n\nGeneralized | 6.20% | 100.00% | 0.1168 |  6 s | 2373 | 4 | 99.83%\n\nUnfolded | 49.40% | 96.70% | 0.6539 |  9 min | 3586 | 19 | 99.47%\n\nConstructive | 85.80% | 52.00% | 0.6475 |  3 h | 2652 | 207 | 92.19%\n\nTightened | 93.70% | 49.90% | 0.6512 |  8 h | 2373 | 370 | 84.41%\n\n## 7 Conclusion\n\nIn this work, we proposed different variants of the RTI+ algorithm for learning models with both stochastic and timed behaviors. We formally defined three APTA models with different levels of generalization and representation sizes. We validated our proposal by performing different experiments that showed that using the new APTA variants provides more accurate models regarding the time behaviors. However, we observed that a higher learning time is generally required, depending on the desired accuracy. In the future, we are planning to improve our algorithms to better handle models with dependencies over clock constraints such as in the periodic A-B example. We are investigating a new compatibility criterion that takes into account such dependencies and that is able to isolate empty time intervals.\n\nReferences\n\n1.\n\nAlur, R., Dill, D.L.: A theory of timed automata. Theoret. Comput. Sci. 126(2), 183\u2013235 (1994)MathSciNetCrossRef90010-8)MATH\n\n2.\n\nAngluin, D.: Learning regular sets from queries and counterexamples. Inf. Comput. 75(2), 87\u2013106 (1987)MathSciNetCrossRef90052-6)MATH\n\n3.\n\nCarrasco, R.C., Oncina, J.: Learning stochastic regular grammars by means of a state merging method. In: Carrasco, R.C., Oncina, J. (eds.) ICGI 1994. LNCS, vol. 862, pp. 139\u2013152. Springer, Heidelberg (1994). doi:10.\u200b1007\/\u200b3-540-58473-0_\u200b144 CrossRef\n\n4.\n\nDe la Higuera, C.: Grammatical Inference: Learning Automata and Grammars. Cambridge University Press, Cambridge (2010)CrossRefMATH\n\n5.\n\nKwiatkowska, M., Norman, G., Sproston, J., Wang, F.: Symbolic model checking for probabilistic timed automata. Inf. Comput. 205(7), 1027\u20131077 (2007)MathSciNetCrossRefMATH\n\n6.\n\nLegay, A., Delahaye, B., Bensalem, S.: Statistical model checking: an overview. In: Barringer, H., Falcone, Y., Finkbeiner, B., Havelund, K., Lee, I., Pace, G., Ro\u015fu, G., Sokolsky, O., Tillmann, N. (eds.) RV 2010. LNCS, vol. 6418, pp. 122\u2013135. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-16612-9_\u200b11 CrossRef\n\n7.\n\nMaier, A., Vodencarevic, A., Niggemann, O., Just, R., Jaeger, M.: Anomaly detection in production plants using timed automata. In: 8th International Conference on Informatics in Control, Automation and Robotics. pp. 363\u2013369 (2011)\n\n8.\n\nMao, H., Chen, Y., Jaeger, M., Nielsen, T.D., Larsen, K.G., Nielsen, B.: Learning probabilistic automata for model checking. In: 2011 Eighth International Conference on Quantitative Evaluation of Systems (QEST), pp. 111\u2013120. IEEE (2011)\n\n9.\n\nMao, H., Chen, Y., Jaeger, M., Nielsen, T.D., Larsen, K.G., Nielsen, B.: Learning deterministic probabilistic automata from a model checking perspective. Mach. Learn. 105(2), 255\u2013299 (2016)MathSciNetCrossRef\n\n10.\n\nde Matos Pedro, A., Crocker, P.A., de Sousa, S.M.: Learning stochastic timed automata from sample executions. In: Margaria, T., Steffen, B. (eds.) ISoLA 2012. LNCS, vol. 7609, pp. 508\u2013523. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-34026-0_\u200b38 CrossRef\n\n11.\n\nNouri, A., Bozga, M., Molnos, A., Legay, A., Bensalem, S.: ASTROLABE: a rigorous approach for system-level performance modeling and analysis. ACM Trans. Embed. Comput. Syst. 15(2), 31:1\u201331:26 (2016)CrossRef\n\n12.\n\nSen, K., Viswanathan, M., Agha, G.: Learning continuous time markov chains from sample executions. In: Proceedings of the First International Conference on The Quantitative Evaluation of Systems, pp. 146\u2013155. QEST 2004, IEEE Computer Society, Washington, DC (2004)\n\n13.\n\nVerwer, S.E., Eyraud, R., De La Higuera, C.: PAutomaC: a probabilistic automata and hidden markov models learning competition. Mach. Learn. 96(1\u20132), 129\u2013154 (2014)MathSciNetCrossRefMATH\n\n14.\n\nVerwer, S.E.: Efficient identification of timed automata: theory and practice. Ph.D. thesis, TU Delft, Delft University of Technology (2010)\n\nFootnotes\n\n1\n\nBy considering a sufficient number of observations [4].\n\n2\n\nFor further details, see: http:\/\/\u200bwww-verimag.\u200bimag.\u200bfr\/\u200b~nouri\/\u200bdrta-learning\/\u200bAppendice.\u200bpdf.\n\n3\n\nSince the timed words in S are generated independently.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_14\n\n# Verifying Safety and Persistence Properties of Hybrid Systems Using Flowpipes and Continuous Invariants\n\nAndrew Sogokon1  , Paul B. Jackson2  and Taylor T. Johnson1\n\n(1)\n\nInstitute for Software Integrated Systems, Vanderbilt University, Nashville, Tennessee, USA\n\n(2)\n\nLaboratory for Foundations of Computer Science, University of Edinburgh, Edinburgh, Scotland, UK\n\nAndrew Sogokon (Corresponding author)\n\nEmail: andrew.sogokon@vanderbilt.edu\n\nPaul B. Jackson\n\nEmail: Paul.Jackson@ed.ac.uk\n\nTaylor T. Johnson\n\nEmail: taylor.johnson@vanderbilt.edu\n\nAbstract\n\nWe propose a method for verifying persistence of nonlinear hybrid systems. Given some system and an initial set of states, the method can guarantee that system trajectories always eventually evolve into some specified target subset of the states of one of the discrete modes of the system, and always remain within this target region. The method also computes a time-bound within which the target region is always reached. The approach combines flow-pipe computation with deductive reasoning about invariants and is more general than each technique alone. We illustrate the method with a case study concerning showing that potentially destructive stick-slip oscillations of an oil-well drill eventually die away for a certain choice of drill control parameters. The case study demonstrates how just using flow-pipes or just reasoning about invariants alone can be insufficient. The case study also nicely shows the richness of systems that the method can handle: the case study features a mode with non-polynomial (nonlinear) ODEs and we manage to prove the persistence property with the aid of an automatic prover specifically designed for handling transcendental functions.\n\nThis material is based upon work supported by the UK Engineering and Physical Sciences Research Council under grants EPSRC EP\/I010335\/1 and EP\/J001058\/1, the National Science Foundation (NSF) under grant numbers CNS 1464311 and CCF 1527398, the Air Force Research Laboratory (AFRL) through contract number FA8750-15-1-0105, and the Air Force Office of Scientific Research (AFOSR) under contract number FA9550-15-1-0258.\n\n## 1 Introduction\n\nHybrid systems combine discrete and continuous behaviour and provide a very general framework for modelling and analyzing the behaviour of systems such as those implemented in modern embedded control software. Although a number of tools and methods have been developed for verifying properties of hybrid systems, most are geared towards proving bounded-time safety properties, often employing set reachability computations based on constructing over-approximating enclosures of the reachable states of ordinary differential equations (e.g. [7, 13, 14, 21]). Methods capable of proving unbounded-time safety properties often rely (explicitly or otherwise) on constructing continuous invariants (e.g. [25, 42], and referred to in short as invariants). Such invariants may be thought of as a generalization of positively invariant sets (see e.g. [5]) and which are analogous to inductive invariants used in computer science to reason about the correctness of discrete programs using Hoare logic.\n\nWe argue in this paper that a combined approach employing bounded time reachability analysis and reasoning about invariants can be effective in proving persistence and safety properties in non-polynomial (nonlinear) hybrid systems. We illustrate the combined approach using a detailed case study with non-polynomial ODEs for which neither approach individually was sufficient to establish the desired safety and persistence properties.\n\nMethods for bounded time safety verification cannot in general be applied to prove safety for all time and their accuracy tends to degrade for large time bounds, especially for nonlinear systems. Verification using invariants, while a powerful technique that can prove strong properties about nonlinear systems, relies on the ability to find invariants that are sufficient for proving the unbounded time safety property. In practice, many invariants for the system can be found which fall short of this requirement, often for the simple reason that they do not include all the initial states of the system. We show how a combined approach employing both verification methods can, in some cases, address these limitations.\n\nContributions\n\nIn this paper we (I) show that bounded time safety verification based on flowpipe construction can be naturally combined with invariants to verify persistence and unbounded time safety properties, addressing some of the limitations of each verification method when considered in isolation. (II) To illustrate the approach, we consider a simplified torsional model of a conventional oil well drill string that has been the subject of numerous studies by Navarro-L\u00f3pez et al. [34]. (III) We discuss some of the challenges that currently stand in the way of fully automatic verification using this approach. Additionally, we provide a readable overview of the methods employed in the verification process and the obstacles that present themselves when these methods are applied in practice.\n\n## 2 Safety and Persistence for Hybrid Automata\n\n### 2.1 Preliminaries\n\nA number of formalisms exist for specifying hybrid systems. The most popular framework at present is that of hybrid automata [3, 19], which are essentially discrete transition systems in which each discrete state represents an operating mode inside which the system evolves continuously according to an ODE under some evolution constraint. Additionally, transition guards and reset maps are used to specify the discrete transition behaviour (i.e. switching) between the operating modes. A sketch of the syntax and semantics of hybrid automata is as follows.\n\nDefinition 1\n\n(Hybrid automation [26]). Formally, a hybrid automaton is given by   where\n\n  *   is a finite set of discrete states (modes),\n\n  *   is a finite set of continuous variables,\n\n  *   gives the vector field defining continuous evolution inside each mode,\n\n  *   is the set of initial states,\n\n  *   gives the mode invariants constraining evolution for every discrete state,\n\n  *   is the transition relation,\n\n  *   gives the guard conditions for enabling transitions,\n\n  *   gives the reset map.\n\nA hybrid state of the automaton is of the form  . A hybrid time trajectory is a sequence (which may be finite or infinite) of intervals  , for which   for all   and   for all i. If the sequence is finite, then either   or  . Intuitively, one may think of   as the times at which discrete transitions occur. An execution (or a run or trajectory) of a hybrid automaton defined to be  , where   is a hybrid time trajectory,   (where   is defined to be the set   if   is finite and   otherwise) and   is a collection of diffeomorphisms   such that  , for all     and  . For all   it is also required that transitions respect the guards and reset maps, i.e.  ,   and  .\n\nWe consider MTL1 formulas satisfied by trajectories. The satisfaction relation is of form  , read as \"trajectory   at position p satisfies temporal logic formula  \", where positions on a trajectory are identified by pairs of form (i, t) where   and time  . We use the MTL modality   which states that formula   always holds in time interval I in the future. Formally, this can be defined as  , where  . Similarly we can define the modality   which states that formula   eventually holds at some time in the time interval I in the future. An MTL formula is valid for a given hybrid automaton if it is satisfied by all trajectories of that automaton starting at position (0, 0). For clarity when writing MTL formulas, we assume trajectories are not restricted to start in   states and instead introduce   predicates into the formulas when we want restrictions.\n\nAlternative formalisms for hybrid systems, such as hybrid programs [41], enjoy the property of having a compositional semantics and can be used to verify properties of systems by verifying properties of their parts in a theorem prover [15, 44]. Other formal modelling frameworks for hybrid systems, such as Hybrid CSP [24], have also found application in theorem provers [60, 62].\n\n### 2.2 Bounded Time Safety and Eventuality\n\nThe bounded-time safety verification problem (with some finite time bound  ) is concerned with establishing that given an initial set of states   and a set of safe states  , the state of the system may not leave   within time t along any valid trajectory   of the system. In the absence of closed-form solutions to the ODEs, this property may be established by verified integration, i.e. by computing successive over-approximating enclosures (known as flowpipes) of the reachable states in discrete time steps. Bounded-time reachability analysis can be extended to full hybrid systems by also computing\/over-approximating the discrete reachable states (up to some finite bound on the number of discrete transitions).\n\nA number of bounded-time verification tools for hybrid systems have been developed based on verified integration using interval enclosures. For instance, iSAT-ODE, a verification tool for hybrid systems developed by Eggers et al. [13] relies on the verified integration tool VNODE-LP by Nedialkov [37] for computing the enclosures. Other examples include dReach, a reachability analysis tool for hybrid systems developed by Kong et al. [21], which uses the CAPD library [1]. Over-approximating enclosures can in practice be very precise for small time horizons, but tend to become conservative when the time bound is large (due to the so-called wrapping effect, which is a problem caused by the successive build-up of over-approximation errors that arises in interval-based methods; see e.g. [38]). An alternative verified integration method using Taylor models was introduced by Makino and Berz (see [4, 38]) and can address some of these drawbacks, often providing tighter enclosures of the reachable set. Implementations of the method have been reported in COSY INFINITY, a scientific computing tool by Makino and Berz [29]; VSPODE, a tool for computing validated solutions to parametric ODEs by Lin and Stadtherr [23]; and in Flow  , a bounded-time verification for hybrid systems developed by Chen et al. [7].\n\nBecause flowpipes provide an over-approximation of the reachable states at a given time, verified integration using flowpipes can also be used to reason about liveness properties such as eventuality, i.e. when a system is guaranteed to eventually enter some target set having started off at some point in an initial set. The bounded-time safety and eventuality properties may be more concisely expressed by using MTL notation, i.e. by writing  , and  , where   describes the initial set of states,   is the set of safe states and   is the target region which is to be eventually attained.\n\nRemark 2\n\nThe bounded time eventuality properties we consider in this paper are more restrictive than the general (unbounded time) case. For instance, consider a continuous 2-dimensional system governed by   and confined to evolve in the region where  . If one starts this system inside a state where  , it will eventually evolve into a state where   by following the solution, however one may not put a finite bound on the time for this to happen. Thus, while   is true for this system the bounded time eventuality property   will not hold for any finite  .\n\n### 2.3 Unbounded Time Safety\n\nA safety property for unbounded time may be more concisely expressed using an MTL formula:\n\nA proof of such a safety assertion is most commonly achieved by finding an appropriate invariant,  , which contains no unsafe states (i.e.  ) and such that the state of the system may not escape from I into an unsafe state along any valid trajectory of the system. Invariance is a special kind of safety assertion and may be written as  . A number of techniques have been developed for proving invariance properties for continuous systems without the need to compute solutions to the ODEs [17, 25, 41, 49, 53, 58].\n\n### 2.4 Combining Unbounded Time Safety with Eventuality to Prove Persistence\n\nIn linear temporal logic, a persistence property states that a formula is 'eventually always' true. For instance, using persistence one may express the property that a system starting in any initial state always eventually reaches some target set and then always stays within this set. Using MTL notation, we can write this as:\n\nPersistence properties generalize the concept of stability. With stability one is concerned with showing that the state of a system always converges to some particular equilibrium point. With persistence, one only requires that the system state eventually becomes always trapped within some set of states.\n\nIn this paper we are concerned with a slightly stronger form of persistence, where one ensures that the target set is always reached within some specified time t:\n\nWe observe that a way of proving this is to find a set   such that:\n\n  1. 1.\n\n  holds, and\n\n  2. 2.\n\nI is an invariant for the system.\n\nThis fact can be stated more formally as a rule of inference:\n\nPrevious Sects. 2.2 and 2.3 respectively surveyed how the eventuality premise   and invariant premise   can be established by a variety of automated techniques. In Sect. 5 we explore automation challenges further and remark on ongoing work addressing how to automatically generate suitable invariants I.\n\n### 2.5 Using Persistence to Prove Safety\n\nFinding appropriate invariants to prove unbounded time safety as explained above in Sect. 2.3 can in practice be very difficult. It might be the case that invariants   for the system can be found, but also ensuring that   is infeasible. Nevertheless it might be the case that one of these invariants I is always eventually reached by trajectories starting in   and all those trajectories are contained within  . In such cases,   is indeed a safety property of the system when starting from any point in  . More precisely, if one can find an invariant I as explained above in Sect. 2.4 to show the persistence property:  , and further one can show for the same time bound t that:  , then one has:  . As a result, one may potentially utilize invariants that were by themselves insufficient for proving the safety property.\n\nRemark 3\n\nThe problem of showing that a state satisfying   is reached in finite time t, while ensuring that the formula   also holds (i.e. states satisfying   are avoided up to time t) is sometimes called a reach-avoid problem [61].\n\nEven if one's goal is to establish bounded-time rather than unbounded-time safety properties, this inference scheme could still be of use, as it could significantly reduce the time bound t needed for bounded time reachability analysis. In practice, successive over-approximation of the reachable states using flowpipes tends to become conservative for large values of t. In highly non-linear systems one can realistically expect to compute flowpipes only for very modest time bounds (e.g. in chaotic systems flowpipes are guaranteed to 'blow up', but invariants may still sometimes be found). Instead, it may in some cases be possible to prove the safety property by computing flowpipes up to some small time bound, after which the system can be shown to be inside an invariant that implies the safety property for all times thereafter.\n\n## 3 An Example Persistence Verification Problem\n\nStick-slip oscillations are commonly encountered in mechanical engineering in the context of modelling the effects of dynamic friction. Informally, the phenomenon manifests itself in the system becoming \"stuck\" and \"unstuck\" repeatedly, which results in unsteady \"jerky\" motions. In engineering practice, stick-slip oscillations can often degrade performance and cause failures when operating expensive machinery [36]. Although the problem of demonstrating absence of stick-slip oscillations in a system is primarily motivated by safety considerations, it would be misleading to call this a safety verification problem. Instead, the problem may broadly be described as that of demonstrating that the system (in finite time) enters a state in which no stick-slip motion is possible and remains there indefinitely. Using MTL one may write:\n\nwhere   describes the states in which harmful oscillations cannot occur. The formula may informally be read as saying that \"from any initial configuration, the system will eventually evolve within time t into a state region where it is always steady\".\n\nAs an example of a system in which eventual absence of stick-slip oscillations is important, we consider a well-studied [34] model of a simplified conventional oil well drill string. The system can be characterized in terms of the following variables:  , the angular displacement of the top rotary system;  , the angular displacement of the drilling bit;  , the angular velocity of the top rotary system; and  , the angular velocity of the drilling bit. The continuous state of the system   can be described in terms of these variables, i.e.  . The system has two control parameters:   giving the weight applied on the drilling bit, and   giving the surface motor torque. The dynamics is governed a non-linear system of ODEs  , given by:\n\n(1)\n\n(2)\n\n(3)\n\nThe term   denotes the friction modelling the bit-rock contact and is responsible for the non-polynomial non-linearity. It is given by\n\nwhere   if   and   if  . Constants used in the model [34] are as follows:  ,  ,  ,  ,  ,  ,  ,  ,  ,  . Even though at first glance the system looks like a plain continuous system with a single set of differential equations, it is effectively a hybrid system with at least 3 modes, where the drilling bit is: \"rotating forward\" ( ), \"stopped\" ( ), and \"rotating backward\" ( ). A sub-mode of the stopped mode models when the drill bit is stuck. In this sub-mode, the torque components on the drill bit due to  ,   and   are insufficient to overcome the static friction  , and   is further constrained so as to ensure  .\n\nOnce the drill is in operation, so-called stick-slip oscillations can cause damage when the bit repeatedly becomes stuck and unstuck due to friction in the bottom hole assembly. In the model this behaviour would correspond to the system entering a state where   repeatedly. The objective is to verify the eventual absence of stick-slip oscillations in the system initialised at the origin (i.e. at rest) for some given choice of the control parameters   and u. Previous work by Navarro-L\u00f3pez and Carter [34] explored modelling the simplified model of the drill as a hybrid automaton and simulated the resulting models in Stateflow and Modelica.\n\nFig. 1.\n\nSimulations can exhibit stabilization with positive bit angular velocity and stick-slip bit motion.\n\nSimulations, such as those obtained in [34], using different models and control parameters for the drill can suggest stick-slip oscillations or their absence (illustrated in Fig. 1) in a particular model, however the task of verifying their eventual absence cannot be adequately addressed with simulation alone. In practice however, simulation is incredibly useful in providing some degree of confidence in the overall result, which is very important to know before attempting verification.\n\nA simulation of the system with a concrete choice for the control parameters   and  , shown as a trajectory in the 3-dimensional state space in Fig. 3a, suggests that the system does not exhibit stick-slip oscillations, because the trajectory is observed to start at the origin, escape the surface ( )2 and stabilize around a point where the angular velocity of the drilling bit is positive ( ).\n\n## 4 Verifying Persistence\n\nThe property of interest, i.e. the eventual absence of stick-slip oscillation that we observe in the simulation, may be phrased as the following formula in metric temporal logic:   which informally asserts that the system initialised at the origin will eventually (diamond modality) enter a state where it is always (box modality) the case that  . In the following sections we describe a method for proving this assertion. Following our approach, we break the problem down into the following two sub-problems:\n\n  1. 1.\n\nFinding an appropriate invariant I in which the property   holds. For this we employ continuous\/positive invariants, discussed in the next section.\n\n  2. 2.\n\nProving that the system reaches a state in the set I in finite time when initialised at the origin, i.e.  .3\n\n### 4.1 Continuous Invariant\n\nFinding continuous invariants that are sufficient to guarantee a given property is in practice remarkably difficult. Methods for automatic continuous invariant generation have been reported by numerous authors [16, 18, 25, 30, 49, 52\u201354, 59, 63], but in practice often result in \"coarse\" invariants that cannot be used to prove the property of interest, or require an unreasonable amount of time due to their reliance on expensive real quantifier elimination algorithms.\n\nStability analysis (involving a linearisation; see [56] for details) can be used to suggest a polynomial function  , given by\n\nfor which we can reasonably conjecture that   defines a positively invariant set under the flow of our non-linear system. Geometrically, this represents an ellipsoid that lies above the surface defined by   in the state space (see Fig. 3b). In order to prove the invariance property, it is sufficient to show that the following holds:4\n\n(4)\n\nUnfortunately, in the presence of non-polynomial terms5 a first order sentence will in general not belong to a decidable theory [51], although there has recently been progress in broadening the scope of the popular CAD algorithm [9] for real quantifier elimination to work with restricted classes of non-polynomial problems [57].\n\nIn practice, this conjecture is easily proved in under 5 s using MetiTarski, an automatic theorem prover, developed by L.C. Paulson and co-workers at the University of Cambridge, designed specifically for proving universally quantified first order conjectures featuring transcendental functions (such as  , etc). The interested reader may find more details about the MetiTarski system in [2, 40].\n\nRemark 4\n\nAlthough Wolfram's Mathematica 10 computer algebra system also provides some functionality for proving first-order conjectures featuring non-polynomial expressions using its Reduce[] function, we were unable (on our system6) to prove conjecture (4) this way after over an hour of computation, after which the Mathematica kernel crashed.\n\nThe automatic proof of conjecture (4) obtained using MetiTarski (provided we trust the system) establishes that   defines a positively invariant set, and thus we are guaranteed that solutions initialised inside this set remain there at all future times. In order to be certain that no outgoing discrete transitions of the hybrid system are possible when the system is evolving inside  , we further require a proof of the following conjecture featuring only polynomial terms:\n\n(5)\n\nAn automatic proof of this conjecture may be obtained using an implementation of a decision procedure for first-order real arithmetic.\n\n### 4.2 Verified Integration\n\nIn order to show that the system does indeed enter the positively invariant ellipsoid   in finite time, it is not sufficient to observe this in a simulation (as in Fig. 3b), which is why we use a tool employing verified integration based on Taylor models. Flow   (implemented by Chen et al. [7]) is a bounded-time safety verification tool for hybrid systems that computes Taylor models to analyze continuous reachability. The tool works by computing successive over-approximations (flowpipes) of the reachable set of the system, which are internally represented using Taylor models (but which may in turn be over-approximated by a bounding hyper-box and easily rendered).\n\nFig. 2.\n\nVerified integration using Flow .\n\nFigure 2a shows the bounding boxes of solution enclosures computed from the point initial condition at the origin using Flow  with adaptive time steps and Taylor models of order 13, a time bound of 12.7 and the same control parameters used in the simulation (i.e.  ,  ). We observe that once solutions escape to the region where  , they maintain a positive   component for the duration of the time bound.\n\nThe last flowpipe computed by Flow  for this problem can be bounded inside the hyper-rectangle   characterized by the formula\n\nOnce more, using a decision procedure for real arithmetic, we can check that the following sentence is true:\n\nIf we are able to establish the following facts:\n\n  1. 1.\n\n  (I is a continuous invariant),\n\n  2. 2.\n\n  (inside I, there are no harmful oscillations), and\n\n  3. 3.\n\n  (the system enters the region I in finite time),\n\nthen we can conclude that   is also true and the system does not exhibit harmful stick-slip oscillations when started inside  . By taking   to be the origin  , I to be the positively invariant sub-level set   and   to be  , we are able to conclude the temporal property:\n\nVerified integration using Taylor models also allows us to consider sets of possible initial conditions, rather than initial points (illustrated in Fig. 2b). This is useful when there is uncertainty about the system's initial configuration; however, in practice this comes with a significant performance overhead for verified integration.\n\nFig. 3.\n\nSimulation of the hybrid system initialised at the origin with   N and   Nm. The trajectory is contained by the flowpipes shown in Fig. 2a and is observed to enter the positively invariant ellipsoid  , illustrating the persistence property of eventual absence of stick-slip oscillations.\n\n## 5 Outlook and Challenges to Automation\n\nCorrectness of reachability analysis tools based on verified integration is a soundness critical to the overall verification approach, which makes for a strong case in favour of using formally verified implementations. At present few are available, e.g. see recent work by Immler [20] which presented a formally verified continuous reachability algorithm based on adaptive Runge-Kutta methods. Verified implementations of Taylor model-based reachability analysis algorithms for continuous and hybrid systems would clearly be very valuable. One alternative to over-approximating reachable sets of continuous systems using flowpipes is based on simulating the system using a finite set of sampling trajectories and employs sensitivity analysis to address the coverage problem. This technique was explored by Donz\u00e9 and Maler in [10]. A similar approach employing matrix measures has more recently been studied by Maidens and Arcak [27, 28].\n\nAs an alternative to using verified integration, a number of deductive methods are available for proving eventuality properties in continuous and hybrid systems (e.g. [42, 55]). These approaches can be much more powerful since they allow one to work with more general classes of initial and target regions that are necessarily out of scope for methods based on verified integration (e.g. they can work with initial sets that are unbounded, disconnected, etc.) Making effective use of the deductive verification tools currently in existence typically requires significant input and expertise on part of the user (finding the right invariants being one of the major stumbling blocks in practice), in stark contrast to the near-complete level of automation offered by tools based on verified integration. Methods for automatic continuous invariant generation are crucial to the mechanization of the overall verification approach. Progress on this problem would be hugely enabling for non-experts and specialists alike, as it would relieve them from the task of manually constructing appropriate invariants, which often requires intuition and expertise. Work in this area is ongoing (see e.g. [25, 43, 54]). Indeed, progress on this problem is also crucial to providing a greater level of automation in deductive verification tools.\n\n## 6 Related Work\n\nCombining elements of qualitative and quantitative reasoning7 to study the behaviour of dynamical systems has previously been explored in the case of planar systems by Nishida et al. [39]. The idea of combining bounded-time reachability analysis with qualitative analysis in the form of discrete abstraction was investigated by Clarke et al. in [8]. Similar ideas are employed by Carter [6] and Navarro-L\u00f3pez in [35], where the concept of deadness is introduced and used as a way of disproving liveness properties. Intuitively, deadness is a formalization of an idea that inside certain regions the system cannot be live, i.e. some desired property may never become true as the system evolves inside a \"deadness region\". These ideas were used in a case study [6, Chap. 5] also featuring the drill system studied in [34], but with a different set of control parameters and in which the verification objective was to prove the existence of a single trajectory for which the drill eventually gets \"stuck\", which is sufficient to disprove the liveness (oscillation) property.\n\nRegion stability is similar to our notion of persistence [45], which requires all trajectories to eventually reach some region of the state space. Sound and complete proof rules for establishing region stability have been explored and automated [47], as have more efficient encodings of the proof rule that scale better in dimensionality [31]. However, all algorithms we are aware of for checking region stability require linear or simpler (timed or rectangular) ODEs [11, 31, 45\u201348]. Strong attractors are basins of attraction where every state in the state space eventually reaches a region of the state space [45]. Some algorithms do not check region stability, but actually check stronger properties such as strong attraction, that imply region stability [45]. In contrast to these works, our method checks the weaker notion of persistence for nonlinear ODEs.\n\nShe and Ratschan studied methods of proving set eventuality in continuous systems under constraints using Lyapunov-like functions [50]. Duggirala and Mitra also employed Lyapunov-like function concepts to prove inevitability properties in hybrid systems [12]. M\u00f6hlmann et al. developed Stabhyil [33], which can be applied to nonlinear hybrid systems and checks classical notions of Lyapunov stability, which is a strictly stronger property than persistence. In [32] M\u00f6hlmann et al. extended their work and applied similar ideas, using information about (necessarily invariant) sub-level sets of Lyapunov functions to terminate reachability analysis used for safety verification. Prabhakar and Soto have explored abstractions that enable proving stability properties without having to search for Lyapunov functions, albeit these are not currently applicable to nonlinear systems [48]. In summary, in contrast to other works listed above, our approach enables proving persistence properties in conjunction with safety properties for nonlinear, non-polynomial hybrid systems and does not put restrictions on the form or the type of the invariant used in conjunction with bounded time reachability analysis.\n\n## 7 Conclusion\n\nThis paper explored a combined technique for safety and persistence verification employing continuous invariants and reachable set computation based on constructing flowpipes. The approach was illustrated on a model of a simplified oil well drill string system studied by Navarro-L\u00f3pez et al., where the verification objective is to prove absence of damaging stick-slip oscillations. The system was useful in highlighting many of the existing practical challenges to applying and automating the proposed verification method. Many competing approaches already exist for verifying safety in hybrid systems, but these rarely combine different methods for reachability analysis and deductive verification, which our approach combines. We demonstrate that a combination of different approaches can be more practically useful than each constituent approach taken in isolation.\n\nAcknowledgements\n\nThe authors wish to thank to the anonymous reviewers for their careful reading and valuable suggestions for improving this paper.\n\nReferences\n\n1.\n\nCAPD library. http:\/\/\u200bcapd.\u200bii.\u200buj.\u200bedu.\u200bpl\/\u200b\n\n2.\n\nAkbarpour, B., Paulson, L.C.: MetiTarski: an automatic theorem prover for real-valued special functions. J. Autom. 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In: Liu, Z., Woodcock, J., Zhu, H. (eds.) Theories of Programming and Formal Methods. LNCS, vol. 8051, pp. 354\u2013373. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-39698-4_\u200b22 CrossRef\n\nFootnotes\n\n1\n\nMetric Temporal Logic; see e.g. [22].\n\n2\n\nThe system exhibits sliding behaviour on a portion of this surface known as the sliding set. See [34].\n\n3\n\nFiles for the case study are available online. http:\/\/\u200bwww.\u200bverivital.\u200bcom\/\u200bnfm2017.\n\n4\n\nHere   denotes the gradient of V, i.e. the vector of partial derivatives  .\n\n5\n\nE.g. those featured in the right-hand side of the ODE, i.e.  .\n\n6\n\nIntel i5-2520M CPU @ 2.50 GHz, 4 GB RAM, running Arch Linux kernel 4.2.5-1.\n\n7\n\nE.g. numerical solution computation with \"qualitative\" features, such as invariance of certain regions.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_15\n\n# A Relational Shape Abstract Domain\n\nHugo Illous1, 2  , Matthieu Lemerre1  and Xavier Rival2\n\n(1)\n\nCEA, LIST, Software Reliability and Security Laboratory, P.C. 174, 91191 Gif-sur-Yvette, France\n\n(2)\n\nInria Paris\/CNRS\/\u00c9cole Normale Sup\u00e9rieure\/PSL Research University, Paris, France\n\nHugo Illous (Corresponding author)\n\nEmail: hugo.illous@cea.fr\n\nMatthieu Lemerre\n\nEmail: matthieu.lemerre@cea.fr\n\nXavier Rival\n\nEmail: xavier.rival@ens.fr\n\nAbstract\n\nStatic analyses aim at inferring semantic properties of programs. While many analyses compute an over-approximation of reachable states, some analyses compute a description of the input-output relations of programs. In the case of numeric programs, several analyses have been proposed that utilize relational numerical abstract domains to describe relations. On the other hand, designing abstractions for relations over memory states and taking shapes into account is challenging. In this paper, we propose a set of novel logical connectives to describe such relations, which are inspired by separation logic. This logic can express that certain memory areas are unchanged, freshly allocated, or freed, or that only part of the memory was modified. Using these connectives, we build an abstract domain and design a static analysis that over-approximates relations over memory states containing inductive structures. We implement this analysis and report on the analysis of a basic library of list manipulating functions.\n\n## 1 Introduction\n\nGenerally, static analyses aim at computing semantic properties of programs. Two common families of analyses are reachability analyses, that compute an over-approximation for the set of reachable states of programs, and relational analyses, that compute an over-approximation for the relations between input and output states. In general, sets of states are easier to abstract than state relations, which often makes reachability analyses simpler to design. On the other hand, abstracting relations brings several advantages:\n\n  * First, state relations allow to make the analyses modular [3, 6, 10, 17, 22] and compositional. Indeed, to analyze a sequence of two sub-programs, relational analyses can simply analyze each sub-program separately, and compose the resulting state relations. When sub-programs are functions, relational analyses may analyze each function separately, and compute one summary per function, so that the analysis of a function call does not require re-analyzing the body of the function, which is an advantage for scalability.\n\n  * Second, some properties can be expressed on state relations but not on sets of states, which makes relational analyses intrinsically more expressive. For example, contract languages [1, 21] let functions be specified by formulas that may refer both to the input and to the output states. Such properties cannot be expressed using abstractions of sets of states, thus are beyond the scope of reachability analyses.\n\nIn general, the increased expressiveness of relational analyses requires more expressive abstractions. Let us discuss, as an example the case of numeric programs. A common way to express relations between input and output states consists in defining for each variable   a primed version   that describes the value of   in the output state whereas the non primed version denotes the value of   in the input state. In this context, non-relational numerical abstract domain such as intervals [8] cannot capture any interesting relation between input and output states. On the other hand, relational numerical abstract domains such as convex polyhedra [7] can effectively capture relations between input and output states, as shown in [22]: for instance, when applied to a program that increments   by one, this analysis can infer the relation  .\n\nIn the context of programs manipulating complex data structures, relational analysis could allow to compute interesting classes of program properties. For instance, such analyses could express and verify that some memory areas were not physically modified by a program. Reachability analyses such as [5, 15, 24] cannot distinguish a program that inputs a list and leaves it unmodified from a program that inputs a list, copies it into an identical version and deallocates it, whereas a relational analysis could. More generally, it is often interesting to infer that a memory region is not modified by a program.\n\nSeparation logic [23] provides an elegant description for sets of states and is at the foundation of many reachability analyses for heap properties. In particular, the separating conjunction connective   expresses that two regions are disjoint and allows local reasoning. On the other hand, it cannot describe state relations.\n\nIn this paper, we propose a logic inspired by separation logics and that can describe such properties. It provides connectives to describe that a memory region has been left unmodified by a program fragment, or that memory states can be split into disjoint sub-regions that undergo different transformations. We build an abstract domain upon this logic, and apply it to design an analysis for programs manipulating simple list or tree data structures. We make the following contributions:\n\n  * In Sect. 2, we demonstrate the abstraction of state relations using a specific family of heap predicates;\n\n  * In Sect. 4, we set up a logic to describe heap state relations and lift it into an abstract domain that describe concrete relations defined in Sect. 3;\n\n  * In Sect. 5, we design static analysis algorithms to infer heap state relations from abstract pre-condition;\n\n  * In Sect. 6, we report on experiments on basic linked data structures (lists and trees);\n\n  * Finally, we discuss related works in Sect. 7 and conclude in Sect. 8.\n\n## 2 Overview and Motivating Example\n\nWe consider the example code shown in Fig. 1, which implements the insertion of an element inside a non empty singly linked list containing integer values. When applied to a pointer to an existing non empty list and an integer value, this function traverses it partially (based on a condition on the values stored in list elements \u2014that is elided in the figure). It then allocates a new list element, inserts it at the selected position and copies the integer argument into the   field. For instance, Fig. 2(a) shows an input list containing elements   and an output list where value   is inserted as a new element in the list. We observe that all elements of the input list are left physically unmodified except the element right before the insertion point. We now discuss abstractions of the behaviors of this program using abstractions for sets of states and abstractions for state relations.\n\nFig. 1.\n\nA list insertion program\n\nReachability Analysis. First, we consider an abstraction based on separation logics with inductive predicates as used in [5, 15]. We assume that the predicate   describes heap regions that consist of a well-formed linked list starting at address   (  is a symbolic variable used in the abstraction to denote a concrete address). This predicate is intuitively defined by induction as follows: it means either the region is empty and   is the null pointer, or the region is not empty, and consists of a list element of address   and with a   field containing a value described by symbolic variable   and a region that can be described by  . Thus, the valid input states for the insertion function can be abstracted by the abstract state shown in the top of Fig. 2(b). The analysis of the function needs to express that the insertion occurs somewhere in the middle of the list. This requires a list segment predicate  , that is defined in a similar way as for  : it describes region that stores a sub list starting at address   and the last element of which has a   field pointing to address   (note that the empty region can be described by  ). Using this predicate, we can now also express an abstraction for the output states of the insertion function: the abstract state shown in the bottom of Fig. 2(b) describes the states where the new element was inserted in the middle of the structure (the list starts with a segment, then the predecessor of the inserted element, then the inserted element, and finally the list tail). We observe that this abstraction allows to express and to verify that the function is memory safe, and returns a well-formed list. Indeed, it captures the fact that no null or dangling pointer is ever dereferenced. Moreover, all states described by the abstract post-condition consist of a well-formed list, made of a segment, followed by two elements and a list tail. On the other hand, it does not say anything about the location of the list in the output state with respect to the list in the input state. More precisely, it cannot capture the fact that the elements of addresses   are left unmodified physically. This is a consequence of the fact that each abstract state in Fig. 2(b) independently describes a set of concrete heaps.\n\nFig. 2.\n\nAbstractions (Color figure online)\n\nRelational Analysis. To abstract state relations instead of sets of states, we now propose to define a new structure in Fig. 2(c), that partially overlays the abstractions of input and output states. First, we observe that the tail of the list is not modified at all, thus, we describe it with a single predicate  , that denotes pairs made of input state and an output state, that are physically equal and can both be described by  . The same kind of predicate can be used to describe that the initial segment has not changed between the two states. Second, we need to define a counterpart for separating conjunction at the relation level. Indeed, the effect of the insertion function can be decomposed as its effect on the initial segment (which is left unchanged), its effect on the tail (which is also left unchanged) and its effect on the insertion point (where a new element is allocated and a   pointer is modified). This relation separating conjunction is noted  . To avoid confusion, from now on, we write   for the usual separating conjunction. Last, the insertion function allocates a new element and modifies the value of the   field of an existing element. To account for this, we need a new connective   which is applied to two abstract states: if   are abstract heaps (described by formulas in the usual separation logic with inductive predicates), then   describes the transformation of an input state described by   into an output state described by  . This is presented with different colors in the figure. In Sect. 4, we formalize this logics and the abstraction that it defines. The analysis by forward abstract interpretation [8] starts with the identity relation at function entry, and computes relations between input and output states step by step. The analysis algorithms need to unfold inductive predicates to materialize cells (for instance to analyze the test at line 4), and to fold inductive predicates in order to analyze loops. In addition to this, it also needs to reason over  ,   and   predicates, and perform operations similar to unfolding and folding on them. Section 5 describes the analysis algorithms.\n\n## 3 Concrete Semantics\n\nBefore defining the abstraction, we fix notations for concrete states and programs.\n\nWe let   denote the set of program variables and   denote the set of values (that includes the set of numeric addresses). A field   (noted as  ) denotes both field names and offsets. A memory state   is a partial function from addresses to values. We write   for the domain of  , that is the set of addresses for which it is defined. Additionally, if   are such that  , we let   be the memory state obtained by merging   and   (its domain is  ). If   is an address and   a value, we write   the memory state where   contains   (with  ).\n\nIn the following, we consider simple imperative programs, that include basic assignments, allocation and deallocation statements and loops (although our analysis supports a larger language, notably with conditionals and unstructured control flow). Programs are described by the grammar below:\n\nWe assume the semantics of a program   is defined as a function   that maps a set of input states into a set of output states (thus  ). We do not provide a full formal definition for   as it is classical. Given a program  , we define its relational semantics   by:\n\nIn the following, we define an analysis to compute an over-approximation for  .\n\n## 4 Abstraction\n\nIn this section, we first define abstract states, that describe sets of memory states (as in [5]), and then we set up abstract state relations, that describe binary relations over memory states. Although our analysis and implementation support more general inductive predicates (such as trees and others), we consider only list inductive predicates in the body of the paper, for the sake of simplicity.\n\nAbstract States. We assume a countable set   of symbolic addresses that abstract values and heap addresses. An abstract state   consists of an abstract heap   with a conjunction of numerical constraints such as equalities and disequalities. An abstract heap is a separating conjunction of region predicates that abstract separate memory regions [23] (as mentioned above, separating conjunction is denoted by  ). A node   is either a variable address   or a symbolic address  . A region predicate is either   describing an empty region, or a points-to predicate   (that describes a heap memory cell at the base address   with the possibly null offset   and with the content  ), or a summary predicate   describing a list structure or   for a (possibly empty) list segment from address   to  . The   predicate is defined by induction as follows:\n\nSegment predicate   stands for the segment version of   and describes a list without a tail; it can also be defined by induction. We write   for the unfolding relation that syntactically transforms an instance of an inductive predicate into any of the disjuncts of that predicate.\n\nDefinition 1\n\n(Abstract state). Abstract heaps and abstract states are defined by the grammar below:\n\nWe now define the meaning of abstract heaps and abstract states using concretization functions [8], that associate to abstract elements the set of concrete elements they describe. To concretize an abstract heap, we also need to define how the nodes are bound into concrete values in concrete memories. We call valuation a function   that maps nodes into concrete values and addresses.\n\nDefinition 2\n\n(Concretization of abstract states). The concretization function   maps a numeric constraint into a set of valuations whereas   and   respectively map an abstract heap and an abstract state into a set of pairs made of memory state and a valuation. They are defined by induction as follows:\n\nExample 1\n\n(Abstract state). The abstract pre-condition of the program of Fig. 1 is  .\n\nAbstract Relations. An abstract heap relation describes a set of pairs made of an input memory state   and an output memory state  . Abstract heap relations are defined by the following connectives:\n\n  * the identity relation   describes pairs of memory states that are equal and are both abstracted by  ; this corresponds to the identity transformation;\n\n  * the transformation relation   describes pairs corresponding to the transformation of a memory state abstracted by   into a memory state abstracted by  ;\n\n  * the relation separating conjunction   of two heap relations   denotes a transformation that can be described by combining independently the transformations described by   and   on disjoint memory regions.\n\nDefinition 3\n\n(Abstract relations). The syntax of abstract heap relations and abstract state relations are defined by the grammar below:\n\nThe concretization of relations also requires using valuations as it also needs to define the concrete values that nodes denote. It thus returns triples made of two memory states and a valuation.\n\nDefinition 4\n\n(Concretization of abstract relations). The concretization functions   respectively map an abstract heap relation and an abstract state relation into elements of  . They are defined by:\n\nWe remark that   is commutative and associative.\n\nExample 2\n\n(Expressiveness). Let   and  . We observe that   describes only the identity transformation applied to a pre-condition where   is the address of a well-formed list, whereas   describes any transformation that inputs such a list and also outputs such a list, but may modify its content, add or remove elements, or may modify the order of list elements (except for the first one which remains at address  ). This means that  .\n\nMore generally, we have the following properties:\n\nTheorem 1\n\n(Properties). Let   be abstract heaps. Then, we have the following properties\n\n  1. 1.\n\n  2. 2.\n\n  (the opposite inclusion may not hold, as observed in Example 2);\n\n  3. 3.\n\n  (the opposite inclusion may not hold).\n\nExample 3\n\n(Abstract state relation). The effect of the insertion function of Fig. 1 can be described by the abstract state relation  , where   (preserved region),  ,   (modified region) and   (new region).\n\n## 5 Analysis Algorithms\n\nWe now propose a static analysis to compute abstract state relations as described in Definition 3. It proceeds by forward abstract interpretation [8], starting from the abstract relation   where   is a pre-condition, supplied by the user.\n\nMore generally, the analysis of a program   is a function   that inputs an abstract state relation describing a previous transformation   done on the input before running   and returns a relation describing that transformation   followed by the execution of  . Thus,   should meet the following soundness condition:\n\n### 5.1 Basic Abstract Post-conditions\n\nWe start with the computation of abstract post-condition for assignments, allocation and deallocation, on abstract relations that do not contain inductive predicates. As an example, we consider the analysis of an assignment  , starting from an abstract pre-condition relation  . To compute the effect of this assignment on  , the analysis should update it so as to reflect the modification of   in the output states of the pairs denoted by  . We first consider the case where   is a transformation relation.\n\nCase of a Transformation Relation. We assume  . Then, if   is an abstract state that describes the memory states after the assignment  , when it is executed on a state that is in  , then a valid definition for   is  . An algorithm for computing such a   can be found in [5]. It first evaluates   into a points-to predicate   describing the cell that   represents, then evaluates   into a node   describing the value of the right hand side and finally replaces   with  . As a consequence, we have the following definitions for the two main cases of assignments:\n\nCase of a Separating Conjunction Relation. We now assume that  . If the assignment can be fully analyzed on   (i.e., it does not read or modify  ), then the following definition provides a sound transfer function, that relies on the same principle as the Frame rule [23] for separation logic:\n\nWhen   writes in   and reads in  , we get a similar definition as above. For instance:\n\nCase of an Identity Relation. We now assume that  . As observed in Theorem 1,  . We derive from the previous two paragraphs and from this principle the following definitions:\n\nOther Transfer Functions. Condition tests boil down to numeric constraints intersections. The analysis of allocation needs to account for the creation of cells in the right side of relations whereas deallocation needs to account for the deletion of cells that were present before. Thus, for instance:\n\n### 5.2 Materialization and General Abstract Post-conditions\n\nIn Sect. 5.1, we considered only abstract states without inductive predicates, to first provide a simpler definition of abstract post-conditions. We now lift this restriction. For example, the analysis of the program in Fig. 1 starts with  , and then has to analyze a reading of  .\n\nIf we consider an abstract state relation of the form  , and an assignment that reads or writes a field at base address  , the inductive predicate   should first be unfolded [5]: before the post-condition operators of Sect. 5.1 can be applied, this predicate first needs to be substituted with the disjunction of cases it is made of, as defined in Sect. 4. This process is known in reachability shape analyses as a technique to materialize cells [5, 15, 24]. It results in disjunctive abstract states. For instance, the concretization of the abstract state relation   is included in the union of the concretizations of   and  . This disjunctive abstract states allows to analyze a read or write into a field at address  .\n\nHowever, this naive extension of unfolding may be imprecise here. Let us consider the unfolding at node   in the abstract state relation  . The above technique will generate two disjuncts, including one where  . However,   cannot be equal to the null pointer here, since   is the base address of a regular list element in the left side of the   abstract relation. Therefore, unfolding should take into account information in both sides of abstract relations for the sake of analysis precision.\n\nIn the following, we let   denote the set of disjuncts produced by unfolding an inductive predicate at node   in abstract state  , if any. For instance,   is  . If there is no inductive predicate attached to node   in  , we let  . This operator is sound in the sense that,   is included in  .\n\nUsing  , we define the function   that performs unfolding at a given node and in an abstract state relation as follows:\n\n  *  ;\n\n  * if the node   carries inductive predicate in   then  ;\n\n  *  ;\n\n  *  .\n\nWe note that conjunctions of numerical constraints over node may yield to unfeasible elements being discarded in the last two cases: for instance, in the   case, unfolding will only retain disjuncts where both sides of the arrow express compatible conditions over  .\n\nWe can prove by case analysis that this unfolding operator is sound:\n\nExample 4\n\n(Abstract state relation unfolding and post-condition). Let us consider the analysis of the insertion function of Fig. 1. This function should be applied to states where   is a non null list pointer (the list should have at least one element), thus, the analysis should start from   (in this example, we omit   for the sake of concision). Before the loop entry, the analysis computes the abstract state relation  . To deal with the test   (and the assignment  ), the analysis should materialize the cell at node  . This unfolding is performed under the   connective, and produces:\n\nIn turn, the effect of the condition test and of the assignment in the loop body can be precisely analyzed from this abstract state relation.\n\n### 5.3 Folding and Lattice Operations\n\nLike classical shape analyses [5, 15], our analysis needs to fold inductive predicates so as to (conservatively) decide inclusion and join abstract states. We present folding algorithms in the following paragraphs.\n\nConservative Inclusion Checking. Inclusion checking is used to verify logical entailment, to check the convergence of loop iterates, and to support the join\/widening algorithm. It consists of a conservative function   over abstract states and a conservative function   over abstract state relations, that either return   (meaning that the inclusion of concretizations holds) or   (meaning that the analysis cannot conclude whether inclusion holds).\n\nFig. 3.\n\nInclusion checking rules\n\nTheir definition relies on a conservative algorithm, that implements a proof search, based on the rules shown in Fig. 3 (for clarity, we omit the numerical constraints inclusion checking). In this system of rules, if   (resp.,  ), then   (resp.,  ). The rules   and   are specific to reasoning of abstract states, and are directly inspired from [5] (they allow to reason over equal abstract regions, over segments, and over separating conjunction). The rule   allows to reason by unfolding of inductive predicates, at the level of relations. Finally, the rules   and   allow to derive inclusion over abstract state relations, and implement the properties observed in Theorem 1. The proof search algorithm starts from the goal to prove and attempt to apply these rules so as to complete an inclusion derivation. We observe that abstract states are equivalent up to a renaming of the internal nodes (the nodes that are not of the form  ), thus, the implementation also takes care of this renaming, although the rules of Fig. 3 do not show it, as this issue is orthogonal to the reasoning over abstract state relations which is the goal of this paper (indeed, this requires complex renaming functions that are made fully explicit in [5]). The rules can be proved sound one by one, thus they define a sound inclusion checking procedure:\n\nTheorem 2\n\n(Soundness of inclusion checking). If   and   then:\n\nExample 5\n\n(Inclusion checking). Let us consider the following abstract state relations, and discuss the computation of  :\n\nUsing first rule   then rule  , this goal gets reduced into checking the inclusion  , where   and  . In turn, this inclusion follows from rule  .\n\nJoin\/Widening Operators. In the following, we define abstract operators  ,   that respectively operate over abstract states and abstract state relations, and compute an over-approximation for concrete unions. They also ensure termination and serve as widening. The algorithm to compute these two functions heavily relies on the inclusion checking that was discussed in the previous paragraph. Indeed, the widening functions compute results that are more approximate than their arguments. To achieve this, they search for syntactic patterns in their arguments and produce outputs that inclusion checking proves more general. This process is performed region by region on both arguments of the widening, as formalized in [5, Fig. 7]. We discuss in the following a list of such widening rules:\n\n  * when both arguments of widening are equal to a same base predicate, widening is trivial, and returns the same base predicate, thus for instance:\n\n  * when applied to two abstract relations that consist of the same connective, the widening functions simply calls themselves recursively on the sub-components:\n\n  * when applied to an   predicate and another abstract relation, widening first tries to maintain the   predicate, and, if this fails, tries to weaken it into an   predicate:\n\n  * when applied to an   predicate, the widening tries to weaken the other argument accordingly:\n\nEach of these operations is sound, and the results computed by widening are also sound:\n\nTheorem 3\n\n(Soundness of widening). If   and   then:\n\nFurthermore, termination of widening follows from an argument similar to [5].\n\nExample 6\n\n(Widening). We consider the analysis of the program of Fig. 1, and more specifically, the widening after the first abstract iteration over the loop:\n\nThis abstract widening performs some generalization and introduces a list segment inductive predicate, that over-approximates an empty segment in the left argument, and a segment of length one. It also involves some renaming of symbolic nodes (as observed in the previous paragraph, the concretization of an abstract states is unchanged under symbolic nodes renaming).\n\n### 5.4 Analysis\n\nThe abstract semantics   relies on the abstract operations defined in Sect. 5.1, on the unfolding of Sect. 5.2 to analyze basic statements, and on the folding operations defined in Sect. 5.3 to cope with control flow joins and loop invariants computation. Soundness follows from the soundness of the basic operations.\n\nTheorem 4\n\n(Soundness). The analysis is sound in the sense that, for all program   and for all abstract state relation  :\n\n## 6 Experimental Evaluation\n\nIn this section, we report on the implementation of our analysis and try to evaluate:\n\n  1. 1.\n\nwhether it can prove precise and useful relational properties, and\n\n  2. 2.\n\nhow it compares with a more classical reachability shape analysis.\n\nOur implementation supports built-in inductive predicates to describe singly linked lists and binary trees. It provides both the analysis described in this paper, and a basic reachability shape analysis in the style of [5], and supporting the same inductive predicates. It was implemented as a Frama-C [19] plugin consisting of roughly 7800 lines of OCaml. We have ran both the reachability shape analysis and relational shape analysis on series of small programs manipulating lists and trees listed in Table 1. These tests are selected to test specifically the relational domain (and not a full analysis). This allows us to not only assess the results of the analysis computing abstract state relations, but also to compare them with an analysis that infers abstract states.\n\nTable 1.\n\nExperiment results (sll: singly linked lists; tree: binary trees; time in milliseconds averaged over 1000 runs on a laptop with Intel Core i7 running at 2.3 GHz, with 16 GB RAM, for the reachability and relational analyses; the last column states whether the relational shape analysis computed the expected abstract relation)\n\nStructure | Function | Time (in ms) | Loop iterations | Relational property\n\n---|---|---|---|---\n\nReach | Relat.\n\nsll | allocation | 0.53 | 1.27 | 2 | Yes\n\nsll | deallocation | 0.34 | 0.99 | 2 | Yes\n\nsll | traversal | 0.53 | 0.83 | 2 | Yes\n\nsll | insertion (head) | 0.32 | 0.33 | 0 | Yes\n\nsll | insertion (random pos) | 1.98 | 2.75 | 2 | Yes\n\nsll | insertion (random) | 2.33 | 3.94 | 2 | Yes\n\nsll | reverse | 0.52 | 2.36 | 2 | Partial\n\nsll | map | 0.66 | 1.17 | 2 | Partial\n\ntree | allocation | 0.94 | 2.21 | 2 | Yes\n\ntree | search | 1.06 | 1.76 | 2 | Yes\n\nFirst, we discuss whether the analysis computing abstract state relations computes the expected relations, that describes the most precisely the transformation implemented by the analyzed function. As an example, in the case of an insertion at the head of a list, we expect the abstract relation below, that expresses that the body of the list was not modified:\n\nWe observe that the state relation computed in all test cases except the list reverse and map are the most precise. For example, with the function map that traverses a list and modifies only its   fields, the relation obtained is:\n\nThis relation shows that both input and output lists start at the address   and end at the address  . This is not enough to prove that the lists contain the same addresses linked in the same order.\n\nSecond, we compare the runtime of the relational analysis and of the reachability analysis. We observe that the slow-down is at most   (reverse), and is about   in most cases. An exception is the list head insertion, which incurs no slowdown. This is due to the fact this analysis does not require computing an abstract join. While these test cases are not large, these results show that the analysis computing abstract state relations has a reasonable overhead compared to a classical analysis, yet it computes stronger properties. Furthermore, it would be more adapted to a modular interprocedural analysis.\n\n## 7 Related Works\n\nOur analysis computes an abstraction of the relational semantics of programs so as to capture the effect of a function or other blocks of code using an element of some specifically designed abstract domain. This technique has been applied to other abstractions in the past, and often applied to design modular static analyses [10], where program components can be analyzed once and separately. For numerical domains, it simply requires duplicating each variable into two instances respectively describing the old and the new value, and using a relational domain to the inputs and outputs. For instance, [22] implements this idea using convex polyhedra and so as to infer abstract state relations for numerical programs. It has also been applied to shape analyses based on Three Valued Logic [24] in [17]. This work is probably the closest to ours, but it relies on a very different abstraction using a TVLA whereas we use a set of abstract predicates based on separation logic. It uses the same variable duplication trick as mentioned above. Our analysis also has a notion of overlaid old\/new predicates, but these are described heap regions, inside separation logic formulas. Desynchronized separation [11] also introduces a notion of overlaid state in separation logic, but does not support inductive predicates as our analysis does. Instead, it allows to reason on abstractions of JavaScript open objects seen as dictionaries. Also, [13, 14] can express relations between heaps in different states using temporal logic extensions and automatas. In the context of functional languages, [18] allows to write down relations between function inputs and outputs, and relies on a solver to verify that constraints hold and [25] computes shape specifications by learning. Modular analyses that compute invariants by separate analysis of program components [4, 6, 12] use various sorts of abstractions for the behavior of program components. A common pattern is to use tables of couples made of an abstract pre-condition and a corresponding abstract post-condition, effectively defining a sort of cardinal power abstraction [9]. This technique has been used in several shape analyses based on separation logic [2, 3, 16, 20]. We believe this tabular approach could benefit from abstractions of relations such as ours to infer stronger properties, and more concise summaries.\n\n## 8 Conclusion\n\nIn this paper, we have introduced a set of logical connectives inspired by separation logic, to describe state relations rather than states. We have built upon this logic an abstract domain, and a static analysis based on abstract interpretation that computes conservative state relations. Experiments prove it effective for the analysis of basic data structure library functions.\n\nAcknowledgements\n\nWe thank Arlen Cox for fruitful discussions, and Francois Berenger, Huisong Li, Jiangchao Liu and the anonymous reviewers for their comments on an earlier version of this paper. This work has received funding from the European Research Council under the EU's seventh framework programme (FP7\/2007-2013), grant agreement 278673, Project MemCAD, and from Bpifrance, grant agreement P3423-189738, FUI Project P-RC2.\n\nReferences\n\n1.\n\nBaudin, P., Filli\u00e2tre, J.-C., March\u00e9, C., Monate, B., Moy, Y., Prevosto, V.: ACSL: ANSI C specification language (2008)\n\n2.\n\nCalcagno, C., Distefano, D., O'Hearn, P.W., Yang, H.: Footprint analysis: a shape analysis that discovers preconditions. In: Nielson, H.R., Fil\u00e9, G. (eds.) 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ACM (2016)\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_16\n\n# Floating-Point Format Inference in Mixed-Precision\n\nMatthieu Martel1\n\n(1)\n\nLaboratoire de Math\u00e9matiques et Physique (LAMPS), Universit\u00e9 de Perpignan Via Domitia, Perpignan, France\n\nMatthieu Martel\n\nEmail: matthieu.martel@univ-perp.fr\n\nAbstract\n\nWe address the problem of determining the minimal precision on the inputs and on the intermediary results of a program containing floating-point computations in order to ensure a desired accuracy on the outputs. The first originality of our approach is to combine forward and backward static analyses, done by abstract interpretation. The backward analysis computes the minimal precision needed for the inputs and intermediary values in order to have a desired accuracy on the results, specified by the user. The second originality is to express our analysis as a set of constraints made of first order predicates and affine integer relations only, even if the analyzed programs contain non-linear computations. These constraints can be easily checked by an SMT Solver. The information collected by our analysis may help to optimize the formats used to represent the values stored in the floating-point variables of programs. Experimental results are presented.\n\n## 1 Introduction\n\nIssues related to numerical accuracy are almost as old as computer science. An important step towards the design of more reliable numerical software was the definition, in the 1980's, of the IEEE754 Standard for floating-point arithmetic [2]. Since then, work has been carried out to determine the accuracy of floating-point computations by dynamic [3, 17, 29] or static [11, 13, 14] methods. This work has also been motivated by a few disasters due to numerical bugs [1, 15].\n\nWhile existing approaches may differ strongly each other in their way of determining accuracy, they have a common objective: to compute approximations of the errors on the outputs of a program depending on the initial errors on the data and on the roundoff of the arithmetic operations performed during the execution. The present work focuses on a slightly different problem concerning the relations between precision and accuracy. Here, the term precision refers to the number of bits used to represent a value, i.e. its format, while the term accuracy is a bound on the absolute error   between the represented   value and the exact value x that we would have in the exact arithmetic.\n\nWe address the problem of determining the minimal precision on the inputs and on the intermediary results of a program performing floating-point computations in order to ensure a desired accuracy on the outputs. This allows compilers to select the most appropriate formats (for example IEEE754 half, single, double or quad formats [2, 23]) for each variable. It is then possible to save memory, reduce CPU usage and use less bandwidth for communications whenever distributed applications are concerned. So, the choice of the best floating-point formats is an important compile-time optimization in many contexts. Our approach is also easily generalizable to the fixed-point arithmetic for which it is important to determine data formats, for example in FPGAs [12, 19].\n\nThe first originality of our approach is to combine a forward and a backward static analysis, done by abstract interpretation [8, 9]. The forward analysis is classical. It propagates safely the errors on the inputs and on the results of the intermediary operations in order to determine the accuracy of the results. Next, based on the results of the forward analysis and on assertions indicating which accuracy the user wants for the outputs at some control points, the backward analysis computes the minimal precision needed for the inputs and intermediary results in order to satisfy the assertions. Not surprisingly, the forward and backward analyses can be applied repeatedly and alternatively in order to refine the results until a fixed-point is reached.\n\nThe second originality of our approach is to express the forward and backward transfer functions as a set of constraints made of propositional logic formulas and relations between affine expressions over integers (and only integers). Indeed, these relations remain linear even if the analyzed program contains non-linear computations. As a consequence, these constraints can be easily checked by a SMT solver (we use Z3 in practice [4, 21]). The advantage of the solver appears in the backward analysis, when one wants to determine the precision of the operands of some binary operation between two operands a and b, in order to obtain a certain accuracy on the result. In general, it is possible to use a more precise a with a less precise b or, conversely, to use a more precise b with a less precise a. Because this choice arises at almost any operation, there is a huge number of combinations on the admissible formats of all the data in order to ensure a given accuracy on the results. Instead of using an ad-hoc heuristic, we encode our problem as a set of constraints and we let a well-known, optimized solver generate a solution.\n\nThis article is organized as follows. We briefly introduce some elements of floating-point arithmetic, a motivating example and related work in Sect. 2. Our abstract domain as well as the forward and backward transfer functions are introduced in Sect. 3. The constraint generation is presented in Sect. 4 and experimental results are given in Sect. 5. Finally, Sect. 6 concludes.\n\n## 2 Preliminary Elements\n\nIn this section we introduce some preliminary notions helpful to understand the rest of the article. Elements of floating-point arithmetic are introduced in Sect. 2.1. Further, an illustration of what our method does is given in Sect. 2.2. Related work is discussed in Sect. 2.3.\n\n### 2.1 Elements of Floating-Point Arithmetic\n\nWe introduce here some elements of floating-point arithmetic [2, 23]. First of all, a floating-point number x in base   is defined by\n\n(1)\n\nwhere   is the sign,   is the significand,   is the precision and e is the exponent,  .\n\nA floating-point number x is normalized whenever  . Normalization avoids multiple representations of the same number. The IEEE754 Standard also defines denormalized numbers which are floating-point numbers with   and  . Denormalized numbers make underflow gradual [23]. The IEEE754 Standard defines binary formats (with  ) and decimal formats (with  ). In this article, without loss of generality, we only consider normalized numbers and we always assume that   (which is the most common case in practice). The IEEE754 Standard also specifies a few values for   and   which are summarized in Fig. 1. Finally, special values also are defined: nan (Not a Number) resulting from an invalid operation,   corresponding to overflows, and   and   (signed zeros).\n\nFig. 1.\n\nBasic binary IEEE754 formats.\n\nThe IEEE754 Standard also defines five rounding modes for elementary operations over floating-point numbers. These modes are towards  , towards  , towards zero, to the nearest ties to even and to the nearest ties to away and we write them   and  , respectively. The semantics of the elementary operations   is then defined by\n\n(2)\n\nwhere   denotes the rounding mode. Equation (2) states that the result of a floating-point operation   done with the rounding mode   returns what we would obtain by performing the exact operation   and next rounding the result using  . The IEEE754 Standard also specifies how the square root function must be rounded in a similar way to Eq. (2) but does not specify the roundoff of other functions like sin, log, etc.\n\nWe introduce hereafter two functions which compute the unit in the first place and the unit in the last place of a floating-point number. These functions are used further in this article to generate constraints encoding the way roundoff errors are propagated throughout computations. The   of a number x is\n\n(3)\n\nThe   of a floating-point number which significand has size p is defined by\n\n(4)\n\nThe   of a floating-point number corresponds to the binary exponent of its most significant digit. Conversely, the   of a floating-point number corresponds to the binary exponent of its least significant digit. Note that several definitions of the   have been given [22].\n\nFig. 2.\n\nTop left: initial program. Top right: annotations after analysis. Bottom left: forward analysis (one iteration). Bottom right: backward analysis (one iteration).\n\n### 2.2 Overview of Our Method\n\nLet us consider the program of Fig. 2 which implements a simple linear filter. At each iteration t of the loop, the output   is computed as a function of the current input   and of the values   and   of the former iteration. Our program contains several annotations. First, the statement   on the last line of the code informs the system that the programmer wants to have 10 accurate binary digits on   at this control point. In other words, let   for some  , the absolute error between the value v that   would have if all the computations where done with real numbers and the floating-point value   of   is less than  .\n\nNote that accuracy is not a property of a number but a number that states how closely a particular floating-point number matches some ideal true value. For example, using the basis   for the sake of simplicity, the floating-point value 3.149 represents   with an accuracy of 3. It itself has a precision of 4. It represents the real number 3.14903 with an accuracy of 4.\n\nAn abstract value   represents the set of floating-point values with p accurate bits ranging from a to b. For example, in the code of Fig. 2, the variables   and   are initialized to the abstract value   thanks to the annotation [1.0,3.0]#16. Let   be the of set of all floating-point numbers with accuracy p. This means that, compared to exact value v computed in infinite precision, the value   of   is such that  . By definition, using the function ufp introduced in Eq. (3), for any   the roundoff error   on x is bounded by  . Concerning the abstract values, intuitively we have the concretization function\n\n(5)\n\nThese abstract values are special cases of the values used in other work [18] in the sense that, in the present framework, the errors attached to floating-point numbers have form   for some integer u instead of arbitrary intervals with real bounds. Restricting the form of the errors enables one to simplify drastically the transfer functions for the backward analysis and the generation of constraints in Sect. 4. In this article, we focus on the accuracy of computations and we omit other problems related to runtime-errors [3, 5]. In particular, overflows are not considered and we assume that any number with p accurate digits belongs to  . In practice, a static analysis computing the ranges of the variables and rejecting programs which possibly contain overflows is done before our analysis.\n\nFig. 3.\n\nExample of forward addition: 3.0#16 \\+ 1.0#16 = 4.0#17.\n\nIn our example,   and   belong to   which means, by definition, that these variables have a value   ranging in [1.0, 3.0] and such that the error between   and the value v that we would have in the exact arithmetic is bounded by  . Typically, in this example, this information would come from the specification of the sensor related to x. By default, the values for which no accuracy annotation is given (for instance the value of   in the example of Fig. 2) are considered as exact numbers rounded to the nearest in double precision. In this format numbers have 53 bits of significand (see Fig. 1). The last bit being rounded, these numbers have 52 accurate bits in our terminology and, consequently, by default values belong to   in our framework. Based on the accuracy of the inputs, our forward analysis computes the accuracy of all the other variables and expressions. The program in the left bottom corner of Fig. 2 displays the result of the forward analysis on the first iteration of the loop. Let   denote the forward addition (all the operations used in the current example are formally defined in Sect. 3). For example, the result of   has 16 accurate digits since\n\nThis is illustrated in Fig. 3 where we consider the addition of these values at the bit level. For the result of the addition   between intervals, we take the most pessimistic accuracy:  .\n\nThe backward analysis is performed after the forward analysis and takes advantage of the accuracy requirement at the end of the code (see the right bottom corner of Fig. 2 for an unfolding of the backward analysis on the first iteration of the loop). Since, in our example, 10 bits only are required for  , the result of the addition   also needs 10 accurate bits only. By combining this information with the result of the forward analysis, it is then possible to lower the number of bits needed for one of the operands. Let   be the backward addition. For example, for   in the assignment of v, we have:\n\nConversely to the forward function, the interval function now keeps the largest accuracy arising in the computation of the bounds:\n\nFig. 4.\n\nFinal program with generated data types for the example of Fig. 2.\n\nBy processing similarly on all the elementary operations and after computation of the loop fixed point, we obtain the final result of the analysis displayed in the top right corner of Fig. 2. This information may be used to determine the most appropriate data type for each variable and operation, as shown in Fig. 4. To obtain this result we generate a set of constraints corresponding to the forward and backward transfer functions for the operations of the program. There exists several ways to handle a backward operation: when the accuracy on the inputs x and y computed by the forward analysis is too large wrt. the desired accuracy on the result, one may lower the accuracy of either x or y or both.\n\nSince this question arises at each binary operation, we would face to a huge number of combinations if we decided to enumerate all possibilities. Instead, we generate a disjunction of constraints corresponding to the minimization of the accuracy of each operand and we let the solver search for a solution. The control flow of the program is also encoded with constraints. For a sequence of statements, we relate the accuracy of the former statements to the accuracy of the latter ones. Each variable x has three parameters: its forward, backward and final accuracy, denoted  ,   and   respectively. We must always have\n\n(6)\n\nFor the forward analysis, the accuracy of some variable may decrease when passing to the next statement (we may only weaken the pre-conditions). Conversely, in the backward analysis, the accuracy of a given variable may increase when we jump to a former statement in the control graph (the post-conditions may only be strengthened). For a loop, we relate the accuracy of the variables at the beginning and at the end of the body, in a standard way.\n\nThe key point of our technique is to generate simple constraints made of propositional logic formulas and of affine expressions among integers (even if the floating-point computations in the source code are non-linear). A static analysis computing safe ranges at each control point is performed before our accuracy analysis. Then the constraints depend on two kinds of integer parameters: the ufp of the values and their accuracies   and  . For instance, given control points   and  , the set C of constraints generated for  , assuming that we require 10 accurate bits for the result are:\n\nFor the sake of conciseness, the constraints corresponding to Eq. (6) have been omitted in C. For example, for the forward addition, the accuracy   of the result is the number of bits between   and the   u of the error which is\n\nwhere   or   depending on some condition detailed later. The constraints generated for each kind of expression and command are detailed in Sect. 4.\n\n### 2.3 Related Work\n\nSeveral approaches have been proposed to determine the best floating-point formats as a function of the expected accuracy on the results. Darulova and Kuncak use a forward static analysis to compute the propagation of errors [11]. If the computed bound on the accuracy satisfies the post-conditions then the analysis is run again with a smaller format until the best format is found. Note that in this approach, all the values have the same format (contrarily to our framework where each control-point has its own format). While Darulova and Kuncak develop their own static analysis, other static techniques [13, 29] could be used to infer from the forward error propagation the suitable formats. Chiang et al. [7] have proposed a method to allocate a precision to the terms of an arithmetic expression (only). They use a formal analysis via Symbolic Taylor Expansions and error analysis based on interval functions. In spite of our linear constraints, they solve a quadratically constrained quadratic program to obtain annotations.\n\nOther approaches rely on dynamic analysis. For instance, the Precimonious tool tries to decrease the precision of variables and checks whether the accuracy requirements are still fulfilled [24, 27]. Lam et al. instrument binary codes in order to modify their precision without modifying the source codes [16]. They also propose a dynamic search method to identify the pieces of code where the precision should be modified. Finally, another related research axis concerns the compile-time optimization of programs in order to improve the accuracy of the floating-point computation in function of given ranges for the inputs, without modifying the formats of the numbers [10, 26].\n\n## 3 Abstract Semantics\n\nIn this section, we give a formal definition of the abstract domain and transfer functions presented informally in Sect. 2. The domain is defined in Sect. 3.1 and the transfer functions are given in Sect. 3.2.\n\n### 3.1 Abstract Domain\n\nLet   be the set floating-point numbers with accuracy p (we assume that the error between   and the value that we would have in the exact arithmetic is less than  ) and let   be the set of all intervals of floating-point numbers with accuracy p. As mentioned in Sect. 2.2, we assume that no overflow arises during our analysis and we omit to specify the lower and upper bounds of  . An element  , denoted  , is then defined by two floating-point numbers and an accuracy p. We have\n\n(7)\n\nOur abstract domain is the complete lattice   where elements are ordered by  . In other words,   is more precise than   if it is an included interval with a greater accuracy. Let   denote the rounding of x at precision r using the rounding mode m. Then the join and meet operators are defined by\n\n(8)\n\nand\n\n(9)\n\nIn addition, we have   and we have   whenever  . Let   be the abstraction function which maps a set of floating-point numbers X with different accuracies  ,   to a value of  . Let  ,   and   the minimal accuracy in X. We have,\n\n(10)\n\nLet   and  . The concretization function   is defined as:\n\n(11)\n\nUsing the functions   and   of Eqs. (10) and (11), we define the Galois connection   [8].\n\n### 3.2 Transfer Functions\n\nIn this section, we introduce the forward and backward transfer functions for the abstract domain   of Sect. 3.1. These functions are defined using the unit in the first place of a floating-point number introduced in Sect. 2.1. First, we introduce the forward transfer functions corresponding to the addition   and product   of two floating-point numbers   and  . The addition and product are defined by\n\n(12)\n\n(13)\n\nIn Eqs. (12) and (13),   and   denote the exact sum and product of the two values. In practice, this sum must be done with enough accuracy in order to ensure that the result has accuracy r, for example by using more precision than the accuracy of the inputs. The errors on the addition and product may be bounded by   and  , respectively. Then the most significant bits of the errors have weights   and   and the accuracies of the results are   and  , respectively.\n\nFig. 5.\n\nForward and backward transfer functions for the addition and product on  .\n\nWe introduce now the backward transfer functions   and  . We consider the operation between   and   whose result is  . Here,   and   are known while   is unknown. We have\n\n(18)\n\n(19)\n\nThe correctness of the backward product relies on the following arguments. Let   and   be the exact errors on x, y and z respectively. We have   and then   Finally, we conclude that  .\n\nWe end this section by extending the operations to the values of the abstract domain   of Sect. 3.1. First, let  , let   be a rounding mode and let   be the rounding function which returns the roundoff of a number at precision p using the rounding mode m. We write   and   the forward and backward addition and   and   the forward and backward products on  . These functions are defined in Fig. 5. The forward functions   and   take two operands   and   and return the resulting abstract value  . The backward functions take three arguments: the operands   and   known from the forward pass and the result   computed by the backward pass [20]. Then   and   compute the backward value   of the first operand. The backward value of the second operand can be obtained by inverting the operands   and  . An important point in these formulas is that, in forward mode, the resulting intervals inherit from the minimal accuracy computed for their bounds while, in backward mode, the maximal accuracy computed for the bounds is assigned to the interval.\n\n## 4 Constraint Generation\n\nIn this section, we introduce our system of constraints. The transfer functions of Sect. 3 are not directly translated into constraints because the resulting system would be too difficult to solve, containing non-linear constraints among non-integer quantities. Instead, we reduce the problem to a system of constraints made of linear relations between integer elements only. Sections 4.1 and 4.2 introduce the constraints for arithmetic expressions and programs, respectively.\n\n### 4.1 Constraints for Arithmetic Expressions\n\nIn this section, we introduce the constraints generated for arithmetic expressions. As mentioned in Sect. 2, we assume that a range analysis is performed before the accuracy analysis and that a bounding interval is given for each variable and each value at any control point of the input programs.\n\nLet us start with the forward operations. Let   and   and let us consider the operation  . We know from Eq. (12) that   with  . We need to over-approximate   in order to ensure  . Let   and  . We have   and   and, consequently,   We introduce the function   defined by  . We have\n\nand we conclude that\n\n(20)\n\nNote that, since we assume that a range analysis has been performed before the accuracy analysis,  , a and b are known at constraint generation time. For the forward product, we know from Eq. (13) that   with  . Again, let   and  . We have, by definition of  ,  . Then   may be bound by\n\nSince   and  , we may get rid of the last term of the former equation and we obtain that\n\nWe conclude that\n\n(21)\n\nNote that, by reasoning on the exponents of the values, the constraints resulting from a product become linear. We consider now the backward transfer functions. If   then we know from Eq. (18) that   with  . Let  , we over-approximate   using the relations   and  . So,   and\n\n(22)\n\nFinally, for the backward product, using Eq. (19) we know that if   then   with   Using the relations  ,  ,   and  , we deduce that   and that  . Consequently,   and it results that\n\n(23)\n\nFig. 6.\n\nConstraint generation for arithmetic expressions.\n\nFig. 7.\n\nConstraint generation for commands.\n\n### 4.2 Systematic Constraint Generation\n\nTo explain the constraint generation, we use the simple imperative language of Eq. (24) in which a unique label   is attached to each expression and command to identify without ambiguity each node of the syntactic tree.\n\n(24)\n\nAs in Sect. 2,   denotes a constant c with accuracy p and the statement   indicates that x must have at least accuracy n at control point  . The set of identifiers occurring in the source program is denoted  . Concerning the arithmetic expressions, we assign to each label   of the expression three variables in our system of constraints,  ,   and   respectively corresponding to the forward, backward and final accuracies and we systematically generate the constraints  .\n\nFor each control point in an arithmetic expression, we assume given a range  , computed by static analysis and which bounds the values possibly occurring at Point   at run-time. Our constraints use the unit in the first place   and   of these ranges. Let   be an environment which relates each identifier x to its last assignment  : Assuming that   is the last assignment of x, the environment   maps x to   (we will use join operators when control flow branches will be considered). Then   generates the set of constraints for the expression e in the environment  . These constraints, defined in Fig. 6, are derived from equations of Sect. 4.1. For commands, labels are used to distinguish many assignments of the same variable or to implement joins in conditions and loops. Given a command c and an environment  ,   returns a pair   made of a set C of constraints and of a new environment  .   is defined by induction on the structure of commands in Fig. 7. These constraint join values at control flow junctions and propagate the accuracies as described in Sect. 2. In forward mode, accuracy decreases while in backward mode accuracy increases (we weaken pre-conditions and strengthen post-conditions).\n\n## 5 Experimental Results\n\nIn this section we present some experimental results obtained with our prototype. Our tool generates the constraints defined in Sect. 4 and calls the Z3 SMT solver [21] in order to obtain a solution. Since, when they exist, solutions are not unique in general, we add an additional constraint related to a cost function   to the constraints of Figs. 6 and 7. The cost function   of a program c computes the sum of all the accuracies of the variables and intermediary values stored in the control points of the arithmetic expressions,  . Then, by binary search, our tool searches the smallest integer P such that the system of constraints   admits a solution (we aim at using an optimizing solver in future work [6, 25, 28]). In our implementation we assume that, in the worst case, all the values are in double precision, consequently we start the binary search with   where n is the number of variables and intermediary values stored in the control points. When a solution is found for some P, a new iteration of the binary search is run with a smaller P. Otherwise, a new iteration is run with a larger P.\n\nFig. 8.\n\nExamples of mixed-precision inference. Source programs, inferred accuracies and formats. Top:   determinant. Middle: Horner's scheme. Bottom: a PD controller.\n\nFig. 9.\n\nMeasures of efficiency of the analysis on the codes of Figs. 2 and 8.\n\nWe consider three sample codes displayed in Fig. 8. The first program computes the determinant   of a   matrix  . We have   The matrix coefficients belong to the ranges   and we require that the variable det containing the result has accuracy 10 which corresponds to a fairly rounded half precision number. By default, we assume that in the original program all the variables are in double precision. Our tool infers that all the computations may be carried out in half precision.\n\nThe second example of Fig. 8 concerns the evaluation of a degree 9 polynomial using Horner's scheme:  . The coefficients   belong to   and  . Initially all the variables are in double precision and we require that the result is fairly rounded in single precision. Our tool then computes that all the variables may be in single precision but p which must remain in double precision. Our last example is a proportional differential controller. Initially the measure m is given by a sensor which sends values in   and which ensures an accuracy of 32. All the other variables are assumed to be in double precision. As shown in Fig. 8, many variables may fit inside single precision formats.\n\nFor each program, we give in Fig. 9 the number of variables of the constraint system as well as the number of constraints generated. Next, we give the total execution time of the analysis (including the generation of the system of constraints and the calls to the SMT solver done by the binary search). Then we give the number of bits needed to store all the values of the programs, assuming that all the values are stored in double precision (column #Bits-Init.) and as computed by our analysis (column #Bits-Optim.) Finally, the number of calls to the SMT solver done during the binary search is displayed. Globally, we can observe that the numbers of variables and constraints are rather small and very tractable for the solver. This is confirmed by the execution times which are very short. The improvement, in the number of bits needed to fulfill the requirements, compared to the number of bits needed if all the computations are done in double precision, ranges from   to   which is very important.\n\n## 6 Conclusion\n\nWe have defined a static analysis which determines the floating-point formats needed to ensure a given accuracy. This analysis is done by generating a set of linear constraints between integer variables only, even if the programs contain non-linear computations. These constraints are easy to solve by a SMT solver.\n\nOur technique can be easily extended to other language structures. For example, since all the elements of an array must have the same type, we just need to join all the elements in a same abstract value to obtain a relevant result. Similarly, functions are also easy to manage since only one type per argument and returned value need. Our analysis is built upon a range analysis performed before. Obviously, the precision of this analysis impacts the precision of the floating-point format determination and the inference of sharp ranges given by relational domains, improves the quality of the results. In future work, we aim at exploring the use a solver based on optimization modulo theories [6, 25, 28] instead of the non-optimizing solver coupled to a binary search used presently.\n\nReferences\n\n1.\n\nPatriot missile defense: Software problem led to system failure at Dhahran, Saudi Arabia. Technical Report GAO\/IMTEC-92-26, General Accounting office (1992)\n\n2.\n\nANSI\/IEEE: IEEE Standard for Binary Floating-Point Arithmetic (2008)\n\n3.\n\nBarr, E.T., Vo, T., Le, V., Su, Z.: Automatic detection of floating-point exceptions. In: POPL 2013, pp. 549\u2013560. 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Byte, March 1995\n\n16.\n\nLam, M.O., Hollingsworth, J.K., de Supinski, B.R., LeGendre, M.P.: Automatically adapting programs for mixed-precision floating-point computation. In: Supercomputing, ICS 2013, pp. 369\u2013378. ACM (2013)\n\n17.\n\nLamotte, J.L., Chesneaux, J.M., J\u00e9z\u00e9quel, F.: CADNA_C: a version of CADNA for use with C or C++ programs. Comput. Phys. Commu. 181(11), 1925\u20131926 (2010)CrossRef\n\n18.\n\nMartel, M.: Semantics of roundoff error propagation in finite precision calculations. High.-Order Symb. Comput. 19(1), 7\u201330 (2006)CrossRefMATH\n\n19.\n\nMartel, M., Najahi, A., Revy, G.: Code size and accuracy-aware synthesis of fixed-point programs for matrix multiplication. In: Pervasive and Embedded Computing and Communication Systems, pp. 204\u2013214. SciTePress (2014)\n\n20.\n\nMin\u00e9, A.: Inferring sufficient conditions with backward polyhedral under-approximations. Electr. Notes Theor. Comput. 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ACM (2016)\n\n25.\n\nNieuwenhuis, R., Oliveras, A.: On SAT modulo theories and optimization problems. In: Biere, A., Gomes, C.P. (eds.) SAT 2006. LNCS, vol. 4121, pp. 156\u2013169. Springer, Heidelberg (2006). doi:10.\u200b1007\/\u200b11814948_\u200b18 CrossRef\n\n26.\n\nPanchekha, P., Sanchez-Stern, A., Wilcox, J.R., Tatlock, Z.: Automatically improving accuracy for floating point expressions. In: PLDI, pp. 1\u201311. ACM (2015)\n\n27.\n\nRubio-Gonzalez, C., Nguyen, C., Nguyen, H.D., Demmel, J., Kahan, W., Sen, K., Bailey, D.H., Iancu, C., Hough, D.: Precimonious: tuning assistant for floating-point precision. In: International Conference for High Performance Computing, Networking, Storage and Analysis, pp. 27:1\u201327:12. ACM (2013)\n\n28.\n\nSebastiani, R., Tomasi, S.: Optimization modulo theories with linear rational costs. ACM Trans. Comput. Log. 16(2), 12:1\u201312:43 (2015)MathSciNetCrossRefMATH\n\n29.\n\nSolovyev, A., Jacobsen, C., Rakamari\u0107, Z., Gopalakrishnan, G.: Rigorous estimation of floating-point round-off errors with symbolic Taylor expansions. In: Bj\u00f8rner, N., de Boer, F. (eds.) FM 2015. LNCS, vol. 9109, pp. 532\u2013550. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-19249-9_\u200b33 CrossRef\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_17\n\n# A Verification Technique for Deterministic Parallel Programs\n\nSaeed Darabi1  , Stefan C. C. Blom1  and Marieke Huisman1\n\n(1)\n\nUniversity of Twente, Enschede, The Netherlands\n\nSaeed Darabi (Corresponding author)\n\nEmail: s.darabi@utwente.nl\n\nStefan C. C. Blom\n\nEmail: s.c.c.blom@utwente.nl\n\nMarieke Huisman\n\nEmail: M.Huisman@utwente.nl\n\nAbstract\n\nA commonly used approach to develop parallel programs is to augment a sequential program with compiler directives that indicate which program blocks may potentially be executed in parallel. This paper develops a verification technique to prove correctness of compiler directives combined with functional correctness of the program. We propose syntax and semantics for a simple core language, capturing the main forms of deterministic parallel programs. This language distinguishes three kinds of basic blocks: parallel, vectorized and sequential blocks, which can be composed using three different composition operators: sequential, parallel and fusion composition. We show that it is sufficient to have contracts for the basic blocks to prove correctness of the compiler directives, and moreover that functional correctness of the sequential program implies correctness of the parallelized program. We formally prove correctness of our approach. In addition, we define a widely-used subset of OpenMP that can be encoded into our core language, thus effectively enabling the verification of OpenMP compiler directives, and we discuss automated tool support for this verification process.\n\n## 1 Introduction\n\nA common approach to handle the complexity of parallel programming is to write a sequential program augmented with parallelization compiler directives that indicate which part of code might be parallelized. A parallelizing compiler consumes the annotated sequential program and automatically generates a parallel version. This approach is often called deterministic parallel programming, as the parallelization of a deterministic sequential program augmented with correct compiler directives is always deterministic. Deterministic parallel programming is supported by different languages and libraries such as OpenMP [18] and is often used for financial and scientific applications [3, 11, 16, 19].\n\nAlthough it is relatively easy to write parallel programs in this way, careless use of compiler directives can easily introduce data races and consequently non-deterministic program behaviour. This paper proposes a static technique to prove that parallelization as indicated by the compiler directives does not introduce such non-determinism. Moreover it also shows how our technique reduces functional verification of the parallelized program to functional verification of the sequential program. We develop our verification technique over a core deterministic parallel programming language called PPL (for Parallel Programming Language). To show practical usability of our approach, we present how a commonly used subset of OpenMP can be encoded into PPL and then be verified in our approach. We also discuss tool support for this process.\n\nIn essence, PPL is a language for the composition of code blocks. We identify three kinds of basic blocks: a parallel block, a vectorized block and a sequential block. Basic blocks are composed by three binary block composition operators: sequential composition, parallel composition and fusion composition where the fusion composition allows two parallel basic blocks to be merged into one. An operational semantics for PPL is presented.\n\nOur verification technique requires each basic block to be specified by an iteration contract [6] that describes which memory locations are read and written by a thread. Moreover, the program itself should be specified by a global contract. To verify the program, we show that the block compositions are memory safe (i.e. data race free) by proving that for all independent iterations (i.e. the iterations that might run in parallel) all accesses to shared memory are non-conflicting, meaning that they are disjoint or they are read accesses. If all block compositions are memory safe, then it is sufficient to prove that the sequential composition of all the basic blocks w.r.t. program order is memory safe and functionally correct, to conclude that the parallelized program is functionally correct.\n\nThe main contributions of this paper are the following:\n\n  * A core language, PPL, and an operational semantics which captures the main forms of parallelization constructs in deterministic parallel programming.\n\n  * A verification approach for reasoning about data race freedom and functional correctness of PPL programs.\n\n  * A soundness proof that all verified PPL programs are indeed data race free and functionally correct w.r.t. their contracts.\n\n  * Tool support that addresses the complete process of encoding of OpenMP into PPL and verification of PPL programs.\n\nThis paper is organized as follows. After some background information, Sect. 3 explains syntax and semantics of PPL. Section 4 presents our verification technique for reasoning about PPL programs and also discusses soundness of our verification approach. Section 5 explains how our approach is applied to verification of OpenMP programs. Finally, we conclude with related and future work.\n\n## 2 Background\n\nWe present some background information on OpenMP, Permission-based Separation Logic and the notion of iteration contract.\n\n### 2.1 OpenMP\n\nThis section illustrates the most important OpenMP features by an example. We verify this example later in Sect. 5 where the program contract and the iteration contracts are added. The example in Fig. 1 is a sequential C program augmented by OpenMP compiler directives (pragmas). The pivotal parallelization annotation in OpenMP is omp parallel which determines the parallelizable code block (called parallel region). Threads are forked upon entering a parallel region and joined back into a single thread at the end of the region.\n\nThe example shows a parallel region with three for-loops  , and  . The loops are marked as omp for meaning that they are parallelizable (i.e. their iterations are allowed to be executed in parallel). To precisely define the behaviour of threads in the parallel region, omp for annotations are extended by clauses. For example the combined use of the nowait and schedule(static) clauses indicates that it is safe to fuse the parallel loops   and  , meaning that the corresponding iterations of   and   are executed by the same thread without waiting. The clause nowait implies that it is safe to eliminate the implicit barrier at the end of omp for. The clause schedule(static) ensures that the OpenMP compiler assigns the same thread to corresponding iterations of the loops. In OpenMP all variables which are not local to a parallel region are considered as shared by default unless they are explicitly declared as private (using private clause) when they are passed to a parallel region.\n\nFig. 1.\n\nOpenMP example\n\n### 2.2 Permission-Based Separation Logic\n\nOur verification technique is based on Permission-based Separation Logic [7, 10]. Separation logic [21] is an extension of Hoare logic [14], originally proposed to reason about pointer programs. Separation logic is also suited for modular verification of concurrent programs [17]: two threads working on disjoint parts of the heap do not interfere and thus can be verified in isolation.\n\nThe basis of our specification language is a separation logic for C [22], extended with fractional permissions [7, 10] to denote the right to either read from or write to a location. Any fraction in the interval   denotes a read permission, while 1 denotes a write permission. Permissions can be split and combined, but soundness of the logic prevents the sum of the permissions for a location over all threads to exceed 1. This guarantees that if permission specifications can be verified, the program is data race free. The set of permissions that a thread holds are often called its resources. In earlier work, we have shown that this logic is suitable to reason about kernel programs [5] and parallel loops [6].\n\nFormulas F in our logic are built from first-order logic formulas b, permission predicates  , conditional expressions ( ), separating conjunction  , and universal separating conjunction   over a finite set I. The syntax of formulas is formally defined as follows:\n\nwhere b is a side-effect free boolean expression, l is a side-effect free expression of type location, and f is a side-effect free expression of type fraction. The semantics of formulas is given in the extended version of this paper [12].\n\n### 2.3 Iteration Contract\n\nAn iteration contract specifies the variables read and written by one iteration of the loop. In [6], we prove that if the iteration contract can be proven correct without any further specifications, the iterations are independent and the loop is parallelizable. If a loop has dependences, we can add additional specifications that capture these dependences, and describe how resources are transferred to another iteration of the loop. For example the iteration contract of   consists of: a precondition   and a post-condition  .\n\n## 3 Syntax and Semantics of Deterministic Parallelism\n\nThis section presents the abstract syntax and semantics of PPL, our core language for deterministic parallelism.\n\nFig. 2.\n\nAbstract syntax for parallel programming language\n\n### 3.1 Syntax\n\nFigure 2 presents the PPL syntax. The basic building block of a PPL program is a block. Each block has a single entry point and a single exit point. Blocks are composed using three binary composition operators: parallel composition  , fusion composition   and sequential composition  . The entry block of the program is the outermost block. Basic blocks are: a parallel block   ( )  ; a vectorized block   ( )  ; and a sequential block  , where   is a positive integer variable that denotes the number of parallel threads, i.e., the block's parallelization level,   is a sequence of statements and   is a sequence of guarded assignments  . We assume a restricted syntax for fusion composition such that its operands are parallel basic blocks with the same parallelization levels. Each basic block has a local read-only variable   called thread identifier where   is the block's parallelization level. We generalize the term iteration to refer to the computations of a single thread in a basic block. So a parallel or vectorized block with parallelization level   has   iterations. For simplicity, but without loss of generality, threads have access to a single shared array which we refer to as heap. We assume all memory locations in the heap are allocated initially. A thread may update its local variables by performing a local computation ( ), or by reading from the heap ( ). A thread may update the heap by writing one of its local variables to it ( ).\n\n### 3.2 Semantics\n\nThe behaviour of PPL programs is described using a small step operational semantics. Throughout, we assume existence of the finite domains:  , the set of variable names,  , the set of all values, which includes the memory locations,  , the set of memory locations and   for thread identifiers. We write   to concatenate two statement sequences ( ). To define the program state, we use the following definitions.\n\nNow we define  . We distinguish various kinds of block states: an initial state  , composite block states   and  , a state in which a parallel basic block should be executed  , a local state   in which a vectorized or a sequential basic block should be executed, and a terminated block state  .\n\nThe   state consists of a block statement  . The   state consists of two block states, and the   state contains a block state and a block statement  ; they capture all the states that a parallel composition and a sequential composition of two blocks might be in, respectively. The basic block state   captures all the states that a parallel basic block   ( )   might be in during its execution. It contains a mapping  , that maps each thread to its local state, which models the parallel execution of the threads. There are three kinds of local states: a vectorized state  , a sequential state  , and a terminated sequential state  .\n\nThe   block state captures all states that a vectorized basic block   ( )   might be in during its execution. It consists of  , which maps each thread to its private memory, the body to be executed  , a private memory  , and a statement  . As vectorized blocks may appear inside a sequential block, keeping   and   allows continuation of the sequential basic block after termination of the vectorized block. To model vectorized execution, the state contains an auxiliary set   that models which threads have already executed the current instruction. Only when   equals  , the next instruction is ready to be executed. Finally, the   block state consists of private memory   and a statement  .\n\nFig. 3.\n\nOperational semantics for program execution\n\nFig. 4.\n\nOperational semantics for thread execution\n\nWe model the program state as a triple of block state, program store and heap   and thread state as a pair of local state and heap  . The program store is constant within a block and it contains all global variables (e.g. the initial address of arrays). To simplify our notation, each thread receives a copy of the program store as part of its private memory when it initializes. The operational semantics is defined as a transition relation between program states:  , (Fig. 3), using an auxiliary transition relation between thread local states  , (Fig. 4), and a standard transition relation   to evaluate assignments, (Fig. 5). The semantics of expression e and boolean expression b over private memory  , written   and   respectively, is standard and not discussed any further. We use the standard notation for function update: given a function  ,  , and  :\n\nProgram execution starts in a program state   where   is the program's entry block. Depending on the form of  , a transition is made into an appropriate block state, leaving the heap unchanged. The evaluation of a   state non-deterministically evaluates one of its block states (i.e.   or  ), evaluation of a sequential block is done by evaluating the local state. The evaluation of a   state evaluates its block state   step by step when this evaluation is done, the subsequent block is initiated.\n\nThe evaluation of a parallel basic block is defined by the rules Par Step and Par Done. To allow all possible interleavings of the threads in the block's thread pool, each thread has its own local state  , which can be executed independently, modeled by the mapping  . A thread in the parallel block terminates if there is no more statement to be executed and a parallel block terminates if all threads executing the block are already terminated.\n\nThe evaluation of sequential basic block's statements as defined in Fig. 4 is standard except when it contains a vectorized basic block. A sequential basic block terminates if there is no instruction left to be executed (Seq Done). The execution of a vectorized block (defined by the rules Init Vec, Vec Step, Vec Sync and Vec Done in Fig. 4) is done in lock-step, i.e. all threads execute the same instruction and no thread can proceed to the next instruction until all are done, meaning that they all share the same program counter. As explained, we capture this by maintaining an auxiliary set,  , which contains the identifier of the threads that have already executed the vector instruction (i.e. the guarded assignment  ). When a thread executes a vector instruction, its thread identifier is added to   (rules Vec Step). The semantics of vector instructions (i.e. guarded assignments) is the semantics of assignments if the guard evaluates to true and it does nothing otherwise. When all threads have executed the current vector instruction, the condition   holds, and execution moves on to the next vector instruction of the block (with an empty auxiliary set) (rule Vec Sync). The semantics of assignments as defined in Fig. 5 is standard and does not require further discussion.\n\nFig. 5.\n\nOperational semantics for assignments\n\n## 4 Verification Approach\n\nThis section discusses our verification technique for reasoning about PPL programs, as well as soundness of our verification approach.\n\n### 4.1 Verification\n\nFor the verification of PPL programs, we assume that each basic block is specified by an iteration contract. We distinguish two kinds of formulas in an iteration contract: resource formulas (in permission-based separation logic) and functional formulas (in first-order logic). For an individual basic block if its iteration contract is proven correct, then the basic block is data race free and it is functionally correct w.r.t. its iteration contract. To verify the correctness of the program, using standard permission-based separation logic rules, the contracts of all composite blocks should be given. However, our verification approach requires only the basic blocks to be specified at the cost of an extra proof obligation that ensures that the heap accesses of all iterations which are not ordered sequentially are non-conflicting (i.e. they are disjoint or they are read accesses). If this condition holds, correctness of the PPL program can be derived from the correctness of a linearised variant of the program. The rest of this section discusses the formalization of our approach.\n\nTo verify a program, we require each basic block of the program to be specified by an iteration contract which consists of: a resource contract  , and a functional contract  , where i is the block's iteration variable. The functional contract consists of a precondition  , and a postcondition  . We also require the program to be globally specified by a contract   which consists of the program's resource contract   and the program's functional contract   with the program's precondition   and the program's postcondition  .\n\nLet   be the set of all PPL programs and   be an arbitrary PPL program assuming that each basic block in   is identified by a unique label. We define  , as the finite set of basic block labels of the program  . For a basic block   with parallelization level  , we define a finite set of iteration labels   where   indicates the   iteration of the block  . Let   be the finite set of all iterations of the program  .\n\nTo state our proof rule, we first define the set of all iterations which are not ordered sequentially, the incomparable iteration pairs,   as:\n\nwhere   is the least partial order which defines an extended happens-before relation. The extension addresses the iterations which are happens-before each other because their blocks are fused. We define   based on two partial orders over the program's basic blocks:   and  . The former is the standard happens-before relation of blocks where they are sequentially composed by   and the latter is an happens-before relation w.r.t. fusion composition  . They are defined by means of an auxiliary partial order generator function   such that:   and  . We define   as follows:\n\nwhere  .\n\nThe function   computes the set of all iteration pairs of the input program   which are in relation w.r.t. the given composition operator  . This computation is basically a syntactical analysis over the input program. Now we define the extended partial order   as:\n\nThis means that the iteration   happens-before the iteration   if   happens-before   (i.e.   is sequentially composed with  ) or if   is fused with   and   and   are corresponding iterations in   and  .\n\nFig. 6.\n\nProof rule for b-linearisation reduction of PPL programs.\n\nWe extend the program logic that we introduced in [6] with the proof rule b-linearise. We first define the block level linearisation (b-linearisation for short)   as a program transformation which substitutes all non-sequential compositions by a sequential composition. We define   as a subset of   in which only sequential composition   is allowed as composition operator.\n\nFigure 6 presents the rule b-linearise. In the rule,   and   are the resource contracts of two different basic blocks b and   where   and  . Application of the rule results in two new proof obligations. The first ensures that all heap accesses of all incomparable iteration pairs (the iterations that may run in parallel) are non-conflicting (i.e. all block compositions in   are memory safe). This reduces the correctness proof of   to the correctness proof of its b-linearised variant   (the second proof obligation). Then the second proof obligation is discharged in two steps: (1) proving the correctness of each basic block against its iteration contract (using the proof rule introduced in [6]) and (2) proving the correctness of   against the program contract.\n\n### 4.2 Soundness\n\nNext we show that a PPL program with provably correct iteration contracts and a global contract that is provable in our logic extended with the rule b-linearise is indeed data race free and functionally correct w.r.t. its specifications. To show this, we prove soundness of the b-linearise rule, as well as data race freedom of all verified programs.\n\nFor the soundness proof, we show that for each program execution there exists a corresponding b-linearised execution with the same functional behaviour (i.e. they end in the same terminal state if they start in the same initial state) if all independent iterations are non-conflicting. From the rule's assumption, we know that if the precondition holds for the initial state of the b-linearised execution (which is also the initial state of the program execution) then its terminal state satisfies the postcondition. As both executions end in the same terminal state, the postcondition thus also holds for the program execution. To prove that there exists a matching b-linearised execution for each program execution, we first show that any valid program execution can be normalized w.r.t. program order and second that any normalized execution can be mapped to a b-linearised execution. To formalize this argument, we first define: an execution, an instrumented execution, and a normalized execution.\n\nWe assume all program's blocks including basic and composite blocks have a block label and program's statements are labelled by the label of the block to which they belong. Also there exists a total order over the block labels.\n\nDefinition 1\n\n(Execution). An execution of a program   is a finite sequence of state transitions  .\n\nTo distinguish between valid and invalid executions, we instrument our operational semantics with heap masks. A heap mask models the access permissions to every heap location. It is defined as a map from locations to fractions   where   is the set of fractions ([0, 1]). Any fraction (0, 1) is read and 1 is write permission. The instrumented semantics ensures that each transition has sufficient access permissions to the heap locations that it accesses. We first add a heap mask   to all block state constructors ( ,  ,   and so on) and local state constructors ( ,   and  ). Then we extend the operational semantics rules such that in each block initialization state with heap mask   an extra premise should be discharged, which states that there are   heap masks  , one for each newly initialized state such that  . The heap masks are carried along by the computation and termination transitions without any extra premises, while in the termination transitions heap masks of the terminated blocks are forgotten as they are not required after termination. As an example, we provide the instrumented versions of the rules Init ParC, ParC Done, rdsh, and wrsh.\n\nwhere   and   denote program and assignment transition relations in the instrumented semantics respectively. If a transition cannot satisfy its premises it blocks.\n\nDefinition 2\n\n(Instrumented Execution). An instrumented execution of a program   is a finite sequence of state transitions   where the set of all instrumented executions of   is written as  .\n\nLemma 1\n\nAssuming that (1)   and (2)   are valid for a program   (i.e. every basic block in   respects its iteration contract), for any execution E of the program  , there exists a corresponding instrumented execution.\n\nProof\n\nGiven an execution E, we assign heap masks to all program states that the execution E might be in. The program's initial state is assigned by a heap mask  . Assumption (1) implies that all iterations which might run in parallel are non-conflicting which implies that for all Init ParC transitions, there exist   and   such that   where   is the heap mask of the state in which Init ParC evaluates. In all computation transitions the successor state receives a copy of the heap mask of its predecessor. Assumption (2) implies that all iterations of all parallel and vectorized basic blocks are non-conflicting. This implies that for an arbitrary Init Par or Init Vec transition which initializes a basic block b, there exists   such that   holds in b's initialization transition and in all computation transitions of an arbitrary iteration i of the block b the premises of rdsh and wrsh transitions is satisfiable by  .\n\nLemma 2\n\nAll instrumented executions of a program   are data race free.\n\nProof\n\nThe proof proceeds by contradiction. Assume that there exists an instrumented execution that has a data race. Thus, there must be two parallel threads such that one writes to and the other one reads from or writes to a shared heap location e. Because all instrumented executions are non-blocking, the premises of all transitions hold. Therefore,   holds for the first thread, and   for the second thread either it writes or reads. Also because the program starts with one single main thread, both threads should have a single common ancestor thread z such that   where x and y are the ancestors of the first and the second thread respectively. A thread only gains permission from its parent; therefore   holds. Permission fractions are in the range [0, 1] by definition, therefore   holds. This implies that if  , then   which is a contradiction.\n\nA normalized execution is an instrumented execution that respects the program order, which is defined using an auxiliary labelling function   where   is the set of all transitions,   is the set of labels  , and   is the set of block labels (including both composite and basic block labels).\n\nwhere   returns the label of each block or statement in the program. We assume the precedence order   over  . We say transition t with label (b, l) is less than   with label   if   where   returns the label set of all blocks of which b is composed.\n\nDefinition 3\n\n(Normalized Execution). An instrumented execution labelled by   is normalized if the labels of its transitions are in non-decreasing order.\n\nWe transform an instrumented execution to a normalized one by safely commuting the transitions whose labels do not respect the program order.\n\nLemma 3\n\nFor each instrumented execution of a program  , there exists a normalized execution such that they both end in the same terminal state.\n\nLemma 4\n\nFor each normalized execution of a program  , there exists a b-linearised execution  , such that they both end in the same terminal state.\n\nThe extended version of this paper [12] presents the proofs of Lemmas 3 and 4.\n\nDefinition 4\n\n(Validity of Hoare Triple). The Hoare triple   is valid if for any execution   (i.e.  ) if   is valid in the initial state of  , then   is valid in its terminal state.\n\nThe validity of   and   is defined by the semantics of formulas presented in the extended version of this paper [12].\n\nTheorem 1\n\nThe rule b-linearise is sound.\n\nProof\n\nAssume (1).   and (2).    . From assumption (2) and the soundness of the program logic used to prove it [6], we conclude (3).    . Given a program  , implication (3), assumption (1) and, Lemma 1 imply that there exists an instrumented execution   for  . Lemma 3 and Lemma 4 imply that there exists an execution   for the b-linearised variant of  ,  , such that both   and   end in the same terminal state. The initial states of both   and   satisfy the precondition  . From assumption (2) and the soundness of the program logic used to prove it [6],   holds in the terminal state of   which thus also holds in the terminal state of   as they both end in the same terminal state.\n\nFinally, we show that a verified program is indeed data race free.\n\nProposition 1\n\nA verified program is data race free.\n\nProof\n\nGiven a program  , with the same reasoning steps mentioned in the Theorem 1, we conclude that there exists an instrumented execution   for  . From Lemma 2 all instrumented executions are data race free. Thus, all executions of a verified program are data race free.\n\n## 5 Verification of OpenMP Programs\n\nFinally, this section discusses the practical applicability of our approach, by showing how it can be used for verification of OpenMP programs. We demonstrate this in detail on the OpenMP program presented in Sect. 2.1. More OpenMP examples are available online1. Below we precisely identify a commonly used subset of OpenMP programs that can be verified in our approach.\n\nFig. 7.\n\nRequired contracts for verification of the running OpenMP example\n\nWe verify OpenMP programs in the following three steps: (1) specifying the program (i.e. providing an iteration contract for each loop and writing the program contract for the outermost OpenMP parallel region), (2) encoding of the specified OpenMP program into its PPL counterpart (carrying along the original OpenMP specifications), (3) checking the PPL program against its specifications. Steps two and three have been implemented as part of the VerCors toolset [4, 23]. The details of the encoding algorithm are discussed in the extended version of this paper [12].\n\nFigure 7 shows the required contracts for the example discussed in Sect. 2.1. There are four specifications. The first one is the program contract which is attached to the outermost parallel block. The others are the iteration contracts of the loops   and  . The requires and ensures keywords indicate pre and post-conditions of each contract and the context keyword is a shorthand for both requiring and ensuring the same predicate. We use   and   to denote separating conjunction   and universal separating conjunction   receptively. Before verification, we encode the example into the following PPL program  :\n\nProgram   contains three parallel basic blocks   and   and is verified by discharging two proof obligations: (1) ensures that all heap accesses of all incomparable iteration pairs (i.e. all iteration pairs except the identical iterations of   and  ) are non-conflicting implying that the fusion of   and   and parallel composition of   and   are memory safe (2) consists of first proving that each parallel basic block by itself satisfies its iteration contract    , and second proving the correctness of the b-linearised variant of   against its program contract    .\n\nWe have implemented a slightly more general variant of PPL in the tool that supports variable declarations and method calls. To check the first proof obligation in the tool we quantify over pairs of blocks which allows the number of iterations in each block to be a parameter rather than a fixed number.\n\nFig. 8.\n\nOpenMP core grammar\n\nCaptured Subset of OpenMP. We define a core grammar which captures a commonly used subset of OpenMP [1]. This defines also the OpenMP programs that can be encoded into PPL and then verified using our approach. Figure 8 presents the OMP grammar which supports the OpenMP annotations: omp parallel, omp for, omp simd, omp for simd, omp sections, and omp single. An OMP program is a finite and non-empty list of Jobs enclosed by omp parallel. The body of omp for, omp simd, and omp for simd, is a for-loop. The body of omp single is either an OMP program or it is a sequential code block  . The omp sections block is a finite list of omp section sub-blocks where the body of each omp section is either an OMP program or it is a sequential code block  .\n\n## 6 Related Work\n\nBotincan et al. propose a proof-directed parallelization synthesis which takes as input a sequential program with a proof in separation logic and outputs a parallelized counterpart by inserting barrier synchronizations [8, 9]. Hurlin uses a proof-rewriting method to parallelize a sequential program's proof [15]. Compared to them, we prove the correctness of parallelization by reducing the parallel proof to a b-linearised proof. Moreover, our approach allows verification of sophisticated block compositions, which enables reasoning about state-of-the-art parallel programming languages (e.g. OpenMP) while their work remains rather theoretical.\n\nRaychev et al. use abstract interpretation to make a non-deterministic program (obtained by naive parallelization of a sequential program) deterministic by inserting barriers [20]. This technique over-approximates the possible program behaviours which ends up in a determinization whose behaviour is implied by a set of rules which decide between feasible schedules rather than the behaviour of the original sequential program. Unlike them, we do not generate any parallel program. Instead we prove that parallelization annotations can safely be applied and the parallelized program is functionally correct and exhibits the same behaviour as its sequential counterpart. Barthe et al. synthesize SIMD code given pre and postconditions for loop kernels in C++ STL or C# BCL [2]. We alternatively enable verification of SIMD loops, by encoding them into vectorized basic blocks. Moreover, we address the parallel or sequential composition of those loops with other forms of parallelized blocks.\n\nDodds et al. introduce a higher-order variant of Concurrent Abstract Predicates (CAP) to support modular verification of synchronization constructs for deterministic parallelism [13]. Their proofs use nested region assertions and higher-order protocols, but they do not address the semantic difficulties introduced by these features which make their reasoning unsound.\n\n## 7 Conclusion and Future Work\n\nWe have presented the PPL language which captures the main forms of deterministic parallel programming. Then, we proposed a verification technique to reason about data race freedom and functional correctness of PPL programs. We illustrated the practical applicability of our technique by discussing how a commonly used subset of OpenMP can be encoded into PPL and then verified.\n\nAs future work, we plan to look into adapting annotation generation techniques to automatically generate iteration contracts, including both resource formulas and functional properties. This will lead to fully automatic verification of deterministic parallel programs. Moreover, our technique can be extended to address a larger subset of OpenMP programs by supporting more complex OpenMP patterns for scheduling iterations and omp task constructs. We also plan to identify the subset of atomic operations that can be combined with our technique that allows verification of the widely-used reduction operations.\n\nReferences\n\n1.\n\nAviram, A., Ford, B.: Deterministic OpenMP for race-free parallelism. 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Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-03237-0_\u200b6 CrossRef\n\n16.\n\nJin, H.-Q., Frumkin, M., Yan, J.: The OpenMP implementation of NAS parallel Benchmarks and its performance (1999)\n\n17.\n\nO'Hearn, P.W.: Resources, concurrency and local reasoning. Theoret. Comput. Sci. 375(1\u20133), 271\u2013307 (2007)MathSciNetCrossRefMATH\n\n18.\n\nOpenMP Architecture Review Board: OpenMP API specification for parallel programming. http:\/\/\u200bopenmp.\u200borg\/\u200bwp\/\u200b. Accessed 28 Nov 2016\n\n19.\n\nLLNL OpenMP Benchmarks. https:\/\/\u200basc.\u200bllnl.\u200bgov\/\u200bCORAL-benchmarks\/\u200b. Accessed 28 Nov 2016\n\n20.\n\nRaychev, V., Vechev, M., Yahav, E.: Automatic synthesis of deterministic concurrency. In: Logozzo, F., F\u00e4hndrich, M. (eds.) SAS 2013. LNCS, vol. 7935, pp. 283\u2013303. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-38856-9_\u200b16 CrossRef\n\n21.\n\nReynolds, J.: Separation logic: a logic for shared mutable data structures. In: Logic in Computer Science, pp. 55\u201374. IEEE Computer Society (2002)\n\n22.\n\nTuch, H., Klein, G., Norrish, M.: Types, bytes, and separation logic. In: Hofmann, M., Felleisen, M. (eds.) POPL, pp. 97\u2013108. ACM (2007)\n\n23.\n\nVerCors project homepage, 28 September 2016. http:\/\/\u200bwww.\u200butwente.\u200bnl\/\u200bvercors\/\u200b\n\nFootnotes\n\n1\n\nSee the online version of the VerCors toolset at http:\/\/\u200bwww.\u200butwente.\u200bnl\/\u200bvercors\/\u200b.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_18\n\n# Systematic Predicate Abstraction Using Variable Roles\n\nYulia Demyanova1  , Philipp R\u00fcmmer2  and Florian Zuleger1\n\n(1)\n\nVienna University of Technology, Vienna, Austria\n\n(2)\n\nUppsala University, Uppsala, Sweden\n\nYulia Demyanova\n\nEmail: demy@forsyte.at\n\nPhilipp R\u00fcmmer (Corresponding author)\n\nEmail: philipp.ruemmer@it.uu.se\n\nAbstract\n\nHeuristics for discovering predicates for abstraction are an essential part of software model checkers. Picking the right predicates affects the runtime of a model checker, or determines if a model checker is able to solve a verification task at all. In this paper we present a method to systematically specify heuristics for generating program-specific abstractions. The heuristics can be used to generate initial abstractions, and to guide abstraction refinement through templates provided for Craig interpolation. We describe the heuristics using variable roles, which allow us to pick domain-specific predicates according to the program under analysis. Variable roles identify typical variable usage patterns and can be computed using lightweight static analysis, for instance with the help of off-the-shelf logical programming engines. We implemented a prototype tool which extracts initial predicates and templates for C programs and passes them to the Eldarica model checker in the form of source code annotations. For evaluation, we defined a set of heuristics, motivated by Eldarica's previous built-in heuristics and typical verification benchmarks from the literature and SV-COMP. We evaluate our approach on a set of more than 500 programs, and observe an overall increase in the number of solved tasks by 11.2%, and significant speedup on certain benchmark families.\n\nY. Demyanova and F. Zuleger were supported by the Austrian National Research Network S11403-N23 (RiSE) of the Austrian Science Fund (FWF).\n\n## 1 Introduction\n\nAnalysis tools, in particular software model checkers, achieve automation by mapping systems with infinite state space to finite-state abstractions that can be explored exhaustively. One of the most important classes of abstraction is predicate abstraction [13], defined through a set of predicates capturing relevant data or control properties in a program. Picking the right predicates, either upfront or dynamically during analysis [5], is essential in this setting to ensure rapid convergence of a model checker, and is in practice achieved through a combination of \"systematic\" methods (for CEGAR, in particular through Craig interpolation) and heuristics. For instance, SLAM extracts refinement predicates from counterexamples using domain-specific heuristics [16]; YOGI uses machine learning to choose the default set of heuristics for picking predicates [19]; CPAchecker uses domain types to decide whether to represent variables explicitly or using BDDs [2], and to choose refinement predicates [4]; and Eldarica uses heuristics to guide the process of Craig interpolation [18]. Similar heuristics can be identified in tools based on abstract interpretation, among others.\n\nThe goal of the present paper is to systematise the definition of abstraction heuristics, and this way enable easier and more effective adaptation of analysis tools to specific domains. In order to effectively construct program abstractions, it is essential for an analysis tool to have (semantic) information about variables and data-structures used in the program. We propose a methodology in which heuristics are defined with the help of variable roles [9], which are features capturing typical variable usage patterns and which can be computed through lightweight static analysis. Knowledge about roles of variables can be used to generate problem-specific parameters for model checkers, or other analysis tools, and thus optimise the actual later analysis process.\n\nAs a case study, we describe how variable roles can be used to infer code annotations for the CEGAR-based model checker Eldarica [20]. Eldarica has two main parameters controlling the analysis process: initial predicates for predicate abstraction, and templates guiding Craig interpolation during counterexample-based refinement [18]. Both parameters can be provided in the form of source-code annotations. We focus on the analysis of C programs defined purely over integer scalar variables, i.e., not containing arrays, pointers, heap-based data structures and bitvectors. By manually inspecting a (small) sample of such programs from SV-COMP [3], we were able to identify a compact set of relevant variable roles, and of heuristics for choosing predicates and templates based on those roles. To evaluate the effectiveness of the heuristics, we compared the performance of Eldarica (with and without the heuristics), and of other model checkers on a set of over 500 programs taken from the literature and SV-COMP. We observe an increase in the number of solved tasks by 11.2% when using our heuristics, and speedups on certain benchmark families.\n\nContributions of the paper are: 1. We introduce a methodology for defining abstraction heuristics using variable roles; 2. we define 8 roles and corresponding heuristics for efficiently analysing C programs with scalar variables; 3. we implement our approach and perform an extensive experimental evaluation.\n\nRelated Work. Patterns of variable usage were studied in multiple disciplines, e.g. in teaching programming languages [21] (where the patterns were called variable roles), in type systems for inferring equivalence relations for types [22], and others. In [9] a set of patterns, also called variable roles, was defined using data-flow analysis, based on a set of C benchmarks1. In [7, 8] variable roles were used to build a portfolio solver for software verification. Similarly to variable roles, code patterns recognised with light-weight static analyses are used in the bug-finding tool Coverity [11] to devise heuristics for ranking possible bugs. Domain types in CPAChecker [4] can be viewed as a restricted class of variable roles. Differently from this work, where variable roles guide the generation of interpolants, the domain types are used in [4] to choose the \"best\" interpolant from a set of generated interpolants. In addition, our method generates role-based initial predicates, while the method of [4] does not.\n\nThere has been extensive research on tuning abstraction refinement techniques, in such a way that convergence of model checkers is ensured or improved. This research in particular considers various methods of Craig interpolation, and controls features such as interpolant strength, interpolant size, the number of distinct symbols in interpolants, or syntactic features like the magnitude of coefficients; for a detailed survey we refer the reader to our previous work [18].\n\n### 1.1 Introductory Examples of Domain-Specific Abstraction\n\nWe introduce our approach on two examples. These and all further examples in this paper are taken from the benchmarks of the software competition SV-COMP'16 [3]. We simplified some of the examples for demonstration purposes.\n\nFig. 1.\n\nMotivation examples illustrating variable roles.\n\nMotivation Example 1. The code in Fig. 1.1 initializes variables max1, max2 and max3 to id1, id2 and id3 respectively, which are in turn initialized non-deterministically. The assume statement at lines 9\u201310 is an Eldarica-specific directive, which puts a restriction that control reaches line 12 only if id1!=id2&& id1!=id3&& id2!=id3 evaluates to true. In the loop the value max{id1,id2,id3}, which is the maximum of id1, id2 and id3 is calculated: At the first iteration, max1 is assigned the value max{id1,id3}, and max2 and max3 are assigned the value max{id1,id2,id3}. After the second iteration max1, max2 and max3 all store the value max{id1,id2,id3}. Since id1, id2 and id3 have distinct values, only one of the conditions in lines 18\u201320 evaluates to true. The assertion checks that the value of exactly one of variables max1, max2 and max3 remains unchanged after two iterations, namely max  , where  .\n\nIt takes Eldarica 27 CEGAR iterations and 19 sec to prove the program safe. However, for 88 out of 108 original programs from SV-COMP with this pattern in category \"Integers and Control Flow\", of which the code in Fig. 1.1 is a simplified form2, Eldarica does not give an answer within the time limit of 15 min. Predicate abstraction needs to generate for these programs from 116 to 996 predicates, depending on the number of values, for which the maximum is calculated. Since predicates are added step-wise in the CEGAR loop, checking these benchmarks is time consuming. We therefore suggest a method of generating the predicates upfront.\n\nIn order to prove that exactly one condition in lines 18\u201320 evaluates to true and cnt is incremented by one, predicate abstraction needs to track the values assigned to variables max1, max2 and max3 with 9 predicates: max1==id1, max1==id2, max1==id3, etc. Additionally, in order to precisely evaluate conditions in lines 13\u201315, abstraction needs to track the ordering of variables id1, id2 and id3 with 6 predicates which compare variables id1, id2 and id3 pairwise:  , and so on.\n\nTo generate the above mentioned 15 predicates our algorithm uses the following variable roles. Variable is input if it is assigned a return value of an external function call. This pattern is often used in SV-COMP to initialize variables non-deterministically, e.g. id1=nondet_char(), where variables id1, id2, id3 are inputs. Variables which are assigned only inputs are run-time analogues of compile-time enumerations. A variable is dynamic enumeration if it is assigned only constant values or input variables, i.e. variables max1, max2 and max3 are dynamic enumerations. For each dynamic enumeration x which takes values v1, ,vn, our algorithm generates n equality predicates: x==v1,  , x==vn.\n\nVariable x is extremum if it is used in the pattern if(comp_expr)x = y, where comp_expr is a comparison operator   or   applied to y and some expression expr, e.g.  . For every variable x which is both dynamic enumeration and extremum, our algorithm generates pairwise comparisons for all pairs of input values v1, ,vn assigned to x, e.g.  , and so on.\n\nEldarica proves the program in Fig. 1.1 annotated with the 15 predicates in 8 sec and 0 CEGAR iterations, and it takes Eldarica from 21 to 858 sec (and from 0 to 4 CEGAR iterations) to prove 53 programs from SV-COMP with this pattern annotated analogously. For the remaining 55 benchmarks with this pattern from SV-COMP the number of abstract states becomes too large for Eldarica to be checked within the time limit.\n\nMotivation Example 2. The code in Fig. 1.2 increments variables i and k in the loop at line 6 until i reaches n, and decrements variables j and k in the loop at lines 7\u20139 until j reaches 0. The assertion checking that the value of variable k remains positive in the loop can be proven using the predicates   and  . These predicates are difficult to find, e.g., the baseline version of Eldarica [20] keeps generating a sequence of pairs of predicates  , etc. As demonstrated by this example, heuristics are needed to guide interpolation towards finding suitable refinement predicates. The community has suggested various heuristics for the above example, e.g., the most recent version of Eldarica [18] proves the program safe in 5 sec and 6 CEGAR iterations.\n\nWe suggest to generate predicate templates demand-driven from the code under analysis. For the above example, we propose a heuristic which tracks the dependencies between loop counters: The heuristic searches for variables x assigned in a loop in a statement matching the pattern x=x+expr, where expr is an arbitrary expression. For each pair x1 and x2 of such variables the heuristic generates a predicate template x1-x2. This template restricts the search space of the interpolation solver to predicates of the form  . To formalise the heuristic we introduce the following role: local counter is a variable assigned in a loop in a statement x=x+expr, where expr is an arbitrary expression. Note that we do not restrict expr to be a constant, in contrast to induction variables [1], since the heuristic is a trade-off between generality and computational cost and performs well in practice.\n\nMethodology for Choosing Roles. To choose roles and role-based predicates and templates, we investigated benchmarks of the competition SV-COMP'16 from categories \"Integers and Control Flow\" and \"Loops\" and loop invariant generation benchmarks (appr. 30 benchmarks altogether) on which Eldarica did not give an answer within the time limit of 15 min. We manually inspected the code of these benchmarks and annotated the benchmarks with a minimum set of predicates and templates so that Eldarica checks the benchmarks within the time limit. We then derived new variable roles which captured specific code patterns in which the annotated variables were used.\n\n## 2 Predicate Abstraction and Refinement\n\nWe outline the algorithm implemented by predicate abstraction-based software model checkers, in particular the Eldarica tool [20] used as test-bed. As the core procedure, Eldarica applies predicate abstraction [13] and counterexample-guided abstraction refinement [5] to check the satisfiability of Horn constraints expressing safety properties of a software program [14, 15, 20]. The procedure has two main parameters that can be used to tune the abstraction process:\n\n  * initial predicates   for predicate abstraction (see Sect. 2.1);\n\n  * interpolation templates T that guide Craig interpolation towards meaningful predicates during abstraction refinement (see Sect. 2.2).\n\nThe pair   can be computed with the help of variable roles, as outlined in the previous section. It is important to note that neither parameter has any effect on soundness of a model checker, only termination is affected.\n\n### 2.1 Solving Horn Clauses with Predicate Abstraction\n\nA Horn clause is a formula of the form  , with constraint  , body literals   containing uninterpreted relation symbols, and head literal H. Eldarica has a C\/C++ front-end that translates software programs to sets   of Horn clauses. In this setting, relation symbols represent state invariants   associated with a control location c of a program, and Horn clauses express 1. pre-conditions   for program entry points c; 2. Floyd-style inductiveness conditions  , for transitions between control locations  ; and 3. safety assertions   for control locations c. The translation from software programs to Horn clauses   is defined such that the program is safe if and only if the clauses   are satisfiable, i.e., if and only if the predicates   can be interpreted in such a way that all clauses become valid.\n\nModel checkers like HSF [14] or Eldarica [20] construct solutions of Horn clauses in disjunctive normal form by building an abstract reachability graph (ARG) over a set of given predicates. For this, a Horn solver maintains a mapping   from relation symbols   to finite sets of predicates. The solver starts from some initial mapping  ; for instance, mapping every relation symbol to an empty set of predicates. The solver will then attempt to construct a closed ARG by means of fixed-point computation, which can either succeed (in which case a solution of the Horn clauses has been derived), or fail because some assertion clause   is violated during the construction. In the latter case, a connected acyclic ARG fragment can be extracted that leads from entry clauses (clauses   without relation symbols in the body) to the violated assertion clause. A theorem prover is then used to verify that the counterexample is genuine; spurious counterexamples are eliminated by generating additional predicates by means of Craig interpolation, leading to an extended mapping   and refined abstraction.\n\n### 2.2 Craig Interpolation with Templates\n\nPredicate abstraction-based model checkers rely on theorem provers to find suitable interpolants, or interpolants containing the right predicates, in a generally infinite lattice of interpolants for every extracted counterexample (represented as acyclic ARG fragments). Eldarica uses interpolation abstraction [18] as a semantic way to guide the interpolation procedure towards \"good\" interpolants; in this method, interpolation queries are instrumented to restrict the symbols that can occur in interpolants, ranking the interpolants with the help of templates. It has previously been shown that interpolation abstraction can significantly improve the performance of Horn solvers [18].\n\nIn the scope of this paper, we focus on templates in the form of terms. As an example, consider the binary interpolation query   with   and  . The interpolation problem has multiple solutions I (with the property that   and  ), including   and  . In a software model checker, clearly   is preferable, since it abstracts from concrete values of the variables. Interpolation abstraction can be used to distinguish between   and  , by preventing theorem provers, e.g., to compute   as an interpolant. For this, template terms are used to capture the expressions that an interpolant might contain. In the example, given templates  , a theorem prover could compute either of  ; with the template  , a theorem prover could return  , but no longer  .\n\nIn Eldarica, software programs can be annotated to express preference of certain interpolants. For instance, line 4 of the code in Fig. 1.2 can be annotated to express that the differences i-k and j-k are preferred templates:\n\nAnnotations are attached to variable declarations, and are then applied when computing interpolants at control points in the scope of the variable. If no interpolant can be constructed using this template, a conventional interpolant will be used. Besides manual annotation, Eldarica also has a set of inbuilt heuristics to choose meaningful templates automatically [18].\n\n## 3 Role-Based Predicates and Templates\n\nSpecification Language for Roles. In this section we describe a framework for the specification and computation of role-based initial predicates and predicate templates. Roles are usage patterns of variables, we introduce and formalize them as data-flow analyses in our previous work [9]. Here we re-formulate roles as logic queries on the control-flow graph (CFG) of a program. We choose logic programming as a formalism for two reasons: first, its notation is well known, and second, we can use of-the-shelf logic engines for the computation of roles. Specifically, we use the syntax and standard fixed point semantics of Datalog.\n\nPreliminaries on Datalog. A rule in Datalog is of the form  . The head of a rule A   is an atom. The body of a rule   is a set of literals, and each literal L   is of the form A or not A for an atom A, where the connective not corresponds to default negation. An atom takes boolean values and is of the form 1.  , or 2.  , or 3.  , where p is a predicate symbol, f is a function symbol, t   are term symbols and op is a comparison operator (e.g.  , etc.). Atom   always evaluates to true and assigns to term t   the result of function  . Each term t   is a constant symbol (i.e. a function symbol with arity 0), a variable, or an integer. Predicate and function symbols start with a small letter, and variables start with a capital letter. A rule is evaluated as follows: if every literal L   in the body evaluates to true, then the atom A   in the head evaluates to true. A rule with empty body is called a fact.\n\nFig. 2.\n\nTranslation of C code to a logic program\n\nTranslation of C Code to a Logic Program. We assume a C program to be given as a logic program, where each node and edge in the control-flow graph is translated to one or more facts in the logic program. For example, the code in Fig. 2a is translated to a logic program in Fig. 2b (see the CFG in Fig. 2c). In particular, the loop condition   is represented with nodes 6, 3 and 7 in the CFG and lines 7\u20138 and 14\u201319 in the logic program. Below we will denote a node corresponding to variable x in the control-flow graph with node  .\n\nFig. 3.\n\nSimplified specification of roles and role-based templates and initial predicates.\n\nWe define roles local counter, extremum, input and dynamic enumeration in Fig. 3. Specifically, in Fig. 3a we define role local counter which is used to generate templates, and in Fig. 3b we define roles which are used to generate initial predicates. Due to the lack of space we introduce the remaining roles and the generated predicates and templates informally in Table 1. We explain the definitions of roles in Sect. 3.1, and the generation of predicates and templates for these roles in Sect. 3.2.\n\n### 3.1 Definition of Roles\n\nRole Local Counter. Role local counter (line 2\u20134 in Fig. 3) is defined in the scope of one loop. The set of variables to which this role is ascribed is encoded with a binary relation local_cnt with a parameter corresponding to the resp. loop statement WhileStmt. The parameter is needed, because we later define a template for pairs of local counters, such that the counters have the same parameter. A variable X is ascribed role local counter if there is a loop statement WhileStmt, in the body of which X is assigned the sum of X and some other expression. Term sub_stmt(Stmt,SubStmt) encodes that in the control flow graph SubStmt is a descendant of Stmt. Term assigned(X,Expr,AsgnStmt) encodes that variable X is assigned expression Expr in statement AsgnStmt. Term operand(Expr,Bop) encodes that Expr is an operand of binary operator Bop. For example, for code in Fig. 2a the evaluation of the rule derives the fact local_cnt(3) for node  . For clarity we omit rules for terms sub_stmt, assigned, operand and a rule for the case when the counter is decremented.\n\nTable 1.\n\nInformal description of remaining roles with examples.\n\nRole name | # | Description of role |  \/ T | Example\n\n---|---|---|---|---\n\nCode | Generated predicates   \/templates T\n\nAssertion condition | 1 | Variable is used in pattern assert(expr) |   | assert( cnt==1) |  {cnt==1}\n\n2 | Statement assert(expr) is nested in an if statement with condition cond |   |     |\n\nParity variable | 3 | Variable x is used in remainder operator x%c |   | x%2 |  {x%2}\n\n4 | Variable x is incremented in a loop by constant c, s.t. c!=1 |   |     |  {x%2}\n\nLoop iterator | 5 | Variable x is modified in a loop and is used in the loop condition cond |   |     |\n\n6 | In addition to 5), cond matches pattern expr1!=expr2 |   | for(i=0; i!=n;i++) |\n\n7 | In addition to 5), cond matches pattern   (resp.  ) and loop iterator is changed by 1 in the loop |   (resp.  ) |     |\n\nLoop bound | 8 | Variable bnd is compared to loop iterator it in loop condition:  , where  ; and bnd is assigned in statement bnd=expr |   |       |\n\nRole Extremum. Role extremum (lines 2\u20134) is ascribed to variable X, denoted with term extremum(X), if there is an if statement IfStmt, the condition Cond of which is a binary operator greater-than or less-than (encoded with term strict_rel_opcode(Opcode)), s.t. Cond contains a variable Y which is assigned to X in the body of IfStmt. For example, for code   (line 13 in Fig. 1.1), the result of evaluating the rule is  . Relation strict_rel_opcode(Opcode) encodes that its parameter is a greater-than or less-than operator.\n\nRole Input. Role input (lines 7\u20138) is ascribed to variable X if X is assigned the result of a call CallExpr to a function Func, the body of which is not defined (encoded with atom not body(Func)). For example, for the C code id1=nondet_char() where nondet_char() is defined as an external function (lines 1 and 3 in Fig. 1.1), evaluation of the rule derives fact input(node   ).\n\nRole Dynamic Enumeration. Role dynamic enumeration (lines 11\u201318) is defined via its complement not_dyn_enum (line 11). Fact not_dyn_enum(X) is generated if variable X is assigned an expression Expr which does not belong to relation dyn_enum_expr (lines 14\u201315). The unary relation dyn_enum_expr includes constant literals and input variables (lines 17\u201318). For example, for code in Fig. 1.1 evaluation of rules derives facts dyn_enum(node   ), dyn_enum(node   ) and dyn_enum(node   ).\n\n### 3.2 Role-Based Predicates and Templates\n\nOur algorithm generates initial predicates   and templates  , where pred(p) and tpl(t) are the facts derived by the logic program (see line 7 in Fig. 3a and lines 21\u201322 and 25\u201327 in Fig. 3b). We now describe the role-based initial predicates and templates in detail.\n\nLocal Counter. For every pair of local counters X and Y s,t. X and Y are modified in loop WhileStmt, a template X-Y is derived (lines 7\u20138). For example, for code in Fig. 1.2 the evaluation of the rule derives templates i-k and j-k.\n\nDynamic Enumeration. For every pair of a dynamic enumeration X and input Y, s.t. Y is assigned to X, predicate X==Y is derived (lines 21\u201322). Term @concat encodes a call to a function which concatenates its parameters. For example, for code in Fig. 1.1 the evaluation of the rule derives predicates max1==id1, max2==id2 and max3==id3.\n\nInput Variables. For every pair of input variables Y and Z, s.t. both Y and Z are assigned to dynamic enumeration and extremum X, predicate   is derived (lines 25\u201327). For example, for code in Fig. 1.1 the evaluation of rules derives predicates   and  .\n\n## 4 Evaluation\n\nWe implemented our approach in a prototype tool and evaluated the tool on altogether 549 C benchmarks3.\n\nTable 2.\n\nCharacteristics of the benchmarks\n\n# | Name | Number of files | Size, KLOC\n\n---|---|---|---\n\nTotal | Safe | Unsafe\n\n1 | SV-COMP CFI | 234 | 91 | 143 | 226.4\n\n2 | SV-COMP Loops | 95 | 68 | 27 | 6.5\n\n3 | VeriMAP | 153 | 133 | 20 | 13.2\n\n4 | Llreve | 21 | 16 | 5 | 0.6\n\n5 | HOLA | 46 | 46 | 0 | 1.4\n\nTotal | 549 | 354 | 195 | 248.0\n\nTable 3.\n\nEldarica configurations.   denotes the templates generated by built-in heuristics of Eldarica.\n\nName |   | T\n\n---|---|---\n\nEld |   |\n\nEld+B |   |\n\nEld+R |   |\n\nEld+BR |   |\n\nBenchmarks. Table 2 lists the benchmarks and gives their characteristics. Specifically, the benchmarks contain (listed in the same order as in Table 2):\n\n  1. 1.\n\nBenchmarks of the competition SV-COMP'16 from the \"Integers and Control Flow\" category. We excluded the Recursive sub-category and 75 benchmarks which contain C structures and arrays;\n\n  2. 2.\n\nBenchmarks from the Loops category of SV-COMP'16 (we excluded 50 benchmarks for same reasons);\n\n  3. 3.\n\nBenchmarks of the verification tool VeriMAP 4. We excluded 234 duplicate benchmarks contained in SV-COMP CFI, and 2 benchmarks, for which the transition relations cannot be expressed with Presburger arithmetic;\n\n  4. 4.\n\nSimplified versions5 of the benchmarks of tool llr\u00eave for automated program equivalence checking [12];\n\n  5. 5.\n\nLoop invariant generation benchmarks of the verication tool HOLA [10].\n\nTools for Comparison. We evaluate the following configurations of Eldarica: without interpolation abstraction (to which we refer by Eld), with templates (Eld+B), with roles (Eld+R), and with a combination of templates and roles (Eld+BR). Table 3 lists different choices for the parameters   and T described in Sect. 2. As a baseline we also compare Eldarica to SMT solvers Z3 [6] and Spacer [17]. We could not compare to the duality engine of Z3 because of a bug in duality, which was not fixed by the time of paper submission. Finally, we compare Eldarica to the model checker CPAchecker, which is not based on Horn clauses. CPAchecker has very successfully participated in the software competition in the recent years and thus provides an interesting choice for comparison.\n\nExperimental Setup. We performed our experiments on 2.0GHz AMD Opteron PC (31GB RAM, 64KB L1 cache, 512KB L2 cache). We did not restrict the number of cores on which the tasks were performed. We report the wall-clock time measured using the date shell utility. For evaluation we set the value of timeout for all tools to 15 min, which is the value of the timeout in the SV-COMP competition. We put no memory limit on the tools.\n\nOverall Improvement of Eldarica. The results of our evaluation are represented in Fig. 4, which shows the number of solved and unsolved tasks, with safe and unsafe tasks counted separately. Specifically, Fig. 4a gives a summary for all benchmarks, and Figs. 4b-4f show detailed results for each benchmark. In the bar plots on top of each bar is the mean runtime of the respective tool, calculated without timeouts. The times for Eld+R include the times for computing roles: the mean and median time of annotating a program for all benchmarks amount to 3.8 sec and 0.8 sec resp. We observe that the best configuration of Eldarica is Eld+R, which solves the highest number of tasks for every benchmark separately and for all benchmarks. The second best configuration for most benchmarks is Eld+B. Overall Eld+R solves 11.2% more tasks than Eld+B: 4.6% more safe and 6.6% more unsafe tasks. We conclude that the configuration Eld+R improves on the previous configurations of Eldarica (Eld and Eld+B).\n\nFig. 4.\n\nBar plots comparing the percentage of proved tasks for CPAchecker, Z3, Spacer and different Eldarica configurations. Inside each bar is the percentage of the resp. answers. On top of each bar is the mean runtime computed without timeouts (for solved tasks).\n\nComparison of Runtimes. Overall, the runtime of Eld+R is comparable to the runtime of other Eldarica's configurations, but for the benchmarks SV-COMP CFI we observe a significant speedup of Eld+R, as shown in Fig. 5. SV-COMP CFI is a specific family of benchmarks because of their big size and a large number of enumeration variables, see e.g. the code in Fig. 1.1. Note that in Fig. 5 we compare Eld+R to Eld, which is the second best configuration, because for these benchmarks no heuristics are needed. The speedup of Eld+R for SV-COMP CFI is caused by a considerable decrease in the number of CEGAR iterations. To demonstrate this, we evaluate the configuration Eld+B with the timeout value of one hour (denoted as Eld+BH in Fig. 4c). We observe that Eld+BH solves 12.8% more unsafe and 9.0% more safe tasks than Eld+B. To conclude, Eld+R does not increase the runtime on all benchmarks, and even shows a significant speedup for the family of benchmarks from SV-COMP CFI.\n\nFig. 5.\n\nScatter plots comparing the number of CEGAR iterations and runtime, both in logarithmic scale, of configurations Eld+R and Eld for benchmark SV-COMP CFI. The mean runtime of Eld+R is 1.5 times smaller than that of Eld, and the average number of CEGAR iterations of Eld+R is 19.0 times smaller than that of Eld, the four values calculated on the tasks solved by both Eld and Eld+R.\n\nComparison of Roles with Eldarica's Previous Heuristics. A comparison of Eld+R to Eld+B shows that all but one benchmarks solved by old configurations of Eldarica can also be solved by Eld+R. The one benchmark not solved by Eld+R requires a predicate relating three variables in an equality, which according to our experience does not fall into frequently used patterns. Moreover, as Fig. 4 shows, the configuration Eld+BR, which combines roles and old heuristics of Eldarica, solves 3% less tasks than Eld+R. One possible reason for the slowdown (and consequently the lower number of solved benchmarks) of Eld+BR are redundant predicates generated by built-in heuristics of Eldarica. These results confirm that our framework not only describes new heuristics but also captures all previous heuristics of Eldarica.\n\nImprovement on Unsafe Benchmarks. Surprisingly, the initial predicates also help to solve more unsafe benchmarks, as Fig. 4c shows. In principle, these predicates can be found by Eld+B with a higher value of runtime, as demonstrated by the configuration Eld+BH. We conclude that when variable roles are used, the number of solved unsafe tasks does not decrease in general and even increases for SV-COMP CFI benchmarks.\n\nComparison of Eldarica to SMT Solvers. We compare Eldarica to SMT solvers Z3 and Spacer6. We note that a small number of tasks in benchmarks SV-COMP Loops and HOLA cannot be processed by Z3 and Spacer because of existential quantifiers in the SMT translation, which is not in the fragment handled by the PDR engine of Z3. We denote these benchmarks as \"Not Supported\" in Fig. 4. We observe that, on one hand, all configurations of Eldarica outperform both Z3 and Spacer in the number of solved tasks, in particalar Eld+R solves 30% more tasks than Z3. We note, however, that our method for guiding predicate abstraction uses the structure of a program, which is not preserved on the level of SMT formulae. On the other hand, the mean runtime of Z3 is 2.0 times lower than the mean runtime of Eld+R. To conclude, Eldarica outperforms Z3 and Spacer in the number of solved tasks, but loses in speed.\n\nComparison of Eldarica to CPAChecker. Finally, we compare Eldarica to the model checker CPAchecker. We observe that on safe and unsafe tasks the tools show complementary strengths. In particular, CPAchecker proves more tasks unsafe than Eldarica on CFI benchmarks, and on other benchmark sets shows comparable to Eldarica results. For safe benchmarks, however, on all benchmark sets CPAchecker can prove fewer programs safe than the Eldarica configurations Eld+B, Eld+R and Eld+BR. To conclude, Eldarica with interpolation abstraction outperforms CPAchecker on safe benchmarks, while CPAchecker performs better on a family of unsafe benchmarks.\n\nReferences\n\n1.\n\nAho, A.V., Sethi, R., Ullman, J.D.: Compilers, Principles. Techniques. Addison Wesley, Boston (1986)\n\n2.\n\nApel, S., Beyer, D., Friedberger, K., Raimondi, F., Rhein, A.: Domain types: abstract-domain selection based on variable usage. In: Bertacco, V., Legay, A. (eds.) HVC 2013. LNCS, vol. 8244, pp. 262\u2013278. Springer, Cham (2013). doi:10.\u200b1007\/\u200b978-3-319-03077-7_\u200b18 CrossRef\n\n3.\n\nBeyer, D.: Reliable and reproducible competition results with benchexec and witnesses (report on SV-COMP 2016). In: Chechik, M., Raskin, J.-F. (eds.) TACAS 2016. LNCS, vol. 9636, pp. 887\u2013904. Springer, Heidelberg (2016). doi:10.\u200b1007\/\u200b978-3-662-49674-9_\u200b55 CrossRef\n\n4.\n\nBeyer, D., L\u00f6we, S., Wendler, P.: Refinement selection. In: Fischer, B., Geldenhuys, J. (eds.) SPIN 2015. LNCS, vol. 9232, pp. 20\u201338. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-23404-5_\u200b3 CrossRef\n\n5.\n\nClarke, E.M., Grumberg, O., Jha, S., Lu, Y., Veith, H.: Counterexample-guided abstraction refinement for symbolic model checking. J. ACM 50(5), 752\u2013794 (2003)MathSciNetCrossRefMATH\n\n6.\n\nMoura, L., Bj\u00f8rner, N.: Z3: an efficient SMT solver. In: Ramakrishnan, C.R., Rehof, J. (eds.) TACAS 2008. LNCS, vol. 4963, pp. 337\u2013340. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-78800-3_\u200b24 CrossRef\n\n7.\n\nDemyanova, Y., Pani, T., Veith, H., Zuleger, F.: Empirical software metrics for benchmarking of verification tools. In: Kroening, D., P\u0103s\u0103reanu, C.S. (eds.) CAV 2015. LNCS, vol. 9206, pp. 561\u2013579. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-21690-4_\u200b39 CrossRef\n\n8.\n\nDemyanova, Y., Pani, T., Veith, H., Zuleger, F.: Empirical software metrics for benchmarking of verification tools. Int. J. Form. Methods Syst. Des., 1\u201328 (2017). doi:10.\u200b1007\/\u200bs10703-016-0264-5. http:\/\/\u200blink.\u200bspringer.\u200bcom\/\u200barticle\/\u200b10.\u200b1007%2Fs10703-016-0264-5\n\n9.\n\nDemyanova, Y., Veith, H., Zuleger, F.: On the concept of variable roles and its use in software analysis. In: Formal Methods in Computer-Aided Design (FMCAD), pp. 226\u2013230. IEEE (2013)\n\n10.\n\nDillig, I., Dillig, T., Li, B., McMillan, K.: Inductive invariant generation via abductive inference. ACM SIGPLAN Not. 48, 443\u2013456 (2013). ACMCrossRefMATH\n\n11.\n\nEngler, D., Chen, D.Y., Hallem, S., Chou, A., Chelf, B.: Bugs as deviant behavior: a general approach to inferring errors in systems code. In: Operating Systems Principles (SOSP), vol. 35. ACM (2001)\n\n12.\n\nFelsing, D., Grebing, S., Klebanov, V., R\u00fcmmer, P., Ulbrich, M.: Automating regression verification. In: Automated software engineering (ASE), pp. 349\u2013360. ACM (2014)\n\n13.\n\nGraf, S., Saidi, H.: Construction of abstract state graphs with PVS. In: Grumberg, O. (ed.) CAV 1997. LNCS, vol. 1254, pp. 72\u201383. Springer, Heidelberg (1997). doi:10.\u200b1007\/\u200b3-540-63166-6_\u200b10 CrossRef\n\n14.\n\nGrebenshchikov, S., Lopes, N.P., Popeea, C., Rybalchenko, A.: Synthesizing software verifiers from proof rules. In: Programming Language Design and Implementation (PLDI), pp. 405\u2013416. ACM (2012)\n\n15.\n\nHoder, K., Bj\u00f8rner, N.: Generalized property directed reachability. In: Cimatti, A., Sebastiani, R. (eds.) SAT 2012. LNCS, vol. 7317, pp. 157\u2013171. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-31612-8_\u200b13 CrossRef\n\n16.\n\nJhala, R., Majumdar, R.: Software model checking. ACM Comput. Surv. (CSUR) 41(4), 21 (2009)CrossRef\n\n17.\n\nKomuravelli, A., Gurfinkel, A., Chaki, S., Clarke, E.M.: Automatic abstraction in SMT-based unbounded software model checking. In: Sharygina, N., Veith, H. (eds.) CAV 2013. LNCS, vol. 8044, pp. 846\u2013862. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-39799-8_\u200b59 CrossRef\n\n18.\n\nLeroux, J., R\u00fcmmer, P., Suboti\u0107, P.: Guiding craig interpolation with domain-specific abstractions. Acta Inform. 53, 1\u201338 (2016)MathSciNetCrossRefMATH\n\n19.\n\nNori, A.V., Rajamani, S.K.: An empirical study of optimizations in YOGI. In: Software Engineering (ICSE), vol. 1, pp. 355\u2013364. ACM (2010)\n\n20.\n\nR\u00fcmmer, P., Hojjat, H., Kuncak, V.: Disjunctive interpolants for horn-clause verification. In: Sharygina, N., Veith, H. (eds.) CAV 2013. LNCS, vol. 8044, pp. 347\u2013363. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-39799-8_\u200b24 CrossRef\n\n21.\n\nSajaniemi, J.: An empirical analysis of roles of variables in novice-level procedural programs. In: Human-Centric Computing Languages and Environments (HCC), pp. 37\u201339. IEEE (2002)\n\n22.\n\nVan Deursen, A., Moonen, L.: Type inference for COBOL systems. In: Reverse Engineering (RE), pp. 220\u2013230. IEEE (1998)\n\nFootnotes\n\n1\n\nhttp:\/\/\u200bctuning.\u200borg\/\u200bwiki\/\u200bindex.\u200bphp\/\u200bCTools:\u200bCBench.\n\n2\n\nE.g. seq-mthreaded\/pals_opt-floodmax.3_true-unreach-call.ufo.BOUNDED-6.pals.c.\n\n3\n\nThe tool, the set of used benchmarks and the results of our evaluation are available at http:\/\/\u200bforsyte.\u200bat\/\u200bsoftware\/\u200bdemy\/\u200bnfm17.\u200btar.\u200bgz.\n\n4\n\nhttp:\/\/\u200bmap.\u200buniroma2.\u200bit\/\u200bvcgen\/\u200bbenchmark320.\u200btar.\u200bgz.\n\n5\n\nOriginal benchmarks are accessible at http:\/\/\u200bformal.\u200biti.\u200bkit.\u200bedu\/\u200bprojects\/\u200bimprove\/\u200breve and https:\/\/\u200bwww.\u200bmatul.\u200bde\/\u200breve.\n\n6\n\nWe evaluate the default configuration of Z3 without command-line options. To execute Spacer, we use the command-line option fixedpoint.xform.slice=false.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_19\n\n#  specgen: A Tool for Modeling Statecharts in CSP\n\nBrandon Shapiro1  and Chris Casinghino2\n\n(1)\n\nBrandeis University, Waltham, Massachusetts 02453, USA\n\n(2)\n\nDraper Laboratory, Cambridge, Massachusetts 02140, USA\n\nBrandon Shapiro\n\nEmail: bts8394@brandeis.edu\n\nChris Casinghino (Corresponding author)\n\nEmail: ccasinghino@draper.com\n\nAbstract\n\nWe present specgen, a tool for translating statecharts to the Communicating Sequential Processes language (CSP), where they may be explored and verified using FDR, the CSP model checker. We build on earlier algorithms for translating statecharts to CSP by supporting additional features, simplifying the generated models, and implementing a practical tool for statecharts built in Enterprise Architect, a commercially available modeling environment. We demonstrate the tool on a standard example.\n\nThis work was sponsored by DARPA\/AFRL Contract FA8750-12-C-0261. The views, opinions and\/or findings expressed are those of the authors and should not be interpreted as representing the official views or policies of the Department of Defense or the U.S. Government.\n\n## 1 Introduction\n\nStatecharts are a widely-used technique for graphically representing the high-level behavior of complex systems. Since their introduction by Harel [5], support for various versions of statecharts has been implemented in many commercial tools, including Enterprise Architect and Simulink Stateflow. As the use of statecharts has become widespread, so too have techniques for formally verifying their behavior. Classic examples include modeling via translation to SPIN [10] or to SMV [2].\n\nThis paper presents specgen, a tool for translating statecharts to Communicating Sequential Processes (CSP). This makes it possible to explore and verify the behavior of a statechart using FDR, the CSP model checker [4]. CSP and FDR have been used for modeling and formal verification for decades, in both academia and industry [8, 9, 11].\n\nTranslating statecharts to CSP has two main advantages. First, CSP is a rich, expressive language for writing specifications. We may leverage FDR to check these specifications and to interactively explore the behavior of the translated systems. Second, statecharts are themselves a convenient way to represent specifications for more complex systems already implemented in CSP. For example, the second author has also implemented a tool, called cspgen, to translate imperative programs from C source or LLVM IR to CSP [1]. The typical use of cspgen involves taking code written by a domain expert and translating it to CSP, then developing specifications to be checked by FDR. As the domain expert is typically unfamiliar with CSP, statecharts provide an intuitive, graphical common language for these specifications. Having a tool like specgen to automatically convert the graphical specification to CSP makes this possible.\n\nThe specgen tool builds on previous work for modeling statecharts in CSP [12]. We have added support for several additional statechart features and designed a new, simplified algorithm by using new CSP language constructs, as described in Sect. 3. The tool supports statecharts developed with Enterprise Architect and is the first practical implementation of any such translation. The specgen distribution also includes several examples, described in Sect. 2, and is available freely under a permissive open-source license [14].\n\n## 2 The Dining Philosophers: An Example\n\nTo illustrate the use of specgen, we consider the classic dining philosophers problem [7]. Our distribution of specgen includes this example, implemented as a statechart in Enterprise Architect, for 2, 3 and 4 philosophers [14]. Figure 1 shows statecharts representing Philosopher 2 and Fork 2 from the four philosopher system. We elide the full system for space\u2014it consists of four philosophers and forks, similar to those shown, as parallel substates of one top-level node.\n\nFig. 1.\n\nStatecharts for one philosopher and fork\n\nWe begin our explanation with the statechart for Fork 2. Conceptually, it keeps track of which philosopher has permission to use the fork at any time. It begins in the state Free, indicating that the fork is not in use and may be claimed by either philosopher. Transitions to the Phil2Holds2 and Phil3Holds2 states are guarded by the constraints In(WaitingRight2) and In(WaitingLeft3) respectively. This ensures these transitions are not taken until the relevant philosopher is in the state where he is waiting on this fork, so the ownership of the fork is not given to a philosopher until he wants it.\n\nThe system also includes four variables, f1, ..., f4, one for each fork. Intuitively, the value in these variables indicates which philosopher, if any, currently has permission to use a given fork. Thus, the transition from state Free2 to state Phil3Holds2 sets variable f2 to 3. These variables are set by the forks, and used by guards in the philosophers. For example, consider node WaitingLeft2 in Phil2. This node models the state where Philosopher 2 is waiting to pick up his left fork (Fork 1). The guard on this transition prevents it from being taken unless f1 = 2, indicating that Philosopher 2 has permission to use Fork 1. Similarly, the transition from Eating2 to ReplacedRight2 is guarded by the requirement that f2 is not 2, indicating that Philosopher 2 no longer has permission to use his right fork. The semantics of statecharts require that all available transitions are taken immediately, ensuring that Fork 2 and Philosopher 2 remain synchronized here.\n\nFinally, we consider the edge from Sitting2 back to Standing2, which is labeled with the completion event complete(Sitting2). In statecharts, events are named triggers that are often used to represent external events. During execution, a set of enabled events is provided as input, and an edge labeled with an event may only be taken if the event is currently enabled. Completion events are special events that are enabled when a node terminates, rather than by input. A node is considered to have terminated when all of its concurrent subnodes have reached states with no out-edges. Here, the event label prevents the philosopher from standing until he is done eating.\n\nIt is worth noting that this example is not intended to represent the most efficient or natural implementation of the dining philosophers as a statechart. Rather, we have designed it to highlight several features supported by the tool.\n\n### 2.1 The Generated Model\n\nWhen run on an Enterprise Architect statechart like the one described above, specgen produces several files containing CSP definitions, including a top-level process   that models the statechart's behavior. The behavior of a CSP process is most easily described by finite \"traces\" of observable events. In the case of  , the relevant observable events include:\n\n  *  , indicating a transition between nodes. Here N is the name of the node that contains the transition, and E is the name of the edge itself. Typically, specgen will generate node names that match the name given in the statechart if all nodes have unique names, and will otherwise pick a name based on the full path of a node. Edges are given names like  , indicating a transition from Node1 to Node2.\n\n  *  , indicating the completion of a \"step\" of the statechart. According to the semantics of statecharts, a step comprises a single transition in every currently-running subchart that can make one.\n\n  *   and  , indicating reads or writes of a value n in variable x.\n\n  *  , indicating that the statechart has a race condition where two parallel subcharts attempted to write to the variable x in the same step.\n\n### 2.2 Finding the Deadlock\n\nThe most obvious property to check in the dining philosophers example is deadlock freedom. In our CSP scripts, this property is stated:\n\nThe   (\"hiding\") operator here is used to hide the tock events of  . A statechate continues to take \"steps\", represented by these events, even if no subchart can make a transition. Intuitively, to detect the deadlock, we must inform FDR that the mere passage of time does not count as progress.\n\nAsking FDR to check this property results in an assertion failure, as expected. Indeed, because the semantics of statecharts require each parallel process to make a transition in each step if able to, this system will always deadlock. FDR also displays the trace that leads to the deadlock. For the three philosopher system, this trace ends with the events:\n\nWe see that the last three events are each philosopher transitioning to his WaitingRight node, indicating that each philosopher has picked up his left fork and is waiting on his right fork.\n\n### 2.3 More Complicated Properties\n\nFDR, more generally, supports checking refinement between two CSP processes. This enables the use of CSP as a rich specification language for properties more interesting than deadlock. Our distribution of specgen includes many worked examples. For the dining philosophers system in particular, we show how to verify that changing the order in which a philosopher picks up his forks eliminates the deadlock, and include a detailed explanation of how to check the property \"after sitting, no philosopher stands without eating\". We also show how to check for race conditions in variable writes, and include several other statecharts to demonstrate a variety of properties.\n\n### 2.4 Performance\n\nThe time to find the deadlock in FDR is summarized in the table below, organized by the number of philosophers in the system:\n\nPhilosophers | 2 | 3 | 4\n\n---|---|---|---\n\nTime | 2.0 s | 6.0 s | 117 s\n\nThese times are the averages of 5 runs performed on an Intel Xeon E5-2630 v3. The machine had 32 GB of RAM, but all tests consumed less than 6 GB.\n\nPredictably, the time to find the deadlock grows exponentially with the number of philosophers. Checking these translated statecharts is slower than checking more natural implementations of the dining philosophers in CSP, because accurately modeling the semantics of statecharts involves substantial coordination overhead and additional features like per-node timers. As statecharts offer the advantage of wider accessibility, we believe this overhead is sometimes justified.\n\n## 3 Translation Enhancements\n\nAs mentioned in the introduction, specgen builds on an earlier algorithm for modeling statecharts in CSP, by Roscoe and Wu [12]. In addition to providing a practical implementation, we have improved on that paper's translation by including support for two additional statechart features (the \"in\" guards and completion events described in Sect. 2) and exploiting a newer FDR feature to simplify the generated models. The remainder of this section describes this simplification.\n\nThe biggest challenge in modeling statecharts in CSP is representing priority. In CSP, a process may select freely among its available actions, but in statecharts certain transitions may be favored over others. For example, nodes must be allowed to take an \"idle\" step if and only if no transitions are available. Also, transitions out of a state may be favored over transitions within that state when both are available, or vice versa\u2014classic Statemate semantics [6] favor outer transitions while UML favors inner ones [3]. (In specgen we have followed [12] in modeling Statemate, but it would be straightforward to prefer the alternate order, which is more common today).\n\nRoscoe and Wu's translation models these instances of priority with a subtle renaming and synchronization scheme [13]. Happily, modern versions of FDR include a new feature that specgen uses to simplify this: prioritise. This function takes as arguments a process P and an ordered list evs of sets of events. If P may perform events from different sets in evs, then prioritise(P,evs) may perform only events from the first set that contains any of P's events. Combining prioritise with interrupts, where a CSP process may be preempted by certain events, also allowed for a simplified encoding of \"promoted\" actions in statecharts. These actions allow an inner node to transition directly to an outer node, terminating its parallel siblings.\n\n## 4 Conclusion and Future Work\n\nThis paper has described specgen, a tool for translating statecharts to CSP. We demonstrated the use of the tool on a common example, illustrating how to analyze the behavior of a statechart by model-checking its translation with FDR (Sect. 2). Many more examples are available with the specgen distribution, which is available as open-source software [14]. The translation used by the tool is inspired by earlier work by Roscoe and Wu [12], which has been improved and extended (Sect. 3).\n\nWe are interested in expanding on this work in several directions. First, the generated model can likely be further optimized for model-checking speed in FDR. In particular, the use of inductive compression [13] to reduce the state space created by hidden control events seems particularly promising. Second, it would be interesting to compare our tool directly with other systems for verifying statecharts. Lastly, while the translation is intended to faithfully model one version of statechart semantics, it would be reassuring to formalize and mechanically verify this property with an interactive theorem prover like Coq or Isabelle\/HOL.\n\nWhile specgen is intended as a prototype, we have found it to work surprisingly well on a variety of examples. Readers are encouraged to download the implementation and give it a try.\n\nAcknowledgments\n\nThe authors thank Neil Brock, Thomas Gibson-Robinson, Colin O'Halloran and Cody Roux for their advice on this project, and the anonymous reviewers for their helpful feedback.\n\nReferences\n\n1.\n\nCasinghino, C.: cspgen (2016). https:\/\/\u200bgithub.\u200bcom\/\u200bdraperlaboratory\u200b\/\u200bcspgen\n\n2.\n\nChan, W., Anderson, R.J., Beame, P., Burns, S., Modugno, F., Notkin, D., Reese, J.D.: Model checking large software specifications. 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Prentice Hall Inc., Upper Saddle River (1985)MATH\n\n8.\n\nLawrence, J.: Practical application of CSP and FDR to software design. In: Abdallah, A.E., Jones, C.B., Sanders, J.W. (eds.) Communicating Sequential Processes. The First 25 Years. LNCS, vol. 3525, pp. 151\u2013174. Springer, Heidelberg (2005). doi:10.\u200b1007\/\u200b11423348_\u200b9 CrossRef\n\n9.\n\nLowe, G.: Casper: a compiler for the analysis of security protocols. J. Comput. Secur. 6(1\u20132), 53\u201384 (1998)CrossRef\n\n10.\n\nMikk, E., Lakhnech, Y., Siegel, M., Holzmann, G.J.: Implementing statecharts in PROMELA\/SPIN. In: Proceedings of the Second IEEE Workshop on Industrial Strength Formal Specification Techniques. IEEE Computer Society (1998)\n\n11.\n\nMota, A., Sampaio, A.: Model-checking CSP-Z: strategy, tool support and industrial application. Sci. Comput. Program. 40, 59\u201396 (2001)CrossRef00023-X)MATH\n\n12.\n\nRoscoe, A.W., Wu, Z.: Verifying statemate statecharts using CSP and FDR. In: Liu, Z., He, J. (eds.) ICFEM 2006. LNCS, vol. 4260, pp. 324\u2013341. Springer, Heidelberg (2006). doi:10.\u200b1007\/\u200b11901433_\u200b18 CrossRef\n\n13.\n\nRoscoe, A.: Understanding Concurrent Systems, 1st edn. Springer, New York (2010)CrossRefMATH\n\n14.\n\nShapiro, B., Casinghino, C.: specgen (2016). https:\/\/\u200bgithub.\u200bcom\/\u200bdraperlaboratory\u200b\/\u200bspecgen\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_20\n\n# HyPro: A C++ Library of State Set Representations for Hybrid Systems Reachability Analysis\n\nStefan Schupp1 , Erika \u00c1brah\u00e1m1, Ibtissem Ben Makhlouf1 and Stefan Kowalewski1\n\n(1)\n\nRWTH Aachen University, Aachen, Germany\n\nAbstract\n\nIn this tool paper we introduce HyPro, our free and open-source C++ programming library, which offers implementations for the most prominent state set representations used by flowpipe-construction-based reachability analysis techniques for hybrid systems.\n\nThis work was supported by the German Research Council (DFG) in the context of the HyPro project.\n\n## 1 Introduction\n\nAs hybrid systems with mixed discrete-continuous behaviour are often safety-critical applications, a rising interest in their safety verification resulted in the development of powerful tools implementing different approaches to determine the set of system states that are reachable from a given set of initial states. Besides approaches based on, e.g., theorem proving or SMT solving, flowpipe-construction-based reachability analysis is a well established method, which over-approximates the set of reachable states of a hybrid system by a union of state sets, each of them being represented by a geometric object of a certain shape (like boxes, polytopes, or zonotopes) or symbolically (like support functions or Taylor models). Hybrid systems reachability analysis tools like, e.g., Cora [1], Flow* [2], HyCreate [7], HyReach [8], SoapBox [5], and SpaceEx [3] implement different techniques using different geometric or symbolic state set representations, each of them having individual strengths and weaknesses.\n\nThe implementation of novel reachability analysis algorithms that use some geometric or symbolic state set representations is still effortful, as datatypes for the underlying state set representations need to be implemented first. In this paper we report on the first release of our free and open-source C++ library HyPro, providing implementations for the most prominent state set representations. Our aim is to offer assistance for the rapid implementation of new algorithms by encapsulating all representation-related issues and allowing the developers to focus on higher-level algorithmic aspects.\n\nThe HyPro library specifies a unified interface for different representations, which supports all operations required in reachability analysis as well as conversion methods between the different representations. Besides own implementations for state set representations, the library also offers approaches towards wrapping other existing libraries implementing a certain state set representation.\n\nAfter some preliminaries in Sect. 2, we describe in Sect. 3 the structure and usage of our library and provide some experimental evaluation in Sect. 4.\n\n## 2 Hybrid Systems Reachability Analysis\n\nReachability analysis aims at the computation of the set of states that are reachable in some system from a given set of initial states. Reachability analysis is often used for safety verification by showing that the set of reachable states does not intersect with a pre-defined set of unsafe states.\n\nWe are interested in reachability analysis for hybrid automata [6], a popular modelling formalism for hybrid systems. Intuitively, they extend discrete automata models, whose nodes resp. transitions model the states (control modi) resp. state changes (jumps) of the discrete part of the system, by additionally modelling the evolution of continuous quantities (flowpipe) between discrete state changes through ordinary differential equation (ODE) systems.\n\nAs the reachability problem for hybrid automata is in general undecidable, over-approximative bounded reachability analysis can be used to over-approximate reachability along such paths that satisfy some upper bounds on the time elapse between two consecutive jumps (time horizon) and on the number of jumps (jump depth). Due to the over-approximation, we can prove bounded safety in case of an empty intersection of the reachable state set with the unsafe state set, but no conclusive answer can be given if this intersection is not empty.\n\nFig. 1.\n\nFlowpipe-construction-based reachability analysis (guard satisfying sets in red, jump successor in green). (Color figure online)\n\nFlowpipe-construction-based reachability analysis approaches iteratively compute successors of a given initial state set. To over-approximate flowpipes, they divide a given time horizon into time segments and over-approximate the states reachable within each time segment by a state set, thus \"paving\" the flowpipe with state sets. For computing jump successors, they determine the intersections of those \"paving\" state sets with the guards of jumps that exit the current control modus, and apply the jumps' reset transformations to those intersections (see Fig. 1).\n\n## 3 The HyPro Library\n\nThe library is published at https:\/\/\u200bgithub.\u200bcom\/\u200bhypro\/\u200bhypro. In the following we describe its components (see Fig. 2) and its usage. For more details we refer to the online documentation and the user's guide accessible on the above page.\n\nFig. 2.\n\nHyPro class structure.\n\nArithmetic Computations. HyPro is templated in the number type and makes use of boost and the following external libraries:\n\n  * cln, gmp (optional): exact number types cl_RA and mpq_class;\n\n  * CArL: number-type-templated (cl_RA or mpq_class) exact arithmetic computations, number type conversion;\n\n  * Eigen3: number-type-templated matrix computations; when instantiated with double, conservativeness is not assured;\n\n  * PPL (optional): efficient but inexact computations with polytopes;\n\n  * glpk: linear optimiser using either floating-point or exact arithmetic, however, its interface does not support the exchange of exact numbers, thus the results are not provably correct;\n\n  * SMT-RAT, SoPlex and Z3 (optional): exact linear optimisers; SMT-RAT and SoPlex support mpq_class in their interfaces, but not Z3, therefore we need to convert mpq_class-numbers to strings when calling Z3;\n\n  * log4cplus (optional): logger functionalities.\n\nCurrently, HyPro can be instantiated with inexact (double) or exact (cl_RA, mpq_class) number types; Eigen3 will be instantiated the same way. When inexact, all representations as well as Eigen3 use the double number type, thus we cannot guarantee over-approximative results; however, as exact optimisation is extremely important for meaningful results for most representations, we still guarantee exact optimisation through a combination of inexact glpk with an exact optimiser if available (see Fig. 3). When using an exact number type, HyPro assures conservative results if one of the modules SMT-RAT, SoPlex or Z3 are available and if PPL is not used; as glpk is faster than the other optimisers but its interface is inexact, we use the same approach as for the double representation shown in Fig. 3, but run glpk in exact modus.\n\nFig. 3.\n\nIncreased efficiency by combining inexact and exact computations.\n\nState Set Representations. To implement the computations described in the previous section, we need a suitable data type (representation) that supports the storage of state sets (subsets of  ) and certain operations on them. The choice of the state set representation is highly relevant, as it strongly influences both computational effort and precision. Our library offers state-set representation by boxes, (convex) polytopes [10] in vertex ( ) as well as in halfspace ( ) representation, support functions [9] and zonotopes [4]. For these representations, we provide all operations needed for the reachability analysis of linear hybrid automata (hybrid automata specified using linear conditions and resets, and linear ODEs): linear transformation, Minkowski sum, intersection, union, and test for emptiness. All the above representations implement a common interface specifying these operations, extended with some additional convenience functions (e.g., functions for determining the dimension of a set or functionalities for output). Some representations also extend this interface with individual functions, only relevant for that representation (e.g., order reduction functions for zonotopes).\n\nWe additionally provide a module for orthogonal polyhedra, but it is partial as we found no proper way to compute the Minkowski sum and linear transformation. We thank Xin Chen who contributed with a further module for Taylor models; however, as Taylor-model-based reachability analysis requires different operations, this module does not implement the global HyPro interface.\n\nConversion. None of the state set representations is generally optimal in terms of both computational effort and precision in reachability analysis. Switching between representations, although mostly expensive, can pay off during the analysis, for instance to improve the precision of the computed state sets locally. This feature allows for the implementation of backtracking mechanisms and fast look-ahead strategies in a dynamic reachability analysis approach. HyPro implements easy-to-use (exact or over-approximating) conversion operations for all included state set representations; this converter is a template parameter and thus exchangeable by the user, if more specialised methods are desired.\n\nReduction Techniques. The size of state set representations usually strongly increases during the analysis due to more complex shapes (e.g., when computing Minkowski sum) and number representations (e.g., when computing linear transformation). For boxes and polytopes, HyPro provides efficient and conservative over-approximating number reduction techniques. For zonotopes we offer a conservative order-reduction algorithm to limit the number of generators. For support functions we reduce the operational tree of the object.\n\nAdditional Datastructures and Utility Functions. We provide a data type for hybrid automata, a parser for Flow*-like syntax, utility functions such as a plotter which creates gnuplot or TikZ output files for state set visualisation, logging mechanisms to trace executions, and an exemplary reachability analysis algorithm among various other examples showing how to use the library.\n\nUsage. We illustrate the usage of the HyPro library on some simple examples based on the double number type (where also Eigen3 objects are instantiated with double); for further details see the examples folder and the user's guide.\n\nWe can create a state set   represented by an  -polytope p by specifying an Eigen3 matrix A, representing the constraints (row-wise) and an Eigen3 vector b representing the constant parts, as follows:\n\nThe Minkowski sum p of two  -polytopes p1 and p2 can be computed by:\n\nA box containing a set V of points of type   can be converted to a polytope in the  -representation using the Converter class:\n\nTo plot an object (per default in the first two dimensions), we can report its vertices to the singleton class Plotter, and create a gnuplot file using the method plot2d():\n\nFuture Work. Currently we focus on efficiency-related improvements for the presented representations, including the better exploitation of inexact arithmetic. Long-term plans address also extensions with further representations. Regarding efficiency, naturally, we cannot compete with well-established special-purpose libraries like PPL and polymake for polytope computations. Additionally to PPL, we work on the development of further wrappers for third-party libraries. Last but not least, as representation-related parameter settings are currently global and static, we work on the support of representation- and object-specific settings.\n\n## 4 Experimental Evaluation\n\nUsing our library we implemented a simple reachability analysis algorithm for linear hybrid systems, and used it to evaluate the efficiency of our library on three commonly known benchmarks: (1) the bouncing ball (BBall) models the bouncing of an elastic ball dropped from a predefined height (parameters: time step  , time horizon  ); (2) the rod reactor (Rod) models the temperature controller of a nuclear power plant and its cooling dynamics ( ,  ); (3) the switching 5D linear system (5D SW) is an artificially created benchmark in 5 dimensions with planar guards ( ,  ).\n\nTable 1.\n\nBenchmark results with runtimes in seconds (TO for   minutes). Dashes indicate that a tool does not support this kind of state set representation. | mpq_class | double | SpaceEx\n\n---|---|---|---\n\nglpk | glpk+SMT-RAT | glpk+Z3 | glpk | glpk+SMT-RAT | glpk+Z3 | LGG | STC\n\nBox | BBall | 0.1 | 0.1 | 0.1 | 0.002 | 0.002 | 0.03 | 0.003 | 0.01\n\nRod | 63.8 | 64.8 | 65.1 | 0.01 | 0.06 | 0.02 | 0.02 | 0.2\n\n5D SW | 0.3 | 0.3 | 0.3 | 0.02 | 0.02 | 0.02 | 0.02 | 0.03\n\nHPoly | BBall | 1.2 | 1.1 | 8.7 | 0.2 | 0.7 | 4.9 | - | -\n\nRod | 24.3 | 21.3 | 136.5 | 4.8 | 16.1 | 131 | - | -\n\n5D SW | 54.8 | TO | TO | 4.3 | TO | TO | - | -\n\nVPoly | BBall | 1.8 | 1.5 | 6.0 | TO | (0.7) | (5.5) | - | -\n\nRod | 100.2 | 98.7 | 171.5 | TO | (0.3) | (2.6) | - | -\n\n5D SW | TO | TO | TO | TO | TO | TO | - | -\n\nPPL | BBall | 0.07 | 0.07 | 0.08 | 0.05 | 0.06 | 0.06 | - | -\n\nRod | 2.7 | 2.6 | 2.9 | 1.8 | 1.9 | 1.9 | - | -\n\n5D SW | TO | TO | TO | TO | TO | TO | - | -\n\nSF | BBall | 0.6 | 2.0 | 15.6 | 0.02 | 1.1 | 43.8 | 0.2 | 0.03\n\nRod | 72.8 | 101.6 | 1125.8 | 0.4 | 54.4 | 609.6 | 1.1 | 0.9\n\n5D SW | 270.6 | 279.8 | 411.1 | 0.04 | 2.6 | 319.3 | 0.8 | 0.2\n\nZono | BBall | TO | TO | TO | 0.006 | 0.007 | 0.006 | - | -\n\nRod | 4.8 | 4.9 | 4.9 | 0.02 | 0.02 | 0.02 | - | -\n\n5D SW | 3.8 | 3.9 | 3.9 | 0.004 | 0.004 | 0.004 | - | -\n\nAll experiments were carried on an Intel Core i7 (  GHz) CPU with 16 GB RAM. Table 1 shows the results when using mpq_class (exact) and double (inexact) number types, and as representations boxes (Box),  -polytopes (HPoly),  -polytopes which are converted to  -polytopes for intersection computation (VPoly), polytope representation by the PPL library (PPL), support functions (SF) and zonotopes (Zono). For both mpq_class and double, we distinguish glpk only in exact resp. inexact modus, and glpk+SMT-RAT and glpk+Z3 combining glpk with an exact solver as in Fig. 3. Inexact-arithmetic results that we (manually) detected to be under-approximating are put in parenthesis; this occurred for VPoly due to inexact Eigen3computations. For comparison, we present SpaceEx results using support functions (SF) as well as SF with box templates (Box); note that SpaceEx uses double representation and glpk.\n\nDue to space limitation, we discuss only some timing issues. At least on these few examples, HyPro in inexact glpk-only modus is competitive with SpaceEx. A higher computational effort can be observed for exact arithmetic, most prominently for SF, which highly relies on optimisation; the longer running times for glpk+Z3 (wrt. SMT-RAT) are due to the string-based interface communication overhead. For 5D SW, the initial set is a single point. Zonotopes, performing well on small initial sets, deliver very good results here.\n\nReferences\n\n1.\n\nAlthoff, M., Dolan, J.M.: Online verification of automated road vehicles using reachability analysis. IEEE Trans.Robot. 30(4), 903\u2013918 (2014)CrossRef\n\n2.\n\nChen, X., \u00c1brah\u00e1m, E., Sankaranarayanan, S.: Flow*: an analyzer for non-linear hybrid systems. In: Sharygina, N., Veith, H. (eds.) CAV 2013. LNCS, vol. 8044, pp. 258\u2013263. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-39799-8_\u200b18 CrossRef\n\n3.\n\nFrehse, G., et al.: SpaceEx: scalable verification of hybrid systems. In: Gopalakrishnan, G., Qadeer, S. (eds.) CAV 2011. LNCS, vol. 6806, pp. 379\u2013395. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-22110-1_\u200b30 CrossRef\n\n4.\n\nGirard, A.: Reachability of uncertain linear systems using zonotopes. In: Morari, M., Thiele, L. (eds.) HSCC 2005. LNCS, vol. 3414, pp. 291\u2013305. Springer, Heidelberg (2005). doi:10.\u200b1007\/\u200b978-3-540-31954-2_\u200b19 CrossRef\n\n5.\n\nHagemann, W., M\u00f6hlmann, E., Rakow, A.: Verifying a PI controller using SoapBox and Stabhyli: experiences on establishing properties for a steering controller. In: Proceedings of ARCH 2014. EPiC Series in Computer Science, vol. 34. EasyChair (2014)\n\n6.\n\nHenzinger, T.: The theory of hybrid automata. In: Proceedings of LICS 1996, pp. 278\u2013292. IEEE Computer Society Press (1996)\n\n7.\n\nHyCreate. http:\/\/\u200bstanleybak.\u200bcom\/\u200bprojects\/\u200bhycreate\/\u200bhycreate.\u200bhtml\n\n8.\n\nHyReach. https:\/\/\u200bembedded.\u200brwth-aachen.\u200bde\/\u200bdoku.\u200bphp?\u200bid=\u200ben:\u200btools:\u200bhyreach\n\n9.\n\nLe Guernic, C., Girard, A.: Reachability analysis of linear systems using support functions. Nonlinear Anal.: Hybrid Syst. 4(2), 250\u2013262 (2010)MathSciNetMATH\n\n10.\n\nZiegler, G.M.: Lectures on Polytopes, vol. 152. Springer Science & Business Media, New York (1995)MATH\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_21\n\n#  Asm2C++: A Tool for Code Generation from Abstract State Machines to Arduino\n\nSilvia Bonfanti1, 2  , Marco Carissoni1  , Angelo Gargantini1  and Atif Mashkoor2\n\n(1)\n\nUniversit\u00e0 degli Studi di Bergamo, Bergamo, Italy\n\n(2)\n\nSoftware Competence Center Hagenberg GmbH, Hagenberg im M\u00fchlkreis, Austria\n\nSilvia Bonfanti (Corresponding author)\n\nEmail: silvia.bonfanti@unibg.it\n\nMarco Carissoni\n\nEmail: m.carissoni1@studenti.unibg.it\n\nAngelo Gargantini\n\nEmail: angelo.gargantini@unibg.it\n\nAtif Mashkoor\n\nEmail: atif.mashkoor@scch.at\n\nAbstract\n\nThis paper presents Asm2C++, a tool that automatically generates executable C++ code for Arduino from a formal specification given as Abstract State Machines (ASMs). The code generation process follows the model-driven engineering approach, where the code is obtained from a formal abstract model by applying certain transformation rules. The translation process is highly configurable in order to correctly integrate the underlying hardware. The advantage of the Asm2C++ tool is that it is part of the Asmeta framework that allows to analyze, verify, and validate the correctness of a formal model.\n\nThis work is partially supported by the Austrian Ministry for Transport, Innovation and Technology, the Federal Ministry of Science, Research and Economy, and the Province of Upper Austria in the frame of the COMET center SCCH.\n\n## 1 Introduction\n\nThe Abstract State Machines (ASM) method [4] is a formal method that is used to guide the rigorous development of software and embedded systems seamlessly from their informal requirements. The ASM method follows a design process based on the refinement principle that allows to capture all details of the system design by a sequence of refined models till the desired level of detail. It combines validation (by simulation and testing) and verification methods at any desired level of detail. The final step of this refinement process consists in realizing the implementation, generally code that is compiled and deployed on the real system. Performing this last step manually increases costs, limits the reuse of a formal specification, is error prone as some faults can be introduced in the code writing process, and can be a barrier for a wider adoption of ASMs. For these reasons, we have devised a methodology supported by the Asm2C++ tool that is able to generate the desired source code from ASMs. In this paper, we target Arduino1 that is a widespread platform for rapid prototyping of embedded systems and supports C++. It is also suitable for learning the design of embedded systems due to its low cost.\n\nThe ultimate aim of the paper is to show the implementation of the model-driven engineering (MDE) paradigm through ASMs: requirements models are platform independent, there is a clear distinction between platform-specific details and original user and system requirements, the code generation process is seamless and automatic, and last but not least, the rigorous quality and correctness assurance is embedded in the development process. As an additional goal, we aim at producing a code which is readable such that the code instructions can be easily traced back to the specification concepts and constructs. Although this may decrease the code efficiency, we believe that it increases the maintainability and the usability of the Asm2C++ tool.\n\nThe paper is organized as follows: In Sect. 2, we present the ASM methodology. The process of code generation is presented in Sect. 3 and by means of a simple example, we illustrate some basic concepts of the proposed translation in Sect. 4. Section 5 presents some related work and Sect. 6 concludes the paper with some future work.\n\n## 2 Abstract State Machine Methodology\n\nThe ASM method guides the development of software from requirements capture to code generation through several steps. Figure 1 shows the process of the ASM-based development. This method is supported by the Asmeta (ASM mETAmodeling) framework2 [3] which provides a set of tools to help a developer in various development activities. The modelling process is based on refinement, i.e., it starts from an abstract model and adds further details to capture the complete system behaviour described in the requirements document. The correct refinement between two models is automatically proved using the ASMRefProver tool. If a model becomes complex, it is difficult to understand the behaviour only by the textual specification. For this reason, the visualizer AsmetaVis provides a visual notation that helps in the navigation of the model.\n\nFig. 1.\n\nASM process: from requirements to code\n\nThe validation and verification (V&V) activities are well-integrated in the process, as shown in Fig. 1, and can be applied to any refined machine. The validation of a model can be achieved in multiple ways: either through the model simulator AsmetaS, through the model validator AsmetaV or through the model reviewer AsmetaMA. The simulator AsmetaS allows to perform two type of simulations: interactive simulation (the user inserts the values of parameters by choice) and random simulation (the tool randomly chooses the values that depends on the environment). The model validator AsmetaV takes scenarios as input files that contain the expected system behaviours. The scenarios are executed to check whether the machine runs correctly. The model reviewer AsmetaMA performs static analysis, it determines whether a model has sufficient quality attributes (e.g., minimality, completeness, consistency). The verification tool AsmetaSMV verifies whether the properties, derived from the requirements document, comply with the behaviour of the model. When the final model is available, the Arduino code is automatically generated using the Asm2C++ tool (see Sect. 3). When an actual code of the system implementation is available, conformance checking is possible. It is divided in model-based testing (to check the conformance offline) and runtime verification (to check the conformance online). The former uses the ATGT tool that automatically generates from ASM models tests cases which can be used to test any programming language. The latter, using the CoMA tool, can be used to perform runtime verification: the machine code is checked during the execution.\n\nThe language used by Asm2C++ is UASM (Unified Syntax for Abstract State Machine) [2], the new ASM syntax developed by the ASM community to unify various ASMs dialects.\n\nFig. 2.\n\nTransformation process: from specification to code\n\n## 3 Code Generation Process\n\nThe translation process shown in Fig. 2 generates the runnable C++ code for Arduino starting from a UASM specification that we assume verified and validated. The first step of the transformation process consists in parsing the textual specification and producing the UASM model, which is given to the code generator. The code generator performs three activities: (1) Generate C++ Code (2) Generate ASM Runner Code (3) Integrate Hardware. The result is merged as an Arduino project.\n\nThe first activity translates the ASM model into C++ code. The code is composed of a header (.h) that contains the translation of the ASM signature and a source (.cpp) file that defines how the ASM evolves by translating each ASM rule to a C++ method.\n\nThe second activity generates the Arduino code that defines the running policy according to the ASM execution divided in four iterative steps: acquire inputs, perform the main rule, update state, and release outputs. The output, the ASM Runner, is an .ino file that is the default extension for the Arduino C++ code.\n\nThe third activity integrates all HW-related aspects into the project: Arduino board version, I\/O devices connections, Arduino-specific libraries that must be included, and any other HW-dependent information. The tool automatically generates a template configuration file (with .u2c extension). According to the HW configuration, the user edits this file which is used to generate the HW integration file. This is a C++ source file that works as an adapter between the generated code and the hardware. The output files are finally merged together to compose the Arduino project.\n\nAsm2C++ is built on top of Xtext [6], a framework for the development of domain-specific languages, which provides facilities for parsing and code generation and is fully compatible with the Eclipse Modeling Framework. The code generator has been developed as a model-to-text (M2T) transformation. The transformation was realized by means of Xtend, a Java dialect provided by the Xtext framework with features for code generation. The listing below shows the translation scheme for the SeqBlock rule of the ASM method. A SeqBlock is a list of rules which are executed sequentially and is translated as a list of C++ instructions enclosed by curly brackets. In Xtend syntax, the content within   symbols is a template string, while the code inside   brackets is a variable part of the template expression that will be translated according to the rules parameter.\n\nThe detailed information about the Asm2C++ tool can be found at http:\/\/\u200basmeta.\u200bsourceforge.\u200bnet\/\u200bdownload\/\u200basm2c++.\u200bhtml.\n\n## 4 Illustrative Example\n\nAsm2C++ has been used to implement a small case study. The system is a control panel to be placed on the car dashboard that enables the driver to interact with various car functionalities. The panel is responsible for controlling the following functionalities: 1. Switching on\/off the system 2. Climate control 3. Smart headlights activation 4. Radio system. Code examples 1 to 4 in Fig. 4 focus on functionality 1 to show some translation rules. The ASM is translated in the CarPanel class, where domains, functions and rules become respectively data types, properties and methods. As shown in Code 3, the runner cyclically calls four CarPanel methods: 1. Acquire inputs from sensors (getInputs) 2. Perform the main rule (r_Main) 3. Update the ASM state (updateState) 4. Set outputs to actuators (setOutputs). Parallel execution is translated as described in [7], where controlled functions are duplicated and the state is updated only after the main rule.\n\nFig. 3.\n\nCarPanel\n\nThe implementation process followed the methodology described in Sect. 2. We first defined a ground model that was progressively refined. When the model reached the last refinement step, we generated the runnable Arduino code. Along this process, we proved liveness properties with the model checker and executed some scenarios with the AsmetaV tool. In order to check the compliance between the specification and the code, we ran the same scenarios on the Arduino code, obtaining the same behavior as for the ASM simulation. The real system is shown in Fig. 3.\n\nFig. 4.\n\nSnippets from model and code\n\n## 5 Related Work\n\nAutomatic code generation from formal specifications is available as a part of tool support for several formal methods. SCADE3 and MATLAB\/Simulink4 provide this feature as a commercial off-the-shelf solution. The formal method B [1], on the other hand, provides this facility in the form of the Atelier B platform5, that comes with code generators for different target languages, including C, C++, Java, and Ada, and its Community Edition is freely available without any restriction. EventB2Java is another tool that generates executable code implemented as a plug-in of the Rodin platform [5].\n\nAs best of our knowledge, there is no state of the art, reusable and publicly available tool for the ASM method that is capable of automatically generating programming language code from formal specifications written in the ASM method. In the past, [7] introduced a compilation scheme to transform an ASM specification (written in ASM-SL) into C++ code, but this work was done within a company setting. Although some of the key results of the proposed compilation scheme were useful for our work as mentioned in Sect. 4.\n\n## 6 Conclusions and Future Work\n\nWe have presented Asm2C++, a tool that is able to generate C++ from formal specifications written as ASMs. This work follows the MDE paradigm: source code is obtained from requirements models by applying a set of M2T transformations. We have already successfully tried the tool with students of advanced programming courses to teach them rapid prototyping and designing of embedded devices.\n\nIn the future, we plan to extend the tool with an automatic test cases generator. From the ASM specification, a series of tests could be automatically generated which would be executed on the Arduino board. This would test both the system and the translation from the specification to the code. As, currently, the conformance relation between the specification and the code is coarsely defined, we also intend to formally specify and prove the correctness of the code transformation process.\n\nReferences\n\n1.\n\nAbrial, J.-R.: The B-book: Assigning Programs to Meanings. Cambridge University Press, New York (1996)CrossRefMATH\n\n2.\n\nArcaini, P., Bonfanti, S., Dausend, M., Gargantini, A., Mashkoor, A., Raschke, A., Riccobene, E., Scandurra, P., Stegmaier, M.: Unified syntax for abstract state machines. In: Butler, M., Schewe, K.-D., Mashkoor, A., Biro, M. (eds.) ABZ 2016. LNCS, vol. 9675, pp. 231\u2013236. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-33600-8_\u200b14 CrossRef\n\n3.\n\nArcaini, P., Gargantini, A., Riccobene, E., Scandurra, P.: A model-driven process for engineering a toolset for a formal method. Softw.: Pract. Exp. 41, 155\u2013166 (2011)\n\n4.\n\nB\u00f6rger, E., Stark, R.F.: Abstract State Machines: A Method for High-Level System Design and Analysis. Springer, New York (2003)CrossRefMATH\n\n5.\n\nCata\u00f1o, N., Rivera, V.: EventB2Java: a code generator for event-B. In: Rayadurgam, S., Tkachuk, O. (eds.) NFM 2016. LNCS, vol. 9690, pp. 166\u2013171. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-40648-0_\u200b13 CrossRef\n\n6.\n\nEysholdt, M., Behrens, H.: Xtext: implement your language faster than the quick and dirty way. In: Proceedings of the ACM International Conference Companion on OOPSLA, pp. 307\u2013309. ACM (2010)\n\n7.\n\nSchmid, J.: Compiling abstract state machines to C++. JUCS 7(11), 1068\u20131087 (2001)\n\nFootnotes\n\n1\n\nhttps:\/\/\u200bwww.\u200barduino.\u200bcc\/\u200b.\n\n2\n\nhttp:\/\/\u200basmeta.\u200bsourceforge.\u200bnet\/\u200b.\n\n3\n\nhttp:\/\/\u200bwww.\u200besterel-technologies.\u200bcom\/\u200bproducts\/\u200bscade-suite\/\u200b.\n\n4\n\nhttps:\/\/\u200bwww.\u200bmathworks.\u200bcom\/\u200bproducts\/\u200bsimulink\/\u200b.\n\n5\n\nhttp:\/\/\u200bwww.\u200batelierb.\u200beu\/\u200ben\/\u200b.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_22\n\n# SPEN: A Solver for Separation Logic\n\nConstantin Enea1, Ond\u0159ej Leng\u00e1l2  , Mihaela Sighireanu1 and Tom\u00e1\u0161 Vojnar2\n\n(1)\n\nUniv. Paris Diderot, IRIF CNRS UMR 8243, Paris, France\n\n(2)\n\nFIT, Brno University of Technology, IT4Innovations Centre of Excellence, Brno, Czech Republic\n\nOnd\u0159ej Leng\u00e1l\n\nEmail: lengal@fit.vutbr.cz\n\nAbstract\n\nSpen is a solver for a fragment of separation logic (SL) with inductively-defined predicates covering both (nested) list structures as well as various kinds of trees, possibly extended with data. The main functionalities of Spen are deciding the satisfiability of a formula and the validity of an entailment between two formulas, which are essential for verification of heap manipulating programs. The solver also provides models for satisfiable formulas and diagnosis for invalid entailments. Spen combines several concepts in a modular way, such as boolean abstractions of SL formulas, SAT and SMT solving, and tree automata membership testing. The solver has been successfully applied to a rather large benchmark of various problems issued from program verification tools.\n\n## 1 Introduction\n\nFor analyzing programs with dynamic memory, separation logic (SL) is an established and fairly popular logic introduced by Reynolds et al. [11]. The high expressivity of SL, its ability to generate compact proofs, and its support for local reasoning motivated development of many tools for automatic reasoning about programs with complex dynamic linked data structures. These tools aim at establishing memory safety properties and\/or inferring shape properties of the heap. The tools often build on (semi-)decision procedures for checking satisfiability and entailment problems in SL.\n\nOur tool Spen 1 provides (semi-)decision procedures for the most commonly considered symbolic heaps fragment of SL, extended with user-defined inductive predicates to specify data structures of an unbounded size. Because unrestricted definitions of inductive predicates make the entailment problem for the fragment undecidable [3], only semi-decision procedures have been proposed, e.g., in [2, 4]. Iosif et al. [10] identified a rather large class of inductive definitions for which the entailment problem is decidable, although with a high complexity. Spen focuses on a smaller class of inductive definitions that is, however, expressive enough to specify complex dynamic data structures, such as skip lists, lists of circular lists, AVL trees, or binary search trees.\n\nThe chosen class of inductive definitions enables the design of efficient (semi-)decision procedures for satisfiability and entailment [6, 8]. The key idea used for satisfiability checking in Spen is to exploit the semantics of restricted inductive definitions and of separating conjunction to build an equisatisfiable boolean abstraction of the formula. For entailment checking, the idea is to reduce the problem of checking   to the problem of checking a set of simple entailments where the right-hand side is an inductive predicate atom. The compositionality of this reduction leads to high efficiency (the simple entailments can be checked independently) and to a capability to provide fine diagnosis for invalid entailments.\n\nThe current version of Spen improves on the ones reported in [6, 8] in several directions. First, we introduced caching of constructions and results obtained from checking simple entailments in order to increase its efficiency. Second, the wrappers calling the SAT and SMT solvers have been refined to generate smaller formulas and to exploit the incrementality feature of underlying solvers. Third, we improved the diagnosis produced by Spen. For satisfiability checking, Spen now provides either a model of a satisfiable formula or an unsatisfiable core; for entailment checking, Spen provides a proof witness for valid entailments and a diagnostic information otherwise.\n\nSpen has been successfully tested on a quite large benchmark. The first version of Spen participated in the SL-COMP'14 contest [15] where it won one of its divisions and was second in another one. The later extensions now allow Spen to handle a richer fragment than those considered in the competition. Moreover, the improvements above lead to better execution times (e.g., by 10% within the SL-COMP'14 division won by the first version of Spen and by 30% on the division where Spen was the second).\n\nSpen is not the only solver for SL. The existing solvers differ in the fragment considered (Cyclist [2], Slide [9]) and\/or the techniques used (Asterix [12], Dryad [14], GRASShopper [13], Sleek [4]). A detailed comparison with these solvers is beyond the scope of this paper\u2014we refer the reader to the survey in [6, 8, 15].\n\n## 2 Logic Fragment\n\nSpen deals with decision problems in a fragment of SL, denoted as  , that combines the symbolic heaps fragment of SL [1] with user-defined inductive predicates describing various kinds of lists (possibly nested, cyclic, or equipped with skip links) or trees, possibly extended with data constraints.\n\nSyntax: We write X, Y, Z to denote location variables, d to denote data variables, and x, y, z for both kinds of variables. We use the vector notation   to abbreviate tuples. We denote by   the tuples built from pairs of field labels and variables that specify structured values. We assume a finite set   of predicate symbols, each with an associated arity, and a special location variable  . A symbolic heap formula   is a formula of the form   where   is a pure formula and   is a spatial formula with the following syntax:\n\nHere,   is a constraint over data variables. We let it unspecified, though Spen presently supports the first-order theory over multisets of integers with integer linear constraints. The spatial atoms (i.e., the empty heap, the heap cell allocated at X, resp. the heap region shaped by some predicate  ) are composed by the separating conjunction \" \". An   formula   is a set of symbolic heaps interpreted as a disjunction  .\n\nPredicates   are defined by a set of inductive rules of the form   where   is a tuple of distinct variables including all free variables in the symbolic heap   (the rule body). X is called the root node of the heap segment defined by P. A rule is called a base rule if its spatial part is  , i.e., an empty heap; otherwise, it is an inductive rule.\n\nFragments: Spen considers a restricted class of inductive rules such that the defined predicates specify (possibly empty) heap segments connecting (by location fields) the root location X with all locations in the heap or  . The restrictions have been defined formally in [6, 8]. They mainly require, for each inductive predicate P, the presence of a unique base rule and inductive rules where the root X points to a memory cell that contains at least one field from which another heap specified by P starts. The fragment defined in [6], called  , can describe various kinds of lists that can be singly- or doubly-linked, cyclic, nested, and can have skip links. It does not permit data constraints and inductive tree structures. On the other hand, the fragment   defined in [8] permits data constraints and can describe tree structures of bounded width, such as sorted list segments, AVL trees, binary search trees, but not nested cyclic lists.\n\nDecision Problems: For both fragments above, Spen considers the problems of checking satisfiability of a formula, i.e., checking whether   holds, and the validity of an entailment   where the symbolic heaps of   can be quantified only over data variables. A simple example of an entailment problem in   considered by Spen is:\n\nwhich, intuitively, checks whether a composition of two memory cells specified by the points-to atoms   and   and the predicate atom   describes a set of heaps that are all also models of the predicate   defining an acyclic singly-linked list segment between   and  .\n\nFig. 1.\n\nSpen workflow for satisfiability checking\n\n## 3 Satisfiability Checking\n\nGiven a set of inductive definitions   and a symbolic heap  , the procedures for checking satisfiability in Spen follow the workflow given in Fig. 1. The satisfiability checking of an   formula   makes a classic use of this basic procedure. The crux of the procedures for both fragments is the definition of a boolean formula  , called boolean abstraction, such that the data-free part of   is satisfiable iff   is satisfiable [6, 7].\n\nOnce the boolean abstraction   is computed, Spen queries a SAT solver (currently, minisat 2) for the satisfiability of  . If   is unsatisfiable, Spen can return an unsatisfiable core of  , deduced from an unsatisfiable core of  . If   is satisfiable and  , Spen has the option of returning a model of   obtained from a model of   by unfolding predicate atoms corresponding to non-empty heap segments. The unfolding of predicate atoms is done twice to emphasize the non-emptiness of the segment. For  , the satisfiability checking continues by constructing a formula   that conjuncts the data part of   with the data parts obtained by unfolding the non-empty heap segments given by the model of  . To check the satisfiability of  , Spen queries an SMT solver for the theory of multisets with integer data (currently, Spen implements a wrapper for the UFLIA theory of z3 [5]).\n\nIf the boolean abstraction   is satisfiable, it is then used to normalize the spatial part of  , which is a step used by entailment checking too. This process saturates the pure part of   with (dis-)equalities between locations variables and removes predicate atoms that correspond to empty heap segments, producing a normalized formula  .\n\nFig. 2.\n\nSpen workflow for entailment in\n\n## 4 Entailment Checking\n\nTo check the validity of an entailment  , Spen uses a sound procedure to deal with disjunctive formulas: it checks that for every disjunct   in  , there is a disjunct   of   such that  . The procedure for deciding the validity of entailments between symbolic heaps follows the workflows given in Figs. 2 and 3 (the theoretical foundations were established in [6, 8]). The two formulas are first checked for satisfiability and normalized using the procedures from Sect. 3. If one of the two formulas is unsatisfiable, then the validity of the entailment can be already determined, e.g., if   is unsatisfiable then the entailment is valid. When both formulas are satisfiable, Spen offers two different procedures tuned for each fragment of  .\n\nFor the fragment  , Spen reduces the entailment problem   to a set of entailment queries of the form  , called simple entailments, where   is a sub-formula of   and a is a (points-to or inductive) spatial atom of   (there will be one such entailment for each spatial atom a in  ). Intuitively, the sub-formula   describes the region of a heap modelled by   that should satisfy a. The procedures for computing   and testing simple entailments use an intermediary graph representation of symbolic heap formulas, called an SL-graph and denoted  . Basically, nodes of   represent sets of aliased variables according to the pure part of  , and edges represent dis-equalities and spatial atoms of  , e.g., a spatial atom   is represented by a directed edge from X to Y labeled by  . Thus, when a is a predicate atom  ,   is obtained from the SL-graph of   by selecting the edges reachable from X and co-reachable from Y. The graph selected for   is transformed into a tree  , which is tested for membership in the language of a tree automaton built from the rules defining P for the atom  .\n\nFig. 3.\n\nSpen workflow for entailment in\n\nFor the fragment  , Spen implements a proof search strategy for the entailment problem  . The strategy computes a sequence of formulas   such that (1)   and (2)   is syntactically equivalent to  . The entailments in point (1) are obtained by applying the inductive rules and lemmas obtained automatically thanks to restriction required on inductive definitions. The procedure requires to check entailments between data constraints, which is done using the previously mentioned wrapper to the SMT solver.\n\nFor both procedures, when the input entailment   holds, Spen has the option of providing a proof witness that either indicates the fact that   is unsatisfiable or it consists of the normalized forms of   and   and the mapping of sub-formulas in   to atoms of  . When the input entailment is not valid and the procedure terminates, Spen provides a diagnosis that explains why the entailment fails.\n\nTable 1.\n\nExperimental results on an Intel(R) Core(TM) i7-2600 CPU at 1.60 GHz\n\nFragments | Benchmark | Size | Time [s] | SL-COMP'14 results Time [s] StarExec\/solver\n\n---|---|---|---|---\n\n  |   |   |\n\n  |   | sll0_sat | 110 | 11.20 | 11.28 | (I) 1.06\/Asterix, (II) 3.27\/Spen\n\n  |   | sll0_entl | 292 | 34.45 | 34.94 | (I) 2.98\/Asterix, (II) 7.58\/Spen\n\n  |   | FDB_entl | 43 | 1.08 | 1.00 | (I) 0.61\/Spen, (II) 43.65\/Sleek\n\n|  |\n\nFDB_entl   | 55 | 0.65 | \u2014 | \u2014\n\n## 5 Experimental Results\n\nSpen has been applied to a benchmark of 578 problems (available in the repository), 90% obtained from verification conditions of iterative programs on complex dynamic data structures. The remaining problems are crafted to test the capabilities of the solver. Tables 1 and 2 provide an overview of results obtained by Spen on this benchmark.\n\nThe benchmark of   problems includes three divisions of SL-COMP'14: satisfiability and entailment problems for acyclic singly linked lists (sll0_sat resp. sll0_entl), and entailment checking for formulas describing more complicated types of linked lists, e.g., doubly-linked lists, skip lists, and nested lists (FDB_entl). Spen spends less than 0.05 s on 90% of the problems with the maximum time of 0.5 s; these times include calls to a SAT solver. The benchmark FDB_entl   includes the problems not in the SL-COMP'14 benchmark (e.g., formulas describing lists of cyclic lists). The reported times in the last column have been obtained in 2014 on the StarExec3 platform.\n\nTable 2.\n\nResults for\n\nBenchmark | Size | Time [s]\n\n---|---|---\n\nsll0_sorted | 16 | 0.45\n\nBST | 45 | 1.67\n\nAVL | 22 | 1.21\n\nRBT | 21 | 3.61\n\nThe benchmark of   problems (see Table 2) includes verification conditions for proving the correctness of iterative procedures (delete, insert, search) over recursive data structures storing integer data: sorted lists, binary search trees, AVL trees, and red-black trees. Spen spends less than 0.4 s on each problem, including calls to SAT and SMT solvers. The first three lines of Table 1 demonstrate that the two approaches implemented in Spen (based on tree automata\u2014column \" \"\u2014and on proof search\u2014column \" \") are not only complementary but also comparable on the common fragment. The improvements discussed in this paper reduce the execution times by 10% within the division sll0_entl and by 30% within FDB_entl w.r.t. the old version [6].\n\nAcknowledgement\n\nThis work was supported by the French ANR project Vecolib, the Czech Science Foundation (project 17-12465S), the BUT FIT project FIT-S-17-4014, the IT4IXS: IT4Innovations Excellence in Science project (LQ1602), and by the European Research Council (ERC) under the European Unions Horizon 2020 research and innovation programme (grant agreement No. 678177).\n\nReferences\n\n1.\n\nBerdine, J., Calcagno, C., O'Hearn, P.W.: A decidable fragment of separation logic. In: Lodaya, K., Mahajan, M. (eds.) FSTTCS 2004. LNCS, vol. 3328, pp. 97\u2013109. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30538-5_\u200b9 CrossRef\n\n2.\n\nBrotherston, J., Gorogiannis, N., Petersen, R.L.: A generic cyclic theorem prover. In: Jhala, R., Igarashi, A. (eds.) APLAS 2012. LNCS, vol. 7705, pp. 350\u2013367. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-35182-2_\u200b25 CrossRef\n\n3.\n\nCalcagno, C., Yang, H., O'Hearn, P.W.: Computability and complexity results for a spatial assertion language for data structures. In: Hariharan, R., Vinay, V., Mukund, M. (eds.) FSTTCS 2001. LNCS, vol. 2245, pp. 108\u2013119. Springer, Heidelberg (2001). doi:10.\u200b1007\/\u200b3-540-45294-X_\u200b10 CrossRef\n\n4.\n\nChin, W.-N., David, C., Nguyen, H.H., Qin, S.: Automated verification of shape, size and bag properties via user-defined predicates in separation logic. Sci. Comput. Program. 77(9), 1006\u20131036 (2012). ElsevierCrossRefMATH\n\n5.\n\nDe Moura, L., Bj\u00f8rner, N.: Z3: an efficient SMT solver. In: Ramakrishnan, C.R., Rehof, J. (eds.) TACAS 2008. LNCS, vol. 4963, pp. 337\u2013340. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-78800-3_\u200b24 CrossRef\n\n6.\n\nEnea, C., Leng\u00e1l, O., Sighireanu, M., Vojnar, T.: Compositional entailment checking for a fragment of separation logic. In: Garrigue, J. (ed.) APLAS 2014. LNCS, vol. 8858, pp. 314\u2013333. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-12736-1_\u200b17\n\n7.\n\nEnea, C., Saveluc, V., Sighireanu, M.: Compositional invariant checking for overlaid and nested linked lists. In: Felleisen, M., Gardner, P. (eds.) ESOP 2013. LNCS, vol. 7792, pp. 129\u2013148. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-37036-6_\u200b9 CrossRef\n\n8.\n\nEnea, C., Sighireanu, M., Wu, Z.: On automated lemma generation for separation logic with inductive definitions. In: Finkbeiner, B., Pu, G., Zhang, L. (eds.) ATVA 2015. LNCS, vol. 9364, pp. 80\u201396. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-24953-7_\u200b7 CrossRef\n\n9.\n\nIosif, R., Rogalewicz, A., Vojnar, T.: Deciding entailments in inductive separation logic with tree automata. In: Cassez, F., Raskin, J.-F. (eds.) ATVA 2014. LNCS, vol. 8837, pp. 201\u2013218. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-11936-6_\u200b15\n\n10.\n\nIosif, R., Rogalewicz, A., Simacek, J.: The tree width of separation logic with recursive definitions. In: Bonacina, M.P. (ed.) CADE 2013. LNCS (LNAI), vol. 7898, pp. 21\u201338. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-38574-2_\u200b2 CrossRef\n\n11.\n\nO'Hearn, P., Reynolds, J., Yang, H.: Local reasoning about programs that alter data structures. In: Fribourg, L. (ed.) CSL 2001. LNCS, vol. 2142, pp. 1\u201319. Springer, Heidelberg (2001). doi:10.\u200b1007\/\u200b3-540-44802-0_\u200b1 CrossRef\n\n12.\n\nP\u00e9rez, J.A.N., Rybalchenko, A.: Separation logic modulo theories. In: Shan, C. (ed.) APLAS 2013. LNCS, vol. 8301, pp. 90\u2013106. Springer, Cham (2013). doi:10.\u200b1007\/\u200b978-3-319-03542-0_\u200b7 CrossRef\n\n13.\n\nPiskac, R., Wies, T., Zufferey, D.: Automating separation logic using SMT. In: Sharygina, N., Veith, H. (eds.) CAV 2013. LNCS, vol. 8044, pp. 773\u2013789. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-39799-8_\u200b54 CrossRef\n\n14.\n\nQiu, X., Garg, P., Stefanescu, A., Madhusudan, P.: Natural proofs for structure, data, and separation. In: Proceedings of PLDI 2013. ACM Press (2013)\n\n15.\n\nSighireanu, M., Cok, D.: Report on SL-COMP'14. JSAT 9, 173\u2013186 (2014)\n\nFootnotes\n\n1\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bmihasighi\/\u200bspen.\n\n2\n\nAvailable at http:\/\/\u200bminisat.\u200bse.\n\n3\n\nwww.\u200bstarexec.\u200borg, an Intel(R) Xeon(R) CPU E5-2609 at 2.40 GHz of and 10 MB cache.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_23\n\n# From Hazard Analysis to Hazard Mitigation Planning: The Automated Driving Case\n\nMario Gleirscher1  and Stefan Kugele1\n\n(1)\n\nTechnische Universit\u00e4t M\u00fcnchen, Munich, Germany\n\nMario Gleirscher (Corresponding author)\n\nEmail: mario.gleirscher@tum.de\n\nStefan Kugele\n\nEmail: stefan.kugele@tum.de\n\nAbstract\n\nVehicle safety depends on (a) the range of identified hazards and (b) the operational situations for which mitigations of these hazards are acceptably decreasing risk. Moreover, with an increasing degree of autonomy, risk ownership is likely to increase for vendors towards regulatory certification. Hence, highly automated vehicles have to be equipped with verified controllers capable of reliably identifying and mitigating hazards in all possible operational situations. To this end, available methods for the design and verification of automated vehicle controllers have to be supported by models for hazard analysis and mitigation.\n\nIn this paper, we describe (1) a framework for the analysis and design of planners (i.e., high-level controllers) capable of run-time hazard identification and mitigation, (2) an incremental algorithm for constructing planning models from hazard analysis, and (3) an exemplary application to the design of a fail-operational controller based on a given control system architecture. Our approach equips the safety engineer with concepts and steps to (2a) elaborate scenarios of endangerment and (2b) design operational strategies for mitigating such scenarios.\n\nKeywords\n\nRisk analysisHazard mitigationSafe stateController designAutonomous vehicleAutomotive systemModelingPlanning\n\n## 1 Challenges, Background, and Contribution\n\nAutomated and autonomous vehicles (AV) are responsible for avoiding mishaps and even for mitigating hazardous situations in as many operational situations as possible. Hence, AVs are examples of systems where the identification (2a) and mitigation (2b) of hazards have to be highly automated. This circumstance makes these systems even more complex and difficult to design. Thus, safety engineers require specific models and methods for risk analysis and mitigation.\n\nAs an example, we consider manned road vehicles in road traffic with an autopilot (AP) feature. Such vehicles are able to automatically conduct a ride only given some valid target and minimizing human intervention. The following AV-level (S)afety (G)oal specifies the problem we want to focus on in this paper:\n\n  * SG: The AV can always reach a safest possible state   wrt. the hazards identified and present in a specific operational situation  .\n\nBackground. Adopted from [4, 9], we give a brief overview of terms used in this paper: We perceive a mishap as an event of harm, injury, damage, or loss. A hazard (or hazardous state) is an event that can lead to a mishap. We consider hazards to be factorable. Hence, a hazard can play the role of a causal factor of another hazard or a mishap. We denote causal factors, hazards, and mishaps\u2014i.e., the elements of a causal (event) chain\u2014by the term safety risk (risk state or risk for short). We perceive the part of a causal chain increasing risk as an endangerment scenario, and the part of a causal chain decreasing risk as a mitigation strategy. Table 1 exemplifies different endangerment scenarios and how these can be mitigated using corresponding strategies.\n\nMitigation strategies can be seen as specific system-level safety requirements implemented by a given control system architecture. We assume that a control system architecture consists of features deployed on sensors, actuators, and software components running on networked computing units (cf. Fig. 4a). By traditional driver assistance (TDA), we refer to driver assistance features already in the field, e.g. adaptive cruise control (ACC) and lane keeping assistance (LKA).\n\nWe distinguish between the domains vehicle, driver, and road environment. For highly and fully automated driving, not all domains have to be considered. For example, in full automation (e.g. level 5 in [12]), the vehicle has to operate under all road and environmental conditions manageable by a human driver and therefore a driver does not have to be taken into account.\n\nTable 1.\n\nExamples of endangerment scenarios and mitigation strategies.\n\nScenario of endangerment | Possible mitigation strategy\n\n---|---\n\nVehicle | Driver | RoadEnv\n\nVehicle | Subsystem fault | Dependability pattern | Controlled shutdown | car2x com., digital road signs\n\nDriver | Maloperation | Passive safety | Safe reaction (if controllable)\n\nRoadEnv | Unforeseen obstacle | Emergency braking assistant | Braking or circumvention | Digital road signs, x2car com.\n\nIT attack | Security pattern | Safe reaction (if controllable)\n\nContribution. Elaborating on previous work in [5, 6], we contribute\n\n  1. (1)\n\na framework for modeling, analysis, and design of planners (i.e., high-level controllers) capable of run-time hazard identification and mitigation, and\n\n  2. (2)\n\na procedure for constructing planning models from hazard analysis.\n\nFor this, we formalize the core engineering steps necessary for (2a) the identification and analysis of scenarios of endangerment and (2b) the design of operational mitigation strategies. Using an exemplary AV, we incrementally build up a risk structure involving three hazards in the vehicle domain, as well as several strategies to reach safe states in presence of these hazards. We discuss approaches to model reduction suited for run-time hazard analysis and mitigation planning where efficient identification of operational situations and acting therein play a crucial role.\n\nIn this paper, we discuss related work in Sect. 2, our abstraction in Sect. 3, and our modeling framework in Sect. 4. Section 5 shows a procedure for building a hazard mitigation planning model. We present an AV example in Sect. 6, discuss our approach in Sect. 7, and conclude in Sect. 8.\n\n## 2 Related Work\n\nAmong the related formal methods available in robotics planning, embedded systems, and automated vehicle control, we only discuss a few more recent ones and highlight how we can improve over them.\n\nG\u00fcdemann and Ortmeier [7] present a language for probabilistic system modeling for safety analysis. Formalized as Markov decision processes (MDP), they propose two ways of failure mode modeling (i.e., per-time and per-demand failure modes), and two ways of deductive cause consequence reasoning (i.e., quantitative and qualitative). Their model and reasoning can extend our approach. However, our work (i) adds stronger guidelines on how to build planning models and (ii) puts hazard analysis into the context of autonomous systems and mitigation planning.\n\nEastwood et al. [3] present an algorithm for finding permissive robot action plans optimal w.r.t. to safety and performance. They employ partially observable MDPs (helpful in regarding uncertainty and robot limitations) to model robot behavior, and two abstractions from this model to capture a system's modes and hazards. Our framework uses three layers of abstraction ( ,  ,  ), operational situations to capture control modes, and a structure to capture hazards. While they directly encode hazard severity for plan selection, our framework allows the planner to calculate the risk priority based on a causal event tree towards mishaps. As opposed to complete behavioral planning, our approach focuses the construction of mitigation planning models. For example, for system faults we can plan mitigations by using adaptation mechanisms of a given control system architecture.\n\nJha and Raman [8] discuss the synthesis of vehicle trajectories from probabilistic temporal logic assertions. Synthesized trajectories take into account perception uncertainty through approximation of sensed obstacles by combining Gaussian polytopes. In a similar context, Rizaldi and Althoff [10] formalize safe driving policies to derive safe control strategies implementing worst-case braking scenarios in autonomous driving. They apply a hybrid-trace-based formalization of physics required for model checking of recorded [10] and planned [11] strategies. [8, 10, 11] discuss low-level control for a specific class of driving scenarios, whereas our approach provides for (i) the investigation and combination of many related operational situations, thus, forming a more comprehensive perspective of driving safety, (ii) regarding various kinds of hazards that might play a role in high- and low-level control beyond safe and optimal trajectory planning and collision avoidance.\n\nWei et al. [14] describe an autonomous driving platform, capable of bringing vehicles to a safe state and stop, i.e., activating a fail-operational mode on critical failure, and a limp-home mode on less critical failure. These are mitigation strategies we can assess in our framework. Their work elaborates on designing a specific class of architectures. Additionally, we provide an approach to systematically evaluate risks and, consequently, derive an architecture design.\n\nBabin et al. [1] propose a system reconfiguration approach developed with the Event-B method in a correct-by-construction fashion using a behavior pattern similar to our approach (particularly, Fig. 2b). Reconfiguration as one way to mitigate faults is discussed in this work. Wardzi\u0144ski [13] discusses hazard identification and mitigation for autonomous vehicles by predetermined risk assessment (i.e., with safety barriers) and dynamic risk assessment. For both, he provides argumentation patterns for creating AV safety cases. In addition to his work, the abstraction and the method we propose covers both paradigms in one framework. We provide formal notions of all core concepts.\n\nFig. 1.\n\nAbstractions for state and predicate modeling, and for hazard analysis.\n\n## 3 Abstraction for Run-Time Hazard Mitigation\n\nFigure 1 depicts three abstractions\u2014 ,  , and  \u2014for run-time hazard mitigation in AVs. The state space   pertains to the quantization of continuous signals from the physical world encompassing the driver ( ), the vehicle ( ), and the road environment ( ). For instance, the quantity speed is represented by the discrete state variable  , which in turn is used to formulate predicates to obtain the abstract state space  . For example, a predicate over sensor values  ,  ,   can encode  , an invariant constraining the activity of leaving a tunnel. We describe this two-staged abstraction in more detail in [6].\n\nHere, we will work with the risk state space   whose concepts\u2014actions, hazard phases, their composition and ordering\u2014are discussed below:\n\nActions. Let   be a set of actions. We abstract from control loop behaviors within and across operational situations by distinguishing four classes of actions: endangerments  , mitigations   (see Fig. 2b), mishaps  , and ordinary actions  . Note that actions can take place in one or more out of the three domains, drv, veh, and renv, depending on the quantities they modify. We require  .\n\nDefinition 1\n\n(Hazard Phases). Let   be a set of hazards. Given  , endangerment actions  , and   mitigation actions  , we define the phases of a hazard h as the set   whose elements denote the following:\n\n0\n\n: hazard h is (inact)ive,\n\n: hazard h has been (act)ivated by an action  ,\n\n: (act)tivated hazard h has contributed to a mishap by an action  , and\n\n: hazard h has been (mit)igated by an action  .\n\nFor each hazard h, Fig. 2a depicts   as a transition system where  , the indices  , the state mit subsumes   phases, act subsumes phases   and  . For example, in the vehicle domain,   can model degradation transitions and   or   can model repair transitions.\n\nFrom all the sets of hazard phases, we compose a tuple space as follows:\n\nDefinition 2\n\n(Risk State Space). Based on Definition 1, we define the risk state space   as the set of  -tuples\n\nFig. 2.\n\nCore concepts for building a risk state space  .\n\nWe call any subset of   a region. Let   with   and  . To quantify risk in scenarios of endangerment and mitigation strategies (Table 1), we define a partial order over  :\n\nDefinition 3\n\n(Mitigation Order). Let   be a set of phases for hazard h (Definition 1) and  . By the reflexive transitive closure1  , we define the mitigation order  , for states  , as follows:\n\nIntuitively,   denotes \"  is better or further in mitigation than  .\"2\n\n## 4 Concepts for Run-Time Hazard Mitigation\n\nIn this section, we explain the core concepts of deriving a risk structure for a specific operational situation. Using the risk state space   and actions  , we define the notions of risk structure, risk region, and operational situation:\n\nDefinition 4\n\n(Risk Structure). A risk structure is a weighted labeled transition system   with\n\n  * a set   called the risk state space (Definition 2),\n\n  * a set   of actions used as transition labels,\n\n  * a relation   called labeled transition relation, and\n\n  * a set   of partial functions   called weights where the set   can be, e.g.  , or  .3\n\nTo capture the notions of endangerment scenario and mitigation strategy (Table 1) based on  , we consider paths and strategies:\n\nDefinition 5\n\n(Paths, Strategies, and Reachability). By convention, we write   for  . Then, for  , a path is a sequence  . By   we denote the set of all paths of length l and by   all paths over  . Furthermore, we call a set   a strategy. By   with  , we denote the set of states reachable in   from a state  .\n\nEndangerments. We consider an action   as an endangerment, i.e.,  , if   for a transition  . The class   models steps of endangerment scenarios. For example, a can stem from faults in drv, veh, and renv.\n\nMitigations. We consider an action   as a mitigation, i.e.,  , if   for a transition  . The class   models steps of mitigation strategies. One objective of a good mitigation strategy is to achieve a stable safe state.\n\nOperational Situations. States and regions in   both correspond to subsets of   (Sect. 3). To limit the scope of a risk analysis, we use an operational situation which combines an initial region with a (reasonably weak) invariant holding along the driving scenarios in a specific road environment.\n\nDefinition 6\n\n(Operational Situation). An operational situation is a tuple   where   and p is an invariant over   including all representations of   in  . Let   be the set of all operational situations.\n\nBelow, we will work with a risk structure   and assume a fixed operational situation   associated with  . Hence, we use   solely.\n\nRisk Regions. We consider specific subsets of   called risk regions, particularly, the safe region  , the hazardous region  , and the mishap region   (see Fig. 2b). Safety engineers aim at the design of mitigations which (i) avoid   and (ii) react to endangerments as early and effectively as possible. Then,   reduces to unavoidable actions from so-called near-mishaps still in   towards  . For example, we consider a successfully deployed airbag to be in   such that   is not reached in such an accident (more in Sect. 7).\n\nOur definitions of risk regions depend on  : First,  . We require mishaps to be final, i.e.,    . Second,   and   vary with a given operational situation. Moreover, they can be defined based on, e.g. weights and equivalences. However,   and, for an  , we start in the safe region iff  .\n\nWeights. By associating weights with elements of  , we quantify further details on the physical phenomena of the controlled process relevant for risk analysis.\n\nFor example, given   with  , the probability of endangerment   yields the probability that hazard h gets activated in   by performing   in  . Furthermore, given   with  ,\n\n  * the probability of mitigation   yields the probability that hazard h gets mitigated in   by performing   in  .\n\n  * the cost of mitigation   yields the potential effort (i.e., time, energy, other resources) of performing the mitigation  .\n\nFor any mishap  ,   specifies its severity. Depending on the abstraction, we can use qualitative (as shown above) or quantitative scales for   and  . Anyway, we assume to have operators for   and  , e.g. see Fig. 3a.\n\nWeights are typically calculated from measurements of the controlled process. For example, the estimation of   might be result of a controllability analysis of   in   (of an operational situation). Moreover, further quantities (e.g. risk priority) might be (i) calculated from weights, (ii) be propagated along  , and (iii) lead to an update of weights.\n\nRisk Priority. Given  , and a function  , we can compute the minimum partial risk priority\n\n(1)\n\nwhere   denotes the probability4 that from   some mishap   is eventually ( ) reached in  . This definition implements a traditional measure of risk analysis (see, e.g. [4]), referring to the minimum negative outcome (i.e., damage, injury, harm, loss) possibly reachable from   in a specific operational situation  . Note that for  ,  .\n\nEquivalences Over   . For simplification of complex risk structures  , we can construct equivalence classes over states. From the structure of states in  , the dynamics in  , and the elements of the control system architecture (Sect. 1), we give a brief informal overview of equivalences over   to be considered:\n\nWe speak of feature equivalence,  , iff both,   and   map to the same set of active features of the control system, i.e., in-the-loop no matter whether they are fully operational, faulty, or degraded. Note that out-of-the-loop features can be faulty, deactivated, or in standby mode. Next, we speak of degradation equivalence,  , iff   and both states share the same set of degraded features. Furthermore, we speak of hazard (or fault) equivalence,  , iff  , and, particularly, of mishap equivalence,  , iff  . Based on  , we finally define:\n\nDefinition 7\n\n(Mitigation Equivalence). Based on Definition 3, two states   are mitigation equivalent, written  , iff\n\n## 5 Construction of Risk Structures\n\nIn this section, we describe an incremental and forward5 reasoning approach to building a risk structure  .\n\nFig. 3.\n\nOperators and scheme\n\nIdentification of Hazards. Throughout the construction of  , we assume to have a procedure   for the identification of a set of hazards   based on a fixed control loop design   of a class of AVs and their environments, and a fixed set   of operational situations (Definition 6). Failure mode effects and fault-tree analysis (see, e.g. [4]) incorporate widely practiced schemes for  .\n\nBuilding the Risk Structure. Figure 3b shows the main steps of a procedure   which, given a set   and after termination, returns all elements of a complete risk structure  . Here, completeness is relative to   and means that   can no more be extended by (i) states which are reachable by existing actions in  , (ii) actions which allow reaching non-visited states in  , (iii) transitions in   which are technically possible and probable, and (iv) further knowledge by extending the domains of weights. Based on Fig. 3b, Algorithm 1 refines   for a control loop   and an operational situation  .\n\nThe while-loop (cf. line 2) accounts for the alternation between adding endangerments and mitigations. By using the maps   and   (cf. lines 2, 3, 14, 17, 26), the algorithm keeps track of the endangerment- and mitigation-coverage of visited states, i.e., for which hazards   has already been visited.\n\nWe assume to have (i) a function   (cf. lines 9, 11, 22, 23) which acts as an oracle for weights (Sect. 4) depending on  , and (ii) a function   (cf. lines 6, 20) which acts as an oracle for determining the technical possibility of newly identified transitions.\n\nThe first for-loop checks for the addition of new transitions to   (cf. line 7). The transition constructor   returns a state with the given hazard or mishap activated (i.e., phases   or  ). Note that   can generate   reachable via  .\n\nThe second for-loop checks for the addition of new transitions to   (cf. line 21). The transition constructor   returns a state with the given hazards   mitigated to a new phase   for each  .\n\nNote that none of the constructors is idempotent,   can construct several mitigation phases for each hazard (cf. lines 18, 26) and   can construct two activation phases,   and  , both with the corresponding actions (cf. lines 4, 14).\n\nModel Reduction. To keep reasoning efficient, we have to apply reachability-preserving simplifications to   (cf. lines 29f), e.g. equivalences such as in Definition 7. The mitigation order (Definition 3) helps in reducing the state space and in merging actions modifying phases of the same hazards (i.e., by hazard equivalence).\n\nAbstraction from Control System Architecture. In both stages of Algorithm 1, we need to analyze the given or envisaged architecture and to identify state variables, e.g. for software modules, at an appropriate level of granularity.\n\nIn the endangerment stage (lines 3ff), we can perform dependability analyses to identify events that can activate causal factors. Off-line, we then design specific measures to reach the safe region again, and, on-line, we design generic measures to be refined at run-time.\n\nMoreover, the mitigation stage (lines 17ff) helps to revise a control system architecture, e.g. by adding redundant execution units and degradation paths. Moreover, we can pursue off-line synthesis of respective parts of the control system architecture.\n\nHazard Mitigation Planning. First,   is hybrid in the sense that it (i) performs the sensing of already known endangerment scenarios (e.g. near-collision detection, component fault diagnosis) on-line, and (ii) allows the addition of new scenarios from off-line hazard analysis.\n\nSecond, a simple planner would continuously perform shortest weighted path search in   to keep a list of all available lowest-risk mitigation paths (Definition 5) and coordinate optimized lower-level controllers.\n\nBased on these two steps, we assume   to be continuously updated according to the available information (i.e., adding or modifying endangerments and mitigations according to known scenarios). It is important to have powerful and precise update mechanisms, highly responsive actuation, and short control loop delays. Main issues of signal processing are briefly mentioned in Sect. 7.\n\nThe notion of safest possible state (SG, Sect. 1) is governed by the accuracy of   (Sect. 3), the completeness of the results of  , and the exhaustiveness of   for a fixed setting  . According to Definition 3, for a pair  , we might say that   is the safest possible state iff we have\n\n(2)\n\nwhere  . Any controller for SG would have to find and completely conduct a shortest plan for   to reach  .\n\n## 6 Example: Fail-Operational Driver Assistance\n\nElaborating on an example in [6], we apply our framework and algorithm to hazard analysis and elaboration of mitigation strategies. We use the abbreviations introduced in Sect. 1.\n\nIdentifying an Operational Situation. We consider the situation  : \"AV is taking an exit in a tunnel, at a speed between 30 and 90 km\/h, with the driver being properly seated, and the next road segments contain a crossing.\" Figure 4b depicts the corresponding street segment.\n\nFig. 4.\n\nTwo cutouts of the road vehicle domain.\n\nModeling the Road Vehicle Domain. Figure 4a shows a simplified control system architecture used for driver assistance systems. We model the relevant state information according to the abstractions described in Sect. 3. State variables commonly used for road vehicles are listed in Table 2. For  , we assume to have the variables6 (prefixed with their domains, in parentheses their types):   (coordinate),   (vector of floats),   (street map7), and   (enumeration). veh denotes all variables of this domain. For  , we identify the following predicates8:\n\nFurthermore, we use unspecified predicates:\n\nThe invariant for   is  . Note that the AP is active in the initial state   associated with  .\n\nNotation. In the following (Figs. 5a, b and 6), for each state, H denotes that the hazard H is active (phase  ),   that H contributed to a mishap (phase  , only in Table 3), and   that its ith mitigation phase is active (phase  ). We do not indicate hazards which are in phase 0.\n\nTable 2.\n\nExemplary state variables of the different domains.\n\nDomain | State variables | Abbreviation\n\n---|---|---\n\nDriver | Physical presence, consciousness, vigilance,   | drv\n\nVehicle | Speed, loc(ation), fault conditions,   | veh\n\nRoadEnv | Daylight, weather, traffic, road,   | renv\n\nIncremental Forward Construction of the Risk Structure. Refining the regions   and   (Fig. 2b), we construct   from three hazards A, L, and R identified by   (Sect. 5). Table 3 sketches the construction of the first and second increments towards  , including the events  \"AP sensor   fault\" and  \"TDA LKA  software fault.\"\n\nTable 3.\n\nModel after two increments ( ).   denotes true parallelism, ; concatenation.\n\nFigure 5a shows   for  . According to Algorithm 1, we try to add the fault condition L to   and other states in   (i.e., black states in Fig. 5a). Based on the action  , this step yields the states  , and AL. Then, a mitigation step yields the states   and   and, finally, another step of endangerment analysis based on the action   yields  .\n\nRisk Priority Estimation. From the state   with  , we can derive, e.g.   according to Eq. (1). We can as well derive   because reaching   by driving assistance control is no more possible.\n\nEquivalences and Model Reduction. In Fig. 5a, for example,\n\n  *   because in both states A is mitigated and other hazards are inactive (0, cf. Definition 7),\n\n  *   because in   the degraded variants of LKA and ACC, i.e., LKA  and ACC , are in the loop,\n\n  *   because in both states LKA  and ACC  are in the loop,\n\n  *   because in both states, LKA and ACC are in the loop, and\n\n  *   because ACC (part of AP) is faulty and ACC  (part of TDA) is fully operational.\n\nSimplifications can be derived from Fig. 5a, where we might (i) merge two states   if  , or (ii) merge two consecutive states on a \"safe\" mitigation path, e.g. from any   to   if actions such as limp-home, shutdown, and repair are feasible from  .\n\nFig. 5.\n\nRisk structure   and its simplification  .\n\nTable 4.\n\nAdding endangerments for the third increment ( ).\n\n3 | Description | Model increment\n\n---|---|---\n\n  | Driver reaction time increases |\n\n  | States |\n\n  | Action   ...\"driver looks sidewards\"   \"hands go off steering wheel\" |\n\n|  |\n\nFig. 6.\n\nRisk structure after adding endangerments (in red) for the 3  increment (weights not shown, cf. Table 4). (Color figure online)\n\nFigure 5b shows a simplification   of  . We omit irrelevant transitions ( ) and collapse the mitigation-equivalent ( ) states   and  . Consequently, with the states   and   we get a refinement of  . According to Eq. (2),   is a safest possible state reachable from A.\n\nNext, Table 4 and Fig. 6 describe a cut-out of   after the third increment where we added the event  \"Driver reaction time increases.\"\n\n## 7 Discussion of Limitations, Applicability, and Strengths\n\nThe abstraction   (Sect. 3) is subject to standard signal processing steps, i.e., sampling of continuous signals at discrete time points, quantization of dense domains to form finite domains, and clamping of domains. We assume all signals to be sampled faster then their respective Nyquist period, sufficiently small quantums, and sufficiently large ranges of data types. Furthermore, we expect a mitigation planner to be fast enough (sufficiently low latency) to provide outputs for effective and optimal control. Note that the risk structure abstracts from the low-level parameters necessary for actual control of mitigations which takes place at the level of  .\n\nThe treatment of these issues will determine how accurate mitigations can take place at the right time and duration. In addition, we might consider higher-order mitigations to handle adverse impacts of first-order mitigations. However, such impacts have to be identified as hazards to get recognized in  .\n\nElaborating on risk regions (Sect. 4),   represents mitigation-less harmful states, however,   includes all states where mitigations are feasible. Consequently, we allow \"bad things to happen\" as long as we have partial mitigations, e.g. an airbag would prevent from reaching   at a certain probability.\n\n## 8 Conclusion and Future Work\n\nWe presented risk structures as a model to design high-level controllers capable of run-time hazard mitigation, i.e., of maintaining or reaching the safest states in a given operational situation. We sketched an incremental approach to develop mitigation strategies. Safety measures are a combination of reducing or eliminating endangerments with constructing or strengthening mitigations. Risk structures can help to derive safety requirements for a control system architecture. Moreover, they can lay a basis for the evaluation, choice, and combination of mitigation strategies. Our example highlights challenges to tackle in hazard mitigation of fail-operational automated driving. Finally, we indicate how several formalisms\u2014temporal specification, predicate abstraction, and transition systems\u2014can coherently aid in hazard mitigation planning.\n\nFuture Work. Based on risk structures, we aim to evaluate criteria such as (i) time, energy, and cost of mitigations, (ii) the role of human intervention, (iii) resilience to change of operational situations, (iv) control system simplicity.\n\nIn the next steps, we want to efficiently automate the derivation of acceptable mitigation strategies, and synthesize feasible and affordable mitigation strategies. Based on weights, we can define desirable properties of mitigation strategies implemented in  , e.g. monotonicity.\n\nDefinition 8\n\n(Mitigation Monotonicity). Let   be a strategy (Definition 5) and  . We call S mitigation monotonous iff for each path  .\n\nIntuitively, during planning we seek mitigation paths containing only endangerments, if any, which do not increase risk priority. This might, however, be a definition to be relaxed for practical use by, e.g. allowing  -distances.\n\nGiven that we use our algorithm off-line, it is important to make the   and   steps in Algorithm 1 interactive for the safety engineer. Moreover, instead of elaborating  -specific risk structures off-line, we aim at using our algorithm to generate such structures on-line given a specific operational situation, and combine this with a transition system switching between operational situations. Given that we use our algorithm on-line, it is important to develop simplification rules to be applied to   based on the equivalences in Sect. 4.\n\nWe plan to evaluate our results in the automotive industry whose aims include checking whether fail-operational extensions of given in-vehicle network architectures for automated driving can be made acceptably safe.\n\nFinally, for a regulatory agency to apply our approach to AV, we have to show (i) our approach using a large example involving several operational situations, (ii) how our abstraction can be verified, and (iii) that the limits of controllers do not constrain our approach to achieve safe stable control loops.\n\nAcknowledgments\n\nWe are grateful to Maximilian Junker for a thorough review of this work. Moreover, we thank our project partners from the German automotive industry for inspiring discussions and providing a highly innovative practical context for our research. Furthermore, we thank our peer reviewers for suggestions on the use of risk structures, signal processing, and regulatory certification.\n\nReferences\n\n1.\n\nBabin, G., Ait-Ameur, Y., Pantel, M.: Correct instantiation of a system reconfiguration pattern: a proof and refinement-based approach. In: 17th International Symposium on High Assurance Systems Engineering (HASE), pp. 31\u201338, January 2016\n\n2.\n\nBaier, C., Katoen, J.P.: Principles of Model Checking. MIT Press, Cambridge (2008)MATH\n\n3.\n\nEastwood, R., Alexander, R., Kelly, T.: Safe multi-objective planning with a posteriori preferences. In: 17th International Symposium on High Assurance Systems Engineering (HASE), pp. 78\u201385, January 2016\n\n4.\n\nEricson, C.A.: Hazard Analysis Techniques for System Safety, 2nd edn. Wiley, Hoboken (2015)\n\n5.\n\nGleirscher, M., Kugele, S.: Reaching safe states in autonomous road vehicles. In: 35th Annual International Conference on Computer Safety, Reliability and Security (SAFECOMP). HAL, September 2016. https:\/\/\u200bhal.\u200blaas.\u200bfr\/\u200bhal-01370229. extended abstract\n\n6.\n\nGleirscher, M., Kugele, S.: Defining risk states in autonomous road vehicles. In: IEEE 18th International Symposium on High Assurance Systems Engineering (HASE), Singapore, January 2017\n\n7.\n\nG\u00fcdemann, M., Ortmeier, F.: A framework for qualitative and quantitative formal model-based safety analysis. In: IEEE 12th International Symposium on High Assurance Systems Engineering (HASE), pp. 132\u2013141, November 2010\n\n8.\n\nJha, S., Raman, V.: Automated synthesis of safe autonomous vehicle control under perception uncertainty. In: Rayadurgam, S., Tkachuk, O. (eds.) NFM 2016. LNCS, vol. 9690, pp. 117\u2013132. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-40648-0_\u200b10 CrossRef\n\n9.\n\nLeveson, N.G.: Engineering a Safer World: Systems Thinking Applied to Safety. Engineering Systems. MIT Press, Cambridge (2012)\n\n10.\n\nRizaldi, A., Althoff, M.: Formalising traffic rules for accountability of autonomous vehicles. In: IEEE 18th International Conference on Intelligent Transportation Systems, pp. 1658\u20131665, September 2015\n\n11.\n\nRizaldi, A., Immler, F., Althoff, M.: A formally verified checker of the safe distance traffic rules for autonomous vehicles. In: Rayadurgam, S., Tkachuk, O. (eds.) NFM 2016. LNCS, vol. 9690, pp. 175\u2013190. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-40648-0_\u200b14 CrossRef\n\n12.\n\nSAE International: J3016: Taxonomy and Definitions for Terms Related to On-Road Motor Vehicle Automated Driving Systems. Technical report, January 2014\n\n13.\n\nWardzi\u0144ski, A.: Safety assurance strategies for autonomous vehicles. In: Harrison, M.D., Sujan, M.-A. (eds.) SAFECOMP 2008. LNCS, vol. 5219, pp. 277\u2013290. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-87698-4_\u200b24 CrossRef\n\n14.\n\nWei, J., Snider, J.M., Kim, J., Dolan, J.M., Rajkumar, R., Litkouhi, B.: Towards a viable autonomous driving research platform. In: Proceedings of the 2013 IEEE Intelligent Vehicles Symposium (IV), pp. 763\u2013770, June 2013\n\nFootnotes\n\n1\n\nHere, for a relation R,   represents the composition of relations.\n\n2\n\nWe use the convention  .\n\n3\n\n(m)arginal, (c)ritical, (f)atal; for other examples of severity scales, see [4].\n\n4\n\nSee, e.g. [2] for details about probabilistic temporal logic and reasoning.\n\n5\n\nFor generation of  , backward reasoning is the alternative not shown here.\n\n6\n\nVariable types and usage depend on the AV sensors and car2X services through which they are measured. We assume individual error estimators for all variables.\n\n7\n\nWith, e.g. topological coordinate system, information about tunneled parts.\n\n8\n\nHere,   refers to a pattern for the street map element class x which acts like a filter on the street map data type. For sake of brevity, we omit details of sensor fusion and street map calculations required for evaluating these predicates.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_24\n\n# Event-B at Work: Some Lessons Learnt from an Application to a Robot Anti-collision Function\n\nArnaud Dieumegard1  , Ning Ge1, 2  and Eric Jenn1, 3\n\n(1)\n\nIRT Saint-Exup\u00e9ry, 118 Route de Narbonne, 31432 Toulouse, France\n\n(2)\n\nSysterel Toulouse, La Maison des Lois, 2 Impasse Michel Labrousse, 31036 Toulouse, France\n\n(3)\n\nThales Avionics, 105 Avenue du G\u00e9n\u00e9ral Eisenhower, BP 63647, 31036 Toulouse Cedex 1, France\n\nArnaud Dieumegard (Corresponding author)\n\nEmail: arnaud.dieumegard@irt-saintexupery.com\n\nNing Ge\n\nEmail: ning.ge@systerel.fr\n\nEric Jenn\n\nEmail: eric.jenn@irt-saintexupery.com\n\nAbstract\n\nThe technical and academic aspects of the Event-B method, and the abstract description of its application in industrial contexts are the subjects of numerous publications. In this paper, we describe the experience of development engineers non familiar with Event-B to getting to grips with this method. We describe in details how we used the formalism, the refinement method, and its supporting toolset to develop the simple anti-collision function embedded in a small rolling robot. We show how the model has been developed from a set of high-level requirements and refined down to the software specification. For each phase of the development, we explain how we used the method, expose the encountered difficulties, and draw some practical lessons from this experiment.\n\nKeywords\n\nFormal refinementSoftware verificationFormal verificationAnti-collisionEvent-B\n\n## 1 Introduction\n\nThe practical implementation details and the difficulties encountered during the application of the Event-B method by \"typical industrial engineers\" are usually not widely discussed. Therefore, in the current publication, we share the method we have used, the difficulties we have encountered, and some lessons we have learnt when applying this method to develop one particular function of our small rolling robot [1].\n\nIt is worth noting that even though this development was tightly driven by considerations about aeronautical certification, the question of compliance with ARPs [2] or DOs [3\u20135] objectives using Event-B is not directly addressed here.\n\nThe paper is organized as follows. Section 2 outlines our development process. Section 3 introduces our case study: the anti-collision function of a small rover. Section 4 details the elaboration of the software requirements using formal refinement. Section 5 covers related works. We conclude in Sect. 6.\n\n## 2 Formal Refinement in an Industrial Development Process\n\nOur experiment focuses on the following development activities: (i) formalization of the system specification, (ii) definition of a refinement strategy, (iii) application of the refinement strategy to elaborate a set of high-level software requirements compliant with the initial specification. Subsequent software production activities are not detailed and are the subject of an ongoing publication [6]. Other activities such as integration or testing are not addressed.\n\nThe development process starts with a set of informal requirements expressed in a natural language. In order to optimize the modelling and validation effort, the initial set of requirements is decomposed into disjoint subsets, the processing of which is realized sequentially. Processing a subset of the requirements involves several phases: formalization, where requirements are translated into Event-B constructs; validation, where these constructs are validated against the initial user specification; refinement, where these constructs are made more concrete; verification, where the correctness of these constructs is proved. This process stops when (i) all subsets have been processed and (ii) the set of modelling elements allocated to software is completely defined. The overall development process is depicted on Fig. 1.\n\nFig. 1.\n\nOverall development strategy\n\nWith respect to a typical development process in the aeronautical domain, this part of the overall process covers part of the system-level specification and design activity (as per ARP4754 [2]) and part of the software requirement activity (as per DO-178C [3]).\n\nIn our case, we consider the last refinement of the Event-B model to carry high-level requirements (HLR), i.e., \"software requirements developed from analysis of system requirements, safety-related requirements, and system architecture\" (DO-178C). The software code will be implemented from those HLR; this part of the process is described in [6].\n\n## 3 The Case Study\n\n### 3.1 The TwIRTee Rover and the ARP Function\n\nTwIRTee is the three-wheeled robot (or \"rover\") used as the demonstrator of the INGEQUIP project conducted at the Institut de Recherche Technologique of Toulouse (IRT Saint-Exup\u00e9ry). It is used to evaluate new methods and tools in the domain of hardware\/software co-design [1], virtual integration, and application of formal methods for the development of equipment [6\u20139]. TwIRTee's architecture, software, and hardware components are representative of aeronautical, spatial and automotive systems.\n\nA rover performs a sequence of missions (\u2776 on Fig. 2) defined by a start time and an ordered set of waypoints to be passed-by. Missions are planned off-line and transmitted to the rover by a supervision station (\u2777). To go from the first waypoint to the last, the rover moves on a track materialized by a dark line on the ground. In a more abstract way, a complete mission can be modelled by a path in a graph where nodes represent waypoints, and edges represent parts of the track joining two waypoints.\n\nFig. 2.\n\nSystem overview (Color figure online)\n\nA rover shares the tracks with several identical rovers. In order to prevent collisions, each of them embeds a protection function (or ARP) which purpose is to maintain some specified spatial (\u2778) and temporal separation (\u2779) between them. On Fig. 2, temporal separations are represented by light green and light red areas superimposed on the map: basically, rover 2 (resp. rover 1) shall never enter the light green (resp. light red).\n\nIn our implementation, the ARP essentially acts by reducing the rover speed and, in some specific cases, by performing a simple avoidance trajectory. To take the appropriate action, the ARP exploit the following information: the map, the position of all other rovers transmitted by a centralized supervision station (\u277a), and its own position.\n\nFor this paper, we rely on a simplified version of the ARP function where some specification elements such as the rovers positions, speeds, decelerations, etc. are represented as discrete values (no use of Real or Floating Point data). Interested readers can refer to another study [9] conducted on this same function but covering different formal modelling aspects.\n\n### 3.2 Rodin and Event-B\n\nEvent-B [10] is a method to develop systems according to a correct-by-construction approach. It is the system level modelling evolution of the B-method [11] successfully applied in real-size industrial applications [12]. The Event-B method constructs a correct model of a system via a series of refinements of its specification. The correction of a refinement is ensured by proving automatically or manually a set of proof obligations (PO) generated from the model.\n\nThe Rodin Platform1 is an Eclipse-based IDE for Event-B that provides effective support for refinement and mathematical proof. The platform is open source, based on the Eclipse framework. Its development started in 2004 during the RODIN project, and continued within the DEPLOY and ADVANCE projects. The community is still active regarding the development. The extensibility of the platform through the use of plugins is of great interest as it allows to rely among others on (i) analysis tools for verification (SMT solvers, model checkers) or validation (animators, simulators generators) of the models and the refinements, (ii) traceability facilities for link with requirement documents, (iii) code generation tooling, (iv) automated refinements methods easing the refinement work.\n\n## 4 From System-Level Requirements to High-Level Requirements\n\nIn our process, the latest refinement of the Event-B model represents software HLR. As already studied in [10, 13], the development of a refinement strategy is the entry point for the definition of Event-B models. It improves the understanding of the requirements by the designer and the robustness of the development process by providing an intermediate formalization phase between requirements and design. Refinement strategy application produces Event-B refinements.\n\n### 4.1 Building a Refinement Strategy\n\nOur refinement strategy is based on Abrial [10], Butler et al. [13] and Su et al. [14]. The work started with a thorough analysis of the requirements to identify the variables used in the system and classify them as either uncontrolled (environment), controlled (system), or commanded (operator). Requirements are classified according to the same three categories. The main role of the ARP function is to ensure the absence of collision between rovers by controlling the deceleration of the rover. The controlled variable deceleration of the control function is chosen as the first element of focus in the requirements document for the elaboration of the refinement strategy.\n\nRequirements Layering\n\nThe refinement strategy defines the order to process the requirements. This order is determined from the dependencies between variables and, consequently, between requirements. In our case study, we identified the deceleration feature as dependent of the occurrence of conflicts and emergency braking. As a first abstraction, conflicts might occur at any time and so might emergency braking. Our initial layer of refinement was thus only composed of these three variables.\n\nFrom this entry point, the next requirements layers are produced by gradually introducing new features such as: fleet of rovers, distances between rovers, emergency braking etc. Each feature is attached to a subset of the initial requirements. As some requirements are linked to multiple features, they are attached to multiple layers and their implementation is gradually completed along with the refinement of layers.\n\nComplementary to the previous horizontal refinements, vertical data refinements are also performed. For instance, the values of the deceleration variable, initially constrained by a simple range in the early refinement, become later constrained by axioms specifying the semantics of deceleration. Similarly, the calculus of the distance between rovers that was simply defined as a value in a range is refined as a shortest path function.\n\nLessons Learnt\n\nBuilding a consistent, adequate and applicable refinement strategy is the first step towards the correct understanding of the system and contributes to the correct modelling of the system. If requirement classification is a rather systematic activity, their layering (or sequencing) is more difficult. Layering starts with the identification of an entry point from which the activity starts. Layering may be driven by the identification of the minimal subset of features that ensures the capability to simulate and validate the model at each layer.\n\n### 4.2 Formalization of Requirements\n\nFormalization starts with the definition of Event-B contexts containing sets, constant variables and constant relations, the definition domain of which are specified as axioms. Then machines are detailed with variables and relations with their definition domain specified as invariants. Variables require the setting of their initial value in the special INITIALIZATION event. Variables shall be used in events specifying the condition under which their value changes (guards) and how their value changes (actions). Event execution modifies the state of the system. Properties expected to be verified by the system shall be added as invariants of the machine and shall hold in every event.\n\nProducing Event-B models from informal specification can be done using multiple approaches. A first approach relies on modelling the states of the system as sets. In that interpretation, state changes are represented by the \"movement\" of elements from one set to another. This approach has been used for instance in an alternative modelling of our use case in [9] where the study goal was on time and the data refinements relied on the use of real values.\n\nOur modelling approach, depicted in Fig. 3, is inspired from [10]. The function is first abstracted as a hierarchic cyclic state machine comprising two states: the first one updates the state of the environment of the system and the second updates the state of the system itself (i.e., performs the function under design). Transition from one state to the other is triggered by dedicated events ( arp_state_env_start and  arp_state_fun_start ) updating a state variable  arp_state . Sub state machines are triggered depending on activation variables ( [mm|fm|cm|em]_activated ). This approach provides a clear separation between the environment and the system under design, exposes the execution cycle, and so facilitates the production of the executable code from the model. Unfortunately, exposing the execution cycle of the function may also introduce implementation details too early in the refinement process.\n\nFig. 3.\n\nEvent-B model as a circuit\n\nLessons Learnt\n\nModelling the system using our approach does suffer from some serious limitations. We assume that all other rovers in the environment do implement the same ARP function as the one under design. For our implementation, this assumption was added as a new environment requirement. Such assumption was not necessary in the alternative modelling approach as every rover in the system was explicitly modelled and each of them implements the same ARP behaviour. Our modelling approach yields an advantage regarding the formal verification: as we do not model all the rovers, a level of universal quantification in the model is removed.\n\nVertical data refinements produce detailed specifications for variables and for functions. These specifications may be purely declarative or imperative. In the first case, implementation is provided outside of the Event-B world; in the second case, Event-B is used to \"code\" the function. In our use case, for instance, an imperative model of the simple \"deceleration function\" could be easily designed in Event-B. However, this would be much more tedious for the \"shortest path function\". Thus we have favoured a pure declarative approach in Event-B, leaving the implementation details to programming languages.\n\nThe choice of the \"set-oriented\" or \"finite-state-machine-oriented\" modelling approach has an impact on efficiency. The use of sets increases abstraction and reduces the modelling effort, but it increases the implementation work. Reciprocally, using the finite state machine approach is less abstract, less compact, more difficult to write, but simplifies the implementation. Additionally, this approach also facilitates the automatic discharging of POs but at the price of adding invariants to propagate the values of variables changed in sub states to the final state of the state machine. Note also that the nature of the variables and the system under design are likely to favor one or the other modelling approaches.\n\nFinally, it is worth noting that writing Event-B models does not require more knowledge than writing software. While using first order logic and set theory is a shift from classical software engineering methods, this belongs to the mathematical background of any engineer. However, writing Event-B model requires a strong capability of abstraction and a capability to describe without being able to execute...\n\n### 4.3 Verification of Refinements\n\nVerification of formal refinements in the Event-B method relies on the discharging of automatically generated POs. POs can be automatically discharged using predicate provers embedded in the Rodin toolset. Plugins have been developed to leverage the increasing capabilities of SMT solvers such as Alt-Ergo2, Z33, CV44, or others. Formal verification is conducted in parallel with formal refinement: as soon as any element is added in an Event-B model, PO are generated and potentially discharged automatically. In some way, this can be related to the automatic syntactic verifications performed by current IDEs.\n\nRefinement Verification in Practice\n\nThe number of generated POs increases with the size of the model. Even with automatic verification provided by embedded PP and SMT solvers, some POs remain to be proved \"manually\". Hopefully, the proof plug-ins in Rodin are easy to use and very intuitive for the users, and thus is of great help when manual proofs are required.\n\nUnfortunately, diagnosing why some PO fails to be discharged manually or automatically remains difficult. The reason may be that the property simply does not hold, or that either the automatic prover or the user is not able to carry out the proof. In the latter case, reasons may be the limited capabilities of the human or mechanical prover, or missing lemmas. Discriminating the various situations is very hard and may require a significant (but hard to estimate) effort.\n\nRodin embedded prover can be adapted through the definition\/modification (with a graphical interface) of profiles. Profiles customization finds its interest in case dependent models as it provides tactics adapted to specific goals to be proved. We relied on profiles customization in our use case in order to add tactics such as \"domain rewriting\" that were of great help for the automation of the proof work.\n\nPart of the proof work was additionally assisted by adding \"helper\" invariants. This was unfortunately not enough to fully automate the formal verification, as about 1% of the proofs remained to be done by hand (a total of 2442 POs including 15 proven by hand). Remaining proofs relate to the use of non-linear arithmetic for which automatic provers are not really efficient. We dealt with these proofs by adding theorems adapted to the proof goals and by performing their proof by hand. The necessary work was not complex but is time consuming due to the manual search for missing theorems.\n\nLessons Learnt\n\nFormal verification is the most time-consuming activity in the refinements process. This work is complex and requires experience and specific skills when automatic proof fails to discharge all POs. Worse, the effort to complete a proof is difficult to estimate. This problem is made even more critical due to the fact that no guidance can be provided to complete a proof. Avoiding manual proof work would thus be a way to avoid such limitation but would require modelling guidance on how to stay on the path of what is automatically provable.\n\nOn the other side, proofs performed fully automatically and immediately may cover other difficulties. Hence, our first proofs were performed in no time due to contradictory axioms\/invariants\/guards. Unfortunately, avoiding such inconsistencies is difficult and detection cannot be done automatically. So we relied on the voluntary insertion of inconsistent axioms\/invariants\/guards to check for the consistency of the other axioms\/invariants\/guards.\n\nAfter a relatively short training on the Event-B method, formalism and proof techniques, it appears to us that modelling systems and proving them using the Rodin toolset is a task that is accessible to engineers with some background in mathematical logics. However, the time needed for the modelling and verification of a system remains difficult to estimate. Worse, the effect of a simple model modification on the proof effort (especially, manual) is difficult to estimate. We really miss appropriate modeling guidance.\n\n### 4.4 Validation of Formal Requirements\n\nIdeally, the set of requirements is consistent and complete at each refinement level. In reality, it is very likely that some requirements have been ignored, misunderstood, or badly transcoded. As the rework of an Event-B model is fairly expensive, it shall be validated as early and often as possible.\n\nExecuting the model has been identified by Event-B experts as the only means to achieve validation [15, 16]. The production of simulators has been the subject of many works [17\u201319] and tools have been developed for this purpose.\n\nSimulator-Based Validation\n\nIn our experiment, we relied on ProB [20] complemented by B-Motion [21] and JeB [22] as validation tools. The last two additionally provide means to graphically represent the execution of the model: this greatly improves stakeholders' ability to validate the Event-B models.\n\nDuring the phase of requirement analysis, we developed a simulator including movement dynamics of the rovers on a map using ScicosLab5 as depicted in Fig. 4. The only purpose of the simulator was to validate our understanding of the specification. Such simulator also has the interesting effect of producing simulation scenarios that can be used as test vectors fed to the Event-B simulators [19]. Simulations relying on such values directly contribute to the validation of Event-B models as they rely on pre-validated sets of values. Integration of third party simulators and produced values can be technically done relying on FMI (Functional Model Interface) and the related plugin developed for integration in the Rodin platform [17].\n\nFig. 4.\n\nScicosLab simulator with graphical display (b) and underlying model (a)\n\nDeveloping Event-B simulators is easy, especially during the first steps of refinement. However, generating actual input vectors for the simulation can be quite tedious and complex when the variables or constants are specified using non-deterministic expressions.\n\nWe relied on JeB [18] for the generation of a web-based simulator and for the generation of values for constants. JeB provides an automatic translation of Event-B models to an executable JavaScript implementation. It is then possible to provide JavaScript functions computing the values for constants (resp. variables and parameters). Such functions produce values that are pretty-printed using Event-B notation. These values can then be used in the original Event-B model making JeB a very handy tool for the production of test vectors for complex data (relations pairs etc....). Computed values correction is formally verified using PP and SMT solvers when they are injected in the Event-B model. In our ARP function we produced values for the refined function for the calculus of the deceleration to be applied by the rover using JeB.\n\nIn control systems, liveness properties or correctness properties such as deadlock freeness shall be verified to ensure the responsiveness of the system. Simulation can be used to obtain a first level of confidence on the absence of deadlocks, before resorting to formal proof. Deadlock freeness theorems can be generated using dedicated Rodin plugins, but depending on the model size, their verification may become very challenging. Verifying these properties can also be done using model checking. But this approach suffers from the classical limitations of model checkers. In our experiment, we used a translation to another formalism and toolset (HLL and S3, see [6]) after introducing a scheduling sequence of events to the system under design to tackle more efficiently and automatically the verification of those properties.\n\nLessons Learnt\n\nValidating a formal model with respect to a set of informal requirements is a difficult task. Hopefully, the Event-B environment provides a set of very helpful animation tools. Animation allows stakeholders to see the behavior of the formal model and validate it. Furthermore, it allows to assess reachability and liveness properties that are difficult (and sometime impossible) to express directly on the Event-B model and to formally verify these properties using model checking. However, as for any test-based approach, confidence on the validation depends on the coverage of the validation scenarios.\n\n### 4.5 Model Review\n\nThe review activity in a classical development process aims at ensuring the correct implementation of requirements as code or the correct refinement of requirements, to detect inconsistencies and misinterpreted requirements, and enforce the use of development standard (e.g., code writing standards). Here, we consider three specific goals: ensure a correct encoding of the designer's intent, reduce the verification effort, and support traceability.\n\nEnsure Correct Encoding of Designer Intent\n\nThe correct encoding of the designer intent is ensured by the validity, correctness, consistency and completeness of the formal model with respect to the requirements. We provide here multiple elements supporting this goal.\n\nIntroduction of verification lemmas is a starting point advocated in many publications to assess the consistency of an Event-B model. As already stated, success in proving obviously false theorems\/invariants\/guards put in contexts\/machine\/events allows one to detect inconsistencies in contexts\/machine initialisation\/event guards and parameters definitions.\n\nAdditional automated tooling for checking expressions could also help in our verification process, as an example, checking if bounded logic variables are used in quantified constructs or writing implications in the body of existentially quantified expressions might raise a warning for the designer.\n\nA proofreading approach to model review could also be applied to Event-B models by having a reviewer to rewrite chosen guards and invariants using natural language. The reviewer would then check if the natural language expressions are indeed correct rewritings of the associated requirements. The opposite approach could also be done and would be safer (reviewer to write the natural language expression of the guard using FOL) but less straightforward for engineers. Proofreading should be focused on complex guards and invariants that are more likely to contain errors and on invariants stating key properties of the system under design.\n\nMinimize Verification Effort\n\nVerification is one of the most expensive activities in the development of embedded critical systems. Minimizing verification efforts is thus of primary interest.\n\nTo facilitate the (possibly automatic) verification process, we have to add additional lemmas to the model. Those lemmas were explicitly identified as \"helper\" lemmas, so as to ease the work of assessing the correction of the model. After several modifications of the model, some of those lemmas became unnecessary and were removed from the model to lighten the verification. It is worth noting that some tautologies were kept in the model even though they did not bring additional information as they appeared to be very helpful to support \"case splitting\" and simplify the automatic proof.\n\nThe verification effort obviously strongly depends on the ability for the verifier to understand the model. One way to achieve this goal relies on the compliance to a set of well-defined modelling rules compiled in a \"modelling standard\", in a way similar to what is usually done for software coding. Many rules for code writing such as MISRA-C [23] can be applied to the writing of logical expressions: avoid deep nesting, avoid too long lines of code, line breaks position according to operators, indentation consistency, parenthesizing consistency, avoid having two operator of different precedence at the same level of indentation. Verification effort can also be strongly reduced by an appropriate organization of the models. For instance, in our experiment, we applied the following rule about model elements ordering: \"the order of declaration of constants, variables or parameters should match the order of appearance of their respective definition (axioms, invariants, guards)\".\n\nIt is obvious but worth noting that adding comments in the model significantly contributes to a better understanding of the intent of the designer and of the structure and choices made during the design process. Comments shall be of help and not state obvious information.\n\nExisting tooling may also simplify the models and thus impact its understandability. For instance, the \"theory\" plugin provides the capability to factorize properties or expressions of the model and thus simplifies the writing (and, later, the understanding) of complex Event-B models.\n\nWe have provided here a few examples of good practices for the writing of an Event-B model to produce more readable, reviewable and thus understandable models. There exists many works and standards used in the industry to ensure such properties for code but to our knowledge there is a minimal work done on applying this to logical specification. We plan on tackling these with more details on a dedicated publication.\n\nTraceability\n\nAeronautics certifications require to trace each design elements to some requirement. The corresponding certification objective is \"High-level requirements are traceable to system requirements\" (DO178 Annex A, table A-3, objective 6). In our experiment, ensuring traceability during the refinement process first relied on making explicit the mapping between the elements in the informal specification and Event-B constructs. At high level, naming conventions allowed us to link each refinement layer defined by the refinement strategy to its corresponding Event-B machine and context. Newly introduced model element (constant, axiom, variable, invariant, event, guard and action) were commented with the name of the requirement to which it was linked. If an element could not be linked to a requirement, it was marked as \"derived\" and the corresponding derived requirement was added to the specification.\n\nWe decided to use this approach to keep the traceability artefacts visible at all time. An alternative solution would be to rely on the traceability plugin integrated in the Rodin platform (RMF). This solution would simplify the traceability review process and avoid cluttering of the models. Unfortunately, it was not available for the version of Rodin we used in our experiment (such integration is planned to be provided at the time of writing).\n\nLessons Learnt\n\nWe advocate that code review can be applied to Event-B models and may help in (i) demonstrating the correct encoding of the intent of the designer in the formal model; and (ii) minimizing the verification effort by adopting appropriate modelling patterns.\n\nModel review against a well-defined modelling standard is a simple and efficient means to enhance the quality of the model and reduce the number of errors. The benefits of such activity strongly overcome its cost. Hence, it shall be an integral part of the Event-B models development process. We believe that the complexity of such a review activity is affordable for software engineers with basic mathematical knowledge.\n\nAdditionally, generating appropriate documentation from Event-B models would also greatly simplify the review work. Indeed, the way of displaying models in the Rodin environment is not really adapted to a proper review activity. For instance, a categorization of model elements and comments according to their purpose\/role (traceability, design choices, model element meaning, general information...) with associated documentation generation would greatly help the review process.\n\nOur approach to deal with traceability was applicable to our use case because of the granularity of our requirements. Tracing more abstract requirements to specific model elements would be difficult to manage and verify that way. Relying on an intermediate level of (semi-)formal requirements as advocated in the use of the \"extended problem frame\" approach [24] would be more generalizable.\n\n## 5 Related Works\n\nResearch projects have produced a large literature on the methodology and tools around the use of Event-B for system modelling. Project such as DEPLOY, for instance, [24] have provided some very valuable results on the application of Event-B on industrial use cases. In this work, they rely on the \"extended problem frames\" approach as an intermediate formalism between informal requirements and Event-B models to further formalize relations between requirements elements and thus simplify the formalization work. Model validation is tackled in their approach using traceability and animation through the use of ProB. To assess deadlock freeness, they rely exclusively on ProB.\n\nA complete approach for the design and conception of a pacemaker system [25] and an adaptive cruise control has been developed by Singh [19]. Formalization of requirements is done through the extraction of modes and variables and introduction of refinement charts [25]. Event-B models are then produced, verified and validated [26]. The whole process is also confronted to a potential use in a software certification environment [27].\n\nOur work on the analysis and formalization of requirements does not provide additional elements compared to previously presented state of the art applications. We advocate on relying on animation technologies to improve the understanding of simulation results by stakeholders by providing graphical simulators generated using B-Motion and\/or JeB. Simulation input data may be produced through the use of simulators generators like JeB. We propose to additionally rely on a transformation of Event-B models to HLL for verification and validation. A similar approach is advocated in the FORMOSE6 project relying on UPPAAL [28]. We propose an additional review process to complement validation relying on software review techniques ensuring a better detection of conception errors and misunderstanding of the specification during Event-B models design.\n\n## 6 Conclusion\n\nThis work focuses on the application of the Event-B method on part of the process followed during an industrial development. We give some lessons and proposed some of the simple practices that we applied during this experiment. Relying on the Event-B method for the development of systems provides a framework for the formalization of textual requirements. This is strengthening the traditional error prone formalization step of a software development process. Formal modelling, verification and validation of Event-B models at an early stage provide a very valuable and fast feedback on the correction of requirements.\n\nOne important conclusion of our experiment resides in the very fact that we \u2013 \"standard\" software engineers \u2013 were able to apply the method on a non-trivial problem in a very reasonable time. This is in particular due to the great maturity of the toolset and the efficiency of the underlying provers. However, this positive conclusion is certainly largely due to the natural adequacy of our problem to the method. An additional conclusion of our experiment is that classical verification and validation activities shall be complemented by review activities. They strongly contribute to reduce the number of errors and more generally to enhance the quality of the model.\n\nBefore moving to a large scale industrial application, some very important questions remain to be answered: what is the actual usage domain of the method, considering the constraints imposed by the capability of the automatic verification means? How robust is the method to a change in the requirements? What are the good modeling practices to enhance this robustness and to reduce the verification effort? Definitely, it is necessary to evaluate the method on different types of systems to detect weak and strong points for its application.\n\nThis work will be pursued to answer these questions, and more specifically to address the applicability of the Event-B method in a DO-178C compliant development process. Additional tooling may be necessary in order to assess requirements coverage and improve review activities. Purpose\/role focused documentation generation could serve these activities that needs to be conducted in a certification environment.\n\nReferences\n\n1.\n\nCuenot, P., Jenn, E., Faure, E., Broueilh, N., Rouland, E.: An experiment on exploiting virtual platforms for the development of embedded equipments. In: 8th European Congress on Embedded Real Time Software and Systems (ERTS 2016) (2016)\n\n2.\n\nSAE: SAE ARP4754 Certification Considerations for Highly-Integrated Or Complex Aircraft Systems. Society of Automotive Engineers (SAE), Warrendale, USA (1996)\n\n3.\n\nRTCA: DO-178C, Software Considerations in Airborne Systems and Equipment Certification. Special Committee 205 of RTCA (2011)\n\n4.\n\nRTCA: DO-333 Formal Methods Supplement to DO-178C and DO-278A. RTCA & EUROCAE, December 2011\n\n5.\n\nRTCA: DO-331 Model-Based Development and Verification Supplement to DO-178C and DO-278A. RTCA & EUROCAE, December 2011\n\n6.\n\nGe, N., Dieumegard, A., Jenn, E., Voisin, L.: From Event-B to verified C via HLL, October 2016\n\n7.\n\nClabaut, M., Ge, N., Breton, N., Jenn, E., Delmas, R., Fonteneau, Y.: Industrial grade model checking use cases, constraints, tools and applications. In: 8th European Congress on Embedded Real Time Software and Systems (ERTS 2016), Toulouse, France (2016)\n\n8.\n\nGe, N., Jenn, E., Breton, N., Fonteneau, Y.: Formal verification of a rover anti-collision system. In: Beek, Maurice H., Gnesi, S., Knapp, A. (eds.) FMICS\/AVoCS -2016. LNCS, vol. 9933, pp. 171\u2013188. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-45943-1_\u200b12 CrossRef\n\n9.\n\nSingh, N.K., Ait-Ameur, Y., Pantel, M., Dieumegard, A., Jenn, E.: Stepwise formal modeling and verification of self-adaptive systems with Event-B. The automatic rover protection case study. Presented at the ICECCS 2016 (2016)\n\n10.\n\nAbrial, J.-R.: Modeling in Event-B - System and Software Engineering. Cambridge University Press, Cambridge (2010)CrossRefMATH\n\n11.\n\nAbrial, J.-R.: The B-book: Assigning Programs to Meanings. Cambridge University Press, New York (1996)CrossRefMATH\n\n12.\n\nBoulanger, J.-L.: Formal Methods Applied to Complex Systems: Implementation of the B Method. Wiley, Hoboken (2014)CrossRef\n\n13.\n\nButler, M.: Towards a cookbook for modelling and refinement of control problems (2009)\n\n14.\n\nSu, W., Abrial, J.-R., Huang, R., Zhu, H.: From requirements to development: methodology and example. In: Qin, S., Qiu, Z. (eds.) ICFEM 2011. LNCS, vol. 6991, pp. 437\u2013455. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-24559-6_\u200b30 CrossRef\n\n15.\n\nMashkoor, A., Jacquot, J.-P., Souqui\u00e8res, J.: Transformation heuristics for formal requirements validation by animation. In: 2nd International Workshop on the Certification of Safety-Critical Software Controlled Systems-SafeCert 2009 (2009)\n\n16.\n\nHallerstede, S., Leuschel, M., Plagge, D.: Refinement-animation for Event-B \u2014 towards a method of validation. In: Frappier, M., Gl\u00e4sser, U., Khurshid, S., Laleau, R., Reeves, S. (eds.) ABZ 2010. LNCS, vol. 5977, pp. 287\u2013301. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-11811-1_\u200b22 CrossRef\n\n17.\n\nSavicks, V., Butler, M., Colley, J., Bendisposto, J.: Rodin multi-simulation plug-in. Presented at the 5th Rodin User and Developer Workshop, Toulouse, France (2014)\n\n18.\n\nYang, F.: A simulation framework for the validation of Event-B specifications. Universit\u00e9 de Lorraine (2013)\n\n19.\n\nSingh, N.K.: Reliability and safety of critical device software systems. Ecole Centrale de Nantes (2011)\n\n20.\n\nLeuschel, M., Butler, M.: ProB: a model checker for B. In: Araki, K., Gnesi, S., Mandrioli, D. (eds.) FME 2003. LNCS, vol. 2805, pp. 855\u2013874. Springer, Heidelberg (2003). doi:10.\u200b1007\/\u200b978-3-540-45236-2_\u200b46 CrossRef\n\n21.\n\nLadenberger, L., Bendisposto, J., Leuschel, M.: Visualising Event-B models with B-motion studio. In: Alpuente, M., Cook, B., Joubert, C. (eds.) FMICS 2009. LNCS, vol. 5825, pp. 202\u2013204. Springer, Heidelberg (2009). doi:10.\u200b1007\/\u200b978-3-642-04570-7_\u200b17 CrossRef\n\n22.\n\nYang, F., Jacquot, J.-P., Souqui\u00e8res, J.: JeB: safe simulation of Event-B models in Javascript. In: 2013 20th Asia-Pacific Software Engineering Conference (APSEC), vol. 1, pp. 571\u2013576 (2013)\n\n23.\n\nMIRA Ltd: MISRA-C:2004 guidelines for the use of the C language in critical systems (2004)\n\n24.\n\nPetre, L., Sere, K., Tsiopoulos, L.: Deploy methods: final report. D44, April 2012\n\n25.\n\nM\u00e9ry, D., Singh, N.K.: Formal specification of medical systems by proof-based refinement. ACM Trans. Embed. Comput. Syst. 12(1), 15:1\u201315:25 (2013)CrossRef\n\n26.\n\nM\u00e9ry, D., Singh, N.K.: Real-time animation for formal specification. In: M\u00e9ry, D., Singh, N.K. (eds.) Complex Systems Design & Management 2010, pp. 49\u201360. Springer, Heidelberg (2010)\n\n27.\n\nM\u00e9ry, D., Singh, N.K.: Trustable formal specification for software certification. In: Margaria, T., Steffen, B. (eds.) ISoLA 2010. LNCS, vol. 6416, pp. 312\u2013326. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-16561-0_\u200b31 CrossRef\n\n28.\n\nBehrmann, G., et al.: UPPAAL 4.0. In: Third International Conference on the Quantitative Evaluation of Systems - (QEST 2006), pp. 125\u2013126 (2006)\n\nFootnotes\n\n1\n\nhttp:\/\/\u200bwww.\u200bevent-b.\u200borg\/\u200b.\n\n2\n\nhttp:\/\/\u200balt-ergo.\u200blri.\u200bfr\/\u200b.\n\n3\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bZ3Prover\/\u200bz3.\n\n4\n\nhttp:\/\/\u200bcvc4.\u200bcs.\u200bnyu.\u200bedu\/\u200bweb\/\u200b.\n\n5\n\nhttp:\/\/\u200bwww.\u200bscicoslab.\u200borg\/\u200b.\n\n6\n\nhttp:\/\/\u200bformose.\u200blacl.\u200bfr\/\u200b.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_25\n\n# Reasoning About Safety-Critical Information Flow Between Pilot and Computer\n\nSeth Ahrenbach1\n\n(1)\n\nUniversity of Missouri, Columbia, Missouri 65201, USA\n\nSeth Ahrenbach\n\nEmail: SJK7v7@mail.missouri.edu\n\nAbstract\n\nThis paper presents research results that develop a dynamic logic for reasoning about safety-critical information flow among humans and computers. The logic advances previous efforts to develop logics of agent knowledge, which make assumptions that are too strong for realistic human agents. We introduce Dynamic Agent Safety Logic (DASL), based on Dynamic Epistemic Logic (DEL), with extensions to account for safe actions, belief, and the logical relationships among knowledge, belief, and safe action. With this logic we can infer which safety-critical information a pilot is missing when executing an unsafe action. We apply the logic to the Air France 447 incident as a case study and provide a mechanization of the case study in the Coq proof assistant.\n\n## 1 Introduction\n\nA common theme for aviation mishaps attributed to human error is for a pilot to become overwhelmed by data, lose situational awareness, and provide unsafe inputs to the flight controls. As yet, little work has been done to leverage the power of formal methods to address this problem. This paper remedies that by defining a dynamic logic of belief, knowledge, and safe action. We use the logic to create an axiomatic model of agency suitable for reasoning about safety-critical information flow among pilots and the flight computer. We mechanize this model in the Coq Proof Assistant and apply it to the Air France 447 incident as a case study.1\n\nThe research contributions of this paper include the development of a dynamic logic that is suitable for reasoning about safety-critical information flow. The dynamic logic is extended beyond most dynamic logics' treatment of action in that it treats both mere action and safe action, and captures the relationship between the two. The subsequent application and mechanization in Coq explore novel uses of formal methods in aviation safety, beyond mere verification of system component correctness. They introduce the idea of formally analyzing the human component of the safety-critical systems.\n\nDynamic Logic is a type of modal logic used for reasoning about state transition diagrams of programs [3, 8]. A diagram consists of nodes and edges, representing states of the system and labeled transitions between them, respectively. It is distinguished from other logics by the fact that truth is dynamic, rather than static, in its semantics. Thus, it is capable of representing the way actions change the truth of propositions. It serves as a foundation for a variety of logics similarly concerned with changes in some aspect of the truth as a result of actions. This family of logics has been described as logical dynamics, and includes Public Announcement Logic (PAL) and Dynamic Epistemic Logic (DEL) [5].\n\nLogical dynamics allows researchers to model information flow, rationality, and action in multi-agent systems [5]. In Ahrenbach and Goodloe [1], the authors develop a static modal logic for knowledge, belief, and safety to analyze a family of aviation mishaps involving a type of reasoning error suffered by a single pilot. This paper extends that work by employing dynamic methodologies from logical dynamics to the analysis of mishaps. The use of a dynamic logic rather than a static logic connects safety-critical information and actions in a more natural way, and allows for easier inference from action to information. The application of these methods advances the discipline of logical dynamics by employing them in the real world, beyond toy examples and logic puzzles, and likewise improves the discipline of aviation safety by introducing a formal method suitable for analyzing safety-critical information flow between pilots and machine.\n\nRecent work at the intersection of game theory and logical dynamics focuses on information flow during games. Van Ditmarsch identifies a class of games called knowledge games, in which players have diverging information [6]. This slightly relaxes the assumption of classical game theory that players have common knowledge about each other's perfect information. This invites logicians to study the information conveyed by the fact that an action is executed. For example, if agent 1 asks agent 2 the question, \"p?\", the information conveyed is that 1 does not know whether p, believes that 2 knows whether p, and after the action occurs, this information becomes publicly known. Many actions convey such information, beyond mere speech acts. For example, when a pilot provides flight control inputs, her action conveys information about what she believes about the aircraft's state, namely that it is in a state that safely permits those inputs. Anyone observing her inputs, like the first officer or the flight computer, can make such inferences about her mental picture based on her actions.\n\nThis paper proceeds as follows. In Sect. 2 we define the formal model, which consists of a set of axioms in a dynamic modal logic for reasoning about pilot knowledge, belief, and safety. Section 3 mechanizes the model in the Coq Proof Assistant and applies it to case studies, illustrating the logic's use as a formal method for aviation safety. We offer a brief discussion of future work in Sect. 4 and conclude in Sect. 5.\n\n## 2 Dynamic Agent Safety Logic\n\nThe logic for reasoning about information flow in knowledge games is called Dynamic Epistemic Logic (DEL). As its name suggests, it combines elements of epistemic logic and dynamic logic. Epistemic logic is the static logic for reasoning about knowledge, and dynamic logic is used to reason about actions. In dynamic logic semantics, nodes are states of the system or the world, and relations on nodes are transitions via programs or actions from node to node. If we think of each node in dynamic logic as being a model of epistemic logic, then actions become relations on models, representing transitions from one multi-agent epistemic model to another. For example, if we have a static epistemic model M1 representing the knowledge states of agents 1 and 2 at a moment, then the action \"p?\" is a relation between M1 and M2, a new static epistemic model of 1's and 2's knowledge after the question is asked. All of this is captured by DEL.\n\nWe are concerned with an additional element: the safety status of an action, and an agent's knowledge and belief about that. To capture this, we extend DEL and call the new logic Dynamic Agent Safety Logic (DASL). The remainder of this section presents DASL's syntax, semantics, and proves its soundness.\n\n### 2.1 Syntax and Semantics\n\nThe Dynamic Agent Safety Logic (DASL) used in this paper has the following syntax.\n\nwhere   is an atomic proposition,   refers to  ,   is the name of an action, called an action token, belong to a set of such tokens, Actions, and   refers to an action structure. The knowledge operator   indicates that \"agent i knows that ...\" Similarly, the operator for belief,   can be read, \"agent i believes that...\" The notion of action tokens and structures will be defined in the semantics. The operators   and   are the dynamic operators for agent i executing action token   from action structure A in the former case, and doing so safely in the latter case. Note that the   in   stands for 'safety', and is not a variable, whereas the   are variables for agents, action structures, and action tokens, respectively. One can read the action operators as \"after i executes   from A,   holds.\" We define the dual modal operators  ,  ,  , and   in the usual way.\n\nThe semantics of DASL involve two structures that are defined simultaneously, one for epistemic models, and one for action structures capturing the transition relation among epistemic models. Additionally, we define numerous helper functions that straddle the division between metalanguage and object language.\n\nKripke Model. A Kripke model   is a tuple  . It is a set of worlds, sets of epistemic and doxastic relations on worlds for agents, a world denoting the actual world, and a valuation function V mapping atomic propositions to the set of worlds satisfying them. Most readers will be somewhat familiar with epistemic logic, the logic for reasoning about knowledge. Doxastic logic is a similar logic for reasoning about belief [9].\n\nAction Structure. An action structure   is a tuple  . It is a set of action tokens, sets of epistemic and doxastic relations on action tokens for agents, and an action token,  , denoting an actual action token executed.\n\nAn action structure captures the associated subjective events of an action occurring, including how it is observed by various agents, incorporating their uncertainty. The action tokens are the actual objective events that might occur. For example, if I am handed a piece of paper telling me who won the Oscar for Best Actress, and I read it, and you see me read it, then the action structure will include possible tokens in which I read that each nominee has won, and you will consider each of these tokens to be possible. When I read the paper, I consider only one action token to be the one executed. This action structure represents that transition from one epistemic model, in which both of us considers all nominees the potential winner, to an epistemic model in which I know the winner and you still do not know the winner. We can think of the action structure A as the general action \"Agent 1 reads the piece of paper\" and the tokens as the specific actions \"Agent 1 reads that nominee n has won the award.\"\n\nModel Relation. Just as   denotes a relation on worlds,   denotes a relation on Kripke model-world pairs. It represents the relation that holds between M, w and   when agent i executes action   at M, w and causes the world to transition to  .\n\nPrecondition Function. The Precondition function,  , maps an action to the formula capturing the conditions under which the action can occur. For example, if we assume agents tell the truth, then an announcement action has as a precondition that the announced proposition is true, as with regular Public Announcement Logic.\n\nPostcondition Function. The Postcondition function,  , takes an action structure and an atomic proposition, and maps to the corresponding atomic proposition after the action occurs.\n\nUpdate Function. The Update function,  , takes a Kripke model M, an action structure A, a world from the Kripke model, an action token from the Action structure, and an agent executing the action, and returns a new Kripke model-world pair. It represents the effect actions have on models, and is more complicated than other DEL semantics in that actions can change the facts on the ground in addition to the knowledge and belief relations. It is a partial function that is defined iff a model-world pair satisfies the action's preconditions.\n\n :\n\n  1. 1.\n\n  2. 2.\n\n  3. 3.\n\n  4. 4.\n\n  5. 5.\n\n  6. 6.\n\n  7. 7.\n\n  8. 8.\n\nSafety Precondition Function. The Safety Precondition Function,  , is a more restrictive function than pre. Where pre returns the conditions that dictate whether the action is possible,   returns the conditions that dictate whether the action is safely permissible. This function is the key reason the dynamic approach allows for easy inference from action to safety-critical information.\n\nThe logic DASL has the following Kripke semantics.\n\nThe definitions of the dynamic modalities make use of a relation between two model-world pairs, which we now define.\n\n### 2.2 Hilbert System\n\nDASL is axiomatized by the following Hilbert system.\n\nAll propositional tautologies are axioms.\n\nplus the inference rules Modus Ponens and Necessitation for   and  .\n\nAbove are the axioms characterizing the logic. Knowledge is weaker here than in most epistemic logics, and belief is standard [7]. They are related logically by EP(1\u20133), which hold that knowledge entails belief, belief entails that one believes that one knows, and belief entails than one knows that one believes. Finally, actions and safe actions are logically related by SP and PR, which hold that necessary consequences of mere action are also necessary consequences of safe actions, and that a pilot can execute an action only if he believes that he is executing a safe action.\n\n### 2.3 Soundness\n\nProof\n\n  correspond to the axioms that   is a T modality and   is a KD45 modality in the usual way. (3) corresponds to EP1, EP2, and EP3. Axioms AP through SB are reduction axioms. This leaves (4), corresponding to SP, and (5) which corresponds to PR. Here we will prove (5). Let M be a Kripke structure satisfying the five conditions above. Let A be an Action structure with   and i as its actual action token and agent.\n\nWe prove (5) via the contrapositive of PR:  . Assume  . By the semantics of  , there exists a v, such that   and  . From the semantics, it follows that forall  , if   then  . By slightly abusing the notation, and letting   be equivalent to  , we can create the composed relation  . It then holds, by condition (5), that   implies  . So, for all  , if  , then  . So,  .\n\n## 3 Case Study and Mechanization\n\nWe apply the logic just developed to the formal analysis of the Air France 447 aviation incident. We also mechanize the formalization in the Coq Proof Assistant. Our mechanization follows similar work by Malikovi\u0107 and \u010cubrilo [12, 13], in which they mechanize an analysis of the game of Cluedo using Dynamic Epistemic Logic, based on van Ditmarsch's formalization of the game [6]. It is commonly assumed that games must be adversarial, but this is not the case. Games need only involve situations in which players' payoffs depend on the actions of other players. Similarly, knowledge games need not be adversarial, and must only involve diverging information. Thus, it is appropriate to model aviation incidents as knowledge games of sorts, where players' payoffs depend on what others do, specifically the way the players communicate information with each other. The goal is to achieve an accurate situational awareness and provide flight control inputs appropriate for the situation. Failures to achieve this goal result in disaster, and often result from imperfect information flow. A formal model of information flow in these situations provides insight and allows for the application of formal methods to improve information flow during emergency situations.\n\n### 3.1 Air France 447\n\nThis case study is based on the authoritative investigative report into Air France 447 performed and released by France's Bureau d'Enqu\u00eates et d'Analyses pour la S\u00e9curit\u00e9 de l'Aviation Civile (BEA), responsible for investigating civil aviation incidents and issuing factual findings [4]. The case is mechanized by instantiating, in Coq, the above logic to reflect the facts of the case. One challenge associated with this is that the readings about inputs present in aviation are often real values on a continuum, whereas for our purposes we require discrete values. We accomplish this by dividing the continuum associated with inputs and readings into discrete chunks, similar to how fuzzy logic maps defines predicates with real values [10].\n\nThis paper will formalize an excerpted instance from the beginning of the case, involving an initial inconsistency among airspeed indicators, and the subsequent dangerous input provided by the pilot. Formalized in the logic, the facts of the case allow us to infer that the pilot lacked negative introspection about the safety-critical data required for his action. This demonstrates that the logic allows information about the pilot's situational awareness to flow to the computer, via the pilot's actions. It likewise establishes a safety property to be enforced by the computer, namely that a pilot should maintain negative introspection about safety-critical data, and if he fails to do so, it should be re-established as quickly as possible.\n\nAccording to the official report, at 2 h and 10 min into the flight, a Pitot probe likely became clogged by ice, resulting in an inconsistency between airspeed indicators, and the autopilot disconnecting. This resulted in a change of mode from Normal Law to Alternate Law 2, in which certain stall and control protections ceased to exist. The pilot then made inappropriate control inputs, namely aggressive nose up commands, the only explanation for which is that he mistakenly believed that the aircraft was in Normal Law mode with protections in place to prevent a stall. This situation, and the inference regarding the pilot's mistaken belief, is modeled in the following application and mechanization of the logic.\n\n### 3.2 Mechanization in Coq\n\nThe following mechanization demonstrates progress from the artificially simply toy examples normally analyzed in the literature to richer real-world examples. However, it does not represent the full richness of the approach. The actions and instrument readings mechanized in this paper are constrained to those most relevant to the case study. The approach is capable of capturing the full richness of all instrument reading configurations and actions available to a pilot. To do so, one needs to consult a flight safety manual and formally represent each action available to a pilot, and each potential instrument reading, according to the following scheme.\n\nBefore beginning, we note that our use of sets in the following Coq code requires the following argument passed to coqtop before executing: -impredicative-set. In CoqIDE, this can be done by selecting the 'Tools' dropdown, then 'Coqtop arguments'. Type in -impredicative-set.\n\nWe first formalize the set of agents.\n\nNext we formalize the set of available inputs. These themselves are not actions, but represent atomic propositions true or false of a configuration.\n\nWe represent readings by indicating which side of the panel they are on. Typically, an instrument has a left-side version, a right-side version, and sometimes a middle version serving as backup. When one of these instruments conflicts with its siblings, the autopilot will disconnect and give control to the pilot.\n\nWe divide the main instruments into chunks of values they can take, in order to provide them with a discrete representation in the logic. For example, the reading VertUp1 may represent a nose up reading between 0  and 10 , while VertUp2 represents a reading between 11  and 20 .\n\nWe define a set of potential modes the aircraft can be in.\n\nWe define a set of global instrument readings representing the mode and all of the instrument readings, left, right, and middle, combined together. This represents the configuration of the instrumentation.\n\nThe set of atomic propositions we are concerned with are those representing facts about the instrumentation.\n\nNext we follow Malikovi\u0107 and \u010cubrilo [12, 13] in defining a set prop of propositions in predicate calculus, distinct from Coq's built in type Prop. The definition provides constructors for atomic propositions consisting of particular instrument reading predicate statements, implications, propositions beginning with a knowledge modality, and those beginning with a belief modality. Interestingly, modal logic cannot be directly represented in Coq's framework [11]. We first define propositions in first-order logic, which we then use to define DASL. This appears to be the standard technique for mechanizing modal logics in Coq.\n\nWe use the following notation for implication and universal quantification.\n\nWe likewise follow Malikovi\u0107 and \u010cubrilo [12, 13] by defining an inductive type theorem representing a theorem of DASL. The constructors correspond to the Hilbert system, either as characteristic axioms, or inference rules. The first three represent axioms for propositional logic, then the rule Modus Ponens, then the axioms for the epistemic operator plus its Necessitation rule, then the doxastic operator and its Necessitation rule. Do not confuse the Necessitation rules with material implication in the object language. The final constructors capture the axioms relating belief and knowledge. The axioms for dynamic modal operators are defined separately, and are not included here.\n\nWe use the following notation for theorem:\n\nWe encode actions as records in Coq, recording the acting pilot, the observability of the action (whether it is observed by other agents or not), the input provided by the pilot, and the preconditions for the action and the safety preconditions for the action, both represented as global atoms.\n\nThe variable c holds the configuration representing the precondition for the action, while the variable c_s holds the configuration for the safety precondition.\n\nWe encode the precondition and safety precondition functions as follows.\n\nIn the object language, the dynamic modalities of action and safe action are encoded as follows.\n\nMany standard properties of logic, like the simplification of conjunctions, hypothetical syllogism, and contraposition, are encoded as Coq axioms. As an example, here is how we encode simplifying a conjunction into just its left conjunct.\n\nWe formalize the configuration of the instruments at 2 h 10 min into the flight as follows.\n\nThe mode is Alternate Law 2, and the left and central backup instruments falsely indicate that the airspeed is very slow, while the right side was not recorded, but because there was a conflict, we assume it remained correctly indicating a cruising airspeed.\n\nThe pilot's dangerous input, a hard nose up command, is encoded as follows.\n\nThe action is represented in the object language by taking the dual of the dynamic modality,  , equivalently  , indicating that the precondition is satisfied and the action token is executed.\n\nThe actual configuration satisfies the precondition for the action, but it is inconsistent with the safety precondition. The safety precondition for the action indicates that the mode should be Normal and the readings should consistently indicate cruising airspeed. However, in Config_1, the conditions do not hold. Thus, the action is unsafe. From the configuration and the action, DASL allows us to deduce that the pilot lacks negative introspection of the action's safety preconditions.\n\nNegative introspection is an agent's awareness of the current unknowns. To lack it is to be unaware of one's unknown variables, so lacking negative introspection about one's safety preconditions is to be unaware that they are unknown.\n\nIn fact, in general it holds that if the safety preconditions for an action are false, and the pilot executes that action, then the pilot lacks negative introspection of those conditions. We have proven both the above theorem, and the more general theorem, in Coq.\n\nThis indicates that negative introspection about safety preconditions is a desirable safety property to maintain, consistent with the official report's criticism that the Airbus cockpit system did not clearly display the safety critical information. The logic described in this research accurately models the report's findings that the pilot's lack of awareness about safety-critical information played a key role in his decision to provide unsafe inputs. Furthermore, the logic supports efforts to automatically infer which safety-critical information the pilot is unaware of and effectively display it to him.\n\n## 4 Future Work\n\nThe case study presented in this paper is overly simplified due to space constraints. Future work will undertake the task of extending the approach to other actions in the Air France 447 incident, and the safety-critical information expressed by them. For example, when both pilots provided conflicting inputs to the aircraft, the computer could have inferred that neither was aware of the other's actions. This will illustrate the use of the approach in a multi-agent context. Similarly, as recommended by an anonymous reviewer, we shall apply the approach to other aviation mishaps involving complicated safety-critical information flow, specifically Asiana Airlines Flight 214 [14].\n\nAn important extension of the foundational work provided by this paper is the construction of a system that takes advantage of the logic as a runtime safety monitor. It will monitor the pilot's control inputs and current flight configurations, and in the event that an action's safety preconditions do not hold, infer which instrument readings the pilot is unaware of and act to correct this. In order to avoid further information overload, the corrective action taken by the computer should be to temporarily remove or dim the non-safety-critical information from competition for the pilot's attention, until the pilot's unsafe control inputs are corrected, indicating awareness of the safety-critical information. Construction of a prototype of this system is underway.\n\n## 5 Conclusion\n\nThis paper has described Dynamic Agent Safety Logic (DASL), a logic for reasoning about safety-critical information flow. It formalized actions and knowledge in the way common to Dynamic Epistemic Logic, but also formalized the notion of safe actions and beliefs. Additionally, it formalized a more realistic model of human reasoning, capturing a weaker notion of knowledge than most epistemic logics, and modeled the logical relationship between knowledge and belief. It formalized a realistic notion of rationality. The logic was mechanized in the Coq proof assistant and applied to the case of Air France 447 to validate its usefulness as a formal method for aviation safety.\n\nAcknowledgements\n\nSeth Ahrenbach was partially supported by NSF CNS 1553548. The author is grateful for the criticism and suggestions provided by anonymous reviewers, and for the very generous assistance from Alwyn Goodloe, Rohit Chadha, and Chris Hathhorn.\n\nReferences\n\n1.\n\nAhrenbach, S., Goodloe, A.: Formal analysis of pilot error using agent safety logic. In: Innovations in Systems and Software Engineering (submitted)\n\n2.\n\nBarras, B., Boutin, S., Cornes, C., Courant, J., Filliatre, J.C., Gimenez, E., Herbelin, H., Huet, G., Munoz, C., Murthy, C., Parent, C.: The Coq proof assistant reference manual: version 6.1 (Doctoral dissertation, Inria) (1997)\n\n3.\n\nBlackburn, P., de Rijke, M., Venema, Y.: Modal Logic. Cambridge University Press, New York (2001)CrossRefMATH\n\n4.\n\nBureau d'Enqu\u00eates et d'Analyses: Final report on the accident on 1st June 2009 to the Airbus A330-203 registered F-GZCP operated by Air France flight AF 447 Rio de Janeiro-Paris. BEA, Paris (2012)\n\n5.\n\nvan Benthem, J.: Logical Dynamics of Information and Interaction. Cambridge University Press, New York (2011)CrossRefMATH\n\n6.\n\nVan Ditmarsch, H.: Knowledge games. Bull. Econ. Res. 53(4), 249\u2013273 (2001)MathSciNetCrossRef\n\n7.\n\nFagin, R., Halpern, J., Moses, Y., Vardi, M.: Reasoning About Knowledge. The MIT Press, Cambridge (2003)MATH\n\n8.\n\nHarel, D., Kozen, D., Tiuryn, J.: Dynamic Logic. MIT Press, Cambridge (2000)MATH\n\n9.\n\nHintikka, J.: Knowledge and Belief. Cornell University Press, Ithaca (1962)MATH\n\n10.\n\nKlir, G., Yuan, B.: Fuzzy Sets and Fuzzy Logic, vol. 4. Prentice Hall, New Jersey (1995)MATH\n\n11.\n\nLescanne, P.: Mechanizing common knowledge logic using COQ. Ann. Math. Artif. Intell. 48(1\u20132), 15\u201343 (2006). APAMathSciNetMATH\n\n12.\n\nMalikovi\u0107, M., \u010cubrilo, M.: Modeling epistemic actions in dynamic epistemic logic using Coq. In: CECIIS 2010 (2010)\n\n13.\n\nMalikovi\u0107, M., \u010cubrilo, M.: Reasoning about epistemic actions and knowledge in multi-agent systems using Coq. Comput. Technol. Appl. 2(8), 616\u2013627 (2011)\n\n14.\n\nNational Transportation Safety Board: Descent below visual glidepath and impact with Seawall Asiana Flight 214, Boeing 777-200ER, HL 7742, San Francisco, California, 6 July 2013 (Aircraft Accident Report NTSB\/AAR-14\/01). NTSB, Washington, DC (2014)\n\nFootnotes\n\n1\n\nCode: https:\/\/\u200bgithub.\u200bcom\/\u200bsethkurtenbach\/\u200bDASL\/\u200bblob\/\u200bmaster\/\u200bDASL.\u200bv.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_26\n\n# Compositional Falsification of Cyber-Physical Systems with Machine Learning Components\n\nTommaso Dreossi1  , Alexandre Donz\u00e92  and Sanjit A. Seshia1\n\n(1)\n\nUniversity of California, Berkeley, USA\n\n(2)\n\nDecyphir, Inc., San Francisco, USA\n\nTommaso Dreossi (Corresponding author)\n\nEmail: dreossi@berkeley.edu\n\nAlexandre Donz\u00e9\n\nEmail: alex.r.donze@gmail.com\n\nSanjit A. Seshia\n\nEmail: sseshia@berkeley.edu\n\nAbstract\n\nCyber-physical systems (CPS), such as automotive systems, are starting to include sophisticated machine learning (ML) components. Their correctness, therefore, depends on properties of the inner ML modules. While learning algorithms aim to generalize from examples, they are only as good as the examples provided, and recent efforts have shown that they can produce inconsistent output under small adversarial perturbations. This raises the question: can the output from learning components can lead to a failure of the entire CPS? In this work, we address this question by formulating it as a problem of falsifying signal temporal logic (STL) specifications for CPS with ML components. We propose a compositional falsification framework where a temporal logic falsifier and a machine learning analyzer cooperate with the aim of finding falsifying executions of the considered model. The efficacy of the proposed technique is shown on an automatic emergency braking system model with a perception component based on deep neural networks.\n\nKeywords\n\nCyber-physical systemsMachine learningFalsificationTemporal logic\n\nThis work is funded in part by the DARPA BRASS program under agreement number FA8750-16-C-0043, NSF grants CNS-1646208 and CCF-1139138, and by TerraSwarm, one of six centers of STARnet, a Semiconductor Research Corporation program sponsored by MARCO and DARPA. The second author did much of the work while affiliated with UC Berkeley.\n\n## 1 Introduction\n\nOver the last decade, machine learning (ML) algorithms have achieved impressive results providing solutions to practical large-scale problems (see, e.g., [2, 8, 10, 14]). Not surprisingly, ML is being used in cyber-physical systems (CPS) \u2014 systems that are integrations of computation with physical processes. For example, semi-autonomous vehicles employ Adaptive Cruise Controllers (ACC) or Lane Keeping Assist Systems (LKAS) that rely heavily on image classifiers providing input to the software controlling electric and mechanical subsystems (see, e.g., [3]). The safety-critical nature of such systems involving ML raises the need for formal methods [18]. In particular, how do we systematically find bugs in such systems?\n\nWe formulate this question as the falsification problem for CPS models with ML components (CPSML): given a formal specification   in signal temporal logic (STL) [12], and a CPSML model M, find an input for which M does not satisfy  . A falsifying input generates a counterexample trace that reveals a bug. To solve this problem, multiple challenges must be tackled. First, the input space to be searched can be intractable. For instance, a simple model of a semi-autonomous car already involves several control signals (e.g., the angle of the acceleration pedal, steering angle) and other sensor input (e.g., images captured by a camera). Second, CPSML are often designed using languages (such as C, C++, or Simulink), for which clear semantics are not given, and involve third-party components that are opaque or poorly-specified. This obstructs the development of formal methods for the analysis of CPSML models and may force one to treat them as gray\/black-boxes. Third, the formal verification of ML components is a difficult, and somewhat ill-posed problem due to the complexity of the underlying ML algorithms, large feature spaces, and the lack of consensus on a formal definition of correctness [18]. Hence, we need a technique to systematically analyze ML components within the context of a CPS.\n\nIn this paper, we propose a framework for the falsification of CPSML addressing the issues described above. Our technique is compositional in that it divides the search space for falsification into that of the ML component and of the remainder of the system, while establishing a connection between the two. The obtained subspaces are respectively analyzed by a temporal logic falsifier and an ML analyzer that cooperate. This cooperation mainly comprises a series of input space projections, leads to small subsets in which counterexamples are easier to find. Further, our technique can handle any machine learning technique, including the methods based on deep neural networks [8] that have proved effective in many recent applications. The proposed ML analyzer identifies sets of misclassifying features, i.e., inputs that \"fool\" the ML algorithm. The analysis is performed by considering subsets of parameterized features spaces that are used to approximate the ML components by simpler functions. The information gathered by the temporal logic falsifier and the ML analyzer together reduce the search space, providing an efficient approach to falsification for CPSML models.\n\nFig. 1.\n\nAutomatic Emergency Braking System. An image classifier is used to perceive vehicles in the frame of view.\n\nExample 1\n\nAs an illustrative example, let us consider a simple model of an Automatic Emergency Braking System (AEBS) as a closed-loop control system composed of a controller (automatic brake), a plant (car transmission), and a sensor (obstacle detector) (see Fig. 1). The controller regulates the acceleration and braking of the plant using the velocity of the subject (ego) vehicle and the distance between it and an obstacle. The sensor used to detect the obstacle includes a camera along with an image classifier. In general, this sensor can provide noisy measurements due to incorrect image classifications which in turn can affect the correctness of the overall system.\n\nSuppose we want to verify whether the distance between the subject vehicle and a preceding obstacle is always larger than 5 m. Such a verification requires the exploration of an intractable input space comprising the control inputs (e.g., acceleration and braking pedal angles) and the ML component's feature space (e.g., all the possible pictures observable by the camera). Note that feature space of RGB   px pictures for an image classifier contains   elements.\n\nAt first, the input space of the model described in Example 1 appears intractable. However, we can observe some interesting aspects of the relationship between the \"pure CPS\" input space and its ML feature space:\n\n  1. 1.\n\nUnder the assumption of \"perfect ML components\" (i.e., all feature vectors are correctly classified), we can study the CPSML model on a lower-dimensional input space (the \"pure CPS\" one) and identify regions of values that satisfy the specification but might be affected by the malfunctioning of some ML modules;\n\n  2. 2.\n\nInstead of verifying the ML components on their whole feature spaces, we can focus only on those features related to the non-robust input values identified in the previous step, and\n\n  3. 3.\n\nIf we are able to determine misclassifications on the restricted feature space, then we can relate them back to CPSML input space, thus focusing the falsification on a smaller input space.\n\nThese three observations constitute the core idea of the compositional falsification method proposed in this paper. Specifically, we use a temporal logic falsifier, Breach [4], in Steps (1) and (3) to partition a given input set into values that do and do not satisfy a given specification, and an ML analyzer in Step (2) to determine subsets of feature vectors that are misclassified by the ML components.\n\nThe proposed method, however, presents certain challenges that need to be addressed. First, we need to construct a validity domain of a specification against a CPSML model with (assumed) correct ML components. Second, we need a method to relate the non-robust input areas to the feature space of the ML modules. Third, we need to systematically analyze the ML components with the goal of finding feature vectors leading to misclassifications. We describe in detail in Sects. 3 and 4 how we tackle these challenges.\n\nIn summary, the main contributions of this paper are:\n\n  * A compositional framework for the falsification of temporal logic properties of CPSML models that works for any machine learning classifier.\n\n  * A machine learning analyzer that identifies misclassifications leading to system-level property violations, based on two main ideas:\n\n    * An input space parameterization used to abstract the feature space and relate it to the CPSML input space, and\n\n    * A classifier approximation method used to identify misclassifications that can lead to unsafe executions of the CPSML.\n\nIn Sect. 5, we demonstrate the effectiveness of our approach on an Automatic Emergency Braking System (AEBS) involving an image classifier for obstacle detection based on deep neural networks using leading software packages Caffe [10] and TensorFlow [13].\n\nRelated Work\n\nThe verification of both CPS and ML algorithms have attracted several research efforts, and we focus here on the most closely related work. Techniques for the falsification of temporal logic specifications against CPS models have been implemented based on nonlinear optimization methods and stochastic search strategies (e.g., Breach [4], S-TaLiRo [1], RRT-REX [5], C2E2 [6]). While the verification of ML programs is less well-defined [18], recent efforts [19] show how even well trained neural networks can be sensitive to small adversarial perturbations, i.e., small intentional modifications that lead the network to misclassify the altered input with large confidence. Other efforts have tried to characterize the correctness of neural networks in terms of risk [21] (i.e., probability of misclassifying a given input) or robustness [7] (i.e., the minimal perturbation leading to a misclassification), while others proposed methods to generate pictures [16] or perturbations [9, 15] in such a way to \"fool\" neural networks. To the best of our knowledge, our work is the first to address the verification of temporal logic properties of CPSML\u2014the combination of CPS and ML systems.\n\n## 2 Background\n\n### 2.1 CPSML Models\n\nIn this work, we consider models of cyber-physical systems with machine learning components (CPSML). We assume that a system model is given as a gray-box simulator defined as a tuple  , where   is a set of system states,   is a set of input values, and   is a simulator that maps a state   and input value   at time   to a new state  , where   for a time-step  .\n\nGiven an initial time  , an initial state  , a sequence of time-steps  , and a sequence of input values  , a simulation trace of the model   is a sequence:\n\nwhere   and   for  .\n\nThe gray-box aspect of the CPSML model is that we assume some knowledge of the internal ML components. Specifically, these components, termed classifiers, are functions   that assign to their input feature vector   a label  , where   and   are a feature and label space, respectively. Without loss of generality, we focus on binary classifiers whose label space is  . A ML algorithm selects a classifier using a training set   where the   are labeled examples with   and  , for  . The quality of a classifier can be estimated on a test set of examples comparing the classifier predictions against the labels of the examples. Precisely, for a given test set  , the number of false positives   and false negatives   of a classifier f on T are defined as:\n\n(1)\n\nThe error rate of f on T is given by:\n\n(2)\n\nA low error rate implies good predictions of the classifier f on the test set T.\n\n### 2.2 Signal Temporal Logic\n\nWe consider Signal Temporal Logic [12] (STL) as the language to specify properties to be verified against a CPSML model. STL is an extension of linear temporal logic (LTL) suitable for the specification of properties of CPS.\n\nA signal is a function  , with   an interval and either   or  , where   and   is the set of reals. Signals defined on   are called booleans, while those on   are said real-valued. A trace   is a finite set of real-valued signals defined over the same interval D.\n\nLet   be a finite set of predicates  , with  ,  , and   a function in the variables  .\n\nAn STL formula is defined by the following grammar:\n\n(3)\n\nwhere   is a predicate and   is a closed non-singular interval. Other common temporal operators can be defined as syntactic abbreviations in the usual way, like for instance  ,  , or  . Given a  , a shifted interval I is defined as  .\n\nDefinition 1\n\n(Qualitative semantics). Let w be a trace,  , and   be an STL formula. The qualitative semantics of   is inductively defined as follows:\n\n(4)\n\nA trace w satisfies a formula   if and only if  , in short  . For given signal w, time instant  , and STL formula  , the satisfaction signal   is   if  ,   otherwise.\n\nDefinition 2\n\n(Quantitative semantics). Let w be a trace,  , and   be an STL formula. The quantitative semantics of   is defined as follows:\n\n(5)\n\nThe robustness of a formula   with respect to a trace w is the signal  .\n\n## 3 Compositional Falsification Framework\n\nIn this section, we formalize the falsification problem for STL specifications against CPSML models, define our compositional falsification framework, and show its functionality on the AEBS system of Example 1.\n\nDefinition 3\n\n(Falsification of CPSML). Given a model   and an STL specification  , find an initial state   and a sequence of input values   such that the trace of states   generated by the simulation of M from   under   does not satisfy  , i.e.,  . We refer to such   as counterexamples for  . The problem of finding a counterexample is often called falsification problem.\n\nWe now present the compositional framework for the falsification of STL formulas against CPSML models. Intuitively, the proposed method decomposes a given model into two abstractions: a version of the CPSML model under the assumption of perfectly correct ML modules and its actual ML components. The two abstractions are separately analyzed, the first by a temporal logic falsifier that builds the validity domain with respect to the given specification, the second by an ML analyzer that identifies sets of feature vectors that are misclassified by the ML components. Finally, the results of the two analysis are composed and projected back to a targeted input subspace of the original CPSML model where counterexamples can be found by invoking a temporal logic falsifier. Let us formalize this procedure.\n\nLet   be a CPSML model and   be an STL specification. Let   be a version of M with perfectly behaving ML components, that is, every feature vector of the ML feature spaces is correctly classified. Let us denote by ml the isolated ML components of the model M.\n\nUnder the assumption of correct ML components, the lower-dimensional input space of   can be analyzed by constructing the validity domain of  , that is the partition of the input space into the sets   and   that do and do not satisfy  , respectively. Note that considering the original model M, a possible misclassification of the ML components ml might affect the elements of   and  . In particular, we are interested in the elements of   that, due to misclassifications of ml, do not satisfy   anymore. This corresponds to analyze the behavior of the ML components ml on the input set  . We refer to this step as the ML analysis, that can be seen as the procedure of finding a subset   of input values that are misclassified by the ML components ml. It is important to note that the input space of the CPS model   and the feature spaces of the ML modules ml are different, thus the ML analyzer must adapt and relate the two different spaces. This important step will be clarified in Sect. 4.\n\nFinally, the intersection   of the subsets identified by the decomposed analysis of the CPS model and its ML components targets a small set of input values that are misclassified by the ML modules and are likely to falsify  . Thus, counterexamples in   can be determined by invoking a temporal logic falsifier on   against M.\n\nThe compositional falsification procedure is formalized in Algorithm 1. CompFalsfy receives as input a CPSML model M and an STL specification  , and returns a set of falsifying counterexamples. At first, the algorithm decomposes M into   and ml, where   is an abstract version of M with perfectly working ML modules, and ml are the ML components of M (Line 2). Then, the validity domain of   with respect to the abstraction   is computed by ValidityDomain (Line 3) and subsets of input that are misclassified by ml are identified by MLAnalysis (Line 4). Finally, the targeted input set  , consisting in the intersection of the sets identified by the decomposed analysis, is searched by a temporal logic falsifier on the original model M (Line 5) and a collection of counterexamples is returned.\n\nFig. 2.\n\nCompositional falsification scheme on AEBS model.\n\nExample 2\n\nLet us consider the model described in Example 1 and let us assume that the input space U of the model M consists of the initial velocity of the subject vehicle vel(0), the initial distance between the vehicle and the proceeding obstacle dist(0), and the set of pictures that can be captured by the camera. Let   be a specification that requires the vehicle to be always farther than   from the preceding obstacle. Instead of analyzing the whole input space U (including a vast number of pictures), we can adopt our compositional framework to target a specific subset of U. Let   be the AEBS model with a perfectly working image classifier and ml be the actual classifier. We begin by computing the validity subsets   and   of   against  , considering only vel(0) and dist(0) and assuming exact distance measurements during the simulation. Next, we analyze only the image classifier ml on pictures of obstacles whose distances fall in  , say in   (see Fig. 2). Our ML analyzer generates only pictures of obstacles whose distances are in  , finds possible sets of images that are misclassified, and returns the corresponding distances that, when projected back to U, yield the subset  . Finally, a temporal logic falsifier can be invoked over   and a set of counterexamples is returned.\n\nThis example illustrates how the compositional approach relies on tools, such as Breach [4], that compute validity domains and falsify STL specifications, as well as a ML analyzer. In the next section, we introduce our ML analyzer that identifies misclassifications of the ML component relevant to the overall CPSML input space.\n\n## 4 Machine Learning Analyzer\n\nIn this section, we define an ML analyzer that adapts the input of a model to its classifiers feature spaces and identifies subsets of feature vectors for which wrong labels are predicted. The analysis involves the construction of an approximation function used to study the original classifiers. In particular, given a classifier  , the ML analyzer determines a simpler function   that approximates   on the abstract domain  . The abstract domain of the function   is analyzed and clusters of misclassifying abstract elements are identified. The concretizations of such elements are subsets of features that are misclassified by the original classifier  .\n\n### 4.1 Feature Space Abstraction\n\nLet   be a subset of the feature space of  . Let   be a total order on a set   called the abstract set. An abstraction function is an injective function   that maps every feature vector   to an abstract element  . Conversely, the concretization function   maps every abstraction   to a feature  .\n\nThe abstraction and concretization functions play a fundamental role in our falsification framework. First, they allow us to map the input space of the CPS model to the feature space of its classifiers. Second, the abstract space can be used to analyze the classifiers on a compact domain as opposite to intractable feature spaces. These concepts are clarified in the following example, where a feature space of pictures is abstracted into a three-dimensional unit hyper-box.\n\nExample 3\n\nLet   be the set of RGB pictures of size  , i.e.,  . Suppose we are interested in analyzing an image classifier in the automotive context, i.e., on pictures of road scenarios rather than on the whole  . Suppose that we focus on the constrained feature space   composed by the set of pictures of cars overlapped in different positions over a desert road background. We also consider the brightness level of the picture. The x and z positions of the car and the brightness level of the picture can be seen as the dimensions of an abstract set  . In this setting, we can define the abstraction and concretization functions   and   that relate the abstract set   and  . For instance, the picture   sees the car on the left, close to the observer, and low brightness; the picture   places the car shifted to the right; on the other extreme,   has the car on the right, far away from the observer, and with a high brightness level. Figure 3 depicts some car pictures of   disposed accordingly to their position in the abstract domain   (the surrounding box).\n\nFig. 3.\n\nExample of feature space abstraction   (the surrounding box) and some concretized element of the feature space   (road pictures).\n\n### 4.2 Approximation of Learning Components\n\nWe now describe how the feature space abstraction can be used to construct an approximation that helps the identification of misclassified feature vectors.\n\nGiven a classifier   and a constrained feature space  , we want to determine an approximated classifier  , such that  , for some   and test set  , with  , for  .\n\nIntuitively, the proposed approximation scheme samples elements from the abstract set, computes the labels of the concretized elements using the analyzed learning algorithm, and finally, interpolates the abstract elements and the corresponding labels in order to obtain an approximation function. The obtained approximation can be used to reason on the considered feature space and identify clusters of potentially misclassified feature vectors.\n\nThe Approximation algorithm (Algorithm 2) formalizes the proposed approximation construction technique. It receives in input an abstract domain   for the concretization function  , with  , the error threshold  , and returns a function   that approximates   on the constrained feature space  . The algorithm consists in a loop that iteratively improves the approximation  . At every iteration, the algorithm populates the interpolation test set   by sampling abstract features from   and computing the concretized labels accordingly to   (Line 4), i.e.,  , where   is a finite subset of samples determined with some sampling method. Next, the algorithm interpolates the points of   (Line 5). The result is a function   that simplifies the original classifier   on the concretized constrained feature space  . The approximation is evaluated on the test set  . Note that at each iteration,   changes while   incrementally grows. The algorithm iterates until the error rate   is smaller than the desired threshold   (Line 7).\n\nThe technique with which the samples in   and   are selected strongly influences the accuracy of the approximation. In order to have a good coverage of the abstract set  , we propose the usage of low-discrepancy sampling methods that, differently from uniform random sampling, cover sets quickly and evenly. In this work, we use the Halton and lattice sequences, that are two common and easy to implement sampling methods. For details see, e.g., [17].\n\nExample 4\n\nWe now analyze two image classifiers: the Caffe [10] version of AlexNet [11] and the Inception-v3 model of Tensorflow [13], both trained on the ImageNet database.1 We sample 1000 points from the abstract domain defined in Example 3 using the lattice sampling techniques. These points encode the x and z displacements of a car in a picture and its brightness level (see Fig. 3). Figure 4(a) depicts the sampled points with their concretized labels. The green circles indicate correct classifications, i.e., the classifier identified a car, the red circles denote misclassifications, i.e., no car detected. The linear interpolation of the obtained points leads to an approximation function. The error rates   of the obtained approximations (i.e., the discrepancies between the predictions of the original image classifiers and their approximations) computed on 300 randomly picked test cases are 0.0867 and 0.1733 for Caffe and Tensorflow, respectively. Figure 4(b) shows the projections of the approximation functions for the brightness value 0.2. The more red a region, the larger the sets of pictures for which the neural networks do not detect a car. For illustrative purposes, we superimpose the projections of Fig. 4(b) over the background used for the picture generation. These illustrations show the regions of the concrete feature vectors in which a vehicle is misclassified.\n\nFig. 4.\n\nML analysis of Caffe (top) and Tensorflow (bottom) on a road scenario. (Color figure online)\n\nThe analysis of Example 4 on Caffe and Tensorflow provides useful insights. First, we observe that Tensorflow outperforms Caffe on the considered road pictures since it correctly classifies more pictures that Caffe. Second, we notice that Caffe tends to correctly classify pictures in which the x abstract component is either close to 0 or 1, i.e., pictures in which the car is not in the middle of the street, but on one of the two lanes. This suggests that the model might not have been trained enough with pictures of cars in the center of the road. Third, using the lattice method on Tensorflow, we were able to identify a corner case misclassification in a cluster of correct predictions (note the isolated red circle with coordinates (0.1933, 0.0244, 0.4589)). All this information provides insights on the classifiers that can be useful in the hunt for counterexamples.\n\n## 5 Experimental Results\n\n### 5.1 Implementation Details\n\nThe presented falsification framework has been implemented in a Matlab toolbox publicly available at https:\/\/\u200bgithub.\u200bcom\/\u200btommasodreossi\/\u200bFalsifCPSML. The tool deals with Simulink models of CPSML and STL specifications. It consists of a temporal logic falsifier and an ML analyzer that interact to falsify the given STL specification against the decomposed Simulink model. As an STL falsifier, we chose the existing tool Breach [4], while the ML analyzer has been implemented from scratch. The ML analyzer implementation includes the feature space abstractor and the ML approximation algorithm (see Sect. 4). The feature space abstractor implements a picture generator that concretizes the abstracted feature vectors. The approximation algorithm, that computes an approximation of the analyzed ML component, gives to the user the possibility of selecting the sampling sequence method, interpolation technique, and setting the desired error rate. Our tool is interfaced with the deep learning frameworks Caffe [10] and Tensorflow [13]. Our tool has been tested on a desktop computer Dell XPS 8900, Intel (R) Core(TM) i7-6700 CPU 3.40 GHz, DIMM RAM 16 GB 2132 MHz, GPU NVIDIA GeForce GTX TITAN X, with Ubuntu 14.04.5 LTS and Matlab R2016b.\n\n### 5.2 Case Studies\n\nFor the experimental evaluations, we consider a closed-loop Simulink model of a semi-autonomous vehicle with an Advanced Emergency Braking System (AEBS) [20] connected to an image classifier. The model mainly consists of a four-speed automatic transmission controller linked to an AEBS that automatically prevents collisions with preceding obstacles and alleviate the harshness of a crash when a collision is likely to happen (see Fig. 5). The AEBS determines a braking mode depending on the speed of the vehicle  , the possible presence of a preceding obstacle, its velocity  , and the longitudinal distance dist between the two. The distance dist is provided by radars having 30 m of range. For obstacles farther than 30 m, the camera, connected to an image classifier, alerts the AEBS that, in the case of detected obstacle, goes into warning mode.\n\nFig. 5.\n\nSimulink model of a semi-autonomous vehicle with AEBS.\n\nDepending on  , and the presence of obstacles detected by the image classifier, the AEBS computes the time to collision and longitudinal safety indices, whose values determine a controlled mode among safe, warning, braking, and collision mitigation. In safe mode, the car does not need to brake. In warning mode, the driver should brake to avoid a collision. If this does not happen, the system goes into braking mode, where the automatic brake slows down the vehicle. Finally, in collision mitigation mode, the system, determining that a crash is unavoidable, triggers a full braking action aimed to minimize the damage.\n\nTo establish the correctness of the system and in particular of its AEBS controller, we formalize the STL specification  , that requires dist(t) to always be positive, i.e., no collision happens. The input space is   (mph),   (m), and the set of all RGB pictures of size  . The preceding vehicle is not moving, i.e.,   (mph).\n\nFig. 6.\n\nValidity domain for  . Proved (red crosses) and disproved (green circles) candidate counterexamples. Dotted (horizontal) line: image classifier activation threshold. Dashed (vertical) line: validity boundary of   for worst-case misclassifications. (Color figure online)\n\nAt first, we compute the validity domain of   assuming that the radars are able to provide exact measurements for any distance dist(t) and the image classifier correctly detects the presence of a preceding vehicle. The computed validity domain is depicted in Fig. 6: green for   and red for  . Next, we identify candidate counterexamples that belong to the satisfactory set (i.e., the inputs that satisfy the specification) but might be influenced by a misclassification of the image classifier. Since the AEBS relies on the classifier only for distances larger than 30 m, we can focus on the subset of the input space with  . Specifically, we identify potential counterexamples by analyzing a pessimistic version of the model where the ML component always misclassifies the input pictures (see Fig. 6, area with dashed boundary). From this sub-input space, we can identify candidate counterexamples, such as, for instance, (25, 40) (i.e.,   and  ).\n\nNext, let us consider the Caffe image classifier and the ML analyzer presented in Sect. 4 that generates pictures from the abstract feature space  , where the dimensions of   determine the x and z displacements of a car and the brightness of a generated picture, respectively. The goal now is to determine an abstract feature   related to the candidate counterexample (25, 40), that generates a picture that is misclassified by the ML component and might lead to a violation of the specification  . The dist(0) component of   determines a precise z displacement   in the abstract picture. Now, we need to determine the values of the abstract x displacement and brightness. Looking at the interpolation projection of Fig. 4(b), we notice that the approximation function misclassifies pictures with abstract component   and  . Thus, it is reasonable to try to falsify the original model on the input element  , and concretized picture  . For this targeted input, the temporal logic falsifier computed a robustness value for   of  , meaning that a falsifying counterexample has been found. Other counterexamples found with the same technique are, e.g., (27, 45) or (31, 56) that, associated with the correspondent concretized pictures with   and  , lead to the robustness values   and  , respectively (see Fig. 6, red crosses). Conversely, we also disproved some candidate counterexamples, such as (28, 50), (24, 35), or (25, 45), whose robustness values are 9.93, 7.40, and 7.67 (see Fig. 6, green circles).\n\nFor experimental purposes, we try to falsify a counterexample in which we change the x position of the abstract feature so that the approximation function correctly classifies the picture. For instance, by altering the counterexample (27, 45) with   to (27, 45) with  , we obtain a robusteness value of 9.09, that means that the AEBS is able to avoid the car for the same combination of velocity and distance of the counterexample, but different x position of the preceding vehicle. Another example, is the robustness value   of the falsifying input (31, 56) with  , that altered to  , changes to 12.41.\n\nFinally, we test Tensorflow on the corner case misclassification identified in Sect. 4.2 (i.e., the picture  ). The distance   related to this abstract feature is below the activation threshold of the image classifier. Thus, the falsification points are exactly the same as those of the computed validity domain (i.e.,   and  ). This study shows how a misclassification of the ML component might not affect the correctness of the CPSML model.\n\n## 6 Conclusion\n\nWe presented a compositional falsification framework for STL specifications against CPSML models based on the separate analysis of a CPS system and its ML components. We introduced an ML analyzer able to abstract feature spaces, approximate ML classifiers, and provide sets of misclassified feature vectors that can be used to drive the falsification process. We implemented our framework and showed its effectiveness for an autonomous driving controller using perception based on deep neural networks.\n\nThis work lays the basis for future advancements. We intend to improve our ML analyzer exploring the automatic generation of feature space abstractions from given training sets. Another direction is to integrate other techniques for generating misclassifications of ML components (e.g. [9, 15]) into our approach. One could also apply our ML analyzer outside the falsification context, such as for controller synthesis. Finally, our compositional methodology could be extended to other, non-cyber-physical, systems that contain ML components.\n\nReferences\n\n1.\n\nAnnpureddy, Y., Liu, C., Fainekos, G., Sankaranarayanan, S.: S-TaLiRo: a tool for temporal logic falsification for hybrid systems. In: Abdulla, P.A., Leino, K.R.M. (eds.) TACAS 2011. LNCS, vol. 6605, pp. 254\u2013257. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-19835-9_\u200b21 CrossRef\n\n2.\n\nBlum, A.L., Langley, P.: Selection of relevant features and examples in machine learning. Artif. Intell. 97(1), 245\u2013271 (1997)MathSciNetCrossRef00063-5)MATH\n\n3.\n\nBojarski, M., et al.: End to end learning for self-driving cars. arXiv:\u200b1604.\u200b07316 (2016)\n\n4.\n\nDonz\u00e9, A.: Breach, a toolbox for verification and parameter synthesis of hybrid systems. In: Touili, T., Cook, B., Jackson, P. (eds.) CAV 2010. LNCS, vol. 6174, pp. 167\u2013170. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-14295-6_\u200b17 CrossRef\n\n5.\n\nDreossi, T., Dang, T., Donz\u00e9, A., Kapinski, J., Jin, X., Deshmukh, J.V.: Efficient guiding strategies for testing of temporal properties of hybrid systems. In: Havelund, K., Holzmann, G., Joshi, R. (eds.) NFM 2015. LNCS, vol. 9058, pp. 127\u2013142. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-17524-9_\u200b10\n\n6.\n\nDuggirala, P.S., Mitra, S., Viswanathan, M., Potok, M.: C2E2: a verification tool for stateflow models. In: Baier, C., Tinelli, C. (eds.) TACAS 2015. LNCS, vol. 9035, pp. 68\u201382. Springer, Heidelberg (2015). doi:10.\u200b1007\/\u200b978-3-662-46681-0_\u200b5\n\n7.\n\nFawzi, A., Fawzi, O., Frossard, P.: Analysis of classifiers' robustness to adversarial perturbations. arXiv preprint arXiv:\u200b1502.\u200b02590 (2015)\n\n8.\n\nHinton, G., et al.: Deep neural networks for acoustic modeling in speech recognition: the shared views of four research groups. IEEE Signal Process. Mag. 29(6), 82\u201397 (2012)CrossRef\n\n9.\n\nHuang, X., Kwiatkowska, M., Wang, S., Wu, M.: Safety verification of deep neural networks. CoRR, abs\/1610.06940 (2016)\n\n10.\n\nJia, Y., Shelhamer, E., Donahue, J., Karayev, S., Long, J., Girshick, R., Guadarrama, S., Darrell, T.: Caffe: convolutional architecture for fast feature embedding. In: ACM Multimedia Conference, ACMMM, pp. 675\u2013678 (2014)\n\n11.\n\nKrizhevsky, A., Sutskever, I., Hinton, G.E.: Imagenet classification with deep convolutional neural networks. In: Advances in Neural Information Processing Systems, pp. 1097\u20131105 (2012)\n\n12.\n\nMaler, O., Nickovic, D.: Monitoring temporal properties of continuous signals. In: Lakhnech, Y., Yovine, S. (eds.) FORMATS\/FTRTFT-2004. LNCS, vol. 3253, pp. 152\u2013166. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30206-3_\u200b12 CrossRef\n\n13.\n\nTensorFlow, M.A., et al.: Large-scale machine learning on heterogeneous systems (2015). Software available from tensorflow.\u200borg\n\n14.\n\nMichalski, R.S., Carbonell, J.G., Mitchell, T.M.: Machine Learning: An Artificial Intelligence Approach. Springer Science & Business Media, Heidelberg (2013)MATH\n\n15.\n\nMoosavi-Dezfooli, S.-M., Fawzi, A., Frossard, P.: Deepfool: a simple and accurate method to fool deep neural networks. In: IEEE Computer Vision and Pattern Recognition, pp. 2574\u20132582 (2016)\n\n16.\n\nNguyen, A., Yosinski, J., Clune, J.: Deep neural networks are easily fooled: high confidence predictions for unrecognizable images. In: Computer Vision and Pattern Recognition, CVPR, pp. 427\u2013436. IEEE (2015)\n\n17.\n\nNiederreiter, H.: Low-discrepancy and low-dispersion sequences. J. Number Theory 30(1), 51\u201370 (1988)MathSciNetCrossRef90025-X)MATH\n\n18.\n\nSeshia, S.A., Sadigh, D., Sastry, S.S.: Towards verified artificial intelligence. CoRR, abs\/1606.08514 (2016)\n\n19.\n\nSzegedy, C., Zaremba, W., Sutskever, I., Bruna, J., Erhan, D., Goodfellow, I., Fergus, R.: Intriguing properties of neural networks. arXiv:\u200b1312.\u200b6199 (2013)\n\n20.\n\nTaeyoung, L., Kyongsu, Y., Jangseop, K., Jaewan, L.: Development and evaluations of advanced emergency braking system algorithm for the commercial vehicle. In: Enhanced Safety of Vehicles Conference, ESV, pp. 11\u20130290 (2011)\n\n21.\n\nVapnik, V.: Principles of risk minimization for learning theory. In: NIPS, pp. 831\u2013838 (1991)\n\nFootnotes\n\n1\n\nhttp:\/\/\u200bimage-net.\u200borg\/\u200b.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_27\n\n# Verifying a Class of Certifying Distributed Programs\n\nKim V\u00f6llinger1  and Samira Akili1\n\n(1)\n\nHumboldt University of Berlin, Berlin, Germany\n\nKim V\u00f6llinger\n\nEmail: voellinger@hu-berlin.de\n\nAbstract\n\nA certifying program produces in addition to each output a witness that certifies the output's correctness. An accompanying checker program checks whether the computed witness is correct. Such a checker is usually simpler than the original program, and its verification is often feasible while the verification of the original program is too costly. By verifying the checker and by giving a machine-checked proof that the witness certifies the output's correctness, we get formal instance correctness, i.e. a machine-checked proof that a particular input-output pair is correct. This verification method was demonstrated on sequential programs. In contrast, we are concerned with the correctness of distributed programs which behave fundamentally differently. In this paper, we present a verification method to obtain formal instance correctness for one class of certifying distributed programs. Moreover, we demonstrate our method on the leader election problem using the theorem prover Coq.\n\nKeywords\n\nCertifying distributed programFormal instance correctnessCoq\n\n## 1 Introduction\n\nA major problem in software engineering is assuring the quality of software. Well-known methods are testing and formal verification. While testing does not cover all inputs, formal verification is often too costly. We suggest certifying programs \u2013 a formal method that is, on the one hand, more rigorous than testing, and on the other hand, less costly than formal verification.\n\nA certifying program verifies the correctness of its output at runtime. The idea is to adapt the underlying algorithm of a program at design time to protect its user not only against a faulty implementation but also against a faulty algorithm and a faulty execution (e.g. caused by a hardware failure). To this end, a certifying program produces a witness in addition to each output that certifies the output's correctness. Since the witness is computed by the untrusted program itself, a simple checker program checks whether the witness is correct. Furthermore, there is a verification method for certifying programs to achieve formal instance correctness for an output \u2013 a machine-checked proof that a particular input-output pair is correct.\n\nIn contrast, we are concerned with the correctness of distributed programs. Certifying distributed programs behave differently to certifying sequential programs; for instance, the witness is distributed over a system and checked by many checkers. In this paper, we present a verification method to achieve formal instance correctness for one class of certifying distributed programs. As a case study, we demonstrate our method on the leader election problem in networks using the theorem prover Coq for program verification and theorem proving. The whole formalization is available on GitHub1.\n\n### 1.1 Structure of this Paper\n\nWe give the preliminaries in Sect. 2. In Sect. 3, we discuss how to apply the concept of certifying sequential programs to distributed programs. We define a class of certifying distributed algorithms. Our class is particularly interesting since the witness is computed and checked in a distributed manner (Sect. 3.3). Hence, the certification itself is distributed. For this class, we introduce a verification method to obtain formal instance correctness (Sect. 3.4). In Sect. 4, we give a certifying variant of solving the leader election problem in networks and demonstrate our verification method on certifying leader election using the theorem prover Coq. We present related work in Sect. 5, draw our conclusions in Sect. 6 and discuss future work in Sect. 7.\n\n## 2 Preliminaries\n\nIn this section, we recap certifying sequential programs (Sect. 2.1), and a verification method to obtain formal instance correctness for certifying sequential programs (Sect. 2.2).\n\n### 2.1 Certifying Sequential Programs\n\nThe idea of a certifying program is to adapt the underlying algorithm of a program such that it verifies the correctness of its output at runtime [7]. We assume a program that takes an input x from a set X and produces an output y from a set Y. The specification of the program is given by a precondition   and a postcondition  . Let W be a set of potential witnesses. A witness predicate for the specification is a predicate   with the witness property:\n\n(1)\n\nIf the witness property holds for x, y, w, then the input-output pair (x, y) satisfies the specification, and we call w a witness for  .\n\nA (correct) certifying program produces in addition to each output a witness such that the witness property is satisfied. However, the idea is that a user of a certifying program does not have to trust the program but a (simpler) checker program that decides the witness predicate  . Figure 1 sums up the concept of a certifying program.\n\nFig. 1.\n\nA certifying program accompanied by its checker.\n\nAs an example, we consider the problem of deciding if a graph is bipartite, i.e. if its vertices can be divided in two partitions so that each edge has a vertex in each of both partitions. A certifying variant of a program deciding that a particular graph G is not bipartite additionally produces an odd cycle in G as a witness. The witness predicate holds if the witness is a cycle of odd length contained in G; it can easily be decided by a checker program. The witness certifies the output: an odd cycle contained in G proves that G is not bipartite since an odd cycle itself is not bipartite. Thus, the witness predicate has the witness property. For a bipartite graph, the witness could be a bipartition.\n\nThere is always a certifying variant of a program, for instance, with a witness that is the computation itself. In general, this is not a good witness, since proving the witness property becomes program verification then. The challenge is to find \"good\" witnesses.\n\n### 2.2 Verification of Certifying Sequential Programs\n\nThe user of a certifying program has to trust its witness property, and its accompanying checker. A checker is usually much simpler than the original program, and its verification is often feasible while the verification of the original program is too costly. Rizkallah's method is to use the theorem Prover Isabelle to give a machine-checked proof for the witness property, and to verify the checker (e.g. with VCC) [11]. By this combination of certifying programs with theorem proving and program verification, we achieve formal instance correctness for instances for which the checker accepts.\n\n## 3 Verification Method for a Class of Certifying Distributed Programs\n\nIn this section, we give a verification method to obtain formal instance correctness for one class of certifying distributed programs. We begin with what we consider to be a distributed program and with discussing the challenges of applying the concept of certifying sequential programs to distributed programs. Subsequently, we define a class of certifying distributed programs. Finally, for this class, we give a verification method to obtain formal instance correctness.\n\n### 3.1 Distributed Programs\n\nA distributed system consists of computing components that can communicate with each other by shared memory or message-passing channels. A distributed algorithm describes for each component an algorithm such that all components together solve one problem. For instance, there are distributed algorithms to solve problems associated with distributing a computation over a system such as coordination, communication or synchronization of the components. To give some examples, there are distributed algorithms to elect a leader, find a consensus or identify a substructure of the system such as a tree [10]. An implementation of a distributed algorithm is a distributed program.\n\n### 3.2 Challenges of Certifying Distributed Programs\n\nThe distributed setting has all the challenges of the sequential setting, and additionally, its own specific challenges [9, Sect. 1.3]. That is why distributed programs are known to be especially hard to verify. While non-termination is considered a fault in sequential programs, some distributed programs should run continuously, e.g. communication protocols. Certification of non-terminating programs poses questions such as when should a non-terminating program compute a witness. For a terminating distributed program, each component holds its output after termination. Hence, the output of the distributed program is distributed over the system. The output's distribution leads to questions such as should there be a witness for each component or one witness for the whole system, and should we verify the correctness of a component's output or of the network's output. Hence, there is not only one way of applying the concept of a certifying sequential program to distributed programs.\n\n### 3.3 A Class of Certifying Distributed Programs\n\nFor defining a class of certifying distributed programs, we focus on networks (i.e. distributed systems with message-passing channels) that are static (i.e. components and channels do not leave the system) and asynchronous (i.e. no global clock exists), and on distributed programs that terminate. After termination, each component holds its local output and the global output of the distributed program is the collective of the local outputs. Our approach is to make such a distributed program certifying by making it compute many local witnesses that together prove the global output's correctness. The local witnesses are computed and checked in a distributed manner at runtime. Hence, we present certifying distributed programs where the certification itself is distributed.\n\nWe represent a network by a graph G that is a finite directed connected graph with a vertex set   and an edge set E that is symmetric. Each vertex presents a component and two directed edges (i, j) and (j, i) present a bidirectional channel between the components i and j. We call such a graph G a network graph.\n\nLet G be a network graph. Let X, Y and W be sets containing potential local inputs, local outputs and local witnesses, respectively. A certifying distributed program p of class C computes for a global input   a global output  , and in addition, a global witness  . Hence, each component   computes for a local input   a local output   and additionally a local witness  . The specification of p is given by a (global) precondition   and a (global) postcondition  .\n\nA global witness predicate is a predicate   with the (global) witness property:\n\n(2)\n\nIf the witness property holds for  ,  ,  , then the global input-output pair ( ,  ) satisfies the specification, and we call   a global witness for  .\n\nWe want that the global witness predicate is decided in a distributed manner. That is why we define a local witness predicate. A local witness predicate is a predicate   with the composition property:\n\n(3)\n\nFor a triple  , we call   a local witness of component i. For the class C, the global witness predicate   is checked after termination of p in the way that each component i has a local checker that decides the local witness predicate   for i. Since the checking occurs after termination, we do not have to care about asynchrony.\n\n### 3.4 Verification Method for Class C\n\nWe give a verification method to obtain formal instance correctness, i.e. a proof that a particular input-output pair is correct. Let p be a certifying distributed program of class C. In order to obtain formal instance correctness for p, we have to solve the following proof obligations:\n\n  * Witness Property: We have to give a machine-checked proof for the implication (2).\n\n  * Composition Property: We have to give a machine-checked proof of the implication (3).\n\n  * Correctness of the Local Checkers: We have to prove that the local checker   of each component i checks the local witness predicate  , assuming the precondition   holds, i.e.\n\n    1. 1.\n\nIf   and  , then   halts and accepts.\n\n    2. 2.\n\nIf   and  , then   halts and rejects.\n\nIf we solve these proof obligations, we obtain formal instance correctness for each instance on which all local checkers accept:\n\nTheorem 1\n\nLet   be a network graph with  . Let X, Y and W be sets. Let   be a precondition and   a postcondition. Let   be a global witness predicate for   and  , and let   be a local witness predicate for  ,  , and G. Let  . Let c be a local checker deciding  . Assuming  , if c accepts on   for all  , then  .\n\nProof\n\n  for all   since c decides  . Since   is a local witness predicate and  , it follows from the composition property that  . From   being a global witness predicate and  , it follows by the witness property that  .\n\nNotice that the program p itself is not mentioned in the theorem. The machine-checked proofs and the verified local checkers can indeed be combined with any program producing an input, output and witness. Moreover, the reader may wonder why we do not prove: if  , then there exists a global witness   such that  . In fact, with such a proof, we would reason about the correctness of p. However, we do not want to establish the correctness of p but to achieve formal instance correctness for p. Verifying formal instance correctness is a different problem than verifying programs.\n\nVerification Within Coq. We use the theorem prover Coq for theorem proving and program verification. Coq [4] is an interactive theorem prover that provides its user with a specification language, a higher-order logic, a richly-typed functional programming language, and some proof automations. Moreover, Coq implements a mechanism to extract programs written in Coq to languages like Haskell and Objective Caml. Coq's programming language is not turing-complete since it allows only structural recursion enforcing that every program halts.\n\nWe use Coq for theorem proving in order to solve the proof obligations witness property and composition property, and for program verification in order to solve the proof obligation correctness of the local checkers. Moreover, we extract a verified local checker from Coq to Haskell.\n\nTo model a network in Coq, we build upon the graph library Graph Basics [3] that defines basic concepts of graph theory such as undirected graphs, trees or connectivity. The purpose of this library is to express mathematical and computational aspects of graph theory in the same formalism. To the best of our knowledge, there is no other graph library for Coq.\n\n### 3.5 Further Classes of Certifying Distributed Programs\n\nWe give a brief outlook of further classes of certifying distributed programs. One modification is to define a different composition property:\n\n(4)\n\nHence, if at least one component satisfies the local witness predicate, then the global witness predicate holds. We used such a composition property for a certifying variant of distributed bipartite testing. Other logical combinations of local witness predicates could be of interest as well.\n\nA different modification is to certify local outputs instead of the global output. Assume all components compute their distance to one component as often done in routing protocols. If one component is buggy, then the local witness predicate cannot hold for all components. However, many components probably hold their actual distance. In this scenario, it would be interesting to verify local outputs. To this end, we need a local witness property. For instance in the form: if the component's local witness predicate holds, then its local input-output pair is correct. Since for many examples such a local witness property is too ambitious, it could also have the form: if for all the components in a subnetwork the local witness predicate hold, then the components of the subnetwork hold their correct local output. Additionally, we need a local specification and more reasoning in general. In that case, we would have to adapt our verification method.\n\nAnother modification is to consider non-terminating distributed programs. In this case, the witness and composition property would look significantly different and the checking would become more difficult since it would be done on-line by an reactive checker. Thus, non-termination would also lead to an adapted verification method.\n\nConsidering unreliable communication channels or dynamic networks would remarkably complicate the certification and verification. There are many more modifications to take into account but they are outside the scope of this paper.\n\n## 4 Case Study: Leader Election\n\nAs a case study, we consider the leader election problem: all components of a network have to elect exactly one of them as a leader. Usually, a leader is elected for coordination purposes. There are various distributed algorithms that solve leader election. For instance, Lynch gives an asynchronous leader election algorithm for a network of arbitrary topology and components that have unique identifiers [6].\n\nIn this section, we first give a certification for leader election that belongs to class C (see Sect. 3.3) and then we give a formalization in Coq.\n\n### 4.1 Certifying Leader Election\n\nThe specification of the leader election problem states that the problem is solved if all components of a network agree on exactly one of them as a leader. Thus, in order to verify the global output's correctness, we have to certify that all components agree on the leader and that the elected leader exists. To certify the agreement on the leader, the global witness consists in each component holding the elected leader of its neighbors. From agreement in all neighborhoods, it follows agreement in the network since neighborhoods overlap. To certify that the elected leader exists, the global witness consists of a spanning tree in the network that is rooted at the leader. In order to check the spanning tree in a distributed manner, we use a characterization of the spanning tree using the distance and the parent function. Note that a component cannot simply check that the elected leader is a component of the network, since it doesn't know all components.\n\nLet   be a network graph with  . The local input   of a component i is i's neighborhood, i.e. i's neighboring components and i's channels. The local output   of a component i is   (i's elected leader). The postcondition   states that there exists   with   for all  .\n\nThe local witness   of a component i consists of:\n\n  *   (i's distance from its elected leader),\n\n  *   (i's parent in the spanning tree),\n\n  *   (the distance that i's parent has from its elected leader) and\n\n  *   for all neighbors j of i (the elected leaders of i's neighbors).\n\nThe global witness predicate   holds if there exists   (\"the elected leader and root of the spanning tree\") with   such that  ,   and   for all neighbors j of l, and if for all   with   it holds that  ,   is a neighbor of i,   and   for all neighbors j of i. By the global witness predicate, we can tell that the global witness   is a spanning tree in G rooted at the elected leader.\n\nThe witness property states that if all components agree with their neighbors on the leader then all components agree on exactly one leader, and if this elected leader is the root of a spanning tree then the leader exists in the network.\n\nThe local witness predicate   states the properties required by the global witness predicate for the neighborhood of a component. There is one clause for the elected leader and another clause for all the other components. Each component i has a local checker   deciding whether  . The composition property states that if the local witness predicate holds for all components then the global witness predicate holds.\n\nFig. 2.\n\nA network graph with six components. A spanning tree is highlighted by dashed lines. For the components 2 and 3, the properties required to satisfy local witness predicates are listed. Component 2 is the elected leader.\n\nAs an example, Fig. 2 shows a specific network graph and a spanning tree as the global witness in this network. Moreover, for two components the properties required to satisfy their local witness predicates are listed.\n\nFor the purpose of this paper, it is not important how a component computes its local witness. However, there are distributed algorithms to compute a spanning tree and Lynch even gives a leader election algorithm that is based on a spanning tree [6].\n\n### 4.2 Verification in Coq\n\nAs a proof-of-concept, we demonstrate our verification method to obtain formal instance correctness (see Sect. 3.4) on certifying leader election using Coq. We begin with the formalization of the network graph and continue with solving the proof obligations composition property, witness property and correctness of the local checkers.\n\nNetwork Formalization. We formalize the network as an undirected, connected graph provided by the GraphBasics library. We define a vertex of the graph as a Component with an unique identifier.\n\nWe construct the local input   of a component i in such a way that the global input   satisfies the precondition. Hence, for the following formalization of the composition property and the witness property, we assume that the precondition holds.\n\nComposition Property. The composition property states that if the local witness predicate holds for each component, then the global witness predicate is satisfied. For certifying leader election, the local witness predicate is a disjunction in which one clause applies for the elected leader and the other clause for all other components (see Sect. 4.1). In Coq, we formalize each clause of the local witness predicate as a single predicate: gamma_root is the local witness predicate of the elected leader and gamma_i is the local witness predicate of all other components.\n\nEach component i holds its values  ,   and  . From a global perspective on the network, we can canonically define the functions leader, parent and distance that each maps a component i to its corresponding value. To instantiate the functions, we added additional properties to the local witness predicate; for instance, we require the mapping between the component i and its function value parent_i by stating the equation parent i = parent_i. In the following Coq formalization of the local witness predicate, we commented on such additional properties with (*x*):\n\nIf the local witness predicate holds for all components, then only in the way that there is one component (root \u2013 the elected leader) that satisfies the clause gamma_root and all other components satisfy the clause gamma_i. Suppose there is more than one component fulfilling the gamma_root clause. Then there is more than one component that has elected itself as a leader. Since the graph is connected, there is a path between every component. Hence, there must be a path between two components that have a different leader. If we follow the path, there must be a pair of components that contradicts the property that neighbors agree on their leader.\n\nSuppose otherwise that all components fulfill the clause gamma_i, then every component has a parent that is not itself. As there is always an edge between a component and its parent, there are as many edges as components in the subgraph. Hence, this subgraph contains a cycle. Within a cycle the distance property is violated leading to a contradiction.\n\nAs a consequence, we fix one component as root and formalize the composition property in Coq as follows:\n\nThe proof of the composition property in Coq is straightforward and only uses syntactic rewriting.\n\nWitness Property. The witness property states that if the global witness predicate holds, then the leader election problem is solved: the spanning tree witnesses the existence of a leader, and by the agreement between neighbors, there can only be one leader.\n\nAs an assumption in Coq, we state that the global witness predicate holds. As a consequence, we can formalize the witness property as follows:\n\nIn order to prove the witness property, we formalize and prove additional properties. We define an inductive type Connection: a Connection is an undirected path between two vertices, consisting of edges that are induced by the parent function. A Connection is constructed from a parent to its child, and has a length.\n\nMoreover, we define the function parent_iteration which takes a component c and a natural number n as input and recursively applies the parent function n-times on c. An ancestor of a component is a component that can be obtained by the application of the parent_iteration function on c.\n\nThe proof of the witness property rests upon three central lemmata. The first lemma states that there is a Connection between every component and root:\n\nWe conduct a proof by induction on the distance of a component - the length of the Connection. The base case follows from the assumptions. For the induction step, we assume a Connection co between root and the parent of a component x with length n. By definition of Connection, co can be extended by the edge between   parent and x to a Connection  . By definition, the length of   is   which equals the distance of x.\n\nThe second lemma states that a component x agrees with all its ancestors on the leader:\n\nWe conduct a proof by induction on the argument n of the parent_iteration function. The proof is similar to the one presented above.\n\nThe third lemma states that if there is a Connection between a component and root, then root is ancestor of the component:\n\nBy induction, we can establish that if a Connection exists from component x to component y with length n, then x is the result of applying the parent_iteration function n-times on y. Since we already proved that there is a Connection between every component and root, we conclude that root is an ancestor of each component.\n\nWe prove the witness property by case analysis. For the first case, we have to prove that root is the leader of root which follows from the assumptions. For the second case, we have to prove that all other components have root as their leader. We first use the lemma parent_is_leader such that we are left with proving that the leader of each ancestor of each component is root. Using the lemma parent_transitive_is_root, we establish that each component has root as its ancestor. As root has itself as leader and all other components have the leader of their ancestors as leader, we conclude that root is leader of each component.\n\nCorrectness of the Local Checkers. As the certifying leader election belongs to class C, every component has a local checker. The local checker of a component i decides its local witness predicate  . Hence, the checker needs i's local input  , i's local output   and i's local witness  .\n\nThe local input of a component i is the neighborhood of i in accordance to the network Graph G. For modeling purposes, we define a function that takes the network graph as input and generates a checker   for each component i that is initialized with i's local input. Furthermore, we bundle i's local output   and local witness   in the variable checker_input. We implement the local checker in Coq as follows:\n\nNote that a local checker accepts if the disjunction of the clauses gamma_root and gamma_i holds.\n\nTo verify correctness of a local checker  , we have to prove that   only accepts if the local witness predicate holds for i. We formalize the checker correctness as follows:\n\nThe proof of the checker_correctness is straightforward and uses syntactic rewriting. Note that we added the helper predicates leaderconsistency, distanceconsistency, neighborsconsistency and componentconsistency to ensure consistency between two neighbouring components, i.e. to make sure their witnesses match on corresponding values. For example, if a component i chooses a component j as its parent ( ), the value of   equals  . In a real network, the consistency check requires additional communication between the checkers. We can realize communication in Coq by making the checker's code reactive. As shown in [2], Coq suits to implement interactive software. To model the communication, we can define an inductive type that models the state transitions of the checker caused by incoming or outgoing messages. A similar approach was used to formalize the Border Gateway Protocol (BGP) in Coq [13]. In order to extract checkers from Coq to e.g. Haskell that can run on a real network, we have to integrate communication in our formalization.\n\nFormal Instance Correctness. We solved the proof obligations composition property, witness property and correctness of the local checkers for certifying leader election using Coq. Thus, we achieved formal instance correctness for certifying leader election.\n\n## 5 Related Work\n\nLiterature offers more than 100 certifying sequential algorithms. A theory of certifying sequential algorithms along with several examples and further reading is given in [7]. Some of these certifying sequential algorithms are implemented in the industrial-level library LEDA (Library for Efficient Data Structures and Algorithms) [8] \u2013 a library for combinatorial and geometric computing. In addition, Rizkallah developed a verification method to achieve formal instance correctness for certifying sequential programs and demonstrated her verification method on some programs from the LEDA libraries. Her dissertation [11] points to her further publications on this field. However, all this work was done for sequential and not for distributed programs. V\u00f6llinger and Reisig gave a certification for the shortest path problem in networks as an first example [12]. To the best of our knowledge, there is no other research on certifying distributed programs and no verification method to obtain formal instance correctness for certifying distributed programs.\n\nHowever, some techniques for making a distributed program self-stabilizing share similarities to our approach of making a distributed program certifying. The idea of self-stabilization is that a system in a faulty state stabilizes itself to a correct state. To this end, the components of a system have to detect that the system's state is faulty whereby local detection is desired. As a consequence, there are some similarities to proof labeling schemes [5] as well, since if there exists a (silent) self-stabilizing program, then there exists a proof labeling scheme for that program and vice versa [1]. In contrast, we separate the checking from the computation, rely on witnesses, and integrate proofs for the witness property and the composition property.\n\n## 6 Conclusion\n\nSince verification of a distributed program is often too costly, we investigated a verification method to obtain formal instance correctness, i.e. a proof that a particular input-output pair is correct. For this purpose, we considered certifying programs. A checker of a certifying program is usually simpler than the original program, and its verification is often feasible while the verification of the original program is too costly. By verifying the checker and by giving a machine-checked proof that the witness certifies the output's correctness, we get formal instance correctness. Rizkallah demonstrated this verification method on certifying sequential programs.\n\nIn contrast, we are concerned with the correctness of distributed programs. In this paper, we defined a class of certifying distributed programs that is particularly interesting since the global witness is computed and checked in a distributed manner (Sect. 3.3). Moreover, we presented a verification method to obtain formal instance correctness for the defined class of certifying distributed programs (Sect. 3.4). Furthermore, we gave a certifying variant of the leader election problem in networks (Sect. 4.1). As a case study, we demonstrated our verification method on certifying leader election using the interactive theorem prover Coq (Sect. 4.2).\n\n## 7 Future Work\n\nIn order to evaluate our verification method, more case studies are of interest. We expect that the library Graph Basics would be also helpful for the verification of other certifying distributed programs. However, the library does not offer graphs with weighted edges. Since weighted edges are necessary for the formalization of computing shortest paths in a network, it could be an interesting extension. A first step in this direction is the definition of the inductive type Connection that adds the concept of the length of a path.\n\nMoreover, we expect that the formalization of the spanning tree as a global witness can be reused for further case studies, since a lot of our certifying distributed programs rely on a spanning tree.\n\nAnother interesting direction would be to investigate further classes of certifying distributed programs and to find a verification method to obtain formal instance correctness for these classes.\n\nReferences\n\n1.\n\nBlin, L., Fraigniaud, P., Patt-Shamir, B.: On proof-labeling schemes versus silent self-stabilizing algorithms. In: Felber, P., Garg, V. (eds.) SSS 2014. LNCS, vol. 8756, pp. 18\u201332. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-11764-5_\u200b2\n\n2.\n\nClaret, G.: Pluto: a first concurrent web server in Gallina. http:\/\/\u200bcoq-blog.\u200bclarus.\u200bme\/\u200bpluto-a-first-concurrent-web-server-in-gallina.\u200bhtml\n\n3.\n\nDuprat, J.: A coq toolkit for graph theory (2011). rapport de recherche. Ecole Normale Superieur de Lyon\n\n4.\n\nINRIA: The coq proof assistant. http:\/\/\u200bcoq.\u200binria.\u200bfr\/\u200b\n\n5.\n\nKorman, A., Kutten, S., Peleg, D.: Proof labeling schemes. Distrib. Comput. 22(4), 215\u2013233 (2010)CrossRefMATH\n\n6.\n\nLynch, N.A.: Distributed Algorithms. Morgan Kaufmann Publishers Inc., San Francisco (1996)MATH\n\n7.\n\nMcConnell, R.M., Mehlhorn, K., N\u00e4her, S., Schweitzer, P.: Certifying algorithms. Comput. Sci. Rev. 5, 119\u2013161 (2011)CrossRefMATH\n\n8.\n\nMehlhorn, K., N\u00e4her, S.: LEDA: A Platform for Combinatorial and Geometric Computing. Cambridge University Press, Cambridge (1999)MATH\n\n9.\n\nPeleg, D.: Distributed Computing: A Locality-Sensitive Approach. Society for Industrial and Applied Mathematics, Philadelphia (2000)CrossRefMATH\n\n10.\n\nRaynal, M.: Distributed Algorithms for Message-Passing Systems. Springer, Heidelberg (2013)CrossRefMATH\n\n11.\n\nRizkallah, C.: Verification of program computations. Ph.D. thesis (2015)\n\n12.\n\nV\u00f6llinger, K., Reisig, W.: Certification of distributed algorithms solving problems with optimal substructure. In: Calinescu, R., Rumpe, B. (eds.) SEFM 2015. LNCS, vol. 9276, pp. 190\u2013195. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-22969-0_\u200b14 CrossRef\n\n13.\n\nWeitz, K., Woos, D., Torlak, E., Ernst, M.D., Krishnamurthy, A., Tatlock, Z.: Formal semantics and automated verification for the border gateway protocol. In: ACM SIGCOMM Workshop on Networking and Programming Languages (NetPL 2016), Florianopolis, Brazil (2016)\n\nFootnotes\n\n1\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200bvoellinger\/\u200bverified-certifying-distributed-algorithms\/\u200btree\/\u200bmaster\/\u200bleader-election.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_28\n\n# Compact Proof Witnesses\n\nMarie-Christine Jakobs1  and Heike Wehrheim1\n\n(1)\n\nPaderborn University, Paderborn, Germany\n\nMarie-Christine Jakobs (Corresponding author)\n\nEmail: marie.christine.jakobs@upb.de\n\nHeike Wehrheim\n\nEmail: wehrheim@upb.de\n\nAbstract\n\nProof witnesses are proof artifacts showing correctness of programs wrt. safety properties. The recent past has seen a rising interest in witnesses as (a) proofs in a proof-carrying-code context, (b) certificates for the correct functioning of verification tools, or simply (c) exchange formats for (partial) verification results. As witnesses in all theses scenarios need to be stored and processed, witnesses are required to be as small as possible. However, software verification tools \u2013 the prime suppliers of witnesses \u2013 do not necessarily construct small witnesses.\n\nIn this paper, we present a formal account of proof witnesses. We introduce the concept of weakenings, reducing the complexity of proof witnesses while preserving the ability of witnessing safety. We develop a weakening technique for a specific class of program analyses, and prove it to be sound. Finally, we experimentally demonstrate our weakening technique to indeed achieve a size reduction of proof witnesses.\n\nKeywords\n\nSoftware verificationProof witnessProof re-use\n\n## 1 Introduction\n\nIn the past years, automatic verification of programs with respect to safety properties has reached a level of maturity that makes it applicable to industrial-size programs. The annual software verification competition SV-COMP [4] demonstrates the advances of program verification, in particular its scalability. Software verification tools prove program correctness, most often for safety properties written into the program in the form of assertions. When the verification tool terminates, the result is typically a yes\/no answer optionally accompanied by a counterexample. While this is the obvious result a verification tool should deliver, it became clear in recent years that all the information computed about a program during verification is too valuable to just be discarded at the end. Such information should better be stored in some form of proof.\n\nProofs are interesting for several reasons: (A) Proofs can be used in a proof-carrying code (PCC) context [25] where a program is accompanied by its proof of safety. Verifying this proof allows to more easily recheck the safety of the program, e.g., when its provider is untrusted. (B) A proof can testify that the verification tool worked correctly, and checking the proof gives confidence in its soundness [5]. (C) Verification tools are sometimes unable to complete proving (e.g., due to timeouts). A proof can then summarize the work done until the tool stopped (see e.g. [6]) so that other tools can continue the work. All these scenarios use proofs as witnesses of the (partial) correctness of the program.\n\nFor these purposes, witnesses need to be small. If the witness is very large, the gain of having a witness and thus not needing to start proving from scratch is lost by the time and memory required to read and process the witness. Our interest is thus in compact proof witnesses. However, the proof artifacts that software verification tools produce are often even larger than the program itself.\n\nLarge proofs are a well-known problem in PCC approaches (e.g. [1, 2, 22, 24, 26, 29]). To deal with the problem, Necula and Lee [24] (who employ other types of proofs than automatic verification tools produce) use succinct representations of proofs. A different practice is to store only parts of a proof and recompute the remaining parts during proof validation like done by Rose [28] or Jakobs [22]. An alternative approach employs techniques like lazy abstraction [9, 20] to directly construct small proofs. Further techniques as presented by Besson et al. [2] and Seo et al. [29] try to remove irrelevant information from proofs that are fixpoints. The latter two approaches have, however, only looked at proofs produced by path-insensitive program analyses.\n\nIn this paper, we first of all present a formal account of proof witnesses. We do so for verification tools generating for the safety analysis some form of abstract state space of the program, either by means of a path insensitive or a path sensitive analysis. We call this abstract reachability graph in the sequel, following the terminology for the software verification tool CPAchecker [8]. We formally state under what circumstances proof witnesses can actually soundly testify program safety. Based on this, we study weakenings of proof witnesses, presenting more compact forms of proofs while preserving being a proof witness. Next, we show how to compute weakenings for a specific category of program analyses. Finally, we experimentally show our weakening technique to be able to achieve size reduction of proof witnesses. To this end, we evaluated our weakening technique on 395 verification tasks taken from the SV-COMP [3] using explicit-state software model checking as analysis method for verification. Next to proof size reduction, we also evaluate the combination of our approach with lazy refinement [9] plus examine its performance in a PCC setting [22].\n\n## 2 Background\n\nWitnesses are used to certify safety of programs. In this section, we start with explaining programs and their semantics. For this presentation, we assume to have programs with assignments and assume statements (representing if and while constructs) and with integer variables only1. We distinguish between boolean expressions used in assume statements, and abbreviate assume bexpr simply by bexpr, and arithmetic expressions aexpr used in assignments. The set   contains all these statements, and the set   is the set of variables occuring in a program. Following Configurable Software Verification [7] \u2013 the technique the tool CPAchecker, in which we integrated our approach, is based on \u2013, we model a program by a control-flow automaton (CFA)  . The set   represents program locations,   is the initial program location, and   models the control-flow edges. The set   of error locations defines which locations are unsafe to reach. In the program, these safety properties are written as assert statements. Note that all safety properties can be encoded this way [23], and that we assume that all properties of interest are encoded at once.\n\nFig. 1.\n\nProgram   (i input variable) and its control-flow automaton\n\nFigure 1 gives a small (completely artificial) program called   (which we use later for explanation) and its control-flow automaton. Here, location   is the only error location. The program is called   since it tests whether the input   is zero (which is recorded as value 1 in r). The assertion checks whether the number of assignments to r or checks on r is 3 when r is 1. This number is accumulated in the variable c.\n\nThe semantics of a program   is defined by a labeled transition system   made up of a set of concrete states   plus locations L, the labels   (the control-flow edges of the program) and a transition relation  . We write   for  . A concrete state in C is a mapping  . A transition   is contained in the transition relation   if either  ,   2 and  , or  ,  , and  . We call   a path of P if  ,  , is a transition in  . The set of all paths, i.e. (partial) program executions, of program   is denoted by  . Finally, a program is safe if no program execution reaches an error location, i.e.,  .\n\nWe build our technique for witness compaction on top of the configurable program analysis (CPA) framework of Beyer et al. [7] which allows to specify customized, abstract interpretation based program analyses. The advantage of using CPAs is that our results are not just valid for one analysis, but for a whole range of various analyses (namely those specifiable as CPAs). A CPA for a program   is a four-tuple   containing\n\n  1. 1.\n\nan abstract domain   consisting of a set   of concrete states, a complete lattice   on a set of abstract states   and a concretization function  , with\n\n  2. 2.\n\na transfer function   defining the abstract semantics:   s.t.\n\n  3. 3.\n\na merge operator   and a termination check operator   steering the construction of the abstract state space, and satisfying (a)   and (b)  . Both of these operators will play no role in the following, and are thus not further discussed here.\n\nBased on a given analysis  , an abstract state space of a given program is then constructed in the form of an abstract reachability graph (ARG). To this end, the initial abstract state   is fixed to be  , and the root of the ARG becomes  . The ARG is then further constructed by examining the edges of the CFA and computing successors of nodes under the transfer function of the analysis  . The stop operator fixes when to end such an exploration. An ARG for a program   is thus a graph   with nodes being pairs of locations and abstract values, i.e.,   and edges  . We say that two nodes   and   are location equivalent,  , if  . We lift the ordering on elements in A to elements in   by saying that   if   and  . We write  ,  , if  , and   if  ,  ,   and  .\n\n## 3 Proof Witnesses and Weakenings\n\nAbstract reachability graphs represent overapproximations of the state space of the program. They are used by verification tools for inspecting safety of the program: if no error location is reachable in the ARG, it is also unreachable in the program, and the tool can then testify safety. Thus, ARGs are excellent candidates for proof witnesses. However, our definition of an ARG only fixes the syntactical appearance and allows ARGs that are not necessarily proper proof witnesses (and real overapproximations), e.g., our definition allows that an ARG could simply have ignored the exploration of certain edges in the CFA.\n\nDefinition 1\n\nAn ARG G constructed by an analysis   is a proof witness for program P if the following properties hold:\n\n  * Rootedness. The root node root  ,\n\n  * Soundness. All successor nodes are covered:\n\n  * Safety. No error nodes are present:  .\n\n(Sound) verification tools construct ARGs which are indeed proof witnesses (unless the program is not safe). When such an ARG is used as a proof witness, safety of the program can then be checked by validating the above three properties for the ARG. Such checks are often less costly than building a new ARG from scratch. This makes proof witnesses excellent candidates for proofs in a proof-carrying code setting.\n\nProposition 1\n\nIf an ARG G is a proof witness for program P, then P is safe.\n\nHowever, ARGs are often unnecessarily complex witnesses. They often store information about program variables that is either too detailed or even not needed at all. Our interest is thus in finding smaller witnesses. In terms of the analysis, too much detail means that the information stored for program locations is unnecessarily low in the lattice ordering  . We build our compaction technique on the following assumption about the size of witnesses.\n\n> Assumption. The weaker (i.e., the higher in the lattice ordering) the abstract values stored for program locations, the more compact the witness.\n\nAs an example justifying this assumption take the weakest element  : as it represents the whole set of concrete states, it brings us no specific information at all and can thus also be elided from a witness. This assumption is also taken in the work of Besson et al. [2]. We base the following approach on the assumption \u2013 which our experiments also confirm \u2013 and define weakenings for proof witnesses.\n\nDefinition 2\n\nA function   is a weakening function for a domain   and program   if it satisfies the following two properties:\n\n  *   (weakening),\n\n  *   (location preserving).\n\nA weakening function for D and P is consistent with the transfer function if the following holds:\n\n  * for all  ,  :   implies  ,\n\n  * for all  : if   and  , then for  :  .\n\nWhile formally being similar to widenings [13] used in program analysis during fixpoint computation, weakenings serve a different purpose. And indeed, widening functions are too limited for being weakenings as they do not take the program under consideration into account.\n\nWeakening functions are applied to ARGs just by applying them to all nodes and edges: for an ARG G,  , where  . Note that   since the root already uses the top element in the lattice.\n\nTheorem 1\n\nIf an ARG G is a proof witness for program P and w is a weakening function for D and P consistent with the transfer function, then w(G) is a proof witness for program P as well.\n\nProof\n\nWe use the following notation:   is the ARG,     its weakening. We need to show the three properties of proof witnesses to be valid in w(G).\n\n  * Soundness. The most interesting property is soundness. We need to show that  , there is an  .\n\nLet   be the node with  .\n\nThus, choose  .\n\n  * Rootedness, Safety. Both follow by w being a weakening function, and w(G) being constructed by applying w on all nodes of the ARG.\n\n## 4 Variable-Separate Analyses\n\nThe last section introduced proof witnesses, and showed that we get a smaller, yet proper proof witness when using a weakening consistent with the transfer function. Next, we show how to define such weakening functions for a specific sort of program analyses  . In the following, we study analyses that use mappings of program variables to abstract values as its abstract domain D. We call such analyses variable-separate because they separately assign values to variables. Examples of variable-separating analyses are constant propagation and explicit-state model checking (both assigning concrete values to variables), interval analysis (assigning intervals to variables), sign analysis (assigning signs to variables), or arithmetical congruence (assigning a congruence class   to variables, i.e., variable value is congruent to c modulo m).\n\nDefinition 3\n\nA variable-separate analysis consists of a base domain  ,   that is a complete lattice equipped with an evaluation function   on variable-free expressions such that\n\n  *   and\n\n  *  ,\n\nfor  .\n\nB is lifted to the variable-separate analysis with domain   where\n\n  *   is obtained by pointwise lifting of  :\n\n ,\n\n  * expression evaluation is obtained by replacing variables with their values:  ,\n\n  *   if   and\n\n  *   if   for   and  .\n\nNote that the execution of an assume statement (bexpr) further constrains the successor state to those satisfying bexpr. The analysis uses the meet operator   for this. As an example analysis in our experiments, we use explicit-state model checking [15]. It tracks precise values of variables, however, if combined with lazy refinement [9] it does not track all but just some variables, and therefore does not plainly build the complete state space of a program.\n\nExample 1\n\nExplicit-state model checking uses the flat lattice   with   and   for all  , all other elements are incomparable. The operators   and   are the least upper bound and greatest lower bounds operators, respectively. Assigning   to a variable amounts to not tracking the value of that variable or the analysis failed to determine a precise, concrete value. The evaluation function computes the usual arithmetic semantics (denoted  ), except on   elements (which can appear in expressions when variables are instantiated according to an abstract value).\n\nHere, we write   for replacing all   occurrences in expr by (possibly different) elements from  .\n\nFigure 2 shows the ARG computed for program   when using explicit-state model checking without lazy refinement. We directly elide variables which are mapped to   as these will not be stored in a proof witness.\n\nFig. 2.\n\nARG of program   using explicit-state model checking\n\nFig. 3.\n\nWeakened witness of program\n\nFor variable-separate analyses, we obtain weakenings by computing the set of variables relevant at an ARG node. This is similar to the computation of live variables [27], where, however, the variables to be tracked are tailored towards not introducing new paths in the weakening that were not present in the ARG. The computation of relevant variables has similiarities with program slicing [30] as we compute backward dependencies of variables. For  , we define\n\n  *  ,\n\n  *\n\nThe definition of init aims at keeping those variables for which the ARG has already determined that a syntactically possible outgoing edge is semantically impossible; the definition of trans propagates these sets backwards via dependencies. Together, this gives rise to a family of equations   for the nodes in the ARG:\n\nNote that we remove all variables from this set that are assigned   in a, since no knowledge from previous nodes is required to compute this information. We use   to stand for the smallest solution to this equation system that can be computed by a fixpoint computation starting with the emptyset of relevant variables for all nodes3.\n\nDefinition 4\n\nLet   be the family of relevant variables. We define the weakening wrt. Rel for nodes   as\n\nFor all  , we set  .\n\nFigure 3 shows the weakened ARG for program  . We see that in several abstract states fewer variables have to be tracked. Due to init, the weakened ARG tracks variables   and   at locations   and  . Furthermore, it tracks those values required to determine the values of these variables at those locations.\n\nThe key result of this section states that this construction indeed defines a weakening function consistent with the transfer function.\n\nTheorem 2\n\nLet G be an ARG of program P constructed by a variable-separate analysis,   the family of relevant variables. Then   is a weakening function for G consistent with  .\n\nThis theorem follows from the following observations and lemmas: (a)   follows from   being the top element in the lattice B, and (b)   by definition of  .\n\nLemma 1\n\nLet   be an ARG node,   an edge. Then   implies  .\n\nProof\n\nLet  ,  ,   (otherwise the CFA would already forbid an edge),  . Proof by contraposition.\n\nLemma 2\n\nLet   be a node of the ARG. If   and  , then   such that   we get  .\n\nProof\n\nLet  ,  . Let furthermore   and  .\n\n  * Case 1.  .\n\n  *  : Then by definition of Rel,  . We have to show  . We first look at x.\n\nNext  ,  .\n\nNext  . Note that by definition of Rel,  , hence  .\n\n  *  : We have   since   by definition of weaken. The case for   is the same as for  .\n\n  * Case 2.  . Similar to case 1, using the fact that if   then\n\n## 5 Experiments\n\nThe last section has introduced a technique for computation of weakenings. Next, we experimentally evaluate this weakening technique for the explicit-state model checking analysis. In our experiments, we wanted to study three questions:\n\n  * Q1. Does weakening reduce the size of proof witnesses?\n\n  * Q2. Does explicit-state model checking with lazy refinement [9] benefit from weakening?\n\n  * Q3. Do PCC approaches benefit from ARG weakenings?\n\nTo explain question 2: Lazy refinement already aims at \"lazily\" including new variables to be tracked, i.e., as few as possible. The interesting question is thus whether our weakenings can further reduce the variables. For question 3, we employed an existing ARG-based PCC technique [22]. To answer these questions, we integrated our ARG weakening within the tool CPAchecker [8] and evaluated it on category Control Flow and Integer Variables of the SV-COMP [3]. We excluded all programs that were not correct w.r.t. the specified property, or for which the verification timed out after 15 min, resulting in 395 programs (verification tasks) in total. For explicit-state model checking with and without lazy refinement we used the respective standard value analyses provided by CPAchecker. Both analyses generate ARGs.\n\nWe run our experiments within BenchExec [10] on an Intel  Xeon E3-1230 v5 @ 3.40 GHz and OpenJDK 64-Bit Server VM 1.8.0_121 restricting each task to 5 of 33 GB. To re-execute our experiments, start the extension of BenchExec bundled with CPAchecker 4 with pcc-slicing-valueAnalysis.xml.\n\nQ1. We measure the size reduction of the proof witness for explicit-state model checking by the number of variable assignments   stored in the weakened ARG divided by the number of these assignments in the original ARG (1 thus means \"same number of variables\", <1 = \"fewer variables\", >1 = \"more variables\"). In the left of Fig. 4, we see the results where the x-axis lists the verification tasks and the y-axis the size reduction. For the original ARG, the number of variable assignments was between 10 and several millions. Our experiments show that we always profit from ARG weakening. On average the proof size is reduced by about 60%.\n\nFig. 4.\n\nComparison of number of variable assignments in original and weakened ARG for explicit-state model checking without (left) and with lazy refinement (right)\n\nQ2. The right part of Fig. 4 shows the same comparison as the diagram in the left, but for ARGs constructed by lazy refinement. Lazy refinement already tries to track as few variables as possible, just those necessary for proving the desired property. Still, our approach always reduces the proof size, however, not as much as before (which was actually expected).\n\nFig. 5.\n\nComparison of validation times for certificates from original and weakened ARG constructed by explicit-value state model checking with and without lazy refinement\n\nQ3. Last, we used the weakenings within the PCC framework of [22]. This uses ARGs to construct certificates of program correctness. Although the certificate stores only a subset of the ARG's nodes, the comparison of the number of variable assignments still looks similar to the graphics in Fig. 4. Thus, we in addition focused on the effect of our approach on certificate validation. Figure 5 shows the speed-up, i.e., the validation time for the certificate from the original ARG divided by the same time for the certificate from the weakened ARG, both for analyses with and without lazy refinement. In over 70% (50% for lazy refinement) of the cases, the speed-up is greater than 1, i.e., checking the certificate from the weakened ARG is faster. On average, checking the certificate constructed from the weakened ARG is 27% (21% for lazy refinement) faster.\n\nAll in all, the experiments show that weakenings can achieve more compact proof witnesses, and more compact witnesses help to speed up their processing.\n\n## 6 Conclusion\n\nIn this paper, we presented an approach for computing weakenings of proof witnesses produced by software verification tools. We proved that our weakenings preserve the properties required for proof witnesses. We experimentally evaluated the technique using explicit-state model checking. The experiments show that the weakenings can significantly reduce the size of witnesses. Weakenings can thus successfully be applied in all areas in which proof witnesses are employed. In the future, we plan for more experiments with other program analyses.\n\nRelated Work. Our computation of relevant variables is similar to the computation of variables in slicing [30] or cone-of-influence reduction. Our \"slicing criterion\" and the dependencies are tailored towards the purpose of preserving properties of proof witnesses.\n\nA number of other approaches exist that try to reduce the size of a proof. First, succinct representations [24, 26] were used in PCC approaches. Later, approaches have been introduced, e.g. in [1, 22, 28], that store only a part of the original proof. Our approach is orthogonal to these approaches. In the experiments we combined our technique with one such approach (namely [22]) and showed that a combination of proof reduction and weakenings is beneficial.\n\nA large number of techniques in verification already try to keep the generated state space small by the analysis itself (e.g. symbolic model checking [12] or predicate abstraction [19]). Giacobazzi et al. [17, 18] describe how to compute the coarsest abstract domain, a so called correctness kernel, which maintains the behavior of the current abstraction. Further techniques like lazy refinement [9, 20] and abstraction slicing [11] (used in the certifying model checker SLAB [14]) try to reduce the size of the explored state space during verification, and thus reduce the proof size. In our experiments, we combined our technique with lazy refinement for explicit-state model checking [9] and showed that our technique complements lazy refinement.\n\nTwo recent approaches aim at reducing the size of inductive invariants computed during hardware verification [16, 21]. While in principle our ARGs can be transformed into inductive invariants and thus these approaches would theoretically be applicable to software verification techniques constructing ARGs, it is not directly straightforward how to encode arbitrary abstract domains of static analyses as SAT formulae. We see thus our technique as a practically useful reduction technique for proof witnesses of software verifiers constructing ARGs.\n\nWe are aware of only two techniques [2, 29] which also replace abstract states in a proof by more abstract ones. Both weaken abstract interpretation results, while we look at ARGs. Besson et al. [2] introduce the idea of a weakest fixpoint, explain fixpoint pruning for abstract domains in which abstract states are given by a set of constraints and demonstrate it with a polyhedra analysis. Fixpoint pruning repeatedly replaces a set of constraints \u2013 an abstract state \u2013 by a subset of constraints s.t. the property can still be shown. In contrast, we directly compute how to \"prune\" our abstract reachability graph. Seo et al. [29] introduce the general concept of an abstract value slicer. An abstract value slicer consists of an extractor domain and a backtracer. An extractor from the extractor domain is similar to our   operator and the task of the backtracer is related to the task of  . In contrast to us, they do not need something similar to init since their abstract semantics never forbids successor nodes (and they just consider path-insensitive analyses).\n\nSumming up, none of the existing approaches can be used for proofs in the form of abstract reachability graphs.\n\nAcknowledgements\n\nThis work was partially supported by the German Research Foundation (DFG) within the Collaborative Research Centre \"On-The-Fly Computing\" (SFB 901). The experiments were run in the VerifierCloud hosted by Dirk Beyer and his group.\n\nReferences\n\n1.\n\nAlbert, E., Arenas, P., Puebla, G., Hermenegildo, M.: Reduced certificates for abstraction-carrying code. In: Etalle, S., Truszczy\u0144ski, M. (eds.) Logic Programming. LNCS, vol. 4079, pp. 163\u2013178. Springer, Heidelberg (2006)CrossRef\n\n2.\n\nBesson, F., Jensen, T., Turpin, T.: Small witnesses for abstract interpretation-based proofs. In: Nicola, R. (ed.) ESOP 2007. LNCS, vol. 4421, pp. 268\u2013283. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-71316-6_\u200b19 CrossRef\n\n3.\n\nBeyer, D.: Status report on software verification. In: \u00c1brah\u00e1m, E., Havelund, K. (eds.) TACAS 2014. LNCS, vol. 8413, pp. 373\u2013388. Springer, Heidelberg (2014). doi:10.\u200b1007\/\u200b978-3-642-54862-8_\u200b25 CrossRef\n\n4.\n\nBeyer, D.: Reliable and reproducible competition results with benchexec and witnesses (report on SV-COMP 2016). In: Chechik, M., Raskin, J.-F. (eds.) TACAS 2016. LNCS, vol. 9636, pp. 887\u2013904. Springer, Heidelberg (2016). doi:10.\u200b1007\/\u200b978-3-662-49674-9_\u200b55 CrossRef\n\n5.\n\nBeyer, D., Dangl, M., Dietsch, D., Heizmann, M.: Correctness witnesses: exchanging verification results between verifiers. In: Zimmermann et al. [31], pp. 326\u2013337\n\n6.\n\nBeyer, D., Henzinger, T.A., Keremoglu, M.E., Wendler, P.: Conditional model checking: a technique to pass information between verifiers. In: FSE, pp. 57:1\u201357:11. ACM, New York (2012)\n\n7.\n\nBeyer, D., Henzinger, T.A., Th\u00e9oduloz, G.: Configurable software verification: concretizing the convergence of model checking and program analysis. In: Damm, W., Hermanns, H. (eds.) CAV 2007. LNCS, vol. 4590, pp. 504\u2013518. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-73368-3_\u200b51 CrossRef\n\n8.\n\nBeyer, D., Keremoglu, M.E.: CPAchecker: a tool for configurable software verification. In: Gopalakrishnan, G., Qadeer, S. (eds.) CAV 2011. LNCS, vol. 6806, pp. 184\u2013190. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-22110-1_\u200b16 CrossRef\n\n9.\n\nBeyer, D., L\u00f6we, S.: Explicit-state software model checking based on CEGAR and interpolation. In: Cortellessa, V., Varr\u00f3, D. (eds.) FASE 2013. LNCS, vol. 7793, pp. 146\u2013162. Springer, Heidelberg (2013). doi:10.\u200b1007\/\u200b978-3-642-37057-1_\u200b11 CrossRef\n\n10.\n\nBeyer, D., L\u00f6we, S., Wendler, P.: Benchmarking and resource measurement. In: Fischer, B., Geldenhuys, J. (eds.) SPIN 2015. LNCS, vol. 9232, pp. 160\u2013178. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-23404-5_\u200b12 CrossRef\n\n11.\n\nBr\u00fcckner, I., Dr\u00e4ger, K., Finkbeiner, B., Wehrheim, H.: Slicing abstractions. In: Arbab, F., Sirjani, M. (eds.) FSEN 2007. LNCS, vol. 4767, pp. 17\u201332. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-75698-9_\u200b2 CrossRef\n\n12.\n\nBurch, J., Clarke, E., McMillan, K., Dill, D., Hwang, L.: Symbolic model checking: 1020 states and beyond. Inf. Comput. 98(2), 142\u2013170 (1992)CrossRef90017-A)MATH\n\n13.\n\nCousot, P., Cousot, R.: Abstract interpretation: a unified lattice model for static analysis of programs by construction or approximation of fixpoints. In: POPL, pp. 238\u2013252. ACM, New York (1977)\n\n14.\n\nDr\u00e4ger, K., Kupriyanov, A., Finkbeiner, B., Wehrheim, H.: SLAB: a certifying model checker for infinite-state concurrent systems. In: Esparza, J., Majumdar, R. (eds.) TACAS 2010. LNCS, vol. 6015, pp. 271\u2013274. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-12002-2_\u200b22 CrossRef\n\n15.\n\nD'Silva, V., Kroening, D., Weissenbacher, G.: A survey of automated techniques for formal software verification. TCAD 27(7), 1165\u20131178 (2008)\n\n16.\n\nGhassabani, E., Gacek, A., Whalen, M.W.: Efficient generation of inductive validity cores for safety properties. In: Zimmermann et al. [31], pp. 314\u2013325\n\n17.\n\nGiacobazzi, R., Ranzato, F.: Example-guided abstraction simplification. In: Abramsky, S., Gavoille, C., Kirchner, C., Meyer auf der Heide, F., Spirakis, P.G. (eds.) ICALP 2010. LNCS, vol. 6199, pp. 211\u2013222. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-14162-1_\u200b18 CrossRef\n\n18.\n\nGiacobazzi, R., Ranzato, F.: Correctness kernels of abstract interpretations. Inf. Comput. 237, 187\u2013203 (2014)MathSciNetCrossRefMATH\n\n19.\n\nGraf, S., Saidi, H.: Construction of abstract state graphs with PVS. In: Grumberg, O. (ed.) CAV 1997. LNCS, vol. 1254, pp. 72\u201383. Springer, Heidelberg (1997). doi:10.\u200b1007\/\u200b3-540-63166-6_\u200b10 CrossRef\n\n20.\n\nHenzinger, T.A., Jhala, R., Majumdar, R., Sutre, G.: Lazy abstraction. In: POPL, pp. 58\u201370. ACM, New York (2002)\n\n21.\n\nIvrii, A., Gurfinkel, A., Belov, A.: Small inductive safe invariants. In: Formal Methods in Computer-Aided Design, FMCAD 2014, Lausanne, Switzerland, 21\u201324 October 2014, pp. 115\u2013122. IEEE (2014)\n\n22.\n\nJakobs, M.-C.: Speed up configurable certificate validation by certificate reduction and partitioning. In: Calinescu, R., Rumpe, B. (eds.) SEFM 2015. LNCS, vol. 9276, pp. 159\u2013174. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-22969-0_\u200b12 CrossRef\n\n23.\n\nJhala, R., Majumdar, R.: Software model checking. ACM Comput. Surv. 41(4), 21:1\u201321:54 (2009)CrossRef\n\n24.\n\nNecula, G., Lee, P.: Efficient representation and validation of proofs. In: LICS, pp. 93\u2013104. IEEE (1998).\n\n25.\n\nNecula, G.C.: Proof-carrying code. In: POPL, pp. 106\u2013119. ACM, New York (1997)\n\n26.\n\nNecula, G.C., Rahul, S.P.: Oracle-based checking of untrusted software. In: POPL, pp. 142\u2013154. ACM, New York (2001)\n\n27.\n\nNielson, F., Nielson, H.R., Hankin, C.: Principles of program analysis, 1st edn. Springer, Berlin (2005). (corr. 2. print. edn.)MATH\n\n28.\n\nRose, E.: Lightweight bytecode verification. J. Autom. Reason. 31(3\u20134), 303\u2013334 (2003)CrossRefMATH\n\n29.\n\nSeo, S., Yang, H., Yi, K., Han, T.: Goal-directed weakening of abstract interpretation results. In: TOPLAS, October 2007, vol. 29(6) (2007)\n\n30.\n\nWeiser, M.: Program slicing. In: ICSE, pp. 439\u2013449. IEEE Press, Piscataway (1981)\n\n31.\n\nZimmermann, T., Cleland-Huang, J., Su, Z. (eds.): Proceedings of the 24th ACM SIGSOFT International Symposium on Foundations of Software Engineering, FSE 2016, Seattle, WA, USA, 13\u201318 November 2016. ACM, New York (2016)\n\nFootnotes\n\n1\n\nOur implementation in CPAchecker [8] supports programs written in C.\n\n2\n\nTo get c(bexpr) substitute the variables v occurring in bexpr by c(v) and apply standard integer arithmetic.\n\n3\n\nThe fixpoint exists as we have a finite number of variables  .\n\n4\n\nhttps:\/\/\u200bsvn.\u200bsosy-lab.\u200borg\/\u200bsoftware\/\u200bcpachecker\/\u200btrunk\/\u200b rv 24405.\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_29\n\n# Qualification of a Model Checker for Avionics Software Verification\n\nLucas Wagner1  , Alain Mebsout2  , Cesare Tinelli2  , Darren Cofer1  and Konrad Slind1\n\n(1)\n\nAdvanced Technology Center, Rockwell Collins, Cedar Rapids, USA\n\n(2)\n\nThe University of Iowa, Iowa City, USA\n\nLucas Wagner (Corresponding author)\n\nEmail: lucas.wagner@rockwellcollins.com\n\nAlain Mebsout\n\nEmail: alain-mebsout@uiowa.edu\n\nCesare Tinelli\n\nEmail: cesare-tinelli@uiowa.edu\n\nDarren Cofer\n\nEmail: darren.cofer@rockwellcollins.com\n\nKonrad Slind\n\nEmail: konrad.slind@rockwellcollins.com\n\nAbstract\n\nFormal methods tools have been shown to be effective at finding defects in safety-critical systems, including avionics systems in commercial aircraft. The publication of DO-178C and the accompanying formal methods supplement DO-333 provide guidance for aircraft manufacturers and equipment suppliers who wish to obtain certification credit for the use of formal methods for software development and verification.\n\nHowever, there are still a number of issues that must be addressed before formal methods tools can be injected into the design process for avionics systems. DO-178C requires that a tool used to meet certification objectives be qualified to demonstrate that its output can be trusted. The qualification of formal methods tools is a relatively new concept presenting unique challenges for both formal methods researchers and software developers in the aerospace industry.\n\nThis paper presents the results of a recent project studying the qualification of formal methods tools. We have identified potential obstacles to their qualification and proposed mitigation strategies. We have conducted two case studies based on different qualification approaches for an open source formal verification tool, the Kind 2 model checker. The first case study produced a qualification package for Kind 2. The second demonstrates the feasibility of independently verifying the output of Kind 2 through the generation of proof certificates and verifying these certificates with a qualified proof checker, in lieu of qualifying the model checker itself.\n\nKeywords\n\nQualificationCertificationModel checkingSoftware verification\n\n## 1 Introduction\n\nCivilian aircraft must undergo a rigorous certification process to establish their airworthiness. Certification encompasses the entire aircraft and all of its components, including the airframe, engines, and on-board computing systems. Many of these systems utilize software. Guidance for the certification of airborne software is provided in DO-178C: Software Considerations in Airborne Systems and Equipment Certification [1].\n\nFormal methods tools have been shown to be effective at finding and eliminating defects in safety-critical software [2]. In recognition of this, when DO-178C was published it was accompanied by DO-333: Formal Methods Supplement to DO-178C and DO-278A [3]. This document provides guidance on how to acceptably use formal methods to satisfy DO-178C certification objectives. However, there are a number of issues that must be addressed before formal methods tools can be fully integrated into the development process for aircraft software. For example, most developers of aerospace systems are unfamiliar with which formal methods tools are most appropriate for different problem domains. Different levels of expertise are necessary to use these tools effectively and correctly. Further, evidence must be provided of a formal method's soundness, a concept that is not well understood by most practicing engineers. Similarly, most developers of formal methods tools are unfamiliar with certification requirements and processes.\n\nDO-178C requires that a tool used to meet its objectives must be qualified in accordance with the tool qualification document DO-330: Software Tool Qualification Considerations [4]. The purpose of the tool qualification process is to obtain confidence in the tool functionality. The effort required varies based on the potential impact a tool error could have on system safety. The qualification of formal verification tools poses unique challenges for both tool developers and aerospace software engineers.\n\nPrevious NASA-sponsored work has described in detail how one might use various formal methods tools to satisfy DO-178C certification objectives [5]. This paper presents the results of a subsequent study designed to address the qualification of formal methods tools. The goal of the effort was to interpret the guidance of DO-330 and DO-333 and provide critical feedback to the aerospace and formal methods research communities on potential pitfalls and best practices to ensure formal methods tool users and developers alike can successfully qualify their tools.\n\nWe are aware of several commercial tool vendors who have successfully qualified formal methods tools. For example, Polyspace by MathWorks and Astre\u00e9 by AbsInt both have DO-178C qualification kits available. In the early stages of this project we helped to organize a Dagstuhl Seminar on Qualification of Formal Methods Tools [6] to engage both formal methods researchers and certification experts. The seminar included presentations on qualification work for the Alt-Ergo theorem prover [7], SPARK verification tools [8], and the CompCert compiler [9], as well as experience reports on qualification guidance and efforts in other industries. A good summary of tool qualification requirements in other domains is found in [10].\n\nIn this paper we examine the qualification of a model checker for use in verification of avionics software. The success of model checking is largely due to the fact that it is a highly automated process, generally requiring less expertise than an interactive theorem prover [11]. One clear strength of model checkers is their ability to return precise error traces witnessing the violation of a given safety property. However, most model checkers are currently unable to return any form of corroborating evidence when they declare a safety property to be satisfied. When used to satisfy certification objectives for aircraft software, a model checking tool would therefore need to qualified.\n\nAn alternative is to instrument the model checker so that in addition to its safety claims, it generates a proof certificate, which is an artifact embodying a proof of the claims. Such a certificate can then be validated by a qualified certificate checker. By reducing the trusted core to the certificate checker, this approach facilitates the integration of formal method tools into the development processes for aircraft software. It redirects tool qualification requirements from a complex tool, the model checker, to a much simpler one, the certificate checker.\n\nThe main contribution of this paper is presentation of these two approaches to qualification as applied to the Kind 2 model checker [12]. Section 2 provides a brief overview of the certification guidance for software in commercial aircraft. Section 3 describes the tool qualification process that is used to establish trust in the tools that are used in avionics software development. Sections 4 and 5 describe two case studies that illustrate different approaches to qualification: direct qualification of the Kind 2 model checker and qualification of the certificate checker for a proof-generating enhancement of the model checker. Section 6 provides conclusions and lessons learned from the project. The complete NASA technical report and qualification artifacts are available at [13].\n\n## 2 Aircraft Software and Certification\n\nCertification is defined in DO-178C as legal recognition by the relevant certification authority that a product, service, organization, or person complies with its requirements. In the context of commercial aircraft, the relevant certification authority is the FAA in the U.S. or EASA in Europe. The requirements referred to are the government regulations regarding the airworthiness of aircraft operating in the National Airspace System (NAS). In practice, certification consists primarily of convincing representatives of a government agency that all required steps have been taken to ensure the safety, reliability, and integrity of the aircraft. Certification differs from verification in that it focuses on evidence provided to a third party to demonstrate that the required activities were performed completely and correctly, rather on performance of the activities themselves.\n\nThe stakeholders in the civil aviation domain (regulators, airframers, equipment manufacturers) have developed a collection of guidance documents defining a certification process which has been accepted as the standard means to comply with regulations. The process includes system development, safety assessment, and design assurance. DO-178C focuses on design assurance for software, and is intended to make sure that software components are developed to meet their requirements without any unintended functionality.\n\nDO-178C does not prescribe a specific development process, but instead identifies important activities and design considerations throughout a development process and defines objectives for each of these activities. It identifies five software levels, with each level based on the impact of a software failure on the overall aircraft function. As the software criticality level increases, so does the number of objectives that must be satisfied. Depending on the associated software level, the process can be very rigorous (Level A) or non-existent (Level E). Objectives are summarized in a collection of tables covering each phase of the development process. Figure 1 shows the objectives required for the most critical avionics software, Level A.\n\nFig. 1.\n\nDO-178C certification activities required for Level A software.\n\nOne of the foundational principles of DO-178C is requirements-based testing. This means that the verification activities are centered around explicit demonstration that each requirement has been met. A second principle is complete coverage, both of the requirements and of the code that implements them. This means that every requirement and every line of code must be examined in the verification process. Furthermore, several metrics are defined which specify the degree of structural coverage that must be obtained in the verification process, depending on the criticality of the software being verified. A third principle is traceability among all of the artifacts produced in the development process. Together, these objectives provide evidence that all requirements are correctly implemented and that no unintended function has been introduced.\n\nWhen DO-178C was developed, guidance specific to new software technologies was provided in associated documents called supplements which could add, modify, or replace objectives in the core document. New supplements were developed in the areas of model-based development, object-oriented design, and formal methods, as well as an additional document containing expanded guidance on tool qualification. DO-178C and its associated documents were published in 2011 and accepted by the FAA as a means of compliance with airworthiness regulations in 2013.\n\n## 3 Qualification\n\nGuidance governing tool qualification is provided in Sect. 12.2 of DO-178C. A tool must be qualified if the following two conditions are met:\n\n  1. 1.\n\nAny of the processes of DO-178C are eliminated, reduced, or automated by the use of a software tool, and\n\n  2. 2.\n\nThe output of the tool is used without being verified.\n\nThis means that if a tool is used to identify software defects rather than, for example, demonstrating that source code satisfies its low-level requirements (a DO-178C objective), then qualification is not required. Similarly, if a tool is used to generate test cases, but those test cases will be manually reviewed for correctness, then qualification is not required.\n\nWhen it is determined that tool qualification is required, the purpose of the qualification process is to ensure that the tool provides confidence at least equivalent to the processes that were eliminated, reduced, or automated by the tool.\n\nTool qualification is context-dependent. If a tool previously qualified for use on one system is proposed for use on another system, it must be re-qualified in the context of the new system.\n\nDO-330 outlines a process for demonstrating a tool's suitability for satisfying DO-178C objectives that it is being used to eliminate, reduce, or automate. The qualification process is similar to the software verification process defined in DO-178C. Qualification amounts to accomplishing a set of activities with corresponding objectives to:\n\n  * Identify the DO-178C objectives that the tool is eliminating, reducing, or automating\n\n  * Specify which functions of the tool are being relied upon\n\n  * Create a set of requirements that precisely identify those functions\n\n  * Develop a set of test cases showing that the tool meets those requirements.\n\n### 3.1 Tool Qualification Level\n\nAs in the certification process itself, there are varying levels of rigor associated with tool qualification. The Tool Qualification Level (TQL) is similar to the software level in DO-178C and defines the level of rigor required by the qualification process. TQL-1 is the most rigorous, while TQL-5 is the least rigorous.\n\nThe required TQL is determined by identifying the tool's impact on the software development process. The impact is characterized by determining the impact of a error in the tool. DO-178C provides three criteria to characterize the impact of an error in the tool:\n\nCriterion 1\n\nA tool whose output is part of the airborne software and thus could insert an error.\n\nCriterion 2\n\nA tool that automates verification processes and thus could fail to detect an error, and whose output is used to justify the elimination or reduction of:\n\n  * Verification processes other than those automated by the tool, or\n\n  * Development processes that could have an impact on the airborne software.\n\nCriterion 3\n\nA tool that, within the scope of its intended use, could fail to detect an error.\n\nA code generator in a model-based development process is an example of a Criterion 1 tool. We expect that most formal methods tools will be used as part of the software verification process and will, therefore, fall into Criteria 2 or 3. That is, they will not be used to generate airborne software, but will be used to verify that the airborne software is correct.\n\nThe distinction between Criteria 2 and 3 depends on exactly which processes the tool is eliminating, reducing, or automating. For example, if an abstract interpretation tool determines that division-by-zero cannot occur and this is used to satisfy DO-178C objectives related to the accuracy and consistency of the source code (Objective A-5.6), then the tool is Criterion 3. However, if those results are also used to justify elimination of robustness testing related to division-by-zero in the object code (Objectives A-6.2 and A-6.4), then the tool becomes a Criterion 2 tool. An unofficial rule of thumb is that when a tool addresses objectives from multiple tables of DO-178C (corresponding to different development phases), it is likely a Criterion 2 tool.\n\nThe required TQL is determined by the combination of its impact and the DO-178C software level to which the tool is being applied, as shown in Table 1.\n\nTable 1.\n\nDetermination of tool qualification level.\n\nSoftware level | Criterion\n\n---|---\n\n1 | 2 | 3\n\nA | TQL-1 | TQL-4 | TQL-5\n\nB | TQL-2 | TQL-4 | TQL-5\n\nC | TQL-3 | TQL-5 | TQL-5\n\nD | TQL-4 | TQL-5 | TQL-5\n\nIn summary, formal methods tools used to satisfy verification process objectives of DO-178C will usually need to be qualified at TQL-5. TQL-4 qualification would only be required if the tool is determined to fall into Criterion 2 and it is being used in the verification of Level A or B software.\n\n### 3.2 DO-330 and Tool Qualification Objectives\n\nOnce the TQL is determined, the required tool qualification objectives are defined by DO-330. Like DO-178C, these objectives are summarized in a collection of tables. Table 2 shows the number of objectives to be satisfied in each area for TQL-4 and TQL-5. Note that objectives for a particular TQL are cumulative, so that the TQL-5 objectives are a subset of the TQL-4 objectives.\n\nTable 2.\n\nDO-330 tool qualification objectives.\n\nTable 2 highlights an important distinction between the qualification objectives. The gray rows (qualification objective tables T-1 through T-7) are objectives related to the development processes of the tool itself. The other rows (T-0 and T-8 through T-10) are objectives related only to the use of the tool. Thus there is a clear distinction between the tool developer context and the tool user context. Furthermore, TQL-5 qualification only requires objectives from the tool user context. This means that TQL-5 qualification is significantly simpler than TQL-4 because it does not require information about how the tool was developed. If a tool was built by a third party, TQL-4 qualification may be difficult to achieve. In particular, since many formal methods tools arise from academic research activities, the artifacts required for TQL-4 qualification may not be available.\n\nAnother interesting point is that tool qualification is always performed in the context of a particular aircraft development effort. This means that certain tool functions may not be utilized or addressed in a qualification. For example, qualification of a model checker may only need to cover variables of primitive data types while ignoring composite types such as arrays, records, and tuple types, if those are not relevant for the given application.\n\nOnce the proper TQL is determined and the objectives have been identified, qualification is simply a matter of demonstrating that each objective is satisfied. For a TQL-5 qualification, the bulk of this effort is associated with DO-330 Table T-0, Tool Operational Processes, and involves defining and verifying Tool Operational Requirements which describe tool capabilities necessary to satisfy the claimed certification objectives.\n\n## 4 Case Study: Kind 2 Model Checker\n\nThe first case study describes the activities and artifacts necessary to complete a TQL-5 qualification of the Kind 2 model checker based on the guidance in DO-330. Our goal is to provide a concrete example that illustrates the qualification process for a typical formal methods tool and could be used as a pattern by others. We also identify challenges or lessons learned in the process. The qualification package is available as part of the NASA final report for the project.\n\nKind 2 [14] is an open-source, multi-engine, SMT-based automatic model checker for safety properties of programs written in the synchronous dataflow language Lustre [15]. It takes as input a Lustre file annotated with properties to be proved, and outputs for each property either a confirmation or a counterexample, a sequence of inputs that falsifies the property.\n\nThis case study is based on earlier work [5] in which various formal methods were used to satisfy DO-178C and DO-333 objectives for verification of a representative Flight Guidance System (FGS). In one of the examples, the Kind 2 model checker was used to verify that a model of the FGS mode logic satisfies its high-level requirements. This qualification case study extends that work by performing the activities needed to qualify Kind 2 for accomplishing the certification objectives described in the earlier work.\n\nFig. 2.\n\nVerification using qualified Kind 2 model checker.\n\nIn this example, the mode logic was expressed as a state machine model in Simulink Stateflow, and serves as low-level requirements for the source code that will be generated from it. A Rockwell Collins tool was used to translate this model into Lustre for analysis by the Kind 2 model checker. Textual high-level requirements for the model logic were manually translated to Lustre and merged with the mode logic Lustre model. The overall tool chain is shown in Fig. 2. This case study is limited to qualification of the model checker and ignores (for now) the model translation tools.\n\n### 4.1 Need for Tool Qualification\n\nIn this case study Kind 2 is being used to automate processes that satisfy the objectives of Verification of Outputs of Software Design Process (DO-178C Table A-4). This includes, for example:\n\n  * A-4.1 Low-level requirements comply with high-level requirements.\n\n  * A-4.2 Low-level requirements are accurate and consistent.\n\n  * A-4.7 Algorithms are accurate.\n\nFurthermore, the outputs of Kind 2 will not be independently verified. This establishes the need for qualification.\n\nThe required TQL is established by determining the impact of Kind 2 on the software development process. In this context the tool:\n\n  * Cannot insert an error into the airborne software.\n\n  * Could fail to detect an error in the airborne software.\n\n  * Is not used to justify the elimination or reduction of other verification processes or development processes that could have an impact on the airborne software.\n\nTherefore, Criterion 3 applies so Kind 2 should be qualified to TQL-5.\n\n### 4.2 Tool Qualification Objectives\n\nThe work performed to satisfy TQL-5 qualification objectives is summarized below:\n\nT-0.1. Tool qualification need is established. (Rationale for tool qualification and determination of the required TQL is described in Sect. 4.1.)\n\nT-0.2. Tool Operational Requirements are defined. Definition of the Tool Operational Requirements (TOR) and their verification in objective T-0.5 are the key qualification activities. The Tool Operational Requirements identify how the tool is to be used within the software life cycle process. This objective requires the identification of the tool usage context, tool interfaces, the tool operational environment, tool inputs and outputs, tool operational requirements, and the operational use of the tool. The focus here is on the tool performance from the perspective of the tool user and what capabilities the tool provides in the software development process.\n\nWe have specified 111 TORs that must be verified for Kind 2. These requirements cover:\n\n  * The features of the Lustre language used by Kind 2 in this context\n\n  * Input validation features\n\n  * Properties that must be correctly analyzed as true or false.\n\nSince the requirements will be verified by testing performed on Kind 2, they cover a finite subset of the Lustre grammar. Conservative bounds on the length of inputs are established and validated.\n\nT-0.3. Tool Executable Object Code is installed in the tool operational environment. Identification of the specific versions of the tool and its dependencies, instructions of how to install the tool, and a record of actually installing the tool are required to meet this objective. Qualification was based on Kind 2 version 1.0.1 and the Z3 SMT solver [16] (version 4.4.2).\n\nT-0.5. Tool operation complies with the Tool Operational Requirements. This objective demonstrates that the tool complies with its TORs. This objective is covered in three parts. First, the review and analysis procedures used to verify the TORs are defined. Secondly, we identify a set of tests, referred to as the Tool Operational Test Cases and Procedures, that when executed, demonstrate that Kind 2 meets its TORs. Finally, the results of actually executing the test procedures within the Tool Operational Environment must be collected.\n\nT-0.6. Tool Operational Requirements are sufficient and correct. This objective is satisfied by ensuring that the TORs adequately address the tool usage context, the tool operational environment, the input accepted by the tool, the output produced by the tool, required tool functions, applicable tool user information, and the performance requirements for the tool.\n\nT-0.7. Software life cycle process needs are met by the tool. This objective is satisfied by the review, analysis, and testing results used to satisfy the TORs.\n\nOther Objectives (T-8, T-9, T-10). Tool configuration management, quality assurance, and qualification liaison process. Most of the data required by these objectives are highly dependent on the context and the processes of the applicant organization and can only be meaningfully defined for an actual software development and tool qualification effort.\n\n### 4.3 Results\n\nThe purpose of this qualification package was to provide a complete case study containing a detailed set of tool operational requirements and test procedures. It is anticipated that this qualification package contains all of the necessary information such that it could be used within an avionics certification effort. No barriers were found that would prevent qualification of Kind 2.\n\nOne interesting result from the Tool Qualification Liason process is T-10.4 Impact of Known Problems on TORs. During verification of the TORs, some errors were identified. These have either been corrected or will be corrected in the near future. However, such errors do not preclude use of the tool in certification activities, as long as the impact and functional limitations on tool use are identified.\n\nThe qualification package and results were reviewed by certification experts at Rockwell Collins and determined to meet the requirements of DO-330. Successfully using it would require an applicant to provide detailed information to support the tool qualification objectives from Table T-8, T-9, and T-10, which are specific to an organization's configuration management, quality assurance, and certification practices respectively. We expect that it could be used as the starting point for tool qualification in an actual avionics software development effort or as a pattern for qualification of another tool.\n\n## 5 Case Study: Proof-Generating Model Checker\n\nThe second qualification case study is based on a proof-generating version of the Kind 2 model checker that is supported by a separate proof checker [14]. In this approach, the proof checker verifies the output of the model checker. This removes the need to qualify a complex tool (the model checker) and instead requires qualification of a much simpler one (the proof checker). By reducing the trusted core to the proof checker, we may be able to reduce the qualification effort required and enhance the overall assurance.\n\nThis case study is based on the same software development context as the first, and involves using the model checker to satisfy the same certification objectives for verifying the FGS mode logic. The qualification package developed for the proof checker tool is available as part of the project final report.\n\n### 5.1 Development of a Proof-Generating Version of Kind 2\n\nFor this effort we have used the SMT solver CVC4 [17] with Kind 2. CVC4 is a solver for first-order propositional logic modulo a set of background theories such as integer or real linear arithmetic. Our work relies heavily on the proof production capabilities of CVC4. A unique aspect of CVC4 proofs is that they are fine grained. This means they are very detailed and checking them is only a matter of carefully following and replaying the steps in the proof certificate. In contrast, proofs produced by other solvers require the final proof checker to perform substantial reasoning to reconstruct missing steps.\n\nThe proof checker which was qualified in this case study, named Check-It, is an instantiation of the Logical Framework with Side Conditions (LFSC) proof checker [18]. The resulting tool architecture is shown in Fig. 3, which includes both the unqualified Kind 2 model checker and the qualified Check-it proof checker.\n\nFig. 3.\n\nVerification using Kind 2 and a qualified proof checker.\n\nKind 2 is used to generate two separate proof certificates:\n\n  * A proof certificate (PC) for safety properties of the transition system corresponding to Lustre model being verified.\n\n  * A front-end certificate (FEC) that provides evidence that two independent tools have accepted the same Lustre input model and produced the same first order logic (FOL) internal representation.\n\nThe PC summarizes the work of the different analysis engines used in Kind 2. This includes bounded model checking (BMC), k-induction, IC3, as well as additional invariant generation strategies. In practice it takes the form of a k-inductive strengthening of the properties.\n\nThis intermediate certificate is checked by CVC4, from which we extract proofs to reconstruct safety arguments using the rules of k-induction. Proofs are produced in the language of LFSC.\n\nTo make the whole process efficient and scalable, certificates are first minimized before being checked. An iterative process takes care of this phase by efficiently lowering the bound k and removing any superfluous information contained within the certificate.\n\nThe FEC is necessary to ensure that the proof in the PC is actually about the input model provided. Without this step, it is possible that the (unqualified) model checker could produce a valid PC that is unrelated to the input model. The FEC is generated in the form of observational equivalence between two internal representations generated by independently developed front ends. In our case, the two front ends are Kind 2 itself and JKind, a Lustre model checker inspired by Kind but independently developed by Rockwell Collins [19]. Observational equivalence between the two FOL representations is recast as an invariant property. Checking that property yields a second proof certificate from which a global notion of safety can be derived and incorporated in the LFSC proof.\n\nThe trusted core of this approach consists of:\n\n  * The LFSC checker (5300 lines of C++ code).\n\n  * The LFSC signatures comprising the overall proof system in LFSC, for a total of 444 lines of LFSC code.\n\n  * The assumption that Kind 2 and JKind do not have identical defects that could escape the observational equivalence check. We consider this reasonable since the tools were produced by different development teams using different programming languages.\n\n### 5.2 Qualification of Check-It\n\nThe approach of using a qualified tool to check the results of an unqualified tool is not unprecedented. FAQ D.7 of DO-330 provides guidance for exactly this \"two tool\" approach. Recall that qualification of a tool is necessary when it is used to eliminate, reduce, or automate DO-178C processes and when the outputs of the tool are not verified. Kind 2 and Check-It are used to satisfy the same objectives for the FGS mode logic as described in Sect. 4. The outputs of the Kind 2 analysis, a set of proof certificates, are verified using the Check-It proof checking tool. According to the guidance in DO-330 FAQ D.7, this process is acceptable if the Check-It tool is qualified.\n\nDetermination of required TQL is the same as in Sect. 4. Check-it is used only to verify proof certificates produced by Kind 2 and so it is a Criterion 3 tool. Therefore, Check-It must be qualified at TQL-5.\n\nThe qualification objectives for Check-It were the same as for Kind 2, so we only address the differences here. Since Check-It is simpler than Kind 2, defining its TORs was comparatively straightforward. Inputs to the tool are proof certificates (PC and FEC) that are composed of proof rules defined in six signature files. We have specified 82 TORs that must be verified for Check-It.\n\nObjectives for verification of tool operation were accomplished by a combination of peer review and testing. Test cases cover presence and validity of certificates, compatibility with certificates produced by Kind 2, performance requirements, and proof rule acceptance. Peer review of the proof rules in the signatures files used by Check-It was conducted to identify any potential trust issues. Results from this review were used to identify additional test cases (for example, to preclude the acceptance of unsound rules).\n\nDO-330, FAQ D.7 provides additional information on the use of a qualified tool (Check-It) to check the results of an unqualified tool (Kind 2). This FAQ identifies factors that should be considered to prevent the possibility of errors in both the unqualified tool and the qualified tool. The primary concern is to identify the interaction between tools in the case of various failures in the unqualified tool (for example, if Kind 2 fails to produce a PC or a FEC, or if either is found to be incorrect by Check-It).\n\nThe FAQ also identifies four additional concerns that apply in this situation, and which have been addressed in the qualficiation package:\n\n  * Coverage of verification objectives for the unqualified tool's output\n\n  * Operating conditions of the qualified tool\n\n  * Common cause avoidance\n\n  * Protection between tools\n\n### 5.3 Results\n\nTo summarize, we found nothing about the \"two tool\" proof-checking approach that would prevent successful tool qualification. Checking the PC validates the Kind 2 analysis and checking the FEC provides an argument that the emitted PC corresponds to the original Lustre file. If Kind 2 produces incorrect, malformed, or missing certificates Check-It highlights the error. The tools use dissimilar technical approaches, one performing model checking and the other proof checking, minimizing the chance for any common cause failure. The TORs for Check-It were much simpler to define and verify than for Kind 2. However, the proof checking approach was more challenging to explain to certification experts and, consequently, would be inherently riskier to implement. We estimate the overall effort of this approach to be about 75% of the effort required to qualify Kind 2 itself. An added benefit, however, is that the qualified proof checker could be reused with future improved versions of Kind 2 (provided the proof format remains the same), or even with other model checkers which would produce certificates in the same format.\n\n## 6 Conclusions\n\nIn this paper we have explored the qualification of formal methods tools within the context of avionics certification. This effort produced useful examples and artifacts for two qualification case studies, and also provided insight into the qualification process for formal methods tools that should be useful to software developers, tool developers, tool users, and certification experts. Combined with the prior work on Formal Methods Case Studies for DO-333, it provides a comprehensive set of case studies for using and qualifying formal method tools for avionics software development.\n\nThe work reveals that qualification at TQL-5 can be a straightforward task. The guidance of DO-330 does not require any activities that are especially difficult or costly for qualification of a model checker. However, the guidance does suggest that tools from the research community may be difficult to qualify at TQL-4 due to the requirements for tool development artifacts including tool requirements, test cases, tool design, and architectural descriptions. Formal methods tool developers who desire to have their tools used in the avionics industry should keep this in mind.\n\nIn addition, this work highlights the need for good software engineering practices for formal methods tools used in certification. The relatively high complexity of internal translations, optimizations, and analysis algorithms increases the likelihood that defects will be identified. Bug tracking facilities are absolutely essential for users to understand a tool's limitations.\n\nLastly, we developed a proof-generating enhancement of the Kind 2 model checker, and explored the impact of this capability on tool qualification. We produced qualification packages for both Kind 2 and for the proof checker for certificates generated by Kind 2. We determined that the \"two tool\" proof checker approach was viable from a qualification standpoint and provides increased assurance. However, it was not dramatically easier or less costly to qualify and was definitely more difficult to explain and justify to certification experts.\n\nBased purely on cost and perceived risk, we expect that TQL-5 qualfication of a model checker would be the approach preferred by most avionics software developers. The qualified proof checker approach provides significant advantages in terms of greater assurance and modularity, which may be attractive for developers interested in \"future-proofing\" their verification process. By keeping the model checker separate and free from the need for qualification, improved features and functionality can be more easily incorporated without impacting the qualified (and therefore less flexible) proof checker.\n\nAcknowledgments\n\nThis work was funded by NASA contract NNL14AA06C.\n\nReferences\n\n1.\n\nRTCA DO-178C: Software considerations in airborne systems and equipment certification, Washington, DC (2011)\n\n2.\n\nWoodcock, J., Larsen, P.G., Bicarregui, J., Fitzgerald, J.S.: Formal methods: practice and experience. ACM Comput. Surv. 41, 19 (2009)CrossRef\n\n3.\n\nRTCA DO-333: Formal methods supplement to DO-178C and DO-278A, Washington, DC (2011)\n\n4.\n\nRTCA DO-330: Software tool qualification considerations, Washington, DC (2011)\n\n5.\n\nCofer, D., Miller, S.: DO-333 certification case studies. In: Badger, J.M., Rozier, K.Y. (eds.) NFM 2014. LNCS, vol. 8430, pp. 1\u201315. Springer, Cham (2014). doi:10.\u200b1007\/\u200b978-3-319-06200-6_\u200b1 CrossRef\n\n6.\n\nCofer, D., Klein, G., Slind, K., Wiels, V.: Qualification of formal methods tools (Dagstuhl seminar 15182). Dagstuhl Rep. 5, 142\u2013159 (2015)\n\n7.\n\nOCamlPro: Alt-ergo (2013). https:\/\/\u200balt-ergo.\u200bocamlpro.\u200bcom\/\u200b\n\n8.\n\nAdaCore: SPARK Pro (2014). http:\/\/\u200bwww.\u200badacore.\u200bcom\/\u200bsparkpro\/\u200b\n\n9.\n\nLeroy, X.: A formally verified compiler back-end. J. Autom. Reason. 43, 363\u2013446 (2009)MathSciNetCrossRefMATH\n\n10.\n\nCamus, J.L., DeWalt, M.P., Pothon, F., Ladier, G., Boulanger, J.L., Blanquart, J.P., Quere, P., Ricque, B., Gassino, J.: Tool qualification in multiple domains: status and perspectives. In: Embedded Real Time Software and Systems, Toulouse, France, 5\u20137 February, vol. 7991. Springer (2014)\n\n11.\n\nMiller, S.P., Whalen, M.W., Cofer, D.D.: Software model checking takes off. Commun. ACM 53, 58\u201364 (2010)CrossRef\n\n12.\n\nChampion, A., Mebsout, A., Sticksel, C., Tinelli, C.: The Kind 2 model checker. In: Chaudhuri, S., Farzan, A. (eds.) CAV 2016. LNCS, vol. 9780, pp. 510\u2013517. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-41540-6_\u200b29\n\n13.\n\nNASA: Qualification of Formal Methods Tools Under DO-330 (2017). https:\/\/\u200bshemesh.\u200blarc.\u200bnasa.\u200bgov\/\u200bfm\/\u200bFMinCert\/\u200bDO-330-case-studies-RC.\u200bhtml\n\n14.\n\nMebsout, A., Tinelli, C.: Proof certificates for SMT-based model checkers for infinite-state systems. In: FMCAD, Mountain View, California, USA, October 2016. http:\/\/\u200bcs.\u200buiowa.\u200bedu\/\u200b~amebsout\/\u200bpapers\/\u200bfmcad2016.\u200bpdf\n\n15.\n\nHalbwachs, N., Caspi, P., Raymond, P., Pilaud, D.: The synchronous dataflow programming language LUSTRE. In: Proceedings of the IEEE, pp. 1305\u20131320 (1991)\n\n16.\n\nde Moura, L., Bj\u00f8rner, N.: Z3: an efficient SMT solver. In: Ramakrishnan, C.R., Rehof, J. (eds.) TACAS 2008. LNCS, vol. 4963, pp. 337\u2013340. Springer, Heidelberg (2008). doi:10.\u200b1007\/\u200b978-3-540-78800-3_\u200b24 CrossRef\n\n17.\n\nBarrett, C., Conway, C.L., Deters, M., Hadarean, L., Jovanovi\u0107, D., King, T., Reynolds, A., Tinelli, C.: CVC4. In: Gopalakrishnan, G., Qadeer, S. (eds.) CAV 2011. LNCS, vol. 6806, pp. 171\u2013177. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-22110-1_\u200b14 CrossRef\n\n18.\n\nStump, A., Oe, D., Reynolds, A., Hadarean, L., Tinelli, C.: SMT proof checking using a logical framework. Form. Methods Syst. Des. 41, 91\u2013118 (2013)CrossRefMATH\n\n19.\n\nGacek, A.: JKind - a Java implementation of the KIND model checker (2014). https:\/\/\u200bgithub.\u200bcom\/\u200bagacek\/\u200bjkind\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_30\n\n# SpeAR v2.0: Formalized Past LTL Specification and Analysis of Requirements\n\nAaron W. Fifarek1  , Lucas G. Wagner2  , Jonathan A. Hoffman3  , Benjamin D. Rodes4  , M. Anthony Aiello4  and Jennifer A. Davis2\n\n(1)\n\nLinQuest Corporation, Dayton, USA\n\n(2)\n\nRockwell Collins, Cedar Rapids, USA\n\n(3)\n\nAir Force Research Laboratory, Wright-Patterson AFB, USA\n\n(4)\n\nDependable Computing, Charlottesville, USA\n\nAaron W. Fifarek (Corresponding author)\n\nEmail: aaron.fifarek@linquest.com\n\nLucas G. Wagner\n\nEmail: lucas.wagner@rockwellcollins.com\n\nJonathan A. Hoffman\n\nEmail: jonathan.hoffman.2@us.af.mil\n\nBenjamin D. Rodes\n\nEmail: ben.rodes@dependablecomputing.com\n\nM. Anthony Aiello\n\nEmail: tony.aiello@dependablecomputing.com\n\nJennifer A. Davis\n\nEmail: jen.davis@rockwellcollins.com\n\nAbstract\n\nThis paper describes current progress on SpeAR, a novel tool for capturing and analyzing requirements in a domain specific language designed to read like natural language. Using SpeAR, systems engineers capture requirements, environmental assumptions, and critical system properties using the formal semantics of Past LTL. SpeAR analyzes requirements for logical consistency and uses model checking to prove that assumptions and requirements entail stated properties. These analyses build confidence in the correctness of the formally captured requirements.\n\nApproved for Public Release; Distribution Unlimited (Case Number: 88ABW-2016-6046).\n\n## 1 Introduction\n\nThis paper presents SpeAR (Specification and Analysis of Requirements) v2.0 [1], an open-source tool for capturing and analyzing requirements stated in a language that is formal, yet designed to read like natural language.\n\nRequirements capture and analysis is a challenging problem for complex systems and yet is fundamental to ensuring development success. Traditionally, requirements suffer from unavoidable ambiguity that arises from reliance on natural language. Formal methods mitigates this ambiguity through mathematical representation of desired behaviors and enables analysis and proofs of properties.\n\nSpeAR allows systems engineers to capture requirements in a language with the formal semantics of Past Linear Temporal Logic (Past LTL) [3] and supports proofs of critical properties about requirements using model checking [2]. Moreover, the SpeAR user interface performs validations, including type-checking, that provide systems engineers with real-time feedback on the well-formedness of requirements. Initial feedback from systems engineers has been positive, emphasizing the readability of the language. Additionally, our use of SpeAR on early case studies has identified errors and omissions in captured requirements.\n\n## 2 Related Work\n\nPrevious work has investigated the role of formal methods in requirements engineering. Parnas laid the foundation for constraint based requirements with the four variable model: monitored inputs, controlled outputs, and their software representation as inputs and outputs [11]. The Software Cost Reduction (SCR) method builds upon the four variable model using a tabular representation of requirements and constraints [10]. SCR provides tool support for formal analysis, including a consistency checker and model checker. SpeAR also builds upon the four-variable model but expresses requirements in a language that is designed to read like natural language instead of a tabular representation. In contrast to tools like ARSENAL [8] that provide formal analysis of natural language requirements, engineers use SpeAR to capture requirements directly in a formal language, avoiding the introduction of potential ambiguity.\n\nPrevious versions of SpeAR [5] used pre-defined specification patterns [4] that were found to be too rigid in practice. SpeAR v2.0 introduces a language providing the formal semantics of Past LTL that is more flexible, allowing users to capture requirements directly, rather than choosing from pre-defined patterns.\n\n## 3 Formal Requirements Capture\n\nSpeAR captures requirements in a formal language that not only provides the semantics of Past LTL, but is also designed to read like natural language. Previous versions of SpeAR required explicit scoping for temporal operators, using an awkward syntax, for example:\n\n> while signal > threshold : : always output == ON;\n\nSpeAR v2.0 eliminates this syntax and provides English alternatives for most operators, such as equal to, greater than, less than or equal to, implies, and not. Additionally, SpeAR provides aliases for many operators so that systems engineers can more naturally express their requirements. With these English alternatives, the previous example can be written as:\n\n> if signal greater than threshold then output equal to ON\n\nThis syntax is much closer to natural language.\n\nWe motivate further discussion of the SpeAR language by describing partial requirements for the thermostat of a simple heating system. As seen in Fig. 1a, the thermostat is represented by a three-state automaton describing reactions to changes in the ambient temperature.\n\n### 3.1 SpeAR File Stucture\n\nSpeAR promotes grouping requirements according to system components enabling modularity and reuse. Requirements are captured in files laid out in a common structure. Partial requirements for the thermostat, a component of the heating system, are shown in Fig. 1b.\n\nFig. 1.\n\n(a) Simple heating system with associated (b) partial thermostat SpeAR file\n\nInputs, Outputs, State: Inputs represent monitored or observed data from the environment, as well as inputs from other components. Outputs represent data to the environment, as well as outputs to other components. State represents data that is not visible to the environment or to other components. For example, the thermostat monitors the ambient and target temperatures for a room (inputs), controls the heater by sending a signal that turns it on or off (outputs), and has a counter that tracks heating duration (state).\n\nAssumptions: Assumptions identify necessary constraints on inputs from the environment and from other components. For example, the thermostat assumes that the ambient temperature rises when the heater is on (a0). This constraint is an assumption: the thermostat cannot directly control the ambient temperature.\n\nRequirements: Requirements identify constraints that the component must guarantee through its implementation. For example, the thermostat will send a signal to turn the heater on when the ambient temperature is lower than the target temperature (r0).\n\nProperties: Properties represent constraints that the system should satisfy when operating in its intended environment. Properties can be used to validate that the requirements define the correct component behavior or to prove that certain undesirable conditions never arise. For example, the heater is only on when the ambient temperature is below the target temperature (p_heat).\n\n### 3.2 SpeAR Formal Semantics\n\nThe formal semantics of SpeAR is as expressive as Lustre [9] and is based upon Past LTL [3] but omits future looking operators. We define this subset as Past-Only LTL, which allows users to express temporal behaviors that begin in the past, with arbitrarily long but finite history, and end at the current step (i.e., transition). Supported temporal operators in SpeAR are shown in Table 1, where   and   are propositions\u2014unlike Past LTL, SpeAR provides support for a general previous operator that can be used on all legal types in the model, not just boolean types. In addition to temporal operators, SpeAR provides basic arithmetic, logical, and relational operators.\n\nTable 1.\n\nPast time temporal expressions with SpeAR equivalences\n\nSpeAR | Past LTL\n\n---|---\n\nPrevious   with initial value false | Y\n\nPrevious   with initial value true | Z\n\nHistorically   | H\n\nOnce   | O\n\n  since   |   S\n\n  triggers   |   T\n\n## 4 Analysis\n\nIn addition to capturing requirements formally, SpeAR provides an analysis platform. SpeAR performs type checking, dimensional analysis of unit computations, and other well-formedness checks on the requirements in real-time. Once requirements have passed these checks, the user can analyze the requirements for logical entailment and logical consistency.\n\n### 4.1 Logical Entailment\n\nSpeAR enables systems engineers to prove that stated properties are consequences of captured assumptions and requirements. This capability provides early insight into the correctness and completeness of captured requirements.\n\nFormally, SpeAR proves that the conjunction of the Assumptions (A) and Requirements (R) entails each Property (P) as shown in Eq. (1).\n\n(1)\n\nSpeAR proves entailment by (1) translating SpeAR files to an equivalent Lustre model and (2) analyzing the Lustre model using infinite-state model checking. SpeAR presents a counterexample if the requirements do not satisfy a property.\n\nIn the thermostat example seen in Fig. 1b, there are four properties: p_heat, p_off, p_error, and p_elatch. Two properties describe the nominal behavior of the system: (1) p_heat asserts the heater is on if the ambient temperature is less than the target temperature, (2) p_off asserts the heater is off if the ambient temperature is greater than or equal to the target temperature. Two properties describe the error behavior of the system: (1) p_error asserts the system is in the error state if a timeout occurs, (2) p_elatch asserts that after the system enters the error state it remains in that state.\n\nLogical entailment allows systems engineers to prove the captured requirements and assumptions satisfy all of the stated properties.\n\n### 4.2 Logical Consistency\n\nLogical entailment is only valid if the captured requirements and assumptions are not conflicting. When there is a conflict among requirements or assumptions, the logical conjunction of the constraints is false, and thus the logical implication described in Eq. (1) is a vacuous proof (i.e.,  ).\n\nCurrently, SpeAR provides partial analysis to detect logical inconsistency. Logical inconsistency can exist for all steps and inputs, for example when two constraints are always in conflict. Logical inconsistency may also occur only during certain steps or as a result of certain inputs.\n\nSpeAR analyzes requirements for logical inconsistency that is provable within the first N steps, for some user-selected N. This is accomplished by (1) translating SpeAR files to an equivalent Lustre model and (2) searching for a counterexample to the assertion that the conjunction of the assumptions and requirements cannot be true for N consecutive steps, beginning at the initial state, as shown in Eq. (2). Since we use counterexample generation to check consistency, we need a minimum step count to prevent the model checker from merely confirming that the requirements are consistent on the first timestep (a 1-step counterexample).\n\n(2)\n\nIf the requirements are proven inconsistent for the first N steps, SpeAR alerts the user to the inconsistency and identifies the set of constraints in conflict. If, however, a counterexample is found to Eq. (2), SpeAR declares the requirements to be consistent even if the constraints are inconsistent at step   or for some other set of inputs. This result may mislead the systems engineer to conclude that the requirements are consistent when in fact they are inconsistent. Future versions of SpeAR will address this issue by implementing the stronger concept of realizability [6]\u2014a proof that all requirements and assumptions are consistent for all steps and combinations of inputs that satisfy the assumptions.\n\n## 5 Conclusion and Future Work\n\nSpeAR is a tool for capturing and analyzing formal requirements in a language that provides the formal semantics of Past LTL and is also designed to read like natural language. In addition to type checking and real-time validation of well-formedness, SpeAR provides two analyses that depend upon model checking: logical entailment and logical consistency. Logical entailment proves that specified properties, which define desired behaviors of the system, are consequences of the set of captured assumptions and requirements. Logical consistency aims to identify conflicting assumptions and requirements.\n\nSystems engineers familiar with, but not experts at, formal methods provided positive initial feedback: SpeAR is more readable than typical formal languages and is worth the effort of learning. Additionally, applying SpeAR to requirements for a stateful protocol revealed a set of unreachable states; a decision was based on a variable whose value was overwritten on the current step. This error represented an incomplete understanding of the requirement that would have been difficult to identify through testing or inspection. After all contributing errors were found and fixed, SpeAR was used to prove that all states were reachable.\n\nWhile this paper presents current progress on SpeAR v2.0, development and improvement is ongoing. We will expand logical consistency analysis to include realizability, allowing users to prove that the requirements are consistent for all steps and inputs. We will incorporate recent work in inductive validity cores [7] to provide logical traceability analysis, allowing users to identify which requirements and assumptions are used to prove each property\u2014unused requirements and assumptions should be deleted as they overconstrain the system.\n\nWe are continuing to refine SpeAR and assess its utility by applying it to the development of unmanned autonomous systems and other research efforts. These results will be presented in future publications.\n\nReferences\n\n1.\n\nhttps:\/\/\u200bgithub.\u200bcom\/\u200blgwagner\/\u200bSpeAR\n\n2.\n\nBaier, C., Katoen, J.P., Larsen, K.G.: Principles of Model Checking. MIT Press, Cambridge (2008)MATH\n\n3.\n\nCimatti, A., Roveri, M., Sheridan, D.: Bounded verification of past LTL. In: Hu, A.J., Martin, A.K. (eds.) FMCAD 2004. LNCS, vol. 3312, pp. 245\u2013259. Springer, Heidelberg (2004). doi:10.\u200b1007\/\u200b978-3-540-30494-4_\u200b18 CrossRef\n\n4.\n\nDwyer, M.B., Avrunin, G.S., Corbett, J.C.: Property specification patterns for finite-state verification. In: FMSP 1998 Proceedings of the Second Workshop on Formal Methods in Software Practice, pp. 7\u201315. ACM, New York (1998)\n\n5.\n\nFifarek, A.W., Wagner, L.G.: Formal requirements of a simple turbofan using the SpeAR framework. In: 22nd International Symposium on Air Breathing Engines. International Society on Air Breathing Engines, University of Cincinnati (2015)\n\n6.\n\nGacek, A., Katis, A., Whalen, M.W., Backes, J., Cofer, D.: Towards realizability checking of contracts using theories. In: Havelund, K., Holzmann, G., Joshi, R. (eds.) NFM 2015. LNCS, vol. 9058, pp. 173\u2013187. Springer, Cham (2015). doi:10.\u200b1007\/\u200b978-3-319-17524-9_\u200b13\n\n7.\n\nGhassabani, E., Gacek, A., Whalen, M.W.: Efficient generation of inductive validity cores for safety properties. arXiv e-prints, March 2016\n\n8.\n\nGhosh, S., Elenius, D., Li, W., Lincoln, P., Shankar, N., Steiner, W.: ARSENAL: automatic requirements specification extraction from natural language. In: Rayadurgam, S., Tkachuk, O. (eds.) NFM 2016. LNCS, vol. 9690, pp. 41\u201346. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-40648-0_\u200b4 CrossRef\n\n9.\n\nHalbwachs, N., Caspi, P., Raymond, P., Pilaud, D.: The synchronous data flow programming language LUSTRE. Proc. IEEE 79(9), 1305\u20131320 (1991)CrossRef\n\n10.\n\nHeitmeyer, C., Archer, M., Bharadwaj, R., Jeffords, R.: Tools for constructing requirements specification: the SCR toolset at the age of ten. Int. J. Comput. Syst. Sci. Eng. 20(1), 19\u201353 (2005)\n\n11.\n\nParnas, D.L., Madey, J.: Functional documents for computer systems. Sci. Comput. Program. 25, 41\u201361 (1995)CrossRef96871-J)\n\u00a9 Springer International Publishing AG 2017\n\nClark Barrett, Misty Davies and Temesghen Kahsai (eds.)NASA Formal MethodsLecture Notes in Computer Science1022710.1007\/978-3-319-57288-8_31\n\n# Just Formal Enough? Automated Analysis of EARS Requirements\n\nLevi L\u00facio1  , Salman Rahman1  , Chih-Hong Cheng1  and Alistair Mavin2\n\n(1)\n\nfortiss GmbH, Guerickestra\u00dfe 25, 80805 M\u00fcnchen, Germany\n\n(2)\n\nRolls-Royce, PO Box 31, Derby, UK\n\nLevi L\u00facio (Corresponding author)\n\nEmail: lucio@fortiss.org\n\nSalman Rahman\n\nEmail: salman.rahman@tum.de\n\nChih-Hong Cheng\n\nEmail: cheng@fortiss.org\n\nAlistair Mavin\n\nEmail: alistair.mavin@rolls-royce.com\n\nAbstract\n\nEARS is a technique used by Rolls-Royce and many other organizations around the world to capture requirements in natural language in a precise manner. In this paper we describe the EARS-CTRL tool for writing and analyzing EARS requirements for controllers. We provide two levels of analysis of requirements written in EARS-CTRL: firstly our editor uses projectional editing as well as typing (based on a glossary of controller terms) to ensure as far as possible well-formedness by construction of the requirements; secondly we have used a controller synthesis tool to check whether a set of EARS-CTRL requirements is realizable as an actual controller. In the positive case, the tool synthesizes and displays the controller as a synchronous dataflow diagram. This information can be used to examine the specified behavior and to iteratively correct, improve or complete a set of EARS-CTRL requirements.\n\n## 1 Introduction\n\nWhen writing requirements for software systems in natural language problems such as ambiguity, vagueness, omission and duplication are common [17]. This is due to the large gap between natural language and the languages in which code is expressed. Natural language requirements describe a wide range of concepts of the real, abstract and imaginary worlds. By contrast, programming languages are used to describe precise sequences of operations inside a machine. Natural language can be partial, ambiguous and subjective, whilst code can typically be none of those things.\n\nEARS (Easy Approach to Requirements Syntax) is an approach created at Rolls-Royce to capture requirements in natural language [17]. EARS is based on practical experience, but has been shown to scale effectively to large sets of requirements in diverse domains [15, 16]. Application of the approach generates requirements in a small number of patterns. EARS has been shown to reduce or even eliminate many problems inherent in natural language requirements [17]. In spite of its industrial success, we are not aware of any published material describing tool support for EARS. The method is primarily aimed at the early stages of system construction, as a means of providing clear guidance to requirements engineers when using natural language to describe system behavior. Automating the writing and analysis of EARS requirements has not been attempted thus far. It is however reasonable to expect that, due to the semi-formal nature of the EARS patterns, automated analysis of EARS specifications can be implemented to improve software development methodologies already in place at Rolls-Royce and elsewhere.\n\nIn this paper we will describe our initial work in the direction of automating the analysis of EARS requirements. As domain of application, we have chosen to focus on the construction of controller software. In particular, the EARS requirements for the controller running example we present in this study have been validated by a requirements engineer at Rolls-Royce. Aside from being industrially relevant, the controller domain lends itself well to analyses and syntheses, given its constrained nature. The contributions described in this paper are as follows:\n\n  * An editor for EARS specifications, called EARS-CTRL, based on the projectional editor MPS (Meta Programming System) [2]. Sentences written in our MPS EARS-CTRL editor have the \"look and feel\" of pure natural language, but are in fact templates with placeholders for which meaningful terms are proposed to the requirements engineer.\n\n  * Automated check of realizability of the requirements as a real controller is provided at the push of a button. Additionally, when the controller is realizable, a synchronous dataflow diagram [14] modelling the specified behavior is generated. This information can be used iteratively to check whether the set of EARS-CTRL requirements correctly express the desired behavior of the natural language requirements written in EARS.\n\nFig. 1.\n\nLiquid mixing system\n\n## 2 Running Example\n\nOur running example for this study is a liquid mixing system. The controller for this system, depicted in Fig. 1, is supposed to behave as follows: when the start button is pressed, valve 0 opens until the container is filled with the first liquid up to the level detected by the liquid level 1 sensor. Valve 0 then closes and valve 1 opens until the container is filled up with the second liquid up to the level detected by the liquid level 2 sensor. Once both liquids are poured into the container, they are mixed by the stirring motor for a duration of 60 s. When the mixing process is over, valve 2 opens for 120 s, allowing the mixture to be drained from the container. It is possible to interrupt the process at any point using an emergency stop button. Pressing this button closes all valves and stops the stirring engine.\n\n## 3 Expressing and Analyzing Requirements\n\nThe first step when writing a set of requirements using EARS-CTRL is to identify the vocabulary to be used. Figure 2 depicts the glossary for the liquid mixing system we have presented in Sect. 2. The glossary defines the name of the controller being built, the names of the components of the system that interface with the controller (together with informal descriptions of their purpose), and the sensors and actuators those components make available. Rules expressing relations between signals are also expressed here.\n\nFig. 2.\n\nEARS-CTRL glossary for the container fusing controller\n\nOnce the glossary is defined, the EARS-CTRL requirements can be written. Our editor is built using MPS, a projectional meta-editor for DSL development. The projectional capabilities of the editor make it such that requirements can be edited directly as abstract syntax trees projected onto a textual view. In practice this means that each requirement can be added as an instance of a template with placeholders. These placeholders are then filled by the requirements engineer using the terms defined in the glossary.\n\nFig. 3.\n\nExample of adding an EARS-CTRL requirement\n\n### 3.1 Well-Formedness by Construction\n\nIn Fig. 4 we depict the action of adding an EARS requirement using our editor. Note that two aspects of well-formedness by construction are enforced at this point: firstly, by using EARS templates instances, we guarantee that the form of the requirement is correct; secondly, the editor provides suggestions for the terms that are added to each of the placeholders as a range of possibilities extracted from the glossary. Figure 3 illustrates some examples for the action associated with the valve 2 component of the system. Note that in the suggestions associated to this placeholder two constraints are enforced: (a) only actions associated with actuators are proposed, and (b) the actions for component valve 2 are limited to the ones that are described in the glossary in Fig. 2.\n\nFig. 4.\n\nEARS-CTRL requirements to describe the controller for the liquid mixer system\n\n### 3.2 Realizability Analysis\n\nWell-formedness by construction, as described in Sect. 3.1, guarantees a certain level of correctness of individual requirements. EARS-CTRL provides additional mechanisms for analyzing the interplay of individual requirements in a specification. In particular, at the press of a button the tool can decide whether the set of requirements is realizable as a concrete controller. Note that non-realizability is typically due to conflicting requirements. This analysis is executed by (a) transforming EARS-CTRL requirements in LTL (Linear Temporal Logic) formulas, and (b) running the GXW synthesis [6] tool autoCode4 [7] via an API to attempt to synthesize a controller for those formulas.\n\nIn Fig. 4 we depict a set of requirements1 for the running example from Sect. 2 that is actually not realizable \u2013 as can be understood from the pop-up message in the fig. obtained after running the analysis. When revising the specification, we realized that requirements Req1 and Req9 were in conflict. The reason for this conflict was that, according to Req9, the emergency button can be pressed at any moment thus closing valve 0. However, Req1 states that valve 0 opens when the start button is pressed. Thus, logically valve 0 could be simultaneously open and closed \u2013 a contradiction.\n\nFig. 5.\n\nUpdated requirement to allow realizing the liquid mixer controller\n\nTo eliminate the contradiction we have replaced Req1 in the set of requirements in Fig. 4 by the requirement in Fig. 5.2 Adding the condition until emergency button is pressed to the original version of Req1 disallows valve 0 being simultaneously open and closed.\n\nWhen a set of EARS requirements is realizable, EARS-CTRL imports a synchronous dataflow diagram from the autoCode4 tool that describes the behavior of the specified controller. The controller can be visualized inside the EARS-CTRL tool as a block diagram using MPS's graphical rendering capabilities. Due to space limitations, we direct the reader to the project's website [3] for an image of the controller generated for the running example. Note that the synthesized controller is imported into EARS-CTRL as an MPS model, making it possible to further implement automated analyses on this artifact.\n\n### 3.3 The EARS-CTRL Tool\n\nThe EARS-CTRL tool is available as a github project [1]. Note that the tool is distributed as an MPS project and requires MPS [2] to be installed as pre-requisite. Together with the functional running example, we distribute with the project the realizable EARS-CTRL requirements for a simple engine controller, a sliding door controller and quiz controller.\n\n## 4 Related Work\n\nThe quest for automatically generating controller implementation from specifications dates back to the ideas of Church [8]. However, it was not until recently that researchers investigated practical approaches to the problem. Methodologies such as bounded synthesis [19] or GR-1 [18], and the combination of compositional approaches [10] have proven to be applicable on moderately-sized examples. Based on these results that stand on solid logical foundations, several projects produced research on the generation of logic formulas from natural language, with the goal of achieving reactive control synthesis from natural language. The ARSENAL project starts from specifications written in arbitrary natural language [11] and also uses GR-1 as the underlying synthesis engine. The work of Kress-Gazit et al. focuses on the synthesis of robot controllers [13]. Their methodology is based on using template-based natural language that matches the GR-1 framework. The work of Yan et al. [20] applies to full LTL specifications and includes features such as guessing the I\/O partitioning and using dictionaries to automatically derive relations between predicates (such as  ), in order to detect inconsistencies in specifications.\n\nThe workflow presented in this paper, although also targeting the use of natural language, starts with a methodologically different approach. Conceptually, the tool proposes a formal language with a fixed interpretation, while hiding the formality from end-users; in fact an end-user specifies the required system behavior using only natural language. Therefore, for scenarios such as the relation between   and  , the negation relation is not decided during controller synthesis phase but is given during the requirements design phase. Although our tool supports producing generic LTL formulas, our decision for using the autoCode4 tool and the GXW language subset lies on the rationale that, for iterative validation of requirements, it is necessary that designers understand the structure of controllers. For tools [5, 9, 12] supporting GR-1 or bounded synthesis, the synthesized controller is commonly a generated via BDD dumping or via creating explicit state-machines which can have thousands of states, making user interaction and inspection difficult. The work presented here largely draws inspiration from and builds on the knowledge obtained when building the AF3 [4] tool for the model-driven development of software.\n\n## 5 Conclusions and Future Work\n\nDue to the early nature of this work, two main technical issues remain to be addressed: (a) the fact that expressing and analysing complex states such as \"the valve is 3\/4 closed\" or \"the quantity of liquid in the container is under quantity X\" cannot be reasonably done within EARS-CTRL (due to the boolean representation in autoCode4 of sensors and actuators); and (b) lifting the information provided by the analysis engine autoCode4 for debugging EARS-CTRL requirements is currently manually done.\n\nThe work described in this paper is an early analysis of the gap between constrained natural language expressed using EARS and logical specifications that can be automatically transformed into controllers. Note that while the former enables humans to write requirements that are as unambiguous as possible, the latter are developed for computers to process. While these worlds may overlap, they were not necessarily designed to do so.\n\nIdeally, our tool would have as starting point \"pure\" EARS requirements. However, given the gap mentioned above, we had to slightly adapt \"classic\" EARS to make it amenable to formal treatment, as briefly mentioned in Sect. 3. The implicit question posed by the title of this paper \u2013 whether EARS is just formal enough for automated analyses (and syntheses) \u2013 is thus partly answered by this work, although additional research is needed. Future efforts will thus concentrate on automatically bridging this gap such that engineers using EARS-CTRL are as unaware as possible of the underlying automatic mechanisms of our tool.\n\nAcknowledgements\n\nThis work was developed for the \"IETS3\" research project, funded by the German Federal Ministry of Education and Research under code 01IS15037A\/B.\n\nReferences\n\n1.\n\nEARS-CTRL GitHub project. https:\/\/\u200bgithub.\u200bcom\/\u200blevilucio\/\u200bEARS-CTRL.\u200bgit\n\n2.\n\nMeta Programming System. https:\/\/\u200bwww.\u200bjetbrains.\u200bcom\/\u200bmps\/\u200b\n\n3.\n\nWiki for the EARS-CTRL project. https:\/\/\u200bgithub.\u200bcom\/\u200blevilucio\/\u200bEARS-CTRL\/\u200bwiki\n\n4.\n\nAravantinos, V., Voss, S., Teufl, S., H\u00f6lzl, F., Sch\u00e4tz, B.: AutoFOCUS 3: tooling concepts for seamless, model-based development of embedded systems. In: ACES-MB (Co-located with MoDELS), pp. 19\u201326 (2015)\n\n5.\n\nBohy, A., Bruy\u00e8re, V., Filiot, E., Jin, N., Raskin, J.-F.: Acacia+, a tool for LTL synthesis. In: Madhusudan, P., Seshia, S.A. (eds.) CAV 2012. LNCS, vol. 7358, pp. 652\u2013657. Springer, Heidelberg (2012). doi:10.\u200b1007\/\u200b978-3-642-31424-7_\u200b45 CrossRef\n\n6.\n\nCheng, C.-H., Hamza, Y., Ruess, H.: Structural synthesis for GXW specifications. In: Chaudhuri, S., Farzan, A. (eds.) CAV 2016. LNCS, vol. 9779, pp. 95\u2013117. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-41528-4_\u200b6\n\n7.\n\nCheng, C.-H., Lee, E., Ruess, H.: autoCode4: structural reactive synthesis. In: TACAS 2017, accepted for publication, Tool available at: http:\/\/\u200bautocode4.\u200bsourceforge.\u200bnet\n\n8.\n\nChurch, A.: Applications of Recursive Arithmetic to the Problem of Circuit Synthesis \u2013 Summaries of talks, Institute for Symbolic Logic, Cornell University (1957). Institute for Defense Analysis, Princeton, New Jersey (1960)\n\n9.\n\nEhlers, R.: Unbeast: symbolic bounded synthesis. In: Abdulla, P.A., Leino, K.R.M. (eds.) TACAS 2011. LNCS, vol. 6605, pp. 272\u2013275. Springer, Heidelberg (2011). doi:10.\u200b1007\/\u200b978-3-642-19835-9_\u200b25 CrossRef\n\n10.\n\nFiliot, E., Jin, N., Raskin, J.-F.: Compositional algorithms for LTL synthesis. In: Bouajjani, A., Chin, W.-N. (eds.) ATVA 2010. LNCS, vol. 6252, pp. 112\u2013127. Springer, Heidelberg (2010). doi:10.\u200b1007\/\u200b978-3-642-15643-4_\u200b10 CrossRef\n\n11.\n\nGhosh, S., Elenius, D., Li, W., Lincoln, P., Shankar, N., Steiner, W.: ARSENAL: automatic requirements specification extraction from natural language. In: Rayadurgam, S., Tkachuk, O. (eds.) NFM 2016. LNCS, vol. 9690, pp. 41\u201346. Springer, Cham (2016). doi:10.\u200b1007\/\u200b978-3-319-40648-0_\u200b4 CrossRef\n\n12.\n\nJobstmann, B., Galler, S., Weiglhofer, M., Bloem, R.: Anzu: a tool for property synthesis. In: Damm, W., Hermanns, H. (eds.) CAV 2007. LNCS, vol. 4590, pp. 258\u2013262. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-73368-3_\u200b29 CrossRef\n\n13.\n\nKress-Gazit, H., Fainekos, G.E., Pappas, G.J.: Translating structured English to robot controllers. Adv. Robot. 22(12), 1343\u20131359 (2008)CrossRef\n\n14.\n\nLee, E.A., Messerschmitt, D.G.: Synchronous data flow. Proc. IEEE 75(9), 1235\u20131245 (1987)CrossRef\n\n15.\n\nMavin, A., Wilkinson, P.: Big ears (the return of \"easy approach to requirements engineering\"). In: RE, pp. 277\u2013282. IEEE (2010)\n\n16.\n\nMavin, A., Wilkinson, P., Gregory, S., Uusitalo, E.: Listens learned (8 lessons learned applying EARS). In: RE, pp. 276\u2013282. IEEE (2016)\n\n17.\n\nMavin, A., Wilkinson, P., Novak, M.: Easy approach to requirements syntax (EARS). In: RE, pp. 317\u2013322. IEEE (2009)\n\n18.\n\nPiterman, N., Pnueli, A., Sa'ar, Y.: Synthesis of reactive(1) designs. In: Emerson, E.A., Namjoshi, K.S. (eds.) VMCAI 2006. LNCS, vol. 3855, pp. 364\u2013380. Springer, Heidelberg (2005). doi:10.\u200b1007\/\u200b11609773_\u200b24 CrossRef\n\n19.\n\nSchewe, S., Finkbeiner, B.: Bounded synthesis. In: Namjoshi, K.S., Yoneda, T., Higashino, T., Okamura, Y. (eds.) ATVA 2007. LNCS, vol. 4762, pp. 474\u2013488. Springer, Heidelberg (2007). doi:10.\u200b1007\/\u200b978-3-540-75596-8_\u200b33 CrossRef\n\n20.\n\nYan, R., Cheng, C., Chai, Y.: Formal consistency checking over specifications in natural languages. In: DATE, pp. 1677\u20131682 (2015)\n\nFootnotes\n\n1\n\nFor analysability reasons, EARS-CTRL's syntax is slighty different from EARS'. In particular EARS disavows the usage of \"until\" clauses and composed logical expressions in a requirement.\n\n2\n\nThe requirement in Fig. 5 is an instance of template While A, when B the system shall C until D. The corresponding LTL is of the form  , W being the weak-until operator.\nAuthor Index\n\n\u00c1brah\u00e1m, Erika\n\nAhrenbach, Seth\n\nAichernig, Bernhard K.\n\nAiello, M. Anthony\n\nAkili, Samira\n\nAmrani, Moussa\n\nAndr\u00e9, \u00c9tienne\n\nAr\u00e9chiga, Nikos\n\nBellettini, Carlo\n\nBensalem, Saddek\n\nBlom, Stefan C.C.\n\nBonfanti, Silvia\n\nBorges, Mateus\n\nBozga, Marius\n\nButler, Michael\n\nCamilli, Matteo\n\nCarissoni, Marco\n\nCasinghino, Chris\n\nCheng, Chih-Hong\n\nCofer, Darren\n\nDarabi, Saeed\n\nDavis, Jennifer A.\n\nDemyanova, Yulia\n\nDieumegard, Arnaud\n\nDonz\u00e9, Alexandre\n\nDreossi, Tommaso\n\nDross, Claire\n\nEnea, Constantin\n\nFantechi, Alessandro\n\nFifarek, Aaron W.\n\nFilieri, Antonio\n\nFrancis, Michael\n\nFrenkel, Hadar\n\nGargantini, Angelo\n\nGe, Ning\n\nGleirscher, Mario\n\nGrumberg, Orna\n\nHaxthausen, Anne E.\n\nHoang, Thai Son\n\nHocking, Ashlie B.\n\nHoffman, Jonathan A.\n\nHuisman, Marieke\n\nIllous, Hugo\n\nJackson, Paul B.\n\nJakobs, Marie-Christine\n\nJenn, Eric\n\nJha, Susmit\n\nJohnson, Taylor T.\n\nJones, Benjamin F.\n\nKnight, John C.\n\nKowalewski, Stefan\n\nKugele, Stefan\n\nLemerre, Matthieu\n\nLeng\u00e1l, Ond\u0159ej\n\nL\u00facio, Levi\n\nMacedo, Hugo Daniel\n\nMakhlouf, Ibtissem Ben\n\nMartel, Matthieu\n\nMashkoor, Atif\n\nMavin, Alistair\n\nMebsout, Alain\n\nMediouni, Braham Lotfi\n\nMoy, Yannick\n\nNguyen, Hoang Gia\n\nNouri, Ayoub\n\nOrtiz, James\n\nP\u0103s\u0103reanu, Corina S.\n\nPetrucci, Laure\n\nPhan, Quoc-Sang\n\nPike, Lee\n\nPinto, Alessandro\n\nRahman, Salman\n\nRaman, Vasumathi\n\nRival, Xavier\n\nRodes, Benjamin D.\n\nR\u00fcmmer, Philipp\n\nSahai, Tuhin\n\nScandurra, Patrizia\n\nSchobbens, Pierre-Yves\n\nSchupp, Stefan\n\nSeshia, Sanjit A.\n\nShapiro, Brandon\n\nSheinvald, Sarai\n\nSighireanu, Mihaela\n\nSlind, Konrad\n\nSnook, Colin\n\nSogokon, Andrew\n\nSun, Jun\n\nTappler, Martin\n\nTinelli, Cesare\n\nVojnar, Tom\u00e1\u0161\n\nV\u00f6llinger, Kim\n\nWagner, Lucas G.\n\nWehrheim, Heike\n\nZuleger, Florian\n\n9th\n\nNASA Formal Methods Symposium\n\nNFM\n\n2017\n\nMoffett Field, CA USA\n\n20170516\n\n20170518\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nPRAISE FOR _R ECOVER!_\n\n\" _Recover!_ goes well beyond brainless, mindless, and choiceless approaches to addiction. Dr. Stanton Peele's work offers hope for mindful, practical, and liberating addiction treatment and self-help.\"\u2014Harold J. Bursztajn, M.D., Associate Clinical Professor of Psychiatry and Co-Founder, Program in Psychiatry and the Law at BIDMC Psychiatry of Harvard Medical School\n\n\"Stanton Peele's insistence that addiction is not a disease, but a symptom of dysfunctional societies, families, and\/or psyches is compelling, compassionate, and almost certainly correct. In _Recover!,_ his most impressive work to date, he lays out a program\u2014both utterly simple and profound\u2014that will quite literally save lives by addressing the root causes of addiction rather than pathologizing its many manifestations.\"\u2014Christopher Ryan, Ph.D. & Cacilda Jeth\u00e1, M.D., authors of the _New York Times_ bestseller _Sex at Dawn_\n\n\"12-step treatment worsened my addiction to the point that I nearly died of withdrawal. Stanton Peele's books saved my life by showing me that I was not powerless and did not need to be rescued by a 'Higher Power.' For a step-by-step guide on how to overcome addiction I most highly recommend Dr. Peele's new book _Recover!_ \"\u2014Kenneth Anderson, M.A., Founder and CEO of HAMS Harm Reduction for Alcohol\n\n\"In _Recover!_ , Stanton Peele and Ilse Thompson offer a blueprint to help addicts cope with their triggers, from loneliness and feeling unworthy, anxious, and overwhelmed. _Recover!_ focuses on what's _right_ in the addict's life, and adding to it. It's a hopeful, tangible set of tools designed to give power _back_ to the addict\u2014not give it up.\"\u2014Gabrielle Glaser, author of the _New York Times_ bestseller _Her Best-Kept Secret: Why Women Drink\u2014And How They Can Regain Control_\n\n\"'I am a recovering addict' was the way someone introduced himself to me on my first visit to the USA. He explained he had been in recovery for the past 25 years. The irrationality, helplessness and disempowerment inherent in this statement shocked me. This is what the disease model of addiction does to people. I am in agreement with Stanton Peele that people are not powerless or helpless in the face of dependence on drugs, and the evidence supports this view. This book dispels that, and other myths about drugs. Stanton has come up with another must-read book.\"\u2014Professor Pat O'Hare, co-founder and former director of Harm Reduction International\n\n\"In his latest book, _Recover!_ , pioneering addiction expert Dr. Stanton Peele moves on to exciting new ground by providing practical advice and tools for dealing with addiction, based on Buddhist-inspired mindfulness techniques. It is essential reading for those who want to understand the reality of addiction and ways it can be effectively addressed. I highly recommend this book to anyone who wants to move on from their own addiction or is supporting someone else to overcome their addiction.\"\u2014Julian Cohen, author of _Drugs and Young People: Essential Information and Advice for Parents and Professionals_\n\n\"Stanton Peele's writing has been a Copernican paradigm shift in the field of recovery. With his _Diseasing of America_ , Peele emerged as a savvy provocateur with the guts to take on the recovery establishment. With _Recover!_ Peele shares his clinical wisdom and compassion with those who are on the path of change and self-acceptance. _Recover!_ is a recovery program of practical perfection _without_ the typical recovery perfectionism.\"\u2014Pavel Somov, Ph.D., author of _Lotus Effect_ and _Eating the Moment: 141 Mindful Practices to Overcome Overeating One Meal at a Time_\n\n\" _Recover!_ is a powerful new tool for helping people with addictions heal and grow. Dr. Stanton Peele is a trailblazer who has led each new progressive wave in the addictive behaviors field since the 1970s. Today, Dr. Peele is a leading voice for a new shift in the field, one that refutes the myth that addicted people are victims of a permanent disease that they can arrest only by accepting their powerlessness and lifelong abstinence. _Recover!_ is a how-to guide to recovery through cultivating mindful awareness and self-compassion. Inspiring, hopeful, and a good read as well.\"\u2014Andrew Tatarsky, Ph.D., author, _Harm Reduction Psychotherapy: A New Treatment for Drug and Alcohol Problems_ ; Director, Center for Optimal Living, NYC\n\n\"In the midst of the turbulence about defining and dealing with addiction, Stanton Peele has consistently articulated one of the few sane voices. Increasingly, research has proved that he is right. _Recover!_ continues and extends his presence at the forefront of advice and help based on common sense and efficacy for those struggling with addiction.\"\u2014Liese Recke, Manager of Clinical Treatment, Oslo Norway, and former addict\n\n\"Probably the world's most notable figure in addiction studies, Stanton Peele has written another great book. _Recover!_ really is a self-help book. Unlike most of what you read, it teaches you to help yourself, rather than telling you to rely on a treatment system because helping oneself is impossible. Stanton's work assisted my recovery many years ago, and he can help you now.\"\u2014Peter Ferentzy, Ph.D., author of _Dealing with an Addict: What You Need to Know if Someone You Care for Has a Drug or Alcohol Problem_\n\n\"Stanton Peele knows more about addiction than anyone in the world. Every one of his books is a masterpiece. So is this one. The materials in this book are factual, inspiring and helpful for anyone making for change on their own. If you need additional help, take this book to a good therapist. Ask them to help you apply Peele's materials. You will be very happy with the results!\"\u2014Robert M. Muscala, R.N., Addiction\/Chemical Health Specialist, Minnesota\n\nPRAISE FOR STANTON PEELE\n\n\"Stanton Peele is a true pioneer of addiction research and theory. His ideas must be reckoned with by anyone who is serious about understanding addiction\u2014and they offer hope to the many millions for whom current approaches are not effective or who simply prefer evidence-based alternatives.\"\u2014Maia Szalavitz, neuroscience journalist for _Time Magazine_ ; co-author of _Born for Love: Why Empathy is Essential\u2014and Endangered_\n\n\"Peele offers mindful alternatives to those suffering from addictions and to professionals seeking to help them.\"\u2014Ellen Langer, Department of Psychology, Harvard University; author of _Mindfulness_ and _Counterclockwise: Mindful Health and the Power of Possibility_\n\n\" _Love and Addiction_ was probably the first book I ever read which analyzed addiction in a way that made sense to me and echoed what I knew from my work. It still reads absolutely true as an understanding of addictive behavior all these years later.\"\u2014Rowdy Yates, Ph.D., Department of Addiction Studies, University of Stirling\n\n\" _The Truth About Addiction and Recovery_ is an unusually well-researched and persuasively presented book on some of the main myths about addiction and recovery. Required reading for addicts, their associates, and those who try to treat them.\"\u2014Albert Ellis, Ph.D., founder of Rational-Emotive Therapy; ranked in a survey of psychologists as the second most influential psychotherapist in history\n\n\"Stanton Peele is the only author who has effectively challenged the consistent failure of the mental health establishment, the huge AA and Synanon-type 'religions,' the drug enforcement bureaucracy, and the medical profession.\"\u2014Nicholas Cummings, Ph.D., Past President, American Psychological Association; Chief of Mental Health, Kaiser Permanente Health Maintenance Organization\n\n\" _Diseasing of America_ is a provocative review of the uses and abuses of the disease model in the past three decades. This important book has significantly added to my education and clinical understanding of addiction in my professional practice.\"\u2014Richard R. Irons, M.D., FASAM, the Menninger Clinic\n\n\"Peele makes it clear that the disease model of addiction is an emperor without clothes. By placing addictive behaviors in the context of other problems of living, he emphasizes personal responsibility for one's habits. The book empowers the reader to view addiction in a new optimistic light.\"\u2014G. Alan Marlatt, founder of Addictive Behaviors Research Center, University of Washington; co-editor of _Relapse Prevention_\n\n\"Dr. Peele's work has influenced my professional work and changed my personal life for the better.\"\u2014Anne M. Fletcher, M.S., R.D., L.D., author of _Thin for Life_ , _Sober for Good_ , and _Inside Rehab: The Surprising Truth About Addiction Treatment\u2014and How to Get Help That Works_\n\n\"Stanton Peele's books have been instrumental in helping me understand my own underlying causes of addiction and how, however well-intentioned the 12-step model is, it led me to focus on the wrong aspects of addiction.\"\u2014Marianne Gilliam, author of _How Alcoholics Anonymous Failed Me_\n\n\"After years of being in and out of rehab, I read _Diseasing of America_. It showed me that I have the power to decide whether or not to drink. More than a decade later, I still have not had another drink.\"\u2014\"Adam Smith\"\n\n\"We have more than enough diseases without inventing new ones to relieve us of moral responsibility to deal with the complexity of the human condition. _Diseasing of America_ is an important book that should be read by all concerned about addiction. An added bonus\u2014Dr. Peele writes exceptionally well.\"\u2014Neil A. Kurtzman, M.D., Chairman, Department of Internal Medicine, Texas Tech University Health Sciences Center\n_Recover!_\n**A LSO BY STANTON PEELE**\n\n_7 Tools to Beat Addiction_\n\n_Love and Addiction_\n\n(with Archie Brodsky)\n\n_How Much Is Too Much_\n\n_Addiction-Proof Your Child_\n\n_The Science of Experience_\n\n_The Meaning of Addiction_\n\n_Visions of Addiction_\n\n(edited volume)\n\n_Diseasing of America_\n\n_The Truth About Addiction and Recovery_\n\n(with Archie Brodsky and Mary Arnold)\n\n_Alcohol and Pleasure_\n\n(edited volume, with Marcus Grant)\n\n_Resisting 12-Step Coercion_\n\n(with Charles Bufe and Archie Brodsky)\n\nStop Thinking Like an Addict and Reclaim\n\nYour Life with **The PERFECT Program**\n\nSTANTON PEELE, Ph.D.\n\nwith ILSE THOMPSON\n\nA Member of the Perseus Books Group\nCopyright \u00a9 2014 by Stanton Peele\n\nAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher. For information, address Da Capo Press, 44 Farnsworth Street, 3rd Floor, Boston, MA 02210\n\nDesigned by Cynthia Young\n\nCataloging-in-Publication data for this book is available from the Library of Congress.\n\nFirst Da Capo Press edition 2014\n\nISBN: 978-0-7382-1676-8 (e-book)\n\nPublished by Da Capo Press\n\nA Member of the Perseus Books Group\n\nwww.dacapopress.com\n\n* * *\n\nNote: The information in this book is true and complete to the best of our knowledge. This book is intended only as an informative guide for those wishing to know more about health issues. In no way is this book intended to replace, countermand, or conflict with the advice given to you by your own physician or therapist, if you currently have or plan to consult with one. The ultimate decisions concerning care should be made between you and your doctor and therapist. We strongly recommend you discuss any actions you plan to take as a result of reading this book with either your physician or therapist, if you currently have or plan to consult with one, and keep any health care professional with whom you consult informed about the actions you take and your ongoing health and mental health status. Information in this book is general and is offered with no guarantees on the part of the authors or Da Capo Press. The authors and publisher disclaim all liability in connection with the use of this book.\n\n* * *\n\nDa Capo Press books are available at special discounts for bulk purchases in the U.S. by corporations, institutions, and other organizations. For more information, please contact the Special Markets Department at the Perseus Books Group, 2300 Chestnut Street, Suite 200, Philadelphia, PA, 19103, or call (800) 810-4145, ext. 5000, or e-mail special.markets@perseusbooks.com.\n\n10 9 8 7 6 5 4 3 2 1\n_To the memory of Alan Marlatt_\n\n_Always at the forefront_\n\nContents\n\nAcknowledgments\n\nIntroduction: What _Recover!_ is about, and how to use this book\n\nPART I: The Meaning of Addiction and Recovery\n\n1 The Story of Rose\u2014An Addict\n\n**_How one becomes an addict, then recovers_**\n\n2 Explaining Addiction and Recovery\n\n**_How Americans learn to think like addicts; how to stop_**\n\nPART II: _The PERFECT Program_\n\n3 Preparing for Change\n\n**_Getting yourself ready for_** The PERFECT Program\n\n4 Pause\n\n**_Mindfulness\u2014Learning to listen to yourself_**\n\n5 Embrace\n\n**_Self-acceptance and forgiveness\u2014Learning to love yourself_**\n\n6 Rediscover\n\n**_Integrity\u2014Finding and following your true self_**\n\n7 Fortify\n\n**_Coping\u2014Learning the skills for life management_**\n\n8 Embark\n\n**_Equilibrium\u2014Proceeding on an even keel_**\n\n9 Celebrate\n\n**_Joy\u2014Honoring your accomplishments while living mindfully and meaningfully_**\n\n10 Triage\n\n**_Realignment\u2014Resources and actions for regaining lost footing_**\n\nAfterword: Write Your Own Conclusion\n\nNotes\n\nIndex\nAcknowledgments\n\nI thank primarily two people for their help in writing this book. Ilse Thompson, whose role is acknowledged on the title page, did significant original thinking and writing, especially concerning the linkage between the downsides of current American practice regarding addiction and an alternative way of conceiving of humanity in relation to addiction and righting people's relationship to the universe. Ilse is a treasured colleague and friend\u2014moreover, one whose efforts on our joint behalf never flagged. Her contributions to this book, from start to finish, are invaluable, incalculable, and irreplaceable\u2014 _Recover!_ would not exist without her.\n\nAnd, as always, Archie Brodsky played an essential role in conceiving and executing _Recover!_ Since we worked together to write _Love and Addiction_ , published in 1975, Archie has helped with every major project I have embarked on\u2014and not only writing projects. No idea or word that appears in the book has escaped his attention. Archie's wife, Vicki Rowland, played a vital part in our working sessions, contributing insights and technical resourcefulness along with unflagging hospitality during my visits to Archie's and her home.\n\nAlong the way, a remarkable number of people have made inputs, read sections of the book, corrected my misunderstandings, and tried to help in any way they could. This list includes Chris Ryan, Alan Cudmore, Ruth Gasparik, Sylvia Carlson, Mylissa Emrick, Kenneth Anderson, Adi Jaffe, Nona Jordan, Maia Szalavitz, Alta Ann Parkins Morris, and others I may have missed.\n\nMy editor Ren\u00e9e Sedliar and agent Andrew Stuart have been steadfastly supportive in the always-challenging enterprise of creating a book. Their calm confidence, good spirits, and good judgment have buoyed Ilse and me whenever necessary\u2014which has been more than once. In our editorial exchanges Ren\u00e9e has managed to be both consistently encouraging and helpfully critical. Also in our corner have been Merloyd Lawrence, Ren\u00e9e's colleague and a longtime supporter of Archie's and mine, and Hara Marano, _Psychology Today_ editor-at-large and longtime friend and colleague. Hara\u2014who both assisted me in publishing my work in _Psychology Today_ magazine over five separate decades and with Lybi Ma enabled me to garner several million readers of my posts at _Psychology Today_ Blogs*\u2014introduced me to her and now my agent, Andrew, and thus started the process of publishing _Recover!._\n\nAt any age, but especially now, it is both important and extremely gratifying to have people\u2014more than those named\u2014who wish me well and who want to see my ideas reach and help more people. Thank you.\n\n_Stanton Peele_\n\n_November 2013_\n\n_*_ I am likewise exceedingly grateful to the _Huffington Post_ for giving me an equally visible and positive platform to present my ideas about addiction and much else.\n\n_Introduction_\n\nWhat _Recover!_ is about, and how to use this book\n\nThis book is written to clarify what addiction is, and how you or a loved one can overcome it. You are coming to this book for one of three reasons: to deal effectively with your own addiction, to help someone you care about who struggles with addictive problems, or out of interest in and curiosity about the subject.\n\nThere are two competing views of addiction out there. The one you are used to hearing is that addiction is a disease, meaning that it is a biological force over which you have no control. This is what we have been told for decades. This view is wrong.\n\nThe other view, which is the basis for The PERFECT Program outlined in this book, is that addiction is a natural but destructive expression of a person's outlook in reaction to his or her life circumstances. I will show that this view is scientifically valid, true to life, and much more helpful than the disease view. People get themselves into addictions for understandable reasons, and people can get themselves out by being mindful of who they are and who they can and want to be.\n\nThe title _Recover!_ is in the form of an imperative because you need to know that you will recover if you follow the typical path addicts experience. Science tells us this. You need to know this truth to clear away the underbrush impeding your recovery and to maximize your chance to recover\u2014not to mention expedite the process\u2014which requires that you galvanize your own resources. This book is the manual for how to accomplish your own recovery.\n\nThis way of looking at addiction makes possible an entirely different approach to overcoming addictions, one that is both more hopeful and more practical. It plays to your strengths, not weaknesses. But before I present this empowering approach to addiction, you need to discard some myths, old and new, about addiction.\n\nContrary to the medical-sounding idea of addiction as a \"disease,\" the 12-step catechism of Alcoholics Anonymous originated in America's deeply held fears of alcohol (and later, other drugs) and is steeped in religious ideas and irrationality. Why, then, have you been hearing so much lately about brain science proving that addiction is a disease? Neurobiological studies of dopamine and the limbic system do little to inform us of the ways and means to overcome an addiction, and they most assuredly do not justify a 12-step approach that appeals to God to cure your disease.\n\nMoreover, how does it help you to believe that your brain can be \"hijacked\" by addiction\u2014a highly publicized, supposedly scientific idea? If that were so, then people wouldn't be able to wait until break time to go outside to smoke, or they wouldn't only resort to their drug addiction in the company of certain people and in certain places. In fact, addicts exercise control over their addictions all the time, and most addicts outgrow their addictions. It is also true that everyone experiences an addiction in their own way, and everyone must\u2014and can\u2014find their own way out of addiction.\n\nBy reinforcing the myth that addiction is uncontrollable and permanent, neuroscientific models make it _harder_ to overcome the problem, just as the 12-step disease model has all along. Telling yourself that you are \"powerless\" over addiction is self-defeating; it limits your capacity to change and grow. Isn't it better to start from the belief that you\u2014or your spouse, or your child\u2014can fully and finally break out of addictive habits by redirecting your life? It may not be quick and easy to accomplish, but it happens all the time. In this book I will show you how it happens and what it takes to do it.\n\nMindfulness is a key component of The PERFECT Program. It is both a Buddhist and a modern psychological concept. Combining the two, mindfulness means being in the moment by being aware of your circumstances\u2014your surroundings, yourself, the here and now\u2014all of which determine how you feel and act. It strengthens your ability to bring into your consciousness the key elements of your addiction\u2014your motivation, your situation, your needs, and your ability to make alternative choices. Mindfulness gives you the space, the ability, and the self-confidence to outgrow your addiction. You can improve this ability, as you can any mental or physical capacity, by learning about and practicing it\u2014including using the meditations provided throughout this book.\n\nOne claim often made for the disease theory of addiction, now dressed up in neuroscience, is that explaining the cause of your addiction as being outside your control frees you of guilt. Yes, but at the cost of telling you that you are a slave to your addiction. The PERFECT Program invites self-acceptance, or the belief in your underlying value\u2014troubled as you may be\u2014as a human being. For it is only by combining mindfulness\u2014genuine awareness\u2014with faith in yourself that you can finally empower yourself to grow beyond addiction. This process entails self-acceptance, another modern version of a Buddhist concept, this one called loving kindness.\n\nThe PERFECT Program allows you to achieve a better life not by _escaping_ anything, but rather by _embracing_ who you are, who you wish to be, and who you can be. Regarding yourself as \"perfect\"\u2014yet another Buddhist idea\u2014again corresponds with the best contemporary psychological thinking. Embracing your perfection (which is not the same as smug self-satisfaction and denial) encourages your faith in your ability to change and accelerates the change process.\n\nHere is a concrete example of the difference between AA's disease theory and The PERFECT Program. AA's first step commands you to accept that you are powerless: \"We admitted we were powerless over our addiction\u2014that our lives had become unmanageable.\" Step One, then, is the justification for the cadres of counselors who come down like a ton of bricks on addicts in treatment programs, telling them that they can't manage their lives. In other words, if you are addicted, that is all you are, and your life has become worthless, and only the \"helpers\" can make you whole.\n\nThe PERFECT Program rejects this kind of thinking, expressed in the self-labeling mantra, \"I am an addict.\" It starts instead from two assumptions: every human being is already worthwhile, and you will succeed best when you feel best about yourself, your potential, and your core value. You still need to take responsibility for your actions and practice the discipline required to put your life on track. But you are not your addiction; you are a valuable human being whose qualities endure and exceed your addiction.\n\nThese fundamental differences translate into different helping techniques. Instead of focusing solely on the object of addiction and its all-conquering force, as AA and neuroscience do, The PERFECT Program directs you to contemplate your addiction from a broader perspective that takes in your life history, environmental influences, and personal relationships, as well as your feelings, beliefs, and outlooks.\n\nAddicts regularly respond to challenging situations by panicking\u2014after all, they have \"admitted\" that they are incapable of managing their lives. The most natural immediate reaction when you are so overwhelmed is to resume your addiction\u2014or else seek protective refuge in the group (the 12-step solution). The PERFECT Program instead helps you manage stress and anxiety without resorting to your addiction. The PERFECT Program believes you _can_ help yourself\u2014indeed, it is _based_ on the assumption that you are the crucial, the only, agent of your own change.\n\nHow to Use This Book\n\n_Recover!_ is divided into two parts. The first part of the book is an orientation for people with addiction problems and also for people who want to get inside the mind of an addict. Part I prepares you for The PERFECT Program. It provides first the story of a methamphetamine addict, Rose, so that you can understand the personal experience of addiction and recovery through the eyes of one woman. It then presents a history and scientific understanding of addiction, so that you will know what it is that you are confronting and how often\u2014and how\u2014people overcome it. This section is less prescriptive, and sometimes less experiential and more expository, than the second part of the book, which prepares you to embark on PERFECT and then presents The PERFECT Program itself. If you are coming to this book for help with an addiction, since you have your own addiction narrative, you may feel that Rose's story in Chapter 1 isn't relevant, or that the analysis in Chapter 2 isn't for you. You may be tempted to jump ahead to Part II and directly into PERFECT. But, be assured, there is value for you in these early chapters as preparation for launching The PERFECT Program\u2014not least in getting out from under the dead weight of misguided and counterproductive ideas.\n\nPlease also note that, while the nature of a book requires that it progress in some logical order, you will have a path out of addiction that is unique to you. You may have to linger longer in some phases of PERFECT; some parts may be more difficult for you to practice than others. Fine, this isn't a race. At the same time, Chapter 10, \"Triage,\" is your go-to chapter for crisis moments. If you find yourself at a loss or in urgent need, jump right into that chapter as your immediate reference and guide to your options.\n\nTaken as a whole, The PERFECT Program demystifies addiction. It offers a practical application of the best research, neutralizes the mythological power of inert substances and self-destructive behaviors, and gives you the knowledge and power to express intentionally the freedom you already sense inside you. It is a self-directed process of fortifying your life from the ground up and making addiction obsolete. It's an accessible, layered program, based on what we know to be true about addiction and what has been proven to overcome it.\n\nThe tools we offer you to achieve freedom are a synthesis of the best practices for changing how you respond to addictive urges, developing the skills to live fully and prevent relapse, and replacing paralyzing assumptions with positive options. Through PERFECT, you will learn new habits of mind and heart that reclaim your genuine self, expand and strengthen your life skills, and embrace a life of engagement, meaning, and purpose.\n\nThe origins of addiction are as complex and unique as the people who find themselves in its grip. But rather than homing in on what may have gone wrong in your life, The PERFECT Program teaches you how to build the foundation of your recovery on _what's already right_. You have a healthy inner core that instinctively rejects self-destructive behavior. You know this; you hear it cry out time and again. It may even have caused you to try to quit\u2014and to quit for a time. People are often discouraged when they fail to stay off an addiction, and such setbacks are often used to prove they have a disease they will never overcome. In fact, however, having quit previously for a time is a _positive predictor that you will recover_. Efforts at quitting show the most important thing about you in relation to your addiction\u2014that you _want_ to quit.\n\nThe PERFECT Program is presented in Part II in seven chapters, preceded by the preparations and materials you will need. Each chapter lays out a distinct part of the program that corresponds to a letter in the acronym \"PERFECT.\" These chapters incorporate three phases of change you will undergo: foundational (deep inner work), structural (creating a framework of life skills and values), and operational (living with balance and intention). Each chapter lays out clear goals for you to pursue, journal exercises, guided meditations, progress tracking, and other powerful tools you can use in your daily life. So, hear this: you are _not_ a passive spectator to your brain's functioning or an unfortunate victim of it. You are the primary generator of how your brain functions\u2014of how you function\u2014both in the here and now, and certainly over the long run.\n\n**PAUSE**\n\n_Mindfulness\u2014Learning to listen to yourself_\n\n**EMBRACE**\n\n_Self-acceptance and forgiveness\u2014Learning to love yourself_\n\n**REDISCOVER**\n\n_Integrity\u2014Finding and following your true self_\n\n**FORTIFY**\n\n_Coping\u2014Learning the skills for life management_\n\n**EMBARK**\n\n_Equilibrium\u2014Proceeding on an even keel_\n\n**CELEBRATE**\n\n_Joy\u2014Honoring your accomplishments and milestones_\n\n**TRIAGE**\n\n_Realignment\u2014Resources and actions for regaining lost footing_\n\nTo show how PERFECT works and to get you started, \"P\" stands for \"Pause\"\u2014a mark of mindfulness. This pause allows you to establish your calm inner essence. It also gives you space to consider your options\u2014including rediscovering and mobilizing your core resources. PERFECT focuses you on those things you know how to do, and to do well, so that you can generalize the competence and confidence you feel in these areas and build on hard-won feelings of self-worth and capability. Let's say you are an excellent car mechanic or athlete\u2014you can borrow the skills and self-command you bring to bear on these activities into areas where you feel insecure and perform poorly, so that you become less likely to turn to an addiction.\n\nAfter and along with pausing to consider and apply your mind to a problem, you \"Embrace\" (the \"E\" in PERFECT). Whom and what do you embrace? Yourself and all that you stand for and can do, now and in the future. _Embrace_ embodies the critical psychological idea of self-acceptance, which\u2014along with mindfulness\u2014is the essential foundation for living free of addiction. As with other key tools in _Recover!_ this is a contemporary psychological idea that corresponds closely to a Buddhist-inspired concept\u2014that of \"loving kindness.\" In addition to compassion for yourself, loving kindness conveys compassion for others\u2014which leads in turn to forgiveness.\n\nThe absence of self-acceptance\u2014in fact, the indoctrination in its opposite\u2014is the worst thing about the 12 steps. As practiced in addiction treatment throughout the United States, the steps hammer home that you are not worthy of your own and others' love. Self-acceptance, which takes you in the opposite direction from this self-denigration, is at the heart of The PERFECT Program.\n\nUsed as a guide for applying mindfulness and self-acceptance, _Recover!_ is your manual for asserting your power to overcome your addiction. In the following chapters, you can prepare for, then proceed mindfully through, The PERFECT Program and into your addiction-free life.\n* * *\n\nPART I\n\nTHE MEANING OF ADDICTION AND RECOVERY\n\n* * *\n\nCHAPTER 1\n\n_The Story of Rose\u2014An Addict_\n\nHow one becomes an addict, then recovers\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To describe what an addict's life looks like\n\n\u2022 To understand what caused her addiction\u2014what does she _get_ from it?\n\n\u2022 To learn whether she is doomed if she doesn't get with the 12 steps\n\n\u2022 To trace how she recovered through The PERFECT Program approach\n\n\u2022 To learn how to apply these insights to your own addiction\n\n**Purpose:** In order to combat addiction, for yourself, for a loved one, or in society as a whole, you need to see into the heart of addiction. This chapter will put you inside the mind of an addict, Rose, so that you can understand and appreciate her life and her thinking, and then will show you how she emerged from addiction through the course of her life. In this way, Rose is showing the way for you\u2014for all of us. Although Rose was addicted to meth\u2014what some consider to be a \"real\" addiction (a distinction with no meaning)\u2014her story illustrates _all_ addiction and recovery. Perhaps you'll find similarities between Rose's story and yours, regardless of the particular substance or activity to which you may be addicted. What's important for you is how Rose used The PERFECT Program to overcome addiction.\n\n* * *\n\nTo illustrate both how and why people become addicted, and how people recover according to the principles and practices of The PERFECT Program, consider Rose, who became an injecting meth addict. Rose was sidetracked from a promising academic career by an unexpected pregnancy. Weighed down by demands of part-time college attendance, single parenthood, and work, she turned to meth (also known as \"speed,\" \"crank,\" and \"ice\") for a \"pick-me-up\" to enable her to carry through her responsibilities, and especially her obligations to her daughter, to whom she was committed above all else.\n\nStruggling to support herself and her daughter, Rose felt constantly exhausted and on the verge of a breakdown. Her grades in college were marginal, not because she wasn't a good student but because she couldn't find enough time and energy to study. Meth seemed to offer redemption. After first taking meth, Rose felt invincible. She immediately cleaned her entire apartment. Stunned by how much she had accomplished\u2014it was still only 3 a.m.\u2014she brought out her textbooks and started working on her school assignments. At 6 a.m., done! By the time the sun came up Rose had formulated a new strategy for achieving the goals she had set for herself and her daughter. She saw the drug as giving a boost to her productivity and contentment so that she could carry the weight of her combined obligations. When the school year was over she would quit the drug, Rose figured.\n\nAnd meth served her purposes for a time. But given the stress in Rose's life, this balance didn't hold. Gradually, she stopped getting high to accomplish things. Instead, getting high became a goal in itself. Now she pushed her responsibilities aside to make time for her drug use. As the drug took center stage in her life, Rose fell farther behind, and she started to lose the things that were important to her. She abandoned her schooling, the reason she thought she began taking meth in the first place. Then she cut back her working hours. Although her co-workers could see that something was amiss, Rose still managed to be responsible\u2014only now for limited periods of time, after which she turned to her drug of choice. It was all she could do to hold on.\n\nWhen meth started to become her first priority, fearing her own behavior, Rose sent her daughter to live with her parents for a _temporary_ period (as she imagined it). It wasn't so much that she neglected her child as that she was overcome with worry that her daughter would notice something was wrong with her mother. This created in Rose a constant sense of shame whenever she looked at her child. But, of course, with her daughter gone, Rose could now use the drug without constraints. She associated exclusively with people who shared her use of meth. Her inhibitions lowered and her adrenaline elevated, she found it easy to make seemingly profound connections with other users, especially men. After spending all day and night talking nonstop, the interactions often turned sexual. But the deep connections she thought she was making invariably turned out to be one-night stands.\n\nNow she was taking the drug to feel alive and well, perhaps to hook up and feel\u2014if not loved\u2014at least desirable, and to forget her actual state of affairs. Rose no longer had any other way to make life seem okay to her. She deteriorated physically: her skin was an eerie shade of gray, marred by eruptions. She lost twenty pounds. _Who could find me attractive now_ , she thought, with what insight remained to her.\n\nAlthough she experienced panic attacks, Rose viewed sleep as an enemy to be avoided at all costs. She ignored the normal sequence of nights following days, since her energy came from a drug that disregarded the usual time schedules. Her user friends were awake and busy 24\/7. Days went by at hyper-speed, and she couldn't recall how many nights she had been awake. When her body and mind could not be pushed farther, Rose crashed. She and her friends often passed out in the middle of a sentence, dropped what they were holding, and fell asleep. Upon awakening, Rose repeated the whole process\u2014using, staying up for days on end, then falling into a stupor.\n\nBy now, Rose no longer gained the level of energy and feelings of escape that had formed the experience to which she had become addicted\u2014she had seemingly become immune to the drug's familiar effects. Instead of feeling nonstop motivation, staying up all night getting things done, Rose now needed the drug just to conduct daily activities\u2014she could no longer wake up and start a day without speed. At this point, Rose began injecting\u2014rather than snorting\u2014the drug. Rose's problem had morphed into self-induced narcolepsy, for which the only antidote was methamphetamine. She felt like she had become the victim of a kind of bait and switch\u2014that the drug and its effects had defrauded her!\n\nEach time Rose injected, she was filled with revulsion and guilt. Yet she carried on. She wished for a do-over; she promised herself that she was going to stop as soon as she finished the drugs she had on hand. Or next week. Or as soon as she found a better job. Rose missed her child more than anything. When it was time to go home for a visit, Rose obsessively primped her hair and makeup so that, she forlornly hoped, nothing would seem amiss to her daughter or her parents. Of course, they knew something was wrong, and Rose knew that they knew.\n\nThen she returned, guilt in hand, to her apartment and her drug. Despite her painful moments of awareness, the drag of addiction always managed to pull her back under. The regret and guilt of using in and of itself, especially after she began injecting, became her major motivation to use, since she was overwhelmed with a sense of dread when the effects of the drug wore off. Thinking of what she had given up to her addiction\u2014primarily her daughter\u2014triggered a pain for which she had only one remedy: meth. Rose could not see any way out of this mess. At least by using, she got relief for a time from her overwhelming emotional pain and guilt. She _needed_ to return to her drugged state. It was, in a paradoxical way, her comfort zone.\n\nBecause Rose failed to act against her addiction, she thought this proved her drug use was an illness. After all, everyone knew that drug addicts are powerless and out of control. That message was reinforced when Rose for a time attended 12-step meetings\u2014the only way she knew of to begin to address her problem. Rose came to believe she was not a normal person and could never be one, just a recovering person. But whenever she contemplated recovery, she rejected it. It was overwhelming and demoralizing: detox, rehab, meetings, steps\u2014 _forever_. Although what she was doing was no life for her, neither were the 12 steps. Besides, she knew so many people who cycled through recovery programs that she and her friends joked: \"Joe's in the spin-dry. He'll be back any day now.\"\n\nWith her addiction now so disabling, Rose decided not to attend her daughter's fifth birthday party. She couldn't stomach the masquerade and, mostly, didn't want to face the emotional pain of being a bystander at the event. Then, for weeks afterwards, she regretted missing this milestone in her child's life. This must mean she had hit \"rock bottom\" (a meaningless term to which we will return). Some time after that, she was revolted by what she saw in the mirror. _I'm far gone_ , she thought. Rose was hooked, without a doubt, especially since she had progressed from snorting the drug to shooting it intravenously in order to get more bang for her ever-diminishing buck. Her self-disgust and fear were now without bounds.\n\nMissing her daughter's birthday party had a special impact for Rose, and her thoughts constantly returned to it. It made clear to Rose, as nothing else could, that the costs of her drug use outweighed any benefits that remained from it\u2014even as this would have been obvious all along to anyone with an outside perspective. This experience, for Rose, finally made it intolerable for her to consider getting high. Rose didn't take the drug one day when she usually would have. She pulled out her daughter's pictures and mementos to give her a touchstone to cement her commitment to quitting. As one day without meth stretched to two, Rose was as amazed as anyone could have been that she didn't use. She had almost unintentionally detoxed, something she had always feared she could not do.\n\nAt first, Rose simply slept hard, then woke up angry. Then she slept more. She was ravenous, but didn't have the energy or the stomach to eat. Nonetheless, every hour she passed without getting high was as precious as gold in the bank, and each deposit made the idea of cashing out harder to conceive. When Rose felt that the worst of it had passed, she called her mother. As terrified as her mother had become through Rose's whole ordeal (the dimensions of which she could only surmise), she began crying as Rose explained what had been going on and asked her for help. Her mom came over with a homemade meal. Together they came up with a plan for Rose to reestablish her life, placing what was important at its center.\n\nIt might seem strange that Rose could form such ideas so quickly. But, really, they had been floating through her mind all along. All addicts have some kind of alternative, non-addicted identity waiting to surface. For Rose, this identity was always with her. Before she ever became hooked on meth, Rose felt that she was failing at what was most important to her: creating a comfortable, secure life for her daughter. Everything she did by working and going to school had been in the interest of achieving that dream, which somehow always exceeded her capacity.\n\nWith what she was struggling to achieve firmly reestablished in her mind, Rose moved back into her parents' house, rejoining her daughter's daily life. Rose returned to school and found a part-time job at a dentist's office (which was good, because she required considerable dental work). Although she had given up quite a bit of freedom, Rose now shared child-care responsibilities while living with her parents, and that support took enough of the burden off her that she could pursue her studies while sustaining her recovery from addiction. This arrangement contrasted with the level of responsibility Rose had previously thought she could assume as a single parent and student, but that had created an imbalanced life (too much output, not enough reward), which, in turn, had primed her for addiction.\n\nAll of this was by no means an easy journey for Rose. In addition to the painful way she had arrived at her current resolution, Rose still struggled with depression when she thought of what she had done and how far behind she had fallen. Her thoughts would sometimes sneak back to the drug, romanticizing her former life. But she quickly regained perspective and realized how really dreadful her life actually had become.\n\nMost important was that Rose was able to see the positive results of her changed life and to savor being clean. She was living in harmony with the goals that had been eluding her even before she became addicted. Rose was able to fit both play and quality time with her child into her schedule, as well as spending time with her family. Given where she was coming from, the situation seemed like a dream come true. Beyond this, Rose made space to run and do yoga. Her new circumstances honored the vision she had been working so hard for before her addiction. Now every facet of her life reflected her heart and brought her sense of purpose into sharper focus. She was using her values as a guide to create a place in the world for herself that she had dreamed of.\n\nAfter quitting meth, Rose began attending an Alcoholics Anonymous group in a church near her parents' home. But if she had hated the 12-step meetings she attended before, they seemed worse to her now. How could it be good for her to feel that she was powerless over her addiction after she had just quit meth? That made no sense. But these people were the experts, she thought, and their ideas worried her. Rose also entered a community program run by recovering addicts. There she always got the impression that she was a broken, horrible, incapable person whose core elements had to be ripped down and rebuilt according to a standard only the long-recovering addicts understood. She hated that feeling. Rose left the program and AA.\n\nInstead, Rose started attending a group for single mothers. She found that many of these women shared the same feelings of helplessness and loss of control that she had succumbed to, even if they hadn't become crank addicts. Feeling deeply ashamed, she finally brought up her former addiction to the group. It was a surprise to Rose when the other women told her that quitting meth the way she had was remarkable, and something she should be deeply proud of. Nor did they quibble with her having done so without 12-step support.\n\nRose also started seeing a psychologist. This woman didn't follow the 12 steps. Instead, she worked on Rose's self-esteem, which was essential to rebuilding her mothering and other skills. Rose used her therapy in support of turning her life around, of changing its entire trajectory. She progressed in school and later got a job that made use of her skills as she moved into a good career. In her late thirties now, she fell in love with a man and married him. Of course, despite the crushing addiction she experienced, there is quite a bit of life left for Rose, as there is for you.\n\n***\n\nWe see in Rose's case the basis of an addict's experience\u2014the stressful, overwhelming situation leading to drug use, then dependence on the drug; her sense of inadequacy and guilt; needing the rewards provided by the drug even _after_ these became a substitute for true satisfaction and instead caused further degradation. Yet somehow the addiction _protected_ Rose from recognizing how far she had fallen and how degraded her life had become. More important, we see through Rose's case the essential elements that led to her recovery, a recovery not dependent on an addiction-focused support group or belief system, other than a belief in herself and in the life she could create for herself and her daughter. For Rose, this meant learning to live her life in the moment, being aware of what the world had to offer her, while becoming aware of how her addiction deprived her of these pleasures and opportunities. The fundamental elements of recovery for Rose were her values, derailed for a time, then recaptured; the support and help she got from her parents, her group for single mothers, and her therapist; and her purpose in life\u2014her love for her daughter and a desire to further her and her daughter's life together.\n\nYou can use this method, too, by incorporating the values, purpose, motivation, support, skills, and\u2014underlying these\u2014the mindfulness and self-acceptance that comprise The PERFECT Program. Your story may differ substantially from Rose's. After all, you may not be addicted to a powerful illicit street drug, and you may not be able to move back with your parents as Rose could. But, in other ways, the path you travel may be quite similar to hers. _Recover!_ will enable you, like Rose, to reach into yourself and look around you in a mindful way to find all the elements of a satisfying, constructive, connected life that are essential for true recovery. _Recover!_ will also help you do another thing Rose did: to replace self-doubt and searing self-criticism with self-acceptance and self-love.\n\nCHAPTER 2\n\n_Explaining Addiction and Recovery_\n\nHow Americans learn to think like addicts; how to stop\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To understand what addiction is\n\n\u2022 To learn how the disease model originated and perpetuates itself\n\n\u2022 To grasp the downsides of thinking that your addiction is a disease\n\n\u2022 To examine the implications\u2014pro and con\u2014of the new brain science\n\n\u2022 To learn that people usually recover\u2014why and how they do so\n\n\u2022 To recognize your resources for recovery and launch PERFECT\n\n**Purpose:** This chapter discusses how we have come to think about addiction the way we do\u2014and how this isn't dictated by science, but by American tradition and cultural ways of thinking. It will take you through the history of the development of the disease concept of addiction, how this idea has been sold as \"science\" but (1) isn't science and (2) isn't helpful. You will learn that nothing is more natural than recovery and that you will recover if you follow the usual path addicts experience. Science tells us this. Understanding this truth allows you to maximize your opportunities to recover by clearing away the underbrush impeding your recovery.\n\n* * *\n\n* * *\n\n**CASE:** Alan, at age thirty-five, had smoked since he was a teen. He had been reading up on research on brain images of drug users. He summed up what he had learned: \"Smoking lights up the pleasure center of your brain. That's because nicotine activates the same reward pathways in the brain that other drugs of abuse like cocaine and amphetamines do. Research has shown that nicotine increases the levels of dopamine and adrenaline in the brain, neurochemicals that are responsible for feelings of pleasure and well-being. I can't produce enough of these chemicals anymore to feel okay without smoking, so I'd go through withdrawal if I stop smoking. I might never be able to experience pleasure again, in fact! How _could_ I quit?\"\n\n* * *\n\nThinking Like an Addict\n\nHere's the story: a way of thinking about addiction has grown up in the United States based on our temperance history. It is furthered by our modern \"brain revolution,\" supposedly steeped in the biology of behavior and reinforced by an economic juggernaut, that purports to find in neuroscience a full and tidy explanation for addictive behavior. Unfortunately, these cultural beliefs bear little resemblance to the reality of addiction and are not just unhelpful\u2014but detrimental\u2014to people who develop addictions. This is because both the 12 steps and the \"new\" neuroscience strive to convince you that you are an addict and will always remain an addict, which, by and large, isn't true. And if you dispute any part of this story, you are in denial, proof positive of everything they say.\n\nHow can I say that the standard addiction treatment is detrimental? I can prove it. A study compared people trying to stay off cigarettes, having quit, with or without nicotine replacement therapy (NRT)\u2014nicotine gum or patches. The neuroscientific model of nicotine addiction is that addicts become so accustomed to having nicotine in their systems that to deplete their accustomed level of nicotine disrupts their bodies and minds, creating irresistible cravings that cause them to light up. It _is_ true that smoking is a serious addiction; those experienced in multiple addictions place smoking at the top of the list of difficulty of quitting\u2014alongside heroin, above cocaine, alcohol, and amphetamines.\n\nThe quitting study, conducted by the most prestigious anti-tobacco group in the United States, the Center for Global Tobacco Control at Harvard, tracked a group of eight hundred smokers trying to quit who either did or did not use gum or patches. The investigators found that those who used NRT to quit didn't do better than those who quit without it. In fact, the most dependent smokers\u2014for whom NRT is supposed to be most helpful\u2014were twice as likely to relapse to smoking if they relied on NRT than if they did not.\n\nThere were howls of outrage from NRT specialists. Here's a typical response from a professional in the field who read my _Huffington Post_ story on the subject: \"What this article tells us is what we already know: that simply providing the availability of over the counter NRT without the guidance and support of a trained tobacco treatment specialist is not very effective.\" Except that's not what happened. \"Odds of relapse were unaffected by use of NRT for 6 (or more) weeks either _with_ or without professional counseling.\" The researchers who conducted the study were deeply invested in NRT. \"We were hoping for a very different story,\" said Dr. Gregory N. Connolly, director of the Harvard Center. These committed anti-tobacco warriors thus wasted millions of dollars\u2014and years of effort.\n\nHow is it possible that such advanced medical technology for ending smoking is _more often than not_ counterproductive? Certainly, some people succeed at _quitting_ with Nicorette gum or patches, and some remain tobacco free\u2014but the bulk do not, and there are more productive treatment investments. The key to quitting an addiction is motivation, along with a belief in the possibility of succeeding\u2014these factors are essential whether quitting addiction with, or without, treatment. Those who depend on NRT believe both (1) that they can quit without the necessary personal commitment, and (2) that they _cannot_ quit by means of their own personal strength and resources. In other words, they think like addicts\u2014 _which NRT forces them to do_. The moment of truth comes if and when these quitters also quit the nicotine replacement (which, of course, is addictive itself). _Most quickly relapse_.\n\nWhat Is Addiction?\n\nAddiction is not a by-product of the effects drugs have on your neuro-chemistry. It is also not your inherited neurochemical destiny. Addiction is a reliance on an involvement to run interference for your experience of your internal and external worlds. Addiction is a normal part of human experience, as is recovery. Addiction occurs when a person seeks out an experience, ritual, or reward to the exclusion\u2014and detriment\u2014of all other goals and activities. The measure of addictiveness is how absorbing, compelling, and harmful to the person an involvement is. Nothing else matters. Addiction can take the form of substance abuse or of compulsive behaviors like sex, gambling, or overeating. Whatever the involvement, to qualify as addictive it must lead to \"significant impairment or distress.\" But it does occur on a sliding scale\u2014yes, you can be more or less addicted.\n\nThe fifth edition of the American Psychiatric Association's _Diagnostic and Statistical Manual of Mental Disorders_ ( _DSM-5_ ), released in 2013, officially recognizes for the first time that addiction can occur with something other than drugs and alcohol\u2014that \"something\" is gambling. But we are all aware of many more addictions than drugs and alcohol. That food can be addictive\u2014that people struggle against compulsive eating impulses that make them unhappy and harm them\u2014is, seemingly all at once, being discovered by everybody. By a recent crop of neuro-diet doctors who claim that people become addicted to sugar\/carbohydrates\u2014that those foods light up the brain just as cocaine does, by authors of popular memoirs, and by analyses of American food production. Another evident example is love addiction. I wrote _Love and Addiction_ with Archie Brodsky in 1975 (in which we also discussed gambling and food addictions). Since that time, the discovery that love and sex are addictive has been an expanding universe in American psychiatry and psychology, drawing in neuroscientists, health writers, and filmmakers (the referenced sources are only a small reflection of their number).\n\nAddiction is a response to life circumstances ranging from trauma to an inability to deal with everyday demands to being in a depressed-traumatic time in your life. It can be short-term and limited in time and place or a chronic pattern. The most important thing for you to know about addiction\u2014knowledge the disease theory denies you\u2014is that most people, sooner or later, naturally outgrow it. Research continually demonstrates this truth. For instance, the National Institute on Alcohol Abuse and Alcoholism (NIAAA) discovered through a massive national survey of Americans' drinking histories that 75 percent of alcohol-dependent people recover and that the large majority do it on their own, without treatment or AA. The director of the research project, Dr. Mark Willenbring, noted: \"It can be a chronic, relapsing disease. But it isn't usually.\"\n\nYou don't need a study to tell you this about addiction. You have witnessed\u2014or even experienced\u2014this yourself: You must know someone who has quit smoking. Or maybe _you_ have quit. As I noted above, smoking is certified by multi-substance addicts as among the most difficult drug addictions to overcome. Why has it been so hard\u2014and still is for many\u2014to accept that smoking is addictive in the same way as other drugs? Because our very familiarity with the substance allows us to reject myths about it\u2014although pharmaceutical companies and associated physicians still insist that you need their products and services to quit. Yet, even with such ubiquitous marketing, most people quit smoking on their own, without treatment, as they have always done.\n\nHere's a scenario that will make sense to you:\n\nPhil, who had begun smoking in his early teens, had tried to quit smoking numerous times in his life but had finally resigned himself to being \"a smoker.\" In his late sixties, Phil awoke in a hospital bed after a heart attack. His first impulse was to light a cigarette. He asked his daughter, whose face he saw above him, to get him a cigarette and wheel him outside so that he could smoke. She told him that if he touched another cigarette, she would never speak to him again.\n\nPhil never smoked again.\n\nHow did Phil's experience relate to Alan's view of his addiction\u2014a view pushed by the leading figures in the addiction field? They fundamentally contradict one another. Here's what happened for Phil. Phil's core life wasn't about being a smoker. When push came to shove, it turned out he was prepared to sacrifice smoking when it was counterweighted by what was most meaningful to him\u2014being a father to his daughter. In fact, prioritizing parental love has cured more addictions than all other \"methods\" in the history of addiction combined\u2014and will always do so.\n\nThis isn't to say Phil did it easily\u2014after all, he had been smoking for half a century\u2014or that any smoker can or will quit quickly. But it doesn't help anyone to declare the task impossible! People may say, \"I just can't live\u2014be\u2014without smoking, drinking, pill taking . . .[*].\" It's a common sentiment, one that you might share. The truth is, however, that the qualities that make you _you_ are much more powerful and abiding than any addiction. When people overcome addiction, it's because they align their behavior with who they really are. When people recognize that something they are doing interferes with their deepest values or goals, they can leave destructive compulsions behind. It's a natural life process. Of course, there are many people whose natural recovery process needs a boost, and those are the people for whom The PERFECT Program is designed.\n\nThe PERFECT Program offers the information, guidance, and tools to ignite and accelerate your natural recovery process. It is supported by the best research in the field. If you have been through the recovery mill, or even if you are just a normal consumer of pop culture and pop science, you have been steeped in a heady concoction of misinformation and superstition about addiction, like the following primal addiction tale:\n\nI was always different from normal people. I was out of control, but I was in denial. When some horrible thing happened, I asked for help. I continued to fight the truth, but finally \"let go\" and admitted that I have a disease that I am powerless over. So, I stopped trying to run my own life; I turned my life and will over to a Higher Power. I am now \"grateful in recovery,\" counting every sober day as a gift, because my disease is always growing and I could relapse at any time and end up dead.\n\nThis redemption narrative\u2014or \"drunkalog\"\u2014is part of our cultural landscape. It's also a good place to start unraveling the history of addiction recovery in America, because the whole fairytale is bundled in this neat little package. Before I explain where these ideas originated, let's unpack the mythology:\n\n\u2022 **Myth:** Addicts are different from normal people, because they're fundamentally incapable of controlling themselves (anyone who can is not a \"real\" addict).\n\n\u2022 **Myth:** Addicts can never be like other\u2014normal\u2014people.\n\n\u2022 **Myth:** Recovery requires \"hitting bottom\"\u2014a do-or-die scenario.\n\n\u2022 **Myth:** Recovery is a blessing, bestowed by an entity outside oneself.\n\n\u2022 **Myth:** Addicts are powerless and cannot trust themselves, even when abstinent.\n\n\u2022 **Myth:** Addiction is always an incurable, progressive, fatal disease.\n\n\u2022 **Myth:** Recovery is a one-day-at-a-time proposition that _must_ include absolute abstinence and lifelong 12-step work.\n\nYou may believe that addiction is a disease that you are powerless over. You may also believe that recovery requires you to place your belief that you are an addict at the forefront of your consciousness at all times and that your addiction explains every dumb thing you have ever done. Maybe you believe that recovery is an unending, lifelong process, that it requires a spiritual awakening and perpetual maintenance, including total dedication to meetings and \"quit anniversaries.\" Meanwhile, you must avoid normal people, social situations, and mouthwash containing alcohol. Finally, you may think that the disease of addiction progresses full force, despite long periods of abstinence. That means that, if you drink a beer after twenty years on the wagon starting as a teen, you'll fall right back into your addiction as if you had been drinking uncontrollably the whole time.\n\nAll of this has been updated in the guise of modern neuroscience conflating the AA ideology with brain chemistry. But none of it is true. When you apply these ideas to other addictions\u2014like sex, love, shopping, gambling, the Internet\u2014you can see them as laughable. Addiction experts seem incapable of dismissing the obvious inconsistencies and self-evident untruths of the disease model, even with the wide swath of research that has undermined it. But _you_ must reject these ideas because, otherwise, they will keep you from outgrowing your addiction.\n\nThink of this question, \"Is love or food an addiction?\" How can something that all healthy people do be addictive? Then someone tells you how obsessed they were with a lover, not being able to sleep, devoting every waking minute to worrying and lamenting first about the relationship, then about its breakup, while avoiding all other activities and relationships. Or consider Mika Brzezinski, who admitted that she \"has been battling a junk-food addiction since she was 13 years old. She has spent much of her adult life consumed with food, operating on a disastrous cycle of binge eating, purging, and over-exercising to maintain an impossibly skinny figure.\" The truth about addiction is that food and love are addictive in the same sense that pain-killers (including heroin), cocaine, and alcohol are\u2014they are addictive for some people in some situations or at some moments in their lives. Nothing is itself inherently addictive.\n\nSo how useful is it for you to consider that you have a disease and abstain from all contact with that experience? As I discuss in Chapter 3, of course you can't abstain from love and food. And, on the other hand, the success rate for disease-oriented, abstinence-obsessed 12-step treatment\u2014along with its neurochemical equivalents\u2014is not better, and may actually be worse, than not receiving treatment at all. I showed this above in the case of smoking. Research has likewise found significantly higher rates of relapse among alcoholics in AA than among alcoholics who go about quitting on their own or who are treated with other methods. If you believe that taking one drink is identical to having one hundred drinks and that you have a progressive disease that makes you powerless to control yourself, you won't just hop off the wagon\u2014you will swan dive off it. Indeed, William Miller and his colleagues at the University of New Mexico tracked subjects following outpatient treatment for their drinking problems. The researchers found two primary factors predicted the likelihood of relapse\u2014\"lack of coping skills and _belief in the disease model of alcoholism_.\"\n\nRelying on the recovery-world idea of addiction\u2014now cloaked in neuroscience\u2014as an unconquerable disease instead of as part of normal experience has hurt us badly. As new brain discoveries uncover new addictions all the time, all presumably as uncontrollable as the original addictive diseases, we nonetheless congratulate ourselves on our modernity and medical progress. Yet we have no fewer addicts now than we did a century ago, and probably more, many more. Why, then, do we feel so confident that we have a handle on addiction, while our addictive problems expand endlessly?\n\nWhere Did the Disease Model Come From?\n\nAmerica has a temperance tradition. Carry A. Nation\u2014the axe-wielding, saloon-busting zealot\u2014is the best-known figure in the Temperance Movement, which was the engine powering the passage of national Prohibition in the United States in 1920. Temperance was\u2014and is\u2014a large part of our thinking. For us, Carry Nation may be the face of rigid sanctimony. But her conception of alcohol's impact on society arose from the wellsprings of American culture. Temperance resonates powerfully with attitudes that took hold in America in the nineteenth century, continued to grow in the twentieth, and are still expanding in the twenty-first. At the same time, they catch in many people's throats, as they did during Prohibition. And they always will.\n\nTemperance envisioned an epic battle between Good and Evil. On the eve of national Prohibition, in a national radio hook-up heard by millions, the Reverend Billy Sunday expressed the Temperance viewpoint:\n\nThe reign of tears is over. The slums will soon be a memory. We will turn our prisons into factories and our jails into storehouses and corncribs. Men will walk upright now, women will smile and the children will laugh. Hell will forever be rent [split asunder].\n\nBilly Sunday's legacy in our lives is a tragedy. (Sunday's demonization of alcohol didn't work at home\u2014while he himself lived a long life and was a moderate drinker before donning the cloth, his two sons died prematurely due to their alcoholism.) Our Temperance tradition has effectively nailed one of America's feet to the floor, and we have been marching in circles ever since. Addiction to legal and illegal drugs and alcohol certainly remains with us, and by all measures is increasing. The growth in addiction includes many new drugs unknown during Temperance and many things that weren't even imagined, or that at least weren't so effortlessly accessible so that their addictiveness wasn't as obvious as it is today (Internet pornography, games, and gambling, among others).\n\nThis moralism cum science that pervades addiction theory and practice (as Alan Marlatt so succinctly put it, \"The disease model is the moral model in sheep's clothing\") cripples us. Why should we saddle ourselves with ideas about substance use and addiction that plainly and simply don't work, and that actually hobble our ability to deal with them individually and as a society? On top of our quirky American outlooks and cultural inertia, we have added a multi-billion-dollar addiction treatment industry that aggressively maintains the status quo. Thousands of treatment facilities, addiction counselors, publishers, and \"recovery landlords\" (people who run sober living facilities) are financially dependent on the revolving door created by their staggering failures. Onto this juggernaut have been added the pharmaceutical industry's and addiction medicine's claims about addiction\u2014primarily the claim that we are doomed without their products and services.\n\nAA treats addiction with an appeal for divine intervention. The emergent but hidden truth is that current disease approaches reflect the same magical thinking that inspired Temperance activists a century ago\u2014our supposedly modern genetic and neuroscientific approaches are actually more of the same. The abject failure of Prohibition did not fundamentally change our approach to substance abuse. Instead, it shifted our point of attack. In place of a universal ban on drinking, alcohol was transformed from a public demon to the personal one of alcoholism. The battlefield is not the nation at large so much as it is the individual. Our view has shifted from the addict as a moral failure to the addict as a disease victim, although the two ideas remain inextricably similar. As the devil takes control of evil-doers, internal genetic and biological forces take control of addicts. It's not their fault but, underneath it all, these theories still blame addicts for their weakness.\n\nThe remnants of Temperance and Prohibition are everywhere evident in the United States\u2014in dry counties and cities, state alcohol monopolies, and alcohol \"blue laws.\" Many people\u2014including public health officials\u2014still hold that alcohol is inherently \"evil\" or the equivalent view that it's a poison with inexorably bad health effects. This remains true even now that the _Dietary Guidelines for Americans_ in 2010 noted strong evidence that regular, moderate drinkers live longer because alcohol reduces heart disease. Of course, most Americans believe that cocaine, heroin, and methamphetamines are evil incarnate and that once people use these substances, or use them regularly, the drugs' effects make addiction, brain damage, and other destructive consequences inevitable. But as I have shown in my books from _Love and Addiction_ on, and am now joined in proving by others like Columbia University psychopharmacologist Carl Hart, the effects of illicit drugs are sensationalized to confirm our cultural beliefs. Hart's and my purpose isn't to encourage drug use; people evidently have plenty of motivation for that on their own. It is to locate and address the source of the problem where it exists\u2014for Hart, this is especially in inner-city environments.\n\nThe Brain Revolution\n\nHasn't all of the prior discussion been rendered moot by stunning advances in brain science\u2014haven't brain scans, MRIs, and PET scans located exactly where in the brain addiction takes place? Can't we _see_ it there? The short answer is \"No.\" There is no brain scan according to which a person can be said to be addicted, as opposed to showing the acute or chronic effects of cocaine or another drug or powerful experience. No one is diagnosed as \"addicted\" based on a brain scan. And no one ever will be.\n\nScience is not science when it is handmaiden to mythology, received opinion, entrenched business and professional interests, and ongoing government policy and, _especially_ , when it isn't effective in the realm it was designed to handle. Ergo, we have the modern era of addiction science and medicine, as represented in the newly minted (in 2011) American Board of Addiction Medicine (ABAM). According to the _New York Times_ , in an article entitled \"Rethinking Addiction's Roots, and Its Treatment,\" addiction has finally been resolved by neuroscience\n\nThis is an old, old story. In fact, the science already tells us that addiction can never be resolved neurochemically, genetically, or biologically. And everyone\u2014even the neuroscientific experts who flack the new disease approach\u2014knows that this is true, and that addiction is increasing and will continue to increase. Let's take a trip back over the decades to 1977, when a prominent neurologist, Richard Restak\u2014the excitement catching in his throat\u2014called the newly discovered neurochemicals, the endorphins, \"a group of substances that hold out the promise of alleviating, or even eliminating, such age-old medical bugaboos as pain, drug addiction, and, among other mental illnesses, schizophrenia.\"\n\nWhat fruits have we reaped so far from the neurochemistry revolution? Have mental illness and addiction disappeared? Have they decreased? In fact, they've increased dramatically beginning almost exactly at the time those words appeared.\n\nAs for genes, you have heard about the Human Genome Project, which mapped all of the chemical sequences on human DNA\u2014the stuff that determines our biologically inherited selves. That mapping was completed on April 14, 2003. But there is still no gene for addiction. Although the Human Genome Project has provided a wealth of information, its bottom line is that single genes\u2014or even groups of genes\u2014 _cannot account_ for complex conditions, behaviors, and mental dispositions.\n\n_Pleasure and brain scans_\n\nThere is a voice of the new addictive brain revolution\u2014it's the voice of Nora Volkow, head of the National Institute on Drug Abuse (NIDA), heard on _60 Minutes_ , in the _New York Times_ , and inside all of our heads. And that voice says, \"Addiction is all about the dopamine.\" According to Volkow, drugs operate through dopamine receptors in impacting the pleasure centers of the brain. Since drugs stimulate people's pleasure centers, the person's brain becomes dependent on drugs in order to achieve pleasure. Or, genetically, addicts are initially deficient in their dopamine production and processing and therefore require drugs to achieve the pleasure the rest of us experience normally.\n\nSimple and appealing, right? And it's science to boot. But does it make sense? Do people get addicted to pleasure? Don't we all experience more or less pleasure from many different things? And doesn't how we react to that pleasure depend on a myriad of factors? Perhaps you think that cocaine is different, much more pleasurable. Recall my discussion earlier that experienced addicts find cigarettes harder to quit\u2014more addicting\u2014than cocaine. But you don't have to use drugs to stimulate your dopamine levels: Volkow and associates \"have used PET scans to show that even when cocaine addicts merely watch videos of people using cocaine, dopamine levels increase.\" Researchers \"demonstrate similar dopamine receptor derangements in the brains of drug addicts, compulsive gamblers and overeaters who are markedly obese.\"\n\nVolkow's brain revolution is headed into every serious area of our lives. Many activities stimulate the brain's pleasure centers. And, now, Volkow and others are saying these are addictive in the same way drugs are because they activate the same parts of the brain. I noted that the new edition of American psychiatry's bible, _DSM-5_ , for the first time recognizes as addictive a non-drug-taking activity\u2014gambling. In addition, the DSM committee is contemplating adding gaming as an addiction. But why stop there? As the authors of _The Chemistry Between Us: Love, Sex and the Science of Attraction_ make clear, \"Dopamine is involved in reward and motivation for everything we do in life\u2014whether we're eating good food, drinking good wine or interacting with our kids and family.\"\n\nSo, we learn, these groups of people\u2014drug addicts, compulsive eaters, and gamblers\u2014respond with brain changes to seeing, even thinking about, their addictive activities. Does this really explain why people become addicted\u2014ruining their lives and those of their families? Does everyone whose brain lights up due to using cocaine become addicted, and do those who do stay addicted? Maybe they will become more restrained as they mature. Maybe they will occupy themselves with other things\u2014leading more productive lives, doing the right thing, taking responsibility for the well-being of children\u2014that will cause them to restrain themselves, as love of a child did for Rose and Phil.\n\nIf so many things stimulate dopamine production and the pleasure parts of the brain, and since all of us eat, have sex, and at some time were exposed to gambling or gaming (another activity to which many become addicted), are we all addicted to one thing or another at some point? Perhaps we are. Then what might once have been considered human frailties to be worked on, alleviated, and perhaps even accepted become lifelong disease diagnoses. But, of course, we recognize that some people become addicted to the same activities while others do not. What, then, accounts for these individual differences?\n\n_Self-control and the brain_\n\nCan we locate addiction in the brain? Dopamine implicates the limbic system. But in addition to finding pleasure centers, neuroscientists must add another layer when they talk about addiction. These scientists recognize what you and I do\u2014that not all people who experience pleasure from doing something, even very intense pleasure (think sex again, or eating), simply go out and repeat that activity ad infinitum. For instance, many people consume cocaine without being addicted to it\u2014even though they, too, find it very pleasurable. You know this is true, too, because people may become addicted to amphetamines in the same way they do to cocaine (remember Rose), and yet amphetamines are used in popular prescription drugs such as Adderall.\n\nWhy don't most become addicted? Addiction theorists focus on the frontal lobes as the center of \"executive\" control functions:\n\nAlcohol and substance abuse disorders involve continued use of substances despite negative consequences, i.e., loss of behavioral control of drug use. The frontal cortical areas of brain oversee behavioral control through executive functions. Executive functions include abstract thinking, motivation, planning, attention to tasks and inhibition of impulsive responses. Impulsiveness generally refers to premature, unduly risky, poorly conceived actions. Dysfunctional impulsivity includes deficits in attention, lack of reflection and\/or insensitivity to consequences, all of which occur in addiction.\n\nAnd so addicts are marked by impulsivity, which is associated with the frontal lobes.\n\nAs with all such claims, this one involves a simplified and schematic idea of the brain. Figure 1 in the quoted reference is titled \"A Simplified Schematic of Frontal Cortical and Limbic Brain Region Circuitry That Contribute to Addictive Behavior.\" You and I couldn't make sense of this \"simplified\" schematic, let alone the actually functioning brain, whose activities defy description. The limbic system is very, very complex and is associated with, among other things, emotions, pleasure, and memory. But Joseph LeDoux and many other neuroscientists regard it as impossible to map specific human experiences onto designated places in the brain\u2014so many parts are involved in so many functions. For LeDoux, this thinking traces back to ideas about brain anatomy that neuroscientists now know are inaccurate and no longer use. Do you remember phrenology?\n\nIn 2012, a study in the prestigious scientific journal, _Science_ , reported finding a neurogenetic basis for substance abuse. The _Time_ headline about the study read, \"Siblings Brain Study Sheds Light on Roots of Addiction.\" Subjects were identified based on their chronic use of various drugs: most often cocaine, but also amphetamines, heroin, and alcohol. These individuals were compared with their siblings, who weren't substance abusers. Presented with cognitive tests, both the chronic substance abusers and their non-abusing siblings showed poor impulse control compared with most people. \"Brain scans also showed that siblings had similar abnormalities in the connections between their inferior frontal gyrus, an area of the brain involved with self-control.\"\n\nNow, the question is, why did half the siblings become addicts if all were poor at controlling their impulses? Apparently not only were the drugs not responsible for addiction, but neither were the siblings' brain deficits, which the sibling subjects shared. What we still don't know from this study is why the siblings with similar brain structures and weak self-control differed in their substance abuse. Apparently, people don't control themselves or fail to do so solely because of the \"connections between their inferior frontal gyrus.\"\n\nThe insightful author of the _Time_ article, Maia Szalavitz, wrote:\n\nInterestingly, the authors note, these connectivity problems are similar to those seen in the brains of teenagers, a group that is characterized by impulsive behavior. It is almost as if the brains of addicts are less mature. Perhaps that helps explain why some addiction wanes with age. Studies find that most people who struggle with alcohol and other drugs in their 20s \"are out\" of their problems by their 30s, typically without treatment.\n\nBut if this impulsiveness\/addictiveness is naturally outgrown, then why talk about a lifelong disease? We're in an entirely different realm altogether, the realm of _Recover!._\n\n_Can people control themselves\u2014how?_\n\nAt the beginning of this chapter, I wrote that addiction is a consuming behavior or involvement that you rely on, but that detracts from your life by making you miserable or limiting your ability to engage the world freely and effectively. How does that fit with modern neuroscientific discoveries, such as that drugs and some experiences activate the limbic system and cause the body to produce pleasurable brain chemicals, such as dopamine? The body and brain thus become accustomed\u2014acclimated\u2014to this stimulation and production, and _can't live without it_.\n\nOf course, that last phrase is the key. Alan figures he can't live without cigarettes stimulating his limbic system and producing dopamine; Phil seemingly acted that way\u2014until he quit for his daughter's love. In fact, that drugs and gambling and shopping\u2014and, as we have seen, not only these things\u2014cause brain and neurochemical changes is really no great revelation. _Every_ stimulus and human experience translates to some action of the brain. And the more powerful and engaging for you the experience, the greater the brain changes are likely to be. In this sense, then, _you_ control your brain's reaction through how strongly you respond to something or how appealing you find it to be.\n\nYour brain and neurological system adapt to this stimulation. Remember homeostasis in tenth-grade biology? The body, down to the cellular level, responds to stimulation by retracting its natural responses and creating counteracting responses, to achieve balance. You become inured to an experience, less sensitive to the stimuli, so that you need more of the external stimulation to achieve the same level of that experience that you initially attained with less effort. If that stimulation stops, the body springs back the opposite way, the more so as our body acclimates to the initial stimulus. Here is the neuroscience of all pleasure-addictions from Nora Volkow: \" _Once the brain becomes less sensitive to dopamine, it 'becomes less sensitive to natural reinforcers' such as the 'pleasure of seeing a friend, watching a movie, or the curiosity that drives exploration_. _'\"_ Volkow's definition of addiction here is actually quite close to mine, but for its being couched entirely in terms of your nervous system.\n\nWhat is the most stimulating, pleasurable experience humans can have? For most, the answer is sex. The psychiatric diagnostic manual hasn't quite gotten around to recognizing sex as addictive. _DSM-5_ also rejected _hypersexual disorder_ , which sounds a lot like sexual addiction (not to mention the now-discredited _nymphomania_ ). It is defined by \"evidence of personal distress caused by the sexual behaviors that interfere with relationships, work or other important aspects of life.\" Yet it turns out that people with hypersexuality don't find sex any more stimulating\u2014\"They look just like normal people with high sex drive.\"\n\nMost of us\u2014even with high sex drives\u2014fit sex into the normal course of our lives, as pleasure subordinated to the rest of our needs, like making a living, raising children, fitting in with society, avoiding being classified as a sexual predator, and so on. Most of us control our sexual urges much of the time\u2014although many of us have had our moments of uncontrollable delight, and misery, around sex and its deprivation. We wouldn't rape someone, kill for it, spend ourselves into insolvency, or otherwise ruin the rest of our lives to satisfy that itch in our loins. _This has always been true; it will always be true; nothing discovered in the brain can change this reality._\n\nExcept now the advent of free Internet porn has led to a remarkably large number of addictions. We all become used to\u2014sated with\u2014sex with the same partner. Most of us accept this\u2014more or less. Sexual and marital best-sellers, marriage manuals, and _Cosmopolitan_ are full of methods for keeping sexual desire alive and for restimulating couples' sex lives. Others remedy the loss of desire within long-term relationships by seeking the stimulation that comes with extramarital sex. Do those people experience more pleasure from sex, more satiation from long-term relationships, have deficient (or excessive) dopamine levels, or have bad inferior frontal gyru connections? Or are they just more likely to have extramarital affairs, for one reason or another?\n\nSexual addictions often take the form of addiction to Internet porn: \" _I sold porn on the Internet for over 10 years. It ruined relationships and led me down a dark road of heavy use.\" Marnia Robinson (who writes a Psychology Today_ blog alongside mine) has focused on Internet porn and addiction, finding it the dominant addictive problem of our time. She describes men who masturbate throughout the day, lose the ability to engage in normal sex with, or be aroused by, spouses and other lovers, and become slaves to porn.\n\nCan no one then overcome an addiction to porn? Of course they can. The above quotes come from a blogpost by Robinson and Gary Wilson called: \"Guys Who Gave Up Porn.\" Here's what happens to them:\n\nMost experience weeks of uncomfortable, temporary withdrawal symptoms [note from me: withdrawal symptoms _are_ temporary\u2014that's the definition of withdrawal], such as mood swings (irritability, anxiety, despair, apathy, restlessness), insomnia, fatigue, very frequent urination, intense cravings or flat libido, etc. One man charted his ups and downs. Happily, recovering users often become more responsive to pleasure even before the withdrawal symptoms and hypersensitivity to porn cues stop: _After 34 days I tested myself. I could masturbate to orgasm without thinking about anything for the first time of my life. And erections came much more frequently and stronger. At the same time I knew with absolute certainty that the process wasn't finished yet._\n\n_How and why do people stop being addicted?_\n\nI've used the term \"neuromeme\" to mean the style of representing human experience, motivation, and behavior in neurological\u2014brain chemistry and mechanics\u2014terms and images. As a culture, we increasingly seek explanations for our behavior in neurochemicals and brain activation, as though that were the total answer. The most important part of this neuromeme, I have shown, is the idea that we have no control over whether and how the addictive process starts and, once it's occurred, whether or not we quit. This is the \"hijacked brain\" invented by Volkow's predecessor as NIDA director, Alan Leshner (and popularized by Bill Moyers's 1998 PBS series, _Close to Home: Moyers on Addiction_ , on which I was a consultant).\n\nThese neuromemes are repeated constantly in popular broadcast media, magazines, and Internet sites. We now as a culture think in these terms. Yet nothing in those PET scans indicates that something has happened to a person's brain to finally hijack it, the exact moment this happens, and when it stops\u2014which, as we shall see, is the typical outcome for addicts.\n\nOne addict who personifies this mystery\u2014how the brain is apparently hijacked, but then recovers\u2014is Marc Lewis, who writes about his life as a drug addict in _Memoirs of an Addicted Brain_ : _A Neuroscientist Examines His Former Life on Drugs_ (Perseus, 2011). Lewis is a neuroscientist. He quit his drug addiction. Here's what Lewis says about that:\n\nSo this time was obviously hugely different. How did it work? I'm really not sure. Basically, I reported what happened. The details are accurate. I didn't have an instruction manual, so I can't really say what was going on or precisely what I did that time that unlocked a new door. But here, I'll try. I had recently endured two particularly shitty events. My girlfriend left me, which broke my heart, and my friends found me, semi-comatose, on a toilet seat in a public building with a needle sticking out of my arm, which was intensely shame-inducing. I think by then I had built up a lot of rage, not just self-contempt and all that but real rage\u2014toward drugs.\n\nA lot like Rose and Phil, really, when you think about it\u2014love and physical illness and shame caused both of them to quit their addictions. All three of them, including Lewis, were addicted, and thought they were stuck. But events proved them wrong.\n\nLewis deals with what we would all agree was the most important part of his addiction\u2014quitting it\u2014as almost an afterthought, as reflected in his title for the piece: \"How I Quit. . . . At Least, How I Think I Quit.\" Lewis says he didn't have the manual for brain change\u2014even though he is a neuroscientist and his book is full of discussions of the brain. But, really, at its base, Lewis's book is about his awkward and isolated growing up and the relief that drugs provided him. What he is really doing is trying to translate experiential psychology into neuroscience. That actually can't be done\u2014as Lewis finds: despair, love, and shame just don't come stamped with labels on brain scans. Experience and brain dynamics remain forever distinct entities.\n\nMoreover, as Carl Hart and Maia Szalavitz note about media images of permanent drug-induced brain damage in the case of methamphetamines,\n\nThe problem is that the hype may do serious damage to those struggling with methamphetamine problems. \"One of the major reasons I did the review is that one of the most effective treatments is cognitive behavioral therapy,\" says Hart. \"The argument has been made that these people can't benefit because they are cognitively impaired and can't pay attention. There's no scientific evidence to support that position.\"\n\nIndeed, the idea that those who take methamphetamine are more likely to fail at treatment or need longer-term care than people with other addictions is not supported by the data, either. Unfortunately, by pushing the idea that methamphetamine damages the brain, researchers may inadvertently deter treatment seeking, both by making people with addictions feel hopeless and by making providers have less faith in their ability to help.\n\nOf course, treatment may consist of convincing addicts of exactly these myths, which is one reason Rose felt she had to reject the treatment she was offered in order to recover.\n\n_The abuse trap_\n\nLewis's painful upbringing and subsequent drug abuse are not unusual\u2014although, as we will see, his experience is far from the typical substance abuser's or addict's case. But the abuse explanation has become another prominent theme in the addiction lexicon, and many unwary addicts have dead-ended on this sidetrack. Let me note without hesitation that childhood abuse is bad for human beings and produces bad outcomes. But, in the overwhelming majority of cases, it is surmountable and people do overcome it. Nonetheless, there is now an entire subcontinent of addiction clinicians who seek out unremembered childhood abuse as the explanation for every case of addiction they encounter. Moreover, many trace back such re-imagined abuse to imagined brain chemistry. Even such a prominent addiction specialist as Gabor Mat\u00e9, the Canadian physician and author of _In the Realm of Hungry Ghosts_ , believes that early abuse, neglect, and even\u2014casting a wide net\u2014stress and lack of affection permanently impair people's ability to process brain chemicals that provide us with pleasure and pain relief.\n\nMat\u00e9 then claims these deficiencies in addicts' neurosystems cause them to self-medicate to replace their missing neurostimulation. This is actually a specialized version of the brain\/neurochemical model we saw, but now steeped in childhood abuse, in which people are addicted to drugs as replacements for missing brain chemicals brought on by the abuse. As important as is Mat\u00e9's work with addicts, his simplistic vision of addiction in which abuse history and imagined biochemical changes become the essential causes of people's self-destructive behavior can be as incapacitating as genetic neurochemical deficiency models.\n\nIt is not enough to say that this model is highly conjectural. It also isn't true\u2014that is, it makes little sense of the world. A huge epidemiological study of early childhood experiences found that 3.5 percent of people with four or more adverse childhood experiences ever injected drugs. It was a higher number than for the general population, but still only a tiny portion of the group. Of course, few people in the overall population become heroin addicts, but the same research included alcohol dependence. With drinking as with drugs, the rates of dependence follow the same elevated trajectory depending on the number of adverse childhood experiences. But they are still only slightly higher for abuse victims\u201416 percent versus around 10 percent. So abuse models of addiction like Mat\u00e9's tell us little. And even when abuse victims become addicts, there is no way to separate out negative psychological consequences of their dysfunctional upbringings. These consequences, even though they can't be translated into identifiable brain malfunctions, could nonetheless fuel a person's addiction.\n\nWorst of all, focusing on childhood as the determinant of addiction detracts from our awareness of people's natural tendency to overcome abuse and addictive experiences. We might ask, first, what protects the other 96.5 percent of abuse sufferers who don't inject drugs and the 84 percent who do not become alcohol dependent? On top of this, what about the strong tendency described throughout this chapter and _Recover!_ for people with addictions to recover naturally? Focusing on abuse as an irreversible cause of your addiction does not support your efforts to confront your abuse and overcome its effects on your life.\n\n* * *\n\n**CASE:** Suzanna was a doctoral student, age twenty-seven, who\u2014it might seem ironic\u2014worked with an alcohol research group. Ironic because she worried about her drinking. She drank daily\u2014rarely becoming intoxicated\u2014but needing to have three to four drinks of alcohol to feel okay, and sometimes on weekends drinking more. She felt guilty about her drinking and didn't let other people know about it. Reading writers like Marc Lewis, the neuroscientist quoted above, she decided her drinking was permanently lodged in her brain due to her childhood experience. For Suzanna had been abandoned by her mother.\n\n* * *\n\nSuzanna, like many modern Americans, seeks an answer to her problems in a childhood that her reading tells her has irreversibly altered her brain. How _helpful_ is that for her? There will never be\u2014never can be\u2014a way to find lesions in the brain that stand for Suzanna's abandonment, ones that could clearly point to her drinking issues. And, please do recall, Lewis himself overcame his drug-injection addiction, more or less spontaneously. But Suzanna was caught up in this sidetrack, to the exclusion of those avenues she might have pursued successfully.\n\n_Your brain changes when you change_\n\nNeuroscience doesn't explain addiction nearly as well as it explains recovery. This is because neuroscience has the most to say about the brain's ability to be reshaped\u2014and to reshape itself\u2014while forming new connections, which is called _neuroplasticity_. Researchers time and again have discovered how adaptable the brain is\u2014for example, brain-injured people typically replace lost functioning by shifting these functions to other parts of the brain (\"rewiring\") and through new neural development. People's brains change all the time due to external and internal stimuli. _All_ of the various experiences you have compete, counteract, and disallow one another. Most important, you control which of these experiences are seminal or dominant, as when Phil (or anyone) quits smoking because his values override a mindless habit.\n\nNow that brain chemistry has become a runaway train, serious writers and clinicians believe they must point at their brains and talk in neurospeak when discussing every kind of behavior. In their brilliant book, _Brainwashed: The Seductive Appeal of Mindless Neuroscience_ (Basic Books, 2013), Sally Satel and Scott Lilienfeld detail the extent to which neuroscientific theories pervade modern thinking. Calling this the \"neurocentric\" view of the mind, Satel and Lilienfeld detail how this view is based on simplistic and inaccurate ideas about what brain scans can actually tell us. At the same time, they show that this view denies the reality of choice and personal responsibility and leads to bad decision making throughout society, including not only psychiatry, but also the legal system.\n\nObviously, the same reliance on brain concepts and neuromemes is occurring in the addiction field. High-end practitioners use brain scans or similar tests to show that individuals' frontal lobes aren't sufficiently activated. What is sufficient frontal lobe activity, how complex neural patterns in the prefrontal cortex in combination with other parts of the brain express themselves in thinking and behavior, whether drug takers who use and don't become addicted show similar MRI results\u2014all those considerations are irrelevant to these practitioners. It is a way of thinking people often want to hear. The crucial difference is between those, like Dr. Drew of \"Celebrity Rehab,\" who claim that \"hypofrontalism\" is a permanent brain disease that means people's self-restraint is dead and can't be revived and those who understand that self-restraint is an area for addicts to work on using cognitive-behavioral techniques.\n\nPeople may find it useful to think in terms of their brains when they change old patterns. But you don't need to see a brain graphic to know that people initiate change. Because you know people like Phil and Rose, and you may be one of those people, who quit smoking or other addictions. The \"hijacked brain\" and \"chronic brain disease\" memes ignore this natural ability of the brain to reform itself. The idea that a person's brain scan depicts their addictive past, present, and future is poppycock.\n\nSome of the ways to change brain function that have been measured include meditation and through related mindfulness, breathing, and relaxation techniques and self-acceptance. One way to think of mindfulness practices to defeat craving is that they disconnect existing brain patterns, what some call the neural craving network, while creating new neural pathways. But your principal concerns are the practices that you consciously control\u2014the more often you engage in such techniques, the more readily your brain adapts and responds to them. What is critical is to start, practice, and continue these new ways of thinking and acting.\n\n_Working against people's own natural growth_\n\nAs I have indicated, AA and the 12 steps are popular out of all relation to their ability to address and to remedy addiction. But, nowadays, the public relations behemoth in support of chronic brain disease-ology has even more backing than from celebrity recovering addicts\/alcoholics who promote the 12 steps. Many more institutions, livelihoods, and reputations depend on the disease of addiction today than when Bill Wilson and Bob Smith reached into American religious mythology to create the 12-step philosophy. These include now addiction medicine, manufacturers of an emerging array of pharmaceuticals, and the neuroscientific research industry itself, all in addition to the vast network of Betty Ford\u2013style, 12-step rehabs. Only, now, the usual 12-step bromides and treatment are couched in neurochemical and brain terms while simply performing the same ancient rituals based on the same faulty logic, data, and visions of the sources and trajectory of most addiction. This large\u2014and growing\u2014industry requires that more of us believe that we are suffering from lifelong addictive diseases. What is happening to the idea that we can outgrow, that we can be encouraged to outgrow, and that we should outgrow addiction?\n\n_Outgrowing addiction_\n\nThe ability to change an addiction is something we all know about. As in Maia Szalavitz's analysis of the decline in impulsivity as people mature (and maybe experience changes to their inferior frontal gyrus), we have all seen and experienced it. When interviewing sociologist Thomas Vander Ven, who, in his book _Getting Wasted_ , described how most college binge drinkers (more than 40 percent of undergraduate students) are drinking to overcome social anxieties and to gain a sense of belonging in their first time living away from home, an interviewer for the online magazine _Salon_ had an affecting reaction:\n\nA lot of what you say really rings true. I definitely had a lot of social anxiety when I was in college. I was on a varsity rowing team, and I was gay, and I drank partly to get over the awkwardness that came with that. . . . And as soon as I left college\u2014it was almost instantaneous\u2014the idea of being hungover just became extraordinarily unappealing and I stopped drinking so much.\n\nVander Ven responded to his young interviewer: \"That's a lot of people's experience\u2014drinking in college is just a very different enterprise than once you graduate.\" That is, unless you are convinced you have a lifelong disease. In the meantime, Hazelden and other treatment providers are expanding big-time into treatment facilities dedicated to adolescents\u2014in the case of Hazelden, to the tune of a new multi-million-dollar campus for teens.\n\nWhy don't we hear from all of the people who outgrow their alcoholic\/addictive phases? On the one hand, it's so natural that we don't find it exceptional or noteworthy\u2014even as Hazelden and others hard-sell the opposite, counterintuitive idea. For example, now that Angelina Jolie is a transcendent movie star, world-moving humanitarian, mother, and role model, who focuses on her troubled youth, when she was suicidally depressed, cut herself, and used heroin along with other drugs? Or, do you remember now that Drew Barrymore appeared on the cover of _People_ in 1989 (January 16), age thirteen, as America's youngest addict? She had been in rehab and confessed, \"I'm Drew, and I'm an addict-alcoholic,\" and that now she was embarked on recovery. She subsequently relapsed, attempted suicide, and reentered rehab, as she described in her 1990 memoir, _Little Girl Lost_ , published when she was fifteen.\n\nThe _People_ article included an analysis by a psychiatrist and adolescent addiction expert, Dr. Derek Miller: \"Although there is nothing available clinically to test for genetic dependence,\" Dr. Miller admitted, \"parents should be very careful to keep their children off of all alcohol if there is a history of either alcoholism or biologically based depression in the family.\" In other words, Drew inherited her alcoholism-addiction from her substance-abusing parents and forebears (like grandfather John Barrymore). Miller continued: \"Abstinence is the key to all treatment.\" Although, he added, \"the younger the adolescent, the harder it is for them to understand they have a problem.\" You know, the problem that they were born addicts-alcoholics, a destiny they can never escape.\n\nFlash forward to 2012, when Barrymore once again appeared in _People_ (June 4), with the announcement: \"Drew Barrymore: She's a Vintner!,\" one who had \"lots of knowledge and was passionate about her wine.\" But everyone is so aware\u2014it is so obvious\u2014that most people successfully outgrow their youthful substance abuse that no one cares to reflect back to the earlier _People_ treatises on Drew and addiction to reevaluate their ideas about alcoholism and other addictions. Do you think Dr. Miller has greatly revised his theories based on his monumental miscalculations about Drew? Not likely. Believing the disease theory of addiction means never having to say you're sorry\u2014just as no one worries about a few miscalculations about how the discovery of endorphins and a special alcoholism gene would soon end addiction and solve alcoholism, or about how nicotine replacement holds the key to quitting smoking addiction, even though it actually fosters it.\n\nChange, Change, Change\n\n* * *\n\n**CASE:** Dori had been drinking alcoholically for twenty years, since her early teens. Most nights of her life she fell asleep in a drunken blackout. She also smoked for all that time. If anyone were a candidate for permanent, debilitating alcoholism, it was Dori. She had been in and out of 12-step programs her entire life, as well as psychiatric treatment. Nothing had changed for her.\n\nDori was extremely concerned about her appearance\u2014she always dressed well, exercised, and was hyperconscious about her weight and diet. One night, Dori walked into a bar and stared at several women arrayed along the bar's counter. In the harsh light of the place, Dori\u2014already a little bit drunk\u2014saw herself in the row of run-down women. Dori quit drinking that night. And smoking. And psychiatric meds. She had a rough several weeks dealing with the upheavals in her system that withdrawal caused. But more important for her to deal with was the giant empty space at the core of her life that alcohol had filled for more than half of that life. Yet recovery proved to be enduring for Dori.\n\n* * *\n\n_The truth, and how to harness it for your recovery_\n\nNot only must you reject the fear-mongering addiction madness of the last century, brought up-to-date by Dr. Drew, the American Society of Addiction Medicine, and neuromemes\u2014you can replace it with a sane, empowering understanding based on principles grounded in reality. A truly human view of addiction accepts that a wide range of factors contribute to the development of addiction. But what most concern you\u2014what offer you the best chances in life\u2014are those factors that you can address and change. You stop being addicted by expanding your psychological horizons, creating new interests, and maturing (remember, Nora Volkow characterized addiction as when people lose the \"pleasure of seeing a friend, watching a movie, or the curiosity that drives exploration\") and by focusing on your values, working on skills you need to improve your life, and developing larger purposes.\n\nRemember our list of myths about addiction? Let's replace them with these essential truths, and explore each in turn.\n\n\u2022 Addiction and recovery are common\u2014typical\u2014in human experience.\n\n\u2022 Addiction, by its nature, is artificial and, therefore, can be overcome.\n\n\u2022 You have the resources within you to overcome addiction, completely, forever.\n\n\u2022 There is nothing and no one more able than you to begin and sustain your recovery.\n\n_Addiction and recovery are common\u2014typical\u2014in human experience_\n\nAre Angelina Jolie, Drew Barrymore, and Dr. Adi Jaffe (a therapist who Dr. Drew claims couldn't have been really addicted since he now drinks moderately after a major amphetamine addiction) the only people who have come down from addiction to become moderate substance users? In fact, they are in the majority. As I wrote at the beginning of this chapter, the National Institute on Alcohol Abuse and Alcoholism has conducted a giant survey of Americans' drinking lives. This study is called NESARC (National Epidemiologic Survey on Alcohol and Related Conditions). NESARC interviewed more than 43,000 representative Americans eighteen and older about their lifetime of drinking\u2014interviews were conducted in 2001\u20132002 and a second wave in 2004\u20132005.\n\nAbout one in ten Americans qualified for a diagnosis of alcoholism at some point in their lives, the government's alcoholism researchers determined. Here's what happened to them: \"Twenty years after onset of alcohol dependence, about three-fourths of individuals are in full recovery; more than half of those who have fully recovered drink at low-risk levels without symptoms of dependence. . . . Only 13 percent of people with alcohol dependence ever receive specialty alcohol treatment\" (this includes attending AA). And no higher a percentage of treated than of untreated alcoholics recover (28 percent of treated alcoholics are currently alcoholic, compared with 24 percent of the untreated)  These untreated alcoholics are the invisible Americans we _don't_ hear about because they violate most Americans' beliefs. But, unless the United States is wasting a fortune utilizing its best researchers and interviewers, most people overcome alcoholism themselves, as they do smoking and every other addiction.\n\nPerhaps, you feel, drug addiction is very different from alcoholism and smoking. According to NESARC, which also measured drug abuse, it is. _Drug addicts more readily give up their addictions than do alcoholics and smokers_! NESARC reports, \"26 years after first becoming dependent, half the people at some time dependent on nicotine were in remission, a milestone reached for alcohol after 14 years, for cannabis six years, and for cocaine five years.\" Although there were not enough heroin addicts in this population to analyze, the investigators found that other data showed their remission point likewise to be quicker than for alcohol and cigarettes. In other words, Rose's relatively quick recovery from her meth addiction and Phil's lengthy effort to quit cigarettes, with Dori in between, are typical. The reason, as Rose's case shows, is that it is harder to maintain an illicit-drug lifestyle.\n\nAnother study of the NESARC data found that 80 percent of people who had been dependent on an illegal drug were in recovery. Moreover, investigator Gene Heyman showed, \"no matter how long ago someone became dependent on an illegal drug or alcohol, their chances of achieving remission remain the same.\" Heyman thus emphasized that, contrary to AA's idea of addiction as a progressive disease\u2014or claims that neurochemical changes fix an addiction permanently in the brain\u2014people are just as likely to quit at any point in their addiction career. Heyman found that addicts quit at the point when they can finally realize their values and aspirations.\n\nThese analyses of the drug addiction data from NESARC were summarized in an issue of the _Effectiveness Bank Bulletin_. This issue labeled a third large study \" **Recovery is the norm** ,\" in which the renowned alcoholism scholar William White synthesized the results of hundreds of studies of drug addicts and alcoholics: \"Recovery is not an aberration achieved by a small and morally enlightened minority of addicted people. If there is a natural developmental momentum within the course of these problems, it is toward remission and recovery.\" What a powerful message this is, if only it were broadcast as loudly as is the one that addiction is embedded in our brains and our lives, presumably forever for most people. But such recovery from drug addiction goes unrecognized, as it does with alcoholism, because it usually occurs without treatment.\n\nNonetheless, most people understand\u2014or at least live out\u2014this message for themselves. Another massive study of drug abuse, the National Survey on Drug Use and Health, is conducted annually by the Substance Abuse and Mental Health Services Administration. Here are the figures for abuse of, or dependence on, either alcohol or drugs by age group for 2011 (these figures remain essentially the same year after year):\n\nTABLE 2.1 **Percentage of Americans Who Abuse or Are Dependent on Drugs or Alcohol for Each Age Group**\n\n**_Age Group_** | **_% Abuse or Dependent_**\n\n---|---\n\n18\u201319 | 17\n\n20\u201322 | 20\n\n23\u201325 | 17\n\n26\u201329 | 13\n\n30\u201334 | 12\n\n35\u201349 | 8\n\n50\u201359 | 5\n\n60+ | 3\n\nWe see again from government data that substance abuse is a common trait among the young, but that large numbers of people cease their abuse and dependence after their early twenties. Twenty percent (one in five) of those at this age are clinically diagnosable as either abusing or dependent on alcohol or drugs, compared with 12 percent in their early thirties, and down to 5 percent in their fifties.\n\nENVIRONMENTS THAT ENCOURAGE\u2014OR DISCOURAGE\u2014ADDICTION\n\nThere are many scenarios in which people are rendered unable to cope. Some people are thrust into traumatic situations that are beyond anyone's ability to control, and some people simply do not have the skills to manage their obligations and the vagaries of everyday life, at least for the time being. Whether they are having trouble navigating traumatic circumstances like war or abuse or simply having difficulties in daily coping, people may seek a ready escape in mind-altering substances and other addictions. And, once they have turned to addictive remedies, the possibility of regaining control of their lives can seem even more remote.\n\nHistory has provided the example of addicted Vietnam GIs. Heroin use was rampant among American soldiers in Vietnam, where the drug was readily available. Among those addicted in Vietnam, only a fraction (one in eight, or 12 percent) became re-addicted stateside. This was true even though _half_ tried a narcotic when they returned. What explains this? Turning to and relying on a powerful analgesic to relieve stress made sense in Vietnam, but not afterwards. As Vietnam fades into history, we can still readily discern the powerful addictive urges produced when normal routes to escape and advancement are blocked in our inner cities. But it is no more permanent a condition there than it was for most veterans when they returned to manageable environments.\n\nVietnam demonstrated that addiction doesn't define a person, that being able to gain satisfaction through engagement with the world trumps addiction. There is no better \"treatment.\" The Vietnam heroin experience showed us the recipe for recovery: people avoid and overcome addiction when they have positive options, meaningful goals, and control of their lives.\n\n_Addiction, by its nature, is artificial and, therefore, can be overcome_\n\nLike the soldiers who depended on heroin to release them from horrific circumstances that they could not change, addicted people seek refuge in any powerful, consuming experience that allows them to cope with a life that feels meaningless or out of control\u2014a feeling that is both worsened and relieved by their addiction. The addiction further fills countless hours beyond those eaten up in altered states of consciousness or compulsions. Think of all the mental and emotional energy an addiction wastes: days planned around purchasing and consuming the substance or practicing the activity; fielding negative fallout (like angry co-workers, family members, and friends; mounting bills; health problems); making solemn promises to stop; remorse and guilt.\n\nYet, as painful and self-defeating as these feelings are, their predictability sustains addicts and even lends a bizarre sense of purpose to their lives. Rather than being a medical mystery, _addiction makes complete psychological sense._ It's a natural human response to unmanageable life circumstances, one through which people mistakenly attempt to find purpose and a sense of well-being. They're wrong, of course, and can't succeed at it. But this is more of a perverted effort to balance one's life than a permanent addicted place in your brain. _Addiction is not who people are_. And most people figure this out as they go along, because\u2014contrary to claims of denial\u2014it's not that hard to figure out. People perceive the mounting negative consequences for their lives and, if given half a chance, they clamber out of the addiction. We have seen through the best, most comprehensive research about people's real lives that this is what happens for most people, and not only Vietnam vets.\n\n_You have the resources within you to overcome addiction, completely, forever_\n\nWhen I point out that people recover without treatment, this of course doesn't mean they didn't get help, or that people recover completely on their own. They rely on community, family, personal resources. Thus, becoming connected with others is one of the best predictors that you will recover. Likewise, as I will show in succeeding chapters, everything you bring to the effort\u2014your knowledge, education, work skills, values, commitments, friends, family, community involvements, interests, health\u2014offers a helpful boost. And, so, along with the types of therapy that can be helpful, along with the passage of time and maturity, any resource you possess aids in achieving your own, true-to-yourself recovery. And any of these assets you acquire or improve as you work for recovery will contribute to achieving it.\n\nSo, we see that people have the wherewithal, or can gain it, to overcome addiction for themselves\u2014you included. Why do they recover? You know what happens: people settle down emotionally, they develop responsibilities\u2014work, children, financial obligations\u2014the usual. It comes with the human territory of growing up or, in addiction terms, \"maturing out.\" You may have failed to mature out when you might have had the chance. You may even have developed your addiction later, after supposed maturity, even\u2014unfortunately\u2014as a parent (like Rose). Perhaps you lacked the necessary skills or emotional resources that come to most people in adulthood. But that's water under the bridge. The PERFECT Program is your second chance\u2014your second emergence into maturity.\n\nEFFECTIVE TREATMENT\n\nResearch also shows you the best way to get help to help yourself. Should you seek or need treatment, or even if you just want to learn what sorts of treatments work so that you can use their best elements, we turn to research on _evidence-based treatment_. Psychological investigators have repeatedly found evidence for the effectiveness of therapies steeped in real human functioning. Researchers have performed a series of meta-analyses, which combine results from all investigations of treatment effectiveness. One such comprehensive analysis ranked 12-step therapy and AA thirty-seventh and thirty-eighth among forty-eight possible treatment options. More critically, combining the results of several such analyses, these addiction therapies are the five steady winners:\n\n\u2022 Cognitive-behavioral therapy\n\n\u2022 Community reinforcement approach\n\n\u2022 Motivational interviewing\n\n\u2022 Relapse prevention (which is also cognitive-behavioral)\n\n\u2022 Social skills training\n\nAll of these effective treatments approach addiction as ingrained behaviors and habits of mind, fostered by life situations. Although people with even the most intense addictions\u2014like Dori\u2014may ultimately solve their addictions for themselves, others\u2014including you\u2014may seek and benefit from effective treatment (unlike all of the programs Dori went through). What you find is that the evidence-based treatments in this list all reject the notion of an incurable disease and instead harness and fortify people's own resources. They fuel people's motivation to quit, counteract or change their environment, rely on their social community, and develop their life skills. And all _create a sense of personal empowerment_. That's what _you_ need to do.\n\nAlong with this research on effective treatments comes mindfulness research. Mindfulness is learning to be aware of your thoughts and impulses, to stand outside of them in order to gain control of them. The thoughts might be there (along with urges, cravings, compulsions), but you learn that you do not have to let them lead you. Mindfulness allows you to see that _you are not your addiction_. This approach also includes meditations that enhance people's positive feelings, particularly towards themselves\u2014something we all recognize in psychology as self-acceptance or self-esteem. The mindfulness approach has been used effectively with mental illnesses like schizophrenia, and it is now being applied to addiction along with mental illness. Alan Marlatt's group at the University of Washington has used mindfulness to combat cravings that lead to relapse.\n\nApproaches focused on your ability to function, how you cope with the world, and your ways of thinking about yourself align perfectly with what we know about human behavior. Here research agrees with what seems logical, even irrefutable. You are enormously more likely to beat addiction if you feel strong and capable\u2014if you embrace and nurture your own power. This is what The PERFECT Program does.\n\n_There is nothing and no one more able than you to begin and sustain your recovery_\n\nThe disease model presents itself as an enlightened view of addiction that does not stigmatize or undermine the addict. But that claim is bogus. The PERFECT Program takes the opposite approach to the impossible disease model idea that you must accept that you're powerless in order to begin recovery. In order to recover, you don't need to learn to think like an addict. Instead, _you need to learn to think like a non-addict_. And your life-seeking, healthy core is the engine of your recovery.\n\nMoving Forward\n\nSo now you know these facts: (1) thinking of yourself as an addict isn't necessary and serves only as an additional burden to overcoming your problem, (2) the best science shows that you are more likely to overcome your addiction than not, (3) the seeds for doing so are already within you\u2014everything human about you and everything you know of life is part of what will enable you to overcome addiction. From here on, The PERFECT Program\u2014building on the best evidence from effective treatments\u2014will help you harness and direct your life force toward recovery.\n\n*Please be aware of and observe the cautions in quitting cold turkey reviewed in Chapter 3.\n* * *\n\nPART II\n\nTHE PERFECT\n\nPROGRAM\n\n* * *\n\nCHAPTER 3\n\n_Preparing for Change_\n\nGetting yourself ready for The PERFECT Program\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To gather yourself, your materials, your resources for The PERFECT Program\n\n\u2022 To assess your addiction, your values, your resources for change\n\n\u2022 To define your terms of recovery, to consider your options, and to set your goals\n\n**Purpose:** This chapter brings you to the starting point of your change effort. It gets you prepared, sharpens your pencils, and sets aside the space\u2014emotionally and physically\u2014to begin to change and to quit your addiction. You will start by assessing your addiction, defining recovery, and setting your goals. Once you start in this positive direction, you will begin moving forward steadily.\n\n* * *\n\n* * *\n\n**CASE:** Alex had been getting drunk most nights for several years, stumbling home from his neighborhood bar, often not remembering doing so. Sometimes he found bruises and cuts that he had no memory of incurring. He decided\u2014recognized\u2014he was an addicted alcoholic. This wasn't an intellectual calculation. It was a decision to change.\n\nAlex had heard terrible stories about detoxing\u2014that it was horrid, even life-threatening. Beyond that, what would he do instead of drinking? But the fear of withdrawal overshadowed the latter concern in Alex's calculations\u2014after all, if he could kick his alcohol habit, surely he'd find new things with which to fill his time!\n\nAnd, so, Alex prepared himself well, at least for detoxing. He loaded his refrigerator with fruit juice and mineral water. He had on hand large quantities of fruits and cereals. The cereals, he reckoned, were the easiest things he could get down no matter how nauseous he became; the fruits, the healthiest things. And he recruited his brother, Paul, to stay with him in his spare bedroom.\n\nThe first weekend was hell on wheels, especially at night. Alex couldn't find comfortable sleep and he awoke throughout the night with nightmares. His hands shook when he tried to read. Several times he thought of getting his brother in the next room to drive him to the hospital.\n\nBut he also slept\u2014fitfully\u2014over several days. Alex actually didn't come out of his bedroom until Monday morning and then reluctantly, his eyes bloodshot, feeling sluggish and ill. Paul looked up and, calling him \"sleeping beauty,\" told Alex he had looked in on him several times and found him sleeping\u2014albeit sometimes thrashing.*\n\n* * *\n\nThis case is simply an affirmation of truths borne out by history and science. Many, many people have quit many, many addictions before the creation of the Betty Ford Center. The most important reality for you to embrace is this: You are not your addiction. You are not _an addict._ Your true self is the engine of your recovery. The essence of The PERFECT Program is to fortify the _real you_ to take the reins of your life.\n\nGetting Ready\n\n_Materials_\n\nThis chapter is going to put you to work delving into the essence of your addiction, getting you back in touch with the things that give your life value and purpose, and establishing some goals. Let's get started by clearing some space and gathering supplies. Here's what you'll need:\n\n_Two journals._ One is for personal writing and one for completing the PERFECT exercises and tracking progress. We'll call them your Personal Journal and your PERFECT Journal. You can use any kind of notebook or pad, but make sure that it is something that appeals to you and is functional so that you'll be inspired to use it. Most importantly, dedicate your journals to this process and keep them free of extraneous notes like to-do lists or random phone numbers\u2014anything that will distract your mind with unfinished tasks. You might even get a **third notebook** for jotting down tasks and items that occur to you as you are using your dedicated journals. This will allow you to clear them from your mind for the time being and put them in a safe place that you can revisit later. Similarly, choose **writing implements** that feel good to use, with free-flowing ink, and keep them with your journal so you don't have to go scrounging for pens. If you prefer, you can start a journal on your computer or start a private blog. Keep it front and center on your desktop so that it is easily accessible, or set your computer to open your journal at start-up.\n\n_A timer._ This will come in handy for some of The PERFECT exercises. Don't use your alarm clock, unless you have one with a pleasing tone that won't jangle your nerves. Egg timers can be purchased for under five dollars, or you can even use the timer on your cell phone set to a gentle chime. There are also meditation timer apps for cell phones.\n\n_A meditation spot._ Meditation is a central element of The PERFECT Program (don't panic\u2014we'll walk you through it), and you'll want to create a space where you can sit without distraction. You don't have to create a shrine or invest in an expensive silk and buckwheat cushion\u2014unless you are inspired to do so. All you need is a quiet spot and half an hour to yourself. You can sit on a pillow on the floor, on a straight-backed chair, or even under a tree. (Now, if it's under a tree, you'll need an indoor and an outdoor spot, for when weather forbids communing with nature!) Make sure it's a spot where you can relax. For instance, if you choose a place next to the cat box or a pile where you collect dirty laundry, you won't want to spend time there.\n\n_How does addiction appear in your life?_\n\nAddiction manifests differently in everyone, and for different reasons. Addiction includes a wide range of involvements, whether with substances or behaviors, and its causes and effects are both specific and complex. Rather than tell you what your problem is and present you with one solution, we're going to guide you through the process of assessing your addiction and the impact it has on your life\u2014remembering that it can be more or less severe. Once you are clear about where you stand, you can begin to set some goals, and PERFECT will guide you through that process, too.\n\nRecovery does not have to look like endless days of white-knuckle abstinence and a procession of tedious meetings. If addiction is a treadmill, then recovery is a grand adventure. Understanding that addiction is a destructive, self-negating, ingrained behavior chosen in response to life circumstances and that recovery means infusing your life with a sense of purpose, personal agency, and new skills, you can create a broader vision of what your personal recovery will look like. Through The PERFECT Program, you will be creating a life for yourself that is utterly incompatible with addiction, replacing self-destructive patterns with life-affirming pursuits. Recall Rose (in Chapter 1) as an example. Despite her reverence for her child, her lifestyle allowed addiction in. She rebuilt a life around family (parents, child, and eventually husband), positive social groups (her single mothers' group), education, marriage, and a career that ruled out her addiction forever.\n\nLet's begin by assessing your addiction and making some decisions about what freedom from addiction will mean for you. You will need your PERFECT Journal for this.\n\nADDICTION SELF-ASSESSMENT QUESTIONNAIRE\n\n1. What substance(s) or behavior(s) are you addicted to?\n\n\u2022 If you have more than one, list them from the one that has the most negative and consuming impact on your life to the least.\n\n2. Focusing on the addiction at the top of your list:\n\n\u2022 How often do you engage in your addictive behavior?\n\n\u2022 If you use a substance, how much do you use at a time? If it is a behavior, describe your involvement in detail. How often do you rely on it?\n\n\u2022 At what times of the day or under what circumstances do you do it, typically?\n\n\u2022 When you are not engaged in the substance or behavior of your addiction, when and how much do you think about it?\n\n\u2022 For how long have you had this level of involvement with your addiction?\n\n3. Now go through all the questions in #2 with the next most virulent addiction on your list.\n\n4. What experience are you seeking through your addiction(s)? Describe your feelings when using, or when you're involved in the activity. Summarize what it does for you or gives you.\n\n\u2022 Do you actually achieve this experience? If so, how often and for how long?\n\n\u2022 What other experiences come with your addiction? List both positive and negative.\n\n5. How does your addiction impact your daily life?\n\n\u2022 Family and friends?\n\n\u2022 Responsibilities?\n\n\u2022 Leisure time?\n\n\u2022 Finances?\n\n\u2022 Health?\n\n\u2022 Self-esteem?\n\n6. When is your addiction at its peak? What is going on in your life at those times?\n\n7. Are there periods during which your addiction seems to be less powerful? If so, when? What is different about these times?\n\n8. Have you ever stopped your addiction for a period? For how long? How did your stopping affect your life? How did you feel?\n\n9. Do you believe that you can overcome your addiction? Why do you think you can or can't?\n\n10. At this moment, imagine what it would be like living without this addictive involvement, and describe that life.\n\nVALUES QUESTIONNAIRE\n\n1. Name three things that are important to you, whether or not you are actively honoring them right now.\n\n2. What activities would you be pursuing if you were not so occupied with your addiction?\n\n3. Have you abandoned any dreams because of your addiction? If so, name these.\n\n4. What are some things you value that you could lose in the future due to your addiction?\n\n5. What do you hold close to your heart that most opposes your addiction (religious faith, parenthood, political activism, health, self-respect, regard for others, etc.)?\n\n6. What key skills or talents do you have?\n\n7. What are your most positive qualities?\n\n8. Name at least two accomplishments or events that you are proud of: Did you help someone? Did you win a competition? Did you build or create something? Did you stand up for something you believe in?\n\n9. Who are the most important people in your life, either people you really care about, or people you can really count on, or both?\n\n10. Which three human values do you elevate most, such as kindness, generosity, friendship, honesty, hard work, creativity, independence, integrity?\n\nWithdrawal\n\n_The physical journey_\n\nIf you think of your body as a collection of chemicals responding to one another and working in unison, it makes sense that introducing a new chemical into the mix is going to force all the other chemicals to respond to it. Many people remember feeling disgusted by their first encounter with cigarettes\u2014nauseous and light-headed, perhaps. That's simply the body's response to a chemical interloper disturbing the body's balance. But after continued use, the body will adjust and begin working with this new chemical in order to reestablish its equilibrium. Now, the body comes to expect this chemical and complains if it doesn't receive it. That complaint takes the form of withdrawal.\n\nIt's standard to call this situation \"physical dependence\" or \"chemical dependence,\" but the word \"dependence\" is misleading. The body is dependent on water for survival, but could never be dependent on nicotine or alcohol for survival. \"Accustomed\" is a more accurate word. While it is true that some people have developed such a high tolerance for their drug of choice that withdrawal can be medically risky, less severe withdrawal is the rule.* The more likely scenario is that you will experience some discomfort while your body adjusts. It will be unpleasant, and then it will be over. Of course, you must be immediately sensitive if this is not the case and be prepared to get medical help. In any case, it is after this phase that you will face the long-term challenge of dealing with your real life\u2014the one beyond your addiction.\n\nIf you are giving up a drug, but not only then (see love withdrawal, below), fear of withdrawal may be a major hurdle that prevents you from pursuing recovery. The fact is that withdrawal can be miserable. You might be facing a few days of physical and mental discomfort: restlessness or insomnia, headaches, shakes, digestive problems, nausea, depression, anxiety, even grief. There are things you can do to help you cope in the short run, including having someone aware of your situation who can look after you as needed, but even more importantly for the duration:\n\n\u2022 Arrange to have positive outings and experiences, things that always bring you pleasure\n\n\u2022 After your initial adjustment, taking perhaps a couple of days, make sure to see (certainly don't isolate yourself from) family and friends\n\n\u2022 Arrange to see a counselor, a therapist, or a spiritual figure\n\n\u2022 Do regular physical activity, even if minimal\u2014like walking around the block or climbing stairs\n\n\u2022 If cooking or engaging in formal meals seems like a stretch, nonetheless do maintain regular nutritious intake of food\u2014think of yourself as training for a fight or race\n\n\u2022 Remember, recall, visualize what this is all about\u2014you're not coming off your addiction for something to do\u2014you're heading somewhere, toward a different life, one that expresses who you really are and want to be\u2014have those images available for ready access\n\n_\"What if I'm not addicted to crack or heroin (or OxyContin), or alcohol dependent?!\"_\n\nIn the last section I might seem to be writing for people who have given over their lives (and all their time) to an addiction in which they've isolated themselves from civilized society. Many people who come to this book will still have jobs, families, or other daily responsibilities while facing serious addictive problems. If you are functioning in your regular roles but still anticipate disruptive withdrawal and a difficult transition and readjustment, part of your preparation will be to arrange for time off from work and\/or for people to take over what you're normally expected to do, like providing meals for your kids. There is, of course, the risk of over-preparing. This is a question no one can resolve for you\u2014including, perhaps, even you yourself. That is, anticipating great pain and discomfort that may not occur can be an unnecessary hindrance to quitting, while being unprepared for more severe withdrawal is a danger. So, always have a fallback plan in place.\n\n* * *\n\n**CASE:** Ezra was growing and wholesaling marijuana for acquaintances, mainly former co-workers he knew at the major firm where he had worked. Ezra had a family\u2014a wife and two small children. When his kids entered preschool, he foresaw the difficulties he might have conducting his business. And, so, Ezra began the laborious process of (1) cleaning up his growing operation\u2014the soil, the irrigation stones, the water hoses and outlets, the ruined floors beneath the tubs for the plants\u2014what a mess! (2) cleaning himself up from his around-the-clock pot-smoking addiction.\n\nEzra had never slept well. Indeed, his drug use was in good part aimed at alleviating his anxiety. So he anticipated\u2014and experienced\u2014quite a few sleepless nights without his drug of choice. He was concerned to be rested and focused because now that he was forced once again to get a real job, he had to concentrate on creating a resume, rekindling long-lost work skills, and reconnecting with his old work network.\n\nIt was tough going for several months. But\u2014as might be expected of someone running an urban growth operation while raising a family\u2014Ezra was smart and resourceful. He coped. After his period of readjustment, Ezra concluded, \"You know, quitting drugs wasn't all that hard.\" In fact, quitting gave him a chance to work on his life-long insomnia and to develop better ways to find sleep at night.\n\n* * *\n\n_Maintain your perspective_\n\nChildren come unhinged when they know they're going to get an injection at the doctor's office. They can work themselves up into such a panic over this impending apocalypse that they will scream and cry, anticipating the little pinch that hurts significantly less than a stubbed toe or a scraped knee. The actual discomfort is nothing compared to the terror that precedes it. Similarly, while you may be nervous about experiencing some physical discomfort, try to maintain your perspective on it, because your perception of that discomfort makes the difference between a tolerable and an intolerable situation. Also, remember that it's finite\u2014it will end. You will feel better.\n\n_Care for the whole person_\n\nThe point with Alex and Ezra is that, while your body is experiencing some physical symptoms, this is not the major part of the withdrawal experience. After all, people frequently quit addictions, only to relapse at some point farther down the road, when physical withdrawal is a distant memory. As Alan Marlatt showed through his research in his volume (edited with Dennis Donovan), _Relapse Prevention_ (Guilford, 2005), relapse occurring after immediate withdrawal has passed is the rule.\n\n* * *\n\n**CASE:** Savannah had been addicted to heroin since her early twenties. Now in her forties, she\u2014and those who knew her\u2014figured quitting the drug was impossible. Sal, a friend of many years who had always known Savannah to be addicted, was one of those who believed this to be true. As almost a chance question, he asked Savannah, \"Have you ever been off narcotics?\" \"Yeah,\" Savannah answered casually, \"I once quit for two years.\" Sal had two thoughts: \"She could quit!\" and \"Why did she go back, since it is such a misery for her to be addicted?\"\n\n* * *\n\nAs another example, peak cigarette withdrawal lasts several days, and even residual withdrawal effects not more than a month. So if you relapse, it's rarely in response to bodily readjustment due to withdrawal. Relapse is caused by psychological and life issues that both exacerbate your withdrawal and persist long after it.\n\nEzra, for example, had to cope with a quick temper that now surfaced when he had to deal with trivial issues created hourly when managing young kids\u2014anger that marijuana had warded off for him. As it does for many people, the din of an active addiction had drowned out the painful negative commentary that loops through one's mind. These are stories you tell yourself about how strange, hopeless, or worthless you are, and they can become especially loud and insistent during this period. You might, for instance, begin berating yourself for having been addicted or insisting to yourself that it's too late for you. You might feel overwhelmed by the road ahead. It's not possible to stop these thoughts from intruding, but you can diffuse their power by recognizing them when they appear and calling them what they are. For instance, \"Oh, there's that old voice telling me that I won't succeed,\" or \"My mind is running off again.\" Just be aware that it happens to us all.\n\n_\"How did I used to spend all my time?\"_\n\nIn the last chapter, I spoke of the centrality of addictions for filling and structuring one's life:\n\nDays planned around purchasing and consuming the substance or practicing the activity; fielding negative fallout (like angry co-workers, family members, and friends; mounting bills; health problems); making solemn promises to stop; remorse and guilt. . . . Yet, as painful and self-defeating as these feelings are, their predictability sustains addicts and even lends a bizarre sense of purpose to their lives. Rather than being a medical mystery, _addiction makes complete psychological sense_.\n\nTo say the least, people who are giving up their addictions often find themselves with a lot of time on their hands. You don't realize how all-consuming an addiction is\u2014how much time it devours\u2014until you're sitting there with the whole day and night stretched out in front of you, and the next fifteen minutes seem like an eternity. This is the time to indulge in some simple pleasures. Rent some movies; stock up on engrossing novels; make plans to meet with friends for coffee or breakfast; embark on a project you've been meaning to tackle, like learning to play the ukulele, starting a garden, or painting the bathroom. Plan your day and create as much structure as possible.\n\nBut, in addition, you are going to have to create\u2014or re-create\u2014a non-addicted life structure based on a larger vision of yourself. And you will have plenty of time now to concentrate on that task, which you and I will work on in the following sections of this book.\n\n_Seek support_\n\nThe Substance Abuse and Mental Health Services Administration (SAMHSA, the agency responsible for the National Survey on Drug Use and Health referred to in the previous chapter) has recently redefined recovery. In 2011, the agency reversed decades of thinking to create a \"new working definition of recovery from mental and substance use disorders\":\n\nRecovery is a process of change whereby individuals work to improve their own health and wellness and to live a meaningful life in a community of their choice while striving to achieve their full potential.\n\nSAMHSA's redefinition creates \"four pillars of recovery: health, home, purpose, and community.\" \"Purpose\" means that recovery is self-activated\u2014including finding \"meaningful daily activities, such as a job, school, volunteerism, family caretaking, or creative endeavors, and the independence, income and resources to participate in society.\"\n\nCommunity and support constitute one of the essential pillars of recovery. This is the time to begin building (and rebuilding) your personal community. In Britain (more so than in the United States\u2014go figure) a therapy measured to be as effective as the motivational enhancement that I discussed in the last chapter is called \"social network therapy\" (also social behavior and network therapy). This therapy involves finding or creating a supportive, non-addictive community and social contacts. During the immediate quitting period, you can turn to supportive family and friends; let them know how they can help. Remember Rose's mom and Alex's brother. Then there is involvement in larger communities, like Ezra reemerging into the work world, or your helping others, joining a church, finding a support group (like Rose's single mothers' group), a hiking club, and on and on. This pillar dovetails with finding meaningful activities\u2014including work, school, volunteering, family caretaking, creative endeavors\u2014that provide you with the independence and resources to participate in society.\n\nPeople Don't Really Withdraw from Love (Do They?)\n\nI was teaching at the Harvard Business School while writing _Love and Addiction_ before its publication in 1975. One of my colleagues there, who had seen an interview I had done in the _Boston Globe_ , walked by me and laughed, \"Right, love addiction!\" Yes, people become transfixed in their love affairs, sacrificing everything for them, sometimes murdering or committing suicide or tolerating ongoing abuse for the sake of what they view as a love relationship. But their chagrin, pain, and dissociation often reach highest pitch when a love affair ends. One of my most popular posts at _Psychology Today Blogs_ was \"The 7 Hardest Addictions to Quit: Love Is the Worst!\" Yes, that's right\u2014worse than heroin, cocaine, or smoking. Without repeating the arguments in my blogpost, let me reprint a comment from a reader:\n\nMy divorce has left me completely blindsided and affected every aspect of my life. It is something that I have struggled for years to get over and to this day cannot seem to move forward. It has literally destroyed so much of me and continues to take another piece day by day. I fear what the outcome will be in the end.\n\nOr, from the _New York Times_ :\n\nIn 12-step confessional style, this is what love addiction did to my life: I dropped out of college, quit my job, stopped talking to my family and friends. There was no booze to blame for my blackouts, vomiting and bed-wetting. No pills to explain the 15 hours a day I slept. No needles as excuse for my alarming weight loss. I hit bottom one sleepless night, strung out on the bedroom floor, contemplating suicide. And then I spent four months\u2014and a good chunk of my family's money\u2014in treatment for love addiction.\n\nAnd on and on. I know my colleague at Harvard would probably sneer at these. Or else you might say, \"Well, these people have preexisting psychiatric conditions.\" Yes, more or less like many other addicts. To state it briefly, people become addicted to an entire gestalt of feelings, physical reactions, and experiences. No one element can be separated from any other. Emergence from that gestalt may be earth-shattering. As I wrote in _The Meaning of Addiction_ :\n\nNeither traumatic drug withdrawal nor a person's craving for a drug is exclusively determined by physiology. Rather, the experience both of a felt need (or craving) for and of withdrawal from an object or involvement engages a person's expectations, values, and self-concept, as well as the person's sense of alternative opportunities for gratification. These complications are introduced not out of disillusionment with the notion of addiction but out of respect for its potential power and utility. Suitably broadened and strengthened, the concept of addiction provides a powerful description of human behavior, one that opens up important opportunities for understanding not only drug abuse, but compulsive and self-destructive behaviors of all kinds.\n\nChoosing Your Goals\n\nFor generations now, it's been gospel that overcoming addiction requires resigning yourself to abstaining, come hell or high water. Yet, at the same time, recovery is often punctuated with dangerous binge relapses like Amy Winehouse's. This whole sequence occurs because conventional recovery means making your addiction continue to be the absolute center of your universe by the continual, perpetual rejection or negation of it\u2014like the anorexic who used to be overweight. Life was about being addicted, and now it's about fighting being addicted, which often resembles being addicted, as some people note about the way many alcoholics use AA.\n\nEither way, the addiction is the core around which your whole life revolves. It's a grim picture, so it's no wonder so many people reject it. Even if your ultimate goal is complete abstinence\u2014which it may be, considering the nature of your addiction and your priorities in life\u2014there are more effective, empowering, and life-affirming ways of achieving it. Once you realize that addiction is not about the power that a substance or compulsion has over you, a horizon of possibilities for recovery opens up.\n\n_Self-control and free will_\n\n_Recover!_ is not a discussion of free will\u2014after all, I'm a psychologist, not a philosopher! It's about the skills and outlooks you need to recover. But the recovery field has a special angle on free will\u2014they use a term in AA called \"self-will,\" which they see as a negative. Contrary to this finger-wagging disempowerment, true recovery from addiction means reclaiming your power and free will, not giving it up. Exercising free will is not just doing what you feel like doing or acting on every whim or craving or desire. Rather, it means making choices and pursuing actions based on your values and priorities, _in spite of whims and feelings to the contrary._ Twelve-step recovery says you can't do this; I know and you know that you can. Imagine that it's the day before you're scheduled to take a certification exam. If you pass, you will qualify for a dream job that will allow you to provide for your family. You have to study and go to bed early, but you're burned out and really feel like watching all the episodes of your favorite series on CD or the Internet. Choosing to turn off the video and study is a true act of self-will, while planting yourself on the couch with a bucket of hot wings is, in this case, an abdication of will.\n\nYou can watch your series and eat hot wings another time. Delay of gratification, it's called. Its absence is central to addiction, and being able to delay gratification is often crucial for recovery. For addiction means giving in to the appeal of a simple solution, the addictive experience, whenever confronted with difficult emotions or life issues, rather than seeking out harder, long-term (real) solutions for these things. Remember, Rose couldn't confront her long-term issues and goals, and so she used meth instead. Impulsiveness\u2014yet another term for the tendency just to reach for a reward or experience\u2014has often been seen as playing a role in addiction. Remember our discussion in Chapter 2 of impulsiveness, the brain's frontal lobes, and the addicted and non-addicted siblings and their dysfunctional inferior frontal gyrus. Impulsiveness and its opposite are more than the equipment you are born with.\n\nPeople often learn\u2014or don't learn\u2014the ability to delay gratification early in life, as children. Cultural commentators have become very concerned that American children\u2014compared with those in France, for example\u2014don't learn how to delay gratification. This may be connected to the obesity epidemic in this country, among other things. Another term for this is self-control, which is kind of the down-to-earth, day-to-day version of free will. This exercise of free will takes effort. But, here's the great thing\u2014modern cognitive science shows that self-control improves with practice, and best sellers are now being written explaining this. Self-control and delay of gratification can certainly be instilled in children.\n\nAs with everything else associated with addiction\u2014indeed, with life\u2014meaning is crucial. It is when people feel that self-control is valuable and fulfilling that\u2014although it may require sacrifice at a given moment\u2014they are more willing to exercise it. Think about requiring children to dust and vacuum as chores. It works better to make them responsible for keeping an area clean and organized when completing a project or because the area is a place where they play or carry out activities. When cleaning and being responsible for an area (or the entire house) connects to their own desires and goals, the task _has meaning for them_ \u2014it is really no longer a task. Similarly, as you work your way into your non-addicted life and begin to savor its effects and benefits in areas that you enjoy and seek to improve, your motivation is reinforced and expands\u2014that is the recovery pillar called purpose.\n\nI am taking pains to make these points and to draw this distinction because the disease theory has made \"willpower\" a dirty word. Trying to develop and to rely on your own willpower seems to go against the scientific notion of the hijacked brain that we considered in Chapter 2, or the rejection of \"self-will\" by the 12-step movement. After all, relying on your own will violates the third Step: \"Made a decision to turn our will and our lives over to the care of God as we understood Him.\" This three-cardmonte switcheroo\u2014calling the exercise of free will a cause of rather than a remedy for addiction\u2014undermines success in overcoming addiction by leading people to believe that, as diseased addicts, their spirit is broken and self-direction is a path leading them back to addiction.\n\nIn fact, true recovery means shifting the balance of power _away_ from addiction and toward your own free will. Taking the focus off the substance or behavior and putting it back where it belongs\u2014on your values and sense of life purpose\u2014allows you to determine what recovery means for you. Keep in mind that the opposite of addiction is not abstinence. The opposite of addiction is intention and what you seek in your life, and there is nothing wrong with your ability to determine these things for yourself and to pursue them. Your recovery goals should represent who you are and what's meaningful to you, although you can always revisit and change your goals as you progress down this path. The PERFECT Program makes clear that your recovery is your own creation. This kind of true recovery is going to look different for every person. I use the term \"recovery\" because it's a familiar term\u2014but remember that it's also a loaded word. In fact, it might be helpful to replace it in your mind with ideas like _balance_ or _self-direction_ , and to imagine this as a process of displacing addiction with things you want that you know will improve your life.\n\n* * *\n\n**CASE:** Let's go back to the new, detoxed Alex\u2014the one who went through scary alcohol withdrawal but emerged to see his brother at the breakfast table, and then faced the rest of his life (he was thirty-two). Now what?\n\nAlong with a family (including his parents, brother, and sister), Alex had a girlfriend, Susan. He also had a job, at which he continued, only now without facing hangovers in the mornings. Susan wasn't an alcoholic, but went out many evenings with Alex, drinking far less by his side. She was younger (twenty-three), and perhaps that explained her acceptance of Alex's extreme drinking. In any case\u2014and thankfully for Alex\u2014it didn't put her off the relationship. So, when Alex told her he was quitting drinking, Susan wondered, \"How will we spend our evenings now?\"\n\nIn fact, Alex relied on Susan for much of the answer to that question. She had her own family, circle of friends, and things she did with both\u2014and on her own\u2014like going to movies, staying home and sewing, and going to the gym. Alex turned to Susan as if he was seeking a navigator through foreign territory for guidance as to what people who don't spend their nights drinking do. And she now took Alex under her wing, as much as was reasonable (he didn't begin sewing, although he did start reading while Susan sewed).\n\n* * *\n\n_Abstinence_\n\nIn regards to your addiction itself, what are you shooting for? Never to use again\u2014complete, lifelong abstinence\u2014is one goal. It is a quite difficult goal to achieve, but it may perhaps be advisable, depending upon what you're addicted to, the state of your psychological and physical health, and what is most important to you. Still, it's important to keep in mind that abstinence means _not_ doing something. Abstinence has no inherent value except as it aligns with what's valuable or meaningful for you to pursue. In other words, recovery is not a purity test, and abstinence is not the holy grail. It's important to make this distinction because recovery culture has an abstinence fetish, a belief that in order to be considered \"sober\" people must be free of all mind-altering substances, renewing their commitment to abstinence on a daily basis for the rest of their lives. And yes, this includes people in their teens or early twenties.\n\nLet's look at the word \"sobriety.\" In the real world, sobriety means not being impaired. In 12-step speak, sobriety means never taking any consciousness-altering substance, _ever_. This fixation on abstinence requires that people who recover through the 12 steps decide that their lives revolve around an empty space. Not only is that undesirable, it's unsustainable. You can't commit your life to nothingness, only to health, your goals and plans, and your belief in yourself.\n\nAs a marker of other progress rather than an essential goal in itself, abstinence is not a state of grace. If you're striving for abstinence but you go off the wagon, you have not blown your recovery or ruined everything; you do not have to \"start over.\" There is no such thing as starting over. This is your life we're talking about, not a contest. Here's an analogy: Imagine your whole life spread out in front of you like a sea of clear water. Now, imagine that you pour a bottle of red wine in. The wine will diffuse fairly rapidly and disappear into the vastness of the sea, and the impact will be absorbed. Now imagine that you have narrowed the scope to one day, represented by a single pail of water. When you pour a bottle of wine in, the water is unable to diffuse it. This is the difference between true recovery and living an endless string of one-day-at-a-time reprieves.\n\n* * *\n\n**CASE:** Alex decided to spend a night drinking again after more than six months of abstinence. He wanted to see what it felt like. Susan prepared to accompany him for the evening. And so, dressed for battle, the two went to Alex's favorite pub. For one thing, Alex didn't have to pay for a drink. All his old drinking cronies stopped by their table and ordered one for him.\n\nBut, truth be told, Alex was finding it hard to consume so many drinks. First, he didn't order anything for Susan, but passed the extras along to her. Alex ended up having five drinks, and Susan three. And it was only 9:30! Looking around ruefully, Alex indicated to Susan that it was time to go. With terse farewells to his former fellow revelers, Alex and Susan went out the door of the bar. \"Is it too late to catch a movie?\" Alex asked Susan.\n\n* * *\n\nIf you choose abstinence for yourself, make it an empowered choice, unencumbered by the neurotic trappings of conventional recovery. Choose abstinence, not because it is the only way for all addicts, but because:\n\n\u2022 It is genuinely what you desire.\n\n\u2022 You violate your values using, in the presence of, or in pursuit of the behavior or substance.\n\n\u2022 The behavior or substance is genuinely dangerous to you or others.\n\n\u2022 The substance is illegal or life disrupting in other ways.\n\n\u2022 Moderate involvement is not a realistic possibility for you.\n\nMost important to keep in mind is that abstinence serves your life plan, not vice versa. This means (1) a simple violation does not indicate that you have swerved from your plan, which you can resume instantly and completely; (2) you can revise your plan. In Alex's case, he continued to abstain, with the idea that once every six months he would go out drinking again. He did this for several years, although he never consumed on _any_ of these nights anything like the amount he used to drink regularly. Years later, he decided to quit drinking altogether. Do any real alcoholics you know follow this path? Plenty; and here's one who admitted it\u2014Christine Quinn. In a revelatory memoir she released in preparation for running for mayor of New York City, Quinn described her bulimia and drinking problem: \"By the time Ms. Quinn left college . . . bingeing and purging and drinking to get drunk were regular habits.\"\n\nQuinn entered and successfully completed rehab for bulimia in 1992:\n\nFor the first time, Ms. Quinn also examined her drinking. She arrived back in New York with a meal plan and a referral to a therapist who specialized in eating disorders and alcoholism. She cut back to drinking moderately, having only the occasional glass of wine, which she continued until about three years ago [i.e., the better part of a decade], when she stopped entirely. She says she considers herself an alcoholic.\n\nHere's a more troubling example, one that I listened to at a meeting of a recovery group devoted to abstinence.\n\n* * *\n\n**CASE:** Renee had been abstinent for six years. One night, leaving her supermarket parking lot, she noticed in the corner of the lot a bar that she knew had a fireplace. Since it was near Christmas, and her own apartment (which she shared with her husband) had no fireplace, she decided to drop in the bar. She had too much to drink, drove home, and was quickly stopped by the police, lost her license, and was unable to continue at her job\u2014which led to a divorce from her husband.\n\n* * *\n\nThis horrifying story didn't have to occur, as we will see in the relapse prevention section of The PERFECT Program. However, even taken at its worst, Renee drank too much one night in six years. She had a lot to make up for, but she didn't drink again for another four years. Getting drunk one night in a decade is about as good a record as anyone could hope for (recall the analogy of spilling a bottle of wine in the ocean). This story is not meant to make light of Renee's suffering and guilt. It is meant to put in perspective what a violation of an abstinence vow should actually mean and how it should be handled.\n\n_Moderation_\n\nIt's important to understand that addiction is a coping mechanism\u2014a destructive (but efficient) one that produces negative consequences in your life. Considering it in this way puts the emphasis where it belongs\u2014on _you_. You are the locus of addiction, not a substance, a disease, or an outside force. For a little perspective, think of all the possible substances and behaviors people can become addicted to: powerful, mind-altering drugs; milder, mood-altering drugs; dangerous or risky behaviors; recreational activities (like gambling); everyday, even life-sustaining behaviors (like eating and sex). These things are so diverse that the only element they all share\u2014besides sometimes being addictive\u2014is the human one. People are resourceful enough to make just about anything the object of their addiction. In other words, whatever you're addicted to is incidental to the condition of being addicted. Being addicted is like being malnourished or depressed\u2014it's a state you are in\u2014a condition unto itself, while your drug or behavior is just a symptom of addiction.\n\nThis is a crucial distinction because popular addiction mythology places all the emphasis on the drug or behavior itself, insisting that addicts admit their powerlessness over the thing to which they are addicted. This mythology is focused on, instead of eliminating addiction, eliminating the symptoms or the random objects of people's addictions. From this backwards perspective, lifelong abstinence is the only option, and moderation is a crazy delusion. Consider this, however: if you are no longer addicted, and you have healthy coping strategies, there is no drug that can render you helpless before it. When addiction ends, so does the compulsion to escape. The objects of your addiction remain neutral\u2014they are, and always have been, just things, behaviors, objects. They had no innate power before addiction, and certainly have none after. _Moderation is indeed possible for people who have truly recovered from addiction. You may be able to look forward to drinking a glass of wine or having a beer after work or eating a piece of chocolate cake or going to Las Vegas with your friends without fear of ruining your life._\n\nOne reason we often don't hear about people who moderate their drinking is that it happens so matter-of-factly. People usually don't make a big deal of it; it's just part of the natural evolution of their lives\u2014remember that \"more than half of those [alcoholics] who have fully recovered drink at low-risk levels,\" as discussed in the previous chapter. As a result, this common phenomenon typically takes place under the radar, occasionally popping up in a story about a celebrity. I described how New York politician Christine Quinn cut back to drinking only an occasional glass of wine, a practice she maintained for years. Less than two weeks after Quinn's story appeared in the _New York Times_ , the paper ran an interview with Billy Joel, once well known for his heavy consumption of vodka and scotch. Explaining that he doesn't \"subscribe to A.A. . . . to 12-step stuff,\" Joel reported that currently \"I have a glass of wine with a meal.\" These two stories, appearing within a couple of weeks of each other, stand for others\u2014many, many others.\n\nOne disproof of the \"frontal lobe\" theory from the previous chapter\u2014in which Dr. Drew claims that if addicted your \"brain frontality\" dies or becomes comatose\u2014is that then your brain couldn't control _any_ potentially addictive activity. Really? Thus, in his podcast with harm-reduction specialists Drs. Jaffe and Kern (harm reduction is discussed in the next section), when Dr. Jaffe said that he had had a major meth habit but now drank moderately, as well as perhaps smoking marijuana, Dr. Drew was driven to make up the Jewish exception\u2014claiming that only Ashkenazi Jews had the special genetic immunity that allowed Jaffe's feat. For the record, I know a number of non-Jewish former speed freaks who currently drink moderately\u2014including Rose. Apparently, methamphetamines are one thing, white wine and marijuana others. In any case, it's interesting to hear Dr. Jaffe describe the anxiety with which he had a glass of champagne after he had been in treatment for his addiction and thought he had to quit every kind of psychoactive substance. Many clients and others have described this apprehension to me.\n\nOf course, aiming for moderation requires self-knowledge. For instance, for some people, there is no point to moderation. There's little value in moderation for someone whose only reason for drinking is just to get drunk. Why bother? However, someone who drinks addictively sometimes, but who also has the capacity to enjoy wine with dinner or with friends, has a good reason to see moderation as a recovery goal. It contributes value to his life. Other objects of addiction may have no value in themselves. In these cases, an activity may be readily given up in its entirety\u2014like gambling. But it's not for me or anyone else to make that decision for you.\n\n* * *\n\n**CASE:** Tristan was a lifelong addicted gambler. His father had been one, and as a teenager he ran away to escape his dysfunctional home, but then started gambling himself. He progressed in his habit over decades until he married and had a young daughter. In his efforts to protect his family from his addiction\u2014in what could be termed a harm-reduction step\u2014Tristan turned his paychecks over to his wife, who allotted him an allowance. Still, a couple of nights a month, he spent all night on the Internet gambling, sometimes throwing away thousands of dollars that he and his wife planned to use to buy a home.\n\nPreviously, Tristan would quit, then edge back into gambling, perhaps lured by an online offer or ads he saw for a casino or racetrack. When he turned forty, he despaired about ever having some of the things that eluded him and his family. In addition, he was starting his own business. Tristan went to a non-12-step therapist who didn't demand that he stop gambling. During his therapy, Tristan went on several gambling binges. Finally, he told his therapist, \"I know this isn't a disease. But, whatever it is, I don't think I can control this thing. Maybe not now, or maybe ever. I need to quit.\" His therapist responded, \"Good idea. What do you think it will take for you to stop gambling entirely? Let's describe that lifestyle, its restrictions, and replacement activities. Let's make a plan.\"\n\n* * *\n\nTwo obvious points about Tristan's case are: (1) the power and meaning of his decision to abstain came from his arriving at the decision for himself, (2) his abstinence (like his urge to be addiction-free) came in the service of larger, more important goals in his life: family, career, and home.\n\nBut Tristan could give up gambling\u2014it wasn't essential for his life. Some addicts _must_ moderate, because the object of their addiction is something they cannot quit, like food, sex, or shopping. Yet, 12-step recovery has applied its short-sighted, ineffective temperance mentality to this arena of addiction, too. It does so by saying, for instance, \"You must abstain from _non-marital_ sex,\" or that one must avoid sugar, alone, of all foods. But an addiction to binge-eating cannot be cured by repeating the mantra that food is just fuel and should never be enjoyed, and that you can never have a dessert again. That's a recipe for relapse.\n\nAs to \"illicit\" (nonmarital) sex (including masturbation), isn't that a bit old-fashioned? What if you aren't married, or don't have a stable partner? Will you never be allowed to have sex, or an orgasm, again, like a monk or a nun? Nor can a sex addiction be cured by scheduling and micromanaging sexual encounters. That's like curing food addiction with an eating disorder, or trying not to think of the proverbial pink elephant\u2014all of which simply sets you up for failure somewhere down the road. The goal of The PERFECT Program is to restore quality of life, which means being able to enjoy food, sex, and necessary life experiences and pleasures in a carefree manner, as you were meant to. This will happen when you restore balance and meaning to your life and learn to live with intention.\n\nIn contemplating moderation, here are some questions for you to consider:\n\n\u2022 Is moderation a realistic option for you?\n\n\u2022 Are you addicted to something that will contribute to your quality of life if used moderately?\n\n\u2022 Would even moderate use jeopardize your or anyone else's safety or well-being?\n\n\u2022 Would moderate use be more trouble than it's worth?\n\n\u2022 What would moderation look like for you?\n\nAbstinence and moderation (or harm reduction, as we shall see in the next section) are not distinct options, and you do not have to choose one now and forever. They are very fluid approaches to pursue in your PERFECT Program; they overlap and support each other and evolve (think of Alex and Tristan). Understanding these approaches might also give you even more clarity and insight into the nature of addiction. You might, for instance, want to be able to drink alcohol normally, but don't feel confident that moderation is possible for you right now. So, you choose to quit drinking totally for the time being while working through The PERFECT Program. When you feel ready to reintroduce alcohol, you move cautiously by instituting some brakes. Or, perhaps, you are conflicted\u2014desiring abstinence, but afraid that you will be unable to give up your addiction. You might continue drinking but institute harm reduction safeguards, including drinking only in safe environments or under supervision and setting goals for yourself along the way.\n\nThere are infinite variations and possibilities. Addiction manifests differently in different people, and so does recovery. Taking what you have learned so far about the nature of addiction, the depth of your involvement, and the elements of your life that are most valuable, you need to set your goals\u2014which we'll see to at the end of the chapter. I'll guide you through this process, but since recovery is not a one-size-fits-all endeavor, it is up to you to decide what approach is most appropriate for you. Remember, nothing you decide here is set in stone. You can always reassess your goals, which Dr. Jaffe did when he started drinking moderately after quitting meth; we will now examine other examples of this.\n\n_Harm reduction_\n\nHarm reduction is a policy favored by leading experts in the addiction field. It means minimizing the damage done by addiction\u2014or any substance use\u2014and preventing its worst potential outcomes. People recover from bad nights, even bad patches and years. Some things they don't recover from. These worst outcomes\u2014like death, AIDS, accidents, and injuries\u2014must be avoided above all. As one example, many teens get drunk. We don't like this phenomenon, but nearly all these kids will recover (as you and I did)\u2014unless they have an accident. Preventing accidents by avoiding drunk driving\u2014for example, by having an arrangement that your child should call you if they have been drinking\u2014is harm reduction. Another example of harm reduction\u2014one more common for college students\u2014is to have another person nearby if someone goes to sleep extremely drunk.\n\n* * *\n\n**CASE:** Ryan was talking. \"Sybil was the most obnoxious girl in our crowd at college. I couldn't stand her! She never stopped talking, and what she said really never made sense. But, one night, I got drunker than I ever had. Sybil took me home, put me to bed, and slept on the sofa in my room. In the middle of the night, I was on my back, and I vomited. Sybil jumped up, made me get up out of my stupor, cleaned me up, and made me wash out my mouth and drink some water. Then we both went back to sleep. The next morning, we went out for breakfast\u2014on me. Later one of my friends who saw us said, 'Did you sleep with Sybil? I never thought I'd see the day!' I said, 'Oh, Sybil's okay.' And I thought, 'She's more than okay\u2014she saved my life.'\"\n\n* * *\n\nAnd, so, you should\u2014and might want to\u2014quit your alcoholism or addiction, or abstain from alcohol or another addictive substance or activity altogether. But you can't or you won't do so now. In the meantime, you must take care of yourself. For most people, drinking or using at home is safer than going out and getting intoxicated, certainly when you are in unfamiliar territory or driving. Another risk factor is using the amount (of alcohol, narcotics) to which you were formerly accustomed after a forced period of abstinence in treatment or prison. This behavior is actually encouraged by the \"in for a dime, in for a dollar\" message that one drink is as bad as\u2014the equivalent of\u2014an all-night bender. Different substances carry with them a variety of risks in different situations\u2014overdose, accidents, violence, withdrawal, illness, and communicable diseases\u2014against which you must exercise care and vigilance.\n\nThe key example of harm reduction in the drug field is the provision of clean needles to addicts, which reined in the spread of HIV and hepatitis among intravenous drug users and those who come into contact with them in countries\u2014virtually every Western nation\u2014that adopted such programs. Despite the evident common sense of harm reduction efforts, black-and-white thinking has stymied its introduction into public policy in the United States. And, so, after the initial wave of the AIDS epidemic among gay men, America became the leading economically advanced nation in numbers of new HIV cases, especially pediatric AIDS cases spread from parents to children, as the epidemic moved from homosexual men to IV drug users, often in inner cities. Tragically, this has led\u2014and continues to lead\u2014to thousands of unnecessary deaths. The tragedy is exacerbated because research has shown that, not only does the provision of clean needles prevent HIV from spreading, it also brings many addicts into contact with health care providers through whom they then progress to quitting their addiction altogether.\n\nAlthough America's abstinence fixation and perfectionism prevent us as a nation from implementing harm reduction wholeheartedly for narcotic addicts, no one is stopping you from implementing harm reduction techniques in your own life. So you must take steps to stop things from getting worse due to your addiction and to prevent incurring any permanent damage. This may mean cutting back and taking other safety precautions, even when your best goal might be to quit altogether. I don't want you, like Amy Winehouse, who died drinking heavily after leaving rehab, to kill yourself for an unachievable (for now) ideal.\n\n* * *\n\n**CASE:** Lorraine was a raging alcoholic for many years. At her worst, she went on binges, disappearing overnight, where none of her family knew where she was. Her husband took to hiding the keys to her car. She thought about suicide. When friends suggested AA, she spat out a \"no.\" Those closest to her thought she was a goner, another casualty of alcoholism.\n\nThat didn't happen to Lorraine. For a combination of reasons\u2014family support, a job she liked, just plain self-regard (or self-will)\u2014she bottomed out without hitting bottom, and pirouetted gradually upwards. As one key example, although she had regularly lost jobs over the years, now she enrolled in an ambitious professional graduate school program\u2014and passed her first two years with flying colors!\n\nBut Lorraine didn't desist from drinking, or even from periodically overdrinking. What she _did_ do was cut out the stupid drunk episodes. She didn't drive, or leave the house, when drunk. Instead, when she had too much to drink, she called her closest friend, Ellen.\n\nAt first Ellen was really troubled by these calls, thinking, \"Am I enabling her to continue drinking, and to be an alcoholic? I was concerned for a while that she was _never_ going to get better, except that she _did_ get better.\"\n\nBy chance, Ellen read about harm reduction and so learned there was such a thing as reducing really dangerous drinking and its life-threatening consequences. Only then could she relax and help a friend whom she loved, and who continued to improve.\n\n* * *\n\nAmong the myths of addiction is that alcoholics and other addicts can't control their consumption once they have begun drinking and using. Study after study has shown this to be false, that not only will alcoholics and others control themselves in specific circumstances, but that\u2014when they instead consume to the point of intense intoxication\u2014this was not an unintended consequence but their plan from the get-go. Think, for example, of rules that require people to go outside their work sites in order to smoke. Objections were raised that people couldn't limit and control their addiction that way throughout the workday, given the tension that accompanies many jobs. In fact, virtually en masse, even the most committed smokers have adapted to this requirement. We (you and I) will make use of this collection of facts and information when we plan your triage and relapse prevention techniques farther along in your PERFECT Process.\n\nThere is a larger myth: that anything but abstinence is evidence of denial or self-delusion and that you really can't make any headway in fighting your addiction or improving your life without instantly quitting forever. This purity fetishism has prevented many addicted people from making the positive changes in their lives they _are_ capable of (as Lorraine did), and has prevented friends and family (like Ellen) from helping them make changes that might save their lives or the lives of others or get them started in the direction of complete recovery. No matter what your ultimate goal, or whether you feel ready to leave your addiction behind, you can begin making improvements in your life immediately.\n\nHarm Reduction Exercise\n\nHave a look at your Addiction Self-Assessment Questionnaire, and review your answers to question 5, \"How does addiction impact your daily life?\" While you read your answers, ask yourself if there are changes you can make right now that will minimize the impact your behavior is having in any of these areas. A change might mean altering a pattern\u2014for instance, choosing to smoke outside, away from family members or pets\u2014or it might mean incorporating something new into your life, like a daily walk. Start by focusing on changing one thing. For example, you don't have to stop drinking to stop driving drunk.\n\n_Make a list of doable changes you can implement immediately that will orient you in the direction of your goals_\n\nDecide which changes you'd like to make right away and begin. It takes time for new habits to stick, so don't consider yourself a failure if you're not consistent right away. Just keep correcting, as you do with your car's steering wheel. Use your PERFECT Journal to track your progress.\n\nGOALS WORKSHEET\n\n**1. Long-Term Goals**\n\na. Visualize your ideal life and write about it in as much detail as possible. You might describe what a typical day of freedom looks like, for example.\n\n**2. Short-Term Goals**\n\nb. On one line, name three areas of your life that are suffering because of your addiction and, under each one, list some possible changes you can make right now to spark improvement in those areas.\n\nc. Read over your options\u2014some of them will be ambitious and some will be practical. Choose the one change from each list that seems most doable to you. For instance, if you are sedentary and concerned about your health, choosing to train for a 5K might sound inspiring, but a more realistic goal might be to start walking three times a week.\n\nd. Now, under each of your choices, make note of things that will help you achieve these goals. To continue with the example above, what would you need to begin walking? A pair of sturdy but comfortable shoes? Some motivating music queued up on your MP3 player? A walking schedule? A walking buddy? A dog (you can always borrow a neighbor's, and your neighbor will thank you)? Begin gathering your resources.\n\ne. Set a day to start implementing each of these changes, and set up a tracking system. You can use a calendar, a daily checklist, or your PERFECT Journal. There are even websites out there (like <http:\/\/www.43things.com>) that help you set goals, track your progress, and connect with others who share your goals. A free online calendar, like Google or Yahoo, will allow you to send reminders to yourself.\n\nf. Remember that making these changes points you in the direction of true recovery. You are aligning yourself with your values. If you miss a day or slack off, just pick the ball back up. Every moment is an opportunity to make a positive choice.\n\n**3. Mid-Range Goals**\n\ng. Consider the journal entry you wrote on your vision for yourself, and make a list of goals you will need to meet to actualize your vision. For example, if you see yourself earning a degree, you will need to begin researching programs and requirements. Do you have to earn your GED or take the GRE?\n\nh. Are there things you can do right now to begin preparing? If not, when would be a realistic time to begin? Write down that date.\n\n**4. Addiction Goals**\n\nTaking all your answers into consideration, what is your ultimate goal in regard to the actual substance or behavior you are addicted to? What is the best way for you to achieve that? For instance, if you are aiming for abstinence, is it more realistic _for you_ to taper off, implement harm reduction methods, or go cold turkey? If you are aiming for moderation, is that a long-term goal? If so, how will you handle your addiction in the meantime? Compose a plan for yourself now, listing your addiction goals and the avenue you want to take there. Remember, you can always go back and revise as you gain clarity about yourself and your values. You are not doomed by your biological destiny\u2014or anything else\u2014to remain the same person you are now forever.\n\n* * *\n\n**CASE:** The rabble-rousing Irish actor, Richard Harris, came within an inch of snuffing out his life due to his cocaine addiction and alcoholism after he achieved early stardom in the 1970s. By the late 1980s, although he had survived his addictions, Harris's career had not been so fortunate, and he hadn't made a movie in years. But Harris began a concerted effort to be cast in the 1990 film _The Field_ , for which he received an Academy Award nomination, and his career was rekindled, including parts in _Unforgiven_ , _Gladiator_ , and, most notably, the role of Albus Dumbledore in the first two Harry Potter movies.\n\nHaving made it by this time to his seventies, Harris had calmed down considerably. In an interview for _People_ , Harris described resuming drinking late in life. First he described how the Dumbledore part had made him a hero to his grandchildren. And, then, he told about having a Guinness at the local pub every now and again, saying his relatives wouldn't believe it knowing he was above ground and wasn't enjoying the national beverage. Think he would blow it at this point and ruin his grandfatherly image? Apparently, that wasn't a possibility. And, so, Richard Harris died non-abstinently, but without resuming his addiction to substances.\n\n* * *\n\nBeing human means that you are a creature in flux, that you always have the potential for change, when you are in the right place and when your personal signs tell you.\n\nMoving Forward\n\nYou did a lot of challenging work in this chapter, exploring your life from several different angles and delving deeply into areas that might not have seen the light of day in a while. This is an enormous accomplishment, and you should take a moment now to congratulate yourself. You have compiled a valuable store of information. At this point, you should have:\n\n\u2022 A realistic assessment of your addiction\n\n\u2022 An understanding of how addiction impacts your life\n\n\u2022 A (re)collection of the things that bring meaning and value to your life\n\n\u2022 A vision of your life, free from addiction, that aligns with your values\n\n\u2022 Short- and long-term benchmarks, guiding you toward your vision\n\nRemember that your trajectory will be fluid. You might take a few missteps or reevaluate your goals, so it's important to broaden your scope to see that\u2014in the big picture\u2014your momentum is forward. In the next chapter, you will begin building the foundation of your PERFECT Program by rediscovering and fortifying your core self to take charge of your life.\n\nLET'S GO!\n\n* Caution: I am not recommending that people undergo medically unsupervised detoxification the way Alex\u2014or Rose (meth)\u2014did. See note 1 for a discussion of alcohol withdrawal.\n\n*In these extreme cases, particularly involving hypnotic-depressants (especially alcohol and benzodiazepines), medically supervised detox is a wise option. If you have any concerns about this, please consult with a doctor who is experienced in this area, and who is not in AA himself or herself (unless they are capable of separating themselves from their personal experience). Under any circumstances notify someone close to you about your plans, and in extreme cases arrange for them to stay with you. See note 1 for a discussion of alcohol withdrawal.\n\nCHAPTER 4\n\n_Pause_\n\nMindfulness\u2014Learning to listen to yourself\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To learn to distinguish between addictive and healthy urges\n\n\u2022 To recognize options and crossroads\n\n\u2022 To activate your free will\n\n\u2022 To begin a practice of mindfulness meditation\n\n**Purpose:** This chapter helps you develop the skill of mindfulness, which means paying attention to the world and to yourself, including your addictive urges, so that you can create the space in which to recognize your addictive cravings, reconsider your options, and make life-affirming choices.\n\n* * *\n\n* * *\n\n**CASE:** Ozzie had smoked four packs of unfiltered cigarettes a day ever since he was eighteen. Now forty-two, he had inhaled quite a bit of nicotine as he fixed televisions over that quarter century: \"My hands were a filthy yellow I could never wash out,\" he said. Ozzie was a union activist, a shop steward, so that it was his job to stand up for fellow workers when any got in trouble. Ozzie believed in the labor movement and resolutely defended the rights of the working man against corporations. In retaliation for these efforts, Ozzie believed, the local management of the large corporation that employed him sent him to the worst parts of the city to repair TVs.\n\nOne day, while having lunch with a group of fellow workers, Ozzie went as usual to a machine to buy cigarettes. It was the early 1960s, and the price of a pack had just risen from $.30 to $.35, which one of Ozzie's fellow employees kibitzed: \"They could raise the price to a dollar, and Ozzie would still pay it. The tobacco companies have Ozzie by the ________.\" Ozzie responded, \"You're right. After this pack, I'll never buy another cigarette or smoke again.\" And he never did, until the day he died\u2014fifty years later.\n\n* * *\n\nDistinguishing Yourself from Your Addiction\n\nHave you ever been in the middle of a heated debate with someone, and halfway into your righteous, irrefutable argument, you realize in a flash that you are wrong? What do you do? If you're like most people, you'll finish the sentence the way you started it. For some reason, that instant of clarity just isn't enough to stop you in your tracks or make you shift gears. Still, you heard it\u2014that gentle, compelling voice that sends you signals and information from some deep, still place in your mind\u2014\"you're wrong.\"\n\nThis voice seems to assert itself out of nowhere. It's like a whisper that has the power to break through a trance, or like a flash of lightning that exposes the edge of a cliff just before you step off. Whatever you call this voice\u2014God, conscience, life force, inner child, authentic (or true) self, wise mind, instinct\u2014it presents you with a window of opportunity to exercise your options, even when you feel like you're riding a rocket train to hell.\n\nAs you know, hearing that voice and heeding it are two different things. In the first chapter, we witnessed Rose reject and ignore that voice time and again. The voice is just not as compelling or demanding as the surface noise: the repetitive, negative chatter that has created well-worn grooves in your mind and body\u2014your addictive cravings, compulsions, and habits. Perhaps you've experienced being zoned out in front of the TV or the computer, deeply engrossed in the flickering images and barrage of junk information, when out of nowhere a window opens up in your mind and a vista of options appears: \"I should get up and walk the dog . . . pick berries . . . call a friend . . . read a book.\" You've probably heard some variation of this old joke: _I suddenly got the urge to exercise, so I sat down and waited for it to pass_. When that window of opportunity opens, we tend to do just that: hang tight and then reimmerse ourselves in the trance.\n\nIt can feel as if there are two of you in your own mind: One of \"you\" is being led around by the nose, while the other is watching. One is in thrall to urges, battered by incessant demoralizing beliefs and thoughts, including that your addiction is irresistible, while the other looks on in wonder and protest. When you ask yourself, \"What the hell am I doing?\"\u2014a question everyone asks from time to time\u2014this is one of your selves questioning the other. This invisible interchange _proves_ that you are _not_ your addiction.\n\nEveryone knows such conflicts. No one is in perfect alignment with their best instincts or values all the time. But many people are able to correct course to improve their alignment either naturally or intentionally. Consider overworked parents who put in long hours in order to support their families, but who eventually realize that the time they spend away from home and family betrays their primary purpose. So they make changes in their work schedules in order to honor what they truly value: spending time together as a family.\n\nWhat is unique when you are addicted, however, is that the hammering voices, urges, and cravings _overwhelm_ your deeper voice. You have built a barrier, a screen, in the channel of communication, and continuing to act on your addiction serves to reinforce this blockage. Being addicted is like existing in a frantic state of patching and mending the screen between your authentic self and your addicted self. It's as if that screen separating your two selves were the only thing keeping you alive. But what's keeping you alive is your authentic self. The good news is that, no matter how much patching you do on the screen, the voice of your authentic self can't be extinguished. It remains unaffected by the racket your addicted self is making and continues to press to escape from behind the screen.\n\nIf you have ever enjoyed playing in the ocean, then you know what to do when a huge wave is about to pummel you: You dive under it, because the water below remains still, as if nothing is happening under the tumult. It is amazing how peaceful it is down there when that powerful force is crashing overhead. If you were the ocean, your true self would reside in the calm waters under the waves.\n\nThese truths about the dual self, the true self, the trance, and conflicting inner voices are timeless. Ancient spiritual traditions from all over the world, along with modern psychology, continually return to this phenomenon. In this chapter, I introduce you to your two selves in a very basic way, which you can filter through your religious faith or understand as simply a mechanism of human nature, as you see fit. I bring these concepts into the realm of addiction because they are on stark display wherever an addiction has staked its claim. It may help to think of the two voices\u2014addiction and true self\u2014as your two hands. Addiction is like the dominant arm and side of your body that respond preemptively to the tasks confronting you. The process of overcoming addiction is like deliberately developing the skill and strength in your other arm so that it can instead assert control. As your true self becomes stronger and more adept, your addiction loosens its grip, allowing your true self to take charge.\n\nAt this moment you may have some very negative beliefs about yourself. You may believe that your true self is somehow corrupted or deviant. You may think that you simply do not have an identity outside your addiction\u2014that you are not distinct from it. You may believe that you have behaved in ways that disqualify you from positive participation in society, or that any engagement with the world beyond your addiction is a tedious masquerade. I acknowledge those beliefs and feelings now as you venture into this chapter; I will not direct you to ignore them or get over them. The purpose of this chapter is to guide you toward an understanding of this inner dynamic, to help you recognize the different voices that are competing for your attention, and to teach you how to choose where you place your attention, which voice you heed. I will also offer you exercises and practices that will help you differentiate one voice from another. You can start the exercises immediately\u2014at least contemplate those listed at the end of the chapter.\n\nMoments of Grace\n\nI've discussed how 12-step recovery and its proponents view addiction as \"self-will run riot\"; this book takes the opposite view: Authentic free will that springs from your own already healthy core is the engine of your recovery from addiction.\n\nLook at it this way: the very act of seeking addiction treatment\u2014indeed, reading this book!\u2014is evidence that your healthy life force has asserted itself. You made a decision based on your best instincts and desires for wellness and acted on them. This simple, obvious truth undermines the foundation of the standard recovery model, which requires you to embrace the idea that you will always make self-destructive decisions when left to your own devices. So let's step briskly over this recovery mythology to explore how you can begin deliberately moving in the direction of true recovery.\n\nInstead, let's think about _your power to control your destiny, your mindfulness_. To remind you, as I said in the introduction: mindfulness\u2014which is both a Buddhist and a psychological concept\u2014is the ability to focus your attention on the present moment. The benefits of mindfulness are being actively pursued in medicine for a range of medical and psychological conditions. But mindfulness is particularly relevant to addiction. Being fully aware of and noticing what you're doing strengthens your ability to surface the key elements of your addiction\u2014your motivation, your situation, your needs, and your ability to make alternative choices. You can improve this ability as you can any mental or physical capacity, by learning about and practicing it through mindfulness meditation, which brings your attention to your immediate sensations. I provide mindfulness meditations throughout this book, beginning with a basic mindfulness meditation primer, following in the exercises with a description of \"user-friendly mindfulness meditation\" that you can practice by choosing meditation options that feel right for you and your situation.\n\nThe idea of mindfulness as living in the present can be oversimplified as \"living for the now,\" as in \"We're all gonna die, so let's get drunk (stoned).\" On the contrary, the balancing perspective of psychological mindfulness is consideration of how what you're doing impacts your life now and going forward. Mindfulness is awareness of the full reality in which you are situated, not a blocking out of awareness.\n\nThink of a moment recently when you were about to mindlessly light a cigarette or pour a drink or eat some chips or place a bet. Have you ever paused in this moment? When, just for a second, it seemed as if you were at a crossroad? _Why am I doing this? I don't have to do this. I don't want to do this._ Perhaps you looked ahead to the consequences, the impact the addictive action would have on the rest of your life, and your resulting feelings (shame, etc.). But, then, perhaps you automatically repressed these thoughts and continued with what you were doing. After all, there are also consequences to taking the road less traveled, the non-addictive choice: You will have to acknowledge your responsibility, which is often painful. You will have to acknowledge your power, as well, which can be overwhelming. You will have to find something else to do with the time you might have spent lost in addictive behavior. You will have to feel whatever difficult emotions you were about to suppress: boredom, grief, or fear. You will have to face the responsibility for the choices you have made or avoided, like strained family relationships or financial or health problems that are a result of your addiction. And, if you listen to that voice just once, won't it prevent you from ever being able to pursue your addiction in peace?\n\nThe pause can be a pivotal moment\u2014it offers the chance for a shift in balance, when your deepest self breaks through the haze of your addiction, interrupting the momentum that often seems beyond your control. Recall from Rose's story how she would experience a moment of revulsion and conflict every time she injected herself. When you pause this way you are being presented with an opportunity to honor your true self. It's a _moment of grace_.\n\nThe word \"grace\" has many connotations, both religious and secular. In _Recover!_ , grace describes those moments when you hear your true voice. In these terms, a moment of grace is the sudden awareness that you are at a pivotal point; it is a vision of your ideal life, an opportunity to make a decision and act with free will, to pursue your true, healthy motivations. A moment of grace is a period or place in which you present yourself with options, when the addictive busywork, the repetitive patchwork of your life, is suspended and you see yourself from a clear vantage point\u2014not from the outside, but from the inside, from the calm under the waves. It's a chance to move your life scales out of the balance they are now in\u2014to tip them and shift the weight to the _positive, healthy arm of the scale_.\n\nThese moments may seem to happen accidentally, as they did for Rose and Ozzie. For Rose, it occurred when she dwelled on the impact of missing her daughter's birthday party. It made her feel as though she were no longer her child's mother. As for Ozzie, hadn't he noticed his nicotine-stained hands any time in the previous twenty-five years before deciding to quit smoking that day at lunch? Or Dori, in Chapter 2, who quit drinking when she saw several haggard women barflies and imagined herself as one of them\u2014hadn't she ever seen the signs of aging due to her heavy drinking and smoking before she reached her thirties? What caused all of them to see themselves as though from their mind's eye?\n\nWhether you choose to act on any given insight\u2014to make changes\u2014may also seem inexplicable. You might ask yourself why Rose didn't quit _in the first place_ , rather than miss her daughter's birthday party, or why she didn't avoid all of the steps that _led up_ to that moment. Why did she have to stew on that experience afterward\u2014one which, after all, she chose? It seems as though she needed to experience that painful moment as a message from her own heart, even though she hadn't used similar previous internal communications to elevate herself. Instead, they had caused her to berate herself, giving her more reason to use.\n\nWhile these moments can seem fleeting and illusory, The PERFECT Program helps you use them as the foundation of permanent changes you will make in your life. When your true self emerges, however briefly or quietly, this is your opening for change. As you learn to recognize and build on these instances, your core values and life purpose will become stronger, louder, more assertive, while your addiction becomes _less_ compelling, _more_ incompatible with what's important to you and, finally, _irrelevant_ , indeed, offensive, to your life\u2014as it did in the second half of Ozzie's life, and for Dori, who has become an advocate for people seeking to quit addictions on their own.\n\nShifting the Balance\n\nSometimes, the natural processes of maturing, taking on greater responsibilities, and finding meaning in life combine to make self-destructive behavior impossible. For example, an alcoholic might completely stop the dangerous practice of driving drunk once she becomes a mother. Now that her own children are in the back seat, she rejects that reckless behavior in her gut. The option of doing such a thing is permanently off the table, even if her addiction to alcohol persists. This mother experienced a significant natural righting of course when her behavior became incompatible with what she truly valued. This change in her driving habits might eventually provide her with the foundation to make further permanent changes in her life, including giving up her addiction, as becoming a parent does for innumerable addicts.\n\nMany of us live in a state of conflict or despair, eaten up by the knowledge that we are violating our core values, but unable to find the commitment or will to change course. As you may know through personal experience, a moment of grace will not be illuminated by a sunbeam from heaven. It's usually fleeting, and comes hand in hand with self-recrimination. But its ambivalent nature does not mean that the choice won't eventually be clear, or that you do not have the power within yourself to change. Nor does it mean that this voice isn't already influencing you in positive ways, even if it is not strong enough to revolutionize your life in one fell swoop. Being able to recognize when your healthy self is asserting itself is the first step toward shifting the balance.\n\nPerhaps Rose would have emerged from her trance sooner if she had been aware of the process occurring within and had been able to direct it intentionally. Remember when Rose began injecting meth? She felt acute shame and disgust each time she did so, which reinforced her belief that she was different\u2014a completely lost soul who had to surrender herself\u2014unworthy of attempting to live a productive life like a \"normal\" person. Mainstream recovery wisdom told her that she actually _was_ different, so it's no wonder that she would immediately adopt such a hopeless perspective at times like this.\n\nHow much more empowering it would have been for Rose to recognize her inner turmoil as evidence of something positive about herself rather than as something broken!\n\nThe unease Rose felt when shuttling her daughter off so that she could be alone with her drug, which never failed to arouse her deepest values, caused her emotional discomfort because she was able to feel just how far off course she was. Awareness and understanding of this dynamic would have allowed her to see this discomfort as a positive sign, a signal that her behavior was betraying her truth. The _only_ way for her to quell this dissonance was to change her behavior in line with her values.\n\n**Finding Your Mindfulness**. Now that you are aware of your inner voice, you can try an experiment: The next time you find yourself pausing before or during an addictive behavior, turn your attention to that voice and notice the options it presents to you, while acknowledging the emotions you are experiencing. This is a simple act of mindfulness, in which you consciously\u2014even if just briefly\u2014extend the duration of that pause by focusing on it. Draw it out and sit with the discomfort as long as you can, even if you ultimately turn back to your addiction. Do this exercise whenever you have an opportunity.\n\nPhil (whom we met in Chapter 2) had begun smoking at thirteen and had tried repeatedly to quit\u2014succeeding for a few months two times, with a nicotine patch and nicotine gum, each time relapsing. At age sixty-nine, he awoke from his heart bypass operation, following his second heart attack, to see his lovely, thirty-six-year-old daughter Cynthia hovering over him. \"Can you get me a cigarette, Cynthia darling?\" he asked, as he had so many times before. \"Daddy,\" Cynthia responded, \"if you smoke another cigarette I'll never speak to you.\" Phil lived fourteen more years and, like Ozzie after his moment of truth, never smoked again.\n\nBoth Ozzie and Phil are confusing for those brain-hijacking theories of addiction I reviewed in Chapter 2. In one theory, addiction specialists explain how, once the body becomes accustomed to a certain cellular nicotine level, it is impossible for the person to tolerate falling below this level. So how could one sentence cure Phil and Ozzie? For these two addicts\u2014safe within the social acceptance given smokers in their life-times\u2014the crystallizing of their values by a seemingly stray comment in retrospect makes sense.\n\n* * *\n\n**CASE:** Wilson was born considerably later than Phil and Ozzie\u2014almost three-quarters of a century later\u2014although his life overlapped with both of theirs when _he_ began smoking as a teenager. A painter, Wilson didn't fit the image many had of the carefree artist. He was conscientious and worked diligently both on his paintings and on jobs he held to put himself through school. In fact, Wilson tended to be anxious and to overworry his life.\n\nSo it seemed Marie, a carefree fellow artist he met, was a good match for him. Aside from their opposite dispositions, Wilson and Marie shared many values. They also both smoked. Then, suddenly, Marie quit (she had never been a heavy smoker). But Wilson persisted, even though Marie's example reminded him daily that he didn't really want to continue his addiction. As they reached their early thirties, the couple decided to have a child, and Marie became pregnant. Wilson quit smoking.\n\nWhile talking on the phone to her mother in another city, Marie mentioned casually that Wilson had quit. Her mother exhaled a loud \" _ThankGod!_\" Marie responded, \"I knew Wilson would never smoke after we started having children. Everyone knew he'd be a devoted dad.\"\n\nWilson, who was sitting nearby in their small apartment, heard his mother-in-law's first thankful prayer through the phone, but nothing more from her end. He shrugged inwardly. He was nonetheless proud that his wife had such confidence in him, which he had proved correct.\n\n\"How's your mom?\" he asked Marie.\n\n* * *\n\nEx-addicts like Ozzie and Phil can point to a precise pivotal moment of grace when a sudden realignment took place. Others' moments aren't so precise. Wilson's decision was a clear and necessary development in his life that he wouldn't ignore. Rose, on the other hand, circled back on her moment after she failed to heed it initially. Ultimately refusing to accept that she was no longer a mother\u2014even as she hadn't been acting like one for some time\u2014Rose finally rebelled against her addiction. The birthday party represented a flashing sign that she was crossing into territory where she refused to go. Wilson quit because he couldn't, in this day and age, imagine himself as a smoking father. Phil quit smoking when his daughter made him choose between her and his cigarettes. She spoke directly to his deepest self at just the right time and made an offer he couldn't refuse. Ozzie quit when a teasing comment from an acquaintance shifted his perspective, allowing him to see how his dependence on tobacco companies clashed with his pro-labor principles. Ozzie had never tried to quit before, unlike Phil, who had tried many times, and Wilson, who worried about quitting long before he did.\n\nThese examples demonstrate different ways people have aligned with their deeper selves. But all of these people, when they have overcome their addictions, have a reason that springs from a deep well of meaning within them. Reading these stories may make you worry, even despair, that _you_ are different from these happy ex-addicts\u2014that _your_ addicted self is stronger, more insistent, unconquerable. \"You,\" your addicted self whispers in your head, \"are so far gone that even loving your child isn't enough,\" as it said to Rose. \"What _is_ the matter with you?\" Perhaps you cannot think of _anything_ that would give your life meaning or satisfaction beyond your addiction.\n\n**Mindfulness Reflection: Meet Your Addicted Self.** If you are experiencing discouraging thoughts about yourself after reading these stories, please take the time now to acknowledge these difficult feelings and thoughts. There is no need to dwell on them, because we will address them fully in the next chapter. Accept and regard them with curiosity and the recognition that you will turn your complete attention to them soon.\n\nFor now, it is enough that you accept two things: (1) When you experience a \"pause\" in the momentum of your addiction, your inner wise mind is asserting itself; (2) When someone overcomes an addiction, it is because a shift in balance has occurred that aligns their choices with their deeply held values and purpose. And, before we go any further, you must keep this in mind\u2014Ozzie and Phil became ex-addicts only after years of active addiction. Ozzie was heavily addicted for twenty-five years, Phil for five _decades_. Dori drank heavily for two decades, stunting her adult development. And Rose gave away her _child_. So you are not the worst addict we will encounter in _Recover!._\n\nThat you can recover despite the length and severity of your addiction has been shown time and again by smokers and other addicts. Following the 1964 Surgeon General's Report labeling cigarettes as cancer-causing, it seemed like only the worst, most addicted smokers would continue their addictions. A National Cancer Institute monograph, _Those Who Continue to Smoke_ , asked, \"Are [residual] smokers less likely to quit now than in the past?\" What they found: \"Surprisingly, none of the papers provides compelling evidence that this is the case.\" So, no matter how badly addicted you are, for no matter how long, you can quit. \"Perhaps most provocative, however, are NHIS (National Health Interview Survey) data showing those aged 65 and over and 45 to 64 have the lowest rates of current smoking prevalence and highest quit ratios.\" That is, even when older people remain smokers after others have quit, they are _still_ more likely to quit than younger smokers. I believe this is due to people's (yes, even longtime addicts') sense of their mortality.\n\nHitting Bottom?\n\nDo Rose, Dori, Phil, Ozzie, and the other addicts whose lives we have glimpsed all demonstrate the phenomenon of \"hitting bottom\"? (Wilson clearly does not.) This is another piece of recovery mythology that says that only when addicts reach the absolute nadir in their lives can they possibly quit. Hitting bottom is supposed to be a do-or-die crossroad, a point at which things cannot get worse, so they have to get better. Often, people in the recovery world explain away an addict's failure to stay on the wagon by claiming that this person has not yet hit bottom\u2014that they have to keep plunging powerlessly to ever-deepening depths of humiliation, danger, and self-betrayal. Wow! Can you see how this vision of recovery actually encourages the _pursuit_ of greater degradation? Because it is only at the lowest point of existence, when the alternative is death, that you will finally surrender and work the steps. What a grim, terrifying scenario this is! It is also a complete fantasy, starting with Wilson and many addicts like him who simply refuse to go down that route.\n\n\"Hitting bottom\" in the recovery industry is simply a term used to shift the goalposts. There is nothing scientific, or even anything specific, about it. \"Bottom\" cannot be defined or pinpointed. If you die in a gutter, without seeking recovery, it shows that you have a really \"low bottom,\" that you just didn't get far enough down to reach out. And if you quit your addiction, even if nothing horribly bad has happened, then you have a \"high bottom.\" And what about the many people for whom nothing in particular has actually happened when they recover\u2014what \"event\" caused Ozzie, a shop steward and heavily addicted smoker, or Dori, an attractive woman and serious alcoholic, to quit?\n\nAside from exposing it as logical nonsense, I believe it is even more important to reject this crazy notion of hitting bottom on the grounds that it is irresponsible and dangerous. If you believe that you must hit bottom before you can recover, then you _have to_ pursue the scorched-earth policy of self-destruction that can be fully demonstrated only by bankruptcy, homelessness, communicable diseases, driving accidents, rape, prostitution, prison, brain or liver damage. . . . In fact, when you think about it, unless you are dead, things can always get worse. And, that worse things await you if you don't quit is actually a helpful insight when you consider it from a non-12-step perspective. You may be mortified by your position or your behavior, but even from the depths of depravity, you can always descend even further.\n\nLet's cut ourselves loose from this therapeutic nightmare. The truth is that as long as you can say to yourself _this is not what I want for myself_ , recovery is always possible. However low down you are or are not, you can choose to extricate yourself from that mess just as readily as\u2014more easily than\u2014you can end up at the bottom of the dung heap with your last gasp of life. Because there is no such place as \"the bottom.\" The directive to hit bottom is actually an instruction to _imagine_ what for you would be the worst thing in your life, to plumb the dark pit of your soul. But it works only if you regard that image as an elevated moment of grace\u2014a sign to look up instead of down. As sports psychologists teach people, you will head in the direction that you look _toward_ and fulfill the goals you visualize for yourself.\n\n_In short: There is no reason you must find your lowest low in order to recover. You do not have to live your worst nightmare in order to discover what is truly important to you. You can start wherever you are._\n\nIt is true that many people make a drastic change in their lives when they find themselves shocked or deeply ashamed of their own behavior. Sometimes, your first instinct is to suppress the pain by curling up and sinking deeper into your addiction. Other times, these feelings inspire a radical realignment. Rose, for instance, regularly received warning messages from outside (school, parents, work) as well as from within herself. Although, given the strong undertow of her cravings, she didn't act on these messages for some time, they nonetheless manifested in her as revulsion, regret, shame, and fear\u2014and sometimes also as a promise to herself to quit or a brief feeling of inspiration and determination.\n\nRose did not hit bottom when she missed her daughter's party. Among her low moments, this doesn't stand out as the lowest. For instance, it couldn't be considered worse than sending her daughter to live with her parents, or beginning to inject meth, or watching herself deteriorate physically, or any of the other degrading episodes she had grown accustomed to. So why did a missed party trigger a shift, when having to make a choice between her addiction and her daughter hadn't been enough to make her change her course? If missing the party wasn't Rose's absolute, do-or-die bottom, then what was unique about that situation?\n\nRose's moment occurred when she perceived the difference between what she truly valued and where she was actually headed in a way she finally could not ignore. The missed party signaled a _person she would not let herself be_. Just as Ozzie could not be a capitalist stooge, or Wilson and Phil could not bear to see themselves as unloving fathers when that image inescapably presented itself. Or think how once, after one long bout of heavy drinking, Dori was hospitalized near death, and her mother lay in bed grasping her to say good-bye. But that didn't make Dori quit. Yet imagining an old-hag version of herself\u2014the vain Dori exercised and dieted religiously\u2014did. Likewise, having seen the dark place of a mother who abandoned her child, Rose couldn't ignore her most dearly held value in order to enter it. Or, more accurately, to enter it and to remain there. After all, whatever smoking signified to Ozzie about being captured by the capitalist system, he had been enslaved there twenty-five years before he leaped out one day like a cat from a hot tin roof.\n\nIntentional Alignment\n\nAside from the fact that all the people in our stories demonstrate how overcoming addiction begins with an internal shift in balance, they appear to have another element in common: circumstance, even accident. Some-how\u2014with Phil, or Ozzie, or Dori, or Rose\u2014either they were shocked out of their addictive trance by a chance event or they experienced a sudden or subtle mental shift that they couldn't pinpoint. It is tempting to believe that none of these people had control over the positive changes in their lives any more than they had control over their addiction. And they are representative of a legion of people who have gone through similar experiences. It may seem that the shift was something that happened _to_ them and that they were lucky or blessed by some mysterious force. You must remember, however, that the authentic self is not a foreign entity. It's not an elusive, unknowable presence. When people overcome their addictions, they are not transforming into completely different people. They are merely surfacing another side of themselves, an alternative persona, one that has been hidden and yet that represents their true, abiding self.\n\nBeing addicted means that you identify so strongly with your addiction, you are so consumed with the never-ending task of patching that flimsy screen that keeps your true self from emerging, that you have forgotten how to imagine yourself living without it. You would be empty inside or a complete stranger to yourself, someone without an identity or soul, you may now believe. _Recover!_ and The PERFECT Program tell you: **This is not true.** The real you is, in fact, able to reassert itself and to take charge. He or she is the very familiar _you_ who is reading these words on this page right now. And _that_ you is not fundamentally, perpetually, or irrevocably an addict. The addicted you is disposable\u2014may even be displaced while you read these words.\n\nBut it can be as hard for you to remove your addictive thinking and identity as it is to rid yourself of the addictive behavior\u2014harder. They're probably making quite a racket in there, encouraged (as in Alan's case that begins Chapter 2) by popular misinterpretations of science\u2014often spread in the recovery world or via media\u2014that say you are unable to change. Like so many other ideas about yourself you harbor\u2014\"you can't do this; you have no authentic self; you're going to be fat forever; you are worse than Rose or anyone else; you'd never be happy if you couldn't hang out at bars with your friends; everyone secretly thinks you're weird . . . blah blah blah\"\u2014 _these ideas are false._\n\nYou know instinctively that Rose, Dori, Phil, and Ozzie did not lose an essential part of themselves when they abandoned their addictions. Rather, they grew more fully into who they truly are: within themselves, in relation to others, in connection to their worlds. Having now emerged from the cocoon of their addictions, they will not be _less_ themselves for having emerged, for making this effort, and for eventually finding their perch in the real world (that is, one not colored by their drugs or addictive experiences). What made the transformations seem accidental or external in the cases presented was only these individuals' lack of awareness of the natural recovery process unfolding within them and of their power to manage it. But, now that _you_ are aware of the inner dynamics at play, you can nurture this transformation in yourself. And you can start now, right where you are, by learning to focus on the signals from your core and to distinguish them from the cravings and urges that have trapped you until now.\n\nRecall the ocean surf analogy earlier in this chapter and imagine yourself in the calm deep water under the waves. The force and spectacle of the waves overhead is very much like your addiction\u2014rushing and crashing over everything in its path\u2014but always in flux, changing and shifting. A wave has no permanence, and neither does your addiction. Underneath the waves, where your life is rich and abundant, is the deep calm in which you reside. Of course, you cannot stop the waves, but you can learn to shift your focus away from the surface turmoil. The mindfulness meditation exercise at the end of this chapter is a technique you will use to sharpen your underwater senses and begin to recognize your real voice from deep down within you. It will also allow you to recognize that the negative voices\u2014the urges, cravings, and the vicious stories we tell about ourselves\u2014lack permanence. Just like a wave. Yes, they are powerful and potentially destructive, just like waves, but they are just as transitory and ephemeral.\n\nMoving Forward: Putting Mindfulness into Action\n\nIn this chapter, you have gathered some information that you can use as you continue your journey to true recovery. Now, when you pause to ask yourself, \"What the hell am I doing?,\" you will recognize that as a moment of grace, a communication from yourself and an interlude filled with possibility. Simply turning your attention to that voice will bring you into contact with your core, sharpen your interior senses, and begin the conscious shift of your life's balance. This is the process of mindfulness in recovery. Beginning a daily mindfulness meditation practice is a gentle way for you to initiate the process of natural recovery by learning to harness your free will. _Mindfulness skills will also be your bedrock of relapse prevention._\n\nMaybe you still believe that change isn't possible for you, that your addiction is intractable, or even that you don't deserve a full life. That is okay. For now, focus only on distinguishing the competing voices within and practice the following exercises. In the next chapter, we will explore these negative beliefs about yourself and guide you to a place of self-acceptance.\n\n_Mindfulness and addiction_\n\nYou may suspect that I emphasize the practice of mindfulness meditation throughout The PERFECT Program in order to take advantage of the mindfulness craze. As mindfulness has come to the fore in recent years, there are now manuals for mindfulness for just about everything people want to do: selling, money management, medicine, marriage, parenting, exercise, eating, pet ownership, even sewing. Clearly, mindfulness is a trend. But it is also a deep and powerful practice that has been passed down for thousands of years. And, as this chapter makes clear, it speaks directly to and combats the essential mechanism in addiction.\n\nAddiction is the mindless and relentless chasing of superficial urges and compulsions, a desperate grasping at fleeting satisfaction; mindfulness is its perfect, natural opposite and antidote. In fact, that is exactly what it was meant to achieve. Mindfulness is a respite from craving that you create through the practice of bringing your full awareness into the present moment, rather than allowing yourself to be led mindlessly by force of habit. The usefulness of the Marlatt team's mindfulness-based approach to relapse prevention illustrates this principle. Mindfulness may be the buzzword _du jour_ , but for combating addiction it is a central, crucial practice. Mindfulness has proven especially useful in dealing with binge eating, which appears both in regard to obesity and to eating disorders such as anorexia and bulimia.\n\nAs I have written: \"Addiction is the search for emotional satisfaction\u2014for a sense of security, a sense of being loved, even a sense of control over life. But the gratification is temporary and illusory, and the behavior results instead in greater self-disgust, reduced psychological security, and poorer coping ability. That's what all addictions have in common.\" There is no place where this cycle is clearer than in the case of binge eating. Binge eating points clearly to the nature of the addictive experience as a self-feeding negative relationship to an object, activity, or involvement. As one woman spoke of coalescing obese binge eaters and those with eating disorders: \"The problem [for either the anorexic or bulimic, or the obese, binge eater] is not the food; the problems are the issues in your life, and you turn to food because you can't handle them.\"\n\nAs the foundation of The PERFECT Program, developing your mindfulness practice is key. So, if the very thought of meditation makes you groan in anticipation of excruciating tedium, well . . . get that groan out of your system now. Go ahead\u2014groan!\n\nDone? Then let's get started!\n\nMeditation\n\n_Basic Mindfulness Meditation_\n\nIt is often difficult for people with addictions to meditate. The idea of just sitting with yourself for any length of time can seem overwhelming, especially when you are preoccupied with patching your addictive screen to hide your real self. This meditation is thus an exercise of your free will, as well as a technique for making contact with your core self.\n\nFind a quiet place, where you know you will be undisturbed, and a place to sit, either on a chair, a cushion, or on the floor. Don't lie down: You want to be in a state of relaxed attention, not fall asleep. Set a timer for ten minutes (if ten seems overwhelming, start with five and work up to ten). Find a comfortable position, rest your hands on your lap, close your eyes, and relax every muscle. Focus your attention on each part of your body and release the tension there. When you are relaxed, turn your attention to your breathing: listen to the sound of your breath, notice the duration of each breath, the sensation of taking air into your lungs. If it helps you to focus, you can think \"in breath\" and \"out breath.\" As you do this, thoughts and emotions will enter your mind, some random, some uncomfortable. When this happens, acknowledge them, notice them, and release them, and then deliberately shift your attention back to your breathing.\n\nThere is no right way to meditate, and no particular experience you should have. It's important to remember that, even if you spent the whole time fidgeting and distracted, that is not wrong. That was simply your experience; you are learning the skill of sitting with uncomfortable feelings. You are not obligated to act on every urge or thought that presents itself to you. Remember that no one can block out all thoughts and feelings, so don't make that your goal. You cannot control what thoughts come into your mind. Notice how fluid these thoughts and feelings are, how they come and go, and how you can turn your attention away from them. You cannot stop them from coming, but you can consciously control where you place your attention. With daily practice, you will find it ever easier to turn your awareness where you choose to and let the waves of thoughts and feelings flow over you and away.\n\n_Tips:_\n\n\u2022 Create a permanent space in your home for meditation, where you will be comfortable and undisturbed by noise or clutter.\n\n\u2022 Get an egg timer or an alarm with a gentle chime\u2014not your cell phone timer; your phone might ring.\n\n\u2022 Turn off the ringer on your phone.\n\n\u2022 Set a regular time every day for meditation, when you know you will be alert.\n\n\u2022 Challenge yourself to increase your meditation time weekly by five minutes. Set a goal of at least thirty minutes.\n\n\u2022 Find a meditation center or group in your neighborhood.\n\n**Mindfulness Variation:** You can bring mindfulness practice into your everyday life. Whenever you think of it, stop and bring your full presence to whatever you are doing. For instance, if you are washing dishes, challenge yourself to notice as many details as you can about the activity: How do the suds feel? What do they look like? What temperature is the water? How do you feel about doing the dishes? Or focus inward\u2014on your mind and your body (instead of listening to your iPod)\u2014while you exercise. Remain mindful as long as possible, and see if you can extend these periods of full awareness.\n\n**Relapse Prevention Starts Now:** Research is demonstrating the effectiveness of mindfulness techniques in relapse prevention. Studies conducted at the University of Washington, for instance, report a significant decrease in relapse as well as cravings in participants who employ mindfulness-based practices compared to those who receive \"treatment as usual.\" Starting a mindfulness meditation practice now will provide you with a strong foundation for maintaining your success, giving you a powerful skill that will aid in both preventing relapse and correcting course in the event that you do relapse.\n\nExercises\n\n**Activating Your Free Will:** Acting with free will is the ability to align your choices and behaviors with what is truly important to you. Simple enough in theory, but it takes deliberate practice. Once you have the ability to see your addictive urges for what they are and to distinguish them from your healthy core self, you can begin to choose where to focus. In other words, you can train your free will to take over. Let's begin by committing to use this powerful anti-addiction tool in your daily life:\n\n**S.P.O.T.**\n\n\u2022 **See:** When you have an addictive urge, _see_ it for what it is. Mindfully appraise the feeling as addiction, distinct from the conscious presence that you are using to recognize it. There is the urge, and there is you acting as witness to the urge. Say, \"This is an addictive urge.\"\n\n\u2022 **Pause:** Allow yourself to sit with your addictive urge, to experience the uncomfortable feelings, or even the emotional pain that results from not immediately acting on your craving. Set a time frame for yourself and commit to not acting on this urge\u2014say, thirty minutes to start. Or if that's too difficult, start smaller and work your way up.\n\n\u2022 **Override:** While you are waiting it out, engage yourself in a life-affirming activity that you know will bring you some sense of accomplishment or satisfaction. Make a list of things you can do at a moment's notice to override your addictive urge (there are some suggestions for you in the \"Triage\" chapter on page 241).\n\n\u2022 **Track:** Keep track of your S.P.O.T. progress: record how long you were able to Pause and what you did to Override your addictive urge. Focus only on your successes and on what worked for you. Do not berate yourself if you succumbed. Remember, you are strengthening your \"weaker hand,\" and that takes effort, time, and patience.\n\nJournal Exercises\n\n**Your Moments of Grace:** Can you identify any recent instances in which you experienced a \"pause\" in your addictive behavior? Perhaps you were about to indulge your addiction and were overcome with a feeling of tedium or repulsion. Maybe you extinguished a half-smoked cigarette out of a sudden feeling that you were wasting your time or making yourself sick. Perhaps you put down a cream puff or morning pastry by thinking, \"Is this really something I like?\" Or you may have looked at your friends drinking or smoking weed at a party and considered, \"Maybe I'll just sit out this shift.\" Write about these instances in as much detail as you can recall, extending for as long as you held out against your addictive urges. If you did relent and indulge, include the thoughts or feelings that eventually led you to persist in your addictive behavior. Try to answer these questions:\n\n\u2022 What did that moment of grace communicate to you? How did it present itself? As a feeling? A thought? An image? Was it a negative idea or image of the activity, or a positive one of what might be?\n\n\u2022 How long did it last? How did it make you feel?\n\nIf you dismissed it and continued to pursue your addiction, write about what you said to yourself, or how you suppressed that inner voice.\n\n**Telling a New Story:** Choose one of the moments of grace you wrote about in the last exercise and tell the story again, only this time give it a different ending. Write a new story about yourself: Imagine that you honored that voice and chose not to pursue the addiction. What would you have chosen to do instead? What would you have accomplished? Explore your new story in as much detail as you can. It is like writing a work of fiction with you at the center, except that \"fiction\" is the real you.\n\nYoga and Mindfulness\n\nYoga offers many of the same benefits as meditation\u2014indeed, many yoga classes and videos begin and\/or end with brief meditations. I practice yoga\u2014which I summarize as stretching and breathing. As in meditation, the centering focus of all activity is on your breath, along with a deep awareness of your body. For people inclined to physical exertion and for whom the restful poses of meditation don't come naturally, yoga can be a better route to mindfulness.\n\nIntroducing yoga into your routine will broaden and deepen your experience with mindful awareness. Of course, yoga is good exercise and can help you become stronger and more limber. But it has benefits beyond exercise. Just as with meditation, yoga requires you to bring your awareness fully into the present moment. As with meditation, the benefits are in simply doing it, at any level of proficiency. As you take your body into new positions, you may be aware of uncomfortable sensations or emotions, but turning your curious attention to these feelings is part of the exercise. Like meditation, yoga offers a balancing experience to your day in which you engage your mind, body, breathing, and your setting simultaneously, in the moment.\n\nIf you haven't done yoga or don't know how to begin a practice, it is an easy activity to access. Classes are readily available, either privately or at no added cost at Y's, health clubs, or other community venues. Gaiam (www.gaiam.com), Amazon, and many other sites offer numerous yoga videos, including many for beginners, some of which may be available at your library. Among many books you can find on yoga is _Moving Toward Balance: 8 Weeks of Yoga with Rodney Yee._ Yee guides you through a home-based yoga practice while delving into the mind and body benefits of this practice, a valuable addition to your mindfulness tools.\n\nOther Mind-Body Programs\n\nThere are many varieties of mind-body learning aside from yoga, some almost as well known (including tai chi, Pilates). Any of these is worth exploring, even though I can't go into detail about them here. Another form of such movement\/meditation is the Feldenkrais Method. Feldenkrais emphasizes mindful self-awareness, including visualization, in order to relearn common motions to improve performance, encourage ease and pleasure of movement and function, and reduce pain and injury. Feldenkrais involves instruction, but is also self-directed and non-routinized, relying on the person's creativity and experience. It is a gentle practice that proceeds in gradual increments. Typical Feldenkrais advisories are to be aware when practicing so as to avoid discomfort, to enjoy the practice, and to integrate new learning with everyday living and movement. You may find instruction and classes at the Feldenkrais Method website (www.feldenkrais.com).\n\nUser-Friendly Mindfulness Meditation\n\nThis additional meditation section reviews the basic meditation approach I described above, but in a more general and open way, to allow you to tailor your meditation practice as you see fit and to feel comfortable exploring your options.\n\nThe heart of mindfulness meditation practice is in willfully directing your attention to the present moment and your feelings and sensations within it. You can find your own way of achieving that experience. This will be a self-directed practice, so experiment with approaches to meditation to find what works best for you. Typically, people sit on a cushion with their legs crossed and backs erect. Your ambition might be to levitate six inches off the ground in a perfect lotus position, but (since that is only for advanced students) you may be most comfortable sitting in a straight-backed chair. Similarly, you may find it easier to keep your eyes softly focused on a candle flame than to keep your eyes closed (especially if you have a tendency to sink into a torpor when you meditate). You may want to rest your hands on your knees, palms up, relaxed and open, or you may feel more secure with your fingers touching your thumbs, palms down on your knees, or softly folded in your lap, or together at your heart. Whatever position you choose, notice how it makes you feel, what sensations or feelings each position creates for you.\n\nThe purpose of mindfulness meditation is not to empty your mind, to be clear of all thoughts. In fact, there is no state of mind you must strive to achieve, so that when you're finished you know whether or not you have been successful. Simply _doing_ it is success. What will you be doing, then, exactly? You will be paying curious, nonjudgmental attention to whatever comes up, while intentionally directing and redirecting your mind to remain fully in the present. That is it. Here's the nuance: The practice is in continually and deliberately reinhabiting the present moment, not in trying to force yourself to remain in the present moment.\n\nThink of your mind as a playful puppy that will chase after every squirrel or ball that crosses his path. It is in the puppy's nature to romp and chase. However, just because it is in his nature does not mean that his whims should always rule the roost. He must be trained to return to you when you call him, otherwise he might carelessly (mindlessly) chase a cat out into the road. As he matures into an adult dog, you don't want him to stop playing or protecting his territory, but you do want to make sure that you are the one in charge. As his master, you can call him back to your side when necessary.\n\nYou are not trying to prevent your mind from wandering or chasing after shiny objects. That's what our minds do. You simply want to train your mind to come when called. Traditionally, mindfulness practice begins by focusing your attention on your breath. It is the most convenient, ever-present touchstone\u2014a bridge between the inner and outer landscapes you inhabit at every moment. Turning your attention to your breath is easy, because it is always there and you can always find it. There are a few ways of keeping your attention focused on your breath. You may, for instance, say to yourself (either silently or out loud), \"In breath. Out breath.\" You might also count your breaths. Count to ten, then start again\u2014and again. If your mind wanders, start again. No judgment. Or, you might vocalize with each breath. You may know about chanting \"Om,\" which is an option, as is simply making a sound that feels right to you as you breathe out.\n\nAlternately, you may want to focus your attention on a part of your body or inner landscape that feels good or neutral. Or, use the sound of your refrigerator humming as your home base, if that works. You might choose to use a visual touchstone, either physical (like that candle flame) or by keeping your eyes closed and focusing on the spot between and just above your eyebrows. Some people see light or color there. In order to remind yourself to bring your attention back to the present, you can set a gentle chime to sound every ten or fifteen minutes. Or listen to a guided mindfulness meditation, which you can download from the Internet or purchase as a recording. If you find it difficult to sit, or are overcome with restlessness and do not have the tolerance for it yet, you may practice walking meditation. In walking meditation, you focus your attention on movement: your steps, your active muscles, your gait. Walk with intention, taking deliberate steps. And when you find your mind wandering, acknowledge it, and turn your attention back to your walking. The variations are endless, so to ensure consistent practice, take time to figure out what works best for you. The only correct way to practice mindfulness meditation is _your_ way. As long as you are doing it, you are doing it right.\n\n_Meditation options_\n\nHere are some options to help guide you to a meditation practice that works best for you. Each option will generate different feelings or call different thoughts to mind. Bring your mindful attention to these feelings and thoughts. For instance, does sitting on a cushion make you feel more grounded than sitting on a chair? Or does sitting on a chair allow you to remain more alert? Does keeping your eyes closed make you feel disoriented, while keeping your eyes focused on a flame helps you feel more connected to your environment? Remember, as you continue your practice, these options will remain fluid. What makes you feel insecure one day may make you feel exhilarated the next. Today, you might need walking meditation; tomorrow, you might be willing to sit still and explore your restlessness.\n\n* * *\n\nLocation:\n\n\u2022 Indoor meditation spot\n\n\u2022 Altar\n\n\u2022 Outside\n\n\u2022 Walking (inside or outside)\n\n\u2022 Meditation hall\n\n\u2022 Other_______________________\n\nSitting Options:\n\n\u2022 Floor\n\n\u2022 Cushion on the floor\n\n\u2022 Crossed legs\n\n\u2022 Lotus position\n\n\u2022 Chair\n\n\u2022 Other _____________________\n\nHand Position:\n\n\u2022 Palms down, on your knees or lap\n\n\u2022 Palms up, on your knees or lap\n\n\u2022 Fingers touching thumb, on your knees or lap\n\n\u2022 Hands at your sides or touching the floor\n\n\u2022 Palms pressed together, at your heart center\n\n\u2022 Other _______________________\n\nMindfulness Touchstone (Home Base for Your Attention):\n\n\u2022 Breath\n\n\u2022 Chant, \"Om\" or other vocalization\n\n\u2022 Physical sensation\n\n\u2022 Emotional feeling\n\n\u2022 Craving or urge (see Chapter 7)\n\n\u2022 Physical object\n\n\u2022 Inner visual image\n\n\u2022 An intention\n\n\u2022 Other_________________________\n\nGuidance:\n\n\u2022 None\n\n\u2022 Recorded guided meditation\n\n\u2022 Chimes at intervals\n\n\u2022 Meditation class or group\n\n\u2022 Other_________________________\n\n* * *\n\nCHAPTER 5\n\n_Embrace_\n\nSelf-acceptance and forgiveness\u2014Learning to love yourself\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To balance mindfulness with compassion\n\n\u2022 To make self-acceptance a new habit of mind\n\n\u2022 To draw a distinction between your true self and your addiction\n\n\u2022 To understand and practice forgiveness, of yourself and others\n\n**Purpose:** It may seem that mindfulness implies stark introspection, requiring you to see all your flaws with brutal clarity. In other words, it could be yet another tool you can use to beat yourself up. But clarity of perception is logically tempered by self-acceptance. It simply makes sense for you to recognize that you are a worthy and complete person, entitled to fulfillment, opportunity, and love. With this realization in place, your self-examination will be balanced\u2014both accurate and compassionate\u2014which will make it effective. The purpose of this chapter is to guide you toward self-acceptance and its sister cognitive emotion, forgiveness\u2014of yourself and others. With the joint tracks of mindfulness and self-acceptance in place, you can readily go forward with your PERFECT Program.\n\n* * *\n\nThe Weight of Negativity\n\nIt may be human nature to suspect the worst about ourselves. Sometimes this impulse achieves pathological levels, as it does with people who suffer from a condition called \"body dysmorphia.\" Those afflicted believe themselves to be so physically grotesque that they have no right to even walk outside as normal human beings do. They are unable to look in the mirror without feeling profound self-hatred, seeing shocking deformity and ugliness, even though their appearance is perfectly normal, or even beautiful, to those around them\u2014especially those who see the whole person, inside and out. Think, for instance, of dangerously malnourished anorexics who believe themselves to be obese, exploring their bodies with microscopic attention to this pocket of fat or that small curve. When they look at themselves, all they can see are these magnified imperfections\u2014they live a life of vigilance, self-denial, and self-debasement, trying to correct their overwhelming flaws, or they hide themselves away altogether.\n\nMaia Szalavitz notes, \"Being ashamed of drinking prompts relapse, not recovery.\" In a study in which alcoholics were videoed reviewing their bad drinking episodes, when they were followed up four months later, researchers found that their displays of physical shame (coded on a scale of their body language) in the first ten seconds directly predicted their likelihood of relapse: every added point they scored led to an average of eleven more drinks over the period of the study. Even alcoholics displaying moderate shame drank twenty more drinks than those who didn't convey shame. Furthermore, a review of the use of \"humiliating, confrontational tactics, which attempt to induce shame\" found that not one study over four decades supported this approach. \"The results add to a body of literature suggesting that widely used shaming and humiliating methods of treating alcohol and other drug problems\u2014such as those seen on shows like _Celebrity Rehab_ \u2014are not only ineffective but also may be counterproductive.\"\n\nYet shame and humiliation are the fundamental emotional experiences encouraged in recovery! Step 1, that you are powerless, is described as \"absolute humiliation\" by AA. _Self-acceptance is the defining difference between AA and The PERFECT Program_. This is the place where The PERFECT Program most clearly and meaningfully diverges from the dysfunctional, defeatist model that has been pushed on you and so many others as the American approach to addiction. After you and fellow AA members \"admitted we were powerless over alcohol\" (or whatever you're addicted to: shopping, food, sex, gambling, painkillers), you must then have \"Made a moral inventory\" of your failures (step 4), \"Admitted to God,\" yourself, and others these failures (step 5), made yourself \"ready to have God remove all these defects of character\" (step 6), begged \"Him to remove our shortcomings\" (step 7), and then have \"Made a list of all persons we had harmed\" (step 8).\n\nFeeling uplifted and ready to recover about now? The research indicates not. What's worse, conventional recovery's fixation on character defects appeals to the powerful impulse we have to believe the worst about ourselves. But recovery thus motivated is not compatible with a fully realized sense of yourself. Think of an anorexic or bulimic who has to overcome her sense of worthlessness, along with her belief that she is ugly. Is the path to achieving peace of mind for girls and others with these feelings to constantly examine and apologize for their various imperfections, many unnoticeable or irrelevant or not their fault, like those just about every other human being has? In fact, thinking that way is the problem! It's impossible to expect a person to achieve wellness by focusing on his or her faults and mistakes. Perhaps this is why conventional recovery asserts that people must remain \"in recovery\" forever and continue to identify themselves as addicts, no matter how long they are sober. It is the AA worldview itself that actually makes your recovery so tenuous by imposing a _perpetual state of spiritual dysmorphia_.\n\n* * *\n\n**CASE:** Alexis was, at twenty-eight, a tall, willowy model. And she had developed a terribly damaging case of anorexia. While this condition could be laid at the feet of the modeling business, it was also true that she had never seen herself as attractive\u2014a habit of mind that continued now even as she graced the covers of leading fashion magazines around the world.\n\nAs a child, Alexis was regarded as tall and gawky. Asked to name her chief characteristic today, Alexis would note her elongated nose, near-sightedness (she wore glasses at home), and the very slenderness that was her stock-in-trade\u2014\"I wish I were more feminine,\" she sighed. As a result, she rarely went to social events, where she never felt she fit the role of glamorous model she was expected to fill.\n\nAlexis was also an extremely caring person. She clucked after the younger models (many of whom were still in their teens) like a mother hen. When she became involved in a charity to help feed African children, the organization's representative remarked with amazement, \"She really cares!\" rather than simply supporting the charity because her publicity agent told her she should. Particularly noticeable was her affinity for\u2014love of\u2014injured and mutilated children she met, whom she hugged as if they were her own.\n\nIf you asked Alexis, someone with a debilitating case of body dysmorphia, whether anyone else\u2014like the starving and bruised children she encountered\u2014deserved the kind of abuse she inflicted upon herself\u2014like withholding nourishment and mocking their appearance\u2014she would have turned on you like a tigress. Her whole being was devoted to making them feel accepted and loved. Her irate reaction would be similar if you asked her the question, \"Should people with blemishes hide themselves?\"\n\n* * *\n\nAlexis would loudly protest that the idea that people should be preoccupied with their physical imperfections is preposterous, degrading, and completely unhelpful for these children and for society. So why does she hide herself, obsessed with her own flaws, believing that she alone, among all imperfect people on earth, deserves to be judged harshly? It's clear that her torment is caused by her inability to view herself through a lens of compassion, like the one through which she is able to see distressed children. Framed this way, it is apparent how warped her perspective towards herself is. In fact, Alexis's greatest need is to overcome this self-loathing in order to cure her addictive eating disorder, as young women often do as they mature, since eating disorders appear primarily in teens and young adults.\n\nThe distorted perspective an anorexic has on her outward physical appearance is like the one you may train on your inner being when you conclude that you are so innately, irredeemably damaged or abnormal that you can never engage in life as everyone else does. Think of Alexis, in whom this prejudice against herself is so obvious. Alexis could never see herself as being as beautiful, engaging, popular, and accomplished as other people saw her to be. So she rejected the compliments\u2014\"you've really been there for so many younger models\"; \"you've created communities for yourself in modeling and around the world that should make you proud\"; \"you are a beautiful person, inside and out, Alexis\"\u2014as she gazed at herself in the mirror with disappointment and even repugnance.\n\nAccentuating the Positive\n\n_Recover!_ 's approach to overcoming addiction requires a radical shift away from the self-degrading examination of yourself and your life in order to enumerate all of your horrible traits and despicable acts. For instance, your recovery program may tell you that you are naturally self-centered and dishonest, that if you are left to your own devices you will always make poor choices, and that you are obligated to focus constantly on such \"character defects\" and misdeeds, then hold them up for public examination. The PERFECT Program replaces this demeaning practice, one that reinforces what may be your already irresistible impulse to pathologize and reject yourself. Instead, _Recover!_ asks you to embrace yourself as already worthy, whole, and wise. Above all, you should realize, _addiction is not a core identity any more than is a flabby thigh or a crooked nose_. They are all superficial characteristics, not foundations on which to build your identity.\n\n* * *\n\n**CASE:** Letter from a man who relapsed after attending AA\n\nI sincerely want to change my habits. I am totally aware that what I am doing is self-destructive.\n\nHowever, as a person who has survived severe emotional and physical childhood abuse, I cannot or will not ever again admit I am powerless. In spite of it all I am a medical professional who devotes each day to ensuring that my severely disabled patients enjoy the highest quality of life. I also respect their right to choose what is the best course for them.\n\nI have failed AA because I am unable to confess I am powerless. I have been told that since I am unwilling to surrender I may as well give up on being sober, that this is my addicted brain talking. I feel that they're telling me I have no worth. Saying I'm powerless and going to 90 meetings in 90 days only reinforces my feelings that I am a failure. In all honesty I feel bad enough about myself as is. If I give up on me, who is left to carry on?\n\nAA veterans have told me this is denial. Am I in denial? I know I drink too much; that is why I came to AA. I do know that when I am happy and doing meaningful work I don't care about drinking at all. And I know that telling myself how rotten I am won't change anything for me. In fact, it makes things worse. Which may be why I bought and consumed a bottle of wine after my last meeting.\n\nIs what I am being told right? Right now I am lost and miserable.\n\n* * *\n\nWhile AA certainly helps some people, this man is far from unique. Ken Anderson noted, \"I have also seen many people whose drinking got worse while attending AA. I am one such person: During my time in AA, I nearly died of alcohol withdrawal.\"\n\nThis man needs not to have his wavering self-image further undermined, but to have his strengths and positive life instincts encouraged, reinforced, and extended. Indeed, we all need that. Consider the last time someone gave you a heartfelt compliment. Did you reflexively deny it or brush it off, as if it would be dishonest or presumptuous to accept it? It seemingly takes an act of will to acknowledge as true an attribute, skill, or good act of yours. The impulse to view your positive qualities with some modesty is reasonable. But, then, you should be just as measured when it comes to your demons. Let someone point out some deep personality flaw that you have\u2014meanness, insecurity, bad faith, fear\u2014and you will likely burrow into your cave and reflect on that insult endlessly. You almost certainly take it much more to heart than you would any praise that someone offers you. Why should insults affect you so much more than compliments? Regardless of the reasons behind this disparity, _your task for overcoming addiction is to find a way of perceiving in yourself what is right and good at least as readily as you reflect on your flaws and errors_. When you identify these positive qualities, you can't rule them out as insignificant exceptions (as Alexis did her charity work and generosity) while regarding your negative ones as being the real, permanent you. Maintaining some balance is only fair!\n\n* * *\n\n**CASE:** Have you ever noticed how hard it is for people to accept compliments?\n\nAt forty, Jack had never settled into a niche in life. Then he began working at a dog grooming service, making appointments, looking after dogs before their owners arrived, and taking payments. Jack had found Nirvana! He was great with customers, loved animals and had a gift for handling them, and was as reliable and punctual as his boss had ever found an employee to be. As a result, she gave Jack more and more responsibility managing the business.\n\nSusan, who brought her dog for grooming regularly, appreciated Jack's care, skill, and attention with her pet and with her. \"Jack, I just so like bringing my dog here. You really seem to love your job!\"\n\n\"That's because Elaine is the best boss I've ever had,\" Jack enthused. \"She changed my life.\"\n\nAs it happened, Elaine was in the shop at the time. \"That's because you don't see me at home, where I'm a real ______.\"\n\nSusan had seen people deflect compliments hundreds, thousands of times. (She did so herself, she later reflected.) But this time, the phenomenon struck her. \"Elaine,\" she blurted out, \"Jack just said you changed his life, and you slough off his feelings as though they meant nothing!\"\n\n* * *\n\nExercise 1, Part 1\n\nBefore you read further, open your journal and make three columns. Title the first column, \"I want to overcome my addiction because. . . .\" Underneath that heading, list as many answers to that question as you can. Then continue reading. You'll find Part 2 of this exercise on page 111.\n\nThe shift in perspective The PERFECT Program requires is not simply from being all-out negative to uncritically positive. Believing the worst about yourself is unrealistic\u2014but it's not any more realistic (or possible) simply to believe only the best about yourself and that everything is hunky dory. Balance requires avoiding _both_ a microscopic scrutiny of your personal defects _and its opposite_ , a silly Stuart Smalley self-affirmation (\"I'm good enough; I'm smart enough; and doggone it, people like me\"). A balanced view of yourself sees you as a complete, fundamentally sound person, one with both positive and negative aspects, neither of which define, support, or detract from your fundamental worth as a human being. It's like the difference in perspective between trying to make out the dirty pattern on the linoleum of an aged kitchen floor and looking at the whole planet from space. Self-acceptance is looking at yourself from the more complete, and therefore more forgiving, perspective of space.\n\nIn the previous \"Pause\" chapter, we introduced you to the practice of bringing your full awareness into the present moment. Mindfulness is a simple and powerful anti-addiction tool that serves you in several ways: It hones your ability to listen to your inner voice, your sound instincts. Mindfulness teaches you to distinguish between your life force and the temporary feelings, cravings, desires, and compulsions of addiction. It gives you the mental distance and room to note and explore where these uncomfortable feelings are coming from without having to act on them. It helps you develop the skill of sitting out these onrushing feelings without being swept away by them. In short, mindfulness is full presence and clarity. But mindfulness alone is not enough to free you from addiction. Self-acceptance\u2014compassion for yourself as well as others\u2014is an equal partner in this endeavor.\n\nIn the last chapter I promised to address the pessimism and discouragement you may feel about your ability to overcome addiction. You may believe, for instance:\n\n\u2022 I am different from normal people. I don't have what it takes to beat my addiction. I have no identity outside of my addiction. My addiction is worse than anyone else's.\n\n\u2022 I am _incapable_ of creating a meaningful or fulfilling life. I am inherently deficient. I can't learn new skills or how to change.\n\n\u2022 I do not _deserve_ a meaningful or fulfilling life.\n\n\u2022 I don't know how to act properly. No one has treated others as badly as I have. I have committed worse acts (sins) than everyone else.\n\n\u2022 The good things in life are for other people.\n\nBeliefs like these hurt you because you can feel right, and even noble, thinking the worst of yourself, as if you were simply being realistic about your limitations\u2014that you are facing the cold facts. Since no one knows you like you do, hearing from strangers like me that you're not as bad as you think you are won't persuade you. The most difficult part of your journey to wellness will be loosening the grip these beliefs have on you and replacing them with positive, self-accepting ones.\n\nExercise 1, Part 2\n\nRevisit your answers to the question, \"I want to recover from addiction because . . .\" and see if you can recognize the extent of your negative critiques of yourself. For example, \"I want to recover from addiction because I am a terrible parent.\"\n\nWhat's Really Wrong with You?\n\nFeeling that you are off the grid in some way is common not only for addicts, but for everyone, even those who seem to have it all. But addicts have an added blanket of self-contempt to contend with, because addiction often goes hand-in-hand with estrangement, deception, inner conflict, and shame. To take one example, you will typically hear addicts despair of their discomfort and lack of confidence in new social situations, as if their awkwardness is unique to them as addicts (this may be a feeling you know well yourself). Many explain they used drugs or drank initially in order to relax in social situations.\n\nIt's true that addicts and alcoholics can feel out of place in social situations. But only the rare social butterfly doesn't feel uncomfortable around new people\u2014put another way, nearly everyone feels more comfortable in familiar settings with people they know. True, if you have spent a lifetime quelling your social anxiety with an addiction, you may have built quite a structure on this common insecurity, because you haven't had the opportunity to develop healthier ways of coping. But these experiences nonetheless fall well within the normal spectrum of human experience. They are not unique to you and other addicts, and it isn't true that you can _never_ remedy these feelings. You _can_ change such responses by exposing yourself to new social environments in new ways.\n\nEven the most progressive addiction experts in the field, those who reject the destructive aspects of recovery culture, seem unable to shake the habit of searching for underlying pathologies common to addicts. The fact that the field can't settle on what your real problem is should give you pause: Is it childhood trauma? Or has your brain chemistry gone haywire? Or maybe you lack the inherited chemical means to process alcohol (this is one that may strike entire races!). You can find a whole laundry list of root causes. Perhaps you were abandoned as a child. Perhaps you were overly attached to your mother. Could be you have no impulse control or an inability to delay gratification. Maybe you can't process sugar or white bread or are deficient in amino acids. The list is endless, especially when these experts start mixing and matching. There's no doubt you can find one or more of these theories that apply to you.\n\nWhat makes this approach so compelling is that it homes in on addicts' urges to embrace any evidence supporting their deeply held belief that there is something fundamentally wrong with them. Now, at last, you have an explanation for your problems; you have a place to rest, however negative this perch is. There is a certain satisfaction, a seeming solidity that comes with discovering your \"real problem.\" Now fixing yourself becomes an entirely straightforward proposition: Heal your inner child; rewire your brain; take a medication; relive your trauma; quit sugar; find groups of fellow sufferers to rehash your experiences with. However, you may know from personal experience that none of these approaches will remedy your addiction. Instead, defining yourself as damaged and deciding you are spiritually or physically impaired can reinforce your worst behaviors.\n\nThe causes and manifestations of addiction are infinitely complex. Searching for a single cause\u2014and, by extension, a single cure\u2014is simplistic, unnecessary, distracting, and obviously counterproductive. Say, for example, you trust the expert who tells you that your addiction stems from childhood trauma. Of course, there will be evidence to support this explanation because we all have bad memories with which to fill in those blanks. But, what if you cannot recall anything life-altering? What if this explanation doesn't sit right with you? Do you embark on the program anyway, believing that you cannot trust your own mind?\n\n* * *\n\n**CASE:** We met Suzanna in Chapter 2. Suzanna was actually an alcoholism researcher herself, in her late twenties. She was popular, but nonetheless a bit of a loner. She had had boyfriends, but nothing lasting. Moreover, she felt her work unsatisfying\u2014that others determined the direction of the research she worked on, while she carried out the grunt work. This despite her sterling academic record, her reliability, and her desire to make a contribution. Moreover, bad feelings regularly surfaced for her, as a result of which she drank steadily, needing alcohol to feel okay. Suzanna was one of three children. Her home had not been a happy one. She never saw her parents embrace, or really talk kindly or considerately to each other. Then, shockingly, when Suzanna was eight, her mother disappeared from her life.\n\nOne day, her mother no longer lived with the family. Her father and an unmarried aunt who moved in with her and her siblings explained that she had to leave for important reasons Suzanna couldn't grasp. Only years later, as a teenager, did Suzanna learn that her mother had gone to live with another man\u2014first in their same city, and then moving some distance away.\n\nAlthough her mother did contact the children\u2014and even visited with them, taking them shopping and to shows from time to time\u2014Suzanna always understood these were to be short outings. At first, Suzanna would cling to her mother throughout these times together, as though she could make them permanent by never letting her mother out of her grasp. But as a teenager, Suzanna came to have a very jaundiced view of such get-togethers and barely showed any interest in them. Nonetheless, she constantly asked herself, \"Why did my mother desert me?\" She was torn between feelings of inadequacy about herself and anger at her mother. Her older brother seemed untroubled by such feelings. Her sister, close to her age, was even more devastated by the experience than she was. Years later, her sister died in a drug incident.\n\nSuzanna never felt privileged, protected, prized not only as a child, but also as a student and young professional. Nonetheless, she was independent and capable. She threw herself into her studies, wrapping her life around them, achieving success upon success. In pursuing her academic career, she never allowed another person to become a permanent part of her life. She didn't feel she could trust anyone. After gaining a Ph.D., Suzanna became a post-doctoral researcher in a prestigious alcoholism research program. But she never sought out a senior mentor, and her career stagnated.\n\n* * *\n\nSeeking to right her emotional state and thus not to require alcohol as an emotional crutch, Suzanna began attending a group of trauma survivors. The leader of the group, a great believer in physically locating the traumas group members had experienced, provided diagrams of the inescapable ways such events damaged the midbrain and limbic system. Suzanna didn't identify completely with this scenario, because it wasn't necessarily the specific moment her mother left that depressed her, so much as the cumulative experiences of her upbringing and dealings with her parents.\n\nWhat if we replace \"childhood trauma\" with \"powerlessness\" or \"impulsiveness\" or any number of universal human experiences or characteristics that could just as easily (or not) be the root cause of addiction? The only people who are truly helped by zeroing in on a single problem are the experts, who are sure to touch a nerve and can then build their program on that single premise. That's not to say that these negative elements aren't important and worth your attention. This was critically true in Suzanna's case. There is no denying or ignoring the enormity of losing one's mother or father, particularly when they desert a child and the family.\n\nYou may have suffered deeply as a child, with serious emotional effects\u2014even as others who underwent comparable experiences did not or, perhaps, had even worse consequences. These experiences may have searing effects on your life, and you may have done self-destructive things in their wake. But there is a difference between accepting these things as one part of you, on the one hand, and using them to explain and determine the rest of your life, on the other.\n\n* * *\n\n**CASE:** Beth was a successful lawyer who drank heavily at times. As the years went by, she found that she just didn't have the stamina she used to. Hangovers began to interfere with her work and sense of well-being. This feeling that she was not the master of her life was foreign and unsettling to her. She sought help from an expensive, private addiction specialist, an ardent follower of the Adult Children of Alcoholics (ACoA) movement.\n\nDuring their first session together, the two discussed Beth's childhood, which Beth did not consider particularly traumatic. Her parents loved her. She appreciated them and knew they had done their best. \"On the weekends,\" Beth told her therapist, \"Mom and Dad would drink steadily, starting with Manhattans on Friday after work and ending with an all-day Sunday hangover.\" Indeed, this pattern was fairly common in their upscale social milieu at the time. It may seem odd, but Beth remembered these rituals almost fondly. There had never been incidences of abuse, and Hangover Sunday was actually a pretty cozy day, with the family lounging around together, having dinner on TV trays in front of _60 Minutes_.\n\nBeth's therapist had a completely different perspective on her memories. Gently, but very assuredly, she pronounced that Beth was not only an alcoholic, but also an Adult Child of Alcoholics. Beth accepted her therapist's assessment, even if it didn't sit right with her. But she assumed that was her resistance operating and wanted to trust the therapist, who was charging her a hefty fee.\n\nBeth quit drinking altogether as the best policy for her. But she maintained deep misgivings about what she was learning. At the same time, she accepted that her mind was warped and would try to deceive her. She was afraid _not_ to believe that. Beth began to view everything she had worked for in her life as nothing more than a symptom of child-of-alcoholics pathology. She became almost ashamed of the things that used to bring her pride and a sense of purpose and meaning.\n\nBut all this wasn't helping Beth feel any better about herself. She wondered if this proved she was deeply in denial. Out of the blue, she consulted a therapy directory and found Mike. When she entered his office, Beth felt a whole different aura. Mike was cheerful; even his handshake was encouraging\u2014\"We're going to do good work together,\" he enthused.\n\nAlmost instantly, Mike strived to get beyond Beth's rehashing whether her parents were alcoholics and she an ACoA. \"Let's review all of your accomplishments. Your success at work, and especially your success in rearing your daughter.\" Beth was married with an adult daughter. Her daughter also had a good career and a sound marriage. Moreover, her daughter was a _moderate_ drinker.\n\nMike's approach was novel for Beth. You mean therapy wasn't about ferreting out your deepest, innermost, never-to-be-resolved problem? \"Can you tell me how you were able to help your daughter learn to drink moderately?\" Mike questioned Beth. \"I drank carefully in front of her . . . You know, I actually asked her that recently. She said, 'Mom, how could I have done anything else when you loved me so much?'\"\n\n* * *\n\nLet's return to the values assessment you completed in Chapter 4, this time answering only the second half, which focuses on your skills, gifts, and accomplishments.\n\nVALUES QUESTIONNAIRE\n\n6. What key skills or talents do you have?\n\n7. What are your most positive qualities?\n\n8. Name at least two accomplishments or events that you are proud of: Did you help someone? Did you win a competition? Did you build or create something? Did you stand up for something you believe in?\n\n9. Who are the most important people in your life, either people you really care about, or people you can really count on, or both?\n\n10. Which three human values do you elevate most, such as kindness, generosity, friendship, honesty, hard work, creativity, independence, integrity?\n\nImagine the things Beth might enter in response to this survey: Her brilliance as a lawyer. The skills and thinking that gained her respect. Her professional colleagues. Her family (how _did_ she produce a moderate-drinking daughter?). Like Beth, you have successes and accomplishments. You have strong areas of your life, skills, and other assets, including your own values. You're not a blank slate for somebody or something to imprint _their_ mark on. Your answers tell you a lot about who you already are. Nonetheless, the function of this exercise is to recognize the as yet unleashed power of your personal resources, ones you have neglected, quarantined, or not given the time and place to develop more fully.\n\nWhat Is Self-Acceptance?\n\nSelf-acceptance is a fundamental concept in contemporary psychology. Think, first, of all the girls who have negative self-images because of how they look at their bodies, of Alexis and other anorexics and bulimics. Self-acceptance is also, in the form of the concept of \"loving kindness,\" a precept of Buddhist philosophy. Self-acceptance and loving kindness are compassion for yourself and the belief that you, like everyone else, are entitled to fulfillment and joy. In her book _Radical Acceptance_ , Buddhist psychologist Tara Brach describes the two sides of self-acceptance: \"seeing clearly, and holding our experience with compassion.\" Mindfulness is the essence of seeing clearly. And now we must bring compassion to our clarity. Compassion, as Brach describes, \"is our capacity to relate in a tender and sympathetic way to what we perceive,\" including our vision of ourselves. Self-acceptance is grasping emotionally and intellectually that there is nothing so different or wrong with you that you are disqualified from being a part of humanity and claiming what life offers you. When you address your addiction, you realize that, yes, you have made mistakes; no, your life is not a mistake in the universe.\n\nPut yourself in the position of a parent of a child whose physical features do not meet the cultural ideal. Let's say she has a large nose. Of course, you believe\u2014and strive to make clear to the child\u2014that she or he is not defined by her nose, that she is not disqualified from any activity by her nose, and that kids with less prominent noses all harbor their own individual quirks. One may have an ideal nose, but happen to be carrying some extra weight. Another might have a developmental disability. While yet another might have infinite freckles. The parent is not primarily oriented to noting other children's deficiencies, of course. Instead, she wants to convey to her daughter what a beloved, talented, appealing human being _she_ is.\n\nThe truth here is that all these children\u2014each of whom falls short of perfection\u2014deserve to participate in a joyous adventure together, no matter what their peculiarities. Perhaps you can see where this is going and can follow this analogy to its logical conclusion for you, as a child of nature. And it is a _logical_ conclusion.\n\nReflection: Self-Compassion\n\nWhen you view another person through the panoramic lens of compassion\u2014as you would for any child born on this planet\u2014superficial standards of perfection are irrelevant. Compassion is not blindness to negativity. It is perspective. It's the ability to see both flaws and ideals as incidental to the whole, which is abiding. Everyone, including you, deserves to participate fully in life. Your positive qualities don't entitle you to fulfillment, but neither do your negative qualities disqualify you. Surely you, like everyone else, have areas that need attention\u2014areas that hinder you from honoring the things you value. Addiction\u2014among other things\u2014is one significant such hindrance. And these negative attributes of yours can never excuse your not honoring what matters most, or prevent you from doing so. If you feel some resistance to viewing yourself compassionately, remind yourself that this is the most rational and healthy perspective, the way you would treat any child, any young person, any fellow human being. Reread and _think about this_.\n\nExercise 2: Self-Compassion\n\nMake a list of the negative traits that you believe you are saddled with. Next to each trait, record how it makes you feel to believe this about yourself. (Don't worry\u2014we'll complete Exercise 1, Part 3 shortly!)\n\n\u2022 How did you come to believe this about yourself? Did you hear it from someone?\n\n\u2022 Now, can you think of a time when you behaved in a way that emphasized the opposite characteristic? For instance, if you listed that you are selfish, remember when you behaved generously and write about that experience. Now, think of another time. How does it make you feel to remember this\/these experience\/s?\n\n\u2022 How realistic is it for you to believe that you are defined by that negative trait? Put that negative quality in a more realistic perspective in terms of your whole life.\n\n\u2022 Imagine that you are speaking to a beloved friend with the same negative characteristic. What would you tell him or her if they said they were overwhelmed by their own worst trait?\n\nSelf-Acceptance in The PERFECT Program\n\nTrue recovery is built on self-acceptance, which begins with embracing a view of yourself as someone who deserves a normal, fulfilling life. You cannot start down a path that will lead you toward wellness and peace of mind if you do not believe that the best life has to offer is for you, too. Taking action to overcome addiction is, after all, an act of self-care. So, instead of beginning your journey by looking for something that's wrong with you, let's start by embracing what's already right and then building on that. As well as your deserving the best, the people and things (values, connections, accomplishments) you care about deserve your best.\n\nExercise 1, Part 3\n\nRevisit your original answers to the question, \"I want to recover from addiction because . . .\" and your reflections about how negative your view of yourself is. Focusing on negative pronouncements, shift your perspective to one of compassion and objectivity, and see if your earlier statement still makes sense. For instance, maybe you can see that you are not a terrible parent, but a loving parent who has behaved in ways that you would not if you were free of your addiction. In the second column, write down these more realistic observations.\n\nBy this point, even if you see that self-acceptance is the rational, healthy approach, it still takes real effort to apply it to yourself. Habits of mind are hard to break, and that's why _self-acceptance, or loving kindness, is a practice_ , in exactly the same way that mindfulness is a practice, and not an instant revelation. What's more, self-acceptance is a more challenging practice, because it tends to confront and even activate our fears about ourselves, causing us to respond defensively. For instance, deliberately working to accept the idea that you are not a social misfit can actually feel frivolous and embarrassingly self-indulgent. Imagine how it would feel to repeat the phrase, \"I love you, [your name here],\" out loud to yourself. Just thinking about this scenario\u2014let alone actually doing it\u2014probably makes you cringe.\n\nDon't worry\u2014I won't ask you to do that one. It's pretty advanced! Instead, the exercises will introduce you to a meditation that has its roots in the Buddhist practice of loving kindness. That is, the deliberate cultivation of compassion, which goes hand-in-hand with mindfulness. Clarity and self-acceptance are the cornerstones of your reclaimed life, ones that you will reinforce in creating new habits of mind. In referencing Buddhist practices here, I am not encouraging you to adopt a religion. (I _will_ note that Buddhism does not have a higher-power, God concept, which has led courts to rule that it is unconstitutional to force Buddhist practitioners to participate in AA.) As I've said throughout, this thousands-year-old practice replicates important contemporary psychological and therapeutic concepts. And even the idea of \"practice\" strongly suggests the modern cognitive-behavioral principle underlying _Recover!_ \u2014that you do best and most readily that which you have rehearsed doing until it becomes a natural response for you.\n\nExercise 1, Part 4\n\nAfter having listed your reasons for wishing to escape addiction in the first column, then assessing how negative they can be and recasting these in positive ways in column two, now move to the third column and reframe your answers to \"I want to overcome addiction because . . .\" based on your middle-column revisions. For example, you might replace \"I am a terrible parent,\" with \"So I can be present and involved in my children's lives every day.\" The point of this exercise is to help you internalize the positive, life-affirming reasons for beating your addiction. If you can think of any more ways that living addiction-free will have a positive impact on your world, please list them here, too.\n\nForgiveness\n\nAddicts are known for excusing all sorts of misdeeds toward others and society. But there appears to be little difference between such shallow notions of self-forgiveness and sociopathy\u2014whatever I do for myself is fine, is justified. So how is it possible for you to \"let go\" of the guilt you may carry for destroyed relationships, broken promises, deteriorating health\u2014even instances of betrayal and violence? How (like Rose) do you forgive yourself for letting down a child or squandering your dreams? It's quite impossible, if we believe that forgiveness means absolution from responsibility or simply moving on as if nothing had happened. _And, yet, a crucial ingredient of self-acceptance is forgiveness of self and, in an act of sister compassion, forgiveness of others._ Just as mindfulness meditation affects addictive behavior and brain centers, compassion can also be learned.\n\nForgiveness is both a critical element in and a natural result of self-acceptance. Self-deprecation and guilt for past misconduct do not lead to better behavior, as we saw earlier in relation to relapse after feeling shame. Self-control research has discovered that self-criticism _reduces_ self-control. Rather, self-acceptance and forgiveness\u2014especially in the face of stress and failure\u2014 _enhance_ people's capacity for changing negative behaviors. Consider a study of students who procrastinate, then beat themselves up for having done so. The very act of self-recrimination for procrastinating makes it _more_ likely that they will do so again before future exams _. The harder the students were on themselves, the greater this effect._ Thus, \"forgiveness, not guilt, increases accountability . . . taking a self-compassionate point of view on a personal failure makes people more likely to take personal responsibility for the failure than when they take a self-critical point of view. They also are more willing to receive feedback and advice from others, and more likely to learn from the experience.\"\n\nThe seeming paradox that being kinder to yourself makes you more ready to accept negative feedback follows from Freudian psychology as well. The energy spent defending your ego\u2014like that used for patchwork on your addicted self\u2014diverts you from the essential changes you need to make. And, so, the opposite of self-forgiveness is as likely to be self-protective defensiveness as it is to be self-abuse. Both end up at the same place\u2014maintaining your self-defeating behavior.\n\n* * *\n\n**CASE:** George and Melissa's child, Sam, was having behavioral problems at school. When presented with his parenting deficiencies, George immediately became defensive: \"So, I'm a bad parent!\" The only alternatives for George were, first, to blame his own father and mother for their poor parenting; second, unfortunately, to offset the negative feelings he had about his own parenting by labeling Sam with this or that condition to excuse his misbehavior. This then contributed to George's remonstrating and punishing Sam, which sometimes dominated their interactions.\n\nInstead of having the therapy be about saying that he was a bad parent, the family therapist emphasized, they were all in the business of allowing George to interact more constructively with Sam: for instance, by distracting Sam with positive activities when he acted out, by praising him, and by causing him to be mindful (as age-appropriate!) about his acting out. \"Sam, I wonder how you were feeling when you hit that boy at school. How did you feel afterwards, and when the teacher sent you home?\" As George relaxed within himself over the course of therapy, his self-forgiveness created a chain reaction of his showing greater tolerance for Sam's behavior while Sam in turn became more self-accepting and, as a result, better behaved.\n\n* * *\n\nNow let's define the alternative to self-protective defensiveness as forgiveness of a type that reflects compassion and realism. Even if you are not ready or able to completely release the emotional pain, you can strive not to be guilt-ridden. It may feel to you, at this moment, that you don't deserve to live without guilt: You willingly take on the painful burden of self-reproach as penance. That is normal, but I hope you will accept this insight along with your pain: Grasping for pain by ruminating on and reliving your worst moments will keep you stuck in pain\u2014 _and pain begets further pain._ Anything you have done to harm or betray yourself or others was done from a place of pain. So, your journey to true recovery is not simply a selfish gift to yourself, but a genuine act of atonement to the family and friends you may have hurt or betrayed. Lifting yourself out of the painful frame of mind and heart that would allow you to perpetuate destructive behavior begins with forgiving yourself.\n\nReflection: Self-Forgiveness\n\nForgiveness is not an event. It is a _process_ of releasing paralyzing emotional pain by focusing compassionate and understanding attention on your memories and feelings of remorse or grief. Reread and _think about this_.\n\n* * *\n\n**CASE:** Harry abandoned his girlfriend and their young daughter, Anne. He had no interest in family life or the responsibility involved. He tried here and there, but the hit to his freedom made him seethe. He had a regular barstool at the local pub, and it missed him keenly when he was elsewhere. That felt more like home to him than his apartment with his girlfriend and daughter. So, he just dropped out of their lives and became a deadbeat dad\u2014missing child support payments, missing birthdays, going months without a phone call. Sometimes he felt like a heel, when he thought about it. But more often, he cynically used his estrangement from his daughter\u2014blaming it on the girlfriend\u2014to garner sympathy from women at the bar, going on and on, drink in hand, about how he missed Anne, wished he could see her grow up.\n\nGrow up Anne did. And Harry missed it. As a teenager in high school, Anne treated him like a distant relative, which he was. But now, as a middle-aged man with less interest in barstools and barflies, Harry was overwhelmed with regret. There are no do-overs in situations like this. Harry had blown it. His guilt grew into a persistent self-loathing, the pain of which he still alleviated at the bar, albeit during briefer periods spent there. The change was superficial; Harry was still indulging the same behaviors that had brought him to this point. He missed his daughter's graduation\u2014not simply because he'd rather be partying, but because he now felt that he didn't deserve to celebrate her accomplishments with her.\n\nFor her part, despite the fact that she was used to his missing her milestones, Anne was nonetheless hopeful that Harry would show himself, and then disappointed when he didn't show, a pattern that never failed to dismay her.\n\n* * *\n\nHarry's profound remorse kept him paralyzed, stuck in a life that perpetuated and deepened his own and his daughter's pain. It's true that he can never make up for the lost time and can never undo the damage his abandonment did to his relationship with his daughter, nor can he fix the hurt he had caused. Perhaps he deserves a life of loneliness and regret for the choices that he made. However, wouldn't it be better for everyone whose lives Harry touches if he could influence his social sphere in a positive way? It might be satisfying\u2014to observers and to Harry himself\u2014to know that he is suffering. But as long as he is consumed with self-loathing, he will continue to hurt the people around him, including his daughter.\n\nShifting perspective to one of compassion for Harry, we can provide a context of understanding for his behavior. Harry had been emotionally abandoned himself as a child. His parents were divorced, his father was a deadbeat dad, and his mother raised Harry along with three other children. So he came into fatherhood having no experience of it as a child or a man, believing that he was incapable and unworthy of it. Now, understanding what happened and why is not the same as absolving Harry of responsibility for his behavior. He has to live with it. What he does have, however, is the opportunity to influence future outcomes: to become a healthy, positive influence on his daughter's life from here on. To do that, he must begin the process of self-forgiveness.\n\nThe 12-step practice of \"making amends\" (step 8) involves going to all of the people you have harmed in your life, acknowledging to them that you have hurt them, and telling them that you're sorry. It sounds like the correct thing to do. However, in AA, amends is an event, like confession, and once you have made your apology, you are absolved and need never revisit your misdeeds. This is in keeping with AA's \"keep your own side of the street clean\" philosophy and its essentially selfish\u2014\"look after yourself\"\u2014program. \"Amends\" plays out the idea that one makes amends for oneself\u2014to support one's own sobriety\u2014not to establish an understanding with the people one has harmed, or even to develop a new aspect of one's own personality, view of life, and actions. Thus, amends-makers are told that it is none of their business whether the recipient of their amends is receptive or not. You've done your job when you apologize.\n\nGranted, you cannot control whether or not others forgive you or choose to reinstate you within their community. But to believe that you have done your part by apologizing and that it is \"their problem\" if they don't accept your contrition lacks the depth and maturity of genuine compassion and accountability. Harry has apologized to his daughter more times than he can count, and has even felt sorry for himself when his overtures have not resulted in her immediately embracing him and all his faults. For Harry, forgiveness requires an interwoven three-part journey, one that requires him to forgive himself, to seek forgiveness from his daughter, and to forgive his own parents\u2014each part influencing and supporting the others. Let's examine each one separately.\n\nIn order to forgive himself, Harry must start by taking a broader view of his behavior, opening with the understanding that he is not, at his core, a selfish, irresponsible, irredeemable human being. He has behaved in ways that he is ashamed of, but the very fact that he can feel shame and remorse indicates that there is a wise heart alive within him, just as your recognition of your flaws and mistakes shows your own wise heart. Broadening his perspective on his inner landscape to include his wise heart will allow Harry to bring the lenses of compassion and understanding to bear on his interpretation of his past behavior. Where he once saw nothing but coldness, he might now recognize fear. Where he once saw selfishness, he might now see the floundering of an abandoned child. And where he once saw intractable negative qualities, he might now see a path opening into possibility, even redemption. At the point where he can see that transformation through self-forgiveness is possible for him, Harry confronts a straightforward choice, but one difficult to make. He can choose to live in guilty pain, or to release it.\n\nHarry's potential act of self-forgiveness may provide cold comfort to his daughter, and, indeed, she may never forgive him no matter how profound his transformation. Continuing down the path illuminated by his wise heart, regardless of her acknowledgment\u2014respecting her boundaries without expectation and without believing that her rejection or resentment is \"her own problem\"\u2014is one way Harry can honor the pain he has caused her and genuinely change the situation and the people involved in it. Whether or not his daughter chooses to forgive him, Harry can still live a life infused with compassion and understanding for her, allowing him to cease making decisions that cause her more grief. Even should Anne forgive her father, she might choose to maintain her distance from this virtual stranger, whom she has known to be toxic and who has brought such disappointment. Her own wise heart prevents her from continuing to put herself in harm's way.\n\nHarry may include his own parents on his journey to forgiveness. Again, he has the choice to continue ruminating on the wrongs done to him and the devastating effects they have had on his life, to feel sorry for himself and bitter. Or he can view these things with forgiveness in order to release his own feelings of abandonment. He may be able to see that his mother was tired and overwhelmed when she neglected him\u2014that she simply was not able to be a nurturing caretaker. Perhaps now he might see that she was doing the best she could. Harry can acknowledge the heartache his mother's withholding caused him as a child. But extending compassion to her now allows him to begin down the path of healing as an adult. And being able to see that her behavior was an indictment not of his lovableness, but of her capacity to express love, reinforces Harry's ability to love himself. In other words, Harry's choice to forgive others is bound to his ability to forgive himself, which in turn gives him the ability to seek forgiveness from and make genuine amends to Anne and others he has harmed.\n\nIt is a common platitude to say that forgiveness is a gift we give ourselves. The underlying message in that aphorism is that we don't forgive people who harmed us to let them off the hook; we do it so that _we_ are off the hook, so that we can move on with life and be better ourselves. While it's true that we forgive for our own well-being, our well-being has an impact on everyone and every situation we come into contact with\u2014past, present, and future. To expand on the notion that it is a gift we give to ourselves, bear in mind that self-forgiveness is essential to true recovery. Releasing your pain of remorse or self-loathing is no easy thing. But doing so is freeing.\n\nReflection: Harm Reduction and Forgiveness\n\nIn Chapter 3, I introduced the concept of harm reduction\u2014the idea of curtailing the addiction script of \"in for a penny, in for a dollar.\" That is, the idea that you've already made a mistake, so why not make it a doozy\u2014if you've had a drink, go all out and expose yourself to the worst dangers possible. We will see the reversal of this script again in the practice of \"relapse prevention,\" in which you pull up short on your incipient bender. The same pattern and its opposite apply to your deteriorating relationship with someone you care about.\n\nNotice how Harry's guilt caused him to continue to turn away from his daughter, exacerbating his alienation from her. This is typical of addictive patterns, where one bad feeling begets others, until your whole attitude cascades into a total abandonment of the situation\u2014and often consciousness\u2014at the cost of further failure and bad feelings. Can you find an example where this has occurred in your life, where your initial overreaction led to bad feelings between you and a loved one that fed off each other? As painful as reimagining such a situation can be, think now how you might have practiced forgiveness at the outset and avoided such bad consequences including, perhaps, the end of the relationship? Think how the other person involved in the situation might have responded differently, more positively, and your life would be richer today.\n\nPerhaps now you are prepared to make forgiveness your practice the next time you face such a situation. Or perhaps you are not quite ready to stop ruminating over something you did or something someone did to you, or beating yourself up over something you may continue to do. In those cases, you can begin planting the seeds of forgiveness by simply allowing for the possibility of release. Be aware of the trap you may set for yourself by heaping more reproach on yourself for your resistance to change. Just like recovery, mindfulness, and self-acceptance, forgiveness\u2014as I said\u2014is a process. If you are struggling with self-forgiveness because you find it difficult to accept the harm you have caused yourself or others, or because others have wounded you in a way that keeps you in a state of heartache, you can start the process of forgiveness\u2014make room for it in your heart\u2014now.\n\nWhich brings us back to Suzanna, the twenty-something alcoholic alcoholism researcher. Suzanna, of course, is in a role similar to Anne's or Harry's with respect to their parents. Moreover, she drinks to mask her pain, the pain of abandonment she always felt from a mother who endangered her by her own selfishness and inadequacy, by leaving her to her father\u2014and to fate. That time has gone. Suzanna is an extremely accomplished and talented survivor, and her mother is still alive and active and wants a relationship with her daughter. Yet, in her late seventies, she is not really in a position to fully acknowledge her forgone sins and her role in Suzanna's problems. In fact, she is not that different from the person she was when she left her family, although she is in a different situation now, living alone, having divorced the man she left them for.\n\nHere is how Suzanna thinks:\n\n\"I don't mean to attempt to relinquish personal responsibility for my actions\u2014that's pointless. But I guess there is some comfort in the thought that maybe I'm not actually weaker than other people on a fundamental level, maybe I'm just still trying to overcome a deep pain, and maybe I'm doing okay. I've always had a strong drive towards personal integrity, had a deep desire to be good, and that includes taking care of my body and my mind. I feel deeply ashamed that I have wasted time, energy, and brain cells on a never-ending quest to feel better. But it's not feeling better that I crave, it's feeling okay, like maybe this life is at least a little bit more than a burden to be suffered through.\n\n\"These are the things that plague me when I don't drink. Drinking makes me happy in the short term, yes. But more importantly, I think, is that it has a sustained effect of dulling negative feelings and quelling intrusive thoughts. And in that way it is the best medication that I have found so far\u2014better than antidepressants!\u2014and I don't know if I'll ever really be able to give it up. And I don't mean drinking a healthy amount either.\"\n\nAs to Suzanna's mother:\n\n\"I am not willing to let go of the emotional pain yet. It serves a purpose, just like drinking does. We learn lessons from pain. I can decide to not beat myself up about it, but I refuse to let it go. I know that my previous experiences of hurt cause me to be wary of strong feelings towards other human beings. Only time will convince me that it is really safe to have such feelings. It may take a long time.\"\n\nSuzanna, like all of us, is a work in progress. So, what should Suzanna do? Remember, the problems we are concerned with are Suzanna's, and not just forgiveness for forgiveness's sake. What will make her whole within herself, allow her to avoid drinking to self-medicate, and enable her to accept and love herself and enter the world of trusting and intimate relationships? As with Harry, for Suzanna, too, the answer may be forgiveness\u2014or at least acceptance.\n\nJeannette Walls was asked about her mother, whom she described as selfish and neglectful in her powerful memoir, _The Glass Castle_ (Scribner, 2005). For years, Walls avoided her mother, even as the older woman was homeless in New York where Walls was a member of the glitterati. Now Walls's mother lives in a separate residence on her farm. Walls says, \"So many people ask, 'How could you forgive your mother for the way you were raised?' It's really not forgiveness in my opinion. It's acceptance. She's never going to be the sort of mother who wants to take care of me.\"\n\nMoving Forward\n\nAll of these decisions and efforts\u2014to strive to forgive, to get beyond pain and negativity\u2014are motivated by larger values you hold: to want to love, to be at one with your family, to be at peace, to be free to accomplish larger goals, to be a good person, and to benefit others and humanity. In the following chapter, we will turn our focus to the elements of your life that are most valuable to you\u2014rediscovering meaning and beginning the process of infusing your life with purpose.\n\nExercises and Meditations\n\n_Meditation: Loving kindness_\n\nLoving kindness practice is meant to cultivate compassion by making it a familiar state\u2014a habit of mind. It challenges you to direct compassion toward yourself and to extend it to others. Often, one will begin with a template of sorts\u2014a list of wishes you might have for someone you love unconditionally. For instance:\n\nMay ____ be healthy and whole.\n\nMay ____ be safe from danger.\n\nMay ____ be content and at peace.\n\nMay ____ love and be loved.\n\nNow, please consider someone you love without reservation, and in your Personal Journal make your own list of well-wishes for them. Feel free to use the ones we provided, write your own list, or mix and match.\n\nEvery day\u2014when you wake up, when you're walking the dog, before your daily meditation\u2014repeat your list of well-wishes, focusing at first on one or more people you love. Normally, one would use one's self as the first object of the loving kindness meditation, but if you have a difficult time conjuring these feelings for yourself, it will help to start with someone for whom you already feel a more spontaneous sense of compassion. This will allow you to become accustomed to holding compassion in your heart. You are going to keep extending these well-wishes, in this order:\n\n1. Someone you love (or all the people you love)\n\n2. Yourself\n\n3. Someone you are neutral about (perhaps someone you see every day, but don't know well)\n\n4. All of humanity\n\n5. Someone you dislike or harbor difficult feelings about (perhaps a bully)\n\nRepeat your list of wishes at least three times for each object of your compassion, then move on to the next. If this is a lot to take on at once, feel free to approach this practice in small steps over time. Take the time you need to feel comfortable doing this\u2014and making it part of your routine\u2014before extending your practice. You might start by directing your wishes only toward your beloved and to yourself. When that begins to feel natural, extend your practice\u2014you should always feel challenged as you push your boundaries.\n\nThere are many variations and approaches to loving kindness. You can explore and find others. All have the same kernel\u2014an idea, a spirit, an approach to life to which you have now been introduced, and that you can continue to explore while reading _Recover!_ , while embarked on the rest of The PERFECT Program, and throughout your life.\n\n_Journal exercise_\n\nThis is an exercise with three components, paralleling Harry's\u2014and Suzanna's related\u2014path to forgiveness. This is a detailed writing project\u2014one that may be emotionally difficult\u2014so allow yourself ample time to complete it, even if that means working on it over the course of a few days.\n\nBegin by writing down in your PERFECT Journal all of the things about you, or things you have done to yourself, some of which you may still be involved in, that you feel are unforgivable or undeserving of compassion. For instance, have you damaged your health or finances through your involvement with addiction?\n\nNext, write down the things you have done to others, or negative situations you believe you are to blame for (which, again, may still be ongoing) that you feel are unforgivable. For instance, have you behaved neglectfully, carelessly, selfishly? Recklessly or violently?\n\nFinally, write down all of the harmful things that have been done to you by others, things you feel you cannot forgive.\n\nOnce you have made your lists, review them with the intention of seeing each of these events as the result of some fear, hurt, incapacity, or void in your life or in someone else's. Even if you have believed that your behavior (or someone else's) was due to your own (or someone else's) fundamentally weak or evil nature, make your best guess about what could have allowed for such behavior. Coming up with a reason does not mean that you must immediately extend forgiveness. Rather, this exercise is broadening your understanding enough to allow for the possibility of forgiveness. It opens the door.\n\n_Mindfulness meditation:_\n\n_Forgiveness of others along with oneself_\n\nSit comfortably in your meditation spot and bring to mind an event or a personal characteristic for which you cannot forgive yourself or someone else. Remember it in as much detail as possible, and pay particularly close attention to the feelings the memory arouses in you. Bring your mindful attention to those feelings and the physical sensations they produce. Then name these feelings, both emotional and physical, as precisely as possible. For instance, if you feel shame or hopelessness, call them what they are. If those feelings register physically as restlessness, burning scalp, or weakness, name those sensations as well.\n\nHold those feelings at the front of your mind\u2014tolerating the discomfort if you can\u2014but, as you hold them, imagine expanding the physical space you occupy and the emotional space around those feelings. For instance, imagine that you have expanded into the space around you by six inches. Allow these feelings to exist as they are, but visualize making more room for them. This may take some practice, but when you are able to do this and to hold that open space, shift your perspective into the neutral space and reexplore these hurtful feelings with a compassionate eye. You can do this meditation focusing on self-forgiveness or forgiveness of another.\n\nLike the loving kindness meditation above, the following is a direct meditation to address forgiveness.\n\n_The PERFECT Program version of_\n\n_Buddhist forgiveness practice_\n\n_To those whom I may have caused harm, knowingly or unknowingly, through my thoughts, words, and actions, I ask your forgiveness._\n\n_To those who may have caused me harm, knowingly or unknowingly, through their thoughts, words, and actions, I offer my forgiveness as best I am able._\n\n_For any harm I may have caused myself, knowingly or unknowingly, through my thoughts, words, and actions, I offer my forgiveness as best I am able._\n\nCHAPTER 6\n\n_Rediscover_\n\nIntegrity\u2014Finding and following your true self\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To develop your focus on your true core values and sense of purpose\n\n**Starting by:**\n\n\u2022 Creating realistic expectations for yourself\n\n\u2022 Understanding the flow and change in your ability to follow your purpose\n\n\u2022 Putting into play a plan to reconnect with your values\n\n**Purpose:** Keeping your eye on the prize\u2014escaping addiction\u2014is difficult when you're unclear about why you want to pursue that goal. Addiction blurs and distorts the horizons of your life, preoccupying you with its immediate and superficial gratification, so that your true center has become obscured and confused. Even _after_ you loosen your addiction's grip, you may still not be able to hew to your true center. So how do you stay the course to wellness, when you find yourself overwhelmed with endless possibilities and frustrating setbacks? Your task is to sharpen your purpose\u2014your _reason_ for quitting and steering forward\u2014one that is personally clear and meaningful to you. In this chapter, you will reconnect with what you value most in life, what brings you joy and fulfillment, and begin the process of transforming those values into clear goals, including especially a non-addicted, fulfilling life.\n\n* * *\n\nDon't Change, Become\n\n_Why your resolve fails_\n\nOne of the great mysteries of human nature is that we ever feel tempted to continue in\u2014and often fall back into\u2014behaviors that we _know_ make us unhappy. You've probably experienced this phenomenon yourself: You want to quit your addiction and enthusiastically adopt a new lifestyle\u2014you even begin down that path, perhaps proceeding a good distance. You look great, feel great, and even get a little evangelical about it all. You can't believe you ever chose the barroom over the family dinner table, or smoking over breathing, or sugar over whole foods. And then you find at some point that you are right back where you were before you seemingly pulled it together. Why is it so easy to give up something new that makes you feel fantastic and revert to a lifestyle that you know full well will make you miserable? How does this happen?\n\nWe have already seen, in Chapter 2, that _addiction makes complete psychological sense. It's a natural human response to unmanageable life circumstances, one through which people mistakenly attempt to find purpose and a sense of well-being._ You gain important \"benefits\" from the addiction, rewards that sustain the addiction and, for a time, sustain you as well. As I noted:\n\nAddicted people seek refuge in any powerful, consuming experience that allows them to cope with a life that feels meaningless or out of control\u2014a feeling that is both worsened and relieved by their addiction. The addiction further fills countless hours beyond those eaten up in altered states of consciousness or compulsions. Think of all the mental and emotional energy an addiction wastes: days planned around purchasing and consuming the substance or practicing the activity; fielding negative fallout (like angry co-workers, family members, and friends; mounting bills; health problems); making solemn promises to stop; remorse and guilt. Yet, as painful and self-defeating as these feelings are, their predictability sustains addicts and even lends a bizarre sense of purpose to their lives.\n\nSo, freeing yourself from an addiction takes some effort. Obviously, keeping off drugs or alcohol or away from another addiction involves something akin to willpower. Recently, researchers and human potential writers have reinvigorated the concept. Experimental psychologist Roy Baumeister found both that willpower can be practiced and exercised (for example, by standing straight, not buying Doritos, and solving difficult puzzles) and that it can be exhausted by overuse (students forced to use willpower in order to resist a snack when hungry, track a boring display, or control their emotions during a tear-jerking movie immediately afterward showed less self-control). All of this is a bit like you might expect, were it not for intervening messages you have received, like the 12-step doctrine ridiculing and dismissing willpower as a tool in recovery.\n\nBaumeister's findings don't add up to easy answers for the withdrawing or sober addict. They suggest both that exercising willpower in many areas enhances your resistance to your addiction and that, having freshly quit an addiction, your willpower is being strained and shouldn't be taxed. Indeed, conceiving that you are exercising willpower (as in dieting or thinking that you can never use a substance again) can actually weaken your resistance. The PERFECT Program reframes self-control so that you see yourself as becoming, rather than as resisting temptation or even as changing. For example, you can view quitting smoking not in terms of overcoming your addiction, but as embracing and perfecting your true core self. Used in this way, willpower research informs my recommendations throughout _Recover!._\n\nThese issues\u2014what can be called motivation\u2014appear in all phases in releasing an addiction, as we shall see both in regard to initial quitting and later in avoiding relapse. To begin, there may be a certain element of disillusionment that accompanies positive life changes. Consider, for example, the longtime restaurant server who opens her own restaurant, after years of fantasizing about being her own boss. She dreams of independence, success, but mostly of serving uniquely delicious food to a packed house of satisfied customers. She has a solid background in food service, has done all the research, and feels that she is ready for, and realistic about, the incredible amount of work it will entail. She dives in, head first. But, after the initial burst of excitement wears off, this new venture becomes her real life. The twelve-hour days become a routine: bookkeeping, managing her staff, fixing appliances. . . . It's no longer a thrill to see the distributors show up to stock the kitchen\u2014those are costly items she must use up quickly by inducing customers to consume them.\n\nThere's a bit of a catch-22 in play here, because if she had factored waning enthusiasm and drudgery into her bright plans for the future, she might never have mustered the enthusiasm and energy required to get the ball rolling. But, then, she's not as prepared for the inevitable reality that work is still work, and she is still herself\u2014only now, her responsibilities are more serious and there is more at stake. It is at this point that keeping focused on her sense of purpose is vital. This new restaurant owner can face a crossroads. Feeling overworked and out of her depth could discourage her, causing her to throw in the towel literally, by closing her doors, or figuratively, by carrying on resentfully and martyring herself to her business as it fails. Or, with her eye on the values that inspired her in the first place (independence, creativity, passion for food, love of people)\u2014she could see the drudgery as one element of the big picture that motivates her to succeed.\n\nOvercoming addiction is similar. You may have fantasies about who you would be and what life would be like if you were not held back by your addiction. Those fantasies can give you the inspiration you need to get started, which is a good thing. But, ultimately, you are going to need a reason to keep pursuing your goal when it becomes clear to you that straightening up will not result in instant realization of all your dreams. Here is another restaurant analogy for you: People who are learning to carry trays of food and drinks to tables are taught to keep their head up and their eyes forward, focused on the direction in which they are going. If they look at their feet or at the tray they are carrying, they are prone to lose their balance, and food and drink will inevitably start sloshing around, perhaps hitting the floor. When you embark down the path toward wellness\u2014freedom from addiction\u2014you must employ a similar technique: Keep your focus on your goal. This is easy enough to do when you're carrying a tray full of drinks and you know where you're going with it. It can be much more difficult when you're headed down an unfamiliar, metaphorical path with no clear goal in sight\u2014perhaps some vague destination called _recovery_ or _spiritual enlightenment_ \u2014which is how you may feel now.\n\nExercise 1, Part 1\n\nIn your Personal Journal, indulge your fantasies. Write down everything you imagine you would be, or would do, were it not for your addiction. Relationships, work, travel, home life, wellness\u2014the whole shebang!\n\nWhen you're in the thick of addiction, it's easy to conjure up fantasies of the person you could be, in the same way that it's easy to see only booming success and personal satisfaction before embarking on a new business venture. As I said, these fantasies can be very useful and motivating, but they are not sustainable. Not only that, but\u2014as usual\u2014addiction can bring even more confounding obstacles to this common scenario, aside from disillusionment.\n\n* * *\n\n**CASE:** Graham is a plumber, an independent contractor with a spotty reputation. He has a big and charming personality and does solid, high-end work. That is, when he's on his game. But, he's a binge drinker. His weekend benders have become legendary around town, and, although people think he's a great guy who gets the job done right\u2014and even on schedule\u2014he has been losing contracts because customers are wary of hiring him. Graham has never been just a social drinker, a scotch-with-friends or wine-with-dinner kind of guy. Once he starts drinking, the switch is flipped: His sound judgment is replaced with an insatiable appetite for more. _He knows this about himself._\n\nDespite the single-minded self-obliteration he indulges in, and its resulting blistering, days-long hangover, Graham still manages to stop partying when he has a job to get to. He pulls himself together, full of excruciating regret, believing in his heart that now he will quit for good and all. He never, ever wants to put himself through this again. He also has a family: a wife and two kids. He may not miss work, but he has missed family weekends and date-nights with his wife, among other wholesome personal obligations. So, how is it that, after a couple of weeks or even months off the sauce, when he's feeling good, physically and mentally, Graham is able to talk himself into that \"one drink\" he knows will lead to another lost weekend? How does he convince himself that enjoying a drink after work will not go the way it always goes? This is a man who never in his life has had the experience of enjoying a single drink\u2014what disconnect from reality allows him to believe he ever will? Why does Graham make such an irrational decision, given his reality, after he has been sober for a period of time? Shouldn't he be stronger and sharper\u2014better able to stand up to temptations\u2014when he escapes the gravitational force of his addiction?\n\n* * *\n\nWhy is it so easy for some people to change for just a short time, then go off the wagon and give in to temptation? Put more positively, what is the secret to making changes stick? If you have quit an addiction in the past, and wondered how on earth you could ever have lived so self-destructively, only to find yourself right back in the thick of addiction, then Graham's story should ring a bell for you. It is a common experience, and it is baffling. Quitting an addiction can be almost like waking up from a vivid nightmare: The memory of a horrible dream might linger for days, the same way the pain of a particularly brutal hangover or the sting of a mortifyingly shameful episode might linger for a time. The sharp memories of the aftermath of addiction might keep you determined to stay on the wagon. But the immediacy of those memories begins to fade, the same way a nightmare does, leaving you with hazy impressions of what it was really like (\"It wasn't _that_ bad, was it?\u2014sort of fun, really\u2014none of these daily concerns and worries.\").\n\nIn other words, focusing on the horrible downsides of the past might _in the short term_ start you on the recovery path, as it does episodically for Graham. When you're keenly aware of the misery you are avoiding by quitting your addiction, it is easier to combat challenges to your resolve with the fear of reliving those horrible feelings. This may tie in with the stage you are at in leaving your addiction, as we will see. But, as the memories fade\u2014as they will do\u2014you will have to find other, more sustaining goals and motivations.\n\nReflection: Self-Forgiveness Versus Self-Excusing\n\nWe spent some time in the last chapter talking about forgiving yourself. Keep in mind that ignoring or dismissing the pain you have inflicted on yourself is not the same thing as self-forgiveness. Self-forgiveness springs from mindfulness\u2014or clarity of perception\u2014while forgetting springs from mental sloth, or obliviousness. Self-forgiveness doesn't say, \"Oh, that wasn't so bad,\" when it really was. It says, \"That was bad, but it does not define me.\" Can you reconcile recognizing the negatives of what you have done, sometimes the horror of it, with respecting and loving yourself? Review the answers you gave in Exercise 2 (page 118) and in Exercise 1, Part 4 (page 120), in Chapter 5.\n\nRemember that addiction is a consuming, destructive involvement that captures your time, your mental and emotional energy, your focus. So much of your life as an addicted person revolves around indulging in and recovering from addiction\u2014interspersed perhaps with fantasies of your non-addicted life. But the dreams of who you could be without addiction fade as quickly as do the nightmare visions of the past. In the stark daylight, you find yourself feeling lost in the world, not knowing how to fill your time, even feeling that you don't know who you are anymore without your addiction. Everything does not automatically fall into place once you clean up\u2014in fact, your responsibilities, your burdens, increase. As Rose (in Chapter 1) found, the first realization upon quitting is a recognition of the many neglected things you _must_ do\u2014family obligations, work and school, healthy behaviors\u2014along with avoiding your addiction. Like the new business owner, you now have to cope with the challenges of everyday life, and you have to do it without an escape hatch. Like Graham, who believed he could have one drink (while knowing he wouldn't), you might fantasize about taking a quick respite from your addiction. But, for you, early in recovery, this may be a quick respite that doesn't exist.\n\n_Finding your true self_\n\nIt may be helpful to think about this seemingly inexplicable but universal experience of reverting to self-destructive behavior this way: You simply cannot carry out a charade for very long. One-size-fits-all programs that promise quick\u2014but superficial\u2014transformations or spiritual awakenings are impossible for most people to maintain very long, let alone over a lifetime. For you to succeed in recovering from your addiction, you instead want to make meaningful changes that bring your behavior into harmony with what's truly important to you\u2014not by transforming who you are, but by _becoming_ who you are, or who you want to be. As a result you grow into your sense of purpose in life, or your true self.\n\nExercise 1, Part 2\n\nFollow through on those indulged fantasies about who you could be and what you could accomplish once you are free of your addiction. Imagine that these fantasies are reality, and consider what such a life\u2014in all of its corners\u2014would look and feel like. How would you spend your time? Who would you be with? What activities and people would be forever gone\u2014or at least kept at a distance? What feelings\u2014good and bad\u2014would you need to leave behind? What will make you happy, keep you content? Flesh out fully this vision of your future self.\n\nWhat do you think of it? Are you ready for it?\n\nWhen memories and dreams fade, and when disillusionment sets in, what you're left with is just you. Who you are. What will satisfy you and bring meaning to your life?\n\n* * *\n\n**CASE:** Rodney is a good-looking and talented young man. He is technically skilled and maintains a good-paying computer job. He also is perpetually stoned on marijuana and flits in and out of relationships, often going from one woman to another on successive weekends.\n\nWhen he is with each woman, he pays attention to her needs. He is concerned, and the woman feels cared for. But just as quickly, Rodney disappears, often not to surface again for a month or more. If she tries to reach him, Rodney doesn't even answer his cell phone.\n\nOne of Rodney's girlfriends moved in with him at one point. He generally came home from work, went into the bedroom, and got stoned. They might eat dinner together, but gradually, as the woman saw Rodney's mind was elsewhere, she moved on to some other activity\u2014reading, watching TV, going out with a girlfriend. Eventually, she moved on entirely.\n\nRodney is also part of a close-knit nuclear family. His parents have been married for a long time. His sister, like Rodney, has nerdy technical skills. But she settled down young, with a man who was probably her first lover, and had two children\u2014taking an extended leave of absence from her job during her kids' early years.\n\nWhen Rodney looks at his sister's life, he both envies and rejects it for himself. He wants children himself and often plays with his niece and nephew. Yet he can never imagine actually living his sister's life. He wonders if his brother-in-law really is satisfied, even as he is sure his parents are with their long marriage.\n\n* * *\n\nThere are two possibilities for Rodney. The first is that his habitual lifestyle is the best expression of who he is. Not everyone is made for family life, and more and more people live alone. We shouldn't assume that settling down should be everyone's ultimate goal in life and that doing so will bring fulfillment. What brings Rodney satisfaction may be his freedom. Perhaps he is conflicted because he feels he should want the benefits of a stable family life and can see how they make other people happy, but he doesn't want them for himself. He might just be another completely self-oriented person\u2014now often termed \"narcissistic\"\u2014who never really connects with another person.\n\nBut, in fact, this turned out not to be true for Rodney.\n\n* * *\n\n**RODNEY** did find someone with whom he wanted to live, Alyssa, who accepted him as he was while encouraging him to advance in his career. Whereas previously he had been content to jog along and maintain his footloose lifestyle, Rodney applied to return to graduate school in information technology.\n\nBut Rodney was still not his family's\u2014nor perhaps anyone else's\u2014model of a settled person. Six months into his relationship with Alyssa, Rodney had to move to another city in order to attend the program that accepted him.\n\nRodney regularly texted and spoke with Alyssa. But he didn't return her expressions of longing to be together. As he put it, \"I haven't had any 'withdrawal' from Alyssa. Often my girlfriends\u2014including Alyssa\u2014think I am kind of cold because I don't miss them. I just don't yearn to see them if I know we will see each other in a month or two. That's fine for me.\n\n\"I do enjoy living with Alyssa, but I like living by myself also. However, I know I'm more directed and use my time much more efficiently\u2014and smoke a lot less pot\u2014with Alyssa around!\"\n\n* * *\n\nRodney has seen and pursued a different option for himself, one that holds out the promise of really fulfilling himself and growing up even though he remains outside of the traditional lifestyle. Whether this means that he will remain permanently off the standard marital and family grid can't be judged as yet\u2014along with what his ultimate use of marijuana will be. But he is nonetheless exploring the realm of true recovery.\n\nReflection: To Accept, To Change, To Wait\n\nMany people\u2014in some ways everyone\u2014face Rodney's two possibilities. One is to accept some things about himself as probably permanently different from most other people, but not bad or unworthy on that account, and to carve out a different path for himself. The other is to accept himself as he is at the present time: \"This is what I am now, and that's okay, but I may not always be this way.\" You may not be able to determine this about yourself right now. Think about your lifestyle, how you live, in addition to and beyond what may be your addiction. Name three things about it you would most like to change. Do you really want to change them? Do you predict that you will change them? Why will you or might you not?\n\nStages of Change\n\nGraham and Rodney are people in different stages relative to their purposes in life, and to their substance dependence. Rodney has begun making changes\u2014but he's still figuring out who he's supposed to be. Graham has decided he wants to change in line with an idea he has about who he is, a professional and family man, but he can't stay the course. They are at two different places in relation to their life purposes, or true selves.\n\nYou may have heard of a model called \"Stages of Change,\" which proposes that people who are in the process of quitting an addiction\u2014or we might also say are transforming their lives or finding and following their true selves\u2014follow a certain path, as shown in Figure 6.1.\n\nFIGURE 6.1\n\nThe Precontemplation stage represents a phase in which people are just beginning to tune into their impulse to make a change, but do not yet feel that it is possible. Contemplation is the phase in which change seems like a definite possibility. The Preparation stage is when people are beginning to make plans. And Action is when the plans begin to take effect. Maintenance is the phase where you focus on staying on track. People find this model helpful, in that many do experience some of these phases, and it is perhaps the most referenced addiction change tool.\n\nBut I take issue with it in some ways, since the proposed trajectory does not represent a universal reality. Many people's actual experience differs, as common sense and research tell us. People simply do not as a rule follow this exact pattern\u2014they skip steps, reverse direction, spend years in one stage and moments in another. There is no single path to change. Furthermore, the Stages Model does not take into account that the natural maturation process changes people's priorities. Consider Graham's case, for instance: He jumps back and forth between \"contemplation\" and \"action\" a couple of times every month. Or, consider Rodney, who was\u2014and to some degree remains in\u2014a prolonged state of precontemplation. Can a person be permanently precontemplative, at least for the majority of their adult life, or are they likely to move beyond that stage? All such possibilities and permutations occur. And, often, when people contemplate parenthood\u2014or become parents\u2014they leap through many stages in a single bound!\n\nThe Stages Model can be useful to you, however, if you put a more holistic spin on it by focusing on your identity and true self. Understand that change is not a step-by-step process and that you may experience one or more of these phases at any given time. Furthermore, different areas of your life may go through different stages, just as Graham is mature at work and poorly evolved in his family life. Instead of looking at these stages as a progression that you should pass through in order, look at them as representing different facets of transformation, which do not exist on a hierarchy, but work more like a gyroscope that is continually revolving, sometimes seemingly up, other times seemingly down.\n\nPerhaps the model loses its usefulness if we take away its forward trajectory. What's the point of recognizing these phases if we can't pinpoint where we are on the path, or if we can't use it to get a handle on our progress and look forward to the next step? On the contrary, we can find information and insight that are all the more useful when we apply the model in this real-life way. Let's translate each of the stages into what it means for finding your life purpose, the theme of this chapter, using Rose's story as an illustration. Envision yourself proceeding through each phase yourself, and what that might really look like, in what order and with what timing. Of course, this is just rumination, and your actual experience when embarked on your recovery path may be quite different and may shift as you go along.\n\n_Precontemplation:_ The sense that something is not right. Something doesn't jibe with your principles. But, in terms of purpose, you have not yet solidified what your primary goals are (see Rodney), where you want to be\u2014or head towards\u2014in life. Remember when Rose had first turned to meth and sent her daughter to live with her mother? Of course, she knew something wasn't right. But what, and what to do about it? \"Rose's regret loomed in the background. She wished for a do-over; she promised herself that she was going to stop as soon as she finished the drugs she had on hand. Or next week.\"\n\n_Contemplation:_ You have acknowledged that something is not right and must be changed\u2014but you're not sure how you can realign your life. Here, you may identify important values and a purpose, but you can't yet see how to proceed toward these. Rose, recall, had an epiphany: \"Missing her daughter's birthday party had a special impact for Rose, and her thoughts constantly returned to it. It made clear to Rose, as nothing else could, that the costs of her drug use outweighed any benefits that remained from it\u2014even as this would have been obvious all along to anyone with an outside perspective.\"\n\n_Preparation:_ You now identify how you can bring your values into alignment with your behavior and imagine what these initial steps will be. Rose had to get off a powerful drug, deal with her withdrawal, and reconnect with her real, meaningful life. \"When Rose felt that the worst of it (coming off meth) had passed, she called her mother. . . . Her mom came over with a homemade meal. Together they came up with a plan for Rose to reestablish her life, placing what was important at its center.\"\n\n_Action:_ Taking action, both in the narrow sense of quitting your addiction and in the larger sense of advancing your life\u2014like going to school, dealing with psychological issues, taking control of critical parts of your life. As Rose did:\n\nWith what she was struggling to achieve firmly reestablished in her mind, Rose moved back into her parents' house, rejoining her daughter's daily life. Rose returned to school and found a part-time job at a dentist's office (which was good, because she required considerable dental work). Although she had given up quite a bit of freedom, Rose now shared child-care responsibilities while living with her parents, and that support took enough of the burden off her that she could pursue her studies while sustaining her recovery from addiction.\n\nWe turn to your taking these steps in the next chapter.\n\n_Maintenance:_ In PERFECT, maintenance is living a value-driven life, one where you constantly steer according to your purpose and goals, while using relapse-prevention techniques that keep your goals in focus\u2014which I turn to in succeeding chapters. Once again, for Rose:\n\nMost important was that Rose was able to see the positive results of her changed life and to savor being clean. She was living in harmony with the goals that had been eluding her even before she became addicted. Rose was able to fit both play and quality time with her child into her schedule, as well as spending time with her family. Given where she was coming from, the situation seemed like a dream come true. Beyond this, Rose made space to run and do yoga. Her new circumstances honored the vision she had been working so hard for before her addiction. Now every facet of her life reflected her heart and brought her sense of purpose into sharper focus. She was using her values as a guide to create a place in the world for herself that she had dreamed of.\n\n* * *\n\n**CASE:** Sarah was an investment banker. Although tremendously successful academically and professionally, she was bad at relationships. Instead, she would have periodic alcohol- and drug-fueled intense interactions with men\u2014sometimes lasting a weekend, sometimes a few months.\n\nIn her early thirties, Sarah became involved with a man who was far less successful than she was. Of course, that wasn't uncommon for Sarah, and Ron was reliable and capable\u2014he ran the shipping department of a large company.\n\nRon admired Sarah tremendously and promised her a lifetime of devotion and emotional support. Tired and worried about remaining alone forever, Sarah accepted Ron's suggestion that they marry, and they lived together contentedly, even if Sarah felt the absence of true passion that she had once dreamed of (an experience she shares with many, if you recall the discussion of sex addiction in Chapter 2).\n\nSarah traveled for her job. During these trips, she began returning to her substance-stimulated affairs. Sarah felt guilty about these and worried that she might be addicted to sex and alcohol. On the other hand, she always returned home to Ron. Indeed, she realized that maintaining her marriage was necessary for her to keep a steady course as an elite financial professional.\n\nOnce, as Sarah was considering these things, she was asked to write her bio for a company brochure. As she did so, she recalled how much her work meant to her and how directed she had been in pursuing such a position, a direction she wished ardently to continue. In fact, writing her bio was a values-and-purpose exercise, one that clarified what really motivated her.\n\n* * *\n\nBy returning to the home base of her true purpose\u2014that of a high-level, skilled, and motivated financial professional\u2014Sarah was able to correct course, both eliminating her affairs and cutting back her drinking (which she had often used as a way to facilitate her sexual interactions). She had assessed her purpose, her true self, and concluded that these steps were a matter of fulfilling her destiny. Of course, Rose made a very similar choice, or refocusing, which neither Rodney nor Graham has yet done. Compared with Sarah, Rose had gone much farther in the course of her addiction, suffering far worse consequences. Would both Rose and Sarah be expected go through the same stages of change, then? They both navigated their true selves in a way that worked for each of them. The method each used wasn't chiseled in stone and delivered to them by God or psychiatry, just as it isn't true that they both went through the same stages of change\u2014or really _any_ stages, other than leaving addiction behind. But their successful resolutions were for both a matter of focusing on what was most meaningful in their lives and sticking to that direction and purpose.\n\nYour Values Assessment\n\nIn Chapter 3 you filled out your \"Values Questionnaire.\" You returned to it in Chapter 5. The second time you filled it out to assess and appreciate your skills and resources, focusing on the last five items. This time, refocus on the first five and the last two items to locate your true self and purpose.\n\nVALUES QUESTIONNAIRE\n\n1. Name three things that are important to you, whether or not you are actively honoring them right now.\n\n2. What activities would you be pursuing if you were not so occupied with your addiction?\n\n3. Have you abandoned any dreams because of your addiction? If so, name these.\n\n4. What are some things you value that you could lose in the future due to your addiction?\n\n5. What do you hold close to your heart that most opposes your addiction (religious faith, parenthood, political activism, health, self-respect, regard for others, etc.)?\n\n. . .\n\n9. Who are the most important people in your life, people you really care about, or people you can really count on, or both?\n\n10 Which three human values do you elevate most, such as kindness, generosity, friendship, honesty, hard work, creativity, independence, integrity?\n\nHerein, you will find the signposts to your true self. These are the key elements of your life that you may have been ignoring or giving short shrift. The longer you have been living with addiction, the more overwhelmed you may feel by looking at your answers. Let's tackle this list the way a professional organizer or productivity expert would approach a chaotic household or office. You're going to process and sort through your underlying values, what you ultimately care most about, so that you can begin the process of setting goals for yourself that are meaningful to you, that will give your journey a sense of true purpose. This endeavor is like sorting a pile of papers that has accumulated on your desk to the point where you have no place to work, or like cleaning a kitchen that is so out of control that the only appliance you use is your microwave. To accomplish this task, you need a plan of attack.\n\nOrganization and efficiency experts will tell you that every stray, homeless item contributes to the chaos in your household and in your life. Anything you see that isn't where it should be or reminds you of something you're supposed to do saps your energy, whether you know it or not. Every unpaid bill, moldy Tupperware container, or unframed picture is like a person staring at you, hoping you'll make eye contact. These things are not accidental, but they are also not necessarily essential to your life. Wherever they fall in your life hierarchy, they s _till_ represent unkept promises or contribute to a chaotic living situation for you and your family. And they represent a lack of attention to your values. If inanimate objects can have this kind of power, imagine the weight you are bearing under the imploring stare of the values and purpose that are most precious to you, but that you are ignoring.\n\nWhen you are approaching the daunting task of organizing a physical space full of stuff, you begin by handling each item with the intention of making a few decisions about it: Do you keep it or toss it? Does it need immediate attention? Can it be put off? Is it sentimental? Where does it belong? If you are working with an organization expert, he or she will withhold judgment about what is of value to you. That is up to you to determine. You are going to follow the same principle here, using your answers from your values questionnaire. Reviewing your list might inspire some self-recrimination or feelings of shame for time or dreams lost. If so, summon your foundational mindfulness and self-acceptance practices to guide you here. Like the professional organizer, do not judge yourself; rather, focus on holding yourself and your difficult feelings with mindfulness and compassion.\n\nExercise: Sorting Your Values\n\nIn your PERFECT Journal, process each of your answers to the Values Questionnaire, 1\u20135, 9 and 10, into one of the following categories\u2014it's okay if they overlap. And feel free to add your own categories.\n\nThings that bring you joy:\n\nThings you believe in:\n\nPeople you cherish:\n\nDreams and goals:\n\nStrengths and positive qualities you possess:\n\nThis exercise shows you that you do have a true north. These categories represent the important areas of your life\u2014your values\u2014where you will find inspiration, meaning, and purpose. These are your reasons for pursuing freedom from addiction. Feel free to add more items to your list. You can place it where you will see it regularly, like over your desk or by your bed.\n\nMoving Forward\n\nTo find the values and purpose that allow you to take\u2014and keep\u2014an addiction out of your life, you need to explore what's important to you and sort through competing demands. In the next chapter, you will begin mapping your way toward actualizing your visions for the future\u2014making your visions real through concrete plans and actions.\n\nFurther Exercises\n\n_Personal Journal_\n\nCarve out some private time before bed, every evening, and review how you spent your day. In your Personal Journal, identify the things you did and the choices you made that reflect your values. For instance, if you decided to cook a healthy dinner instead of ordering take-out or if you did a favor for a friend, record that event and make note of what personal value or values you supported. You might be able to name just one, or more than one.\n\n_Exercise_\n\nMake a date with yourself and put it on your calendar when you do the values exercise, or as soon as you can after you have done your basic sorting. On that date review your list of values and list one activity you have undertaken in that interim that honors each value. Perhaps you made time to watch a movie you have always loved or spent time alone on another favorite activity, did a favor for a friend, read up on something you have been wanting to pursue, planted some flowers . . . you know the things you value and consider important. Write about how you feel about those things you've done. Make special note of any values not pursued in this time, and list those values for the next review date you set going forward.\n\n_Meditation_\n\nEnvision a time when you have been fully engaged in an activity that has nothing to do with your addiction. You might have to think back to childhood, when imaginative games could feel so important, satisfying, and creative. It might be when you play a sport. Or when you swim at the beach. Or when you see a scary or adventure movie. Do your best to remember what it has felt like to be so fully engaged in something that you don't have to think about what it is that you want; you are just doing it. Bring your mindfulness skills to this meditation and focus on the sensations you experience when remembering this time: What feelings does this memory conjure up? Does it recall certain smells or textures or vistas or people? Do you actually feel different _physically_? Spend as much time as you can exploring in your mind\u2014occupying\u2014this event.\n\nCHAPTER 7\n\n_Fortify_\n\nCoping\u2014Learning the skills for life management\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To assess your strengths and weaknesses\n\n\u2022 To implement new life skills\n\n\u2022 To discover resources for effective living\n\n\u2022 To address mental health issues\n\n**Purpose:** This chapter focuses on the essential skills and practices that will help you navigate the world freely, non-addictively, and effectively. These are broad subjects, each touched on in a variety of ways. They include practical ideas about skills that will enable you to connect to the world\u2014such as listening, anger management, accepting others, and decision making\u2014combined with brief introductions to cognitive-behavioral techniques such as social network therapy, reciprocity marital counseling, problem solving, assertiveness, the community reinforcement approach (CRA) and family training (CRAFT), and motivational interviewing. You will also contemplate setting and respecting boundaries\u2014your own and others'\u2014and consider the crucial question of boundaries in therapy, and especially in addiction treatment.\n\n* * *\n\nLiving with addiction, every day you encounter the same scenarios, navigate the same problems, meet the same demands\u2014all centered around your addiction. By remaining focused on this infinite loop of addiction, you neglect important areas of your life. Your home, family life, or finances may be in disarray. You may not know how to cope maturely with stressful situations, hiding in addictive behaviors rather than facing and handling whatever life throws your way. Freedom from addiction allows you to embark on life's adventure, a forward path with goals to set and meet. But living out your true self requires coping skills that you failed to develop on your circular path, making it difficult for you to handle the twists and turns\u2014and sometimes tedium\u2014present in even the most productive and fruitful lives. This chapter is dedicated to providing you with resources and tools for effective living.\n\nDefining \"Life Skills\"\n\nDo you know people who seem to manage their lives with uncanny effectiveness? They're able to meet the demands of family life, work, and community, and still have time for leisure activities. They don't seem burdened by endless problems that defeat their goals and happiness. In fact, they have learned how to prioritize and to concentrate: to determine what's important and to navigate a path through life focusing on activities in a way that reflects what is most meaningful to them. These highly effective people at the same time deal with stress\u2014conflicting demands, family and personal dynamics, unexpected problems, and even trauma. They aren't people without troubles. They are people who keep these problems in perspective and deal with them without losing track of their larger goals.\n\nIn the previous chapter, you took the initial step toward effective living by establishing your priorities\u2014determining what is of ultimate value to you\u2014and setting your course. Now, you will turn your attention toward developing the practical skills you need to follow the course you set for yourself. People may acquire these skills as a matter of course on their way to adulthood. The myopia and all-consuming nature of addiction, however, can hinder you in these key areas, even bring you to a complete halt, making the demands of everyday living seem overwhelming and unmanageable.\n\nIf you have always coped with stressful situations by getting high or running outside to smoke a cigarette or stomping out of the house to get drunk, how will you respond to stress once your addictive behavior is off the table? If you have allowed yourself to go into deep debt and have dealt with creditors by refusing to answer the phone and letting the mail pile up unopened while you continue, single-mindedly, looping around your circular addiction path, what do you do about your financial improvidence now that you can see clearly? Do you know how to budget? Or, say you dream of going back to school, but when you start to do the research, you find yourself stymied by all the requirements and options. How do you pursue this goal effectively?\n\nThe range of life skills that allow you to live up to the standards of your priorities is very broad, and you may not need help in every area that I am going to cover in this chapter, which is like a crash course in adulthood. One abiding truth about the nature of recovery from addiction is that a large majority of people who experience addiction will \"mature out\" of it. Many do this on their own, through the natural process of shifting priorities that goes hand in hand with growing up. But, for others, who find themselves blinking into the light after years of addiction, it doesn't come quite so naturally. And the thing they most lack for completing this process is the skills required for coping. These skills cover a lot of ground, so let's break them down into categories.\n\n\u2022 Anti-addiction skills\n\n\u2022 Decision making\n\n\u2022 Goal setting\n\n\u2022 Coping skills\n\n\u2022 Communication skills: Listening\n\n\u2022 Emotional skills\n\n\u2022 Boundary setting\n\n\u2022 Boundaries and addiction treatment\n\n\u2022 Effective therapies: CRAFT and motivational interviewing\n\nEach of these categories encompasses a dense set of subcategories\u2014a chapter could be devoted to each one. And, indeed, in my previous books\u2014like _The Truth About Addiction and Recovery_ and _7 Tools to Beat Addiction_ \u2014I have put together whole sections of detailed coping skills (like problem solving, anger management, communications, etc.). These have been developed by psychologists who have observed closely the deficiencies that people with addictions often display. I won't be repeating\u2014but only alluding to\u2014these in _Recover!._ The information in this chapter will provide guidelines in these areas, and you can find more detailed descriptions of each as needed in my earlier works.\n\nPeople can develop severe, life-disturbing problems in any\u2014or all\u2014of these areas. And no one of them stands out as causing addiction. Not everyone will need support with every skill. For instance, you may be very high functioning despite your addiction and need help with only a few. Or, you may need guidance in all of them. With that in mind, I will offer an exploration of these categories and provide you with exercises, resources, and direction so that you can continue your development in the areas with which you feel you need the most help. In fact, discovering and using resources is an important life skill itself. In reading this, you are already beginning to practice that critical skill.\n\nAnti-Addiction Skills\n\n_Recover!_ is all about overcoming addiction, so an anti-addiction section might seem redundant. Following The PERFECT Program, you are approaching your addiction holistically\u2014from all areas of your life. You are realizing a new overall perspective and establishing a completely different foundation for living. But, in doing so, you will face daily challenges to your resolve and will struggle with addictive compulsions and urges. Anti-addiction skills are those practical, systematic ways of dealing with these addictive urges before\u2014or as soon as\u2014they arise.\n\nAddicted people have different triggers\u2014situations that instigate a pull toward destructive behaviors. These might include stress, boredom, depression, just plain habit (like grabbing a cigarette when you're talking on the phone or a bag of potato chips when your favorite TV program is on), or returning to a familiar environment where, or seeing people with whom, you previously engaged in your addiction. Oddly, it is also common\u2014as Alan Marlatt and his colleagues indicate in _Relapse Prevention_\u2014for people to be drawn back to addictions when they are feeling elated or triumphant. As one young female alcoholic athlete described her drinking career: \"When was I driven to drink? Whenever we had a big victory, I celebrated. Oh, of course, whenever we suffered a tough loss, I drank to drown my disappointment and depression.\" And, as I discussed in the last chapter, the tendency to relapse may even occur for some when they are most positive and confident about their recovery.\n\nSometimes, a gentle urge to get high or binge will present itself seemingly out of the blue. You may dismiss it, but find that what started as an innocuous, stray thought morphs for you into inevitability. Let's explore some of these scenarios and practical ways of dealing with them.\n\nExercise: Addictive Triggers\n\n_What are your addictive triggers?_ For some, simply waking up in the morning is enough: you might open your eyes and reach for your pack of cigarettes or for your computer to check in on your online game, or obsess over whether your last date or hoped-for love has e-mailed you. Or maybe it's at night when you have finished with your work schedule or other daily obligations. It could also be a place you pass or find yourself in, like a bar, or a group of people\u2014like those you usually drink or get high with. Or it could be a mood\u2014such as boredom or stress or anxiety\u2014that compels you to go to the refrigerator or out for a snack.\n\n_When are your cravings the strongest_? If you are not sure what triggers you, spend a week keeping track in your PERFECT Journal on a page earmarked \"triggers.\" Make note of the time of day when addictive urges are strongest, what you are doing at the time, what your mood is, and whether or not you are able to overcome them each time.\n\n_Have a plan in place_\n\nWhen a craving arises, or when you anticipate that an urge will arise in a certain situation, be prepared for it. Have a few ideas for activities you can engage in when cravings or urges appear, relying on the things that are important to you. Make a list, both in your Journal and to be kept handy, because you may not be able to recall these things when you're in the throes of a desire to indulge. These could be short-term\u2014but enjoyable or satisfying\u2014distractions, like taking a walk, playing catch or doing some other activity with your child, composing an e-mail, weeding a garden, calling your mother or a friend. If you are headed someplace where you know you may face triggering opportunities, have other destinations available to which you can divert your path\u2014the library, grocery store, a coffee-only caf\u00e9, a friend's house, the gym.\n\nOther times, you will be triggered by your daily routines. If, for instance, your usual habit has been to get high as soon as you come home from work, simply walking in the door will be a powerful trigger. You might plan instead on taking a shower as soon as you get home and then starting dinner right away. The idea, obviously, is not to leave things to chance\u2014plan exactly where you will be going within the house and what you will do there. Mindfully locate yourself in time and place\u2014see the place, then follow through on your plan.\n\n_Keep your reasons for quitting close_\n\nMake a list\u2014or even write a paragraph\u2014of the most important reasons you have for overcoming your addiction. Write it in your Journal and keep it on hand. You can also attach a picture to it, say, of a loved one or a child or of a fitter, healthier you. When an overwhelming urge hits, it will try to push out thoughts of anything else. Having a reminder of your priorities where you can readily access it is a powerful way to put addictive cravings into perspective.\n\n_S.P.O.T. exercise_\n\nYou will find this in Chapter 4, \"Pause,\" on page 95, which describes being in the here and now so that you can identify and overcome addictive urges and cravings.\n\n_Meditate on your discomfort_\n\nMindfulness meditation is a powerful, long-term anti-addiction practice, one that you have been working on throughout _Recover!._ It's also a terrific tool for combating urges as they arise, as I previewed in Chapter 3 on getting ready. There I discussed focusing your daily meditations on your breath or other ordinary parts of your existence. But you can also focus on more urgent feelings, like pain or discomfort. Craving is such a difficult feeling, one that can make you restless, agitated, even angry. One thing mindfulness teaches us is that feelings are not reality; they're not permanent. They're like clouds passing quickly across the sky.\n\nMindfulness Meditation: Suppressing Cravings\n\nWhen you are in a suitable place to meditate and are relaxed, focus your attention on your craving and the feelings it creates for you: agitation, discomfort, longing, even emotional pain. As you focus your attention on these feelings, name them to yourself. You might say, \"This is restlessness\" or \"This is frustration.\" And try to describe the quality of those feelings, how they present themselves in you\u2014say you feel empty inside or, instead, a burning in your stomach. Notice, for instance, if you are fidgeting. You don't want to make these feelings go away, or to stop fidgeting. Just acknowledge that these things are present and real. Say to yourself, \"This is how craving (or discomfort, or longing, etc.) feels right now.\" Concentrate on the feeling; notice how it shifts and mutates, how it is not always the same from one minute to the next. View this with a sense of curiosity, or with wonder.\n\n**Variation 1:** Imagine your craving as a physical presence\u2014ground undulating beneath you, or a wave that you are riding or surfing. Note that it varies in intensity. Ride up and down with the craving\u2014note its high points and then how it declines.\n\n**Variation 2:** Explore your body, and see if you notice any area that feels good or right\u2014even if it is your nose or your feet. Focus your attention on that area, in the same way you would focus on your breath.\n\n**Variation 3:** If you are feeling claustrophobic in your own skin\u2014if you feel too agitated to relax at all\u2014imagine expanding the space your body occupies, say, five inches all around you, and place your attention in that \"free\" space. Meditate in and from this place.\n\n**Variation 4:** What is the happiest place you can imagine? Think about being there. Think of every sensory detail\u2014see, hear, smell, taste, and touch these.\n\n**Variation 5:** Imagine a ray gun. Visualize your craving as a robot or a monster. Then atomize it with your weapon. Imagine the robot or monster disintegrating, its pieces spraying all over the surrounding space, until it no longer has any substance. Or imagine the craving as an alien space ship that you're shooting at in a computer game with the same result.\n\n_Change your routine_\n\nShake things up a bit! As it is, your life's routines are often structured around your addiction. Addiction _is_ routine. You smoke, or eat, or drink, or use, or shop, or play games in the same places and times. So, do different things every day\u2014or add things to your routine\u2014that don't accommodate your addiction. Take a different route home from work, spend more time outside, talk to new people. Add a new thing every day or week.\n\n_What's the logical conclusion?_\n\nAs I mentioned, addictive urges can overwhelm your ability to think clearly in the moment. When that little voice whispers to you that you could really use a [fill in the blank], it's difficult to see beyond the immediate gratification. Grab your PERFECT Journal and, in a section earmarked \"cravings,\" work through the scenario: write down how it would feel to indulge your craving at this moment, but then follow this scenario through to its logical conclusion. If you start now, where will you be in a few hours? Will you feel bad and guilty almost immediately? Will you feel out of sorts, and tired, and sick in the morning? What are all the potential consequences? Be as detailed, as graphic, as possible.\n\n_Variation:_ If you find yourself actually experiencing the logical conclusion\u2014say, you have just awakened with a mighty hangover\u2014take the opportunity to write down everything you are feeling at the moment. Keep this record somewhere where you can easily refer to it.\n\n_Give yourself permission\u2014for later_\n\nThis technique might seem counterintuitive. But, white-knuckling your abstaining from your addiction, telling yourself that you will never, ever do it again, can be demoralizing in that it tends to increase your feelings of deprivation and hopelessness. In the last chapter I reviewed Roy Baumeister's research on willpower. Your efforts at willpower can be exhausting and can get exhausted\u2014it simply doesn't pay to bite off too much at once\u2014or to intimidate yourself with what seem like insurmountable tasks ahead of you. Telling yourself that you're not going to do it now, but maybe another time, can release pressure. It's like a mental hack. It actually makes it less likely that you will indulge later. It works by giving you the feeling that you are in control, that you are making the decisions, thereby reinforcing your free will. The choice not to use is yours, and when you feel that it is a matter of choice, your priorities have a stronger voice, now and in the future.\n\nOf course, AA tells people to focus \"one day at a time.\" The essential difference with the mindfulness PERFECT Program approach is that AA actually means \"forever.\" In PERFECT, you simply don't determine, don't limit who you are and will be forever. As we noted in Chapter 3, late in his life, the great Irish actor Richard Harris\u2014after a major-league addictive history and a just-as-frequently recounted recovery\u2014started having a Guinness stout or two at his local pub. As a grandfather in his seventies, Harris wasn't as driven to excess as he had been. AA and the disease theory, in having us view ourselves as permanently addicted, take advantage of a strange wrinkle in human thinking. We all recognize how much we have changed from the past to our present situation. Yet, when we project into the future, we imagine ourselves being very much the same as we are now. In fact, we are just as likely to change throughout our lives (that is, very likely), although we fail to recognize this future likelihood.\n\n_Don't beat yourself up if you give in_\n\nIn my discussions of conventional addiction treatment, harm reduction, and self-acceptance, I have emphasized that perfection is impossible and simple abstinence is not the gold standard. Believing that you are a lost cause simply because you fell off the wagon or are having a hard time getting on the wagon is unrealistic and self-destructive. If you have gone off the rails, treat yourself compassionately, learn from your experience as best you can, clean up the messes you've made, and\u2014look forward. Your path is your own. No matter where you happen to be at the moment, you always have the choice and the chance to move forward.\n\n_Arrange social situations mindfully_\n\nSome people are more likely to be triggered by being alone, impelled by feelings of loneliness and boredom and resulting depression. For them, finding social outlets involving non-addicted others is crucial. But other addicts are set off when they are around other people. Quitting your addiction can feel more daunting when you are out with friends, or around people who are using when you are not\u2014or trying not to.\n\nFirst, let's get one boogeyman out of the way: Many people who are quitting an addiction worry about being conspicuous\u2014calling undue attention to themselves\u2014if they don't indulge. The truth is that most people don't notice and won't give it a second thought if you're not doing something. If you pass on a joint that's going around the room, they'll go on to the next person. If you don't have a cocktail in your hand, they won't ask you why. You don't owe anyone an explanation, and most people won't ask for one. Saying \"no thanks\" will usually garner a shrug. If you encounter some inappropriate outlier who lacks the good grace to ignore your abstinence, you can tell them that you're driving, training for a marathon, or pregnant (men\u2014don't try this last one), and find someone else to talk to. There's no one you have to answer to about your choices.\n\nNow, let's talk about more difficult situations\u2014say you are with close friends who use your addictive object in a situation that you would normally spend indulging your addiction with them. If you are accustomed to or have often enjoyed doing something when you are with others, temptation can almost be irresistible when everyone else is partaking. Seeing other people do something that you might feel like doing can also make doing it seem less destructive. If they can do it, why can't you?\n\nThis is when your mindfulness skills and your clarity about your sense of purpose are key. Ask yourself whether and how your social circle supports your life values. It may be that your friends' only real connection to one another and to you is based on addiction. If you have nothing in common with a set of people aside from addiction, you might consider bowing out of that group and finding new friends. If people who have shared your addiction remain valuable to you, you can work on developing a deeper connection to some of them in situations that involve doing other things. Something as straightforward as deciding whom you will hang out with actually comprises an evidence-based therapy\u2014one more often used in Great Britain than the United States\u2014called \"social behaviour and network therapy.\"\n\nIt is not simply that friends and acquaintances of yours tend to be users themselves who tempt you to use\u2014they may actually try to undermine your resolve to quit. Perhaps they miss their playmate or feel that your new direction is an indictment of their choices. It might even occur that someone close to you, who has been begging you to deal with your addiction, resents your quitting. So much of their life has been intertwined with your addiction\u2014even simply through asking you to stop\u2014that they find your abstinence intolerable! Or, it may be that they just don't trust you. You may also find people who don't believe that you can change your life if you are not in AA or NA and will not accept any other approach. Whatever the reason, you may find it difficult to gain support among your friends and family.\n\nMore basic relationships\u2014such as within your family\u2014can be the most challenging. Working through family relationships into sobriety will require your self-acceptance and compassion because those closest to you find it so difficult to trust and accommodate your change. They may respond to your new way of life with inexplicable anger\u2014or even by discouraging or sabotaging you\u2014often without recognizing what they are doing. For example, they may express pessimism that you can succeed, or they may even present triggers that they know set you off.\n\n* * *\n\n**CASE:** William's wife, Sabrina, was a stay-at-home mother who started drinking in the early afternoon. She was able to care for the household and the children, but was usually in bed by 9 p.m.\u2014passed out. William was disgusted by her drinking and found the \"wino housewife\" routine so clich\u00e9. It was just not how he had envisioned his life with her when he proposed marriage. Sabrina had made many promises to William to stop, and tried several times. But, every time she tried, she would make it only a few days before William would start looking at her cynically, asking whether she had begun sneaking drinks again, or suggesting that she soon would be. With this lack of encouragement\u2014actually, suspicion and cynicism\u2014Sabrina's shaky willpower didn't last long.\n\n* * *\n\nSo why would William undercut the very change he insists Sabrina needs to make by quitting drinking? While William is unhappy with his wife's lifestyle and its impact for him, he's also so used to it that he almost doesn't know who he is when he isn't martyring himself to Sabrina's addiction. Furthermore, he has built up reserves of resentment and distrust that are always ready to burst out of him. Putting down and doubting any gains Sabrina might claim she has made make him feel virtuous for all of his past suffering, and in an odd way give him control over the situation\u2014which Sabrina's drinking likewise does. As long as she is drinking, he knows what to expect. When she stops, he does not, and that makes William deeply uncomfortable.\n\nLet's say, however, that Sabrina has decided to end her destructive drinking, is clear about her reasons for doing so, and has shored up her inner resources and priorities. Of course, this is Sabrina's mission\u2014she is the freewill protagonist in the terms of this book. But being married to and living with someone is a very challenging matter, on the one hand, and one that offers a great deal of potential support, on the other. William should be able to reinforce Sabrina's resolve, reward her efforts, and encourage her to go forward. He can be made aware (perhaps by reading this!) that he is undermining her instead. If he can clarify his purpose and goals\u2014keeping them in line with Sabrina's, as they should be\u2014he can be a very helpful resource for her quitting. And in doing so, he will be extending a welcome sense of compassion\u2014including forgiveness for her past behavior that has hurt him\u2014to the woman he loves. Because they should recognize that their marriage is the top priority for _both_ of them, they should coordinate their efforts to make them both happier in a household without recrimination, belittling, and guilt. When each partner accepts that the other's efforts are genuine, together they can form a powerful team that will strengthen the two of them. William can then stop waiting for the other shoe to drop, or even trying to instigate Sabrina's failure.\n\n_Reciprocity marital counseling_\n\nThroughout this book I have emphasized the connection between the needs of an addict and his or her loved ones. Here is a place where the spouses' efforts need to be coordinated. The skills required for overcoming addiction are reciprocal ones. One important alcoholism therapy that has repeatedly been shown to be among the most effective is called the community reinforcement approach, or CRA, which integrates changes throughout a person's work, recreational, and home life to reinforce sobriety. One component of CRA is reciprocity marital counseling, in which two partners are led through a series of exercises where they share the importance of different aspects of their lives together (e.g., sexual, financial, child rearing) and how well these are being fulfilled. A counselor then assists the partners to see how their interlocking needs can be best satisfied by working cooperatively and by noting and rewarding positive changes each partner makes in the other's direction.\n\nOne of these areas, of course, is the addictive behavior. While couples sometimes find it awkward to engage in this counseling, they soon realize how positive the shifts can be for each of them and begin to \"catch\" and to appreciate their spouses doing good things for them\u2014which itself puts their relationship on a new, positive footing.\n\n_Find professional help_\n\nOf course, CRA and reciprocity marital counseling are therapies that you'd have a hard time carrying out on your own. You can ask a competent marital counselor or therapist if they practice that type of treatment and undergo several sessions, always being clear when scheduling your next session that you expect it to add value, and ceasing when that isn't true. Likewise, addiction counseling by a sensible therapist or counselor can be a valuable aid. In keeping with the ideas underlying The PERFECT Program, you would seek out either a cognitive-behavioral therapist or a Buddhist psychologist, someone who is knowledgeable in mindfulness techniques. If you can't afford therapy, you can find free non-12-step groups such as SMART Recovery. (For links, see Chapter 10.) But you may also enlist a friend or family member you can rely on to help you with accountability.\n\n_Ask your friends for help_\n\nAs you work toward achieving your life's vision, you may come up short when approaching certain arenas. Say you require babysitting so that you can attend a class, or maybe you need help organizing, learning to drive, using your computer, or cooking healthy meals. Ask your trusted friends and family for help. If, by chance, anyone declines your request, try not to take it personally or to consider it a rejection. They may have time constraints or other pressing obligations. But it is far more likely that they will be thrilled to share their knowledge or time with you, because they care about you, want to connect with you, and are proud to know they have something of value to offer toward your success.\n\nTrusting that the people closest to you among your friends and family are willing to help you is difficult. It's hard to admit vulnerability to people you respect and to let people you care about really see the extent of your problems. It's possible you have been rebuffing them, or maybe you have imposed on or hurt them through your addiction. Furthermore, asking for help implies accountability to the people who are extending themselves for you. You might be afraid to disappoint them. But it is a sign of seriousness when you open yourself to this accountability by calling on your friends and family to ask for their help. And asking for and accepting their help allows them to show their love for you.\n\nOne word of caution: you may encounter people who will present you with ultimatums, or make intrusive or meddlesome demands of you in return for their help. This is a difficult scenario, especially when you are short on resources and feeling vulnerable. If you're presented with such a situation, you can shift your perspective to their point of view: Have you burned them in the past, and are they simply taking precautions? For example, if you request child care so that you can attend a class, and someone asks to see your registration or receipt first, rather than taking offense, see this as an opportunity to regain their trust. On the other hand, they may insist that you register for a program that they recommend, but that doesn't suit you, in return for their help. Hear them out, but make clear that in seeking their assistance you aren't turning your will and decision making over to them, or to anyone else.\n\nDecision Making\n\nFreedom from addiction is all about making choices, including individual daily decisions, dealing with problems, and global life planning. Effective decision making, problem solving, and goal setting require mindfulness, self-acceptance, and an awareness of your values, priorities, and purpose. As I discussed in the last chapter, it's easy to embark on\u2014or fantasize about\u2014an exciting new venture, but maintaining your drive is hard if you don't have a realistic vision of your strengths and what's actually possible for you, or the resources to support you when the going gets tough. Similarly, it's easy to make a self-destructive decision, in the moment, if your foundation is weak. If you have been following The PERFECT Program to this point, you should be in a better position than ever before to trust the choices you make for your future\u2014you also have the skills you need to reassess your decisions and to rechart your course as needed. Finally, problem-solving techniques are learnable skills.\n\nPerhaps you\u2014like many people\u2014are overwhelmed when you're confronted with situations requiring decisions. You may not trust yourself to make a good decision or don't believe that you are in a position to make decisions; perhaps you don't feel qualified or feel so stuck in your current circumstances that you don't have the freedom to _make_ decisions. Such indecisiveness sometimes occurs because you believe your decision carries much more significance than it actually does and that tragic results can befall you no matter _which_ way you decide. You may worry that your choices will expose something you want to hide. Consider the innocuous everyday example of a group of friends trying to decide where to go for lunch: No one wants to choose a place that will be disappointing, and so you'll hear a lot of, \"Anywhere's fine! You decide.\" Or take a much more important decision, like \"Should I ask for a divorce?\" Making a decision is, essentially, taking a stand, asserting yourself and your will in line with your purpose, which can be nerve-wracking.\n\nHaving an addiction can make it much more difficult to make decisions, both because you have avoided making choices previously and because your addiction takes a lot of options off the table. As I have said, you adopt your addiction in good part as protection against the angst of decision making\u2014you can _know_ where you are headed without the effort or the pain of having to choose. Of course, the best way to develop the skill of choosing\u2014like all skills\u2014is practice. And every moment presents you with opportunities for choices. If you bring your mindful awareness to each opportunity, you will hone your ability to recognize when you have decisions to make and to choose directions that support your values, even in situations that trigger addictive urges.\n\n* * *\n\n**CASE:** Ralph was a partner in a seasonal business\u2014it peaked when the school terms began, in September, January, and sometimes for summer school. During these periods, Ralph was under such intense pressure he could barely breathe. And what breaths he took were generally chemically infused. He took tranquilizers to stay calm, drank heavily after work, broke out into cigarette smoking, and got high on recreational drugs on the weekends. Yet, when each such period was over, he relaxed, sometimes at a beach home he enjoyed with his wife and kids. During these retreats, Ralph cut out virtually all his substance use (except for drinking wine after the kids were in bed). Yet he never used such reprieves to figure out new hires or how to rearrange responsibilities with his partners to fend off the wall of stress he inevitably faced around the corner, when he would once again succumb to all the pressures that caused his substance abuse.\n\n* * *\n\nBy not addressing his work issues when he had a chance to, and by avoiding critical work-related decisions, Ralph was committing himself to perpetuating the unhealthy\u2014dangerous\u2014stress in his life and his resulting addictive behavior. And Ralph was a highly seasoned, successful professional.\n\n**JOURNAL :** Write down decisions you have made in the last couple of days: decisions about people, at school or at work, etc. How many can you come up with? Did any of these decisions make you anxious? What insight do you have into why those decisions are more difficult than others? Then extend the scope of your deliberate, mindful decision making by identifying larger decisions over which you are hesitating, but that are important for you to make or that you will benefit from by making.\n\n_Problem solving_\n\nProblems are special events\u2014often urgent\u2014requiring your best decision making and coping. Your addiction is an example of faulty problem solving\u2014of attempting to remove the pain or the awareness of a problem by using artificial means to mask it or to divert your attention. This process can involve either large problems (of the kind Rose faced in Chapter 1, where basic aspects of her life weren't working), persistent problems in one area (like Ralph's business tensions or a person's problems within a relationship or finding intimacy at all), or specific traumas or emergencies (such as failure of a relationship, or a financial or housing crisis, or an illness, or with a family member, like a child, and on down to smaller crises that can occur, sometimes several at once).\n\nYou may view life as a never-ending cascade of problems you must face off and deal with. This viewpoint can be excruciating, since it makes life so negative as to undermine the simple pleasures it offers, like taking time-outs, finding positive outlets, and enjoying people, activities, and the world. And such negativity often underlies the need to seek addictive escapes. On the other hand, the ability to cope with problems is an essential life skill, one that addicts as a group unfortunately often lack. Cognitive-behavioral psychologists teach people how to deal with problems directly, rather than turning to their addictions. The indexes of my earlier works, _Truth_ and _Tools_ , both point to sections that focus on this skill. The process involves five stages:\n\n\u2022 **Recognize** you have a problem, that something is uncomfortable or hurting you.\n\n\u2022 **Don't panic** but size up the matter, or slice it into manageable bits.\n\n\u2022 **Seek information and inputs** from various sources, including solutions others have used.\n\n\u2022 **Try out** one or several likely-seeming approaches.\n\n\u2022 **Pause** after you have given an approach a fair shot, judge how well this effort has gone, and decide whether to continue in this mode or to try another approach.\n\nThe key to this process is to realize that problems occur, that you are not a special victim, and that you have the essential grasp, strength, and confidence to meet the challenge and emerge whole at the end. Life will go on, as will you.\n\nGoal Setting\n\nYour goals reflect what is important to you. Having goals keeps you on track, allows you to measure your progress, and infuses you with self-confidence and motivation, while driving you closer to your ultimate vision for yourself. Establishing realistic goals\u2014meaning that they are achievable, that they are what you genuinely want, and that they jibe with your strengths and values\u2014is an art that requires you to set priorities based on your values and a true understanding of yourself and your capacities. In Chapter 3, you completed the Goals Worksheet. For your convenience, I present the worksheet again. Please review your earlier answers and update them as you see fit. You'll notice that the worksheet follows a certain outline, beginning with a grand vision for yourself and ending with a manageable to-do list of things you can accomplish right away to get the ball rolling.\n\nGOALS WORKSHEET\n\n**1. Long-Term Goals**\n\na. Visualize your ideal life and write about it in as much detail as possible. You might describe what a typical day of freedom looks like, for example.\n\n**2. Short-Term Goals**\n\na. On one line, name three areas of your life that are suffering because of your addiction and, under each one, list some possible changes you can make right now to spark improvement in those areas.\n\nb. Read over your options\u2014some of them will be ambitious and some will be practical. Choose the one change from each list that seems most doable to you. For instance, if you are sedentary and concerned about your health, choosing to train for a 5K might sound inspiring, but a more realistic goal might be to start walking three times a week.\n\nc. Now, under each of your choices, make note of things that will help you achieve these goals. To continue with the example above, what would you need to begin walking? A pair of sturdy but comfortable shoes? Some motivating music queued up on your MP3 player? A walking schedule? A walking buddy? A dog (you can always borrow a neighbor's, and your neighbor will thank you)? Begin gathering your resources.\n\nd. Set a day to start implementing each of these changes, and set up a tracking system. You can use a calendar, a daily checklist, or your PERFECT Journal. There are even websites out there (like <http:\/\/www.43things.com>) that help you set goals, track your progress, and connect with others who share your goals. A free online calendar, like Google or Yahoo, will allow you to send reminders to yourself.\n\ne. Remember that making these changes points you in the direction of true recovery. You are aligning yourself with your values. If you miss a day or slack off, just pick the ball back up. Every moment is an opportunity to make a positive choice.\n\n**3. Mid-Range Goals**\n\na. Consider the journal entry you wrote on your vision for yourself, and make a list of goals you will need to meet to actualize your vision. For example, if you see yourself earning a degree, you will need to begin researching programs and requirements. Do you have to earn your GED or take the GRE?\n\nb Are there things you can do right now to begin preparing? If not, when would be a realistic time to begin? Write down that date.\n\n**4. Addiction Goals**\n\nTaking all your answers into consideration, and recalling from Chapter 3\u2014perhaps rereading the various options presented there\u2014what is your ultimate goal in regard to the substance or behavior you are addicted to? What is the best way for you to achieve that? For instance, if you are aiming for abstinence, is it more realistic _for you_ to taper off, to implement harm reduction methods, or to go cold turkey? If you are aiming for moderation, is that a long-term goal that you expect you will fall short of sometimes in the present? If so, how will you handle your addiction while protecting yourself in the meantime? Compose a plan for yourself now, listing your addiction goals and the avenue you want to take there. Be as cooly realistic as you can be. Remember, you can always go back and revise your plan as you gain clarity about yourself and your values.\n\nCoping Skills\n\nNow, let's drill down even farther into the specific areas of your life that may have been neglected or dissolved into overwhelming disarray as you were absorbed in addiction. As we mature, we tend to learn life skills organically, through observation and practice, trial and error. We develop habits and systems\u2014and, depending on our personalities, we may be adept in some areas while we struggle through others. Someone may be a wizard of efficiency at work, but completely disorganized at home. That's normal. When you're emerging from addiction, however, you might find yourself completely stymied by all of it, not having developed global skills or resources (remember how many aspects of her life Rose, in Chapter 1, had to tackle at one time?). Let's bring your self-acceptance, the self-awareness you have gathered, and the basics of goal setting and decision making to the following arenas and get started putting things in order.\n\nRemember that you will be more inspired and adept in some areas, while others will seem more tedious and unimportant. That's okay. It's the rare person who can maintain a perfect sense of balance. Even Martha Stewart couldn't keep her financial life in order. So, be gentle with yourself. Since an entire book could be written on each of these subjects (and they have been), I will offer you an overview and, in Chapters 8 and , will provide further ideas and resources. This is a starting place. Begin by completing your Goals Worksheet, 1 through 3, for each area. You may find that your goals have become clearer or better developed since you filled out the worksheet in Chapter 3.\n\nCommunication Skills: Listening\n\nPaying attention to others is difficult when your mind is focused elsewhere\u2014like on your addiction or what's next on your to-do list. Or, let's be honest, when the subject doesn't interest you because it isn't about you. Genuinely listening when someone is talking to you takes effort and a certain generosity of spirit that improves with practice. It may seem obvious that listening is a good thing to do, but be clear about why that is: First of all, when someone feels that you are honestly paying attention to what they're saying, it makes them feel important. Sometimes, listening to someone is more about establishing and reinforcing the foundation of your relationship than about what they are saying at that moment. It doesn't matter if you're riveted by the subject matter. Second, it inspires a feeling of trust and goodwill toward you\u2014people will continue to seek out your company. Third, listening is a good way to practice your mindfulness skills. Bringing your attention to someone else\u2014even when you're not fascinated\u2014is the essence of mindfulness. Fourth, you might learn something about your conversation partner or about yourself if you are listening rather than simply waiting for them to stop talking so that you can start. You may feel that you are not being interesting enough if you aren't constantly talking, but the truth is that people will feel that _you_ are interesting when you make _them_ feel interesting.\n\nListening is the single most important skill for therapists to cultivate. Some common ways of developing _your_ listening skills (some of which you may already be familiar with) are these: Sometimes simply repeating what the other person has said will reassure them that you are attentive and concerned. \"Mirroring\" means rephrasing or interpreting what you have just heard and offering it back to your companion so they can elaborate. For example, if someone is sharing something personal with you, you can say, \"It must have been shocking to learn that your mother has been keeping such a dark secret.\" Here you are reflecting the emotions the situation created for your friend.\n\nYou might also expand and interpret something he or she has said. \"It seems to me that what your mother did has really been upsetting to you even today, all these years later!\" You can see the big difference between such reflective comments and saying, \"My cousin's mother had a secret, too.\" Other listening techniques include thinking of questions you can ask to move the conversation along. Ask for more detail; ask about how the person felt about an event; ask them what insights they gathered from it. These are essential methods used in the cognitive-behavioral technique called _motivational interviewing_ or _motivational enhancement_ , which I discuss below, in which the therapist constantly turns the interaction back to the individual seeking help to allow them to develop their insights and to spark and focus their motivation to change something that is causing them difficulty.\n\nEmotional Skills\n\n_Patience and choosing your battles_\n\nOf course, listening requires patience. But sometimes you may find that certain people or social situations aggravate you. For instance, suppose you are in a hurry at the grocery store and end up in line behind a customer who doesn't speak English, doesn't understand the payment system, or can't find her money. It's taking forever. You might want to throw a body-language tantrum by tapping your foot, sighing, looking at your watch. You might even want to grab her wallet out of her hand and get her money out for her. You then fume about it all the way home. Life throws us curve balls all the time, usually in the form of other people. We have to wait for them, wait on them, accommodate them, drive behind them, work for them, answer their phone calls, and deal with their idiosyncrasies and ignorance. That's what it means to get along in this world. And, in no small way, life is an accumulation of such moments, as is your overall mood. Allowing for this human truth will make your life much more peaceful. Consider that, in pursuing your addiction, you may have tried people's patience yourself!\n\nMaintaining your perspective is the key to patience, starting with the Buddhist or universalist insight that we are all part of a large, moving universe, human and otherwise. Try to keep in mind that a lot is going on at all times outside of your small realm. Not everyone is on your schedule; not everyone knows the things you know; people make mistakes in traffic (including you). Say you're back in that grocery line, waiting for your turn behind the frustrating customer who is taking a lifetime at the counter. Be aware that, no matter how long it takes her to figure it out, you will surely have your turn within mere minutes. Imagine, as well, her own frustration or embarrassment, especially if she is not fluent in the language\u2014going shopping takes some guts! Take into account that, if you are in a rush, you might have managed your time better. And finally, what is the absolute worst that will happen if she takes another five minutes to count out her bills? Losing your patience is something you can control (a topic for the next chapter).\n\n**JOURNAL:** Write down some of the scenarios that you know cause you to lose your patience: Having to explain something more than once? Seeing the toilet paper turned the wrong way on the roll? Friends who are always late? Drivers who don't use their turn signal? When you examine this list, can you decide which items are irrelevant and which ones you might find ways to mitigate? Are there some over which you have no control, but others that you can't\u2014or shouldn't\u2014tolerate? Are there situations you contribute to or condone by not speaking up? We often lose our patience about things we could exert some control over. Take, for example, the perpetually late friend. He is always twenty minutes late. This is a battle worth picking, because your schedule is as important as his. Think about realistically changing _that_. Seething silently or lashing out with passive-aggressive barbs instead is not effective, and the scenario will simply repeat itself.\n\nMindfulness: Curing Road Rage\n\nConsider what you are doing when you get angry at some stranger for some misdeed\u2014or imagined misdeed\u2014on the highway or the street before you. You are deciding that this person\u2014idiot, miscreant, or innocent that he or she is\u2014can affect your nervous system and brain and significantly alter your view of the universe and mood for the day. My, that's a big consequence to your life from someone's not signaling a turn! How does that unsignaled turn stack up against your precarious financial position, wayward child, or conflicted marriage or intimate relationship, let alone global warming, the national debt, and our troops fighting and dying around the world? I'm sorry to bring all of those up! But you get the point\u2014what this bad driver did is **nothing**.\n\nIf there's one thing you can count on, it's that every day you will be presented with opportunities to navigate obstacles: Your kids will break something; there will be road construction at rush hour; there will be yet another form to fill out; customer service will give you the runaround. Not allowing these things to bug you isn't always easy, and sometimes you just have to stomp around about it. But you don't want to be the type of person who comes unglued at the slightest hitch in things. _Because these are peak moments for resorting to\u2014or else, relapsing back into\u2014an addiction._\n\nThere are some things you can't anticipate, but can use your loving kindness skills and mindfulness to achieve perspective about. Some things you can anticipate: put your Ming vase in the cupboard until the kids are grown; leave home earlier and bring a good audiobook for the ride; read the directions carefully and ask questions; ask to speak with a more helpful representative. Finally, bring your self-knowledge and priorities to bear in cases that require you to negotiate with other people.\n\n_Know\u2014and be true to\u2014yourself_\n\nIt might seem that having social skills means being popular, having a lot of friends, holding court, being witty and attractive. And that a quiet person who avoids crowds, prefers the company of close friends, or would rather engage in solitary activities is lacking in social skills. Neither is true. Social skills are simply your ability to navigate as a worthy person among people in your life in a way that is true to you, so that you and others can coexist peacefully and develop productive and satisfying relationships. And most of us fall somewhere in the range between introvert and extrovert. _When you consider your vision for your life, ask yourself if it matches what you know to be true about yourself_. Do you imagine yourself having a packed social calendar, when in fact you may really enjoy having a cup of coffee with a friend once in a while? Or, do you imagine yourself living a life of quiet contemplation, gardening or knitting or meditating on a mountaintop, when you really love to be around other people, at least periodically? Do you find yourself feeling drained after an outwardly enjoyable event with other people? Or do such situations energize you? Would you rather play a team sport or a sport in which you are competing only with yourself?\n\n**EXERCISE:** Contemplate your idea of social life. Do you see yourself engaging with people in a way that you are currently not doing? For instance, if you are mostly solitary, do you envision a life surrounded by friends? If you are overly involved with people, do you see yourself spending more time alone? Keeping in mind that it is not better to be either an extrovert or an introvert (can you think of an objective reason why one is preferable?), which do you think describes you best? If you enjoy a lot of company, but would like to spend more time alone, can you think of activities you can engage in that will introduce more solitude into your life without abandoning your social life? For instance, you might consider taking up a new activity with one other person, or choosing something you can do on your own. If you spend most of your time alone, but would like to be more involved socially, can you think of activities that will bring you around people, but that will not be overwhelming? You might join a walking group, for instance, or take a class.\n\nBeing comfortable in your own skin is one of life's greatest challenges, and rewards\u2014as Chapter 5, on self-acceptance, describes. As in other areas, your mindfulness skills will help you achieve a clear perspective to guide you in assessing and navigating your social life. Being able to recognize when you are expecting the impossible from yourself or beating yourself up for not meeting arbitrary standards is a skill you can develop. And, of course, being true to yourself does not mean hurting other people in order to satisfy your newly realized emotions. Just because you have decided it is time to assert yourself does not justify offloading against friends, relatives, or the smoothie clerk (as Steve Jobs often did).\n\n_Appreciating others' successes_\n\nWhen Warren was in the first grade, he started taking Kung Fu with a group of other kids his age. A few times a year some members of the class who excelled at a particular level would be elevated a rank, in the company of their classmates, who would then shake hands and bow to the kids who had received this honor. Warren was always thrilled when he was up for a new rank, but felt destroyed and despondent when other kids would elevate. He couldn't see that other kids' elevation was not a personal insult directed at him or a put-down of his abilities. Whenever he came sulking out of class after watching his classmates earn a new stripe on their belts, Warren's mother would ask him how he would feel if the other kids responded as grudgingly when it was his turn to elevate. \"Do you want them to be happy for you or mad at you?\" After continuing in his Kung Fu for a few more years, Warren's perspective gradually changed. Watching his peers progress according to their skills, while he continued to move up as well, allowed him to genuinely appreciate being part of the celebration\u2014part of his community of classmates\u2014no matter who was receiving the honor. It taught him to recognize that his pace is his own, but also allowed him to view his friends' successes as inspiration and motivation.\n\nFeeling genuine joy for others' accomplishments in life is not natural to everyone\u2014maybe not to most people. Do you know the term _schadenfreude_? For many\u2014or most\u2014of us, taking delight in others' misfortunes makes us feel better about ourselves, since we judge ourselves by comparing our fates with others'. This is more true the less secure our own footing is. It takes an effort of will and a deliberate shift in perspective to turn your focus away from yourself and toward someone else in a positive way. One of our national pastimes is to invade celebrities' lives, following them around with a microscope, picking their lives apart in minute detail: their wardrobe choices, their bodies, their relationships. Clearly, this satisfies some collective urge to bring others low, even if they have no relationship to us. It's also something we do to each other on a personal level, as when we direct resentment or spread gossip about people who seem to have something we don't, or feel jealousy rather than joy at a co-worker's wedding announcement or promotion.\n\nNot only do these practices diminish your sense of well-being and integrity, they also shift your attention from your accomplishments and strengths. On the one hand, worrying about other people's successes and failures really has no consequences for\u2014and may actually impede\u2014getting into the swing of your own life. Furthermore, being able to celebrate and respect others for what they have or what they are doing\u2014or, alternately, feeling compassion when they fail\u2014connects you to people in a positive way. Anything that enhances your feeling of community, of belonging, is good for you. Just as they did for young Warren, others' accomplishments can inspire and motivate you.\n\nBoundary Setting\n\n_Respecting boundaries\u2014yours and others'_\n\nThe notion of maintaining one's boundaries hit the mainstream a long time ago, but its meaning can be vague and self-serving. For some, it means taking an uncompromising stand or putting yourself first in all circumstances; for others, it means learning to say \"no\"\u2014important, but still just one part of the picture. Respecting boundaries requires you to know your own limits, and also to know whether it's appropriate to be flexible or to stand firm. It also means recognizing and respecting others' boundaries, without taking their limits as personal affronts. You deserve to be treated respectfully, whatever your quirks, and it is your job\u2014no one else's\u2014to make sure others don't demean or discount you. The converse requires that you don't pressure others to act outside their comfort zone\u2014even when you believe it may be best for them. Here are a few basic elements in respecting boundaries:\n\n\u2022 **Defining your boundaries:** What lines won't you cross? For example, will you never drink or smoke or take drugs in front of your parents or your child? Equally important in setting boundaries is what you will refuse to allow others to do to you, or even in your presence. Actions, activities, or behaviors that make you uncomfortable or that you will not tolerate from other people because they compromise your values or detract from your quality of life form such boundaries. If you have friends who indulge in malicious gossip about other members of your circle, perhaps you think they are behaving badly. But you can get caught up in the moment and listen or participate, despite your unease. Setting your boundaries in cases like this can be difficult because you fear rejection from your friends, perhaps becoming the next topic of conversation. How might you draw a line so as not to violate your values in a situation like this?\n\n\u2022 **Knowing how to be flexible without violating your values:** Can you make exceptions to your rules, if, for instance, it would serve a higher purpose? Can you do so without feeling undermined? Other types of boundaries include how you respond to requests (or demands) from others. Suppose you have a family member whom you love, but who has consistently taken advantage of you, and lately you have steadfastly denied her requests. She is currently in need of help. You have values in conflict: On one hand, you want to avoid feeling used; yet you feel her suffering. Can you think of ways you might help her without compromising your integrity, perhaps by imposing clear limits on, or conditions for, your help?\n\n\u2022 **Effectively and respectfully communicating your boundaries:** Are you able to tell people directly when their behavior violates your boundaries? Can you do so before you are feeling helpless or angry? Are you afraid of what will happen if you draw a line in the sand? What if a friend ignores crosswalks and sends pedestrians scurrying while you, as a bicyclist, are hypersensitive about respecting people who aren't in cars and trucks? Are you sure to mention to your friend that you feel they are doing something wrong? How sternly should you make your point? Should you refuse to drive with them if they keep it up; to stop dealing with them altogether? What if a friend talks to counter servers\u2014or to his or her children, for that matter\u2014in a disrespectful way? Will you bring it up to your friend? If so, immediately or later? How will you introduce the topic?\n\n\u2022 **Being clear about the consequences of violating your boundaries:** Clearly communicating your boundaries is part of the broader question: How will you respond if someone violates your boundaries? Are you clear with yourself and others about those consequences? Will you follow through? Children are perhaps the most skillful boundary pushers on earth: Say you are at the store with your child, who is making your shopping trip impossible by begging and crying for toys and candy. And you respond by alternately pleading for cooperation, issuing threats, and giving in. Now, imagine telling your child, before you enter the store, that if they begin whining and pleading, you will pick them up, walk out of the store, and give them a time-out at home. And imagine actually doing so, matter-of-factly, without losing your cool. You know that if you are consistent with your response, your child will learn quickly. Are there other areas of your life where this approach will serve you well? One that we discuss below, with CRAFT, involves children or spouses who violate the sanctity of the family or household through their drug use or drinking.\n\n\u2022 **Learning to reassess or redefine your boundaries based on experience:** What if you realize that a boundary you have been protecting is no longer relevant to you? Can you change or discard that boundary? Sometimes, for example, you feel that you must cut off contact with a person who has hurt you in the past, especially if you are vulnerable to being hurt by them again. A lot of healing and growth can happen over time (per Chapter 5, about children who come to or are considering forgiveness of parents who have neglected or abused them). You might find that, while there was a time when a certain person held some negative power over you, they no longer do. Whether or not they have changed or are remorseful, _you_ are no longer vulnerable to being hurt by them, or you have forgiven them. It might be time to reconsider your boundary, especially if you genuinely care about them or have other reasons to reconnect.\n\n\u2022 **Understanding that others deserve the same rights:** How do you respond when someone denies your request for help? In the first place, what are reasonable requests for you to make of your friends and family? When someone denies your request, your feelings will almost surely be hurt. However, can you also take a perspective that allows you to accept such decisions as not being a comment on your value to those you know and love, but more one based on their personal circumstances? In other words, can you remove yourself as the presumed primary factor in others' personal choices?\n\n_Standing up for yourself_\n\nThe best known, most often used method for respecting boundaries is assertiveness training, which teaches people to express their needs and preferences calmly, firmly, and respectfully. At one extreme is complete passivity and submissiveness, where a person makes no effort to be clear about his or her values or wishes. At the other extreme is open aggressiveness, where people impose their values and requirements on others with no regard for others' feelings, values, or needs. Assertiveness takes a constructive stance between these extremes.\n\nAssertiveness includes being able to give and receive feedback. When you feel that your boundaries are being violated, both in terms of your basic values and in your addictive areas, you need tools to allow you to tell others where your boundaries are and how they may be overstepping them. In doing so, you need to rely on communication\u2014or feedback\u2014skills. Here are key elements of giving people feedback about your boundaries:\n\n\u2022 Be specific about what you don't like and explain why you don't like it: that is, how it violates your boundaries or values.\n\n\u2022 Don't express anger or dislike toward the person\/people, but only at the behavior or the message of which you disapprove.\n\n\u2022 Reinforce your liking or love of the person or people (if this is true) to whom you are giving the feedback.\n\n\u2022 Describe what you need to take place in order to continue in the interaction\/relationship.\n\nOne further element in the feedback process is that you need to be able to accept and respond in the same vein to feedback others give you when you violate their values or overstep their boundaries. Suffice it to say, you want to be as open to their sincere expression of their concerns as you hope they will be to yours.\n\nBoundaries and Addiction Treatment\n\n_Helping others_\n\nBoundary maintenance is important when giving as well as receiving feedback. What if people don't respond to the wisdom you offer them? Can you respect that their expectations and desires may simply be different from yours? Or that they simply are not prepared to make changes, even when you may be right that these would be good for them? Of course, addiction often drives a person's relatives and friends around the bend, causing them to become more and more forceful in their demands, to the point of constraining the addict's options and behaviors. In the law, this is permissible when the person becomes a danger to themselves and\/or others. But in any but extreme circumstances, taking control of someone else's life out of their hands has serious implications, some of which you may never be able to reverse.\n\n_Boundary violations in addiction treatment_\n\nThe belief that addiction means that a person cannot control themselves, and that addictive behavior inevitably leads to decline, collapse, and ultimately death, has been used to justify all sorts of unwanted intrusions into people's lives. Taking this approach more often than not backfires and doesn't produce positive results. The hectoring that goes on in 12-step circles is considered sacred because its practitioners claim, \"We know what you are better than you do\" (remember that Rose, in Chapter 1, had this experience). Violating someone else's personal space and autonomy includes taking away their right to their own self-conception. After all, when people say, \"I don't believe I am a lifelong addict,\" they are far more often right than wrong\u2014especially when they are young. Yet young people are those most likely to receive such unrestrained\u2014even vicious\u2014attacks on their own self-definitions and wills. Tough Love is one example of unrestrained boundaries in the addiction treatment industry that has been shown to do much more harm than good, both with adolescents and with adults.\n\n_Accepting those close to you_\n\nWhen someone close to you is self-destructive, you naturally want to help. Presenting people you love with ultimatums or cutting them out of your life completely can go against your most life-affirming instincts. That is not to say that there are not times when you must do so. As we have seen, people are often acting in some sense of their own interest by pursuing addictive gratifications and, for some, this may be the best they are capable of at the time. Ultimately, most become clear about better ways to find satisfaction and get what they need from life. In the meantime, whether or not you decide to close the door on a relationship requires you to prioritize your values and to know yourself and what you can live with. It is an extreme scenario, one that requires you to maintain your boundaries\u2014say, with a child or a spouse\u2014in day-to-day life, as described above. This means:\n\n\u2022 Accepting the people and situations into your life that bring you fulfillment and satisfaction, even if they are difficult or challenging.\n\n\u2022 Excluding the people and situations that detract from or compromise your priorities, or that do you or your loved ones actual harm.\n\n\u2022 When there is no simple answer, moderating or accommodating your demands, but withdrawing as required at particular moments, in a way that allows you to maintain your integrity.\n\nEffective Therapies\n\n_Community reinforcement and family training (CRAFT)_\n\n_Recover!_ tells you that you can get over an addiction on your own, as most people do. It offers you information in a non-technical form that you can use yourself and in the service of others. Yet, some people don't get better, or at least at the pace you need them to in order for you to be content in your own life and on their behalf. What do you do when a family member's or loved one's addiction is disturbing, disrupting, or hurting you and the rest of the family? The alternatives include trying to be as helpful as you can be or, if you're in a position to do so, to help or encourage the person to find an effective treatment.\n\nI have interspersed in this chapter references to cognitive-behavioral therapy techniques. One such resource is called Community Reinforcement and Family Training, or CRAFT, which is an extension of the Community Reinforcement Approach (CRA) described above. As with other such techniques, I review CRAFT in _Truth_ and _Tools_. Here I describe its basic concepts. CRAFT is a way of applying behavioral reinforcement techniques within a family context. It aims to teach spouses and parents how to (1) protect themselves and other family members, particularly children, and (2) encourage addicted family members to seek needed help for themselves. CRAFT's elements are simply extensions of the boundary principles already discussed:\n\n\u2022 Be clear on your own boundaries, needs, and self-protection. Make these limits crystal clear to an addicted family member, and allow them to participate in the family so long as they observe these boundaries.\n\n\u2022 Be prepared to expel the family member\u2014either temporarily or for a longer duration\u2014when they refuse, or fail, to honor the boundaries.\n\n\u2022 Access and make the family member aware of help they can seek (for example, therapy) in order to help themselves and potentially reenter the family context.\n\nOne form of addiction treatment you may be aware of from television is interventions, in which severely addicted people are confronted with an absolute need to seek treatment\u2014which they are then forced into. Judging from the great successes TV portrays, you might wonder why every addict in the world isn't simply coerced to attend treatment as these fortunate souls were. Well, aside from the violations of personal integrity and potential legal violations I have discussed, these interventions simply don't work well (which is often apparent even in the shows that promote them). One of the best known of these, _Celebrity Rehab_ , administered by Dr. Drew Pinsky, attracted a lot of negative attention when Mindy McCready became the fifth of the show's alumni to die. Most people don't end up succeeding when they're forced into treatment (nearly always 12-step, of course). In fact, most don't even end up going. CRAFT is an alternative that has been shown superior for helping the addicted family member, whether or not treatment is ultimately involved.\n\n* * *\n\n**CASE:** Riva's boyfriend Glenn abused alcohol, and it often made him unreliable and ugly. They had a young child together. Riva's constant fear was that the boy would see\u2014or just sense\u2014Glenn's problem drinking, and that it would affect the boy both directly and indirectly. Yet she was reluctant to throw Glenn out of the home. For one thing, as the father of her child, she couldn't ever completely get rid of him.\n\nRiva went to a therapist who she heard was good in such situations. Together, they made a list of behaviors that Riva simply would no longer tolerate\u2014and she would lock Glenn out of the house when he did these\u2014getting a restraining order if necessary to do so.\n\nOn the other hand, Riva wanted to offer Glenn every chance to reenter their home and participate fully so long as he wasn't drinking (or drinking in an ugly manner). She and the therapist she saw also drew up a list of likely resources\u2014support groups, from AA to SMART Recovery, as well as potential counselors, men's groups, anger management classes, etc.\u2014for Glenn to access, if he thought these would help him meet the mark that Riva was now setting for him.\n\n* * *\n\n_Motivational interviewing_\n\nPerhaps the single most difficult skill discussed here is learning how to assist people without telling them what they should do. The first skill I trained all my counselors at my residential treatment center to use was a listening technique called \"motivational interviewing\" or \"motivational enhancement,\" as developed by William Miller and his colleagues. People don't respond when you instruct them on how to act\u2014even when they ask you to tell them exactly that. Instead, addiction clients\u2014like everybody\u2014react defensively when given such instructions, which, of course, people take to be criticisms. People argue back, even counterattack, thinking: \"They just don't understand me and my situation.\"\n\nAnd people\u2014you\u2014are right. No one can understand your needs, goals, and situation as you can; nor can you understand any other person's as well as they can. Therefore, as Miller and other researchers have shown, the best way to encourage the motivation to change\u2014and actual changes\u2014is to help people come to grips with their problems through their own thinking and motivational processes. You enable others to do this\u2014as I have discussed above\u2014by listening and with sympathetic, genuinely inquisitive questioning, a process called motivational interviewing (MI). MI is currently the most popular therapy technique in addiction circles. Just about every program claims to use it, even when it is the last thing counselors and the program believe in. As Anne Fletcher demonstrated in her book _Inside Rehab_ (Viking, 2013), addiction counselors and programs actually rarely use effective approaches like MI. Most such programs and counselors instead follow a top-down, dictatorial model. If they did use MI, they would have to permit the addict to pursue whichever path he or she feels is likely to work best, including moderation or harm reduction, as long as that is their preferred route (which they are therefore going to pursue anyhow).\n\nThe Questioning Exercise\n\nThe next time someone\u2014a friend or family member\u2014asks you for advice, tell them that before you can offer them any inputs, you first need to clarify their situation for yourself. Then question them. Some key elements you might cover are:\n\n\u2022 Information about the person: their backgrounds, experiences, current situation (job, family, emotional).\n\n\u2022 Only after establishing these personal foundations\u2014including your willingness and ability to listen sympathetically\u2014ask them to flesh out the problem that concerns them, whether addictive or otherwise.\n\n\u2022 During the course of the above, ask the person what is most important to them (family, work, health, self-determination, religion, whatever) and how this affects the problem\u2014and, specifically, why it makes them want to change (remember the case of Ozzie in Chapter 2, who decided to quit smoking when someone made him realize it directly opposed his union allegiance).\n\n\u2022 Without ever presenting your own views directly, work as best you can through your questioning to explore the person's expressed reasons for changing and the consequences they have experienced from their problem (addictive or otherwise), allowing them to make as many and as vivid connections as they can between what is important to them and the need for change.\n\nThis is the therapy that has most demonstrated its effectiveness in the case of addiction, and much else.\n\nMoving Forward\n\nThis chapter has given you a lot to digest. Take a moment to pause, reflect, meditate. When you're ready, we will move on and devote the next chapter to putting your skills and values into action and to achieving balance in your life through self-awareness and reframing your perspective on failure.\n\nCHAPTER 8\n\n_Embark_\n\nEquilibrium\u2014Proceeding on an even keel\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To develop a foundation of self-knowledge\n\n\u2022 To decide what to change and what to do now\n\n\u2022 To take first steps into your new life\n\n\u2022 To understand and prevent relapse\n\n**Purpose:** Preparing for a journey, while necessary, is a lot of work: charting your course, honing your skills, gathering your resources, anticipating challenges and troubled waters. It's possible to spend a lifetime planning and arranging and waiting for the perfect moment to shove off. Ultimately, there is no perfect time, and no amount of preparation can be as valuable to you as the lessons you learn and the skills you develop by actually doing. This chapter is devoted to encouraging you to set sail and guiding you through some of the early demands on you and rough patches that may shake your resolve. Above all, you want to keep your forward motion, which requires\u2014and also helps you maintain\u2014your balance. This requires sharpening your self-knowledge or awareness, so that you can make deliberate choices based on your priorities; acting decisively on the decisions you make; and being able to maintain your larger perspective through failure and relapse by treating them as information to learn from.\n\n* * *\n\nSelf-Knowledge and Personal Choice\n\nLearning about yourself\u2014developing insights into who you are, what you want, how you function\u2014is self-knowledge (or self-awareness). Self-knowledge is a critical skill in fighting addiction. There is no one approach to overcoming addiction, and The PERFECT Program is designed to help you discover a path that honors your heart, values, and personal choices. Your goal is not simply to quit your addiction, but to make addiction impossible by replacing it with a path of your own design that is true to you. Knowing yourself, your strengths and passions as well as your vulnerabilities and areas of self-deception, is essential both for making on-the-spot decisions and for completing your long-term goals. Self-knowledge is the engine of free will; it allows you to understand your motivations and then to make decisions consciously and deliberately, with your purpose in mind. Addiction generates a massive blind spot, preventing you from seeing beyond its own immediate satisfaction. Whether or not you have been addicted to anything, you surely have witnessed the results of this blind spot in other people. Perhaps you have even expressed frustration and incredulity over their unwillingness to see what is so clear to everyone else: \"Why doesn't she leave him?\" \"What was he thinking when he did that?\" \"How could she leave her kids alone?\" \"Who does such a thing?\" And, maybe you offer a concession to your own blind spot, \"I have my moments, but I'd _never_ go that far.\" You probably _wouldn't_ go that far, and you know yourself well enough to make that assertion.\n\n* * *\n\n**CASE:** Liam is strikingly handsome\u2014compelling in a rakish, movie-star kind of way. He is also a long-term alcoholic. His friends (of whom there are few) and acquaintances commonly refer to him as \"a drunk\"\u2014if not worse. \"Drunk\" is a harsh term, but the images it conjures are apt for this person. Liam is, it seems to everyone, a lost cause. Insufferable and obnoxious, he blows the fuse on everyone's last nerve and has been banned from almost every bar in town. He wears out his welcome almost instantly by telling racist and sexist jokes, making rude observations about other patrons, and\u2014like the classic drunk\u2014spilling his drinks and falling off his stool.\n\nAlthough Liam seemingly has no limits and no restraint, there are two things he will not do no matter how impaired he is: He will not drive drunk, and he will not cheat on his girlfriend (surprisingly, Liam does indeed have a longtime girlfriend).\n\n* * *\n\nLiam's personal taboos\u2014few in number as they may be\u2014are deeply ingrained in him. They spring from genuine values: his sense of loyalty to his companion and his unwillingness to chance hurting or killing someone. No matter how wasted he may be and no matter how many bridges he burns or people he offends, he is incapable of giving himself permission to cross those certain lines. The converse of Liam's case is also true. Excusing poor behavior by blaming it on addiction is one of the ways that addiction blinds\u2014or deludes\u2014us. After reading Liam's story, you might say, for instance, \"Okay, so maybe I drive occasionally when I'm high, but I'd never tell a racist or sexist joke no matter how messed up I get.\" If you had a similar thought, ask yourself this question: \"How is it that, no matter how impaired I am, I will never do one thing, but can still find an excuse to do the other?\" It's really rather remarkable, when you think about it.\n\nConsider, for example, someone who is prone to flying into rages. He's unpredictable, and people walk on eggshells around him, never sure what will set him off or when he will throw a tantrum. When this guy loses it, he screams obscenities, slams doors, stomps around, menacing and invading others' personal space. He might throw something across the room or turn over a piece of furniture or put his fist into the wall. When it's all over with, he always feels ashamed of himself and excuses his behavior by saying that he was so angry that he lost control. If you were brave, you could ask him at this point, \"If you're so out of control, how come you haven't killed anyone yet?\" Think about it like this: even when this loose cannon is in a blind rage, he is always able to prevent himself from taking his behavior to the point of no return. From where does that self-control and will come?\n\nThis example and Liam's case are both extreme and disturbing scenarios. I have included them here to demonstrate that everyone\u2014no matter how far gone\u2014has standards and lines they will not cross. The taboos they have established for themselves spring directly from their personal priorities. But the converse is also true. Say you do things that you feel violate your true value system as a result of your addiction, such as cheat on your partner while drunk, gamble away your children's college fund, or skip work to play World of Warcraft. It's a difficult pill to swallow\u2014but you would not do these things if you did not give yourself permission to.\n\nSelf-knowledge is a lifelong process of discovery. Shedding light on your motivations requires you to bring your self-acceptance practice to bear on everything you learn about yourself. You might find that you have certain positive priorities that you always honor. Say, for instance, you haven't yet quit smoking, but you never smoke in the house or in front of children. Or, although you have a serious drinking problem, you never drink too much while with your parents. Clearly, your commitment to your family is key and inviolable. But you may find that other values you hold dear are more easily shunted to the wayside\u2014your own health, for instance.\n\nTo continue with the example of the smoker, let's say there are a couple of value systems in conflict within you. Smoking provides you with some alone time, helps you focus on your work, and makes you feel productive. At the same time, you know that you're putting your health at risk through your smoking and thereby endangering your family's well-being. How do you reconcile this? When you allow yourself to see that you have a conflict of values, you are in a position to make some decisions, to act on your primary motivations. Rage-aholics who are able to control their behavior despite being consumed by anger seem to do so in unplanned ways. That is, they don't deliberate about which acts of violence they will commit. They're acting on autopilot. Self-knowledge allows you to shine light on the motivations behind these choices, hidden somewhere within you, so that you can make your decisions intentional ones.\n\nHere are exercises and practices that will help you become more self-aware:\n\n**BE PRESENT:** As I discussed in Chapter 4, we all experience moments of grace, in which we hear from our inner self. Rather than waiting for these moments to arise spontaneously, call them forth deliberately. Whenever it occurs to you\u2014perhaps set a chime on your cell phone as a reminder a few times a day or choose a regular time every day, say, when you're in the shower\u2014to stop what you're doing for a couple of minutes and bring your attention into the present moment and to all your senses. What are you doing at the moment? How is your posture? What is the quality of light in the room or outside? What are the objects that surround you? What do you hear? Smell? Do you have any aches or pains? What is your mood? You don't have to write anything down. Just notice, and bring yourself as fully into the present as possible.\n\n**MOVE:** If you are a physically active person, employ the same \"Being present\" exercise when you are engaged in an activity. Bring your full attention to your body's movements. Alternately, find a physical activity that you are unfamiliar with\u2014say, learn a new dance or take a yoga class\u2014and as you're learning new, awkward-feeling moves, take a moment to bring your attention to these unfamiliar physical sensations. If you are not physically active, carve out some time during your day to walk or stretch or swim. When you are engaged in the activity you choose, focus your awareness on your body and movements. If you are walking, for example, pay attention to your steps\u2014how the ground feels under your feet, how your muscles feel when moving.\n\n**LISTEN:** When you are engaged in a conversation with another person, practice intentional curiosity. Take the time to focus your attention on what your companion is saying and respond only with relevant questions or with acknowledgment that you have heard\u2014put your own input and desire to express opinions on the back burner (remember motivational enhancement?). This is especially powerful when you converse with a child and focus on his or her mind and world. Do you notice any discomfort in forcing yourself to listen? If so, can you describe what that feels like? How does it feel to keep your opinions to yourself? Why do you think you experience this discomfort?\n\n**HOW DO OTHERS SEE YOU?:** Choose three people in your life. They don't all have to be close to you. You might choose your spouse, a close friend, your boss or employees, your neighbor, your roommate, your mother. In your Personal Journal, compose a picture of yourself through each of their eyes. Do you believe they see you accurately? Do different facets of your character present themselves depending on whom you're with? Keep in mind that this is fine: It's usual that you treat different people differently\u2014like your spouse and your parent. If, for instance, you find yourself patient with one person but short and irritated with another, remember that these are simply facets of yourself. You are not being dishonest or fake just because you behave differently with different people. Self-acceptance (Chapter 5) is key here. On the other hand, when you bring this difference into mindful self-awareness, you might ask whether you want it to persist. _Should_ you be as patient with one person with whom you are short-tempered as another with whom you display greater tolerance? This is a trait you obviously are capable of expressing\u2014should you use it more readily?\n\n**WHAT ARE YOUR STRENGTHS AND VULNERABILITIES?** In your journal, make a list of the areas of your life in which you excel or have excelled in the past. Then make a list of areas of your life where you feel vulnerable. If you have trouble making this list, ask for help from someone you trust. In fact, even if you don't have trouble, you might benefit from doing this exercise with someone you trust. They may provide a more realistic, objective perspective on your answers. If you choose to do this exercise with a companion, note the areas of disagreement.\n\nShoving Off\n\nThe overarching goal of The PERFECT Program is to reach the point where you can lift your sails, free from addiction, and embark on your real life's journey. The skills you have been learning will help you achieve the balance necessary to head off into the sunset, rather than to keep you moored to a program, a label, or a prescribed way of life\u2014whether that be \"addiction\" or \"recovery.\" It's time to take that step, like the tightrope walker Philippe Petit, depicted in the film _Man on Wire_ , taking his first step onto the wire spanning the two World Trade Center towers. (Well, your step is not _quite_ that daring.) After all the work you have done, it's time to put what you've learned into play. Let's start by navigating out of the rocky, sometimes perilous port you've been anchored in.\n\nYou have identified a vision for your life and have defined some goals\u2014it's time to take some decisive steps, make some real moves. In the previous chapters, you gathered and organized everything that is important to you, the things that bring value, purpose, and meaning to your life, and you made some decisions about where you need some life-management support and skills training. Now, you can bring these elements into present actions. You have thought about life changes you want to make: some monumental or frightening, like leaving a relationship or tackling your debts, and some more gentle and exciting, like starting a garden or going back to college. Regardless of whether your current goals are difficult or simple to activate, getting started\u2014taking that first step off your secure mooring\u2014can be daunting.\n\nWe have a tendency to think there is some magic moment in the future when we will be the person we think we should be. Everything must be right in some mystical, undefined way before we can fully exist, as if a square on the calendar held some transformative power: We'll start on Monday. We'll wait until after the holidays. We will wake up a completely different person on New Year's Day. Of course, it can be helpful to pick a date to start making significant changes or to create a new project. If you find that works for you, by all means, get out your calendar and mark it off. At the same time, there is nothing stopping you from making smaller corrections to your course, based on the goals you have set for yourself, this day\u2014this hour. You are here, now, and you can start right where you stand.\n\nBegin by deciding and committing to what is immediately doable and essential\u2014that is, what you can and want to introduce into your life _today_ \u2014and beginning to do so. (Exercising regularly, for instance, or doing yoga or meditating.) Next, you will focus on your long-term goals and what you need to do to achieve them. (Going to school, acquiring a new skill, forging intimate relationships with family members, friends, or people as yet unknown.) Finally, you will approach the monumental life changes you want to make and decide on some strategies for setting these in motion. (Moving, forming a partnership, getting divorced, having a child, changing careers.)\n\nYou have identified important goals you want to pursue and have decided how you want to approach overcoming your addiction in a way that works for you, based on your values and preferences and your exposure to the ways people overcome addiction, as described in Chapter 2 and throughout this book. Now let's prioritize your necessary steps, starting with things to be addressed immediately\u2014including, of course, your addiction. You may also need to deal quickly with concerns around your family, health, or work. One way to decide what to do now is to address the things that will create chaos if you wait any longer.\n\nYou may also want to start to do simple things that will enhance your quality of life\u2014like keeping your residence clean and organized. Think of those things also that you'd like to adopt into your life, like exercise or other wholesome activities. In terms of larger goals, consider your education, career, and perhaps social and family life. And, finally, you may have some serious changes to make to your living situation that may require you to shore up your resources (both financial and emotional), to seek legal counsel, or to venture into territory that is overwhelmingly unfamiliar, such as striking out on your own for the first time. Use your Goals Worksheets to help guide you.\n\n**IMMEDIATE:** In your PERFECT Journal, list the changes you intend to make now and describe the consequences for you if you do not. Consider how you will implement these changes\u2014break them down into smaller steps and prioritize them. Then make a commitment to yourself by scheduling these things on your calendar. For instance, if you must see a dentist because you are in pain, commit to a time to make the phone call and set the appointment. Similarly, if you plan to go cold turkey on your addiction, commit to it on your calendar. If you are delinquent on your bills and risk being shut off or going to collections, contact your creditors. Get started now, and keep close track of whatever you do to further your goals. Do not forget to make note of how it makes you feel to tick these tasks off your list. If you find yourself overwhelmed by the number of tasks you have set for yourself, go back and reprioritize.\n\n**INTERMEDIATE:** List in your PERFECT Journal those things you want to bring into your life, and begin setting a sensible schedule for implementing them. You may need to do some research to accomplish this. If so, schedule time for that work. As you did with your immediate plans, make commitments, follow through, and check off their accomplishment. Keep track of your activities and how it makes you feel to pursue these things. In your Personal Journal, if you find that you have lost interest, or that something you have included on your list doesn't live up to your expectations, explore those feelings and ask yourself whether your plans were true to you, why you were wrong in thinking they were, or if there is another reason you have abandoned them.\n\n**MAJOR CHANGES:** If you are experiencing impending or current major upheavals in your life, you may have a lot of planning to do and hard decisions to make. It could be that making a major change is imperative; it must take top priority and so also becomes an immediate need, albeit a potentially life-altering one. If you are in an abusive or destructive domestic situation or, say, your house is in foreclosure or you are in a serious legal bind, you must focus on this right away. In this case, you may need to find some community, therapeutic, or governmental resources to help you take control of your situation and prioritize the tasks required in order to make changes\u2014or simply to cope with your situation. Use your goal-setting tools and begin taking the steps you need to take to see this through. Chapter 10, about triaging, provides you with lists of resources for difficult or unfamiliar situations.\n\nIf the major changes you'd like to make are less emergent\u2014say, a long-coming divorce or a residential move, buying a house, having a child\u2014you can begin to prepare yourself in less dramatic ways. Meanwhile, focus steadily on your addiction and wellness goals so that you are in a stronger position to navigate the inevitable frustrations and surprises that come with tackling your major life goals\u2014put simply, you can't have children or launch a new career while getting drunk daily or having other unaddressed psychological and health issues.\n\nGetting Straight\n\nIn the early stages of leaving an addiction, you may have a lot to put in order\u2014many things to remedy and take care of\u2014before you can feel fairly secure in your recovery. The most prominent single finding from Baumeister's research on willpower is that you develop that muscle\u2014become capable of self-regulation\u2014the more you practice it throughout your life.\n\n_Honoring your commitments_\n\nYou may have to clear up quite a bit of baggage and debris following your emergence from addiction. After dropping a lot of balls and sacrificing much to your addiction, correcting your course is not about making up to particular individuals (see Chapter 5, on forgiveness), but about establishing yourself as a worthwhile, dependable person. Doing what you say you're going to do creates a secure identity, both in your mind and the minds of others, and a feeling of having a firm place in your community and the world. Part of making and keeping legitimate commitments is being able to recognize when you are over-committing or making promises that you simply cannot keep just to maintain some peace in the moment or to make someone feel good. If you generally have trouble following through on your promises, here are a couple of approaches to enhancing this skill and value:\n\n\u2022 Don't make commitments impulsively, even if someone is pressing you for an answer or it sounds like fun. Take the time to see whether it will fit into your schedule, whether it is something you find important, or whether it will compromise other, more important commitments you have made.\n\n\u2022 Practice making and keeping commitments in small ways. Start by, say, scheduling a task and doing it during the time you set for yourself. Find an event that interests you and commit yourself to attending.\n\nHonoring your commitments to yourself is a major value to cultivate\u2014an essential element of mindfulness, self-knowledge, and overall fulfillment.\n\n_Domestic space_\n\nMoving from your existential place in the world to the most physical space you occupy, having a living space that provides comfort and sanctuary will contribute greatly to your peace of mind. You must decide for yourself what that looks and feels like for you. That might entail putting your kitchen in order so that you can cook meals, or it might mean decluttering your entryway. You might like to have a home that could be featured in _Better Homes and Gardens_ , but a more realistic and satisfying target for you may be to avoid a pile of dishes or food rotting in your sink and to sleep on clean sheets. You may be someone who can't rest unless everything is in its place, or you may find that puttering around your house each morning completing small household tasks is calming. Whatever your inclination, start following through on it. Your Goals Worksheet enables you to identify key areas to focus on\u2014begin there. Here are some ideas and resources that may help you get going:\n\n_Getting help and exploring resources:_ You may be in a position to hire a home organization expert or a cleaning service to come in and do a deep clean. Don't be reluctant to do so because you're embarrassed by whatever mess you have. They've seen it all. (Which I, as an addiction therapist, might also say\u2014in case you need to consult someone like me.) You can also enlist a good friend to come in and help (as described in Chapter 7). Another option is to seek out a local co-op group, or start one yourself, of people who all meet at one member's house on the weekend and work together to tackle the domestic chores.\n\n_Accountability:_ Free online resources can provide you with accountability and direction. Here are some websites that you might find useful: Flylady. net is a coaching resource that helps you prioritize your household tasks. Rememberthemilk.com is a task manager, which you can use online or as an app for your phone. Do some exploring; see if you can find other resources with a built-in community of people who are working toward the same goal.\n\nSocial Skills: Creating Community and Intimacy\n\n_Community_\n\nOur communities consist of our families, living mates, neighbors, social networks, co-workers, activity partners, church congregations, towns and cities. Nothing enhances our sense of purpose, of belonging on earth, of meaning, of contentment more than does feeling part of a community. This is fundamental to the human condition, and the general loss of community in modern culture is a severe blow to all our humanity\u2014as well as being a major cause of addiction. Addicted people tend to form pseudo-communities around their addictions (think again of Rose in Chapter 1), and often their fear of losing that pseudo-community is a strong component in maintaining an addiction. That is, people fear they will be lonely if they are deprived of their addiction mates. Conversely, forming positive communities is a strong antidote to addiction and is even used as a form of treatment, social network therapy, as described in Chapter 7. Reconnecting with such non-addiction-focused, real-world groups in meaningful ways will bring you a deeper and more satisfying sense of belonging than addiction ever can.\n\n**EXERCISE:** In your journal, compose a list of the communities you are involved in or touch upon. Acknowledge your connections to the world. Make another list of some others you would like to be part of. Depending on your personality, you may want to limit yourself pretty much to family or a close social circle, and your neighborhood; or you may want to involve yourself in a number of different areas involving special interests you have or want to pursue. Imagine how you would participate in these groups, and then ask yourself if it is realistic to make the commitment. Complete a Goals Worksheet to help you prioritize and decide what steps to take to find and join such communities.\n\n_Making friends_\n\nJoining communities has much in common with making friends\u2014finding compatible and accessible people with whom to spend time, share interests, and perhaps develop deeper feelings and relationships\u2014up to and including love. People\u2014as we discussed in the last chapter\u2014have different degrees of sociability, of skill at and tolerance for interacting with others, of enjoying time alone. But it's fair to say that everybody needs some degree of skill at both being alone and being with others. A free life can't be lived without some version of both traits. If you can never be alone, then you can never be at ease and must always desperately seek out contact\u2014for better or for worse (see the case below). If you can't spend some time with and interact with people, then you can be shut into yourself\u2014sentenced to aloneness that is a kind of addiction.\n\nThe short answer to how to be able to live both parts of yourself is\u2014as with nearly everything in this book\u2014practice. Schedule time to spend by yourself\u2014something you must, of course, do when you are meditating. Reading, listening to music, walking, being with a pet\u2014all of those do count (the PERFECT Program is very open-minded). Watching television counts if you do it purposefully, because you are specifically watching something you enjoy for reasons you know. And schedule time to interact with others. This may mean going to one of the groups you described in the previous section. Or it may mean calling and speaking with, or arranging to visit or meet, an old friend, a relation, or someone you'd like to get to know\u2014for any reason whatsoever. It is a mark of our times\u2014and it is not a good mark\u2014that actual contact with people, even so much as talking by phone, is becoming a relic of the past. Nothing against e-mails and iPads, but we can't do without human contact.\n\n* * *\n\n**CASE:** Isaac had been a good student. But when he arrived at his large, well-regarded high school, he suddenly seemed intimidated. And so, for most of his first semester, he walked around the school as though he were in a penitentiary. Of course, Isaac's parents\u2014Rachel and Bob\u2014were worried. And, so, when he returned home one day with a smile and said he had lunch with a few kids, one of whom he liked especially, his parents were glad.\n\nBut it turned out that this outsider's group was heavily immersed in drugs. Thus followed four years of hell for Isaac's parents, ending when they used a large part of their life savings to send Isaac to a residential treatment program. The program seemed like a good one, although Rachel and Bob questioned some aspects of it. Was it really true that Isaac had inherited a disease and that he could never drink (let alone take drugs) for the rest of his life? After all, he was only nineteen. Moreover, when he graduated the three-month program, he was sent to a residence. But in many ways the kids in this group were a lot like those he was with in high school, only now supposedly recovering.\n\n* * *\n\nBut what most worried Rachel and Bob was that, as they kept up with the parents of the other kids they met in treatment and the group home, nearly all of their children had relapsed. How is that possible, Bob asked Rachel, after they learned so much and did so well interacting with one another in treatment and the halfway house? What had occurred, of course, is that they had simply fit in again with their substance-abusing peer groups as soon as they returned home.\n\nThe crucial issue at every point in Isaac's story is how easily he formed relationships, with whom he did so, and in what direction the friends he made pulled him. Isaac's story is about the centrality of friendship formation and dealing with others in addiction and recovery. Learning social skills like those in the previous chapter in order to meet diverse and healthy individuals is an essential element of an addiction-free life.\n\n_Intimacy, love, and addiction_\n\nLove is one of those large goals that an awful lot of people pursue\u2014and that an awful lot attain in one or more forms (including spouses, friends, and children). But it's no sure thing, and\u2014depending on how far you are starting behind in your life\u2014it may take you some time to acquire and assemble these resources. They then become the building blocks outlined in this chapter and the rest of _Recover!_ for forming truly satisfying relationships. This is because love\u2014as Archie Brodsky and I indicated in _Love and Addiction_ \u2014is built on the exact opposite foundation from an addiction. Addiction stems from the absence of connections to life and substitutes for such connections. Love flourishes best when you have the _most_ points of contact with the world, including other positive relationships. Addictive love relationships are most likely when you are desperately seeking emotional sustenance from other people while you haven't yet created the necessary basis for sharing such intense feelings by having a solid life in place.\n\nPractical Skills: Education, Work, Financial\n\n_Education and work_\n\nDon't assume that you have ruined the connections you have to every part of your life and every person in it because of your addiction. You may have hurt them but, often, many can still be rescued. I have offered several case studies of people who are successful at their jobs despite their addiction (of course, other areas of their lives suffer). So don't reject\u2014in anticipation of being rejected\u2014any parts of your life that have survived your addiction even as you work to improve them. For example, if you haven't been fired, don't quit your job out of guilt.\n\nHowever, for many, keeping a job or pursuing an education has fallen by the wayside. If you're in that category, you may be wondering where to start\u2014and completing your Goals Worksheet leaves you feeling lost. How do you set realistic goals for yourself when you feel so far behind or so far out of your element that you can't even be sure what your real options are? Do you know how to look for and apply for a job, what courses to take at school, how you will pay for these courses, or what degree suits you best?\n\n* * *\n\n**CASE:** Thomas had been smoking pot regularly for so long that all he could do was sell the drug to others as a way of getting by. He had once been a quite capable computer programmer. But he was long past the point of feeling up-to-date with writing code, the Internet, and information technology skills. Whenever he considered quitting smoking grass, he was confronted with the enormity of the barriers separating him from the real work world. How could he _begin_ to reengage?\n\n* * *\n\nOf course, Thomas had once been able to obtain jobs in information technology. As always, getting started\u2014or restarted\u2014is intimidating. You may imagine the barriers as higher than they are. In any case, there is no alternative other than to begin. Thomas began taking online courses, which are readily available and accessible. As he settled into doing course exercises, he saw that his old skills were still relevant; he even compared favorably with others taking the courses, according to the published grade curves. In a short time, he was applying for jobs (albeit having to fashion crafty explanations for the gaps in his resume\u2014fortunately, he had never been arrested). The process wasn't dramatic, and Thomas wasn't where he would have been if he hadn't devoted several years to his drug of choice. But, then, life is a process, always beginning with now.\n\nFor specific practical suggestions for continuing or resuming your education, getting a better job, or starting a business, see Chapter 10, \"Triage.\"\n\n_Financial_\n\nMoney management can be enormously stressful, especially for those in the throes of an addiction who have allowed bills to pile up or who are avoiding calls from creditors or the IRS. Addictions are expensive habits that lead you to spend money you don't have\u2014especially if your addiction is gambling or shopping. Of course, the cost of liquor or cigarettes or street drugs also adds up, as does that for virtually every addiction. You may know about waking up in a panic over money in the middle of the night.\n\nBut no matter how painful it is to contemplate, this is an area you simply must get under control, because it will weigh you down until you do. Dealing with finances can be an unappetizing task if you are in debt or behind on your bills. As anxious as dealing with your finances makes you, however, worrying about your money when you don't have a handle on it is far worse. It is imperative that you know where your ground zero is. In this as in other areas of your life, you are able to address and fix only what you are able to see clearly.\n\nSo let's tackle finances and restore your peace of mind. Whatever the mess you have on your hands involves, you can pull yourself out of it and keep yourself out. Schedule time on your calendar to devote to this. When that time comes, shut off your phone, iPad, and so on, and then break this task down into a series of manageable mini-goals such as those outlined in Chapter 10, \"Triage.\" It's possible that you will have to explore bankruptcy. That's a big topic for which this book is not the right source of advice. But be aware of it as a possibility.\n\nPersonal Skills: Your Health and Well-Being\n\n_Self-care_\n\nSince addiction can cause you to disregard so many aspects of your life, your ability to care for yourself diligently may also have suffered. Personal hygiene is not just something you do to make yourself presentable to the world; it is something you do for you. Showering and brushing your teeth regularly, sleeping and eating well, getting dressed every morning, exercising, visiting the doctor, washing your clothes\u2014all are absolutely important. First, they foster a sense of self-respect and energy and help you develop wholesome habits. They engage you in acts of self-nurturance, which you deserve. They signal that you are ready to participate in your own life. If you have slacked off on your self-care practices, ask yourself how, and begin bringing these good habits back into your life.\n\n_Leisure pursuits_\n\nSince addiction takes up so much time and energy, you may have some time on your hands. Boredom, restlessness, aimlessness, and obsessive, intrusive thoughts can be powerful instigators of relapse, and not knowing what to do with yourself can be emotionally and morally excruciating. Do you remember a time in your life\u2014most likely in your childhood\u2014when you could lose yourself in play and creativity? Perhaps you\u2014alone or with friends\u2014were able to invent an elaborate pretend world, characters, and scenarios that kept you engrossed all day long! Recapturing this part of your life\u2014your creativity and sense of pure, free fun\u2014is as important to your life as it is for you to start bringing order to the chaos. When you have such a sense of joy, everything\u2014reading, walking and hiking, seeing people, being alone\u2014can open up to you. Pull out your Goals Worksheet and fill it in with activities that will spark your interests, sense of play, and feelings of accomplishment. You might include art, volunteering, spending time with your children or grandchildren, cooking, exercising, learning a new skill, taking a class, and on and on.\n\n_Spiritual or humanitarian_\n\nIf you practice a particular belief system or religion, or if you honor your place in the grand scheme of things as a member of the human race, consider giving your spiritual or belief system or humanitarian impulses a bigger place in your life. This investment will contribute greatly to your sense of purpose and community, infusing your life and actions with meaning. You may seek out a congregation that feels like a good fit for you, join a meditation group, or volunteer for a cause that you support, with the intention of building community around this important area of your life. Doing so\u2014especially if you lack family or community support\u2014will broaden your scope and give you a comforting sense of your place in the world.\n\n_Mental health_\n\nAs you begin to drill down into the areas of your life that need attention, you may become aware of underlying mental health issues. Perhaps you have already been diagnosed as having\u2014or believe that you may have\u2014bipolar disorder, anxiety, depression, post-traumatic stress disorder, or some other type of psychiatric condition or disorder. Not to minimize these disorders, it is safe to say that we all have some experience of them and other emotional conditions and trauma. As I described in Chapter 2 on addiction and recovery, emotional problems are both causes of and responses to addiction, while at the same time they are important issues for recovery. The good news is that many of the techniques and practices you are learning in The PERFECT Program are equally useful for combating these emotional problems or disorders. So, feelings that you've been masking with addiction may emerge in full force, but you are also developing positive and powerful ways of coping with them.\n\nHowever, just as with the case of seeking bankruptcy relief, there are matters that go beyond the scope of _Recover!_ 's aims. If you need help with serious emotional problems that haunt your ability not only to escape addiction, but also to live fruitfully, you should seek professional help. My approach is obviously consistent with cognitive-behavioral therapy (CBT) and pragmatically oriented counseling, and so I favor that type of treatment. In America today, it is hard to find such help in psychiatry, which is dominated by pharmaceutical treatments. _Recover!_ and The PERFECT Program don't generally go well with drug treatments, although they don't rule them out or disparage them\u2014as long as the medications are combined with counseling. Of course, the quality of the counseling remains a critical issue, and receiving good\u2014or even safe\u2014treatment is by no means guaranteed. In HMOs and other institutional care settings, the psychiatrist prescribes drugs while a psychologist or social worker provides CBT or supportive therapy. Sometimes\u2014too often\u2014supportive therapy simply permits venting that enables people's complaining and blaming others. Psychiatrists, meanwhile, are becoming less able\u2014both by training and due to economic constraints\u2014to practice any kind of psychotherapy.\n\nWhere therapy is provided\u2014whether by a psychologist, social worker, or other trained counselor or, occasionally, a psychiatrist\u2014the favored type is now CBT on the grounds that it addresses your problems directly and has been shown to be effective. Psychoanalytically oriented (\"talk\") therapy, on the other hand, is increasingly difficult to find or be reimbursed for. Feel free to explain what your perspective is and what you seek in exploring and entering any type of mental health relationship. And there is no way for you to eliminate your own critical decision making in deciding whether your therapy is being helpful.\n\nReframing Failure\n\nOnce you start taking deliberate steps to make things happen in your life and develop healthier habits of mind and action, you will certainly find yourself missing the mark on some of the goals you have set for yourself. In times like this, you might recall Woody Allen's famous dictum: \"Ninety percent of life is just showing up.\" To put this in the context of The PERFECT Program: \"showing up\" means that your conscious presence and awareness _is_ your success. Your engaged participation is all that's required, even if the results don't always measure up. You are now using the skills you've learned in the task of making broad and permanent changes in your life. But the key changes cannot be measured by how flawlessly you succeed at the things you set out to do. What's important is that you _made the decision_ to do them and _pursued your goals mindfully_ \u2014that is, intentionally, investing yourself in the process and keeping track of the results. What you're now doing is living your life.\n\nIncorporating the essential elements of your true self into your life is an exercise of your free will, which may have wilted from neglect. You are training your true self to take over for your addicted self, which will, ultimately, make addiction irrelevant. Developing any weak muscle can be painful and make you hyper-aware of the strength of your addiction. Imagine, for example, trying to write clearly and automatically with your non-dominant, or \"wrong,\" hand. The resulting awkwardness and sloppiness shout out to you that you could so easily switch back and just get it over with, resorting to the muscles (or habits) you relied on before. Embarking on your recovery process will bring similar moments of awkwardness and distress. You will feel tempted to resume familiar but destructive habits when you fail at your new efforts. Whether you do or you don't, you may judge yourself harshly. This self-punishment may feel correct, but ultimately it blocks your forward motion.\n\nFor example, say that one of your modest changes was to bring a new plant into your house, to give your environment a sense of vibrancy. But then your plant died because you didn't water or fertilize it properly. Your reaction might be brutal self-recrimination: \"I am such a loser; I can't even keep a plant alive. What's wrong with me?!\" But it's just going to happen sometimes that your best intentions won't pan out. While recognizing this, you needn't allow yourself to accept failure. Plan for failure and learn to reframe it with compassion: _This is not failure; it's information._ You'll do better the next time. Either that, or you're just not a plant person.\n\nWhen you reframe failure as information (or feedback), you maintain your sense of active engagement, control, and forward movement. If you walk into the gym for the first time and try to match the resistance the last person set on a machine, you probably will be unable to lift it. This could be embarrassing if anyone were looking (although no one is), but in any case it's not the end of the world. You don't leave the gym or give up or throw a tantrum (now _that_ people would notice). You simply get real about your abilities, adjust the weights accordingly, rest a bit, and then begin to become stronger gradually and sensibly. Similarly, if you make an attempt at something life-affirming and find that you are unable to see it through, take the opportunity to gather information about your blind spots and your unreal expectations. But always remain mindful of the purpose behind your attempt.\n\n**EXERCISE:** In your Personal Journal, think of a recent failure and write about it: What were you trying to accomplish? What went wrong? What do you think this says about you? Now, try to look at the scenario more objectively and compassionately: Were you trying to do something that requires habits not yet in your repertoire? Were you attempting to take on more responsibility than you could reasonably handle or fit into your schedule? Did you start at a place that turned out to be over your depth? Were there steps you missed? Situations you avoided? If so, why? If you were allowed a do-over, would you try this again? If not, why not? And if so, what would you do differently?\n\nDetour: Relapse!\n\nSpeaking of reframing failure, the subject of relapse is surely on your mind. It is not inevitable, but it happens. You can prepare for it both by anticipating and avoiding it and by developing techniques for righting your course after it happens. Relapse is a return to addictive behavior\u2014a backslide\u2014which occurs after a period of progress. The impact of relapse can be very demoralizing, making you feel as if you were back at square one, or a hopeless case. What causes it? How does it happen and why?\n\nAlan Marlatt began his research on relapse prevention by investigating what caused smokers, alcoholics, and heroin addicts to relapse. The standard interpretations were that (1) their withdrawal symptoms simply overcame them, or (2) in a conditioned response, people were exposed to stimuli associated with their former use, and this association created irresistible cravings to use. But when Marlatt actually questioned addicts, he found that they were unlikely to relapse when experiencing intense physical urges to use, as occur during the immediate withdrawal period. Rather, relapses were responses to negative emotions and conflicts that the study subjects previously may have used their addiction to address and that exceeded their abilities to manage without their addiction. Or else they relapsed when they entered a setting where they had used or were with people they had used with before.\n\nBased on these findings, Marlatt developed relapse prevention techniques to supplement environmental planning\u2014that is, staying away from \"bad\" places, people, and things. Relapse prevention focuses on people's coping mechanisms for dealing with stress (or even pleasure) in general, and specifically for addressing cravings to use that appear either randomly or in challenging emotional situations. Himself a longtime practitioner of meditation (to which he credited his remission from hypertension), Marlatt was moved to see whether and how meditation could be part of the cornucopia of techniques for combating relapse, including cravings. The results led in the direction we have picked up from Marlatt and other researchers and adapted and expanded for The PERFECT Program. Marlatt's work has always had a sound scientific basis. The value added through The PERFECT Program is to develop and tailor these techniques in ways that are personally and clinically useful, since Alan himself never wrote any popular guides for people to follow.\n\nSimply put, a relapse is triggered by imbalance. The situation at hand or the triggering event overwhelms your ability to cope while you are developing new skills, resources, and perspectives. Recalling the \"dominant hand\" analogy, in which your dominant hand represents your ingrained habits, imagine that you are diligently practicing handling all your daily tasks with your weaker hand. Despite the awkwardness, you are becoming more adept all the time. But one day, without warning, someone pitches a ball directly at your head. You instinctively reach out to grab the ball with your dominant hand.* That is just about how relapse works, and there are several scenarios and life events that might trigger it:\n\n\u2022 Stressful situations\n\n\u2022 Major or milestone events\n\n\u2022 Strong emotions, including anger and even joy\n\n\u2022 Unexpectedly powerful triggers that seem to arise out of the blue\n\n\u2022 Loneliness, boredom, anxiety, restlessness, hopelessness, or any other painful or difficult feelings\n\n\u2022 Being around people who undermine your goals\n\n\u2022 Romanticized memories of the benefits of using, while forgetting or downplaying the consequences\n\n\u2022 Unaddressed mental health concerns, such as depression, that require attention.\n\nCan you think of other relapse triggers?\n\n**EXERCISE:** In your PERFECT Journal, in the \"Triggers\" section (page 155), write down any situations that might trigger a relapse\u2014or that have in the past. Can you identify exactly how your skills, resources, and perspective were outmatched by the situation? What action could you have taken to prevent the relapse? Or what could you have done\/do to get yourself back on track?\n\n_Reframing relapse_\n\nAs in our discussion of failure, a relapse can provide you with a wealth of information you can use to continue down your path to wellness. If you experience a relapse, use it as an opportunity to increase your self-knowledge. Make note of everything that led up to it: your life circumstances, the triggers you experienced, the self-deception that you now recognize. You should ask yourself how you can avoid or improve the circumstances leading to relapse, or whether you ignored feelings welling up in you that signaled where you were heading. Did your decision to indulge make you feel as if you were doing something good for yourself, like loosening a noose around your neck? What benefit, exactly, were you seeking? What in your life represents the noose? Are there parts of your life that you have been ignoring while seeking to improve other areas? If so, what changes can you make in your situation that will relieve some of the burden you feel?\n\nYou are now engaged in truth seeking about your addiction\u2014where, when, and why it arises. Do your best to discover the truth. This is actually step one of mindfulness practice, recognizing and responding to cravings and other urges to resort to addictive behavior. If you have not yet been able to incorporate your mindfulness practice into your daily schedule, now is the time to make it a priority. Turn back to Chapter 4 to review your meditation and other techniques. This is a skill that will serve you enormously in relapse prevention, because it allows you to recognize and to ride out\u2014or to recuperate from\u2014uncomfortable feelings, like cravings, with the knowledge that they will pass. The practice of mindfulness will also expand your horizons, allowing you to identify the range of your options. Where before you might not have realized you had any choices, you now know there are a host of responses to insert between your urges and your addiction. Finally, continuing to exercise mindfulness in relapse prevention develops your ability to turn your attention where you choose to, away from triggers.\n\nThe central concept to keep in mind where relapse is concerned is that it is not failure. This means that, if you relapse, you aren't \"starting over.\" In fact, \"starting over\" has no real meaning. Twelve-step programs make a virtue of \"time.\" Members count their days\u2014even hours and minutes\u2014of \"sobriety.\" They require people to start their count over if they have a relapse. So, if you have been \"sober\" for five years and then have a beer one day, you're back at day one. I would say this was silly if it weren't so destructive. Please recall my discussion of \"hitting bottom\" in Chapter 4. Go beyond this superstitious, irrational way of thinking, one that has created such ineffective approaches to recovery.\n\n_Getting back on track_\n\nBelieving that you have completely and irreparably botched recovery is an example of the all-or-nothing perfectionist thinking that underlies addiction. It is clearly lacking in self-compassion. You always, always have the option to gather yourself and continue on your path. This is as open to you as\u2014in fact, it is more common than\u2014the AA-endorsed view that you have to throw in the towel. Even considering the latter as a possibility is wrong. At this point, you have the understanding, skills, resources, and perspective to make a conscious decision to continue on your path with mindfulness and self-regard. Remember Renee from Chapter 3, who, after six years' abstinence from alcohol, went into a bar, drank, got intoxicated, drove drunk, and lost her license, her job, and her husband? All of that was unnecessary. Even so, she quickly righted herself and didn't return to a life of drinking. By that point, recovery remained for her\u2014despite her bad decisions and choices\u2014the most relevant, easily accessed option in life.\n\nExercise: Relapse Moments of Truth\n\nAt times, you may be tempted to return to your addiction, when you have cravings\u2014even compulsions\u2014to use, say, when you are in an environment where you previously used, when you are vulnerable emotionally, when life has thrown you a number of challenges and defeats, or even sometimes triumphs and successes! How you deal with these moments determines your ability to navigate your recovery. Answer these questions in your PERFECT Journal:\n\n1. Describe three situations in which you are most likely to use.\n\n2. Visualize each situation and describe your feelings in it.\n\n3. Describe a strategy for each that you can rely on instead of using.\n\n4. Who would you call if you were thinking about using but wanted to resist? Why?\n\n5. Who would you call if you had been using but wanted to avoid further damage? Why?\n\nShould you discuss these roles with those individuals right away?\n\nI have emphasized the idea that every moment is an opportunity to make a good decision. In other words, just because you have taken a single step in the direction of a steep cliff, it doesn't mean that you are now required to take a running leap off the edge. This image opposes the 12-step or hijacked-brain notion that your misstep has propelled you off the cliff and your relapse is, like gravity, an irresistible force of nature. Relapsing after using is not like gravity. Your mindfulness skills will help you identify your moments of grace and give you the presence of mind to act on them at any point after the moment you veer off course so as to realign yourself with your values.\n\n* * *\n\n**CASE:** Martha, who has been battling an addiction to prescription painkillers, has recently decided to go cold turkey. She's had some difficult moments, but has been able to stay on track by keeping her focus on creating order out of chaos. That has brought her a great sense of fulfillment and peace of mind. One day, as she was in the middle of cleaning a hallway closet that she had been using to stow all sorts of unusable junk, she was overcome by a seemingly random urge to stop what she was doing and visit a friend of hers who kept a well-stocked pharmacy in her pocketbook. Almost as soon as the thought crossed her mind, Martha jumped up and called her friend (\"I'm so sick of sorting all this junk! I've been good for a month already!\"), who was more than happy to accommodate her. Martha threw on a pair of jeans, drove to her friend's house, plunked herself down on the couch, and swallowed the pills offered to her with a freshly opened beer. (Remember that, besides this being a relapse, it is also always dangerous to combine painkillers with other drugs or alcohol.) The two of them spent the night watching reality shows and giggling senselessly, and everything seemed to fall back into place.\n\nThe next morning, Martha woke up feeling terrible\u2014and the self-recrimination was worse than the hangover.\n\n* * *\n\nWhat happened? At what point did Martha lose her perspective? It was as if a tornado picked her up out of the blue, right out of the messy closet, and plunked her down on her friend's couch with a couple of pills in one hand and a beer in the other. And what now? How does she handle the cravings and old habits?\n\nWhat happened? Martha's \"dominant hand\" simply asserted itself and began to function on auto-pilot, as it will do. Habits, well-established patterns of thought and behavior, can take over in moments of vulnerability\u2014this cannot be avoided all the time. Remember that as you progress, these moments will become fewer and farther between. But you may encounter them quite often at the outset. The key is not to pretend that you can\u2014or should\u2014evade them every time, but to recognize that you're off course and take steps to correct.\n\nConsider how many opportunities Martha has to avoid full-blown relapse and to realign her actions with her values. Perhaps, at this early stage in her journey, she wasn't able to correct course as soon as she would have liked to. Blindsided by an urge whose momentum she couldn't fight, she ended up on a trajectory that led her to a familiar, painful place. She may remember that this overwhelming urge hit her when she was sorting through some items that brought back painful memories or reminded her of a time when she was enjoying the situations that led to her addiction. Or, perhaps, she was overcome by the tedium of the task, or she was berating herself for letting things get so out of control. Or, perhaps, she was even thinking how great she was doing in her new life!\n\nFIGURE 8.1\n\nNavigating Relapse\n\nAt any time, before or after you veer off your course, you can tack back to your true path by using the skills, practices, knowledge, and exercises you have learned through The PERFECT Program.\n\nNo matter how far off you go, there is always a way back.\n\n_The PERFECT Program tacks back to your true course._\n\nAt the moment she wakes up, overcome with regret, she has a choice: to give up on herself or to forgive herself, take an honest look at what happened, and make some decisions. There is always a window of opportunity, allowing you to correct course, no matter how far down the wrong path you have gone, as Figure 8.1 shows.\n\nRemember these things about relapse:\n\n\u2022 Relapse is not failure; it's information.\n\n\u2022 Relapse does not mean starting over from scratch.\n\n\u2022 Relapse does not mean that you will never recover.\n\n\u2022 Relapse can be reversed at any stage\u2014you do not have to pursue it to \"rock bottom.\"\n\n_You have the skills to realign yourself and continue with your recovery._\n\n_Avoiding relapse for love, eating, and other non-abstinent addictions_\n\nSome activities that some people find addictive, as I discussed in Chapter 3, can never be completely avoided. How can addicts avoid relapse when, in a sense, they have never stopped doing the activity? Think of eating. You will continue to eat on a weight-loss program. You may carefully avoid some foods, maintain your weight, and support weight loss with exercise. But you will not always follow your diet perfectly; no one can, and to attempt perfection\u2014as always\u2014can cause problems, in this case the sister addictions of obesity (i.e., bulimia and anorexia).\n\nAnd, so, what happens when you as a dieter\u2014say, one who has lost a considerable amount of weight\u2014eats pasta or bread, or a cookie or some other sweet, that you have been rigorously avoiding? Indeed, _how_ you handle these events is a mark of the _success_ of your recovery. Say you have some pie or pasta. You will want to have a reasonable portion, which you can define differently according to the situation or where you feel you are in your recovery. Being able to eat these foods mindfully, both enjoyably and carefully, provides you with sufficient rewards that you no longer crave them as \"forbidden fruits.\"\n\nAt the same time, you\u2014while eating the food\u2014will be mindful that this is the kind of food that has hurt you in the past and that you cannot start indulging in the way you used to. You might surface an image of your former self eating this dish indiscriminately\u2014even imagining yourself at your former weight. And it is summoning such images, with the commitment not to return to the misery, unhealthiness, and fear they inspire, that is the best guarantee that you will limit potential eating binges. Of course, to regain all of a considerable amount of lost weight is the result of more than one\u2014more than several\u2014such episodes. To return to your former weight would require you to altogether abandon your new lifestyle and way of eating, and the rewards your fitness and appearance have given you, in favor of those fleeting rewards provided by sweets, carbohydrates, and other comfort foods and snacks. You just don't relapse in an instant; doing so means that you have reversed the entire recovery journey you have been on for months and years.\n\nBalance\n\nGetting started on your life's journey with a sense of perspective\u2014informed by mindfulness, self-awareness, and compassion; your values, mission, goals, and your skills and resources\u2014is a monumental step. Knowing who you are, where you want to go, what you want to accomplish, how you're going to accomplish it, and how you will stay focused on the path you have created for yourself, while skillfully navigating all the bumps in the road\u2014like failure and relapse\u2014is a lifelong process. It's essentially what life is all about. It's the very foundation of wisdom. To keep moving forward on your journey requires an ability to keep your attention constantly on your path. But it also requires your ability to _return_ your attention to your path when you have lost track. Your mindfulness practice will strengthen your ability to return your focus to where it belongs, and your self-acceptance will give you the perspective and balance that allow you to do so.\n\nMoving Forward\n\nLaunching your recovery and leaving addiction behind is not a bed of roses\u2014you will encounter troubling moments that expose your vulnerabilities. But the odds favor your moving forward, and this chapter has helped you find the frame of mind\u2014along with the techniques\u2014to make sure this will happen. Balance is key. But maintaining balance requires strength and movement. These will develop as you continue on your path, learning to keep your perspective when things go wrong. You are on your way! Fully experiencing the non-addictive rewards you are finding will make clear your preference for this new life. Your decision to embark on this path is something to acknowledge and focus on; it is sufficiently important that the next chapter is devoted to celebrating your accomplishments, as well as all of the rediscovered facets of your life that bring you satisfaction, meaning, and joy.\n\n*All analogies are inexact, and the \"handedness\" example is so because, unlike addiction, handedness, in most cases, is largely determined in the brain and is inborn. This example has the added disadvantage that there is a history of bias against left-handers that has sometimes taken the form of forcing them to use their right hand (I write with my left hand). The ball-catching example is the better example of learned handedness than writing, since most kids learn to catch best with the hand on which they wear their glove\u2014the opposite hand from the one with which they throw a ball, not because that hand is especially adept at catching.\n\nCHAPTER 9\n\n_Celebrate_\n\nJoy\u2014Honoring your accomplishments while living mindfully and meaningfully\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To learn to replace the superficial rewards of addiction with genuine fulfillment\n\n\u2022 To track your successes\n\n\u2022 To honor your accomplishments\n\n\u2022 To practice what you value\n\n\u2022 To create traditions and reasons to celebrate\n\n\u2022 To discover joy\n\n**Purpose:** If the consequences of addiction weren't so destructive, you wouldn't be on this journey to wellness; but before you ever experienced the consequences, you experienced the rewards of addiction. Yes, rewards. Imagine that every time you took a drink you skipped right over the part where you felt relief, relaxation, and inebriation and were, instead, socked with an instant hangover. You simply wouldn't do it. Through addiction, we learn to expect instant gratification in the form of oblivion and euphoria, among other benefits. These are powerful, but fleeting, experiences. When enmeshed in addiction, however, we don't recognize\u2014let alone experience and revel in\u2014the many rewards we are blessed with daily, just by living mindfully and meaningfully. This recognition is a crucial life skill to develop, because the reason you are making this journey is to move _from_ addiction and _into_ fulfillment. And reaping the rewards of your efforts is what it's all about! Learning to replace the superficial, indeed infantile, rewards of addiction with the deep and abiding joys of freedom is the linchpin of your recovery. Doing so will reinforce your sense of momentum and your faith in your abilities, allow you to see how far you have come, and connect you with the joy and satisfaction of living according to your values.\n\n* * *\n\nHow Far You Have Come\n\nMany of us gloss over our successes and milestones, perhaps believing that it would be unseemly to make a big deal about them or that it would be premature to go counting our chickens before they're hatched. We may feel we don't deserve to recognize achievements that should have been a matter of course all along (\"Why should I celebrate cleaning out the fridge\u2014normal people have clean refrigerators and don't throw a party over it\") and that we shouldn't start patting ourselves on the back until we can plant our personal flag on the moon. If this describes you (as it does, to some extent, all of us), perhaps it's time to balance your perspective. Making note of your achievements and milestones is not just a trivial self-indulgence. It is a process that, first, ensures that you maintain your non-addictive path forward. Second, knowing how to recognize and celebrate your often hard-won successes is the essence of a joyful life.\n\nIn terms of The PERFECT Program, you certainly have come a long way! Let's take a look back at where you have been on this journey and what you have accomplished so far, before you embark on your home stretch. You have, among other things:\n\n\u2022 Achieved a realistic understanding of the nature of addiction and recovery\n\n\u2022 Gained clarity on how addiction has manifested in your life\n\n\u2022 Developed basic mindfulness skills that will support your recovery\n\n\u2022 Learned to treat yourself\u2014and others\u2014with compassion\n\n\u2022 Rediscovered your priorities: what brings meaning, value, and purpose to your life\n\n\u2022 Implemented anti-addiction techniques in your daily life\n\n\u2022 Started honing the life skills you need to navigate effectively in the world\n\n\u2022 Created a vision for your future\n\n\u2022 Set achievable goals in many different areas of your life\n\n\u2022 Started taking action to achieve your goals\n\nIf you have not had the opportunity to absorb your accomplishments so far, please take a moment now to reflect on this list. And, if you feel you're not where you should be\u2014haven't touched every base\u2014I hope you will reassess your judgment with self-compassion. Remember that while the nature of a book requires that it progress in some logical order, your path out of addiction is uniquely your own. You may have to linger longer than you'd like in different phases of your recovery. It's not a race. And remember, as I mentioned in the last two chapters, you can't avoid obstacles and setbacks, but you can navigate them in a way that's true to yourself and your vision.\n\n**PERFECT JOURNAL:** Look back over your journey so far and make note of all the things you are proud of and all the steps you have taken, including meaningful shifts in perspective. Forget anything you think should mitigate or negate your sense of accomplishment (say you were abstinent for a month, but had a setback); just focus on every positive step.\n\nCelebrating your successes means taking every opportunity you can to absorb and reinforce the sense of fulfillment you are striving for. Just as there is no sense in waiting to make a positive decision, there's no reason to wait for some arbitrary milestone or ultimate fantasy to materialize before you can begin taking joy and satisfaction from your journey. That doesn't mean you have to take out an announcement in the local paper every time you complete a task. It simply means recognizing and enjoying what you have accomplished\u2014and of course, some accomplishments will warrant a much grander display. Making a habit of honoring yourself and your values\u2014like everything else you have been doing\u2014takes practice, since it may not be your natural impulse.\n\nTracking Your Progress\n\nOne of the most practical ways you can begin creating this new habit of joyous self-appreciation is by tracking your progress daily. I encouraged you to begin this practice in the last chapter because it is a powerful way of keeping yourself focused. At the same time, marking your progress also allows you to see, very concretely, how far you have come and provides the basis for experiencing a sense of pride in your advances. Tracking is an essential practice in that it offers a balanced and objective view of where you are. We often don't recognize how much we are changing; instead, we take our current assets and grace as simply givens, or else miss them entirely. When you look at your chart, you can't deny that you have actually done positive things\u2014it's right there in black and white!\n\nThere are many ways to track your progress. You might keep your goals chart next to your bed or on your desk, where you will see it every day. There are computer programs that allow you to do this; you can set such a program to open as soon as you turn on your computer. Many people find the very act of tracking enjoyable. You may get a lot of satisfaction from checking in on a daily basis and entering your facts and figures. Since we are all wired differently, the process might, on the other hand, seem painstaking to you. Don't worry. There are as many ways of tracking as there are people, and you can find the one that jibes best with your personality.\n\nYou want to make sure that whatever method you choose is one you will actually use. If you enjoy keeping lists and charts, you may find that a free website like sparkpeople.com is right up your alley. It offers incentives to log on every day and track your goals\u2014whether those are weight-, wellness-, or fitness-related\u2014using an array of online tracking tools, including your own personal blog. But if you would feel overwhelmed by such an energetic and relentless tracking system, you might consider using Jerry Seinfeld's famous \"Don't Break the Chain\"* approach, which simply requires you to put an _X_ on every day that you meet your daily goal, with the intention, eventually, of keeping the chain of _X_ s intact. You will be able to see in a quick glance just how many days you stayed on track and take satisfaction in seeing your chain lengthen.\n\nYou may also find that a dedicated notebook or calendar works well for you. For example, suppose you want to track your addiction, with the intention of achieving complete abstinence. You might create a simple chart for yourself that you can fill in daily, with headings that are relevant to your goals. For example, see Table 9.1.\n\nYou can create your own charts based on whatever addiction-specific goals you are aiming for. Even if you are not meeting your goals on the schedule you have set for yourself, remember to acknowledge your efforts\u2014which are valuable in themselves\u2014and to focus on your forward momentum. And, as with anything else I have discussed, take account of what works best for you. This isn't an abstract program invented who knows where by who knows whom\u2014it's your life.\n\nTABLE 9.1: **Addiction Use Goals**\n\nHonoring Your Successes\n\nHow, exactly, do you honor your successes? What does that mean and what do you do? Say you have made some progress. What do you do about that? I'm not going to present a self-congratulations chart. But what you do and think is measured against the criterion that it enriches your life\u2014including the idea of \"joy.\" Your journey is not about putting your head down and forging on like a martyr until you arrive at a certain destination, upon which you can finally put your feet up and relax. There is no such place. The sun always comes up; you always have challenges to meet, milestones to celebrate, and places to go. Fulfillment is not the end of the road. It is the road.\n\nSay, for instance, that one of your goals is to lose a significant amount of weight (something I have done). You embark on a plan that really works well for you: You cut out desserts and begin a walking or gym routine. You feel much more energetic and alert because of your lifestyle change. But, when you step on your scale after the first month, you find that you have lost only six pounds, when you were expecting to have lost ten or more. In that one instant, all the self-esteem, enthusiasm, renewed clarity of mind, and joy you experienced from your daily walks deflate. You are left disappointed, maybe even hopeless. Your feeling of success evaporates, as if none of the benefits you enjoyed meant anything compared to an arbitrary figure on the scale.\n\nThis scenario is an example of the baffling ability we have to know and not know something at the same time. Surely, we can all see plainly how irrational it is to disregard our tangible experience of well-being in the face of not measuring up to a meaningless number! It's possible that this experience is the result of conflicting values. You have tagged the number on the scale with some emotional meaning so that you feel that nothing matters until you reach your goal weight, when everything in your life will fall into place. _That's_ when you'll really be able to feel proud of yourself and to participate in the world like a \"normal person.\"\n\nWhat could inform a misguided belief like that? It may well be true that achieving a significant weight loss\u2014or meeting any particular goal\u2014will bring enormous benefits. However, it is important to delve into your belief that you don't deserve peace of mind until you achieve that goal. The practical, self-change reason for exploring this issue is that if your journey toward your goal is fraught with self-recrimination you are less likely to retain your focus and to make that journey (as I showed in Chapter 5). Put simply, people don't like bad thoughts, even when they are used to motivate good behaviors. The further, PERFECT Program reason for reassessing your disappointment and gloom is simply that life comes with setbacks and disillusionments. But you are alive here and now, and the moment is precious.\n\nWhat could be the underlying belief that causes you, or me, to tie our sense of accomplishment to an abstract number on the scale rather than to real, important benefits we have already experienced? It could be that\u2014as I discussed in connection with self-acceptance\u2014you feel you don't deserve to feel good about yourself unless you are a certain weight. The reason for your fixation with the scale number is that you aren't following your true values and priorities. There are two deductions from this example if it applies to you: first, to recognize that you are not measuring yourself by or following your own values and priorities; second, to explore whatever underlies your irrational perspective. This mindfulness exercise adds to the information you need to realign yourself with what's most important to you.\n\n**EXERCISE:** When you consider your efforts to meet a goal or make a significant lifestyle change, can you remember a time when you were stymied or derailed by a setback? Why was that event so catastrophic? What were the underlying feelings that caused your extreme reaction? Do they seem reasonable in the light of day? What more genuine values of yours do they contradict?\n\n_Perfectionism_\n\nPeople\u2014all of us\u2014create perfectionistic goals that prevent us from really being who we can be and succeeding as best we can. Maybe it has even kept you from love, when you rejected a \"non-perfect\" relationship that was nonetheless loving and ultimately could have been highly fulfilling. At the same time, please keep in mind, reacting to an event like a possible \"lost love\" as a tragedy of unbearable enormity is a perfectionist response to the sin of perfectionism! If you have overcome the emotional pain and withdrawal of losing a love, don't add this additional, perpetual longing and grief reaction. (These reactions are not uncommon, it seems. I once was stuck at a workshop where each person was obligated to go up to everyone in the group and whisper what they wished they had told someone, but didn't. Every single person whispered in my ear: \"I love you.\") Now that it's done, carry on with your choice\u2014there were, after all, reasons that caused you to choose as you did\u2014and look for the love still available to you.\n\n* * *\n\n**CASE:** Willow ran an important nonprofit, inner-city agency. It had worthwhile goals, incredible challenges, and was underfunded and understaffed. Willow had never trained for a management position\u2014she had started out as a volunteer. But soon her conscientiousness and commitment impressed everybody involved with the group\u2014and she ended up heading the agency.\n\nWillow was often depressed when she didn't accomplish all that she had hoped to. Nor were her tremendous efforts always appreciated in the welter of the city's and the agency's affairs. But everyone agreed that her impact was tremendously positive\u2014that the agency had never functioned as well and done so much.\n\nNonetheless, Willow was seriously considering leaving her job\u2014it was simply too draining. One day, as she left the public school where her office was housed, one of the kids who participated in Willow's program saw her leaving. He shyly came up to her, and said, \"Miss ____. I have never been this happy in my life.\"\n\n* * *\n\nWillow realized instantly why she put up with the trials and tribulations of her work\u2014that in many ways she was a rare and fortunate person.\n\n_Experiencing here-and-now rewards_\n\nAs you go through your day, pursuing your goals, make it your plan to stop and recognize where you are and what you're doing that is different from what you would be doing were you still immersed in your addiction. For example, suppose you were accustomed to waking up with a painful hangover, piecing together details of the night before, but are now waking up refreshed. Take a moment before you get up to revel in the cozy feeling of being well rested and clear-minded in your bed, with nothing to regret. You may have farther to go. This period of sobriety may not turn out to be permanent. But allow yourself to realize that this is, indeed, a big deal, and how fantastic it feels. Meanwhile, don't lose sight of the \"practical, self-change\" reason for practicing these techniques while celebrating your good feelings in the moment. As we saw in Chapter 5, such self-rewarding makes it _much more likely_ that you will progress, while self-criticism or lack of self-appreciation does the reverse.\n\nIf what you're doing during your day feels tedious\u2014say you are filling out paperwork\u2014acknowledge that you're doing something that is necessary, perhaps even important, in service of your larger goals. And when you're done, don't just move on to the next thing, as if nothing had happened. Reflect on this small triumph just to feel good about your day. If, beyond this, you meet a major milestone at work or in your personal life, celebrate fully. And especially do so when it comes to your addiction. Did you successfully navigate a trigger situation? Did you go a month without a drink? Did you finally do something that your addiction had always gotten in the way of?\n\nOf course, although there are occasions when it's just the ticket, if you go out and buy yourself a present or treat yourself to a hot fudge sundae or a drink every time you accomplish something, this itself can be part and parcel of an addiction. But do allow yourself to revel in the satisfaction you derive from a job well done. Don't waste any opportunity to experience a sense of satisfaction. If you get on the scale and you've lost six pounds, if you can now walk around the block five times where previously you could only do it twice, if you aren't out of breath every time you climb the stairs the way you used to be\u2014go with it! It's not everything you wanted\u2014the whole enchilada\u2014but it's a joy worth experiencing.\n\n**PERSONAL JOURNAL:** When you go to bed, take a moment to list the pleasures, successes, and progress in your day. List at least five. Let the negatives take care of themselves.\n\n**EXERCISE:** How many ways can you think of to acknowledge a success? For example, pausing to recognize it, calling a friend or supporter, or doing something special for yourself. Be as specific as possible, and try to practice these regularly. Make each a new habit, and even list these small celebrations on your tracking chart.\n\nHonoring What You Value\n\nCelebrating your successes is all about taking note of where you are at this moment and acknowledging how far you have come to get here. But there are valuable elements of your life that have remained constant, and recognizing those things on a daily basis (yes, you might call these \"affirmations\") is just as important. Giving yourself opportunities to remember who you truly are can help keep what's most important to you, and why you're doing what you're doing, in the forefront. This might include keeping photographs of people important to you where you can see them all the time\u2014on your computer desktop, in your wallet, on your refrigerator. You might dust off the artifacts of your life that remind you of what's meaningful to you and place them prominently in your home\u2014an instrument you used to (or still occasionally) love to play, a memento from a special trip or time in your life, a gift or card from someone you love.\n\n**ACTIVITY:** Clear a space somewhere in your home\u2014on a table or shelf or corner, perhaps close by your meditation spot. Gather some items that represent the best of who you are and what is most valuable to your heart. These could be childhood pictures of yourself or pictures of or items belonging to your children. You could include plants, candles, diplomas, creative works, products, religious symbols\u2014as long as each represents an aspect of you and your life that brings you pleasure and a sense of value. Arrange these items in the space you have cleared, handling and placing your items with the intention of holding what each one symbolizes in your heart. Use this little altar as a touchstone\u2014return to it whenever you can, to remember and meditate on what is truly meaningful to you.\n\n_But avoid fetishes_\n\nYour \"values altar\" is meant to be a guidepost for your life. As with the example of not making a fetish of the \"lost love\" that would have made your life okay, here, too, I should caution about the shrines some people keep with photos of dead parents, spouses, or children or long-lost lovers (sometimes under candlelight or small bulbs), or their school athletic trophies signifying things they can't do anymore and a kind of accomplishment and recognition they haven't since had. This kind of display can reinforce a negative focus on the past, against which the present and future look all the more bleak (\"my best is behind me\"). It is in the nature of balance that virtually every recommendation in _Recover!_ carries with it a need to see the dangers in taking it to an extreme\u2014in this case honoring things or people morbidly\u2014and to be clear about the difference.\n\n_Going forward in honor_\n\nWhat is most important is that you honor your values, commitments, and love going forward. If there are people whose company you have neglected\u2014perhaps feeling unworthy of their love\u2014reach out. Schedule time with your family into your calendar, or commit to a weekly activity with your children. Contact an old friend. Seeing pictures of people important to you is nice, but actually contacting them from time to time is even better. You may have burned bridges in the past, or the people you love may be wary of opening themselves up to you again. In those instances it's important to respect their boundaries. Sometimes honoring someone you care about means giving them their space, while living in a way that reflects your feelings for them. Suppose, for instance, you have taken advantage of a good friend or a family member, and he cut you out of his life to protect himself from further harm. He or she plainly doesn't trust you, and there's nothing you can do about that (recall Harry and his daughter Anne in Chapter 5). Your decision to clean up your act does not obligate him to allow you back into his life, or even to hear your apology. You can still honor this person by changing your life and treating people the way you wish you had treated him.\n\nRituals, Traditions, and Celebrations\n\nFrom the beginning of time, people have come together as families and communities to recognize and celebrate joyful or tragic events, rites of passage, milestones, harvests, the changing of seasons. Religious ceremonies, feasts, wakes, holidays, parties, rituals, and even more routine practices, like family meals, a kiss on the cheek before leaving the house, a weekly phone call, or a yearly block party are all part of the rhythm of life that makes us feel connected, part of something larger than ourselves. These events reinforce our human bonds, give structure to our lives, allow us to honor each other, our culture, and our humanity, and infuse our lives with meaning. This is yet another aspect of life that addicted people often neglect, opting out of gatherings where they won't have an opportunity to indulge or in order to isolate themselves, feeling ashamed to be around other people (remember Rose missing her daughter's party?), not feeling ties to their communities, or simply being unable to shift their focus away from the myopic and consuming involvement with addiction\u2014and the empty rituals they share with fellow addicts.\n\nRecognizing the profound importance of ritual can also be very personal and private, for instance, daily meditation or prayer or getting up early to watch the sun rise. Whereas previously your daily rhythm was driven by your addiction, you can now replace that frenetic, mindless activity with activities that draw you to life. Creating new personal rituals is a gentle place for you to start reconnecting. It allows you to enrich and fill your own life with a sense of reverence and respect for the world that surrounds you.\n\n**EXERCISE\u2014CREATING RITUALS:** Consider the ways you might begin introducing rituals into your personal or family life. Think about your daily schedule and what you can do to incorporate life-enhancing practices, like reading from an inspirational book or affirming your daily positives at bedtime; spending a few minutes mindfully exploring your values altar; or sharing an after-school snack with your child and talking about her day or reading to her in bed before she goes to sleep. Similarly, consider the more community-oriented rituals that you'd like to partake of, like joining a church or meditation group, attending community meetings, or walking with family or nearby friends after dinner. Begin making these occasions, these points of contact, a regular feature of your existence.\n\nTraditions are family treasures. They are one of the touchstones that give us a sense of belonging and comfort. But, say, you are separated from your family or haven't inherited or don't practice any family or religious traditions. Then you can always start some yourself. For instance, some people volunteer at a soup kitchen on Thanksgiving or Christmas. Some families pass down a special heirloom on a significant birthday. A tradition can be as simple as a monthly Sunday dinner or as elaborate as a family reunion. Make a list of traditions, family or cultural, that are important to you, or traditions you would like to start. Perhaps you have seen others practicing a tradition that you found meaningful. Go on\u2014steal it!\n\nCommemorating major events with a celebration or remembrance is how we honor and attach value to one another\u2014even when you throw a celebration for yourself. What better way to honor your friends and family than by asking them to share your significant life event? There are so many opportunities to celebrate: graduations, wedding or baby showers, birthdays, holidays, work promotions\u2014significant recovery anniversaries. (AA has something there, although from the perspective of this book, as time goes on, that should fade in importance as you come to have more substantial, positive accomplishments and milestones.) Don't gloss over these events; instead, acknowledge them, whether by going out for dinner with a few special people, having a small party, or throwing a bash.\n\n* * *\n\n**CASE:** Richard had an ugly divorce, and his college-age son and adult daughter preferred being with their mother, who, after all, had always been the primary caretaker in the family. So Richard fiddled and fumed while he waited for his children to arrange get-togethers.\n\nOnce, as his birthday approached, it suddenly occurred to Richard that he could host his own party. He cleaned up his apartment, ordered some pizza and salad, and invited a couple of friends\u2014along with his children and their dates. Although he was beset by anxiety about playing the unfamiliar role of host, the evening surprised Richard by being a resounding success.\n\nAs his son left, he told Richard, \"That was great, Dad\u2014let's do it again soon!\"\n\n* * *\n\nSimilarly, take the opportunity to grieve with others or share the sorrow of tragic events like deaths and illnesses. Sit Shiva or attend a wake; spend time with a friend with cancer. Being there for people is a major way of ensuring that you remain in the midst of humanity and acknowledge the humility of our existence in the universe. To put it in starker terms, we're all going to die. From The PERFECT Program perspective, appreciating the lives people have lived, their sheer presence on earth\u2014which is the essence of mindfulness\u2014gives your life a kind of immortality. In the words of John Donne: \"Therefore never send to know for whom the bell tolls; it tolls for thee.\"\n\nAnd while these ceremonies engage you with the people you cherish, they also impose on you accountability and responsibility to others, which is why it can be difficult for addicted people to participate in these activities. Anything that brings fulfillment to your life will push addiction away\u2014and the flipside is also true: Neglecting these things will permit both the time and the psychic emptiness that invite vapid and destructive behavior. Rituals, traditions, and celebrations are not frivolous pursuits. They are essential, non-addictive links to your world.\n\nDiscovering Joy\n\nHave you ever heard New Yorkers say they can always spot the tourists, because they walk around the city like rubes, with their mouths agape and their heads up, marveling at the sites and skyscrapers? For some reason, cynicism and world-weariness are considered admirable qualities in our culture, with \"whatever\" perhaps being the catchphrase of our era. Is reveling in a feeling of wonder a mark of lack of sophistication? I don't think so. (Although, as a New York resident, I _do_ think Madame Tussauds is a rip-off and going up to the observation deck of the Empire State Building a waste of time for adults. Sorry.)\n\nI'm going to speak now to your inner rube\u2014the aspect of you that has been waiting around for an opportunity to be completely blown away by double rainbows and tall buildings. The pleasures and rewards of addictive behavior will blind you to joys you might never have known existed\u2014or that couldn't hold your interest in the face of your addictive urges. How many opportunities to revel in something delightful have you missed? What beauty has escaped your notice? Now that you are headed down the path of your real life, you might feel as if you were blinking into the sun. Things you never noticed before might capture your attention and make you smile or marvel. I have written at length about linking yourself to the values that you know will bring joy and satisfaction to your life. Let's explore at the same time recognizing and discovering new joys. You cannot find too many ways of replacing the superficial rewards of addiction with the genuine rewards you gain from living a life of freedom.\n\n* * *\n\n**CASE:** When Thomas stopped smoking marijuana, he felt that he didn't know how to see and feel. After all, everything had been mediated by his being stoned\u2014sometimes involving just staring at the wall! He found that there were two sides to this phenomenon. On the one hand, he had to immerse himself in appreciating every single aspect of every single day\u2014including simply recognizing the passage of time, which being stoned hadn't permitted him to do. On the other hand, for the first time in a while he had the chance to indulge mindfully in the simple, pure joy of unadorned sensation and perception. In a way, \"getting high on the natch\" (natural) was the greatest trip of all.\n\n* * *\n\n_Mindfulness in the wake of an addiction_\n\nWe have discussed mindfulness as bringing unnoted reactions, emotions, and motivations to the surface of present consciousness. Thus, Thomas's story takes on a double meaning for mindfulness as a badge, a tool in recovery, particularly newly minted recovery.\n\n* * *\n\n**CASE:** At the time Liza quit drinking, after she had walked around in an alcohol haze for years, she really wondered what she was going to do with herself. Every single thing in her world had revolved around her drinking\u2014every activity accompanied or was a precursor to drinking. In many cases, she had to learn for the first time the most basic aspects of having fun and filling her time\u2014of living. After she had gotten beyond the miseries of quitting, she walked gingerly along the sidewalk, listening to the birds, watching the sun. It was a novel experience! She had to learn to be with people without alcohol, to go to the movies, to listen to music, and to do everything else stone cold sober. She began a list of things she could experience anew, some as simple as revisiting the supermarket. But there were also many new activities for Liza, like bike riding and cooking and sewing. She had plenty to choose from\u2014it was as though she were a newborn.\n\n* * *\n\nVenturing away from addiction takes effort and focus\u2014dealing with cravings, recovering after losing your footing, doing all these exercises, trying to be mindful. But even at the beginning of the journey, you may start noticing times when you're feeling pretty good or enjoying something you never bothered with before. For instance, on a walk, you might focus on the movement of your muscles working and enjoy the rhythm of your body, rather than thinking about the slog and how much longer it will take you to get home. (These are sensations encouraged by yoga and Feldenkrais, which I reviewed at the end of Chapter 4.) If you've stopped smoking, surely you'll appreciate the freshness of the air and your ease of breathing! Or, if you've given up drinking alcohol, you might notice how satisfying it is to down a cool glass of water. It could be that you never so much went to bed as passed out; now you are reminded of how good it felt to crawl under the covers as a child. There are an infinite number of ways to take pleasure in everyday life, and doing so is a choice and an exercise of mindfulness. In fact, if you pause right now, lift your head from your reading, you will surely be able to discover something that brings you some joy: perhaps you are feeling relaxed as you read or are sensing the sun on your skin, maybe there's a cat purring on your lap, or the tea you have next to you smells lovely. What do _you_ notice?\n\n_Mindfulness en route to joy_\n\nSimply noticing and appreciating pleasant sensations or beautiful surroundings is one way of discovering joy. Another way is to intentionally seek out such sensations and surroundings. Make the effort to venture out into the world to create experiences that will bring you joy: Go for a hike through the park for no other purpose than to look around; smile at the people you pass; sit under a tree. Visit an unfamiliar part of town or go to another town or city; linger at shop windows; read the paper at a cafe. Or, staying closer to home, simply go out onto your step or into your back yard on a nice day to breathe deeply and smell the air and enjoy the sunlight on the trees. Staying indoors, read a book (okay, an e-book), or put on some new music. One way or another, open your heart and mind and senses to the world around you and acknowledge those things that inspire a sense of wonder or contentment. And before you fall asleep at night, recall those new experiences in as much detail as possible\u2014especially the new joys they have brought you.\n\n***\n\nMuch of your progress through The PERFECT Program has been on learning to cope with difficult feelings by strengthening your core, or inner wisdom and free will, and by replacing what is superficial and mindless with purpose, value, meaning, and mindfulness. It's a colossal effort, and the work you have been doing may bring you a real sense of satisfaction. One reason it may seem so hard to experience joy is our tendency to believe that we learn solely through difficulty and continuing trial. This tendency is strongly reinforced by the recovery movement mantra embodied by the white-knuckle phrase, \"one day at a time.\" Just a reminder: Recovery\u2014living\u2014is more than not succumbing to addiction.\n\nI believe\u2014and I tell addicts\u2014that they have been improved by the suffering and hardship they have endured\u2014even if it was self-induced. There are things you may know about yourself and life that you wish you hadn't had to learn, but that make you a deeper, more complete person now that you have. The lessons we learn from hardship are abiding and true. But they are far from the only truths you are going to gain in life. Understanding that some of your wisdom is hard won shouldn't make it harder for you to accept the wisdom that is earned through experiences of peace, satisfaction, fulfillment, and wonder. Shifting your perspective on this\u2014toward valuing the insights you gain in joy as much as in hardship\u2014is another way of bringing balance into your life. In short, knowing what works is even more important than knowing that addiction doesn't.\n\nPutting It All Together\n\nI've cited cases of mindful recovery earlier in this book. I want to end this phase of The PERFECT Program (before turning to the aftercare element presented by Chapter 10) with a case where a woman stabilized her life around a serious addiction\u2014a set of addictions, really. This woman, Nona Jordan (whose program for women's financial self-management is a resource referenced in Chapter 10), describes how she took control of her life over the long run, instituting changes that brought her a permanent set of rewards that finally guaranteed that her addictions would never reappear. Nona narrates her experience in her own words. The title of her case is her own.\n\n* * *\n\n**CHANGE** Is for Everyone Who Wants It\n\nLots of people are content with their lives and have no desire to change a thing. I've never been one of those people. My very earliest memories are of wanting to be my very best, to express the most perfect version of myself during this lifetime no matter what I'm doing.\n\nIn my late twenties, I was working in corporate accounting. I was good at the job but didn't really like it. I worked long hours and was constantly anxious about my performance. My favorite way of reducing stress was getting drunk at the local bar and smoking cigarettes until my throat hurt. Alcohol abuse is putting it mildly. Coming from a long line of alcoholics, I knew better\u2014but it didn't stop me.\n\nMy relationships were disasters. The men I dated were poor choices and my friendships were all based on drinking. Despite my active social life, I felt isolated. I hid my drinking, which was getting harder to do. I was overweight from all the drinking. Drinking the way I was isn't cheap, either, and so I was in debt, even though I made a good living. I blamed others and my past for all of my problems.\n\nIt wasn't a pretty picture.\n\nAll this time, all through the drinking, I had continued to study and practice yoga and meditation. They seemed to be having very little benefit, but, little did I know, these practices were seeping into my life.\n\nMy moment of clarity arrived as the sun was setting one evening. I had finished a 6-pack already and was feeling ZERO effects from the beer. I was reading a book about Buddhism, which emphasized the idea of avoiding intoxication in order to clear away the cobwebs and experience life fully. As a way to really love yourself and grow from, and into, your life.\n\nI looked up and I looked inward\u2014I clearly saw the huge chasm.\n\nWay over to the left was my current life: drunk, lonely, bad relationships, overweight, in debt, dissatisfied at work, no prospects in sight. Way over to the right was the life I knew I was meant to live: clear and happy, connecting to wonderful people in good relationships, healthy, helping others, doing work I love, with endless possibility for growth and change.\n\nThat night, I knew I was ready. I wanted to bridge that gap.\n\nA few weeks later, I was sitting in the office of a Buddhist therapist that a girl at work had casually mentioned to me. It was my second day of not drinking and I felt horrible. But I knew if I was going to get the most out of therapy, I had to recognize my feelings. I was walking toward the version of me that I knew, deep down, I could be.\n\nThat was the beginning of the most life-altering, challenging, and\u2014ultimately\u2014profound period of my life. I broke up with my boyfriend. I stopped working so many hours (although, today, I work just as hard, only at gratifying things that I love). I started investigating yoga-teacher training programs. I started working out and honoring my body. I lost 30 pounds, almost effortlessly. I meditated; I got on my yoga mat and practiced for hours.\n\nAnd I sat with my feelings and cried a lot. I worked hard with my therapist to clear away the rotten thoughts and beliefs that were mucking up my mind and my heart. I volunteered; I sought out healthy friendships; I paid off my debt.\n\nI realized, in my heart\u2014no, in my bones\u2014that my life was my own. Happiness was in my hands, and my hands alone.\n\nThat was eleven years ago.\n\nAs of today, I am a married to a wonderful man and I have a beautiful daughter. I am a CPA, a yoga teacher, and a master coach. I work with women who want to create success on their terms. I have the pleasure of supporting them in finding the peace and ease that comes with creating a life and a financial legacy of their choosing.\n\nMy life is better than I would have ever imagined on that dark night so many years ago. There have been rough spots\u2014really rough spots. This journey has not been easy, effortless, or flawless. But every year, I can say without fail, I more deeply love the life I have created for myself.\n\nIt's easy to say our situation is too hard, that someone else is holding us back, or that we're too damaged, broken, weak, or poor. But it's simply not true.\n\nLife is what we make of it. Change is for anyone who wants it.\n\nAnd that is the best news I can possibly give you on this fine day.\n\n* * *\n\nMoving Forward\n\nYou have learned the practice of The PERFECT Program for addiction, how to remove addiction from your life and replace it with genuine joy and accomplishment by homing in on your true self. You have learned to recognize and honor your success, to institute practices that reinforce and cement your ties to the things that make your life meaningful\u2014your personal pleasures; your spiritual, familial, community, and cultural centers\u2014and to cultivate new experiences of joy and wonder. Arriving at a place where you see the genuine value in celebrating your life in a way that is not narrowly self-involved and does not feel like a frivolous pursuit is a key stage in your recovery. This is this spirit that informs The PERFECT Program.\n\nThe following chapter is titled \"Triage,\" which means dealing first with critical needs or circumstances, with emergencies. This is the chapter to turn to when you are feeling at a loss, or trying to remember your priorities in an overwhelming or difficult situation. It contains ideas and resources for dealing with cravings, relapse, life's curves, and other circumstances that require immediate guidance and perspective as you follow your new path.\n\n* At the beginning of each year, Jerry hangs up a \"year-at-a-glance\" calendar; each day he composes new material he marks with an _X_. This is one way for creative people to impose structure and enforce self-discipline in a lonely form of work.\n\nCHAPTER 10\n\n_Triage_\n\nRealignment\u2014Resources and actions for regaining lost footing\n\n* * *\n\n**CHAPTER GOALS**\n\n\u2022 To deal with mishaps, discouragement, and persistent problems\n\n\u2022 To plan for problem solving and realignment in the moment\n\n\u2022 To review and consolidate the key ideas in The PERFECT Program\n\n\u2022 To discover resources for support and exploration: helpful books, websites, meditations, and apps\n\n**Purpose:** For moments when you feel overwhelmed or out of options, this chapter recaps key ideas, activities, and exercises from various parts of The PERFECT Program. It is a resource to give you quick reference points for shifting your perspective, moving forward, or regaining your footing. I also list other resources that can help you\u2014some included in the previous chapters, some new\u2014including books, websites, and guided meditations. If you find yourself at a loss, flip to this chapter, review your options, and pick a place to start. This is your on-the-spot reference and guide.\n\n* * *\n\nAs you begin developing your skills and strengths, you may occasionally find yourself wondering how to get through the next moment without going off course. Perhaps you feel overwhelmed by urges, lost in the universe, unmotivated, depressed. This chapter is titled \"Triage,\" which means dealing with the important things first, as they arise. This is a chapter that you can turn to when\u2014whether having progressed this far in the program or not\u2014you are feeling at a loss, or trying to determine what your priorities are in an overwhelming or difficult situation. These are ideas and resources for dealing with cravings, relapse, curves and dips in the road, and other events that require immediate guidance and perspective as you navigate the life of freedom you have created for yourself.\n\nThese ideas and resources can help you refocus in the moment. Some may not be for you; others might be just the thing. I will cover, in order:\n\n\u2022 Difficulty with meditation\n\n\u2022 Addictive urges and compulsions\n\n\u2022 Relapse and harm reduction\n\n\u2022 Feelings of unworthiness\n\n\u2022 Lack of motivation\n\n\u2022 Loneliness\n\n\u2022 Feeling overwhelmed\n\n\u2022 Anxiety or depression\n\n\u2022 Abusive relationships\n\n\u2022 Finding a therapist\n\n\u2022 Education and career\n\n\u2022 Financial management\n\n\u2022 Other resources\n\nDifficulty with Meditation\n\n_Mindfulness refers to keeping one's consciousness alive to the present reality. It is the miracle by which we master and restore ourselves._\n\n\u2014Thich Nhat Hahn\n\nFirst, remember that meditation does not mean clearing your mind of all thoughts. Nor does it mean achieving total calm or enlightenment. Second, remember that the only right way to do it is to do it. Whatever _is_ happening while you're doing your meditation is exactly what _should_ be happening. If you are experiencing pain, strong emotions, fidgeting, obsessing\u2014meditation is not meant to alleviate those things. They are, in fact, your meditation companions\u2014your guides, so to speak. To paraphrase Rumi, graciously invite in whatever devils show up\u2014they all have something to teach you. So, before you begin, dispel any ideas you may have about what you should feel, how you should respond, what should happen. Whatever you feel, however you respond, and whatever happens is good.\n\nRather than teaching you to master your thoughts, feelings, or physical sensations, meditation is meant to help you master your ability to notice and accommodate them with compassion and a balanced perspective. Mindfulness is practice in paying attention to yourself, as well as in turning your attention where you will it. It is an exercise of your free will. It should be challenging, but when that challenge seems too much for you, here are some strategies you can implement. And, of course, I encourage you to search on your own for comparably valuable aids and resources.\n\n\u2022 If you are having a hard time focusing your attention on your breath because you can't stop shifting and feeling antsy, turn your attention to those feelings instead of your breath. With a spirit of curiosity, explore that fidgety feeling: Where in your body is it located? Can you describe the sensation to yourself? Keep bringing your focus back to those feelings and notice what they do: Do they mutate? Do they intensify?\n\n\u2022 Name what you're feeling, in your mind, as you experience it. Say to yourself, \"Restlessness,\" \"Thinking,\" \"Ruminating,\" or \"Listening to sirens outside.\" Once you have acknowledged what's happening, turn your attention back to your breath. Do this as many times as you need to. Your goal is not to prevent your mind from wandering. In fact, the heart of this practice is the intentional act of returning your attention to your breath as many times as required.\n\n\u2022 Maybe, rather than feeling agitated, you experience a torpor that may mimic a deep, profound state of meditation. This can feel like a sinking into the mind, a dreamy heaviness that may even put you right to sleep! If you are experiencing this torpor and are unable to keep your mind alert, you can meditate in an upright chair or do a walking meditation. You may also find it helpful to choose a basic guided mindfulness meditation CD or MP3.\n\n\u2022 After the discussion here, review the section on mindfulness meditation in Chapter 4 (\"Pause\"), and particularly the section \"User-Friendly Mindfulness Meditation\" (page 98).\n\n_Resources for mindfulness meditation_\n\nBOOKS\n\n_Insight Meditation: A Step-by-Step Course on How to Meditate_ , by Sharon Salzberg\n\n_Mindfulness for Beginners: Reclaiming the Present Moment\u2014And Your Life_ , by Jon Kabat-Zinn\n\n_The Miracle of Mindfulness: An Introduction to the Practice of Meditation_ , by Thich Nhat Hahn\n\nAUDIO\n\n_How to Meditate: A Practical Guide to Making Friends with Your Mind_ , by Pema Ch\u00f6dr\u00f6n\n\n_Mindful Movements_ , by Thich Nhat Hanh\n\n_Mindfulness for Beginners_ , by Jon Kabat-Zinn\n\nWEBSITES\n\nAudio Dharma: www.audiodharma.org (search for \"Introduction to Mindfulness Meditation,\" by Gil Fronsdal)\n\nU.C.L.A. Mindful Awareness Center: Free Guided Meditations <http:\/\/marc.ucla.edu\/body.cfm?id=22>\n\nUniversity of Massachusetts Medical School Center for Mindfulness: Mindfulness Stress Reduction Programs: <http:\/\/w3.umassmed.edu\/MBSR\/public\/searchmember.aspx>\n\nAddictive Urges and Compulsions\n\n_If you do not change direction, you may end up where you are heading._\n\n\u2014Lao Tzu\n\nIf you are feeling overcome by strong addictive urges, you can shift your perspective in the moment by choosing one or a few of the following actions:\n\n\u2022 **Mindfulness Meditation** with a focus on \"Urge Surfing\" (see \"Guided Meditation,\" below).\n\n\u2022 **S.P.O.T. Exercise,** Chapter 4 (\"Pause,\" page 95).\n\n\u2022 **Distract** yourself with an activity from the list you created in Chapter 7 (\"Fortify,\" page 155).\n\n\u2022 **Take a nap.**\n\n\u2022 **Read an engrossing book.**\n\n\u2022 **Eat a healthful snack,** like a handful of nuts or a piece of cheese or fruit.\n\n\u2022 **Drink a full glass of water.**\n\n\u2022 **Call a supportive, trusted friend.**\n\n\u2022 **Walk.**\n\n\u2022 **Bathe** and put on fresh, clean clothes.\n\n\u2022 **Play some music** that is meaningful to you, either on a musical instrument or a recording.\n\n\u2022 **Change your environment:** Go to a cafe, a friend's house, to the beach or park.\n\n\u2022 **Start on a project,** something that has been waiting for your attention.\n\n\u2022 **Give yourself permission** to use later (Chapter 7, page 158).\n\n\u2022 **Remind yourself of your values:** Look at your photographs, explore your altar, pull out your lists of reasons to stay on track.\n\n\u2022 **Watch a movie** that will make you laugh, or feel inspired by ideas and possibilities.\n\n\u2022 **Consider the consequences:** Compose a story about what will happen if you indulge your addiction\u2014from how it will make you feel in the moment all the way to the nearly inevitable consequences (depression, hangover, shame, etc.).\n\n_Resources for dealing with addictive urges and compulsions_\n\nBOOKS\n\n_Her Best-Kept Secret: Why Women Drink\u2014And How They Can Regain Control_ , by Gabrielle Glaser\n\n_How to Change Your Drinking: A Harm Reduction Guide to Alcohol,_ 2nd ed., by Kenneth Anderson\n\n_The Mindfulness Workbook for Addiction: A Guide to Coping with Grief, Stress, and Anger that Triggers Addictive Behaviors,_ by Rebecca E. Williams and Julie S. Kraft\n\n_7 Tools to Beat Addiction_ , by Stanton Peele\n\n_Sex, Drugs, Gambling & Chocolate: A Workbook for Overcoming Addictions_, by A. Thomas Horvath\n\n_The Tao of Sobriety: Helping You to Recover from Alcohol and Drug Addiction_ , by David Gregson and Jay S. Efran\n\n_The Truth About Addiction and Recovery_ , by Stanton Peele and Archie Brodsky\n\n_You Are Not Your Brain_ , by Jeffrey Schwartz\n\nGUIDED MEDITATION\n\n\"Urge Surfing,\" by Sarah Bowen: <http:\/\/depts.washington.edu\/abrc\/mbrp\/recordings\/Urge%20Surfing.mp3>\n\nCOMMUNITY SUPPORT\n\nHAMS, Harm Reduction for Alcohol: <http:\/\/hamsnetwork.org>\n\nModeration Management: <http:\/\/www.moderation.org>\n\nSMART Recovery\u00ae: www.smartrecovery.org\n\nQuit Smoking Support: <http:\/\/www.quitsmokingsupport.com>\n\nWe Quit Drinking: wqd.netwarriors.org\n\nRelapse and Harm Reduction\n\n_When flowing water . . . meets with obstacles on its path, a blockage in its journey, it pauses. It increases in volume and strength, filling up in front of the obstacle and eventually spilling past it . . . . Do not turn and run, for there is nowhere worthwhile for you to go. Do not attempt to push ahead into the danger. . . (rather) emulate the example of the water: Pause and build up your strength until the obstacle no longer represents a blockage_.\n\n\u2014Thomas Cleary, _I Ching_\n\nYou can be especially disheartened when you are in the thick of relapse, as the resolve you remember feeling seems so, so foreign and distant. But it is _always_ within your power to regain your footing and focus. If you have relapsed, remember that there is no such thing as a \"point of no return.\" Relapse is not evidence of failure or hopelessness. Your North Star is always in sight.\n\n\u2022 Practice self-acceptance and compassion (see the following section on \"Feelings of Unworthiness\").\n\n\u2022 Immediately begin employing harm-reduction techniques. Review in Chapter 3, pages 69\u201372.\n\n\u2022 Review the section on relapse in Chapter 8, page 206.\n\n\u2022 Remember that there is no such thing as starting over. If you have relapsed, broaden your perspective to see it as just a part of your whole journey to wellness.\n\n\u2022 Remember that you can realign with your vision for yourself from any point, no matter how far off course you have traveled. Review the \"Navigating Relapse\" chart on pages 212\u2013213.\n\n\u2022 Take time to explore the circumstances or life events that may have triggered your relapse. Sometimes it's not clear, but more often you will be able to see exactly what triggered you to veer off course and why you were unable to steer through these circumstances. Consider what you could have done differently and establish future coping strategies, in the highly likely event you encounter the same triggers again.\n\n\u2022 Reintroduce The PERFECT Program into your daily life:\n\n\u2022 Begin practicing your mindfulness and loving kindness meditations, with an emphasis on riding out cravings and discomfort, in \"Anti-Addiction Skills\" section of Chapter 7, page 154.\n\n\u2022 Pay attention to your moments of grace and turn your attention to the messages you receive from your wise inner self.\n\n\u2022 Reconnect with your values and sense of life purpose and meaning in Chapter 6 (\"Rediscover\").\n\n\u2022 Set some immediate goals.\n\n\u2022 Engage in the life-affirming activities you have created for yourself.\n\n\u2022 Consult \"Reframing Failure,\" Chapter 8 (\"Embark,\" page 204).\n\n\u2022 Quick reference: Alan Marlatt's mindfulness-based relapse prevention S.O.B.E.R. exercise\n\n**S** \u2014 **_Stop:_ pause wherever you are.**\n\n**O** \u2014 **_Observe:_ what is happening in your body and mind.**\n\n**B** \u2014 **_Breathe:_ bring focus to the breath as an \"anchor\" to help focus and stay present.**\n\n**E** \u2014 **_Expand_ awareness to your whole body and surroundings.**\n\n**R** \u2014 **_Respond_ mindfully versus automatically.**\n\nDr. Marlatt explains:\n\n**S.O.B.E.R.** is one of the meditation breathing spaces we've developed. You can use it when you're right on the verge of taking a drink. It enhances meta-cognition, giving you a chance to stand back and look at what's going on. Say you're walking by a bar you used to visit and the thought arises: \"Maybe I'll just pop in and see if anybody I know is inside:\" S is for \"stop\" where you are. Stop walking. Then O, \"observe\" how you're feeling\u2014what are the physical sensations and cravings? B, focus on your \"breath.\" Take a deep breath, then another breath, and center your attention there. And E \"expand\" your awareness so that you'll have a larger sense of what would happen if you did go in the bar. How would you feel?  . . . ] Finally, R, \"respond\" mindfully.\u2014Alan Marlatt, Interview, _Inquiring Mind_ , 2010, [www.inquiringmind.com\/Articles\/SurfingTheUrge.html **.**\n\n_Resources for understanding and dealing with relapse and harm reduction_\n\nBOOKS AND PAPERS\n\n_Addiction: A Disorder of Choice_ , by Gene Hayman\n\n_Enough! A Buddhist Approach to Finding Release from Addictive Patterns_ , by Ch\u00f6nyi Taylor\n\n_Harm Reduction Psychotherapy: A New Treatment for Drug and Alcohol Problems_ , by Andrew Tatarsky\n\n_How to Change Your Drinking: A Harm Reduction Guide to Alcohol_ , by Kenneth Anderson\n\n_Overcoming Your Alcohol or Drug Problem: Effective Recovery Strategies Workbook (Treatments That Work),_ by Dennis C. Daley and G. Alan Marlatt\n\n_Over the Influence: The Harm Reduction Guide for Managing Drugs and Alcohol_ , by Patt Denning, Jeannie Little, and Adina Glickman\n\n_Relapse Prevention: Maintenance Strategies in the Treatment of Addictive Disorders_ , by G. Alan Marlatt and Dennis Donovan\n\n\"Alcohol Harm Reduction Compared to Harm Reduction for Other Drugs,\" by Kenneth Anderson, <http:\/\/hamsnetwork.org\/9th-conference\/compared.pdf>\n\nGUIDED MEDITATION\n\n\"Urge Surfing,\" by Sarah Bowen: <http:\/\/depts.washington.edu\/abrc\/mbrp\/recordings\/Urge%20Surfing.mp3>\n\nWEBSITES\n\n\"The Clean Slate Addiction Site,\" by Steven Slate: www.thecleanslate.org\n\n\"HAMS: Harm Reduction for Alcohol\": <http:\/\/hamsnetwork.org>\n\n\"Harm Reduction Network,\" by Kenneth Anderson: www.hamsnetwork.org\n\n\"How to Taper off Alcohol,\" HAMS Website: <http:\/\/hamsnetwork.org\/taper>\n\n\"The Life Process Program,\" by Stanton Peele: peele.net\n\nModeration Management: <http:\/\/www.moderation.org\/>\n\nQuit Smoking Support: <http:\/\/www.quitsmokingsupport.com>\n\nSMART Recovery\u00ae: www.smartrecovery.org\n\nWe Quit Drinking: wqd.netwarriors.org\n\nFeelings of Unworthiness\n\n_You yourself, as much as anybody in the entire universe, deserve your love and affection._\n\n\u2014Buddha\n\nI discussed at length in Chapter 5, on self-acceptance, knowing and believing that you are worthy of being in the world and of the things you value most, and that you have just as much right to create and participate in your own full life. Even the most seemingly well-adjusted people can feel unworthy to have these essential feelings. If you have trouble overcoming self-debasing thoughts or self-talk, or feel that you don't deserve love or success, please pursue some or all of the following suggestions:\n\n\u2022 Reread the Chapter 5 section on self-acceptance (pages 116\u2013120) and work through the exercises.\n\n\u2022 Complete the self-compassion exercise, Chapter 5, page 118.\n\n\u2022 Complete the self-forgiveness reflection, Chapter 5, page 122.\n\n\u2022 Visit your altar or create one, Chapter 9 (\"Celebrate,\" page 226).\n\n\u2022 Reach out to someone who loves you.\n\n\u2022 Practice your loving kindness meditation with dedication, Chapter 5, page 129, focusing specifically on self-compassion.\n\n\u2022 Remember to write down five things you are grateful for, every morning or night.\n\n\u2022 **Exercise:** In your Personal Journal, list the negative or harsh thoughts you are having about yourself or describe your negative feelings about yourself. Then review what you have written: Do you feel that you are fundamentally broken and irredeemable?\n\nThat you're a bad person? That you're not meeting expectations or goals? That you're less than everyone else? Now, explore your findings from a different perspective. Imagine that you are reading the words of someone you love\u2014a child or close friend\u2014or even a stranger. Does your self-assessment seem reasonable or realistic when you imagine directing these words at someone else? Rewrite your entry from this more compassionate perspective.\n\n_Resources for supporting feelings of self-worth_\n\nBOOKS\n\n_The Gifts of Imperfection_ , by Bren\u00e9 Brown\n\n_The Mindful Path to Self Compassion_ , by Christopher K. Germer\n\n_Radical Acceptance_ , by Tara Brach\n\nGUIDED MEDITATIONS\n\n\"Lovingkindness Meditation,\" by Sharon Salzberg: www.soundstrue.com, www.sharonsalzberg.com\n\n\"Men, Women, and Worthiness,\" by Bren\u00e9 Brown: www.soundstrue.com, www.brenebrown.com\n\n\"Radical Acceptance Guided Meditations,\" by Tara Brach: www.tarabrach.com\n\nAll of the above meditations are also available from www.amazon.com.\n\nWEBSITES\n\nBefriending Ourselves, by Ali Miller: www.befriendingourselves.com\n\nSelf-Compassion, by Kristin Neff: www.self-compassion.org\n\nLack of Motivation\n\n_Nothing is a waste of time if you use the experience wisely._\n\n\u2014Auguste Rodin\n\nA lack of motivation to act can seem like plain old laziness. But this paralyzing torpor is more likely generated by your fear, self-doubt, or irrational imagination. You may not know where to start, may be afraid of what you will discover if you start going through that pile of mail on your desk\u2014or those feelings that await you just below the conscious level. Perhaps you can't bring yourself to start exercising, believing you'll just let yourself down in a couple of days anyway. You could be avoiding a phone call or work assignment, afraid of being judged or confronted in some way. Or you might just be exaggerating the potential tedium of whatever it is that you're avoiding. Granted, you may be right about all of it: Maybe there is a serious credit issue hiding in the pile on your desk; and maybe you do have an excruciatingly tedious task to face or an enormous project to tackle. Perhaps you're telling yourself that you're just waiting for the right moment or the right inspiration. Forget it. As Picasso said, \"Inspiration exists, but it has to find you working.\" Let's get you moving:\n\n\u2022 **Start small.** Give yourself only one task to accomplish for the day and commit to that single thing.\n\n\u2022 **Give yourself a time limit** \u2014say an hour or two\u2014to work on a task. Buy and use a timer.\n\n\u2022 **Use your tracking chart in your PERFECT Journal** to make note of everything you accomplished. Don't let this slide.\n\n\u2022 **Choose an activity or event to attend** and put it on your schedule, even if it is for the following week. Make a coffee or walking date with a friend, find a volunteer opportunity, and so on.\n\n\u2022 **Set a goal** and decide what steps you need to take to accomplish it. Break it down into mini-goals, then make a to-do list out of your mini-goals.\n\n\u2022 **Write down the rewards** you will experience if you complete a task or project. For instance, how will you feel after making a dreaded phone call or cleaning your kitchen?\n\n\u2022 **Find accountability in community.** Join a co-op or a book group; find an exercise partner or commit to helping someone.\n\n\u2022 **Get showered and dressed for the day,** every day, even if you're not going somewhere.\n\n\u2022 **Moments of grace.** Be mindful of and take advantage of your windows of opportunity to act. If you are surfing the Internet and feel the sudden urge to shut it off and get up, do it. Don't wait for the feeling to pass.\n\n\u2022 **Put on some motivating music or listen to a podcast or an audio book** when you're working on a boring chore that doesn't require your full attention.\n\n_Resources to help spark your motivation_\n\nBOOKS\n\n_Drive_ , by Daniel Pink\n\n_Getting Things Done_ , by David Allen\n\n_Making Habits, Breaking Habits_ , by Jeremy Dean\n\n_Willpower_ , by Roy F. Baumeister and John Tierney\n\nAUDIO BOOKS\/CDS\n\n_Getting Unstuck: Breaking Your Habitual Patterns and Encountering Naked Reality_ , by Pema Ch\u00f6dr\u00f6n\n\n_The Willpower Instinct: How Self-Control Works, Why It Matters, and What You Can Do to Get More of It_ , by Kelly McGonigal: <http:\/\/kellymcgonigal.com>.\n\nWEBSITES\n\n\"Flylady,\" www.flylady.net\n\n\"43 Folders,\" by Merlin Mann: www.43folders.com\n\n\"The Happiness Project,\" by Gretchen Rubin: www.happiness-project.com\n\n\"Procrastination,\" _Psychology Today_ : <http:\/\/www.psychologytoday.com\/basics\/procrastination>\n\n\"Spark People,\" www.sparkpeople.com\n\nOTHER\n\niTunes: Whether you have an Apple device or not, you can download iTunes, where you will find free music channels _and_ podcasts on the subject of productivity. www.itunes.com\n\nLoneliness\n\n_Be thine own palace, or the world's thy jail._\n\n_\u2014_ John Donne\n\n_I've been lonely too long, I've been lonely too long \/ In the past it's come and gone. I feel like I can't go on without love._\n\n\u2014Eddie Brigati and Felix Cavaliere (The Rascals)\n\nLoneliness is the devastating and painful emotional state of feeling alienated and isolated, which can be a powerful addiction trigger. You can experience loneliness whether you are physically alone or surrounded by friends, family, or community. After all, even connected people are often alone, or at least not immediately engaged with others (like working in an office cubicle). At the same time, you may not be in a committed relationship or part of any kind of larger community\u2014at least in any immediate sense. Since our society is organized around couples and families, this kind of loneliness can make you feel as though you are especially deprived.\n\nSo, loneliness is a complex condition, with no single trigger\u2014or even any trigger at all. People living with loneliness don't like to reveal it, because saying \"I am lonely\" is excruciatingly exposing and at the same time is easily dismissed as whining. But it's real, and it can be crippling.\n\nBecause loneliness is such a complex and persistent condition, patronizing instructions to get out and meet people don't help, especially because they don't take into account that many people who are plugged into communities can feel lonely. And, sometimes, forcing yourself into social situations can worsen feelings of isolation.\n\nMost important to remember is that loneliness is not about other people; it's about your own sense of authenticity, your place and belonging in the universe. With that in mind, I offer these suggestions to help you restore or recognize your value and the vital nature of your existence.\n\n\u2022 **Therapy:** Loneliness can lead to depression, addiction, even self-harm. If your loneliness is severe enough that you feel paralyzed or tempted to hurt yourself, please seek out effective treatment from a qualified therapist. See Chapter 7, page 163, Chapter 8, page 204, and \"Finding a Therapist\" later in this chapter for guidance in choosing a therapist.\n\n\u2022 **Unplug:** Online networking has become a necessary part of daily life. We join online communities\u2014like Facebook\u2014or participate on message boards, where we communicate with people all day long. We text and instant message, e-mail, and remain accessible to everyone at all hours, and still the epidemic of loneliness grows. Remember that your body is more than just a vehicle to carry your brain around. Although sitting in front of your electronics all day can give you the illusion of connectedness or activity, you may be neglecting the plain fact that your body exists in this world, too. Connecting your body to the air, the ground, the weather, the food you eat\u2014using all your senses every day\u2014is essential to your feeling of belonging to this world. Consider scheduling time for your online social activities and making yourself less accessible. For instance, answer e-mail or text messages once or twice a day; turn on your instant messenger only for a limited amount of time; put your phone away when you are visiting with other people.\n\n\u2022 **Volunteer:** Choose a cause that you believe in and offer your time and skills toward supporting it. Do so with the intention of engaging and furthering something meaningful to you. You might even find ways of spending time with other people who are lonely, like elderly neighbors or people who are housebound.\n\n\u2022 **Reinforce your place in the universe:** Whether you are spiritually minded, agnostic, or atheist, you can find fulfillment in the rituals, practices, and philosophies that bring you a sense of your own meaning in the grand scheme. Find some meeting place for people with a spirit similar to yours\u2014for meditation, yoga, hiking, church, or philosophical discussions.\n\n\u2022 **Find a regular place for yourself:** Go somewhere regularly, to work or to socialize or to sit and think. This can be a park, or a coffee house, or\u2014yes\u2014even a nice bar. Although this contradicts the idea of feeling lonely by being alone in a crowd, there is a point to \"having a place.\"\n\n\u2022 **Share your knowledge:** What skills do you have that you can share with others? Can you teach someone to sew? Garden? Do algebra? Fish? Offer to teach someone how to do something that you are good at, even if you are not an expert!\n\n\u2022 **Practice your loving kindness and compassion meditations and skills** from Chapter 5, with the intention of extending these feelings outward, to your friends, family, community, and further toward acquaintances, people you see daily, and even people you don't like.\n\n_Resources to help you cope with loneliness_\n\nReview the resources for \"Feelings of Unworthiness,\" page 247.\n\nBOOKS\n\n_Living Single_ , blogs and books by Bella DePaulo: <http:\/\/www.psychologytoday.com\/experts\/bella-depaulo-phd>\n\n_Lonely: Learning to Live with Solitude,_ by Emily White\n\n_True Belonging: Mindful Practices to Help You Overcome Loneliness, Connect with Others, and Cultivate Happiness_ , by Jeffery Brantley and Wendy Millstine\n\nFeeling Overwhelmed\n\n_You are the sky. Everything else\u2014it's just the weather._\n\n\u2014Pema Ch\u00f6dr\u00f6n\n\nFeeling overwhelmed is the sense that you are out of control, either of a situation or of your emotional response to it. It's the feeling that you are in way over your head, or that you cannot think rationally or act effectively. Perhaps you don't know where to begin tackling a big problem and have been allowing it to spiral into chaos. Or, perhaps you have too much on your plate. It could also be that you are so overcome by emotions that at this moment you cannot act effectively or think rationally. Anger, fear, stress, grief, exhaustion, and trauma can all contribute to the belief that you have no options. Here are some places to start:\n\n\u2022 **Mindfulness meditation:** This is essential for gaining and maintaining rational perspective, for centering yourself and finding repose.\n\n\u2022 **Delegate:** Ask for help.\n\n\u2022 **Break it down:** Dismantle any huge tasks into more manageable mini-tasks, and pick a place to start.\n\n\u2022 **Take a break:** Remove yourself from any volatile or emotionally fraught situation until you regain some control or perspective.\n\n\u2022 **Listen:** Talk through the situation with a friend or therapist. Remember to really listen to feedback and keep your mind open to possibilities. Resist the urge to say \"Yeah, but . . .\" and to dismiss options that have been presented to you. You don't have to follow through on everything you hear, but keep an open mind and make sure you are listening.\n\n\u2022 **Create opportunities:** Make a list of potential options and decisions you can make about your situation, especially if you're feeling stuck. Do this with a friend or helper, if possible.\n\n\u2022 **Review problem-solving skill:** Chapter 7 (\"Fortify,\" page 166).\n\n_Resources for helping you regain control when you're feeling overwhelmed_\n\nBOOKS\n\n_Calming the Emotional Storm,_ by Sheri Van Dijk\n\n_Emotional Intelligence 2.0_ , by Travis Bradberry and Jean Greaves\n\n_True Refuge_ , by Tara Brach\n\n_When Things Fall Apart_ , by Pema Ch\u00f6dr\u00f6n\n\nAUDIO\n\n_Don't Bite the Hook: Finding Freedom from Anger, Resentment, and Other Destructive Emotions_ , by Pema Ch\u00f6dr\u00f6n\n\n_Living Without Stress or Fear_ , by Thich Nhat Hahn\n\n_Stress-Proof Your Brain_ , by Rick Hanson\n\nWEBSITES\n\n\"Wisdom through Mindfulness\": wisdomthroughmindfulness.blogspot.com\n\nAnxiety or Depression\n\n_This being human is a guest house. Every morning is a new arrival. A joy, a depression, a meanness, some momentary awareness comes as an unexpected visitor . . . . Welcome and entertain them all. Treat each guest honorably. The dark thought, the shame, the malice, meet them at the door laughing, and invite them in. Be grateful for whoever comes, because each has been sent as a guide from beyond._\n\n\u2014Rumi\n\nAnxiety and depression are common mental health issues; they can cast a shadow over your life and make it difficult to maintain perspective or focus on your daily activities. As your mind and body adjust to your non-addicted way of life, you may experience periods of depression or anxiety. Avoiding these feelings can make reverting to addiction seem like the lesser of two evils. Remember that these feelings will likely pass\u2014or come and go\u2014but to make life bearable while you are in the thick of it, you can take steps to see you through them.\n\n\u2022 **Therapy:** If your anxiety or depression is chronic and severe enough to be debilitating, please visit a therapist who specializes in depression and anxiety. See \"Finding a Therapist\" later in this chapter for guidance on choosing a therapist.\n\n\u2022 **Go outside:** Expose yourself to the elements for at least fifteen minutes a day.\n\n\u2022 **Clean and declutter** your immediate environment.\n\n\u2022 **Stay on your schedule.**\n\n\u2022 **Reframe:** In your journal, write down the thoughts you are having about yourself or your situation and ask yourself how realistic or accurate those thoughts are. Have a friend help you, if possible.\n\n\u2022 **Eat healthfully:** Get rid of the junk food and sugar. If you're anxious, cut out caffeine.\n\n\u2022 **Change your environment:** Go somewhere open and peaceful, if that is a possibility for you. Head to a park or to a lake or ocean beach and absorb the new scenery. Or go downtown and people watch or window shop.\n\n\u2022 **Move:** Dance, exercise, walk the dog, ride your bike, swim, stretch. It doesn't matter what you do, but do something with your body.\n\n\u2022 **Consume information wisely:** Choose the media you consume with intention. Turn off the violence, the exploitative reality TV shows, and gossip. Avoid vitriolic Internet comments sections and mindless, time-sucking websites. Limit your media exposure, focusing your attention on what is informative, uplifting, inspirational, thought-provoking, and creative. Get your current events news from reliable sources such as a daily newspaper and\/or public radio.\n\n_Resources for managing depression and anxiety_\n\nTHERAPY\n\nReview \"Find Professional Help\": Chapter 7, page 163\n\nReview \"Mental Health\" (including types of therapy): Chapter 8, page 204\n\nSee \"Finding a Therapist\" later in this chapter.\n\nHakomi (meditation-based) Psychotherapy: <http:\/\/hakomiinstitute.com\/about\/the-hakomi-method>\n\nBOOKS\n\n_Feeling Good_ , by David D. Burns\n\n_The Mindful Way Through Depression_ , by Mark Williams and John Teasdale\n\n_The Mindfulness Solution: Everyday Solutions for Everyday Problems_ , by Ronald Siegel\n\n_Psychotherapy Without the Self: A Buddhist Perspective_ , by Mark Esptein\n\n_When Panic Attacks_ , by David D. Burns\n\nGUIDED MEDITATIONS\n\n_Free Yourself from Anxiety_ , by Erin Olivo: soundstrue.com\n\n\"Guided Forgiveness Meditation for Depression,\" by Ronna Kabatznick, free from Audio Dharma: www.audiodharma.org\n\n\"Relieve Depression,\" by Belleruth Naparstek: healthjourneys.com\n\nAUDIO\n\n_The Fearless Heart: The Practice of Living with Courage and Compassion_ , by Pema Ch\u00f6dr\u00f6n\n\n_Living Without Stress or Fear_ , by Thich Nhat Hahn\n\nMIND-BODY ACTIVITY WEBSITES\n\nGaiam: www.gaiam.com\n\nFeldenkrais Method: www.feldenkrais.com\n\nMINDFULNESS PSYCHOTHERAPY WEBSITES\n\nThe Institute for Mindfulness and Psychotherapy: <http:\/\/www.meditationandpsychotherapy.org>\n\nThe Mindfulness Solution:\n\n<http:\/\/www.mindfulness-solution.com>\n\nMark Epstein on Mindfulness and Psychotherapy\n\n<http:\/\/www.psychotherapy.net\/interview\/epstein-buddhism>\n\nAbusive Relationships\n\n_Never allow someone to be your priority while allowing yourself to be their option._\n\n\u2014Mark Twain\n\nLiving with abuse, mental or physical, including infidelity, is traumatizing and crazy-making. If you are being manipulated, bullied, lied to, intimidated, emotionally or physically abused, you can lose your faith in yourself, your sense of self-worth, and your ability to recognize and act on the real options you have\u2014all of which can reduce your ability to cope with addiction. If you are suffering with abuse, in any form, _it is vital_ that you remove yourself from the harmful, traumatizing domestic or social situation.\n\nEscaping abuse is much easier said than done when your finances or livelihood or sense of self-worth are dependent on your abuser, or when you have been so devastated that you don't trust yourself to make the proper choices. It may seem a paradox to say that your sense of self-worth is (or feels as though it is) dependent on the abuser. Yet, this is the basic dynamic in an addictive, abusive relationship\u2014abuse and dependence feed on one another. Clearly, the subjects of addictive and abusive relationships can be the basis for an entire book (like _Love and Addiction_ ). For the present purpose of avoiding falling back into an addiction, let me offer here some guidance and resources that can help you find support and sanctuary.\n\n\u2022 **Reach out to family and friends:** Often, people who are being abused are ashamed to admit it to the people closest to them, for a variety of reasons. Abusers also will take measures to isolate their victims from family and friends. It is important that you let your loved ones know what is happening to you. Not only will this allow people to help you, it will also bring you a sense of accountability to people outside of your abusive circumstances.\n\n\u2022 **Contact domestic abuse support:** Local shelters, abuse hotlines, police, and courts can advise you and provide you with a supportive network.\n\n\u2022 **Remember who you are:** People who are being abused often lose their sense of self, forgetting what inspires them and brings their life meaning. Removing yourself from an abusive environment, changing your physical perspective, even for a short time, can help ground you and remind you that the world is bigger than your immediate situation.\n\n\u2022 **Value, purpose, and meaning:** Review Chapter 6 (\"Rediscover\") to reestablish your priorities.\n\n\u2022 **Counseling:** Find a counselor or therapist who specializes in abuse. Be alert for and wary of people who use buzzwords and phrases like \"codependency\" and \"look at your part.\" For sure, you want to explore the reasons why you might find yourself accommodating an unacceptable situation, but do so with someone who is not locked into a 12-step philosophy. (See the next section of this chapter, \"Finding a Therapist.\")\n\n\u2022 **Review my discussion of permission in \"Self-Knowledge and Personal Choice\" (Chapter 8, page 188):** Remember that abusers (like addicts) don't abuse (or make poor choices) because they're \"passionate\" or \"out of control.\" We all go only as far as we have given ourselves permission to go.\n\n\u2022 **Review \"Boundary Setting\" (Chapter 7, page 176):** In essence, abuse is the failure to observe boundaries. Your boundaries\u2014or where you end and others begin, what you will or will not permit others to do to you (or what you will do to them)\u2014are critical in abuse.\n\n_Resources for dealing with abusive situations_\n\nBOOKS\n\nAlthough many books on abuse speak directly to women\u2014since 85 percent of abuse victims are women\u2014these should not be dismissed by men who are living with abuse:\n\n_Love and Addiction_ , by Stanton Peele with Archie Brodsky\n\n_The Verbally Abusive Relationship: How to Recover_ , by Patricia Evans\n\n_Why Does He Do That? Inside the Mind of Angry and Controlling Men_ , by Lundy Bancroft\n\nGUIDED MEDITATIONS\n\n\"Guided Meditations for Self Healing,\" by Jack Kornfield: www.jackkornfield.com, www.soundstrue.com\n\n\"Heartbreak, Abandonment, and Betrayal,\" by Belleruth Naparstek: www.lifejourneys.com\n\n\"Meditations for Emotional Healing,\" by Tara Brach: www.soundstrue.com, www.tarabrach.com\n\nThe meditations above are also available at www.amazon.com and itunes.\n\nWEBSITES\n\nNational Domestic Abuse Hotline: www.thehotline.org. This website contains a wealth of information, resources, links, support, and guidance.\n\nFinding a Therapist\n\nIf you believe it would be helpful to seek therapy for support in overcoming addiction or other mental health or emotional issues, here are some tips on finding someone who suits you. You are seeking someone who is qualified to address your particular problem areas, who is not locked into an agenda at odds with your own, whose point of view is simpatico with your values, and whose opinion you respect.\n\n\u2022 **Get referrals:** Ask trusted friends who share your sensibilities and worldview for recommendations.\n\n\u2022 **Research:** Go online and read client reviews or visit therapists' websites and read their philosophies and writing.\n\n\u2022 **Interview:** Your relationship with your therapist is an important one. Remember that you are seeking to hire someone for a service, and not everyone will possess the specific skills or perspective you are looking for. Inquire whether they offer free initial consultations, or at least speak with them by phone. Before you go in or speak with the person, make note of what qualities are important to you in a therapist. Ask questions about his or her approach and philosophy. Keep interviewing until you find someone who is a good fit for you.\n\n\u2022 **Ask about payment:** Some therapists will take insurance, others will offer a sliding scale to low-income clients. Ask about your options.\n\n\u2022 **Trust your gut:** Therapists will often encourage their clients to venture out of their comfort zone, which is appropriate. However, it's important for you to distinguish between challenging yourself and violating your values. It is a red flag if a therapist instructs you to do something that offends or compromises your values. Immediately express your reservations. Don't be pressured into doing anything you don't believe is right. If you are feeling bullied or manipulated, the odds are that your feelings are correct. Trust yourself and move on.\n\n\u2022 Review \"Boundaries and Addiction Treatment\" in Chapter 7 (page 180), \"Find Professional Help\" in Chapter 7 (page 163), and \"Mental Health,\" including types of therapy, in Chapter 8 (page 203).\n\n_Resources to help you find a therapist_\n\nHakomi (meditation-based) Psychotherapy: <http:\/\/hakomiinstitute.com\/about\/the-hakomi-method>\n\n_Inside Rehab: The Surprising Truth About Addiction Treatment?_ and _How to Get Help That Works,_ by Anne M. Fletcher Psych Central, Therapist Directory: http:\/\/psychcentral.com\/find-help]\n\nPsychology Today, Therapy Directory: therapists.psychologytoday.com\n\nPsychology Today, Therapy Directory: therapists.psychologytoday.com\n\nEducation and Career\n\nThe PERFECT Program is based on the belief that you will overcome addiction when you connect with your true self instead of an addiction, follow your values and the purposes these lead to, and pursue the resulting goals you select. Any other form of addiction therapy or resolution is stopgap, and cannot have the fundamental link to your heart and mind that true recovery requires. Following are resources for pursuing your education and desired job or career.\n\nIf you are considering going back to school, but don't know where to start, let me offer you some practical help:\n\n\u2022 If you need to earn your GED (General Education Diploma), visit the GED Testing Service website (www.gedtestingservice.com) to find resources and information. You may even contact them by phone or e-mail to get help.\n\n\u2022 Stay away from the for-profit colleges you see advertised on TV. They're extremely expensive, their standards are low, and they are not as successful at finding placement for their graduates as established educational institutions.\n\n\u2022 Ask yourself if you want to pursue a degree or a trade.\n\n\u2022 Choose a few areas that interest you and that you believe you have an affinity for, and that might be a practical choice for your future. For instance, you might love philosophy, but consider what positions that field of study will qualify you to hold once you have earned your degree.\n\n\u2022 Get online and see if there are any local schools that offer what you are looking for.\n\n\u2022 Contact the schools and make an appointment with their admissions adviser or the adviser for the particular program or degree you are interested in.\n\n\u2022 Before your meeting, make sure you have a list of questions and goals, so that they can guide you effectively toward meeting or reassessing your goals.\n\n\u2022 There are many options for funding. Make an appointment with the Financial Aid office. You might find that you qualify for a loan, scholarship, or grant.\n\n\u2022 If you are short on time, check to see if your school offers online courses or night courses, as well as child care.\n\nIf your goals are occupation-oriented\u2014say you would like to work in a particular field, seek promotion in your current job, or even start your own business\u2014there is guidance and resources for you, too.\n\n\u2022 Many community colleges offer career-counseling services for students.\n\n\u2022 Visit your state's government page (which will normally be www.[fillinyourstate].gov and seek out their Employment Services under their Human Services Department. You might discover that your state has what's called \"Vocational Rehabilitation,\" which provides counseling in all aspects of finding employment.\n\n\u2022 A well-composed resume is required. Find a professional resume-writing service that can provide you with a neat, thorough resume. It is worth the money.\n\nIf you are seeking to advance in your current employment, there are several approaches you can take:\n\n\u2022 Complete your Goals Worksheet, but include some time-specific goals: for instance, where would you like to be in a year's time, five years' time? What will you have to do to meet these goals (e.g., more education or training)? Find out if your company will cover all or some of the costs of your further education.\n\n\u2022 Make contact with others at your employment who have already met the goals that you have set for yourself, and ask them for guidance.\n\n\u2022 Do the best job you can do in your current position.\n\n\u2022 Keep your ear to the ground and ask around, at work and on the outside! You might find that another business can offer you more opportunities for advancement.\n\nPerhaps you are interested in starting your own business. How do you go about that?\n\n\u2022 The first thing to do is to contact your local Small Business Association. They offer free business counseling, no matter what stage you are in\u2014even if you are just contemplating the idea. They also offer classes in several areas, from bookkeeping to preparing an effective business plan.\n\n\u2022 Speaking of business plans: This is a crucial step, even if you have no intention of presenting it to a bank for a loan. Doing so will help you clarify your goals and recognize whether or not you are being realistic.\n\n\u2022 Start small and let your business grow organically. There is always the temptation to throw all your time and money into a new business, because it's so exciting. However, there is a lot to learn along the way, and you don't want to miss those lessons\u2014or find yourself in too far over your head and in debt before you have an opportunity to make effective adjustments.\n\n\u2022 Do your research. This does not mean simply buying a book. Talk to others who are running businesses like the one you want to create. (You know the definition of an expert? Someone who has already done what you want to do.) If you have the opportunity, work for one of these businesses, so you can experience their reality.\n\n\u2022 Based on your goals, values, and journal exercises, examine whether it is realistic for you to devote yourself to the type of business you have in mind.\n\nFinancial Management\n\nFinally, no other strictly practical matter will sidetrack you from achieving recovery the way financial distress can do. Likewise, financial distractions will undermine your life goals almost as much as will legal, health, family, and emotional problems. Yet\u2014of these things\u2014finances are the easiest to control through limited, but concentrated, effort. So let's tackle finances and restore your peace of mind. No matter how much of a mess you have on your hands, you can pull yourself out of it and keep yourself out. Schedule time on your calendar to devote to this. When that time comes, shut off your phone, iPad, and so on, and then break this task down into a series of manageable mini-goals.\n\n\u2022 Organize all your bills. This process of organization should help you gain some clarity and sense of control over your situation. Even if you find that you are more in debt than you expected, or are overwhelmed by what you must face up to, you have taken an enormous step forward, and there is support available to help you prioritize and tackle your financial issues.\n\n\u2022 If you have unopened mail and bills accumulating around your house or on your desk, put them all in one place. Find a container\u2014perhaps a paper bag or a box\u2014to put everything in.\n\n\u2022 Once you have everything in one place, you're going to sort through it. Clear a workspace for yourself, perhaps a kitchen table or even the floor, and create two categories: Save and Discard. In your Save pile, put all the bills or paperwork that you will need to deal with either right away or at some point in the future, and then items you should file away. In the Discard pile, include everything that is redundant (save only the most recent of each type of bill). Be careful about how you dispose of the material in your Discard pile, because it may contain sensitive information. If you have access to a shredder, use it. Remove the Discard pile from your workspace as quickly as possible, to get it off your mind.\n\n\u2022 Now, you will want to break down your Save pile into a few more categories. Again, clear your workspace of clutter, especially your Discard pile. Your categories here will include items you can deal with immediately\u2014for instance, bills you can afford to pay on the spot; items you must take further action on or get more information about before they can be dealt with\u2014for instance, you may have to make a phone call about payment arrangements; and items that must be filed. So: Now; Later; and File.\n\n\u2022 In a notebook, create a checklist that corresponds to each pile. For the Now pile, simply create an entry for each item. For the Later pile, create an entry for each item, and underneath it write down the steps you need to take. If you have phone calls to make, copy down the contact information, your account number, how and when you will contact the debt-holder or other party, how much you owe, or any relevant information you'll need to take those further steps. You may be aware of financial obligations for which you have no paperwork on hand. Add these to your list, along with the steps you need to take to find out exactly what to do. For your File pile, examine your items one by one and determine what categories they belong in: financial statements, receipts, credit card statements, mortgage statements.\n\n\u2022 If there is anything you can handle right now, do it, and check it off your list.\n\n\u2022 Speak to a debt counselor. Now that you have a better handle on your situation and understand what needs to be addressed, you will have the information you need to present to a counselor who can help you. Be wary of the \"debt consolidation\" services you hear advertised on TV or radio. Instead, seek out an accredited, nonprofit organization whose counselors can mentor you in budgeting without ulterior motives. Check out the National Foundation for Credit Counseling (www.nfcc.org) to find counseling in your area. They offer a wealth of information and guidance in several areas of financial concern.\n\n\u2022 If you would like to know what your credit score is, be similarly wary of the businesses you see advertised. They may say they offer free information, but you often can find yourself paying for unnecessary information or services. All three credit-reporting agencies are required, by law, to provide you with a free copy of your credit report and score once a year, and they have set up a website where you can request your reports\u2014www.annualcreditreport.com. The best place for you to start is at the Federal Trade Commission website\u2014www.ftc.gov\u2014where you will find the clearest instructions.\n\n\u2022 Avoid predatory lenders! That includes car title loan businesses, check-cashing services, and car dealers or other businesses that promise to finance anyone, \"Bad Debt OK!\" These businesses exist solely for the purpose of putting you further into debt and ruining your credit. That, in fact, is their business plan. They exist to prey on desperation. There are always other options, including the following.\n\n\u2022 Contact your creditors for a payment arrangement. Utility companies, for example, normally will do everything they can to prevent cutting you off, if you are simply willing to make the phone call. Credit card companies likewise are motivated to arrange a \"workout.\" Don't ask how I know such things, which are explained at <http:\/\/banking.about.com\/od\/loans\/p\/workout.htm>.\n\n\u2022 Contact your local social services organization. It's possible they can provide you with emergency help.\n\n\u2022 Make an appointment with the Credit Counseling Service, who may be able to direct you to other resources.\n\n\u2022 Seek the services of a reputable financial adviser or a group that works with people like you, and that is not oriented primarily towards hijacking additional fees from you. Such resources exist, as represented by Nona Jordan in the previous chapter: nonajordan.com.\n\n\u2022 Do not be afraid or ashamed to ask for help from friends or family or your church, if this is an option for you. They may be glad to help you in the service of your larger goals.\n\n\u2022 Implement a system: Create an inbox dedicated only to your bills, and carve out a time every month for taking action on each item. Have envelopes, stamps, pens, a calculator, and whatever other items you may need to facilitate the task. You can set up automatic bill-paying through your bank for almost any service you pay for, from your utilities to your credit card bills.\n\n\u2022 Review your bank statement regularly to determine whether there are any recurring expenses that you can't afford. For instance, perhaps in a state of inebriation you signed up for an online service and then promptly forgot about it! Are you being charged monthly for anything you're not using? (Again, something we all might know about.) Perhaps your bank is debiting a monthly service charge from your account that you were unaware of.\n\n\u2022 If you are technically adept, you can consider exploring a free money-management system, like mint.com, which allows you to set spending limits, make up a household budget, send yourself alerts when bills are coming due, and receive notifications when your balance is getting low or when you have been charged a service fee.\n\n\u2022 Explore free classes in money management.\n\n\u2022 Find books online, at the library, or at your local bookstore about basic financial management.\n\n\u2022 Really, it will all work out\u2014they no longer have debtors' prisons. Note: For relief take Dickens's _Little Dorrit_ \u2014DVD or book\u2014out from your local library, or read online (<http:\/\/charlesdickenspage.com\/dorrit.html>). Don't buy a copy of this or any other book or DVD (except for _Recover!_ ) and any other practical guides or make any other nonessential purchases.\n\nBeyond This Chapter\u2014And the Book\n\nThis chapter gives you a quick, comprehensive overview and ideas for managing various life circumstances that you may have difficulty coping with during your recovery. It is also worthwhile to create your own personal \"Triage\" list, based on your experience, focusing on areas you expect you will have trouble with and solutions you believe will work best for you. If you find that a challenge you anticipate was not covered in this chapter, you might still peruse the lists and resources I have provided. But if you cannot find what you're looking for, I encourage you to explore on your own. Get online. Local and state government agencies offer you public resources. Don't be afraid to make phone calls and ask questions, request direction, or ask for referrals. Pursuing resources on your own is an empowering exercise of the life skills\u2014of the life outlook\u2014that The PERFECT Program is about.\n\n_Afterword_\n\nWrite Your Own Conclusion\n\n_Recover!_ is a title in the form of an imperative\u2014something that you _should_ do. But this book tells you not to follow other people's scripts or philosophies other than those you develop for yourself from your own experience. You can abstain or moderate or curtail harms; you can join groups\u2014religious, AA, or otherwise\u2014or go it on your own. You can meditate while sitting upright, standing, walking, or\u2014from a yoga position\u2014standing on your head.\n\nIn telling you that how you proceed from here is up to you, I am simply stating the obvious. Still, I want you to get better\u2014to improve your state of mind, your life, your relationship to the people and the world around you, and to cease your addiction(s). But I want to send you off with more than good wishes. I want to remind you of all that you have accomplished by thinking about addiction and learning and practicing The PERFECT Program.\n\nYou began with deep concerns about yourself and your life. And you have embarked on a journey to recover your real self, the person you are capable of being, based on your values and purpose. This is the meaning of your existence\u2014much of which is already in place, perhaps for you to be reminded of, some of which it is yet for you to discover. As well as rediscovering who you are, you have developed the tools and skills to lead a positive, non-addicted lifestyle. You have worked on focusing your mind in new ways while accepting your true self as part of your permanent, true recovery; you have practiced communication, listening, and problem-solving skills, including how to quit your addiction and maintain your freedom; you have developed plans both for daily living and for your future\u2014including how you deal with work, finances, intimacy, your family; how you will spend your \"free\" time and with whom; and what your life goals are and will be. That's effort well spent.\n\nYou have learned through The PERFECT Program to be mindful of yourself and your world, to embrace your inner being and real self, to breathe easily, not to panic, to keep your goals and techniques in mind, and to move carefully but resolutely ahead. You have also learned two essential things. The first is to celebrate your existence on earth, to take full advantage of and appreciate this world and all that it contains\u2014people, nature, opportunities, pleasure, yourself.\n\nWhich leads to the second key thing that you have learned. You can\u2014you must\u2014count on yourself\u2014look to yourself as your own best advocate, supporter, and friend. You have been engaged in imagining and planning your life after reading this book. Now you must navigate that life. This isn't a command I'm giving you\u2014it's a statement of an inevitable reality. No one else can pilot your life for you\u2014at least if you are following The PERFECT Program.\n\nThere are many other people in your life who are wishing you well besides me and Ilse Thompson. For one thing, you can seek support and have contact with fellow travelers on this voyage\u2014and this does _not_ mean simply those who have suffered addictions identical to your own. There are _many_ people for whom you are becoming a new, non-addicted person\u2014children, spouses, partners, parents, teachers, faith leaders, friends, extended family, members of communities you choose to become part of\u2014all of whom will benefit from, and deeply appreciate, who you are becoming.\n\nI wish you a good journey as you go forth to realize your potential. This is not always a safe and sure journey\u2014there are rocks and turns on every path. But it is a journey that you are capable of making and that you will make\u2014sooner or later. The PERFECT Program is just a road map to make that passage a little quicker and easier.\n\nNow carry on with my and Ilse's best wishes,\n\n_Stanton Peele and Ilse Thompson_\n\n_Co-Founders, The PERFECT Program_\nNotes\n\nIntroduction\n\n. Centers for Disease Control and Prevention, _Smoking Cessation_. National Center for Chronic Disease Prevention and Health Promotion: Office on Smoking and Health, 2012, <http:\/\/www.cdc.gov\/tobacco\/data_statistics\/fact_sheets\/cessation\/quitting\/index.htm>.\n\nChapter 1\n\n. Carl Hart's book, _High Price: A Neuroscientist's Journey of Self-Discovery That Challenges Everything You Know About Drugs and Society_ (HarperCollins, 2013), details the myths surrounding drugs, and particularly meth, whose uncontrollable, brain-destroying effects Hart's research contests. Hart \"even takes on 'meth mouth,' noting that the dry mouth symptoms that have been blamed for the terrible dental problems seen in some methamphetamine users also accompany the use of legal amphetamines and some antidepressant medications.\" Maia Szalavitz, \"Why the Myth of the Meth-Damaged Brain May Hinder Recovery,\" _Time Healthland_ , November 21, 2011, <http:\/\/healthland.time.com\/2011\/11\/21\/why-the-myth-of-the-meth-damaged-brain-may-hinder-recovery>.\n\nChapter 2\n\n. Hillel R. Alpert, Gregory N. Connolly, and Lois Biener, \"A Prospective Cohort Study Challenging the Effectiveness of Population-Based Medical Intervention for Smoking Cessation,\" _Tobacco Control_ , January 10, 2012, <http:\/\/tobaccocontrol.bmj.com\/content\/early\/2012\/01\/03\/tobaccocontrol-2011\u2013050129.abstract>.\n\n. Jacqueline Detwiler, \"The Ten Hardest Drugs to Quit,\" _The Fix,_ December 20, 2011, <http:\/\/www.thefix.com\/content\/10-hardest-addictive-drugs-to-kick7055>.\n\n. Stanton Peele, \"Proof That Treating Addiction with Drugs Doesn't Work,\" _Huffington Post,_ January 11, 2012, <http:\/\/www.huffingtonpost.com\/stanton-peele\/smoking-addiction_b_1195953.html>.\n\n. Benedict Carey, \"Nicotine Gum and Skin Patch Face New Doubt,\" _New York Times_ , January 9, 2012, <http:\/\/www.nytimes.com\/2012\/01\/10\/health\/study-finds-nicotine-gum-and-patches-dont-help-smokers-quit.html>.\n\n. Lindsey F. Stead, Rafael Perera, Chris Bullen et al. \"Nicotine Replacement Therapy for Smoking Cessation,\" _The Cochrane Library,_ November 14, 2012, <http:\/\/onlinelibrary.wiley.com\/doi\/10.1002\/14651858.CD000146.pub4\/abstract>.\n\n. Brad W. Lundahl, Chelsea Kunz, Cynthia Brownell et al., \"A Meta-Analysis of Motivational Interviewing: Twenty-Five Years of Empirical Studies,\" _Research on Social Work Practice_ 20(2):137\u2013160, 2010.\n\n. Stanton Peele, _The Meaning of Addiction_ , 2nd ed. (San Francisco: Jossey-Bass, 1998); <http:\/\/lifeprocessprogram.com\/the-meaning-of-addiction-1-the-concept-of-addiction>.\n\n. American Psychiatric Association, _APA Corrects New York Times Article on Changes to DSM-5's Substance Use Disorders_ (Arlington, VA: American Psychiatric Association, 2012).\n\n. Stanton Peele, \"Addiction in Society: Blinded by Biochemistry,\" _Psychology Today_ , September 1, 2010, <http:\/\/www.psychologytoday.com\/articles\/201010\/addiction-in-society-blinded-biochemistry>.\n\n. See \"The Amen Solution,\" http:\/\/www.amenclinicscom\/?p=5158&option=com_wordpress&Itemid=204.\n\n. Mika Brzezinski, _Obsessed: America's Food Addiction\u2014And My Own_ (Philadelphia: Weinstein\/Perseus, 2013).\n\n. Michael Moss, _Salt Sugar Fat: How the Food Giants Hooked Us_ (New York: Random House, 2013).\n\n. Stanton Peele with Archie Brodsky, _Love and Addiction_ (New York: NAL\/Signet, 1975).\n\n. James Burkett and Larry Young, \"The Behavioral, Anatomical and Pharmacological Parallels Between Social Attachment, Love and Addiction,\" _Psychopharmacology_ 224(1):1\u201326, 2012, <http:\/\/www.ncbi.nlm.nih.gov\/pubmed\/22885871>.\n\n. Lindsay Abrams, \"'Sex Addiction' Redefined,\" _The Atlantic_ , October 19, 2012, <http:\/\/www.theatlantic.com\/health\/archive\/2012\/10\/sex-addiction-redefined\/263873>.\n\n. Pernille Gronkjaer (director), \"'Love Addict' Movie Explores Love Addiction, 'Fantasy Universe,'\" _Huffington Post,_ October 22, 2012, <http:\/\/www.huffingtonpost.com\/2012\/10\/22\/love-addict-movie-explore_n_2002775.html>.\n\n. National Institute on Alcohol Abuse and Alcoholism, \"Alcoholism Isn't What It Used to Be,\" _NIAAA Spectrum_ , September 2009, <http:\/\/www.spectrum.niaaa.nih.gov\/media\/pdf\/NIAAA_Spectrum_Sept_09_tagged.pdf>.\n\n. Shari Roan, \"You Can Cut Back,\" _Los Angeles Times_ , November 13, 2009, <http:\/\/www.latimes.com\/features\/health\/la-he-alcohol16\u20132009nov16,0,3127580,full.story>.\n\n. Centers for Disease Control and Prevention, \"Smoking Cessation: Nicotine Dependence,\" in _Smoking & Tobacco Use_, <http:\/\/www.cdc.gov\/tobacco\/data_statistics\/fact_sheets\/cessation\/quitting\/index.htm>.\n\n. Stanton Peele, \"This Is How People Quit Addictions,\" _Huffington Post,_ September 13, 2011, <http:\/\/www.huffingtonpost.com\/stanton-peele\/this-is-how-people-quit-a_b_949826.html>.\n\n. I could fill this book, as I did my _Addiction-Proof Your Child_ (Random House\/Three Rivers Press, 2007), with examples and data demonstrating parental remission for alcoholics and drug addicts, like the woman who felt her baby kicking, put down her drink, and said, \"I'll never touch another drop,\" and didn't. Here are two more cases: While discussing Mika Brzezinski's best-selling book on her eating disorder, _Obsessed_ , fellow MSNBC host Al Sharpton described how he lost over one hundred pounds (and you think you have a tough addiction to quit?): \"My youngest daughter said to me, 'Daddy, why are you so fat?'\" Meanwhile, I was at a dinner party with parents of young children. I asked the six parents present if any had smoked\u2014all had. All had quit. I looked at one particularly attentive father of two young children, and said, \"I bet you and your wife knew you would sooner kill yourself than not quit\"\u2014his wife nodded vigorously.\n\n. Stanton Peele, \"The 7 Hardest Addictions to Quit\u2014Love Is the Worst,\" _Psychology Today Blogs_ , December 15, 2008, <http:\/\/www.psychologytoday.com\/blog\/addiction-in-society\/200812\/the-7-hardest-addictions-quit-love-is-the-worst>.\n\n. Lizzie Crocker, \"Mika Brzezinski on 'Obsession,' Her New Book About Food Addiction,\" _Women in the World_ , May 9, 2013, <http:\/\/www.thedailybeast.com\/witw\/articles\/2013\/05\/09\/mika-brzezinski-on-obsession-her-new-book-about-food-addiction.html>.\n\n. Keith S. Ditman, George G. Crawford, Edward W. Forby et al., \"A Controlled Experiment on the Use of Court Probation for Drunk Arrests,\" _American Journal of Psychiatry_ 124:160\u2013163, 1967.\n\n. Jeffrey Brandsma, Maxie Maultsby, and Richard J. Walsh, _Outpatient Treatment of Alcoholism_ (Baltimore: University Park Press, 1980).\n\n. William R. Miller, Verner S. Westerberg, Richard J. Harris, and J. Scott Tonigan, \"What Predicts Relapse? Prospective Testing of Antecedent Models,\" _Addiction_ 91(Supplement):155\u2013171, 1996, <http:\/\/www.ncbi.nlm.nih.gov\/pubmed\/8997790>.\n\n. Think New York City\u2014and its population of immigrants\u2014where Prohibition was largely ignored. Mark Lerner, _Dry Manhattan: Prohibition in New York City_ (Cambridge, MA: Harvard University Press, 2008).\n\n. John Kobler, _Ardent Spirits: The Rise and Fall of Prohibition_ (New York: Putnam, 1973).\n\n. Stanton Peele, \"Why Medicine for Addiction Will Make Our Problems Worse,\" _Huffington Post,_ July 20, 2011, <http:\/\/www.huffingtonpost.com\/stanton-peele\/addiction-medicine-research_b_896744.html>.\n\n. These points were made in the exhibit \"American Spirits: The Rise and Fall of Prohibition,\" at the National Constitution Center in Philadelphia, based on Daniel Okrent's _Last Call_ , which also inspired Ken Burns and Lynn Novick's 2011 PBS documentary, _Prohibition_. The exhibit examines \"the patchwork of strange liquor laws that began after the repeal of Prohibition and persist to this day. In Oklahoma, no one under 21, not even a baby in its mother's arms, can be in a liquor store; in Indiana, convenience stores can sell beer only at room temperature.\" Edward Rothstein, \"A Look at Prohibition, Hardly Dry,\" _New York Times_ , October 18, 2012, <http:\/\/www.nytimes.com\/2012\/10\/19\/arts\/design\/american-spirits-at-the-national-constitution-center.html>.\n\n. Stanton Peele, \"Alcohol: The Good Side,\" _Los Angeles Times_ , July 21, 2010, <http:\/\/articles.latimes.com\/2010\/jul\/21\/opinion\/la-oe-peele-alcohol-20100721>.\n\n. Carl Hart, _High Price: A Neuroscientist's Journey of Self-Discovery That Challenges Everything You Know About Drugs and Society_ (New York: HarperCollins, 2013).\n\n. Douglas Quenqua, \"Rethinking Addiction's Roots, and Its Treatment,\" _New York Times_ , July 10, 2011, <http:\/\/www.nytimes.com\/2011\/07\/11\/health\/11addictions.html>.\n\n. Stanton Peele, \"Addiction in Society: Blinded by Biochemistry,\" _Psychology Today_ , September 1, 2010 <http:\/\/www.psychologytoday.com\/articles\/201010\/addiction-in-society-blinded-biochemistry>.\n\n. Stanton Peele, \"Reductionism in the Psychology of the Eighties: Can Biochemistry Eliminate Addiction, Mental Illness, and Pain?\" _American Psychologist_ 36:807\u2013818, 1981, <http:\/\/www.peele.net\/lib\/reduct.php>.\n\n. Stanton Peele, \"You've Got Your Nerves in My Depression,\" Reason.com, April 30, 2013. Review of Edward Shorter, _How Everyone Became Depressed_ (New York: Oxford, 2013), <http:\/\/reason.com\/archives\/2013\/04\/30\/youve-got-your-nerves-in-my-depression>.\n\n. Stanton Peele, \"The Search for Mental Illness in the Brain, Part I: The Disappointment of the Human Genome Project,\" _Huffington Post,_ May 17, 2013, <http:\/\/www.huffingtonpost.com\/stanton-peele\/obama-brain-initiative_b_3286288.html>.\n\n. Abigail Zuger, \"A General in the Drug War,\" _New York Times_ , June 13, 2011, <http:\/\/www.nytimes.com\/2011\/06\/14\/science\/14volkow.html>.\n\n. Howard Markel, \"The D.S.M. Gets Addiction Right,\" _New York Times_ , June 5, 2012, <http:\/\/www.nytimes.com\/2012\/06\/06\/opinion\/the-dsm-gets-addiction-right.html>.\n\n. Ian Urbina, \"Addiction Diagnoses May Rise Under Guideline Changes,\" _New York Times_ , May 11, 2012, <http:\/\/www.nytimes.com\/2012\/05\/12\/us\/dsm-revisions-may-sharply-increase-addiction-diagnoses.html>.\n\n. Maia Szalavitz, \"Naomi Wolf's _Vagina_ Aside, What Neuroscience Really Says About Female Desire,\" _Time_ , September 18, 2012, <http:\/\/healthland.time.com\/2012\/09\/18\/what-neuroscience-really-says-about-the-vagina-and-female-desire\/#ixzz29NoCjxPa>.\n\n. Sam Anderson, \"Angry Birds, Farmville and Other Hyperaddictive 'Stupid Games,'\" _New York Times Magazine_ , April 4, 2012, www.nytimes.com\/2012\/04\/08\/magazine\/angry-birds-farmville-and-other-hyperaddictive-stupid-games.html.\n\n. Claire Bates, \"Why Only Some People Become Addicted to Drugs: Scans of Cocaine Users Reveal Brain Shape Could Be to Blame,\" _Mail Online,_ January 18, 2013, <http:\/\/www.dailymail.co.uk\/health\/article-2264596\/Why-people-addicted-drugs-Scans-cocaine-users-reveal-shape-brain-blame.html>.\n\n. Fulton Timm Crews and Charlotte Ann Boettiger, \"Impulsivity, Frontal Lobes and Risk for Addiction,\" _Pharmacology, Biochemistry, and Behavior_ 93(3): 237\u2013247, 2009.\n\n. Joseph LeDoux, _Synaptic Self: How Our Brains Become Who We Are_ (New York: Penguin, 2003).\n\n. Maia Szalavitz, \"Siblings Brain Study Sheds Light on Roots of Addiction,\" _Time_ , February 3, 2012, <http:\/\/healthland.time.com\/2012\/02\/03\/siblings-brain-study-sheds-light-on-the-roots-of-addiction>.\n\n. Marnia Robinson and Gary Wilson, \"Guys Who Gave Up Porn: On Sex and Romance,\" _Psychology Today Blogs_ , February 1, 2012, <http:\/\/www.psychologytoday.com\/blog\/cupids-poisoned-arrow\/201202\/guys-who-gave-porn-sex-and-romance>.\n\n. Rachael Rettner, \"'Sex Addiction' Still Not an Official Disorder,\" _Livescience_ , December 6, 2012, <http:\/\/www.livescience.com\/25306-sex-addiction-disorder.html>.\n\n. Maia Szalavitz, \"My Name Is John and I Am a Sex Addict (Or Maybe Not),\" _Time,_ July 23, 2013, <http:\/\/healthland.time.com\/2013\/07\/23\/my-name-is-john-and-i-am-a-sex-addict-or-maybe-not>.\n\n. Marnia Robinson and Gary Wilson, \"Was the Cowardly Lion Just Masturbating Too Much?\" _Psychology Today Blogs_ , January. 11, 2010, <http:\/\/www.psychologytoday.com\/blog\/cupids-poisoned-arrow\/201001\/was-the-cowardly-lion-just-masturbating-too-much>.\n\n. Robinson and Wilson, \"Guys Who Gave Up Porn: On Sex and Romance.\"\n\n. Alan Leshner, \"Addiction Is a Brain Disease, and It Matters,\" _Science_ , October 3, 278(5335):45\u201347, 1997.\n\n. <http:\/\/vimeo.com\/43606271>\n\n. Marc Lewis, \"How I Quit. . . . At Least, How I Think I Quit,\" <http:\/\/www.memoirsofanaddictedbrain.com\/connect\/how-i-quit-at-least-how-i-think-i-quit>.\n\n. Maia Szalavitz, \"Why the Myth of the Meth-Damaged Brain May Hinder Recovery,\" _Time_ , November 21, 2011, <http:\/\/healthland.time.com\/2011\/11\/21\/why-the-myth-of-the-meth-damaged-brain-may-hinder-recovery>.\n\n. Vincent J. Felitti, \"The Origins of Addiction: Evidence from the Adverse Childhood Experiences Study.\" English version of the article published in Germany as \"Urspr\u00fcnge des Suchtverhaltens\u2014Evidenzen aus einer Studie zu belastenden Kindheitserfahrungen,\" _Praxis der Kinderpsychologie und Kinderpsychiatrie_ 52:547\u2013559, 2003, <http:\/\/www.acestudy.org\/files\/OriginsofAddiction.pdf>.\n\n. Norman Doidge, _The Brain That Changes Itself: Stories of Personal Triumph from the Frontiers of Brain Science_ (New York: Viking Books, 2007).\n\n. Stanton Peele, \"Dr. Drew, Mindy McCready, and Me,\" _Psychology Today Blogs_ , March 15, 2013, <http:\/\/www.psychologytoday.com\/blog\/addiction-in-society\/201303\/dr-drew-mindy-mccready-and-me>.\n\n. This might be called \"free will.\" But, of course, today the idea that you direct your behavior and control yourself requires a neurological explanation. This has been provided by the iconoclastic but unimpeachable neurological psychologist, Elkhonon Goldberg, who proposes the brain's frontal lobes as the executor of your free will. But _Recover!_ is _not_ a treatise in philosophy and neuroscience.\n\n. Andrew Newburg and Mark Robert Waldman, _How God Changes Your Brain: Breakthrough Findings from a Leading Neuroscientist_ (New York: Random House, Ballantine, 2010).\n\n. Kelly McGonigal, _Maximum Willpower: How to Master the New Science of Self-Control_ (New York: Macmillan, 2012).\n\n. Health-care reform\u2014which is absolutely necessary\u2014coupled with parity legislation dictating that mental and addictive problems receive the same coverage as traditional illnesses will inevitably expand the rehab business. And, in the interests of disclosure, as the developer of a treatment program, I have received insurance payments and may well benefit from these further developments.\n\n. Thomas Rodgers, \"Why Do College Students Love Getting Wasted?\" _Salon.com_ , August 28, 2011, <http:\/\/www.salon.com\/2011\/08\/28\/college_drinking_interview>.\n\n. <http:\/\/www.hazelden.org\/web\/public\/plymouth_mn_substance_abuse_treatment_center_youth.page>\n\n. \"Angelina Jolie: Humanitarian,\" _Time_ , May 14, 2013, <http:\/\/entertainment.time.com\/2013\/05\/14\/angelina-jolie-humanitarian>.\n\n. \"Angelina Jolie Biography,\" _Scribe Town_ , December 30, 2011, <http:\/\/www.scribe-town.com\/angelina-jolie-biography>.\n\n. Chris Laxamana, \"#050: Dr. Adi Jaffe and Dr. Marc Kern,\" _DrDrew_ , May 17, 2013. In this remarkable podcast, Dr. Drew interviews two leading practitioners of harm reduction, including the idea that many former addicts can use substances safely again. Dr. Drew repeatedly asserts that he is \"a scientist,\" while trying to explain away the reality of the information provided by Drs. Jaffe and Kern, including their own life experiences. <http:\/\/drdrew.com\/050-dr-adi-jaffe-and-dr-marc-kern>.\n\n. NIAAA, \"Alcoholism Isn't What It Used to Be.\"\n\n. Deborah A. Dawson, Bridget F. Grant, Frederick S. Stinson, et al., \"Recovery from DSM-IV Alcohol Dependence, United States, 2001\u20132002,\" _Addiction_ 100:281\u2013292, 2005.\n\n. Bridget F. Grant and Deborah A. Dawson, \"Introduction to the National Epidemiologic Survey on Alcohol and Related Conditions,\" _National Institute of Alcohol Abuse and Alcoholism Publications_ , <http:\/\/pubs.niaaa.nih.gov\/publications\/arh29\u20132\/74\u201378.htm>.\n\n. Effectiveness Bank Bulletin, \"Findings,\" October 30, 2013, <http:\/\/findings.org.uk\/docs\/bulletins\/Bull_30_10_13.php>. This bulletin incorporated the following three studies: Catalina Lopez-Quintero, Deborah S. Hasin, Jos\u00e9 P\u00e9rez de los Cobos, et al. \"Probability and Predictors of Remission from Life-Time Nicotine, Alcohol, Cannabis or Cocaine Dependence: Results from the National Epidemiologic Survey on Alcohol and Related Conditions,\" _Addiction_ 106(3):657\u2013669; Gene Heyman, \"Quitting Drugs: Quantitative and Qualitative Features,\" _Annual Review of Clinical Psychology_ 9:29\u201359, 2013; William L. White, _Recovery\/Remission from Substance Use Disorders: An Analysis of Reported Outcomes in 415 Scientific Reports, 1868\u20132011_ (Great Lakes Addiction Technology Transfer Center, Philadelphia Department of Behavioral Health and Intellectual Disability Services, and Northeast Addiction Technology Transfer Center, 2012).\n\n. Substance Abuse and Mental Health Services Administration, \"Substance Dependence or Abuse in the Past Year, by Detailed Age Category: Percentages, 2011,\" _National Survey on Drug Use and Health_ , Table 5.3B, <http:\/\/www.samhsa.gov\/data\/NSDUH\/2011SummNatFindDetTables\/NSDUH-DetTabsPDFWHTML2011\/2k11DetailedTabs\/Web\/HTML\/NSDUH-DetTabsSect5peTabs1to56\u20132011.htm#Tab5.3B>.\n\n. Stanton Peele, \"Addiction: The Analgesic Experience,\" _Human Nature_ , September, 1978, <http:\/\/www.peele.net\/lib\/analgesic.php>.\n\n. Lee M. Robins et al., \"Drug Use by U.S. Army Enlisted Men in Vietnam: A Follow-Up on Their Return Home,\" _American Journal of Epidemiology_ 99:235\u2013249, 1974.\n\n. Harold Mulford, one of the great researchers and thinkers in the alcoholism\/addiction field, said it first: \"Contrary to the traditional clinical view of the alcoholism disease process, progress in the alcoholic process is neither inevitable nor irreversible. Eventually, the balance of natural forces shifts to decelerate progress in the alcoholic process and to accelerate the rehabilitation process.\" \"Rethinking the Alcohol Problem: A Natural Processes Model,\" _Journal of Drug Issues_ 14:38, 1984.\n\n. William R. Miller, Paula L. Wilbourne, and Jennifer E. Hettema, \"What Works? A Summary of Alcohol Treatment Outcome Research,\" in Reid K. Hester and William R. Miller, eds., _Handbook of Alcoholism Treatment Approaches: Effective Alternatives_ , 3rd ed. (Boston: Allyn & Bacon, 2003), pp. 13\u201363.\n\n. William R. Miller, Allen Zweben, and Bruce Johnson, \"Evidence-Based Treatment,\" _Journal of Substance Abuse Treatment_ 29:267\u2013276, 2005, <http:\/\/www.ncbi.nlm.nih.gov\/pubmed\/16311179>.\n\n. Linda Brown et al., \"Participant Perspectives on Mindfulness Meditation Training for Anxiety in Schizophrenia,\" _American Journal of Psychiatric Rehabilitation_ 13(3):224\u2013242, 2010, <http:\/\/www.tandfonline.com\/doi\/abs\/10.1080\/15487768.2010.501302>.\n\n. Paula DeSanto, _Effective Addiction Treatment: The Minnesota Alternative_ (Minnesota: Minnesota Alternatives, 2012), <http:\/\/mnalternatives.com\/products>.\n\n. Sarah Bowen et al., \"Mindfulness-Based Relapse Prevention for Substance Use Disorders: A Pilot Efficacy Trial,\" _Substance Abuse_ 30(4):295\u2013305, 2009. This work is from Alan Marlatt's group at the University of Washington. This book is dedicated to Alan's memory.\n\nChapter 3\n\n. The HAMS (Harm Reduction for Alcohol) Network, under Kenneth Anderson, has developed valuable materials for assessing and going through withdrawal. HAMS regards the most medically risky withdrawal as occurring with alcohol and benzodiazapines (tranquilizers). \"What Is Alcohol Withdrawal?\" <http:\/\/hamsnetwork.org\/withdrawal>. In the case of alcohol, major withdrawal (delirium tremens, which is marked by hallucinations) is most clearly life threatening, although the mid-level withdrawal Alex underwent is likewise medically challenging. \"Less than 50% of alcohol-dependent persons develop any significant withdrawal symptoms that require pharmacologic treatment upon cessation of alcohol intake. The lifetime risk for developing delirium tremens (DTs) among chronic alcoholics is estimated at 5\u201310%. Only 5% of patients with ethanol withdrawal progress to delirium tremens.\" \"Delirium Tremens,\" Medscape, <http:\/\/emedicine.medscape.com\/article\/166032-overview#a0156>. HAMS provides guidance on your likelihood of undergoing withdrawal. \"The Odds of Going Through Alcohol Withdrawal,\" <http:\/\/hamsnetwork.org\/odds>. Whatever these risks, people undergo medically unsupervised alcohol withdrawal all the time. For people doing so, HAMS recommends tapering (drinking lesser amounts to suppress withdrawal\u2014in medical settings, doctors nearly always administer benzodiazapines to accomplish the same purpose). \"How To Taper Off Alcohol,\" <http:\/\/hamsnetwork.org\/taper>. And, of course, people need a backup plan should they begin to show serious withdrawal symptoms.\n\n. Jane Gross, \"Plan to Become an Ex-Smoker for Good,\" _New York Times_ , November 12, 2012, <http:\/\/well.blogs.nytimes.com\/2012\/11\/12\/plan-to-become-an-ex-smoker-for-good>.\n\n. Alan Marlatt and his colleagues have amply demonstrated this. See Mary E. Larimer, Rebekka S. Palmer, and G. Alan Marlatt, \"Relapse Prevention: An Overview of Marlatt's Cognitive-Behavioral Model,\" _Alcohol Research and Health_ 23(2):151\u201360, 1999, <http:\/\/www.ncbi.nlm.nih.gov\/pubmed\/10890810>.\n\n. Substance Abuse and Mental Health Services Administration, \"News Release: A Working Definition of 'Recovery' from Mental Disorders and Substance Use Disorders,\" December 22, 2011, <http:\/\/www.samhsa.gov\/newsroom\/advisories\/1112223420.aspx>.\n\n. Substance Abuse and Mental Health Services Administration, \"Recovery Defined\u2014A Unified Working Definition and Set of Principles,\" May 20, 2011, <http:\/\/blog.samhsa.gov\/2011\/05\/20\/recovery-defined-a-unified-working-definition-and-set-of-principles>.\n\n. Alex Copello, Jim Orford, Ray Hodgson, and Gillian Tober, _Social Behaviour and Network Therapy for Alcohol Problems_ (London: Routledge, 2009). In a trial, SBNT and motivational enhancement therapy were compared\u2014the treatments had equal efficacy as measured by improved mental health and quality of life, decreased alcohol use and dependence, and fewer secondary problems. <http:\/\/bjp.rcpsych.org\/content\/197\/3\/251.2.full>.\n\n. Stanton Peele, \"The 7 Hardest Addictions to Quit: Love Is the Worst!,\" _Psychology Today Blogs_ , December 15, 2008. <http:\/\/www.psychologytoday.com\/blog\/addiction-in-society\/200812\/the-7-hardest-addictions-quit-love-is-the-worst>.\n\n. Rachel Yoder, \"Strung Out on Love and Checked In for Treatment,\" _New York Times_ , June 11, 2006, www.nytimes.com\/2006\/06\/11\/fashion\/sundaystyles\/11love.html.\n\n. Stanton Peele, _The Meaning of Addiction_ (Lexington, MA: Lexington Books, 1985; San Francisco: Jossey-Bass, 1998), <http:\/\/www.peele.net\/lib\/moa1.php>.\n\n. Pamela Druckerman, _Bringing Up B\u00e9b\u00e9_ (New York, Penguin, 2012). See review by Susannah Meadows, \"Raising the Perfect Child, with Time for Smoke Breaks,\" _New York Times_ , February 7, 2012, <http:\/\/www.nytimes.com\/2012\/02\/08\/books\/bringing-up-bebe-a-french-influenced-guide-by-pamela-druckerman.html>.\n\n. Roy F. Baumeister and John Tierney, _Willpower: Rediscovering the Greatest Human Strength_ (New York: Penguin Books, 2012).\n\n. Sandra Aamodt and Sam Wang, \"Building Self-Control, the American Way,\" _New York Times_ , February 17, 2012, www.nytimes.com\/2012\/02\/19\/opinion\/sunday\/building-self-control-the-american-way.html.\n\n. Kate Taylor, \"Council Speaker Recounts Her Struggles with Bulimia and Alcoholism,\" _New York Times_ , May 14, 2013, <http:\/\/www.nytimes.com\/2013\/05\/14\/nyregion\/council-speaker-opens-up-about-her-struggles-against-bulimia-and-alcoholism.html>.\n\n. Andrew Goldman, \"Billy Joel on Not Working and Not Giving Up Drinking,\" _New York Times Magazine_ , May 26, 2013, www.nytimes.com\/2013\/05\/26\/magazine\/billy-joel-on-not-working-and-not-giving-up-drinking.html.\n\n. Chris Laxamana, \"#050: Dr. Adi Jaffe and Dr. Marc Kern,\" _DrDrew_ , May 17, 2013. In this remarkable podcast, Dr. Drew interviews two leading practitioners of harm reduction, including the idea that many former addicts can use substances safely again. Dr. Drew repeatedly asserts that he is \"a scientist,\" while trying to explain away the reality of the information provided by Drs. Jaffe and Kern, including their own life experiences. <http:\/\/drdrew.com\/050-dr-adi-jaffe-and-dr-marc-kern>.\n\n. Kenneth Anderson, \"First Do No Harm,\" _The Fix_ , March 27, 2013, <http:\/\/thefix.com\/content\/harm-reduction-alcohol-HMAS-moderation-drinking8008>.\n\n. Kenneth Anderson, \"Alcohol Harm Reduction Compared to Harm Reduction for Other Drugs,\" Presented at the Ninth National Harm Reduction Conference, Portland, OR, November 16, 2012, <http:\/\/hamsnetwork.org\/9th-conference\/compared.pdf>.\n\n. Megan McLemore, \"A Step Backward for AIDS Prevention,\" _Huffington Post_ , August 28, 2012, <http:\/\/www.huffingtonpost.com\/megan-mclemore\/a-step-backward-for-aids-prevention_b_1831504.html>.\n\n. Harm reduction therapy for even intense drug users has been spearheaded by Patt Denning, Jeannie Little, and Adina Glickman, _Over the Influence: The Harm Reduction Guide for Managing Drugs and Alcohol_ (New York: Guilford, 2004).\n\n. Nick Heather and Ian Robertson, _Controlled Drinking_ (New York: Routledge, 1984).\n\nChapter 4\n\n. Ellen J. Langer, _Mindfulness_ (Cambridge, MA: Perseus, 1989).\n\n. U.C.L.A. Mindful Awareness Center, <http:\/\/marc.ucla.edu\/body.cfm?id=19;> University of Massachusetts Medical School Center for Mindfulness, <http:\/\/w3.umassmed.edu\/MBSR\/public\/searchmember.aspx>.\n\n. National Cancer Institute, _Smoking and Tobacco Control Monograph Series #15: Those Who Continue to Smoke_ (Washington, DC: National Institutes of Health, 2003), <http:\/\/cancercontrol.cancer.gov\/brp\/tcrb\/monographs\/15\/index.html>.\n\n. Sarah Bowen, Neha Chawla, and G. Alan Marlatt, _Mindfulness-Based Relapse Prevention for Addictive Behaviors: A Clinician's Guide_ (New York: Guilford, 2011).\n\n. Pavel Somov, _Eating the Moment: 141 Mindful Practices to Overcome Overeating One Meal at a Time_ (Oakland, CA: New Harbinger, 2008).\n\n. Abby Ellin, \"Fat and Thin Find Common Ground,\" _New York Times_ , October 10, 2013 <http:\/\/www.well.blogs.nytimes.com\/2013\/10\/10\/can-the-fat-and-thin-just-get-along>.\n\n. Stanton Peele, \"Addiction in Society: Blinded by Biochemistry,\" _Psychology Today_ , September 1, 2010 <http:\/\/www.psychologytoday.com\/articles\/201010\/addiction-in-society-blinded-biochemistry>.\n\n. Sarah Bowen et al., \"Mindfulness-Based Relapse Prevention for Substance Use Disorders: A Pilot Efficacy Trial,\" _Substance Abuse_ 30:205\u2013305, 2009.\n\nChapter 5\n\n. Maia Szalavitz, \"Being Ashamed of Drinking Prompts Relapse, Not Recovery,\" _Time_ , February 7, 2013, <http:\/\/healthland.time.com\/2013\/02\/07\/being-ashamed-of-drinking-prompts-relapse-not-recovery>.\n\n. William L. White and William R. Miller, \"The Use of Confrontation in Addiction Treatment: History, Science and Time for Change,\" _Counselor_ 8(4): 12\u201330, 2007.\n\n. Alcoholics Anonymous World Organization, _Step One: \"We admitted we were powerless over alcohol_.\" New York: AA World Services, www.aa.org\/twelveandtwelve\/en_pdfs\/en_step1.pdf.\n\n. National Center for Mental Health Checkups, Columbia University, _Teens and Eating Disorders_ (New York: Columbia University, 2013), <http:\/\/www.teenscreen.org\/resources\/eating-disorders>.\n\n. Ken Anderson, \"First Do No Harm,\" _The Fix_ , March 27, 2013, <http:\/\/thefix.com\/content\/harm-reduction-alcohol-HMAS-moderation-drinking8008>.\n\n. James Robert Milam and Katherine Ketchum, _Under the Influence_ (New York: Bantam, 1981).\n\n. Bob Egelko, \"Appeals Court Says Requirement to Attend AA Unconstitutional,\" _San Francisco Chronicle_ , September 7, 2007, <http:\/\/www.sfgate.com\/bayarea\/article\/Appeals-court-says-requirement-to-attend-AA-2542005.php#ixzz2UKKobB00>.\n\n. Helen Y. Yang, Andrew S. Fox, Alexander J. Shackman et al., \"Compassion Training Alters Altruism and Neural Responses to Suffering,\" _Psychological Science_ , May 21, 2013, <http:\/\/pss.sagepub.com\/content\/early\/2013\/05\/20\/0956797612469537.abstract>.\n\n. Kelly McGonigal, _The Willpower Instinct: How Self-Control Works, Why It Matters, and What You Can Do to Get More of It_ (New York: Penguin, 2012).\n\n. Alex Witchel, \"How Jeannette Walls Spins Good Stories Out of Bad Memories,\" _New York Times_ , May 24, 2013, www.nytimes.com\/2013\/05\/26\/magazine\/how-jeannette-walls-spins-good-stories-out-of-bad-memories.html.\n\nChapter 6\n\n. Roy F. Baumeister and John Tierney, _Willpower: Rediscovering the Greatest Human Strength_ (New York: Penguin Books, 2012). The book is filled with complicated brain, neurochemical, and evolutionary psychology analyses\u2014indeed, the book stands as an illustration of how speculative and unhelpful such notions are when applied to a common-sense idea.\n\n. James O. Prochaska and Carlo DiClemente, _The Transtheoretical Approach: Towards a Systematic Eclectic Framework_ (Homewood, IL: Dow Jones Irwin, 1984).\n\nChapter 7\n\n. G. Alan Marlatt and Dennis M. Donovan, _Relapse Prevention, Second Edition: Maintenance Strategies in the Treatment of Addictive Behaviors_ (New York: Guilford, 2005).\n\n. Roy F. Baumeister and John Tierney, _Willpower: Rediscovering the Greatest Human Strength_ (New York: Penguin Books, 2012).\n\n. John Tierney, \"Why You Won't Be the Person You Expect to Be,\" _New York Times_ , January 3, 2013, www.nytimes.com\/2013\/01\/04\/science\/study-in-science-shows-end-of-history-illusion.html.\n\n. Alex Copello, Jim Orford, Ray Hodgson et al., \"Social Behaviour and Network Therapy: Basic Principles and Early Experience,\" _Addictive Behaviors_ 27(3):345\u2013366, 2002.\n\n. In the interest of a spouse or loved one's not only getting out of the way, but being a support for overcoming addiction, PERFECT opposes current 12-step thinking. AA and its derivatives have complex differences in how they view spouses of alcoholics. Alanon is a group for spouses (nearly always meaning wives) of alcoholics that is famous for telling members it's the alcoholic's problem and the wife's only chance to survive is by understanding that her husband is diseased. \"You can't control your alcoholic spouse\" is the Alanon mantra. \"Don't try.\" By Alanon's lights, William should leave Sabrina to her own devices (meaning she had better go to AA) and look out for himself. More recently, however, has come the idea of codependence (distantly related to the idea of love addiction I have developed). Codependents\u2014again, _usually_ women\u2014have a disease just like the alcoholic or drug addict\u2014only the object of their disease is the addicted person. In codependence terms, Sabrina and William have equivalent, supporting diseases against which each of them must struggle by working the 12 steps!\n\n. The indexes for both _Tools_ and _Truth_ list a number of places where the community reinforcement approach (CRA)\u2014including reciprocity marital counseling\u2014is discussed.\n\n. Pavel Somov, _Present Perfect: A Mindfulness Approach to Letting Go of Perfectionism and the Need for Control_ (Oakland, CA: New Harbinger, 2010).\n\n. Susan Sontag, _Regarding the Pain of Others_ (New York: Picador, 2003).\n\n. Warren St. John, \"Sorrow So Sweet,\" _New York Times_ , August 24, 2002, www.nytimes.com\/2002\/08\/24\/arts\/sorrow-so-sweet-a-guilty-pleasure-in-another-s-woe.html.\n\n. William L. White and William R. Miller, \"The Use of Confrontation in Addiction Treatment: History, Science and Time for Change,\" _Counselor_ 8(4):12\u201330, 2007.\n\n. Maia Szalavitz, _Help at Any Cost: How the Troubled-Teen Industry Cons Parents and Hurts Kids_ (New York: Riverhead, 2006).\n\n. Robert J. Meyers and Brenda L. Wolfe, _Get Your Loved One Sober: Alternatives to Nagging, Pleading, and Threatening_ (Center City, MN: Hazelden, 2004).\n\n. Maia Szalavitz, \"Is Dr. Drew Too Dangerous for Prime Time?\" _The Fix_ , February 25, 2012, <http:\/\/www.salon.com\/2013\/02\/25\/is_dr_drew_too_dangerous_for_prime_time>.\n\n. Stanton Peele and Alan Cudmore, \"Intervene This,\" _Huffington Post_ , January 23, 2012, <http:\/\/www.huffingtonpost.com\/stanton-peele\/addiction-intervention_b_1220753.html>.\n\n. William R. Miller, Robert J. Meyers, and J. Scott Tonigan, \"Engaging the Unmotivated in Treatment for Alcohol Problems: A Comparison of Three Strategies for Intervention Through Family Members,\" _Journal of Consulting and Clinical Psychology_ 67: 688\u201397, 1999.\n\n. William R. Miller and Stephen Rollnick, _Motivational Interviewing_ , _Third Edition: Helping People Change_ (New York: Guilford Press, 2013).\n\nChapter 8\n\n. Roy F. Baumeister and John Tierney, _Willpower: Rediscovering the Greatest Human Strength_ (New York: Penguin Books, 2012).\n\n. The best book about assessing potential addiction treatment facilities and therapists is Anne M. Fletcher, _Inside Rehab: The Surprising Truth About Addiction Treatment\u2014And How to Get Help That Works_ (New York: Viking, 2013).\n\n. G. Alan Marlatt, ed., _Harm Reduction: Pragmatic Strategies for Managing High-Risk Behaviors_ , 2nd ed. (New York: Guilford, 1998).\n\n. Stanton Peele and Bruce K. Alexander, \"Theories of Addiction,\" in Stanton Peele, _The Meaning of Addiction_ , 2nd ed. (San Francisco: Jossey-Bass, 1998), pp. 47\u201372; <http:\/\/lifeprocessprogram.com\/the-meaning-of-addiction-3-theories-of-addiction>.\n\n. Sarah Bowen, Neha Chawla, and G. Alan Marlatt, _Mindfulness-Based Relapse Prevention for Addictive Behaviors: A Clinician's Guide_ (New York: Guilford, 2011).\n\n. There are now many books and programs on this topic. See Thich Nht Hanh and Lilian Cheung, _Savor: Mindful Eating, Mindful Life_ (New York: Harper, 2011).\n\nChapter 9\n\n. Maia Szalavitz, \"Being Ashamed of Drinking Prompts Relapse, Not Recovery,\" _Time_ , February 7, 2013, <http:\/\/healthland.time.com\/2013\/02\/07\/being-ashamed-of-drinking-prompts-relapse-not-recovery>.\n\n. nonajordan.com\nIndex\n\nAbstinence\n\naddiction, free will, and, 58\u201361\n\nbasing treatment on, ,\n\nbreaking goal of, , , ,\n\nchoosing, 63\u201364\n\nmoderation vs., 64\u201369\n\nserving larger life goals,\n\nvalue of, 61\u201362\n\nAbuse models of addiction, 29\u201331\n\nAbusive relationships, 256\u2013258\n\nAccountability, ,\n\nAction stage, , 144\u2013145\n\nActivating free will, 59\u201361, 95\u201396\n\nAddiction. _See also_ Addiction models; Hitting bottom\n\napplying S.P.O.T. acronym to, 95\u201396\n\nartificial nature of, 39\u201340\n\nbenefits of, 134\u2013135\n\nboundary violations in,\n\ncombatting with mindfulness,\n\nat core of life,\n\ndefining, 13\u201315,\n\ndiscovering meaning beyond, 15\u201316\n\nas disease, xvi\n\ndopamine production and, 22\u201323\n\neffect of environments on, 38\u201339\n\nfilling one's life after, 55\u201356\n\nfinding reason to beat, , ,\n\nharm reduction for, 69\u201372\n\nhitting bottom, 88\u201389\n\nhow it appears in your life,\n\nlogic of, 39\u201340,\n\nmanifesting from trauma, 111\u2013115\n\nmapping DNA to,\n\nmore value in other things than,\n\nmyths about, 16\u201317\n\nnon-abstinent, 214\u2013215\n\noutgrowing, 14\u201315, 33\u201335,\n\novercoming, 36\u201337, 39\u201342, 107\u2013111,\n\noverriding,\n\nPERFECT program's approach to, xvi\u2013xviii, xix\n\npsychological sources of, 29\u201331\n\nrole of shame in quitting, 28\u201329\n\nRose's life of, 3\u20139\n\nsetting goals about,\n\nshifting balance in, 83\u201387\n\nStages of Change in, 142\u2013145\n\nsubstances and behaviors as symptom of,\n\ntemporary nature of, 17\u201318\n\ntreatment industry around,\n\ntypes of,\n\nwithdrawing from love, 57\u201358\n\nyou are not your, , 78\u201380\n\nAddiction models\n\naddiction as disease, xvii, 18\u201320,\n\nmindfulness in, xvi\u2013xvii\n\nneuroscientific, xvi, 12\u201313, ,\n\ntypes of, xv\u2013xvi\n\nAddiction Self-Assessment Questionnaire, 49\u201350\n\nAddictive urges\n\ndealing with, 241\u2013242\n\nmeditation suppressing cravings,\n\ntracking in journal,\n\ntriggering relapses, 211\u2013215\n\nusing S.P.O.T. exercise for, 95\u201396,\n\nAddicts. _See also_ Addictive urges\n\naligning with authentic self, , 78\u201380, 90\u201392\n\nchoosing abstinence, 61\u201364\n\nchoosing moderation, 64\u201369\n\ncomparing brains with siblings, 24\u201325\n\ndealing with decision making, 164\u2013166\n\ngetting straight, 195\u2013197\n\nhow people stop being, 27\u201329\n\nlearning to think like non-addict,\n\nmeeting addicted self,\n\nmyths about, 16\u201317\n\nnot your addiction, , 78\u201380\n\noverwhelm experienced by, xviii, , 252\u2013253\n\nredemptive narratives by,\n\nsearching for what's wrong, 111\u2013115\n\nthinking like, 12\u201313\n\nAdult Children of Alcoholics (ACoA), 114\u2013115\n\nAlcoholics Anonymous. _See_ 12-step programs\n\nAlcoholism, xvi, ,\n\nAllen, Woody,\n\nAmerican Board of Addiction Medicine (ABAM),\n\nAmerican Psychiatric Association,\n\nAnderson, Ken,\n\nAnorexia, 105\u2013107\n\nAnti-addiction skills\n\narranging social situations, 159\u2013162\n\nasking for help, 163\u2013164\n\nchanging routine,\n\ncounseling programs supporting, 162\u2013163\n\ncountering addictive triggers, 155\u2013156\n\nfinding reasons to quit,\n\nmeditating on discomfort, 156\u2013157\n\npermission for later addictive behavior, 158\u2013159\n\nself-acceptance as,\n\ntriggers for addictive behavior, 154\u2013155\n\nwriting out logical conclusions,\n\nAudio resources. _See_ Resources\n\nAuthentic self\n\naddiction not, , 78\u201380\n\naligning with, 90\u201392\n\nfinding with mindfulness, , 139\u2013141\n\nrediscovering integrity, xx, 140\u2013142\n\nBalance\n\nmaintaining,\n\nrelapses and, 207\u2013208\n\nshifting with mindfulness, 83\u201387\n\nBarrymore, Drew, 34\u201335,\n\nBaumeister, Roy, ,\n\nBeing present exercise, 190\u2013191\n\nBeliefs\n\nexamining negative,\n\nexercises for converting, ,\n\nshifting to positive, 110\u2013111\n\nBinge-eating, 63\u201364, 66\u201367\n\nBody imagery, 105\u2013106,\n\nBooks. _See_ Resources\n\nBoundary setting\n\nabusive relationships and,\n\naccepting people close to you,\n\nlearning, 176\u2013179\n\nrespecting others' boundaries, 226\u2013227\n\nviolations in addiction treatment,\n\nwhen helping others,\n\nBrach, Tara,\n\nBrain. _See_ Neuroscientific addiction model\n\n_Brainwashed_ (Satel and Lilienfeld),\n\nBreathing\n\ndifficulties focusing on,\n\nturning attention to, , 99\u2013100\n\nBrigati, Eddie,\n\nBrodsky, Archie, , , ,\n\nBrzezinski, Mika,\n\nBuddha,\n\nBuddhism\n\nforgiveness practice, 131\u2013132\n\nGod concept in, 119\u2013120\n\ntenet of loving kindness, 116\u2013117,\n\nCareer, 260\u2013262\n\nCavaliere, Felix,\n\nCelebrate (\"C\")\n\ncreating rituals, traditions, and celebrations, 227\u2013229\n\ndiscovering joy, 230\u2013233\n\nfinding rewards, 224\u2013225\n\ngoals for,\n\nhonoring accomplishments, xx, 221\u2013222\n\nhonoring what you value, 225\u2013227\n\nmaking changes, 233\u2013235\n\nreflecting on accomplishments, 218\u2013219\n\ntracking your progress, 219\u2013221\n\nunderstanding perfectionism, 223\u2013224\n\nCenter for Global Tobacco Control, 12\u201313\n\nChange. _See also_ Preparing for change\n\ncreating disillusionment, 135\u2013136\n\nembarking on, 192\u2013195\n\nfor everyone, 233\u2013235\n\nfounding on grace,\n\nhitting bottom vs. making, 89\u201390\n\nimplementing,\n\nreflection on,\n\nshaking up your routine,\n\nstages of, 142\u2013146\n\nstarting PERFECT program for,\n\ntracking, ,\n\n_Chemistry Between Us, The_ (Young),\n\nChildren, 29\u201331,\n\nCh\u00f6dron, Pema,\n\nCigarette smoking. _See_ Smoking\n\nCleary, Thomas,\n\n_Close to Home_ ,\n\nCognitive-behavior therapy (CBT), ,\n\nCommunicating boundaries, 177\u2013178\n\nCommunity. _See also_ CRA\n\ncreating, 197\u2013200\n\nimportance in recovery,\n\nlocating meetings with like-minded people,\n\nunplugging from online,\n\nCommunity reinforcement approach. _See_ CRA\n\nCompulsions. _See_ Addictive urges\n\nConnolly, Gregory N.,\n\nContacting creditors, 264\u2013265\n\nContemplation stage, ,\n\nContentment, 140\u2013141\n\nCoping. _See also_ Fortify\n\ndeveloping skill for, 169\u2013170\n\nduring detox,\n\nFortify as means of, xx\n\nsubstances and behaviors as symptoms of,\n\nCounseling\n\ndebt,\n\nescaping abusive relationships,\n\nfinding therapists, 258\u2013259\n\nreciprocity marital, 162\u2013163\n\nCRA (community reinforcement approach)\n\nCRAFT, , 181\u2013183\n\nreciprocity marital counseling in, 162\u2013163\n\nCravings. _See_ Addictive urges\n\nCuring road rage,\n\nDecision making\n\ndealing with, 164\u2013166\n\nopportunities for good,\n\nproblem solving and, 166\u2013167\n\nrole in recovery,\n\nDeflecting compliments, 108\u2013109\n\nDelaying gratification, 59\u201369\n\nDetoxing\n\nmedical supervision while,\n\npreparing for, , 51\u201356\n\n_Diagnostic and Statistical Manual of Mental Disorders, 5th edition (DSM-5)_ , , ,\n\n_Dietary Guidelines for Americans_ ,\n\nDisease model, xvi, 18\u201320,\n\nDisillusionment, 135\u2013139\n\nDonne, John,\n\nDonovan, Dennis,\n\nDopamine, 22\u201323,\n\nDrugs\n\nabuse by age, 37\u201338\n\nbrain scans for users of, 22\u201323\n\nconsuming without addiction to,\n\nenvironment and use of, 38\u201339\n\nharm reduction for users, 69\u201372\n\nmedia's portrayal of,\n\npercentage dependent on,\n\npreparing to quit,\n\nEating disorders\n\nabstaining from binge-eating, 63\u201364, 66\u201367\n\nanorexia and body imagery, 105\u2013107\n\navoiding relapse with, 214\u2013215\n\ncase study of, 105\u2013106\n\nfood addictions, , 17\u201318\n\npreparing for detox period,\n\ntemperance attitudes and,\n\nEducation and career, 200\u2013201, 260\u2013262\n\nEmbark (\"E\")\n\ncreating community and intimacy, 197\u2013200\n\neducation and work, 200\u2013201\n\nequilibrium with, xx\n\nfinancial skills, 201\u2013202\n\ngetting straight, 195\u2013197\n\ngoals for,\n\ninternal resources for recovery, 40\u201342\n\nleisure pursuits, 202\u2013203\n\nmaintaining balance,\n\nmental health, 203\u2013204\n\npreparing with self-knowledge, 188\u2013192\n\nreframing failure, 204\u2013206\n\nrelapse detours, 206\u2013215\n\nself-care,\n\nspiritual or humanitarian beliefs,\n\ntaking first steps, 192\u2013195\n\nEmbrace (\"E\")\n\naccentuating positive, 107\u2013111\n\ndeveloping self-acceptance, xx, xxi, 116\u2013120\n\neffect of self-negativity, 104\u2013107\n\ngoals of,\n\njournaling on forgiveness, 130\u2013131\n\nloving kindness meditation, 129\u2013130\n\nmisguided searching for what's wrong with you, 111\u2013115\n\nreducing harm with self-forgiveness, 126\u2013128\n\nself-forgiveness, 120\u2013122, 123\u2013128\n\nEmotional skills\n\nappreciating others' successes, 175\u2013176\n\nbeing true to yourself, 173\u2013175\n\ncountering feelings of unworthiness, 246\u2013247\n\ncuring road rage,\n\nmaintaining perspective, 53\u201354, 171\u2013172\n\nEnvironments\n\nmeditation, 47\u201348, 94\u201395\n\nrole in addiction, 38\u201339\n\nsetting up your domestic, 196\u2013197\n\nEvidence-based treatment,\n\nExercises\n\nacknowledging success,\n\ncollecting valuables as touchstone,\n\nconsidering effects to make change, 222\u2013223\n\nconverting negative beliefs, ,\n\ncreating rituals,\n\nduring withdrawal phase,\n\nfinding addictive triggers,\n\nfinding mindfulness,\n\ngrounding self with,\n\nhow others see you, 191\u2013192\n\njournaling on forgiveness, 130\u2013131\n\nlocating reason to quit,\n\npracticing listening,\n\nquestioning, 184\u2013185\n\nrelapse moments of truth,\n\nreviewing and pursuing values,\n\nreviewing social life,\n\nself-compassion, 117\u2013118\n\nself-knowledge, 190\u2013192\n\nshifting to positive perspective, ,\n\nS.O.B.E.R., 244\u2013245\n\nsorting personal values,\n\nExhausting willpower, , 158\u2013159\n\nFailure. _See also_ Relapses\n\nlack of resolve and, 134\u2013135\n\nreframing, 204\u2013206\n\nFamily\n\nabusive relationships in,\n\naccepting, ,\n\naddiction patterns in, 34\u201335\n\nallowing rights for, 178\u2013179\n\nappreciating successes of, 175\u2013176\n\nasking for help, 163\u2013164\n\ncommunicating boundaries to, 177\u2013178\n\nCRAFT approach with, , 181\u2013183\n\nhow others see you, 191\u2013192\n\nmotivational interviewing with, 183\u2013185\n\nsetting boundaries on helping,\n\nundermining addicts' gains, 161\u2013162\n\nFantasies about recovery, 135\u2013136,\n\nFinancial management, 201\u2013202, 262\u2013266\n\nFletcher, Anne,\n\nFlexibility in boundaries,\n\nFood. _See_ Eating disorders\n\nForgiveness. _See also_ Self-forgiveness\n\nhealing through, 125\u2013126\n\nloving kindness meditation on, 129\u2013130\n\nFortify (\"F\")\n\nanti-addiction skills, 154\u2013164\n\ncoping skills, xx, 169\u2013170\n\ndecision making, 164\u2013167\n\ndeveloping life skills, 152\u2013154\n\nemotional skills, 171\u2013176\n\ngoal setting, , 167\u2013169\n\nlistening, 170\u2013171,\n\nmotivational interviewing, 183\u2013185\n\nsetting boundaries, 176\u2013181\n\nusing CRAFT, , 181\u2013183\n\nFree will\n\nactivating, 59\u201361, 95\u201396\n\nexercising for recovery, 59\u201361\n\ngrace and, 80\u201383\n\nFriends\n\naccepting, ,\n\nappreciating successes of, 175\u2013176\n\nasking for help, 163\u2013164,\n\ncommunicating boundaries to, 177\u2013178\n\nhow they see you, 191\u2013192\n\nmaking, 198\u2013199\n\nmotivational interviewing with, 183\u2013185\n\nrespecting boundaries of, 178\u2013179, 226\u2013227\n\nsetting boundaries on helping,\n\nFrontal lobe theory\n\ndisproving,\n\nas source of self-control, 23\u201325,\n\nGambling, , 66\u201367\n\nGetting straight. _See also_ Embark; Preparing for change; Relapses\n\nabout,\n\neffective treatment for, 41\u201342\n\nfocusing on reasons for, ,\n\ngetting back on track, 209\u2013210\n\nhonoring commitments, 195\u2013196\n\nhow people stop being addicts, 27\u201329\n\nnavigating relapses, 211\u2013215\n\nonline accountability resources,\n\noutgrowing addiction, 14\u201315, 33\u201335,\n\novercoming addiction, 40\u201342\n\nrole of shame in, 28\u201329\n\nsetting up domestic spaces, 196\u2013197\n\ntracking your progress, 219\u2013221\n\nwriting your own script for, 267\u2013268\n\n_Getting Wasted_ (Vander Ven),\n\n_Glass Castle, The_ (Walls),\n\nGoals\n\nchoosing,\n\nimportance of, 136\u2013137\n\nlisting, , 194\u2013195\n\nsetting, 73\u201374, 167\u2013169,\n\ntracking,\n\nusing for change, 193\u2013195\n\nGoals Worksheet, 73\u201374, 168\u2013169\n\nGoing off the wagon, , , ,\n\nGrace\n\ncalling forth, 190\u2013191\n\nconnotations of,\n\njournaling about, 96\u201397\n\nrecognizing moments of, 80\u201383\n\nsparking motivation with moments of, 248\u2013249\n\nGuilt\n\nreducing effect of, 126\u2013128\n\nrole in relapse,\n\nstaying stuck in, 122\u2013123\n\nHahn, Thich Nhat,\n\nHarm reduction\n\ndefined,\n\nexercise supporting,\n\nresources for, 245\u2013246\n\nself-forgiveness as means of, 126\u2013128\n\nHarris, Richard, 74\u201375,\n\nHart, Carl, ,\n\nHaving a place,\n\nHazelden,\n\nHelp\n\nasking for, 163\u2013164,\n\nboundaries for giving,\n\ngetting detox,\n\nHitting bottom\n\nconcept of, 88\u201389\n\nmaking changes vs., 89\u201390\n\nmyth of,\n\nrelapses vs., ,\n\nRose's experience, 6\u20137\n\nHome environment, 196\u2013197\n\n\"How I Quit . . . \" (Lewis),\n\nHuman Genome Project,\n\nHumanitarian beliefs,\n\nHumiliation,\n\nHypersexual disorder,\n\nHypofrontalism,\n\n_I Ching_ (Cleary),\n\n_In the Realm of Hungry Ghosts_ (Mat\u00e9),\n\n_Inside Rehab_ (Fletcher),\n\nIntegrity, xx, 140\u2013142\n\niTunes podcasts,\n\nJaffe, Dr. Adi, , ,\n\nJoel, Billy, 65\u201366\n\nJolie, Angelina,\n\nJordan, Nona, 233\u2013235\n\nJournals\n\ndetailing strengths and vulnerabilities,\n\ndeveloping emotional skills with,\n\nexercise on forgiveness, 130\u2013131\n\ngetting,\n\nidentifying relapse triggers,\n\nlisting change goals, 194\u2013195\n\nlisting communities in, 197\u2013198\n\nmonitoring cravings in,\n\nnoting accomplishments in, ,\n\nPersonal and PERFECT,\n\nquestions about relapsing,\n\nreflecting on values in, 149\u2013150\n\nreframing failures,\n\nreviewing decision making,\n\ntracking changes in PERFECT, ,\n\nwriting about grace, 96\u201397\n\nJoy, 230\u2013233\n\nKern, Marc,\n\nLack of motivation, 247\u2013249\n\nLeDoux, Joseph,\n\nLeisure pursuits, 202\u2013203\n\nLeshner, Alan,\n\nLewis, Marc, ,\n\nLife skills\n\nanti-addiction skills, 154\u2013164\n\nboundary setting, 176\u2013181\n\ncoping skills, 169\u2013170\n\nCRAFT, , 181\u2013183\n\ndecision making, 164\u2013167\n\ndeveloping, 152\u2013154\n\neducation and work, 200\u2013201\n\nemotional skills, 171\u2013176\n\ngoal setting, 167\u2013169\n\nleisure pursuits, 202\u2013203\n\nlistening, 170\u2013171, ,\n\nmoney management, 201\u2013202\n\nmotivational interviewing, 183\u2013185\n\nself-care,\n\ntypes of,\n\nLilienfeld, Scott,\n\nListening\n\nto others' feedback,\n\npracticing, 170\u2013171,\n\n_Little Girl Lost_ (Barrymore),\n\nLoneliness, 250\u2013252\n\nLove\n\naddictions to, 17\u201318\n\navoiding relapse with, 214\u2013215\n\ndeveloping intimacy and, 199\u2013200\n\nescaping abusive relationships, 256\u2013258\n\nwithdrawal from, 57\u201358\n\n_Love and Addiction_ (Peele with Brodsky), , , ,\n\nLoving kindness\n\nabout, 116\u2013117\n\nmeditation on, 129\u2013130\n\npracticing,\n\nMaintaining perspective\n\non emotions, 53\u201354, 171\u2013172\n\nnavigating relapses, 211\u2013215\n\nusing mindfulness skills for,\n\nMaintenance stage, ,\n\nMaking amends,\n\nMaking friends, 198\u2013199\n\nMarital counseling, 162\u2013163\n\nMarlatt, Alan, , , , , 206\u2013207, 244\u2013245\n\nMat\u00e9, Gabor, 29\u201330\n\n_Meaning of Addiction, The_ (Peele),\n\nMedically supervised detox,\n\nMeditation\n\nbasic, 93\u201394, 98\u2013100\n\ndealing with abusive situations,\n\ndifficulties with, 239\u2013240\n\nforgiveness of others and self,\n\nguided, , , , , ,\n\nloving kindness, 129\u2013130,\n\nmeditating on discomfort, 156\u2013157\n\nmindfulness approach to, 93\u201394, 98\u2013100\n\noptions for, 100\u2013101\n\npreparing place for, 47\u201348,\n\nrediscovering values,\n\ntips for, 94\u201395\n\n_Memoirs of an Addicted Brain_ (Lewis),\n\nMental health, 203\u2013204\n\nMethamphetamines,\n\nMiller, Derek,\n\nMiller, William,\n\nMind-body programs,\n\nMindfulness. _See also_ Meditation; Mindfulness skills\n\nabout, xvi-xvii,\n\naligning with authentic self, 90\u201392\n\ncombatting addiction with, 92\u201393\n\ncuring road rage with,\n\ndefined,\n\nfinding true self, , 139\u2013141\n\ngrace and, 82\u201383\n\njoy in, 231\u2013233\n\nmeditation practices using, 98\u2013101\n\nmeeting addicted self,\n\nself-acceptance encouraged in, 41\u201342\n\nMindfulness skills, 92\u2013101. _See also_ Meditation\n\nactivating free will, 95\u201396\n\napproach to meditation, 93\u201394, 98\u2013100\n\njournal exercises, 96\u201397\n\nmaintaining perspective with,\n\nmeditation options checklist,\n\nmind-body programs developing,\n\nsupporting social situations with, 160\u2013162\n\nvariations on,\n\nyoga, 97\u201398\n\nMirroring,\n\nModeration, 64\u201369, 74\u201375\n\nMorality. _See also_ Religion and spirituality\n\nattitudes toward addictive substances,\n\nfinding humanitarian beliefs,\n\nTemperance Movement's, 18\u201319\n\nMotivational interviewing (MI), 183\u2013185\n\n_Moving Toward Balance_ (Yee),\n\nMoyers, Bill, 27\u201328\n\nNation, Carry A.,\n\nNational Cancer Institute,\n\nNational Epidemiologic Survey on Alcohol and Related Conditions (NESARC), 36\u201337\n\nNational Health Interview Survey (NHIS),\n\nNational Institute on Alcohol Abuse and Alcoholism (NIAAA), ,\n\nNational Institute on Drug Abuse (NIDA),\n\nNational Survey on Drug Use and Health,\n\nNeuromeme, ,\n\nNeuroscientific addiction model\n\nabuse models of addiction, 29\u201331\n\ndisproving frontal lobe theory,\n\ndopamine and pleasure receptors, 22\u201323,\n\nfrontal lobe theory, 23\u201325, ,\n\nlinking AA ideology with, ,\n\nneuroplasticity of brain, 31\u201333\n\npsychological sources of addiction, 29\u201331\n\nsearching for location of addiction, 20\u201321\n\nself-control and, 23\u201327\n\nself-defeating approach of, xvi\n\nsuccess rates with,\n\ntenet of powerlessness, xvi\n\nthinking like addict, 12\u201313\n\nNicotine replacement therapy (NRT), 12\u201313\n\nNon-abstinent addictions, 214\u2013215\n\nOnline communities,\n\nOvercoming addiction. _See_ Embark\n\nOverride (\"O\"),\n\nOverwhelm\n\nexperienced by addicts, xviii\n\novercoming,\n\ntriage when feeling, 252\u2013253\n\nPain, ,\n\nPause (\"P\"). _See also_ Mindfulness skills\n\naligning with authentic self, 90\u201392\n\ndeveloping mindfulness skills, 92\u2013101\n\ndistinguishing self from addiction, 78\u201380\n\ngoals and purpose for,\n\nhitting bottom, 88\u201390\n\nmindfulness found with, xx-xi\n\nrecognizing moments of grace, 80\u201383\n\nshifting balance with mindfulness, 83\u201387\n\nin S.P.O.T. acronym, 95\u201396\n\nPeele, Stanton, , , , , , ,\n\nPERFECT Program, The\n\nacronym for, xx-xxi\n\napproaches to addiction in, xvi\u2013xviii, 40\u201342\n\ncreating recovery goals within, 60\u201361\n\ndemystifying addiction, xvi-xviii, xix\n\nforgiveness practice in, 131\u2013132\n\nfounding change on grace,\n\nreframing self-control,\n\nrestoring quality of life with, 67\u201368\n\nself-acceptance in, xxi, 104\u2013107, 118\u2013120\n\nshifting perspective with, 109\u2013111\n\nPerfectionism, 223\u2013224\n\nPersonal empowerment,\n\nPinsky, Dr. Drew, , ,\n\nPositive values\n\nfinding, 107\u2013111, ,\n\nnoting in journal,\n\nPowerlessness\n\nas potential cause of addiction,\n\nreinforced by 12 steps, xviii, , , 16\u201317,\n\nPrecontemplation stage, ,\n\nPreparation stage, ,\n\nPreparing for change\n\nactivating self-control and free will, 59\u201361\n\ncaring for whole person, 54\u201355\n\ncase study in,\n\nconsidering abstinence, 61\u201364\n\nfilling one's life after addiction, 55\u201356\n\nharm reduction strategies when, 69\u201372\n\nhow addiction appears in your life,\n\njournals needed,\n\nmaintaining perspective when, 53\u201354\n\nmoderation as model, 64\u201369\n\nre-creating non-addicted life, 55\u201356\n\nseeking support,\n\ntracking in PERFECT Journal, ,\n\nunderstanding you are not an addict, , 78\u201380\n\nwithdrawing from love, 57\u201358\n\nProblem solving, 166\u2013167\n\nProhibition, ,\n\nPsychological issues\n\nleading to relapses, 54\u201355\n\nlogic of addiction, 39\u201340,\n\nas sources of addiction, 29\u201331\n\nPurpose, life, ,\n\nQuestioning exercise, 184\u2013185\n\nQuestionnaires\n\naddiction self-assessment, 49\u201350\n\nvalues, 50\u201351, ,\n\nQuinn, Christine, 63\u201364,\n\nQuitting. _See_ Getting straight\n\n_Radical Acceptance_ (Brach),\n\nRage-aholics, ,\n\nReciprocity marital counseling, 162\u2013163\n\nRecovery\n\nbuilding new life in, ,\n\ndeveloping self-acceptance, 116\u2013120\n\nexercising free will for, 59\u201361\n\nfinding goals for,\n\nharm reduction, 69\u201372\n\ninternal resources for, 40\u201342\n\nfrom methamphetamines,\n\nmoderation after, 64\u201369\n\nmoments of grace as core of, 80\u201383\n\nNESARC findings on, 36\u201337\n\nas normal part of experience, 13\u201314\n\nrole of shame in, 28\u201329, 104\u2013105\n\nRose's experience with, 3\u20139\n\nSAMSHA's definition of,\n\ntraditional views of,\n\ntruths about, 35\u201336\n\nwithdrawals during,\n\nRedefining boundaries,\n\nRedemptive narratives,\n\nRediscover (\"R\")\n\nbecoming your values, 134\u2013141\n\ncontinuing value assessments, 147\u2013149\n\nfinding contentment, 140\u2013141\n\nfocusing on your identity, 142\u2013145\n\ngoals for,\n\nintegrity with, xx, 140\u2013142\n\nreflection on change and acceptance,\n\nreturning to true purpose,\n\nReframing\n\nanxiety and depression,\n\nfailure, 204\u2013206\n\nrelapses, 208\u2013209\n\nRelapse prevention\n\ndeveloping skills for,\n\nmeditation practices in,\n\nmindfulness skills as bedrock of,\n\nresources for, 245\u2013246\n\nS.O.B.E.R. exercise for, 244\u2013245\n\n_Relapse Prevention_ (Marlatt), ,\n\nRelapses. _See also_ Relapse prevention; Triage\n\ndefined,\n\ndisillusionment and, 137\u2013139\n\nfailures in resolve, 134\u2013135\n\ngetting back on track, 209\u2013210\n\nimbalances triggering, 207\u2013208\n\nmanaging for non-abstinent addictions, 214\u2013215\n\noccurrence of vs. outgrowing addiction, 14\u201315\n\npredicting success through, xix\n\npsychological issues leading to, 54\u201355\n\nrates of,\n\nreframing, 204\u2013206, 208\u2013209\n\nreversing,\n\ntriage practices for, 243\u2013246\n\nReligion and spirituality\n\nforgiveness practice, 131\u2013132\n\nGod concept in Buddhism, 119\u2013120\n\nspiritual beliefs,\n\nspiritual dysmorphia,\n\ntenet of loving kindness, 116\u2013117,\n\nResources\n\ncoping with loneliness,\n\ndealing with abusive situations,\n\nfeeling overwhelmed, 253\u2013254\n\nfinding therapists,\n\nhandling addictive urges,\n\nhelping regain control,\n\nmanaging depression and anxiety, 255\u2013256\n\nmindfulness meditation,\n\npreventing relapse, 245\u2013246\n\nsparking motivation,\n\nsupporting self-worth,\n\nRestak, Richard,\n\nRewriting your story,\n\nRituals, 227\u2013229\n\nRobinson, Marnia,\n\nRodin, Auguste,\n\nRumi,\n\nSatel, Sally,\n\n_Schadenfreude_ ,\n\nSee (\"S\"), 95\u201396\n\nSelf-acceptance\n\naccepting family and,\n\nanti-addiction skills using,\n\nbeing true to yourself, 173\u2013175\n\nbody imagery and, 105\u2013106,\n\ncoping with shortcomings, 169\u2013170\n\ndeveloping, 116\u2013120\n\nfinding positive values, 107\u2013111, ,\n\nimportance of, xxi\n\nPERFECT program's emphasis on, xxi, 104\u2013107, 118\u2013120\n\nself-compassion exercises, 117\u2013118\n\nSelf-care,\n\nSelf-control\n\nactivating free will, 95\u201396\n\nexercised in harm reduction, 71\u201372\n\nexercising for recovery, 59\u201361\n\nexhausting willpower, , 158\u2013159\n\nfrontal lobe of brain and, 23\u201325\n\ngiving up porn addictions, 26\u201327\n\ninstilling in children,\n\nSelf-excuses, , 189\u2013190\n\nSelf-forgiveness\n\ndeveloping, 120\u2013122\n\nharm reduction and, 126\u2013128\n\njournaling on forgiveness, 130\u2013131\n\nself-excusing vs.,\n\nshifting from remorse to, 123\u2013128\n\nSelf-knowledge\n\nallowing self-excuses, 189\u2013190\n\ndefined,\n\ndiscovering motivations, 188\u2013190\n\nexercises for, 190\u2013192\n\njournaling on strengths and vulnerabilities,\n\nmoderation requiring,\n\nreframing relapses, 208\u2013209\n\nsharing your knowledge,\n\n_7 Tools to Beat Addiction_ (Peele),\n\nSexuality, 26\u201327, 67\u201368\n\nShame\n\nrole in quitting addictions, 28\u201329, 104\u2013105\n\nrole in relapse,\n\nSkills. _See_ Mindfulness skills; Life skills\n\nSMART recovery groups,\n\nSmith, Bob,\n\nSmoking\n\nquitting, , 77\u201378, 85\u201386\n\nrates of recovery in,\n\nvalue conflict in,\n\nS.O.B.E.R. exercise, 244\u2013245\n\nSobriety,\n\nSocial skills\n\narranging social situations, 159\u2013162\n\ncreating community and intimacy, 197\u2013200\n\ndeveloping intimacy and love, 199\u2013200\n\nmaking friends, 198\u2013199\n\nreviewing your social life,\n\nSorting\n\nbills and mail, 263\u2013264\n\npersonal values, 148\u2013149\n\nS.P.O.T. acronym, 95\u201396, ,\n\nStages of Change,\n\nStrengths and vulnerabilities,\n\nStress, 165\u2013166\n\nSubstance Abuse and Mental Health Services Administration (SAMHSA), ,\n\nSunday, Billy,\n\nSustaining recovery,\n\nSzalavitz, Maia, ,\n\nTemperance Movement, 18\u201319,\n\nTherapy\n\naddressing mental health with, 203\u2013204\n\ncognitive-behavior, ,\n\nescaping abusive relationships,\n\nfinding therapists, 258\u2013259\n\nnicotine replacement, 12\u201313\n\nreciprocity marital counseling, 162\u2013163\n\nresources on,\n\nseeking treatment from,\n\nThinking\n\nlike addict, 12\u201313\n\nlike non-addict,\n\nin meditation, ,\n\nnegative self-thoughts, 54\u201355\n\nThompson, Ilse,\n\n_Those Who Continue to Smoke_ (National Cancer Institute),\n\nTime\n\nfilling one's, 55\u201356\n\none day at a, , 158\u2013159\n\nTimer,\n\nTrack (\"T\"),\n\nTracking your progress, 219\u2013221\n\nTraumas, 111\u2013115\n\nTriage (\"T\")\n\nabusive relationships, 256\u2013258\n\naddictive urges, 241\u2013242\n\nanxiety or depression, 254\u2013256\n\ndifficulties with meditation, 239\u2013240\n\neducation and career, 260\u2013262\n\nfinancial management, 262\u2013266\n\nfinding therapists, 258\u2013259\n\ngoals for,\n\nlack of motivation, 247\u2013249\n\nloneliness, 250\u2013252\n\noverwhelm, 252\u2013253\n\nrealigning with, xx refocusing priorities,\n\nrelapse and harm reduction practices, 243\u2013246\n\nunworthiness, 246\u2013247\n\nTriggers\n\nidentifying, 154\u2013155, ,\n\nplans to counter, 155\u2013156\n\nrelapses and, 207\u2013208\n\n_Truth About Addiction and Recovery, The_ (Peele),\n\nTwain, Mark,\n\n12-step programs. _See also_ Alcoholics Anonymous\n\naddiction as disease, xvi\n\nappeal to divine intervention,\n\nbased on shame and humiliation, 104\u2013105\n\nmaking amends,\n\nmeaning of sobriety in, , ,\n\nneurochemical terms used to justify,\n\none day at a time in, 158\u2013159\n\npowerlessness reinforced by, xviii, , , 16\u201317,\n\nrelapse rates within,\n\nself-acceptance absent in, xxi, 104\u2013105\n\nself-will in, ,\n\nsense of powerlessness in, xvii, , , 16\u201317,\n\n3rd step,\n\nTzu, Lao,\n\nValues\n\nassessing your, 50\u201351, ,\n\nbasing recovery goals on, 60\u201361\n\ncreating values altar,\n\nfinding, 107\u2013111, , ,\n\ngrace illuminating core, 83\u201384\n\nhonoring your, 188\u2013190, 225\u2013227\n\nmaking changes based on, , 89\u201390, 128\u2013129\n\nValues Questionnaire, 50\u201351, ,\n\nVander Ven, Thomas, 33\u201334\n\nVietnam GIs,\n\nVolkow, Nora, , ,\n\nWalls, Jeannette,\n\nWebsite resources. _See_ Resources\n\nWillenbring, Dr. Mark,\n\nWillpower. _See_ Self-control\n\nWilson, Bill,\n\nWilson, Gary,\n\nWinehouse, Amy,\n\nWithdrawals, , 51\u201356\n\nYee, Rodney,\n\nYoga, 97\u201398\nAbout the Authors\n\n**Stanton Peele** has been a cutting-edge figure in the addiction field for four decades since the publication of _Love and Addiction_ in 1975. He has been a leader in opening up the field to an experiential, culturally and environmentally sensitive understanding of addiction and to practical, life-management approaches to treatment, harm reduction, and self-help. Along the way, Stanton has written twelve books (including _The Meaning of Addiction_ , _Diseasing of America_ , _The Truth About Addiction and Recovery_ , _7 Tools to Beat Addiction_ , and _Addiction-Proof Your Child_ ) and 250 professional articles, has won numerous awards (including from the _Journal of Studies on Alcohol and Drugs_ and the Drug Policy Alliance\u2014the leading drug policy reform organization in America), and has created the Life Process Program for addiction treatment, which continues to be utilized worldwide. Stanton also lectures on addiction around the world, writes the Addiction in Society Blog in _Psychology Today_ (<http:\/\/www.psychologytoday.com\/blog\/addiction-in-society>), and blogs as an addiction expert for the Huffington Post (<http:\/\/www.huffingtonpost.com\/stanton-peele>). He was named the best addiction blogger by All Treatment and one of the ten most influential figures in the addiction field by The Fix.\n\n**Ilse Thompson,** co-founder of the blog Stinkin-Thinkin: Muckraking the 12 Step Treatment Industry, is a writer and editor living in Portland, Oregon.\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\nSELECTED FICTION WORKS   \nBY L. RON HUBBARD\n\nFANTASY\n\nThe Case of the Friendly Corpse\n\nDeath's Deputy\n\nFear\n\nThe Ghoul\n\nThe Indigestible Triton\n\nSlaves of Sleep & The Masters of Sleep\n\nTypewriter in the Sky\n\nThe Ultimate Adventure\n\nSCIENCE FICTION\n\nBattlefield Earth\n\nThe Conquest of Space\n\nThe End Is Not Yet\n\nFinal Blackout\n\nThe Kilkenny Cats\n\nThe Kingslayer\n\nThe Mission Earth Dekalogy*\n\nOle Doc Methuselah\n\nTo the Stars\n\nADVENTURE\n\nThe Hell Job series\n\nWESTERN\n\nBuckskin Brigades\n\nEmpty Saddles\n\nGuns of Mark Jardine\n\nHot Lead Payoff\n\nA full list of L. Ron Hubbard's  \nnovellas and short stories is provided at the back.\n\n*Dekalogy: a group of ten volumes\n\nPublished by   \nGalaxy Press, LLC   \n7051 Hollywood Boulevard, Suite 200   \nHollywood, CA 90028\n\n\u00a9 2014 L. Ron Hubbard Library. All rights reserved.\n\nAny unauthorized copying, translation, duplication, importation or distribution, in whole or in part, by any means, including electronic copying, storage or transmission, is a violation of applicable laws.\n\nMission Earth is a trademark owned by L. Ron Hubbard Library and is used with permission. Battlefield Earth is a trademark owned by Author Services, Inc. and is used with permission.\n\nHorsemen illustration from Western Story Magazine is \u00a9 and \u2122 Cond\u00e9 Nast Publications and is used with their permission. Fantasy, Far-Flung Adventure and Science Fiction illustrations: Unknown and Astounding Science Fiction copyright \u00a9 by Street & Smith Publications, Inc. Reprinted with permission of Penny Publications, LLC. Cover art: \u00a9 1935 Metropolitan Magazines, Inc. Reprinted with permission of Hachette Filipacchi Media.\n\nISBN 978-1-59212-563-0 EPUB version  \nISBN 978-1-59212-756-6 Kindle version  \nISBN 978-1-59212-272-1 print version  \nISBN 978-1-59212-307-0 audiobook version\n\nLibrary of Congress Control Number: 2007903622\nContents\n\nFOREWORD\n\nFORBIDDEN GOLD\n\nCHAPTER ONE\n\nCHAPTER TWO\n\nCHAPTER THREE\n\nCHAPTER FOUR\n\nCHAPTER FIVE\n\nCHAPTER SIX\n\nCHAPTER SEVEN\n\nCHAPTER EIGHT\n\nCHAPTER NINE\n\nCHAPTER TEN\n\nCHAPTER ELEVEN\n\nCHAPTER TWELVE\n\nCHAPTER THIRTEEN\n\nSTORY PREVIEW\n\nMAN-KILLERS OF THE AIR\n\n[L. RON HUBBARD IN THE   \nGOLDEN AGE OF   \nPULP FICTION](BioTitle.xhtml#L.-Ron-Hubbard)\n\n[THE STORIES FROM THE   \nGOLDEN AGE](BackMatter.xhtml#The-Stories-from-the--Golden-Age)\n\nGLOSSARY\nFOREWORD\n\nStories from   \nPulp Fiction's   \nGolden Age\n\nAND it was a golden age.\n\nThe 1930s and 1940s were a vibrant, seminal time for a gigantic audience of eager readers, probably the largest per capita audience of readers in American history. The magazine racks were chock-full of publications with ragged trims, garish cover art, cheap brown pulp paper, low cover prices\u2014and the most excitement you could hold in your hands.\n\n\"Pulp\" magazines, named for their rough-cut, pulpwood paper, were a vehicle for more amazing tales than Scheherazade could have told in a million and one nights. Set apart from higher-class \"slick\" magazines, printed on fancy glossy paper with quality artwork and superior production values, the pulps were for the \"rest of us,\" adventure story after adventure story for people who liked to read. Pulp fiction authors were no-holds-barred entertainers\u2014real storytellers. They were more interested in a thrilling plot twist, a horrific villain or a white-knuckle adventure than they were in lavish prose or convoluted metaphors.\n\nThe sheer volume of tales released during this wondrous golden age remains unmatched in any other period of literary history\u2014hundreds of thousands of published stories in over nine hundred different magazines. Some titles lasted only an issue or two; many magazines succumbed to paper shortages during World War II, while others endured for decades yet. Pulp fiction remains as a treasure trove of stories you can read, stories you can love, stories you can remember. The stories were driven by plot and character, with grand heroes, terrible villains, beautiful damsels (often in distress), diabolical plots, amazing places, breathless romances. The readers wanted to be taken beyond the mundane, to live adventures far removed from their ordinary lives\u2014and the pulps rarely failed to deliver.\n\nIn that regard, pulp fiction stands in the tradition of all memorable literature. For as history has shown, good stories are much more than fancy prose. William Shakespeare, Charles Dickens, Jules Verne, Alexandre Dumas\u2014many of the greatest literary figures wrote their fiction for the readers, not simply literary colleagues and academic admirers. And writers for pulp magazines were no exception. These publications reached an audience that dwarfed the circulations of today's short story magazines. Issues of the pulps were scooped up and read by over thirty million avid readers each month.\n\nBecause pulp fiction writers were often paid no more than a cent a word, they had to become prolific or starve. They also had to write aggressively. As Richard Kyle, publisher and editor of Argosy, the first and most long-lived of the pulps, so pointedly explained: \"The pulp magazine writers, the best of them, worked for markets that did not write for critics or attempt to satisfy timid advertisers. Not having to answer to anyone other than their readers, they wrote about human beings on the edges of the unknown, in those new lands the future would explore. They wrote for what we would become, not for what we had already been.\"\n\nSome of the more lasting names that graced the pulps include H. P. Lovecraft, Edgar Rice Burroughs, Robert E. Howard, Max Brand, Louis L'Amour, Elmore Leonard, Dashiell Hammett, Raymond Chandler, Erle Stanley Gardner, John D. MacDonald, Ray Bradbury, Isaac Asimov, Robert Heinlein\u2014and, of course, L. Ron Hubbard.\n\nIn a word, he was among the most prolific and popular writers of the era. He was also the most enduring\u2014hence this series\u2014and certainly among the most legendary. It all began only months after he first tried his hand at fiction, with L. Ron Hubbard tales appearing in Thrilling Adventures, Argosy, Five-Novels Monthly, Detective Fiction Weekly, Top-Notch, Texas Ranger, War Birds, Western Stories, even Romantic Range. He could write on any subject, in any genre, from jungle explorers to deep-sea divers, from G-men and gangsters, cowboys and flying aces to mountain climbers, hard-boiled detectives and spies. But he really began to shine when he turned his talent to science fiction and fantasy of which he authored nearly fifty novels or novelettes to forever change the shape of those genres.\n\nFollowing in the tradition of such famed authors as Herman Melville, Mark Twain, Jack London and Ernest Hemingway, Ron Hubbard actually lived adventures that his own characters would have admired\u2014as an ethnologist among primitive tribes, as prospector and engineer in hostile climes, as a captain of vessels on four oceans. He even wrote a series of articles for Argosy, called \"Hell Job,\" in which he lived and told of the most dangerous professions a man could put his hand to.\n\nFinally, and just for good measure, he was also an accomplished photographer, artist, filmmaker, musician and educator. But he was first and foremost a writer, and that's the L. Ron Hubbard we come to know through the pages of this volume.\n\nThis library of Stories from the Golden Age presents the best of L. Ron Hubbard's fiction from the heyday of storytelling, the Golden Age of the pulp magazines. In these eighty volumes, readers are treated to a full banquet of 153 stories, a kaleidoscope of tales representing every imaginable genre: science fiction, fantasy, western, mystery, thriller, horror, even romance\u2014action of all kinds and in all places.\n\nBecause the pulps themselves were printed on such inexpensive paper with high acid content, issues were not meant to endure. As the years go by, the original issues of every pulp from Argosy through Zeppelin Stories continue crumbling into brittle, brown dust. This library preserves the L. Ron Hubbard tales from that era, presented with a distinctive look that brings back the nostalgic flavor of those times.\n\nL. Ron Hubbard's Stories from the Golden Age has something for every taste, every reader. These tales will return you to a time when fiction was good clean entertainment and the most fun a kid could have on a rainy afternoon or the best thing an adult could enjoy after a long day at work.\n\nPick up a volume, and remember what reading is supposed to be all about. Remember curling up with a great story.\n\n\u2014Kevin J. Anderson\n\nKEVIN J. ANDERSON is the author of more than ninety critically acclaimed works of speculative fiction, including The Saga of Seven Suns, the continuation of the Dune Chronicles with Brian Herbert, and his New York Times bestselling novelization of L. Ron Hubbard's Ai! Pedrito! \nForbidden Gold\nChapter One\n\nTHAT'S all you have to do, Mr. Reid. Just match this gold nugget and old Nathan Reid's money is yours.\" Kimmelmeyer looked legally at Kurt Reid and rolled the nugget in question about in his soft, plump hand.\n\nKurt Reid cocked his head a little on one side and took a long drag at a cigarette. Then he crossed his long legs and exhaled the smoke in a blue cloud which enveloped the desk.\n\nKimmelmeyer coughed, but his eyes remained very fatherly and legal. Compared to Kurt, Kimmelmeyer was small. Kimmelmeyer's head was bald, shining as though newly burnished with furniture polish. Kimmelmeyer's ears were elfinly pointed. His chin was sunk far down in a wing collar, giving his face a half-moon appearance.\n\n\"That's all I have to do,\" said Kurt with a twisty grin. \"What's the matter, Kimmelmeyer, don't you like me any better than Nathan Reid did?\"\n\n\"Like you?\" gaped Kimmelmeyer, missing the point.\n\n\"You act as if I were about to go on a Sunday School picnic instead of a gold hunt in Yucat\u00e1n. What if I don't want to go, huh?\"\n\nThe legal look vanished. Kimmelmeyer stared amazed at Kurt. He did not feel at all at ease with this young man. Something in Kurt's attitude was vaguely insolent. The man's poise was too astounding. No, Kimmelmeyer did not understand Kurt Reid. They were too many character miles apart. Gangly, good-humored Kurt, on his part, understood Kimmelmeyer a little too well.\n\n\"But Mr. Reid!\" said Kimmelmeyer. \"Have you no sense of proportion at all? Here I have just offered you a chance at four million dollars and a town house and a country house and what do you do? You sit there and ask me foolish questions about whether I like you or not.\"\n\n\"I knew old Nathan Reid,\" said Kurt, dragging at his smoke. \"And as certain as I'm his grandson, he didn't intend to do any good by me through you. Besides, when you're running through soup and you're out of gas and you see a landing field, it's ten to one the thing's a bog and you'll get killed anyway.\"\n\n\"Ai! Don't be so pessimistic. I thought all pilots were optimists.\"\n\n\"I'm alive,\" said Kurt. \"Optimistic pilots are all dead.\"\n\n\"But what can be wrong? See here, I bring you here at my own expense\u2014\"\n\n\"At Nathan's,\" corrected Kurt.\n\n\"I bring you here to show you the contents of his will and you aren't even glad about it. He says right here, paragraph three, 'Whereas, if said Kurt Reid sees fit to match this gold nugget in Yucat\u00e1n, I designate further that he be given my entire estate.' Now what you want, eh? You want I should just sign these papers over to you now?\"\n\n\"That wouldn't be a bad idea,\" said Kurt. \"But come along. Let's stop arguing about this thing. Does he say where this gold is down there in Yucat\u00e1n?\"\n\n\"No.\"\n\n\"Any bet he only gives me a month to find the stuff.\"\n\n\"That's right.\"\n\n\"And he makes no provision for getting me to Yucat\u00e1n.\"\n\n\"What you want, eh?\" cried Kimmelmeyer. \"Can't you invest a couple thousand in return for four million?\"\n\n\"Sure, but I haven't got a penny. Look here.\" Kurt raised his brown oxford so that Kimmelmeyer could see the sole. A hole was there, backed by a white piece of paper. \"That paper is the letter you sent me,\" said Kurt.\n\n\"But I thought you had a good job on a transport line, eh?\"\n\n\"I had one until two weeks ago. I stunted a trimotor when I was feeling good and the company didn't like it at all. In fact, they fired me. I'm flat and you'll have to give me the dough to go down there.\"\n\nThe request was rather sudden. Kimmelmeyer took several seconds to answer. \"I... I'm sorry, Mr. Reid, but you see things are sort of slack and I thought...\"\n\n\"I thought you were so hot to get me down there,\" said Kurt.\n\n\"Oh, I am! I am! I mean... er... should I not want to see you get all this money instead of hospitals and things maybe?\"\n\n\"I don't know what the game is, Kimmelmeyer,\" said Kurt, squinting through the smoke, his silver-gray eyes studious. \"Old Nathan Reid was my grandfather, yes, but he never liked me. He wanted me to study and follow in his footsteps, but I ran off and learned to fly. Furthermore, I was often sassy and I seem to remember telling him to go to hell once or twice. He never appreciated that, someway.\n\n\"He hated me first because I was my father's son. He hated Dad because Dad went into the Navy and Nathan Reid was once thrown off the president's chair in Nicaragua by the United States Navy. He's got me all mixed up.\n\n\"Nathan Reid knew he could never get anything on me while he was alive. Now he's trying to do it after he's dead. He never had any scruples as a filibuster. He made enemies more than friends. After his Central American misadventures he tried to run everything by the same yardstick.\n\n\"You're just his mouthpiece, that's all. You don't know these things. I do. Nathan Reid wants to see me dead and I know damned well that a trap is waiting for me in Yucat\u00e1n if I go down there looking for this gold. That pretty nugget you've got there still retains some of its quartz. That's rose quartz. The ledge is jewelry rock. Oh, I know my gold mining. If it's there, I can find it. Give me time.\n\n\"But here's something that you've never heard about. There's a saying about Yucat\u00e1n and gold. The fact is known all around the Caribbean. You can look for gold in Yucat\u00e1n. Gold comes out of Yucat\u00e1n, brought by the Indians there. But no white man that ever found gold in Yucat\u00e1n ever got out alive except filibuster Nathan Reid.\"\n\n\"My God,\" whispered Kimmelmeyer.\n\n\"Nathan Reid hated me and now that he's dead he's trying to kill me. He knew that I'd go, and I'm going. I'm broke, but I'll make it someway. I know where he traveled in Yucat\u00e1n. Somehow I'll get a plane and fly over his old routes there until I find the place. I'm going to beat him at his own game.\"\n\nThe finality and earnestness of Kurt's last remark jarred Kimmelmeyer. In many ways, Kurt was like Nathan Reid. There was a certain positiveness about him, a certain gleam to his silver-gray eyes, a certain set to his lean, almost swarthy face.\n\nKimmelmeyer nodded. He had dropped the gold nugget on the polished surface of his desk. He had dropped it as though it had been hot. Kurt picked it up, studied it and handed it back.\n\nKurt stood up. \"I'm going now. In a month\u2014on the eighth of October\u2014I'll be back here with a mate for that gold.\"\n\n\"Wait, wait,\" said Kimmelmeyer, once more efficient and legal. For a moment he had been transported to the seared plains of Yucat\u00e1n, but now he was right back in New York with a solid chair under him, a newspaper and a big dinner waiting for him in an hour or two.\n\nKimmelmeyer picked up a copy of the Eastern Pilot, opened it and handed it to Kurt. \"I was looking for your address and I got a copy of this,\" said Kimmelmeyer. \"Look here, I just thought...\"\n\nKurt read the advertisement in its neat little box. It said:\n\nWANTED: A transport pilot, a radio operator and a mechanic for long flight. Two planes will be used, the duration of the trip will be six weeks or thereabouts. Destination: Yucat\u00e1n.\n\nKimmelmeyer was eager, \"There's your chance.\"\n\nKurt studied the man, grinned a little and then nodded. \"Yes, here's my chance.\" He stuffed the magazine into the pocket of his tweed jacket and went out, slamming the door behind him.\n\nKimmelmeyer mopped his forehead and muttered, \"Ai, but that was easy. Easy!\"\nChapter Two\n\nKURT went to the address mentioned in the advertisement. The place was on First Avenue, close under the El. Shabbily dressed, sad-faced people loitered on the doorsteps, their voices drowned in the surflike roar of the El. Children scrambled in the gutters, pinch-faced and ragged. A huckster bawled a string of indefinite syllables in an assured tone and clanged his brass bell.\n\nKurt felt ill at ease, anxious to be away. People turned and looked at him as he passed. He did not belong here. He felt a sullen ill will toward him.\n\nThe door which bore the right number was painted green, sandwiched between a fruit stand and a scrap iron shop. A sign creaked overhead in the hot wind stating that apartments were to be had there by the day, the week or the month.\n\nKurt pushed the buzzer and the door rasped and clicked until he opened it. Then after he had passed, it still rattled. The man upstairs must be impatient.\n\nThree flights up, Kurt found an open door. A man was standing in it looking at him. The man wore a vest which bore the signs of many hasty meals. He was unshaven, greasy of face and hands. The trousers he wore were peg-topped, flashily cut. The face also had the air of past flashiness, now worn through. The eyes were bulging, of indefinite color; the mouth was warped and cynical.\n\n\"Who the hell do you want?\" he demanded.\n\nKurt stopped before the door and very carefully looked the man up and back down to the scarred shoes. He let several uneasy seconds elapse before he answered and then he said, \"Who the hell wants to know?\"\n\n\"Name o' Sloan,\" muttered the other, his poise gone.\n\nKurt took out the magazine and thrust it into Sloan's hands, pointing to the ad. \"Have I got the wrong address? I'm thinking that I have at that.\"\n\n\"Oh, no, no. This is right. You a mechanic or a pilot or what?\"\n\n\"I'm a pilot. I'm Kurt Reid. Shall we go in and sit down or shall we tell all to the neighbors?\"\n\n\"Come in, come in,\" said Sloan, suddenly cordial. He led the way into a room blued with cigarette smoke. Two other men immediately bounced to their feet. A third person, smaller than the others, remained seated, watching with amused eyes.\n\nSloan did the introducing in an offhand way. \"The fat guy is Bruce. This here guy is Bill Connelly. And that guy there I don't know. This here guy is Kurt Reid. He says he's a pilot.\"\n\nBruce took a quick step forward. His eyes were rather hazy behind silver-rimmed glasses. His shirt was well cut and the cuffs were stiffly starched and unbuttoned. His face was rather soft and sunburned. His hair was standing erect like combed steel wool. He was a foot shorter than Kurt.\n\nBruce offered his hand. \"A pilot? Reid, you say? Very glad to know you, very glad to know you. I suppose you've come to see about that position, eh?\"\n\nKurt looked the three over. The fourth person definitely did not belong. A kid, decided Kurt, and a rather handsome kid at that.\n\n\"No,\" said Kurt, \"I came down here because I like to walk. What's offered?\"\n\n\"We're going to Yucat\u00e1n,\" said Bruce.\n\nBill Connelly nervously blinked his eyes and said, \"Yeah, Yucat\u00e1n.\"\n\n\"That's right,\" agreed Sloan. \"Yucat\u00e1n.\"\n\nKurt grinned. \"Oh, Yucat\u00e1n.\"\n\nSolemnly, the three nodded in unison. The kid in the corner smiled.\n\n\"Arch... archayologee,\" explained Bruce, wrestling with the word.\n\n\"Oh,\" said Kurt. \"From some university, eh? You're professors, that it?\"\n\nOnce more they all nodded. The kid in the corner laughed outright and they turned to stare. When their eyes came back to Kurt, Kurt knew that they knew he was laughing at them.\n\nBruce, after a moment's thought, evidently decided to let it ride. His hand came out of his right hip pocket. \"Yes, we're going down in the interests of science. We have two planes, both of them very good, very fast, but we have only one pilot. That's Bill Connelly there.\"\n\nConnelly's eyes were twitching. He swallowed a couple times, making his Adam's apple leap convulsively.\n\n\"The pay?\" said Kurt.\n\nBruce looked at Sloan. Sloan's bulging eyes rocked toward Kurt and came back to Bruce.\n\n\"It's good,\" said Bruce. \"A thousand dollars for the trip. And if you're the guy I think you are, then that ought to mean somethin' to you just now. You'll get it when you come back.\"\n\n\"While I'm down there,\" said Kurt, \"I may want some time off to myself.\"\n\n\"That's okay,\" said Bruce. \"You can even borrow one of our planes.\"\n\n\"And now how about me?\" said the kid in the corner.\n\n\"He wants the job as radio operator,\" Bruce explained to Kurt. \"Says he's pretty good. But I say he's too damned young.\"\n\nKurt looked fixedly at the kid in the corner. Young was the right word for it, unless... Kurt's silver-gray eyes were almost closed. A smile flickered on his mouth.\n\n\"Where's your papers?\" demanded Bruce. \"I gotta see your papers.\"\n\n\"I haven't got any, but if you'll take me to a key, I'll show you that I know my business.\"\n\n\"Where'd you get your experience?\" said Bruce.\n\n\"I... uh... I was airline operator for TAT for... for three years.\"\n\nBruce snorted. \"Nuts! You can't get a job by lying to me. You ain't old enough! Get out!\"\n\nThe kid stood up and shot Kurt an appealing glance. \"Maybe this gentleman could verify... see here, I've got a slip which shows...\" The kid reached into a jacket pocket and brought forth a bundle of envelopes. Something silver flashed down to the floor, rolled halfway across the rug and stopped, spinning.\n\nA compact.\n\nBruce stared at the thing, then at the kid. Kurt knew the answer instantly. This was no boy, but a girl. The face was more pretty than handsome. The voice was too fine for even a youngster.\n\nBruce loosed a muffled snarl. \"You damned spy! Who sent you here? Who sent you?\"\n\nBruce took two steps, feline steps. His hand gripped the girl's shoulder so hard that she winced. Bruce shook her, showing his teeth. \"Who sent you here?\" he roared.\n\nThe girl tried to answer, but the fingers hurt too much. She sagged forward, tears welled up in her eyes.\n\nKurt stepped easily to Bruce's side. He yanked Bruce around. No one saw the fist move, but the next instant, Bruce crashed into a chair clear across the room. Bill Connelly's jaw sagged.\n\nSloan yelped. His bulging eyes looked red. He stepped into Kurt with both hands clenched and swinging. Kurt weaved back and Sloan followed Bruce into the chair.\n\nBill Connelly was undecided. Kurt made up the man's mind. Bill Connelly crumpled up, a red welt appearing on his neck and jaw.\n\nThe three men were stacked against the shambles of the chair like a collapsed Indian tepee. They shifted, as though afraid to get up.\n\nKurt smiled at them. \"I guess we'll get along, boys. I guess we'll get along.\"\n\nKurt turned to the girl, \"Now, ma'am, let's let these fellows show us their planes and their radios. Time is speeding.\"\n\nShe rubbed her shoulder and then looked up at Kurt. Suddenly she laughed.\nChapter Three\n\nSEVERAL hours later, a sedan drew up before the Newark Airport Restaurant. Kurt Reid stepped out and Bruce handed him a five-dollar bill. The girl gave Bruce a questioning glance and then alighted at Kurt's side.\n\n\"I gotta arrange for the ships to be rolled out,\" said Bruce, now all complacent with the past incident apparently forgotten. \"You stay here until we come around for you.\"\n\nSloan and Bill Connelly nodded politely and the sedan drove off across the highway toward the brown-and-white modernistic operations office.\n\nThe girl found herself ushered through the door and to a black-topped table on the right of the oblong mahogany-and-brass interior. She carried a small bag in her hand\u2014a rather tattered bag from which she had produced a sport dress which she now wore.\n\nKurt looked at her hands. Capable hands they were, well trained, but right now they were shaking. The girl had a certain gray pallor in her cheeks, a certain listlessness in her dark blue eyes.\n\nWithout asking any questions, Kurt ordered a cup of black coffee for her. When she looked askance at him, he said, \"You haven't eaten for the last couple days, have you?\"\n\nShe lowered her eyes and nodded. Presently the coffee came and when she lifted it to her lips the ebon fluid ran down the sides of the thick white cup. Kurt took a sudden interest in the black-and-mahogany panels of the wall and ceiling.\n\nHer eyes thanked him and she drank the coffee down. After that a little color came into her face and her eyes were less tired.\n\n\"Looks like we've hired ourselves a job,\" said Kurt. \"What do you know about it?\"\n\nA platinum waitress hovered near, taking their orders. When she had gone, the girl said, \"Very little. I saw the ad in the Eastern Pilot and I got down to First Avenue just before you did.\"\n\n\"Why are you taking a chance at it?\" said Kurt.\n\nShe smiled; her mouth was tired. \"Broke. Luck running against me.\"\n\n\"You really are a radio operator?\"\n\n\"Yes, I really am. Six months ago I was the lead attraction for a flying circus. I turned a plane inside out every day for the crowds. A year ago I was copiloting a transport plane. Two years ago I was an airline hostess anxious to know all the ins and outs of a very mysterious, infinitely dangerous game. I know them now.\"\n\n\"You didn't tell me your name.\"\n\n\"It wouldn't mean anything to you. Nothing at all. I've heard of you, but...\"\n\n\"That isn't telling me your name.\"\n\n\"All right, if you insist on the real thing: Joyce Sutherland. Joy Sutherland.\"\n\n\"I read about you someplace,\" said Kurt.\n\n\"You read that I crashed six months ago. They expected the old crate to hold together for ever and ever and when it went they told me I was a hoodoo. An airliner crashed with me in it. A parachute jumper was killed diving off my plane. And now with that on my name and with things as they are, there isn't very much chance of my coming back. It was a swift career, wasn't it?\"\n\n\"And so you're perfectly willing to cast your lot in with Bruce and Sloan and Connelly.\"\n\n\"Funny thing about life,\" said Joy Sutherland. \"If you don't work you don't eat.\"\n\nKurt did not smile. The tragedy of this girl was too deep. He knew what it was to be considered a hoodoo. No game is more superstitious than flying. Her name had gone before her. Hospital bills, left in a strange town, no friends.\n\n\"You come from the West, don't you?\" said Kurt.\n\n\"Yes, San Francisco. How did you know?\"\n\n\"The way you talk.\"\n\n\"You haven't told me anything about yourself, Mr. Reid.\" Her dark blue eyes were studying him. In a swift appraisal she knew him. He was a headlong chap with very little regard for the opinions of others. He was violent and gentle all in one. He was as tough as a drill sergeant and as soft as a girl. He was typical of a hard-eyed breed who had come into being with flight. Steady contact with danger, closeness of eternity, had given him a careless attitude toward life. He knew things for what they were worth. Joy Sutherland knew and understood.\n\n\"I want to see Yucat\u00e1n,\" said Kurt. \"I never happened to have the chance to go there, and now that I'm on my uppers and my controls are kind of loose, I intend to give the country a squint.\"\n\n\"That's funny,\" said Joy Sutherland, staring at the two unwinking yellow eyes of her fried eggs. \"Old Nathan Reid used to stamp around down there. I read it in the story of his death. You aren't by any chance...?\"\n\n\"His grandson,\" said Kurt, a little bitterly.\n\nShe took her cue from his tone. \"I've heard about him before. Once the president of Nicaragua, unseated by the Navy, soldier of fortune, gold hunter, conquistador. From what they say he was a rather cruel individual.\"\n\n\"That doesn't describe him. He tried to break my father's heart and ended up by hating him because Dad went into the Navy. Now he's trying to...\"\n\n\"But he's dead,\" reminded the girl. \"Why speak of him in present tense?\"\n\n\"Nathan Reid will never be wholly dead. He left his mark too deep in Central America.\"\n\nShe was plainly puzzled now. \"But he was wealthy when he died. Why should his grandson have to take a rotten offer like this?\"\n\n\"Grandfathers and flying circuses are a lot alike,\" said Kurt. \"You and I are on the last lap of the flying trail. Perhaps I have a little more hope ahead than you, but unless I fly for sport I fly no more. Nathan Reid hated me. Down in Yucat\u00e1n...\"\n\nShe listened to his somewhat disjointed sentences, feeling something of the struggle inside him. When he left the explanation hanging in midair she did not press him further.\n\nBruce came, smoking a cigar, looking puffy and elated. \"They're on the line. Come on out, Mr. Reid, and we'll see what kind of pilot you are. If the ships are all right and if you're all right, we'll start in the morning.\"\n\nKurt stood up and drew back the girl's chair for her. The three went across the highway to the hangars, walking silently, their gaze fixed on the two planes which idled on the runway.\n\nOne was a two-motored cabin job apparently capable of high speed. Her sides were gray and dull with long exposure. Her engines sounded well enough. She looked like a huge bug sprawled on the concrete, sunning itself.\n\nThe other plane was also a cabin job. It was yellow with a swayback and spatted wheels. Kurt knew the type well. Racy and compact, built for speed over long distances.\n\nBruce pointed to the smaller ship. \"We'll take that one up, Mr. Reid, so you can show me how good you are. You'll probably pilot the bigger one and Connelly will have this one, I dunno. Anyway we'll see how good you are.\"\n\nKurt jackknifed himself and slid in under the control wheel of the plane. The ship had seen much service. Its panel was dented from a crash or two and some of the instruments were broken. However, Kurt had piloted worse in his time. He gave Bruce a grin.\n\n\"What am I supposed to do?\" said Kurt.\n\n\"Just show me you can fly it, that's all.\"\n\n\"Transport license doesn't count for much with you, does it?\" said Kurt.\n\n\"Take her off.\"\n\nKurt slammed the small ship down the runway. The bright disc of the spinning prop blurred the factory chimneys in the distance. The spatted wheels went light and came off. Kurt leveled out, gathering speed, and then sent the plane rocketing skyward in a steep climb. A glance sideways told him that Bruce was far from nervous.\n\nBruce kept his hands well away from the dual control wheel before him as though the thing might bite. He turned sideways and yelled in Kurt's ear, \"Someday I'm gonna learn to fly one of these things. Then I won't need extra pilots for my expeditions.\"\n\nThe yellow ship banked and went around like a top, its under wing seeming to remain stationary in the sky below. Kurt whipped out of that and did a swift figure eight. He climbed and dived again. Through it all, Bruce's expression did not change in the least.\n\nThey were out over water now, with the waves looking crisscross and small below. Tugs and even steamers were mere chips in the water.\n\nWithout any warning, Kurt thrust the control column away from him. The monoplane nosed over, the engine began to scream as it revved up. Wires took on a whining note and the world loomed suddenly big through their down-pointed prop. A smile was flickering around Kurt's mouth.\n\nThe tugs grew larger. Men could be seen on their decks. Then the men had faces and finally hands and the yellow plane was yowling down at three hundred miles an hour less than five hundred feet above the waves.\n\nIt was a moment for swift action, but instead, Kurt took both hands off, both feet off and carelessly yawned.\n\nBruce screamed unheard into the din. For him death was a fraction of an inch away. His pudgy hands snapped out and gripped his dual control column. He eased back, his feet found the rudders and the plane fishtailed to kill speed. The nose came up, up, up until the wheels were rapping parallel to the waves, almost in them. Bruce, mouth compressed, eyes watery behind his glasses, began to build altitude. The yellow ship started up again with an easy glide.\n\nWhen the altimeter was bobbing at a thousand feet, Bruce suddenly realized what he was doing. The plane wobbled and fell off on one wing. He overcontrolled. His eyes went beseechingly to Kurt's face.\n\nWith a very small smile, Kurt took his own controls and the ship slipped down to a smooth landing at Newark.\n\nWhen he had cut the gas and the switch, Kurt turned easily in his seat and said, \"Very nice work.\"\n\nBruce fidgeted with his belt, finally casting it off. \"Anybody can do that if they're scared enough,\" he growled sullenly. He edged out of the cabin.\n\n\"And Mr. Sloan,\" said Kurt, \"can he fly too?\" Then he laughed loudly as Bruce scurried away.\n\nJoy came to the step and looked up, questioningly. \"What's up?\"\n\n\"Bruce,\" said Kurt. \"Something's wrong here. Very wrong. Bruce can fly. He's a natural. Connelly can fly. Maybe Sloan can fly. And yet they have to hire another pilot. Whatever these fools are up to, it's shady.\"\n\n\"You have to eat, don't you?\" said Joy, amused.\n\n\"Sure, just as long as I don't have to eat too many bullets, I'm satisfied.\"\n\nSloan came over, his bulging, watery eyes very sad. \"We leave in the morning, wise guy. Here's a ten-dollar bill. Be on time, get it? Six o'clock.\"\nChapter Four\n\nTHE airport was cloaked in gray darkness. The two-motored ship idled sluggishly, thinly seen across the runway. Gas was gurgling into the auxiliary tanks of the yellow plane. Sloan stood by watching, his face hidden in the collar of his extreme cut topcoat.\n\nBruce was hunched down in the cabin of the twin-motored plane, trying to keep warm. Bill Connelly was under the controls, his eyes batting, his fingers shaking. Bill Connelly nodded at the engines and climbed down, approaching the yellow ship.\n\nA hand reached out of the grayness and detained him. Kurt Reid smiled and shook his head. \"You're taking the big one out. I'm taking the little one.\"\n\nBill Connelly opened and shut his mouth like a landed fish. Then without a word he went back to the larger plane and conversed with Bruce in low, jerky tones.\n\nJoy Sutherland, wrapped in a man's trench coat, came up to Kurt's side. \"Good morning, Black Knight. I called your room when I woke up but you'd already gone.\"\n\n\"Had any breakfast?\" said Kurt.\n\n\"I... I never eat any breakfast.\"\n\n\"But I gave you two bucks for chow,\" protested Kurt.\n\n\"I... I got me a permanent wave and a... a compact. I had to have them, Kurt.\"\n\n\"Never mind,\" he said with a grin, \"I've got a hot thermos of coffee and some sandwiches in my grip.\"\n\n\"Which plane are you going to fly?\"\n\n\"The little one. I couldn't stand to look at Sloan.\"\n\nBruce loomed out of the pea soup. \"You're flying the big one, Mr. Reid. Them's orders.\"\n\nKurt turned around very slowly. \"Your error, Bruce.\"\n\n\"My error, hell! Who's in charge around here anyway?\"\n\n\"I'm flying the little ship.\"\n\nBruce sputtered and then saw the girl. \"And we're not taking you. We decided we won't need any radio communication.\"\n\n\"The radio outfit is in the smaller plane,\" said Kurt. \"She's going in that crate with me.\"\n\nSloan edged up, his hands deep in his pockets, his bulging eyes darting from Bruce to Kurt as though awaiting orders.\n\n\"No,\" said Bruce to Sloan, irritably.\n\nBill Connelly, batting his eyes, his mouth twitching, came over.\n\n\"She's going,\" said Kurt. \"And I'm flying the smaller ship.\" His inky eyes went narrow with speculation. Then he added, \"Or neither of us go at all.\"\n\n\"You mean you'll run out on us?\" snapped Bruce.\n\n\"That's what I mean,\" said Kurt.\n\nSloan's hand in his pocket was moving up. \"Put the gun away,\" ordered Kurt. \"You can't do anything here on the runway and you're too yellow to do anything anyway. I see red when anybody pulls a gun on me. And if you shot me and I found out about it I'd really get sore.\"\n\n\"Aw, let him have his own way,\" growled Bruce. \"Let him ride with the dame. But I'd like to know how the hell I can send messages with her in the other ship.\"\n\n\"Wig-wag 'em across with your ears,\" said Kurt.\n\nThe tension wore off a little. Bill Connelly edged toward the twin-motored plane and Sloan followed him. Bruce underwent a change and smiled.\n\n\"Okay, Mr. Reid, I was just joking anyway. Of course you can fly the small job. We stop in New York, Richmond, Atlanta and New Orleans. We spend the night there and then hop across the Gulf to Progreso, Yucat\u00e1n\u2014a distance of six hundred miles.\" He smiled uncertainly.\n\nKurt opened the door of the yellow ship and helped Joy in. Bruce departed for the transport plane. But as Kurt came around the nose he met another man he had not seen before. The fellow was dressed in mufti but there was something professional, even militant about him.\n\nHis words were few. \"Watch them guys, buddy. You ain't one of them, I can tell that. But watch 'em close. They just missed getting a ten-year stretch at Leavenworth for kiting chinks across the border.\"\n\nThen the fellow was gone, leaving Kurt to scowl through the gray mist after him.\n\nKurt climbed under the controls. The transport ship took off and Kurt followed, sending the yellow two-seater boring upstairs to greet the murky dawn.\n\nJoy Sutherland had little to say. She had already discovered everything there was to know about the shortwave radio. She tuned in on the beam and connected the lights on the panel. Kurt felt a twinge of pride at her efficiency. He was more than glad to have her there, happy that he did not have to ride with the three.\n\nHe was not exactly sure of his position but he knew that he was somehow vital to the party. They weren't really afraid of him, not those fellows.\n\n\"She's riding kind of heavy,\" said Joy above the motor's full cry.\n\nKurt bobbed his head in agreement. Even an extra load of gas shouldn't make that difference. Joy did not weigh a hundred and ten pounds and his weight was less than a hundred and fifty.\n\nJoy twisted around in her seat, unfastening her safety belt. A small space was behind the two seats and it was covered with a strip of dirty canvas. She pulled it aside, staring down in surprise. She tugged Kurt's sleeve, pointing.\n\nTwo light machine guns were there, their loaded belts coiled like a den of snakes all white and brassy. Kurt frowned. He saw something else. A sample pick, a shovel, a metal gold pan.\n\nThere was the extra hundred pounds. Looking up at the cowl, Kurt saw the slots and mountings for the first time. He felt a chill of uneasiness. Just what were they walking into? Machine guns, a gold pan...\n\nThat fact he had told Kimmelmeyer rose up again: You could dig gold in Yucat\u00e1n but you couldn't take it away from there because of the Indians. Were the three going to try anyway? With planes and machine guns?\n\nThat was coincidence if he had ever seen it. Maybe too much coincidence. Something was wrong and amiss here someplace. He felt as though he were on the brink of a solution which he couldn't quite grasp.\n\nJoy was wide-eyed. A flush of excitement was on her cheeks. Her mouth was slightly open, moist and pearly and scarlet. Kurt smiled her an assurance he did not feel.\n\nFirst a dead man's trap and now a crazy gold expedition. In truth, all hell was waiting for him in Yucat\u00e1n.\nChapter Five\n\nRICHMOND, Atlanta and then New Orleans. All through the day Joy kept the beam coming in strong. Too far left for an N, too far right for an A, but most of the time Kurt slid down the invisible static highway with the signal coming in blurred and staccato, true on his course.\n\nIt was pleasant, skittering on top of the world at the level of the sparse white clouds. The fields were an immense checkerboard and the houses were dollhouses peopled by ants. The rivers were threads of silver on a minutely worked green tapestry. The mountains were frowning bumps, slashed and hacked and piled in long lines.\n\nOver the Appalachians they struck a local thundershower which washed their wings and made them shine when the sun came out again.\n\nBut always drifting ghostlike beside them came the transport plane, a gray shadow, impersonal and detached.\n\nAnd always with Kurt there remained the thought of Nathan Reid, filibuster, now dead. Nathan Reid who had carried the standard of a rabble army against the military autocracies known as republics in the ardent southland. And when he thought too long about it, Kurt's mouth would settle into a thin gash across his face\u2014just as Nathan Reid's mouth had set those many years past when the going was rough and when an ambush was ahead.\n\nKurt retained no illusions about the romance of his grandfather. He had been young when he had first read Nathan Reid's journals. He had found them one day in the musty old attic lumped and forgotten in a corner of a field trunk. They had been bound with the Great Seal of Nicaragua\u2014an over-ornate thing of comical rather than grand proportions.\n\nHe had read them, volumes held on his knickerbockered legs, with his grubby, small boy hands grimed with the dust of decades. The journals were too many for one reading and he had stolen back time after time to finally complete them. It had not been the romance which had made Kurt read those tomes. It had been sheer horror that had held him. Each time he read his stomach would twist uneasily within him and his dark eyes would grow large and afraid. He had marched in imagination with that rabble of Nathan Reid's and Nathan Reid had stinted nothing in setting down the chilly terror of the facts.\n\nThis man dead with gangrene, that one shot for theft, another murdered by his fellows. And the thick, oozing decay of the jungles running like a trail of slime through it all. Nathan Reid had dreamed empire and like so many men who have since become haloed saints in history, Nathan Reid had played his part\u2014that of a brutal, single-purposed, egotistical bully.\n\nThis man he had shot with his own hand. This native he had tortured for information. This town he had burned through military necessity\u2014and that pallid excuse for savage excess was painted well in the smeared, aging pages.\n\nYoung Kurt's back had smarted many times\u2014too many times. Young Kurt had absorbed the bitterness of his father toward a military martinet, a despot who knew nothing save his own will, whose world was black save for that section which became illumined by the fire of his ego.\n\nAnd now Nathan Reid was dead\u2014as dead as that rabble he had led into the southland. But Nathan Reid could not abide death and here, weeks after the clattering fingers had taken him, he was still holding court over Kurt's destiny. The thought was gruesome. Nathan Reid was laid out nicely in a black frock coat in an exclusive cemetery, in an ornate mausoleum. But as far as Kurt was concerned the man still barked his imperious orders and glared with his inky, brittle eyes.\n\nHad it not been for the presence of Joy, Kurt would have become very melancholy, following the ups and violent downs of his temperament. But Joy was seated serenely on his right, her eyes suddenly sparkling with interest at some sight below.\n\nHer sport suit had seen better days, but it was far from shabby. Rather it had an air of respectable dignity. The color was blue, matching her eyes and the open-throated shirt was buff, matching her hair.\n\nJoy was not beautiful in a fragile, insipid way. Her face was firm and round and frank and her mouth was made for laughter rather than pouts.\n\nWhen evening came, Kurt was tiring. Without question, Joy took the dual control and flew with a graceful ease and unconscious smoothness which made Kurt wonder at her inability to get a job. But then, Kurt had always said that the greatest danger in aviation was starvation, and Joy had become branded as a hoodoo\u2014as Jonah had been branded as a Jonah but had been nonetheless saintly for it.\n\nThe Mississippi curved over the horizon, a dozen twisting slashes of gold across a flat, brown world. Lake Pontchartrain shimmered under the slanted rays of the sun as big as an ocean decked with curving prows and fluttering sails.\n\nThe transport ship came down and circled the square field and then slid in for a cautious, almost stealthy landing.\n\nKurt sent the yellow ship down in a hissing sideslip which straightened out only when twenty feet separated them from the earth. The two-seater whistled just above the ground, floating, losing speed, to suddenly crunch down for a precise but somehow devil-may-care three-point.\n\nBruce was at the side of the yellow ship almost before it had stopped rolling. He opened the door and peered anxiously in. But the canvas appeared not to have been disturbed, nor did either Joy or Kurt mention the discovery of the machine guns.\n\nBruce smiled up as far as his flat, bulbous nose. There the smile stopped. \"I'll attend to the hangaring of the ships, Mr. Reid. You and the dame... I mean Miss Sutherland can go uptown. Report back here about six tomorrow morning.\"\n\nKurt slid out of the cabin, stretching his long length and flexing his arms. \"What'll I do for money? I'd like to have a hundred on account, Bruce. I've got to get some clothes.\"\n\nBruce scowled. \"I can't...\"\n\n\"Then,\" said Kurt, stifling a wide yawn, \"I'll have to withdraw from your entourage, I'm afraid.\"\n\nGrudgingly, Bruce drew out his wallet and counted a hundred in tens into Kurt's hand. Once more Kurt was surprised at this evidence that he was wanted very badly in the party. He wondered just how far this sort of thing would go.\n\n\"And Miss Sutherland would like an advance on her pay, too,\" said Kurt. \"She ought to get about three hundred for this trip. You can let her have seventy-five now.\"\n\nSloan was slipping up toward Bruce's elbow. He shot a meaning glance at his boss and then licked his lips nervously.\n\nBruce tried to stare Kurt down. He saw the threat in Kurt's eyes. Not only the threat of leaving.\n\nBruce counted out seventy-five. Kurt laughed out loud at the slowness of the man's movements. Joy smiled and took the money.\n\nThen without looking back, the two climbed into a taxi and headed off toward New Orleans.\n\n\"You've got him scared,\" said Joy.\n\n\"I wish I was certain that was it.\"\n\nThe cab deposited them on Canal Street and they stood for a few moments at the curb looking up and down the straight thoroughfare as though undecided where to go. Finally Kurt led the way to a store which was still open.\n\nThey separated at the entrance with a promise to meet there in half an hour. Kurt made his way to the men's clothing department and made known his wants.\n\nThe items he bought were of the greatest need: a pair of high, soft lace boots, a pair of light whipcord breeches, a broad-brimmed gray felt hat and a pair of light shirts.\n\nWalking down the counter past the sporting goods section, he saw guns on display inside the shining case. He stopped, struck by a sudden idea.\n\n\"That Colt .45,\" he said to the clerk. \"Can I have it now?\"\n\n\"Well, it's a little irregular, but...\"\n\n\"Give me a box of shells and five extra clips.\" Then with the gun bulging under his coat, he felt somehow safer. One never knew what would happen. Nathan Reid, Bruce...\n\nJoy was waiting for him, giggling like a very small girl. \"Tonight,\" she said, \"you're going to take me to dinner, and then we're going someplace and dance. I just couldn't resist a dress I saw although I know I'll just throw it away after tonight.\"\n\nKurt looked at her, slightly amazed.\n\nShe stopped laughing, something like tears came up in her eyes. \"It's... it's not often I'm happy, Kurt, and tomorrow you and I are going south across the Gulf to Yucat\u00e1n\u2014to God knows what. I... I have a hunch, Kurt, that... that we're never coming back.\"\n\nThe chilly statement sent a shiver down Kurt's straight spine. He forced a smile. \"Forget it, Joy. Forget it. Tonight we'll find a place where there's music and good things to eat and maybe moonlight and we'll forget all about everything, huh? Just you and I.\"\n\nShe brightened, remembered her dress and began to chatter with him about small but interesting things. Kurt walked silently beside her, listening to her voice, shouldering their way through the crowds. The Colt .45 banged against his ribs with every step.\nChapter Six\n\nPROGRESO, Yucat\u00e1n, in the later Empire of the Mayans might conceivably have lived up to its name, but through the sleepy passage of centuries it had grown more and more dormant until at last it represented a typical Central American village living only for its afternoon siesta.\n\nIt is situated between two long lines of sea sand dunes, built on sand. To the north lies the restless blue of the Caribbean and to the south lies the low tableland\u2014and all the forgotten mystery of the Mayans, all the sullen danger of untamed tropics.\n\nThe two ships landed on a smooth strip of beach and were immediately surrounded by crowds of natives dressed in abbreviated cotton shorts, white cotton jackets and Mexican straw headgear.\n\nBruce, alighting with nervous haste, brushed the crowds aside and went stamping down the beach, leaving dents in the sand with his heels. Bill Connelly batted his eyes and remained under the wheel of the transport. Sloan thoughtfully roved his eyes over the hybrid assembly about the planes.\n\nJoy looked at the people and found kindness in their faces. Bananas, pineapples, strange green fruits with pulpy orange centers\u2014the carelessly slung baskets presented a lure for her. She climbed down and spoke to a yellow-skinned native in Spanish.\n\nKurt was surprised at the fluidness of her speech. He knew something of Spanish; he had always prided himself upon his knowledge of it. But Joy was talking like a native.\n\nThe natives understood quite a little of her speech. Their own language was a crisscross patois of Indian, Spanish and Mexican. But what they did not understand in her words, they took from the tone of her voice\u2014a quality of language plundered by the printed page, a universal passport no matter what language is spoken. They also understood her eyes.\n\nMany baskets were offered. These people had seen one or two planes before; they had seen a few white women; they had seen enough of life along this tropic strand to understand much they could not put into words. They sheered away from the transport plane and centered their attention on the sleek yellow ship. It was as though the gray bimotored job had smelled bad.\n\nA man in a small flat-topped straw hat carrying a cane and stroking a flowing white mustache came up to Joy with a bow. His words were in the purest of Castiliano.\n\n\"You go far into the interior?\" he asked.\n\n\"I don't know,\" replied Joy with a quick smile.\n\n\"Perhaps you go to Quintana Roo, eh? I ask because I have seen others go before.\"\n\n\"What is the matter with Quintana Roo? What is Quintana Roo?\"\n\n\"The southern portion of the peninsula,\" replied the Spaniard. \"It is an unknown fastness. I do not know just why it should attract the people of the north\u2014except perhaps for the gold. I beg your pardon for asking in idle curiosity.\"\n\n\"No, no,\" said Joy quickly. \"I am pleased that you interest yourself. What about Quintana Roo?\"\n\n\"Oh,\" vaguely, \"many have gone, few have ever come back. It is the last stronghold of the Ancients. The Indians there for long dwelled in this more equitable section, but when the Spanish crushed their revolts time after time, the Indians moved back away and out of sight, losing themselves forever in the jungle and on the plateau.\n\n\"You know of the early Spanish, yes? They tried to penetrate Quintana Roo and found it impossible. The Indians live there in peace\u2014or perhaps their idea of peace. Ave Maria, se\u00f1orita, but they went to long odds to obtain that peace. How they use it we do not know. But there is gold there. Sometimes it comes out. Sometimes we see huge nuggets brought by Indians.\n\n\"But we who live on this barren coast have grown cautious. We no longer try to push back into a territory which will not have us. We leave that for the people of the north. People such as that great filibustero Nathan Reid.\"\n\n\"You know of him?\" said Kurt with quick interest.\n\n\"Know of him? By all the saints, se\u00f1or, you must be joking. He is a legend here. Why, once he anchored in this very harbor. He saw a nugget from across the peninsula and he disappeared with a dozen of his men. Weeks later he came back, alone. But he had a nugget with him. A piece of gold studded with rose quartz as though he had ripped it from the vein. I was a little boy then, but I remember.\"\n\nKurt experienced a queer wave of unreality. He had seen that same piece of quartz on the desk of a bald-headed shyster as carelessly handled as a paperweight. That bit of sun metal had cost the lives of a dozen men. And it might well cost the lives of thirteen.\n\nHe was about to say something about it when Bruce came back. Bruce was sweating and fuming, nerves raw with the indolence of the place. White men like Bruce had experienced the same fever for centuries. They had raved and fumed and had soothed themselves with alcohol and then had ceased to care even when the tropics finally got them.\n\n\"The dumb so-and-sos,\" rapped Bruce. \"We can't get gas until morning! We'll have to stay here overnight.\"\n\n\"How long do we fly tomorrow?\" said Kurt.\n\n\"It's a hundred miles to Quintana Roo,\" growled Bruce. \"We could have made it tonight. I'm sick of this damned job. The sooner it's over the better.\" He stamped over to the transport plane and explained things to Sloan and Connelly.\n\nThe Spanish gentleman looked askance at the squat Bruce and then\u2014perhaps it was because Joy smiled\u2014he did that thing which Spaniards are always supposed to do and don't. He offered Kurt and Joy the hospitality of his house for the night.\n\nThey left the yellow plane under the guard of a ragtag, bobtailed soldiery who had come yawning from their barracks and who stood in the shade of the wings, rifles held awry, feet spread wide, splayed bare toes gripping the sand like a monkey's.\n\nThe Spaniard's hospitality was excellent, his house was beautiful, his wife was complacently plump, smoothly gracious. Joy and Kurt were driven out to their ship in the small hours of the coming day, greatly refreshed, feeling for the first time a sparkle of adventure. Perhaps that came from the awe in which the Spaniard held them.\n\nAfter all, they did look like a romantic pair. Joy's shopping in New Orleans had netted her laced boots and a riding skirt of white piqu\u00e9, a broadcloth shirt, and a white hat which looked immensely impractical but which was not.\n\nThe tanks were being filled when they arrived and Kurt kept well away from the three self-styled scientists. He didn't wish to break the tranquility of the moment, the illusion that everything was well. Somehow contact with the three made him feel cheap.\n\nHe filled in a few minutes by removing the glass from the doors and side windows of the yellow ship's cabin. \"It's too hot,\" he explained to the Spaniard. But to do this, he had to sacrifice the comfort of his gray felt hat. From his small bag he took a helmet and a pair of goggles.\n\nJoy exclaimed her pleasure at the sight of the helmet. \"It's funny! Where did you get that thing?\"\n\nKurt smiled. \"You ought to know. It came from your beloved California. Chinese, I guess. I received it from an aged fellow who used to take my plane every few trips.\"\n\nHe held the helmet out so that she could see it better. It was made of heavy material, soft as kangaroo hide. Embroidered and painted along the crest of it, so that the tails came down to twine about the ear pads, was a great fire-spitting dragon.\n\nIt was one of those things a pilot likes to acquire as an offering to the dangerousness of his trade.\n\n\"It's good luck,\" said Kurt, and was then instantly sorry.\n\nJoy's gaze was averted. She pretended to take an interest in the natives who were straggling out of their huts in the early dawn. Kurt had reminded her that she was supposed to be a hoodoo. It was painful\u2014this seriousness in superstition\u2014as adolescent as the profession of flying itself.\n\nThey took off in a blasting cloud of sand. The transport ship was leading the way now, flying low and fast as though anxious to reach its destination without any more loss of valuable time.\n\nThey flew for an hour. On the ground it would have been a trek of a week's duration, perhaps more. But here in the clear blue air they devoured miles in the breath of seconds.\n\nHenequen fields, acres of bayonet-pointed plants, fled away under their downreaching wheels. Roads gave way to ox trails and then there was nothing but blank ground, verdant expanse, tangled and meaningless.\n\nThey came to a high plain, flat as a table, an admirable landing field. The transport ship headed down and landed in a geyser of dust. The yellow ship followed and came to a stop a dozen feet from the stretching wings of the giant.\n\nKurt got down. It was hot with a shriveling heat. It was windless and depressing. The silence of empty miles closed in upon them, ringing in their ears.\n\nSloan came out of the big ship first. His bulging eyes were fishy but his trap mouth was set. Bruce followed him, walking stiff-legged like a stalking wolf. Connelly sat under the controls, waiting.\n\nKurt had not had time to realize what was up. He had no warning whatever. A blue, ugly gun glinted in Sloan's grimy fist and the muzzle was unwaveringly centered on Kurt's chest.\n\n\"If he yipes,\" said Bruce, \"give it to him.\"\n\n\"What the hell...?\" began Kurt.\n\nJoy gasped, one foot still in the fuselage stirrup, blue eyes wide with fear for Kurt.\n\n\"Okay, Reid,\" said Bruce. \"We're here. We're in the most deserted section of Quintana Roo. If you want to yell, yell. It won't do you no good. You asked for all this and you're going to get it.\" He waited for that to sink in. His glasses were flashing in the sun, his shirt clung to his back with sweat.\n\n\"You're Nathan Reid's grandson. You're down here to find a ledge of gold ore. I know all about you\u2014all about you. Now spit it out and quick. Where is that ledge?\"\n\n\"Tell Sloan to put that thing away,\" ordered Kurt, eyes as black as ebony, as hard as obsidian. His mouth was closed to a thin line and he spat his words through his teeth. \"If you want information from me, you can go bark for it. Did it ever occur to you that I didn't know anything about this ledge?\"\n\nBruce snorted in derision. \"Turn around.\"\n\nInstead, Kurt advanced a pace, straight at the gun. Sloan slanted a questioning glance at Bruce but the muzzle didn't waver.\n\nBruce also advanced. He shook his arm up and down and a leather-jacketed sap slid out like a stubby snake to hang by its wrist thong against his hand. Bruce juggled it. Kurt came on.\n\n\"Don't!\" cried Joy. \"Kurt! Come back! They'll kill you!\"\n\nBruce sidestepped with a quick motion. The sap moaned through the air, missing Kurt by a fraction of an inch.\n\nSloan's face was completely dead as though he had never felt an emotion in his life. His bulging, codfish eyes were utterly impersonal. He aimed at the fleshy part of Kurt's thigh and fired.\n\nThe impact of the bullet turned Kurt half around. His leg crumpled. He went down, swearing, with a coil of powder smoke drifting about his gaily helmeted head.\nChapter Seven\n\nJOY ran swiftly to Kurt, afraid that he was dead. She was not reasoning logically in that she gave no thought to what her own fate would be with Kurt out of the race.\n\nThe dry dust was swirling in a cloud about the fallen man and for a moment no one realized that Kurt was rolling over and over, plunging sideways from Sloan's gun.\n\nAbruptly a stab of white lightning ripped out of the tan fog. Sloan's automatic leaped back away from bloodied fingers and landed with a small thump on the ground. The blast of Kurt's shot was deafening, but the voice which followed it was more like the thunder accompanying the lightning flash.\n\n\"Keep away from your guns!\" roared Kurt. \"Damn you, stand still!\"\n\nSloan was backing swiftly. He stopped, shaking his hand to rid it of the pain, sending a fine spatter of blood over the sand. Bruce, goggle-eyed and gasping, stayed where he was. Connelly, unseen by Kurt, twisted about in his seat in the transport plane and fumbled nervously through the pile of dunnage.\n\nKurt came cautiously to his feet, still holding the .45. Joy was there beside him, holding him up. They backed slowly toward the yellow ship. Sloan, whimpering, watched them go without protest. Bruce's lips were moving in a slow monotonous fashion, cursing them.\n\nJoy mounted the stirrup and helped Kurt into the ship after her. She flipped the booster and the engine started with a mounting whine.\n\nConnelly found what he was seeking. It came up blue and shining.\n\n\"Hey, you!\" cried Connelly. \"Stop!\"\n\nThe command went unheard in the blast of the yellow plane's engine. With Joy at the controls, the ship was already moving forward.\n\nThe light sub-Thompson in Connelly's hands began to chatter. Bits of dust flecked away from under the belly of the ship. Fabric vibrated under the onslaught of lead. The rudder slammed hard over, hammered there. The yellow ship careened into a right-angle turn.\n\nThe dust which arose from the skidding tail partially obscured the ship for a moment, but when Connelly saw it again it was flying free, headed up into the wind, wheels turning idly under the past momentum of the ground.\n\nThey were gone.\n\nBruce whirled about, his face red and furious. \"Don't stand there like a fool. Spot the direction of their course.\"\n\n\"They got the machine guns,\" protested Sloan, nursing his hand.\n\n\"They... they what?\" stormed Bruce.\n\n\"The two machine guns you said to put in that ship.\"\n\n\"I told you to take them out!\" Bruce roared.\n\n\"I tried to, but I was afraid a customs man would see me or something. Honest-to-God, Bruce... oh, my hand!\"\n\nKurt was engaged in an inspection of his leg. He could feel a trickle of blood going down his thigh. With a pocket knife he slit away the cloth over the wound. Then he smiled.\n\n\"Nicked, that's all,\" said Kurt.\n\nJoy looked relieved. She was jockeying the plane through buffeting hammers of heat lift, gaining altitude as swiftly as possible.\n\n\"Where away?\" said Joy.\n\n\"I don't know exactly.\" Kurt found a roll of bandage in the dunnage and in spite of the close confines he was making fair progress with the dressing. The iodine was making him wince as he covered up the graze.\n\nThat done he looked out across the endless land, gathering his wits. Back in his knickerbocker days he had read something in those old records of Nathan Reid's. Something about a lake of great size, two mountains like a gunsight, and a country slashed by deep ravines. Something about gold. He wished he could remember exactly where those mountains were. But the thought was hazy and incomplete. Nathan Reid's adventures in this locale had been harrowing enough.\n\nHe resorted to a map of the country. The surveyors had guessed at many things, using the things they had heard rather than seen. Quintana Roo seven or eight centuries after the Later Mayan Empire was still a lost world.\n\nBut he found the lake marked in blue and he found two marks like asterisks which meant mountains. He was elated, though he was far from sure that these markings would lead him to anything like a gold vein.\n\nHe was glad of this break with Sloan and Connelly and Bruce. It had given him the excuse he wanted. It had been a shock to hear that they were after Nathan's gold, and he knew they would hardly let the matter drop where it was, but he was glad all the same. Of course, he'd hear from them later.\n\n\"Course due east,\" he told Joy, pointing at the black compass bowl.\n\n\"Aren't you going back to Progreso?\" said Joy, yelling in his ear to make herself heard above the drumming engine.\n\n\"No, I'll explain later.\"\n\nFor a plane it was a small country. On foot it was huge. In a matter of minutes they had sighted a mountain. Joy sliced toward the peak.\n\nKurt sat eagerly forward, watching ahead. There should be another mountain there, close beside the first. And below them he should find a lake.\n\nAnd there it was. Two mountains. He sighted the ground about them, watching for a glint of blue. This was too easy, too easy. The lake was spread out like a sheet of beaten metal, quiet and serene and completely forgotten\u2014or so it appeared.\n\nHe took the controls then, forgetting his leg in the excitement of the discovery. His eyes were sparkling and alive and his mouth was drawn into a tight smile. Nathan Reid had not counted upon such ease. Of that Kurt was sure. Nathan Reid had wanted him to slog across the jungles in painful search.\n\nThe yellow ship cruised over the lake while Kurt inspected the terrain below. He frowned as he saw something which looked like a human habitation. He had heard much about these Indians. About their revolts and their wild return to the land and cities of the forefathers in Quintana Roo.\n\nThe thing he saw looked like a pyramid\u2014was a pyramid with its sides ascending in steps to a square structure on the very top. Mayan architecture. Heavy stone statues of the feathered serpent. He noted that the stone appeared worn and that trailing vines were absent.\n\nBut then that might be some trick of growth rather than an indication of habitation.\n\nJoy was staring down with parted lips, astonished at the structure, completely forgetting the present in the favor of that long-gone past. She remembered what she had heard of the Later Mayan Empire. Human sacrifice, terrible rites, the cruelty of the jaguar.\n\nKurt was interested in the place only as a landmark. There were other buildings down there, partially hidden by the brush, solid and blocky. This had once been a thriving city but now\u2014or so it appeared\u2014it was reclaimed by jungle.\n\nThe yellow ship spiraled lower and lower toward the top of the pyramid.\n\nSuddenly Kurt yelled. Joy stiffened, brought back too swiftly from her imaginings.\n\nKurt was pointing down at the structure. The yellow plane went round and round, one wing motionless, spinning without losing altitude.\n\nA streak of yellow had shined briefly there.\n\nKurt cut the engine. \"There's gold! That means there's a ledge of it around here someplace. They wouldn't carry it far. That means we're right!\"\n\nJoy didn't have the slightest idea of what was behind all this but the thought of yellow metal thrilled her.\n\nKurt shot the power on again and the ship went hurtling back into the blue. Kurt looked around, watching for a black speck in their element which would proclaim the coming of the transport plane.\n\nThen he dived in once more upon the pyramid. The lake had left a sandy stretch of beach beside it which might conceivably be used as a landing field in a pinch, but Kurt passed it by. Something was warning him not to land.\n\n\"If I could only get some of that,\" he muttered, looking at the yellow flecks of sunlight down in the temple. \"It might be the same gold.\"\n\nThe plane went around in a tight bank, almost touching the top of the pyramid with its left wing. Kurt stared at the structure which was whizzing by so swiftly. He reached out his hand as though he could breach the gulf and take the temple away with him.\n\nThen he looked at Joy. She was regarding him with a wide-eyed stare as though she thought him completely insane.\n\nKurt leveled off and drove upward again to the altitude of a thousand feet. Several miles away he could see a clear stretch of sand. He would land on that and look the country over. Certainly the vein was here somewhere. He would have to match that nugget in Kimmelmeyer's office\u2014that nugget with its identifying streaks of rose quartz still imbedded in it.\n\nThe country was slashed by a hundred ravines, deep and dark as though hiding their contents from the morning sun.\n\nThe yellow ship went swiftly in for a landing. The ledge had looked wide from afar but here it was apparent that it was flanked by two ravines which left only thirty feet between them. A thirty-foot runway is sufficient if it is long enough, but as he neared the spot it became obvious that the landing would be a tricky affair. The hot and cold summits and depths were making a shambles of the air currents. The wind was rocketing away from cliffs and shooting straight up or ramming straight down again.\n\nThe ship was bounced like a rubber ball. Joy watched the runway below as Kurt came in.\n\nThe wheels seemed to fumble for the ground. Kurt fought the controls, right, left, right, forward and back, trying to maintain a balance.\n\nIt was crosswind and they kept drifting over the edge. Kurt went around and came back again, eyes very hard with the effort.\n\nSuddenly he sent the plane down in a quick pass at the ground. The wheels struck, bounced and struck again. The edge was almost within reach of their fingertips. Kurt held them on the runway with his motor and his rudder.\n\nAt last they stopped rolling, one wing over the ravine. Kurt climbed out, flexing his stiff leg, looking about him. Joy remained in the ship, feeling weak after the effort at getting down.\n\n\"What's this all about?\" demanded Joy.\n\nKurt realized then that he had told her nothing of all this even though she was embroiled tightly within it. He came back to the stirrup and smiled at her.\n\nIn a few tense words he told her about Nathan Reid, about the gold nugget that had to be matched.\n\n\"But,\" she protested, \"there was gold on that pyramid. I saw it. Why not get some of that?\"\n\n\"I don't think it's from the vein,\" said Kurt. \"I've got to find a gold nugget with the rock still clinging to it. Otherwise I miss out on four million, a town house, a country house, and God knows how much more. It's worth the try.\"\n\n\"I should say it is,\" she said, dazzled.\n\n\"Well, then, let's be up and doing. I've only got about twenty-eight days in which to find this thing. And by the shades of Nathan Reid, I'm certainly going to find it.\"\nChapter Eight\n\nTHE country might have looked small while they were aloft, but now that they started down a ravine with the terrifying solid height of the canyon walls, they began to have some conception of this silent immensity. They spoke little going now, partly through the precariousness of their descent, partly through the solemnity of the tomblike silence which was relieved only by the dismal moan of the wind finding its way through the giant gray boulders and the clattering harsh green leaves of strange trees.\n\nKurt, in his excitement, had forgotten the gray hat. He wore the helmet, that talisman presented to him in Joy's native state. Halfway down he stopped on a ledge, uncoiling a long piece of rope he had brought with him from the plane. When he had it secured to a niche in the sheer wall, he absently shifted his .45 from his pocket to his belt. The gesture was not missed by Joy and she began to stare up and down the canyon floor below them as though expecting all sorts of horrible things to leap forth.\n\nHe fastened the rope carefully about her slim waist. \"Hang on,\" he commanded and began to lower her over sixty feet of space. Swinging there, going slowly down, Joy saw the wing of the plane over them like the protecting hand of a saint.\n\n\"How... how will we get back up?\" she called.\n\n\"I'll manage it,\" Kurt promised.\n\nShe came to rest on a ledge below and Kurt came down like a descending bomb. When he had dropped beside her he released the rope from his grasp and let it hang. Fifty feet still remained between their ledge and the bottom, but the slope was not severe, and they had little difficulty in traversing it.\n\n\"What are we going to do now?\" asked Joy.\n\nKurt produced the sharp pointed sample pick from his belt. \"A ledge such as the one Nathan Reid must have found here is certain to be in evidence. We'll scout some of these ravines.\"\n\nHe had added the gold pan to his equipment for testing the wandering stream which brawled down through the ravine. His eyes held a far light and his mouth was set in a half smile which was more determination than humor.\n\n\"Later,\" said Kurt, \"we'll visit the Maya city. I'd like to take a look at that big pyramid just for luck. I remember something about it from the journals. Gradually everything I read is coming back. Gee,\" he cried boyishly, \"wouldn't it be swell to walk in on Kimmelmeyer before the eighth and slap an identical nugget on that desk of his!\"\n\nSome of his enthusiasm began to infect her. It was strange, this wish to defeat a dead man. At first the thought had been gruesome to her. But the dead man had hated Kurt Reid and something in that was helping her to understand, to want Kurt to succeed, to wish for victory for Kurt's sake.\n\nThey walked along the side of the brook, parting the small bushes which grew there, disturbing clouds of insects which rose angrily like hostile fleets of planes to jab sharp stingers into their fair skins.\n\nKurt stopped from time to time, taking up dirt from the creek and placing it in the big flat metal pan. He washed it with a swinging, rotating motion, picking out the larger rocks, doing his work carefully until only a little black sand remained in the bottom. Sometimes the sand contained flecks of bright yellow gold.\n\n\"See that color!\" cried Kurt each time. \"There's a vein along here, up above here. See there's more this time than there was last. We're getting closer and closer!\"\n\nLate in the afternoon, having dined upon a pocketful of raisins and a flinty biscuit apiece, they came upon the source of the creek. They were not far from the plane as they had not progressed swiftly, but it seemed a long way to Joy.\n\nSuddenly Kurt gave a shout. He was pointing up at a streak of white rock. \"Ore! That's gold up there!\"\n\nHe scrambled ahead without watching his footing. Forgotten was his wound. He mounted high above Joy and began to hammer at the white quartz.\n\nThen he stopped and came down. His face was so melancholy that Joy laughed at him.\n\n\"That's not it,\" said Kurt. \"That's white quartz. Gold ore, yes, but I've got to get a piece with rose quartz in it. Come on, we're going back to the plane. Tomorrow's another day.\"\n\nTiredly she followed him through the approaching dusk. The brook was their trail part of the time and they slogged along, silent again, hemmed in by space and the depressing quietness of the place.\n\nKurt stopped so quickly that Joy bumped into his back. A sound had come up to them. The crackling of brush. The whisper of voices. A chilly fear ran through Joy like a rapier. She was unable to breathe, sensing danger, not from the sound but from Kurt's alert posture, from the quiver of his thin nostrils as though he could scent the air and discover the danger as cave men had discovered danger a million years before them.\n\nJoy felt her heart swelling up, pounding inside her breast like a hammer, suffocating her.\n\nAgain the sound reached them, closer now. Two men with coppery skins emerged from the brush ahead, walking with their gaze on the ground as though reading a message there. They were trackers. Mayans!\n\nKurt did not move. The man in the lead, his black hair drawn down tight with a metal band, stopped, also sensing danger. His black eyes reached up, caught sight of Kurt and stared. The man's companion bumped him and glanced across the small clearing.\n\nA yell more shrill than anything Joy had ever heard before rasped through the air. A cry of warning from the second Indian.\n\nThe first darted into the bushes, pulling an arrow from his quiver. Kurt heard the whistle of the feathered shaft. He drew the Colt .45 as though he were on a target range.\n\nFlame ripped across the thick dusk. The Indian screamed and fell forward. His companion was running swiftly away. Kurt, unwilling to shoot a man in the back, let him go.\n\nJoy's throat pulsed. She moaned a little, leaning heavily against Kurt, trying not to look at the last agonies of the dying man.\n\nThe brush was suddenly filled with cries and the crash of broken bushes. There were others, many others coming toward the sound of alarm and the shot. Kurt backed up, pushing Joy along with him. He looked anxiously about him for a barricade, something behind which they could hide and defend themselves. He found nothing.\n\n\"Run,\" he said and his voice was harsh.\n\n\"And... and leave you?\"\n\n\"Run! I can't. My leg won't let me. If you get free, if they can't find you, then you can take the plane and perhaps help me. Go quickly. Damn it, run!\"\n\nJoy saw the logic behind the order. She did not question the rightfulness of it. Every instinct made her want to stay with Kurt but he had ordered her to do a thing and somehow he was not to be questioned.\n\nIn an instant she was gone. Kurt turned about and faced the clearing again. Men were pouring up through the trees, dimly seen except for the flashes of copper skin. The Mayans stopped when they came to the clearing edge. Kurt was waiting for them, waiting for them to make the first aggressive move.\n\nA copper-tipped spear carved air in a flash of brilliance against the leaden hue of the dusk. When it struck a tree behind Kurt its shaft hummed.\n\nAn arrow sang shrilly in his ear and then an avalanche of feathered color came at him. Despair welled inside him. The .45 rapped again and again. Sparks streaked out far before him. Men thrashed about in the underbrush.\n\nOne clip gone, Kurt hastily began to load. But they would not grant him time for that. Like yellow-skinned tigers they ran across the intervening space, yowling and brandishing war clubs.\n\nNo time to reload. The sample pick was in Kurt's belt. He whipped it out. Its hand was a foot and a half long. One end of it was a hammer, the other was a wicked sharp point. Let them come.\n\nThe attack of the first man knocked Kurt back with its violence. The sample pick buried its point in the Indian's skull, coming away dripping.\n\nThe pack closed in. Kurt was borne to earth under a writhing blanket of unwashed greasy bodies. Hard edges hammered him. Nails tore at him. He fought back as best he could using every hold he knew.\n\nBut the end was certain, there before Kurt knew it. They held him inert under them, gripping his arms, punching him to see if he were dead. Then convinced that he was only half unconscious they dragged him along over the ground as though he were a sack of maize.\n\nThe grass was turned red as he passed, but through his half-closed eyes he saw five men who would never move again. He had paid his score in full.\n\nThey had forgotten Joy, perhaps. He could not see. The trail was long and when he reached the end of it he was slumped like an empty burlap bag.\n\nNathan Reid had known the trap he had set. Perhaps Nathan Reid's restless ghost was somewhere about, smiling with that cruel thin smile with which he had taken a rabble army to its death.\nChapter Nine\n\nHOW long he had been there he did not know. Many dawns had come and gone. Many hot afternoons had passed by, melting into the cool of evening.\n\nFever hits hard on the heels of physical injury and the wounds were almost healed before Kurt Reid lost the lethargy of delirium and high temperature.\n\nOne day he sat up with a start, knowing where he was and why he was there, remembering Nathan Reid and Bruce and the Mayans. It was like awaking from a bad dream to find that it was so after all.\n\nHe was in an oblong room built of dirty limestone. The ceiling came together above him in steps, its architecture that of the Later Mayan Empire because of its false arch. The Mayans had never learned to make an arch.\n\nDried lake reeds went to make his hard bed. A square window, a mere hole in the thick rock walls, showed a section of blue sky and the drifting segment of a white cloud. The place was silent save for the drone of flies in the room.\n\nTen minutes of sitting up made him realize how weak he was. He lay back with a weary sigh, looking up at the smoky, stepped ceiling.\n\nHow in the name of God had he gotten there? Where was he? Why was he still alive?\n\nThat last fact made him wonder the most. It did not seem reasonable that he would be attacked, that he could kill five and still live himself. Something was wrong. And then when he thought about it hard a tugging thought made him shiver.\n\nWere they keeping him for some terrible purpose?\n\nHe slept after that and dreamed of shifting horrors, of flames and pain and death.\n\nThe next day he was awakened by the entrance of an aged woman. She was fat and greasy. Her hair was braided and she was dressed in a dirty white cotton singlet. When she saw that he was conscious she stood staring at him a long time. Then she went out and returned with a copper bowl filled with maize and a heavy bread. Her study was disconcerting\u2014she looked at him as one looks at a pig before slaughtering time.\n\nKurt sat up again. He was suddenly possessed with a restless warning, a nervousness. It was as though a dynamo had started up inside him, filling him with tingling electricity. How many days had passed? How close was it to the eighth of October? He was due back in New York. Otherwise Nathan Reid would win after all.\n\nAnd what had happened to Joy? Had she gone with the ship? And where were Bruce and Sloan and Connelly?\n\nHe ate the maize with the ravenous appetite of past fever. When he had scraped the shining copper bowl of all it had held he found that its smooth bottom was a perfect mirror. A gaunt yellow face stared back at him. The eyes were sunken, a stubble of black beard had come out on his chin.\n\nFrom the length of the beard he knew that he had been there many, many days. Weeks perhaps. Why had they kept him?\n\nHis helmet had gone, his pockets were empty. The remains of bandages clung loosely to his arms and shoulders. He did not recognize his own identity. He was filled with the strange idea that it was not Kurt Reid.\n\nAnd then voices drifted to him from the front of the hut. Men were speaking in Spanish out there. And one voice had the guttural American intonation he would have recognized anyplace.\n\nBruce!\n\nThe other man spoke slowly and clearly as though he were very old. \"Now that the black devil is again awake, you are forced to wait no longer. You may be rewarded for bringing him here to us by witnessing his death. Perhaps we shall find other ways of rewarding you.\"\n\n\"The more speed the better,\" replied Bruce. \"I'm sick of hanging around this place. I've done you a favor, now you can do one for me by speeding it up. To me, time is valuable.\"\n\n\"But how well I understand. However, there is such a thing as decorum. In the light of the full moon the rites shall be carried out. We have waited too long for this to be in a hurry.\"\n\n\"Waited too long?\" said Bruce.\n\n\"How not? Perhaps fifty years. I myself scarcely remember the time. But I remember his face. He has not changed, he cannot age. Until he is devoured by flame, he will return twice each century to take his toll of our people. He is an avenging spirit and it is necessary that we kill him.\"\n\n\"Oh, certainly,\" agreed Bruce. \"He's the one all right. What did he do the time before?\"\n\n\"He came with a dozen men, all of them wild of eye and armed with weapons we thought strange and godlike. At first we accepted him, but when we refused to give what he wanted, he killed like a wolf that knows no satiation. We slaughtered the twelve, but him we could not kill. Perhaps our gods were against it, who knows?\"\n\n\"He's the one,\" said Bruce. \"I came far to tell you and to bring him to you. Perhaps I shall want a reward a little more definite than witnessing his death.\"\n\n\"Your service has been great. The three of you shall not want of our goods.\"\n\nThe voices faded away, still talking, leaving Kurt in the grip of a cold sweat. His staring eyes were filled with the knowledge of the Mayans' error.\n\nHe knew now why Nathan Reid had made him come down here. He looked a little like Nathan. Generally, anyway. Black hair, dark eyes, stringy figure. He had come booted, with a gun flaming in his hand.\n\nThey had known Nathan Reid would come back and Nathan Reid had sent him. They had waited for fifty years! The gruesomeness of such patience made Kurt shiver.\n\nNathan Reid had sent him into a trap and Bruce had clinched it. But how did Bruce tie up with all this?\n\nHe slept again and when he awoke it was late afternoon. The sun was on the wrong side of the building and it was very dark within. But in spite of the darkness, a square of light danced restlessly on the ceiling.\n\nKurt studied the square. It went back and forth, back and forth, sometimes quickly, sometimes slowly. Someone was carrying something shiny outside. In a moment the light would stop.\n\nBut the light did not stop. It went on and on for minutes. Curiosity made Kurt arise. He stumbled to the window and supported himself on the narrow ledge with his elbows, looking out.\n\nThe source of the light came from a small hut across a shallow ravine. It flashed with varying length.\n\nThen Kurt knew exactly what it was. Talking sunlight ! Coming from a window, using international Morse code.\n\nDash, dash, dot, dash. Dot, dot, dot. Dash.\n\nThat would be QST. \"Calling, calling.\"\n\nFlash, flash, flip, flash. Flip, flip, flip. Flash. \"Calling.\"\n\nFor a moment Kurt was puzzled. Who would want to get in touch with him? Who would be here besides Bruce and Connelly and Sloan?\n\nJoy!\n\nIt was like a shower of ice water. Kurt looked back at the room and saw the bright pan. It would be impossible to signal. He had no sunlight in his direction. He was forced to stand there and watch, powerless to answer.\n\nHe did not sleep well that night. With returning strength he was growing restless. No one of his vitality could remain down so very long. He awoke just as the sky was graying. He spent an hour trying to clean himself up, using the copper bucket of water which had been left inside the hut. It was a painful task, ridding himself of that stubbly chin growth, but he managed it.\n\nHe took off the now useless bandages and bathed himself. He felt better after that, almost well again.\n\nWhen the sun came swinging out of the horizon he began the construction of a heliograph. He took the morning bread and placed it on the sill. Then he notched it with sights like those of a rifle. Finally he sunk the copper plate into the far end, making a hole in its center so that he could direct the beam with his improvised sight.\n\nHe tried his QST several times that morning and he began to be tormented by the fear that Joy had been taken away. Then at noon he received an answer.\n\nFlip, flip, flip, flip. Flip. Dot, dash, dot, dot. Dot, dash, dot, dot. Dash, dash, dash. \"HELLO,\" said Joy.\n\nKurt applied himself to his heliograph. \"How did you get here?\"\n\n\"They found me and brought me in.\"\n\n\"What are they going to do with you?\" demanded Kurt.\n\n\"Nothing that I can see. They treat me with every courtesy but they won't let me walk outside.\"\n\nTwo stabs of sunlight flashing across the ravine. A silent conversation which went unnoticed by the village.\n\n\"Bruce is here.\"\n\n\"I know. He landed days ago,\" said Joy.\n\n\"Won't they do anything to him?\"\n\n\"I guess not. They let him wander through the town without a guard. I can see the transport plane down on the strip of beach.\"\n\nFor an hour they talked on and then footsteps sounded outside Kurt's door and he was forced to hide his crude instrument.\n\nThe door opened and Bruce thrust his face inside. Bruce was tattered and unwashed. He had not shaved and even his glasses were smudged. Behind him stood an old man and two young warriors leaning on their copper-tipped spears. In that glimpse of the outside, Kurt saw the pyramid.\n\nThe old man with Bruce was dressed in a flowing robe. His eyes were steady and serene, his face was wrinkled and wise, but there was about him a certain streak of savageness which Kurt could feel rather than see.\n\n\"Hello, wise guy,\" said Bruce. \"How are you getting on? Enjoying yourself, I hear.\"\n\nKurt looked steadily at him without answering.\n\n\"We came in just in time,\" said Bruce. \"The natives were discussing whether or not you could be Nathan Reid. So we stood up for you. Yes, sir, we stood up for you. We said you were Nathan Reid. We said we was after you but that as a special favor we'd let them have the fun of killing you.\"\n\n\"Thanks,\" said Kurt, hands in his pockets, eyes very dark.\n\n\"It's a laugh on you,\" continued Bruce. \"Your granddaddy raised hell down here, and you look enough like him to stir up their memories. They been waiting for this for fifty years. How do you like that?\"\n\n\"Fine,\" said Kurt. \"Fine.\"\n\n\"And they're setting up all the pins in the alley,\" said Bruce, rocking on his heels, overflowing with triumph. \"You're an easy mark. You're dumb. You was a pushover, big boy. A pushover. And now besides a good chunk of pay, the three of us are going to collect some lucre in the form of gold.\"\n\n\"Had all this planned, did you?\" said Kurt. There was something in his voice like the mutter of distant thunder.\n\n\"Sure we did. And you fell for it. Old Kimmelmeyer was sweating for a while. He was scared you'd have dough enough to come down here by yourself.\"\n\n\"Kimmelmeyer behind this?\"\n\n\"Sure he is. He hired us three to bring you down here. He put that ad in the Eastern Pilot himself and made sure you saw it. You don't think a shyster like Kimmelmeyer would pass up four millions and property, do you? Not on your life. He's got it all fixed. Old Nathan Reid didn't leave a good will. He let Kimmelmeyer draw it up. And now Kimmelmeyer can take the works himself without a squawk. 'Course he's going to be mighty surprised when we start the old bleed on him, but he'll still have plenty.\"\n\n\"So he wanted to make sure I'd die down here,\" said Kurt.\n\n\"Sure. We were going to just plain kill you after we found your granddaddy's gold, but this is better. I don't like straight murder.\"\n\n\"Of course you've got your scruples,\" replied Kurt.\n\n\"Oh, sure. And I'm going to get the dinero without having to bump you off. Diga,\" he said to the old man, reverting to Spanish, \"tell him.\"\n\nThe old man's eyes lit up with a gleam of pleasure. \"Tonight, devil though you are, you are going to die by fire. Prepare yourself, exhort your gods. They can do nothing for you against ours. Before you came for gold. Before you came for gold with fire.\n\n\"Now you're going to get gold!\"\n\nThe Old One hitched his robe about him and went out. Bruce, with a lopsided smile, followed him.\n\nKurt sank down on the edge of the straw bed and stared at the wall.\n\nNathan Reid had taken another trick.\nChapter Ten\n\nTHE pungent odor of woodsmoke drifted into the dark room shortly after darkness had fallen. Kurt sniffed at it uneasily. He felt very like a trapped animal, unable to do anything about his circumstances. His strength, in this emergency, had returned to him.\n\nHe stopped in his pacing at the window. A fire was somewhere in the front of the building. He could see its reflected glare on the houses opposite the window. The black night was drawn down tight as a net over the village.\n\nThe wish to defeat Nathan Reid had carried him to this. But then, if he hadn't tried, he never would have met Joy. That seemed very vital to him and he felt himself standing in fear of the fact that he would have missed being with her.\n\nWhat would happen to her now? She was dangerous to Bruce and therefore Bruce could hardly be expected to take her away. She was certainly no use to these Indians and they would therefore kill her as they were going to kill him.\n\nHe thought about her a little while. Her blue eyes, laughing. Her hair with its golden lights. Joy hadn't been afraid.\n\nIf only he could get to his plane somehow. But then, of course, they'd found the yellow ship. It wouldn't be there anymore.\n\nHis musings were interrupted by the sounds of men outside. The door was flung back. Straight Mayans were standing there, led by the old man in the robe. Their glistening bodies were silhouetted against the fires on top of the huge pyramid.\n\nKurt began to understand now. He'd come for gold, he was going to get gold.\n\nHe stepped out into the center of the military file. Coppery spears, coppery skins. Dark eyes which did not even look at him. These Mayans had remembered something of their ancient mercenaries, the Toltecs. They marched on either side of him, in two lines, in step.\n\nThe pyramid looked bigger than it was in the flaring light of the smoking fires at its top. Kurt became aware of a horde of people standing about the front of the base. Faces were turned exultantly, wonderingly, cruelly, in his direction.\n\nThis show was for the devil who had returned after fifty years. For the killer who had come for gold. And now they were going to give him the gold he wanted. They were going to give him death besides in spite of his charmed existence and his talisman.\n\nKurt held his head erect, neither looking to the left or right. He wouldn't give them the pleasure of seeing that he was afraid anyway. He marched like the soldiers and their copper spears. His boots rang above the sounds of bare feet on the stone pavements.\n\nThey reached the base of the pyramid. A ripple of sound went over the assembly like a wave. It died as Kurt started the ascent toward the narrow top.\n\nThe moon was shining now, clear and yellow, sparkling on the surface of the lake. Great stone statues stood out in all their grotesque hideousness.\n\nA shaft of memory came to Kurt's aid. Nathan Reid had described all this. A reversion from Christianity, a throwback to the savage paganism of their ancestors. The last grasp of a people to its past glory.\n\nThis was the temple of Kukulc\u00e1n\u2014a god who was represented by a man with bird and snake attributes. The great feathered serpent of the Aztec and the Toltec had originally been this Kukulc\u00e1n. Mexican influence had brought in sacrifice, even cannibalism insofar as the witnesses of the rites were oftentimes required to partake of the flesh of the victim.\n\nKurt Reid, as he went up the stairway on the front of the pyramid, was climbing back through centuries to a decayed and warped survival of the cruelest religious customs. As he came closer to the top he saw that fires had been built all about the square blocks above\u2014had been built in a rectangle which enclosed the images of deities.\n\nAt first it was apparent that no opening had been left in the flames and then he saw that the two front lines were at variant depth so that a man could turn from his course and go through unscathed. This was part of the magic mummery with which the priests held their restless people.\n\nPassing between the scorching fires, Kurt first saw the image of the death god. It was a repulsive thing, this fancied likeness of death. It was a great stone skull with grinning teeth and clasped bony hands. Under it was seated a man incredibly like the stone image. The priest of death seemed to be drugged as he did not look up when Kurt entered the square.\n\nAnd then Kurt received a shock. The carved stone image of Kukulc\u00e1n had been done in such a way that it left a seat between the two outstretched, clawlike hands. And on that seat, arrayed in a feathered robe, sat Joy.\n\nShe did not look down. She stared straight ahead, unblinking. No motion of her lips or hands was apparent. She was obviously under the influence of some drug, thought Kurt.\n\nGod, what a fate to leave her to. Her golden hair had done the trick. Bruce had not wanted to identify himself with her and he had let the Mayans draw their own conclusions. The priests had not been slow in recognizing her potentialities. She would be held there, living embodiment of the sun until she died\u2014or was killed because her usefulness was ended. True, she would be inviolate. No man would dare touch her. Such had been the reaction of the Mayans to the first blond white woman they had ever seen.\n\nThe men with the spears distributed themselves about the square, their shining backs to the fire, their eyes impassive. Kurt felt his arms grasped from behind.\n\nThe Ancient One approached, muttering a chant. He addressed Kurt in Spanish. \"You came again. The Mayans are a hospitable people. You shall have your gold.\" He chanted again and then said, \"So many warriors have you killed, so much damage have you done. So have you changed the seasons and blighted our crops. Your deviltry has brought plagues and famine. You are responsible for all we have suffered for fifty years.\n\n\"Now you are offered to Kukulc\u00e1n, god of the sun, god of the sun metal, gold. Your own magic can avail you nothing against his, for he has sent a powerful servant down from the skies to help us.\" He pointed dramatically to Joy.\n\nShe did not move. She was holding the heavy staff of the feathered serpent stiffly upright beside her. Her robe was shining, made of golden feathers of tropic birds. Her blond hair curled down near her shoulders, sparkling in the light.\n\nKurt saw her bewitched stare and mourned that she would not give him just one sign. It would have made it easier for him.\n\nHe let his gaze roam about. Through the fires he could see the vague outline of the big plane on the beach. Bruce was somewhere in the crowd with Connelly and Sloan.\n\nA crude metal crane was erected over a makeshift forge. These people had worked in metal years before the Spaniards came. From the crane was suspended a pot. A man was working at the bellows. The contents of the cauldron were bubbling and hissing.\n\nMolten gold! Liquid fire! One thousand and sixty three degrees centigrade! Yes, they were going to give him gold.\n\nHe staggered back as though already feeling the sting of it. The men behind him held hard, muscles rippling on their naked backs.\n\nAgain Kurt looked at Joy. She was still staring straight before her, unmoving.\n\nHis eyes caught sight of something else. How could he have missed it before? The altar about the base of Kukulc\u00e1n was made of gold, pure gold cemented together in irregular lumps. And in that gold were flecks of rose quartz.\n\nMy God, no wonder they hated Nathan Reid. He had stolen a part of their altar! A spot was empty near the tip, apparently chipped away. That would be the spot Nathan Reid had found that nugget Kimmelmeyer had balanced so carelessly in his hand.\n\nSo near to success and yet so far from it. The Ancient One was addressing the people below, flecks of foam on his lips as he spoke. A wild light was in his eyes. He was bringing something from the folds of his robe: Kurt's helmet with its goggles and its emblazoned dragon. They thought it was Kurt's idol. The Old One was mocking it, shaking it and making the goggles sparkle in the flames.\n\nThe Old One turned and came to Kurt. He jammed the helmet on Kurt's head with such ferocity that the goggles were shaken down until they covered Kurt's eyes.\n\nThe lenses gave him relief from the stinging, swirling smoke. The Old One had unconsciously done him a favor in mocking that poor Asiatic dragon.\n\nThe crane began to swing away from the fire now. It was precariously balanced, spilling some of its precious liquid on the stones where it spattered like beams of sunlight, exploding as it struck.\n\nThe men behind Kurt flexed their naked shoulders. They forced him to his knees. He was so near Joy he could have touched the skirt of her robe. Still she did not look at him.\n\nThe crane swung closer so that its heat scorched Kurt's face. The Old One and the ring of younger, naked priests were chanting in a high monotone, their breech clouts swinging back and forth as they gave up their bodies to the rhythm of the song.\n\nMy God, they were going to pour molten gold down his throat!\n\nKurt felt himself turn sick. He tried to struggle back to his feet and the hands closed hard about his arms, holding him. The crane swung nearer and nearer. In a matter of seconds he'd be dead!\n\nFascinated he watched the slow approach of the balanced cauldron. He tried to reach out with his booted foot and kick it away, but they prevented that. Even so, he touched the edge and spilled a full pint of the sizzling liquid.\n\nHe closed his eyes, gritting his teeth. The Old One was yelling more loudly. The crane was so fixed that a delicate mechanism could tip it without any actual physical touch.\n\nThe chant grew louder and louder, drowning the crackle of the flames.\n\nHow Nathan Reid's ghost must be laughing! How Bruce must be reveling in this. And Kimmelmeyer had sent him here, knowing all about it.\n\nHe resigned himself to his death before the hot breath of the cauldron. Joy was drugged, thought Kurt, that was well. She would not have to watch this.\n\nSuddenly he caught a blur of motion. The chant broke. Men screamed and shrank quickly away. The feathered staff Joy had held came down in a blurred arc. Its heavy head struck the mechanism which tipped the cauldron.\n\nA shower of flaming gold leaped up into the air. It came down instantly in a fine spray, scalding. Kurt cried out as drops struck his unprotected cheek. He felt his helmet scorch under the rain of flame. The lenses to his goggles were instantly bubbled where the gold had touched.\n\nBut the Mayans were almost naked. They wore no such protection as clothes and helmets and goggles. They screamed, some of them blinded forever. The rank odor of burning flesh was in the air. A crazed guard stumbled into the fire and was instantly a tower of flame, burning but still alive.\n\nKurt's mind acted swiftly. He was on his feet before all the gold had come down. He cried, \"Come on, Joy!\"\n\n\"Run to the plane!\" she shouted, eyes alight. \"I'll hinder you. Come back for me!\"\n\nKurt knew that time would not allow an argument. He sprinted across the bodies toward the entrance. A swelling roar of the mob came up to him. Men were running up the steps on the front of the pyramid.\n\nFlames were to the rear. Kurt knew it was either that or nothing. He seized a spear of a blinded guard. Men stood between him and the rear. He charged them. The spear bit deeply, snapped off. The target fell aside.\n\nKurt dived through the fire. Long steps were before him. He catapulted down them. The mob was streaming around the sides to intercept him. The jungle was still far away. He ran faster, each landing jarring his teeth.\n\nA runner, faster than the others, was there waiting for him. Kurt sent the shaft of the spear before him like an arrow. It caught the Mayan in the forehead and drove him down. His body fell alongside Kurt's descent for several steps.\n\nA gun flashed. That would be Bruce. Or Sloan or Connelly. Kurt reached the bottom just ahead of the crowd. He ran toward the jungle edge, toward the place he had left the yellow plane, hoping against hope that the ship would still be there. Without it he could do nothing.\n\nShots sounded again, closer to him. He looked back into the mob, saw their open mouths, their angry eyes. He doubled his speed. He seemed tireless, exhilarated by the escape, bolstered up by his determination to lick Nathan Reid after all, driven onward by the necessity of pulling Joy out of the city.\n\nHe reached the edge of the jungle and flashed through the opening to a path. The moonlight was streaky before him, lighting his way.\nChapter Eleven\n\nTHE restless pattern of the streaks of light was sufficient for Kurt's passage. Once in a while he checked his headlong run to dodge as some fancied ambush seemed to loom through the shadows.\n\nBehind him the searching parties were spreading out, covering every conceivable trail. Once Kurt heard men running close behind him and he doubled his speed, placing as much distance between himself and his pursuers as possible.\n\nAfter that he heard nothing. The silence should have made him easier, but it did not. He could fancy now that they were waiting silently for him at every turn of the path.\n\nHe came out into a clearing and saw the mountains there. In truth they were a gunsight, and he was instantly aware of his exact position. He had only to follow down, keeping that cleft in sight to arrive at the ravine where he had left the plane. If he could only be certain that the plane was still there!\n\nMaybe they would kill the girl instantly for her treachery. All manner of doubts began to seep into Kurt's confidence, eventually shattering it.\n\nFor minutes he ran without stopping. Then he would pause and listen. On he would go, scanning the shadows. His boots made a terrific amount of noise on this soft turf\u2014or so it seemed to him. Would he never reach that ravine?\n\nHe sprinted through a canopy of leaves, all in darkness for a moment. The bottom fell out from under him. He crashed down into the ravine. The drop was only ten feet but it jarred him. He stood up dizzily, faltering in his stride. Then he saw the gunsight again and his vigor returned.\n\nHe came to a fork in the trail. Two ravines met here to diverge again at a narrow angle. He was undecided and then chose the right-hand trail.\n\nA flicker of light came from behind. He stopped and looked at it. The thing was bobbing up and down, back and forth. A man walking, carrying a torch. They were close on him again.\n\nHe began to run, avoiding the mighty boulders all about him. He was not quite sure which ridge held the plane. Nor was he certain that the plane was still there. Things looked different in the moonlight, but he had thought he could see the wing.\n\nShouts rose up far back of him. He stood clearly outlined in the moonlight, standing on barren white sand with the cliffs like gray ghosts on either side of him. Where was the rope he had left there?\n\nThe truth was slow in coming. He was in the wrong channel! He was one ravine up from the one he had climbed down. Nevertheless, if he could only scale this high cliff, he could get to the ship from the opposite side.\n\nHe had no rope, no sample pick to help him, but he started up. A fissure had been left in the porous rock, a chimney open at one side. By placing his back to one side and his feet against the other he was able to inch himself upward a little at a time. But the cliff was better than a hundred and fifty feet high and he saw too late that the chimney did not continue all the way.\n\nA chorus of cries reached him. Torches bobbed like fireflies down the ravine. Men were coming up, running at full speed. They had found his trail, and in a moment they would discover him on the wall.\n\nKurt moved faster. He had to get himself out of the range of arrows and spears.\n\nIf Bruce or Sloan or Connelly were in that mob, he'd be shot down instantly.\n\nThen they saw him. They stopped for a moment, lifting their torches up above their heads as though to shed their light higher. The moon was bright, sending ripples of light off their shoulders. The sparks from the torches fell unnoticed on bare backs.\n\nWith a bellowing concert of discovery, they closed in on the bottom of the cliff.\n\nAn arrow sang close by Kurt's hand. With a metallic ping it bent its copper point against the rock and fell back. Kurt went faster than before.\n\nHe had run miles already and he was tiring fast. He had forgotten his past sickness but he was remembering it now.\n\nJust as his hands closed over the ledge thirty feet from the top, just as he left the chimney, the thought struck him that nothing prevented the Indians from climbing up the other side to get him.\n\nAnd the wall above was sheer, too steep to climb. He needed a rope and he had none. He was trapped, unable to go either up or down.\n\nArrows were coming with greater regularity. He leaned back from the edge, watching the gleaming points pass up and turn back on themselves for a swift descent vertical.\n\nAn occasional arrow came over the edge with just enough momentum to fall at Kurt's feet. He picked up a handful. They wouldn't be able to shoot them again anyway.\n\nAnd then Kurt was obsessed with a coldblooded thought. Those Mayans were used to climbing. Maybe he saw a way out of it.\n\nCupping his hands, his dark eyes glittering, he yelled, \"\u00a1Ven aca! \u00a1Ven aca, carajos! Come up and get me!\"\n\nA shrill chorus greeted the dare. Kurt, crouching on the ledge, his helmet straps flapping in the brisk wind, cried, \"You yellow snails, \u00a1ven aca!\"\n\nHe did not show too much of his head. Bruce or Sloan or Connelly might be waiting down there for him.\n\nA scratching sound reached him after a long silence. Sure enough the men were coming. Looking down the fissure of rock he could see their bronzed shoulders moving. There were three in a row.\n\nKurt's mouth tightened to a slit. He felt like laughing and knew how close he was to hysteria\u2014as near as a man of Kurt's temperament can get.\n\n\"Come on!\" he cried almost joyfully. \"Come on and get me!\"\n\nThe first in the line looked up with startled surprise at the nearness of the voice. Then he climbed faster. One hand clutched a knife between two fingers.\n\nKurt waited. When the Indian was within three feet of the top, Kurt very deliberately reached down and took the knife wrist in his powerful grasp. He pulled up. The Indian, surprised at such tactics, could do nothing but use the aid to his climbing.\n\nAround the Mayan's shoulder was coiled a rope. The Mayans had been the first to so use sisal hemp, carrying rope everywhere with them. This fellow, to his own danger, was obeying the custom.\n\nKurt pulled until he could reach the rope with his free hand. Then he suddenly released his grasp. With a startled shout, the Mayan fell back, unable to keep his holds, leaving the hemp in Kurt's hands.\n\nThe two others in the chimney were knocked loose. Their screams rose in a terrified discord as they turned over and over through space. The thuds of their bodies striking the rocks below came dully up to Kurt.\n\nKurt lost no time. He had what he needed now. He tied the bundle of arrows together. They were heavy and strong, making a good weight. Then, like a sailor throwing a lead line to sound depth, he started to swing his rope back and forth along the cliff side.\n\nEach time it swung, it gathered momentum, until it was reaching horizontal with every swing. At last he had it spinning in a mighty circle. He released his hold suddenly. The arrows shot upward. Kurt held his breath. The bundle landed between two big rocks. Cautiously he tested it. It held!\n\nAfter that there was no stopping him. He went up the line like a human elevator. He reached out and snatched at the top, holding the edge, dragging himself further upward.\n\nA shadow loomed over him, monstrous against the moon. He saw something gleam an instant. He dodged, instinctively throwing himself to solid ground over the edge.\n\nA bullet snapped close by his head. He sprang up. The twitching eyes of Connelly met his. Connelly had come up from the other side!\n\nKurt dived in for the gun. Connelly had hesitated for an instant and that instant had meant his death.\n\nKurt twisted the man about in a half circle. Grasping the gun, Kurt threw Connelly away from him. Connelly shrieked in terror. His feet fought to keep the edge. His grip, moistened by sweat, came loose from the gun.\n\nConnelly plunged downward through a hundred and fifty feet, his cry cut off short as he struck.\n\nThe plane was sitting where he had left it. Kurt, with a shout, darted toward it. Other men were moving along the sandy ridge. They were briefly glimpsed.\n\nKurt reached the plane. Running feet were behind him. He whirled and took a quick aim with Connelly's gun. Without waiting to see whether he had hit his mark, he jumped into the cabin and reached for the throttles and booster.\n\nThe engine started with a blasting roar, making the ship quiver. Disregarding the perils of taking off with a cold engine, thrust beyond the reach of all caution, Kurt jammed the throttle all the way down and came about on the ground.\n\nMen snatched at his wings. He shot twice from the cockpit. The ship was suddenly free. Fighting it to keep it on the narrow runway, he slammed along the sand, engine bellowing, wings fighting to take the air.\n\nAnd then he was away and free. A man below was staring up with a white face, firing with an automatic.\n\nKurt, exhilarated and unafraid, leaned out over Bruce and disdainfully thumbed his nose.\nChapter Twelve\n\nTHE lake was a sheet of beaten silver in the moonlight. High above it, traveling fast in his own element, Kurt could see the altar fires still smoldering on the pyramid. Now if nothing had happened to Joy...\n\nThe streak of white down there was the landing place the transport plane had used. The transport was still there, great wings spread unattended.\n\nWithout waiting to look the scene over, Kurt shot down for a fast landing. Sand flew up under his wheels. He cut the engine to idling speed as he coasted to a stop.\n\nThe village had been silent a moment before. Now it seemed that a thousand men came out of nowhere to run toward the plane. They came from the huts, from the pyramid, just as though they had been waiting for this move. The leaves of the trees blocked away the moonlight in spots, making the charging throng appear and disappear as though wafted onward by magic rather than human feet.\n\nKurt reached behind him. He knew what was there, knew how to use them. A light machine gun came up in his hands. He pulled back the loading handle and dropped to the ground. Let them try for him now. He was ready and waiting.\n\nThe first rank came within a hundred feet of him. He pulled the trigger. The belt began to eat through the breech. A stream of hot sparks fled out from the muzzle, lighting up the sand for yards. The chattering howl of the gun was deafening.\n\nThe first rank melted, the second stopped. The gun raved on, eating its way through the Mayans with leaden teeth.\n\nWith a scream of terror the Indians fled. Kurt cradled the smoking hot gun under his arm and ran in the direction of the hut he knew had once contained Joy. He did not know that she would be there, but something magnetic was drawing him toward the spot.\n\nArrows whistled about him, but he paid them no heed. Once started he could not be stopped. He no longer felt vulnerable. If they had done anything to Joy he would clean up this ruined town as fire cleans an ant hill.\n\nA voice was calling to him. Joy!\n\n\"Here I am! Here I am, Kurt!\"\n\nHe sprinted on toward the hut. The door was closed, barred and locked with numerous barriers. Kurt beat his fists against them. \"Coming, Joy.\"\n\nBut the barriers would not give way. Men were lining up on the beach, waiting for his return. He called out, \"Get into the corner behind something. I'm going to shoot the door down!\"\n\n\"Fire, Gridley!\" cried Joy.\n\nThe machine gun chattered again. Splinters flew from the panels. Smoke wreathed up as the wood burned under the onslaught of sparks.\n\nKurt slammed his boot heel against it. It caved in. Joy was suddenly there, gripping his arm, looking at him with starry eyes.\n\n\"I knew you'd come,\" she said.\n\nGone were the feathered robes. In their place she had put her own trim clothes, now torn. But she still carried the staff of the feathered serpent.\n\n\"They were going to kill you and me together when they found you,\" she said.\n\nKurt turned on the beach. He had had it in mind to destroy the transport plane. Now he saw that it was far away from the yellow ship. He did not dare wait that long.\n\nHe knew he had to get away. Already he might be too late in getting back to New York.\n\nThey ran down to the waiting, idling ship. Kurt stopped within a few feet of it. His way was blocked again. The light machine gun started up. The flashes of powder were so close together that they appeared like one great flare.\n\nThe Mayans scattered again. Kurt thrust Joy into the cabin and followed her. His machine gun was empty, and he tossed it in back. The plane came around with a blast from its hot exhaust stacks.\n\nThe Indians, brave again, tried to close upon it. A single pistol shot came out from under the wing of the transport ship.\n\nThen the yellow plane was up and over the lake, beating the ground with the thunder of its motor.\n\n\"I should have destroyed their crate,\" shouted Kurt. \"They'll follow us.\" Then he stared at Joy aghast. \"My God, I forgot the gold nugget!\"\n\nJoy smiled. Her hand went into the pocket of her skirt and came forth holding a glinting, shining thing. \"I thought,\" said Joy, \"that you might be in a hurry when you came back and I brought a nugget with me. They didn't notice in all the fuss of your getting away.\"\n\nThe plane wobbled for a moment on its course and then, its attention no longer to be ignored, Kurt discontinued the kiss.\n\nIn the morning they landed at Progreso, scanning the skies behind them for pursuit.\n\nThe old Spaniard appeared magically on the beach, smiling, genuinely glad to see them again.\n\n\"I had thought you would never come back,\" he said.\n\n\"But we did,\" replied Kurt with a grin. \"Please, se\u00f1or, those others are behind us, following us. We must have gas and quickly.\"\n\n\"Gas it will be,\" said the Spaniard and went off to procure it.\n\nA half-hour later, when the fluid was gurgling into the tanks, a low mutter came out of the south. Presently a speck could be seen just above the horizon. The transport plane.\n\n\"Quick,\" said Kurt, starting the motor and pressing a few bills upon the Spaniard at the same time. \"What is the date?\"\n\n\"The seventh... I think. Puede ser but that it is the eighth? Si, yo creo... The eighth, se\u00f1or. The eighth it is!\"\n\n\"The eighth,\" moaned Kurt. \"And I have to be in New York before midnight tonight!\"\n\n\"But it's only seven o'clock now,\" said Joy, hopefully. \"That's nineteen hours.... Goodbye, se\u00f1or.\"\n\nThe yellow plane lashed down the strip of sand and took the air again. The Spaniard waved behind them and then jerked up his head at the sound of other motors in the sky. The transport plane was not stopping at Progreso. It would first see the finish of Kurt Reid.\n\nTwo shadows fled across the surface of the Caribbean. At first they were far apart and then gradually the distance began to close between them. The transport plane was miles an hour faster than the other and its light load of gas and equipment was even increasing the advantage.\n\nJoy's glance was restless as she looked back. She saw the set of Kurt's mouth, saw the little drops of gold which had clung to the bizarre helmet. Each time she saw Kurt's eyes she dismissed her fears. They'd win out somehow.\n\nShe began to suspect that they should have stayed at Progreso, but then the time limit would not allow that. They were now far from land. While they had been in Progreso, Bruce could have tried nothing.\n\nShe could fancy his smudged glasses, his coarse mouth, his anger as he drove the transport plane after them. Sloan would be with him, his bulging eyes ready to squint down the sights of a machine gun.\n\nKurt turned back and looked. \"They're gaining. Get that machine gun out. The loaded one.\"\n\nSwallowing hard, Joy obeyed him. He let go the controls and she took them. A glow of happiness came over her. He trusted her, had confidence in her. Then she remembered the coming hail of lead and swallowed again.\n\n\"Bank and go back past them,\" ordered Kurt.\n\nShe put the ship about in a heart-stopping vertical, placing Kurt on the side next to the transport.\n\nThe big plane veered off, but not quickly enough. Kurt raised the machine gun, sighted at a spot in advance of the twin propellers and let drive.\n\nBruce dived out of range. Sloan's face was visible for an instant through an open window. Sloan had a dead pan, the same lack of expression he had used when he had first shot Kurt. His codfish mouth was working, he was talking to Bruce.\n\nThe yellow ship followed down. Suddenly the transport plane stabbed its props upward. White flame ripped out of a window. Fabric ripped away from the yellow wings. The slugs were taking effect.\n\nJoy, trying to stay cool, let the yellow ship dive past. She heard Kurt's gun start up. Its incessant hammering seemed to obscure her vision. She caught a brief glimpse of the other ship. For an instant it was hanging on its props, about to stall out of the position, but while it was there it made an excellent target.\n\nKurt shouted. Joy saw flames. She banked again. They were down close to the waves now, flying almost with their wheels in the white caps.\n\nThe transport plane fell out of its stall. One wing was down and it curved away in a great arc. Joy saw the smoke it trailed behind it. Then she knew that it was hit. Hit and burning.\n\nA man leaped through the swinging door. He had no chute. He went whirling through space like a bomb, striking the water long before the transport. Sloan.\n\nBruce rode the flaming coffin down. When it hit it seemed to explode. Steam shot skyward, mingled with spray.\n\nAfter that there was nothing but scraps of floating wreckage. Joy circled as though unable to drag her eyes away from the sight.\n\nKurt shook the controls, took them and headed the plane toward the north. Joy, suddenly very weak from reaction, slumped back in her seat and wondered, for Kurt's sake, if they would be in time.\nChapter Thirteen\n\nAT eleven-thirty that night, Kimmelmeyer prepared himself for bed. His immense bedroom was dwarfed by the four-poster he had purchased from an antique dealer and the carpet was very soft. The lights were subdued, but even then they reflected themselves upon his black-fringed pate.\n\nKimmelmeyer, dressed in purple pajamas, threw back the sheets and slid within. He lay there for some time without covering himself up. He gave himself over wholeheartedly to the dreams in which he had dared to indulge during the last month.\n\nWhat would he do with Nathan Reid's millions? What wouldn't he do! Big cars, a bigger house, beautiful women.\n\nPraise the day that crazy old fool had come into his office, sent by a legal friend. He had stamped up and down the room while dictating the conditions of his will. He had stamped and stormed and had loosed fragments of his wrath against the world at large.\n\nHe was Nathan Reid, thwarted in everything but the disgusting accumulation of money. And who did he have to leave the money to? No one. No one at all but a fool who had disobeyed him at every turn. A man who had made an aerial chauffeur out of himself instead of a military hero.\n\nSon of his son, perhaps, but then Nathan Reid's son had not been so much in Nathan Reid's eyes. He had run away to Annapolis, that's what he had done, ungrateful pup. Joined the Navy just because he knew it would make his father mad. And the Navy? Damn the Navy. Hadn't they stolen Nicaragua from him?\n\nStamping and storming and damning the world at large. He wasn't going to leave his wealth to a disobedient pup. Not he! Let the yellow belly suffer some of the things Nathan Reid had suffered, let him go down and rot in the tropics. Good riddance. Let the name Reid die with Nathan.\n\nKimmelmeyer chuckled to himself and covered his fat body. Oh yes, he'd agreed with the old fool. He'd told him he was doing right. So Nathan Reid's legal advisors wouldn't hear of such a plan, eh? Well, the plan was perfectly just. Perfectly just. Yes, he'd draw the will. Glad to do it for the friend of a friend. Perfectly legal will.\n\nAnd suppose this Kurt Reid came back with the ore?\n\nNathan Reid had laughed. That ore was part of a Mayan altar and the Mayan men were still there to guard it. The pup didn't have any chance of getting it. Let Kurt Reid have the directions if he wanted them. He wouldn't come back.\n\nBut suppose he did?\n\nThen send the damned money to charity. Any charity. Those legal wolves of his wouldn't get it. Name any outfit that was reliable and the trick was done.\n\nWhat? Was the job finished already? Fine. Splendid. That was capital! Very good work, Kimmelmeyer.\n\nAgain Kimmelmeyer smiled, squirming into a softer portion of the mattress. The charity had been his own thought. He'd already handled their trustees. A few greased palms and everything was for Kimmelmeyer.\n\nAt this late hour, nothing could have slipped up. He should have received a radio from them. He'd wanted to know the instant Kurt Reid died. Too bad they couldn't have gotten a decent operator. A woman, they'd said, and Kurt had insisted. Oh, well, they'd probably had to kill her too. Some worthless tramp, no doubt.\n\nHow he'd spend those millions!\n\nA soft footfall reached him. Was it possible that a servant was still awake at this hour? Kimmelmeyer turned on a lamp beside his bed. It threw shadows grotesquely upon the walls.\n\nThe door creaked, came open. Kimmelmeyer shrieked. He hunched himself back to the top of the bed as though trying to escape. He threw up his fat arm and hid his eyes.\n\nThe gaunt apparition must be a ghost, come back to haunt him. It could be nothing else. Kurt Reid was dead in the jungles of Yucat\u00e1n!\n\nAnd still the apparition advanced across the room. Another was following it. A smaller, slighter person with a merry light in her eyes.\n\n\"Get on a bathrobe,\" snapped Kurt.\n\nKimmelmeyer quivered like gelatin. \"Where... where is Bruce...?\"\n\n\"Dead at the bottom of the Caribbean. Sloan's dead, Connelly's dead. It's twenty minutes to twelve. We've still got time to compare this ore. Where are the papers?\"\n\n\"They... they're here, in my desk.... I...\" Kimmelmeyer was fighting to regain his poise. He mustn't let on the part he had played in this. He must put up a front. This Kurt Reid was real, altogether too real. Big and threatening.\n\n\"Don't kill him here,\" said Joy, maliciously. \"I'd hate to see this rug all dirtied up.\" She winked at Kurt, trying to keep a straight face.\n\nKurt scowled like a thundercloud and his voice was like a thunderclap. \"Get those papers!\"\n\nKimmelmeyer, struggling into a purple robe, was quick to obey. He had everything right there, he said. Only a second. Only a second. He threw the legal sheets out on the desk, brought forth the nugget he had been hiding there.\n\nKurt placed his own piece of ore beside it. They matched perfectly.\n\n\"I hope... hope you'll remember everything I've done for you,\" choked Kimmelmeyer with a sick smile. \"Here, sign this, and this and this.... But I need a witness.\"\n\n\"You'll do,\" said Kurt to Joy. \"And ahoy outside there. Come on in.\"\n\nA blue coat and brass buttons loomed through the entrance. It was the cop on the beat, his ruddy face very straight. \"I guess, sor, that ye're not akidding me after all. I heard him ask for this feller Bruce, just like you told me to listen for.\"\n\n\"Good going. Have you got the warrant I swore out? Then present it after I've signed this and you've witnessed them.\"\n\nThe business was done in a matter of seconds. The officer witnessed the signature and the transaction with tongue twisted painfully between his lips.\n\nJoy signed with a flourish. Everything was done now. A court would place the stamp of approval upon it later, but they didn't have to wait for that.\n\nKimmelmeyer, shrinking away from the officer, was ordered to get into his clothes. Protesting, he was led away, out of the house and to the waiting police car. He would soon be standing trial for the unanswerable crime of attempted murder and attempted fraud.\n\nJoy and Kurt went outside. Joy was gay, tired out but not willing to admit it even to herself.\n\n\"And thus it ends,\" she said, leaning on the staff of the feathered serpent.\n\nKurt looked at her for a moment and then frowned. That remark wasn't refusal, it was an invitation. He bounced the two nuggets in his hand and his smile broadened. \"Ah, yes, thus it ends. By the way, do you prefer a plain gold band from this nugget or a fancy one from this?\"\n\nShe saw that he meant it and stood close to him. A minute or so later they heard the taxi driver who had brought them say, \"Where next, boss?\"\n\n\"The town house,\" replied Kurt with a lordly air. \"Ah, yes, the town house with all despatch.\"\n\n\"And jump a couple of red lights,\" said Joy, \"I feel adventurous.\"\n\nThe taillight of the cab was lost down the dark street like the glowing end of a cigar butt... or perhaps the last embers of an altar fire in far-off Yucat\u00e1n.\n\nStory Preview\n\nNOW that you've just ventured through one of the captivating tales in the Stories from the Golden Age collection by L. Ron Hubbard, turn the page and enjoy a preview of Man-Killers of the Air. Join Smoke Burnham, a colorful daredevil pilot who's gone broke creating a new fighter plane. With his principal financier hot on his tail to recoup his investment, Smoke enters an international race that will take him into the skies of Central America, over the Andes and across the Brazilian jungle\u2014with only death as his copilot.\nMan-Killers of the Air\n\nGIRARD was standing with both feet solidly planted, both hands shoved into the pockets of a pure camel's-hair overcoat. Girard's face looked as though someone had started to mold it from soggy putty and had then become bored with the job.\n\nGirard was a big man\u2014knew it, said it and acted it. He could afford to be a big man. He was one of the greatest newspaper publishers in the United States, one of the greatest exponents of that fourth stage of the newspaper, yellow journalism. He had once tipped a waiter a thousand-dollar bill, and the next day he had fired a legman for being twenty-five cents over on his swindle sheet.\n\nGirard was surrounded by his own men, but one never saw those. They were dressed plainly, looked plain, were plain, and always nodded eagerly, \"YES!\"\n\n\"Well, well, well!\" rumbled Girard. \"That was some record, my boy, some record! Hey, you over there with the movie camera, want my picture shaking Burnham's hand?\"\n\nThe movie man started to comply and then saw the look Smoke Burnham gave him. \"No,\" said Smoke. \"We aren't waving any flags. Not today. And I'm not shaking hands with you, Girard, any day!\"\n\nGirard was startled. \"But, my boy\u2014\"\n\n\"Save it,\" said Smoke. \"Let's get ahead with our business. You came up here to make me fork over the dough you lent me. And you've got the sheriff right there behind you, so don't deny it. You're foreclosing on Burnham Aeronautical Company, but you don't want to do it until the crowd goes.\"\n\nPatty looked at Girard and licked her feline lips. Girard stared at both pilot and cheetah.\n\n\"Who put you wise?\" he demanded.\n\n\"I did, mister. You haven't got a lease on all the brains in this country. You want this new fight-plane so you can turn it over to the government.\"\n\n\"But how\u2014\"\n\n\"I know what you're up to. You've got an air defense campaign underway, Girard. You're saying that the Japs are about to fly across San Francisco and wipe us out with bombers. And you're saying via a hundred newspapers that we haven't a single plane to withstand that offense.\n\n\"And, furthermore, you've challenged anyone to produce such a plane.\"\n\n\"You'd better watch out!\" cried Girard, as though he wielded a saber instead of a Malacca cane.\n\n\"And,\" rapped Smoke, \"you're going to foreclose on me, take the plans of this ship, the ship itself, and turn it over to the Army. That's patriotism! That's honor! You jump your ad rates on the resulting circulation and clean up.\"\n\nGirard still waved the cane. He might have struck Smoke, because there were plenty of men behind Girard. But the cheetah was still licking her lips, and Smoke's hand was loose on the leash.\n\nTwo fighters, identical with the one Smoke had just flown in, crouched in the hangar. Smoke pointed to them. \"Those two ships are company property. The one I used today belongs to Melanie King. I gave her the bill of sale. Now go ahead and serve your papers.\"\n\nThe sheriff, at Girard's nod, stepped up, skirting Patty's striking range. Although Patty had never struck anyone, people thought she did, and that was just as good.\n\nSmoke began to smile and then to grin. The effect through the grime was ghastly, but he meant it.\n\n\"If you'll come inside,\" said Smoke, \"I'll sign everything up and we'll all go have some lunch.\"\n\nGirard's face was puzzled. Smoke Burnham had more records than Girard had newspapers. A story about Smoke was worth a hundred-thousand circulation jump. But that was no sign Smoke was an open book. Warily, Girard stepped into the hangar in Smoke's wake.\n\nSmoke indicated some folding chairs at the back, \"Sit yourself down, gentlemen. I haven't any cigars, but I see you've brought your own.\" He thrust a cigarette into his mouth at a climbing angle and lit up. Patty sat down in front of him, watching the curling blue wisps.\n\nGirard, far from trusting Smoke, seated himself. It was all that he could do.\n\nSmoke, still holding the burning match in spite of the mammoth sign: No Smoking! Fire Hazard! looked casually about him. Under the belly of the first pursuit ship there was a small puddle of gasoline, spilled at the last filling and not yet wholly evaporated.\n\nSmoke flipped the burning match into the puddle.\n\nA geyser of white flame shot up. A piece of cotton waste, soaked with oil, ignited with a crackling sound.\n\nGirard jumped to his feet. \"Fire! My God, fire!\"\n\nSmoke watched the flames engulf the shiny metal. A tongue slapped out and sideswiped the other ship. The heat rose from seventy to two hundred in a space of seconds.\n\nGirard's crowd charged toward the hangar's doors, shrieking. Patty bared her fangs and unsheathed her claws in fear. Acrid fumes leaped, black and greasy.\n\nOn the outside of the hangar the crowd surged, shouting advice, shouting prayers, shouting anything as long as they made noise.\n\nAlex ran wildly about crying, \"Anybody seen Burnham? Where's Smoke?\"\n\nNewspaper men were milling, bellowing, \"Where's Girard? Mr. Girard's in there!\"\n\nThe thickening smoke was heavy and hot, completely filling the hangar. It was thick enough to carve.\n\nA staggering man came out of the flame-seared maw. He was lugging another man.\n\nAlex cried, \"It's Smoke!\"\n\nThe reporters yelled, \"There's Girard!\"\n\nSmoke, stumbling and coughing, dropped his burden and then fell flat on his face. With a glance, Alex saw that Smoke was still all in one piece and that Girard was breathing.\n\nAlex suddenly confronted the reporters. \"There you are, boys! Get those pictures! Get this story! There you are!\"\n\n\"What happened?\" demanded a pale-faced newshawk.\n\nAlex waved his hands majestically. \"Girard accidentally threw a lighted cigar into a gasoline can and then Smoke stayed behind, searching for him. Looking through all that flaming hell. Fumbling under the ships, around already burning chairs. He heard a sound like coughing and crept nearer, not letting himself retreat from the searing, scorching heat. And then he found Girard. He found Girard, gentlemen, at the risk of his own life! And there's Girard, safe and sound. But he would be but a blackened corpse if Smoke Burnham had not\u2014\"\n\nGirard was sitting up. He saw the reporters running toward the phones. It was too late to stop them. And besides, circulation would soar instantly with those headlines. Money was in the making.\n\nBut that did not keep Girard from rolling closer to Smoke. The publisher's flame-stung face was the color of raw beef. His eyes were a sickly red.\n\n\"You win, Burnham. But I'll make you a bet. I'll bet this place rebuilt against that one last pursuit plane.\"\n\nSmoke grinned and lit a cigarette, as though he had not had enough smoke as it was. Patty, licking scorched fur, watched him with adoring eyes.\n\n\"Okay,\" said Smoke. \"What's the bet?\"\n\n\"That you can't win my transcontinental derby next month.\"\n\nSmoke nodded. \"Do you recall the other contest before that?\"\n\n\"Yes. You'll have to win that before you can get into the derby.\"\n\n\"Make it a place twice as big as this and you're on.\"\n\nGirard smiled, circulation figures dancing before his eyes.\n\n\"All right, Burnham. We'll have that put on paper.\"\n\nTo find out more about Man-Killers of the Air and how you can obtain your copy, go to www.goldenagestories.com.\nYour Next Ticket to Adventure\n\nUnleash All of the Thrills of Flight!\n\nTake a touch of Charles Lindbergh, mix in a dash of Evel Knievel, throw in one man-killing cat\u2014and you've got a recipe for adventure featuring the high-flying , hard-living Smoke Burnham. Now, he's in a life-and-death race in pursuit of big money ... and big trouble. Because one thing you can count on\u2014in the air, in a fight or in his girlfriend's arms\u2014where there's Smoke, there's fire.\n\nSet a course for the Andes and the Amazon as the audio version of Man-Killers of the Air takes you on a death-defying flight from heaven to hell and back again.\n\nGet\n\nMan-Killers of the Air\n\nCALL TOLL-FREE: 1-877-8GALAXY (1-877-842-5299)  \nOR GO ONLINE TO www.goldenagestories.com\n\nGalaxy Press, 7051 Hollywood Blvd., Suite 200, Hollywood, CA 90028\nL. Ron Hubbard in the   \nGolden Age of   \nPulp Fiction\nIn writing an adventure story  \na writer has to know that he is adventuring  \nfor a lot of people who cannot.  \nThe writer has to take them here and there  \nabout the globe and show them  \nexcitement and love and realism.   \nAs long as that writer is living the part of an  \nadventurer when he is hammering  \nthe keys, he is succeeding with his story.\n\nAdventuring is a state of mind.  \nIf you adventure through life, you have a   \ngood chance to be a success on paper.\n\nAdventure doesn't mean globe-trotting,   \nexactly, and it doesn't mean great deeds.  \nAdventuring is like art.  \nYou have to live it to make it real.\n\n\u2014 L. Ron Hubbard\nL. Ron Hubbard  \nand American  \nPulp Fiction\n\nBORN March 13, 1911, L. Ron Hubbard lived a life at least as expansive as the stories with which he enthralled a hundred million readers through a fifty-year career.\n\nOriginally hailing from Tilden, Nebraska, he spent his formative years in a classically rugged Montana, replete with the cowpunchers, lawmen and desperadoes who would later people his Wild West adventures. And lest anyone imagine those adventures were drawn from vicarious experience, he was not only breaking broncs at a tender age, he was also among the few whites ever admitted into Blackfoot society as a bona fide blood brother. While if only to round out an otherwise rough and tumble youth, his mother was that rarity of her time\u2014a thoroughly educated woman\u2014who introduced her son to the classics of Occidental literature even before his seventh birthday.\n\nBut as any dedicated L. Ron Hubbard reader will attest, his world extended far beyond Montana. In point of fact, and as the son of a United States naval officer, by the age of eighteen he had traveled over a quarter of a million miles. Included therein were three Pacific crossings to a then still mysterious Asia, where he ran with the likes of Her British Majesty's agent-in-place for North China, and the last in the line of Royal Magicians from the court of Kublai Khan. For the record, L. Ron Hubbard was also among the first Westerners to gain admittance to forbidden Tibetan monasteries below Manchuria, and his photographs of China's Great Wall long graced American geography texts.\n\nUpon his return to the United States and a hasty completion of his interrupted high school education, the young Ron Hubbard entered George Washington University. There, as fans of his aerial adventures may have heard, he earned his wings as a pioneering barnstormer at the dawn of American aviation. He also earned a place in free-flight record books for the longest sustained flight above Chicago. Moreover, as a roving reporter for Sportsman Pilot (featuring his first professionally penned articles), he further helped inspire a generation of pilots who would take America to world airpower.\n\nL. Ron Hubbard, left, at Congressional Airport, Washington, DC, 1931, with members of George Washington University flying club.\n\nImmediately beyond his sophomore year, Ron embarked on the first of his famed ethnological expeditions, initially to then untrammeled Caribbean shores (descriptions of which would later fill a whole series of West Indies mystery-thrillers). That the Puerto Rican interior would also figure into the future of Ron Hubbard stories was likewise no accident. For in addition to cultural studies of the island, a 1932\u201333 LRH expedition is rightly remembered as conducting the first complete mineralogical survey of a Puerto Rico under United States jurisdiction.\n\nThere was many another adventure along this vein: As a lifetime member of the famed Explorers Club, L. Ron Hubbard charted North Pacific waters with the first shipboard radio direction finder, and so pioneered a long-range navigation system universally employed until the late twentieth century. While not to put too fine an edge on it, he also held a rare Master Mariner's license to pilot any vessel, of any tonnage in any ocean.\n\nCapt. L. Ron Hubbard in Ketchikan, Alaska, 1940, on his Alaskan Radio Experimental Expedition, the first of three voyages conducted under the Explorers Club Flag.\n\nYet lest we stray too far afield, there is an LRH note at this juncture in his saga, and it reads in part:\n\n\"I started out writing for the pulps, writing the best I knew, writing for every mag on the stands, slanting as well as I could.\"\n\nTo which one might add: His earliest submissions date from the summer of 1934, and included tales drawn from true-to-life Asian adventures, with characters roughly modeled on British\/American intelligence operatives he had known in Shanghai. His early Westerns were similarly peppered with details drawn from personal experience. Although therein lay a first hard lesson from the often cruel world of the pulps. His first Westerns were soundly rejected as lacking the authenticity of a Max Brand yarn (a particularly frustrating comment given L. Ron Hubbard's Westerns came straight from his Montana homeland, while Max Brand was a mediocre New York poet named Frederick Schiller Faust, who turned out implausible six-shooter tales from the terrace of an Italian villa).\n\nNevertheless, and needless to say, L. Ron Hubbard persevered and soon earned a reputation as among the most publishable names in pulp fiction, with a ninety percent placement rate of first-draft manuscripts. He was also among the most prolific, averaging between seventy and a hundred thousand words a month. Hence the rumors that L. Ron Hubbard had redesigned a typewriter for faster keyboard action and pounded out manuscripts on a continuous roll of butcher paper to save the precious seconds it took to insert a single sheet of paper into manual typewriters of the day.\n\nL. Ron Hubbard, circa 1930, at the outset of a literary career that would span half a century.\n\nThat all L. Ron Hubbard stories did not run beneath said byline is yet another aspect of pulp fiction lore. That is, as publishers periodically rejected manuscripts from top-drawer authors if only to avoid paying top dollar, L. Ron Hubbard and company just as frequently replied with submissions under various pseudonyms. In Ron's case, the list included: Rene Lafayette, Captain Charles Gordon, Lt. Scott Morgan and the notorious Kurt von Rachen\u2014supposedly on the lam for a murder rap, while hammering out two-fisted prose in Argentina. The point: While L. Ron Hubbard as Ken Martin spun stories of Southeast Asian intrigue, LRH as Barry Randolph authored tales of romance on the Western range\u2014which, stretching between a dozen genres is how he came to stand among the two hundred elite authors providing close to a million tales through the glory days of American Pulp Fiction.\n\nA Man of Many Names\n\nBetween 1934 and 1950, L. Ron Hubbard authored more than fifteen million words of fiction in more than two hundred classic publications.\n\nTo supply his fans and editors with stories across an array of genres and pulp titles, he adopted fifteen pseudonyms in addition to his already renowned L. Ron Hubbard byline.  \n______\n\nWinchester Remington Colt\n\nLt. Jonathan Daly\n\nCapt. Charles Gordon\n\nCapt. L. Ron Hubbard\n\nBernard Hubbel\n\nMichael Keith\n\nRene Lafayette\n\nLegionnaire 148\n\nLegionnaire 14830\n\nKen Martin\n\nScott Morgan\n\nLt. Scott Morgan\n\nKurt von Rachen\n\nBarry Randolph\n\nCapt. Humbert Reynolds\n\nIn evidence of exactly that, by 1936 L. Ron Hubbard was literally leading pulp fiction's elite as president of New York's American Fiction Guild. Members included a veritable pulp hall of fame: Lester \"Doc Savage\" Dent, Walter \"The Shadow\" Gibson, and the legendary Dashiell Hammett\u2014to cite but a few.\n\nAlso in evidence of just where L. Ron Hubbard stood within his first two years on the American pulp circuit: By the spring of 1937, he was ensconced in Hollywood, adopting a Caribbean thriller for Columbia Pictures, remembered today as The Secret of Treasure Island. Comprising fifteen thirty-minute episodes, the L. Ron Hubbard screenplay led to the most profitable matin\u00e9e serial in Hollywood history. In accord with Hollywood culture, he was thereafter continually called upon to rewrite\/doctor scripts\u2014most famously for long-time friend and fellow adventurer Clark Gable.\n\nThe 1937 Secret of Treasure Island, a fifteen-episode serial adapted for the screen by L. Ron Hubbard from his novel, Murder at Pirate Castle.\n\nIn the interim\u2014and herein lies another distinctive chapter of the L. Ron Hubbard story\u2014he continually worked to open Pulp Kingdom gates to up-and-coming authors. Or, for that matter, anyone who wished to write. It was a fairly unconventional stance, as markets were already thin and competition razor sharp. But the fact remains, it was an L. Ron Hubbard hallmark that he vehemently lobbied on behalf of young authors\u2014regularly supplying instructional articles to trade journals, guest-lecturing to short story classes at George Washington University and Harvard, and even founding his own creative writing competition. It was established in 1940, dubbed the Golden Pen, and guaranteed winners both New York representation and publication in Argosy.\n\nBut it was John W. Campbell Jr.'s Astounding Science Fiction that finally proved the most memorable LRH vehicle. While every fan of L. Ron Hubbard's galactic epics undoubtedly knows the story, it nonetheless bears repeating: By late 1938, the pulp publishing magnate of Street & Smith was determined to revamp Astounding Science Fiction for broader readership. In particular, senior editorial director F. Orlin Tremaine called for stories with a stronger human element. When acting editor John W. Campbell balked, preferring his spaceship-driven tales, Tremaine enlisted Hubbard. Hubbard, in turn, replied with the genre's first truly character-driven works, wherein heroes are pitted not against bug-eyed monsters but the mystery and majesty of deep space itself\u2014and thus was launched the Golden Age of Science Fiction.\n\nThe names alone are enough to quicken the pulse of any science fiction aficionado, including LRH friend and prot\u00e9g\u00e9, Robert Heinlein, Isaac Asimov, A. E. van Vogt and Ray Bradbury. Moreover, when coupled with LRH stories of fantasy, we further come to what's rightly been described as the foundation of every modern tale of horror: L. Ron Hubbard's immortal Fear. It was rightly proclaimed by Stephen King as one of the very few works to genuinely warrant that overworked term \"classic\"\u2014as in: \"This is a classic tale of creeping, surreal menace and horror.... This is one of the really, really good ones.\"\n\nL. Ron Hubbard, 1948, among fellow science fiction luminaries at the World Science Fiction Convention in Toronto.\n\nTo accommodate the greater body of L. Ron Hubbard fantasies, Street & Smith inaugurated Unknown\u2014a classic pulp if there ever was one, and wherein readers were soon thrilling to the likes of Typewriter in the Sky and Slaves of Sleep of which Frederik Pohl would declare: \"There are bits and pieces from Ron's work that became part of the language in ways that very few other writers managed.\"\n\nAnd, indeed, at J. W. Campbell Jr.'s insistence, Ron was regularly drawing on themes from the Arabian Nights and so introducing readers to a world of genies, jinn, Aladdin and Sinbad\u2014all of which, of course, continue to float through cultural mythology to this day.\n\nAt least as influential in terms of post-apocalypse stories was L. Ron Hubbard's 1940 Final Blackout. Generally acclaimed as the finest anti-war novel of the decade and among the ten best works of the genre ever authored\u2014here, too, was a tale that would live on in ways few other writers imagined. Hence, the later Robert Heinlein verdict: \"Final Blackout is as perfect a piece of science fiction as has ever been written.\"\n\nLike many another who both lived and wrote American pulp adventure, the war proved a tragic end to Ron's sojourn in the pulps. He served with distinction in four theaters and was highly decorated for commanding corvettes in the North Pacific. He was also grievously wounded in combat, lost many a close friend and colleague and thus resolved to say farewell to pulp fiction and devote himself to what it had supported these many years\u2014namely, his serious research.\n\nPortland, Oregon, 1943; L. Ron Hubbard, captain of the US Navy subchaser PC 815.\n\nBut in no way was the LRH literary saga at an end, for as he wrote some thirty years later, in 1980:\n\n\"Recently there came a period when I had little to do. This was novel in a life so crammed with busy years, and I decided to amuse myself by writing a novel that was pure science fiction.\"\n\nThat work was Battlefield Earth: A Saga of the Year 3000. It was an immediate New York Times bestseller and, in fact, the first international science fiction blockbuster in decades. It was not, however, L. Ron Hubbard's magnum opus, as that distinction is generally reserved for his next and final work: The 1.2 million word Mission Earth.\n\nHow he managed those 1.2 million words in just over twelve months is yet another piece of the L. Ron Hubbard legend. But the fact remains, he did indeed author a ten-volume dekalogy that lives in publishing history for the fact that each and every volume of the series was also a New York Times bestseller.\n\nMoreover, as subsequent generations discovered L. Ron Hubbard through republished works and novelizations of his screenplays, the mere fact of his name on a cover signaled an international bestseller.... Until, to date, sales of his works exceed hundreds of millions, and he otherwise remains among the most enduring and widely read authors in literary history. Although as a final word on the tales of L. Ron Hubbard, perhaps it's enough to simply reiterate what editors told readers in the glory days of American Pulp Fiction:\n\nHe writes the way he does, brothers, because he's been there, seen it and done it!\n\nTo find out more about L. Ron Hubbard, visit www.LRonHubbard.org\nThe Stories from the   \nGolden Age\n\nYour ticket to adventure starts here with the Stories from the Golden Age collection by master storyteller L. Ron Hubbard. These gripping tales are set in a kaleidoscope of exotic locales and brim with fascinating characters, including some of the most vile villains, dangerous dames and brazen heroes you'll ever get to meet.\n\nThe entire collection of over one hundred and fifty stories is being released in a series of eighty books and audiobooks. For an up-to-date listing of available titles, go to www.goldenagestories.com.\n\nAIR ADVENTURE\n\nArctic Wings\n\nThe Battling Pilot\n\nBoomerang Bomber\n\nThe Crate Killer\n\nThe Dive Bomber\n\nForbidden Gold\n\nHurtling Wings\n\nThe Lieutenant Takes the Sky\n\nMan\u00ad-Killers of the Air\n\nOn Blazing Wings\n\nRed Death Over China\n\nSabotage in the Sky\n\nSky Birds Dare!\n\nThe Sky\u00ad-Crasher\n\nTrouble on His Wings\n\nWings Over Ethiopia\n\nFAR-FLUNG ADVENTURE\n\nThe Adventure of \"X\"\n\nAll Frontiers Are Jealous\n\nThe Barbarians\n\nThe Black Sultan\n\nBlack Towers to Danger\n\nThe Bold Dare All\n\nBuckley Plays a Hunch\n\nThe Cossack\n\nDestiny's Drum\n\nEscape for Three\n\nFifty-\u00adFifty O'Brien\n\nThe Headhunters\n\nHell's Legionnaire\n\nHe Walked to War\n\nHostage to Death\n\nHurricane\n\nThe Iron Duke\n\nMachine Gun 21,000\n\nMedals for Mahoney\n\nPrice of a Hat\n\nRed Sand\n\nThe Sky Devil\n\nThe Small Boss of Nunaloha\n\nThe Squad That Never Came Back\n\nStarch and Stripes\n\nTomb of the Ten Thousand Dead\n\nTrick Soldier\n\nWhile Bugles Blow!\n\nYukon Madness\n\nSEA ADVENTURE\n\nCargo of Coffins\n\nThe Drowned City\n\nFalse Cargo\n\nGrounded\n\nLoot of the Shanung\n\nMister Tidwell, Gunner\n\nThe Phantom Patrol\n\nSea Fangs\n\nSubmarine\n\nTwenty Fathoms Down\n\nUnder the Black Ensign\n\nTALES FROM THE ORIENT\n\nThe Devil\u2014With Wings\n\nThe Falcon Killer\n\nFive Mex for a Million\n\nGolden Hell\n\nThe Green God\n\nHurricane's Roar\n\nInky Odds\n\nOrders Is Orders\n\nPearl Pirate\n\nThe Red Dragon\n\nSpy Killer\n\nTah\n\nThe Trail of the Red Diamonds\n\nWind\u00ad-Gone-\u00adMad\n\nYellow Loot\n\nMYSTERY\n\nThe Blow Torch Murder\n\nBrass Keys to Murder\n\nCalling Squad Cars!\n\nThe Carnival of Death\n\nThe Chee\u00ad-Chalker\n\nDead Men Kill\n\nThe Death Flyer\n\nFlame City\n\nThe Grease Spot\n\nKiller Ape\n\nKiller's Law\n\nThe Mad Dog Murder\n\nMouthpiece\n\nMurder Afloat\n\nThe Slickers\n\nThey Killed Him Dead\n\nFANTASY\n\nBorrowed Glory\n\nThe Crossroads\n\nDanger in the Dark\n\nThe Devil's Rescue\n\nHe Didn't Like Cats\n\nIf I Were You\n\nThe Last Drop\n\nThe Room\n\nThe Tramp\n\nSCIENCE FICTION\n\nThe Automagic Horse\n\nBattle of Wizards\n\nBattling Bolto\n\nThe Beast\n\nBeyond All Weapons\n\nA Can of Vacuum\n\nThe Conroy Diary\n\nThe Dangerous Dimension\n\nFinal Enemy\n\nThe Great Secret\n\nGreed\n\nThe Invaders\n\nA Matter of Matter\n\nThe Obsolete Weapon\n\nOne Was Stubborn\n\nThe Planet Makers\n\nThe Professor Was a Thief\n\nThe Slaver\n\nSpace Can\n\nStrain\n\nTough Old Man\n\n240,000 Miles Straight Up\n\nWhen Shadows Fall\n\nWESTERN\n\nThe Baron of Coyote River\n\nBlood on His Spurs\n\nBoss of the Lazy B\n\nBranded Outlaw\n\nCattle King for a Day\n\nCome and Get It\n\nDeath Waits at Sundown\n\nDevil's Manhunt\n\nThe Ghost Town Gun\u00ad-Ghost\n\nGun Boss of Tumbleweed\n\nGunman!\n\nGunman's Tally\n\nThe Gunner from Gehenna\n\nHoss Tamer\n\nJohnny, the Town Tamer\n\nKing of the Gunmen\n\nThe Magic Quirt\n\nMan for Breakfast\n\nThe No-\u00adGun Gunhawk\n\nThe No\u00ad-Gun Man\n\nThe Ranch That No One Would Buy\n\nReign of the Gila Monster\n\nRide 'Em, Cowboy\n\nRuin at Rio Piedras\n\nShadows from Boot Hill\n\nSilent Pards\n\nSix\u00ad-Gun Caballero\n\nStacked Bullets\n\nStranger in Town\n\nTinhorn's Daughter\n\nThe Toughest Ranger\n\nUnder the Diehard Brand\n\nVengeance Is Mine!\n\nWhen Gilhooly Was in Flower\nJOIN THE PULP REVIVAL\n\nAmerica in the 1930s and 40s\n\nPulp fiction was in its heyday and 30 million readers were regularly riveted by the larger than life tales of master storyteller L. Ron Hubbard. For this was pulp fiction's golden age, when the writing was raw and every page packed a walloping punch.\n\nThat magic can now be yours. An evocative world of nefarious villains, exotic intrigues, courageous heroes and heroines\u2014a world that today's cinema has barely tapped for tales of adventure and swashbucklers.\n\nEnroll today in the Stories from the Golden Age Club and begin receiving your monthly feature edition selected from more than 150 stories in the collection.\n\nYou may choose to enjoy them as either a paperback or audiobook for the special membership price of $9.95 each month along with FREE shipping and handling.\n\nCall toll free:   \n1-877-8GALAXY (1-877-842-5299)\n\nOr go online to   \nwww.goldenagestories.com\n\nAnd become part of the pulp revival!\n\nPrices are set in US dollars only. For non-US residents, please call 1-323-466-7815 for pricing information. Free shipping available for US residents only.  \nGalaxy Press, 7051 Hollywood Blvd., Suite 200, Hollywood, CA 90028\n\nGlossary\n\nSTORIES FROM THE GOLDEN AGE reflect the words and expressions used in the 1930s and 1940s, adding unique flavor and authenticity to the tales. While a character's speech may often reflect regional origins, it also can convey attitudes common in the day. So that readers can better grasp such cultural and historical terms, uncommon words or expressions of the era, the following glossary has been provided.\n\naltimeter: a gauge that measures altitude. [return to text]\n\nAnnapolis: the capital of Maryland and the site of the US Naval Academy, founded in 1845. [return to text]\n\nbeam: an early form of radio navigation using beacons to define navigational airways. A pilot flew for 100 miles guided by the beacon behind him and then tuned in the beacon ahead for the next 100 miles. The beacons transmitted two Morse code signals, the letter \"A\" and the letter \"N.\" When the aircraft was centered on the airway, these two signals merged into a steady, monotonous tone. If the aircraft drifted off course to one side, the Morse code for the letter \"A\" could be faintly heard. Straying to the opposite side produced the \"N\" Morse code signal. [return to text]\n\ncabin job: an airplane that has an enclosed section where passengers can sit or cargo is stored. [return to text]\n\nColt .45: a .45-caliber automatic pistol manufactured by the Colt Firearms Company of Hartford, Connecticut. Colt was founded in 1847 by Samuel Colt (1814\u20131862), who revolutionized the firearms industry. [return to text]\n\nconquistador: a Spanish conqueror or adventurer. [return to text]\n\ncowl: a removable metal covering for an engine, especially an aircraft engine. [return to text]\n\ncrate: an airplane. [return to text]\n\nEl: elevated railway. [return to text]\n\nfilibustero: (Spanish) filibuster; this term derived from the Spanish filibustero for \"pirate,\" \"buccaneer\" or \"freebooter,\" individuals who attack foreign lands or interests for financial gain without authority from their own government. It applied to Anglo-American adventurers in the mid-nineteenth century who tried to take control of various Caribbean, Mexican and Central American territories by force of arms. [return to text]\n\nfire, Gridley: refers to Charles Vernon Gridley (1844\u20131898); US naval officer who started the Battle of Manila Bay in the Spanish-American War with the order from his commanding officer, \"You may fire when you are ready, Gridley.\" The Spanish fleet was annihilated without the loss of a single American life. This dramatic victory eventually led to the US annexation of the Philippines. [return to text]\n\nG-men: government men; agents of the Federal Bureau of Investigation. [return to text]\n\ngreat seal: the principal seal of a government or state, with which official documents are stamped. [return to text]\n\nheliograph: a device for signaling by means of a movable mirror that reflects beams of light, especially sunlight, to a distance. [return to text]\n\nhenequen: a plant that has large thick fibrous leaves shaped like swords, the fiber from which is used in making rope and twine. Native to tropical America, chiefly the Yucat\u00e1n Peninsula of Mexico. [return to text]\n\nhoodoo: one that brings bad luck. [return to text]\n\nhuckster: a street peddler. [return to text]\n\njewelry rock: gold-bearing vein quartz. [return to text]\n\nJonah: somebody who brings bad luck. [return to text]\n\nkey: a hand-operated device used to transmit Morse code messages. [return to text]\n\nkiting: flying. [return to text]\n\nknickerbockered: clothed in loose-fitting pants gathered at the knee or calf. [return to text]\n\nLake Pontchartrain: a lake in southeastern Louisiana north of New Orleans. [return to text]\n\nLeavenworth: Fort Leavenworth; the site of a federal penitentiary in Kansas. [return to text]\n\nlegman: a reporter who gathers information by visiting news sources, or by being present at news events. [return to text]\n\nMalacca: the stem of a species of palm, brown in color and often mottled, used for making canes and umbrella handles; named after a town in western Malaysia. [return to text]\n\nmonoplane: an airplane with one sustaining surface or one set of wings. [return to text]\n\nmouthpiece: a lawyer, especially a criminal lawyer. [return to text]\n\nmufti: civilian clothes; ordinary clothes worn by somebody who usually wears a uniform. [return to text]\n\nmummery: a pretentious or hypocritical show or ceremony. [return to text]\n\nnewshawk: a newspaper reporter, especially one who is energetic and aggressive. [return to text]\n\npatois: a regional form of a language, especially of French, differing from the standard, literary form of the language. [return to text]\n\npeg-topped: describing pants that are full and gathered at the hips and narrow at the ankles. [return to text]\n\npuede ser: (Spanish) could be. [return to text]\n\nQST: radio signal meaning \"general call to all stations.\" The Q code is a standardized collection of three-letter message encodings, all starting with the letter \"Q\"; initially developed for commercial radiotelegraph communication and later adopted by other radio services. [return to text]\n\nrudders: devices used to steer aircraft. A rudder is a flat plane or sheet of material attached with hinges to the craft's stern or tail. In typical aircraft, pedals operate rudders via mechanical linkages. [return to text]\n\nsap: blackjack; a short, leather-covered club, consisting of a heavy head on a flexible handle, used as a weapon. [return to text]\n\nScheherazade: the female narrator of The Arabian Nights, who during one thousand and one adventurous nights saved her life by entertaining her husband, the king, with stories. [return to text]\n\nsideslip: (of an aircraft when excessively banked) to slide sideways, toward the center of the curve described in turning. [return to text]\n\nsisal: a strong fiber obtained from the leaves of a plant native to southern Mexico and now cultivated throughout the tropics, used for making rope, sacking, insulation, etc. [return to text]\n\nsoup: a thick fog. [return to text]\n\nspatted wheels: a structure around the top of the wheels of a fixed airplane landing gear. [return to text]\n\nsub-Thompson: a type of machine gun that fires short pistol rounds, named after its creator, John Taliaferro Thompson, who produced the first model in 1919. [return to text]\n\nTAT: Transcontinental Air Transport, airline founded in 1928. It was one of the first to be geared to passenger service at a time when most airlines focused on air mail. In 1930, it merged with Western Air Express to form what became TWA. [return to text]\n\nthree-point: three-point landing; an airplane landing in which the two main wheels and the nose wheel all touch the ground simultaneously. [return to text]\n\nToltecs: members of an Indian people living in central Mexico before the advent of the Aztecs and traditionally credited with laying the foundation of Aztec culture. [return to text]\n\nuppers, on my: on one's uppers; poor; in reduced circumstances. First recorded in 1886, this term alludes to having worn out the soles of one's shoes so badly that only the top portions remain. [return to text]\n\nwig-wag: a method of using flags or pennants to send signals. [return to text]\n\nwing collar: a shirt collar, used especially in men's formal clothing, in which the front edges are folded down in such a way as to resemble a pair of wings. [return to text]\n\nyo creo: (Spanish) I believe. [return to text]\n\nYucat\u00e1n: a peninsula mostly in southeastern Mexico between the Caribbean Sea and the Gulf of Mexico. [return to text]\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\n\n\nProduced by sp1nd, Mary Meehan and the Online Distributed\nProofreading Team at http:\/\/www.pgdp.net (This file was\nproduced from images generously made available by The\nInternet Archive)\n\n\n\n\n\n\n\n\n\n\n\n                         ALAMO RANCH\n\n                   _A Story of New Mexico_\n\n                   BY SARAH WARNER BROOKS\n\n    Author of \"My Fire Opal,\" \"The Search of Ceres,\" etc.\n\n    CAMBRIDGE\n    PRIVATELY PRINTED\n    MCMIII\n\n    UNIVERSITY PRESS . JOHN WILSON\n\n    AND SON . CAMBRIDGE . U.S.A.\n\n\n                     TO LEON\n\n    _Across the silence that between us stays,\n      Speak! I should hear it from God's outmost sun,\n    Above Earth's noise of idle blame and praise,--\n      The longed-for whisper of thy dear \"Well done!\"_\n\n\n\n\n[Illustration: ALAMO RANCH]\n\n\n\n\nALAMO RANCH\n\n_A STORY OF NEW MEXICO_\n\n\n\n\nCHAPTER I\n\n\nIt is autumn; and the last week in November. In New Mexico, this land of\nsunshine, the season is now as kindly as in the early weeks of our\nNorthern September.\n\nTo-day the sky is one cloudless arch of sapphire! The light breeze\nscarce ruffles a leaf of the tall alamo, the name tree of this ranch.\nHere any holding bigger than a kitchen garden is known as a ranch. The\nalamo, Spanish for poplar, lends here and there its scant, stiff shade\nto this roomy adobe dwelling, with its warm southern frontage and\nhalf-detached wings. Behind the house irregular out-buildings are\nscattered about.\n\nA commodious corral, now the distinguished residence of six fine Jersey\ncows, lies between the house and the orchard,--a not over-flourishing\ncollection of peach, apricot, and plum trees.\n\nHere and there may be seen wide patches of kitchen garden, carefully\nintersected by irrigating ditches.\n\nNear and afar, wide alfalfa fields with their stiff aftermath stretch\naway to the very rim of the mesa, where the cotton-tail makes his home,\nand sage-brush and mesquite strike root in the meagre soil. Cones of\nalfalfa hay stacked here and there outline themselves like giant\nbeehives against the soft blue sky; and over all lies the sunny silence\nof a cloudless afternoon with its smiling westering sun.\n\nBasking in this grateful warmth, their splint arm-chairs idly tilted\nagainst the house-front, the boarders look with sated invalid eyes upon\nthis gracious landscape.\n\nAlamo Ranch is a health resort. In this thin, dry air of Mesilla Valley,\nhigh above the sea level, the consumptive finds his Eldorado. Hither,\nyear by year, come these foredoomed children of men to fight for breath,\nputting into this struggle more noble heroism and praiseworthy courage\nthan sometimes goes to victory in battle-fields.\n\nOf these combatants some are still buoyed by the hope of recovery;\nothers are but hopeless mortals, with the single sad choice of eking out\nexistence far from friends and home, or returning to native skies, there\nto throw up hands in despair and succumb to the foe.\n\nSixteen miles away the Organ Mountains--seeming, in this wonderfully\nclear atmosphere, within but a stone's throw--loom superbly against the\ncloudless sky; great hills of sand are these, surmounted by tall,\nserrated peaks of bare rock, and now taking on their afternoon array in\nthe ever-changing light, rare marvels of shifting color,--amethyst and\nviolet, rosy pink, creamy gold, and dusky purple.\n\nThe El Paso range rises sombrely on the gray distance, and on every hand\ndetached sugar-loaf peaks lend their magnificence to the grand\nmesa-range that cordons the Mesilla Valley.\n\nAnd now, out on the mesa, at first but a speck between the loungers on\nthe piazza and the distant mountain view, a single pedestrian, an\ninvalid sportsman, comes in sight. As he nears the ranch with the slowed\nstep of fatigue, he is heartening himself by the way with a song. When\nthe listeners hear the familiar tune,--it is \"Home, Sweet Home,\"--one of\nthem rallying his meagre wind whistles a faint accompaniment to the\nchorus. It is not a success; and with a mirthless laugh, the whistler\nabandons his poor attempt, and, with the big lump in his throat swelling\nto a sob, rises from his chair and goes dejectedly in. A sympathetic\nchord thrills along the tilted piazza chairs.\n\nThe discomfited whistler is but newly arrived at Alamo; and his feeble\nstep and weary, hollow cough predict that the poor fellow's journey will\nnot take him back to the \"Sweet Home\" of the song, but rather to the\nuncharted country.\n\nAnd now the invalid sportsman steps cheerily on the piazza.\n\n\"Here, you lazy folks,\" mocks he, holding high his well-filled game-bag,\n\"behold the pigeon stew for your supper!\" And good-naturedly hailing a\nMexican chore-boy, lazily propped by a neighboring poplar trunk, he\ncries, \"Catch!\" and deftly tossing him the game (pigeons from the mesa)\ngoes in to put away his gun. When later he returns to the piazza, bathed\nand refreshed, it is as if, in a room dim-lit by tallow candles, the gas\nhad suddenly been turned on to a big chandelier.\n\nSeating himself in the vacant arm-chair, he fills a briar-wood pipe.\nSome of the loungers do likewise; and now, while they smoke and chat,\nlook at the new-comer, Leonard Starr. Though not robust, he has the\nsubstantial mien and bearing of one who finds it good to live, and makes\nthose about him also find it good. It is not long before most of these\ndispirited loungers are laughing at his lively stories and sallies, and\ncheerily matching them with their own.\n\nWell is it for this troublous world of ours that some of its children\nare \"born to turn the sunny side of things to human eyes.\"\n\n\n\n\nCHAPTER II\n\n\nIt is the middle of December; the Alamo boarders are now well arrived.\n\nFirst and foremost, Mr. John Morehouse--the one lion of the ranch--makes\nhis bow. He is conspicuous for his able research in Archaeology, and\namong his fellow boarders is familiarly known as \"the Antiquary.\"\n\nMr. Morehouse has come to New Mexico in the interest of science; he is\nnot, however, a mere dry-as-dust collector of knowledge, and is very\nmuch inclined to unbend himself to the lighter moods and pursuits of his\nless scholarly fellow-men.\n\nThis well-groomed, handsome man of forty is James Morley of Bangor.\n\nHe has come to try this healing air for a slight, but persistent, lung\naffection.\n\nMr. Morley is known to be a man of means, with all the advantages thus\nimplied; but all the same, he is given to railing at most things under\nthe sun; hence by the boarders he is surreptitiously dubbed \"the\nGrumbler.\" Mr. Morley's growl is a foregone conclusion, and one may\nsafely reckon on his bark; but as for his bite, it is simply nowhere.\n\nAlready he has manifested a most considerate kindness for this gray-eyed\nlittle lady from Marblehead, Miss Mattie Norcross,--a sweet-mannered,\nquiet gentlewoman, who is currently reported as scant of filthy lucre,\nand hence compelled to content herself with a cramped, inexpensive\nbedroom for herself and her invalid sister, who has one hopelessly\ndiseased lung. This cheery-faced Irishman, who with his shy little wife\nis, for a stubborn bronchial trouble, making the grand tour of the\nworld's health resorts, and is now trying New Mexico, is, strange as it\nmay seem, a Methodist minister. His name is Patrick Haley. It may be\nsaid of Mr. Haley that he has the genial temperament indigenous to Green\nErin, and he has already won golden opinions at Alamo Ranch by the\nconsiderate brevity of his grace before meat.\n\nAmong the invalids attended by their wives are Mr. Bixbee, from Ohio,\nand Mr. Fairlee, from New York City.\n\nMr. Bixbee has been bidden by his medical dictator to repair his damaged\nvitality by rest and nourishing food. It is predicted that this\nsurfeited \"lunger,\" in escaping his Scylla of consumption, bids fair to\nstrand upon the Charybdis of liver complaint, since Mrs. Bixbee, in her\nwifely zeal, not only plies him all day long with lunches, but makes\nnight hideous by the administration of raw eggs throughout its drowsy\nhours.\n\nMr. Roger Smith, an over-worked Harvard athlete, is taking as a\nrestorative a lazy winter in this restful land. He has also other irons\nin the fire, of which, later, we shall hear more. Roger Smith is known\nin Boston society as one having heaps of money, but badly off for\npedigree. All the same, he is, in manner and appearance, a gentleman,\nand has distinctly the hall-mark of Beacon Hill. He is here known as the\n\"Harvard man.\"\n\nAlso, among the sound-lunged invalids, is Mr. Harry Warren, a brilliant\nChicago journalist. Mr. Warren is taking a vacation in Mesilla Valley,\nwhere he is said to be collecting material for future articles, and\npossibly for a book.\n\nThe Browns have also two table-boarders from Boston,--Miss Paulina\nHemmenshaw and her beautiful niece, Louise, a superbly healthy brunette.\nTheir friend, Mr. Henry Hilton, during an absence abroad, has lent for\nthe winter to these ladies his toy ranch, with its aesthetically\nfashioned dwelling-house.\n\nThe Hemmenshaws dine and sup at Alamo Ranch, and the aunt, a\ncooking-school graduate, is known to make at Hilton Ranch for herself\nand niece wonderful blazer breakfasts, consisting mainly of dishes\nnew-fangled of name, and eminently trying to mortal digestion. There\nare, besides, some half-dozen male lungers unaccompanied by friends; and\ntwo impecunious invalids to whom the kind-hearted landlord, George\nBrown, allows bed and board in return for light-choring about the ranch.\nThese latter are democratically counted in with the dining-room\nboarders.\n\nLeon Starr, by common consent the \"star boarder\" of Alamo Ranch, has\nalready been presented to the reader. He has taken the large\ntwo-windowed room on the ground-floor commanding a glorious view of the\ndistant Organ Mountains. After getting his breath in this unaccustomed\naltitude, Leon's next care has been for the depressed lungers who daily\ngather on the boarding-house piazza and wonder if life is still worth\nliving. To get them outside themselves by cheery good-fellowship, to\nperform for them little homely services, not much in the telling, but\nmaking their lives a world easier, has been a part of his method for\nuplifting their general tone.\n\nOf an inventive turn of mind, and an amateur mechanic, he has brought\nwith him a tiny tool chest; and it soon becomes the family habit to look\nto Leon Starr for general miscellaneous tinkering, as the mending of\ndoor and trunk locks, the regulating watches and clocks, the adjustment\nof the bedevilled sewing-machine of their good landlady, and the\nrestoration of harmonious working to all disgruntled mechanical gear,\nfrom garret to cellar. He it is who, on rainy days, manufactures denim\nclothes-bags for clumsy-fingered fellows; who fashions from common canes\ngathered on banks of irrigating ditches, photo-frames for everybody, and\nshows them how to arrange the long cane tassels with decorative effect\nabove door and window, and how to soften the glare of kerosene lamps by\nmaking for them relieving shades of rose- paper.\n\nPessimistic indeed is that lunger who, succumbing to the charm of this\ngracious nature, does not feel the cheery lift in his heavy atmosphere.\n\nFrom the landlord and his wife, both worn by the strain of doing their\nbest for chronically discontented people, down to Fang Lee, the Chinese\nchef, Dennis Kearney, the table-waiter, the over-worked Mexican\nhouse-maids, and the two native chore-boys--one and all rise up to call\nthe star boarder blessed.\n\nOut on the mesa the air is finer and brighter than on the lower plane of\nthe ranch, and full of the life and stir of moving things,--quail,\nrabbits, and doves.\n\nLeon had at first found the thin air of this altitude somewhat\ndifficult; but since time and use have accustomed his lungs to these\nnovel atmospheric conditions, shooting on the mesa has become a part of\nhis daily programme, and his quail, rabbits, and pigeons prove a\ntoothsome contribution to the already excellent ranch table.\n\nA small, shy Mexican herd-boy, pasturing his lean goats on the mesa,\ngradually makes friends with the tall, kindly sportsman. As they have\nbetween them but these two mutually intelligible words, _bueno_ (good)\nand _mucho calor_ (very warm), their conversation is circumscribed. Kind\ndeeds are, however, more to the point than words, and go without the\nsaying; and when Leon instructed the ragged herd-boy in the use of his\nbow, and made and weighted his arrows for him, he _understood_, and\nbecame his devoted henchman, following in his path all through the\nweek-day tramps, and on Sundays coming to the ranch with clean face and\nhands to adore his fetich, and watch, with admiring eyes, his novel\nworks and ways.\n\n\n\n\nCHAPTER III\n\n\nAfter a protracted interval of tranquil sunshine, a stormy wind came\nblustering from the west, bringing to Mesilla Valley, in its wintry\ntrain, sunless days, light flurries of snow, and general dreariness.\n\nThe boarders, weather-bound and dull, grew sullenly mutinous; and on the\nthird of these stormy days, gathering in the ranch parlor after the\nmid-day meal, their discontent found vent in banning right and left this\n\"land of sun, silence, and adobe.\"\n\n\"Beastly weather!\" muttered the Grumbler, drawing into the stove with a\ndiscontented shiver.\n\n\"A precious sample, this, of your fine climate, Brown,\" jeered Bixbee,\nturning mockingly to the disheartened landlord, who, reckless of\nexpense, commanded of the chore-boy fresh relays of fuel, and\nincontinently crammed the parlor air-tight, already red-hot.\n\n\"I say, fellows,\" drolled the Harvard man, \"let's make tracks for\nBoston, and round up the winter with furnace heat and unlimited water\nprivileges, as the house-broker has it.\"\n\n\"And with cut-throat plumbers thrown in,\" suggested the Grumbler with a\nmalicious grin.\n\n\"See here, you folks, draw it mild,\" laughed the star boarder, crossing\nthe room with a finger between the leaves of a volume which he had been\nreading by the dim afternoon light of this lowering day. \"Here, now, is\nsomething that fits your case to a T. Let me read you how they doctored\nyour complaint in these parts, aeons before you were born.\"\n\n\"Anything for a change,\" muttered Bixbee, and, with the general consent,\nLeon read the following:\n\n\"'When the people came out of the cold, dark womb of the underworld,\nthen the great sun rose in the heavens. In it dwelt Payatuma, making his\ncircuit of the world in a day and a night. He saw that the day was light\nand warm, the night dark and cold. Hence there needed to be both summer\nand winter people.\n\n\"'He accordingly apportioned some of each to every tribe and clan, and\nthus it is down to the present day. Then those above (that is, the\nSun-father and the Moon-mother), mindful lest the people on their long\njourney to the appointed abiding-place succumb to weariness and fall by\nthe way, made for them a koshare, a delight-maker. His body was painted\nin diagonal sections of black and white, and his head, in lieu of the\nregulation feather-decorations, was fantastically arrayed in withered\ncorn-leaves.\n\n\"'This koshare began at once to dance and tumble. Then the people\nlaughed, and were glad. And ever from that day, in their wanderings in\nsearch of a satisfactory settling-place in the solid centre of the big\nweary world, the koshare led them bravely and well.\n\n\"'He it was who danced and jested to make happiness among the people.\nHis it was to smile on the planted maize till it sprouted and flowered\nin the fertile bottoms, to beam joyously on the growing fruit, that it\nmight ripen in its season.\n\n\"'From that day there have been delight-makers in all the Pueblo tribes.\nThe koshare became in time with them an organization, as the\nFree-masons, or the Knights of Pythias, with us. This necessity, we are\ntold, arose from the fact that among the Pueblos there were summer\npeople who enjoy the sunshine, and winter people,--people who\ndeterminedly prefer to live in the dark and cold.'\n\n\"Is it not so,\" said Leon, turning down a leaf and closing his book,\n\"with every people on the face of the earth?\n\n\"Is not the 'delight-maker,'--the koshare,--under various names and\nguises, still in demand? It has struck me,\" continued he, looking\nquizzically at this disgruntled assemblage, \"that the koshare might be\nan acceptable addition to our despondent circle.\"\n\n\"Amen!\" fervently responded the Methodist minister.\n\n\"Right you are,\" said the Harvard man. \"Write me as one who approves the\nkoshare!\"\n\n\"Yes! yes!\" eagerly exclaimed approving voices. \"Let us have the koshare\nhere and at once!\"\n\n\"A capital move,\" said Miss Paulina Hemmenshaw (born and reared in the\nclimatic belt of clubdom, and regent of a Chapter of Daughters of the\nRevolution). \"Let us have a Koshare Club.\"\n\n\"Good!\" echoed Mrs. Fairlee, among her intimates surnamed \"the Pourer,\"\nbecause of her amiable readiness to undertake for her friends the\nhelpful office that among afternoon tea-circles has been distinguished\nby that name. \"We might give afternoon teas to the members.\"\n\n\"And why not have recitations, with humorous selections?\" bashfully\nsuggested the gray-eyed school-mistress, who rejoiced in a fine-toned\nvoice and in a diploma from the School of Oratory.\n\n\"Yes, indeed; and music, acting, and dancing, and all manner of high\njinks,\" exclaimed Miss Louise, who, an accomplished musician, and\ndistinguished for her amateur acting, with her superb health and\nunfailing flow of spirits, might be counted in as a born koshare.\n\n\"And we might unite improvement with diversion, and have, now and then,\na lecture, to give interest to our club,\" suggested Mrs. Bixbee; and\nhere she looked significantly at Mr. Morehouse, \"the Antiquary,\" who as\na lecturer was not unknown to fame.\n\n\"Lectures,\" observed the Minister, \"though not strictly kosharean,\nwould be highly entertaining, and we can, no doubt, count upon our\nfriend, Mr. Morehouse, to give us the result of some of his research in\nMexican Antiquities.\"\n\nThe Antiquary, with a smile, accepted the part assigned him by his\nfellow-boarder. Here the boarders went to supper, after which the more\nsleepy sought their beds. The evening blew stormily in; but, gathered\nabout the centre table in the warm parlor, the leading spirits of Alamo\nRanch bade the storm go by, while they inaugurated the Club of The New\nKoshare.\n\nThe star boarder was chosen president. The Minister was elected\nvice-president, Miss Paulina secretary, and the Harvard man treasurer.\nThese preliminaries well arranged, a programme was voted on, and by\ngeneral approval carried.\n\nMrs. Fairlee--the Pourer--was to give to the club-members a weekly\nafternoon tea. An entertainment open to the entire household was, on\nevery Thursday evening, to be given in the ranch dining-room by the\nKoshare, consisting of music, tableaux, and recitations. A\nshooting-match, under the direction of Leon, was to come off weekly on\nthe grounds of the establishment. There should be among the clubbists a\nfund collected for magazines; and on fortnightly Saturday evenings Mr.\nMorehouse promised to give them lectures, the result of his antiquarian\nresearches in Mexico, New and Old; and during this course papers and\ntalks relating to this subject should supplement his own.\n\n\"The Pueblo,\" commented the Grumbler, \"would not have found magazines\nstrikingly kosharean; let us by all means have them,\" and suiting deed\nto word, he subscribed to the book-fund on the spot, and paid\nsurreptitiously the subscription of the little school-ma'am, who had\npreviously withdrawn in the interest of her invalid sister.\n\nIn this fashion was inaugurated \"The New Koshare\" of Mesilla Valley;\nthereafter the Hemmenshaws bundled themselves in winter wraps and,\nhanded into their vehicle by the Harvard man, set out in the storm for\ntheir ride to Hilton Ranch, and the Koshare betook themselves to rest.\n\n\n\n\nCHAPTER IV\n\n\nOn the morrow the sun shone warm and bright, and on the mesa, and on all\nthe desert-stretches of mesquite and sage-brush, on the broad alfalfa\nfields and outlying acres of Alamo Ranch, there was no longer a flake of\nsnow.\n\nEarly in this sunny day the star boarder and the Pourer, driven by a\nleisurely chore-boy, might have been seen taking their way to Las\nCruces, the nearest village and postal centre, intent on the procurement\nof sundry wafers, biscuit, and other edibles pertaining to an afternoon\ntea.\n\nEl Paso, the Texan border-town, some forty miles distant, is properly\nthe emporium of that region. Between it and Las Cruces lies a stretch of\ndesert more barrenly forlorn than the Long Island pine-lands, since it\nis totally void of forest growth, and has but here and there a sprinkle\nof mesquite-bushes about three feet in height, the rest being bare\nsand-ridges.\n\nAt El Paso one may ride in street cars, luxuriate in rain-proof\ndwellings, lighted by electricity, and pretty with lawns and\nflower-pots. But even at its best, modern civilization, with its push\nand bustle, ill becomes the happy-go-lucky native Mexican sunning\nhimself in lazy content against the adobe of his shiftily built\ndwelling.\n\nIn a land of well-nigh perpetual blue sky, why need mortal man scramble\nto make hay while the sun shines? Yesterday has already taken care of\nitself. To-day is still here, and always there is _manana_--to-morrow.\n\nAs for our own upstart civilization, in this clime of ancient Pueblo\nrefinements one must own that it takes on the color of an impertinence,\nand as incongruously exhibits itself as a brand-new patch on a long-worn\ngarment.\n\nBut to return to Las Cruces, which is \"fearfully and wonderfully made.\"\nTo look at the houses one might well fancy that the pioneer settlers had\nfolded their hands and prayed for dwellings, and when the answering\nshower of mud and adobe fell, had contentedly left it where it stuck.\nAll these structures are one-storied, and square-built; each has its one\ndoor, a window or two, and a dumpy roof, fashioned for the most part of\nwattles, for, as it seldom rains here, the Las Crucean has no\ntroublesome prejudice in favor of water-tight roofs. When the sun shines\nhe is all right; and when it rains, he simply moves from under the drip.\nHere, among confectionery that had long since outlived its desirability,\namong stale baker's cookies and flinty ginger snaps, the Koshare\ncommissariat foraged discouragedly for the afternoon tea.\n\nDuly supplied with these time-honored sweets, Leon and the Pourer, thus\nindifferently provisioned, turned their faces homeward, at such moderate\npace as seemed good in the eyes of an easy-going Mexican pony and his\nlazy Indian driver.\n\nOn the afternoon of that day Mrs. Bixbee, in her airy bed-chamber,\nwhere the folding-bed in the day-time masqueraded as a black walnut\nbookcase, gave the first Koshare afternoon tea.\n\nMrs. Fairlee poured from a real Russian Samovar brought over from the\nHilton Ranch for this grand occasion. Somewhat to the general surprise,\nthe Grumbler made his bow to the hostess in evening clothes, and though\nnot exuberantly Koshare, he was in an unwontedly gracious mood;\npartaking with polite zest of the stale chocolates, tough cookies, and\nflinty ginger snaps; munching long-baked Albert biscuit; serenely\nbolting puckery Oolong tea; and even handing the cups,--large and\nsubstantial ones, kindly furnished from their landlady's pantry,--and\ncommending their solidity and size as far preferable to the Dresden and\nJapanese \"thimbles\" commonly appearing on afternoon tea-tables. As for\nthe Pourer, it must be recorded that her grace, facility, and charm of\nmanner gave even stone china tea-cups an air of distinction, and lent to\nOolong tea and stale cakes a flavor of refinement. It was on Monday that\nthis function came off successfully.\n\nThe next Koshare festivity in regular order was the shooting-match.\n\nLeon, who had inherited from some Nimrod of his race, long since turned\nto dust, that _true eye_ and steady hand which make gunning a success,\nwas here master of ceremonies as well as contributor of prizes.\n\nThe first of these, a pair of gold sleeve-links, he, himself, easily\nwon, and subsequently donated to Dennis the dudish table-waiter. Of the\nfive prizes, two others were won by the two impecunious lungers, one by\nthe Harvard man, and another by the Antiquary. The shooting-match,\nenjoyed as it was by the near population of Mesilla Valley, proved a big\nsuccess, and weekly grew in grace with the aborigines as having a fine\nflavor of circus shows and Mexican bull-fights, and was considered by\nthe Koshare as one of their happiest hits.\n\nEqually successful was the Thursday entertainment, held in the big\ndining-room, under the auspices of the landlord and his wife, with the\ncook, waiter, maids, and chore-boys gathered about the open door.\n\nIt consisted of vocal and instrumental music, and recitations in prose\nand rhyme; and, at a late hour, wound up with a bountiful supper\ncontributed to the occasion by the generous landlord.\n\nMiss Hemmenshaw, the star performer, gave, with admirable Rachelesque\ngesture and true dramatic fire, \"The Widow of the Grand Army,\" recited\nwith exquisite delicacy Shelley's \"Cloud,\" and sent shivers down the\nbacks of the entire assemblage, by a realistic presentation of\nRossetti's \"Sister Helen.\" The grey-eyed school-marm recited with\ngenuine \"School of Oratory\" precision and finish \"Barbara Frietchie,\"\nHolmes' \"Chambered Nautilus,\" Longfellow's \"Sandalphon,\" and \"Tom\nO'Connor's Cat.\" Leon read, with admirable humor, some of Mr. Dooley's\nbest; and the Harvard man brought down the house with Kipling's \"Truce\nof the Bear.\"\n\nThere was some fine piano and banjo playing, and the singing of duets;\nand the Journalist rendered, in his exquisite tenor, Ben Jonson's rare\nold love-song, \"Drink to me only with thine eyes.\"\n\n\"Strange,\" commented the Antiquary (who in his miscellaneous mental\nstorage had found room for some fine old Elizabethan plays), turning to\nMiss Hemmenshaw in the pause of the song, \"Ben Jonson is dust these\nthree hundred years, and still his verses come singing down the ages,\nkeeping intact their own immortal flavor. The song-maker's is, indeed,\nan art that 'smells sweet, and blossoms in the dust.' Well might they\nwrite him, 'O rare Ben Jonson.'\"\n\n\"And how exquisitely,\" responded the lady, \"is the air married to the\nwords!\" And now the Minister brought forward his Cremona. He was a\nfinished violinist, with a touch that well-nigh amounted to genius. All\npraised his performance. At its close the Grumbler, in an aside to the\nAntiquary, thus delivered himself:--\n\n\"To _some_, God giveth common-sense; to _others_, to play the fiddle!\"\n\nFrom the entry audience the fiddler won rousing rounds of applause, and\nDennis, the waiter, ventured on the subdued shuffle of an Irish jig.\n\nThis it was that suggested to the Koshare an impromptu dance, and\nthereupon the young people straightway took the floor. The Minister,\nkindly oblivious of his cloth, fiddled on; Miss Paulina called off the\nfigures, and so, merrily, ended the first Koshare evening\nentertainment.\n\n\n\n\nCHAPTER V\n\n\nAs it is not proposed to give this record of the doings of the \"New\nKoshare\" the circumstantiality of a diary, the chronicler may be allowed\nto include the ensuing teas, shooting-matches, and all the lighter\nkosharean festivities in the one general and final statement, that they\neach came off duly and successfully; and leaving their details\n\"unhonored and unsung,\" proceed to a more extended account of the\nSaturday evening entertainments,--as all members of the club were\ninvited to contribute to these evenings, and it was expected that the\nMinister would, from the storehouse of his travelling experience,\ncontribute liberally to their delectability; and that the Journalist\n(who naturally thought in paragraphs, and, like the fairy who \"spoke\npearls,\" conversed in exquisitely fashioned sentences) would supplement\nthe papers of the Antiquary by his own brilliant talks.\n\nAnd so it was that on the initial Saturday evening, with a full\nattendance and great expectations, the Koshare found themselves\nconvened, the president in the chair, the secretary with notebook in\nhand, and all in dignified attention.\n\nThe Antiquary--with this apt quotation from Cumming's \"Land of Poco\nTiempo\"--began his first lecture before the club.\n\n\"'New Mexico,'\" quoted he, \"'is the anomaly of the Republic. It is a\ncentury older in European civilization than the rest, and several\ncenturies older still in a happier semi-civilization of its own.\nIt had its little walled cities of stone before Columbus had\ngrandparents-to-be; and it has them yet.'\n\n\"There are,\" stated Mr. Morehouse, \"three typical races in New Mexico.\nThe American interpolation does not count as a type.\n\n\"Of Pueblo Indians there are nine thousand, 'peaceful, home-loving, and\nhome-dwelling tillers of the soil.' Then, here, and in Arizona, there\nare about twenty thousand Navajo Indians,--nomad, horse-loving,\nhorse-stealing vagrants of the saddle, modern Centaurs. Then come the\nApaches, an uncounted savage horde, whose partial civilization has been\neffected by sheer force of arms, and inch by inch: who accept the\nreservation with but half a heart, and break bounds at every\nopportunity. Last of all come the Mexicans, shrunken descendants of the\nCastilian world-finders; living almost as much against the house as in\nit; ignorant as slaves, and more courteous than kings; poor as Lazarus,\nand more hospitable than Croesus; and Catholics from A to izzard.\n\n\"The Navajos and Apaches,\" said Mr. Morehouse, \"have neither houses nor\ntowns; the Pueblos have nineteen compact little cities, and the Mexicans\nseveral hundred villages, a part of which are shared by the invader.\n\n\"'The numerous sacred dances of the Pueblos,' says Cummings, 'are by far\nthe most picturesque sights in America, and the least viewed by\nAmericans, who never found anything more striking abroad. The mythology\nof Greece and Rome is less than theirs in complicated comprehensiveness;\nand they are a far more interesting ethnological study than the tribes\nof inner Africa, and less known of by their white countrymen.'\n\n\"The Pueblos of New Mexico,\" explained the Antiquary, \"are by no means\nto be confounded with the Toltecs or Aztecs. It is, however, barely\npossible that in prehistoric ages the race in possession of Mexico may\nhave had some tribal characteristics of the latter-day Pueblo. As of\nthat remote time, there is not even a traditionary record; this\nsupposition is absolutely conjectural.\n\n\"By investigation and comparison it has, however, been proved that the\nPueblos have racial characteristics connecting them with some mysterious\nstage of human life even older than that of the more barbarous Toltecs\nor Aztecs.\n\n\"This race has from time immemorial had its book of Genesis. It is not,\nlike that of the Hebrew, a written record, but has been orally handed\ndown, and with careful precision, beginning with their original\nemergence, as half-formed human beings, from the dark of the mystic\nunderworld of 'Shipapu' to the world of light.\n\n\"After the fashion of most barbarous races, the Pueblo appears\noriginally to have 'pitched his moving tent' in various parts of Mexico;\nand it may be inferred that he endured many casualities before settling\nhimself in life. It was to tide over this trying epoch in his existence\nthat 'Those Above,' according to tradition, made for the tribes that\nquaint 'Delight-Monger,' with whom we have already made acquaintance,\nwho led them in their wanderings from the womb of Shipapu to the solid\ncentre of their world; but, as has been already stated, this record,\ngoing back to an indefinite period of time, and having only the dubious\nauthority of folk-lore, is only of traditional value.\n\n\"The Pueblo, no less than the Aztec, is the most religious of human\nbeings. His ceremonial, like that of the age of Montezuma, is\nwonderfully and minutely elaborated; and though originating in a\ncivilization less splendid and refined, it is really less barbarous,\nsince its rites have never, like those of the Aztec, included the\nhorrors of human sacrifice and cannibalism.\n\n\"The Pueblo, since his exit from the womb of mother Earth, seems to have\ngiven his principal attention to the cultivation of its soil. All the\nsame, he appears never to have shirked the less peaceful\nresponsibilities of his tribe,--putting on his war-paint at the shortest\nnotice, to settle the quarrels of his clan.\n\n\"Although like most men of savage birth and breeding, cruel in warfare,\nhe seems never to have been abstractedly blood-thirsty, never to have\nkilled, like his ever-belligerent neighbor, the Apache, purely for\nkilling's sake; but, his quarrel once ended, and the present security of\nhis clan well achieved, he has contentedly returned to the peaceful ways\nof life; diligently sowing, weeding, and harvesting his crops of maize,\nmelons, squashes, and beans, and--ever mindful of the propitiative\nrequirements of 'Those Above'--taking careful heed of his religious\nduties.\n\n\"For a succinct account of the Pueblo cave (or cliff) dwellers,\" said\nthe Antiquary, \"I am largely indebted to Bandelier, from whose valuable\nPueblo researches I shall often take the liberty to quote.\n\n\"The imperfectly explored mountain range skirting the Rio Grande del\nNorte is picturesquely grand.\n\n\"Facing the river, the foundation of the chain is entirely volcanic.\n\n\"Colossal rocks form the abrupt walls of the gorges between these\nmountains, and are often so soft and friable that, in many places they\nwere easily scooped out with the most primitive tools, or even detached\nwith the fingers alone.\n\n\"In these gorges, through many of which run unfailing streams of water,\noften expanding to the proportions of regular valleys, the Pueblo Indian\nraised the modest crop that satisfied his vegetable craving.\n\n\"As it is easier to excavate dwellings than to pile up walls in the open\nair, the aboriginal Mexican's house-building effort was mostly confined\nto underground construction. He was, in fact, a 'cave-dweller,' yet\ninfinitely of more advanced architectural ideas than our own remote\nforbears of Anglo Saxon cave-dwelling times.\n\n\"Most of these residences might boast of from three to four rooms. They\nwere arranged in groups, or clusters, and some of them were several\nstories high.\n\n\"Rude ladders were used for mounting to the terrace or roof of each\nsuccessive story. The Pueblo had, literally, a hearthstone in his\nprimitive home. His fireplace was supplied with a hearth of\npumice-stone. A rudely built flue, made of cemented rubble, led to a\ncircular opening in the front wall of his cave-dwelling. Air-holes\nadmitted their scanty light to these dusky apartments, in which there\nwere not only conveniences for bestowing wearing-apparel, but niches for\nornamental pottery, precious stones, and the like Indian bric-a-brac.\nThe ground-floor entrance was a rude doorway closed by a hide, or mat.\nPlaited mats of Yucca leaves, and deer-hide, by day rolled up in corners\nof the sleeping-apartments, served for mattresses at night. A thick\ncoating of mud, washed with blood, and carefully smoothed, gave to the\nfloor a glossy effect. Some of the rooms are known to have been in\ndimension ten feet by fourteen. Their walls were whitewashed with burnt\ngypsum.\n\n\"Though the time when these traditional cliff-dwellers wooed and wed,\nlived and died in the Rialto vale is long, long gone by, the ruins of\ntheir homes may still be seen. Some of them are tolerably intact; others\nare crumbled away to mere shapeless ruins.\n\n\"And now, having described their dwellings, let us note some of the most\nmarked and interesting characteristics of the men and women who made in\nthem their homes.\n\n\"We are apt,\" said the Antiquary, \"to accord to our more enlightened\ncivilization the origin of communism; yet, antedating by ages our\nlatter-day socialistic fads, the communal idea enthused this unlettered\npeople, and to a certain extent seems to have been successfully carried\nout.\n\n\"Let not the strong-minded Anglo-Saxon woman plume herself upon the\ndiscovery of the equality of the sexes. While our own female suffragists\nwere yet unborn, the Pueblo wife had been accorded the inalienable right\nto lord it over her mankind.\n\n\"Among the Mexican cliff-dwellers, 'woman's rights' seem to have been as\nindigenous to the soil as the pinon and the prickly pear.\n\n\"In the primitive Pueblo domicile, the wife appears, by tribal consent,\nto have been absolutely 'cock of the walk.' The husband had no rights as\nowner or proprietor of the family mansion, and, as an inmate, was\nscarcely more than tolerated.\n\n\"The wife, in those ever-to-be-regretted days, not only built and\nfurnished the house,--contributed to the kitchen the soup pot, water\njars, and other primitive domestic appliances,--but figured as sole\nproprietor of the entire establishment.\n\n\"The Pueblo woman, though married, still had, with her children, her\nholding in her own clan. In case of her death, the man's home being\nproperly with _his_ clan, he must return to it.\n\n\"The wife was not allowed to work in the fields. Each man tilled the\nplot allotted him by his clan. The crops, once housed, were controlled\nby the woman, as were the proceeds of communal hunts and fisheries.\n\n\"The Pueblos had their system of divorce. It goes without saying that it\nwas not attended by the red-tape complications of our time. As the\nhusband's continuance under the family roof-tree depended absolutely on\nhis acceptability to the wife, at any flagrant marital breach of good\nbehavior she simply refused to recognize him as her lord. In vain he\nprotested, stormed, and menaced; the outraged better half bade him _go_,\nand he _went_! Thus easily and informally were Pueblo marriages\ndissolved; and, this summary transaction once well concluded, each party\nhad the right to contract a second marriage.\n\n\"The Pueblo Indian is historically known as a Catholic; that is to say,\nhe told his beads, crossed his brow with holy water, and duly and\ndevoutly knelt at the confessional. This done, he tacitly reserved to\nhimself the privilege of surreptitiously clinging to the Paganism of his\nforbears, and zealously paid his tithe of observances at the ancient\nshrine of 'the Sun Father' and 'the Moon Mother.'\n\n\"Some of the Pueblo tribes are said still to retain the use of that\nancient supplicating convenience, 'the prayer-stick.'\n\n\"'Prayer-sticks, or plumes,'\" explained the Antiquary, \"are but painted\nsticks tufted with down, or feathers, and, by the simple-minded Indian,\nsupposed especially to commend him to the good graces and kindly offices\nof 'Those Above.' In a certain way, the aboriginal prayer-stick seems to\nhave been a substitute for an oral supplication.\n\n\"The Pueblo, pressed for time, might even forego the hindering\nceremonial of verbal request, adoration, or thanksgiving, and hurriedly\ndeposit, as a votive offering to his easily placated gods, this tufted\nbit of painted wood; and, furthermore, since prayer-sticks were not\nalways within reach, it was permitted him in such emergencies to gather\ntwo twigs, and, placing these crosswise, hold them in position by a rock\nor stone. And this childish make-shift passed with his indulgent gods\nfor a prayer!\n\n\"The most trivial commonplace of existence had, with the superstitious\nPueblo, its religious significance; and it would seem to have been\nincumbent on him literally to 'pray without ceasing.' Hence the\nprayer-plume, or its substitute, was, with him, one of the necessities\nof life. Time would fail me to tell of the ancient elaborate religious\nrites and superstitions of the Mexican Indian; to recount his latter-day\nceremonials, wherein Pagan dances, races, and sports are like the jumble\nof a crazy quilt, promiscuously mixed in with Christian festas and holy\nsaint-days; and indeed the subject is too large for my sketchy handling.\nIt may not, however, be amiss to notice the yearly celebration of the\nfestival of San Estevan. It may be still witnessed, and seems to have\nbeen the original Harvest-home of the Mexican Indian, the observance of\nwhich has been handed down in various ways from all times, and among all\npeoples, and is probably the parent of our Thanksgiving holiday.\n\n\"The monks of the early Catholic church, in their missionary endeavor to\ncommend the Christian religion to the pagan mind, took care to graft\nupon each of the various festas of the Pueblo one of their own saint-day\nnames. Thus it was that the Acoma harvest-home masquerades under the\nguise of a saint-name, though an absolutely pagan ceremonial.\n\n\"It is still observed by them with genuine Koshare delight. There are\ndances, races, and tumbling, and the carnival-like showering of Mexican\nconfetti from the roofs of adobe houses. In summing up this brief\naccount of the sedentary New Mexican, I quote literally the forceful\nassertion of Cummings. 'The Pueblos,' says this writer, 'are Indians who\nare neither poor nor naked; who feed themselves, and ask no favors of\nWashington; Indians who have been at peace for two centuries, and fixed\nresidents for perhaps a millennium; Indians who were farmers and\nirrigators, and six-story housebuilders before a New World had been\nbeaten through the thick skull of the Old. They had,' he continues, 'a\nhundred republics in America centuries before the American Republic was\nconceived.'\n\n\"This peaceably minded people, as has already been stated, are by no\nmeans to be confounded with the roving New Mexican aborigines, with the\nuntamed Navajo scouring the plains on the bare back of his steed, or the\nfierce Apache, murderous and cruel.\n\n\"We must not,\" said Mr. Morehouse, \"take leave of the Pueblo, without\nsome reference to the great flat-topped, slop-sided chain of rock-tables\nthat throughout the length and breadth of his territory rises from the\nsandy plains, the most famous and best explored of which is known as 'La\nMesa Encantada,'--'the Enchanted Mesa.'\n\n\"According to tradition the Mesa Encantada gains its romantic name from\nan event which centuries ago--declares the legend--destroyed the town,\nthen a well-populated stronghold of the Acomas. As a prelude to this\nlegend, let me state that the Pueblo cliff-dwellers often perched their\nhabitations on lofty, sheer-walled, and not easily accessible mesas, a\nnatural vantage-ground from which they might successfully resist their\nenemies, the nomadic and predatory tribes formerly over-running the\ncountry.\n\n\"The steep wall of the Acoma Mesa, with its solitary trail, surmounted\nby means of hand and foot holes pecked in the solid rock, was so well\ndefended that a single man might keep an army at bay. What fear, then,\nshould these Acomas have of their enemies?\n\n\"The Acomas, like other Pueblo Indians, have from time immemorial been\ntillers of the soil.\n\n\"From the fertile sands of their valley and its tributaries they won by\npatient toil such harvests of corn, beans, squashes, and cotton as\nsecured them a simple livelihood; and 'their granaries,' it is asserted,\n'were always full enough to enable them, if need be, to withstand a\ntwelvemonth's siege.' How long the top of Katzimo, the site of the\nEnchanted Mesa, had been inhabited when the catastrophe recorded in the\nlegend befell, no man may say, not even the elders of the tribe; this\nmuch is, however, known,--the spring-time had come. The sun-priest had\nalready proclaimed from the housetops that the season of planting was at\nhand. The seeds from last year's harvest had been gathered from the\nbins; planting-sticks had been sharpened, and all made ready for the\nauspicious day when the seer should further announce the time of\nrepairing to the fields. On that day (so runs the tale), down the ragged\ntrail, at early sunrise, clambered the busy natives; every one who was\nable to force a planting-stick into the compact soil, or lithe enough to\ndrive away a robber crow, hurried to the planting. Only a few of the\naged and ailing remained on the mesa.\n\n\"While the planters worked in the hot glare of the valley below, the sun\nsuddenly hid his face in angry clouds. The busy planters hastened their\nwork, while the distant thunder muttered and rolled about them. Suddenly\nthe black dome above them was rent as by a glittering sword, and down\nswept the torrent, until the entire valley became a sheet of flood. The\nplanters sought shelter in the slight huts of boughs and sticks from\nwhich the crops are watched.\n\n\"The elders bodingly shook their heads. Never before had the heavens\ngiven vent to such a cataract.\n\n\"When the sudden clouds as suddenly dispersed, and the sun-lit crest of\nKatzimo emerged from the mist, the toilers trudged toward their mountain\nhome. Reaching the base of the trail, they found their pathway of the\nmorning blocked by huge, sharp-edged pieces of stone, giving mute\ntestimony of the disaster to the ladder-trail above.\n\n\"The huge rock mass, which had given access to the cleft by means of the\nholes pecked in the trail-path, had in the great cloud-burst become\nfreed from the friable wall, and thundered down in a thousand\nfragments, cutting off communication with the mesa village. The Acomas,\nwhen asked why their ancestors made no desperate effort to reach the\nsufferers whose feeble voices were calling to them from the summit for\nsuccor, but left their own flesh and blood to perish by slow starvation,\ngravely shook their heads.\n\n\"The ban of enchantment had already, for these superstitious pagans,\nfallen upon the devoted table-land; it had become 'La Mesa Encantada.'\n\n\"The publication by Mr. Charles F. Lummis, who resided for several years\nat the pueblo of Iselta, of the story of Katzimo, the tradition of which\nwas repeated to him by its gray-haired priests some twelve years ago,\naroused the interest of students of southwestern ethnology in the\nhistory of 'La Mesa Encantada,' and, subsequently, Mr. F. W. Hodge was\ndirected by the Bureau of American Ethnology, of the Smithsonian\nInstitute, to scale the difficult height of this giant mountain, for the\npurpose of supplementing the evidence already gained, of its sometime\noccupancy as a Pueblo town. His party found decided evidence of a former\noccupancy of the mesa, such as fragments of extremely ancient\nearthenware, a portion of a shell bracelet, parts of two grooved stone\naxes, lichen-flecked with age. Here, too, was an unfeathered\nprayer-stick, a melancholy reminder of a votive offering made, at the\nnearest point of accessibility, to 'Those Above.'\n\n\"'When I consider,' says Mr. Hodge, in his charming paper, 'The\nEnchanted Mesa,' published in the 'Century Magazine,' some three or\nfour years ago, 'that the summit of Katzimo, where the town was, has\nlong been inaccessible to the Indians, that it has been swept by winds,\nand washed by rains for centuries, until scarcely any soil is left on\nits crest, that well-defined traces of an ancient ladder trail may still\nbe seen pecked on the rocky wall of the very cleft through which the\ntraditionary pathway wound its course; and, above all, the large number\nof very ancient potsherds in the earthy talus about the base of the\nmesa, which must have been washed from above, the conclusion is\ninevitable that the summit of 'La Mesa Encantada' was inhabited prior to\n1540, when the present Acoma was discovered by Coronado, and that the\nlast vestige of the village itself has long been washed or blown over\nthe cliff.'\"\n\nWith this account of the Enchanted Mesa, Mr. Morehouse, amid general\napplause, ended his interesting paper on the Pueblo Indians; and after a\nshort discussion by the Club of the ancient and modern characteristics\nof these remarkable aborigines, the Koshare, well pleased with the\nsuccess of its endeavor to combine improvement with delight, adjourned\nto the next Monday in January.\n\nLittle dreamed Roger Smith as, that night, after the Club entertainment,\nhe handed the Hemmenshaw ladies to their wagon, for the return ride to\nHilton Ranch, that the very next week he was to undertake, on their\nbehalf, a hand-to-hand encounter with a blood-thirsty Apache. Yet so was\nit ordained of Fate.\n\nIt has already been stated that these ladies were but day-boarders at\nAlamo Ranch, occupying, together with Sholto, a Mexican\nman-of-all-work, the Hilton Ranch, a good mile distant from the\nboarding-house.\n\nLouise Hemmenshaw, usually in exuberant health, was ill with a severe\ninfluenza. It was the third and cumulative day of this disease. Sholto\nhad already been despatched to Brown's for the dinner; Miss Paulina had,\nin this emergency, undertaken to turn off the breakfasts and suppers\nfrom her chafing-dish.\n\nAfter replenishing, from the wood basket, the invalid's chamber fire,\nMiss Paulina administered her teaspoonful of bryonia, gave a settling\nshake to her pillow, and hurried down to fasten the back door behind\nSholto.\n\nLingering a moment at the kitchen window, the good lady put on her\nfar-off glasses for a good look across the mesa, stretching--an unbroken\nwaste of sage-brush and mesquite-bush--from the Hilton kitchen garden to\nthe distant line of the horizon.\n\nAs she quietly scanned the nearer prospect, Miss Paulina's heart made a\nsudden thump beneath her bodice, and quickened its pulses to fever-time;\nfor there, just within range of her vision, was the undoubted form of an\nApache savage, clad airily in breech-clout, and Navajo blanket. Skulking\nwarily along the mesa, he gained the garden fence and sprang, at a\nbound, over the low paling. For a moment the watcher stood paralyzed\nwith wonder and dismay.\n\nMeantime, under cover of a rose-trellis, the Apache, looking bad enough\nand cunning enough for any outrage, coolly made a reconnoisance of the\npremises. This done, still on all-fours, he gained the bulkhead of the\nsmall dark vegetable cellar beneath the kitchen. It chanced to have been\ninadvertently left open.\n\nWith a satisfied grunt (and eschewing the paltry convenience of steps)\nhe bounded at once into its dusky depths.\n\nSummoning her failing courage, this \"Daughter of the Revolution\"\nresolutely tiptoed out the front door, and, with her heart in her mouth,\nwhisking round the corner of the devoted house, shot into place the\nstout outside bolt of the bulkhead door.\n\nThis feat accomplished, she made haste to gain the safe shelter of the\nadobe dwelling. She next looked well to the bolt fastening the trap-door\nat the head of the ladder-like stairway leading perilously from the\nkitchen to the dim region below, where the Apache might now be heard\nbumping his head against the floor-planks, in a fruitless endeavor to\ndiscover some outlet, from this underground apartment, to the family\ncircle above. With the frightful possibility of a not distant escape of\nher prisoner, the good lady lifted her heart in silent prayer, and\nhurrying promptly to the chamber of her niece, gave a saving punch to\nthe fire, a glass of port wine to the invalid, and, feigning an\nappearance of unconcern, left the room, and slipped cautiously down to\nthe kitchen. Here she dragged an ironing-table, a clothes-horse, and a\nwood-box on to the trap-door, and breathlessly waited for the Apache's\nnext move.\n\nAnd now, a step might be heard on the driveway, followed by a rap at the\nfront door.\n\nPrudently scanning her visitor through the sidelight, and assuring\nherself that he was no breech-clouted savage, but a fellow white man,\nMiss Paulina let in through the narrowest of openings,--who but their\nfriend the Harvard man! \"Dear soul!\" tearfully exclaimed the good lady,\nwhile Roger Smith stood in mute wonder at the warmth of her greeting.\n\nIt was but the work of a moment to explain the situation and acquaint\nhim with the peril of the moment.\n\nSholto, at his leisurely Mexican pace, now opportunely appeared at the\nback door with the hot dinner.\n\n\"There is a time for all things,\" said the \"president of Chapter 18th,\"\nas (having pulled the bewildered Mexican inside) she vigorously shot the\ndoor-bolt in place, deposited the smoking viands on the sideboard, and\nthus addressed him. \"Sholto,\" said Miss Paulina, \"I have an Apache here\nin the cellar. For the time being his ability to work us harm is\nlimited; but an Apache is never nice to have round; and, besides, he\nmust have terribly bumped himself poking round there all this time in\nthe dark. One would not unnecessarily hurt even a savage. We must\ntherefore let him up, bind him fast, and take measures for delivering\nhim to the police at Las Cruces. Here is a clothes-line: it is good and\nstrong; make up a lasso, and when I open the trap-door, as his head bobs\nin sight, throw it, and then help Mr. Smith haul him out, and tie him.\"\n\nSholto's lasso was soon in working order. The trap-door once raised, the\nhead of the unsuspecting savage flew up like a Jack in a box, and with\nsuch a rubber-like bound that Sholto's lasso went wide of the mark. In\nthis dilemma, a scientific blow from the fist of a Harvard athlete\ndeftly floored him, and, in the consequent lapse of consciousness, he\nwas easily bound, and safely deposited in the bottom of the Hilton\nexpress wagon. This accomplished, Sholto and the Harvard man summarily\ntook the road for Las Cruces, some four miles distant. The horse and his\ndriver being in absolute accord as to the ratio of miles proper to the\nhour, the captors drove leisurely along; the Harvard man meantime\nrelieving the slow monotony of the way, with incident and anecdote, and\nSholto, in turn, imparting much interesting New-Mexican information.\n\nPresently a faint stir, as of the quiet, persistent nibbling of a mouse\nin the wall, might (but for the talking) have been heard from the bottom\nof the wagon. \"Poor beggar!\" said the Harvard man, at last recalling to\nmind the captive Apache; \"he must, by this time, be about ready to come\nto.\" And taking from his over-coat pocket a tiny flask of brandy, he\nturned on his seat with the humane intention of aiding nature in\nbringing about that restoration. \"Gone! clean gone! by George!\"\nexclaimed the astonished athlete. The cunning savage had, with his\nsharp, strong teeth, actually gnawed through his wrist cords, and, with\ntooth and nail extricating himself from the knotted clothes-line, was\nalready on his return from the unsatisfactory husks of Mesilla Valley,\nto the fatted veal of the U. S. government, in his father's house,--\"The\nReservation.\" \"_They are fleet steeds that follow!_\" quoted the Harvard\nman as the jubilant Apache, with flying heels, loomed tantalizingly on\nthe distant plain. The startled cotton-tail, swept by \"the wind of his\ngoing,\" scurried breathlessly to his desert fastnesses among the\nsage-brush and mesquite.\n\nWith a humorous glance at his fast-vanishing form, the Harvard man\nmeasured with his eye the intervening distance, the speed of the escaped\ncaptive, and the pace of the propeller of the Hilton express, and\ngracefully accepted the situation. Sholto lazily turned the horse's\nhead, and in process of time the discomfited captors of Miss Paulina's\nApache--like John Gilpin--\n\n    \"Where they did get up\n     Did get down again.\"\n\nMeantime, Miss Hemmenshaw brought up the mid-day meal.\n\n\"Auntie,\" said the invalid, \"this feverish cold puts queer fancies in my\nhead. While you were away, I must have taken a little nap, and when I\nawoke there seemed to be some sort of a rumpus going on below; after\nwhich I fancied that a team started away from the back door. It could\nnot have been Sholto's; for he would be coming from Brown's about that\nhour with our dinner.\"\n\n\"It may have been just a part of your dream, dear,\" pacified the aunt;\n\"but come, now, here is our dinner. Let us have it together. A\nwonderfully nice dinner Mrs. Brown has sent us, too, and you can\nventure to-day on a quail, and a bit of orange pudding. For myself, I am\nas hungry as a bear;\" and, removing the books from the oval bedroom\ntable, Miss Paulina laid the cloth, set out the dishes and glasses, and\ndaintily arranged the viands, which the two ladies discussed with\nevident relish.\n\n\"And now,\" said the aunt, \"since you have dined, and have something to\nbrace you up, I will 'tell my experience;'\" and forthwith she related to\nthe astonished Louise the adventure of the morning. The good lady had\nbut accomplished her exciting account, when the valiant captors of the\nApache drove up.\n\nMiss Paulina, with the concentrated importance of her entire \"Chapter,\"\nmet and opened the door to her hero.\n\n\"Well?\" asked she of the crestfallen athlete.\n\n\"No: ill!\" replied he; \"the Apache never reached Las Cruces. He managed\nto unbind himself, and slipped from our hands by the way. The\nclothes-line has come back safe; but the savage is, long ere this, well\non his road to the Mescalero Reservation.\"\n\n\"Well,\" said Miss Paulina, judicially, \"I can't say that I'm sorry. The\ncreature had a rough time bumping about that low, dark cellar; and your\nblow on his head was a tough one. And when one considers the\nslip-shodness of things at Las Cruces, and the possible insecurity of\ntheir jail, _we_, on the whole, are the safer for his escape; and _he_\nwill, of course, feel more at home now in the Reservation, and will\nprobably remain there for a while, after the fright we gave him.\"\n\nThus reassured, the Harvard man accepted Miss Hemmenshaw's invitation to\nstay to supper. And presently the convalescing invalid came down to\nexpress her thanks for his devoir of the morning. Reclining on the\nparlor lounge, in a cream-white tea gown, she looked so lovely that a\nman might well have dared a whole tribe of savages in her defence. By\nand by they had a quiet game of chess. It goes without saying that the\nlady won. There _might_ be men hard-hearted enough to beat Louise\nHemmenshaw at chess. The Harvard man was not _of_ them.\n\nSo slipped away this happy afternoon; and, at sunset Sholto appeared\nwith the tea equipage, and the young people covertly made merry over a\nchafing-dish mess achieved by the Cooking School pupil; and under cover\nof rarebit, water-biscuit, and cups of Russian tea, the Harvard man made\nhay for himself in this bit of sunshine, and grew in favor with both\naunt and niece.\n\nWith Miss Paulina Hemmenshaw, true to her aristocratic birth and\nbreeding, pedigree far out-weighed filthy lucre. To be well born was, in\nher estimation, to be truly acceptable to gods and men.\n\nRoger Smith, with his plebeian surname and unillustrious \"tanner\"\ngrandfather, was by no means a suitable husband for her motherless\nniece, to whom, as the head of her brother's household, she had for\nyears filled a parent's place. Louise Hemmenshaw, as the good lady\nshrewdly guessed, was the magnet that drew this undeclared lover to\nMesilla Valley. During the preceding winter they had met at many social\nfunctions in Boston and Cambridge, and he had become the willing captive\nof her bow and spear. He had never told his love.\n\nThe social discrepancy between the lovely aristocrat and Roger--the\ngrandson of Roger the Tanner--was too wide to be easily overstepped.\n\nOstensibly the Harvard man had come to New Mexico to recruit his spent\nenergies; but in his heart of hearts he knew that dearer than health was\nthe hope of winning the heart of Louise Hemmenshaw. Already his native\nrefinement and charm of manner had commended him to Miss Paulina; and\nnow, his prowess in the day's adventure had made her, for good and all,\nhis warm friend. As to her niece, he told himself, as, that night, by\nthe light of a low moon, he took his way to Alamo Ranch, recalling the\ntender pressure of the invalid's white hand, when, with a rosy blush,\nshe bade him good-night, that in his wooing he had to-day \"scored one;\"\nand with the confident egotism of presumptuous mortals, when events play\nunexpectedly into their hands, he decided that Fate had prearranged this\ntimely call of his on the Hemmenshaws, and had timed the arrival of the\nApache at that opportune hour, with an especial view to the fulfilment\nof his own cherished wishes.\n\n\n\n\nCHAPTER VI\n\n\nAnother two weeks of lighter Koshare festivities had again brought round\nthe more solid fortnightly entertainment of the Club.\n\nIts members duly assembled, the president in his chair, and the\nsecretary at attention, Mr. Morehouse thus began his second paper.\n\n\"Before Texas,\" said he, \"became a part of an independent republic, and\nuntil after the Mexican war (when we forced Mexico to sell us all\nCalifornia, New Mexico, and Arizona, nearly all of Utah and Nevada,\nbesides Texas, and the greater part of Colorado), Mexico proper reached\nway up here; and it is thought by some archaeologists that the mesas or\ntable-mountain land especially characterizing the New Mexican landscape\nmay have afforded the suggestion for the Teocallis of the great\npyramid-like mounds, with terraced sides, built by the Aztecs. Some\nscholars have even convinced themselves that the Aztec culture must have\noriginated here in the North. Others wholly discard the conclusion.\n\n\"Mr. Baxter, in his valuable and interesting book of Mexican travel,\nsays, decidedly, 'The New Mexican Indians were not Aztecs, and Montezuma\nhad no more to do with New Mexico than he did with New England.' And\nwith this assertion I think we must all, perforce, agree.\n\n\"Of the Toltecs, the probable predecessors in Mexico of the Aztecs, all\nwritten records,\" said the Antiquary, \"have long since perished. They\nare known to us only through traditionary legends orally handed down by\nthe races that succeeded them.\n\n\"They are said to have entered the Valley of Anahnac from a northerly\ndirection, coming from a mysterious unknown region, and probably before\nthe close of the seventh century. They appear to have been a far more\ngentle and refined nation than their immediate successors, the\nhalf-savage Aztecs, who, at last, with their semi-civilization,\ndominated Mexico. By general archaeological agreement, the Toltecs were\nwell instructed in agriculture, and many of the most useful mechanic\narts.\n\n\"'They were,' declares Prescott, 'nice workers in metals.' They invented\nthe complex arrangement of time adopted by the Aztecs, who are said to\nhave been largely indebted to them for the beginnings of that\nincongruous civilization which reached its high-water mark in the reign\nof the Montezumas. So late as the time of the Spanish Conquest the\nremains of extensive Toltec buildings were to be found in Mexico.\n\n\"'The noble ruins of religious and other edifices,' says the same\nwriter, 'still to be seen in Mexico, are referred to this people, whose\nname, _Toltec_, has passed into a synonym for _Architect_.'\n\n\"After a period of four centuries--having succumbed to famine,\npestilence, and unsuccessful wars--this remarkable people disappeared\nfrom the land as silently and mysteriously as they had entered it. It\nis conjectured that some of them may have spread over the region of\nCentral America and the neighboring isles; and that the majestic ruins\nof Mitla and Paleque are the work of this vanished race. Tradition\naffirms that a remnant of Toltecs still lingering in Anahnac 'gave\npoints' to the next inhabitants; and the Tezcucans are thought to have\nderived their gentle manners and comparatively mild religion from the\nhandful of Toltecs who still remained in the country. A Spanish priest,\nwith that keen relish for the marvellous common to his kind, accounts\nfor this mysterious disappearance by supernatural stories of giants and\ndemons.\n\n\"According to good authorities, more than a hundred years elapsed\nbetween the strange disappearance of the Toltecs from the land of\nAnahnac and the arrival on its borders of the Aztecs.\n\n\"After the nomadic fashion of barbarous races, this people did not at\nonce make a permanent settlement, but pitched their tents in various\nparts of the Mexican valley, enduring many casualties and hardships, and\nbeing at one time enslaved by a more powerful tribe, whom their prowess\nsubsequently dominated.\n\n\"Some of these wanderings and adventures are perpetuated in their oral\ntraditional lore.\n\n\"One of these legends is well substantiated, and current at this day,\nhaving been the origin of the device of the eagle and cactus, which form\nthe arms of the present Mexican republic, and may be found on the face\nof the Mexican silver dollar. Thus it runs: 'Having in 1325 halted on\nthe southwestern borders of the larger Mexican lakes, the Aztecs there\nbeheld, perched on the stem of a prickly pear, which shot out from a\ncrevice of a rock that was washed by the waves, a royal eagle of\nextraordinary size and beauty, with a serpent in his talons, and his\nbroad wings open to the rising sun.\n\n\"'They hailed the auspicious omen, which the oracle announced as an\nindication of the site of their future city.'\n\n\"The low marshes were then half buried in water; yet, nothing daunted,\nthey at once proceeded to lay the sloppy foundation of their capital, by\nsinking piles into the shallows. On these they erected the light\ndwelling-fabrics of reeds and rushes,--the frail beginnings of that\nsolid Aztec architecture carried to such elegant elaboration in the time\nof the Montezumas. In token of its miraculous origin they called their\ncity Tenochtitlan. Later it was known as Mexico, a name derived from the\nAztec war-god, Mexitil.\n\n\"It has been shown that the Aztec race, once permanently established in\nMexico, finally attained to a civilization far in advance of the other\nwandering tribes of North America.\n\n\"'The degree of civilization which they had reached,' says Prescott, 'as\ninferred by their political institutions, may be considered not far\nshort of that enjoyed by our Saxon ancestors under Alfred. In respect to\nthe nature of it, they may better be compared to the Egyptians; and the\nexamination of their social relations and culture may suggest still\nstronger points of resemblance to that ancient people.\n\n\"'Their civilization,' he goes on to say, 'was, at the first, of the\nhardy character which belongs to the wilderness. The fierce virtues of\nthe Aztec were all his own. They refused to submit to European\nculture--to be engrafted on a foreign stock. They gradually increased in\nnumbers, made marked improvements both in polity and military\ndiscipline, and ultimately established a reputation for courage as well\nas cruelty in war which made their name terrible throughout the valley.'\nIn the early part of the fifteenth century--nearly a hundred years after\nthe foundation of the city--that remarkable league--of which it has been\naffirmed that 'it has no parallel in history'--was formed between the\nstates of Mexico and Tezcuco, and the neighboring little kingdom of\nTlacopan, by which they agreed mutually to support each other in their\nwars, offensive and defensive, and that in the distribution of the spoil\none-fifth should be assigned to Tlacopan and the remainder be\ndivided--in what proportions is uncertain--between the two other powers.\n\n\"What is considered more remarkable than the treaty itself, however, is\nthe fidelity with which it was kept.\n\n\"During a century of uninterrupted warfare that ensued no instance, it\nis declared, occurred in which the parties quarrelled over the\ndistribution of the spoil. By the middle of the fifteenth century the\nallies, overleaping the rocky ramparts of their own valley, found wider\noccupation for their army, and under the first Montezuma, year after\nyear saw their return to the Mexican capital, loaded with the spoils of\nconquered cities, and with throngs of devoted captives.\n\n\"No State was able long to resist the accumulated strength of the\nconfederates; and at the beginning of the sixteenth century, on the\narrival of the Spaniards, the Aztec dominion reached across the\ncontinent, from the Atlantic to the Pacific.\"\n\nHere Mr. Morehouse ended his paper on the Toltecs, and the Koshare, with\nmany thanks for his interesting account of these ancient races,\nsupplemented his information by a general discussion of the genuineness\nof the accepted authorities for the early history of the Aztecs and of\nthe time of Montezuma.\n\n\"Prescott,\" said the Minister, \"traces some points of resemblance\nbetween the history of the Aztecs and that of the ancient Romans;\nespecially in polity and military success does he compare them.\"\n\n\"Unfortunately,\" observed the Antiquary, \"the earlier records of the\nMexican people can only be scantily gleaned from oral tradition and\nhiero-graphical paintings.\"\n\n\"Later, however,\" remarked the Journalist, \"we have the seemingly more\ndefinite and reliable accounts of the Spanish chronicles.\"\n\n\"These,\" returned the Minister, \"being usually ecclesiastic, have warped\ntheir record to suit their own bigoted views; consequently, much of the\nnarrative popularly known as Mexican history is to be taken with more\nthan the proverbial pinch of salt.\"\n\n\"It has,\" said the Journalist, \"been urged by realistic critics of our\nown fascinating historian--Prescott--that since he drew his historic\ndata, with the exception of the military record of the Spaniards, from\nthese unreliable sources, his history is little other than the merest\nromance. Plainly, the assertions of some of the chroniclers are scarce\nmore worthy of credence than the equally fascinating adventures of\nSinbad the Sailor, and the impossible stories of Baron Munchausen.\n'Bernard Diaz'--that enigmatical personage from whom many of Prescott's\ndata are drawn--tells us that the Aztecs actually fattened men and women\nin cages, like spring chickens, for their sacrifice, and asserts that at\nthe dedication of one of their temples a procession of captives two\nmiles long, and numbering seventy-two thousand persons, were led to\nsacrifice! By the way, it has, however, been latterly proved that the\nso-called sacrificial stone, now exhibited in the National Museum of\nMexico, is not a relic of the Aztecs, but of the earlier Toltecs (who\nwere not addicted to human sacrifice), and is as innocent of human blood\nas the Calendar Stone, referred to the same period. The critics of Diaz\nhave detected in his account constant blunders in many important\nmatters, and his glaring geographical errors would seem to prove that,\nthough he claims to have been, all through the Conquest, the very shadow\nof Hernando Cortez, he has never even been in the country he describes!\"\n\n\"From what I have read of Bernald,\" said Leon, \"I think we may finish\nhim off with 'Betsy Prig's' very conclusive objection to Sairey Gamp's\n'Mrs. Harris'--there ain't no sich person!\"\n\n\"Even so,\" exclaimed the Minister, \"I, for one, agree with certain\ndownright critics who contend that Diaz was a pure fabrication, a\npriestly scheme of the Roman Church to screen the cruel enormities of\ntheir agent, Cortez. Father Torquemada, another of Prescott's\nauthorities, is thought to be scarcely more reliable. Las Casas, another\nof our historian authorities, whose history was, at the time, promptly\nsuppressed by the all-powerful Inquisition, declares these Spanish\nhistories of the Conquest to be 'wicked and false.'\"\n\n\"And yet, in spite of these strictures,\" contended Leon, \"I, for one,\nstill pin my faith to Prescott and his implicit honesty of purpose. He\ngave us, in his own learned and fascinating way, the narrative of these\npriestly chroniclers as he found it. If the chroniclers lied, why, so\nmuch the worse for the chroniclers.\"\n\n\"Lying,\" complained the Grumbler, \"is a malady most incident to\nhistorians;\" and thereupon rose to open the parlor door for the\ngray-eyed school teacher, who just then bade the Koshare good-night,\nadding that she had already been too long away from her sister.\n\nAnd now the chairman announced the next paper in the Koshare course for\nthe second Saturday in February, and the members, one and all,\ndispersed.\n\nSholto, roused from a most enjoyable series of naps, brought his wagon\nto the side door, and with a friendly grasp from the hand of Miss\nPaulina, and a shy, tremulous clasp from that of her niece, the Harvard\nman saw the ladies off.\n\n\n\n\nCHAPTER VII\n\n\nFebruary had come, bringing in its train such weather as verified the\nwarmest praise of New Mexico's perfect climate.\n\nIt was on one of its most spring-like afternoons that a walking party of\neight set out to pay a long-proposed visit to the ladies at Hilton\nRanch.\n\nAs the little party went gayly along the mesa, Leon, carrying his gun,\nshot doves for the evening meal, while the rest walked on, chatting\nmerrily.\n\nThe ladies talking over, by the way, the late attempt of the Apache on\nHilton Ranch, Mrs. Bixbee declared herself curious to see the cellar in\nwhich Miss Paulina had caught that prowling savage. On their arrival\nthat good lady, informed of this desire, kindly proceeded to gratify her\nguest, and the entire party was presently led by her to the kitchen, the\nhero of this adventure modestly walking beside the fair lady of his\nlove. Sholto, busied about the place, was just then out of call, and\nMiss Hemmenshaw, intent to afford them a peep into the cellar, begged\nthe Harvard man to raise for her the heavy trap-door.\n\nThe dear lady never quite knew how it was that, leaning forward, she\nlost her balance, and, but for the prompt help of Roger Smith, might\nhave landed, pell-mell, on the cellar bottom; or how, in rescuing her,\nhe himself made the misstep that, ere he could recover his poise, threw\nhim to the end of the ladder-like cellar stairs.\n\nRecovering breath, Roger Smith cheerily called up to the affrighted\ngroup at the top, \"All right!\" but, on pulling himself together to make\nthe ascent, he suddenly found all wrong. He had sprained his ankle; and\nit was with painful effort that he won to the top. At this juncture\nSholto, aroused by the unwonted rumpus, made his appearance,\nanticipating no less a disaster than the reappearance of the slippery\nsavage, for whom he still held the lasso \"in pickle.\" Disabled by the\nsprain, the Harvard man submitted himself to the stout arms of the\nMexican, and, by Miss Paulina's direction, was carried into the bedroom\nadjoining the ranch parlor.\n\nThere, laid upon a movable couch which served the double purpose of sofa\nand bed, Sholto having, not without difficulty, removed his boot and\nstocking, he submitted the swollen foot to the careful inspection of\nMiss Hemmenshaw, who, with a steadiness of nerve not unworthy of her\n\"Chapter,\" put the dislocated joint in place, bandaged the injured\nmember with arnica, administered an internal dose of the same\nrestorative, and duly followed it with a glass of old Port. This done,\nSholto wheeled the sufferer's couch into the adjoining parlor. Half an\nhour later Leon came in with a well-filled game-bag; and after an hour\nof mild Koshare merriment, in which the athlete but feebly joined (the\npain of his ankle was still terrible), the little party took its way, in\nthe fading sunlight, to Alamo Ranch. Miss Paulina, having promptly\ndecided that her patient was unequal to the return by way of the jolting\nHilton express team, sent to Mrs. Brown an order for supper for her\nguest, Louise, and herself. It was duly conveyed to Hilton's by an Alamo\nchore-boy. Sholto, as the sole male dependence of Hilton's, must stick\nto his post; for, sagely observed the \"Daughter of the Revolution,\" two\nwomen, heroic though they might be, were no match for an Apache\nmarauder; and as for poor Roger Smith, he could now neither \"fight\" nor\n\"run away.\"\n\nSholto lighted the lamps, laid the supper on the low Queen Anne table,\nadded fresh water from the spring, and when a pot of tea had been made\nby the hostess' own careful hand, and Sholto had wheeled up the couch of\nthe invalid, that he might take his supper _a la Roman_, the three made\na cheery meal.\n\nWhen the man had removed the supper things, and piled fresh wood on the\nandirons, the ladies brought their work-baskets; and while they busied\nthemselves with doily and centre-piece, the Harvard man, lying in the\ncomfort of partial relief from pain, watched the dainty fingers of\nLouise Hemmenshaw as she bent industriously over her embroidery, and\nfell fathoms deeper in love with the dear and beautiful girl.\n\nRoger Smith stayed on at Hilton Ranch, where, thrown day after day in\nsemi-helplessness on the kind attendance of Miss Paulina and the sweet\nsociety of her niece, he (I grieve to say) fell a ready prey to the\nsuggestions of a certain wily personage who (according to Dr. Watts)\nfinds employment for idle hands, and thus conceived the wickedness of\ncunningly using this accident to further his own personal ends. Thus\ndevil-tempted, this hitherto upright young person resolved that it\nshould be a long day before his sprained ankle should permit him to\nreturn to Brown's, and lose this precious opportunity of establishing\nhimself in the good graces of the aunt, and winning the love of the\nniece.\n\nFar from approving the crooked policy which led Roger Smith to feign\nlameness long after the injured ankle had become as sound as ever, the\npresent historian can only, in view of this lapse from integrity, affirm\nwith Widow Bedott that \"we're poor creeturs!\" and, with that\ndepreciative view of humanity, go on with this truthful narrative.\n\nA whole delicious month had been passed by the Harvard man in this\nparadise,--Elysian days, while, waited on by Sholto, petted by Miss\nPaulina, and companioned by the loveliest of houris, he dreamed out his\ndream.\n\nAt last, on a certain decisive evening, Roger Smith found himself alone\nin the gloaming with Louise Hemmenshaw. The aunt, who through all these\nweeks had zealously chaperoned her niece, had passed into the\ndining-room to evolve some chafing-dish delicacy for the evening meal.\nWithout, the setting sun flooded all the west with gold, touched the\ndistant mountain peaks with splendor, and threw a parting veil of glory\nover the wide mesa. Within, the firelight made dancing shadows on the\nparlor wall, where the pair sat together in that eloquent silence so\ndear to love. \"Well,\" said the athlete to himself (compunctiously\nglancing at his superfluous crutches, left within easy reach of his\nhand), \"this performance can't go on forever. I have made believe about\nlong enough; what better may I do than own up this very night, and\nsomehow bring this base deceit to an end.\"\n\nMentally rehearsing the formula, in which, over and over, he had asked\nthe hand of this beautiful aristocrat, his mind still sorely misgave\nhim. \"Why,\" thought this depressed lover, \"was not my name Winthrop,\nEndicott, or Sturgis, instead of Smith; and my grandfather a senator, a\njudge, or even a stockbroker, rather than a tanner?\"\n\nNeither Miss Paulina nor her brother, he discouragedly mused, would ever\ncountenance this unequal match. His millions would with them weigh\nnothing against \"the claims of long descent.\"\n\nThe sun had gone down, the after-glow had faded to gray. They were still\nalone. The firelight half revealed the lovely figure beside the hearth.\nIn that gown of golden-brown velvet, with the creamy old lace at wrists\nand throat, the brown hair combed smoothly from the white forehead,\nknotted behind and fastened with a quaint arrow of Etruscan gold, Louise\nHemmenshaw was simply adorable! It was indeed good to be here; and why\nshould not a life so sweet and satisfying go on indefinitely?\n\n\"It is four weeks to-day since I fell down cellar,\"--such was the\ncommonplace beginning to this much considered tale of love.\n\n\"Really?\" said the lady, looking innocently up from an absorbed\ncontemplation of the fender. \"It has not seemed so long. I never before\nrealized what a serious thing it is to sprain one's ankle. You have been\na most patient sufferer, Mr. Smith; and, indeed, for the past two weeks,\na most jolly one. Aunt Paulina was saying to-day that it was high time\nwe all went back to Alamo for our meals, and helped out the Koshare\ndoings of the Club.\"\n\n\"Dear Miss Hemmenshaw,\" here blurted out the culprit, \"do not despise me\nfor my meanness, since it is all for love of you that I have been\nshamming lameness. For these last two weeks I could at any time have\nwalked as well as ever.\" And, hereupon, without the slightest reference\nto his crutches, he rose from his chair and skipped over to her side. \"A\nsprain,\" explained this audacious lover, \"may be cured in a fortnight,\nbut it takes a good month to woo and win a fair lady. Having soon after\nmy accident decided that point, I have done my best. Tell me, dear\nLouise,\" pleaded he, \"that my time has been well spent. Say that,\ndeceitful ingrate though I am, you will take me, for good and all.\"\n\n\"Roger Smith,\" replied the lady, with much severity, \"you have repaid\nthe devoted care of two unsuspecting females by a whole fortnight of\nwilful duplicity. For my aunt I cannot answer; for myself, I can only\nreply,--since to err is human; to forgive, womanlike,--dear Roger, on\nthe whole, I will.\"\n\nMiss Paulina, a moment later entering the parlor, surprised her invalid\nguest, standing crutchless on his firm feet, with his arm thrown about\nthe waist of her niece. \"Well, well!\" exclaimed the astonished lady,\n\"and without his crutches!\"\n\n\"Dear Miss Paulina,\" said Roger Smith with a happy laugh, \"my ankle is\nas well as ever; and your niece has promised to marry me. Say that you\nwill have me for your nephew.\"\n\n\"I seem already to have gotten you, my good sir, whether I will or no,\"\nlaughed Miss Hemmenshaw. \"But, my stars and garters\" (mentally added\nshe), \"what ever will my brother say? A tanner's grandson coming into\nthe family! and he a Hemmenshaw, and as proud as Lucifer!\" \"Never mind,\nAuntie dear,\" said the smiling fiancee, guessing her thoughts. It will\nbe all right with father when he comes to know Roger; and besides, let\nus remember that under the 'Star Spangled Banner' we have our\n'Vanderbilts,' our 'Goulds,' and our 'Rockefellers;' but _no_ Vere de\nVeres. And if we _had_, why, Love laughs at heraldry, and is\n\n    \"'Its own great loveliness alway.'\"\n\n\"To-morrow,\" said Miss Paulina decisively, \"we will all dine at Alamo\nRanch.\"\n\n\n\n\nCHAPTER VIII\n\n\nThrough this month of wooing and betrothing at Hilton Ranch, the\nKoshare, at Alamo, never once remitted its endeavor to hearten the\ndespondent.\n\nThe weekly entertainments took their regular course, and were\nsuccessfully carried on, and, in due time, the fortnightly club convened\nto listen to the Antiquary's account of \"Montezuma and his Time.\"\n\nAnd here the Koshare chronicle returns on its track to record that able\npaper.\n\n\"As a consistent Koshare,\" said Mr. Morehouse, to his eager listeners,\n\"it behooves me to give--without that dry adherence to facts observed by\nthe 'Gradgrind' historian--the charming melodramatic details of that\nromantic monarch's life and times afforded by the popular\nMunchausen-like data of the Spanish chroniclers, albeit they have in\ntheir entirety, all the fascination, and, sometimes, all the\nunbelievableness of a fairy tale.\n\n\"The Aztec government,\" prefaced the Antiquary, \"was an elective\nmonarchy, the choice always restricted to the royal family.\n\n\"The candidate usually preferred must have distinguished himself in war;\nthough, if (as in the case of the last Montezuma) he was a member of the\npriesthood, the royal-born priest, no less than the warrior was, with\nthe Aztec, available as an emperor.\n\n\"When the nobles by whom Montezuma the Second was made monarch went to\ninform the candidate of the result of the election, they are said to\nhave found him sweeping the court of the temple to which he had\ndedicated himself. It is further asserted that when they led him to the\npalace to proclaim him king, he demurred, declaring himself unworthy the\nhonor conferred on him. It is a humiliating proof of the weakness of\nhuman nature in face of temptation, to find that, later, this pious king\nso far forswore his humility as to pose before his subjects as a god;\nthat five or six hundred nobles in waiting were ordered to attend daily\nat his morning toilet, only daring to appear before him with bared feet.\n\n\"It was not until, by a victorious campaign, he had obtained a\nsufficient number of captives to furnish victims for the bloody rites\nwhich Aztec superstition demanded to grace his inauguration,\nthat--amidst that horrible pomp of human sacrifice which stained the\ncivilization of his people--Montezuma was crowned.\n\n\"The Mexican crown of that day is described as resembling a mitre in\nform, and curiously ornamented with gold, gems, and feathers.\n\n\"The Aztec princes, especially towards the close of the dynasty, lived\nin a barbaric Oriental pomp, of which Montezuma was the most conspicuous\nexample in the history of the nation.\n\n\"Elevation, like wine, seems to have gone to the head of the second\nMontezuma.\n\n\"An account of his domestic establishment reads like the veriest record\nof midsummer madness. Four hundred young nobles, we are told, waited on\nthe royal table, setting the covers, in their turn, before the monarch,\nand immediately retiring, as even his courtiers might not see Montezuma\neat. Having drunk from cups of gold and pearl, these costly goblets,\ntogether with the table utensils of the king, were distributed among his\ncourtiers. Cortez tells us that so many dishes were prepared for each\nmeal of this lordly epicure, that they filled a large hall; and that he\nhad a harem of a thousand women. His clothes, which were changed four\ntimes a day (like his table service), were never used a second time, but\nwere given as rewards of merit to nobles and soldiers who had\ndistinguished themselves in war. If it happened that he had to walk, a\ncarpet was spread along his way, lest his sacred feet should touch the\nground. His subjects were required, on his approach, to stop and close\ntheir eyes, that they might not be dazzled by his effulgent majesty. His\nostentatious humility gave place to an intolerable arrogance. He\ndisgusted his subjects by his haughty deportment, exacting from them the\nmost slavish homage, and alienating their affection by the imposition of\nthe grievous taxes demanded by the lavish expenditure of his court.\n\n\"In his first years Montezuma's record was, in many respects,\npraiseworthy. He led his armies in person. The Aztec banners were\ncarried far and wide, in the furthest province on the Gulf of Mexico,\nand the distant region of Nicaragua and Honduras. His expeditions were\ngenerally successful, and during his reign the limits of the empire\nwere more widely extended than at any preceding period.\n\n\"To the interior concerns of his kingdom he gave much attention,\nreforming the courts of justice, and carefully watching over the\nexecution of the laws, which he enforced with stern severity.\n\n\"Like the Arabian ruler,--Haroun Alraschid, of benign memory,--he\npatrolled the streets of his capital in disguise, to make personal\nacquaintance with the abuses in it. He liberally compensated all who\nserved him. He displayed great munificence in public enterprise,\nconstructing and embellishing the temples, bringing water into the\ncapital by a new channel, and establishing a retreat for invalid\nsoldiers in the city of Colhuacan.\n\n\"According to some writers of authority there were, in Montezuma's day,\nthirty great caciques, or nobles, who had their residence, at least a\npart of the year, in the capital.\n\n\"Each of these, it is asserted, could muster a hundred thousand vassals\non his estate. It would seem that such wild statements should be 'taken\nwith a pinch of salt.' All the same, it is clear, from the testimony of\nthe conquerors, that the country was occupied by numerous powerful\nchieftains, who lived like independent princes on their domains. It is\ncertain that there was a distinct class of nobles who held the most\nimportant offices near the person of their emperor.\n\n\"In Montezuma's time the Aztec religion reached its zenith. It is said\nto have had as exact and burdensome a ceremonial as ever existed in any\nnation. 'One,' observes Prescott, 'is struck with its apparent\nincongruity, as if some portion had emanated from a comparatively\nrefined people, open to gentle influences, while the rest breathes a\nspirit of unmitigated ferocity; which naturally suggests the idea of two\ndistinct sources, and authorizes the belief that the Aztecs had\ninherited from their predecessors a milder faith, on which was\nafterwards engrafted their own mythology.' The Aztecs, like the\nidolaters to whom Paul preached, declaring the 'Unknown God' of their\n'ignorant worship,' recognized a Supreme Creator and Lord of the\nUniverse.\n\n\"In their prayers they thus addressed him: 'The God by whom we live,\nthat knoweth all thoughts, and giveth all gifts;' but, as has been\nobserved, 'from the vastness of this conception their untutored minds\nsought relief in a plurality of inferior deities,--ministers who\nexecuted the creator's purposes, each, in his turn, presiding over the\nelements, the changes of the seasons, and the various affairs of man.'\nOf these there were thirteen principal deities, and more than two\nhundred inferior; to each of whom some special day or appropriate\nfestival was consecrated.\n\n\"Huitzilopotchli, a terrible and sanguinary monster, was the primal of\nthese; the patron deity of the nation. The forms of the Mexican idols\nwere quaint and eccentric, and were in the highest degree symbolical.\n\n\"The fantastic image of this god of the unpronounceable name was loaded\nwith costly ornaments; his temples were the most stately and august of\ntheir public edifices, and in every city of the empire his altars reeked\nwith the blood of human hecatombs.\n\n\"His name is compounded of two words, signifying 'humming-bird' and\n'left;' from his image having the feathers of this bird on his left\nfoot.\n\n\"Thus runs the tradition respecting this god's first appearance on\nearth: 'His mother, a devout person, one day, in her attendance on the\ntemple, saw a ball of bright- feathers floating in the air. She\ntook it and deposited it in her bosom, and, consequently, from her, the\ndread deity was in due time born.' He is fabled to have come into the\nworld (like the Greek goddess, Minerva) armed _cap-a-pie_ with spear and\nshield, and his head surmounted by a crest of green plumes.\n\n\"A far more admirable personage in their mythology was Quetzalcoatl, god\nof the air; his name signifies 'feathered serpent' and 'twin.' During\nhis beneficent residence on earth he is said to have instructed the\npeople in civil government, in the arts, and in agriculture. Under him\nit was that the earth brought forth flower and fruit without the fatigue\nof cultivation.\n\n\"Then it was that an ear of corn in two days became as much as a man\ncould carry; and the cotton, as it grew beneath his fostering smile,\ntook, of its own accord, the rich dyes of human art.\n\n\"In those halcyon days of Quetzalcoatl all the air was sweet with\nperfumes and musical with the singing of birds.\n\n\"Pursued by the wrath of a brother-god, from some mysterious cause\nunexplained by the fabler, this gracious deity was finally obliged to\nflee the country. On his way he is said to have stopped at Cholula,\nwhere the remains of a temple dedicated to his worship are still shown.\n\n\"On the shores of the Mexican Gulf Quetzalcoatl took leave of his\nfollowers, and promising that he and his descendants would revisit them\nhereafter, entered his 'Wizard Skiff,' and embarked on the great ocean\nfor the fabled land of Tlapallan.\n\n\"The Mexicans looked confidently for the second coming of this\nbenevolent deity, who is said to have been tall in stature, with a white\nskin, long, dark hair, and a flowing beard. Undoubtedly, this cherished\ntradition, as the chroniclers affirm, prepared the way for the reception\nof the Spanish conquerors.\n\n\"Long before the landing of the Spaniards in Mexico, rumors of the\nappearance of these men with fair complexions and flowing beards--so\nunlike their own physiognomy--had startled the superstitious Aztecs. The\nperiod for the return of Quetzalcoatl was now near at hand. The priestly\noracles were consulted; they are said to have declared, after much\ndeliberation, that the Spaniards, though not gods, were children of the\nSun; that they derived their strength from that luminary, and were only\nvulnerable when his beams were withdrawn; and they recommended attacking\nthem while buried in slumber. This childish advice, so contrary to Aztec\nmilitary usage, was reluctantly followed by these credulous warriors,\nand resulted in the defeat and bloody slaughter of nearly the whole\ndetachment.\n\n\"The conviction of the supernaturalism of the Spaniard is said to have\ngained ground by some uncommon natural occurrences, such as the\naccidental swell and overflow of a lake, the appearance of a comet, and\nconflagration of the great temple.\n\n\"We are told that Montezuma read in these prodigies special\nannunciations of Heaven that argued the speedy downfall of his empire.\n\n\"From this somewhat digressive account of the Aztec superstition, in\nregard to the 'second coming' of their beneficent tutelar divinity,\nwhich, as may be seen, played into the hands of Cortez, and furthered\nhis hostile designs upon Mexico, let us return to the time in Aztec\nhistory when no usurping white man had set foot upon Montezuma's\nterritory.\n\n\"We are told that this people, in their comparative ignorance of the\nmaterial universe, sought relief from the oppressive idea of the endless\nduration of time by breaking it up into distinct cycles, each of several\nthousand years' duration. At the end of each of these periods, by the\nagency of one of the elements, the human family, as they held, was to be\nswept from the earth, and the sun blotted out from the heavens, to be\nagain freshly rekindled. With later theologians, who have less excuse\nfor the unlovely superstition, they held that the wicked were to expiate\ntheir sins everlastingly in a place of horrible darkness. It was the\nwork of a (so-called) Christianity to add to the Aztec place of torment\nthe torture of perpetual fire and brimstone. The Aztec heaven, like the\nScandinavian Valhalla, was especially reserved for their heroes who fell\nin battle. To these privileged souls were added those slain in\nsacrifice. These fortunate elect of the Aztecs seem to have been\ndestined for a time to a somewhat lively immortality, as they at once\npassed into the presence of the Sun, whom they accompanied with songs\nand choral dances in his bright progress through the heavens. After\nyears of this stirring existence, these long-revolving spirits were\nkindly permitted to take breath; and thereafter it was theirs to animate\nthe clouds, to reincarnate in singing birds of beautiful plumage, and to\nrevel amidst the bloom and odors of the gardens of Paradise.\n\n\"Apart from this refined Elysium and a moderately comfortable hell, void\nof appliances for the torture of burning, the Aztecs had a third place\nof abode for immortals. Thither passed those 'o'er bad for blessing and\no'er good for banning,' who had but the merit of dying of certain\n(capriciously selected) diseases. These commonplace spirits were fabled\nto enjoy a negative existence of indolent contentment. 'The Aztec\npriests,' says Prescott, 'in this imperfect stage of civilization,\nendeavored to dazzle the imagination of this ignorant people with\nsuperstitious awe, and thus obtained an influence over the popular mind\nbeyond that which has probably existed in any other country, even in\nancient Egypt.'\n\n\"Time will not permit here a detailed account of this insidious\npriesthood; its labored and pompous ceremonial; its midnight prayers;\nits cruel penance (as the drawing of blood from the body by\nflagellation, or piercing of the flesh with the thorns of the aloe),\nakin to the absurd austerities of Roman Catholic fanaticism. The Aztec\npriest, unlike the Roman, was allowed to marry, and have a family of his\nown; and not _all_ the religious ceremonies imposed by him were austere.\nMany of them were of a light and cheerful complexion, such as national\nsongs and dances, in which women were allowed to join. There were, too,\ninnocent processions of children crowned with garlands, bearing to the\naltars of their gods offerings of fruit, ripened maize, and odoriferous\ngums. It was on these peaceful rites, derived from his milder and more\nrefined Toltec predecessors, that the fierce Aztec grafted the loathsome\nrite of human sacrifice.\n\n\"To what extent this abomination was carried cannot now be accurately\ndetermined. The priestly chroniclers, as has been shown, were not above\nthe meanness of making capital for the church, by exaggerating the\nenormities of the pagan dispensation. Scarcely any of these reporters\npretend to estimate the yearly human sacrifice throughout the empire at\nless than twenty thousand; and some carry the number as high as fifty\nthousand. A good Catholic bishop, writing a few years after the\nconquest, states in his letter that twenty thousand victims were yearly\nslaughtered in the capital. A lie is brought to absolute perfection when\nits author is able to believe it himself.\n\n\"Torquemada, another chronicler, often quoted by Prescott, turns this\ninto twenty thousand _infants_!\n\n\"These innocent creatures, he tells us, were generally bought by the\npriests from parents poor enough and superstitious enough to stifle the\npromptings of nature, and were, at seasons of drought, at the festival\nof Haloc, the insatiable god of the rain, offered up, borne to their\ndoom in open litters, dressed in festal robes, and decked with freshly\nblown flowers, their pathetic cries drowned in the wild chant of the\npriests. It is needless to add that this assumption has but the\nslightest groundwork of likelihood.\n\n\"Las Casas, before referred to, thus boldly declares: 'This is the\nestimate of brigands who wish to find an apology for their own\natrocities;' and loosely puts the victims at so low a rate as to make it\nclear that any specific number is the merest conjecture.\n\n\"Prescott, commenting on these fabulous statements, instances the\ndedication of the great temple of the 'Mexican War God' in 1486, when\nthe prisoners, for years reserved for the purpose, were said to have\nbeen ranged in files forming a procession nearly two miles long; when\nthe ceremony consumed, as averred, several days, and seventy thousand\ncaptives are declared to have perished at the shrine of this terrible\ndeity. In view of this statement, Prescott logically observes: 'Who can\nbelieve that so numerous a body would have suffered themselves to be led\nunresistingly, like sheep, to the slaughter? Or how could their remains,\ntoo great for consumption in the ordinary way, be disposed of without\nbreeding a pestilence in the capital? One fact,' he adds, 'may be\nconsidered certain. It was customary to preserve the skulls of the\nsacrificed in buildings appropriate to the purpose; and the companions\nof Cortez say they counted one hundred and thirty-six thousand skulls in\none of the edifices.'\n\n\"Religious ceremonials were arranged for the Aztec people by their\ncrafty and well-informed priesthood, and were generally typical of some\ncircumstances in the character or history of the deity who was the\nobject of them. That in honor of the god called by the Aztecs 'the soul\nof the world,' and depicted as a handsome man endowed with perpetual\nyouth, was one of their most important sacrifices. An account of this\nsanguinary performance is gravely given by Prescott and other writers.\nThough highly sensational and melodramatic, since our betters have found\nit believable, we transcribe it for the New Koshare; thus runs the\ntale:--\n\n\"'A year before the intended sacrifice, a captive, distinguished for his\npersonal beauty, and without a single blemish on his body, was selected\nto represent this deity. Certain tutors took charge of him, and\ninstructed him how to perform his new part with becoming grace and\ndignity. He was arrayed in a splendid dress, regaled with incense and\nwith a profusion of sweet-scented flowers, of which the ancient Mexicans\nwere as fond as are their descendants at the present day. When he went\nabroad he was attended by a train of the royal pages; and as he halted\nin the streets to play some favorite melody the crowd prostrated\nthemselves before him, and did him homage as the representative of their\ngood deity. In this way he led an easy, luxurious life until within a\nmonth of his sacrifice. Four beautiful girls were then given him as\nconcubines; and with these he continued to live in idle dalliance,\nfeasted at the banquets of the principal nobles, who paid him all the\nhonors of a divinity. At length the fatal day of sacrifice arrived. The\nterm of his short-lived glories was at an end.\n\n\"'He was stripped of his gaudy apparel, and bade adieu to the fair\npartners of his revelry. One of the royal barges transported him across\nthe lake to a temple which rose on its margin, about a league from the\ncity. Hither the inhabitants flocked to witness the consummation of the\nceremony. As the sad procession wound up the sides of the pyramid, the\nunhappy victim threw away his gay chaplets of flowers, and broke in\npieces the musical instruments with which he had solaced the hours of\nhis captivity.\n\n\"'On the summit he was received by six priests, whose long and matted\nlocks flowed disorderedly over their sable robes, covered with\nhieroglyphic scrolls of mystic import. They led him to the sacrificial\nstone, a huge block of jasper with its upper surface somewhat convex. On\nthis the prisoner was stretched. Five priests secured his head and\nlimbs, while the sixth, clad in a scarlet mantle, emblematic of his\nbloody office, dexterously opened the breast of the wretched victim with\na sharp razor of _itzli_ (a volcanic substance hard as flint), and,\ninserting his hand in the wound, tore out the palpitating heart. The\nminister of death, first holding the heart up towards the sun (also an\nobject of their worship) cast it at the feet of the god, while the\nmultitudes below prostrated themselves in humble adoration.'\n\n\"The tragic circumstances depicted in this sanguinary tale were used by\nthe priests to 'point a moral.' The immolation of this unhappy youth was\nexpounded to the people as a type of human destiny, which, brilliant in\nits beginning, often closes in sorrow and disaster.\n\n\"In this loathsome manner, if we may believe the account given, was the\nmangled body disposed of. It was delivered by the priests to the warrior\nwho had taken the captive in battle, and served up by him at an\nentertainment given to his friends.\n\n\"This, we are told, was no rude cannibal orgy, but a refined banquet,\nteeming with delicious beverages, and delicate viands prepared with\ndainty art, and was attended by guests of both sexes, and conducted with\nall the decorum of civilized life. Thus, in the Aztec religious\nceremonial, refinement and the extreme of barbarism met together.\n\n\"The Aztec nation had, at the time of the Conquest, many claims to the\ncharacter of a civilized community. The debasing influence of their\nreligious rites it was, however, that furnished the fanatical conquerors\nwith their best apology for the subjugation of this people. One-half\ncondones the excuses of the invaders, who with the cross in one hand and\nthe bloody sword in the other, justified their questionable deeds by the\nabolishment of human sacrifice.\n\n\"The oppressions of Montezuma, with the frequent insurrections of his\npeople,\" concluded the Antiquary, \"when in the latter part of his reign\none-half the forces of his empire are said to have been employed in\nsuppressing the commotions of the other, disgust at his arrogance, and\nhis outrageous fiscal exactions, reduced his subjects to that condition\nwhich made them an easy prey to Cortez, whose army at last overpowered\nthe emperor and swept the Aztec civilization from the face of the\nearth.\"\n\n\"I find it strange,\" said the Journalist (in the little talk that\nfollowed Mr. Morehouse's able paper), \"that civilized nations have held\nan idea so monstrous as the necessity of vicarious physical suffering of\na victim to appease the wrath of a divine being with the erring\ncreatures who, such as they are, are the work of his hands.\n\n\"That unenlightened races, from time immemorial, should have supposed\nthat the shedding of blood propitiated their angry god, or gods, is but\nthe natural outcome of ignorance and superstition; but, that in this\ntwentieth century, civilized worshippers should sing--\n\n    'There is a fountain filled with blood\n      Drawn from Immanuel's veins;\n    And sinners plunged beneath that flood\n      Lose all their guilty stains'--\n\npasses my understanding.\"\n\n\"In the ruins of Palenque there is,\" said the Antiquary, \"a scene\nportrayed on its crumbling walls, in which priests are immolating in a\nfurnace placed at the feet of an image of Saturn the choicest infants of\nthe nation, while a trumpeter enlivens the occasion with music, and in\nthe background a female spectator, supposed to be the mother of the\nvictim, looks on.\"\n\n\"The sacrifices to Moloch (or Saturn),\" interpolated the Minister, \"were\nmarked features of the Phoenician idolatry. In the Bible account we read\nthat even their kings 'made their children to pass through the fire to\nMoloch.'\"\n\n\"Well,\" commented the Grumbler, \"it may be said of a portion of this\nevening's entertainment that it is distinguished by the charm found by\n'Helen's' sanguinary-minded 'baby,' in the story of 'Goliath's\nhead,'--it is 'all bluggy.'\"\n\n\"Right you are,\" responded the star boarder with a shudder. \"Cold\nshivers have meandered along my poor back until it has become one\ndreadful block of ice; and, judging by the horror depicted on these\nladies' faces as they listened to the details of the Aztec sacrifice, I\nfancy that they too have supped o'er-full of horrors.\"\n\nThe Minister's eye rested for a moment affectionately on his stanch\nlittle wife. He sighed, and looked with mild rebuke on these godless\ntriflers.\n\nAnd now the Koshare (some of them stoutly orthodox) wisely put by the\nquestion of vicarious atonement, and summarily adjourned.\n\n\n\n\nCHAPTER IX\n\n\nIt was but the next week when, unexpectedly as thunderbolts now and then\nsurprise us on days of serene, unclouded sky, an unlooked-for domestic\ncalamity startled Alamo Ranch.\n\nDennis, the good-natured Irish waiter, and Fang Lee, the Chinese cook,\nhad come to blows. The battle had been (so to put it) a religious\ncontroversy, and such, as we know, have a bitterness all their own. It\nwas inaugurated by Dennis, who, as a good Catholic, had, on a Friday,\nrefused to sample one of Fang's _chef-d'oeuvres_,--a dish of veal\ncutlets with mushroom sauce. A mutual interchange of offensive words,\ntaunts highly derogatory to his holiness Pope Leo XIII. and equally\ninsulting to the memory of that ancient Chinese sage, Confucius, had\nfinally led to a bout of fisticuffs. In this encounter, Fang Lee, a\nslightly built, undersized celestial, had naturally been worsted at the\nhand of the robust Hibernian, a good six feet five in his stockings.\nDennis, the \"chip well off his shoulder,\" had peacefully returned to the\nduties of his vocation, nonchalantly carrying in the dinner, removing\nthe plates and dishes, and subsequently whistling \"St. Patrick's Day in\nthe Morning\" under the very nose of the Confucian, as he unconcernedly\nwashed his plates and glasses, and scoured his knives. Fang, having\nmeantime sent in his dinner, cleaned his pots and pans, brushed his\nbaggy trousers, adjusted his disordered pigtail, and straightway gave in\nhis notice; and with sullen dignity retired to the privacy of his\nbedroom, for the avowed purpose of packing his box. On the ensuing\nmorning he would shake from his feet the dust of Alamo Ranch.\n\nVain were the endeavors of his discomfited employers to gain the ear of\nthe implacable Fang Lee. He stood out resolutely for the privacy of his\nsmall sleeping apartment, obstinately refusing admission to outsiders.\n\nIn a house replete with boarders, and forty miles from available cooks,\nFang's pending loss was indeed a calamity.\n\nIn this dilemma, the disheartened landlord and his wife begged the\nintercession of the star boarder,--always in high favor with the\ndomestics, and known to be especially in the good graces of the\nChinaman. Long did this envoy of peace unsuccessfully besiege the\nbedroom door of the offended Fang Lee. In the end, however, he gained\nadmittance; and with adroit appeals to the better nature of the irate\ncook, and a tactful representation of the folly of giving up a good\nsituation for the sake of a paltry quarrel, he finally brought Fang Lee\ndown from his \"high horse,\" and persuading good-natured Dennis to make\nsuitable friendly advances, effectually healed the breach.\n\nEre nightfall amity reigned in the ranch kitchen, and the respective\npockets of the belligerents were the heavier for a silver dollar,--a\nprivate peace-offering contributed by the arbitrator. An Irishman is\nnothing if not magnanimous; Dennis readily \"buried the hatchet,\" handle\nand all.\n\nNot so Fang Lee, who, smugly pocketing his dollar, covertly observed to\nthe giver, by way of the last word, \"All samee, Pope bigee dam foolee.\"\n\nWith genial satisfaction the star boarder received the thanks of the\nBrowns for having saved to them their cook, and, with simple pleasure in\nthe result of his diplomacy, met the encomiums of his fellow-boarders.\n\nTo this gracious and beautiful nature, replete with \"peace and good-will\nto man,\" to help and serve was but \"the natural way of living.\"\n\n\n\n\nCHAPTER X\n\n\nAt mid-March, in this sun-loved land, the genial season far outdoes our\nown belated Northern May. Already, in Mesilla Valley, the peach, pear,\nand apricot buds of the orchard are showing white and pink. In the\ngarden, rose-bushes are leaving out, and mocking-birds make the air\nsweet with song.\n\n\"In the spring,\" said Leon Starr, parodying Tennyson one morning at the\nbreakfast-table, \"the Koshare fancy lightly turns to thoughts of Shalam.\nWhy not make to-day our long-planned excursion to that famous colony?\"\n\n\"All right,\" responded the entire Koshare; and that afternoon a party of\ntwelve set out from Alamo Ranch to explore that remarkable colony, some\nseven miles up the valley.\n\nA description of the place and an account of this excursion is copied\nverbatim by the present writer from the journal of one of the party.\n\n\"To begin at the beginning,\" says the narrator, \"the colony was started\nby one Dr. ----, a dentist from Philadelphia. He enlisted as a partner\nin his enterprise a man from that region of fads--Boston, Mass. To this\nchimera of the doctor's brain, the latter, a man of means, lent his\napproval, and, still more to the point, the money to carry out the\ndoctor's plans.\n\n\"Some few years ago the original founder of Shalam died, leaving to his\npartner the work of carrying out his half-tried experiment.\n\n\"Mr. ---- lived on in the place, assuming its entire charge, and finally\nmarrying the doctor's widow,--a lady of unusual culture and refinement,\nbut having a bent towards occult fads, as Spiritualism, Mental Science,\nand their like.\n\n\"Well, we arrived safely at Shalam, and were met by Mrs. ---- and a\ndozen or more tow-headed kids. It is noticeable that the whole\ntwenty-seven children selected for this experiment have light hair and\nblue eyes. Mrs. ---- kindly presented us to her husband,--apparently a\nman of refined natural tendencies and fair intellectual culture, but\nevidently, like 'Miss Flite,' 'a little _m-m_, you know.'\n\n\"Conventionally clothed, Mr. ---- would undoubtedly have been more than\npresentable; in his Shalam undress suit he was, to say the least,\nunique.\n\n\"His long, heavy beard was somewhat unkempt. His feet were in sandals,\nwithout stockings. His dress consisted of a pair of white cotton pants,\nand a blouse of the same material, frogged together with blue tape, the\nends hanging down over his left leg. Hitched somehow to his girdle was a\nplain watch-chain, which led to a pocket for his watch, on the front of\nhis left thigh, placed just above the knee. When he wants time he raises\nthe knee and takes out the watch, standing on one leg the while.\n\n\"The place is beautifully situated on the banks of the Rio Grande, with\na range of high mountains across the river.\n\n\"It consists of two parts: 'Leontica,' a village for the workers, where\nthey have many nice cottages, an artesian well for irrigation, and a big\nsteam pump to force the water through all the ditches; Shalam, the home\nof the children, has a big tank, with six windmills pumping water into\nit all the time. Near the tank is the dormitory,--a building about one\nhundred and fifty feet in dimension. Through its middle runs a large\nhall for the kids to gambol in. On each side are rooms for the\nattendants and the larger children.\n\n\"Chiefly noticeable was the cleanliness of the hall, and the signs over\nthe doors of the chambers, each with its motto, a text from\n'_Oahspe_,'--the Shalam bible.\n\n\"At each end of the hall was a big sign, reading thus: '_Do not kiss the\nchildren._' As none of them were especially attractive, this command\nseemed quite superfluous. After looking over the dormitory, we were led\nto the main building, projected by the late Dr. ----. This encloses a\ncourt about one hundred and fifty feet by sixty in size, and planted\nwith fig trees.\n\n\"The front of the building is taken up by the library of the doctor; on\nthe opposite side is his picture gallery.\n\n\"Rooms or cells for the accommodation of guests occupy the long sides of\nthis structure.\n\n\"I was cordially invited to occupy one of these; but the place is too\ncreepy for me! The pictures in the gallery were all done by the deceased\ndoctor, under the immediate direction of his 'spirit friends.' To look\nat them (believing this) is to be assured that artists do not go to\nheaven, since not even the poorest defunct painter would have\nperpetrated such monstrosities.\n\n\"They all represent characters and scenes from the doctor's\nbible,--known as Oahspe, and written by him at the dictation of spirits.\nThe drawing is horrible, the coloring worse; and no drunkard with\ndelirium tremens could have conceived more frightful subjects!\n\n\"Mr. ----, the doctor's successor, is a curious compound of crank and\ncommon-sense; the latter evinced by his corral and cattle, which we next\nvisited. I have never seen so fine a corral nor such handsome horses and\ncattle. They are all blooded stock; many of the cows and calves having\ncome from the farm of Governor Morton, in New York State. The cows were\nbeautiful, gentle creatures; one of them is the largest 'critter' I ever\nsaw, weighing no less than fifteen hundred pounds!\n\n\"The county authorities--scandalized by the meagreness of the Shalam\nbill of fare--compelled Mr. ---- to enrich the children's diet with\nmilk, and, thus officially prodded, he is trying to give them the best\nin the land.\n\n\"The stock department of Shalam seems to be his undivided charge; while\nMrs. ---- manages the garden. She kindly showed us all over it; and it\nis a beauty! With water flowing all through it, celery, salisfy, and\nlettuce all ready to eat, and other vegetables growing finely. She gave\nus a half bushel of excellent lettuce, which we all enjoyed.\n\n\"The Shalam idea is to take these children from all parts of the\ncountry, to bring them up in accordance with its own dietetic fad (which\nin many respects corresponds with that of our own dream-led Alcott),\nfeeding them exclusively on a vegetable diet so that they won't develop\ncarnal and combative tendencies, and thus start from them a new and\nimproved race. Will they succeed? God knows; but they seem to have\nstarted wrong; for the children are largely the offspring of outcasts,\nand you can't expect grapes from thistle seed. However, Mr. ---- and\nMrs. ---- are both sincere, kind-hearted reformers, trying to do what\nthey think right in their own peculiar way. They are doing no harm by\ntheir experiment--hurting no one; and if the children turn out badly, it\nis no worse than they would if left alone; and if well, it is a distinct\ntriumph of brain over beastliness. It may be well to state that no\n_materia medica_ is tolerated at Shalam. The health of the colony is\nentrusted absolutely to the 'tender mercies' of mental healing. Mr. ----\nis himself the picture of health, and says he does not know what it is\nto feel tired. ('They that be whole need no physician!') As for the Lady\nof Shalam, there is a look in her face that led me to think she was\ndeadly tired of the whole business, but was too loyal either to her dead\nor living husband to 'cry quits.'\n\n\"These children know not the taste of physic. All their ailments are\ntreated in strict accordance with Mental Science. They eat no eggs,\nfish, or other animal matter, save the county-prescribed milk, living\nsolely on grains, vegetables, and fruits; and it must be said that they\nall look extremely healthy. Mr. ---- informs us that he rises daily at\nthree A.M., goes directly to his corral and milks, comes in a little\nafter four and prepares the children's breakfast. They are called at\nfour forty-five, and breakfast at five. At five thirty devotional\nexercises begin, and last until six thirty, when the father of Shalam\ngoes out and starts the hands on the farm. At eight the children begin\nlessons or some kind of mental training, which lasts till dinner time.\n\n\"After dinner they run wild for the rest of the day.\n\n\"We left Shalam at about five P.M. On the homeward drive we discussed\nthis odd colony, and compared notes on what we had observed. An\nirreverent member of the party thus summed up the whole business in his\nown slangy fashion,--'a man who all winter long prances round in\npajamas, making folks shiver to look at him, ought to be put in an\ninsane asylum.' So there you have his side of the question.\n\n\"The original founder of Shalam, Dr. ----, not only aspired to be a\npainter, but, as an author, flew the highest kind of a kite, giving to\nthe world no less than a new bible.\n\n\"A glimpse at its high-sounding prospectus will scarce incite in the\nsane and sober mind a desire to peruse a revelation whose absurdity and\nfantastic assumption leaves the Mormon bible far behind, and before\nwhose 'hand and glove' acquaintance with the 'undiscovered country'\nSwedenborg himself must needs hide his diminished head.\n\n\"Thus it runs: '_Oahspe_; a new Bible in the words of Jehovih and his\nAngel Embassadors. A synopsis of the Cosmogony of the Universe; the\ncreation of planets; the creation of man; the unseen worlds; the labor\nand glory of gods and goddesses in the etherean heavens with the new\ncommandments of Jehovih to man of the present day. With revelations from\nthe second resurrection, found in words in the thirty-third year of the\nKosmon Era.'\n\n\"Oahspe's claims are thus _moderate_: 'As in all other bibles it is\nrevealed that this world was created, so in _this_ bible it is revealed\n_how_ the Creator _created_ it. As other bibles have proclaimed heavens\nfor the spirits of the dead, behold _this_ bible revealeth _where_ these\nheavens _are_.'\n\n\"Oahspe also kindly informs us 'how hells are made, and of what\nmaterial,' and how the sinner is in them mainly punished by the forced\ninhalement of 'foul smells,'--so diabolically foul are these that one is\nfain to hold the nose in the bare reading of them!\n\n\"'There is,' declares Oahspe, 'no such law as Evolution. There is no law\nof Selection.' A vegetarian diet is inculcated; and we are gravely\ninformed that 'the spirit man takes his place in the first heaven\naccording to his _diet_ while on earth!'\n\n\"A plan for the founding of 'Jehovih's Kingdom on earth through little\nchildren' is given. This 'sacred history' claims to cover in its\nentirety no less a period of time than eighty-one thousand years. At\nquarter-past six,\" concludes our informant, \"we arrived, tired and\nhungry, but glad to have gone, and glad to get back, leaving behind us\nShalam, with its spirit picture-gallery and its fantastic Oahspe, for\nthe more stable verities of commonplace existence.\"\n\n\n\n\nCHAPTER XI\n\n\nIt was on Friday that the Koshare made their little excursion to the\nShalam settlement, and the next evening they gathered in full\nforce,--with the exception of the Hemmenshaws and the Harvard man, who\nstill remained at Hilton Ranch, losing thereby two of the most\ninteresting of the Antiquary's papers; but \"time and tide\" and Saturday\nclubs \"stay for no man,\" and now came the second Aztec paper.\n\n\"The Aztec government,\" began Mr. Morehouse, \"in a few minor points is\nsaid to have borne some resemblance to the aristocratic system evolved\nby the higher civilization of the Middle Ages.\n\n\"Beyond a few accidental forms and ceremonies, the correspondence was,\nhowever, of the slightest. The legislative power both in Mexico and\nTezcuco had this feature of despotism; it rested wholly with the\nmonarch. The constitution of the judicial tribunals in some degree\ncounteracted the evil tendency of this despotism. Supreme judges\nappointed over each of the principal cities by the crown had original\nand final jurisdiction over both civil and criminal cases. From the\nsentence of such a judge there was no appeal to any other tribunal, not\neven to that of the King.\n\n\"It is worthy of notice as showing that some sense of justice is inborn;\nas even among this comparatively rude people we read that under a\nTezcucan prince a judge was put to death for taking a bribe, and another\nfor determining suits in his own house (a capital offence also, by law.)\nAccording to a national chronicler, the statement of the case, the\ntestimony, and proceedings of the trial were all set forth by a clerk,\nin hieroglyphical paintings, and handed to the court.\n\n\"In Montezuma's day the tardiness of legal processes must have gone\nmiles beyond the red tape of a nineteenth-century court of justice.\n\n\"This vivid picture of the pomp and circumstance attendant upon the\nconfirmation of a capital sentence by the king is presented by one of\nthe Mexican native chroniclers:\n\n\"'The King, attended by fourteen great lords of the realm, passed into\none of the halls of justice opening from the courtyard of the palace,\nwhich was called \"the tribunal of God,\" and was furnished with a throne\nof pure gold, inlaid with turquoises and other precious stones.\n\n\"'The walls were hung with tapestry, made of the hair of different wild\nanimals, of rich and various colors, festooned by gold rings, and\nembroidered with figures of birds and flowers. Putting on his mitred\ncrown, incrusted with precious stones, and holding, by way of sceptre, a\ngolden arrow in his left hand, the King laid his right upon a human\nskull, placed for the occasion on a stool before the throne, and\npronounced judgment. No counsel was employed and no jury. The case had\nbeen stated by plaintiff and defendant, and, as with us, supported on\neither side by witnesses. The oath of the accused was, with the Aztecs,\nalso admitted in evidence.\n\n\"'The great crimes against society were all made capital.\n\n\"'Among them murder (even of a slave) was punishable with death.\nAdulterers, as among the Jews, were stoned to death. Thieving, according\nto the degree of the offence, was punished with slavery or death. It was\na capital offence to remove the boundaries of an estate, and for a\nguardian not to be able to give a good account of his ward's property.\n\n\"'Prodigals, who squandered their patrimony, were punished. Intemperance\nin the young was punished with death; in older persons, with loss of\nrank, and confiscation of property.\n\n\"'The marriage institution was held in reverence among the Aztecs, and\nits rites celebrated with formality. Polygamy was permitted; but\ndivorces were not easily obtainable. Slavery was sanctioned among the\nancient Mexicans, but with this distinction unknown to any civilized\nslave-holding community: no one could be _born_ to slavery. The\n_children_ of the slave were _free_. Criminals, public debtors, persons\nwho from extreme poverty voluntarily resigned their freedom, and\nchildren who were sold by their parents through poverty, constituted one\nclass of slaves. These were allowed to have their own families, to hold\nproperty, and even other slaves. Prisoners taken in war were held as\nslaves, and were almost invariably devoted to the dreadful doom of\nsacrifice. A refractory or vicious slave might be led into the market\nwith a collar round his neck, as an indication of his badness, and\nthere publicly sold. If incorrigible, a second sale devoted him to\nsacrifice.\n\n\"'Thus severe, almost ferocious, was the Aztec code, framed by a\ncomparatively rude people, who relied rather on physical than moral\nmeans for the correction of evil. In its profound respect for the\ncardinal principles of morality, and a clear perception of human\njustice, it may favorably compare with that of most civilized nations.'\n\n\"'In Mexico,' says Prescott, 'as in Egypt, the soldier shared with the\npriest the highest consideration. The King must be an experienced\nwarrior. The tutelary deity of the Aztecs was the God of war. The great\nobject of their military expeditions was to gather hecatombs of captives\nfor his altars.' The Aztec, like the (so-called) _Christian crusader_,\ninvoked the holy name of religion as a motive for the perpetration of\nhuman butchery. He, too, after his own crude fashion, had his order of\nknighthood as the reward of military prowess. Whoever had not reached it\nwas debarred from using ornaments on his arms or on his person, and was\nobliged to wear a coarse white stuff, made from the threads of the aloe,\ncalled _nequen_. Even the members of the royal family were not excepted\nfrom this law. As in Christian knighthood, plain armor and a shield\nwithout device were worn till the soldier had achieved some doughty feat\nof chivalry. After twenty brilliant actions officers might shave their\nheads, and had, moreover, won the fantastic privilege of painting half\nof the face red and the other half yellow. The panoply of the higher\nwarriors is thus described. Their bodies were clothed with a close vest\nof quilted cotton, so thick as to be impenetrable to the light missiles\nof Indian warfare. This garment was found so light and serviceable that\nit was adopted by the Spaniards.\n\n\"The wealthier chiefs sometimes wore, instead of this cotton mail, a\ncuirass made of thin plates of gold or silver. Over it was thrown a\nsurcoat of the gorgeous feather work in which they excelled. Their\nhelmets were sometimes of wood, fashioned like the heads of wild\nanimals, and sometimes of silver, on the top of which waved a panache of\nvariegated plumes, sprinkled with precious stones. They also wore\ncollars, bracelets, and earrings of the same rich materials.\n\n\"'A beautiful sight it was,' says one of the Spanish conquerors, 'to see\nthem set out on their march, all moving forward so gayly, and in so\nadmirable order!'\n\n\"Their military code had the cruel sternness of their other laws.\nDisobedience of orders was punished with death.\n\n\"It was death to plunder another's booty or prisoners. It is related of\na Tezcucan prince that, in the spirit of ancient Roman, he put two of\nhis sons to death--after having cured their wounds--for violating this\nlast-mentioned law. A beneficent institution, which might seem to belong\nto a higher civilization, is said to have flourished in this semi-pagan\nland.\n\n\"Hospitals, we are told, were established in their principal cities for\nthe cure of the sick, and as permanent homes for the disabled soldier;\nand surgeons were placed over them who 'were,' says a shrewd old\nchronicler, 'so far better than those in Europe that they did not\n_protract the cure in order to increase the pay_.'\n\n\"The horse, mule, ox, ass, or any other beast of burden, was unknown to\nthe Aztecs. Communication with remotest parts of the country was\nmaintained by means of couriers, trained from childhood to travel with\nincredible swiftness.\n\n\"Post-houses were established on all the great roads, at about ten\nleagues distance apart. The courier, bearing his despatches in the form\nof hieroglyphical painting, ran with them to the first station, where\nthey were taken by another messenger, and so on, till they reached the\ncapital. Despatches were thus carried at the rate of from one to two\nhundred miles a day.\n\n\"A traveller tells us of an Indian who, singly, made a record of a\nhundred miles in twenty-four hours. A still greater feat in walking is\nrecorded by Plutarch. _His_ Greek runner brought the news of a victory\nof a hundred and twenty-five miles in a single day!\n\n\"In the funeral rites of this ruder people one traces a slight\nresemblance to those of the more cultivated Greek. They burned the body\nafter death, and the ashes of their dead, collected in vases, were\npreserved in one of the apartments of the home. After death they dressed\nthe person's body in the peculiar habiliments of his tutelar deity. It\nwas then strewed with pieces of paper, which operated as a charm against\nthe dangers of the dark road he was to travel. If a chief died he was\nstill spoken of as living. One of his slaves, dressed in his master's\nclothes, was placed before his corpse. The face of this ill-starred\nwretch was covered with a mask, and during a whole day such homage as\nhad been due to the chief was paid to him. At midnight the body of the\nmaster was burnt, or interred, and the slave who had personated him was\nsacrificed. Thereafter, every anniversary of the chief's birthday was\ncelebrated with a feast, but his death was never mentioned.\n\n\"The Spanish chroniclers have told us (and in reading these statements\ndue allowance must be made for their habit of 'stretching the truth')\nthat to the principal temple--or Teocallis--in the capital five thousand\npriests were in some way attached. These, in their several departments,\nnot only arranged the religious festivals in conformity to the Aztec\ncalendar, and had charge of the hieroglyphical paintings and oral\ntraditions of the nation, but undertook the responsibility of\ninstructing its youth. While the cruel and bloody rites of sacrifice\nwere reserved for the chief dignitaries of the order, each priest was\nallotted to the service of some particular diety, and had quarters\nprovided for him while in attendance upon the service of the temple.\n\n\"Though in many respects subject to strict sacerdotal discipline, Aztec\npriests were allowed to marry and have families of their own. Thrice\nduring the day, and once at night, they were called to prayers. They\nwere frequent in ablutions and vigils, and were required to mortify the\nflesh by fasting and penance, in good Roman Catholic fashion, drawing\ntheir own blood by flagellation, or by piercing with thorns of aloes.\nThey also, like Catholic priests, administered the rites of confession\nand absolution; but with this time-saving improvement: confession was\nmade but _once_ in a man's life,--the long arrears of iniquity, past and\npresent, thus settled, after offences were held inexpiable.\n\n\"Priestly absolution was received in place of legal punishment for\noffences. It is recorded that, long after the Conquest, the simple\nnatives, when under arrest, sought escape by producing the certificate\nof their confession.\n\n\"The address of the Aztec confessor to his penitent, with his prayer on\nthis occasion, has come down to us. As an evidence of the odd medley of\nChristianity and paganism that marked this queer civilization, it is\nquaintly interesting. 'O merciful Lord,' prayed he, 'thou who knowest\nthe secrets of all hearts, let thy forgiveness and favor descend, like\nthe pure waters of heaven, to wash away the stains from the soul. Thou\nknowest that this poor man has sinned, not from his own will, but from\nthe influences of the sign under which he was born.'\n\n\"In his address to the penitent he urges the necessity of instantly\nprocuring a slave for sacrifice to the Deity. After this sanguinary\nexhortation he enjoins upon his disciple this beautiful precept of\nChristian benevolence: 'Clothe the naked, feed the hungry, whatever\nprivations it may cost thee, for, remember, their flesh is like thine,\nand they are men like thee.'\n\n\"Sacerdotal functions (excepting those of sacrifice) were allowed to\nwomen.\n\n\"At a very tender age these priestess girls were committed for\ninstruction to seminaries of learning, in which, it is recorded, a\nstrict moral discipline for both sexes was maintained, and that, in some\ninstances, offences were punished by death itself.\n\n\"Thus were these crafty Mexican priests (the Jesuits of their age)\nenabled to mould young and plastic minds, and to gain a firm hold upon\nthe moral nature of their pupils. The priests had (as we are told) their\nown especial calendar, by which they kept their records, and regulated,\nto their liking, their religious festivals and seasons of sacrifice, and\nmade all their astrological calculations; for, like many imperfectly\ncivilized peoples, the Aztecs had their astrology. This priestly\ncalendar is said to have roused the holy indignation of the Spanish\nmissionaries.\n\n\"They condemned it as 'unhallowed, founded neither on natural reason,\nnor on the influence of the planets, nor on the course of the year; but\nplainly the work of necromancy, and the fruit of a contract with the\ndevil.'\n\n\"We are told that not even in ancient Egypt were the dreams of the\nastrologer more implicitly referred to than in Aztec Mexico.\n\n\"On the birth of a child he (the astrologer) was instantly summoned, and\nthe horoscope--supposed to unroll the occult volume of destiny--was hung\nupon by the parent in trembling suspense and implicit faith. No\nMillerite in his ascension robe, awaiting the general break-up of\nmundane affairs, ever looked forward with more confidence to the final\ncatastrophe than did the ancient Mexican to the predicted destruction of\nthe world at the termination of one of their four successive cycles of\nfifty-two years.\n\n\"Prescott gives us this romantic account of the festival marking that\ntraditional epoch:\n\n\"'The cycle would end in the latter part of December; as the diminished\nlight gave melancholy presage of that time when the sun was to be\neffaced from the heavens, and the darkness of chaos settle over the\nhabitable globe, these apprehensions increased, and on the arrival of\nthe five \"unlucky days\" that closed the year they abandoned themselves\nto despair. They broke in pieces the little images of their household\ngods, in whom they no longer trusted.\n\n\"'The holy fires were suffered to go out in the temples, and none were\nlighted in their own dwellings. Their furniture and domestic utensils\nwere destroyed, and their garments torn in pieces, and everything was\nthrown into disorder. On the evening of the last day, a procession of\npriests moved from the capital towards a lofty mountain, about two\nleagues distant. They carried with them as a victim for the sacrificial\naltar the flower of their captives, and an apparatus for kindling the\nnew fire, the success of which was an augury for the renewal of the\ncycle.\n\n\"'On the funeral pile of their slaughtered victim, the _new fire_ was\nstarted by means of sticks placed on the victim's wounded breast. As the\nlight soared towards heaven on the midnight sky, a shout of joy and\ntriumph burst forth from the multitudes, who covered the hills, the\nterraces of the temples, and the housetops with eyes anxiously bent upon\nthe mountain of sacrifice. Couriers with torches lighted at the blazing\nbeacon bore the cheering element far and near; and long before the sun\nrose to pursue his accustomed track, giving assurance that a new cycle\nhad commenced its march, altar and hearthstone again brightened with\nflame for leagues around.\n\n\"'All was now festivity. Joy had replaced despair. Houses were cleansed\nand refurnished. Dressed in their gayest apparel, and crowned with\nchaplets and garlands of flowers, the people thronged in gay procession\nto the temples to offer up their oblations and thanksgivings. It was the\ngreat secular national festival, which few alive had witnessed before,\nor could expect to see again.'\n\n\"Although we find in the counsels of an Aztec father to his son the\nfollowing assertion, 'For the multiplication of the species God ordained\n_one_ man _only_ for _one_ woman,' polygamy was nevertheless permitted\namong this people, chiefly among the wealthiest classes.\n\n\"Marriage was recognized as a religious ceremony, and its obligations\nstrictly enjoined. Their women, we are told, were treated with a\nconsideration uncommon among Indian tribes. It is recorded that their\ntranquil days were diversified by the feminine occupations of spinning,\nfeather-work, and embroidery, and that they also beguiled the hours by\nthe rehearsal of traditionary tales and ballads, and partook with their\nlords in social festivities.\n\n\"Their entertainments seem to have been grand and costly affairs.\nNumerous attendants, of both sexes, waited at the banquet; the halls\nwere scented with perfumes, flowers strewed the courts, and were\nprofusely distributed among the arriving guests.\n\n\"As they took their seats at the board, cotton napkins and ewers of\nwater were placed before them; for, as in the heroic days of Greece, the\nceremony of ablution before and after eating was punctiliously observed\nby the Aztecs. The table was well provided with meats, especially game,\namong which our own Thanksgiving bird, the turkey, was conspicuous.\nThese more solid dishes were flanked by others of vegetables, and with\nfruits of every variety found on the North American Continent.\n\n\"The different viands were skilfully prepared, with delicate sauces and\npungent seasoning, of which the Mexicans were especially fond. They were\nfurther regaled with confections and pastry; and the whole was crowned\nby an 'afterclap' of tobacco mixed with aromatic substances, to be\nenjoyed in pipes, or in the form of cigars, inserted in holders of\ntortoise shell or silver. The meats were kept warm by chafing-dishes.\nThe table was ornamented with vases of silver (and sometimes of gold) of\ndelicate workmanship.\n\n\"We are told by the chroniclers that agriculture was, before the\nConquest, in an advanced state. There were peculiar deities to preside\nover it, and the names of the months and of the religious festivals had\nmore or less reference to it. The public taxes were often paid in\nagricultural produce. As among the Pueblos, Aztec women took part in\nonly the lighter labors of the field,--as the scattering of the seed,\nthe husking of the ripened corn.\n\n\"Maize, or Indian corn, the great staple of the North American\ncontinent, grew freely along the valleys, and up the steep sides of the\nCordilleras, to the high table-land. Aztecs were, we are told, well\ninstructed in its uses, and their women as skilled in its preparation as\nthe most expert New England or Southern housewife.\n\n\"In these equinoctial regions, its gigantic stalk afforded a saccharine\nmatter which supplied them with a sugar but little inferior to that of\nthe cane itself (which, after the Conquest, was introduced among them).\nPassing by all their varieties of superbly gorgeous flowers, of\nluxuriously growing plants, many of them of medicinal value, and since\nintroduced from Mexico to Europe, we come to that 'miracle of nature,'\nthe great Mexican aloe, or _maguey_, which was, in short, meat, drink,\nclothing, and writing material for the Aztec, as from its leaves was\nmade their paper, somewhat resembling Egyptian _papyrus_, but more soft\nand beautiful.\n\n\"Specimens of this paper still exist, preserving their original\nfreshness, and holding yet unimpaired the brilliancy of color in\nhieroglyphical painting. It is averred that the Aztecs were as well\nacquainted with the uses of their mineral as of their vegetable kingdom,\ndeftly working their mines of silver, lead, and tin. It has, however,\nbeen contended by Wilson, in his 'New Conquest of Mexico,' that, in\nspite of Cortez's statement to the contrary, 'it is not to be supposed\nthat the Spaniards found the Aztecs in the possession of silver, since\nits mining requires a combination of science and mechanical power\nunknown and impossible to their crude civilization.' He considerately\nallows them the capability of gathering gold from their rich soil.\n\n\"Prescott, on the contrary, tells us that 'they opened veins for the\nprocurement of silver in the solid rock, and that the traces of their\nlabors in these galleries furnished the best indications for the early\nSpanish miners.'\n\n\"Who shall decide when doctors disagree? Not, indeed, a Koshare, whose\nlaudable purpose it is to eschew the wearisome 'gradgrinds' of history,\nand accept the infinitely more charming conclusions of the romancer.\n\n\"Gold, say the chroniclers, was easily gleaned from the beds of their\nrivers, and cast into bars, or in the form of dust, made part of the\nregular tribute of the southern provinces of Montezuma's empire. They\ncast, also, delicately and curiously wrought vessels of gold. Though\ntheir soil was impregnated with iron, its use was unknown to this\npeople. As a substitute for this metal, they used, for their tools, a\nbronze made from an alloy of tin and copper, or of itzli,--a dark\ntransparent metal, found in abundance in their hills. With the former\nthey could cut the hardest substances, such as emeralds and amethysts.\n\n\"It has been contended that an ignorance of the use of iron must\nnecessarily have kept the Mexican in a low state of civilization. On the\nother hand, it is urged that iron, if even known, was but little in use\namong the ancient Egyptians, whose mighty monuments were hewn with tools\nof bronze, while their weapons and domestic utensils were of the same\nmaterial. For the ordinary purposes of domestic life, the ancient\nMexicans made earthenware, and fashioned cups, bowls, and vases of\nlacquered wood, impervious to wet, and gorgeously .\n\n\"Among their dyes, obtained from both mineral and vegetable substances,\nwas the rich crimson of the cochineal, the modern rival of the far-famed\nTyrian purple. Later, this coloring material was introduced into Europe,\nfrom Mexico, where the curious cochineal insect was nourished with great\ncare on plantations of cactus.\n\n\"The Aztecs were thus enabled to give a brilliant coloring to their webs\nof cotton, which staple, in the warmer regions of their country, they\nraised in abundance. With their cotton fabrics, manufactured of every\ndegree of fineness, they had the original art of interweaving the\ndelicate hair of rabbits and other animals, which made a cloth of great\nwarmth as well as beauty.\n\n\"On this they often laid a rich embroidery of birds, flowers, or some\nother fanciful device. It is supposed that the Aztec 'silk,' mentioned\nby Cortez, was nothing more than this fine texture of cotton, hair, and\ndown.\n\n\"But the art in which they especially excelled was their plumage or\nfeather-work. Some few existing specimens of this ancient art (one of\nthem a vestment said to have been worn by Montezuma himself) have, we\nare told, 'all the charm of Florentine mosaic.'\n\n\"The gorgeous plumage of tropical birds, especially of the parrot-tribe,\nafforded every variety of color, and the fine and abundant down of the\nhumming-bird supplied them with a finish of soft aerial tints. The\nfeathers pasted on a fine cotton web were wrought into dresses for the\nwealthy. Hangings for apartments and ornaments for the temples were thus\nfashioned. Labor was held in honorable estimation among this people. An\naged Aztec chief thus addressed his son: 'Apply thyself to agriculture,\nor to feather-work, or some other honorable calling. Thus did your\nancestors before you. Else, how could they have provided for themselves\nand their families? Never was it heard that nobility alone was able to\nmaintain its possessor.'\n\n\"The occupation of the merchant was held by them in high respect. These\nwere of prime consideration in the body politic, and enjoyed many of the\nmost essential advantages of an hereditary aristocracy. Mexico, as their\nabundant use among the Aztecs testifies, is especially rich in precious\nstones. It is the land of the emerald, the amethyst, the turquoise, and\nthe topaz; and that superbest of gems, the fire opal, is native to its\ngenerous soil.\n\n\"One of Cortez's wedding gifts to his second bride is thus described:\n'This was five emeralds of wonderful size and brilliancy. These jewels\nhad been cut by the Aztecs into the shapes of flowers, and fishes, and\ninto other fanciful forms, with an exquisite style of workmanship which\nenhanced their original value.'\n\n\"It was gossiped at court that the Queen of Charles the Fifth had an eye\nto these magnificent gems, and that the preference given by Cortez to\nhis fair bride had an unfavorable influence on the Conqueror's future\nfortunes. Among the 'royal fifth' of the Mexican spoils sent by Cortez\nto the Spanish Emperor, we are told of a still more wonderful emerald.\nIt was cut in a pyramidal shape, and of so extraordinary a size that the\nbase of it was affirmed to have been as broad as the palm of the hand.\n\n\"This rich collection of gold and jewelry, wrought into many rare and\nfanciful forms, was captured on its road to Spain by a French privateer,\nand is said to have gone into the treasury of Francis the First.\nFrancis, we are told, looking enviously on the treasures drawn by his\nrival monarch from his colonial domains, expressed a desire to 'see the\nclause in Adam's testament, which entitled his brothers of Spain and\nPortugal to divide the New World between them.'\n\n\"The Aztec picture writing, rude though it was, seems to have served the\nnation in its early and imperfect state of civilization.\n\n\"By means of it, as an auxiliary to oral tradition, their mythology,\nlaws, calendars, and rituals were carried back to an early period of\ntheir civilization.\n\n\"Their manuscripts, the material for which has already been described,\nwere most frequently made into volumes, in which the paper was shut up\nlike a folding screen. With a tablet of wood at each extremity, they\nthus, when closed, had the appearance of books. A few of these Mexican\nmanuscripts have been saved, and are carefully preserved in the public\nlibraries of European capitals. The most important of these painted\nrecords, for the light it throws on the Aztec institutions, is preserved\nin the Bodleian Library at Oxford. The greater part of these writings,\nhaving no native interpretation annexed to them, cannot now be\nunriddled.\n\n\"A savant who, in the middle of the seventeenth century travelled\nextensively through their country, asserts that, 'so completely had\nevery vestige of their ancient language been swept away from the land,\nnot an individual could be found who could afford him the least clue to\nthe Aztec hieroglyphics.'\n\n\"Some few Aztec compositions, which may possibly owe their survival to\noral tradition, still survive. These are poetical remains, in the form\nof odes, or relics of their more elaborate prose, and consist largely of\nprayers and public discourses, that show that, in common with other\nnative orators, the Aztecs paid much attention to rhetorical effect. The\nAztec hieroglyphics included both the representative and symbolical\nforms of picture-writing.\n\n\"They had various emblems for expressing such things as, by their\nnature, could not be directly represented by the painter; as, for\nexample, the years, months, days, the seasons, the elements, the\nheavens, and so on.\n\n\"A serpent typified time, a tongue denoted speaking, a footprint\ntravelling, a man sitting on the ground an earthquake.\n\n\"The names of persons were often significant of their adventures and\nachievement.\n\n\"Summing up this account of Aztec civilization, we find that, although\nof the countries from which Toltec and Aztec in turn issued tradition\nhas lost the record, it is nevertheless affirmed, by so reliable an\nhistorian as Humboldt, that the former introduced into Mexico the\ncultivation of maize and cotton; that they built cities, made roads, and\nconstructed pyramids. 'They knew,' says this authoritative historian,\n'the uses of hieroglyphical paintings; they could work metals, and cut\nthe hardest stones; and they had a solar system more perfect than that\nof the Greeks and Romans.'\n\n\"After their mysterious disappearance from the table-lands of Mexico,\nthe Aztecs, who succeeded them, gradually amalgamated all that was best\nin their civilization, and, engrafting upon it their own, became as a\nnation what they were in the time of the second Montezuma, when Cortez\nand his conquering army treacherously swept their civilization from the\nface of the earth.\n\n\"A thoughtful traveller still finds in Mexico traces of this people, its\nearly possessors.\n\n\"The Mexicans, in their whole aspect,\" he observes, \"give a traveller\nthe idea of persons of decayed fortune, who have once been more\nprosperous and formidable than now, or who had been the offshoot of a\nmore refined and forcible people.\"\n\n\n\n\nCHAPTER XII\n\n\nIt was but the day after the delivery of this most interesting paper by\nMr. Morehouse, that the laggards from Hilton Ranch, who had missed it,\nand the preceding one, returned to their places at the dinner-table; and\non that very afternoon Miss Paulina, with all due formality, announced\nthe engagement of her niece to Mr. Roger Smith. Recovered from the first\nshock of surprise, the Koshare celebrated the betrothal by a pink\nafternoon tea, and made such slight engagement offerings as were found\navailable, remote from silversmith, florist, and bric-a-brac dealer.\n\nThe ladies gave bureau scarfs, table doilies, and centre-pieces _ad\ninfinitum_; the Antiquary bestowed a bit of Mexican pottery dating back\nto the \"cliff-dwellers.\" Leon framed the photographs of the handsome\npair in Mexican canes, as an engagement gift; and the most despondent\n\"lunger\" of them all had a kindly wish for their young and happy\nfellow-boarders, setting out on that beautiful life-journey to whose\nuntimely end he, himself, was sadly tending.\n\nAmong the more observing of the Koshare, much wonder was expressed at\nthe slow mending of Roger Smith's sprained ankle. It was at the\nengagement tea that Miss Paulina innocently said, in response to these\nstrictures, \"Yes, it _did_ take a long time to cure dear Roger's sprain.\nYears ago,\" continued the good lady, \"I had the same accident; and, if I\nremember rightly, in less than a fortnight after the sprain I was\nwalking without any crutches. One would think now,\" she went on, \"that\nin this lovely dry climate a sprain would mend rapidly; but, though I\ndid my very best, the result was far less prompt than I had hoped.\"\n\n\"Sprains differ,\" interposed the audacious subject of these remarks,\nunawed by the disapproving glances of his betrothed; \"the surgeons tell\nus that fractures are both simple and compound. Mine, dear Miss\nHemmenshaw, was undoubtedly compound.\"\n\nThis he said by way of accounting to his friends for his tardy\nconvalescence. To himself he thought, looking at this kind, unsuspicious\nnew auntie, \"Dear, delicious old goose!\"\n\nThis is what the niece said when, later, she got this incorrigible lover\nto herself: \"Roger, I am quite convinced that your conscience is seared\nwith a hot iron, whatever that process, supposed to indicate utter moral\ncallousness, may be.\"\n\n\"My dear girl,\" laughed the unabashed culprit, \"I am, as you know and\ndeplore, a good Catholic, and consequently hold with the astute Jesuit\nFathers that the end justifies the means.\"\n\n\n\n\nCHAPTER XIII\n\n\nIt was in the sunny, lengthened days of early March that the Antiquary,\nthe Journalist, the star boarder, and the Grumbler undertook their\nlong-projected trip to the Sacramento Mountains, there to visit the\nGovernment Reservation, nestled in the sheltered Mescalero Valley, which\ngives its name.\n\nWell equipped with camping conveniences, the four Koshares set forth on\ntheir journey of one hundred and twenty-five miles.\n\nIt was their intention to \"make haste slowly,\" and nothing could better\nhave suited the leisurely pair of Mexican horses, and the equally\neasy-going Mexican driver, who, with his team, had been hired for the\nexpedition. The first night of their journey was passed beneath the open\nsky, with the rounded moon riding clear and fair above them, and the\ndesert of sand and sage-brush all about them. On the second, they lodged\nat the solitary dwelling of a ranchman, whose nearest neighbor was\nthirty-five miles distant.\n\nAt the journey's end, they were cordially received by Lieutenant\nStottler, Government Agent at the Mescalero Reservation, and throughout\ntheir visit were treated by him with a kindly hospitality and a genial\ncourtesy beyond praise.\n\nOf the Apache, now transformed by the iron hand of civilization from a\nblood-thirsty savage to a passably decent and partially self-supporting\nmember of the republic, it has been aptly said that Nature has given him\n\"the ear of the cat, the cunning of the fox, and the ferocious courage\nand brutishness of the gray wolf.\"\n\nThe whole vast realm of his native ranges, desert though they seem, are\nknown to teem with ever-present supplies for his savage menu.\n\nThere are found fat prairie mice, plump angle-worms, gray meat of\nrattlesnake and lizard, and of leathery bronco,--all easy-coming \"grist\nfor that 'unpernickety' mill,\" his hungry stomach.\n\nIs he minded for a vegetable diet, for him the mescal lavishly grows;\nand the bean of mesquite, reduced to meal, makes him palatable cakes.\nFruit of Spanish bayonet dried in the sun, and said thus to resemble\ndates, is at hand for his dessert; and of mountain acorns alone he may\nmake an excellent and nutritious meal.\n\nFrom the primeval years this belligerent savage is said to have\nespecially harried that dismal waste in New Mexico known as _Jornado del\nMuerta_, \"Journey of Death.\"\n\nThis awful desert is declared to be literally \"the battle-ground of the\nelements.\" In the winter it is made fearful by raging storms of wind and\nsnow, in which frozen men and animals leave their bodies, as carrion\nprey, to the hungry mountain wolf. In later times it is \"the skulking\nplace of unscrupulous outlaws, and many a murdered traveller makes good\nthe name it bears.\"\n\nIt is thus finely depicted by a modern traveller: \"Near the southern\nboundary of New Mexico stretches a shadeless, waterless plateau, nearly\none hundred miles long, and from five to thirty miles wide, resembling\nthe steppes of northern Asia. Geologists tell us this is the oldest\ncountry on the earth, except, perhaps, the backbone of Central Africa;\nat least, the one which has longest been exposed to the influence of\nagents now in action. The grass is low and mossy, with a wasted look;\nthe shrubs are soap-weed and bony cactus; the very stones are like the\nscoria of a furnace. It is sought by no flight of bird; no bee or fly\nbuzzes on the empty air; and, save the lizard and horned frog, there is\nno breath of living thing. One might fancy that this dreary waste had\nserved its time, had been worn out, unpeopled, and forgotten.\"\n\nIn the (not long past) day of his power and might, to steal and murder,\nunder the show of friendship; to beat out the brains of unsuspecting\nmen; to carry off to captivity, worse than death, the women and larger\nchildren, was, with the Apache, merely a question of opportunity.\n\nIn the Apache war--ending in October, 1880, and lasting but a year and a\nhalf,--it is estimated that more than four hundred white persons were\nscalped and tortured to death with devilish ingenuity.\n\nThe details of Indian fighting are everywhere much the same; but in\nstrategy and cruelty that of the Apache surpasses all the sons of men.\nVictorio, the chief who led the war with his band, was surrounded at\nlast, and captured, and killed in the mountains of Mexico.\n\nWith the death of Victorio (whose only son, Washington, was shot in the\nfall of 1879, leaving no one to succeed him) the cause was lost.\n\nHis wife, we are told, after Victorio's death, cut off her hair, in the\nold Greek fashion, and buried it,--an offering to the spirit of this\nfallen chief, to whom (devil though he was) she was devoted.\n\nIt is told of Rafael, one of Victorio's band, that when maddened by\n_tiswin_ (an intoxicant made by the Indian from corn), he fatally\nstabbed his wife, and, after her death, overcome with penitence,\nsacrificed all his beads and most of his clothes to the \"dear departed,\"\ncut his and his children's hair short, and sheared the manes and tails\nof his horses. These manifestations of anguish over, he went up into a\nhigh hill, and howled with uplifted hands.\n\nWomen are regarded by the Apaches as an incumbrance. They are of so\nlittle account that they are not even given a name. Mothers _mourn_ at\ntheir birth.\n\nThe Indians occupying a reservation of seven hundred square miles in\nsouthern New Mexico, and numbering, at the present writing, about four\nhundred and fifty souls, are typical Apaches, and closely related by\nblood to the other Apaches of Arizona and New Mexico. They exhibit the\nusual race characteristics,--of ignorance, stubbornness, superstition,\ncruelty, laziness, and treachery.\n\nIn December, 1894, Lieutenant Stottler first assumed the charge of these\nIndians. In spite of the fact that for many years a generous government\nhad supplied them annually with rations, clothing, working implements,\netc., they were then living in _tepees_, or brush shelters, on the side\nhills; clad in breech-clout and blanket, wearing paint, and long hair,\nand thanklessly receiving their rations of beef, flour, coffee, sugar,\nsalt, soap, and baking-powder. A few of them condescended to raise corn\nand oats; but acres of tillable land on the reservation were still\nunused.\n\n\"They were,\" says Lieutenant Stottler, in an able and interesting\nreport, \"not only contented with this order of things, but desirous and\ndetermined to prolong it indefinitely.\"\n\nFifty per cent of their children were in school, but the parents were\nwholly opposed to their education. Among them were twenty strong,\nbroad-shouldered Indian adults, educated at the expense of thousands of\ndollars, yet still running about the reservation in breech-clout and\nblanket, wilder than any uneducated Indian on it.\n\nThe girls were held from school, and at ten and twelve years of age were\ntraded for ponies, into a bondage worse than any known slavery.\n\nFourteen Indian policemen are allowed the agent. Their especial duty is\nto see that the herd of beef cattle for their own eating is properly\ncared for. The police, each had a cabin to live in; but each, in scorn\nof this civilized innovation, had carefully planted alongside of his\ncabin a _tepee_ to sleep in. To get these policemen into civilized\nclothing, under threat of duress, and to order all _tepees_ away from\ntheir cabins, was the agent's first move. Next, it was decided that all\nchildren five years old and upwards _must_ be placed in school at the\nbeginning of the school year, whether the parents were willing or not.\nEvery Indian man was ordered to select a piece of land, and put in his\nposts. To break up the influence of chiefs or bands, who, claiming the\nwhole country, deterred the people from work, by threats, appears to\nhave been up-hill work; \"but now,\" says the agent (in 1897), \"there are\nno chiefs, and 'work or starve' is the policy.\" Formerly, government\nsupplies of clothing, wagons, harness, and utensils, as soon as issued,\nhad been packed on burros and sold for a mere song to settlers about the\nreservation. This abuse was promptly stopped, as also was the making of\n_tiswin_.\n\nThis native drink, made from Indian corn, is said to be more maddening\nin its effect than any other known intoxicant; Indians brutalized by\n_tiswin_ fought, as do our own drunkards, and often wounded or killed\neach other. For corn to make this detestable beverage, an Indian would\ntrade away the last article in his possession.\n\nIt was proclaimed by the agent that the maker of this poison would be\nimprisoned for six months, at hard labor, in the guard-house. This\nstopped its manufacture, and there are no longer drunken Indians at the\nreservation. Occasionally they still get liquor at Las Cruces, when sent\nthere for freight.\n\nAll supplies are hauled from the railroad over-land. The distance is one\nhundred and ten miles; about one hundred thousand pounds are annually\nbrought in this way to the reservation, and without harm or loss. Much\nof the Indian's savagery lies (like Samson's strength) in his hair; to\nhis long, matted tresses he clings tenaciously. As a beginning,\nLieutenant Stottler induced one old fellow--a policeman--with the\nreward of a five-dollar gold piece to cut his precious locks. Thus\nmetamorphosed, he became \"the cynosure of all eyes.\" His squaw made life\na burden to him; and thus badgered, he, in turn, pestered the agent to\nget the entire police force to cut theirs.\n\nIt was long before the general consent to part with these cherished\ntresses could be won; and it became necessary to put some of the Indians\nin the guard-house to accomplish this reform. Finally, orders were asked\nfrom Washington, and received, compelling submission to the shearing.\n\nWhen the Indians saw the Washington order, they all gave in, with the\nexception of a last man, who had to be \"thumped into it.\" Their hair\nwell cut, a raid was made on breech-clout and blanket. Now they all\nappear in civilized clothing. This seems to have been the turning-point\nin their wildness.\n\n\"Now,\" says the agent, \"they come and ask for scissors and comb to cut\ntheir hair, and volunteer the information that they were 'fools to\noppose it.'\"\n\nAbout half a dozen of these Indians were found by Lieutenant Stottler\nwith two wives; since none others were permitted, this matrimonial\nindulgence, polygamy, is, consequently, dying a natural death at\nMescalero. It is found hard to control the ancient practice of dropping\na wife and taking up another without the troublesome formality of a\ndivorce, which has practically the same result as polygamy. In spite of\nthe slip-shodness of the marriage-tie among the Indians, \"they are,\"\nsays the Lieutenant, \"about as badly henpecked as it is possible to\nimagine. Not by the wife, however; but by that ever dreaded being, her\nmother.\" He gives in his paper a most amusing account of the relation\nbetween the son-in-law and this much-maligned treasure of our higher\ncivilization. \"Just why it is,\" he says, \"no Indian has ever been able\nto explain to me, but an Indian cannot look at his mother-in-law.\n\n\"If she enters his _tepee_, he leaves; if he enters and she is within,\nhe flees at once. He cannot stay in her august presence. If his wife and\nhe quarrel, his mother-in-law puts in an appearance, and manages his\naffairs during his enforced absence so long as she pleases. Perhaps she\ntakes his wife to her own _tepee_, where he dare not follow. In this\ndilemma, he either comes to terms, or the situation constitutes a\ndivorce.\n\n\"Does the agent wish a child brought to school, or a head of a family to\ntake land, and try to farm it, the mother-in-law, if hostile (and she\nusually is), appears on the scene. Then the head of the family hunts the\nwoods for refuge.\n\n\"The sight of several stalwart bucks hiding behind doors, barrels, and\ntrees, because a dried-up, wizened squaw heaves in sight, is a spectacle\nthat would be ludicrous, were it not for its far-reaching results. As an\nIndian may take, in succession, many wives, who still stand to his\ncredit, the agent has, practically, many mothers-in-law to contend with.\nConsequently, these family magnets have been officially informed that\nthe guard-house awaits any of them who may be found maliciously\ninterfering with the families of their children.\n\n\"Hard labor added to this sentence, it is hoped, may at length have the\neffect of breaking up this absurd superstition.\"\n\nBy this account it may be seen that \"one of the most far-fetched notions\nthat ever entered into the minds of men\" is found domesticated among the\nMexican aborigines. It is asserted, as a chronological fact, that the\nMexican Pueblos \"invented the mother-in-law joke gray ages before it\ndawned upon our modern civilization.\"\n\nThe lamented Cushing, in his account of the \"restful, patriarchal,\nlong-lonely world\" of his research, tells us that he found the\nmother-in-law a too pronounced factor in the Zuni family circle; and, as\nwe know, in our own higher civilization the mother-in-law, held in\ngood-natured reprobation, serves to point many a harmless jest.\n\nWhite enthusiasts--with whom the \"wrongs of the Indian\" are a standing\ngrievance--but imperfectly realize the difficulty of taming these\nsavages, getting them well off the warpath, and making them cleanly and\nself-supporting. It may, therefore, be well to present the side shown us\nby the agent in his able paper of statistical facts.\n\n\"The Apache tribe,\" he tells us, \"has one hundred and sixteen children\nat school,--nineteen at Fort Lewis, Colorado, and ninety-seven at the\nreservation boarding-school. Each child has one-half day in class and\none-half day of industrial work. The girls take their turns in the\nlaundry, sewing-room, and kitchen, and at dormitory work. The boys do\nthe heavy work in the kitchen and laundry, chop the wood, and till the\nfarm under the charge of the industrial teacher. All the vegetables for\ntheir use are raised on the farm, and the surplus sold.\n\n\"The aim of the school is to teach the rising generation of Apaches how\nto make a living with the resources of the reservation, and, in time, to\nbecome self-supporting.\n\n\"To this end useful rather than fancy trades are taught. Boys are\ndetailed with the blacksmith and carpenter, to learn the use of common\ntools. To do away with the inborn contempt of the aboriginal male for\nthe women of his tribe, boys and girls at the reservation are not only\ntrained to study, recite, and sit at meals with girls, but a weekly\n'sociable' is held for the scholars.\n\n\"On such nights they have games and civilized dances. Every boy is\nrequired formally to approach and request, 'Will you dance this dance\nwith me?' and to offer his partner his arm when the reel, quadrille,\netc., is finished, and escorting her to her seat, leave her with a\npolite 'thank you.'\"\n\nIn the agent's report for the years 1896-97, \"this year,\" he says, \"the\nIndian boys raised twenty-five thousand pounds beets, twenty thousand\npounds cabbage, one thousand pounds cauliflower, five hundred pounds\nturnips, one thousand four hundred pounds celery, five hundred pounds\nradishes, one thousand four hundred pounds of onions, nineteen thousand\npounds of pumpkins and squash, four hundred pounds of peas, nine hundred\nand sixty pounds of corn, six thousand five hundred pounds of potatoes,\nbesides cucumbers, pie-plant, and asparagus.\n\n\"The school has a pen of swine, a flock of chickens, and a fine herd of\nmilch cows; and all the hay and fodder for them and the horses are\nraised on the farm. Oats and corn are purchased from the Indians, who,\nin 1895, raised one hundred and fifty thousand pounds.\n\n\"The adult Indians,\" he adds, \"cut this year one hundred and sixty cords\nof wood for the school, for which I paid them two dollars and fifty\ncents per cord. In the winter of 1896 the industry of blanket-making was\nintroduced into the reservation. Navajo blanket-makers were employed to\nteach to the Mescalero women their incomparable method of carding,\nspinning, and dyeing wool, and weaving blankets. Twenty of the\nMescaleros,\" boasts the agent, \"can to-day make as good blankets as the\nNavajos themselves.\n\n\"The reservation is mountainous, and one of the finest sheep ranges in\nthe country. Government has allowed five thousand sheep for general\ndistribution at the reservation, and in addition, five hundred head for\nthe school; where a room is now set aside for the looms of the older\ngirls, who will, in their turn, become instructors in this useful art.\nThis puts into their hands another opportunity to become\nself-supporting.\"\n\nThe visitors from Mesilla Valley were kindly admitted behind the scenes\nat the reservation, to make acquaintance with its people, both old and\nyoung; and were highly interested and entertained by the picturesqueness\nof the Indian character.\n\nThe Grumbler had brought his camera along. He was a skilled amateur\nphotographer, and had offered his services in that capacity to the\nlittle party.\n\nTo bring his household under the focus of that apparatus was no easy\ntask for the courteous agent. An Indian is nothing if not a believer in\nwitches. In his aboriginal mode of life witch-hunting and\nwitch-punishing are among his gravest occupations. He pursues them with\na vigorous hand, and with a superstitious zeal equal to that of the most\npersistent white man in the palmiest days of Salem witch-hunting and\nwitch-burning. The Mescaleros, to a soul, are believers in witchcraft.\nThe camera, as might be seen from its effect, was plainly bewitched.\nThey would have none of it.\n\nThe school children, having no choice, must needs range themselves in\nscared, sullen rows, and be \"took\" under compulsion.\n\nSuspiciously eying the operator, they sullenly took their prescribed\npose, and heedless of the immemorial request, \"Now look pleasant,\" went\nsourly through the terrible ordeal.\n\nSome of the older girls, pleased with the novelty, submitted more\ncheerfully; but the younger pupils, looking askance at the white men,\ncovered their faces, so far as was possible, with hair, or hands, and\nwere thus providentially carried safely through this process of\nbewitchment.\n\nSome of the schoolboys had fine, intelligent faces; of others, the\nGrumbler subsequently observed that \"they were the kind that grow up and\nscalp white settlers.\"\n\nA curious young squaw, from the opened slit of her _tepee_, watched the\napproach of the party with their bedevilled machine. Her position was\nexcellent; but no sooner had the operator arranged his camera for a snap\nshot at this picturesque subject, than, with a scared yell, the woman\nbounded out of range, closing behind her the aperture--her front door.\n\nThe result was merely an uninteresting view of an Indian _tepee_, which\nis like nothing more than a mammoth ant-hill, minus the symmetry and\nnice perpendicular of that more intelligently fashioned structure.\n\nTwo incorrigible squaws in \"durance vile\" for making _tiswin_, as they\nsullenly served their sentence of hard labor at the reservation\nwoodpile, looked defiantly up from their task of chopping fuel, and\nscowled viciously at the witch machine and its abettors.\n\nThey, however, succeeded in getting a fairly good picture of these\nhideous-faced beings, as \"withered and wild\" as the uncanny sisters who\nbrewed \"hell broth\" before the appalled Macbeth, beneath the midnight\nmoon, on Hampton Heath.\n\nA mild-eyed Indian woman, whose peaceful occupation was to scrub the\nreservation floors, kindly submitted to the bother of being put into a\npicture, along with the insignia of her office,--a scrubbing-pail.\n\nNot so \"Hot Stuff,\" a highly picturesque squaw, claiming the proud\ndistinction due to the \"oldest inhabitant.\" This \"contrairy\" female,\nimpervious to moral suasion, was finally induced to pose before the\nterrible \"witch-thing\" by the threat of having her rations withheld\nuntil her consent to be \"taken\" was obtained. Scared and reluctant, she\nwas at last photographed; but required Lieutenant Stottler to protect\nher with his arm through the perils of this unfamiliar ordeal. This he\ngood-naturedly did, and is immortalized along with this aged squaw.\n\nAfter an interesting visit of two nights and a day at the reservation,\nthe Koshare turned their faces towards Mesilla Valley, where, after two\nuneventful days, they arrived in safety, full of the novelties\nencountered, charmed with the courteous and gentlemanly agent, but\nwearied with the long ride, and heartily glad to return to white\ncivilization.\n\n\n\n\nCHAPTER XIV\n\n\nIt was at the close of the week succeeding that of the little journey\nacross the mountains that the Koshare held their last Saturday evening\nsession. To punctuate the finality of this gathering, a variation from\nthe usual programme was proposed by the Antiquary. Members of the Club\nwere requested to supplement his brief paper by giving such written or\nverbal statements, along the same line as their own research might\nenable them to make. To this proposal many of the Koshare had agreed,\nand had come well primed for lively discussion.\n\nThe attendance was unusually full, nearly all the boarders, in addition\nto the regular Club members, being in attendance.\n\nThe Antiquary led with the following interesting paper, which, as he\nexplained, was, in a way, supplementary to those on the Aztecs.\n\n\"As the Tezcucans were of the family of the Aztecs,\" began Mr.\nMorehouse, \"and are said far to have surpassed them in intellectual\nculture and the arts of social refinement, some slight notice of their\ncivilization may not prove irrelevant.\n\n\"Ixtilxochitl is the uneuphonious name of the native chronicler,\npurporting to be a lineal descendant of the royal line of Tezcuco, who\nhas given us his highly  narrative of the Tezcucan civilization.\nIt may be prefaced with the information that Ixtilxochitl (who\nflourished so late as the century of the Conquest) has had his\nreputation so torn to tatters by the critics of later years that he has,\nfiguratively, 'not a leg to stand on.'\n\n\"But as Prescott commends his 'fairness and integrity,' and says 'he has\nbeen followed, without misgiving, by such Spanish chroniclers as could\nhave access to his manuscripts,' without attempting to settle the vexed\nquestion of the probability of its details (which are a combination of\n'Munchausen' and 'Arabian Nights'), we also will follow his marvellous\nstory of the Tezcucan Prince Nezahualcoyotl. Passing lightly over the\nfascinating chapter of that prince's romantic adventures,--his\nmarvellous daring, his perilous escapes from the fierce pursuit of the\nusurper Maxtla, and the dethronement and violent end of that\nbloody-minded monarch,--we come to the time when Nezahualcoyotl,\nrestored to the throne of his fathers, is firmly established in the love\nand fealty of his people, and may turn his attention to the production\nof the odes and addresses handed down in Castilian by his admiring\ndescendant Ixtilxochitl. This admirable monarch was, we are informed,\n'the Solon of Anahauc.' His literary productions turn, for the most\npart, on the vanity and mutability of human life, and strikingly embody\nthat Epicurean poetic sentiment, expressed, at a later time, by our own\nEnglish poet, Herrick, in such verses as 'Gather ye rose-buds while ye\nmay.'\n\n\"'Banish care,' sings the royal Tezcucan bard; 'if there be bounds to\npleasure, the saddest life must also have an end. Then wear the chaplet\nof flowers, and sing thy songs in praise of the all-powerful God; for\nthe glory of the world soon fadeth away.\n\n\"'Rejoice in the green freshness of thy spring; for the day will come\nwhen thou wilt sigh for these joys in vain. Yet the remembrance of the\njust' (piously adds the poet) 'shall not pass away from the nations; and\nthe good thou hast done shall ever be held in honor.' And\nanon,--returning to his _Epicurean_ 'muttons,'--he sings: 'Then gather\nthe fairest flowers in the gardens to bind round thy brow, and seize the\njoys of the present ere they perish.'\n\n\"An English translation of one of Nezahualcoyotl's odes has been made\nfrom the Castilian. It harps upon the same old string, as also do his\nprose essays, which have less literary merit than his verse. We are told\nby his panegyrist that not all the time of this incomparable monarch was\npassed in dalliance with the muse, but that he won renown as a warrior,\nand in the interests of peace also fostered the productive arts that\nmade his realm prosperous, as agriculture, and the like practical\npursuits. Between times he appears to have looked well after the\nwell-being of his children, who, in numbers, rivalled the progeny of our\nmodern patriarch, Brigham Young. It is recorded that by his various\nwives this monarch had no less than sixty sons and fifty daughters. (One\ncondones his disgust with life!) The Tezcucan crown, however, descended\nto the children of his one legal wife, whom he married late in life. The\nstory of his wooing and winning this fair lady is almost an exact\ncounterpart of the Bible account of King David's treacherous winning of\nUriah's beautiful consort.\n\n\"It is related of Nezahualcoyotl, that having been married for some\nyears to this unrighteously obtained wife, and not having been blest\nwith issue by his beautiful queen, the priests persuaded him to\npropitiate the gods of his country--whom he had pointedly neglected--by\nhuman sacrifice. He reluctantly consented; but all in vain was this\nmistaken concession. Then it was that he indignantly repudiated these\ninefficient Pagan deities.\n\n\"'These idols of wood and stone,' said he, 'can neither hear nor feel;\nmuch less could they make the heavens, and the earth, and man, the lord\nof it. These must be the work of the all-powerful unknown God, creator\nof the universe, on whom alone I must rely for consolation and support.'\nHe thereupon withdrew to his rural palace, where he remained forty days,\nfasting and praying at stated hours, and offering up no other sacrifice\nthan the sweet incense of copal, and aromatic herbs and gums.\n\n\"In answer to his prayer, a son was given him,--the only one ever borne\nby his queen. After this, he made earnest effort to wean his subjects\nfrom their degrading religious superstition, building a temple, which he\nthus dedicated: 'To the Unknown God, the _Cause_ of _Causes_.' No image\nwas allowed in this edifice (as unsuited to the 'invisible God'), and\nthe people were expressly prohibited from profaning its altars with\nblood, or any other sacrifice than that of flowers and sweet-scented\ngums. In his old age the king voiced his religious speculations in hymns\nof pensive tenderness.\n\n\"In one of these, he thus piously philosophizes: 'Rivers, torrents, and\nstreams move onward to their destination. Not one flows back to its\npleasant source. They must onward, hastening to bury themselves in the\nbosom of the ocean. The things of yesterday are no more to-day, and the\nthings of to-day shall cease to-morrow. The great, the wise, the\nvaliant, the beautiful,--alas, where are they?'\"\n\n\"The compositions of Nezahualcoyotl,\" observed the Grumbler, as the\nAntiquary folded away his finished paper, \"though strictly founded on\nfact, are not exhilarating. His family was too large; and the wonder is,\nnot that his odes and hymns are depressing, but that he should have the\nheart to 'drop into poetry' at all!\"\n\n\"We are told,\" rejoined the Journalist, \"by his descendant with the\nunpronounceable name, that once in every four months his entire family,\nnot even excepting the youngest child, was called together, and orated\nby the priesthood on the obligations of morality, of which, by their\nexalted rank, they were expected to be shining examples. To these\nadmonitions was added the compulsory chanting of their father's hymns.\"\n\n\"Poor beggars!\" pitied the Grumbler; \"how they must have squirmed under\nthis ever-recurring royal 'wet blanket!'\"\n\n\"You forget,\" said Leon Starr, coming to the rescue of the poet-father,\n\"that in view of their inevitable mortality the bard had already advised\nthem to 'banish care, to rejoice in the green freshness of their spring;\nto bind their brows with the fairest flowers of the garden, seize the\njoys of the present, and'--in short, had given them leave to have no end\nof larks, which, of course, they naturally and obediently did.\"\n\n\"It is a noteworthy fact,\" observed Mr. Morehouse, \"that many\naborigines--though but scantily supplied with clothing, as the natives\nof Samoa and the Sandwich Islanders--take great delight in adorning the\nbody with flowers. To this liking the Tezcucan king especially appeals\nin his odes and hymns. The Mexicans have from time immemorial doted on\nflowers. This taste three hundred years or more of oppression has not\nextinguished.\"\n\n\"Do you remember, dear,\" asked Mr. Bixbee, turning to his wife, \"the\nflower market in the Plaza at Mexico?\" (The pair had, a year or two\nearlier, explored that city)--\"that iron pavilion partly covered in with\nglass, and tended by nut-brown women and smiling Indian girls?\"\n\n\"Shall I ever forget it?\" was her enthusiastic response. \"The whole\nneighborhood was fragrant with perfume of vases of heliotrope, pinks,\nand mignonette; and such poppies, and <DW29>s, and forget-me-nots I\nnever elsewhere beheld!\"\n\n\"One can believe in absolute floral perfection,\" said the Journalist,\n\"in a country which embraces all climates. 'So accurately,' observes\nWilson, 'has nature adjusted in Mexico the stratas of vegetation to the\nstate of the atmosphere, that the skilful hand of a gardener might have\nlaid out the different fields, which, with their charming vegetation,\nrise, one above another, upon the fertile mountain sides of the\ntable-land.'\n\n\"Along with many other important vegetable growths, the cotton-plant is\nsupposed to be indigenous to Mexico, as Cortez, on his first landing,\nfound the natives clothed in cotton fabrics of their own manufacture.\nIts culture continues to the present day, but with very little\nimprovement in method since the earlier time of the Spanish Conquest.\"\n\n\"And now,\" asked the Harvard man, \"since we are on the subject of\nMexican natural floral products, may I speak my little piece, which I\nmay call, 'What I have learned about the Cactus'?\"\n\nThe Koshare graciously assenting, Roger Smith thus began:\n\n\"In Mexico the cactus is an aboriginal and indigenous production.\nSeveral hundred varieties are identified by botanists. A beautiful sort\nis Cereus grandiflora. As with us, this variety blooms only at night;\nits frail, sweet flower dying at the coming of day. The cactus seems to\ngrow best in the poorest soil. No matter how dry the season, it is\nalways juicy. Protected by its thick epidermis, it retains within its\ncirculation that store of moisture absorbed during the wet season, and\nwhen neighboring vegetation dies of drought is still unharmed. Several\nvarieties of cactus have within their flowers an edible substance, which\nis, in Monterey, brought daily to market by the natives. That species\nof cactus which combines within itself more numerous uses than any known\nvegetable product is known as the maguey, or century plant.\n\n\"Upon the Mexican mountains it grows wild as a weed; but as a domestic\nplant it is cultivated in little patches, or planted in fields of\nleagues in extent. Its huge leaf pounded into a pulp makes a substitute\nboth for cloth and paper. The fibre of the leaf, when beaten and spun,\nforms a silk-like thread, which, woven into a fabric, resembles linen\nrather than silk. This thread is now, and ever has been, the sewing\nthread of the country. From the leaf of the maguey is crudely\nmanufactured sailcloth and sacking; and from it is made the bagging now\nin common use.\n\n\"The ropes made from it are of that kind called manila. It is the best\nmaterial in use for wrapping-paper. When cut into coarse straws, it\nforms the brooms and whitewash brushes of the country, and as a\nsubstitute for bristles it is made into scrub-brushes, and, finally, it\nsupplies the place of hair-combs among the common people. So much for\nthe cactus leaf; but from its sap arises the prime value of the plant.\n\n\"From this is made the favorite intoxicating drink of the common people\nof Mexico. This juice in its unfermented state is called honey water.\nWhen fermented it is known as pulque. The flowering maguey, the 'Agava\nAmerican,' is the century plant of the United States.\n\n\"In its native habitat the plant flowers in its fifteenth year, or\nthereabout; and we are assured that nowhere, as is fabled, does its\nbloom require a long century for its production. The juice of the maguey\nis gathered by cutting out the heart of the flower of the central stem,\nfor whose sustenance this juice is destined. A single plant, thus\ngingerly treated, yields daily, for a period of two or three months,\naccording to the thriftiness of the plant, from four to seven quarts of\nthe honey water, which, before fermentation, is said to resemble in\ntaste new sweet cider.\n\n\"Large private profit accrues to the owner of maguey estates, and the\ngovernment excise derived from the sale of the liquor is large. Pulque\nis the lager of the peon. It was the product of the country long before\nthe time of the Montezumas; and Ballou tells us that 'so late as 1890\nover eighty thousand gallons of pulque were daily consumed in the city\nof Mexico.'\n\n\"It is said to be the peculiar effect of pulque to create, in its\nimmoderate drinkers, an aversion to other stimulants; the person thus\nusing it preferring it to any and all other drinks, irrespective of\ncost.\"\n\nThe Minister followed Roger Smith with an account of a famous tree of\nMexico.\n\n\"It was at Papotla,\" said this much-travelled invalid, \"a village some\nthree miles from that capital, that we saw this remarkable tree, which\nis called 'The Tree of the Noche Triste' (the Dismal Night), because\nCortez in his disastrous midnight retreat from the Aztec capital is said\nto have sat down and wept under it. Be that as it may, the Noche Triste\nis undoubtedly a tree of great age. It is of the cedar family, broken\nand decayed in many parts, but still enough alive to bear foliage.\n\n\"In its dilapidated condition it measures ten feet in diameter, and\nexceeds forty feet in height. Long gray moss droops mournfully from its\ndecaying branches, and, taken altogether, it is indeed a dismal tree.\n\n\"It is much visited, and held sacred and historic by the people, who\nguard and cherish it with great care.\"\n\n\"It calls up singular reflections,\" commented the Journalist, \"to look\nupon a living thing that has existed a thousand years, though it be but\na tree. Though so many centuries have rolled over the cypresses of\nChapultepec, they are yet sound and vigorous.\n\n\"These trees are the only links that unite modern and ancient American\ncivilization; for they were in being when that mysterious race, the\nToltecs, rested under their shade; and they are said to have long been\nstanding, when a body of Aztecs, wandering away from their tribe in\nsearch of game, fixed themselves upon the marsh at Chapultepec, and,\nspreading their mats under these cypresses, enjoyed in their shadow\ntheir noontide slumber. Then came the Spaniards to people the valley\nwith the mixed races, who respected their great antiquity, so that\nduring all the battles that have been fought around them they have\npassed unharmed, and amid the strife and contentions of men have gone\nquietly on, adding many rings to their already enlarged circumference.\n'Heedless,' says Wilson, 'of the gunpowder burned over their heads and\nthe discharge of cannon that has shaken their roots, as one ephemeral\nMexican government succeeded another, these cypresses still remain\nunharmed, and may outlive many other dynasties.'\"\n\n\"Apropos of the subject,\" said the Antiquary, \"Nezahualcoyotl, according\nto his descendant, the native historian, embellished his numerous villas\nwith hanging gardens replete with gorgeous flowers and odoriferous\nshrubs. The steps to these charming terraces--many of them hewn in the\nnatural porphyry, and which a writer who lived in the sixteenth century\navers that he himself counted--were even then crumbling into ruins.\nLater travellers have reported the almost literal decay of this\nwonderful establishment. Latrobe describes this monarch's baths (fabled\nto have been twelve feet long by eight wide) as 'singular basins,\nperhaps two feet in diameter, and not capacious enough for any monarch\nlarger than Oberon to take a ducking in.'\n\n\"The observations of other travellers confirm this account. Bullock\ntells us that some of the terraces of this apparently mythical palace\nare still entire; and that the solid remains of stone and stucco\nfurnished an inexhaustible quarry for the churches and other buildings\nsince erected on the site of that ancient Aztec city.\n\n\"Latrobe, on the contrary, attributes these ruins to the Toltecs, and\nhints at the probability of their belonging to an age and a people still\nmore remote. Wilson, on the other hand, positively accords them to the\nPhoenicians.\"\n\n\"In reading up on this famous empire, Tezcuco,\" said Leon Starr, \"one is\ninclined to believe that every vestige of this proud magnificence could\nnot possibly have been obliterated in the short period of three\ncenturies, leaving on the spot only an indifferently built village,\nwhose population of three hundred Indians, and about one hundred whites,\nmaintain themselves in summer by gardening, and sending in their canoes\ndaily supplies of 'herbs and _sullers_' (whatever this last may be) to\nMexico, and, in winter, by raking the mud for the 'tegnesquita,' from\nwhich they manufacture salt.\"\n\n\"Wilson,\" said the Grumbler, \"tells us that 'the Tezcucan descendant of\nan emperor \"lied like a priest.\"' However that may be, one cannot quite\nswallow his own relation 'in its entirety.'\"\n\n\"Right you are,\" responded the Harvard man; \"and now here is Miss\nNorcross, waiting, I am sure, to cram us still further with Mexican\ninformation.\"\n\n\"It is only,\" said this modest little lady, \"some bits that I have\njotted down about Mexican gems;\" and shyly producing her paper, she thus\nread:\n\n\"In enumerating the precious stones of Mexico,--the ruby, amethyst,\ntopaz, and garnet, the pearl, agate, turquoise, and chalcedony,--one\nmust put before them all that wonder of Nature,--the Mexican fire opal,\nwhich, though not quite so hard as the Hungarian or the Australian opal,\nexcels either of them in brilliance and variety of color. Of this\nbeautiful stone Ballou has aptly said, 'It seems as if Nature by some\nsubtle alchemy of her own had condensed, to form this fiery gem, the\nhoarded sunshine of a thousand years.' He tells us that, in his Mexican\ntravels he saw an opal, weighing fourteen carats, for which five\nthousand dollars was refused. 'Really choice specimens,' he goes on to\nsay, 'are rare. The natives, notwithstanding the abundance of opals\nfound in Mexico, hold tenaciously to the price first set upon them.\nTheir value ranges from ten dollars to ten hundred.'\n\n\"In modern times, as we all know, a superstition of the unluckiness of\nthe stone long prevailed. Now, the opal has come to be considered as\ndesirable as it is beautiful, and, endorsed by fashion, takes its\nrightful place among precious gems. A London newspaper states that a\ngiant Australian opal, oval in shape, measuring two inches in length, an\ninch and a half deep, and weighing two hundred and fifty carats, is\ndestined to be given to King Edward the Seventh; and that Mr. Lyons, the\ngiver, a lawyer of Queensland, desires that it should be set in the\nKing's regalia of the Australian federation. The London lapidaries\nbelieve it to be the finest and largest opal in the world.\n\n\"Its only rival in size and beauty is the Hungarian opal, possessed by\nEmperor Francis Joseph of Austria. This gem is known as the 'Imperial\nopal,' and is said, in its rainbow beauty, to display the blended colors\nof the ruby, the emerald, and the amethyst.\n\n\"What is termed the 'fire' of the gem appears to burn in its remotest\ndepths, with a glow and fervor which at times seem to convert the stone\nfrom the opaque to the semi-transparent.\"\n\n\"We have in our own family,\" said Miss Paulina Hemmenshaw,\nsupplementing this account, \"a rare Mexican opal. Long, long ago, it was\ngiven as an engagement ring to my mother's youngest sister, by her\nlover, who, while travelling in Mexico, had secured this exquisite stone\nfor a betrothal pledge. On the very eve of her wedding-day my beautiful\nAunt Margaret died of an unsuspected heart-disease. The old superstition\nof the unluckiness of the opal being then dominant, my aunt's superb\nring was laid by as a thing malignant as beautiful.\n\n\"As a child I was sometimes allowed to take this sad memento of my dead\naunt from its nest of cotton wool and admire its harmful splendor. At my\nmother's death it descended, along with all her own jewels, to me, her\nonly daughter. Now that we have outlived the foolish superstition in\nrespect to this precious stone, I have made up my mind,\" said the good\naunt, beaming kindly on her niece, \"to take this ring from the Safety\nVault, on our return to Boston, and make it one of my wedding gifts to\nthis dear child.\"\n\n\"Many thanks, dear ladies,\" said Mrs. Bixbee, as Miss Paulina ended,\n\"for your talks about the opal. It is my favorite among precious stones.\nI even prefer it to the diamond, as something warmer and more alive. I\nam glad that its character is looking up in these days.\"\n\n\"All the same,\" said Mrs. Fairlee, complacently turning on her slim\nwhite finger a superb Hungarian sapphire, \"nothing would tempt me to\nwear a stone even suspected of uncanniness. Trials and crosses, of\ncourse, will befall one, but it seems to me foolhardy to wear jewels\nsupposed to attract misfortune, and, for my part, I am still suspicious\nof opals; and were I King Edward, I shouldn't thank my loyal Australians\nfor the gift of an ill-omened jewel, however costly and beautiful.\"\n\n\"Well,\" commented the Journalist, \"every one for his fancy; mine, I\nconfess, is to 'mouse round' among musty book-shelves. Looking over my\nportable store of odds and ends for something relevant to this evening's\ndiscussion, I came upon this extract from the 'Voyages of one \"Thomas\nPage,\"'--a black letter copy of whose long-forgotten book, printed in\nLondon, in 1677, is still extant. As a curious picture of the times, it\nis not without an especial value; and, with your approval, I will now\nread it:\n\n\"This account must be prefaced with the explanation that Thomas Page was\nan English Dominican, who, as a missionary-monk, with his brother\nDominicans travelled to his destination in Manila, by the road across\nMexico, landing, by the way, at Vera Cruz, and there depositing some\nillustrious fellow-voyagers.\n\n\"'When we came to land,' says this quaintly circumstantial writer, 'all\nthe inhabitants of the city had congregated in the Plaza to receive us.\nThe communities of monks were also there, each one preceded by a large\ncrucifix,--the Dominicans, the San Franciscans, the Mercedarios,--in\norder to conduct the Virey (the Viceroy) of Mexico as far as the\nCathedral.\n\n\"'The Jesuits and friars from the ships leaped upon the shore from the\nships. Many of them (the monks) on stepping on shore, kissed it,\nconsidering that it was a holy cause that brought them there,--the\nconversion of the Indians, who had before adored and sacrificed to\ndemons; others kneeled down and gave thanks to the Virgin Mary and other\nsaints of their devotion, and then all the monks hastened to incorporate\nthemselves with their respective orders in the place in which they\nseverally stood. The procession, as soon as formed, directed itself to\nthe Cathedral, where the consecrated wafer (called in the English\noriginal the bread God) was exposed upon the high altar, and to which\nall kneeled as they entered.... The services ended, the Virey was\nconducted to his lodgings by the first Alcalde, the magistrate of the\ntown, and judges, who had descended from the capitol to meet him,\nbesides the soldiers of the garrison and the ships. Those of the\nreligious orders that had just arrived were conducted to their\nrespective convents, crosses, as before, being carried at the head of\neach community.\n\n\"'Friar John presented us [his missionaries] to the Prior of the Convent\nof San Domingo, who received us kindly, and directed sweetmeats to be\ngiven us; and also there was given to each of us a cup of that Indian\nbeverage which the Indians call chocolate. \"This,\" the good friar tells\nus, \"was but a prelude to a sumptuous dinner, composed of flesh and fish\nof every description, in which there was no lack of turkeys and capons.\nThis feast,\" he naively apologizes, \"was not set out for the purpose of\nworldly ostentation, but to manifest to us the abundance of the\ncountry.\"\n\n\"'The Prior of Vera Cruz,' he informs us, 'was neither old nor severe,\nas the men selected to govern communities of youthful religious orders\nare accustomed to be. On the contrary, he was in the flower of his age,\nand had all the manner of a joyful and diverting youth. His fathership,\nas they told us, had acquired the Priory by means of a gift of a\nthousand ducats, which he had sent to the Father Provincial. After\ndinner he invited some of us to visit his cell, and then it was we came\nto know the levity of his life....\n\n\"'The cell of the Prior was richly tapestried, and adorned with feathers\nof birds of Michoacan; the walls were hung with various pictures of\nmerit; rich rugs of silk covered the tables; porcelain of China filled\nthe cupboards and sideboards; and there were vases and bowls containing\npreserved fruits and most delicate sweetmeats.\n\n\"'Our enthusiastic companions did not fail to be scandalized at such an\nexhibition, which they looked upon as a manifestation of worldly vanity,\nso foreign to the poverty of a begging friar....\n\n\"'The holy Prior talked to us only of his ancestry, of his good parts,\nof the influence with the Father Provincial; of the love which the\nprincipal ladies and the wives of the richest merchants manifested to\nhim, of his beautiful voice, of his consummate skill in music. In fact,\nthat we might not doubt him in this particular, he took the guitar and\nsung a sonnet which he had composed to a certain _Amaryllis_. This was a\nnew scandal to our newly arrived _religious_, which afflicted some of\nthem to see such libertinage in a prelate, who ought, on the contrary,\nto have set an example of penance and self-mortification, and should\nshine like a mirror in his conduct and words.... In the Prior's cell of\nthe Convent of Vera Cruz' (concluded this character sketch) 'we listened\nto a melodious voice, accompanied with a harmonious instrument, we saw\ntreasures and riches, we ate exquisite confectioneries, we breathed\namber and musk, with which he had perfumed his syrups and conserves. O,\nthat delicious Prior!' exclaims our English monk, the humor of the\nsituation overcoming his horror of the scandalous behavior of the\necclesiastic.\"\n\n\"And now,\" said the Minister, producing some leaves of sermon-like\nscript, \"may I call your attention, my friends, to the striking\nanalogies found in the religious usages and belief of the\nAztec,--correspondent with those of the Christian,--some of which I have\nconsidered in this little paper?\n\n\"One of the most extraordinary coincidences with Christian rites may, I\nthink, be traced in their ceremony of naming their children,--the Aztec\nbaptism. An account of this rite, preserved by Sahagan, is thus put into\nEnglish:\n\n\"'When everything,' says the chronicler, 'necessary for the baptism had\nbeen made ready, all the relations of the child were assembled, and the\nmidwife, who was the person that performed the rite of baptism. After a\nsolemn invocation, the head and lips of the infant were touched with\nwater, and a name was given it; while the goddess Cioacoatl, who\npresided over childbirth, was implored that \"the sin which was given to\nthis child before the beginning of the world might not visit the child,\nbut that, cleansed by these waters, it might live and be born anew.\"\nThis,' continues the narrator, 'is the exact formula used: \"O my child!\ntake and receive the water of the Lord of the world, which is our life,\nand is given for the increasing and renewing of our body. It is to wash\nand purify. I pray that these heavenly drops may enter into your body\nand dwell there, that they may destroy and remove from you all the sin\nwhich was given to you at the beginning of the world.\n\n\"'She then washed the body of the child with water. This done, \"He now\nliveth,\" said she, \"and is born anew; now is he purified and cleansed\nafresh, and our Mother Chalchioitlyene (the goddess of water) again\nbringeth him into the world.\" Then taking the child in both hands, she\nlifted him towards heaven, and said, \"O Lord, thou seest here thy\ncreature, whom thou hast sent into the world, this place of sorrow, and\nsuffering, and penitence. Grant him, O Lord, thy gifts and inspiration;\nfor thou art the Great God, and with thee is the great goddess.\" Torches\nof pine illuminated this performance, and the name was given by the same\nmidwife, or priestess, who baptized him.'\n\n\"The difficulty of obtaining anything like a faithful report of these\nrites from the natives,\" said the Minister, \"was complained of by the\nSpanish chroniclers, and no doubt led them to color the narrative of\nthese (to them) heathen rites and observances with interpolations from\ntheir own religious belief. 'The Devil,' said one of these bewildered\nmissionary monks, 'chose to imitate the rites of Christianity, and the\ntraditions of the chosen people, that he might allure his wretched\nvictims to their own destruction.' Leaving these monkish annalists to\ntheir own childish conclusions, and absurd interpretations of the Aztec\nreligious analogies, we pass on to the tradition of the Deluge, so\nwidely spread among the nations of the Old World, the Hebrew account of\nwhich was thus travestied by these semi-barbarians. Two persons, they\nheld, survived this historical flood,--a man named Coxcox, and his wife.\nTheir heads are represented in ancient paintings, together with a boat\nfloating on the waters.\n\n\"Another tradition (which is credited by Humboldt) affirms that the boat\nin which Typi (their Noah) weathered the flood was filled with various\nkinds of animals and birds, and that, after some time, a vulture was\nsent out by Typi, to reconnoitre,--as was done in the Hebrew flood,--but\nremained feeding on the dead bodies of the giants which had been left on\nthe earth as the waters subsided. The little humming-bird,\nHuitozitsilin, was then sent forth, and returned with a twig in his\nmouth. The coincidence of this account with the Bible narrative is\nworthy of remark.\n\n\"On the way between Vera Cruz and the capital stands the tall and\nvenerable pyramidal mound called the temple of Chulola. It rises to the\nheight of nearly one hundred and eighty feet, and is cased with unburnt\nbrick. The native tradition is that it was erected by a family of giants\nwho had escaped the great inundation, and designed to raise the building\nto the clouds; but the gods, offended by their presumption, sent on the\npyramid fires from heaven, and compelled the giants to abandon their\nattempt.\n\n\"This story was still lingering among the natives of the place at the\ntime of Humboldt's visit to it. The partial coincidence of this legend\nwith the Hebrew account of the tower of Babel cannot be denied. This\ntradition has also its partial counterpart in the Hebrew Bible.\nCioacoatl, 'our lady and mother, the first goddess who bringeth forth,'\nwho is by the Aztecs believed to have bequeathed the sufferings of\nchildbirth to women as the tribute of death, by whom sin came into the\nworld, was usually represented with a serpent near her, and her name\nsignified the 'Serpent-woman.'\n\n\"This fable, as will be seen, reminds us of the 'Eve' in the Hebrew\naccount of the Fall of Man. The later priestly narrators, minded to\nimprove upon this honest Aztec tradition, gave the Mexican Eve two sons,\nand named them Cain and Abel.\n\n\"In this Aztec rite, coming down to us through tradition, the Roman\nCatholics recognized a resemblance to their especial ceremony of\nChristian Communion. An image of the tutelary deity of the Aztecs was\nmade of the flour of maize, mixed with blood; and after consecrating by\nthe priests, was distributed among the people, who, as they ate it,\nshowed signs of humiliation and sorrow, declaring it was the flesh of\nthe deity.\n\n\"We are told by a Mexican traveller, Torquemeda, a Spanish monk, that,\nlater on, when the Church had waxed mighty in the land, the simple\nIndian converts, with unconscious irony, called the Catholic wafer 'the\nbread-God.'\"\n\nHere the discussion was, for a moment, interrupted by the withdrawal of\nMiss Mattie Norcross and her invalid sister, who, wearied with long\nsitting, had dropped her tired head upon her sister's shoulder and gone\nquietly to sleep.\n\nAs the Grumbler rose to open the door for the two, all present might see\nthe courteous air of protection and kindly sympathy which accompanied\nthis simple bit of courtesy. Evidently, the Grumbler had met his fate at\nAlamo Ranch.\n\n\"And now,\" said the star boarder, coming finally into the talk, \"since\nMr. Morehouse has kindly condensed for us the history of the aboriginal\nMexican from the far-off day of the nomadic Toltec to the splendid reign\nof the last Montezuma,--treacherously driven to the wall by the crafty\nCortez, when the Spaniard nominally converted the heathen, overthrew his\ntime-honored temples, rearing above their ruins Christian churches, and,\nintent to 'kill two birds with the same stone' filled his own pockets,\nand swelled the coffers of far-off Spain with Aztec riches,--I have\nthought it not irrelevant to take a look at the humble native Mexican as\nhe is found by the traveller of to-day.\n\n\"First, let me say that it has been asserted of Mexico that 'though\ngeographically near, and having had commercial relations with the world\nfor over three hundred years, there is probably less known of this\ncountry to-day than of almost any other claiming to be civilized.' 'To\nthe Mexicans themselves,' declares an observing traveller, 'Mexico is\nnot fully known; and there are hundreds of square miles in South Mexico\nthat have never been explored; and whole tribes of Indians that have\nnever been brought in contact with the white man.'\n\n\"Mexico may well be called the country of revolutions, having passed\nthrough thirty-six within the limit of forty years. In that\ncomparatively short period of time no less than seventy-three rulers,\n'drest in a little brief authority,' have played their parts upon the\nMexican stage until the curtain dropped (too often in blood) upon their\nacts, and they were seen no more.\n\n\"Humboldt, in the seventeenth century, pronounced the fairy-like\nenvirons of the city of Mexico 'the most beautiful panorama the eye ever\nrested upon.' On the table-land of this country the traveller is, at\nsome points, eight thousand feet above the level of the sea. At such\nheights the air is so rarefied that the least physical effort well-nigh\ndeprives the traveller of breath. 'Through this rarefied atmosphere all\nthe climates and productions of the world,' it has been affirmed, 'are\nembraced within the scope of a single bird's-eye view.' In portions of\nthe country the _vomito_ renders the climate especially unkindly to the\nalien.\n\n\"We are told that three quarters of the present Mexican population can\nneither read nor write, possess little or no property, and can form no\nintelligent ideas of political liberty, or of constitutional government.\n\n\"The degraded condition of the laboring classes is imputed in a measure\nto the constitutional inertia of a race who have no climatic conditions\nto contend with in their life-struggle; whose simple wants are easily\nsatisfied, and who (it may be inferred) never know that 'divine\ndiscontent' which is the fulcrum on which the higher civilization turns.\nThe manner of living, among this class, is thus described by Wells:\n\n\"'Their dwellings in the cities are generally wanting in all the\nrequirements of health and comfort, and consist mostly of rooms on the\nground-floor, without proper light or ventilation, often with but the\nsingle opening for entrance. In such houses there is rarely anything\nanswering to the civilized idea of a bed, the occupants sleeping on a\nmat, skin, or blanket, on the dirt floor. There are no chairs or tables.\nThere is no fireplace or chimney, and few or no changes of raiment; no\nwashing apparatus or soap, and in fact no furniture whatever, except a\nflat stone with a stone roller to grind their corn, and a variety of\nearthen vessels to hold their food and drink, and for cooking, which is\ngenerally done over a small fire within a circle of stones outside, and\nin front of the main entrance to the dwelling.\n\n\"'Their principal food is _tortillas_,--a sort of mush made of soaked\nand hand-ground Indian corn, rolled thin, and then slightly baked over a\nslow fire. Another staple of diet is boiled beans (_frijoles_). Meat is\nseldom used by laborers; but when it is attainable, every part of the\nanimal is eaten. Should one be so fortunate as to have anything else to\neat, the _tortilla_ serves as plates, after which service the plates are\neaten. When their simple needs are thus satisfied,' says this observing\ntraveller, 'the surplus earnings find their way into the pockets of the\npulque or lottery-ticket sellers, or into the greedy hands of the\nalmost omnipresent priest.'\n\n\"These lotteries are, we are told, operated by the Church, and form one\nof its never-failing sources of income, proving even more profitable\nthan the sale of indulgences.\n\n\"The idolatrous instinct, inherited from far-off Aztec ancestors,\ndecidedly inclines the native Mexican to a worship that has its pictures\nand images, and its bowings before the Virgin and countless hosts of\nsaints, and the priest finds him an easy prey.\n\n\"'While we were in the country,' says Ballou, 'a bull-fight was given in\none of the large cities on a Sunday, as a benefit towards paying for a\nnew altar-rail to be placed in one of the Romish churches.'\n\n\"Religious fanaticism takes root in all classes in Mexico, even among\nthe very highest in the land. It is recorded of the Emperor\nMaximilian--a man of elegant manners, and of much culture and\nrefinement--that he walked barefoot on a day of pilgrimage to the shrine\nof the Virgin of Guadaloupe,--distant some two or three miles from the\ncity of Mexico, over a dusty, disagreeable road.\n\n\"It is but fair to add, in conclusion,\" said Leon Starr, \"that it is\nasserted of the cultivated classes of Mexico that they are not at all in\nsympathy with the extortions and other irregularities of their\npriesthood.\"\n\nWith these interesting statistics ended the last effort of the New\nKoshare to combine improvement and entertainment.\n\nHard upon this more solid delight-making followed the last afternoon\ntea, the lighter Thursday evening entertainment, and the final\nshooting-match. All these gatherings took on a tinge of sadness from the\ncertainty that the little winter family, brought together by Fate at\nAlamo Ranch, were so soon to separate.\n\n\n\n\nCHAPTER XV\n\n\nSpring had now well come. In the shade it was already more than summer\nheat. Fortunately there is, in New Mexico, no such thing as sun-stroke;\nand one moves about with impunity, though the mercury stands at fervid\nheights.\n\nIt was on All Fools' day that the star boarder, accompanied by a little\nparty of the Koshare,--made up to escort him as far on his homeward way\nas El Paso,--turned his back upon the loveliness of Mesilla Valley.\n\nThrough all this \"winter of their discontent\" Leon had lent himself\nheartily to the work of delight-making; and the saddest of them all had\nbeen cheered by his genial atmosphere. What wonder if to these it was\nbut a dolorous leave-taking; and that amid the general hand-shaking some\neyes were wet, and some partings said with big lumps that would rise in\nswelling throats! A good face was, however, put upon it all; and even\nFang, Dennis, and the chore-boy, sent a blessing and a cheery good-bye\nin the wake of the favorite boarder.\n\nAs for the small Mexican herd-boy,--who, with his best clean face, had\ncome up to the ranch to look his last upon the adored white man under\nwhose tuition he had become \"a mighty hunter before the Lord,\"--he\nsimply \"lifted up his voice and wept.\"\n\nFollowing hard upon this departure came the general break-up of the\nKoshare circle. The Hemmenshaws, with the bridegroom elect, Roger Smith,\nwere the next to depart. Miss Paulina, as may be inferred, turned her\nface Bostonward with her heart in her mouth, in view of that account of\nher chaperonage to be rendered to the father whose daughter she had, as\nit were, handed over to the grandson of a tanner.\n\nAnd here the historian, asking leave to interrupt for a moment the\nroutine of the narrative, informs the gentle reader that that august\npersonage, Col. Algernon Hemmenshaw, was ultimately placated; and that\nif a tanner's descendant bearing the non-illustrious name of Smith was\nnot altogether a desirable graft for the Hemmenshaw ancestral tree, a\nfortune of more than a round million tipped the balance in his favor,\nand the permitted engagement came out in early May-time. Beacon Hill, at\nits announcement, threw up its hands in amazement and distaste. \"To\nthink,\" it exclaimed, \"that Louise Hemmenshaw, who might have had her\npick among our very oldest families, should take up with the grandson of\na tanner!\"\n\n       *       *       *       *       *\n\nOut on the mesa it is early nightfall. The little day-time flutter and\nstir of moving things has, with the setting sun, given place to silence\nand rest.\n\nA rounded moon looks serenely down upon the grey sage-brush, the\nmesquite-bushes, on the lonely stretch of sandy desert. The last gleam\nof day has faded from the Organ Mountains, leaving them to dominate, in\nsombre grandeur, the distant landscape. In the warm, haunted silence of\nthis perfect night two lovers saunter slowly along the mesa.\n\nThese happy beings are not unknown to us. The lady is from Marblehead;\nthe other has before-time been dubbed the Grumbler.\n\nThe name no longer fits the man. His defective lung has righted itself\nin this fine New Mexican atmosphere. No more is he at odds with fate; he\nhas become sincerely in love with life, with the climate, and, most of\nall, with the sweet little teacher from Marblehead. They are to be\nmarried early in June.\n\nThe climate admirably suits the invalid sister, and it is hoped that in\nthis fine dry air her well lung may remain intact, and so serve her for\nyears to come. The Grumbler, having money enough to order his residence\nto his liking, has determined to settle permanently in New Mexico.\n\nTo that end he has, for the time, rented the Hilton place. Later, he\nintends to lay out \"as a gift for his fair\" the ranch of her dreams.\nHere, in the beautiful Mesilla Valley, we may predict that the married\npair, like the enchanting couples of fairyland, will \"live happy ever\nafter.\"\n\nAnd now it but remains for the chronicler of the New Koshare to take\nleave of \"the land of sunshine.\"\n\nA backward glance at the half-deserted Alamo shows us a dreary handful\nof incurables still tilting their piazza-chairs against its adobe front,\nwarming their depleted blood in the grateful sunshine, and each, as best\nhe may, accepting the inevitable.\n\nLong, long ago it was that the Pueblos made that traditional journey\n\"from Shipapu to the centre of their world\" with the heaven-provided\nKoshare, in particolored attire, and fantastic head-dress of withered\ncorn-husks, jesting and dancing before them to lift and lighten the\nweary road. Yet since then, through all the centuries, the\n\"Delight-Maker,\" in one shape or another, has been in requisition in\nevery land beneath the sun.\n\n\n\n\n\nEnd of the Project Gutenberg EBook of Alamo Ranch, by Sarah Warner Brooks\n\n*** ","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\n\n\nProduced by Anne Folland, Eric Eldred, Charles Franks and\nthe Online Distributed Proofreading Team\n\n\n\n\n\n\n\n\n\n\nON NOTHING & KINDRED SUBJECTS\n\nBY\n\nHILAIRE BELLOC\n\n\n\n\nTO\n\nMAURICE BARING\n\n\n\n\nCONTENTS\n\n\nON THE PLEASURE OF TAKING UP ONE'S PEN\n\nON GETTING RESPECTED IN INNS AND HOTELS\n\nON IGNORANCE\n\nON ADVERTISEMENT\n\nON A HOUSE\n\nON THE ILLNESS OF MY MUSE\n\nON A DOG AND A MAN ALSO\n\nON TEA\n\nON THEM\n\nON RAILWAYS AND THINGS\n\nON CONVERSATIONS IN TRAINS\n\nON THE RETURN OF THE DEAD\n\nON THE APPROACH OF AN AWFUL DOOM\n\nON A RICH MAN WHO SUFFERED\n\nON A CHILD WHO DIED\n\nON A LOST MANUSCRIPT\n\nON A MAN WHO WAS PROTECTED BY ANOTHER MAN\n\nON NATIONAL DEBTS\n\nON LORDS\n\nON JINGOES: IN THE SHAPE OF A WARNING\n\nON A WINGED HORSE AND THE EXILE WHO RODE HIM\n\nON A MAN AND HIS BURDEN\n\nON A FISHERMAN AND THE QUEST OF PEACE\n\nON A HERMIT WHOM I KNEW\n\nON AN UNKNOWN COUNTRY\n\nON A FA\u00cbRY CASTLE\n\nON A SOUTHERN HARBOUR\n\nON A YOUNG MAN AND AN OLDER MAN\n\nON THE DEPARTURE OF A GUEST\n\nON DEATH\n\nON COMING TO AN END\n\n\n\n\n_King's Land,\n\nDecember the 13th, 1907\n\nMy dear Maurice,\n\nIt was in Normandy, you will remember, and in the heat of the year,\nwhen the birds were silent in the trees and the apples nearly ripe,\nwith the sun above us already of a stronger kind, and a somnolence\nwithin and without, that it was determined among us (the jolly\ncompany!) that I should write upon Nothing, and upon all that is\ncognate to Nothing, a task not yet attempted since the Beginning of\nthe World.\n\nNow when the matter was begun and the subject nearly approached, I\nsaw more clearly that this writing upon Nothing might be very grave,\nand as I looked at it in every way the difficulties of my adventure\nappalled me, nor am I certain that I have overcome them all. But I\nhad promised you that I would proceed, and so I did, in spite of my\ndoubts and terrors.\n\nFor first I perceived that in writing upon this matter I was in\nperil of offending the privilege of others, and of those especially\nwho are powerful to-day, since I would be discussing things very\ndear and domestic to my fellow-men, such as The Honour of Politicians,\nThe Tact of Great Ladies, The Wealth of Journalists, The Enthusiasm\nof Gentlemen, and the Wit of Bankers. All that is most intimate and\ndearest to the men that make our time, all that they would most defend\nfrom the vulgar gaze,--this it was proposed to make the theme of a\ncommon book.\n\nIn spite of such natural fear and of interests so powerful to detain\nme, I have completed my task, and I will confess that as it grew it\nenthralled me. There is in Nothing something so majestic and so high\nthat it is a fascination and spell to regard it. Is it not that\nwhich Mankind, after the great effort of life, at last attains, and\nthat which alone can satisfy Mankind's desire? Is it not that which\nis the end of so many generations of analysis, the final word of\nPhilosophy, and the goal of the search for reality? Is it not the\nvery matter of our modern creed in which the great spirits of our\ntime repose, and is it not, as it were, the culmination of their\nintelligence? It is indeed the sum and meaning of all around!\n\nHow well has the world perceived it and how powerfully do its\nlegends illustrate what Nothing is to men!\n\nYou know that once in Lombardy Alfred and Charlemagne and the Kaliph\nHaroun-al-Raschid met to make trial of their swords. The sword of\nAlfred was a simple sword: its name was Hewer. And the sword of\nCharlemagne was a French sword, and its name was Joyeuse. But the\nsword of Haroun was of the finest steel, forged in Toledo, tempered\nat Cordova, blessed in Mecca, damascened (as one might imagine) in\nDamascus, sharpened upon Jacob's Stone, and so wrought that when one\nstruck it it sounded like a bell. And as for its name, By Allah!\nthat was very subtle---for it had no name at all.\n\nWell then, upon that day in Lombardy Alfred and Charlemagne and the\nKaliph were met to take a trial of their blades. Alfred took a pig\nof lead which he had brought from the Mendip Hills, and swiping the\nair once or twice in the Western fashion, he cut through that lead\nand girded the edge of his sword upon the rock beneath, making a\nlittle dent.\n\nThen Charlemagne, taking in both hands his sword Joyeuse, and aiming\nat the dent, with a laugh swung down and cut the stone itself right\nthrough, so that it fell into two pieces, one on either side, and\nthere they lie today near by Piacenza in a field.\n\nNow that it had come to the Kaliph's turn, one would have said there\nwas nothing left for him to do, for Hewer had manfully hewn lead,\nand Joyeuse had joyfully cleft stone.\n\nBut the Kaliph, with an Arabian look, picked out of his pocket a\ngossamer scarf from Cashmir, so light that when it was tossed into\nthe air it would hardly fall to the ground, but floated downwards\nslowly like a mist. This, with a light pass, he severed, and\nimmediately received the prize. For it was deemed more difficult by\nfar to divide such a veil in mid-air, than to cleave lead or even\nstone.\n\nI knew a man once, Maurice, who was at Oxford for three years, and\nafter that went down with no degree. At College, while his friends\nwere seeking for Truth in funny brown German Philosophies, Sham\nReligions, stinking bottles and identical equations, he was lying on\nhis back in Eynsham meadows thinking of Nothing, and got the Truth\nby this parallel road of his much more quickly than did they by theirs;\nfor the asses are still seeking, mildly disputing, and, in a cultivated\nmanner, following the gleam, so that they have become in their Donnish\nmiddleage a nuisance and a pest; while he--that other--with the Truth\nvery fast and firm at the end of a leather thong is dragging her\nsliding, whining and crouching on her four feet, dragging her reluctant\nthrough the world, even into the broad daylight where Truth most hates\nto be.\n\nHe it was who became my master in this creed. For once as we lay\nunder a hedge at the corner of a road near Bagley Wood we heard far\noff the notes of military music and the distant marching of a\ncolumn; these notes and that tramp grew louder, till there swung\nround the turning with a blaze of sound five hundred men in order.\nThey passed, and we were full of the scene and of the memories of\nthe world, when he said to me: \"Do you know what is in your heart?\nIt is the music. And do you know the cause and Mover of that music?\nIt is the Nothingness inside the bugle; it is the hollow Nothingness\ninside the Drum.\"\n\nThen I thought of the poem where it says of the Army of the Republic:\n\n  The thunder of the limber and the rumble of a hundred of the guns.\n  And there hums as she comes the roll of her innumerable drums.\n\nI knew him to be right.\n\nFrom this first moment I determined to consider and to meditate upon\nNothing.\n\nMany things have I discovered about Nothing, which have proved it--to\nme at least--to be the warp or ground of all that is holiest. It is\nof such fine gossamer that loveliness was spun, the mists under the\nhills on an autumn morning are but gross reflections of it; moonshine\non lovers is earthy compared with it; song sung most charmingly and\nstirring the dearest recollections is but a failure in the human\nattempt to reach its embrace and be dissolved in it. It is out of\nNothing that are woven those fine poems of which we carry but vague\nrhythms in the head:--and that Woman who is a shade, the_ Insaisissable,\n_whom several have enshrined in melody--well, her Christian name, her\nmaiden name, and, as I personally believe, her married name as well,\nis Nothing. I never see a gallery of pictures now but I know how the\nuse of empty spaces makes a scheme, nor do I ever go to a play but I\nsee how silence is half the merit of acting and hope some day for\nabsence and darkness as well upon the stage. What do you think the\nfairy Melisende said to Fulk-Nerra when he had lost his soul for her\nand he met her in the Marshes after twenty years? Why, Nothing--what\nelse could she have said? Nothing is the reward of good men who alone\ncan pretend to taste it in long easy sleep, it is the meditation of\nthe wise and the charm of happy dreamers. So excellent and final is\nit that I would here and now declare to you that Nothing was the gate\nof eternity, that by passing through Nothing we reached our every\nobject as passionate and happy beings--were it not for the Council\nof Toledo that restrains my pen. Yet ... indeed, indeed when I think\nwhat an Elixir is this Nothing I am for putting up a statue nowhere,\non a pedestal that shall not exist, and for inscribing on it in\nletters that shall never be written:\n\nTO NOTHING\n\nTHE HUMAN RACE IN GRATITUDE.\n\nSo I began to write my book, Maurice: and as I wrote it the dignity\nof what I had to do rose continually before me, as does the dignity\nof a mountain range which first seemed a vague part of the sky, but\nat last stands out august and fixed before the traveller; or as the\nsky at night may seem to a man released from a dungeon who sees it\nbut gradually, first bewildered by the former constraint of his\nnarrow room but now gradually enlarging to drink in its immensity.\nIndeed this Nothing is too great for any man who has once embraced\nit to leave it alone thenceforward for ever; and finally, the\ndignity of Nothing is sufficiently exalted in this: that Nothing is\nthe tenuous stuff from which the world was made.\n\nFor when the Elohim set out to make the world, first they debated\namong themselves the Idea, and one suggested this and another\nsuggested that, till they had threshed out between them a very\npretty picture of it all. There were to be hills beyond hills, good\ngrass and trees, and the broadness of rivers, animals of all kinds,\nboth comic and terrible, and savours and colours, and all around the\nceaseless streaming of the sea.\n\nNow when they had got that far, and debated the Idea in detail, and\nwith amendment and resolve, it very greatly concerned them of what\nso admirable a compost should be mixed. Some said of this, and some\nsaid of that, but in the long run it was decided by the narrow\nmajority of eight in a full house that Nothing was the only proper\nmaterial out of which to make this World of theirs, and out of\nNothing they made it: as it says in the Ballade:\n\n  Dear, tenuous stuff, of which the world was made.\n\nAnd again in the Envoi:\n\n  Prince, draw this sovereign draught in your despair,\n  That when your riot in that rest is laid,\n  You shall be merged with an Essential Air:--\n  Dear, tenuous stuff, of which the world was made!\n\n\nOut of Nothing then did they proceed to make the world, this sweet\nworld, always excepting Man the Marplot. Man was made in a muddier\nfashion, as you shall hear.\n\nFor when the world seemed ready finished and, as it were,\npresentable for use, and was full of ducks, tigers, mastodons,\nwaddling hippopotamuses, lilting deer, strong-smelling herbs, angry\nlions, frowsy snakes, cracked glaciers, regular waterfalls, \nsunsets, and the rest, it suddenly came into the head of the\nyoungest of these strong Makers of the World (the youngest, who had\nbeen sat upon and snubbed all the while the thing was doing, and\nhardly been allowed to look on, let alone to touch), it suddenly\ncame into his little head, I say, that he would make a Man.\n\nThen the Elder Elohim said, some of them, \"Oh, leave well alone!\nsend him to bed!\" And others said sleepily (for they were tired),\n\"No! no! let him play his little trick and have done with it, and\nthen we shall have some rest.\" Little did they know!... And others\nagain, who were still broad awake, looked on with amusement and\napplauded, saying: \"Go on, little one! Let us see what you can do.\"\nBut when these last stooped to help the child, they found that all\nthe Nothing had been used up (and that is why there is none of it\nabout to-day). So the little fellow began to cry, but they, to\ncomfort him, said: \"Tut, lad! tut! do not cry; do your best with\nthis bit of mud. It will always serve to fashion something.\"\n\nSo the jolly little fellow took the dirty lump of mud and pushed it\nthis way and that, jabbing with his thumb and scraping with his\nnail, until at last he had made Picanthropos, who lived in Java and\nwas a fool; who begat Eoanthropos, who begat Meioanthropos, who\nbegat Pleioanthropos, who begat Pleistoanthropos, who is often mixed\nup with his father, and a great warning against keeping the same\nnames in one family; who begat Paleoanthropos, who begat Neoanthropos,\nwho begat the three Anthropoids, great mumblers and murmurers with\ntheir mouths; and the eldest of these begat Him whose son was He,\nfrom whom we are all descended.\n\nHe was indeed halting and patchy, ill-lettered, passionate and rude;\nbald of one cheek and blind of one eye, and his legs were of\ndifferent sizes, nevertheless by process of ascent have we, his\ndescendants, manfully continued to develop and to progress, and to\nswell in everything, until from Homer we came to Euripides, and from\nEuripides to Seneca, and from Seneca to Boethius and his peers; and\nfrom these to Duns Scotus, and so upwards through James I of England\nand the fifth, sixth or seventh of Scotland (for it is impossible to\nremember these things) and on, on, to my Lord Macaulay, and in the\nvery last reached YOU, the great summits of the human race and last\nperfection of the ages READERS OF THIS BOOK, and you also Maurice,\nto whom it is dedicated, and myself, who have written it for gain.\n\nAmen._\n\n\n\n\nON NOTHING\n\n\n\n\nON THE PLEASURE OF TAKING UP ONE'S PEN\n\n\nAmong the sadder and smaller pleasures of this world I count this\npleasure: the pleasure of taking up one's pen.\n\nIt has been said by very many people that there is a tangible pleasure\nin the mere act of writing: in choosing and arranging words. It has\nbeen denied by many. It is affirmed and denied in the life of Doctor\nJohnson, and for my part I would say that it is very true in some rare\nmoods and wholly false in most others. However, of writing and the\npleasure in it I am not writing here (with pleasure), but of the\npleasure of taking up one's pen, which is quite another matter.\n\nNote what the action means. You are alone. Even if the room is\ncrowded (as was the smoking-room in the G.W.R. Hotel, at Paddington,\nonly the other day, when I wrote my \"Statistical Abstract of\nChristendom\"), even if the room is crowded, you must have made\nyourself alone to be able to write at all. You must have built up\nsome kind of wall and isolated your mind. You are alone, then; and\nthat is the beginning.\n\nIf you consider at what pains men are to be alone: how they climb\nmountains, enter prisons, profess monastic vows, put on eccentric\ndaily habits, and seclude themselves in the garrets of a great town,\nyou will see that this moment of taking up the pen is not least\nhappy in the fact that then, by a mere association of ideas, the\nwriter is alone.\n\nSo much for that. Now not only are you alone, but you are going to\n\"create\".\n\nWhen people say \"create\" they flatter themselves. No man can create\nanything. I knew a man once who drew a horse on a bit of paper to amuse\nthe company and covered it all over with many parallel streaks as he\ndrew. When he had done this, an aged priest (present upon that occasion)\nsaid, \"You are pleased to draw a zebra.\" When the priest said this the\nman began to curse and to swear, and to protest that he had never seen\nor heard of a zebra. He said it was all done out of his own head, and\nhe called heaven to witness, and his patron saint (for he was of the Old\nEnglish Territorial Catholic Families--his patron saint was Aethelstan),\nand the salvation of his immortal soul he also staked, that he was as\ninnocent of zebras as the babe unborn. But there! He persuaded no one,\nand the priest scored. It was most evident that the Territorial was\ncrammed full of zebraical knowledge.\n\nAll this, then, is a digression, and it must be admitted that there\nis no such thing as a man's \"creating\". But anyhow, when you take up\nyour pen you do something devilish pleasing: there is a prospect\nbefore you. You are going to develop a germ: I don't know what it\nis, and I promise you I won't call it creation--but possibly a god\nis creating through you, and at least you are making believe at\ncreation. Anyhow, it is a sense of mastery and of origin, and you\nknow that when you have done, something will be added to the world,\nand little destroyed. For what will you have destroyed or wasted? A\ncertain amount of white paper at a farthing a square yard (and I am\nnot certain it is not pleasanter all diversified and variegated with\nblack wriggles)--a certain amount of ink meant to be spread and\ndried: made for no other purpose. A certain infinitesimal amount of\nquill--torn from the silly goose for no purpose whatsoever but to\nminister to the high needs of Man.\n\nHere you cry \"Affectation! Affectation! How do I know that the\nfellow writes with a quill? A most unlikely habit!\" To that I answer\nyou are right. Less assertion, please, and more humility. I will\ntell you frankly with what I am writing. I am writing with a\nWaterman's Ideal Fountain Pen. The nib is of pure gold, as was the\nthrone of Charlemagne, in the \"Song of Roland.\" That throne (I need\nhardly tell you) was borne into Spain across the cold and awful\npasses of the Pyrenees by no less than a hundred and twenty mules,\nand all the Western world adored it, and trembled before it when it\nwas set up at every halt under pine trees, on the upland grasses.\nFor he sat upon it, dreadful and commanding: there weighed upon him\ntwo centuries of age; his brows were level with justice and\nexperience, and his beard was so tangled and full, that he was\ncalled \"bramble-bearded Charlemagne.\" You have read how, when he\nstretched out his hand at evening, the sun stood still till he had\nfound the body of Roland? No? You must read about these things.\n\nWell then, the pen is of pure gold, a pen that runs straight away\nlike a willing horse, or a jolly little ship; indeed, it is a pen so\nexcellent that it reminds me of my subject: the pleasure of taking\nup one's pen.\n\nGod bless you, pen! When I was a boy, and they told me work was\nhonourable, useful, cleanly, sanitary, wholesome, and necessary to\nthe mind of man, I paid no more attention to them than if they had\ntold me that public men were usually honest, or that pigs could fly.\nIt seemed to me that they were merely saying silly things they had\nbeen told to say. Nor do I doubt to this day that those who told me\nthese things at school were but preaching a dull and careless round.\nBut now I know that the things they told me were true. God bless\nyou, pen of work, pen of drudgery, pen of letters, pen of posings,\npen rabid, pen ridiculous, pen glorified. Pray, little pen, be\nworthy of the love I bear you, and consider how noble I shall make\nyou some day, when you shall live in a glass case with a crowd of\ntourists round you every day from 10 to 4; pen of justice, pen of\nthe _saeva indignatio_, pen of majesty and of light. I will\nwrite with you some day a considerable poem; it is a compact between\nyou and me. If I cannot make one of my own, then I will write out\nsome other man's; but you, pen, come what may, shall write out a\ngood poem before you die, if it is only the _Allegro_.\n\n       *       *       *       *       *\n\nThe pleasure of taking up one's pen has also this, peculiar among\nall pleasures, that you have the freedom to lay it down when you\nwill. Not so with love. Not so with victory. Not so with glory.\n\nHad I begun the other way round, I would have called this Work, \"The\nPleasure of laying down one's Pen.\" But I began it where I began it,\nand I am going on to end it just where it is going to end.\n\nWhat other occupation, avocation, dissertation, or intellectual\nrecreation can you cease at will? Not bridge--you go on playing to\nwin. Not public speaking--they ring a bell. Not mere converse--you\nhave to answer everything the other insufficient person says. Not\nlife, for it is wrong to kill one's self; and as for the natural end\nof living, that does not come by one's choice; on the contrary, it\nis the most capricious of all accidents.\n\nBut the pen you lay down when you will. At any moment: without\nremorse, without anxiety, without dishonour, you are free to do this\ndignified and final thing (I am just going to do it).... You lay it\ndown.\n\n\n\n\nON GETTING RESPECTED IN INNS AND HOTELS\n\n\nTo begin at the beginning is, next to ending at the end, the whole\nart of writing; as for the middle you may fill it in with any rubble\nthat you choose. But the beginning and the end, like the strong\nstone outer walls of mediaeval buildings, contain and define the\nwhole.\n\nAnd there is more than this: since writing is a human and a living\nart, the beginning being the motive and the end the object of the\nwork, each inspires it; each runs through organically, and the two\nbetween them give life to what you do.\n\nSo I will begin at the beginning and I will lay down this first\nprinciple, that religion and the full meaning of things has nowhere\nmore disappeared from the modern world than in the department of\nGuide Books.\n\nFor a Guide Book will tell you always what are the principal and\nmost vulgar sights of a town; what mountains are most difficult to\nclimb, and, invariably, the exact distances between one place and\nanother. But these things do not serve the End of Man. The end of\nman is Happiness, and how much happier are you with such a\nknowledge? Now there are some Guide Books which do make little\nexcursions now and then into the important things, which tell you\n(for instance) what kind of cooking you will find in what places,\nwhat kind of wine in countries where this beverage is publicly\nknown, and even a few, more daring than the rest, will give a hint\nor two upon hiring mules, and upon the way that a bargain should be\nconducted, or how to fight.\n\nBut with all this even the best of them do not go to the moral heart\nof the matter. They do not give you a hint or an idea of that which\nis surely the basis of all happiness in travel. I mean, the art of\ngaining respect in the places where you stay. Unless that respect is\npaid you you are more miserable by far than if you had stayed at\nhome, and I would ask anyone who reads this whether he can remember\none single journey of his which was not marred by the evident\ncontempt which the servants and the owners of taverns showed for him\nwherever he went?\n\nIt is therefore of the first importance, much more important than\nany question of price or distance, to know something of this art; it\nis not difficult to learn, moreover it is so little exploited that\nif you will but learn it you will have a sense of privilege and of\nupstanding among your fellows worth all the holidays which were ever\ntaken in the world.\n\nOf this Respect which we seek, out of so many human pleasures, a\nfacile, and a very false, interpretation is that it is the privilege\nof the rich, and I even knew one poor fellow who forged a cheque and\nwent to gaol in his desire to impress the host of the \"Spotted Dog,\"\nnear Barnard Castle. It was an error in him, as it is in all who so\nimagine. The rich in their degree fall under this contempt as\nheavily as any, and there is no wealth that can purchase the true\nawe which it should be your aim to receive from waiters, serving-wenches,\nboot-blacks, and publicans.\n\nI knew a man once who set out walking from Oxford to Stow-in-the-Wold,\nfrom Stow-in-the-Wold to Cheltenham, from Cheltenham to Ledbury, from\nLedbury to Hereford, from Hereford to New Rhayader (where the Cobbler\nlives), and from New Rhayader to the end of the world which lies a\nlittle west and north of that place, and all the way he slept rough\nunder hedges and in stacks, or by day in open fields, so terrified\nwas he at the thought of the contempt that awaited him should he pay\nfor a bed. And I knew another man who walked from York to Thirsk, and\nfrom Thirsk to Darlington, and from Darlington to Durham, and so on\nup to the border and over it, and all the way he pretended to be\nextremely poor so that he might be certain the contempt he received\nwas due to nothing of his own, but to his clothes only: but this was\nan indifferent way of escaping, for it got him into many fights with\nminers, and he was arrested by the police in Lanchester; and at\nJedburgh, where his money did really fail him, he had to walk all\nthrough the night, finding that no one would take in such a\ntatterdemalion. The thing could be done much more cheaply than that,\nand much more respectably, and you can acquire with but little practice\none of many ways of achieving the full respect of the whole house, even\nof that proud woman who sits behind glass in front of an enormous\nledger; and the first way is this:--\n\nAs you come into the place go straight for the smoking-room, and\nbegin talking of the local sport: and do not talk humbly and\ntentatively as so many do, but in a loud authoritative tone. You\nshall insist and lay down the law and fly into a passion if you are\ncontradicted. There is here an objection which will arise in the\nmind of every niggler and boggler who has in the past very properly\nbeen covered with ridicule and become the butt of the waiters and\nstable-yard, which is, that if one is ignorant of the local sport,\nthere is an end to the business. The objection is ridiculous. Do you\nsuppose that the people whom you hear talking around you are more\nlearned than yourself in the matter? And if they are do you suppose\nthat they are acquainted with your ignorance? Remember that most of\nthem have read far less than you, and that you can draw upon an\nexperience of travel of which they can know nothing; do but make the\nplunge, practising first in the villages of the Midlands, I will\nwarrant you that in a very little while bold assertion of this kind\nwill carry you through any tap-room or bar-parlour in Britain.\n\nI remember once in the holy and secluded village of Washington under\nthe Downs, there came in upon us as we sat in the inn there a man whom\nI recognised though he did not know me--for a journalist--incapable of\nunderstanding the driving of a cow, let alone horses: a prophet, a\nsocialist, a man who knew the trend of things and so forth: a man who\nhad never been outside a town except upon a motor bicycle, upon which\nsnorting beast indeed had he come to this inn. But if he was less than\nus in so many things he was greater than us in this art of gaining\nrespect in Inns and Hotels. For he sat down, and when they had barely\nhad time to say good day to him he gave us in minutest detail a great\nrun after a fox, a run that never took place. We were fifteen men in\nthe room; none of us were anything like rich enough to hunt, and the\nlie went through them like an express. This fellow \"found\" (whatever\nthat may mean) at Gumber Corner, ran right through the combe (which,\nby the way, is one of those bits of land which have been stolen bodily\nfrom the English people), cut down the Sutton Road, across the railway\nat Coates (and there he showed the cloven hoof, for your liar always\ntakes his hounds across the railway), then all over Egdean, and killed\nin a field near Wisborough. All this he told, and there was not even a\nman there to ask him whether all those little dogs and horses swam\nthe Rother or jumped it. He was treated like a god; they tried to\nmake him stop but he would not. He was off to Worthing, where I have\nno doubt he told some further lies upon the growing of tomatoes\nunder glass, which is the main sport of that district. Similarly, I\nhave no doubt, such a man would talk about boats at King's Lynn,\nmurder with violence at Croydon, duck shooting at Ely, and racing\nanywhere.\n\nThen also if you are in any doubt as to what they want of you, you\ncan always change the scene. Thus fishing is dangerous for even the\npoor can fish, and the chances are you do not know the names of the\nanimals, and you may be putting salt-water fish into the stream of\nLambourne, or talking of salmon upon the Upper Thames. But what is\nto prevent you putting on a look of distance and marvel, and\nconjuring up the North Atlantic for them? Hold them with the cold\nand the fog of the Newfoundland seas, and terrify their simple minds\nwith whales.\n\nA second way to attain respect, if you are by nature a silent man,\nand one which I think is always successful, is to write before you\ngo to bed and leave upon the table a great number of envelopes which\nyou should address to members of the Cabinet, and Jewish money-lenders,\ndukes, and in general any of the great. It is but slight labour, and\nfor the contents you cannot do better than put into each envelope one\nof those advertisements which you will find lying about. Then next\nmorning you should gather them up and ask where the post is: but you\nneed not post them, and you need not fear for your bill. Your bill\nwill stand much the same, and your reputation will swell like a sponge.\n\nAnd a third way is to go to the telephone, since there are\ntelephones nowadays, and ring up whoever in the neighbourhood is of\nthe greatest importance. There is no law against it, and when you\nhave the number you have but to ask the servant at the other end\nwhether it is not somebody else's house. But in the meanwhile your\nnight in the place is secure.\n\nAnd a fourth way is to tell them to call you extremely early, and\nthen to get up extremely late. Now why this should have the effect\nit has I confess I cannot tell. I lay down the rule empirically and\nfrom long observation, but I may suggest that perhaps it is the\ncombination of the energy you show in early rising, and of the\nluxury you show in late rising: for energy and luxury are the two\nqualities which menials most admire in that governing class to which\nyou flatter yourself you belong. Moreover the strength of will with\nwhich you sweep aside their inconvenience, ordering one thing and\ndoing another, is not without its effect, and the stir you have\ncreated is of use to you.\n\nAnd the fifth way is to be Strong, to Dominate and to Lead. To be\none of the Makers of this world, one of the Builders. To have the\nmore Powerful Will. To arouse in all around you by mere Force of\nPersonality a feeling that they must Obey. But I do not know how\nthis is done.\n\n\n\n\nON IGNORANCE\n\n\nThere is not anything that can so suddenly flood the mind with shame\nas the conviction of ignorance, yet we are all ignorant of nearly\neverything there is to be known. Is it not wonderful, then, that we\nshould be so sensitive upon the discovery of a fault which must of\nnecessity be common to all, and that in its highest degree? The\nconviction of ignorance would not shame us thus if it were not for\nthe public appreciation of our failure.\n\nIf a man proves us ignorant of German or the complicated order of\nEnglish titles, or the rules of Bridge, or any other matter, we do\nnot care for his proofs, so that we are alone with him: first\nbecause we can easily deny them all, and continue to wallow in our\nignorance without fear, and secondly, because we can always counter\nwith something we know, and that he knows nothing of, such as the\nCreed, or the history of Little Bukleton, or some favourite book.\nThen, again, if one is alone with one's opponent, it is quite easy\nto pretend that the subject on which one has shown ignorance is\nunimportant, peculiar, pedantic, hole in the corner, and this can be\nbrazened out even about Greek or Latin. Or, again, one can turn the\nlaugh against him, saying that he has just been cramming up the\nmatter, and that he is airing his knowledge; or one can begin making\njokes about him till he grows angry, and so forth. There is no\nnecessity to be ashamed.\n\nBut if there be others present? Ah! _Hoc est aliud rem_, that\nis another matter, for then the biting shame of ignorance suddenly\ndisplayed conquers and bewilders us. We have no defence left. We are\nat the mercy of the discoverer, we own and confess, and become\ninsignificant: we slink away.\n\nNote that all this depends upon what the audience conceive ignorance\nto be. It is very certain that if a man should betray in some cheap\nclub that he did not know how to ride a horse, he would be broken\ndown and lost, and similarly, if you are in a country house among\nthe rich you are shipwrecked unless you can show acquaintance with\nthe Press, and among the poor you must be very careful, not only to\nwear good cloth and to talk gently as though you owned them, but\nalso to know all about the rich. Among very young men to seem\nignorant of vice is the ruin of you, and you had better not have\nbeen born than appear doubtful of the effects of strong drink when\nyou are in the company of Patriots. There was a man who died of\nshame this very year in a village of Savoy because he did not know\nthe name of the King reigning over France to-day, and it is a common\nthing to see men utterly cast down in the bar-rooms off the Strand\nbecause they cannot correctly recite the opening words of \"Boys of\nthe Empire.\" There are schoolgirls who fall ill and pine away\nbecause they are shown to have misplaced the name of Dagobert III in\nthe list of Merovingian Monarchs, and quite fearless men will blush\nif they are found ignoring the family name of some peer. Indeed,\nthere is nothing so contemptible or insignificant but that in some\nsociety or other it is required to be known, and that the ignorance\nof it may not at any moment cover one with confusion. Nevertheless\nwe should not on that account attempt to learn everything there is\nto know (for that is manifestly impossible), nor even to learn\neverything that is known, for that would soon prove a tedious and\nheart-breaking task; we should rather study the means to be employed\nfor warding off those sudden and public convictions of Ignorance\nwhich are the ruin of so many.\n\nThese methods of defence are very numerous and are for the most part\neasy of acquirement. The most powerful of them by far (but the most\ndangerous) is to fly into a passion and marvel how anyone can be\nsuch a fool as to pay attention to wretched trifles. \"Powerful,\"\nbecause it appeals to that strongest of all passions in men by which\nthey are predisposed to cringe before what they think to be a\nsuperior station in society. \"Dangerous,\" because if it fail in its\nobjects this method does not save you from pain, and secures you in\naddition a bad quarrel, and perhaps a heavy beating. Still it has\nmany votaries, and is more often carried off than any other. Thus,\nif in Bedfordshire, someone catches you erring on a matter of crops,\nyou profess that in London such things are thought mere rubbish and\ndespised; or again, in the society of professors at the\nUniversities, an ignorance of letters can easily be turned by an\nallusion to that vapid life of the rich, where letters grow\ninsignificant; so at sea, if you slip on common terms, speak a\nlittle of your luxurious occupations on land and you will usually be\nsafe.\n\nThere are other and better defences. One of these is to turn the\nattack by showing great knowledge on a cognate point, or by\nremembering that the knowledge your opponent boasts has been\nsomewhere contradicted by an authority. Thus, if some day a friend\nshould say, as continually happens in a London club:\n\n\"Come, let us hear you decline [Greek: tetummenos on],\" you can\nanswer carelessly:\n\n\"You know as well as I do that the form is purely Paradigmatic: it\nis never found.\"\n\nOr again, if you put the Wrekin by an error into Staffordshire, you\ncan say, \"I was thinking of the Jurassic formation which is the\nbasis of the formation of----\" etc. Or, \"Well, Shrewsbury ...\nStaffordshire?... Oh! I had got my mind mixed up with the graves of\nthe Staffords.\" Very few people will dispute this, none will follow\nit. There is indeed this difficulty attached to such a method, that\nit needs the knowledge of a good many things, and a ready\nimagination and a stiff face: but it is a good way.\n\nYet another way is to cover your retreat with buffoonery, pretending\nto be ignorant of the most ordinary things, so as to seem to have\nbeen playing the fool only when you made your first error. There is\na special form of this method which has always seemed to me the most\nexcellent by far of all known ways of escape. It is to show a steady\nand crass ignorance of very nearly everything that can be mentioned,\nand with all this to keep a steady mouth, a determined eye, and\n(this is essential) to show by a hundred allusions that you have on\nyour own ground an excellent store of knowledge.\n\nThis is the true offensive-defensive in this kind of assault, and\ntherefore the perfection of tactics.\n\nThus if one should say:\n\n\"Well, it was the old story. [Greek: Anankae].\"\n\nIt might happen to anyone to answer: \"I never read the play.\"\n\nThis you will think perhaps an irremediable fall, but it is not, as\nwill appear from this dialogue, in which the method is developed:\n\nSAPIENS. But, Good Heavens, it isn't a play!\n\nIGNORAMUS. Of course not. I know that as well as you, but the\ncharacter of [Greek: Anankae] dominates the play. You won't deny\nthat?\n\nSAPIENS. You don't seem to have much acquaintance with Liddell and\nScott.\n\nIGNORAMUS. I didn't know there was anyone called Liddell in it, but\nI knew Scott intimately, both before and after he succeeded to the\nestate.\n\nSAPIENS. But I mean the dictionary.\n\nIGNORAMUS. I'm quite certain that his father wouldn't let him write\na dictionary. Why, the library at Bynton hasn't been opened for\nyears.\n\nIf, after five minutes of that, Ignoramus cannot get Sapiens\nfloundering about in a world he knows nothing of, it is his own\nfault.\n\nBut if Sapiens is over-tenacious there is a final method which may\nnot be the most perfect, but which I have often tried myself, and\nusually with very considerable success:\n\nSAPIENS. Nonsense, man. The Dictionary. The _Greek_ dictionary.\n\nIGNORAMUS. What has _Ananti_ to do with Greek?\n\nSAPIENS. I said [Greek: Anankae].\n\nIGNORAMUS. Oh! h----h! you said [Greek: anankae], did you? I thought\nyou said Ananti. Of course, Scott didn't call the play Ananti, but\nAnanti was the principal character, and one always calls it that in\nthe family. It is very well written. If he hadn't that shyness about\npublishing ... and so forth.\n\nLastly, or rather Penultimately, there is the method of upsetting\nthe plates and dishes, breaking your chair, setting fire to the\nhouse, shooting yourself, or otherwise swallowing all the memory of\nyour shame in a great catastrophe.\n\nBut that is a method for cowards; the brave man goes out into the\nhall, comes back with a stick, and says firmly, \"You have just\ndeliberately and cruelly exposed my ignorance before this company; I\nshall, therefore, beat you soundly with this stick in the presence\nof them all.\"\n\nThis you then do to him or he to you, _mutatis mutandis, ceteris\nparibus_; and that is all I have to say on Ignorance.\n\n\n\n\nON ADVERTISEMENT\n\n\nHarmonides of Ephesus says in one of his treatises upon method (I\nforget which, but I think the fifth) that a matter is very often\nmore clearly presented by way of example than in the form of a\ndirect statement and analysis. I have determined to follow the\nadvice of this great though pagan authority in what you will now\nread or not read, according to your inclination.\n\nAs I was sitting one of these sunny mornings in my little Park,\nreading an article upon vivisection in the _Tablet_ newspaper,\na Domestic [Be seated, be seated, I pray you!] brought me a letter\nupon a Silver Salver [Be covered!]\n\nWhich reminds me, why do people say that silver is the only perfect\nspondee in the English language? Salver is a perfectly good spondee;\nso is North-Cape; so is great-coat; so is High-Mass; so is\nWenchthorpe; so is forewarp, which is the rope you throw out from\nthe stem to the little man in the boat who comes to moor you along\nthe west gully in the Ramsgate Harbour; so is Longnose, the name of\na buoy, and of a reef of rocks just north of the North Foreland; so\nare a great many other words. But I digress. I only put in these\nwords to show you in case you had any dissolving doubts remaining\nupon the matter, that the kind of stuff you read is very often all\nnonsense, and that you must not take things for granted merely\nbecause they are printed. I have watched you doing it from time to\ntime, and have been torn between pity and anger. But all that is\nneither here nor there. This habit of parenthesis is the ruin of\ngood prose. As I was saying, example clearly put down without\ncomment is very often more powerful than analysis for the purpose of\nconviction.\n\nThe Domestic brought me a letter upon a Silver Salver. I took it and\ncarefully examined the outside.\n\nThey err who will maintain through thick and thin upon a mere theory\nand without any true experience of the world, that it matters not\nwhat the outside of a letter may be so long as the contents provoke\nterror or amusement. The outside of a letter should appeal to one.\nWhen one gets a letter with a halfpenny stamp and with the flap of\nthe letter stuck inside, and with the address on the outside\ntypewritten, one is very apt to throw it away. I believe that there\nis no recorded case of such a letter containing a cheque, a summons,\nor an invitation to eat good food, and as for demand notes, what are\nthey? Then again those long envelopes which come with the notice,\n\"Paid in bulk,\" outside instead of a stamp--no man can be moved by\nthem. They are very nearly always advertisements of cheap wine.\n\nDo not misunderstand me: cheap wine is by no means to be despised.\nThere are some sorts of wine the less you pay for them the better\nthey are--within reason; and if a Gentleman has bought up a bankrupt\nstock of wine from a fellow to whom he has been lending money, why\non earth should he not sell it again at a reasonable profit, yet\nquite cheap? It seems to be pure benefit to the world. But I\nperceive that all this is leading me from my subject.\n\nI took up the letter, I say, and carefully examined the outside. It\nwas written in the hand of an educated man. It was almost illegible,\nand had all the appearance of what an honest citizen of some culture\nmight write to one hurriedly about some personal matter. I noticed\nthat it had come from the eastern central district, but when you\nconsider what an enormous number of people live there during the\nday, that did not prejudice me against it.\n\nNow, when I opened this letter, I found it written a little more\ncarefully, but still, written, not printed, or typewritten, or\nmanifolded, or lithographed, or anything else of that kind. It was\nwritten.\n\nThe art of writing ... but Patience! Patience!...\n\nIt was written. It was very cordial, and it appealed directly, only\nthe style was otiose, but in matters of the first importance style\nis a hindrance.\n\n_Telephone No. 666.\n\nThe Mercury,\n\n15th Nishan 5567.\n\nDear Sir,--Many people wonder, especially in your profession,_\n[what is It?] _why a certain Taedium Vitae seizes them towards\nfive o'clock in the afternoon. The stress and hurry of modern life\nhave forced so many of Us to draw upon Our nervous energy that We\nimagine that_ [Look at that 'that'! The whole Elizabethan\ntradition chucked away!] _We are exceeding our powers, and when\nthis depression comes over Us, we think it necessary to take a rest,\nand Let up from working. This is an erroneous supposition. What it\nmeans is that Our body has received insufficient nutriment during\nthe last twenty-four hours, and that Nature is craving for more\nsustenance.\n\nWe shall be very happy to offer you, through the medium of this\npaper, a special offer of our Essence of The Ox. This offer will\nonly remain open until Derby Day, during which period a box of our\nEssence of The Ox will be sent to you Free, if you will enclose the\nfollowing form, and send it to Us in the stamped envelope, which\naccompanies this letter.\n\nVery faithfully yours,_\n\nHENRY DE LA MERE ULLMO.\n\nIt seemed to me a most extraordinary thing. I had never written for\nUllmo and his _Mercury_, and I could do them no good in the world,\neither here or in Johannesburg. I was never likely to write for\nhim at all. He is not very pleasant; He is by no means rich; He is\nill-informed. He has no character at all, apart from rather unsuccessful\nmoney-grubbing, and from a habit of defending with some virulence,\nbut with no capacity, his fellow money-grubbers throughout the\nworld. However, I thought no more about it, and went on reading\nabout \"Vivisection.\"\n\nTwo days later I got a letter upon thick paper, so grained as to\nimitate oak, and having at the top a coat-of-arms of the most\ncomplicated kind. This coat-of-arms had a little lamb on it,\nsuspended by a girdle, as though it were being slung on board ship;\nthere were also three little sheaves of wheat, a sword, three\npanthers, some gules, and a mullet. Above it was a helmet, and there\nwere two supporters: one was a man with a club, and the other was\nanother man without a club, both naked. Underneath was the motto,\n\"Tout \u00e0 Toi.\" This second letter was very short.\n\n_Dear Sir,--Can you tell me why you have not answered Our letter\nre the Essence of the Ox? Derby Day is approaching, and the\nremaining time is very short. We made the offer specially to you,\nand we had at least expected the courtesy of an acknowledgment. You\nwill understand that the business of a great newspaper leaves but\nlittle time for private charity, but we are willing to let the offer\nremain open for three days longer, after which date--_\n\nHow easy it would be to criticise this English! To continue:\n\n_--after which date the price will inevitably be raised to One\nShilling.--We remain, etc._\n\nI had this letter framed with the other, and I waited to see what\nwould happen, keeping back from the bank for fear of frightening the\nfish, and hardly breathing.\n\nWhat happened was, after four or five days, a very sad letter which\nsaid that Ullmo expected better things from me, but that He knew\nwhat the stress of modern life was, and how often correspondence\nfell into arrears. He sent me a smaller specimen box of the Essence\nof The Ox. I have it still.\n\nAnd there it is. There is no moral; there is no conclusion or\napplication. The world is not quite infinite--but it is\nastonishingly full. All sorts of things happen in it. There are all\nsorts of different men and different ways of action, and different\ngoals to which life may be directed. Why, in a little wood near\nhome, not a hundred yards long, there will soon burst, in the spring\n(I wish I were there!), hundreds of thousands of leaves, and no one\nleaf exactly like another. At least, so the parish priest used to\nsay, and though I have never had the leisure to put the thing to the\nproof, I am willing to believe that he was right, for he spoke with\nauthority.\n\n\n\n\nON A HOUSE\n\n\nI appeal loudly to the Muse of History (whose name I forget and you\nnever knew) to help me in the description of this house, for--\n\nThe Muse of Tragedy would overstrain herself on it;\n\nThe Muse of Comedy would be impertinent upon it;\n\nThe Muse of Music never heard of it;\n\nThe Muse of Fine Arts disapproved of it;\n\nThe Muse of Public Instruction ... (Tut, tut! There I was nearly\nmaking a tenth Muse! I was thinking of the French Ministry.)\n\nThe Muse of Epic Poetry did not understand it;\n\nThe Muse of Lyric Poetry still less so;\n\nThe Muse of Astronomy is thinking of other things;\n\nThe Muse Polyhymnia (or Polymnia, who, according to Smith's\n_Dictionary of Antiquities_, is commonly represented in a\npensive attitude) has no attribute and does no work.\n\nAnd as for little Terpsichore whose feet are like the small waves in\nsummer time, she would laugh in a peal if I asked her to write,\nthink of, describe, or dance in this house (and that makes eleven\nMuses. No matter; better more than less).\n\nYet it was a house worthy of description and careful inventory, and\nfor that reason I have appealed to the Muse of History whose\nbusiness it is to set down everything in order as it happens,\njudging between good and evil, selecting facts, condensing\nnarratives, admitting picturesque touches, and showing her further\nknowledge by the allusive method or use of the dependent clause.\nWell then, inspired, I will tell you exactly how that house was\ndisposed. First, there ran up the middle of it a staircase which,\nhad Horace seen it (and heaven knows he was the kind of man to live\nin such a house), he would have called in his original and striking\nway \"Res Angusta Domi,\" for it was a narrow thing. Narrow do I call\nit? Yes--and yet not so narrow. It was narrow enough to avoid all\nappearance of comfort or majesty, yet not so narrow as to be quaint\nor snug. It was so designed that two people could walk exactly\nabreast, for it was necessary that upon great occasions the ladies\nshould be taken down from the drawing-room by the gentlemen to the\ndining-room, yet it would have been a sin and a shame to make it\nwider than that, and the house was not built in the days of\ncrinolines. Upon these occasions it was customary for the couples to\ngo down in order and in stately fashion, and the hostess went last;\nbut do not imagine that there was any order of precedence. Oh, no!\nFar from it, they went as they were directed.\n\nThis staircase filled up a kind of Chimney or Funnel, or rather\nParallelepiped, in the house: half-way between each floor was a\nlanding where it turned right round on itself, and on each floor a\nlarger landing flanked by two doors on either side, which made four\naltogether. This staircase was covered with Brussels carpet (and let\nme tell you in passing that no better covering for stairs was ever\nyet invented; it wears well and can be turned, and when the uppers\nare worn you can move the whole thing down one file and put the steps\nwhere the uppers were. None of your cocoanut stuff or gimcracks for\nthe honest house: when there is money you should have Brussels, when\nyou have none linoleum--but I digress). The stair-rods were of brass\nand beautifully polished, the banisters of iron painted to look like\nmahogany; and this staircase, which I may take to be the emblem of a\ngood life lived for duty, went up one pair, and two pair, and three\npair--all in the same way, and did not stop till it got to the top.\nBut just as a good life has beneath it a human basis so this (heaven\nforgive me!) somewhat commonplace staircase changed its character\nwhen it passed the hall door, and as it ran down to the basement had\nno landing, ornament, carpet or other paraphernalia, but a sound\nflight of stone steps with a cold rim of unpainted metal for the hand.\n\nThe hall that led to these steps was oblong and little furnished.\nThere was a hat-rack, a fireplace (in which a fire was not lit) and\ntwo pictures; one a photograph of the poor men to whom the owner\npaid weekly wages at his Works, all set out in a phalanx, or rather\nfan, with the Owner of the House (and them) in the middle, the other\na steel engraving entitled \"The Monarch of the Forest,\" from a\npainting by Sir Edwin Landseer. It represented a stag and was very\nugly.\n\nOn the ground floor of the House (which is a libel, for it was some\nfeet above the ground, and was led up to by several steps, as the\nporch could show) there were four rooms--the Dining-room, the\nSmoking-room, the Downstairs-room and the Back-room. The Dining-room\nwas so called because all meals were held in it; the Smoking-room\nbecause it was customary to smoke all over the house (except the\nDrawing-room); the Back-room because it was at the back, and the\nDownstairs-room because it was downstairs. Upon my soul, I would\ngive you a better reason if I had one, but I have none. Only I may\nsay that the Smoking-room was remarkable for two stuffed birds, the\nDownstairs-room from the fact that the Owner lived in it and felt at\nease there, the Back-room from the fact that no one ever went into\nit (and quite right too), while the Dining-room--but the Dining-room\nstands separate.\n\nThe Dining-room was well carpeted; it had in its midst a large\nmahogany table so made that it could get still larger by the\naddition of leaves inside; there were even flaps as well. It had\neleven chairs, and these in off-times stood ranged round the wall\nthinking of nothing, but at meal times were (according to the number\nwanted) put round the table. It is a theory among those who believe\nthat a spirit nourishes all things from within, that there was some\ncompetition amongst these chairs as to which should be used at\ntable, so dull, forlorn and purposeless was their life against the\nwall. Seven pictures hung on that wall; not because it was a mystic\nnumber, but because it filled up all the required space; two on each\nside of the looking-glass and three large ones on the opposite wall.\nThey were all of them engravings, and one of them at least was that\nof a prominent statesman (Lord Beaconsfield), while the rest had to\ndo with historical subjects, such as the visit of Prince Albert to\nthe Exhibition of 1851, and I really forget what else. There was a\nChiffonier at the end of the room in which the wines and spirits\nwere kept, and which also had a looking-glass above it; also a white\ncloth on the top for no reason on earth. An arm-chair (in which the\nOwner sat) commonly stood at the head of the table; this remained\nthere even between meals, and was a symbol that he was master of the\nhouse. Four meals were held here. Breakfast at eight, dinner at one,\ntea at six, and a kind of supper (when the children had gone to bed)\nat nine or so. But what am I saying--_quo Musa Historiae\ntendis?_--dear! dear! I thought I was back again in the old\ntimes! a thousand pardons. At the time my story opens--and closes\nalso for that matter (for I deal of the Owner and the House _in\narticulo mortis_ so to speak; on the very edge of death)--it was\nfar otherwise. Breakfast was when you like (for him, however, always\nat the same old hour, and there he would sit alone, his wife dead,\nhis son asleep--trying to read his newspaper, but staring out from\ntime to time through the window and feeling very companion-less).\nDinner was no longer dinner; there was \"luncheon\" to which nobody\ncame except on Saturdays. Then there was another thing (called by\nthe old name of dinner) at half-past seven, and what had happened to\nsupper no one ever made out. Some people said it had gone to\nPrince's, but certainly the Owner never followed it there.\n\nOn the next floor was the Drawing-room, noted for its cabinet of\ncuriosities, its small aquarium, its large sofa, its piano and its\ninlaid table. The back of the drawing-room was another room beyond\nfolding doors. This would have been convenient if a dance had ever\nbeen given in the house. On the other side were the best bedroom and\na dressing-room. Each in its way what might be expected, save that at\nthe head of the best bed were two little pockets as in the time of our\ngrandfathers; also there was a Chevalier looking-glass and on the\ndressing-table a pin-cushion with pins arranged in a pattern. The\nfire-place and the mantelpiece were of white marble and had on them\ntwo white vases picked out in bright green, a clock with a bronze\nupon it representing a waiter dressed up partly in fifteenth-century\nplate and partly in twelfth-century mail, and on the wall were two\nJewish texts, each translated into Jacobean English and illuminated\nwith a Victorian illumination. One said: \"He hath prevented all my\nways.\" The other said: \"Wisdom is better than Rubies.\" But the gothic\n\"u\" was ill made and it looked like \"Rabies.\" There was also in the\nroom a good wardrobe of a kind now difficult to get, made out of cedar\nand very reasonable in arrangement. There was, moreover (now it occurs\nto me), a little table for writing on; there was writing paper with\n\"Wood Thorpe\" on it, but there were no stamps, and the ink was dry in\nthe bottles (for there were two bottles).\n\nWell, now, shall I be at the pains of telling you what there was\nupstairs? Not I! I am tired enough as it is of detailing all these\nthings. I will speak generally. There were four bedrooms. They were\nused by the family, and above there was an attic which belonged to\nthe servants. The decoration of the wall was everywhere much the\nsame, save that it got a little meaner as one rose, till at last, in\nthe top rooms of all, there was nothing but little photographs of\nsweethearts or pictures out of illustrated papers stuck against the\nwalls. The wall-paper, that had cost 3_s_. 3_d_. a piece in the hall and\ndining-room, and 7_s_. 6_d_. in the drawing-room, suddenly began to\ncost 1_s_. 4_d_. in the upper story and the attic was merely whitewashed.\n\nOne thing more there was, a little wooden gate. It had been put\nthere when the children were little, and had remained ever since at\nthe top of the stairs. Why? It may have been mere routine. It may\nhave been romance. The Owner was a practical man, and the little\ngate was in the way; it was true he never had to shut and open it on\nhis way to bed, and but rarely even saw it. Did he leave it there\nfrom a weak sentiment or from a culpable neglect? He was not a\nsentimental man; on the other hand, he was not negligent. There is a\ngreat deal to be said on both sides, and it is too late to discuss\nthat now.\n\nHeaven send us such a house, or a house of some kind; but Heaven\nsend us also the liberty to furnish it as we choose. For this it was\nthat made the Owner's joy: he had done what he liked in his own\nsurroundings, and I very much doubt whether the people who live in\nQueen Anne houses or go in for timber fronts can say the same.\n\n\n\n\nONE THE ILLNESS OF MY MUSE\n\n\nThe other day I noticed that my Muse, who had long been ailing,\nsilent and morose, was showing signs of actual illness.\n\nNow, though it is by no means one of my habits to coddle the dogs,\ncats and other familiars of my household, yet my Muse had so pitiful\nan appearance that I determined to send for the doctor, but not\nbefore I had seen her to bed with a hot bottle, a good supper, and\nsuch other comforts as the Muses are accustomed to value. All that\ncould be done for the poor girl was done thoroughly; a fine fire was\nlit in her bedroom, and a great number of newspapers such as she is\ngiven to reading for her recreation were bought at a neighbouring\nshop. When she had drunk her wine and read in their entirety the\n_Daily Telegraph_, the _Morning Post_, the _Standard_, the _Daily\nMail_, the _Daily Express_, the _Times_, the _Daily News_, and\neven the _Advertiser_, I was glad to see her sink into a profound\nslumber.\n\nI will confess that the jealousy which is easily aroused among\nservants when one of their number is treated with any special\ncourtesy gave me some concern, and I was at the pains of explaining\nto the household not only the grave indisposition from which the\nMuse suffered, but also the obligation I was under to her on account\nof her virtues: which were, her long and faithful service, her\nwillingness, and the excess of work which she had recently been\ncompelled to perform. Her fellow-servants, to my astonishment and\npleasure, entered at once into the spirit of my apology: the still-room\nmaid offered to sit up with her all night, or at least until the\ntrained nurse should arrive, and the groom of the chambers, with\na good will that I confess was truly surprising in one of his proud\nnature, volunteered to go himself and order straw for the street\nfrom a neighbouring stable.\n\nThe cause of this affection which the Muse had aroused in the whole\nhousehold I subsequently discovered to lie in her own amiable and\nunselfish temper. She had upon two occasions inspired the knife-boy\nto verses which had subsequently appeared in the _Spectator_,\nand with weekly regularity she would lend her aid to the cook in the\ncomposition of those technical reviews by which (as it seemed) that\ndomestic increased her ample wages.\n\nThe Muse had slept for a full six hours when the doctor arrived--a\nspecialist in these matters and one who has before now been called\nin (I am proud to say) by such great persons as Mr. Hichens, Mr.\nChurchill, and Mr. Roosevelt when their Muses have been out of\nsorts. Indeed, he is that doctor who operated for aphasia upon the\nMuse of the late Mr. Rossetti just before his demise. His fees are\nhigh, but I was willing enough to pay, and certainly would never\nhave consented--as have, I regret to say, so many of my unworthy\ncontemporaries--to employ a veterinary surgeon upon such an\noccasion.\n\nThe great specialist approached with a determined air the couch\nwhere the patient lay, awoke her according to the ancient formula,\nand proceeded to question her upon her symptoms. He soon discovered\ntheir gravity, and I could see by his manner that he was anxious to\nan extreme. The Muse had grown so weak as to be unable to dictate\neven a little blank verse, and the indisposition had so far affected\nher mind that she had no memory of Parnassus, but deliriously\nmaintained that she had been born in the home counties--nay, in the\nneighbourhood of Uxbridge. Her every phrase was a deplorable\ncommonplace, and, on the physician applying a stethoscope and\nbegging her to attempt some verse, she could give us nothing better\nthan a sonnet upon the expansion of the Empire. Her weakness was\nsuch that she could do no more than awake, and that feebly, while\nshe professed herself totally unable to arise, to expand, to soar,\nto haunt, or to perform any of those exercises which are proper to\nher profession.\n\nWhen his examination was concluded the doctor took me aside and\nasked me upon what letters the patient had recently fed. I told him\nupon the daily Press, some of the reviews, the telegrams from the\nlatest seat of war, and occasionally a debate in Parliament. At this\nhe shook his head and asked whether too much had not recently been\nasked of her. I admitted that she had done a very considerable\namount of work for so young a Muse in the past year, though its\nquality was doubtful, and I hastened to add that I was the less to\nblame as she had wasted not a little of her powers upon others\nwithout asking my leave; notably upon the knife-boy and the cook.\n\nThe doctor was then good enough to write out a prescription in Latin\nand to add such general recommendations as are commonly of more\nvalue than physic. She was to keep her bed, to be allowed no modern\nliterature of any kind, unless Milton and Swift may be admitted as\nmoderns, and even these authors and their predecessors were to be\nadmitted in very sparing quantities. If any signs of inversion,\narchaism, or neologistic tendencies appeared he was to be summoned\nat once; but of these (he added) he had little fear. He did not\ndoubt that in a few weeks we should have her up and about again, but\nhe warned me against letting her begin work too soon.\n\n\"I would not,\" he said, \"permit her to undertake any effort until\nshe can inspire within one day of twelve hours at least eighteen\nquatrains, and those lucid, grammatical, and moving. As for single\nlines, tags, fine phrases, and the rest, they are no sign whatever\nof returning health, if anything of the contrary.\"\n\nHe also begged that she might not be allowed any Greek or Latin for\nten days, but I reassured him upon the matter by telling him that\nshe was totally unacquainted with those languages--at which he\nexpressed some pleasure but even more astonishment.\n\nAt last he told me that he was compelled to be gone; the season had\nbeen very hard, nor had he known so general a breakdown among the\nMuses of his various clients.\n\nI thought it polite as I took him to the door to ask after some of\nhis more distinguished patients; he was glad to say that the\nArchbishop of Armagh's was very vigorous indeed, in spite of the age\nof her illustrious master. He had rarely known a more inventive or\ncourageous female, but when, as I handed him into his carriage, I\nasked after that of Mr. Kipling, his face became suddenly grave; and\nhe asked me, \"Have you not heard?\"\n\n\"No,\" said I; but I had a fatal presentiment of what was to follow,\nand indeed I was almost prepared for it when he answered in solemn\ntones:\n\n\"She is dead.\"\n\n\n\n\nON A DOG AND A MAN ALSO\n\n\nThere lives in the middle of the Weald upon the northern edge of a\nsmall wood where a steep brow of orchard pasture goes down to a\nlittle river, a Recluse who is of middle age and possessed of all\nthe ordinary accomplishments; that is, French and English literature\nare familiar to him, he can himself compose, he has read his\nclassical Latin and can easily decipher such Greek as he has been\ntaught in youth. He is unmarried, he is by birth a gentleman, he\nenjoys an income sufficient to give him food and wine, and has for\ncompanion a dog who, by the standard of dogs, is somewhat more\nelderly than himself.\n\nThis dog is called Argus, not that he has a hundred eyes nor even two,\nindeed he has but one; for the other, or right eye, he lost the sight\nof long ago from luxury and lack of exercise. This dog Argus is neither\nsmall nor large; he is brown in colour and covered--though now but\npartially--with curly hair. In this he resembles many other dogs, but\nhe differs from most of his breed in a further character, which is\nthat by long association with a Recluse he has acquired a human manner\nthat is unholy. He is fond of affected poses. When he sleeps it is with\nthat abandonment of fatigue only naturally to be found in mankind. He\nwatches sunsets and listens mournfully to music. Cooked food is dearer\nto him than raw, and he will eat nuts--a monstrous thing in a dog and\nproof of corruption.\n\nNevertheless, or, rather, on account of all this, the dog Argus is\nexceedingly dear to his master, and of both I had the other day a\nsingular revelation when I set out at evening to call upon my\nfriend.\n\nThe sun had set, but the air was still clear and it was light enough\nto have shot a bat (had there been bats about and had one had a gun)\nwhen I knocked at the cottage door and opened it. Right within, one\ncomes to the first of the three rooms which the Recluse possesses,\nand there I found him tenderly nursing the dog Argus, who lay\ngroaning in the arm-chair and putting on all the airs of a Christian\nman at the point of death.\n\nThe Recluse did not even greet me, but asked me only in a hurried\nway how I thought the dog Argus looked. I answered gravely and in a\nlow tone so as not to disturb the sufferer, that as I had not seen\nhim since Tuesday, when he was, for an elderly dog, in the best of\nhealth, he certainly presented a sad contrast, but that perhaps he\nwas better than he had been some few hours before, and that the\nRecluse himself would be the best judge of that.\n\nMy friend was greatly relieved at what I said, and told me that he\nthought the dog was better, compared at least with that same\nmorning; then, whether you believe it or not, he took him by the\nleft leg just above the paw and held it for a little time as though\nhe were feeling a pulse, and said, \"He came back less than twenty-four\nhours ago!\" It seemed that the dog Argus, for the first time in fourteen\nyears, had run away, and that for the first time in perhaps twenty or\nthirty years the emotion of loss had entered into the life of the\nRecluse, and that he had felt something outside books and outside\nthe contemplation of the landscape about his hermitage.\n\nIn a short time the dog fell into a slumber, as was shown by a\nnumber of grunts and yaps which proved his sleep, for the dog Argus\nis of that kind which hunts in dreams. His master covered him\nreverently rather than gently with an Indian cloth and, still\nleaving him in the armchair, sat down upon a common wooden chair\nclose by and gazed pitifully at the fire. For my part I stood up and\nwondered at them both, and wondered also at that in man by which he\nmust attach himself to something, even if it be but a dog, a\npolitician, or an ungrateful child.\n\nWhen he had gazed at the fire a little while the Recluse began to\ntalk, and I listened to him talking:\n\n\"Even if they had not dug up so much earth to prove it I should have\nknown,\" said he, \"that the Odyssey was written not at the beginning\nof a civilisation nor in the splendour of it, but towards its close.\nI do not say this from the evening light that shines across its\npages, for that is common to all profound work, but I say it because\nof the animals, and especially because of the dog, who was the only\none to know his master when that master came home a beggar to his\nown land, before his youth was restored to him, and before he got\nback his women and his kingship by the bending of his bow, and\nbefore he hanged the housemaids and killed all those who had\ndespised him.\"\n\n\"But how,\" said I (for I am younger than he), \"can the animals in\nthe poem show you that the poem belongs to a decline?\"\n\n\"Why,\" said he, \"because at the end of a great civilisation the air\ngets empty, the light goes out of the sky, the gods depart, and men\nin their loneliness put out a groping hand, catching at the\nfriendship of, and trying to understand, whatever lives and suffers\nas they do. You will find it never fail that where a passionate\nregard for the animals about us, or even a great tenderness for\nthem, is to be found there is also to be found decay in the State.\"\n\n\"I hope not,\" said I. \"Moreover, it cannot be true, for in the\nThirteenth Century, which was certainly the healthiest time we ever\nhad, animals were understood; and I will prove it to you in several\ncarvings.\"\n\nHe shrugged his shoulders and shook his head, saying, \"In the rough\nand in general it is true; and the reason is the reason I have given\nyou, that when decay begins, whether of a man or of a State, there\ncomes with it an appalling and a torturing loneliness in which our\nenergies decline into a strong affection for whatever is constantly\nour companion and for whatever is certainly present upon earth. For\nwe have lost the sky.\"\n\n\"Then if the senses are so powerful in a decline of the State there\nshould come at the same time,\" said I, \"a quick forgetfulness of the\nhuman dead and an easy change of human friendship?\"\n\n\"There does,\" he answered, and to that there was no more to be said.\n\n\"I know it by my own experience,\" he continued. \"When, yesterday, at\nsunset, I looked for my dog Argus and could not find him, I went out\ninto the wood and called him: the darkness came and I found no trace\nof him. I did not hear him barking far off as I have heard him\nbefore when he was younger and went hunting for a while, and three\ntimes that night I came back out of the wild into the warmth of my\nhouse, making sure he would have returned, but he was never there.\nThe third time I had gone a mile out to the gamekeeper's to give him\nmoney if Argus should be found, and I asked him as many questions\nand as foolish as a woman would ask. Then I sat up right into the\nnight, thinking that every movement of the wind outside or of the\ndrip of water was the little pad of his step coming up the\nflagstones to the door. I was even in the mood when men see unreal\nthings, and twice I thought I saw him passing quickly between my\nchair and the passage to the further room. But these things are\nproper to the night and the strongest thing I suffered for him was\nin the morning.\n\n\"It was, as you know, very bitterly cold for several days. They\nfound things dead in the hedgerows, and there was perhaps no running\nwater between here and the Downs. There was no shelter from the\nsnow. There was no cover for my friend at all. And when I was up at\ndawn with the faint light about, a driving wind full of sleet filled\nall the air. Then I made certain that the dog Argus was dead, and\nwhat was worse that I should not find his body: that the old dog had\ngot caught in some snare or that his strength had failed him through\nthe cold, as it fails us human beings also upon such nights,\nstriking at the heart.\n\n\"Though I was certain that I would not see him again yet I went on\nfoolishly and aimlessly enough, plunging through the snow from one\nspinney to another and hoping that I might hear a whine. I heard\nnone: and if the little trail he had made in his departure might\nhave been seen in the evening, long before that morning the drift\nwould have covered it.\n\n\"I had eaten nothing and yet it was near noon when I returned,\npushing forward to the cottage against the pressure of the storm,\nwhen I found there, miserably crouched, trembling, half dead, in the\nlee of a little thick yew beside my door, the dog Argus; and as I\ncame his tail just wagged and he just moved his ears, but he had not\nthe strength to come near me, his master.\"\n\n[Greek: ourae men rh ho g esaene kai ouata kabbalen ampho, asson d\nouket epeita dunaesato oio anaktos elthemen.]\n\n\"I carried him in and put him here, feeding him by force, and I have\nrestored him.\"\n\nAll this the Recluse said to me with as deep and as restrained\nemotion as though he had been speaking of the most sacred things, as\nindeed, for him, these things were sacred.\n\nIt was therefore a mere inadvertence in me, and an untrained habit\nof thinking aloud, which made me say:\n\n\"Good Heavens, what will you do when the dog Argus dies?\"\n\nAt once I wished I had not said it, for I could see that the Recluse\ncould not bear the words. I looked therefore a little awkwardly\nbeyond him and was pleased to see the dog Argus lazily opening his\none eye and surveying me with torpor and with contempt. He was\ncertainly less moved than his master.\n\nThen in my heart I prayed that of these two (unless The God would\nmake them both immortal and catch them up into whatever place is\nbetter than the Weald, or unless he would grant them one death\ntogether upon one day) that the dog Argus might survive my friend,\nand that the Recluse might be the first to dissolve that long\ncompanionship. For of this I am certain, that the dog would suffer\nless; for men love their dependents much more than do their\ndependents them; and this is especially true of brutes; for men are\nnearer to the gods.\n\n\n\n\nON TEA\n\n\nWhen I was a boy--\n\nWhat a phrase! What memories! O! Noctes Coenasque De\u00fbm! Why, then,\nis there something in man that wholly perishes? It is against sound\nreligion to believe it, but the world would lead one to imagine it.\nThe Hills are there. I see them as I write. They are the cloud or\nwall that dignified my sixteenth year. And the river is there, and\nflows by that same meadow beyond my door; from above Coldwatham the\nsame vast horizon opens westward in waves of receding crests more\nchangeable and more immense than is even our sea. The same sunsets\nat times bring it all in splendour, for whatever herds the western\nclouds together in our stormy evenings is as stable and as vigorous\nas the County itself. If, therefore, there is something gone, it is\nI that have lost it.\n\nCertainly something is diminished (the Priests and the tradition of\nthe West forbid me to say that the soul can perish), certainly\nsomething is diminished--what? Well, I do not know its name, nor has\nanyone known it face to face or apprehended it in this life, but the\nsense and influence--alas! especially the memory of It, lies in the\nwords \"When I was a boy,\" and if I write those words again in any\ndocument whatsoever, even in a lawyer's letter, without admitting at\nonce a full-blooded and galloping parenthesis, may the Seven Devils\nof Sense take away the last remnant of the joy they lend me.\n\nWhen I was a boy there was nothing all about the village or the\nwoods that had not its living god, and all these gods were good. Oh!\nHow the County and its Air shone from within; what meaning lay in\nunexpected glimpses of far horizons; what a friend one was with the\nclouds!\n\nWell, all I can say to the Theologians is this:\n\n\"I will grant you that the Soul does not decay: you know more of\nsuch flimsy things than I do. But you, on your side, must grant me\nthat there is Something which does not enter into your systems. That\nhas perished, and I mean to mourn it all the days of my life. Pray\ndo not interfere with that peculiar ritual.\"\n\nWhen I was a boy I knew Nature as a child knows its nurse, and Tea I\ndenounced for a drug. I found to support this fine instinct many\narguments, all of which are still sound, though not one of them\nwould prevent me now from drinking my twentieth cup. It was\nintroduced late and during a corrupt period. It was an exotic. It\nwas a sham exhilarant to which fatal reactions could not but attach.\nIt was no part of the Diet of the Natural Man. The two nations that\nalone consume it--the English and the Chinese--are become, by its\nbaneful influence on the imagination, the most easily deceived in\nthe world. Their politics are a mass of bombastic illusions. Also it\ndries their skins. It tans the liver, hardens the coats of the\nstomach, makes the brain feverishly active, rots the nerve-springs;\nall that is still true. Nevertheless I now drink it, and shall drink\nit; for of all the effects of Age none is more profound than this:\nthat it leads men to the worship of some one spirit less erect than\nthe Angels. A care, an egotism, an irritability with regard to\ndetails, an anxious craving, a consummate satisfaction in the\nperformance of the due rites, an ecstasy of habit, all proclaim the\nsenile heresy, the material Religion. I confess to Tea.\n\nAll is arranged in this Cult with the precision of an ancient creed.\nThe matter of the Sacrifice must come from China. He that would\ndrink Indian Tea would smoke hay. The Pot must be of metal, and the\nmetal must be a white metal, not gold or iron. Who has not known the\nacidity and paucity of Tea from a silver-gilt or golden spout? The\nPot must first be warmed by pouring in a little _boiling_ water\n(the word _boiling_ should always be underlined); then the\nwater is poured away and a few words are said. Then the Tea is put\nin and unrolls and spreads in the steam. Then, in due order, on\nthese expanding leaves _Boiling_ Water is largely poured and\nthe god arises, worthy of continual but evil praise and of the\nthanks of the vicious, a Deity for the moment deceitfully kindly to\nmen. Under his influence the whole mind receives a sharp vision of\npower. It is a phantasm and a cheat. Men can do wonders through\nwine; through Tea they only think themselves great and clear--but\nthat is enough if one has bound oneself to that strange idol and\nlearnt the magic phrase on His Pedestal, [Greek: ARISTON MEN TI],\nfor of all the illusions and dreams men cherish none is so grandiose\nas the illusion of conscious power within.\n\n       *       *       *       *       *\n\nWell, then, it fades.... I begin to see that this cannot continue\n... of Tea it came, inconsecutive and empty; with the influence of\nTea dissolving, let these words also dissolve.... I could wish it\nhad been Opium, or Haschisch, or even Gin; you would have had\nsomething more soaring for your money.... _In vino Veritas. In\nAqua satietas. In_ ... What is the Latin for Tea? What! Is there\nno Latin word for Tea? Upon my soul, if I had known that I would\nhave let the vulgar stuff alone.\n\n\n\n\nON THEM\n\n\nI do not like Them. It is no good asking me why, though I have\nplenty of reasons. I do not like Them. There would be no particular\npoint in saying I do not like Them if it were not that so many\npeople doted on Them, and when one hears Them praised, it goads one\nto expressing one's hatred and fear of Them.\n\nI know very well that They can do one harm, and that They have\noccult powers. All the world has known that for a hundred thousand\nyears, more or less, and every attempt has been made to propitiate\nThem. James I. would drown Their mistress or burn her, but\n_They_ were spared. Men would mummify Them in Egypt, and\nworship the mummies; men would carve Them in stone in Cyprus, and\nCrete and Asia Minor, or (more remarkable still) artists, especially\nin the Western Empire, would leave Them out altogether; so much was\nTheir influence dreaded. Well, I yield so far as not to print Their\nname, and only to call Them \"They\", but I hate Them, and I'm not\nafraid to say so.\n\nIf you will take a little list of the chief crimes that living\nbeings can commit you will find that They commit them all. And They\nare cruel; cruelty is even in Their tread and expression. They are\nhatefully cruel. I saw one of Them catch a mouse the other day (the\ncat is now out of the bag), and it was a very much more sickening\nsight, I fancy, than ordinary murder. You may imagine that They\ncatch mice to eat them. It is not so. They catch mice to torture them.\nAnd what is worse, They will teach this to Their children--Their\nchildren who are naturally innocent and fat, and full of goodness,\nare deliberately and systematically corrupted by Them; there is\ndiabolism in it.\n\nOther beings (I include mankind) will be gluttonous, but gluttonous\nspasmodically, or with a method, or shamefacedly, or, in some way or\nanother that qualifies the vice; not so They. They are gluttonous\nalways and upon all occasions, and in every place and for ever. It\nwas only last Vigil of All Fools' Day when, myself fasting, I filled\nup the saucer seven times with milk and seven times it was emptied,\nand there went up the most peevish, querulous, vicious complaint and\ndemand for an eighth. They will eat some part of the food of all\nthat are in the house. Now even a child, the most gluttonous one\nwould think of all living creatures, would not do that. It makes a\nselection, _They_ do not. _They_ will drink beer. This is not a theory;\nI know it; I have seen it with my own eyes. They will eat special foods;\nThey will even eat dry bread. Here again I have personal evidence of\nthe fact; They will eat the dog's biscuits, but never upon any occasion\nwill They eat anything that has been poisoned, so utterly lacking are\nThey in simplicity and humility, and so abominably well filled with\ncunning by whatever demon first brought their race into existence.\n\nThey also, alone of all creation, love hateful noises. Some beings\nindeed (and I count Man among them) cannot help the voice with which\nthey have been endowed, but they know that it is offensive, and are\nat pains to make it better; others (such as the peacock or the\nelephant) also know that their cry is unpleasant. They therefore use\nit sparingly. Others again, the dove, the nightingale, the thrush,\nknow that their voices are very pleasant, and entertain us with them\nall day and all night long; but They know that Their voices are the\nmost hideous of all the sounds in the world, and, knowing this, They\nperpetually insist upon thrusting those voices upon us, saying, as\nit were, \"I am giving myself pain, but I am giving you more pain,\nand therefore I shall go on.\" And They choose for the place where\nthis pain shall be given, exact and elevated situations, very close\nto our ears. Is there any need for me to point out that in every\ncity they will begin their wicked jar just at the time when its\ninhabitants must sleep? In London you will not hear it till after\nmidnight; in the county towns it begins at ten; in remote villages\nas early as nine.\n\nTheir Master also protects them. They have a charmed life. I have\nseen one thrown from a great height into a London street, which when\nIt reached it It walked quietly away with the dignity of the Lost\nWorld to which It belonged.\n\nIf one had the time one could watch Them day after day, and never\nsee Them do a single kind or good thing, or be moved by a single\nvirtuous impulse. They have no gesture for the expression of\nadmiration, love, reverence or ecstasy. They have but one method of\nexpressing content, and They reserve that for moments of physical\nrepletion. The tail, which is in all other animals the signal for\njoy or for defence, or for mere usefulness, or for a noble anger, is\nwith Them agitated only to express a sullen discontent.\n\nAll that They do is venomous, and all that They think is evil, and\nwhen I take mine away (as I mean to do next week--in a basket), I\nshall first read in a book of statistics what is the wickedest part\nof London, and I shall leave It there, for I know of no one even\namong my neighbours quite so vile as to deserve such a gift.\n\n\n\n\nON RAILWAYS AND THINGS\n\n\nRailways have changed the arrangement and distribution of crowds and\nsolitude, but have done nothing to disturb the essential contrast\nbetween them.\n\nThe more behindhand of my friends, among whom I count the weary men\nof the towns, are ceaselessly bewailing the effect of railways and\nthe spoiling of the country; nor do I fail, when I hear such\ncomplaints, to point out their error, courteously to hint at their\nsheep-like qualities, and with all the delicacy imaginable to let\nthem understand they are no better than machines repeating worn-out\nformulae through the nose. The railways and those slow lumbering\nthings the steamboats have not spoilt our solitudes, on the contrary\nthey have intensified the quiet of the older haunts, they have\ncreated new sanctuaries, and (crowning blessing) they make it easy\nfor us to reach our refuges.\n\nFor in the first place you will notice that new lines of travel are\nlike canals cut through the stagnant marsh of an old civilisation,\ndraining it of populace and worry, and concentrating upon themselves\nthe odious pressure of humanity.\n\nYou know (to adopt the easy or conversational style) that you and I\nbelong to a happy minority. We are the sons of the hunters and the\nwandering singers, and from our boyhood nothing ever gave us greater\npleasure than to stand under lonely skies in forest clearings, or to\nfind a beach looking westward at evening over unfrequented seas. But\nthe great mass of men love companionship so much that nothing seems\nof any worth compared with it. Human communion is their meat and\ndrink, and so they use the railways to make bigger and bigger hives\nfor themselves.\n\nNow take the true modern citizen, the usurer. How does the usurer\nsuck the extremest pleasure out of his holiday? He takes the train\npreferably at a very central station near the Strand, and (if he can\nchoose his time) on a foggy and dirty day; he picks out an express\nthat will take him with the greatest speed through the Garden of Eden,\nnor does he begin to feel the full savour of relaxation till a row of\nabominable villas' appears on the southern <DW72> of what were once the\ndowns; these villas stand like the skirmishers of a foul army deployed:\nhe is immediately whirled into Brighton and is at peace. There he has\nhis wish for three days; there he can never see anything but houses,\nor, if he has to walk along the sea, he can rest his eye on herds of\nunhappy people and huge advertisements, and he can hear the newspaper\nboys telling lies (perhaps special lies he has paid for) at the top of\ntheir voices; he can note as evening draws on the pleasant glare of gas\nupon the street mud and there pass him the familiar surroundings of\nservility, abject poverty, drunkenness, misery, and vice. He has his\nmusic-hall on the Saturday evening with the sharp, peculiar finish of\nthe London accent in the patriotic song, he has the London paper on\nSunday to tell him that his nastiest little Colonial War was a crusade,\nand on Monday morning he has the familiar feeling that follows his\nexcesses of the previous day.... Are you not glad that such men and\ntheir lower-fellows swarm by hundreds of thousands into the \"resorts\"?\nDo you not bless the railways that take them so quickly from one Hell\nto another.\n\nNever let me hear you say that the railways spoil a countryside;\nthey do, it is true, spoil this or that particular place--as, for\nexample, Crewe, Brighton, Stratford-on-Avon--but for this\ndisadvantage they give us I know not how many delights. What is more\nEnglish than the country railway station? I defy the eighteenth\ncentury to produce anything more English, more full of home and rest\nand the nature of the country, than my junction. Twenty-seven trains\na day stop at it or start from it; it serves even the expresses.\nSmith's monopoly has a bookstall there; you can get cheap Kipling\nand Harmsworth to any extent, and yet it is a theme for English\nidylls. The one-eyed porter whom I have known from childhood; the\nstation-master who ranges us all in ranks, beginning with the Duke\nand ending with a sad, frayed and literary man; the little chaise in\nwhich the two old ladies from Barlton drive up to get their paper of\nan evening, the servant from the inn, the newsboy whose mother keeps\na sweetshop--they are all my village friends. The glorious Sussex\naccent, whose only vowel is the broad \"a\", grows but more rich and\nemphatic from the necessity of impressing itself upon foreign\nintruders. The smoke also of the train as it skirts the Downs is\npart and parcel of what has become (thanks to the trains) our\nencloistered country life; the smoke of the trains is a little\nsmudge of human activity which permits us to match our incomparable\nseclusion with the hurly-burly from which we have fled. Upon my\nsoul, when I climb up the Beacon to read my book on the warm turf,\nthe sight of an engine coming through the cutting is an emphasis of\nmy selfish enjoyment. I say \"There goes the Brighton train\", but the\nimage of Brighton, with its Anglo-Saxons and its Vision of Empire,\ndoes not oppress me; it is a far-off thing; its life ebbs and flows\nalong that belt of iron to distances that do not regard me.\n\nConsider this also with regard to my railway: it brings me what I\nwant in order to be perfect in my isolation. Those books discussing\nProblems: whether or not there is such an idea as right; the\ninconvenience of being married; the worry of being Atheist and yet\nliving upon a clerical endowment,--these fine discussions come from\na library in a box by train and I can torture myself for a shilling,\nwhereas, before the railways, I should have had to fall back on the\n_Gentleman's Magazine_ and the County History. In the way of\nnewspapers it provides me with just the companionship necessary to a\nhermitage. Often and often, after getting through one paper, I\nstroll down to the junction and buy fifteen others, and so enjoy the\nfruits of many minds.\n\nThanks to my railway I can sit in the garden of an evening and read\nmy paper as I smoke my pipe, and say, \"Ah! That's Buggin's work. I\nremember him well; he worked for Rhodes.... Hullo! Here's Simpson at\nit again; since when did they buy _him_?...\" And so forth. I lead\nmy pastoral life, happy in the general world about me, and I serve,\nas sauce to such healthy meat, the piquant wickedness of the town;\nnor do I ever note a cowardice, a lie, a bribery, or a breach of\ntrust, a surrender in the field, or a new Peerage, but I remember\nthat my newspaper could not add these refining influences to my life\nbut for the _railway_ which I set out to praise at the beginning of\nthis and intend to praise manfully to the end.\n\nYet another good we owe to railways occurs to me. They keep the\nsmall towns going.\n\nDon't pester me with \"economics\" on that point; I know more\neconomics than you, and I say that but for the railways the small\ntowns would have gone to pieces. There never yet was a civilisation\ngrowing richer and improving its high roads in which the small towns\ndid not dwindle. The village supplied the local market with bodily\nnecessaries; the intellectual life, the civic necessities had to go\ninto the large towns. It happened in the second and third centuries\nin Italy; it happened in France between Henri IV and the Revolution;\nit was happening here before 1830.\n\nTake those little paradises Ludlow and Leominster; consider Arundel,\nand please your memory with the admirable <DW72>s of Whitchurch; grow\ncontented in a vision of Ledbury, of Rye, or of Abingdon, or of\nBeccles with its big church over the river, or of Newport in the\nIsle of Wight, or of King's Lynn, or of Lymington--you would not\nhave any of these but for the railway, and there are 1800 such in\nEngland--one for every tolerable man.\n\nValognes in the Cotentin, Bourg-d'Oysan down in the Dauphin\u00e9 in its\nvast theatre of upright hills, St. Julien in the Limousin,\nAubusson-in-the-hole, Puy (who does not connect beauty with the\nword?), Mansle in the Charente country--they had all been half dead\nfor over a century when the railway came to them and made them\njolly, little, trim, decent, self-contained, worthy, satisfactory,\ngenial, comforting and human [Greek: politeiae], with clergy, upper\nclass, middle class, poor, soldiers, yesterday's news, a college,\nanti-Congo men, fools, strong riders, old maids, and all that makes\na state. In England the railway brought in that beneficent class,\nthe gentlemen; in France, that still more beneficent class, the\nHaute Bourgeoisie.\n\nI know what you are going to say; you are going to say that there\nwere squires before the railways in England. Pray have you\nconsidered how many squires there were to go round? About half a\ndozen squires to every town, that is (say) four gentlemen, and of\nthose four gentlemen let us say two took some interest in the place.\nIt wasn't good enough ... and heaven help the country towns now if\nthey had to depend on the great houses! There would be a smart dog-cart\nonce a day with a small (vicious and servile) groom in it, an actor, a\nforeign money-lender, a popular novelist, or a newspaper owner jumping\nout to make his purchases and driving back again to his host's within\nthe hour. No, no; what makes the country town is the Army, the Navy,\nthe Church, and the Law--especially the retired ones.\n\nThen think of the way in which the railways keep a good man's\ninfluence in a place and a bad man's out of it. Your good man loves\na country town, but he must think, and read, and meet people, so in\nthe last century he regretfully took a town house and had his little\nhouse in the country as well. Now he lives in the country and runs\nup to town when he likes.\n\nHe is always a permanent influence in the little city--especially if\nhe has but \u00a3400 a year, which is the normal income of a retired\ngentleman (yes, it is so, and if you think it is too small an\nestimate, come with me some day and make an inquisitorial tour of my\ntown). As for the vulgar and cowardly man, he hates small towns\n(fancy a South African financier in a small town!), well, the\nrailway takes him away. Of old he might have had to stay there or\nstarve, now he goes to London and runs a rag, or goes into\nParliament, or goes to dances dressed up in imitation of a soldier;\nor he goes to Texas and gets hanged--it's all one to me. He's out of\nmy town.\n\nAnd as the railways have increased the local refinement and virtue,\nso they have ennobled and given body to the local dignitary. What\nwould the Bishop of Caen (he calls himself Bishop of Lisieux and\nBayeux, but that is archaeological pedantry); what, I say, would the\nBishop of Caen be without his railway? A Phantom or a Paris magnate.\nWhat the Mayor of High Wycombe? Ah! what indeed! But I cannot waste\nany more of this time of mine in discussing one aspect of the\nrailway; what further I have to say on the subject shall be\npresented in due course in my book on _The Small Town of\nChristendom_ [Footnote: _The Small Town of Christendom: an\nAnalytical Study_. With an Introduction by Joseph Reinach. Ulmo\net Cie. \u00a325 nett.] I will close this series of observations with a\nlittle list of benefits the railway gives you, many of which would\nnot have occurred to you but for my ingenuity, some of which you may\nhave thought of at some moment or other, and yet would never have\nretained but for my patient labour in this.\n\nThe railway gives you seclusion. If you are in an express alone you\nare in the only spot in Western Europe where you can be certain of\ntwo or three hours to yourself. At home in the dead of night you may\nbe wakened by a policeman or a sleep-walker or a dog. The heaths are\npopulous. You cannot climb to the very top of Helvellyn to read your\nown poetry to yourself without the fear of a tourist. But in the\ncorner of a third-class going north or west you can be sure of your\nown company; the best, the most sympathetic, the most brilliant in\nthe world.\n\nThe railway gives you sharp change. And what we need in change is\nsurely keenness. For instance, if one wanted to go sailing in the\nold days, one left London, had a bleak drive in the country, got\nnearer and nearer the sea, felt the cold and wet and discomfort\ngrowing on one, and after half a day or a day's gradual introduction\nto the thing, one would at last have got on deck, wet and wretched,\nand half the fun over. Nowadays what happens? Why, the other day, a\nrich man was sitting in London with a poor friend; they were\ndiscussing what to do in three spare days they had. They said \"let\nus sail.\" They left London in a nice warm, comfortable, rich-padded,\nswelly carriage at four, and before dark they were letting\neverything go, putting on the oilies, driving through the open in\nfront of it under a treble-reefed storm jib, praying hard for their\nlives in last Monday's gale, and wishing to God they had stayed at\nhome--all in the four hours. That is what you may call piquant, it\nbraces and refreshes a man.\n\nFor the rest I cannot detail the innumerable minor advantages of\nrailways; the mild excitement which is an antidote to gambling; the\nshaking which (in moderation) is good for livers; the meeting\nfamiliarly with every kind of man and talking politics to him; the\ndelight in rapid motion; the luncheon-baskets; the porters; the\nsolid guard; the strenuous engine-driver (note this next time you\ntravel--it is an accurate observation). And of what other kind of\nmodern thing can it be said that more than half pay dividends?\nThinking of these things, what sane and humorous man would ever\nsuggest that a part of life, so fertile in manifold and human\npleasure, should ever be bought by the dull clique who call\nthemselves \"the State\", and should yield under such a scheme yet\n_more_, yet _larger_, yet _securer_ salaries to the younger sons.\n\n\n\n\nON CONVERSATIONS IN TRAINS\n\n\nI might have added in this list I have just made of the advantages\nof Railways, that Railways let one mix with one's fellow-men and\nhear their continual conversation. Now if you will think of it,\nRailways are the only institutions that give us that advantage. In\nother places we avoid all save those who resemble us, and many men\nbecome in middle age like cabinet ministers, quite ignorant of their\nfellow-citizens. But in Trains, if one travels much, one hears every\nkind of man talking to every other and one perceives all England.\n\nIt is on this account that I have always been at pains to note what\nI heard in this way, especially the least expected, most startling,\nand therefore most revealing dialogues, and as soon as I could to\nwrite them down, for in this way one can grow to know men.\n\nThus I have somewhere preserved a hot discussion among some miners\nin Derbyshire (voters, good people, voters remember) whether the\nUnited States were bound to us as a colony \"like Egypt.\" And I once\nheard also a debate as to whether the word were Horizon or Horizon;\nthis ended in a fight; and the Horizon man pushed the Horizon man\nout at Skipton, and wouldn't let him get into the carriage again.\n\nThen again I once heard two frightfully rich men near Birmingham\narguing why England was the richest and the Happiest Country in the\nworld. Neither of these men was a gentleman but they argued politely\nthough firmly, for they differed profoundly. One of them, who was\nalmost too rich to walk, said it was because we minded our own\naffairs, and respected property and were law-abiding. This (he said)\nwas the cause of our prosperity and of the futile envy with which\nforeigners regarded the homes of our working men. Not so the other:\n_he_ thought that it was the Plain English sense of Duty that\ndid the trick: he showed how this was ingrained in us and appeared\nin our Schoolboys and our Police: he contrasted it with Ireland, and\nhe asked what else had made our Criminal Trials the model of the\nworld? All this also I wrote down.\n\nThen also once on a long ride (yes, \"ride\". Why not?) through\nLincolnshire I heard two men of the smaller commercial or salaried\nkind at issue. The first, who had a rather peevish face, was looking\ngloomily out of window and was saying, \"Denmark has it: Greece has\nit--why shouldn't we have it? Eh? America has it and so's Germany--why\nshouldn't we have it?\" Then after a pause he added, \"Even France has\nit--why haven't we got it?\" He spoke as though he wouldn't stand it\nmuch longer, and as though France were the last straw.\n\nThe other man was excitable and had an enormous newspaper in his\nhand, and he answered in a high voice, \"'Cause we're too sensible,\nthat's why! 'Cause we know what we're about, we do.\"\n\nThe other man said, \"Ho! Do we?\"\n\nThe second man answered, \"Yes: we do. What made England?\"\n\n\"Gord,\" said the first man.\n\nThis brought the second man up all standing and nearly carried away\nhis fore-bob-stay. He answered slowly--\n\n\"Well ... yes ... in a manner of speaking. But what I meant to say\nwas like this, that what made England was Free Trade!\" Here he\nslapped one hand on to the other with a noise like that of a pistol,\nand added heavily: \"And what's more, I can prove it.\"\n\nThe first man, who was now entrenched in his position, said again,\n\"Ho! Can you?\" and sneered.\n\nThe second man then proved it, getting more and more excited. When\nhe had done, all the first man did was to say, \"You talk\nfoolishness.\"\n\nThen there was a long silence: very strained. At last the Free\nTrader pulled out a pipe and filled it at leisure, with a light sort\nof womanish tobacco, and just as he struck a match the Protectionist\nshouted out, \"No you don't! This ain't a smoking compartment. I\nobject!\" The Free Trader said, \"O! that's how it is, is it?\" The\nProtectionist answered in a lower voice and surly, \"Yes: that's\nhow.\"\n\nThey sat avoiding each other's eyes till we got to Grantham. I had\nno idea that feeling could run so high, yet neither of them had a\nreal grip on the Theory of International Exchange.\n\nBut by far the most extraordinary conversation and perhaps the most\nilluminating I ever heard, was in a train going to the West Country\nand stopping first at Swindon.\n\nIt passed between two men who sat in corners facing each other.\n\nThe one was stout, tall, and dressed in a tweed suit. He had a gold\nwatch-chain with a little ornament on it representing a pair of\ncompasses and a square. His beard was brown and soft. His eyes were\nvery sodden. When he got in he first wrapped a rug round and round\nhis legs, then he took off his top hat and put on a cloth cap, then\nhe sat down.\n\nThe other also wore a tweed suit and was also stout, but he was not\nso tall. His watch-chain also was of gold (but of a different\npattern, paler, and with no ornament hung on it). His eyes also were\nsodden. He had no rug. He also took off his hat but put no cap upon\nhis head. I noticed that he was rather bald, and in the middle of\nhis baldness was a kind of little knob. For the purposes of this\nrecord, therefore, I shall give him the name \"Bald,\" while I shall\ncall the other man \"Cap.\"\n\nI have forgotten, by the way, to tell you that Bald had a very large\nnose, at the end of which a great number of little veins had\ncongested and turned quite blue.\n\nCAP (_shuts up Levy's paper, \"The Daily Telegraph,\" and opens\nHarmsworth's \"Daily Mail,\" Shuts that up and looks fixedly at_ BALD):\nI ask your pardon ... but isn't your name Binder?\n\nBALD (_his eyes still quite sodden_): That is my name. Binder's my\nname. (_He coughs to show breeding_.) Why! (_his eyes getting a\ntrifle less sodden_) if you aren't Mr. Mowle! Well, Mr. Mowle, sir,\nhow are you?\n\nCAP (_with some dignity_): Very well, thank you, Mr. Binder.\nHow, how's Mrs. Binder and the kids? All blooming?\n\nBALD: Why, yes, thank you, Mr. Mowle, but Mrs. Binder still has\nthose attacks (_shaking his head_). Abdominal (_continuing to\nshake his head_). Gastric. Something cruel.\n\nCAP: They do suffer cruel, as you say, do women, Mr. Binder\n(_shaking his head too--but more slightly_). This indigestion--ah!\n\nBALD (_more brightly_): Not married yet, Mr. Mowle?\n\nCAP (_contentedly and rather stolidly_): No, Mr. Binder. Nor\nnot inclined to neither. (_Draws a great breath._) I'm a single\nman, Mr. Binder, and intend so to adhere. (_A pause to think._)\nThat's what I call (_a further pause to get the right phrase_)\n\"single blessedness.\" Yes, (_another deep breath_) I find life\nworth living, Mr. Binder.\n\nBALD (_with great cunning_): That depends upon the liver.\n(_Roars with laughter._)\n\nCAP (_laughing a good deal too, but not so much as_ BALD): Ar!\nThat was young Cobbler's joke in times gone by.\n\nBALD (_politely_): Ever see young Cobbler now, Mr. Mowle?\n\nCAP (_with importance_): Why yes, Mr. Binder; I met him at the\nThersites' Lodge down Brixham way--only the other day. Wonderful\nbrilliant he was ... well, there ... (_his tone changes_) he\nwas sitting next to me--(_thoughtfully_)--as, might be here--(_putting\nHarmsworth's paper down to represent Young Cobbler_)--and here like,\nwould be Lord Haltingtowres.\n\nBALD (_his manner suddenly becoming very serious_):  He's a\nfine man, he is! One of those men I respect.\n\nCAP (_with still greater seriousness_): You may say that, Mr.\nBinder. No respecter of persons--talks to me or you or any of them\njust the same.\n\nBALD (_vaguely_): Yes, they're a fine lot! (_Suddenly_)\nSo's Charlie Beresford!\n\nCAP (_with more enthusiasm than he had yet shown_): I say ditto\nto that, Mr. Binder! (_Thinking for a few moments of the\ncharacteristics of Lord Charles Beresford._) It's pluck--that's\nwhat it is--regular British pluck (_Grimly_) That's the kind of\nman--no favouritism.\n\nBALD: Ar! it's a case of \"Well done, Condor!\"\n\nCAP: Ar! you're right there, Mr. Binder.\n\nBALD (_suddenly pulling a large flask out of his pocket and\nspeaking very rapidly_): Well, here's yours, Mr. Mowle. (_He\ndrinks out of it a quantity of neat whisky, and having drunk it rubs\nthe top of his flask with his sleeve and hands it over politely to_)\nCAP.\n\nCap (_having drunk a lot of neat whisky also, rubbed his sleeve\nover it, screwed on the little top and  giving that long gasp which\nthe occasion demands_): Yes, you're right there--\"Well done.\nCondor.\"\n\nAt this point the train began to go slowly, and just as it stopped\nat the station I heard Cap begin again, asking Bald on what occasion\nand for what services Lord Charles Beresford had been given his\ntitle.\n\nFull of the marvels of this conversation I got out, went into the\nwaiting-room and wrote it all down. I think I have it accurately\nword for word.\n\nBut there happened to me what always happens after all literary\neffort; the enthusiasm vanished, the common day was before me. I\nwent out to do my work in the place and to meet quite ordinary\npeople and to forget, perhaps, (so strong is Time) the fantastic\nbeings in the train. In a word, to quote Mr. Binyon's admirable\nlines:\n\n  \"The world whose wrong\n   Mocks holy beauty and our desire returned.\"\n\n\n\n\nON THE RETURN OF THE DEAD\n\n\nThe reason the Dead do not return nowadays is the boredom of it.\n\nIn the old time they would come casually, as suited them, without\nfuss and thinly, as it were, which is their nature; but when such\nvisits were doubted even by those who received them and when new and\nfalse names were given them the Dead did not find it worth while. It\nwas always a trouble; they did it really more for our sakes than for\ntheirs and they would be recognised or stay where they were.\n\nI am not certain that they might not have changed with the times and\ncome frankly and positively, as some urged them to do, had it not\nbeen for Rabelais' failure towards the end of the Boer war. Rabelais\n(it will be remembered) appeared in London at the very beginning of\nthe season in 1902. Everybody knows one part of the story or\nanother, but if I put down the gist of it here I shall be of\nservice, for very few people have got it quite right all through,\nand yet that story alone can explain why one cannot get the dead to\ncome back at all now even in the old doubtful way they did in the\n'80's and early '90's of the last century.\n\nThere is a place in heaven where a group of writers have put up a\ncolonnade on a little hill looking south over the plains. There are\nthrones there with the names of the owners on them. It is a sort of\nClub.\n\nRabelais was quarrelling with some fool who had missed fire with a\nmedium and was saying that the modern world wanted positive\nunmistakable appearances: he said he ought to know, because he had\nbegun the modern world. Lucian said it would fail just as much as\nany other way; Rabelais hotly said it wouldn't. He said he would\ncome to London and lecture at the London School of Economics and\nestablish a good solid objective relationship between the two\nworlds. Lucian said it would end badly. Rabelais, who had been\ndrinking, lost his temper and did at once what he had only been\nboasting he would do. He materialised at some expense, and he\nannounced his lecture. Then the trouble began, and I am honestly of\nopinion that if we had treated the experiment more decently we\nshould not have this recent reluctance on the part of the Dead to\npay us reasonable attention.\n\nIn the first place, when it was announced that Rabelais had returned\nto life and was about to deliver a lecture at the London School of\nEconomics, Mrs. Whirtle, who was a learned woman, with a well-deserved\nreputation in the field of objective psychology, called it a rumour\nand discredited it (in a public lecture) on these three grounds:\n\n(_a_) That Rabelais being dead so long ago would not come back\nto life now.\n\n(_b_) That even if he did come back to life it was quite out of\nhis habit to give lectures.\n\n(_c_) That even if he had come back to life and did mean to\nlecture, he would never lecture at the London School of Economics,\nwhich was engaged upon matters principally formulated since\nRabelais' day and with which, moreover, Rabelais' \"essentially\nsynthetical\" mind would find a difficulty in grappling.\n\nAll Mrs. Whirtle's audience agreed with one or more of these\npropositions except Professor Giblet, who accepted all three saving\nand excepting the term \"synthetical\" as applied to Rabelais' mind.\n\"For,\" said he, \"you must not be so deceived by an early use of the\nInducto-Deductive method as to believe that a sixteenth-century man\ncould be, in any true sense, synthetical.\" And this judgment the\nProfessor emphasized by raising his voice suddenly by one octave.\nHis position and that of Mrs. Whirtle were based upon that thorough\nsummary of Rabelais' style in Mr. Effort's book on French\nliterature: each held a sincere position, nevertheless this cold\nwater thrown on the very beginning of the experiment did harm.\n\nThe attitude of the governing class did harm also. Lady Jane Bird saw\nthe announcement on the placards of the evening papers as she went\nout to call on a friend. At tea-time a man called Wantage-Verneyson,\nwho was well dressed, said that he knew all about Rabelais, and a\ngroup of people began to ask questions together: Lady Jane herself\ndid so. Mr. Wantage-Verneyson is (or rather was, alas!) the second\ncousin of the Duke of Durham (he is--or rather was, alas!--the son of\nLord and Lady James Verneyson, now dead), and he said that Rabelais\nwas written by Urquhart a long time ago; this was quite deplorable\nand did infinite harm. He also said that every educated man had read\nRabelais, and that he had done so. He said it was a protest against\nRome and all that sort of thing. He added that the language was\ndifficult to understand. He further remarked that it was full of\nfootnotes, but that he thought these had been put in later by scholars.\nCross-questioned on this he admitted that he did not see what scholars\ncould want with Rabelais. On hearing this and the rest of his\ninformation several ladies and a young man of genial expression began\nto doubt in their turn.\n\nA Hack in Grub Street whom Painful Labour had driven to Despair and\nMysticism read the announcement with curiosity rather than\namazement, fully believing that the Great Dead, visiting as they do\nthe souls, may also come back rarely to the material cities of men.\nOne thing, however, troubled him, and that was how Rabelais, who had\nslept so long in peace beneath the Fig Tree of the Cemetery of St.\nPaul, could be risen now when his grave was weighed upon by No. 32\nof the street of the same name. Howsoever, he would have guessed\nthat the alchemy of that immeasurable mind had in some way got rid\nof the difficulty, and really the Hack must be forgiven for his\nfaith, since one learned enough to know so much about sites, history\nand literature, is learned enough to doubt the senses and to accept\nthe Impossible; unfortunately the fact was vouched for in eight\nnewspapers of which he knew too much and was not accepted in the\nonly sheet he trusted. So he doubted too.\n\nJohn Bowles, of Lombard Street, read the placards and wrought\nhimself up into a fury saying, \"In what other country would these\ncursed Boers be allowed to come and lecture openly like this? It is\nenough to make one excuse the people who break up their meetings.\"\nHe was a little consoled, however, by the thought that his country\nwas so magnanimous, and in the calmer mood of self-satisfaction went\nso far as to subscribe \u00a35 to a French newspaper which was being\nfounded to propagate English opinions on the Continent. He may be\nneglected.\n\nPeter Grierson, attorney, was so hurried and overwrought with the\nwork he had been engaged on that morning (the lending of \u00a31323 to a\nwidow at 5 1\/4 per cent., [which heaven knows is reasonable!] on\nsecurity of a number of shares in the London and North-Western\nRailway) that he misread the placard and thought it ran \"Rabelais\nlecture at the London School Economics\";  disturbed for a moment at\nthe thought of so much paper wasted in time of war for so paltry an\nannouncement, he soon forgot about the whole business and went off\nto \"The Holborn,\" where he had his lunch comfortably standing up at\nthe buffet, and then went and worked at dominoes and cigars for two\nhours.\n\nSir Judson Pennefather, Cabinet Minister and Secretary of State for\nPublic Worship, Literature and the Fine Arts--\n\nBut what have I to do with all these; absurd people upon whom the\nnews of Rabelais' return fell with such varied effect? What have you\nand I to do with men and women who do not, cannot, could not, will\nnot, ought not, have not, did, and by all the thirsty Demons that\nserve the lamps of the cavern of the Sibyl, _shall_ not count\nin the scheme of things as worth one little paring of Rabelais'\nlittle finger nail? What are they that they should interfere with\nthe great mirific and most assuaging and comfortable feast of wit to\nwhich I am now about to introduce you!--for know that I take you now\ninto the lecture-hall and put you at the feet of the past-master of\nall arts and divinations (not to say crafts and homologisings and\nintegrativeness), the Teacher of wise men, the comfort of an\nafflicted world, the uplifter of fools, the energiser of the\nlethargic, the doctor of the gouty, the guide of youth, the\ncompanion of middle age, the _vade mecum_ of the old, the\npleasant introducer of inevitable death, yea, the general solace of\nmankind. Oh! what are you not now about to hear! If anywhere there\nare rivers in pleasant meadows, cool heights in summer, lovely\nladies discoursing upon smooth lawns, or music skilfully befingered\nby dainty artists in the shade of orange groves, if there is any\nleft of that wine of Chinon from behind the _Grille_ at four\nfrancs a bottle (and so there is, I know, for I drank it at the last\nReveillon by St. Gervais)--I say if any of these comforters of the\nliving anywhere grace the earth, you shall find my master Rabelais\ngiving you the very innermost and animating spirit of all these good\nthings, their utter flavour and their saving power in the\nquintessential words of his incontestably regalian lips. So here,\nthen, you may hear the old wisdom given to our wretched generation\nfor one happy hour of just living and we shall learn, surely in this\ncase at least, that the return of the Dead was admitted and the\nGreat Spirits were received and honoured.\n\n       *       *       *       *       *\n\nBut alas! No. (which is not a _nominativus pendens_, still less\nan anacoluthon but a mere interjection). Contrariwise, in the place\nof such a sunrise of the mind, what do you think we were given? The\nsight of an old man in a fine red gown and with a University cap on\nhis head hurried along by two policemen in the Strand and followed\nby a mob of boys and ruffians, some of whom took him for Mr. Kruger,\nwhile others thought he was but a harmless mummer. And the\nmagistrate (who had obtained his position by a job) said these\nsimple words: \"I do not know who you are in reality nor what foreign\nname mask under your buffoonery, but I do know on the evidence of\nthese intelligent officers, evidence upon which I fully rely and\nwhich you have made no attempt to contradict, you have disgraced\nyourself and the hall of your kind hosts and employers by the use of\nlanguage which I shall not characterise save by telling you that it\nwould be comprehensible only in a citizen of the nation to which you\nhave the misfortune to belong. Luckily you were not allowed to\nproceed for more than a moment with your vile harangue which (if I\nunderstand rightly) was in praise of wine. You will go to prison for\ntwelve months. I shall not give you the option of a fine: but I can\npromise you that if you prefer to serve with the gallant K. O.\nFighting Scouts your request will be favourably entertained by the\nproper authorities.\"\n\nLong before this little speech was over Rabelais had disappeared,\nand was once more with the immortals cursing and swearing that he\nwould not do it again for 6,375,409,702 sequins, or thereabouts, no,\nnor for another half-dozen thrown in as a makeweight.\n\nThere is the whole story.\n\nI do not say that Rabelais was not over-hasty both in his appearance\nand his departure, but I do say that if the Physicists (and notably\nMrs. Whirtle) had shown more imagination, the governing class a\nwider reading, and the magistracy a trifle more sympathy with the\ndifference of tone between the sixteenth century and our own time,\nthe deplorable misunderstanding now separating the dead and the\nliving would never have arisen; for I am convinced that the Failure\nof Rabelais' attempt has been the chief cause of it.\n\n\n\n\nON THE APPROACH OF AN AWFUL DOOM\n\n\nMy dear little Anglo-Saxons, Celt-Iberians and Teutonico-Latin\noddities---The time has come to convey, impart and make known to you\nthe dreadful conclusions and horrible prognostications that flow,\nhappen, deduce, derive and are drawn from the truly abominable\nconditions of the social medium in which you and I and all poor\ndevils are most fatally and surely bound to draw out our miserable\nexistence.\n\nNote, I say \"existence\" and not \"existences.\" Why do I say\n\"existence\", and not \"existences\"? Why, with a fine handsome plural\nready to hand, do I wind you up and turn you off, so to speak, with\na piffling little singular not fit for a half-starved newspaper\nfellow, let alone a fine, full-fledged, intellectual and well-read\nvegetarian and teetotaller who writes in the reviews? Eh? Why do I\nsay \"existence\"?--speaking of many, several and various persons as\nthough they had but one mystic, combined and corporate personality\nsuch as Rousseau (a fig for the Genevese!) portrayed in his\n_Contrat Social_ (which you have never read), and such as\nHobbes, in his _Leviathan_ (which some of you have heard of),\nought to have premised but did not, having the mind of a lame,\nhalting and ill-furnished clockmaker, and a blight on him!\n\nWhy now \"existence\" and not \"existences\"? You may wonder; you may\nask yourselves one to another mutually round the tea-table putting\nit as a problem or riddle. You may make a game of it, or use it for\ngambling, or say it suddenly as a catch for your acquaintances when\nthey come up from the suburbs. It is a very pretty question and\nwould have been excellently debated by Thomas Aquinas in the\nJacobins of St. Jacques, near the Parloir aux Bourgeois, by the gate\nof the University; by Albertus Magnus in the Cordeliers, hard by the\nCollege of Bourgoyne; by Pic de la Mirandole, who lived I care not a\nrap where and debated I know not from Adam how or when; by Lord\nBacon, who took more bribes in a day than you and I could compass in\na dozen years; by Spinoza, a good worker of glass lenses, but a\nphilosopher whom I have never read nor will; by Coleridge when he\nwas not talking about himself nor taking some filthy drug; by John\nPilkington Smith, of Norwood, Drysalter, who has, I hear, been\nlately horribly bitten by the metaphysic; and by a crowd of others.\n\nBut that's all by the way. Let them debate that will, for it leads\nnowhere unless indeed there be sharp revelation, positive\ndeclaration and very certain affirmation to go upon by way of Basis\nor First Principle whence to deduce some sure conclusion and\nirrefragable truth; for thus the intellect walks, as it were, along\na high road, whereas by all other ways it is lurching and stumbling\nand boggling and tumbling in I know not what mists and brambles of\nthe great bare, murky twilight and marshy hillside of philosophy,\nwhere I also wandered when I was a fool and unoccupied and lacking\nexercise for the mind, but from whence, by the grace of St. Anthony\nof Miranella and other patrons of mine, I have very happily\nextricated myself. And here I am in the parlour of the \"Bugle\" at\nYarmouth, by a Christian fire, having but lately come off the sea\nand writing this for the edification and confirmation of honest\nsouls.\n\nWhat, then, of the question, _Quid de quuerendo? Quantum?\nQualiter? Ubi? Cur? Quid? Quando? Quomodo? Quum? Sive an non?_\n\nAh! There you have it. For note you, all these interrogative\ncategories must be met, faced, resolved and answered exactly--or you\nhave no more knowledge of the matter than the _Times_ has of\neconomics or the King of the Belgians of thorough-Bass. Yea, if you\nmiss, overlook, neglect, or shirk by reason of fatigue or indolence,\nso much as one tittle of these several aspects of a question you\nmight as well leave it altogether alone and give up analysis for\nselling stock, as did the Professor of Verbalism in the University\nof Adelaide to the vast solace and enrichment of his family.\n\nFor by the neglect of but one of these final and fundamental\napproaches to the full knowledge of a question the world has been\nirreparably, irretrievably and permanently robbed of the certain\nreply to, and left ever in the most disastrous doubt upon, this most\nimportant and necessary matter--namely, _whether real existence\ncan be predicated of matter._\n\nFor Anaxagoras of Syracuse, that was tutor to the Tyrant Machion,\nbeing in search upon this question for a matter of seventy-two\nyears, four months, three days and a few odd hours and minutes, did,\nin extreme old age, as he was walking by the shore of the sea, hit,\nas it were in a flash, upon six of the seven answers, and was able\nin one moment, after so much delay and vexatious argument for and\nagainst with himself, to resolve the problem upon the points of\n_how, why, when, where, how much_, and _in what_, matter might or might\nnot be real, and was upon the very nick of settling the last little\npoint--namely, _sive an non_ (that is, whether it _were_ real or no)--when,\nas luck would have it, or rather, as his own beastly appetite and senile\ngreed would have it, he broke off sharp at hearing the dinner-gong or\nbell, or horn, or whatever it was--for upon these matters the King was\nindifferent (_de minimis non curat rex_), and so am I--and was poisoned\neven as he sat at table by the agents of Pyrrhus.\n\nBy this accident, by this mere failure upon _one_ of the Seven\nAnswers, it has been since that day never properly decided whether\nor no this true existence was or was not predicable of matter; and\nsome believing matter to be there have treated it pompously and\ngiven it reverence and adored it in a thousand merry ways, but\nothers being confident it was not there have starved and fallen off\nedges and banged their heads against corners and come plump against\nhigh walls; nor can either party convince the other, nor can the\ndoubts of either be laid to rest, nor shall it from now to the Day\nof Doom be established whether there is a Matter or is none; though\nmany learned men have given up their lives to it, including\nProfessor Britton, who so despaired of an issue that he drowned\nhimself in the Cam only last Wednesday. But what care I for him or\nany other Don?\n\nSo there we are and an answer must be found, but upon my soul I\nforget to what it hangs, though I know well there was some question\npropounded at the beginning of this for which I cared a trifle at\nthe time of asking it and you I hope not at all. Let it go the way\nof all questions, I beg of you, for I am very little inclined to\nseek and hunt through all the heap that I have been tearing through\nthis last hour with Pegasus curvetting and prancing and flapping his\nwings to the danger of my seat and of the cities and fields below\nme.\n\nCome, come, there's enough for one bout, and too much for some. No\ngood ever came of argument and dialectic, for these breed only angry\ngestures and gusty disputes (_de gustibus non disputandum_) and\nthe ruin of friendships and the very fruitful pullulation of\nDictionaries, textbooks and wicked men, not to speak of\nIntellectuals, Newspapers, Libraries, Debating-clubs, bankruptcies,\nmadness, _Petitiones elenchi_ and ills innumerable.\n\nI say live and let live; and now I think of it there was something\nat the beginning and title of this that dealt with a warning to ward\nyou off a danger of some kind that terrified me not a little when I\nsat down to write, and that was, if I remember right, that a friend\nhad told me how he had read in a book that the damnable Brute\nCAPITAL was about to swallow us all up and make slaves of us and\nthat there was no way out of it, seeing that it was fixed, settled\nand grounded in economics, not to speak of the procession of the\nEquinox, the Horoscope of Trimegistus, and _Old Moore's\nAlmanack_. Oh! Run, Run! The Rich are upon us! Help! Their hot\nbreath is on our necks! What jaws! What jaws!\n\nWell, what must be must be, and what will be will be, and if the\nRich are upon us with great open jaws and having power to enslave\nall by the very fatal process of unalterable laws and at the bidding\nof Blind Fate as she is expounded by her prophets who live on milk\nand newspapers and do woundily talk Jew Socialism all day long; yet\nis it proved by the same intellectual certitude and irrefragable\nmethod that we shall not be caught before the year 1938 at the\nearliest and with luck we may run ten years more: why then let us\nmake the best of the time we have, and sail, ride, travel, write,\ndrink, sing and all be friends together; and do you go about doing\ngood to the utmost of your power, as I heartily hope you will,\nthough from your faces I doubt it hugely. A blessing I wish you all.\n\n\n\n\nON A RICH MAN WHO SUFFERED\n\n\nOne cannot do a greater service now, when a dangerous confusion of\nthought threatens us with an estrangement of classes, than to\ndistinguish in all we write between Capitalism--the result of a\nblind economic development--and the persons and motives of those who\nhappen to possess the bulk of the means of Production.\n\nCapitalism may or may not have been a Source of Evil to Modern\nCommunities--it may have been a necessary and even a beneficent\nphase in that struggle upward from the Brute which marks our\nprogress from Gospel Times until the present day--but whether it has\nbeen a good or a bad phase in Economic Evolution, it is not\nScientific and it is not English to confuse the system with the\nliving human beings attached to it, and to contrast \"Rich\" and\n\"Poor,\" insisting on the supposed luxury and callousness of the one\nor the humiliations and sufferings of the other.\n\nTo expose the folly--nay, the wickedness--of that attitude I have\nbut to take some very real and very human case of a rich man--a very\nrich man--who suffered and suffered deeply merely _as_ a man:\none whose suffering wealth did not and could not alleviate.\n\nOne very striking example of this human bond I am able to lay before\nyou, because the gentleman in question has, with fine human\nsympathy, permitted his story to be quoted.\n\nThe only stipulation he made with me was first that I should conceal\nreal names and secondly that I should write the whole in as\njournalistic and popular a method as possible, so that his very\nlegitimate grievance in the matter I am about to describe should be\nas widely known as possible and also in order to spread as widely as\npossible the lesson it contains that _the rich also are men_.\n\nTo change all names etc., a purely mechanical task, I easily\nachieved. Whether I have been equally successful in my second object\nof catching the breezy and happy style of true journalism it is for\nmy readers to judge. I can only assure them that my intentions are\npure.\n\n       *       *       *       *       *\n\nI have promised my friend to set down the whole matter as it\noccurred.\n\n\"The Press,\" he said to me, \"is the only vehicle left by which one\ncan bring pressure to bear upon public opinion. I hope you can do\nsomething for me.... You write, I believe\", he added, \"for the\npapers?\"\n\nI said I did.\n\n\"Well,\" he answered, \"you fellows that write for the newspapers have\na great advantage ...!\"\n\nAt this he sighed deeply, and asked me to come and have lunch with\nhim at his club, which is called \"The Ragamuffins\" for fun, and is\nfull of jolly fellows. There I ate boiled mutton and greens, washed\ndown with an excellent glass, or maybe a glass and a half, of\nBelgian wine--a wine called Chateau Bollard.\n\nI noticed in the room Mr. Cantor, Mr. Charles, Sir John Ebbsmith,\nMr. May, Mr. Ficks, \"Joe\" Hesketh, Matthew Fircombe, Lord Boxgrove,\nold Tommy Lawson, \"Bill\", Mr. Compton, Mr. Annerley, Jeremy (the\ntrainer), Mr. Mannering, his son, Mr. William Mannering, and his\nnephew Mr. \"Kite\" Mannering, Lord Nore, Pilbury, little Jack Bowdon,\nBaxter (\"Horrible\" Baxter) Bayney, Mr. Claversgill, the solemn old\nDuke of Bascourt (a Dane), Ephraim T. Seeber, Algernon Gutt,\nFeverthorpe (whom that old wit Core used to call \"_Feather_thorpe\"),\nand many others with whose names I will not weary the reader, for he\nwould think me too reminiscent and digressive were I to add to the list\n\"Cocky\" Billings, \"Fat Harry\", Mr. Muntzer, Mr. Eartham, dear, courteous,\nold-world Squire Howle, and that prime favourite, Lord Mann. \"<DW71>\"\nCourthorpe, Ring, the Coffee-cooler, and Harry Sark, with all the\nForfarshire lot, also fell under my eye, as did Maxwell, Mr. Gam----\n\nHowever, such an introduction may prove overlong for the complaint I\nhave to publish. I have said enough to show the position my friend\nholds. Many of my readers on reading this list will guess at once\nthe true name of the club, and may also come near that of my\ndistinguished friend, but I am bound in honour to disguise it under\nthe veil of a pseudonym or _nom de guerre_; I will call him Mr.\nQuail.\n\nMr. Quail, then, was off to shoot grouse on a moor he had taken in\nMull for the season; the house and estate are well known to all of\nus; I will disguise the moor under the pseudonym or _nom de\nguerre_ of \"Othello\". He was awaited at \"Othello\" on the evening\nof the eleventh; for on the one hand there is an Act most strictly\nobserved that not a grouse may be shot until the dawn of August\n12th, and on the other a day passed at \"Othello\" with any other\noccupation but that of shooting would be hell.\n\nMr. Quail, therefore, proposed to travel to \"Othello\" by way of\nGlasgow, taking the 9.47 at St. Pancras on the evening of the\n10th--last Monday--and engaging a bed on that train.\n\nIt is essential, if a full, Christian and sane view is to be had of\nthis relation, that the reader should note the following details:--\n\nMr. Quail had _engaged_ the bed. He had sent his cheque for it\na week before and held the receipt signed \"T. Macgregor,\nSuperintendent\".\n\nTrue, there was a notice printed very small on the back of the\nreceipt saying the company would not be responsible in any case of\ndisappointment, overcrowding, accident, delay, robbery, murder, or\nthe Act of God; but my friend Mr. Quail very properly paid no\nattention to that rubbish, knowing well enough (he is a J.P.) that a\nman cannot sign himself out of his common-law rights.\n\nIn order to leave ample time for the train, my friend Mr. Quail\nordered dinner at eight--a light meal, for his wife had gone to the\nEngadine some weeks before. At nine precisely he was in his carriage\nwith his coachman on the box to drive his horses, his man Mole also,\nand Piggy the little dog in with him. He knows it was nine, because\nhe asked the butler what time it was as he left the dining-room, and\nthe butler answered \"Five minutes to nine, my Lord\"; moreover, the\nclock in the dining-room, the one on the stairs and his own watch,\nall corroborated the butler's statement.\n\nHe arrived at St. Pancras. \"If,\" as he sarcastically wrote to the\ncompany, \"your _own clocks_ are to be trusted,\" at 9.21.\n\nSo far so good. He had twenty-six minutes to spare. On his carriage\ndriving up to the station he was annoyed to discover an enormous\nseething mob through which it was impossible to penetrate, swirling\nround the booking office and behaving with a total lack of\ndiscipline which made the confusion ten thousand times worse than it\nneed have been.\n\n\"I wish,\" said Mr. Quail to me later, with some heat, \"I wish I\ncould have put some of those great hulking brutes into the ranks for\na few months! Believe me, conscription would work wonders!\" Mr.\nQuail himself holds a commission in the Yeomanry, and knows what he\nis talking about. But that is neither here nor there. I only mention\nit to show what an effect this anarchic mob produced upon a man of\nMr. Quail's trained experience.\n\nHis man Mole had purchased the tickets in the course of the day;\nunfortunately, on being asked for them he confessed in some\nconfusion to having mislaid them.\n\nMr. Quail was too well bred to make a scene. He quietly despatched his\nman Mole to the booking office with orders to get new tickets while\nhe waited for him at an appointed place near the door. He had not been\nthere five minutes, he had barely seen his man struggle through the\npress towards the booking office, when a hand was laid upon his\nshoulder and a policeman told him in an insolent and surly tone to\n\"move out of it.\" Mr. Quail remonstrated, and the policeman--who, I am\nassured, was only a railway servant in disguise--_bodily and physically_\nforced him from the doorway.\n\nTo this piece of brutality Mr. Quail ascribes all his subsequent\nmisfortunes. Mr. Quail was on the point of giving his card, when he\nfound himself caught in an eddy of common people who bore him off\nhis feet; nor did he regain them, in spite of his struggles, until\nhe was tightly wedged against the wall at the further end of the\nroom.\n\nMr. Quail glanced at his watch, and found it to be twenty minutes to\nten. There were but seven minutes left before his train would start,\nand his appointment with his man, Mole, was hopelessly missed unless\nhe took the most immediate steps to recover it.\n\nMr. Quail is a man of resource; he has served in South Africa, and\nis a director of several companies. He noticed that porters pushing\nheavy trollies and crying \"By your leave\" had some chance of forging\nthrough the brawling welter of people. He hailed one such; and\nstretching, as best he could, from his wretched fix, begged him to\nreach the door and tell his man Mole where he was. At the same time--as\nthe occasion was most urgent (for it was now 9.44)--he held out half a\nsovereign. The porter took it respectfully enough, but to Mr. Quail's\nhorror the menial had no sooner grasped the coin than he made off in\nthe opposite direction, pushing his trolley indolently before him and\ncrying \"By your leave\" in a tone that mingled insolence with a coarse\nexultation.\n\nMr. Quail, now desperate, fought and struggled to be free--there\nwere but two minutes left--and he so far succeeded as to break\nthrough the human barrier immediately in front of him. It may be he\nused some necessary violence in this attempt; at any rate a woman of\nthe most offensive appearance raised piercing shrieks and swore that\nshe was being murdered.\n\nThe policeman (to whom I have before alluded) came jostling through\nthe throng, seized Mr. Quail by the collar, and crying \"What!\nAgain?\" treated him in a manner which (in the opinion of Mr. Quail's\nsolicitor) would (had Mr. Quail retained his number) have warranted\na criminal prosecution.\n\nMeanwhile Mr. Quail's man Mole was anxiously looking for him, first\nat the refreshment bar, and later at the train itself. Here he was\nstartled to hear the Guard say \"Going?\" and before he could reply he\nwas (according to his own statement) thrust into the train which\nimmediately departed, and did not stop till Peterborough; there the\nfaithful fellow assures us he alit, returning home in the early\nhours of the morning.\n\nMr. Quail himself was released with a torn coat and collar, his\neye-glasses smashed, his watch-chain broken, and smarting under a\nwarning from the policeman not to be caught doing it again.\n\nHe went home in a cab to find every single servant out of the house,\njunketing at some music-hall or other, and several bottles of wine,\nwith a dozen glasses, standing ready for them against their return,\non his own study table.\n\nThe unhappy story need not be pursued. Like every misfortune it bred\na crop of others, some so grievous that none would expose them to\nthe public eye, and one consequence remote indeed but clearly\ntraceable to that evening nearly dissolved a union of seventeen\nyears. I do not believe that any one of those who are for ever\npresenting to us the miseries of the lower classes, would have met a\ndisaster of this sort with the dignity and the manliness of my\nfriend, and I am further confident that the recital of his suffering\nhere given will not have been useless in the great debate now\nengaged as to the function of wealth in our community.\n\n\n\n\nON A CHILD WHO DIED\n\n\nThere was once a little Whig....\n\nUgh! The oiliness, the public theft, the cowardice, the welter of\nsin! One cannot conceive the product save under shelter and in the\nmidst of an universal corruption.\n\nWell, then, there was once a little Tory. But stay; that is not a\npleasant thought....\n\nWell, then there was once a little boy whose name was Joseph, and\nnow I have launched him, I beg you to follow most precisely all that\nhe said, did and was, for it contains a moral. But I would have you\nbear me witness that I have withdrawn all harsh terms, and have\ncalled him neither Whig nor Tory. Nevertheless I will not deny that\nhad he grown to maturity he would inevitably have been a politician.\nAs you will be delighted to find at the end of his short biography,\nhe did not reach that goal. He never sat upon either of the front\nbenches. He never went through the bitter business of choosing his\nparty and then ratting when he found he had made a mistake. He never\nso much as got his hand into the public pocket. Nevertheless read\nhis story and mark it well. It is of immense purport to the State.\n\n       *       *       *       *       *\n\nWhen little Joseph was born, his father (who could sketch remarkably\nwell and had rowed some years before in his College boat) was\ncongratulated very warmly by his friends. One lady wrote to him:\n\"_Your_ son cannot fail to add distinction to an already famous\nname\"--for little Joseph's father's uncle had been an Under\nSecretary of State. Then another, the family doctor, said heartily,\n\"Well, well, all doing excellently; another Duggleton\" (for little\nJoseph's father's family were Duggletons) \"and one that will keep\nthe old flag flying.\"\n\nLittle Joseph's father's aunt whose husband had been the Under\nSecretary, wrote and said she was longing to see the _last\nDuggleton_, and hinted that a Duggleton the more was sheer gain\nto This England which Our Fathers Made. His father put his name down\nthat very day for the Club and met there Baron Urscher, who promised\nevery support \"if God should spare him to the time when he might\nwelcome another Duggleton to these old rooms.\" The baron then\nrecalled the names of Charlie Fox and Beau Rimmel, that was to say,\nBrummel. He said an abusive word or two about Mr. Gladstone, who was\nthen alive, and went away.\n\nLittle Joseph for many long weeks continued to seem much like\nothers, and if he had then died (as some cousins hoped he would, and\nas, indeed, there seemed to be a good chance on the day that he\nswallowed the pebble at Bournemouth) I should have no more to write\nabout. There would be an end of little Joseph so far as you and I\nare concerned; and as for the family of Duggleton, why any one but\nthe man who does Society Notes in the _Evening Yankee_ should\nwrite about them I can't conceive.\n\nWell, but little Joseph did not die--not just then, anyhow. He lived\nto learn to speak, and to talk, and to put out his tongue at\nvisitors, let alone interrupting his parents with unpleasing remarks\nand telling lies. It was early observed that he did all these things\nwith a _je-ne-scais-quoy_ and a _verve_ quite different from the manner\nof his little playmates. When one day he moulded out, flattened and\nunshaped the waxen nose of a doll of his, it was apparent to all that\nit had been very skilfully done, and showed a taste for modelling,\nand the admiration this excited was doubled when it was discovered\nthat he had called the doll \"Aunt Garry\". He took also to drawing\nthings with a pencil as early as eight years old, and for this talent\nhis father's house was very suitable, for Mrs. Duggleton had nice\nLouis XV furniture, all white and gold, and a quaint new brown-paper\nmedium on her walls. Colour, oddly enough, little Joseph could not\npretend to; but he had a remarkably fine ear, and was often heard,\nbefore he was ten years old, singing some set of words or other over\nand over again very loudly upon the staircase to a few single notes.\n\nIt seems incredible, but it is certainly true, that he even composed\n_verses_ at the age of eleven, wherein \"land\" and \"strand\",\n\"more\" and \"shore\" would frequently recur, the latter being commonly\nassociated with England, to which, his beloved country, the\nintelligent child would add the epithet \"old\".\n\nHe was, a short time after this, discovered playing upon words and\nwould pun upon \"rain\" and \"reign\", as also upon \"Wales\" the country\n(or rather province, for no patriot would admit a Divided Crown) and\n\"Whales\"--the vast Oceanic or Thalassic mammals that swim in Arctic\nwaters.\n\nHe asked questions that showed a surprising intelligence and at the\nsame time betrayed a charming simplicity and purity of mind. Thus he\nwould cross-examine upon their recent movements ladies who came to\ncall, proving them very frequently to have lied, for he was puzzled\nlike most children by the duplicity of the gay world. Or again, he\nwould ask guests at the dinner table how old they were and whether\nthey liked his father and mother, and this in a loud and shrill way\nthat provoked at once the attention and amusement of the select\ncoterie (for coterie it was) that gathered beneath his father's\nroof.\n\nAs is so often the case with highly strung natures, he was morbidly\nsensitive in his self-respect. Upon one occasion he had invented\nsome boyish nickname or other for an elderly matron who was present\nin his mother's drawing-room, and when that lady most forcibly urged\nhis parent to chastise him he fled to his room and wrote a short\nnote in pencil forgiving his dear mamma her intimacy with his\nenemies and announcing his determination to put an end to his life.\nHis mother on discovering this note pinned to her chair gave way to\nvery natural alarm and rushed upstairs to her darling, with whom she\nremonstrated in terms deservedly severe, pointing out the folly and\nwickedness of self-destruction and urging that such thoughts were\nunfit for one of his tender years, for he was then barely thirteen.\n\nThis incident and many others I could quote made a profound\nimpression upon the Honourable Mr. and Mrs. Duggleton, who, by the\ntime of their son's adolescence, were convinced that Providence had\nentrusted them with a vessel of no ordinary fineness. They discussed\nthe question of his schooling with the utmost care, and at the age\nof fifteen sent \"little Joseph\", as they still affectionately called\nhim, to the care of the Rev. James Filbury, who kept a small but\nexceedingly expensive school upon the banks of the River Thames.\n\nThe three years that he spent at this establishment were among the\nhappiest in the life of his father's private secretary, and are\nstill remembered by many intimate friends of the family.\n\nHe was twice upon the point of securing the prize for Biblical\nstudies and did indeed take that for French and arithmetic. Mr.\nFilbury assured his father that he had the very highest hopes of his\ncareer at the University. \"Joseph,\" he wrote, \"is a fine, highly\ntempered spirit, one to whom continual application is difficult, but\nwho is capable of high flights of imagination not often reached by\nour sturdy English boyhood.... I regret that I cannot see my way to\nreducing the charge for meat at breakfast. Joseph's health is\nexcellent, and his scholarship, though by no means ripe, shows\npromise of that ...\" and so forth.\n\nI have no space to give the letter in full; it betrays in every line\nthe effect this gifted youth had produced upon one well acquainted\nwith the marks of future greatness;--for Mr. Filbury had been the\ntutor and was still the friend of the Duke of Buxton, the sometime\nform-master of the present Bishop of Lewes and the cousin of the\nlate Joshua Lambkin of Oxford.\n\nLittle Joseph's entry into college life abundantly fulfilled the\nexpectations held of him. The head of his college wrote to his\ngreat-aunt (the wife of the Under Secretary of State) \"... he has\nsomething in him of what men of Old called prophecy and we term\ngenius ...\", old Dr. Biddlecup the Dean asked the boy to dinner, and\nafterwards assured his father that little Joseph was the image of\nWilliam Pitt, whom he falsely pretended to have seen in childhood,\nand to whom the Duggletons were related through Mrs. Duggleton's\ngrandmother, whose sister had married the first cousin of the\nSaviour of Europe.\n\nDr. Biddlecup was an old man and may not have been accurate in his\nhistorical pretensions, but the main truth of what he said was\ncertain, for Joseph resembled the great statesman at once in his\nphysical appearance, for he was sallow and had a turned-up nose: in\nhis gifts: in his oratory which was ever remarkable at the social\nclubs and wines--and alas! in his fondness for port.\n\nIndeed, little Joseph had to pay the price of concentrating in\nhimself the genius of three generations, he suffered more than\none of the temptations that assault men of vigorous imagination. He\nkept late hours, drank--perhaps not always to excess but always\nover-frequently--and gambled, if not beyond his means, at least with\na feverish energy that was ruinous to his health. He fell desperately\nill in the fortnight before his schools, but he was granted an\n_aegrotat_, a degree equivalent in his case to a First Class in\nHonours, and he was asked by one or other of the Colleges to compete\nfor a Fellowship; it was, however, given to another candidate.\n\nAfter this failure he went home, and on his father's advice,\nattempted political work; but the hurry and noise of an election\ndisgusted him, and it is feared that his cynical and highly\nepigrammatic speeches were another cause of his defeat.\n\nSir William Mackle, who had watched the boy with the tenderest\ninterest and listened to his fancied experiences with a father's\npatience, ordered complete rest and change, and recommended the\nSouth of France; he was sent thither with a worthless friend or\nrather dependent, who permitted the lad to gamble and even to borrow\nmoney, and it was this friend to whom Sir William (in his letter to\nthe Honourable Mr. Duggleton acknowledging receipt of his cheque)\nattributed the tragedy that followed.\n\n\"Had he not,\" wrote the distinguished physician, \"permitted our poor\nJoseph to borrow money of him; had he resolutely refused to drink\nwine at dinner; had he locked Joseph up in his room every evening at\nthe opening hour of the Casino, we should not have to deplore the\nloss of one of England's noblest.\" Nor did the false friend make\nthings easier for the bereaved father by suggesting ere twelve short\nmonths had elapsed that the sums Joseph had borrowed of him should\nbe repaid.\n\nJoseph, one fatal night, somewhat heated by wine, had heard a\nFrenchman say to an Italian at his elbow certain very outrageous\nthings about one Mazzini. The pair were discussing a local\nbookmaker, but the boy, whose passion for Italian unity is now well\nknown, imagined that the Philosopher and Statesman was in question;\nhe fell into such a passion and attacked these offensive foreigners\nwith such violence as to bring on an attack from which he did not\nrecover: his grave now whitens the hillside of the Monte Resorto (in\nFrench Mont-resort).\n\nHe left some fifty short poems in the manner of Shelley, Rossetti\nand Swinburne, and a few in an individual style that would surely\nhave developed with age. These have since been gathered into a\nvolume and go far to prove the truth of his father's despairing cry:\n\"Joseph,\" the poor man sobbed as he knelt by the insanitary\ncurtained bed on which the body lay, \"Joseph would have done for the\nname of Duggleton in literature what my Uncle did for it in\npolitics.\"\n\nHis portrait may be found in _Annals of the Rutlandshire\nGentry_, a book recently published privately by subscriptions of\ntwo guineas, payable to the gentleman who produced that handsome\nvolume.\n\n\n\n\n\nON A LOST MANUSCRIPT\n\n\nIf this page does not appal you, nothing will.\n\nIf these first words do not fill you with an uneasy presentiment of\ndoom, indeed, indeed you have been hitherto blessed in an ignorance\nof woe.\n\nIt is lost! What is lost? The revelation this page was to afford.\nThe essay which was to have stood here upon page 127 of my book: the\nnoblest of them all.\n\nThe words you so eagerly expected, the full exposition which was to\nhave brought you such relief, is not here.\n\nIt was lost just after I wrote it. It can never be re-written; it is\ngone.\n\nMuch depended upon it; it would have led you to a great and to a\nrapidly acquired fortune; but you must not ask for it. You must turn\nyour mind away. It cannot be re-written, and all that can take its\nplace is a sort of dirge for departed and irrecoverable things.\n\n\"Lugete o Veneres Cupidinesque,\" which signifies \"Mourn oh! you\npleasant people, you spirits that attend the happiness of mankind\":\n\"et quantum est hominum venustiorum,\" which signifies \"and you such\nmortals as are chiefly attached to delightful things.\" _Passer_, etc.,\nwhich signifies my little, careful, tidy bit of writing, _mortuus est_,\nis lost. I lost it in a cab.\n\nIt was a noble and accomplished thing. Pliny would have loved it who\nsaid: \"Ea est stomachi mei natura ut nil nisi merum atque totum\nvelit,\" which signifies \"such is the character of my taste that it\nwill tolerate nothing but what is absolute and full.\" ... It is no\nuse grumbling about the Latin. The nature of great disasters calls\nout for that foundational tongue. They roll as it were (do the great\ndisasters of our time) right down the emptiness of the centuries\nuntil they strike the walls of Rome and provoke these sonorous\nechoes worthy of mighty things.\n\nIt was to have stood here instead of this, its poor apologist. It\nwas to have filled these lines, this space, this very page. It is\nnot here. You all know how, coming eagerly to a house to see someone\ndearly loved, you find in their place on entering a sister or a\nfriend who makes excuses for them; you all know how the mind grows\nblank at the news and all nature around one shrivels. It is a worse\nemptiness than to be alone. So it is with me when I consider this as\nI write it, and then think of That Other which should have taken its\nplace; for what I am writing now is like a little wizened figure\ndressed in mourning and weeping before a deserted shrine, but That\nOther which I have lost would have been like an Emperor returned\nfrom a triumph and seated upon a throne.\n\nIndeed, indeed it was admirable! If you ask me where I wrote it, it\nwas in Constantine, upon the Rock of Cirta, where the storms come\nbowling at you from Mount Atlas and where you feel yourself part of\nthe sky. At least it was there in Cirta that I blocked out the\nthing, for efforts of that magnitude are not completed in one place\nor day. It was in Cirta that I carved it into form and gave it a\ngeneral life, upon the 17th of January, 1905, sitting where long ago\nMassinissa had come riding in through the only gate of the city,\nsitting his horse without stirrups or bridle. Beside me, as I wrote,\nan Arab looked carefully at every word and shook his head because he\ncould not understand the language; but the Muses understood and\nApollo, which were its authors almost as much as I. How graceful it\nwas and yet how firm! How generous and yet how particular! How easy,\nhow superb, and yet how stuffed with dignity! There ran through it,\nhalf-perceived and essential, a sort of broken rhythm that never\ndescended to rhetoric, but seemed to enliven and lift up the order\nof the words until they were filled with something approaching\nmusic; and with all this the meaning was fixed and new, the order\nlucid, the adjectives choice, the verbs strong, the substantives\nmeaty and full of sap. It combined (if I may say so with modesty)\nall that Milton desired to achieve, with all that Bacon did in the\nmodelling of English.... And it is gone. It will never be seen or\nread or known at all. It has utterly disappeared nor is it even\npreserved in any human memory--no, not in my own.\n\nI kept it for a year, closely filing, polishing, and emending it\nuntil one would have thought it final, and even then I continued to\ndevelop and to mould it. It grew like a young tree in the corner of\na fruitful field and gave an enduring pleasure. It never left me by\nnight or by day; it crossed the Pyrenees with me seven times and the\nMediterranean twice. It rode horses with me and was become a part of\nmy habit everywhere. In trying to ford the Sousseyou I held it high\nout of the water, saving it alone, and once by a camp fire I woke\nand read it in the mountains before dawn. My companions slept on\neither side of me. The great brands of pine glowed and gave me\nlight; there was a complete silence in the forest except for the\nnoise of water, and in the midst of such spells I was so entranced\nby the beauty of the thing that when I had done my reading I took a\ndead coal from the fire and wrote at the foot of the paper: \"There\nis not a word which the most exuberant could presume to add, nor one\nwhich the most fastidious would dare to erase.\" All that glory has\nvanished.\n\nI know very well what the cabman did. He looked through the trap-door\nin the top of the roof to see if I had left anything behind. It was\nin Vigo Street, at the corner, that the fate struck. He looked and\nsaw a sheet or two of paper--something of no value. He crumpled it up\nand threw it away, and it joined the company which men have not been\nthought worthy to know. It went to join Calvus and the dreadful books\nof the Sibyl, and those charred leaves which were found on the floor\nwhere Chatterton lay dead.\n\nI went three times to Scotland Yard, allowing long intervals and\ntorturing myself with hope. Three times my hands thought to hold it,\nand three times they closed on nothingness. A policeman then told me\nthat cabmen very rarely brought him written things, but rather\nsticks, gloves, rings, purses, parcels, umbrellas, and the crushed\nhats of drunken men, not often verse or prose; and I abandoned my\nquest.\n\nThere are some reading this who may think me a trifle too fond and\nmay doubt the great glory to which I testify here. They will\nremember how singularly the things we no longer possess rise upon\nthe imagination and enlarge themselves, and they will quote that\npathetic error whereby the dead become much dearer to us when we can\nno longer smile into their faces or do them the good we desire. They\nwill suggest (most tenderly) that loss and the enchantment of memory\nhave lent a thought too much of radiance and of harmony to what was\ncertainly a noble creation of the mind, but still human and shot\nwith error.\n\nTo such a criticism I cannot reply, I have no longer, alas! the best\nof replies, the Thing Itself, the Achievement: and not having that I\nhave nothing. I am without weapons. Who shall convince of\npersonality, of beauty, or of holiness, unless they be seen and\nfelt? So it is with letters, and if I am not believed--or even if I\nam--it is of little moment, for the beloved object is rapt away.\n\nIts matter--if one can say that anything so manifold and exalted had\na mere subject--its matter was the effect of the piercing of the\nSuez Canal upon coastwise trade in the Mediterranean, but it is\nprofane to bring before the general gaze a title which can tell the\nworld nothing of the iridescence and vitality it has lost.\n\nI will not console myself with the uncertain guess that things\nperished are in some way recoverable beyond the stars, nor hope to\nsee and read again the artistry and the result whose loss I have\nmourned in these lines; but if, as the wisest men imagine, there is\na place of repose for whatever most deserves it among the shades,\nthere either I or others worthier may read what will never be read\nby living eyes or praised by living lips again. It may be so. But\nthe loss alone is certain.\n\n\n\n\nON A MAN WHO WAS PROTECTED BY ANOTHER MAN\n\n\nThere was once a man called Mahmoud. He had other names, such as\nAli, Akbar, and Shmaeil, and so forth, with which I will not trouble\nyou, because in very short stories it is important not to confuse\nthe mind. I have been assured of this by many authorities, some of\nwhom make a great deal of money by short stories, and all of whom\nknow a great deal about the way in which they ought to be written.\n\nNow I come to think of it, I very much doubt whether this is a short\nstory at all, for it has no plot so far and I do not see any plot\ndeveloping. No matter. The thing is to say what one has to say\nhumbly but fully. Providence will look after the rest.\n\nSo, as I was saying, there was a man called Mahmoud. He lived in a\ncountry entirely made of sand. There were hills which on the maps\nwere called mountains, but when you came to look at them they were\nonly a lot more sand, and there was nothing about them except an\naspect of sand heaped up. You may say, \"How, then, did Mahmoud build\na house?\" He did not. He lived in a tent. \"But,\" you continue, \"what\ndid he do about drinking?\" Well, it was Mahmoud's habit to go to a\nplace where he knew that by scratching a little he would find bad\nwater, and there he would scratch a little and find it, and, being\nan abstemious man, he needed but a drop.\n\nThe sun in Mahmoud's country was extremely hot. It stood right up\nabove one's head and looked like the little thing that you get in\nthe focus of a burning glass. The sun made it almost impossible to\nmove, except in the early morning or at evening, and even during the\nnight it was not particularly cool. It never rained in this place.\n\nThere were no rivers and no trees. There was no grass, and the only\nanimal was a camel. The camel was content to eat a kind of scrub\nthat grew here and there on the sand, and it drank the little water\nMahmoud could afford it, and was permanently happy. So was Mahmoud.\nBeneath him the sand sloped down until it met the sea, which was\ntepid on account of the great heat, and in which were a lot of fish,\npearls, and other things. Every now and then Mahmoud would force a\nson or domestic of his to go down and hoick out a pearl, and this\npearl he would exchange for something that he absolutely needed,\nsuch as a new tent or a new camel, and then he went on living the\nway he had been living before.\n\nNow, one day there came to this part of the world a man called\nSmith. He was dressed as you and I are, in trousers and a coat and\nboots, and he had a billycock hat on. He had a foolish, anxious\nface. He did not keep his word particularly; and he was exceedingly\nfond of money. He had spent most of his life accumulating all sorts\nof wealth in a great bag, and he landed with this bag in Mahmoud's\ncountry, and Mahmoud  was as polite to him as the heat would allow.\nThen Mahmoud said to him:\n\n\"You appear to be a very rich man.\"\n\nAnd Smith said:\n\n\"I am,\" and opened his bag and showed a great quantity of things. So\nMahmoud was pleased and astonished, and fussed a good deal\nconsidering the climate, and got quite a quantity of pearls out of\nthe sea, and gave them to Smith, who let him have a gun, but a bad\none; and he, Smith, retained a good rifle. Then Smith sat down and\nwaited for about six months, living on the provisions he had brought\nin his bag, until Mahmoud said to him:\n\n\"What have you come to do here?\"\n\nAnd Smith said:\n\n\"Why, to tell you the honest truth, I have come to protect you.\"\n\nSo Mahmoud thought a long time, smoking a pipe, because he did not\nunderstand a word of what Smith had said. Then Mahmoud said:\n\n\"All right, protect away,\" and after that there was a silence for\nabout another six months, and nothing had happened.\n\nMahmoud did not mind being protected, because it made no difference\nto him, and after a certain time he had got all he wanted out of\nSmith, and was tired of bothering about the pearls. So he and Smith\njust lived side by side doing nothing in particular, except that\nSmith went on protecting and that Mahmoud went on being protected.\nBut while Mahmoud was perfectly content to be protected till\nDoomsday, being an easy-going kind of fellow, Smith was more and\nmore put out. He was a trifle irritable by nature. The climate did\nnot suit him. He drank beer and whisky and other things quite\ndangerous under such a sun, and he came out all over like the\nmeasles. He tried to pass the time riding on a camel. At first he\nthought it great sport, but after a little he got tired of that\nalso. He began to write poetry, all about Mahmoud, and as Mahmoud\ncould not read it did not much matter. Then he wrote poetry about\nhimself, making out Mahmoud to be excessively fond of him, and this\npoetry he read to himself, and it calmed him; but as Mahmoud did not\nknow about this poetry, Smith got bored with it, and, his irritation\nincreasing, he wrote more poetry, showing Mahmoud to be a villain\nand a serf, and showing himself, Smith, to be under a divine\nmission.\n\nNow, just when things had come to this unpleasant state Mahmoud got\nup and shook himself and began skipping and dancing outside the door\nof his tent and running round and round it very fast, and waving his\nhands in the air, and shouting incongruous things.\n\nSmith was exceedingly annoyed by this. He had never gone on like\nthat himself, and he did not see why Mahmoud should. But Mahmoud had\nlived there a good deal longer than Smith had, and he knew that it\nwas absolutely necessary. There were stories of people in the past\nwho had felt inclined to go on like this and had restrained\nthemselves with terrible consequences. So Mahmoud went on worse than\never, running as fast as he could out into the sand, shouting,\nleaping into the air, and then running back again as fast as he\ncould, and firing off his gun and calling upon his god.\n\nSmith, whose nerves were at the last stretch, asked Mahmoud savagely\nwhat he was about. To this Mahmoud gave no reply, save to twirl\nround rapidly upon one foot and to fall down foaming at the mouth.\nSmith, therefore, losing all patience, said to Mahmoud:\n\n\"If you do not stop I will shoot you by way of protecting you\nagainst yourself.\"\n\nMahmoud did not know what the word protected meant, but he\nunderstood the word shoot, and shouting with joy, he blew off\nSmith's hat with his gun, and said:\n\n\"A fight! a fight!\"\n\nFor he loved fighting when he was in this mood, while Smith detested\nit.\n\nSmith, however, remembered that he had come there to protect\nMahmoud; he set his teeth, aimed with his rifle, fired at Mahmoud,\nand missed.\n\nMahmoud was so surprised at this that he ran at Smith, and rolled\nhim over and over on the ground. Then they unclenched, both very\nmuch out of breath, and Smith said:\n\n\"Will you or will you not be protected?\"\n\nMahmoud said he should be delighted. Moreover, he said that he had\ngiven his word that he would be protected, and that he was not a man\nto break his word.\n\nAfter that he took Smith by the hand and shook it up and down for\nabout five minutes, until Smith was grievously put out.\n\nWhen they were friends again. Smith said to Mahmoud:\n\n\"Will you not go down into the sea and get me some more pearls?\"\n\n\"No,\" said Mahmoud, \"I am always very exhausted after these\nattacks.\"\n\nThen Smith sat down by the seashore and began to cry, thinking of\nhis home and of the green trees and of the North, and he wrote\nanother poem about the burden that he had borne, and of what a great\nman he was and how he went all over the world protecting people, and\nhow brave he was, and how Mahmoud also was very brave, but how he\nwas much braver than Mahmoud. Then he said:\n\n\"Mahmoud, I am going away back to my distant home, unless you will\nget me more pearls.\"\n\nBut Mahmoud said:\n\n\"I cannot get you any more pearls because it is too hot, and if only\nyou will stop you can go on doing some protecting, which, upon my\nsoul, I do like better than anything in the world.\"\n\nAnd even as he said this he began jumping about and shouting strange\nthings and waving his gun, and Smith at once went away.\n\nThen Mahmoud sat down sadly by the sea, and thought of how Smith had\nprotected him, and how now all that was passed and the old\nmonotonous life would begin again. But Smith went home, and all his\nneighbours asked how it was that he protected so well, and he wrote\na book to enlighten them, called _How I Protected Mahmoud_.\nThen all his neighbours read this book and went out in a great boat\nto do something of the same kind. And Smith could not refrain from\nsmiling.\n\nMahmoud, however, by his lonely shore, regretted more and more this\nepisode in his dull life, and he wept when he remembered the\nfantastic Smith, who had such an enormous number of things in his\nbag and who had protected him; and he also wrote a poem, which is\nrather difficult to understand in connection with the business, but\nwhich to him exactly described it. And the poem went like this;\nhaving no metre and no rhyming, and being sung to three notes and a\nquarter in a kind of wail:\n\n\"When the jackal and the lion meet it is full moon; it is full moon\nand the gazelles are abroad.\"\n\n\"Why are the gazelles abroad when the jackal and the lion meet: when\nit is full moon in the desert and there is no wind?\"\n\n\"There is no wind because the gazelles are abroad, the moon is at\nthe full, and the lion and the jackal are together.\"\n\n\"Where is he that protected me and where is the great battle and the\nshouts and the feasting afterwards, and where is that bag?\"\n\n\"But we dwell in the desert always, and men do not visit us, and the\nlion and the jackal have met, and it is full moon, O gazelles!\"\n\nMahmoud was so pleased with this song that he wrote it down, a thing\nhe only did with one song out of several thousands, for he wrote\nwith difficulty, but I think it a most ridiculous song, and I far\nprefer Smith's, though you would never know it had to do with the\nsame business.\n\n\n\n\nON NATIONAL DEBTS (WHICH ARE IMAGINARIES AND TRUE NOTHINGS OF STATE)\n\n\nOne day Peter and Paul--I knew them both, the dear fellows: Peter\nperhaps a trifle wild, Paul a little priggish, but that is no\nmatter--one day, I say, Peter and Paul (who lived together in rooms off\nSouthampton Row, Bloomsbury, a very delightful spot) were talking\nover their mutual affairs.\n\n\"My dear Paul,\" said Peter, \"I wish I could persuade you to this\nexpenditure. It will be to our mutual advantage. Come now, you have\nten thousand a year of your own and I with great difficulty earn a\nhundred; it is surprising that you should make the fuss you do.\nBesides which you well know that this feeding off packing-cases is\nirksome; we really need a table and it will but cost ten pounds.\"\n\nTo all this Paul listened doubtfully, pursing up his lips, joining\nthe tips of his fingers, crossing his legs and playing the solemn\nfool generally.\n\n\"Peter,\" said he, \"I mislike this scheme of yours. It is a heavy\noutlay for a single moment. It would disturb our credit, and yours\nespecially, for your share would come to five pounds and you would\nhave to put off paying the Press-Cutting agency to which you\nfoolishly subscribe. No; there is an infinitely better way than this\ncrude idea of paying cash down in common. I will lend the whole sum\nof ten pounds to our common stock and we will each pay one pound a\nyear as interest to myself for the loan. I for my part will not\nshirk my duty in the matter of this interest and I sincerely trust\nyou will not shirk yours.\"\n\nPeter was so delighted with this arrangement that his gratitude knew\nno bounds. He would frequently compliment himself in private on the\nadvantage of living with Paul, and when he went out to see his\nfriends it was with the jovial air of the Man with the Bottomless\nPurse, for he did not feel the pound a year he had to pay, and Paul\nalways seemed willing to undertake similar expenses on similar\nterms. He purchased a bronze over-mantel, he fitted the rooms with\nelectric light, he bought (for the common use) a large prize dog for\n\u00a356, and he was for ever bringing in made dishes, bottles of wine\nand what not, all paid for by this lending of his. The interest\nincreased to \u00a320 and then to \u00a330 a year, but Paul was so rigorously\nhonest, prompt and exact in paying himself the interest that Peter\ncould not bear to be behindhand or to seem less punctual and upright\nthan his friend. But so high a proportion of his small income going\nin interest left poor Peter but a meagre margin for himself and he\nhad to dine at Lockhart's and get his clothes ready made, which (to\na refined and sensitive soul such as his) was a grievous trial.\n\nSome little time after a Fishmonger who had attained to Cabinet rank\nwas married to the daughter of a Levantine and London was in\nconsequence illuminated. Paul said to Peter in his jovial way, \"It\nis imperative that we should show no meanness upon this occasion. We\nare known for the most flourishing and well-to-do pair of bachelors\nin the neighbourhood, and I have not hesitated (for I know I had\nyour consent beforehand) to go to Messrs. Brock and order an immense\nquantity of fireworks for the balcony on this auspicious occasion.\nNot a word. The loan is mine and very freely do I make it to our\nMutual Position.\"\n\nSo that night there was an illumination at their flat, and the\ncentre-piece was a vast combination of roses, thistles, shamrocks,\nleeks, kangaroos, beavers, schamboks, and other national emblems,\nand beneath it the motto, \"United we stand, divided we fall: Peter\nand Paul,\" in flaming letters two feet high.\n\nPeter was after this permanently reduced to living upon rice and to\nmending his own clothes; but he could easily see how fair the\narrangement was, and he was not the man to grumble at a free\ncontract. Moreover, he was expecting a rise in salary from the\neditor of the _Hoot_, in which paper he wrote \"Woman's World\",\nand signed it \"Emily\".\n\nAt the close of the year Peter had some difficulty in meeting the\ninterest, though Paul had, with true business probity, paid his on\nthe very day it fell due. Peter therefore approached Paul with some\nlittle diffidence and hesitation, saying:\n\n\"Paul: I trust you will excuse me, but I beg you will be so very\ngood as to see your way, if possible, to granting me an extension of\ntime in the matter of paying my interest.\"\n\nPaul, who was above everything regular and methodical, replied:\n\n\"Hum, chrm, chrum, chrm. Well, my dear Peter, it would not be\ngenerous to press you, but I trust you will remember that this money\nhas not been spent upon my private enjoyment. It has gone for the\nglory of our Mutual Position; pray do not forget that, Peter; and\nremember also that if you have to pay interest, so have I, so have\nI. We are all in the same boat, Peter, sink or swim; sink or\nswim....\" Then his face brightened, he patted Peter genially on the\nshoulder and added: \"Do not think me harsh, Peter. It is necessary\nthat I should keep to a strict, business-like way of doing things,\nfor I have a large property to manage; but you may be sure that my\nfriendship for you is of more value to me than a few paltry\nsovereigns. I will lend you the sum you owe to the interest on the\nCommon Debt, and though in strict right you alone should pay the\ninterest on this new loan I will call half of it my own and you\nshall pay but \u00a31 a year on it for ever.\"\n\nPeter's eyes swam with tears at Paul's generosity, and he thanked\nhis stars that his lot had been cast with such a man. But when Paul\ncame again with a grave face and said to him, \"Peter, my boy, we\nmust insure at once against burglars: the underwriters demand a\nhundred pounds,\" his heart broke, and he could not endure the\nthought of further payments. Paul, however, with the quiet good\nsense that characterised him, pointed out the necessity of the\npayment and, eyeing Peter with compassion for a moment, told him\nthat he had long been feeling that he (Peter) had been unfairly\ntaxed. \"It is a principle\" (said Paul) \"that taxation should fall\nupon men in proportion to their ability to pay it. I am determined\nthat, whatever happens, you shall in future pay but a third of the\ninterest that may accrue upon further loans.\" It was in vain that\nPeter pointed out that, in his case, even a thirtieth would mean\nstarvation; Paul was firm and carried his point.\n\nThe wretched Peter was now but skin and bone, and his earning power,\nsmall as it had ever been, was considerably lessened. Paul began to\nfear very seriously for his invested funds: he therefore kept up\nPeter's spirits as best he could with such advice as the following:--\n\n\"Dear Peter, do not repine; your lot is indeed hard, but it has its\nsilver lining. You are the member of a partnership famous among all\nother bachelor-residences for its display of fireworks and its fine\nfurniture. So valuable is the room in which you live that the\ninsurance alone is the wonder and envy of our neighbours. Consider\nalso how firm and stable these loans make our comradeship. They give\nme a stake in the rooms and furnish a ready market for the spare\ncapital of our little community. The interest WE pay upon the fund\nis an evidence of our social rank, and all London stares with\nastonishment at the flat of Peter and Paul, which can without an\neffort buy such gorgeous furniture at a moment's notice.\"\n\nBut, alas! these well-meant words were of no avail. On a beautiful\nspring day, when all the world seemed to be holding him to the joys\nof living, Peter passed quietly away in his little truckle bed,\nunattended even by a doctor, whose fees would have necessitated a\nloan the interest of which he could never have paid.\n\nPaul, on the death of Peter, gave way at first to bitter\nrecrimination. \"Is this the way,\" he said, \"that you repay years of\nunstinted generosity?  Nay, is this the way you meet your sacred\nobligations? You promised upon a thousand occasions to pay your\nshare of the interest for ever, and now like a defaulter you abandon\nyour post and destroy half the revenue of our firm by one\nintempestive and thoughtless act! Had you but possessed a little\nproperty which, properly secured, would continue to meet the claims\nyou had incurred, I had not blamed you. But a man who earns all that\nhe possesses has no right to pledge himself to perpetual payment\nunless he is prepared to live for ever!\"\n\nNobler thoughts, however, succeeded this outburst, and Paul threw\nhimself upon the bed of his Departed Friend and moaned. \"Who now\nwill pay me an income in return for my investments?  All my fortune\nis sunk in this flat, though I myself pay the interest never so\nregularly, it will not increase my fortune by one farthing! I shall\nas I live consume a fund which will never be replenished, and within\na short time I shall be compelled to work for my living!\"\n\nMaddened by this last reflection, he dashed into the street, hurried\nnorthward through-the-now-rapidly-gathering-darkness, and drowned\nhimself in the Regent's Canal, just where it runs by the Zoological\nGardens, under the bridge that leads to the cages of the larger\npachyderms.\n\nThus miserably perished Peter and Paul, the one in the thirtieth,\nthe other in the forty-seventh year of his age, both victims to\ntheir ignorance of _Mrs. Fawcett's Political Economy for the\nYoung_, the _Nicomachean Ethics_, Bastiat's _Economic Harmonies, The\nFourth Council of Lateran on Unfruitful Loans and Usury, The Speeches\nof Sir Michael Hicks-Beach and Mr. Brodrick (now Lord Midleton), The\nSermons of St. Thomas Aquinas_, under the head \"Usuria,\"\nMr. W. S. Lilly's First _Principles in Politics_, and other works\ntoo numerous to mention.\n\n\n\n\nON LORDS\n\n\n\"_Saepe miratus sum_,\" I have often wondered why men were\nblamed for seeking to know men of title. That a man should be blamed\nfor the acceptance of, or uniformity with, ideals not his own is\nright enough; but a man who simply reveres a Lord does nothing so\ngrave: and why he should not revere such a being passes my\ncomprehension.\n\nThe institution of Lords has for its object the creation of a high\nand reverend class; well, a man looks up to them with awe or\nexpresses his reverence and forthwith finds himself accused! Get rid\nof Lords by all means, if you think there should be none, but do not\ncome pestering me with a rule that no Lord shall be considered while\nyou are making them by the bushel for the special purpose of being\nconsidered--_ad considerandum_ as Quintillian has it in his\nhighly Quintillianarian essay on I forget what.\n\nI have heard it said that what is blamed in snobs, _snobinibus\nquid reatumst_, is not the matter but the manner of their\nworship. Those who will have it so maintain that we should pay to\nrank a certain discreet respect which must not be marred by crude\nexpression. They compare snobbishness to immodesty, and profess that\nthe pleasure of acquaintance with the great should be so enjoyed\nthat the great themselves are but half-conscious of the homage\noffered them: this is rather a subtle and finicky critique of what\nis in honest minds a natural restraint.\n\nI knew a man once--Chatterley was his name, Shropshire his county,\nand racing his occupation--who said that a snob was blamed for the\noffence he gave to Lords themselves. Thus we do well (said this man\nChatterley) to admire beautiful women, but who would rush into a\nroom and exclaim loudly at the ladies it contained? So (said this\nman Chatterley) is it with Lords, whom we should never forget, but\nwhom we should not disturb by violent affection or by too persistent\na pursuit.\n\nThen there was a nasty drunken chap down Wapping way who had seen\nbetter days; he had views on dozens of things and they were often\nworth listening to, and one of his fads was to be for ever preaching\nthat the whole social position of an aristocracy resided in a veil\nof illusion, and that hands laid too violently on this veil would\ntear it. It was only by a sort of hypnotism, he said, that we\nregarded Lords as separate from ourselves. It was a dream, and a\nrough movement would wake one out of it. Snobbishness (he said) did\nviolence to this sacred film of faith and might shatter it, and\nhence (he pointed out) was especially hated by Lords themselves. It\nwas interesting to hear as a theory and delivered in those\nsurroundings, but it is exploded at once by the first experience of\nHigh Life and its solid realities.\n\nThere is yet another view that to seek after acquaintance with men\nof position in some way hurts one's own soul, and that to strain\ntowards our superiors, to mingle our society with their own, is\nunworthy, because it is destructive of something peculiar to\nourselves. But surely there is implanted in man an instinct which\nleads him to all his noblest efforts and which is, indeed, the\nmotive force of religion, the instinct by which he will ever seek to\nattain what he sees to be superior to him and more worthy than the\nthings of his common experience. It seems to be proper, therefore,\nthat no man should struggle against the very natural attraction\nwhich radiates from superior rank, and I will boldly affirm that he\ndoes his country a good service who submits to this force.\n\nThe just appetite for rank gives rise to two kinds of duty, one or\nthe other of which each of us in his sphere is bound to regard.\nThere is first for much the greater part of men the duty of showing\nrespect and deference to men of title, by which I do not mean only\nLords absolute (which are Barons, Viscounts, Earls, Marquises and\nDukes), but also Lords in gross, that is the whole body of lords,\nincluding lords by courtesy, ladies, their wives and mothers,\nhonourables and cousins--especially heirs of Lords, and to some\nextent Baronets as well. Secondly, there is the duty of those few\nwithin whose power it lies to become Lords, Lords to become, lest\nthe aristocratic element in our Constitution should decline. The\nmost obvious way of doing one's duty in this regard if one is\nwealthy is to purchase a peerage, or a Baronetcy at the least, and\nwhen I consider how very numerous are the fortunes to which a sum of\ntwenty or thirty thousand pounds is not really a sacrifice, and how\nfew of their possessors exercise a tenacious effort to acquire rank\nby the disbursement of money, I cannot but fear for the future of\nthe country! It is no small sign of our times that we should read so\ncontinually of large bequests to public charities made by men who\nhave had every opportunity for entering the Upper House but who\npreferred to remain unnoted in the North of England and to leave\ntheir posterity no more dignified than they were themselves.\n\nThere is a yet more restricted class to whom it is open to become\nLords by sheer merit. The one by gallant conduct in the field,\nanother by a pretty talent for verse, a third by scientific\nresearch. And if any of my readers happen to be a man of this kind\nand yet hesitate to undertake the effort required of him, I would\npoint out that our Constitution in its wisdom adds certain very\nmaterial advantages to a peerage of this kind. It is no excuse for a\nman of military or scientific eminence to say that his income would\nnot enable him to maintain such a dignity. Parliament is always\nready to vote a sufficient grant of money, and even were it not so,\nit is quite possible to be a Lord and yet to be but poorly provided\nwith the perishable goods of this world, as is very clearly seen in\nthe case of no fewer than eighty-two Barons, fourteen Earls, and\nthree dukes, a list of whom I had prepared for printing in these\ndirections but have most unfortunately mislaid.\n\nAgain, even if one's private means be small, and if Parliament by\nsome neglect omit to endow one's new splendour, the common sense of\nEngland will come to the help of any man so situated if he is worth\nhis salt. He will with the greatest ease obtain positions of\nresponsibility and emolument, notably upon the directorate of public\ncompanies, and can often, if he finds his salary insufficient,\npersuade his fellow-directors to increase it, whether by threatening\nthem with exposure or by some other less drastic and more convivial\nmeans.\n\nIf after reading these lines there is anyone who still doubts the\nattitude that an honest man should take upon this matter, it is\nenough to point out in conclusion how Providence itself appears to\nhave designed the whole hierarchy of Lords with a view to tempting\nman higher and ever higher. Thus, if some reader of this happens to\nbe a baron, he might think perhaps that it is not worth a further\neffort to receive another grade of distinction. He would be wrong,\nfor such an advance gives a courtesy title to his daughters; one\nmore step and the same benefit accrues to his sons. After that there\nis indeed a hiatus, nor have I ever been able to see what advantage\nis held out to the viscount who desires to become a marquis--unless,\nindeed, it be marquises that become viscounts. Anyhow, it is the\nlatter title which is the less English and the less manly and which\nI am glad to hear it is proposed to abolish by a short, one-clause\nbill in the next Session of Parliament. Above these, the dukes in\nthe titles of their wives and the mode in which they are addressed\nstand alone. There is, therefore, no stage in a man's upward\nprogress upon this ancient and glorious ladder where he will not\nfind some great reward for the toil of ascending. In view of these\nthings, I for my part hope, in common with many another, that the\nfoolish pledge given some years ago when the Liberal Party was in\nopposition, that it would create no more Lords, will be revised now\nthat it has to consider the responsibilities of office; a revision\nfor which there is ample precedent in the case of other pledges\nwhich were as rashly made but of which a reconsideration has been\nfound necessary in practice.\n\nNOTE.--_I find I am wrong upon Viscounts, but as I did not\ndiscover this until my book was in the press I cannot correct it.\nThe remainder of the matter is accurate enough, and may be relied on\nby the student._\n\n\n\n\nON JINGOES: IN THE SHAPE OF A WARNING\n\nBEING\n\n\nThe sad and lamentable history of Jack Bull, son of the late John\nBull, India Merchant, wherein it will be seen how this prosperous\nmerchant left an heir that ran riot with 'Squires, trainbands, Black\nmen, and Soldiers, and squandered all his substance, so that at last\nhe came to selling penny tokens in front of the Royal Exchange in\nThreadneedle Street, and is now very miserably writing for the\npapers.\n\nJohn Bull, whom I knew very well, drove a great trade in tea, cotton\ngoods, and bombazine, as also in hardware, all manner of cutlery,\ngood and bad, and especially sea-coal, and was very highly respected\nin the City of London, of which he was twice Sheriff and once Lord\nMayor. When he went abroad some begged of him, and to these he would\ngive a million or so at a time openly in the street, so that a crowd\nwould gather and cry, \"Lord! what a generous fellow is this Mr.\nBull!\" Some, again, of better station would pluck his sleeve and\ntake him aside into Broad Street Corner or Mansion House Court, and\nsay, \"Mr. Bull, a word in your ear. I have more paper about than I\ncare for in these hard times, and I could pay you handsomely for a\nshort loan.\" These always found Mr. Bull willing and ready, sure and\nsilent, and, withal, cheaper at a discount than any other. For\nbuying cloth all came to Bull; and for buying other wares his house\nwas preferred to those of Frog and Hans and the rest, because he was\ncourteous and ready, always to be found in his office (which was\nnear the Wool-pack in Leaden Hall Street, next to Mr. Marlow's, the\nMethodist preacher), and moreover he was very attentive to little\nthings. This last habit he would call the soul of business. In such\nfashion Mr. Bull had accumulated a sum of five hundred thousand\nmillion pounds, or thereabouts, and when he died the neighbours said\nthis and that spiteful thing about his son Jack whom he had trained\nup to the business, making out that _they knew more than they\ncared to say_, that _Jack was not John_, that _they had heard of Pride\ngoing before a fall_, and so much tittle-tattle as jealousy will breed.\nBut they were very much disappointed in their malice, for this same\nJack went sturdily to work and trod in his father's steps, so that\nhis wealth increased even beyond what he had inherited, and he had at\nlast more risks upon the sea in one way and another than any other\nmerchant in the City. And if you would know how Jack (who was, to\ntell the truth, more flighty and ill-informed than his father) came to\ngo so wisely, it was thus: Old John had left him a few directions writ\nup in pencil on the mantelpiece, which ran in this way:---\n\n1. Never go into an adventure unless the feeling of your neighbours\nbe with you.\n\n2. Spend no more than you earn--nay, put by every year.\n\n3. Put out no money for show in your business but only for use, save\nonly on the occasion of the Lord Mayor's Show, your taking of an\noffice, or on the occasion of public holidays, as, when the King's\nwife or daughter lies in.\n\n4. Live and let live, for be sure your business can only thrive on\nthe condition that others do also.\n\n5. Vex no man at your door; buy and sell freely.\n\n6. Do not associate with Drunkards, Brawlers and Poets; and God's\nblessing be with you.\n\nNow when Jack was grown to about thirty years old, he came, most\nunfortunately, upon a certain Sir John Snipe, Bart., that was a very\nscandalous young squire of Oxfordshire, and one that had published\nfive lyrics and a play (enough to warn any Bull against him), who\nspoke to him somewhat in this fashion:---\n\n\"La! Jack, what a pity you and I should live so separate! I'll be\nbound you're the best fellow in the world, the very backbone of the\ncountry. To be sure there's a silly old-fashioned lot of Lumpkins in\nour part that will have it you're no gentleman, but I say, 'Gentle\nis as Gentle does,' and fair play's a jewel. I will enter your\ncounting-house as soon as drink to you, as I do here.\"\n\nWhereat Jack cried--\n\n\"God 'a' mercy, a very kind gentleman! Be welcome to my house. Pray\ntake it as your own. I think you may count me one of you? Eh? Be\nseated. Come, how can I serve you?\": and at last he had this\nJackanapes taking a handsome salary for doing nothing.\n\nWhen Jack's friends would reproach him and say, \"Oh, Jack, Jack,\nbeware this fine gentleman; he will be your ruin,\" Jack would\nanswer, \"A plague on all levellers,\" or again, \"What if he be a\ngentleman? So that he have talent 'tis all I seek,\" or yet further,\n\"Well, gentle or simple, thank God he's an honest Englishman.\"\nWhereat Jack added to the firm, Isaacs of Hamburg, Larochelle of\nCanada, Warramugga of Van Dieman's Land, Smuts Bieken of the Cape of\nGood Hope, and the Maharajah of Mahound of the East Indies that was\na plaguey devilish-looking black fellow, pock-marked, and with a\nterrible great paunch to him.\n\nSo things went all to the dogs with poor Jack, that would hear no\nsense or reason from his father's old friends, but was always seen\narm in arm with Sir John Snipe, Warra Mugga, the Maharajah and the\nrest; drinking at the sign of the \"Beerage,\" gambling and dicing at\n\"The Tape,\" or playing fisticuffs at the \"Lord Nelson,\" till at last\nhe quarrelled with all the world but his boon companions and, what\nwas worse, boasted that his father's brother's son, rich Jonathan\nSpare, was of the company. So if he met some dirty dog or other in\nthe street he would cry, \"Come and sup to-night, you shall meet\nCousin Jonathan!\" and when no Jonathan was there he would make a\nthousand excuses saying, \"Excuse Jonathan, I pray you, he has\nmarried a damned Irish wife that keeps him at home\"; or, \"What!\nJonathan not come? Oh! we'll wait awhile. He never fails, for we are\nlike brothers!\" and so on; till his companions came to think at last\nthat he had never met or known Jonathan; which was indeed the case.\n\nAbout this time he began to think himself too fine a gentleman to\nlive over the shop as his father had done, and so asked Sir John\nSnipe where he might go that was more genteel; for he still had too\nmuch sense to ask any of those other outlandish fellows' advice in\nsuch a matter. At last, on Snipe's bespeaking, he went to Wimbledon,\nwhich is a vastly smart suburb, and there, God knows, he fell into a\nthousand absurd tricks so that many thought he was off his head.\n\nHe hired a singing man to stand before his door day and night\nsinging vulgar songs out of the street in praise of Dick Turpin and\nMolly Nog, only forcing him to put in his name of Jack Bull in the\nplace of the Murderer or Oyster Wench therein celebrated.\n\nHe would drink rum with common soldiers in the public-houses and\nthen ask them in to dinner to meet gentlemen, saying \"These are\nheroes and gentlemen, which are the two first kinds of men,\" and\nthey would smoke great pipes of tobacco in his very dining-room to\nthe general disgust.\n\nHe would run out and cruelly beat small boys unaware, and when he\nhad nigh killed them he would come back and sit up half the night\nwriting an account of how he had fought Tom Mauler of Bermondsey and\nbeaten him in a hundred and two rounds, which (he would add) no man\nliving but he could do.\n\nHe would hang out of his window a great flag with a challenge on it\n\"to all the people of Wimbledon assembled, or to any of them\nsingly,\" and then he would be seen at his front gate waving a great\nred flag and gnawing a bone like a dog, saying that he loved Force\nonly, and would fight all and any.\n\nWhen he received any print, newspaper, book or pamphlet that praised\nany but himself, he would throw it into the fire in a kind of\nfrenzy, calling God to witness that he was the only person of\nconsequence in the world, that it was a horrible shame that he was\nso neglected, and Lord knows what other rubbish.\n\nIn this spirit he quarrelled with all his fellow-underwriters and\nfriends and comrades, and that in the most insolent way. For knowing\nwell that Mr. Frog had a shrew of a wife, he wrote to him daily\nasking \"if he had had a domestic broil of late, and how his poor\nhead felt since it was bandaged.\" To Mr. Hans, who lived in a small\nway and loved gardening, he sent an express \"begging him to mind his\ncabbages and leave gentlemen to their greater affairs.\" To Niccolini\nof Savoy, the little swarthy merchant, he sent indeed a more polite\nnote, but as he said in it \"that he would be very willing to give\nhim charity and help him as he could\" and as he added \"for my father\nit was that put you up in business\" (which was a monstrous lie, for\nFrog had done this) he did but offend. Then to Mr. William Eagle,\nthat was a strutting, arrogant fellow, but willing to be a friend,\nhe wrote every Monday to say that the house of Bull was lost unless\nMr. Eagle would very kindly protect it and every Thursday to\nchallenge him to mortal combat, so that Mr. Eagle (who, to tell the\ntruth, was no great wit, but something of a dullard and moreover\nsuffering from a gathering in the ear, a withered arm, and poor\nblood) gave up his friendship and business with Bull and took to\nmaking up sermons and speeches for orators.\n\nHe would have no retainers but two, whose common names were Hocus\nand Pocus, but as he hated the use of common names and as no one had\nheard of Hocus' lineage (nor did he himself know it) he called him,\nHocus, \"Freedom\" as being a high-sounding and moral name for a\nfootman and Pocus (whose name was of an ordinary decent kind) he\ncalled \"Glory\" as being a good counterweight to Freedom; both these\nwere names in his opinion very decent and well suited for a\ngentleman's servants.\n\nNow Freedom and Glory got together in the apple closet and put it to\neach other that, as their master was evidently mad it would be a\nthousand pities to take no advantage of it, and they agreed that\nwhatever bit of jobbing Hocus Freedom should do, Pocus Glory should\napprove; and contrariwise about. But they kept up a sham quarrel to\nmask this; thus Hocus was for Chapel, Pocus for Church, and it was\nagreed Hocus should denounce Pocus for drinking Port.\n\nThe first fruit of their conspiracy was that Hocus recommended his\nbrother and sister, his two aunts and nieces and four nephews, his\nown six children, his dog, his conventicle-minister, his laundress,\nhis secretary, a friend of whom he had once borrowed five pounds,\nand a blind beggar whom he favoured, to various posts about the\nhouse and to certain pensions, and these Jack Bull (though his\nfortune was already dwindling) at once accepted.\n\nThereupon Pocus loudly reproached Hocus in the servants' hall,\nsaying that the compact had only stood for things in reason, whereat\nHocus took off his coat and offered to \"Take him on,\" and Pocus,\nthinking better of it, managed for his share to place in the\nhousehold such relatives as he could, namely, Cohen to whom he was\nin debt, Bernstein his brother-in-law and all his family of five\nexcept little Hugh that blacked the boots for the Priest, and so was\nalready well provided for.\n\nIn this way poor Jack's fortune went to rack and ruin. The clerks in\nhis office in the City (whom he now never saw) would telegraph to him\nevery making-up day that there was loss that had to be met, but to\nthese he always sent the same reply, namely, \"Sell stock and scrip to\nthe amount\"; and as that phrase was costly, he made a code-word, to\nwit, \"Prosperity,\" stand for it. Till one day they sent word \"There\nis nothing left.\" Then he bethought him how to live on credit, but\nthis plan was very much hampered by his habit of turning in a passion\non all those who did not continually praise him. Did an honest man\nlook in and say, \"Jack, there is a goat eating your cabbages,\" he\nwould fly into a rage and say, \"You lie, Pro-Boer, my cabbages are\nsacred, and Jove would strike the goat dead that dared to eat them,\"\nor if a poor fellow should touch his hat in the street and say,\n\"Pardon, sir, your buttons are awry,\" he would answer, \"Off, villain!\nZounds, knave! Know you not that my Divine buttons are the model of\nthings?\" and so forth, until he fell into a perfect lunacy.\n\nBut of how he came to selling tokens of little leaden soldiers at a\npenny in front of the Exchange, and of how at last he even fell to\nwriting for the papers, I will not tell you; for, _imprimis_,\nit has not happened yet, nor do I think it will, and in the second\nplace I am tired of writing.\n\n\n\n\nON A WINGED HORSE AND THE EXILE WHO RODE HIM\n\n\nIt so happened that one day I was riding my horse Monster in the\nBerkshire Hills right up above that White Horse which was dug they\nsay by this man and by that man, but no one knows by whom; for I was\nseeing England, a delightful pastime, but a somewhat anxious one if\none is riding a horse. For if one is alone one can sleep where one\nchooses and walk at one's ease, and eat what God sends one and spend\nwhat one has; but when one is responsible for any other being\n(especially a horse) there come in a thousand farradiddles, for of\neverything that walks on earth, man (not woman--I use the word in\nthe restricted sense) is the freest and the most unhappy.\n\nWell, then, I was riding my horse and exploring the Island of\nEngland, going eastward of a summer afternoon, and I had so ridden\nalong the ridge of the hills for some miles when I came, as chance\nwould have it, upon a very extraordinary being.\n\nHe was a man like myself, but his horse, which was grazing by his\nside, and from time to time snorting in a proud manner, was quite\nunlike my own. This horse had all the strength of the horses of\nNormandy, all the lightness, grace, and subtlety of the horses of\nBarbary, all the conscious value of the horses that race for rich\nmen, all the humour of old horses that have seen the world and will\nbe disturbed by nothing, and all the valour of young horses who have\ntheir troubles before them, and race round in paddocks attempting to\ndefeat the passing trains. I say all these things were in the horse,\nand expressed by various movements of his body, but the list of\nthese qualities is but a hint of the way in which he bore himself;\nfor it was quite clearly apparent as I came nearer and nearer to\nthis strange pair that the horse before me was very different (as\nperhaps was the man) from the beings that inhabit this island.\n\nWhile he was different in all qualities that I have mentioned--or\nrather in their combination--he also differed physically from most\nhorses that we know, in this, that from his sides and clapt along\nthem in repose was growing a pair of very fine sedate and noble\nwings. So habited, with such an expression and with such gestures of\nhis limbs, he browsed upon the grass of Berkshire, which, if you\nexcept the grass of Sussex and the grass perhaps of Hampshire, is\nthe sweetest grass in the world. I speak of the chalk-grass; as for\nthe grass of the valleys, I would not eat it in a salad, let alone\ngive it to a beast.\n\nThe man who was the companion rather than the master of this\ncharming animal sat upon a lump of turf singing gently to himself\nand looking over the plain of Central England, the plain of the\nUpper Thames, which men may see from these hills. He looked at it\nwith a mixture of curiosity, of memory, and of desire which was very\ninteresting but also a little pathetic to watch. And as he looked at\nit he went on crooning his little song until he saw me, when with\ngreat courtesy he ceased and asked me in the English language\nwhether I did not desire companionship.\n\nI answered him that certainly I did, though not more than was\ncommonly the case with me, for I told him that I had had\ncompanionship in several towns and inns during the past few days,\nand that I had had but a few hours' bout of silence and of\nloneliness.\n\n\"Which period,\" I added, \"is not more than sufficient for a man of\nmy years, though I confess that in early youth I should have found\nit intolerable.\"\n\nWhen I had said this he nodded gravely, and I in my turn began to\nwonder of what age he might be, for his eyes and his whole manner\nwere young, but there was a certain knowledge and gravity in his\nexpression and in the posture of his body which in another might\nhave betrayed middle age. He wore no hat, but a great quantity of\nhis own hair, which was blown about by the light summer wind upon\nthese heights. As he did not reply to me, I asked him a further\nquestion, and said:\n\n\"I see you are gazing upon the plain. Have you interests or memories\nin that view? I ask you without compunction so delicate a question\nbecause it is as open to you to lie as it was to me when I lied to\nthem only yesterday morning, a little beyond Wayland's Cave, telling\nthem that I had come to make sure of the spot where St. George\nconquered the Dragon, though, in truth, I had come for no such\npurpose, and telling them that my name was so-and-so, whereas it was\nnothing of the kind.\"\n\nHe brightened up at this, and said: \"You are quite right in telling\nme that I am free to lie if I choose, and I would be very happy to\nlie to you if there were any purpose in so doing, but there is none.\nI gaze upon this plain with the memories that are common to all men\nwhen they gaze upon a landscape in which they have had a part in the\nyears recently gone by. That is, the plain fills me with a sort of\nlonging, and yet I cannot say that the plain has treated me\nunjustly. I have no complaint against it. God bless the plain!\"\nAfter thinking a few moments, he added: \"I am fond of Wantage;\nWallingford has done me no harm; Oxford gave me many companions; I\nwas not drowned at Dorchester beyond the Little Hills; and the best\nof men gave me a true farewell in Faringdon yonder. Moreover, Cumnor\nis my friend. Nevertheless, I like to indulge in a sort of sadness\nwhen I look over this plain.\"\n\nI then asked him whither he would go next.\n\nHe answered: \"My horse flies, and I am therefore not bound to any\nparticular track or goal, especially in these light airs of summer\nwhen all the heaven is open to me.\"\n\nAs he said this I looked at his mount and noticed that when he shook\nhis skin as horses will do in the hot weather to rid themselves of\nflies, he also passed a little tremor through his wings, which were\nlarge and goose-grey, and, spreading gently under that effort,\nseemed to give him coolness.\n\n\"You have,\" said I, \"a remarkable horse.\"\n\nAt this word he brightened up as men do when something is spoken of\nthat interests them nearly, and he answered: \"Indeed, I have! and I\nam very glad you like him. There is no such other horse to my\nknowledge in England, though I have heard that some still linger in\nIreland and in France, and that a few foals of the breed have been\ndropped of late years in Italy, but I have not seen them.\n\n\"How did you come by this horse?\" said I; \"if it is not trespassing\nupon your courtesy to ask you so delicate a question.\"\n\n\"Not at all; not at all,\" he answered. \"This kind of horse runs wild\nupon the heaths of morning and can be caught only by Exiles: and I\nam one.... Moreover, if you had come three or four years later than\nyou have I should have been able to give you an answer in rhyme, but\nI am sorry to say that a pestilent stricture of the imagination, or\nrather, of the compositive faculty so constrains me that I have not\nyet finished the poem I have been writing with regard to the\ndiscovery and service of this beast.\"\n\n\"I have great sympathy with you,\" I answered, \"I have been at the\nballade of Val-\u00e8s-Dunes since the year 1897 and I have not yet\ncompleted it.\"\n\n\"Well, then,\" he said, \"you will be patient with me when I tell you\nthat I have but three verses completed.\" Whereupon without further\ninvitation he sang in a loud and clear voice the following verse:\n\n  _It's ten years ago to-day you turned me out of doors\n  To cut my feet on flinty lands and stumble down the shores.\n  And I thought about the all in all ..._\n\n\"The '_all in all_,'\" I said, \"is weak.\"\n\nHe was immensely pleased with this, and, standing up, seized me by\nthe hand. \"I know you now,\" he said, \"for a man who does indeed\nwrite verse. I have done everything I could with those three\nsyllables, and by the grace of Heaven I shall get them right in\ntime. Anyhow, they are the stop-gap of the moment, and with your\nleave I shall reserve them, for I do not wish to put words like\n'tumty tum' into the middle of my verse.\"\n\nI bowed to him, and he proceeded:\n\n  _And I thought about the all in all, and more than I could tell;\n  But I caught a horse to ride upon and rode him very well.\n  He had flame behind the eyes of him and wings upon his side--\n       And I ride; and I ride!_\n\n\"Of how many verses do you intend this metrical composition to be?\"\nsaid I, with great interest.\n\n\"I have sketched out thirteen,\" said he firmly, \"but I confess that\nthe next ten are so embryonic in this year 1907 that I cannot sing\nthem in public.\" He hesitated a moment, then added: \"They have many\nfine single lines, but there is as yet no composition or unity about\nthem.\" And as he recited the words \"composition\" and \"unity\" he\nwaved his hand about like a man sketching a cartoon.\n\n\"Give me, then,\" said I, \"at any rate the last two.\" For I had\nrapidly calculated how many would remain of his scheme.\n\nHe was indeed pleased to be so challenged, and continued to sing:\n\n  _And once atop of Lambourne Down, towards the hill of Clere,\n  I saw the host of Heaven in rank and Michael with his spear\n  And Turpin, out of Gascony, and Charlemagne the lord,\n  And Roland of the Marches with his hand upon his sword\n  For fear he should have need of it;--and forty more beside!\n       And I ride; and I ride!\n  For you that took the all in all..._\n\n\"That again is weak,\" I murmured.\n\n\"You are quite right,\" he said gravely, \"I will rub it out.\" Then he\nwent on:\n\n  _For you that took the all in all, the things you left were\n       three:\n  A loud Voice for singing, and keen Eyes to see,\n  And a spouting Well of Joy within that never yet was dried!\n       And I ride!_\n\nHe sang this last in so fierce and so exultant a manner that I was\nimpressed more than I cared to say, but not more than I cared to\nshow. As for him, he cared little whether I was impressed or not; he\nwas exalted and detached from the world.\n\nThere were no stirrups upon the beast. He vaulted upon it, and said\nas he did so:\n\n\"You have put me into the mood, and I must get away!\"\n\nAnd though the words were abrupt, he _did_ speak them with such\na grace that I will always remember them!\n\nHe then touched the flanks of his horse with his heels (on which\nthere were no spurs) and at once beating the air powerfully twice or\nthrice with its wings it spurned the turf of Berkshire and made out\nsouthward and upward into the sunlit air, a pleasing and a glorious\nsight.\n\nIn a very little while they had dwindled to a point of light and\nwere soon mixed with the sky. But I went on more lonely along the\ncrest of the hills, very human, riding my horse Monster, a mortal\nhorse--I had almost written a human horse. My mind was full of\nsilence.\n\nSome of those to whom I have related this adventure criticise it by\nthe method of questions and of cross-examination proving that it\ncould not have happened precisely where it did; showing that I left\nthe vale so late in the afternoon that I could not have found this\nman and his mount at the hour I say I did, and making all manner of\ncomments upon the exact way in which the feathers (which they say\nare those of a bird) grew out of the hide of the horse, and so\nforth. There are no witnesses of the matter, and I go lonely, for\nmany people will not believe, and those who do believe believe too\nmuch.\n\n\n\n\nON A MAN AND HIS BURDEN\n\n\nOnce there was a Man who lived in a House at the Corner of a Wood\nwith an excellent landscape upon every side, a village about one\nmile off, and a pleasant stream flowing over chalk and full of\ntrout, for which he used to fish.\n\nThis man was perfectly happy for some little time, fishing for the\ntrout, contemplating the shapes of clouds in the sky, and singing\nall the songs he could remember in turn under the high wood, till\none day he found, to his annoyance, that there was strapped to his\nback a Burden.\n\nHowever, he was by nature of a merry mood, and began thinking of all\nthe things he had read about Burdens. He remembered an uncle of his\ncalled Jonas (ridiculous name) who had pointed out that Burdens,\nespecially if borne in youth, strengthen the upper deltoid muscle,\nexpand the chest, and give to the whole figure an erect and graceful\npoise. He remembered also reading in a book upon \"Country Sports\"\nthat the bearing of heavy weights is an excellent training for all\nother forms of exercise, and produces a manly and resolute carriage,\nvery useful in golf, cricket and Colonial wars. He could not forget\nhis mother's frequent remark that a Burden nobly endured gave\nfirmness, and at the same time elasticity, to the character, and\naltogether he went about his way taking it as kindly as he could;\nbut I will not deny that it annoyed him.\n\nIn a few days he discovered that during sleep, when he lay down, the\nBurden annoyed him somewhat less than at other times, though the\nmemory of it never completely left him. He would therefore sleep for\na very considerable number of hours every day, sometimes retiring to\nrest as early as nine o'clock, nor rising till noon of the next day.\nHe discovered also that rapid and loud conversation, adventure,\nwine, beer, the theatre, cards, travel, and so forth made him forget\nhis Burden for the time being, and he indulged himself perhaps to\nexcess in all these things. But when the memory of his Burden would\nreturn to him after each indulgence, whether working in his garden,\nor fishing for trout, or on a lonely walk, he began reluctantly to\nadmit that, on the whole, he felt uncertainty and doubt as to\nwhether the Burden was really good for him.\n\nIn this unpleasing attitude of mind he had the good fortune one day\nto meet with an excellent Divine who inhabited a neighbouring\nparish, and was possessed of no less a sum than \u00a329,000. This\nEcclesiastic, seeing his whilom jocund Face fretted with the Marks\nof Care, put a hand gently upon his shoulder and said:\n\n\"My young friend, I easily perceive that you are put out by this\nBurden which you bear upon your shoulders. I am indeed surprised\nthat one so intelligent should take such a matter so ill. What! Do\nyou not know that burdens are the common lot of humanity? I myself,\nthough you may little suspect it, bear a burden far heavier than\nyours, though, true, it is invisible, and not strapped on to my\nshoulders by gross material thongs of leather, as is yours. The\nworthy Squire of our parish bears one too; and with what manliness!\nwhat ease! what abnegation! Believe me, these other Burdens of which\nyou never hear, and which no man can perceive, are for that very\nreason the heaviest and the most trying. Come, play the man! Little\nby little you will find that the patient sustenance of this Burden\nwill make you something greater, stronger, nobler than you were, and\nyou will notice as you grow older that those who are most favoured\nby the Unseen bear the heaviest of such impediments.\"\n\nWith these last words recited in a solemn, and, as it were, an\ninspired voice, the Hierarch lifted an immense stone from the\nroadway, and placing it on the top of the Burden, so as considerably\nto add to its weight, went on his way.\n\nThe irritation of the Man was already considerable when his family\ncalled upon him--his mother, that is, his younger sister, his cousin\nJane, and her husband--and after they had eaten some of his food and\ndrunk some of his beer they all sat out in the garden with him and\ntalked to him somewhat in this manner:\n\n\"We really cannot pity you much, for ever since you were a child\nwhatever evil has happened to you has been your own doing, and\nprobably this is no different from the rest.... What can have\npossessed you to get putting upon your back an ugly, useless, and\ndangerous great Burden! You have no idea how utterly out of fashion\nyou seem, stumbling about the roads like a clodhopper, and going up\nand downstairs as though you were on the treadmill.... For the\nLord's sake, at least have the decency to stay at home and not to\ndisgrace the family with your miserable appearance!\"\n\nHaving said so much they rose, and adding to his burden a number of\nleaden weights they had brought with them, went on their way and\nleft him to his own thoughts.\n\nYou may well imagine that by this time the irritation of the Man had\ngone almost past bearing. He would quarrel with his best friends,\nand they, in revenge, would put something more on to the burden,\ntill he felt he would break down. It haunted his dreams and filled\nmost of his waking thoughts, and did all those things which burdens\nhave been discovered to do since the beginning of time, until at\nlast, though very reluctantly, he determined to be rid of it.\n\nUpon hearing of this resolution his friends and acquaintances raised\na most fearful hubbub; some talked of sending for the police, others\nof restraining him by force, and others again of putting him into an\nasylum, but he broke away from them all, and, making for the open\nroad, went out to see if he could not rid himself of this abominable\nstrain.\n\nOf himself he could not, for the Burden was so cunningly strapped on\nthat his hands could not reach it, and there was magic about it, and\na spell; but he thought somewhere there must be someone who could\ntell him how to cast it away.\n\nIn the very first ale-house he came to he discovered what is common\nto such places, namely, a batch of politicians, who laughed at him\nvery loudly for not knowing how to get rid of burdens. \"It is done,\"\nthey said, \"by the very simple method of paying one of us to get on\ntop and undo the straps.\" This the man said he would be very willing\nto do, whereat the politicians, having fought somewhat among\nthemselves for the money, desisted at last in favour of the most\nvulgar, who climbed on to the top of the man's burden, and remained\nthere, viewing the landscape and commenting in general terms upon\nthe nature of public affairs, and when the man complained a little,\nthe politician did but cuff him sharply on the side of the head to\nteach him better manners.\n\nYet a little further on he met with a Scientist, who told him in\nEnglish Greek a clear and simple method of getting rid of the\nburden, and, since the Man did not seem to understand, he lost his\ntemper, and said, \"Come, let me do it,\" and climbed up by the side\nof the Politician. Once there the Scientist confessed that the\nproblem was not so easy as he had imagined.\n\n\"But,\" said he, \"now that I am here, you may as well carry me, for\nit will be no great additional weight, and meanwhile I will spend\nmost of my time in trying to set you free.\"\n\nAnd the third man he met was a Philosopher with quiet eyes; a person\nwhose very gestures were profound. Taking by the hand the Man, now\nfevered and despairing, he looked at him with a mixture of\ncomprehension and charity, and he said:\n\n\"My poor fellow, your eyes are very wild and staring and bloodshot.\nHow little you understand the world!\" Then he smiled gently, and\nsaid, \"Will you never learn?\"\n\nAnd without another word he climbed up on the top of the burden and\nseated himself by the side of the other two.\n\nAfter this the man went mad.\n\nThe last time I saw him he was wandering down the road with his\nburden very much increased. He was bearing not only these original\nthree, but some Kings and Tax-gatherers and Schoolmasters, several\nFortune-tellers, and an Old Admiral. He was blind, and they were\ngoading him. But as he passed me he smiled and gibbered a little,\nand told me it was in the nature of things, and went on downward\nstumbling.\n\n_This Parable I think, as I re-read it, demands a KEY, lest it\nprove a stumbling-block to the muddle-headed and a perplexity to the\nfoolish. Here then is the KEY:_--\n\n_The_ MAN _is a_ MAN. _His_ BURDEN _is that Burden\nwhich men often feel themselves to be bearing as they advance from\nyouth to manhood. The_ RELATIVES _(his mother, his sister, his\ncousins, etc.) are a Man's_ RELATIVES _and the little weights\nthey add to the_ BURDEN _are the little additional weights a\nMan's_ RELATIVES _commonly add to his burden. The_ PARSON\n_represents a_ PARSON, _and the_ POLITICIAN, _the_\nPHILOSOPHER, _the_ SCIENTIST, _the_ KINGS, _the_ TAX-GATHERERS _and the_\nOLD ADMIRAL, _stand severally for an_ OLD ADMIRAL, TAX-GATHERERS,\nPOLITICIANS, PHILOSOPHERS, SCIENTISTS _and_ KINGS.\n\n_The_ POLITICIANS _who fight for the_ MONEY\n_represent_ POLITICIANS, _and the_ MONEY _they struggle\nfor is the_ MONEY _for which Politicians do ceaselessly jostle\nand barge one another. The_ MOST VULGAR _in whose favour the\nothers desist, represents the_ MOST VULGAR _who, among Politicians,\ninvariably obtains the largest share of whatever public money is going._\n\n_The_ MADNESS _of the Man at the end, stands for the_ MADNESS\n_which does as a fact often fall upon Men late in life if their\nBurdens are sufficiently increased._\n\n_I trust that with this Key the Parable will be clear to all._\n\n\n\n\nON A FISHERMAN AND THE QUEST OF PEACE\n\n\nIn that part of the Thames where the river begins to feel its life\nbefore it knows its name the counties play with it upon either side.\nIt is not yet a boundary. The parishes upon the northern bank are\nsometimes as truly Wiltshire as those to the south. The men upon the\nfarms that look at each other over the water are close neighbours;\nthey use the same words and the way they build their houses is the\nsame. Between them runs the beginning of the Thames.\n\nFrom the surface of the water the whole prospect is sky, bounded by\nreeds; but sitting up in one's canoe one sees between the reeds\ndistant hills to the southward, or, on the north, trees in groups,\nand now and then the roofs of a village; more often the lonely group\nof a steading with a church close by.\n\nFloating down this stream quite silently, but rather swiftly upon a\nsummer's day, I saw on the bank to my right a very pleasant man. He\nwas perhaps a hundred yards or two hundred ahead of me when I first\ncaught sight of him, and perceived that he was a clergyman of the\nChurch of England. He was fishing.\n\nHe was dressed in black, even his hat was black (though it was of\nstraw), but his collar was of such a kind as his ancestors had worn,\nturned down and surrounded by a soft white tie. His face was clear\nand ruddy, his eyes honest, his hair already grey, and he was gazing\nintently upon the float; for I will not conceal it that he was\nfishing in that ancient manner with a float shaped like a sea-buoy\nand stuck through with a quill. So fish the yeomen to this day in\nNorthern France and in Holland. Upon such immutable customs does an\nancient State repose, which, if they are disturbed, there is danger\nof its dissolution.\n\nAs I so looked at him and rapidly approached him I took care not to\ndisturb the water with my paddle, but to let the boat glide far from\nhis side, until in the pleasure of watching him, I got fast upon the\nfurther reeds. There she held and I, knowing that the effort of\ngetting her off would seriously stir the water, lay still. Nor did I\nspeak to him, though he pleased me so much, because a friend of mine\nin Lambourne had once told me that of all things in Nature what a\nfish most fears is the voice of a man.\n\nHe, however, first spoke to me in a sort of easy tone that could\nfrighten no fish. He said \"Hullo!\"\n\nI answered him in a very subdued voice, for I have no art where\nfishes are concerned, \"Hullo!\"\n\nThen he asked me, after a good long time, whether his watch was\nright, and as he asked me he pulled out his, which was a large,\nthick, golden watch, and looked at it with anxiety and dread. He\nasked me this, I think, because I must have had the look of a tired\nman fresh from the towns, and with the London time upon him, and yet\nI had been for weeks in no town larger than Cricklade: moreover, I\nhad no watch. Since, none the less, it is one's duty to uplift,\nsustain, and comfort all one's fellows I told him that his watch was\nbut half a minute fast, and he put it back with a greater content\nthan he had taken it out; and, indeed, anyone who blames me for what\nI did in so assuring him of the time should remember that I had\nother means than a watch for judging it. The sunlight was already\nfull of old kindness, the midges were active, the shadow of the\nreeds on the river was of a particular colour, the haze of a\nparticular warmth; no one who had passed many days and nights\ntogether sleeping out and living out under this rare summer could\nmistake the hour.\n\nIn a little while I asked him whether he had caught any fish. He\nsaid he had not actually caught any, but that he would have caught\nseveral but for accidents, which he explained to me in technical\nlanguage. Then he asked me in his turn where I was going to that\nevening. I said I had no object before me, that I would sleep when I\nfelt sleepy, and wake when I felt wakeful, and that I would so drift\ndown Thames till I came to anything unpleasant, when it was my\ndesign to leave my canoe at once, to tie it up to a post, and to go\noff to another place, \"for,\" I told him, \"I am here to think about\nPeace, and to see if She can be found.\" When I said this his face\nbecame moody, and, as though such portentous thoughts required\naction to balance them, he strained his line, lifted his float\nsmartly from the water (so that I saw the hook flying through the\nair with a quarter of a worm upon it), and brought it down far up\nthe stream. Then he let it go slowly down again as the water carried\nit, and instead of watching it with his steady and experienced eyes\nhe looked up at me and asked me if, as yet, I had come upon any clue\nto Peace, that I expected to find Her between Cricklade and Bablock\nHythe. I answered that I did not exactly expect to find Her, that I\nhad come out to think about Her, and to find out whether She could\nbe found. I told him that often and often as I wandered over the\nearth I had clearly seen Her, as once in Auvergne by Pont-Gibaud,\nonce in Terneuzen, several times in Hazlemere, Hampstead, Clapham,\nand other suburbs, and more often than I could tell in the Weald:\n\"but seeing Her,\" said I, \"is one thing and holding Her is another.\nI hardly propose to follow all Her ways, but I do propose to\nconsider Her nature until I know so much as to be able to discover\nHer at last whenever I have need, for I am convinced by this time\nthat nothing else is worth the effort of a man ... and I think I\nshall achieve my object somewhere between here and Bablock Hythe.\"\n\nHe told me without interest that there was nothing attractive in the\npursuit or in its realisation.\n\nI answered with equal promptitude that the whole of attraction was\nsummed up in it: that to nothing else did we move by nature, and to\nnothing else were we drawn but to Peace. I said that a completion\nand a fulfilment were vaguely demanded by a man even in very early\nyouth, that in manhood the desire for them became a passion and in\nearly middle age so overmastering and natural a necessity that all\nwho turned aside from it and attempted to forget it were justly\ndespised by their fellows and were some of them money-makers, some\nof them sybarites, but all of them perverted men, whose hard eyes,\nweak mouths, and fear of every trial sufficiently proved the curse\nthat was upon them. I told him as heatedly as one can speak lying\nback in a canoe to a man beyond a little river that he, being older\nthan I, should know that everything in a full man tended towards\nsome place where expression is permanent and secure; and then I told\nhim that since I had only seen such a place far off as it were, but\nnever lived in, I had set forth to see if I might think out the way\nto it, \"and I hope,\" I said, \"to finish the problem not so far down\nas Bablock Hythe, but nearer by, towards New Bridge or even higher,\nby Kelmscott.\"\n\nHe asked me, after a little space, during which he took off the\nremnant of the worm and replaced it by a large new one, whether when\nI said \"Peace\" I did not really mean \"Harmony.\"\n\nAt this phrase a suspicion rose in my mind; it seemed to me that I\nknew the school that had bred him, and that he and I should be\nacquainted. So I was appeased and told him I did not mean Harmony,\nfor Harmony suggested that we had to suit ourselves to the things\naround us or to get suited to them. I told him what I was after was\nno such German Business, but something which was Fruition and more\nthan Fruition--full power to create and at the same time to enjoy, a\nco-existence of new delight and of memory, of growth, and yet of\nforeknowledge and an increasing reverence that should be\nincreasingly upstanding, and high hatred as well as high love\njustified; for surely this Peace is not a lessening into which we\nsink, but an enlargement which we merit and into which we rise and\nenter--\"and this,\" I ended, \"I am determined to obtain before I get\nto Bablock Hythe.\"\n\nHe shook his head determinedly and said my quest was hopeless.\n\n\"Sir,\" said I, \"are you acquainted with the Use of Sarum?\"\n\n\"I have read it,\" he said, \"but I do not remember it well.\" Then,\nindeed, indeed I knew that he was of my own University and of my own\ncollege, and my heart warmed to him as I continued:\n\n\"It is in Latin; but, after all, that was the custom of the time.\"\n\n\"Latin,\" he answered, \"was in the Middle Ages a universal tongue.\"\n\n\"Do you know,\" said I, \"that passage which begins 'Illam Pacem----'?\"\n\nAt this moment the float, which I had almost forgotten but which he\nin the course of our speeches had more and more remembered, began to\nbob up and down violently, and, if I may so express myself, the\nPhilosopher in him was suddenly swamped by the Fisherman. He struck\nwith the zeal and accuracy of a conqueror; he did something\ndexterous with his rod, flourished the line and landed a\nmagnificent--ah! There the whole story fails, for what on earth was\nthe fish?\n\nHad it been a pike or a trout I could have told it, for I am well\nacquainted with both; but this fish was to me as a human being is to\na politician: this fish was to me unknown....\n\n\n\n\nON A HERMIT WHOM I KNEW\n\n\nIn a valley of the Apennines, a little before it was day, I went\ndown by the side of a torrent wondering where I should find repose;\nfor it was now some hours since I had given up all hope of\ndiscovering a place for proper human rest and for the passing of the\nnight, but at least I hoped to light upon a dry bed of sand under\nsome overhanging rock, or possibly of pine needles beneath closely\nwoven trees, where one might get sleep until the rising of the sun.\n\nAs I still trudged, half expectant and half careless, a man came up\nbehind me, walking quickly as do mountain men: for throughout the\nworld (I cannot tell why) I have noticed that the men of the\nmountains walk quickly and in a sprightly manner, arching the foot,\nand with a light and general gait as though the hills were waves and\nas though they were in thought springing upon the crests of them.\nThis is true of all mountaineers. They are but few.\n\nThis man, I say, came up behind me and asked me whether I were going\ntowards a certain town of which he gave me the name, but as I had\nnot so much as heard of this town I told him I knew nothing of it. I\nhad no map, for there was no good map of that district, and a bad\nmap is worse than none. I knew the names of no towns except the\nlarge towns on the coast. So I said to him:\n\n\"I cannot tell anything about this town, I am not making towards it.\nBut I desire to reach the sea coast, which I know to be many hours\naway, and I had hoped to sleep overnight under some roof or at least\nin some cavern, and to start with the early morning; but here I am,\nat the end of the night, without repose and wondering whether I can\ngo on.\"\n\nHe answered me:\n\n\"It is four hours to the sea coast, but before you reach it you will\nfind a lane branching to the right, and if you will go up it (for it\nclimbs the hill) you will find a hermitage. Now by the time you are\nthere the hermit will be risen.\"\n\n\"Will he be at his prayers?\" said I.\n\n\"He says no prayers to my knowledge,\" said my companion lightly;\n\"for he is not a hermit of that kind. Hermits are many and prayers\nare few. But you will find him bustling about, and he is a very\nhospitable man. Now as it so happens that the road to the sea coast\nbends here round along the foot of the hills, you will, in his\ncompany, perceive the port below you and the populace and the high\nroad, and yet you will be saving a good hour in distance of time,\nand will have ample rest before reaching your vessel, if it is a\nvessel indeed that you intend to take.\"\n\nWhen he had said these things I thanked him and gave him a bit of\nsausage and went along my way, for as he had walked faster than me\nbefore our meeting and while I was still in the dumps, so now I\nwalked faster than him, having received good news.\n\nAll happened just as he had described. The dawn broke behind me over\nthe noble but sedate peaks of the Apennines; it first defined the\nheights against the growing colours of the sun, it next produced a\ngeneral warmth and geniality in the air about me; it last displayed\nthe downward opening of the valley, and, very far off, a plain that\nsloped towards the sea.\n\nInvigorated by the new presence of the day I went forward more\nrapidly, and came at last to a place where a sculptured panel made\nout of marble, very clever and modern, and representing a mystery,\nmarked the division between two ways; and I took the lane to my\nright as my companion of the night hours had advised me.\n\nFor perhaps a mile or a little more the lane rose continually\nbetween rough walls intercepted by high banks of thorn, with here\nand there a vineyard, and as it rose one had between the breaches of\nthe wall glimpses of an ever-growing sea: for, as one rose, the sea\nbecame a broader and a broader belt, and the very distant islands,\nwhich at first had been but little clouds along the horizon, stood\nout and became parts of the landscape, and, as it were, framed all\nthe bay.\n\nThen at last, when I had come to the height of the hill, to where it\nturned a corner and ran level along the escarpment of the cliffs\nthat dominated the sea plain, I saw below me a considerable stretch\nof country, between the fall of the ground and the distant shore,\nand under the daylight which was now full and clear one could\nperceive that all this plain was packed with an intense cultivation,\nwith houses, happiness and men.\n\nFar off, a little to the northward, lay the mass of a town; and\nstretching out into the Mediterranean with a gesture of command and\nof desire were the new arms of the harbour.\n\nTo see such things filled me with a complete content. I know not\nwhether it be the effect of long vigil, or whether it be the effect\nof contrast between the darkness and the light, but certainly to\ncome out of a lonely night spent on the mountains, down with the\nsunlight into the civilisation of the plain, is, for any man that\ncares to undergo the suffering and the consolation, as good as any\nexperience that life affords. Hardly had I so conceived the view\nbefore me when I became aware, upon my right, of a sort of cavern,\nor rather a little and carefully minded shrine, from which a\ngreeting proceeded.\n\nI turned round and saw there a man of no great age and yet of a\nvenerable appearance. He was perhaps fifty-five years old, or\npossibly a little less, but he had let his grey-white hair grow\nlongish and his beard was very ample and fine. It was he that had\naddressed me. He sat dressed in a long gown in a modern and rather\nluxurious chair at a low long table of chestnut wood, on which he\nhad placed a few books, which I saw were in several languages and\ntwo of them not only in English, but having upon them the mark of an\nEnglish circulating library which did business in the great town at\nour feet. There was also upon the table a breakfast ready of white\nbread and honey, a large brown coffee-pot, two white cups, and some\ngoat's milk in a bowl of silver. This meal he asked me to share.\n\n\"It is my custom,\" he said, \"when I see a traveller coming up my\nmountain road to get out a cup and a plate for him, or, if it is\nmidday, a glass. At evening, however, no one ever comes.\"\n\n\"Why not?\" said I.\n\n\"Because,\" he answered, \"this lane goes but a few yards further\nround the edge of the cliff, and there it ends in a precipice; the\nlittle platform where we are is all but the end of the way. Indeed,\nI chose it upon that account, seeing, when I first came here, that\nfrom its height and isolation it was well fitted for my retreat.\"\n\nI asked him how long ago that was, and he said nearly twenty years.\nFor all that time, he added, he had lived there, going down into the\nplain but once or twice in a season and having for his rare\ncompanions those who brought him food and the peasants on such days\nas they toiled up to work at their plots towards the summit; also,\nfrom time to time, a chance traveller like myself. But these, he\nsaid, made but poor companions, for they were usually such as had\nmissed their way at the turning and arrived at that high place of\nhis out of breath and angry. I assured him that this was not my\ncase, for a man had told me in the night how to find his hermitage\nand I had come of set purpose to see him. At this he smiled.\n\nWe were now seated together at table eating and talking so, when I\nasked him whether he had a reputation for sanctity and whether the\npeople  brought him food. He answered with a little hesitation that\nhe had a reputation, he thought, for necromancy rather than anything\nelse, and that upon this account it was not always easy to persuade\na messenger to bring him the books in French and English which he\nordered from below, though these were innocent enough, being, as a\nrule, novels written by women or academicians, records of travel,\nthe classics of the Eighteenth Century, or the biographies of aged\nstatesmen.  As for food, the people of the place did indeed bring it\nto him, but not, as in an idyll, for courtesy; contrariwise, they\ndemanded heavy payment, and his chief difficulty was with bread;\nfor stale bread was intolerable to him. In the matter of religion he\nwould not say that he had none, but rather that he had several\nreligions; only at this season of the year, when everything was\nfresh, pleasant and entertaining, he did not make use of any of\nthem, but laid them all aside. As this last saying of his had no\nmeaning for me I turned to another matter and said to him:\n\n\"In any solitude contemplation is the chief business of the soul.\nHow, then, do you, who say you practise no rites, fill up your\nloneliness here?\"\n\nIn answer to this question he became more animated, spoke with a\nsort of laugh in his voice, and seemed as though he were young again\nand as though my question had aroused a whole lifetime of good\nmemories.\n\n\"My contemplation,\" he said, not without large gestures, \"is this\nwide and prosperous plain below: the great city with its harbour and\nceaseless traffic of ships, the roads, the houses building, the\nfields yielding every year to husbandry, the perpetual activities of\nmen. I watch my kind and I glory in them, too far off to be\ndisturbed by the friction of individuals, yet near enough to have a\ndaily companionship in the spectacle of so much life. The mornings,\nwhen they are all at labour, I am inspired by their energy; in the\nnoons and afternoons I feel a part of their patient and vigorous\nendurance; and when the sun broadens near the rim of the sea at\nevening, and all work ceases, I am filled with their repose. The\nlights along the harbour front in the twilight and on into the\ndarkness remind me of them when I can no longer see their crowds and\nmovements, and so does the music which they love to play in their\nrecreation after the fatigues of the day, and the distant songs\nwhich they sing far into the night.\n\n\"I was about thirty years of age, and had seen (in a career of\ndiplomacy) many places and men; I had a fortune quite insufficient\nfor a life among my equals. My youth had been, therefore, anxious,\nhumiliated, and worn when, upon a feverish and unhappy holiday taken\nfrom the capital of this State, I came by accident to the cave and\nplatform which you see. It was one of those days in which the air\nexhales revelation, and I clearly saw that happiness inhabited the\nmountain corner. I determined to remain for ever in so rare a\ncompanionship, and from that day she has never abandoned me. For a\nlittle while I kept a touch with the world by purchasing those\nnewspapers in which I was reported shot by brigands or devoured by\nwild beasts, but the amusement soon wearied me, and now I have\nforgotten the very names of my companions.\"\n\nWe were silent then until I said: \"But some day you will die here\nall alone.\"\n\n\"And why not?\" he answered calmly. \"It will be a nuisance for those\nwho find me, but I shall be indifferent altogether.\"\n\n\"That is blasphemy,\" says I.\n\n\"So says the priest of St. Anthony,\" he immediately replied--but\nwhether as a reproach, an argument, or a mere commentary I could not\ndiscover.\n\nIn a little while he advised me to go down to the plain before the\nheat should incommode my journey. I left him, therefore, reading a\nbook of Jane Austen's, and I have never seen him since.\n\nOf the many strange men I have met in my travels he was one of the\nmost strange and not the least fortunate. Every word I have written\nabout him is true.\n\n\n\n\nOF AN UNKNOWN COUNTRY\n\n\nTen years ago, I think, or perhaps a little less or perhaps a little\nmore, I came in the Euston Road--that thoroughfare of Empire--upon a\nyoung man a little younger than myself whom I knew, though I did not\nknow him very well. It was drizzling and the second-hand booksellers\n(who are rare in this thoroughfare) were beginning to put out the\nwaterproof covers over their wares. This disturbed my acquaintance,\nbecause he was engaged upon buying a cheap book that should really\nsatisfy him.\n\nNow this was difficult, for he had no hobby, and the book which\nshould satisfy him must be one that should describe or summon up,\nor, it is better to say, hint at--or, the theologians would say,\nreveal, or the Platonists would say _recall_--the Unknown Country,\nwhich he thought was his very home.\n\nI had known his habit of seeking such books for two years, and had\nhalf wondered at it and half sympathised. It was an appetite partly\nsatisfied by almost any work that brought to him the vision of a\nplace in the mind which he had always intensely desired, but to\nwhich, as he had then long guessed, and as he is now quite certain,\nno human paths directly lead. He would buy with avidity travels to\nthe moon and to the planets, from the most worthless to the best. He\nloved Utopias and did not disregard even so prosaic a category as\nbooks of real travel, so long as by exaggeration or by a glamour in\nthe style they gave him a full draught of that drug which he\ndesired. Whether this satisfaction the young man sought was a\nsatisfaction in illusion (I have used the word \"drug\" with\nhesitation), or whether it was, as he persistently maintained, the\nsatisfaction of a memory, or whether it was, as I am often tempted\nto think, the satisfaction of a thirst which will ultimately be\nquenched in every human soul I cannot tell. Whatever it was, he\nsought it with more than the appetite with which a hungry man seeks\nfood. He sought it with something that was not hunger but passion.\n\nThat evening he found a book.\n\nIt is well known that men purchase with difficulty second-hand books\nupon the stalls, and that in some mysterious way the sellers of\nthese books are content to provide a kind of library for the poorer\nand more eager of the public, and a library admirable in this, that\nit is accessible upon every shelf and exposes a man to no control,\nexcept that he must not steal, and even in this it is nothing but\nthe force of public law that interferes. My friend therefore would\nin the natural course of things have dipped into the book and left\nit there; but a better luck persuaded him. Whether it was the\nbeginning of the rain or a sudden loneliness in such terrible\nweather and in such a terrible town, compelling him to seek a more\npermanent companionship with another mind, or whether it was my\nsudden arrival and shame lest his poverty should appear in his\nrefusing to buy the book--whatever it was, he bought that same. And\nsince he bought the Book I also have known it and have found in it,\nas he did, the most complete expression that I know of the Unknown\nCountry, of which he was a citizen--oddly a citizen, as I then\nthought, wisely as I now conceive.\n\nAll that can best be expressed in words should be expressed in\nverse, but verse is a slow thing to create; nay, it is not really\ncreated: it is a secretion of the mind, it is a pearl that gathers\nround some irritant and slowly expresses the very essence of beauty\nand of desire that has lain long, potential and unexpressed, in the\nmind of the man who secretes it. God knows that this Unknown Country\nhas been hit off in verse a hundred times. If I were perfectly sure\nof my accents I would quote two lines from the Odyssey in which the\nUnknown Country stands out as clear as does a sudden vision from a\nmountain ridge when the mist lifts after a long climb and one sees\nbeneath one an unexpected and glorious land; such a vision as greets\na man when he comes over the Saldeu into the simple and secluded\nRepublic of the Andorrans. Then, again, the Germans in their idioms\nhave flashed it out, I am assured, for I remember a woman telling me\nthat there was a song by Schiller which exactly gave the revelation\nof which I speak. In English, thank Heaven, emotion of this kind,\nemotion necessary to the life of the soul, is very abundantly\nfurnished. As, who does not know the lines:\n\n  Blessed with that which is not in the word\n  Of man nor his conception: Blessed Land!\n\nThen there is also the whole group of glimpses which Shakespeare\namused himself by scattering as might a man who had a great oak\nchest full of jewels and who now and then, out of kindly fun, poured\nout a handful and gave them to his guests. I quote from memory, but\nI think certain of the lines run more or less like this:\n\n  Look how the dawn in russet mantle clad\n  Stands on the steep of yon high eastern hill.\n\nAnd again:\n\n  Night's candles are burnt out, and jocund day\n  Stands tiptoe on the misty mountain tops.\n\nWhich moves me to digress.... How on earth did any living man pull\nit off as well as that? I remember arguing with a man who very\ngenuinely thought the talent of Shakespeare was exaggerated in\npublic opinion, and discovering at the end of a long wrangle that he\nwas not considering Shakespeare as a poet. But as a poet, then, how\non earth did he manage it?\n\nKeats did it continually, especially in the _Hyperion_. Milton\ndoes it so well in the Fourth Book of _Paradise Lost_ that I\ndefy any man of a sane understanding to read the whole of that book\nbefore going to bed and not to wake up next morning as though he had\nbeen on a journey. William Morris does it, especially in the verses\nabout a prayer over the corn; and as for Virgil, the poet Virgil, he\ndoes it continually like a man whose very trade it is. Who does not\nremember the swimmer who saw Italy from the top of the wave?\n\nHere also let me digress. How do the poets do it? (I do not mean\nwhere do they get their power, as I was asking just now of\nShakespeare, but how do the words, simple or complex, produce that\neffect?) Very often there is not any adjective, sometimes not any\nqualification at all: often only one subject with its predicate and\nits statement and its object. There is never any detail of\ndescription, but the scene rises, more vivid in colour, more exact\nin outline, more wonderful in influence, than anything we can see\nwith our eyes, except perhaps those things we see in the few moments\nof intense emotion which come to us, we know not whence, and expand\nout into completion and into manhood.\n\nCatullus does it. He does it so powerfully in the opening lines of\n\n_Vesper adest_ ...\n\nthat a man reads the first couplet of that Hymeneal, and immediately\nperceives the Apennines.\n\nThe nameless translator of the Highland song does it, especially\nwhen he advances that battering line--\n\n  And we in dreams behold the Hebrides.\n\nThey all do it, bless their hearts, the poets, which leads me back\nagain to the mournful reflection that it cannot be done in prose....\n\nLittle friends, my readers, I wish it could be done in prose, for if\nit could, and if I knew how to do it, I would here present to you\nthat Unknown Country in such a fashion that every landscape which\nyou should see henceforth would be transformed, by the appearing\nthrough it, the shining and uplifting through it, of the Unknown\nCountry upon which reposes this tedious and repetitive world.\n\nNow you may say to me that prose can do it, and you may quote to me\nthe end of the _Pilgrim's Progress_, a very remarkable piece of\nwriting. Or, better still, as we shall be more agreed upon it, the\ngeneral impression left upon the mind by the book which set me\nwriting--Mr. Hudson's _Crystal Age_. I do not deny that prose\ncan do it, but when it does it, it is hardly to be called prose, for\nit is inspired. Note carefully the passages in which the trick is\nworked in prose (for instance, in the story of Ruth in the Bible,\nwhere it is done with complete success), you will perceive an\nincantation and a spell. Indeed this same episode of Ruth in exile\nhas inspired two splendid passages of European verse, of which it is\ndifficult to say which is the more national, and therefore the\ngreatest, Victor Hugo's in the _Legende des Siecles_ or Keats's\nastounding four lines.\n\nThere was a shepherd the other day up at Findon Fair who had come\nfrom the east by Lewes with sheep, and who had in his eyes that\nreminiscence of horizons which makes the eyes of shepherds and of\nmountaineers different from the eyes of other men. He was occupied\nwhen I came upon him in pulling Mr. Fulton's sheep by one hind leg\nso that they should go the way they were desired to go. It happened\nthat day that Mr. Fulton's sheep were not sold, and the shepherd\nwent driving them back through Findon Village, and up on to the high\nDowns. I went with him to hear what he had to say, for shepherds\ntalk quite differently from other men. And when we came on to the\nshoulder of Chanctonbury and looked down upon the Weald, which\nstretched out like the Plains of Heaven, he said to me: \"I never\ncome here but it seems like a different place down below, and as\nthough it were not the place where I have gone afoot with sheep\nunder the hills. It seems different when you are looking down at\nit.\" He added that he had never known why. Then I knew that he, like\nmyself, was perpetually in perception of the Unknown Country, and I\nwas very pleased. But we did not say anything more to each other\nabout it until we got down into Steyning. There we drank together\nand we still said nothing more about it, so that to this day all we\nknow of the matter is what we knew when we started, and what you\nknew when I began to write this, and what you are now no further\ninformed upon, namely, that there is an Unknown Country lying\nbeneath the places that we know, and appearing only in moments of\nrevelation.\n\nWhether we shall reach this country at last or whether we shall not,\nit is impossible to determine.\n\n\n\n\nON A FAERY CASTLE\n\n\nA woman whose presence in English letters will continue to increase\nwrote of a cause to which she had dedicated her life that it was\nlike that Faery Castle of which men became aware when they wandered\nupon a certain moor. In that deserted place (the picture was taken\nfrom the writings of Sir Walter Scott) the lonely traveller heard\nabove him a noise of bugles in the air, and thus a Faery Castle was\nrevealed; but again, when the traveller would reach it, a doom comes\nupon him, and in the act of its attainment it vanishes away.\n\nWe are northern, full of dreams in the darkness; this Castle is\ncaught in glimpses, a misty thing. It is seen a moment--then it\nmixes once again with the mist of our northern air, and when that\nmist has lifted from the heath there is nothing before the watcher\nbut a bare upland open to the wind and roofed only by hurrying\ncloud. Yet in the moment of revelation most certainly the traveller\nperceived it, and the call of its bugle-guard was very clear. He\ncontinues his way perceiving only the things he knows--trees bent by\nthe gale, rude heather, the gravel of the path, and mountains all\naround. In that landscape he has no companion; yet he cannot but be\nhaunted, as he goes, by towers upon which he surely looked, and by\nthe sharp memory of bugle-notes that still seem to startle his\nhearing.\n\nIn our legends of Western Europe this Castle perpetually returns. It\nhas been seen not only on the highlands of Ireland, of Wales, of\nBrittany, of the Asturias, of Normandy, and of Auvergne, but in the\nplains also, and on those river meadows where wealth comes so fast\nthat even simple men early forget the visions of the hills. The\nimagination, or rather the speech, of our race has created or\nrecognised throughout our territory this stronghold which was not\naltogether of the world.\n\nQueen Iseult, as she sat with Tristan in a Castle Garden, towards\nthe end of a summer night, whispered to him: \"Tristan, they say that\nthis Castle is Fa\u00ebry; it is revealed at the sound of a Trumpet, but\npresently it vanishes away,\" and as she said it the bugles rang\ndawn.\n\nRaymond of Saragossa saw this Castle, also, as he came down from the\nwooded hills after he had found the water of life and was bearing it\ntowards the plain. He saw the towers quite clearly and also thought\nhe heard the call upon that downward road at whose end he was to\nmeet with Bramimonde. But he saw it thence only, in the exaltation\nof the summits as he looked over the falling forest to the plain and\nthe Sierra miles beyond. He saw it thence only. Never after upon\neither bank of Ebro could he come upon it, nor could any man assure\nhim of the way.\n\nIn the Story of Val-es-Dunes, Hugh the Fortinbras out of the\nCotentin had a castle of this kind. For when, after the battle, they\ncount the dead, the Priest finds in the sea-grass among other bodies\nthat of this old Lord....\n\n  ... and Hugh that trusted in his glass,\n      But rode not home the day;\n  Whose title was the Fortinbras\n      With the Lords of his Array.\n\nThis was that old Hugh the Fortinbras who had been Lord to the\nPriest's father, so that when the battle was engaged the Priest\nwatched him from the opposing rank, and saw him fall, far off, just\nas the line broke and before the men of the Caux country had room to\ncharge. It was easy to see him, for he rode a high horse and was\ntaller than other Normans, and when his horse was wounded....\n\n  ... The girth severed and the saddle swung\n      And he went down;\n  He never more sang winter songs\n      In his High Town.\n\n  In his High Town that Faery is\n      And stands on Harcourt Lea;\n  To summon him up his arrier-ban\n  His writ beyond the mountain ran.\n  My father was his serving-man;\n      Although the farm was free.\n  Before the angry wars began\n      He was a friend to me!\n\n  In his High Town that Faery is\n      And stands on Harcourt bay;\n  The Fisher driving through the night\n      Makes harbour by that castle height\n      And moors him till the day:\n  But with the broadening of the light\n      It vanishes away.\n\nSo the Faery Castle comes in by an illusion in the Ballad of the\nBattle of Val-es-Dunes.\n\n       *       *       *       *       *\n\nWhat is this vision which our race has so symbolised or so seen and\nto which are thus attached its oldest memories? It is the miraculous\nmoment of intense emotion in which whether we are duped or\ntransfigured we are in touch with a reality firmer than the reality\nof this world. The Faery Castle is the counterpart and the example\nof those glimpses which every man has enjoyed, especially in youth,\nand which no man even in the dust of middle age can quite forget. In\nthese were found a complete harmony and satisfaction which were not\nnegative nor dependent upon the absence of discord--such completion\nas criticism may conceive--but as positive as colour or as music,\nand clothed as it were in a living body of joy.\n\nThe vision may be unreal or real, in either case it is valid: if it\nis unreal it is a symbol of the world behind the world. But it is no\nless a symbol; even if it is unreal it is a sudden seeing of the\nplace to which our faces are set during this unbroken marching of\nyears.\n\nOnce on the Sacramento River a little before sunrise I looked\neastward from a boat and saw along the dawn the black edge of the\nSierras. The peaks were as sharp as are the Malvern from the\nCotswold, though they were days and days away. They made a broad\njagged band intensely black against the glow of the sky. I drew them\nso. A tiny corner of the sun appeared between two central peaks:--at\nonce the whole range was suffused with glory. The sun was wholly\nrisen and the mountains had completely disappeared,--in the place\nwhere they had been was the sky of the horizon.\n\nAt another time, also in a boat, I saw beyond a spit of the Tunisian\ncoast, as it seemed a flat island. Through the heat, with which the\nair trembled, was a low gleam of sand, a palm or two, and, less\ncertainly, the flats and domes of a white native village. Our\ncourse, which was to round the point, went straight for this island,\nand, as we approached, it became first doubtful, then flickering,\nthen a play of light upon the waves. It was a mirage, and it had\nmelted into the air.\n\n       *       *       *       *       *\n\nThere is a part of us, as all the world knows, which is immixed with\nchange and by change only can live. There is another part which lies\nbehind motion and time, and that part is ourselves. This diviner\npart has surely a stronghold which is also an inheritance. It has a\nhome which perhaps it remembers and which certainly it conceives at\nrare moments during our path over the moor.\n\nThis is that Fa\u00ebry Castle. It is revealed at the sound of a trumpet;\nwe turn our eyes, we glance and we perceive it; we strain to reach\nit--in the very effort of our going the doom of human labour falls\nupon us and it vanishes away.\n\nIt is real or unreal. It is unreal like that island which I thought\nto see some miles from Africa, but which was not truly there: for\nthe ship when it came to the place that island had occupied sailed\neasily over an empty sea. It is real, like those high Sierras which\nI drew from the Sacramento River at the turn of the night and which\nwere suddenly obliterated by the rising sun.\n\nWhere the vision is but mirage, even there it is a symbol of our\ngoal; where it stands fast and true, for however brief a moment, it\ncan illumine, and should determine the whole of our lives. For such\nsights are the manifestation of that glory which lies permanent\nbeyond the changing of the world. Of such a sort are the young\npassionate intentions to relieve the burden of mankind, first love,\nthe mood created by certain strains of music, and--as I am willing\nto believe--the Walls of Heaven.\n\n\n\n\nON A SOUTHERN HARBOUR\n\n\nThe ship had sailed northward in an even manner and under a sky that\nwas full of stars, when the dawn broke and the full day quickly\nbroadened over the Mediterranean. With the advent of the light the\nsalt of the sea seemed stronger, and there certainly arose a new\nfreshness in the following air; but as yet no land appeared. Until\nat last, seated as I was alone in the fore part of the vessel, I\nclearly saw a small unchanging shape far off before me, peaked upon\nthe horizon and grey like a cloud. This I watched, wondering what\nits name might be, who lived upon it, or what its fame was; for it\nwas certainly land.\n\nI watched in this manner for some hours--perhaps for two--when the\nisland, now grown higher, was so near that I could see trees upon\nit; but they were set sparsely, as trees are on a dry land, and most\nof them seemed to be thorn trees.\n\nIt was at this moment that a man who had been singing to himself in\na low tone aft came up to me and told me that this island was called\nthe Island of Goats and that there were no men upon it to his\nknowledge, that it was a lonely place and worth little. But by this\ntime there had risen beyond the Island of Goats another and much\nlarger land.\n\nIt lay all along the north in a mountainous belt of blue, and any\nman coming to it for the first time or unacquainted with maps would\nhave said to himself: \"I have found a considerable place.\" And,\nindeed, the name of the island indicates this, for it is called\nMajorca, \"The Larger Land.\" Towards this, past the Island of Goats,\nand past the Strait, we continued to sail with a light breeze for\nhours, until at last we could see on this shore also sparse trees;\nbut most of them were olive trees, and they were relieved with the\ngreen of cultivation up the high mountain sides and with the white\nhouses of men.\n\nThe deck was now crowded with people, most of whom were coming back\nto their own country after an exile in Africa among un-Christian and\ndangerous things. The little children who had not yet known Europe,\nhaving been born beyond the sea, were full of wonder; but their\nparents, who knew the shortness of human life and its trouble, were\nhappy because they had come back at last and saw before them the\nknown jetties and the familiar hills of home. As I was surrounded by\nso much happiness, I myself felt as though I had come to the end of\na long journey and was reaching my own place, though I was, in\nreality, bound for Barcelona, and after that up northward through\nthe Cerdagne, and after that to Perigord, and after that to the\nChannel, and so to Sussex, where all journeys end.\n\nThe harbour had about it that Mediterranean-go-as-you-please which\neverywhere in the Mediterranean distinguishes harbours. It was as\nthough the men of that sea had said: \"It never blows for long: let\nus build ourselves a rough refuge and to-morrow sail away.\" We\nneared this harbour, but we flew no flag and made no signal. Beneath\nus the water was so clear that all one need have done to have\nbrought the vessel in if one had not known the channel would have\nbeen to lean over the side and to keep the boy at the helm off the\nvery evident shallows and the crusted rocks by gestures of one's\nhands, for the fairway was like a trench, deep and blue. So we slid\ninto Palma haven, and as we rounded the pier the light wind took us\nfirst abeam and then forward; then we let go and she swung up and\nwas still. They lowered the sails.\n\nThe people who were returning were so full of activity and joy that\nit was like a hive of bees; but I no longer felt this as I had felt\ntheir earlier and more subdued emotion, for the place was no longer\ndistant or mysterious as it had been when first its sons and\ndaughters had come up on deck to welcome it and had given me part of\ntheir delight. It was now an evident and noisy town; hot, violent,\nand strong. The houses had about them a certain splendour, the\ncitizens upon the quays a satisfied and prosperous look. Its\nstreets, where they ran down towards the sea, were charmingly clean\nand cared for, and the architecture of its wealthier mansions seemed\nto me at once unusual and beautiful, for I had not yet seen Spain.\nEach house, so far as I could make out from the water, was entered\nby a fine sculptured porch which gave into a cool courtyard with\narcades under it, and most of the larger houses had escutcheons\ncarved in stone upon their walls.\n\nBut what most pleased me and also seemed most strange was to see\nagainst the East a vast cathedral quite Northern in outline, except\nfor a severity and discipline of which the North is incapable save\nwhen it has steeped itself in the terseness of the classics.\n\nThis monument was far larger than anything in the town. It stood out\nseparate from the town and dominated it upon its seaward side,\nsomewhat as might an isolated hill, a shore fortress of rock. It was\nalmost bare of ornament; its stones were very carefully worked and\nclosely fitted, and little waves broke ceaselessly along the base of\nits rampart. Landwards, a mass of low houses which seemed to touch\nthe body of the building did but emphasise its height. When I had\nlanded I made at once for this cathedral, and with every step it\ngrew greater.\n\nWe who are of the North are accustomed to the enormous; we have\nunearthly sunsets and the clouds magnify our hills. The Southern men\nsee nothing but misproportion in what is enormous. They love to have\nthings in order, and violence in art is odious to them. This high\nand dreadful roof had not been raised under the influences of the\nisland; it had surely been designed just after the re-conquest from\nthe Mohammedans, when a turbulent army, not only of Gascons and\nCatalans, but of Normans also and of Frisians, and of Rhenish men,\nhad poured across the water and had stormed the sea-walls. On this\naccount the cathedral had about it in its sky-line and in its\nimmensity, and in the Gothic point of its windows, a Northern air.\nBut in its austerity and in its magnificence it was Spaniard.\n\nAs I passed the little porch of entry in the side wall I saw a man.\nHe was standing silent and alone; he was not blind and perhaps not\npoor, and as I passed he begged the charity not of money but of\nprayers. When I had entered the cool and darkness of the nave, his\nfigure still remained in my mind, and I could not forget it. I\nremembered the straw hat upon his head and the suit of blue canvas\nwhich he wore, and the rough staff of wood in his hand. I was\nespecially haunted by his expression, which was patient and masqued\nas though he were enduring a pain and chose to hide it.\n\nThe nave was empty. It was a great hollow that echoed and re-echoed;\nthere were no shrines and no lamps, and no men or women praying, and\ntherefore the figure at the door filled my mind more and more, until\nI went out and asked him if he was in need of money, of which at\nthat moment I had none. He answered that his need was not for money\nbut only for prayers.\n\n\"Why,\" said I, \"do you need prayers?\"\n\nHe said it was because his fate was upon him.\n\nI think he spoke the truth. He was standing erect and with dignity,\nhis eyes were not disturbed, and he repeatedly refused the alms of\npassers-by.\n\n\"No one\" said I, \"should yield to these moods.\"\n\nHe answered nothing, but looked pensive like a man gazing at a\nlandscape and remembering his life.\n\nBut it was now the hour when the ship was to be sailing again, and I\ncould not linger, though I wished very much to talk more with him. I\nbegged him to name a shrine where a gift might be of especial value\nto him. He said that he was attached to no one shrine more than to\nany other, and then I went away regretfully, remembering how\nearnestly he had asked for prayers.\n\nThis was in Palma of Majorca not two years ago. There are many such\nmen, but few who speak so humbly.\n\nWhen I had got aboard again the ship sailed out and rounded a\nlighthouse point and then made north to Barcelona. The night fell,\nand next morning there rose before us the winged figures that crown\nthe Custom House of that port and are an introduction to the glories\nof Spain.\n\n\n\n\nON A YOUNG MAN AND AN OLDER MAN\n\n\nA Young Man of my acquaintance having passed his twenty-eighth\nbirthday, and wrongly imagining this date to represent the Grand\nClimacteric, went by night in some perturbation to an Older Man and\nspoke to him as follows:\n\n\"Sir! I have intruded upon your leisure in order to ask your advice\nupon certain matters.\"\n\nThe Older Man, whose thoughts were at that moment intently set upon\nmoney, looked up in a startled way and attempted to excuse himself,\nsuffering as he did from the delusion that the Young Man was after a\nloan. But the Young Man, whose mind was miles away from all such\ntrifling things, continued to press him anxiously without so much as\nnoticing that he had perturbed his Senior.\n\n\"I have come, Sir,\" said he, \"to ask your opinion, advice,\nexperience, and guidance upon something very serious which has\nentered into my life, which is, briefly, that I feel myself to be\ngrowing old.\"\n\nUpon hearing this so comforting and so reasonable a statement the\nOlder Man heaved a profound sigh of relief and turning to him a\nmature and smiling visage (as also turning towards him his person\nand in so doing turning his Polished American Hickory Wood Office\nChair), answered with a peculiar refinement, but not without\nsadness, \"I shall be happy to be of any use I can\"; from which order\nand choice of words the reader might imagine that the Older Man was\nhimself a Colonial, like his chair. In this imagination the reader,\nshould he entertain it, would be deceived.\n\nThe Younger Man then proceeded, knotting his forehead and putting\ninto his eyes that troubled look which is proper to virtue and to\nyouth:\n\n\"Oh, Sir! I cannot tell you how things seem to be slipping from me!\nI smell less keenly and taste less keenly, I enjoy less keenly and\nsuffer less keenly than I did. Of many things which I certainly\ndesired I can only say that I now desire them in a more confused\nmanner. Of certain propositions in which I intensely believed I can\nonly say that I now see them interfered with and criticised\nperpetually, not, as was formerly the case, by my enemies, but by\nthe plain observance of life, and what is worse, I find growing in\nme a habit of reflection for reflection's sake, leading nowhere--and\na sort of sedentary attitude in which I watch but neither judge nor\nsupport nor attack any portion of mankind.\"\n\nThe Older Man, hearing this speech, congratulated his visitor upon\nhis terse and accurate methods of expression, detailed to him the\ncareers in which such habits of terminology are valuable, and also\nthose in which they are a fatal fault.\n\n\"Having heard you,\" he said, \"it is my advice to you, drawn from a\nlong experience of men, to enter the legal profession, and, having\nentered it, to supplement your income with writing occasional\narticles for the more dignified organs of the Press. But if this\nprospect does not attract you (and, indeed, there are many whom it\nhas repelled) I would offer you as an alternative that you should\nproduce slowly, at about the rate of one in every two years, short\nbooks compact of irony, yet having running through them like a\ntwisted thread up and down, emerging, hidden, and re-emerging in the\nstuff of your writing, a memory of those early certitudes and even\nof passion for those earlier revelations.\"\n\nWhen the Older Man had said this he sat silent for a few moments and\nthen added gravely, \"But I must warn you that for such a career you\nneed an accumulated capital of at least \u00a330,000.\"\n\nThe Young Man was not comforted by advice of this sort, and was\ndetermined to make a kind of war upon the doctrine which seemed to\nunderlie it. He said in effect that if he could not be restored to\nthe pristine condition which he felt to be slipping from him he\nwould as lief stop living.\n\nOn hearing this second statement the Older Man became extremely\ngrave.\n\n\"Young Man,\" said he, \"Young Man, consider well what you are saying!\nThe poet Shakespeare in his most remarkable effort, which, I need\nhardly tell you, is the tragedy of _Hamlet, or the Prince of\nDenmark,_ has remarked that the thousand doors of death stand\nopen. I may be misquoting the words, and if I am I do so boldly and\nwithout fear, for any fool with a book at his elbow can get the\nwords right and yet not understand their meaning. Let me assure you\nthat the doors of death are not so simply hinged, and that any\ndetermination to force them involves the destruction of much more\nthan these light though divine memories of which you speak; they\ninvolve, indeed, the destruction of the very soul which conceives\nthem. And let me assure you, not upon my own experience, but upon\nthat of those who have drowned themselves imperfectly, who have\nenlisted in really dangerous wars, or who have fired revolvers at\nthemselves in a twisted fashion with their right hands, that, quite\napart from that evil to the soul of which I speak, the evil to the\nmere body in such experiments is so considerable that a man would\nrather go to the dentist than experience them.... You will forgive\nme,\" he added earnestly, \"for speaking in this gay manner upon an\nimportant philosophical subject, but long hours of work at the\nearning of my living force me to some relaxation towards the end of\nthe day, and I cannot restrain a frivolous spirit even in the\ndiscussion of such fundamental things.... No, do not, as you put it,\n'stop living.' It hurts, and no one has the least conception of\nwhether it is a remedy. What is more, the life in front of you will\nprove, after a few years, as entertaining as the life which you are\nrapidly leaving.\"\n\nThe Young Man caught on to this last phrase, and said, \"What do you\nmean by 'entertaining'?\"\n\n\"I intend,\" said the Older Man, \"to keep my advice to you in the\nnote to which I think such advice should be set. I will not burden\nit with anything awful, nor weight an imperfect diction with\nabsolute verities in which I do indeed believe, but which would be\naltogether out of place at this hour of the evening. I will not deny\nthat from eleven till one, and especially if one be delivering an\nhistorical, or, better still, a theological lecture, one can without\nloss of dignity allude to the permanent truth, the permanent beauty,\nand the permanent security without which human life wreathes up like\nmist and is at the best futile, at the worst tortured. But you must\nremember that you have come to me suddenly with a most important\nquestion, after dinner, that I have but just completed an essay upon\nthe economic effect of the development of the Manchurian coalfields,\nand that (what is more important) all this talk began in a certain\nkey, and that to change one's key is among the most difficult of\ncreative actions.... No, Young Man, I shall not venture upon the\ntrue reply to your question.\"\n\nOn hearing this answer the Young Man began to curse and to swear and\nto say that he had looked everywhere for help and had never found\nit; that he was minded to live his own life and to see what would\ncome of it; that he thought the Older Man knew nothing of what he\nwas talking about, but was wrapping it all up in words; that he had\nclearly recognised in the Older Man's intolerable prolixity several\nclich\u00e9s or ready-made phrases; that he hoped on reaching the Older\nMan's age he would not have been so utterly winnowed of all\nsubstance as to talk so aimlessly; and finally that he prayed God\nfor a personal development more full of justice, of life, and of\nstuff than that which the Older Man appeared to have suffered or\nenjoyed.\n\nOn hearing these words the Older Man leapt to his feet (which was\nnot an easy thing for him to do) and as one overjoyed grasped the\nYounger Man by the hand, though the latter very much resented such\nantics on the part of Age.\n\n\"That is it! That is it!\" cried the Older Man, looking now far too\nold for his years. \"If I have summoned up in you that spirit I have\nnot done ill! Get you forward in that mood and when you come to my\ntime of life you will be as rotund and hopeful a fellow as I am\nmyself.\"\n\nBut having heard these words the Young Man left him in disgust.\n\nThe Older Man, considering all these things as he looked into the\nfire when he was alone, earnestly desired that he could have told\nthe Young Man the exact truth, have printed it, and have produced a\nproper Gospel. But considering the mountains of impossibility that\nlay in the way of such public action, he sighed deeply and took to\nthe more indirect method. He turned to his work and continued to\nperform his own duty before God and for the help of mankind. This,\non that evening, was for him a review upon the interpretation of the\nword _haga_ in the Domesday Inquest. This kept him up till a\nquarter past one, and as he had to take a train to Newcastle at\neight next morning it is probable that much will be forgiven him\nwhen things are cleared.\n\n\n\n\nON THE DEPARTURE OF A GUEST\n\n\n  _C'est ma Jeunesse qui s'en va.\n    Adieu! la tres gente compagne--\n  Oncques ne suis moins gai pour \u00e7a\n  (C'est ma Jeunesse qui s'en va)\n  Et lon-lon-laire, et lon-lon-l\u00e0\n    Peut-etre perd's; peut-etre gagne.\n  C'est ma Jeunesse qui s'en va._\n\n(From the Author's MSS.  In the library of the Abbey of Theleme.)\n\nHost: Well, Youth, I see you are about to leave me, and since it is\nin the terms of your service by no means to exceed a certain period\nin my house, I must make up my mind to bid you farewell.\n\nYouth: Indeed, I would stay if I could; but the matter lies as you\nknow in other hands, and I may not stay.\n\nHost: I trust, dear Youth, that you have found all comfortable while\nyou were my guest, that the air has suited you and the company?\n\nYouth: I thank you, I have never enjoyed a visit more; you may say\nthat I have been most unusually happy.\n\nHost: Then let me ring for the servant who shall bring down your\nthings.\n\nYouth: I thank you civilly! I have brought them down already--see,\nthey are here. I have but two, one very large bag and this other\nsmall one.\n\nHost: Why, you have not locked the small one! See it gapes!\n\nYouth (_somewhat embarrassed_): My dear Host ... to tell the\ntruth ... I usually put it off till the end of my visits ... but the\ntruth ... to tell the truth, my luggage is of two kinds.\n\nHost: I do not see why that need so greatly confuse you.\n\nYouth (_still more embarrassed_): But you see--the fact is--I\nstay with people so long that--well, that very often they forget\nwhich things are mine and which belong to the house ... And--well,\nthe truth is that I have to take away with me a number of things\nwhich ... which, in a word, you may possibly have thought your own.\n\nHost (_coldly_): Oh!\n\nYouth (_eagerly_): Pray do not think the worse of me--you know\nhow strict are my orders.\n\nHost (_sadly_): Yes, I know; you will plead that Master of\nyours, and no doubt you are right.... But tell me, Youth, what are\nthose things?\n\nYouth: They fill this big bag. But I am not so ungracious as you\nthink. See, in this little bag, which I have purposely left open,\nare a number of things properly mine, yet of which I am allowed to\nmake gifts to those with whom I lingered--you shall choose among\nthem, or if you will, you shall have them all.\n\nHost: Well, first tell me what you have packed in the big bag and\nmean to take away.\n\nYouth: I will open it and let you see. (_He unlocks it and pulls\nthe things out_.) I fear they are familiar to you.\n\nHost: Oh! Youth! Youth! Must you take away all of these? Why, you\nare taking away, as it were, my very self! Here is the love of\nwomen, as deep and changeable as an opal; and here is carelessness\nthat looks like a shower of pearls. And here I see--Oh! Youth, for\nshame!--you are taking away that silken stuff which used to wrap up\nthe whole and which you once told me had no name, but which lent to\neverything it held plenitude and satisfaction. Without it surely\npleasures are not all themselves. Leave me that at least.\n\nYouth: No, I must take it, for it is not yours, though from courtesy\nI forbore to tell you so till now. These also go: Facility, the\nointment; Sleep, the drug; Full Laughter, that tolerated all\nfollies. It was the only musical thing in the house. And I must\ntake--yes, I fear I must take Verse.\n\nHOST: Then there is nothing left!\n\nYOUTH: Oh! yes! See this little open bag which you may choose from!\nFeel it!\n\nHOST (_lifting it_): Certainly it is very heavy, but it rattles\nand is uncertain.\n\nYOUTH: That is because it is made up of divers things having no\nsimilarity; and you may take all or leave all, or choose as you\nwill. Here (_holding up a clout_) is Ambition: Will you have\nthat?...\n\nHOST (_doubtfully_): I cannot tell.... It has been mine and yet\n... without those other things....\n\nYOUTH (_cheerfully_): Very well, I will leave it. You shall\ndecide on it a few years hence. Then, here is the perfume Pride.\nWill you have that?\n\nHOST: No; I will have none of it. It is false and corrupt, and only\nyesterday I was for throwing it out of window to sweeten the air in\nmy room.\n\nYOUTH: So far you have chosen well; now pray choose more.\n\nHOST: I will have this--and this--and this. I will take Health\n(_takes it out of the bag_), not that it is of much use to me\nwithout those other things, but I have grown used to it. Then I will\ntake this (_takes out a plain steel purse and chain_), which is\nthe tradition of my family, and which I desire to leave to my son. I\nmust have it cleaned. Then I will take this (_pulls out a trinket_),\nwhich is the Sense of Form and Colour. I am told it is of less value\nlater on, but it is a pleasant ornament ... And so, Youth, goodbye.\n\nYouth (_with a mysterious smile_): Wait--I have something else\nfor you (_he feels in his ticket pocket_); no less a thing\n(_he feels again in his watch pocket_) than (_he looks a trifle anxious\nand feels in his waistcoat pockets_) a promise from my Master, signed\nand sealed, to give you back all I take and more in Immortality! (_He\nfeels in his handkerchief pocket._)\n\nHost: Oh! Youth!\n\nYouth (_still feeling_): Do not thank me! It is my Master you\nshould thank. (_Frowns_.) Dear me! I hope I have not lost it!\n(_Feels in his trousers pockets._)\n\nHost (_loudly_): Lost it?\n\nYouth (_pettishly_): I did not say I had lost it! I said I\nhoped I had not ... (_feels in his great-coat pocket, and pulls\nout an envelope_). Ah! Here it is! (_His face clouds over_.)\nNo, that is the message to Mrs. George, telling her the time has\ncome to get a wig ... (_Hopelessly_): Do you know I am afraid I\nhave lost it! I am really very sorry--I cannot wait. (_He goes\noff_.)\n\n\n\n\nON DEATH\n\n\nI knew a man once who made a great case of Death, saying that he\nesteemed a country according to its regard for the conception of\nDeath, and according to the respect which it paid to that\nconception. He also said that he considered individuals by much the\nsame standard, but that he did not judge them so strictly in the\nmatter, because (said he) great masses of men are more permanently\nconcerned with great issues; whereas private citizens are disturbed\nby little particular things which interfere with their little\nparticular lives, and so distract them from the general end.\n\nThis was upon a river called Boutonne, in Vend\u00e9e, and at the time I\ndid not understand what he meant because as yet I had had no\nexperience of these things. But this man to whom I spoke had had\nthree kinds of experience; first, he had himself been very probably\nthe occasion of Death in others, for he had been a soldier in a war\nof conquest where the Europeans were few and the Barbarians many!\nsecondly, he had been himself very often wounded, and more than once\nall but killed; thirdly, he was at the time he told me this thing an\nold man who must in any case soon come to that experience or\ncatastrophe of which he spoke.\n\nHe was an innkeeper, the father of two daughters, and his inn was by\nthe side of the river, but the road ran between. His face was more\nanxiously earnest than is commonly the face of a French peasant, as\nthough he had suffered more than do ordinarily that very prosperous,\nvery virile, and very self-governing race of men. He had also about\nhim what many men show who have come sharply against the great\nrealities, that is, a sort of diffidence in talking of ordinary\nthings. I could see that in the matters of his household he allowed\nhimself to be led by women. Meanwhile he continued to talk to me\nover the table upon this business of Death, and as he talked he\nshowed that desire to persuade which is in itself the strongest\nmotive of interest in any human discourse.\n\nHe said to me that those who affected to despise the consideration\nof Death knew nothing of it; that they had never seen it close and\nmight be compared to men who spoke of battles when they had only\nread books about battles, or who spoke of sea-sickness though they\nhad never seen the sea. This last metaphor he used with some pride,\nfor he had crossed the Mediterranean from Provence to Africa some\nfive or six times, and had upon each occasion suffered horribly;\nfor, of course, his garrison had been upon the edge of the desert,\nand he had been a soldier beyond the Atlas. He told me that those\nwho affected to neglect or to despise Death were worse than children\ntalking of grown-up things, and were more like prigs talking of\nphysical things of which they knew nothing.\n\nI told him then that there were many such men, especially in the\ntown of Geneva. This, he said, he could well believe, though he had\nnever travelled there, and had hardly heard the name of the place.\nBut he knew it for some foreign town. He told me, also, that there\nwere men about in his own part of the world who pretended that since\nDeath was an accident like any other, and, moreover, one as certain\nas hunger or as sleep, it was not to be considered. These, he said,\nwere the worst debaters upon his favourite subject.\n\nNow as he talked in this fashion I confess that I was very bored. I\nhad desired to go on to Angoul\u00e9me upon my bicycle, and I was at that\nage when all human beings think themselves immortal. I had desired\nto get off the main high road into the hills upon the left, to the\neast of it, and I was at an age when the cessation of mundane\nexperience is not a conceivable thing. Moreover, this innkeeper had\nbeen pointed out to me as a man who could give very useful\ninformation upon the nature of the roads I had to travel, and it had\nnever occurred to me that he would switch me off after dinner upon a\nhobby of his own. To-day, after a wider travel, I know well that all\ninnkeepers have hobbies, and that an abstract or mystical hobby of\nthis sort is amongst the best with which to pass an evening. But no\nmatter, I am talking of then and not now. He kept me, therefore,\nuninterested as I was, and continued:\n\n\"People who put Death away from them, who do not neglect or despise\nit but who stop thinking about it, annoy me very much. We have in\nthis village a chemist of such a kind. He will have it that, five\nminutes afterwards, a man thinks no more about it.\" Having gone so\nfar, the innkeeper, clenching his hands and fixing me with a\nbrilliant glance from his old eyes, said:\n\n\"With such men I will have nothing to do!\"\n\nIndeed, that his chief subject should be treated in such a fashion\nwas odious to him, and rightly, for of the half-dozen things worth\nstrict consideration, there is no doubt that his hobby was the\nchief, and to have one's hobby vulgarly despised is intolerable.\n\nThe innkeeper then went on to tell me that so far as he could make\nout it was a man's business to consider this subject of Death\ncontinually, to wonder upon it, and, if he could, to extract its\nmeaning. Of the men I had met so far in life, only the Scotch and\ncertain of the Western French went on in this metaphysical manner:\nthus a Breton, a Basque, and a man in Ecclefechan (I hope I spell it\nright) and another in Jedburgh had already each of them sent me to\nmy bed confused upon the matter of free will. So this Western\ninnkeeper refused to leave his thesis. It was incredible to him that\na Sentient Being who perpetually accumulated experience, who grew\nriper and riper, more and more full of such knowledge as was native\nto himself and complementary to his nature, should at the very\ncrisis of his success in all things intellectual and emotional,\ncease suddenly. It was further an object to him of vast curiosity\nwhy such a being, since a future was essential to it, should find\nthat future veiled.\n\nHe presented to me a picture of men perpetually passing through a\nfield of vision out of the dark and into the dark. He showed me\nthese men, not growing and falling as fruits do (so the modern\nvulgar conception goes) but alive throughout their transit: pouring\nlike an unbroken river from one sharp limit of the horizon whence\nthey entered into life to that other sharp limit where they poured\nout from life, not through decay, but through a sudden catastrophe.\n\n\"I,\" said he, \"shall die, I do suppose, with a full consciousness of\nmy being and with a great fear in my eyes. And though many die\ndecrepit and senile, that is not the normal death of men, for men\nhave in them something of a self-creative power, which pushes them\non to the further realisation of themselves, right up to the edge of\ntheir doom.\"\n\nI put his words in English after a great many years, but they were\nsomething of this kind, for he was a metaphysical sort of man.\n\nIt was now near midnight, and I could bear with such discussions no\nlonger; my fatigue was great and the hour at which I had to rise\nnext day was early. It was, therefore, in but a drowsy state that I\nheard him continue his discourse. He told me a long story of how he\nhad seen one day a company of young men of the New Army, the\nconscripts, go marching past his house along the river through a\ndriving snow. He said that first he heard them singing long before\nhe saw them, that then they came out like ghosts for a moment\nthrough the drift, that then in the half light of the winter dawn\nthey clearly appeared, all in step for once, swinging forward,\nmuffled in their dark blue coats, and still singing to the lift of\ntheir feet; that then on their way to the seaport, they passed again\ninto the blinding scurry of the snow, that they seemed like ghosts\nagain for a moment behind the veil of it, and that long after they\nhad disappeared their singing could still be heard.\n\nBy this time I was most confused as to what lesson he would convey,\nand sleep had nearly overcome me, but I remember his telling me that\nsuch a sight stood to him at the moment and did still stand for the\npassage of the French Armies perpetually on into the dark, century\nafter century, destroyed for the most part upon fields of battle. He\ntold me that he felt like one who had seen the retreat from Moscow,\nand he would, I am sure, had I not determined to leave him and to\ntake at least some little sleep, have asked me what fate there was\nfor those single private soldiers, each real, each existent, while\nthe Army which they made up and of whose \"destruction\" men spoke,\nwas but a number, a notion, a name. He would have pestered me, if my\nmind had still been active, as to what their secret destinies were\nwho lay, each man alone, twisted round the guns after the failure to\nhold the Bridge of the Beresina. He might have gone deeper, but I\nwas too tired to listen to him any more.\n\nThis human debate of ours (and very one-sided it was!) is now\nresolved, for in the interval since it was engaged the innkeeper\nhimself has died.\n\n\n\n\nON COMING TO AN END\n\n\nOf all the simple actions in the world! Of all the simple actions in\nthe world!\n\nOne would think it could be done with less effort than the heaving\nof a sigh.... Well--then, one would be wrong.\n\nThere is no case of Coming to an End but has about it something of\nan effort and a jerk, as though Nature abhorred it, and though it be\ntrue that some achieve a quiet and a perfect end to one thing or\nanother (as, for instance, to Life), yet this achievement is not\narrived at save through the utmost toil, and consequent upon the\nmost persevering and exquisite art.\n\nNow you can say that this may be true of sentient things but not of\nthings inanimate. It is true even of things inanimate.\n\nLook down some straight railway line for a vanishing point to the\nperspective: you will never find it. Or try to mark the moment when\na small target becomes invisible. There is no gradation; a moment it\nwas there, and you missed it--possibly because the Authorities were\nnot going in for journalism that day, and had not chosen a dead calm\nwith the light full on the canvas. A moment it was there and then,\nas you steamed on, it was gone. The same is true of a lark in the\nair. You see it and then you do not see it, you only hear its song.\nAnd the same is true of that song: you hear it and then suddenly you\ndo not hear it. It is true of a human voice, which is familiar in\nyour ear, living and inhabiting the rooms of your house. There comes\na day when it ceases altogether--and how positive, how definite and\nhard is that Coming to an End.\n\nIt does not leave an echo behind it, but a sharp edge of emptiness,\nand very often as one sits beside the fire the memory of that voice\nsuddenly returning gives to the silence about one a personal force,\nas it were, of obsession and of control. So much happens when even\none of all our million voices Comes to an End.\n\nIt is necessary, it is august and it is reasonable that the great\nstory of our lives also should be accomplished and should reach a\nterm: and yet there is something in that hidden duality of ours\nwhich makes the prospect of so natural a conclusion terrible, and it\nis the better judgment of mankind and the mature conclusion of\ncivilisations in their age that there is not only a conclusion here\nbut something of an adventure also. It may be so.\n\nThose who solace mankind and are the principal benefactors of it, I\nmean the poets and the musicians, have attempted always to ease the\nprospect of Coming to an End, whether it were the Coming to an End\nof the things we love or of that daily habit and conversation which\nis our life and is the atmosphere wherein we loved them. Indeed this\nis a clear test whereby you may distinguish the great artists from\nthe mean hucksters and charlatans, that the first approach and\nreveal what is dreadful with calm and, as it were, with a purpose to\nuse it for good while the vulgar catchpenny fellows must liven up\ntheir bad dishes as with a cheap sauce of the horrible, caring\nnothing, so that their shrieks sell, whether we are the better for\nthem or no.\n\nThe great poets, I say, bring us easily or grandly to the gate: as\nin that _Ode to a Nightingale_ where it is thought good (in an\nimmortal phrase) to pass painlessly at midnight, or, in the glorious\nline which Ronsard uses, like a salute with the sword, hailing \"la\nprofitable mort.\"\n\nThe noblest or the most perfect of English elegies leaves, as a sort\nof savour after the reading of it, no terror at all nor even too\nmuch regret, but the landscape of England at evening, when the smoke\nof the cottages mixes with autumn vapours among the elms; and even\nthat gloomy modern _Ode to the West Wind_, unfinished and\ntouched with despair, though it will speak of--\n\n  ... that outer place forlorn\n  Which, like an infinite grey sea, surrounds\n  With everlasting calm the land of human sounds;\n\nyet also returns to the sacramental earth of one's childhood where\nit says:\n\n  For now the Night completed tells her tale\n  Of rest and dissolution: gathering round\n  Her mist in such persuasion that the ground\n  Of Home consents to falter and grow pale.\n  And the stars are put out and the trees fail.\n  Nor anything remains but that which drones\n  Enormous through the dark....\n\nAnd again, in another place, where it prays that one may at the last\nbe fed with beauty---\n\n  ... as the flowers are fed\n  That fill their falling-time with generous breath:\n  Let me attain a natural end of death,\n  And on the mighty breast, as on a bed,\n  Lay decently at last a drowsy head,\n  Content to lapse in somnolence and fade\n  In dreaming once again the dream of all things made.\n\nThe most careful philosophy, the most heavenly music, the best\nchoice of poetic or prosaic phrase prepare men properly for man's\nperpetual loss of this and of that, and introduce us proudly to the\nsimilar and greater business of departure from them all, from\nwhatever of them all remains at the close.\n\nTo be introduced, to be prepared, to be armoured, all these are\nexcellent things, but there is a question no foresight can answer\nnor any comprehension resolve. It is right to gather upon that\nquestion the varied affections or perceptions of varying men.\n\nI knew a man once in the Tourdenoise, a gloomy man, but very rich,\nwho cared little for the things he knew. This man took no pleasure\nin his fruitful orchards and his carefully ploughed fields and his\nharvests. He took pleasure in pine trees; he was a man of groves and\nof the dark. For him that things should come to an end was but part\nof an universal rhythm; a part pleasing to the general harmony, and\nmaking in the music of the world about him a solemn and, oh, a\nconclusive chord. This man would study the sky at night and take\nfrom it a larger and a larger draught of infinitude, finding in this\nexercise not a mere satisfaction, but an object and goal for the\nmind; when he had so wandered for a while under the night he seemed,\nfor the moment, to have reached the object of his being.\n\nAnd I knew another man in the Weald who worked with his hands, and\nwas always kind, and knew his trade well; he smiled when he talked\nof scythes, and he could thatch. He could fish also, and he knew\nabout grafting, and about the seasons of plants, and birds, and the\nway of seed. He had a face full of weather, he fatigued his body, he\nwatched his land. He would not talk much of mysteries, he would\nrather hum songs. He loved new friends and old. He had lived with\none wife for fifty years, and he had five children, who were a\npoliceman, a schoolmistress, a son at home, and two who were\nsailors. This man said that what a man did and the life in which he\ndid it was like the farmwork upon a summer's day. He said one works\na little and rests, and works a little again, and one drinks, and\nthere is a perpetual talk with those about one. Then (he would say)\nthe shadows lengthen at evening, the wind falls, the birds get back\nhome. And as for ourselves, we are sleepy before it is dark.\n\nThen also I knew a third man who lived in a town and was clerical\nand did no work, for he had money of his own. This man said that all\nwe do and the time in which we do it is rather a night than a day.\nHe said that when we came to an end we vanished, we and our works,\nbut that we vanished into a broadening light.\n\nWhich of these three knew best the nature of man and of his works,\nand which knew best of what nature was the end?\n\n       *       *       *       *       *\n\nWhy so glum, my Lad, or my Lass (as the case may be), why so heavy\nat heart? Did you not know that you also must Come to an End?\n\nWhy, that woman of Etaples who sold such Southern wine for the\ndissipation of the Picardian Mist, her time is over and gone and the\nwine has been drunk long ago and the singers in her house have\ndeparted, and the wind of the sea moans in and fills their hall. The\nLords who died in Roncesvalles have been dead these thousand years\nand more, and the loud song about them grew very faint and dwindled\nand is silent now: there is nothing at all remains.\n\nIt is certain that the hills decay and that rivers as the dusty\nyears proceed run feebly and lose themselves at last in desert\nsands; and in its aeons the very firmament grows old. But evil also\nis perishable and bad men meet their judge. Be comforted.\n\nNow of all endings, of all Comings to an End none is so hesitating\nas the ending of a book which the Publisher will have so long and\nthe writer so short: and the Public (God Bless the Public) will have\nwhatever it is given.\n\nBooks, however much their lingering, books also must Come to an End.\nIt is abhorrent to their nature as to the life of man. They must be\nsharply cut off. Let it be done at once and fixed as by a spell and\nthe power of a Word; the word\n\nFINIS\n\n\n\n\n\n\n\n\n\n\nEnd of Project Gutenberg's On Nothing & Kindred Subjects, by Hilaire Belloc\n\n*** ","meta":{"redpajama_set_name":"RedPajamaBook"}}
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+{"text":"\n\nCopyright \u00a9 2018 by Kurt Eichenwald\n\nAll rights reserved.\n\nPublished in the United States by Ballantine Books, an imprint of Random House, a division of Penguin Random House LLC, New York.\n\nBALLANTINE and the HOUSE colophon are registered trademarks of Penguin Random House LLC.\n\nLIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA\n\nNames: Eichenwald, Kurt, author.\n\nTitle: A mind unraveled : a memoir \/ Kurt Eichenwald.\n\nDescription: First edition. | New York : Ballantine Books, [2018]\n\nIdentifiers: LCCN 2018018965 | ISBN 9780399593628 (hardcover) | ISBN 9780399593635 (ebook)\n\nSubjects: LCSH: Eichenwald, Kurt, 1961\u2014Health. | Epileptics\u2014United States\u2014Biography. | LCGFT: Autobiographies.\n\nClassification: LCC RC372 .E33 2018 | DDC 616.85\/30092 [B]\u2014dc23\n\nLC record available at https:\/\/lccn.loc.gov\/\u200b2018018965\n\nEbook ISBN 9780399593635\n\nrandomhousebooks.com\n\n_Book design by Jo Anne Metsch, adapted for ebook_\n\nCover design: Rachel Ake\n\nv5.3.2\n\nep\n\n# Contents\n\nCover\n\nTitle Page\n\nCopyright\n\nEpigraph\n\nAuthor's Note\n\nPrologue\n\nChapter One\n\nChapter Two\n\nChapter Three\n\nChapter Four\n\nChapter Five\n\nChapter Six\n\nChapter Seven\n\nChapter Eight\n\nChapter Nine\n\nChapter Ten\n\nChapter Eleven\n\nChapter Twelve\n\nChapter Thirteen\n\nChapter Fourteen\n\nChapter Fifteen\n\nChapter Sixteen\n\nChapter Seventeen\n\nChapter Eighteen\n\nChapter Nineteen\n\nChapter Twenty\n\nChapter Twenty-one\n\nChapter Twenty-two\n\nChapter Twenty-three\n\nChapter Twenty-four\n\nChapter Twenty-five\n\nChapter Twenty-six\n\nChapter Twenty-seven\n\nChapter Twenty-eight\n\nChapter Twenty-nine\n\nChapter Thirty\n\nAfterword\n\nDedication\n\nAcknowledgments\n\nResources\n\nBy Kurt Eichenwald\n\nAbout the Author\n> You may encounter many defeats, but you must not be defeated. In fact, it may be necessary to encounter the defeats, so you can know who you are, what you can rise from, how you can still come out of it.\n> \n> \u2014MAYA ANGELOU\n\n# AUTHOR'S NOTE\n\nThis book may raise a few questions, the most obvious being: How can readers trust the recollections of someone whose memory has been impaired by decades of seizures? The answer is simple. Throughout most of my experiences, I kept diaries, notes, and tapes, largely because I found a benefit in recounting thoughts and feelings I shared with no one. I also retained medical documents, letters, and other contemporaneous papers. Later, I interviewed friends, family, doctors, and colleagues, who related their perspectives. While digging through old papers, I also discovered a box filled with tapes that were recorded in the 1980s by people who went through these events with me. Two of the speakers say I requested the recordings and promised not to listen to them for decades. I do not remember asking for them, but these proved invaluable, allowing me to gain insight into the experiences and emotions of friends and family that otherwise I never would have known. Passages from these old recordings are included after most chapters in this book.\n\nI had never reviewed all of the diaries and recordings until undertaking this project, and the level of detail they contain astonished me. In them, I seemed driven to describe every sight, every sound. I commented on chair squeaks, expressions, tones of voice. Perhaps I needed to paint a mental image for my future reference, perhaps my medications led me to ramble, perhaps reciting obsessive detail was my way of finding control in an uncontrolled situation. Whatever the reason, these records helped me reconstruct events I don't remember.\n\nThen there is the nature of memory. As anyone with recollection problems can attest, it is not like a bucket that is either filled with water or not. There are pieces and pathways\u2014which even neuroscientists only vaguely understand\u2014woven into the tapestry of brain function that dictate whether memories stay or fade.\n\nNames, including those of people I have known for years, are hard to retrieve, which has led me to techniques that allow me to dodge saying them. I often rely on nicknames, such as calling my editors \"Boss.\" If my wife, Theresa, and I run into acquaintances or friends, she will casually utter their names so I can hear them. There have also been times when names of objects have been hard to recollect. I once stared at a chair trying to connect a word to this wooden thing with four legs; eventually, I recalled a term, but I couldn't move the sound from my mind to my mouth. So I just pointed.\n\nInconsequential or stress-free occurrences often disappear, which can be saddening, since I often forget vacations or nice experiences with my family. Sometimes, though, I'm glad memories fade\u2014for example, I forgot a dental surgery; I know it occurred only because Theresa told me when I found gizmos intended for me to use after the procedure. I watch reruns of my beloved _Law & Order_ over and over without remembering who committed the crime. I sat three times through my favorite movie\u2014 _Memento,_ about a man with severe memory problems\u2014each time knowing only that I loved the film; otherwise, it was all new to me.\n\nRecollections of traumatic or important or funny events tend to remain accessible; in fact, they are surprisingly vivid. Then there is a technique others with memory problems will understand: remembering to remember. If I experience a short-term event of little significance but that I know I want to recall, at times I am able to store the memory if I focus on retention. I cannot do that with everything since, if I did, I would be standing in silence endlessly, thinking about remembering.\n\nMy age at the time of an event also plays a role. The deterioration of my memory seems to have begun when I was nineteen, after the seizures escalated. So I have found that I recall events from when I was younger with little difficulty.\n\nAnother question: Why would someone with an impaired memory become a journalist? Parts of this book address that subject, but the basic answer is simple: I wanted to and could. People with memory problems find compensation tricks, and I am certain those made me a better journalist. Moreover, once I accepted the magnitude of my memory problems (it takes time to recognize how much you forget once you've forgotten it), I was already successful, and no one was challenging the accuracy of my work.\n\nIn writing about myself, however, the techniques I describe above have limits. Often there is an amnesia surrounding a seizure that leaves me incapable of remembering. For example, in 2018 I learned from a good friend of my mother's that many years ago, I was arrested by police who misinterpreted my post-seizure symptoms as inebriation. The friend says I was taken to jail and locked up in the drunk tank. Somehow my mother learned of my arrest and attempted, unsuccessfully, to persuade the officers by phone that I did not drink alcohol and must be in a post-seizure state. Fearing I would go for too long without my medication, she boarded a plane, flew to wherever I was, bailed me out, and then bawled out the police. She died in 2016 and never told me this story, most likely because she thought it would upset me. I remember nothing about it, although it is disturbing to discover I probably have an arrest record somewhere.\n\nSeizures also made it difficult over the years for me to fully recall events that had occurred just hours before, impeding my ability to write down what had happened. In those instances, trying to remember was like watching a silent movie while wearing a blindfold that is periodically removed for a few seconds and then tied back on. In other words, there are blank spots. When necessary, I cite missing chunks of memory involving events I describe here. Sometimes, there are occurrences I remember, but I have no idea when they took place. Several appear in this book at the point I believe most accurate, but I note that I am not certain of the timing.\n\nObviously, I am not claiming the dialogue in this book is a verbatim transcript. Much of it I recounted in my diaries within days or hours of my experiences. Friends and family did the same for me over the years when I asked for their recollections. I believe that reconstructing the conversations from this source material provides a far more accurate portrayal of what happened than mere paraphrase would.\n\n* * *\n\n\u2014\n\nA final note: If you have epilepsy, this book does not foretell your future. Everyone's experiences differ, and many of mine occurred because of my own bad decisions. Moreover, a careful reading can help you avoid my past errors\u2014I was told fictions about epilepsy that damaged me, and some doctors made mistakes an educated patient never would have allowed. So don't look on this story as representative of what could happen to you. Learn from my errors. This book can help you understand that, for most people, epilepsy does not have to block you from the life you desire. I believe the lessons in this book apply to people who face a range of traumas or difficulties, even those unrelated to health.\n\nDo not judge doctors\u2014particularly neurologists\u2014by the arrogant, incompetent ones who treated me in the earliest years after my first major seizure; in the decades since, my neurologists have been unfailingly knowledgeable, caring, and humble. Medicine has also advanced dramatically in the development of new treatments for seizures. Far more options are available now than there were even just a few years ago. Perhaps most important, epilepsy specialists say there is a growing recognition of the failures by neurologists in the past to understand the psychosocial difficulties faced by people with this condition and the role the medical community can play in helping to address them.\n\nAlso, do not draw conclusions about the effectiveness or side effects of the anticonvulsants prescribed to me based on my experiences. Reactions to these medications vary, and mine are not a sign of whether one drug is bad or another good.\n\nFinally, for some individuals I encountered, I will be using pseudonyms or not naming them at all. I am uncomfortable dragging people into my story without permission. I also will not use the real names of medical professionals whose inattentiveness and poor judgment caused so much unnecessary damage. They know who they are.\n\n# PROLOGUE\n\nSwarthmore, Pennsylvania\n\nWINTER 1982\n\nAt first, I couldn't feel the cold.\n\nIt was as if I had fallen from the sky, with no memory of where I had been or how I returned. My mind was in disarray, unfocused, aware that there was pain but not quite comprehending that it was mine.\n\nI vaguely remember thinking that a blur of white and dark had clouded my vision, but the impression made no sense. I drifted into the unconsciousness that always followed one of my epileptic seizures.\n\nTime passed. Eventually, cold stabbed into my head, seeping down my back and eating at my skin. After a convulsion, injuries were mysteries to solve, enigmas that might tell me if I was safe: What had I wounded and how? In the past, I'd burned my arm horribly with boiling water. Other times, I emerged from seizures with broken ribs but no idea how they'd fractured.\n\nThis time, the pain was hard to place. I woke a bit more, terrified as I struggled to figure out where I was. Then I knew.\n\n_Snow_. I was buried under snow.\n\nA day would pass before I pieced together what happened. I had been returning from a night at the Swarthmore College library and took a shortcut toward my dorm. As I made my way along this out-of-the-way path, I collapsed in a convulsion, one of many I experienced over the years. I rolled down a small hill, hitting a tennis court fence. As I lay unconscious, a blizzard swept in, covering me in a shroud of white.\n\nAfter I awakened, I struggled to dig myself out, repeatedly falling down the slope that I did not realize was there. My strength ebbed. I wanted sleep. Just a little bit. I would try to find my way out of the snow after I slept.\n\n_I'm going to die. If I don't get up, I'm going to die._\n\nThe thought should have roused me, but I drifted, almost resigned to my disjointed recognition that I would not survive.\n\nA twinge of pain shot through my right hand. At some point, I had cut my palm. The sting stirred me, but not enough to shock me awake. Even in my fog of confusion, I knew I had found an answer. To shake off sleep, to save my life, I had to intentionally hurt myself.\n\nI thrust my hand through the snow and scraped my palm across the ground. I remember crying as twigs or dirt poked into the cut, the pain somehow worse because it was self-inflicted. Still not enough. I slid my throbbing hand across the ground again. It was difficult to deliberately hurt myself, but the effort worked; my overwhelming desire to sleep gave way to a determination to survive. I crawled up the hill.\n\nA light, shimmering in the distance. I saw it ahead of me, beautiful and flickering like nothing I had ever cast my eyes on. I would not realize until the next day that the vision was a lamppost, turned glorious and twinkling by the snow in my eyes and my nearsightedness; my glasses had come off during my seizure.\n\nThat distant light became everything to me. I knew I was far from its glow, alone in darkness, invisible to others. But light meant people. Light meant I might be seen. Still unable to stand, my clothes frozen against my body, I edged toward that beacon, shoving my hand through the snow to scrape my palm again whenever I drifted toward sleep.\n\nEdging forward on my hands and knees exhausted me; it seemed to go on forever, though it probably took less than ten minutes. Finally, I arrived at the bottom of an outdoor stairway and pulled myself up the steps.\n\nI reached a stone patio. Lights from a dormitory blazed around me; other students were inside, so close, standing behind windows. I tried to scream, but because of exhaustion or fear or the cold itself, my cries came out as hoarse whimpers. The warm, safe students I saw through those nearby panes of glass couldn't hear me.\n\nI became aware of someone else outside, a hulking man walking quickly, probably to escape the bitter cold. I called, \"Help!\" as best I could. I have no idea how loud or how often I said the word before attracting his attention.\n\nA man stood over me. Later, I learned he was a Swarthmore football player whom I barely knew. He scooped me off the ground and carried me into the warmth of the dorm.\n\nThe burly student put me down and said something, but I didn't understand him. I lay at the bottom of the stairs off the entryway. The indoor light caused my head to throb after so much time in darkness, and I was soaking wet. My pants were frozen, in part because I had lost control of my bladder. Other students appeared, but all I recall are looks of shock on their faces. Noises, voices, chaos.\n\nMy hands were raw with pain. I looked at them, and what I saw was unrecognizable\u2014bloody, swollen deformities. Small cuts where frozen skin had torn apart ran red across my knuckles; these would become tiny hairline scars that forever remain as reminders of one of the more horrific nights of my life.\n\nTerror welled up, spurred by the sight of my monstrous wounded hands. The last thing I remember is screaming.\n\n* * *\n\n\u25a0 \u25a0 \u25a0\n\nI suffer from the scourge of Christ for my sins. I practice witchcraft, and thousands of my kind have been burned to death. I have been attacked by demons. I am sacred, capable of miracles. I am a seer, blessed by God and infused with the Holy Spirit. I am forbidden from becoming a Catholic priest. I should be institutionalized, chained to walls, as I prepare for my death. I see lights that are not there. I think of words I cannot say. My arm throws; my head jerks. I become aware I am someplace with no idea how I got there.\n\nI have epilepsy, a condition recorded in every known civilization. Largely incurable and mostly untreatable until the early twentieth century, for thousands of years, it has been associated with religious fanaticism and cruelty. In my mother's lifetime, people prone to seizures were dumped into institutions with names like the Eastern Pennsylvania State Institution for the Feeble-Minded and Epileptic\u2014a hospital of nightmares that finally closed in 1987, eight years after my diagnosis.\n\nI experienced frequent convulsions and losses of consciousness from 1979 through 1991, from the ages of eighteen to thirty years old. With a handful of exceptions, only lesser seizures have continued since. I have lived most of my life knowing I could be seconds from falling to the ground, seizing, burning, freezing, or worse. Am I too near that window? Am I too high up? Is the oven open? I ask these questions every day. Yet even with my precautions, I have not been able to protect myself\u2014when I was at my worst, I fell down stairs, broke bones, cut my face. I awoke on a subway platform as teenagers kicked me. I regained consciousness in blood-drenched sheets, uncertain if it was me who had bled. I was thrown out of school and lost jobs because of my epilepsy. For years, I believed that each day might be my last, that I would die from an accident or a seizure or by my own hand. I lived in a boundless minefield, never knowing if I was a step away from triggering an explosion.\n\nAnd yet I found success, both professional and personal. I vowed not to let seizures interfere and compartmentalized\u2014sometimes in an unhealthy way\u2014the pains and fears from my day-to-day experiences.\n\nPartly because of that, I resisted pursuing this book. I wrote about my night in the snow in 2005, but after finishing those pages, I thought, _Why bother?_ I had faced terrible things and surmounted them. Plenty of people have done the same. As a reporter, my job is to write about others' lives, not my own. And did I really want to publicly expose my personal demons and ordeals? I feared, perhaps irrationally, if everyone knew what had happened, they might think less of me. So this potential book went into a virtual folder on my computer. Unaware that I had already shelved the project, my wife, Theresa, kept it alive by urging me to recount my story, assuring me that my fears about public reaction were misplaced. She told me that, as a physician, she knew others fighting traumas unrelated to epilepsy who could benefit by reading about how I managed my challenges. I always replied that of course my family thought it was a tale worth telling, but who else would care?\n\nStill, the idea nagged at me. Was I failing to face the central challenge of my life? By mostly keeping quiet after having gained some prominence as an author and a journalist, was I tacitly saying that others with seizures should hide?\n\nI knew that epilepsy is misunderstood because so many of us with the condition stay silent, fearful of the stigma that still attaches to the word. We distrust our own bodies and grapple with a terror of losing control of our brains. Then there is the psychosocial damage. Because of the fear seizures engender, people with epilepsy have been subjected frequently to discrimination. A look at online message boards shows postings from women who were told they would be disowned if they married an epileptic boyfriend, others fired from jobs or shunned by friends after a seizure. Until 1956, eighteen states allowed for forced sterilization of epileptic people, and marrying them was illegal in seventeen; Missouri kept its marriage ban on the books until 1980.\n\nIn 2014, I sought the advice of prominent people in the epilepsy community, who encouraged me to write this book. When I suggested my experiences might be unique and unfairly terrifying to others with seizures, I heard for the first time that no, the things I had confronted\u2014even the worst of them\u2014were not exclusive to me. On the contrary, I was told that the fact I believed I alone faced certain experiences underscored the need to drag epilepsy out of the shadows.\n\nAnd so I write.\n\nI write, though, without self-pity, and I cringe at praise for having dealt with these challenges. After my first few years of major seizures, I never asked, _Why me?_ Why not me? Fortune dealt me some bad cards, as it has many others in many different ways, and so I played them. In fact, despite all that has happened, if I had the power to travel back in time and push a button that would stop me from ever having epilepsy, I wouldn't do it. Even knowing what lay ahead\u2014those nightmares of confusion, injuries, and frequent fear of death\u2014I would accept that fate. This book is my explanation why. In that answer lies what is, I believe, the secret of how to find happiness, how to recapture control, how to build a life worth living, even in the wake of significant trauma.\nIn a conversation with\n\nDR. ALLAN NAARDEN, 1987\n\nMy then neurologist\n\nIf all you give a seizure patient is sympathy, then I'm not sure how much you're really helping them. That's not to say that you shouldn't sympathize with them. You have to. But you have to also really encourage them and act like a cheerleader. And maybe push them to be better than they otherwise would wind up being.\n\n# CHAPTER ONE\n\nA Christmas tree sparkled silver in front of me. My frequent, sudden sleepiness returned as I wondered how long I had been standing there. Or had I been walking? I felt odd, in a way difficult to describe\u2014not sure where I was, not fully connected to my thoughts.\n\nI glanced around the room. Gold tinsel hung on the walls of a living room stuffed with older furniture. Windows peered at a neighbor's house wreathed with colored lights. Nighttime. I remembered\u2014this was a party thrown by kids from my girlfriend's high school. Across the room, I saw Mari Cossaboom, whom I had been dating for more than a year, chatting with classmates. I strolled up to them, trying to conceal my confusion with a veneer of confidence.\n\nIt was 1978, Christmas vacation of my senior year in high school. My blank out didn't scare me; such episodes occurred sporadically, and family and friends greeted them with shrugs. Even my parents saw nothing amiss\u2014lots of people stared, they assured me. But I wondered, Did they really? Did others just drift away and wander around in a daze?\n\nAt least I thought I wandered, because when I became aware of my surroundings after an episode, I believed I was someplace I hadn't been earlier. But a friend of mine who witnessed one of these waking trances said no, I hadn't moved. Once, I realized a classmate was in front of me, and I had no idea how he had appeared there. He asked what I was doing with my hand. I looked down and saw my fingers grasping my shirt. He told me I had been picking at it. I had no memory of doing so.\n\nThe staring spells had worsened the previous summer when I attended a Harvard University program for high school debaters. I found myself reconnecting to consciousness with a feeling of confusion far more often than in the past. When I returned home, I asked my mom to set up an appointment with my pediatrician. She agreed but again told me not to worry\u2014everybody stared.\n\nI described the problem to my physician but failed to mention the sleepiness or disassociation that followed a staring episode. I didn't consider those to be symptoms, much less important. He confidently told me I was fine; lack of sleep and too much coffee were the culprits. I accepted the diagnosis, cut back on caffeine, and tried to get more rest, at least as best a teenager could.\n\nIf someone had suggested these spells were seizures, I would have laughed it off, since I bought into the falsehoods about epilepsy. In the uninformed popular imagination, a seizure meant a body convulsed by violent spasms, frothing at the mouth and swallowing a tongue as emergency workers loaded the sufferer into an ambulance for a desperate rush to the hospital. My experiences were nothing like that.\n\nIt would be stretching things to say my parents should have known what was happening, but they were better versed in medical issues than most. My father, Heinz Eichenwald, was a world-renowned specialist in pediatric infectious disease, though he spent more time in academia than seeing patients. Growing up in Dallas, I felt proud of his influence on medicine. He seemed to be chairman of pediatrics departments everywhere\u2014University of Texas Southwestern Medical School, Children's Medical Center, Parkland. For one month every year during the Vietnam War, he traveled to Saigon, where he helped run a children's hospital. He was close to Albert Sabin, the developer of the oral polio vaccine, whom I called Uncle Al, and a Nobel Prize winner even dropped by our house.\n\nMy mother, Elva Eichenwald, was a nurse who knew more practical medicine than my father. They had met at New York Hospital and married in 1951. My sister, Kathie, came along in 1955, followed three years later by my brother, Eric. In 1960, while pregnant with me, my mom was stuck with a used hypodermic needle and contracted hepatitis. Her doctors advised that the pregnancy might lead to death or complications and ordered her to bed. When I was born in 1961, doctors found me healthy, but my mother wondered decades later if hepatitis had played a role in causing my epilepsy.\n\nMine was a fortunate childhood. My family wasn't wealthy, but I knew we were well off. With property cheap in Texas, we lived in a sprawling ranch-style house, separated from the street by a five-hundred-foot gravel driveway. We spent no money on swimming pools or fancy cars or vacations; if we couldn't drive to our destination, we didn't go. Instead, my parents invested in our education. My brother and I attended St. Mark's School of Texas, a private school I adored. My mom told me that each morning in first grade when we drove onto campus, I leaned out the window yelling, \"Hello! I'm here!\" as if everyone were waiting for me. Eventually, our family's connection to St. Mark's grew closer when the school hired my mom as the nurse. She became a beloved fixture there\u2014other students often told me they considered her a second mother.\n\nNothing occurred in my childhood to prepare me for struggles in life. Probably my most harrowing childhood experience took place when I was five and attending a summer day camp. After weeks of waiting, my turn arrived to ride everybody's favorite horse, Ginger. A counselor boosted me onto the saddle, and I rode the pinto out of the stables. We arrived at the edge of the trail when Ginger collapsed under me, dead. At day's end, the counselors assured an angry mob of my fellow kindergartners that I had not personally killed her.\n\nMy siblings struggled with my father's high expectations and dictates on their life choices, but I largely escaped scrutiny, since he considered me a happy-go-lucky intellectual lightweight. If my brother came close to falling off the high honor roll, my father would sound off, but my B and C grades barely got a glance. Strangely, I didn't care.\n\nLife was mostly calm with a dash of adventure. My best friend often joined me on hikes along a nearby creek, where we kept our eyes open for the ever-present water moccasins. After short treks, we'd scamper onto a bridge and throw off our G.I. Joe action figures with parachutes attached. On longer journeys, we'd stop at a run-down deserted sugar shack we called \"the haunted cabin\" until the structure disappeared. Meanwhile, another friend and I spent weeks along a portion of the creek, cutting down tiny trees and roping them together into a clubhouse. We returned to the spot one day to build the roof, only to discover that our ersatz cabin had also vanished. I even enjoyed time alone, lying on the grass while staring at the sky or climbing through a drainage tunnel that ran beneath our driveway.\n\nI always found hobbies, from making yarn pictures on wooden slabs to building glue-soaked model cars. When my neighborhood friend pursued magic, I joined him. The two of us started performing around Dallas; the pay was good, but we invested most of it back into the show.\n\nI recognized my good fortune and appreciated it, largely because I was exposed to others who faced hard times. My parents volunteered at free clinics for the indigent, and we would assist some of their patients in need. We also sponsored two orphans who visited on weekends, with the younger boy sleeping in my room, where we stayed up talking or jumping on the beds. On Sunday evenings, when we drove them back to Buckner Children's Home, I always felt guilty that my life was so much easier than theirs.\n\nMy first taste of journalism came at fifteen, and I hated it. I joined the school newspaper, the _Remarker,_ but my assigned stories\u2014budget plans, a play, a speaker, blah blah blah\u2014were beyond boring. I had no doubt that unless they were looking for their own names, my fellow students never read a word.\n\nA turning point came in my junior year when I was working on a piece about parent-teacher night. Once again, I plunged into the pointless routine: Report on an event nobody cared about, write a story no one would read. I went through the motions by interviewing the head of the high school, Mike Shepperd. After wrapping up, I started loading my backpack.\n\n\"So, do you enjoy working for the paper?\" Shepperd asked.\n\n\"No,\" I replied. \"I'm thinking about quitting. I never write anything interesting.\"\n\n\"What do you want to write about?\"\n\n_Laetrile_. I wanted to work on a story about laetrile. This was a supposed miracle cancer treatment that had not been approved in the United States, but plenty of patients traveled to Mexico for the drug and swore it worked. I had first heard about it on _60 Minutes_ a few years before and discussed it with my father. The controversy fascinated me.\n\n\"So write about it,\" Shepperd said.\n\nThe _Remarker_ didn't allow for that, I replied. We covered school events, not national news.\n\nWithout another word, Shepperd called the _Remarker_ 's faculty sponsor. \"Andy, Kurt Eichenwald is in my office, and he wants to do an article about laetrile. He thinks no one will let him. Can he write it?\"\n\nA second passed, and Shepperd hung up. \"Okay, so now you're assigned the article. No more excuses.\"\n\nWeeks of reporting and writing followed; the article filled two inside pages of the paper. I was delighted and proud and even won a local journalism prize. As a reward, I suppose, I was named a contributing editor in my senior year. I didn't want to be a spoilsport and reject the position, but I had accomplished all I wanted to at the _Remarker_. So I accepted without enthusiasm and almost immediately distanced myself from the job. That was a flaw in my character\u2014I could devote enormous energy to something that fascinated me, but once I finished, my interest flagged. My obsession with a single task could end as fast as a flip of a switch. A few months into my senior year, that trait became obvious to the paper's staff, who nicknamed me \"the noncontributing editor.\"\n\nThat do-it-and-drop-it trait played a large role in my choice of colleges. After four years of high school debate spent whiling away weekends at tournaments, I suddenly and inexplicably lost all enthusiasm for public speaking. As a result, I eliminated schools with strong debate teams from my list of options, fearing I'd be pressured to join. My brother was a junior at Swarthmore College, a small liberal-arts school about eleven miles from Philadelphia that offered little in the way of debate. The school was reputed to be an academic hothouse, so given my middling grades, I assumed I would have no chance at admission. When Swarthmore's acceptance letter arrived, I raced so recklessly up the driveway in my father's car that I almost crashed into a fence.\n\nWeeks before graduation, my class performed Senior Follies, the annual song-and-skit roast that poked good-natured fun at St. Mark's, the teachers, and other students. This event was considered a big deal, and my classmates elected me producer. I spent months huddled with friends writing skits and song lyrics, planning choreography, and getting by with little sleep. My staring episodes escalated, and some teachers worried about my health. One day, Shepperd saw my haggard face and ordered me to skip the rest of my classes, go home, and get some sleep.\n\nI had never been so exhausted as on the night of Senior Follies. I appeared in a few skits, including one where I caricatured a quirky science teacher. I was reciting a joke about a toy car when I suddenly felt confused. I had stopped speaking and couldn't recall my most recent words. These \"sudden break\" episodes had begun earlier that year, and though I considered them minor annoyances compared with the staring spells, I had no idea how long they lasted. All I knew this time was that one had occurred onstage.\n\nLater that night, the class got together for an after-show party. As I nursed a beer, someone played a recording of the performance. Everybody listened, laughing, but I sank into uneasiness. Had I made a fool of myself when I drifted away? Had my classmates hidden their embarrassment? When they heard the odd pause, would they quiz me about it?\n\nWe reached my sketch, and I listened as my voice broke off midsentence. A second passed, and I started my lines again, repeating two words I had just said.\n\nAs my fellow drinkers\u2014who had noticed nothing amiss\u2014continued enjoying our jokes, I felt lost in wonder. Was that it? The sudden breaks were no big deal. But what about my staring spells? Friends told me they lasted ten to fifteen seconds. Did they? Maybe it just seemed that way.\n\nLooking back, I realize that my thoughts about these experiences were irrational. The episodes embarrassed me, but I believed they were commonplace. I had scores of questions\u2014Why was I so confused afterward? Why had I picked at my clothes? Why did I think I'd walked somewhere when I hadn't?\u2014but never raised them with anyone. Had I mentioned them, any doctor would have known I was experiencing seizures. To this day I believe that had I not been so deep in denial, many of my traumatic experiences in the years that followed never would have occurred.\nAn audio letter from\n\nMARI COSSABOOM, 1981\n\nA longtime friend\n\nIn high school, you would have those staring seizures, the staring spells. I assume they're seizures now, but we didn't know then. It used to happen all the time....I didn't worry about them because your parents didn't worry about them. Everyone always said that the reason those things were happening was because you were tired. And you have to admit, you were always exhausted, because you were always working on a million things at once. So I just accepted it\u2014all your friends accepted it\u2014as just something that happened sometimes.\n\n# CHAPTER TWO\n\nA deceitful September lured back another summer day, stirring bees that drifted through an open window into my college dorm room. I watched them buzz about as I rocked in a glider chair squeezed between school-issued furniture and a cheap table. One of my new roommates, Carl Moor, sat at his desk with his back to me, brushing aside my questions with one-word responses that left little doubt of his uninterest in chatting.\n\nFollowing a miserable summer, I had arrived a few weeks late to my first semester at Swarthmore. In July, I tore ligaments in my ankle, which required me to walk on crutches with a plaster cast. Then, the following month, I contracted paratyphoid fever\u2014the less deadly bacterial brother of typhoid\u2014and was laid up with a temperature that hit 106 degrees. I'd never experienced delirium before, but as fever cooked my brain, I enjoyed conversations with a friend who was not there and grew angry at nonexistent people fighting nearby. By the time I could get out of bed, I had dropped more than ten pounds.\n\nBy then, freshman orientation at Swarthmore had passed, classes were under way, and newly minted classmates had begun forming friendships. I arrived with clothes drooping on my body, crutches, a green pallor to my face, and the misunderstood, not-quite-correct story that I had contracted typhoid fever.\n\nI had been assigned to a four-person suite in Wharton Hall, among the most popular and storied dormitories on campus. Built in 1903, it exuded quaint collegiate charm. Gargoyles depicting every season and the signs of the zodiac decorated eaves of the building. Wrapping around three sides of an expansive patio, Wharton featured some of Swarthmore's largest dorm rooms; ours included two bedrooms and a living area that easily accommodated four work desks, bookcases, the glider chair, stereo tables, and an ancient, disheveled couch.\n\nAnother roommate, Pat Cronin, had been a friend at St. Mark's. Fellow Swarthmore students lumped us together as \"the Texans,\" a segregating designation I hated. Carl was a boyish quasi athlete from Chicago, and the fourth roommate, Franz Paasche\u2014born in New York, raised in Canada, and educated at a Vermont boarding school\u2014rapidly developed a reputation as the coolest kid on the hall.\n\nIn the first days after my arrival, Carl and Franz rarely spoke to me. Carl later told me that my appearance\u2014particularly the sallow face and crutches\u2014had put him off; that, combined with the dreaded \"typhoid fever\" label, led him to keep his distance. Franz correctly concluded I was decidedly uncool. With my limited ability to roam campus and most cliques already formed, Pat remained my only friend in those early days.\n\nThen came the bees. After the first few drifted in, I lifted one of my crutches and pushed the rubber tip against one, crushing it into the wall. As more flew through the window, I realized that either there was a nest directly outside or something in the room had attracted a small swarm.\n\n\"Carl, we've got a bee problem.\"\n\nHe turned around from his desk and saw the buzzing intruders; again I lifted a crutch and flattened another bee into the floor.\n\n\"Give me the other one,\" Carl said, reaching for a crutch.\n\nHe closed the window, and for the next few minutes, Carl and I competed in an insect safari. Once, I threw a crutch javelin at a bee, missing my target but ratcheting up the mood of hilarity. Carl dashed about, squashing them on the floor and against walls. We laughed at the spectacle\u2014me hopping on one leg, balancing myself as I whacked at bees, Carl with the other crutch trying to top my score in the killing spree. I lost the competition, but in that bee hunt, I won a friend. From then on, Carl would remain one of my closest buddies.\n\nMy strained relationship with Franz persisted\u2014bee hunt or not, I remained uncool\u2014but we became closer a few weeks later when he returned from a frat party feeling ill. He hadn't drunk much and worried he'd unknowingly downed punch made with grain alcohol. I took him to the men's room. Whatever he'd drunk came back for a repeat appearance, hitting the toilet, floor, and wall. When the heaves stopped, I put him to bed, then returned to the bathroom to mop up the mess. Apparently, cleaning other people's vomit passes for cool, and we, too, became good friends. In our conversations I learned he came from an amazing family\u2014his great-grandfather General Kurt von Hammerstein-Equord had been part of a failed plot to kill Adolf Hitler, while this hero's daughter, Maria Paasche, gained fame for helping Jews escape Nazi Germany on her motorcycle. But my bond with Franz didn't fully form until spring vacation, when we traveled to his home in Toronto. He showed himself to be enormously thoughtful and kind; he, in turn, learned that I could be a lot of fun.\n\nCarl, Franz, and I grew to have one of those clich\u00e9 \"three musketeers\" friendships. All of us were comedians of sorts\u2014Carl was the king of the one-liner\u2014and we began to attract a circle of friends who hung out in our room chatting endlessly over slices of pizza, sat with us in the dining hall, or accompanied us to parties. We also talked politics. I especially remember debating an ardent Marxist, throwing him off guard with a handful of questions; his face drooped as he proclaimed sadly, \"Everything I've believed is wrong.\" While his obvious feeling of devastation gave me a twinge of guilt, I realized I loved the intellectual swordsmanship, camaraderie, and challenging conversation that came with college life.\n\nThe roommates soon discovered coincidences between us that defied probability, particularly since we had been assigned to share a suite arbitrarily. Franz's grandfather Milton Levine had been one of my father's medical school professors, and the two remained lifelong friends. Carl's middle-school girlfriend in Chicago had attended high school in Vermont with Franz, and even dated his roommate. We continued discovering unlikely overlaps in our lives for decades, well into our fifties.\n\nTime passed, with Pat and I seeing less of each other as we drifted toward different circles of friends. Carl, who shared my love of horseplay, pitched ideas for occasional off-campus adventures that I gladly joined. In one escapade, we hopped a bus to Atlantic City; we met the casinos' age minimum of eighteen, but Franz, still seventeen, grumbled about being left behind.\n\nOur destination was Caesars Boardwalk Regency. As we entered the cavernous casino, a security guard demanded identification\u2014no surprise, since Carl looked at most sixteen. Smells of alcohol and grilling meat wafted through the room. Flashing lights, spinning wheels, and ambling waitresses imbued the place with a relentless air of excitement. But when we passed the slot machines, I cringed at the sight of haggard-looking elderly people feeding in coins they obviously could not afford to lose as they searched for a big win that would never come.\n\nCarl and I decided to limit ourselves to one hundred dollars in losses and hit the two-dollar blackjack table. We had been doing well when a man wearing a white suit and gold chains joined us.\n\n\"They call me The Idiot,\" he said out of nowhere. He told us he had just lost a fortune playing high-limit blackjack. \"Now I have to sit here with you losers at the two-dollar table.\"\n\nI'd never met a high-stakes gambler before\u2014or even someone who professed to be one\u2014and, despite his self-identification as The Idiot, I was entranced. The dealer slid another round of cards out of the shoe. Carl and I had placed our chips in the betting box when The Idiot spoke up to demean our decisions. He doled out advice; since this was a man who really knew casinos, we did as we were told. And we started to lose, lose, lose. As we approached our loss limit, we suddenly looked at each other in astonishment. I don't remember if we said it aloud or just understood our shared thought.\n\n_Why are we listening to a guy who just lost a ton of money?_\n\nSo we started to ignore The Idiot. His rants about our playing decisions continued even as we climbed back from the hole he dug for us. I don't remember if we ended up winning anything, but I didn't care; we had a blast.\n\nBack at Swarthmore, the four roommates enjoyed ribbing one another in bull sessions about the merits of the places where we grew up\u2014Pat and I in Texas, Carl in Chicago, and Franz in Canada\u2014and the flaws of the others' old stomping grounds. In early November, when six American diplomats were rescued from Iran by the Canadian government and the Central Intelligence Agency\u2014a caper later depicted in the movie _Argo\u2014_ someone ran a full-page advertisement in _The_ _New York Times_ blaring, \"THANK YOU, CANADA.\" Franz posted it on our bulletin board. In response, I cut out a photo of the New York City Marathon and wrote a caption beneath it saying, _Millions of Canadians flee for America after a guard accidentally left open a gate._ That went on our front door. Later that week, the _Times_ published an article about Albert Spaggiari, a French master thief who escaped from the police by calmly opening a window; smiling; saying, \"Goodbye\"; and leaping out, bouncing off a car before riding off on a waiting motorcycle. The roommates declared him our new hero. We clipped out the story and up it went next to the \"THANK YOU, CANADA\" ad.\n\nThat same month, Carl and I were goofing around in our dorm room. We had started periodically launching into fake fights for reasons only teenagers could understand. During one match, Carl took a swing at me, and I flew backward theatrically. I had not seen the wooden desk chair a few feet behind me and smashed my head on the seat. The next thing I remember, I was on a bed at the campus health center. A doctor diagnosed a concussion. Something about the way I hit my head led the medical team to give me a neck brace, which I was told to wear for a couple of weeks.\n\nAfterward, friends noticed that I periodically zoned out. I experienced an embarrassing episode when I suddenly became aware I was sitting in the dining hall with wet pants and my lunch mates staring at me. Apparently, I had started to stare while holding a glass of soda; it had fallen onto my chair and shattered.\n\nShortly before Thanksgiving vacation, I woke up confused; my muscles and hand hurt, and my head ached. I was on the ground beside my bed. I remembered nothing about what had happened but assumed something had caused me to slide off the mattress, leaving me in this disconnected state.\n\nTerrified, the next morning I called my mother to tell her I needed to see a doctor when I came home.\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nMy mother\n\nI want to go back to the beginning, in the fall of 1979. Kurt called me one evening to tell me he wanted to see a doctor as soon as he came home for Thanksgiving break. He said something was wrong with him, that his stares were worse and something had happened in his sleep. I made an appointment for him to see his pediatrician when he first came home from school. Just before he came home, the pediatrician's office called and canceled the appointment.\n\nI was very confused at that time. I had not told Heinz about Kurt's fears, because he didn't deal well with family health problems, but once the pediatrician canceled, I felt I had to tell him. Heinz was very upset and tried to find a neurologist, but everyone he knew was out of town. I suggested a neurologist I met through St. Mark's, but Heinz turned that down because he didn't know the man. He then said there was somebody at the medical school who was supposedly pretty good. Thus began our trials and tribulations with Charles Nicholson.\n\n# CHAPTER THREE\n\nIn a dreary hospital hallway, I glanced at plastic chairs decorated with gloomy colors that would never be found in a box of crayons, much less in nature. My mother sat beside me, and I studied her face. Her look of fear crushed me. Whatever was happening with me, I felt terrible for the distress it caused her.\n\nWe were waiting for technicians to perform a CAT scan. After hearing about my strange experiences at school, my father, insisting only academic doctors could be trusted, arranged for me to consult a neurologist who worked under him at the medical school. Family medical decisions were always dictated by him, so his choice of a physician was the final word.\n\nThe doctor, Charles Nicholson, rarely saw patients, my father said, instead devoting himself to research. Years would pass before I realized why that made him a terrible choice. Nicholson was a pediatric neurologist who spent his time in the lab; I was over eighteen, an adult, and needed someone with hands-on clinical expertise. To this day, I believe Nicholson would have refused to be my doctor if my father hadn't been his boss.\n\nThe day so far had been a blur. Because of the episode at school, my parents had forbidden me from driving, so my mother brought me to my appointment. I had spent almost no time with Nicholson but already disliked him. He said little to me and ignored my mother. When he took my medical history, I mentioned the staring spells, which led to numerous questions about how I felt before and after those episodes. His inscrutable face flashed with recognition when I mentioned that I had been seen picking at my clothes while staring. Then we discussed my experience waking up on the floor next to my bed. All the while, he exhibited the bedside manner of a termite inspector.\n\nHe performed a neurological test, a process I would repeat dozens of times in the years that followed: Squeeze his fingers, push his outstretched hands, follow a light with my eyes. He knocked my knees with a hammer and squeezed around my neck.\n\nAfter the examination, Nicholson sent my mother and me for more tests at Children's Medical Center. At the time, it didn't strike me as odd that I was an adult wandering the halls of a pediatric hospital in search of the lab for my next diagnostic test. We found the office for my EEG, a test that records electrical activity of the brain. The technician described how the exam worked and why it was used, then bound clumps of my hair with rubber bands to expose parts of my scalp. Afterward, he dabbed glue in each spot before attaching the electrodes. My mother thought I would be amused at my appearance and brought out a mirror. The sight horrified me. I snapped at her, and she apologized. We were both struggling our way through this, blindly trying to buck up the other.\n\nThroughout the day, I took each step as if by rote. But when I saw my mother's face as we sat on the plastic chairs outside the CAT scan office, reality crashed down. A massive machine was about to take innumerable images of my brain. The doctor was looking for a tumor.\n\n_A tumor._\n\nI hadn't considered this before but suddenly could think of nothing else. I might be dying. And I would find out soon.\n\nThe technician appeared and invited me in. A giant, donut-shaped machine stood to one side. Its size shocked me; I had thought it would be no bigger than an X-ray device. Minutes later, I was supine on a table, the top of my head facing the machine's massive hole. I may be mixing up my recollections\u2014I have had many scans since then with different devices\u2014but I believe this was the first time a technician infused a dye into me to make the pictures easier to read. He slid a needle into my arm, and the dye seeped in.\n\n\"You're going to taste something metallic,\" he said.\n\nI waited. I wasn't tasting anything...Wait, yes I was. Perhaps, I mused, I now knew the flavor of a rust-covered lightning bolt. My face flushed.\n\nThe table quietly trundled back and forth through the donut hole as the technician adjusted my location under a red alignment laser. I stared at the white casing a foot or so from my face. I wondered if this was how it felt to be in a coffin.\n\nThe table moved out a little and then back in. A whirring sound started each time the table stopped.\n\n\"Just a minute,\" the technician called out.\n\nLater, I would learn that CAT scan technicians always checked the images before ending the test. But in my feverish state of apprehension, I thought he had discovered something alarming. Soon, the moving table brought me out of the machine, and the technician said we had finished.\n\n\"Did you see anything?\" I asked.\n\n\"You'll have to ask your doctor.\"\n\n_I'm dying._ I was sure of it. I considered the technician's refusal to answer as confirmation that he had seen a tumor and wanted to leave the job of breaking the bad news to Nicholson.\n\nThat afternoon, I rejoined Nicholson, exhausted. My mother had accompanied me all day, and my father came down from his office to hear the verdict. I sat beside my mother in front of Nicholson's desk; my father leaned against the wall. The desk between my doctor and me gave me an uncomfortable sense of solitude, despite my parents' presence. I focused on Nicholson's flattened hair; the image of the villain from the 1930s film serial _The Perils of Pauline_ flashed through my mind.\n\n_Stop it._ I was taking out my fears on this man who, despite his disagreeable bearing, wanted to help. I picked at my head. The glue that had been used to attach the EEG electrodes stuck to my scalp like concrete. I felt certain I'd be walking around for days looking as though a drunken barber had taken a hatchet to my hair.\n\nNicholson said nothing as he flipped through each sheet of paper, examining all the test results. Then he put the file on his desk and looked at me.\n\n\"You have...\"\n\n_A brain tumor._\n\n\"...epilepsy.\"\n\nA wave of relief swept over me. _Epilepsy. Not_ cancer.\n\n\"Could that kill me?\" I asked.\n\n\"No, it can't.\" His response was wrong; epilepsy can be fatal.\n\n\"So what does that mean?\"\n\n\"It means you have seizures.\"\n\n_How is that an answer?_ I thought.\n\nHe told me that the staring spells were called petit mal seizures, and the symptoms I described from the night I awoke on the floor were common after a grand mal seizure.* I didn't know what that meant, and he explained it was the name used for general convulsions, which often strike when people sleep.\n\nNicholson turned to my father and began talking. I wanted this neurologist to explain our next steps, what the treatment was, whether the epilepsy might go away. Or would it get worse? Did epilepsy mean my brain needed surgical repair? I thought carefully, trying to arrange the words for my next question in a way that would force him to give more than flip answers.\n\nWithout looking at me, Nicholson told my father, \"He's going to have to go on anticonvulsants.\"\n\n\"All right,\" my father replied. \"Which are you going to prescribe?\"\n\n\"I've seen success with Tegretol.\"\n\nAs their conversation rambled on, I imagined myself jumping on Nicholson's desk. _I'm right here!_ I could scarcely believe he was ignoring me and that my father was allowing it to happen. When it seemed their conversation would not end soon, I interrupted.\n\n\"What is Tegretol?\"\n\nNicholson shifted his gaze to me. \"It's a medication that's been around for about a decade.\"\n\n\"Will it stop the seizures?\"\n\n\"It should.\"\n\n_Don't yell at him_. \"I don't understand what that means. Will it stop the seizures?\"\n\nNicholson looked annoyed. \"Yes, it will stop the seizures.\" He hesitated. \"Well, let me be specific. You might still have some staring spells until we get the medication adjusted.\"\n\nI was about to ask another question when Nicholson cut me off. \"Now, don't start feeling sorry for yourself,\" he said. \"There are children dying from cancer, and they're a lot worse off than you. You're not going to die from seizures. Those kids could only wish they had epilepsy.\"\n\n_What?_ I had been diagnosed for maybe two minutes, I had asked a couple of questions, and now my neurologist was telling me I should feel lucky I didn't have cancer? Was I not allowed to ask about epilepsy because there were children with fatal diseases? But in my emotional condition, I didn't lash out at his comment. Instead, believing he was key to stopping the seizures, I accepted his implicit command to stay quiet.\n\nNicholson resumed speaking to my father. I looked at my mother and could see she was as intimidated as I was. She asked about medication side effects. Nicholson ignored her.\n\nFinally, he turned to me again. \"What do you want to do with your life?\"\n\nWere we about to start chitchatting? I still knew next to nothing about my diagnosis or treatment, and suddenly we were discussing my future? I had graduated from high school only five months ago.\n\n\"What do you mean?\" I asked.\n\n\"What do you want to do for a living?\"\n\n\"I don't know,\" I replied, still confused by his questions. \"I've been thinking I might want to become a lawyer.\"\n\nNicholson eyed me evenly. \"No, you can't do that,\" he said. \"Seizures can be triggered by stress. You need to choose a career as stress free as possible.\"\n\n\"But\u2014\"\n\n\"I also think you need to reconsider attending Swarthmore,\" he said.\n\nI had been about to ask, If the medication would control the seizures, why did I need to avoid a job that might trigger seizures?\n\n\"Swarthmore is tough,\" he continued. \"It's not good for someone with epilepsy. You need to discuss with your parents whether it's wise to go back. You won't be able to keep up.\"\n\nEach sentence was a kick in the gut. _Drop your plans; drop your school; leave your friends; prepare for failure. Oh, and the drugs will stop the seizures._ So many questions filled my head that I had no idea which to ask first.\n\n\"Also, don't tell anyone about your diagnosis,\" he said. \"If people know you have epilepsy, they'll be afraid. Seizures are frightening. If you tell people, you might lose friends or jobs.\"\n\nMy chest tightened. \"But what if I have a convulsion in front of someone?\"\n\n\"That's why you're on the medicine, to stop that.\"\n\n\"Okay, but I've been having these staring spells forever. My roommates already know about that.\"\n\n\"Tell them not to tell anyone. And if you ever have to say something about this, call it a seizure disorder. Never say epilepsy. The word scares people. 'Seizure disorder' is less frightening.\"\n\nI still didn't understand. If the anticonvulsants would stop the seizures, why were we talking about this? \"But the medication\u2014\"\n\n\"Yes, that's critical. Never miss your medication.\"\n\n\"Why? What happens?\"\n\n\"Just don't miss it.\"\n\n_Don't yell._ \"I understand I shouldn't miss it. But what happens if I miss it?\"\n\n\"Don't even consider that. Don't miss it.\"\n\nI thought for a second. \"Okay, let's say I'm on an airplane, and it crashes into the ocean. I swim to a desert island. All my medication went down with the plane. What's going to happen?\"\n\n\"You'd just have to find a way to get your medication.\"\n\nI gave up. This doctor, I decided, took pleasure in confusing me. My father seemed untroubled; I figured he knew the answers to my questions. Maybe he would tell me later.\n\nNicholson instructed me to never use illegal drugs or over-the-counter medications that might be sedating and to limit myself to one drink of alcohol a day. Then, before I knew it, he ushered my mother and me away. I headed to the elevator baffled. He had failed to explain what caused the seizures, how the medication worked, or what side effects I might experience.\n\nHe had, however, convinced me that my life might be ruined by epilepsy. If I didn't hide, if I didn't lie, I would be tossed out of college, lose my friends, and spend the rest of my days alone in some low-stress job I hated. His words left me in shock, too emotionally overwhelmed to feel anything.\n\nMy mother and I reached the car, and I slid into the passenger seat. She said we needed to take my prescription to the pharmacy. I sat in silence, looking out the side window as trees and stores moved past. I thought I should be crying, but somehow I couldn't. I believed Nicholson. I believed I now had to live in secrecy and fear.\n\nAt home, I swallowed anticonvulsants for the first time, a ritual I would repeat almost every night for the rest of my life. _My daily dose of death,_ I thought. I read the package insert that came with the medication, and the list of side effects sounded like the health nightmares suffered by a hopeless patient on a medical television show. Breathing problems, irregular heartbeat, confusion, life-threatening this, fatal that. The drug could cause serious diseases, particularly involving blood or skin, but I recognized none of the names. I didn't notice the black box, full-caps instructions at the top of the insert saying that, to ensure I didn't contract a dangerous condition called aplastic anemia, I needed comprehensive blood tests every week for three months and then monthly for at least two years. Nicholson either didn't know those instructions or, in the months that followed, ignored them.\n\nMy mother drove me to the Dallas Epilepsy Association, and the counselor there put me at ease. He answered my questions until I understood my condition and my medication. He explained that if I missed my Tegretol, I might have a seizure; if I stopped it altogether, I could end up hospitalized or even die. Eventually, I understood that the drug could help or hurt. Taken correctly, it might control seizures. Used irresponsibly, it could cause them. I couldn't help but wonder: _Why didn't Nicholson just tell me? Why did he play those cruel games?_\n\nThe counselor mentioned grand mal seizures, and I interrupted him. \"I don't need to worry about those. My neurologist said I won't have them anymore.\"\n\n\"That's good,\" he replied, hesitation in his voice. \"How did he determine that?\"\n\n\"Because I'm going on the medication.\"\n\nThe counselor nodded silently. I wondered why he paused.\n\n\"Look at it this way,\" he said. \"Even someone who's sure they'll never drive anywhere but down the block needs to know how to put on a seat belt. So let me talk to you about grand mal seizures, and then I can answer your questions.\"\n\nHe asked me about the night I woke up on the floor beside my bed, and I confessed that I didn't understand how Nicholson had concluded this was a grand mal seizure.\n\n\"Everything you're describing is what happens in a postictal state of a grand mal seizure,\" the counselor said. \"That's the name for the period of time after a seizure when you can be awake, but the brain still hasn't recovered.\"\n\nDuring convulsions, neurons\u2014which control all action, thought, senses\u2014fire out of control, he said. The brain protects itself by producing chemicals to inhibit those cells. Metaphorically, the brain was a burning house, and the inhibitors were firefighters spraying water on the flames. But just as a soaking wet house can't burn again until it dries, someone whose brain is filled with inhibitors won't feel or act normally until the chemical balance returns.\n\n\"And that made my hand hurt?\" I asked.\n\n\"Not the seizure itself. You probably hit your hand during the seizure, though.\"\n\nI still had doubts. \"If I had a grand mal seizure, wouldn't it wake up my roommate?\"\n\n\"It might. Sometimes grand mal seizures can be accompanied by loud noises. But other times they can be quiet.\"\n\nThe counselor also dispelled myths about convulsions. Tongue swallowing was an old wives' tale; if someone was lying faceup after a seizure, the tongue might flop backward, but elevating the head on a pillow or turning it to the side solved that problem. Putting spoons, pencils, or any hard object in the mouth was unnecessary and dangerous. That mistaken remedy for the tongue-swallowing myth likely resulted from seeing the well-trained place a wallet or soft bite stick between the teeth. People's jaws often clamp tight during a convulsion, and soft items could protect the tongue, lips, and cheeks from bad bites. If the mouth was already shut, it was too late to stop a bite, and prying open the jaw could fracture a bone. When the untrained used a spoon or another hard object, teeth could break.\n\nAlso, the counselor told me, no one should hold down a person experiencing a seizure; that could cause injury or intensify the convulsions. A seizure typically lasted a minute or two. If it continued more than four minutes, someone needed to summon medical help. Otherwise, there was no reason for an ambulance after a seizure; once emergency room doctors learned I had epilepsy, they would leave me to sleep it off and then send me home when I awoke. However, in case I ended up in the hospital, the counselor recommended I wear a medical-alert bracelet or necklace listing my name and diagnosis.\n\nThe bottom line, he said, was to tell friends and family to use common sense during a seizure\u2014keep me from hitting solid objects, put something soft under my head to protect it, and let the episode run its course.\n\nThe conversation helped, but the meeting could have been more of a turning point had I not once again failed to ask important questions. I'd accepted Nicholson's depiction of my future and didn't want to hear the same dreary prognosis from this counselor. I left his office feeling better, but apprehensive about the lost opportunities that lay ahead for me. I tried to shake off the self-pity; after all, as Nicholson had said, children were dying of cancer.\n\nThanksgiving came and went. Normally I enjoyed the family dinner, but this time I remained lost in thought as I contemplated Nicholson's pitiless monologue. I couldn't let him be right. I liked school, enjoyed my friends, loved my life. Maybe if I tried hard, I thought, I could stay at Swarthmore. Maybe, if I stuck it out, I'd be able to handle any job after I graduated. From what Nicholson had said, it would be easy to stumble, to let years slip past as opportunities withered away because of my epilepsy.\n\nWhile I still didn't understand the illogic of his statements\u2014the medication would stop the seizures, but revealing the seizures could destroy everything\u2014I set an inflexible goal for myself, one to use as the measure of whether my life was on track: I would graduate with my class. I would not let myself slide into a failure that forced me out of school. If I kept pace with my friends, I could be certain that the sentence Nicholson had handed down was wrong. I had to graduate with my class. This would be my emotional touchstone.\n\nThe first step, though, was to make sure no one would learn about my seizures. When I returned to school, I decided, I would sit down with my roommates and explain why they could never tell anyone about episodes they might witness or my diagnosis.\n\n* In 2016, an international epilepsy group reclassified terminology for seizures since names like grand mal and petit mal did not capture all types of episodes. Because the words are relevant to my story, I will use the terms as they existed at the time of these events.\nAn audio letter from\n\nCARL MOOR, 1986\n\nMy college roommate\n\nYou were very worried that people wouldn't hire you, that if people found this out about you that you would never get jobs or would never be treated the same. Wanting to be able to be treated the same was a big deal for you. So we had no trouble in agreeing to give you that secrecy. But that was\u2014in the long run, that was detrimental and something I came to wish that we'd never started on.\n\n# CHAPTER FOUR\n\nThe sound of dishes smashing against the floor echoed through the Swarthmore dining hall. Shouts of panic, orders barked, thuds from a struggle. I had been eating with friends when the noise erupted from the entryway. Instinctively, I rushed toward the commotion along with others who wanted to find out what was happening.\n\nAt the bottom of a staircase lay a mob of students, arms grappling, legs akimbo. The people I recognized were upperclassmen; several played on Swarthmore's anemic football team. I couldn't make sense of the chaotic scene, so I asked someone what was going on.\n\nHe pointed into the mass of people. \"That guy is having a seizure.\"\n\nI went silent. Just weeks had passed since my diagnosis, and now, for the first time, I was seeing someone in convulsions. The mountain of students held down a kitchen worker, pinning the man's arms and legs. No, not a man, a teenager. His face was red, and he struggled to breathe as the weight of the would-be Good Samaritans crushed him against the floor. I panicked\u2014the kid needed space, air. Weeks earlier, I wouldn't have known the danger he faced. But I'd learned a lot from the Epilepsy Association. These well-intentioned students were probably intensifying the seizure and could break the boy's bones or squeeze the life out of him.\n\nTentatively, I stepped toward the heap of bodies and saw a large redheaded man with a bushy mustache clutching the boy's left arm. \"Excuse me,\" I said. \"You're doing everything wrong.\"\n\nBushy Mustache ignored me as he shouted an order at another student. I stood silently for a second.\n\n\"Get off!\" I suddenly shouted. \"Let him go! You're making this worse!\"\n\nHe whipped his head around, anger in his face. \"Look, kid, I'm premed,\" he snapped. \"What makes you think you know so much?\"\n\nI wanted to answer, _Because I have epilepsy._ But then all of the things Nicholson had warned about could come to pass\u2014losing friends, school, everything. I had a choice: Save a stranger or protect myself. I turned from the hideous scene, walked away, then leaned against the stone wall, unable to shake the rush of guilt I felt. I looked back at the boy's face, contorted and flushed.\n\n\"I'm sorry,\" I whispered. \"I'm so sorry.\"\n\nI couldn't watch anymore. I headed upstairs toward the building's main exit, forgetting about the dishes I'd left on the dining table. I grabbed my jacket off a coat rod and pulled it tight around me before stepping outside. The sky was clear in a cold twilight as I trudged back to my dorm.\n\nI thought about Nicholson's promise: I would never have a grand mal seizure again. He had been wrong. A few nights earlier, I had convulsed, this time in front of my roommates. None of them remembers the specifics of that seizure, but I know it left me devastated. Why would Nicholson have told me the convulsions were over if he wasn't sure?\n\nLater that evening, Franz mentioned the kitchen worker's seizure. \"It worried me,\" he said. \"I thought it was you.\"\n\nI tried to be casual about the whole thing\u2014yeah, strange someone else at our tiny school had a seizure\u2014but my unspoken thoughts were irrational. In an odd way, I thought the boy under that pile of bodies might have been me. Being forced to choose between two obligations\u2014protecting the kitchen worker or myself\u2014had kindled emotions I couldn't understand. Mortified by my weakness but too afraid to find out if the boy had survived, I needed to talk to someone. But with my thoughts irrational and my remorse tormenting me, who was there? My roommates had been supportive and sympathetic friends; I wasn't going to make them my counselors too. The only person who could understand what I needed to say, I realized, was me. I wouldn't need to confess my shame to others if I came to terms with the emotions on my own. I grabbed a blue spiral notebook and a black pen off my desk, then walked to the next room. I sat on my bed, flipped open the notebook, and wrote. I recounted the event. I wrote about Bushy Mustache.\n\n_Look, kid, I'm premed,_ I scrawled _. What makes you think you know so much?_\n\nI dug my pen into the paper, gouging a hole as I reread the words.\n\n_What makes you think you know so much?_\n\nA moment passed. _How can I be such a coward?_ I wrote.\n\nI ended there but returned to my notebook later that evening with a blue pen, this time to scribble two grammatically tortured sentences. _I don't know can handle this,_ I wrote. _It's not right I lose much if people find out._\n\n* * *\n\n\u2014\n\nChristmas vacation arrived, and I flew home to Dallas, eager to see Nicholson again. He was difficult to reach by phone, and even when we spoke, he just assured me I would be fine if I gave the medication more time. A face-to-face, I hoped, would give me the chance to find out why the convulsions hadn't stopped.\n\nOnce again, my mother drove me to his office, and with my father absent, Nicholson spoke only to me. I noticed his rudeness toward my mother; I wondered if women left him feeling threatened or if he was just contemptuous of them.\n\nMy appointment accomplished nothing. He performed another neurological exam\u2014\"Squeeze my fingers; push my hands\" _\u2014_ but brushed aside my concerns. When I asked why the convulsions hadn't stopped, he questioned whether I had brought them on myself by ignoring the rules: \"Are you drinking too much?\" \"Have you been using drugs?\" \"Did you miss your medicine? I told you not to miss your medicine.\"\n\nI assured him that I had followed his instructions. I felt small, begging for an answer about why my health was not improving. Nicholson asked if I still experienced the petit mal seizures, and I told him yes. There was a lot I didn't know at the time: For one thing, his petit mal diagnosis was wrong.\n\nNicholson wondered if my Tegretol dosage needed to be increased and sent me for a blood test to check the amount of the drug circulating in my body. I handed the technician a form with check marks on preprinted entries, sat in a chair, and laid out my arm on a table. I winced, anticipating the sting, before she slid the small, thin needle into my skin. This was the first of hundreds of blood tests over the years; now they are so routine I can't remember if my fear of the needle was followed by any pain. I headed back to Nicholson, who said he would call me when he received the lab results. My visit ended. I knew nothing more than when I arrived.\n\nDays later, my father returned from work with news that Nicholson had told him my drug levels were fine. I was stunned\u2014why was _my_ doctor talking to my father instead of to me?\n\nI asked questions about the results. My father didn't know the answers, so I telephoned Nicholson; his secretary took a message, and he never called back. I urged my father to speak to Nicholson at work and tell him we needed to talk. After that prodding, my doctor finally contacted me. He assured me there were no problems; the lab tests showed the Tegretol had reached the minimum therapeutic level of five milligrams per liter. This made no sense to me. I still had seizures. Who cared what the blood levels showed if the problem hadn't stopped?\n\nI asked if I might need more than the minimum level, but he insisted it was best to use as little as possible to avoid side effects. Over time, he promised, the seizures would be controlled. I could tell he was eager to end the conversation. The call lasted no more than a minute.\n\nLooking back, I know I should have fired Nicholson, but at that point, I never considered switching doctors. The relationship between people with epilepsy and their neurologists is complex and, with the wrong doctor, can lend itself to abuse. The terrifying loss of control that accompanies convulsions leads to a sense of powerlessness, with the neurologist taking the role of the only possible savior. Other epilepsy patients I've spoken with experienced this same paralyzing, desperate dependence on their neurologists, a feeling that can override common sense or the courage to question decisions. Without that doctor, control can never be achieved, helplessness never defeated, life never stabilized.\n\nSo despite Nicholson's abrasiveness, I kept him as my doctor. Christmas vacation ended, and I returned to Swarthmore, as confused and frightened as ever.\n\n* * *\n\n\u2014\n\nThe first thing I realized was that my left thigh ached. Then my groin and my lower back. The room light caused my head to feel as if an ice pick had plunged into my skull. The inside of my bottom lip throbbed with pain; I tongued it for the taste of blood. None, but I could tell I had bitten the meaty flesh.\n\nI was waking from another convulsion, feeling as though I had just played ten consecutive games of basketball. While my memory of events before a seizure was always sketchy, sometimes I recalled seeing lights flash in the left side of my visual field. There were also instances when the world became amazingly vibrant. Whatever else happened before I lost consciousness was lost to the amnesia surrounding a convulsion. As a seizure began, my neurons fired in uncontrolled electrical bursts that swept across my brain. My muscles pulled tight as I fell to the floor in what is known as the tonic phase. My jaw closed so strongly that people could hear my teeth crunching even from the next room. A guttural noise from my throat made it sound as if my airway was obstructed; sometimes, I stopped breathing altogether. Then the clonic phase started, as the frenzied electrical impulses commanded my body to jerk. I assumed the pattern rarely changed, since afterward the same muscles always ached.\n\nAs I came to recognize I was awakening from a grand mal seizure, panic set in. I didn't know where I was, and I couldn't open my eyes without intensifying the headache. This pain, this fear, these seizures, had become part of my life every few weeks in the second semester of my freshman year. I knew I could be anywhere and often imagined the worst\u2014on a street, a staircase, near a flame.\n\nThen I heard a familiar voice.\n\n\"Remember me? Your old pal Hunk?\"\n\n_Franz_. Whenever I roused from a seizure, he and Carl had taken to reciting the scene from _The Wizard of Oz_ where Dorothy's friends reintroduce themselves as she awakes in Kansas. It was goofy but incredibly important to me. This was their signal that I was safe or at least that I was around people who knew how to handle the situation.\n\nCarl told me I was in our dorm room and recounted what he knew about everything I had done before the seizure began. My hand reached for my head; for reasons I never understood, I often feared it was bleeding. I struggled to speak without a stutter. Muscles in my throat also pulled tight, so my speech was unusually soft, with lots of delays. Still, when I finally could, I joked with them as I lay on the floor. It seemed humor was always the best way to communicate that I was all right.\n\nThe seizures mostly occurred after 9:00 P.M., so I rarely left our room that late unless accompanied by Carl, Franz, or Pat, becoming dependent on them in ways I now know were unfair. A few teenagers were dealing with a problem none of us should have faced alone. Still, they have assured me for decades that, at least during the first year and a half, the experience was not hard on them. Carl joked that the seizures gave him exercise, since he sometimes had to help me back to the room. But the three of them always communicated that they just considered me a friend who needed help sometimes. \"It was tremendously important for you,\" Franz recalled later, \"to see that those of us who knew still loved you and that you weren't going to become a pariah.\"\n\nIn adhering to Nicholson's warnings, I left school administrators, the health center, and my professors in the dark. I told no friends about my epilepsy other than my roommates, and they honored my request that we keep it secret.\n\nMy father never wanted to discuss my health, and whenever I told my mother about another seizure, I heard her anguish as she tried to comfort me. She often suggested I come home until my health improved, but my goal of graduating with my class remained my benchmark, the proof that I could lead a full life. I feared that if I failed to reach this objective, I would become what Nicholson predicted\u2014an _epileptic,_ defined by my condition, rather than someone with broad interests and successes who happened to have seizures.\n\nAs a result, I made a foolish decision, one that I now attribute to being a young person overwhelmed by circumstance. While I could do little to control my health, I could take charge of my mother's pain\u2014I stopped telling her the truth. In our conversations, I glossed over how bad the seizures were becoming, assuring her that, while I was still experiencing convulsions, I was fine. My brother, Eric, was in his senior year at Swarthmore; I hid my seizure frequency from him as well, knowing that whatever he knew would get back to my parents and set off an argument about my leaving school.\n\nMy roommates became expert in understanding my convulsions and could tell when one was approaching. I grew pasty-faced, a sheen of sweat beading on my skin as my lips dried. My facial muscles slackened; my speech slurred; sometimes, one of them told me, my eyes dilated. While I don't remember who came up with the idea, we began to refer to my seizures in the third person, naming them Michael. That allowed us to discuss seizures publicly without tipping anyone off. When Carl, Franz, or Pat saw signs of a problem emerging, they would tell me, \"Michael is coming.\"\n\nCreating Michael also brought me a strange sense of comfort. I knew he was not real, but still I found it consoling to think that the chaos during my seizures had nothing to do with me. When I awakened injured, I had no recollection of what had happened. Truthfully, since I was unconscious, I wasn't there. Michael was. Michael did it. I despised him for it.\n\nSometimes I wondered if creating a fictional person was a sign I was cracking up. But according to psychologists I've consulted in the decades since, nonexistent Michael was a powerful technique for dealing with trauma. So long as I knew Michael was imaginary, they said, I had created a self-protective device\u2014a person I could hate for what was happening without directing animosity toward myself or my life.\n\nEven so, after I regained consciousness, I always had to deal with whatever Michael had done. Once I awakened from what would prove to be a life-changing seizure, feeling cold on my back and hearing a man's voice. No one recited _The Wizard of Oz;_ my roommates weren't there. Few things scared me more than being at the mercy of a stranger post-seizure. It might be anyone. Criminals or lunatics could have power over me.\n\nThis man sounded kind. I listened to him with my eyes closed, trying to avoid the light. Soon I figured out he was Allen Schneider, my professor from Introductory Psychology. That terrified me for a moment, because I thought I must have gone into convulsions in front of the class; Schneider was a beloved professor, and he taught in a lecture hall packed with students. But I heard no crowds, no panic. I was on a cold hallway floor. Schneider stayed with me as I recovered. Either someone called Carl, or he happened upon the scene, then took over. A day or so later, Schneider asked me to drop by his office.\n\n\"Are you all right?\" he asked.\n\n\"Yeah. These happen sometimes.\"\n\n\"Do you have epilepsy?\"\n\n_Don't use the word. Nicholson warned never to use the word._\n\n\"I have a seizure disorder,\" I replied.\n\nWe spoke for a few minutes as Schneider tried to assure himself I was receiving appropriate care. I asked him not to tell other professors or administrators what he had seen. He promised to respect my privacy.\n\n\"Do you know Al Bloom?\" he asked.\n\nI did. Bloom was a linguistics professor, and his class was tied with Schneider's as a freshman favorite. He had a family member with epilepsy, Schneider said, and it might be good for me to speak with him.\n\n_I never mentioned epilepsy. I said \"seizure disorder.\"_\n\nI couldn't help feeling this was spiraling out of control. First Schneider, now Bloom? And Schneider said \"epilepsy.\" I felt trapped; I appreciated his kindness, but I was balancing his advice against my neurologist's warnings to keep quiet.\n\n\"Would you like to meet Al?\" Schneider asked.\n\n_No,_ I thought.\n\n\"Yes,\" I lied.\n\n* * *\n\n\u2014\n\nDays later, I walked across the campus, passing the library and arboretum before heading to the aptly named College Avenue. I had already spoken with Bloom, and he had invited me to his home for a chat with him and his wife, Peggi, the family member with epilepsy. I accepted despite my misgivings about ignoring Nicholson's instructions.\n\nI strolled along a beautiful, treelined street before reaching the Blooms' house at the corner of Woodbrook Lane. Sunshine bathed the neighborhood in a cozy tranquility. I hesitated. Once we spoke, I wouldn't be able to stop the Blooms from telling others about me. For about the tenth time, I considered canceling our meeting.\n\n_Enough._ I walked to the front door and knocked.\n\nAl Bloom answered. A short man with glasses and a permanent smile, he gave me either a hug or a squeeze of the shoulder\u2014I can't remember which, but I do recall the physical contact knocked down my defenses. He escorted me inside and introduced me to Peggi.\n\nWe sat in a living area, and Peggi asked about my health. I said that my convulsions were poorly controlled, but I was handling the problem and the psychological pressure well. I believed I was telling the truth; by that point, I was in denial about the impact of the seizures on my emotional well-being. I spent time laughing with friends, going to class, doing homework. Except for occasional convulsions, I was like everyone else, so I figured I must be fine.\n\nPeggi told me about her epilepsy and her neurologist. Hearing from someone with the same condition, using words I had grown to know well, convinced me to let down my guard even more.\n\nI mentioned my fears of telling the truth, of losing control of my life, of being abandoned by friends, the school, and future employers. Al Bloom took advantage of the opening, saying I had to deal with my health problem honestly. Wasting time wishing it away would delay my learning how to compensate. He explained that he had been diagnosed with hypoglycemia, meaning his blood sugar could crash to severely low levels after eating. So he ate hamburgers for breakfast, he told me, a high-protein meal that helped him avoid glucose problems.\n\nPeggi spoke. \"Are there things you're not letting yourself do?\"\n\nI could have listed so much\u2014walking campus alone at night, using the health center, talking to my parents about how bad things were\u2014but it didn't cross my mind to mention them.\n\n\"Well, I kind of wanted to try out for the spring musical,\" I said.\n\n\"Why don't you?\"\n\nThe question shocked me. \"What if I have a seizure onstage?\"\n\n\"Then you do. But don't give up on something because you're afraid of someone seeing a seizure.\"\n\nThe words could have been the most important I had heard since my diagnosis, since they contradicted Nicholson's instructions to hide. But I had become too indoctrinated by his directives to understand the full import of Peggi's statement. I thought she was just telling me to audition for the show.\n\nThe conversation turned to grades. A seizure occasionally forced me to miss class, I explained. Even when things were fine, sometimes fear that I might be on the verge of a seizure interfered with my studies. My grades were good, but I worried epilepsy might prevent me from keeping up. Nicholson had warned me not to get stressed, because that could trigger a seizure. So when grade anxiety emerged, I became stressed about being stressed. It was a cycle I couldn't stop.\n\n\"Let me ask,\" Al said. \"Are you planning to go to graduate school?\"\n\n_Well, Nicholson told me law school is out, so..._\n\n\"No,\" I replied.\n\n\"Then stop worrying about grades. I promise, after you graduate, no employer will ever ask what your grades were.\"\n\nI was dumbstruck. Since high school, I'd believed grades dictated my future. Now this professor was saying I should ignore them?\n\n\"I can't just fail my courses,\" I said.\n\n\"I didn't tell you to fail,\" he said, speaking with renewed authority. \"Just stop worrying about grades. Pay attention to what you're being taught. If you understand the material, then you're getting an education. You're learning how to think. That's why you're at Swarthmore.\"\n\n_Ignore my grades._\n\n\"So when my semester grades come out...?\"\n\n\"Don't check them.\"\n\n\"I won't know my GPA.\"\n\n\"So what?\" He spoke in a caring tone. \"If you understand the material, you won't fail. Beyond that, your grades don't matter.\"\n\nWe talked until I ran out of things I was willing to say. I headed out feeling stronger than I had in months. I was leaning toward auditioning for the musical. And I decided on my walk back to the dorm that I would never look at my grades again until the day I graduated.\nAn audio letter from\n\nFRANZ PAASCHE, 1986\n\nMy college roommate\n\nHumor was key. Absolutely key. I think you've been very lucky that you have such a good sense of humor, because I think that it's the one element that's made everybody be able to deal with this in some way or another. Without your sense of humor, I think the people around you would have had a tremendously difficult time dealing with this. It just breaks the tension.\n\nIt was also great to know that one can be a little bit irreverent about these kinds of things. You have to be irreverent, just in the way that anyone is irreverent, but we never took it too far. We never took it to the point of ridicule or belittling the condition. The humor was a part of it. It was a part of the bond that all of us had. Because we could be funny about it, we conquered it in a certain way.\n\n# CHAPTER FIVE\n\nA rusty bridge on campus crossed high above a track for the commuter train that delivered passengers to and from Philadelphia. Swarthmore boasted a cabaret of hollies, magnolias, and hundreds of other botanical delights, so this homely spot on Fieldhouse Lane ranked as one of few locations that tour guides for prospective students made sure to avoid.\n\nEvery month or so, I trudged across the bridge toward the field house\u2014a hefty detour, but the only place I felt comfortable calling Nicholson. The school prohibited telephones in dorm rooms, claiming that to do otherwise would violate the Quaker tradition of equality, since not everyone could afford the cost. So, whenever I needed to speak with my doctor, I could either use a public phone in a well-traveled spot like my dorm or find a place on campus that offered privacy.\n\nIn the first months after my diagnosis, I called from Parrish Hall, which housed some phone booths; I gave that up after another student stood outside the door, hearing my every word as she impatiently waited for me to hang up. I searched the school until I found the pay phone in the field house, outside a basketball court. Before sports practices, the building was mostly empty, and I could speak to Nicholson without fear of accidentally disclosing the seizures to someone passing by.\n\nAs I headed toward the gym on this day, I felt exhausted and battered. A particularly violent convulsion had struck the night before; it took longer than usual to recover from my confusion and grogginess, and I badly hurt my left arm.\n\nI knew I had no choice but to notify Nicholson, a prospect I hated. His condescension and refusal to answer even basic questions always left me frustrated and miserable. As I trekked to the gym, I tried to steel myself in hopes of being able to walk away from the call without feeling devastated by what might be another pointless conversation.\n\nWhenever we spoke, Nicholson delivered the same refrain: The Tegretol had reached the minimum therapeutic level, that was the best amount to avoid side effects, and eventually I would respond to the treatment. He had repeated this for about four months, with a growing tone of exasperation that I hadn't just accepted his assurances rather than phoning again. I once asked about the severity of the side effects that could come from increasing the Tegretol, suggesting I might prefer those to the seizures. He ignored me; I sensed he thought I was joking.\n\nI opened the glass door of the field house and walked inside. After checking to make sure I was alone, I headed to the phone, then fumbled with the AT&T card my parents had given me for long-distance calls. I pushed what seemed to be dozens of numbers only to hear a woman's robotic voice tell me I had entered the wrong ones. Frustrated, I dialed again. This time the call went through.\n\nAs usual, Nicholson's assistant answered, and I explained that the convulsions were becoming worse. She put me on hold, and to my astonishment, Nicholson picked up.\n\n\"Hi, Kurt. What's happening?\"\n\n\"I've been having more grand mal seizures. I had another one last night, and I'm feeling awful today.\"\n\n\"Okay, so what happened during that seizure?\"\n\nI wasn't sure how he expected me to answer that question.\n\n\"I don't know,\" I replied. \"I wasn't there.\"\n\n\"Oh, don't be ridiculous! Of course you were there.\"\n\n\"That's not what I meant. I was unconscious. I don't know what happened.\"\n\n\"Yes, but that's not what you said. You said you weren't there. Why didn't you just say you were unconscious?\"\n\n_What the fuck does this guy want from me?_ \"I'm sorry,\" I replied, frightened he would hang up. \"I said it the wrong way. I was there. I just don't know what happened.\"\n\n\"Did anyone witness it?\"\n\n\"Yes, my roommates.\"\n\n\"Did you ask them to describe everything that happened?\"\n\n\"No.\"\n\n\"How are you going to tell me what happened if you don't find out?\"\n\nI held back tears. Why was he always so abusive?\n\n\"I don't know,\" I sputtered. \"I don't know what I'm supposed to ask. Isn't it enough just to tell you I had a grand mal seizure?\"\n\n\"No, I need to know everything. What was the aura* like?\"\n\n\"I don't remember. I know I've seen lights before, and my roommates say they can tell when a seizure is coming. But I usually don't remember what happened beforehand.\"\n\n\"You need to start asking.\"\n\n\"Asking what my aura was like?\"\n\n\"Don't be ridiculous. Asking what happens during the seizure. I need to know specifics.\"\n\n\"All right,\" I promised. But we had been working together for months. Why, I wondered, had he never told me this before?\n\n\"Well, it sounds like the medication isn't working.\"\n\nFor the first time, I wanted to laugh. _No kidding._\n\n\"I'm going to give you a prescription for Depakene and add it to your Tegretol.\"\n\nRelief washed over me. Finally, he was doing something.\n\n\"What is it?\" I asked.\n\n\"Another anticonvulsant. It was approved for epilepsy by the FDA a few years ago.\"\n\nI wasn't sure how to feel about that. Wouldn't it be better to use a drug that had been shown to work for decades rather than a new one? No matter. I trusted Nicholson. I had no choice. There was no one else who might end my terror of losing control.\n\n* * *\n\n\u2014\n\nI never read the package insert for Depakene, and Nicholson explained nothing; I simply picked up the medicine at the drugstore and started swallowing the gelatinous orange capsules. My neurologist had told me to take the drug, I was desperate, so I followed his instructions. However, the 1980 edition of _Physicians' Desk Reference_ \u2014the book that every competent doctor keeps nearby to research any medication before prescribing it\u2014shows that Nicholson had not made a good selection, at least based on the science known at the time. The primary use for Depakene listed in that year's _PDR_ was to treat petit mal seizures, which Nicholson had incorrectly declared to be the cause of my staring spells. When used in conjunction with another drug, it could impede seizures localized on one side of the brain. But grand mal seizures involve both sides, and those were the episodes damaging my life.\n\nDepakene carried warnings similar to the ones for Tegretol about possible impairment of blood cells. The manufacturer cautioned that it could trigger a dangerous dysfunction in platelets, the component that stops bleeding. Doctors needed to check a patient's platelet count and the length of time it took for bleeding to stop before prescribing the medication, the company specified; that way, changes would be evident in future tests. Nicholson followed none of the standard procedures.\n\nIf blood problems\u2014apparent or suspected\u2014emerged, the company directed doctors to stop use of the drug immediately. No one told me.\n\n* * *\n\n\u2014\n\nDespite the seizures, I tried\u2014without complete success\u2014never to miss class. But once on Depakene, at least for a while, I had no choice but to stay in my room. Moving made me sick. I spent hours lying on the wine-colored faux-leather couch in our living area. As long as I remained motionless, I felt fine. But if I shifted position, nausea overwhelmed me.\n\nYet even in this dreadful state where I could either stay still or feel the need to vomit, my spirits rose. By adding Depakene, Nicholson had finally acknowledged what I had known for so long: The minimum therapeutic dose of Tegretol hadn't worked.\n\nI have no idea how long I lay on that sagging couch in total stillness. But I knew these side effects would pass. I just had to stick this out as the price for getting better.\n\n* * *\n\n\u2014\n\nAfter a few weeks, I suspected Nicholson's treatment decision had flopped again. The convulsions didn't decrease in number. My faith that he would ultimately find a way to stop them remained unshaken; still, I started wondering, given his failures so far, if maybe he had been wrong about my needing to hide my condition, to never utter the word \"epilepsy.\" I had three caring confidants\u2014my roommates\u2014but I also had other kind friends. Maybe it was time to be more honest with them.\n\nThen came a day I was walking through Parrish Hall. Between classes, there was always an urgent, ordered frenzy about the place. Amid the crowd, I saw a classmate headed toward me. She shared a freshman suite in our dorm, and we had become friends. I had developed a small crush on her but hadn't seen her in a while, so I was glad to have a chance to catch up.\n\n\"Hi!\" I said.\n\nShe averted her eyes, maintaining an icy silence as she walked past. I was bewildered. Had I done something to offend her? I tried to recall the last time we had spoken. Nothing. I hadn't told anyone about my crush, hadn't acted on it, so that couldn't have been the reason.\n\nLater, I found out she had learned about my convulsions and may have witnessed one; there had been no argument, nothing that might have ended our friendship. But she never spoke to me again. Nicholson, I decided, was right. I stopped questioning his insistence that I needed to keep my epilepsy secret.\n\nIn the spring, I ended my \"late-night-gab-and-cram\" sessions. I knew that lack of sleep triggered seizures. Procrastinating instead of studying for an exam or writing an essay was risky\u2014what if a seizure struck the night before my work was due? At best, after hours of recovery, I'd arrive to class late, bedraggled, and unprepared. So I handled my homework in an un-college way: I did a little bit every day.\n\nDespite my best intentions, sometimes circumstances required me to write a paper in the twenty-four hours after a seizure, and I soon noticed something odd.\n\nMy first college English paper, submitted before my diagnosis, had come back with so many red marks it appeared as if the professor had cleaned a slaughterhouse with it. _Your writing is grotesque,_ he scrawled across the top. When I reread my work, I couldn't disagree.\n\nI was terrified the first time I typed a paper at the computer lab shortly after a seizure. If my writing was atrocious when I was at my best, then this assignment was sure to be a disaster. I was exhausted, my brain swimming. My speech slurred, and I struggled with names. People stared at me as I pecked at a keyboard, looking so haggard that a few asked if I was all right. I nodded, hoping they would think I was nursing a hangover. I finished my essay on time and was delighted when it came back with an A, loaded with kudos about its insight. (Even though I was no longer paying attention to my semester grades, I couldn't avoid noticing the marks at the tops of my papers.) Then another paper was written soon after a seizure. Again, an A with effusive comments.\n\nEventually, I noticed a trend: Whenever I wrote within a day after a seizure, my work wowed my professors. If I typed papers while well and alert, my performance was nothing special. One day, I grew curious and reread one of my post-seizure essays that a professor had praised enthusiastically.\n\nThe paper left me speechless. _I wrote this?_ It was...amazing. My sentence structure was perfect, my vocabulary top-notch. I had composed sentences I couldn't have spoken at the time. And my argument\u2014where had those thoughts originated? As I read, I learned more about the subject than I thought I knew\u2014from myself.\n\n_Michael is a genius!_ Could it be, I wondered, that convulsions triggered a creative part of my brain, temporarily allowing a _smarter_ part of me to take control or simply making my thoughts clearer? Although I never found medical research about such changes, I did come across others with similar experiences\u2014but more important, I saw the results in black and white. This was the first of many times I would marvel at the brain's power, elasticity, and secrets. I found it fascinating to read someone else's paper, written by me.\n\n* * *\n\n\u2014\n\nAs the end of freshman year approached, I was proud that I had kept my months-old promises to the Blooms. My GPA was unknown to me. I had auditioned for the spring musical and was selected for the role of the romantic lead. Carl had also landed a part in the show, which delighted me; not only did I have a good friend to join in the fun, but if I had a seizure, at least someone there would know what to do.\n\nAfter I was cast, I decided to tell the director about my seizures. After all, he had unknowingly assumed the risk of choosing a lead who might not be available on show night. He took my confession in stride and told me not to worry\u2014he would be my understudy. I missed some rehearsals, but to my relief, I made it through every performance.\n\nBecause of my willingness to take a risk by appearing in the musical, I met Julia\u2014a junior who appeared in the chorus\u2014and soon faced a new problem: how to explain my condition to a girlfriend. Days passed as I worked to overcome my fear of rejection, until I finally admitted to myself that if I didn't tell her, a convulsion would.\n\nOne night, sitting on a curb and staring at my knees as I spoke, I rambled through an explanation of my epilepsy. She was supportive and asked only what she needed to do during a seizure. I explained the details\u2014don't worry about tongue swallowing; no need for an ambulance unless the convulsions don't stop; don't hold me down; put something soft under my head and in my mouth if my jaw hasn't already clamped shut. Later, she spoke with Carl and Franz, who gave her more instructions based on their experiences. Nothing changed in our relationship; once Julia understood epilepsy, she treated it as an occasional nuisance, exactly as my roommates did.\n\nI hadn't given much thought to my summer until weeks before the second semester ended. For years, I had worked at a day camp, but I suddenly realized my uncontrolled epilepsy changed everything. I couldn't care for other people's children; they would be in the pool, on stairs, standing waist-high beside me. If I lost consciousness at a bad moment, I could hurt one of them. It didn't matter that my seizures mostly occurred at night. I wasn't going to take that risk.\n\nThen reality struck. I couldn't drive. That hadn't posed a problem before. I had spent spring break with Franz at his home in Toronto, a city with public transportation. During Christmas, I had let friends cart me around Dallas. But summer? Three months without driving in a city where mass transit was a joke. Whatever job I got, I would need to commute every day. Unless someone drove me, my work would be dictated by the city's lousy bus routes.\n\nMy mother saved my summer and my morale by agreeing to serve as my chauffeur. I found a job as a \"premium specialty ad sales representative,\" a hilarious name for telemarketers who sell pens, key chains, and Frisbees to companies that want their names and phone numbers on customer giveaways.\n\nDuring training, I was told to ditch my real name on sales calls\u2014too many syllables. If I announced myself as \"Kurt Eichenwald,\" my spiel would be interrupted by the question \"Who?\" Instead, the boss told me to adopt an alias, one with first and last names of one syllable each. I thought for a minute, then made a choice I knew I wouldn't forget: Carl Moor. I took a desk, grabbed some phone books, and started cold-calling. After a few weeks, I decided to have some fun and pitch the Minnesota camp where Carl was working.\n\n\"What a coincidence!\" the woman on the line bubbled after hearing my pseudonym. \"We have a Carl Moor who works here.\"\n\n\"Well, he probably doesn't spell it the way I do. My first name starts with a _C,_ and I don't have an _e_ at the end of Moor.\"\n\n\"That _is_ how he spells his name!\"\n\n\"Huh,\" I replied trying to sound surprised. \"Maybe we're related.\"\n\nI told her what I supposedly looked like, delivering a dead-on description of Carl. She marveled; I sounded like Carl's twin! We agreed there was a chance this counselor of hers and I were distant relatives. We launched into a friendly \"what a small world\" conversation.\n\nI sold her some Frisbees.\n\nI was supposed to stick to a script but decided to treat potential customers like real human beings and engage them in conversation. This angered the supervisor, but there was not a lot he could say about it\u2014although I worked part-time, I soon racked up the second-highest sales and the lowest number of packages rejected at time of delivery. My bosses surreptitiously recorded my calls, trying to learn my secret. Eventually, they gave up, unable to decipher the mystery behind my performance. The company president called me to his office to tell me of their eavesdropping and how they couldn't figure out why my sales were so strong. He asked me if I could think of an explanation.\n\n\"Yeah,\" I replied. \"I don't lie.\"\n\nAnd I tossed away the script, I explained. Listened to people, heard who they were and what they needed, spent time to earn their trust, and never ended the call so long as a prospect kept asking questions. The boss frowned; I don't know what he expected, but clearly he hoped I had divined some special trick that lured people into purchasing junk they didn't want. For decades afterward, I have told young reporters of my telemarketing days, explaining the lessons I learned about how to speak with people, a knack that paid dividends throughout my career.\n\nDespite success at work, my summer was rough. I could no longer hide the severity of the convulsions from my parents. Once I woke in a hallway in our house, my mother kneeling beside me, stroking my cheek and assuring me I was all right. I tasted blood and, as always, reached to my head to check for an injury. A sticky ooze soaked the side of my face; I touched the back of my head and found it drenched. I panicked, struggling without success to scream for my mother to stop the gushing blood, not comprehending that she would have noticed a gaping wound. She had never seen me so distressed and struggled to understand me as I rubbed my head and the floor. I wiped my dripping hand across her face so she could finally see the blood. Then she understood.\n\n\"Your head isn't bleeding,\" she told me rapidly. \"Listen to me. It's not bleeding. It isn't blood.\"\n\nShe explained repeatedly that the sticky liquid I felt was saliva. During the seizure, a froth had flowed from my mouth down the side of my face, forming a pool on the floor. Eventually, her explanation overcame my panic, and I calmed down.\n\nThat day, my mother confronted my father. The seizure she witnessed had been awful, she told him. Watching my body contort, listening as my teeth crunched, seeing blood in my mouth as I bit into my lip\u2014and then afterward, my confusion and terror. I had been in a deep sleep for hours since then. This was far more serious than I had let on, she told him. She begged him to intervene with Nicholson or to find another doctor. He listened stone-faced. Throughout their marriage, my father demanded the last word on important decisions, dictated most parts of my mother's life, and often treated her like a fool. This was no different. He would not be doing anything, he told her. Nicholson was my doctor, and he was the best. And, he fumed, she needed to control herself.\n\n\"If you don't stop,\" he barked at her, \"you're going to make Kurt think he's seriously ill!\"\n\nMy father downplayed the seizures even when he witnessed them himself. While I'm not sure when it occurred, I know one time I fell into a grand mal seizure in front of my family, striking the playroom floor. My mother and my brother rushed to help me. My mother glanced up from me to my father, who sat near the ugly scene eating some watermelon.\n\n\"Look at this!\" she shouted. \"Look what's going on here!\"\n\nMy father stayed silent and just kept munching.\n\nThat summer, I had one appointment with Nicholson but felt so concerned that he would abandon me if I angered him that I asked few questions. During the consultation, he told me that blood tests from earlier that week showed my Depakene levels were too low, so he increased my dosage. By that time, I had begun to take tentative steps toward admitting the truth: Nicholson had no idea what he was doing. He was a researcher, not someone who treated patients. He was so difficult with me, I thought, because I was interrupting his real job. When I called, I was delivering a new proclamation that he had failed. Was it that simple? I wondered. Were my seizures still uncontrolled because my neurologist's ego couldn't handle hearing that his treatment hadn't worked?\n\nAfter a week of wrestling with these thoughts, I approached my father. I had been convinced that capable physicians worked only at medical schools and believed no other academic neurologist in Dallas would treat me without his approval. I found him in our bookcase-lined living room, sitting in his favorite chair, face pointed toward the ceiling as classical music swelled around the room. I parked myself on a couch beside him and began to discuss my concerns. I mentioned my epilepsy.\n\nHe interrupted. \"You don't have epilepsy!\" he snapped. \"You have a seizure disorder!\"\n\n_What?_ I was thunderstruck. My father, the world-renowned physician, had heard Nicholson's advice on how a euphemism could help hide my condition. Now, after all these months, he was grasping at the term to mask his dismay about the diagnosis. I realized the truth: Despite his training, my father feared the word \"epilepsy.\" I didn't know if he was ashamed or ignorant or unwilling to face reality, but I knew I couldn't let this lie.\n\n\"Dad,\" I said, \"epilepsy and a seizure disorder are the same thing.\"\n\n\"No they're not! Didn't you listen to what Nicholson said? You shouldn't say 'epilepsy.' It's not epilepsy.\"\n\n\"Then what is it?\"\n\n\"It's a seizure disorder.\"\n\nI paused. \"Okay, so what does that mean? What do I have? How is it different than epilepsy?\"\n\n\"It's different,\" he huffed. \"And I don't want to talk about it anymore.\"\n\n* * *\n\n\u2014\n\nThat clash was a turning point. For the first time, I realized my father was not fit to manage my medical care. But his denial hardened my belief that only Nicholson could save me; after all, how would I find another neurologist at a medical school without my father's help? Watching my mother's dismay\u2014and knowing her solution was for me to come home, robbing me of the psychologically essential goal of graduating with my class\u2014further convinced me to protect her. My brother was headed to Harvard Medical School, and I didn't want to trouble him. My sister lived in Los Angeles, and I kept her in the dark as well.\n\nFor years, I would think about that conversation with my father, as well as other instances where he refused to discuss what was happening, and the impact that had on my well-being. For a long time, I was furious at him; my wife never forgave him, even after his death, because she believes his failures contributed to long-term damage. Eventually, though, I made my peace with him. I realized, even though he was my father, even though he was this famous physician, he was as fallible as anyone. He had not intended to hurt me. He healed people for a living, but with his own family, he could not accept the helplessness he experienced as my seizures worsened, a feeling I shared.\n\n* An aura is a perceptual change that occurs prior to a seizure. It can manifest in many ways: the hallucination of lights, detecting an unpleasant smell that isn't there, a sense of d\u00e9j\u00e0 vu, confusion, and many other disturbances.\nIn a conversation with\n\nHEINZ EICHENWALD, 1986\n\nMy father\n\nDAD: I went through a fairly long period of denial. I was thinking it was just a passing thing that you were going through and that even if you had seizures, they would probably get under control once the drug was found. That would be the end of it, and it'd probably burn out. I kept thinking that this was due to some injury that you'd had from falling and that it would heal and it would go away. And after that I was angry at a lot of people.\n\nKURT: Who were you angry at?\n\nDAD: I was angry at the doctors.\n\nKURT: Were you angry at me?\n\nDAD: Probably, yeah.\n\nKURT: How come?\n\nDAD: Subconsciously one knows it's not your fault that you have seizures, but you're still making life difficult for everybody and most of all for yourself. So I probably had some anger toward you also.\n\nKURT: How about now? What's your attitude and your feeling about you, me, and this?\n\nDAD: Well, right now I feel like, in a lot of ways, I failed you. I didn't handle the situation well. I've got all sorts of excuses I can make for myself. But they're just excuses.\n\n# CHAPTER SIX\n\n\"I'll just wait until he's available.\"\n\nI rubbed my face, then pulled on the metal cord running from the handset to the pay phone. It was my sophomore year, and I was in the field house calling Nicholson. I had stopped contacting him months before; the conversations had become too pointless and hurtful. The seizures had not abated, but chasing him down without success tore at me. Worse, after adjusting my medication, he treated me cruelly, continuing to throw me off guard with demands that I explain why I didn't know the answers to questions he'd never raised before.\n\nBut another grand mal seizure had struck the night before; nothing about it had been different, but I'd snapped. Perhaps the buildup of other terrifying complications in recent weeks had set me off. The latest was a white growth on the spot inside my lip that I often bit during convulsions. I had become skilled at denial, but I couldn't ignore the lump. I knew little about cancer except that it spread; maybe this thing was a malignancy. I researched \"oral cancer\" at the library and found a photograph that looked vaguely like what I saw in my mouth.\n\nMy decision to call Nicholson wasn't just about that growth, though. My resilience was faltering. The gambit of blaming my seizures on imaginary Michael had worn thin. These dreadful things were happening to me, not some fictional, faceless character. Also, I feared I was annoying my roommates with the detailed questions after seizures\u2014where had I fallen, what did I look like beforehand, how was my body positioned during the episode?\u2014a response to Nicholson having chastised me for not knowing everything that occurred in a convulsion.\n\nAnd I was losing control of my secret: During one breakfast, a classmate joked that the audience at a concert was having \"epileptic seizures\"; another student laughed, looked at me, and said, \"That couldn't be. Kurt wasn't there.\"\n\nI stared at my bowl of cereal, silent and ashamed.\n\nI needed help from someone. Anyone. The family dynamic and my own failings continued to block me from seeking another doctor. My girlfriend and I had broken up, mostly because our age difference prevented us from merging our social circles. My roommates handled the physical demands of my seizures with composure, but I tried to avoid putting my emotional health in their hands. Nicholson was all I had. As much as I hated him, I still thought he was the only person who could save me.\n\nSo I made my journey down to the field house, vowing to stay on the phone until we spoke. His assistant told me that he was in the lab but would call when he returned. I wasn't falling for that again. I would wait on the line for him, I told her.\n\n\"It could be ten minutes,\" she cautioned.\n\n\"That's fine,\" I said.\n\nI heard a soft buzz after she pushed the HOLD button. There was no place to sit; the handset cord didn't stretch, so I couldn't rest on the floor. I leaned against the wall as time passed, alone in the cavernous building.\n\nFive minutes.\n\n_Not much longer,_ I figured. I read the instructions on the phone about how to make different kinds of long-distance calls.\n\nTen minutes.\n\n_Okay, time's up. Nicholson will pick up any second now._\n\nFifteen minutes.\n\n_I guess his assistant underestimated how long it would take him to return to the office._\n\nI heard the door to the field house open. A woman walked in. I hoped she didn't want to use the phone. She passed by and headed to the basketball court.\n\nTwenty minutes.\n\nI squeezed my forehead above the bridge of my nose, a nervous habit I had developed in the previous few months.\n\nTwenty-five minutes.\n\nMy stomach knotted. I didn't know what to think.\n\nThirty minutes.\n\n_Something's wrong,_ I thought. Maybe Nicholson's assistant had neglected to tell him I was on hold. I could call back, but it took time to enter all the numbers to charge a long-distance call on my AT&T card. If I disconnected to redial, he might pick up the phone right after I hung up and wouldn't be available half a minute later when I called back. I just needed to wait.\n\nThirty-five minutes.\n\nI wiped away tears. _I don't know what to do_. More students came into the building. I turned away from them. Was it time for sports teams to meet? I didn't know. They disappeared down a hallway.\n\nForty minutes.\n\n_I can't. I can't. I can't do this anymore. I can't._\n\nForty-five minutes.\n\n_Okay,_ I decided, _I'll call back._ I looked at my AT&T card and tried to memorize the number. It would take me only thirty seconds, just thirty seconds out of forty-five minutes. What was the chance Nicholson would pick up during those thirty seconds? I hesitated, made my decision, then pushed down the metal bar, disconnecting the call. I rushed to redial but forgot the AT&T number. It took two tries for the call to go through.\n\n\"Hi, it's Kurt Eichenwald. Is Dr. Nicholson back yet?\"\n\n\"Oh, Kurt, I'm sorry. He's gone home for the day.\"\n\nMy mind went blank. \"But...I was...When did he leave?\"\n\n\"About thirty minutes ago.\"\n\nI fell silent. Something shattered inside me, something that had held me together emotionally for a year, something that had kept me functioning. Then rage of an intensity beyond my experience rushed out in an uncontrollable explosion of anger, fear, hopelessness, and helplessness.\n\n_\"Fuck you!\"_ I yelled. _\"And fuck him!\"_\n\nI pounded the handset against the receiver again and again, banging plastic on metal as deep, racking sobs shook my body. I screamed repeatedly, a wordless, guttural shriek of pain. _I can't live like this._ _I don't know where to go; I don't know what to do. I have no doctor. I'm alone_.\n\nA man rushed toward me. I continued smashing the phone down, feeling lost, emotionally paralyzed, ravaged. The man touched my arm. I pushed him away. Then I ran. Still weeping, I hit the glass door of the gymnasium hard. It flew open with a bang as I raced into the street.\n\nI ran going nowhere, going anywhere. I wanted to get away from me, from Nicholson, from Michael, from everything. I could not sprint fast enough to escape them all. I tripped on the grass next to Parrish Walk, tumbled across the asphalt, and stood. Someone called my name. I kept sprinting.\n\nIt seemed like I ran forever\u2014across campus, into the village, down sidewalks, and back. I found myself at Al and Peggi Bloom's house. I pounded on the door, my face dripping from tears and sweat. When one of them answered, I lurched inside without waiting to be invited. I sat in the same chair I'd used months earlier and brought my hands to my face, sobbing, choking, and trying to talk at the same time.\n\nI have almost no memory of that discussion, and the taped diary I made twenty-four hours later\u2014a rambling tirade of pain and grief about the events of the previous day and year\u2014reveals little of what occurred at the Blooms' house. What is clear is that they decided not just to counsel me but to intervene. Peggi promised to put me in contact with her Philadelphia neurologist.\n\nDays passed before I spoke on the phone with Peggi's doctor. The contrast between him and Nicholson could not have been starker. Patience and compassion guided his words. I immediately overcame my fear of annoying\u2014and then losing\u2014my doctor and posed complicated questions I should have asked long before. The neurologist provided careful and comprehensive responses, although he expressed surprise that I knew so little about epilepsy. I mentioned that Nicholson had told me I suffered from petit mal episodes, but the Philadelphia doctor expressed doubt. Based on my answers to his questions, he said, it seemed more likely those spells were in a different category. I didn't know who was right, but I didn't care. What mattered was a neurologist was speaking to me without condemnation.\n\nThen the bad news. He wasn't taking new patients and didn't believe he was the best doctor for me. Given the number of seizures I experienced, he said, I needed a physician with admitting privileges at a facility close to Swarthmore, not thirty minutes away in Philadelphia. While he didn't know any neurologists who practiced near the college, he assured me I shouldn't have trouble finding someone.\n\nGiven that my father had always chosen our physicians without consulting us, I had no idea how to track down a doctor. My first thought was to contact an epilepsy organization in the area and ask for a recommendation. At McCabe Library, I flipped through the local telephone book; the listings jumped from _Epicure_ to _Episcopal Academy\u2014_ no epilepsy groups. Then I turned to the listings under _N_ and found a handful of medical groups with names that began with variations of \"neurological.\" I chose the closest one and wrote down the number.\n\nLater that week, I called the nearby office of Dr. Milton Craddock. His staff told me that yes, he treated epilepsy and, after hearing details of my condition, scheduled me for the next day.\n\nI took a cab to Craddock's office and found a seat in the waiting room. _A waiting room._ While under Nicholson's care, I had never seen a waiting room. He didn't have one; his office was off the hallway that led to a lab. A waiting room meant patients. Craddock treated people instead of conducting research.\n\nThe nurse called me into the exam room, where I saw a poster with a drawing of a brain. I was still studying the image when Craddock walked in. He was smiling, cheerful, the opposite of Nicholson in every way. He conducted the same neurological test\u2014\"squeeze my fingers; push my palms\" _\u2014_ but explained what he was doing. He asked about my medical history but, unlike Peggi Bloom's neurologist, said nothing when I mentioned my supposed petit mal seizures. I couldn't remember the type of seizure Peggi's doctor had said was the more likely cause of my staring, but I figured if Craddock didn't care, neither did I.\n\nHe sent me to have my blood drawn to check medication levels. Then it was back to Craddock. He told me that he would be sending me for an EEG and a CAT scan. I liked him, and the more we talked, the more I trusted him. I decided to ask the most important question.\n\n\"Do you think you'll be able to get my seizures under control?\"\n\nHe smiled broadly. \"Of course!\" he exclaimed.\n\nI left Craddock relieved. He was supportive, exactly what I needed. I had found him on my own. I had taken control of my health. A renewed sense of strength surged within me.\n\nA few days later, I returned to my room and, on a whiteboard on our front door, saw a message that Craddock had called. I quickly erased it, worried that my hall mates would wonder why a physician had telephoned. Then I walked to a nearby pay phone in our dorm; I no longer needed to sneak off to some secluded spot. There would be no pleading, no outbursts, no confrontations, just a quiet talk. Most likely no one would understand or care about the topic of conversation from hearing my side of it.\n\nA woman answered, I identified myself, and soon Craddock was on the line. Relief washed over me as I realized I now had a doctor willing to speak to me.\n\n\"Kurt, your blood levels came back. It's no wonder the seizures haven't stopped. Your Tegretol level is just above the minimum, and your Depakene is only a little better.\"\n\nI knew that already. \"But doesn't the medication start working when it passes the minimum level?\"\n\n\"No. The blood level is a range. Some people get better at the minimum. Some require the maximum. Think of it like alcohol. Some people get drunk off a single beer. Others can drink a case with no effect. There is no single right answer. It depends on the person.\"\n\nThat made sense. Anticonvulsants weren't like aspirin, with a recommended number of pills to take. I was about to ask a question, but Craddock answered it before I had the chance.\n\n\"We need to increase your dosage of both medications.\" He instructed me how much I should be taking each day and at what time. He promised to send me new prescriptions, since the higher dose would cause me to run out of the drugs more quickly.\n\nI hung up, ecstatic. Everything that had seemed so complicated and mysterious with Nicholson was now simple and clear with Craddock\u2014my convulsions had not been controlled because my treatment was insufficient, because Nicholson was either too arrogant or too incompetent to recognize his error. This, I was sure, was the turning point; I was going to get better.\n\nBut I was wrong. While Craddock held himself out as a neurologist, he was not certified in the field. Other than epilepsy, he treated no purely neurological conditions, instead dealing with problems like schizophrenia, bipolar disorders, and other biologically based psychiatric conditions. I met other epilepsy patients he treated but have since learned we were a small part of his practice. His understanding of anticonvulsants and their dangers was shallow at best.\n\nI could not have known at the time, but this friendly, supportive man whom I saw as my potential medical savior was instead, out of near-criminal incompetence, about to push me terrifyingly close to my own death.\nIn a conversation with\n\nDR. ALLAN NAARDEN, 2017\n\nMy former neurologist\n\nGiving somebody false hope is worse than not giving them any hope at all, I think. You want to be honest with people even in small things because if you're not, then how will they believe you in anything that you say? The whole idea is the trust that you develop with your patient is something that's the responsibility of the doctor. It's as important as the medicine that you give somebody, if that's necessary.\n\n# CHAPTER SEVEN\n\nWithout warning, my muscles went limp, and I plunged down a flight of stairs. I was conscious, feeling every slam, every bump, every scrape, but I never flinched. It was as if I had suddenly become paralyzed. After crashing to the bottom, I was bruised and beaten but not in agony\u2014nothing broken. Maybe, I figured, my inability to move had protected me as I tumbled.\n\nThese \"drop attacks\" had started a few weeks earlier in the second semester of sophomore year, and there was no hiding them from other students. Worse, the number of seizures was escalating. Every few days, I either toppled in one of the new episodes or awoke from convulsions. The falls occurred anytime; staying in my room at night accomplished nothing. Witnesses to my collapses marveled at how quickly I went from upright to crumpled on the ground. I frequently heard the words \"You fell like a ton of bricks.\" One friend likened it to seeing a marionette tumble after someone cut its strings.\n\nI phoned Craddock, desperate for an explanation. He told me I was describing \"atonic seizures.\" Innocuous name, ghastly problem. Unlike convulsions, where muscles tighten before the body starts jerking, atonic seizures involve a sudden, complete loss of muscle tone. The episodes ended quickly and never involved loss of consciousness. He could not be certain, he said, but the drop attacks may have started either as a result of my seizures being poorly treated for so long or because I needed more anticonvulsants.\n\nA grand mal seizure, with all of its spasms and clenching, can appear petrifying and almost otherworldly. But for me, crashing to the ground without warning was far worse. Michael did not step in and take over my body as I blacked out; when I dropped, I was awake for the entire event. The experience of a convulsion was akin to waking up after a car accident, nursing wounds from a calamity I didn't remember. These new seizures were like driving down a busy highway knowing I would lose control of the car\u2014maybe in a few hours, maybe in a few seconds\u2014and then skid helplessly into a tree as metal crunched my body and glass cut my face.\n\nI spent every moment looking around for dangerous objects I might hit in a fall\u2014a rock, a pointed stick, a bench. Even so, I occasionally and foolishly disregarded threats, a carelessness I came to regret. Before the drop attacks started, my roommates\u2014including Dave Robbins, who had taken Pat's place\u2014had removed a couple of mirrors from the walls, placing them on two trunks to create a reflecting coffee table. Very cool, we thought. Unfortunately, the risk of this funky piece of do-it-yourself furniture escaped me. I recognized the danger only when I crumpled on top of the table, breaking the mirrors.\n\nCraddock urged me to contact him if the seizures worsened, and after every few calls, he upped my anticonvulsant dosage. We fell into a cycle that showed no sign of ending: He increased my medication, more seizures occurred, and he bumped up the prescription again. He ordered the changes without checking my blood to determine the drug levels or possible problems. It never occurred to me that he should have.\n\nWhen Nicholson diagnosed my epilepsy, he placed me on one Tegretol pill a day, gradually increased that by two more, then added Depakene. By the second semester of my sophomore year, Craddock had boosted my dosage from four to eleven pills a day.\n\nNausea and dizziness were my frequent companions. Sometimes I lay down on the grass because my head was spinning. My hands trembled. I often gasped, feeling as though I couldn't get enough air. Bruises that appeared after my seizures remained for a long time. If I rubbed my hands through my hair, a surprising amount came out. I assumed I was just going bald at a young age until I realized a large number of the follicles were falling from the sides and the back, not the typical pattern for male hair loss.\n\nEach time a new symptom surfaced, I phoned Craddock and asked whether the drugs might be the cause. At least half a dozen times, he uttered the same reply: \"I've never heard of that as a side effect of the medication.\"\n\nAlthough it took years for me to grasp the magnitude of the problem, signs emerged that my memory was flagging. I didn't remember events that my friends told me I had attended. I struggled with people's names, even those of longtime friends. Once I looked at one of my roommates attempting without success to summon up the name \"Franz.\"\n\nWorse, I was increasingly forgetting to take my medication. That had rarely been a problem before, but now some mornings I woke feeling dreadful from having missed at least one of the sets of pills I was supposed to take three times daily. I tried to set up a system to give myself a visual cue that I had swallowed my medicine, but then forgot how the system worked. My roommates became angry at me when I missed my drugs; after all, they dealt with the consequences too. I promised to do better, but then forgot again. I could not understand what was happening.\n\nI wish I could recount more of this terrible time, but with my deteriorating ability to recollect and my attempts to push aside troubling experiences, I made no tapes and turned my written diaries into bare-bones recitations of wounds: \"Hurt my right hand, typing is hard.\" \"Not possible but my forehead looks dented.\" \"Woke up with mouth bleeding. Don't think anyone heard.\"\n\nAs I read these journals now, the most stunning aspect of them is not what I wrote but what I left out. I list my injuries with the matter-of-fact tone of a grocer taking inventory, but I never mention my emotional state or what happened each day. It's clear I dreaded pain, but otherwise I seem indifferent to my fate.\n\nIn fact, the only feelings I relate in these diaries involve concerns for my friends, particularly my roommates, and my guilt for the demands my health imposed on them. \"How can you thank people who let you live your life?\" I say nothing about fearing death but express concern that a fatal fall would traumatize Carl, Franz, and Dave. At the time, I didn't know that crashing into something was only one danger and that I could perish from a condition called SUDEP\u2014Sudden Unexpected Death in Epilepsy.\n\nI'd begun to be aware of my emotional shutdown during Christmas break. My father choked on a piece of roast beef at dinner, grabbed his throat, leapt out of his seat, and fell face-first onto the floor. As the rest of my family dashed about in panic, I calmly stepped past him\u2014seeing his face dripping blood from the impact with the ground\u2014and headed to the kitchen telephone. I figured he might be dying. I dialed 911.\n\n\"What's your emergency?\"\n\n\"Yes,\" I said. \"My father just choked on some food and is on the floor.\"\n\n\"Is he breathing?\"\n\n\"I don't know,\" I replied. I glanced across the room and saw my mother helping him sit up.\n\n\"Oh, he's okay,\" I advised. \"Never mind.\"\n\nI hung up. Suddenly, I could see myself, cold-blooded and composed. Despite my father's failures, I knew I loved him. I understood my family's distress. But I felt nothing. Not fear, not love, not hate, not boredom. Nothing.\n\n_This probably isn't good,_ I thought coolly. _I'm broken._\n\nThe explanation came to me as I stood by the phone. For so long, I had denied so much, hidden so much, lied so much, and been hurt so much that the person I had been was gone. I was a shell of my true self. Instinctive reactions to threats\u2014fight or flight\u2014remained, but I had subconsciously slammed most emotions, good and bad, into a psychological box. I didn't want to feel anguish, so I didn't feel anything. _I should speak to someone about this,_ I thought, _maybe a counselor._ Then I walked toward my father, who was off the floor. My family headed back to our dinner, and I forgot all about being dead inside.\n\n* * *\n\n\u2014\n\nAs the seizures increased in the second semester of my sophomore year, I decided Nicholson had allowed me freedoms that undermined my health. Shortly after my original diagnosis, he had told me I could have one glass of alcohol a day; in my sophomore year, I stopped drinking entirely. I decided to avoid booze after getting together with the woman who would become my new girlfriend, Joelle. The night we met, we shared some cheap whiskey, and later that night I had convulsions that were worse than usual. I didn't know if the alcohol had caused them, but I realized Nicholson's rules were irrational. Based on his directives, one beer was no worse than one glass of vodka\u2014the concept made no sense. With Joelle, I attended more parties, and often someone pushed me to drink. Finally, to stop the pestering, I mixed glasses of seltzer and orange juice, leading fellow students to think I was downing screwdrivers.\n\nCutting out alcohol accomplished nothing. Almost every other day, I either experienced a convulsion or a drop attack or was recovering from one. Carl, Franz, Dave, and Joelle often helped me back to my room after some event. They knew that when I woke from a grand mal seizure, I feared what had happened while I was unconscious, so they patiently listened as I struggled to ask questions. Carl and Dave told frequent, often ribald jokes to make me smile. What they called \"The Carl and Dave Show\" was deemed a success if the first understandable words I said were \"That's disgusting.\"\n\nInjuries from my seizures made it difficult to walk the campus; I realized that Swarthmore was virtually inaccessible to the disabled, with only a few feeble attempts at aiding them. The campus had just two wheelchair ramps, each leading to staircases. One of the few wheelchair-accessible bathroom stalls could be reached only by passing through a narrow doorway.*\n\nThe school's inattention to accessibility made things hard for me. A year after it had happened, I recalled a difficult experience during this time on a recording. \"After two consecutive seizures, I was going around the school, and I was just so torn up,\" I said. \"I couldn't walk in certain places. So many of the doors were too heavy for me to open. There were so many stairs I had to climb and go down. I made them most of the time by clinging to the handrail because I was afraid I would fall.\"\n\nThough I never learned how, my mother heard about the severe deterioration in my health. For all I know, I told her myself in one of my matter-of-fact, emotionless moments. Again she pleaded with me to come home, and again I refused. It made no sense for me to abandon Craddock; I liked him. I would not go near Nicholson, I said, nor would I allow my father to choose a new doctor. And I would not surrender the commitment to graduate with my class, a goal that grew in importance as my health worsened, since that would prove I had not let my life slip away.\n\nBesides, apart from my seizures, I enjoyed college. I relished the camaraderie and the intellectual challenges. Even in the foggy aftermath of a convulsion, I found classes fascinating. I remember some hours after one episode, I was still recovering while my professor Kenneth Lieberthal led a discussion on Chinese politics. My thinking grew clearer as I focused on the debate. Then an insight struck me\u2014some of Michael's brilliant analysis, I assumed. I decided to risk stuttering in front of the class, raised my hand, and explained my assessment. Lieberthal pointed at me excitedly and proclaimed, \" _Now_ you're thinking like someone in the Chinese government!\" I had to suppress a smile: My brain was most attuned to the thought processes of Chinese politicians after a grand mal seizure?\n\n* * *\n\n\u2014\n\nI again decided to take the risk and auditioned for the new school musical. The danger of an onstage seizure was higher than in my freshman year\u2014they were happening every few days. Carl and Franz, as well as a few other friends, also tried out. All of us were cast, me again as the romantic lead, Carl as the villain, and Franz as a boy who befriended a mute dancer. After the casting choices were posted, I sought out the director to tell him of the risk in selecting me for a lead role. Just like the director from the previous year, he told me he would be my understudy, although I learned years later that he was far more concerned about me\u2014and my ability to perform in the show\u2014than he let on. Some seizures kept me from rehearsals, but I performed all three nights. While onstage, I found that, as a result of my focusing so much on my performance, my usual stress about the possibility of a seizure faded away.\n\nInspired, I decided to try running the spring musical the next school year and proposed _Pippin._ I was the only applicant, so the drama board approved my idea.\n\nDespite these small triumphs, my roommates began to discuss among themselves their concerns about my decline, conversations they did not disclose to me for years. They feared my falls. They knew convulsions had occurred in terrible places. One had battered me badly in the middle of a row of immovable metal-and-wood seats during a showing of the French thriller _Diva_.\n\nThen there was the emergence of psychological issues that they sometimes observed. Despite subconscious efforts to bury my feelings, I experienced occasional severe emotional outbursts. Circumstances may have been the direct cause, but other factors likely played a role: The manufacturers of the drugs I swallowed in huge, unmonitored dosages warned that these mind-altering medications could lead to emotional upset, psychosis, and behavioral deterioration; Craddock never told me. Worse, a typical dose greatly increased the probability of suicidal thoughts; that was revealed in 2008 in an urgent alert from the Food and Drug Administration. Decades before, when I was taking eleven pills a day, no one knew such a side effect was possible.\n\nI experienced one of my worst breakdowns in the second semester of my sophomore year. I was in the room with Dave when my head started swirling with fatalistic, morbid thoughts.\n\n_I'm dying. I want to get better. I want to die. I need to leave school. It's too hard. It's too hard. I want it to stop. Nicholson. He'll be right. I'll leave school. I'll lose everything. I'll be nothing. I'll be nothing. I'll be alone. No friends, no job. No education. I'll be alone. I can't be alone. I can't keep going. Please let me die._\n\nSuddenly, I sobbed and gasped, near hysterics. Dave asked something, but he couldn't understand my response. I don't even know if I spoke words or just blubbered. Carl showed up. The two of them spoke to me, but I have no idea what they said.\n\n_Kill me,_ I thought. _I want to die._\n\nI cried uncontrollably for a long time.\n\nAnother problem was obvious even from a distance: I was rapidly losing weight. My jeans slipped past my hips, and my shirts became baggy. I needed new clothes and bought some at a secondhand store. I telephoned Craddock to ask if this might be related to the drugs; again he replied, \"I've never heard of that as a side effect of the medication.\" Probably, he said, stress was causing me to drop so many pounds.\n\nCarl and Franz were more concerned. Franz likened me to a skeleton and feared that when I fell, there was no fat to cushion the blow. My bones, he told Carl, would take all of the impact. That couldn't be safe.\n\nIn the final months of my sophomore year, I started planning for the summer. I ruled out Dallas\u2014I wasn't going to spend another vacation dependent on others to drive me around. I also didn't want my mother to see how bad the seizures had become. Hearing about them was one thing. Watching them would intensify her effort to keep me home. And I didn't want to deal with my father's denial or risk him meddling in my medical care. For all I knew, I might find myself forced back to Nicholson's office. I needed to find a city with mass transit, good medical care, and a safe place to live.\n\nCarl offered an answer: Go with him to Chicago. His family lived in a brownstone on the city's posh North Side, plenty of his friends resided nearby, and the \"L\"\u2014Chicago's train system\u2014was a short walk away. While he and I would be in the house for much of the summer by ourselves, it seemed perfect. All I needed was a job.\n\nI had plenty of money from my telemarketing days, so I didn't need a salary, and an internship would build my r\u00e9sum\u00e9. Carl and I checked a book in Swarthmore's library that listed summer jobs for college students. He zeroed in on an entry for a group called the Better Government Association (BGA), which had a reputation in Chicago for teaming up with news reporters to expose government corruption. A few years earlier, the BGA had made a splash through a sting conducted with the _Chicago Sun-Times,_ in which they purchased a run-down bar in the city's Old Town neighborhood, loaded the walls with hidden cameras, and then reopened as the Mirage Tavern. Months of filming caught a parade of city inspectors and other government employees seeking bribes. The BGA took some foolish risks\u2014the tavern's matchbooks advertised \"Beer, Grog, and Ale\" with the first letter of each word highlighted, leaving \"BGA\" emblazoned on the covers. But no one caught on. After the _Sun-Times_ and the BGA revealed their deception, _60 Minutes_ broadcast the story and set off a national sensation.\n\nCarl and I were entranced by the idea of working for such a dynamic organization. We landed internships, so we were both destined for Chicago. Neither of us thought my seizures might cause a problem\u2014we had dealt with them for more than a year, and Carl knew what to do. He was just looking forward to introducing me to his high school buddies and having a summer of fun.\n\nInstead, the next few months would be the worst nightmare I could have imagined, one that inflicted traumatic damage on one of my best friends.\n\n* Such failures violated Section 504 of the Rehabilitation Act of 1973, but since my time there, Swarthmore has launched a major renovation and is now fully accessible to the disabled.\nAn audio letter from\n\nCARL MOOR, 1986\n\nSophomore year was the first year you started, outwardly for us, showing signs of great emotional strain. You always seemed very much together in the first year, but in the second semester of sophomore year, emotionally, you started falling apart sometimes. I remember once I was next door, and Dave Robbins knocked on the door and said, \"Carl, you better come back to our room.\" I figured you would be having a seizure. But I came in, and you weren't having a seizure but were sobbing so hard that we couldn't get through to you. It just freaked us out. You were completely incoherent and impossible to talk to. I thought, This must be what a nervous breakdown is.\n\n# CHAPTER EIGHT\n\nOver the two years we roomed together at Swarthmore, Carl never told his parents about my epilepsy. They knew nothing of the times he helped me back to our dorm after a seizure, of the nights he waited for me to awaken from a convulsion, of his support during my breakdowns. Since the Moors traveled to the school occasionally, he had concluded that his promise to keep my condition secret required him to leave them unaware.\n\nThat changed with my stay in their home over the summer after sophomore year. Shortly before my arrival at their three-story brownstone, Carl told his parents about my seizures. He was casual in the conversation and vague on details; he said I had epilepsy, that I took medication, that I sometimes experienced seizures. His nonchalance reflected his attitude that it was no big deal, but it left his parents unprepared for the spectacle they would witness in their soon-to-be houseguest.\n\nThe Moors are a loving family, and Carl's parents, Donell and Lynne, welcomed me with a generosity of spirit that spoke to their character. They joked and laughed in an easygoing style that put me at ease. Donell discussed music and the family, saying that Carl would have been the best piano player among the three Moor sons if he had tried. Lynne showed me a wall lined with picture frames, each holding dozens of family photographs, and told me some of the stories behind them. Later we were in the kitchen when she mentioned my slender build.\n\n\"How much do you weigh?\" she asked.\n\n\"Last I checked, one hundred twenty-five pounds.\"\n\nShe laughed lovingly. \"That's less than me!\"\n\nI couldn't bring myself to say that four months earlier, I had weighed more than 165 pounds. I had lost about a quarter of my body weight and had no idea why. Craddock's answer was still the same\u2014\"stress.\" That simplistic diagnosis seemed more ridiculous to me with each pound that melted away.\n\nCarl told me that his parents knew about my epilepsy, and I worried about what they would think once they saw a seizure. I didn't have to wait long to find out. Within a week, I fell to the kitchen floor in convulsions. They watched, uncertain what to do, as Carl walked over to me, performed the usual routine\u2014waiting for me to awaken, explaining to me where I was, telling jokes, moving me somewhere to sleep it off\u2014and then returned to his parents. His father looked stunned and dismayed.\n\n\"We started talking, and I told him about what had been going on for the last couple of years and how sick you had been,\" Carl told me. \"It brought tears to his eyes.\"\n\n* * *\n\n\u2014\n\nI resisted my mother's urgings to put myself in the hands of yet another neurologist while I was in Chicago but gave in after she used my own logic against me\u2014I had insisted I wouldn't come to Dallas because I didn't want long-distance care. \"Well,\" she said, \"Craddock doesn't live in Chicago. You're relying on long-distance care.\"\n\nI listened, annoyed. She had been getting more assertive and better at picking apart my rationalizations. Fine, I told her, I would see a Chicago neurologist. I figured the concession would make her happy but have no real bearing on my life. This physician would be involved in my care for only nine weeks; Craddock would still be in charge. I asked my father for a name, and he searched the academic world, locating someone at Northwestern University Medical School. When I called, I realized to my delight that my father had not portrayed my condition as particularly urgent; at first, they said the earliest appointment was four weeks down the road. Then someone canceled and they offered me a consultation in two weeks.\n\nTwo weeks. Fourteen days in which the clock on my life was ticking down toward zero. Unknown to me, as I quietly celebrated the short reprieve from visiting a new doctor, several critical body systems were failing. In less than twenty-five days, my death would be almost inevitable.\n\n* * *\n\n\u2014\n\nThe Carbide & Carbon Building looms over North Michigan Avenue in Chicago, its thirty-seven floors sheathed in black granite, bronze trim, and a cap of twenty-four-karat gold. In city lore, the dazzling structure, built in 1929, was designed to resemble a massive champagne bottle as an homage to high society. Towering close to the Chicago River, the architectural masterpiece had become a popular site for some of the city's most prominent companies and organizations, including the Better Government Association.\n\nOn June 7, 1981, Carl and I walked through the building's two-story lobby for the first day of our internships. Soft indirect lighting illuminated the Belgian marble and sumptuous metalwork. As I stared at the art deco engravings on the bronze elevator doors, I wondered how an organization that depended largely on public contributions could afford such luxurious surroundings.\n\nAs the elevator whisked us to the seventeenth floor, I could scarcely control my excitement. This was a real office building, with real people in real jobs, the kind of place Nicholson had told me I would never be able to work. Yet even with my seizures still uncontrolled, here I was, ready to take on any assignment.\n\nArriving at suite 1710, I saw that the elegance downstairs belied the BGA's no-frills simplicity. Just offices and inexpensive furniture, with paper work piled high on desks. The organization appeared to have spared every expense. Someone ushered us into a conference room where a few other college students waited. We mumbled uncomfortably among ourselves until the arrival of John Laing, the organization's research coordinator. Laing's broad smile, friendly demeanor, and obvious respect for the students put us at ease. He reviewed the BGA's history and described investigations being conducted by the staff. One probe examined suspicious transactions by a Chicago alderman, a second looked into potential corruption involving a no-bid contract to run a music festival, and a third, called the Child Advocacy Project, reported on state foster care and daycare programs.\n\nAs Laing spoke, a slender man with a boyish face, sharp blue eyes, and prematurely gray hair stepped into the room. I recognized him as Terry Brunner, the group's executive director. Laing introduced Brunner, and for a few minutes, he spoke enthusiastically about the BGA and the contributions we could make as interns. His pep talk inspired me\u2014already I was eager to find a phone and start tracking down corruption.\n\nAfter the meeting, Laing assigned me to work with Linda Lipton, director of the Child Advocacy Project. I sat with her in her office, growing disappointed as she described the job. She had already issued a report, and from what I could tell, her work was winding down. Still, I shook off my doubts after Lipton gave me some assignments.\n\nLater that day, Lipton asked for help. There was information she needed that required placing dozens of phone calls. Somewhere in the country there existed an organization called Quest that provided treatment for young alcohol abusers. The problem: She didn't know the group's full name or its location, and there were hundreds of entities with names that began with \"Quest.\" I needed to call every one of them until I located the teen alcoholism center. The job sounded like it could take forever, but Lipton told me I had to finish in two weeks. This was real reporting, with a real deadline\u2014I'd get right on it, I promised.\n\nBefore my first phone call, I thought about the assignment. Today, a Google search would find the information in seconds; without the Internet, the most apparent way to handle the job was to call information in every area code, ask the operator for each organization that included \"Quest\" as the first word of its name, and then dial all of them to ask about their business. Maybe the job would take forever after all.\n\nThen it struck me. There might be a faster way. New York City was home to more businesses and charitable groups than anywhere in the country; no doubt many large organizations had names starting with \"Quest.\" Perhaps, I thought, one of them might have leads on other entities with similar names. I dialed information in New York and told the operator I was trying to locate a group named Quest but didn't know its address. She checked and said there were many places in Manhattan with that name. At my request, she started reading me each address. When she recited a street I recognized, I asked for that company's phone number; given my unfamiliarity with New York, I figured any name I knew, like Fifth Avenue, must be an important address that attracted large companies. I wrote down the number, then dialed.\n\nA woman answered.\n\n\"Hi, I'm calling from Chicago, and I'm trying to find a group called Quest that provides treatment for people with alcohol problems.\"\n\n\"That's not us.\" She told me her company's line of work.\n\n\"I figured it was unlikely you were the ones,\" I said. \"But I was wondering, with a name like Quest, you must have a lot of people who call the wrong place.\"\n\nShe laughed. \"Every day.\"\n\n\"Well, is there any chance someone has been asked about the company I'm looking for?\"\n\nA moment's hesitation. \"You know what? Give me a minute.\"\n\nShe placed me on hold.\n\nSoon after, I heard a click. \"Found it,\" she said. She told me that a fellow receptionist had started keeping track of places named Quest whenever someone called the wrong number. \"She's very obsessive.\"\n\nThe woman told me to try a midwestern city with a name I didn't recognize. I checked with a Chicago operator for the area code of that town, phoned information there, and got the number for Quest. One more call gave me the answer: This Quest, in the middle of nowhere, was the place Lipton wanted to find. I scribbled the details on my notepad, tore off the page, and walked to her office.\n\n\"Got it,\" I said as I stepped through the doorway.\n\nShe looked puzzled. \"Got what?\"\n\n\"Quest. The full name, address, and phone number.\"\n\nI handed her the piece of paper with the information. She stared at it in disbelief. \"That took five minutes. How did you do that?\"\n\nStifling my excitement, I recounted the story, explaining how I decided that, rather than just dialing phone numbers all over the country, contacting a large company with the same name would give me a better chance of finding the right Quest.\n\n\"It worked,\" I said. \"I was lucky.\"\n\nShe glanced at the paper. \"That's not luck.\"\n\n* * *\n\n\u2014\n\nMy success in tracking down Quest brought big rewards. John Laing heard about it and offered to let me expand my responsibilities. I began poring through documents obtained by staff investigators regarding Chicago medical facilities, then came across something odd. A small local hospital had pushed for years to open a rehabilitation unit for teenage alcoholics. The state balked at first but had recently given the program the go-ahead. As I read the regulations, I couldn't understand why. The hospital's occupancy rate was too low for expansion; every day, one out of every four beds went unused. Under state rules, hospitals needed an 85 percent occupancy rate before they could expand, and this place didn't come close. So why add beds if it couldn't fill the ones it had? I found a filing saying that patients in the alcoholism unit would receive five days of medical care but were required to stay at the hospital for thirty; the kids could have lived at Chicago's finest hotel for less. Then I noticed the key piece of information: The hospital would accept only teens whose families carried top-notch health insurance. Those policies paid for thirty days of treatment\u2014the amount of time the hospital advised was required for a cure. So a hospital that didn't have enough patients had opened a unit where teenagers would be forced to remain for a month, all paid by insurance, and the state had approved the plan in violation of regulations. A BGA investigator needed to look into this, I decided.\n\nI brought my findings to Laing, who found my information fascinating. Then he noticed the hospital owner's name; he was the father-in-law of a BGA investigator. I braced for Laing to tell me to stop reporting.\n\n\"Don't worry,\" he said. \"That doesn't matter. Do you want to make this case your primary responsibility?\"\n\n_Be the lead investigator on my own project?_ \"Shouldn't it go to one of the staff guys?\"\n\n\"You found it. Your investigation.\"\n\nI beamed. \"That would be great.\"\n\nLaing spoke to Lipton. I was off the Child Advocacy Project and would instead be probing potential corruption involving a Chicago hospital.\n\n* * *\n\n\u2014\n\nTwo days later, I arrived at work limping and looking haggard, my speech slurred. The previous night, I'd suffered major convulsions and injured myself in a fall. I did my best to avoid attention, smiling and waving when someone said hello. Sometime after noon, feeling clearer and in less pain, I joined Carl for a walk to a Michigan Avenue hot dog joint that had become a frequent lunch spot for interns. I made it through the day without attracting much attention.\n\nEven though the seizures kept coming, I managed to avoid my usual fretting. I focused on work and my adventures in Chicago. Carl and I spent time with two of his high school friends, Joe Wein and Tom Eley, feasting on stuffed pizza, visiting comedy clubs, and sneaking off some afternoons to Wrigley Field's famous left-field bleachers for Cubs games. Carl told them about my seizure disorder, and following his example, they, too, treated it as unimportant.\n\nOccasionally, they joined in trying to make their experiences with my seizures lighthearted events. Once, Joe, Carl, and I went for dinner at R.J. Grunts, a restaurant famous for its hamburgers and shakes. During the meal, I experienced a grand mal seizure. Carl and Joe moved the table to decrease the chance I would injure myself.\n\n\"That's when Joe and I came up with a famous line to tell the waitresses, who were pawing all over us while we were taking care of you: 'I just don't want to be alone tonight,' \" Carl told me. \"And Joe decided that being with you during a seizure was the greatest pickup opportunity ever.\"\n\nThe line never worked, but it did provide opportunities for laughs. I was so happy. I was living a normal life, excelling at a demanding job, and having fun despite frequent and often violent seizures.\n\nI didn't tell anyone at work about my epilepsy, and it never occurred to me that I should. In my earliest days, I experienced no significant seizures at the office. I knew I was intellectually engaged and focused during work, leading me to wonder if boredom and inattentiveness might trigger convulsions. I also had some illogical thoughts\u2014I pictured Swarthmore as the place where seizures occurred, and so I foolishly assumed I was safer anywhere else. It was wishful thinking, a way of staving off the fear that my investigative project would be taken away if my bosses learned of my epilepsy.\n\nReality intruded. The BGA sponsored an annual picnic for staff and interns. There was plenty to eat and a big softball game. At the time, I was trying to eat high-calorie, high-sugar food in a fruitless effort to stop my weight loss. For some reason, the smell of grilled meat left me nauseous, so I feasted on chocolate cake and brownies instead.\n\nThat's all I remember. Sometime during the picnic, I collapsed in a convulsion. Years later, a fellow intern told me that she and other students had been terrified as they watched my body clench and contort. Carl took control, telling everyone to stay calm. As I regained consciousness, he explained to me where I was and what had happened. Then he and a BGA investigator named Jack Doppelt helped me back to Carl's house.\n\nAfter hours of sleep, I awoke deeply confused. Carl told me that I had convulsed during the BGA picnic. It took me time to understand, because at first, I couldn't remember the outing at all. Eventually, scattered memories of the picnic returned, and Carl's explanations got through to me. I was devastated. Until that moment, work had been a source of happiness for me. Now, I feared, it was over.\n\nTo my relief, no one from the BGA suggested I quit; they only asked about my well-being. But out of concern, Laing and Doppelt approached Carl. They asked how often the seizures occurred and how long this had been going on. With no secret to keep, Carl told the whole story.\n\n\"They couldn't believe it,\" Carl told me years later. \"They couldn't believe that you, that anyone, could put up with all of that.\"\n\n* * *\n\n\u2014\n\nTwo weeks after arriving in Chicago, I strolled the short distance from the Moors' house to the Fullerton Station of the \"L.\" From there I took the Red Line downtown. I hesitated at the bottom of the stairs that led to State Street, waiting to be sure no one followed behind me, a precaution I had adopted when I realized I could kill people if I hit them while plunging down the steps during a drop attack.\n\nAs I walked toward Northwestern, I window-shopped, people watched, and lollygagged even though it was almost time for my first appointment with my Chicago neurologist, Dr. Matthew Strauss. I realized I was attempting to sabotage the consultation, dawdling in hopes he might cancel if I showed up late. _This is stupid,_ I thought. I glanced again at the slip of paper with his address on it and picked up the pace.\n\nSoon I was in Strauss's exam room. After some pleasantries, I instructed him on his role. My neurologist was in Pennsylvania, I said. Strauss would be my doctor for only a couple of months, just so there would be someone to write my prescriptions and to be available in case of an emergency. I didn't want multiple doctors offering different treatment plans. Craddock was in charge; Strauss would answer to him.\n\nI realized my tone had been blunt, almost to the point of disrespectful, but I didn't care. If I offended him, so what?\n\nStrauss ignored my combativeness. He told me that Craddock had sent my medical records and that he was willing to serve as a short-term stand-in. But, he insisted, he still needed to conduct basic exams. So same old, same old: \"Push my hands. Squeeze my fingers. Follow my finger with your eyes...\"\n\nHe stopped, then brought out a small penlight. \"Follow the light with your eyes.\"\n\n_This is odd_. No one had ever conducted the eye test twice. I watched the light until he reached the far side of my visual field; then I looked back at him, assuming we were done.\n\n\"No,\" he said. \"Do it again. Don't stop looking at the light until I tell you to.\"\n\nOnce again, I moved my eyes from the far left, struggling not to blink. He held the light there longer than before. Then he moved it to the right. He kept it in place for several seconds at the farthest reaches of my vision.\n\nHe slid the penlight into his lab coat, then performed the test again, this time having me watch his finger. I already knew he must have discovered a problem.\n\n\"Have you ever been told you have nystagmus?\" he asked.\n\nFear struck hard. _A new diagnosis?_\n\n\"No,\" I replied. \"What's that?\"\n\n\"Your eyes shake erratically, particularly when you're looking to either side.\"\n\n\"What does that mean?\"\n\n\"It could mean a lot of things. It might just be a reaction to your medication. I'd need to run some more tests.\"\n\nI shook my head. \"No. No more tests.\"\n\nI was tired of the poking and prodding; I wanted to be left alone. I had a job. I had a life. I was not going to become a professional patient. I promised that I would talk to Craddock about this eye problem when I returned to Swarthmore.\n\nStrauss put up no argument. I was the patient; he couldn't order me around. \"But you need to have this checked as soon as you get back to college,\" he said.\n\nI agreed, but deep down I knew I would procrastinate.\n\n* * *\n\n\u2014\n\nMy mother telephoned Strauss at his office later that day. \"What do you suggest he should do?\" she asked.\n\n\"It's not up to me,\" Strauss replied. \"He's made it very clear that I'm just a consultant to Dr. Craddock while he's in Chicago.\"\n\n\"Forget that,\" my mother said. \"How would you handle Kurt if he was your patient?\"\n\nStrauss was quick to answer. \"I'd hospitalize him immediately.\"\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nHe went to Chicago, and we begged him to come home, but he refused, saying that he could get just as good care in Chicago as he could in Dallas. I couldn't disagree with him. We hadn't been too successful with what we had tried to do. He saw a neurologist in Chicago and called and told us that he was going to maintain him on the medication and wouldn't see him again for five weeks. At this point, I became very angry, and Heinz became very angry and told him that he had to see him sooner, and the kid was just bogged down from dealing with a bunch of idiots, I think. I called Dr. Strauss, who told me that if he [Kurt] were his patient, he would hospitalize him. I asked him to please do that, and he told me he would, with Kurt's permission.\n\nKurt was angry, but he agreed to go to the hospital in Chicago in June of 1981. I went to Chicago, and I guess it was all still a pretty nonchalant thing, figuring we'd get a diagnosis and get him on medication. I was going up to stay with him while he was in the hospital and then go on to the East Coast to a seminar and to visit my mother. I never made that trip, not after everything went to hell in the hospital.\n\n# CHAPTER NINE\n\nI arrived angry and numb in my room at Northwestern hospital, carrying a sports bag filled with neatly folded clothes. Usually, I would have just stuffed the shirts and pants into the duffel\u2014a lazy trade-off of time for wrinkles\u2014but my mother had packed for me.\n\nShe had telephoned me after speaking to Strauss, recounted their conversation, and announced she was flying to Chicago. I protested\u2014going to the hospital would force me to abandon my job and might get me fired\u2014but she brushed off my protests. She would be on the next flight, she told me. Then she doubled down, saying if I refused to check in to Northwestern, she would contact the BGA and tell them I was too sick to work. I was appalled\u2014she was threatening to make me look like a child to my bosses. I considered calling my father to complain but thought better of it. I had never seen my mother act with such assertiveness, and I had no doubt my dad was already furious at her for leaving him alone in Dallas. He hated when she traveled without him, so I was sure he had already lost an argument.\n\nI threw my bag on the hospital bed and greeted my roommate, an obese fortysomething man who stank of stale cigarettes. My mother walked in a minute later. We had arrived together, but she had stopped at the nurses' station while I stormed off. I didn't want to be here. I didn't need to be here. What was the point? More tests, more prodding, another false proclamation by a neurologist that he had divined the secret to stopping my seizures. I had learned to dread hope. As long as I didn't trick myself into thinking things could improve, no one could disappoint me. I had made that mistake too many times, falling for assurances that a new treatment would work; my emotional devastation always lasted for weeks when I realized they had lied. _Lied,_ not made a mistake. If they didn't know whether a drug would stop the seizures, why didn't they say so? What arrogance drove these doctors to make promises they couldn't keep?\n\nI glanced at the wall over my bed. A tongue depressor wrapped in gauze and surgical tape had been fastened there. _What the hell is that?_ I dropped onto the mattress as my mother bustled around the room, unzipped the duffel bag, and unpacked my clothes into a small closet that resembled a gym locker.\n\n\"So, what are you in for?\" Stale Cigarettes asked.\n\n\"I have no _fucking_ idea,\" I snapped.\n\nMy mother turned to him. \"I'm sorry. He's just upset.\"\n\n_Don't apologize for me!_ I thought. I stomped toward the closet to inspect how my mother had arranged my clothes. I wanted to cry but shook off the urge. I needed to feel anger, not self-pity.\n\nA nurse with strawberry blond hair stepped into the room and smiled at me. She was stunning. As she introduced herself, I decided maybe it was time to behave myself.\n\nShe placed a hospital gown beside me. \"You're going to need to change into this, Kurt.\"\n\n\"I can't just wear my regular clothes?\" This was my first hospital stay; I didn't know the procedures.\n\n\"No,\" Strawberry Blonde replied. \"The doctor is planning a number of tests and they need you in the gown.\"\n\nWith anybody else, I would have argued. But Strawberry Blonde? \"Okay.\" I smiled.\n\n\"Also, never be in bed with the guardrails down. We don't want you falling onto the floor if you have a seizure.\"\n\nI looked at the looping tubes of metal as she raised them on each side. \"Won't I just end up getting wrapped up in them?\"\n\nShe raised her index finger. \"That's why we always do this.\"\n\nTwo white blankets appeared. She tightly wrapped them around both guardrails. I squeezed one; the padding was thick. Definitely, if I hit those during a grand mal seizure, I would be fine. _I should have thought of this years ago._\n\nI pointed at the wrapped tongue depressor taped to the wall. \"What's that for?\"\n\n\"It's a bite stick. If you have a seizure, it's better for you to bite gauze than your tongue.\"\n\n\"I bite my lip.\" _That sounded goofy._\n\n\"Your lip, then. We don't want you getting hurt.\"\n\nShe ticked off a few more instructions, told me she would return soon, then whisked out the door toward some other lucky patient's room. _Doctors I hate. Nurses I like,_ I thought.\n\nI changed into the gown, feeling uncomfortably exposed. I climbed into bed and covered myself with the blanket. My mother told me she had some things to attend to but would be back in an hour. After she left, I glanced around the room. Drab, dreary place.\n\nStale Cigarettes spoke. \"So you have seizures, huh?\"\n\n\"Yeah.\"\n\n\"That sucks, man.\"\n\nI nodded. \"Yeah.\"\n\nSince we were getting all disorder chummy, I asked why he was in the hospital. I recall thinking that, based on his size and smell, I could diagnose his problem myself.\n\nA woman walked into the room rolling a cart loaded with tubes capped with different colored rubber stoppers. I'd seen those before, so I knew why she was there.\n\n\"The vampire arrives,\" I joked.\n\nShe prepared a needle. \"Well, I'm not going to take all your blood.\"\n\nShe asked if I had a preference of which side to stick, and I told her to use the right. She wrapped a rubber tube around my upper arm. \"Nice veins,\" she said just before she slid in the needle.\n\nShe filled a number of tubes, drawing more blood than anyone had before. I knew they didn't need such a large amount to measure drug levels.\n\n\"Why do they want so much? What are they checking?\"\n\nShe tilted her head toward a form someone had filled out. \"Pretty much everything.\"\n\n* * *\n\n\u2014\n\nWithin the hour, Strawberry Blonde inserted an IV saline drip into a vein, telling me this was in case they needed to load my bloodstream with Valium, a treatment hospitals used to stop a seizure quickly. Once that was done, she told me someone would be coming to take me to the EEG lab. _Wonderful. Electrodes glued to my head again._\n\nIt was worse. After an orderly brought me downstairs, the technician explained they would be using nasopharyngeal electrodes in addition to the usual scalp attachments. I had never heard of them.\n\n\"Let me show you,\" she said. She brought out two pieces of metal that looked like bent coat hangers. I ran a mental inventory, moving down my body; I couldn't imagine where these went.\n\n\"We put them up your nose, then slide them down closer to the lower side of your brain.\"\n\n_What?_ \"How can something that big go up my nose?\"\n\n\"We do it all the time. Don't worry.\"\n\nAbout ten minutes later, the technician finished wiring me up. Inserting the nasopharyngeals had hurt. She'd slid them so far up my nose that I couldn't tell where the tips had ended up in my head. The rubber bands used to open up spots for the electrodes across my scalp pulled my hair. Then the technician brought out a block of wood wrapped in gauze and tape and told me to place it in my mouth. I didn't ask why; this was a crueler version of the bite stick hanging over my hospital bed.\n\nI was thinking that this getup seemed like something out of a torture chamber when the technician spoke. \"Okay,\" she said. \"Now I want you to go to sleep.\"\n\nI removed the block of wood from my mouth. \"Are you kidding? How am I supposed to sleep like this? Everything hurts.\"\n\nShe told me she would give me a sedative and poured a capful of a pink liquid that she identified as chloral hydrate. I asked if the drug would cause problems with my anticonvulsants. After she assured me there would be no problem, I drank it. Then she put the wrapped block back in my mouth.\n\nI woke later in my hospital room. No confusion, nothing injured; my speech was fine\u2014definitely no seizures. I figured that the pink liquid either put me to sleep or just wiped out my memory of the EEG.\n\n* * *\n\n\u2014\n\nThe next morning, Stale Cigarettes disappeared. I never saw him pack or leave. I looked around the room, uncertain about my surroundings. I was in the hospital, at Northwestern, but something seemed wrong. I knew I was supposed to be here but couldn't fathom why. Of course, there were the seizures. Had I been hospitalized for that? Wait. Did someone say something? It was a voice from far off, detached from my surroundings.\n\n\"What?\"\n\n\"I asked if you're okay.\"\n\nI turned my head and saw my mother in a chair.\n\n\"Yeah, I'm fine,\" I said. \"I just woke up.\"\n\n\"Do you remember talking to me before?\"\n\n\"No.\"\n\nI closed my eyes. _Body assessment. Nothing hurts._ But things weren't right. _Very weak._ Better than after a grand mal seizure, worse than after a drop attack. Something had happened. I couldn't figure it out.\n\n\"When did that other guy leave?\" I asked.\n\n\"About an hour ago.\"\n\n\"Is he gone for good?\"\n\n\"Yes, he's been released by his doctor. He said to let you know he hopes you get better.\"\n\n_Okay. So, I guess I was asleep._\n\nMy mother walked to the guardrail by my bed. \"You don't seem right. You don't remember talking to me this morning?\"\n\n\"No. But I forget a lot of things.\"\n\n\"Do you think you had a seizure?\"\n\n\"I don't know. Everything seems weird. But I don't feel the same way I usually do afterward.\"\n\n\"What's today's date?\"\n\n_That's not fair._ \"I never know the date.\"\n\n\"What month is it?\"\n\n\"June.\"\n\nShe questioned me until I asked her to stop. There was no reason to test my cognition and memory. Obviously, some sort of seizure had occurred. Maybe if I had been standing, it would have been a drop attack. I didn't know what one felt like if it happened while I was in bed.\n\nWe talked for about twenty minutes, and I described my investigation of the alcohol program. She pressed for details, never explaining that she was trying to help me regain the focus I lost post-seizure.\n\nThe door swung open, and Strawberry Blonde appeared.\n\n\"How are you feeling?\" she asked.\n\n\"Fine.\" I wasn't lying. The confusion had mostly cleared up, though the strange feeling hadn't passed. I couldn't think of words that would properly explain what was wrong. \"Fine\" struck me as close to the right answer.\n\n\"They're taking you for a CAT scan today. Have you had one of those before?\"\n\n\"Yes.\"\n\nShe made a few more comments and then was gone. I wondered if I should have answered, \"I feel strange\" just so she would have stayed longer to ask more questions. She was so cheery. I loved having her around.\n\nNot a minute passed before a man in scrubs appeared and told me he was there to check my bleeding time.\n\n\"What's bleeding time?\" I thought of a joke: Maybe if the technician were British, I could tell him the bleeding time. About 11:00 A.M.\n\n\"I make a couple of small cuts in your forearm and then time how long it takes for the bleeding to stop.\"\n\n\"Why do they want to know that?\"\n\n\"I don't know. I just have an order to get it done.\"\n\n\"Will it leave a scar?\"\n\n\"Maybe a hairline one, but nothing so bad you could see it without trying pretty hard.\"\n\nHe wrapped a blood pressure cuff around my upper arm and inflated it, then brought out a small device that looked like a white box.\n\n\"This is spring-loaded,\" he said. \"The blades shoot out and retract very fast. It stings for a second.\"\n\nHe pushed the box into my inside forearm. I ignored the slight pain; I was distracted by how quickly the blades cut the skin. The technician clicked a stopwatch. I looked at the spot where he'd cut me. Two red slices, like squinting cat's eyes. He brought out something that resembled a flat, circular coffee filter and dabbed at the blood. I realized my mother was standing beside the bed across from the technician.\n\n\"Mom, this is nothing. You don't need to stand there.\"\n\n\"Humor me,\" she said.\n\nI glanced back at the technician, who was still sopping up my blood. I couldn't think of anything to say.\n\n\"What's the usual bleeding time?\" I asked after a moment.\n\n\"Most people tend to be around three to five minutes, although I've seen some go as long as nine,\" he said.\n\nSilence again. We would be standing next to each other for five minutes? I inquired about his job, how he had chosen it, and anything else I could think of to pass the time.\n\nThree minutes. Still bleeding.\n\nAt five minutes, he took out another coffee-filter dabber. To me, the bleeding seemed to have sped up. In fact, I couldn't remember ever bleeding so much from such small cuts.\n\nBy seven minutes, his casual demeanor turned serious. We were no longer chatting.\n\nNine minutes. The blood looked to me as if it was pumping out of my arm, not just seeping. He removed the pressure cuff.\n\nTwelve minutes. \"So am I your career record?\" I asked.\n\n\"I think so,\" he replied, his tone signaling he was in no mood for jokes.\n\nFifteen minutes. He had used several dabbers. He brought out a gauze pad and pressed down on the cat's eyes. The cotton mesh was quickly sopped in red; he grabbed another and pressed again. Blood dripped down the sides of my arm. He threw the second pad on my rollaway table when it was soaked, then reached for a third one and pressed it down hard on the cuts.\n\nAt about eighteen minutes, he hit the nurse's call button.\n\nA woman's voice came over a speaker. \"Yes?\"\n\nThe technician identified himself. \"I need help down here.\"\n\n\"I guess this isn't going so well,\" I said. He didn't respond. A nurse appeared. It wasn't Strawberry Blonde. The technician told her I had been bleeding for close to twenty minutes.\n\nI glanced at my mother's frightened face. Her fear struck me as odd. Why was she worried? I was just bleeding. It would be okay.\n\nA few minutes passed before the nurse and the technician finally succeeded in stopping the flow, placed a thick pad of gauze on the cut marks, and wrapped it tight with surgical tape. The technician threw out the bloody mess, put away his equipment, and darted away without a word. The nurse asked a few questions, checking to see if I was frightened or confused about what had happened. I assured her I was fine. She told me she needed to change the bloody sheets. I stood and gave my mother a hug; I could tell she needed one. The nurse was fast, and in a flash, I was in a clean bed. She instructed me to click the call button if the bleeding resumed, then left.\n\n_That wasn't epilepsy,_ I thought.\n\nI watched my mom and could tell she was trying not to cry. I felt nothing. I had shut down emotionally again. Nothing. Not scared, not sad, not concerned for my mom. Nothing.\n\n_Guess I've got some new disease,_ I thought casually. _I wonder what it is._\n\n* * *\n\n\u2014\n\nA new doctor showed up and asked to speak to my mother in the hallway. There was lots of dashing in and out. I realized no one ever took me for my CAT scan. I'd have to talk to Strawberry Blonde about that.\n\nMy mother returned to the room trying to hide her tears. The new doctor followed her. He introduced himself, but I forgot his name almost as soon as he mentioned it.\n\n_You've got really thick eyebrows,_ I thought. _Should I tell you to trim them, or would that be rude?_\n\nI heard him say something about hematology. I didn't know what that meant. \"So what do I have?\" I asked.\n\n\"Well, the white\u2014\"\n\n\"Stop, stop. Cut to the chase. What do I have?\"\n\nDr. Eyebrows took a breath. \"We don't know yet. Your blood looks very similar to what we see in leukemia. But it could be that your bone marrow is shutting down.\"\n\nI thought bone marrow just sat there. I wasn't sure what he meant by \"shutting down.\" It certainly didn't sound good.\n\n\"Okay,\" I said. \"What makes you think that?\"\n\nThe production of both white and red blood cells was very low, the doctor explained. My hemoglobin level was three.\n\n\"What is it supposed to be?\"\n\n\"For someone your age, about fourteen or fifteen.\"\n\nI tried to calculate fifteen divided by three. I couldn't.\n\nMy count of platelets, the cells in blood that make it clot, was also dangerously low, the doctor said, and the white cells being produced were all immature.\n\n\"Well, I can be immature, so I guess that makes sense.\"\n\nDr. Eyebrows spoke in a stern voice. \"Kurt, you need to be serious. We have a lot of things to do, and we have to do them very quickly.\"\n\nI nodded. \"Okay, I'm sorry. So why is this happening?\"\n\nBefore he answered, the doctor said, he needed a medical history. He focused on the last few months, telling me to describe every problem I'd experienced. I recounted the nausea, the dizziness, the weakness, the tremors, the weight loss, the bruises that wouldn't go away.\n\n\"Why didn't you call your doctor about this?\" Dr. Eyebrows asked.\n\n\"I did.\"\n\nDr. Eyebrows hesitated. He clearly hadn't expected that answer. \"What did he tell you?\"\n\n\"That everything was caused by stress.\"\n\nAnother pause. \"What did he say about your medication blood levels?\"\n\n\"Nothing. He only checked my levels when I first saw him.\"\n\n\"Why didn't you have them checked again?\"\n\n\"He never told me to. In fact, whenever I asked if the medication might be causing these problems, he told me no.\"\n\n\"He said no?\"\n\n\"Well, not exactly. He told me that he'd never heard of anyone having those side effects from the medication before.\"\n\nThe doctor stopped speaking. His expression harbored some inner disquiet. I was ready to yell at him if he started being mean to me. What had I done? Why was he angry?\n\n\"Did anyone ever tell you that your medications could cause problems with your blood?\" he asked. \"Did anyone tell you there were symptoms you needed to look out for?\"\n\n\"No. I remember when I went on Tegretol I read the package insert, and it mentioned something about blood, but I don't remember what it was. I never read the insert for Depakene.\"\n\n\"How long have you been on your current dosage?\"\n\n\"I don't know. Maybe three to five months?\"\n\nThe doctor seemed to calculate something in his head.\n\n\"Look, we're talking around everything,\" I said insistently. \"Just tell me. Is the medication killing me?\"\n\n\"It could be causing this problem.\"\n\nI heard my mother choke back a sob.\n\n\"Which one, the Tegretol or the Depakene?\" I asked.\n\n\"We don't know,\" the doctor said. \"It could be either.\"\n\n_Okay._ \"So, what, am I allergic to both of them?\"\n\n\"No. This is going to be hard for you to hear, but you're going to have to make a lot of decisions very quickly, so you need to understand what's happening.\"\n\n\"Okay, tell me.\"\n\n\"Both of your medications are at very toxic levels. They're not medicines anymore. They're poison. What your neurologist did is unforgivable. I'm sorry to be this blunt, but you have to know the truth. If we don't move quickly, you could die.\"\n\n* * *\n\n\u2014\n\nThe news bounced off me, leaving no emotional impact other than satisfaction; I had _told_ Craddock my weight loss wasn't from stress. _That stupid jerk,_ I thought. I had been right. He had been wrong.\n\nConfused by my blas\u00e9 response, my mother asked if I understood what I had been told.\n\n\"I get it,\" I replied. \"I mean, I don't know exactly what's happening, but it sounds like nobody else does either. Whatever it is, it is.\"\n\nMy fatalistic indifference disturbed my mother, but she realized that, for the moment, the doctors needed her help more than I needed emotional repair. She asked Dr. Eyebrows if they could speak in the hallway. There, the doctor raged about Craddock, tossing out words like \"incompetent\" and \"malpractice.\" The records Craddock had sent to Strauss included only a single blood test\u2014incomplete at that and taken during my first visit\u2014and the medical team at Northwestern had assumed some office clerk had forgotten to ship the rest. Dr. Eyebrows said he had called Craddock's office seeking the other blood tests on an urgent basis but never heard back.\n\n\"We have no recent records,\" Dr. Eyebrows told my mother. \"We're flying blind.\"\n\n_Nicholson_. My mother said there was another neurologist, one in Dallas whom I hadn't seen in many months, but at least he would have old blood tests. That doctor had drawn blood on at least two occasions, maybe more, she said.\n\n\"Please call him and ask him to send the records immediately,\" Dr. Eyebrows said. \"Anything we can get might help.\"\n\nShe poked her head into my room to check on me. Seeing I had fallen asleep, she walked to the nurses' station on my floor in search of a phone; the staff knew what was happening with me and offered my mother every support as they brought her to a desk where she could call Nicholson. The secretary answered, and my mother quickly explained the circumstances, stressing that she needed to speak to Nicholson urgently.\n\n\"Hold on,\" the secretary said.\n\nFor five minutes, my mother waited, tears streaming down her face, hoping that Nicholson would answer any second. Finally, he clicked onto the line. Speaking rapidly, my mother spelled out the dire prognosis and explained why the Northwestern doctors wanted my old blood records. Nicholson interrupted several times, demanding information he didn't need and she didn't know.\n\n\"All that matters right now is we need you to send Kurt's blood tests,\" she said.\n\nThere was a pause. \"They're wrong,\" Nicholson said, referring to the Chicago doctors.\n\nMy mother thought she must have misheard him. \"What?\"\n\n\"They're wrong,\" Nicholson repeated. \"It's a lab error.\"\n\nShe wanted to scream at him, to call him inhuman for arguing about medical tests he hadn't seen with a mother whose son could be dying. But the blood records came first. She asked for them again.\n\n\"I'll see what I have,\" Nicholson replied. \"Call me back later.\"\n\nThen he hung up.\n\nOver the next hour, my mother met with other doctors to update them on Nicholson and find out if they had any more information about my condition. A hematologist\u2014a doctor who specializes in diseases of the blood\u2014told her that they would soon perform two tests, a bone marrow aspiration and a bone biopsy. She cried at the news; she knew both could be excruciating and worried that I wouldn't bear up under the onslaught of health problems.\n\nShe called Nicholson, but his assistant said he wasn't available. Thirty minutes later, she tried again. He had located the blood tests, he told her, but insisted again that the Northwestern doctors were wrong. My mother begged him again to just send the records. She told Nicholson that the doctors considered the situation an emergency, were about to perform the painful bone marrow test and bone biopsy, and were insisting that the old blood analyses might be helpful in reaching a diagnosis.\n\n\"All Kurt has to do is to grow up,\" Nicholson said to the mother of a dying son. \"Maybe after he has a bone marrow aspiration, he'll grow up.\"\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nA couple of days after Kurt was admitted to the hospital, they came back with the fact that his bone marrow was suppressed, and I was scared. I was so scared. Kurt did not look well. He had lost so much weight. He did not behave right. He seemed to be not well. I was very afraid for him, of course, realizing that he could have leukemia, or bone cancer, or aplastic anemia, or a reaction to the drug, and I was alone. I was very alone in a strange city with people I didn't know.\n\n[After the \"Maybe Kurt will grow up\" phone call with Nicholson] I never spoke to that man again. However, everything that he has caused us and all the pain and the misery, both to Kurt and to me\u2014I will sometime; I will talk with him someday, because I think it's the only way I can be free from him.\n\nI tried so hard to bear up under all of this. There were so many painful procedures that Kurt faced. When I could slip away, I spent a number of hours praying in the hospital chapel. I didn't want to lose my son.\n\n# CHAPTER TEN\n\nA new team of doctors and nurses showed up in my room that same day. Their arrival surprised me\u2014they were planning to do the next series of tests _here_? I had assumed orderlies would be wheeling me all over the hospital, from one lab to the next. Maybe they had decided to cut the travel time. _They really are rushing,_ I thought.\n\n\"Hi, everybody,\" I said.\n\nOne doctor introduced himself while another person handed me a sheaf of papers to sign. Authorize this, informed consent that. The physician kept speaking as I scrawled my signature on each page, having no idea what permission I was granting. I didn't care. I heard the word \"aspiration\" and glanced up.\n\n\"I'm sorry, what are we talking about?\" I asked.\n\nHe apologized. That meant a lot; no doctor had ever expressed regret to me for anything over the past two years. He started his explanation again\u2014they were going to perform two tests, a bone marrow aspiration and a bone biopsy.\n\nI knew the word \"biopsy.\" \"Is there a tumor?\"\n\n\"Not that we know of.\"\n\n_Then why do it?_ I didn't care enough to ask.\n\n\"I want you to know, this is going to be painful,\" the doctor warned. I would have a lot of choices to make in the next twenty-four hours. That meant they had to avoid using a sedative that ran any risk of knocking me out or triggering a seizure. While they would use a local anesthetic, they had to keep the dosage minimal. My neurologist was calling the manufacturers of my anticonvulsant, the doctor explained, but no one knew what might happen when another drug was added to toxic levels of medications already causing significant problems.\n\nI remembered a question I had forgotten to ask earlier. \"How toxic am I on these medications?\"\n\n\"I've been told the levels are very toxic.\"\n\n\"Okay. But what does that have to do with an anesthetic?\"\n\n\"I'm sorry. This really isn't my field of expertise.\"\n\n\"But someone must have told you something. I need to know.\"\n\nThe physician bit his upper lip. \"Your doctors have never seen levels like this.\"\n\nAnother person spoke. As far as I knew, he had not yet introduced himself, but he was wearing scrubs, so I assumed he was a doctor.\n\n\"Your liver metabolizes your medications. If we add more drugs, it's just going to make your liver work harder. We don't know yet what that would do to your anticonvulsant levels, and we don't want to risk triggering a seizure, which would require more medicine.\"\n\n\"So if you use an anesthetic, I might get more toxic?\"\n\n\"We don't know,\" he repeated. \"We're going to use local anesthetic but not a lot. So you need to be prepared. This is going to be painful.\"\n\nThe other doctor spoke. \"Now, you must stay perfectly still. I'm going to inject a needle through the bone to get a marrow sample. Then we have to use another type of needle for the bone biopsy.\"\n\n_I wonder why he's switching his pronouns,_ I thought absentmindedly.\n\nFor the first time, I noticed the work being performed by the rest of the team. No conversation, every face serious. A woman removed wrapping from a tray. At some point, I noticed a sealed bag with a needle in it. By my guess, it was six inches long. Then I saw another device that looked like a giant corkscrew, only straight.\n\n\"Mom?\" I said. She was nearby, behind all the staff dashing about. I assumed she had been asking plenty of questions herself that I hadn't heard.\n\n\"Yes, Kurt.\"\n\n\"I want you to leave before they do this.\"\n\n\"I am. They told me I can't stay.\"\n\n\"Good.\" I looked around until I could see her face. \"I'm going to be fine,\" I said.\n\n\"I know. Just know, I'm right outside. I love you.\"\n\n\"Love you too. I'll be fine.\"\n\nI closed my eyes. I needed to prepare myself. I thought of Daniel Nevot, a war hero who fought in the Free French Forces during World War II and who later coached at St. Mark's, the school I attended as a kid. We called him Monsieur Nevot, and I considered him the toughest man I ever met. I'd heard his stories from others because he never discussed his exploits. One anecdote stuck with me: He and two others disguised as Arabs infiltrated an Italian garrison. He was captured but somehow convinced the enemy troops that they were surrounded by French fighters. Then he and his friends grabbed machine guns and held the soldiers prisoner until French reinforcements arrived.\n\nWhen I was in first grade, Nevot ran a physical education class for a rambunctious group of six-year-old boys and frequently required us to run half a mile on the track. I despised the workout\u2014I wasn't a runner. After the first lap, I always wanted to quit but knew that was not an option. Instead, every time I thought, _This is now. You hate it now. Soon it will be a memory. Keep running; soon it will be a memory._\n\nThe doctor told me to roll onto my stomach. _Soon it will be a memory._ I gave silent thanks to Monsieur Nevot.\n\n\"Okay, Kurt,\" someone said. \"Grab the headboard. Don't let go no matter what. Remember, hold perfectly still.\"\n\n\"Okay.\" I gripped the board tight.\n\nA woman told me they were going to inject anesthetic. Given that they had warned the amount was going to be limited, I wasn't sure why they bothered. Afterward, time passed and someone pinched the spot.\n\n\"Did you feel that?\" someone said.\n\n\"I know you did it. But it didn't hurt.\"\n\nSomeone wiped something onto my back.\n\n\"All right.\" I recognized the voice\u2014it was the first doctor on the team who had spoken to me. \"I'm going to insert the needle. Remember, you can't move.\"\n\n\"I know.\"\n\n_Soon a memory._\n\nSudden pain. I scrunched my face and dug my fingers into the headboard. It hurt, but I could bear it. I breathed hard.\n\n\"Don't move.\"\n\n_Monsieur Nevot. Monsieur Nevot. Monsieur Nevot._\n\nAnd then, it was a memory. I relaxed my hands, listening as the doctors and nurses bustled about. I didn't ask or care to know what they were doing. I think I fell asleep.\n\n\"Kurt.\"\n\nI opened my eyes. I was still facedown holding the headboard and believed a lot of time had passed. \"Yeah?\"\n\n\"Now we're going to do the bone biopsy. I don't want you to be surprised. This will hurt. But you cannot move.\"\n\n\"Got it. Give me a second.\"\n\n_Soon it will be a memory. Be calm. Soon a memory._\n\n\"Okay. I'm ready.\"\n\nSomething penetrated the skin over my hip. I could handle this.\n\nSudden, excruciating pain shot through my body, the worst I'd ever felt. I gritted my teeth and pushed my fingers so hard into the headboard I'm surprised it didn't break. I gasped.\n\n\"I know,\" the doctor said coolly. \"Don't move.\"\n\n_Monsieur Nevot. Monsieur Nevot. Monsieur Nevot!_\n\nI couldn't take it. I never knew there could be such agony. In my mind, I saw the giant corkscrew in my back, twisting into my hip.\n\n_Monsieur Nevot._\n\nI started crying.\n\n\"Don't move,\" the doctor said. \"Almost done.\"\n\nAnd then it was over. I took several deep breaths. _It's a memory._ I couldn't believe how painful that had been. _It's a memory._ I didn't move but hadn't let go of the headboard yet. No one spoke.\n\nThen I heard it. A single soft word in a lilting, apologetic voice. \"Kurt...\"\n\n_No no no no no!_\n\n\"...we didn't get the sample we need.\"\n\n_Wait, no. What? Wait\u2014_\n\n\"We need to do it again.\"\n\n\"No, wait! Give me a second! Stop, stop, stop! I need to...just get ready!\"\n\n\"It's better if we just do it now.\"\n\n\"No, just give me a second!\"\n\n_Monsieur..._\n\n\"Hold still.\"\n\n_Nevot..._\n\nAgonizing, nearly unbearable pain assaulted me.\n\n_Monsieur...No, stop! Stop!_\n\nThe tool penetrated the bone. I pictured it again in my mind's eye, digging into my hip. I made a noise, a combination of a soft scream and a sob.\n\n\"Don't move.\"\n\nIn my imagination, I saw the metal burrowing into bone, the straight corkscrew now curved, with the doctor bearing down as he rotated it into my back as if it were a bottle of wine.\n\n_Oh, God, if I have a seizure._ The thing would break off. It would shatter my hip. Maybe they would never be able to remove it.\n\n_Did they think about that? What if I have a seizure? Wait. One's coming. It's coming! It's coming! It's going to kill me!_\n\n\"I'm going to have a seizure!\" I screamed.\n\n\"Hold still.\"\n\n\"No, get it out! Get it out! It's going to break! I'm going to have a seizure!\"\n\n\"Just hold on.\"\n\nMy arms shook as I gripped the headboard tighter. I was crying and hyperventilating. This wasn't a seizure.\n\n_It's coming!_\n\nThey finished and removed the instrument from my back. Then I lost consciousness, from the pain, from the cessation of pain, from the hyperventilation, from the overdoses\u2014the possible causes were almost endless. The seizure I'd feared hadn't been real. Consumed by alarm and agony while psychologically unprepared for the second biopsy, I had experienced a major panic attack.\n\n* * *\n\n\u2014\n\nI woke in my bed as someone bandaged my back. Some members of the group who had performed the biopsy were still in the room. My hip throbbed with pain, and I could barely open my mouth to speak. My thoughts were clear, though all my energy had drained away.\n\nEverything after that moment is a blur. I ended up in a clean bed on the opposite side of the room; my mother told me later I had soaked the sheets so badly with sweat that they moved me to Stale Cigarette's old, now-clean bed rather than have me stand while they changed my linens. I don't remember moving. A lower back muscle spasmed, and trying to stretch it, I raised the head and foot of the bed as far as they would go. I fell asleep in the mattress version of a taco shell.\n\nA new roommate arrived and took my former spot while I dozed. When I woke, he greeted me with a fulsome grin and a big \"hello.\" He appeared to be in his early eighties, and he introduced himself as Irwin Henoch. His wife, Florence, waved at me and asked how I was feeling. I replied that I was okay and introduced my mother, who told me they had been speaking for a while.\n\nIrwin and Florence treated me more like family than a hospital roommate\u2014in fact, within a day, he was calling me his ersatz grandson. He recounted their lives, ordinary talk that came alive with the twinkle in his eye, the lilt of his voice, and the animation of his gestures as he spun his tales; I was captivated. We discussed what had brought him to the hospital, and Irwin explained that a part of his spine near his brain had become clogged and needed to be cleared.* The couple was open about his prognosis\u2014Irwin required surgery, and because of his age and poor health, he might die. He seemed resigned to whatever might happen, but I could see Florence was frightened, putting on a brave front for her husband.\n\nThe three of us talked and talked, and the conversation reminded me that my life was filled with promise and opportunities. The anger, confusion, and fear that had eaten at me gave way to something: Determination? Empathy? I was content and resigned to my fate. For the first time in days, I cared about the outcome but also accepted it was beyond my control.\n\nMy mother listened to these conversations with a watchful eye and, at one point, seeing how relaxed I was, told me she was going to leave for a bit. She needed a break. She returned from the gift shop with a high-quality pen she had purchased for Irwin as a \"thank you\" for being so kind to her son.\n\nThat day, she explained to Carl that I was extremely ill, telling him about red blood cells and bone marrow and using terms he didn't recognize. It was only later when he spoke to his own mother, Lynne, that he came away believing I might have leukemia or some other cancer.\n\nNot long after, Carl and Lynne showed up in my room; he carried a copy of a record by my new favorite band, the Roches _._ Had Carl bought me a present? That was odd, I thought. I studied their faces and detected a mixture of uncertainty and dread. Carl said something, but his tone was different than ever before. There was hesitation, no humor, no goofy put-downs.\n\n_Wait a minute. They all think I'm going to die._\n\n_Ridiculous._ In my convoluted reasoning, I couldn't get sicker. I had told Craddock for months there was something wrong with the drugs, only to be dismissed with his \"I've never heard of that as a side effect\" mantra. Now everyone knew I had been correct. The _doctor_ had been wrong. I couldn't _die_ when I had been right all along.\n\nThe visit ended on an uncomfortable note. Carl clearly had no idea what to say. My mother was on the verge of breaking down. Lynne tried to be her usual upbeat self, but I saw through her forced cheerfulness. I was glad when everyone left.\n\nI resumed my chats with Irwin and Florence. She started unpacking a suitcase, and I saw she couldn't find a place for her clothes. I understood\u2014with Irwin's life at risk, Florence wanted to spend every moment with him until he was wheeled into the operating room.\n\nI climbed out of bed, grabbed my IV pole, and wheeled forward. \"Use my closet,\" I told her.\n\n\"Oh no, I can't,\" she said.\n\n\"Of course you can. You have nice clothing. I have a bunch of T-shirts and jeans. I'll put my stuff somewhere else.\"\n\nShe thanked me as I emptied my closet, then I stacked armfuls of clothes on the table used for meal trays. Florence finished unpacking and sat in a chair. Both she and Irwin sounded exhausted.\n\n\"I think everybody needs to go to sleep,\" I said.\n\nThey agreed. We turned out the lights.\n\n* * *\n\n\u2014\n\nI sat in the dark, the head of my bed still raised as high as possible to stretch my back. I could have slept but didn't want to. My mind flooded with thoughts, many inspired by the love and happiness I saw in Irwin and Florence as they accepted his own uncertain fate.\n\nWhy was I trying so hard? I was always in pain, fears were endless, and doctors made everything worse. Graduating with my class would give me the reassurance to know I wasn't letting epilepsy beat me, but that goal was not about life. There had to be a more important reason than that to keep pushing.\n\n_What's the purpose? What do I want?_\n\nFor hours, I lay there, mulling my future. Obviously, I thought, I wanted to be happy, but what did that mean? For years, everyone I knew\u2014including me\u2014assumed I would be a lawyer. After all, I debated in high school, and litigation was sort of like that. It upset me terribly when Nicholson shot down that aspiration, saying someone with epilepsy couldn't practice law because of stress. But why did I want to be an attorney anyway? It took a second for the answer to hit me: I didn't. I'd drifted toward law because I hadn't given it much thought. I'd graduate from college, go to law school, become a lawyer, the end. But after facing my own mortality every day, fighting to overcome these challenges, it seemed like self-betrayal to travel the unthinking path. If my health improved, my future self owed me, the me in this hospital bed, not to blithely take the easy route. I remembered a phrase from a poem by William Blake: \"mind-forg'd manacles.\" Before my seizures, I had chained myself, out of laziness or a lack of imagination, to a future I didn't want.\n\nSuddenly, an epiphany. _Life is divided into two things\u2014those that can be controlled and those that can't._ I couldn't control my seizures. What else? I couldn't control medication side effects. I couldn't control what others thought of me. I couldn't control whether a particular person loved me. I couldn't control whether someone chose to give me something I wanted, like a job. What did I control?\n\n_Everything else._\n\nIf I faced people who feared me or denied me work, I could control whether I gave up or tried to change their minds. I couldn't _force_ someone to hire me, but I could work hard, assembling a strong enough r\u00e9sum\u00e9 to prove that I was a candidate worth considering. I couldn't _make_ someone love me, but I could be a person worthy of love. I could control the petty feelings that well up in everybody\u2014jealousy, hatred, bitterness\u2014by remembering that, in the scope of life, they were inconsequential. I controlled whether I pushed an elevator button, but I had no control over when\u2014or if\u2014it arrived.\n\nSo what did I want? The answer popped into my head: to be a newspaper reporter. In that job, I would always be learning, interacting with others, and seeing the world. That was almost what I was doing for the BGA, and I loved it.\n\nI remembered my professor's comment on my first college essay. _Your writing is grotesque._ He had been right; when Michael wasn't around, it still was. But I could control how I handled that. I could give up, or I could learn the craft.\n\nIf I committed to working for a newspaper, I knew I would face challenges beyond my lack of talent. Unable to drive, I could live only in cities with mass transit, which meant I had to _start_ at a major newspaper such as _The_ _New York Times,_ _The_ _Wall Street Journal,_ or _The_ _Washington Post_. As my mind ranged over the obstacles I faced, it hit me again: I controlled whether I would accept the challenge. Slinking away to pity myself would mean Michael won. I was taking my life back. Despite the difficulties I recognized, I promised myself I would not let him defeat me. I would be a newspaper reporter.\n\nWhat else? I wanted to be married to a fun, lively woman\u2014I pictured Laura Petrie, the wife of the main character from the old television program _The_ _Dick Van Dyke Show_. I wanted my marriage to mean something. I wanted to be an attentive father to several children. I wanted a life that mattered, at work, at home, to my descendants.\n\nI finally understood\u2014I possessed more control than I had believed. Healthy people didn't always understand the scope of how much could be overcome. I certainly never had before I got sick. As for what I didn't control\u2014the seizures, how others reacted to me\u2014to hell with it. I could control how I reacted to the uncontrollable.\n\nSometime after midnight, I closed my eyes, feeling far more powerful, far more in charge of my life, than ever before.\n\n* * *\n\n\u2014\n\nThe next day, my doctors informed me there was no doubt\u2014my anticonvulsants were killing me. They wanted my authorization to stop the drugs as fast as possible. My neurologist and a pharmacologist concluded that phenobarbital was the only safe anticonvulsant for me to take until my bone marrow recovered. A drip of that drug was attached to my IV, a necessary precaution since the withdrawal of Tegretol and Depakene could trigger seizures. Sometime later, the drip was removed, and I received the medication in pill form.\n\nI slept a lot. Once I woke up deeply confused and realized Florence was asking if she should call the nurse. I rasped, \"Why?\" She told me she had just returned to the room, and Irwin had told her that while she was gone he heard me making odd sounds\u2014my teeth crunching and strange breathing; he hadn't been able to see what was happening because the curtain between us was drawn. It was okay, I told her. I did a quick mental assessment of my body\u2014yes, I'd had a seizure; all the post-episode feelings were there. I fell asleep.\n\nThen there was a man beside my bed. He introduced himself as a psychologist and told me that my neurologist wanted him to examine me. He asked questions for about twenty minutes, administered a written test, and then was gone.\n\nTechnicians checked my blood every few hours, but I never asked about the results. The jitteriness of the medical staff had eased, so I assumed I was better. The first hematologist I'd met\u2014the doctor who had been honest with me about the dangers I faced\u2014was more upbeat. They pulled me off the drugs quickly after he estimated that my bone marrow had been five to seven days from shutting down. I asked whether I would have died if I had delayed my hospital stay by a few weeks.\n\n\"In the condition you were in, there was a good chance,\" he replied.\n\nMaybe it was the passing of the danger, or Irwin and Florence, or the sense of control I developed in my night of contemplation that they inspired, but I felt calm. My fears, my desperation, had slipped away.\n\nAt one point, I woke in the middle of the night with my head on the floor and my foot stuck under one of the bed guardrails. I knew I had experienced a grand mal seizure, but it took me time to understand I had fallen out of bed. Extracting myself from this position proved impossible. I heard Irwin and Florence snoring and called to them, but they didn't awaken. A nurse or someone else\u2014I couldn't tell who\u2014turned up. She eased my foot out of the guardrail and helped me back to bed. When I awoke the next afternoon, my mother was there. She told me she had arrived in the morning and, based on how deeply I was sleeping, concluded I had convulsed during the night.\n\n* * *\n\n\u2014\n\nBy the last day of my hospitalization, the Tegretol and Depakene had cleared my system, and I was instructed to never use either anticonvulsant again. Given how long I had been toxic on both drugs, a doctor said, no one knew what might happen if I resumed taking them.\n\nMy neurologist, Strauss, showed up that morning before my mother arrived. I realized I had barely seen him throughout my stay, but other people had come into my room and identified themselves as neurologists. I remembered\u2014Northwestern was a teaching hospital. The other doctors had probably been medical residents.\n\nI stood beside my bed in a robe. Strauss reviewed what had happened during my stay and confirmed that, yes, my levels of Tegretol and Depakene had been more toxic than he'd ever seen. He mentioned that one colleague had encountered someone with higher Tegretol blood levels in an emergency room, but that was a patient who intentionally overdosed in a suicide attempt.\n\nHe rambled on, but I paid little attention. The world struck me as blurry, but not in how it looked. I thought if I commented on that, no one would understand what I meant.\n\n_Wait. What?_\n\n\"Did you hear me, Kurt?\" Strauss asked.\n\n\"No, I'm sorry. I wasn't listening. What did you say?\"\n\nHis face was firm.\n\n\"You don't have epilepsy,\" he said. \"Your seizures are psychological.\"\n\n* In the course of my writing this book, doctors have told me that this is a rudimentary and partly inaccurate description of a condition called spinal stenosis.\nIn a conversation with\n\nDR. ALLAN NAARDEN, 2017\n\nJust think about the main problem with seizures. It's the chaos that it causes in your brain. It's very difficult to focus and to think coherently. You can imagine how people would believe when somebody else is telling them that they're mentally ill. How many patients wound up in mental hospitals with the diagnosis of suffering with psychological illness when that isn't what they had?\n\n# CHAPTER ELEVEN\n\nMy first reaction to Strauss's statement was gut-wrenching exasperation\u2014another neurologist saying the others had been wrong. I had petit mal, I didn't have petit mal. My medications were fine, my medications were low, my medications were high. I had epilepsy, no I didn't. Then, disbelief: I had been throwing myself down stairs, biting my lip until it bled, breaking ribs, losing friends, living in fear, and it was all psychological? If those hadn't been seizures, I had to be insane.\n\n\"They're not epilepsy?\" I snapped.\n\nIn a sharp tone, he told me to stay calm. I sat down on the bed, trying to absorb his words. A fear struck me. A doctor had just suggested I was mentally ill; perhaps his curtness toward me had been a warning. Maybe orderlies were in the hallway, ready to whisk me off to a psychiatric ward if I became argumentative. I felt a chill. I recognized I was being paranoid; there was no one ready to pounce. Probably. For a moment, I wished I could shut down my emotions whenever I wanted. I needed that now.\n\n_Watch your tone._\n\n\"Okay,\" I said. \"If the problem is psychological, then we need to deal with that. But explain why you think it is.\"\n\nHe started with the bone biopsy. \"Medical staff was here. You yelled you were going to have a seizure, and then you shook.\"\n\n\"My arms shook.\"\n\n\"Exactly. You know what happened. If that had been a real seizure, you wouldn't know. And the doctors who were there reported that you were speaking much of the time.\"\n\n\"But I never said it was a seizure.\"\n\n\"You did. And then you pretended to lose consciousness.\"\n\n\"I know it wasn't a seizure. When that thing was in my back, I got scared and thought one was coming. I never said it _was_ a seizure. And I _did_ pass out after it was over. At least, I think I did. I don't know why it happened. You're the one telling me you've never seen drug levels this toxic. Do you know how someone would react to that much pain with such high levels of those drugs in his system?\"\n\n\"Kurt, it wasn't a real seizure.\"\n\n\"I _know_!\" I shouted.\n\n\"Don't shout at me,\" Strauss said gruffly.\n\nHe was making short, staccato statements, and I was rambling. _Calm down._\n\n\"Look, we agree,\" I said in a softer voice. \"Why didn't someone just ask me if that was a seizure? If I said yes, you'd have a point. But you're assuming I thought it was. I was _scared_ one was coming, but whatever happened, that wasn't one of them.\"\n\n\"The doctors who saw it say it was hysteria.\"\n\n\"Then it was hysteria. I don't know what it was. It wasn't a seizure. I had that thing in my back, they didn't give me a second to get ready before they did it the second time, and I got scared. It wasn't a seizure.\"\n\nStrauss looked annoyed. \"That's not the only problem. You've been here for days. You haven't had a seizure the entire time.\"\n\n_Wait a minute._ \"Yes, I did.\"\n\n\"No one saw you have a seizure.\"\n\n_Was_ I crazy? I woke up on the ground, having banged my head on the floor. A nurse\u2014 _was it a nurse?_ \u2014helped me to bed. I had been postictal; my mother told me. _That didn't happen?_ I touched my head. A bump was there. It still hurt.\n\n\"Feel my head,\" I said. \"You can feel where I hit it on the floor when I had a seizure.\"\n\n\"No one saw you on the floor.\"\n\n_That's not true!_\n\n_Calm. Stay calm._\n\n\"A nurse saw it,\" I said. \"Or somebody. I couldn't get my foot out of the railing. The nurse or whoever helped me.\"\n\n\"No one reported that. If you fell out of bed, they would file a report.\"\n\n\"But I have the bump on my head!\"\n\n\"Kurt, no one reported finding you on the floor.\"\n\n_It happened. I know it did._ But cracks in my certainty were widening. In mere minutes, Strauss had raised doubts I couldn't explain away. Why hadn't I had more seizures? Why had there been only one? I had already forgotten the others, the one Irwin had heard and the other times I woke up postictal. I wrote about those instances of confusion in my diaries on the days they happened but didn't think to check my records as I struggled with this new diagnosis. In fact, I wouldn't look at any of them for four years.\n\nStrauss continued. \"The most important part is your EEG. It showed no seizure activity.\"\n\nI stayed silent. _The test showed no seizures_. No seizures. All of my injuries, all of the emotional trauma suffered by family and friends, and nothing had been detected in my brain, not even when they shoved coat hangers up my nose. _Could Strauss be right?_\n\n\"What's wrong with me, then?\" I asked.\n\n\"It's called a conversion disorder, a form of hysteria. I ordered a psychological exam of you while you were here, and the conclusions are that you suffer from emotional disorganization and other symptoms consistent with hysteria.\"\n\n_Wait a minute._ \"You gave me the psychological exam at the same time I was coming off two anticonvulsants and adding another. How could anyone know if they were testing me or testing whatever the medications were doing to me?\"\n\n\"Kurt, the diagnosis isn't from a single piece of information. It's everything together.\"\n\n_Crazy people never think they're crazy._ I knew that. The EEGs showed nothing _._ I had to be mentally ill. This conversion thing had to be treatable. What difference did it make if I had epilepsy or a mental disorder? Either way, the episodes had to stop. I couldn't handle injuries anymore. _Oh my God. Everyone I hurt._ A wave of guilt struck, the worst I'd ever experienced. The anguish I caused so many people I cared about, people I loved\u2014how could I have done that to them?\n\nI folded my arms across my chest. \"Okay, if it's psychological, what's the next step?\"\n\n\"I'm going to refer you to a psychiatrist I've worked with. He's excellent, and I believe he'll be able to help you.\"\n\n\"Can I make an appointment to see him now?\"\n\n\"I doubt he has an appointment now.\"\n\n_Why are neurologists so thickheaded?_\n\n\"No, I meant, can you give me his number now so I can make an appointment?\" I said. \"I want to take care of this.\"\n\nStrauss gave me the doctor's name and told me he was releasing me from the hospital. I would need my blood checked several times a week at the hematology lab, but otherwise there was nothing more for him to do. The discharge nurse would provide me with documents to sign and my prescriptions.\n\n\"Prescriptions for what?\" I asked.\n\n\"For your phenobarbital.\"\n\nI stared at Strauss, incredulous. \"Why do I need an anticonvulsant? If this is psychological, can't I just stop the medicine? I'd rather not take anything.\"\n\nHe shook his head. \"No, I want to leave you on it for now,\" he said. \"Just in case.\"\n\n* * *\n\n\u2014\n\nI had arrived at Northwestern combative and afraid. I departed confused and consumed by guilt. My nausea, trembling, and headaches gradually disappeared, probably a result of coming off the Tegretol and Depakene. My white count remained low, but my red cells and platelet levels increased. I didn't know how my blood improved so quickly. I may have received a transfusion; doctors have since told me this would be standard for my low hemoglobin count. If so, I either forgot or was unaware it was happening.\n\nAfter my discharge from the hospital, my mother and I went for lunch at a sandwich shop in Water Tower Place, the posh shopping mall on Michigan Avenue. The strain on us was palpable, tacitly acknowledged by our silence after we found our table. She looked pale but, unknown to me, had reached a turning point. She didn't believe Strauss's diagnosis and was furious that he would proclaim, after one appointment and a couple of drop-ins, that my seizures over the years had been, essentially, fake. She had witnessed my episodes\u2014the crunching of my teeth, the biting of my lip, the saliva, the sounds as I croaked out breaths through muscles contracting in my neck, the stiffening of my body; Strauss had never asked what she thought, what she had seen in the hundreds of days leading up to this moment. She knew I had been postictal at least twice at Northwestern, although she didn't mention that to me at the time.\n\nAs I sat in the deli, I had no idea I was watching my mother transform; she was resolving to no longer stand helplessly on the sidelines and instead to fight to end the chaos. She had allowed my father to seize the role of overseer of my medical care, then hadn't fought back when I insisted on finding my own doctor in Pennsylvania\u2014all with disastrous results. If she hadn't forced me into Northwestern, I would have been dead. Only her decisions had been correct; my father's and mine had consistently been terrible. She knew taking control would mean fighting us both. She had never been an aggressive person and often allowed my father to dictate her life choices. No more. While she didn't know her next step, she later told me that the day I left Northwestern, she began plotting how to get me to another doctor, someone she would find by consulting experts.\n\nFirst, though, came our usual dance. As I picked at my sandwich, she pleaded with me to return home; again I refused. Now that we knew what was happening, I told her, I should get better. If psychological distress triggered these whatever-they-were episodes, maybe I could _will_ them to stop. My first psychiatric appointment was in a few days. Who knew what might happen after that? I wanted to finish my internship. I would be home in August, just weeks away. I should be better by then.\n\nI parried every argument until she finally accepted that I would not leave Chicago while I still had a job. Until another doctor confirmed her suspicions, she had no grounds for declaring Strauss wrong. For the next few weeks, she would have to endure her fear that the phenobarbital wouldn't work and I would be in more danger than before. She thought that trying to force me back to Dallas might backfire, and I might refuse care. She had no options available yet, no answers to give, no doctor waiting, no idea how to find a good one. She decided her only choice was to return home and prepare her next move.\n\n* * *\n\n\u2014\n\nI had almost reached the third floor of Carl's house, walking a couple of steps behind him, when I collapsed. I flipped twice as I plunged down the stairs, then crashed full force into a wall. I recall none of it.\n\nMuch of the rest of that summer has disappeared from my memory. I stopped recording and writing my diaries. I never told Carl of Strauss's diagnosis; I was embarrassed and remorseful about inflicting so much on my friend because of some psychological problem. Yet in my rattled state, it never occurred to me that by staying, I was wreaking more damage on him. The intensity of the seizures, their frequency, the injuries\u2014all of them increased. Seeing the psychiatrist and swallowing phenobarbital accomplished nothing.\n\n\"It was just constant. You were so sick,\" Carl told me years later. \"It's amazing you weren't hit by a car or didn't break your neck falling down the stairs or just wear yourself into the ground. It was awful. It was really awful.\"\n\nBy then, Carl and I were alone in the house; his parents had traveled to their home in New Mexico, and my mother, at my insistence, had returned to Dallas. That meant, as I got sicker, Carl\u2014a twenty-year-old kid\u2014faced every challenge by himself.\n\nI knew my episodes had taken a sharp turn for the worse, but my thoughts were too unfocused for me to comprehend the magnitude of what was happening. According to Carl, I experienced grand mal seizures up to four times a week and frequently collapsed in drop attacks. I would awaken trying to make the postictal state disappear by force of will. If the seizures were psychological, then the post-seizure confusion was too. But no matter how hard I tried, I couldn't make anything stop. The disorientation became dramatically worse. I injured myself so badly during this time that I concluded that the psychological problem causing these episodes had to be severe.\n\nI returned to the hospital, but not by choice. On July 3, 1981, Carl, his friend Tamar, and I boarded the \"L\" for the downtown business district, then walked to Grant Park for the second annual food festival Taste of Chicago. Crowds numbering in the thousands milled from tent to tent, where scores of the city's restaurants sold meals and snacks. As we ambled through the masses of people, I fell to the ground in convulsions. Carl did not know what to do\u2014we were deep inside the park and surrounded by too many crowds for him and Tamar to bring me out. A passerby called an ambulance, which took me to the Northwestern emergency room.\n\nOn another day, I was in the kitchen near spaghetti that was cooking on a stove when I suffered a drop attack; I knocked over the pot of boiling water, and, while I was fully conscious, the liquid scalded my right arm. I banged my head on the street in several episodes. The left side of my chest hurt badly after one occurrence; I figured that I had broken another rib and ignored it.\n\nThe worst moment for Carl came when we were downstairs in the finished basement at his house. He was ironing a shirt, and foolishly, I was sitting on the washing machine nearby. A seizure struck, and I fell into the ironing board, knocking off the iron. Carl reached over the board and caught it by the handle before it crushed my skull. He screamed\u2014not in pain, but in terror.\n\nAfterward, as I convulsed on the floor, Carl couldn't stop shaking. Without his catching skills, he knew, I would have been killed. Terror welled up inside him. Suddenly, in what I have always believed was a moment he cracked under the emotional trauma, Carl imagined he heard someone upstairs. He scrambled around the basement, searching for a bat he could use in self-defense. Then he grabbed the phone and called a friend who lived nearby, begging him to come over because some stranger had broken in. When the friend arrived, Carl ran to the door, and the two searched the house. They found no one except for me, lying unconscious beside the washing machine.\n\n* * *\n\n\u2014\n\nWhenever I arrived at my psychiatrist's office, I reminded myself why I was there. This wasn't for me to blubber about my injuries; it was about treating my mental illness. I saw Dr. Robert Wolfe at least once a week, and he often changed my appointment if an episode left me incapable of attending. That was the word I used whenever I spoke to him\u2014\"episodes.\" If they were imaginary, I couldn't call them \"seizures.\"\n\nWolfe looked like a psychiatrist from the popular imagination: glasses, brown hair, the furrows of time and experience etched in his lean face. I always sat in a chair instead of on the couch, occasionally glancing around the room before our session began. Dark wood panels, desk, bookcases. The sitting area was on a large rug that made me uncomfortable. What if one of my episodes happened there? If I bled on that rug, Wolfe would have to pay a fortune to clean it.\n\nI never felt embarrassed when I discussed with Wolfe how my obvious madness hurt people; instead, he helped me manage my guilt. He listened more than any neurologist ever had. He never rushed me to make my point, and I'm sure I rambled.\n\nEarly on, he asked a question that struck me as absurd: \"Where did you keep your clothes when you were in the hospital?\"\n\n\"I'm sorry?\"\n\n\"Where did you keep your clothes?\"\n\n\"Um, in the closet.\"\n\nHe leveled his gaze over his glasses. \"The whole time?\"\n\n\"Yes.\"\n\nThen I remembered. \"No, wait, I didn't. When my second roommate arrived, his wife was staying with him, and she didn't have room to store her stuff. I let her have my closet.\"\n\n\"Where did you put your clothes?\"\n\n\"On that table beside the bed. The one on wheels they use for meals.\"\n\n\"So you kept clothes on the table because you were helping your roommate's wife?\"\n\n\"Yes.\"\n\nThis was bizarre. \"Why are you asking me this?\" I asked. \"What does this have to do with anything?\"\n\nWolfe brought out two pages stapled together. \"It's in your psychological report from the hospital.\"\n\n_My psychological report?_ \"Why would my psychological report talk about where I put my clothes?\"\n\n\"The psychologist concluded that you stacked your clothes on the table so they would be near you, and that was a behavior consistent with you having disordered emotions.\"\n\n\"What does that mean?\"\n\n\"Not much,\" he muttered.\n\nI realized my mouth was hanging open. \"So because I gave up my closet to my roommate, I'm crazy? Are you saying there is something wrong with what I did?\"\n\n\"No. I assume the psychologist never asked you why the clothes were on the table?\"\n\n\"No, he didn't. That's so stupid! How can he reach a conclusion based on where I keep my clothes without asking me why I did it?\"\n\nWolfe put the report away. \"We don't need to talk about this report. I'm not using it for anything.\"\n\n\"What else did he say?\"\n\nHe brushed away my question. \"It doesn't matter. I'm not going to rely on this report. Pretend it doesn't exist.\"\n\nPanic. _Another doctor did something ridiculous?_ What else had gone into that report? Analysis of my robe color? Whether I needed a haircut? Wolfe might ignore it, but would others? Strauss said his conclusions had been based on \"everything together.\" Among the data he cited was this report, one that Wolfe clearly considered nonsense.\n\nFor all of Wolfe's graciousness, after several appointments, I grew antsy. We were getting nowhere. I had assumed we would be digging into my psyche, trying to unearth repressed emotions that led me to fake these episodes. But our sessions lapsed into recitations of the previous week's horrors\u2014the ones I remembered and the ones Carl described. Occasionally, Wolfe asked to see my injuries; I showed him cuts on my arms, bumps on my head. He asked me to describe where my shoulder hurt. I told him about chest pain, dismissing it as another fractured rib; he suggested I see an internist, and I responded that it was no big deal. I'd broken ribs before and knew there was nothing to be done but wait for them to heal.\n\n\"If you keep falling, how is it going to heal?\" he asked.\n\n\"Isn't that part of the reason I'm here? To find out why I'm hurting myself so much?\"\n\nTwo days after scalding my forearm with the pot of boiling water, I arrived for a session in a state of exhaustion. Ugly shades of red and purple streaked across the skin. Wolfe asked to see, and I held my arm perpendicular to my shoulder. I commented on how the burn was beginning to look like a bruise, which I didn't know could happen.\n\nAs I spoke, Wolfe flopped back in his chair.\n\n\"I can't take this anymore,\" he exclaimed.\n\nHis statement shocked me. I had no experience with psychiatry but knew that reaction couldn't have been appropriate. What had I done? Had I insulted him?\n\nHe sat back up.\n\n\"Kurt,\" he said, \"you have epilepsy.\"\n\n* * *\n\n\u2014\n\nI wanted to scream. _Don't do it_. If sharing my closet with my hospital roommate's wife had become part of my diagnosis, what would happen if I shrieked at my psychiatrist? I had accepted the diagnosis of mental illness, once again tricking myself into having hope, into believing someone would finally discover how to help me. Now back to epilepsy?\n\n\"That's not what Strauss said.\"\n\n\"Strauss is wrong.\"\n\n\"He's the neurologist.\"\n\n\"I'm the psychiatrist. And I'm board-certified in neurology.\"\n\nI started crying. \"How can you say I have epilepsy now? I had normal EEGs!\"\n\nWolfe spoke softly in what I now recognize was an attempt to help me regain my composure. \"People with epilepsy can have normal EEGs. It's quite common. What is _not_ common is people with conversion hysteria injuring themselves. That doesn't happen. And every time we meet, you look like you just stepped off a battlefield.\"\n\n_People with epilepsy can have normal EEGs?_ \"Why didn't Strauss tell me the test could be normal?\" I snapped.\n\n\"I don't know.\"\n\nI wiped away my tears. _So I'm back where I started?_\n\n\"Why didn't you tell me when I came in that people with fake seizures don't injure themselves?\"\n\n\"It was farfetched, but you might injure yourself if you had a multiple personality disorder. But you don't have multiple personalities. You have epilepsy.\"\n\nI closed my eyes and leaned my head back. _I want to feel the sun on my face. Why does this office have so little sun?_ I brought my palms up to my eyes. _I want to feel the sun on my face._\n\nTime passed. Seconds, minutes\u2014I don't know how much.\n\n\"Kurt.\"\n\nI looked back down and reached for a tissue on a table next to my chair so I could blow my nose. \"Yeah.\"\n\n\"You understand?\"\n\nI rubbed my hand across the back of my neck. \"Yes, I understand. So what do I do?\"\n\n\"You need to go back and see Dr. Strauss.\"\n\n* * *\n\n\u2014\n\n\"I'm sorry. I don't accept his diagnosis,\" Strauss said.\n\nHe'd telephoned minutes earlier. I called him as soon as I returned to Carl's house and left a message with an assistant spelling out Wolfe's findings. Since then, Strauss had contacted Wolfe, and the two argued about their conflicting conclusions.\n\n\"But you said these seizures or whatever the hell they are were psychiatric, and the psychiatrist says you're wrong!\" I snapped.\n\n\"I disagree with him. I'm convinced you have conversion hysteria.\"\n\n\"So why do you still have me on an anticonvulsant?\"\n\nHis answer was a jumble of words, then a return to the psychological exam I took at the hospital, the non-seizure during the bone biopsy, the normal EEG. He finished by telling me that if I wanted the episodes to stop, I needed to return to my psychiatrist. I telephoned Wolfe and recounted my conversation with Strauss.\n\n\"I know what he thinks,\" he said. \"I don't understand it.\"\n\n\"He says I can only get better if I keep seeing you.\"\n\nWolfe stayed silent for a moment. \"Kurt, I can help you deal with your emotional reaction to the seizures. But I can't stop them. You have epilepsy.\"\n\n* * *\n\n\u2014\n\nMy mother visited the Dallas Epilepsy Association for the second time since my diagnosis. My medical care had been terrible, she said, and the seizures wouldn't stop; she feared I would not bear up under the pressure much longer.\n\nThe counselor gave her a name: Dr. Allan Naarden, whom he described as the neurologist for hopeless cases. He worked at Medical City in Dallas. While he couldn't help everyone, Naarden would be the neurologist he would choose in my situation, the counselor said.\n\nMy father reacted with fury when he heard that my mother wanted me to see Naarden. That neurologist worked at a _for-profit_ hospital! Those places hired only quacks! He raged at my mother for interfering in my healthcare, for trying to dump me with some sleazy doctor who would make things worse. But he offered no alternatives on how to help me.\n\nThroughout the rant, my mother glared at him. Then her decades-long deference, her willingness to accept his instructions, simply collapsed.\n\n\"Stay out of it!\" she snapped.\n\n* * *\n\n\u2014\n\nI stood beside the hot, open oven door. Then I fell, landing on the left side of my face. I heard my skin sizzle. Screaming, I reached with my right hand to push myself off the scorching metal. As I pressed on the door, I saw flesh on my palm smoke and bubble.\n\nI bolted up in bed, shrieking. Was it a dream or real? I no longer always knew. Now, when something bad happened during a seizure, I sometimes dreamt during the postictal phase that the ugly event had been a dream. Then when I woke, I was plunged back into whatever reality my subconscious had tried to escape. The lines between imagination and reality blurred\u2014nightmares plagued my sleep, and postictal dreams tricked me into believing real horrors had not occurred.\n\nThis time, I pulled at my sheets and pinched my skin as I hyperventilated, hoping I wasn't about to wake again to discover my face and hand had cooked. After about twenty seconds, I took a deep breath of relief\u2014the oven episode had been a nightmare.\n\nNo one was treating me. I took my phenobarbital every day, but it may as well have been Tic Tacs. Strauss increased my dosage but still continued insisting I suffered no physical problems and only Wolfe could help me. Meanwhile, Wolfe kept repeating he could not stop the seizures, and finding a solution was in Strauss's hands.\n\nI talked to Carl endlessly in our shared bedroom at night, trying to keep him awake in a pointless effort to fend off nightmares. When I gave in to his pleas to let him sleep, I sometimes retreated to the Moors' rooftop deck in the middle of the night. I knew exhaustion could trigger more seizures or hysteria or whatever was going on. But my nightmares had become so gruesome\u2014falling off cliffs, plunging chest first into poles, being crushed by a truck, burning\u2014that I took the risk. Sometimes, I was so frightened and lost, I just sat with Carl and sobbed. Everything was chaos. He didn't know what to do.\n\nMy job at the BGA was supposed to last until August 14, but eventually\u2014as a result of my mother's pleas, in recognition of the harm I was inflicting on Carl, or simply out of feeling too sick\u2014I agreed to abandon my work and fly home on August 6. In my mind, by quitting my job early, I had failed. And now I had this trail of medical records\u2014 _I'm crazy because I piled up my clothes; my EEGs are normal; oh no, I'm sane: I just have epilepsy; wait, no, something else\u2014_ that left me convinced this ordeal might never end. My mother told me about another neurologist\u2014 _another neurologist, another neurologist._ What difference did it make? They knew nothing. They hurt me. They berated me. They almost killed me.\n\nSome nights as I sat on the rooftop, awaiting the sunrise, I struggled with my deepest fears. As it was, life was not worth living. I came up with two plans. The first: I would run away to Arizona, walk into a neurologist's office, announce I had just experienced a seizure, and start again. I don't know why I chose Arizona; I had never been there. But if I pretended my condition was new, I thought, I wouldn't be stalked by my medical records. Piling up my clothes, the bone-biopsy non-seizure, the fall from bed that apparently never happened\u2014all would be gone. It was an irrational plan, but it was the only thing between me and my second idea:\n\nI would kill myself. Strauss had mentioned hearing of someone becoming toxic on Tegretol after she swallowed a bunch of pills in a suicide attempt. A bottle of my phenobarbital, I figured, could do the job too. Once I obtained my next full refill, I could down them all.\n\nOn the night of August 5, I cried and hugged Carl. Going back to Dallas terrified me. I wouldn't kill myself in Chicago; I couldn't do that to a friend, since he would be the one to find me. I would swallow the pills in Dallas...but I didn't want to die...but I didn't want to suffer. I knew Arizona was unworkable, leaving only my second plan. And so I sobbed, knowing Dallas meant death, wanting to beg Carl for forgiveness without revealing he would never see me again.\n\nThe next day, two of Carl's friends drove me to the airport. I didn't pack some of the new clothes we had purchased that summer, instead leaving them at the Moors' house. I figured the shirts might fit somebody they knew. I wasn't going to need them anymore.\nIn a conversation with\n\nCARL MOOR, 1986\n\nCARL: After the hospital you were emotionally, physically much worse off. But you became so obsessed with living a normal life that you made a normal life impossible. You were so obsessed with not losing your job at the BGA and proving that you could work. Every day, you had to go to the office. You would absolutely not stay home. And it would take us sometimes forever to walk to the \"L\" station, which is five minutes from my house, because you were so beat up and walking so slowly. But you just wouldn't skip work. And I thought, This is crazy. That you should go home and you should do what you can to get better.\n\nKURT: Why didn't you tell me you needed me to leave?\n\nCARL: Because that would have been the worst slap in the face of all. Kurt, I can't stand it anymore. Go home. That was what you feared worst. That was readily apparent\u2014that you were terrified everyone would abandon you. I couldn't do that to you.\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nI got strength somewhere to decide that I was going to fight for my son and get him the care that he needed, and I was prepared to go to any length to do that. Toward the end of July, Kurt was obviously doing very, very badly. I begged him to come home. He wouldn't come home. He said that he had to finish this investigation he was doing, and I begged him, and I begged him. His father ordered him, and nothing happened. He scared me, because he was accepting his seizures as a way of life, and I kept saying, \"That's not a way of life.\" Seizures every day is not a way of life, it's an existence, and I was afraid that at some point it all would be too much and that he would decide to end his life. I know that I would.\n\nI chose to find out more about epilepsy, everything I could. Went to the Epilepsy [Association] again, talked with the counselor there, who was absolutely fantastic. I visited with him and expressed my fears and concerns, and he gave me the support I needed to continue to let Kurt do what he had to do. Kurt had told me that if I did come to Chicago again, he would not come home, and the counselor told me that he felt Kurt very well might run away. He believed Kurt was very frightened and very confused and that he must be allowed to come to terms with this in his best way.\n\nWe finally did get Kurt to come home; he looked awful when he got off the plane. He looked like a scarecrow. He looked very sick and very tired, and he was the son that I didn't know. Dark circles under his eyes, and his normally sparkling eyes and bright, cheerful outlook were gone.\n\n# CHAPTER TWELVE\n\nI lay on my bed in Dallas, propped on pillows and wearing a now-loose-fitting Mickey Mouse T-shirt that I'd outgrown years before. The bottle of phenobarbital in my hand rattled when I shook it. One-quarter full. I wondered if that would be enough to end my life. I thought through my Arizona plan again. I couldn't afford plane tickets, I couldn't drive, I couldn't pay the medical bills. But a suicide attempt, I knew, had to succeed on the first try. I decided to wait until I had a full, fresh bottle of the anticonvulsant before reaching a verdict about whether to kill myself.\n\nIt was August 8, a Saturday. I'd arrived home two days earlier and experienced a grand mal seizure the previous evening. My father had fully subscribed to Strauss's diagnosis that this problem was psychological, so my mother forced him to stand over me as I clenched, bit, and convulsed. \"Look at him!\" she shouted.\n\nI didn't care what the truth was. Fear, embarrassment, anger, guilt, and a desire to make it all go away overwhelmed me. I glanced around my room at the ceremonial masks hanging on the walls, decorations my father brought back from overseas trips. I wondered if any of them represented death. Or health. I realized I'd never asked how the various tribes, religions, and indigenous people used the masks or why. I just thought they looked cool.\n\nI heard footsteps and tossed the pill bottle into a bedside table so no one would ask why I was holding it. My mother appeared. I never closed my bedroom door anymore to make sure I could be heard if I had an episode.\n\n\"How are you feeling?\" she asked.\n\n\"Same as always,\" I replied, emotionless.\n\n\"Your speech sounds good.\"\n\n\"Yeah, well. Give it time.\"\n\nShe sat at the end of my twin bed, the only spot with enough room. \"We need to talk about\u2014\"\n\n\"No.\" _Again with this Naarden guy._\n\n\"Kurt...\"\n\n\"What's the point?\" I argued. \"He'll tell me I have rabies or aliens are shooting beams into my head or say I'm not taking my meds. I hate neurologists. They're all the same.\"\n\nShe took my hand. \"Kurt, I can't make what's happened go away. And I'm sorry you have been so alone in fighting this. We made a lot of mistakes. But this is not the time to give up.\"\n\nI was about to speak but she interrupted. \"You need to go. And if he is not the right neurologist, we will find another one. Things can't go on like this. But you won't be alone anymore. You're a fighter, and I'm going to fight with you.\"\n\nI looked in her pleading eyes. A stab of guilt cut through me. If I didn't go, I knew I would just hurt her more and we would spend my final days\u2014well, maybe my final days\u2014arguing about Naarden. I had caused enough pain. I could waste time with another quack if it would make her happy.\n\n\"Fine,\" I said.\n\n* * *\n\n\u2014\n\nDays later, I sat in sullen silence in the passenger seat as my mother drove the fifteen minutes from our house to Medical City. I knew my surliness only added to the pressure on my mother\u2014the night before, my father had again complained bitterly about her taking me to a doctor at a for-profit hospital. I silently rooted for him to win the argument but couldn't help applauding her newfound assertiveness.\n\nWe headed to the crowded parking lot and maneuvered into a space. My mother uttered a few words of encouragement, then stepped out of the car. I didn't budge, not even to unfasten my seat belt, as I imagined the coming medical interrogation: _Why don't you know the answer to this question? Why didn't you ask other people what happened? Why didn't you have a seizure on Tuesday? Why are your EEGs normal?_\n\nThe driver's-side door was still open, and my mother leaned down to talk to me. \"Kurt,\" she said, \"I know you don't want to go. Please do this for me.\"\n\nI unfastened my seat belt and climbed out of the car, shuffling behind my mother. She walked with such self-assurance that I realized she must have been to this place before. After riding the elevator upstairs, we stepped into a long hallway. No pictures hung on the wall, creating an illusion that the corridor became narrower and narrower.\n\n_Great. This neurologist works in a funhouse._\n\nWhen we reached the end of the hall, I noticed a sign that read, \"Texas Neurological Institute\" with names listed beneath it. For the first time, I saw how \"Naarden\" was spelled. The two _a_ 's together left me wondering about the name's country of origin.\n\nInside, I flopped into a chair in the waiting room while my mother went to the reception desk. I knew I was being petulant by refusing to do more than just show up. I wouldn't even greet members of the staff.\n\nThe room was packed with patients, some in wheelchairs, others with noticeable neurological impairments. I realized I had never seen a person with an obvious, significant health problem in any other neurologist's office.\n\nAfter about twenty minutes, I was called to the back by Naarden himself. My mother went with me, a good idea given the likelihood that without her, I would bolt if this doctor started spewing nonsense.\n\nNaarden ushered us into his office. He was a heavyset man with a mass of black hair and a bushy mustache. He flashed a broad smile, his demeanor conveying an animated charm, but I vowed not to be fooled by his fa\u00e7ade of affability. I took my seat in silence as Naarden sized me up. He knew I was irritable, likely belligerent, but he was unfazed. He witnessed those emotions and behaviors frequently in seizure patients. I never imagined as I glowered at him that this doctor already understood the psychological struggles I faced because of my seizures. Despite my father's protestations about Naarden working with a for-profit hospital, I would soon learn that he was the best-trained neurologist I had ever consulted, one who bristled with credentials.\n\n* * *\n\n\u2014\n\nBorough Park in Brooklyn teemed with energy in the 1950s, its streets packed with Orthodox Jews clad in black coats, prayer shawls, or long-sleeved dresses. A kaleidoscope of residents headed down Thirteenth Avenue toward an open market where pushcart vendors once lined the road. Young and old obsessed over the Brooklyn Dodgers, and the boys emulated their heroes with games of stickball in the streets, swinging broomstick bats as their shoes grew tacky on the hot asphalt.\n\nThat was the world Allan Naarden experienced growing up on a treelined street in the Kensington neighborhood, but he was not the kind of boy to be found in a pickup game. Never an athlete, he spent hours reading in his beloved Brooklyn libraries, captivated by worlds he could explore only in books. Like many Jewish families of the day, the Naardens considered education a great leveler, a gift that opened opportunities to anyone with determination, and they urged young Allan to pursue learning without compromise. While Naarden's father was a diamond merchant, his mother and grandmother pushed relentlessly for Allan to achieve more\u2014he should be a doctor, they said, the pinnacle for an educated man.\n\nBy junior high, Naarden realized he had a knack for academics and decided he wanted a life dedicated to expanding his mind. The public-school system allowed for the brightest sixth graders to graduate into a special rapid advanced class, and Naarden's mother made sure he was ready for that program. From there, he skipped eighth grade and headed straight to Erasmus Hall, one of the oldest public high schools in Brooklyn. Coming from a family with little money, Naarden relied on the taxpayers for the rest of his education. He earned his undergraduate degree with honors at Brooklyn College and went to medical school training just over two miles from his boyhood home, at the State University of New York Downstate College of Medicine, graduating magna cum laude. Then it was off to an internship and medical residency at Maimonides Medical Center, also in Brooklyn.\n\nIt was there that Naarden began to wonder. He'd spent his entire life in this one borough, and that was all he knew. If he didn't leave, he realized, that parochial mindset that affected so many New Yorkers could infect him. He wanted to meet different people, see other places. By then, he had married, and his wife, Audrey, entered a master's program in music at Yale University. A neurologist at Maimonides piqued Naarden's interest in the brain, so he decided to attend Yale for a fellowship in that field of medicine.\n\nHe arrived feeling out of place, a kid from Brooklyn about to walk the halls of the school that taught some of the world's greatest medical minds. _Now I'm going to be let in on the secrets of medicine,_ he thought. Instead, he discovered that his training had been top-notch\u2014he had more experience with the most frequent neurological conditions and with hands-on patient care than many of his Yale colleagues. He worked under Drs. Gilbert Glaser and Richard Mattson, giants in the field whose interest in epilepsy played a major role in Naarden's professional journey.\n\nHe never lost the humor and sparkle that infused life in Brooklyn. As the senior fellow under Glaser, Naarden had the job of driving the world-renowned doctor to the nearby Veterans Administration hospital, and if his boss was in a bad mood, the young neurologist would catch the brunt of it. After realizing that Glaser had an obsessive fondness for Britain, whenever he climbed into the car seeming grouchy, Naarden would mention fog, umbrellas, tea, or whatever; the conversation between boss and driver invariably transformed.\n\nNaarden also was willing to play jokes on his colleagues. Once he learned that a nurse owned a poodle with seizures. He made a plan\u2014translate the dog's age into human years, and present him as a case to other doctors at the weekly neurology grand rounds. Then he would ask Glaser if he would like the patient brought in. Naarden felt sure when the poodle arrived, everyone would crack up. He discussed the idea with his other boss, Mattson. He didn't laugh.\n\n\"Do you like being a neurologist?\" Mattson asked.\n\n\"Yeah.\"\n\n\"Then I wouldn't do that.\"\n\nThe poodle lecture never occurred.\n\nResearch was central to Naarden's work. The Yale neurology department was among the first to conduct long-term monitoring of seizure patients using video cameras, now relatively common. They performed clinical trials seeking to expand the number of available anticonvulsants; their work contributed to an explosion of drug options for seizure patients over the decades that followed.\n\nDespite the opportunities at Yale and his prestigious title of assistant professor, Naarden grew restless. Staying in academia meant publishing research as he climbed the medical school career ladder. Caring for patients interested him far more. He decided to leave Yale and instead go into a clinical practice that also offered opportunities for research. That way, he could treat patients as well as spend time conducting studies without facing relentless pressure to publish.\n\nHe learned from a surgeon friend that a prestigious hospital in Dallas desperately needed neurologists. He landed a job there, and in 1973, he and his wife loaded their belongings into their car and drove from Connecticut to Texas.\n\nThings didn't work out as planned. In a matter of months, Naarden grew disenchanted by the quality of work at his new employer. The EEG lab particularly disappointed him; the technicians were poorly trained, and it overall did not live up to the standards of quality he had come to expect from his previous training and work. He reviewed EEGs, both old and new, and concluded they would be unlikely to pass independent scrutiny from national certifying organizations.\n\nNaarden decided to move on again. In 1974, two neurosurgeons from Dallas academic hospitals invited Naarden to join them in a group dedicated to both research and patient treatment that would practice at a new for-profit hospital, Medical City. It was the perfect scenario, putting him together with top doctors and allowing him to treat patients while still keeping a hand in research.\n\nBy then, Naarden had cared for large numbers of epilepsy patients. He knew not only the latest treatments and diagnostic tools but also the emotional impact of the condition. He understood seizure disorders entailed a loss of control that could be more terrifying to patients than even death. That explained their willingness to surrender authority over their lives to a stranger certified in neurology and their reluctance to change doctors even if mistreated.\n\nNaarden would never claim to fully comprehend those emotions, but he would also never argue with patients about how they should feel. He wanted to be a doctor who offered these people a chance at a life. He might have been able to save me, but I was no longer ready to trust anyone. Fortunately, he knew how to break through the defenses of patients who had given up.\n\n* * *\n\n\u2014\n\nAfter walking into Naarden's office, I slumped into a chair ready for the usual questions and tests, then the tired promises: He knew the problem, other neurologists had been wrong, he could stop the episodes. I wondered if he would prescribe a phenobarbital refill; at least then I would have a full bottle available to end my ordeal.\n\nHe sat and we started by discussing my staring spells, then moved on to the grand mal seizures and drop attacks. The rest was a rote recitation of history\u2014low medication, high medication, toxic medication, bone marrow problems, and oh, by the way, I'm crazy.\n\nTo my surprise, the questions kept coming. He asked whether I was left or right handed. \"Left,\" I replied, wondering why he cared. Then he pursued details no previous doctor had ever wanted to know. When I didn't have the answer, he didn't chastise me or demand I explain my lack of information. After twenty minutes, Naarden had already spent more time speaking with me than any other neurologist ever had, so I figured we were almost done. Then the conversation took an unexpected turn.\n\n\"Have you ever read _The Brothers Karamazov_?\" he asked.\n\nA beat passed. _Who cares?_\n\n\"No,\" I said.\n\n\"You should. Dostoyevsky is thought to have had epilepsy, and it gave him profound insight. He wrote about his own symptoms. The central character in _The Brothers Karamazov_ has epilepsy and experiences seizures of different severity...\"\n\n_What the hell is he talking about?_\n\n\"...and in his other writings, Dostoyevsky gave very vivid descriptions of auras and seizures. But he also wrote about the struggles that can present and how epilepsy was perceived by society at the time.\"\n\n_Jesus Christ. I'm getting a book report from this guy._\n\n\"Now, the word 'epilepsy' is derived from the Greek, and it means 'to be shaken from without.' You might have felt like the seizure isn't coming from you. It's almost like it's emanating from outside of you...\"\n\n_Ha._ _You listening, Michael?_\n\n\"...but different societies have had different ideas about what this thing emanating from outside really is.\"\n\nHe stood and paced toward my right. I turned my head as I watched him. My anger was giving way to fascination.\n\n\"There was an interesting safari that took place in central Africa back in the thirties where researchers went to gain an understanding of how Pygmies viewed disease. They found the Pygmies had a concept of seizures but thought you were being visited by your ancestors. That kind of idea isn't confined to Africa. In many cultures, there's been a belief that ancestors visit you and cause mischief if you don't honor them.\"\n\n_I wonder if I have an ancestor named Michael. That would be funny._\n\nNaarden was taking me on a literary and anthropological journey through the history of epilepsy and wasn't stopping soon. He mentioned that some ancient civilizations had discovered imperfect ways to detect epilepsy. \"In Greco-Roman times, they suggested that before you buy a slave, you have them look at a spinning potter's wheel. Now, why do that? It's because you're being strobed. And a strobing light can trigger a seizure...\"\n\n_Wait, what? Somebody told me I had a seizure after a strobe light went on at a dance. Strobes set off seizures?_\n\nI interrupted. \"I think I've had that happen,\" I said softly. \"I had a seizure after a strobe went on.\"\n\nNaarden seemed delighted that I'd joined the conversation and grew more animated. \"That happens to some people with epilepsy. Now, the mistake they made with having slaves look at the potter's wheel is that not everyone with seizures has that problem, and it had to be spinning at a particular speed.\"\n\n_How did they get the wheel to flash?_ Before I could ask the question, Naarden moved on.\n\n\"In fact, in southern France, there was a road where a pattern emerged of some people with seizure disorders having seizures as they rode through on horseback. There had been some trees planted along the side of the road about equidistant from each other, and they thought that might be the problem. They decided to test it and tried to induce a seizure by having those people ride down the road in a carriage with a fast horse, but nothing happened. Then some smart fellow suggested maybe the sun had to be low on the horizon. At that point, the sun would be behind the trees, and when you rode past them quickly, the light from the sun strobed. That's what caused the seizures.\"\n\nI wasn't slouching anymore. I had arrived in Naarden's office committed to showing contempt through my tone of voice and body language, but now I sat up straight, captivated. Epilepsy was fascinating.\n\nI recognized my guard was down. \"None of that has anything to do with me,\" I fumed. \"One of my neurologists told me I'm not a textbook case. I'm crazy.\"\n\nNaarden smiled. \"There are no textbook cases with epilepsy. Anyone who said that didn't know what they were talking about. One of my patients' recurrent seizures presented as seeing Abraham Lincoln in a closed convertible with his head sticking through the roof. That sounds ridiculous, and it certainly could lead to misinterpretation by a doctor. But when she saw that image during an EEG, it revealed the seizure.\"\n\n\"Yeah, but an EEG never detected my seizures.\"\n\n\"An EEG only measures a small amount of brain activity. It's a diagnostic tool. Plenty of people with epilepsy have either nonspecific or normal EEGs.\"\n\nI swallowed. I wanted to cry. I wanted him to tell me I was mentally ill. That would be easier. Then I remembered.\n\n\"At Northwestern they gave me an EEG with nasopharyngeals. They slid those electrodes up my nose and still didn't find anything.\"\n\nHe sat back down. \"Let me ask you some questions. Were you on your medication when they performed that EEG?\"\n\n\"Yes.\"\n\n\"And what is the medication supposed to do?\"\n\n_He's enjoying this,_ I thought _._\n\n\"Stop the seizures,\" I said.\n\n\"So why would anybody check for seizure activity while using medication to stop seizure activity? Also, were you well rested? Did they keep you from sleeping before the test?\"\n\n\"No, I slept a lot beforehand. But they wanted me to sleep during the test.\"\n\n\"So, how did you manage to sleep during the test when you were already well rested?\"\n\n\"They gave me a sedative.\"\n\n\"You mean the type of drug that is used to stop seizures?\"\n\nIt seemed as if the floor had dropped out from under me. \"Wait, what?\"\n\nNaarden leaned forward. \"Sedatives are often used to stop seizures. Your phenobarbital is a sedative. IV Valium can be used to stop a seizure as it's happening. It has sedative effects. If they used a sedative on you before the EEG, they were making it less likely that seizure activity would be detected.\"\n\nI couldn't speak. I was told I was crazy because I let my hospital roommate's wife use my closet, because some nurse didn't report that she found me on the floor, because the neurologist didn't speak to my mother, and now also because an EEG didn't detect seizure activity when I was on drugs to stop seizure activity. Had _no one_ given thought to what they were doing?\n\nFor a second, I considered asking why Strauss kept me on anticonvulsants while also insisting I didn't have convulsions, but I decided not to interrupt. Everything Naarden was telling me was amazing.\n\nIn a moment, we were off to the exam room, where Naarden conducted another neurological test\u2014\"push my hands; squeeze my fingers\". He asked me to touch each finger on my left hand to my thumb rapidly. He pointed out that my right hand was mimicking my left, making the same movements. He told me to keep my right fingers still, and I repeated the movement on my left hand with much more difficulty. Minutes later, we were back in his office.\n\n\"Based on your history, I believe you're experiencing partial complex and generalized seizures with the focus seemingly in the temporal lobe,\" he said.\n\n\"The focus?\" Another word I had never heard from a neurologist.\n\n\"The part of your brain where the seizure originates. Or there could be projections from other parts of the brain to that area.\"\n\nSensing my bewilderment, Naarden launched into a lecture about how even a small number of \"bad\" neurons could fire, triggering an electrical storm across the brain. I had heard so much at that point I could scarcely take it all in.\n\n\"I want to put you in the hospital for a full workup,\" he said. \"Then after I've finished, I'll get you on a proper regimen of anticonvulsants.\"\n\nI smirked. I knew what he was about to say. Every neurologist used the same words. I decided to beat him to the punch. \"And then the seizures will stop, right?\"\n\nNaarden's smile faded. \"Kurt,\" he replied, \"I don't know. I can't know. A great doctor once said, 'When we understand seizures, we will understand the human brain.' We do not as yet understand the human brain.\"\n\nHis voice softened. \"If the anticonvulsants don't work for you, I'll try again. I will keep trying to get the best seizure control for you possible, with the lowest level of side effects. I can't tell you now what that means or how long it will take. But I won't quit on you.\"\n\nAs Naarden spoke, I blinked away tears. For the first time, a doctor was admitting the truth about the elegant complexities of the brain, showing humility before this beautiful and incomprehensible collection of cells that determines personality, intelligence, emotions, and abilities. He was admitting, finally, that there weren't always simple answers, that choosing medication was trial and error and that this amazing organ guiding our central nervous system required respect and awe before treating problems with its functioning.\n\n\"If I'm going to help you,\" he concluded, \"you have to let me put you in the hospital. That will be our next step.\"\n\nI pursed my lips, then wiped my eyes. \"Okay,\" I said. \"I'll go.\"\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nDr. Naarden said he wanted to get a sleep-deprived EEG and wanted to cut back on Kurt's phenobarbital in the days before that to increase the chance of finding something. Heinz was very angry that he was cutting back on the medication, which wasn't doing anything anyway. Kurt had a seizure on a night his brother, Eric, was home, and it was the first seizure he had seen, and, bless his heart, he cried. Heinz again blasted the neurologist for taking Kurt off the medication and blasted me for something, I don't remember what.\n\n# CHAPTER THIRTEEN\n\nIn the third week of August 1981, Naarden admitted me to Medical City, and I sneered as soon as I walked into my room. Despite years of disastrous experiences at academic hospitals, I reacted with long-ingrained disdain toward the trappings of for-profit hospitals. Lots of closet space, bright lights, window with a view, no roommate\u2014this was more like a hotel than the cramped, hastily cleaned hospitals I had seen. They even spent money on wallpaper. Wallpaper! What kind of hospital needed wallpaper?\n\nGlancing outside, I saw a strip mall nearby with a hole-in-the-wall eatery called The Feed Bag, which served up big, greasy hamburgers. A month earlier, just thinking about that kind of food would have nauseated me. Now I craved one of those juicy delights and a pile of french fries.\n\nI heard my mother arrive. \"Hey, Mom, can you go to The Feed Bag and get me a burger and fries?\" I asked.\n\nShe laughed. \"It's nine in the morning. I doubt they're open.\"\n\nHopes crushed. \"Oh yeah.\"\n\n\"I'll get you some later today.\"\n\nThe moment meant nothing to me, but it gave her an enormous lift. Since returning from Chicago, I had pushed food around on my plate at every meal, barely taking a bite. This was the first time she had heard me express an appetite in a long while.\n\nA nurse appeared with a hospital gown, and I took it into the bathroom to change. I had brought a blue robe with me and slipped it on. Afterward, I folded my shirt and pants, then rolled my white socks together. I piled my clothes with my shoes on top, left the bathroom, and put them in the closet. My mother had unpacked the rest of my items, and I inspected them. Everything looked orderly and in place. Any psychologist who again wondered where I put my clothes might conclude I was a neat freak instead of someone suffering from \"emotional disorganization.\" And I would not share this closet with anyone, even family. No way I'd allow courtesy to be used as proof of mental illness again.\n\nI was lying on my bed when Naarden dropped by. I sat up, legs dangling over the side, as we chatted. He told me to uncross my feet, and I did. Our conversation continued, and he told me to uncross my feet again. A minute later, again. Why did I keep doing that? Was it seizure related? I didn't ask.\n\nHe performed a neurological test. He scraped a blunt metal instrument along the bottom of each foot; my toes bent downward. This was a normal reflex, he told me, like when a leg kicks out after a doctor hits a knee-joint ligament with a rubber hammer.\n\nThen he told me the plan. My hematologist was Dr. Charles White, and he would monitor my bone marrow recovery with frequent blood tests. They would conduct an EEG, as well as a CAT scan. Afterward, a Holter monitor would be attached to me.\n\n\"It's an ambulatory EKG,\" he explained. \"It's about the size of a portable cassette player, and it will stay on for at least twenty-four hours so we can measure heart rhythms.\"\n\nFear struck. \"Did you find something wrong with my heart?\"\n\n\"No, no,\" Naarden replied. \"Everyone has assumed the drop attacks are seizures. The monitor may help us eliminate the possibility of irregular heart rhythms causing them. If there is a problem, it's certainly something we want to know right away.\"\n\n_Right away._ My drop attacks had started, what, half a year ago? No doctor had ever thought to check my heart. Now that Naarden mentioned the possible relationship between sudden falls and heart issues, I marveled that everyone else had failed to conduct an EKG. How could they have overlooked something so obvious?\n\n\"Also,\" Naarden continued. \"You're going to be kept awake all night.\"\n\nFor days, Naarden had been slowly cutting back my phenobarbital. Now he wanted me to have no sleep? \"Why?\"\n\n\"You're going to have another EEG tomorrow. Remember, we want to increase the chance of recording seizure activity, so you shouldn't be medicated or rested. Also, we'll be using sphenoidal leads. Those are electrodes injected through the opening in the temporomandibular joints, which connect your jawbone to the skull. Instead of just getting an EEG reading from the top of the skull, we're recording from a different place and getting a better reading from the temporal lobe.\"\n\nFor a moment, I thought about how the coat hangers\u2014the nasopharyngeals\u2014slid up my nose and where those electrodes must have ended up. It seemed like the same place.\n\n\"Didn't they already do that with the nasopharyngeals?\" I asked.\n\n\"No, with those you're looking at the medial side. With the sphenoidal leads, you're checking the lateral side.\"\n\nMy brow furrowed in puzzlement.\n\nNaarden noticed. \"It's like you're listening to someone from across a lake, trying to tell what they're saying. If you move to a different spot, you might be able to hear them.\"\n\nI knew this was a gross oversimplification, but it satisfied me.\n\nAfter a few more comments and questions, Naarden left the room. Minutes later, a technician arrived to draw blood, and then White, the hematologist, stopped by. He asked about my experiences at Northwestern and what I understood of their findings, then cleared up a few misconceptions. He explained the details of how he would be monitoring my blood while I was in Dallas and why. He also wanted me to arrange for a doctor to continue a testing schedule when I returned to Swarthmore and have the results sent to him in Dallas.\n\n\"What are you checking for?\" I asked.\n\n\"Changes in your platelets, red cells, white cells.\"\n\n\"Got it,\" I said. \"White's watching my whites.\"\n\nHe gave me the pained smile of a man who heard the same joke every day.\n\nNurses and technicians came and went. I noticed that all of them introduced themselves and described not only what they were doing but also what they planned to do. At Northwestern, most doctors, nurses, and technicians had fluttered through my room like busboys at a busy restaurant. The few doctors who introduced themselves rarely told me why they were there. I realized: Northwestern was a medical school. Those people had all been residents and medical students. Was that psychologist\u2014 _you're crazy because you have clothes on your tray\u2014_ in training? Was he a doctor or a medical student? Was that doctor who tortured me with two bone biopsies a resident? Had they allowed someone just learning the job to perform such a painful test? Had he rushed the second one, not allowing me to prepare myself, because he was embarrassed for screwing up the first time?\n\nI tried to remember their faces. Most were young. _Omigod._ Had it been residents, interns, and medical students with no experience in neurology who relayed their belief that I had faked a seizure? None of them asked me about what had happened. Did they not understand that human beings have emotional reactions to pain and fear?\n\nI didn't mind being treated by doctors in training. But how could they not regard patients as living, breathing human beings with real dreads and anxieties? It amazed me that, despite their wealth of knowledge, their basic lack of understanding about the importance of doctor-patient interactions may have led to misdiagnosis. These whoever-they-weres had told me nothing, made assumptions, blithely passed nonsense to attending physicians, and unknowingly pushed me toward suicide.\n\n_Or wait_. Maybe I was crazy. Chicago was a split decision, psychiatrist versus neurologist. I decided to wait until Naarden ruled out insanity before condemning the Northwestern doctors. If the physicians in training ended up being right, well, kudos to them.\n\nAs promised, my mother picked up my lunch from The Feed Bag, and I thought it was the best, fattiest food I'd ever eaten. Soon after I finished wiping the drippings off my hands, a man arrived with a wheelchair to take me for some tests. First, off to the lab for one of two EEGs I would have during my stay. The technicians there already knew I would be having one the next morning with sphenoidal leads injected and asked if I had ever experienced that before.\n\n\"No,\" I replied. \"But I had an EEG in Chicago where they used nasopharyngeals.\"\n\nI remember a gasp.\n\n\"How could you let them do that to you?\" one of the technicians thundered, her voice raised in disbelief. \"Those are _barbaric_! _No one_ uses them anymore.\"\n\nI stared at her, trying to hide my emotions. \"I don't know. That's what they did.\"\n\nFor the first time since I'd arrived at Medical City, anger flashed through me, but not toward Northwestern. Instead, my silent ire was directed at the graceless lady who'd just implied I bore some responsibility for doctors' recommendations. _\"How could you let them do that to you?\"_ she had cried out. Patients do what they're told. I'd expected doctors to exercise care. I couldn't have known I had to protect myself from hospitals inflicting unnecessary discomfort and pain.\n\nThey finished the EEG, and the man with the wheelchair rolled me to the CAT scan. Inside the machine, listening to whirring and thudding, I thought about how commonplace this had become for me. Put electrodes on my head; stick me into a giant donut hole\u2014sure, why not?\n\nWith tests completed, I returned to my room. My mother was waiting there, and I noticed how relaxed she seemed. Then I realized\u2014I felt calm too. I knew everything my doctors were doing, everything they were planning, and why.\n\nFor the first time in months, I wasn't scared. I knew, even if I had a seizure or whatever they were, I would be okay.\n\n* * *\n\n\u2014\n\nThe last thing I remember is walking the hallways with my mother sometime past midnight, trying to stay awake. Earlier, a technician attached electrodes to my chest that connected to the Holter monitor, which looked like a camera hung around my neck. I wondered what would happen if I fell on it.\n\nAfter that, everything is blank. I fell into convulsions at 4:30 A.M. near the nurses' station. A group of people helped me to my bed, then lifted the padded guardrails to protect me. An hour later, more convulsions. My mother hit the CALL button, and five nurses appeared. The night supervisor mentioned that a neurologist named Dr. Steve Lindner was in the emergency room and asked if my mother wanted him to come up. She was astonished\u2014she knew Lindner, having met him at an event she attended with my father at the local medical school.\n\n\"Yes, please,\" she said.\n\nAnother severe episode struck, the most violent my mother ever saw, just before Lindner walked into the room. For the first time, a trained specialist witnessed one of my grand mal seizures. Lindner knew my story\u2014I never found out how\u2014and watched as I convulsed, shocked that anyone could have ever misdiagnosed me. He grew anxious that the episode was lasting too long and prepared to load an anticonvulsant intravenously. Before he did, the seizure stopped.\n\nLindner decided to conduct a neurological exam. He ran a blunt instrument up the bottom of my foot; rather than turning downward as before, my big toe pointed upward, and the others fanned out. He lifted my arm, held it for a second, then let go. My hand hit my face. He placed his knuckle on my sternum and rubbed hard. No response.\n\nNo doubt. All this talk about hysteria was nonsense. Lindner knew he had just seen an epileptic seizure.\n\nSomeone drew blood to check its chemistry. Then while I was still unconscious, I was wheeled away for my EEG. Needles were injected through my jaw joint in what is usually a painful procedure. I didn't flinch. Once they finished the test, I was brought back to my room. I never woke up for any of it.\n\nNaarden reviewed the results. My blood showed changes that can emerge post-seizure. The EEG caught abnormal activity. The focus was in the right temporal lobe, exactly where Naarden had hypothesized based on nothing more than a comprehensive medical history.\n\n* * *\n\n\u2014\n\nI awoke to the sound of snoring. _Wait. I'm awake. I don't snore when I'm awake._ I touched a blanket. _Why am I snoring awake?_\n\nTime passed. I opened my eyes. I turned my head and saw my mother in a chair. She was snoring. It wasn't me. She was snoring.\n\nI glanced around the room. A hospital. My head hurt. _Okay. No one talking to me._ I was alone. Except for my mother. Body assessment\u2014my cheekbone hurt. I must have hit it. Muscles weak. _Okay._ Licked my lips. No blood. I touched my head. Nothing sticky. No bleeding. _Wait._ My jaw hurt. No, it just ached.\n\nI was in a bed. _Of course._ I was in a hospital. _What led up to this?_ I needed someone to tell me what had happened, to place me in time. I think I fell asleep.\n\nI was awake. I heard my mother say my name. I looked at her.\n\n\"Anything good on television?\" I asked, my speech slurred.\n\nShe grinned. She had never found my choice to crack jokes as soon as I started recovering from a seizure to be funny, but she understood it was my signal that I was all right.\n\nI drifted off again. Someone mentioned my name. I opened my eyes. A man I never met before, dressed in a lab coat, stood next to my bed.\n\n\"How are you feeling?\"\n\n\"Rather be in Philadelphia,\" I slurred.\n\nI remembered this was a stranger. He might take that line as a sign of a psychological problem. \"Old joke. W. C. Fields,\" I murmured.\n\n\"I know,\" the stranger replied.\n\nI closed my eyes.\n\n\"Kurt.\"\n\nI opened my eyes and looked at the man.\n\n\"I'm Dr. Lindner,\" he said. \"I'm a neurologist at Medical City. I was here last night when you had a seizure.\"\n\n_Okay, it happened at night._\n\n\"When is it now?\"\n\nHe told me. \"I know you've been told that your seizures might be hysteria. They aren't. What I witnessed was a grand mal seizure.\"\n\nI closed my eyes. _Okay. Says you._\n\n\"Kurt.\"\n\nI opened my eyes. \"Yeah.\"\n\n\"There is no doubt you have epilepsy.\"\n\nHe explained something about the neurological test. The only thing that sunk in was that something weird had happened when he scraped the bottom of my foot.\n\nI thought I heard him say \"Brzezinski reflex.\"\n\n\"Like the guy who worked for Carter?\" At that moment, I could not have spoken the full name of Zbigniew Brzezinski, former president Jimmy Carter's national security advisor.\n\nMy mother laughed.\n\n\"No, not Brzezinski,\" Lindner said. \"Babinski. The Babinski reflex.\"\n\n\"Okay.\" I wasn't understanding his point.\n\nHe saw my confusion. \"An abnormal Babinski reflex is a sign of a neurological problem. It happened after the seizure I witnessed.\"\n\n\"Okay.\"\n\n\"Also, I lifted your arm above your face and let it go. People with hysterical seizures don't hit themselves when it falls.\"\n\n\"Did mine hit?\"\n\n\"Yes.\"\n\n\"Is that why my jaw hurts?\"\n\n\"Unlikely. It wasn't that hard.\"\n\nMy mother interrupted. \"He had an EEG this morning with sphenoidal leads.\"\n\n\"That would leave your jaw aching for a few hours,\" Lindner explained. \"Is it sharp or dull pain?\"\n\n\"Just...\" I stopped speaking.\n\nI heard my mom's voice. \"Kurt.\"\n\n\"Yeah?\" I opened my eyes. I hadn't realized they were closed.\n\n\"Is it a sharp or dull pain in your jaw?\"\n\n\"Just uncomfortable.\"\n\nI looked to my right. Oh yeah. That doctor.\n\n\"You need to sleep,\" Lindner said. \"I just wanted you to know, there is no reason for you to question what is going on. This is not psychological. These are epileptic seizures.\"\n\n\"Okay,\" I said.\n\nMy mother came around the bed and spoke to Lindner. I heard her thank him.\n\n\"Oh yeah,\" I said. \"Thank you.\"\n\nSometime later, Naarden arrived. He explained that the EEG with the sphenoidal leads confirmed I had epilepsy with the focus in the right temporal lobe. \"So you're crazy if you think you're crazy,\" he said.\n\n_Confirmed._ Almost two years of nonsense, and it had taken Naarden a few days to diagnose epilepsy and find where the seizures started. All the wasted time, all the tests, all the pain, and Naarden had figured out what was happening just by asking questions.\n\n\"Okay,\" I declared excitedly. \"Now what?\"\n\n\"We proceed as planned.\"\n\nAn unspoken fury exploded inside me. While I understood the importance of confirming a diagnosis, at that moment, I was enraged that every diagnostic test\u2014not just the ones at Medical City, but all of them from day one\u2014had been useless. All the needles and electrodes and blood and pain, all the claustrophobia and fear as I stayed motionless inside of giant machines, all the accusations and false assumptions, all of it was less important than asking me questions. These doctors thought their electronic toys and numbers and charts were the key, so they shortchanged digging for every detail I could provide or teaching me what I needed to know so I could help fill in the blanks.\n\nThey gained no greater insight into my medical problems by subjecting me to so much discomfort and pain. Everything they had done to me, in the end, was for nothing.\nIn a conversation with\n\nTHERESA EICHENWALD, 2017\n\nMy wife\n\nAs an internist, I learned that taking a good medical history is the most important part of diagnosing a patient. That's what Naarden did with you, which is why he could figure out what was happening. Medicine is a puzzle, and there are lots of pieces to it. You have to observe people and pick up clues from them, and their behavior, and how they sit, and what they say, and their history. You just have to listen for some of the pieces and know the right questions to ask.\n\nThere's no way a machine can do it. People will explain things differently that a machine would not be able to recognize. The machines provide just another piece and usually should just be confirming or disproving the doctor's preliminary diagnosis.\n\nI know from my own patients what people go through when other doctors are careless or inattentive or sloppy. I see suffering, and I see fear. I see it in my patients the same way that I see it in you. And I hate it. I want to erase it from you, and I want to erase it from them. Physicians have no right to play with people's lives and pretend they know when they don't. Writing a prescription has a consequence; it's not just a scrawl on a piece of paper...It translates to a pill that can hurt somebody or help them. Physicians have to care enough to recognize that even what they say to patients matters, that it can make the difference between hope and hopelessness, between a patient living a good life or throwing it away.\n\nThe doctors who did not treat you correctly, who robbed you of your hope and your health for all those years, make me so angry. I would like to go back and protect that person who went through all of that abuse, because it was unnecessary. The answer was much simpler. I am embarrassed for medicine, because this is not who we should be. This is not what medicine should be. Those people had MDs, but they were not doctors.\n\n# CHAPTER FOURTEEN\n\nThe day after my release from the hospital, I returned to Naarden's office. While there was no longer a chance I would run out of the room, I still asked my mother to join us. I wanted her there to help me recall what Naarden said. While certain events, such as emotional or humorous experiences, lasted as memories, instructions did not.\n\nNaarden began by repeating his findings from my hospital stay. A cardiologist had reviewed the results from the Holter monitor\u2014no problem. White had confirmed my bone marrow was recovering from the previous onslaught of toxic drug levels, and my condition had improved since the last tests in Chicago.\n\n\"I'm going to be prescribing Dilantin,\" Naarden said. \"It has been around for decades and is very effective.\"\n\n\"Does it do anything to bone marrow?\" I asked.\n\n\"There have been some reports in the medical literature that there can be hematopoietic complications...\"\n\nI stopped listening for a moment and marveled at his words. \"Reports.\" \"Medical literature.\" I didn't know what \"hematopoietic\" meant, but I assumed it was a blood problem. I knew I could ask, and that Naarden would delight in telling me\u2014and perhaps be embarrassed that he had used a word beyond his patient's vocabulary\u2014but I didn't need to know specifics. He was answering my question, based on research he could cite off the top of his head. All those academics never mentioned medical literature. They just threw drugs at me.\n\n\"...so you need to see Dr. White frequently while you're home. He wants your blood checked three times a week.\"\n\n\"Will you be taking me off phenobarbital?\"\n\nI should have known the answer to that question. My anticonvulsant had already been boosted back to previous levels. But I could see in Naarden's expression that he was going to use my thoughtless query as an opportunity for a teaching moment.\n\n\"No one seems to have ever told you the words 'everything in moderation.' We're not going to rush you on or off a drug. We're going to build up the Dilantin slowly and see if it decreases the seizures with limited adverse effects. If we do more than one thing at a time, and there's a problem, we have no way of knowing the cause. That's why no one knows if it was Tegretol or Depakene or both that caused your bone marrow problems, because the dosages were increased simultaneously. And the result of that rushing in and adding medications is that, at least for now, we can't use either one anymore because of the potential danger to you.\"\n\nAgain, the proper approach seemed so obvious.\n\n\"Now, I do want to take you off phenobarbital once we get the Dilantin set,\" Naarden said. \"Maybe you won't need anything else, but if you do, phenobarbital is not the best choice. Hopefully by November, if necessary, I want to start switching you from phenobarbital to another drug called Mysoline. It metabolizes into phenobarbital and other anticonvulsants. It's a better drug.\"\n\n\"What if the Mysoline doesn't work?\" I asked. \"Are we out of options after that?\"\n\nNaarden smiled. \"No, not at all. If the Mysoline causes problems or the seizures aren't better, come spring we can try another drug called Tranxene,\" he said. \"But this is all up to you. You know, anticonvulsants have side effects. The idea is to get the best balance between side effects and seizures. You're the one who decides the right balance.\"\n\nI could scarcely believe it. Naarden wasn't just telling me what he was going to do now. He was laying out a plan of action in case his original treatment didn't work. He was empowering me, as the patient, to take control of the decisions. I would not have to fight to convince him to do something if the seizures continued. He wouldn't ignore me, as Nicholson had. And if I wanted to stop changing drugs, Naarden would listen.\n\n\"But 'everything in moderation' is not just about medication,'' Naarden continued. \"It's about how you live. You need adequate sleep; you need to eat well. Don't drink alcohol; don't take other drugs. And decrease stress. Stress can trigger seizures.\"\n\nI braced myself. I was about to hear the _avoid these kinds of jobs; shelve the plans for your life_ speech.\n\n\"Now, your mother told me a lot about the things you've heard from doctors in the past. And I want to talk about that. Tell me: Do you have any plans for your future?\"\n\nI nodded apprehensively. \"Yes,\" I replied softly. \"I want to be a newspaper reporter.\"\n\n\"That's great. Now\u2014\"\n\n\"Wait a minute,\" I interrupted. \"Can I be a newspaper reporter?\"\n\n\"Of course!\" Naarden beamed. \"You can be pretty much anything you want to be. Not a school-bus driver or a boat captain if you're having seizures, but epilepsy doesn't decide your life.\"\n\nI blinked. \"Nicholson told me I couldn't take any job that had stress,\" I said.\n\n\"Well, he's wrong. You can be a newspaper reporter\u2014\"\n\n\"Could I be a lawyer?\"\n\n\"Of course. Do you want to be a lawyer?\"\n\n\"No,\" I replied.\n\nNaarden shot me a puzzled look, apparently wondering why I would ask about a career that held no interest for me. I just wanted to hear his response to the example Nicholson had ruled out.\n\n\"Again, you can do almost anything. But everything in moderation. Learning to handle stress is an important part of that.\"\n\n\"Okay.\"\n\nSilence.\n\n\"There is something else we have to talk about,\" he said. \"Your mother told me what's been going on at school, how you've been hiding in your room, keeping secrets, letting your roommates handle this. That has to stop.\"\n\nHe waited to see my reaction. I didn't know what to say.\n\n\"Kurt, you have no reason to hide. Epilepsy is a medical condition. That's all. I know there are people who might react badly if they see a seizure, but ignore them. By hiding, you're letting epilepsy control you. It's not who you are.\"\n\nHe let that sink in. I thought about his words, then changed them into my own slogan. _Epilepsy is like brown hair. Some people have it._\n\n\"You have to stop depending on your roommates. I want you to speak to the Swarthmore administration, the health center, and school security. If they know what's going on and how to deal with it, you can go anywhere by yourself. So promise me you'll speak to those people.\"\n\nThe thought terrified me, but I agreed.\n\n\"You also need a doctor at the health center, and I want you to see a school psychologist, to help you handle the emotional challenges that come along with epilepsy.\"\n\n_Naarden saved me._ How could I refuse?\n\nWe weren't done. \"Now, the medication transition might be difficult, and I want you to have the least amount of stress possible. What is your normal course load?\"\n\n\"Four classes.\"\n\n\"I think you should cut it to three while we work on medication levels.\"\n\n_Wait\u2014I need to graduate with my class._ I started to speak, then stopped. I remembered that I had taken two Advanced Placement tests in high school and scored fives on both. Swarthmore gave me two college credits for those. If I cut my first semester course load to three classes, I wouldn't fall behind my peers\u2014the AP tests would make up the difference, with one credit to spare. I could do as Naarden asked and still graduate with my class. Okay, I told him\u2014three classes.\n\nWe then discussed a recommendation my mother received from the Epilepsy Association. They advised that, while I was in Dallas, I see a rehabilitative psychologist who focused his practice on people with chronic medical conditions. Naarden thought it an excellent idea; I had been through a lot, he said, and the psychologist could help me adjust.\n\nAt this point, I would do anything Naarden told me.\n\n* * *\n\n\u2014\n\nMy mother dropped me off at the medical building where I was scheduled to see the rehabilitative psychologist. She didn't want to leave me alone for fear I'd have a seizure, but we agreed that for me to have a normal life, I would have to take risks. I rode an elevator upstairs, found the office, and walked into an empty waiting room. There was another door opposite the entryway, but I took a seat rather than knocking.\n\nMinutes passed. Then a man opened the door and introduced himself as Dr. David Talbot. At first, I had trouble taking him seriously. His voice was nasal, and he had wild, dark hair that made him resemble Gallagher, the comedian best known for slamming watermelons with sledgehammers.\n\nI accompanied Talbot into his office and sat on a couch. He took a chair across from me, with a small table between us. He asked me to tell my story. As I recounted the events of the previous two years, he posed an occasional question. I found myself rambling until I was finally talked out.\n\n\"So,\" he asked, \"how do you feel about what happened?\"\n\n\"I bounce back and forth between fear and hate.\"\n\n\"Hate for who?\"\n\n\"Nicholson. Craddock. Everyone who wouldn't take time to figure out what was happening.\"\n\n\"How do you feel about yourself?\"\n\nI considered the question. There were many possible answers. \"Well, I don't _hate_ myself if that's what you mean. I don't know. I guess I'm mad at myself.\"\n\n\"For what?\"\n\n\"For being stupid. I listened to doctors even when I knew they were hurting me. And guilty. I kept so many secrets and hurt so many people.\"\n\nI struggled to put my thoughts into words. \"I hurt myself. I hurt others. I should've...I don't know.\"\n\nI stopped, expecting Talbot to ask me something. He just watched me. The silence grew oppressive.\n\n\"I miss my old life,\" I finally said. \"Everything I think and feel is different than it was. In some ways that's good, but I still wish I could go back to the life I had before all this.\"\n\nTalbot picked up a yellow pad of paper from the table. \"You can't,\" he said firmly. \"The person you were is gone.\"\n\nExperience shapes and transforms people, he explained, and that can be shocking. Everyone forms mental conceptions of themselves\u2014their values and beliefs, their expectations of how the day will unfold, their challenges and goals. When they look in the mirror, they recognize and understand the person looking back at them, he said.\n\nHe drew a circle on the pad. \"This was you,\" he said. \"This was your self-conception. You never thought of seizures as part of you. The fear and the guilt you talk about now had nothing to do with your life then.\"\n\nHe drew another circle intersecting with the first.\n\n\"This is you now,\" he said. It's not a completely different person, he explained\u2014that was why the circles overlapped. But things had shifted to a place I hadn't planned for them to go. The first circle existed until I was eighteen, when my seizures began. The second had been my reality ever since.\n\n\"When you accept that the person you were is gone, you can start to accept the person you are,\" he said.\n\nI mulled that over. I mentioned that I'd planned for years to drive cross-country after college graduation but had already let that dream go. So at least I was beginning to recognize my life was not the same as it had been, I said.\n\nHe answered in a clear voice. Some plans would have to be dropped and new ones adopted. And no matter what happened, even if the seizures stopped, I would never return to who I had been; experience changed me. Once I abandoned my original conception of myself, I could love the person I had become.\n\nOur session ended, and I headed to the elevator. I didn't know what to make of Talbot. I was tempted to dismiss his advice as platitudes, feel-good bromides from a fortune cookie.\n\nOutside, as I waited for my mother, I sat on the sidewalk to protect myself from a fall. Talbot's words echoed in my mind. I thought about who I had been before my first grand mal seizure\u2014largely carefree, immature, without much worry or planning for the future.\n\nThat person was gone. Now I was scared every day, checking where I stood for dangers, wondering when consciousness would disappear, but also deeply contemplative about my future and my values. I had recently said to my mother, \"I'm too young to be this old.\" Circumstances forced me to face my present and future with a world-weariness I never would have expected at my age.\n\nTalbot was right. I had to face the truth. My old self was gone. This other person, this different me, had taken his place. A sadness swept over me as if a loved one had passed. I hesitated. Then, acceptance.\n\n\"Goodbye,\" I whispered to the person I had been.\n\n* * *\n\n\u2014\n\nMy days became a series of doctor visits to check my blood count, Dilantin and phenobarbital levels, seizures, emotions. My mother made an appointment for me with an internist to assess lingering damage from my injuries over the years. He confirmed that the white growth inside my lower lip was scar tissue from repeated biting during seizures and recommended I have it removed. _No way._ I would not allow a procedure requiring anesthesia while adding Dilantin to my medication regimen.\n\nHe found a few scars and other old wounds, then recommended I visit an orthopedist about my ribs. A few days later, I sat on an exam table as a sports medicine specialist examined an X ray of my chest. Some rib fractures had mended. One rib was still broken on two sides, creating unattached pieces of bone that would take time to heal.\n\n\"Be careful not to hit your chest,\" he warned. \"A hard impact could shift one of those pieces and puncture a lung.\"\n\nI snorted a laugh. \"That's going to be difficult. My epilepsy still isn't controlled. I could fall at any point.\"\n\nThe doctor looked taken aback. \"Do your best,\" he said.\n\n* * *\n\n\u2014\n\nI once again recounted my history later that week, this time in a lawyer's office. I was meeting with Marc Barta, a family friend and the husband of one of my favorite high school teachers, Stephanie Barta. I had decided I couldn't let Nicholson, Craddock, and Strauss off the hook; I wanted to reveal their incompetence and the harm they caused. To regain my strength and self-respect, I needed a jury to hear the story. I cared nothing about money. I just hoped to shine a light on their actions and force them to explain themselves.\n\nI finished the tale, and Barta leaned forward. \"That's horrifying,\" he said. \"I am so sorry all of this happened to you.\"\n\nHe glanced at my mother before continuing.\n\n\"I have some questions,\" he said. \"You said that Nicholson works at the medical school under your father. Do you think your dad will support you in a lawsuit?\"\n\nI paused for several seconds, staring at my lap. \"I don't know,\" I replied softly.\n\n\"Do you think he'll testify on behalf of his colleague?\"\n\nA much longer pause. My mother could see my thoughts about the question were tearing me up. She considered calling for an end to the discussion.\n\nFinally, I spoke, still averting my eyes from Barta. \"I don't know,\" I said again.\n\nMy mother shifted her gaze from me to Barta. His expression was compassionate; she knew he recognized the anguish from my uncertainty about my father's allegiance.\n\nBarta spoke briskly. \"It doesn't matter what he does,\" he said. \"I have no doubt that you'll win this case.\"\n\nI felt a moment of elation, then realized a \"but\" was coming.\n\n\"But we need to discuss something, and I want you to think carefully about it,\" Barta said.\n\nA lawsuit wasn't just filing a complaint followed by victory. I would have to go through my story again and again. These doctors weren't going to cave and recite mea culpas. They would fight fiercely. Their malpractice insurance companies would hire lawyers to wage war against me. I might have to watch my father testify against me.\n\n\"So the question is, do you want to live the past two years of your life for the next two years of your life?\" Barta asked.\n\nI knew the answer instantly; I needed to move on. \"No,\" I said.\n\n\"Then don't sue. Take care of yourself, and don't let the past destroy your future.\"\n\nThe words hit hard, but I knew that Barta was right. I told him I would not be able to bear up under the fight. We thanked him for his time, and he showed us out.\n\n* * *\n\n\u2014\n\nThat same evening, a hostess at Chili's whisked my mother and me to a two-person tile-covered table. We ordered our standard fare\u2014Oldtimers with cheese, fries, and Cokes\u2014then settled into a conversation about doctors' visits, the meeting with Barta, plans for school. And something more astonishing: Five days had passed without a seizure. My growing dosage of the Dilantin\u2014a little white capsule with a gelatinous red band around it\u2014seemed to help. For the first time in months, I went days with no new pains, my mind clear, my appetite ravenous. I accepted with greater clarity each day that sickness had changed me, that the Kurt I had been was gone, and that I could accept the person I had become.\n\nThe waitress placed baskets of food in front of us. As I ate a few bites of my cheeseburger, my mind drifted back to the meal my mother brought me from The Feed Bag when I was in the hospital. That had been two weeks ago. When I ate that lunch, I still believed I might be mentally ill and had not yet shaken thoughts of suicide. I had been despondent, but between the time I ate that cheeseburger and the one I was chewing now, doctors had rescued me, turning my life around.\n\nI thought about my former neurologists\u2014Nicholson, Craddock, Strauss\u2014who, through arrogance or inattention or incompetence, had placed my life in jeopardy, leaving me beaten and scarred, hurting my friends, hurting my family. And those doctors would never pay a price for what they had done.\n\n_Nicholson. My father's colleague_. A fury smoldered inside me. I was gripping my cheeseburger, crushing it. I placed it back in the basket.\n\n\"Kurt, what's wrong?\" my mother asked.\n\nI closed my eyes tight and pushed my fists against my forehead.\n\n\" _Nicholson!_ That son of a bitch! He did this to me! All he had to do was listen! Just for twenty minutes! He treated me like shit on his shoe, answering nothing, telling me to be afraid of everything. That fucking _sadist_! He got off on this! He didn't call me back, he berated me, he ignored me because causing pain thrilled him. He's a psychopath! He's a fucking psychopath!\"\n\nI wiped my palms across my face. \"And nothing's gonna happen to him! He put me through two years of hell, and _nothing_! _Nothing!_ He'll just do it to someone else. Maybe next time he'll kill somebody. He'll enjoy it. _And I can't stop him!_ \"\n\nMy mother listened in silence, knowing she had to let me release my rage against the man who could have stopped the horrors of the past two years. She struggled not to cry as she watched the explosion of my temper. _The pain this poor boy is experiencing is unbelievable,_ she thought. _If I could take just a little bit of the pain he's experiencing...But I can't do that. I can only reach out to him and hold him and hug him._\n\n\" _Dad_ could stop him!\" I yelled. \"Dad could get him fucking _fired_! But he won't do it! No, he won't do it.\"\n\nI pounded the table twice as I curled my back, bringing my face to just above the tile as I started to sob. \" 'Would your dad testify for Nicholson?' \" I said. \"I couldn't answer Mr. Barta. I couldn't answer! I didn't know! How could I not know? My _friends_ would know if their dads would side with them against a man who could have killed them. Everybody knows! I don't know. Why can't I know?\"\n\nI started shaking my head. \"I can't deal with this,\" I moaned.\n\nThe explosion was getting out of control. My mother decided the time had come to intervene. \"Kurt\u2014\"\n\n\"No!\" I barked. \"There's nothing to say.\"\n\nMy father had trusted Nicholson and the rest of those doctors. I had heard about how, even as he watched my convulsions, he believed\u2014no, I was sure he _wanted_ to believe\u2014that I was mentally ill. Now there was no doubt that I had a neurological problem, something that could be controlled with medication. Was my father so repulsed by epilepsy that he _preferred_ for me to have a possibly untreatable psychological problem? Nicholson worked for him\u2014had my father played a role in that son of a bitch refusing to speak to me? Was this my father's fault?\n\nMy mother watched my face and grew concerned. She could tell something bad was happening. The growing fury she saw was greater than anything she had witnessed before.\n\nI spoke through gritted teeth. \"How could he have believed them?\" I said in a soft, contained rage.\n\n\"What do you mean?\"\n\n\"Dad. How could he believe them? He wanted me to be crazy! He thought that was better than me having epilepsy.\"\n\n\"That's not true.\"\n\n\"Then why did you have to work so hard to convince him?\" I raised my voice. \"He did _nothing_ to help me! Not a _fucking_ thing! He got me to see those bastards who tore me to shreds. Then just walked away! He _walked away_! He left me out there, going through all this, because he'd rather I die than have epilepsy. He's a _fucking doctor_!\"\n\n\"Kurt...\"\n\n\"He was always the one who demanded he manage our medical care. 'Oh, only I know good doctors. Only I know what to do.' \" My breathing grew heavy. \" _Fuck_ him!\" I shouted. \" _Fuck_ him!\"\n\n\"You need to stop. You can't\u2014\"\n\n\"These people almost killed me! Naarden is saving my life. Has Dad ever _spoken_ to Naarden?\"\n\nMy mother squeezed my arm. She couldn't get a word in and hoped physical contact would bring me to my senses.\n\n\"Did he ever come to the hospital? Was it _so fucking important_ to him that this wasn't a medical school, that it was a for-profit hospital? More important than me, than my life?\"\n\n\"Kurt\u2014\"\n\n\"Goddamn him!\" I screamed.\n\nThe entire room watched in silence. A waitress recoiled in apparent fear, then hurried away. My mother thought she was getting the manager, maybe calling the police.\n\n\"Kurt, stop!\" she shouted.\n\n\" _Fuck_ him! Fuck him and his medical schools! How could he do this? How could he put me into hell and abandon me! Why did he want me to be crazy? Was that _really better_ than what I am?\"\n\nMy mother had never seen me so out of control. My words tumbled out faster, a mishmash of shouts and curses. This eruption of rage seemed to have no limit.\n\nThen she remembered. Naarden had told her that rage episodes could be a sign of an oncoming seizure. Many people had auras that were emanations of explosive anger. Or my new medication might have triggered my outburst. Or maybe, she thought, after so many years of trauma, the sudden relief of seeing my health improving had broken an emotional dam.\n\n\"Kurt, stop it!\"\n\nMy words grew incoherent as I continued spewing venom against my father. Then my speech slowed, and my mother saw the redness in my face transform to a white pallor. My eyes changed in a way she could not explain.\n\nShe stood, certain I was about to have a grand mal seizure and hoping to clear the area so I wouldn't get hurt. She heard me gasp as if all the air in my lungs had been pushed out at once. I fell to the ground as intense convulsions began. People sitting near us jumped up and started to approach.\n\nMy mother slid her hands under my head to keep me from banging it on the floor. Someone shouted she needed to put a spoon in my mouth before I swallowed my tongue. She ignored the ill-informed advice until this customer repeated herself in angry tones. My mother looked at her.\n\n\"I'm sorry,\" she said firmly. \"You don't know what you're talking about.\"\n\nA manager appeared. \"Should I call an ambulance?\" he asked.\n\n\"No,\" my mother replied. \"This will stop soon. I could just use some help getting him out to the car afterward.\"\n\nThe convulsions ended, and I lay on the floor unconscious. The manager asked two waiters to bring me out to our car.\n\n\"Don't worry about the bill,\" he said. \"It's on the house.\"\n\n* * *\n\n\u2014\n\nI woke the next day in my bedroom with the familiar post-seizure confusion. I ran through the full body check in my mind; no unusual pains or injuries. I touched my hand to my head, inspecting for blood, and it felt strange, almost slippery. I looked at one hand, then the other, and rubbed my thumbs along the fingers. They were vaguely greasy.\n\nTime passed, and then my mother appeared.\n\n\"Do you remember what happened?\" she asked.\n\n\"I'm not sure,\" I replied. \"Where was it?\"\n\n\"At Chili's.\"\n\n_That's right._ We had gone to Chili's.\n\nI held up my hands. \"This is amazing,\" I said. \"My fingers are still greasy.\"\n\nShe laughed. \"Do you remember how angry you got?\"\n\nA few scattered memories returned. I knew I had been screaming about my father. \"I really lost it, didn't I?\"\n\n\"The worst I've seen,\" my mother said. \"You need to call Dr. Naarden and tell him about what happened when you're feeling better.\"\n\nI promised I would, and after a short discussion, she left the room. I thought about everything I'd said at Chili's\u2014at least, everything I remembered. I had no regrets about my fury toward my former neurologists. But what about my father?\n\nFor so much of my life, I had considered him a towering figure who stopped disease outbreaks worldwide. But with me, he failed. I knew he loved me, but he was human, with accompanying flaws he couldn't overcome.\n\nHe hadn't _wanted_ to hurt me. He believed he was finding the best care. Now I knew, with his convictions about academic hospitals and medical care upended, he was unable to face reality: He botched everything because of his shortcomings. But all of us had those. I certainly did.\n\nThose thoughts tumbled through my mind for about thirty minutes. Slowly, as time passed, my anger dissipated. Then in a single second, I let it go.\n\nI forgave my father, forever.\nIn a conversation with\n\nHEINZ EICHENWALD, 1986\n\nKURT: In the end, there's no reason to feel bad, because what happened, happened. Just like the bad decisions I made were not my fault, what happened with you wasn't intentional. I won't deny that you failed, but it wasn't on purpose, and I love you very much.\n\nDAD: I love you too, dear. But you know, one can't help saying, \"What if?\" It's always \"What if?\" If this had happened, if I'd done this. It certainly might have made your life easier.\n\nKURT: But no matter what, I'm living a happy life.\n\nDAD: Yeah. You're doing okay.\nAn audio diary from\n\nTHERESA EICHENWALD, 2017\n\nThe one thing that surprises me with Kurt is his ability to forgive his father. I probably should thank his father because maybe if Kurt had not been so sick, I might not have met him, but once again, I cannot forgive his father. Part of it may have some element of my not forgiving my father, another trained physician always worried about his colleagues, for the poor medical care we got and the fact that arrogant doctors of that generation seem to have wreaked a lot of havoc on their families. I think that I just cannot forgive Heinz for ignoring the fact that his son was having a medical problem, for not standing up for him, and for allowing his pride and pleasure in being the boss\u2014allowing that to interfere with Kurt getting good medical care.\n\n# CHAPTER FIFTEEN\n\nFrom the top of a hill in front of Parrish Hall, I marveled at the foliage dotting the Swarthmore campus. I inhaled the sweet air, perfumed by trees nearing the explosion of reds and greens and purples that would define the final days of fall. In the past, I had smelled these invigorating aromas, seen these majestic giants, and walked by these sweeping green fields, but never appreciated their life-affirming beauty.\n\nMy mind reeled. With Talbot's help, I accepted the new me, and now I saw and heard and felt things as never before. I cherished the knowledge of my own mortality, the recognition that every moment I let slip past unappreciated\u2014whether embracing in love or washing the dishes\u2014was a moment wasted, a moment when I may as well have been dead.\n\nThis was my second try at starting my junior year. I had insisted I would arrive at school the day before classes began, and despite widespread warnings that I was too sedated from the anticonvulsants, I showed up on time. My mother stayed nearby as she waited for me to come to my senses. I slept constantly, my speech was always slurred, and my roommates insisted I was not in shape to attend school. When I realized I couldn't walk to class, I agreed to return to Dallas, where Naarden cut my dosage. Once I was better, I returned, two weeks into the semester. The incidence of seizures had improved dramatically. The drop attacks had ended, and convulsions occurred as infrequently as every two weeks. A stranger might have reacted with dismay and pity over that frequency; for me, who just weeks before had been having seizures every other day, it was as if I had been released from a dank prison and chauffeured to a country estate.\n\nMy mother accompanied me on my second attempt to start school that semester, helping me settle in and making sure I arranged to meet with school officials. I moved in to the triple suite I was sharing with my longtime roommates. Franz and I would stay in the double; Carl had taken the single. After an emotional experience with his family in Santa Fe\u2014Carl had jumped to the aid of his healthy younger brother, irrationally fearing that Peter was about to have a seizure\u2014he decided that he needed to put some distance between us.\n\nThen I made appointments to meet with the security department, as well as with an internist and a psychologist at the health center.\n\nAfterward, I walked my mother to her rental car, and we hugged goodbye. She clasped my chin and looked me in the eyes.\n\n\"Remember,\" she said. \"No hiding. No secrets. If there are problems, you call me or Dr. Naarden right away. Promise?\"\n\nI nodded. \"I promise.\"\n\nShe held my gaze, reluctant to leave. She reminded me to watch for side effects from the Dilantin. Naarden had told me that, barring drug problems, if the seizures had not stopped by early November, he might increase the dosage. To me that meant, as good as things were already, they could be better when I returned from break. Everything was falling into place.\n\nAfter another set of goodbyes, my mother drove away. A thrill ran through me. I was on my own, ready to be a regular college student with no more drama or pain.\n\n* * *\n\n\u2014\n\nThe first step was to meet with Janet Dickerson, Swarthmore's new dean. I reviewed the basics with her: My epilepsy had been poorly controlled for years, but now my new neurologist was making great strides. She asked some questions, and I explained that medication changes require a lot of time and educated guesswork. It could take weeks to determine if a new dosage worked and whether side effects were bearable. Gaining control was not a process of throwing drugs at the problem and then trying more the next week. There would be ups and downs, but the worst was over.\n\nWe discussed my schedule. As Naarden recommended, I took a lighter load, signing up for only three courses. She advised that, with two Advanced Placement credits available, I could drop another class, since that would not affect my graduation timetable. Then, if the Dilantin caused unexpected problems, the academic pressure would not be so high. I agreed, leaving me with one class in statistics and another in public policy.\n\nOn to the health center. One member of the staff, Dr. Jeffrey Millington, maintained a medical practice and also saw students at the college; he had known about my seizures since May and had advised me to find better care, but back then I had no reason to question the skills of Craddock, my neurologist. Millington wasn't around when I dropped by, so I met with the health center director and nurses to discuss my condition. I assured them they did not need to panic if someone brought me there after a convulsion.\n\nNext, I headed to the security department for a meeting I had scheduled to speak with the staff. Once again, I explained my seizures\u2014they might frighten people, but I would be okay so long as the convulsions didn't last for many minutes on end. I dismissed myths believed by several of them\u2014 _no, don't put anything in my mouth; no, I won't swallow my tongue; no, don't hold me down_. \"It's best not to touch me and just let the seizure run its course,\" I said. \"Then you can take me back to my room or to the health center so I can sleep it off.\"\n\nThe session ended with my self-confidence soaring. I was discussing my epilepsy openly, and I wasn't frightened of how my audience might respond. One officer approached me. He was an emergency medical technician, he said, and wanted to tell me about a conversation he'd had with the health center director.\n\n\"She seems scared,\" he said. \"I tried to tell her it's really not a problem unless the seizure won't stop, but she doesn't get it.\"\n\nI thanked him and promised to speak with her again. We both joked about the absurdity of the person running a health center being frightened of epilepsy. Maybe, I suggested with a laugh, the school's medical team was trained to deal with only stubbed toes and colds.\n\nThen the hard part: telling friends. I procrastinated, but Carl would have none of it. The secrecy had to end, he said. I was insulting my other friends through my lack of trust, and I was being unfair to him and Franz by burdening them with keeping this secret out of an irrational fear. In the end, both Carl and Franz accompanied me to tell two mutual friends. Both were surprised I had assumed I needed to hide my epilepsy from them and asked what to do in the case of a seizure. Relieved, I went to others. The reaction was always the same: understanding, support, and a trace of annoyance that I had doubted how they would respond.\n\nIt was over. Everyone I cared about knew. There was no reason to hide. I could walk the campus, even alone, confident I didn't have to dread what would happen if a classmate or school officials saw a seizure.\n\n* * *\n\n\u2014\n\nA week after returning to school, I headed to the health center for my first appointment with the school psychologist, Leighton Whitaker. My sessions with Talbot had continued until I left Dallas, and with his help, I was in a much healthier place emotionally than I'd been since the seizures began. I doubted a college shrink who spent his time dealing with the woes of breakups and depression would have anything to contribute. But I promised Naarden and my mother that I would seek counseling on campus, and I would not break that vow.\n\nWe took our seats. Whitaker already knew the basics; apparently, he had been briefed about me. I recounted the same gloomy history of recent years that I'd rehashed so many times. The events of even weeks earlier seemed like dreams of a distant past.\n\nHe asked if I had ever received a particular type of brain scan or taken the Halstead-Reitan Neuropsychological Battery. I replied that I didn't know but that many tests had been conducted\u2014including a CAT scan\u2014that helped my neurologist reach his diagnosis. I told him that Naarden had turned everything around and that the breakthrough had come when I was given an EEG with sphenoidal leads _..._\n\nWhitaker interrupted me. \"Oh, I was on the research team that developed sphenoidal leads!\" he exclaimed.\n\nFor many minutes, he rambled on, bragging about his supposed accomplishments. I listened in silence, growing more uncomfortable with each word.\n\n_How stupid does this guy think I am?_ I thought. He was a psychologist. He had no medical degree, no specialty in neurology, and he certainly wasn't an engineer. How could someone with so little relevant expertise, working at a tiny college in a speck of a little-known village, have assisted top specialists in developing advanced equipment for electroencephalograms?*\n\nAs Whitaker droned on, I pegged him as another potential danger to me. _What psychologist spends so much time bragging to his patients about his r\u00e9sum\u00e9?_ No worries; I had Naarden. Whitaker was a nobody. I didn't need him. And I didn't trust him.\n\nOur session ended, and I left having made two firm decisions. I would continue meeting with Whitaker, but only to keep my promise. I would chat with him about classes, extracurricular activities, friends, the weather, but I would never tell this guy about my state of mind or my emotions. He would be just an occasional intrusion on my schedule. He would have no power to cause any trouble.\n\n* * *\n\n\u2014\n\nIn my dorm suite, things were tense. Carl was antagonistic and distant, in what he described years later as his period of \"backlash and resentment.\" I knew I had selfishly put him through hell. Whipsawed by conflicting diagnoses in Chicago and the years of medical incompetence that preceded them, I had saddled him with the bleakness of my life for too long.\n\nWith my physical and emotional health improved, I finally had the clarity of mind to take stock of the damage I had inflicted on Carl. He always swung between happy-go-lucky and doom and gloom; now, at least when I was around, the sour outlook and anger were constant. I tried to stay out of his way, which was largely impossible in a three-person suite. I didn't speak much with Franz either; he had a new girlfriend, a heavy academic load, and endless extracurricular commitments.\n\nThe strains were apparent, and Carl had a low boiling point with me. After one explosion of screaming, he stormed out. I ached with guilt, believing that my failure to leave Chicago had injured him so badly that I had triggered uncharacteristic fury. Even so, I sometimes lashed back at him, leading to intense, childish arguments. Once we got into a shouting match about a red cloth I hung on my dresser; he called it an eyesore. Rather than removing it, I argued that I had the right to decorate my things the way I wanted. The confrontation escalated until we were screaming at each other. Afterward, I realized our nonsensical fight had nothing to do with the red cloth. It was about his rightful anger at me, conscious or not, for what I had put him through.\n\nStill, we spent some time together outside the room. Over the summer, we'd decided to form an a cappella octet, and we stuck with the plan, recruiting singers from the previous year's musical and holding auditions for other spots. One member, John Fischer, suggested that, since we had eight members, we call the group Sixteen Feet. Carl hated the name\u2014he preferred the Swarthtones _\u2014_ but he was outvoted.\n\nThe a cappella group proved to be a boon for all of us. Carl seemed happy at rehearsals. He and Franz gathered a new set of friends, and through Sixteen Feet, I did the same: Harry Schulz, Neil Fisher, and John Fischer were among my new buddies. Then Harry introduced me to his own circle of friends, and we all clicked.\n\nI also started connecting with residents of the village of Swarthmore. Given my frequent visits to pick up my anticonvulsants, the town pharmacist, Jack McDonnell, and I often engaged in friendly, meandering conversations. I learned he was part of a theater group called the Swarthmore Players Club and that they owned plenty of high-end stage gear. Since I would be directing the spring musical, I realized this could be a huge opportunity to get my hands on expensive lights, curtains, and props. At that time, the club was preparing to perform _The Diary of Anne Frank._ I offered to help in exchange for permission to borrow some quality equipment in the spring. Jack agreed.\n\nLife was wonderful. I was busy, making friends, taking on new challenges, out and about on campus. My fears and hopelessness were gone.\n\n* * *\n\n\u2014\n\nBefuddled as usual, I watched as my statistics professor, Rob Hollister, scribbled symbols on the blackboard. I knew I must be looking at numbers and letters, but they may as well have been Chinese characters. I had never experienced anything like this.\n\nI was doing well in my public policy course; my professor, Richard Rubin, often thanked me for my contributions to class discussion. But statistics was a disaster. Equations in the textbook were a muddle, and so were the hieroglyphics on the blackboard. I was glad there had been no homework, quizzes, or exams yet. I kept hoping I would find some secret to crack the riddle of these symbols.\n\nHollister printed something on the board that he had written many times before:\n\n_E = 0._\n\nFor me, it may as well have been  .\n\nHe turned to the class and, for the first time, spoke the equation out loud: \"So the error is equal to zero.\"\n\nJust like that, it seemed as if the computing part of my mind entered hyperspace. His utterance made perfect sense, I comprehended why the formula was important, and a bit of the nonsense on the blackboard transformed into knowledge.\n\n_What the hell was that?_\n\nI walked back to my dorm, my mind spinning in wonderment as the answer came to me: My brain couldn't translate written symbols but understood them if said out loud. What else could explain my sudden grasp of a range of statistical concepts after hearing the spoken definition of a single equation?\n\nNaarden had told me to call whenever something odd turned up. _But this._ This was too weird. I knew what was coming if I phoned him\u2014a dismissive chuckle, an assurance that I was imagining things, or maybe the old refrain \"I've never heard of that as a side effect of the medication.\"\n\nI fretted for an hour over whether to contact him. What if he decided I was mentally ill and took me off the Dilantin? But I had promised not to keep secrets. Finally, I walked down the hallway to the pay phone and dialed his office. Someone placed me on hold, and he quickly picked up.\n\n\"Kurt, how are you doing?\" he asked.\n\n\"Fine,\" I said hesitantly. \"The seizures are still a lot less. But there's something else really weird going on\u2014\"\n\nNaarden interrupted. \"Is it math?\"\n\n* * *\n\n\u2014\n\nA few days later, I visited Hollister's office. I never discovered how Naarden guessed my problem, but he told me that either seizures or the anticonvulsants might be interfering with my brain's ability to translate symbols and perform mathematical tasks. When I explained that I _could_ understand if someone spoke the words each symbol represented, he suggested I contact my professor to discuss options to address the problem.\n\nI worried about what Hollister might think. He had probably heard every excuse from students struggling with their work. This one was a doozy: _I can't recognize symbols that any first grader could understand._ I was sure the meeting would be a disaster.\n\nInstead, about a minute into my explanation, Hollister's eyes lit up. \"I know about this!\" he said excitedly. \"My wife is conducting research on it. It's really fascinating.\"\n\nI blinked. Every day was new proof that telling the truth was the best approach.\n\n\"You know,\" Hollister said, \"she's looking for subjects for her research. Would you be willing to participate?\"\n\n\"I don't think so. I've been through so many medical tests in the past two years. I don't want more.\"\n\nHollister understood, then shifted his attention to designing a plan to help me. He asked if I could copy symbols on the board into my notebook even if I didn't understand them. I believed I could. Then, he advised, I should take notes, and he would ask an honors student to recite them to me, since I could understand their meaning if I heard them. He also said he would assign this tutor to read me textbook assignments and answer my questions. I was overwhelmed; in minutes, Hollister had come up with a possible solution.\n\nFor the next few weeks, Hollister's student met with me frequently. I asked scores of questions, drilling down to the most basic elements of the math. At one point, I apologized, saying he must be frustrated having to explain statistical fundamentals that most people probably comprehended with ease.\n\n\"This is great for me,\" he replied. \"You're forcing me to learn the math at the foundation of things I've always just assumed without knowing why they were true. Teaching you is giving me a much deeper understanding of statistics.\"\n\nMeanwhile, Hollister kept an eye on me in class. I frequently became lost trying to follow meaningless symbols and looked up from my notebook. When he noticed a confused expression on my face, he recited whatever formula was on the board. That often solved the problem, and I would give him a nod.\n\n* * *\n\n\u2014\n\nAfter sliding a thin needle into a vein in my right arm, Swarthmore's part-time doctor filled test tubes with my blood. I had grown to trust Millington, something of a surprise since by then I considered most doctors to be potential threats. We chatted frequently, and Millington often urged me to return to Dallas until my seizures were controlled.\n\n\"There's no point,\" I said. \"Medications are supposed to be adjusted slowly. Naarden isn't going to do anything until at least November. If I go, I'll just be sitting around with nothing to do.\"\n\nBesides, I said, what if I never got better? There was an important emotional component\u2014quitting college would be easy; returning would be daunting if my health didn't improve, and there was no guarantee it ever would. Plus, I couldn't release the psychological mooring I had created: I would graduate with my class.\n\nMillington listened with respect but didn't buy my argument. Taking time away from school, he said, would be best.\n\n* * *\n\n\u2014\n\nMagill Walk cuts through the center of the Swarthmore campus, leading from the administration building to the commuter rail stop. Smaller sidewalks cross at two points, sloping down to the path, then rising up on the other side.\n\nOn a cold night in October, I walked alone across campus toward Magill Walk, my hands shoved deep in the double-stitched pockets of my zipped corduroy jacket. At the slope, I fell into convulsions. Perhaps because of the angle, I dropped face-first into a bed of gravel. I don't know who showed up first, but soon I was surrounded by Swarthmore security and classmates.\n\nSecurity officers held back the knot of students as I convulsed, my face grinding against pebbles and dirt. A friend who had been instructed on what to do during a seizure screamed at the officers to flip me over; cuts from the gravel dotted the ground with blood. But the security team ordered my friend to back off, saying I had instructed them not to touch me during a seizure. Unfortunately, I had not informed them they should ignore that rule if I was tearing up my face.\n\nCarl and another student stumbled on the scene after the convulsions stopped but before I woke up. My jacket had torn. Multiple high-beam lights were pointed directly at me from the security vehicles. Carl knew that would cause an intense headache when I opened my eyes.\n\n\"You need to shut off those lights,\" he said as he kneeled down to check on me.\n\n\"Stay away from him!\" a security guard snapped.\n\n\"I'm his roommate,\" Carl replied. \"I need to talk to him when he wakes up, to let him know what's happening. Otherwise he'll panic. And he can't handle lights like that after a seizure.\"\n\nThe security team would have none of it. They ordered Carl to leave me alone, then phoned for an ambulance despite his protests that none was necessary. The ambulance arrived; Carl and the other student hopped in to accompany me to Crozer-Chester Medical Center. With no other intervention necessary, the emergency room doctors helped me out of my ruined jacket and left me slumbering on a gurney. After I awoke and recovered, the doctors released me from the hospital. Carl and the other classmate took me back to school and put me to bed. Large hospital bills had been racked up for nothing.\n\n* * *\n\n\u2014\n\nTwo days after the Magill Walk seizure, I was back at the security department. \"I want to start by assuring you I'm not mad,\" I said. \"My original instructions obviously weren't clear. But I can't prepare you for every possibility.\"\n\nI pointed at the cuts and scrapes on my face. \"This is what happens when you don't use common sense. These injuries came because I had a seizure facedown in gravel. I know there was at least one friend there who wanted to flip me over, but one of you said not to because I wasn't supposed to be touched.\"\n\nMany of the expressions staring back at me showed annoyance. \"If I fall into a fire, pull me out,\" I continued. \"If I'm banging my head on a step, put something under it or move me. If I look okay, and I'm faceup, you still should put something under my head. Don't think I'm not getting injured just because I'm not screaming. If I'm doing something that you can't get down on the ground and do with me without hurting yourself, assume I'm getting hurt, and stop it if you can.\"\n\nI glanced around the room. Some of these men clearly did not like being lectured by a student. I needed to soften my tone. \"But I want you to know I appreciate what you've done for me. You guys have made it so that I'm able to walk this campus. You have no idea what a gift that is. Even if mistakes happen, it's okay. I doubt there will be many times I have seizures when I'm outside by myself, so this isn't going to be a regular thing.\"\n\nI shook some hands and left. A couple of months earlier, I would have cowered at their angry faces. But now it was okay. The administration had my back. So did the health center. So did my friends.\n\nI was tempted every day to telephone Nicholson, my first neurologist, and scream at him for how wrong he had been. He had caused so much damage by warning me to keep my epilepsy secret. Because of his errors or paranoia, I had hidden for nothing. Everyone knew the truth, and no one was pushing me away.\n\n* * *\n\n\u2014\n\nThe next night, Janet Dickerson, Swarthmore's dean, telephoned my brother in Cambridge, where he was attending Harvard Medical School. Eric was surprised. Why would the new dean from his old college be phoning?\n\n\"I'm calling about Kurt,\" Dickerson said. \"We're sending him home. He's too sick to stay. We're not prepared to handle this.\"\n\n* I have since conducted a computer search of all published studies about sphenoidal leads conducted before 1982. Whitaker appears in none of them.\nAn audio letter from\n\nFRANZ PAASCHE, 1986\n\nThe seizure you had on [Magill Walk] was very traumatic for me. I felt very guilty that I was focused on my own life and I wasn't always available.\n\nThe whole experience of going through this with you for me\u2014in the back of my mind or in my heart, I felt like in some ways I was in judgment, like this was a test of whether or not I was a good person, whether I could be sensitive enough to make things as good as I could. I really felt like I was being tested in some weird way; I don't know if it's religious or whether it's personal. I judged myself against the standard of what I thought was what you needed from me. So when I couldn't provide what I thought you needed, I really felt like I wasn't being a good person.\n\nBeing able to respond to what needed to be done became a kind of measuring rod of myself, of my moral worth. And I'm serious about this, it's true. I've thought about this a lot. And it's kind of odd, but I think that you may not have realized how deep an impact what you were going through had on the people who are close to you. And this is one way that was subtle but something you probably wouldn't have sensed.\nIn a conversation with\n\nCARL MOOR, 1986\n\nKURT: I want to ask about our friendship after the summer in Chicago.\n\nCARL: Damn, Kurt. It's never recovered. [laughter]\n\nKURT: No, no, no. Come on. Be serious.\n\nCARL: I was miserable junior year. We weren't getting along. It had been too intense. I was tired of it. I felt guilty for feeling tired of it. But I think there's a lot more to it than just seizures. A lot has to do with the fact that we were very good friends, and we spent a whole summer together, working together, living together. In any situation, people spending that much time together would get on each other's nerves. There's something very universal and there's something very situation-specific about the whole thing. So the blowup had a lot to do with the whole seizure thing, the whole summer, but it didn't have everything to do with it. I would say sixty\/forty. Sixty percent the intensity of the health issues, forty percent just normal friend tension caused by spending too much time together.\n\n# CHAPTER SIXTEEN\n\nEric called our parents to tell them Swarthmore was kicking me out. The news, coming six weeks after I had stopped hiding my epilepsy, set off a flurry of phone calls to administrators demanding an explanation. Why now? Why no warning? And why deliver the decision to my twenty-three-year-old brother rather than to my parents?\n\nTheir explanation was beyond belief. The administration had decided Naarden was incompetent and the diagnosis of epilepsy was wrong. They said Swarthmore's psychologist, Leighton Whitaker, had determined I had a brain tumor based on the way I talked.* The growth had been missed, Whitaker told them, because Naarden failed to conduct a particular type of brain scan and the Halstead-Reitan Neuropsychological Battery. These were the tests the psychologist had asked about at our first meeting.\n\nDickerson told my mother that, in addition to the concern about a tumor, she and a dean's committee had concluded I was too sick to attend school. At the meeting, the security chief complained that his officers, who had dealt with one seizure in six weeks, were spending \"an inordinate amount of time with a single student.\" The health center director also protested that her team believed they had insufficient training to assist me after a seizure. The committee had concluded, Dickerson said, that the best solution was for me to go home, continue my treatment, and hopefully return when I was healthy.\n\nAt the end of that call, my mother flipped through her address book and found the number of the Dallas Epilepsy Association. She had kept in touch with the counselor we had met there years before and hoped he could help.\n\nThe moment the counselor picked up the phone, she identified herself and blurted out, \"Swarthmore is throwing Kurt out of school!\"\n\n\"What?\" the counselor asked. \"Why?\"\n\n\"Some psychologist there told them he has a brain tumor.\"\n\n\"Why does he think that?\"\n\nMy mother could barely get the words out. \"Because of how he talks.\"\n\n\"How does he talk?\"\n\n\"I spoke to him last night! The same as always!\"\n\nShe rattled off the other reasons: The psychologist decided I needed more diagnostic tests. Security didn't want to deal with me. The health center nurses were scared of me. The bottom line was the school wanted me gone.\n\n\"That's illegal,\" the counselor sputtered. If Swarthmore received federal money\u2014and it almost certainly did\u2014they were violating Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against people with disabilities. I was free to leave school if I chose, but they couldn't force me out.\n\n\"What do we do?\" my mother asked.\n\n\"First, don't tell Kurt. This can probably be straightened out without scaring him. The last thing we want is for him to think he has to go back into hiding.\"\n\nMy mother cried. If the school forced me to leave, she knew I would view it as proof Nicholson had been right\u2014that to protect myself, I needed to return to keeping secrets.\n\n\"Listen, Elva,\" the counselor said, \"I know lawyers who handle discrimination cases. I'll find someone to take this. But contact Dr. Naarden, and let him know what's happening.\"\n\n* * *\n\n\u2014\n\nThe counselor recruited a lawyer named E. Brice Cunningham to take me as a client. He was my first attorney ever, and I didn't even know that he represented me. Cunningham instructed my mother to ask Naarden to send Swarthmore a letter about Whitaker's brain tumor claim and attesting to whether he believed I should stay in school. There might also come a time when Naarden would need to testify in court, and Cunningham suggested she ask if he would do so.\n\nThe next morning, October 23, 1981, she met with Naarden at Medical City and described what was happening. When she mentioned the psychologist had diagnosed a brain tumor, Naarden reacted with a start.\n\n\"A brain tumor? Based on what?\"\n\n\"The way he talks.\"\n\n\"How is he talking?\"\n\n\"The same as always!\"\n\nHe was more bowled over when my mother recounted the psychologist's claim that the tumor had been missed because no one performed a neuropsychological test battery.\n\n\"This is why psychologists shouldn't pretend to practice medicine,\" Naarden replied.\n\nThe dean had made a lot of very disturbing comments about the magnitude of my health problems, my mother said, and how ill-equipped Swarthmore was to handle the situation.\n\nNaarden stewed in anger. \"What do you need from me?\" he asked.\n\n\"We have a lawyer. He says you need to send a letter about the brain tumor claim. Also, if you think Kurt should stay in school, it would help if you said so.\"\n\n\"That's fine. Give me a name and address to send it.\"\n\n\"One more thing,\" my mother said. \"We might be forced to sue Swarthmore. The lawyer wants to know, if it comes to it, whether you'd testify.\"\n\n\"Absolutely,\" he said. \"I'll help any way I can.\"\n\n* * *\n\n\u2014\n\nTwo nights later, the members of Sixteen Feet gathered at Mephistos, a lounge used for student shows. After weeks of rehearsals, our new a cappella group had learned a few songs but still sounded pretty raw. We decided to perform anyway\u2014if everyone liked us, we would bow; if not, we would pretend the whole thing had been a joke.\n\nBy then, I had assumed the role of administrative manager for our singing group\u2014I would handle workaday details, set up the performances, and obtain equipment to record our concerts. Carl ran the group, while another member was musical director.\n\nAfter student jugglers wrapped up their act, we bumbled about finding our spots in front of the audience. We belted out our first tune, \"Blue Moon,\" with me singing lead. Some friends had come to the performance certain we were pulling a prank, so they broke into cheers when they realized this was for real. I hammed it up for a photographer with a \"ta-da!\" pose every time there were a few beats when I wasn't singing, then playfully waved her off. We finished to raucous applause.\n\nCarl had the job of introducing us but still cringed at the name Sixteen Feet. As he stepped forward, he flashed a grin at me. I realized what he was about to do.\n\n\"No!\" I said, on the verge of cracking up.\n\n\"I guess as you've gathered by now, we're the Swarthtones,\" he said.\n\n\"No!\" I shouted.\n\nHe smiled again. \"Some disagreement over the name. Okay, we're Sixteen Feet. We got together a few weeks ago. A few months ago, actually.\"\n\nIn his spiel, Carl joked that we decided to perform because we had learned three songs\u2014enough to justify an appearance, since we had an opening number, a finale, and an encore. \"So we're going to do our three songs, and after that, that's it, because that's _all_ we know,\" he said to laughter.\n\nWe broke into \"A Teenager in Love.\" Halfway through, the lead vocalist, Neil Fisher, dropped out as the rest of us continued our \"ooo-wahs.\" Carl stepped forward. \"I just want to remind everyone, this is the midpoint in our show,\" he said. \"So take a moment to stretch, relax. We'll be back to finish the show in just a second, and then we'll go on to our big finale!\"\n\nNeil resumed singing about the anguish of teen romance, then on to song number three _._ After we finished, friends swarmed us with congratulations. As everyone mingled, I walked to another part of the room to turn off the cassette deck I used to tape the performance.\n\nAt the time, I considered the recording just a nice memento for the group. Instead, it would soon become proof that the Sixteen Feet performance had really occurred and was not a fantasy conjured by a diseased mind.\n\n* * *\n\n\u2014\n\nLetters from Naarden and the Epilepsy Association arrived at Swarthmore two days later. Each attacked the school's decision to throw me out. In elegant, diplomatic prose, Naarden wrote that the idea I had some undetected brain tumor was bunk. He reported that, during my hospital stay, he had conducted a complete medical history and neurological examination using the latest technologies and checked for other health problems as well. In the school's attempts to interfere with my medical care, they were demanding tests that were expensive, unnecessary, and inappropriate.\n\nAs for kicking me out, Naarden wrote that the impact could be devastating and irreparable. When young people with neurological problems interrupt schooling, he said, finding the emotional strength to return can be impossible. \"Educational opportunities lost in youth cannot be made up for later in life,\" he wrote. \"It is extremely important for students to continue their education even if seizure control is not perfect.\"\n\nIn its letter, the Epilepsy Association stressed that people coping with seizures struggled to be honest about their conditions because of fears of retribution. Dismissing me from college at a time when I was making significant medical and psychological progress would likely derail my nascent efforts to be honest about my health.\n\nWith that information in hand, Dickerson called a new meeting of the dean's committee that wanted me off campus. They reversed themselves and told my family I could stay. However, without informing anyone, they placed me on probation. No one ever learned what the school would consider to be a violation of probationary conditions that I knew nothing about.\n\n* * *\n\n\u2014\n\nUnaware of the just-completed fight over my future, I was bearing down on my studies. Most of my friends were taking midterms, but because I had started the semester two weeks late, my professors gave me time to catch up. By then, no written homework had been assigned in either class. Other than a few compliments from my professors, I had no way to judge my performance.\n\nOn the night of Saturday, October 31, I had a grand mal seizure. I woke the next morning in bed fully dressed, my body aching and my thoughts scrambled. The last thing I remembered was attending a Halloween party. No one else was in the room, and I assumed I had been alone during the convulsions. _No problem_. I decided I could handle this on my own.\n\nIn my confidence about my self-sufficiency, one fact escaped my attention. If I had woken in my clothes, that meant I had never gone through my nightly bedtime routine, when I swallowed my medicine. I gave no thought to my drugs in the morning, so I neglected to take them before heading to the library. I compounded my error by forgetting that Dilantin suppressed my appetite, leaving me with no physical reminder of hunger, so I didn't eat.\n\nBy evening, with medication and blood sugar levels crashing, I suffered another grand mal seizure in my room. I woke in my clothes once again the next morning, Monday. I had slept through my bedtime routine for the second day in a row, again failing to take my anticonvulsants. Based on the biochemistry of the drugs, by then I must have been going through barbiturate withdrawal and fallen below the minimum therapeutic blood levels for Dilantin and phenobarbital.\n\nMy decision to manage these post-seizure periods on my own was a huge blunder. Only after this episode would I realize I needed assistance in times like these to avoid dangerous missteps caused by poor judgment and confusion.\n\nA third seizure struck Monday, this time outside. I awoke more frightened and confused than before. Security officers swarmed about but allowed friends to take me to my room. I couldn't understand why I was falling apart. I telephoned my mother in tears, telling her I was being hit by seizure after seizure. I was severely agitated and anxious\u2014typical symptoms, I would later learn, of barbiturate withdrawal. My mother told me to stay put and wait for her or Naarden to call back. Soon my neurologist phoned. He instructed me to have someone take me to the health center immediately.\n\nThere I received my medication and slept in one of the beds. When I woke Tuesday, a nurse brought me my first meal in three days. I was still severely confused. I lamented to one nurse, \"It's Tuesday; I know it's Tuesday, but it's supposed to be Saturday.\" I was attempting to explain that, as happened after my seizures, time had become muddled. She rushed out and incorrectly told the staff that I didn't know what day it was.\n\nThe nurses brought me three meals that day. The blood levels of my medication were coming up, and withdrawal symptoms ended. I was ready to return to my dorm, but a member of the health staff told me I needed to phone my mother first. I called from a nurse's desk.\n\n\"Hi, Mom,\" I said when she answered. \"Don't worry if I sound bad. I'm okay.\"\n\n\"You sound better.\"\n\nBetter than what? After a back-and-forth, we realized I had no memory of speaking with her the night before.\n\nShe spoke in a decisive tone. \"I'm coming to Swarthmore tomorrow.\"\n\n\"Mom, that's ridiculous. I'm fine. I just had a bunch of seizures. I screwed up somehow. I think I missed my medication. I'll just talk to Naarden, and we'll figure out what happened.\"\n\n\"No, we don't have a choice. I'm coming tomorrow.\"\n\n_We don't have a choice?_ Suddenly I knew: Either my parents had decided to bring me home, or Swarthmore was kicking me out.\n\n\"No, you are not coming!\" I snapped.\n\nShe choked up. \"I have to.\"\n\n\"I am not leaving school.\"\n\n\"It might not be up to us, Kurt.\"\n\nI grew enraged. \"It's not up to _us_? Are you telling me Swarthmore is saying I can't stay? That's _impossible_! I'm better than I've been in years!\"\n\n\"We just have to\u2014\"\n\n\"No, we don't have to do anything! Everyone has to keep their word! Everyone told me, if I told the school, it would be fine. Now they're throwing me out? I've had maybe two seizures outside! Did they think uncontrolled epilepsy meant I _didn't_ have seizures?\"\n\n_Nicholson was right,_ I thought. As soon as I trusted people, they reacted in terror. Now, I thought, I would pay the price for listening to Naarden and everybody else who said that being honest was the right way to go. It took just seven weeks for those assurances to be proved worthless.\n\nMy mother and I argued until I calmed down. \"Okay,\" I said. \"Come tomorrow. But I have to leave the health center tonight.\"\n\n\"No, don't leave. You're too upset.\"\n\n\"Look, if I stay, all I'll do is think about it. If I go back to the dorm, I won't.\"\n\nI returned to my room and started straightening up. As I tossed clothes into my bureau, Carl again complained about the red cloth draped on it. I knew I might be gone in twenty-four hours.\n\n\"Tell you what,\" I said. \"I think you've just latched on to this red cloth thing. Think about it for a couple of days, and if it still really upsets you, I'll get rid of it.\"\n\nI left the room to shower, something I hadn't done in four days. Standing with both hands against the wall as water streamed down my head, I relaxed.\n\n_This is ridiculous,_ I thought. _It's so obvious I'm doing well._ The last few days had been an anomaly. Everyone would understand. All I had to do was explain.\n\nI left the bathroom confident this confusion would be cleared up quickly.\n\n* * *\n\n\u2014\n\nThe next morning, November 4, I grabbed my sweat shirt and headed to the small parking area behind my dorm. My mother had taken the first flight from Dallas and checked in at the nearby Media Inn. She had called to let me know she was on the way, and I'd told her where to meet me. I had decided to keep her visit discreet to avoid revealing anything to my friends about the coming showdown with the administration.\n\nMy mother had told me we would be joining school representatives that evening in the health center to discuss my future. I agreed to attend on one condition: that Janet Dickerson, the dean, stayed away. Only she could issue a final decision forcing me to leave, and excluding her would make it harder for me to be railroaded.\n\nAfter about ten minutes, a car rounded the curve. I saw my mother, distress in her face. I climbed in and gave her a kiss.\n\n\"So, this was unexpected,\" I said.\n\n\"Everyone is worried about you.\"\n\n\"Apparently. But I promise, this is really the first time in two years that no one needs to be concerned.\"\n\nThe last few days had been awful, she said, and I had sounded overemotional and incoherent when we spoke on the phone.\n\n\"I'm sure I did,\" I replied. \"When I went to the health center that night, they checked my blood levels. I just got the results. I was below therapeutic on both Dilantin and phenobarbital.\"\n\nShe again commented on how wretched I had sounded.\n\n\"No kidding,\" I replied. \"I'm sure it was dreadful.\" By the time I spoke to my mother on the phone, I had missed at least two doses of my medication.\n\nI realized the car hadn't moved.\n\n\"Mom, why don't we go for lunch?\"\n\nWe continued talking as she drove. I remained composed as we discussed the last few days. I continued to explain that this setback had been a fluke.\n\nWe arrived at the Village Porch, a nearby restaurant. I ordered a cheeseburger, which had become my staple whenever we shared a meal. She asked how I was doing in my classes.\n\n\"No way to know,\" I said. \"I have my midterms next week and haven't had any graded homework yet. I think I'm doing well in public policy. I probably talk too much in class, but Professor Rubin keeps encouraging me to keep it up. My statistics professor has been great, and my tutor is a huge help.\"\n\nShe looked confused. \"Dean Dickerson told me yesterday that you're doing terribly in your classes.\"\n\nI laughed. \"I don't know where that comes from. Probably best to wait for me to take a test before deciding I failed it.\"\n\nMy social life was blossoming, I said. I discussed managing Sixteen Feet, performing the concert, and my work with the Players Club.\n\nWhat about friends? she asked. I replied that things were tense between Carl and me but that I was spending more time with a group of students I'd met through Harry Schulz, a member of Sixteen Feet. In fact, Harry's roommate was a talented musician, and I had already recruited him as music director for the production of _Pippin_ I would be directing the next semester.\n\nTwo hours after she arrived, my mother stared at me. \"You really are okay, aren't you?\"\n\n\"Yes,\" I said. \"I mean, I could be better. But this is the best I've been in a long time.\"\n\n\"And you're telling me the truth about everything?\"\n\n_Huh?_ \"I'm not even sure what there is to lie about. It's not like I can hide the number of seizures I'm having anymore. Everybody knows about them.\"\n\nShe fell silent for a moment. \"Something's not right.\"\n\n\"Mom,\" I protested, \"I'm fine!\"\n\n\"I don't mean with you. The school is telling me things that don't make sense.\"\n\n\"Like what?\"\n\n\"Dean Dickerson told me yesterday that you weren't functioning academically and you weren't functioning socially. They think you're falling apart and just wandering around waiting for your next seizure.\"\n\n\"What? That's ridiculous. They can't know anything about my grades. And I'm probably involved in more social activities than half the school. Besides, if not functioning socially was a reason to get thrown out of Swarthmore, they need to get rid of most of the people here.\"\n\nShe fixed her eyes on me, wordless.\n\n\"What?\" I asked.\n\n\"They told me you were going to try to fool me, to pretend that you're well when you're not.\"\n\nThat knocked me back. \"Wow.\" For the first time, I became angry. \"So they told you if I sound and look well, it's proof that I'm not?\" I shook my head. \"You know, that's really despicable. That tells me they _knew_ you would see I was fine. What the hell is wrong with them? Is this all just a setup?\"\n\nMy mother appeared uncomfortable. She still had not told me about two weeks earlier, when Swarthmore proclaimed I suffered from a secret brain tumor and conveyed the gripes from security and the health center.\n\n\"Something's wrong,\" she said.\n\n\"Yeah, no kidding. But not with me.\"\n\nHer reaction was delayed for several seconds. \"I believe you,\" she said.\n\nI shrugged. \"Well, good, I guess. I mean, since there is no proof of anything they're saying and lots of proof they're wrong, I don't know why you wouldn't believe me.\"\n\nWe talked for another hour, then she drove me back to the dorm. She reminded me to be at the health center at six-thirty for the meeting. I promised I would arrive on time.\n\nAs she drove off, I smiled. _Just like I thought._ Everyone would see I was better. Everything would be fine.\n\n* My taped diaries, recorded at the same time Whitaker made this declaration, show that my speech patterns were no different than they are today.\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nWhen I flew to Philadelphia in the morning and spent the afternoon with Kurt, he was fine. He was his old self or as much his old self as he's been in a very long time. He didn't look well. He was exceedingly thin, but he was happy and telling jokes. He was as well as I guess he could be. I just didn't understand it. He was not the person the school was describing to me. This idea he would try to fool me\u2014no one's that good an actor.\n\nI've struggled with my feelings about all of this. The whole thing was handled very badly on the part of all of us. We should have told Kurt in the beginning that the school was thinking this. And, I don't know, we have mistake upon mistake upon mistake upon mistake. It has been one big fat mistake, and it's all been against Kurt. Guilt? Yes, I have guilt. If I had to do it over again, I would hope I would do it differently.\n\n# CHAPTER SEVENTEEN\n\nAs I crossed campus that evening, lamps flicked on under a darkening sky. My right hand was thrust inside my sweat shirt pocket, holding the tape of the Sixteen Feet performance from ten days before. I hadn't brought my cassette recorder. I assumed that showing the tape would be sufficient proof that I hadn't been wandering in a daze, waiting passively for my next convulsion.\n\nI met my mother behind the health center, and we headed inside. In a dimly lit room waited several school officials, including the psychologist, the internist, the health center director, and a member of the security staff. We took our chairs.\n\n\"Now, am I wasting my time?\" I asked. \"Has a decision already been made, or is this really a discussion?\"\n\nI noticed Whitaker and the center director stiffen in their seats. I reasoned that those two had been more directly involved in planning with the dean than the others.\n\n\"This is a discussion,\" Millington said. \"Staying at school may not be the best thing for you right now. Why not just go home and get better? Why make it hard on yourself?\"\n\n\"Primarily because that's my choice,\" I replied. \"Listen, I'm sure everyone here thinks they have my best interest at heart. The reality is, most of you know very little about my treatment and what's going on.\"\n\nI explained that I had been very sick for two years and spent a lot of that time hiding. But a new specialist had prescribed medications that were better controlling my seizures. I was much better physically and psychologically.\n\n\"You weren't well when you came here on Monday,\" the health center director said. \"You were very badly off.\"\n\n\"I'm sure I was,\" I replied. \"It was a fluke. I had a seizure sometime Saturday night and didn't tell anyone. I messed up my medication and forgot to eat. By the time I got here, my levels were terrible.\" I looked at Millington, who had checked my blood. \"Right?\"\n\nHe nodded to the group. \"That's true.\"\n\n\"But all of you are missing the most important question. _Why_ should I go home? The pace of adjusting medications won't change. My neurologist isn't deciding my dosage based on whether I'm at school. If I go home, every adjustment and every test will be on the same schedule as it would be if I was here.\"\n\nWhitaker interrupted. \"Well, Kurt, you haven't had a complete diagnosis. You haven't had the scan we discussed, and you haven't had the Halstead-Reitan Test Battery.\"\n\nMy mother's face went stony. \"We _do_ have a complete diagnosis,\" she snapped. \"They don't have any need for those other tests. There's nothing to find.\"\n\n\"Well, you don't have everything,\" Whitaker said.\n\n\"We have everything that needs to be done,\" my mother responded. \"And you know that.\"\n\nI watched this soft-spoken but grim t\u00eate-\u00e0-t\u00eate with puzzlement. _You know that._ How would he know? He was a psychologist\u2014he probably understood less about epilepsy than I did. In fact, neither Whitaker nor my mother was qualified to debate diagnostic tests. I assumed she was simply relaying her confidence in Naarden. I had no idea Whitaker had just revived a nonsensical argument that experts shot down two weeks earlier.\n\nMy mother and Whitaker glared at each other. Then, without a word, Whitaker stood and left the room. I glanced around at the remaining group. Everyone looked embarrassed or flummoxed.\n\n_What the hell is going on?_\n\nI wasn't sure what to say. \"Um...\"\n\nNo one spoke.\n\n\"So, are we finished?\" I asked.\n\n\"No,\" Millington replied. \"We need to keep discussing this.\"\n\nI thought about asking if we should wait until Whitaker returned. Then I realized he was gone. This was the guy who had spun fantastical tales about developing sphenoidal leads, and now he was pretending to know neurology better than a neurologist. I figured his ego couldn't handle his being contradicted by my mother.\n\n\"Okay,\" I said. \"Well, anyway, contrary to what Dr. Whitaker just said, there's nothing to be done. I'll go home, and I'll sit around. My neurologist is going to run some more tests, but not until I've been on the medications a little longer. They're scheduled for Thanksgiving vacation.\"\n\n_No secrets._ \"There's also something that might be hard for you all to understand,\" I explained. \"From almost the beginning of my seizures, I've had this psychological commitment to graduating with my class. It's the thing I hold on to. It's my proof I can survive this, that I can live my life even if the seizures never improve. If you send me home, you're taking that from me. I'll lose a semester. I won't graduate with my class. I know it might not make sense to you, but that would devastate me. You'd rob me of what I hold on to, for no reason.\"\n\nAs Millington started to reply, Janet Dickerson, the dean, walked quietly into the room. Whitaker left; Dickerson came in. I wondered if they were tag-teaming this meeting.\n\n_Ambush,_ I thought.\n\n\"Guess we're not keeping our agreements, huh?\" I asked.\n\nDickerson took a seat near me. \"I think it's important that I'm part of this conversation,\" she said.\n\n\"Okay,\" I said. \"Well, you've missed my explanation why going home won't result in getting faster medical care. You want me to start again?\"\n\n\"No,\" she replied. \"This isn't about that.\"\n\n_What?_ \"I'm confused,\" I said, instantly fearing I'd made a mistake by uttering that word. \"Then what is this about?\"\n\n\"Kurt,\" she said softly, \"you're not well. You're not functioning academically, and you're not functioning socially.\"\n\n_Back to this._ My mother had warned me. \"Okay, that's a different topic than what we were discussing.\"\n\n\"But that's the issue. You need to go home and get care so you can handle college.\"\n\nI rubbed my forehead, trying to keep from raising my voice.\n\n\"All right, academics,\" I said. \"I want to know how you concluded I'm not functioning academically when I haven't had a test, a graded assignment, a quiz, a paper, or anything.\"\n\n\"You've had midterms.\"\n\nI smiled. \"No, I haven't. My first midterm is Monday.\"\n\nThe room fell still. \"So how is it you think I'm not functioning academically?\" I asked.\n\n\"That's what I've heard,\" Dickerson said.\n\n\"From who?\"\n\n\"That's just what I've heard.\"\n\n_I'm fighting gossip._ \"Have you bothered to ask the professors?\" I asked in an angry, sarcastic voice.\n\n\"Would you like me to?\" she said, mimicking my tone.\n\nI picked up the phone on the desk where we were sitting and placed it in front of her.\n\n\"Yes!\" I huffed. \"Call them right now.\"\n\nShe reached for a phone book, and I told her the names of my professors. She first called Rubin and asked for my grade in his public policy class. I smiled inwardly because I knew what he was saying\u2014he had no idea.\n\n\"Well, can you estimate what you think his grade will be?\" she asked.\n\nShe looked at me as she listened. I tried hard not to look smug. Then she thanked Rubin and hung up.\n\n\"What did he say?\" I asked. \"An A?\"\n\n\"He said you were doing well.\"\n\nShe again flipped through the phone book, searching for the home number of my statistics professor.\n\nMillington broke the silence. \"Kurt, we need to check your blood today. Let's do it now.\"\n\nI followed him to one of the exam rooms, where he closed the door and brought out the usual equipment. As he slid the needle into my vein, he seemed tense.\n\n\"I'm really...\" he started.\n\n\"What?\"\n\n\"I'm really sorry about the way they're doing this.\"\n\nThat was a surprise. \"I thought you wanted me to leave.\"\n\n\"I do, but not this way,\" Millington said.\n\nWhen I walked back to the main room, I saw that the security officer and health center director had left. I headed to the men's room and noticed Whitaker standing in a hallway, leaning against the wall.\n\n_Is he feeding Dickerson this nonsense?_ I glanced at him with scorn. _What a coward,_ I thought. The contempt I had for him at that moment was immeasurable.\n\nI returned to the interrogation room, as I now thought of it. Dickerson was off the phone. \"So,\" I said, \"what did Hollister guess my grade might be when I take a test?\"\n\n\"Well,\" Dickerson replied, \"you're not functioning socially.\"\n\n_Jesus Christ!_ \"First of all, that's not true. Second, if you dismiss Swarthmore students for not functioning socially, you're not going to have much of a college left.\"\n\n\"This isn't funny.\"\n\n\"No, it's ridiculous. I'm doing lots of things. I founded an a cappella group with my roommate, and we've already had a performance. I'm working with the Swarthmore Players Club. I'm already working on the spring musical I'm directing...\"\n\n\"That's not true,\" Dickerson replied. \"You just think you are.\"\n\nPanic set in. \"What do you _mean,_ I think I am? What, are you hearing this from the same people who told you I was failing my classes? Is Dr. Whitaker telling you this, since he's waiting for you in the hallway? This is a bunch of lies!\"\n\n\"Kurt,\" she replied, \"you aren't doing these things.\"\n\n\"Yes, I _am_!\" I snapped. I brought out the recording of the Sixteen Feet concert. \"This is the tape of the a cappella group's performance. I sang the first song! Get a tape recorder, and I'll play it for you.\"\n\n\"That's not necessary.\"\n\n\"Well, obviously it is! I have a recording of me singing in a concert that you say never happened!\"\n\nI was losing control of myself. With each lie shot down\u2014 _you don't have a diagnosis, you haven't had all the tests, you're not functioning academically, you're not functioning socially, you're imagining everything\u2014_ another popped up.\n\n_Wait a minute._ \"Have any of you told Dr. Naarden this stuff about me not functioning socially and academically?\"\n\n\"He's been made aware of the problems you're having,\" Dickerson said.\n\nI took a few panicked breaths. If I went home with a fictional label of having had a breakdown, Naarden would change my treatment plans. He was about to start the switch of my second-line drug from phenobarbital to Mysoline that month. If he heard Swarthmore's imaginary stories, that wouldn't happen. I knew he would believe that the Dilantin was causing these fantasies that were being tossed about as fact. I needed to speak to Dickerson, heart to heart. I calmed myself, then looked her in the eye.\n\n\"Dean Dickerson...Janet...please hear what I'm about to say. I can't go home with these falsehoods. If Dr. Naarden thinks I'm flunking all my classes and wandering around school drooling, all the planned medication changes and tests will be postponed. He can't treat somebody who's going crazy. He's going to think the medicine is causing these problems, _and they're not happening_! I _have_ a social life, a lot better than most of the people on this campus. I have friends. I'm doing lots of things. And you _know_ I'm not failing my classes.\"\n\nI saw sympathy in her face. Was I getting through? Was she reconsidering? I barged ahead, clinging to that hope, yet I couldn't subdue my anger and frustration.\n\n\"This is the first time in two years that I've started to get under control,\" I said. \"With the next medication changes, I should get even better. But Naarden won't make the changes unless I can disprove everything you're saying about me. Goddamn it, if I can't prove this is all false, he might take me off Dilantin! This 'not functioning socially,' 'not functioning academically' is going to become part of my medical history! Decisions about my care are going to be based on lies!\"\n\nI closed my eyes. \"Please don't do this to me.\"\n\nHer tone hardened. \"We have an obligation to the parents who paid for their children to have a normal education.\"\n\nThe words drove through my heart. Never had such an agony stabbed at my spirit. Tears filled my eyes. \"So, what, because people see me have a seizure, I'm robbing them of a normal education?\"\n\n\"This is just a very upsetting situation for students.\"\n\n\"Okay\u2014okay, I'm sorry,\" I stammered in desperate sincerity. \"I never should have started walking the campus alone. I was wrong! I'll stay in my room. No one will have to see them.\"\n\nMy mother cried. \"Don't punish him because he's epileptic.\"\n\n\"We're not,\" Dickerson said. \"But we have to think of the other students. And staying in your room doesn't solve the problem. Then you're leaving it to Carl and Franz to deal with it. They have the right to a normal education too.\"\n\n_Everything Nicholson warned me about was true. It was true. I'm just a thing. I'm..._\n\nI covered my face with my hands and sobbed. \"How can you say these things to me? When you started as dean, all you talked about was diversity.\"\n\nSuddenly I got angry. \"Well, here I am! _I'm_ diversity. How many people do you have on this campus with disabilities other than me? One? You say 'diversity,' and you want to throw half of Swarthmore's disabled students out of school!\"\n\n\"That's not what I'm saying.\"\n\n\"That's what you just said! You guys have given reason after reason for throwing me out. Dr. Whitaker, a goddamn psychologist, says my neurologist doesn't know neurology as well as he does. Oh no, it's because of my grades! Oh, it's because of my social life! I'm imagining my social life! I'm hurting other people because they might see me have a seizure!\"\n\nMy mother, still crying, interrupted. \"Kurt...\"\n\nI stopped speaking, trying to control myself. Dickerson looked pained.\n\n\"Please...don't do this,\" I begged.\n\nThe room went silent for a moment. \"Let me speak to Dr. Millington,\" Dickerson said.\n\nThey walked into the hallway where Whitaker waited. I wondered what role he had played. I knew he spun stories and bragged about himself all the time. Maybe I had just become a target for him so he could show off to the administration.\n\nMy mother and I sat in silence until Dickerson and Millington returned. \"We still think it's best to\u2014\" she began.\n\n\"No!\" I wailed. \"You're wrong. You're wrong. If you just want to get rid of me, if you just want me out because of my epilepsy, then just say so\u2014\"\n\n\"That's not the issue.\"\n\n\"Then there is no issue! Sending me home will set my treatment _back._ It will make things worse, not better.\"\n\nMy mind shot to Chicago, when a similar clash over my condition had played out. A neurologist and a psychiatrist each proclaimed their diagnosis, declared the other's woefully inadequate, and then threw up their hands saying\u2014since the other doctor was wrong\u2014there was nothing they could do.\n\n\"If you just want me out, please just say so. But don't send me home with these false stories about failing my classes and having no social life. Please don't do this to me.\"\n\nDickerson appeared as if she wanted to cry.\n\nAfter several more minutes of rambling, I ran out of words. The room fell silent. Dickerson and Millington excused themselves, then again headed out to where Whitaker was waiting. Minutes ticked by. Only Dickerson returned.\n\n\"I'm sorry, Kurt...\"\n\nI pushed my hands through my hair as I sobbed uncontrollably. \"Don't do this to me. Please don't do this to me. I can't go through this again!\"\n\n\"Kurt...\"\n\n\"I'm not up to this anymore,\" I cried. \"I know I'm going to give up. I'm not going to be able to keep fighting to get treated. I can't.\"\n\nDickerson stayed silent, appearing to consider my words.\n\n\"Please,\" I begged. \"I can't handle this. It's going to destroy my care. It's going to destroy me.\"\n\nA pause. \"We're willing to take that risk,\" Dickerson said.\n\n* * *\n\n\u2014\n\nThe dean ordered me to leave campus directly from the health center. She promised I could return the following semester if I wanted, but I felt certain she was not telling the truth.\n\nI was crushed, beaten. I knew I would be forced to combat these falsehoods, to once again prove my sanity, for Naarden to continue my treatment plan. I could barely move, much less talk. My mother and someone else helped me to the car. We drove to the Media Inn. Back in her room, I asked about returning to school to collect my things and say goodbye to my friends.\n\n\"We can't, Kurt,\" my mother said. \"You're not allowed on campus.\"\n\nSomething cracked\u2014my resolve, my fortitude. Nothing made sense. I grabbed a plastic box off a table and threw it against the wall, smashing it to pieces.\n\n\"What the _fuck_?\" I screamed. \"I can't go back on campus? What am I, fucking Hitler? I'm so fucking horrible, if anybody even sees me they're going to fall over dead?\"\n\n\"Kurt, stop!\"\n\n\"Nicholson was right! He told me if I didn't hide, I'd get destroyed. All of you told me to be open! Look what _fucking_ happened! I can't go back to school! I can't pack my clothes! I can't say goodbye to my friends!\"\n\nMy rage knew no bounds. I ranted, threw more things, and collapsed on the floor in tears. My mother stroked my hair as she told me she was going to call my brother at Harvard. She needed help. This was more than she could handle alone.\n\n* * *\n\n\u2014\n\nI dozed off in one of the beds but awakened with a start the next morning, my mind throbbing with rage. Eric arrived and tried his best to calm me. My mother knew I trusted Millington; I had already told her that I believed Whitaker had deceived him. She called Millington and asked him to come to the hotel.\n\nHe showed up quickly. Pacing, I launched into the same plea from the night before, my voice cracking with fear that, if I returned home labeled as nonfunctioning, my treatment would be disrupted forever.\n\n\"Kurt!\" he snapped, stopping me short. \"It's over! Just leave, and come back next semester.\"\n\n_Next semester._ I knew there would be no next semester. I believed Millington thought it was true. But based on what had already happened, I knew\u2014even if I survived the lonely months at home until the first half of the school year ended\u2014Swarthmore had no intention of letting me return.\n\n\"It's\u2014\" I began.\n\n\"Kurt!\" Millington said sharply again. \"You need to go.\"\n\nWith that, I hit psychological overload. My emotions shut down. I stopped crying. My muscles relaxed. I sat down on a bed. My thoughts cleared.\n\nI ran the situation through my mind. Someone had told my mother that I would try to fool her into believing I was doing fine in class and in social activities. I needed to confirm I wasn't imagining things. Then there was Carl; he had been pretty rough on me. If I disappeared and never returned, would he get hit with the same self-recrimination I felt for what I had put him through? I couldn't let that happen.\n\n\"All right,\" I replied calmly. \"I'm leaving.\"\n\n\"That's good,\" Millington said.\n\nI looked at my mother and Eric. I felt nothing. \"But I'm not leaving until I get a chance to go back and say goodbye to my friends,\" I said.\n\nThe room exploded with shouts of anger and disbelief. I sat stoically, saying nothing as everyone around me fell apart. Someone threatened to have me sedated.\n\n\"I suppose you could try that,\" I replied, \"but I'm not going to swallow any pills. That leaves an injection. You can try that, but you're going to have a fight on your hands.\"\n\nMore shouts. Millington stormed out. My mother headed to the bathroom in tears. I approached my brother and sat in front of him.\n\n\"Eric, I'm not asking for much,\" I said. \"It doesn't make sense that they won't let me pack or say goodbye to friends.\"\n\nI noticed he was tearing up.\n\n\"Eric,\" I said, \"I have to go back to school.\"\n\nA moment passed as he looked me in the eyes. I could tell he saw something; he understood. My mother returned.\n\n\"Mom,\" he said, \"he has to go back to school.\"\n\nA flurry of phone calls ensued. Finally, the administration compromised. I would be allowed to return before I left, but I could not speak to anyone other than a few friends in my room.\n\nI would be given one hour. If I tried to stay longer or to speak with anyone else, I would be physically removed from campus by Swarthmore security officers.\nAn audio letter from\n\nCARL MOOR, 1986\n\nWe started hearing rumors that someone had seen your mother and she was in town and then started to think, Well, Jesus, something's up and he's really sick. I had been walking down Parrish Hall toward the mail room, and I saw Mrs. Eichenwald.\n\nI said, \"Mrs. Eichenwald, what are you doing here?\"\n\nAnd she goes\u2014she just turns to me, and she starts to cry. She says, \"Kurt has something to tell you.\"\n\nAnd I said, \"What is it?\"\n\nAnd she said, \"I can't tell you. Kurt's going to tell you.\"\n\nAnd so I went rushing back to the room, and Franz and I were waiting around there, and we knew at that point that you were gonna die. We thought, Death. This is it.\n\n# CHAPTER EIGHTEEN\n\nCarl and Franz waited nervously in our room. As part of my agreement to leave, I refused to allow anyone to give them details of what was happening. I feared they would be fed lies that I was imagining a social life and failing my classes. That could undermine my attempt to prove to myself I _was_ active on campus. If I was delusional, I wouldn't know; a conversation with Carl and Franz\u2014if no one else had spoken to them yet\u2014might give me the information I needed to be certain the administration was lying.\n\nI arrived with my mother and brother. I didn't know where to start. How to explain that going home, supposedly to allow me to get better, could instead set back my care\u2014potentially forever\u2014if Swarthmore's falsehoods came with me?\n\n\"I've been thrown out of school,\" I finally announced.\n\nInstant relief for the roommates. I wasn't dying. My mother filled in some blanks, and from their perspective, this meant I would spend a couple of months getting better. I'd be back soon. They couldn't understand why I considered this such a big deal.\n\nI had thought a lot about how to confirm to myself that the school was inventing falsehoods. I wasn't going to ask, _Didn't I really do this? Didn't I really do that?_ Instead, I talked about Sixteen Feet, the concert, my work with the Players Club, _Pippin,_ and friends. They never contradicted me. When I expressed concern about leaving the a cappella group in the lurch, Carl assured me others could take over the administrative details and sing my leads.\n\nThat was all I needed to hear about Sixteen Feet. The school's assertion that I imagined my role and fantasized a concert was a lie.\n\n\"Dickerson also said I've been disrupting campus life, that I've been a bad influence for other students.\"\n\nFranz interrupted. \"No, you haven't. Don't think that. More people know about your seizures, but no one cares.\"\n\nI rambled. I didn't know how to explain that the school's false allegations were going to delay my treatment. I had never even told Carl about the dueling diagnoses between the Chicago neurologist and psychiatrist. Laying out my fears of reviving that battle in Dallas required a history lesson, and the clock was ticking; if I spent too much time on the past, I risked being dragged away by security before confirming everything I needed to know. I stumbled over some words and broke down again. For a moment, the room was silent.\n\n\"Well,\" Carl said, \"at least you've got your health.\"\n\nEveryone laughed. Carl's reliable sense of humor got me back on track. I laid out the allegations that I was failing my courses but quickly moved on; I remembered my professors had disputed those claims the night before.\n\nThe end of my allotted hour approached. My brother grabbed a few shirts from my closet and stuffed them in a bag. I put on a heavy jacket; it wasn't particularly cold, but I would need it in December. We didn't have time to pack anything else. We left behind jeans, most of my button shirts, T-shirts, underwear, and socks. I said my goodbyes and walked toward the door.\n\nI stopped, numb with realization. As soon as I passed through that doorway, I would be plunging back into the fight, begging my neurologist to treat me as I struggled to convince him that Swarthmore had lied to get rid of me. How could I convince anyone these tales from college officials were fictions? It was hopeless. My treatment, my life, was over.\n\n\"I'm not going,\" I announced.\n\nI walked to a bed and sat down. Eric cried, and my mother became hysterical; she knew security would show up any minute. She begged my roommates to help.\n\nCarl stepped forward, grabbed me by the jacket lapels, and slammed me against a closet door. \"Kurt,\" he said, \"go home. Go home now and beat this thing. If they're so wrong to send you home, prove it. Don't whine. Go home and beat it.\"\n\nI didn't know what to say. I could beat epilepsy, even if it was uncontrolled. I couldn't beat other people's reactions and decisions. But Carl was right. I had no choice.\n\nI hugged my roommates and walked out. Three minutes before the deadline, we notified security I was leaving. They had already been preparing to come get me.\n\n* * *\n\n\u2014\n\nA few hours into the flight home, I went into convulsions. The blood tests from the night before showed that my medication levels were still low, and the stress of the previous twenty-four hours likely served as a trigger. I bit my lip, and blood seeped from my mouth. My mother assured the crew I would be fine, and the pilots stayed on course to Dallas.\n\nOne of my best friends, Jason Kinchen, was waiting at the airport. We had been close since middle school, and I had told him about my epilepsy in the summer after freshman year. Jason attended Dartmouth College, which had a flexible study plan allowing students to take off the fall semester. He knew I had been traumatized by my abrupt expulsion and wanted to assure me that I had a friend at home to stand by me.\n\nThe plane arrived, and Jason watched EMTs rush on board. I was wheeled off, and he walked alongside my mother as they brought me to a room in the airport. My emotional collapse after my dismissal had been so strong that my mother now believed there was a good chance Swarthmore had been telling the truth, that I had been nonfunctional, and that I had lied when I told her at lunch about my school activities. Despite witnessing Dickerson's phone calls with my professors, my mother had also become convinced in her panic that my supposed academic failures were real.\n\nI woke up disoriented and confused but stayed silent. I remember thinking I was in danger but not knowing why. My mother hurried out of the room every so often, then burst back in a few minutes later. She called Naarden and arranged for me to be taken that night to Medical City. At some point, I heard her on the phone speaking to Talbot, the rehabilitative psychologist. \"So far as he knows, it will be a medical admission,\" she said.\n\nWas she talking about me? Were they planning a psychiatric admission? Things were falling apart faster than I had anticipated.\n\nJason noticed my eyes had opened. He stood beside me.\n\n\"Hey, buddy. How are you doing?\"\n\n_How did Jason get here?_ No matter. I needed to speak to him before anyone else did. \"Jason, you need to listen. They are going to make it out that I'm crazy\u2014\"\n\nMy mother appeared. She told me that I was at the Dallas airport and had experienced a seizure on the plane. I was rolled outside in a wheelchair while Jason fetched his car. Someone loaded me into the backseat; my mother sat up front.\n\n\"We're taking you to Medical City,\" she told me.\n\n\"Yeah, I heard,\" I said, my speech slurred. \"As far as I'll know, it will be a medical admission.\"\n\nMy mother sighed. \"I don't know why I said that.\"\n\n\"Because you believe them, Mom! Because Swarthmore ripped my legs out from under me, I can't control my reactions, because I'm not some fucking robot, and so you think they're right and that I'm crazy!\"\n\n\"That's not true,\" she said.\n\nWe both knew she was lying.\n\nJason drove to the Medical City emergency room. I didn't know why I was there. I'd had a seizure. What was an ER going to do?\n\nMy mind was jumbled and no one explained what was happening. I lay on a metal table. A woman came over and said, \"I know this is going to hurt, but just...\" The rest of the memory is gone.\n\nSomeone put something in my mouth and told me, \"Bite.\" I did but didn't know what I was clenching in my teeth or who had put it there. I started putting pieces together.\n\nI took the thing out of my mouth. \"Are you about to do electroshock therapy?\" I whimpered.\n\n\"No,\" someone said. \"That would cause a seizure. No one wants that.\"\n\nA woman again warned me that something was about to hurt. Suddenly I was in agony. The pain stopped, then I heard a voice. \"We have to do it again.\" My memories shot back to the biopsies in Chicago, but this was completely different. Then the severe pain returned. I woke up with a nurse taking my blood.\n\nI was wheeled to my room. My father arrived, and he was walking with my mother. I saw Jason on my left.\n\n\"Don't leave,\" I pleaded with him.\n\n\"I won't. I promise, I won't.\"\n\nIn the hospital bed, I thought through the events I could remember from the emergency room, trying to figure out what had happened. Why hadn't anyone told me what they were doing?\n\nNaarden appeared. I remember being impressed; I knew it was nighttime, and he had come to the hospital. He had his usual broad smile.\n\n\"So, Kurt, I understand you were having some trouble with your thinking,\" he said.\n\n_I knew it._ Swarthmore had told him their fabrications. But I wanted him to be explicit.\n\n\"What do you mean?\" I asked.\n\n\"Well, that you weren't functioning socially and you were having trouble with your classes\u2014\"\n\nI bolted up in bed. \"Dr. Naarden, _it is a lie_! They're lying to you! I was functioning...\"\n\nI stopped. My voice rang in my ears. Desperation made me sound unstable. This, I knew, was my only chance to convince him that he could continue the treatment plan, that\u2014other than the math issues\u2014the Dilantin hadn't harmed my ability to think.\n\n_Calm, calm. If you don't sound calm, he won't believe you._\n\nNo use. I was too scared of losing everything. I couldn't control myself. \"It's all a lie!\" I exploded.\n\nNaarden listened silently.\n\n\"I promise you, it's not true! I've been doing so well. I have lots of friends. I've been coming together for the first time in years! At worst, I've been too self-reflective, trying to understand everything that's happened to me. I'm not taking a full course load, but you and the dean told me not to!\"\n\nHe responded in a relaxed tone. \"Yes, okay.\"\n\nI knew he was patronizing me. \"This 'not functioning socially' stuff isn't true! They made it up!\" Once again, I listed everything I was doing\u2014Sixteen Feet, Players Club, the musical.\n\nI rubbed my forehead. \"I'm not imagining these things. They happened. Please, if you don't believe me, call my friends at Swarthmore; call my professors!\"\n\nNaarden tried to reassure me with a few soothing remarks, then asked my parents to accompany him into the hallway.\n\nJason walked to my bedside and started to speak. I held up two fingers. \"Shhh!\"\n\nI heard Naarden. \"I think that is what he really believes was happening, but...\"\n\nI stopped listening and grabbed Jason's arms, pulling him closer so I could speak softly.\n\n\"Jason, I have been set up,\" I said, desperation in my voice. \"There are a bunch of lies about me. Anything you hear, don't keep it from me. Anything I say, don't repeat, because I have to have someone to trust!\" I placed a hand over my eyes. \"Please, please believe me.\"\n\n\"I believe you,\" Jason replied in a tone of horror. \"I believe you.\"\n\nI looked at him again. \"If you think I'm crazy, tell me, and I'll talk with you about it. But don't keep anything back! If someone tells you something, don't believe it until you talk to me. Please promise me.\"\n\n\"I promise,\" he said.\n\n* * *\n\n\u2014\n\nThe next morning, Naarden checked on me. My mother was sitting in a chair. I stayed silent out of fear I might start yelling in anger.\n\nSuddenly, I realized: It was early November. Naarden had told me long ago that, if the seizures weren't controlled by around this time, he would be adjusting my anticonvulsants, starting the switch from phenobarbital to Mysoline.\n\nI spoke before he did. \"You said you'd be changing my medication about now. When does that start?\"\n\n\"Well,\" he said, \"before we start any adjustments, we have to figure out whether the Dilantin has been causing your cognitive problems at Swarthmore.\"\n\n\"I didn't _have_ any cognitive problems!\" I shouted.\n\n\"Kurt\u2014\" my mother started.\n\n\"No, _shut up_! The Dilantin was working! I had a social life. I was doing well in my classes!\" I stopped and thought for a second. \"Jesus Christ, I'm lying as easily as Swarthmore is,\" I said softly.\n\n\"That's\u2014\" Naarden started.\n\n\"No, that's not what I mean. I'm not lying. I can't say I was doing well in my classes any more truthfully than Swarthmore can say I was doing badly. There's no way to judge.\"\n\nI stopped speaking. My mother was crying. I apologized for snapping at her so rudely.\n\n\"Please, Dr. Naarden, stick to the treatment plan,\" I said. \"I know I seem crazy. If you just tell me these lies aren't going to cause my treatment to be changed, I'll be fine. I promise.\"\n\nNaarden struck a thoughtful pose that I knew masked his alarm at what must have seemed like paranoia. I realized he couldn't imagine that whoever had spoken to him from Swarthmore\u2014Dickerson? Whitaker? Millington?\u2014would fabricate a story. I was telling him that a college administration was conspiring against me. Even I thought that sounded insane.\n\n\"I'm not going to make any decisions right now,\" he said. \"There's a lot of conflicting information. Before we make any changes, we have to figure out what's going on.\"\n\n\"Okay, well, there were those diagnostic tests you wanted to do over Thanksgiving. That's just a couple of weeks from now. Are you still doing them?\"\n\n\"We need to work out some things. I'd like you to see a psychiatrist. He'll help determine what's going on.\"\n\n\"I know what's going on!\" I cried. \"I'm going to have to keep having seizures because everyone believes the school. I might have the only medication that's ever worked taken away because I can't convince you they're lying.\"\n\nNaarden put a hand on my shoulder. \"I told you from the beginning, I'm not going anywhere. I'm going to work with you to get the best control possible. We just need to take a break right now and reassess.\"\n\nDespair gave way to fury. \"Fine! Take a break! But if you all _ever_ figure out what's really going on, don't come to me and say, 'Sorry we delayed everything. Now you need to stay home another semester to do the tests we were planning for November.' I will _not_ stay home longer because everybody's too stupid to understand what's happening!\"\n\nHad I seen the movie _Rashomon_? Naarden asked. What that film shows is that different people can have conflicting interpretations of the same events. \"So there's your perspective, there's Swarthmore's perspective, there's my perspective, and there is the right perspective.\"\n\n\"Fine,\" I replied. \"And mine is the right perspective.\"\n\n* * *\n\n\u2014\n\n_Proof. I need proof._\n\nAn hour later, I was alone in my hospital room. Right then, it was my word against people with job titles. I asked my parents and Naarden to phone my professors, but no one would. I couldn't produce papers or tests. I glanced at the clock. Franz worked a main desk in Parrish Hall about this time. I grabbed the phone beside my bed and dialed. Seconds later, he was on the line. He asked how I was; I'm sure I sounded terrible.\n\n\"I need help,\" I said. \"Could you send a letter to my doctor? All it needs to say is what I was doing at school, whether I had a social life, whether I was doing things.\"\n\nHesitation. \"Okay,\" Franz answered, sounding tentative.\n\nI closed my eyes. I knew\u2014there would be no letter. Carl and Franz both thought it was good for me to be home; the idea of writing this letter would make them uncomfortable because they didn't understand what was happening. They couldn't know circumstances were derailing my medical care, that the switch from phenobarbital to Mysoline scheduled for that month had already been put on hold. Franz and I spoke for a while longer, then I hung up.\n\n_This is hopeless_. I thought of Arizona again. Run away. Lose the past. Start with a new neurologist who wouldn't know about Nicholson or Craddock or Strauss or Whitaker or anybody, who wouldn't know about Swarthmore's fictitious stories. I wept. It wouldn't work. I was trapped.\n\nDr. White, my hematologist, walked into the room. \"How are you doing?\"\n\n\"Awful,\" I replied sharply. \"You have to listen to me!\"\n\nHe looked shocked. \"What about?\"\n\nAgain, I recounted the story of how Swarthmore's fairy tales had come to threaten my medical progress. \"I don't know if it was about liability or if someone was lying to the administration, but now I'm fighting a fiction that is putting my treatment at risk.\"\n\nWhite stayed silent until I finished. \"Oh God,\" he said.\n\nA flutter of elation rushed through my chest. \"Do you believe me?\"\n\n\"I have no reason not to,\" he replied.\n\nI clasped my hands and brought them to my mouth. Perhaps I had found another ally. White accepted my word because he had never heard Swarthmore's distortions. My story made sense, so long as no one spun yarns I had to disprove.\n\nWe spoke for twenty minutes. By the time he left, I felt invigorated and ashamed. I had been weak and begging. No more. I needed to gather my strength.\n\n\"Goddamn it, I've fought too long,\" I grumbled to myself. \"I am not going to let you bastards win.\"\n\nI glanced out the window. _They sucker-punched me,_ I thought.\n\n\"I am going to beat you,\" I said.\n\n* * *\n\n\u2014\n\nEach time I tried to explain my fears, no one understood. It seemed simple to me\u2014my hope of gaining control was gone because I couldn't disprove the claims against me; because of my fears, I raged in shouts and abuse, reinforcing the perception that I was unstable.\n\nEventually, the chaos and tension overwhelmed my mother. \"If you're so well, why are you yelling?\" she said. \"Maybe if you controlled yourself and stopped being so angry, it would be easier to believe you!\"\n\nShe was right. I couldn't talk about this nightmare and stay calm. My only hope for winning them over was to feign serenity.\n\nA metaphor occurred to me. I understood how to convey the paradox I faced. I would stop talking about me and concoct stories of fictional people to drive home my points. My parents and Jason were in the room. I looked at my mother.\n\n\"I want you to imagine two men. One is on fire. The other is a blind man who has never heard of fire but who's holding a bucket of water. The burning man yells to the blind man, 'Throw the water on me!' And the blind man replies, 'But I'll get your suit wet.' The burning man screams, 'I don't care; throw the water on me!' And the blind man says, 'I don't think you know what you're talking about. You don't want to ruin your suit.'\n\n\"So the burning man says, 'Please throw it! I'm on fire!' And the blind man replies, 'What's fire?' The burning man screams, terrified of dying as he tries to define fire. And the blind man says, 'Calm down! I'm not going to do anything so long as you're so emotional!' And the burning man tries to be calm but can't, because he's terrified, knows he could die, and knows the blind man doesn't trust him. He shouts and screams, and the blind man repeats that he must calm down. So the burning man is left wondering which will come first: death or the blind man finally listening.\"\n\nI glanced around the room. \"I'm the burning man. All of you are the blind man. I'm telling you why I'm scared, why I'm emotional. I'm begging you to throw the water. But you're not hearing what I'm saying.\"\n\nMy parents both grew extremely upset. \"What are you talking about?\" my mother said. \"That doesn't make any sense!\"\n\n\"Yes, it does,\" I replied.\n\nSomehow that was the breaking point. Both my mother and father left, emotionally wrung out. Jason walked over to my bed.\n\n\"Did that make sense to you?\" I asked.\n\nHe exhaled a single exasperated breath. \"It makes perfect sense.\"\n\n\"What's the water?\"\n\n\"Having everyone stop listening to Swarthmore and just go back to the original plan they had for treating you.\"\n\nI nodded. \"Yup. That's it.\"\n\n* * *\n\n\u2014\n\nMy mother drove me past Medical City down a winding road. About a mile ahead, I saw a high-rise building of dark glass encased in what looked like a concrete helmet open on each side.\n\nI had been released from the hospital a few days earlier. Neither my pleas nor my newfound metaphor tactic succeeded in allaying anyone's skepticism. My diagnostic tests that had been scheduled for Thanksgiving were canceled, adjustments to my anticonvulsants postponed indefinitely. I accepted that I would have to put up with the seizures as they were, with no hope of improvement, until I convinced more people I was functional.\n\nJason tried his best to persuade the others I was fine, that everyone was confused by the intensity of the situation, and that I made sense. His opinion was dismissed; by then, my family bought into Swarthmore's warning that I would manipulate people into believing I was well. Jason, they thought, had been fooled by my tricks.\n\nNaarden had urged me to see a psychiatrist to determine if my anger, desperation, and supposed thinking problems were the result of an underlying mental disorder. He recommended Dr. Richard Roskos, who maintained an office in the helmet building.\n\nI considered Roskos to be my last chance. If I couldn't convince him that the school was lying, I would run out of options. This, I knew, would be tough: I would be telling a psychiatrist that my college was plotting against me.\n\n_Just because I sound paranoid doesn't mean people aren't out to get me._\n\nAfter I spent a few minutes in his waiting room, Roskos appeared and invited me into his office. He was tall, with glasses, an inscrutable face, and a gentle tone. After some preliminary chitchat, he asked why I had come to see him.\n\n\"What do you know?\" I asked.\n\n\"Just that Dr. Naarden referred you to me.\"\n\n\"You've spoken to no one else?\"\n\n\"No.\"\n\n_He's got to already think I'm paranoid. In for a dime..._\n\n\"When it comes to talking to people, do you have to do what I tell you?\" I asked.\n\n\"Yes, I'll do whatever you ask.\"\n\nI shifted in my seat. \"Okay, here are the rules. If anyone calls you about me, you don't talk to them. If you bump into someone who wants to tell you something about me, you walk away. You speak to no one about what I tell you, you let no one talk to you about me.\"\n\nRoskos nodded. \"Fine.\"\n\nI launched into my story, starting from my first seizure and continuing to the day I was told my medication changes and diagnostic tests were being postponed.\n\nShortly after I finished, Roskos glanced at the clock. \"We're out of time for today. When do you want to come back, and how often do you want to see me?\"\n\nI prepared to leave. \"Five days a week until we get this freaking nightmare straightened out.\"\n\nRoskos appeared surprised. \"All right,\" he said. \"Let's get you a regular daily appointment, starting tomorrow.\"\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nIn the weeks after he was thrown out of school, emotionally he was in a very bad place. I had great concern for my son. I thought that he was finally breaking under the strain from all those years of chaos. A human being can take so much before they give up. Emotions are a very funny thing. And I thought that he had reached the breaking point.\n\nI don't know, Kurt, even if at this listening you would agree with that. But we...the experience of seeing other people who have had breakdowns...He appeared to me to be having a breakdown. I was so frightened. And there is nothing else one can do at that point but to force the individual to get the care that is needed.\n\n# CHAPTER NINETEEN\n\nA worker at the United Way handed me a black notebook listing not-for-profit groups in Dallas. With my treatment plan on hold, I had nothing to do after my morning sessions with Roskos. Boredom set in, so I decided to take on volunteer work.\n\nPositions that required driving were out. So was anything involving children or animals; a seizure might hurt them. Then I saw a job title: \"media contact.\" That sounded perfect. Not only would that kind of volunteer role give me the chance to phone reporters, but it would also burnish my r\u00e9sum\u00e9 for future job applications in journalism.\n\nBut the group's name gave me pause: the Association for Individuals with Disabilities. If I joined, would my doctors conclude I considered myself disabled, then add that to my psychological profile? I explained my worries to my mother, who agreed not to tell anyone if I worked with AID.\n\nI called the number, and a man named Ovid Neal answered. Five minutes into our talk, he offered me the job. AID directors were meeting that night, he said, and he invited me to attend.\n\nThey gathered in a large conference room, and Neal introduced me to the impressive group. There was Stuart Couch, a counselor who worked with the Dallas County commissioners; Tom Morrison, a supervisor for Region 6 of the Department of Health and Human Services; as well as contingents of lawyers, social workers, and other professionals. Many had disabilities, but they had not allowed those to impede their success.\n\nI spent the evening listening until Neal spoke about a discrimination case involving a doctor named Donald Balaban who worked for the county health department. Confined to a wheelchair because of multiple sclerosis, Balaban had been fired three times despite positive employment reviews; each time, state and federal commissions ordered his reinstatement. Following the second dismissal, the department had removed him from his senior post and assigned him to a jail where he was ordered to do nothing. He had no access to a bathroom. His coffee arrived filled with roaches. When he was thirty minutes late, he was fired a third time. Calls to his wife went unanswered, so an official phoned the sheriff; Balaban was carted out, placed in a paddy wagon with no air-conditioning during a heat wave, and driven home.\n\nNot long before, I would have dismissed the story of this man's abuse as too ridiculous to believe. But after my recent run-ins with Swarthmore, I wasn't so quick to doubt. Just because people had fancy job titles didn't mean they weren't capable of terrible things.\n\nI held up my hand. Someone laughed. \"You don't need to raise your hand. We're not in school.\"\n\nI smiled in embarrassment. \"Okay,\" I replied. \"Listen, I worked with an organization called the Better Government Association in Chicago. They deal with the news media to expose cases like this. One thing I learned from them is, if you want government to act, you need publicity. I could call them and ask them to handle this case.\"\n\nAfter a short discussion, the directors agreed: They would let me consult the BGA on the Balaban case.\n\n* * *\n\n\u2014\n\nThe next day, I telephoned John Laing, who ran the BGA internship program, and told him about Balaban. He apologized but said the group couldn't help.\n\n\"We focus on Illinois,\" he explained. \"We don't have the staff to conduct an investigation in Texas.\"\n\nI thanked him and hung up. I considered the situation for a moment and decided to try another tactic.\n\nThe AID directors met the next night to deal with a separate issue. When I showed up uninvited, a few appeared surprised, but everyone was welcoming. After they wrapped up their discussion, I started to raise my hand, then brought it down. _I'm not in school._\n\n\"I'd like to make a proposal about the Balaban case,\" I said. \"I called the BGA, and they won't take a case in Texas. But I have another idea.\"\n\nI hesitated, eyeing the group. These people were at least twice my age. I had no idea how they might react to my next words.\n\n\"Let me do the investigation,\" I said. \"The BGA allowed me to handle a case when I was an intern. I know how to do this. Once I've finished the work, I'll find a reporter to write about it.\"\n\nNeal was skeptical. \"I've tried to interest reporters. They don't do anything.\"\n\n\"That's because it sounds unbelievable,\" I said. \"Asking them to invest time on something just because we say it's true won't work. If I do the investigation _for_ them, write the findings, and turn over the documents, no one will turn us away.\"\n\nThey made another snap decision. \"Okay, Kurt,\" said Couch. \"You do the investigation and try to interest the media.\"\n\nAfter three days as a media contact, I had talked myself into a new job: investigative reporter with an advocacy group for the disabled.\n\n* * *\n\n\u2014\n\n_Jackpot!_\n\nI located my recording of the Sixteen Feet performance in my sweat shirt, exactly where I left it on the night Swarthmore threw me out. I was into my second week with Roskos and had told him several times about the school's claim that I imagined cofounding and singing with an a cappella group. When the time came for my morning appointment, I pocketed the cassette and grabbed a portable recorder I'd purchased soon after returning to Dallas for taping my daily diary.\n\nI entered his office bursting with excitement and started speaking before I sat down. \"Remember Sixteen Feet? The group that doesn't exist? The concert that never happened?\"\n\n\"I know that's what the school said,\" Roskos replied.\n\nI slid the tape into the recorder. \"Here's the imaginary concert. I sing lead on the first song.\"\n\n\"Blue Moon\" filled Roskos's office. I wondered what the reaction might be in the waiting room to this serenade.\n\n\"You've got a good voice,\" Roskos said.\n\n\"Uh...thanks.\" _Not the point._\n\nThe song ended. \"Okay, listen!\" I said.\n\nCarl's and my voices played.\n\n> \"I guess as you've gathered by now, we're the Swarthtones.\"\n> \n> \"No!\"\n> \n> \"Some disagreement over the name. Okay, we're Sixteen Feet...\"\n\nI clicked off the recorder.\n\n\"There! Sixteen Feet! I _did_ cofound the group, and there _was_ a concert a few weeks ago.\"\n\n\"Well,\" Roskos said, \"looks like Swarthmore was wrong.\"\n\n\"They weren't wrong,\" I replied. \"They're making it up.\"\n\n* * *\n\n\u2014\n\nI threw myself into investigating the Balaban case, starting by interviewing the doctor and copying all of his records. I called officials at Dallas County Health Department but got the brush-off each time. I realized I was too eager, too pushy. I remembered my telemarketing techniques\u2014establish a relationship, speak slowly, find out the other person's needs before asking for anything. Why not do the same now?\n\nFive calls later, I reached a department employee who stayed on the line with me. I gave my name and put her at ease with small talk. We discussed her background and her children. After the conversation, I raised the Balaban case. She told me she couldn't discuss it without risking her job.\n\nI considered her words. She hadn't said no, she didn't invoke rules prohibiting disclosure. She was worried about being fired. She wanted to help but was scared. _Telemarketing._ What did she need? An assurance there was nothing to fear.\n\n\"I understand,\" I said. \"I don't want you to discuss it. But I know there have to be internal documents about this.\"\n\n\"I can't give those to you.\"\n\nTime for the sales pitch, based on what I had learned about her in the last few minutes.\n\n\"Karen, you've told me about your work with the church. You care about people. And sometimes when bad things happen, and people are hurt, we have a responsibility to do the right thing, to ignore rules that allow wrongdoing to continue. Do you think anyone would do this to Dr. Balaban unless they thought they could count on those rules to keep it secret?\"\n\nShe didn't reply.\n\n\"I'll never reveal how I obtained any records. But if it's as bad as I think, we can stop this, you and me. If this was my parents or your children, I know we would both be praying that someone would turn over the documents, regardless of the rules. Help me stop it. I promise, no one will ever know you did.\"\n\nShe said nothing for almost thirty seconds. From my telemarketing days, I knew to stay silent no matter how much time passed.\n\n\"Okay,\" she replied. \"It will take me a day to pull everything together. I can meet you tomorrow after work.\"\n\n* * *\n\n\u2014\n\nFor dinner, my mother cooked spaghetti, my favorite. Spending days reporting calmed me significantly, as did my daily sessions with Roskos, so mealtime with my parents had become quite enjoyable.\n\nI found I repeated myself a lot, and my behavior that night was no different. As I devoured the food, I told them again about playing the Sixteen Feet tape for Roskos and how he agreed the a cappella group was real. I laughed, saying how bizarre Swarthmore's argument had been. Eventually, I said, the truth would have come out.\n\n\"It's like when they said you had a brain tumor,\" my father commented casually.\n\nI put down my fork. \"What are you talking about?\"\n\n\"They tried to kick you out earlier in the semester,\" he explained. \"They said you had an undiagnosed tumor.\"\n\nI looked at him, then at my mother. I scarcely knew what to say. \"Are you serious? Why am I just finding this out now?\"\n\nMy mother spoke. \"Everything was so frenzied when you got home; we just didn't want to throw that into the mix too.\"\n\n\"So how did they decide I had a brain tumor?\"\n\n\"Dr. Whitaker said so, based on the way you talked.\"\n\n_The school psychologist?_ \"Are you kidding me? Does Naarden know?\"\n\n\"Yes,\" my mother said. \"He was involved in stopping them and telling them it was impossible.\"\n\n_Stay calm._\n\n\"So are you saying that you knew, _before_ they made up these stories about me having a breakdown, that they made up stories about me having a brain tumor?\"\n\nNeither answered for a moment. \"It was easy to prove the tumor wasn't real,\" my mother said. \"But that night in the health center you were so upset, and none of us knew what was true.\"\n\nI rubbed my forehead. \"Jesus Christ,\" I muttered. \"They made up something to get rid of me, and it failed. So you believed them when they made up something else? How much time between the two stories?\"\n\nSilence again. \"A few weeks,\" my mother said.\n\nI absorbed this news. \"Okay, so here's reality.\" I sighed. \"They wanted me out. I don't know why. Maybe they're afraid of liability. They made up two stories. Everybody knew the first one was bogus but trusted the second one. So now my treatment is on hold even though all of you knew they lied once before.\"\n\nMy mother's words were soft. \"Let's wait to hear what Roskos says.\"\n\nI detected hesitation in her voice for the first time since my dismissal. Maybe she was starting to believe me.\n\n* * *\n\n\u2014\n\nI was on the phone with another member of Sixteen Feet, ripping into Whitaker, calling him incompetent, and saying he had been trying to get rid of me all along.\n\n\"I think Whitaker's talented,\" he responded. \"Apparently he was able to diagnose a brain tumor in a student that all of the doctors missed, just based on how he talked.\"\n\nFor a moment, I was speechless. \"Are you fucking _kidding me_?\" I exploded. \"That's me! Except he's lying! There's no fucking brain tumor! That son of a bitch is lying to students to impress them? What kind of ego does that take?\"\n\nI remembered. _I was on the research team that developed sphenoidal leads._ And he had walked out of the health center meeting when my mother contradicted him, choosing instead to lurk in the hallway.\n\nThings started to make sense. If anyone was lying, I felt certain it was Whitaker.\n\n* * *\n\n\u2014\n\nThe past summer had been full of great movies. John Landis's _An American Werewolf in London_ had been released in August, but I missed it because of time spent on my medical care. Landis directed one of my favorite movies\u2014 _The Blues Brothers\u2014_ and this new film, a horror comedy, sounded great. I was flipping through the newspaper when I saw _American Werewolf_ was playing at a nearby theater. I begged a friend to take me, and soon we were munching popcorn and drinking Cokes as the picture began.\n\nI watched as two actors playing college students backpacked through England when suddenly a wolf attacks, killing one man and mauling the other. The survivor, David, is taken to the hospital. After his release, a full moon rises, and he falls to the ground, beginning a painful transformation into a werewolf.\n\nA thought popped into my head. _I wonder if that's what I look like during a seizure._\n\nThe hospital, the doctors, the loss of control. Everything cut too close. Then came a scene when David wakes up after resuming human form, in a place he doesn't recognize, with no idea how he got there.\n\n_I was David. Michael was the monster. Michael was me. I was the monster._\n\nThe film tore at me as the dialogue took on meanings no screenwriter could have intended. I grew increasingly uncomfortable as I watched a scene where David goes to a movie theater. I was in a movie theater. He sits down surrounded by people he killed as a werewolf. Jack, his friend who died in the original attack, is a decaying corpse in a chair near him. The others with him are the undead who cannot rest until David has perished.\n\n\"What shall I do?\" David asks _._\n\n\"Suicide,\" Jack replies.\n\nOne of David's other victims chimes in _._ \"You must take your own life!\"\n\nDavid asks Jack why he is tormenting him _._ \"Because this must be stopped,\" Jack replies _._\n\nThe suffering faced by the people around him starts to convince David to end his life _._ \"How shall I do it?\" he asks. A dead woman suggests sleeping pills, but that method comes with the risk that someone might save David before he died.\n\n\"I could hang myself,\" David says.\n\n\"If you did it wrong, it would be painful,\" Jack replies. \"You'd choke to death.\"\n\nAnother corpse breaks in. \"So what? Let 'im choke.\"\n\n\"Do you mind?\" Jack replies. \"The man's a friend of mine.\"\n\nI stood, spilling my popcorn on the floor as I hurried out. I was the monster. I destroyed friends. Carl was Jack. I destroyed strangers. _They all want me gone._ Who could blame them?\n\nIt took me days to recover from the image of damaged people urging David, the character I associated with myself, to commit suicide. I never saw the end of the movie _._ I could not bring myself to ever watch it again.\n\n* * *\n\n\u2014\n\nAfter weeks of reporting, I had gathered hundreds of pages of documents\u2014from the woman at the health department, Balaban, and state and federal agencies. The story was indisputable, the mistreatment worse than I'd heard. The material showed that county officials had lied to government investigators in writing. Balaban had been placed on the defensive, forced to disprove falsehoods. The parallels in our cases did not escape me. While Balaban's mistreatment was far crueler, it proved that reputable people would fib when they wanted to rid their organization of someone with a disability.\n\nAnger built inside me\u2014not involving shouting or drama, but a commitment to expose people who abused power. From then on, my taped diaries included contemplations on the wrongs that permeate society. I devoured books about injustice and law\u2014 _A Theory of Justice_ by John Rawls, Plato's _Republic,_ and even works of fiction like _To Kill a Mockingbird._\n\nI changed. For so much of my life, I'd focused on myself\u2014my challenges, my problems, my desires. Now I saw the shallowness of self-absorption. As I reported the Balaban case while also fighting for myself, I developed a conviction toward championing the powerless. This spawned a contained, controllable rage that has stayed with me ever since. I could direct it, target it at whatever injustice I uncovered. While I have often regretted my inability to overcome this intensity of indignation, it became the foundation of my career as a reporter, driven by an almost unhealthy obsession with exposing the powerful who preyed on the weak.\n\nBalaban was my first war. Once I had gathered the information I needed, my mother brought me to St. Mark's, where she still worked as the nurse. I lugged my documents to the library, preparing to start typing up my findings there.\n\nOn December 8, I finished two memos describing my evidence about Balaban. The first, a narrative of the events, filled 17 single-spaced pages. I attached another 823 pages of proof. The second, titled \"Reasons for Investigation,\" described the situation's hopelessness, the need for exposure, and the resonance these revelations could have on society\u2014an appeal for justice that added five thousand words to the tome.\n\n* * *\n\n\u2014\n\nThat night, I presented my memos to the AID directors and answered their questions. I explained that I would circulate the information to any reporter who would speak to me.\n\nAfter the meeting, Stuart Couch from the county commissioners' office and Tom Morrison from Health and Human Services asked to speak with me. By then, I knew Couch worked as a counselor and Morrison handled investigations of discrimination against the disabled. I had drawn the broad outlines of my personal situation for them, and they had expressed sympathy.\n\nCouch had told me that he also had epilepsy and went through similar struggles after his first seizure at nineteen, with doctors casting doubt on his condition because of his normal EEGs. They acknowledged their error only when a new test detected seizure activity. For obvious reasons, we bonded over our shared stories.\n\nI sat across from him and Morrison. Couch spoke first. This wasn't about Balaban.\n\n\"Kurt, I'm a counselor. And I can tell you, there is nothing wrong with you psychologically.\" He fumed, his voice laced with anger. \"Goddamn it, what is wrong with those people? I mean, you have seizures, and you get emotional because of it. If they want someone who's not going to react like that, they're going to have to find a dead person with epilepsy.\"\n\nI appreciated his support, but I knew no one was going to accept his opinion as definitive. \"Thank you,\" I said.\n\nMorrison cleared his throat. \"In my work, I have seen the types of things Swarthmore did lots of times, involving many schools trying to get rid of disabled students. You need to know, their action was illegal.\"\n\nThat stunned me. I didn't know they had broken the law. While the counselor at the Epilepsy Association had told my mother long before, no one had ever informed me.\n\n\"It violated Section 504 of the Rehabilitation Act of 1973,\" Morrison said. \"I work on discrimination cases involving that law.\" He leaned in. \"I am here to help, any way I can. And if you want to file for a federal investigation of Swarthmore, tell me, and I'll reach out to someone to get the paper work ready.\"\n\nI thanked them and agreed to consider bringing in the government. That was not a decision to be made lightly.\n\nWhen I arrived home, I found mail from West Virginia University College of Law waiting for me on the kitchen table. I tore open the yellow envelope and found a letter from a law professor inside. She wrote that she had heard about what Swarthmore had done and explained how their actions violated Section 504. I had never heard of this law before, but now I had received lessons about it twice in one day. She offered to represent me for free if I sued the school.\n\n* * *\n\n\u2014\n\nBack at Swarthmore, Carl and Franz were worried. For years, my choices had put them under incredible pressure. While I had finally ended the secrecy, now I was blaming that decision for my getting thrown out of school. With me at home, the rest of the semester had been one of the calmest periods for them in a long time. If I returned and again started trying to hide the state of my health, the responsibility would fall on them. They worried about our friendship, they worried about their ability to hold up if the chaos returned. The two of them sat down to discuss what to do. Carl was particularly frightened.\n\nIn 1986, Franz spoke with me about that moment and the anguish both of them felt. \"Carl and I were really scared that the friendships were really in danger, because we were feeling so conflicted about everything,\" he said. \"We decided that the healthiest thing was to have some distance. And it's not the type of thing I ever thought I would tell you. But I think it's something good for you to know.\"\n\n* * *\n\n\u2014\n\n\"Kurt, I believe you.\"\n\nIt was two days later, December 10, and I was at my daily appointment with Roskos. I had seen him about twenty times before he finally reached his judgment about my mental health.\n\nI tried to contain my excitement. \"So you don't think I have a psychological problem?\"\n\nHe chuckled. \"You're a normal neurotic.\"\n\nOverwhelmed, I didn't know what to say.\n\n\"But,\" he continued, \"I can't help you if you don't let me talk to anybody. Dr. Naarden is waiting to hear my conclusions. He's not going to change anything until he does.\"\n\nIrrationally, I thought it would be best if Roskos stayed quiet. _Maybe I should put up with the seizures in exchange for having someone know I told the truth._\n\n\"I'm sure you're worried this is going to be like Chicago. It's not. It won't end up with me saying you have epilepsy and Naarden saying you don't. That's never been an issue. You're past that. But if you want things to get better, you have to give me permission to talk.\"\n\nI closed my eyes and thought. \"Okay.\"\n\n* * *\n\n\u2014\n\nThat afternoon, Naarden called me at home.\n\n\"I heard from Dr. Roskos,\" he said. \"He tells me you'll be fine if I treat you like any other patient. So I want you to come by tomorrow. We'll need to start the switch from phenobarbital to Mysoline...\"\n\nHe mentioned something about the drug, but I wasn't listening. I didn't care. We were back on the treatment plan, five weeks later than if Swarthmore had never intervened. I had missed the diagnostic tests originally planned for November, and we couldn't reschedule them before school started. Too bad. I had warned everyone\u2014I wouldn't miss the second semester to catch up on delays caused by their refusal to believe me.\n\n* * *\n\n\u2014\n\nThe fight was over. Dickerson had promised on the night of the dismissal that I could return, and whether she meant it or not, now my doctors were ready to tell Swarthmore there was no medical or psychological reason to keep me out. I knew the college had broken the law. A contact at HHS was ready to do battle. My mother finally revealed she had hired a lawyer, E. Brice Cunningham, when the school tried to get rid of me over the imaginary brain tumor. And then there was the West Virginia law professor.\n\nI spoke with Carl and Franz every so often, occasionally mentioning the coming semester\u2014how I was looking forward to seeing friends, attending classes, directing _Pippin_. During one call, as I chattered about my return, Franz interrupted.\n\n\"Are you sure you're coming back?\" he asked.\n\n\"Yeah, absolutely,\" I replied. \"Why?\"\n\nHe and Carl had heard from Nancy Orr, the dean of housing, Franz said. From the sound of it, the school was planning to put someone else in my room. _These people are so disorganized,_ I thought _._ Dickerson had said long ago I could come back. Orr was confused.\n\n\"That's just a mistake,\" I said. \"I'll fix it.\"\n\nAs I hung up, my mother called to me. She was headed to St. Mark's, which I was still using for work on the Balaban case. I told her that I needed to contact the housing office at school, and she offered to let me phone from her office.\n\nTwenty minutes later, standing next to my mother's desk as she filled out paper work, I reached Orr. I liked her; she had been helpful over the years and always spoke to me in a friendly manner. I expected this would be quick.\n\n\"I heard from Franz that there is some confusion,\" I said. \"I want you to know, I'm coming back next semester.\"\n\nOrr's voice was cold. \"Kurt, I don't think that's your decision.\"\n\n\"Of course it is.\"\n\n\"No, it's up to Janet Dickerson and the dean's committee.\"\n\n_What?_ \"That's illegal,\" I blurted out. \"And that's completely changing what Dean Dickerson said. She told me it was up to my doctors. She told my brother I could return any time.\"\n\n\"Look,\" Orr said. \"Let me get you in contact with Janet.\"\n\nOrr placed me on hold, and my mother asked what was happening. I recounted the conversation.\n\n\"That's got to be a mistake,\" my mother said.\n\nMinutes ticked by. I asked my mother for a pen and paper; Morrison from HHS had told me to keep records of my conversations with the school. Now, unexpectedly, what should have been a routine phone call had escalated into something more.\n\nOrr picked up. \"Okay, what Janet says...\"\n\nI wrote a note to my mother. _JD doesn't have guts to speak to me._\n\n\"...is that there's going to be a dean's committee meeting and they'll decide whether you're coming back.\"\n\n\"How are they going to do that?\"\n\nI wrote down Orr's answer as she spoke the words. I could sense the fury building in my mother as she read them.\n\n_\"They'll make the decision based on what's in your best interest and in the best interest of the school.\"_\n\nThe call ended, and my mother's face reddened in anger.\n\n\"They're not letting you back in!\"\nAn audio letter from\n\nMARI COSSABOOM, 1981\n\nA longtime friend\n\nI really understand what's going on with you and with Swarthmore and how hard this has been for you. You've had to fight every step of the way. I know you must be really tired, but you've got to keep fighting. If you don't fight, you've lost. If you don't fight, then you might as well just give up and live in a padded cell.\n\n# CHAPTER TWENTY\n\nThat night, I paced anxiously in the living room, staring at my feet as I strode past my father's expensive stereo system. His collection of Asian antiquities\u2014small Buddha statues and hand-carved wooden deities\u2014filled the room, and in some part of my psyche, I wanted to throw one against the wall in anger. Focusing on my Nikes kept that thought at bay.\n\nMy father sat in an orange chair and my mother on the couch as they waited for me to speak. I stopped my march.\n\n\"I want to sue,\" I declared. \"Enough people have gotten away with hurting me. I want lawyers to handle this.\"\n\n\"That's not a good idea,\" my father said. \"Swarthmore hasn't committed to any decision. If we push, they might lash back. We should try the soft approach.\"\n\n\"What do you mean 'the soft approach'?\" I shouted. \"A soft approach isn't going to work! They _lied_ to kick me out! Do you think now we're just going to persuade them to let me back in out of the goodness of their hearts?\"\n\nMy mother had a thought. She hurried to the kitchen and returned with a copy of the St. Mark's student directory. She remained standing as she flipped through it.\n\n\"Don Lloyd-Jones is on the board at Swarthmore,\" she said. \"He's the father of one of our seniors.\"\n\n\"Are you kidding?\" I asked.\n\n\"No,\" she said. \"I'll call and ask if we can meet with him.\"\n\nShe returned to the kitchen and placed the call. My father and I stayed in the living room; he listened patiently as I seethed about my college. Minutes passed before my mother returned with a triumphant smile.\n\n\"He'll see us tomorrow,\" she said.\n\n* * *\n\n\u2014\n\nMy mother and I arrived at the Lloyd-Jones residence at about 11:00 A.M. By then, I had learned he was second in command at American Airlines. I figured that for such an important executive to invite us over on short notice, my mother must have helped his son a lot during his years at St. Mark's.\n\nLloyd-Jones brought us into his living room. Everything about him communicated gracious amiability, from his mannerisms to his tone of voice. My mother opened the conversation by summarizing my history of epilepsy and my dismissal from school.\n\nI interrupted. \"They did it twice. The first time they blamed it on a brain tumor I don't have. The second time they said I was failing my courses, which I wasn't, and had no social life, which I did. Janet Dickerson herself said I could come back. Now they're saying, if it's not in the best interest of the school, they'll keep me out!\"\n\nI caught myself. I was talking too loudly and too quickly. My mother resumed her narrative with no more interruptions from me. I had expected Lloyd-Jones to be outraged by the school's actions, but he showed no outward signs of distress. The story was too complex, with too many conflicting currents.\n\nAt the end of the visit, Lloyd-Jones promised to discuss the situation by telephone with Theodore \"Dorie\" Friend, Swarthmore's president. My mother thanked him.\n\nI wasn't as polite. \"When you speak to President Friend, give him a message from me: Swarthmore broke the law when they threw me out. I have a letter from a West Virginia University law professor willing to represent me in suing the school. I've already spoken to someone with the government, and he says Swarthmore broke the law.\"\n\nLloyd-Jones maintained his placid demeanor. \"I understand,\" he said. \"I'll speak to Dorie.\"\n\n* * *\n\n\u2014\n\nLloyd-Jones called my mother on Sunday. He had contacted Friend, who spoke to Dickerson. She assured Friend any problems would be worked out.\n\n\"So deal with Janet,\" Lloyd-Jones told her. \"She'll take care of everything.\"\n\nMy mother relayed his comments to me. I did not find the news encouraging.\n\n* * *\n\n\u2014\n\nLate on Monday, January 4, I called Swarthmore and spoke with Dickerson for the first time since leaving school. I asked if I would be allowed to return and, if not, what reason they had for refusing.\n\n\"Call tomorrow or Wednesday, and we'll have a decision,\" she replied.\n\nI had an appointment scheduled with Naarden the next afternoon at three-thirty. Before we left for the checkup, I phoned Dickerson again. Her secretary told me that she was in a meeting, so I left a message and hung up. I told my mother what the secretary had said.\n\n\"She's lying!\" my mother declared forcefully. \"It's a lie!\"\n\n\"Mom, give her a break.\" I laughed. \"She's probably in a meeting. She _is_ the dean.\"\n\nThirty minutes later, my parents and I were seated across from Naarden in his office. He asked if I was having trouble on my new drug combination. I slept more easily, I replied, but that was nice.\n\nThen the conversation changed direction. \"We need to discuss what you're going to do about school,\" Naarden said.\n\n\"What about it?\"\n\n\"We have to consider whether it would be better for you to stay home for another semester given the problems you've had.\"\n\nI was stunned. \"What are you talking about?\"\n\n\"The academic issues you were having.\"\n\n_I thought this was over._\n\n\"Again, what are you talking about?\"\n\n\"I received a call this morning from Dr. Millington, who spoke with the dean. And she had told him it was a matter of school record that you withdrew from one course, were failing another, and were doing flashes of A work in another but mostly poor work.\"\n\n\"Wait a minute\u2014\" I barked.\n\nMy mother touched my arm. \"Shh, let him finish.\"\n\nI nodded.\n\n\"Since your performance was poor in the first semester, it's probably the medication,\" he said. \"So it might be best if you stay home and get everything straightened out.\"\n\nI stayed silent until I was sure he had finished.\n\n\"Dr. Naarden,\" I said, \"they are _lying_ to you. Yes, I dropped a course, right off the bat, because Janet Dickerson _told me to_! I _had_ _no grades_ in my other classes. They are just trying to stop me from coming back!\"\n\n\"It's true,\" my mother said. \"It is absolutely true. They are trying to get rid of him.\"\n\nI put my hand on his desk. \"They don't want me because I have seizures. They don't want the liability. They don't want anything to do with it.\"\n\nMy new sense of targeted rage kicked in. I assessed what Naarden had just told me and the school's relentless efforts to keep me out. _What are they planning?_ I had called Dickerson just before this appointment. Based on her commitment from the day before, they had less than twenty-four hours to give me a final decision. That meant...\n\n\"They're trying to trick you!\" I blurted out. \"They want you to tell them it would be in my best interest if I didn't return. That way, they can kick me out and blame you!\"\n\nNaarden looked at us as if we were all insane.\n\n\"You're going to get another call from Millington,\" I insisted. \"I bet they're tricking him too. He's going to ask for your recommendation on if I can return to school. They want to trick you into repeating back exactly what they told you!\"\n\nMinutes later, the phone rang. Naarden picked up, covered the mouthpiece with his hand, and said, \"Speak of the devil.\"\n\nIt was Millington. I stayed silent. As Naarden listened, his smile disappeared. For the first time, I saw anger in his face.\n\nThen he spoke. \"I am an adviser to Kurt and his family, nothing more,\" he said in sharp, clipped tones. \"If you want to know if Kurt is returning to Swarthmore, I suggest you call him. Otherwise, we have nothing to talk about.\"\n\nNaarden hung up and looked at me. \"I think I'm beginning to understand what you've been saying this whole time,\" he said.\n\nMy head drooped. I was amazed. What was the probability we would be there right between Millington's two calls? If my appointment with Naarden had been at any other time, my chance of returning to college would have been over.\n\n* * *\n\n\u2014\n\nAmid the tumult, I received a call from Peter Applebome of _Texas Monthly_. I had left him a message, hoping to spur interest in the Balaban story, and was excited to hear back. I explained the case and told him I had compiled documents proving everything. He said that the story sounded great, but he had just joined the _Monthly_ from the _Dallas Morning News,_ and this seemed like a better article for the newspaper. He offered to put me in contact with a reporter named Christy Hoppe.\n\nHoppe listened as I described the Balaban situation and asked plenty of questions. I told her I could get the documents and memos to her as soon as possible. She suggested we meet the next day at Kip's Restaurant, not far from my home.\n\n* * *\n\n\u2014\n\nDorie Friend, Swarthmore's president, called a meeting of school officials to review my case. The group included Dickerson, the security chief, the head of the health center, Whitaker, and Patricia Whitman, Swarthmore's equal opportunity specialist.\n\nFriend asked a series of questions. Then Whitaker took the floor. Gone were the stories about the brain tumor, the academic failure, the lack of a social life. This time he proclaimed a new diagnosis.\n\nHe had reviewed one of my EEGs, Whitaker said. \"And what it shows is,\" he continued, \"not only does Kurt not have epilepsy, but he is mentally ill.\"\n\nAs Whitaker prattled on, Whitman listened in disbelief. Unknown to Whitaker, she also had epilepsy. She understood EEGs, what they could show, and what they could not. She knew this psychologist was delivering impossible interpretations.\n\nShe interrupted. \"Lee, as I'm sure you know, many people with epilepsy have normal EEGs. You can't say the EEG shows epilepsy doesn't exist.\"\n\nThen Whitman dropped the bomb. \"Also, I have no idea how you're saying the EEG proves Kurt is mentally ill. An EEG can't show anything like that. It just measures electrical activity. How are you concluding it shows mental illness?\"\n\nWhitaker mumbled a few replies, then stopped speaking.* The discussion resumed. Whitman listened to the rationalizations for my dismissal with increasing dismay. She couldn't believe that they were bringing her in on a case directly related to her job only at this point. None of them understood the law.\n\nThe meeting ended, and everyone gathered their things. Whitman approached Friend.\n\n\"Dorie?\" she said. \"Can we speak?\"\n\nWhitman waited until everyone else left the room to say more.\n\n\"I want to tell you, if Kurt sues the school, he will win,\" she said. \"And not only that\u2014I'll testify on his behalf.\"\n\nFriend's eyes held steady. But the color drained from his face.\n\n* * *\n\n\u2014\n\nDickerson's self-imposed deadline came the day after we witnessed Millington's call to Naarden. I phoned her office, still grateful at having been with him at that exact time. The secretary placed me on hold, and I waited beside the kitchen table. I expected this would be short. There wasn't much for her to say other than \"You're back in.\"\n\nDickerson picked up.\n\n\"Hi, Dean Dickerson,\" I said. \"So, what's the decision?\"\n\n\"Well, your neurologist and Dr. Millington had a telephone call yesterday...\"\n\n_Yeah, I know,_ I thought smugly. _I was there._\n\n\"...and Dr. Naarden said it was up to your psychiatrist whether you should return and that your psychiatrist should call the school psychiatrist to discuss it.\"\n\n_Don't speak._ This was fiction, and I had witnesses to prove it. If I blew up then, the outburst could be used against me.\n\nMy voice hardened with contained rage. \"That's odd,\" I said. \"Why would my neurologist want my psychiatrist to speak with your psychiatrist? If anything, I would think he would just ask my psychiatrist to send a letter.\"\n\n\"Dr. Naarden recommended that the psychiatrists speak to each other.\"\n\n_This is unreal._ \"Okay, but that makes no sense. I was dismissed from school because of my seizures. Why does a psychiatrist have to call for you to let me back in?\"\n\n\"Well, your neurologist told Dr. Millington that you don't have epilepsy. In fact, he said your problem is psychological.\"\n\nI sank into a chair, stunned. Whitaker knew about the misdiagnosis in Chicago; had he used that to manipulate Millington, to trick Dickerson? Millington knew the story too\u2014was he lying? Or had administrators finally figured out they had broken the law and started grabbing any rumor they could to make the problem go away?\n\nSomething worse occurred to me. Why the hell was some dean telling a student that his neurologist was blabbing to near strangers that he was insane? Had she considered the damage that might be caused by suggesting my neurologist was lying to me yet letting some college internist know the _real_ story?\n\nWe rambled on, with Dickerson making a series of statements that contradicted things my parents had already been told. Five minutes after the conversation ended, Naarden called. My blood tests showed my Mysoline level was too low, and he gave me instructions to increase the dosage.\n\n\"Okay,\" I said. \"Listen, I have something else to talk about. I just spoke with the dean of Swarthmore. She said you told Dr. Millington I don't have epilepsy and that my seizures are psychological.\"\n\n_\"What?\"_ I could almost picture his mouth gaping. \"That is a fabrication. You heard my call with him. I said no such thing.\"\n\n\"Yeah, but I had to ask.\"\n\nI could hear anger in Naarden's voice. \"Kurt, I just told you to start taking a higher dose of a very powerful drug. And you're already on Dilantin, _another_ powerful drug. I don't throw anticonvulsants around like candy. You have epilepsy.\"\n\nI sighed. \"Yeah, I know. They're just lying again.\"\n\n* * *\n\n\u2014\n\nI asked my mother to join me later that day for my appointment with Roskos. Since Naarden resumed my treatment plan, I had cut back on my visits with the psychiatrist. But that week's events were so breathtakingly preposterous, I decided he might need my mother to confirm that my account of Swarthmore's outlandish behavior was true.\n\nI told him about Dickerson's insistence that he speak to the school psychiatrist about me. \"No way I am doing that,\" Roskos said. \"That violates the ethical rules of my profession.\"\n\n\"I know,\" I said. \"It seems like they're saying to return to school, I have to waive doctor-patient confidentiality.\"\n\n\"That's exactly what they're saying.\"\n\nI asked Roskos if he should send a letter giving his judgment on whether I was fit to return. He advised we wait to see how things unfolded\u2014with everything Swarthmore had done so far, he said, there was no telling how they might react to correspondence from him.\n\n* * *\n\n\u2014\n\nMy parents asked to speak with me in the living room that evening. They looked somber. I knew something bad had happened.\n\n\"I called the school,\" my mother said, her voice faltering. \"They said Janet Dickerson never said the things you attributed to her. They said you're making it up.\"\n\nI didn't know whether to laugh or cry. \"Don't tell me. You believe them.\"\n\nMy father spoke. \"Kurt, it's just so crazy. Why would they tell you things like this? Why would they say your neurologist says you have a mental illness or you have to let them interview your psychiatrist?\"\n\nI sat down. \"I can't believe we're back to this. _They are doing whatever they can to keep me out._ \"\n\n\"They're claiming you're making up these stories about what Janet Dickerson is saying,\" my mother said, \"and they say that this is proof you shouldn't be coming back.\"\n\nUnreal. Even after everything they had seen, my parents still couldn't believe that the college administrators would say anything to get rid of me. The second semester was about to start. And now everyone doubted me again. I could think of only one way to bring all the doubt to an end.\n\n* * *\n\n\u2014\n\nThe next day, January 7, I was alone in the house carrying my portable cassette recorder and some Scotch tape. I walked into my parents' room and went to the phone on their bedside table. After placing the handset on the bed, I strapped the recorder onto it with tape, placing the microphone against the earpiece. After pushing the plunger button to reset the dial tone, I pressed RECORD and ran to the kitchen phone. I dialed Swarthmore, hoping my amateurish wiretapping efforts would work. I asked for Dickerson's office, and the call was transferred.\n\nDickerson answered the phone herself with a cheery \"Good afternoon.\"\n\n\"Ah, hi, this is Kurt.\"\n\nShe told me she was just writing a letter to my family. \"What can I do for you?\" she asked.\n\n\"I was just calling to find out what was going on.\"\n\nShe explained that Dr. Millington had sent her a letter, and then she moved on to discuss one of the conditions of my return. \"I realized in talking to you the other day that there might be some concern in your psychiatrist talking to us,\" she said.\n\n\"The only concern I had was that I didn't see why my psychiatrist had to talk to the school psychiatrist when I had never seen him.\"\n\nI stopped. I was getting off track already, making an argument. I needed Dickerson to repeat things she had already told me, statements that my parents would know were false.\n\n\"There's one question I have, which is that, when I left, you told both my mother and me that I would be returning next semester, seizures or not.\"\n\n\"No, I didn't,\" she said.\n\n_My mom will be interested to hear that._ \"You did not tell us that?\"\n\n\"No. Absolutely not.\"\n\n\"The thing is that my mother remembers the exact same thing being said.\"\n\n\"Well, I know that I didn't say it,\" Dickerson replied. \"I would be very careful not to.\"\n\nMoving on. What was the problem with me returning? I asked. How was I different from other students? I hoped she would reply by citing my seizures. No such luck.\n\n\"All I can say is this: We need to have some recommendations from reputable doctors that\u2014well, apparently whatever is going on is as much psychiatric as it is medical.\"\n\nThere it was. She had repeated that they believed the seizures were psychological.\n\n\" 'Apparently' based on what?\" I asked.\n\n\"Based on what I have heard in writing from Dr. Millington,\" she said, \"and what I have not heard in writing from Dr. Naarden, but what I have heard reported from Dr. Millington, is that there is no structural cause for your seizures.\"\n\nThat was jumbled. I knew what she was saying, but I had to think of a way to get her to repeat it more clearly. \"Mm-hmm,\" I said.\n\n\"Is that right?\" she asked. \"They have done everything, that all the tests confirm that there is nothing structurally wrong?\"\n\n\"Yeah.\"\n\nSo, she said, the same way I would want to protect myself, the school wanted to be protected too. I had no idea what she meant and asked her for clarification.\n\n\"Well, if there is a problem, i.e., if you have a bad accident,\" she replied.\n\nThe more we spoke, the more confusing the conversation became. I decided I needed to push back, to tell her that Millington\u2014by thinking \"nothing structurally wrong\" meant the seizures were psychological\u2014was showing his ignorance of epilepsy.\n\n\"There's a couple of things that I think you should know,\" I said. \"First of all, the fact that there is no structural problem\u2014I guess this is something that Dr. Millington does not understand.\"\n\n\"Why?\"\n\nBecause I had told Naarden that the school used this explanation, I said, and he had told me that the absence of a structural problem in the brain did not mean the epilepsy was psychological. He had told me that Millington was absolutely wrong.\n\n\"Seizures do not show up as a structural problem necessarily,\" I continued. \"They _can_ be caused by a brain tumor. They _can_ be caused by calcification. But there is something called idiopathic seizures. 'Idiopathic' means no known cause.\"\n\nI decided to point out the illogic of the school's position. What _difference_ did it make what the cause of my seizures was? The episodes would be no different if Millington's misinformed position were correct. So what was the point of this debate?\n\nI stopped. I was arguing again. _Not the goal of this call._ She had mentioned before that she was acting under professional advice. I reminded her that she had told me that.\n\n\"What advice was that?\" I asked. \"I keep hearing that, and I really want to know who said it.\"\n\n\"Well,\" she replied, \"you were not passing your courses.\"\n\n_Wow_. That was the fastest topic change since this had all begun. Okay, on to my academic performance.\n\n\"Now, that's the second question I've got,\" I said. \"How do you have that information?\"\n\n\"From your professors.\"\n\nTime to remind her. \"I didn't take a test, I didn't have a paper, and I didn't have a homework assignment done yet. We hadn't done anything in my courses.\"\n\n\"All I know is that I spoke to your professors.\"\n\n\"They said I wasn't passing?\" I asked.\n\n\"Well, that's the impression I got. Well, he didn't say that you weren't passing but that you were not performing well.\"\n\n_He_. One professor. _Probably Hollister,_ I thought. I'm sure he must have told her that I needed a tutor, and she took that to mean I was failing. I wondered if he had told her about my medically induced inability to comprehend symbols.\n\nThe conversation meandered on as I lured Dickerson into repeating many of the things she had said to me before. I decided to find out, once and for all, who was behind one of the strangest events in the whole saga of my battle with the school.\n\n\"Why did you call my brother at medical school?\" I asked, referring to the first decision that had been made to dismiss me. \"Why did you not call my family, meaning my parents? It wasn't until my brother called my family...\"\n\nShe mentioned something about Naarden, who I knew had nothing to do with her call, and the fact that she knew my brother well. Someone had also shared with her that my father had been in denial about my epilepsy, which had not been true since August. I immediately knew where that bit of information came from: I had told Whitaker in our first session when I was recounting the whole story. Within a second, Dickerson confirmed my convictions.\n\n\"It was my advice, frankly, from Lee Whitaker, that if we were thinking about this, that, well, frankly, thinking about this, that, not asking you to leave but that...\"\n\nHer words were becoming confusing again. Whitaker had told her something. \"Yeah?\" I said.\n\n\"...it might be better to call Eric to find out whether it might be better to approach your parents or not,\" she said.\n\nThe insanity of the whole situation captured in one sentence. A psychologist had told a dean information straight out of a counseling session. He had told the dean to call _my brother_ \u2014a kid in his early twenties\u2014to ask whether they should notify _my parents_ that they were planning to kick me out. I would have laughed at the absurdity of it all if it had not been part of a deeply traumatic experience.\n\nDickerson mentioned that Naarden had said the seizures were the consequence of a psychological problem. I was sure he had discussed the psychological challenges of having epilepsy; he had done so with me many times. Stress brought on by fear could trigger a seizure. But this interpretation\u2014either it was a lie or a grotesque misunderstanding.\n\n\"Can you think what it would be like to be having epileptic seizures and not have a psychological effect?\" I asked. \"That there's a difference between cause and effect? Now, what Dr. Naarden is talking about is effect. There is, however, the fact that the effect can be a trigger. That does not mean that there is something psychologically imbalanced.\"\n\nI raised Millington's calls to Naarden and mentioned that I had heard the last one. Dickerson said Millington had reported to her that Naarden's behavior had been significantly different in the second call.\n\n\"Now, we don't know what the cause of that is,\" she said. \"I mean, it could be that, ah, Dr. Naarden is your father's colleague and that\u2014\"\n\n\"Dr. Naarden did not even know my father before August.\"\n\n\"Well, all I know is that Dr. Millington was surprised at Dr. Naarden's response.\"\n\nWhat Naarden had said, I told her, was that if school officials wanted to know whether I was returning to Swarthmore, they should call me.\n\n\"But the point is that Kurt doesn't make a decision as to whether Kurt is coming back to Swarthmore,\" Dickerson said.\n\n\"Really?\"\n\n\"That's right.\"\n\n\"Why not?\" I asked.\n\n\"And that it is Swarthmore's decision as to whether, as to whether Kurt may return, and that's why he\u2014\"\n\nTime for the killer question. \"Swarthmore has the right to dismiss me because I have seizures?\" I asked.\n\n\"That's what we did,\" Dickerson replied.\n\n* * *\n\n\u2014\n\nAfter she hung up, I ran to my parents' bedroom, removed the recorder from the handset, and rewound the tape. The call had gone perfectly; I could only hope the recording had worked and was audible. My heart beat fast as I pushed PLAY.\n\nThe opening seconds were a dial tone, then some clicks. I heard the line ring. Dickerson answered. Every word was clear. I listened for a few minutes with angry satisfaction. This might not have been usable in court\u2014for all I knew, I had broken the law by taping her\u2014but no one could doubt what she'd told me. Then I heard the crucial statements, the one from her that I knew was a confession to violating antidiscrimination laws.\n\n> \"Swarthmore has the right to dismiss me because I have seizures?\"\n> \n> \"That's what we did.\"\n\nI listened a second time, hit REWIND again, then clicked off the recorder. Afterward, I headed into the family room to watch some television. I wanted to stop thinking about Swarthmore.\n\n* * *\n\n\u2014\n\nAs soon as my parents arrived home, I grabbed my tape recorder and stormed into the kitchen. I didn't say hello.\n\n\"If you don't believe me,\" I said, \"maybe you'll believe Janet Dickerson.\"\n\nI pushed PLAY. My parents listened to the conversation with growing horror. People at the school had lied to them directly, pretending I was making up stories.\n\nThe tape ended. No one spoke.\n\n\"Well?\" I asked.\n\n\"I'm calling your lawyer,\" my mother finally said.\n\n\"And,\" my father added, \"let's call your friend at Health and Human Services.\"\n\nHe shook his head, a fury on his face unlike any I had ever seen. \"We're going to destroy this school,\" he muttered coldly.\n\n* A year later, Whitman told me this story. I immediately called my parents to share the amazing tale. My father exploded in anger. He reminded me that I had never authorized any of my doctors to send an EEG to Swarthmore and the school had no equipment to conduct one. Whitaker had never had possession of, nor could he have lawfully reviewed, any of my EEGs.\nIn a conversation with\n\nDR. ALLAN NAARDEN, 2017\n\nIt was life-changing. You were a young college kid. You wanted to do whatever you wanted to do with your life. I also knew, parallel to all of that, that there was so much prejudice against people who had a seizure disorder, that this was just another example of that. How they had put you in a category, a box if you will, and they weren't treating you like a person. They were treating you like a thing, and that really bothered me that that had happened because the goal of giving you medication was not to tick off a little box saying \"I gave you medication.\" The goal was to try and get you to the best place that you could be with regard to seizure control, and not have it be the center of your life. That getting on with your life, doing what you wanted to do, was really the most important part of this.\n\nIt really angered me that they were using epilepsy as a weapon. If you want to talk about weaponizing epilepsy, that's what I thought they did.\n\n# CHAPTER TWENTY-ONE\n\nMy mother drove me downtown the next afternoon for a two o'clock appointment with Morrison at HHS. I'd told him that morning about the recording, and he wanted to hear it right away.\n\nA few hours earlier, I met with my lawyer, Cunningham. He had assured me before that he could use the law to force Swarthmore to take me back, but after listening to the recording of Dickerson, he changed his advice. \"You have to leave that college,\" he said. \"They're going to get you. They're going to do something.\" Once I settled in at another school, we could sue Swarthmore for discrimination.\n\nBefore I made a final decision, though, I wanted to hear from Morrison. He listened to the tape with a faraway look. None of us spoke until the recording finished.\n\n\"That psychological evaluation she's talking about is a setup,\" Morrison said. \"There's no way you pass it.\"\n\n\"I know.\"\n\nHe seemed to replay the words he'd just heard. \"Get the hell out of that school,\" he said finally. \"You can go to any school in the country, but not Swarthmore and not one in that area.\"\n\n\"Wait, not even on the East Coast? Why?\"\n\nHe leaned forward at his desk.\n\n\"I'm sorry, but this is the way the world works,\" he said in a matter-of-fact tone. \"I can get you back in, but there's no law that says they have to like that. They can pull anything on you. From what I have heard on this tape and from what I have seen, they _will_ pull anything on you. Transfer somewhere else.\"\n\n\"Why are they fighting this so hard? What's the big deal?\"\n\n\"Several possibilities. One is, they're just uncomfortable around epileptics. Or maybe their psychologist or internist is lying to the decision-makers. Or they've got a lawyer who told them how badly they screwed up.\"\n\nI thought for a second. Franz had mentioned that he'd heard from Dickerson. She told him the school knew I was looking into laws regarding my dismissal and they had consulted a lawyer. I relayed that to Morrison.\n\n\"The dean is talking to your friends about the school's legal activities?\" he asked. \"Why?\"\n\n\"No idea.\"\n\nMorrison considered this new information. \"Okay, then here is what we have to assume. You're in a legal Catch-22.\"\n\nThe standard under law, Morrison explained, was that disabled students could be dismissed if they no longer qualified for the school program\u2014for instance, if they flunked out. But the strongest proof that a college had broken the law was if a disabled student was readmitted.\n\nI raised my hands in exasperation. \"That doesn't make any sense!\"\n\n\"Yes, it does,\" Morrison replied. \"If they let you back in, they're conceding that you're qualified for the program. That means they're confessing the original dismissal was illegal. If they're consulting a smart lawyer, they know if they let you back in, they have no defense if you sue them.\"\n\n_This is insane!_ \"So, they can't let me back in because throwing me out was illegal, and letting me back in proves that?\"\n\nMorrison nodded.\n\n\"Oh my God,\" my mother mumbled.\n\nA pause. \"How are your seizures?\" Morrison asked.\n\n\"What does that matter?\" I snapped.\n\n\"Just an idea. Maybe if we can tell them your seizures are under control, we can craft some way for them to back out gracefully, like telling them you're better because you stayed home and thanking them.\"\n\n\"Well, I'm not better! In fact, my doctor delayed my treatment because of their lies! I'm having a grand mal seizure about once every two weeks.\"\n\nMy mother interrupted. \"That's not quite right. They have gotten somewhat better since Dr. Naarden increased the medication.\"\n\n\"Okay, fine,\" I said. \"I'm still having seizures, but I'm better. The changes that were going to be started in early November, but were delayed until December, are making me better. But I'm not going to crawl to them and apologize because I'm still having seizures!\"\n\nMorrison urged me to relax. \"Don't misunderstand. I'm trying to come up with another approach. Because without one, it's really too dangerous for you to go back to school.\"\n\n\"But if I'm back in...\"\n\n\"They know you can sue at any point. So if you flunk out after you return or do anything else that warrants dismissal, they can use that as proof you were never qualified for the program and the forced readmission was in error. That would eliminate the danger that you could win a lawsuit.\"\n\n\"I won't flunk out.\"\n\n\"Unfortunately, it might not be up to you,\" he replied. He described a case where a university had illegally dismissed a disabled student. Lawyers got him readmitted. Suddenly, after previous semesters of good grades, he flunked several courses. He was tossed out a second time for poor academic performance.\n\n\"I won't flunk,\" I said.\n\n\"Neither did he,\" Morrison replied. Years later, some professors revealed to HHS that the administrator behind the dismissal had threatened their tenure if they let the disabled student pass once he returned. The administrator had wanted to eliminate the dangers of a lawsuit.\n\nI didn't believe the story. \"You're kidding!\"\n\n\"I wish I was, but no. That happened. This is not a fight you want to take on. They can flunk you; they can trump up charges, anything to end liability. Whatever they do will go on your record, and any other school you apply to will see it.\"\n\nI stayed silent.\n\n\"Kurt,\" Morrison said, \"if you go back to Swarthmore, you might end up never getting an education.\"\n\n_There has to be a way._ \"Do you know people that have returned, that fought it?\" I asked. \"I'm not talking about fighting in court right now. Court's down the line. But do you know people that fought it and won?\"\n\n\"I think there are about five that I know of,\" he replied. \"That's not in this area. That's nationwide.\"\n\n_Five. So it's not impossible._\n\n\"Okay, then I'm going to fight it.\"\n\nMy mother responded first. \"Kurt, _why_? You might never graduate from college! Swarthmore has been terrible to you! Why do you want to go back?\"\n\nI stood and grasped the back of a chair.\n\n\"Because the administration isn't Swarthmore,\" I argued. \"If I go back to school and I have a seizure in front of people, then I'm just Kurt who had a seizure. If I go somewhere else, within two weeks, I'll be 'the epileptic.' If you think Swarthmore is scared of seizures, imagine how strangers will feel! I'll always be alone. I'll have no friends. I'll be pitied. I'll be defined by epilepsy.\"\n\nI started pacing. \"And I am _not_ going to let this goddamn school transform me into 'the epileptic.' I'm going back to my friends, back where I want to be, _because that's where I want to be_! I have that right!\"\n\nI stopped to think of my next words; Morrison and my mother remained silent. They seemed to know I wasn't finished. \"More important, Tom\u2014you say you see this every day. Okay, so let's say I give up, I let Swarthmore chase me away because I'm scared of what they'll do.\"\n\nMy voice rose. \"What about next time? What do I do if another school gets rid of me or I get fired from a job? Run away again? I either fight now, or I will hate myself for being a coward, for saying, 'Maybe I'll have the backbone next time.' There _is_ no next time!\"\n\nMorrison started to speak, but I interrupted.\n\n\"This stops now!\" I barked, jabbing my finger down with each word.\n\nA metaphor popped into my head. \"Look, Swarthmore got in a sucker punch and knocked me to the mat before I even knew the bell had rung,\" I said. \"I could say, 'I'm just going to lie here, because I don't want to get hit again.' But maybe if I get up, maybe if I punch back, I'll find out they have a glass jaw. Maybe I'll knock them out in one punch. If I don't _try,_ I'll never know. I'll just be the guy who wouldn't get off the ground because I was afraid. For the rest of my life, I'll be miserable because I won't know if I could have won.\"\n\nMorrison took a long look at me. \"Okay,\" he said. \"Then I have to put you in contact with my counterpart at Region 3 in Philadelphia. If you want a federal investigation of Swarthmore, it falls into his jurisdiction.\"\n\nHe was all business now. The first step, he said, was for me to fly to Swarthmore and occupy my room. The school would either leave me there or force me out. Both responses would be helpful evidence in the looming war.\n\n* * *\n\n\u2014\n\nThe intensity of the past few days transformed my father. Whether he had been consumed by discomfort over my epilepsy or by guilt about my mismanaged care, he experienced an extraordinary metamorphosis into my strong advocate. The Dickerson tape convinced him\u2014Swarthmore had tricked him into turning against his son, and now the school was hunkering down, preparing to deny me an education.\n\nTaking charge, he told us to tape every call with the school. Then we could compare recordings and verify what each of us had been told. We also would send letters from my doctors attesting, in one sentence, that I was medically and psychologically capable of returning to college.\n\nWhile my mother and I were at HHS, my father picked up the doctors' letters and sent them by certified mail to Dickerson. I called to let him know that HHS had recommended I occupy my room at Swarthmore despite the possibility that the school might have me arrested for trespassing. After we spoke, my father dialed the dean's office with a tape rolling.\n\n\"Dean Dickerson, this is Dr. Eichenwald. We need to know what decision you have made.\"\n\nShe replied that they had sent a letter and it would arrive at our house the next day.\n\n\"What does it say?\"\n\n\"It simply says that Kurt may return when we have evidence that he is ready to return and be a fully functional student.\"\n\nMy father swallowed his anger; he knew Swarthmore could have asked my doctors that question long ago. But the school had already labeled Naarden and Roskos as unreliable based on the falsehood that they were his colleagues.\n\nHe told her that letters from the doctors were on the way. Dickerson said she hoped everyone understood Swarthmore was acting only in my best interest.\n\nNo one believed that, my father replied\u2014not the family, not me, and certainly not the doctors. \"It was their impression that there are two things going on,\" my father said. \"One is [to] somehow label Kurt as having a psychiatric illness and not true seizures, which of course is ridiculous. He wouldn't be on two toxic or potentially toxic drugs if that was a thought. And the other consideration is, there really is an attempt to keep him out.\"\n\n\"I don't want to keep him out...\"\n\n\"That's fine. Then we both agree.\"\n\n\"I am not trying to make a _specific_ attempt to keep him out.\"\n\nShe mentioned Swarthmore's insistence that I be evaluated by a college psychiatrist. While Naarden and Roskos said there were no psychiatric or medical issues that would interfere with my attending college, Whitaker and Millington maintained there were. My father couldn't believe it\u2014Dickerson valued the opinions of a college psychologist and internist who barely knew me over those of a renowned neurologist and psychiatrist who had spent time with me, diagnosed me, and treated me?\n\nIn fact, she explained, the school doctors believed the experts were wrong. \"What they say is that the cause of Kurt's seizures is not just physical\u2014\"\n\n\"No, that's quite incorrect. I don't know where Dr. Millington got this information from,\" my father replied. \"Like Kurt told you, both of us and Mrs. Eichenwald were in the office with Dr. Naarden when Dr. Millington called. So we know exactly what Dr. Naarden said.\"\n\nHe recited my experiences in Chicago with the toxic medication. \"Dr. Naarden put him on a second set of drugs. You see, there is no way that Dr. Naarden, who I respect very much as a physician, would expose Kurt to drugs that can potentially kill him on the basis of just thinking, 'Well, maybe it's epilepsy.' \"\n\nDickerson started to speak, but my father interrupted.\n\n\"He can register on Monday morning with the registrar. Is that correct?\" he asked.\n\nNo, Dickerson replied, first I would need to be screened by a psychiatrist chosen by the school. My father insisted he would never condone that examination, which clearly\u2014as everyone knew\u2014would be a setup.\n\n\"I really don't want to get the feds into this, but that condition is not acceptable, and if the college insists on it, we are going to have to go the legal way,\" my father said.\n\nWell, she replied, the school was ready to defend itself. \"Our college counsel believes that we will be found not guilty. But I don't want to get to that. I want Kurt to be in school.\"\n\nBut first, the conditions had to be met. She maintained that the school was being reasonable by allowing an outside psychiatrist to conduct the evaluation since we had made it clear no one trusted Whitaker.\n\n\"To put it mildly,\" my father responded. \"In fact, Dr. Naarden feels he may well report Whitaker to his professional organization. I don't know if you are aware of the fact that Dr. Whitaker has been telling students, without identifying Kurt, that he was able to diagnose a brain tumor\u2014\"\n\n\"Diagnose what?\"\n\n\"A brain tumor in an individual where the physicians had felt there was no such thing.\"\n\n\"Are you kidding?\" Her astonished tone was real.\n\n\"We have this from four different sources.\"\n\n\"Oh my goodness.\"\n\n\"That's all right,\" my father said. \"If he wants to be a damned fool, that's fine, because obviously the students who made the connection, when they see Kurt again, are going to know he still has all his hair and his skull is still intact, so he didn't have a brain tumor.\"\n\nBack to the law. \"We're not keeping him out because he has a seizure disorder,\" Dickerson said.\n\nMy father considered telling her that he had heard a recording of her saying the opposite. \"You can't keep him out for any reason, and you can't bring in something else and say, 'That is why we are keeping him out.' That also is illegal.\"\n\nDickerson brought up our recent conversation\u2014the one I taped\u2014saying I had yelled at her. Again, my father felt tempted to tell her he had heard the call and that, while I sounded angry, I never raised my voice. Instead, he kept his counsel.\n\n* * *\n\n\u2014\n\nDespite the finality of my vow in Morrison's office, I remained unsure if I was making the right decision. Carrying on the fight might rob me of a college degree; the future that I had envisioned could slip away. Morrison, Cunningham, and Roskos all advocated leaving Swarthmore. Naarden agreed, urging me to make a strategic retreat; I would be under a microscope there, and the stress could make gaining seizure control harder, he warned.\n\nThat night, I called Franz. Skipping the sordid details, I explained in general terms that the school was fighting to keep me out. \"Why am I trying so hard?\" I asked him.\n\n\"Because we're family,\" Franz said. \"Because you love us. You have too strong a sense of right and wrong to let this go.\"\n\nAfter hanging up, I walked to my bedroom, picked up my tape recorder, lay down on the bed, and pressed the red button.\n\nI described the day's events and pondered whether to take on the college. \"So what I was told at HHS is that the possibility existed that I would not get an education because in fighting Swarthmore, they'd label me a troublemaker,\" I said in a tense voice. \"If I slipped, I'd be thrown out. To transfer, I have to get a recommendation from the dean's office, or I would not be admitted anywhere else. So I have a choice. It comes down to: If I do this, I might not get an education at all.\"\n\nI turned off the recorder, then later switched it back on. I had about forty-eight hours to decide. \"It's getting down to the wire. I've got this real bad feeling in my gut, like I ought to have an ulcer, but I don't,\" I said. \"I'm just torn. I'm scared, maybe because everyone has told me that I should be. I am just so scared. 'You might not ever get an education, or you might get everything you want. What choice are you going to make?' I haven't decided yet. It's hard to decide.\"\n\nI rambled a bit, then wondered how I must sound. \"I'm getting philosophical because I'm scared,\" I said. \"But there is a principle. I'm fighting for principles. That sounds ridiculous sometimes to some people. There is a justice, and there is an injustice. That's what the fight is for. That is what my emotions are. If I deny myself the right to have what I want unjustly, I don't think I'd ever be able to like myself again. Other people keep saying, 'You can fight it once you're gone. We'll all fight it once you're gone.' I don't think I could do that. I can't turn tail and run.\"\n\nThe words spilled out until I noticed the cassette was almost finished. \"This is the complete end of this particular tape,\" I said. \"See you in the next installment for our future excitement.\"\nAn audio diary from\n\nELVA EICHENWALD, 1982\n\nRecorded the day before our return trip to Swarthmore\n\nSomewhere around Christmas, I finally began to hear and to understand what Kurt was saying. And I have reached the point where I can allow this young man his right and his privilege to be himself. It has taken a long time. No, it hasn't. It has taken a lot of work during this time to finally reach the point of opening my hand and wanting my son to become the person he's meant to become.\n\nDuring that time that he was at home, I went from being constantly afraid he was going to have a seizure to not worrying about it or at least not worrying about it a lot. I am aware that he can have a seizure at any time. I look where we are just simply so that I'm aware of what I can do to make things easier for him.\n\nBut I am encouraging him to be at the school and to do whatever it is that he wants to do. I needed to know that his goals were healthy goals. I needed to know that he was fully aware of everything that might happen to him while he was here. I wanted him to know the consequences of his actions. And I think it was the only thing I could do as his parent while letting him go. And if he was not fully aware, I would have had to let him go anyway. He must reap the benefits of his own actions at this point.\n\nI would rather be going anyplace else but Swarthmore at this time.\n\n# CHAPTER TWENTY-TWO\n\nTraces of red spotted the pocket of my button-down shirt. I noticed, then glanced at my aching hand; I had bitten my nails until two fingers bled. _Damn._ This was one of the new shirts I'd bought in Dallas, since most of my clothes were still in my dorm room. Now bloodstains caused by anxiety may have ruined it.\n\nIt was Monday, and I was traveling with my mother to Philadelphia. As I asked a flight attendant for a napkin, my mother saw the bleeding. She brought a tissue out of her purse, and I wrapped it around my fingers.\n\nI had announced my decision the previous day: I was going back to Swarthmore, and if forcibly removed from campus, I would head to HHS in Philadelphia to sign the paper work for an investigation. Over the weekend, we received a Mailgram from Swarthmore dictating conditions for my return. There was, of course, meeting with a psychiatrist named Silas Warner, an associate of Whitaker. I was forbidden from using the health center, I was required to retain a new neurologist, my grades would be under constant review, and so on.\n\nAfter we received the Mailgram, I spoke with Paul Cushing, the HHS investigator who would be handling my case. Like Morrison, he warned that challenging the school might wreck my future. After I read him the Mailgram, he again urged me to skip confrontation and file for the federal inquiry. I repeated what I'd told Morrison. I wasn't going to abandon my rights out of fear; I would not accept losing if I did not first try to win.\n\nMy parents and I debated which of them would accompany me to Swarthmore. I said I needed someone there only to drive and possibly bail me out of jail if I was arrested for trespassing. And I imposed a rule: No one but me was allowed to speak to any official at the school.\n\n\"If I screw this up, I can live with it,\" I said. \"If someone else screws it up for me, I will never forgive them.\"\n\nBy that point, my father was so angry I feared he might hit someone at the school. Mom was the choice by default.\n\nAfter landing, we drove to the Media Inn, the site of the chaotic night when I had staged a sit-in until I was allowed to bid my friends goodbye. I called Cushing, my lawyer, and my psychiatrist. Roskos was key; based on the advice of my lawyer and HHS, I could never accept Swarthmore's demand that I speak to their psychiatrist. Roskos needed to be available for my planned compromise.\n\nMy mother drove me to school. In our dorm room, Carl and Franz told me they had decided they would share the double and I would stay in the single. This seemed like a healthy way to address the mental exhaustion I was sure they must be experiencing. While I worried about being alone in a bedroom, I told them the arrangements were fine.\n\nAfter unpacking, I went down the hall to a phone for on-campus calls. I dialed Dickerson's office and left a message that I was back in my dorm and wanted to meet the next day.\n\n* * *\n\n\u2014\n\nOn Tuesday morning, I walked to the registrar's office. Although Cushing knew the ploy was a long shot, he advised trying to sign up for classes, which would make it harder to evict me. I filled out the documents, then handed them to the woman behind the counter, who promptly reminded me I needed approval from my academic adviser for my schedule.\n\nI headed to Trotter Hall and sat outside the office of Professor David Smith from the political science department. About an hour passed before he showed up and invited me in.\n\n\"I know I've arrived late, but I wanted to get your approval of my schedule,\" I said, handing him the schedule card.\n\nHe didn't look at it. \"I'm sorry, but the dean has told me not to sign your registration records.\"\n\nI nodded and took the card back. The gamble had failed, as expected.\n\n* * *\n\n\u2014\n\nHours later, Dickerson sat in front of me, looking nervous. With my mother beside me in silence, I tried to get a read on the dean. Until now, I had perceived her as someone who had slipped into error by originally engaging in \"benevolent discrimination\"\u2014denying me my rights for my own good\u2014but who then transformed into a monster, willing to destroy my future to cover up the mistake.\n\nNow as I studied her face, I softened. This was her first year as dean\u2014maybe she had been deceived by advisers. The security department wanted me gone, the health center feared me. Millington was badly informed\u2014thus his call to Naarden about my fictitious academic problems\u2014and ignorant of the nature of epilepsy. But at the center of it all, I believed, was Whitaker, who started this ordeal with his brain tumor theory before pushing on to false declarations about my emotional health. Deans and internists would rely on a psychologist for assessments of a student's mental state. They had no basis for challenging him.\n\nPerhaps, I thought, this amalgam of ill will, incompetence, arrogance, and error might have confused a novice dean who wasn't experienced enough yet to recognize she was being fed bad information by others with undisclosed agendas.\n\nIf my assessment was right, then I might be able to persuade her, to become a gentle force pushing back on her doubts. _Persuade._ I had learned that skill as a telemarketer. _The last thing I should do is hit her with demands from the get-go._\n\nI spoke before the first question was asked. \"I spent most of my time off in a really interesting job,\" I said.\n\nShe appeared disarmed by my words. \"Yes, I heard that from your father. You were working with disabled people?\"\n\n\"Sort of. I mean, it was for a group of people with disabilities, but really what I was doing was investigating a situation involving a doctor. In fact, it looks like there will be an article about what I did in the local newspaper.\"\n\nShe smiled. \"That's great!\"\n\nAfter a few more minutes of chatting, I moved the conversation to the topic at hand.\n\n\"The job was a lot of work,\" I said. \"Truthfully, I don't think a lot of students here could have done it. I think that alone demonstrates there's no reason to keep me out.\"\n\nLike clockwork, Dickerson reverted to the stock response: No one wanted to block my return, but I had to meet six requirements. When she mentioned my grades would have to pass minimum standards, I stifled a laugh.\n\n\"Well, I assume if I'm failing my courses, I won't get to stay,\" I said.\n\nI accepted other conditions without argument: I would not use the health center for seizure-related problems. I would obtain a neurologist in the area. However, I insisted, Naarden would be in charge; the other doctor could consult with him. Then it was on to the requirement I meet with a school-selected psychiatrist. I refused.\n\n\"Dean Dickerson, that's a ridiculous requirement, and it's not going to happen,\" I said. \"I've seen a psychiatrist since I left\u2014not because I'm mentally ill, but to help me deal with the emotions of having epilepsy.\"\n\n\"I understand that.\"\n\n\"You should already have a letter from him saying I'm fine. The idea that some guy who has never met me is going to speak with me for an hour and determine what's going to happen over the next few months is absurd. Unless he's breaking out a crystal ball, he's going to be guessing.\"\n\nI wanted to make sure I chose my next words carefully. \"And let me be honest, any psychiatrist who thinks he can assess a patient in one session is incompetent.\"\n\nDickerson interrupted. \"Dr. Warner is highly qualified.\"*\n\n\"That doesn't matter. If he thinks he can determine whether I'm able to return in a single session, he's either incompetent, thinks I have schizophrenia or something, or has already been fed a bunch of nonsense by Dr. Whitaker.\"\n\nMy expression went hard. \"And the last thing I want is another fool diagnosing me with a brain tumor based on how I talk simply so he can brag to students that he's smarter than real doctors.\"\n\nDickerson appeared uneasy but repeated: The requirement that I see Warner was not negotiable.\n\n\"Then we're at an impasse,\" I said. \"And if we don't find a compromise, this is going to become a legal case.\"\n\n\"I know that's what you think,\" she replied. \"But we've consulted with college counsel.\" That lawyer, she said, had assured them the decision in the fall was legally bulletproof.\n\nI crossed my arms on the table and leaned forward. \"And let me ask, how many cases has that lawyer handled involving Section 504?\" I intentionally didn't define what I meant, implicitly communicating this was more complex than she might think.\n\n\"You have a college counsel who handles faculty contracts or something. I have a civil rights lawyer who says you broke the law. And I have a law professor who specializes in 504 cases who has offered to represent me for free in suing Swarthmore.\"\n\nI considered mentioning that federal investigators were ready to pounce as soon as I gave the word but decided to keep that card hidden.\n\n\"So if we're playing battling experts,\" I said, \"I like my position, backed up by people who go to court over this law all the time, compared to the opinion of some college lawyer who probably thinks 504 is a time of day.\"\n\nI had metaphorically slapped. Now I needed to soothe.\n\n\"I don't want this to be ugly,\" I said. \"I just want to come back to school.\"\n\nDickerson wouldn't budge. Finally, I said I would accept the original proposal: Warner, the school's psychiatrist, could speak with Roskos, nothing more. To my surprise, she agreed.\n\n* * *\n\n\u2014\n\nThe following morning, after his discussion with Warner, Roskos reached me at the hotel sounding flabbergasted. \"You _never_ would have passed that exam,\" he said.\n\nWhen Warner called, Roskos had followed my instructions and kept his words mostly limited to stating that there was no psychological reason to keep me out of school. Repeatedly, the Swarthmore psychiatrist asked for details; Roskos replied that the questions were outside the scope of what the school needed to know and answering would violate doctor-patient privilege. Warner mentioned mental problems I might have, and Roskos pushed back: Given that Warner had never met or spoken to me, Roskos said, he was not in a position to make a diagnosis.\n\nRound and round they went, with Roskos parrying each of Warner's thrusts by repeating his one-sentence conclusion.\n\nWarner ended the call in exasperation. \"I'm sorry,\" the man retained by Swarthmore said. \"I just don't believe that Kurt doesn't have a severe psychiatric problem.\"\n\nWe had all been right\u2014the requirement to meet with the school-hired psychiatrist had been a setup. He diagnosed me with an array of psychiatric issues without ever having heard my voice.\n\n* * *\n\n\u2014\n\nBy Thursday, my fourth day back, I began to believe I might win. I had been attending courses I wanted to take that semester, and no professor had realized I was not actually enrolled. The only one I skipped was a seminar taught by my academic adviser. If I showed up, he was sure to report to the administration that I was going to classes.\n\nFrom my mother's hotel room, I phoned Cushing at his HHS office. With glee, I described my second meeting with Dickerson. After Warner struck out with Roskos, the dean renewed the demand that I speak directly to their psychiatrist. No way, I retorted. I had kept my side of the bargain. The only reason anyone would push me to meet with Warner now, I said, was because they didn't like Roskos's answer.\n\n\"Besides, we already know Warner's diagnosis,\" I had said. \"He told Roskos he had no doubt I had a mental illness. Good luck arguing in court that your psychiatrist can diagnose someone using telepathy.\"\n\nDespite my amusement, Cushing did not find the story funny; instead, he insisted that it proved I needed to file for a federal investigation of Swarthmore. The psychiatrist gambit had been a fraud, and now the school was trying other tactics. The charade would never stop. Even if I forced my readmission, he said, administrators would find a way to drive me out.\n\nMy upbeat attitude ended that afternoon. After my father heard about the Roskos-Warner call, he could no longer control his fury and dashed off an injudicious letter to Dickerson. I heard through an ally in the administration that the missive had been ugly, setting back our progress considerably. I decided not to call my dad\u2014there was no purpose. Instead, I asked my mother to contact him and communicate a message from me: no more contributions from the peanut gallery.\n\nThat afternoon, Dickerson and I met again. She was furious and mentioned my father's letter. I explained I had no idea what he had written and didn't want to know, because he was not speaking for me.\n\nShe looked at me angrily. \"I'm not going to lose my job over this!\" she snapped.\n\n_An opening._ \"Dean Dickerson, I don't want you to lose your job,\" I said. \"I just want to come back to school.\"\n\n* * *\n\n\u2014\n\nLater that day, without asking for my permission, Cushing telephoned Swarthmore, identified himself, and asked to speak with a particular senior administrator.\n\n\"I'm calling because, against my advice, Kurt Eichenwald wants to return to your school,\" he started.\n\n* * *\n\n\u2014\n\nThat evening, Cushing reached me at the Media Inn to discuss his call to the school. He refused to identify whom he had contacted.\n\n\"I was very clear with him,\" he told me.\n\n_Him? Dorie Friend? Who else?_\n\nHe recounted the opening of his call. He informed the person that HHS had been following the case after being alerted by me. He told the official that he had urged me to authorize a federal investigation, but I refused. However, he advised, he could tell my resistance was waning.\n\n\"I ended on a strong note,\" Cushing said.\n\n\"What did you say?\"\n\n\"I told him, if I finally did persuade you to file, the question is not whether Swarthmore has broken the law,\" he said. \"The question is, how many times?\"\n\n* * *\n\n\u2014\n\nI woke the next morning elated. I had been on campus for five days, met every term of readmission, and now the school had received a direct warning from the federal official who would be conducting an investigation if I authorized it.\n\nWith a new sense of power, I went to an on-campus phone and called Dickerson. My face fell. There was no decision; the issue still had to be resolved by the dean's committee. That was the same bunch that had thrown me out the first time.\n\n_That's it_. Exultant a moment before, I now felt defeated. If even Cushing's call could not budge them, the fight was pointless. I'd already missed classes, and I couldn't turn in homework for courses I was surreptitiously attending. The school could drag this out, then refuse readmission or create such a delay that I could never catch up. Then they would have the bad grades they needed to get rid of me again.\n\nI called my mother at the hotel and filled her in on the developments. \"Come pick me up,\" I said dejectedly. \"We need to go to Philadelphia so I can file for the investigation.\"\n\nIn the car, my mother could see I was devastated. She assured me that I would get into another school, but I knew it was a promise beyond her power to keep. From the hotel, I called Cushing and told him that hardball had failed and that I was coming to sign the paper work.\n\nDuring our drive, we passed the off-campus office of Millington, Swarthmore's part-time internist. _Maybe he doesn't know everything that happened,_ I thought.\n\n\"Mom,\" I said, \"that's Dr. Millington's office. Pull in there. I'm going to try one last thing.\"\n\nTo my surprise, Millington met with us almost immediately. My anger built as we marched toward our chairs. There was no purpose in holding back. No reason to be polite. This was all or nothing.\n\n\"I don't know if you're aware of what's gone on,\" I began.\n\nI launched into a monologue. The brain tumor charade, delays in my treatment and cancellation of diagnostic tests caused by the school's incompetence, the lies, the attempts to keep me out, the diagnosis by a school-hired psychiatrist who never spoke to me, the taped phone calls, my civil rights lawyer, the West Virginia law professor, and HHS investigators begging me to set them loose on Swarthmore.\n\n\"Now, here is where things stand,\" I said. \"I don't give a _damn_ about president's committees. I don't give a _damn_ about dean's committees. I don't give a _damn_ about who wants to meet with who or who wants to talk with who.\"\n\nI held up two fingers. \"Swarthmore has two hours. And if I am not readmitted by then, then I am going to Philadelphia and filing for a federal investigation. And then I am going to _The Philadelphia Inquirer,_ bringing all the paper work and all the tapes. So either I get back in, or all of you can look forward to seeing your pictures in the paper.\"\n\nWithout giving Millington a chance to respond, I pushed back my chair. \"I'll be in my dorm room.\"\n\n* * *\n\n\u2014\n\nMy mother drove us to a restaurant for an early lunch. I picked at my food while she expressed pride in everything I had done. Whether I returned to school or not, she said, I'd fought for my beliefs. Even when people lost, they should be proud of taking on the challenge.\n\nI murmured thanks for her words, but they rang hollow. Without readmission, I would lose another semester. Transfer deadlines had passed long ago. I would miss my junior year, then be forced to explain why to my next school. If I lied, I would be caught; if I told the truth, I would probably be rejected.\n\nAfter lunch, she dropped me at school, where I could wait until my two-hour deadline passed. About forty-five minutes remained.\n\nI walked into my dormitory, and headed up the stairs. Turning right, I saw the front of my door at the end of the hall. There was a message scribbled in blue on the attached whiteboard. The words\u2014and a punctuation mark indicating confusion\u2014became clear as I approached.\n\n_Janet Dickerson called to say welcome back (?)_\n\n\"Yes!\" I screamed, punching the air.\n\n* I later learned that Warner instructed gay patients they could not be mental health professionals and argued that watching professional sports was dangerous because it inflamed \"macho\" attitudes and taught men they could succeed by breaking rules.\nAn email from\n\nJANET DICKERSON, 2017\n\nI have been thinking about you continuously since you wrote...I am incredibly pained and sorry to learn of your traumatic experiences at Swarthmore. Most of your testimony about your interactions with Dr. Whitaker and Dr. Warner was completely unknown to me, and that which I thought I knew has been put in a completely different context.\n\nI was aware you had been diagnosed with epilepsy and that you were on medication that needed to be managed appropriately. At that time, my knowledge of epilepsy and the potential for seizures was relatively limited. I found it helpful to have a professional colleague in the administration who had epilepsy who could inform us laypersons about the condition. She coached us on how to respond when she had seizure activity, and she was an effective advocate for students who had epilepsy or related medical conditions. At the very least, as you say, she successfully challenged Dr. Whitaker in a meeting [about] you. But I know\u2014now\u2014that was not enough. That was not nearly enough.\n\nThe doctor had asserted that you were not managing your medications. I regret that on the night I was called in to deliver the decision to you that you would be required to withdraw until you were medically cleared to return, in accepting the recommendations of our health professionals, I contributed to the trauma that has so greatly affected your life. At the time I thought I had no reason to question their judgment.\n\nToday, I think deans and campus health professionals have a much greater understanding of the causes and potential effects of epilepsy. Professional development opportunities are more routine, and the Americans with Disabilities Act (1990) requires that campuses accommodate students with chronic medical conditions.\n\n...I view you as a role model for how to carry on and have an extraordinary life while dealing with a chronic, potentially debilitating condition. As I stated in my last message, I am\u2014perhaps undeservedly\u2014very proud of you.\n\nKurt, I have tried to be forthright in my response. I'm very, very sorry, and you have my heartfelt apologies.\n\n# CHAPTER TWENTY-THREE\n\nThe next morning, I awoke deeply depressed. It made no sense to me; after months of fighting, I had beaten Swarthmore. I was on my treatment schedule. I likely would graduate with my class. Yet my joy had lasted less than a day.\n\nI lay in bed, contemplating these confusing feelings. Then the answer came\u2014despite the tumult since my dismissal, I'd recovered only what I'd lost. So much effort and anguish, and all I accomplished was to stay in place. My seizures were better, but that had almost been an afterthought to me since November. I still lived with them. Now, with no target to battle, I was too wrung out to easily resume confronting the difficulties posed by epilepsy. I had learned a frightful lesson: I might face these conflicts\u2014with jobs, coworkers, associates\u2014for the rest of my life.\n\n_Stop feeling sorry for yourself._\n\nI climbed out of bed to shower. The senior hired by the school to supervise our area of the dorm stopped me in the hall to ask about my state of mind and health. He may have been trying to be supportive, but I knew his job entailed reporting to the deans, so I lied. Everything was great, never happier.\n\nI didn't feel guilty for the subterfuge\u2014Swarthmore had made deceit a condition of my return. I was forbidden from revealing details of our confrontation. If I discussed what they had done, I could be deemed in violation of the terms of readmission. The administration also required that I see a psychiatrist, which was fine with me. Talking to a person would be more helpful than speaking into my tape recorder.\n\nThings remained tense with Carl, but there were fewer arguments since we spoke far less. In my diary, I expressed concern that I may have caused long-term damage to his emotional health. To clear the air, I asked Carl and Franz to dinner that weekend, but neither showed up. Instead, I went back to spending time with Harry Schulz and the new friends I'd met through him.\n\nOn Monday, I returned to the office of my academic adviser, David Smith. For the second time, I produced my class schedule. No one had informed him I was back in school, and he repeated that he was forbidden from approving my courses.\n\n\"No, I've been readmitted,\" I said. \"You can sign now.\"\n\nTo my surprise, he took my word and reviewed the card. For the first time, he saw I wanted to join his constitutional law seminar. That concerned him. He asked about my seizures\u2014frequency, type, aftermath. I could feel it coming: He was going to reject me from taking his class.\n\n\"What medications are you taking?\" he asked.\n\n\"Dilantin and Mysoline,\" I replied.\n\nHe leaned back in his wooden chair, its springs squeaking. \"Whew!\" he said. Then he sat up. \"I don't think you're going to be able to handle the work necessary for this course.\"\n\n_Here we go._ \"Why not?\"\n\n\"Those medications are pretty heavy stuff.\"\n\nHe explained that he knew someone treated with Dilantin, and it had slowed her thinking. From his description, it sounded as if his friend had been incapacitated. I wanted to say only an incompetent neurologist would leave a patient in that condition but held my tongue.\n\n\"I can handle the class,\" I replied. I described everything I had done related to law\u2014debate, BGA, Balaban, other classes. He asked a number of questions, and I answered them all.\n\nAfter pleading my case for forty minutes, I begged. \"Please. Don't make a decision before you've even seen me in class.\"\n\nHe stared at me, then turned to his desk and signed the card. \"Well, we'll see,\" he said. \"I guess I'll take the chance.\"\n\nI thanked him and retrieved the card. At the registrar's office, I marked that I would take the seminar pass-fail. I feared becoming a professor's self-fulfilled prophecy.\n\n* * *\n\n\u2014\n\nAs required under the conditions of my return, I set an appointment with a neurologist, Dr. Guenter Haase at the University of Pennsylvania. Swarthmore had urged me to use a doctor at nearby Crozer-Chester Medical Center who had been recommended by someone at the health center. HHS, my lawyer, my family, and I all considered the suggestion absurd\u2014I wanted my neurologist as far away from Swarthmore as possible. I feared I might stumble across a doctor who would serve as a pipeline of information back to the school.\n\nThe college demanded I let an official contact Haase to confirm that I was seeing him. I agreed, but only after telling Haase to say nothing beyond verifying my appointment. I instructed him to end the call if they asked for details or tried to provide any information about me.\n\nMy first consultation lasted forty-five minutes. I recounted my history and, to explain the rules I gave him regarding the college, launched into a tirade about my dismissal. He drew blood for testing. Then he asked about my diet. Did I eat a lot of sugar? How did I feel afterward? Did I ever notice an association between consuming sweetened foods and seizures?\n\nThinking he was heading down a path of nonsense, I lashed out. \"I don't have sugar seizures or whatever it is you're talking about,\" I snapped.\n\nThe neurologist, a kindly and gentle-looking man, was taken aback by my vehemence. \"That's not why I'm asking. I'm wondering if you've been tested for reactive hypoglycemia.\"\n\n\"I don't even know what that is.\"\n\n\"That means after you eat something sweet, your blood sugar rises and crashes quickly. That can serve as a seizure trigger.\"\n\nI was about to argue, but he interrupted. \"I'm not saying you have seizures from sugar. A sugar crash can be like stress or lack of sleep. It can lead to a seizure in someone with epilepsy. Since you're still having seizures, we should run a test to see if there are any sugar problems.\"\n\n_No way_. \"Contact Dr. Naarden. I'm not doing anything without his approval.\"\n\n* * *\n\n\u2014\n\nHaase called the next day.\n\n\"I don't know how you're still standing,\" he said. He explained that Mysoline breaks down into phenobarbital. The blood tests showed my levels of that drug had hit seventy-two milligrams per milliliter.\n\n\"Is that high?\"\n\n\"Like I said, I don't know how you're still standing. The upper therapeutic range tends to be around forty.\"\n\nI thought for a second\u2014I _had_ been wobbly, short of breath. I had fallen over once, but I had ignored it. That made me angry at myself. I knew my Mysoline dosage had been increased, and amid all the school-related commotion afterward, I never bothered to have my blood levels checked as Naarden recommended. Haase told me he had already informed Naarden. I thanked him and called Dallas.\n\nNaarden instructed me to reduce my Mysoline and added that I probably would not feel well as the levels dropped. Then he mentioned Haase's suggestion about a glucose tolerance test.\n\nHe expressed skepticism about my having reactive hypoglycemia. \"Lightning doesn't strike twice in the same place,\" he said.\n\nStill, he said, he didn't know everything. We discussed the test. I insisted that he review the results.\n\n* * *\n\n\u2014\n\nThe phone rang in the hallway as I assembled my stereo in my room. Someone let me know the call was for me. On the line was my high school girlfriend, Mari Cossaboom; we had remained close even after our breakup years before.\n\n\"Kurt!\" she exclaimed. \"Your story is in _The_ _Dallas Morning News_!\"\n\nI panicked. \"About me and Swarthmore?\"\n\n\"No, about Balaban!\"\n\nMy heart raced. I had been taking calls to answer questions from Hoppe, the _Morning News_ reporter who had accepted documents and memos about Balaban. But I had feared the story was going nowhere despite the mountain of evidence I had uncovered.\n\n\"Read it to me!\" I shouted.\n\n\"Okay. The headline is 'Ailing Doctor Fights for Job.' \"\n\n\"Nice!\"\n\nMy excitement grew as Mari recited the first paragraph.\n\n> In the four years Dr. Donald Balaban has suffered from multiple sclerosis, he has battled the bureaucracy three times to keep his job at the Dallas County Health Department. Now, he is paid $1,200 a month to do nothing.\n\nAs she kept reading, I slapped the wall in delight at certain words and phrases. \"Harassed,\" \"threatened,\" \"intimidation,\" \"barren office,\" \"growing mold,\" \"caged paddy wagon,\" \"struggle,\" \"uncontroverted evidence.\"\n\nI wanted to cry. _Justice won again._\n\nI thanked Mari and phoned Balaban. He told me fifty people had formed a group to fight for him because of the article. In a series of calls, I told members of AID that they needed to call local television stations and even national media organizations such as the Associated Press and United Press International. Then, as the story spread, they should pressure the county commissioners to hold hearings.\n\nAID held a meeting to discuss strategy, and afterward, a director called me. They loved the plan, but no one in the group believed they could handle it. They asked if I would do the job from Swarthmore.\n\nI leaned against the wall and thought. _Classes, Sixteen Feet, rehearsals for_ Pippin, _hanging out with friends, seizures._ I didn't have the time. I just didn't.\n\n\"Okay,\" I said. \"I'll do it.\"\n\n* * *\n\n\u2014\n\nTwo days later, time opened up: I was asked to leave Sixteen Feet. I'd performed poorly at a recent rehearsal, probably because my drug levels had been soaring. Now another member of the group and Carl were in our dorm room, telling me I needed to go.\n\nThe other member spoke. \"What if we're singing in Philadelphia, and you have a seizure during the performance\u2014\" he started.\n\nI exploded in anger before he finished. Carl and Franz, who sat nearby, shouted in unison for the other singer to shut up. That was not the issue at all, Carl said. He asked everyone else to leave the room so he could talk to me alone.\n\nHe spoke in a quiet, supportive tone. \"You're putting too much pressure on yourself, and you might hurt a lot of other people because of it. You're doing _Pippin,_ you've got classes, you've got Sixteen Feet. You _know_ stress causes seizures, and you're setting yourself up for more.\"\n\nIf that happened, everything could fall apart. \"Sixteen Feet might die,\" he said. \"You won't be able to direct the musical. You might flunk out. Stop trying to prove you're invincible. If you're not going to think about yourself, think about everybody who's going to be hurt if you load yourself up with too much responsibility.\"\n\nI took in his words. Carl was speaking from the heart, expressing a pragmatism based on his knowledge of my health. Even though the conversation was about my leaving the group, the tension between us was gone, at least at that moment. He was talking to me as a friend, one with a greater sense of reality than I had. He was right. I was still being self-centered.\n\n\"Okay,\" I replied. \"I'll drop out of the group.\"\n\n\"It's just time off,\" Carl said. He looked pained. \"I feel really bad about this.\"\n\n\"Don't,\" I said. \"You're right. I was being selfish. I wanted everything. I can't do that anymore.\"\n\nCarl thanked me. \"You'll be back.\"\n\n* * *\n\n\u2014\n\nWithin four days of the _Morning News_ article, I persuaded Dallas's ABC affiliate to broadcast a piece about Balaban and convinced a UPI reporter to write an article.\n\nLater, my mother called with news. After the UPI report appeared, Balaban's story had been picked up by CNN. I decided the time had come to start pressuring the Dallas county commissioners. I phoned one, Nancy Judy, and left a message. On my second attempt, I reached her colleague Jim Jackson. I explained that I was calling about the Balaban story in the _Morning News_.\n\nHe chuckled. \"You can't believe everything you read.\"\n\n\"Usually that's true, but not this time,\" I replied. \"I reported that story. I gave my information to Christy Hoppe.\"\n\nA second passed before he replied. \"Who do you work for?\"\n\n_I'm a nobody college student._\n\n\"Who I work for is irrelevant,\" I said. \"I'm a reporter from Dallas who now lives on the East Coast and who's embarrassed for my hometown. I'm trying hard not to let this lead to a national scandal. That's why I'm calling. What are you going to do about Dr. Balaban?\"\n\nOn the other end of the hall, another phone rang. A classmate called out that Nancy Judy was on the line. I knew he had yelled loud enough that Jackson must have heard.\n\n\"So here's where we are,\" I said. \"I'll keep talking to commissioners, pushing for you to hold hearings. And if you don't, I guess Dallas will have to have a national scandal.\"\n\nIt was a pure bluff.\n\n* * *\n\n\u2014\n\nMy hall mates discovered what I was doing with the Dallas politicians. While Carl and Franz found the undertaking bizarre, others considered it hilarious. I told each commissioner to call me on \"my direct line,\" which was the number for the pay phone down the hall that never received incoming calls. When it rang, my hall mates knew to either be silent or simulate the noise of a newsroom. A student once started typing near the phone to lend realism with sound effects.\n\nStuart Couch, the member of AID who was also a counselor with the county, phoned to let me know that the commissioners were planning to bury the case. They suspected that this Kurt Eichenwald guy couldn't bring in more national news media.\n\nI decided to go all in. I telephoned Jim Jackson and castigated him, saying I had heard about the plans. \"I tried to protect Dallas,\" I said, \"but if this is the path you want to take, I guess the commissioners and the city deserve the terrible publicity.\"\n\nAfter a short back-and-forth, I hung up. I had done everything I could for Balaban. I could only hope my last tirade proved effective.\n\n* * *\n\n\u2014\n\nCouch called me two days later. \"Did you arrange for a _60 Minutes_ advance man to come here?\" he asked.\n\n\"What?\" _How would I know anyone from_ 60 Minutes _?_\n\n\"Yeah, we're hearing from _60 Minutes_. Jackson is blaming you. He said you threatened to bring them in.\"\n\nI chortled. \"I never said anything about _60 Minutes_. And no, I had nothing to do with it.\"\n\n\"Well,\" Couch said with a laugh, \"however it happened, everything has changed. They're scheduling hearings for March 1.\"\n\nI hung up and told the story to my neighbors. This was total victory. With public hearings, the politicians would have to find a solution. Balaban was safe.\n\nWeeks later, my mother forwarded a letter from the mayor of Dallas that had been addressed to me at my parents' home. I was rushing to lunch, so after fishing the envelope out of my mailbox, I ran to the dining hall, waiting to open it until I picked up my food. I found a table with some friends, then opened the letter. I broke into laughter.\n\n\"The mayor of Dallas is appointing me to his new task force for handicapped employment!\" I exclaimed. \"They still have no idea I'm a college student!\"\n\nThe Balaban case drove my reporting for the rest of my career. I learned never to dismiss even the most unbelievable story. I discovered that the skills for persuading people to cooperate matched those for successful telemarketing: Never lie, assess character, appeal to principles, answer every question, and determine what impediments might keep them from speaking. Reporters need persistence, not the name of some major publication behind them, to crack a story. The next call, the next document, the next confrontation, might provide the information that exposes truth.\n\n* * *\n\n\u2014\n\nDickerson stopped me in a hallway in the administration building and asked if I had seen my new neurologist yet.\n\n\"Nope,\" I lied. \"But I have an appointment.\"\n\nWhen she asked for the date, I told her I didn't remember but had it written down in my dorm room. She then discussed the seizures I had experienced since returning to school\u2014she knew when they'd happened, where, and even that Carl had helped me back to my room after one occurred.\n\n\"Well,\" I said, \"I've never denied I have poorly controlled epilepsy.\"\n\nA few days later, my parents received a letter from Dickerson that they found unnerving in its detail. I had not seen my new neurologist, she wrote, then added out of nowhere that the school refused to assist me in traveling to Philadelphia for appointments. Instead, she again suggested I consult a neurologist near the school who had been recommended by the health center. None of us understood the travel condition. The University of Pennsylvania was walking distance from the commuter rail station; I had always planned to use public transportation. The repeated urging that I see their recommended neurologist convinced us all that the administration was up to something. Otherwise, why would they care who treated me?*\n\nThe letter also reported specifics of my seizures\u2014including when and where they had happened\u2014and described them as occurring at the same rate and intensity as in the first semester. She mentioned that the security department had never been contacted about these episodes and griped I was not keeping the health center staff informed, a strange complaint given that cutting off their involvement had been a condition of my return. She also disclosed she was checking my attendance\u2014fortunately, I hadn't missed a single class.\n\nShe ended the letter with these words: \"I have promised Kurt that he will be informed first, and consulted fully, if any new recommendations are made or decisions reached.\"\n\nMy parents sent the correspondence to Morrison, Cushing, my lawyer, and me. Cushing called me after reading it.\n\n\"Like I warned you, they've got you under a microscope,\" he said. \"Be careful.\"\n\n* * *\n\n\u2014\n\nAs required under my readmission agreement, I searched for a psychiatrist, again making sure it was someone with no connection to Swarthmore. I found one in Philadelphia, and we discussed my history, my fears of injury, my confrontation with the college. Then the conversation sputtered. After our third session, he called it quits.\n\n\"You don't need a psychiatrist,\" he said.\n\nNot only were my emotions\u2014fear of seizures, anger at the school, guilt about hurting friends\u2014normal, he said, but it would be worrisome if I didn't experience them. Our conversations had become repetitive, and he didn't want to waste our time trying to talk me out of rational feelings.\n\nHe suggested I find a support group for people with epilepsy or maybe a counselor. Obviously, he cautioned, I should stay away from Swarthmore's psychologists. But he promised, if the school called, he would only say that he could not discuss a patient. He would not tell them our sessions had ended.\n\nI left the appointment amused. Weeks earlier, Swarthmore had argued I was so mentally ill that I could not return to school. Now a psychiatrist insisted I was too well balanced to need his help. I looked up the name of a counselor and wrote down the number. I would call him if I needed him.\n\n* * *\n\n\u2014\n\nAs increasing numbers of Swarthmore students learned about my epilepsy, a bizarre and unexpected reaction set in: anger and hatred directed at Carl and Franz.\n\nDespite the tensions between us, I understood that my bad decisions and medical mistreatment had left them overwhelmed with complex emotions\u2014guilt, love, anger, exhaustion, helplessness, frustration. I believed our close friendships would recover if they were given enough time and distance from me. Yet they continued to come to my aid after a seizure, whether it occurred in our suite or if someone called them for help. At times, they were amazed that other students seemed unable to think rationally when confronted with a seizure. Once Carl was summoned to a classroom where I had gone into convulsions and was stunned to see that I had been left twisted inside a student chair\/desk combination. He knew my contortions inside the metal rungs would likely leave me hurting when I awoke. _How much sense does it take to get the furniture off the person who's caught up like that?_ he thought.\n\nDespite their lack of knowledge, others who had learned about my epilepsy only weeks or months before began lecturing Carl and Franz. Although I didn't learn of this until years later, many of these newcomers treated me as a delicate victim while I was unconscious, and angrily castigated Carl or Franz when they spoke to me after a seizure with their typical ribald, teasing humor. Such joviality, these students insisted, demeaned the seriousness of a condition that they thought should be managed with gravity, not jokes.\n\nClassmates I barely knew lashed out at my roommates. Once I went into convulsions in Mertz Hall and someone called Carl and Franz to help. I was near the entryway, and both of them were concerned that passersby would see me looking disheveled and injured while I was unconscious. \"We were very conscious of your dignity,\" Franz told me years later about the Mertz seizure. \"We didn't want you to be lying there with your shirt hanging out and your face sideways in front of people. We wanted people to know you as the Kurt that you were. We didn't want to expose you.\"\n\nMost people agreed to leave me alone when asked. One student, Anna, was drunk and started asking innumerable questions that my roommates considered invasive of my privacy. Franz told her that I was fine and that I just needed to be left alone.\n\nAnna exploded. \"You two guys are such assholes!\" she shouted. \"You think that you're the only ones who know anything about this. You act as though this is your own personal problem. Well, why don't you two go fuck yourselves!\"\n\nShe stormed away, leaving Carl and Franz behind, stunned. Years later, Franz still described that moment as traumatic, because no one had ever spoken to him with a voice laced with such hatred.\n\nMy roommates protected me by not disclosing that I had become the object in some tug-of-war, with them on one side and, on the other, near-strangers eager to join the excitement. Carl likened it, years later, to members of a platoon returning from years at war and being lectured by soldiers who had never seen a battlefield.\n\nOnly once did I witness this kind of behavior myself. We were in our suite and a friend named Shelly was visiting. Carl was in a bad mood and yelled at me about something. Shelly in turn angrily demanded that he treat me better because of all I had been through. Before I could intervene, Carl jumped up and scrambled for the door.\n\n\"Fuck you!\" he shouted as he rushed out of the room.\n\n\"Fuck you too!\" Shelly roared back.\n\nShe turned to me, the anger still visible in her expression. Before she said a word, I brought my index finger close to her face.\n\n\"Don't you _ever_ talk to him like that _ever_ again!\" I snapped, making no effort to hide my fury. She appeared stunned that I had turned on her for what she saw as rising to my defense.\n\n\"You have _no idea_ what he has been through,\" I said angrily. \"No one\u2014 _no one\u2014_ has any right to criticize him.\"\n\nI took a deep breath. \"If anyone owes _anyone_ an apology, it's me! To him!\"\n\n* * *\n\n\u2014\n\nNaarden was wrong. Lightning struck twice; I failed the glucose tolerance test. In addition to epilepsy, I had reactive hypoglycemia. When I ate anything sweet, my blood sugar rose and then crashed. He sent me a letter with the details, saying that the test suggested I was pre-diabetic.\n\nI traveled to an appointment with Haase, my Philadelphia neurologist, who reviewed the results. He told me that the sugar crashes could be serving as a trigger for seizures, just like lack of sleep or alcohol. Haase instructed me to change my diet\u2014I could no longer eat or drink anything sweetened.\n\nI took the news in stride; choosing between syrup and seizures was easy. In fact, discovering this second medical problem excited me. Maybe this would be key to improved control.\n\nThat night at a rehearsal for _Pippin,_ I told friends about the finding. They asked if I was upset and were reassured when I said no. Later that evening, a student who walked the campus selling Dunkin' Donuts arrived in the theater. Absentmindedly, I purchased a cream-filled donut and brought it toward my mouth.\n\n\"Kurt, _no_!\" screamed Jocelyn Roberts, the _Pippin_ choreographer and Carl's new girlfriend. \"Don't eat that!\"\n\nI looked at the donut. _Sugar._ I had been so close to taking a bite, and I really wanted it. A cast member took it out of my hand and walked away eating the sweet snack.\n\nFor decades, I would crave that cream-filled donut.\n\n* * *\n\n\u2014\n\n_Pippin_ was a big success. On the last night, after the crowds left, I jumped off a chair and screamed, \" _Fuck you,_ Swarthmore!\" The celebratory reception of the musical boosted my prominence on campus. Swarthmore could never again label me as nonfunctional.\n\nThe number of seizures lessened throughout the second semester, but they never stopped. Around that time, I experienced the nighttime convulsion that led to my being buried in snow. After my rescue, which led to my screaming on the staircase as I stared at my injured hands, Franz turned up and brought me to my bedroom. My clothes were caked with ice and frozen urine, and I was trembling from the cold. Franz took off my pants, put me to bed, and covered me with a quilt. The next day, I woke on my bedroom floor. The room smelled from the urine that had melted overnight. Harry dropped by later, and the two of us followed my trail in the snow, eventually finding my books and glasses at the spot where I had dug myself out.\n\nA month later, I informed Carl and Franz I would not be living with them our senior year. Their relief was obvious. Harry and I planned to room together, but an official at the housing office refused to allow it; Harry would be a resident assistant, and so could not room with another student. Speaking only to me, she said I had guilt-tripped Harry into offering to share a double with me. When I told Harry about her comments, he exploded. I told him it didn't matter; I had experienced worse. Besides, I would just take a single on his hallway and, except at bedtime, would leave my door wide open whenever I was inside. I would be fine.\n\n* * *\n\n\u2014\n\nAs the end of junior year approached, Carl, Franz, and an assortment of their new friends planned a picnic. I wasn't invited\u2014no surprise. Even though I would not be living with them anymore, I believed the damage I'd caused to our friendship was irreparable.\n\nThe day of the event, the crowd gathered in our suite, then headed out. I was on my bed, reading a book. Carl returned and appeared in my doorway.\n\n\"Are you coming?\" he asked.\n\nI was confused. \"To what?\"\n\n\"To the picnic.\"\n\n\"I wasn't invited.\"\n\n\"Of _course_ you were invited,\" Carl protested.\n\nI laid the book on my chest. \"Carl. I wasn't invited.\"\n\nHe sighed, then paused.\n\n\"Okay,\" he said. \"You're right. You weren't invited. Now _I'm_ inviting you. Will you come?\"\n\nI smiled and sat up. \"Absolutely.\"\n\nAnd that was it. There was no further discussion about our troubled year, no recriminations. Apparently, my decision to move out had been effective. From that moment on, my friendship with Carl and Franz was restored. We remain close to this day.\n\n* * *\n\n\u2014\n\nAlthough I still experienced convulsions every two weeks or so, I managed to load up on classes in my senior year. By taking one extra credit each semester, I reached my four-year goal of graduating with my class.\n\nCarl invited me back to Sixteen Feet and reappointed me administrator. I joined the college newspaper to write pieces mostly about mismanagement of the college. To my astonishment, my best sources were school officials who knew I had kept quiet about what they had done to me.\n\nAs graduation neared, I visited the registrar. She was aware of my health problems, and I asked if I could attach a letter to my transcript explaining what had occurred. That way, if anyone ever reviewed my grades, the correspondence would clarify how sick I had been throughout college. She dug up my records and returned to the counter.\n\n\"I don't understand,\" she said.\n\n\"What?\"\n\n\"Why do you need a letter?\"\n\n\"Well, to explain\u2014\"\n\n\"Kurt,\" she interrupted, \"don't you know? You're graduating with academic distinction.\"\n\n* * *\n\n\u2014\n\nI ran to the office of Professor Al Bloom, who had advised me in my freshman year to ignore my grades and focus on understanding what I was taught. I excitedly told him the news.\n\n\"Not a surprise,\" he said. \"I always tell students, if you just worry about learning the material, the grades will come.\"\n\nI gave him an enormous hug.\n\n* * *\n\n\u2014\n\nTwo days before graduation, I visited Gil Stott, an associate provost with the reputation as one of the kindest people in the administration. He knew nothing about what had happened to me.\n\nI recounted the story of my dismissal, the legal violations, the fight to return. My family had been robbed of a semester of tuition, I said. The school's assertions about my inability to survive Swarthmore had been proven false: I was prominent in my class, graduating with distinction. I had made an impact, despite seizures. I had been thrown out on the basis of lies, discrimination, and ignorance. I wanted our money back.\n\nStott looked sympathetic. \"I'm sorry, but there's nothing that can be done about that,\" he said.\n\n\"Okay,\" I replied. \"But I need to make this clear.\"\n\nI stood, ready to walk out on this point. \"No matter what happens in the future, no matter what I become, I will never return here. I will, however, contribute ten dollars a year by deducting it from what Swarthmore owes me. Which means I'll be long dead before the school gets a dime.\"\n\n\"I'm sorry you feel that way,\" Stott said. \"And I'm sorry this happened to you.\"\n\nI choked up. Stott, uninvolved in my dismissal, was the only person at Swarthmore to have ever apologized.\n\n\"Thank you,\" I whispered before leaving the room.\n\n* * *\n\n\u2014\n\nA light sprinkle fell on the morning of graduation. The school announced that, for the first time in its history, ceremonies would move from the beautiful outdoor amphitheater to the ugly, hot gymnasium.\n\nThe rain stopped an hour before the scheduled time, but the school refused to reverse its position. Our class would break the more-than-a-century-old tradition. To me, this was another example of administrative incompetence, fortified by arrogance, and it triggered my focused rage.\n\nAs students lined up outside the gymnasium, I called for revolt. \"Don't walk in!\" I yelled. \"If we don't go, they can't have graduation. Demand we have it at the amphitheater. Don't let us be the ones who end the record.\"\n\nSomeone objected, worried we might get in trouble.\n\n\"What are they going to do?\" I asked. \"Throw us out?\"\n\nMy rabble rousing won some converts, and soon the new president, David Fraser, faced a potential uprising. He marched the class to the amphitheater, telling us to gather in front of the stage.\n\n\"So you understand, you don't graduate when you're handed your diploma,\" he informed the group. \"It's when the president announces that you are graduates.\"\n\nWith that, Fraser uttered the magic words. \"Congratulations,\" he said. \"You are all graduates of Swarthmore College.\"\n\nNow, he said, the class needed to return to the gymnasium, where families and friends waited. When the time came to receive our diplomas, we lined up as we had practiced doing the day before.\n\nThe moment arrived when I was the next to be called. I stood beside Janet Dickerson, who was there to direct each student onto the stage.\n\nI heard my name, and before I took a step, I looked her in the eye.\n\n\"I told you I'd make it,\" I said.\n\nShe shook my hand. \"Congratulations,\" she replied.\n\n* Little blocked a friendly doctor from sharing information with the health center, even if I instructed the physician to keep it secret. The center maintained a relationship with me since they were technically responsible for all students, despite the restrictions on me. The stringent federal medical privacy rules that exist now were not yet in place, and even under those, doctors can share information without patient authorization.\nAn audio letter from\n\nFRANZ PAASCHE, 1986\n\nIt's hard enough to excel at Swarthmore, but it's virtually inconceivable that someone could graduate with distinction while having so many seizures over a period of years. Somehow, you just had a tremendous will to continue your life and to continue to strive to do all the things you wanted.\n\nIt's funny how something that was so painful could at the same time lead to such rich emotional fulfillment and friendship. I guess that's something that I've known about you. I don't know, I guess I've told you that, because you've experienced such agony, I think you're also much more able to have joy. The depths and the heights go together.\n\nThat's how I think about the whole experience. I never use the word \"epilepsy.\" In describing what you have to someone else, I guess I use epilepsy, but when I think about you I never think of you as \"an epileptic\"; I never have and I don't think I ever will. I think of you as Kurt, who has this problem that came on suddenly and unfairly and that I'm sure you will conquer someday. \"Epilepsy\" just sounds so clinical and distant. What you have is very personal, and separate, and part of us.\n\n# CHAPTER TWENTY-FOUR\n\nBrightly colored pins dotted a map of the United States on my bedroom wall. Each represented a form of transportation: red for subways and trains, green for buses, and yellow for taxis. The results weren't encouraging. The main cities where I could work at a newspaper were Washington, D.C., New York, Chicago, and maybe Philadelphia. Yet getting hired in those locations, I thought, was possible only for journalists who cut their teeth in small towns, places where I would have to drive.\n\nIt was the summer of 1983. I shared a small house with three others in an Arlington, Virginia, neighborhood built after World War II. I had been hired for a three-month unpaid internship at the _Washington Monthly,_ a small political magazine housed at a brownstone in Adams Morgan, the center of Washington's Hispanic immigrant community. Fortunately, I could forgo a salary; the remaining savings from my telemarketing days could cover a few months of expenses.\n\nMy choice of the _Monthly_ was part of a plan I had pursued for more than a year. To obtain a reporting job after graduation, I would need a collection of news or magazine articles I wrote in the past; the best chance for getting into print would have been through a summer newspaper internship after my junior year, but no publication hired me. I'd also applied to be a volunteer at _Chicago Lawyer_ magazine that summer. The year before, while living with Carl in Chicago, I made contacts who could introduce me to staff at the magazine. During spring break of my junior year, I traveled to Chicago for summer job interviews and met with the editor, Rob Warden, but he rejected me as well. I thanked him for his time and, as I headed toward the door, saw a pile of advertisements on the typesetting machine. Somebody had to click away at the keyboard for hours so the ads could be printed in the magazine.\n\nNecessity gave me an idea, one that I knew might backfire. But if I'd learned anything from fighting Swarthmore, it was the value of pushing boundaries by taking risks.\n\nI accepted an unpaid summer job at a nonprofit in the same building as _Chicago Lawyer_. Without realizing that I might inflict the same damage as I had on Carl the previous summer, I persuaded my friend Harry\u2014who by then knew how to handle my seizures\u2014to try his luck in Chicago and share an apartment with me. Fortunately my health stayed mostly steady, with only four or five convulsions during those two and a half months.\n\nEvery weekday, I headed to work at the nonprofit. During lunch, when Warden wasn't around, I took the elevator downstairs to the magazine's office. I introduced myself to the managing editor and offered to typeset ads if he taught me how to use the machine. He never asked if I worked there, and within twenty minutes, I was banging away at the keyboard. I started arriving at the magazine early in the morning, leaving for my real job at 9:00 A.M., returning at lunch, heading back upstairs at 1:00 P.M., then typesetting after 5:00 P.M. until the office closed.\n\nI soon learned that working late in a city posed risks that had been unknown to me at school. One night, I woke up after a grand mal seizure when someone kicked me in the stomach. I heard voices, laughter, and taunts. A group of teenagers was beating me, enjoying the chance to terrify a defenseless person. I tried to see where I was. Pavement, in a lighted area. I heard a train. An \"L\" station. The teens stopped tormenting me when the train pulled in, perhaps fearing they would be caught. I stood, stumbled onto the train, and dropped into a seat. Later, an \"L\" employee woke me, possibly at the end of the line, and I took a taxi home. In the immediate aftermath, I felt nothing about the event; I just wanted to push it out of my mind, to ignore my vulnerability that the assault revealed. I finally discussed the attack many months later, and then only with a counselor. I at first waved it off as insignificant, just a consequence of living in a city. Only after he pressed me did my true feelings\u2014of violation, weakness, fear, embarrassment\u2014finally emerge.\n\nWeeks passed at _Chicago Lawyer_ with no one ever asking who I was or why I was there. The managing editor\u2014assuming I had been hired as an intern\u2014assigned me a story as a reward for my typesetting work. I reported and wrote a lengthy article. The night the editors were closing that issue of the magazine, Warden reviewed each story after they had been laid out for printing. He studied mine, remembered who I was, then looked toward the typesetter where I sat entering last-minute ads.\n\n\"Kurt! I told you that you couldn't work here!\" he shouted.\n\nI shrugged. \"Yeah, I know. I decided to ignore you.\"\n\nWarden shook his head. \"Goddamn it. That means you wrote this as a freelancer and not an intern. We have to pay you.\"\n\nI smiled at him.\n\nPause. \"Okay,\" he said. \"Now you're an intern. And I'm giving you a new assignment. And _this_ one doesn't pay.\"\n\n\"Fine by me.\" I chuckled.\n\nAs I'd hoped, my _Chicago Lawyer_ articles helped me land the _Washington Monthly_ internship after college. The magazine seemed a promising career launching pad: The founder, Charlie Peters, hired inexperienced young editors, most of whom went on to major publications such as _The Washington Post, The Atlantic,_ and _The New Republic_. I thought that if I worked hard at my internship, I'd have a chance of being hired as an editor, giving me entr\u00e9e to a newspaper in a city with mass transit.\n\nJust as at _Chicago Lawyer,_ boring chores at the _Monthly_ had been ignored. Letters and packages sat in piles in a makeshift mailroom, and I saw an opportunity. I arrived early every day and stayed late, opening letters, tossing out junk, and taking anything that looked useful to the editors. I fetched coffee and became something of an errand boy. I stayed at the office as much as I could, fearful of missing an opportunity for real work.\n\nOne day, I got my break. A friend of Peters had written an article about a politically connected bank, but editors found it weak. One of them, Jonathan Rowe, asked if I could beef up the story with additional reporting. I jumped on the assignment, digging through records at the Library of Congress and conducting phone interviews. Eventually, I returned to Rowe with my conclusion: The piece had missed a bigger story about banking regulation. Rowe asked if I would be willing to do the rewrite, and I eagerly agreed. My version had little relation to the original story, and Rowe thought I should have the byline.\n\nA few days later, I arrived at the office and heard a loud argument upstairs. Tim Noah, another _Monthly_ editor, explained that Peters's friend was angry and still wanted the byline.\n\n\"That's fine,\" I said. I would rather have the editors think they owed me a favor than just add another article to my clips.\n\nRowe edited the piece, asking me to stay nearby in case he had questions. Eventually, he switched to working on a small accompanying piece\u2014known as a sidebar\u2014that he had written. He removed his byline and typed in mine.\n\n\"Wait,\" I said. \"I didn't write that.\"\n\n\"Kurt, be quiet,\" Rowe replied amiably.\n\nThat was my first article after college graduation: The one I wrote did not have my byline; the one I didn't did.\n\n* * *\n\n\u2014\n\nI loved the _Monthly_. The best part was that no one cared about my epilepsy. If I had a seizure, people nearby followed the instructions I had discussed earlier with them, then they returned to their jobs. If I arrived at the office struggling from a recent seizure, the editors asked after my well-being, then told me to get to work. For the first time in years, I didn't fear someone might upend my life because of my health.\n\nAs my internship neared its end, I asked Peters to consider me for an editor position when one opened up. He wanted me to continue writing for the magazine, he said, but I could never be on staff. Finances were tight, and a longtime employee suffered chronic health problems; because of that, Peters often tussled with the company that provided group health coverage. If he hired me, the insurer could cancel the policy or raise rates beyond the magazine's budget. Given my preexisting condition, no company would sell me individual coverage that I could use to avoid being on the _Monthly_ 's group policy. Under my father's insurance with the medical school where he worked, I could retain coverage till the age of twenty-five, but I hoped my job would last longer than that. I would eventually need the _Monthly_ 's group insurance, and that could lead to everyone at the magazine losing their coverage. Charlie apologized for telling me that because of insurance, I could never be hired.\n\n\"That makes sense,\" I replied. \"Thanks for being honest.\"\n\nAfterward, I visited Rowe to discuss job prospects. He mentioned that he had previously worked for the Center for Study of Responsive Law, run by consumer advocate Ralph Nader. An old colleague had told Rowe that the group was looking for someone to write a book about state governments. Rowe promised to contact his friend and urge him to interview me for the position.\n\nThe prospect struck me as promising. Working as a consumer advocate was not a path to a newspaper job, but writing a book certainly could be.\n\n* * *\n\n\u2014\n\nIn recommending me for the job, Rowe never mentioned my health, and neither did I. Despite the Nader group's reputation as a fighter for the little guy, I trusted no one when it came to applying for work.\n\nOne of my first interviews for the job was with a young woman who chatted with me in her cubicle about my background. She asked how I would approach writing the book, and I gave a detailed response based on some intel from Rowe.\n\nThen a voice called out, \"Does anybody know anything about seizures?\"\n\nI stopped midsentence. \"I do,\" I shouted.\n\nI was brought outside, where an older man was having convulsions. This was only the second grand mal seizure I ever witnessed; I had been too frightened at Swarthmore to reveal my epilepsy when a kitchen worker needed help during his convulsions. Not this time.\n\nA passerby was pinning the man's shoulders down, and I told him to let go. Then I slipped off my jacket and slid it beneath the man's head before checking his pockets for a bottle of medicine or a medical-alert card. I looked up at the terrified faces in the crowd, expressions I recognized, and was surprised that they found something so minor to be so shocking.\n\nSomeone approached with a spoon to put in the man's mouth. I explained why that was unnecessary, and the onlookers relaxed. Eventually, the man woke up extremely disoriented. I explained what was going on and where he was. Two people helped me take him to the Nader office, where he gradually became more coherent. Soon he said he wanted to go home. I told the staffer who had been interviewing me that I would return in a few minutes; I wanted to accompany the man to make sure he was not heading out too quickly.\n\nWalking down the street on that sunny day, I asked if he wanted me to stay with him until he reached his destination. He declined but seemed uncomfortable. I told him not to feel embarrassed. I understood that emotion, I explained, because I also had seizures, but we had no reason for shame.\n\nWe reached the corner. He took my hand and squeezed it. \"We're both gonna be all right,\" he said.\n\nI watched him slowly cross the street, and for the first time, I believed that was true.\n\n* * *\n\n\u2014\n\nMy interviews with the Nader group continued for days. While in the office, I met other staffers and engaged them in conversation. One, named Russ, relayed the organization's history. I noticed many filing cabinets labeled with the words \"American Automobile Association.\" I asked Russ if someone had written a book about the AAA.\n\n\"Not really,\" he told me. There had been a report about a decade earlier, but it was fairly inconsequential. \"The AAA has been an obsession of Ralph's for years. But there's no story there, so it just keeps getting assigned to people they want to push into quitting.\"\n\nThat seemed cruel. _If they want to get rid of employees,_ I thought, _they should fire them, not waste their time on a pointless assignment._\n\n* * *\n\n\u2014\n\nMy final interview was with Nader's top aide, John Richard, and took place in a side area of the cluttered offices. Supposedly, the meeting was a formality. Again, I discussed how I would handle the book, and then he told me the salary. To a recent college graduate, the awful pay sounded like a fortune.\n\nRichard asked his last question. \"If we offered you the job, would you take it?\"\n\n\"Absolutely,\" I replied.\n\n_Wait a minute. Medical bills._\n\n\"Um, hold on. Does the job come with group health insurance?\"\n\nRichard gave me an odd look. \"Yes.\"\n\n\"Okay,\" I said. \"Then I'll take it.\"\n\nWe shook hands, and I left the building, ecstatic that I was a leading candidate for a position that ultimately could help launch a newspaper career.\n\n* * *\n\n\u2014\n\nThe next day, my home phone rang. On the line was John Richard calling with good news. \"We've decided to offer you the job,\" he said.\n\n\"That's great!\"\n\nHe again told me the salary. \"But, rather than putting you on a group policy, we're going to pay you five hundred dollars more so you can buy private insurance.\"\n\n_Oh God,_ I thought. _As soon as I'm off my parents' policy, I'll be uninsured._\n\nI was about to reply, then stopped. I'd screwed up the day before\u2014my question about group insurance had revealed I probably had a health problem. Now I had to tell the truth.\n\n\"I can't get private insurance, John.\"\n\n_\"Why not?\"_ he asked rapidly. He sounded almost proud to have trapped me into answering the question raised by my response the day before.\n\n\"You could have asked me yesterday,\" I answered. \"I have epilepsy, and my seizures are poorly controlled. No insurance company will sell me a policy. Most don't cover preexisting conditions or don't kick in to cover chronic health problems for almost a year.\"\n\nHe drilled me with questions about my epilepsy, each more pointed than the last. None were about how to handle a seizure; instead, he focused on the severity of my convulsions and how they might affect the staff.\n\nRichard suggested no solutions for the insurance problem, which concerned me. If I wasn't included on the group policy, my employment would always be tenuous. My job there could only last until my twenty-fifth birthday, the day I would be off my parents' insurance. I couldn't gamble that I would immediately find a job with group insurance at that exact time. I would have to walk away from the organization whenever I found an employer\u2014any employer\u2014with the insurance I needed to protect myself from the destruction of my finances, my credit, and my health.\n\nWhen he finished, I said I would see him in the morning. Afterward, I sat on the couch, worn-out. _This could be bad._\n\n* * *\n\n\u2014\n\nI strolled down a treelined street near Dupont Circle the next day, anxious but ready for what I hoped would still be my first day of work. When I arrived in the Nader offices, a woman approached.\n\n\"Hi, I'm Kurt Eichenwald. I'm starting here today.\"\n\n\"Hello, Kurt! Welcome aboard. Let me get you set up.\"\n\nHer bright smile relieved me. She gave me some forms to fill out, then handed me keys for the building and office doors.\n\n\"I'm sorry. We don't have much room,\" she said. \"There's a cubicle about to open, but until then all I have is a storage area.\"\n\nShe showed me the space. There was a desk and a phone, more than enough for me to do the job. \"This is great,\" I said.\n\n\"Well, I'll move you to the better spot as soon as it's available.\"\n\nShe told me where to find office supplies, wished me luck, and headed out. I fetched a pen and a yellow pad so I could get to work. My panic had been for nothing. _I have to stop being so easily frightened,_ I thought.\n\nOver the next hour, a few staff members dropped in to welcome me to the organization. Then John Richard appeared.\n\n\"Kurt, could I speak with you?\"\n\n\"Sure,\" I said. I followed him across the office to a spot where we could talk alone.\n\n\"We reviewed your r\u00e9sum\u00e9 again, and we're worried you might not actually have enough experience to write a book...\" he began.\n\n_Oh God. Here it comes._\n\n\"...so we think it's smarter to give you a freelance assignment, then decide if you're up to the book.\"\n\n\"I don't understand,\" I said. \"You have clips of my freelance articles. What is one more going to show?\"\n\n\"You haven't written anything for us,\" Richard said. \"We don't know how much of your articles was written by you and how much was the editors.\"\n\nI protested\u2014by that standard, no one could be hired without first taking a freelance assignment for the Nader group. But I quickly gave up. _What kind of outfit,_ I asked myself, _would hire someone after weeks of interviews, then take away the job a day after discovering the new employee has a chronic health condition?_ They had known everything about me when they offered me the job\u2014everything except my epilepsy. This wasn't about skills.\n\nRichard trotted out conditions: I was off staff with no salary. Instead I would be paid five hundred dollars when the article was published. Plus, I was forbidden from working in the offices.\n\nThe last rule hurt the most. Just like Swarthmore, the Nader group wanted me out of sight. Still, I masked my disappointment. I had learned from being thrown out of school: Gather information, assess, then plan a response.\n\n\"Okay,\" I replied. \"What's the assignment?\"\n\n\"It's something that's important to Ralph,\" Richard said. \"We want you to investigate the American Automobile Association.\"\n\n_Say nothing._ I remembered Russ's words: Everyone knew there was no AAA story. That was the assignment given to anyone they wanted to force out.\n\nI accepted the project and gathered my things to leave. As I walked onto the street, I shoved my hand into my pocket: Yes, I still had the keys I had been given that morning. I remembered the lesson from Health and Human Services. I would ignore Richard; instead, I would return in the morning to occupy the Nader offices every workday, for as long as I could. If they wanted to get rid of me, they'd have to throw me out.\n\n* * *\n\n\u2014\n\nThe next day, after using my keys to let myself into the offices, I hurried to the storage area where I had set up shop, hoping to avoid Richard's watchful eye. The spot was perfect: It held filing cabinets stuffed with more than a decade's worth of reporting about the AAA. I opened the top drawer of one cabinet and pulled out some records.\n\nI had a plan, driven by my rage. If Richard ordered me to leave, he would have to explain his logic for denying me access to the AAA documents. Of course, I knew there was no AAA story in those files. I had a different idea. I would give them an article, but not the one they might expect.\n\nMy strategy for fighting against discrimination had evolved. Now if someone tried to deny me my rights, I would strike back hard. I expected\u2014or at least hoped\u2014that my plan would teach the Nader organization a very rough lesson.\n\n* * *\n\n\u2014\n\nI contacted Rowe at the _Washington Monthly_ and told him what was happening; I had no doubt Richard was trying to drive me out because of my health problems. Rowe insisted it must be a misunderstanding and advised I speak to Nader directly.\n\nDays passed with nobody ordering me out of the office. Either Richard didn't know I was there, or he wanted to avoid a confrontation. Eventually, I saw Nader arrive in the office. I approached him and described how I had been hired to write the book, only to have my job changed after I revealed my epilepsy. I watched him as I spoke; he didn't look at me.\n\n\"Talk to John Richard,\" he said as he walked away. \"He'll take care of it.\"\n\nSometime later, the phone rang at my desk. On the line was Sidney Wolfe, a physician sometimes called \"Ralph Nader's doctor\" who headed the Health Research Group, a Nader organization. I braced for another discussion about my health.\n\nWolfe's questions were reasonable and informed, not like the ones Richard had posed. After a few minutes, he wrapped up the call. \"Ralph's just being a hypochondriac,\" he said.\n\nI hung up more anxious than before. Now I had reason to believe the aversion to my seizures might be from Nader himself. I had to find a new job and get out of there fast.\n\n* * *\n\n\u2014\n\nAbout a month earlier, I'd attended a party at the invitation of a _Washington Monthly_ editor _._ The event had been a soir\u00e9e of the capital's political and media power players. I introduced myself to some people, and now I needed those contacts to help me find a new employer before I turned in my AAA article. So I stayed home one day, phoning everyone I had run into at the get-together. I called former _Monthly_ editors, such as Michael Kinsley, who ran _The New Republic._ I received invitations to write freelance articles for various magazines but no job offers.\n\nThen, some luck. I reached a young journalist named Tina Rosenberg whom I had met at the party. She wrote for many magazines and struck me as brilliant. To my surprise, she remembered me. I told her I was in a bad situation and needed a job.\n\n\"Actually,\" she said, \"I'm about to quit mine.\"\n\nShe had joined the speech-writing staff of Walter Mondale's presidential campaign, she told me, but hated the work. She was a journalist, not an advocate, and wanted to move on. The chief speech writer, Ross Brown, needed someone for Rosenberg's slot, and she offered to pass on my r\u00e9sum\u00e9.\n\nWorking as a speech writer seemed like a step backward. Then again, it would get me out of the Nader organization and possibly grow my contacts in journalism. My current situation was untenable, and the longer I stayed, the more my career would veer off track. Any option was better than that.\n\n* * *\n\n\u2014\n\nI met Ross Brown a few days later at Mondale campaign headquarters in Georgetown. She radiated the demeanor of a political junkie\u2014stressed, with a rat-a-tat-tat speaking style but friendly and no-nonsense. After I met with one other person on the staff, Brown told me the job was mine. This time, though, I wasn't going to accept immediately.\n\n\"Thank you,\" I said. \"Now I want you to withdraw your job offer.\"\n\nA puzzled look. \"What?\"\n\n\"Withdraw your offer. I have something to tell you. In the past, after hearing this, some people have chosen to push me out. I'd rather be turned down for the job than work in a place where I'm not wanted.\"\n\n\"Okay,\" she said hesitantly. \"The job offer is withdrawn.\"\n\n\"Thanks. I have epilepsy. It's poorly controlled, and I still have grand mal seizures. That means that I might have convulsions in the office.\"\n\nBrown glanced toward the wall in front of her desk, appearing to be deep in thought. Finally she spoke. \"I don't want to be the kind of person this matters to,\" she said.\n\n\"Then don't be,\" I replied.\n\nShe nodded and turned to face me again. \"I'm not,\" she said decisively. \"The job is yours if you want it.\"\n\n* * *\n\n\u2014\n\nI completed my AAA article. The Nader group wanted something explosive, and I delivered just that.\n\nRather than exposing wrongdoing at the AAA, the piece detailed the secrets behind Nader's obsession with the auto club, based on the consumer advocacy group's own files. I found documents dating back to 1969 and 1970 in which Nader demanded that AAA officials work with him as consumer advocates for car buyers. The letter Nader had received in response was, to say the least, not complimentary. The records showed that AAA's missive and its refusal to join his cause had enraged Nader; he'd ordered an investigation of the group, assembling a twelve-member team to dig up dirt.\n\nNader publicly announced the project in 1971, and the AAA agreed to cooperate. The internal records showed that the Nader researchers planned to feign objectivity and utilize the auto club's assistance to advance preconceived attacks. While there was no indication Nader knew, one investigator stole a pile of the AAA documents out of its headquarters. Nader followed up weeks later with a demand that the association release all of its financial records, and soon, AAA ended its cooperation out of a belief that they were being set up. In August 1971, Nader announced his report would be ready by winter and demanded to speak at the AAA annual meeting the following month. After the association refused this demand, the investigators picketed the conference while the AAA president assailed Nader for harming the cause of public safety. That angered Nader more. The report promised for the winter of 1972 took three years, and it landed virtually unnoticed. The investigators found almost nothing. Nader demanded more digging.\n\nMy article chronicled these events as they'd played out over more than a decade, casting the undertaking as a relentless, biased pursuit of AAA primarily because it had insulted Nader personally. In the last paragraphs, I disclosed that this was my final day working for Nader and that I had been hired as a speech writer for Mondale's presidential campaign. I included my new office phone number, where they could reach me for questions.\n\nOnce I finished the final draft, I slid the article into an envelope labeled for John Richard, dropped it at the front desk, and walked out the door for the last time.\n\nA few weeks later, a thousand-dollar check from the Nader group arrived at my home, twice the amount the group had offered. By paying that money, the Center for Study of Responsive Law had purchased the rights to my article, meaning I was not allowed to sell it anywhere else.\n\nThe story was never published.\nA written letter from\n\nELVA EICHENWALD, 1983\n\nDelivered weeks after I was ordered to leave the Nader office\n\nIf you can, let all of the pain of the last few weeks go. Try to start over. Evaluate for yourself, take your destiny in your own hands. Without risk, we cannot live life, only exist. We all must accept that, and then you get on with living your life to the fullest of your potential. You could have chosen the easiest way out by choosing to live here at home, a non-productive human being. I could have tried to force you to stay\u2014wrapped you in cotton batting\u2014and kept you safe. However, we both chose the risk of your living a full and productive life. Was there a choice? Again, Kurt, I am sorry for all the confusion and hurt. Now get on with it! I love you always.\nAn audio letter from\n\nFRANZ PAASCHE, 1986\n\nI remember my personal compassion and anger at what had happened with your health and I remember the pain that comes from that. Then I watched a whole other thing, which is this whole other pain that can come from people that don't understand. You were such a bright, capable person going through those problems, problems with insurance and people screwing around with you. It just made me angry. It was just incredibly ironic that these liberal institutions\u2014and you were working for solidly liberal, politically correct institutions with politically correct people. In the abstract they could be compassionate about minorities, and the oppressed, and the handicapped, but when they were faced with you straight on, with somebody who had a problem, and it wasn't so much an abstract societal responsibility but their responsibility to do something to make it livable for you at their job, to ensure you some kind of security through insurance, people just didn't measure up. It's very ironic that people who say one thing politically can't deliver.\n\n# CHAPTER TWENTY-FIVE\n\nThe streets of Washington around Union Station bustled with pedestrians and traffic. I watched the commotion through a window at a table in The Dubliner, an Irish pub favored by lobbyists, politicians, and journalists. When I arrived, the greeter urged me to sit at the bar; during busy lunchtimes, they likely preferred holding tables for parties of two or more. But I declined. Barstools scared me\u2014collapsing in a seizure from that height could cause a serious injury when I hit the floor.\n\nA waiter placed my hamburger and fries in front of me, and although I was hungry, I felt in no mood to eat. My job at the Mondale campaign started the following week, and I had decided to spend the day sightseeing. I'd passed men and women dashing about in power clothes, rushing to important jobs or critical meetings. After hours of meandering, I realized something was wrong\u2014I was incomplete. I had wandered into The Dubliner not so much for a meal as to think.\n\nI sipped my diet soda. Suddenly, that night at Northwestern when I had planned my life flashed into my mind, accompanied by an unformed sense that I had lost my focus.\n\nAs my food cooled, I revisited the questions I had contemplated during those hours. What did I want from life? What was I fighting for? I watched people walk by a window near me, many of them probably so caught up in work that they barely noticed the world around them. _Any of us could be dead by morning._ If this was our last day, would we have fully lived our lives? Or would we all have frittered our time away focused on the inconsequential?\n\n_Working at a newspaper isn't enough._ That was just a job. It was important, but it didn't _matter._ We live, we die, and somebody else takes over our spot at the office. I accomplished my goal of graduating with my class, but building a life based on employment seemed a shallow self-betrayal. I had envisioned so much more at Northwestern but had since ignored most of it. If I became a newspaper reporter, would I feel complete? If I still had seizures, would I have nothing else of value, no objective to pursue to prevent my epilepsy from assuming a vast role in my day-to-day existence?\n\nI needed a more important purpose. I stared at the empty seat across the table. Then he appeared in my imagination. A young man, healthy and strong, happy with life. He was my someday son, a child from my marriage to a woman I'd never met.\n\nA new touchstone emerged, one within my control. I made my plans, establishing a new goal to take the place of my obsession about graduating with my class. In a few decades, I decided, I would return to The Dubliner with my oldest child. My wife and I would have dedicated ourselves to raising our children to be good people. That would be the most important thing in my life: my family, not my job. And if I managed to reach that future, if I never gave up, I would be at this same table, in the same chair, and he would sit directly across from me.\n\nAnd then I would tell him I was proud of him.\n\n* * *\n\n\u2014\n\nAt the Mondale campaign, I specialized in sermons. Otherwise, as the junior-most of three speech writers, I just helped out the others and was lucky if I wrote a sentence or two for Mondale's important appearances. But his talks at church services somehow fell to me.\n\nSpeech writing is nothing like what people imagine. We were no Svengalis, spinning words that Mondale slavishly recited. We wrote, then listened to tapes of his appearances to learn which phrases he liked. But the stump speech rarely changed; mostly we put new powder on the same old face.\n\nI was appointed liaison to the travel and schedule meetings, putting me at the heart of the operation. I was a nobody, the cat watching the queen, but from my perch against the wall, I saw the inner workings of a presidential campaign. I listened as officials planned articles for the next day's newspapers based on leaks and \"exclusives\" that were actually just strategic manipulations by the staff. Without fail, newspapers carried stories planned at that meeting, including \"dirt\" whispered to reporters about fictitious infighting, fed to provide the designated leakers with future credibility.\n\nAnything could be faked, and reporters often fell for it. Mondale gave a speech where he claimed to be so mad about a development that he was tossing aside his prepared remarks. The news reported Mondale's angry action. In fact, the statement that he was no longer going to use his prewritten speech was part of the prewritten speech.\n\nThe most bizarre part of the job, though, was joke meetings where we crafted humorous lines for Mondale. From those, I learned how history can be manipulated. I was on a joke-meeting conference call when someone came up with a hilarious zinger. Mondale recited the line that day to wide acclaim. (That was the first time I realized that reporters cared more about good jokes than about important policy speeches.) Later, a campaign official who had not participated in the call took credit for the joke, a false claim that was reported as fact in a history of the 1984 election.\n\nThe staff in my section of the headquarters knew about my seizures. One day I woke up on the floor of the research room after a convulsion. I feared this would be the day I was fired, but nothing changed. It was a relief to discover that the reaction resembled the one I had seen at the _Washington Monthly_ and not what I had experienced at Nader's group.\n\nFor the most part, though, I never discussed my history with colleagues. If I wanted to avoid being considered \"the epileptic\" rather than a worker with epilepsy, I had to treat my condition with the same nonchalance I sought from my coworkers.\n\nI broke that rule for the first time with a young staffer assigned to women's issues, who had been talking to me about the emotional impact on an individual from discrimination. I described my belief that, while people should fight bias they face in their lives, they must avoid letting it dominate them. She responded with annoyance, saying that, as a white male, I could never understand the corrosive pain inflicted by prejudice. Without a word, I stood up and shut the door.\n\n\"Let me tell you why I understand discrimination,\" I began.\n\nI spoke for twenty minutes\u2014I'd been thrown out of school, lost a job, lost friends, known I could be fired and blackballed from future employment if I fought back. By the time I finished, the certainty in her expression gave way to a look of embarrassment.\n\nShe apologized. \"I made assumptions I shouldn't have.\"\n\n\"That's okay,\" I replied. But now, I said, she should reconsider my point: If people subjected to discrimination allowed it to consume them, they had surrendered control of their lives. Fight back, sure, but never forget to move forward.\n\n* * *\n\n\u2014\n\nOne afternoon at about three o'clock, Franz flagged down a cab on Capitol Hill. Both of us had ended up in Washington, both in political jobs. He worked on the staff of New York's senior senator, Patrick Moynihan, and remained on my medical-alert card as a contact. He'd received a phone call a few minutes earlier from someone at the Mondale campaign who sounded terrified. I had gone into convulsions, and the person on the line wanted to know if Franz could come to the campaign's Georgetown office to help.\n\nThe cab dropped Franz off at the headquarters on Wisconsin Avenue. He had been told to head to the back, and as he walked, he was surprised to see every office was empty. Finally, he saw me asleep on the floor, partly under a table, surrounded by my frightened coworkers. He noticed some nickels, dimes, and quarters lying beside me; he figured they fell out of my pocket during the seizure. He moved the table away, but even with him taking charge, the fear in everyone's face had not eased. Time for a joke to help everybody calm down. He started scooping the coins off the floor.\n\n\"You know,\" he said. \"We have a free change rule: Anything that falls out of his pockets, you get to keep.\"\n\nEveryone laughed and seemed to relax. As always, humor defused the tense situation.\n\n\"It's all right,\" Franz said. \"There's no problem, he's fine.\"\n\nThanks to the joke, everyone believed him.\n\n* * *\n\n\u2014\n\nBy spring 1984, my interest in speech writing had waned. I made a terrible advocate, often finding myself typing things I didn't believe. Once I played what I assumed was a recording of Mondale and thought he made a lot of strong points. Later, I read the cassette label\u2014I had been listening to Senator John Glenn, one of my boss's opponents for the nomination.\n\nThen there was health insurance. The campaign provided me with none. While I had two years left before I would age out of my parents' policy, the fear of losing coverage continued to weigh on me. I often awoke in emergency rooms where I had racked up huge bills. Uninsured, I could be bankrupt in months; even if I later found group insurance, I would be unable to obtain a mortgage because of a history of bad credit. If I didn't solve this problem by June 1986, I might never own a house.\n\nI announced my plans to leave the campaign and asked a few friends for leads on journalism jobs. A man on the scheduling desk told me that television networks were hiring for the elections, and he gave me contact information for a producer at the CBS News Washington bureau.\n\nI telephoned the next day, but the producer told me she had nothing available. She suggested that instead I should contact Wally Chalmers, the political editor at the CBS Election and Survey Unit in New York, to find out if there were jobs there.\n\nWhen I reached Chalmers, I told him that the producer I just contacted had recommended I call him. I purposely used the producer's prominent name and the word \"recommended.\" I hoped Chalmers wouldn't ask me if the producer was actually recommending me or if she even knew who I was.\n\nChalmers also told me he had no jobs available. Still, he offered to meet with me at the CBS offices at West Fifty-seventh Street the next time I was in New York.\n\n\"Actually,\" I said, \"I'm going to be there the day after tomorrow.\"\n\n\"Don't make a special trip. Like I said, I don't have anything available.\"\n\n\"No, seriously, I'm scheduled to be in New York then,\" I replied. \"Do you have time to get together?\"\n\n\"Sure.\" We scheduled a meeting in his office.\n\nAfter hanging up, I called Amtrak. I had lied\u2014I had no travel plans. But Chalmers was a good contact. I needed to figure out how to get to New York with the little money I had.\n\n* * *\n\n\u2014\n\nThe political unit was housed in a basement across from the flagship CBS News headquarters. I liked Chalmers right away. A longtime political operative, he had the smarts of a tough journalist but the demeanor of a good boss.\n\nAfter about twenty minutes, he told me a job might open soon and invited me to stay in touch. I walked the mile and a half to Penn Station, where I caught a train back to Washington. I planned to call Chalmers every ten days\u2014enough to make sure he didn't forget me, not so much that I would be annoying.\n\n* * *\n\n\u2014\n\nFor the second time since graduation, I took several days off. One afternoon, I became aware I was sitting on my couch. MTV blared on a television in the corner. Time had passed, and I didn't know how much. But there had been no seizure. I had just been drifting, disconnected from everything around me. No one else was in the small house. My thoughts were blank.\n\nWithout warning, I burst into tears, and my weeping rapidly escalated into a wail. Despondency overwhelmed me, despondency over all my struggles, my concerns about being uninsured, the ever-present fear of injury, the barriers I faced because of my epilepsy that others might never imagine.\n\n_I want to shop in a grocery store by myself,_ I thought. I _ached_ to shop for food by myself. The nearest store was more than a mile away. I had tried walking there a few times, but after one trip, I regained consciousness in an emergency room. I found my grocery receipt in my pocket; the food had been left wherever I had fallen. My meal budget was gone. _I can't even go grocery shopping, and I want to be a journalist?_\n\nAnd I could die. _What if I died?_ Weeks before, I'd awoken in a hospital, feeling weak and lost. A nurse told me I was in an Arlington orthopedic facility, which confused me more.* A doctor explained I had been found seizing and the convulsions wouldn't stop. An emergency crew had loaded me with IV Valium. He asked if I knew the meaning of status epilepticus. I did\u2014a severe, long seizure that can end in death. He questioned whether I had been drinking or using drugs; I never did. Then he asked if I had missed my medicine. I didn't know. _I couldn't know._\n\nI rocked on my couch, covering my eyes with my palms as I sobbed. \"Why did this happen to me?\" I gasped. \"Why me? _Why me?_ \"\n\nThis was the first time in my memory that I experienced unprovoked self-pity. I realized I was losing control. I stood.\n\n\"Stop it!\" I yelled. \"You're better! Get over it!\"\n\nI dug through my wallet and found the number for Talbot, my old rehabilitative psychologist. I had maintained contact with him for years, and I needed him now. He called back that same day. I explained that I had experienced an emotional breakdown without warning, over events that were months and years old. Okay, status epilepticus was a big deal. But losing my groceries?\n\n\"I'm so much better than I was when we met,\" I said. \"Why am I falling apart now?\"\n\n\"Because now you can,\" he replied. \"You finally have a chance to take off your armor. And there are a lot of scars underneath you're only now beginning to face.\"\n\nWe spoke for an hour. By the end of our call, I understood that emotional pain I had buried for years was finally beginning to surface. That infuriated me; I didn't want that.\n\n* * *\n\n\u2014\n\nAfter four weeks of pestering, Chalmers called to let me know there was a one-month position available in the polling unit. I accepted the job before he told me the pay.\n\nThis was real journalism. I just had to accept every assignment, every chore, leave the office last, and get there first. I knew people in Manhattan who would rent me an inexpensive room in a brownstone. There were dangers\u2014the bedroom was on the fourth floor of the walk-up\u2014but I couldn't let fear dictate my life.\n\nI moved to New York in June. During my orientation, I was thrilled when a security officer handed me an identification card. For the first time, my name and photograph appeared on a record for a major national news organization. Then Chalmers escorted me to a dreary area that handled polling. Before he left, I asked if I could speak with him in his office.\n\nHe sat at his desk and put his arms behind his head. \"What's up?\"\n\nI glanced at the desktop computer to his right, embarrassed. I felt like I had deceived him.\n\n\"Listen, if you want me to leave, it's okay,\" I said.\n\n\"Why would I want you to leave?\"\n\n\"Well,\" I replied, \"I have epilepsy, and my convulsions are not under control. There's a chance I could have one in the office, and maybe people won't be comfortable with that.\"\n\n\"What do we need to do if you have a seizure?\"\n\nI gave the usual instructions and assured him that, unless a seizure didn't stop, there was no need to call an ambulance.\n\nHe paused. \"That's why you thought I'd want you to leave?\"\n\n\"Well, yeah.\"\n\nChalmers rolled his eyes. \"Get to work.\"\n\n* * *\n\n\u2014\n\nI don't remember my job with the polling unit because I received a promotion two days later. A group of journalists in the political unit were writing a handbook about the Democratic National Convention in San Francisco, and with the event just a month away, a lot of reporting and writing needed to be done quickly. Chalmers asked me to help.\n\nHe introduced me to the other writers, most of whom worked in a single large office. There was no room left there, so Chalmers posted me at a nearby cubicle. He cautioned: This was not a full-time job, just a one-month stint. After the Democratic Convention, I might be out.\n\nSince now I would be interacting with the writers, Chalmers asked for permission to let others know about my seizures. He wanted them to have the same instructions I had given him and to let them know that they didn't need to be frightened. I thanked him for his consideration, and we went to the large office to discuss epilepsy with the staff; people asked plenty of questions, but no one seemed concerned.\n\nI took on every assignment, staying nights and weekends to make myself seem irreplaceable. One Friday, I heard Chalmers sounding upset. He had forgotten to assign a book that was supposed to be a district-by-district analysis of voters, a huge project due in three days. Worse, that weekend was his daughter's fourth birthday, and the family had plans.\n\n\"Don't worry,\" I said. \"I'll do the book.\"\n\n\"You don't even know where the data is. And this whole thing has to be pulled together by Monday.\"\n\n\"Show me the data and what needs to be done. I'll take care of it. Celebrate your daughter's birthday.\"\n\nChalmers thanked me for taking such a tedious assignment, having no idea I was bursting with excitement. As I learned when I helped the _Washington Monthly_ editors by surrendering my byline, professionals remember favors. I doubted Chalmers would let me go in a few weeks after I'd gotten him out of this jam.\n\nThat night, I went home to grab my bottles of Dilantin and Mysoline and brought them back to the office. When I needed sleep, I saved travel time by sacking out on a couch. On Monday morning, I sent the digital version of the book to Chalmers's computer. I taped a note to his monitor telling him I had delivered the book and was taking the day off.\n\n* * *\n\n\u2014\n\nWhen the final copy of the Democratic National Convention handbook arrived at the CBS offices, I was sure my job was safe for another month. I wrote more than anyone else. At least one of my coworkers found my relentless eagerness annoying, but no matter. It was the only advantage I could use to offset my obstacles in the job market. As I'd hoped, Chalmers asked me to stay on through the election.\n\nI enjoyed my colleagues' company, and we often grabbed lunch together at the CBS commissary. Major seizures occurred at the office maybe once a month, but everyone learned to treat them as just a distraction or even a source of humor. Once I awoke in a CBS health center with another writer sitting beside me. He merrily told me the news: I had experienced convulsions in the cafeteria and landed on Lesley Stahl, then the host of _Face the Nation,_ the highly rated Sunday news show.\n\n\"Oh God,\" I slurred. \"I fell on her?\"\n\nMy friend laughed. \"Close enough.\"\n\n\"Did I hurt her?\"\n\n\"You didn't _really_ land on her. Like I said, close enough.\"\n\n\"What did she do?\" I almost didn't want to know.\n\n\"She was _totally_ cool about it. She was talking with a bunch of people when it happened. They just picked up their table and moved it out of the way, sat back down, and started talking again.\"\n\nI covered my face with my hand. Then I laughed.\n\n* * *\n\n\u2014\n\nWhile working on the GOP convention handbook, I discovered Republicans were dodging a potential showdown during the national meeting. Quietly, they were assembling large parts of their party platform at town hall meetings around the country to avoid arguments between different factions in front of the press. The story didn't strike me as important, so I was surprised when Chalmers told me later that it would have its own section in the handbook.\n\nShortly after the convention, I received a call from Martin Plissner, the legendary CBS executive political director. He lavished praise on my little scoop, then dropped a bombshell.\n\n\"I'd like you to come to Washington to be my assistant,\" he said.\n\nPlissner explained that everyone who held that job went on to big things at CBS; one of his former assistants was a producer on Capitol Hill. I was taken aback. I had never planned for this. Plissner sounded surprised when I asked if I could take a few days to think about it.\n\nChalmers heard about Plissner's call and dropped by to congratulate me. I thanked him but didn't mention my first inclination was to reject the offer.\n\nI replayed that night at Northwestern hospital. That person I'd been\u2014facing death, experiencing scores of seizures every month, unknowingly about to enter new battles\u2014had set markers. There had been times he almost surrendered\u2014considering suicide when facing the injuries, fear, and uncertainty\u2014but he came back, dedicated to a vision of his life. He\u2014I\u2014had committed to becoming a newspaper reporter.\n\nThe person I was had made a promise, and my progress was due to his willingness to forge ahead despite the challenges. I had betrayed him once before by forgetting about everything in his plan other than my career. I was not going to do it again.\n\nThe next day, I telephoned Plissner. I told him I appreciated the offer but that I would have to pass. I wanted to work in newspapers.\n\n* * *\n\n\u2014\n\nMost of my CBS colleagues thought turning down Plissner had been foolish. There was no newspaper job waiting; so long as my seizures continued, I still had to start in a major metropolitan area with mass transit, a farfetched plan.\n\nOne of my coworkers, Joan Kelly, recognized that for me to have rejected Plissner, my commitment to newspapers had to be more than preference. Kelly had been supportive since we met and often encouraged me to submit an article to _The New York Times Magazine_ about my experience living with epilepsy. A _Times_ reporter named Nan Robertson had written a piece on her experiences with toxic shock syndrome and educated the country about that little-understood condition. I could do the same for epilepsy, Kelly said.\n\nRepeatedly, I rejected her suggestion.\n\n\"Joan, if I announce this to the world, I might never work again,\" I said. \"Not every company is like CBS.\"\n\nOne day, she offered a suggestion: She knew a senior editor at the _Times._ I could speak to him, explain my challenges, and ask for advice. He knew plenty of people, Kelly explained. Maybe he could guide me to a path that would lead to a reporter's job.\n\n* * *\n\n\u2014\n\nA week later, traffic clogged West Forty-third Street as I walked beside the Gothic building that housed the world's most famous newspaper. I entered through a revolving door and told security I was scheduled to meet with an editor. The guard made a phone call and told me to wait. Just standing in the lobby awed and intimidated me.\n\nAbout ten minutes later, the editor arrived and escorted me to the elevators. He pushed the button for the fourth floor, disappointing me\u2014I knew the main newsroom was on the third and had hoped to see it. He brought me to his desk and pulled up a chair for me. Then he sat and asked why I was there.\n\nI explained that I wanted to work in newspapers but had been told many times I would have to start in a small town\u2014an impossibility. I had poorly controlled epilepsy, which meant I couldn't drive. So I had to work in a city with mass transit, which meant starting at a major newspaper.\n\n\"That's it,\" I said. \"Do you have any ideas how I can work around this?\"\n\nHe leaned back and stared at the ceiling.\n\n\"Woof,\" he said. \"That's a tough one.\" Quickly, he sat up. \"I'd give up if I were you.\"\n\nI didn't know how to respond. I kept my anger under control as we spoke for a few more minutes, then thanked him for his time. As I walked toward the elevator, I boiled.\n\n_Screw you!_ I thought. What if I was weak? What if I believed this man\u2014a big name at a big publication\u2014and gave up because my goals were tough to achieve?\n\nA minute later, I pushed through the revolving door out onto Forty-third Street, vowing to prove this _Times_ editor was wrong.\n\n* * *\n\n\u2014\n\nThe next afternoon, the editor phoned me at CBS.\n\n\"I've been thinking,\" he said. \"The _Times_ has a writing program for clerks. It's a lousy job, but it can be a way onto the paper.\"\n\nLousy or not, I didn't care. \"It sounds great.\"\n\n\"Actually, both Scotty Reston and Rick Smith have clerks in Washington, and the ones who work for them tend to get hired as reporters.\"\n\nI recognized neither name. \"I'm sorry, who?\"\n\n\"James Reston and Hedrick Smith.\"\n\n\"Oh. Sorry.\" That was embarrassing. They were giants in journalism. Reston, a columnist, previously had been executive editor and Washington bureau chief. Smith, the chief Washington correspondent, had also run the bureau. Each had won a Pulitzer Prize.\n\nI tried to calculate the best approach. \"Can I say you recommended I contact them?\"\n\n\"Sure.\"\n\n* * *\n\n\u2014\n\nI sent letters to both men. I told Reston the truth about my health struggles, hoping to convey toughness. I decided not to gamble with Smith and sent a typical application.\n\nEach granted me an interview. The Reston meeting was a disaster; my anxiety, coupled with discomfort about his knowledge of my epilepsy, undermined my attempts to appear strong and confident. I handled the interview with Smith much better, since he knew nothing about my health.\n\nTo my astonishment, Smith offered me the job a day later. I would be answering phones, opening mail, conducting research, and occasionally helping with reporting. In fact, he said, he wanted me to gather information from a government agency right away. I made a call from my bedroom.\n\n\"Hi,\" I began, \"this is Kurt Eichenwald from _The New York Times_...\"\n\nI stopped for a second. I could not believe I had just uttered those words.\n\n* I had been admitted to the National Hospital for Orthopaedics and Rehabilitation, which, despite its name, maintained an emergency room and treated a wide range of illnesses and chronic conditions.\nAn audio diary from\n\nKURT EICHENWALD, 1985\n\nI don't...[pause]. How to start? I got the job. Rick Smith hired me. Give me a minute [pause]. I can't believe I'm still telling myself when I'm taking breaks. I should just turn off the recorder. Okay, I'm turning off the recorder for a second...Okay, back. I'm sorry. I keep moving between crying and screaming. Not upset screaming, excited. I just can't believe it. I have a chance. Some people never even get that. I have a chance.\nAn audio letter from\n\nFRANZ PAASCHE, 1986\n\nWith that seizure at Mondale's, when I found out you still had my name on your medical card, it was kind of a funny awareness. In some ways, I feel like we're attached even though I'm not your roommate anymore. But it reminded me how constant it is for you, how your worries never really go away, and your responsibility for yourself and for the people around you is always there. It's kind of funny, but it's so bizarre that someone who has epilepsy has, beyond having to deal with this condition, all of a sudden has responsibility for all these other people because you don't want to freak them out, or scare them, or whatever. It's just so bizarre that you have to carry that responsibility at the same time.\n\n# CHAPTER TWENTY-SIX\n\nBlood seeped through the back of my jeans, staining my sheets. I had awakened in my bedroom at a Northwest Washington shared house but couldn't recall how I got there. I remembered scattered images\u2014nighttime, a bridge, a McDonald's sign, metallic-blue something. A man whose voice I didn't recognize putting me in a car. Pain, flashes, blackness. I assumed I had been taken to an emergency room, where someone had called a friend listed on my medical-alert card. But almost everything was blank.\n\nI looked at my right palm. There was blood from the sheets I had touched. Panicked, I rubbed my left hand over the top and back of my head. No sticky wetness.\n\nI turned in my bed and stood. I felt a spasm of soreness in my rectum. _Anus painus,_ I thought. A stupid joke for myself. A good way to take my mind off of the wound I knew I was about to discover. I unsnapped and unzipped my jeans, then pushed them down along with my underwear. I stared at what I couldn't comprehend.\n\nMy underwear was soaked dark red. I touched my buttocks and the inside of my thigh. I felt the blood before I saw it on my hand.\n\n_Anus painus._ Another twinge. Then I realized there was an ache that wasn't subsiding. The spasm just made it worse. I stepped out of my pants and walked to the bathroom. _I have to get clean._ I believed I was covered with blood everywhere, even though I knew that wasn't true. I wasn't thinking straight.\n\nI filled the tub with a few inches of cool water. Baths were dangerous\u2014I could drown if I had a seizure. But I didn't feel steady enough to stand for a shower, and I desperately wanted the blood washed away. I stripped off my shirt, stepped into the tub, and carefully sat down.\n\nClouds of red plumed off my body. I splashed them with my hand, then rubbed the spots on my skin where I saw blood. The water turned pink, but the darker clouds kept lolling and spinning from between my legs. That was the first moment I understood\u2014I was bleeding from my rectum.\n\nI drained the tub and filled it again. Sitting in watered-down blood repulsed me. When fresh water turned dark pink, I drained it and pushed the taps again. I don't know how many times it took, but eventually the red clouds slowed their swirling dance. The water wasn't so pink.\n\nI may have sat there for hours. _Anus painus._ A spasm would subside, and I would return to my daze\u2014awake but impassive. I didn't want to think about what caused this injury. I was afraid that, if I did, I would discover an answer I didn't want to know.\n\n_This is dangerous_. I climbed out of the tub, wrapped a beach towel around myself, and headed to my bedroom. The sheets were bloody, and I wanted to sleep. I lay on the floor and dozed off.\n\nWhen I woke, I was more clearheaded. I reached behind me to touch the towel. There was blood, but nothing like before. Still, my rectum hurt. The spasms were less intense, but they hadn't stopped.\n\nI didn't want to go. I hated emergency rooms. I particularly didn't want to talk to some doctor about rectal bleeding. But ignoring what was happening would be crazy. I needed to go to the hospital.\n\nAn hour later, I was in the emergency room at George Washington University Hospital. As I waited for the doctor, I wondered why I had chosen this place. It was nowhere close to where I lived, and I didn't remember being there before. When I climbed into the taxi, I just said the name. Lying on the stretcher bed, I remembered Ronald Reagan had been rushed to this hospital when a gunman shot him in 1981. I wondered if I was in the same part of the emergency room where the president had been treated.\n\nA doctor appeared, accompanied by a younger-looking man. _Probably a medical student,_ I figured. After a few questions, the doctor instructed me to roll onto my stomach. The examination hurt. When he finished, he threw out his surgical gloves. \"Are you sexually active?\" he asked.\n\nI knew where this was going. I knew, but I couldn't think it. \"Not really,\" I replied. \"Not for a long time.\"\n\n\"Have you ever had anal sex?\"\n\n_Pleasestop pleasestoppleasestop._ \"No.\"\n\nThe doctor sat on a stool. I stared at it, wondering why I hadn't noticed the seat until that moment. He mentioned something\u2014my name, I think. I looked at him. His face seemed angelic. I hadn't thought that before.\n\n\"Kurt,\" he said, \"were you raped?\"\n\nWhere had the stool come from? How was he just sitting on it all of a sudden?\n\n\"Kurt,\" he repeated, \"were you raped?\"\n\nI chewed the inside of my lip, on the spot I bit during seizures. I tasted blood. It hurt. Why was I hurting myself?\n\n\"It's okay,\" the doctor said. \"You're going to be okay. But you need to tell me. Were you raped?\"\n\nA tear ran down my cheek. \"Was I?\" I asked.\n\n* * *\n\n\u2014\n\nI refused everything. No, I didn't want to file a police report. What could I report? I didn't even know where it happened. A car, a bridge, a McDonald's sign. It meant nothing. There was a voice, but I didn't recognize it. And how did I know that was the guy?\n\nThe doctor urged me to let them conduct an ultrasound. No, I said, I was leaving. He told me I was making a mistake; they had to check for internal bleeding. They believed someone had put an object inside me, so there might be deeper damage. If there was an injury they couldn't see, it could be dangerous.\n\n_Stopitstopitstopit._\n\nFinally, the doctor persuaded me. The scan showed no further injury to deeper organs. A woman in a multicolored smock spent time trying to convince me to allow them to call the police. I told her to get out.\n\nAn older doctor arrived. I heard the words \"infectious disease.\" I glanced at the curtain drawn around the stretcher. This new doctor hadn't closed it completely.\n\n_They really should close the curtain._ Why did they have a curtain if they weren't going to close it? I saw people walk by. I couldn't stop wondering about the curtain.\n\nThe doctor spoke my name in this odd tone that was both abrupt and kind. I looked back at him.\n\n\"No,\" I said. I knew his question even though I was certain I hadn't heard it.\n\nI didn't have to discuss it today, he told me. I could wait until one of my follow-ups, but until then I should avoid sexual activity. The rape placed me in a risk category, and I should gain as much information as I could about all sexually transmitted diseases, including AIDS.\n\n\"No,\" I replied. I didn't want to know. AIDS meant death. People were already afraid of epilepsy; epilepsy _and_ AIDS? I was at a breaking point. Emotional overload.\n\nNothing. I felt nothing.\n\nHe nodded, reminding me to discuss these matters with my doctor. He wrote a prescription for antibiotics to prevent an infection from the rectal injuries. Two doctors urged me to stay overnight for observation. I refused and signed a document saying I was rejecting their advice.\n\nI left the hospital, hailed a cab, and headed home. It was dark. Had it been the previous night when I had the seizure? The night before? I didn't know. I went inside, walked upstairs to my room, and flicked on the light. Bloodstained sheets still covered the bed. I grabbed a pillow and lay on the floor, staring at the ceiling. I noticed chips in the paint and wondered how they got there. I fell asleep studying those spots, trying to see if they formed identifiable shapes like clouds do.\n\n* * *\n\n\u2014\n\nThe next morning, I telephoned Rick Smith to let him know I would not be coming to work. I had been his assistant for several months, but we were no longer at the _Times._ He was taking time off to write a book about Washington and had asked me to stay on as his researcher. By then, Smith knew about my seizures and treated them as unimportant events with no bearing on my work.\n\nSmith told me he had called the previous day when I failed to show up to the American Enterprise Institute, a think tank where we had set up shop. I apologized, explaining that I had been in the hospital because of a seizure. I then assured him that I would be well enough to return the next day.\n\nAfter hanging up, I collected everything stained with blood\u2014sheets, mattress pad, towel, jeans, underwear. I lived with a group of strangers who were all at work, so I carried the horrifying pile downstairs. In the kitchen, I stuffed it into a bag. Then I threw it in an outside garbage can. I never considered washing it. I wanted it all out of my life, forever.\n\nI still felt nothing\u2014no fear, no anger, no rage, no desire for revenge. I knew enough to recognize this emotional shutdown was destructive. I searched for the phone directory and called several psychiatrists until I located one in Northwest Washington willing to see me that week.\n\nIn our sessions, I reviewed my history, my fear of seizures, my experience being kicked out of school, my assault in Chicago. I often cried unexpectedly, sometimes over nothing. But I was unable to mention my rape to any counselor for years to come.\n\n* * *\n\n\u2014\n\nThe pain in my shoulder was intense. At some point after the rape, I fell down the stairs outside of my bedroom and banged myself up. I suspected I had broken a bone and decided to get an X ray once I was more coherent. About an hour later, I hailed a cab and asked to go to the nearest hospital. Any doctor, I figured, could find a fracture. The cabby dropped me off at Capitol Hill Hospital.\n\nI remember little that followed, but my father later told me what happened. Someone checked my blood sugar levels with a test strip. The person wrote down the results incorrectly, stating they came from a complete glucose test\u2014involving drawing blood\u2014rather than the finger stick that was performed. Mistake piled on mistake, and soon a doctor diagnosed pancreatic cancer. I may have gone into convulsions in the emergency room, and my planned short visit turned into a major hospitalization.\n\nNo one checked the MedicAlert medallion that hung around my neck, which disclosed my epilepsy and instructed medical teams to check my wallet for a card with my anticonvulsant schedule and emergency contact information. As a result, the hospital stopped providing my medication. For days, each time I went into convulsions, the staff infused IV Valium to stop the seizure. At one point, I opened my eyes and saw Neil Fisher, a friend from Swarthmore who worked in town, standing by me. I didn't know how he had ended up there, but I recognized I was in danger.\n\n\"Call my parents, and tell them to get here right now!\" I begged him. \"Tell them this is an emergency!\"\n\nLater that day, I was admitted to the intensive care unit.\n\n* * *\n\n\u2014\n\nI woke with someone stuffing pills into my mouth. I pushed up my tongue to block them from going down my throat, then spat them on the floor. I recognized the red bands around the white capsules; it was Dilantin, three times my normal dose.\n\nA short, dark-haired man stood beside me.\n\n\"Get the fuck away!\" I growled.\n\n\"You need your medicine,\" he said.\n\n_Right. In my sleep. At triple the dose._\n\n\"Get away from me, or I'll scream!\"\n\nI watched him leave the enclosed area and saw my parents in a main room. My father was confronting a doctor. They were too far away for me to hear the words, but I could tell Dad\u2014who had plenty of experience brutalizing unprepared interns and residents\u2014was ripping apart the other physician.\n\nAs staff members rushed about, producing records for my father, my mother saw I was awake and came to my bedside.\n\n\"Are you all right?\" she asked.\n\nI nodded. \"Feel like I've been hit by a truck,\" I said. My tongue moved as if coated in molasses. \"What happened?\"\n\nShe told me I had been in the hospital for days and that the doctors had made one terrible gaffe after another. The medical team learned of my epilepsy only when my parents arrived. At first, the doctors insisted they had given me my medication, which set my father off: How the hell would they have known to provide me with my prescribed anticonvulsants if they didn't understand I had epilepsy? He called the doctor a liar to his face.\n\nMy father came in with my chart. He grabbed my arm. \"Don't worry about how you feel; it's not because of something wrong with you. You're in intensive care. The doctors made a mistake with a blood sugar test and decided\u2014but you don't!\u2014they incorrectly decided you had pancreatic cancer.\"\n\n\"From _one_ blood sugar test?\" That was ridiculous.\n\nMy father shook his head. \"Don't get me started.\"\n\n\"Why do I feel so awful?\"\n\n\"They've been giving you IV Valium every time you had a seizure, and they've used too much. It settles in muscles and fatty tissue. Don't try to get out of bed. You'll fall.\"\n\nAnother man arrived who looked familiar. It was a former teacher from my high school who now worked as a Washington lawyer. He had picked up my parents at the airport and driven them to the hospital.\n\nSoon after, Smith showed up. Assuming he would be panicked by my disappearance, my mother had notified him I was at the hospital in intensive care. When he saw me, his usual expression of calm assurance drained away, replaced by a look of shock.\n\nThe area around my bed was packed, with everyone listening to my father explain the gross incompetence of the physicians. At some point, a doctor burst in, angry about the number of visitors surrounding my ICU bed.\n\n\"Who are all you people?\" the doctor barked.\n\nMy mother stepped forward, gesturing to each individual as she made the introductions. \"I'm his mother, this is his father, this is his lawyer, and this is Hedrick Smith of _The New York Times_.\"\n\nThe four of them stared at the doctor in silence.\n\n\"Oh,\" he said. Then he scurried away.\n\n* * *\n\n\u2014\n\nWithin the hour, I was transported to Georgetown University Hospital to recuperate from the damage caused at Capitol Hill Hospital. The doctors diagnosed a Valium overdose but also found that my anticonvulsant levels had dropped below the therapeutic level. When sufficient time had passed, a doctor told me they were going to infuse Dilantin. I asked what that meant.\n\n\"We're giving you a load of Dilantin directly into the bloodstream,\" he explained.\n\n\"You know I have a lot of Valium in me?\"\n\nI heard a voice. \"They know.\" It was my father, who was beside my mother on the other side of the room. \"They've been monitoring it, and it's okay now.\"\n\n_It's okay? Already?_ \"How long have I been here?\"\n\n\"Since yesterday,\" my father said. \"You've been sleeping.\"\n\nI remembered: _My shoulder_. It didn't hurt anymore.\n\n\"What happened to my shoulder?\"\n\nMy mother spoke. \"That was a dream. Nothing happened to your shoulder.\"\n\n\"No, it was real. That's why I went to the hospital. I fell down the stairs and hurt my shoulder. What did the X ray show?\"\n\n\" _That's_ why you were there?\" my father asked. \"We assumed you had been found on the street.\"\n\n\"So what did the X ray show?\"\n\nMy father seethed. \"They didn't take an X ray. They didn't do anything about your shoulder.\"\n\nThe doctor beside me asked how my shoulder felt now.\n\n\"It's fine,\" I said. \"Guess I would have been safer if I had just stayed home.\"\n\n* * *\n\n\u2014\n\nTime detached from reality. There were moments of consciousness, then not. Hours, perhaps days, passed without my taking notice.\n\nMy next memory is of sitting up in my bed. A middle-aged doctor knocked on my door and asked for permission to speak with me. He walked in with a group of fresh-faced young people in lab coats, then introduced himself.\n\n\"These are medical students,\" he explained. \"I'm visiting patients with them and was hoping you'd be willing to talk to them about why you're here today.\"\n\n_Damn straight I'll talk to them._\n\nI chose my words carefully. \"I'm here because a doctor at another hospital failed to take a proper medical history. The doctor\u2014not a disease, not some chronic medical condition\u2014injured me so badly I had to be brought here.\"\n\nI gave an account not just of the latest near-fatal mistakes but also of the times over the years when doctors failed to ask questions, conduct follow-up, or listen. By shortchanging the importance of a patient's past, doctors could cause incalculable damage, I said.\n\nI studied the students' faces. _Do they understand?_\n\n\"So someday, when you have a patient in front of you, remember me. Remember how bad I look right now,\" I said. \"Remember this happened because a doctor didn't take a proper history. All the labs and machinery are _useless_ if you don't talk to patients extensively.\n\n\"You need to ask about their health and about their medications. You need to look them up in the _Physicians' Desk Reference_ to know if they're taking the right amounts or are on drugs that conflict. Don't let gadgets and drugs be your first thought. Ask questions. Write down the answers. Figure out why those answers are important and what they show.\"\n\nI ended my lecture, and a few students tentatively asked questions. Then the doctor told them to head to the hallway.\n\n\"Thank you,\" he said to me. \"I wish I had recorded that.\"\n\n* * *\n\n\u2014\n\n_Six months._ In six months, I would be off my parents' insurance. I thought back to Plissner's offer at CBS and cursed myself for turning it down. That job had insurance; it might not have been the right industry, but people like me didn't have the luxury of being choosy. My medication, my hospitalizations\u2014group coverage was suddenly more important than my aspirations. After my success at CBS, I had grown arrogant and figured I would also climb the ladder quickly at the _Times._\n\nI told Smith I could no longer work on the book, that I needed a job with insurance right away. He introduced me to a senior editor at _National Journal,_ who offered me a position at the Washington political magazine. I grabbed it\u2014I had no choice. I hated the work, which mostly involved retyping press releases about people changing jobs in the city. I saw no future for myself there. I felt cheated, but at least I had insurance.\n\nOr did I? After a few weeks on the job, I discovered the group policy contained a preexisting-condition clause. I had no choice. I resigned from _National Journal_ so I could go back on my parents' insurance for the few weeks that remained until my birthday, when the company would kick me off the policy. Desperate, I told Smith about my predicament. I said I would take anything that offered immediate insurance with no preexisting-condition clause.\n\nHe telephoned the _Times_ in New York and learned that they had some openings for what they called \"copy kids.\" That was a full-time job, and the insurance benefits kicked in immediately. A senior editor agreed to meet with me, and my parents paid for a plane ticket so I could see him the next day.\n\n* * *\n\n\u2014\n\nI sat anxiously while the editor in charge of hiring clerks and copy kids studied my r\u00e9sum\u00e9.\n\n\"You're overqualified,\" he finally announced. \"And why have you been jumping from job to job? What happened at CBS?\"\n\n\"Nothing,\" I replied. \"In fact, I was offered a promotion but turned it down. I can give you my old boss's contact information if you want to check.\"\n\n\"What was the promotion?\"\n\n\"Assistant to the executive political director.\"\n\nHis expression was unreadable. \"You turned that down? You would rather be here running wire copy?\"\n\n\"No,\" I said. \"I would rather have a chance at working for a newspaper. That's all I've ever wanted. As a copy boy, I have a chance to become a reporter through the writing program.\"\n\n\"Very few people are hired out of the writing program,\" he replied. \"And it will take years.\"\n\n\"I know. I don't care. It's a chance.\"\n\n\"You could become a reporter right away by applying to small newspapers. Why not do that?\"\n\n_Lie. Just lie._ \"Because I want to work at _The New York Times,_ and I have a better chance of getting hired by starting here if people can see how I work.\"\n\nHe studied my r\u00e9sum\u00e9 again.\n\n\"I promise you,\" I said. \"If you hire me, you won't regret it. I'll work harder than anyone you've hired before.\"\n\nHe looked hard at me, sizing me up. \"Okay. You can start in two weeks. But I think you're going to regret this decision.\"\n\nHe escorted me across the newsroom to a woman sitting at an isolated corner desk. \"Marie,\" he said to her, \"this is Kurt Eichenwald. We're hiring him as a copy boy.\"\n\n* * *\n\n\u2014\n\nI missed the deadline: For two weeks, I was uninsured. I turned twenty-five in June 1986, and on that day, the one that had terrified me for so long, my parents' policy no longer covered me. My start date at the _Times_ hadn't arrived and the insurance at _National Journal_ was still useless. I considered just staying in my house to avoid possible hospitalization, but instead decided to take a gamble and use that time for my move back to New York.\n\nI shouldn't have taken the chance. Before my first day at the _Times,_ I went into convulsions somewhere in Manhattan. An ambulance brought me to St. Luke's-Roosevelt Hospital Center in midtown, where emergency room doctors apparently checked my MedicAlert necklace, read that I had epilepsy, and left me to sleep it off. I received a bill for thousands of dollars a few weeks later, costs incurred for nothing.\n\nDistraught, I telephoned my parents. My salary at the _Times_ wasn't enough to pay the hospital and afford my living costs in New York. Ignoring the bill\u2014hell, even delaying payment\u2014would destroy my credit rating. Would I never be able to buy a house because of my epilepsy and this ridiculous insurance system? Why was I _forced_ to jump from job to job in search of coverage? What if I had _wanted_ to work at _National Journal_ but couldn't because of insurance? My panic escalated as I badgered my parents with questions before they could answer.\n\n\"I never told my new bosses about my seizures,\" I rambled in a tone of escalating dread. \"I don't know if Rick Smith told them. What's going to happen when I tell them? And if I don't, what'll they do if I have a seizure in the newsroom? And what if I got pushed out of my job again? How would I afford my medicine? I can't pay this bill! How can _anyone_ with epilepsy survive without insurance? Are we just supposed to go away and die somewhere?\"\n\nMy parents, who were both on the line, urged me to calm down.\n\n\"Kurt, we'll pay the bill,\" my father said. \"You're not alone. We're here to help.\"\n\nMy mother interrupted. \"I promise, Kurt, I promise, you will have all of our financial and emotional support. No strings attached.\"\n\nI wiped my eyes and took several deep breaths. \"Thank you,\" I said softly. \"Thank you so much.\"\n\nA second passed, then I teared up again. \"What about everybody else?\" I asked. \"What about other people with epilepsy who don't have someone to pay the bill for them? Do they all just die?\"\n\nMy parents mentioned free clinics and other options, but eventually acknowledged that any uninsured person with epilepsy was at risk, and there were almost certainly others who stayed in jobs they hated simply for the insurance.\n\n\"So if I\u2014so if any of us\u2014ever lose our jobs, we could die?\" I asked in disbelief. \"What kind of world do we live in?\"\n\n* * *\n\n\u2014\n\n\"Slow down,\" another copy boy said as I rushed by with a pile of stories from AP and UPI. \"They don't need everything so fast.\"\n\n\"I've got nothing better to do,\" I replied.\n\nMy work at the _Times_ verged on the robotic. A row of machines in what was called \"the wire room\" printed stories on scrolls of paper. Men there ripped off each article before passing it through a hole in the wall to a senior copy kid on the other side. That person glanced at the story to see if it involved foreign, national, local, or other news and shoved the paper into the correct opening among more than a dozen slots. Then another copy kid would pull out the paper and take it to the proper desk.\n\nUsually, the copy kids let articles pile up until they decided there were enough to justify carrying them to their final destinations. But I never stopped moving, walking in endless circles as I grabbed wire stories from the plastic slots and carried them to the correct news desks. I knew, once again, my overeager behavior annoyed some colleagues, but I didn't care.\n\n_Let them think I'm a jerk and a kiss up._ With my approach, everyone in the newsroom saw me working all the time. It was a way to attract the attention I wanted. Copy kids in the writing program were all young entrepreneurs\u2014striking up relationships with editors, pitching story ideas, offering to take any assignment, and handling the reporting and writing in the off hours. Our jobs were grunt work; we had to blaze our own paths to promotion by persuading someone at the paper to print our articles.\n\nI quickly discovered that some editors in the high-stress newsroom considered copy kids and clerks to be objects for letting off steam, the moral equivalent of dogs to kick. I took a share of insults, quiet tirades, and nastiness from frustrated editors.\n\nMembers of the clerical staff often compared war stories, competing to see who experienced the worst ill-treatment. I joined in the grousing but rarely took it too seriously. No matter how nasty an editor might be, none could match the abuse I had endured over the past six years.\nThe lead of the first major _Times_ article written by copy boy\n\nKURT EICHENWALD, 1986\n\nLINDEN\u2014Fuzzy peach navel is the recommended drink at the Old Tavern Inn here, one of the latest and most unlikely ripple effects of the American auto industry's march toward high technology.\n\n# CHAPTER TWENTY-SEVEN\n\nN _an Robertson saved lives._\n\nThe thought struck me every few days. The article she had written for _The New York Times Magazine_ about her experience with toxic shock raised national awareness of the condition. Joan Kelly, my friend from CBS, continued encouraging me to do the same for epilepsy. Now I was in the building; I could simply drop by the magazine office on the eighth floor and pitch the idea.\n\nStill I resisted the impulse. This was hardly the time to reveal my health problems. I had worked at the _Times_ for five months and been promoted from copy boy to national desk clerk. I knew I was terrible at the job\u2014with my memory deficiencies, I often bungled the rapid demands of answering phone calls, taking messages, filling out forms, moving copy, and running for coffee. Fortunately, people thought I was just inattentive. Meanwhile, I wrote freelance articles for the paper and helped with \"legwork\"\u2014covering events around New York for staff reporters. I'd had one seizure at the office, but I knew the newsroom was large enough that it had probably escaped senior editors' attention. If I announced my epilepsy in the magazine, I could derail my career. There were plenty of young people in the writing program; once the top brass knew about my health, I was sure they would pass me over for someone without the baggage of chronic seizures.\n\nStill. Out of millions of people with epilepsy, I could think of only one\u2014Tony Coelho, a California congressman\u2014who had publicly revealed his condition. A few years earlier, when I wanted to learn more about seizures, I found only one book, _Living with Epilepsy._ To avoid embarrassment, I had removed the jacket and covered the spine with tape so no one could see the title.\n\nPeople like me lived in the shadows, afraid of losing jobs or friends or educational opportunities due to public ignorance. To reach them through the magazine, to educate the misinformed, a writer with epilepsy would have to disclose having the condition and know how to contact an editor. I fit every requirement except one: I wasn't willing to reveal my health problems.\n\nOne morning after my shower, I stared in the mirror. _Help others or protect myself?_ I thought of the person I had been at Northwestern, trying to find purpose in life. _Helping others._ That thought had not occurred to him. _Helping others or being a newspaper reporter._ I knew what choice he would have made. If I could spare someone my pain, even though I might have to give up on a newspaper career, how could I stay silent?\n\nThe next day, I rode the elevator to the eighth floor. I identified myself and said I wanted to discuss a possible article. I was escorted to a magazine editor, who invited me to pull up a chair.\n\n* * *\n\n\u2014\n\nMy fear of neurologists was unshakable, so I continued to travel to Dallas every six months to see Naarden, the only doctor I trusted. Now he was offering advice that alarmed me: My seizure control might improve if I changed anticonvulsants. The best choice all along had been Tegretol\u2014the overdose that had almost killed me shouldn't bar us from trying it again, he said. I had never been at a good therapeutic dosage. At proper levels, it might work, and he promised to monitor my blood carefully.\n\n\"I have one question,\" I said. \"If we make this switch, and the blood problem starts again, if we switch back, can you guarantee me I'll have the same control I do now?\"\n\n\"You know nothing can ever be guaranteed with epilepsy.\"\n\nA metaphor popped into my head. \"Dr. Naarden, think of it like this: I wandered around on a foggy, frozen lake for years. I kept falling through the ice, getting so wet and cold I thought I would die. Then I found a thick piece of ice. It's still cold, but I can stand here and be sure I won't fall back into the water.\"\n\nI could see he already understood where I was going. \"Now I'm hearing a voice calling through the fog,\" I continued, \"telling me if I just head toward him, I'll make it to land. But maybe I'll start falling through the ice again. And if I do, I might not be able to find my way back to the thick piece of ice where things aren't perfect, but at least I'm safe.\"\n\nNaarden shook his head. \"You're too smart for your own good,\" he said.\n\nHe increased my Dilantin dosage. Tegretol was off the table.\n\n* * *\n\n\u2014\n\nI wrote the epilepsy article for the magazine in a little-trafficked area called the recording room, one floor above where most reporters and editors worked. The process was torturous. I read and listened to some of my diaries, reviewing for the first time my own anguish from the worst moments. When I reached the tapes I made after my dismissal from Swarthmore, I couldn't play them. I did not want to immerse myself in that trauma again. I interviewed people who had been with me\u2014my parents, Carl, Franz, and others\u2014and used their information to fill in blanks. I had no records for the day I learned of my epilepsy, and on a tape where my mother recited her recollections, she cried when she reached that moment. It hurt too much to listen.\n\nThe final product seemed right. I was honest, at least as much as I could be at the time. There were hints about my memory problems, but that was one topic I would not openly address. If disclosing my epilepsy didn't destroy my future as a journalist, revealing my impaired ability to recall events might.\n\nI reread the article and was intrigued to realize the most important paragraph was a quote from Carl:\n\n> If everybody in the world knew how to deal with epilepsy, if everybody in the world were not mystified by a seizure, if everybody in the world were willing to help out when they see a stranger have a seizure, then the lives of people with epilepsy would be infinitely easier. They would be able to go everywhere and do just about everything and not worry.\n\nThat was the reason I wrote the piece, the message I wanted the world to hear. I thought it fitting that it came from a person who had aided a friend with epilepsy rather than from someone with the condition.\n\nI filed the article to the magazine, and a man I'd never met before edited it. When the piece was returned, I was horrified. It was maudlin, filled with a defeatism and drama that I had never expressed, attributing emotions to others that I had never heard. This would accomplish nothing\u2014I would be revealing my epilepsy and portraying it as something to be pitied rather than a challenge to be overcome.\n\nI was a clerk; this was an editor. How could I argue? I printed both copies and asked an older reporter I knew to read them. She complimented the original.\n\n\"What do you think of the edited version?\" I asked.\n\n\"It reads like something out of _Redbook_.\"\n\nA few seconds passed in silence. \"I don't know what to do,\" I said.\n\nShe didn't miss a beat. \"This is _your_ story. Don't let them do this to you.\"\n\nHer words gave me the courage to push back. The editor fought when I demanded the removal of made-up emotions attributed to others and me. Each time, I said loudly enough so others could hear, \"But it's not true!\" That led him to back down.\n\n* * *\n\n\u2014\n\nThe Sunday magazine arrived in the newsroom each Wednesday, and I wanted to be out of New York when my article hit. That morning, I boarded the train to Washington. I'd decided to work in the bureau, far from where my story could be read.\n\nAs I typed at a desk, I saw Craig Whitney, the bureau chief, walking toward me with the magazine's next issue in his hand. I realized in horror\u2014advance copies landed in the bureau the same day they reached the New York office. I wanted to run.\n\nHe reached my computer with a hand thrust forward to shake mine. \"Congratulations,\" he said. \"This is an incredible piece.\"\n\nI nodded and uttered a soft \"Thank you.\" He returned to his office, and I left the office. After a block, I leaned against a building, then slid down to sit on the sidewalk. I covered my eyes with one hand and cried.\n\n* * *\n\n\u2014\n\nI still dreaded the reaction in New York, particularly among senior editors. They rarely spoke to clerks, and I feared their true thoughts would be revealed only behind closed doors.\n\nThose anxieties were put to rest in a very public way. The day I returned, I was at the national desk when someone tapped my shoulder. I looked around and almost fell off my seat. Abe Rosenthal, the _Times_ 's legendary and mercurial executive editor, stood beside me. I jumped up as I would have had the president suddenly appeared. I assumed he wanted me to handle some menial task. Instead, he shook my hand.\n\n\"That was an important and amazing article you wrote,\" he said. \"It's an honor to have published it.\"\n\nI mumbled my thanks.\n\n\"No,\" Rosenthal replied. \"Thank _you_.\"\n\nHe returned to his office, and a number of people offered me congratulations; a compliment from Rosenthal was a rare thing. I excused myself and went to the men's room. I feared I was going to start hyperventilating.\n\n* * *\n\n\u2014\n\nScores of letters arrived at the _Times_ from people who had epilepsy or knew someone who did. Given that I had no desk, the correspondence stacked up in a wire basket in the mailroom. I read each one, but often felt emotionally unable to respond. So many of them expressed pain I could not salve, often from those with the condition who wrote to ask for my help in fighting discrimination they faced.\n\nOnly one letter contained a photograph. It spilled out onto the tabletop where I was opening the envelopes. The eyes of an old man sparkling behind thick glasses stared back at me from a Polaroid. I recognized him instantly and unfolded the note.\n\n> Dear Kurt: I have seen your byline several times and have wondered if you were the Kurt that I knew. When my daughter Lois sent me a copy of your epilepsy story, I knew that you were the young man with whom I shared a room at Northwestern Hospital in 1981\u2014the young man I referred to as my ersatz grandson.\n\nMemories flooded back of Irwin Henoch, my hospital roommate in Chicago who, with his wife, Florence, helped me to connect to my feelings again, to contemplate life and happiness, to set myself on the path that led to the very newsroom where I was standing. He told me that, when he was well on his way to recovery in 1982, Florence had died from a lung cancer discovered during a routine checkup. He was broken up by her death, he wrote, but was saved by the support of his children and through volunteer work. He remembered my mother, and always thought of her when he used the yellow pen she gave him, a pen that only recently had been replaced. The affection for this man I had known for only a few days came rushing back, and then I choked up as I reached the final words of his letter.\n\n> I am happy that you are making a name for yourself. I always knew that you were something special.\n> \n> Best regards,\n> \n> IRWIN H. HENOCH\n> \n> Ersatz Grandfather\n\n* * *\n\n\u2014\n\nIn the weeks after my magazine article appeared, life at the _Times_ continued as it had. There were no stares or recriminations, no suggestions that my responsibilities be limited, no efforts to remove me from the writing program. I still received assignments for articles and legwork. And the next time I experienced a seizure in the newsroom, everyone knew what to do. I continued fumbling about in my job as a national desk clerk, still unwilling to reveal that my epilepsy caused severe memory loss. That led to an editor turning on me with a ferocity I had never experienced before.\n\nMy primary assignment was to move digital copies of newly filed articles from an electronic \"in\" basket to a directory used by the first team of editors, known as the backfield. Then, I filled out a piece of paper called a \"buck slip\" with the one-word name of the article and passed it to an editor who was infamous among clerks for her abusiveness.\n\nOne day, the article schedule included two stories with comparable names: \"Immune\" by Philip Boffey and \"Virus\" by Larry Altman. I don't know if the reporter mislabeled his piece or I mixed them up, but I filled out the slip as \"Immune\" by Altman.\n\nThe abrasive editor jumped on the error. \"It's 'Immune' by Boffey and 'Virus' by Altman!\" she snapped. \"You can't be so sloppy in your job! Start paying attention!\"\n\nAnother clerk had taught me never to apologize to this woman because it only made things worse, so I silently filled out a corrected buck slip and passed it to her.\n\nShe didn't stop the verbal assault. \"It's one word and one writer! How hard is it to keep that straight?\"\n\nOn and on she went, growing ever louder. She paused, and I saw a familiar expression of malign satisfaction. I knew she thought she had found the perfect insult.\n\n\"I didn't know epilepsy caused illiteracy!\" she shouted.\n\nEverything stopped\u2014typing, talking, phone conversations. Editors and clerks stared at me. Nothing, not a sound or a motion, disturbed the moment as everyone braced for my reaction. In the silence, the angry editor realized she had gone over the line and turned away from me to stare blankly at her computer.\n\nI knew from experience that I needed to say something, anything. Work would remain at a standstill until I did. At that moment, \"Virus\" by Altman appeared in the electronic \"in\" basket. I glanced across the news desk at Bill Dicke, the night editor.\n\n\"Bill,\" I said, \" 'Virus' by Altman just landed.\"\n\nIt was the equivalent of my saying, \"Bill, the phone is ringing.\" But it was a signal to everyone that I was not going to respond to the comment just shouted at me.\n\n\"Oh, okay, thank you,\" Dicke stammered. \"Can you move it to the backfield?\"\n\nWork resumed. Soon after, I was transferred from the toxic presence of the misanthropic editor to a better job in the third-floor newsroom. She moved to the fourth floor.\n\n* * *\n\n\u2014\n\nEveryone in the writing program had a deadline, a point when editors would decide if they would be promoted to reporter trainee. Mine arrived in early 1988. By then, I had written scores of articles. I had become the metro desk's go-to guy, accepting any legwork, even in the middle of the night. I had been awarded a one-month tryout as a reporter, and it could not have gone better\u2014I asked to be assigned to the business desk to prove I could handle topics foreign to me. While I was there, the stock market crashed, and I threw myself into the coverage, sometimes filing several stories a day.\n\nEditors and reporters told me my chances looked good, but then a hiccup. I heard from a friend that the editor in charge of the final decision had nixed me. I sat down at a desk and fished out a piece of paper I had prepared for any last-minute problems. I telephoned everyone at the _Times_ who knew me or who owed me favors\u2014Hedrick Smith, two editors in Washington, the assignment editor on the metro desk, and about a dozen others. I asked each of them to call on my behalf to the boss of the editor about to hand down the bad news. One ally, Rick Berke, reached me after his conversation.\n\n\"As soon as I started speaking, he said, 'Yes, I know. You're calling to recommend Kurt Eichenwald,' \" Berke told me.\n\nThe next day, Warren Hoge, an assistant managing editor, summoned me to his office. He was on the phone when I arrived and waved for me to come in. My heart raced as he spoke in a foreign language I thought was Portuguese. He hung up, looked at me, and thrust out his right hand. My mind went blank as I stared at the silver bracelet on his wrist.\n\n\"Congratulations,\" he said. I finally took his hand. \"You're a reporter trainee for _The New York Times._ \"\n\n* * *\n\n\u2014\n\nMy beat was Wall Street. Based on my reporting during the market crash, the editors had concluded I must be a financial expert, though I actually didn't know the difference between a stock and a bond. I walked to a bookstore on Fifty-seventh Street and purchased business titles to help me learn the basics.\n\nI marveled that a nobody like me suddenly was on the phone with power players in the world of finance\u2014officials from the New York Stock Exchange, the Securities and Exchange Commission, Congress, major businesses. In one of the most surprising calls early on, Donald Trump contacted me to discuss a flattering profile about him from that day's _Times._ I had nothing to do with the article and tried to hide my confusion about why he had bothered to phone me to praise a piece about himself.\n\nMy strategy, for as long as I could get away with it, was to reveal my ignorance only to people I interviewed, a tactic I learned from another reporter. In one of my first days in my new job, I spoke to a man who told me he was an equities analyst.\n\n\"What's an equities analyst?\" I asked.\n\nThe man ranted about my inexperience until I interrupted him. \"Look, I can either look stupid to you now or pretend I know things I don't. That might make _you_ look stupid in the paper tomorrow. Which do you prefer?\"\n\nHe calmed down and answered my question.\n\nWhen my trainee period ended, John Lee, an assistant managing editor, invited me to lunch at the fanciest restaurant I had patronized in years. We settled at a table near the back of the room, and he spent several minutes recalling his own experiences at the _Times_. Then on to me.\n\n\"Where did you learn about finance?\" he asked.\n\n_I can't be fired._ \"On the job,\" I replied.\n\n\"Which job?\"\n\n\"This one. Covering Wall Street for the paper.\"\n\nIf Lee had not been such a courtly southern gentleman, he might have spat out his drink. \"You didn't know anything?\"\n\n\"Not even the difference between a stock and a bond.\"\n\nA wisp of anger crossed his face. \"Don't you think you should have told us?\"\n\n\"Let me ask,\" I responded. \"You're told that you can be a _Times_ reporter on an important beat. Would you try to convince the people offering you the job that they're making a mistake?\"\n\nHe crinkled his forehead. \"No,\" he said. \"I suppose not.\"\n\n* * *\n\n\u2014\n\nAs I settled into work, I decided finally to have doctors treat the physical damage inflicted by almost a decade of seizures. I visited an internist for a checkup. I asked about my ribs, which hadn't hurt for years; he told me the fractures had healed long ago. I also mentioned that my joints ached so badly I sometimes couldn't sleep. He looked at my knuckles and noticed a small growth under the skin on my right index finger.\n\n\"Has anyone ever examined that?\" he asked.\n\n\"No.\"\n\n\"Have your knuckles always been this swollen?\"\n\nI glanced at my hands. They _were_ swollen, terribly. \"They haven't always been like this. I don't know when this started.\"\n\nHe recommended a rheumatologist, but before visiting with that doctor, I saw an oral surgeon. Years had passed since the fibrous mass had appeared in my mouth, caused by biting during seizures. With my drug levels fairly high, the doctor decided to use IV Valium rather than a stronger anesthetic while cutting out the growth. I vaguely remember watching unalarmed as blood spurted during the procedure.\n\nDuring this round of doctor visits, I discovered I had found the strength to take control of my healthcare, ignoring poorly considered recommendations and always staying on the lookout for recklessness. In fact, I delighted in humiliating doctors for their gaffes, treating them as stand-ins for the medical specialists who had hurt me in the past.\n\nAt Naarden's suggestion, I sought out a New York neurologist. This new doctor was horrified that I still experienced convulsions every few weeks and recommended major medication changes.\n\n\"I'm not going to do that,\" I replied.\n\n\"Kurt,\" he said, \"the most important thing is that we get control of these seizures.\"\n\nI sat back in my chair. \"Fine, give me a gun, and I'll blow my brains out.\"\n\nHis eyes widened. \"What?\" he gasped.\n\n\"That would take care of it, wouldn't it? That would stop the seizures.\"\n\n\"Are you...\"\n\n\"No.\" I sighed. \"I'm not suicidal. I'm making a point. You say controlling the seizures is the most important thing. Blowing my brains out would accomplish that. Clearly, that's a bad alternative.\"\n\nHe looked confused.\n\n_How can he not understand this?_ \"The most important thing is having the life I want. If I'd rather have some seizures and fewer side effects, that's my choice. The decision of what's the most important thing is mine, not yours.\"\n\nI never saw that neurologist again.\n\nOn to the rheumatologist. After an examination, he told me my anticonvulsants had probably damaged the soft tissue in my joints, which may have played a role in creating the lump on my finger. He recommended an anti-inflammatory to lessen the joint pain and started filling out the prescription.\n\n\"Excuse me,\" I said. \"What effect will this drug have on my anticonvulsants?\"\n\nHe kept writing. \"I've never heard of it having any effect.\"\n\n_I've never heard of that as a side effect..._\n\nI looked on the credenza behind him. A copy of the _Physicians' Desk Reference_ was lined up alongside other books.\n\n\"I didn't ask what you've _heard_ of,\" I snapped. \"I asked what's going to happen. Now, could you look it up in the _PDR_?\"\n\nThe doctor stared at me with an expression of anger and disbelief, then grabbed the book, flipping through the pages. The fury in his face vanished before he spoke again.\n\n\"Well,\" he began slowly, \"it might raise your Dilantin level. But that's not a big deal.\"\n\nI was going to enjoy this.\n\n\" 'Not a big deal,' \" I repeated softly. \"That's good to hear. 'Not a big deal.' \"\n\nI let a moment pass, then leaned forward. \"Tell me,\" I said as I glared at him. \"What's my Dilantin level?\"\n\nSilence, then a look of panic. He had no idea. \"Well, I assume it's in the therapeutic range...\"\n\n\" 'I assume,' \" I sneered, sarcastically mimicking his tone. \"You _assume_? Are you _kidding_?\"\n\nI took a breath, trying to keep from screaming. \"I'm at the _top_ of the therapeutic level. And when you raise drugs to higher than therapeutic, they can become toxic. So this _is_ a big deal.\"\n\nI stood. \"You're incompetent,\" I said. \"And you're fired.\"\n\n* * *\n\n\u2014\n\nOn New Year's Eve 1988, I wandered uncomfortably through an Upper East Side home stuffed with antique furniture, high-end glassware, and artwork. Each table held expensive decorative pieces, all of them breakable. A convulsion here could cause thousands of dollars in damage.\n\nAn array of well-dressed people bustled about, enjoying gourmet food and vintage wines. I had traveled to this party straight from the _Times_ and felt utterly out of place. I was a newspaper scribbler, far from high-class. The owners of this home were the in-laws of my college roommate Franz, who lived in New York and had insisted I attend the party. The previous New Year's Eve, I had gone to South Street Seaport, where I had a seizure. I ended up in the hospital, and a nurse found my emergency contact information. That led to Franz being called away from a romantic evening with his wife so he could take me home. Not this New Year's Eve, Franz insisted. He would not walk out on his in-laws. If I had a seizure, he wanted me close by.\n\nHis demands were all a ruse. He knew that I would be uncomfortable in the fancy apartment, worried about expensive breakables and possibly about embarrassing him if I experienced convulsions. There was someone he wanted me to meet, and he didn't want to get into a debate with me about whether I would come. But he knew I would never refuse if he portrayed the invitation as being for _his_ benefit. So he decided to trick me into joining the party.\n\nI avoided food and drink to protect against dropping them on the rugs, which looked as if they would cost more to clean than I earned in a week. I wished I hadn't come; I could have avoided the chance of disrupting Franz's night by just staying in bed in my apartment.\n\nNearby, I saw a woman in a dark dress on a piano bench. She looked right at me and smiled. I immediately thought that her green eyes were stunning. She patted the spot next to her, inviting me to join her. I felt embarrassed; this woman was _way_ out of my league. When she spoke, the words came out in an elegant accent I could not quite place, a mixture of British, French, and something else. She introduced herself as Theresa Pearse. She was loosely related to Franz; her older sister had married an older man who was the father of Franz's wife. I ran that through my head\u2014Theresa was effectively Franz's aunt, though she appeared to be about my age.\n\nWe spent the evening talking. Usually I was nervous speaking to single women socially, but I felt relaxed, with none of my typical self-consciousness. She was flirtatious and intelligent and somehow made me forget my belief that I had been invited to keep me out of trouble. She mentioned that she was wearing a knee brace because she injured herself in a skiing accident. I glanced down; until that moment, I had been so captivated I somehow missed seeing the medical device wrapped around her leg.\n\nShe told me that she was halfway through a medical internship in Philadelphia and would be working as a resident in July. She had traveled to New York for the party and was staying with her parents, who lived nearby. I told her about my job and my background, but mentioned nothing about my health.\n\nUnknown to me, she had already learned everything from her sister when Franz married into the family. For this evening, Franz had\u2014without telling me\u2014invited me as a blind date for Theresa after first making sure she understood how to react if I had a seizure.\n\nAs midnight approached, Theresa introduced me to her father, John Pearse. She took me aside. \"Watch,\" she said. \"Five minutes after midnight, he'll point at his watch and say, 'Well, Theresa, time to go.' \"\n\nTheresa told me this to give me time to think. At 12:05, she would leave unless I offered to walk her to her parents' house later. She did not know I worried about getting home by myself from empty streets where passersby would probably be drunk.\n\nMidnight arrived, and just as she had predicted, five minutes later her father pointed at his watch. \"Well, Theresa,\" he said, \"time to go.\"\n\nI stifled a laugh and made my decision. I offered to take her home if she stayed. She accepted. After thirty minutes or so, Theresa and I walked to her parents' brownstone. We kissed good night, and she headed inside.\n\n* * *\n\n\u2014\n\nDespite promising to stay in contact with her, I let two weeks pass without calling Theresa. Franz phoned me, annoyed I had broken my word. Theresa was his mother-in-law's sister, he said, and I couldn't be a jerk to her. My usual anxieties returned; I knew I owed it to Franz to call Theresa, but I feared she would shut me out once I told her about my health.\n\nI made excuses until finally I phoned her in Philadelphia. We spoke every night over the weeks that followed, except for one Tuesday. We discussed my visiting, which I knew couldn't happen until I told her about my epilepsy. I brought it up hesitantly, and she interrupted to tell me the seizures were not an issue\u2014Franz had told her everything long ago, she said. We set a date for my visit in late January, but pushed it off when the _Times_ sent me to Chicago to cover a financial scandal. When I returned to New York in February, Theresa invited me to come see her.\n\nI packed a bag and on the way out the door ran into my landlord, who asked where I was going.\n\n\"I'm headed for my first date with the woman I'm going to marry,\" I replied.\nAn audio letter from\n\nTHERESA EICHENWALD, 2017\n\nThe night I met Kurt, I was at my sister's on New Year's Eve, and I knew that we had essentially been set up on a blind date, and I was sitting in a dress that he actually remembers (and I didn't until he remembered it), and I had a brace on my leg because I had hurt my knee skiing. I remember sitting there at the piano thinking, I'm going to work my charms. I knew about his epilepsy from Franz, but I didn't think of it at all. It just never occurred to me that it would matter.\n\nWe really did get to know each other on the telephone, and I asked to hear the story of what he had gone through. More than having epilepsy, what struck me [was] the fortitude, and the ability to overcome obstacles without getting struck down. I had grown up in an environment where people would create obstacles that didn't exist, and here I was, talking to somebody who had real obstacles and overcame them.\n\nOther than him answering my questions about his past, epilepsy really [wasn't the] focus at all in our conversations together. Then he finally did come down to meet me, and the only way that epilepsy ever really entered in the beginning of our relationship was that because of his medication, he could fall asleep just by closing his eyes, and was often deeply, deeply asleep and was hard to wake up in the morning. But so what?\n\n# CHAPTER TWENTY-EIGHT\n\nEight months later, Theresa and I stepped into a Manhattan restaurant hoping we had dressed appropriately for the evening. At a long table near the entrance, we saw a crowd surrounding Arthur Sulzberger, Jr., the heir apparent to the publisher of _The_ _New York Times_. Recently anointed as the paper's second-in-command, Sulzberger had been inviting staff members\u2014along with spouses or dates\u2014for small get-togethers to establish a rapport with employees, and I had been tapped for this dinner.\n\nI approached the table with customary \"meal with the boss\" anxiety. Without a word, Theresa stepped in front of me to take the seat directly across from our host. To anyone else, her move might have seemed like a nervy way to get face-to-face with one of New York's most powerful men. I knew better.\n\nIn our short time together, Theresa had learned how I assessed the dangers of my surroundings. In this situation, the chair where I was least likely to injure myself was to the left of where Theresa sat. The space around it was open, so if I went into convulsions, I wouldn't hit a hard surface other than the floor, and I wouldn't be trapped between the table and a wall. She also knew I would feel awkward sitting first in that spot; it would seem odd to take the seat catty-corner to Sulzberger, almost as if I were afraid to sit across from him. Theresa solved the problem, essentially blocking me into the spot she knew I wanted. I breathed a silent thanks to her, marveling at how lucky I had been to find her.\n\nThings had moved fast for us. Theresa had planned to enter a residency program in Philadelphia but transferred to one at Beth Israel Medical Center in Manhattan seven months after we met. I had been nervous about moving in together so quickly, but we had little choice. Residencies begin in July, and if she continued training in Philadelphia, we would have been forced to live in separate cities for at least two years.\n\nEven before she arrived in New York, my emotional barricades started to crumble. I had spent years focused on myself and my professional goals. Despite the outward signs of success, I lived in constant fear that a health setback or the revelation of my debilitated memory could destroy the life I had built. My dismissal from Swarthmore and my treatment by the Nader group left me believing I could lose everything in a matter of days, so I focused only on myself and keeping my employers happy.\n\nAll that changed with Theresa. The daughter of Polish Holocaust survivors, she grew up surrounded by the sadness and guilt that tore at her parents. Death loomed over the household; her father's family had all perished in the Warsaw Ghetto and the concentration camps, while her mother's youngest brother had sacrificed his life to save another sibling. Theresa's parents fled Poland to England, where she was born, then moved to the United States. But they were adrift in their lives\u2014Jews who abandoned their faith out of anger at a God that allowed millions to die, Americans who never adapted to the culture of their new homeland. The disconnect between her cultural acclimation and her parents' alienation left Theresa torn between two worlds. When she tried to explain that growing up in the United States made her more American than the rest of the family, her mother responded, \"Isn't that a pity?\"\n\nShe possessed a happy, carefree side to her character and a sense of humor that matched my style, but Theresa was often shrouded in the gray sorrow of her upbringing. In our earliest months together, she offered me support in managing my feelings that stemmed from the constant threat of seizures, while I shared with her the lessons I had learned from a decade of health problems. I discussed finding the joy of each day, of escaping the emotional bonds of our past. We would sit talking on our bedroom floor, with me encouraging her to pursue her dream of becoming a clinician, rather than joining academic medicine as an homage to her father's goals that had been dashed by the war.\n\nWe became a mutual support system. For the first time, I told someone other than a counselor about my beating in Chicago. I no longer needed to record my thoughts in audio and written diaries; Theresa wanted to hear everything, whether from the past or from that day. My mindset changed from focusing on my own struggles to concern about helping the woman I loved to cultivate the humorous, daring, and joyful person submerged by her upbringing.\n\nIn short order, we also discovered our different upbringings could lead to hilarity. Born in Britain and raised in Manhattan, where she attended a French school with the children of diplomats, Theresa spoke in a way that sometimes left me confused. When she told me my shoes were in the cupboard, I headed for the kitchen, puzzled why she had put them in with the dishes; after a laugh, she let me know that \"cupboard\" was a word used by the British for \"closet.\" Another time, she asked me to fetch my dressing gown. I stared at her for a moment, then said \"American English, please?\" She wanted me to get my robe.\n\nThe night at the deputy publisher's dinner was the first time I saw Theresa's true character on public display. The gathered reporters peppered Sulzberger with questions about the _Times,_ his plans, and himself. When he learned Theresa was a doctor, he asked about her work. Sulzberger was fascinated by her description of problems caused by new city medical rules and invited her to write a piece for the _Times_ about them.\n\nEventually, Tamar Lewin, a reporter sitting beside Sulzberger, asked a question. \"How does it feel to be in a fishbowl, to know everyone is always watching everything you do?\"\n\n\"Well,\" Sulzberger began, \"I really don't feel like everybody's watching\u2014\"\n\nAt that instant, Theresa reached across the table and brushed Sulzberger's cheek.\n\n\"You have food on your face,\" she said.\n\nThe table went silent. Then Sulzberger and I broke out laughing. There was nothing on his face. Theresa was teasing one of the most powerful men in New York, someone she had just met. This was the woman I knew, one of confidence and daring humor. Serving as each other's anchor was changing us both.\n\n* * *\n\n\u2014\n\nLater that month, I kneeled in the small kitchen of our one-bedroom apartment, bagging garbage while Theresa washed dishes. Despite the humdrum nature of my chore, I considered staying in that narrow room to be an accomplishment; if I experienced a convulsion there, my head would hit the countertop. But Theresa had helped me set aside some of my worries. _Take the chance_ was her attitude. I needed to walk into narrow rooms. There were too many to avoid them all.\n\nAs I tied the bag's drawstrings, Theresa interrupted my thoughts in the most dramatic way possible.\n\n\"So, when are you going to ask me to marry you?\"\n\nI looked up from the garbage. Theresa, I knew, was the woman I had envisioned years before when I planned my life at Northwestern. She was, as I had imagined, like the television character Laura Petrie\u2014fun, funny, intelligent, supportive. I had feared my seizures would drive any woman away, but they bothered Theresa only to the extent they bothered me. I hadn't intended to make any big decisions while struggling with a Hefty bag, but I knew the answer to her question. Life was too short to delay.\n\n\"How about now?\" I replied. \"Want to get married?\"\n\nShe said yes, and I apologized for not having a ring. After all, I hadn't expected to be asking that night. The next day, we visited Saks Fifth Avenue to purchase some earrings to commemorate our big day\u2014we wanted to spend more time shopping for an engagement ring.\n\nWe planned the wedding for July 1990. For months, I silently pitied myself because my condition would rob me of some traditions. With my sugar restrictions and my knuckles swollen from medication, there would be no wedding cake or ring for me. To surprise me, Theresa quietly solved both problems: She contacted a jeweler, who manufactured a clasped ring, then arranged for the baker to make the top tier of our wedding cake sugar-free. Those were the greatest gifts I could have imagined.\n\nThe seizures remained part of our lives, but Theresa handled them with aplomb. Once while she was on call at Beth Israel, a doctor from Roosevelt Hospital phoned her. I had experienced a grand mal seizure on the street, the doctor said, and had been brought to the ER. Someone needed to come for me. Theresa couldn't leave the hospital, so she contacted Franz.\n\nI awoke in the ER with no memory of what had happened. Whenever I found myself in a hospital alone, I checked my body for clues to where I was when the seizure occurred. I dug into the pocket of my jeans and found a ticket stub. I figured I must have been at a movie or coming home from one when the convulsions struck. But knowing that was no help\u2014I remembered nothing. I read the stub.\n\n_Total Recall._ The newly released Arnold Schwarzenegger movie. I laughed\u2014I had forgotten _Total Recall._\n\nA doctor who looked like Chuck Norris appeared. \"What's so funny?\" he asked, sounding amused.\n\n\"Nothing,\" I said. \"Hard to explain.\"\n\nFranz showed up soon after. When the doctor stepped away, Franz marveled at how much he looked like a G.I. Joe action figure. I didn't disagree, but still thought he was more of a Chuck Norris type. Finally, G.I. Norris gave me the all clear, and Franz took me to his apartment. There, I slept off the seizure until Theresa arrived home the next day.\n\nThat seizure, which gave me a funny story to tell for decades, was the last one I experienced as a bachelor.\n\n* * *\n\n\u2014\n\nAfter our marriage, Theresa felt more comfortable bringing up a subject that she knew, for me, was frightening: Should I try a new medical treatment to control my epilepsy? She didn't understand why I was still experiencing convulsions; she had little training in neurology and believed that, if I received better care, they might stop. By then I was seeing a neurologist in New York, Dr. Aaron Brachfeld, and he was deliberate and methodical, never arguing when I told him I was too frightened to accept his recommendations that I try new medications. Even when he assured me that my severe joint pain could be a side effect of the Mysoline, he accepted my refusal to stop taking the drug.\n\nMy stubbornness angered Theresa. I had explained how my past made me resistant to change, but she thought my willingness to tolerate the situation was absurd. She did not want me to suffer from falls and fears out of obstinacy.\n\nOne day at Beth Israel, she attended a lecture by a neurologist, Dr. Douglas Pressa. Fascinated by the talk, she decided that he might be the neurologist who could help me. She returned to our apartment and urged me to make an appointment. We bickered until I finally caved, accepting her argument that I had allowed dread to overpower reason.\n\nKnowing I was terrified, Theresa accompanied me to Pressa's office. I glanced around as we sat in the waiting room. Everyone was thin. _Everyone._ It was stunning. I wondered about the statistical probability that so many people in one room would appear almost anorexic. My anxiety level climbed.\n\nA nurse summoned me, and I kissed Theresa before heading off. I was escorted to the EEG lab, where electrodes were once again attached to my scalp. I hated the test but felt relieved Pressa had not asked to inject electrodes through my jaw or slide them up my nose.\n\nOnce the technician finished, she picked up the fanfold of paper showing the tracings of the electrical firings in my brain. She carried it to Pressa's exam room as I followed, then laid it down near me.\n\nI waited for several minutes until the door swung open and Pressa zipped in. His energetic demeanor was at once impressive and intimidating. We exchanged greetings. Then he walked to the table holding my EEG tracings. He ran his thumb up the side of the paper, turning pages rapidly as if he were studying an animation in a flip-book.\n\n_Is it really that easy to read an EEG?_ I thought.\n\nHe conducted a quick neurological exam\u2014look here; squeeze this; push that.\n\n\"Okay,\" he said. \"We need to change your medication.\"\n\n_So fast?_ All Pressa knew about me were vague details from a form I filled out. He had asked me nothing since coming into the room. He needed to slow down, I thought, so he could tell me about his thinking and learn about my background.\n\n\"Why do I need to change?\" I asked.\n\n\"Because you're still having grand mal seizures. It's not safe. They have to be stopped.\"\n\nI couldn't argue with that, but I also knew any attempt at achieving better control might fail. And what if new anticonvulsants caused problems that kept me out of work?\n\n\"I'm very uncomfortable changing drugs,\" I said. \"I've had so many problems in the past\u2014\"\n\nHe interrupted. His tone was brusque, almost angry.\n\n\"Fine, do nothing,\" he said. \"Let the seizures keep happening. Let yourself become demented in five years. You can sit in a chair, drooling in a corner, and never be able to hold your own kids. Is that really what you want?\"\n\nI felt as if a spear had pierced my chest. Was that my destiny? Was he lying? _Why hasn't Naarden told me I could become demented?_\n\n\"That could happen?\" I asked.\n\n\"It _will_ happen if you insist on doing nothing.\"\n\nConfusion and anger overtook me. Craddock, the doctor who overdosed me, had told me everything was fine, and I believed in him. Then the doctor in Chicago exposed that the drugs were killing me. I believed in Naarden, but he had never mentioned my doomed future; Pressa had no reason to lie.\n\nFor years, I'd overruled neurologists, following Naarden's maxim that I was sole arbiter of whether the seizures outweighed side effects from a drug change. I never considered that, by letting seizures continue, I was destroying my brain. _How could he not have warned me?_ I thought.\n\nResistance fell away. Pressa was my new savior. \"So, what should I do?\" I asked. \"I really need to change medications?\"\n\nAbsolutely, Pressa replied. \"This has to stop.\"\n\nI remembered Naarden had once recommended trying Tegretol again. I asked Pressa if that was a good option. No, he said. There was another medication he thought would be best.\n\n\"It's not available in the United States, but it's quite promising and could be very helpful,\" he said.\n\nI was confused. \"It's not available?\"\n\n\"It hasn't been approved by the FDA, but it's showing good results.\"\n\n_Wait a minute._ I knew what this meant from my own reporting about medical research. If the government had not approved this drug, it was experimental. That meant doctors were still testing it to determine if it was safe and effective; only neurologists cleared to conduct the studies could obtain the medication. Pressa had to be one of them. If he wanted me on this anticonvulsant, that meant he hadn't recruited enough patients to participate in the study. I would have to sign a document called an informed consent before he could add me to the pool of test subjects. He _did_ have a motive to lie to me about my future. He needed patients for his research.\n\nI feigned ignorance. \"If it's not approved by the FDA, how can you get it?\"\n\nHe smiled. \"I'm one of the researchers in the clinical trials. So you're lucky, because there aren't many doctors who have access to the drug.\"\n\nI swallowed my anger and continued to act oblivious. I no longer doubted that Pressa was trying to manipulate me, but I still feared his warnings about my future might be true.\n\n\"Does it have side effects?\" I asked, knowing the answer was yes. All anticonvulsants did. I wanted to check his honesty.\n\n\"Nothing serious has turned up,\" he replied. \"The most common one we're seeing is weight loss.\"\n\nI thought back to the waiting room. I had marveled at the statistical improbability of so many people in one room being so underweight. This experimental drug caused weight loss.\n\n_He's pushed all of his patients into this clinical trial,_ I thought. I felt an urge to punch him.\n\n\"I'm going to give this some thought,\" I said calmly. \"I don't want to make a decision right away.\"\n\n\"All right. But don't take too long. There's a limited number of patients who'll be allowed into the study.\"\n\nI thanked him and strode briskly through the waiting room, desperately wanting out of that office, out of that building, out of that city. I saw Theresa chatting with a woman who appeared younger than me. An astonishingly thin woman.\n\n\"Theresa,\" I said curtly, \"let's go.\"\n\nI didn't wait for her. I needed to get away. My mind churned. Was I going to become demented? Was it all a lie so Pressa could have his test subjects? Would I never be able to hold my children? Was this experimental drug really my only hope?\n\nI reached the elevator bank and pushed the button. Theresa caught up with me, annoyed that I had rushed off without waiting for her.\n\n\"How did it go?\" she asked.\n\nI stared up above the elevator door, anxiously waiting for the down light to flash on.\n\nMy voice was soft, my tone one of contained fury. \"We're going to Dallas,\" I said. \"I have to see Naarden right away.\"\n\n* * *\n\n\u2014\n\nI waited until we reached our apartment before recounting to Theresa what had happened with Pressa. My emotions were a jumble of anger and fear. I talked about my terror of becoming demented in my thirties, of being too feeble to be a father to our future children. But if it was all a lie, how could Pressa have done it? How could my well-being be less important than his research? Theresa then confirmed my belief\u2014the thin woman I had seen in the waiting room had mentioned her treatment. She was taking the same experimental drug Pressa recommended for me.\n\nI walked into the bathroom and climbed into our empty tub. That was a dangerous place, particularly given that my extreme stress could trigger a seizure. But I needed to feel contained, protected. I sobbed as I talked about my uncertain fate. In my mind's eye, I pictured my demented self in a chair, head lolling to the side, oblivious to children playing around me.\n\nTheresa didn't know what to do. She had never seen the psychological collapse I experienced in moments of deep distress. She knew about my run-ins with neurologists, my dismissal from Swarthmore, my beating in Chicago, although I had held back on revealing the rape out of shame and embarrassment. While she felt empathy over these experiences, they were all tales from a far-off past. Now, for the first time, she was witnessing the magnitude of my despair firsthand.\n\nShe suffered an upwelling of guilt for having urged me to see Pressa, and she felt responsible for my emotional turmoil. She went into denial herself, pushing away the possibility that her new husband might soon descend into senility. She had been raised to discount severe upheaval, to adopt the clich\u00e9 \"stiff upper lip\" of the British. She mentioned our dog.\n\n_\"The dog?\"_ I shouted. \"Are you kidding me? You want to talk about the fucking dog?\"\n\nEffusive apologies. She didn't know what to do, she said. She didn't know what to say. She began blaming herself for my torment; she should have left things alone. \"I didn't understand,\" she said.\n\n\"This is _not_ your fault,\" I replied, words rushing out amid tears. \"You wanted to help. Maybe you did. Maybe I am in danger of becoming demented. We don't know. That's why we have to go to Dallas.\"\n\nNaarden, whom I had continued to consult and visit for checkups when I was in Dallas, agreed to an urgent appointment. Theresa and I flew to Texas; we both told our bosses we would not be coming to work because of a family emergency. At Naarden's office, I introduced him to Theresa, then instructed her to stay in the waiting room. I wanted him to hear only from me about Pressa's prediction. If Naarden confirmed it, I knew I would explode at him for having failed to warn me of the danger.\n\nFirst, small talk. Naarden congratulated me on my work for _The New York Times_. I thanked him, then abruptly got to the point. I recounted Pressa's statement that if the seizures didn't stop, I would be demented in a few years.\n\n\"That is untrue,\" Naarden said. \"There is _no_ research showing epilepsy leads to early-onset dementia in adults. It's the other way around. The medical literature does suggest that elderly patients with Alzheimer's develop seizures. That has nothing to do with you.\"\n\nRelief washed over me. \"I think that answers my second question, but I need to ask. He said I would be so debilitated if I didn't stop the seizures that I wouldn't be able to hold my children, and I would just be drooling in a corner.\"\n\n\"That's _ridiculous,_ \" Naarden said. \"I have many patients who have grand mal seizures and are parents. You have to take some precautions, but there is no reason you can't be active in your children's lives.\"\n\nFears gave way, and fury took over. \"You want to know why he told me this stuff? He's running a clinical trial,\" I said. \"He told me these horrible things would happen to me if I didn't change medicines and that I should take the one he's researching.\"\n\nNaarden didn't look surprised, which unnerved me. He asked if I remembered the name of the medication. I told him.\n\n\"This is outrageous,\" he fumed. \"That's the problem for some of these doctors who run trials. They become entranced by the research and don't see the patient.\"\n\nHe said he wanted to report Pressa to his institutional review board, a hospital organization that supervises medical research to ensure it complies with ethical standards. What Pressa had done, Naarden said, violated those rules. Pressa had used his authority as a doctor in an attempt to manipulate me into signing up as a research subject.\n\n\"A person with your history should _never_ be in a drug trial, unless it's targeted for patients with seizures that have been poorly controlled long-term,\" he said. \"Particularly if all the standard treatments haven't been tried.\"\n\nI bristled. I knew where this was going. Naarden once again suggested that I should change my medications. Nothing experimental, only well-understood drugs approved by the FDA. I was still taking Mysoline and Dilantin. He advised tapering off the Mysoline, then substituting another drug for the Dilantin. This shift to a new mix would be done slowly, he said. He assured me that he understood why I had refused in the past. But the time had come for me to rely on the best medical knowledge about treatments, he said, and not allow my anxieties to dictate my decisions.\n\nI considered everything that had happened over the last few days: Theresa finding me a new doctor, arguing in an attempt to persuade me to consider treatment options, accompanying me to two appointments. Now the neurologist who saved me was saying I had been foolishly standing still, accepting my convulsions as just part of life, when I might be able to get better. I realized, once again, that I had been selfish. Whether I could deal with the seizures I experienced was no longer the issue. I had yet to include Theresa in the equation. I had no right to complicate her life simply because I was afraid. Plus, the pain in my joints that had been attributed to the Mysoline had been growing steadily worse.\n\nI agreed. For the first time in a decade, I would allow him to change my anticonvulsants.\n\nYears later, I wondered what had happened with the experimental drug Pressa had pushed on me. The FDA approved its usage, but it was quickly withdrawn after a number of patients developed a potentially fatal illness. The government eventually allowed the medication back on the market with severe restrictions. The manufacturer warned that it posed significant risks and advised using it only in extreme cases once safer medication had failed. In fact, doctors were forbidden from prescribing the anticonvulsant unless patients signed documents stating that they had been warned about the magnitude of the danger.\n\nPatients prescribed the medication succumbed to aplastic anemia. Anyone taking the drug was one hundred times more likely to contract it. People like me, who had already experienced life-threatening bone marrow problems caused by an anticonvulsant, are most at risk of developing this potentially fatal disease. The package insert for the medication contains a black box stating that people with my medical history should never take the drug under any circumstances.\n\nAt the time Pressa pressed me to join the research, those perils had not yet come to light. Had he succeeded in manipulating me into the clinical trial through a false depiction of my bleak future, I could be dead today, a victim of the same blood disease I'd barely escaped a decade before.\nAn audio diary from\n\nTHERESA EICHENWALD, 2017\n\nEpilepsy was not something I thought about when we got engaged. Really, in our day-to-day lives, it didn't factor in. Kurt took medication, sometimes he had seizures. I was frightened about getting married in general, but that had nothing to do with his health. Besides, I was getting desperate. [laughs]\n\nI'm not quite sure what to say. Kurt's asking me about memories of him and epilepsy, and how it affected our lives, and what I think of it. There's none of that to talk about. What there is to talk about is how much humor and wit and fun we have had.\n\nThere is something. One of the things that I found very, very difficult in the beginning was the feeling that he wasn't trying to fix this. I was trained in medicine, and when you're first starting off in medicine, you always feel that medicine can manage to fix everything and that things are simple. And Kurt's fears had made him very, very reluctant to seek medical attention. Rightfully so, he had only dealt with miserable experiences with doctors who had nearly killed him, and I didn't get it, and I really resented the fact that he wasn't trying to get better and get \"fixed.\" I kept thinking that if he would only see a new neurologist or a better neurologist, that he would be fine. I still feel guilty about having hooked him up with a neurologist I heard talking, who made it sound like epilepsy was a simple thing to take care of. But it's not always a simple thing.\n\nHe was afraid, and there were lots of things I didn't understand about him being afraid, and I took a long time to get it. And when I did, I think he recognized that I got it, and he relaxed, and he started to be a little calmer when he was sick. It's all a question of people reading each other correctly and treating each other correctly. I think that that's true in every marriage and I think what happens in marriages that fall apart is people don't try to understand each other and don't try to figure out how the other one works. It is also very, very possible that the fact that he had epilepsy and the fact that I have my own baggage made us pay more attention to each other and recognize that we each need each other very, very much.\n\n# CHAPTER TWENTY-NINE\n\nThe late-morning sun bathed Manhattan's West Seventy-second Street as Theresa and I headed home. I scarcely noticed. An intense desire to tear off my skin invaded my thoughts, along with an agitated sense that something else was wrong, something I couldn't identify.\n\n_My glasses._ They had bent. I was sure of it. I yanked them off my face and stopped in my tracks, twisting the frames to realign them until the metal snapped in my hands. Overwhelmed, I dropped to the sidewalk and sobbed as pedestrians stepped past us. Theresa kneeled beside me, quietly speaking while I aggressively rubbed my hands over my eyes. As if comforting a child, she assured me everything was fine, then coaxed me to stand. Gripping my arm, she led me the half-block to our apartment.\n\nI was in withdrawal from my decade-long dependence on high doses of Mysoline, the barbiturate that was my second-line anticonvulsant after Dilantin. Until Naarden started weaning me off the drug, I hadn't known I was a legal addict. Obsessions stuck in my head, like the false certainty my glasses had bent. I exploded in anger and anxiety, and my forgetfulness worsened. Once, I took a friend to dinner and, during the meal, ranted irrationally about some inconsequential matter. I paid the bill and stormed out; seconds later, our waitress ran after me on the street and handed me twenty-five cents. \"I don't need a tip like this,\" she said angrily. I apologized, told her I wasn't well, hadn't known I had left such an insulting sum, then handed her a twenty-dollar bill before rushing away like a madman.\n\nWithdrawal struck in waves. Naarden, in consultation with Brachfeld, my New York neurologist, would cut the dosage. The irrationality would return, then subside, and soon after he would reduce the prescription again. Sleep transformed into hours of tossing and turning and popping out of bed to pace around the apartment.\n\nBrachfeld prescribed Ativan to ease the symptoms. Even after purchasing the pills, I refused to take them. My brain was a mess, I figured; Ativan was another addictive medication. Better to suffer withdrawal, I thought, than to make things worse with more drugs.\n\nStill, I always carried the bottle of Ativan in my pocket, just in case. One day, I was at my desk in a four-person cubicle when I realized I was sweating through my shirt. I wanted to punch someone. I glanced around and saw a reporter I considered a friend. I became angry for no reason.\n\n_You're going crazy,_ I thought. I took out the Ativan, struggled to unscrew the childproof cap, then swallowed the pill without water. About twenty minutes later, I felt better. I considered taking more than had been prescribed. _I have to get control of myself,_ I thought. I put the bottle back in my pocket, then glanced toward a filthy window about forty feet away that overlooked West Forty-third Street. I knew that right outside, in Times Square, drug dealers were whispering to passersby that they were ready to sell.\n\nA calm came over me. I thought about illegal drug users who kicked their addictions. I was coming off a prescription medication slowly, with medical assistance. In the past, I had dismissed addicts as people who only needed to sweat it out. Now I understood: They desperately required the care of professionals to help them wean themselves from their dependence. I developed enormous admiration for addicts who managed to get clean.\n\nThe process of tapering off seemed endless, until the day came when I finally took my last piece of a Mysoline pill ever. A milestone, but I dreaded the next step: About a month later, my doctors would start adding a new medication. When that drug was at full strength, I would slowly come off Dilantin.\n\nWeeks passed. Then one afternoon at work, a thought: _When was my last grand mal seizure?_ I couldn't remember having had one in a long time. I called Theresa and asked if she knew the date of my last convulsion. She told me none had occurred in more than a month.\n\nI contacted Brachfeld, who sent me for a check of my drug levels. The Dilantin in my bloodstream had not changed\u2014near the top of the therapeutic level, too high to increase the dosage. But something unforeseen had occurred: The amount of Dilantin unbound to protein had increased. This \"free Dilantin\" was the active portion of the medication. The doctor explained the situation until I understood: Removing Mysoline had decreased the stimulation of an enzyme, which apparently led to a higher concentration of free Dilantin. Even though my dosage had stayed the same, the therapeutic amount in my blood had increased. That combined with the elimination of the sleepiness associated with Mysoline\u2014a side effect that could trigger seizures\u2014led to better control.\n\nI told my neurologists that I would not switch off Dilantin for a while; I wanted to wait and see what happened. A month passed. And another. No convulsions. I cautiously allowed myself to believe that, after twelve years, the grand mal seizures may have ended.\n\nSmaller seizures began. With little warning, the muscles in my left shoulder would contract, leading to a sharp movement of my head. This could be accompanied with a high-pitched, uncontrolled vocalization that sounded like a bark. Once this happened in a store where Theresa and I were browsing, and a woman rushed out of the back room announcing she wanted to see the dog. I hesitated mentioning this to Brachfeld\u2014I still feared how doctors would react to bizarre symptoms. When I told him, he was unfazed, saying these were myoclonic seizures and ictal barking.\n\n\"Seriously?\" I replied. \"It's actually called barking?\"\n\n\"It sounds like barking, doesn't it?\" he said.\n\nI took to calling these small seizures \"circuit breakers,\" imagining them as tiny bursts of electrical energy that shut down potential convulsions. This fantasy made me happy, since I could see each jerk as grand mal seizures I had dodged. These new episodes ended in a second. There was no postictal period, no confusion, no sleepiness.\n\nFor months, I still braced myself each day for convulsions that never came and was surprised that I experienced enormous trouble adjusting to this unexpected tranquility. Occasionally, I became convinced that a grand mal seizure was imminent, but nothing happened\u2014each time, it was just panic born of my past.\n\nOur lives calmed. No longer heavily sedated by Mysoline, I could go to bed and wake up refreshed, without having to drag myself from a drug-induced torpor. So it was that when Theresa came home from the hospital one weekend morning and jumped on the bed, I awakened instantly.\n\n\"Good morning, Daddy!\" she said excitedly.\n\nShe was pregnant with our first child. And with the convulsions gone, I would be able to hold our baby without fear.\n\n* * *\n\n\u2014\n\nAbout a dozen expectant couples sat on chairs in a circle, listening as a Lamaze instructor discussed the miracle of childbirth. The opening monologue droned in treacly platitudes; she wasn't _teaching_ us anything, except maybe how to write bad greeting cards. I knew Theresa, who was leaning against me, was having as much trouble as me keeping a straight face.\n\nThe instructor glanced around the circle. \"Now I want each of you to tell me why you came today,\" she said to the men.\n\n_To learn Lamaze for childbirth so we can be there for our wives,_ I thought. _What other answer is there?_\n\nA lot, apparently. The other men waxed on with saccharine fervor. Not one gave the obvious, simple answer that he just wanted to be taught about Lamaze. I thought the others were afraid to be honest, instead feeling compelled to rhapsodize disingenuously. Eventually, the instructor turned to me.\n\n\"So, Kurt,\" she said, \"why did you come to this class?\"\n\n\"I don't know.\" I shrugged. \"To pick up chicks?\"\n\nThe instructor and other couples looked at me in horror as Theresa broke out laughing, unable to stop until tears flowed from her eyes. She hugged me, and we both chuckled some more.\n\nWe knew our pasts made it difficult for us to take daily life too seriously. One of us had been immersed in the imminent threat of death for years, the other in the emotional remnants of genocide. We were loving, caring, and giving, but neither of us could tolerate mawkishness. We were never afraid to be matter of fact or to crack a joke at the expense of soppy, vainglorious emotionality. That was how we would raise our children.\n\nAdam was born in 1992, and in the hospital, I noticed something alarming: When he slept, Adam trembled and twitched. We had been warned epilepsy had a genetic component, and the possibility I had passed on the condition terrified me. The doctors wanted to take him to the ICU for observation, but Theresa refused to send away our new baby. After we returned home, I filmed Adam as he slept, and we brought the video to a neurologist, who ordered an EEG. Afterward, she assured us Adam was fine and the twitches would stop. They did, about a month later.\n\nOur second son, Ryan, was born in 1995, followed by Sam in 1997. As I had promised myself years before, I made family the centerpiece of my life. Everything else\u2014jobs, prestige, whatever\u2014was not even on the list. Theresa and I hugged our sons and told them we loved them multiple times a day, and I always sang to them after reading a bedtime story. We never listened to the radio while driving, instead using the time to talk. Although I had never been an athlete, I coached all of their sports teams.\n\nBoth Theresa and I made sure our sons knew they mattered more to us than our jobs. Once when I was in Houston covering a long-running criminal trial, I phoned the _Times_ to say that someone needed to take over for a day; I was going home for Adam's tenth birthday. My boss replied that I was not allowed to leave Houston.\n\n\"We all have to miss things,\" he said.\n\nI answered, \"I don't.\" The _Times_ could have a reporter there or not, I said, but I would not be absent during my boy's party. Having given him no choice, my boss caved and sent another reporter to take my place in Houston for two days.\n\nIn 2001, we abandoned our lives in New York to benefit our children. Commuting had robbed me of family dinners; the _Times_ had tried to accommodate the situation by allowing me to work frequently at our home in nearby Westchester County. But it wasn't enough. Theresa and I were both unhappy about their schools. Worse, we realized that children in New York\u2014even in the suburbs\u2014needed sharp elbows and thick skin. Our boys had neither. When we heard my mother might be losing her eyesight, Theresa announced it was time to leave. We wanted our kids to grow up in Dallas. On previous trips there, Theresa had visited my school, St. Mark's, and we both thought they would flourish if they attended.\n\nI approached one of my bosses, told him my family and I were planning to live in Dallas, and asked if I still could work at the paper. He responded that senior editors would have to confer about whether I would be allowed to transfer.\n\n\"You don't understand,\" I replied. \"I'm not asking for permission. I'm going. The only question is whether you guys want me to continue to work for the _Times_ when I'm there.\"\n\nThat night, as I lay in bed beside Theresa, I thought, _Who walks away from_ The New York Times _?_ I immediately knew the answer. Someone who understands what matters in life. Someone whose values have been shaped through suffering. A feeling I'd experienced in the past came roaring back, stronger than ever: I was glad I had been so sick. I was glad that I had confronted my own mortality, contemplated suicide, endured severe pain, been thrown out of school, been denied employment. It made me the person I had become. Without those experiences, I would have been a lawyer. While there is nothing wrong with the profession, I would have chosen law not out of interest but to dodge a fear of failure by taking a well-worn path. I loved my life. If I could go back in time, I wouldn't want to change a thing, because my trauma forced me to confront myself, to discover who I really am. To be happy.\n\n* * *\n\n\u2014\n\nWe moved to Dallas in 2001. I continued at the _Times_ as an investigative reporter, and Theresa opened a new medical practice.\n\nNo one in the family remembers when Theresa and I started discussing my epilepsy with the children\u2014they all say they knew about it as far back as they can remember. I continued experiencing jerks and barks, and while Ryan feared for my well-being, he came to understand this was just part of my life and I would be fine.\n\nWe ate dinner together almost every night, spicing it up with boisterous laughter, chatter, and bizarre jokes. Often the boys and I took turns trying to shock Theresa or to make her fall into uncontrollable giggles. When the kids witnessed small seizures, they kidded about them, just as my college roommates had. Our boys' friends often dropped by uninvited to join in our raucous meals. Taking a cue from my sons, they reacted to my occasional severe twitches with disregard or jokes, not alarm.\n\nWe established a few major principles in the house\u2014no emotional secrets; no one could be disciplined for admitting to misbehavior; and nothing would be punished more severely than lying, even through omission. However, we would also respect our children's privacy, never examining their computers, texts, or other communications with friends. The result of this expression of mutual trust was that the boys consulted us on deeply personal issues into their teenage years and beyond.\n\nBut I felt like a hypocrite. Despite our commitment to open communication, I kept a major secret, one that still tore at my psyche: I had never revealed to Theresa I had been raped in my midtwenties. I feared not only what she would think but also the impact on me from saying it out loud. When I'd first discussed what had happened with a psychologist years earlier, I hadn't been able to bring myself to utter \"rape.\" Instead, I'd relied on the more abstract \"sexual assault.\"\n\nMy decision to tell Theresa came as a sudden surprise to me. I hadn't planned on disclosing anything but suddenly felt a compulsion to reveal the truth. In our bedroom, I sat in an overstuffed chair and said I needed to discuss something important. Years before, after a grand mal seizure, I said, I had been raped. I winced at saying the word out loud and braced myself for her reaction.\n\n\"I know,\" she said gently.\n\nI was stunned and asked how that was possible. There was no single answer, she said; an accumulation of things I had said and done over the years led to her recognition that, despite everything else I revealed, I was still holding back on something deeply traumatic. With an irrational and overwhelming sense of guilt, I asked what she thought of me. She replied that she felt nothing but pride, both because I had not allowed the rape to cripple me and because I had finally found the courage to tell her.\n\n* * *\n\n\u2014\n\nAs life eased, I came to accept that my memory problems were worse than I had allowed myself to believe. I had known for years that I forgot names as well as events of little consequence. Long before, I developed compensation techniques for work to hide this part of my condition, especially from my bosses, who I feared might limit my assignments if they knew the truth. So, for work, I maintained extensive records, audiotaping or keeping notes on every conversation, whether with a source or an editor. I discovered writing notes by hand was nearly impossible; when I tried to focus on keeping the words legible and listening at the same time, I could not recall the second half of someone's statement after writing down the first. Typing interviews solved that problem\u2014my hands hit the proper keys without my thinking. Sometimes compensating proved costly. Covering trials required handwritten notes, since reporters were forbidden from using tape recorders or computers. To get around the problem, I would ask court reporters if I could purchase a rough transcript the same afternoon as a hearing. I usually paid for those records myself to avoid questions from the paper about why I spent the money instead of just writing down testimony.\n\nWhen I signed my first book contract in 1993, I recognized my memory problems might prevent me from keeping track of the volumes of documents and interviews such projects required. To compensate, I relied on intense organization. I adopted the narrative nonfiction style for my books, using time sequence as the basis for categorizing my reporting. My assistants transcribed interviews and sorted thousands of records by date. All of the documents, including interview transcripts, were placed in binders, color-coded, and labeled to identify the types of information they contained. Then we reviewed every piece of paper, scouring transcripts and documents for events and entering them into a massive time line. Each entry cited where I could find the information using coded identifiers. Running hundreds of pages, the chronologies served not only as virtual outlines of each book but also as an artificial memory so I would never overlook information I had obtained.\n\nI no longer kept such records in my personal life, and as my children grew, the severity of my memory impairment became apparent. While in the car one day, I suddenly felt regret for never having fished with the boys, a typical son-dad experience. Maybe they would have enjoyed the experience or just spending time with their dad.\n\n\"Guys, I've been thinking,\" I said. \"I owe you all an apology. I've never taken you fishing. I think that would have been fun. I'm really sorry. Maybe we can go soon?\"\n\nThe boys were silent for a moment. \"Dad,\" Ryan said, \"you took me fishing.\"\n\n\"Me too,\" Sam said.\n\n\"You've taken all of us fishing,\" Adam said.\n\nI felt certain they were mistaken. \"No,\" I said as we pulled up to our house. \"I never took you fishing.\"\n\nEveryone climbed out of the car. Adam walked to a corner of the garage and called me over. \"Look at this,\" he said, pointing at shelves against the wall.\n\nI stared in disbelief. Four fishing poles and tackle boxes. I opened one and saw lures, line, weights, and bobbers. They were dirty, and the box smelled like it had been used many times.\n\n\"You took each of us fishing,\" Adam said. \"That's why these are here.\"\n\nI still remember nothing about these trips. Later, I looked at photographs and found an image of the boys peering out of an icehouse. I tried to recollect where this had been; no luck. Theresa told me the photo was from our vacation to Lake Louise in Canada. Not only had I been there, but I took the picture. The memory either hadn't been stored in my brain or could not be retrieved.\n\nThe dam of truth opened. Theresa told me I forgot far more than I realized. She would tell me a story, and a week later I would remember nothing about it. I could watch the same television show repeatedly, not knowing I had seen it before.\n\nI reverted to old habits and tried to push the problem aside. Instead, it loomed even larger\u2014in 2007, a failure to remember an event in my personal life caused serious problems at work. I was plagued by uncertainty; I wondered, how did experiences unremembered differ from those that never occurred?\n\nNaarden had retired from his practice by then, although he still played a role overseeing research at Medical City. My new neurologist, Dr. Robert Leroy, had\u2014like Naarden and others before him\u2014urged me to switch from Dilantin in hopes of stopping the twitching and barking, but I adamantly refused. Now, distressed by my memory problems, I accompanied Theresa to Naarden's office.\n\nI told him I wanted to discuss forgetfulness. \"If I changed medication, would I recover lost memories?\"\n\nUnlikely, he replied. \"It might help with your memory going forward,\" he said, \"but you know that we can't tell you beforehand what will happen.\"\n\nBefore I asked the next question, Naarden changed the subject. \"I've been speaking to Theresa,\" he said. \"You're in denial about how bad things are with your seizures.\"\n\nI looked at Theresa. \"It's true,\" she said. \"I've been trying to tell you. You're too afraid to hear it.\"\n\nI didn't understand. I wasn't having grand mal seizures.\n\nTheresa told me I was wrong. I had experienced a major seizure at home while on the phone with a friend. No one had seen what happened, but the friend called her at the office, saying I had dropped the phone and wasn't picking up. Theresa telephoned Adam, who was in the house, and he found me on the floor. At fifteen, he already knew how to handle the situation.\n\n\"Dilantin is not the best medication for you,\" Naarden said. \"You need to change.\"\n\nFrom there, Theresa brought me to see Leroy. This, I realized, was a triple tag team\u2014Naarden, Theresa, and Leroy had planned an intervention.\n\nLeroy repeated the message that I was in denial about the poor state of my health and that the time to switch anticonvulsants had long passed. I asked again if changing would help me recover old memories or at least improve my ability to recollect events in the future. He repeated Naarden's assessment: Possible but unpredictable.\n\nLeroy prescribed Lamictal to replace Dilantin. The switch proved complicated and unpleasant. The shoulder and head movements as well as the barks stopped, replaced by a severe left arm jerk. That spasm was so strong and abrupt that, if I rested my arm on a dining table, I could suddenly knock everything onto the floor. I avoided carrying drinks in my left hand after splashing Theresa when I had a sudden jerk. Worse, I experienced severe tremors and sleepiness. I took Dilantin only before bedtime but Lamictal was three times a day. I carried the medication everywhere but still messed up the schedule. At interviews, I shut off the phone alarms I used to remind me when to take the drug\u2014if the chime sounded at an inconvenient moment, the discussion might be derailed. Afterward, I often forgot to take my medication or to turn the alarms back on.\n\nThe tremors were terrible. When I traveled to England to interview a lawyer for one of my books, I could not control my hands well enough to flip over a cassette; I was forced to ask the attorney to manage my tape recorder for me. On my return to the United States, customs officials pulled me out of line and demanded I explain why my hands were quivering so much.\n\n_Because I'm a terrorist!_ I wanted to yell. I was furious at being forced to give details of what was obviously a health problem to strangers, who then compelled me to answer personal questions unrelated to their jobs. This had nothing to do with protecting America\u2014they obviously just wanted to satisfy their curiosity.\n\nEventually came the day when Theresa and I were sitting on bleachers for the final assembly at St. Mark's, an annual event attended by students, parents, and faculty. I watched my hands tremble. We were sitting in a spot where, if my left arm jerked, I would not disturb anyone. A terrible thought struck me: I had been in these same stands for the same ceremony a year before, experiencing the same problems. I could not believe how much time had passed, how long I had been dealing with these side effects. When the assembly ended, we went to the car. I remember saying that I couldn't put up with this anymore, that I would rather be on Dilantin than continue shaking and jerking.\n\nI saw Leroy that week, and he prescribed a new medication, Lamictal XR. This was a long-acting dosage that kept a stable blood level. I would no longer have to remember a three-times-a-day schedule, just once before bedtime. After weeks of dosage adjustment, the trembling stopped, and the violent arm jerks dropped significantly in number and intensity.\n\nThe new drug released me from a fog. I realized I had separated myself from my children over the past year, playing less of a role in their lives, because of both my impaired cognition and my concern that the tremors would embarrass them in front of their friends. When I mentioned this, they each scolded me. Anyone troubled by my health, my sons said, was no friend of theirs.\n\nOnce my head cleared, I again took up the role of active father. Despite their assurances, I worried about how my recent year of troubles had affected my sons. Were seizures now a source of fear and anxiety for them? Or did they still view epilepsy as just part of my life, part of their lives, something that they could continue to treat as simply an unavoidable bother?\n\nThe answer came in 2009. Adam would graduate the following spring, and we were chatting about possible questions he might face in college interviews. We looked online for examples, some of which struck us as juvenile, such as \"If you could be any animal, which would it be?\" But many related to family life. One of us mentioned there was a chance a question might lead him to discuss my seizures. How would he answer, I asked, if someone inquired about how the family dealt with my epilepsy?\n\n\"I'd say, 'Mostly we just laugh at him,' \" he replied with a smile.\n\nFor minutes, we roared at the joke and teased each other. But his words meant far more to me than a moment of levity. I left his room minutes later secure in the knowledge that my family remained comfortable and calm about my health.\nAudio letters from my sons, 2018\n\nRYAN EICHENWALD\n\nI was always really, really proud that I had a dad that had been through hell and spat in its face and said, \"Not today.\" That had nearly died more than once and had resolved to live as hard as he possibly could. Knowing that I was the product of that is one of the things that I take more pride in than anything else, knowing that you fought your own brain and knowing that you survived all of that, and to a small degree knowing that it was for us.\n\nSAM EICHENWALD\n\nWe dealt with Dad's epilepsy in stride. We got used to it. Sometimes, it got kind of tough, but I personally grew to respect him more because of it, because on a day-to-day basis he had minor things he would struggle with but it really didn't affect him more than that.\n\nYes, he has a disability, but I honestly do believe that he used it as fuel to motivate him more to succeed in every aspect of his life. It's almost weird to say it, but knowing that and knowing how it inspires each and every person in our family, I think having epilepsy might have made him into a better man today than he would have been. He's faced countless struggles, not simply because of the epilepsy itself but because of people invalidating him and him going out and proving those people wrong. He helped impart the lesson to me of, if you work as hard as possible, then it doesn't matter who else is in your field, who else has what advantage over you, you can succeed, as long as you work hard. I have been endlessly inspired by this.\n\nADAM EICHENWALD\n\nEven though you had seizures sometimes, epilepsy didn't define our lives. It wasn't really even a part of our lives, but the lessons learned from epilepsy not only drove our family but set me on the path for who I became. You learned life lessons from having epilepsy and then you turned around and instilled them in us.\n\nPeople shouldn't have to go through a near-death experience to understand that there are things in life they can control and things they can't control, that their lives matter, that even when the world's against you, you don't stop fighting. It's hard to remember when you've been beaten down over and over again. But you hit back when you're knocked to the ropes, you've got to get up and get back in there. Sometimes you fail, and sometimes you fail over and over again, but you can't give up. I think that's the biggest lesson that we learned from you and your past: Once you give up, it's over. So you can't give up.\n\n# CHAPTER THIRTY\n\nAlmost every year, someone from Swarthmore phoned me seeking a donation. And, as I had promised a school administrator just before my graduation, each time I refused. I had committed to deducting ten dollars a year from the college's debt to my family, the semester's tuition it kept after throwing me out of school. Perhaps, I often joked, if I lived for the hundreds of years it would take to balance the books, I might start contributing.\n\nWhile working on one of my books, I received another call from a Swarthmore fundraiser. This time, after I refused to give, she asked why. She seemed to detect that there was more than disinterest in my snub and wanted to know the details.\n\n\"I don't think you want to hear this whole story,\" I said.\n\n\"No, please,\" she replied. \"Did something happen to you?\"\n\nI paused. This woman was a stranger. My connection to Swarthmore was limited to reunions of Sixteen Feet\u2014the a cappella group still lived on decades after Carl and I founded it. I maintained no other connection to the school. The indignity of my dismissal\u2014being treated as a frightening oddity impeding other students' education, my disbelief at the falsehoods I had to defeat to gain readmission, my inability to forgive\u2014had warped part of me. My anger lay dormant until someone asked me about the school. Then the memories and rage would flood back.\n\nAs a term of readmission, Swarthmore had required me to keep silent about my dismissal and return, so I rarely discussed the ugly details with anyone outside the family, even in my _Times_ magazine article. But what could they do now, take away my diploma? So I spoke. For twenty minutes, I recounted the turmoil and solitude of those terrible months, the times when I thought I would lose my treatment, the fear of choosing between abandoning my school or possibly losing any chance for an education. I knew this woman should return to calling other alums, but for the first time, from a position of strength, I could tell the tale to someone affiliated with the school. I needed to talk.\n\n\"Oh my God, I am so sorry,\" she said at the end of my monologue.\n\n\"Thank you, and I hate to say this, but that doesn't mean much. The school never apologized. I succeeded in my life when they could have destroyed me out of their fears or stupidity about epilepsy. All of my accomplishments have been despite Swarthmore, not because of it, and until the school acknowledges that what they did was wrong, I want nothing to do with it.\"\n\n\"I understand,\" she said. \"But I _am_ sorry that happened.\"\n\n* * *\n\n\u2014\n\nDays later, my office phone rang. On the line was Stephen Bayer, Swarthmore's vice president for development and alumni relations. Apparently, news of my conversation with the fundraiser had reached him, and he hoped I would speak with him.\n\n\"Yours is a terrible story,\" he said. \"I want to assure you, nothing like that would ever happen now. The president personally and Swarthmore as a whole have a strong commitment to providing support to people with disabilities.\"\n\n_The president._ I realized I didn't know who held the job. It might still be David Fraser, who took the post in my senior year.\n\n\"I'm sorry. I haven't kept up. Who's the president?\"\n\n\"He was a professor, I think, during your time. Al Bloom.\"\n\nI couldn't believe it. \"Are you kidding? Al Bloom is president of Swarthmore? He was the most supportive person there when I was dealing with my health problems.\"\n\n\"That's good to hear,\" Bayer replied.\n\n_Al Bloom._ My mind reeled. The man whose wife, Peggi, had epilepsy, who met with me at their home when I was a freshman struggling with seizures, who encouraged me to participate in school activities. He was the professor who told me to ignore my grades, advice that helped me graduate with my class. When I fired my first neurologist, I ran to their home in search of support, and they tried to connect me with a new doctor.\n\nBayer told me that the school was taking my concerns seriously. He and Al Bloom wanted to travel to Dallas for a face-to-face discussion with me about what had happened during my years at Swarthmore.\n\n* * *\n\n\u2014\n\nTheresa and I agreed to meet with Bloom and Bayer for dinner at Mi Piaci, a favorite local restaurant. When they arrived, I gave Bloom a hug. I knew it probably took him by surprise, but my response to seeing him was almost involuntary. His support decades before had set me on a trajectory that allowed me to make my way from freshman year to graduation.\n\nA waiter escorted us to a table where we could see ducks swimming in a pond outside the restaurant's picture windows. After about ten minutes of preliminary conversation, I thanked Bloom again for everything he had done for me.\n\n\"You have no idea how important you and your wife were,\" I said. \"I seriously don't know where I would be right now if you hadn't helped me.\"\n\nBloom seemed to remember little about our encounters. I marveled that people could have such huge impacts on other individuals' lives, and not even realize what they had done.\n\nFrom there, it was on to recounting the events that led to my dismissal. Theresa had coached me ahead of time, urging me not to become bogged down in details. She knew from hearing the story herself that I could ramble about what had happened endlessly, shifting from narrative to fury to outrage to depression and back again.\n\nBloom and Bayer listened as I expressed my almost unquenchable anger about my experiences. I had prepared for our meeting by reviewing some of my records and occasionally laid out some details that seemed to make both men wince.\n\nAfter I finished, Bloom spoke. \"What can we do to repair your relationship with Swarthmore?\"\n\nI considered the question. Bloom was one of the good guys. Still, the young man who had been forced to fight the school needed official recognition that the college's treatment had been wrong, that the impact had been terrible. Throughout my career, I had never been able to shake the dread that everything could suddenly be taken away without warning. That was why I worked myself to exhaustion, refusing assignments only if they conflicted with the needs of my family: I feared that turning down a project could cause me to lose my job and my health insurance. Then there were the nightmares that still haunted my sleep about the night I was thrown out, the pleading as I tried to convince the administration that my treatment and life could end as a result of what they were doing.\n\n\"I need an apology,\" I said. \"I need someone to tell me, officially, that this never should have happened. And I want back the tuition that was stolen from my family.\"\n\nBloom nodded. But he made no commitments.\n\n* * *\n\n\u2014\n\nThe letter from Swarthmore arrived at our home shortly afterward. Usually, I threw away the school's correspondence, assuming it was a request for money or an announcement of a rah-rah alumni celebration. But this letter looked different, like something personal. I opened the envelope and unfolded the single sheet of paper. It was from Bloom, writing in his official capacity as the president of Swarthmore. The words struck me hard: After more than two decades, this was the school's official apology for illegally kicking me out.\n\n\"Theresa!\" I called. \"Come look at this!\"\n\nSoon after, Bayer called. The administration wanted me to return to Swarthmore and speak about my work as a journalist. This was no ordinary talk but part of a series of special annual addresses often delivered by prominent alumni.\n\n\"You'll be receiving an honorarium for the lecture,\" Bayer said. The amount: equal to the tuition I had told him my family lost for the semester I was forced out.\n\nI laughed. \"You guys are very, very smart.\"\n\nAn apology and a tuition reimbursement. For the first time, I felt like Swarthmore actually _was_ my alma mater, not just a place that had handed me an undergraduate degree.\n\nI told Bayer I would be delighted to deliver the lecture. Then, after I spoke to Theresa, we agreed to contribute the honorarium to the school and pledge twenty thousand dollars more. My decades of freezing out Swarthmore were over.\n\n* * *\n\n\u2014\n\nA stately beech tree spread its limbs over the porch wrapping the Second Empire house reserved for Swarthmore's president. As I approached the doors, I marveled at the heavy moldings and bounteous windows decorating the residence. In my years at the school, I had never visited the home, but on this evening, I had been invited to join Bloom there for dinner before delivering my lecture.\n\nThe meal was delicious, and Bloom and I spent some time discussing the changes at Swarthmore since the eighties. We chatted about the letter he had sent, and I commented how odd it struck me that the official apology came from someone who had offered so much support. The person who really owed me an apology, I said, was Whitaker, the school psychologist.\n\n\"He doesn't work here anymore,\" Bloom said. \"In fact, he was pretty much driven out of Swarthmore.\"\n\nYears after my graduation, Bloom said, Whitaker had set off school-wide controversy. He had been behind an effort to push another student out of the school after he decided she was suicidal, then fought to prevent her return. There had also been complaints that he told a woman being abused by her boyfriend that she bore responsibility for his behavior. After dozens of students launched a campaign to have him removed, accusing Whitaker of unprofessional and abusive practices, Bloom had agreed to assemble a team of outside experts to evaluate the students' claims. Whitaker resigned rather than allow his activities to be reviewed.\n\n\"Good,\" I grumbled. \"But it would have been better if he was fired.\"\n\n* * *\n\n\u2014\n\nOne of the best experiences of my life was taking college tours with my sons. The first time was in 2009 with my oldest, Adam. At that point, I could drive. The medication change that had begun two years earlier in my fruitless effort to regain memories had been brutal, but the side effects had lessened and the seizures abated when I switched from regular Lamictal to the extended-release form of the drug.\n\nWith a schedule of colleges and universities to visit, we drove across the East Coast without ever turning on the radio. Instead, we talked for hours about everything and nothing, about secrets and dreams, about goofy jokes and serious concerns; it was the same experience I would later share with my younger two boys when the time came for their college visits.\n\nWe arrived at Swarthmore after touring a half dozen other schools. Adam had expressed uncertainty regarding my thoughts about the college: Would I want him to attend or be opposed? I told him, even if I hadn't already made my peace with Swarthmore, his choice of college had nothing to do with me. The decision was his; I would not pressure him toward any conclusion.\n\nWe finished the official tour for prospective students and were walking up the path from Sharples Dining Hall. I could see the spot where I had fallen on my face in the gravel during a convulsion; fortunately, I remembered nothing of that experience, and it never turned up in any frightening dreams.\n\nI saw a man jogging toward us in sports attire that suggested this was a routine exercise for him. As he approached, his eyes lit up in recognition. I instantly identified him too\u2014Allen Schneider, the psychology professor who was the first official at Swarthmore to witness one of my seizures. He had helped after that convulsion in a hallway, met with me to offer his support, and ultimately led me to Al Bloom.\n\n\"Professor Schneider?\"\n\n\"Kurt!\"\n\nHe wrapped his arms around me in a tight embrace.\n\n\"I am so proud of you,\" he said. \"I didn't think you'd make it.\"\n\nI was amazed. Not only did Schneider remember me, not only did he remember the magnitude of my health problems, but he also remembered fearing for my well-being. Nearly three decades had passed since he saw my seizure, but our experiences still resonated in his mind.\n\nI introduced Adam to Schneider, and we spent a few minutes catching up. Then he resumed his run. Bumping into Schneider reminded me, Swarthmore was not just a place of nightmares. Yes, there had been trauma, but there had also been much kindness and support. Carl, Franz, Schneider, Bloom, and so many others made sacrifices that brought me to this moment with my son. I had borrowed their strength, and that blossomed, allowing me to confront years of challenges. Some people at Swarthmore almost destroyed me, but the community saved me. I could never allow myself to forget that again.\n\nAdam and I resumed our wandering, heading toward Clothier Hall, where I had directed _Pippin._ He stopped on the pathway.\n\n\"Where did you get buried in the snow, Dad?\"\n\nI had always been open with the boys about my experiences, holding back only on disclosing my rape. I finally told them about that while working on this book, asking if the revelation of my sexual assault would embarrass them in front of their friends; each replied that anyone who thought less of me or of them because of the attack was not worth their time.\n\nBut on the day we toured the campus, Adam knew that the night of the blizzard remained my most frequent nightmare. He had noticed that, when I discussed my seizures, I rubbed the inside of my right palm, the spot I had scraped along the ground repeatedly, forcing myself to stay awake as I crawled through the snow. Now he wanted me to show him where that horrible experience had occurred. I couldn't go back.\n\n\"It's far away from here,\" I lied. \"We don't need to go there.\"\n\nHe shook his head. \"No,\" he said. \"We do.\"\n\nThis wasn't curiosity. He wanted to force me to confront a major source of my fears. The enormity of that spot in my psyche had overwhelmed me for much of my life. And now Adam wanted to drag me back there, to see it again?\n\n\"No,\" I insisted. \"There's no reason to go.\"\n\nAdam stopped walking. \"We're going. I'm not moving until you agree to take me there.\"\n\nI knew Adam was stubborn enough that this standoff could last all day, so I agreed. We walked toward Wharton dormitory until we reached the site. I pointed out everything to him. That's where I fell into the tennis court fence. That's the lamppost I saw. Those are the stairs I climbed. Those are the windows where I could see students, the ones who couldn't hear my cries for help. That's where the student football player found me. That's the door he carried me through.\n\nAdam said, \"Okay, now look around, Dad.\"\n\nI did.\n\n\"Dad,\" he said, \"it's just a place. Something bad happened here. But it's just a place. See it for what it is.\"\n\nI stared at this monstrous location. Grass, trees, a fence, a building. These were the sights of a thousand other spots on a thousand other college campuses.\n\n\"It can't hurt you, Dad,\" Adam said. \"It's just a place.\"\n\n_It's just a place. It's just a place. Nothing more._ I had surrendered part of myself to this space of grass and asphalt. I had allowed it to control me, to haunt my dreams. But Adam was right. It was just a place.\n\nI turned and hugged my son. And then I thanked him.\n\n* * *\n\n\u2014\n\nOn the evening of March 25, 2011, Theresa and I walked across North Broadway in Los Angeles toward a windowless building. I told her this couldn't be the right place; with its shabby, dark blue fa\u00e7ade, the place looked more like an abandoned warehouse than the site for an important party.\n\nAn employee opened the front door, and we stepped inside. The rooms were gorgeous and well-appointed, at the opposite end of the spectrum from the building's outside appearance. We were escorted to a back room where crowds milled about. A goat's head hung on a brick wall, a decoration that struck me as an oddity for Los Angeles. I glanced around for faces I might recognize. No luck.\n\nSomeone called out that the guest of honor would arrive momentarily, so everyone stopped talking. Minutes later, a tall man appeared in the entryway accompanied by his wife.\n\n\"Surprise!\" the crowd yelled. My college roommate Carl Moor looked stunned to see so many people gathered to celebrate his fiftieth birthday. He made his way around the room, greeting everyone. When he saw me, we hugged as he thanked Theresa and me for flying in from Dallas for the party. I saw Franz, who had flown from New York for the party, and we also embraced.\n\nCarl, Franz, and I had stayed close since our final year in college. We visited one another occasionally, spoke by phone and email. My ties with Franz would undoubtedly be lifelong. In a strange twist, he was now my sort-of nephew, since his wife's stepmother was Theresa's sister.\n\nI chatted with Carl's wife, Ann, whom I had known for many years, and met his two children. Then I resumed looking through the crowd for anyone I had met during that terrible summer in Chicago. I saw Tom, one of Carl's two friends who had been staples of our social life during those months, and we spoke for a few minutes. Then I ran into Carl's brothers, Peter and A.J., and we discussed family, jobs, and stories from the thirty-odd years since we had last seen one another.\n\nThe distance I had traveled from desperately ill college student occasionally came up in the conversations with party-goers who had seen me at my worst. Some congratulated me on obtaining my goal of working in newspapers, particularly given that they had heard that years ago I'd been named one of the youngest senior writers ever at _The New York Times_. Others told me they had read my books, congratulated me on being a _New York Times_ bestselling author, or mentioned they had seen the Matt Damon movie based on my second nonfiction work, _The Informant_. When asked, I told them I was working on my fourth book, about terrorism and national security after 9\/11.\n\nEventually, I noticed an older couple across the room and recognized them as Carl's parents, Lynne and Donell Moor. I thought about their kindness to me in that dreadful time. During spring break of junior year, they also had let me stay in their home while I searched for a summer job. I remembered being touched when Donell told me that he was proud I'd had the courage to travel alone on Amtrak from Philadelphia to Chicago. We all knew that if I'd experienced a grand mal seizure on the train, I would have been taken off at the next stop and brought to a strange hospital in an unknown city, and then I would have had to find my way back home without friends or family to guide me.\n\nI brought Theresa over to meet the Moors. Hugs and introductions followed. Theresa and I talked about our kids, our work, our lives.\n\n\"How are things with your health?\" Donell asked.\n\nTheresa replied first. \"Not well\u2014\" she began.\n\n\"Wait!\" I interrupted. She was coming at this from a different context, I told her. What the Moors had seen and what she experienced were so dissimilar, the standards of good or bad from the two perspectives were unrelated.\n\n\"I'm doing really, really well,\" I told the Moors.\n\n* * *\n\n\u2014\n\nOne last promise to keep.\n\nOn a summer day in 2015, my children and I arranged to meet on F Street in Washington, D.C., one block from Union Station. Adam, who had graduated from Bowdoin College the previous year, drove from Baltimore, where he was working as an environmental scientist. Our youngest, Sam, was with me on his college tour, and he was being recruited by the University of Pennsylvania for his skills as a photographer. The three of us stood near a green awning, chatting as we waited on my middle son, Ryan; he was a student at Duke University and had been meeting with New York publishing houses in hopes of a career in that industry. Theresa had wanted to come but couldn't leave her medical practice for the one-day trip.\n\nRyan's train arrived, and he walked down Massachusetts Avenue to where we were waiting. I hadn't seen my sons together since Christmas, but I knew everything happening in their lives. They kept Theresa and me updated; having raised them knowing they could speak to us about anything kept open a flow of conversation. We spoke multiple times a week.\n\nCrowds wandered past as I looked at my three boys, successful young men who never would have existed if I had given up when my challenges seemed insurmountable. They were my reward, the personification of why I had struggled. Now I needed to take that last step, to honor the person I had been, the one who had made a commitment so many decades before that helped me achieve my dreams.\n\nSmall seizures had continued, but I mostly ignored them. After my fourth book was published in 2012, I joined _Vanity Fair_ as a contributing editor and then also took a job at _Newsweek_ as a senior writer. I believed things were good until Theresa and my neurologist intervened to once again tell me I did not have as much control as I believed. The doctor added another medication, called Onfi, and I struggled with the side effects as he adjusted the dosage. My boss at _Newsweek,_ Jim Impoco, was supportive and allowed me to take a day or two off whenever I was struggling with the fine-tuning of the treatment. My control improved but was not perfect. My neurologist told me for the first time in 2014 that I had what was known as refractory epilepsy. I did not know what that meant.\n\n\"It's intractable epilepsy,\" he said. \"It means it's very difficult to treat. We'll probably never achieve total control.\"\n\nNo matter. Naarden always advised me to find the balance between seizures, side effects, and an acceptable life. By that standard, I was satisfied. I found the balance. I achieved the life I wanted, and it all led to this moment on F Street with my sons.\n\nThroughout college, Adam had asked, \"When will we be going to Washington?\" They all knew of the promise I had made to myself.\n\n\"Soon,\" I always replied; it wasn't time until after he graduated. The other two griped that they would be left out for part of this experience, but I had no choice. I explained that I had to abide by the commitment I made based on a fantasy about my future. Only one, the firstborn.\n\nI told the boys to wait outside and pulled open the bright red door at the entrance of The Dubliner. I glanced around the dining room with dismay\u2014they had rearranged the tables from how they had been decades before. I needed to honor the promise precisely. I owed that to the person I had been.\n\nA hostess asked me if I wanted a table for one.\n\n\"No, actually I have something really strange to ask you,\" I replied.\n\nShe gave me a perplexed smile. \"Okay...\" she said hesitantly.\n\n\"Many years ago, in the early 1980s, I was in this restaurant at a time when I was very sick. Every day it took a lot of energy and effort to fight. Sometimes I didn't know if I could keep going.\"\n\nHer confusion gave way to fascination.\n\n\"I was here having lunch, and I gave myself a goal. I wasn't married and didn't have any kids. But I promised myself that someday I would come back here with my future son, and sit at the same table, and tell him I was proud of him. I've come here today with him to keep that commitment.\"\n\nThe hostess's eyes moistened. \"That's so incredible,\" she said. \"Which table was it?\"\n\n\"That's the problem. It's not there anymore. The tables have been moved to different places. So I was wondering if we could move a two-person table to the same spot where it was when I made that promise.\"\n\nShe nodded. \"Absolutely. Let me get the manager.\"\n\nAfter she explained the story to her boss, the two asked me to show them where the table had been. I walked to a window that looked out onto F Street.\n\n\"Right here,\" I said.\n\nEach of them hunted the room for a table they could move. As they searched, I studied the furniture. It might have been replaced over the years, but it looked exactly as I remembered.\n\nThe hostess returned. \"There aren't any two-person tables free right now. Would you be able to wait?\"\n\nI laughed. \"I've waited more than thirty years. I can wait a little longer.\" I told her I would be outside with my sons.\n\nAdam fetched a hard apple cider from the bar, then rejoined us outside. My sons and I talked for about thirty minutes until the hostess appeared.\n\n\"All set,\" she said.\n\nI looked at Ryan and Sam. \"I'm sorry, but it has to be exactly as I promised. Only the oldest. Maybe just go for a walk in the train station, but come back in twenty minutes.\"\n\n\"Okay,\" Sam said.\n\nAdam and I stepped inside. A table had been moved to where I had sat in 1984. I took the same seat, with the window on my right. Adam sat opposite me. I ordered a diet soda.\n\nI stared across the table at my oldest son. He was healthy, strong, built like a marine. I was stunned to realize that he was almost exactly the person I envisioned so many years before.\n\nI tried to speak, but the moment overwhelmed me. Finally I pulled myself together and looked him in the eyes.\n\n\"Adam,\" I said, \"I'm proud of you.\"\n\nI'd fulfilled the final promise, and my tears spilled forth. Adam took my hands.\n\n\"Dad,\" he replied, \"I'm proud of you too.\"\n\nI wept for a short bit, then dried my eyes. I asked the manager if we could move, this time to a spot for four people. The hostess brought us outside to a metal table alongside the black guardrail. Soon I saw Ryan and Sam walking back to the restaurant. They joined us, and we ordered lunch.\n\nI watched my three beloved boys eat and talk, then glanced up at the clear blue sky, translucent and serene. Realization washed over me. The period of pain and fighting had passed; the commitments to the young man I had been, the one who had struggled for so long, had all been kept.\n\nA new era in my life had begun.\nA note to readers from\n\nSCOTT THORNTON, 2018\n\nMy PTSD psychologist\n\nDespite his successes, post-traumatic stress symptoms associated with decades-old events prompted Kurt to get into psychotherapy a number of years ago. In that context, I've had the privilege of bearing witness to Kurt's painful, triumphant ongoing story. It offers both inspiration and practical guidance, not only for those who have epilepsy, but for anyone affected by trauma or abuse.\n\nFor each of us, there can come a moment when we must take stock of our circumstances, acknowledge what we desire, and then take responsibility for attaining those things. There will be setbacks, and there might be debilitating symptoms for which we must seek help. Grit and perseverance, delayed gratification, and the tools of stress management can be developed, and will be needed. The shift from survival to thriving entails balancing this fierceness with large doses of humility and extending ourselves to others. Also remember, like Kurt, to be grateful along the way. Take nothing for granted. Accept that the process of authentic living never ends, and that at any moment our world can be shaken.\n\n# AFTERWORD\n\n**Dr. Allan Naarden** retired from clinical practice. He now chairs the institutional review board that oversees research at Medical City, where Theresa also has admitting privileges. The two of them frequently lunch together at the hospital doctors' lounge.\n\n**Elva Eichenwald** died in 2016 at the age of eighty-five. She lived in a retirement home that was walking distance from our house, and we saw each other frequently. We had numerous conversations in the year before her passing about the events in this book, which she eagerly wanted published. In those talks, she told me about experiences I did not remember, as well as things she had never disclosed for fear of the emotional impact they might carry for me. Months before her death, St. Mark's named the nurse's office for her, posting a bronze plaque that said she was being honored for \"the care and love she dispensed.\" In the presentation of the plaque, which she attended, the headmaster of the school described her as \"the consummate Florence Nightingale.\"\n\n**Heinz Eichenwald** died in 2011, also at the age of eighty-five. My forgiveness for his errors in the earliest years of my convulsions never wavered. After his 1986 taping of his recollections of those events and his apology to me, we did not discuss those times again. I did not want to stir up any guilt or regrets for him. However, he often asked for details about the state of my health. After his death, the flags at University of Texas Southwestern Medical School, where he had worked for seventeen years, were flown at half-mast.\n\n**Eric Eichenwald** graduated from Harvard Medical School and is now chief of the Division of Neonatology at Children's Hospital of Philadelphia and holder of the Thomas Frederick McNair Scott Endowed Chair. He and his wife, Caryn, have three boys in their twenties and thirties.\n\n**Carl Moor** was named an associate justice on the California Court of Appeal by Governor Jerry Brown. He lives with his wife, Ann, and his two children are now in their twenties.\n\n**Franz Paasche** is senior vice president of corporate affairs at PayPal, the worldwide online payment company. He is married to my surprise sort-of niece, Alison. Their three daughters are now in their twenties.\n\n**Adam Eichenwald** graduated from Bowdoin College, obtained his master's degree at Yale University, and is currently pursuing a doctorate in environmental science. His fianc\u00e9e, Lauren, is studying to become a physician at the same medical school that Theresa attended.\n\n**Ryan Eichenwald** graduated from Duke University and is working in New York in the publishing industry. In his spare time, he has become a superb musician, playing both piano and guitar.\n\n**Sam Eichenwald** is attending the University of Pennsylvania, pursuing his interest in visual media. His work has won scores of awards in photography contests worldwide.\n\n**Dr. Charles Nicholson,*** my first neurologist, is chief executive of a small, little-known company that advocates the use of food additives for the treatment of Alzheimer's disease, depression, and chronic alcoholism.\n\n**Dr. Milton Craddock,*** who pushed my medications into the toxic range without checking my blood levels, has abandoned the practice of neurology and now works solely as a psychiatrist.\n\n**Dr. Matthew Strauss** ,* my Chicago neurologist, died a number of years ago. After the summer of 1981, I never spoke with him again. Except for the blood work and related diagnoses, the medical records generated from his interactions with me have consistently been disregarded by my subsequent neurologists.\n\n**Dr. Richard Roskos,** the psychiatrist I saw after my expulsion from Swarthmore, continues practicing in Dallas. After my return to college, I never saw him again in a professional capacity.\n\n**Dr. Leighton Whitaker** resigned from Swarthmore in 1994 after the college assembled outside experts to hear and evaluate students' grievances against him. A group of thirty students, called the Coalition for Improved Psychological Services, claimed to have \"uncovered a psychological service system which had not only engaged in unprofessional and abusive practices, but had effectively immunized itself from accountability.\" Melanie Wertz, the leader of the effort, spoke to me in 2017. She said her group discovered that Whitaker refused to give students referrals for psychiatric help and falsely told patients that antidepressants were addictive and would \"flatline\" their personalities. Moreover, Wertz said, students had complained that if they revealed depression to Whitaker, they could find themselves placed on involuntary leave. \"By reputation, Whitaker loved getting students thrown out of school,\" she told me. \"Everyone took it as a warning: Be careful not to say you are having gloomy thoughts, or he would get you kicked out.\" The motives for this puzzling behavior became apparent when I located a 2002 essay Whitaker wrote called \"Mental Health Issues in College Health.\" Whitaker focuses much of his analysis on minimizing lawsuits and on how to protect psychologists from criticism. Rarely does he comment on the welfare of individual patients. On the contrary, he states, in the context of discussing required discharges of students, \"Campus mental health staff have a definite obligation for the well-being of the community as a whole and not just to certain individuals.\" He disparages deans who \"may not relish\" dismissing students for fear of losing popularity and says school psychologists must conduct their work \"with a view to the benefits and hazards that might accrue to their particular institutions.\" He belittles \"new, uninformed and untested college presidents and deans\" who fail to protect the mental health centers. According to his family, Dr. Whitaker could not respond to my questions regarding the information in this book because of health problems.\n\n**Janet Dickerson,** the new dean of Swarthmore at the time of my dismissal, joined Princeton University as the vice president for campus life in 2000 and retired in 2010. During my reporting for this book, she learned for the first time the full story of the events surrounding my dismissal from Swarthmore. After I reached out to her regarding this book, and told her the whole story of my dismissal from Swarthmore, she reacted with shock. She sent me a touching apology, much of which is cited in this book. I forgive her and wish her only the best.\n\n* Pseudonym used.\nFor Dr. Allan Naarden, who saved me\n\n# ACKNOWLEDGMENTS\n\nI have written acknowledgments in a number of books, but I'm struggling with how to start these. This time, I am not just giving thanks to the people who played a role in the writing and publication of this book. This is also about expressing my gratitude for those who helped me survive and thrive.\n\nWhat words can be used to capture the depth of my appreciation toward people who saved my life, who loaned me their strength, who made it possible for me to have a family, to achieve my professional goals, to write any books at all? Every phrase seems inadequate. Every phrase _is_ inadequate. Even for a writer, language does not provide sufficient tools to express the magnitude of my emotions and my thankfulness. But language is all I have.\n\nThe names of many of the people who have my lifelong gratitude are evident in this book. My mother, Elva Eichenwald, found a grit she never knew she possessed in order to fight for me. I know that the experience caused her emotional scars; her tape-recorded diaries to me from the early 1980s make that clear. But from those depths, she was able to recover to heights as she watched her three children blossom and her seven grandchildren make their marks on the world. My brother, Eric Eichenwald, provided an important support to my mother and my father, according to their taped diaries. He was also there for me.\n\nOf course, I owe deep thanks to Dr. Allan Naarden, the neurologist who finally provided the correct diagnosis and brought me back to functionality. He never knew until he read the manuscript for this book how close I was to giving up on the day I met him. As I told him recently, if he hadn't been the great doctor he is, one who knows how to speak to patients, I likely would have died that week. I know there are many wonderful neurologists; I have been treated by several after Naarden retired. But he untangled the mess I had become by the day I arrived in his office.\n\nThen there are Carl Moor and Franz Paasche. As young men, they were presented with a medically struggling roommate, someone they barely knew. I believe many people that age, and in that situation, would have walked away. But both of them took on enormous emotional and physical challenges to help me. They stood by me even when our relationship was rife with tension. They have been my friends for decades, and always will be.\n\nI also must thank Jason Kinchen, Mari Cossaboom, and Errington Thompson, three dear friends who stood by me during the nightmarish months after I was dismissed from school and had to fight back against fictions. Each of them listened to me, each of them supported me, and all continue to be important people in my life.\n\nOthers played significant roles in helping me during bad times, but I haven't been able to delve into many details in this book. Some of the events involving them did not appear in my diaries, and so I could not reconstruct them. I did not obtain (or if I did, I did not subsequently find) tape recordings from them. But all of them should be acknowledged. Dave Robbins, the fourth roommate in our suite in sophomore year, has remained my friend from that day until now; he assumed a lot of responsibilities when I was getting particularly sick. Pat Cronin was there for me in my freshman year. Harry Schulz, Neil Fisher, Jocelyn Roberts, Karen Searle, Joelle Moreno, Julia Cutler, and many others were more of my heroes.\n\nAfter I graduated from college, a lot of great people hired me despite knowing about my seizures. Hedrick Smith, Ross Brown, and Wally Chalmers treated me not only like any other employee, but also like a friend. At the _Washington Monthly,_ Tim Noah and Jonathan Rowe were always kind, supportive, and encouraging. At CBS News, Joan Kelly, Eugenia Harvey, and Steve Manning were great colleagues who were sometimes called upon to deal with the consequences of my seizures and who offered me advice on career and life.\n\nAt _The New York Times,_ I was always treated like everyone else. Alison Leigh Cowen and Susan Keller both dealt with a few seizures and discussed the issues surrounding them with me. I have no idea who else to thank at the _Times_ because my epilepsy did not take center stage for anyone there.\n\nThe book itself could never have been written if not for the encouragement and support of Andrew Wylie and Jeff Posternak, the greatest literary agents in the business. Neither knew of my past, and some in the publishing world expressed concern that telling my story could damage my \"brand.\" From the first minute I told them of this project, Andrew and Jeff were strong advocates for it, and cheerleaders who helped me through some difficult times in the process.\n\nI can't say enough about Pamela Cannon, executive editor\u2014and my editor\u2014at Ballantine Books. Pamela championed this book from the beginning, sometimes understanding my goals better than I did. She offered major contributions that made this book better, and she also stood by me when the emotions of writing this book got tough.\n\nAs he has with so many of my books, Brent Bowers once again sprinkled his magic throughout these pages, giving me an invaluable second edit (with the first being from my wife). My friends David Michel, Jim Nadalini, and Ray Balestri provided important input as the readers of the first version of the manuscript. Jim Impoco\u2014my editor at _The New York Times, Portfolio,_ and _Newsweek\u2014_ not only provided great thoughts, but also has been an enormous professional support for me when medication changes were slowing me down.\n\nThe rest of the team at Ballantine were simply jaw-dropping in their talent. Kara Welsh, the publisher, pushed for me to make certain changes to the book that improved it immensely. Matthew Martin, who handled the legal review for Penguin Random House, had his hands full with me as sometimes we drifted into emotionally difficult issues, but he handled it with aplomb. Loren Noveck, production editor, and Katie Herman, copy editor, are easily the most brilliant people I have ever encountered on proper grammar; their work was astonishing. Rachel Ake and Paolo Pepe handled the beautiful jacket design. And there are so many others to thank: Kim Hovey, associate publisher; Susan Corcoran, director of publicity; Melanie DeNardo, associate director of publicity; and Quinne Rogers, deputy manager of marketing. Pamela's editorial assistant, Hanna Gibeau, was endlessly helpful, and, as I often joked with her, seemed to always make it into the office despite the worst of snowstorms.\n\nMost important of all are my wife and kids. Theresa and the boys\u2014Adam, Ryan, and Sam\u2014encouraged me to write this book, consoled me when some of the memories proved overwhelming, and accepted ugly details of my past with nothing but love and support. More than once, I walked away from my keyboard in tears, and Theresa was always there as my support, my shoulder to cry on. They have also lived through my medication changes, health setbacks, and improvements with the humor, laughter, and attentive disregard that have made my life a charmed one. I love you all more than I can express.\n\n# RESOURCES\n\nIf you, a family member, or a friend needs help in dealing with epilepsy, or if you want to learn more about the condition, go to:\n\nThe Epilepsy Foundation: **epilepsy.com**\n\nCitizens United for Research in Epilepsy: **cureepilepsy.org**\n\nPlease contribute to these wonderful groups, which are not only fighting so people with epilepsy can live full and complete lives but are also searching for a cure.\n\nDonate at:\n\nThe Epilepsy Foundation: **https:\/\/donate.epilepsy.com\/\u200bdonate**\n\nCitizens United for Research in Epilepsy: **cureepilepsy.org\/\u200bget-involved\/\u200bdonate**\n\nIf you or someone you know has been the victim of sexual assault, RAINN is a fantastic antisexual violence organization that offers numerous resources. For help, go to: **rainn.org** **.**\n\nIf you or someone you know is struggling with post-traumatic stress disorder, PTSD Alliance deals with the broad spectrum of psychological and healthcare issues. For help, go to: **ptsdalliance.org** **.**\n\n# BY KURT EICHENWALD\n\n500 Days: Secrets and Lies in the Terror Wars\n\nConspiracy of Fools: A True Story\n\nThe Informant: A True Story\n\nSerpent on the Rock\n\n# ABOUT THE AUTHOR\n\nKurt Eichenwald is a _New York Times_ bestselling author of four previous nonfiction books. His second, _The Informant,_ was made into a movie starring Matt Damon and directed by Steven Soderbergh. In addition to his distinguished work as a senior writer at _Newsweek_ and a contributing editor at _Vanity Fair,_ Eichenwald spent two decades as a senior writer at _The New York Times,_ where he was a two-time finalist for the Pulitzer Prize and a two-time winner of the George Polk Award, as well as the winner of the Payne Award for Ethics in Journalism and an Emmy Award nominee. He lives in Dallas with his family.\n\nkurteichenwald.com\n\nFacebook.com\/\u200bKurtEichenwald\n\nTwitter: @kurteichenwald\n\n# _What's next on  \nyour reading list?_\n\n[Discover your next  \ngreat read!](http:\/\/links.penguinrandomhouse.com\/type\/prhebooklanding\/isbn\/9780399593635\/display\/1)\n\n* * *\n\nGet personalized book picks and up-to-date news about this author.\n\nSign up now.\n  1. Cover\n  2. Title Page\n  3. Copyright\n  4. Contents\n  5. Epigraph\n  6. Author's Note\n  7. Prologue\n  8. Chapter One\n  9. Chapter Two\n  10. Chapter Three\n  11. Chapter Four\n  12. Chapter Five\n  13. Chapter Six\n  14. Chapter Seven\n  15. Chapter Eight\n  16. Chapter Nine\n  17. Chapter Ten\n  18. Chapter Eleven\n  19. Chapter Twelve\n  20. Chapter Thirteen\n  21. Chapter Fourteen\n  22. Chapter Fifteen\n  23. Chapter Sixteen\n  24. Chapter Seventeen\n  25. Chapter Eighteen\n  26. Chapter Nineteen\n  27. Chapter Twenty\n  28. Chapter Twenty-one\n  29. Chapter Twenty-two\n  30. Chapter Twenty-three\n  31. Chapter Twenty-four\n  32. Chapter Twenty-five\n  33. Chapter Twenty-six\n  34. Chapter Twenty-seven\n  35. Chapter Twenty-eight\n  36. Chapter Twenty-nine\n  37. Chapter Thirty\n  38. Afterword\n  39. Dedication\n  40. Acknowledgments\n  41. Resources\n  42. Other Titles\n  43. About the Author\n\n  1. Cover\n  2. Cover\n  3. Title Page\n  4. Contents\n  5. Start\n\n  1. v\n  2. vi\n  3. ix\n  4. xi\n  5. xii\n  6. xiii\n  7. xiv\n  8. \n  9. \n  10. \n  11. \n  12. \n  13. \n  14. \n  15. \n  16. \n  17. \n  18. \n  19. \n  20. \n  21. \n  22. \n  23. \n  24. \n  25. \n  26. \n  27. \n  28. \n  29. \n  30. \n  31. \n  32. \n  33. \n  34. \n  35. \n  36. \n  37. \n  38. \n  39. \n  40. \n  41. \n  42. \n  43. \n  44. \n  45. \n  46. \n  47. \n  48. \n  49. \n  50. \n  51. \n  52. \n  53. \n  54. \n  55. \n  56. \n  57. \n  58. \n  59. \n  60. \n  61. \n  62. \n  63. \n  64. \n  65. \n  66. \n  67. \n  68. \n  69. \n  70. \n  71. \n  72. \n  73. \n  74. \n  75. \n  76. \n  77. \n  78. \n  79. \n  80. \n  81. \n  82. \n  83. \n  84. \n  85. \n  86. \n  87. \n  88. \n  89. \n  90. \n  91. \n  92. \n  93. \n  94. \n  95. \n  96. \n  97. \n  98. \n  99. \n  100. \n  101. \n  102. \n  103. \n  104. \n  105. \n  106. \n  107. \n  108. \n  109. \n  110. \n  111. \n  112. \n  113. \n  114. \n  115. \n  116. \n  117. \n  118. \n  119. \n  120. \n  121. \n  122. \n  123. \n  124. \n  125. \n  126. \n  127. \n  128. \n  129. \n  130. \n  131. \n  132. \n  133. \n  134. \n  135. \n  136. \n  137. \n  138. \n  139. \n  140. \n  141. \n  142. \n  143. \n  144. \n  145. \n  146. \n  147. \n  148. \n  149. \n  150. \n  151. \n  152. \n  153. \n  154. \n  155. \n  156. \n  157. \n  158. \n  159. \n  160. \n  161. \n  162. \n  163. \n  164. \n  165. \n  166. \n  167. \n  168. \n  169. \n  170. \n  171. \n  172. \n  173. \n  174. \n  175. \n  176. \n  177. \n  178. \n  179. \n  180. \n  181. \n  182. \n  183. \n  184. \n  185. \n  186. \n  187. \n  188. \n  189. \n  190. \n  191. \n  192. \n  193. \n  194. \n  195. \n  196. \n  197. \n  198. \n  199. \n  200. \n  201. \n  202. \n  203. \n  204. \n  205. \n  206. \n  207. \n  208. \n  209. \n  210. \n  211. \n  212. \n  213. \n  214. \n  215. \n  216. \n  217. \n  218. \n  219. \n  220. \n  221. \n  222. \n  223. \n  224. \n  225. \n  226. \n  227. \n  228. \n  229. \n  230. \n  231. \n  232. \n  233. \n  234. \n  235. \n  236. \n  237. \n  238. \n  239. \n  240. \n  241. \n  242. \n  243. \n  244. \n  245. \n  246. \n  247. \n  248. \n  249. \n  250. \n  251. \n  252. \n  253. \n  254. \n  255. \n  256. \n  257. \n  258. \n  259. \n  260. \n  261. \n  262. \n  263. \n  264. \n  265. \n  266. \n  267. \n  268. \n  269. \n  270. \n  271. \n  272. \n  273. \n  274. \n  275. \n  276. \n  277. \n  278. \n  279. \n  280. \n  281. \n  282. \n  283. \n  284. \n  285. \n  286. \n  287. \n  288. \n  289. \n  290. \n  291. \n  292. \n  293. \n  294. \n  295. \n  296. \n  297. \n  298. \n  299. \n  300. \n  301. \n  302. \n  303. \n  304. \n  305. \n  306. \n  307. \n  308. \n  309. \n  310. \n  311. \n  312. \n  313. \n  314. \n  315. \n  316. \n  317. \n  318. \n  319. \n  320. \n  321. \n  322. \n  323. \n  324. \n  325. \n  326. \n  327. \n  328. \n  329. \n  330. \n  331. \n  332. \n  333. \n  334. \n  335. \n  336. \n  337. \n  338. \n  339. \n  340. \n  341. \n  342. \n  343. \n  344. \n  345. \n  346. \n  347. \n  348. \n  349. \n  350. \n  351. \n  352. \n  353. \n  354. \n  355. \n  356. \n  357. \n  358. \n  359. \n  360. \n  361. \n  362. \n  363. \n  364. \n  365. \n  366. \n  367. \n  368. \n  369. \n  370. \n  371. \n  372. \n  373. \n  374. \n  375. \n  376. \n  377. \n  378. \n  379. \n  380. \n  381. \n  382. \n  383. \n  384. \n  385. \n  386. \n  387. \n  388. \n  389. \n  390. \n  391. vii\n  392. \n  393. \n  394. \n  395. \n  396. \n  397. ii\n  398.\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n# Odette's  \nSecrets\n\n**MARYANN MACDONALD**\n\nFor George  \n _Il y a longtemps que je t'aime,_  \n _jamais je ne t'oublierai._\n\n_Odette Meyers and her mother, 1942_\n\n##   Contents\n\nRain in Paris\n\nCracked Glass\n\nMy Godmother\n\nTea with Sugar\n\nMy First Secret\n\nDifferent\n\nWar Comes\n\nThe Dark\n\nPapa Goes Away\n\nNo Eggs or Milk, No Jews or Dogs\n\nMissing Papa\n\nRunning Away\n\nBombers\n\nWhat Dangerous Looks Like\n\nLonely\n\nMy Mistake\n\nA Second Secret\n\nMy Orange\n\nAn Empty Bag\n\nMama's Story\n\nTwo More Secrets\n\nThe Raid\n\nTrouble\n\nMy Cousins\n\nAngels and Demons\n\nLies\n\nTorn in Two\n\nCourage\n\nMy Escape\n\nSoup, a Swing, and Another Secret\n\nA New Life\n\nTwilight\n\nHeaven\n\nFar Away\n\nMama Comes\n\nCountry Ways\n\nMama Comes Back\n\nA Small Stone Cottage\n\nTrue Peasants\n\nSigns\n\nAccused\n\nAttacked\n\nHeartbroken\n\nMute\n\nMy Guardian Angel\n\nHeart and Soul\n\nMother's Day\n\nBeautiful Bluma\n\nThe War Creeps Closer\n\nThe Soldiers Go Away\n\nVive la France!\n\nAdieu\n\nHome Again\n\nGrowing Up\n\nNew Friends\n\nAu Revoir, Madame Marie\n\nLost and Found\n\nSurvivors\n\nMy People\n\nThe Present\n\nTimeline\n\nAuthor's Note\n\nAcknowledgments\n\n##   Rain in Paris\n\nMy name is Odette.\n\nI live in Paris,\n\non a cobblestone square\n\nwith a splashing fountain and a silent statue.\n\nMy hair is curly.\n\nMama ties ribbons in it.\n\nPapa reads to me and buys me toys.\n\nI have everything I could wish for,\n\nexcept a cat.\n\nEvery day I push open the shutters of our bedroom window,\n\nlean on the windowsill,\n\nand watch the world below.\n\nToday, rain drizzles down on Paris.\n\nNuns in white-winged bonnets hurry across the square.\n\nGypsies huddle in doorways.\n\nIronworkers sip bitter coffee and read newspapers at the caf\u00e9.\n\nLife looks the same as always,\n\nbut it is about to change.\n\nIt's Saturday, so Mama and Papa take me to the cinema.\n\nOn the huge screen,\n\nsoldiers march,\n\ntheir legs and arms straight as sticks.\n\nA funny-looking man with a mustache\n\nshouts a speech.\n\nHis name is Hitler.\n\nWho are these soldiers?\n\nWhy do they move like machines?\n\nSome people in the cinema cheer and clap.\n\nMama and Papa whisper together.\n\nPapa shakes his head.\n\nThen he jumps up.\n\nHe stalks out of the cinema.\n\nMama and I run after him.\n\n\"I couldn't breathe in there,\"\n\nPapa says outside.\n\n\"The air... it was like poison gas.\"\n\nMama rubs Papa's arm.\n\nI hope we'll go back to the film,\n\nbut we don't.\n\nInstead, Papa buys us warm crepes,\n\nsprinkled with snowy sugar.\n\nWe walk home side by side,\n\nin the chill rain,\n\njust the three of us.\n\n##   Cracked Glass\n\nSunday comes.\n\nMama and I go to the public baths.\n\nWe rent a room with a tub and a shower\n\nfor fifteen minutes.\n\nI play mermaid in the tub.\n\nMama scrubs in the shower.\n\nThen I rinse off\n\nwhile Mama soaks.\n\nWhen we're done, we rub our clean bodies all over\n\nwith scratchy white towels.\n\nMama kisses my nose.\n\nThen she splashes cologne all over us.\n\nSmelling like violets,\n\nwe walk home together, swinging hands.\n\nOn our way,\n\nwe pass a furniture store.\n\nIts windows are broken.\n\nWe stand on slivers of cracked glass to peer inside.\n\nSomeone has smashed a mirror and slashed a sofa.\n\n\"Who did this?\" I ask Mama.\n\n\"People who hate Jews,\" Mama says.\n\n\"The owner of the store is Jewish.\"\n\nThis makes no sense to me.\n\nAre Jews different from other people? I wonder.\n\nHow?\n\nI look up at Mama\n\nand wait for her to explain,\n\nbut she just shakes her head.\n\nHer Sunday smile has faded away.\n\nShe still holds my hand,\n\nbut she doesn't swing it.\n\nHer shoulders sag\n\nall the way back to the rue d'Angoul\u00eame.\n\n_Madame Marie at her sewing machine_\n\n##   My Godmother\n\nMadame Marie's face is as round as the moon.\n\nShe's the caretaker in our building.\n\nShe lives in a tiny apartment under the stairs\n\nwith her beloved Monsieur Henri.\n\nEvery day she sweeps the hallways,\n\npolishes the banister of our spiral staircase,\n\nand takes in everyone's letters.\n\nMama and Madame Marie have been friends\n\nsince I was a baby.\n\nThey both love to knit.\n\nThey both make the best meals\n\nfrom the cheapest ingredients.\n\nWhen Mama went back to work in the factory,\n\nMadame Marie began looking after me.\n\nShe doesn't have any children of her own,\n\nso she decided to become my godmother.\n\nNow, when I'm not at school,\n\nI help my godmother.\n\nWe sweep and polish.\n\nMadame Marie also makes clothes for me\n\nand for other people in our neighborhood\n\non her Singer sewing machine.\n\nI sit at her feet and sort scraps of cloth for doll dresses,\n\nmatch up buttons that look alike,\n\nand gather stray pins with a magnet.\n\nMonsieur Henri smokes his pipe,\n\nand the old round clock chimes on the wall behind us.\n\nWhen customers come for fittings, they say,\n\n\"Oh, your little helper is here today!\"\n\nMy heart glows with pride.\n\nI'm always happy in my godmother's apartment.\n\nIt's so cozy and nice there.\n\n\"The heart is like an apartment,\" Madame Marie tells me.\n\n\"Every day you must clean it and make it cheerful.\n\nYou must have flowers on your table\n\nand something special to offer guests.\n\nIf you make your apartment extra nice,\n\nGod will come to visit you too.\"\n\nMy godmother is like the perfect moon.\n\nAlways round.\n\nAlways full.\n\nAlways there.\n\n##   Tea with Sugar\n\nI just can't forget the shop Mama and I saw,\n\nthe one with the smashed window.\n\nI still want to know why some people hate Jews,\n\nbecause I'm Jewish!\n\nEveryone in my family is Jewish too.\n\nI decide to ask Madame Marie about this.\n\nOne afternoon, I knock on her door.\n\n\"Odette!\" she says. She smiles her moon smile.\n\n\"You are just in time for tea.\"\n\nI sit down at my godmother's table\n\nand wait for my tea.\n\nAfter I drink a big cup with lots of sugar,\n\nI tell Madame Marie\n\nabout the smashed-up shop,\n\nabout the broken glass\n\nand the ripped sofa.\n\n\"Why do people hate Jews?\" I ask her.\n\n\"Some people in France today are angry,\" she tells me.\n\n\"They want to take out their troubles on Jews.\n\nWe will see the end of these people, I promise you.\"\n\nMy godmother is not Jewish,\n\nbut she seems so sure about things.\n\nI eat another of her thin spice cookies.\n\nI try to feel better.\n\n##   My First Secret\n\nCharlotte has disappeared!\n\nMama and I took her to the park.\n\nMy friend Camille was there.\n\n\"Let's go watch the merry-go-round!\" she said.\n\nLions and tigers and horses whirled by so fast\n\nwe forgot about everything else...\n\nbut now it's time to go home,\n\nand we can't find Charlotte!\n\nI run and get Mama.\n\nWe look everywhere,\n\nbut she's gone!\n\nWhat will I do without Charlotte?\n\n\"Such a beautiful doll,\" Mama says, shaking her head.\n\n\"Someone must have stolen her.\"\n\nOh, no!\n\nWhat will I tell Madame Marie?\n\nShe gave Charlotte to me for my birthday.\n\nMadame Marie worked a long time, I know,\n\nto pay for a doll with a china face and real, curly hair.\n\nI hate it that I lost Charlotte,\n\nbut it's almost worse imagining\n\nhow I'll tell my godmother about it.\n\nTears slip down my cheeks.\n\nI hope no one can see.\n\nIt's almost dark.\n\nMama has an idea.\n\n\"I know!\" she says.\n\n\"We'll keep it a _secret._\n\nI'll save money to buy a new Charlotte.\n\nThen I'll knit a dress for her, just like the last one.\"\n\nThat might work.\n\nBut what if Madame Marie asks about Charlotte\n\nwhile my mother is still saving?\n\nWhat will I say then?\n\nLucky for me, Mama is a fast saver and a faster knitter.\n\nBefore long, a new Charlotte peeks out at me\n\nfrom Mama's knitting bag.\n\nThis Charlotte has a china face too,\n\nand curly brown hair.\n\nShe looks the same as the real Charlotte,\n\neven though I know she's not.\n\nAs soon as her dress is finished,\n\nI take my new doll to visit Madame Marie.\n\n\"Ah, Charlotte,\" Madame says,\n\n\"I think you need an apron.\"\n\nShe lets me guide her sewing machine needle\n\nalong the seam in the cherry-red fabric\n\nall by myself.\n\nBut I feel nervous.\n\nWill Madame Marie notice that this is a different Charlotte?\n\nMy fingers wobble\n\nand the stitches come out uneven.\n\n\"Never mind, Odette,\" she says.\n\n\"Learning to make straight stitches takes time.\"\n\nShe smiles with pride at me\n\nwhen I hem the apron.\n\nWhat if Madame Marie finds out that I lost the real Charlotte?\n\nWill she be angry with me?\n\nI don't think so.\n\nBut I don't have to worry about that anymore.\n\nNow I know a new way of solving problems... with secrets.\n\n##   Different\n\n\"What makes us Jews?\"\n\nI ask Mama one night\n\nwhile she brushes my hair at bedtime.\n\nMy family never goes to the synagogue\n\non Friday nights for Sabbath\n\nlike some Jewish people we know.\n\nMama and Papa don't believe in religion.\n\nThey like celebrations, though.\n\nMama makes cakes for Sabbath nights,\n\nand Papa brings me treats...\n\nbooks, chocolates, and toys.\n\nI like books and dolls best,\n\nbut I pretend to like wind-ups\n\nbecause Papa loves them so.\n\nAre our Friday nights enough to make us Jewish?\n\nNo, Mama says.\n\nWe are Polish Jews because\n\nMama's and Papa's parents and grandparents\n\nin faraway Poland\n\nare all Jews.\n\nMost of our friends and relatives in Paris are Jews too.\n\nBut Mama and Papa don't speak Polish anymore.\n\nOur family speaks French.\n\nAnd we live in Paris now, not Poland.\n\nSo why are we Polish Jews?\n\nOne thing I know for sure: we never have Christmas.\n\nMadame Marie and most French people do.\n\nLast December, Madame Marie wanted to give me a present.\n\nA shopkeeper she knew stored holiday decorations\n\nin a warehouse in our courtyard.\n\nShe said I could choose one...\n\na snowy village or a cr\u00e8che.\n\nI wanted the cr\u00e8che!\n\nI liked the stable with the mother, the father, the baby,\n\nand all the little animals.\n\nBut somehow I knew\n\nmy mother would not want the Baby Jesus\n\nin our apartment.\n\nI chose the village instead.\n\nWe are different.\n\nWe speak French,\n\nbut we aren't French.\n\nWe live in France,\n\nbut we're really Polish.\n\nAll our relatives are Jews,\n\nso we are Jews.\n\nAnd even though we like celebrations,\n\nwe won't have Christmas in our home.\n\nNot ever.\n\n##   War Comes\n\nOne warm September day,\n\nMama comes to get me early from school.\n\n\"We're going to meet Papa,\" she says.\n\nI am so excited to leave,\n\nI don't ask why.\n\nMama and I go to the square\n\nin front of our apartment,\n\nthe one with the green fountain.\n\nPapa is there with his newspaper, reading.\n\nHe kisses us both.\n\nHis brown eyes, often shining, are serious today.\n\nMama sits down next to him on a bench.\n\n\"Go and play, Odette,\" Papa says.\n\nMama gives me some stale bread to feed the pigeons.\n\nShe and Papa talk in low, worried voices,\n\nbut I hear two words, \"war\" and \"Poland.\"\n\nThe pigeons pick and peck\n\nin the dappled light\n\naround the splashing fountain.\n\nI scatter crumbs for them.\n\nThen I pass by the gypsies who are always there\n\nand look at the statue of a man.\n\nHe leans forward on his knee\n\nwith his chin propped up on his hand.\n\nPapa once told me he's called _The Thinker._\n\nWhat are his thoughts?\n\nIs he worried about war and Poland?\n\nOr does he wonder what I wonder...\n\nwhy doesn't he have any clothes on?\n\nThat night, I lie in bed under my yellow blanket.\n\nI rub the holy medals of saints stitched around it.\n\nStrong Saint Christopher and brave Saint Michael\n\nwill keep me safe, Madame Marie told me\n\nwhen she gave it to me.\n\nMama doesn't think this is true,\n\nbut she lets me keep the medals anyway.\n\n\"Your godmother made that blanket for you out of love,\"\n\nMama says.\n\nI listen to my parents' murmurs in the next room.\n\nHere's what they are talking about: war, again.\n\nI think the soldiers we saw on the cinema's screen\n\nare marching closer now.\n\nAre they coming to get us?\n\n##   The Dark\n\nI tell Madame Marie about those soldiers\n\nand how afraid I am of them.\n\n\"I was afraid of things too,\n\nwhen I was a little girl,\" she says.\n\n\"What were you afraid of?\" I ask her.\n\nShe closes her eyes and sits for a while in thought,\n\nher sewing in her lap.\n\nThen she opens them again and licks her thread\n\nto sharpen it for her needle.\n\n\"The dark,\" she says, \"and big dogs.\"\n\n\"Oh, I am afraid of the dark and big dogs too,\" I say,\n\n\"but I am _more afraid_ of the soldiers!\"\n\nMadame Marie's eyes meet mine.\n\nSlowly she nods her head.\n\nShe understands everything.\n\n##   Papa Goes Away\n\nHitler and his soldiers are called Nazis.\n\nPapa can't wait to fight them!\n\nAs soon as the war begins,\n\nhe and Uncle Hirsch and Uncle Motl\n\nall try to join the French army.\n\nUncle Motl has five children,\n\nso the army sends him home.\n\nBut Papa and Uncle Hirsch have only one child each,\n\nme and my cousin Sophie.\n\nBefore long, they are allowed to join.\n\nI help Papa pack his things.\n\nI put his gray socks and striped underwear and razor\n\nin the bottom of the brown canvas bag\n\nMadame Marie made for him.\n\nPapa puts his favorite book, his blue dictionary, on top.\n\n\"When I come back,\" he tells me,\n\n\"I will know _every single word_ in this book!\"\n\nI try to smile,\n\nbut I don't care about Papa's dictionary as much as he does.\n\nWhat I wonder is,\n\nwho will read to me now from his _Encyclopedia of Learning_?\n\nWho will show me the teepees of the American Indians,\n\nthe huge scary dinosaurs that lived so long ago,\n\nand the twins and fish that hide in the starry skies?\n\nMama is always busy.\n\nI already know who will read the _Encyclopedia_ to me.\n\n_Nobody_.\n\n##   No Eggs or Milk, No Jews or Dogs\n\nAunt Georgette and my cousin Sophie come to live with us.\n\nI like Sophie.\n\nShe shares all her outgrown clothes and toys with me.\n\nSophie and I listen under the table\n\nwhile our mothers talk.\n\nFear is in their voices.\n\nThey always talk about the same things:\n\ntheir husbands are far away,\n\nand food is getting harder and harder to find.\n\nWe dream of eggs, milk, and butter,\n\nbut most of all real bread...\n\nthe kind we eat now tastes like sawdust.\n\nSome people say it _is_ made of sawdust!\n\n\"French bread,\" says Mama, with a groan.\n\n\"Only the _name_ is the same as it was before!\"\n\n\"Mama?\" I say.\n\nI know I shouldn't interrupt,\n\nbut I'm hungry.\n\n\"What now, Odette?\" she asks.\n\n\"Can't you be quiet for even one minute?\"\n\nThen she looks at my face and she's sorry.\n\nShe gives my cousin and me each a cookie.\n\nAfter that, she and Aunt Georgette talk\n\nin their old language, Yiddish.\n\nSophie and I can't understand the words,\n\nbut we understand fear.\n\nIt's still there, in their voices.\n\nLater, Sophie and I walk to the park.\n\nA sign at the gate says, NO DOGS OR JEWS ALLOWED.\n\nPlenty of children are playing inside.\n\nI want to go in too.\n\n\"How will they know we are Jews?\" I ask Sophie.\n\nShe doesn't know, she says.\n\nBut she doesn't want to go to the park anymore, anyway.\n\nSo Jews can't go to the park now.\n\nThey can't go to the swimming pool, either.\n\nA girl at school told me\n\nJews aren't even allowed to have pets anymore.\n\nIf I had a pet,\n\nI would _never_ give it up!\n\nI still dream of having my own cat,\n\na silky calico with a pink tongue.\n\nNot even Nazis can stop you\n\nfrom having pets in your dreams.\n\n##   Missing Papa\n\nBefore long, Papa sends Mama and me a photograph,\n\ntaken in his fine soldier's uniform.\n\nThe photograph is black and white.\n\nMama puts it on the table beside her bed.\n\nI stare at it and stare at it.\n\nI wish I could see the brown in Papa's eyes.\n\nI wish I could see the shine in them too.\n\nAt last, a letter comes from Papa.\n\nHe says he's a prisoner of the German soldiers.\n\nMy papa, in prison!\n\nHow can this be?\n\nPapa says we can visit him\n\nin a faraway French town.\n\nWe must bring a cake and a box of cigars, he says.\n\nI wonder why... will we be going to a party?\n\nI didn't think they had parties in prison.\n\nMama barely has enough money for food.\n\nMy boots are falling apart.\n\nBut we make the cake and get the cigars,\n\njust as Papa has told us to do.\n\nThen we buy train tickets to go see him.\n\nWe meet Papa in a dark hotel room,\n\nbut Mama and I blossom\n\nin the light of his smile.\n\nHe brings us pure castile soap from Marseilles.\n\nWe take turns smelling it in his hands,\n\nthe hands we have missed so much.\n\nMy family is back together again!\n\nNothing else matters...\n\nnot the awful sawdust bread without butter,\n\nnot my ugly, worn-out boots.\n\nMama and Papa talk and laugh and hug and kiss.\n\nThings are almost the way they have always been.\n\nBut in the morning Papa is gone.\n\nHe has taken the cake and cigars\n\nto the guard who let him visit us,\n\nfor one night only.\n\nMama rushes me to the train station before dawn.\n\nRows and rows of French prisoners march past.\n\nBoxcars wait to take them to Germany.\n\nThose soldiers, the ones we saw in the film,\n\nguard them with guns.\n\nI see my father march past.\n\n\"Papa!\" I cry out.\n\nHe turns toward my voice.\n\nThen a rifle butt slams into his back.\n\nMy hair prickles.\n\nMama's hand tightens on mine.\n\nIn a moment, Papa is gone.\n\nI look up at Mama.\n\nShe stands motionless, not saying a word.\n\nHer eyes follow the train as it rattles down the track.\n\nWhen it is only a faraway speck, she sighs and looks at me.\n\nI shiver and bite my lip so I won't cry.\n\n\"Come now, Odette,\" she says.\n\n\"We must be strong.\"\n\nShe buys hot tea for us to share\n\nwhile we wait for our train home.\n\nBut even if she bought me my own hot chocolate,\n\nit wouldn't stop me from shivering.\n\n##   Running Away\n\nThe enemy is on our doorstep, everyone says!\n\nThat means the soldiers have marched almost as far as Paris.\n\nMost people are afraid our city will be destroyed,\n\nso they decide to run away.\n\nMadame Marie and Monsieur Henri stay calm.\n\nNo, they say,\n\nthey will stay in their home.\n\nMama and Aunt Georgette can't make up their minds.\n\nBut at the last possible minute,\n\nthey throw underwear and toothbrushes into a suitcase...\n\nwe're leaving!\n\nWe run to the big train station.\n\nOn the way, I see the strangest sights...\n\na young woman pushes an old one down the street\n\nin a baby carriage,\n\na man carries his dog in a shopping basket,\n\nand a shopkeeper pulls his cash register along\n\nlike a child in a wagon.\n\nSo many people are headed for the train station.\n\nWhen we arrive, it's crammed.\n\nPeople try to get on any train,\n\nno matter where it's going.\n\nA sea of taller people hems me in, pushing, shoving, shouting.\n\n_Bryzzt!_\n\nA voice crackles over the loudspeaker:\n\n\"No more trains! The last train leaving Paris is full!\"\n\nPeople cry and faint and curse.\n\nLost children shriek for their mothers.\n\nSomehow, Mama and Aunt Georgette and Sophie and I\n\ndrag ourselves out of the crowd.\n\nWe head to the subway, the _M\u00e9tro_.\n\nThe scratchy seats, the squeal of the wheels, comfort me.\n\nWe're going home.\n\n##   Bombers\n\nBombers fly over Paris at night.\n\nWailing sirens announce their arrival.\n\nWe rush into the basement shelter.\n\nWe huddle in the dark,\n\nholding our breath,\n\nwaiting for crashes.\n\nOne lady wearing a lace nightgown\n\nthinks she can hear them nearby!\n\nBut then the all-clear siren comes,\n\nand we creep back up the stairs.\n\nOur building is still standing.\n\nWe go back to our beds.\n\nAt first it's just once in a while,\n\nbut then the bombers come more often.\n\nEach time, it's down to the shelter we go again...\n\nuntil Mama hears about a building that collapsed.\n\nPeople were trapped in the shelter underneath.\n\nAfter that, we stay upstairs.\n\nFinally, Aunt Georgette and Sophie can't take it anymore.\n\nThey have Christian relatives in the country.\n\nThey write a letter\n\nasking to stay with them.\n\nBefore long, the relatives write back.\n\nAunt Georgette and Sophie are welcome.\n\nSo they pack their things and hug and kiss us good-bye.\n\nThey go to hide with their relatives.\n\nMama and I are alone again.\n\nSophie leaves me some colored pencils\n\nas a going-away present.\n\nI draw pictures of bombs falling on Paris,\n\nof parks with signs that say, NO DOGS OR JEWS ALLOWED,\n\nand of trains traveling far, far away.\n\n##   What Dangerous Looks Like\n\nEverywhere we look now, we see soldiers in Paris.\n\nSome strut past us, some thunder along on motorcycles.\n\nStill others roar past in big cars.\n\nThey all wear huge black boots\n\nand stiff uniforms belted with shiny buckles.\n\nSome have lightning bolts\n\non their collars.\n\nMama says they are dangerous.\n\nMost of them don't _look_ dangerous to me.\n\nThey are young, blond men.\n\nI see their blue eyes follow the pretty Parisian ladies.\n\nThe soldiers put up new street signs in German.\n\nThey take the nicest homes for themselves.\n\nBut they don't destroy Paris.\n\nNo, they stroll along the boulevards.\n\nThey eat juicy beefsteak\n\nand drink red wine in the sidewalk caf\u00e9s.\n\nThey buy fine French perfume\n\nand pretty clothes to send home to Germany.\n\nSome of the soldiers speak French.\n\nThey try to make friends with children.\n\nThey offer us candy.\n\n\"Don't take it,\" Mama warns me.\n\n\"Don't take _anything_ from them, _ever_.\"\n\n##   Lonely\n\nAunt Georgette, Sophie, and Papa... all gone.\n\nOne sad morning,\n\nI meet Jakob, a Jewish boy I know,\n\non my way to school.\n\n\"I just got some toys from a cousin who left Paris,\"\n\nJakob tells me.\n\n\"Let's go to my apartment and play with them.\"\n\nI know I shouldn't skip school, but I need a new friend.\n\nI go with him.\n\nWe have to be quiet and not turn on any lights,\n\nso the neighbors won't know we're there.\n\nThey would tattle to his mother,\n\n\"Your son was playing at home while you were at work!\"\n\nJakob shows me his new toys:\n\ntrucks, tanks, airplanes, and lots of soldiers.\n\nSome are German, some are French.\n\nHe lines them up on the floor.\n\n\"Do you want to be German or French?\" he asks me.\n\n\"I'll be French,\" I say.\n\nBut I don't know how to play this game.\n\nI make my soldiers do all the wrong things.\n\n\"Stupid!\" Jakob says, taking my soldiers away.\n\n\"The French wouldn't fight like that.\"\n\nHe turns his back on me.\n\nI wish I were at Madame Marie's!\n\nShe never calls me stupid.\n\nIf I were there now, I'd play with Charlotte,\n\nmake her a shawl.\n\n\"I'm leaving,\" I tell Jakob.\n\n\"Close the door after you,\" he says.\n\nHe dives his airplane down at the Nazi soldiers.\n\n\"And don't make any noise.\"\n\nI have escaped the war!\n\nI'm free!\n\n##   My Mistake\n\nI skip home through day-lit streets.\n\nBut when I run into our building\n\nand pull open the door of Madame Marie's apartment,\n\nI know I've made a _big_ mistake.\n\nMadame Marie's sharp eyes look at me in surprise.\n\nShe turns and checks the old wooden clock.\n\nToo early, it says.\n\nToo early for Odette to be home.\n\nShaking her head, Madame Marie puts a stool against the wall.\n\n\"Sit there,\" she commands me.\n\n\"Face the wall.\n\nDon't look back.\"\n\nI stare at the clock.\n\nIts ticking goes on as though nothing has happened.\n\nBut Madame Marie, who loves to talk, says nothing.\n\nHer silence is terrible.\n\nI know I've done something wrong.\n\nWhat if Madame Marie tells Mama?\n\nAfter a long while, Madame Marie says,\n\n\"What did I tell you the heart is like?\"\n\n\"The heart is like an apartment,\" I tell her.\n\n\"And how often do you have to clean it\n\nand put everything in place?\" she asks.\n\n\"Every single day, Madame Marie,\" I reply.\n\nShe picks up another sleeve, lines it up with her needle.\n\n\"All right then,\" she says,\n\n\"clean up the mess in your heart.\n\nTake a good look and see what needs to be done.\"\n\nI do what my godmother tells me to do.\n\nI think about what I did that was wrong.\n\nInstead of going to school,\n\nI listened to a boy who told me not to go.\n\nJakob made it sound like it would be fun\n\nto play with his toys.\n\nBut it wasn't!\n\nAnd it wasn't fun getting caught, either.\n\nI know better now.\n\nI'll never skip school again.\n\nI want my mother and Madame Marie to trust me.\n\nMy heart feels cleaner now,\n\nand I feel better.\n\nI take a deep breath.\n\nCan I smell the flowers\n\nMadame Marie told me about?\n\nShe turns from her sewing machine\n\nand glances at me over the tops of her glasses.\n\nStill she doesn't say anything.\n\n\"You won't tell Mama, will you?\" I ask her.\n\n\"Will this happen again?\" she asks.\n\n\"Never,\" I say.\n\n\"Then there's no need to worry your mama,\" she replies.\n\nI have one more question.\n\nBut I wait a minute before asking it.\n\n\"What if Mama asks me about school today?\"\n\n\"Then you must do what your heart tells you,\"\n\nsays Madame Marie.\n\nI sigh.\n\nI know what my heart will tell me.\n\nBut I don't want to think about that yet.\n\n\"You can climb down from that stool now,\"\n\nmy godmother says.\n\nShe bites through the thread she has been unspooling.\n\nShe angles it into a needle.\n\n\"Would you like to learn how to sew on a button?\"\n\nWhat a grown-up thing to do!\n\n\"Oh, yes,\" I say.\n\nSo Madame Marie shows me how to guide my needle\n\nin and out,\n\nin and out,\n\nthrough the holes in the button.\n\nI do it over and over and over again.\n\nThen she shows me how to make a loop\n\nand slip the needle through.\n\nThe knot pulls tight.\n\nThe button won't fall off.\n\n\"Well done,\" says Madame Marie.\n\nHer praise is rare.\n\nI know I have done a good job.\n\nI sew on four more buttons\n\nbefore Mama comes through the door that evening,\n\nMadame Marie shows her what I have learned.\n\n\"My, these are strong!\" Mama says,\n\ntesting the buttons.\n\n\"I couldn't do a better job myself.\"\n\nMama hums a tune she likes\n\nas we climb up the stairs to our apartment.\n\nShe does that when she's happy.\n\nShe forgets to ask about my day at school.\n\nI decide I'll never, _ever_ skip school again!\n\n##   A Second Secret\n\nOne day, Madame Marie asks me to come into her kitchen.\n\nTogether, we fill a box with food to send to Papa.\n\nNow that he is a prisoner in Germany, not France,\n\nwe don't get many letters from him.\n\n\"I registered myself as _his_ godmother too,\"\n\nMadame Marie tells me.\n\n\"That way I can send him packages,\n\njust like your mama does.\"\n\nShe fits cans of beans and meat together.\n\nI drop in some candies I have saved,\n\nwrapped in red and gold.\n\nMadame Marie covers the box with paper\n\nand winds string around it...\n\nonce, twice, three times.\n\nI put my finger on the string for her so she can tie it tight.\n\n\"Is Germany far away?\" I ask her.\n\n\"Very far,\" she says.\n\n\"Will Papa come home one day?\"\n\n\"But of course!\" she says. \"I'll tell you a secret.\n\nWhen your papa left for the army,\n\nI made a yellow blanket for him, just like yours.\n\nI stitched a holy medal on it,\n\none of Saint George, the dragon slayer.\n\nHe's the patron saint of soldiers.\n\nI told your papa that whatever happens,\n\nhe must hold on to that blanket.\n\nHe promised me that he would bring it back home.\n\nSo don't worry.\n\nYour father will keep his promise.\"\n\nWhat a good secret!\n\nSaint George is looking after Papa.\n\nThey have the same name.\n\nMy blanket has kept me safe so far.\n\nMaybe Papa's blanket will work for him too.\n\n##   My Orange\n\nOur teacher hangs a photograph of Marshal P\u00e9tain on the wall.\n\n\"He's the good father of France,\" she tells us.\n\n\"He makes sure every French schoolchild eats lunch.\"\n\nLentil soup.\n\nBoiled rutabagas.\n\nKidney beans with lard.\n\nThese are what our good father gives us most days.\n\nBut tomorrow, our teacher says, will be different.\n\nMarshal P\u00e9tain will show special fatherly love to some.\n\nChildren like me, whose fathers are brave prisoners,\n\nwill get an orange!\n\nAll we have to do is show papers\n\nproving our fathers are prisoners.\n\nI haven't seen an orange in a long time.\n\nI can't wait to tell Mama.\n\nMama isn't as excited as I am.\n\nI can tell she doesn't like Marshal P\u00e9tain.\n\nBut the next day she takes me to get my orange anyway.\n\nWe have to climb up some stairs\n\nand wait in line at an old building.\n\nThe crates of oranges are emptying fast.\n\nAt last, it's our turn.\n\nMama shows the papers that prove my father is a prisoner.\n\nThe lady puts a big round orange in my hand.\n\nMama kisses me good-bye\n\nand rushes down the stairs to go to work.\n\nI carry my bright orange carefully through the gray streets.\n\nA crowd of neighbors has gathered at our _M\u00e9tro_ station.\n\nLeah, the corner grocer's wife, is there.\n\nShe's smiling, holding hands with her little one-armed son, Noe.\n\nA tall boy I know, Leon, is there too.\n\nI wonder what the crowd is looking at.\n\nI tug on Leon's shirt.\n\n\"Odette!\" he says. \"Want to see?\"\n\nI nod.\n\nFirst, he takes off his cap and plops it on my head,\n\ngrinning at me.\n\nThen he lifts me up onto his strong shoulders.\n\nHe holds my feet with his hands\n\nso I won't fall.\n\nI feel safe and happy with Leon.\n\nA gypsy is showing off his trained goat.\n\nThe goat climbs a ladder, and stands\n\nat the top, hooves shaking.\n\nHe can't finish his trick\n\nuntil everyone puts something in the gypsy's hat.\n\nI feel sorry for the goat, but all I have is my orange.\n\nI'm _not_ giving that up!\n\n\"Put me down,\" I whisper into Leon's ear.\n\n\"Please.\"\n\nI give him back his cap and he winks at me.\n\nIt's time to head home.\n\nI show my orange to Madame Marie.\n\n\"Oh, my!\" she says. \"How splendid.\n\nTake it upstairs and share it with your mama after supper.\"\n\nI put the orange in the middle of our oak table,\n\nthe one with the animal feet.\n\nThen I open our shutters and look out at the square.\n\nThe girls from the convent school aren't there today.\n\nMaybe they are in church praying to God the Father,\n\nthe one they say created the world in seven days.\n\nThey tell me he takes care of us.\n\nI'm not sure about this.\n\nHe never gives us oranges like Marshal P\u00e9tain.\n\n##   An Empty Bag\n\nMama's at the door,\n\nholding a bag made of tied string.\n\nInside it I see onions and potatoes... and crumpled paper.\n\nJust then, Madame Marie comes in from the courtyard.\n\n\"What did you find at the market today, Berthe?\" she asks.\n\nMama shrinks.\n\nShe looks like a schoolgirl caught cheating\n\nwhen she slowly opens her bag.\n\nIt's stuffed mostly with the newspaper.\n\n\" _Mon amie_ ,\" says Madame Marie, \"I'm surprised at you!\"\n\nShe takes the bag to her kitchen and brings it back.\n\nNow it's filled with cheese, bread, and homemade jam.\n\n\"If you can't find food, you must ask me,\"\n\nMadame Marie tells my mother.\n\nMama nods.\n\nWe climb the stairs together.\n\nAs long as Madame Marie is around,\n\nwe are not allowed to go hungry.\n\n##   Mama's Story\n\nAt supper, I ask Mama if what\n\nthe convent girls have told me is true,\n\nthat there's a God the Father who cares for us?\n\n\"No,\" she says.\n\n\"Then who made the world?\" I ask.\n\n\"Who was there at the very beginning?\"\n\nMama says she will tell me the story if I finish my supper.\n\nI pick up my fork and she begins.\n\n\"In the beginning was a beautiful meadow.\n\nIn the meadow was a cow, the Original Cow.\n\nShe had lots of milk.\n\nTwo babies, a boy and a girl, drank the cow's milk.\n\nThey grew up strong and healthy.\n\nThen they married and had children.\n\nThose children grew up and had more children.\n\nSoon there were lots of people all over the world.\"\n\nMy plate is empty now.\n\nIt's time at last to eat my orange.\n\nI peel it carefully and eat just one section.\n\nIts juice fills my mouth with sharp sweetness.\n\nI give a piece to Mama and think about the story she told me.\n\nI'm pretty sure she made it up, just for fun.\n\nCows are nice, but I know they don't give you oranges.\n\nGod never gives them to us, either.\n\nNot like our good father, Marshal P\u00e9tain.\n\n##   Two More Secrets\n\nMama, like Papa, joins the fight for France.\n\nShe tells me her work is secret.\n\nShe gets money for guns to fight the enemy soldiers.\n\nShe helps find hiding places for children in trouble.\n\nSometimes visitors come.\n\nI hear them whisper secret passwords at the door\n\nbefore Mama will let them in.\n\n\"You must never tell anyone about our visitors,\"\n\nsays Mama.\n\n\"If the wrong people find out, it will be the end of me.\"\n\nI promise her I will never tell anyone.\n\nMama tells me another big secret.\n\nShe and her friends have made a plan\n\nto keep their own children safe.\n\n\"You know the Nazis don't like Jews,\" she says.\n\nOf course I do!\n\nJews are not allowed to own or use telephones.\n\nWe can't have bicycles, either.\n\nWhat's next?\n\nWill we be forbidden to play ball?\n\nTo jump rope?\n\nMama goes on.\n\n\"If it gets too dangerous in Paris, Odette,\n\nyou must go to a safe place in the country.\n\nC\u00e9cile and Paulette and Suzanne will go with you on the train.\"\n\nI like these girls.\n\nThey are friends of my family.\n\nA train trip sounds like fun too.\n\nBut I could never go away and leave my mother!\n\n\"I want to stay here with you, Mama,\" I say.\n\n\"I don't care if it's dangerous.\"\n\n\"For now you will,\" says Mama.\n\nShe strokes my hair.\n\n\"For now, we will be together.\n\nBut we have a secret hiding place planned for you.\n\nJust in case.\"\n\nMama tells me how I will get to the country...\n\na lady she trusts will take me.\n\nI hope \"just in case\" never comes.\n\nMy father is already gone.\n\nI can't live without my mother!\n\n##   The Raid\n\nAm I dreaming?\n\nIt's the middle of the night.\n\nBut I hear a thunder of footsteps on our staircase.\n\nA fury of knocks at our door.\n\nI'm awake, but too frightened to move,\n\nso I pretend to be asleep.\n\nI listen in my bed while Mama stumbles to the door.\n\nSoldiers burst in.\n\nThey say they are here to arrest Mama...\n\nand Papa too!\n\n\"M-m-my husband is a prisoner of war,\" Mama stutters.\n\n\"Look,\" she says. \"Here are his letters.\"\n\nAll the while, the men bang open\n\ncupboards and drawers,\n\nsearching for who-knows-what?\n\nJust then, another voice.\n\nMadame Marie arrives at our door.\n\n\"For shame,\" she scolds the men,\n\n\"disturbing the home of a French soldier!\n\nDon't you know the wives of prisoners\n\nare to be left in peace?\"\n\n\"Excuse us,\" says the leader.\n\n\"There has been a mistake.\n\nYour letters, Madame.\"\n\nHe and his soldiers stomp out.\n\n\"Marie,\" says my mother, her voice still shaking,\n\n\"I have money and papers hidden here.\n\nIf they had found them....\"\n\nShe never finishes her sentence.\n\nMadame Marie soothes Mama.\n\n\"But they did not,\" she says, \"and they never will.\n\nWe'll find a better place to hide your papers.\n\nThank God the child slept through this all.\"\n\nSoon, Madame Marie leaves and our front door closes.\n\nMama comes back into the room we share.\n\nShe touches my shoulder...\n\nher hand is cold and trembles.\n\nMy heart pounds so hard I am afraid she might feel it\n\nright through my nightgown.\n\nBut Madame Marie said it was good that I was asleep,\n\nso I still pretend I am.\n\nI hold Charlotte and keep my eyes shut.\n\nAt last Mama climbs back into her bed.\n\nI lie awake for a long time in the dark.\n\nI listen to the shuddery sound of her breath.\n\nThe soldiers didn't say anything about me.\n\nIf my father weren't a soldier,\n\nwould they have taken Mama away\n\nand left me alone?\n\nI don't know the answer to this question,\n\nand I can't ask anyone.\n\n\"Wake up, Odette,\" Mama calls in the morning.\n\n\"Time for school.\"\n\nShe irons my dress as usual,\n\nbut her hands are still trembling,\n\njust a little,\n\nas she smooths it.\n\nI put my dress on while it's still warm,\n\nand eat the bread and jam on my plate.\n\nI look for my homework, but it's not where I left it.\n\nMama finds it with Papa's letters.\n\nI don't ask how it got mixed up with them.\n\nMama pins back her hair and puts on lipstick.\n\nShe locks the door when we leave.\n\nWe both pretend\n\nit's just another day.\n\n##   Trouble\n\nSoldiers slap posters up on the walls of Paris.\n\nAll Jews, aged six and older,\n\nmust sew yellow stars on their clothes for everyone to see.\n\nThe only reason for this, it seems to me,\n\nis to make it easy to find Jews\n\nand make life even harder for them.\n\nMama and I go to the police station and get six stars...\n\nthree for her and three for me.\n\n\"Can you believe they made me _pay_ for these?\"\n\nshe asks my godmother.\n\nMadame Marie shakes her head.\n\nMama shrugs.\n\nWhat can we do?\n\nMadame Marie checks the stitching on my star\n\nbefore she sends me off to school the next day.\n\n\"Don't try to cover it up,\" she warns me.\n\n\"You could get into trouble for that!\"\n\nI creep along next to the buildings on my way to school.\n\nMy star is too bright.\n\nIt screams to everyone I pass,\n\n\"See this girl?\n\nShe's a Jew!\"\n\nI clutch my schoolbag close to me.\n\nSuddenly, two huge soldiers loom on the sidewalk in front of me.\n\nWithout thinking, I cover my star with my schoolbag.\n\nOne soldier sees me.\n\nHe grabs my schoolbag,\n\ntears it away,\n\nand throws it on the pavement.\n\nWill he beat me?\n\nKick me?\n\nTake me away from Paris and my mother?\n\nThings like this happen to Jews every day now in Paris.\n\n\"No!\" I say. I put up my hands.\n\n\"No, please....\"\n\nBut this time the soldier and his friend just laugh.\n\nTogether they stagger away.\n\nI can't move.\n\nI just stand and stare after them.\n\nWhen they lurch around the corner into the next street,\n\nI slump down on the curb.\n\nI sit there until my heart stops pounding.\n\nWhen I can breathe again,\n\nI stand up and walk to school.\n\nBut even at school it's not safe.\n\nOn the playground, children attack me.\n\nThey try to shove my face in the playground toilet.\n\nA teacher comes to help.\n\nAfter that, I stay close to her.\n\nBut still these children hiss at me:\n\n\"Coward! Teacher's pet! Jew!\"\n\nI hide inside during recess.\n\nOn the walls are pictures of country children in costume.\n\nThe ones I like best show children from Alsace and Brittany.\n\nThey have kind, soft faces.\n\nWhy can't I live there?\n\nThose country children wouldn't beat me up, would they?\n\nWhat about the other Jewish children at school?\n\nAre bad things happening to them?\n\nI don't know because I don't dare ask.\n\nI'm afraid to tell Mama about what's happening at school too.\n\nShe has enough worries.\n\nSo I tell Charlotte, but I tell her to keep it a secret.\n\nCharlotte is good at that, and so am I.\n\n##   My Cousins\n\nOn Thursdays in Paris, children don't have to go to school.\n\nThat is the day I visit my cousins,\n\nthe ones who live near the P\u00e8re Lachaise Cemetery.\n\nMama never says so,\n\nbut I know these cousins are poor.\n\nThey don't have a toilet in their apartment like we do.\n\nAll they have is a stinky room with a hole in the ground,\n\nway down the hall from their apartment.\n\nThey have to share it with other families too.\n\nOne Thursday, I try to sneak down the narrow back streets\n\nthat lead to my cousins' apartment.\n\nI stay away from the soldiers\n\nwho strut along the avenues.\n\nBut I do have to cross one big street.\n\nI hold my breath\n\nwhen I pass in front\n\nof the motorcycles, cars, and trucks.\n\nOn the other side,\n\na soldier darts out of the bakery right in front of me,\n\neating an \u00e9clair.\n\nI almost bump into him!\n\nStartled, I jerk back for an instant,\n\nthen recover.\n\nI try to look calm as I walk toward the Passage des Amandiers.\n\nBut inside, my heart still pounds.\n\nPast the bakery, I enter that dim alley.\n\nIt smells like cooked cabbage and urine.\n\nBabies scream, workers hammer, women yell.\n\nNo soldiers can be seen, but I'm still afraid.\n\nAnything can happen in a neighborhood like this....\n\nbut above the din,\n\nI hear the sweet sound of my cousin Serge's violin.\n\nI follow it to safety.\n\nI'm always hungry to hear Serge's music!\n\nWe never listen to music at home.\n\nJews had to hand over their radios to the police,\n\nbut Mama hid ours in the closet.\n\nWe listen to it only for the BBC news.\n\nSerge sees me across the courtyard, but he keeps on playing.\n\nI don't want him to stop.\n\nWhen I'm close enough, I sit down cross-legged at his feet.\n\nI feel like a small frog before a secret prince.\n\nI look up at Serge's deep-set eyes,\n\nhis delicate fingers holding his violin and bow.\n\nThe music makes everything else\u2014\n\nthe dirty alley,\n\nthe shouts and screams\u2014\n\nfade slowly away.\n\nWhen Serge is done,\n\nhe lifts the violin from his shoulder.\n\nSeeing his bright yellow star jolts me back to here and now.\n\nI touch my star to make sure it's where it's supposed to be.\n\nSerge places his violin in its case,\n\ncloses the cover,\n\nand clicks the latch shut.\n\nI follow Serge into the two rooms\n\nwhere his whole family lives and works.\n\nThe first room is the only one with a window.\n\nThat's where Uncle Motl and my big cousin Maurice work\n\non their noisy knitting machine.\n\nAbove it is a loft, where the younger children sleep.\n\nThe second room is where everyone\n\neats, washes, cooks, plays, reads, and gossips.\n\nA long table fills the center,\n\nwith chairs around it and beds on the side.\n\nAt least one lamp glows there all the time.\n\nAunt Miriam's sweet-smelling onion soup\n\nsimmers on the stove.\n\nMaurice lifts me up to see their calendar.\n\nIt has a joke printed on it for every day of the year.\n\n\"The waiter puts coffee on the man's table,\" Maurice reads.\n\n'It looks like rain,' he says to his customer.\n\n'Tastes like it too,' says the man.\"\n\nEveryone laughs.\n\nFake wartime coffee is terrible.\n\nMy younger cousins beg to see tomorrow's joke.\n\n\"No,\" says Maurice. \"Let's save it.\"\n\nSo Uncle Motl shares a joke with us.\n\n\"Did you know Hitler's dog has no nose?\" he asks.\n\n\"No?\" says Charles. \"How does it smell?\"\n\n\"Terrible,\" says Uncle Motl.\n\nMaurice pinches his nose.\n\nHe pretends to march like a stick soldier.\n\nSarah, Charles, Serge, and I all fall in line behind him.\n\nAround and around the table we go.\n\nAunt Miriam helps little Henriette\n\nclap time for us.\n\nThe soldiers are scary,\n\nthe alley is dirty,\n\nmy cousins' apartment is dark and crowded.\n\nBut when we're together,\n\nnothing can stop us from having fun.\n\n_Henriette Melczak, almost three years old_\n\n##   Angels and Demons\n\nOne Thursday, my boy cousins aren't home.\n\nSarah whispers that they have gone swimming,\n\neven though it's forbidden!\n\n\"Can you girls take Henriette for a walk?\"\n\nAunt Miriam asks Sarah and me.\n\nBut where can we go?\n\nParks, caf\u00e9s, and museums are forbidden to Jews too.\n\nSo we just wander along the main street.\n\nWe look in all the shop windows.\n\n\"Let's play a game,\" says Sarah.\n\n\"We can each choose one thing from every window...\n\nbut _only_ one!\"\n\nWe've played this game before.\n\nIt's like shopping but without money.\n\nOur favorite place is the chandelier shop.\n\nSo many shiny lights,\n\nglittering with diamonds!\n\nHenriette wants them all.\n\n\"Don't be silly, Henriette,\" says Sarah.\n\n\"How could we fit all those lamps over one table?\"\n\nWhen we reach the doll hospital,\n\nHenriette studies ladies, babies, clowns, and sailor dolls.\n\nThen she frowns.\n\n\"What if you don't come back right away for your doll?\n\nWill the doll doctor give it to someone else?\"\n\n\"Never,\" says Sarah.\n\n\"The doctor knows everyone must have her own doll.\"\n\nHenriette nods.\n\nBut soon she grows thirsty and begins to whine.\n\nWe go to a caf\u00e9 and ask for water.\n\nThe barman stares at our stars and says nothing.\n\nSarah puts money on the bar.\n\n\"I don't sell water,\" says the barman.\n\n\"Go away. I can't serve you.\"\n\nHenriette starts to cry.\n\nWe don't know what to do.\n\nWe know Jews must never make a fuss.\n\nWhen we pass a small basement library,\n\nSarah thinks of a way to stop her sister's crying.\n\n\"Look,\" she says to me, \"you and I are wearing the star.\n\nBut Henriette isn't.\n\nIf she were alone, they couldn't tell she's Jewish.\n\nThey'd let her in.\"\n\n\"You can't leave her alone!\" I say.\n\n\"Of course not,\" says Sarah.\n\n\"Just watch, you'll see.\"\n\nHenriette peers through the library window.\n\n\"You go down first, Henriette,\" says Sarah.\n\n\"The librarian will see you are alone and ask you questions.\n\nDon't answer right away.\n\nShe'll try to make you feel good,\n\nshow you picture books.\n\nMaybe she'll offer you a drink.\n\nWhen she's busy with you, Odette and I will come down.\"\n\nClutching the handrail,\n\nchubby little Henriette walks down to the library,\n\nall by herself.\n\nSarah and I wait a few minutes,\n\nthen go down the steps into the library too.\n\nThe librarian spots our yellow stars.\n\nShe drops the book she's showing to Henriette.\n\nSarah picks it up and hands it to her.\n\n\"Are you her mother?\" the librarian asks Sarah.\n\nMy cousin's big for thirteen.\n\n\"No,\" says Sarah, \"I'm her sister.\n\nI thought I lost her...\n\nbut I know how much she loves books.\n\nI thought she might be here.\n\nAnd she is!\"\n\nHenriette gazes up at her big sister like an innocent angel.\n\n\"Sarah, will you read to me?\" she asks.\n\n\"Please?\"\n\nThe librarian's eyes dart around quickly.\n\nNo one has seen us, or our yellow stars.\n\n\"All right,\" she says.\n\nShe flutters her hands\n\ntoward the picture-book corner.\n\n\"Take the children over there and stay there.\n\nI'll be at my desk.\"\n\n\"You're so kind,\" says Sarah.\n\nOpen books cover our stars like shields.\n\nHenriette forgets she is thirsty.\n\nThe librarian, our gatekeeper,\n\npretends we are children like any others.\n\nAll afternoon, we read fairy tales.\n\nIn our cave of bookshelves,\n\nwe feel safe from the evil giants\n\nmarching down the street.\n\n##   Lies\n\nSomeone's crying.\n\nThe sound of it pulls me from my dreams.\n\nI open my eyes.\n\nIt's still dark.\n\nI go to the window and push open one shutter,\n\njust a crack.\n\nI look down and see little one-armed Noe.\n\nHis mother, Leah, helps him put on his jacket.\n\nRumpled people are being herded down the street.\n\nThey all carry bags and bundles.\n\nA bearded man stumbles and a policeman pushes him along.\n\nAll the people are \"yellow star\" people.\n\nAll of them are Jews like me.\n\nMadame Marie bursts in.\n\nShe wakes Mama by pulling the blankets off her bed.\n\n\"Hurry!\" she says.\n\n\"The police are coming... they're filling trucks with Jews!\"\n\nMama and I pull on our dresses as fast as we can.\n\nMama grabs a coat and shoes\n\nand we fly down the spiral staircase.\n\nMadame Marie pushes us into the broom closet\n\ninside her small workroom.\n\nShe shuts the door just in time.\n\nThe doorbell rings.\n\nLoud men trudge into the hallway.\n\n\"We're rounding up foreign Jews,\" they say.\n\n\"We're going to rid France of them forever.\"\n\n\"Wonderful!\" says Madame Marie.\n\n\"Those Jews have taken our jobs and money for too long.\"\n\nThen she offers them a drink...\n\nto toast their courage, she says.\n\nFrozen inside the dark closet,\n\nMama and I cannot see, but we can hear.\n\nMadame Marie and the men are just outside the door.\n\nIf the door were open,\n\nI could touch them.\n\nMama's fingers find my yellow star.\n\nSilently, stitch by stitch, she begins to rip it off.\n\nI listen hard.\n\nI hear the sound of drinks being poured.\n\nGlasses clink in a toast.\n\nChairs scrape around Madame Marie's table,\n\nonly a reach away from our hiding place.\n\nThe men boast and laugh.\n\nSuddenly someone says to Madame Marie,\n\n\"Where are _your_ Jews?\"\n\nHis companions fall silent.\n\nOur bodies stiffen.\n\nOur breathing all but stops.\n\n\"Long gone!\" says Madame Marie.\n\n\"They ran away to their country house.\n\nGood riddance to them, I say.\"\n\nMore drinks are poured.\n\nBut then, stern words.\n\n\"You know, Madame, if you lie to us, you'll be sorry,\"\n\none man warns her.\n\n\"We'll pack you into a truck along with them\n\nand send you far away!\"\n\nMy godmother sounds insulted.\n\n\"Me? Do I look like a friend of Jews?\"\n\nI'm confused...\n\nhow can she say such terrible things?\n\nShe _is_ our friend... one of our _best_ friends!\n\nBut suddenly, I know she's lying.\n\nShe's saying bad things about Jews to keep us safe.\n\nThe same voice, still stern,\n\n\"Just to be sure, we'll go up to their apartment.\"\n\nMama grabs my hand, squeezes it too tight.\n\nBut Madame Marie keeps the men away\n\nfrom our just-slept-in sheets and blankets.\n\n\"Oh, you don't want to do that!\" she says.\n\n\"You know how those foreign Jews are, filthy as pigs.\n\nWhen they were living there,\n\nI'd knock on their door only when I had to.\n\nI'd say what I had to say quickly\n\nand hold my breath as long as I could.\n\nThen I'd run back down the stairs\n\nas fast as my old legs would carry me.\n\nDon't go up there if you don't have to.\n\nTheir apartment still stinks to high heaven.\n\nAnyway, our bottle's nearly empty.\n\nWhy not help me finish it?\"\n\nWe wait, cold bare toes pressed tight to the floor.\n\nThe smell of sour mops is all around.\n\nMy body shakes, hard.\n\nBut I don't make a single sound.\n\nFinally, the loud men push their chairs\n\nback in to the table.\n\n\" _Merci, Madame_ ,\" they say.\n\n_\"Au revoir_.\"\n\nHeavy footsteps echo through the hallway.\n\nThe door slams.\n\nSilence.\n\nMadame Marie frees us from the closet.\n\n\"How can I thank you?\" Mama asks Madame Marie.\n\nShe takes my godmother's hands in her own.\n\nMadame Marie shrugs.\n\nShe needs her hands back to clear away the glasses.\n\n\"No time for that.\n\nWe must get Odette to the railway station\n\nas we planned.\"\n\nI look up at my mother.\n\n\"You'll come with me, won't you, Mama?\" I ask.\n\n##   Torn in Two\n\nMama's sad eyes turn to me.\n\n\"No, Odette,\" she says, \"I must leave you now.\n\nIt's time for you to go to the country,\n\nwith our friends.\"\n\nMama's brown curls quiver just a little\n\nas she tries to smile.\n\nShe takes me in her arms and rocks me back and forth.\n\nThen she kisses my cheeks three times.\n\nShe wipes off my tears with her fingers in between.\n\nWith one last quick hug, she leans over\n\nand begins to tie her shoes.\n\n\"Mama!\" I scream.\n\nI clutch her, hard.\n\n\"Don't go!\"\n\nMama puts her finger to my lips.\n\n\"Shhh, Odette,\" she says.\n\nShe drops her coat, then kneels next to me.\n\nWe look at each other, face-to-face.\n\nMama's fingertips trace my cheeks, my ears.\n\n\"I must go now, right away, _ch\u00e9rie_ ,\" Mama says.\n\n\"Maybe I can warn your aunt and cousins about the trucks.\"\n\n\"Let me come with you!\" I beg.\n\n\"I'll be good... I promise. Please!\"\n\nI feel like I'm being torn in two.\n\nMama's face twists away.\n\n\"No, Odette,\" she says. \"That would be too dangerous.\n\nYou must go with our friends to a safe place, remember?\n\nC\u00e9cile and Paulette and Suzanne\n\nwill be waiting for you at the train station.\n\nYou girls will all go together.\"\n\nMama stands up.\n\n\"Don't be sad, Odette,\" she says.\n\n\"It's only for a little while...\n\nuntil we can be together again.\"\n\nShe blows me a kiss,\n\nand she slips through the glass-topped door.\n\nI watch her in the hallway.\n\nShe belts her coat tightly around her.\n\nThen she opens the huge wooden door\n\nand disappears into the street.\n\n##   Courage\n\nI look up at my godmother, trembling.\n\nMy heart pounds down in my stomach.\n\nI know I have to go with Paulette and C\u00e9cile and Suzanne.\n\nWe have known each other all our lives.\n\nOur mothers are friends.\n\nBut we are not together, not yet!\n\nHow can I go to the railway station all alone?\n\nMadame Marie plucks away the last few threads\n\nleft on my dress from my star.\n\nShe smoothes the fabric with her fingertips.\n\nSuddenly, I grab her and bury my face in her dress.\n\nI cling to her and sob.\n\nHow can I leave my home,\n\nmy mother, my godmother too?\n\nI won't do this!\n\nI'll never be able to do this!\n\n\" _Courage, ma petite_ ,\" Madame Marie says,\n\nand pats my back.\n\n\"Don't worry.\n\nI'll fetch Henri from work.\n\nHe'll take you on the _M\u00e9tro_ to the railway station.\"\n\nI take a deep breath.\n\nMy heart rises back into my chest.\n\nMonsieur Henri,\n\nwith his walrus mustache and his kind, droopy eyes,\n\nis as big and strong as the mountains he comes from.\n\nI know he'll protect me.\n\n\"Come now,\" says my godmother\n\nas she wipes my face.\n\n\"I'll help you pack.\"\n\nShe tiptoes into the hallway and listens.\n\nNo one is coming downstairs.\n\nTogether we creep up to my apartment.\n\nMadame Marie closes the door,\n\nthen the bedroom shutters.\n\nThe school year has just ended.\n\nMy godmother takes\n\nmy notebooks and pencils out of my schoolbag.\n\nShe puts in clean underwear,\n\nthe blue sweater my mother knitted,\n\na print dress she made for me.\n\nI bring her my doll.\n\n\"Ah, no, my little rabbit.\n\nCharlotte cannot go in this bag.\"\n\n\"I have to bring Charlotte!\" I say.\n\nPanic rises into my chest...\n\nI can't go without my doll!\n\n\"No,\" says Madame Marie, her mind made up.\n\n\"You can take only a small bag.\n\nA big one might attract attention,\n\nand Charlotte cannot fit in here.\"\n\nShe puts a finger to her lips\n\nto tell me to be quiet.\n\n\"You and Charlotte say good-bye for now.\n\nThen come downstairs.\n\nI'll have your breakfast waiting.\"\n\nMy godmother slips out the door.\n\nI take Charlotte and go to my mother's bed.\n\nI collapse onto her rumpled sheets,\n\nsoak in her smell.\n\nThen I see the photograph of my father.\n\nI can't take Charlotte, but Papa can go in my schoolbag.\n\nI take out my blue sweater\n\nand wrap it around his photograph.\n\n\"There!\" I whisper to Charlotte.\n\nI shove the sweater inside my schoolbag and buckle it.\n\n\"Now I'm ready to go.\"\n\nI sit Charlotte down on my pillow and smooth her hair.\n\n\"You must be brave, _ch\u00e9rie._\n\nIt's only for a little while.\"\n\nI kiss her cheek.\n\nI open the door and listen.\n\nSilence.\n\nSunbeams stretch down from the skylight,\n\nwarming the hallway.\n\nEven so, my spine prickles\n\nas I tiptoe down the creaking stairs.\n\n##   My Escape\n\nMonsieur Henri takes my small hand in his large one.\n\nHe pushes open the heavy wooden door\n\nleading into the rue d'Angoul\u00eame.\n\nTwo tall soldiers loom like giants\n\nright outside our apartment building.\n\nThey're carrying guns.\n\nMonsieur Henri's grip on my hand tightens.\n\nTrucks still rumble along the street.\n\n\"Look at your feet,\" Monsieur Henri says softly,\n\nwhen the soldiers are far enough away.\n\n\"If anyone calls your name, don't answer.\"\n\nI can't breathe.\n\nI can't think beyond my feet.\n\nOne step at a time, I push the pavement away.\n\nIt sticks to my feet.\n\nIn slow motion,\n\nMonsieur Henri and I pass the convent,\n\nthe pharmacy, and the chain factory.\n\nPeople leaf through their newspapers as always\n\nat the Caf\u00e9 de la Baleine.\n\nRolls of cheery oilcloth greet customers,\n\nas they do every day,\n\nat the hardware store.\n\nThe smell of fresh bread fills the morning air,\n\nas it does every morning,\n\nat the bakery.\n\nBut this is not _every_ morning.\n\nIt's the most terrible morning of my life.\n\nI clutch the big hand of Monsieur Henri.\n\nI force my feet onward,\n\nup the hill to the arched _M\u00e9tro_ station.\n\nAt the sight of it, the spell on my feet breaks.\n\nI run for the stairs, away from the street,\n\ninto the safer darkness.\n\nMonsieur Henri snatches me back.\n\n\"Don't rush,\" he whispers. \"Act natural.\"\n\nWhen the _M\u00e9tro_ train pulls into the station,\n\nI head for the last car, the one for Jews.\n\nBut Monsieur Henri leads me to another.\n\nWe sit down side by side.\n\n\"What a fine, well-behaved granddaughter you have,\"\n\nsays a gray-haired woman.\n\nHer black-feathered hat frightens me.\n\nMonsieur Henri, my new grandfather, nods at her silently.\n\nI am frozen.\n\nI sit like a statue.\n\nI stare straight ahead.\n\nWhen the _M\u00e9tro_ train pulls into the big railway station,\n\nthe Gare du Nord,\n\nMonsieur Henri takes my hand in his.\n\nHe steers me out the sliding doors.\n\nThe big station is full of people, all in a rush.\n\nWill Paulette, C\u00e9cile, and Suzanne be there?\n\nYes, three little Jewish girls in starless summer dresses\n\nwait under the big clock, just as we planned.\n\nA lady holds the hand of the littlest one.\n\n\" _Au revoir, ma petite_ ,\" Monsieur Henri says to me.\n\n\" _Au revoir, Monsieur Henri_ ,\" I reply.\n\nI swallow hard.\n\nHe's leaving me now.\n\nDon't cry, Odette.\n\nStay calm, his eyes tell me.\n\nBut his voice says,\n\n\"Mind this lady.\n\nAnd obey the mama and papa in your country family.\"\n\nThen Monsieur Henri pats me on the head\n\nand disappears into the crowd.\n\nHolding hands, the other little girls and I\n\nclimb up onto the train.\n\nPaulette and C\u00e9cile are big girls, like me.\n\nSuzanne is the smallest of our group, only two.\n\nWe wait and wait for the train to leave.\n\nWe watch other travelers say good-bye\n\nto their loved ones.\n\nNo one says good-bye to us.\n\nSuzanne, C\u00e9cile, Paulette, and I try not to cry.\n\nBut when at last the locomotive pulls out of the station\n\nand the whistle wails mournfully,\n\nlittle Suzanne does too.\n\nThe lady we are with puts an arm around her.\n\n\"Where are we going?\" I ask the lady.\n\n\"To the Vend\u00e9e,\" she tells me.\n\nI've never heard of this place.\n\n\"Is it far away?\" I ask.\n\n\"How long will it take to get there?\"\n\nThe lady glances around her.\n\nIs anyone listening?\n\n\"No more questions,\" she whispers.\n\n\"If the conductor comes, pretend you are asleep.\"\n\nI close my eyes.\n\nThe train rumbles along through endless suburbs.\n\nWe are leaving all we know behind.\n\nHow long will this go on?\n\nEverything has changed since the war came.\n\nA voice in my head repeats words I have heard,\n\n\"One thousand years of the Third Reich.\"\n\nHitler and his mean soldiers are the Third Reich.\n\nBut what does \"one thousand years\" mean?\n\nSomeone once tried to explain it to me like this:\n\nImagine a person lives the longest possible life, a hundred years.\n\nAt the end of that time he has a grandchild,\n\nand that grandchild lives a hundred years.\n\nIf that happens ten times over,\n\na thousand years will have gone by.\n\nI'll never see the end of the Third Reich.\n\nMy parents, Madame Marie and Monsieur Henri,\n\nand my cousins won't, either.\n\nMy friends and I will just ride and ride into a gray, dark tunnel.\n\nWe'll never escape, not ever.\n\n##   Soup, a Swing, and Another Secret\n\nOur stomachs growl, louder and louder.\n\nWe've been on the train for hours,\n\nwith only a little bread and cheese to share.\n\nBut at last my friends and I arrive in Chavagnes-en-Paillers,\n\nour new village in the Vend\u00e9e.\n\nSmall houses encircle the church like a fallen halo.\n\nThe lady who came with us on the train\n\ntells us we're going to live in one of these houses,\n\nwith a blacksmith's family.\n\nWe knock on a door.\n\nA small woman lets us in.\n\nShe looks young, like a mother.\n\nBut she carries a cane like a grandmother.\n\n_Tap! Tap! Tap!_\n\nShe takes us into her kitchen.\n\nA pot of soup steams on the black iron stove.\n\nI glance at it hopefully, but the woman says nothing.\n\nA real grandmother knits nearby.\n\n_Tap! Tap! Tap!_\n\nThe younger woman takes us into the garden,\n\nto see pigeons in a dovecote.\n\nA swing dangles beside it.\n\nBut then we march back across the kitchen,\n\npast the steaming soup,\n\nand up the stairs to a small bedroom.\n\nThe woman ushers us all inside and closes the door.\n\nEven though it's summer, I feel cold.\n\nIs it because I'm so hungry?\n\nI sit on my fingers to keep them warm.\n\nAt last the woman speaks.\n\n\"Listen carefully, children,\" she says.\n\n\"I'm Madame Raffin.\n\nI'm going to take care of you.\n\nIf you do everything I tell you to do,\n\nyou can eat the soup and play with the pigeons.\n\nFirst of all, never, ever say that you are Jewish, _no matter what_!\n\nI'm going to teach you to make the sign of the cross.\n\nWhen you can do that and say two longer prayers by heart,\n\nI will open the door.\"\n\nThe sign of the cross?\n\nWhat's that?\n\nMadame Raffin touches her forehead, her heart,\n\nand each shoulder,\n\n\"In the name of the Father, the Son, and the Holy Spirit,\"\n\nshe says.\n\nWe copy her.\n\nIs this praying?\n\nI've never prayed before.\n\nMadame shows us how to kneel and put our hands together\n\nwith our fingers pointing up.\n\n\"Our Father, who art in heaven,\" we say after her,\n\nthe whole prayer, over and over.\n\nThen, \"Hail Mary, full of grace,\" again and again.\n\nI'm not sure what these words mean.\n\nMadame Raffin says that's not important, not right now.\n\nWe just need to remember these words.\n\nThat way people will think we're Christians.\n\nAt last Madame Raffin is satisfied\n\nthat we know the prayers by heart,\n\nthat we won't make a mistake.\n\nShe takes our hands and squeezes them for courage.\n\n\"Never forget that you are Christians,\" she says.\n\n\"Your fathers are French soldiers taken prisoner.\n\nYour mothers have jobs in Paris.\n\nThey sent you to live in my house\n\nso that you'll be well fed and safe.\"\n\nWe promise.\n\nI know it will be easy for me.\n\nI am used to keeping secrets.\n\nMadame Raffin opens the door.\n\nMmm... soup.\n\n_Odette and her foster family in Chavagnes-en-Paillers. Clockwise, from top left: C\u00e9cile Popowicz, Jacques Raffin, Paulette Klaper, Suzanne Klaper, Jean Raffin, and Odette, 1942_\n\n##   A New Life\n\nFor the rest of July and all of August,\n\nwe listen hard and speak little.\n\nWe watch everything.\n\nWe learn how to act\n\njust like all the other village children.\n\nTwo brothers belong to our new family.\n\nJacques and Jean are the Raffins' sons and our teachers.\n\nAt first, C\u00e9cile, Paulette, Suzanne, and I feel shy with them.\n\nBut the boys aren't shy.\n\nThey show us how to hold the pigeons.\n\nThey tell us scary stories\n\nabout a ghost who lives at the bottom of the well.\n\nWe play hide-and-seek together in the garden.\n\nThey tease us and teach us riddles.\n\nI've never had brothers and sisters before... it's fun.\n\nMadame Raffin asks us to pick green beans and tomatoes.\n\nAll summer long we twist vegetables from their stems.\n\nShe takes us mushroom picking in the forest too.\n\nSometimes Monsieur Raffin takes us fishing.\n\nHe teaches us the names of all the glittering fish\n\nwe scoop up in his net.\n\nWe have so many good things to eat,\n\nI almost forget\n\nwhat it felt like to be hungry in Paris,\n\nto sleep with my fists screwed up tight under my stomach\n\nto make it feel full.\n\nWe don't have many toys,\n\nbut the grandfather of our house carves us whistles from reeds.\n\nHe shows us how to make toy pots and pans from acorns too.\n\nBest of all,\n\nwe can go anywhere we like in our new village.\n\nWe can do anything anyone else can do.\n\nNo one knows that we're Jews.\n\nI climb trees\n\nand walk along the tops of stone fences.\n\nIf I fall and tear my dress,\n\nthe grandmother in my new family mends it for me.\n\nShe would never think of sewing a yellow star on my dress.\n\nI wonder if she's ever even seen one.\n\nMonsieur and Madame Raffin,\n\nJacques, Jean, and the grandparents,\n\nC\u00e9cile, Paulette, and Suzanne...\n\nthese are the people in my new family.\n\nWhen September comes,\n\nMadame Raffin takes C\u00e9cile, Paulette, and me to school.\n\nSuzanne wants to come too, but she is only two.\n\nAll the big girls in the village go to the convent school,\n\nMadame Raffin explains.\n\n\"These children have been in a bombing,\"\n\nshe tells the nun in charge.\n\n\"They may act strangely for a while.\n\nTake no notice.\"\n\nBut no one seems to think we act strangely.\n\nBy now, we behave just like all the other village children.\n\nSomeday I'll tell Mama that she was right,\n\nthat I do feel safe here with my new family in the Vend\u00e9e.\n\nI wonder what she would say\n\nif she knew that once in a while,\n\nwhen I swing in the garden and look up at the sky,\n\nI almost forget who I really am....\n\n_The photograph of Odette's father that she kept throughout the war_\n\n##   Twilight\n\nChildren in the Vend\u00e9e go to bed at twilight.\n\nTwilight is not day or night.\n\nIt is the time between.\n\nC\u00e9cile and I share one small room and a bed.\n\nEvery night Madame Raffin kisses us good night.\n\nAs soon as she closes the door,\n\nC\u00e9cile and I go to the open window.\n\nC\u00e9cile always sits on the left. I always sit on the right.\n\n\"Look,\" C\u00e9cile says, gazing outside.\n\nThe sky is turning a deeper and deeper blue.\n\n\"Everything is so beautiful. And we're alive.\"\n\nWe thank God for our day.\n\n\"Tonight,\" C\u00e9cile always says,\n\n\"a bomb could fall and we could die.\n\nLet's say good-bye to our parents.\"\n\nSo far I have not heard of any bombs falling in the Vend\u00e9e,\n\nbut C\u00e9cile cannot forget the ones in Paris.\n\nTo make her feel better,\n\nI go along with what C\u00e9cile tells me to do.\n\nI imagine my mother's face.\n\nIt floats in the air just outside my window.\n\nI tell her everything I have done that day, even the bad things.\n\nI ask her to forgive me.\n\nShe does.\n\nThen it's my father's turn.\n\nMy father's face is always the one in the photograph\n\nMadame Raffin put on our mantelpiece.\n\nPapa never smiles.\n\nI can't feel his rough cheek or hear his voice.\n\nI can't see the brown or shine of his eyes.\n\nHe is barely real to me anymore.\n\nStill, he _is_ my father, so I talk to him.\n\nWhen I am done, C\u00e9cile takes her turn.\n\nWhile she talks to her parents,\n\nI study the stone wall across from us.\n\nIn the fading light it looks safe and strong,\n\nlike the wall of a fort.\n\nWhen C\u00e9cile's parents have vanished\n\nfrom outside our window,\n\nC\u00e9cile closes the shutter.\n\nNight enters our room.\n\nWe hug each other and say,\n\n\"If we die tonight, may we meet in heaven tomorrow.\"\n\nAt last we climb into bed.\n\nC\u00e9cile goes first, against the wall.\n\nThen me, on the outside.\n\nTime to sleep.\n\nSometimes when I open my eyes in the morning,\n\nI'm not sure where I am.\n\nIn heaven already, maybe?\n\nI make up a way to check.\n\nIf the chest of drawers is still across the room,\n\nthen I know I am in Chavagnes-en-Paillers, my new village.\n\nNo one knows what it's like in heaven,\n\nbut I'm pretty sure there are no chests of drawers there.\n\n##   Heaven\n\nEvery day in Chavagnes-en-Paillers brings new wonders.\n\nI love to listen to Bible stories\n\nand _The Lives of the Saints_ at my school.\n\nOur teachers tell us these stories are about real people,\n\ngood people who lived in other places and times,\n\nnot fairy-tale people.\n\nNow all these real people are in heaven with God.\n\nI hope I will meet them one day in heaven,\n\nespecially Saint Bernadette and Saint Ter\u00e8se,\n\nwho are French like me.\n\nBut one day I learn that because I'm not baptized,\n\nI can't go to heaven.\n\nHow can that be?\n\nI want to go to heaven too!\n\nI run to the church to pray.\n\nThe quiet and peace there,\n\nthe smell of beeswax,\n\nthe flickering candles,\n\nthe light that shines through the colored windows...\n\nall these things calm me.\n\nSometimes, alone with God in church,\n\nI can talk to Him.\n\nI tell God everything.\n\nI thank Him for bringing me to the Vend\u00e9e.\n\nI tell Him I miss my mother, Madame Marie, and my cousins.\n\nBut I make sure He knows I don't want to go back to Paris.\n\nI'm just too afraid.\n\nThen I ask God if I can go to heaven someday too.\n\nOne day when I'm at church an answer comes.\n\nA peasant woman comes in.\n\nShe kneels in front of the altar of the Virgin Mary,\n\nthe mother of Jesus.\n\nShe talks to Mary out loud,\n\nthe way I talk to God in my heart.\n\nShe calls her \"Madame Marie.\"\n\nAh, so Mary has the same name as my godmother!\n\nIt's my godmother's job to protect me\u2014she already has.\n\nShe knows so many things.\n\nI'm sure she'll know how to fix things with Mary,\n\nand Mary will fix things with God.\n\nThat way I'll be able to go to heaven too.\n\n##   Far Away\n\nLife seems so safe in the country.\n\nBut I know it isn't, not really.\n\nMany people in the Vend\u00e9e are afraid of Jews.\n\nThey think Jews bring trouble.\n\nIf they knew who we _really_ were,\n\nthey might tell the enemy soldiers about us.\n\nThat's why we have to pretend to be Christians.\n\nMama, my half-remembered Papa,\n\nMadame Marie, and Monsieur Henri,...\n\nthey are all so far away.\n\nI try to remember our square.\n\nI can barely see the face of _The Thinker_\n\nor hear the splash of the fountain.\n\nI know Sophie's hiding in the country,\n\nbut I don't know what happened to Sarah and Henriette,\n\nto Charles, Serge, and Maurice.\n\nMaybe they've gone away too.\n\nParis seems only a faraway word,\n\nlight as a goose feather.\n\nStill, Madame Raffin makes us write letters there every week.\n\nI always write the same thing to my mother:\n\n_I am in good health. I hope you are too._\n\n_Everyone here is nice. I do my homework._\n\n_If you come to visit, please bring Charlotte._\n\nOne day Madame Raffin tells me\n\nmy mother will come at Christmas...\n\nI can't wait to see her and my doll!\n\nBut what if she wants to take me back to Paris?\n\nI don't want to go!\n\nThe children here all play with me.\n\nI have new brothers and sisters.\n\nWe always have as much good food to eat as we want,\n\nand I can walk to school with my friends.\n\nWe can go anywhere we want.\n\nWe can explore the village\n\nand the woods and streams\n\n_all by ourselves_!\n\nI know the reason I feel safe in the country.\n\nIt's because _here_ ,\n\nI am not a Jew.\n\nIn Paris, I am a Jew.\n\nI do want to see Mama,\n\nbut I don't want to go back to Paris.\n\nI don't want to hide from bombs and scary soldiers.\n\nI don't want to wear a yellow star\n\nand be attacked at school.\n\nI don't want to be afraid\n\nall the time,\n\nnearly every single minute.\n\nI don't want to live like that _ever_ again!\n\n##   Mama Comes\n\nI count the days in December, and Mama comes at last.\n\nJews aren't allowed to travel, so she took off her yellow star.\n\nThe train was crowded with Christmas travelers.\n\nNo one stopped her to find out if she was Jewish.\n\nMy mother's coat,\n\nthe smell of her hair and her cologne,\n\nher arms around me...\n\nthese things make everything else around me disappear.\n\nI want to show Mama my new village.\n\n\"Not yet,\" she says.\n\n\"First I must talk to the Raffin family.\n\nGo outside and play for a while.\"\n\n\"But Mama, did you bring Charlotte?\" I ask.\n\nShe opens her small suitcase and out comes my doll.\n\nShe still wears the very dress knitted by Mama's hands,\n\nand the apron I made with my godmother.\n\nI hug Charlotte.\n\nHow I have missed her!\n\nI take her outside on the swing.\n\nTogether we fly high into the sky.\n\nAt last, Mama comes out of the house.\n\nShe's looping her silk scarf around her neck,\n\nher chin high, her face shining.\n\nNow I remember, that's how she looks when she is happy!\n\nAt last it's time to take Mama to see what I love most...\n\nthe Christmas cr\u00e8che in the church.\n\n\"Look, here's the Baby Jesus and his mother and father\n\nand the ox and donkey.\n\nThe animals breathe on the baby to keep him warm.\"\n\nThe statues are almost as big as real people.\n\nMary gazes with loving eyes at her baby.\n\nHe holds out his arms and smiles at all the world.\n\nI wish I could pick him up and hug him,\n\nkiss his fat pink cheeks.\n\nBut Mama looks at it all, then looks away.\n\nI've made a terrible mistake!\n\nHow could I forget she doesn't like things like this?\n\nShe can't get out of the church\n\nand down the steps fast enough.\n\nWhen we're back on the street,\n\nMama breathes a sigh of relief.\n\n\"It's so dark and musty in there!\" she says.\n\n\"It's like an old lady's room,\n\ncrowded with knickknacks.\"\n\nMama likes the bakery better.\n\nShe can't take her eyes off the giant brioche.\n\n\"White bread is impossible to get in Paris,\" she says.\n\nI show her the window of the general store too.\n\n\"Look at the wool!\" Mama says. \"So many colors!\"\n\nI remember the game I used to play in Paris with Sarah.\n\nIf I had my choice of one thing from the general-store window,\n\nwould I pick the wool for my mother to knit?\n\nMy eyes move to a silver rosary with pearl beads.\n\nIt's so beautiful.\n\nMaybe I'd pick that.\n\nI study them both.\n\nSuddenly, I feel my mother's eyes on me.\n\n\"Let's move along now, Odette,\" she says.\n\nShe steers me away from the shop window.\n\nOh, dear, I've done it again!\n\nThere must be something I can show Mama that she'll like.\n\nI know, I'll take Mama to my school.\n\nCreeks crisscross through snowy meadows.\n\nHere and there is a small farm\n\nwith smoke trailing from the chimney.\n\n\"It's so beautiful!\" Mama says.\n\nBut when we arrive at the school, she won't go past the gate.\n\nAll I can show her is the cross\n\nand the pretty statue of the\n\nVirgin Mary outside.\n\n\"I don't understand all this fuss over crosses and statues,\"\n\nshe says.\n\n\"But one day, if I come here to live,\n\nI suppose you must teach me everything.\n\nNo one must guess that I'm not a Christian.\"\n\nMama?\n\nHere?\n\nCould she really come here and stay?\n\nI know all the saints and holy days,\n\nand when to stand and sit and kneel in church.\n\nI know every single prayer by heart too.\n\nIf she comes, I'll teach Mama everything.\n\n##   Country Ways\n\nOn the way back from the school,\n\nI name all the trees I've climbed with Jean and Jacques.\n\nI name all the fish I've caught with Monsieur Raffin,\n\nall the mushrooms I've picked with Madame Raffin.\n\n\"I even know which ones are poisonous,\" I tell her.\n\nMama is happy that I know these things.\n\nShe has lots of questions.\n\n\"What do you drink at dinner?\"\n\n\"Apple cider,\" I tell her.\n\n\"Where do you get the water for cooking and washing?\"\n\n\"From our garden well.\"\n\n\"What do you do for heat?\"\n\n\"We use the fireplace in the kitchen. The stove too.\n\nGrandmother Raffin opens the oven door\n\nand puts her feet up on the stovetop when she's cold.\n\nWe heat bricks in the oven too.\n\nAt night, we put them in our beds to keep warm.\n\nWarm feet are important here.\"\n\nMama says she thinks the villagers are clever.\n\n\"Oh, yes,\" I agree.\n\n\"When we have a fancy meal and dessert is served,\n\nwe clean our plates with a piece of bread.\n\nThen we turn them upside down\n\nand use the bottoms for dessert plates.\"\n\n\"I must try that for myself,\" says Mama.\n\n\"And you know what else the villagers do that's clever?\" I say.\n\n\"If someone has a loose tooth,\n\nthey don't go to the dentist.\n\nOh, no!\n\nMadame Raffin ties a long string around the tooth.\n\nShe ties the other end to the handle of the back door.\n\nThen she slams the door shut.\n\nOne scream and the tooth is out.\"\n\nMama doesn't say if she'll try that herself.\n\nI change the subject back to food.\n\nMama's always interested in that.\n\n\"The day after Christmas the pigs are slaughtered.\n\nThat's the day women gather to make sausages and hams.\n\nThey smoke the meat by the fireplace.\n\nThen, the best part of all!\n\nThey take all the leftovers and cook them together.\n\nThey say it's delicious.\"\n\nMy mother looks at me, shocked.\n\nHer parents were strict Jews.\n\nThey never touched pork.\n\nTo them, it was dirty.\n\n\"Well, well,\" Mama manages to say,\n\n\" _that_ I would like to see.\"\n\n\"Ask Madame Raffin,\" I say.\n\n\"I'm sure she'll invite you.\"\n\nBy this time, we've walked back to the church.\n\nA baptismal party comes down the steps.\n\nThe baby, crying in his godmother's arms,\n\nwears a long white lace dress.\n\nSomeone tosses a handful of candy\n\nfrom the open church.\n\nAll the children run for the candy.\n\nI show my mother the blue candies I've gathered.\n\n\"See, it's a boy!\"\n\nMama takes the candy away.\n\n\"You can't eat candy off the dirty ground,\" she says.\n\n\"You'll get sick.\"\n\nTears start to come,\n\nbut I blink them back as best I can.\n\nCrying is for babies, isn't it?\n\n\"That's not fair!\" I say.\n\n\"We always do it.\"\n\nMama softens.\n\nShe looks left and right.\n\nEveryone has gone home.\n\nWe go inside the church\n\nand she washes my candy\n\nin the holy-water font.\n\nThen she wipes it on her sleeve.\n\nShe baptizes my candy and gives it back to me.\n\nNow it is purified, and I can eat it.\n\nChristmas comes and goes, and with it my mother.\n\nShe takes the train back to Paris,\n\nand she doesn't try to make me go with her.\n\nShe never even mentions it.\n\nMama made me a pair of mittens,\n\npale blue with white snowflakes.\n\nIt's cold on New Year's Day, so I wear them.\n\nThat's the day children visit all the houses in our village.\n\n\"Happy New Year, good health,\n\nand paradise at the end of your days,\" we tell everyone.\n\nIn return, they give us coins and candy.\n\nPeople say it's bad luck\n\nif children don't visit you\n\non the first day of the year.\n\nI say it's good luck\n\nto be in a place\n\nwhere children are so important.\n\nI jingle my cold coins in one of my new mittens.\n\nMy candy melts in the other.\n\nI'll use one of my coins to light a candle in church,\n\nto thank God that I can stay in the Vend\u00e9e.\n\n##   Mama Comes Back\n\nBefore the snowdrops can push up\n\nout of the frozen ground,\n\nMama's back.\n\nShe did her secret work as long as she could in Paris.\n\nThe police arrested her!\n\nThey caught her in the apartment\n\nof some Jews who had gone into hiding.\n\nMama swallowed some secret papers\n\nbefore the police could find them.\n\nThey let her go that time.\n\nBut now it's too dangerous for Mama to stay in Paris.\n\nShe can't risk being caught again.\n\nMama says she's decided to live with me in the country.\n\n\"Can we stay in Chavagnes-en-Paillers?\" I ask.\n\n\"I don't want to leave my new family and friends behind.\"\n\n\"No,\" says Mama. \"It's better to go somewhere else.\n\nWe have to make sure that no one knows we're Jewish.\n\nTo do that we'll need a new last name.\n\nWhat do you think? Grand or Petit?\"\n\n\"Petit!\" I answer. \"And what will my first name be?\"\n\n\"You don't need to change your name,\" Mama says.\n\n\"It's very French.\"\n\nBut she says she will change hers to Marie.\n\n\"Like Madame Marie,\" I say,\n\n\"and Madame Raffin.\"\n\nAnd the Virgin Mary, I think,\n\nbut I don't say that out loud.\n\n\"Yes,\" says Mama, \"like those two good women.\n\n\"Marie is also the French way of saying Miriam.\"\n\nWhere _is_ Aunt Miriam? I want to ask.\n\nAre Sarah, Charles, Henriette, Serge, and Maurice with her?\n\nBut somehow I know better than to ask.\n\nAunt Miriam and my cousins have gone away,\n\nthat much I know,\n\nlike lots of Jewish people.\n\nBut no one talks about the people who have gone away.\n\nDoesn't anyone know what has happened to them?\n\nMaybe it's better not to know.\n\n##   A Small Stone Cottage\n\nToo soon it's time to say good-bye to all the Raffins,\n\nand to C\u00e9cile, Paulette, and Suzanne.\n\nI hug them all, one by one.\n\nAs always, I try not to cry.\n\nI remind myself that changes can be good.\n\nWasn't it good to come to the country from Paris?\n\nBesides, now Mama and I are _together_ again.\n\nShe says we'll see our friends again after the war,\n\nwhen it's safe.\n\nSo the war won't last a thousand years after all.\n\nMadame Raffin finds a small stone cottage for us to rent.\n\nIt's in her parents' village of La Basse Claveli\u00e8re.\n\nThis village is only a few miles away,\n\nbut it takes two hours to walk there.\n\nThe path is narrow.\n\nIt winds over rocky hillsides.\n\nMama goes there first.\n\nShe cleans the cottage and makes it cozy for us.\n\nWhen everything is ready, she comes back for me.\n\nI have all my treasures packed:\n\nmy rosary and the holy pictures I have begun to collect.\n\nThere's one of the Virgin Mary in her blue dress,\n\none of the gentle Saint Joseph with his carpentry tools,\n\none of Saint Francis speaking to birds.\n\nI also bring the photograph of my father in his soldier's uniform,\n\nbut Mama hides it in the linen closet.\n\nMadame Marie will still send us his letters,\n\nbut now we must keep him a secret.\n\nHe wasn't a secret in my old village,\n\nbut here he will be.\n\n\"Don't talk about him,\" Mama warns me.\n\n\"Not ever!\n\nHere we are Marie and Odette Petit.\n\nPapa's name is foreign.\n\nThe peasants might wonder about that.\n\nLet's not talk about Paris, either,\n\nor even Chavagnes-en-Paillers.\n\nWe'll just talk about life here.\n\nAnd we'll copy everything everyone else does in the village.\n\nWe want our neighbors to like us.\"\n\nI don't tell her that by now,\n\nI've almost forgotten about Papa, anyway.\n\nThe truth is,\n\nI won't miss seeing his photograph,\n\nnot that much.\n\nFrost coats the windows of our new cottage.\n\nI draw pictures in it of what I've left behind:\n\nmy friends, our swing, the pigeons.\n\nMama builds a stove out of an old pail and some pipes.\n\nShe buys me wooden shoes called _sabots_ with felt liners.\n\nI can walk through mud in them and my feet stay dry.\n\nWhen I get home, I leave my _sabots_ at the door.\n\nI wear my clean felt liners inside.\n\nTwo things frighten me at our new home.\n\nOne is the toilet... it's outside.\n\nA terrible toilet,\n\na dark hole dug deep into the earth.\n\nNow I know we are really poor,\n\nmaybe even poorer than my cousins used to be.\n\nIt's the worst toilet I've ever seen.\n\nMy mother says it's just part of peasant life,\n\nand I will get used to it.\n\nShe's right. I do.\n\nBut the worst problem comes at night.\n\nAt the top of our cottage is an attic\n\nwith an old spinning wheel.\n\nAfter dark, I hear spooky sounds.\n\nI'm sure there's a ghost up there, spinning away.\n\nMama says no, it's only mice skittering around.\n\nStill, I can't sleep.\n\nI just can't help it,\n\nI break down and cry in my bed.\n\nI try to do it so that Mama can't hear me.\n\nBut she does hear me, night after night.\n\nFinally, she gets me what I've always wanted...\n\na cat, to scare the mice away!\n\nI call her Bijou.\n\nShe has spots and long white whiskers...\n\nshe's the cat of my dreams.\n\nWe play \"Catch the String\" for hours.\n\nDuring the long winter evenings,\n\nchestnuts roast in the fireplace.\n\nCabbage-and-onion soup simmers\n\nin the big black pot over the fire.\n\nPotatoes bake in the embers.\n\nMama reads by the fire.\n\nThe last sounds I hear before sleep\n\nare now just the tiny footsteps of mice.\n\nThe ghost has disappeared,\n\nbut a few mice are still dancing in the attic.\n\nBijou sits on my feet and purrs.\n\n##   True Peasants\n\nThe back of our house faces the center of our tiny village,\n\nthe place where everyone gathers to gossip\n\nand to fetch water from the well.\n\nMama and I begin to meet people there.\n\nThe peasants speak _patois_ , a kind of country French.\n\nIt's different from the French that people speak in Paris,\n\nor even in Chavagnes-en-Paillers.\n\nBut I listen carefully and copy what people say.\n\nSoon I can speak _patois_ too.\n\nI walk to school with the other children.\n\nOur school is in the town of Saint-Fulgent.\n\nIt's a long way there, past the cemetery.\n\nIf an oxcart passes by,\n\na brave child might hang on to the back and hitch a ride.\n\nThe rest of us trudge along together, singing folk songs.\n\nOur church is in Saint-Fulgent too.\n\nMama and I go there every Sunday.\n\nSo does everyone else from the nearby villages.\n\nMama doesn't know all the prayers yet.\n\nWhen she's not sure of the words,\n\nI tell her to close her eyes and pretend she's whispering them.\n\nAfter Mass, the plaza in front of the church is like a fairground.\n\nIt's full of people who chat, picnic, flirt, and play.\n\nThe children in Saint-Fulgent go to school all year long\u2014\n\nbut not the children in La Basse Claveli\u00e8re.\n\nNo one seems to care what we learn.\n\nWhen springtime comes, we stop going to school.\n\nIt's time to help with farmwork.\n\nExcept for one boy, Marcel,\n\nwho's been sick for a long time,\n\nevery child has to help.\n\nGirls watch cows, weed and water, or peel potatoes.\n\nBoys cure tobacco leaves, sow and plow, or mend tools.\n\nAll the children bring animals home at the end of the day.\n\nIt doesn't matter whose family you belong to.\n\nIf you're a child, you must help anyone who needs you.\n\nWhen we have enough time,\n\nmy favorite place to play is in the forest.\n\nI like to pretend I'm Joan of Arc, fighting for France.\n\nSometimes we dare each other\n\nto climb to the tops of the highest trees.\n\nWe rob birds' nests of their eggs and eat them raw.\n\nThe older children teach the younger ones\n\nwhich snakes are safe\n\nand which ones can kill you.\n\nIt's important too to know which spiderwebs not to break.\n\nBad luck can come from breaking a Thread of Mary,\n\nan almost-invisible straight web,\n\nstrong as a rope.\n\nOn busier days, we play in the village center.\n\nI learn new games with sticks and stones.\n\nSimone, who lives two doors away, becomes my best friend.\n\nShe likes my curly brown hair, and I like her wavy red hair.\n\nShe doesn't have her own doll...\n\nbut she does have four younger brothers.\n\nSometimes I let Simone hold Charlotte.\n\nBut most of the time, we help grown-ups work.\n\nOne day, a farmer lets me cut hay with a sickle,\n\nfar up in the hills,\n\nall alone.\n\nI work all morning in the heat, cutting grass for animals to eat.\n\nAt noon, the church bells ring out bright and clear.\n\nIt's time to say a noontime prayer, the Angelus.\n\nThen I eat the food my mother packed for me\n\nand work some more.\n\nWhen I'm done, I'm tired but proud.\n\nI've worked a whole field all by myself.\n\nI've proved myself a true peasant child.\n\nMama is quick to learn country ways too.\n\nShe watches the peasants make soap and vinegar.\n\nThen she tries it herself.\n\nShe learns which mushrooms are poisonous,\n\nand which wild herbs to pick for salads.\n\nShe tears apart worn-out sweaters\n\nand uses the yarn to make beautiful baby clothes.\n\nEveryone admires her for this.\n\nOne day someone gives her half a pig\n\nfor helping with farmwork.\n\nShe makes ham, bacon, and p\u00e2t\u00e9 from it.\n\nShe takes the pig's intestine and washes it in the river.\n\nThen she uses it for sausage casing.\n\nMy Parisian mama now seems just like a real peasant,\n\nexcept in one important way.\n\nI still have to watch over Mama in church.\n\nI poke her so that she knows when to stand and kneel,\n\nand when to say, \"Lord, have mercy,\" and \"Grant us peace.\"\n\n\"Watch now, you do it this way,\" I say.\n\nI have to show her how to make the sign of the cross,\n\nover and over again.\n\nMama, who is so good at so many things, is clumsy at prayer.\n\nShe's grateful when I help her, though.\n\n\"You must never, ever tell anyone our real name\n\nor that we are Jewish,\" Mama says.\n\n\"This is a matter of life and death.\n\nBut I trust you.\n\nI know that you can keep secrets.\"\n\nShe's right.\n\nI'm an expert now at keeping secrets.\n\n##   Signs\n\nOne day, dogs bark to tell us that Nazis have arrived\n\nto camp in a nearby meadow.\n\nMy friend Simone and I run to see.\n\nThe soldiers came in big silver trailers.\n\nWe watch them unload...\n\nbeds and tables that unfold,\n\nshiny lanterns and stoves.\n\nThe soldiers have boxes and boxes of food.\n\nThey offer us candy.\n\n\"Don't take it!\" adults have always warned us.\n\n\"It might be poison.\"\n\nBut Simone and I take the sweets anyway.\n\nWe almost never get candy,\n\nso we are willing to take a chance on being poisoned.\n\nI hide my candy from my mother\n\nand eat it alone.\n\nAnyway, I think people here worry too much\n\nabout poisons, curses, and sickness.\n\nThey protect themselves with herbs and leeches.\n\nLeeches are slimy worms.\n\nThe villagers use them to suck out bad blood.\n\nThe peasants also think that Jews bring bad luck.\n\nI try not to think about that.\n\nWhat would happen to us if they found out\n\nMama and I are Jews?\n\nMaybe if I do more good deeds\n\nthe saints will be on my side.\n\nGod will send me a sign that everything will be all right.\n\nWhat happens next\n\ndoes not seem like a good sign.\n\nKittens are born in our village.\n\nFive are homeless. No one will adopt them.\n\nBy tradition, children take the unwanted ones to P\u00e8re Ren\u00e9,\n\nthe oldest man in our village.\n\nHe has the biggest ears I've ever seen.\n\nDoes this mean he can hear better than anyone?\n\nP\u00e8re Ren\u00e9 throws the kittens into a black pond,\n\none by one,\n\nwith his six-fingered hand.\n\nThe tiny kittens struggle.\n\n\"Just look at them!\n\nNot even a day old and they think they can swim.\"\n\nThe children who watch him laugh.\n\nI feel a dull pain in my chest.\n\n\"Ah, so you're scared, little ones?\"\n\nP\u00e8re Ren\u00e9 says to the kittens.\n\n\"Won't be long now.\"\n\nA big boy named Paul throws stones at them.\n\nOne by one,\n\nthe kittens go under.\n\nSoon the black pond is still.\n\n\"Time for my nap,\" says P\u00e8re Ren\u00e9,\n\nand with a yawn and a stretch,\n\nhe leaves.\n\nThe children go off to play.\n\nEveryone else accepts that these animals must die.\n\nIt's the way of the peasant world.\n\nBut me, I go back into my house\n\nand hug Bijou\n\nuntil she scratches her way out of my arms.\n\nHowever, before long a good sign comes.\n\nMama wants to mail a package to Madame Marie.\n\nShe sends my godmother food when she can.\n\nThe post office is in Saint-Fulgent.\n\nSo my mother and I take the long walk there together.\n\nI go to school that afternoon while\n\nshe goes to the post office\n\nand buys things she needs.\n\nThat day, our teachers take us into a field to look at the clouds.\n\n\"What do you see?\" the nuns ask.\n\n\"Oh, a bear!\" a little girl says.\n\n\"No, it's a furry dog,\" another one says.\n\nBut I see a sewing machine!\n\nSeated at it is Madame Marie.\n\nI know she's there to protect my mother and me.\n\n_This_ is the sign I've been watching for!\n\nWhen the school bell rings,\n\nMama's waiting for me.\n\nShe has two straw baskets.\n\nOne is full.\n\nInside is lamp oil, flypaper, new knitting needles,\n\nand a loaf of fresh bread.\n\nThe other one is almost empty\n\nexcept for a few cabbage leaves.\n\nMama gives the empty one to me to carry.\n\nWe walk along the quiet, dusty road back to our village.\n\nAn oxcart trundles by.\n\nWhen it passes,\n\nI follow Mama into a field of rutabagas.\n\nShe shows me how to pull them up.\n\nI take one here, one from a few feet away.\n\nMama tells me to hide them in my basket under the leaves.\n\nI know I'm stealing, but my mother told me to do it.\n\nWe need vegetables, and there are so many here.\n\nSurely it won't matter if we take just a few?\n\nSoon we are back on the road and all seems well.\n\nMadame Marie will get a package of good country food:\n\nmeat, sausages, and p\u00e2t\u00e9.\n\nMama has her new knitting needles\n\nand fresh bread from town.\n\nI carry the stolen rutabagas but also a wonderful secret...\n\nthe most powerful of all good omens.\n\nMadame Marie has appeared in the sky.\n\nWe are safe.\n\n##   Accused\n\nWhen the fruit trees blossom pink,\n\nit's time to build a village shrine to the Virgin Mary.\n\nP\u00e8re Ren\u00e9, the old man who drowned the kittens,\n\ndivides his barn in two.\n\nHe puts his cows on one side.\n\nOn the other side, a statue of Mary moves in.\n\nShe wears her light blue robe and her golden crown.\n\nAll during the month of May,\n\npeople visit her and bring flowers.\n\nOne May morning,\n\nI walk to school with other children.\n\nA meadow shines with silver.\n\nWe've heard pilots sometimes drop tinsel over fields at night.\n\nAre these shell casings?\n\nNo one seems to know for sure.\n\nCould the shiny paper have chocolates inside?\n\nWe have to go see!\n\nNo, there's no chocolate, but the silver paper is so pretty.\n\nWe toss handfuls of it into the air\n\nand watch them shimmer down.\n\nOne boy collects a huge pile of silver papers.\n\nHe sits down under a tree to count them.\n\nThe rest of us just grab as many as we can.\n\nSomeone says,\n\n\"Let's decorate the Holy Virgin's shrine!\"\n\nWe run back to the village with our treasure.\n\nPatient as ever,\n\nMary lets us decorate her with tinsel.\n\nIt shines on the white tablecloth in front of her,\n\nand on the bouquets of rosebuds\n\nin their milk cans and jars.\n\nThe cows are out for the day,\n\nbut their smell lingers with that of the roses.\n\nA sheepdog comes in to see what's happening.\n\n\"Old P\u00e8re Ren\u00e9's dog!\" someone whispers.\n\n\"Let's get out of here.\"\n\nBut before we can escape,\n\nthe wrinkled old man blocks the barn door.\n\nHe shakes his six-fingered hand at us.\n\n\"Not in school?\n\nNot in the fields?\n\nThe day's still young and there's plenty of work to do.\n\nBut do you help your parents?\n\nNo, you make a mess of the Virgin's shrine.\"\n\n\"We're decorating it for her,\" says the oldest, bravest girl.\n\n\"Look at the silver.\n\nOurs will be the prettiest shrine in any village.\"\n\nP\u00e8re Ren\u00e9 shakes his head.\n\n\"Anything to get out of all the work God planned for us\n\nfrom the day Adam left the Garden of Eden. Bah!\"\n\nAt the village center, I meet my friend Simone.\n\nShe's playing hopscotch.\n\nBut when she sees me coming,\n\nshe drops her marker and walks away.\n\nWhy, I wonder?\n\nI follow her.\n\nAt first she won't speak to me, but then she says,\n\n\"I can't play with you anymore.\n\nPeople say you and your mother are really Jewish.\n\nAre you hiding from the Germans?\"\n\nSilence.\n\n\"You are, aren't you?\"\n\nMy mouth drops open,\n\nbut no words come out.\n\nWho thinks we're Jewish?\n\nHow did they figure it out?\n\nBut I don't have time to think about this.\n\nNot now.\n\nI swallow hard and reply.\n\n\"Jewish?\n\nHow could I be Jewish?\n\nLots of Christians have left Paris since the war began.\n\nWe had no eggs, no meat, no milk, no butter!\n\nWe had to hide in bomb shelters at night.\n\nIt was awful.\n\nWe came here because it's quiet and peaceful,\n\nand there's lots of good food.\"\n\n\"I _knew_ those people were lying,\" says Simone.\n\n\"You're too nice to be Jewish.\"\n\nShe smiles at me.\n\n\"Come on,\" she says as she pulls my hand.\n\n\"Want to go see my new baby brother?\n\nHe's the ugliest one yet!\"\n\nI feel faint with relief.\n\nFor a moment, I can barely see...\n\neverything looks blurry, as if we're under water.\n\nI grab Simone's hand and let her pull me along,\n\nblinking until my sight clears.\n\nWho are the people who suspect us? I wonder.\n\nShould I run and tell Mama right now?\n\nNo, I'll act normal, I decide.\n\nI'll wait until tonight to tell Mama everything.\n\n##   Attacked\n\nLike all the houses in our village,\n\nSimone's house has two rooms.\n\nOne has a fireplace and a big table,\n\nand the other a huge carved bed.\n\nSimone's thin mother rests in the bed with her sleeping baby.\n\n\"Look how blessed I am with all these fine children, Odette!\n\nSimone can keep house and milk cows as well as I can.\n\nI don't know what I'd do without her!\n\nIn fact, I need her today.\n\nCan you take the cows to the pasture this afternoon?\"\n\n\"Of course,\" I say, proud to be asked.\n\nSimone packs ham and rye bread for me for lunch.\n\nShe puts it in a satchel with some cider.\n\n\"Now, Odette,\" says her mother.\n\n\"You know where the cows are, behind the house.\n\nTake them to the stream.\n\nYou can keep your cider cool in the deep water there.\"\n\nAt the stream, the four cows are happy\n\nwith all the water, grass, and shade.\n\nAfter I find a good place to put my cider,\n\nI pick wildflowers for Mary's altar.\n\nThen I take off my rubber sandals\n\nand wade into the water to look for frogs.\n\nBut a sound behind me makes me jump\u2014is it the cows?\n\nNo, it's the village children marching toward me.\n\nOne look tells me they're not here to play.\n\nThey look like farmers ready to chop down a big tree.\n\nPaul, the big boy who threw stones at the kittens, is the leader.\n\nHe has no family.\n\nThe old lady he lives with works him too hard,\n\nalmost as hard as a grown man.\n\nSimone walks beside him.\n\nI thought she had to help her mother.\n\nSomething must have happened.\n\nShe looks at me as though she's angry,\n\nas though she knows I've lied to her.\n\nI stand still and wait for them.\n\nWhen they come close, the children trap me in a half circle.\n\n\"You thought you could fool us!\" shouts Paul.\n\n\"We're not stupid.\n\nWe know if a Jew comes into your house, someone will die.\"\n\n\"And now that's happened!\" yells a younger boy.\n\n\"As soon as your mother rented that house from my parents,\n\nmy brother Marcel got sicker and sicker.\n\nNow he's dead... just like Jesus.\"\n\nSo our neighbor Marcel has died.\n\nBut that can't be my fault.\n\nHe's been sick since before I came to the village.\n\n\"I'm not Jewish!\" I yell back.\n\n\"And how could I kill Jesus?\n\nI'm not old enough.\"\n\nPaul shouts, \"Let's throw her in the water.\n\nShove her face under until she drowns.\"\n\nThe children all rush at me.\n\nI remember what they did to the kittens.\n\nI must run from the stream, get away fast...\n\nanywhere!\n\nI throw things\u2014food, cider, rocks, flowers.\n\nI use my sandals to beat back my enemies.\n\nThen I run as far as I can get from the water.\n\nThe children catch me at the hedge next to the pasture.\n\nI scratch, spit, kick, scream.\n\n\"You killed Marcel!\"\n\nI hear the children say.\n\n\"We'll tell the soldiers about you.\n\nThrow her in the thorn bush!\"\n\nThorns are better than water, I think.\n\nAnything's better than drowning!\n\nPaul and the other boys roll me in the thorns.\n\nThen, like hunters done with their prey, they leave me.\n\nSimone grabs her satchel.\n\nWithout even a glance back at me,\n\nshe herds the cows home across the fields.\n\nBruised and scratched all over,\n\nI roll away from the thorns into thick grass.\n\nI lie there and pant in the sun until my heart stops pounding.\n\nThen I reach for a daisy and pull off its petals, one by one.\n\n\"They're gone, they're not gone, they're gone,\"\n\nI repeat to myself.\n\nWhen the last petal tells me that they really are gone, I get up.\n\nMy blue cotton dress is torn.\n\nI find my sandals and put them on.\n\nThen I kneel down to pray.\n\n\"Thank you, God, for saving me.\n\nPlease watch over my mother.\"\n\nI go back and find all the flowers I picked.\n\nI'm going to take them straight to Mary.\n\nOn the way, I pass an old woman.\n\nShe's collecting twigs for a broom in her basket.\n\nI might frighten her\n\nwith my tangled hair and torn dress,\n\ncovered with cuts and sores.\n\nSo I slip behind a tree\n\nand wait until the old woman passes.\n\nWhy are all the children against me,\n\neven my best friend, Simone? I wonder.\n\nMaybe it's true that Marcel is dead,\n\nbut Mama said you can't live with tuberculosis forever.\n\nI say all my prayers,\n\ngo to Mass,\n\nand do well at my lessons.\n\nWhat am I doing wrong?\n\nI put my hand on the left side of my chest.\n\nMy star has been gone since I left Paris.\n\nDid God punish me because I told a lie,\n\nsaid that I was not Jewish?\n\nBut my mother told me to lie.\n\n\"It's a matter of life or death,\" she said.\n\nAnd the priest tells us to obey our parents.\n\nWill the children ever play with me again?\n\nWill I have to walk to school all alone?\n\nOr worse, will people tell the Nazis we are Jews?\n\nWill they send Mama and me somewhere far away?\n\nIf that happens, will we ever come back?\n\nThe sun goes down.\n\nCrickets start to sing,\n\nand the trees raise their arms like spooky ghosts.\n\nI shiver in my thin dress.\n\n##   Heartbroken\n\nAt last!\n\nHere's the door to P\u00e8re Ren\u00e9's barn.\n\nIn the cold twilight I fall on my knees.\n\nOur Lady's calm presence\n\nand the mooing of the cows soothes me.\n\nI put my flowers in one of the clay pots\n\nfarmers use for liverwurst.\n\nStreaks of silver pierce the half darkness...\n\nthe shiny paper we used to decorate the altar this morning.\n\nMary stretches out her arms to me,\n\nloving as always.\n\n\"Our Lady of Mercy,\"\n\nI pray, \"I'm scared.\n\nYou know I didn't kill your son, or Marcel.\n\nWhy did even Simone turn against me?\n\nForgive me for my lies.\n\nMy mother made me promise\n\n_never_ to say that we are Jews.\n\nPlease watch over us.\"\n\nI am so tired, and the barn is warm.\n\nI feel faint.\n\nBut I hear a noise behind me...\n\nis someone else in the barn?\n\nNot Paul, I hope!\n\nNo, but I do see the hunched figure of an old man\n\nleaning on a carved stick.\n\nHe holds a lit candle in his right hand,\n\na hand with one too many fingers.\n\nP\u00e8re Ren\u00e9, the kitten drowner, watches me.\n\nHis face looks as pale as a turnip\n\nin the candlelight.\n\nHow long has he been here?\n\nDid his huge ears hear my prayer?\n\nP\u00e8re Ren\u00e9 takes his time, then speaks.\n\n\"You are a sight, Odette...\n\noh, those children!\n\nAlways in fights over nothing.\n\nCome now, child.\n\nMake yourself useful.\n\nHelp me light the rest of the candles for Our Lady.\n\nThen you'd better go on home.\n\nYour mother's been looking for you everywhere.\n\nIf you hurry,\n\nI'll give you some warm milk fresh from the cows.\n\nThat will get you on your way.\"\n\nI find Mama sitting on her suitcase outside our cottage.\n\n\"We have nowhere to live,\" she says.\n\n\"Our landlord has taken away our cottage.\n\nHe accused me of being a Jew\n\nbecause his son died.\n\nI was so worried about you.\n\nI didn't want you to come home\n\nand find the house empty.\"\n\nI tell Mama what has happened to me,\n\nhow the children accused me of being a Jew too,\n\nand beat me up.\n\n\"Even Simone,\" I tell Mama, \"even my best friend.\"\n\nMama makes room for me on the suitcase beside her.\n\nI sit down and put my arms around her.\n\nShe puts her coat around my shoulders.\n\nTogether, we look up at the moon.\n\nThe moon gazes sadly back at us.\n\nAll we have is each other.\n\nBut Mama is a woman of action.\n\nEven though it's late, she decides she must go,\n\nright this minute,\n\nto see the mayor in Saint-Fulgent.\n\nShe knows that he, like her, is a secret freedom fighter.\n\nMama tells me to hide in the cottage.\n\nSoon she is back with the mayor.\n\n\"These people are not Jews,\"\n\nthe mayor tells our neighbors.\n\n\"I know their family in Paris.\"\n\nBecause he is the mayor,\n\nthe villagers pretend to believe him.\n\nAnd Mama and I pretend to forget\n\nwhat the villagers have done to us,\n\nthrowing us out of our home, beating me up.\n\nWe move back into our cottage.\n\nMama gives a party to show the villagers\n\nthat we are still ready to be friends.\n\nShe bakes a cake and invites all the children,\n\neven Paul and Simone.\n\nEveryone comes.\n\nI pretend to have a good time.\n\nI keep all my sadness and anger buried inside,\n\nlike all my other secrets.\n\nIt's safer that way.\n\nI can't stop being scared, though.\n\nSo scared that one day I stop going to school.\n\nSo scared that I even stop talking.\n\n##   Mute\n\nSome new city people have moved to our village.\n\nThey brought their son's books.\n\nHe's a student who's now in the army.\n\nThe family lets Mama borrow\n\nas many books as she likes.\n\nEvery morning I take one.\n\nI put some bread and apples in my backpack.\n\nThen I go to the forest.\n\nI climb a tree to get away from everything.\n\nThere, alone with the bats and owls,\n\nI read all day long.\n\nI am free from people who can't be trusted.\n\nOnly my mother is sad about this.\n\nSometimes I want to say something to comfort her,\n\nbut no words will come out.\n\nWeeks of silence go by.\n\nMy mother tries to talk to me.\n\nShe asks me questions.\n\nSometimes I even think I have answered her.\n\nShe says I haven't.\n\nIt seems I can't say a word.\n\nOne day my mother tells me another secret.\n\nShe's reading some poetry, she says.\n\nShe thinks it's beautiful, but she's not sure.\n\nShe can't tell.\n\nThe poetry is written in French.\n\nFrench does not \"sing\" to her like her own language, Yiddish.\n\nMaybe if I read it out loud she'll be able to tell.\n\nShe sits on our doorstep in the sunshine.\n\nI sit next to her.\n\nI begin to read in silence.\n\nThen the beauty of the words overtakes me.\n\n_And life, pounding our breasts like a drum,_\n\nI read aloud,\n\n_threatened to gush and overflow our souls_....\n\nI read on and on.\n\nThe words roll off my tongue.\n\n\"Papa will love this,\" I say at last.\n\nMama's face shines.\n\nI see Papa's face too, still wearing his army hat but smiling at me.\n\nDistance has disappeared.\n\nMy mother, my father, and I are together again.\n\nPoetry is stronger than the Nazis,\n\nstronger than the war.\n\nThese words are so beautiful\n\nthey make me want to speak again.\n\nThe next day, I don't go to the forest.\n\nI spend it reading poetry at home.\n\nSometimes I read aloud.\n\nDay by day, I dare to say more.\n\nAfter a while, Mama even talks me into going back to school.\n\nI leave early and come home late\n\nso that I won't have to walk with the village children.\n\nBut when I chant the litany with the other girls in class,\n\nI feel like I'm reciting poetry.\n\nThat soaring inside me,\n\nthat's what it's like to be happy again.\n\n##   My Guardian Angel\n\nOne morning when I push back the potato sack\n\nthat hangs over our front door in summer,\n\nI find Simone waiting for me.\n\n\"Come and play with us, Odette,\" she says.\n\nSo I do.\n\nBut when we throw pickup sticks,\n\njump rope, or play ball,\n\nI'm careful about what I do.\n\nI'm still afraid of the village children.\n\nWhat if a fight breaks out?\n\nWill they make things my fault?\n\nP\u00e8re Ren\u00e9 is my new guardian angel.\n\nHe's always there.\n\nHe sharpens his scythe outside his cottage,\n\nsmokes his pipe with his dog at his feet,\n\nand watches us,\n\nready at once to settle a fight.\n\nI think I know why.\n\nMy six-fingered friend knows what it's like to be different.\n\n##   Heart and Soul\n\nSoon it will be harvest time, my favorite time of the year.\n\nMen, women, and children sing together\n\nwhile they load baskets with sweet grapes.\n\nMy favorite job is to follow the wheat harvester\n\nand gather the shimmering stalks left in the grass.\n\nIn school, we learn about the five senses.\n\nOur teacher asks us to write about our _pays_ ,\n\nthe place where we live.\n\nWe must write a poem about our _pays_ in five parts,\n\none for each of the senses.\n\nWe can name all the sounds we like.\n\nWe can tell what smells, tastes, looks, or feels good to us.\n\nI think about this on my way home from school.\n\nI look at everything I pass on the road.\n\nWhen I get to our village, I look at all the houses,\n\nthe winepress, even the black pond.\n\nI take a walk through the forest to my favorite reading tree.\n\nI stare.\n\nI listen.\n\nI touch.\n\nI taste.\n\nI smell.\n\nThen I begin.\n\n\"I love my _pays._\n\nI love the sounds of the barnyard, the church bells,\n\nand accordion music.\n\nI love the smells of the flowers and the incense in church,\n\nand the newly cut hay.\n\nI love the taste of warm cow's milk and cool cider,\n\nof blackberries and roasted chestnuts\n\nand stew on winter nights.\n\nI love the sight of lightning tearing up the sky,\n\nof the golden flypaper shining in the sunlight.\n\nI love the feel of the brook's fresh water between my toes,\n\nand the weight of a ladybug on the back of my hand.\"\n\nAs I walk home,\n\nI remember I have heard about a sixth sense.\n\nWhen I ask Mama about it, she says that perhaps it is fear.\n\nFear is still with me.\n\nI might be beaten again.\n\nI might be drowned or my cat might be drowned.\n\nWorst of all, Mama and I could be chased out of our village.\n\nWe could be sent on a long train journey, far away from France.\n\nReading helps me forget about fear.\n\nI read everything from the _Farmer's Almanac_ to fairy tales.\n\nPoetry is still what I love best.\n\nIt doesn't matter if I don't understand it.\n\nI can just listen to its music, or even read it to a cat or a cow.\n\nI find a book by the Spanish saint Teresa of Avila.\n\nIt's almost like poetry.\n\nOn the first page, Saint Teresa says,\n\n\"We can think of our soul as a castle\n\nmade entirely of diamond or very clear crystal,\n\nin which there are many rooms,\n\njust as in heaven there are many dwelling places.\"\n\nThis is much grander than,\n\n\"The heart is like an apartment.\"\n\nBut Madame Marie lives in a tiny apartment.\n\nSaint Teresa lived in a large convent.\n\nSo to her, the soul was like a castle.\n\nIs the soul greater than the heart,\n\nor is it just the same?\n\nI'm not sure...\n\nbut I suspect it's the same.\n\nPeople sometimes say they love with all their heart and soul.\n\nSo the heart and soul must be like twins,\n\nhelping people love all that's good and true,\n\nno matter where they find it.\n\n##   Mother's Day\n\nMama's sad and lonely.\n\nNo letters have come from Papa in a long time,\n\nand she never hears from her family anymore.\n\nOne day, I see a pin in the shop window in Saint-Fulgent.\n\nIt glitters in sunset colors, pink and gold.\n\nMama would love it,\n\nI just know she would.\n\nAnd I know where Mama keeps our money.\n\nI'll take some, just a little,\n\nand I'll buy her a Mother's Day present.\n\nIt'll be a surprise!\n\nAfter all, I earned some of it myself during harvest, didn't I?\n\nMama is outside at work in the garden.\n\nI pry back the loose floorboard under the kitchen table.\n\nI lift out the money jar.\n\nI take out two silver coins, only two.\n\nThen I put the jar and the board back.\n\nI go to the shop to buy the pin.\n\nThe shopkeeper wraps it for me in pretty paper.\n\nI make a Mother's Day card to go with it.\n\nI spend a long time drawing violets on it, one by one.\n\nThen I hide my card and present.\n\nWill the violets remind Mama of the cologne she used in Paris?\n\nI hope so... I can't wait for Sunday.\n\nBut on Saturday morning Mama counts our money.\n\n\"Odette,\" she says, \"some money is missing.\"\n\nI tell her I don't know anything about it.\n\n\"I think you do,\" says Mama.\n\n\"You are the only one who knows where I keep our money.\"\n\nSo I tell her it's true.\n\nBut I won't tell her what I did with it.\n\nIt's a secret.\n\nMama's eyes flash.\n\n\"I didn't raise you to be a liar,\" she says, \"or a thief!\"\n\nA liar? A thief?\n\nBut all I'm doing is keeping a secret...\n\nand Mama is the one who _taught_ me to keep secrets.\n\nMama slaps my face, hard.\n\nBijou is shocked, and so am I.\n\nThe shape of Mama's hand stings my cheek.\n\nIt feels like fire.\n\nBut I don't say anything.\n\nI just climb into my bed with Bijou.\n\nI cuddle her,\n\nand she licks and comforts me.\n\nWe both calm down.\n\nThe next morning, I bring Mama my Mother's Day present.\n\n\"Now I know where the money went,\" Mama says.\n\nShe tries to smile, but tears well up in her eyes.\n\nMama, who is so strong, who _never_ cries, is sobbing.\n\nI put my arms around her.\n\nI don't tell her not to cry.\n\nI know now crying can help you feel better.\n\n##   Beautiful Bluma\n\nMama gets a letter that makes her hum with happiness.\n\nHer old friend Bluma is coming for a visit.\n\nShe and Mama grew up in Poland together.\n\nBluma's husband is a French Christian,\n\nand she speaks French with no accent.\n\nEven so, her family is afraid...\n\nsomeone might find out she is a Polish Jew.\n\nMaybe, if she likes it in the country,\n\nshe will come and live with us.\n\nThen Mama won't be so lonely.\n\nBeautiful Bluma arrives,\n\nin a silky blouse\n\nand soft shoes.\n\nHer eyelashes are the longest I've ever seen.\n\nShe has no children of her own\n\nand makes me feel like her favorite niece.\n\nBluma has an expensive camera in a leather case.\n\nShe takes photographs of Mama and me,\n\nof curving country lanes,\n\nand of windmills and waterfalls.\n\nAt night, in the firelight,\n\nwe eat all the delicious dishes Mama has made for us.\n\nBluma has brought us chocolate too.\n\nIt's been so long since I tasted it,\n\nI almost forgot its sweet bitterness,\n\nand how it melts on my tongue.\n\nMama begs her friend to stay.\n\nBluma's face is pale in the dim light.\n\nShe _is_ afraid, she tells us,\n\nbut she just can't leave the home she loves\n\nand the husband she loves even more.\n\nNo, she will go back to Paris.\n\nAfter only a few days,\n\nwe walk Bluma back to Saint-Fulgent.\n\nThe bus comes,\n\nand she climbs on board.\n\nShe waves her handkerchief at us from the window\n\nuntil we can't see her anymore.\n\nA week later Mama gets a letter from Bluma's husband.\n\nBluma has been taken away,\n\nlike so many other Jews.\n\nHe asks if we can send her some food\n\nat the camp where he thinks she is.\n\n\"Why didn't Bluma stay with us?\" I ask.\n\n\"She would have been _safe_ here!\"\n\nMama sighs.\n\nFor a while she doesn't speak.\n\nThen she says,\n\n\"Bluma was used to an easy life.\n\nShe couldn't give it up, not even for her own safety.\"\n\nThen Mama puts down her letter and gazes out the window\n\nat pigs, rooting in the dirt.\n\n\"Life in the country was just too hard for her,\" she says.\n\n##   The War Creeps Closer\n\nOnly one person in our village has a radio,\n\nour landlord's son.\n\nMama and I go to his house\n\nand crouch with him in front of his beat-up old radio.\n\nWe listen to scratchy sounds,\n\nnews of nearby battles.\n\nThe war is creeping closer and closer.\n\nAmerican and British soldiers land in Normandy,\n\nand take part of France back from the Nazis.\n\nNow they are blasting a strong submarine base,\n\nonly fifty miles away.\n\nBombs fall on Saint-Nazaire day and night.\n\nEchoes of these bombs\n\nreach as far as La Basse Clavali\u00e8re.\n\nI watch the lamp tremble over our table.\n\nSometimes it even swings back and forth.\n\nI count how many times...\n\neight, nine, ten.\n\nI tell myself if I get to twelve,\n\nthe war will be over.\n\nBut I never get quite that far.\n\nBefore long,\n\nenemy soldiers fill Saint-Fulgent.\n\nOne day,\n\nwe hear Nazi soldiers march past our school.\n\nThey are singing a rowdy song.\n\nMy teacher closes the shutters\n\nso we won't have to listen.\n\nThen she closes the windows,\n\neven though it's warm.\n\nBut we can still hear the song.\n\nAt first, my teacher looks sad.\n\nBut after a while,\n\nher sadness shifts into anger.\n\nShe pounds one fist on her desk.\n\nThen she pounds both fists.\n\nWe listen, and at last we understand.\n\nShe is pounding out the beat of \"La Marseillaise,\"\n\nthe French national anthem.\n\nWe begin to pound our desks too.\n\nWe're going to pound out the enemy soldiers,\n\npound out the sound of their song.\n\n_\"Arise, children of the Fatherland,_\n\n_the day of glory has arrived....\"_\n\nOur chests swell.\n\nLike strong soldiers,\n\nwe battle bravely.\n\nWe'll win back freedom for our beloved country,\n\n_La Belle France_ ,\n\nor die trying.\n\n##   The Soldiers Go Away\n\nThe Nazis leave our village at last!\n\nThe war is going badly for them.\n\nThe troops gather in the main square.\n\nTheir officer makes a speech.\n\nHe thanks the mayor for our village's hospitality.\n\nThen he reaches forward to shake the mayor's hand.\n\n\"Never,\" says the mayor,\n\n\"would I shake hands with my country's enemy.\"\n\nThe officer's eyes darken with anger.\n\nHe marches off with his men.\n\nCars and trucks follow.\n\nIn the last one,\n\nI see a goat.\n\nShe stands on the backseat,\n\nher head stuck out the window.\n\nChildren chase after the car, laughing and cheering.\n\nThe goat watches them calmly.\n\nShe bats her eyelashes.\n\nWithin minutes, our houses and windows shake.\n\nA deep rumble, a crash!\n\nAre the soldiers bombing our village?\n\nNo, just our mayor's chateau.\n\nThe enemy officer had to repay our mayor's insult.\n\nFor refusing to shake hands,\n\nhis elegant mansion has been turned into a pile of rubble.\n\nTwo scared, stranded soldiers straggle into our village,\n\npushing carts packed with food.\n\nThey are lost.\n\n\"Can anyone show us which way the others went?\" they ask.\n\n\"Oh, yes,\" says Mama.\n\nShe points in the direction of the woods,\n\nwhere Resistance fighters hide.\n\nIn minutes, the enemy soldiers are back in the town square,\n\nprisoners of our local young heroes.\n\nEveryone gathers around the carts to see what's in them.\n\n\"Candy?\" all the children ask.\n\n\"Is there any chocolate?\"\n\nWhen we find it,\n\nwe eat every last piece.\n\nNo one tries to stop us.\n\n##   Vive la France!\n\n\"Hurry!\" say the villagers.\n\n\"Don't miss the celebration in Saint-Fulgent.\n\nNews has come that Paris is free.\"\n\nMama drags me to Saint-Fulgent.\n\nPeople dance in the streets.\n\n\"The war is almost over!\" they shout.\n\nFrance and its allies are winning.\n\nWhat does this mean for us? I wonder.\n\nAre Jews safe now?\n\nWhat about Papa?\n\nOn the way home, Mama can't stop talking.\n\n\"No more cooking in a black iron pot.\n\nNo more straw mattresses or cottages filled with mice.\n\nNo more kneeling in church,\n\nlugging water from the well,\n\npretending that your father does not exist.\"\n\nShe can't wait to get back to Paris,\n\nto electric lights, running water, and indoor toilets.\n\nMy father and our neighbors and friends will all be there.\n\nWe'll join Jewish clubs; she'll read Yiddish books.\n\n\"And you, Odette, you'll have rubber boots, not _sabots._\n\nInstead of church on Sunday, we'll go to the public baths.\n\nWe'll _buy_ soap, vinegar, wine, butter...\n\nand skeins and skeins of wool.\n\nWe'll eat crepes in the winter, ice cream in the summer.\n\nWe'll go to museums, movies, and parks.\n\nParis has everything!\n\nLa Basse Claveli\u00e8re has been just a nightmare.\"\n\nIt's true, we've had bad times here in the country,\n\nthat time I was beaten,\n\nand we almost lost our home.\n\nAnd I did lose my voice.\n\nBut we had _more_ bad times in Paris, didn't we?\n\nBesides, I don't mind the things Mama seems to hate.\n\nI like getting water from the well and living in a cottage.\n\nI love my _sabots_ and going to church.\n\nThe country is my home now.\n\nHow can I leave it and go back to the city?\n\nHow can I leave the sweet cows and my pet cat, Bijou?\n\nMy forest, my fields and pastures, all my wildflowers?\n\nHow can I live without freedom,\n\nin a place where I don't belong?\n\n##   Adieu\n\nI pray to all the saints, but no miracle can save me from Paris.\n\nMama's mind is made up.\n\nAs soon as she's sure the city is safe,\n\nas soon as she's satisfied peace has come to stay in Paris,\n\nshe makes plans for us to return.\n\nEven one extra day in the country is too many for her.\n\nIn the days before we leave,\n\nI say good-bye to all my treasures, one by one.\n\nI sit beside the shimmering ponds\n\nand walk in the quiet forest for the last time.\n\nI gather my last wildflowers and pat the gentle cows good-bye.\n\nI light bright candles.\n\nThey flicker at the shrines of all the saints in church.\n\nBut I leave all my holy cards behind.\n\nThe only saint who can come with me is Joan of Arc.\n\nShe's a brave hero and is welcome everywhere in France.\n\nThe last creature I say good-bye to is Bijou.\n\nMama says she's a hunter.\n\nShe can take care of herself in the country better than in Paris.\n\nEven so, I give Bijou's bowl\n\nand the dangly string she likes to play with\n\nto Simone.\n\nI ask her to make sure my cat has water,\n\nand to pet her until she purrs sometimes.\n\nSimone says she will.\n\nThe morning Mama and I leave,\n\nI give Charlotte to Simone,\n\nto make sure she'll look after Bijou.\n\nI don't trust Simone, not really.\n\nI have never told her that I'm a Jew.\n\nMama and I agree about this.\n\nWe still keep it a secret here that we are Jewish...\n\na secret from everyone.\n\nI scratch Bijou behind her ears, just the way she likes.\n\nI stroke her one last time,\n\nfrom her nose to the tip of her plumed tail.\n\nThen I kiss her, right between her ears.\n\n\" _Adieu_ ,\" I whisper to her.\n\nThat's the French way to say,\n\n\"See you in heaven.\"\n\n_Monsieur Henri_\n\n##   Home Again\n\nParis is still a hungry place, Mama says.\n\nSo we fill suitcases and bags\n\nwith as much food as we can carry.\n\nWe board a train that chugs slowly over shaky bridges\n\nbuilt on top of others that have been destroyed.\n\nWe rumble along through bombed-out villages.\n\nI've heard the sound of bombs for years,\n\nbut now I see what they can do.\n\nHouses hanging open.\n\nShops shattered.\n\nCrumbled walls and toppled steeples.\n\nWe stop in a station to buy drinks.\n\nI put my fingers into a hole blasted out of a stone archway.\n\nIf bombs can do this to stone,\n\nwhat can they do to people?\n\nI shudder.\n\nI pull my hand away.\n\nA journey that should take three hours now lasts three days.\n\nBy the time we reach Paris,\n\neven Mama's not excited anymore.\n\nWe're both exhausted.\n\nI trudge up the concrete steps of our _M\u00e9tro_ station.\n\nI'm carrying almost as much weight as my mother is.\n\nI don't want to climb up to the asphalt sidewalk.\n\nIf I could, tired as I am,\n\nI'd travel backward all the way to my village right this minute.\n\nBut I do my best to lug the heavy bags on my back.\n\nMama calls out, \"Odette, Odette! Look who's here!\"\n\nCan I be seeing things?\n\nA large, rugged face appears before me... Monsieur Henri.\n\nEverything else blurs, making way for his rough features.\n\nHow could he have known that Mama and I would be here,\n\njust at this moment?\n\nI can't believe our good luck.\n\nBut here he is, our own dear Monsieur Henri,\n\nstanding tall at the _M\u00e9tro_ exit.\n\nAt my mother's cry, he lumbers down to meet us.\n\n\"You've grown so big!\" he says,\n\nhis huge hands on the tops of my shoulders.\n\nHe stands back for a moment and looks at me,\n\nhis kind, droopy eyes taking everything in.\n\nThen Mama and I hand over all our bundles and bags.\n\nHe balances them on his strong back.\n\nLight on my feet again,\n\nI skip along the rue d'Angoul\u00eame behind him.\n\nOnce, when I was little,\n\nI burned myself with boiling water.\n\nMonsieur Henri carried me in his strong arms\n\nto the pharmacist down the street.\n\nNow he carries my village on his back.\n\nTwo and a half years ago\u2014\n\nwhat seems like a lifetime\u2014\n\nhe walked me to the _M\u00e9tro_.\n\nHe took me to the train station\n\nto meet C\u00e9cile, Paulette, and Suzanne.\n\nNow, looking like the Father Christmas of food,\n\nhe leads me back.\n\nAll the way down our street we go.\n\nWe pass the hardware store,\n\nits bright pots and pans still shining in the sun.\n\nWe pass the caf\u00e9,\n\nwith people still reading their newspapers.\n\nThe convent appears, then the bakery, the factory.\n\nAt last, the little square with its benches, trees, and fountain.\n\nEverything looks much the same,\n\nbut something is missing.\n\nI'm not sure yet what that is.\n\nMonsieur Henri heaves open the wooden door of our building.\n\nI am almost afraid to look, but I do.\n\nYes, she's there!\n\nIn her tiny apartment at the end of the shiny tiled hallway,\n\nthe real Madame Marie looks up from her sewing machine.\n\nShe smiles her moon smile.\n\nShe rises from her work and holds out her arms to me.\n\nI'm home and safe again in my godmother's arms.\n\nThat night, Mama and I move back into our apartment.\n\nMadame Marie has saved it for us.\n\nWhile we were gone, she used it as a hiding place for others.\n\nBut who would guess?\n\nOur polished oak table, our beat-up pots and pans...\n\neverything seems to smile at us.\n\nMama is full of joy seeing all her worn-out treasures.\n\nBut I look at my toys with new eyes.\n\nMy rubber ball looks babyish to me now.\n\nSo do my books, puzzles, and wind-up toys.\n\nAll I will keep\n\nis my flowered parasol.\n\nOur next-door apartment is silent.\n\nWhat happened to the pretty young girl who lived there?\n\nShe was the girlfriend of one of the enemy soldiers.\n\nDid the French arrest her? Mama wonders.\n\nDid they shave her head,\n\nforce her to march in shame through the streets?\n\n\"Don't worry,\" says Madame Marie.\n\n\"I found a safe place for her out in the country.\n\nYvette wasn't a bad girl, just young and poor.\n\nShe liked going to the opera\n\non the arm of a young man in uniform.\n\nNot many young Frenchmen were around during those days.\"\n\nOn my bed that night,\n\nI find the blanket made by Madame Marie.\n\nIt feels like an old friend.\n\nBut wait... something's wrong!\n\nThe holy medals are all gone.\n\nSomeone has cut them off.\n\nMy childhood protectors, St. Christopher and St. Michael,\n\nwhat happened to them?\n\nBut I am too tired to think about this for long.\n\nInstead, I wrap my old friend around me\n\nand drift into deep, delicious dreams.\n\nIn the morning, I push open the shutters once again.\n\nI lean out and look at the square.\n\nThe nuns in white-winged bonnets still sail across it.\n\n_The Thinker_ sits in his same place too.\n\nDoes he ever wonder about Papa, like I do?\n\nI see that stores once having Jewish names\n\nnow have French ones.\n\nOnly a few gypsies are left.\n\nThe dark-eyed children peek out\n\nfrom behind their mothers' long skirts.\n\nI know what's missing!\n\nOur neighborhood looks like a black-and-white photograph.\n\nColor hasn't come back yet to Paris.\n\n##   Growing Up\n\nOf the two rooms that make up our apartment,\n\nmy favorite was once the living room.\n\nBefore we went away,\n\nI sat under the round table there and played with my toys.\n\nBut now I spend almost all my time in the bedroom.\n\nThe tall bookcase there goes from the floor up to the ceiling.\n\nMy favorite books are four fat ones,\n\n_The Encyclopedia of Learning._\n\nLong ago, my father read to me\n\nand showed me the pictures in these books.\n\nNow I read them myself.\n\nThe _Encyclopedia_ is different\n\nfrom the books I read in the Vend\u00e9e.\n\nNo poetry or fiction is found in an encyclopedia.\n\nIt's all about facts\u2014\n\nscience, history, and geography.\n\nI study the photographs, the maps, and the charts.\n\nI can see why my father loved his _Encyclopedia_ so much!\n\nNow that I'm older,\n\nI'm going to read as much of it as I can.\n\nI'm hungry to learn everything,\n\njust like my father did.\n\nWe keep our clothes in the curvy old armoire.\n\nInside is a silvery mirror.\n\nI spend hours looking at myself in that mirror.\n\nI try out my mother's scarves,\n\nand if she isn't home,\n\nI put on her face powder and lipstick.\n\nI experiment with glamorous hairstyles too.\n\nI study my face from different angles.\n\nEveryone says I'm growing up,\n\nbecoming a woman.\n\nWhat kind of woman will I be?\n\nWill I be beautiful, like Bluma?\n\nWill I be brave, like Mama?\n\nWill I be strong, like Madame Marie?\n\nWill I be kind, like Madame Raffin?\n\nI want to be _all_ these things.\n\n##   New Friends\n\nSchool in Paris smells the same...\n\nwaxed floors, glue, new books.\n\nSome of the same children are there too.\n\nOthers have disappeared.\n\nNo one calls me names anymore, though,\n\nand no one dares to beat me up.\n\nComing home one day,\n\nI open the door and turn on the light.\n\nSomething leaps under the table... a yellow kitten!\n\nNo one knows where he came from.\n\nMama and I both miss Bijou,\n\nso we fuss over the yellow kitten.\n\nWe offer him fresh milk,\n\nbits of buttered bread,\n\na piece of ham.\n\nThe kitten purrs and falls asleep in my arms.\n\nWhat shall we name him?\n\nMama likes Zola, after a famous French writer.\n\nI like Minou, slang for \"pussycat.\"\n\nBut one day when I get home from school,\n\nbefore we have a chance to decide,\n\nhe's gone.\n\nI run down and ask Madame Marie if she's seen my kitten.\n\nShe asks if our window is open... uh-oh.\n\nIt is.\n\n\"Go look in the square,\" she says.\n\n\"Maybe he climbed a tree and can't get down.\"\n\nShe's right, my yellow kitten's in the square.\n\nHe's climbing the statue of _The Thinker._\n\nI lift him down gently and take him home.\n\nWe decide to name him Tarzan, after the movie hero.\n\nI adore him, but he's a troublemaker.\n\nFirst of all, he's always disappearing.\n\nHe finds his way back home,\n\nbut then Mama complains that he's a fussy eater.\n\nHe only likes bread with butter or p\u00e2t\u00e9.\n\nMama says we can barely feed ourselves.\n\nTarzan has to change his ways\n\nor find another place to live.\n\nPretty soon, he does.\n\nI comb the neighborhood but can't find him.\n\nMy heart is broken.\n\nMama says Tarzan's probably exploring a park\n\nor playing games with other cats.\n\nBut what if he's lying hurt in the street somewhere?\n\nAll I want to do is hold and pet him again.\n\n\"Having Tarzan was fun for a while,\" Mama says,\n\n\"but he's gone now, Odette.\n\nYou have to forget about him.\"\n\nI try.\n\nI keep going to school,\n\nand before long, I make a new friend.\n\nEsther's been hiding in the country, just like I was.\n\nWe both love to window shop,\n\neat ice cream cones,\n\nand explore the streets in our neighborhood.\n\nI never knew there were so many things to see...\n\nstreet entertainers, chalk artists, and pushcart vendors.\n\nIt's like a circus!\n\nI've almost forgotten about Tarzan when,\n\nmonths later,\n\nI pass an elegant apartment building.\n\nThe street door is open for movers.\n\nCurious, I walk in to see what it looks like.\n\nVoil\u00e0 Tarzan,\n\nstrutting across the courtyard.\n\nHe's bigger, fatter, furrier, but I know it's him.\n\nMy first thought is to kidnap him and take him home,\n\nbut if I did I know he'd run away again.\n\nThen I wouldn't even know where he was.\n\nNo, I know he's better off here,\n\nspoiled by some rich family.\n\nI lean over and rub my fingers through Tarzan's thick fur.\n\nHe licks my knuckles.\n\nDoes he remember me?\n\nHis amber eyes don't say.\n\nOne last scratch behind the ears,\n\nand I stand and walk out of the courtyard.\n\nI can't stay home after school with a cat anymore.\n\nEsther's waiting for me.\n\n##   Au Revoir, Madame Marie\n\n\"Did you hear, Odette?\n\nMadame Marie and Monsieur Henri are moving.\"\n\nI drop my book.\n\n\"Moving away?\" I ask.\n\nMama nods and goes on chatting.\n\nHer eyes are on her knitting,\n\nso she doesn't see the shock in mine.\n\nHow can this be?\n\nSo many people in my life have come and gone...\n\nmy father, my aunts and uncles, my cousins.\n\nBut Madame Marie has always been there.\n\nI've counted on her,\n\neven when I was far away,\n\nto take care of me.\n\nHow could my godmother leave my mother and me?\n\nI run downstairs to see her.\n\n\"Is it true?\" I ask.\n\nMy godmother beams at me.\n\nYes, she and Henri have found a larger apartment.\n\nIt comes with an easier job too, looking after a small factory.\n\n\"We're getting older now, Odette.\n\nIt's a good place for Henri and me.\n\nIt's not too far away,\n\nand you will always be welcome with us.\"\n\nMy godmother is so happy,\n\nshe makes me want to feel happy too.\n\nBut I can't, not quite.\n\nI will miss her so much,\n\neven though I know things have changed between us.\n\n\"You're such a big girl now,\" she always says,\n\nas if I grew up on purpose during my time away.\n\nWe never talk in the same way, either.\n\nShe always listens,\n\nand I can tell she's impressed\n\nwhen I tell her about all I've learned.\n\nDid she know, I ask her one day,\n\nthat humans are related to chimpanzees?\n\nBut when I try to tell her other things,\n\nI'm a little shy.\n\nI don't know what to say,\n\nhow to begin to tell my godmother about my feelings now.\n\nI'd like her to know that I'm not so sure I like getting bigger,\n\nthat I don't feel ready for it.\n\nPeople are always talking about the Resistance.\n\nMany people gave their lives for France during the war.\n\nSome of them were only teenagers,\n\na few years older than I am now.\n\nWould I have the courage to do that when I'm a teenager?\n\nI'd like to ask my godmother,\n\nbut I can't find the words.\n\nIf only she would ask me what the heart is like again,\n\nso I can show her I remember.\n\nBut she never asks.\n\nI give Madame Marie a hug,\n\nto show her I'm happy for her.\n\nI don't trust my voice\n\nto tell her how much I'll miss her.\n\nSo I simply close the door on her little apartment,\n\nthe place where I have always been so safe and so happy,\n\nthe place where she saved my life.\n\nI look back through the sheer-curtained window.\n\nMy godmother sews as always,\n\nand the clock ticks behind her.\n\nI peer back at her, take in every detail...\n\nher long gray hair coiled in a bun,\n\nthe concentration on her face,\n\nher careful fingers poised at the machine.\n\nEven though she's going away\n\nI'll carry this image of her always.\n\n##   Lost and Found\n\nFor Jews, all of France has become a gigantic Lost and Found.\n\nThey look for their children in orphanages, and convents.\n\nThey try to get their jobs, apartments, and businesses back.\n\nDecent people return everything.\n\nThe greedy fight over what they want to keep.\n\nLives come together slowly,\n\nlike the pieces of a giant puzzle.\n\nThree pieces of that puzzle\n\nare Aunt Georgette, Uncle Hirsch, and my cousin Sophie.\n\nWhen all of them come back\u2014\n\nAunt Georgette and Sophie from their cousin's farm,\n\nand Uncle Hirsch from the army\u2014\n\nthey find their apartment stripped bare.\n\nStill, they say they're happy to be alive.\n\nMy uncle sings as he makes suits at his sewing machine,\n\nand my aunt sings along with him.\n\nSteam from her ironing or from a stew she's stirring\n\nclouds around her.\n\nShe listens to the news my uncle brings home...\n\na neighbor has found a good job,\n\nthe butcher shop has fresh meat again,\n\na friend's daughter will marry the local shoemaker.\n\nWonderful! Aunt Georgette says.\n\nMy uncle whistles happily,\n\nas if he made these things happen all by himself.\n\nSophie and I drink tea and nibble on paper-thin matzoh bread.\n\nMatzoh's not allowed in my home.\n\nIt's connected somehow to religion...\n\nI have no idea how.\n\nI envy my cousin.\n\nWhatever she does seems to make her parents happy.\n\nThey love to see her in the beautiful dresses\n\nthey make for her.\n\nShe can listen to Edith Piaf on the radio all day long\n\nif she wants to.\n\nNot me... I have to study.\n\nSophie sleeps in the dining room alone at night too.\n\nI still sleep in the bedroom with my mother.\n\nI think about my other cousins\u2014\n\nSarah, Serge, Charles, Henriette, and Maurice\u2014\n\nall the time.\n\nAt last I ask Mama what happened to them,\n\nand to Aunt Miriam and Uncle Motl.\n\nMama says she ran to their apartment on Black Thursday,\n\nthe day that the police came to arrest us.\n\nThe door was open.\n\nMama froze in that spot, unable to move.\n\nOn the table, a knife in the bread,\n\nhalfway through the loaf.\n\nAn untouched glass of milk.\n\nOn one chair, Sarah's wrinkled dress,\n\nwaiting to be ironed.\n\nIn a corner, Henriette's shoes.\n\nDid Henriette leave barefoot?\n\nWe'll never know.\n\nShe and everyone else are gone.\n\nMama talked to the neighbors.\n\nUncle Motl hid in a tool shed, they said.\n\nThat's what the Jewish leaders told men to do.\n\nThey thought only men would be arrested.\n\nBut when my uncle heard his wife scream and his children cry,\n\nhe came out.\n\nThe police took them all away.\n\nMama takes a folded scrap of paper from the drawer.\n\nIt is a letter from eleven-year-old Serge.\n\n_Dear Auntie,_\n\n_Henriette and I are alone. Our parents are gone. Sarah went away to one camp with my mother, and Charles to another with my father. You are the only one who can help us. I don't know what to do now for my little sister Henriette. She cries for Mama all the time, and doesn't want to eat. The food is terrible, rotten cabbage soup. Please send us something to eat. Also, please send me a beret. They have shaved our heads because of the lice, and it makes me feel so strange, like a criminal. I would feel so much better with a beret._\n\n_Your nephew,_\n\n_Serge_\n\nMama says she tried to send Serge and Henriette some food.\n\nBut she never heard from anyone in the family again.\n\n\"Your aunt and uncle and all your cousins are gone,\" she says.\n\n\"Gone?\" I say.\n\n\"But maybe they'll come back.\"\n\nMama shakes her head.\n\n\"They're not coming back, Odette,\" she says.\n\n\"They're gone forever.\"\n\nLike my father? I wonder.\n\nBut I don't dare ask that question out loud.\n\nI see how eagerly Mama still checks the mail,\n\nhow her shoulders slump sometimes,\n\nafterward.\n\nShe's still waiting.\n\nWaiting for a letter from Papa.\n\nWe haven't had one since we came back to Paris.\n\nI decide I must look for my cousins myself.\n\nI don't tell Mama.\n\nI cross the big boulevard.\n\nI pass the bakery.\n\nI walk down their alley.\n\nThe smell is the same: urine and cabbage.\n\nAll the windows in the dreary courtyard stare at my back.\n\nThe caretaker peers out at me from behind her lace curtains.\n\nA big man comes out of my aunt's apartment.\n\nHe knows nothing about my cousins, he says.\n\nHe has lived in the apartment for two years.\n\nDid anyone come back, anyone at all? I ask.\n\n\"Never!\" he replies.\n\nHe goes back into the apartment and slams the door.\n\nI stare at the door, hoping to hear Serge's violin,\n\nHenriette's giggle,\n\nUncle Motl's knitting machine.\n\nSilence.\n\nThe caretaker opens her door.\n\n\"What do you want?\" she asks.\n\n\"My cousin's violin,\" I say.\n\nShe shuts the door.\n\nBut I come back, again and again.\n\nEach time I ask her the same thing,\n\n\"Where is Serge's violin?\"\n\n\"How should I know?\" she says.\n\n\"That family's long gone.\n\nGo away.\n\nYou're a pest.\"\n\nMaybe I can find Serge's violin in a pawnshop, I decide.\n\nI window-shop at all the pawnshops in the neighborhood.\n\nI never saw so many violins!\n\nI was sure I would know my cousin's violin anywhere,\n\nbut I was wrong.\n\nCan I ask my mother to describe it?\n\nNo.\n\nTalk of my cousins brings her too much grief.\n\nAnyway, what would I do if I found Serge's violin?\n\nI don't have any money to buy it.\n\nStill, I choose three or four violins.\n\nI go back and visit them often,\n\nto make sure no one else has bought them.\n\nI'm not sure which is the magical one,\n\nthe one that leaned on Serge's shoulder.\n\nBut at least I have some idea where it is.\n\nIf Serge comes back, he won't be disappointed.\n\nWhen he knocks on our door, I'll take him to see the violins.\n\nI'm sure he'll remember which one is his.\n\n##   Survivors\n\nEverywhere in Paris, I see people wearing black\u2014\n\nwomen in black dresses, men with black armbands.\n\nMama says they're mourning people they loved,\n\npeople who died in the war.\n\n\"They survived, but they're still suffering.\n\nIf you speak to them, speak gently.\"\n\nMama has a surprise for me... our friend Bluma is back.\n\nThe train taking her to a camp in Poland\n\nwas bombed by the Resistance...\n\nshe escaped.\n\nNow she's home in Domont,\n\nher sleepy small town outside Paris.\n\nMama and I go to visit her.\n\nBluma's home is like her, elegant, serene.\n\nHer husband, Edmond, asks us not to stay too long.\n\nBluma's still frail, he says.\n\nShe had to stay in a camp near Paris, a place called Drancy.\n\n\"It was a terrible camp,\" Bluma tells us.\n\n\"Dirty, overcrowded, nothing to eat.\"\n\nShe shakes her head.\n\n\"I was so foolish.\n\nI should have stayed with you in the country.\"\n\nMama puts her arm around Bluma's thin shoulders.\n\nI stroke her pale hand.\n\nNo one says,\n\nIt's true, you should have stayed.\n\nBut the words seem to be there,\n\nhanging in the air.\n\nOn the train on the way home,\n\nMama tells me that my cousins\u2014\n\nSerge, Charles, Henriette, and Sarah\u2014\n\nstayed in the camp at Drancy too.\n\n\"That was before they were sent to Poland,\"\n\nMama says.\n\nShe shakes her head.\n\n\"For all we suffered, Odette,\" she says,\n\n\"you and I were lucky to be in the Vend\u00e9e.\"\n\nShe's right, I know.\n\nBut I couldn't be more surprised to hear Mama say it.\n\nSummer comes,\n\nand Mama signs me up for a Jewish youth group.\n\nOne awful day, our leaders take us to see Drancy.\n\nWe wander around the empty camp.\n\nOur footsteps echo off the concrete walls and floors.\n\nThe guide tells us people had to sleep on those floors.\n\nHow could they? I wonder.\n\nIt must have been so cold, so hard.\n\nOn an outside wall, I see letters scrawled by a child's hand.\n\nOne word: \"Mama.\"\n\nIn the dirt, I spy a child's toothbrush.\n\nI want to pick it up,\n\nbut I don't dare.\n\nLike Mama said,\n\nI'm one of the lucky ones,\n\none of the survivors.\n\nI never had to suffer like the owner of that toothbrush did.\n\nSomehow I don't have the right\n\neven to touch it.\n\nMy friend Leon comes back to our neighborhood.\n\nHe was the tall, strong boy\n\nwho lifted me onto his shoulders to see the gypsy's goat\n\nthe day I got my orange from Marshal P\u00e9tain.\n\nHe's eighteen now but so weak he can't even stand up.\n\nMama says he was in a camp where people were starved.\n\nLeon, who always had a smile\n\nand friendly words to say to me,\n\nbarely has the strength to speak.\n\nI visit Leon every day after school.\n\nOur visits are always the same.\n\nHe lifts the corner of his pillow\n\nand offers me a piece of the American gum he keeps there.\n\nThen he asks me a question, the same one every day:\n\n\"What did you learn in school today?\"\n\nI always save up something special to tell him.\n\nHe's so interested in my answers.\n\nI can tell by the way his large, dark eyes follow mine.\n\nI collect information for him\n\nthe way I once\n\ncollected mushrooms and berries in the Vend\u00e9e.\n\nLeon likes poetry, especially.\n\nI memorize poems for him.\n\nThough nobody says it,\n\nI know he'll die soon.\n\nI want to bring him as much beauty as I can.\n\nOn my way to see Leon, I walk past Saint Joseph's Church.\n\nI want to go in, but I can't.\n\nNow that I am back in Paris, I must be a Jew again.\n\nBeing a Christian would make me a bad Jew.\n\nI want to talk to God about this problem.\n\nI want to ask him what I should do.\n\nBut even though God lives with many Jews,\n\nhe doesn't live in my home.\n\nI can't talk to my mother about God or prayer.\n\nNow that we don't pretend to be Christians anymore,\n\nshe doesn't want to hear anything about it.\n\nWhen I arrive in Leon's room one day,\n\nit's even quieter than usual.\n\nMy heart beats quicker\n\nas I walk toward his bed.\n\nHas death already come to take my friend?\n\nNo, Leon is still with me.\n\nHe doesn't speak, but he looks at me.\n\nHis eyes are larger than ever, a deeper and more urgent brown.\n\nThey seem to want to say something terribly important.\n\nI want to ask them questions too,\n\nquestions I never dared ask Leon out loud.\n\n_How terrible was it in the camp?_\n\n_What's it like to die?_\n\n_What does it mean to be a Jew?_\n\n_Should I be one?_\n\nLeon's eyes read mine and answer me.\n\n_The camp was a nightmare._\n\n_Dying here, at home, is a gift._\n\n_To be a Jew is to know death and to love life._\n\n_Be a Jew like me._\n\nWhat else can my eyes answer?\n\n_Yes, I will._\n\n_Of course I will._\n\n_I promise._\n\nBefore long, Leon's stare softens and his eyelids slip shut.\n\nI close the door softly behind me.\n\n_Shwush._\n\n_Click_.\n\n##   My People\n\nOne spring day, Europe's Lost and Found\n\nfinds something to return to French Jews...\n\na small box.\n\nThe box contains the ashes of Jews who died in terrible places,\n\nplaces called concentration camps.\n\nNo one really knows for sure,\n\nbut they might be the ashes of our friends and relatives.\n\nWe will bury the box at P\u00e8re Lachaise Cemetery.\n\nP\u00e8re Lachaise is near where my cousins used to live.\n\nBut when I go there, I always think of Madame Marie.\n\nShe spent her Sundays at the cemetery.\n\nShe liked the tall trees, the fine statues,\n\nthe prowling cats.\n\nShe paid her respects to the famous at P\u00e8re Lachaise,\n\nlike the writers Balzac and Moli\u00e8re.\n\nHer favorites were the actress Sarah Bernhardt\n\nand the medieval lovers Abelard and Heloise.\n\nBut she never limited herself to them... oh, no!\n\nShe liked to see that all the tombs were in order.\n\nIf she found one that wasn't, she tidied it.\n\nStraightened an old photograph, lined it up on an altar,\n\ndusted cobwebs away with Monsieur Henri's handkerchief.\n\nCemeteries were my godmother's hobby.\n\nBut there are huge crowds of people at P\u00e8re Lachaise today...\n\nMadame Marie will not be here.\n\nShe stays away from crowds.\n\nI miss her so much I ache inside.\n\nSometimes, in the middle of my days in Paris, I feel confused.\n\nI still wonder who I _really_ am\n\nand where I _really_ belong!\n\nIn the city?\n\nIn the country?\n\nAt church?\n\nOr at my Jewish youth group?\n\nIf only I could talk to my godmother about this.\n\nBut since she moved away,\n\nI don't see her as often as I would like.\n\nIf I did see her and could tell her I'm not sure who I really am,\n\nI think I know what she would say.\n\n\"The war is over now.\n\nYou are the Jewish child of Jewish parents.\n\nYou don't have to be Christian anymore.\n\nIn the eyes of God,\n\nit doesn't matter where you live.\n\nIt's _how_ you live that is important.\n\nBe a decent person who lives by her heart.\"\n\nBut how do I do this?\n\nHow do I live by my heart?\n\nMama and I come to P\u00e8re Lachaise early.\n\nWe're there when the leaders of the march arrive,\n\nthe skinniest men and women I've ever seen.\n\nThese silent survivors gather in the thin rain.\n\nThey are Jews who returned from the concentration camps.\n\nTheir worn striped uniforms\n\nlook like pajamas that are too big for them.\n\nTheir eyes are much too large.\n\nThey walk as if they only half remember how to do it, or why.\n\nThey seem sacred... set apart from ordinary people.\n\nOnly one outsider, God Himself,\n\ncould ever understand their thoughts and feelings.\n\nFinally the leaders disappear into the cemetery,\n\ncarrying the small wooden box.\n\nIt's the size of a baby's coffin.\n\nMama and I, with groups of people our own ages, follow them.\n\nWe walk in silence under the weeping sky,\n\npast sorrowful stone angels.\n\nSome of us weep too.\n\nAround us are grand tombs\n\ncarved with the last names of single families.\n\nFirst names, dates, and places have been carefully recorded.\n\nBut all we have left of our loved ones is this small box of ashes.\n\nIt may be these ashes are not even theirs.\n\nSuddenly, out of the crowd, a woman rushes up.\n\nShe reaches for me,\n\ndraws me to her, and hugs me until it hurts.\n\nI don't know her.\n\nI've never even seen her before.\n\nI'm sure she doesn't know me.\n\nBut here she is, holding me as if she'd lost me,\n\nmissed me terribly,\n\nand then found me again.\n\nShould I push her away?\n\nShould I call Mama?\n\nIn pain and joy the woman cries, \"I had a daughter like you!\"\n\nWas her daughter my age?\n\nDid she look like me?\n\nThe mother repeats again and again,\n\n\"I had a daughter like you!\"\n\nShe strokes my hair, presses my face into her chest.\n\nMy heart tells me what to do...\n\nit's so simple.\n\nLet this woman be your mother.\n\nBe her daughter.\n\nSo I hug her.\n\nI stroke her back as a lost-and-found daughter would.\n\nI am every Jewish daughter who has died.\n\nShe is every Jewish mother who has lost a child.\n\nSlowly, she begins to run out of tears.\n\nHer friend takes her by one hand.\n\nCovering her eyes with the other,\n\nthe woman staggers away.\n\nI lie awake that night in my bed,\n\nthe bed that's grown too small for me.\n\nI finger my yellow blanket, thinking.\n\nI belong to my family.\n\nTo Mama, of course.\n\nTo Papa too, if he ever returns.\n\nTo my godmother, Madame Marie, and to Monsieur Henri.\n\nBut the tears of the woman I met today\n\nhave washed away every speck of dust in my heart,\n\nevery trace of fear.\n\nI'm a child of my family,\n\na child of France.\n\nBut, more than these,\n\nmy heart tells me now\n\nI'm a child of my people.\n\nThe dead we buried today in the small wooden box,\n\nthe living brothers and sisters who have survived.\n\nI don't need to hide anymore,\n\nand I don't want to keep any more secrets.\n\nSecrets stand in my way.\n\nThey stop me from knowing who I am.\n\nI am a Jew.\n\nI'm sure of it.\n\nAnd I will always be one.\n\n##   The Present\n\nIt's a hot, dull day in July,\n\njust before school lets out for the summer.\n\nOur class is copying a map\n\nwhen a knock sounds at the schoolroom door.\n\nIt's the skinny new caretaker,\n\nthe one who's taken Madame Marie's place.\n\nShe speaks to my teacher.\n\nMy teacher smiles\n\nand calls me forward.\n\n\"Your father has returned,\" she tells me.\n\n\"You may go home to see him.\"\n\nI take my time walking there.\n\nI should feel happy, I know.\n\nThe trouble is,\n\nI don't really know who my father is anymore.\n\nI was only a little girl\n\nwhen he went away.\n\nExcept for that one visit in the hotel room,\n\nI haven't seen him in five years.\n\nWe haven't had a letter from him\n\nin more than a year.\n\nWhat will we have to say to each other?\n\nHe doesn't know me and I don't know him.\n\nWhat if he doesn't like me?\n\nWhat if I don't like him?\n\nWill we have to live together anyway?\n\nMany of my friends,\n\nincluding Esther,\n\nhave lost mothers or fathers,\n\nbrothers or sisters.\n\nNow our family will be whole again.\n\nI'll be different from my friends.\n\nSlowly, I open the door to our apartment.\n\nThe electricity is turned off in the daytime.\n\nA man sits in the shadows at our table,\n\nwearing a soldier's uniform and cap.\n\nI stand near the table with my back to the wall.\n\nThe man tries to talk to me.\n\nI try to answer.\n\nOut of the man's pocket comes a chocolate bar.\n\nBut even the enemy soldiers\n\ntried to make friends with children, didn't they?\n\nThey offered us candy too.\n\nThe man acts just like every other soldier.\n\nHow can I be sure he's my father?\n\nThe man begins to tell me stories.\n\nHe tells me the Red Army liberated his prison camp.\n\nWhat is the Red Army?\n\nDid the soldiers wear red uniforms?\n\nThe man ran away through vast forests\n\nwith other Jewish prisoners.\n\nThe war was over, but they were far from France.\n\nThey had to walk most of the way back,\n\nthrough empty bombed-out villages and farms.\n\nAll along the way,\n\nthey heard gunshots\n\nand the sound of unmilked cows, mooing in pain.\n\nHis journey home took eight months.\n\nAs the man speaks,\n\nI begin to remember my father,\n\nthe man who read stories to me so long ago.\n\nI'm hungry for more details,\n\nfor richer stories.\n\n\"How did you survive?\" I ask.\n\n\"We'd find food,\" he said,\n\n\"chickens and vegetables on abandoned farms.\n\nWe'd make ourselves a feast and rest...\n\nthen move on.\"\n\nI nod, asking for more.\n\n\"And I had poetry,\"\n\nhe says,\n\n\"reading poems helped me survive.\"\n\nPoetry?\n\nSo the beauty of words kept him alive,\n\njust as it comforted Leon,\n\nand just as it gave me my voice back!\n\n\"I have a present for you,\" the man says,\n\nopening his knapsack.\n\n\"In one empty house,\n\nI found a jewelry box.\n\nIn it was a necklace,\n\na single strand of small pearls,\n\njust right for a young girl.\n\nI hadn't seen anything so beautiful for so long\n\nthat I decided to put it in my knapsack for you.\"\n\nFor me?\n\nSo this man brought home\n\na pearl necklace for me?\n\nHe must be my real father\n\nor why would he do that?\n\nNo one else I know has a real pearl necklace.\n\nHow will I feel when I wear it?\n\nProud?\n\nEmbarrassed?\n\n\"But the next morning I changed my mind,\"\n\nthe man says.\n\n\"I thought about the girl who owned it.\n\nWhat if she came back?\"\n\nMy heart sinks.\n\nMy fingers have already touched the smooth pearls.\n\nI've already seen them shining around my neck.\n\nAnd now they're gone.\n\nThe man reads my face.\n\n\"Never mind,\" he says.\n\n\"Later on, I found something even better.\"\n\nEven better?\n\nWhat could that be? I wonder.\n\nMy eyes travel to the man's brown knapsack.\n\nIs it the one Madame Marie made for my papa?\n\nI just can't remember.\n\nThe man begins to take things out.\n\nClothing, food... a worn-out dictionary!\n\nThe dictionary has lost its cover,\n\nso I can't tell if it's the blue one.\n\nBut maybe this really is my papa after all!\n\nWho else would carry a dictionary for five long years?\n\nAt last the man finds the package he's looking for.\n\nHe hands it to me.\n\nThe package is small,\n\nbut too big for jewelry, I think.\n\nI can barely breathe.\n\nSlowly, I unwrap it.\n\nInside is a fine leather notebook.\n\nIt looks like a diary\n\nbut with no lock or key,\n\nso it's not a place for keeping secrets.\n\nI run my fingers across the paper,\n\nsmooth as the skin of a newborn baby.\n\nI smell the leather,\n\nrich and spicy.\n\n\"What's this for?\" I ask.\n\n\"For you to write in,\"\n\nthe man replies.\n\nFor me to write in?\n\nI lean over and kiss him on the cheek.\n\n\"Thank you, Papa,\" I say.\n\nYes, telling my story is what I must do.\n\nI'll write it down here\n\nin the most beautiful words I can find.\n\nThe story of bombs and broom closets,\n\nof stars and soldiers,\n\nof cats and cousins,\n\nof family and friends,\n\nof heaven and hell.\n\nThe story of all the secrets I kept...\n\nand the story of my lost-and-found heart.\n\n##   Timeline\n\n**January 1933**\n\nAdolf Hitler and his Nazi Party come to power in Germany. Jews in that country begin to be excluded from public life.\n\n**November 1934**\n\nOdette Melspajz (later, Meyers) is born in Paris to Jewish parents of Polish origin, Berthe and George Melspajz.\n\n**September 1939**\n\nHitler invades Poland as a first step toward conquering all of Europe. France and England declare war on Germany.\n\n**November 1939**\n\nGeorge Melspajz joins the French army.\n\n**June\/July 1940**\n\nFrance is defeated, and the German occupation begins. Marshal Phillippe P\u00e9tain is named head of the Vichy government in France, which collaborates with the Nazis.\n\n**May, August, December 1941**\n\nThe first large-scale roundups of Jews take place. Only men are arrested. They are kept in camps in France.\n\n**March 1942**\n\nThe first foreign-born Jews in France are deported to death camps in Poland.\n\n**May\/June 1942**\n\nFrench Jews over the age of six are required to wear yellow stars on their clothing. They are forbidden to go to parks, restaurants, libraries, and other public places.\n\n**July 1942**\n\nNearly thirteen thousand foreign-born Jews are arrested in Paris and deported to death camps. Odette escapes to the Vend\u00e9e.\n\n**January 1943**\n\nThe first roundups of French-born Jews begin.\n\n**March 1943**\n\nBerthe Melspajz joins Odette in hiding in the Vend\u00e9e.\n\n**June 1944**\n\nAfter many sea and air battles, Allied forces invade France in a final, successful effort to defeat the Nazis.\n\n**August 1944**\n\nParis is liberated.\n\n**October 1944**\n\nBerthe Melspajz and Odette return to Paris.\n\n**April 1945**\n\nHitler commits suicide.\n\n**May 1945**\n\nGermany surrenders. The war in Europe is over. The death camps in Poland are liberated, and surviving Jews begin to try to return to their homes.\n\n**July 1945**\n\nGeorge Melspajz returns home.\n\n##   Author's Note\n\n_Odette's Secrets_ is classed as a work of fiction, but it is based very closely on a true story. Here is how it came to be. One late August afternoon a few years ago, I was walking through the Marais, an old Jewish neighborhood in Paris, with my husband. We passed an elementary school with a bronze plaque. The plaque honored the memory of the Jewish children, students at the school, who had been deported from France during World War II. I put my hand on the warm stone of the school, thinking of those children. Who were they? What were their lives like in France during the war?\n\nI began to read about life in Paris during World War II, especially about the life of French Jews. I learned that 11,400 children were deported. Most died in concentration camps in Eastern Europe. But more children survived in France than in any other European country, 84 percent. How did this happen?\n\nMost were hidden in homes, convents, monasteries, farms, and schools all over the country. To stay successfully hidden, children had to reinvent themselves, to deny their families and their identity and \"become\" French Christian children. How in the world were children able to do this? I wondered. And what was it like for them to readjust to reality after the war?\n\nIn October I was still thinking over these questions when I was invited to the American Library in Paris to read my book _The Costume Copycat_ at the library's annual Halloween party. After all the pirates and princesses went home, I went upstairs to browse in the stacks. And there, by chance, I found _Doors to Madame Marie_ , the autobiography of Odette Meyers, a woman who had been one of those hidden French children during the war.\n\nI became fascinated by Odette's story. I pored over the photographs of her and her family and friends, read and reread her adventures, especially the passages where she described what it was like to switch selves, not once but twice, both in the remote countryside of the Vend\u00e9e where she hid and then back in Paris again after the war. I visited the street where Odette's family lived, and sat in the square opposite their building, studying the door and the window of their apartment above. I walked up the street, as Odette did, imagining her holding the hand of her beloved Monsieur Henri as he led her past the French policemen sent to arrest her and her mother on Black Thursday, July 16, 1942. Did the caf\u00e9 and the convent she mentioned in her book look the same then? Where was her school? I explored the alleyway where her dear cousins lived, the cousins who were deported from France weeks after their arrest and never returned. I strolled in the park where Odette played, and in the cemetery where she came face-to-face with who she was after the war.\n\nOne night, I told my husband Odette's story. Together, we took the _M\u00e9tro_ to the 11th _arrondissement_ and stood outside Odette's apartment building. \"I _so_ wish I could go inside!\" I said, looking at the heavy oak door at the front of the building, a solid street door of the type that is always locked.\n\n\"Let's see if we can,\" my husband said, and pressed his fingertips against the door. It swung open! In moments we were standing in the tiled hallway where Odette played with her red rubber ball. At the end was the tiny apartment of her godmother, Madame Marie, the place where Odette and her mother hid in her broom closet when the police came at dawn to arrest them. I couldn't believe my luck... the opening of that door seemed like a sign. I just _had_ to write for children the story of Odette's remarkable life.\n\nI had grown up in a neighborhood with many immigrants near Detroit just after World War II. War stories, including some involving the Holocaust, were part of the fabric of our lives. But I had never before heard the story of how children saved themselves from death through their own courage and ingenuity. This was the story I wanted to tell.\n\nBut how? Odette had lived and prospered as a mother, a teacher, and a writer, but she had died in 2002. Still, I knew she had a son, Daniel, and he lived in Paris.\n\nI found her son's number in the Paris telephone directory. With my heart in my mouth, I dialed the number. I left a message, explaining who I was and what I hoped to do. Then I waited. A few days later, Daniel called me back and invited me to lunch in his sunny apartment on the rue Rambuteau. He listened to my request and made his decision almost immediately. His mother, he said, had often talked in schools and libraries to children about her wartime experience. He was sure she would want her story to live on. As her literary executor, he gave me permission to use the facts of her life as the basis of a book for children.\n\nI was thrilled but wanted to learn as much as I could about Odette and her family and experiences first. Daniel gave me his grandmother's autobiography and some of his mother's poems. He showed me film clips and more family photographs. He also told me that although Odette and her three friends thought they were the only Jewish children in the small village where they lived in the remote country area of the Vend\u00e9e, in fact, more than forty children were hidden there by local families.\n\nI decided I needed to visit the Vend\u00e9e. I took the train to Nantes, as Odette did at the time of her escape from Paris. All the way I studied the farmhouses, the villages, and the train stations passing by. What was there in 1942? Did Odette see it as I did? Then I drove to Chavagnesen-Paillers, the first village where Odette was hidden in plain sight during the war. My husband and I were standing outside the house where she lived when a kindly old man appeared at the upstairs window and invited us in. He was Jacques Raffin, who had been one of the children of the family that had sheltered Odette. He showed me the garden where they had played together on the swing and fed the pigeons. Afterward, we visited the school Odette attended with her friends C\u00e9cile and Paulette, and the church where she went to Mass every Sunday. Finally, we went to the hamlet where Odette and her mother lived together under assumed names. We saw the forest and the square where she played hide-and-seek and hopscotch, the pathway she took walking to school in the town of Saint-Fulgent. The fields, the cows, and the cottages were all still there. Now that I had seen as much of Odette's wartime world as I could, I was ready to write.\n\nI wrote and rewrote Odette's story many times before I was satisfied with it. At first I attempted to write it as a straight biography. This version seemed too dry. Then, with Daniel's permission, I tried writing it in first person, in free verse, imagining insofar as I was able the childhood voice of Odette, the poet-to-be. I imagined details such as the name Odette's beloved doll might have had, and the actual words that might have made up conversations to which Odette and her mother had alluded in their writings. Now the book became a work of fiction rather than nonfiction, but I hoped this might make it more accessible to today's children. When I was finally satisfied with my manuscript, I gave it to my agent, Steven Chudney, whose own father had been hidden on a Christian farm in Poland during World War II. He found just the right editor for _Odette's Secrets_ \u2014Melanie Cecka, whose sensitive suggestions helped shape the book still further.\n\nOdette Meyers's life, like that of her fellow writer Anne Frank, was threatened with extinction. But unlike Anne, she went on to live and thrive. She moved with her parents to California after the war, graduated from college, married the poet Bert Meyers, and raised two children, Daniel and Anat. She taught French literature and made many devoted friends. And she always made it a point to share the story of her childhood in schools, churches, and temples; in her autobiography; and in her contribution to the award-winning 1984 film _The Courage to Care_. My hope is that today's children, including her grandson Sacha, will come to know her life and times, her spirit and determination to survive, through this book.\n\n##   Acknowledgments\n\nMy greatest debt of gratitude in writing this book is to Daniel Meyers, Odette's son. From the start, he welcomed me into his home and was always generous with his time and help. Without his cooperation and assistance, I would have been unable to write _Odette's Secrets_.\n\nI am also especially grateful to my husband, George Macdonald. His support and enthusiasm for my work is unfailing.\n\nSteven Chudney, my agent, has been my steadfast ally in seeing _Odette's Secrets_ on its road to publication. Melanie Cecka gave the manuscript the benefit of her thoughtful, sensitive, and intelligent editing. Brett Wright's courtesy and diplomacy made it easy to accept his astute suggestions. These two editors made me happy my book had found a home at Bloomsbury. Last but not least, my friends and fellow writers, including Louise Borden, Trish Marx, Paula Panich, and Richard Peck, read the manuscript at different stages along the way and offered much encouragement.\n\nThank you all from the bottom of my heart.\nCopyright \u00a9 2013 by Maryann Macdonald\n\nAll rights reserved. You may not copy, distribute, transmit, reproduce, or otherwise make available this publication (or any part of it) in any form, or by any means (including without limitation electronic, digital, optical, mechanical, photocopying, printing, recording, or otherwise), without the prior written permission of the publisher. Any person who does any unauthorized act in relation to this publication may be liable to criminal prosecution and civil claims for damages.\n\nFirst published in the United States of America in February 2013  \nby Bloomsbury Children's books  \nwww.bloomsbury.com\n\nFor information about permission to reproduce selections from this book, write to  \nPermissions, Bloomsbury Children's Books, 175 Fifth Avenue, New York, New York 10010\n\nLibrary of Congress Cataloging-in-Publication Data  \nMacdonald, Maryann.  \nOdette's secrets \/ by Maryann Macdonald. \u2014 1st U.S. ed.  \np. cm.  \nSummary: When Odette's father becomes a Nazi prisoner of war and the Paris police  \nbegin arresting Jews, her mother sends Odette to hide in the Catholic French countryside  \nwhere she must keep many secrets to survive.  \nISBN 978-1-59990-750-5 (hardcover)  \n1. Meyers, Odette\u2014Childhood and youth\u2014Juvenile fiction. [1. Meyers, Odette\u2014Childhood and  \nyouth\u2014Fiction. 2. Jews\u2014France\u2014Fiction. 3. Holocaust, Jewish (1939\u20131945)\u2014Fiction.  \n4. World War, 1939\u20131945\u2014France\u2014Fiction. 5. Identity\u2014Fiction.  \n6. France\u2014History\u2014German occupation, 1940\u20131945\u2014Fiction.] I. Title.  \nPZ7.M1486Ode 2013 [Fic]\u2014dc23 2012015549\n\neISBN 978-1-59990-925-7\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nMASKS AND MASKING IN MEDIEVAL AND EARLY TUDOR ENGLAND\n\nDrawing on broad research, this study explores the different social and theatrical masking activities in England during the Middle Ages and the early 16th century. The authors present a coherent explanation of the many functions of masking, emphasizing the important links among festive practice, specialized ceremonial, and drama. They elucidate the intellectual, moral and social contexts for masking, and they examine the purposes and rewards for participants in the activity. The authors' insight into the masking games and performances of England's medieval and early Tudor periods illuminates many aspects of the thinking and culture of the times: issues of identity and community; performance and role-play; conceptions of the psyche and of the individual's position in social and spiritual structures.\n\n_Masks and Masking in Medieval and Early Tudor England_ presents a broad overview of masking practices, demonstrating how active and prominent an element of medieval and pre-modern culture masking was. It has obvious interest for drama and literature critics of the medieval and early modern periods; but is also useful for historians of culture, theatre and anthropology. Through its analysis of masked play this study engages both with the history of theatre and performance, and with broader cultural and historical questions of social organization, identity and the self, the performance of power, and shifting spiritual understanding.\nSTUDIES IN PERFORMANCE AND EARLY MODERN DRAMA\n\n_Studies in Performance and Early Modern Drama_ presents original research on theatre histories and performance histories; the time period covered is from about 1500 to the early 18th century. Studies in which women's activities are a central feature of discussion are especially of interest; this may include women as financial or technical support (patrons, musicians, dancers, seamstresses, wig-makers) or house support staff (e.g., gatherers), rather than performance per se. We also welcome critiques of early modern drama that take into account the production values of the plays and rely on period records of performance.\nMasks and Masking in Medieval and Early Tudor England\n\nMEG TWYCROSS and SARAH CARPENTER\n\nFirst published 2002 by Ashgate Publishing\n\nPublished 2016 by Routledge\n\n2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN\n\n711 Third Avenue, New York, NY 10017, USA\n\n_Routledge is an imprint of the Taylor & Francis Group, an informa business_\n\nCopyright \u00a9 Meg Twycross and Sarah Carpenter 2002\n\nThe authors have asserted their moral right under the Copyright, Designs and Patents Act, 1988, to be identified as the authors of this work.\n\nAll rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers.\n\nNotice:\n\nProduct or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe.\n\n**British Library Cataloguing in Publication Data**\n\nTwycross, Meg\n\nMasks and masking in medieval and early Tudor England. - (Studies in performance and early modern drama)\n\n1. Masks - England - History 2. Great Britain - Social life and customs - 1066-1485 3. Great Britain - Social life and customs - 16th century\n\nI. Title II. Carpenter, Sarah\n\n391.4'34'0942'0902\n\n**Library of Congress Cataloging-in-Publication Data**\n\nTwycross, Meg.\n\nMasks and masking in medieval and early Tudor England \/ Meg Twycross & Sarah Carpenter.\n\np. cm. -- (Studies in performance and early modern drama)\n\nIncludes bibliographical references and index.\n\nISBN 0-7546-0230-3 (alk. paper)\n\n1. Masks--England--History. 2. Great Britain--History--Tudors, 1485-1603. 3. Great Britain--Social life and customs. I. Carpenter, Sarah. II. Title. III. Series.\n\nGT1748.G7 T94 2001  \n391.4'34'0942--dc21\n\n2001046421\n\nISBN 13 : 978-0-7546-0230-9 (hbk)\n\nISBN 13 : 978-1-138-25785-6 (pbk)\n**Contents**\n\nPreface\n\n1. Introduction\n\n**Part 1: Popular Masking**\n\n2. Early Masking\n\n3. Carnival\n\n4. Mumming\n\n**Part 2: Courtly Masking**\n\n5. Tournaments\n\n6. Disguisings\n\n7. Courtly Mumming\n\n8. Amorous Masking\n\n**Part 3: Theatrical Masking**\n\n9. Mystery Plays\n\n10. Morality Plays\n\n**Part 4: Theory and Practice**\n\n11. Ideas and Theories of Masking\n\n12. Materials and Methods of Mask-making\n\n13. Terminology\n\nIllustrations\n\nBibliography\n\nIndex\nGeneral Editor's Preface\n\nPerformance assumes a string of creative, analytical, and collaborative acts that, in defiance of theatrical ephemerality, live on through records, manuscripts, and printed books. The monographs and essay collections in this series offer original research which addresses theatre histories and performance histories in the context of the sixteenth and seventeenth century life. Of especial interest are studies in which women's activities are a central feature of discussion as financial or technical supporters (patrons, musicians, dancers, seamstresses, wig-makers, or 'gatherers'), if not authors or performers _per se_. Welcome too are critiques of early modern drama that not only take into account the production values of the plays, but also speculate on how intellectual advances or popular culture affect the theatre.\n\nThe series logo, selected by my colleague Mary V. Silcox, derives from Thomas Combe's duodecimo volume, _The Theater of Fine Devices_ (London, 1592), Emblem VI, sig. B. The emblem of four masks has a verse which makes claims for the increasing complexity of early modern experience, a complexity that makes interpretation difficult. Hence the corresponding perhaps uneasy rise in sophistication:\n\nMasks will be more hereafter in request,  \nAnd grow more deare than they did heretofore.\n\nNo longer simply signs of performance 'in play and iest', the mask has become the 'double face' worn 'in earnest' even by 'the best' of people, in order to manipulate or profit from the world around them. The books stamped with this design attempt to understand the complications of performance produced on stage and interpreted by the audience, whose experiences outside the theatre may reflect the emblem's argument:\n\n_Most men do vse some colour'd shift  \nFor to conceal their craftie drift_.\n\nCenturies after their first presentations, the possible performance choices and meanings they engender still stir the imaginations of actors, audiences, and readers of early plays. The products of scholarly creativity in this series, I hope, will also stir imaginations to new ways of thinking about performance.\n\nHelen Ostovich  \n _McMaster University_\nDedicated to the memories of Richard Gibson, John Ogle, and John Carowe, who knew what it was really like; and Sir Edmund Kerchever Chambers, who did a lot of the spadework.\nPreface\n\nThe seed of this work was first sown in 1980 when we gave a joint paper on 'Masks' to the second annual Medieval English Theatre meeting, which was discussing 'Props and Costumes'. This was published in _Medieval English Theatre 3_ and _4_ , and we then started expanding it into a book. Some time later we realised that we were researching the entire history of medieval theatre, festivity, pageantry, and folk custom. We paused to re-form. Other projects intervened, but the thinking continued and the material kept accumulating. The present book is not complete, but we offer it because we had to stop somewhere.\n\nIf we were to thank everyone who has contributed to the project over the last twenty years, the list would comprise the entire community of medieval theatre specialists and a substantial phalanx of other medievalists and early modernists. Here we confine ourselves to those who have helped us over the last push by answering queries, remembering references, helping with translations, checking details in remote libraries, giving access to databases: Richard Beadle, Olga Horner, Malcolm Jones, Gordon Kipling, Tom Pettitt, Andrew Prescott, Bart Ramakers, Graham Runnalls, Susan Rosser, Alison Samuels, Bob Samuels, Roger Savage, Maurice Slawinski, and Zara Zaddy. Others are acknowledged in the footnotes. Besides this, we owe a particular debt of enlightenment to Carl Heap and Dick McCaw of the Medieval Players, to Donato Sartori, mask-maker extraordinary, and to the Joculatores Lancastrienses past and present, the research team who tried out our theories in performance. Our editor, Erika Gaffney, brought things to fruition with a commendable blend of patience and firmness.\n\nAll authors owe thanks to their families and friends for putting up with their neglect and preoccupation while the book was being written. The debt we owe ours is far too great and too prolonged to be acknowledged here. Only they \u2013 and we \u2013 know how much they have given us.\n\nSMC MAT\n\nIt has been my wish and intention to draw as sharply as possible the line of demarcation between my facts and the hypotheses by which I have attempted to colligate them. Hypotheses are necessary but often temporary bridges built to connect isolated facts. If my light bridges should sooner or later break down or be superseded by more solid structures, I hope that my book may still have its utility and its interest as a repertory of facts.\n\nSir James George Frazer _The Magic Art and the Evolution of Kings_ (Part One of _The Golden Bough_ ) 2 vols (London: Macmillan, 1911, 3rd edition) 1: xix\u2013xx.\nChapter 1\n\nIntroduction\n\nThis book began from an apparently simple observation: some characters in some medieval English mystery plays wore masks. Why should this have been, and what did it contribute to the plays and their performance? As we explored this question it became clear that it vibrated across a vast web of masking activities stretching across time and space. Huge numbers of people from the fifth to the fifteenth centuries, in countries from Sweden to Sicily, were involved in masking: in Provence in the early sixth century, New-Year revellers 'put on the heads of wild animals, celebrating and leaping about'; in thirteenth-century Paris the clergy wore monstrous masks to parody the Mass in the church itself; fourteenth-century London sees groups of men in false faces going around at night to challenge householders to games of dice, while the court was entertained with sophisticated shows of dancers wearing faces of women, silver masks of angels, or 'heads of men with elephants'; in Rome in 1502 the Pope watched a parade of maskers 'with great long noses like penises', while fifty years later in Venice the 'lustie yong Duke of Ferrandin' was killed in a private argument as he and another masker both attempted to flirt, in their visors, with the same gentlewoman; the devils in the 1536 mystery play at Bourges wore masks spouting fire from the ears and nostrils, while God in the fifteenth-century English morality _Wisdom_ put on a wig and half-mask with 'a bearde of golde of sypres curlyed', and the corrupted king of the 1570s morality play _The Cradle of Security_ was tricked into the mask of a pig.1\n\nThe variety seems bewildering: these masks are worn, or watched, by people from very different areas of society, in very different kinds of public and private encounter. Should these activities be seen as part of a single masking phenomenon, or as the parallel development of many quite separate traditions? It quickly became clear that the masked characters of the English mystery cycles could not be considered in isolation. They are only one aspect of a multi-faceted cultural phenomenon in which masks and masking contribute to play of all kinds \u2013 popular and courtly, spiritual and worldly, sporting and theatrical.\n\nGiven this variety it is important to define, if also to question, some boundaries for this study. We are looking primarily at masking in England, through the Middle Ages and into the sixteenth century. This necessitates an awareness both of temporal change and of geographical and national difference. Although masking traditions appear remarkably durable and widespread, they and their functions will change with changing societies. While it is significant and revealing that European customs involving masks are associated with the New Year for at least a thousand years, that does not mean that a fifth-century Spanish Kalends masker and a fifteenth-century English mummer both visiting households with covered faces at the beginning of January were necessarily doing and meaning the same thing. On the other hand cultural traditions of this period were not strictly respectful of national boundaries, and England shared many masking practices with the Continent. Certainly, by the early sixteenth century, trade, travel, and the marriages that linked the royal courts of Europe meant that countries knew of and sometimes imitated each other's fashions in festivity and drama. English masking needs both to be seen within, and to be distinguished from, the wider European tradition.\n\nIf the diversity of masking activities is dazzling, modern perceptions are also diffracted by the slippery and shifting terms used to refer to them. Like the activities themselves, the vocabulary of medieval masking is both elusive and elastic. The multitude of words for face-covering objects frequently blurs together variously related senses. _Visor_ shifts between a particular term for a helmet-piece and a general word for any face-cover; _head_ and _face_ are used interchangeably for real and artificial forms. Latin words cover even wider semantic fields: _persona_ , the term for a theatre mask inherited from the classical period, also signified 'individual' or 'personality'; _larva_ , the common late-medieval term for a mask, also meant 'malignant ghost'. References need to be unpicked with care in such a fluid semantic field. Equally, although words for masking activities are spread widely across Europe, the same word dos not always refer to the same practice. A _mumming_ did not mean the same to a fifteenth-century English tradesman as a _mommerij_ did to his courtly German contemporary. This consonance of terms sometimes suggests a seductive homogeneity to medieval masking which turns out to be at least partly illusory. Readers with an interest in these issues might well wish to read the chapter on 'Terminology' before rather than after the rest of the book.\n\nThis book consciously perpetuates one such ambiguity. The term _mask_ did not acquire our primary sense of 'an object used to cover the face' until the later sixteenth century. Earlier in the century _mask_ much more commonly designated a particular kind of court entertainment, the forerunner of what later became known as the Stuart _masque_. This later spelling variation usefully separates the object from the performance; but we have resisted using _masque_ for the earlier disguisings, since its current association with a very specific Stuart genre imports misleading assumptions into the discussion of earlier masked performances. Yet throughout this study we also use _mask_ a-historically for the object. Our choice mirrors the rich but confusing overlap in the vocabulary associated with masking throughout the medieval and Tudor periods.\n\nMasks have fascinated virtually all human societies, including our own, and activities which involve the deliberate covering of the face remain compelling and paradoxically revealing of the cultures of their participants.2 Our aim is not, however, to address directly any one of the cultural, psychological, philosophical, and anthropological questions raised by the various forms of medieval masking. Instead this study seeks to historicise and contextualise the moments and patterns of mask-wearing in the Middle Ages. By unravelling more fully the contexts of particular activities we are better placed to draw out the meanings, both traditional and topical, they appeared to carry within their own communities.\n\nAn activity as suggestive, as openly symbolic, and indeed as unsettling as masking inevitably demands theoretical interpretation. Yet for masking behaviour as multifarious and complex as we find in medieval and Tudor England, to adopt any single theoretical approach is to run the risk of imposing rather than elucidating meaning. Its very diversity warns us that no one explanation or theory can account for all its different manifestations. This is not to say that both recent and earlier theoretical models for medieval customs are not enlightening: but often their value is primarily in alerting us to possibility rather than in defining purpose or effect. So E.K. Chambers' inclusive study of folk custom, closely related to J.G. Frazer's early-twentieth-century anthropological theories of ritual, influentially encouraged recognition of the undoubted cultural significance and the enduring structures of apparently trivial popular games. But his tendency to draw scattered fragments of evidence into a single, a-historic, overarching pattern of residual pre-Christian worship can seriously distort the local and immediate meanings and functions of particular masking customs. More recently, Bakhtin's influential notion of medieval carnival as a conflict between 'official' and 'unofficial' cultural expression prompts us to recognise the profound importance of the social relationships between those involved in any medieval masking practice. Yet the very complexity of those social relations at different moments and places quickly undermines any simple model of social repression or of a straightforward opposition between popular and \u00e9lite. Recent trends in medieval studies are recognising the need for flexibility, variety, and difference in understanding the complexity especially of popular cultural forms.3 With masking, all theoretical models need to be tested against the complex particularity of the evidence.\n\nOf course neither evidence nor contexts are transparent. Records of medieval masking are partial and often uncertain, distorted not only by chance and time but by the biases and preconceptions of the recorders as well as by our own assumptions and cultural attitudes. All interpretations of these records need to be questioned and tested in the light of whatever can be recovered of their linguistic, cultural, religious, and political contexts. Our interrogation of both evidence and context begins from the question of what those involved at the time appear to have thought they were doing. Although the participants' beliefs will never provide a complete explanation, they are one crucial root of the meaning of any cultural activity.4\n\nThis approach involves questioning the sometimes conflicting views of mask-wearers, of those who watched or interacted with maskers, and of those who discussed them, both at the time and later. Of these it is most difficult to rebuild the views of the maskers, whose personal responses are rarely recorded. We are almost always reliant on indirect evidence for any access to the opinions of those who went mumming, played the devil on stage, or courted young women in masks. The occasional glimpses of apparently personal experience themselves suggest differences, between both individual maskers and activities. Podalirius, an eighteen-year-old German carnival masker of the end of the fifteenth century, argues that masking is a valuable outlet for the playful and fiery energies of his age group, asserting his own delight in change and transformation; the young men in Shakespeare's _Romeo and Juliet_ , more pragmatically, see masking as a socially accepted opportunity to survey the looks and enjoy the company of young women. Similar differences of emphasis or opinion are apparent among those who observe masking activities. Podalirius' friend Cato sees in the maskers' riotous release of energy only 'dizzy madness' and lasciviousness; but more sympathetic observers of masking practices can offer us keys to unlock contemporary meanings that may be invisible to us. Edward Hall's lovingly detailed accounts of the lavish spectacle of the Tudor court's masked disguisings reveal not just naive propaganda or impressionability, but a recognition of the subtle operations of power through courtly display and through Henry VIII's play with royal identity in his masking games. Theoretical commentators on masking activities may have different views again: critics of popular masking games might perceive a spiritually dangerous submission to irresponsibility, or rejection of the image of God in oneself, views that were presumably not shared by the maskers themselves.\n\nUnderstanding of a masking event was therefore unlikely to be simple or consensual even in its own time: contemporary meaning must be seen as the sum and interaction of many, often conflicting, interpretations. The famous episode of the _Bal des Ardents_ in 1392, in which four members of a masking team led by King Charles VI of France were horribly burned to death, demonstrates the variety of interpretations which might, even at the time, feed into a single event.5 This disguising was initially understood as devised to give pleasure \u2013 to the King as performer, to the ladies as spectators, and to the court celebrating a wedding \u2013 a pleasure especially ascribed to youth. When tragedy fell, it was first blamed on culpable carelessness, and then interpreted more generally as a warning from God, though this itself affirmed the first interpretation since the warning was seen as directed at 'yonge ydell wantonnesse', improper for a king. Yet very quickly other observers were reading different meanings: the Roman Pope understood the disaster as divine dissuasion from the King's support for the Pope of Avignon, the English as an assassination attempt by the King's brother. Although this last seems literally unlikely, it drew on an apparently common recognition of masked disguising as a moment partly out of normal control which might offer an opportunity for confusion and violence.6 As the vivid anecdote was passed down, sixteenth-century analysts came to record it more broadly as an example of God's implacable hostility to masking itself.7 The tragedy became a locus for conflicting contemporary understandings of masking, all of which must contribute to our understanding of the event in its own context.\n\nWhile our study begins from the attempt to recover contemporary meanings, the aim is also to try to recreate for readers today some degree of imaginative understanding of these events. Apart from the intrinsic fascination, such engagement helps to give an insight into the experience of medieval maskers, and enhances our awareness of cultural and historical difference. Such heightened imaginative awareness may rest in simple and practical recognitions. The fact, for example, that courtly disguisings all took place by torchlight throws a particular kind of emphasis on the extensive use of cloth of gold, reflective materials, and spangling. Shadows, inevitable in pre-modern indoor performance, may not be simply inhibiting but can modify and enhance the expressiveness of masks. Readers today with no direct experience of masking may fail to realise how completely mask-plus-costume can conceal identity, and consequently fail to understand the impact of many popular and courtly disguising games. Such physical observations affect our interpretations; but imaginative reconstruction may also involve recognition of more complex cultural beliefs. We need, for example, to consider what ordinary people were likely to have thought and believed about devils and their operation in the human world, if we are to realise properly the effect of the hideously masked devil of a mystery or morality play. Hidden social assumptions may need to be made explicit. The community relationships between maskers, or between those who masked and those they encountered, may powerfully affect the experience of a masking event. A mumming encounter between friends may be very different from one between strangers, or the relative social positions of householder and mummer may modify the meaning of the custom. An imaginative recreation of the physical, temporal, and social context in which masking took place is needed to help us realise the possibilities and purposes of the experiences of masking.\n\nEvidence and its interpretation are central to this study. Yet the sources of evidence on which we depend, though rich, are partial, ambivalent, and sometimes contradictory, each presenting its own issues of interpretation. Accounts and inventories of stage property may appear relatively factual and objective but they are in fact highly self-selecting depending upon the needs of the account-keepers. Such accounts are inevitably biased toward institutional masking activities, but spontaneous popular games have left traces of a different kind in regulations, laws, and resulting court records which can record vivid instances of informal masking. Yet since regulations are only drawn up, court cases only brought, if a problem has been perceived, the focus is inevitably on restraint or repression, distorting our impression of contemporary attitudes. The fact that a masking activity was forbidden does not necessarily mean it ceased; indeed, a ban or prosecution is more likely to reveal the continuance than the death of a custom, testifying to popular support as well as official disapproval. Frequently, moralising objection is our prime source of evidence about masking practices. Although revealing, such comment is almost always by non-participants and by its nature unlikely to empathise with the intentions and experiences of the maskers, to describe their actions clearly, or even to understand what is going on. Encyclopaedists traditionally rely on repeating earlier writers rather than first-hand observation; travel-writers tend to focus on customs they consider exotic and unfamiliar which they may well therefore misinterpret; diarists are influenced by their personal preoccupations; historians, then as now, have their own principles of historiography, which will shape their selection and presentation of material. Visual images, which provide one of the most vivid and informative sources of evidence for medieval masking, often capturing the flavour and mood of masking activities more sharply and fully than any written account, are unfortunately very rarely from England: the standard picture-researchers' illustrations tend to come from the Low Countries or Italy. With all these materials, we are left having to balance the revelations and limitations of different kinds of evidence against each other in our attempt to recreate as fully and sensitively as possible the experience and the context of the masking activities they record.\n\nPutting on a mask can mean many different things. This study focuses on performance masking, whether in drama or in other kinds of game. But in pre-modern times, as now, there could be many other reasons for publicly covering the face. Masks might be worn by thieves, velvet masks were used to protect women's complexions, the closed visor of a battle helmet effectively masked the armoured knight. We are today equally used to a range of non-performance masking. Surgeons, motorcyclists, polar explorers, and even cricketers all cover or paint their faces for what are initially protective reasons. We have learned to read this diversity of face-coverings through context. The motorcyclist, required by both law and safety to cover his face, is asked to remove his masking helmet when entering a bank, where the same face-cover may be read as threatening. The same contextual sensitivity applies to early masking. The 'paynted faces visours and other disgisynges' outlawed by a 1485 decree against rabbit poachers8 are apparently the same as the 'peyntid visers, disfourmyd or colourid visages' sported by Christmas mummers, while the protective helmet on the battlefield turns into the self-advertising heraldic helm in a courtly joust. The same mask can mean different things in different contexts.\n\nThis also holds true within performance traditions. A horrifying devil's mask worn in a domestic carnival game may provoke different reactions from the same mask in a spectacularly serious Doomsday play; a serene mask may signify universal beauty in a danced disguising, but the sinister hypocrisy of the temptations of vice in a moral interlude or emblem. While remaining alert to the overlap and seepage between traditions we must be careful how we transfer attitudes between contexts. Societies quickly become sophisticated at reading the subtle signals given by mask-and-context: television audiences today readily distinguish the heavy shades that signify the _mafioso_ from those that indicate 'a celebrity keeping the press at bay', or simply a sun-bather. There is no reason to assume that medieval communities were not equally adept at understanding masking signals.\n\nHowever, almost all public covering of the face involves some push towards performance. This relates to the crucial role of the face in the public presentation of identity. In social interaction it is primarily by the face that individuals are recognised, and the face that is held as the centre of communication of the self. It seems unsurprising that it was the classical Latin term for a character's face as embodied in the actor's mask, _persona_ , that gradually came to signify not only the role but the very identity of the character represented. Assuming a mask, for whatever reason, consequently involves the wearer in a public statement about identity which is hard to separate from performance. The different traditions of medieval masking all seem to share this common central core. The gold-faced God on a pageant waggon, the soot-faced mummer on the street, the fashionably pale velvet-masked woman, and the rabbit-stealer with painted visor are all to varying degrees involved in the relation of performance to public identity. In the performance traditions we explore, questions of identity are almost always active.\n\nAlthough this study focuses primarily on the particularity and difference of medieval masking traditions, some common issues of this kind seem to be raised by the activity of masking itself. Equally, some physical effects tend to hold good for most masks, and clearly influence the way they are used. In a mask the face, the central focus of human expression, cannot change. This becomes a key feature of several different medieval masking activities: in the mystery cycles the mutability of the human face is replaced by the homoeostasis of God; in a tournament helm the vulnerable opponent becomes the impervious fighting machine. Both exploit the impassivity of the mask to inspire awe.\n\nWith changing facial expression unavailable as a source of communication, masking activities often prioritise other sources of bodily expression. Courtly masking almost always centres on dance; dicing, the central game of English popular mumming, offers a focused physical activity concentrating on the hands. As gesture carries a greater weight of communication, simple acts almost inevitably carry symbolic weight when performed by a masked actor. Many morality plays exploit the resonances of the masked performer looking in a mirror, lying on a bed, even simply walking onto the stage.\n\nMask-wearing often affects the voice: it may be muffled or amplified, its source may be uncannily diffused. In dramatic speech this can be exploited to contribute to the otherness of non-human beings: divine, diabolic, or even allegorical figures are lent an extra dimension by the altered voice. Masking games, on the other hand, often make a feature of silence, or of caricatured or nonsense languages like the 'mom, mom' of the mummer.\n\nNecessarily larger than the head beneath, masks may alter the balance between head and body. To recover the proportion, they are often given enlarging costumes: tournament armour, extravagantly cut disguising clothes, the stilts and lifts sometimes worn by stage giants and death figures. The mismatch may be used creatively, as with the Spanish fiesta 'dwarf', an ordinary dancer in fancy dress until he puts on his papier-mach\u00e9 'big head', and the instant change of proportion also gives the illusion of a change of scale.9\n\nEye contact, both with other performers and the spectators is modified by the mask.10 Sometimes the role of the eyes can be enhanced: glinting behind the metallic immobility of the helmet visor, the bestiality of the devil's face, or the fantasy of a young man's flirting visor, the masker's eyes may be exploited as the one source of energy that turns the mask to a living thing. On stage however a mask tends to slow the actor down by restricting his sight-lines,11 so that movement becomes more deliberate, the face needing to turn more emphatically. Where the masked actor performs with unmasked colleagues, the consequent contrasts in movement allow for striking effects, both serious and comic. A gold-masked God is easily lent a degree of dignity or ritual. Conversely several later morality plays feature scenes in which a slow-witted Devil is tormented by witty, fast-moving Vices. The devil's enveloping costume and full-head mask inevitably hampers the actor's speed and responsiveness among the apparently unmasked Vices: the pointed comparison with the lumbering dancing bear is not confined to the hairy costume.12\n\nConcealing the face reduces an actor's sense of personal exposure. Along with the mask's physical effects this tends to encourage an acting style in which the performer consciously 'represents' rather than 'becomes' a character. Although masked performance can be highly emotionally charged for both actor and spectator, the mask discourages a focus on the person and personality of the performer, foregrounding instead the role he presents. This aspect of masked performance confirms what we can conjecture more generally about medieval acting styles.13 We find a less direct relationship between performer and role: in processional mystery cycles a number of different actors would share a single role as it continued through a series of separate pageants; in moralities, conversely, a single actor often took several roles within the same play. This did not apparently inhibit the intensity of the emotional response often provoked by the plays.14 But it does suggest that acting was not primarily understood as an identification between performer and role, which accounts for the twentieth-century recognition that Brecht may offer more useful tools than Stanislavsky for modern understanding of medieval performance techniques.15 Masks are by nature well adapted to such demonstrative notions of dramatic performance.\n\nBoth mystery and morality texts also suggest some measure of stylisation of action and of rhetoric. Such stylisation is, however, deliberately heterogeneous, ranging tonally without awkwardness between high formality and colloquial intimacy. Dramatic masking traditions are adapted to this mode. Medieval theatrical performances are rarely fully masked, but allow masked and unmasked characters to share the same stage. The nature of medieval performance suggests that this caused no unease. Masking was simply one extension of the mixed economy of medieval acting.\n\nThe practical effects of mask-wearing contribute rather differently to masking games. Unlike the drama, medieval masking play is rarely concerned with sustained impersonation of characters. Although spectacle is usually important, anonymity is very often the key feature of games involving masks, whether popular or courtly, domestic or public. Many games centre on the fact that the masker is not known as himself. Sometimes this turns masking play into a guessing game for the spectators: there is delight both in concealment and in discovery, in the moment that the king unmasks at the end of a disguising or that the mummer successfully hoodwinks a family. Play like this focuses on the identity of the masker as a prize to be won, withheld, or given to the spectators.\n\nEqually, if not more important are the effects for the masker of concealing his, or less often her, face. In renouncing his own identity he also appears to renounce the expectations and responsibilities that normally attach to him. This is probably what connects so many pre-modern masking games to the notion of licence, of the freedom to act in ways that are usually forbidden. Wearing a mask a tradesman may throw eggs or oranges at passers by, a cardinal may ride with a courtesan, a young man may have unimpeded flirtatious private conversation with a young woman; without the mask these things are forbidden. Assuming a mask therefore operates as a public signal: first that the masker is entering a play world in which normal expectations are suspended; then that the masker cannot be held to account for what he does since, at least in pretence, he is not himself. Even though the implicit laws and customs of many masking games, from carnival street celebrations to domestic mummings and amorous courtly masking, are highly structured and even rule-bound, the implication is that wearing a mask releases the masker from personal responsibility.\n\nIt is tempting to see this as a key to the extraordinary popularity and persistence of masking games at all levels of society throughout the Middle Ages and, like Bakhtin and others, to link it with a more hierarchical society in which social role was more fixed, release more crucial. But it is clear that no easy political interpretation will hold: people throughout society seemed to enjoy masking, sometimes across and sometimes within class communities. Their activities sometimes challenge and sometimes support social norms, are sometimes highly structured and sometimes very free. The relative demise of popular masking games in England after the Reformation seems more connected to Protestant suspicion of anything associated with Roman Catholic festive practice than to any obvious loosening of social structures.16\n\nThe meaning of masking activities can be significantly affected by the particular mask-form adopted. An enormous range of possibility is exploited in different medieval and Tudor traditions. The very simplest is that exemplified in the modern drama-workshop exercise of a paper-bag over the head: the face is covered with an easily available, featureless, and non-representational material. Various popular masking practices, both medieval and modern, rely on cloth, straw, paper, or similar substances to obliterate the face without replacing it by any obvious alternative. The blank moon-faces among Breughel's carnival guisers and the soot and flour make-up or sheets favoured by English mummers survive in folk customs still active or revived today: the Marshfield Paper Boys shrouded in torn newsprint or the Queensferry Burry Man totally enveloped in burrs.17 Such masks offer not alternative faces but non-faces, seeming to signify absence rather than presence of identity. The masker apparently aims not to assume a new persona, but simply to be 'not myself'.\n\nThis persistent desire to escape identity is counterbalanced by an apparently equally persistent instinct, among onlookers if not maskers, to impose it. A need to classify or interpret such featureless face-coverings has clearly always been powerful. Yet the fact that these interpretations are so varied and changeable suggests that the impulse to conceal outweighs any genuine representational intent. The blackened face, which seems in the earliest times to have been read as 'a ghost', by the sixteenth century was understood as a devil, or even as a character in its own right, like the _Zwart Piet_ who accompanies St Nicholas in the Low Countries.18 The modern racial sensitivity which now militates against 'blacking-up' also reads the blackened face as representational: but there is no evidence that the soot-faced maskers of the Middle Ages were intending to impersonate any of these conflicting figures. Similarly, Hallowe'en guisers draped in sheets today are assumed by themselves and others to be representing ghosts; yet guisers dressed in the same sheets in the sixteenth century were simply taken as 'going a-mumming'.19 In popular anthropology, the widespread 'folk' disguises made of scraps of rag, paper, or skins have come to be read, under the influence of E.K. Chambers, as relics of the pelts of sacrificial animals, while those using plant materials \u2013 leaves, burrs, or straw \u2013 are seen as fertility personifications.20 But we should remain alert both to the easy accessibility of such natural materials and to the apparent primacy of the desire to obliterate personal identity rather than to impersonate. Masking of this kind seems to represent a meeting ground on which the impulse to renounce identity meets the impulse to impose it: but the primary intention seems to have been to draw attention to absence and inscrutability.\n\nOne step up from the blank face-covering is the modern 'neutral' mask: a human face, but not characterised by any obvious expression or individuality.21 These were sometimes used in disguisings, and also appear in emblems which focus on the adoption of a false face, or on the 'fair face' which conceals evil. The avoidance of such identifying features as sexual characteristics or mood leads these masks toward an epicene serenity of expression that is associated with beauty. Like the more radically blank face-cover, the neutral mask signifies the absence of the person beneath: but what it obliterates is individuality rather than humanity. The particular identity the neutral mask may convey is determined solely by the context of its appearance, its accompanying costume and actions. The masker remains a human being but without, in theory, a history or personality, one who exists solely in the moment of appearance.\n\nMost medieval masking traditions, however, move away from the simplest human features. Probably most common are non-human, grotesque or fantastic masks, which present fewer problems of accuracy or construction and mark more overtly the otherness of the assumed face. In masking games monsters, masks of animals or fantastic beings, exotic or spectacular face-coverings were popular, replacing the wearer's face with an identity that is strange, heightened, or non-human. The element of fantasy signals a different world, a game world defined by different expectations. In drama fantastic masks easily become supernatural beings, like the Gods and devils ubiquitous in medieval theatre who also act outside the boundaries of normal human behaviour.\n\nAnother development is the character mask we now associate with the theatre of Ancient Greece. These generally work to present recognisable but heightened human features and to invite normal but intensified human responses from audiences. Both masks and responses remain extensions of the known world rather than escape into something other. Such masks are only occasionally found in medieval traditions: the satirical masks sometimes worn in carnival games or court disguisings, mocking types such as 'covetous men with long noses', or the personal caricature of the helmet-visor mask given to Henry VIII by Maximilian I are comic examples. The characterised disguising costumes of Turks, huntresses, or aged men show that more serious character masks were also available if required. But overall this is not a period when either masking games or dramatic forms make extensive use of masks to represent human individuals.\n\nThis brings us to a final and crucial observation about the masking traditions flourishing at this time: almost all depend on the interaction of masked and unmasked participants. Late medieval theatre forms seem always to use masks for particular effects, mingling and contrasting with unmasked performers. Most masking games also depend upon the presence or participation of unmasked players, often focusing precisely on the boundaries between them. Although the more specialised performance tradition of the disguising could involve fully masked companies, the thrust of these shows towards involving unmasked onlookers, whether as dancers or as admiring witnesses of the masks' removal, mean that this form also came to foreground the relationship between masked and unmasked. This adds yet another level to the variety and complexity of medieval masking. For any study of the masking traditions of the medieval and Tudor periods must concentrate not only on the maskers but on the unmasked. The central interest of the masks themselves often lies in the dynamic and unsettling relationship between the two.\n\nNotes\n\n1 All the instances given in this chapter will be discussed at more length in the rest of the work, so we do not reference them here.\n\n2 See, for example, the influential study by Claude L\u00e9vi-Strauss _La Voie des masques_ (Paris: Plon, 1979; augmented version of 2-volume Geneva edition by Skira, 1975), translated by Sylvia Modelski as _The Way of the Masks_ (Seattle: University of Washington Press, 1988).\n\n3 See for example Chris Humphrey 'The World Upside-Down in Theory and as Practice: A New Approach to the Study of Medieval Misrule' _Medieval English Theatre 21_ (1999) 5\u201320, and _The Politics of Carnival_ (Manchester University Press, 2001); Tom Pettitt 'Protesting Inversions: Charivary as Folk Pageantry and Folk-law' _Medieval English Theatre 21_ (1999) 21\u201351; Meg Twycross 'Some Approaches to Dramatic Festivity, especially Processions' in _Festive Drama_ edited Meg Twycross (Cambridge: Brewer, 1996) 1\u201333.\n\n4 Peter Marsh 'Identity: an Ethogenic Perspective' in _Persons in Groups: Social Behaviour as Identity Formation in Medieval and Renaissance Europe_ edited Richard Trexler (Medieval and Renaissance Texts and Studies 36; Binghamton NY: SUNY Center for Medieval and Early Renaissance Studies, 1985) 22\u20139.\n\n5 See chapter 6 on 'Disguisings' 144\u20138 for a detailed discussion.\n\n6 Sarah P. Sutherland _Masques in Jacobean Tragedy_ (New York: AMS Press, 1983) 6\u20137, 112\u201316; Inga-Stina Ewbank '\"These Pretty Devices\": A Study of Masques in Plays' in _A Book of Masques in Honour of Allardyce Nicoll_ 405\u201348, at 437\u201347.\n\n7 See Nicolaus Calenus _In detestationem, originem et ritum bacchanaliorum oratio_ (Marburg: Paul Egenolph, 1591) 27; Claude Noirot _L'Origine des masques_ (1609) in _Collection des meilleures dissertations, notices et trait\u00e9s particuliers relatifs \u00e0 l'histoire de France_ edited Constant Leber, 20 vols (Paris: J.-G. Dentu, 1826) 9: 115.\n\n8 _The Statutes of the Realm, from original records and authentic manuscripts (1101\u20131713), printed by command of His Majesty King George the Third_ edited A. Luders and others, 12 vols (London: Dawsons of Pall Mall for the Records Commission, 1810\u201328; reprinted 1963) 2: 505 (1 Hen. VII. c. 7: 1485) 3: 755\u20136 (32. Hen. VIII. c. 11: 1540\/41). We are grateful to Olga Horner for these references.\n\n9 See Margaret McGowan _The Court Ballet of Louis XIII: A Collection of Working Designs for Costumes, 1615\u201333_ (London: Victoria and Albert Museum, 1987) no. 182 for an early-seventeenth-century example.\n\n10 See David Wiles _The Masks of Menander_ (Cambridge University Press, 1991) 104\u201312; Quintilian _Institutio oratoria_ edited H.E. Butler, 4 vols (Loeb; London: Heinemann, 1922) 4: 282\u20137, Book 11: 3, 72\u20139.\n\n11 The four corner pillars of the Japanese Noh stage are there partly to orientate the masked actors, who move along prescribed paths (information from Professor Takeo Fujii).\n\n12 See chapter 10 on 'Morality Plays' 252.\n\n13 See Meg Twycross 'The Theatricality of Medieval English Plays' in _The Cambridge Companion to Medieval English Theatre_ edited Richard Beadle (Cambridge University Press, 1994) 37\u201384, at 43\u20134 and 54\u20135.\n\n14 See for example J.W. Robinson 'The Late Medieval Cult of Jesus and the Mystery Plays' _PMLA 80_ (1965) 508\u201315; Meg Twycross 'Books for the Unlearned' in _Drama and Religion_ edited James Redmond (Themes in Drama 5; Cambridge University Press, 1983) 65\u2013110.\n\n15 See for example the group of articles in _Medieval English Theatre 5:1_ (1983): David Mills 'Characterisation in the English Mystery Cycles' 5\u201317; Sarah Carpenter 'Morality-Play Characters' 18\u201328; Bill Tydeman 'Stanislavski in the Garden of Gethsemane' 53\u20137.\n\n16 Popular masking practice never died out completely, and was revived in different forms after the Commonwealth: see for example Ronald Hutton _The Stations of the Sun: A History of the Ritual Year in Britain_ (Oxford University Press, 1996) chapters 2, 8, and 37.\n\n17 For the Marshfield Paper Boys, see Alex Helm _The English Mummers' Play_ (Cambridge: Brewer, 1981). We would like to thank Alan Reid, the Burry Man of Queensferry, for allowing us to watch as he was prepared for his arduous outing in 1987.\n\n18 In the later Mummers' Plays the black-faced character can become a chimney sweep (E.K. Chambers _Mediaeval Stage_ 1: 214\u201315), or the Black Prince of Parradine. The Bacup Nutters are thought of as 'Moorish'.\n\n19 Ghosts did not assume white floating shapes until the development of theatrical light technologies and of spiritualism in the second half of the nineteenth century.\n\n20 E.K. Chambers _The Mediaeval Stage_ 2 vols (Oxford: Clarendon Press, 1903) 1: 185. The Jack in the Green, although an urban eighteenth-century creation of the chimney sweeps, is now popularly related to the Green Man of the roof bosses: see Roy Judge _The Jack-in-the-Green: a May Day custom_ (Cambridge: Brewer, 1979).\n\n21 The neutral mask was brought to prominence in the last century by the work of practitioners like Jacques Lecoq: see Lecoq 'Le masque neutre' in _Le Corps poetique: un enseignement de la cr\u00e9ation th\u00e9\u00e2trale_ (Paris: Actes Sud-Papiers, 1997) 47\u201356. 'Neutral' is, of course, a relative and culturally determined term: the neutral masks of the 1970s now seem dated to a particular aesthetic and physical style, just as the neutral masks of Tudor disguisings are recognisable as belonging to their own traditions. See chapter 6 on 'Disguisings' 140.\nPart 1\n\nPopular Masking\n\nMasks were an important element of seasonal play in all the countries of medieval Europe. Evidence for this goes back well before the Middle Ages: the first records of popular masking games come from the Kalends New Year celebrations of the end of the Roman Empire. They remain largely a winter affair: by the later Middle Ages on the Continent they flourished during the extended carnival season; in Britain, where the pre-Lenten Carnival never seems to have taken real hold, during the midwinter celebration of the Twelve Days of Christmas. It is in these popular festivities that we find the most flamboyant and most participatory of late medieval masking practices.\n\nThey are not always easy to reconstruct: popular masking was informal, the province largely of ordinary people whose customs were transmitted through generations and communities by imitation, not writing. Yet it seems clear that for a thousand years or more in mainland Europe there was a long and apparently unbroken tradition of winter festivity which frequently included popular masking games; that at some time this spilled over into Britain; and that there were many similarities in customs which largely ignored the in any case shifting national boundaries.\n\nBut this should not blind us to their significant differences, at different times and in different areas of Europe; or even that a custom may die and be re-invented. We have learned to suspect the antiquity of folk customs which often turn out to have been 'revived' by enthusiastic vicars in the later nineteenth century. Social historians, especially of the seventeenth and eighteenth centuries, have discovered that the history of 'folk traditions' is far more complicated and discontinuous than is popularly thought.1 There is no reason to believe that it was any different in the Middle Ages. Current critical attitudes emphasise the elusive nature of experience, and ask us to be specific about time and place, and the nature and contexts of our evidence. Recorded evidence has regained primacy over folk memory.\n\nThe problem with the written evidence for the earlier periods is not so much that it is sparse, which it is, but that its significance has been taken for granted. Much of it was amassed over a century ago by scholars in the great nineteenth-century anthropological tradition. Even now, research on this period has to start at E.K. Chambers' _Medieval Stage_ , still an impressively solid and encyclopaedic treasure-house of material. But these scholars had an agenda, to demonstrate the underlying identity of all European folk custom, and its roots in a pagan ritual past. Every card-indexed2 excerpt, every modern custom, was fitted painstakingly but a-historically into this construction. The individual pieces of evidence are still coloured more deeply than we realise by their assumptions. Our first task has to be to go back and look at them in context, when our perception of what they tell us can shift quite radically.\n\nWorking on this area in particular re-emphasises how much the nature and even the existence of evidence depends on the nature and preoccupations of written records, and the mind-set of their medieval authors. It also throws up the problem of silence. There are places where we have to say, 'There is no evidence for this'. This may present a mutilated version of the irrecoverable reality, but it is more honest than patching it over with speculative fantasy. This problem is particularly acute in our first chapter. The Anglo-Saxons have left no written evidence for any kind of masking activity except that associated with the arts of war. We simply do not know whether anything else existed and, if not, how and why masking, in our own terms, 'spilled over' from the Continent.\n\nEnglish masking was by no means a simple extension of Continental practices. Yet the European context is important. Late medieval Britain was far from insular. It had been conquered and settled at least twice. It is quite possible that many of the urban customs for which we have records were adopted or modified because of trade and even tourism. Others are connected with the international Church. The English court adopted masking entertainments from its aristocratic European neighbours as well as adapting home-grown popular customs. Some 'folk' customs may equally have percolated downwards through the social scale.3 Lastly, literature, and eventually the theatre, plays a part in spreading knowledge and possibly even imitation of exotic customs. Shakespeare recreates continental masking games, in _Romeo and Juliet, Much Ado about Nothing, The Merchant of Venice, Love's Labour's Lost_ , as well as home-grown ones in _Henry VIII_ and _The Merry Wives of Windsor_ , from a variety of popular romances and chronicles if not from personal experience. By the late sixteenth century he seems able to expect his audience to be as familiar, if vicariously, with the forms and etiquette of carnival in Verona or Venice as with the disguisings of the Tudor court. English practices may have differed in detail, but they patently belong to the wider context of European masking.\n\nNotes\n\n1 See Ronald Hutton _The Stations of the Sun_ for a recent review of this topic.\n\n2 This is of course a deliberate anachronism. The card index was first invented c. 1900.\n\n3 The hobby horse may be an imitation of tournament gear; the London citizens often hired the costumes for 'masks' as wedding entertainments from the court.\nChapter 2\n\nEarly Masking\n\nAnglo-Saxon\n\nIt seems improbable that the early Germanic peoples had no tradition of masking at all. But they were an oral, not a literate, culture, and our evidence is about as sparse as it can be. What there is belongs to the warrior \u00e9lite, and suggests inevitably that masking was solely connected with the practice and (possibly) rituals of warfare. If the Anglo-Saxons had a tradition of folk masking, they have left no evidence of it.\n\nThey had a word for 'face-mask', _gr\u012bma_.1 It turns up in the almost exclusively warrior context of the _gr\u012bmhelm_ , the masked helmet long known from _Beowulf_ and several other Anglo-Saxon heroic poems,2 which was given vivid substance by the Sutton Hoo excavations. The seventh-century helmet unearthed in that ship-burial and painstakingly reconstructed by the British Museum seemed almost magically to embody the _gr\u012bmhelm_ of the scholars' imagination.3 Even so, it is not specifically a Germanic style of armour, as it seems to be based on the Roman parade or circus helmet which sometimes bore a full stylised portrait mask;4 though the poets speak of the _gr\u012bmhelm_ in a matter of fact way, as if it were a standard piece of comitatus equipment, albeit one worn in the legendary past rather than the present. We do not of course know if they were thinking of the full face-mask known only from Sutton Hoo, or of the variously visored helmets known from other Germanic burials.5 There is not the slightest suggestion in the poems that these helmets were used for anything but military purposes,6 though some of their decoration, notably the 'boar-images above the cheek-protectors', seems to have been prophylactic.7\n\nThe primary function of these visors must have been protective: but the artistry which has gone into their decoration, and, in Sutton Hoo, the creation of an impassive surrogate metal face to cover the warrior's vulnerable human one, suggests something more than this. This may well be a secondary effect rather than a primary intention: the instinct to ornament may have led to the creation of an object which thereupon acquired meaning in its own right. As such it looks forward to the tournament helm discussed in a later chapter. Unlike the tournament helm, however, it does not completely conceal the person beneath. Like all masks, when it is not being worn it tells only half the story, and its effect in action may have been rather different from the hieratic (and even 'ritual') air it holds when at rest. Photographed on a display stand it looks remote and brooding, its empty eye-sockets unreadable. Imagine a pair of live human eyes instead. For the mask-maker, the moment when the actor puts on his creation is the moment it ceases to be a piece of sculpture and acquires an unexpected (and sometimes malign) life of its own. Encased in this carapace, the warrior might be transmuted into a hideously animated killing machine. Conversely, the helmets which only provide eye-and cheek-protection may have emphasised the vulnerability of the face beneath (a half-mask creates a completely different effect from a full mask): but even the eighth-century Coppergate helmet,8 with only a nasal and cheek-guards, shares with surviving Swedish helmets the ornate eyebrows which must have produced an unsettling change of focus, as if the warrior's face had begun to harden into metal.\n\nFIG. 1: The Sutton Hoo Helmet\n\nWhat exactly were the contemporary connotations of a helmet mask like this? As we might expect, the vocabulary suggests aggression and (in the beholder) fear. The noun _gr\u012bma_ may be related etymologically to the adjectives _grimm_ 'ferocious', and _gram_ 'enraged', also used as an epithet of the devil. Its other meaning seems to be 'frightening creature, spook',9 possibly even, in a biblical context, 'devil'.10 _Gr\u012bmhelm_ might therefore mean either 'visored helmet' or 'terrifying helmet'. This seems very far from festivity or play.\n\nThe Sutton Hoo helmet has however been linked by writers on Germanic mythology and on folk custom with something which might be described as a sport, or more portentously as a ritual, and which may perhaps be associated with masks. One of the repouss\u00e9 designs on its decorative plaques shows two men in horned headdresses with flared cheek-or possibly neck-guards standing, or perhaps dancing (their feet are oddly pointed), side by side. Each brandishes a sword and a pair of throwing-spears. Their expressions are blank, but this seems the effect of stylisation rather than an attempt to represent a mask.11 Another, apparently stark naked except for a belt, stands on a seventh-century gilt-bronze buckle dug up in Kent;12 another from the same period on a bronze matrix for a Sutton-Hoo-type helmet-plaque found in Torslunda in Sweden; and vestiges of other versions of the same motif exist, mostly associated with helmet decoration and mostly Swedish, though some have been found, as amulets or decorating vessels, in female burials in both Sweden and England.13 This last fact has reinforced the idea that they are of cultic significance, possibly connected with the worship of Woden, rather than simply suitable decoration for a warrior's war-gear.\n\nFIG. 2: The Finglesham Buckle\n\nThey have been identified with a sporadically recorded weapon-dance which was enthusiastically linked by E.K. Chambers with ancient sacrificial ritual practices, and hailed as ancestor of the modern morris sword-dance.14 Tacitus, in AD 98, mentions a dance by naked young German warriors _inter gladios... atque infestas frameas_ ('among swords and hostile spears'). There is no suggestion, however, that it is other than a 'public show' ( _spectaculum_ ) or 'game' ( _ludicrum_ ), performed for the pleasure ( _lascivia, voluptas_ ) of the dancers and their audience, and he does not mention masks.15\n\nEight centuries later, Constantine VII Porphyrogenitos, writing on the ceremonies of the Byzantine court, describes a curious Christmas-time dance traditionally performed by the 'Gothic' guards in the service of the Emperor.16 Two pairs of Goths, dressed in \u03b3o\u03c5v\u03b1\u03c3 (tunics made of skins) with the fur on the outside,17 and perhaps wearing masks (\u03c0\u03c1o\u03c3\u03c9\u03c0\u03b1 \u03b4\u03b9\u03b1\u03d5o\u03c1\u03c9\u03b5\u03b9\u03b4\u03b5\u03c9\u03bd, 'faces of various sorts') danced, accompanied by panduras,18 to a curious Gothic song (\u0393o\u03c4\u03b8\u03b9\u03ba\u03b1), punctuating it by beating on their shields with a stave and chanting 'Tul! Tul!' But before we start imagining pagan rituals, we should remember that by this time the Goths19 had been Christian for nearly 600 years. Whatever the original purpose of the dance, by now it is an interesting but alien calendar custom observed by the sophisticated Byzantine court with possibly the same mixture of emotions as a Twickenham crowd at a rugby international watches the New Zealand All Blacks perform their _haka_. Presumably the purpose of the masks, if they were masks, and were an original part of a warrior dance, was the same as that of war-paint. The warrior hopes to make himself terrifying to the enemy, while by changing his outward appearance he also shifts his own peaceable persona to his warrior alter ego. The psychological effect benefits the wearer as much as it disadvantages his target.\n\nThis desire to change personality, even, for the duration of the battle, to discard humanity and become a predator, may lie behind the figures of the Scandinavian _berserkir_ and _\u00falfhe\u00f0nar_ ('wolf-skins'), which is perhaps reflected in some of the Anglo-Saxon vocabulary for warrior: _beorn_ ('bear'), _freca_ ('greedy one', wolf), _w\u0153l-wulf_ ('carnage-wolf'). On the same Torslunda stamp, the dancing spearman is followed by a mysterious creature with an animal's head, possibly a bear's, and a tail, but clothed and with distinctly human feet and legs. It also carries a spear, and appears to be drawing a sword. It might be an attempt to show a warrior possessed by his totem animal in this way, or it might, naturalistically, depict a masked dance, designed to give the dancer the qualities of the animal it represents, and possibly to stir up a trance-like battle-frenzy.20 On the other hand, Plutarch, writing in AD 105\u2013115, says in his 'Life of Caius Marius' that the horsemen of the Germanic Cimbri and their confederates, who invaded Italy in 102 BC, wore 'helmets made to resemble the maws of frightful wild beasts or the heads of strange animals, which, with their towering crests of feathers, made their wearers appear taller than they really were'.21 This sounds a purely pragmatic type of psychological warfare. Earlier the foot-soldiers are said to go into battle 'rhythmically clashing their arms and leaping to the sound', shouting their tribal name 'Ambrones' in unison, which may give us a glimpse of the reality for which the sword dance was a training.22 But we have no proof of a link between the helmet decorations and the dances in Tacitus or in Constantine VII except for a general Germanicness; and the visual images, though suggestive, remain elusive and enigmatic.\n\nFIG. 3: Torslunda Plaque\n\nThe last often-cited appearance of the Germanic sword- and spear-dance is in 1555, when Olaus Magnus, Bishop of Uppsala, describes one performed by the _septentrionales Gothi et Sueci_ ('Northern Goths', i.e. from the southern Swedish peninsula and the island of Gotland, 'and Swedes'). Verbally this sounds suspiciously like Tacitus, save that the swords rather than the dancers have become naked: _inter nudos enses et infestos gladios seu frameas_ ('between naked blades and hostile swords or spears'). He says that this is danced 'especially at the time of Carnival, or in the Italian term, \"of masks\/masquerades'\" ( _praecipue tempore carnisprivii maschararum Italico verbo dicto_ ). At first this may sound as if the dancers wore masks, but in fact Olaus Magnus, who was living in exile in Rome at the time, is merely giving a local term for the carnival season.23\n\nThis is the sum total of our solid evidence for Anglo-Saxon masking and its possible Germanic context. Both artefacts and dances appear to be connected with the art of war. There is nothing to suggest that ordinary people in Anglo-Saxon England went in for masked dancing, recreational or ritual. The surviving literature talks enthusiastically about music, tale-telling, drinking, and field sports, but that is all.\n\nYet these scraps of data continue to tantalise with the promise that there might be something more there if only we had the ingenuity to work out what it was. It is easy to see how earlier scholars, under the influence of Grimm and Max M\u00fcller, were seduced into constructing a painstakingly woven house of twigs for Anglo-Saxon paganism. The tempting methodology they evolved24 would only be of academic interest here if it were not that it has seeped through into popular imagination and become an 'explanation' of modern folk customs, which, it is confidently asserted, must go back to pagan times.25\n\nTo enthusiasts of this school of thought, it seems axiomatic that all folk customs, and all non-Christian decorative art must necessarily be rooted in pagan ritual, and (a further leap of faith) that this ritual can then be linked, tentatively or with confidence, with the gods of Germanic mythology. This hypothesis then provides a structure into which we can satisfyingly slot our nuggets of information. The animal-headed creature with human feet, apparently drawing a sword, on the Torslunda stamp must be a berserkr taking part in a ritual dedicated to Woden\/\u00d3\u00f0inn, the god of war, trickery, and the dead. Because \u00d3\u00f0inn in later Scandinavian literature appears to travel between our world and the realm of the dead in order to gain occult knowledge, and his name is said to mean _furor_ , he must be a shaman.26 Because one of his by-names in the _Poetic Edda_ is Gr\u00edmnir, the Masked or Cowled One,27 his shamanism might have involved masking. The animal-headed creature is therefore a warrior-shaman wearing a mask.28 His companion on the stamp must be taking part in Tacitus' naked-warrior dance, also in honour of \u00d3\u00f0inn. This then opens up the possibility of comparisons with modern anthropological work on shamanism, particularly attractive to theatre practitioners who would like to appropriate the idea of possession by the spirit of the mask;29 and it would add a dimension to this study which is otherwise completely lacking.\n\nBut however attractively suggestive it may be, we must avoid being seduced by the vision of rituals of whose details we know nothing, and acknowledge the prosaic truth. By the time we have written evidence of the Anglo-Saxons, they are Christian. If masked folk practices of this kind existed, and if they survived the Conversion, we have no record of them.\n\nThis in itself may be significant. If there were a living, even though underground tradition, we might expect to find condemnations of it in the various law-codes30 and penitentials,31 which are very informative about other areas of superstition and misdemeanour. But though both mention heathen practices (most notably after the Viking settlements), they do not refer at all to this kind of proceeding: in fact, compared with continental penitentials and decretals, they are disappointingly mundane.32 Penance is enjoined for sacrificing to 'idols', largely trees, wells, or standing stones, or for practising various kinds of charm \u2013 love philtres, death-spells, cures \u2013 and auguries and other superstitions; but no-one suggests that masked figures are slipping out through the moonlight to celebrate the winter solstice,33 or worshipping the old gods by dancing in animal disguise. Those seeking for traces of ancient mystery will have to look elsewhere.\n\nMost of the supposed 'evidence' for the native pagan antiquity of masked British folk calendar customs, such as mumming and guising, in fact belongs to a completely different, Mediterranean tradition, the Roman festival of Kalends. Its apparent transplantation to Anglo-Saxon England is an illusion which owes more to the eclectic habits of clerical copyists than to actual native practice. For example, the so-called Penitential of Egbert of York (c. AD 740), among several prohibitions 'of auguries and divinations', prescribes a penalty of five years' penance for a cleric and three for a layman for 'honouring the Kalends of January in conformity with heathen practice' ( _Kalendas Januarias secundum paganam causam honorare_ ),34 But this statement is taken almost verbatim from a continental penitential, which in its turn copied it from a much earlier southern European sermon. We cannot be certain that the Anglo-Saxons celebrated 1 January either as a local traditional festival,35 or, as the penitential seems to suggest, as it was celebrated three centuries earlier in Provence. We seem to be confronted with a choice of two extremes: if we cannot subscribe to the pan-Germanic theory of persisting heathen folk-practices, then we have to conclude that the later medieval New Year masking games were an importation from the Continent. Kalends masking of a sort does eventually appear in England, but only after a long and riotous career on the mainland of Europe. It is to this infinitely better-evidenced festival that we now turn.\n\nKalends\n\nMedieval and early-modern authorities themselves believed that the tradition of an extended period of winter festivity went back time out of mind. Academic writers, even in Britain, saw a classical origin for the celebrations: William Prynne, the early seventeenth-century antitheatrical campaigner, exemplifies the standard parallel drawn between the Christmas and New Year festivities of his own time and the Saturnalia and Kalends festivals of classical Rome. His detailed and vituperative comparison concludes that since both are:\n\n... spent in revelling, epicurisme, wantonnesse, idlenesse, dancing, drinking, Stage-playes, Masques, and carnall pompe and jollity... wee must needes conclude the one to be but the very ape or issue of the other.36\n\nIn spite of Prynne's assertion, however, there is no evidence for 'masques' and masking at the Roman Saturnalia and Kalends festivals until the fourth century AD.37 Yet from then on, masking seems steadily to infiltrate even the most unlikely customs, so that by the fifteenth century we find dicing in masks, dancing in masks, good-luck visits in masks, even, in Italy, bull-fighting in masks. The masks do not seem to be organically related to the individual customs, but to the festivities as a whole, though once they have arrived, they can alter the entire focus and apparent meaning of the customs themselves. It is therefore worth considering the nature of these Roman festivals before they acquired this mysterious overlay.38\n\nThe Saturnalia took place officially on 17 December, though celebrations rapidly spread far beyond.39 Business of any kind was forbidden, presents were given, parties thrown, people played draughts and dice for nuts. One of the themes of the holiday was 'the world upside-down': for its duration slaves were treated like free men and served at table by their masters, while a Lord of Misrule ( _Saturnalicius princeps_ ) was chosen on a throw of the dice.40 Lucian (c. AD 125\u2013200), in the dialogue _Saturnalia_ , catalogues the riotous proceedings:\n\n... potare, inebriari, vociferari, ludere, certare tesseris, creare reges, famulos in convivium adhibere, canere nudum, lascivo corporis motu saltitare, nonnumquam et in gelidam aquam dare praecipitem, facie fuligine oblita.41\n\n... drinking, getting drunk, shouting at the top of your voice, playing games, throwing dice, making kings, having your slaves to dinner, singing in the nude, sexy jiggling about, and as often as not ducking people head first in icy water, with a face covered in soot.\n\nThe return to Saturn's Golden Age42 is translated into a land of Cockaigne.\n\nThe Kalends, the New Year festival, followed close behind.43 Officially marking the inauguration of the new Consuls, unofficially it was a festival of household celebrations and rituals to bring luck to the new beginning: people exchanged seasonal greetings ( _vota_ ); gave gifts ( _strenae_ ), often of gilded dates or honey; later, and among the wealthy, of money.44 Front doors were decked with greenery and lanterns. It was a season of good will; essentially a festival of private inaugurations and hanselling among friends and neighbours.45 The two festivals appear gradually to have run into each other.46 While the Saturnalia remained a Romano-Greek festival, the wider Roman world, which included Gaul and Spain, celebrated it as an extended Kalends.\n\nIt is against this background of winter festivity that we first hear of play involving masks. Both the facts, and the ambience, are elusive, partly because, as we will find repeatedly and often frustratingly with popular masking, the evidence comes from those who thoroughly disapprove of the practice preaching to those who know all about it. It suddenly comes into prominence in the years around AD 400, when early Christian bishops start trying to dissuade their congregations from joining in New Year celebrations which apparently included not only the traditional gift-giving and parties, but masking _in feminam_... _aut in pecudes, aut in feras, aut in portentas_ ('as women... or as farm animals, or as wild animals, or as monsters').47\n\nEven the natural impression that this is a new development could be wrong. It may well be that this masking had been going on for centuries, but that nobody recorded it because it was not considered either particularly offensive or particularly noteworthy. It was neither part of official cult nor a sophisticated Roman pastime: we would probably classify it as 'folk custom' in the nineteenth-century sense, with all the connotations of rural indigenous 'traditional' behaviour. It becomes the focus of attention because the Church, relatively new to official status, was struggling to make Christianity into a 'community religion'.48 In the process it attempted to control aspects of everyday life which had previously been left unremarked. Among these were the traditional superstitions and festivities of local people \u2013 probably the most accurate translation of the word _pagani_ 49 \u2013 though the sense that they are largely practised by country-folk may be partly true.50 Hence perhaps the appearance of farm animals and wild animals among the masqueraders.\n\nEarlier polemic against masking had been directed at the _spectacula_ in the amphitheatre whose cruelty and tackiness could be specifically associated with the worship of the official Roman pantheon.51 It targets theatre masks, worn by professional actors, though versions of these seem also to have been worn in festive processions, especially the _pompa circensis_. Peter Chrysologos, preaching in Ravenna, the seat of government, in the first half of the fifth century, seems to refer to an urban Kalends procession in which even Christians from his flock wore masks representing the gods, but in order to guy them, just as carnivals in some places today lampoon political figures.52 But he also attacks an impressive range of animal and monster disguises: 'wild beasts... draught animals... flocks and herds... demons'.53\n\nThe element of this masking that until recently attracted most attention, both scholarly and not-so-scholarly, is the animal disguise. The bishops accuse their congregations of dressing up as _pecudes_ ('farm animals'), _ferae_ ('wild animals'), and most specifically as the _cervulus_ or Little Stag.54 Allusions to this mysterious creature, which has been adopted enthusiastically as a sort of Missing Link between the Sorcerer of Les Trois Fr\u00e8res and the hobby-horse,55 and thus as direct evidence of pagan survival in modern folk custom, are thinly scattered and uninformative. The earliest comes from Barcelona (c. 370) where Bishop Pacian, having written a (now lost) treatise on the Little Stag, is struck with rueful anxiety that he may actually have revived the custom he was trying to suppress:\n\n... tota illa reprehensio dedecoris expressi ac saepe repetiti, non comprensisse videatur, sed erudisse luxuriam... Puto nescierant Cervulum facere, nisi illis reprehendendo monstrassem.56\n\n... all that censure of the unseemly behaviour, [which I had] described and itemised so often, did not seem to be understood [as censure], but as instruction in self-indulgence... I think they wouldn't have known how to do the Little Stag if I hadn't shown them by censuring it.\n\nThis tells us almost nothing about the Little Stag, except that Pacian considered it unseemly, but that his congregation, once reminded, enjoyed it. An even more elusive, but apparently affectionate reference from St Ambrose in Milan (c. 374\u201397) reveals in passing that _in principio anni, more vulgi, cervus allusit_ ('in the beginning of the year, by folk custom, the stag frolicked about').57\n\nIn the next couple of centuries we get a clearer picture of what _cervulum facere_ might be. Caesarius of Arles (c. 470\u2013542) reports that those 'doing the Little Stag' ( _cervulum facientes_ ):\n\n... in ferarum se velint habitus commutare. Alii vestiuntur pellibus pecudum; alii adsumunt capita bestiarum, gaudentes et exsultantes...58\n\n... would like to change their appearance for that of wild animals. Some are dressed up in the skins of farm animals; others put on the heads of wild animals, celebrating and leaping about...\n\nWe learn too that Christians should not only not do this themselves, but _ante domos vestras venire non permittatis_ ('you should not let it come before your homes').59 Clearly the Little Stag was ambulatory and this, combined with the time of year and the advice to householders, suggests a _qu\u00eate_ or good-luck visit.60\n\nThe origins of these animal disguises are unclear. The bishops associate them generally with Roman paganism, but usually because they celebrate a festival dedicated to Janus, whose double face, it was suggested, could be seen as a freakish mask.61 Some commentators have hopefully linked the _cervulus_ with the Bronze Age Celtic stag-headed god, 'Cernunnos'.62 The haunting figure of the animal-headed human encouraged E.K. Chambers, highly influentially, to posit an 'unforgettable connexion with heathen cult'; while sixty years later Michel Meslin, in a largely perceptive and revealing discussion of Kalends customs, sees in this animal masking _la marque la plus authentique d'une sacralit\u00e9 archaique_.63 But there is no contemporary evidence for any active or conscoius cult, and neither the maskers themselves, nor their critics, suggest that this is the case.64 At most it may have been a traditional good-luck bringer: the stag-headed god was sometimes shown with a cornucopia or a purse of coins at his feet.65\n\nIn spite of discouragement, people seem to have stuck firmly by the Kalends Little Stag and his mates, the Heifer ( _iuvenca, vitula_ , or _annicula_ ), or the She-Goat ( _capra_ ),66 well into the Christian period. Their geographical distribution is harder to map. At first the references come from around the Mediterranean: North Italy, Southern Gaul, the Iberian peninsula.67 The illusion is created that their subversive gambolling also lay in wait for churchmen and missionaries north and west into the alien heathen territory of Francia and beyond, as prohibitions on animal masking, most often based on Caesarius and Martin of Braga,68 are repeated in sermons and collections of decretals. But works like these, which were then adapted as penitentials for the use of confessors, were widely copied and compiled from each other, until it is difficult to tell if they are a reliable guide to local customs.69 However, as late as 1012 the standard compilation by Burchard of Worms prescribes thirty days' penance for 'doing the Little Stag' _quale pagani fecerunt et adhuc faciunt in Kalend_. _Januarii_ ('as the heathen used to do _and still do_ on the Kalends of January').70\n\nThere is no firm evidence that the _cervulus_ and his animal companions either did, or did not, frolic in Britain. It seems unlikely. Aldhelm, E.K. Chambers' 'only authority for the presence of the _cervulus_ in England', merely says in contortedly elegant, ambiguous Latin that the age when the snake and _cervulus_ were worshipped in heathen shrines has now passed.71 There is certainly no evidence that the Little Stag, or any of its mates, is the direct ritual ancestor of such calendar customs as the Padstow 'Oss, the Mari Lwyd, or the Dorset Christmas Broad. None can be traced back to before 1800, and the hobby-horse of which they seem to be a development is recorded only from the fourteenth century.72 The only possible claim to antiquity lies with the Abbots Bromley Horn Dance, and that only because the antlers carried by the dancers can be carbon-dated to the eleventh century. But the dance itself is only evidenced back to 1532, with a break at the Commonwealth and for some years after; and the reindeer antlers, according to one account, came from Scandinavia via Constantinople.73 As for Herne the Hunter, he seems to have been a mischievous creation by Shakespeare.74\n\nThere is no evidence of an unbroken tradition of popular animal masking through to the later Middle Ages. This may be because the types of record change. The Little Stag himself fades out of the written documents, either because he no longer existed or because the tradition of penitentials in which he featured came to an end.75 The great collections of canon law of the High Middle Ages seem to have given up trying to regulate popular festive behaviour, provided it did not seduce churchmen from their duties or encroach on church property.76\n\nPLATE 1A: Staff hobby-stag. Robert de Boron _Histoire du Graal_ (c. 1280). Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 95 fol. 273r.\n\n\u00a9 Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library.\n\nPLATE 1B: Hobby-stag: the wearer's face can be seen in the stag's chest. _Roman d'Alexandre_. Flemish, illuminated by Jehan de Grise (1339\u201340). Oxford: Bodleian Library, MS Bodley 264 fol. 70r.\n\nPLATE 1C: Dance of animal maskers and unmasked women. Oxford: Bodleian Library, MS Bodley 264 fol. 21v.\n\nIf he vanishes from the texts, however, the Little Stag reappears in their margins, though with no clues as to his context or status. We illustrate two _cervuli_ from early fourteenth-century manuscripts, one French, one Flemish. Neither looks like the skirted hobby-horse of later tradition. The first shows a staff hobby-stag, the wearer's face peering out through a hole in the chest [PLATES 1A]. It has a cheerful expression and is dancing to the bagpipes.77 The famous Bodley _Romance of Alexander_ offers another hobby-stag, this time with two human back legs and a staff front leg, its minstrel a drummer [PLATES 1B]. It looks positively gleeful. This manuscript also contains the well-known images of strings of maskers wearing animal heads over normal clothes. One of these, combining masked men with unmasked women, suggests impromptu participation rather than formal performance; but the animal masks seem too elegantly varied to be an _ad hoc_ piece of folk costuming, and might equally represent a courtly disguising [PLATES 1C].78 None of these illustrations seems particularly numinous, but the maskers do look as if they are enjoying themselves. In that, at least, they are true descendants of the Kalends animal maskers.\n\nThe second main disguise assumed at Kalends involved cross-dressing.79 Although it is not clear how often this involved actual face-masks, rather than, probably, a garish application of make-up, those bishops who mention it include it as a category of Kalends masking.80 Caesarius, again, provides the fullest account:\n\nQuale et quam turpe est, quod viri nati, tunicis muliebribus vestiuntur, et turpissima demum demutatione puellaribus figuris virile robur effeminant, non erubescentes tunicis muliebribus inserere militares lacertos: barbatas facies praeferunt, et videri foeminae volunt.81\n\nHow thoroughly disgraceful it is that those who have been born men should put on women's dresses, and by a most disgusting transformation emasculate their manly strength into the shapes of girls, not blushing to squeeze their soldiers' muscles into women's dresses. They exhibit bearded faces, but want to seem women.\n\nThe mention of soldiers may not just be rhetorical. On the Kalends, the Roman Army renewed its vows of loyalty to the Emperor, and received a hefty largesse.82 This was followed in some garrisons by fairly riotous military merrymaking. On the Kalends of 400, Bishop Asterius of Amaseia on the south coast of the Black Sea preached a sermon which paints a vivid picture of a Saturnalian court in which a mock-Emperor was accompanied by a harem of burly soldiers sporting ankle-length skirts, women's sandals, wigs, distaffs, and squeaky voices.83 It looks as if this tradition had spread to the West.84 Caesarius worries that this effeminisation will sap them of their masculine strength ( _virilem_... _fortitudinem_ ) and soldierly quality ( _militarem virtutem_ ), presumably making them unfit for active service.85\n\nOther references are less clearly military. Pseudo-Severian's _in feminas uiros vertunt_ ('men turn into women') might refer to men impersonating female deities in the official _pompa_.86 'Maximus of Turin' (also early fifth century) likewise worries about the loss of masculine strength, but does not specify that his cross-dressers are soldiers.87 When Isidore of Seville (c.560\u2013636) adapts Caesarius, it becomes 'others [unspecified], perversely transformed by a female mode of behaviour, emasculate their male appearance' ( _alii, femineo gestu demutati, virilem vultum effeminant_ ).88\n\nIt is hard to tell how far this was a deliberate caricature game, how far a more seriously liminal cross-dressing. Seeing it as an army romp, some scholars tend to stress the element of parody, of male horseplay, that would emphasise the grotesque discrepancy between male body and female dress. Caesarius' image of soldiers' brawny limbs thrust into women's frocks would tend to support this, as would the standard bracketing of cross-dressing with animal disguise as both 'monstrous' and a ridiculous 'joke'. But the phraseology at times suggests something more than caricature. Caesarius' sense that the men 'wish to seem women' chimes with Pseudo-Maximus' claim that _vir, virium suarum vigore mollito, totum se frangit in feminam, tantoque illud ambitu atque arte agit, quasi poenitat illum esse quod vir est_ ('a man, by softening the vigour of his manly strength, crushes himself completely into a woman, and acts it with such a degree of make-believe and expertise that it is as if he were sorry that he is a man').89 It may be that the female disguise could become not just a raucous and transparent guying of femininity, but a more fully-fledged attempt to lose one identity in another, and taste the freedom and strangeness of another gender.\n\nEarlier Christian rhetoric against cross-dressing had been directed at the professional theatre. Tertullian condemns the _pantomimus_ who plays a female role by invoking the prohibition in Deuteronomy 22: 5: _cum in lege praescribit maledictum esse qui muliebribus vestietur, quid de pantomimo iudicabit, qui etiam muliebribus curvatur?_ ('since [God] in the Law lays down that he who dresses in a woman's clothes is accursed, how will He judge the pantomime who is contorted into femininity?').90 Diatribes against both theatrical and Kalends masking were so far directed solely at male cross-dressing. But in 680 the Council of Constantinople paraphrased the text from Deuteronomy to decree more comprehensively that on public festivals _nullus vir_... _muliebri veste induatur, vel mulier veste viro conveniente_ ('no man should put on women's clothes, nor a woman the clothes that are proper for a man').91 This suggests that female cross-dressing was also possible, and thereafter decretals and penitentials do occasionally refer to both male and female cross-dressing at the Kalends. It is difficult to tell, however, how real this was at any given place or date.92\n\nThe third class of disguise that is occasionally mentioned is the vaguer _monstra, portenta, daemones_ ('monstrosities, prodigies, supernatural creatures'); _vultus... quos ipsi daemones expavescunt_ ('faces... at which the demons themselves are scared').93 In this early period the generalised terms suggest an unspecified weirdness which scarcely seems a separate category, its monstrousness overlapping with the unnatural assumption of female or animal shape. It could even refer to simple black-face make-up.94 Some may have been 'fright-masks' of the Hallowe'en kind, portraying the malignant _larvae_ which later gave their name to masks in general.95 Even the 'devilishness' is not as precise as it might seem to us today. The word _daemon_ covered a wide range of otherworldly creatures, classified as non-Christian, but not necessarily diabolical as such.96 But as masking develops during the fully Christianised society of the High Middle Ages, 'demons' join animals and women as the most favoured, or at least most frequently criticised, types of disguise. The rhetoric of the preachers itself seems to have fed into the practices it condemned, the 'monsters' gradually becoming firmly identified as 'devils', and contributing to their general iconography.97\n\nBefore leaving the Kalends it is worth asking how far we can tell why people masked at the festival at all, and why in these particular forms. If this masking is not the deliberate practice of a heathen cult, what is it? The bishops condemned masking, along with all the other customs of Kalends, as a game inherited from the pagans, compromising the Christians' new faith.98 It is clear that the Church's main objection is not to the pagans continuing such foolish practices, but that Christians ( _aliqui baptizati, fratres, fideles_ )99 join in the Kalends masking; even worse, they seem to feel no guilt about doing so. We have no voice from the maskers themselves as to what they thought they were doing, but their bishops occasionally paraphrase or imply their defence of these games. The maskers apparently do not see their celebrations as any lingering commitment to pagan belief, but simply as good fun which can do a Christian no harm. Peter Chrysologos gives us their words:\n\nSed dicit aliquis, non sunt haec sacrilegiorum studia, vota sunt haec jocorum; et hoc esse novitatis laetitiam, non vetustatis errorem; esse hoc anni principium, non gentilitatis offensam.100\n\nBut one of you says, 'This isn't the deliberate pursuit of godlessness, these good luck visits are just for fun; this is a celebration of a new beginning, not a superstition from the past; this is just New Year, not the threat of paganism.'\n\nThis sounds much more like the attitude of most modern European Christians to their Christmas trees, or to their children's Hallowe'en games. Whatever their subconscious motives may have been, the Kalends maskers do not appear to believe that they are involved in non-Christian worship.\n\nFurther understanding is hampered by our still scanty information about the everyday society and attitudes of the time. The connection with the New Year, with the dark restriction of winter and the transition from old to new, offers one explanation.101 Such moments of transition are frequently moments of celebration, which would account for the dominant element of play ( _iocus_ ) in this masking.102 Projecting backwards from later carnival practices, we may guess that there is also an association with escape: escape from the hardship of midwinter, escape from the old into the new, escape from normal routine into riotous play, escape from duty into temporary irresponsibility, and escape from oneself into another identity. The masking may well be a playfully serious means of abandoning one's normal self and experiencing the strangeness of the Other. Nothing could run more counter to a religion that called for vigilant sobriety and self-control.\n\nIt might, too, account for the particular disguises chosen. For a man of this period there are several obvious ways to escape, not only his normal individual self, but also his role as a human being: he can, as the preachers claim, abandon his human identity for that of an animal or monster; or he can abandon his male identity for that of the other gender. This would also link to the element of reversal, of world-upside-down, that seems appropriate to the Kalends, both as an extension of the Saturnalia and as a New Year feast.\n\nThere may, equally, be more mundane and practical reasons for the disguises. At a time when few people would be likely to own many changes of clothes, or wealth to acquire or create disguises, there are two readily accessible and highly effective means of altering identity. The clothes of the other sex are easily available; so are the skins of domestic or hunted animals like cattle and deer. Without discounting the possibly more mysterious and numinous aspects of New Year masking, we should not underestimate the real importance of such practicalities for festival customs.103\n\nAround 1100, the Little Stag and his Kalends companions bow out from written records. The penitentials had in any case always been more interested in magical charms and fortune telling, and these are the activities which remain associated with the New Year, while concern about over-excitement and immorality switches to 'karolles, wrastlynges, or somour games', especially when they take place in church or churchyard.104 The _Golden_ Legend's reading for the Festival of the Circumcision talks of Kalends activity as something long past:\n\nNotandum, quod olim a paganis et gentilibus in his calendis multae superstitiones observabantur, quas sancti etiam a christianis vix exstirpare poterant, quas Augustinus in quodam sermone commemorat... formas monstruosas assumebant, alii vestientes se pellibus pecudum, alii assumentes capita bestiarum, ex quo indicabatur, non tantum habitum, sed belluinum habere sensum. Alii tunicis muliebribus vestiebantur...105\n\nIt is noteworthy, that once upon a time many superstitions were observed by country folk and pagans in these Kalends, which the saints had great difficulty in uprooting even from Christians, as Augustine records in a certain sermon... they used to adopt monstrous shapes, some dressing themselves in the skins of farm animals, others putting on the heads of wild animals, from which it could be deduced that they not only had the outward appearance but also the feelings of brute beasts. Others would dress up in women's tunics...\n\nBy 1260, then, the Kalends seem to have become history. But they resurface, at roughly the same time and with many of the same disguises, in an unexpected place: the heart of the church itself.\n\nThe Feast of Fools\n\nIt is at the end of the twelfth century in France that we first begin to hear about the Feast of Fools.106 Technically this was a special celebration for the subdeacons, the lowest of the three major orders of clergy.107 It usually took place on the Feast of the Circumcision, 1 January and was thus the direct liturgical replacement for the Kalends,108 though sometimes on Epiphany, 6 January, our 'Twelfth Night'. However, both the term and its associated activities could shift to other clerical feasts within the Twelve Days of Christmas. In the immediate post-Christmas period, a number of saint's days became the property of the different orders: St Stephen (26 December) for deacons, St John the Evangelist (27 December) for priests, and the Holy Innocents (28 December) for choirboys.109 The choirboys particularly seem to have seized the opportunity to join in with enthusiasm; and like other winter festivities, the whole event was intrinsically elastic, prone to overspill in both time and place.\n\nOfficially this was the feast-day when the subordinate clergy might have their symbolic moment of freedom and recognition within the church hierarchy. This clearly parallels the Saturnalian New Year impulse to reverse the social order, although it also symbolised the specifically Christian assertion that the birth of the Saviour _Deposuit potentes de sede: et exaltavit humiles_ ('put down the mighty from their seat and exalted the humble and meek').110 But this formalised ceremonial reversal was very quickly supplemented by rather more inventive behaviour that pushed licence to the point of bringing the clergy into disrepute.111 In 1199, Odo Bishop of Paris issued an order reforming the Feast of the Circumcision at Notre Dame. It prohibits irregular bell-ringing, seat-swapping, songs \u2013 and masks.112 The custom was not confined to France. In 1207, Pope Innocent III condemned the wearing of _monstra larvarum_ by Polish clergy in Gniezno.113 In 1234 his pronouncement was included in the _Decretals_ of Gregory IX, and thus became standard canon law.114 Unavailingly: during the following centuries there was masking at Prague, Regensburg, Paris, Rouen, Soissons, Laon, Autun, and Lille, and doubtless in many other cities besides.115\n\nInnocent III's pronouncement provided a form of words for many subsequent condemnations of non-canonical dressing up:\n\n... interdum ludi fiunt in eisdem ecclesiis theatrales, et non solum ad ludibriorum spectacula introducuntur in eas monstra larvarum, verum etiam in tribus anni festivitatibus, quae continue Natalem Christi sequuntur diaconi, presbyteri, ac subdiaconi, vicissim insaniae suae ludibria exercentes, per gesticulationum suarum debacchationes obscoenas in conspectu populi decus faciunt clericale vilescere...\n\n... at times theatrical entertainments are made in these same churches, and not only are monstrosities [in the form] of terrifying apparitions [possibly 'masks'] introduced to [produce] delusive shows,116 but also in the three feasts of the year which follow immediately after the Nativity, deacons, priests, and subdeacons in turn, indulging in demented mockery, by the unseemly intoxication of their gestures [made] in full view of the public, bring the honour of the clergy into disrepute.\n\nIt was a useful catch-all. The term _ludi theatrales_ could be invoked equally against the riots of the Feasts of Fools and, by anti-theatrical authorities, against sober and well-intentioned liturgical drama.117 The _monstra larvarum_ of the _spectacula_ could apply as well to the devil character-masks (if that is the interpretation of _daemonum larvas_ ) of the 1160s play of _Antichrist_ inveighed against by Gerhoh of Reichersberg, as to carnivalesque false faces.118 In each instance, the bishop and the offending clergy knew well enough what was going on, but we may never be certain.119\n\nAs at the Kalends, these masks appear to be only one aspect of a whole range of revels. Some of the games specifically parodied the mass: there were dances and songs in the church, puddings and sausages eaten on the altar or used as censers, buckets of water thrown at the celebrant. But the masks themselves do not sound directly parodic but rather, as the church authorities themselves sometimes observed, a residue of the popular festivities of Kalends.120 The commonest epithet is _monstra_ : disguising as women also features occasionally.121 As part of the whole, however, they may have acquired an added dimension. The institutional and formalised ecclesiastical context of the Feast of Fools may have encouraged a more consciously subversive inversion than such behaviour outside in the streets, a closer match to Bakhtin's theories of a carnivalesque opposition to an officially repressive culture.122 But however therapeutic it may have been to the participants, it is understandable that the authorities were worried, especially when, as they stress, all this took place in a sacred space 'in full view of the public'. The masked monsters must have appeared far more monstrous in church;123 the mayhem they caused may have provoked hysterical laughter, but could have been threatening as well as potentially offensive to the congregation.124 We may feel inclined at this distance to smile at it indulgently as student-rag high spirits: but for those who looked on their church as a secure sacred space it could have been supremely unsettling.\n\nIn Britain, the earliest mention of the Feast itself comes from Robert Grosseteste's episcopate in Lincoln. In (?) 1236, he forbids the profanation of the Feast of the Circumcision by the Feast of Fools, _Deo odibile et daemonibus amabile_ ('hateful to God and attractive to the demons').125 A century later (1333), the clergy of Exeter Cathedral, wearing masks, were bringing themselves into disrepute by disrupting the feast of the Holy Innocents with shrieks of laughter, obscene gestures, and drunken revelry. The choirboys at Ottery St Mary, eleven miles to the East, specialised in mud-slinging during the service.126 Meanwhile over the border in Somerset, the clergy of Wells Cathedral, first in 1330\/31 and then in 1337\/8, were forbidden by statute to perform _ludos theatrales_... _monstra laruarum introducentes_ ('theatrical entertainments... bringing in monstrosities [in the form] of terrifying apparitions') over the Twelve Days of Christmas.127 Wells seems thereafter to have retreated gracefully into the more decorous ceremony of the Boy Bishop. This was probably the pattern throughout the country.128\n\nThere is little evidence that in England the riotous masquerading in church overspilled into the town and became a secular event, as it seems to have done in France and the Low Countries; but one or two wisps of information suggest that it was not solely clerical. At Beverley the 'depraving behaviour of the King of Fools' ( _corruptela regis stultorum_ ) was said to have 'taken place inside and outside the church' ( _infra ecclesiam et extra_... _usitata_ );129 it is clear that the mud-slinging choirboys of Ottery St Mary were in the habit of touring the neighbourhood for several days after the Feast;130 and there have been suggestions that _ly ffolcfeste in vltimo Natali_ recorded at Lincoln in 1437 was a secular Feast of Fools.131 But this is nothing like the comprehensive and organised foolery which took place on the Continent. Britain lacked the particular coteries, especially the literary and dramatic ones, which took over the organisation of misrule in the fifteenth and sixteenth centuries.132 In the Low Countries the Chambers of Rhetoric, and in France the various 'Abbeys of Misrule' and other so-called _societi\u00e9es joyeuses_ produced highly sophisticated and witty dramatic fooleries, _sotternien_ and _sotties_.\n\nPerhaps, however, Chambers' sense of a progression from the church into the town is an illusion. Recent studies of Continental material have argued that the social organisations which in the fifteenth and sixteenth centuries directed secular foolery, many of them youth groups with mock kings and abbots, were already in place and active in the twelfth. The clerical Feast of Fools would then be merely a sharper because more institutionally focused version of a continuous Kalends tradition which was not recorded unless it invaded church property.133 It is certainly true that later they existed side by side: despite the prohibitions, the Feast went on in the churches while organised anarchy reigned outside. What the clerical Feast of Fools probably did was to lend an idea, a name, possibly a heightened sense of hierarchy overturned, a conscious reinterpretation of the motif of the world upside down, to seasonal revels which were in the process of expanding into full-blown Carnival.\n\nThe later, secular fools may have worn the same kind of masks and indulged in the same kind of horseplay as the clerical ones, but their presentation is different. It is probably significant that in France and the Low Countries at least, the organisers were students and men of letters. Records of the carnivalesque proceedings of the later period suggest the appropriation of a literary and dramatic tradition, which borrowed its ethos from the motif of universal folly popularised by the immense vogue of Sebastian Brant's _Narrenschiffy_ 134 and its costumes, as Brant did, from the professional fool.135 This latter may merely have added to the existing stock of carnival disguises, but the chapbooks focus on it and its ideology.\n\nWhether any of this happened in England is debatable. Mock winter kings seem mainly to have been associated with academic or noble households, which might play sophisticatedly with the motif of foolery if it took their fancy. In England during the fifteenth century the discarded baton of the Bishop of Fools was taken up again by the Lord of Misrule. He acted as Master of Ceremonies for organised private Christmas revels.136 Fools appear in his entourage, but only in their expected capacity of court jester.137\n\nThere is some scattered evidence that there were urban Christmas Kings, especially in East Anglia: John Gladman in Norwich in 1443 may have been one of them, in which case the 'disporte as is and ever hath ben accustomed in ony Cite or Burgh thrugh al this reame' may merely have referred to a generalised obligation to organise appropriate entertainment for the town, or even for one's particular circle of friends.138 In the later sixteenth and early seventeenth century it looks as if some local Lords of Misrule recreated the Feast of Fools in reverse by invading the church at Christmas during divine service and creating mayhem. At Bampton near Shap in Cumbria,\n\n... these christemas misrule men drunke to ye minister readinge an homilie in the pulpitt... other of ye lord william [Howard's] owne servantes came in savage manner disguised into ye churche, in ye tyme of prayer, others with shootinge of gunnes, others with flagges and banners borne... others sported them selves in ye churche with pies and puddinges, vsing them as bowles in ye churche allies, others tooke dogges counterfeitinge ye shepherdes part when he fees his shepe, and all there in ye tyme of diuine service.139\n\nThis is presumably an extreme form of the behaviour Archbishop Grindal of York envisaged in his 1570 injunction when he forbade\n\n... anye lordes of misrule or sommerr Lordes or ladyes or anye disguised persons or others in christmasse or at may gammes... to come vnreverentlye into anye churche or chappell or churchyeard and there daunce or playe anye vnseemelye partes... in the tyme of divine service or of anye sermon.140\n\nOur main information for the Lord of Misrule, though, comes from enclosed domestic groups large enough to want their Christmas festivities structured for them: the court, noble households, university colleges, the Inns of Court.141 These festivities may have included masking,142 but only because it belonged to the particular type of entertainment that had been scheduled for that night. We will look at the last and best documented of the court Lords of Misrule, Edward VI's George Ferrers, in the chapter on 'Courtly Mumming'.\n\nOther Folk Customs\n\nThere is a handful of other folk customs in which masks seem to have been used, though it is virtually impossible to tell whether these were integral to the proceedings, or merely an adjunct to dressing up in general. One that has caused a great deal of interest is charivari, largely because in France it is recorded from the early fourteenth century, and in 1404 the Council of Langres specifically mentions that _in ludo quod dicitur charevari... utuntur larvis in figura daemonum et horrenda ibidem committuntur_ ('in the game which is called _charevari_... they make use of masks in the form of demons, and dreadful things are perpetrated there').143\n\nThe lively and much-reproduced illustrations to the interpolated charivari episode (c.1316) in the _Roman de Fauvel_ 144 seem to show this. They are usually presented as pictures of medieval entertainers wearing masks. However, it is clear from the text that they are folk-maskers: they put their clothes on back-to-front and inside-out or wear sackcloth or monk's cowls, smear their faces or wear false beards, play 'rough music', and commit a fairly comprehensive range of _horrenda_.145\n\nBecause in France charivari is apparently largely directed against second marriages, and because of the use of the word _larva_ ,146 nineteenth-century writers postulated that the masked figures represented the spirits of deceased first spouses which had to be propitiated by payment of a fee.147 This sounds like a rationalisation: holding the married couple up to ransom is a common form of qu\u00eate in other marriage customs. In other countries, charivari can be political, or if marital, directed against wives who beat their husbands or husbands who beat their wives.148 One version can even be complimentary.149 Its essential feature is the rough music, not the masking, which appears to be incidental.\n\nThe verbal formula _larvis in figura daemonum_ suggests that the masks were the kind that appeared in the Feast of Fools, and indeed the 1404 edict is directed against clergymen taking part in the charivari. Later, when sometimes very elaborate charivaris were undertaken by the Youth Abbeys,150 they presumably used the same masks as they did in the secular Feast of Fools. In both, however, rather than specifically representing ghosts or demons, the main intention of the masking seems to be a generalised grotesquerie and a convenient anonymity.151 On a purely pragmatic basis, the mask protects its wearer's identity from reprisals. Worn _en masse_ , however, as seems to have been the case in the majority of early French charivaris, it could have a more sinister effect. It detaches the animosity and censure expressed by the charivari from the individual, where one might isolate and explain them away, and makes them seem to emanate from an ineluctable communal force, antagonism made visible. Much the same effect is produced nowadays by the balaclava'd figures of sectarian demonstrations. It emphasises that this is the expression of the condemnation of the community; it also transmits a barely contained menace.\n\nThe prohibitions show anxiety about the potential for destructive violence \u2013 the gang in _Fauvel_ broke windows and doors, and some charivaris ended by seriously injuring their victims \u2013 and the fear that they will spark off _rancores et odia interdum quoque vulnerationes et homicidia_ ('resentments and hatreds, and sometimes also woundings and murders').152 'Charivary', says Tom Pettitt, 'is a malevolent encounter-custom',153 and the masks must have reinforced this.\n\nIn England charivari does not appear to have flourished before the sixteenth century, and there is little reference to the use of masks, though one tormentor in 1618 had 'a counterfayte beard upon his chine made of a deares tayle'.154 There is a fair amount of cross-dressing and wearing of horns, a more likely source for Falstaff's disguise in _The Merry Wives of Windsor_ than any fancied pagan-god figure,155 and effigies are also popular. Much of this is to provide a surrogate for the victim(s). No matter how much the participants may have thought themselves justified in censuring those who had broken the implicit rules of society, this is masking as aggression, a dark note in the spectrum of generally festive, if potentially dangerous, communal play.\n\nAnother previously unrecorded continental custom, which introduced a new masking figure, was the Wild Man hunt. This enigmatic being may be a genuine seasonal folk-figure; in Italy he eventually became a feature of the winter Carnival, though the earliest record of a _ludus de homine salvatico_ , at Padua in 1208, was, confusingly, in high summer.156 The Wild Man of the Woods had a rich literary and artistic existence from the twelfth century,157 and it is difficult to tell whether his appearance in this form was a new creation, or a re-reading of an earlier folk-masking figure, such as the Bear with whom he is often associated or conflated.158 Both were dressed in furs, or fur-lined garments turned inside-out;159 though sometimes the 'Bear' is a creature dressed in straw,160 and the Wild Man in leaves, moss, or even lichen.161 A Northern version was the _schoduvel_ , 'terrifying devil', of the Hanseatic towns. Dressed in fur, it ran and leaped: at Christmas 1478 one was killed by a beer-mug aimed by a terrorised spectator.162 It is possible that they, like the Austrian Perchten, originally represented malevolent wood-spirits who were believed to haunt the countryside in winter, and must be driven away.163 In folk customs recorded from the nineteenth century, the Wild Man\/Bear is hunted and eventually killed. His death is said to bring the end of winter.164 The medieval _ludus_ may also have ended this way: a so-called 'Play of the Death of the Wild Man'165 is featured in Bruegel's painting of _Carnival and Lent_.\n\nBoccaccio uses the Wild Man hunt as a setting for his story of the punishment of the philandering Frate Alberto in the _Decameron_. The friar is told by a wronged citizen with whom he has unwittingly taken refuge:\n\nNoi facciamo oggi una festa, nella quale chi mena uno uomo vestito a modo d'orso, e chi a guisa d'uom salvatico, e chi d'una cosa e chi d'un'altra, e in su la piazza di San Marco si fa una caccia, la qual fornita, \u00e8 finita la festa.166\n\nToday we are holding a fiesta, to which everyone brings someone dressed up as a bear, or as a wild man, and some as one thing and some another, and then there will be a hunt in the Piazza San Marco, as the culmination of the fiesta.\n\nHe dresses the Friar as a wild man, in feathers stuck on with honey, masks him, and leads him to the Piazza where he is stung by bees and gnats, exposed, and beaten by an uproarious crowd. In this tale, the wild-man costume marks Alberto out as a being of unbridled lusts who must be driven out of civilised society and symbolically killed, possibly Boccaccio's consciously literary take on the original folk-creature.167 The story is not conclusive evidence of a Wild Man hunt at Venice in the 1340s,168 but it clearly expects its readers to recognise the game.\n\nThere is no evidence of a fully-fledged Wild Man hunt in England, but the strong cultural symbolism of the wild man made him a popular figure in all kinds of festivity, from courtly disguisings, where playing in character licensed usually impermissible 'uncivilised' behaviour,169 to civic parades like the London Lord Mayor's Show, in summer as well as winter. His larger-than-life physique could be exaggerated into the typical pageant giant, and his threatening demeanour made him an ideal stitler, clearing the way with his club and squib, a firework hidden in a bunch of greenery.170 The liberating mask and the release from normal social restraints could paradoxically be harnessed as an instrument of crowd control.\n\nA few other enigmatic references to masking provide snapshots which may have been _sui generis_ or which may hint at a whole submerged world of folk practice. Why, for example, should any member of the Palmers' Guild of Ludlow wish to attend a wake wearing a mask? An ordinance, copied out some century after its supposed date of 1284, states that a brother is allowed to attend a wake provided:\n\n... nec monstra larvarum inducere [sic], nec corporis vel fame sue ludibria nec ludos alios inhonestos, presumat aliqualiter attemptare.171\n\n... that he does not presume in any way... either to put on [lit. lead in] monstrosities in the form of terrifying apparitions [probably 'masks'], nor embark on mockery(?) of his [the dead person's?] body or reputation, nor any other unseemly games.\n\nThis seems to be a garbled version of the common decretal about holding riotous celebrations at wakes, 'as if you seemed to rejoice in your brother's death' ( _quasi de fraterna morte exsultare visus es_ ),172 which might explain the concept of mockery of the deceased's body or reputation; but the role of the masks in this is unclear. It seems to have been tinged verbally with the Feast of Fools prohibition, and one might dismiss it as such, if it were not that a decretal in Burchard of Worms' collection also suggests that the wearing of _larvae_ could be a feature of gatherings in commemoration of the dead. Parish priests are admonished, when attending such events, not to get drunk:\n\n... nec plausus et risus inconditos, et fabulas inanes ibi referre, aut cantare pr\u00e6sumat, vel turpia joca, vel urso, vel tornatricibus ante se facere permittat, nec larvas d\u00e6monum, quas vulgo Talamascas dicunt, ibi ante se ferri consentiat: quia hoc diabolicum est, et a sacris canonibus prohibitum.173\n\n... nor to [indulge in] applause or unseemly laughter, nor to relate foolish tales, or offer to sing, or to allow coarse entertainments, either by a bear or by female tumblers,174 to be performed before him, nor allow frightening apparitions of demons which are called _Talamascas_ in the vernacular,175 to be carried [worn?] there before him: because this is devilish, and prohibited by the sacred canons.\n\nThis appears to go back as far as Hincmar's collection of synodical decrees, dated 852.176 The syntax does not make it entirely clear whether all these were expected features of a ninth-century funeral party, or more generally of any event to which a parish priest might be invited; and the bear and the female tumblers seem to rob the masking of some of its otherworldly resonances. What relationship it might have to something happening four hundred years later in the Welsh Marches is equally obscure. The exact details of what was going on in Ludlow, or why, remain a mystery.\n\nNotes\n\n1 Joseph Bosworth and T. Northcote Toller An _Anglo-Saxon Dictionary_ (London: Oxford University Press, 1898) and _Supplement_ (1921) svv. gr\u012bma, _gr\u012bm-helm, beado-gr\u012bma, here-gr\u012bma_.\n\n2 Sometimes simply _gr\u012bma_ as in _Beowulf_ line 334; sometimes compounded, as _here-gr\u012bma_ , 'warband-mask' in lines 396 and 2605; or _beado-gr\u012bma_ 'battle-mask', as in 2257.\n\n3 _The Sutton Hoo Ship-Burial Volume 2: Arms, Armour and Regalia_ edited Rupert Bruce-Mitford (London: British Museum Publications, 1978) chapter 3, 'The Helmet', especially pages 185\u2013225. For links with _Beowulf_ , see G.N. Garmonsway, Jacqueline Simpson and Hilda Ellis Davidson _'Beowulf' and its Analogues_ (London: Dent, 1968) 350\u201360.\n\n4 Bruce-Mitford _Sutton Hoo_ 220\u201324 and figure 169 which shows two surviving Roman cavalry helmets with face masks, apparently used for display manoeuvres. One is from Ribchester, Lancashire. Another two are in the National Museum of Scotland: see J. Curle _A Roman Frontier Post and its People: the Fort of Newstead in the Parish of Melrose 2_ vols (Glasgow: J. Maclehose, 1911) 1: 168\u201373 and plates 29 and 30. He quotes Arrian on the use of such masked helmets in cavalry sports. See also J. Garbsch _R\u00f6mische Parader\u00fcstungen_ (Munich: Beck, 1978) 4\u20137, 69, and plates 12\u201327; L.J.F. Keppie and B.J. Arnold _Scotland_ (Corpus signorum Imperii Romani 1:4; Oxford University Press for the British Academy, 1984). The Roman examples are naturalistic, unlike the Anglo-Saxon version, though one represents an Amazon.\n\n5 Bruce-Mitford _Sutton Hoo_ 208\u201320. Others have spectacle-like eye protection, a nasal, and cheek guards: some a curtain of chain mail hanging from the bottom.\n\n6 The Sutton Hoo helmet might, like the Roman parade helmets, have been used for purely ceremonial purposes. As reconstructed, it shows no signs of having been in a battle: but Anglo-Saxon literature suggests that they were intended as combat gear.\n\n7 _Beowulf_ 303\u20135: there is a boar image on the crest of the Benty Grange helmet, and two small boar's heads at the ends of the eyebrows of the Sutton Hoo helmet. The boar is said to have been sacred to the god Freyr.\n\n8 For the York Coppergate helmet (late eighth century) discovered in 1982, see Dominic Tweddle _The Coppergate Helmet_ (York Archaeological Trust, 1984).\n\n9 Like the Germanic term _masca_ , which does not however turn up in Anglo-Saxon: see chapter 13 on 'Terminology' 338\u20139.\n\n10 Eric Partridge _Origins: A Short Etymological Dictionary of Modern English_ (London: Routledge and Kegan Paul, 1958) sv. _grim_ ; Bosworth-Toller _Anglo-Saxon Dictionary_ and _Supplement_ svv. _gr\u012bma, grimm, gram_. For further discussion, see chapter 13 on 'Terminology' 340.\n\n11 Their horned helmets have the same crest but are a different shape on the forehead from the other examples, which resemble a Bronze-Age pair now in the National Museum of Copenhagen. These are not visored, and merely cover the top of the skull: but they have what appears to be a stylised bird's beak and two protruding round eyes. See Hilda Ellis Davidson _Scandinavian Mythology_ (London: Hamlyn, 1969) 21 for illustration.\n\n12 See _The Making of England: Anglo-Saxon Art and Culture AD 600\u2013900_ edited Leslie Webster and Janet Backhouse (London: British Museum, 1991) 22 and figure 2 for the Finglesham buckle; see, among others, Gale R. Owen _Rites and Religions of the Anglo-Saxons_ (Newton Abbot: David and Charles, 1971) 14\u201315, and plate 2.\n\n13 Bruce-Mitford _Sutton Hoo_ 186\u20139, 206\u20139, and figure 156. He remarks that 'The two men, although carrying sword and spears, seem to be dressed in civilian or ceremonial dress, and not in war gear' (187). See also A. Margaret Arendt 'The Heroic Pattern: Old Germanic Helmets, _Beowulf_ , and _Grettis saga_ ' in _Old Norse Literature and Mythology: a Symposium_ edited Edgar C. Polom\u00e9 (Austin: University of Texas Press, 1969) 130\u201399; Davidson _Scandinavian Mythology_ 49.\n\n14 Chambers _Mediaeval Stage_ 1: 203.\n\n15 Tacitus _De origine et situ Germanorum_ (' _Germania_ ') edited J.G.C. Anderson (Oxford: Clarendon Press, 1938) 24. The editor (126\u20137) suggests that it is a dance in honour of the war-god Tiu, but Tacitus himself sees it purely as a pastime showing bravery and dexterity. Arendt, who relates the dance to the Torslunda dies, sees it as 'a ritualistic initiation consisting of a kind of mock death and reawakening' (138\u20139) apparently extrapolating backwards from the mummers' play, or from its supposed connection with the cult of Woden\/\u00d3\u00f0inn. None of this is confirmed by Tacitus, and it seems to have happened on a regular basis, not as a _rite de passage_.\n\n16 Constantine VII Porphyrogenitos (AD 912\u201359) _De cerimoniis aulae byzantinae_ 2: chapter 92 (83); see _Le Livre des c\u00e9remonies_ edited and translated Albert Vogt (Paris: Les Belles lettres, 1935\u201340); also Averil Cameron 'The Construction of Court Ritual: the Byzantine _Book of Ceremonies_ ' in _Rituals of Royalty_ edited David Cannadine and Simon Price (Cambridge University Press, 1987) 106\u201336.\n\n17 The Silver Latin poets usually characterised Germanic barbarians and especially the Goths as wearing skins: see e.g. Claudian _De bello Gothico_ 481\u20132, _In Rufinum_ 2: 79\u201383; Rutilius Namatianus _De redito suo_ 2: 49, in _Minor Latin Poets_ edited and translated J.W. Duff and A.M. Duff (Loeb; London: Heinemann, 1934).\n\n18 Stringed instruments like a long-necked lute.\n\n19 If they were Goths and not, as their latest editor believes, Byzantines in costume wearing 'Gothic' character masks: _Livre des c\u00e9remonies_ 4: 186. The song has been quoted as invoking the names of Germanic deities as well as that of Christ, but Vogt dismisses this as fantasising.\n\n20 See entry on 'Berserkr' in _Medieval Scandinavia: An Encyclopaedia_ edited Phillip Pulsiano (New York and London: Garland, 1993); E.O.G Turville-Petre _Myth and Religion of the North_ (London: Weidenfeld and Nicolson, 1964) 61; Hilda Ellis Davidson _The Lost Beliefs of Northern Europe_ (London: Routledge, 1993) 99\u2013100. Arendt 'Old Germanic Helmets' illustrates two other versions of this creature in her plates 17 and 18. Another strange hybrid creature appears on the Franks Casket, but it seems to be a female, possibly from a shape-changing narrative: see _The Making of England_ 101\u20133.\n\n21 _Plutarch's Lives_ translated 'Bernadotte Perrin, 11 vols (Loeb; London: Heinemann, 1920) 11: 532\u20133.\n\n22 _Plutarch's Lives_ 514\u201315.\n\n23 Olaus Magnus _Historia de gentibus septentrionalibus_ introduced John Granlund (Copenhagen: Rosenkilde and Bagger, 1972, facsimile reprint of Rome: 1555) book 15, chapter 23. The woodcut which accompanies the description, designed by Olaus himself, does not suggest masking.\n\n24 See Davidson _Lost Beliefs_ 144\u201359 for an account of fashions in this branch of scholarship.\n\n25 See for a balanced counter-view Ronald Hutton _The Pagan Religions of the Ancient British Isles: Their Nature and Legacy_ (Oxford: Blackwells, 1991), especially 295\u20138, and at intervals in his later _The Stations of the Sun: a History of the Ritual Year in Britain_ (Oxford University Press, 1996).\n\n26 See for example the entries on '\u00d3\u00f0inn' and 'Religion, Pagan Scandinavian' in _Medieval Scandinavia: An Encyclopaedia_ ; Davidson _Lost Beliefs_ 77. On 'Woden and Witchcraft', see Richard North _Heathen Gods in Old English Literature_ (Cambridge University Press, 1997) chapter 4.\n\n27 In the _Gr\u00edmnismal_ \u00d3\u00f0inn goes in disguise to the hall of King Geirrod, calling himself Gr\u00edmnir, and 'would say nothing more about himself although he was asked'. Geirrod tortures him: he eventually reveals himself by listing his names. See _The Poetic Edda_ translated Carolyne Larrington (Oxford University Press, 1996) 50\u201361, verses 46, 49; for original, see _Edda: die Lieder des Codex Regius Vol. 1_ edited Hans Kuhn (Heidelberg: Winter, 1962) 66\u20137. See also Davidson _Lost Beliefs_ 42, 60; Turville-Petre _Myth and Religion of the North_ 61\u20132. It is a temptation to link this with mumming visits (see chapter 4 on 'Mumming'), but the 'stranger in disguise' motif is too common to base a theory on.\n\n28 This is an exaggeration, but only just. Prudence Jones and Nigel Penninck, in a serious attempt at a scholarly survey, say almost exactly the same thing: A _History of Pagan Europe_ (London: Routledge, 1995) 154\u20139 under the heading 'Northern Martial Arts'.\n\n29 See John Emigh _Masked Performance_ (Philadelphia: University of Pennsylvania Press, 1996) _passim_.\n\n30 It is much easier to prove that something happened than that it did not. See, for examples of heathen practices, Arthur W. Haddan and William Stubbs _Councils and Ecclesiastical Documents relating to Great Britain and Ireland_ 3 vols (Oxford: Clarendon Press, 1871, reprinted 1964) 3: 188\u201390, 235, 420\u201324, 458\u20139. None of this, except possibly ritual scarring of the face (458), seems germane to this investigation. For Laws, see _Die Gesetze der Angelsachsen_ edited F. Liebermann, 3 vols (Halle: Niemeyer, 1903) 1: 13, 38\u20139, 128, 130, 134, 152, 236\u20137, 244, 246, 254, 310, 383; the same is true of them. The clearest definition of the Anglo-Saxon view of pagan practices is in the Laws of Cnut drawn up by Wulfstan, Archbishop of York c. AD 1020. Dorothy Whitelock conveniently translates a selection from the Laws in _English Historical Documents 1: c_. _500\u20131042_ (London: Eyre and Spottiswoode, 1955) 357\u2013439.\n\n31 On Anglo-Saxon penitentials and their interrelations, see Allen J. Frantzen _The Literature of Penance in Anglo-Saxon England_ (New Brunswick, N.J.: Rutgers University Press, 1983). On penitentials in general, see John T. McNeill and Helena M. Gamer _Medieval Handbooks of Penance_ (New York: Columbia University Press, 1938).\n\n32 On continental decretals and the questions they raise, see below 30, and 36 note 91.\n\n33 In any case, evidence about the native importance of the winter solstice celebrations is conflicting. See Bede _De temporum ratione: PL_ 90: 356; \u00c6lfric _De Sancta Trinitate et de festis diebus_ line 75, in _Homilies of \u00c6lfric: A Supplementary Collection_ edited J.C. Pope, _EETS_ 259 (1967) 466\u20137); and note 35 below.\n\n34 Haddan and Stubbs 424. This comes in a section _De auguriis vel divinationibus_ , and is immediately preceded by a prohibition against honouring Thursday for the sake of Jupiter: both come straight from Caesarius of Arles (see below 27 note 48). McNeill and Gamer _Medieval Handbooks_ discuss its authenticity on pages 237\u20138. Egbert was a pupil of Bede.\n\n35 According to Bede ( _De temporum ratione:_ PL 90: 356), the pagan Anglo-Saxon year was divided at the equinoxes into winter and summer: winter began with full moon in October. _G\u00e9ol_ ('Yule') was merely the two-month period we now call January and February. However, he also says that the year begins on the day 'when we now celebrate the birth of the Lord' ( _ubi nunc natale Domini celebramus_ ) at a feast called _Modranicht_ , 'Mothers' night'. _\u00c6lhic_ objects to a popular idea that the year begins on 1 January, since the Creation of the world took place on 21 March: Sermon on _Octabas et Circumcisio Domini_ lines 129\u201330, in _\u00c6lfric's Catholic Homilies: The First Series_ edited Peter Clemoes _EETS SS 17_ (1997) 228\u20139. He says that foolish people perform many charms on that day to promote long life and good health, but not what they are, though one can find examples in some penitentials (none of them involve masking). It does not sound, however, as if this were a particularly significant _pagan_ Anglo-Saxon festival, and he may be imitating continental sermons which refer to the Kalends. But by this time, and from the earliest Laws, the important celebration is the Twelve Days of Christmas, which was a public holiday.\n\n36 Wiliam Prynne _Histriomastix_ preface by Arthur Freeman (New York and London: Garland, 1974: facsimile reprint of London: Michael Sparke, 1633) 757.\n\n37 The earliest evidence for masking associated with the Saturnalia is an illustration in the _Codex Calendar_ manuscript of AD 354. Seventeenth-century copies of this now lost manuscript (illustrated by a Christian and presented to the Christian aristocrat Valentinus) show a picture for December, illustrating the Saturnalia, which includes what appears to be a full-head theatre mask. This would suggest taking part in the _pompa circensis_ (see below) rather than casual private masking. See H. Stern Le _Calendrier de 354_ : _\u00e9tude sur son texte et sur ses illustrations_ (Paris: Imprimerie Nationale, 1953) 283\u20136; M.R. Saltzman _On Roman Time: the Codex'Calendar of 354 and the Rhythms of Urban Life in Late Antiquity_ (Berkeley: University of California Press, 1990) 74\u20136. Macrobius, however, claims that the Saturnalia came to merge with the Sigillaria, when infants were amused with _oscillis fictilibus_ ('little masks of clay'): _Saturnalia_ edited Jacob Willis (Leipzig: Teubner, 1970) 43; translated P.V. Davies (New York and London: Columbia University Press, 1969) 74: but these seem to have been more like nursery mobiles than actual masks: an _oscillum_ is 'something that swings'.\n\n38 For fuller information see H. Scullard _Festivals and Ceremonies of the Roman Republic_ (London: Thames and Hudson, 1981) 74\u20135; _Religions of Rome_ edited Mary Beard, John North, and Simon Price, 2 vols (Cambridge University Press, 1998) 2: 124\u20136.\n\n39... _mensem Decembrem fuisse, nunc annum_ ('December used only to be a month long: now it seems to go on for a year'): Seneca _Ad Lucilium epistolae morales_ edited R.M. Gummere (Loeb; London: Heinemann, 1917) Epistle 18, page 116.\n\n40 For the themes of the festival see H.S. Vernel _Inconsistencies in Greek and Roman Religion Volume 2: Transition and Reversal in Myth and Ritual_ (Leiden: Brill, 1994) 146\u2013227.\n\n41 Here in a Latin translation by Erasmus that became a standard sixteenth-century schoolboy text: _Luciani dialogi varii: Saturnalia_ translated Desiderius Erasmus (Paris: Badius, 1506) in _Opera omnia Desiderii Erasmi Volume 1_ (Amsterdam: North-Holland Publishing Co., 1969) 382. Although in terms of masks the soot-blackened faces may sound promising, the context suggests blindfolded games rather than fully-fledged masking, the kind of game where the unwitting victim is daubed with soot or flour, as Wit is in John Redford's _Wit and Science_ (in _Tudor Interludes_ edited Peter Happ\u00e9 (Harmondsworth: Penguin, 1972) 181\u2013219): see chapter 10 on 'Morality Plays' 272\u20135.\n\n42 'The realms of Saturn' or the Golden Age: Virgil _Eclogues_ 4: 6. In medieval astrology, the planet Saturn ruled over the zodiacal sign Capricorn, which included the Kalends.\n\n43 See Michel Meslin _La F\u00eate des kalendes de Janvier dans l'empire romain_ (Collection Latomus 115; Brussels: Latomus, 1970). Ovid gives a full account of the festival and its traditional origins in _Fasti_ 1: 63\u2013294: Ovid _Libri fastorum_ edited E.H. Alton, D.E.W. Wormell and E. Courtney (Leipzig: Teubner, 1988).\n\n44 This became an accepted part of the Roman patronage system, a form of corporate gift-giving in reverse. Gifts were handed up the chain from patron to patron; the biggest presents went to the Emperor, who also received a formal visitation of the _vota_ exchanged more casually among friends and acquaintances.\n\n45 Ovid explains the significance of the midwinter moment as marking the rebirth of the Sun ( _Fasti_ 1: 63\u20134), although he points out that it would be easier to imagine this in the Spring ( _Fasti_ 1: 149\u201360. But there was no official acknowledgement of Sun-worship.\n\n46 See comments on the length of Saturnalia in Macrobius _Saturnalia_ edited Willis, 39\u201343, book 1, chapter 10; translated Davies 70\u201373.\n\n47 Homily attributed (probably wrongly) to Maximus of Turin (c. 412\u201365) _Homilia XVI: de calendis Ianuarii_ , PL 58: 255. A broad range of comment by the Early Fathers on Kalends customs is usefully brought together in Chambers _Mediaeval Stage_ 2: 290\u2013306. Taken out of context, however, these comments can be misleading: they seem more homogeneous than in fact they are.\n\n48 William E. Klingshirn _Caesarius of Arles_ (Cambridge University Press, 1994) 2. This is an excellent introduction to the mind-set and circumstances of the early Christianisation of Southern Europe.\n\n49 The primary meaning of _paganus_ is 'someone belonging to a _pagus_ , a country district'. It developed the subsidiary meaning of 'a civilian as opposed to a (garrison) soldier, a local'. See the _Oxford Latin Dictionary_ edited P.G.W. Glare and others (Oxford: Clarendon Press, 1968\u201382). In Christian Latin the preferred word for a member of an organised pagan cult was _gentilis_ , 'Gentile'. Klingshirn (201\u20132) discusses the meaning of the term in Caesarius.\n\n50 The influential treatise on such matters by Martin of Braga (in Galicia) is entitled Pro _castigatione rusticorum_ ('For the Admonishing of Countryfolk'): _Opera omnia_ edited Claude W. Barlow (New Haven: Yale University Press, 1950) 159. Caesarius, however, speaks of _imperiti homines et rustici_ believing in Janus, and New Year superstitions, but of the masking as a _miserabilis consuetudo_ to be driven _de hac civitate_ : _Sermo CXCII: De kalendis Ianuarii_ in _Opera_ edited D. Germanus Morin, 2 vols (CCSL 103, 104; Turnhout: Brepols, 1953) 103: 779; also _Sermo CXXIX_ in _PL_ 39: 2001\u20132.\n\n51 For example, Tertullian _De spectaculis_ in _Apology & De spectaculis_ edited and translated T.R. Glover (Loeb; London: Heinemann, 1931); also PL 1: 629. See chapter 11 on 'Ideas and Theories' 285\u20137.\n\n52 See Rudolph Arbesmann 'The \"Cervuli\" and \"Anniculae\" of Caesarius of Arles' _Traditio_ 35 (1979) 89\u2013119, for god-masks 112\u201315. Official games marking the Kalends holiday were usually preceded by a procession of the gods in the _pompa circensis:_ Tertullian _De Spectaculis_ 248\u20139; cap. 7 (also PL 1: 638\u20139). Usually statues on floats, in Ravenna and elsewhere they seem to have been impersonated by humans in theatre masks, and a satirical element seems to have crept in. See Peter Chrysologos _Sermo CLV: De kalendis Ianuarii_ in _Sancti Petri Chrysologi collectio sermonum_ edited A. Olivar _(CCSL_ 24B; Turnhout: Brepols, 1982) 961\u20135; also in PL 52: 609\u201311. Chambers also cites the Quinisextine Council held at Constantinople as late as AD 692, which condemns the use of comic, tragic or satyric masks in the Kalends celebrations: _neque comicas vel satyricas, vel tragicas personas induat_ ( _Medieval Stage_ 2: 302).\n\n53 Chrysologos _Sermo CLV, CCSL_ 24B: 965; also in _PL_ 52: 611: _se bestiis conpararunt, exaequarunt iumentis, aptauerunt pecudibus daemonibus formauerunt_.\n\n54 It is usually referred to by this affectionate or possibly propitiatory diminutive: it does not literally mean 'the Fawn'.\n\n55 The 'Sorcerer' is an Upper Palaeolithic (c. 12,000 BC) cave painting from the Pyrenees, popularised by the drawings of the Abb\u00e9 Henri Breuil: see N.K. Sandars _Prehistoric Art in Europe_ (Pelican History of Art; Harmondsworth: Penguin, 1968) 71\u20132 and plate 73, who links it with shamanism (3). In Breuil's drawing it is an impressive owl-eyed figure that appears at first to be an antlered stag standing on its hind legs; a second look shows that it has human feet and legs, and probably arms and hands. It has become a favourite with writers on the origins of theatre, e.g. W.M. Tydeman _The Theatre in the Middle Ages_ (Cambridge University Press, 1978) 4\u20137. E.C. Cawte _Ritual Animal Disguise_ (Cambridge: Brewer, 1978) 195\u20137, the best-documented history of the hobby-horse to date, cautiously groups it with the _cervulus_ , but does not posit an actual link.\n\n56 Pacianus _Paraenesis ad poenitentiam, PL_ 13: 1081. His point is that, like many writers of confessional manuals, he is afraid of putting ideas into his penitents' heads.\n\n57 Ambrose _De interpellatione Job et David 2:1, PL_ 14: 813. Does _allusit_ mean that the custom had ceased in Milan? Unlike Pacian, St Ambrose does not condemn the _cervulus_ as unseemly: he uses it as a neat topical comparison for the perhaps excessive word-play on images of biblical stags in the introduction to Book 2 of his treatise (which is on religious tribulation, not folk customs), and seems to regard it with some affection.\n\n58 Caesarius _Sermo CXCII: De kalendis Ianuariis_ in Opera, _CCSL_ 104: 780; also in _PL_ 39: 2001. 'Putting on the heads of wild animals' sounds like a mask: in a _Life_ of St Hilarus (died c. 540), the villagers appear to have put them on their heads: _praefixo_... _cervi capite_ (Arbesmann 'Cervuli' 92).\n\n59 Caesarius (attributed in MS to Sedatus) _Sermo CXCIII_ in _Opera, CCSL_ 104: 784; also in _PL_ 39:2003.\n\n60 Chambers also quotes from Christoph de Berger _Commentatio de personis_ (Frankfurt and Leipzig: Knochius, [1723]) 218: _Vecolo aut cervolo facere: hoc est, sub formae vitulae aut cervoli per plateas diseurrere, ut apud nos in festis Bacchanalibus vulgo dicitur 'correr la tora'_ ('To do the Little Cow or Little Stag: that is to run around the squares in the shape of a young cow or little stag, as among us in the winter festivals is popularly called _correr la tora_ \"running the barren cow'\"). Chambers _Mediaeval Stage_ 2: 259, note 3.\n\n61 Caesarius Sermo _CXCII_ in _Opera, CCSL_ 104: 780; also in _PL_ 39: 2001.\n\n62 Chambers _Mediaeval Stage_ 1: 259; Meslin _F\u00eate des kalendes_ 89; Violet Alford _The Hobby Horse and Other Animal_ Masks (London: Merlin Press, 1978) 20. For the Celtic horned god, see Anne Ross _Pagan Celtic Britain_ (London: Routledge and Kegan Paul, 1967) 172\u2013215, for his name _[C]ernunnos\/Cernenus_ 180\u201382.\n\n63 Meslin _F\u00eate des kalendes_ 80.\n\n64 Although references to the Little Stag come largely from areas with a Celtic underlay, there is no evidence of any active worship at this late period. See Hutton _Stations of the Sun_ 88\u20139 for a survey of the history of the 'pagan animal cult' theory among folklorists. See also chapter 11 on 'Ideas and Theories' 296\u20138.\n\n65 Ross _Pagan Celtic Britain_ 183\u20134: Proinsias McCana _Celtic Mythology_ (Feltham: Hamlyn, 1970) 43. The Roman Kalends celebration featured an official largesse of 'coins' auguring wealth in the New Year: Meslin _F\u00eate des kalendes_ 59\u201361, 64\u20138. The Kalends did not however mark the Celtic New Year, so any transference of the 'Cernunnos' persona must have been symbolic, probably only a popular memory of a good-luck figure.\n\n66 See Arbesmann 'Cervuli' for a careful study of manuscript variants, which removes most of the wilder versions, including the Little Grandmother, or Old Woman.\n\n67 Though not, curiously enough, in North Africa, as neither Tertullian (c. 160\u2013c. 220) nor, later, Augustine (354\u2013430) mentions them.\n\n68 Klingshirn _Caesarius_ 9, and chapter 10, 'The Legacy of Caesarius'; Martin of Braga _Opera_ 7, 165\u20138; Arbesmann 'Cervuli' 93\u2013101. Caesarius was adapted by Isidore of Seville (c.560\u2013636) for the chapter _De jejunio kalendarum Januariarum_ in his influential _De ecclesiasticis officiis_ ( _PL_ 83: 775), and by a number of other homilists.\n\n69 Arbesmann believes that 'the tradition of the Kalends masks on Frankish soil is purely literary' (104). He cites the bewildering increase in the number of manuscript variants as evidence that the copyists did not understand what this decretal was talking about. For an alternative view, see Klingshirn _Caesarius_ 283. On penitentials, see McNeill and Gamer _Medieval Handbooks of Penance_ , and James A. Brundage _Medieval Canon Law_ (London: Longman, 1995) 24\u20136.\n\n70 Burchard of Worms _Decretorum Libri XX, PL_ 140: 965: see Brundage _Canon Law_ 32\u20133.\n\n71 Chambers _Medieval Stage_ 2: 258. Aldhelm _Epistola III ad Eadfridum_ edited Rudolfus Ehwald in _Aldhelmi opera_ (Monumenta Germaniae Historiae Auctores Antiqui 15; Berlin: Weidmann, 1919) 489, also PL 89: 93: _Et ubi pridem ejusdem nefandae natricis ermuli_ [var. _ermula_ ] _cervulique_... _fanis colebantur_... Michael Lapidge and Michael Herren translate this as 'the crude pillars of the same foul snake [Satan] and the stag were worshipped... in profane shrines': Aldhelm _The Prose Works_ (Cambridge: Brewer, 1979) 161, presumably taking _ermuli_ as 'altars'; Souter's _Glossary of Later Latin_ (Oxford University Press, 1949) gives _hermuli_ as 'herms'. The so-called _Penitential_ of Theodore of Tarsus, Archbishop of Canterbury, quoted by Chambers (305) is, as he points out, a later Frankish adaptation.\n\n72 Cawte _Ritual Animal Disguise_ 10\u201347.\n\n73 Cawte _Ritual Animal Disguise_ 65\u201379. The horns are carried in front of the dancers on handles, not worn, as is sometimes suggested. See also _The Revels History of Drama in English, Volume 1: Medieval Drama_ edited A.C. Cawley and others (London and New York: Methuen, 1983) 126. The figure of the horned or animal-headed man is oddly compelling, but it may have been periodically reinvented rather than surviving unchanged. For Margaret Murray's influential creation of the horned God of the Witches, see Hutton _Pagan Religions_ 301\u20138.\n\n74 _The Merry Wives of Windsor_ , Act 5, scene 5. The antlered figure ('Horne' throughout the Quarto) enables a rich stream of lewd innuendoes on hunting and cuckoldry. The cozening of Falstaff seems conceived as an elaborate 'mask'd and vizarded' mumming by children (Act 4 Scene 6 line 40). For an account of theories of this episode as a folk-religion-derived sacrifice with Falstaff as Scapegoat, see _The Merry Wives of Windsor_ edited T.W. Craik (Oxford Shakespeare; Oxford University Press, 1989) 45\u20137. A more classically-inclined interpretation sees him as an Actaeon surrogate.\n\n75 When late medieval confessional manuals refer to traditional Kalends activities, these are almost exclusively various forms of witchcraft and augury: e.g. _Dives and Pauper_ edited Priscilla Heath Barnum _EETS 275_ (1976) 157\u20139; John Myrc _Instructions for Parish Priests_ edited Edward Peacock _EETS OS 31_ (1868, revised 1902) 27, lines 857\u201362.\n\n76 See Brundage _Canon Law_ for an excellent introduction to the subject. For example, mixed dancing, which had been a secondary cause for concern, becomes much more prominent, but largely because it often took place in churches and churchyards, and thus fell under the head of sacrilege. _Dives and Pauper_ makes a nice distinction between the dances and 'plays' of the time of Saint Augustine, 'whan cristene peple was muchil medelyd with he\u00feene peple', and contemporary 'honest dauncis & honest pleyys don in [dew] tyme & in good maner in \u00fee halyday' (294).\n\n77 Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 95; Robert de Boron _Histoire du Graal_ (c.1280).\n\n78 Oxford: Bodleian Library, MS Bodley 264, fols 21v and 70r: Flemish, illuminated by Jehan de Grise, 1339\u201340.\n\n79 For recent critical interest in medieval and early-modern cross-dressing see e.g. Claire Sponsler _Drama and Resistance: Bodies, Goods and Theatricality in Late Medieval England_ (Minneapolis and London: University of Minnesota Press, 1997); Stephen Orgel _Impersonations: the performance of gender in Shakespeare's England_ (Cambridge University Press, 1996); Laura Levine _Men in Women's Clothing: Antitheatricality and Effeminization, 1579\u20131642_ (Cambridge University Press, 1994).\n\n80 Chambers _Mediaeval Stage_ 2: 293\u2013302 provides a useful starting point: so do Charles Dufresne Du Cange _Glossarium medi\u00e6 et infime latinitatis_ (Graz: Akademische Druck-und Verlagsanstalt, 1954 reprint of 1883\u201387 edition) sv _kalend\u00e6_ , and Prynne _Histriomastix_ , one of Chambers' sources, which excerpts denunciations of plays and folk custom from most of the medieval church councils.\n\n81 Caesarius _De kalendis Ianuarii in Opera, CCSL_ 104: 780; also in PL 39: 2001.\n\n82 Meslin _F\u00eate des kalendes_ 62.\n\n83 _PG 40_ : 221\u20132: it is not clear that the 'women' belonged to the mock-emperor's court, but it seems likely. They may be wearing wigs, or just knotting their hair on top of their heads in a \u03ba\u03c1\u03c9\u03b2\u03c5\u03bb\u03bf\u03bd (chignon). See Meslin _F\u00eate des kalendes_ 82; Arbesmann 'Cervuli' 115.\n\n84 The same custom is reported, though more sensationally (the mock-Emperor is ritually slaughtered at the end of his reign) of the martyrdom of St Dasius (? AD 303) in Moesia south of the Danube: see Arbesmann 'Cervuli' 115, footnote 118. For the story, see _Butler's Lives of the Saints_ edited Herbert Thurston and Donald Attwater, 4 vols (London: Burns and Oates, 1954) 4: 393: 20 November.\n\n85 Both Arbesmann (115) and Klingshirn (217) appear to think that Caesarius cannot be referring to real soldiers: but he stresses this facet more than any other preacher does.\n\n86 'Severian' (identified as such by Chambers in _Medieval Stage_ 2: 302, but probably Peter Chrysologos, see note 52) _Sermo CLV bis: De kalendis Ianuarii_ in _CCSL_ 24B: 967\u20138. These processions might also have included the theromorphic gods of Egypt familiar from Apuleius.\n\n87 'Maximus of Turin' _Homilia XVI, De Cal. Ian., PL_ 58: 255.\n\n88 Isidore _De ecclesiasticis officiis_ Lib 1, Cap XLI, _De jejunio kalendarum Januariarum, PL_ 83: 775.\n\n89 'Maximus of Turin' _Homilia XVI, De Cal Ian, PL 58: 255_.\n\n90 _De spectaculis_ 286\u20137; cap. 23 (also PL 1: 654\u20135). Deuteronomy 22: 5 states _non induetur mulier veste virili, nec vir utetur veste feminea, abominabilis enim apud Deum est qui facit haec_ ('the woman shall not be clothed in man's apparel, neither shall a man use woman's apparel, for he that doeth these is abominable before God'): _Biblia Sacra iuxta vulgatam versionem_ edited Robert Weber (Stuttgart: W\u00fcrttembergische Bibelanstalt, 1975): Douay-Rheims translation. Complaints about male actors playing women continued to be copied until at least the end of the eleventh century: see Ivo of Chartres _Decretum_ pars 11, cap. 83: _PL_ 161: 774, quoting the North African Cyprian (died 258). It is impossible to tell if the copyists considered it a live issue.\n\n91 Chambers _Mediaeval Stage_ 2: 302. However the context is ambiguous: it is not clear that the council is referring to popular masking rather than to the impersonation of deities in the _pompa_.\n\n92 E.g. Burchard of Worms _Decretum_ (compiled 1008\u201312) in PL 140: 839: _Si quis balationes ante ecclesias sanctorum fecerit, seu qui faciem suam transmutauerit in habitu muliebri, et mulier in habitu viri... tribus annis poeniteat_ ('If anyone should perform dances in front of the churches of the saints or anyone should change his looks into the outward appearance of a woman or a woman into the appearance of a man... let him do penance for three years') from the Second Council of Braga (572); repeated by Ivo of Chartres _Decretum_ in PL 161: 759; then by Bartholomew of Exeter's _Penitential_ (1150\u201370), cited in _Records of Early English Drama: Devon_ edited John Wasson (University of Toronto Press, 1986) 3.\n\n93 _Portenta_ in 'Maximus' ( _PL_ 57: 257); _daemones_ in Chrysologos ( _CCSL_ 24B: 965; also PL 52: 611). Caesarius has _species monstruosas_ ( _CCSL_ 104: 780; _PL_ 39: 2001) and _vultus induere, quos ipsi daemones expavescunt_ ( _CCSL_ 104: 783, _PL_ 39: 2003). The later phrase is _monstra larvarum_ ('portents in the form of terrifying apparitions', possibly 'masks'): see discussion on meaning of _larva_ in chapter 13 on 'Terminology' 338\u201344.\n\n94 'Severian' in Chrysologos _Sermo CLV bis_ ( _CCSL_ 24B: 968):... _talium deorum facies ut pernigrari possint, carbo deficit_ ('there is not enough coal to blacken the faces of such gods thoroughly enough'). See chapter 13 on 'Terminology' 340\u201341.\n\n95 See chapter 13 on 'Terminology' 338\u20139.\n\n96 The locus classicus is Augustine's _City of God_ Book 9. Folk-belief did not feel the theologians' need to classify everything supernatural as either celestial or diabolical: some stories use _daemones_ where we would talk of 'fairies' of the more mischievous kind.\n\n97 For the development of an iconography of devil disguise see chapter 9 on 'Mystery Plays' 207\u20139.\n\n98 For a fuller discussion see chapter 11 on 'Ideas and Theories' 296\u20138.\n\n99 'Some of the baptised; brothers; those of the Faith': Caesarius _De kalendis Ianuarii_ in Opera, _CCSL_ 104: 779, 780; also in PL 39: 2001; Isidore of Seville _De ecclesiasticis officiis, PL_ 83: 775.\n\n100 Peter Chrysologos _Sermo CLV_ in CCSL 24B: 964; also PL 52: 611. Compare 'Severian', (also probably Chrysologos) et _dicunt se facientes ista iocari_ ('those who do these things say they are just having fun') _Sermo CLV bis: De kalendis Ianuarii_ in _CCSL_ 24B: 968: also quoted Chambers _Mediaeval Stage_ 2: 294.\n\n101 Even though there were attempts to persuade Christians (especially when it had ceased to be an administrative New Year) that this was not really the beginning of the year, either because 'every day begins a new year', or because the beginning of the world fell on 25 March, it still marks the solstice and beginning of the long haul upwards to the return of the sun.\n\n102 See e.g. Arnold van Gennep _The Rites of Passage_ translated M.B. Vizedom and G.L. Caffee (London: Routledge and Kegan Paul, 1960); Victor Turner _The Ritual Process_ (Harmondsworth: Penguin, 1974).\n\n103 See also chapter 1, 'Introduction' 11\u201312, chapter 4 on 'Mumming' 86.\n\n104 Robert Mannyng of Brunne _Handlyng Synne_ edited Sullens, 225, line 8991: discussed under 'Sacrilege'.\n\n105 Jacobus a Voragine _Legenda aurea_ edited Th. Graesse (Dresden and Leipzig: Arnold, 1846) 86: chapter 13, _De circumcisione domini_. The sermon of 'Augustine' which he quotes is now usually attributed to Caesarius: see above, 29.\n\n106 Johannes Beleth _Rationale divinum officium_ (1182\u201390) edited Heribert Douteil, 2 vols (CCCM 41, 41A; Turnhout: Brepols, 1976) 41A: 133\u20134; cap. 72: _Festum subdiaconorum, quod vocamus stultorum_ (also PL 202: 79); Odo Bishop of Paris (letter 1198) _sacratissima dies_ , in _qua mundi Redemptor voluit circumcidi, festum Fatuorum nec immerito generaliter consuerverit appellari_ ( _PL_ 212: 71). For fuller information see Chambers _Mediaeval Stage_ 1: 274\u2013335; Jacques Heers _F\u00eates des fous et carnavals_ (Paris: Fayard, 1983).\n\n107 From 1207; before this they were considered one of the minor orders: Beleth _Rationale_ 2: 134, cap. 72 (also PL 202: 79). _Oxford Dictionary of the Christian Church_ edited F.L. Cross and E. A. Livingstone (London: Oxford University Press, 3rd edition 1997) sv _Subdeacon_.\n\n108 Early sermons make the contrast between the riotous behaviour of the Kalends and the solemn behaviour suitable for this prefiguration of the Crucifixion: there were even attempts to designate it a fast day, but these did not last. See e.g. Caesarius of Arles _Sermo CXCII in Opera, CCSL_ 104: 781; also PL 39: 2002.\n\n109 William Durandus (1230\u201396) _Rationale divinorum officiorum_ edited A. Davril and T.M. Thibodeau, 3 vols (CCCM 140, 140A, 140B; Turnhout: Brepols, 1995\u20132000) 140A: 199; and 140B: 112\u201313. Chambers quotes other authorities: _Mediaeval Stage_ 1: 289\u201393.\n\n110 Luke 1: 52. The phrase is drawn from the _Magnificat_ , sung at Vespers. This was the cue for the hand-over of control to the _dominus festi_ , the subdeacons' 'master of the feast': see Chambers _Mediaeval Stage_ 1: 278.\n\n111 Innocent III... _decus faciunt clericale vilescere:_ PL 215: 1070; Odo of Paris _scandalum Ecclesice_ PL 212: 71.\n\n112 _PL_ 212: 71:... _rhythmos, personas_... _fieri prohibemus:_ see also Chambers _Mediaeval Stage_ 1: 276\u20137, note 5. _Personas_ is a slightly unusual term to use in this context at this date, but that is what it seems to mean. See chapter 13 on 'Terminology' 337.\n\n113 _PL_ 215: 1070: also quoted in Chambers _Mediaeval Stage_ 1: 279.\n\n114 _Decretales Gregorii Papae IX_ (Lyons: Symphonian Beraud, 1600) col. 997: see Brundage _Canon Law_ 54\u20135. The decretal however permits serious liturgical plays.\n\n115 See Chambers _Mediaeval Stage_ 1: 274\u2013335; Hans Moser 'Zur Geschichte der Maske in Bayern' in Masken in _Mitteleuropa_ edited Leopold Schmidt (Vienna: Verein f\u00fcr Volkskunde, 1955) 93\u2013141 at 99.\n\n116 The word _ludibrium_ suggests deception and sleight of hand as well as entertainment, which fits well with the effect produced by masks, but is difficult to translate. The semantic field here includes both 'jest' and 'mockery'.\n\n117 There seems to be an intentional distinction here between _spectacula_ and _debacchationes obscoenas_ , but this was glossed over.\n\n118 _De investigadone Andchrisd_ (written 1161\u201362): quoted by Karl Young _The Drama of the Medieval Church_ 2 vols (Oxford: Clarendon Press, 1933) 2: 392\u20133. Gerhoh concludes his diatribe by adapting 'Maximus', with two significant changes: _spectacula theatralia_... _in quibus viri totos se frangunt in feminas quasi pudeat_ eos, _quod viri sunt, clerici in milites, homines se in dcemonum larvas transfigurant_ 'theatrical shows, in which men crush themselves completely into women, as if they were ashamed of being men; clergy into soldiers, and men transform themselves into the hideous apparitions of demons'.\n\n119 It is equally difficult to tell whether the Council of Basel (1431) intended to link the _larvales et theatrales iocos_ ('masked and theatrical games') with the Feast of Fools or to cite them as a completely separate item: see _Decrees of the Ecumenical Councils_ edited and translated Norman P. Tanner SJ, 2 vols (London: Sheed and Ward, 1990) 1: 492.\n\n120 Council of Nantes, 1431:... _talia_... _vulgari eloquio festum stultorum nuncupatur, quod de residuis kalendis Ianuariis a multo tempore ortum fuisse credatur credatur_ ('In common speech this is called the Feast of Fools, because it is believed to have arisen long ago out the remnants of the Kalends of January'). See Chambers _Mediaeval Stage_ 1: 293, note 2.\n\n121 Paris Faculty of Theology, 1445: see Chambers _Mediaeval Stage_ 1: 294, note 2. There is no reason to suppose that they were necessarily 'beast-masks', as Chambers suggests (1: 327).\n\n122 Mikhail Bakhtin _Rabelais and his World_ translated Helene Iswolsky (Bloomington: Indiana University Press, 1984) Introduction. Or, as Chambers less charitably has it, 'it was largely an ebullition of the lout beneath the cassock' ( _Medieval Stage_ 1: 325).\n\n123 Thirteenth-and fourteenth-century cautionary tales in sermons and other improving literature suggest that one might expect to encounter genuine demons in church, tempting or torturing the impure or unwary: see, for example, Caesarius of Heisterbach _Dialogus miraculorum_ edited Josephus Strange, 2 vols (K\u00f6ln, Bonn, Brussels: Heberle, 1851) 1: 281\u20135. We possibly find it hard to recreate the real terror these fake devils may have inspired.\n\n124 Dressing up as women, especially in the choir of the church, likewise broke a religious as well as social taboo.\n\n125 _Malone Society Collections Volume 8: Records of Plays and Players in Lincolnshire 1300-1585_ edited Stanley J. Kahrl (Oxford: Malone Society, 1974 for 1969) 98. Two years later he adds that it is the custom in several churches ( _consuevit in quibusdam ecclesiis_ ). Despite this, they were still at it in 1390, wearing lay garments ( _induti vests laicali_ ): Kahrl 99.\n\n126 There was a convenient heap of builder's rubble by the front door of the subdeacons' lodging house. _REED: Devon_ 6\u20137 (1333: Exeter), 8 (1339: Ottery St Mary) and 12\u201313 (1360: Ottery St Mary). The Exeter clergy seem to have been peculiarly theatrically-minded.\n\n127 _Records of Early English Drama: Somerset_ 2 vols, edited James Stokes with Robert J. Alexander (University of Toronto Press, 1996) 1: 236\u20139. Like Bishop Grandisson at Exeter, he repeats the terminology of the _Decretal_ of Gregory IX. There are also records of the Feast of Fools at Beverley (see below, note 128), St Paul's Cathedral, London, and Sarum (Chambers _Medieval Stage_ 1: 323).\n\n128 There is far more information about the Boy Bishop than about the Feast of Fools, partly because he was particularly popular in the fifteenth and early sixteenth centuries. See Ronald Hutton _Stations of the Sun_ 100\u2013104 for a succinct account.\n\n129 William Dugdale _Monasticon Anglicanum_ edited John Caley, Henry Ellis, Bulkeley Bandinel, 8 vols (London: James Bohn, 1846) 6, 3: 1310.\n\n130 _REED: Devon_ 8.\n\n131 Kahrl _Plays and Players in Lincolnshire_ 100 (who suggests that this might be 'the citizens' celebration of St Anne's Day': however, this takes place in July); Chambers _Medieval Stage_ 1: 322, note 4; Sandra Billington _A Social History of the Fool_ (Brighton: Harvester, 1984) 4. But there were several other folk customs at Lincoln which might qualify for the name.\n\n132 Billington in _Social History of the Fool_ does the best she can with very meagre evidence, but her only claim for organised foolery is a dubious translation of Thomas of Chobham's _lascive mulieres et stulti adolescentes_ as 'wanton women and youthful fools' (as opposed to 'idiotic youngsters'). There is of course plenty of evidence for individual fools as entertainers, largely in courts and noble households.\n\n133 Alan E. Knight 'The Bishop of Fools and his Feasts in Lille' in _Festive Drama_ edited Twycross, 157\u201366; Natalie Zemon Davis 'The Reasons of Misrule' in _Society and Culture in Early Modern France_ (London: Duckworth, 1975) 97\u2013123; Hermann Pleij _Het gilde van de Blauvue Schuit: literatuur, volksfeest en burgermoraal in de late middeleeuwen_ (Amsterdam: Meulenhoff, 1979) 15\u201322; Joel Lefebvre _Les Fols et la folie_ (Paris: Klincksieck, 1968); Dietz-R\u00fcdiger Moser _Fastnacht-Fasching-Karneval_ (Graz, Wien, K\u00f6ln: Edition Kaleidoskop, 1984) 51\u2013135.\n\n134 Sebastian Brant _Narrenschiff_ (printed Basel 1494) edited Friedrich Zarncke (Leipzig, 1854; reprinted Hildesheim: Olms, 1961); see Aurelius Pompen _The English Versions of The Ship of Fools_ (London: Longmans, Green, 1925); also John Lydgate's poem 'The Order of Fools' in _The Minor Poems of John Lydgate Part 2_ edited H.N. MacCracken EETS OS 192 (1934 for 1933) 449\u201355, and Erasmus _Moriae encomium id est Stultitiae laus_ edited Clarence H. Miller in Desiderius Erasmus _Opera omnia, Series 4 Volume 3_ (Amsterdam and Oxford: North Holland Publishing Company, 1979). They are all literary treatments, based on the idea of folly and the image of the professional fool rather than on Carnival: indeed Brant's first edition seems unaware of carnival fools (Sarah Carpenter 'Allegorical Masking and _The Ship of_ Fools', Medieval English Theatre conference, Liverpool 1994). See below chapter 3 on 'Carnival' page 76.\n\n135 The fool eventually becomes a staple of carnival costume: Moser _Fastnacht_ 111\u201335.\n\n136 Sandra Billington _Mock Kings in Medieval Society and Renaissance Drama_ (Oxford: Clarendon Press, 1991) chapter 2, collects together references to 'Kings of Winter Festive Groups', especially the 'King of the Bean', who appears at the courts of Edward II and Edward III. The next king to employ a similar figure is Henry VII in 1489. Her examples are mostly from the sixteenth and seventeenth centuries, or do not belong to the same category; they do not prove 'continuity of custom'. See Hutton _Stations of the Sun_ 105\u20137. He sees this as largely a late-fifteenth-and early-sixteenth-century phenomenon, fuelled by the enthusiasm of Henry VIII. In Scotland, the Abbot of Bonaccord or Unreason appears to have been a Summer King: Anna Jean Mill _Mediaeval Plays in Scotland_ (Edinburgh and London: Blackwood, 1927) 21\u201335.\n\n137 See chapter 7 on 'Courtly Mumming' 136.\n\n138 See chapters 3 and 7 on 'Carnival' 79\u201381, and 'Courtly Mumming' 162; Hutton _Stations of the Sun_ 106\u20138 for urban Lords of Misrule and their substitutes, and the apparent local enthusiasm for the custom in East Anglia (possibly through contact with the Low Countries?).\n\n139 _Records of Early English Drama: Cumberland, Westmoreland, Gloucestershire_ edited Audrey Douglas and Peter Greenfield (University of Toronto Press, 1986) 218: the document is undated, but Audrey Douglas puts it in 1615 or 1616 (241). The sheep-dogs make it a very Cumbrian affair. Lord William Howard was suspected of recusancy, and it is implied that this kind of sacrilegious behaviour was only to be expected from a member of the Popish Kingdom, and that the vicar tolerated it because he was in Lord William's pocket. Although the invasion sounds like a cross between a local charivari and a more formal disguising, the indictment hints the impetus had come from the great house.\n\n140 _Records of Early English Drama: York_ edited Alexandra F. Johnston and Margaret Dorrell, 2 vols (University of Toronto Press, 1979) 1: 358. The echoes of the decretal are obvious.\n\n141 Olga Horner 'Christmas at the Inns of Court' in _Festive Drama_ 41\u201353.\n\n142 Fools did occasionally wear visors: e.g. _REED: Devon_ 284: Woodbury 1554\/5: 'Item paid for a viser for a foole, xij d'.\n\n143 Quoted by Prynne _Histriomastix_ 600: he glosses _chareuari_ as 'A Play in the nature of a Mummerie Masque or Stage-play', which suggests that he did not know precisely what it was. See Andr\u00e9 Burgi\u00e8re 'Practique du charivari et r\u00e9pression religieuse dans la France d'Ancien R\u00e9gime' in _Le Charivari_ edited Jacques Le Goff and Jean-Claude Schmitt (Civilisations et soci\u00e9t\u00e9s 67; Paris, Den Haag, New York: Ecole des Hautes Etudes en Sciences Sociales, 1981) 179\u201395 for the fifteenth-and sixteenth-century evidences. Langres also had a M\u00e8re Folle and masked processions: see M. du Tilliot _Memoires pour servir \u00e0 l'histoire de la f\u00eate des fous_ (Lausanne and Geneva: Bousquet, 1741) 65.\n\n144 By Raoul Chaillou de Prestain in Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 146.\n\n145 Illustrations, fols 34r and 36v. For text, see Gervais de Bus _Le Roman de Fauvel_ edited Arthur L\u00e5ngfors (Soci\u00e9t\u00e9 des anciens textes fran\u00e7ais; Paris: Firmin Didot, 1914\u201319) 165\u20137, lines 682\u2013766. The _Fauvel_ charivari is presumably protesting against the unequal marriage of an allegorical figure (Vainglory) and a horse, and some of the animal heads on the rough musicians may be meant to be their own, though they all seem to have human feet. On inside-out clothes, see chapter 4 on 'Mumming' 86.\n\n146 For the history of the word _larva_ and its meaning of 'malignant spirit', see chapter 13 on 'Terminology' 338\u201344.\n\n147 Nicole Belmont 'D\u00e9rision et symbolisme dans le charivari' in _Le Charivari_ edited Le Goff and Schmitt, 15\u201321, especially 19\u201320; Burgi\u00e8re 'Practique du charivari' 185\u20136. See also Samuel Glotz 'Les Origines de la tradition du masque en Europe' in _Le Masque dans la tradition europ\u00e9enne_ edited Glotz (Binche: Mus\u00e9e internationale du carnaval et du masque, 1975) 1\u201343 at 33\u201341.\n\n148 See, for example, Davis 'Reasons of Misrule'; John J. McGavin 'Robert III's \"Rough Music\": Charivari and Diplomacy in a Medieval Scottish Court' _Scottish Historial Review 74:2_ (1995) 144\u201358.\n\n149 Pettitt 'Charivary' 24; also E.P. Thompson '\"Rough Music\": Le Charivari anglais' _Annales, \u00e9conomies, soci\u00e9t\u00e9s, civilisations 27_ (1972) 285\u2013312.\n\n150 Davis 'Reasons of Misrule' 98\u2013101.\n\n151 _L'en en congneust un a poinnes \/Tant estoit tains et deffais_ ('One could scarcely recognise them, they were so daubed and deformed'): _Fauvel_ 165, lines 702\u20133.\n\n152 Synod of Avignon 1337, quoted by Martine Grinberg 'Charivaris au Moyen Age et \u00e0 la Renaissance: condamnation des remariages ou rites d'inversion du temps?' in _Le Charivari_ 141\u20137, on page 142.\n\n153 Pettitt 'Charivary' 23. He explains his adoption of the English spelling on 22\u20133.\n\n154 Pettitt 'Charivary' 35\u20136. See also Martin Ingram 'Le Charivari dans l'Angleterre du XVIe et du XVIIe si\u00e8cle' in _Le Charivari_ 251\u201364. His examples are almost all from the seventeenth century.\n\n155 See note 73.\n\n156 At Pentecost: Alessandro D'Ancona _Origini del teatro italiano_ 2 vols (Turin: Loescher, 2nd edition 1891) 1: 89.\n\n157 Richard Bernheimer _Wild Men in the Middle Ages_ (Cambridge, Mass.: Harvard University Press, 1952).\n\n158 Bernheimer _Wild Men_ 53\u20136 (the Wild Man is often said to be black: 191\u20132, note 34); Samuel Kinser 'Why is Carnival so Wild?' in _Carnival and the Carnivalesque_ edited Konrad Eisenbichler and Wim H\u00fcsken (Ludus 4; Amsterdam: Rodopi, 1999) 43\u201388 at 52\u20133. This discusses the appearance and role of the wild man in the Nuremberg Schembartlauf: see chapter 6 on 'Disguisings' 146.\n\n159 Kinser 'Why is Carnival so Wild?' 58, 61, 65\u20136. Inside-out clothing is a common folk-masking feature: see chapter 4 on 'Mumming' 86.\n\n160 Glotz _Le Masque dans la tradition europ\u00e9enne_ 55 (plate 16), 62 (Germany), 178 (plate 79: Hungary).\n\n161 For some extraordinary photographs, see Alexander Orloff _Carnival: Myth and Cult_ (W\u00f6rgl: Perlinger, 1981) plates 56\u20138 (Telfs, Tyrol; Basel); also Glotz _Le Masque_ 279.\n\n162 Kinser 'Why is Carnival so Wild?' 56.\n\n163 Frau Perchte was one of the many supernatural creatures of folk superstition: Bernheimer _Wild Men_ 79, L\u00e9opold Schmidt 'Masques et coutumes de masques en Autriche' in Glotz _Le Masque_ 74\u201389 at 74\u201381; Moser _Fastnacht_ 24\u20135, 205\u20139.\n\n164 Arnold van Gennep _Manuel de folklore fran\u00e7ais contemporain_ 4 vols (Paris: Picard, 1937\u201358) 1,3: 908\u201316; Moser _Fastnacht_ 137\u201345.\n\n165 1559: in the Kunsthistorisches Museum, Vienna. The scene is often called, and may more properly be, 'The Play of Valentine and Orson'. Orson is a wild-man figure. His name, 'Little Bear', ostensibly alludes to the fact that he was brought up by a bear in the forest. In the story, he is captured, not killed.\n\n166 Giovanni Boccaccio _Decameron_ edited Enrico Bianchi (La letteratura italiana: storia e testi 8; Milan and Naples: Ricciardi, 1952) 293\u2013302: Day 4, Novella 2. See Ferdinando Neri 'La maschera del Selvaggio' _Giornale storico della letteratura italiana 59_ (1912) 47\u201368; Giorgio Padoan 'Sulla novella veneziana del _Decameron_ ' in _Boccaccio, Venezia e il Veneto_ edited Vittore Branca and Giorgio Padoan (Florence: Olschki, 1979) 17\u201346.\n\n167 For the wild man's untamed sexuality, see Bernheimer _Wild Men_ chapter 5.\n\n168 Despite the frequently repeated assumption that this is set in Carnival, Boccaccio mentions no actual date, and it is clear from the story that the _caccia_ to which he refers was not in fact scheduled to take place on that day, as the boar does not turn up. The real _caccia_ took place on _Gioved\u00ec grasso_ ('Fat Thursday'): Padoan 'Novella veneziana del _Decameron_ ' 29 note 5. Whether the 'fiesta' was also a fiction, and Frate Alberto should have recognised that he was to be the only quarry, is not clear.\n\n169 See chapters 6 and 3, on 'Disguisings', especially 146, and 'Carnival'.\n\n170 Robert Withington _English Pageantry: An Historical Outline_ 2 vols (Cambridge, Mass.: Harvard University Press, 1918\u201320) 1: 72\u20137.\n\n171 _REED: Shropshire_ edited J.A.B. Somerset, 2 vols (University of Toronto Press, 1994) 1:74. The _REED_ translation mistakenly interprets _monstra larvarum_ as 'the likenesses of ghosts', which gives the whole affair a more Hallowe'en cast than was intended: 2: 551.\n\n172 Burchard _PL_ 140: 964; said by Prynne to be from the Council of Arles (524): _Histriomastix_ 578\u20139. Mirk put it more succinctly in his fourteenth-century penitential: 'Art \u00feow I-wont at lychwake Any pleyes for to make?' ('Are you accustomed to play games at lykewakes?'): Myrc _Instructions for Parish Priests_ 42, lines 1353\u20134.\n\n173 Burchard _Decretorum libri_ XX lib. 2 cap. 161, in PL 140: 652:... _quando ad anniversarium diem, XXX aut VII vel III, alicujus defuncti, aut quacumque vocatione ad collectam presbyteri convenerint_ ('when they assemble for a meeting of the presbytery at the commemoration, trental, seventh, or third, of any deceased person, or at any summons whatsoever').\n\n174 _Tornatrix_ 'a female who rotates': possibly a dancer?\n\n175 In Old French of the thirteenth century onwards, _talemache_ means 'pouch' or 'mask' and _talemaschier_ 'to stain or dirty': see Fr\u00e9d\u00e9ric Godefroy _Dictionnaire de l'ancienne langue fran\u00e7aise_ (Paris: Champion, 1880\u20131902). See chapter 13 on 'Terminology' 342 note 92.\n\n176 Hincmar, Archbishop of Rheims _Capitula synodica 1 (data anno 852) PL_ 125: 776. The chapter (no. 14) is entitled _Quomodo in conviviis defunctorum aliarumve collectarum gerere se debeat_. It also appears in the _Decretales Gregorii Papae IX_ , col. 207.\nChapter 3\n\nCarnival\n\nChristianos certis diebus bacchari et furere, donec genere quodam cineris in Templo respersi, redirent ad se, et convalescerunt.\n\nFor several days the Christians rave and go crazy, until sprinkled with some kind of ash in the Temple they come to themselves and recover.\n\n(Observation on Carnival attributed variously to the envoys of Prester John and Suleiman II)1\n\nCarnival, throughout most of Europe, was the most striking and spectacular of the late-medieval masking traditions. Yet masking was only one element in a winter playtime that spread right across countries and classes, sometimes for weeks at a time. In the medieval Christian calendar it was the festival to celebrate and bid farewell to plenty immediately before the privations of Lent. But the accepted carnival period frequently spread backwards from the climax of the _jours gras_ , the Sunday, Monday, and Tuesday before Ash Wednesday. The earliest date on which Shrove Tuesday can fall is 3 February, the day after Candlemas, which marked the end of winter and, as the final festival of the childhood of Christ, seems also to have closed the Christmas festivities.2 The temptation to merge with the Twelve Days of Christmas and New Year celebrations proved strong, at least in Mediterranean countries. By the end of the sixteenth century we are told of 'the tyme of Carnavall from Christmas feast to Ashwensday'3 \u2013 the entire period between the two major fasts of Advent and Lent.\n\nLate-medieval Carnival was thus not the warm midsummer festivity we now associate with Rio de Janeiro or Notting Hill.4 Its play is a sometimes fevered response to the season of short days, long darkness, cold, and, for many, enforced inactivity. Perhaps this, as much as the Christian prospect of Lenten privation, contributed to the association of Carnival with licence. The quotation opening this chapter, an anecdote often repeated by both attackers and defenders of the festival, spells out the perceived correlation of Carnival with madness. Not only uncomprehending foreigners, but local commentators constantly associate Carnival with _insanire, furire, bacchari_ ('going mad, raging, raving').5\n\nIt seems to have been recognised as a time for escape, for letting go the restraints of rationality, social hierarchy, and self-control. Its games include excessive eating (especially pancakes and sausages: greasy calorie-packed 'fast food'); playful or comic aggression and competition in races, football games, cockfights, egg-, snowball-, and orange-battles; alternative power-structures, with mock kings, _reynages_ , and Lords of Misrule; and liberation of the imagination in fantastic spectacles and exotic masquerades, as well as more informal free play.6 Some of these are in the Kalends tradition; some are a direct response to the chill of winter and the need to release pent-up energy.\n\nGiven such a complex and multi-faceted phenomenon, it is dangerous to oversimplify any of its meanings. Carnival is not just liberation and anarchy; it is clear that a lot of carnival play was quite tightly structured. Apart from the highly organised public spectacles seen in many places, even informal festivity tended closely to follow traditional local custom. You did not do just anything, but joined in conventionalised and agreed forms of liberation. Along with its other paradoxes Carnival always seems to show this mixture, at times a tension, between licence and control, spontaneity and structure.7\n\nIn many countries, at many times, many of these different activities took place in masks. Judging from the records, carnival masking seems to be an extension of the popular mumming house-visit, the \u00e9lite masked ball,8 and possibly the seasonal disguising as animals or wild men we saw in the previous chapter. At one fairly obvious level, it forms part of the general liberation. A mask can give freedom to be other than yourself, to do and be things which your community, and you yourself, would not normally expect or tolerate.\n\nEarlier historians over-enthusiastically saw Carnival as a tradition which went back time out of mind, a genuinely popular outpouring of exuberance, even a direct descendant of the pagan Kalends.9 But much of the evidence for this evaporates on examination. The name itself, in its Latin forms of _camelevale, carnelevarium_ , is recorded from the twelfth century, but in context means only 'the Sunday before Lent', or later, 'Shrove Tuesday'.10 Its antiquity has been argued by quoting the condemnations of Kalends masking by Caesarius and his fellow bishops, or the decretals against the Feast of Fools: both at that stage connected with New Year, not the run-up to Lent. Other historians seized on early evidence of particular calendar customs, such as the castle-smashing or the _caccia_ in Venice,11 or the _schoduvel_ ('frightening devil') in Germany, and assume that this implies the existence of the full blown Carnival in which they are later embedded.\n\nThe evidence needs reviewing thoroughly: but it is possible that Carnival as we think of it was largely an urban fifteenth-century invention, promoted by the local \u00e9lite, whether aristocratic, mercantile, or guild, or in the case of Rome, ecclesiastical, who took the lead in providing entertainments and shows in which the _popolani_ were invited to act either as audience or as participants. This regularised and licensed activities like mumming or the savage street battles beloved of the Venetians and Florentines,12 and absorbed the more official pre-existing calendar customs. The exact nature of the proceedings would depend on the social structures, and relative prosperity, of each town. And it was, to begin with, a Southern European phenomenon.\n\nThis might explain why Carnival as such never reached England. Although many of the popular activities subsumed under Carnival \u2013 mock kings and masked house-visits, football games and feastings \u2013 can be found here and there through the island from Christmas celebrations up to Shrove Tuesday, there is very little sign of that climax of communal, masked street festivity around the few days preceding Ash Wednesday that was so characteristic of mainland Europe. Carnival as a distinct and separate phenomenon does not seem to have crossed the Channel.\n\nSince this is so, why are we devoting a chapter to it? Partly because it demonstrates various aspects of masks and masking behaviour in their most intense form. We can extrapolate, with caution, when we try to assess parallel English customs. By the sixteenth century, too, authors and playwrights in England were aware of its existence, and some of its customs did percolate through to this country. Also at that time, we find an unusually rich vein of contemporary comment, from sophisticated and self-conscious analysis by Italian writers like Tasso and Castiglione, to rather more naive observations by tourists like Sastrow and the brothers Platter.\n\nMedieval and early-modern Carnival has recently attracted a widely influential body of comment and discussion. This has frequently moved beyond the activity itself to generate conceptual frameworks for use elsewhere in literary, political, or sociological interpretation: not so much Carnival as the carnivalesque.13 We cannot help reacting to this theoretical analysis. Our main purpose, however, is not to contribute to the ongoing debate, but to look at the role of masks and masking in the festival itself.\n\nCarnival in Southern Europe\n\nMedieval Carnival may have originated in Italy. Certainly in the late Middle Ages, Italy was the Carnival King of Europe, where carnival customs seem most widespread, flamboyant, and developed. These were widely shared by Spain and southern France, and it is from these areas that we can draw some broader conclusions about the masking traditions of late-medieval Carnival.\n\nEven for contemporary observers, the meaning of Italian Carnival clearly depended on point of view. A Protestant English traveller to Rome in the later sixteenth century, plainly unaccustomed to such festivity, dismissed it as no more than:\n\n... a very great coyle, which they use to call the _Carnevale_... so great is the noyse and hurlie burlie... it is unpossible for me to tell all the knaverie used about this.14\n\nTorquato Tasso, on the other hand, a sophisticated Italian participant, writes at the same moment of Carnival in Ferrara:\n\n... e mi parve che tutta la citt\u00e0 fosse una maravigliosa e non pi\u00f9 veduta scena dipinta, e luminosa e piena di mille forme e di mille apparenze, e l'azioni di quel tempo simili a quelle che son rappresentate ne' teatri con varie lingue e con vari interlocutori.15\n\n... and it seemed to me that the whole city had become a wonderful and unique painted scene, radiant and full of a thousand forms and a thousand appearances, and what was being done at the time was like what is represented in a theatre, with different voices and different characters.\n\nLate as they are, these comments illustrate vividly the difficulty for us of pinning down the experience of late-medieval Carnival. Even at the time it might seem either chaos, or paradisial illusion; though both observers perhaps agree on the sensation of being in a heightened world different from everyday normality.\n\nThe time this world occupied was both elastic and specific. Although peaking in the few days preceding Ash Wednesday, it might in different cities start at any time from 1 January onwards. Carnival time was sometimes formally decreed: in fifteenth-century Ferrara the start of the masking season was personally licensed by the Duke. Public masking at other times of year was a criminal offence.16 Rome imposed a curfew, banning street masking after 2 a.m. in the carnival time.17\n\nPlace was similarly significant but imprecise. The evidence from Italy and Spain suggests that Carnival was chiefly an urban, rather than a rural festival. Its games and maskings seem to belong to communities which are large, mixed, and crowded enough to make the freedom of masked anonymity (or quasi-anonymity) important, and the chance of both group activity and random anonymous encounters important. Carnival games belonged not only to cities but largely to the streets. There were certainly domestic celebrations, especially in the courts and large houses: masked balls, plays, and feasts.18 But masking through the streets, often in the dark, in bad weather, among crowds of known and unknown others, is one of the most powerful motifs of European late-medieval Carnival.\n\nMasking Activities\n\nMasking activity should be seen in the context of a whole range of carnival play. _Ad hoc_ participatory fun was combined with organised games and shows, masked and unmasked, initiated and arranged by the authorities. Rome enjoyed a series of races run through the city streets on consecutive days by Jews, old men, young men, boys, asses, buffaloes, horses, and mares. Venice presented a public hunt and slaughter of bulls and pigs in the Piazzetta, where the Senators smashed a series of miniature wooden castles. Florence was renowned for elaborate and spectacular cavalcades, thematic allegorical processions, and songs.19\n\nIt is hard at this distance to judge whether any of these shows offered what is now thought of as a 'carnivalesque' mix of official spectacle with its popular or grotesque inversion. The Roman races, for example, mingle contests between young men or horses with potentially parodic versions by Jews or old men. In the 1580s the English visitor Munday sees the Jews as parodic victims, harassed and goaded as they ran,20 but earlier local records of the races perceive no such overt discrimination. According to John Burchard, papal master of ceremonies 1483\u20131506, the Pope himself displayed the prizes for the various races with equal ceremony.21 The butchery and castle-smashing of Venice might equally seem to present the ludicrous comic violence often associated with Carnival; yet contemporary accounts are ambivalent, sometimes presenting the ceremonies as serious historical pageants, at other times as undignified and unworthy concessions to popular taste.22 There is scope, but no firm support, for twentieth-century ideas of the 'carnivalesque'.\n\nAlongside the civic displays came the informal carnival celebration of the city people. Most frequently this took the form of masking through the streets, singly or in groups, on foot or horseback, often until late in the night. Another common motif was the throwing of snowballs or eggs. Eggs, sometimes filled with perfumed waters, were often thrown at the watching women, especially courtesans, in the upper windows.23 They retaliated with eggs and less delightful things: repeated edicts prohibit the throwing of rubbish, dead cats, and other _scorzezze_ ('nastinesses') from the windows.24 Full-scale battles with eggs, snowballs, or oranges might take place in the piazze. One famous egg fight in Ferrara in 1478, in which Duke Ercole himself took part, lasted for an hour _e tuti quelli se ritrov\u00f2no in Piaza, forno caregi de ove rotte_ ('and all who found themselves in the Piazza contested with rotten eggs').25 Such informal play was probably the major business of Carnival, although the civic and organised shows are inevitably better recorded.\n\nCarnival Masks\n\nMasking seems to have been frequent in official spectacle and central to the informal games. But what kinds of face-coverings were these? Where organised shows involved masks it was most often in the form of masked processions, usually made up of thematic groups. Carnival songs from Florence present groups as diverse as Amazons and Venetian fishermen, Magnificos, wet nurses, and wildmen. We hear of similar, though more informal groups in Avignon and Marseilles.26 Burchard in Rome in 1502 describes a parade of:\n\n... triginta mascherati habentos nasos longos et grossos in formam priaporum sive membrorum virilium in magna quantitate.27\n\n... thirty maskers with great long noses like priapuses or penises of an enormous size.\n\nThe startlingly successful carnival floats Piero di Cosimo designed for Florence also featured such thematic and fantastic masks. The Triumph of Death in 1511 involved:\n\nPLATE 2: Schembart carnival maskers throwing eggs at female spectators. _Schembartbuch:_ Nuremberg, Hans Ammon [? 1640]. Oxford: Bodleian Library, MS Douce 364 fol. 183r.\n\n\u00a9 Reproduced by permission of the Bodleian Library, University of Oxford.\n\n... maschere che pigliavano col teschio di morto il dinanzi e 'l dirieto e parimente la gola, oltra al parere cosa naturalissima, era orribile espaventosa a vedere.28\n\n... masks painted behind and before like skulls, including the throat, most realistic but a horrid and terrifying sight.\n\nAn element of wonder, of fantastic artistry, was often important, then, in organised maskings. What of the masks worn by individuals in the more impromptu street-festivity? If the sole purpose were anonymity, then a bag over the head would have sufficed. Yet it is clear that many masks were made and designed with great care, elaborate and often delicately characterised. Particular centres developed for mask-making, in Modena, Ferrara, and Bologna, and the mask became an art-form evoking wonder and artistic glamour.29 In 1498 Cardinal d'Este at Milan requested 400 masks from Ferrara, while the Ferrarese ambassador presented another 200 to honour the marriage of Mary, Queen of Scots to the French Dauphin in 1558.30\n\nApart from character and type masks, grotesque and beautiful faces, and devils, there were birds and animals. A sixteenth-century mask-makers' carnival song refers, among others, to owls and crows.31 The very fantasy and randomness of these carnival masks tends to undermine any idea of deliberate impersonation. More important, it seems, was to cease to be yourself, so that the mask let you behave in different ways, rather than imposing its own character upon you. There seems little evidence of masqueraders celebrating wholly 'in character'.\n\nCarnival Maskers\n\nThe large numbers of masks bought and sold confirm the communal quality of carnival masking. This was not a tradition in which a few maskers are observed by a larger number of unmasked faces. Munday reports that, 'During this time, every one weareth a disguised visor on his face, so that no one knowes what or whence they be'.32 The Florentine mask-makers' song claims that _quasi ognun se le mette_ ('almost everyone puts them on'). The prologue to a carnival comedy tells the audience that at carnival time _la_ \/ _Maggior parte degli uomini, e fors'anco \/ Delle donne_ , o e'vanno, o _e'desiderano_ \/... _di andare attorno in maschera_ ('Most men and perhaps also women, either are going or want to go around in masks').33 While it seems unlikely that _everyone_ masked, the participation of diverse elements of the community probably contributed significantly to the experience of Carnival.\n\nIt is clear, for example, that carnival masking did not belong solely, or even chiefly, either to the _popolani_ or to the aristocracy or authorities. Either end of the spectrum might at times dominate or appropriate it. Young aristocrats sponsored the carnival shows in Florence, and Duke Ercole masked with flamboyant enthusiasm at Ferrara; yet public order regulations and the comic stories of popular masking in Rome and Venice suggest that masking was equally an important and expressive province of ordinary citizens. The notion of separate and opposing cultures, \u00e9lite versus popular, is not borne out by the evidence. Rather, as Gurevich and others have suggested, we find an interaction, at times a deliberate blurring of social categories, even if it is one in which \u00e9lite groups had more freedom of cultural movement than ordinary people.34\n\nThe relations between the authorities \u2013 princes, senators, governors \u2013 and the _popolani_ over masking may cast some light on the wider purposes of Carnival. Structured public activities were, predictably, generally organised by those in charge. In Venice, the Doge and Senators financed the animal fights and participated in the castle-smashing; in Rome the Pope presented the prizes for the carnival races: but ordinary citizens were frequently involved, as competitors in the Roman races or processing as trade bands in Florence. More striking, perhaps, is the energy with which the authorities joined in the informal masking games. The most notorious is probably Duke Ercole in Ferrara, the moving spirit in street masking, erotic encounters, and egg-fights. Burchard's phallic maskers _ostenderunt se pape qui erat in fenestra supra portam_ ('showed themselves to the Pope who was at the window over the gate'), and the Cardinals not only watched but masked themselves:\n\nHis diebus, ut vulgo dicebatur, cardinales Sancti Georgii, Parmensis, Columna et Ascanius pluries equitarunt larvati, aliquando omnes simul, aliquando alius cum alio.35\n\nIn these days, as was commonly reported, the Cardinals of St George, Parma, Colonna, and Ascanio rode several times masked, sometimes all together, and sometimes in pairs.\n\nA more hostile sixteenth-century English account claimed that the Cardinals' 'ordinarie pastime is to disguise them selfes, to go laugh at the Courtisanes houses, and in the shrovyng tyme, to ryde maskyng about with theym'.36 Clearly, social, political, and clerical \u00e9lites participated freely in popular activity.\n\nBut it was also seen as their job to control it. Carnival was not, or not only, the unregulated spontaneous activity sometimes assumed.37 One might think that the occasional attempts to regulate or ban masking confirm the polarisation of official and unofficial culture proposed by some theories of Carnival. Yet if that tension is there, it is not the whole explanation. Except in some very specific circumstances of violent crime or existing unrest, the authorities show little desire to prevent, or even much restrict, the activities of carnival masking. Most regulations seem more permissive than restrictive, and generally show the rulers engaging with carnival masking rather than distancing themselves from it.38\n\nThere were certain regulations. In Rome repeated edicts laid down that no-one was to mask as a cardinal, bishop or priest, or to go masked into churches; no one was to throw anything rotten or nasty; no-one was to carry arms, offensive or defensive; masking in the streets must cease after 2 a.m.39 None of these edicts seem necessarily designed to curb the central play of Carnival. The ecclesiastical prohibitions could be seen as censorship, but equally suggest an attempt to allow Carnival and the Church to coexist. The time restriction seems designed to permit masking while allowing the city to continue operating as a social and commercial unit.\n\nThe ban on arms could be interpreted as neutralising any attempt to use Carnival as a means of popular or factional uprising. But it is equally likely to be directed at random street violence, and the use of carnival disguise to carry out private vendettas and revenge. These were recognised dangers of carnival time when large bands of excited and disguised citizens were wandering the streets in the dark. There are plenty of records of assaults, robberies, and blood-feud attacks during the Carnival.40 But such assaults seem to work against, rather than with the generally communal purposes of carnival masking. In them the masker remains himself under his mask, pursuing private ends against another individual, rather than joining the anonymised release of the group. Group violence by classes and factions might be thought a more genuinely significant problem, but on the whole in Italy this seems not to have occurred.41\n\nIn France, carnival activity was frequently organised by temporary 'kings' appointed for the season and it may be that this overt pattern of parodic power-structures contributed to the occasional apparent appropriation of Carnival in France to attempt real political change.42 The best documented case studied in recent years is the Carnival at Romans in 1580. The pre-Lenten festivities of this year did indeed become the occasion for an armed uprising. From a distance this revolt of the 'Leaguers' (largely peasant and bourgeois) against the heavy and arbitrary tax system looks like a perfect example of the use of Carnival's dissolving of social structures and power systems to effect real rather than symbolic change.43 But, as we might expect, the situation was less simple than this implies. Various long-standing factions made combative use of the Carnival, electing competing Carnival Kings, and armed action broke out when a masked ball held by one set of kings was attacked by masked followers of another. This violence between carnival maskers involved all sides, not just the 'popular' or 'powerless' against the authorities, or the Carnival against the non-Carnival world. Of course the episode depends upon the nature of Carnival: practically, a time of excitement and confusion when large groups of people are wandering about masked at night and normal restraint is partly lifted; more conceptually, a time of alternative, if playful, power-structures, when it is acceptable for people to partly abandon their normal identity and express comic aggression. But these conditions could be used for many different ends \u2013 sometimes stabilising and conservative, sometimes self-regulating or genially communal, sometimes aggressive and revolutionary.\n\nAt almost the same moment, in fact, there was an attempt by the other end of the social scale to appropriate carnival masking for its own ends. In the early 1580s the king, Henry of Navarre, is regularly recorded as rioting masked through the streets of Paris with his companions around Shrove Tuesday. In 1584 the King and his brother:\n\n... went together through the streets of Paris, followed by all their favourites and _mignons_ , mounted and masked, disguised as merchants, priests, lawyers etc, tearing about with a loose rein, knocking down people or beating them with sticks, especially others who were masked. This was because on this day the King wished it to be a royal privilege to go about masked.44\n\nThe \u00e9lite felt an equal need to use the occasion of Carnival to express their own tensions.\n\nThere are other opposing categories. Was carnival masking equally for rich and poor, old and young, men and women? If riches were not a prerequisite, they certainly could contribute to the display of carnival masking. Not only the masks themselves, but the costumes that went with them became increasingly exotic and flamboyant, a means for wealth to express and celebrate itself. Yet carnival masking was by no means confined to the rich. One commentator even claims that the carnival mask is liberating precisely because _coprela povert\u00e0 di quelli, che sono malvestiti_ ('it hides the poverty of those who are badly dressed').45 It offers an easy way to escape from poverty, as well as to flaunt riches.\n\nThe polarisation of old and young seems clearer. Carnival was seen as especially the territory of the young. In Ferrara masking was inaugurated _per piacere i zoventude_ ('to please the young people'), and one of the reasons given by Tasso for older people not masking is that what pleases youth is intolerable to age.46 Many of Burchard's cardinals were no more than teenagers, which immediately modifies our sense of their status and what they were doing. This is not to say that older people did not mask, only that it was held to be particularly the province of the young, who perhaps needed more outlet from normal restraint for their wild energies than did their elders.47\n\nIt is harder to be clear about attitudes towards the participation of women. It is plain that both sexes did mask: pictures of carnival festivity, Cecchi's references to men and women, the mask-makers' song, and comments from foreign observers in Italian and Spanish cities all confirm that women took part. But often they take a secondary role. Descriptions of carnival festivity imply that it was the young men who dominated: the eggs and perfumes thrown at the women watching at the windows show them in their more traditional role as spectators, at least of the street masking. The ambiguity is compounded by the common carnival\/Kalends disguise of cross-dressing. Young men seem frequently to have disguised as women, an easy and striking way to escape, or pretend to escape, from their usual social roles and expectations and play with the identity of another gender.48 Prostitutes, on the other hand, are recorded as plying in men's clothes;49 but it is not clear quite how far this was an acceptably liberating disguise for other women.50 Shakespeare plainly thinks so: Jessica escapes from Shylock's house disguised as a boy torchbearer in a Venetian masquerade, and the same motif is prominent in Italian comedies.51 While this may tell us more of the illusions of theatre than of actual practice, cross-dressing by both men and women clearly contributed to the delightful instability of the carnival ambience.52\n\nMotivations of Masking\n\nWith the city streets apparently full of maskers, how far can we tell why they masked? Various reasons were offered at the time, and have been later, to try to explain this temporary madness, though the very plethora of motivations suggested testify to the elusive multivalency of Carnival. Like all cultural phenomena of the time, Carnival could mean different things to different social groups.53\n\nThe young nobles of Florence apparently wished to control and refine the pre-existing popular sports into something more consonant with their own \u00e9lite culture. They admired the elaborately masked carnival floats of Piero di Cosimo, who, Vasari says, was valued for his _capriccioso e di stravagante invenzione_ ('witty and extravagant invention') and his improvements _d'ornamento e di grandezze e pompa_ ('in ornament, grandeur, and pomp').54 Their view of the purpose of the masking thus combined cultural display and \u00e9lite magnificence with 'witty extravagance', an elegant version of the excess proper to Carnival. Duke Ercole of Ferrara, more personally, went masquerading each year _cerchando la sua ventura_ , literally 'seeking his fortune' in lavish New-Year's gifts,55 but also, presumably, implying that as a masker he cast himself out from normality onto the sea of chance.\n\nThese motivations are clearly class-specific. How far can we determine those of ordinary carnival maskers? In broad terms Carnival could be explained as a purgative release \u2013 a chance to have a good time, which would get rid of tensions, unleash fantasies, and generally provide a festive regeneration.56 As Cecchi reminded his Renaissance audience, carnival masking would let them _disfogare i cappricci_ ('release their fantasies'); it was _Il remedio e l'antidoto ordinato \/ Per purgare i cervelli_ ('the remedy and antidote prescribed to purge the brains').57 The primary function of the mask, to disguise, suggests that the sense of release from normal identity was central to Carnival. A late commentator on Garzoni, an opponent of carnival masking, offers four revealing benefits that the visor might bring:\n\n... rende la persona audace, per non esser conosciuta, coprela povert\u00e0 di quelli, che sono malvestiti, insegna di parlare a quelli, cho sono vergognosi, & dona la libert\u00e0 alle persone di gravit\u00e0, & di rispetto.58\n\n... it makes one bold, because his person is not known; it hides the poverty of those who are badly dressed; it teaches the shamefaced to speak, and it gives freedom to personages of gravity and respect.\n\nAll these are based on ideas of liberation from one's self or social position: the masker is freed from the constraints of community, poverty, shyness, or rank, and given the courage of anonymity.\n\nThe extremes of fantasy in Italian carnival costumes \u2013 the wild men, the exotic foreigners, the devils, the grotesque phallic noses \u2013 must also have been liberating. They could involve direct inversion, as men dress as women, nobles as peasants, young men as old: but this inversion does not seem to have been formalised into the socio-political role-reversal of the Roman Saturnalia. Equally, the masks express little focused satire or criticism of any authority or group.59 More probably the point was simply to move as far as possible from one's normal self, for the pleasure of the contrast, and the sake of feeling oneself new.\n\nSome contemporary commentators suggest, though, that this principle of difference may be yet further qualified. Castiglione's _Cortegiano_ (1528) observes that while contrast was important so, at least for the \u00e9lite, was the continuing presence of the masker's original identity:\n\n... lo esser travestito porta seco una certa liberta e licenzia... il che accresce molto la grazia: come saria vestirsi un giovane da vecchio, ben per\u00f2 con abito disciolto, per potersi mostrare nella gagliardia; un cavaliero in forma di pastor selvatico o altro tale abito, ma con perfetto cavallo, e leggiadramente acconcio secondo quella intenzione... Per\u00f2 ad un principe in tai giochi e spettaculi, ove intervenga fizione di falsi visaggi, non si converria il voler mantener la persona del principe proprio, perch\u00e9 quel piacere che dalla novit\u00e0 viene ai spettatori mancheria in gran parte, ch\u00e9 ad alcuno non \u00e9 novo che il principe sia il principe.60\n\n... to be in a maske bringeth with it a certaine libertie and lycence... which augmenteth the grace of the thing, as it were to disguise a yong man in an olde mans attier, but so that his garments be not a hindrance to him to shew his nimblenesse of person. And a man at armes in forme of a wilde shepeheard, or some other such kinde of disguising, but with an excellent horse and well trimmed for the purpose... Therefore it were not meete in such pastimes and open shewes, where they take up counterfeiting of false visages, a prince should take upon him to be like a prince in deede, because in so doing, the pleasure that the lookers on receive at the noveltie of the matter shoulde want a great deale, for it is no noveltie at all to any man for a prince to bee a prince.'61\n\nCastiglione emphasises the importance of the distance between real and assumed identity; yet he also asserts that much of the pleasure lies in the overt interplay between the two. Release and anonymity are important, but should remain to some extent symbolic rather than complete. Earlier in the discussion, he suggests that the _token_ of anonymity provided by the mask is more significant than actual disguise. So behaviour which is unacceptable at normal times may be appropriate, _fuorch\u00e9 travestito, e, bench\u00e9 fosse di modo che ciascun lo conoscesse_ , non _d\u00e0 noia_ ('if he is disguised: and and even if this were in such a way that everyone recognised him, it would not be a problem' or possibly 'give offence').62 The importance of carnival masking, Castiglione suggests, is that it is, and is acknowledged to be, a game. That is its pleasure and its purpose. Yet that is also what allows the person of authority to condone and partake in it. His remarks are specifically directed at the 'Courtier', and ordinary late-medieval Italian carnival maskers may not have shared his sophisticated concerns. But the interplay of self and other must also at some level have been an important element in their masking.\n\nThe behaviour of the maskers is also revealing. Stories about Carnival suggest that one important feature was rough practical joking and horseplay. The wild missile fights seem an almost institutionalised motif. A sixteenth-century visitor to Marseilles observed:\n\n... sahe ich die knaben von der statt einander mitt pomerantzen, wie be uns sie mitt scneeballen thundt, werffen; es sinndt auch die f\u00fcr\u00fcbergehende nitt sicher, dann umb dieselbige zeitt die pomerantzen gar gelb, lindt unndt anheben zu schanden zewerden, also dass man sie schier umbsonst weg gibt, weil ganze schiff vol daselbsten ankommen; werden j\u00e4hrlich in der fassnacht viel tausendt von den knaben verworffen.63\n\n... I saw a great many good-for-nothing fellows... throwing oranges, just as we throw snowballs. Even the passers-by were not safe from them, for at this time of year entire cargoes of this fruit come in, and as they become over-ripe they are sold ridiculously cheap. At every Carnival thousands of them are used in this manner.64\n\nCarnival itself was partly defined as contest and mock violence, as the Europe-wide visual and literary theme of 'The Battle of Carnival against Lent' confirms.65 Although violence is nominally playful, with battles of eggs and oranges, pig-slaughter and castle-smashing, Carnival also becomes a natural context for the ad hoc enaction of comic aggression and revenge.\n\nA Roman carnival story from Castiglione's _Cortegiano_ illustrates this. The Cardinal of San Pietro in Vincolo watches from an upper window while Bernardo (later himself Cardinal) Bibbiena66 indulges his habitual pleasure _quando son maschera, di burlar frati_ ('whan I am in maskerie to play Meerie Pranckes with friers'). Having tricked a friar onto his horse, he spurs it into a wild career:\n\nImaginate or voi che bella vista facea un frate in groppa di una maschera, col volare del mantello e scuotere il capo innanzi e 'ndietro, che sempre parea che andasse per cadere. Con questo bel spettaculo cominciarono que' signori a tirarci ova dalle finestre... di modo che non con maggior impeto cadde dal cielo mai la grandine come da quelle finestre cadeano l'ova, le quali per la maggior parte sopradi me venivano; ed io per esser maschera non mi curava, e pareami che quelle risa fossero tutte per lo frate e non per me.67\n\nImagine with your selves now what a faire sight it was to beholde a Frier on horsebacke behind a masker, his garments flying abroad and his head shaking too and fro, that a man would have thought he had been alwaies falling. With this faire sight, the gentlemen began to hurle egges out at the windowes... so that the haile never fell with a more violence from the skye, than there fell egges out from the windowes, which for the most part came all upon me. And I for that I was in maskerie, passed not upon the matter, and thought verily that all the laughing had beene for the Frier and not for me.68\n\nBernardo finally realises that the 'friar' is a disguised groom of the Cardinal's, set up to trick and discomfit him. The ambivalence of the Church towards masking games is neatly encapsulated. Clerics were forbidden to mask, and maskers forbidden to disguise as clerics: yet the Cardinal cheerfully and publicly sanctions the playful breach and exploitation of both regulations. The story illustrates a web of trickery and comic aggression between friends, acquaintances, and strangers that seems wholly natural to Carnival.\n\nMasks are likely to have made an important contribution to the licence for such relatively 'harmless' and comic aggression. For the aggressor the mask conveys anonymity (either real or symbolic) which nominally releases him from normal guilt or responsibility. It would be unacceptable for Bibbiena to play such tricks on friars in his own unmasked person. The stories also suggest the effect of masking on the object of aggression. The strangeness of carnival attire tends to distance and dehumanise the wearer, allowing aggressors freer rein, and again removing the normal sense of responsibility.69 Whether the disguise is truly impenetrable or merely symbolic, the mask seems to signal a (potentially dangerous) freedom from normal restraint between individuals.\n\nPLATE 3: Carnival maskers serenading; in the background, a fight. Crispijn van de Passe _Nieuwen Ieucht-Spieghel_ [?1620] 65. Amsterdam: Rijksmuseum, Fr. 1354\u20139.\n\n\u00a9 Reproduced by permission of the Rijksmuseum, Amsterdam.\n\nYet if such licence for mock aggression is one meaning of the carnival mask, it also seems, paradoxically, to strengthen the communal feeling and intimacy between maskers. This is manifested partly in the sexual licence for which Carnival, in fact or in legend, was famous: 'II est au carnaval ou chacun fait l'amour'.70 The phallic maskers described by Burchard are not at all unusual: many carnival disguises were erotic, as the cross-dressing, and much noted participation of the courtesans shows. The egg-throwing to and from the women at the windows is an amorous game. According to Thomas Platter, in the Spanish carnival masking offered a specifically sexual licence, especially for those normally kept in restraint:\n\nDa sahen wier ein mascaraden... eine anderst die andere vermummet. Unndt obschon dass frauwenzimmer dass gantze jahr durchauss gar str\u00e4flich eng unndt eingezogen gehalten wirdt, also dass sie schier gar nitt d\u00f6rfen mitt frembden m\u00e4nneren oder knaben sprach halten, also eyferig sindt sie... so sindt sie doch die gantze fassnacht von solchem allem gefreyet, d\u00f6rfen mitt ihren gespilen unndt bekannten vermummet herumb laufen, wie ich dann der weiberen viel gesehen also vermummet; da gibt es dann viel (cocus) gauchen, obschon der fr\u00fcling noch nitt vorhanden. Und miessen die mannen solches ihren weiberen, oft wider ihren willen, lassen passieren, weil sie es von alter also h\u00e4rgebrocht haben.71\n\nWe saw numerous masked people... with every kind of costume imaginable. The women too take their part. Throughout the year they are so severely restricted that they are not allowed to talk to strangers... But at carnival time there are no such shackles and hindrances. They put on masks and run the streets in complete freedom with their friends and acquaintances. So for more than one husband, the cuckoo sings before spring comes. No matter, at such times they are no longer the masters and must confirm to common usage.72\n\nNormal sexual hierarchies are subverted, not by anarchy or radical reform, but by the 'common usage' of inversion.\n\nThere are frequent riotous, if mythical, stories of husbands and wives in masks unwittingly committing passionate 'adultery' with each other. One pertinent German example tells of a married couple who, both masked, meet unwittingly at carnival time and 'indulged their sudden fancy on their way in the penumbra of a cloth-worker's shop in the market place, and never did the hallowed joys of matrimony taste like the forbidden fruit of infidelity'. The husband, wishing to discover his partner's identity, cut a piece from her dress and the next morning all came out. 'Denial was impossible, but the one happened to be as guilty as the other'.73 The tale, fact or fiction, demonstrates what was clearly agreed to be an effect of carnival masking: by heightening excitement and suspending identity, sexual desire could be more freely and intensely fulfilled without the trammels of familiarity, responsibility, or consequence.\n\nBut it is the power of group, rather than individual bonding which the masks seemed particularly to enhance. Carnival was the chief occasion for masking in gangs, rather than separately; one of its most powerful functions was to subdue the sense of individual separateness in favour of anonymous but communal bonds. The mask, after all, is _par excellence_ a public, not a private face. To mask together implies trust, and acceptance of one's fellow maskers. The mask subdues the factors that separate individuals, whether they are personal, social, or circumstantial, allowing the sense of group identity to ride uppermost.74\n\nThe identity of this group is very variable. It may be, as Bakhtin implies, 'the folk' or 'the people' who by masking together liberate and assert their group identity against authority, the \u00e9lite, the official culture.75 But equally it may be 'the people of our town' \u2013 including artisans, nobles, and clergy.76 Or it may be 'the young people' against their elders, since masking is so often seen as a youthful activity.77 It may be a class division: carnival masking is sometimes seen as the province especially of the _popolani_ , at other times as a particular habit of the young noblemen. But in all cases the prime effect, facilitated by the masks, seems to be a sense of belonging, the dissolving of individuality. Since the significance of the group itself is so fluctuating, it is hard to offer any one explanation of Carnival as either 'popular' or '\u00e9lite', 'conservative' or 'revolutionary', 'structured' or 'spontaneous'. Whichever group's identity is enhanced by the masked play may determine the use that is made of Carnival at that particular time, whether for anarchic, conservative, aggressive, or companionable ends.78\n\nCarnival in Northern Europe\n\nNorthern Europe shared, or perhaps adopted, many of the carnival customs of the South. Although the many surviving _Fastnacht_ plays show that drama had a prominent role, there is somewhat less evidence for organised masking shows. Informal street masking, however, was energetic and widespread, as were the more domestic masked house visits and dances.79 Moreover, Reformation critics of popular Roman Catholic customs offer some vivid new perspectives on carnival masking.\n\nCivic shows were by no means entirely absent: one of the best documented of all European carnival spectacles was at Nuremberg,80 where the _Schembartlauf_ and its elaborate costumes were, after its demise, carefully illustrated in a series of manuscripts. This Shrove Tuesday spectacle \u2013 a masked street dance attended by masked runners \u2013 is reconstructed by Samuel Sumberg. First:\n\n... came the heralds of the Schembartlauf, on horse and on foot, throwing nuts to the boys and eggs filled with rosewater to the ladies in the windows. A howling mob of devil guisers followed them, amazing and frightening the crowd by their rough theriomorphic costumes and the fire and ashes they threw. A way was thus cleared for the troop of handsomely masked dancers who came leaping through the streets to the rhythmic jingle of strings of bells on their person and the music of fife and tabor.81\n\nThe masks formed a significant and privileged part of the celebration. By the late fifteenth century the Nuremberg authorities, like others in Northern Europe, were trying to restrict popular carnival masking, ordering in 1469 that 'no one, man or woman... either by day or by night shall reverse their clothing or alter it otherwise, and especially that they shall not change or distort their visage with any sort of thing... but show it so that they are well recognisable'.82 But masks were explicitly permitted by the council to the dancers and the _Laufer_ , the chosen band of guisers who surrounded and protected the dance.\n\nThe _Schembart_ raises some particular questions on the issue of carnival masking and control. Like many such customs it was apparently suppressed in the mid-Sixteenth century as a threat to order, by authorities who had always exercised fairly strict controls on who might perform and in particular who might mask. In 1539 Hans Sachs, a writer much linked with _Fastnacht_ , wrote a poetic account of the _Schembartlauf_ , both acknowledging and refuting its association with disorder and uprising.83 His description emphasises the common carnival impression of chaos, inversion, and wild energy. But each detail of the dance is then carefully rationalised historically: it was granted to the Butchers' guild to commemorate their loyalty to the authorities at a time of popular uprising; its route follows that of the uprising; the wild dancing indicates the disorder of rebellion; the sumptuous costumes, the rebels' pride; the youth of the dancers, their immaturity; the firework-throwing, their inconsiderate arrogance. The poem suggests that the Carnival, through commemorating revolt, demonstrates the profound importance of order and social restraint. The masks, grotesque and beautiful, both express and warn against anarchy. They are, _Ein verborgener Spiegel \/Der gmain zu einem sigel \/Fursichtig sich zu h\u00fcten \/Vor auffr\u00fcrischem w\u00fcten_ ('a hidden mirror that warns you to safeguard against any rebellious rages').84 Despite the evident tension between licence and restraint, it seems (as perhaps with Armistice Day ceremonies today) that even contemporaries could paradoxically perceive the same spectacle as either celebrating, or deploring, the disorder it commemorated.\n\nMore common in Northern Europe, however, seems to have been the informal street masking that accompanies Carnival. Impromptu street masking was combined with house visits, sometimes relatively elaborate. In 1521 D\u00fcrer, visiting Antwerp, records _Ich hab den Fockorischen ein Visierung zur Mummerei gemacht_... _dem Tomasin zween Bogen voll gar sch\u00f6n M\u00fcmmerei gemacht_ ('I made a drawing of a mask for Fugger's people for masquerade and... two sheets of beautiful little masks for Tomasin'). Attending a Shrove Tuesday banquet shortly after, he writes _und auf dem obgemeldten Fest warn gar viel k\u00f6stlicher Mummers und sonderlich Tomasin Pombelli_ ('and to the above mentioned feast came many very splendid masks, especially Tomasin Bombelli').85 The house-visits were not always so formal. Prohibitions in Ghent and other towns specifically prohibit maskers from demanding or filching food from householders, a 'stealing right' apparently traditional in the Low Countries.86 Visits like these, which depend on interaction between visiting maskers and unmasked householders, really belong to the tradition of mumming, separate from but related to Carnival, that will be considered in the next chapter.\n\nThe street masking attracted polemic from reformers, in particular Sebastian Brant's immensely popular _Ship of Fools_ (1495) and its derivatives, and Thomas Kirchmeyer's attack on popular Roman Catholic 'superstitions', _Regnum papisticum_ (1553). Kirchmeyer claims that at German _Fastnacht_ old and young, men and women, join in mad, gluttonous licence: _Cuncta licent fiuntque, fere, nec ommittitur ulla_ ('All thinges are lawfull then and done, no pleasure passed by'). As part of this uproar (here with a sixteenth-century English translation):\n\nAst alii horribiles vultus, torvamque figuram\n\nDaemonis induti, tota spacientur in urbe,\n\nAtque occurrentes terrent, puerosque sequuntur.\n\nPars currant nudi, faciem duntaxat & ora\n\nContecti larvis, ne cognoscabantur ab ullo.\n\nVestitium sexus proprium commutat uterque\n\nFoeminea tum namque viri, contraque virili\n\nOrnantur passim lascivae veste puellae.87\n\nSome againe the dreadful shape of devils on them take,\n\nAnd chase such as they meete, and make poore boyes for feare to quake.\n\nSome naked run about the streetes, their faces hid alone,\n\nWith visars close, that so disguisde, they might be knowne of none.\n\nBoth men and women chaunge their wede, the men in maydes aray,\n\nAnd wanton wenches drest like men do travell by the way.88\n\nHe also records maskers in skins and fearful masks of bears, wolves, wildcats, lions, cattle, and birds. Kirchmeyer's observations are supported by a late-fifteenth-century Nuremberg Fastnacht play by Hans Folz, _Ein Spil von der Fasnacht_ , in which a Burgher refers to masks of calves, apes, donkeys, swine, and fools, while an Artisan talks of cross-dressing and inside-out clothes.89 The three main categories \u2013 animals, cross-dressers, and devils \u2013 recall the celebrations of Kalends, older and possibly less urbanised forms than those predominating in Italy.90\n\n_The Ship of Fools_ , printed _uff die Vasenacht_ , has intimate connections with Carnival. But it was not until the second (1495) edition that Brant added a section _Von fassnacht narren_ ('Of Carnival Fools').91 He speaks of maskers blackening themselves with soot, and running about like goats. Locher, Brant's Latin adaptor, adds vivid details of the 'hired hair' ( _conductos_... _capillos_ ) and 'bought teeth' ( _dentes emptos_ ) worn by the maskers.92 Brant and his imitators offer a more complex moral criticism of carnival masking than Kirchmeyer's straightforward contempt for superstition. Anonymity is only pretended, insists Brant; the blackened faces are the devil's insignia, revealing the true allegiance of the maskers. Locher adds the tale of a carnival devil-masker claimed and carried off by Satan. He and others also affirm the erotic play of Carnival, asserting that the seduction of chaste wives is the chief purpose of the maskers who seem to have combined house visits with their street masking.93 A woman in the Nuremberg carnival play claims that her own reason for cross-dressing is to avoid the unwanted attentions of male maskers.94\n\nIf the Reformation produced criticism it also generated a fascinating defence of carnival masking from a young resident of Mainz. Appropriately youthful, eighteen-year-old Theodore Gresemund published a dialogue _de furore germanico diebus genialibus camisprivii_ ('on German madness during the merry days of Carnival'), in which a critic is countered by a young carnival masker. While relying chiefly on common medieval arguments about the value of recreation, the dialogue also presents an unusually vivid dramatisation of the attitudes of an ordinary, if educated, carnival masker.\n\nCato, the critic, typically objects to the insane, lascivious, and emasculating practices of German Carnival. The author's persona Podalirius, retorting that the Italians are far worse, offers two main defences: that carnival masking is not _rabies_ ('insanity') but _mentis honesta relaxatio_ ('proper easing of the mind'); and that while the sober domestic entertainment recommended by Cato is suitable for the old, _Iuvenes vero aliud decet_ ('something different is appropriate for the young'), who are more energetic, joyful, playful, and hot-blooded. The debate becomes more specific on the issue of masks. Cato sees them as the primary agents of the corrupting inversions and reversals of Carnival:\n\nCuncta vertiginosa quadam rabie rotentur: et domini in servos: et mulieres in viros: et adulescentes in virgines: et iuvenis in vetulum: et pulcher in deformem: & homines in larvatos kakodemones transmutantur.95\n\nEverything is up-ended by this dizzy madness: masters are transformed into servants, women into men, boys into girls, young into old, beautiful into hideous, and men into masked demons.\n\nPodalirius' response is brief but striking: _Nos vero soli immutabiles? Marpesiam cautem duricia vincimus? An soli nos calybei aut amantini sumus?_ ('Are we alone immutable? Harder than marble? We alone steel or adamant?'). The implied youthful allegiance to transformation, mutability, and dynamic human metamorphosis is unlike the officially articulated wisdom of most medieval thinking, closer to the developing humanist positions of writers like Pico della Mirandola.96\n\nThere follows a sharp vignette of masking practice as Podalirius, rather implausibly, persuades Cato to join him and they arrange their costumes. Podalirius offers soot, a mask, or a donkey skin as disguises. When these are nervously rejected by the educated Cato as demeaning ( _me asinum vocitabunt homines \u2013_ 'people would call me a donkey'), Podalirius encourages him onto safer ground by suggesting that he might represent the academically respectable figures of Midas with ass's ears or, the donkey skin furnished with claws to represent a lion's pelt, Hercules. He likewise reassures the anxiously self-conscious Cato that this is only a fantasy game in which he does not have to lose his own identity entirely. Cato agrees to mask _si solo amictu soloque gressu vultu ac voce Alcidem referam. Cetera vero sim Cato_ ('If I represent Hercules only in clothes, gait, face, and voice. In everything else I shall be Cato').97 Podalirius himself decides, since he is too young to have much of a beard, to mask as a woman. These excited preparations are, unfortunately, interrupted by a victim of street violence who frightens Cato off, and the dialogue is halted. Its mixture of formal argument and personal participation throws a revealing and unusual light on popular Germanic carnival masking.\n\nThis youthful delight in the masks of Carnival seems to have persisted despite the continuing objections of reformers. Over a century later Rodolph Hospinian in Zurich, in one of many fierce academic denunciations, revealed that still at carnival time _per universum fere orbem Christianum, homines sic prorsus insaniunt_ ('throughout almost the whole Christian world, people go completely mad'):\n\nOmnes autem personis tecti, ne a quoquam agnoscantur, & frequenter veste foeminea, interdum etiam foeminae veste virili, tanquam si pulchrum aut honestum foret sexum mentiri. Nonnunquam insuper quidam sic deformati, ut figuram omnem humanam prorsus exuisse diceres: nam cornuti, rostrati, dentibus aprinis, flammantibus oculis, fumum et scintillas ex ore exhalantes, curvis unguibus, caudati, hirsuti, denique & monstrosi terribilesque cacodaemonas videri atque timeri affectant.98\n\nFor everyone is hidden in a mask lest they should be recognised by anyone. Men are often in women's clothes, and also women in men's clothes, as if to belie their fair and virtuous sex. Some, besides, are so deformed that you would say they had put off all human appearance: for with horns, beaks, boar's teeth, flaming eyes, breathing smoke and sparks, curved talons, tails, shaggy hair, they aim to seem, and to terrify, like monstrous and terrible demons.\n\nThe ancient Kalends stereotypes are still going strong.\n\nCarnival in Britain\n\nUna omnium regionum Anglia eiusmodi personatas belluas hactenus non vidit, nec quidem vult videre, quando apud Anglos, in re hac prae aliis, certe sapientiores, lex est, ut capitale sit, si quis personas induerit.99\n\nAmong all the parts of the world, only England has not seen such masked beasts, nor does it want to, because among the English (who more than others are truly wise in this matter) there is capital punishment, that is the death penalty, for anyone who wears these masks.100\n\nAgainst the background of carnival masking in mainland Europe, what do we find in Britain? On the whole there is very little sign of the communal, public, street festivity and masking in the period leading up to Shrovetide that marks the height of the carnival season. The quotation above from Polydore Vergil, though clearly mistaking the legal position, suggests that even at the time Britain was thought of elsewhere as a non-masking, non-Carnival country.\n\nIf 'Carnival' is extended to include all the winter festivities stretching from Christmas to the beginning of Lent, there is more to be seen: some of the activities of European Carnival did take place at various times and places between Christmas and Shrovetide, although apparently in a more haphazard, less communal manner.101 The adjuncts were there: the association of Shrovetide with pancakes and sausages, and Lent with herring, especially dried herring, was clearly traditional.102 Football and cockfighting are common, and it was often a day of holiday and inversion games for schoolboys.103\n\nBut signs of masking, and especially large-scale public street masking, are few.104 Official and legal records reveal little, and English translators of foreign commentators on the period of Carnival tend to omit or modify their attacks on masking.105 However, an isolated incident from Norwich suggests that organised street shows were not unknown, even if they were more of an exception than a rule. In an episode now known as 'Gladman's Insurrection', a merchant of Norwich was convicted of taking part in a costumed parade on 22 January 1443, which became the pretext for an attack on the Priory. The complaint laid with the authorities does indeed suggest that Gladman not only took part in a carnivalesque masquerade, but that he exploited its revolutionary possibilities, turning it into a deliberate expression of inversion and incitement to violent rebellion. He is accused of riding through Norwich 'as a king with a crown and sceptre and sword carried before him', while 24 others rode 'in like manner before John Gladman with a crown upon their arms and with bows and arrows as varlets of the crown to the lord king'. Accompanied by one hundred others they rang the bells and threatened to burn the Priory and kill the Prior and monks.106\n\nIf we had only this statement to go on, then both the fact of carnival disguising in Britain, and its radically subversive potential might seem to be confirmed. Yet the context as usual suggests something more complicated. As at Romans in 1580, the problem in Norwich was complex and long-standing, the unrest at the parade only one moment in a continuing argument. Once again the masquerading seems to have been a useful and vivid pretext, rather than itself a cause or manifestation of conflict. An appeal made some five years later to clear Gladman's name offers a completely different explanation of the events. According to his friends John Gladman, 'a man of sad disposicion':\n\n... of disporte as is and ever hath ben accustomed in ony Cite or Burgh thrugh al this reame on fastyngong tuesday made a disporte wt his neighbours having his hors trapped with tyneseyle and otherwyse dysgysyn things crowned as king of kristmesse in token that all merthe shuld end with ye twelve months of ye yer, afore hym eche moneth disgysd after ye seson yerof, and lenten cladde in white with redde herrings skinnes and his hors trapped with oyster shelles after him in token yt sadnesse and abstinence of merth shulde followe and an holye tyme; and so rode in diverse stretes of ye Cite wt other peple wt hym disgysed making merthe and disporte and pleyes.107\n\nThe 'horrible articles' of the accusation of rebellion against him 'thei never ment it ne never suych thyng ymagined.'\n\nIt is impossible to judge the relative truth of the different accounts; but since the deposition of Gladman's supporters must have been intended to sound plausible, the appeal to tradition is presumably accurate. The description of the parade sounds appropriate to the wider 'carnival' season if not to 'fastyngong tuesday' itself (Gladman's show having apparently taken place five weeks earlier): Carnival, here typically English as the 'king of cristemesse', accompanied by costumed representatives of the twelve months, plays out the opposition to Lent with his fishy reminders of privation and penance. A similar 'Carnival against Lent' motif may be hinted at in the brief mention of a Jack a' Lent who rode in a March parade in London in 1553.108 The emphasis of the deposition is that the purpose of all this spectacle was 'disporte' \u2013 _mirth, disport_ , and _play_ constantly recur through the account. The appellants apparently believed that 'disport' was generally taken as a valid primary reason for a carnival riding, and that people would accept that even those of 'a sad disposicion' might well indulge in such activity at this time of year purely for the purposes of communal play with their neighbours. It must have been at least credible that the intention of subversive uprising attributed to the participants was something they had never 'meant or imagined'.\n\nThe terms of the appeal suggest tantalisingly that public street masquerades of this kind 'hath ben accustomed in ony Cite or Burgh thrugh al this reame.' But fascinating as this episode is, it is nonetheless very isolated. Apart from the much more confined riding of 'twoo disguysed persons called Yule and Yule's wife' at York on St Thomas Day (21 December), which is itself referred to as a 'custom maynteyned in this Citie, and in no other Citie or towne of this Realme to our knowlege', only the London record suggests anything comparable.109 It should also be pointed out that none of these events were specifically said to be masked: _disguised_ meant no more than 'in costume'.110\n\nThe dearth of evidence leads us to the conclusion that what was accustomed was a much more general kind of 'disporte'. More informal public street masking, although equally detached from Carnival proper, is evidenced later in Scotland. Various post-Reformation kirk and presbytery sessions accused parishioners of 'dansyng and guysing' through the streets on winter nights: the impromptu quality of the masking is revealed by the costumes at Elgin in 1598, 'his sisters coat upon him... thair faces blaikit... a faise about his loynes and ane kerche about his face'.111 The frequency of the prohibitions imply a widespread, but nonetheless small-scale practice.\n\nBut given the lavish and diverse evidence of carnival masking from the countries of mainland Europe it is hard to believe that Britain was full of Shrovetide masks and processions that have simply left no trace in the records. This is not to say, though, that Britain was without popular masking games, although they were not focused on the Shrovetide season, and rarely matched the full-scale public festivity of European Carnival. They are found not in what we think of as 'Carnival', but in the related if less communal play of 'mumming'.\n\nNotes\n\n1 Alessandro Ademollo _Il carnevale di Roma nel secoli XVII e XVIII_ (Rome: A. Sommaruga, 1883) 21.\n\n2 Thomas Middleton's _Inner Temple Masque or Masque of Heroes_ (1619) declares of the dying Christmas that 'he may linger out till Candlemas'; Candlemas appears in an Antimasque 'ill associated' with Shrove Tuesday, which that year was only a week later: _A Book of Masques in Honour of Allardyce Nicoll_ edited T.J.B. Spencer and others (Cambridge University Press, 1967) 261, 263.\n\n3 Fynes Moryson _Itinerary_ [1617], of Italy: see _Shakespeare's Europe: Unpublished Chapters of Fynes Moryson's Itinerary_ edited Charles Hughes (London: Sherratt and Hughes, 1903) 457. See, for France, van Gennep _Manuel de folklore_ 1,3: 870\u201371. As Samuel Kinser points out, 'Carnival, hitched to the moving date of Ash Wednesday, changes its character as well as its date in some details with every performance': 'Why is Carnival so Wild?' 44.\n\n4 Rio is of course in the Southern hemisphere; Notting Hill is an offshoot of the tropical Trinidadian Carnival.\n\n5 For example, Theodoricus Gresemundus _Podalirii Germani cum Catone Certomio, de furore germanico diebus genialibus carnisprivii dialogus_ ([?Mainz]: [? 1495]) A3v; Polydore Vergil _De rerum inventoribus_ (Basle: J. Bebelius, 1532) 310\u201314; Rodolphus Hospinianus _Festa christianorum: hoc est de origine, progressu, ceremoniis et ritibus festorum dierum christianorum_ (Zurich: J. Wolph, 1593) svv _Ianuarius, De Quinquagesima_.\n\n6 For information on carnival practices see: Ademollo _Carnevale di Roma_ ; Felipe Clementi _Il carnevale romano nelle cronache contemporanee_ (Citta di Castello: Edizioni R.O.R.E.'Niruf, 1938\u201339); J. Caro Baroja _El carnaval: analisis historico-culturel_ (Madrid: Taurus, 1965); Pleij _Blauwe Schuit;_ Edward Muir _Civic Ritual in Renaissance Venice_ (Princeton University Press, 1981) 156\u201381; Fabrizio Cruciani _Teatro nel rinascimento, Roma 1450\u20131550_ (Roma: Bulzoni, 1983); Dietz-R\u00fcdiger Moser _Fastnacht-Fasching-Karneval_ (Graz: Kaleidoskop, 1986).\n\n7 For arguments that carnival festivity was primarily unregulated, or subversive, see e.g. Bakhtin _Rabelais_ chapter on 'Popular and Festive Forms'; E. le Roy Ladurie _Carnival in Romans: A People's Uprising at Romans, 1579\u201380_ translated Mary Feeney (Harmondsworth: Penguin, 1981); Michael Bristol _Carnival and Theater: Plebeian Culture and the Structure of Authority in Renaissance England_ (New York and London: Methuen, 1985). For some revised views see _City and Spectacle in Medieval Europe_ edited Barbara A. Hanawalt and K.L. Reyerson (Minneapolis: University of Minnesota Press, 1994), especially papers by Lindenbaum and Ruiz; Humphrey _Politics of Carnival_.\n\n8 See chapter 4 on 'Mumming'. For \u00e9lite activity see, for example, Duke Ercole of Ferrara who himself went from house to house, collecting New Year's presents: see below 66. Rich households also gave masked balls which were gatecrashed by companies of young men, also in masks: see chapter 8 on 'Amorous Masking'.\n\n9 For example, Maximilian J. Rudwin _The Origin of the German Carnival Comedy_ (New York: Stechert, 1920): Baroja _El carnaval;_ even Pleij _Blauwe Schuit_. Some scholars wished to derive _carnival_ from _carrus navalis_ ('ship-chariot') and relate it to the ship processions in honour of the Germanic god Nerthus recorded by Tacitus.\n\n10 The earliest 'carnival game' recorded in the quotations in DuCange is a thirteenth-century professional war-game played before the Pope on Quinquagesima Sunday. The other synonym, _carnisprivium_ , also appears from the twelfth century, but only in a context of fasting. It often means just 'Lent'.\n\n11 Muir _Civic Ritual_ 160\u201361.\n\n12 See Robert Davidsohn _Storia di Firenze_ transited G.B. Klein, 8 vols (Florence: Sansoni, 1957\u201377) 4, 3: 544\u20138 for 'battle-games', not always at Carnival, throughout Italy.\n\n13 A large body of scholarship now exists on late medieval Carnival, its meanings and functions. For a range of theoretical discussion see: J. Caro Baroja _El carnaval_ ; Claude Gaignebet Le _Carnaval: essais de mythologie populaire_ (Paris: Payot, 1974); Peter Burke _Popular Culture in Early Modern Europe_ (London: Temple Smith, 1978); Mikhail Bakhtin _Rabelais; Carnival!_ edited Thomas E. Sebeok (Approaches to Semiotics 64; Berlin and New York: Mouton, 1984); R.W. Scribner 'Reformation, Carnival and the World Turned Upside-down' in _Popular Culture and Popular Movements in Reformation Germany_ (London and Roncevert: Hambledon Press, 1987) 71\u2013101.\n\n14 Anthony Munday _The English Romayne Lyfe_ (1582) edited G.B. Harrison (London: Bodley Head, reprinted Edinburgh University Press, 1966) 95\u20137.\n\n15 Torquato Tasso _Il Gianluco overo de le maschere_ in _Dialoghi_ edited Ezio Raimondi, 2 vols (Florence: Sansoni, 1958) 2: 675.\n\n16 Bernardino Zambotto _Diario ferrarese dall'anno 1476 sino al 1504_ edited Guiseppe Pardi: Appendice al _Diario ferrarese di autori incerti_ (Rerum Italicarum Scriptores 24, Part 7; Bologna: Zanichelli, 1934\u201336) 4 and _passim_. This was not strictly speaking the beginning of Carnival, but part of the New Year celebrations: the formula is _si comenzo hozi andare in maschera, de licentia del duca_ ('today people began to go about in masks, by permission of the Duke').\n\n17 Ademollo _Il carnevale di Roma_ 141\u20132.\n\n18 See chapter 8 on 'Amorous Masking'.\n\n19 See Cruciani _Teatro nel rinascimento_ 204\u20138; Muir _Civic Ritual_ 160\u201381; _Canti carnascialeschi del rinascimento_ edited Charles Singleton (Bari: Laterza, 1936).\n\n20 Munday _English Romayne Lyfe_ 96\u20137. His contempt and incomprehension of the customs he describes make him an uncertain witness: but a similar mixture of ecumenical inclusiveness and public discrimination is seen in some Spanish cities: see Charlotte Stern _The Medieval Theater in Castile_ (Medieval and Renaissance Texts and Studies 156; Binghamton: SUNY Center for Medieval and Renaissance Texts and Studies, 1996) 116\u201317.\n\n21 These were lengths of rich material or _pallia: Johanni Burckardi Liber notarum ab anno 1483 usque ad annum 1506_ edited E. Celani (Rerum italicarum scriptores 32; Citta di Castello: S. Lapi, 1906) 1: 223, et passim.\n\n22 Muir _Civic Ritual_ 162\u20133, 178\u20139.\n\n23 Werner Gundersheimer _Ferrara: the Style of a Renaissance despotism_ (Princeton University Press, 1973) 200; Munday _English Romayne Lyfe_ 90.\n\n24 Ademollo _Il carnevale_ 12\u201313.\n\n25 Gundersheimer _Ferrara_ 200. See also Davis 'Reasons of Misrule' 97\u2013123. In 1521, Francis I of France was concussed by a piece of wood during a snowball-, egg-, and apple-fight: Martin and Guillaume du Bellay _Memoires_ edited V.-L. Bourrilly and F. Vindry (Librairie de la Soci\u00e9t\u00e9 de l'Histoire de France; Paris: Renouard, 1908) 103.\n\n26 Thomas Platter (1574\u20131628) _Beschriebung der Reisen durch Frankreich, Spanien, England und die Neiderlande 1595\u20131600_ edited Rut Keiser (Basler Chroniken 9; Basel and Stuttgart: Schwabe, 1968) 121\u20132.\n\n27 Burchard _Liber notarum_ 2: 341.\n\n28 Giorgio Vasari _Le vite de' piu eccellenti pittori scultori e architettori_ edited R. Bettarini and P. Barocchi (Florence: Sansoni, 1976\u2013) 4: 63\u20135; _Lives of the Painters, Sculptors and Architects_ translated A.B. Hinds, 4 vols (London: Dent, 1927) 2: 177\u20139; Hinds _Lives_ 178.\n\n29 See Francesco Cognasso _L'Italia nel rinascimento_ 2 vols (Societ\u00e0 e costume 5; Turin: Unione tipografico-editrice torinese, 1965) 1: 530\u201332.\n\n30 Cruciani _Teatro nel rinascimento_ 301\u20132; Ademollo _Il carnevale_ 78, note 24; Grace Hart Seely _Diane the Huntress: the Life and Times of Diane de Poitiers_ (New York and London: Appleton-century, 1936) 229. We would like to thank Dorothy Dunnett for this reference.\n\n31 'Canzona delle Maschere' in Singleton _Canti carnaschialeschi_ 296\u20137.\n\n32 Munday _English Romayne Lyfe_ 96.\n\n33 Giovanni Maria Cecchi (1518\u201387) _Le Maschere e Il Samaritano_ in _Commedie di Gio. Maria Cecchi_ (Firenze: Giuseppe di Giovacchino Pagani, 1818) 5, 'Prologo' lines 2\u20136.\n\n34 For discussion of these issues see Aron Gurevich _Medieval Popular Culture: Problems of Belief and Perception_ (Cambridge University Press, 1988); P. Spierenburg _The Broken Spell: a Cultural and Anthropological History of Pre-industrial Europe_ (Basingstoke: Macmillan, 1991); Gerard Nijsten 'Feasts and Public Spectacle: late medieval drama and performance in the Low Countries' in _The Stage as Mirror: Civic Theatre in Late Medieval Europe_ edited Alan Knight (Cambridge: Brewer, 1997) 107\u201343; Teofilo Ruiz '\u00c9lite and Popular Culture in Late Fifteenth-century Castilian Festivals: the Case of Ja\u00e8n' in _City and Spectacle_ 296\u2013318.\n\n35 Burchard _Liber notarum_ 1: 183.\n\n36 William Thomas _The Historie of Italie_ [London, 1549] (English Experience 895; Amsterdam: Theatrum Orbis Terrarum, 1977) 39v.\n\n37 See, for example, Charles Phythian-Adams 'Ceremony and the Citizen: The Communal Year at Coventry, 1440\u20131550' in _Crisis and Order in English Towns, 1500\u20131700_ edited Peter Clark and Paul Slack (London: Routledge and Kegan Paul, 1972); Mervyn James 'Ritual, Drama and the Social Body in the Late Medieval English Town' _Past and Present 98_ (1983) 3\u201329; Bristol _Carnival and Theater_ , chapter 'The Texts of Carnival' 59\u2013103.\n\n38 This, too, may be variously understood: in part it confirms the communal and harmonising interpretations that have been made of late medieval urban spectacle; yet it may equally signify the authorities' use of the language of festival to shape their own image of the city community. See Nijsten 'Feasts and Public Spectacle'.\n\n39 There were odd occasions when the masquerading was forbidden because of pre-existing rioting. Ademollo _Il carnevale_ 11\u201313, 141\u20132.\n\n40 See e.g. Zambotto _Diario ferrarese_ 43, 58, 71; Burchard _Liber notarum_ 2: 266; Munday _English Romayne Lyfe_ 96.\n\n41 Cruciani _Teatro nel rinascimento_ 274. Groups of young boys throwing stones at each other caused problems in Florence in carnival time, but this appears to be violence kept within a particular age group: see R.C. Trexler 'La d\u00e9raison \u00e0 Florence durant la R\u00e9publique et la Grand Duch\u00e9' in _Le Charivari_ edited Jacques Le Goff and Jean-Claude Schmitt (Civilisation et soci\u00e9t\u00e9s 67; Paris: Mouton, 1981) 165\u201376 at 166\u20137. In Italy, Carnival does not seem to have been generally perceived as a particular opportunity for factional violence: see _Violence and Civil Disorder in Italian Cities 1200\u20131500_ edited Lauro Martines (Berkeley: University of California Press, 1972).\n\n42 Davis 'Reasons of Misrule'; Ladurie _Carnival in Romans_ ; Billington _Mock Kings_.\n\n43 See L.S. Van Doren 'Revolt and Reaction in the City of Romans, Dauphin\u00e9, 1579\u201380' _Sixteenth-century Journal 5:1_ (April 1974) 71\u2013100; Ladurie _Carnival in Romans_.\n\n44 Pierre de l'Estoile _The Paris of Henry of Navarre_ translated Nancy Lyman Roelker (Cambridge Mass: Harvard University Press, 1958) 99.\n\n45 Tommaso Garzoni _La piazza universale di tutte le professioni del mondo_ [1584] in _Opere di Tomaso Garzoni_ (Venice: Valentini and Giuliani, 1617) 280: Discorso LXXXIIII.\n\n46 Zambotto _Diario ferrarese_ 43; Tasso _Le Maschere_ 671; see also Old Capulet's comments in _Romeo and Juliet_ , Act 1, Scene 5, lines 19\u201338.\n\n47 Davis 'Reasons of Misrule' 104\u201314.\n\n48 Thomas Platter _Reisen_ 122.\n\n49 See also the delightful illustrations to the _Alba amicorum_ in which the masked courtesans' skirts can be lifted to reveal men's breeches. J.L. Nevinson 'Illustrations of Costume in the _Alba amicorum_ ' _Archaeologia 106_ (1979) 167\u201376, especially 173 and plate LXXXIV(i).\n\n50 Sixteenth-century British commentators who may or may not have understood what was happening, certainly claim that women generally did, at least sometimes, cross-dress, and there is some support from Italian observers. Fynes Moryson claims that 'men and wemen walke the streetes in Companyes all the afternoones... having their faces masked, and the men in wemens, wemen in mens apparrell at theire pleasure': _Shakespeare's Europe: Unpublished Chapters of Fynes Moryson's Itinerary_ edited Charles Hughes (London: Sherratt and Hughes, 1903) 457; see Garzoni _La piazza_ 280r.\n\n51 _The Merchant of Venice_ Act 2 Scene 6; _Gl'Ingannati_ degli Accademici Intronati di Siena, in _Commedie del cinquecento_ edited Nino Borsellino, 2 vols (Milan: Feltrinelli, 1962) 1: 214, Act 1, Scene 3.\n\n52 See also Sarah Carpenter 'Women and Carnival Masking' _Records of Early English Drama Newsletter 21:2_ (1996) 9\u201316.\n\n53 Roger Chartier _Cultural History: Between Practices and Representations_ translated Lydia G. Cochrane (Cambridge: Polity Press, 1988) 19\u201352: chapter on 'Intellectual History and the History of _Mentalit\u00e9s_ '; Ruiz 'Elite and Popular Culture' 309.\n\n54 Vasari _Le vite_ 63; Hinds _Lives_ 177\u20138.\n\n55 Zambotto _Diario ferrarese_ 58 and _passim_.\n\n56 See, for example, C.L. Barber _Shakespeare's Festive Comedy_ (New Jersey: Princeton University Press, 1959) chapters 1\u20133. But see Humphrey _Politics of Carnival_ for a modified view.\n\n57 Cecchi _Le Maschere_ , 'Prologo' lines 5, 9\u201310.\n\n58 Garzoni _La piazza universale_ 280.\n\n59 One exception might be the burlesque parade of magnifici witnessed by Sanuto in Venice in 1533: _I diarii di Marino Sanuto_ 58 vols (Bologna: Forni, 1969\u201370; facsimile of Venice edition, Fedorico, 1879\u20131902) 57: 548. See Muir _Civic Ritual_ 176. Nowadays such satire is one of the main features of some carnivals, especially in Spain and the New World.\n\n60 Baldassare Castiglione _Il libro del Cortegiano_ edited Carlo Cordi\u00e9 (Milan and Naples: Ricciardi, [1960]) 105\u20136. See Meg Twycross '\"My Visor is Philemon's Roof\"' in _Le Th\u00e9\u00e2tre et la cit\u00e9 dans l'Europe m\u00e9di\u00e9vale_ edited J.C. Aubailly and E. Du Bruck ( _Fifteenth-century Studies_ 13; Stuttgart: Heinz, 1988) 335\u201346.\n\n61 Thomas Hoby _The Book of the Courtier_ edited J.H. Whitfield (London: Dent, 1974) 99\u2013100.\n\n62 Castiglione _Il Cortegiano_ 105; Hoby's translation is less clear to the modern reader: '[if] he were in a maske. And though it were so that all menne knewe him, it skilleth not': _The Courtier_ 99. Castiglione then comments that it would be inappropriate for the prince to pretend to be a prince, because _facendo nei giochi quel medesimo che dee far da dovero quando fosse bisogno, levaria l'autorit\u00e0 al vero e pareria quasi che ancor quello fosse gioco_ ('[if he were to do] in sport the kind of thing he might have to do in reality, it would detract from the authority of the real thing, and make it appear that this also were a game').\n\n63 Platter _Reisen_ 189; see also 373\u20134.\n\n64 Platter, Thomas _Journal of a Younger Brother_ translated and introduced Sean Jennett (London: Frederick Muller, 1963) 120; see also 224\u20135. This phase of the citrus crop seems to have made squashy oranges a favourite carnival missile throughout Europe. The Carnival at Binche is still throwing 200\u2013300,000 oranges imported in a special train from Spain: see Samuel Glotz _Le Carnaval de Binche_ (Gembloux: J. Duculot, c.1975) 17.\n\n65 See Claude Gaignebet 'Le Combat de Carnaval et de Car\u00eame' _Annales, economies, soci\u00e9t\u00e9s, civilisations_ 27:2 (1972) 313\u201345; Martine Grinberg and Samuel Kinser 'Les Combats de Carnaval et de Car\u00eame: trajets d'une m\u00e9taphore' _Annales, economies, soci\u00e9t\u00e9s, civilisations 38:1_ (1983) 65\u201398.\n\n66 1470\u20131520, author of the comedy _La Calandria_.\n\n67 Castiglione _Il Cortegiano_ 191\u20132.\n\n68 Hoby _The Courtier_ 174.\n\n69 See Natalie Zemon Davis 'The Rites of Violence' in _Society and Culture in Early Modern France_ (London: Duckworth, 1975) 152\u201388.\n\n70 'Extase propinatoire de Maistre Guillaume en l'honneur de Caresme-Prenant' in _Les Joyeusetez, faceties et folastres imaginations de Caresme Prenant, Gauthier Garguille, Guillot Gorju, Roger Bontemps, Turlupin, Tabarin, Arlequin, Moulinet_ edited L.A. Martin, 15 vols (Paris: no publisher, 1833) 5: [6].\n\n71 Platter _Reisen_ 372\u20133.\n\n72 Platter _Journal_ 224.\n\n73 B. Sastrow _Social Germany in Luther's Time: Being the memoirs of Bartholomew Sastrow_ translated A.D. Vandam (London: Constable, 1902) 274\u20135.\n\n74 See Heers _F\u00eates des fous_ chapter 4; _Persons in Groups: Social Behaviour as Identity Formation in Medieval and Renaissance Europe_ edited Richard Trexler (Medieval and Renaissance Texts and Studies 36; Binghamton NY: SUNY Center for Medieval and Early Renaissance Studies, 1985).\n\n75 Bakhtin _Rabelais_ chapter on 'Popular and Festive Forms'.\n\n76 Nijsten 'Feasts and Public Spectacle'; Ruiz '\u00c9lite and Popular Culture'.\n\n77 Davis 'Reasons of Misrule'; Peter Marsh 'Identity, an Ethogenic Perspective' in _Persons in Groups_ 17\u201330.\n\n78 See discussion in Muir _Civic Ritual_ 156\u201381, and Edward Muir _Ritual in Early Modern Europe_ (Cambridge University Press, 1997) 85\u2013116; chapter 3 'Carnival and the Lower Body'.\n\n79 For discussion of carnival customs in Northern Europe, see Pleij _Het gilde van de Blauwe Schuit_ 46\u201363; Scribner 'Reformation, Carnival' 71\u2013101; papers in section on 'Shrovetide and Carnival: Farce and Fastnachtspiel' in _Festive Drama_ edited Twycross; Edelgard Du Bruck 'The Sociology of the Nuremberg Shrovetide Plays' in Le _Th\u00e9\u00e2tre et la cit\u00e9 dans l'Europe m\u00e9di\u00e9vale_ edited J.C. Aubailly and E. Du Bruck ( _Fifteenth-century Studies_ 13; Stuttgart: Heinz, 1998).\n\n80 Samuel Kinser points out that Nuremberg, as an 'imperial free city', with an oligarchic council, could exert a greater control over the content and form of the show than other German cities: 'Why is Carnival so Wild?' 58\u20139.\n\n81 Samuel Leslie Sumberg _The Nuremberg Schembart Carnival_ (Columbia University Germanic Studies 12; New York: Columbia University Press, 1941) 184\u20135.\n\n82 See Samuel Kinser 'Presentation and Representation: Carnival at Nuremberg, 1450\u20131550' _Representations 13_ (1986) 1\u201341, this edict quoted page 3.\n\n83 Hans Sachs 'Der Scheinpart-spruch' in _Werke_ edited Adalbert von Keller, 26 vols (Bibliographie der Einzeldnicke des Dichters 24\u20135; Hildesheim: Olm, 1964; reprint of T\u00fcbingen: Litterarischen Vereins, 1870\u20131908) 4: 200\u2013208.\n\n84 'Der Scheinpart-spruch' 208.\n\n85 Albrecht D\u00fcrer _Schriften und Briefe_ edited Ernst Ullmann (Leipzig: Reclam, 1982) 80\u20131; _D\u00fcrer's Record of Journeys to Venice and the Low Countries_ edited Roger Fry (New York: Dover, 1995) 71\u20132.\n\n86 Pleij _Het gilde van de Blauwe Schuit_ 20.\n\n87 Thomas Naogeorgus (Kirchmeyer) _Regnum papisticum_ ([Basle?], 1553) Book 4, 138.\n\n88 _The Popishe Kingdome or Reigne of Antichrist_ translated Barnabe Googe [1570], edited R.C. Hope (London: W. Satchell, 1880) 48.\n\n89 Kinser 'Presentation and Representation' 11.\n\n90 Pleij _Het gilde van de Blauvue Schuit_ 15\u201319.\n\n91 Brant _Narrenschiff_ edited Zarncke 111\u201312; Cap 110b 'Von fasnacht narren'. See Pompen _English Versions of The Ship of Fools_ 252\u20139.\n\n92 Sebastian Brant _The Shyp of Folys_ translated Alexander Barclay (London: 1509), (English Experience 229; Amsterdam: Theatrum Orbis Terrarum, New York: Da Capo Press, 1970: facsimile of edition London: Pynson, 1509) fol. 244 (English version fol. 245).\n\n93 Johann Geiler von Kaysersberg _Welt Spiegel, oder Narren Schiff_ (Basel: S. Henricpetri, 1574).\n\n94 Kinser 'Presentation and Representation' 12.\n\n95 Gresemundus _Carnisprivii dialogus_ sigs A3v, A6v, B3r.\n\n96 See e.g. Giovanni Pico della Mirandola _De hominis dignitate_ edited G. Semprini (Rome: Atanor, 1986) 8\u201310.\n\n97 Gresemundus _Carnisprivii dialogus_ sigs B4r and B4v.\n\n98 Hospinianus De... _ceremoniis_ 37\u20138.\n\n99 Polydore Vergil _De rerum inventoribus_ 5: 314.\n\n100 _Beginnings and Discoveries: Polydore Vergil's 'De inventoribus rerum'_ translated Beno Weiss and Louis P\u00ebrez (Nieuwkoop: De Graaf, 1997) 329.\n\n101 When English people eventually began to use the word _carnival_ they appear to identify it in this way, as we see in the account of the 1614 _Masque of Flowers_ which directs 'Winter to present them with sports, such as are commonly called by the name of Christmasse sportes, or Carnavall sportes'. _The Progresses, Processions and Magnificent Festivities of King James I_ edited John Nichols, 4 vols in 5 (London: J.B. Nichols, 1828) 2: 736.\n\n102 See Thomas Nashe _Lenten Stuffe_ in _Works_ edited R.B. McKerrow (Oxford University Press, 1958); John Taylor _Jacke-a-Lente_ in _Works_ edited C. Hindley (London: Reeves and Turner, 1872).\n\n103 See, for example, T.F.T. Dyer _British Popular Customs, Present and Past_ (Bohn's Libraries; London: G. Bell, 1875) sv _Shrove Tuesday_.\n\n104 An as yet obscure regulation of the University of Oxford in 1242 forbids members of the university to take part in dances masked or crowned with leaves, but this appears to be a spring or summer festival, not Shrovetide, and possibly an importation by foreign students: _Statuta Antiqua Universitatis Oxonienis_ edited Strickland Gibson (Oxford, 1931) 83.\n\n105 An English version of Polydore Vergil's _De rerum inventoribus_ greatly compresses Vergil's attack on masking, omitting specific reference to England beyond a vague statement about 'the disguisyng and mummyng that is used in christenmas tyme in the Northe partes': Thomas Langley An _Abridgement of the notable worke of Polidore Virgile_ (London: R Grafton, 1546) fols C2v\u2013C3r. English translations of _The Ship of Fools_ often show unfamiliarity with the masking customs described: see e.g. Alexander Barclay _The Shyp of Folys_ (London: 1509) edited T.H. Jamieson, 2 vols (Edinburgh: William Paterson, 1874); Henry Watson _The grete Shyppe of Fooles of this worlde_ (Westminster: Wynkyn de Worde, 1517).\n\n106 W. Hudson and J.C. Tingey _The Records of the City of Norwich_ 2 vols (Norwich: Jarrold, 1906) 1: 340 (see also lxxxix and xc). For discussion see Philippa C. Maddern _Violence and Social Order: East Anglia 1422\u20131442_ (Oxford: Clarendon Press, 1992) 192\u2013205; Humphrey '\"To Make a New King\"' 29\u201341, and _The Politics of Carnival_. Tuddenham and Heydon, who laid the complaint, were agents of the Duke of Suffolk, with vested political interests against the city.\n\n107 Hudson and Tingey _Records of Norwich_ 1: 345\u20136.\n\n108 _The Diary of Henry Machyn, Citizen and Merchant-Taylor of London, from AD 1550 to AD 1563_ edited J. Nichols (Camden Society 42; London: 1848) 33.\n\n109 _REED: York_ 1: 368\u20139.\n\n110 See chapter 6 on 'Disguisings' 129\u201330.\n\n111 Mill _Mediaeval Plays in Scotland_ 239.\nChapter 4\n\nMumming\n\nDemarcation lines between Carnival and mumming are hard to draw. Even though their central activities suggest significantly different masking experiences, the overlap of time, place, and disguise blurs the boundaries between them. They occupy the same winter time of year. While Carnival proper tends to belong to Southern, mumming to North-Western areas of Europe, in some places like the Low Countries the two forms coexist so that they seem part of the same phenomenon. As far as masking is concerned, Carnival, as we have seen, generally involves a wide spectrum of players who mask together, usually through the streets, sometimes joining in public dancing and versions of combat games. Mumming, on the other hand, tends to be smaller scale, involving a smaller band of maskers who engineer encounters with the unmasked, often in the form of house-visits. Like Carnival, mumming may be traceable back to the very early customs of the Kalends and thus part of the ancient tradition of midwinter festivity. When we turn from mainland Europe to medieval Britain it is mumming, rather than Carnival, that dominates the scene of playful masking.\n\nAs with the Kalends maskings, early evidence of mumming comes mainly from those trying to put a stop to it: in this case civil rather than religious authorities. The earliest instance of the word _mum_ itself in an English context comes in a London civic proclamation of December 1387. This lays down that no-one is to go about at Christmas time with a sword:\n\n... ne nul voise pur mummer ne nul autre jeu jeuer oue visure ne en nulle autre estrange gise par quelle il ne poet estre connue sur peine denprisonement.1\n\n... nor shall anyone go around mumming or playing any other game with a mask or in any other strange fashion by which he cannot be recognised on pain of imprisonment.\n\nMumming is paralleled with 'playing any other game': exactly what kind of game it is can be discovered from earlier proclamations against the practice (though not using the word) which go back at least half a century earlier. The earliest comes from another London proclamation of 14 December 1334, concerned with keeping the peace while the King is away fighting the Scots:\n\n... nul homme ne aille en ceste feste de Noel oue compaignies desgisees ou fauvisages ou en autre maner as hostels des bons gentz de la citee pur juwer as dees mes chascun se face bien a ese en son hostel demeyne.2\n\n... no man shall go at this feast of Christmas with groups of people dressed up in false faces or in any other fashion to the houses of the good folks of the city in order to play at dice; but let everyone make himself at ease in his own home.\n\nSimilar proclamations were issued in London regularly until 1451; in Bristol between 1479 and 1508; in Newcastle upon Tyne (addressed to apprentices) in 1554; and in Chester in 1555.3 In 1511 an Act of Parliament specifically forbids the practice.4 However, since it was still going strong enough for Mumming to appear as a character 'with a Visor' and 'his boxe and his Dice' in 1616 in Jonson's _Masque of Christmas_ , where all Christmas's entourage are London apprentices, it was clearly a custom with staying power.5\n\nFor medieval England, then, _mumming_ was going round the streets at Christmas after dark in a gang, dressed up in strange clothes and with your face concealed in some way, in order to enter other people's houses and play at dice with them. It does not apparently involve any kind of 'mummers play' or dramatic performance. Mumming, however, is an elusive term. Over the past seven centuries it has been used in most Western European languages to label a range of activities which, although related, vary strikingly between different times and countries. When a fifteenth-century Englishman speaks of a 'mumming' he may not mean the same activity either as a fifteenth-century German talking of a _mommerij_ , or as a nineteenth-or twentieth-century Briton of a 'mummers' play'. Twentieth-century English use of the term has created an assumption that mumming is a largely rural practice, involving a play, probably of St George and the Turkish Knight, with structural links to fertility myths.6 The same word in fifteenth-century England apparently designates a non-dramatic, urban masking game.\n\nHerbert Halpert creates a useful typology of mumming, categorising the activities which have at various times and places been given the label into two main pairs.7 One pair concerns 'indoor' activities: (1) the informal visit and (2) the visit with formal performance (e.g. the 'mumming play'). The other pair concerns 'outdoor' activities, which may or may not be linked to the indoor practices: (3) informal outdoor behaviour (e.g. general carnival activity, or moving between indoor visits in a casual way) and (4) formal outdoor movement (e.g. costumed parades such as the Furry Dance or the Philadelphia Mummers). In the terms of this classification, most of the references to popular mumming in fourteenth-to seventeenth-century Britain appear to involve: (1), the informal house visit.8 Modern survivals of this type of medieval mumming can be seen in the rural communities Halpert describes in Newfoundland, in Scottish Hallowe'en guising, and even in the modern North American 'trick or treat'.\n\nAlmost all early European mumming took place in the extended carnival season between the autumn and spring solstices when nights are dark and longer than the days. But even when the activities are virtually identical in two different countries, as in England and the Netherlands from the fourteenth to the seventeenth centuries, 'mumming' may not be associated with the same festivals, leading to significant differences. In England it belonged particularly to the Twelve Days of Christmas; in the Netherlands to Shrove Tuesday and Carnival proper. Most of the early illustrations of the 'English' type of mumming are in fact Flemish: the props and costumes consequently tend to have a carnival appearance which may well differ from the English Christmas accoutrements. More importantly, the festival may alter the context and perceived function of the mumming. Carnival, as we have seen, offers an environment of general public licence which seems more abandoned and anarchic in expression than anything recorded in Britain. We must transpose evidence between countries with caution.\n\nEnglish Mumming\n\nThe civic proclamations and the eventual Act of Parliament are concerned with keeping the peace. Consequently they stress the aspect of the costume that makes the mummers potentially anti-social: the fact that the mask makes the wearer unidentifiable. In practical terms this is a matter of policing: an unidentifiable mummer may easily become an unidentifiable criminal, as stocking-masks and balaclava helmets remind us today. More nebulously, an unidentifiable group of people wandering around after dark seems a potentially dangerous, because unaccountable element in a well-organised society. So, while the mummers' own views might differ, contemporary evidence about them all emphasises their anonymity: they mask in order to conceal their identity. The 1511 Act refers to 'dyvers persones' who 'have disgysed and appareld theym, and covert theyr fayces with Vysours and other thynges in suche manner that they sholde nott be knowen'.9 The heroine in a French novella says, as if it were a proverb, _le masque ne sert plus de rien quand le mommeur est cogneu_ 10 ('the visard serveth to smal effect when the Mummer is known').11 Mumming appears to be a game in which the main point is not to be recognised.\n\nCostume\n\nAs far as the civic proclamations are concerned, anonymity resides chiefly in the mask. The London formula is _que nul voise oue visure ne fauce visage_ ('no-one shall go around in a mask or false face'),12 and this is repeated with insignificant variations over the years. The most elaborate is the first version written in English, the 1418 proclamation, which specifies 'that no manere persone... duryng this holy tyme of Cristemes, be so hardy in eny wyse to walk by night in eny manere mommyng... with eny feynyd berdes, peyntid visers, disfourmyd or colourid visages in eny wyse'.13 False beards, painted masks, misshapen faces, face-painting: there are more ways than one of disguising the face. The relatively impromptu carnival disguises that seemed characteristic of Northern Europe suggest a similar range of simple facial alteration. Alexander Barclay's free translation of the Latin _Ship of Fools_ speaks of ugly masks, 'smoked' faces (the Latin original refers to reddle), 'Dracula' fangs, blackened faces:\n\nThe one hath a vyser ugly: set on his face...\n\nOr payntyth his vysage with fume in suche case...\n\nSome counterfayte theyr tethe in a straynge wyse\n\nSome for a mocke hath on a gowne of whyte...\n\nAnd other some besyde theyr vayne habyte\n\nDefyle theyr faces.14\n\nThe Newfoundland mummers used a similar mixture of full masks and a wide variety of easily found face-painting substances: stove-blacking, burnt cork, flour and cocoa. Such heavy monotone face-paint which blanks out familiar features is a surprisingly effective disguise, especially when combined with unfamiliar or exaggerated headgear and, perhaps, a shape-concealing costume.\n\nAlthough mummers' costumes could be elaborately prepared, popular mumming apparently relied heavily on what could be got together on the spur of the moment. A French source from the 1530s, the _Ordonnances sur le faict des masques_ , talks about _marchans et gens de basse condition_ who are accustomed _daller en mommon en robbes retournees barbouilles de farine et de charbon, faulx visages de papier portant argent a la mode ancienne_ 15 ('to go mumming in clothes turned inside out, smeared with flour and charcoal, with paper masks and carrying money in the old style'). The flour, charcoal, and paper masks all suggest a very scratch form of disguise, as do the _robbes retoumees_ ('clothes turned inside out') another of the dressing-up modes adopted by the Newfoundland mummers. It is easy to forget how few changes of clothes most people would have owned; and that it would have been far from easy to find new materials to make special costumes. This offers one practical explanation for the common practice in popular masking of dressing up in patchwork rags, leaves, or in modern times, in shredded paper like the Marshfield Paper Boys.16 Popular anthropology has linked this with the shaggy hair of the woodwose, the leaves of the Foliate Man, or even the _exuviae_ of sacrificial animals.17 But it is at least possible that Jack-in-the-Green,18 the Straw Bear, or the Queensferry Burry Man, like the urban mummers, did not set out to represent vegetation spirits, but simply used the nearest and cheapest available materials.\n\nCertain other standard types of popular masking costume may recur at least partly because they employ the materials that are readily available. The domestic and hunted animal skins of rural Kalends masking and the ubiquitous inside-out garments coincide in a sixteenth-century French novella which talks of mummers who turn their furred robes inside out.19 Another of the disguisers in Barclay's _Ship of Fools_ 'for a mocke hath on a gowne of whyte', the traditional attire of a 'natural' fool. White-dressed mummers crop up again in Newfoundland and among modern Scottish guisers, but as 'ghosts' rather than 'fools'. This suggests culturally determined explanations for what was and remains an easily available disguise \u2013 like Tiberius Winchester, arraigned in Elgin in 1604 for 'guysing through the toun... having a bedcod [pillow-case] on his heid', a mummer can usually find a sheet, bedlinen or a nightshirt.20 Confirmation of the familiarity of this mumming costume is found in a brief scene in Francis Merbury's _The Marriage between Wit and Wisdom_ (1579). Two robbers, Catch and Snatch, discuss what to do with their victim Idleness, while they make their getaway. Snatch having a stolen sheet, the pair 'turne him aboute and bind his hands behinde him and tye the sheet about his face' ordering him 'If they aske you any question say you goe amuming'.21 Idleness objects that he could not go mumming without any money, all by himself, 'with out ether pipe or druming', but is forced to play his part: the spontaneous costume seems quite plausible to everyone.\n\nPLATE 4: Mummers enter a household to dice: outside, mummers in the street. Note the 'female' masker wearing breeches under 'her' skirts. The costumes are typically Netherlandish but impromptu and old-fashioned. Crispijn van de Passe _Februarius_ [?late 1580s]. Amsterdam: Rijksmuseum, Fr. 1175.\n\n\u00a9 Reproduced by permission of the Rijksmuseum, Amsterdam.\n\nAn account of a very _ad hoc_ Scottish guising gives a flavour of the most informal possibilities of a mummer's disguise. In Perth in February 1609:\n\nAndro Jhonestowne and Jonet Cuninghame his spous James Jaksone and Stobie his spous... being inquirit quhy thay went all disgysed about the towne on tuysday last wes at ten and ellewin houris at ewin with suordis and stawis trowbling and molesting thair nichtbouris on the streitis quhom thay met ansserit that eftir thay had all sowpit togidder thay had resolwit to go about the towne of no ewill purposs or intentione bot of mirrines and denyit that thay molestit any. Thay being remowit it wes certenly found that they wer disgysed namly andrew Jhonestownes wyf hawing hir hair hinging downe and ane blak hat wpon hir head hir husband androw Jhonestowne with ane suord into his hand david Jaksone hawing ane curch [woman's kerchief] wpon his head and a womanis gowne...22\n\nA Flemish engraving by Crispijn van der Passe of Shrovetide mummers shows the same sort of random dressing, with a few specifically Carnival additions such as the upturned cauldron worn as a hat (PLATE 4). Some seem to be wearing 'old clothes' like the old-fashioned slashed 'rutter's' hat with a feather in it. A particularly rich selection of impromptu mumming-style disguises is presented in the entourage of Carnival in Bruegel's famous _The Battle between Carnival and Lent_ (1559) whose followers are variously masked and disguised in the informal Northern European tradition that seems to have been adopted in mummings in Britain (PLATE 5). One figure wears a blanket and a false face with exaggerated chin, nose, and eyeholes. After him comes a child in a half-mask with long nose and spectacles, curiously like Pantalone in the _commedia dell'arte_. Further on are blackened and whitened faces: one figure wears a black felt sugarloaf cap pulled down right over his head to his shoulders, with eyeholes and flaps cut for nose and mouth. Two other figures have completely whitened, apparently featureless moon-faces and wear what look like cushion-covers on their heads. Behind them another white-faced figure carries a collecting-box for the play of _The Dirty Bride_ which is being performed behind him. All look completely unrecognisable and uncannily non-human.\n\nPLATE 5: Mummers following Carnival; at top left, _The Play of the Dirty Bride_. Pieter Bruegel the Elder: detail from _Carnival & Lent_ (1559).\n\n\u00a9 Reproduced by permission of the Kunsthistorisches Museum, Vienna.\n\nThe obviously transforming disguise adopted by David Jaksone seems as common to mumming as it was to Carnival. Cross-dressing, delightfully transgressive, also relates to the impromptu quality of mummers' disguise: the clothes of the other sex are readily available and produce an easy opposite to the mummer's everyday persona. One of de Passe's mummers wears woman's clothing with breeches underneath, and seems to be suitably padded. It is impossible to tell whether either of the fully-masked apparently masculine figures is a woman. In Britain evidence for cross-dressing is mostly confined to Scotland, where the guisers seem generally to have behaved in rather less structured and more carnivalesque ways than the English house-visit-with-dicing. The practice ran over into the aristocratic version of mummings favoured by Mary, Queen of Scots, although in the courtly setting the disguise has clearly lost its improvised quality and acquired teasingly sophisticated implications: 'at even our soveranis maid the maskerie and mumschance, in the quhilk the quenis grace and all hir Maries and ladies wer all cled in men's apperrell'.23 Cross-dressing is not specifically mentioned in English sources, except for one casual example in Palsgrave's French-English dictionary (1530): 'Lette us go mumme to nyght in womens apparayle'.24 Either it was less important, or possibly so common as to need no specific comment.\n\nIt may be significant that most of the Scottish evidence comes from post-Reformation minutes of Kirk Sessions. Their injunctions against cross-dressing, like the early decretals against Kalends masking, and contemporary English Puritan objections to the theatre, are based on the scriptural authority of Deuteronomy, as in this account of an episode in Aberdeen in 1605:\n\n... the young men being cled in wemmenis apparel, quhilk is accompted abhominatioun be the law of God that ony man suld put on wemennis rayment; Deuteronomie 22, vs 5; and the young wemen... dansing opinlie with thame throw the streittis, with maskis on thair faces, thairby passing the bounds of modestie and schamefastnes, quhilk aucht to be in young wemen, namelie, in a reformed citie.25\n\nThis anxiety focuses on the moral and spiritual welfare of the maskers. English civic prohibitions on the other hand are all pre-Reformation, concerned with possible breaches of the peace rather than God's law. They are worried about masked men going about the city by night, often without lights, and invading other people's houses to play dice, a game which notoriously provoked over-excitement often to the point of bloodshed.\n\nDice\n\nThe game of dice seems central to the proceedings, as the ostensible reason for the visit which was shaped round it. In other cultures and at other periods, other games become the focus of the visit: nineteenth-century English mumming has the play; the focus for the Newfoundland mummers is a guessing game in which the household try to find out who the mummers really are (a game that depends upon a close-knit and fairly small community); modern Scottish Hallowe'en guisers perform a 'turn' for the household. The chosen game determines the pattern of the visit. House-visit mumming tends to rely on some such focusing pattern: the impulse to shape social encounters is strong, and games involving unidentified players rely on fairly strongly marked rules. If weirdly disguised figures appear and then do nothing, the occasion is likely to founder in silence and formlessness. By arriving in this strange guise the mummer is saying tacitly, 'I am come hither to make you game'.26\n\nThe dicing favoured by English mummers seems to have had a particular affinity with the mid-winter festival from the Roman Saturnalia on. It also has obvious advantages for the occasion: it is very portable, can be played standing up, as a game of pure chance it provides maximum excitement in minimum time, and is presumably easy to follow even when the players are half-drunk. In England, dice was a 'Christmas game' in the sense that at other times of the year it was in theory illegal, at least to apprentices and servants. Playing these games is therefore part of the licence of Christmas, and even allowed for with a certain ceremony: the _Second Northumberland Household Book_ (c. 1515), for example, makes special provision:\n\n... against the cumming of the lord and the laidy into their greate Chambre Or dynyng chambre. A bourde to be Set with a light upon it of wax in a Candelstick of Sillver and also uppon the said bourd to be dice and Cardes for suche parsones as shalbe dispoosid to play and make an end of Cristenmas.27\n\nDicing could also, of course, be profitable. In the _Masque of Christmas_ , Mumming's torchbearer enters 'carrying the Boxe, and ringing it'.28 This 'Boxe' may be the dice box, but 'ringing it' sounds more like the mummers' kitty. As Ignorance had complained 'there can be nothing worse then for a man to goe amuminge when he hath no mony in his purse'.29 The aim is unashamedly to collect money: the dicing is a variant of the _qu\u00eate_ , and the players reportedly often contrived to give luck a nudge in the right direction, as the mummers in Kyd's _Soliman and Perseda_ (1592) acknowledge:\n\n_Erastus_ : | What store of Crownes have you brought?\n\n---|---\n\n_Guelpio_ : | Feare not for money, man, ile beare the Boxe...\n\n_Piston_ : | Marry... you may loose your money... unlesse you carrie false dice.30\n\nAccording to Gilbert Walker's _A manifest detection of the most vyle and detestable use of Dice-play_ (1552), most Christmas mummers were 'grounded upon such cheating crafts', and could 'assure themselves at the least to have the supper shot-free, perchance, to win twenty pounds, about'.31\n\nSilence\n\nOne of the rules of the game is that the mummers must not speak. In _Soliman and Perseda_ the hero, Erastus, and a group of friends disguise themselves as mummers to try to win back a gold chain from Lucina. They set out with visards, gowns, box, and weighted dice, preceded by a drum:\n\n_Then they play, and when she hath lost her gold, Erastus pointed to her chaine, and then she said_ :\n\nI, were it Cleopatraes union.\n\n_Then Erastus winneth the Chaine, and looseth his gould, and Lucina saies:_\n\n... And, Gentlemen, unmaske ere you depart,\n\nThat I may know to whom my thankes is due\n\nFor this so courteous and unlookt for sport.\n\nNo, wilt not be? then sup with me tomorrow:\n\nWell, then ile looke for you; till then, farewell.32\n\nThe mummers clearly remain silent throughout, communicating entirely by gestures. A variation of this appears in a mumming scene in _Bassarus_ , a Latin Shrovetide school play from the Netherlands.33 After an initial call outside the door the mummers, until they unmask, say nothing but 'Mom':\n\n_Larvati_ : |... Mom, mom.\n\n---|---\n\n_Bas_ : | Quis es denuo tamque temere Pulsas foreis?\n\n_Larvati_ : | Mom, mom. Aperi...\n\n_Praeses_ : | Quid ponitis?\n\n_Lar_ : | Mom, mom.\n\n_Hie_ : | Duo sestertios.\n\n_Lar_ : | Mom, mom.\n\n_Hie_ : | Quaternio est in unio.\n\n_Pr_ : | En meus.\n\n_Hie_ : | Is ternio est et unio.\n\n_Pr_ : | Me vincitis.\n\n_Lar_ : | Mom, mom...\n\n_Pr_ : | Valete.\n\n_Lar_ : | Haud sic quidem. Videte nos.\n\n_Pr_ : | Sunt liberi.\n\n_Har_ : | Haec boni viri pecunia est Ad symbolum.\n\n_Mummers_ : | Mom mom.\n\n_Bassarus_ : | Who's that knocking on the door again so roughly?\n\n_Mummers_ : | Mom mom. Open up...\n\n_Bailiff_ : | What are you staking?\n\n_Mummers_ : | Mom mom.\n\n_Parson_ : | Two shillings.\n\n_Mummers_ : | Mom mom.\n\n_Parson_ : | Quatre and ace.\n\n_Bailiff_ : | My turn.\n\n_Parson_ : | That's three and one.\n\n_Bailiff_ : | You win.\n\n_Mummers_ : | Mom mom...\n\n_Bailiff_ : | Goodbye.\n\n_Mummers_ : | No way. Look at us!\n\n_Bailiff_ : | It's the children!\n\n_Mummers_ : | Here's some money from a nice man towards the dinner.34\n\nThe intention seems to be to disguise the identities of the mummers who here turn out to be the children of the household. An altered voice is a common feature of mumming in those games where a concealed identity is important.35\n\nWhatever the original etymology of the verb used for the game, to mum, English speakers in this period connected it with mum meaning '(to be) silent'. Sometimes we cannot tell which sense is uppermost, as in the glosses from the _Promptorium parvulorum_ (1440):\n\nMummar. _Mussator_ [for _mussitator_ \u2013 'a silent person']\n\nMummyn, as they that no3t speke. _Mutio_ ['mutter or mumble']\n\nMummynge: _Mussacio, vel mussatus_ [from _musso \u2013_ 'to be silent, to mutter or mumble'].36\n\nThe _MED_ defines _mommen_ as 'to speak softly' or 'to be silent'; the OED, glossing _mumming_ (1573), adds 'muttering, mumbling'. Whatever the rules of the game, _mumble_ or _mummen_ is a fair equivalent of the sound made by most people trying to speak in a full mask. In German and Dutch the verb mum often means 'to mask'. It does not seem to be used in this way in English, although the _MED_ quotes Mum _and the Sothsegger_ for the meaning 'one who conceals the truth, a dissembler'. A late-sixteenth-century French discussion of the word mum proposes various etymologies: it comes from the Latin _mutando_ (changeableness) because mummers and maskers change their apparent identities; it comes from the Greek _'mimeomay, id est, imitari_ , ou _imitando: unde_ Mimi' and so has something to do with mimicry and imitation; or it comes from ' _mommo, id est, larva_ , faux visage, masque, en Fran\u00e7ois'. Alternatively:\n\n... mommon est _verbum fictitiuum:_ pour autant que ceux qui portent des masques, n'osans parler de peur d'estre cogneus, & aussi que par la loy des masquarades ceux qui parlent perdent le mommon, ils disent mom, mom, _inde_ mommon.37\n\n... _mommon_ is a made-up word: inasmuch as those who wear masks dare not speak for fear of being recognised, and also because by the law of masquerades those who speak lose the mumming, they say _mom, mom, whence mommon_.\n\nThe 'true' etymology seems irrelevant in the complex of associated meanings that were perceived at the time.\n\nIn English the game of dice itself is sometimes called _mumchance_. It could be applied to the game outside the context of Christmas mumming: the cheat in Walker's _Manifest Detection_ recommends weighted dice 'for a mumchance and for passage'.38 But it is also used metaphorically for 'determined silence': 'He played momme chance, and woulde make none aunsweare'.39 But _mumchance_ could also be used for Christmas mumming in general: in Perth in 1577 John Fywie admitted to the Kirk Session in December that 'he passit throche the toun strikand the drum... upone ane hors gangand in mumschance'.40\n\nA spirited and rather scabrous tale by Guillaume Bouchet gives a very full account of an old-style French mumming that draws together the various elements this discussion has been teasing out. It is a Twelfth Night party, the King of the Bean presiding, when a group of masked mummers arrive _ayans seulement des robbes fourrees \u00e0 l'envers_ ('having just their fur robes turned inside out'). They set out the dice, the purse, and the money, but while the silver is being checked one of the householders, seeing how easy it would be _de se desguiser et accoustrer comme eux_ ('to disguise himself and dress up like them') secretly leaves and dresses in the same way. Then _masqu\u00e9, et habill\u00e9 de leur livree_ ('masked, and dressed in their livery') he mingles with the mummers so that neither they nor the company notice him. The mummers make great winnings at the dice, see that a masker they think is of their group picks up the money, and leave happily. Outside, the false mummer makes off with the money leaving the others to discover that they have been duped. Each is certain that he saw one of their group pick up the winnings, but cannot tell which, even though they are said to have known each other from childhood. The false mummer returns to the party and after pretending to engage the irritated guests in another round, reveals himself and the money.41\n\nHere we have a party of mummers, seemingly long-standing friends, wearing masks and ordinary clothes inside out, who come into a house in which they are apparently strangers and gatecrash a Twelfth Night party in order to challenge the master of the feast at dice. The trick that is then played shows how thoroughly disguised they must have been and how easily all involved can make mistakes about identity. The tale has a sequel that sharpens the tension and the not wholly amicable relationship between mummers and hosts that the game often implies. The mummers, not knowing that the party guests plan to feast them with their purloined winnings, return the next night and stake sweets instead of money on the dice. Invited to unmask, they refuse, and go home leaving the laxative sweetmeats to do their worst.\n\nPLATE 6: Mummers enter a room to challenge the householder to backgammon. Crispijn van de Passe _Nieuwen Ieucht-Spieghel_ [? 1620] 149. Amsterdam: Rijksmuseum, Fr. 1349.\n\n\u00a9 Reproduced by permission of the Rijksmuseum, Amsterdam.\n\nThe Experience of Mumming\n\nAlthough clearly related in time, activity and purpose to the circumscribed anarchy of Carnival, English medieval mumming is more deliberately structured. It is a game with rules observed by both mummers and hosts and its success depends more overtly on the interaction between the participants. Mumming involves a certain skill in the management of disguise, identity and self-presentation. But the disguises mummers use do not suggest that they are deliberately impersonating anything or anyone: rather the very randomness of the most usual disguises implies a kind of negative characterisation. What the mummer is being is 'not himself, so that his identity can be fully concealed until he chooses to reveal it.\n\nIf the mummer must exercise certain skills, so too must the householder he visits. Although mumming seems to be related to the European New Year good-luck visits that date back at least to the Kalends, the visit is structured so that the mummer engages the host in a form of competition or test. The test is apparently trivial: a guessing game, a dice-play, or whatever. But the way the encounter is set up between the unrecognisable, weird-looking and sounding mummers, and the unmasked 'normal' household creates a tension that may make the competition either excitingly delightful, or potentially threatening. It is the host's role to uphold the normality of the household in the face of the strange invaders; yet there is also an obligation to show hospitality, and to co-operate with the game-challenge proposed by the unknown visitants.\n\nThe mummers' disguise seems to confer on them some of the licence associated with Carnival: in spite of the relatively tight pattern that apparently governs the mumming visit, there is a strong sense that the mummers, being unknowable, are also troublingly unpredictable. But this is Carnival not out in the streets with everyone joining in but in a confined space, on the personal territory that the host, who does not share the carnival licence, is supposed to control. The host's authority is undermined by the strangeness of the mummers, by their 'rights' to be accepted, to be fed, played with and rewarded. The power conferred by these 'rights' is reinforced by the masks. In ordinary social interchange power tends to reside with the one who gives least away: not to reveal feelings, responses and thoughts is unnerving and suggests invulnerability. A mask gives nothing away because it does not respond or change expression. This is probably what can prompt reactions of fear to any sort of mask, not just ugly ones. In fact the impassive neutrality, the 'facelessness', of many of the mumming masks may be potentially more frightening than deliberate horror.\n\nThe host has the duty to maintain the social encounter and respond appropriately, even though power is on the side of the mummer. But the relationship between mummer and host may obviously modify this situation.\n\nPLATE 7: The mask traditionally said to have been worn by Alexander Peden the Covenanter (fl. 1665\u201386) on his journeys through Scotland, to escape notice by the authorities. Stitched out of leather and horsehair, with feathers for eyelashes, it seems a typical guiser's mask.\n\n\u00a9 The Trustees of the National Museums of Scotland 2001.\n\nIf, for example, mummers and host are on different social levels the potential for inversion of normal hierarchies is complicated. If the tradition demanded that mummers generally visited only their friends and neighbours, the arrangement we see in _Bassarus_ though not in Bouchet's story, the sense of fear becomes much more playfully fictitious. There is also the question of whether the mummers might be expected to unmask at the end of the dicing game, which would greatly contain their mystery. Conventions appear to differ: the London proclamations suggest that they do not; the _Bassarus_ children are not expected to, but do; Lucina in _Soliman and Perseda_ and the hosts in Bouchet's story invite the mummers to unmask clearly thinking that they might, but are not unduly surprised when they do not.\n\nIn whatever proportions, mumming clearly depended on a mixture of playfulness and a sense of danger: both are necessary, but either might be dominant. Mumming brings the unknown (whether real or pretended) to interact with the familiar. This may be felt as a threat, welcomed as a liberating release for host as well as mummer, affectionately accepted as customary, or any combination of the three.\n\nIf the mumming invasion depended on a frisson of danger, it was presumably usually a pleasant frisson since the players knew it was unreal. But it was clearly recognised at the time that mumming was a space in which imagined violence might be realised. Two mid-fifteenth-century chronicles, possibly embroidering on fact, give mumming as the cover for attempts at royal assassination: in 1400 a group of nobles 'purposed to falle on the kyng [Henry IV] sodeynly at Wyndesore undir the colour of mummeres in Cristmasse tyme',42 and in 1415, Lollards were accused of planning 'a mommynge at Eltham, and undyr coloure of the mommynge to have dystryte the kyng [Henry V] and Hooly Chyrche'.43 Lesser violence was planned at Beverley in 1537 where a group of men were approached to go 'as it were in a mumming' to the house of a political opponent, 'and there to beate and coil the said persons there assembled and cause them to break that company'.44 The 1511 Act _agaynst disguysed persons and Wearing of Visours_ addresses the same problem suggesting that:\n\n... a Companye togeder namyng then selfe Mummers have commyn to the dwellyng place of divers men of honour and other substanciall persones; and so departed unknowen; Wheruppon Murthres felonye Rape & oder greate hurtes & inconveniences have afore tyme growen and hereafter be lyke to come by the colour therof...45\n\nOn 28 November 1536 three men with faces 'blacke and coled', one in armour, went round the parish of Chorley after dark apparently trying to terrorise their neighbours into joining the Pilgrimage of Grace. They maintained that this was only the drunken sequel to a game in an alehouse, but it was sufficient to have them up before the Justices of the Peace for Lancashire.46\n\nIn modern times, too, the dying out of the Mummers' Play on the Irish border has been blamed on the fact that 'Passes weren't given to troupes of Mummers wanting to traipse back and forth over the Border, and gangs of disguised men roaming around at night were not popular with the Royal Ulster Constabulary'.47 Brody, writing in 1969 before the arrival of British troops in Northern Ireland, finds this reaction on the part of the 'querulous Constabulary' 'delightfully comic'. Later developments make it seem less funny, activating the hint of violence that even in play seems to lurk behind the mummer's mask. Today most mummers and guisers are children, reducing again the sense of danger: but the Lancashire 'Mischief Night' and even the North American 'Trick or Treat' hints at the aggressive licence the mask might confer. When the mummers were young men, quite probably high on alcohol and holiday excitement, the threat is far more marked. Although it is more confined, more restrained and domestic, mumming seems if anything to carry a stronger potential for danger than Carnival. Perhaps the crucial difference lies in the fact that it is not a communal masking, but a confrontation, between the unmasked and the masked.\n\nNotes\n\n1 Guildhall Letter Book H, fol. 224. All quotations from the MSS are summarised in _Calendar of Letter-Books Preserved among the Archives of the Corporation of the City of London at the Guildhall_ edited Reginald Sharpe, 11 vols (London: J. E. Francis, 1899\u20131912).\n\n2 Guildhall Letter Book E, fol.2r.\n\n3 Proclamations are recorded in the Guildhall Letter Books in London in 1352, 1372, 1376, 1380, 1383, 1404, 1405, 1417, 1418, 1437 and 1451 (when they mysteriously peter out); _The_ M _aire of Bristowe is Kalendar_ edited Lucy Toulmin Smith (Camden Society NS 5; London: 1872) 80\u201385; _Records of Early English Drama: Newcastle upon Tyne_ edited J.J. Anderson (University of Toronto Press, 1982), 24\u20136; _Records of Early English Drama: Chester_ edited Laurence Clopper, 2 vols (University of Toronto Press, 1979) 1:56. See Ian Lancashire _Dramatic Texts and Records of Britain: a Chronological Topography to 1558_ (Cambridge University Press, 1984) nos 888, 890, 894, 897, 900, 903, 904, 909, 913, 915, 921, 922, 935, and 939.\n\n4 _Statutes of the Realm_ 3: 30.\n\n5 Ben Jonson _Christmas his Masque_ in _Works_ edited C.H. Herford, P. and E. Simpson, 11 vols (Oxford: Clarendon Press, 1925\u201352) 7: 218\u201321, lines 56\u20138.\n\n6 Alan Brody _The English Mummers and their Plays: Traces of Ancient Mystery_ (London: Routledge and Kegan Paul, 1971); Helm _English Mummers' Play_.\n\n7 _Christmas Mumming in Newfoundland: Essays in anthropology, folklore and history_ edited H. Halpert and G.M. Storey (University of Toronto Press, 1969) 34\u201361. Although this book is a study of the practices of a mainly rural and fishing community within then living memory, much of it provides an excellent introduction to the late medieval English style of mumming.\n\n8 More formal courtly versions, including Lydgate's problematical 'mummings' also developed; see chapter 7 on 'Courtly Mumming' 158\u201361.\n\n9 _Statutes of the Realm_ 3: 30.\n\n10 Jacques Yver _Le Printemps d'Iver_ (Paris: Jean Ruelle, 1572) 202.\n\n11 Henry Wotton _A Courtlie Controversie of Cupid's Cautels translated out of the French_ (London: F. Coldocke and H. Bynneman, 1578) 157.\n\n12 Guildhall Letter Book H fol. 54.\n\n13 Guildhall Letter Book I fol. 223r.\n\n14 Brant _Shyp of Folys_ fol. 255 (Latin version fol. 244v).\n\n15 Martial d'Auvergne _Aresta amorum LI accuratissimis Benedicti Curtij Symphoniani commentarijs..._ (Lyons: Sebastian Gryphius, 1546) 422.\n\n16 Brody _The English Mummers_ 23\u20134 and figs 1\u20133.\n\n17 E.g. Chambers _Medieval Stage_ 1: 185. The caption to a photograph in the _Independent on Sunday_ for 31 December 2000 referred to the Marshfield Paper Boys performance as 'their traditional Boxing Day fertility play'.\n\n18 Who is an eighteenth-century urban figure 'presented' by the chimney-sweeps: see Roy Judge _The Jack in the Green_ (Cambridge: Brewer, 1979).\n\n19 Guillaume Bouchet 'Des Rois, qu'on crie le Roy-boit' in _Les Ser\u00e9es_ edited C.E. Roybet, 6 vols (Paris: Alphonse Lemerre, 1875\u201381) 1: 131\u20136. Compare the _rubunte_ of the German carnival disguise: Kinser 'Why is Carnival so Wild?' 58\u201362.\n\n20 Mill _Mediaeval Plays_ 240\u201341.\n\n21 Francis Merbury _The Marriage Between Wit and Wisdom_ edited Trevor S. Lennam (Malone Society Reprints; Oxford University Press, 1971) 27.\n\n22 Minute of the Kirk Sessions of Perth for 13 February: Mill _Mediaeval Plays_ 282.\n\n23 Mill _Mediaeval Plays_ 337.\n\n24 John Palsgrave _Lesclarcissement de la langue francoyse_ edited R.C. Alston (English Linguistics 1500\u20131800 190; Menston: Scolar Press, 1969; reprint of London: Richard Pynson, 1530) 3: fol. 305r.\n\n25 Mill _Mediaeval Plays_ 163.\n\n26 Mischief in _Mankind_ , line 69. Compare 'By disguising himself as a mummer, an adult commits himself to making a public display', Louis Chiaramonte 'Mumming in \"Deep Harbour\": Aspects of Social Organisation in Mumming and Drinking' in Halpert _Christmas Mumming_ 83.\n\n27 Oxford: Bodleian Library MS Eng. hist. b. 208, fol. 43. See Ian Lancashire 'Orders for Twelfth Day and Night circa 1515 in the Second Northumberland Household Book' _English Literary Renaissance 10_ (1980) 6\u201345, at 43.\n\n28 Jonson _Christmas his Masque_ lines 57\u20138.\n\n29 Merbury _Wit and Wisdom_ 28.\n\n30 Thomas Kyd _Soliman and Perseda_ in _Works_ edited Frederick Boas (Oxford: Clarendon Press, 1955) Act 2 Scene 1, lines 212\u201319.\n\n31 Gilbert Walker 'A Manifest Detection of Dice-play' in _The Elizabethan Underworld_ edited A.V. Judges (London: Routledge, 1930) 26\u201350 at 46.\n\n32 Kyd _Soliman and Perseda_ Act 2 Scene 1, lines 231\u20137.\n\n33 Macropedius (the Dutchman Georgius van Langevelt) _Bassarus_ in _Two Comedies_ edited Yehudi Lindeman (Nieuwkoop: De Graaf, 1983) 107\u201395.\n\n34 Act 4 Scene 8, lines 1\u201321. This 'momming' recalls the 'children with blacked faces' from the North of England who used to 'go from house to house at Christmas time, sweeping the hearth and accompanying their work with little humming noises' (Brody _The English Mummers_ 4).\n\n35 See e.g. Halpert _Christmas Mumming_ 37.\n\n36 _Promptorium parvulorum_ edited A.L. Mayhew _EETS ES 102_ (1908) 296.\n\n37 Bouchet _Ser\u00e9es_ 1: 138.\n\n38 Walker 'Detection' 41.\n\n39 John Bale _The actes of Englysh votaryes_ [1560] (Amsterdam: Theatrum Orbis Terrarum, 1979) part 2, S4r. Interestingly this occurs in the context of a man disguised as a woman, who is forcibly unmasked but refuses to explain himself.\n\n40 Mill _Mediaeval Plays_ 277.\n\n41 Bouchet _Sere\u00e9s_ 1: 131\u20136.\n\n42 _John Capgrave's Abbreviation of Cronicles_ edited Peter J. Lucas _EETS 285_ (1983) 216. Capgrave here uses Walsingham (Thomas Walsingham _Historia anglicana_ edited H.J. Riley _Rolls Series 28A_ (1863) 2: 243), who merely says _sub simulatione luodrum natalitiorum_ ('under the cover of Christmas games'). Interestingly, Hall _(Union_ 16) assumes that this cover was not a mumming but a tournament, equally a Christmas game, and the other performance area for imagined violence; while Holinshed reports both Hall's version (the joust) and the 'maske or mummerie' interpretation of Walsingham: Raphael Holinshed _Holinshed's Chronicles: Richard II 1398\u20131400, Henry IV and Henry V_ (Oxford: Clarendon Press, 1923) _Henry IV_ 17\u201321.\n\n43 _Gregory's Chronicle_ in _The Historical Collections of a Citizen of London in the Fifteenth Century_ edited James Gairdner (Camden Society Series 2: 17; London: 1876) 108. This was the Acton conspiracy. There is no mention in the earlier chronicles of a disguise, or even that the assassination attempt took place at court, merely that the King was to celebrate Epiphany at Eltham. The conspirators, however, gathered in London: _Gesta Henrici Quinti_ edited F. Taylor and J.S. Roskell (Oxford: Clarendon Press, 1975) 6\u20137. Gregory seems to have assumed that the Twelfth Night festivities were to be the occasion. The attempted assassination of king or duke under cover of a masquerade later becomes a common motif in Elizabethan and Jacobean revenge tragedy: see Ewbank '\"These Pretty Devices'\" 437\u201347. Supervacuo in _The Revenger's Tragedy_ declares 'A masque is treason's licence... 'Tis murder's best face when a vizard's on' (Act 5 scene 1 lines 196\u20137).\n\n44 _Letters and Papers, Foreign and Domestic, of the reign of Henry VIII_ edited J.S. Brewer, J. Gairdner, and R.H. Brodie, 21 vols (London: HMSO, 1864; reprinted Kraus, 1965) 12: 1; no. 201, viii 97. See Thomas Pettitt 'Early English Traditional Drama: Approaches and Perspectives' _Research Opportunities in Renaissance Drama 25_ (1982) 9\u201324.\n\n45 _Statutes of the Realm_ 3: 30.\n\n46 _Records of Early English Drama: Lancashire_ edited David George (University of Toronto Press, 1991) 11\u201313.\n\n47 Letter 18.8.65, quoted in Brody _The English Mummers_ 17, note D.\nPart 2\n\nCourtly Masking\n\nPopular masking games were so widespread in the Middle Ages that it is no surprise to find them also flourishing at court. At the centres of wealth and power, in the households of the monarch, the noble, and the wealthy, masks played a significant role in the activities by which people entertained themselves. In England, between the twelfth and sixteenth centuries, the gradually increasing wealth of surviving evidence may suggest a more straightforward development than was in fact the case. Nevertheless, English courtly masking games, following the example of continental Europe and especially of Burgundy, seem to become increasingly elaborate and self-conscious, culminating in the early sixteenth century in the lavish personal enthusiasm of Henry VIII for masking in all kinds of new and traditional forms that knit into and displayed the complex personal and power functions of the court. Developments in courtly masking play reflect not only continental practices, but wider shifts in cultural perception.1\n\nThere is no hard and fast separation of courtly from popular activities: the nobility sometimes picked up and transformed popular forms such as mumming; sometimes simply joined in the wider carnival practices around them. But although the activities themselves may appear unchanged, the distinctive social and political situation of the court must alter their significance. Noble maskings inevitably express the court's exercise of power. Princes and nobles wandering the streets and throwing eggs in masked disguise carry a very different weight within their communities from private citizens doing the same things. A mumming dressed in silk, velvet, and cloth of gold carries a different social charge, means something different to both spectators and participants, from one created from sooted faces and inside-out coats. Equally the significance of the hidden identity of a masker carries a different weight in the close hierarchical structure of the court and on the street. Courtly activities both blur into and at the same moment separate from popular customs.2\n\nIt is equally hard to separate and categorise different kinds of maskings. While the variety of masking activities attracted a variety of often elastic terms \u2013 _disguising, maskelyn, mummery, mask_ , to name but a few \u2013 their participants seem to have had little interest in differentiating between them. It is not always possible to distinguish a disguising from a mummery, or a mask from either. Sydney Anglo has pointed out 'the fluidity of all forms of entertainment in the period under discussion, the way in which combats, dances, and disguisings could appear upon almost any social occasion': these many different forms combined and overlapped as the court experimented with a variety of pleasurable spectacles.3 Equally, it is not only the boundaries of genre, but those between game and performance that are blurred: masks are worn in a whole spectrum of activities, from tournaments to pageants to dances, in which the demarcation between 'performer' and 'spectator' becomes thoroughly elusive and sometimes non-existent. At court we often find a seamless continuum between the participatory play of dancing in masks, and the dramatised _d\u00e9bat_ or spectacular pageant car that might also be part of the evening's entertainment. As with carnival masking, there is rarely a distinct body of 'spectators' watching a distinct body of 'performers'.4\n\nIn discussing courtly masking activities, we will have to break down this fluid pattern of revelling; but we must remember that the categories we use are largely ours and not theirs. As William Streitberger points out, 'the conception of genre was flexible and inclusive, not definitive and exclusive as ours is'.5 Equally, the terminology used in records and chronicles may well make distinctions that are not ours, and which we may not recognise. Our discussion explores the various masking activities of the English courts, attempting to understand what they meant to those who engaged in them. Predictably, two lines of interest tend to emerge most strongly. Since the courts and noble households are centres of wealth and authority, courtly entertainments are inevitably, if usually indirectly, linked to and expressive of the power these centres exercised. In masking activities, where faces were hidden, questions of power combine and often interact with questions of identity and its role in courtly communities. While courtly masking raises all kinds of issues, these two recur as central.\n\nNotes\n\n1 For general views of late medieval courtly entertainment see Juliet Vale _Edward III and Chivalry: Chivalric Society and its Context 1270\u20131350_ (Woodbridge: Boydell Press, 1982); Gordon Kipling _The Triumph of Honour: Burgundian Origins of the Elizabethan Renaissance_ (The Hague: Leiden University Press, 1977); Sydney Anglo _Spectacle, Pageantry and Early Tudor Policy_ (Oxford: Clarendon Press, 1969); Suzanne R. Westfall _Patrons and Performance: Early Tudor Household Revels_ (Oxford: Clarendon Press, 1990); William Streitberger _Court Revels: 1485\u2013155_ 9 (University of Toronto Press, 1994).\n\n2 See e.g. Gurevich _Medieval Popular Culture_ 176\u2013210; Nijsten 'Feasts and Public Spectacle'; Ruiz 'Elite and Popular Culture'.\n\n3 Sydney Anglo 'The Evolution of the Early Tudor Disguising, Pageant and Mask' _Renaissance Drama NS 1_ (1968) 7; see also Streitberger _Court Revels 6_.\n\n4 Sarah Carpenter 'The Sixteenth-century Court Audience: Performers and Spectators' _Medieval English Theatre 19 (1999_ for 1997) 3\u201314.\n\n5 Streitberger _Court Revels_ 4.\nChapter 5\n\nTournaments\n\nThe tournament might not seem an obvious place to begin a discussion of court masking. A tournament, we might assume, is a war exercise in which face-covering is functional, rather than a theatre game in which it is expressive. Yet throughout Europe the tournament was an inextricable part of courtly revels: records of tournaments predate those of almost any other entertainment. An association between these tournaments and disguising spectacles begins very early: from at least the thirteenth century, European tournaments began to be framed as chivalric pageants, and by the sixteenth century it is often impossible to separate the elements of disguising and combat in chronicle accounts.1 The overlap between the defensive and the expressive qualities of the visored helmet is equally difficult to unravel. The primary reason for covering the face does not cancel its signifying effect on a spectator. So the helmeted motorcyclist or American footballer, or the masked surgeon, may have no thought but to protect themselves and others; but concealing the face immediately changes the wearer's relationship with those around. The impression of aggressive threat, heroic glamour, or impersonal objectivity that such face-coverings can activate is not simply dispelled by knowing that these masks are primarily protective. The same is true of the jousting helm.\n\nEnglish medieval tournaments were part of the European tradition, in which the most elaborate events had always attracted international participation. The history of the European tournament as a court sport shows distinct shifts both in the structure and in the purpose of events.2 The overall trend was away from the early focus on group combat towards encounters between individuals. This mirrors changes in the social function of the tournament. Evidence suggests that it was initially seen primarily as a training exercise in battle skills and in chivalry.3 But between the thirteenth and fifteenth centuries, the increasing presence of spectators, especially female spectators, the provision of dedicated and defined tournament grounds, and above all the enhanced degree of spectacle, show this military role gradually overlaid by other purposes. Early studies argued that the seriousness of the original tournament was eroded by such 'mere theatricality', but it is increasingly recognised that the spectacular pageantry of the later tournament had purposeful and serious functions of its own. In England the immensely lavish tournament events of Edward III, like those of fifteenth-century Burgundy imitated by James IV of Scotland and Henry VIII, were not simply inert and frivolous shows but worked to create the very power and magnificence they sought to demonstrate. Late medieval and Tudor tournament spectacle confirmed and broadcast important political and social perceptions about the noble participants and their roles within their societies.4\n\nWe are primarily concerned with one particular aspect of tournaments: the fact that, from very early on, the participants covered their faces during at least parts of the activity. From the end of the twelfth century the commonest form of head protection was the 'great helm', which covered the head, face and neck, sitting on the shoulders and fastened with straps to the body-armour. Bars or slits in the face allowed for vision. From the early fifteenth century the great helm was gradually overtaken either by the visored bascinet or by the frog-mouthed helm, an entire head-covering hasped to the body armour, whose point-repelling structure not only covered the face within but disguised even its human shape, leaving only the tiniest crack for sight.5 This face-concealing helm, though primarily a piece of combat equipment, also links the tournament with other kinds of courtly masking.\n\nFIG. 4: Great Tournament Helm (Black Prince)\n\nFIG. 5: Frog-mouthed Helm\n\nThere was a very practical connection between the two. Not only does the tilting helm produce a similar effect to a full-head mask, but its construction and decoration involved very much the same skills and materials as we find in later mask-making in the Revels accounts. Edward III's Wardrobe accounts reveal how it is the armourers who are paid for 'velvets, taffeta, silks, and buckram for trappers, banners, and... _falsa visagia_ to be worn in Tournaments'.6 When the Office of the Revels itself was first established in 1544\/5 its Master was made responsible 'As well of all and singular masking garments... as allso of all bards for horsis, covering of bards and bassis of all kynds'.7 In other words, he was in charge of producing the 'costumes' for tournaments as well as maskings and disguisings.8 Originating as they did in the same workshops, it is not surprising that they had a shared theatricality.\n\nThe tournament's steadily increasing focus on theatrical display clearly affects the potential significances of the helm. Once the purpose of the combat became not only to improve one's battle skills and win, but to display oneself to spectators while doing so, the conscious performance of chivalry threw a crucial emphasis on appearance. The chivalric ethos itself tends to view the knight's appearance as not incidental to but semantically inextricable from his qualities of nobility, as shown in the common allegorical readings in the literature of chivalry of the knight's accoutrements.9 On display at the tournament, the great jousting helm becomes not just a practicality but an increasingly significant theatrical sign directed at the spectators, an emblem, as well as a protective concealment, of the wearer.\n\nThe presence of spectators was accompanied by an escalation in spectacle: armour, accoutrements, trappings, and the tournament ground itself became increasingly sumptuous, the splendour of all aspects of its presentation an assertion of the magnificence of the sponsor and participants, and a cause of wonder for the spectators. This gorgeousness extended to the helm with its increasingly elaborate decoration and crest, which draws attention away from the fighter's concealed face and onto the brilliance of his carapace, so that his personal identity is subsumed into the spectacle of magnificence he presents. The massive frog-mouthed helms of the fifteenth century, surmounted by fantastic crests that towered above or swept below the combatants, replace the vulnerability of the human face with a rhetorical theatrical splendour.\n\nThis growing emphasis on theatrical display accompanied changes in the role of the individual combatant. The earliest tournaments were largely group affairs where bands of fighters would meet for 'friendly' battle on ground that was initially not even defined or fenced.10 Gradually the battle ground was delimited, place made for spectators, and from about the end of the thirteenth century individual combat, in particular the horseback joust with lances, begins to take over from the general _mel\u00e9e_ as the centrepiece of tournament display. The joust was enhanced by various technical innovations. Advancing technology of steel-production which led to the introduction of plate armour during the fourteenth century made the direct lance-charge more feasible because less deadly.11 The 'tilt' or barrier that guided and separated the combatants also threw more emphasis on the artistry with which spears might be broken or opponents unseated. Elaborate rules of play and of scoring were formulated for the jousts.12 The general display of skill in battle offered by the _mel\u00e9e_ had by the fifteenth and sixteenth centuries been overtaken by a spectacle in which two lavishly adorned individuals competed for personal glory in a dangerous but highly-defined battle-sport.\n\nThese technical changes in the form of combat demonstrate two opposing impulses that help to define the special role of the helm. On the one hand the new plate-armour increasingly encased and concealed the individual fighter, accentuating the obliteration of the human figure inside. The closed visor confirmed the anonymity of the wearer who became an almost mechanical symbol of chivalric magnificence. Yet the growing focus on single combat which the plate armour facilitated paradoxically made the identity of the now hidden individual an increasingly important aspect of the tournament's purpose. The quest for personal achievement and glory meant the gorgeous panoply must display, as well as protectively conceal, the identity of the wearer. So alongside the development of plate armour we find the development of a complex heraldry to identify the combatants. From the late thirteenth century the coats of arms, crests, and devices which identified the knight by family and inheritance grow more spectacular. Simple colour patterns are overtaken by more elaborate visual decoration and emblems revealing his genealogy. Identity is presented in magnificent and public terms, locating it in the birth and nobility of the wearer.13 These conflicting impulses to conceal, yet reveal, identity have special bearing on the tournament helm. With the face concealed, the surmounting crest became ever more elaborate: exotic creatures, emblems, and objects surmount the wearer's head. These crests signify the hidden identity of the fighter, but it is a public identity in which both the individual and his society are defined by the magnificence of noble display.\n\nIn understanding the assumptions of the late medieval English tournament a good place to begin is Ren\u00e9 d'Anjou's _Trait\u00e9 de la forme et devis d'un tournoi (Trait\u00e9 des tournois_ ), an elaborately illustrated fifteenth-century French treatise which offers a detailed commentary on the organisation of the ideal tournament.14 It is a central document for the culture and thinking surrounding the European tournament, whether or not its practices were ever exactly followed. Most of the treatise, both the text and the striking illustrations, is devoted to the ceremonial spectacle of the tournament. In this display the helm plays a central part. Detailed illustrations of armour show revealingly how the bascinet, the plain protective steel head-piece with face-covering visor, is surmounted first by a leather cap and then a gloriously elaborate heraldic crest, turning the simple helmet into a fantastic theatrical masking spectacle. In the following pictures of the fully accoutred knights this helm definitively transforms the fighting man into a lavish emblem of magnificent chivalry [PLATE 9]. The heraldic crested helm insistently reveals the dynastic identity of the wearer; but its masking effect suppresses all other aspects of identity. This effect probably facilitated the combat of the tournament, depersonalising the fighters so that the paradox of 'friendly' chivalric aggression could be played out. Malory's Lancelot, roughly contemporary with Ren\u00e9's work, is shown as deliberately engaging in ferocious tournament combat with his friends and kinsmen when they are visored, but is unable to continue once he pulls off their helms to reveal their faces: 'he myght have slayne them, but when he saw their visages hys herte myght nat serve hym thereto, but leffte hem there'.15\n\nPLATE 8: Construction of the tilting helm and its crest. Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_.\n\nParis: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 20r, detail.  \nClich\u00e9 \u00a9 Biblioth\u00e8que nationale de France, Paris.\n\nRen\u00e9's idealised tournament envisages another important role for the helms. He recommends that the day before the combats the participants' crested helms should be displayed in a convenient cloister. The judges, and the ladies as crucial spectators, visit the display of crests: while a herald identifies the land and name belonging to each crest bearer, the visitors may point out and reject any dishonoured participants [PLATE 10]. In this display and judgement of the crests the mask-like helm takes over and almost replaces the person of the wearer. Within the context of the tournament, the knight _is_ the crest. W.H. Jackson points out that in some fifteenth-century German tournaments the object of swordplay in the mel\u00e9e was 'not to injure an opponent, but to hack off the decorated crest of his helm'.16 The _Trait\u00e9 des tournois_ confirms the chivalric importance of the helmet-mask as a vividly visual expression of heraldic identity.\n\nTournaments and Theatrical Spectacle\n\nThe spectacular was as important a part of tournament head-coverings as the heraldic. Even by the fourteenth century magnificently elaborate and fantastic headpieces were appearing widely in works that purport to illustrate real as well as fictional events.17 Alongside lavish plumes, colours, and streamers, are figures of real and mythical creatures, emblematic objects, fantastic or grotesque crests, often doubling or tripling the height of the helm. Examples from the early-fourteenth-century German Manesse anthology show crests of trees, a peacock's tail, eagle, wolf, and dragon. The _Trait\u00e9 des tournois_ depicts a giant's head, a wheel, reversed manacled legs, a candelabrum. Hall records Henry VIII running at the ring 'with a great plume of fethers on his head peace, that came down to the arson of his sadell'.18\n\nPLATE 9: Helmed knights waiting for the beginning of the mel\u00e9e. Among the helm devices are a man pulling his own forelock, a pair of legs in manacles, a pillar, a seven-branched candlestick, and a bridled donkey Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_ : Flemish (c. 1465). Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 62v, detail.\n\n\u00a9 Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library.\n\nPLATE 10: The ladies survey the helms. Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_ : Flemish (c. 1465). Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 48r, detail.\n\n\u00a9 Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library.\n\nOne obvious effect of such superstructures is to increase the size, height and impressiveness of the wearer.19 In part this simply corrects the proportional balance between head and massively armoured body: just as classical Greek theatre required elevated footwear to balance the full-head masks of tragedy. But the impression of being larger than life which the crested helm endows also asserts the heightened and idealised chivalric prowess of the combatants. In England, fifteenth-and sixteenth-century accounts of jousts sometimes record crests being removed before fighting itself begins: the defenders in Henry VII's jousts of 1495 were trapped with black velvet and gold 'with mygthy ostrych ffedyrs upon theyr helmettys The which they avoyded when they began to Run', while the Duke of Buckingham jousting before the King at Westminster in 1501 'wyth an excedyng bush of Ostrych ffedyrs upon his helmet... cawsid the said Bush of ffedyrs to be takyn ffrom his hede pese and to be presentid unto the kyngis Tent' before the jousting.20 This confirms an impression that the dramatic splendour of the helmet-mask was not primarily concerned with practical questions of either identification or defence. The splendour of the crest asserts the glory of the wearer in the spectacular entry into the lists: tournament descriptions, both in treatises and chronicles, suggest that this was almost if not more important than the combats themselves. Ren\u00e9 d'Anjou in fifteenth-century France and Edward Hall in sixteenth-century England both spend a great deal longer describing ceremonial and, in Hall's case, minutely detailed costume, than any fighting. It was in this spectacle that the great helms played their most significant role.\n\nThe more fantastic crests confirm the underlying playfulness of the tournament occasion. They also accentuate the mechanical, almost inhuman, quality of the armoured faceless knights who can appear almost like marionettes of themselves.21 But there were also crests which represented recognisable heads: human or animal, fantastic or realistic. Usually we are shown an entire head and neck surmounting the helm [PLATE 11], but the head could be built into the helmet itself, as with the 'hedpeces... lyke Lyons heddes the Mouthe devowringe the mannes hed helmetwise' mentioned in the Revels accounts of 1553.22 Some idea of the effect can be gained from the splendid parade helmet, possibly Venetian, illustrated in PLATE 12.23 Otherwise the head might grow out of the 'neck' provided by the helmet, as we see in the striking tournament helm of John de la Pole on his tomb in Wingfield parish church24 which is crested by a wonderfully carved rather larger than life Saracen's head [FIG. 6]. When worn, such a helm would turn the jouster into a theatrical giant, a dramatically towering being. An illustration from the early-seventeenth-century Kraichgauer tourney book, purporting to picture a joust of 1179, gives some impression of the effect such a helm conveys in action, the galloping knight topped by a giant's head with flowing hair.25 The awesome effect of such figures clearly partly depends on an element of impersonation.\n\nThe combatant's helm signifies his own chivalric identity, but it also creates an identity of another kind.\n\nFIG. 6: De la Pole crest, Wingfield Photo: John Marshall\n\nImpersonation, at many levels, had from early on become an intrinsic part of tournament display. Across Europe tournaments had soon begun to borrow from fictional romance.26 In the thirteenth century the famous French tournament at Le Hem in 1278, recorded in the elaborate _Roman du Hem_ , was paralleled in an English Round Table of Edward I in 1284: both were constructed around romance themes, with defenders and challengers taking on Arthurian roles.27 Increasingly, such fictional romance frameworks led to knights assuming the names and roles of romance characters, familiar or invented. This is where the tournament gear becomes in a modern sense a 'disguise' or theatrical costume, endowing the knight with a new persona for the duration of the tournament. It is one of the areas of tournament practice where we can see most clearly the overlap with drama and performing art. Early romance scenarios reached a climax in the tournaments of fifteenth-century Burgundy in which, as Gordon Kipling shows, 'costumed knights regularly entered the lists in pageant cars, hung their shields upon trees, and fought among elaborate scenic devices that transformed their combat into episodes from chivalric romances'.28 However, although knights entering such tourneys were often richly dressed with identifying coats of arms, the masking element of such disguise is less crucial in such events, since the impersonation of a Lancelot, Tristan, or Florimont is largely determined by narrative context rather than appearance.\n\nPLATE 11: Joust between Louis de Beauveu and Robert d'Estouteville, Saumur, 1446. Ren\u00e9 d'Anjou _Pas du Perron_ , French (c. 1470\u201380). St Petersburg: National Library of Russia, MS Fr. F p XIV 4, fol. 22v.\n\n\u00a9 Reproduced by permission of the National Library of Russia.\n\nPLATE 12: Venetian lion helmet (salade), c. 1460: steel, enclosed in copper gilt. The knight's face is glimpsed through the lion's mouth. The Metropolitan Museum of Art, Harris Brisbane Dick Fund, 1923 (23.141).\n\n\u00a9A11 rights reserved, the Metropolitan Museum of Art, New York.\n\nLater, but much more striking examples of genuine masking impersonation are provided by the 1557 Tournament of the Hussars' in Prague, where the twelve knights representing the enemies of Christendom had visors portraying the faces of Turks and Moors fitted to their helmets. These, in all their characterising detail, can still be seen in the Kunsthistorisches Museum, Vienna [PLATE 13].29 The idea of turning a helmet visor into a fully characterised mask is clearly ancient. The Roman helmet-masks found in England and Scotland and described as 'parade' or 'circus' helmets, are sophisticated examples, which may link with the Anglo Saxon helmet from Sutton Hoo.30 All would seem to confirm the powerful association between protective and expressive face-coverings.\n\nPLATE 13: Moorish and Turkish visors from the Prague 'Tournament of the Hussars' (1557). Vienna: Kunsthistorisches Museum, Hofjagd-und R\u00fcstkammer, B 69 and 62.\n\n\u00a9 Reproduced by permission of the Kunsthistorisches Museum, Vienna.\n\nRecords of English tournament disguises confirm the power and popularity of direct impersonation even without either romance frames or helmet-visors.31 Here the disguises shift the focus from the individual to the group. London in the mid-fourteenth century saw elaborate tournaments in which the teams were disguised as Tartars (1331), the Pope and Cardinals (1343), the Mayor and Aldermen (1359) and even the Seven Deadly Sins (1362).32 Costume details, where recorded, suggest that masks formed a striking feature of the ceremonial processions preceding the combats, though the relationship, if any, with the tournament helms is not always wholly clear. In the 1331 'Tartars' tournament we find William of Montacute, the tournament's patron, processing together with King Edward III and other chosen knights, _omnes splendido apparatu vestiti et ad similitudinem Tartarorum larvati_ ('all clothed in splendid apparel and masked like Tartars'). These sound more like disguising masks and costumes than helmet visors: although there is plenty of later evidence for knights fighting disguised as Turks, Tartars, and Saracens. Apart from the steel Turks' visors of the Hussars tournament, we find Malory describing Lancelot's party as fighting in a tournament 'arayed... as they had ben Sar[a]syns'; while in 1501 Sir Nicholas Vaus is recorded as jousting 'apparaylid afftir the Guyse of a Turk or a Sarasyn with a white Rolle of ffyne lynyn cloth abowth his hede the endys hangyng pendaunt wyse'.33 Such impersonating disguises, apart from confirming the close relationship between jousts and masking spectacle, could contribute overtly to the topicality of the tournament. The defending team who fought disguised as Pope and Cardinals in 1343 against challengers including the Prince of Wales, reflected a particular moment of hostility against the Papacy. The theatrical battle thus allowed the political conflict to be ceremonially enacted and played out.34 The tournament of the Seven Deadly Sins in 1362 was held responsible by chroniclers for ensuing disasters, probably because it was a deliberate and foolhardy joke against the pulpit commonplace that tournaments were a hotbed of all seven.35\n\nWhile such disguises sharpen and enhance the tournament war-games, others seem to play in tension with the combat. In the mid-thirteenth century Ulrich von Liechtenstein undertook a personal jousting quest from Venice to Vienna in disguise as Lady Venus, apparently in women's clothes, and claimed that his disguise was never penetrated.36 It is impossible to tell how far his account is fictionalised, but the contradictory vision of the heroic male fighter representing himself as the feminine icon whose vulnerability he supposedly defends is a powerful one, and clearly relates to the complex psychology of the chivalric ethos which plays upon blurred distinctions between friend and enemy, civilisation and aggression, and even male and female.37 Such cross-gender tournament disguises are recorded at the coronation jousts of Henry of Cyprus in Acre in 1286, where the participants:\n\n... contrefirent la table reonde et la raine de Femenie c'est asaver chevaliers vestus come dames et josteent ensemble; puis firent nounains quy estoient ave moines et bendoient les uns as autres... et mout d'autres jeus biaus et delitables et plaissans.38\n\n... impersonated the Round Table and the realm of the Amazons, that is to say, with knights dressed as ladies jousting together; then enacted nuns who were with monks, who fought against each other... and many other fine, delightful, and pleasing sports.\n\nThe fighting Amazons are naturalised by the tournament context, but the knights disguised as nuns in combat with monks (at a time when the Church still opposed tournaments) clearly contravene two different decorums, of gender and of religion, in what was obviously felt to be a delightfully pleasurable violation.39 Costumes like this also demonstrate the non-illusionist nature of most tournament disguise. This cannot be a disguise which attempts to persuade the spectator that the knight 'is' a nun, Amazon, or even Tartar or Cardinal. Tournament disguise projects an extravagantly and consciously playful theatrical identity held at a distance from the knight beneath.40\n\nAt its extreme, recognition of this impulse led to playful caricature armour. Examples survive of grotesque German parade helmets with visor-faces said to be based on carnival masks. One was presented by the Emperor Maximilian to Henry VIII and is now in the Royal Armouries at Leeds:41 the visor represents a detailed and expressive comic face, probably a caricature of Maximilian himself, surmounted by extravagant ram's horns [PLATE 23]. More serious play with the distance between knight and disguise is found in the figure, popular in English tournaments of the fifteenth and sixteenth centuries, of the hermit knight, an old warrior retired from arms to contemplation yet returning for a final display of chivalry. He appears in the tournament celebrating the marriage of the four-year-old Prince Richard, son of Edward IV, in 1477\/8. Antony Woodville, Earl Rivers entered the lists in a portable pavilion made like 'the house of an Ermyte walled and covered with blak velwet wyndowed of umple in the fourme of Glas'.42 Rivers emerged with a white cassock over his armour, and a streamer 'fro the upermost of his helme unto the crowpour of his horse' of tawny satin sprinkled with golden tears, before removing his cassock to enter the joust in honour of Prince Richard whose tutor he had been appointed.\n\nHere, as in subsequent examples, there is almost a double disguise: the hermit persona of age and contemplation casts off his cassock to reveal the fully armed emblem of chivalry ready for the tilt. So we find Charles Brandon in the Great Tournament of 1511 entering the lists in pilgrim's hat and 'a long & fforgrowyn berd Rechyng to his Sadyll bowe' who 'cast ffrom hym hastely his clothyng berd & hat and shewid hym sylf In brygth harneys'.43 participants were clearly aware of the effects of such layered disguises: at Greenwich in 1515 Henry VIII, disguised as a white hermit in 'scopelary mantel', and the Duke of Suffolk 'appareilled like a black armite all of blacke velvet, both ther berdes were of Damaske sylver', threw off their disguises to reveal reverse colours, the king armed in black, the Duke in white.44 Opposing identities, all theatrical, play against each other.\n\nAllegorical identities were also frequently demonstrated in ways which exploited the helm. Tournament crests might present a symbolic object, like the winged heart which identifies the 'chevalier du cuer' in the impressive illustrations to Ren\u00e9 d'Anjou's fictional allegory _Livre du_ Coeur.45 Very frequently though, allegory was identified in mottoes or _imprese_ , words or emblematic pictures which appeared on the combatants' armour and trappings.46 The tournaments of Edward III sometimes featured emblems and mottoes of the concealed King ('It is as it is' for tournament gear in 1342); the trappings for Henry VIII's tournament of 1511 carried the allegorical names assumed by the king and his co-defenders, Coeur Loyal, Vaillant Desir, Bone Vouloyr, and Joyous Penser.47 At the Field of Cloth of Gold in 1520:\n\n... on the bardes and apparell were litle mountaines & springyng braunches of Basile, wrought all of fyne gold, and every braunche, lefe, and stalke, was lose and waveryng, all thicke and full of leaves and braunches... ye reasons written on the borders was thus, _Breake not these swete herbes of the riche mounte, doute for dammage_.48\n\nSuch _imprese_ are not directly connected with the masking effect of the helm itself; but by further focusing on the idea the knight represents they draw yet more attention away from the hidden wearer; and the glorious enigma of the _impresa_ is intensified when the knight's helmet covers his face. The spectacular theatricality of the later tournaments had transformed the simple face-protection into a complex masking device.\n\nTournaments and Individuality\n\nThe development of the tournament towards single combat obviously led to increasing focus on the skills and glamour of the individual fighter, a fact often exploited by rulers in the establishment and advertisement of political power.49 In Britain, where monarchs took part in tournaments from very early on, Richard I, Edward III, James IV of Scotland, and Henry VIII all used their tournament prowess to create and publish powerful chivalric images for themselves.50 For all participants, the competitive structure of the tournament made the individual display of martial skill and glamorous chivalry central.51 The emphasis on individual prowess naturally heightens consciousness of the fighter's identity, as revealed by both helm and face. Some later chronicles note a careful etiquette of visoring and unvisoring, riding helmed or bare-faced, at different moments of the tournament. _The Great Chronicle of London_ records how after the spectacularly costumed jousting of 1501 for the wedding of Prince Arthur and Katherine of Aragon 'the Deffendours were conveyd abowth the Tylt opyn vysagid & bare hedyd theyr helmys born befforn theym'. Similarly it records _two_ triumphant laps of the tilt by Henry VIII in 1511, first 'wt his hede pese upon his hede' and then in an entirely new costume 'Ridyng bare hedyd' with his helmet borne before him.52 The bare-faced acknowledgement of triumph seems an important adjunct to the spectacularly concealed display in combat.\n\nWith such heightened awareness it is not surprising that later tournaments became occasions for playing with the display of identity. Participants show a fascination with dressing up and disguise, with both self-display and anonymity, which is not only theatrical but also intimately connected with ideas of the chivalric self. Romance literature across Europe, for example, shows a notorious preoccupation with knights who choose to fight tournaments either in disguise or anonymously: the _chevalier inconnu_ , an object of fascinated attention who displays chivalrous skill in public spectacle yet remains unknown to the spectators, is a key figure of many romance tales.53 Devisers of tournaments drew on and exploited this figure.\n\nMalory's Lancelot offers a familiar English example which may help to unravel the significance of the _chevalier inconnu_ in later English tournaments. When Lancelot conceals his identity in tournament at Astolat or Winchester, he does so by the obvious masking gesture of keeping his visor closed and changing his habitual shield and crest, the insignia of his chivalric and public self. He borrows a shield, fastens a lady's sleeve to his helm, and immediately the full armour is an impenetrable disguise.54 While complex reasons of personal loyalty are often established for Lancelot's change of persona, one central underlying motive is the need to demonstrate glory by personal merit rather than reputation. The unknown knight links to ongoing debates about the external or internal nature of honour, whether it is derived from birth, inheritance, or reputation, or from intrinsic virtue.55 Is the tournament knight noble by virtue of the inherited heraldic identity he displays, or by virtue of his personal capacity in action? To fight in disguise allows the knight to explore the limits of his public and private capacity.56 When Malory's Lancelot fights unknown his role is to prove that outer and inner are inseparable: his reputation as the best knight is always justified by his performance. But for the gesture to be fully successful he must in the end be recognised. A knight who fights unknown puts off the public chivalric identity of the heraldic tournament armour; but he does so in order to prove his right to it. Since this requires public recognition, the knight must first deny but then resume the public identity embodied in the tournament insignia.\n\nVarious tournaments framed as romance narratives involve figures of 'unknown knights', but in these the anonymity of the fighter is defined by the fictional frame. More notable are instances of knights, especially the powerful and famous, fighting anonymously for non-fictional purposes. Edward III is recorded as fighting in a tournament at Dunstable in 1342 _ad modum simplicis militis_ ,57 possibly in the arms of his infant son Lionel whose betrothal the tournament honoured; while in 1334 he had apparently fought in the Arthurian incognito of 'Sir Lyonell',58 and at other events in the arms of certain of his knights.59 Not enough information survives to determine Edward's motives, but apart from the Arthurian delight in such fictive disguise it offered the opportunity both to prove his own powers and to honour those subjects whose arms he bore. When Christ comes to 'juste in Pieres armes' in _Piers Plowman_ , Faith explains that he does so for 'gentries', to show humility and honour to Piers, and in order to set aside the protection of his status by not being known as God.60 In Edward III's case all such purposes would be dependent upon his disguise being penetrated. If none of the spectators and participants realised that the unidentified knight was the king, honour would not redound either to Edward or to the subjects whose arms he bore. Tournament disguise must at some level be intended to be transparent.\n\nA later anecdote about Henry VIII's youthful jousting enthusiasm throws further light on this. Henry was seen by contemporaries in the early years of his reign as 'yong and lusty, disposed all to myrth & pleasure', including the exercise and display of his chivalric prowess, and games of disguise.61 In the first year of his reign the eighteen-year-old king 'beyng secretly informed' that some gentlemen were holding a private joust, armed himself with one of his privy chamber 'and so came into the Iustes, unknowen to all persones, and unloked for'.62 As the _chevalier inconnu_ pattern demands, there was 'greate praise geven to the two straungers, but specially to one, whiche was the kyng'. The apparently impromptu nature of this incident suggests that Henry was indeed aiming by concealment to prove his valour and skill, though how much stage-management was involved we cannot tell. The climax of the episode involved the discovery of the king's identity. When his companion was badly hurt, 'one persone there was, that knew the kyng, and cried, God save the king, with that, all the people wer astonied, and then the king discovered himself, to the greate comforte of all the people'. The episode sounds rather less spontaneous than Hall implies, but confirms both Henry's use of anonymity for chivalric honour and the need for identity to be 'discovered' if the gesture is to have its proper impact. The disguise of the closed helm might well have been total, and the injury that led to its removal unlooked for; but Henry's action nonetheless seems based on the premise that at some point his identity would be revealed.\n\nMost records show anonymous participation in tournaments as carefully planned, and playing far more openly with the spectators' penetration of the disguise. One fully recorded and beautifully illustrated example is found in the career of Richard Beauchamp, Earl of Warwick, an enthusiastic tourneyer of the early fifteenth century. As captain of Calais, Beauchamp 'cast in his mynde to do some newe poynt of chevalry,' and devised an elaborate three-day tournament in which he would act as defender against all comers, incognito.63 On the first day he came 'to the felde his face covered \/a bussh of Estrich fethres on his hede' and after unseating his opponent 'wt cloos visar retorned unknowen to his Pavilyon'. The second day he jousted again 'his visar cloos \/a Chaplet on his basnet \/and a tufte of estrich fethres alofte', while on the third day 'Erle Richard came in face opyn \/his basnet as the day afore. Save the Chapellet was rich of perle & precious stones' [PLATE 14]. His mask now removed, Beauchamp claimed the victories of the two previous days and set out to repeat them. This seems a fairly straightforward version of the _chevalier inconnu_ , with increasingly spectacular mask-helm, finally revealed to claim his rightful honour. Yet the account also meticulously reveals the arms Beauchamp bore: on the first day those of his ancestor Lord Tony, on the second family arms of Mauduit of Hanslope, on the third these quartered, plus those of Guy and Beauchamp. This heraldic declaration, together with the elaborately set up and publicised challenges and arrangements, make it highly unlikely that any one could have been unaware of his identity.64 The ritual of anonymity must have been an open secret in which the spectators colluded. The mask-visor must be kept on until due time in order to establish and enhance the honour of the wearer; but it is a chivalric sign for concealed identity rather than an actuality.\n\nPLATE 14: Earl Richard jousts on the second day at Guisnes with his visor closed. _The Beauchamp Pageants_ (1485\u201390). London: British Library, Cotton MS Julius E IV fol. 15v.\n\n\u00a9 Reproduced by permission of the British Library.\n\nPLATE 15: King Henry VIII enters under his pavilion as Noble Coeur Loyal (1511). London: College of Arms, _Great Tournament Roll of Westminster_ mb 13.\n\n\u00a9 Reproduced by permission of the College of Arms.\n\nHenry VIII's enthusiasm for tournaments also expressed itself in very consciously manipulated play with notions of disguise and identity. His impromptu appearance at the private tourney heralded a number of spectacular official tournaments in which he participated in magnificently transparent camouflage. The 1511 tournament to celebrate the birth of his son, extensively documented in chronicles, expense accounts, and the _Great Tournament Roll of Westminster_ ordered to record and celebrate the event, provides a characteristic example. The fictional framework of this tournament is that the Queen Noble Renome, hearing of the birth of the prince, has sent four knights \u2013 Coeur Loyal, Vaillant Desir, Bone Vouloyr, and Joyous Penser \u2013 to celebrate with feats of arms. Although references to Henry in the challenge suggest that the king's role will be that of patron rather than participant,65 Henry in fact took the role of Coeur Loyal, and along with three noble companions appeared in the disguising revels and the two days of jousting in lavish costume, each adorned with his allegorical name in letters of gold. The magnificent costuming was, in part, aimed at disguising the combatants' real identity and at presenting them as four equals. While the challengers enter the lists in a wide variety of pageants and costumes, Henry and his supporters are all attired in the same colours and designs, all adorned with the letters H and K.66 The masking effect of their tournament armour and helms is intensified by their entry into the lists, each in a matching portable pavilion held over him as he rode, a full-body 'mask' which drew even more spectacular attention to the hidden defenders inside. The king rode 'under a Pavilion of cloth of golde, and purpul Velvet enbroudered, and poudered with H & K of fyne golde... in the front of the chafron was a goodly plume set full of musers or trimbling spangles of golde' [PLATE 15]. These pavilions not only hid the riders on their way to the lists, but acted as a changing room for Henry to shift into other splendid garments at stages during the proceedings. The richness of the display was both an end in itself, and a concealment of the king; it drew the gaze, yet hid the occupant from it.\n\nBut in spite of the masking effect of the pavilion, matching costumes, visored helm, and allegorical persona, it is obvious that the whole tournament was in fact designed to reveal and celebrate the identity of the king. Anglo has demonstrated how the organisation of the processions and jousting show 'the King always occupying the most striking position', the spectacle always focusing on him.67 It is clear, too, that the king's masking accoutrements were differentiated from his supporters in ways that drew attention to his uniqueness: their pavilions are of damask, his of velvet and cloth of gold; all topped with the golden K, but his surmounted by an imperial crown; theirs fringed with silk, his with damask gold. All the while that his splendid disguise asserted that he was unknown, it simultaneously insisted on his identity. Like Richard Beauchamp, Henry and his spectators were taking part in a chivalric game of anonymity designed to heighten the individual honour of the masked knight. As Castiglione explained, the exponent of feats of chivalry must:\n\n... pascer gli occhi dei spettatori di tutte le cose che gli parr\u00e0 che possano aggiungergli grazia... motti appropriati ed invenzioni ingeniose, che a s\u00e9 tirino gli occhi de'circonstanti come calamita il ferro.68\n\n... feede the eyes of the lookers on with all thinges that hee shall thinke may give a good grace... and to have proper devises, apt posies, and wittie inventions that may draw unto him the eyes of the lookers on as the Adamant stone doth yron.69\n\nTournament disguises could also reveal more personal aspects of the tourneyer's hidden self. As far back as Ulrich von Liechtenstein, we are told that his persona as Lady Venus was a dramatisation of his own rejection by a lover.70 It has been argued that James IV's famous Edinburgh tournament of the Black Lady in 1507\/8, in which James jousted as the Wild Knight led by wildmen in goatskins and horns, enacted the king's ambivalent relationship with the recently 'subdued' highlanders. By adopting a mask of wildness, James was able both to appropriate and to celebrate the savagery of the highlanders, while at the same time civilising it through the chivalric sophistication of the tournament form.71 Spectators were apparently ready, at least to some degree, to read the concealing magnificences of tournament as revealing the self in this way. At a tilt in 1515 defended by Henry VIII and Charles Brandon, Duke of Suffolk, the duke's armour bore the motto 'who can hold that wyl away'. Hall points out that 'this poyse was iudged to be made for the duke of Suffolk & the duches of Savoy'.72 It is clear that the enveloping accoutrements of the tournament are far from being either simply protective, or simply identifying. Increasingly these are masks that conceal in order to reveal \u2013 chivalric, political, or even personal selves.\n\nThese complex games of spectacle, performance, and role-play all confirm the close connection between tournament helms and masks. Jousting festivities were not only accompanied by, but slipped into masking games and shows. Accounts of tournaments frequently present the evening masking entertainments as of equal importance to the occasion as the jousting, involving the same performers.73 The costumes and scenarios of the tournament also overlap with the pageantry of masking shows. When in 1331 we find a royal tournament team accompanied to the lists by over fifty spectacularly dressed shield bearers _omnes larvati tam milites quam armigeri_ ('all masked, both knights and arms-bearers'), it seems clear that the chivalric splendour of the tournament is intimately bound up with the lavish masked costumes.74 Conceptually, too, it is clear that similar issues of display and concealment, performance and identity were exploited by both tournament combat and masking entertainment. The intricate relationship is neatly summed up in the interplay of images from a sixteenth-century novella, in a scene in which the identity of the hero Erastus, fighting a tournament incognito, is uncovered. An admiring opponent,\n\n... seasing upon the hinder skirt of his helmet wyth an ardent boldnes, drew it so rudely, or rather happily towards him, as the latchets and buckles slipping, he openly discovered the bare heade of our _Rhodian Erastus_ , who besides his naturall beautie, painted hys cheekes wyth a certain shamefastnesse, like one in a maske or mummerie, whose vizarde sodaynely falleth from hys face in the companye, from whence he woulde departe unknowne.75\n\nThe conjunction of the images of helm and mask, tournament and mummery, reveals the implicit relationship felt between the two. It is scarcely surprising that the term _visor_ carried the two meanings it did.\n\nNotes\n\n1 The association of tournament with masking and theatrical entertainments is well recognised; see e.g. Glynne Wickham _Early English Stages: 1300\u20131576_ 2 vols (London: Routledge and Kegan Paul, 1966) 1: 13\u201350.\n\n2 For general discussion of the tournament see Malcolm Vale _War and Chivalry: Warfare and Aristocratic Culture in England, France and Burgundy at the end of the Middle Ages_ (London: Duckworth, 1981) 63\u201387: chapter 3 'Chivalric Display'; Juliet Barker _The Tournament in England, 1100\u20131400_ (Woodbridge: Boydell, 1986); Alan Young _Tudor and Jacobean Tournaments_ (London: Philip, 1987); Richard Barber and Juliet Barker _Tournaments: Jousts, Chivalry and Pageants in the Middle Ages_ (Woodbridge: Boydell, 1989).\n\n3 Barker _Tournament in England_ 17\u201344.\n\n4 Early studies include Johan Huizinga _The Waning of the Middle Ages: a Study of the Forms of Life, Thought and Art in France and the Netherlands in the XIVth and XVth Centuries_ translated Frederik Hopman (London: Arnold, 1924); Raymond Lincoln Kilgour _The Decline of Chivalry_ (Cambridge, Mass: Harvard University Press, 1937). For criticism, see Maurice Keen 'Huizinga, Kilgour and the Decline of Chivalry' M _edievalia et Humanistica 7_ (1977) 1-20. For later opinion, Barker _Tournament in England_ ; Anglo Spectacle, _Pageantry and Early Tudor Policy;_ Louise Olga Fradenburg _City, Marriage, Tournament: Arts of Rule in Late Medieval Scotland_ (Madison: University of Wisconsin Press, 1991).\n\n5 For information on helmets, see Claude Blair _European Armour: circa 1066 to circa 1700_ (London: Batsford, 1958) 47\u20138, 157\u20138; Malcolm Vale _War and Chivalry_ 105\u201310; Barker _Tournament in England_ 164\u20136. Another version of the bascinet has a visor made of a grid of bars (see below Plate 8).\n\n6 Sydney Anglo 'Financial and Heraldic Records of the English Tournament' _Journal of the Society of Archivists 2_ (1960\u201364) 183\u201395, at 184.\n\n7 E.K. Chambers _Notes on the History of the Revels Office under the Tudors_ (London: Bullen, 1906) 12.\n\n8 The materials used for crests and masks were the same: see chapter 12 on 'Materials and Methods' 315: not surprisingly, as the craftsmen were the same.\n\n9 See Maurice Keen _Chivalry_ (New Haven and London: Yale University Press, 1984) 8\u201315.\n\n10 See e.g. Barber _Tournaments_ 14\u201315; Young _Tudor and Jacobean Tournaments_ 11\u201314.\n\n11 Blair _European Armour_ 37\u201376, chapters 2 and 3; Barber _Tournaments_ 154\u20137.\n\n12 See Sir John Tiptoft 'Ordinances, Statutes and Rules' (1466) in Francis Henry Cripps Day _The History of the Tournament in England and in France_ ([London], 1918) Appendix 4, xxvii\u2013xxx.\n\n13 Keen _Chivalry_ 125\u201334; Barker _Tournament in England_ 180\u201383. On the crest in heraldry and its connections with genealogy, see A.C. Fox-Davies _A Complete Guide to Heraldry_ (London: Nelson, 1925) 340\u201345.\n\n14 Ren\u00e9 d'Anjou _Trait\u00e9 des tournois_ (Dresden, S\u00e4chsische Landesbibliothek, MS Dresd. Oc 58) edited Jacques Heers and Fran\u00e7oise Robin (Munich: Lengenfelder, 1993); also Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_ edited Edmond Pognon (Verve: Revue artistique et litteraire 4: 16; Paris: Verve, [1946]) illustrations reproduced from Paris: Biblioth\u00e8que nationale Mss Fr. 2692 and Fr 2695. Although clearly reflecting his own mid-fifteenth-century experience of mounting lavish tournament events, Ren\u00e9 claims that he drew on the best practice of Germany, France, and Flanders, as well as historical sources from earlier periods, making the tournament he describes both imaginary and yet apparently classic.\n\n15 Thomas Malory _Works_ edited E. Vinaver, revised P.J.C. Field, 2 vols (Oxford: Clarendon Press, 1990) 2: 1072.\n\n16 W.H. Jackson 'The Tournament and Chivalry in German Tournament Books of the Late Sixteenth Century and in the Literary Works of Emperor Maximilian I' in _The Ideals and Practice of Medieval Knighthood_ edited C. Harper-Bird and R. Harvey (Woodbridge: Boydell, 1986) 49\u201373, at 52.\n\n17 See the fourteenth-century Manesse anthology (Universit\u00e4tsbibliothek Heidelberg, MS Cod. pal. Germ 848, fol. 237); Ren\u00e9 d'Anjou _Trait\u00e9 des tournois_.\n\n18 Hall _Union_ 314. The best illustrations of this effect are found in _Der Weissk\u00fcnig_ , a romanticised biography of the Emperor Maximilian, illustrated by Hans Burgkmair, and printed in Vienna in 1775.\n\n19 Compare the episode in the _Iliad_ in which Hector removes his plumed helmet in order to avoid terrifying his infant son: Book 6, lines 466\u201373.\n\n20 _The Great Chronicle of London_ (London: Guildhall Library MS 3313) edited A.H. Thomas and I.D. Thornley (London: Jones, 1938) 255, 313. Buckingham's ostrich feathers were the crest of the Prince of Wales whose marriage the tournament honoured. Illustrations in the _Great Tournament Roll_ (see note 31 below) also show crests removed for the jousting.\n\n21 Compare the enveloping carapaces of e.g. Kabuki or Kathakali theatre.\n\n22 Feuillerat _Edward VI and Mary_ 133.\n\n23 Now in the Metropolitan Museum of Art, New York: illustration in MMA _Bulletin 32: 4_ ( 1973\/1974) n.p.\n\n24 See John Marshall 'The Satirizing of the Suffolks in _Wisdom_ ' _Medieval English Theatre_ 14 (1992) 37\u201366, and plates 2 (page 43) and 3 (page 55). He links the helm with the disguising in _Wisdom_ ; another example of theatrical cross-fertilisation.\n\n25 Lotte Kurras _Turnierbuch aus der Kraichgauer Ritterschaft_ , Um 1615, _Cod_. _Ross_. 711 (Zurich: Belser Vorlag, 1983) fol. 23v. See chapter on 'Courtly Mumming' for the implications for _Sir Gawain and the Green Knight_.\n\n26 See Ruth Cline 'The Influence of Romances on Tournaments of the Middle Ages _Speculum 20_ (1945) 204\u201311.\n\n27 Trouv\u00e8re Sarrazin Le _Roman du Hem_ edited Albert Henry (Travaux de la Facult\u00e9 de Philosophie et Lettres de l'Universit\u00e9 de Bruxelles 9; Paris and Li\u00e8ge: [1939]); R.S. Loomis 'Edward 1: Arthurian Enthusiast' _Speculum 28_ (1953) 114\u201327; see Barker _Tournament in England_ 88\u201395.\n\n28 Gordon Kipling _Triumph of Honour_ 117.\n\n29 Vienna: Kunsthistorisches Museum, in the Hofjagd und Rustkammer, inv. A420. See also the _Turnierbuch_ of Ferdinand (Vienna: Kunsthistorisches Museum, Kunstkammer, inv. K5134).\n\n30 _The Sutton Hoo Ship-Burial_ edited Bruce-Mitford 2: 224. See above 16\u201317.\n\n31 For thirteenth-century examples see _The Great Tournament Roll of Westminster_ edited Sydney Anglo (Oxford: Clarendon Press, 1968) 23\u20134.\n\n32 'Annales Paulini de Tempore Edwardi Secundi' in _Chronicles of the Reigns of Edward I and Edward II_ edited W. Stubbs, 2 vols _Rolls Series_ 76 (1882) 1: 353\u20135; Adam of Murimuth _Continuatio chronicarum_ and Robertus de Avesbury _De gestis mirabilibus Regis Edwardi Tertii_ edited by Edward Maunde Thompson _Rolls Series 93_ (1889) 230\u20131; John of Reading _Chronica_ edited James Tait (Manchester University Press, 1914) 131\u20132 and 151. See Juliet Vale _Edward III and Chivalry_ 57\u201375, chapter 4 'Ludi and _Hastiludia_ at the Court of Edward III'.\n\n33 Malory _Works_ 1106; _Great Chronicle_ 314.\n\n34 Murimuth _Continuatio_ 231. Similar use of masked entertainments to comment on political issues can be found in the variations on courtly disguisings. See chapters on 'Courtly Mumming' 156\u20138 and 'Amorous Masking' 180\u201382.\n\n35 Reading _Chronica_ 151. Barber and Barker quote a range of commentators in _Tournaments_ 143\u20135.\n\n36 Ulrich's adventures are recorded in the poem _Frauendienst_ edited R. Bechstein (Leipzig, 1888); see Barber _Tournaments_ 49\u201353. An illustration from a century later shows Ulrich in normal armour, but wearing a closed helm topped by an almost life-size model of Venus as queen with burning brand and dart of love: see Barber _Tournaments_ 55.\n\n37 See M. Vale _War and Chivalry_ 64\u20135; this argument is much developed in the 'Tournament' section of Fradenburg _City, Marriage, Tournament_.\n\n38 Philippe de Navarre and Gerard de Monteal [sic] _Les Gestes des Chiprois: recueil de chroniques fran\u00e7aises \u00e9crites en Orient au XIIIe & XlVe siecles_ edited Gaston Raynaud (Publications de la Societ\u00e9 de l'Orient latin, Serie historique 5; Osnabruck: Zeller, 1968; reprint of edition by Geneva: Fick, 1887) 220; quoted Barker _Tournament in England_ 89.\n\n39 Barker _Tournament in England_ 70\u201383.\n\n40 See Emigh _Masked Performance_ 24\u20135.\n\n41 Claude Blair 'The Emperor Maximilian's Gift of Armour to King Henry VIII' _Archaeologia_ 99 (1965) 1\u201352. In the seventeenth century this suit was known as 'Will Somers' armour'. Will Somers is recorded as fighting a mimic duel in the Revels Accounts for Christmas 1551, but his armour was cardboard, 'a harniss of paper boordes' (Feuillerat _Edward VI and Mary_ 73). The link, even if erroneous, shows that the helmet was associated in people's minds with the revels rather than with serious combat.\n\n42 College of Arms MS M. 3, fol. 12r. See _Great Tournament Roll_ 33\u20134.\n\n43 _Great Chronicle_ 372.\n\n44 Hall _Union_ 568.\n\n45 _King Ren\u00e9's Book of Love_ introduction and commentaries by F. Unterkircher (New York: Braziller, 1975).\n\n46 Young _Tudor and Jacobean Tournaments_ 124\u20135.\n\n47 Juliet Vale _Edward III and Chivalry_ 64\u20135; Sir Nicholas Harris Nicolas 'Observations on the Institution of the Most Noble Order of the Garter' _Archaeologia 31_ (1846) 1\u2013163; _Great Tournament Roll_ passim.\n\n48 Hall _Union_ 615.\n\n49 Spectacular continental examples include Ulrich von Liechtenstein, Ren\u00e9 d'Anjou, and the Emperor Maximilian: see Ruth Harvey _Moriz von Craun and the Chivalric World_ (Oxford: Clarendon Press, 1961); Barber _Tournaments_ 114\u201317; Jackson 'The Tournament and Chivalry'.\n\n50 See Barker _Tournament in England_ chapter 3 'Tournament and Politics'; Anglo _Spectacle, Pageantry_ 108\u201323; Fradenburg _City, Marriage, Tournament_ 225\u201343; Young _Tudor and Jacobean Tournaments_ 11\u201342.\n\n51 Barber _Tournaments_ 206\u20138.\n\n52 _Great Chronicle_ 314, 373.\n\n53 Fradenburg _City, Marriage, Tournament_ 184\u20135, 207\u20138.\n\n54 Malory _Works_ 1103\u201314, 1065\u201381.\n\n55 See Keen _Chivalry_ 143\u201361.\n\n56 Fradenburg _City, Marriage, Tournament_ 207\u20138. For further discussion of this topic in relation to courtly masking see chapter 6 on 'Disguisings'.\n\n57 Murimuth _Continuatio chronicarum_ 123. See Juliet Vale _Edward III and Chivalry_ 64\u20135.\n\n58 Juliet Vale _Edward III and Chivalry_ 68\u20139.\n\n59 See e.g. _ad faciendum unum harnesium pro corpore Regis de armis domini Thome de Bradestoni pro hastiludiis Regis apud Lychefeld_ ('for making armour for the King's body with the arms of Sir Thomas of Bradeston for the King's tournament at Lichfield') in 1348. See Nicolas 'Institution of the Most Noble Order of the Garter' 40.\n\n60 William Langland _The Vision of Piers the Plowman (B-text)_ edited A.V.C. Schmidt (London: Dent, 1978) Passus 18, lines 22\u20136.\n\n61 George Cavendish _The Life and Death of Cardinal Wolsey_ edited Richard Sylvester _EETS 243_ (1959) 12.\n\n62 Hall _Union_ 513.\n\n63 The tournament is spectacularly recorded in a contemporary biographical manuscript: see _Pageant of the Birth, Life and Death of Richard Beauchamp, Earl of Warwick, 1389\u20131439_ edited Viscount Dillon and W.H. St. John Hope (London: Longmans, 1914).\n\n64 Confusingly his three opponents are recorded in a mixture of modes. The first day 'le Cheveler Ruge', the second 'the blank knyght Sir Hugh Lawney', the third 'Sir Colard Fynes'. Games with identity are clearly being played.\n\n65 _Great Tournament Roll_ 109\u201311.\n\n66 See the illustrations of the second day of jousting in the _Great Tournament Roll_ , and the descriptions in Hall _Union_ 516\u201319. H and K were for Henry and Katherine not, as one chronicler suggests, for Henry and King, though the mistake is revealing _(Great Chronicle_ 371).\n\n67 _Great Tournament Roll_ 82.\n\n68 Castiglione _Il Cortegiano_ 102.\n\n69 Hoby _Courtier_ 96.\n\n70 Barber _Tournaments_ 49.\n\n71 Fradenburg _City, Marriage, Tournament_ 225\u201343.\n\n72 Margaret of Austria: Hall _Union_ 568.\n\n73 Maximilian of Austria's _Freydal_ , chronicling a romanticised version of his wooing of Mary of Burgundy with shows and feats of arms, has a recurrent pattern of three jousts followed by an evening mummery: _Freydal Des Kaisers Maximilian I Turniere und Mummereien_ edited Quirin von Leitner (Vienna, 1880\u201382).\n\n74 'Annales Paulini' 354.\n\n75 Wotton _Courtlie Controversie_ 39\u201340.\nChapter 6\n\nDisguisings\n\nIf tournaments formed the outdoor and competitive aspect of court entertainment, the complementary indoor equivalent, based upon dancing, is broadly summed up under the term _disguising_.1 The two are intricately knit together: from at least the thirteenth century, descriptions of tournaments include accounts of indoor evening dance-revels as if they were part of the same event, and Ren\u00e9 d'Anjou's _Trait\u00e9 des tournois_ lays down the points where such dancing is an intrinsic part of the proceedings.2 'Justynges, pleys, dysguysynges' are frequently bracketed together in contexts that suggest that they are seen as part of the same thing.3\n\nIn seeking to understand the exact nature of the indoor events we immediately encounter a problem with terminology. There is little consensus at the time on the difference between a _disguising_ , a _mummery_ , and a _mask_ , though individual writers may make their own distinctions. In tracing the different patterns of entertainment, we need to look at the activity described rather than the terms used. Apart from the broad-spectrum _ludus_ or _pastime_ , the commonest term for what, from at least the fourteenth century, was the basic dancing entertainment seems to be _disguising_ , which the _MED_ first records as a form of entertainment in the early fifteenth century, although we have _daunces disgisi_ from fifty years earlier. _Disguising_ was partly overtaken in the early sixteenth century by _mask: mummery_ and its analogues were also popular. For the sake of clarity in this discussion we will, rather artificially, use _disguising_ for what seems to be the commonest root pattern of courtly masking, and _mumming_ and _mask_ for certain particular variants. But we should remember that this often does not correspond to the usage of the source materials.\n\nDisguising Costume\n\nIn spite of the insecurity of the terminology, some exploration of the meaning of _disguising_ may well help in understanding what was going on in these entertainments. We are now used to _disguising_ as meaning 'dressing-up to conceal one's identity'. But although the term was sometimes used in this way in the Middle Ages, its primary sense seems to have been 'dressing in a strange _guise_ (fashion)', and by extension 'extravagant, showy, elaborate'. In moral texts _disguise_ is associated with pride and expense:\n\nAnd some putten hem to pruyde, apparailed hem \u00feere-after,\n\nIn contenaunce of clothyng comen disgised.4\n\nChaucer's Parson elaborates 'the cost of embrowdynge, the degis\u00e9 endentynge or barrynge [dagging and appliqu\u00e9d stripes]... and semblable wast of clooth in vanitee'.5 Lydgate particularly identifies Germany ('Almayne') as an example:\n\n... ther is non othir nacioun\n\nTouchyng array that is so disgise\n\nIn wast of cloth and superfluite...6\n\nLydgate's perception is confirmed by the popularity in later disguisings of 'Almayn garments', which tended to be lavishly slashed, puffed, and generally superfluous. Hall tells of a disguising in 1513 'with v. C. Almaines all in white, whiche was cutte so small, that it could sca[r]ce hold together': the slashes were so close together that it was a miracle that the cloth did not rip.7 _Disgisi_ clothes are those which make extravagant fashion statements, which may be either 'in to muche superfluite or elles in to desordinat scantinesse'.8 New Guise ('Latest Fashion') in the play _Mankind_ creates a fashionable jacket of ludicrous shortness, while Chaucer's Parson condemns the short clothes which reveal 'wrecched swollen membres that they shewe thurgh disgisynge'.9 A set of 'Almain doublets' recorded in the Revels Accounts for 1510 are described by Hall as being 'shorte garmentes, litle beneth the poyntes'.10 Extravagance of tailoring, in whatever way, seems to be the defining ingredient. A _disguising_ , then, seems to be a form of courtly dancing entertainment which involved dressing up in spectacular or extravagant clothes.\n\nThe delight in the sheer lavishness of apparel that accompanies disguising is inevitably bound up with important factors of wealth, power, and display. As various recent commentators point out, magnificence was a political instrument, deliberately and carefully used by monarchs and others to demonstrate and to reinforce their power.11 Magnificence was expressed through lavish expenditure and display.12 By the fifteenth century this is openly acknowledged by commentators and chroniclers. A pointed criticism of the effort to reinstate Henry VI's prestige as monarch in 1471 was his lack of splendid apparel, 'and evir he was shewid in a long blew goune of velvet, as though he had noo moo to chaunge with', while the same chronicler's one objection to the rule of Henry VII was 'oonly avaryce The which was a blemysh to his magnyfycence'.13 In a society which overall had far fewer material goods, power and wealth were signalled by conspicuous expenditure and even a degree of careless wastefulness in personal adornment: hence the dags and slashes, puffs and overlays, and sleeves 'that wolde cover all the body'.14 These things act as an index of prestige, recognised and formally codified in the sumptuary laws.15 There is interesting reverse evidence in an ordinance drawn up for a German Tourneying Society in 1485, which explicitly tried to restrict the lavishness of dress for the dance-revels in order not to exclude the lesser (and poorer) nobility.16 Power prestige lay very literally in the splendour of what you wore.\n\nConventions of historiography can give us insight here. Many fifteenth-and sixteenth-century diplomats and historians pay at least as much attention to the lavish shows we might now categorise as leisure frivolity as to more conventionally political events.17 They record costume and display minutely, concerned not only with its splendour but also with its economics. The compliment most often attached by English chroniclers to strange and impressive disguisings is that they are expensive \u2013 'deliver daunsinge and costly disguisings'; the _Great Chronicle_ praises not so much the 'straunge devysis as of the Costyous cumming Into the place'.18 The importance for the economy of such lavish display is noted, 'what pain, labour, and diligence, the Taylers, Embrouderours, and Golde Smithes tooke, bothe to make and devise garmentes... for a suretie, more riche, nor more straunge nor more curious workes, hath not been seen' says Hall of Henry VIII's coronation.19 Describing the wedding procession of Katherine of Aragon in 1501, the London writer of the _Great Chronicle_ costs the chains, needlework, and brocade in the garments of dignitaries, 'which Cheynys & Garmentys were not estemyd of these valuys by supposayll or conjecture of mennys meyndys, but of Report of Goldsmythis & other werkmen that theym wrougth & delyverd'.20 The costs are as significant an element of the gorgeous spectacle as the appearance.\n\nThe opulent apparel of disguisings was even used as itself a form of largesse, not only demonstrating the magnificence of the wearer, but the liberality owed by him to the subject. The disguisings for the marriage of Prince Arthur to Katherine of Aragon provided:\n\n... a meane whereof many of the kyngis Subjectis were Relevid as well ffor the stuff by theym sold & werkmanshyp of the same, as by platis, spangyllis Rosis & othyr conceytis of Sylver & ovyr gilt which fyll ffrom theyr garmentys bothe of lordys & ladyes and Gentylmen whiles they lepyd and dauncid, and were gaderid of many pore ffolkis standyng nere abowth & presyng In ffor lucre of the same.21\n\nThis may seem accidental, but clearly it was often quite intentional. At the tournament revels of 1511:\n\n... the kyng was dysguysyd [In] a Garment of Sarcenet powderid wt Rosys and othir devysis of massy goold, The whych Garment ffor the kyng wold that It shuld be devydid among thambassadours servauntis, he commandyd the Gentylmen usshers of his Chambyr that they shuld sett the sayd servauntis at a certayn place where he shuld passe by, when the dysguysyng was endyd, and that they shuld not ffere to pull & tere the said Garment ffrom his body.22\n\nA 'pore sherman' who managed to get in to the crush came away with a piece later bought by a goldsmith for \u00a33\/14\/8d 'wherby It may be concyderid, that the said Garment was of good valu'. This generosity was not confined to the commoners; Henry also publicly rewarded ambassadors with gifts of his own tournament and masking apparel.23 The king deliberately celebrated himself in his spectacular disguise as a reified emblem of magnificent liberality, giving away parts of his own performing self.\n\nSuch liberality could get out of hand. Hall records the sequel to the 1511 episode: the common people rushed to tear the clothes from the king and his company, stripping one noble 'into his hosen and dublet' before they were finally put back by the guard, a story which is confirmed by the lament by Richard Gibson in the Revels Accounts that it was only with 'long labour' that he had recovered a little of the gold decoration.24 But once the king and his companions had safely retired 'all these hurtes were turned to laughyng and game, and [they] thought that, all that was taken away was but for honor and larges: and so this triumphe ended with myrthe and gladnes'.25 Here we have an occasion when the implicit rules of misrule were broken, the common people overstepping the invisible boundary. But once out of danger, the court could redraw it to their own satisfaction. It had only been a game, after all; they were still in honourable control and the givers of largesse. Even in disarray, the disguising is part of the apparently careless but in fact carefully calculated generosity that is required of princes.\n\nThe lavishness of the costume materials was therefore necessary, if the disguising costumes were to be not just the show but the substance of real nobility and largesse. Certainly the sumptuousness of the materials and decorations itemised in the sixteenth-century Wardrobe and Revels accounts is breathtaking. There are vast expenses in crimson velvet, blue velvet, copper tinsel of Bruges, cloth of gold and silver, ostrich feathers, silks and fine gold, sarcenet and damask. The obligation to be gorgeous in dressing the disguisings makes naturalism an irrelevance. A mask of shepherds is dressed in 'fynne Clothe of gold and fyn Crymosyn Satten'; hermits in russet satin, black velvet and beards of damask silver; wild men in 'grene Sylke flosshed'.26\n\nBeneath all these resonant implications, it appears that the essence of a _disguising_ is a 'dressing-up'. This would account for most of the usages of the word, both in the apparently odd inclusive catalogue of 'eny manere mommyng, pleyes, enterludes or eny other disgisynges'; or the remark 'I saw no Disgysyngs, and but right few Pleys' to distinguish between something that is only dressing-up and something that also includes speech or plot.27 The main focus of a disguising always seems to be the splendour and ingenuity of the costumes themselves. As Hall points out, that is what constitutes the central pleasure of the pastime: 'This strange apparell pleased much every person'.28\n\nDisguising Activities\n\nWhat did the disguisers do in their extravagant costumes? The chief activity at all stages seems to be dance, and richly costumed dance remains the fundamental and most popular form of the disguising right through from the thirteenth until the mid-sixteenth century. The costumes were clearly designed to enhance the spectacle of the dance. From Edward III for the next two centuries, disguisings appear to have commonly involved sets or teams of dancers in matching costumes. Edward III's costumes came in sets of thirteen and fourteen: for the celebrations at Christmas 1347 at Guildford, for example, we find fourteen painted tunics with peacock's eyes, fourteen tunics painted with gold and silver stars.29 The sixteenth-century disguisings very often had a team of six, but could be anything up to sixteen. The effect of the matching set apparently become so ingrained that Hall seems almost surprised to note in 1521 that 'The French Maskers apparell was not all of one suite, but of several fashions'.30 Later in the sixteenth century the set of costumes is itself referred to as a 'mask' in the Revels accounts, defining the disguising by its matching clothes. The Emperor Maximilian too, using the term _mummery_ , describes them as 'the golden mummery', 'the sky-blue mummery', or 'a wonderful mummery of gold and silver and precious stones'. Maximilian, a direct influence on Henry VIII, was an enthusiastic patron of elaborate and spectacular disguisings: the lavish illustrations in his _Freydal_ give a vivid impression of the visual effect of the teams of dancers in matching costume [PLATE 16].31 Even outside the royal court, Henry Machyn in 1562 records the entertainment at a wedding, 'and after soper cam iij maskes; on was in cloth of gold, and the next maske was frers, and the iij was nunes; and after they dansyd be-tymes'.32 The matching costume sets were clearly integral to the dazzling ensemble effect of the dances.\n\nPLATE 16: Netted maskers and ladies. _Freydal_ of the Emperor Maximilian (1516). Vienna: Kunsthistorisches Museum, P 5073 fol. 92.\n\n\u00a9 Reproduced by permission of the Kunsthistorisches Museum, Vienna.\n\nMany of the disguising costumes of Henry VIII's court seem themselves designed to show off particularly well in dances: there are many half-and-half sets: half crimson velvet, half blue velvet with long hanging sleeves; half russet satin and half yellow satin with legs to match. Such distinctive colour blocks must have enhanced the choreography. We also find a deliberate exploitation of costume effects, as in the disguising of 1519 where the maskers wore 'long gounes of taffeta set with flowers of gold bullion, and under that apparell cotes of blacke veluet' embroidered, cut and puffed. During the dance the men suddenly threw off the flowing outer gowns to reveal the close-fitting black, a striking transformation.33 The dances are often described in terms that emphasise the combined aesthetic effect of costume and movement. The _Great Chronicle_ records a disguising of 1493 of:\n\n... xij Gentyllmen ledyng by kerchyffys of plesance xij ladyys beyng all Costiously & goodly dysguysid... The whych Gentylmen lepid & daunsid all the length of the halle as they cam, and the [ladies] slode aftyr theym as they hadd standyn upon a fframe Runnyng, wt whelys, They kept theyr Tracis soo demwyr & cloos that theyr lymmys movid all at oonys... It was wondyrfull to behold the excedyng lepys Ganbawdys & turnyngys above ground which the Gentylmen made that theyr spangyls of goold & othyr of theyr Garnysshys ffyll ffrom theym Rygth habundantly, But Evyrmore the ladyes kept theyr ffirst maner soo demuyrly as they hadd been Imagis.34\n\nThese are clearly exhibition dances designed for spectators.\n\nDuring the fifteenth century, the dance format might be much elaborated with processional entries, pageant vehicles, and allegorical frames.35 The court of Burgundy led the way in extravagant spectacle and was avidly copied.36 In 1501 at the celebrations for the marriage of Prince Arthur and Katherine of Aragon, we find what seems to be the first instance in Britain of spectacular pageant cars used to transport the disguisers into the hall to dance.37 On one evening the court 'beheld an interlude till the disguysyng cam in, the which disguising was shewed by ij pagents'. Two cars entered, one like a garden, the second:\n\n... made rounde, aftir the fachyon of a lanterne, cast owte with many proper and goodly wyndowes fenestrid with fyne lawne, wherein were more than an hundred great lightes, in the which lanterne were xij goodly ladies, disguysid, and right rychely beseen.38\n\nThis shadow show was clearly dazzling, and such entries were repeated and developed for the next fifty years. But the wonderful pageants were effectively an adjunct to the traditional form: descending from them the disguisers 'dauncyd a long space, dyvers and many daunces'. Even when the pageant vehicles came to be involved in allegorical scenarios \u2013 an assault on a castle by Knights of the Mount of Love, or a garden of pleasure inhabited by allegorical knights of the Queen Noble Renom\u00e9 \u2013 they remained fundamentally a framework for the costumed dances.39 The pageantry acts as an enhancement of the 'dressing-up' involved in disguising. The pageant cars were created, like the costumes, to be admired and wondered at, 'such tyme as it came bifore the Kynge it was turnyd rownde abought in the settyng downe of hit, so as the Kynge, the Quene, and all thestates might see and behold thorughowtly the proporcion thereof'.40 Even at its most elaborate the disguising remained at root an entry of magnificently dressed dancers.\n\nDisguising Masks\n\nIf the central features of a disguising are the extravagance of the costumes and the dancing spectacle, where does this leave the role of masks? The wearing of masks is not in itself a necessary part of such dressing-up. The fourteenth-century _daunces disgisi_ which the _MED_ glosses as 'of a dance? masked' is more likely to mean simply 'dressed-up dances'. Nonetheless masks do seem to have been a feature of disguisings from very early on. The Wardrobe Accounts for Edward III in the mid-fourteenth century confirm a widespread and lavish use of masks for what are most probably _daunces disgisi_. For the Christmas celebrations at Guildford in 1347 the Wardrobe supplied large numbers of masks ( _viseres_ ), crests, and 'heads': fourteen masks of women's faces, fourteen of bearded men, fourteen silver angels' heads, fourteen swans' heads, fourteen dragons' heads, fourteen peacocks' heads. Some of these masks are paired with 'straunge apparell', the swans' heads with 'painted white tunics' and wings, the peacocks with wings and tunics painted with peacocks' eyes, the angels perhaps with the 'tunics painted with gold and silver stars'.41 The following year's Christmas festivities at Otford offer even more extravagant masks: 'heads of men with lions' heads' or 'elephants' heads' or 'bats' wings' above, heads of wodewoses and others, are all supplied _ad faciendum ludos Regis_.42 There is some debate over whether these costumes and headgear are primarily for tournaments or indoor revels: apart from the contemporary blurring together of the two spectacles, both _viseres_ and _crestes_ are terms that might apply to helmets as well as to masks. But the context seems to suggest that they are the costumes for disguisings.43 Masks, in large quantities, were often provided at the time of tournaments: 288 for dukes, ladies, and damsels at Lichfield, 44 for the king, nobles, knights, and ladies at Canterbury, both in 1348.44 But the status and sex of the wearers and the enormous quantities suggest that these belonged not to the jousting itself but either to the evening disguisings or to the masked processions which sometimes preceded a tournament. Certainly, later development of the disguising suggests that the matching sets of fantastic costumes and masks provided for Christmas activities belong to indoor dancing revels.\n\nIf Edward III's Wardrobe records strongly suggest an association of masks with disguisings, by the time of the better documented accounts of the fifteenth and sixteenth centuries masks seem an almost obligatory part of disguising costume. Hall's detailed accounts are paradoxically often imprecise, as he assumes his readers' familiarity with the conventions; but it is clear that most of the disguisings he describes do involve masks. Sometimes they are simply recorded as a normal part of the spectacular costumes: 'with robbes and longe tippettes to the same of blew Damaske visarde', 'their bonettes of whyte velvet, wrapped in flat golde of Damaske, with visers and white plumes'.45 But often the costume descriptions make no reference to masks, and it is only when we are told that they are taken off at the end of the dancing that we find the disguising has involved them. It may be that Hall so fully assumes that disguising gear includes masks that he has no need to specify them. But his occasional comment that 'all these yong lorde[s] had visers on their faces' or 'all with visers' possibly suggests that on some occasions masks were not worn.46\n\nFinancial records and inventories from early in the sixteenth century suggest that disguising costumes almost automatically included masks. The inventory of the Lisle family's moveables in Calais in 1540 includes:\n\nItem xii maskyn gownes with hoodes & capps of bokeram Item a dossen of maskyng Vysardes.47\n\nClearly the two belong together. Similarly the Revels Office's notes of sets of disguising costumes tend to include masks as part of the set: 'with vj hattes answerable & vizardes'.48 The overwhelming impression is that disguisings generally, as a matter of course, were masked.\n\nVarious reasons for the use of masks in disguisings suggest themselves. In the revels of Edward III and some of the disguisings of the Emperor Maximilian, or Henry VIII and Edward VI, the wonderful costumes dress the wearers up 'as' something. The peacocks, angels, and wodewoses of the fourteenth-century revels are obvious; what is more common in the sixteenth century is a dressing-up in the clothes of another country or another time. Maximilian's disguisings feature many costumes of 'the antique fashion'; Edward III's tournament of Tartars in 1331 exemplifies an interest in national and exotic costume that burgeons in the fifteenth and sixteenth centuries with the publication of printed costume books. Reports of Henry VIII's disguisings are full of costumes 'cut like Almaynes', 'like to the Portingal slopys' or 'after the fashion of Savoy', 'after ye fassion of Inde', 'tired like to the Egipcians very richely'.49 A fine example is the Shrove Sunday disguising of 1510 in which the dancers entered in pairs: the king and his partner 'after Turkey fasshion', the following pair 'after the fashion of Russia', then a pair 'after the fashion of Prussia' with the torchbearers 'lyke Moreskoes, their faces blacke'.50 It is not unlikely that these national costumes were linked to the performance of national dances. Jean d'Auton reports a feast in 1501 at the court of Louis XII at which there were branles in the styles of France, Germany, Spain, Lombardy, and Poitou, with each group of dancers dressed in the fashion of the country in whose style they were dancing,51 and Arbeau suggests several times that a popular dance was originally created for a Turkish or Moorish masquerade.52 Lucres' 'basse dance after the guise of Spain' may well have had the dancers dressed as Spaniards.53\n\nSome of the mask-makers' products are designer fantasies. Edward III's designed weird visors of 'men with elephants' heads above' and 'men with bats' wings'; two hundred years later Edward VI was entertained with disguisings of bagpipes, cats, and the famous 'medyoxs half man half death'.54 With all the representational costumes, and especially with these fantasies, the mask is a natural completion of the costume. The disguisers 'become' something else and the mask removes the distraction of the familiar face to enhance that other. This is what we find with the group of maskers at the Field of Cloth of Gold, dressed in gowns 'of the auncient fashion', decorated with the motto _'adieu Iunesse_ , farewell youth... with visers, their faces of like auncientie'.55 It is less clear whether the national costumes were given appropriate masks, though the more exotic ones clearly were: Edward III had Tartar masks, and 'fyne Turkes vizardes' are mentioned in Elizabeth's Revels accounts for 1572,56 while in one of the first disguisings of Henry VIII's reign two ladies in head-dresses 'lyke the Egypcians' had:\n\n... their faces, neckes, armes & handes, covered with fyne pleasaunce blacke: Some call it Lumberdynes, which is merveylous thine, so that thesame ladies semed to be nygrost or blacke Mores.57\n\nMost disguising clothes, however, seem to be extravagant and 'straunge', without representing anything in particular. We cannot be sure exactly what the masks for such costumes were like, but the huge quantities bought might suggest that at least some versions were fairly standardised. The Revels inventory for the first year alone of Edward VI's reign includes 24 dozen 'vezars or maskes for men & women newe & Servysable with Berdes & without Berdes' (plus another 'vij vezars for Allmayne with Berdes of damaske golde' which are classified as 'not servisable').58 Masks are bought in bulk from the 'milliner' or 'haberdasher':\n\n1511 | 24 visors at 2s 'Bought of Bartyllmewe, the haberdasher'59\n\n---|---\n\n1551 | 'Christofer milliner for iij dozen fyne visars at xxxvjs viijd dozen'60\n\nWe might assume these masks to be something like the simple black domino now generally associated with masked balls and harlequinades; some illustrations, though not from Britain, do suggest half-masks rather resembling the later _commedia dell'arte_. But it appears that at least some of the bulk consignments were full 'real' faces, as suggested by the 'viij visers ayenst this night of the worst and well favourest make'.61 Related calendar illustrations by Simon Bening give an impression of such masks [PLATES 17 and ].62 They represent the entry of a relatively simple disguising in a noble household. The central figure in each picture might appear to be bare-faced, but closer examination shows he is wearing a 'well-favoured' mask: the line of the edge of the mask is visible around his jaw and in front of the ear, and the mask is painted in a slightly darker and more monochrome flesh colour than his neck or the faces of the unmasked musicians. The figure on the extreme left is also masked, showing slightly coarser features than the unmasked faces, and cut-out eye-holes. In the Munich manuscript, the group of women in matching costumes on the right show the same slightly blank and stylised faces. These 'real-face' masks can make it difficult in illustrations, as in the written accounts, to see whether figures are masked or not: clues are the tell-tale eye-holes and sometimes differences in colour.63\n\nSuch real-face visors raise intriguing questions about the purpose of the masks. As the calendar illustrations show, they seem to be masks that play down their own status: they are hardly visible as masks at all. Of course this would not be the case during performance as, however realistic, the impassivity of the mask is unmistakable. But since they appear not to embody any particular fantasy or identity their role is presumably simply to conceal the face beneath: to cover the known face without either making a feature of that concealment, or activating a response to a new persona. Nonetheless they must have been felt to make an important contribution to the purpose and pleasures of the disguising. They are, perhaps, a sixteenth-century equivalent of the modern 'neutral mask', active in performance, but imposing no particular role on the performer.64 They inevitably draw attention to the disguisers' otherness: the costume is gloriously strange, the mask enhances both the splendour and the strangeness.\n\nApart from questions of representation, there is a dynamic advantage to masking in an activity which calls so much attention to costume. Normal focus on the human face as a source of information is denied, diverting attention onto the rest of the body, its wonderful garments, and overall body language and movement. This may well also inform the link between masks language and movement. This may well also inform the link between masks and dancing. The masks contribute to the costume while focusing attention on the movement; this can only have been enhanced by the matching sets of masks. Not only does the individualising and eye-drawing face of the dancer disappear, but the disguising presents a set of identical still mask-faces. A fairly common variation on the plain-face masks is the caul or netted mask, popular at the court of Maximilian and widely illustrated, where a net, sometimes decorated or spangled, half-conceals the face [PLATE 16]. This seems similarly to reduce separate identity to an overall still-sameness without imposing a new identity or even perhaps entirely obliterating the face beneath.65 Such matching masks, of whatever style, foreground even more the aesthetic patterning of the dance, encouraging a focus on the whole more than its parts.\n\nPLATE 17: A disguising with 'real-face' masks. Book of Hours (the 'Golf Book') with illustrations by Simon Bening (c. 1500). Calendar illustration for the month of February. London: British Library, Additional MS 24098 fol. 19v.\n\n\u00a9 Reproduced by permission of the British Library.\n\nAlthough the spectacle of costumed dancing seems an end in itself for most disguisings, the strangeness of costumes and masks perhaps inevitably makes more complex semantic implications possible. This is very clear in a set of apparently straightforward disguisings that we find in a different and more legible context, inset into the late-fifteenth-century play of _Wisdom_.66 At one point in the action, the three faculties of the Soul, perverted to the vices of Maintenance, Perjury and Lechery, propose to:\n\nmake a dance\n\nOff thow that longe to owr retenance\n\nCummynge in by contenance.67\n\nThree teams of masked disguisers enter to dance. The followers of Maintenance are 'disgysyde... with rede berdys, and lyouns rampaunt on here crestys'; Perjury's dancers are clothed as corrupt jurors wearing 'hattys of meyntenaunce' and Vyseryde dyversly'; while Lechery's final team appears to confirm the presence, unusual in drama, of female performers, some in male dress: 'Six women in sut, thre dysgysyde as galontys and thre as matrones, wyth wondyrfull vysurs congruent'.68 Disguisings, in which women often took part, were apparently seen as offering a safer performing space than the drama proper.\n\n_Wisdom's_ teams of dancers perform entirely traditional disguisings; but they also overtly develop the moral issues of the play and may make more specific political comment. The spectacular costumes carry explicit visual meanings for the audience within the context of the play. The red beards and lion crests of Maintenance's dancers signify not only general qualities of wrath and pride, but specifically allude to the political reputation of the local magnates, the Suffolks.69 The 'diverse' visors of Perjury's team may simply suggest non-matching masks; but they are generally taken as a masking realisation of their leader's comment 'Jurowrs in on hoode beer to facys': this common emblem of 'double-faced' treachery was portrayed on-stage and off as a two-faced mask.70 We are able to read these meanings because of the narrative context of the play, the expository speeches of the Three Faculties, and the explicit symbolism of the costumes. For most disguisings we do not have access to such an enabling context and consequently can only guess whether the form expressed meanings beyond performed magnificence. But occasional examples of similar court entertainments suggest that the disguising could be not just a powerful aesthetic spectacle but a particular and topical form. Sometimes this is fairly simple: in a disguising of 1510 in the Queen's chamber to entertain the ambassadors of the Emperor Maximilian and of Spain, the male dancers were dressed 'in Almayne Iackettes' while the women's costumes were 'strynged after the facion of Spaygne', the disguising clothes clearly honouring the ambassadors' nations.71 In the more elaborate versions of disguising that proliferated during the sixteenth century, explored in the next chapter, we sometimes find a fuller degree of semantic complexity.72\n\nDisguising Performers\n\nThe disguising masks' effect on the spectators is tied to another central issue. This is the question of who masked, what relationship the maskers held to the spectators, and whether at any stage their identities were revealed. These factors all affect the meaning of these performances.73 Although early records are not very detailed, the central activity of the disguising appears always to have involved the nobility of the court, both men and women. Professional performers, often drawn from the Chapel, were clearly involved with some of the elaborated frameworks of later disguisings, song, debate, and dramatised pageant; but the core element of spectacular dance belonged to the court itself. The earliest dance revels that accompany tournaments are recorded as involving the participants rather than entertainers, and the basic pattern seems to follow that recorded in 1489 of a jousting held to honour an English embassy to Portugal _et apres... dancerent les dames aveques les justeurs, les quellz estoint bien richement abilli\u00e9s et disguiss\u00e9s_ ('and afterwards the ladies danced with the jousters, who were very richly dressed and _disguised_ ').74 The quantities of masks and costumes created for Edward III's revels equally suggests that it was the members of court who performed in disguisings. Although the multiple sets of peacocks, angels, or wodewoses could conceivably have been worn by shifts of employed performers, the hundreds of masks used at Lichfield in 1348 are specifically for _ducibus dominabus et domicellis_ ('dukes, ladies, and damsels') and were given to them afterwards.75 Later, more detailed, records confirm that the disguisings are performed by 'lordys & ladyes and Gentylmen', 'lordes, knightes, and men of honour, moost semely and straunge disguysid'.76 Disguisings, then, are performed by people socially equal and probably known to the spectators, part of their own circle. Those watching would know that the person behind the mask was 'one of us' even if they could not see the face. As far as evidence survives, little seems to have been made of this in its earlier stages. We do not know whether the maskers made any play with their identity, but there is nothing to suggest any _significant_ consciousness of the familiar face behind the concealing mask during the performance. Disguisers and spectators do, however, stand in an interestingly flat relationship to each other, since it is only the mask \u2013 not role, class, or profession \u2013 that divides performer from audience.\n\nThis is very clear in the famous account of a disguising at the court of France in 1392, recorded by the chronicler Jean Froissart because it led to a disaster. A winter wedding77 between two young courtiers was being celebrated with a great supper and dancing, attended by the royal family. As the midnight _pi\u00e8ce de resistance_ of the evening's entertainments, a squire from Normandy arranged for a disguising for six dancers, of whom the King was one. They were to be _hommes sauvages_ , 'wild men', in English _woodwoses:_\n\n... il fist pourveir six cottes de toille... puis semer sus d\u00e9ly\u00e978 lin en fourme et en couleur de cheveuls... Quant ils furent tous six vestus de ces cottes qui estoient faittes \u00e0 leur point et ils furent dedens enjoinds et cousus, ils se monstroient \u00e0 estre hommes sauvages, car ils estoient tous chargi\u00e9s de poil du chief jusques \u00e0 la plante du piet.79\n\nHe devysed syxe cotes made of lynen clothe, covered with pytche, and theron flaxe lyke heare... And whan they were thus arayed in these sayd cotes, and sowed fast in them, they semed lyke wylde wodehouses full of heare fro the toppe of the heed to the sowle of the foote.80\n\nWhile they were changing, one of the dancers expressed serious qualms about the fire hazard, and a message was sent to the dancing-chamber that all torches were to move back to the walls, well away from the disguising.\n\nThe King came first, presenter to the troupe: the other five were all tied together. However, he deserted the rest, and went to show himself off to the ladies on the dais _ainsi que jeunesse portoit_ ('as youthe requyred'). His young aunt, the Duchess de Berri, _par esbatement_ ('in fun'), seized him by the arm,\n\n... et voult savoir qui il estoit. Le roy estant devant elle ne se vouloit nommer. Adont dist la duchesse de Berry: \"Vous ne m'eschapper\u00e9s point, ains que je sache premiers vostre nom.\"81\n\n... to knowe what he was, but the kyng wolde nat shewe his name. Than the duches sayd: Ye shall nat escape me tyll I knowe your name.82\n\nIt seems strange that having entered as part of a dancing troupe, the king should then leave it to tease the ladies; 'as youthe requyred' suggests that he was, fortunately as it turned out, behaving irresponsibly. Charles VI was in his early twenties; his dancing companions were of an age; the Duchess, though his aunt-in-law, was only fifteen. Her presence of mind was however invaluable in the next few minutes. The king's brother, the Duke of Orleans, coming in late with his own torchbearers, had not heard the warning. Wanting to know who the disguisers were, he seized a torch and held it so close that it caught the flax, and\n\n... tantost il est enflam\u00e9. La flamme du feu eschauffa la poix \u00e0 quoy le lin estoit attachi\u00e9 \u00e0 la toille. Les chemises lin\u00e9es et poy\u00e9s estoient s\u00e8ches et d\u00e9li\u00e9s et joindans \u00e0 la char et se prindrent au feu \u00e0 ardoir, et ceulx qui vestus les avoient et qui l'angoisse sentoient, commenci\u00e8rent \u00e0 crier moult am\u00e8rement et horriblement.83\n\n... sodaynly [it] was on a bright flame, and so eche of them set fyre on other; the pytche was so fastened to the lynen clothe, and their shyrtes so drye and fyne, and so joynynge to their flesshe, that they began to brenne and to cry for helpe.84\n\nWould-be rescuers were seared by the flaming pitch. One dancer broke away and threw himself into a barrel of washing-up water in the pantry: he survived, hideously burned. The King was saved by the quick reactions of the Duchess, who protected him from sparks by rolling him up in the train of her dress. The other four died there and then, or on the following day. The event was known thereafter as _Le Bal des Ardents_.85\n\nThe illustration in PLATE 18, though painted some seventy years later, is by someone clearly used to this kind of entertainment and well able to imagine the disaster. It recreates the scene atmospherically: the shadows cast by the torches, the flames leaping through the hemp, the panic enhanced by the expressionless mask faces with their cavernous eyes, and the desperate gestures. The full horror clearly arose from the identity of the dancers, their relationship with the spectators, and, probably, the hideous irony of the scenario. The Queen, knowing that the King was to be one of the maskers, collapsed; one of the burning dancers _crioit \u00e0 haults cris: 'Sauv\u00e9s le royl sauv\u00e9s le roy!'_ ('cryed ever with a loude voyce: Save the kynge, save the kynge'). But besides this, the masking as _hommes sauvages_ was to give the king and his youthful courtiers the licence to behave for the space of the evening like uncivilised and unrestrained children of nature:86 a liberating disguise for young men who normally conducted their lives within the cramped framework of court etiquette. Wild men had notoriously unbridled physical appetites, and one wonders how far the King was playing at this when he went over to the ladies. The fifteen-year-old Duchess seems to have responded with enthusiasm, even to physically laying hands on the anonymous stranger. But, ironically, Charles was already mentally unstable, and had the previous summer had a dangerously violent episode in which he tried to kill his brother the Duke. Froissart consciously parallels his case with that of Nebuchadnezzar, the king who in medieval eyes became a wild man, covered with hair and without reason.87\n\nPLATE 18: The _Bal des Ardents_. The chained dancers are on fire in the right foreground; the King, behind them to the left, is wrapped in the Duchesse de Berri's ample train. One dancer escapes to the kitchens; the Queen, centre under dais, wrings her hands; the figure with a torch on the right under the minstrels' gallery is presumably the Duc d'Orl\u00e9ans. Froissart _Chroniques_ : Ghent\/Bruges (c. 1470). Paris: Biblioth\u00e8que nationale, MS fonds fran\u00e7ais 2646 fol. 176r.\n\n\u00a9 Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library.\n\nThe first-reported public reaction to the tragedy was that it was a warning from God to the king _que il se retraist de ses huiseuses et que trop en faisoit et en avoit fait par cy-devant, lesquelles n'appartenoient point \u00e0 faire \u00e0 ung roy de France, et que trop jeunement se maintenoit et estoit maintenu jusques ad ce jour_ ('to withdraw himself from such young idle wantonness, which he had used overmuch, being a king').88 On the human level, the youthful heedlessness of the participants was held responsible. Froissart explicitly exculpates the Duke of Orleans, blaming it on his _jeunesse et_... _ygnorance_ ('youth and ignorance'), but the political situation was volatile, and English chroniclers were soon accusing the Duke of attempted assassination.89\n\nThough at least two of the spectators actively tried to discover the identity of the stranger behind the wild-man mask, it does not seem to have been the specific focus of the entertainment. In early-sixteenth-century England this changed, possibly under the personal influence of Henry VIII. At the beginning of his reign Henry was only eighteen and ostentatiously good at dancing, singing, and composing as well as jousting. He had danced publicly at court revels in his father's time, clearly enjoyed performing, and did not stop doing so once he was crowned.90 In the first year of his reign we find him at a banquet where he 'withdrew hym selfe sodenly out of the place' returning with five other lords:\n\n... apparayled all in one sewte of shorte garmentes, litle beneth the poyntes, of blew Velvet and Crymosyne with long sleves, all cut and lyned with clothe of golde... on their heades bonets of Damaske, sylver flatte woven in the stole, and thereupon wrought with gold, and ryche fethers in them, all with visers.91\n\nThe king's set danced with six disguised ladies ('the lady Mary, syster unto the kyng was one, the other I name not') and then withdrew. This is the first clear instance of a developing pattern. The disguising takes its normal form, but the identity of the matching maskers, in particular the identity of the king, becomes a central part of the dynamic of performance. This disguising was important because of who took part in it.\n\nInitially it may seem that the effect of the disguising is to make the king anonymous, first by putting on a mask, and then by appearing as one of an identically dressed team. Efforts were clearly made to uphold this fiction, as shown in a famous anecdote by the visiting Venetian Gasparo Spinelli about a disguising in 1527 when the maskers were all dressed in baggy black velvet slippers because the king, having hurt his foot playing tennis, was unable to wear shoes.92 In theory this produces a delightful social levelling as the king makes himself neither more nor less important than his companions. But, as seen in the tournaments, the disguises of these courtly entertainments are double-edged. If Henry is masked, it is in order to demonstrate the real grace and splendour of his dancing performance, to prove his own capacity. He actually needs to be recognised, concealing his identity only in order to confirm it. As Castiglione explains,\n\n... in tal caso, spogliandosi il principe la persona di principe e mescolandosi egualmente con i minori di s\u00e9, ben per\u00f2 di modo che possa esser conosciuto, col rifutare la grandezza piglia un'altra maggior grandezza, che \u00e8 il voler avanzar gli altri non d'autorit\u00e0 ma di virt\u00f9.93\n\n... in this point the prince stripping himselfe of the person of a prince, and mingling him selfe equally with his underlinges (yet in such wise that hee may bee known) with refusing superioritie, let him chalenge a greater superioritie, namely, to passe other men, not in authoritie, but in vertue.94\n\nConsequently the person of the king must at some point, in some way, be seen through the mask. This is what we find when we look closely at Henry VIII's disguisings. Study of Richard Gibson's Revels accounts suggests that although the king was indeed costumed like his companions, there were subtle differences.95 As in the 1511 tournament, his costume was the same but more so: in a set of six Almains whose hose are sewn with pomegranates of gold, Henry has twenty-one pomegranates, the next best twenty, the third seventeen, the fourth sixteen, the fifth and sixth fourteen each. Or the king and his masking partner have two-shilling feathers, the next pair sixteen-penny feathers and the third one-shilling feathers.96 Marking the distinction was clearly important.\n\nMore significant, perhaps, is that Hall suddenly begins to record that the disguisers unmask at the end of the dancing. We have no way of knowing whether this was ever the case with fourteenth-and fifteenth-century maskers, but it was clearly felt to be a significant part of Henry's entertainment. Time and again Hall concludes his descriptions with 'after they had daunced, they put of their viziers, & then they were all knowen'.97 He implies that the moment of unmasking was a moment of delighted pleasure that identity had been revealed, though above all it is the identity of the king that is at stake. Spectators typically 'hartely thanked the kyng, that it pleased him to visit them with such disport'. The unmasking is interpreted as a sign of the king's gracious generosity, his identity a gift to his courtiers. This discovery apparently becomes a crucial part of the performance.\n\nIn this unmasking the dynamic relationship between the mask and the hidden face is foregrounded: there is a conscious play with identity that seems characteristic of the beginning of the early-modern period.98 This playful flirtation with masking in courtly disguising games can be seen even more prominently in the variations on the basic pattern that we find in the English court of the early sixteenth century.\n\nNotes\n\n1 Anglo 'Evolution of the Early Tudor Disguising' 3\u201344.\n\n2 See e.g. Le _Tournoi de Chauvency_ edited M. Delbouille (Li\u00e8ge; Paris, 1932); R.S. Loomis 'Edward I: Arthurian Enthusiast'; Ren\u00e9 d'Anjou _Traitie de la forme et devis d'un tournoi_ 39, 47, 58. The illustrations of the _Freydal_ of the Emperor Maximilian are arranged in groups of four: three jousts and one mummery per day. See chapter 5 on 'Tournaments' note 73.\n\n3 _MED_ sv _disgising_. This may even inform the apparently surprising confusion between chroniclers as to whether the conspiracy against Henry IV in 1400 involved a 'mumming' or a 'joust'. These were not such different occasions as later readers may assume. See chapter 4 on 'Mumming' notes 42, 43.\n\n4 _Piers Plowman_ B. Text, Prologue lines 23\u20134.\n\n5 Chaucer _The Parson's Tale_ in _The Riverside Chaucer_ edited Larry D. Benson (Oxford University Press, 1988) line 416, page 300.\n\n6 John Lydgate _Fall of Princes: part III_ edited Henry Bergen _EETS ES 123_ (1924) 746; Book 6, lines 2677\u20139.\n\n7 Hall _Union_ 527. Cornelius in Henry Medwall's _Fulgens and Lucres_ dresses up to impress 'like to a rutter somewhat according': _The Plays of Henry Medwall_ edited Alan H. Nelson (Tudor Interludes; Cambridge: Brewer, 1980) 49; part 1, line 718.\n\n8 _Parson's Tale_ page 300, line 413.\n\n9 _Mankind_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969) 175; lines 671\u2013718; _Parson's Tale_ line 426, page 301.\n\n10 Brewer _Letters and Papers_ 2:2 1492\u20133; Hall _Union_ 513\u201314.\n\n11 This issue is much discussed in Anglo _Spectacle, Pageantry and Early Tudor Policy_ ; Kipling _Triumph of Honour;_ Roy Strong _Art and Power: Renaissance Festivals 1450\u20131650_ (Woodbridge: Boydell, 1984); John Scattergood 'Skelton's _Magnyfycence_ and the Tudor Royal Household' _Medieval English Theatre 15_ (1993) 21\u201348.\n\n12 See e.g. the definitions of royal magnificence offered at the beginning of the Black Book of Edward IV in _The Household of Edward IV: the Black Book and the Ordinance of 1478_ edited A.R. Myers (Manchester University Press, 1959) 86.\n\n13 _Great Chronicle_ 215, 339.\n\n14 _Fulgens and Lucres_ Part 1 line 748. Cornelius' gowns are 'new and straunge For non of them passith the mid thy' (lines 738\u20139).\n\n15 Frances Baldwin _Sumptuary Legislation and Personal Regulation in England_ (Baltimore: Johns Hopkins University, 1926); see Sponsler _Drama and Resistance_ chapter 1, 1\u201323.\n\n16 Jackson 'Tournament and Chivalry' 52\u20135.\n\n17 See, for England the _Great Chronicle_ and Hall _Union_. European parallels include _Hechos del Condestable Don Miguel Lucas de Iranzo (cronica del siglo_ XV) edited Juan de Matas Carriazo (Madrid: Espasa Calpe, 1940); Olivier de la Marche _M\u00e9moires_ edited H. Beaune and J. d'Arbaumont, 3 vols (Paris: Librairie Renouard, 1883\u201388). See also Streitberger _Court Revels_ 6.\n\n18 Hall _Union_ 494; _Great Chronicle_ 254.\n\n19 Hall _Union_ 507.\n\n20 _Great Chronicle_ 311.\n\n21 _Great Chronicle_ 315.\n\n22 _Great Chronicle_ 374.\n\n23 See the running at the ring before the Spanish ambassadors in 1509, or the disguisings of 1527: Hall _Union_ 514, 724.\n\n24 Kew: Public Record Office E 36\/217 fol. 68: 'memo \u00feat \u00fee kyngys apparell and master sir thomas knevetys apparell was lost and spent and spoylyd soo \u00feat wyth \u00fee los of thees xiiij letterys to \u00fee Summa fvllly _[sic]_ ccxxv ovncys of golld... restoryd and delyveryd by me rechard gybson after long labvr to get \u00fee iiij garmentys and bonetys and hossys of \u00fee loordys In lettyrys \\of golld\/to Robard a madas vc xv' It would seem that the maskers also went off with some gold letters.\n\n25 Hall _Union_ 519.\n\n26 George Cavendish _The Life and Death of Cardinal Wolsey_ edited R.S. Sylvester _EETS 243_ (1959) 25; Hall _Union_ 568, 517.\n\n27 Guildhall Letter Book I, fol. 223r; from a herald's account of Christmas festivity 1489, British Library Cotton MS Julius B XII, fol. 64, printed John Leland De _Rebus Britannicis Collectanea_ 6 vols (London: G. and J. Richardson, 1770) 4: 256.\n\n28 Hall _Union_ 580.\n\n29 Vale _Edward III and Chivalry_ 69\u201371, 175.\n\n30 Hall _Union_ 619.\n\n31 _Freydal Des Kaisers Maximilian:_ see chapter 5 on 'Tournaments' note 73.\n\n32 _Diary of Henry Machyn_ 288.\n\n33 Hall _Union_ 597.\n\n34 _Great Chronicle_ 251\u20132.\n\n35 Anglo 'Early Tudor Disguising' 3\u201344; Kipling _Triumph of Honour_ 96\u2013115.\n\n36 Kipling _Triumph of Honour_ chapter 5. See, for reports, de la Marche _M\u00e9moires;_ Mathieu de Coussy (d'Escouchy) _Chroniques_ edited Jean Alexandre Buchon (Collection des chroniques nationales fran\u00e7aises \u00e9crites en langue vulgaire du 13e au 16e si\u00e8cle, 12\u201315; Paris: Verdi\u00e8re, 1825\u201328), etc.\n\n37 Anglo _Spectacle, Pageantry_ 100\u2013103; Kipling _Triumph of Honour_ 102\u201315.\n\n38 _The Receyt of the Lady Kateryne_ edited Gordon Kipling _EETS 296_ (1990) 60. See also Kipling _Triumph of Honour_ 105\u20139.\n\n39 Kipling _Receyt 56\u20137;_ Hall _Union_ 518\u201319.\n\n40 Kipling _Receyt_ 59\u201360.\n\n41 Nicolas 'Garter' 37\u20138.\n\n42 Nicolas 'Garter' 43.\n\n43 See Vale _Edward III and Chivalry_ 69\u201371; Wickham _Early English Stages_ 1: 188\u20139.\n\n44 Nicolas 'Garter' 29\u201330, 39; Vale _Edward III and Chivalry_ 70.\n\n45 Hall _Union_ 513, 516.\n\n46 Hall _Union_ 613, 514.\n\n47 _The Lisle Letters_ edited Muriel St. Clare Byrne, 6 vols (University of Chicago Press, 1981) 6: 201.\n\n48 _Documents relating to the Office of the Revels in the time of Queen Elizabeth_ edited A. Feuillerat (Materialien zur Kunde des \u00e4lteren Englischen Dramas 21; Louvain: A Uystpruyst, 1908; reprinted Liechtenstein: Kraus, 1968) 146.\n\n49 Hall _Union_ 516, 580, 595, 597.\n\n50 Hall _Union_ 513.\n\n51 Jean d'Auton _Chroniques de Louis XII_ edited R. de Maulde de la Clavi\u00e8re, 4 vols (Soci\u00e9t\u00e9 de l'Histoire de France; Paris: Renouard, 1891) 2: 100.\n\n52 Thoinot Arbeau _Orch\u00e9sographie_ (Langres: Jehan des Preyz, 1588) 82r.\n\n53 _Fulgens and Lucres_ Part 2, lines 380\u201381. The most famous basse-danse base is called _La Spagna_ ; there is also one called _Beaut\u00e9 de Castille_. The arrival of Katherine of Aragon in her Spanish dress had caused great interest: Kipling _Receyt_ 57, 67: Bernard Andr\u00e9 _Historia regis Henrici Septimi: a Bernardo Andrea tholostate conscripta, necnon alia quaedam ad eundem regem spectantia_ edited James Gairdner _Rolls Series 10_ (1858) 288.\n\n54 Nicolas 'Garter' 37; Feuillerat _Edward VI and Mary_ 130\u201331, 145. _Mediox_ seems to be a version of the Latin adjective _medioximus_ 'intermediate, halfway'. It has been suggested that these disguisings were specially designed to appeal to an adolescent king.\n\n55 Hall _Union_ 613.\n\n56 Feuillerat _Elizabeth_ 158.\n\n57 Hall _Union_ 514.\n\n58 Feuillerat _Edward VI and Mary_ 14.\n\n59 Brewer _Letters and Papers_ 2.2 1493.\n\n60 Feuillerat _Edward VI and Mary_ 49.\n\n61 Feuillerat _Edward VI and Mary_ 92.\n\n62 British Library Additional MS 24098; Bayerische Staatsbibliothek Clm 23638.\n\n63 Illustrations of the Schembart Carnival at Nuremberg (e.g. Oxford: Bodleian Library MS Douce 346; British Library Additional MS 15707) equally appear to show guisers with bare faces, until a sequence in which they are suddenly coloured blue and it becomes that clear they are masks. Conspicuous eyeholes are also shown in the masks of the Breughel _Carnival and Lent_.\n\n64 See Jacques Lecoq 'R\u00f4le du masque dans la formation de l'acteur' in _Le Masque: du rite au th\u00e9\u00e2tre_ edited Odetta Aslan and Denis Bablet (Paris: CNRS, 1988) 265\u20139; and 'Le masque neutre' in _Le Corps poetique_ 47\u201356. Alberto Marcia _The Commedia dell'Arte and the Masks of Amleto and Donato Sartori_ (Florence: La Casa Usher, 1980) [5] and plates 6 (Lecoq holding a neutral mask), 15, 156\u20137. With the lapse of time, these masks look less 'neutral' than they were thought to be by their creators.\n\n65 Effectively, spangles (sequins) confuse the eye, which is attracted to the sparks of light and is unable to refocus on the face beneath the mesh.\n\n66 _Wisdom_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969). On the disguisings see John Marshall 'The Satirising of the Suffolks in _Wisdom_ '; 'Her Virgynes, as Many as a Man Wylle: Dance and Provenance in Three Late Medieval Plays' _Leeds Studies in English NS 25_ (1994) 111\u2013148. The ready acceptance of disguising in household drama is clear, as shown in the casual comment in the cast list of Rastell's interlude _Four Elements_ which suggests 'Also yf ye lyst ye may brynge in a disgysynge': John Rastell _The Nature of the Four Elements_ in _Three Rastell Plays_ edited Richard Axton (Cambridge: Brewer, 1979) lines xi-xii.\n\n67 _Wisdom_ lines 685\u20137.\n\n68 _Wisdom_ lines 692, 724, 752. _Congruent_ , i.e. suitable to the costume, is the usual reading for the MS _conregent_.\n\nThe presence of these female performers would equally add weight to the argument that _Wisdom_ was designed for performance in a great household: Westfall _Patrons and Performance_ 102.\n\n69 See Marshall 'The Satirising of the Suffolks'.\n\n70 See chapter 10 on 'Morality Plays' 239\u201340.\n\n71 Hall _Union_ 516.\n\n72 See chapter 8 on 'Amorous Masking' 180\u201381.\n\n73 See the useful Appendix to Emigh _Masked Performance_ 'A List of Basic Questions that might be asked about Performances' 293\u2013300.\n\n74 Andr\u00e9 _Historia Henrici Septimi_ 179.\n\n75 Nicolas 'Garter' 29.\n\n76 _Great Chronicle_ 315; Kipling _Receyt 67_.\n\n77 It was the Tuesday before Candlemas, in the period of the Christmas revels.\n\n78 _D\u00e9ly\u00e9_ 'close-fitting'.\n\n79 Jean Froissart _Chroniques_ in _Oeuvres de Froissart_ edited M. le baron Kervyn de Lettenhove, 25 vols (Brussels: Closson, 1870\u201387) 15: 85. Enid Welsford suggests that this was a charivari, as the bride was being married for the second time: but there is no evidence for this, and the 'queer gestures' and 'horrible wolfish cries' exist only in her imagination: _The Court Masque_ (New York: Russell and Russell, 1962) 44.\n\n80 Jean Froissart _The Chronicle of Froissart translated out of French by Sir John Bourchier Lord Berners annis 1523\u201325_ introduction by W.P. Ker, 2 vols (Tudor Translations 31 and 32; London: David Nutt, 1903: transcription of edition by Richard Pynson, 1523\u201325) 2: 96. Berners' translation anticipates what Froissart does not tell us till later, that the flax was stuck on with pitch. We use his translation, though it is sometimes very free, because it reflects how a courtier of Henry VIII saw the event.\n\n81 Froissart _Chroniques_ 15: 87.\n\n82 Berners _Froissart_ 2: 97.\n\n83 Froissart _Chroniques_ 15: 87\u20138.\n\n84 Berners _Froissart_ 2: 97\u20138.\n\n85 'The dance of those on fire.'\n\n86 So much emphasis has been laid on carnival as a liberation for the lower classes of society that one forgets that the aristocracy were in their own way equally constrained. For woodwoses in entertainments see R.H. Goldsmith 'The Wild Man on the English Stage' _Modern Language Review 53_ (1958) 481\u201391; Withington _English Pageantry_ 1: 72\u20137.\n\n87 Froissart _Chroniques_ 15: 38\u201342; Berners _Froissart_ 2: 65\u201373, especially 67.\n\n88 The Roman Pope later maintained it was a warning to the King because he was still supporting the Pope at Avignon: Froissart _Chroniques_ 15: 38\u201342; Berners _Froissart_ 2: 92\u20133.\n\n89 E.g. Walsingham _Historia anglicana_ 213: _dolo fratris sui Ducis, qui a tempore su\u0153 infirmitatis aspiravit ad regnum_ ('by the treachery of his brother the Duke, who in the time of his indisposition had aspired to the kingdom'). The Duchess has here become _qu\u0153dam domina_ ('a certain lady') who rushes forward and plucks him from the dance. This is an interesting mirror image to the usual 'assassination attempt during masking' motif: this time the unmasked figure is accused of the attempt.\n\n90 At the disguisings for the wedding of his brother Arthur and Katherine in 1501 Henry, then Duke of York and a child, dancing with his sister, 'perceyvyng himself to be accombred with his clothis, sodenly cast of his gowne and dauncyd in his jaket... that hit was to the Kyng and Quene right great and singler pleasure': Kipling _Receyt_ 58. Such pleasure in personal display continued in adulthood.\n\n91 Hall _Union_ 513\u201314.\n\n92 _Calendar of State Papers and Manuscripts Relating to English Affairs Existing in the Archives and Collections of Venice and in other libraries of Northern Italy Vol. 4: 1527\u20131533_ edited by Rawdon Brown (London: Longman for HMSO, 1871) 61.\n\n93 Castiglione _Il Cortegiano_ 106.\n\n94 Hoby _Courtier_ 100.\n\n95 Twycross 'Philemon's Roof' 335\u201346.\n\n96 Kew: Public Record Office E 36\/217, fols 23r; 31r; Twycross 'Philemon's Roof'.\n\n97 Hall _Union_ 595. See 516, 580, 597, 599 etc.\n\n98 This issue has been widely discussed in Stephen Greenblatt _Renaissance Self-fashioning: from More to Shakespeare_ (Chicago: University of Chicago Press, 1980); see also Alistair Fox, _The English Renaissance: Identity and Representation in Elizabethan England_ (Oxford: Blackwell, 1997) 1\u20136, 59\u201392.\nChapter 7\n\nCourtly Mumming\n\nCourtly entertainment at this period is characterised by fluidity of form, the apparent irrelevance of generic boundaries. It has long been recognised that 'Plays, pageants, tournaments, disguisings, dances, interludes and mummeries all developed together, and with much mutual interchange both of theme and form'.1 Although this often makes it difficult for us to distinguish the different elements involved in courtly disguising games, it is clear that within them significantly separate patterns developed which exploited different masking possibilities. One of these involves the transformation of a popular custom that we have already explored: mumming.\n\nAs we have seen, the popular urban custom of mumming involved a night-time visit to a household by a band of strangely dressed and masked mummers, who would challenge the householders to a game of dice, hoping to win money or at least food and drink. Ideally the visitors would not speak in order that they 'sholde nott be knowen' by either face or voice.2 These visiting mummers have neither past nor future: they come out of the night and disappear into it again. The pleasure of the custom seems to have involved the fearful delight of the strange visitation, the edge of danger but potential good fortune in the disguised challenge to a game of luck, the licence endowed or enhanced by the mask. The mumming was adopted as a court entertainment; but the courtly context inevitably alters the relationship between mummers and 'audience', even though apparently the same sequence of actions is performed.\n\nThe earliest recorded exploitation of this informal folk custom is the famous visit on 25 January 1377 of the Commons of London to the ten-year-old Prince Richard, soon to be Richard II.3 A cavalcade of 130 citizens rode through London to Kennington _degisement arrayes_... _pur moummere_ ('disguizedly aparailed... to goe on mumming'), lavishly costumed as 48 squires, _lour faces covertes od visers bien et avenablement faitz_ ('their faces covered with vizerds well and handsomly made'), 48 knights, an Emperor, a Pope, 24 Cardinals, and _viii ou x arraiez ode visers nayrs come deblers nyent amyables, apparauntz come legates_ ('8 or 10 arayed and with black vizerdes like devils appering nothing amiable, seeming like legates').4 At Kennington they dismounted, and the prince and his court entered the hall where the mummers challenged them by signs to the traditional game of dice. But the\n\ndiz furount subtilement faitz issint qe come le prince ietast il deveroit gayner; et les ditz iuers et mummers metterount al prince troys iuels chescune apres autre, une pelit dor, une cupe dor et une anel dor; les queux le dit prince gayna a troys iettes come fust ordine...\n\ndice were subtilly made so that when ye prince shold cast he shold winne and ye said players and mummers set before ye prince three jewels each after other: and first a balle of gould, then a Cupp of Gould, then a gould ring ye which ye said prince wonne at three castes as before it was appointed...\n\nOnce the dicing was over the prince called for wine and music:\n\net le prince et les seignours dauncerount dun part et les mummers dautre part par longe tenps et puis beverount et pristrent conge et despartirent devers Loundres.\n\nand ye prince and the lordes danced on ye one syde and ye mummers on ye other a great while and then they dronck and tooke their leaue and so departed toward London.\n\nWe have here all the elements of the traditional urban mumming, but the scale, the social context, and the resultant formality transform the custom. This not an impromptu visit but a spectacular planned entertainment. The costumes are far from _ad hoc_ and random, theatrically designed in strikingly matching sets, and made of silk and sendal _bien arraiez_ ('exellently arrayed'). The mounted torch-lit procession, which brought out a crowd of spectators, resembles the masked tournament parades of Edward III rather than a wandering band of anonymous revellers. The dice-play is equally transformed. Instead of being loaded in favour of the mummers, these dice are made to favour the host. They turn the game of chance into a graceful way of making a New Year's gift while implying that Richard is the favourite of Fortune. This is also the first recorded mumming which features dancing, that staple of courtly entertainment, although it is worth noting that mummers and courtly household dance separately from each other before the mummers disappear, seemingly masked as they had come.\n\nThis poaching of a traditional form modifies its meaning without changing its structure. The relationship of mummers to mummed is altered. These mummers are no longer predatory strangers but come to give rather than to get. Though they are masked, and individually unrecognisable, the court must have known who they were as a group, and at least some of the household must have been prepared for their coming. In a private mumming the power belongs to the mummer, with the householder at a disadvantage; here this plays in counterpoint to the hierarchical relationship of prince to commons which all parties know underlies the fiction. The raw excitement of the encounter with unexpected and weirdly dressed guests is tempered by the formality of the occasion. Any sense of personal threat is clearly playful, in spite of the devil masks.\n\nWith all its conscious splendour and role-playing, this mumming nonetheless offers a recognisable version of the domestic game. However, its heightened theatricality draws particular attention to the fictional narrative implicit in its structure. Many games and folk customs contain the seed of a narrative: the simple factors of disguise, encounter, competition, exchange, departure, can be read as episodes in a short story. (The same is true of the patterns of dancing, which can easily develop into implicit or mimetic narrative.) This particular masking game has a marked dramatic shape which implicitly suggests a strong and intriguing story-line. In adapting it as an entertainment the London mummers have drawn attention to this fictional scenario. Into the festive Christmas court erupts a visitation from supposedly unknown, certainly unrecognisable, and strikingly strange beings. The visitors, representatives of an unknown 'other' world, make a challenge to involve the king and court in a game of chance, a game in which all might be won \u2013 or lost. The household is bound by the rules both to play and to extend hospitality in exchange for the entertainment. In this case it is a good-luck visit in every sense: the household wins. Having conferred this good fortune, the visitors, apparently still unrecognised, take their leave and go back to the other world from whence they came.\n\nThe direct narrative fiction implicit in the game is further fictionalised by the court setting. The social fiction dictates that both sides should act as if the game were a normal folk-custom. The unexpected visit cannot be not entirely unexpected, but everyone must behave as if it were; the mummers are neighbours, but must be treated as total strangers; the game of chance has been rigged, but no-one must notice. This courteous role-playing is superimposed upon the generic willingness to join in without which the whole game would collapse, for the conduct of the game is itself a fiction of a different sort, which depends upon collusion between both parties. This then creates a metatheatrical fiction, for the audience is well aware that they too are acting a role, enacting themselves encountering the mummers. The theatricalisation of the court setting emphasises the conscious sophistication of this double vision.\n\nOnce consciously fictionalised like this, the mumming narrative nests elegantly into parallel courtly literary fictions. Just as the tournament lent itself to Arthurian fantasies, the 'otherworldly visitor' of the mumming meshes neatly with the familiar Arthurian motif of 'the hostile challenger at the feast'.5 But what is a game, a fiction, in real life can become a reality in fiction. Moreover literary fiction can take the unexpressed sense of hostility and threat lurking beneath the surface of the mumming game, and make it explicit.\n\nWe find this in what is probably the most famous Christmas visit in medieval English literature. The arrival of the Green Knight at Arthur's revelling court in _Sir Gawain and the Green Knight_ is recognisably structured as a mumming.6 The eruption of the unknown, weirdly dressed, and unpredictable being from a world beyond the civilised court, challenging the security of the household to interact with the stranger in a game of chance, uncannily echoes the primitive challenge involved in a popular mummers' visit. But the _Gawain_ poet is aware of the complex resonances and shifting point of view that the event acquires in a courtly setting. He goes out of his way to stress its theatricality. The Green Knight is no ordinary _vilains_. He is dressed as 'disguisedly' as any member of a disguising or tournament team, in furs, gold, silks, and embroidery, his horse costumed to match with embroidered and enamelled trappings. His green face with flowing hair and beard echoes many a masking vizard: compare the wildmen with 'bodies, heddes, faces, handes, and legges, covered with grene Sylke flosshed' in one of the disguisings accompanying Henry VIII's 1511 tournament, and the more closely contemporary _wodewoses_ of Edward III and the Bal des Ardents.7 Even the beheading and its animatronic sequence would have been possible to arrange theatrically.8\n\nLike Richard's mummers the Green Knight enters the hall abruptly, unheralded yet half-expected as Arthur waits for 'sum aventurous thyng', offering them a 'Crystemas gomen' with a tangible prize, 'thys giserne ryche'.9 With the licence of a mummer,10 he initiates the competition on his own terms, and the theatrical rules of the encounter demand that the challenge is accepted even though this game involves not chance, but apparently certain death. The rules of probability are dissolved, this time not by benevolent conjuring with weighted dice to affirm the royal self-image, but by a suspension of the laws of nature in which everything becomes uncertain, even the very values by which the court identifies itself. Yet throughout everyone continues to talk in terms of game and entertainment. Even when the Green Knight withdraws, as mysterious and unknowable as when he came, Arthur insists on interpreting what has happened at the level of a mumming, 'wel bycommes such craft upon Cristmasse'.11\n\nThe poet's creation of the opening fitt suggests a familiarity with just such a Christmas courtly mumming as Prince Richard encountered,12 and its complex shifts between self-conscious game and underlying psychological challenge. He transfers this to a fictional world where the sense of threat and challenge can have real results. In the Arthurian world, 'fantoum and fayrye' are, if not everyday, at least possible.13 Yet the anatomical details of the beheading are realistic, and it is done with a real weapon. Arthur's court are presented as real people, reacting realistically. The sense of shifting focus present in the theatrical mumming becomes a destabilising force in the dynamic of the poem.\n\nThere was, however, a further dimension yet to the mumming of 1377. Like Edward III's 1343 tournament procession of the Pope and Cardinals, it had a political subtext \u2013 indeed several of them.14 On the surface the mumming was a purely complimentary fiction: the two highest-ranking figures in Christendom, Pope and Emperor, ride to pay homage to the young heir to the throne. Yet there is the odd detail of the diabolical papal legates: although the Pope, like the Emperor,15 seems benign, the legates are specifically masked 'like devils appering nothing amiable'. The official report of the Parliament opened three days later reveals that, besides the perennial grievances about papal provisions, the Pope, a Frenchman himself, was thought to have engineered the current truce with France specifically so that the enemy might re-arm under its cover.16 But since it would not be fitting to lampoon the Pope himself, the opprobrium is saved for the papal legates, caricatured by the diabolical black masks.\n\nThis relatively safe satire is in fact only one layer of the complex political implications carried by the mumming. By the end of 1376 relations between the City and central government were very tense. The City was in turmoil: several prominent magnates had been impeached for fraud in the Good Parliament,17 and an internal power struggle had forced through a major reorganisation of the local electoral system. London was jealous of its chartered rights of self-determination, and nervous about anyone who might encroach on them. There was always the spectre that the king, or his deputy, might make an excuse of dissension or disorder to 'take the City into his hand'.18\n\nMeanwhile the reign of Edward III was ending in uncertainty and suspicion, with the succession in question. The Black Prince had died in June leaving only a nine-year-old son, Richard of Bordeaux. The effective ruler of the kingdom was the king's oldest surviving son, John of Gaunt.19 The City's nervousness focused on Gaunt who was frequently at loggerheads with them. Ugly rumours began to circulate that he was planning to poison the prince and take the crown for himself.20\n\nGaunt responded. A reactionary parliament was summoned for Tuesday 27 January 1376\/7, at which the Prince of Wales, now ten, presided from the throne as the King's deputy.21 Gaunt went out of his way to demonstrate conspicuous loyalty to his brother's son. It was a public relations coup: the chroniclers record immense popular enthusiasm for this golden boy whose innocence was to bring a fresh start to the kingdom.22 The Chancellor's opening speech to Parliament drew on the Prince's recent Epiphany birthday to link him with the Christ-Child.23 They were urged to honour him in the same way as _les trois Rois de Coloigne firent al Filz Dieux_ ('the Three Kings of Cologne did to the Son of God'). The Chancellor interpreted the Magi's gifts as symbols of the subjects' loyalty to their prince, though gold, in the practical form of the poll-tax, was paramount.\n\nThe mumming at Kennington had preceded the opening of Parliament by only two days. The contrived giving of three gifts may well be a graceful reference to the Prince's Epiphany birthday,24 but at this particular political moment it also has an important symbolic function. Though disguised as a New Year's present, it appears to anticipate the inaugural gift-ceremonies of a Royal Entry, which were often also based on the liturgy of this season.25 By their mumming the Londoners are thus presenting a pre-emptive fealty, demonstrating their loyalty to their king-in-waiting before it is asked. How far this was intended as a snub to Gaunt can only be guessed.\n\nThe structure of the mumming fiction also hints at a rather more provocative power-play. The traditional mumming is a visit from one autonomous group (the mummers) to another (the household).26 Mounted with this magnificence and with these particular characters, the Londoners' mumming, rather than being deferentially complimentary, almost suggests a state visit from a sovereign power. There is a political subtext to this more immediate and potentially disturbing than the overt and safe anti-papal satire.27 At times of crisis over the succession, the Londoners had assumed the not-quite-constitutional privilege of, if not choosing, at any rate confirming the choice of a king.28 In the following months they pointedly stressed the special relationship between themselves and Richard, while he in turn enthusiastically took up the role of Prince of Peace and forced through a reconciliation between the City and Gaunt.29 Whether the mumming was understood at the time, by participants or observers, as asserting the City's autonomy in this way is impossible to tell. But the very fact that it found its way into the _Anonimalle Chronicle_ in such detail suggests that it was recognised as significant.\n\nIt is interesting that something as inexplicit as a mumming could be so politically eloquent. It is unlikely that all courtly mummings would carry such a weight of significance, but on at least one occasion the 1377 gesture was repeated and recorded by the chroniclers as if it were more than just an entertainment. At Christmas 1392\/3, following the confrontation and reconciliation between Richard and the City, the Londoners appear to have mounted a similarly lavish propitiatory visit:\n\nDominus rex tenuit suum Natale aput Eltham; ad quem circa festum Epiphanie venerunt Londonienses glorioso apparatu et presentarunt sibi unum dromedarium cum uno puero sedente super eum: presentaruntque eciam domane regine unam magnam avem et mirabilem, habentem guttur latissimum.30\n\nThe king kept Christmas at Eltham, where he was waited upon in great state about the feast of Epiphany by the Londoners and presented by them with a dromedary ridden by a boy: to the queen they gave a large and remarkable bird with an enormously wide gullet.\n\nAfter their entertainment, the king thanked the Londoners and forgave them a large part of the fine he had demanded. Although the chronicle does not describe this visit as a mumming, account-books record that the City Chamberlain was lent 40s 'for the mumming at Eltham at Christmas', and the Mercers paid \u00a33 to supply five mummers.31 Here again, there seems a hidden political agenda, and the mumming gives the King the opportunity of making a grand gesture with solid financial consequences.\n\nThe adoption of this popular folk custom by the city dignitaries as a vehicle for compliment and corporate gift-giving continues. The following Christmas the Londoners visited Richard _diverso apparatu_ ('with different kinds of show') and presented a marvellous ship full of spices and other gifts.32 At Christmas 1401 we hear that 'xv Aldermen of London and their sonnes rode in a mumming, and had great thanks' from Henry IV at Eltham.33 The courtly\/civic mumming seems to have provided a format in which two different strata of society or indeed two different centres of power might interact festively. The political agenda was presumably more or less to the fore depending on the context of events.\n\nIn the fifteenth century, the fictional scenario implicit in the courtly mumming \u2013 the household feast interrupted by a formal visitation from beings from another world \u2013 was adopted as a matrix for a range of entertainments. Some of the earlier elements may disappear: the game of chance may vanish, the masking may be replaced by more general disguising, even the silence may be broken by song. Most curiously, it can even acquire a script. Our main evidence for this is a rather problematical set of poems described as 'mummings' by their twentieth-century editors on variously certain grounds. Seven are by Lydgate, with one, editorially entitled 'A Mumming of the Seven Philosophers', possibly by him.34\n\nThe Lydgate poems are grouped together and introduced by detailed and apparently circumstantial rubrics, probably by his fifteenth-century editor John Shirley.35 These range from:\n\nA balade made by daun Iohn Lidegate at Eltham in Cristmasse, for a momyng tofore the kyng and the Qwene\n\nto:\n\nA lettre made in wyse of a balade by Ledegate... of a mommynge, which the goldesmythes of the Cite of London mommed in right fresshe and costelewelych36 desguysing to theyre Mayre Eestfeld, upon Candelmasse day at nyght, affter souper; brought and presented vn to the Mayre by an heraude, cleped Fortune.37\n\nWhile they all suggest complimentary visits by disguised persons, the nature and status of these poems are by no means clear. Some are for the court, and some for London civic occasions. All but one are in the Christmas season;38 four seem to involve the presentation of gifts by people in costume, and very little else, while three apparently accompany somewhat more complicated dumbshows without gifts.39 They are all in direct address, though this need not itself guarantee performance: so are various other poems by Lydgate which appear to be elaborated _tituli_ for tapestries or wallpaintings,40 and it has been suggested that some were worked up afterwards to commemorate the event.41 Attempts to visualise performance tend to turn them into elaborate pageant-car entries like the later disguisings,42 but there is no proof that much of the detail existed anywhere but in Lydgate's imagination. Certainly they do not show any marked theatrical sense,43 and their mode is expansively literary: but contemporary taste apparently enjoyed highly wrought and allusive declamations. The common link is that they all seem to be speeches by a Presenter (or Presenters) who acts either as prologue or interpreter to a largely silent show.44\n\nOnce the main purpose of ceremonial mumming became the giving of gifts, it abandons the subterfuge of the dice-game. The central action loses its residual edge of unease as uncertain Fortune is replaced by good fortune.45 However, it keeps the basic premise: the mummers are visitants from a world unknown to the society they invade. But once they have become benevolent visitors they cannot be hostile or terrifying. In naturalistic terms, they therefore often become foreigners. We have already noted the enthusiasm in court disguisings for dressing up in the costume of Turks, Russians, Prussians, or Moors.\n\nIn this type of mumming, the shock of the unknown and uncanny gives way to a frisson of pleasure at the exotic. The exact identity of Lydgate's visitors is determined by a scenario which builds on the real-life character and status of givers and recipients, and on the nature of the gifts. The visitors are often envoys of the real gift-givers, who remain in their distant homelands. At Eltham (1424) the classical gods Bacchus, Juno, and Ceres present Christmas gifts of wine, oil, and corn to Queen Katherine and her infant son by the hands of 'marchandes \u00feat here be'. At the Twelfth Night banquet of 1429 the London Mercers' Company sends Mayor Eastfield letters purporting to come from Jupiter, by the hand of a pursuivant (presumably dressed as Mercury, god of merchants as well as messenger of the gods), who announces the arrival of other visitors ('certein estates') disembarked from merchant ships at anchor in the Thames. In both these cases, the visit is presented as an embassy from a foreign potentate, further enhancing the status of the recipient. The London Goldsmiths, four weeks later, compliment the Mayor with a state visit from King David himself, dancing before the Ark of the Covenant. The Ark, presented to the Mayor as a gift for the City of London, is presumably a piece of goldsmith's work, though it is stressed that its meaning is 'bo\u00fee heuenly and moral \/Apperteyning vn-to good gouuernaunce'.46\n\nThe fiction of a royal embassy naturalises the role of the pursuivant or herald. He is also pragmatically necessary. A popular mumming needs no presenter, but once the ceremonial mumming has become a complex artistic confection, it requires explication. If, as we assume, the mummers remain masked and retain at least a vestige of the traditional obligation to silence, they had to acquire the Presenter or Interpreter, the one person who is allowed to speak. There is a ready-made contemporary analogy for this figure in the pageants of the Royal Entry, where the habit of having a _custos_ or expositor who might read and 'translate' verses held by characters or pinned to the stage was a well-established convention.47 Kipling suggests that the _custos_ 'remained outside the action of the show and formed, as it were, a barrier between the King and the actors'; in the mummings he is not so much a barrier as the link and mediator between performers and spectators. In the fiction of the embassy, he is their _truchman_ or interpreter.48 The mummers' silence is also rationalised: they do not speak because, being foreign, they do not know the English language.\n\nThe masking in _Love's Labour's Lost_ plays teasingly with the genre. The four young men, disguised as Russians and with 'Blackamors' as musicians, attempt to train Moth the page as their 'herald'; but when the ladies, turning their backs, refuse to behave as a proper audience, he retires discomfited. Rosaline wickedly pretends to set the scenario back on its right course:\n\nWhat would these strangers? know their minds, Boyet:\n\n_If they do speak our language_ , 'tis our will\n\nThat some plain man recount their purposes:\n\nKnow what they would.49\n\nBoyet then acts as go-between, faithfully reporting response and counter-response until the joke runs out. Here the mumming scenario mirrors the real-life political situation \u2013 the Princess is genuinely the ambassador of her father, the King of France \u2013 and the amorous situation, as the men attempt to negotiate a rapprochement with their reluctant mistresses. The formal distance between them, political and amorous, is temporarily bridged but, as in a mumming, the two worlds cannot come together in the time-span of this game, and both sides depart, as the scenario demands, 'You, that way: we, this way'.50\n\nThe 'embassy' scenario translates happily to any interaction between fictional kingdoms. The so-called 'Mumming of the Seven Philosophers' only really merits the name because it is a speech by a herald from\n\nSenek the sage that kyng ys of desert,\n\nRegent and rewler of all wyldernesse\n\nto the youthful Christmas King of some establishment of learning: possibly, since the manuscript appears to be a London one, from the Inns of Court.51 The realm of the Christmas King was a natural place for this motif to settle. As the role proliferated in the late fifteenth and early sixteenth centuries, the various 'kingdoms' in a city would make processional state visits to each other.52 In London in 1552\/3, the Sheriff's Lord of Misrule received the King's Lord, and in December 1561 Machyn saw both 'a lord of mysrulle from Whyttchapell' and Robert Dudley, the 'Prince Pallaphilos' of the Inner Temple, ride through the city.53\n\nThe royal court had a Lord of Misrule from Henry VII's time,54 but the most famous and best documented comes from the court of his grandson. In 1551\/2, George Ferrers, a mature courtier, lawyer, MP, and man of letters in his fifties, was appointed by the council as Lord of Misrule to the young king Edward VI.55 The following year he provided the Master of the Revels with a full device of his intentions. His reign was to begin with the statutory embassy:\n\nVppon Christmas daie I send a solempe ambassade to the kinges Maiestie by an herrald trumpet an orator speaking in a straunge language an \/\/ Interpreter or a truchman with hym.56\n\nTheir drummers were to be 'apparelled like turkes garmentes according to the patornes I send you'. The following day Ferrers himself was to arrive by river at Greenwich from his imaginary kingdom:\n\n... where the last yeare [1551\/2] my devise was to cum oute of the mone \/this yeare I Imagin to cum oute of a place caulled _vastum vacuum_. I. the great waste \/asmoche to saie as a space voyde or emptie withoute the worlde where is neither fier ayre water nor earth \/and that I haue bene remayning there sins the Last yeare...57\n\nDespite the Turks' garments, the unknown realm has changed from the exotic East of the previous century to further-flung kingdoms of the imagination. Perhaps the new explorations had widened horizons. It seems more probable, however, that Ferrers was inspired by the literary voyages and imaginary kingdoms sparked off by Erasmus and More, whose ultimate ancestor was Lucian.58 The Moon was to become a great favourite as the target for celestial voyages with a satirical edge.59 His second choice, the _vastum vacuum_ , is not, as is sometimes assumed, a technical term for 'outer space'.60 Ferrers' translation, 'the great waste', makes it clear that _vacuum_ is an adjective rather than a noun and that the 'space voyde or emptie withoute the worlde _[universe]'_ is not outer space, chaos, or even the empyrean, but Nowhere. In this, as with More's Utopia ('No place'),61 he is in the tradition of the Feast of Fools rulers who could date their charters _Anno regni regis nulli_ ('in the year of the reign of No King').62 Like those curious creatures the Nusquams, the Nowhere People, who appear as a mask in the Revels inventory for 1560,63 the Lords of Misrule are kings of Never Never Land. It is an interesting reversion to the tantalising dislocation of the original mummers, except that here the enigma has become a conscious paradox and play on words. Anonymity has become a naming as nothing.64\n\nHere the mumming tradition meshes with the continental Fool tradition.65 Like the Inns of Court Christmas Kings, Ferrers as Lord of Misrule assembled a complete replica royal household. We do not know precisely how this court interacted with the real one, or what role the real King played during the reign of the mock one. Ferrers seems mainly to have organised feats of activity \u2013 jousts, hunts, disguisings \u2013 which would have kept him performing rather than presiding. Nor is it clear if he wore the traditional mask of the mummer. The Revels accounts for 1551\/2 enter 20d 'for gyldinge of a vyser for the lorde of Mysrule occupied in his playe before the king',66 but this may have been for the mock joust which, judging from Edward's _Diary_ , was what impressed the King most.67\n\nMeanwhile ordinary folk mummings continued (despite the many statutes issued suppressing them), and the form remained as a resource. Our last example is much closer in form to the original, but again taken over by the court and transformed, because the 'visit' is a fiction, and the head of the household actor rather than audience.\n\nAs we have seen, the young Henry VIII was an enthusiastic performer, whether at jousting, music, or dancing. He seemed to find particular pleasure in the sense of surprise, wonder, and admiration created by impromptu performance. In the first year of his reign Hall records him erupting into the Queen's chamber disguised as Robin Hood with his company. Katherine's reaction seems a perfect response:\n\n... the Quene, the Ladies, and al other there, were abashed, aswell for the straunge sight, as also for their sodain commyng, and after certain daunces, and pastime made, thei departed.68\n\nPLATE 19: A blue version of the white disguising in PLATE 17, but with the dancers dressed as Hungarians, and the game of mumchance in progress on the High Table. The 'ladies' sitting on the floor in front of the cupboard wear masks with large blank eyeholes. Simon Bening: Book of Hours (c. 1530), calendar illustration for December.\n\n\u00a9 Munich: Bayerische Staatsbibliothek, Clm lat. 23638 fol. 13v.\n\nThis unexpected visit of dancing strangers has elements of the disguising, but translated into the more private domestic context of the mumming. Henry's frequent use of the form thereafter suggests he found it particularly congenial to his own relationship with his court. On Shrove Sunday, a month after the Robin Hood episode, he and five exotically dressed companions:\n\n... brought in a mommerye. After that the Quene, the lordes, and ladyes, such as would had played [i.e. at dice] the sayd mommers departed, and put of thesame apparel, & after entred into the Chamber, in their usuel apparell.69\n\nHere we have an apparently entirely conventional mumming: disguised strangers enter, challenge the hosts to dice, and disappear again still in disguise. Yet the courtly context again alters what is happening. The costumes were not a strange or monstrous disguise, turning the visitors into unpredictable unknowns: the king and his 'cumpeer', the Earl of Essex, were:\n\n... appareled after Turkey fasshion, in long robes of Bawdkin, powdered with gold, hattes on their heddes of Crimosyn Velvet, with greate rolles of Gold, girded with two swordes, called Cimiteries, hangyng by greate bawderikes of gold.\n\nThough the magnificent costumes are traditionally exotic, even heathen, this is disguising display, identifying the strangers clearly as members of the court circle. Recognisable or not, they are friends and equals; and although they do not unmask, they do return 'in their usuel apparell' after the mumming.\n\nAs with the disguising, this question of identity transforms the courtly mumming. The reporting of these games imply they are significant not in themselves, but because the king himself took part. Although the mummers, in the tradition, do not unmask, there is a strong sense that the identity of at least one of them is extremely important. Consequently the mumming game comes to invite a guessing element: who are these extravagantly disguised strangers, and which one is the king? Instead of the sense of otherness that the mummers traditionally invoke, that the Green Knight symbolises, these mummers imply exotic familiarity, so drawing the spectators' attention not to the masks, but to the faces behind them. A teasing relationship is established between mask and face.\n\nThat the participants were well aware of this and played upon it is apparent from an account of a rather more elaborate royal mumming. George Cavendish, Gentleman Usher of Cardinal Wolsey's household, describes a visit that follows precisely the traditional mumming form: a band of masked strangers unexpectedly visiting to offer a game of dice.70 (This, probably as adapted by Holinshed, is dramatised by Shakespeare as the setting for Henry's first meeting with Anne Boleyn, but though he keeps many of its features, there is no dicing, and he turns it into something much more like an amorous masking.) It demonstrates many of the innovations and the self-consciousness of the courtly context; it is plain from the account that everyone knows exactly what roles to play as they carefully enact the unpredictability of a mumming. The Cardinal is giving a banquet. The king arrives by water at York House with a party of mummers, dressed rather improbably as shepherds in crimson satin and cloth of gold 'wt visors of good proporcion of visonamy, ther heares & beardes other of fynne gold wyers or elles of sylver \/ And Some beyng of blake sylke'.71 They let off a peal of ordnance and:\n\nthe Cardynall desired the seyd lord Chamberleyn & Controller to loke what this soden shot shold mean (As thoughe he knewe no thyng of the matter) They thervppon lokyng owt of the wyndowe in to Temmes retorned agayn & shewed hyme that it Semed to them that there shold be some noble men & strayngers arryved at his brygge As Ambassitors frome some fforrayn prynce \/ Wt that qd the Cardynall \/ I shall desier you bycause ye can speke ffrenche to take the paynnes to goo down in to the hall to encounter and to receyve tham accordyng to ther estates And to conducte them in to thys Chamber \/ where they shall se vs and all thes noble personages syttyng merely [ _merrily_ ] at our Bankett desyryng them to sitt down wt vs and to take part of our fare & pastyme.72\n\nIt is plain that Wolsey knows exactly what is happening, yet plays his allotted role of ignorant surprise. The strangeness of the mummers is then naturalised by the traditional interpretation as 'foreign ambassadors', which also allows their silence to be rationalised as ignorance of the language, and instantly creates the role of 'Interpreter'.\n\nEscorted upstairs, the king's party saluted the Cardinal:\n\nto whome the lord Chamberlayn (for them) sayd \/Syr for as myche as they be strayngers And can speke no Englysshe thay haue desired me to declare vnto yor grace thus \/ They havyng vnderstandyng of thys yor tryhumphant bankett where was assembled suche nomber of excellent fayer dames \/ cowld do no lesse vnder the supportacion of yor grace but to repayer hether to vewe as well ther incomperable beawtie as for to accompany them at Mume chaunce And than After to daunce wt them...73\n\nThe entertainment is to follow the traditional pattern: a game of dice, followed by dancing. The dicing proceeds in a manner that highlights the tension and theatricality it could engender as the centrepiece of the game:\n\nAnd to some they lost And of some they won \/ And this don they retourned vnto the Cardynall wt great reuerence poryng down all the Crownes in the Cuppe wche was abought iic Crownes \/ at all qd the Cardynall and so cast the dyse And wane them all at a Cast \/ where at was great Ioy made.74\n\nWhat happens next is more enigmatic, and worth quoting in some detail as it reveals the participants' fascination with the new dynamic of the courtly mumming game. The Cardinal asked the Chamberlain:\n\nI pray you qd he shewe them that it semys me howe there shold be among theme some noble man \/ whome I suppose to be myche more worthy of honor to sitt and occupie this rome & place than I \/ to whome I wold most gladly (yf I knewe hyme) surrender my place accordyng to my dewtie \/ than spake my lord Chamberlayn vnto them in ffrenche declaryng my lorde cardynalles mynd And they Roundyng hyme agayn in the eare ['whispering to him'] \/ my lord Chamberlayn seyd to my lord Cardynall \/ Sir they confesse qd he that among them there is suche a noble personage \/ Among whome if yor grace can appoynt hyme frome the other he is contented to discloos hyme self And to accepte yor place most worthely \/ wt that the Cardynall takyng a good avysemet among them \/ at the last \/ qd he \/ me Semys the gentilman wt the blake beard shold be evyn he \/ And wt that he arrose owt of hys chayer and offered the same to the gentilman in the blake beard (wt his Cappe in his hand) The person to whome he offered than his Chayer \/ was Sir Edward Neveyll A comly knyght of a goodly personage that myche more resembled the kynges person in that Maske than any other \/ The kyng heryng & perceyvyng the Cardynall so disseyved in his estymacion and choys cowld not forbeare lawyng \/ but plukked down his visare & mr Neveylles & dasht owt wt suche a pleasaunt Countenaunce & cheare \/ that all noble estates there assembled seying the kyng to be there amoong them reioysed...75\n\nThe king's identity is known and not known; the spectators are explicitly invited to try to penetrate the mask which teasingly conceals the face beneath. Whether Wolsey's wrong guess is itself tactful stage-management, or whether it is real (and the concealing effect of mask-and-costume can be surprisingly complete), it is part of a deliberately playful game centring on the identity of the king. These courtly mumming masks neither obliterate the wearer, nor endow a new identity: they conceal, but in concealing they deliberately draw attention to what is hidden. Although in a sense no more than a party game, this mumming seems symptomatic of some of the shifts in sensibility that appear to accompany the Reformation. The mask-play demonstrates a self-conscious awareness of role-play and of masking, and their relationship to identity.76\n\nNotes\n\n1 Anglo 'Early Tudor Disguising' 11.\n\n2 _Statutes of the Realm_ 3: 30.\n\n3 _The Anonimalle Chronicle 1333 to 1381_ edited V.H. Galbraith (Manchester University Press, 1970) 102\u20133. The translation is from the late-sixteenth-century excerpt in British Library MS Harley 247 fol. 172v (once belonging to John Stow) quoted in Paul Reyher _Les Masques anglais_ (Paris: Hachette, 1909) 499. Another version of the account appears in John Stow A _Survey of London_ edited Charles Kingsford, 2 vols (Oxford: Clarendon Press, 1908 [reprinted 1971]) 1: 97.\n\n4 Stow misses the point of this in his version of this translation in the _Survey_ , saying 'as if they had beene Legates from some forrain Princes' (96). This reflects the way the mumming fantasy was interpreted by his day: see below.\n\n5 See J.A. Burrow A _Reading of 'Sir Gawain and the Green Knight'_ (London: Routledge and Kegan Paul, 1965) 17\u201321.\n\n6 _Sir Gawain and the Green Knight_ in _Poems of the Pearl Manuscript_ edited M. Andrew and R. Waldron (London: Edward Arnold, 1978) lines 60\u2013490. The date of the poem is unknown, though Gawain's armour closely resembles that of the effigy of the Black Prince (d. 1376) in Canterbury Cathedral.\n\n7 Hall _Union_ 517. For the wild men of the famous Bal des Ardents, and the _wodewoses_ of Edward III's earlier Christmasses, see 144\u20138.\n\n8 It could well have made use of a false head. The Green Knight is 'Herre [higher] then ani in the hous by the hede and more' (line 333), and the flowing beard and hair would conceal the junction. See the chapter on 'Tournaments' for the effect. A similar giant-beheading is called for in Redford's _Wit and Science (Tudor Interludes_ edited Happ\u00e9 181\u2013219) s.d. at line 963. We may perhaps underestimate the medieval theatrical engineer's ability to produce such _feints:_ see the mechanical golden angel at Richard's coronation procession which leaned down and offered him a crown: Walsingham _Historia anglicana_ 332.\n\n9 _Sir Gawain and the Green Knight_ lines 93, 283, and 288.\n\n10 Unlike the mummer, the Green Knight has to speak, since the plot depends on verbal pledges, and the repercussions of the game last longer than the space of the visit.\n\n11 Sir _Gawain and the Green Knight_ line 471.\n\n12 See Michael J. Bennett 'The Historical Background' in A _Companion to the_ ' _Gawain'-Poet_ edited Derek Brewer and Jonathan Gibson (Cambridge: Brewer, 1997) 71\u201390, for the theory that the _Gawain_ Poet was one of the Cheshire retainers attached to the court of Richard in the 1390s. See further Michael J. Bennett _Community, Class and Careerism: Cheshire and Lancashire Society in the Age of 'Sir Gawain and the Green Knight'_ (Cambridge University Press, 1983). The 1390s would be too late for personal experience of this particular mumming, but see below for later visits of the Londoners to Richard's court.\n\n13 _Sir Gawain and the Green Knight_ line 240. In Chaucer, stage illusion is sometimes explained as 'natural magic', the work of 'subtile tregetours', which further blurs the distinction: see the _Franklin's Tale (Canterbury Tales_ F 1139\u201351 and 1189\u20131204).\n\n14 For a more detailed discussion, see Meg Twycross 'The Londoners' Mumming of 1377' forthcoming.\n\n15 Richard was to marry his daughter Anne of Bohemia in January 1382.\n\n16 _Rotuli Parliamentorum_ edited J. Strachey, 6 vols (London, 1766\u201377) 2: 363, 367. See May McKisack _The Fourteenth Century_ (Oxford: Clarendon Press, 1959) 272\u201395 for a succinct account of the problems.\n\n17 28 April\u20136 July 1376.\n\n18 Ruth Bird _The Turbulent London of Richard II_ (London: Longmans, Green, 1949).\n\n19... _qui usque ad obitum Regis stetit regni gubernator et rector_ ('who remained the governor and ruler of the realm up to the death of the King'): Walsingham 322. The King seemed unwilling to proclaim Richard heir apparent on the death of his father and this only happened, probably at Gaunt's instigation, in November.\n\n20 _Chronicon Angliae 1328\u20131388_ edited E.M. Thompson _Rolls Series 64_ (1874) 92.\n\n21 _Rotuli Parliamentorum_ 2: 361.\n\n22 See, for example, Walsingham _Historia anglicana_ 331.\n\n23 The speech is reported in full in _Rotuli Parliamentorum_ 2: 361\u20132.\n\n24 For Richard's attachment to the Feast of the Epiphany, see Dillian Gordon _Making and Meaning of the Wilton Diptych_ (London: National Gallery Publications, 1993) 57.\n\n25 See Gordon Kipling _Enter the King: Theatre, Liturgy, and Ritual in the Medieval Civic Triumph_ (Oxford: Clarendon Press, 1998) 117\u201324.\n\n26 It would thus come under Pettitt's classification of an Encounter custom where the power lies with the initiator: see 'Charivary' 25.\n\n27 The 'hidden transcript': see J.C. Scott _Domination and the Arts of Resistance: Hidden Transcripts_ (New Haven and London: Yale University Press, 1990) for the concept. It has been applied to folk-drama by Max Harris _Festivals of Aztecs, Moors, and Christians: Dramatisations of Reconquest in Spain and Mexico_ (Austin: University of Texas Press, 2000).\n\n28 May McKisack 'London and the Succession to the Crown during the Middle Ages' in _Studies in Medieval History presented to F.M. Powicke_ edited R.W. Hunt (Oxford: Clarendon Press, 1948) 76\u201389.\n\n29 The _Chronicon Angliae_ reports that Gaunt's followers ironically said that Richard was not King of England, but 'King of the Londoners', because he had been chosen more by the common people and the citizens than by the nobles (199\u2013200).\n\n30 _The Westminster Chronicle 1381\u20131394_ edited and translated L.C. Hector and Barbara Harvey (Oxford: Clarendon Press, 1982) 510\u201311. The bird was presumably a pelican, but the chronicler does not seem to have recognised it as such, missing any symbolic significance it might have had. See Twycross 'The Londoners' Mumming', forthcoming.\n\n31 Caroline Barron 'The Quarrel of Richard II with London 1392\u20137' in _The Reign of Richard II_ edited F.R.H. Du Boulay and Caroline M. Barron (London: Athlone Press, 1971) 173\u2013201; references in note 91.\n\n32 _Westminster Chronicle_ 516 (our translation).\n\n33 Stow _Survey of London_ 97. The king must have had a strong nerve: it was only a year after the assassination attempt _sub simulatione ludorum natalitiorum_ ('under the guise of Christmas games') at Windsor: Walsingham _Historia anglicana_ 2: 243. See chapter 4 on 'Mumming' 99\u2013100.\n\n34 _Manuscript Trinity R.3.19: a Facsimile_ introduction by Bradford Y. Fletcher (Variorum Chaucer; Norman, Oklahoma: Pilgrim Books, 1987) fols 1r\u2013v. The poem is attributed to Lydgate in a later hand. Text in Rossell Hope Robbins _Secular Lyrics of the XIVth and XVth centuries_ (Oxford: Clarendon Press, 1952) 110\u201313.\n\n35 Derek Pearsall _John Lydgate_ (London: Routledge and Kegan Paul, 1970) 73\u20138 and 184.\n\n36 Meaning 'expensive'. We have run this word together, as it looks misleading in its manuscript form of _costele welych_.\n\n37 _The Minor Poems of John Lydgate: part 2_ edited Henry MacCracken _EETS OS 192_ (1934) 668\u2013701. For the 'Mumming at Hertford', see Derek Forbes _Lydgate's Disguising at Hertford Castle_ (Pulborough: Blot, 1998). Two of the poems are described in the rubrics not as 'mummings' but as 'disguisings'.\n\n38 The disguising at London takes place '\u00feis Cristmasse' (line 280). The Goldsmiths' is at Candlemas. Only Bishopwood is a spring holiday event.\n\n39 Glynne Wickham distinguishes those referred to as 'mummings', in which gifts are generally presented, from those designated 'disguisings' in which they are not: _Early English Stages_ 195. However the Virtues in the 'disguising' of Fortune and the Four Cardinal Virtues may have presented their attributes to the presiding dignitaries of the feast: see lines 315\u201327.\n\n40 For example, Lydgate _Minor Poems_ 433\u20138, 623\u20134, and 649\u201351.\n\n41 Like Lydgate's accounts of the Royal Entries of Henry VI and Margaret of Anjou: see Gordon Kipling 'The London Pageants for Margaret of Anjou' _Medieval English Theatre 4:1_ (1982) 5\u201327.\n\n42 Wickham _Early English Stages 200\u2013202;_ Westfall _Patrons and Performance_ 35\u20137.\n\n43 It is not clear, for example, whether Juno, Ceres, and Bacchus in the 'Mumming at Eltham' are actually present, or are supposed to be potentates in a far-off land who have sent the merchants with their embassy \u2013 a more likely scenario.\n\n44 Although one of the poems contains what looks like a direct speech from a performer, the 'aunswer of the wyves' in the Hertford entertainment, this is also a 'bill' by way of _replication_ which could be delivered by a representative.\n\n45 Fortune is banished for the more dependable virtues in the 'Mumming at London'. The herald who presents the Goldsmiths' mumming is called Fortune, but he seems to bring only good fortune.\n\n46 Lines 19\u201320. It was also a fitting present to mark 2 February, the Feast of the Purification, since the Ark was one of the types of the Blessed Virgin Mary. The parallels are elucidated at length by the _Speculum humanae salvationis_ in the context of the Purification: edited J. Lutz and P. Perdrizet (Leipzig, Hiersemann, 1907) 22. The 'three thinges which _\u00feer_ inne beo cloos' are the Tables of the Law (hence the connection with good governance), the gold cup with manna, and Aaron's rod.\n\n47 Kipling suggests that figures in the Royal Entry pageants did not begin to speak themselves until after the 1445 entry: 'Margaret of Anjou' 25 note 8.\n\n48 The word comes from the Arabic _turjaman_ , 'translator', which also gives us the word _dragoman_. Feuillerat _Edward VI and Queen Mary_ 89: 'an orator speaking in a straunge language an Interpreters or a truchman with hym'; Feuillerat _Elizabeth_ 287.\n\n49 Love's _Labour's Lost_ Act 5 Scene 2 lines 175\u20138.\n\n50 This scene is discussed at more length in chapter 8 on 'Amorous Masking'.\n\n51 See note 34 above, and Horner 'Christmas at the Inns of Court' 46\u20137.\n\n52 In Cambridge it enabled courtesies between Town and Gown, as the parish Lords visited the colleges: _Records of Early English Drama: Cambridge_ edited Alan H. Nelson, 2 vols (Toronto University Press, 1989) 2: 736. Recorded dates range from 1508\/9 to 1552\/3.\n\n53 _Diary of Henry Machyn_ 33, 157, 273\u20134.\n\n54 Sydney Anglo 'The Court Festivals of Henry VII' _Bulletin of the John Rylands Library 43_ (1960\u201361) 12\u201345, especially 21\u20132. For a survey, see Hutton _Stations of the Sun_ 105\u201311.\n\n55 Feuillerat _Edward VI and Queen Mary_ 56. For Ferrers' career, see the _Dictionary of National Biography_ and William Baldwin and others _The Mirror for Magistrates_ edited Lily B. Campbell (New York: Barnes and Noble, 1960; reprint of Cambridge University Press, 1938 edition) 25\u201331.\n\n56 Feuillerat _Edward VI and Queen Mary_ 89.\n\n57 Feuillerat _Edward VI and Queen Mary_ 89.\n\n58 Erasmus published a Latin translation of Lucian's _Icaromenippus_ in 1514; the _True History_ (of a fantastic voyage to the Moon) had been available in Latin since 1475, and was in the 1538 translation of Lucian's _Complete Works_ into Latin. See Christopher Robinson _Lucian and his Influence in Europe_ (London: Duckworth, 1979) 81\u20132, 95\u20139, 129\u201333, 190\u20137. Sir Thomas Chaloner, who helped with the 1552 revels and was a long-time friend and colleague of Ferrers, had published a translation of Erasmus' _Encomium Moriae_ in 1549: see Chaloner _The Praise of Folie_ edited Clarence H. Miller _EETS 257_ (1965) xxv.\n\n59 Marjorie Hope Nicolson _Voyages to the Moon_ (New York: Macmillan, 1960: reissue of 1948 edition). Ariosto's _Orlando furioso_ , published 1532, also popularised the satirical Moon-voyage: see edition by S. Debenedetti and C. Segre (Bologna: Carducci, 1960) Canto 34.\n\n60 See e.g. Billington Mock _Kings_ 37\u201346. But the scientific authorities she quotes are all from the end of the century. _Vacuum_ is not cited in our sense in the _OED_ until 1652; _vast_ meaning 'huge' is not recorded before 1575. See Edward Grant _Much Ado about Nothing: theories of space and vacuum from the Middle Ages to the Scientific Revolution_ (Cambridge University Press, 1981) especially 192\u2013228, for a detailed account.\n\n61 Thomas More _Utopia_ in _The Complete Works of St Thomas More Volume 4_ edited Edward J. Surtz SJ and J.H. Hexter (New Haven and London: Yale University Press, 1965) 250\u201351, where More explains the meaning of Utopia's negative placenames.\n\n62 _Mankind_ line 694.\n\n63 Feuillerat _Elizabeth_ 39. In his letters to Erasmus, More called his _Utopia_ -in-writing ' _Nusquama_ ': _Opera epistolarum Desiderii Erasmi Roterodami_ edited P.S. Allen and others, 12 vols (Oxford University Press, 1906\u201358) 2: 339. In 1516, waiting for its publication, More writes to Erasmus of a daydream in which he became King of Utopia: a short-lived, world-upside-down reign, very much like that of a Christmas King: _Opera epistolarum_ 2: 414.\n\n64 For the long-standing joke on St Nemo ('Nobody'), see Martha Bayless _Parody in the Middle Ages: the Latin Tradition_ (Ann Arbor: University of Michigan Press, 1996) 57\u201386. Later in English the 'picture of Nobody' shows a figure with his breeches up to his neck, 'a pun', as Malcolm Jones remarks, 'not available to other vernaculars': 'Illustrated Broadsides recorded in the Stationers' Registers 1562\u20131656' _Journal of the Walpole Society_ (forthcoming). Similar _trompe l'oeil_ effects can be seen in mask designs: see McGowan _Court Ballet of Louis XIII_ nos. 73 (all legs) and 182 (all head).\n\n65 Ferrers made the connection of his royal person with folly obvious by dressing his 'ayer apparaunt' John Smith as a disard ('jester, _sage fol'_ ), and including other fool 'sons' in his entourage: Feuillerat _Edward VI and Queen Mary_ 119\u201320.\n\n66 Feuillerat _Edward VI and Queen Mary_ 66.\n\n67 _The Chronicle and Political Papers of Edward VI_ edited W.K. Jordan (London: George Allen and Unwin, 1966) 102\u20137.\n\n68 Hall _Union_ 513. This was a Christmas visit, despite the Maytime connotations of Robin Hood.\n\n69 Hall _Union_ 513; for accounts of similar 'mummeries' see 516, 595.\n\n70 Cavendish _Wolsey_ 25\u20138; see Twycross 'Philemon's Roof.\n\n71 Cavendish _Wolsey_ 25.\n\n72 Cavendish _Wolsey_ 26.\n\n73 Cavendish _Wolsey_ 26\u20137. Shakespeare virtually paraphrases this.\n\n74 Cavendish _Wolsey_ 27.\n\n75 Cavendish _Wolsey_ 27\u20138. Shakespeare omits this mistake in his version of the scene, presumably because it would be an unnecessary distraction.\n\n76 See e.g. Jonathan Dollimore _Radical Tragedy: Religion, Ideology and Power in the Drama of Shakespeare and his Contemporaries_ (Brighton: Harvester Press, 1984) especially 153\u201381, 249\u201371; Catherine Belsey _The Subject of Tragedy: Identity and Difference in Renaissance Drama_ (London and New York: Methuen, 1985) 13\u201354.\nChapter 8\n\nAmorous Masking\n\nAround the beginning of the sixteenth century we find another variation in the courtly disguising game. Hall credits Henry VIII with importing it from Italy. In January 1512:\n\nOn the daie of the Epiphanie at night, the kyng with a. xi. other were disguised, after the maner of Italie, called a maske, a thyng not seen afore in Englande, thei were appareled in garmentes long and brode, wrought all with gold, with visers and cappes of gold & after the banket doen, these Maskers came in, with sixe gentlemen disguised in silke bearyng staffe torches, and desired the ladies to daunce, some were content, and some that knewe the fashion of it refused, because it was not a thyng commonly seen. And after thei daunced and commoned together, as the fashion of the Maske is, thei tooke their leave and departed, and so did the Quene, and all the ladies.1\n\nThis brief paragraph initially caused some stir among theatre historians, since Hall's use of the word _maske_ suggested that this innovation was the point of origin of the later Stuart court masque which also culminates in dancing with the audience.2 More recent commentators have pointed out that the spectacular element of the masque was simply a continuation of the long established disguising, and the apparent novelty Hall notes seems to be restricted to a particular costume, 'garmentes long and brode', and the maskers not dancing just among themselves but taking partners from the audience.3 Hall identifies this as Italian, new, and slightly risqu\u00e9. Richard Gibson's Revels' accounts tell us a little more about the costumes, recording 'xij nobyll personages, imparylled with blew damaske and yelow damaske long gowns and hoods with hats after the maner of meskelyng in Etaly'.4 This entry confirms that something about the costumes was felt to be new and distinctively Italian. It may have been the shape: the gowns are 'long and brode' and also have hoods as well as caps, as specified in the Lisles' 'maskyn gownes with hoodes & capps of bokeram'.5 They may have been a version of the typical Venetian carnival domino, the long cloak and wide hood topped by a hat, which effectively disguises the wearer's silhouette. Both Hall and later commentators assume, however, that the most striking innovation is the involvement of the audience, most often, as here, masked men dancing and 'commoning' with unmasked women. Socially this seems to involve a certain element of risk, and in terms of performance it certainly opens a fascinating dimension of interaction between performer and spectator, masked and unmasked.\n\nFor want of an exclusive contemporary term for this game, we may call it 'amorous masking'. Already many kinds of masking carried a certain erotic charge: from the warnings against carnival maskers seducing one's womenfolk, to Henry VIII's elaborate courtship disguisings for the young Katherine of Aragon, the excitement and strangeness of the disguised visitation was clearly linked to erotic arousal.6 What we find in the amorous masking is a codifying of this impulse: the erotic encounter is built into the structure of the masking activity rather than being a delightful adjunct.\n\nHenry's innovation seems to have been a European fashion of the early sixteenth century which both the English and the French claim came from Italy. Word and custom appear at roughly the same time in both countries, though it would appear that the English borrowed the term _mask_ (and probably therefore also the custom itself) from the French _masque_.7 The fluid and inventive pattern of such entertainments makes it hard to determine any originating moment in Italy. By the fifteenth century Italian carnival masking had taken on such a variety of forms, communal and individual, public and domestic, that variation was more the norm than the exception. At some point, however, in the fifteenth century it apparently became the vogue for groups of well-born young men in masked carnival costume to gate-crash houses where they knew there was feasting and dancing, and invite the ladies of the company to dance with them. Since carnival maskers seem not to have carried the same obligation to silence as mummers, dancing led naturally to flirtation.\n\nThis kind of amorous masquerade appears to have been a speciality of Ferrara, perhaps because of the personality and interests of Duke Ercole d'Este (died 1505).8 What may be the earliest reference comes from a Ferrarese chronicle which reports how in 1473:\n\nSe ando in mascara per la citade de Ferara et burgi cum grande triumpho et feste. Et ge andate il prefato duca con tuta la casa de Este; dove par li citadini fu facto festa en le loro case cum damiselli et balli.9\n\nPeople went in masks through the city of Ferrara and its environs with great pomp and celebration. And the aforesaid Duke also went with all the house of Este, wherever a feast was held by the citizens in their houses with young gentlefolk and dances.\n\nWhile not precisely specifying that the Duke's company were either masked or dancing, the conjunction of activities suggests it. If Ferrara was the origin, however, the custom soon spread: Sir Thomas Hoby reports amorous masking in Venice, Marguerite of Navarre sets one in Milan, and the masking in the Romeo and Juliet story is set in Verona where Romeo 'in maske with hidden face, The supper done, with other five dyd prease into the place'.10\n\nThe Italian examples often emphasise the wonderful opportunity this masking gave the young men of eyeing-up and engaging with the young women without either revealing or committing themselves. As Henry VIII himself pointed out, the acknowledged and apparently acceptable aim of such a masking was that 'havyng vnderstandyng of thys yor tryhumphant bankett where was assembled suche nomber of excellent fayer dames' the maskers would 'repayer hether to vewe'.11 Bandello's 1554 novella as translated by Arthur Broke in 1562 sets the context for Romeo's first encounter with Juliet:\n\nThe wery winter nightes\n\nrestore the Christmas games;\n\nAnd now the season doth invite\n\nto banquet townish dames...\n\nYoung damsels thether flocke,\n\nof bachelers a rowte;\n\nNot so much for the banquets sake\n\nas bewties to searche out...12\n\nAlthough not invariable, this remains a key feature of most amorous masking. A masker encounters an unmasked partner: the flirtation they engage in is shaped partly by the power held by the masker, who can see the other while withholding his (or occasionally her) own identity, and partly by the excitement of the unmasked partner at engaging in amorous exploration with the literally, or supposedly, unknown.\n\nAn etiquette apparently developed in Italian amorous masking which implied that after a certain time the maskers should either leave or unmask. Bandello's (and Broke's) maskers 'When they had masked a whyle, with dames in courtly wise, All dyd unmaske... dyd shew them to theyr ladies eyes'.13 There seems to have been a general acceptance of the playful nature of amorous masking, and some respect on both sides for the limits of its licence. But masking etiquette could clearly be fragile: the situation was inevitably fraught, playing openly with all kinds of delicate boundaries of territory and of sexual property. The sensational masking incident recorded by Thomas Hoby in Venice in 1549 reveals how easily this could break down. The 'lustie yong Duke of Ferrandin',\n\n... cuming in a brave maskerye with his companions went (as the maner is) to a gentlewoman whom he most fansied emong all the rest (being assembled there a l or lx)... There cam in another companye of gentlmen Venetiens in an other maskerye: and on of them went in like maner to the same gentlwoman that the Duke was entreating to daunse with him, and somwhat shuldredd the Duke, which was a great injurie. Upon that the Duke thrust him from him. The gentlman owt with his dagger and gave him a strooke abowt the short ribbes with the point, but it did him no hurt, bicause he had on a iacke of maile. The Duke ymmediatlie feeling the point of his dagger, drue his rapier, whereupon the gentlman fledd into a chambre there at hand and shutt the door to him. And as the Duke was shovinge to gete the dore open, a varlett of the gentlmanne's cam behinde him and with a pistolese [short broadsword] gave him his deathe's wounde.14\n\nThe fact that the masking Duke was prepared with a shirt of mail might indicate that the potential dangers of the situation were acknowledged, although such security might belong to his role as Duke rather than that of masker. But the abrogation of rank for the pleasures of anonymity clearly had its dangers: concealment of identity was a crucial factor in the battle for male status and female attention that engendered this violence.\n\nThe Italian practice appears to have been a courtly one, involving wealthy households and the youth of the nobility. It was taken up enthusiastically elsewhere, certainly in France where it became so established that by 1528 Gilles d'Aurigny added a sizeable section on it to Martial d'Auvergne's popular exploration of amorous etiquette, the _Arrets d'amours_.15 The _Arrets_ present a series of judgements in a mock 'court of love' on difficult cases: complaints against the lover who kissed so hard he split his lady's lip, against the lady who threw a bucket of water over her lover, against bakery shops set up near churches whose smoke impedes lovers trying to watch their ladies going to worship. Gilles d'Aurigny added a fifty second _Arret:_\n\nDes maris vmbrageux qui pretendent la reformation sur les priuileges des masques tendant \u00e0 fin de faire corriger les abus, qui s'y commettent, & limiter le temps quilz doibuent demourer, ou assister en chascune maison, ou ilz iront masqu\u00e9s.16\n\nOf the suspicious husbands who claim the reformation of the privileges accorded to maskers, seeking finally to correct the abuses committed by them, and to limit the time that they may stay in each house to which they come in masks.\n\nThe _Arret_ reports the husbands' complaints, the lovers' defence, and finally twenty-seven court judgements on the management of masking behaviour. Although obviously light-heartedly ironic and therefore to be interpreted with care, this document offers a delightfully detailed account of what might actually happen at an amorous masking, and a playfully revealing view of the expectations and feelings of the various parties involved: husbands\/fathers, maskers, and wives\/daughters.\n\nThe husbands present themselves as due guardians and possessors of their womenfolk who have the right to _faire & disposer de leurs dictes femmes, comme vn chascun est vray arbitre & moderateur de sa propre chose_ ('do with and dispose of their said wives as each one is a true judge and arbiter of his own property').17 This proprietorial right is expressed in faintly ridiculous domestic detail hinging more upon the comfort of the middle-aged men than specific control of the women: the husbands claim a right to talk to their wives after supper; to leave a party and go to bed when they feel like it; to lock up their front doors when they please. The amorous maskers, they complain, infringe these rights _soubz vmbre & couleur de certains telz quelz priuileges par eulx pretenduz_ ('under the colour of some privileges or other laid claim to by them').18 While the mock legality of the language is part of the joke, it is clear that masking is still associated with 'privilege', with licence and liberty not permitted to the unmasked.\n\nThe husbands offer a usefully detailed description of the maskers' behaviour:\n\n... si lesdictz maris sont assembl\u00e9s en quelque bonne compaignie auecques leurs femmes, & damoyselles, lesdictz deffendeurs viennent & arriuent emmasqu\u00e9s, se saissisent, & emparent desdictes damoyselles, les reculent de la trouppe, les separent & meinent chascun la sienne en vn coing, les confessent \u00e0 loreille, dancent lun apres lautre la sienne, puis la rameinent. Et des lheure quilz ont charg\u00e9 vne damoyselle, ilz ne la laissent iamais. Et qui pis est, sont ordinairement depuis huict, ou neuf heures iusques \u00e0 minuict, ou plus tard, sans partir de l\u00e0 & sans ce quil soit possible leur faire guerpir la place, & sans receuoir lesdictz maris, ou autres non masqu\u00e9s \u00e0 dancer, ou gaudir auecques eulx ny leur donner leur part du passetemps.19\n\n... if the said husbands are gathered together in some congenial party with their wives and young womenfolk, the said defendants will come and arrive in masks, seize and monopolise the said young women, withdraw them from the flock, separate and lead them, each one his own, into a corner, whisper in their ears, dance one dance after another, each one with his chosen partner, then bring her back [to sit down] again. And from the time when they have laid claim to a young lady they never leave her. And what is worse, they are often there from eight or nine in the evening until midnight or later, without leaving, and without permitting the said husbands or anyone else who isn't masked to dance or have fun with them.\n\nHusbands meanwhile sit humiliated, unable to go to bed or to recall their wives without being labelled 'jealous'. The anonymity of the masks may be reinforced by wearers who _supposent souuent le nom dautruy, se disent princes, & contrefont la court_ ('often adopt others' names, call themselves princes and pretend to be courtiers').20 According to the husbands this seduces the young women _lesquelles souuent se decellent, & descouurent leur courage ausdictz masqu\u00e9s, pensans quilz soyent ceulx quelles supposent_ ('who often betray themselves and reveal their feelings to the said maskers, thinking that they are the people they pretend to be').21 Masks are presented as interfering with proper social, personal, and class relations: they can be used to assume, as well as to put off the powers of high rank, and to invite inappropriate self-revelation from the unmasked, who remain the vulnerable partners in the relationship. Amorous masking is also accused of causing more obvious social upset: the maskers bring unruly servants who cause chaos in the kitchen; and they carry many open and concealed weapons which threaten the proper territorial power of the householders:\n\n... en maniere que la force est deuers eulx, & leur demeure, & que lesdictz marys en leurs maisons ne seroyent les plus fors.22\n\n... in such a way that power lies with them and their visitation, and that the said husbands in their houses are no longer the more powerful.\n\nThe maskers offer a defence formally couched in terms of the pleasurable and proper licence permitted to masking. Love allows the maskers _grandz priuileges, franchises, libert\u00e9s, & immunit\u00e9s_ ('great privileges, freedoms, liberties, and immunities')23 which permit them to _faire Lamour, destre braues, emplum\u00e9s, desguys\u00e9s, descoupp\u00e9s, masqu\u00e9s, musqu\u00e9s, parfum\u00e9s, & en bon ordre_ ('flirt, be handsomely dressed, befeathered, ultrafashionable, slashed and jagged, masked, musked, perfumed, and dressed to kill').24 They are free to attend all parties where there are young women present, bring music, and choose flirting partners. The husbands have no right to resist and the masker may continue either until the lady responds favourably, or _iusques \u00e0 ce... que ledict masqu\u00e9 congnoisse quil luy soit fascheux, & importun_ ('until the said masker realises that he is annoying or pestering her').25 The maskers define the power-structure of amorous masking as excluding the husbands altogether; between the masked man and the unmasked woman the licence is mostly on the side of the anonymous masker, but the final power is throughout defined as resting with the woman. Amorous masking is said to offer a positive benefit to the young women as well as the young men since both can develop their social skills and learn the civilised manners appropriate to lovers. Arguing for more time, rather than less, the maskers turn the husbands' fear of anonymity and assumed identities back against them, pointing out that:\n\n... le masqu\u00e9 de sa nature est subiect \u00e0 desguisement, ou supposition, & est inuentee \u00e0 ceste fin, & deuroyent lesdictz marys plus craindre la supposition de leurs femmes que du nom dautruy.26\n\n... masking by its nature is subject to disguise and guesswork, that's what it was invented for, and the said husbands should be more afraid of the suggestibility of their wives than of some false name.\n\nAs elsewhere, the mask clearly carries opposing significations: its concealment of identity, the licence it offers to both masker and unmasked, the imaginative power to assume a new persona, are dangerously disruptive to one group, delightfully liberating and extending to the other.27\n\nA series of judgements are made by the court which, although certainly favouring the maskers, establish certain curbs and appropriate boundaries for the game. The first judgements set ground rules. We find a class restriction for amorous masking: everyone may mask at the appropriate time except _marchans, & gens de basse condition_ ('merchants and lower-class people')28 who must restrict themselves to mumming.29 New maskers must accompany those more experienced and must initially practice only on the ladies' maids. Maskers must be welcomed, taking priority over _tous les assistans non masqu\u00e9s_ ('all those present who are not masked')30 who must leave the ladies when maskers approach. The ladies are obliged to co-operate, and husbands must keep their distance on pain of being declared _ialoux, plein de mauuaise grace, & apte \u00e0 estre coqu_ ('jealous, ungracious, and ripe to be cuckolded').31\n\nPLATE 20: Disguisers gatecrash a mixed party. _Album amicorum_ of Moyses Walens of Cologne, entry by Edouard Bocher (1610). British Library, Additional MS 18991 fol. 11r.\n\n\u00a9 Reproduced by permission of the British Library.\n\nFurther judgements then regulate the maskers: they may not wear last year's costumes, they may mask only in the season (from Martinmas to Holy Week), and only after dark. They are free to enter houses, but may mask there for only one hour after which they must either leave or _se demasquer, lesquelz demasqu\u00e9s seront tenus & reput\u00e9s compaignons de lassemblee_ ('unmask themselves, when they will be held and judged to be simply members of the party').32 They must also be thanked for their visit by the householder. These judgements clearly concern the proper territorial rights and balance of power between masked visitors and unmasked householders. While the liberties of masking are confirmed there is also a recognition of the limits of licence: it is of fixed duration, its freedoms defined by mask-wearing. In spite of their pleasurable otherness, it is also assumed that the maskers beneath their disguises should be the equals of those they visit: the same class, with the same expectations, who can be treated as _compaignons de l'assemblee_.\n\nMaskers were clearly not just gatecrashers, but were assumed to be providing the party with a certain entertainment and are obliged to bring music if need be. But a series of judgements are also concerned with the delicate amorous interaction between maskers and unmasked. The maskers are forbidden to assume false names, although they may _contrefaire le langaige, & mentir tant que bon leur semblera_ ('disguise what they say and lie as much as they think fit').33 So they may not assert false identities that might lead to complications outside the confines of the game, but are free to play with concealment and fictitious roles in order to establish an imaginary space for love encounters. The same concern to keep masking encounters separate from existing relationships seems to prompt the rule that husbands must not go masking in order to test their wives.34 Within the charmed circle of the masking encounter maskers are free to _taster, baiser, accoler, & passer oultre silz ont laisement, sauf aux damoyselles leur deffenses au contraire_ ('touch, kiss, embrace, and go further if they want, provided the young women do not forbid them'). Everyday reality is also kept at bay by the injunction that neither party is to use _de parolles rigoureuses, & touchans aucunement lhonneur_ ('harsh words in any way touching matters of honour').35 All is to be taken lightly and in good part. This extends beyond the amorous encounter itself, since maskers are forbidden to set out with intent to pick a fight, and should gloss over any ill will or quarrel they encounter. The masking space must be both privileged and protected.\n\nThe final group of judgements concerns the relationship of amorous masking to wider society outside the courtly or noble circle. Silk and wool merchants, hatmakers, plumers, embroiderers, valentine-, mask-, and perfume-sellers are all enjoined to lend or let out their wares on credit during the masking season, after which the maskers must settle up. If such generous terms testify to wishful thinking on the part of the maskers, they nonetheless indicate the lavish display and expenditure associated with amorous masking. The role of bystanders is also considered, as the musicians who often come to recognise the maskers _par leurs accoustremens, march\u00e9, contenance, maniere de dancer & autres signes & indices_ ('by their costumes, gait, appearance, manner of dancing, and other signs and tokens')36 are forbidden to spoil the game by disclosing their identity. Attendants are not to intervene in the closed circle of the game.\n\nThe whole of this document is, of course, deliberately ironic. It belongs to the mingled worlds of the _cause grasse_ , the mock lawsuit debated before the Abbot of Unreason or Prince des Enfants-sans-souci during Shrovetide, and of the _demande d'amour_ which debates problems of love and love-etiquette in a mock-serious manner. Neither is concerned with accurate realism: the _causes grasses_ are as outrageous as the upside-down, libertarian world of Carnival demands, and the _demandes d'amour_ , like these _Arrets_ , are presented to the jurisdiction of _la chose publique d'amours_ ('the republic of love'). The authority of both Carnival and love naturally biases the _Arrets_ towards the masked lovers; but it may well also be that many of the original readers were maskers themselves. The playful but technical legal terminology might suggest an audience of law students, and students were certainly associated with such masking games.37 Although it is pointed out that these encounters can lead to advantageous marriages,38 in general the maskers are associated with _messieurs les mignons_ ,39 the _jeunesse dor\u00e9e_ of the court and city, delightful, irresponsible, and disingenuous, who are out to cocufy the husbands. The husbands are dismal, stuffy, bourgeois, bored and boring, who by midnight would rather be home in bed.\n\nThe generic background this masking scenario draws on is the fabliau triangle of jealous husband, beautiful wife, and young lover. The maskers play the lover; the husbands are attacked with the stock epithets for the cuckold: _jaloux, umbrageux_ , accused of _cecit\u00e9_ ('blindness'), avarice, and _chichet\u00e9_ ('niggardliness'). Not only unmarried daughters but wives too are most often described as _damoyselles_ and edged into the role of the _mal mari\u00e9e_ : marital sex is presented as a duty rather than a pleasure, the wives reluctant or unsatisfied and only too willing to be courted by a mysterious stranger. Another part of the fabliau ethic informs the parody of the lawsuit. The husbands' relationship with the wives is clearly expressed in terms of property, the husband is _vray arbitre & moderateur de sa propre chose_ ('true judge and disposer of his own property'); the rights of marriage, _droict commun damour maritale_ , are set against the privileges and freedoms of the mask.40\n\nAs in Carnival, the maskers' alternative world sets irresponsibility against responsibility, the playful against the earnest. Like mumming it creates a game-world with its own rules which exists only in the present: part of the mask's power is to negate consequence. The _Arrets_ even suggest that it is safer for a wife to be seduced by a masker than by a neighbour's husband, which would keep the affair in the community, becoming _tous vulgaires, & sen rapportoyent \u00e0 la commune renommee desdictes femmes_ ('common property, and appertaining to the public good name of the said women').41 A masker, on the other hand, comes and goes without past or future. Juliet's urgent need to discover Romeo's identity from her nurse in Bandello, Broke, and Shakespeare emphasises the dazzling briefness of the ideal masking encounter. This fantasy of the unknown, exotic stranger (possibly a prince), who will override the conventions and rights of husband's or father's authority, inviting the woman into an intense intimacy without consequence or responsibility is, even more than the public encounter of Carnival, potently erotic.\n\nLike the more traditional popular game of mumming, amorous masking was soon, as we have seen, adopted and transformed by the English court. The exuberant accounts of Hall suggest that Henry VIII in his early years as king was already making amorous use of the courtly disguising. The delighted glamour with which he devised and took part in masking encounters for his young bride, Katherine of Aragon, concealing but displaying himself, surprising and engaging his wife, suggest that the amorous masking was a perfect form for him. Contemporaries registered the amorous charge Henry found in the mask: in 1537\u20138 Eustace Chapuys, the Emperor's ambassador, wrote to Mary of Hungary, 'He cannot be one single moment without masks, which is a sign that he purposes to marry again'.42 It seems natural that Shakespeare should show Henry falling in love with Anne Boleyn at such an amorous mask, transforming the courtly mumming at Wolsey's palace described in the previous section to this appropriately erotic form.\n\nThe 'maske' of 1512 described by Hall, while retaining the formal qualities of the courtly disguising, nonetheless clearly includes almost all the elements of amorous masking. A company of young men, spectacularly dressed, masked, and accompanied by torchbearers, enter a party after supper and invite the ladies of the company to dance. After the dance they 'commoned together, as the fashion of the Maske is' before, in this case, leaving still masked. What presumably rather alters the dynamic of the occasion is that the maskers, even if temporarily unrecognised, were most certainly known; and there is no clash of authority with a jealous husband or father: masker, husband, and monarch are one.\n\nHall implies that this new custom was received with some caution by the ladies. They appear to recognise and initially resist the risky public intimacy the amorous mask involves: 'some that knewe the fashion of it refused, because it was not a thyng commonly seen'.43 But any such scruples must soon have dissolved since this pattern of masking very soon appears entirely ordinary. It became almost customary for disguisings to conclude with the maskers dancing with guests at the assembly rather than with each other, 'these revelers toke ladies & daunced'; 'then the Maskers toke Ladies, & daunsed a greate season'; 'these Maskers tooke Ladies and daunsed lustely about the place'.44 The singular intimacy and amorous intensity of the private-public encounter of the amorous mask no longer seems central. This may be just another example of the fluid interweaving of different forms of courtly masking \u2013 the disguising simply borrows formal elements from the amorous mask, as from the popular mumming, and adapts them for its own purposes. Alternatively Henry's increasing age may have reduced the focus on his role as central, and by implication youthful, amorous masker. But what remains is nonetheless significant for the model of courtly entertainment: a show which is put on for the members of the court by the members of the court first intensifies the separation between performer and audience but then dissolves it. The exotic strangeness of the maskers remains important, but it is now brought into direct engagement with the unmasked members of the court.\n\nIf such modified amorous masking became almost routine at court, it could also break new ground. The potential intimacies of the amorous masking form were sometimes drawn directly into the political activity of the court. One example arises in 1519 over the affair known as the 'expulsion of the minions'.45 A group of young men of the Privy Chamber 'whiche were called the kynges minions' had recently returned from protracted negotiations in France; according to Hall they had enthusiastically joined in the carnival masquerading of Francis I and when they returned 'nothing by them was praised, but it were after the Frenche turne'.46 The King's Council, anxious about the over-familiarity and 'light touches' of the young minions, requested their banishment from the court, replacing them with 'foure sad and auncient knightes, put into the kynges privie chamber'. Some six months later at a 'sumpteous banket' at Beaulieu:\n\n... entered into the chamber eight Maskers with white berdes, and long and large garmentes of Blewe satten pauned with Sipres, poudered with spangles of Bullion Golde, and they daunsed with Ladies sadly, and communed not with the ladies after the fassion of Maskers, but behaved theimselfes sadly. Wherefore the quene plucked of their visours... [revealing the four 'sad and auncient knightes' of the privy chamber]... all these wer somwhat aged, the youngest man was fiftie at the least. The Ladies had good sporte to se these auncient persones Maskers.47\n\nThe political upheaval of the inner court is being playfully enacted in this mock-amorous mask. The age and venerability of the new inner circle is jokingly played off against the young, flirtatious implications of the amorous mask, and indeed the banished masking minions themselves The 'auncient persones' participate in and condone the King's youthful pleasures, but in a manner 'not after the fassion of Maskers' which humorously emphasises their distance from the game, its glamorous display, and its public-private intimacy. These elderly maskers were then succeeded by an amorous mask of the King with 'other young gentlemen' who 'daunsed & commoned a great while' in expected manner, thus replacing the parodic 'antimask' with the real thing. Although clearly a light-hearted joke, the episode shows a lively awareness of the forms and implications of amorous masking as well as a sophisticated sense of how such entertainment might partake in and comment on topical politics in the enclosed but semi-public arena of the court.\n\nAnother moment where we find amorous masking participating in political events falls in 1532, in the final stages of Henry's long fight for the annulment of his marriage with Katherine of Aragon. Having already effectively separated from Katherine and on the brink of marriage with Anne Boleyn, he engaged in a ceremonial visit to Francis I, overtly to confer about the Turkish threat to Christendom but apparently more immediately to invite Francis' support for his second marriage.48 Anne, by now Marchioness of Pembroke, was with the party when Francis was entertained at a costly supper in Calais:\n\nAfter supper came in the Marchiones of Penbroke, with. vii. ladies in Maskyng apparel... the lady Marques tooke the Frenche Kyng... and euery Lady toke a lorde, and in daunsyng the kyng of Englande, toke awaie the ladies visers, so that there the ladies beauties were shewed, and after they had daunsed a while they ceased, and the French Kyng talked with the Marchiones of Penbroke a space.49\n\nHere we have a manipulated version of an amorous masking with the usual gender roles reversed. Henry has plainly designed the occasion to set up a public-private encounter between Anne and Francis: the demands of the game require the French king to co-operate in a public intimacy initiated by the masked Anne. He is cast (presumably willingly) in a performance of quasi-amorous approval of the prospective bride. Henry himself, however, has appropriated the moment of unmasking: Anne's identity is revealed by him rather than by her, before rather than after the flirtatious conversation. She becomes the token of exchange between the two men, rather than the initiating masker. Henry had made similarly political interventions in masking play before. At an entertainment celebrating a contract of marriage for the young Princess Mary in 1527, he drew his daughter from among the disguisers and dramatically plucked off her elaborate masking head-dress 'and the net being displaced, a profusion of silver tresses as beautiful as ever seen on human head fell over her shoulders, forming a most agreeable sight'.50 Henry uses the playful unmasking to assert his own authority over the women's identities, generously revealed by him as a gift to the spectators. In both cases the disguising, and the unmasking, feed into the political situation.\n\nIf Henry VIII enthusiastically adopted amorous masking, it is worth considering how far the practice became popular outside of the court. There are many English references to wealthy citizens arranging for 'masks' at their children's weddings and other celebrations, although these sound more like versions of the disguising, perhaps with modifications, than the kind of informal amorous masking from which we began. One account of a domestic wedding, for example, describes disguisers who enter in masks, dance with the women, but also bring out money for mumchance.51 The term _mask_ so quickly gained such wide currency that it is not itself a reliable indication of the nature of the disguising involved. A story, from the reign of Mary I, however, in which an old enemy of a Devonshire noble employed a version of an amorous mask to make a public and humorous reconciliation, seems to imply that such masking was not considered wholly unusual. A band of maskers disguised as armed men approached the house of Sir Richard Edgecombe, causing anxious defensive preparation; but 'their Armor and weapons were only painted Paper, as by nearer approaching was perceived; and instead of trying their force with Blows, in fighting with Men, they fell to make proof of the Ladies Skill in Dancing'.52 The dancing concluded, the leader unmasked and proposed reconciliation with Sir Richard. Although this amorous masking was exploited for political purposes, it retained its traditional associations: Sir Richard was invited to match one of his daughters with the heir of his opponent 'a young Gentleman... (who being of fair Possessions, came amongst the other Company, masked in a Nymph's attire)'.53 Masking and marriage continue to keep company.\n\nAmorous Masking in Literature and Drama\n\nAmorous masking was a game which might clearly be used for different ends in different situations. Contemporary understanding of its possibilities can be elucidated from its presentation in literature: perhaps predictably, given its focus on individual and romantic encounter and on the teasing relationship between mask and face, amorous masking is more widely represented in sixteenth-century literature than any other contemporary masking activity. Masks are understood as having both positive and negative effects on amorous encounters. One commonly asserted paradox is that the mask can reveal truth: the mask provides a release from shy inhibition that gives the speaker boldness to express his (or occasionally her) real feelings. Philautus in _Euphues and his England_ tells his lady that, 'It hath been a custome... how common you know, that Masquers do therfore cover their faces, that they may open their affections'.54 Literary and dramatic exploitation of this opposition between the falseness of the mask and the sincerity of the speaker is widespread. Curiatius in George Pettie's _Petite Pallace of Pettie his Pleasure_ shows the delight taken in expanding the images of opposition, presenting himself as 'in steed of a masker a mourner... I thought beste under this disguised sorte to discipher plainly unto you the constancy of my good will'. His lady's reply multiplies both the counterpoint, and the play with masking forms: 'you shall have cause to count this your labour lost... for my part I promise you I had rather have bene matcht with a mery masker then a leude lover... This rigorous replie of his Misteris converted him from a masker to a Mummer, for hee was strooke so dead herewith that the use of his tounge utterly fayled him'.55\n\nThe licence endowed by the mask is seen then as capable of revealing truth, although indirectly and enigmatically. Yet it can also be abused. Released from responsibility, the masker can violate boundaries and taboos. Vives suggests that maskers _dicunt intrepide quae ne cogitae auderunt si nosceretur_ ('boldly say things they would not dare to think if they were known');56 for as Bouchet points out _le masque ne rougit point_ ('the mask does not blush').57 The amorous mask can easily become the brazen face of insolence, as _Euphues'_ Philautus is told by his lady, 'Though you can utter by your Visard whatsoever it bee without blushing, yet cannot I heare it without shame'.58 Thais, when so approached in Marston's _The Insatiate Countess_ , ripostes by addressing herself directly to the hidden face, thrusting aside the liberating protection of the mask, 'methinks, sir, that you should blush e'en through your visor'.59\n\nYet as these examples show, if the (usually male) masker finds freedom in his visor, the unmasked woman he addresses can also be represented as liberated by the amorous mask. The power balance between masked and unmasked seems different from the encounters of mumming, where privilege belongs to the masker. The potential power of the unmasked woman over the masked man lies partly in the freedom she shares with him to speak more boldly than usual, which allows her to tease or insult the visored suitor. But if the fictional versions are to be trusted, the woman's power could also be exercised by covertly ignoring the mask's persona and addressing the man beneath. This was Thais' strategy in defending herself against the harassment of an unblushing mask. It is also what we find in the witty women of Shakespearean comedy who attack their visored suitors, transforming the mask from a liberation to a trap.\n\nShakespeare's plays show a wide knowledge of masking customs, and a lively sense of their theatrical potential. Apart from the scenario in _King Henry VIII_ , which he (or Fletcher) found in Holinshed,60 and the interesting blend of folk mumming and sophisticated masque in _The Merry Wives of Windsor_ , his masking scenes tend to be set in Mediterranean countries. The Venetian Carnival provides the cover for the stealing of Jessica in _The Merchant of Venice_ , Verona is the setting for the amorous masking visit in _Romeo and Juliet_. But Shakespeare seems to assume that the audience will recognise the various forms, and will pick up the often quite complex nuances in their presentation. Even the most straightforward plot-oriented incidents have resonances which vibrate with the themes of the rest of the play. They largely appear in romantic comedy, as masking is particularly suited to courtship, its subterfuges and its illusions.\n\nJessica is stolen away in a carnival masquerade. Although dressed as a boy she does not seem to be masked herself, but the masquerade of 'Christian fools with varnished faces'61 provides a visual footnote to the central play of illusion and reality in the casket scenes and even the benevolent deception by Portia and Nerissa. In _The Merry Wives of Windsor_ , Master Fenton similarly steals Anne Page in the scintillating confusion of the fairy masquerade, where all the players are 'mask'd and vizarded'.62 In each of these the theft of a bride by a masked lover is approved by both the social and comic ethos,63 and no shadow is cast on the masking itself.\n\nIn a different kind of play it can take on a darker and more ambiguous colouring. In _Henry VIII_ it is difficult to tell if the audience is meant to feel uneasy about Henry's masking encounter with Anne Boleyn:64 probably for political reasons, the play's moral stance is curiously uncommitted. In _Romeo and Juliet_ , the masking is the pivot which swings comedy into tragedy. Romeo's mask enables him lightheartedly to infiltrate Capulet's house, and once there, the rules of engagement, as Old Capulet nostalgically agrees, dictate that he should be treated as a guest. Romeo and Juliet themselves are wilful victims of the game. When they meet, neither knows who the other is:65 it is the ideal masking encounter. Its erotic intensity should have been matched by its brevity; but, swept away by the force of emotion, and the illusion of self-determination, they break the rules and attempt to make the fantasy world permanent. The very real danger and impossibility of the situation prolong the intensity66 and enforce the secrecy, and the protagonists push themselves over the edge into tragedy. The romance ethos demands that we see their love as they do, an overriding passion worth dying for, and the older generation is made to carry the blame. Had the two houses not been at enmity, perhaps the encounter would have led, as in the _Aresta amorum_ , to a _bon mariage_ , and the tragedy would have been a comedy. But the masking leaves us with ambivalent questions about the nature of romantic love, rebellion, and self-destruction, and public and private selves.\n\nThe two plays in which the implications of masking are most fully dramatised are _Much Ado about Nothing and Love's Labour's Lost_. Both introduce masquerades as, apparently, largely gratuitous entertainments: neither is essential to the plot in the same way as they are in the previous plays. But both these apparently ornamental spectacles are essential to the thematic purposes of the plays, and both hint at the darker possibilities inherent in the form.\n\nThe complexity of perceived tension between face and mask, hidden truth and outer artifice, reaches a climax in _Much Ado about Nothing_. This play stages a traditional amorous mask in Act 2, Scene 1, in which the masked men of the court choose unmasked dancing partners from among the women; they then play out a range of encounters all hinging on the interplay between sincerity and falsehood. The Prince, wooing Hero by proxy for the apprentice masker Claudio,67 alerts her obliquely to his concealed status: 'My visor is Philemon's roof; within the house is Jove'.68 His claim to be a prince, though in this case true, echoes the deceptive extravagance of the maskers of the _Arrets d'amours_. Beatrice's needling encounter with Benedick leaves him, on the other hand, helplessly trapped in his mask, fretting 'that my Lady Beatrice should know me and not know me... she told me, not thinking I had been myself, that I was the Prince's jester'.69 Ursula, correctly identifying the aged Antonio beneath his mask 'by the waggling of your head' is met with the double-bluff, 'To tell you true, I counterfeit him'.70 All three depend on multiple levels of truth and falsehood, identity and disguise, signalled by one side and interpreted by the other yet never openly acknowledged. This amorous mask, like the presentation of the masked Hero to Claudio at the end of the play, is a literal enactment of a game with masks which invades the language and ideas of the whole play. Shakespeare even seems to draw on the masking customs of Spanish Carnival, apparently alluding to the masked orange-fights as Count Claudio71 angrily rejects Hero with 'Give not this rotten orange to your friend'.72 The ambience of these various masking games with their play of identity lends some credence to Claudio's problematic psychology of misinterpretation and mistrust. Claudio's readiness to believe that appearance is reality and reality appearance, his inability to distinguish the blush of modest innocence from the blush of guilt, his need to learn to recognise inner rather than outer truth, all relate closely to the complex play between mask and face implicit in amorous masking.\n\nThe multiple power possibilities latent in the form are vividly apparent in the paradoxical masked encounter of _Love's Labour's Lost_ , where Shakespeare upends the expectations of the amorous mask at the men's expense. The disguising which Berowne and his companions stage to the Princess of France and her ladies is clearly designed as an amorous mask. As Boyet reports, 'their purpose is to parle, to court and dance'.73 Apparently their entertainment is somewhat dated: extravagantly costumed as 'Muscovites', at the beginning they pretend silence and are accompanied by a Presenter (Moth) although, as Benvolio in _Romeo and Juliet_ tells us, 'the date is out of such prolixity'.74 The women assert their mastery of the occasion and power over the masked men by a novel reversal of etiquette: they decide to assume masks themselves75 leaving the men bemusedly unable to identify the partners of their choice.\n\nIn the sparring match that follows we find the men, trapped in their fantastic personae as Muscovites, the butt of the women's agile ridicule. The women play fleetly between two positions of strength: they retain their traditional power to refuse the terms of the masked game and address themselves directly to the men beneath the visors: 'Adieu; Twice to your visor and half once to you'.76 Yet equally they appropriate to themselves the power of concealment, knowing that the men truly do not know their identities:\n\n_Berowne_ : | Vouchsafe to show the sunshine of your face...\n\n---|---\n\n_Rosaline_ : | My face is but a moon, and clouded too.77\n\nFemale superiority consists in the power to manipulate the multiple interactions of mask and face, leaving their suitors trapped in their own game:\n\n_Princess_ : | Will they not, think you, hang themselves tonight?\n\nOr ever but in visards show their faces?78\n\n---|---\n\nComing as he does at the end of this tradition, Shakespeare can reveal in its full complexity the shifting play of amorous power, the subtle interplay of mask and face that amorous masking involved. The visual splendour and glorious display of the disguising has developed into this subtle and shifting dynamic between man and woman, revealed and concealed identity. This shift in focus from display to concealment may lie in the very fact that amorous masking makes such play of the mask-face relationship. Unlike mumming, in which the mask seems largely to obliterate the identity of the wearer, the amorous mask holds the two very much in tension, deliberately flirting with identity that is teasingly hidden but not quite denied. Since, at least for the duration of the encounter, the masker must not reveal his identity, the unmasked woman who can play at will between the world of the mask and the world of the real face beneath may ultimately come to have an advantage over the man who is limited to the mask.\n\nNotes\n\n1 Hall _Union_ 526.\n\n2 Reyher _Les Masques anglais_ 12\u201313; Welsford _Court Masque_ 130\u201342. For a summary of more recent opinion see Streitberger _Court Revels_ 82\u20133.\n\n3 Wickham _Early English Stages_ 218\u201319; Anglo 'Early Tudor Disguising' 3\u20139.\n\n4 Kew: Public Record Office E 36\/229, fol. 175.\n\n5 _Lisle Letters_ 6: 201.\n\n6 See chapter 3 on 'Carnival' 71\u20132.\n\n7 Neither is, phonetically, a direct borrowing from the Italian _maschera_ or _mascherata_ , although the earliest use of the term cited in the _OED_ comes in a letter on behalf of Henry VIII reporting that he intends to meet the French king 'in Calais in _masker_ ', which seems to be. Reyher suggests that the custom was imported into France during the reign of Louis XII (1498\u20131515) who brought it back from his military and dynastic adventures in Italy _(Les Masques anglais_ 26\u20137).\n\n8 See chapter 3 on 'Carnival' note 8.\n\n9 _Diario ferrarese dell' anno 1409 sino al 1502_ edited Giuseppe Pardi (Rerum Italicarum Scriptores 24:7; Bologna: Zanichelli, 1933) 85.\n\n10 _The Travels and Life of Sir Thomas Hoby_... _1547\u20131564_ edited Edgar Powell in _Camden Miscellany 10_ (Camden Society Series 3: 4; London: Royal Historical Society, 1902) 14; Marguerite de Navarre _The Heptameron_ translated P.A. Chilton (Harmondsworth: Penguin, 1984) Day 2, Story 14, 181; Arthur Broke _The tragicall Historye of Romeus and Iuliet_ (London: R. Tottell, 1562) fol. 5v. Note that Romeo is one of a dancing team of six.\n\n11 Cavendish _Wolsey_ 26\u20137.\n\n12 Broke _Romeus and Iuliet_ fols 5r\u20135v.\n\n13 Matteo Bandello _Tutte le opere di Matteo Bandello_ edited Francesco Flora, 2 vols (Milan: Mondadori, 4th edition 1966) 1: 730; Broke _Romeus and Iuliet_ fols 5r\u20135v.\n\n14 _Travels and Life of Sir Thomas Hoby_ 14.\n\n15 Martial d'Auvergne _Aresta amorum_ 405\u201330.\n\n16 _Aresta amorum_ 405.\n\n17 _Aresta amorum_ 405.\n\n18 _Aresta amorum_ 406.\n\n19 _Aresta amorum_ 406.\n\n20 _Aresta amorum_ 407.\n\n21 _Aresta amorum_ 407.\n\n22 _Aresta amorum_ 408.\n\n23 _Aresta amorum_ 409.\n\n24 _Aresta amorum_ 410.\n\n25 _Aresta amorum_ 410.\n\n26 _Aresta amorum_ 415\u201316.\n\n27 See chapter 3 on 'Carnival' 53\u20134, 66\u20138.\n\n28 _Aresta amorum_ 422.\n\n29 See chapter 4 on 'Mumming' 86.\n\n30 _Aresta amorum_ 423.\n\n31 _Aresta amorum_ 424.\n\n32 _Aresta amorum_ 425.\n\n33 _Aresta amorum_ 427.\n\n34 A comic story by Bouchet tells of a group of husbands who did so, one of them energetically seducing his own wife behind an arras. Spying him lifting his mask afterwards to wipe his sweaty face, she exclaims, _Est ce vous_ , mon _mary? pardonez moy, ie pensois bien que ce fust vn autre_ ('Is that you, husband? I'm so sorry, I thought it was someone else'): _Ser\u00e9es_ 1: 137.\n\n35 _Aresta amorum_ 427.\n\n36 _Aresta amorum_ 429.\n\n37 The Twelfth Night company in Bouchet's tale thinks that the unknown mummers must be students: Bouchet _Ser\u00e9es_ 1: 131\u20136. A possible audience for the _Arrets_ might be the Paris Basoche, the confr\u00e9rie associated with the Sorbonne.\n\n38 _Aresta amorum_ 413: _se brassoyent & marchandoyent plusieurs bons mariages par les approches que y font les ieunes ommes \u00e0 marier en masqu\u00e9_.\n\n39 _Aresta amorum_ 407.\n\n40 _Aresta amorum_ 405.\n\n41 _Aresta amorum_ 412.\n\n42 _Calendar of Letters, Despatches, and State Papers relating to the Negotiations between England and Spain, preserved in the Archives at Vienna, Brussels, Simancas and elsewhere, 1485\u20131558_ edited Gustav Adolph Bergenroth, Pascual de Gayangos, and others, 13 vols (London: HMSO, 1862\u20131954) 5:2 (1888) 520, item no. 220.\n\n43 Hall _Union_ 526.\n\n44 Hall _Union_ 613, 690, 724.\n\n45 Greg Walker _Persuasive Fictions: Faction, Faith and Political Culture in the Reign of Henry VIII_ (Aldershot: Scolar Press, 1996) 35\u201353: chapter 1, 'Faction in the Privy Chamber?: the \"Expulsion of the Minions\", 1519'.\n\n46 Hall _Union_ 597. The French also objected to this behaviour. The journal of a Paris citizen records that in 1517 Francis I and his companions spent the carnival season en _habitz dissimulez et bigarrez, ayans masques devant leurs visaiges, allans \u00e0 cheval parmy la ville et alloient en aucunes maisons jouer et gaudir; ce que le populaire prenoit mal \u00e0 gr\u00e9_ ('in deceptive and motley costumes, with masks in front of their faces, riding through the city and they would go into various houses to play and make merry; at which the populace were not pleased'): _Journal d'un Bourgeois de Paris sous le r\u00e8gne de Fran\u00e7ois Premier_ edited Ludovic Lalanne (Paris: Renouard, 1854) 55.\n\n47 Hall _Union_ 599.\n\n48 _Lisle Letters_ 1: 249.\n\n49 Hall _Union_ 793\u20134. See also Wynkyn de Worde _The Maner of the tryumphe at Caleys and Bulleyn_ (London: Wynkyn de Worde, 1532).\n\n50 _Calendar of State Papers: Venetian_ 4: 61; see Carpenter 'Sixteenth-century Court Audience' 11.\n\n51 Bernard Garter _The Tragicall and True Historie which happened betwene two English louers, 1563_ (London: R. Tottell, 1565) fol. 36v.\n\n52 John Prince _Damnonii Orientales IUustres: The Worthies of Devon_ (Exeter: S. Farley, 1701) 285.\n\n53 Romeo in the Italian version by Da Porta also arrives at Capulet's dressed as a nymph: Luigi Da Porta _Istoria di due nobili amanti_ (1539) in _Novellieri del cinquecento_ edited Marziano Guglielminetti, 2 vols (La Letteratura Italiana Storia e Testi 24: Milan: Riccardo Ricciardi, 1972) 1:248, 249.\n\n54 John Lyly _Euphues and his England_ (London: William Leake, 1605) N3v.\n\n55 George Pettie _A Petite Pallace of Pettie his Pleasure_ (London: R.W., 1578?) 141\u20132.\n\n56 See chapter 11 on 'Ideas and Theories' 307.\n\n57 Bouchet _Ser\u00e9es_ 1: 139 _(Quatriesme ser\u00e9e)_. Mercutio turns the idea on its head, with 'Here are the beetle brows shall blush for me', suggesting that he himself is shameless: _Romeo and Juliet_ Act 1 Scene 4, line 32.\n\n58 Lyly _Euphues_ N4r.\n\n59 John Marston _The Insatiate Countess_ in _Works_ edited Arthur Henry Bullen, 3 vols (Hildesheim: Olms, 1970: reprint of 1887 edition by John C. Nimmo) 3: 159; Act 2 Scene 1, line 142.\n\n60 See _Narrative and Dramatic Sources of Shakespeare_ edited Geoffrey Bullough, 8 vols (London: Routledge and Kegan Paul, 1957\u201375) 4: 478\u201381. This was the scene that burned down the Globe Theatre in 1613: William Shakespeare and John Fletcher _King Henry VIII, or All is True_ edited Jay L. Halio (Oxford Shakespeare; Oxford University Press, 1999) 16\u201317. The stately vision of Queen Katherine in _Henry VIII_ (Act 4 Scene 2), like the wedding masque of Ferdinand and Miranda in _The Tempest_ (Act 4 Scene 1), belongs to a later tradition than those with which we are concerned.\n\n61 _Merchant of Venice_ Act 2 Scene 5, line 33.\n\n62 _Merry Wives of Windsor_ Act 4 Scene 6, line 40.\n\n63 Masking allows them to 'play the thieves for wives': _Merchant of Venice_ Act 2 Scene 6, line 23. Lorenzo is making an overt comparison with masked burglars and highwaymen: compare _Henry IV Part I_ Act 1 Scene 2; Act 2 Scene 2.\n\n64 Holinshed's courtly mumming at the Cardinal's is converted into a more straightforwardly amorous affair, removing the dicing and the ambiguity surrounding the unmasking of the King, so as to create the sexually-charged atmosphere in which Henry first encounters Anne. Their first physical contact is presented as part of the etiquette of the occasion: 'Sweetheart, It were unmannerly to take you out (i.e. to dance) And not to kiss you'.\n\n65 It is not clear from the script exactly where Romeo unmasks, but in the sources, he has done it before the _torchio_ dance which brings him face to face with Juliet. This creates the beguiling illusion of total frankness when he declares his love for her.\n\n66 In the balcony scene, Juliet, her everyday self concealed by 'the mask of night' (Act 2 Scene 2, line 85), 'opens her affections' with unaccustomed boldness.\n\n67 See the _Aresta amorum_ 422. Don Pedro, as an _ancien compaignon masquier_ , takes it upon himself to woo Hero in Claudio's place: Claudio is either a lot younger, or a lot less experienced, than modern productions tend to make him.\n\n68 _Much Ado_ Act 2 Scene 1, line 95.\n\n69 _Much Ado_ Act 2 Scene 1, lines 201, 240.\n\n70 _Much Ado_ Act 2 Scene 1, line 115.\n\n71 Described as 'civil [Seville] as an orange' _Much Ado_ Act 2, Scene 1, line 291.\n\n72 _Much Ado_ Act 4, Scene 1, line 31.\n\n73 _Love's Labour's Lost_ Act 5, Scene 2, line 122.\n\n74 _Romeo and Juliet_ Act 1, Scene 4, line 3.\n\n75 Probably not the fantasy masks of the disguising, but their everyday cosmetic 'sun-expelling' masks [see Plate 30]. See chapter 11 on 'Ideas and Theories' 307\u20138.\n\n76 _Love's Labour's Lost_ Act 5, Scene 2, line 226.\n\n77 _Love's Labour's Lost_ Act 5, Scene 2, lines 201,203.\n\n78 _Love's Labour's Lost_ Act 5, Scene 2, lines 270\u201371.\nPart 3\n\nTheatrical Masking\n\nThe masked theatre of the ancient world died with the pagan culture which fostered it. Medieval theatre was a new genre. Liturgical drama and the mystery plays were born out of a different ceremonial and a different mythology; morality plays from the essentially Christian literary form of psychological allegory. The golden mask of God which represents divine radiance, or the double face of Deceit or Prudence, belong to a language of symbolism and emblem based imaginatively in literature before it was embodied in art or theatre. The only possible remnants of the ancient world may have been filtered through Kalends masking, as the hairy animal-headed creatures and blackened faces of folk games are appropriated and reinterpreted as devils \u2013 or so it appears.\n\nWhat happened to the professionals of the Roman theatre, and their tradition of masked acting? In Masks, Mimes _and Miracles_ , Allardyce Nicoll sets out to demonstrate that there was 'a regular line of \"theatrical\" continuity' from the Roman _mimus_ (low comedian) to the medieval _joculator_ ('entertainer', in French _jongleur_ ). One of his main arguments is that both used masks.1 There is thus, he contends, possibly a direct line of descent between the Roman comic stage and the late-sixteenth-century Italian _commedia dell'arte_ , some of whose stock character-masks uncannily echo surviving images of actors in the Atellan farces.2\n\nThere is no way of proving or disproving this, but any line of continuity would surely flow through a traditional repertoire of entertainments and improvisations rather than formal comic drama. The _mimi_ themselves were not always masked: in his famous epitaph, the (ninth-century?) _mimus_ Vitalis is celebrated for his range of facial expressions.3 On the other hand medieval professional entertainers appear occasionally to have worn masks. A much-quoted late-thirteenth-century classification of the three types of _histriones_ (by this stage, a term usually translated as 'minstrels'), says that the first:\n\n... transformant et transfigurant corpora sua per turpes saltus et per turpes gestus, vel denudando se turpiter, vel induendo horribiles larvas...4\n\n... deform and contort their bodies with obscene acrobatics, and obscene actions, or by obscenely stripping themselves naked, or putting on terrifying fright-masks...\n\nThis clearly describes contortionists, whose _horribiles larvae_ are a performance prop rather than direct descendants of the character masks of the Roman comedy. In thirteenth-century France, Etienne de Bourbon compares painted old women to _ioculator[es] qui ferunt facies depictas quae dicuntur artificia gallice_ , cum _quibus ludunt_ ('entertainers who wear painted faces which are called _artifices_ in French, with which they play').'5 But neither comment suggests that the _joculatores_ or _histriones_ presented a serious secular alternative, the legacy of classical theatre masking, to the mysteries and moralities.\n\nIt is not even clear that medieval professional entertainers performed plays, in which they might have used masks, although vernacular texts like the _Interludium de clerico et puella_ and _Dame Sirith_ are sometimes cited as possible English examples.6 The later English interlude tradition is not masked. On the other hand, the early-sixteenth-century editor of Terence, Joachim Badius, speaks of professional players in the Low Countries who wore masks when they performed 'the histories of kings and princes' in halls.7 But we do not know who these players were, or what precisely the plays were, and the question of their acting heritage must remain unresolved.\n\nFew mask illustrations from our period show theatrical performance. However, the gesticulating mime figures in two late-fourteenth-century imaginative reconstructions of the Roman theatre of Terence are wearing masks.8 They are not classical comedy masks, but some of them have a strong resemblance to those of the Italian _commedia_ , and they may illustrate the type of mask a _joculator_ might wear. They are 'painted in various colours', like the tenth-century Byzantine entertainers referred to by Liudprand of Cremona.9 But these pictures seem just as likely to be an attempt at visualising a scholarly text, as real life reportage. As for the shapes, their resemblance to the Atellan masks on the one hand and the _commedia_ on the other could be purely fortuitous. All caricature mask-making starts from our most prominent facial feature, and in practice, there are only so many ways of exaggerating a nose.\n\nNotes\n\n1 Allardyce Nicoll _Masks_ , Mimes _and Miracles_ (London: Harrap, 1931) 152\u20133.\n\n2 See also Pierre-Louis Duchartre _The Italian Comedy_ translated Randolph T. Weaver (New York: Dover, 1966 reprint of London: Harrap, 1929) 28\u20139, 208.\n\n3 _Minor Latin Poets_ edited J. W. and A. M. Duff (Loeb; London: Heinemann, 1934) 636\u20139.\n\n4 _Salisbury Penitential_ attributed to Thomas of Chobham. Quoted Chambers _Medieval Stage_ 2: 262.\n\n5 \u00e9tienne de Bourbon _Anecdotes historiques_ edited A. le Coy de la Marche (Paris: Renouard, 1877) 231.\n\n6 Richard Axton _European Drama of the Early Middle Ages_ (London: Hutchinson University Library, 1974) 19\u201324.\n\n7 See chapter 11 on 'Ideas and Theories' 294\u20135.\n\n8 See chapter 11 on 'Ideas and Theories' 291\u20134 and PLATE 29.\n\n9 Liudprand of Cremona _Opera_ edited Joseph Becker (Scriptores Rerum Germanicarum 41; Hanover and Leipzig: Hahnsche Buchhandlung, 1915) 90. The reference comes from an anecdote where the new father-in-law of the Emperor complains that though he has been given the proper shoes for his status, he has not been given the appropriate diadem, and therefore looks just like one of those motley actors who _ut ad risum facile turbas illiciant, variis sese depingunt coloribus_ ('in order to make the crowd laugh, paint themselves in various colours').\nChapter 9\n\nMystery Plays\n\nMystery plays remain for most readers and audiences today the most familiar form of medieval English drama. While there are many literary, textual, and cultural reasons for this, one major influence on their modern accessibility has come from performance. From the first re-staging of the York plays at the Festival of Britain in 1951, increasing numbers of community, university, and professional groups have brought performance of the mysteries to a wider audience than at any time since the Reformation. Besides this, on-going research into dramatic records has given a sharper insight into the material fabric of performance, which has fed into experimental reconstructions of medieval staging. Some of these have been extremely persuasive, though we hardly need to say that they prove nothing about actual medieval practice. On the other hand, they alert us to questions and possibilities, and it seems legitimate to refer to them in our discussion, with all the proper caveats.\n\nThis recent focus on performance has sharpened interest in the uses and effects of masks in this kind of drama. It has long been known that certain characters in the mystery plays wore masks, but there has been relatively little discussion of the theatrical implications. This chapter aims to consider the performance effects of this masking. It seems that the use of masks might have some far-reaching consequences for the whole visual style of the mystery plays, and indeed might significantly affect the interplay of emotion and worship, the human and the divine, in the theatrical experience they offer.\n\nMasks and _Miracles_\n\nBefore the English mystery plays, however, came a religious drama of which we know comparatively little: not the liturgical drama, which was first recorded in the England of the tenth-century Benedictine Revival, and which was still running in parallel with the civic plays in the fifteenth,1 but the _miracles_ or 'clerk plays'. As their name suggests, they seem to have been written, directed, and probably performed by members of the minor clergy,2 possibly in the churchyard, market-place, or outside the city walls rather than in the church.3 They were popular in the thirteenth and fourteenth centuries, and their techniques may well have been taken over by the emerging civic drama. Several, though scattered, records suggest that they were played in masks. A famous story from the _Life of St John of Beverley_ (c.1220) talks of a _Play of the Resurrection_ in the churchyard, as a _larvatorum, ut assolet_... _repraesentatio_ ('a masked performance, as is customary').4 This strongly implies that all the actors were masked, or else that masking was a characteristic part of the performance.\n\nIt is just possible that these were otherwise unrecorded professional travelling troupes, who used masks as a matter of course, possibly by long-term tradition.5 But the _Manuel des pechiez_ (c.1300) associates both 'miracles' and masking with the clergy:\n\nVn autre folie apert\n\nVnt les fols clers cuntrov\u00e9\n\nQe _miracles_ sunt apel\u00e9.\n\nLurs faces vnt la desguis\u00e9 Par visers, li forsen\u00e9\n\nQe est defendu en decr\u00e9e.6\n\nThe crazy clergy have invented another manifest craziness, which is called _miracles_. There they have disguised their faces with masks, the lunatics, which is forbidden in the Decretal.\n\nThe _decr\u00e9e_ forbidding masks is the 1234 Decretal of Gregory IX, which seems on occasion to have been used to suppress ordinary religious drama performed in church or churchyard as well as the disruptive masking of the Feast of Fools.7 The real situation seems irrecoverable: was all acting referred to as 'masked', even if only a few devils wore visors, in order to bring the activity under the meaning of the act? Or was earlier performance, even by the clergy, genuinely masked in totality? Robert Mannyng, translating the _Manuel_ soon after it was written, does not mention the _visers_ , which may well be significant; but the same passage was translated in the mid fourteenth century:\n\nanother opone folye they maketh. and folie clerkes habe fonde hyt up. that _myracles_ byth called. there they habe here faces dyscolored. by visers the cursede men for hyt is defended in lawe the more is here synne.8\n\nThe use of 'dyscolored' for _desguis\u00e9_ could suggest lack of familiarity with the custom, though it is likely to be simply the common conflation of masks and face-painting.9 But in a fourteenth-century sermon handbook, the Dominican John Bromyard associates actors in 'miracles' with masks: _ludentes enim in ludo, qui vulgariter dicitur miraculos, larvis utuntur, sub quibus personae non apparent, quae ludunt_ ('for those who play in the play which is called _miracles_ in the vernacular use masks, beneath which the persons of those who play are hidden'),10 It may be that all these writers were, as we frequently find, simply copying earlier preachers without reference to what was happening in their own day; but Bromyard generally makes a point of using modern examples. Without further concrete evidence the case must rest here.11\n\nEvidence, Purposes, and Effects\n\nEvidence for the use of masks in the mystery plays in Britain is widespread but erratic. It comes first from scattered references in Guild records which, like most of the evidence for props and costumes, has been selected for us by chance. Many of the cycle plays for which we have scripts may have used masks, but only a handful of accounts and inventories from the guilds involved survive, sometimes dating from significantly earlier than the existing texts. There are no accounts at all which we can directly and confidently match with existing scripts.\n\nWithin the records random selection continues: unless a complete inventory of props and costumes for a play happens to survive, things tend to be recorded only when they are mended, or in some cases replaced. So we can see from the Coventry Smiths' accounts that 'the devyls hede' and 'herodes heed' must have taken a battering each year, as they are repaired fairly regularly; the same applies to 'the devells facys' of the Coventry Drapers' _Doomsday_ pageant.12 But if God in that play was also masked, as seems probable by analogy with the 'veserne gilted' assigned to God in the York Mercers' _Doomsday_ inventory,13 then he must, being fairly static, have kept it immaculate, as it never turns up in the accounts at all. Another limitation of the Guild records is that they rarely describe either the masks or what they are made of.\n\nIf it is hard to be sure exactly which characters wore masks, it is even more difficult to estimate the effects of masking in the plays. We need to try to evaluate not only what happened, but also what attitudes were activated by the use of masks. Unfortunately we have almost no contemporary comment or criticism directly about mystery-play masks. This means we are mostly confined to speculation from the scripts, which is fraught with complications and uncertainties. If it were not for the records, we might be unlikely to notice from the texts alone that some of the characters were masked. But since there is so little external evidence of the assumptions involved we are thrown back largely onto these play texts, in spite of the difficulties of matching evidence and scripts.\n\nOne late contemporary comment on the mystery masks does survive. The 'post-Reformation' Banns for the Chester Cycle apparently replaced the earlier, Roman Catholic, Banns during the increasing Protestant hostility towards the plays during the second half of the sixteenth century.14 The new Banns comment extensively on the plays, showing a rather defensively apologetic attitude towards their 'old-fashioned' drama. One stanza specifically discusses the use of the gold mask for God. While this mask obviously raises unique concerns, the comments may throw light more generally on mystery-play masking.\n\nThe stanza seems a most seductive piece of evidence since, apparently for the first time, it talks in some detail about the purpose and effect of putting God into a mask. Its general drift is fairly clear, but the verbal details are slightly confusing. The audience is warned not to expect the sophisticated techniques of the modern stage. For then, we are told:\n\n... shoulde all those persones that as godes doe playe\n\nIn Clowdes come downe with voyce and not be seene\n\nffor noe man can proportion that godhead I saye\n\nTo the shape of man face, nose and eyne\n\nBut sethence the face gilte doth disfigure the man yat deme\n\nA Clowdy coueringe of the man, a Voyce onlye to heare\n\nAnd not god in shape or person to appeare.15\n\nThe terms of this passage are not wholly easy to follow, since the exact significance and stress of 'proportion', 'shape of man', and 'disfigure' are difficult to determine. _Disfigure_ at this period does not appear to carry its later connotations of 'deform', but a more neutral sense nearer to 'un-figure' or 'alter the shape of'. The last three lines of the extract are perhaps the most potentially ambiguous. The sense seems to be: 'since the gold face conceals the identity of the actor, think of it as if it were a cloud machine concealing the whole man, so that we only hear the voice of God coming from this cloud cover (or mask), and do not see God himself supposedly appearing physically on stage'.\n\nIt is wrong, the passage suggests, for any man to try to 'act' or imitate God, because no human being can 'proportion' the Divinity. But the problem can be averted if we think of the golden face as equivalent to a modern cloud machine which effectively conceals the actor, allowing a 'voice of God' to speak. This comparison urges that the mask, like a cloud machine, must be thought of as completely abolishing the man, the actor. We do not see him representing or pretending to _be_ God, but only hear the voice in the golden face speaking God's words. This seems to concur with dramatisations of divinity in certain other cultures, where the masked human performer presents, rather than represents, the deity. As John Emigh suggests, even with more obviously ritualised traditions of masked performance 'to say that the performer represents or acts the part of [the] spiritual entity is to use a Western gloss for what is happening'.16 But the argument of the Banns goes a stage further. Even the mask itself, it suggests, is not representing God mimetically. It is an emblem or sign, like the cloud machine, which stands for God without actually imitating Him. That is why, even with the gold face, we do not see God 'in _shape_ or person to appeare'.\n\nInteresting as this stanza is, it offers a view of the God-mask, and perhaps even of masked acting in general, which is only partially helpful in illuminating the medieval practice of the cycle plays. Its patent uneasiness about the appearance of God on the stage seems foreign to the mysteries, and in fact to almost all medieval drama. In spite of the obvious problems of performing divinity, a sense of impropriety in human actors playing God seems to be largely a post-Reformation development. Anxiety about 'conterfuting or representing' God through visual images, and especially by human impersonation, is a characteristic of the iconoclasm of the later sixteenth century.17 But during the Middle Ages generally there is little objection except from the Lollards; and even Wycliffe seems to accept that the theology of the Incarnation justified the use of images.18 Fifteenth-century iconography is insistently physically representational, and the portrayal of God on stage seems to have excited no more, if no less, controversy than the portrayal of God in pictures.19 God is anthropomorphised without apparent anxiety not only in the mystery cycles, but also in earlier morality plays like _The Castle of Perseverance_ and _Everyman_.\n\nNor does this change overnight with the Reformation. John Bale's mid-sixteenth-century plays, though violently anti-Catholic, introduce Pater Coelestis, Deus Pater, and Christ as characters, without apparent qualms, Christ even addressing the audience to invoke their devotion to himself.20 The fragments of the Protestant play _Christ's Resurrection_ (1530\u201360) also dramatise Christ, admittedly less problematic than the Father, inventing for him a non-biblical scene only alluded to in the Gospels.21 Even as late as (probably) the 1580s, the 'part of God in a playe' known as the _Processus Satanae_ was copied.22 This play dramatises an investigation into the Redemption, prompted by Satan and carried out by the Four Daughters of God; so the copying of this actor's part implies performance of a play which is not a cycle play with the excuse of tradition but nevertheless uses an actor to portray God without noticeable hesitation. The late Chester Banns therefore suggest a _religious_ uncertainty about the use of masks for this purpose which, although characteristic of its own time, does not appear to have operated in medieval performances.\n\nThis leads on to the more general aspect of the Banns' argument. The unease over the propriety of a human actor impersonating God, and the way the mask is justified, suggest a self-consciousness about masking itself. This is seen in the painstaking distinction that is made between the man who is the actor and the mask that is to conceal him. The words of the Banns, explaining the 'proper' reaction to this mask, imply that the audience, unless guided, are likely to look behind the mask and what it represents to the face beneath, and experience a tension between the two.\n\nAs we have seen in relation especially to courtly masking-games, such play between mask and face certainly did exist by the early sixteenth century. The early regulations condemning popular disguising and the descriptions of court masking entertainments both reveal a growing interest in the concealing properties of masks. The terms _disguise_ and _disfigure_ themselves suggest a recognition of the usual 'guise' or 'figure' beneath the mask. Such concern with mask as concealment or disguise has persisted in the post-sixteenth-century European theatre right until the present, the interest frequently focusing on the relationship between the mask and the face behind it. The audience is often encouraged to penetrate the mask to discover the person beneath. An alternative modern focus may be on the sense of trapping stasis the mask can impose on the character. By its very nature a mask implies lack of character development. While this may seem appropriate for the allegorical personifications of the morality drama, or the traditionally fixed biblical or moral roles of the characters in the cycles, it is something that modern drama has tended to find troubling, if fascinating, both dramatically and psychologically. The early-twentieth-century revival of interest in masks, and their use in plays by playwrights like Pirandello, Yeats, and O'Neill, concentrated on the fact of masking itself, as in very different ways did the masks and disguisings of the Tudor period.23\n\nBut the use of masks in the cycle plays seems to belong to a different tradition. As communal expressions of spiritual mythology, they come closer to ancient traditions of masking such as we find in some Classical, Oriental, and African popular religious theatre.24 Medieval god-masks do not appear to act as literal conduits for divinity, as in some kinds of religious masking. But neither do they depend on an active dynamic between the mask and the face beneath. As John Emigh suggests, the performer 'takes on the exterior look of another, but makes little attempt to match this assumed appearance by internally identifying with the other'.25 Such traditions do not encourage their audiences to recognise a tension between the mask and the actor. The concentration is on the character who is presented by the mask \u2013 often a god, mythical hero, or evil spirit \u2013 not on its relationship to the wearer. Once the mask is on, the actor as an individual simply disappears behind it: only the character is left. This can be seen from both texts and performances of these dramas, as anyone who has seen the demonstrative masks of Kabuki theatre, Indian _Ramlila_ , or perhaps even reconstructions of masked classical Greek plays will know. As John Jones remarked of the ancient Greek theatre, these masks are used to reveal, and not to conceal the face: 'They did not owe their interest to the further realities lying behind them, because they declared the whole man. They stated: they did not hint or hide'.26 This seems much closer to the masking tradition of the mystery cycles. The texts of the plays suggest no self-consciousness about the masks at all, often not even an awareness of them. They demonstrate a character, or an idea: they do not conceal or disguise anything.\n\nAll this seems congruent with general medieval interest in emblem, sign, and figure. In the drama, as in painting, visual details are rarely simply decorative, and almost always semantically expressive, designed to explain ideas and reveal meanings. This is particularly clear in the allegorical use of 'emblem' masks, as the following chapter will show. But such use of visual symbols clearly carries over into things like the attributes for saints and apostles, which express ideas more than naturalistic facts. The visual and iconographic conventions associated with the biblical figures of the mystery cycles appear to have the same kind of explanatory function. When Pauper, in the fifteenth-century treatise _Dives and Pauper_ , explains the image of the Virgin he interprets all the conventional iconographic features, even those we might assume to be naturalistic, as emblematically expressive:\n\n\u00dee ymage of oure lady is peyntyd wyt a child in here lefght arm in tokene \u00feat she is modyr of God, and wyt a lylye or ellys a rose in here ryght hond in tokene \u00feat she is maydyn wytouten ende and flour of alle wymmen.27\n\nPresumably this is also the function of the masks. They are used to express an idea rather than an actuality; and what is conveyed is an idea about the character, not about the performer and his relationship to the mask. When God, Christ, or the transfigured Apostles wear masks, we must assume these have the same purpose as the haloes worn in religious art by saints and angels. _Dives and Pauper_ makes it clear that this purpose is the symbolic expression of ideas rather than a direct attempt to imitate appearance. The haloes signify not just 'divine radiance', but something more abstract. When Dives asks Pauper about the Apostles' haloes, 'Qhat betokenyn \u00fee rounde thynggys \u00feat been peyntyd on here hedys or abouten here hedys?', Pauper replies, '\u00deey betokenyn \u00fee blisse \u00feat \u00feey han wytouten ende, for as \u00feat rounde thyng is endeles, so is here blisse endeles'.\n\nSometimes Pauper offers differing significations for the same visual conventions, as with the rich robes of the saints in paintings and statuary. When Dives objects, '\u00deey weryn nought so gay in clothyng as \u00feey been peyntyd', he replies, '\u00deat is soth. \u00dee ryche peynture betokeny3t \u00dee blisse \u00deat \u00deey been now inne, nought \u00dee aray \u00deat \u00deey haddyn vpon erthe'.28 Yet later he puts forward a different interpretation:\n\n_Dives_ : I suppose \u00feat \u00fee seyntys in herthe weryn nought arayid so gay, wyt shoon of syluer and clothys of gold, of baudekyn, of velwet, ful of brochis and rynggys and precious stonys... for \u00deey shuldyn an had mechil cold on here feet and sone a been robbyd of here clothis.\n\n_Pauper_ : Soth it is \u00deat \u00deey wentyn nought in sueche aray. Neuereles, al \u00deis may be doon for deuocion that meen han to \u00dee seyntys and to shewyn mannys deuocioun.29\n\nThe argument here acknowledges that this visual splendour is expressive not so much of the saints' earthly material existence as of their devotees' responses to them. If, as it seems, the masks of the cycle plays have a similar function, then Pauper's words have particularly vibrant implications for the relationship between stage and audience. The power of the mask may be reception-driven, its relationship to the spectator more important than its relationship either to the wearer or to the character portrayed.\n\nA particular feature of medieval theatre is that, since only some of the characters appear to have been masked, masked and unmasked performers share the same stage. The use of a mask in a play rather than a procession, a static tableau, or even a game, already enriches its signification: its power of expression is complicated by its involvement in speech and action. The interaction of masked and unmasked faces augments even further the 'density of signs' which Barthes identifies in theatrical performance, raising questions about the interplay of different kinds of acting and stage representation.30 Masks generally dictate particular kinds of stylisation in performance. While we know too little about medieval conventions of acting to judge the overall effect, it seems quite possible that the characteristics of masked acting combined and interacted with rather different modes.\n\nThis probability is confirmed by various other evidence. Guild records show that a good part of the visual effect of the mystery plays was deliberately non-naturalistic: the Virgin, even in the most ordinary activities, may appear in a crown;31 the Tree of Paradise is hung with figs, almonds, dates, raisins, and prunes as well as apples;32 Peter and Christ may wear gilded wigs; and Christ himself at the Resurrection may appear in a wounded leather body-suit under his red cloak, a suit which signifies nakedness rather than simply using the actor's naked body. As with the masks, these visual details are expressive rather than gratuitously ornamental, concrete signs for various spiritual ideas. Yet the overall stylisation contains details which can themselves be domestic, homely, and familiar: the gifts given by the Shepherds to the infant Christ, or the ropes, hammers, and wedges used by the soldiers at the Crucifixion \u2013 themselves then codified as the Instruments of the Passion. Stylisation and visual sign ranges from the most formal and exotic, to the most ordinary and familiar.\n\nSimilarly the texts of the plays themselves seem to call for varying registers of acting. They can move from the stately oratory of God to the virulent colloquial abuse of Cain, from the moving seriousness of the Annunciation to the earthy comedy of Joseph's Doubts, from the down-to-earth violence of the Soldiers to the highly formalised laments of the Maries, without any sense of discontinuity. Even within the same character the Shepherds can move from naturalistic grumbling to learned exposition, Mrs. Noah from vulgar irresponsibility to docile humility, without any noticeable unease. All this supports the evidence of the masks \u2013 that ornate stylisation deliberately coexists with apparent realism to form a composite style. This seems to be a characteristic of much folk theatre, and it appears that the cycle plays with their popular, communal, and seasonal elements, draw on those traditions as well as on more learned forms. As one of its semioticians has pointed out: 'In the folk theatre the simultaneous use of the most diverse styles in the same play is a widespread phenomenon, a special theatrical device of form'.33 This also holds true for the mysteries: the use of masks is a significant element in their assured exploitation of diverse theatrical styles.\n\nMasked Characters\n\nWho wore masks in the mystery plays? M.D. Anderson seems right in saying that 'they seem chiefly to have been used to denote extremes of Good and Evil'.34 By the fifteenth century they are worn mainly by God and the devils, together with some notoriously wicked characters.35 It appears that they were seldom used for ordinary humans: in the York _Creed Play_ inventory Christ is distinguished from the Apostles by his _larva aurata_ (gilded mask).36\n\nThe only play in which ordinary human beings are recorded as wearing masks is _Doomsday_. The York Mercers' 1433 inventory gives 'vesernes' to the 'ii gode saules' as well as to the 'ii euell saules'. But Doomsday is set in a cosmic arena, where human beings are clothed in the spiritual bodies of the General Resurrection, and their costumes and masks express the state of their souls.37 In the Coventry _Doomsday_ play accounts they appear as 'the white & the blake soules', and it seems likely that the York _Doomsday_ play also reinforced the black\/white Judgement Day message by stylising the souls to match. From 1557 the Coventry accounts record a regular item 'for blakyng the Sollys fassys', a cheaper and perhaps more expressive way of creating the masked effect.38 This was not purely symbolic: popular belief seems to have held that the sins of the Damned would be reflected in the corruption of their risen flesh, whereas the Saved would share the _claritas_ of Christ revealed in the Transfiguration.39 The souls are of a different order of being from when they lived on earth, and the masks help to set them apart from their surrogates in the audience.\n\nWhether or not performances of _miracles_ were fully masked, the mystery cycles for which we have texts were apparently not. Instead we have the interesting theatrical situation of masked actors performing alongside unmasked. It is worth considering separately each group of characters known to have worn masks, since each involves different issues. If we can establish what each might have looked like, we are better placed to understand the effects of the particular masks and their interaction with unmasked performers. This inevitably brings modern sensibilities to the medieval theatre: but in the absence of the crucial contemporary criticism it is the best we can do.\n\nDevils\n\nDevils, who turn up in many different kinds of medieval theatre, are the only characters who seem always to wear masks. Account after account plays variations on 'for makinge ii denens heades', 'for peynttyng of the demones hede', 'payd for a demonys face', 'vi deuelles faces in iii Vesernes'.40 Mention of the devils' _visers_ slips casually into other writings: Wycliffe comments 'Suche fendis with ther visers maken men to flee pees'.41 Hoccleve, putting words into the mouth of the dying man, makes him see 'Horrible feendes and innumerable' lying in wait for his miserable soul:\n\nThe blake-faced ethiopiens\n\nMe enuyrone...\n\nHir viserly faces, grim and hydous\n\nMe putte in thoghtful dredes encombrous.42\n\nThe mumming made to Richard II in 1377 included '8 or 10 arayed and with black vizerdes like devils appering nothing amiable'.43 Devils in all genres of theatrical performances seem to share the same appearance.\n\nThey were traditionally black.44 The Devil in the large-scale morality _The Castle of Perseverance_ refers to himself as 'Belyal the blake', and rallies his 'boyes blo and blake' to the attack on the castle; when the little devils are driven away in _Wisdom_ , Wisdom himself says 'Lo, how contrycyon avoydyth \u00fee deullys blake!'.45 The wicked souls in the York _Doomsday_ lament that they are henceforth 'In helle to dwelle with feendes blake'.46 Morally and spiritually, this black is the opposite of divine radiance. Historically, they seem to have been charred when they fell from heaven: 'Fellen fro the fyrmament fendes ful blake'.47 Arrived in hell, the York Lucifer cries, 'My bryghtnes es blakkeste and blo now'.48 In French drama devils, if not wearing visors, had their faces blackened like the Coventry 'blakke soulys', and it seems likely that minor English devils looked the same.49 Devils are often compared to Ethiopians, as in the Hoccleve quotation above.50\n\nIt is not specified anywhere precisely what the late medieval devil's 'viser' should look like: stage directions usually content themselves with saying 'here xall entyr a dylle In orebyll aray', or 'Here enteryth Satan... in the most orryble wyse', or by implication 'Here ANIMA apperythe in the most horrybull wyse, fowelere than a fende'.51 Provided the effect was 'the most orryble' he could produce, the medieval mask-and costume-maker was presumably free to create whatever his imagination and his materials would allow. Allardyce Nicoll prints a whole page of 'medieval' (in fact largely eighteenth-century, but presumably traditional) Austrian devil-masks, each with its own particular wise of being 'orryble'.52\n\nFIG. 7: Eighteenth-century wooden masks, Ober\u00f6sterreichische Landesmuseum, Linz\n\nThe French devil of the Avignon _Praesentatio_ of 1385 was to be dressed _tali ornamento sicut eidem decet turpissimo et abhominabili, cum cornubus, dentibus, et facie horribili_ ('in the type of costume that befits him, extremely nasty and repulsive, with horns, teeth, and a horrible face').53 Horns and teeth emphasise the predatory, feral role of the devil, seeking whom he may devour: many devil's faces are based on those of wild animals and most feature something of this aggressive spiky quality. Horns seem almost mandatory: they were presumably easily acquired from the local butcher's. Cows' and rams' horns seem most popular, though there are local variations: Austrian and Swiss devils, for example, often go for the Alpine goat. There are also one-horned devils, like those in the _Triumph of Isabella_.54\n\nFIG. 8: Devils from late-fifteenth and early-sixteenth-century woodcuts\n\nBesides horns, most pictured devils also have large animal ears, either erect, of any length from cat to donkey, or drooping and spaniel-like. They may also, especially in woodcuts where it suits the technique, have the up-blown quiff of hair flaring from the forehead which is a scaled-down version of the Romanesque devil's wild but stylised coiffure.55 A large red tongue adds to the animal features. \u00c9tienne de Bourbon tells of a woman who saw a devil in the shape of a hideous tom-cat, about the size of a large dog, _habens_... _oculos grossos et flamentes, et linguam latam et longam et sanguinolentam et protractam usque ad umbilicum_ ('with great big fiery eyes, and a wide, long, blood-red tongue which stretched down to its navel').56\n\nMany devils are also fanged, with tusks coming upwards from the lower jaw. In masks the jaw itself could be wired to snap: an Austrian devil-costume illustrated by Allardyce Nicoll has an almost crocodile jaw which seems to have worked in this way, and the Dorset Ooser (a mysterious but distinctly demonic mask, made of wood) was provided with a lower jaw which was moveable, and gnashing teeth, the jaw being worked by a string'. It would seem that the _secundus demon_ of the Towneley _Doomsday_ 'girned and gnast' like this.57 Lucifer in the _Fall of the Angels_ window in St Michael Spurriergate, York, is distinguished from an angel of light by his horrible gappy teeth. Nicoll also points out how many of the surviving devil-masks appear to sport large and conspicuous warts. The Dorset Ooser also had 'Between the eyebrows... a rounded boss for which it is difficult to find an explanation'. It could be a well-developed version of the devilish wart.58\n\nFIG. 9: The Dorset Ooser\n\nCraik suggests that one of the most prominent features of the morality-play devil was his 'bottle-nose':\n\nAn important characteristic is an ugly nose, large and misshapen \u2013 he swears by his crooked snout in the Newcastle miracle of _Noah \u2013_ and in some interludes the vice ridicules it, saluting him in _Like will to Like_ as 'bottel nosed knave', and in _Susanna_ as 'crookte nose knave'.59\n\nPresumably the nose is being compared to a bulbous leather bottle: but the majority of devils in pictures have long curved noses and the _OED_ tentatively suggests (though it rejects) an etymology from _bytel_ , 'cutting instrument'. In mask-making, the nose is the easiest feature to exaggerate, and usually the one which determines the character of the whole face.\n\nThe more sensational devils could be fitted up to breathe fire, smoke, and squibs. Most of the devils in the Bourges _Monstre_ , the procession and Banns for the _Acts of the Apostles_ performed in 1536, emitted _feu par les narines et oreilles, et tenoient en leurs mains quenouilles a feu_ ('fire from their nostrils and ears, and held in their hands \"fire-distaffs\" [hollow batons filled with gunpowder]').60 Belyal in _The Castle of Perseverance_ has 'gunnepowdyr brennynge In pypys in hys handes and in hys erys and in hys ars whanne he gothe to batayl'.61 Playing the devil clearly had immediate and practical dangers. In a Proven\u00e7al producer's text from the end of the fifteenth century there are detailed instructions on making a devil's fire-breathing mask: the actor was advised to carry goose quills full of a sulphurous inflammable liquid which he blew across a burning coal fixed inside the mask, much like modern fire-eaters.62\n\nOne particularly interesting effect which clearly fascinated medieval mask-makers can be glimpsed in the York Mercers' 1433 inventory: 'iii garmentes for iii deuells vi deuelles faces in iii Vesernes'.63 In the Bourges _Monstre_ of 1536, Lucifer, seated on top of Hellmouth and dressed in a bearskin each hair of which was spangled, _avoit un tymbre a deux museaux_ ('had a mask with two muzzles').64 It does not say where the two faces were in relation to each other, only that _il vomissoit sans cesse flammes de feu_ ('he spewed forth flames of fire without ceasing'). Double-faced masks can be produced with faces front and back (the easiest), facing left and right (making eye-holes difficult), or obliquely, sharing a pair of eyes. They can be very striking when static, and were used in disguisings and moralities to create stage emblems of various ambivalent or vigilant moral characteristics,65 but they depend on movement for their full effect. To have a devil turn its back but still be looking at you is profoundly unsettling, suggesting a malevolent and supernatural watchfulness.\n\nAlthough we have no contemporary pictures of a two-faced devil, multiple faces are common: many pictured devils bear extra faces on elbows, knees, bellies or arses, or beneath tails, thus combining monstrosity and perversion with comic humiliation of God's image in the human face.66 They also open a range of unsettling mimetic possibilities for a supple performer: supernumerary faces can 'talk' to each other, or even to members of the audience.67 Judging from art, however, the obvious pornographic possibilities do not seem to have been as much exploited as one might expect.68\n\nFIG. 10: Early Romanesque Devil Autun, 1120\u20131130\n\nWhere did the stage devil come from? There seems a powerful possibility that the mask, and probably the costume, of the play-devil was descended from the _larva_ and ragged or hairy costume of the early folk maskings. This is not a new suggestion: a whole generation of earlier writers on folk masking has made the same assertion \u2013 but like us, has failed to come up with any more convincing evidence than a strong impression.69 However, both linguistic and iconographic history is suggestive.70 Devils as we know them hardly appear in art until the eleventh century.71 Pre-Romanesque devils are angels that have been caught in a nuclear holocaust: winged, humanoid, but black and often shrivelled.72 Romanesque devils are still winged and scrawny, but the emphasis is now on their horrific _larvae_ , and they tend to be tufted with hair as well. The official art-historical explanation is that they are descended from the classical satyr;73 but this does not explain the _larvae_ , or why it should have been the satyr which was adopted at this date as a figure for the devil. If there already existed a popular hairy figure with whom the devil could be identified, it seems a more plausible model.74 It is quite possible that we have here a genuine influence of masking on art. (It is also interesting that in the stage directions in the twelfth-century Anglo-Norman _Jeu d'Adam_ , costumes are specified for everyone except Satan and the devils.75 It may be that already these were the only characters whose costumes were fully familiar.)\n\nFIG. 11: Pre-Romanesque Book of Kells Romanesque Winchester Psalter Gothic St Martin's, York\n\nFrom the Romanesque devil there develops the familiar 'Gothic' devil, hairy (often virtually indistinguishable from the wild man or woodwose), horned, fanged or taloned, and goggle-eyed. The devil from the St Martin window in St Martin Coneystreet, York, can serve as a general example of an English devil of the fifteenth century. He is more humanoid than animal-like, but he has animal features. He has even lost his wings. Such a devil is more easily transferred to the stage than the fantasy creatures of Bosch or Bruegel, and seems likely to come closest to a mystery devil-costume.\n\nIf we follow the folk-masking strand we can see a parallel change in identification. In themselves the costumes worn by the early maskers \u2013 the animal horns, hairy pelts, blackened faces, rags and tatters \u2013 are not necessarily diabolical: no more so than those of any nineteenth-century English folk play. But the choice of mask will finally determine how the amorphous figure is read. We do not know what the _monstra larvarum_ actually looked like, or how they differed from the _capita bestiarum:_ or indeed what, if anything, they were meant to represent. There have been conjectures enough, but all we really know is that they were frightening.76 At some point, possibly in the eleventh or twelfth century, they are perceived by clerical writers, if not necessarily by the participants themselves, as representing _daemones_ , by now classed as evil spirits. In the context of performance in church, liturgical or anarchic, the _daemon_ became a devil. By the later Middle Ages, maskers were explicitly identifying at least one type of carnival disguise as a devil costume:77\n\nI haue harde that a certayne man was slayne\n\nBeynge disgysed as a fowle fende horryble\n\nWhiche was anone caryed to hell payne\n\nBy suche a fende, which is nat impossible\n\nIt was his right it may be so credyble\n\nFor that whiche he caryed with hym away\n\nWas his vysage: and his owne leueray.78\n\nImages of the Schembart Carnival, for example, confirm that the participants are dressed up in what is by now distinctive devil attire. Moralists from Brant's _Ship of Fools_ onwards accuse carnival maskers of doing the devil's work in the devil's own clothes: 'under theyr deuyls clothynge as they go The deuylles workys for to commyt also.'79\n\nIf the devil of the mystery plays is, as it appears, related to, identified with, or descended from what had become a devil-figure of popular masking, this will condition the way in which the medieval audience apprehended them and their masks. It may also enable us to use some of the reactions towards the masking-game devil as a measure of the reactions towards devils in plays. Whether mystery-play devils deliberately imitated the figures of popular masking, pointedly turning the popular masks into the villains of the biblical narrative, or whether the costume was merely the obvious and accepted available convention for something non-human and frightening, we shall never know. Whatever the reason, it would have been a clever and shrewd move. People enjoyed masking, but it could get out of hand; wearing the same costume but to play the devil in a mystery play kept everything within bounds. One still clearly enjoyed playing the devil: plays like the Towneley _Doomsday_ with its protracted diabolical japing suggest that the audience were meant to enjoy it too. But the officially restrictive attitude to this kind of masking could be safely reversed: both theatrically and theologically the mystery devils have the curiously equivocal role of Evil willy-nilly playing the agent of Good. One may not have approved of them, but they were now placed and confined within the right moral and narrative structure.80\n\nCan we tell what effect such masked devils would have on the audience of a mystery play? The fact that they seem related to the devils of carnival masking does not necessarily mean that they would have the same impact: the context is crucial and the devil of the mystery play operates in a moral framework which would considerably alter his profile. However, some similarities seem to have been deliberately exploited. Richard Axton points out how the early devils of the _Jeu d'Adam_ seem to enjoy a special relationship with the audience, a freedom to roam through the open spaces _(per plateas)_ between the structures and to run in among the audience.\n\nRunning is their characteristic activity. The _demones_ are purveyors of entertainment as well as objects of doctrinal terror... always full of energy and hilarity, dancing with glee at the imprisonment of Adam and Eve, 'shouting to one another in their joy' \u2013 apparently _ex tempore_.81\n\nBehaviour like this is more discernible in the texts of moralities than of English mystery plays.82 But the script does not tell us everything: it would seem almost impossible for the devils especially of processional street plays not to set up a relationship with the audience. The various _Doomsday_ plays, particularly Towneley, do suggest such an interaction with the spectators, as does any play in which the devils come to take away their prey: 'Harrow, harrow, we com to town'.83 The 1615 van Alsloot painting of the _Triumph of Isabella_ gives a very good picture of how devils could be used as in processional performance as stitlers (crowd controllers), harassing 'shrewd boys' who got in the way with whips and 'squertes' [PLATE 21]. Similarly in the sixteenth century, Barnaby Googe's translation of _The Popishe Kingdome_ says of carnival maskers:\n\nPLATE 21: Devils with whips and squirts chasing 'shrewd boys'.\n\nDenis van Alsloot _The Triumph of Isabella_ (Brussels 1615), detail. Theatre Museum, Covent Garden (Victoria and Albert Museum). \u00a9 V&A Picture Library.\n\nPLATE 22: Maugis dresses in devil costume. _Renaud de Montauban_ (mid fifteenth century).\n\nParis: Biblioth\u00e8que de l'Arsenal MS 5072 fol. 28r. \u00a9 Biblioth\u00e8que de l'Arsenal\/Bridgeman Art Library.\n\nBut some againe the dreadfull shape of devils on them take  \nAnd chase such as they meete, and make poore boyes for feare to quake.84\n\nMystery devils appear to behave much like the devil of popular masking. As we have seen, the disguise of Carnival confers licence: the masker being unrecognised, cannot be held to account for what he does. The audience may well be used to seeing creatures dressed like this behaving like this, and to allowing them liberties which they would not accept from a normally-attired fellow citizen. The actors in devil-costume are representing creatures an essential part of whose nature is licence.\n\nBut while the devils may be enjoying themselves, _gaudentes et tripudiantes_ , one can, as many critics do, overemphasise their comic side.85 The belief that a personified devil will be merely comic seems a post-Reformation assumption. Although as Emigh points out 'playful indulgence in the demonic' is a feature of devilish masking in many cultures, allowing for 'a kind of jocular intimacy with the powers of destruction', that playfulness loses its point if the power of the evil spirit is not primary.86 The ambivalent interaction of humour and fear, delight and awe, is well expressed through the mask. The relationship of a masked devil with the audience will always have a sinister quality: it is something more than good-natured fun. As audiences of modern productions will know, a devil-costume is highly concealing: the suit and head form a totally enclosing carapace under which the actor completely disappears except for voice and possibly eyes. At most, you are aware that there is someone in there, but you cannot know who. A fifteenth-century illustration from the romance of M _augis d'Aigremont_ demonstrates the effect very well [PLATE 22]. Maugis is disguising himself as a devil in order to recapture the magic horse Bayard. On the left he is conspicuously a man dressed in a devil-suit: the cleric holds the headpiece. The costume is a dark and hairy, and the inside of the mouth fiery red; the teeth are white, with eyes, horns and flame-like hair picked out in gold. On the right, Maugis has put on the head and ceases to be a man dressed up: he has become a completely alien being.87 Any laughter generated by such a creature will be sharply spiced with terror.\n\nIn direct exchanges with the spectators the mystery devil can draw on the unsettling 'mumming' encounter of the masked with the unmasked. But with the masked person clearly defined within a Christian framework as a devil, the relationship becomes more decisively that of tormentor and victim. The mask and costume, with the bestial teeth and claws, emphasise the predatory intent and the alien unpredictability of the creature. If this devil decides to play with you, it is like a cat playing with a mouse: you cannot take the initiative but must accept the game-rules he establishes. There is undeniably a comic role. The devil's freedom to indulge in the forbidden, the grotesque, the excessive, and the trivial in language and action generates delight and laughter: but the laughter is always uneasy. In sermons, when we are invited to laugh at the devil, it is usually at his discomfiture: when he falls off a lady's train into the mud, or accidentally bangs his head on the wall.88 When such comic discomfiture happens on stage, the audience can laugh because they are safely insulated from the devil, usually triumphing through someone stronger than themselves: God, or Christ. Plays of the _Fall of Lucifer_ or the _Harrowing of Hell_ where Satan is worsted by his divine adversary, promote such laughter. But where the stage devils appropriate carnival behaviour the interaction is more dangerous. If the devil moves from the sphere of the dramatic narrative to play directly at you, you may laugh, but the laughter will remain nervous, as there is no longer a barrier between you. Even if you have invited his attention, he still has the advantage of inscrutability. If he is tormenting someone else, like the 'shrewd boys' in the _Isabella_ picture, the laughter is still potentially nervous, as he may turn on you next. All actors and many audiences know this is a powerful theatrical strategy. In the context of the mystery plays it could be harnessed for theological and spiritual ends.\n\nWhen the spectators are not directly involved in the action, but watching the devil manipulating characters safely on stage, what impression is created? Stage-devils are of necessity humanoid, and theologically the effect ought to be one of humanity warped. This may happen in some plays, notably the Falls of the Angels and of Man; but usually the carapace effect of the devil-suit and devil-head tends rather to emphasise the _otherness_ of the devil. He did and was meant to frighten. You do not suggest 'orebyll aray' unless you intend to produce horror. After the devil has gone quietly in to Pilate's Wife in N. _Town_ , she comes rushing out 'makyn a rewly noyse' and 'leke A mad woman', saying, 'Sethyn tyme \u00feat I was born Was I nevyr so sore a-gast'.89 In the York _Death of Mary_ , the Virgin prays especially that she shall not see the devil at her deathbed (as Hoccleve's dying man did, and as most medieval people expected to). Christ replies that he cannot grant her this:\n\nBut modir, \u00fee fende muste be nedis \u00feyne endyng  \nIn figoure full foule for to fere \u00fee.90\n\nIt is unlikely that such stage-characters were meant to be frightened, and the audience to remain unmoved. If there was laughter, it was likely to be the laughter of self-reassurance. To suggest, as Allardyce Nicoll does, that 'these devils, _for comic purposes_ , appeared \"in orebyll aray'\"91 is to oversimplify; horror films, which can also provoke laughter, are not simply comedies. Even in modern productions where the audience has a quite different spiritual context, fully costumed and masked devils seem to generate at least as much fear as they do laughter.\n\nThe alternative means of deforming the devil's face was apparently blacking-up. Technically this has much the same effect as masking. Painting the face any uniform colour flattens the features, erasing the small details of planes catching the light and changes of colour which give a face expression. It takes the face one step towards inscrutability. Black was also not the colour of face that a medieval Northern-European expected to see, and therefore must have given the initial shock of the unexpected.92 A human being with a blackened face would be both unnatural and unreadable. On a European face the blackening intensifies the whites (or yellows) and reds of the eyes, the red of the inside of the mouth and nostrils, and the white of the teeth by contrast, so that they become more vivid than normal. It also upsets the balance of colour and texture between face and hair, so that the hair, paradoxically, looks false.93\n\nBut the meaning of such a blackened face depends on its context. Accounts of past black-faced masking show that it could be read as impersonation of the dead (by the very early maskers); as _sordidatio... faciei_ (dirtying the face) by the disapproving Church (and incidentally by the later folk play, which calls one of its characters 'Dirty Bet'); as ambassadors from some exotic land, 'Moreskoes' or 'nygrost or blacke Mores', in the court maskings.94 If the figure is a devil, it will communicate menace or moral blackness. If it is a damned soul, however, as in the blackened faces of the Coventry _Doomsday_ , the blackness becomes a shocking human disfigurement, as of the badly burned we hope only to see on safety posters. It is something which both is and is not ourselves. As a damned soul it may also convey a sense of pathos and helplessness, possibly because unlike a fixed mask it is halfway between impassivity and communication. The mask worn by the devil can, as we saw, affect spectators differently in different dramatic and social contexts. The blackened face is a very good example of overlap and difference, the flow of convention from one activity to another, and the complexity with which such a sign can be interpreted.\n\nHumans\n\nIn the English mystery plays a few, notably wicked, human characters also appear to wear masks or face-paint. Evidence is too sparse to be sure how far this extended, and whether these masks were surviving traces of fully masked 'miracles', or of earlier processional characters.95 We find that on some occasions Herod and the Tormentors were masked, although not apparently Annas, Caiaphas, or Pilate. There is no information about Cain, Pharaoh, Antichrist, or the other sub-demonic figures. In fact far too little information survives altogether about human characters in the plays, and it may well be that because Chester and Coventry both happen to provide Herods, his part in this masking has assumed an undue prominence.\n\nHowever, a striking amount of attention is paid to Herod's _face_ or _viser_. The Coventry Smiths, who played the _Passion_ , paid in 1477 'for peyntyng... Herodes face' and in 1516 'for peyntyng & mendyng of herodes heed'. Similar entries appear for 1547, 1554, and possibly 1508, where the item is 'for colour and coloryng of Arade'.96 (A reference in the Beverley records to 'black Herod' may imply that there he was painted black.)97 In Coventry in 1499 it would seem that not only Herod was made up or masked: 'Item paid to the paynter ffor peyntyng of ther fasses'. Much the same entry appears in 1502, and in 1548, where it is 'payd to the paynter for payntyng the players facys'.98 It is not specified how many players were painted; but the Chester Shoemakers in 1550, for their extended play which seems to have taken in most of the Passion, paid 'for geyldeng of godes ffase & ffor payntyng of the geylers ffases xijd' (the 'geylers' were 'the geyler' and 'the geylers man': Annas and Caiaphas appear in the cast list, but not Herod). In 1558 the Shoemakers 'payd ffor mendeng the tormentors heydes', which could refer either to wigs or masks.99\n\nPLATE 23: Grotesque helmet presented to Henry VIII by the Emperor Maximilian. The spectacles are a later addition. Royal Armouries, Leeds: IV 22.\n\n\u00a9 The Board of Trustees of the Armouries.\n\nThe presumption is that the Tormentors and Herod were masked or painted in order to make them look sub-demonic. There is no verbal evidence for this, but some pictorial: the Holkham Bible Picture Book, for example, makes its tormentors snub-nosed, pock-marked, and bestial-looking. A window from Norwich shows a gaoler apparently wearing a mask with a pig's face, snout, gappy teeth, and all.100 Herod himself is frequently linked with the devil, both in the play texts and by commentators. A sermon of Leo I observes that the devil, having influenced Herod at the Slaughter of the Innocents, now imitates him; and this was slightly misquoted in the widely influential _Catena aurea_ of Thomas Aquinas as _Herodes etiam diaboli personam gerit_ ('Herod, indeed, wears the mask of the devil').101 This suggests a commonly held attitude that would coincide well with either a grotesque mask or black face-paint. The Coventry Herod also had a 'Creste'.102 If this crest, which had 'plates of iron', gold foil and silver foil, was part of a helmet, it is marginally possible that the face was in actual fact a helmet visor, such as we have seen in the grotesque or characterised mask-visors of sixteenth-century tournament games.103 Herod's ostentatiously irascible character and his predilection for sword-flourishing would suit such a grotesque helmet: but we shall probably never know if he wore one.\n\nPutting human characters in masks clearly involves different problems and effects from the masks of devils. Since devils, like God, clearly belong to a different order of being, it seems neither surprising nor disconcerting that their non-human quality should be demonstrated in masks. But Herod and the gaolers, being human, offer a different case. A mask will inevitably set the wearer apart from the unmasked players. The interactions of a mobile human face with a static mask or inexpressive face-paint, whether grotesque or naturalistic, tend to produce striking and often sinister effects. If Herod and the tormentors are so distinguished, they are apparently given a different status from the other characters. The difficulty is compounded by uncertainty about what the masks actually looked like. Although probably bestial or devilish, we do not know quite how extreme they were. If they are devils' faces, then a diabolic nature is imposed on all the wearer's words and behaviour. Gaolers in masks like this could not play the role of excusably ignorant humanity that the tormentors of some Passion plays are thought to carry.104 Yet if the masks are almost human, they may combine even more oddly with the unmasked faces of the other characters.\n\nOne of the chief difficulties in estimating effects is the lack of correlation between existing texts, and the references to masks in the records. Even when references appear to be approximately contemporary with the play manuscripts, we can never be wholly certain how the surviving text relates to the masks mentioned in the Guild accounts. However, it seems vital to look at those play texts where it appears likely that masks were worn, for this is our only means of speculating about the effects.\n\nOne of the few examples of play-text-plus-reference is the Chester Coopers' pageant of the _Trial and Flagellation_ , where 'Arrates vysar' was mended in 1574.105 There are no references to masks for the other characters. The surviving text of the Chester Coopers' pageant is interesting, even puzzling, if we approach it assuming that its Herod was masked. He has a far less pronounced ranting manner than in many other Herod plays, and is consequently far less overtly associated with the forces of evil. On the whole he appears relatively controlled, and even fairly reasonable in his interrogation of Christ. The only indication of the traditional devilish ranting is the one line 'Alas! I am nigh wood for woo'.106 Apart from this his general manner is one of suave politeness:\n\nA! Welcome, Jesu, verament!...\n\nI pray thee, say nowe to mee,\n\nand prove some of thy postie,\n\nand mych the gladder would I bee...\n\nfor Pilate shall not, by my hood,\n\ndo the non amys.107\n\nIf Herod is wearing a devilish mask then this moderately reasonable tone is presumably transformed into a sadistically ironic game, as the courtesy of the words is belied by the evil of the face. Yet there is no indication in the lines themselves that this is intended. Pilate, for whom there is no record of a mask, is similarly reasonable, and the mildness of his approach does not seem to be intended cynically. Yet if Herod is wearing a mask, and Pilate is not, then the apparent similarity of their attitudes would be transformed on stage into a striking contrast.\n\nInterestingly Annas and Caiaphas, who from the records do not appear to be masked, are far more aggressive, ranting, and 'devilish' in manner than Herod. If indeed Herod alone wore a mask in this version of the play, then it does appear to have been used for deliberate, and quite subtle, theatrical purposes. If this mask is a grotesque or demonic one, then it noticeably alters the effect of his part as it is written; if not, it is hard to see quite why he should be wearing it at all. One possible technical reason may be that in this play Pilate and Herod were doubled, which would require an extremely quick change: the 1571 expenses read 'payde for the carynge of pylates clothes vjd', the 1574 'paied vnto pylat and to him that caried arrates clothes & for there gloves vjs vjd'.108 'Arrates vysar' would thus be a helpful disguise for the doubling; but any such practical purpose would make no difference to the theatrical effect of the mask.\n\nThe Chester Shepherds seem to be the only potential exception to the general evidence that masks or make-up on ordinary people denote evil or disfigurement. But this depends on the interpretation of the 1571\/2 record entry 'Item for payntes to bone the pleares'.109 If 'to bone the pleares' means 'to make up the actors' the shepherds may have painted faces. The Coopers' accounts of 1574 use the word _bowninge_ with its opposite _unbowninge_ in the general sense of 'get ready', but is not sufficiently precise to allow deductions.110 In the script we have at least two of the players are bearded, Joseph conspicuously:\n\nHis beard is like a buske of bryers\n\nwith a pound of heares about his mouth and more.111\n\nThe 1575 accounts show that they paid 'for the hayare of the ij bardes and trowes cape': the 'payntes' may therefore have been for making Joseph and _Primus Pastor_ up as old men.112 But the record evidence is altogether too scanty and random to judge.\n\nGod and the Angels\n\nAt the opposite end of the scale come the heavenly characters: God and the angels.113 Traditionally, God is masked or painted in gold. Besides God's _larua aurata_ ('gilded mask') in the York _Creed Play_ , we also have the York Mercers' 1433 'Array for God... a diademe with a veserne gilted', and the Chester Smiths', and Cordwainers' 'for gildinge of Gods face'.114 The mask, or the gilded face, is clearly an emblem of divine radiance: God revealed in His Godhead. 'His countenance was as the sun shineth in his strength' says Revelation 1: 16, while Peter in the York _Transfiguration_ play, echoing Matthew 17: 2 _resplenduit facies eius sicut sol, vestimenta autem eius facta sunt alba ut nix_ , says:\n\nHis clothyng is white as snowe,\n\nHis face schynes as \u00fee sonne.115\n\nThe Transfiguration was clearly a spectacular transformation scene. In the 1501 _Passion_ of Jean Michel at Mons, Jesus goes 'into' Mount Thabor and comes out again with _une face et les mains toutes d'or bruny Et ung gran soleil a rays brunys par derriere_ ('a face and hands all of burnished gold and a great sun with burnished rays behind').116 _Une face_ presumably means a mask, as there would hardly be time to gild his face or to restore him to normal afterwards; presumably _les mains_ are gilded kid gloves. At Revello this effect was enhanced by reflecting light from a polished basin onto the face of the transfigured Christ.117 There would certainly be time in the York _Transfiguration_ play for a similar change.\n\nThe Mons _Passion_ also painted the angel Raphael's face red for the Resurrection scene, so as to represent the Gospel _Erat aspectus eius sicut fulgur_ ('His face was like lightning': Matthew 28: 3): _Nota d'ycy advertir ung paintre de aller en Paradis pour poindre rouge la face de Raphael_ ('Remember to warn the painter here to go to Paradise to paint Raphael's face red').118 There is no evidence from the Coventry _Resurrection_ accounts (the only full ones we have) that English angels were painted like this. But the thirteenth-century Ingeborg Psalter shows the Angel at the sepulchre with a face similarly painted red; it also shows Christ at the Transfiguration with a gilded face.119 One or two stage directions in the liturgical drama show attempts to produce the same effect using a red veil: the (undated) Narbonne _Visit to the Sepulchre_ printed by Young gives the direction:\n\nQuibus dictis, sint duo pueri super altare, induti albis et amictibus cum stolis violatis et sindone rubea in facies eorum et alis in humeris, qui dicant Quem quaeritis in sepulchro...120\n\nThese words having been said, let there be two boys above the altar dressed in albs and amices, with violet stoles, and red muslin over their\n\nfaces and wings on their shoulders, who are to say, 'Whom do you seek in the sepulchre...?'\n\nAnother _Quem Quaeritis_ from an unidentified French monastery of the thirteenth century, although ambiguous, seems to specify a similar effect:\n\n... duo pueri stantes iuxta altare, unus a dexteris, alius a sinistris, albis induti, rubicundis amictis capitibus et vultis coopertis, cantando dicant versum Quem quaeritis in sepulchro, o Christicole?121\n\n... two boys standing near the altar, one at the right one at the left, dressed in albs, their heads and faces covered with red amices [or with red amices on their heads and their faces covered] who shall sing this verse, 'Whom do you seek in the sepulchre, o dwellers in Christ?'\n\nMasks and painted and veiled faces are used to replicate biblical texts literally, in the same way as the Psalter artist.\n\nThese instances all address moments of transformation or apparition. But the gilding, or silvering, of faces is also used to signify divine radiance as a permanent characteristic. At Henry V's triumphal entry into the City of London after Agincourt, he was greeted at London Bridge by:\n\n... innumerosi pueri representantes ierarchiam angelicam, vestitu candido, vultibus rutilante auro, alis inter-lucentibus et crinibus virgineis consertis laureolis preciosis.122\n\n... innumerable boys representing the hierarchy of the angels, clad in pure white, their faces glittering with gold, their wings gleaming, and their youthful locks entwined with costly sprays of laurel.\n\nAn earlier pageant, for the Reconciliation of Richard II with the City of London in 1392, presented God the Father seated above the hierarchies of the angels:\n\nSupra sedebat eos iuvenis quasi sit Deus ipse:\n\nLux radiosa sibi solis ad instar inest.\n\nFlammigerum vultum gerit hic niveas quoque vestes,\n\nSupra ierarchias ille sedet celicas.123\n\nAbove them [the angels] was sitting a young man representing God himself: a radiant light, in appearance like the sun, was his. He bore a blazing face and snow-white robes: he sat above the heavenly hierarchies.\n\nThe angels also had glittering faces: _Sicque micant facies iuvenum tam in hiis quam in illis_ ('Thus the faces of the young men sparkled, both these and those'). Painting and gilding seems accepted as representing the permanent state of transcendence.\n\nThe gold-faced God is an aspect of medieval theatre that is rarely questioned, but it is not clear where the idea of gilded masks came from. Apart from the two red-veiled angels in the liturgical pieces, it does not seem to have been an effect of the liturgical drama, where God rarely appears in _propria persona_. When He does, attempts to convey divine radiance usually give Him a crown; just as the radiance of the angels at the Resurrection can also be symbolically represented by carrying a candelabrum.124 We do not know what God may have worn in the early masked 'miracles'. There is sufficient evidence in (mostly fifteenth-century) art to show that a golden face was one of the ways in which painters and glaziers showed the divinity of God: but not enough to show that the plays must have copied the art (or, as M.D. Anderson suggests, vice versa).125 It is possible that the figure is a direct representation of the sun-shining face in the first chapter of the Book of Revelation: Gordon Kipling suggests that the shining faces of the street pageants of Royal Entries were elements of an Advent pattern suggesting the Second Coming, but in the mysteries the image is more generalised.126\n\nPerhaps the mystery plays simply re-invented a convention that seems natural to the religious drama of other cultures, that of masking its divinities to mark them out from ordinary human beings. The use of God-masks is a widespread phenomenon throughout the world, and one that seems extremely powerful in religious drama, as well as religious rituals.127 There is clearly something about a masked face that conveys a sense of 'human-like but more than human' that is particularly appropriate to the representation of anthropomorphic divinities of all sorts, as the use of God-masks in cultures as diverse as North and South American, African, and Asian demonstrates. So close is the connection between the presentation of God and the use of masks that in many societies the mask itself, at least as used in rituals, embodies or becomes the deity rather than representing it.128 It may be this apparently deep-rooted sense of appropriateness that makes the use of the golden mask for God the Father in the mysteries seem so acceptable. For God in Heaven to have a golden face or mask is both impressive and natural, since he is clearly separate from and above mankind. The mask's inscrutability is translated as a sign of God's impassibility and omniscience; the necessary deliberation of the actor's movements conveys authority.\n\nIt can also generate a surprisingly powerful theological force. The Chester Banns remark how the distractingly human personality of the actor is abolished by the mask leaving only the voice, which can be perceived as the creative Word. The strongest and most unexpected theological effect of recent experiments in masked production has been the illumination of the concept of the Trinity. Late medieval artists were much exercised over how to represent a God who is both Three and One. Their solutions ranged from the geometrical (the so-called 'Arms of the Trinity') to the anthropomorphic (the Three Persons as three humans, either identical in appearance or varying according to our different experience of each). Unusually in the mystery plays, the N. Town M _ary Play_ follows this last strategy, calling for the Three Persons of the Trinity to be onstage at the same time for the Parliament of Heaven. It is possible to emphasise difference, presenting them as the familiar Economic Trinity, Father as the Ancient of Days, Son as the Christ, and the Holy Spirit as a youthful version of the Son.129 But another route, taken in a recent production, is to dress and mask three actors identically.130 The masks confer instant anonymity: heaven, already full of unrecognisable masked angels, suddenly focused upon three identical persons, remote, hieratic, and golden, enthroned side by side. Not only were the three indistinguishable, but the masks made it impossible, when they spoke, to tell from which actor the voice was coming. They appeared to be speaking as one, but with individual voices. In the debate, each speaker's gestures drew the audience's attention (an almost ventriloquial effect),131 but at rest, the effect returned. There could not have been a better demonstration of '\u00feis is \u00fee assent of oure Vnyt\u00e9'.132\n\nThe Parliament of Heaven takes place on a cosmic level, in which all the characters are embodiments of spiritual beings or abstractions. The masking effect may be complicated when God descends and interacts directly with men: with Noah, or with Adam and Eve as the Father with (possibly gilded) 'face and heare' does in the Norwich Grocers' _Creation_ play. Yet the use of a mask in such situation could add immeasurably to the power of the scene. The masked actor moving among unmasked figures automatically gains an authority and a mystery which is wholly appropriate for the divine\/human relationship. In fact a mask moving among open faces can create an impression of divinity on stage without any help from the words that are spoken.\n\nModern audiences still find it easy to accept the rationale behind this use of the mask. But a number of English mystery plays would seem to go further. In Chester the annual gilding of 'God's' face that we see in the Smiths' and twice in the Cordwainers' accounts is not for Christ in his Divinity, but Christ in his Manhood. The Cordwainers' play was _Simon the Leper and the Entry into Jerusalem_ , though in the 1550s this was extended into a Passion play involving Annas, Caiaphas, and the Tormentors; the Smiths' 'litle God' is the child Jesus of the _Purification and Doctors_ play.133 Lynette Muir points out that the gilding or masking of Jesus in his Manhood appears to be an English phenomenon, though it is not clear why this should be.134 It is clearly linked to the plays' incarnational theology and the increasing fifteenth-century impulse to 'formulate concrete images' of the theological and spiritual.135 Theatrically, though, it raises complex questions about what happens on stage, and especially about audience reception.\n\nIt could be argued that the Chester 'litle God' was only gilded for the Midsummer Watch, when he rode out with the two Doctors as part of the Smiths' show. Some of the record entries might support this: for example, the 1564 entry reads, 'for Guilding of Gods face' but the accounts are headed 'midsomer euen'. In 1568 the entry is included in playing expenses for the whole year, but definitely states that it is 'for gyldyng Gods face on midsomer euen', which might suggest that it was not gilded at Whitsun. But the evidence is complicated by the fact that, as Clopper points out, the performance schedule in the 1560s and 1570s was very erratic. Many entries for the gilding of God at Midsummer relate to years when the plays were not performed. In some years, however, the item appears with what are clearly expenses for the play, as in 1571 where it is preceded by 'for breckfast on Twesday morning 8s'.136 The same applies to the much sparser evidence for the Shoemakers' Christ of the Passion. In 1561 they paid 'for the gyldynge of godes fase on medsomar heue iijs' (three times as expensive as for gilding Little God), but there are no separate play expenses. However, eleven years earlier the item 'ffor geyldeng of godes ffase & ffor peyntyng of the geylers ffases xijd' appears among what are definitely play expenses.137 It would certainly suit modern sensibilities more if the gilded God only rode in procession, while a human-faced Christ was left to act in the plays. But the question would remain of how the processional God came to be gilded in the first place; and since the characters in the procession appear to be taken from the plays, the likeliest conclusion is that the play characters were either gilded or masked in gold. It is unfortunate that our fullest records come from late in the sixteenth century when uneasiness may have been developing about 'a face gilt'.\n\nHowever, the very terminology of the accounts gives a clue as to the approach to the figure of Christ. He is called 'God': the child Jesus is called 'little God'. So is the Christ of the Coventry Smiths' _Passion_ play: 'imprimis to God ijs'. Sharp observes this, remarking of the name 'God', 'or as it is more properly expressed Jesus'.138 Of the nine references to the character in the accounts, only one is to 'Jesus', and that in the convenient, almost automatic abbreviation _Ihe:_ the other eight are to 'God'. The Coventry Cappers' accounts for their _Harrowing and Resurrection_ play read:\n\npayd to god xxd\n\npaide to the sprytt of god xvjd.139\n\n'God' is Christ; 'the sprytt of God' is the Anima Christi who harrows Hell while his body lies in the grave. The accounts suggest that it is the divine rather than the human that is perceived as uppermost in the role.\n\nThis seems to be borne out in the visual style. The God in the Coventry Smiths' Passion play wore a garment made of 'vj skynnys of whitleder' (1452); this was renewed in 1498, and the entry reads 'for sowyng of gods kote of leddur and for makyng of the hands to the same kote'.140 The word 'kote' suggests something close-fitting, like a body-suit with, apparently, gloves to match. It was worn not as far as we know with a gold mask but a 'cheverel gyld' (1490), which seems to have been an alternative way of showing divinity.141 A mid-fifteenth-century inventory from Dundee, although for a procession rather than a play, records 'cristis cott of lethyr with ye hooiss & glufis cristis hed'.142 Modern audiences tend to assume that the stripping of Christ suggests the pathos and vulnerability of human nakedness: this effect will be much modified and complicated if he is stripped to a 'kote of leddur' and a gold wig.143 The script of Chester gives no verbal clue that the Christ of the Passion plays had a gilded face, but in the Towneley _Scourging_ the Secundus Tortor says, 'I shall spytt in his face, though it be fare-shynyng', while in the _Talents_ , Primus Tortor says:\n\nPLATE 24: 'Little God' (Matthew Lamb) with gilded face, from the Chester _Purification and Doctors_. Joculatores Lancastrienses, 1983.\n\n\u00a9 Meg Twycross.\n\nAt Caluery when he hanged was\n\nI spuyd and spyt right in his face\n\nWhen that it shoyn as any glas.144\n\nIt would seem that for the medieval playwright and costume-maker Christ must show his Divinity even in the most humiliating moments of his life in the flesh.\n\nTo modern audiences such a theatrical language may seem, at least initially, difficult, distancing, or incoherent; but it is clear that it could increase the complex expressiveness of these plays. A major element in the Passion plays is the intensity of Christ's human suffering, with its undoubtedly moving affective purpose of provoking the audience's human response. Yet it is not impossible that such a response to vulnerable human distress should be directly combined with a recognition of divine glory. Playwrights may have deliberately emphasised the spiritual implications of what may now seem an unsettling conflict of theatrical signs.\n\nWe can examine some of the possible implications through those texts in which the figure of Christ in his Humanity, rather than God the Father, probably wore a golden mask or a gilded face. We have a text for the Chester Smiths' _Purification_ pageant, which includes the episode of the child Christ with the Doctors in the Temple. We cannot tell if this was the precise form of the play in which 'litle God' wore a gilded face, but there is no reason to think it was not similar. Given the subject matter of the play, it would be easy to assume from the script alone that its effect relied heavily on the endearing quality of the child on stage among adults, the little boy who triggers the spectators' protective feelings and astonishes with his cleverness. But it seems that the gold face, apart from setting the little Christ off from the unmasked characters, reduces this purely affective response. When the child Christ has been gilded in modern production there was certainly far less emphasis on the charm of a 'little boy among grown-ups'. The gilding obliterated the softness and vulnerability of the child's skin, and set him apart as unearthly, disconcerting [PLATE 24]. This is supported by the very formal quality of Christ's speaking part in the text. His words are cool and doctrinal rather than tender and human. He confounds the Doctors by statement rather than by argument: he is what he is, the gold face affirming his authority. Even with his Mother at the end of the play he is detached and formal \u2013 the emotion at the reunion is expressed by Joseph and Mary. This is not to say that the impact of the child actor is lost. The child's voice and presence remain beneath the divine gilding, producing a curiously contradictory effect which makes the audience simultaneously, and rightly, aware of both God and man.\n\nThe interaction between the Doctors and the little God is also revealing. Since the Doctors never mention the golden face, it presumably represents divinity to the audience only, not to the other characters. At first the Doctors treat the gold-faced child with a patronising irreverence that suggests that they see nothing special about him at all. But since the audience can see the shining face, their recognition of the incomprehension and misjudgement of the Doctors must be acutely sharpened. Although the Doctors appear oblivious, what the spectators see is the face of God being mistreated. As the play progresses the Doctors become increasingly aware of Christ's divinity, and as this happens their response to him becomes increasingly reverent. By the end of the play the golden face of Christ seems quite appropriate for the language in which they describe him:\n\nSyr, this child of mycle price\n\nwhich is yonge and tender of age,\n\nI hould hym sent from the high justice\n\nTo wynne agayne our heritage.145\n\nWhile at the beginning of the play Christ's golden face and the brisk humanity of the Doctors are working at quite different levels, and indeed at cross purposes, by the end of the play the two have come together into a harmonious expression of Godhead.\n\nAll this supports the suggestion that in spite of the powerfully affective emphasis of parts of the mystery cycles the role of Christ was not performed with the unmixed human naturalism that might imply. His human nature is stressed, and the human responses prompted by his life and suffering are fully exploited in the plays in the emotive manner of late medieval affective piety. Versions of masks are even recorded to enhance this effect: a Proven\u00e7al manual describes an iron head-covering for Christ overlaid with blood-soaked sponges beneath his wig, to create spectacular suffering at the crowning with thorns.146 But there is at the same time a much more overt reminder of his divine quality than modern audiences tend to realise. This mirrors, at the level of religious significance, a dominant aspect of the mysteries' theatrical language: the fact that radically different styles of presentation, ranging from the most intimately naturalistic to the most formally heightened, coexist and are combined in the same drama. In the Smiths' play the golden face and stylisation of Christ interact with the mundane emotions of the Doctors, Mary, and Joseph, as well as with the touching humanity of the child actor himself. The two are similarly combined in the figure of Mary. All the while that she is pursuing her lost child and expressing very ordinary maternal anxiety over her son she is, according to the guild records, wearing a crown.147\n\nSuch a complexity of signs requires a complexity of response that modern audiences may find difficult. Modern productions tend to simplify the visual language. The highly influential National Theatre productions of the _Mysteries_ in London in the 1980s abandoned almost all heightened formality of visual style, emphasising the humanity of the actors and reducing the plays to a powerful statement of social and communal unity. Those directors who do experiment with medieval iconographic techniques can fear that audiences will be unable to read the performance. But to ignore or omit such visual stylisation is to simplify the statement that the plays are making. The gold masks, like the crowns, wigs, and leather cotes, may appear to work against the powerful human involvement the plays evoke. But they are equally important, providing a constant visual reminder of the Christian divinity-in-humanity that the mysteries celebrate.148\n\nThe complexity of these theatrical issues is well illustrated in the final example of a play text associated with a record of a God mask: the York Mercers' _Doomsday_ pageant. The Mercers' 1433 indenture describing God's masked costume plainly predates the late-fifteenth-century play text, creating the usual difficulties of interpretation. But it does show that in the early fifteenth century a version of _Doomsday_ was played in which a gold-masked Christ descended in Judgement. A consideration of the text which survives may suggest something of the effect that was created. It is significant that this is a _Doomsday_ pageant, as the Judgement Day plays deliberately present a coming-together of Christ's humanity and his divine judgement. The York play demonstrates this particularly clearly.\n\nThe 'God' or _Deus_ of the pageant-text appears to be a single figure incorporating all the divine and human aspects of the Godhead \u2013 he does not appear from the text to be divided into separate characters to represent the Father and the Son. He first speaks as the Father, describing how he sent his Son to be incarnated on earth, then descends as Christ to judge, and to invoke man's gratitude and repentance by showing his bleeding wounds. The indenture too records only one costume for 'God', and it is a costume which itself combines the attributes of the divine and the human: 'Array for god that ys to say a Sirke wounded a diademe With a veserne gilted'.149 The glory of God in majesty is presented in the mask and 'diademe', the humanity of Christ in the wounded 'Sirke'. We cannot tell if the 'Sirke' was ample and therefore a stylised representation of the wounds, but it was more probably the close-fitting leather type which would come closer to an imitation of Christ's actual wounded body. Either way the combination of the golden face with the bleeding wounds must have been very striking.\n\nThe _Doomsday_ play as a whole is very formal in structure, with stately exchanges of speeches in Heaven, the stylised balance of Good and Bad Souls (themselves masked), and the pageantry of the descent and ascent of God. The formal distancing of the gold mask, particularly when God is in Heaven, therefore seems natural and appropriate. But when Christ descends and speaks to mankind the effect is more complex. He addresses an emotive complaint apparently directly to the audience, that parallels the complaint from the Cross at the Crucifixion. This loving reproach, first spoken from the Cross, has been repeated numerous times in the following plays until it has built up a surprising level of intensity of which the _Doomsday_ play is the climax. One problem with assessing the effect of this climactic repetition is that we do not know how Christ was presented in the Crucifixion plays. It is quite probable, as we have suggested, that he did not appear naturalistically naked and unadorned: but there is no direct evidence that the Christ of the York _Crucifixion_ was masked, or had a wig or halo. There are therefore two distinct strands of possibility in interpreting the _Doomsday_ play.\n\nIf the Christ of the York _Crucifixion_ is, as has usually been assumed, visually fairly naturalistic, then the complaint from the Cross is first spoken from a context of relatively realistic humanity. The Mercers' _Doomsday_ pageant would therefore replay the human agony of the Crucifixion with the added dimension of triumphant majesty represented by the diadem and the gold mask. The complaint reinforces the 'Sirke wounded', the golden face asserts God's majesty. The contrast between them would be made even more powerful by the tone and content of the speech. As usual it is profoundly and directly emotional, seeking to raise feelings of love, guilt, gratitude and suffering in the audience:\n\nBeholdis both body, bak & side,\n\nHow dere I bought youre brotherhede...\n\nBehalde mankynde, this ilke is I\n\nthat for the suffered swilke mischeue.150\n\nSuch a speech implies that the stylising and distancing effect of the mask does not prevent, or perhaps even reduce involved emotional response. Yet on the other hand, this complaint spoken with a mask at Doomsday is clearly going to be very different from the same complaint spoken without a mask at the Crucifixion. Perhaps the effect would be to focus the powerful human emotions of the audience, which were provoked by the suffering man they saw at the Crucifixion, on God himself in his glory in Heaven.\n\nBut the Christ of the Crucifixion plays may not have been played in this way. An analogy from the Coventry records offers a very different picture. In the Drapers' _Doomsday_ , God wears a 'cote' of leather and three yards of red sendal. But the Smiths' extended Passion play also has Christ in a leather coat with hands, and a gilded wig, for the Scourging and the Crucifixion.151 If the York cycle used similar visual conventions, then it looks as if the effects we have associated with masks are not used simply for contrast with more naturalistic modes, but are central to the whole method of the plays. The formal splendour of _Doomsday's_ gold mask would not form a contrast to an image of a naturalistically suffering Christ from the _Crucifixion_ plays. The combination of radiant stylisation and human realism would be present right through the cycle, with Christ on the Cross demanding the same mixture of involved and distanced response as Christ at Doomsday. Problematical as this may seem, it might well provoke the blend of human emotion and divine awe that the plays seek to inspire, lifting them beyond the simply affective and human to something more complex and profound.\n\nIf this is so then perhaps the masks actually stimulate the effect advocated by Pauper in his defence of images \u2013 that men must not worship the image itself, but the God that it represents:\n\nMake thin pylgrimage nought to the ymage ne for the ymage, for it may nought helpen the, but to hym and for hym that the ymage representy3t (to) the.152\n\nIn its non-naturalism the mask may help to evoke this proper response to the image of God presented in the drama. By combining the emotive humanity of Christ with the mysterious splendour of the golden face the plays express in their theatrical style the religious understanding they wish to create in their audience.\n\nNotes\n\n1 We discuss masking or mask-substitutes in liturgical drama below at 221\u20133.\n\n2 Absolon in Chaucer's _Miller's Tale_ is a parish clerk, and an enthusiastic amateur actor.\n\n3 The London play from 1384\u20131410 at Skinner's Well outside the city walls is an example. Perhaps the twelfth-century Anglo-Norman _Jeu d'Adam_ is also an early clerk play.\n\n4 Chambers _Medieval Stage_ 2: 339.\n\n5 See Allardyce Nicoll _Masks Mimes and Miracles_ (London: Harrap, 1931) 164\u20135. His eclectic evidence is occasionally distorted, but his conclusions have been highly influential.\n\n6 William of Wadington _Manuel des pechiez_ in _Robert of Brunne's Handlyng synne... with... William of Wadington's 'Manuel des pechiez'_ edited Frederick J. Furnivall _EETS OS 119_ and _123_ (1901\u2013[03]) 1: lines 4292\u20137. On 'miracles' see G.R. Owst _Literature and Pulpit in Medieval England_ (Oxford: Blackwell, 1961) 480\u20135; Rosemary Woolf _The English Mystery Plays_ (London: Routledge and Kegan Paul, 1972) 35\u20136.\n\n7 See chapter 2 on 'Early Masking' 40.\n\n8 St John's College, Cambridge, MS G 30, fol. 38r. We are grateful to Nicholas Davis for this reference.\n\n9 See chapter 12 on 'Materials and Methods' 316\u201318, 'Terminology' 330\u201332.\n\n10 John Bromyard _Summa praedicantium_ (Nuremberg: Koberger, 1485) fol. cxv. Bromyard is discussing devils here, but does not suggest that only devils wear masks.\n\n11 It seems unlikely that a fully masked outdoor religious theatre should shed some of its masks; the tenor of this kind of theatre in other cultures suggests that masking would remain an integral part of the tradition. If it were the case, it would suggest a greater divide than we expect between the _miracles_ and mystery plays.\n\n12 _Records of Early English Drama: Coventry_ edited R.W. Ingram (University of Toronto Press, 1981): Smiths, 59, 74, 84, 93, 111, 177, 200 (dates 1477, 1490, 1495, 1499, 1516, 1547, 1554); Drapers, 220, 278, 464, 468, 474 (dates, 1562, 1576 and various years undated). See also R.W. Ingram, '\"To find the players and all that longeth therto\": Notes on the Production of Medieval Drama at Coventry' in _The Elizabethan Theatre 5_ edited G.R. Hibbard (London: Macmillan, 1975) 36\u20137; and Thomas Sharp _A Dissertation on the Pageants or Dramatic Mysteries Anciently Performed at Coventry_ (Coventry: Merridew, 1825) 28, 31, 69, 70.\n\n13 _REED: York_ 55.\n\n14 R.M. Lumiansky and David Mills _The Chester Mystery Cycle: Essays and Documents_ (Chapel Hill and London: University of North Carolina Press, 1983) 190, 192; for the text of the Banns, 285\u201395.\n\n15 _REED: Chester_ 247.\n\n16 Emigh _Masked Performance_ 14.\n\n17 See for example Clifford Davidson, '\"The Devil's Guts\": Allegations of Superstition and Fraud in Religious Drama and Art during the Reformation' in _Iconoclasm vs. Art and Drama_ edited Clifford Davidson and Ann Eljenholm Nichols (Kalamazoo: Western Michigan University, 1989) 92\u2013144.\n\n18 See W.R. Jones 'Lollards and Images: the Defense of Religious Art in Later Medieval England' _Journal of the History of Ideas 34_ (1973) 27\u201350.\n\n19 See Gail McMurray Gibson _The Theater of Devotion: East Anglian Drama and Society in the Late Middle Ages_ (University of Chicago Press, 1989) 1\u201318, chapter on '15th Century Culture and the Incarnational Aesthetic'. The possibly Lollard _Tretise of miraclis pleyinge_ objects to the acting of religious drama in general, 'for whoevere so doth, he errith in the byleve, reversith Christ and scornyth God', but this is not a major theme: _English Wyclyffite Writings_ edited Anne Hudson (Cambridge University Press, 1978) 97. See however the satirical lyric against the Friars and their plays, 'On the Minorites', in _Historical Poems of the XIVth and XVth Centuries_ edited Rossell Hope Robbins (New York: Columbia University Press, 1959) 163\u20134, no. 66.\n\n20 John Bale _God's Promises, The Three Laws, The Temptation of Our Lord_ , all in _The Complete Plays of John Bale_ edited Peter Happ\u00e9, 2 vols (Cambridge: Brewer, 1985\u20136) vol. 2.\n\n21 _The Resurrection of Our Lord_ edited J. Dover Wilson and Bertram Dobell (Malone Society Reprints; London: Malone Society, 1913), also known as _Christ's Resurrection_.\n\n22 _Processus Satanae_ in _Malone Society Collections Volume 2, part 3_ (London: Malone Society, 1931) 239\u201350.\n\n23 Susan Valeria Harris Smith _Masks in Modern Drama_ (Berkeley and London: University of California Press, 1984).\n\n24 On the use of masks in various pre-industrial cultures, see L\u00e9vi-Strauss _The Way of the Masks_ ; Le _Masque: du rite au th\u00e9\u00e2tre_ edited O. Aslan and D. Bablet (Paris: CNRS, 1985); A. David Napier _Masks, Transformation, and Paradox_ (Berkeley and London: University of California Press, 1986); _Masks: the Art of Expression_ edited John Mack (London: British Museum Press, 1994); Emigh _Masked Performance_.\n\n25 Emigh _Masked Performance_ 24.\n\n26 John Jones On _Aristotle and Greek Tragedy_ (London: Chatto and Windus, 1962) 45. See also Wiles _Masks of Menander_ 111\u201314 and _passim_.\n\n27 _Dives and Pauper_ 1, 1: 91.\n\n28 All three preceding quotations from _Dives and Pauper_ 94.\n\n29 _Dives and Pauper_ 100.\n\n30 Roland Barthes 'Lit\u00e9rature et signification' in _Essais critiques_ (Paris: Editions du Seuil, 1964) 258. Quoted and discussed in Wiles Musics _of Menander_ 16.\n\n31 The Chester Smiths' _Presentation and Doctors:_ 'Crowne for Mary', 'for mending the Crowne and diadem' ( _REED: Chester_ 67, 78); see also 230 and note 148.\n\n32 _Non-Cycle Plays and Fragments_ edited Norman Davis _EETS SS 1_ (1970) xxxii, xxxiv, xxxv.\n\n33 Petr Bogatyrev 'Semiotics in the Folk Theater' in _Semiotics of Art_ edited Ladislav Matejka and Irwin R. Titunik (Cambridge, Mass.: MIT Press, 1976) 40.\n\n34 M. D. Anderson _Drama and Imagery in English Medieval Churches_ (Cambridge University Press, 1967) 164.\n\n35 Lynette Muir points out that existing records suggest masks for God are more common in British than European plays: 'Playing God in Medieval Europe' in _The Stage as Mirror: Civic Theatre in Late Medieval Europe_ edited Alan Knight (Cambridge: Brewer, 1997) 33.\n\n36 _REED: York_ 78, 98.\n\n37 Meg Twycross '\"With what body shall they come?\": Black and White Souls in the Mystery Plays' in _Langland, the Mystics, and the Medieval Religious Tradition_ edited Helen Phillips (Cambridge: Brewer, 1990) 271\u201386; 'More Black and White Souls' _Medieval English Theatre 13_ (1991) 52\u201363.\n\n38 _REED: York_ 55; _REED: Coventry_ 224, 230, 237, 464, 474\u20135. For the conflation of masks with face paint see chapter 12 on 'Materials and Methods' 316\u201318, and 330\u201332.\n\n39 The 'iii diademes with iii vesernes' worn by the York _Doomsday_ Apostles presumably also showed this beatific status on a higher level: they are not only saved and transfigured, but sitting as assessors in the sentencing of mankind.\n\n40 _REED: Chester_ 179; _REED: Coventry_ 93, 474; _REED: York_ 55. See also _REED: Chester_ 176; other entries on Sharp _Dramatic Mysteries_ 31, 69; Ingram 'To find the players' 36\u20137; _REED: York_ 242; Chambers _Medieval Stage_ 2: 396.\n\n41 _OED_ sv _visor_. On 'visered devils' in Wycliffite writings as a metaphor for the hypocritical and corrupt clergy, see chapter 11 on 'Ideas and Theories' 289.\n\n42 'Ars... _sciendi mori_ ' ('Learn to die') in Thomas Hoccleve _Works: The Minor Poems_ edited F.J. Furnivall and I. Gollancz, revised J. Mitchell and A.I. Doyle _EETS ES_ 61, 73 (1892, 1925; revised 1970) 671\u20139.\n\n43 See chapter 7 on 'Courtly Mumming', note 3.\n\n44 B.J. Whiting _Proverbs, Sentences and Proverbial Sayings from English Writers Mainly before 1500_ (Oxford University Press, 1968) cites various traditional phrases about the blackness of the devil.\n\n45 _The Castle of Perseverance_ lines 199, 2195; _Wisdom_ lines 979: both in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969).\n\n46 _The York Plays_ edited Richard Beadle (London: Edward Arnold, 1982) 149: Play 47: 143. See also _The Chester Mystery Cycle_ edited R.M. Lumiansky and David Mills _EETS SS3_ (1974) 11: Play 1, line 251; _The N-Town Play: Cotton MS Vespasian D_. 8 edited Stephen Spector _EETS SS 11_ (1991) 291: Play 23, line 198.\n\n47 _Cleanness_ in _The Poems of the Pearl Manuscript_ edited Malcolm Andrew and Ronald Waldron (York Medieval Texts, Series 2; London: Arnold, 1978) 221.\n\n48 _York Plays_ 52: Play 1: 101.\n\n49 G. Cohen _Histoire de la mise en sc\u00e8ne dans le th\u00e9\u00e2tre r\u00e9ligieux fran\u00e7ais du Moyen Age_ (Paris: Librairie Honor\u00e9 Champion, 1926) 221; Rudwin _German Carnival Comedy_ 34; Sharp _Dramatic Mysteries_ 70.\n\n50 \u00c9tienne de Bourbon relates how the devil appeared to a holy man _in specie parvuli Ethiopi_ ('in the form of a very small Ethiopian'): _Anecdotes historiques_ edited A. le Coy de la Marche (Paris, Renouard, 1877) 397. In another tale 'a foule ethyope' flies out in a cloud of smoke when a hero kills a dragon: Stephen Hawes _Pastyme of Pleasure_ edited W. Mead _EETS 173_ (1928) 5147. See also G.R. Owst _Preaching in Medieval England_ (Cambridge University Press, 1926) 175\u20136.\n\n51 _Mary Magdalene_ in _The Digby Plays_ edited Donald C. Baker, J.L. Murphy and L.B. Hall _EETS 283_ (1982) 56: stage direction after line 962; N _-Town Play_ 314: Play 31, stage direction before line 1; _Wisdom_ in Macro _Plays_ 143: stage direction at line 902.\n\n52 Nicoll _Masks_ , Mimes _and Miracles_ 191\u20133, fig. 130; see also Anderson _Drama and Imagery_ 169\u201370, plates 3c, 24a-c. For the Austrian masks, see Schmidt 'Masques et coutumes de masques en Autriche' in Le _Masque dans le tradition europ\u00e9ene_ edited Glotz, 74\u201389; _F\u00eates et traditions masqu\u00e9es d'Autriche_ edited Michel Revelard (Binche: Mus\u00e9e International du Carnaval et du Masque, 1987).\n\n53 Young _Drama of the Medieval Church_ 2: 230. See also the Rabelais quotation in Tydeman _Theatre in the Middle Ages_ 211.\n\n54 See 'The Devil with St Gudula': detail from Denis van Alsloot _The Triumph of Isabella_ (Brussels 1615): now in the Theatre Museum, Covent Garden, London.\n\n55 In the Rohan Hours, the guardian angel who swoops in to save man's soul has grabbed the devil by this quiff. See _The Rohan Book of Hours_ , introduction and commentaries by Millard Meiss and Marcel Thomas (London: Thames and Hudson, 1973) plate 63 (fol. 159).\n\n56 \u00c9tienne de Bourbon _Anecdotes historiques_ 35.\n\n57 Nicoll _Masks_ , Mimes _and Miracles_ fig. 127; H.S.L. Dewar _The Dorset Ooser_ (Dorset Monographs 2; Dorchester: Dorset Natural History and Archaeological Society, 1968); _The Towneley Plays_ edited Martin Stevens and A.C. Cawley _EETS_ SS 13 (1994) 405: Play 30: line 153.\n\n58 Nicoll believes that this is a feature descended from the comic masks of the Atellanae, and hence evidence for a continuous tradition of costume: Nicoll _Masks, Mimes and Miracles_ 191 and fig. 130; Dewar _Dorset Ooser_ 1. For further speculation on forehead warts see Napier _Masks, Transformation, and Paradox_ 113.\n\n59 T.W. Craik _The Tudor Interlude_ (Leicester University Press, 1967) 51\u20132.\n\n60 Jacques Thiboust _Relation de l'ordre de la triomphante et magnifique monstre du mystere des SS Actes des Apostres_ edited M. Labouvrie (Bourges: Manceron, 1836) 20. Tbe devils were inordinately fine, being dressed in velvet and damask witb gilt and silvered masks.\n\n61 _The Castle of Perseverance_ in _Macro Plays_ 1. For full discussion of all these and other fire effects see Philip Butterwortb _Theatre of Fire: Special Effects in Early English and Scottish Theatre_ (London: Society for Theatre Research, 1998) especially 21\u201336.\n\n62 Il quaderno di segreti d'un regista provenzale del medioevo: nota per la messa in scena d'una Passione edited Alessandro Vitale-Brovarone (Alessandria: Edizioni dell'Orso, 1984); A.Vitale-Brovarone 'Devant et derri\u00e8re le rideau: mise en sc\u00e8ne et secretz dans le cahier d'un r\u00e9gisseur proven\u00e7al du Moyen Age' in _Atti del IV Colloquio della Soci\u00e9t\u00e9 Internationale pour l'Etude du Th\u00e9\u00e2tre M\u00e9di\u00e9val_ (Viterbo: Centro Studi del Teatro Medioevale e Rinascimentale, 1983) 459\u201361.\n\n63 _REED: York_ 55.\n\n64 Thiboust _Monstre_ 22. The word _tymbre_ is used in Ren\u00e9 d'Anjou's _Livre des tournois_ to describe the _cuir bouilli_ crest which sits on top of the tilting helm. See chapter 5 on 'Tournaments' 107. Here it seems to be used for a (leather) mask.\n\n65 See chapter 10 on 'Morality Plays' 238\u20139. Fortune is the ancestress of all double faced morality characters.\n\n66 There is also the theory that the multiplicity of diabolical faces acts in contrast with the unity of God: but though tempting, this remains unproveable. However, anything which is both multiplex and frenetically active must contrast with the stillness of the God figure.\n\n67 See John Brown 'The Devils in the York _Doomsday' Medieval English Theatre 11_ (1989: also published as _Evil on the Medieval Stage)_ 26\u201341, especially 29 and 36 for the double and supernumerary faces.\n\n68 Bosch is the obvious exception, but his devils are more fantasy creatures than models for stage costumes.\n\n69 See Rudwin _Origin of the German Carnival_ 36\u20137, 47; R.J.E. Tiddy _The Mummer's Play_ (Oxford University Press, 1923) 96, 112\u201313; Chambers _Medieval Stage_ 2: 91 and _The English Folk-Play_ (Oxford: Clarendon Press, 1933) 210; Withington _English Pageantry_ 74\u20135; Welsford _Court Masque 17,379_.\n\n70 See chapter 13 on 'Terminology' 336\u201344.\n\n71 We have found no really comprehensive and scholarly iconographic survey of the development of the devil. See, though, Maximilian Rudwin _The Devil in Legend and Literature_ (Chicago: Open Court Publishing, 1931); Jacques Levron _Le Diable dans l'art_ (Paris: Picard, 1935); Robert Hughes _Heaven and Hell in Western Art_ (London: Weidenfeld and Nicolson, 1968); M. Didron _Christian Iconography_ translated E.J.M. Millington (London: Bohn, 1851). For illustrations showing the development in scenes of the Temptation and the Harrowing of Hell, see Gertrud Schiller _Christian Iconography_ translated Janet Seligman, 2 vols (London: Lund Humphries, 1971) 1: plates 389\u2013400, and _Ikonographie der christlichen Kunst_ 5 vols (Gutersloh: Mohn, 1971\u2014) 3: 41\u201366, especially 56\u201366, and plates 116\u201370.\n\n72 See e.g. _The Book of Kells_ facsimile edited Fran\u00e7oise Henry (London: Thames and Hudson, 1974) 189\u201390 and plate 68; the Stuttgart Psalter illustrated in Schiller plate 389.\n\n73 See for example Hughes _Heaven and Hell_ 237, 252.\n\n74 Compare the confusion between the _schoduvel_ and the bear: see chapter 2 on 'Early Masking' 48\u20139.\n\n75 Axton _European Drama of the Early Middle Ages_ 115\u201316. See also Young _Drama of the Medieval Church_ 2: 230 and 524.\n\n76 See chapter 13 on 'Terminology' 336\u201344.\n\n77 Devil costumes have remained a staple of modern Carnival: see Moser _Fastnacht-Fasching-Karneval_ 205\u201316. See chapter 3 on 'Carnival' 75\u20136 and 77\u20138.\n\n78 Brant _Shyp of Folys_ fol. 246 (Latin version fols 244\u20135).\n\n79 Brant _Shyp of Folys_ fol. 245: Barclay's translation (not in the original).\n\n80 Compare the Corpus Christi celebrations in Saragossa, where 'Those wearing masks or dressed as devils were required to stay close to the _Entremes del infiemo_ , for if they strayed too far from hell, they would be jailed for twenty four hours': Stern _Medieval Theatre in Castile_ 117.\n\n81 Axton _European Drama of the Early Middle Ages_ 116.\n\n82 See for example _Castle of Perseverance_ in _Macro Plays_ 54: lines 1746\u20131994; _Wisdom_ in Macro _Plays_ 132, stage direction at line 550; 144, stage direction at line 912.\n\n83 _N-Town Play_ 407: Play 41, line 485. See John Brown 'The Devils in the York _Doomsday_ ' 26\u201341 for a comprehensive account of devils in action.\n\n84 Thomas Kirchmeyer _The Popish Kingdome, or reigne of Antichrist_ written in Latine verse by Thomas Naogeorgus translated Barnabe Googe (London: Henrie Denham for Richarde Watkins, 1570) 48.\n\n85 Joseph Strutt _Sports and Pastimes of the People of England_ edited by William Hone (London, Thomas Tegg 1841, 3rd edition) 153: 'Beelzebub seems to have been the principal comic actor, assisted by his merry troop of under-devils, who, with a variety of noises, strange gestures, and contortions of the body, excited the laughter of the populace'; Nicoll _Masks_ , Mimes _and Miracles_ 187; V.A. Kolve _The Play Called Corpus Christi_ (London: Arnold, 1966) 143; G.R. Owst _Literature and Pulpit_ (see note 20) 511\u201315. Bamber Gascoigne comes nearer when he says 'Like the best villains, they were funny and frightening at the same time': _World Theatre_ (London: Ebury Press, 1968) 71.\n\n86 Emigh _Masked Performance_ 37, 41.\n\n87 Biblioth\u00e8que de l'Arsenal, MS 5072 Res. fol. 28: _Renaud de Montauban_. We would like to thank Roger Savage for drawing our attention to this picture, and Gordon Kipling for running the reference to earth in Silvio d'Amico _Storia del teatro drammatico 1_ (Milan: Garzanti, 1968) plate 152. For the story the picture illustrates see _Maugis d'Aigremont_ edited F. Castets (Revue des langues romanes 4e serie, tome 6; Montpellier: 1892).\n\n88 \u00e9tienne de Bourbon _Anecdotes historiques_ 233\u20134; also Kolve _The Play Called Corpus Christi_ 140.\n\n89 _N'Town Play_ 317: Play 31, lines 64\u20135.\n\n90 _York Plays_ 390: Play 44 lines 154\u20135.\n\n91 _Masks_ , Mimes _and Miracles_ 189.\n\n92 This is one of the major social changes of the last three decades in Britain: the present generation (and of course the whole North American continent) may find it difficult to reconstruct a medieval reaction. One of the authors remembers seeing small boys in Chile after the 1960 earthquake gazing transfixed at their first (totally benevolent) encounter with a black American serviceman. Of course, a blacked-up face, having lost all gradations in skin-tone, cannot really be compared even to this culture shock.\n\n93 This could be another reason why wigs are so often linked with masks.\n\n94 Young _Drama of the Medieval Church_ 2: 418\u201319; E.K. Chambers _The English Folk-Play_ (Oxford: Clarendon Press, 1933) 125; Hall _Union_ 513, 514.\n\n95 In Spain, for example, there is some evidence that a wider range of human characters might be masked in tableaux or processions. Stern _Medieval Theatre in Castile_ records in Toledo 1432, 'various prophets wearing masks and beards' (121); in Salamanca 1501, mask, diadem and wig for St Sebastian (123). See Ronald E. Surtz 'Masks in the Medieval Peninsular Theatre' in _Festive Drama_ edited Meg Twycross (Cambridge: Brewer, 1996) 80\u20137.\n\n96 _REED: Coventry_ 59, 111, 177, 200, 104.\n\n97 Woolf _English Mystery Plays_ 391 note 64.\n\n98 _REED: Coventry_ 93, 96, 181.\n\n99 _REED: Chester_ 50, 60.\n\n100 _The Holkham Bible Picture Book_ edited W.O. Hassall (London: Dropmore Press, 1954) fols 29v-3 lr; for the window in St Peter Mancroft, Norwich, see Anderson _Drama and Imagery_ plate 15a (see also 185\u20136 and plate 16a), and Christopher Woodforde _The Norwich School of Glass-Painting in the Fifteenth Century_ (London: Oxford University Press, 1950) plate xxxvii.\n\n101 Thomas Aquinas _Catena aurea in quatuor evangelia_ edited P. Angelici Guarienti (Turin: Marietti, 1953): In Matthaeum 2:2, 1:35.\n\n102 _REED: Coventry_ 69, 73, 85, 95, 554.\n\n103 See chapter 5 on 'Tournaments' 115\u201317.\n\n104 See Kolve _The Play called Corpus Christi_ 178\u201390.\n\n105 _REED: Chester_ 109.\n\n106 _Chester Mystery Cycle_ 293: Play 16, line 187.\n\n107 _Chester Mystery Cycle_ 292\u20133: Play 16, lines 167, 175\u20137, 184\u20135.\n\n108 _REED: Chester_ 95, 109.\n\n109 _REED: Chester_ 92.\n\n110 _REED: Chester_ 109.\n\n111 _Chester Mystery Cycle_ 146: Play 7, lines 498\u20139.\n\n112 _REED: Chester_ 106.\n\n113 For general information about the dramatisation of God see Muir 'Playing God in Medieval Europe'.\n\n114 _REED: York 78; REED: York_ 55; _REED: Chester_ 50, 53, 67, 70, 73, 75, 86, 88, 91. The Norwich 'face and heare for the Father' may have been gilded: _Non-Cycle Plays_ xxxv. See also Anderson _Drama and Imagery_ 27.\n\n115 _York Plays_ 195: Play 23, lines 97\u20138; see Matthew 17: 2.\n\n116 Cohen _Histoire 223; Le Livre de conduite du r\u00e9gisseur_... _pour le Myst\u00e8re de la Passion jou\u00e9 \u00e0 Mons en 1501_ edited G. Cohen (Publications de la Facult\u00e9 des Lettres de l'Universit\u00e9 de Strasbourg 23; Strasbourg: Istra, 1925) 177 note 3.\n\n117 _The Staging of Religious Drama in Europe in the Later Middle Ages_ edited P. Meredith and J. Tailby (Medieval Institute Publications; Kalamazoo: Western Michigan University, 1983) 114.\n\n118 Cohen _R\u00e9gisseur_ 410.\n\n119 Jean Porcher _L'Enluminure fran\u00e7aise_ (Paris: Arts et Metiers, 1959) plate 41; Schiller _Christian Iconography_ 1: 151 and plate 418.\n\n120 Young _Drama of the Medieval Church_ 1: 285.\n\n121 Young _Drama of the Medieval Church_ 1: 293. For veiling, see chapter 12 on 'Materials and Methods' 311\u201313.\n\n122 _Gesta Henrici Quinti_ 104\u20135.\n\n123 Richard Maydiston _De concordia inter Ricardum II et Civitatem London_ edited Thomas Wright (London: Camden Society, 1838) lines 329\u201332.\n\n124 Young _Drama of the Medieval Church_ 1: 399, 474 (crown), 372 (diadem and beard), 394, 408 (candelabrum).\n\n125 The motif in visual art is less common than one might think, and mainly a feature of stained glass. See Peter Gibson _The Stained and Painted Glass of York Minster_ (Norwich: Jarrold, 1979) 32 and plate 2 (c. 1420); also Clifford Davidson and David O'Connor _York Art_ (Medieval Institute Publications, EDAM Reference Series 1; Kalamazoo: Western Michigan University, 1978) 17, 85; and Christopher Woodforde _Stained Glass in Somerset 1250\u20131850_ (Oxford University Press 1946; reprinted Bath: Kingsmead, 1970) 80 note 1. See also the Tr\u00e8s _Riches Heures du Duc de Berry_ facsimile edited Jean Longnon and Millard Meiss (London: Thames and Hudson, 1969) 65 (fol. 64v); Anderson _Drama and Imagery_ , plate 17d. Most surviving gold-faced Gods are in fact illustrations of the Transfiguration.\n\n126 Kipling _Enter the King_ 226\u201336.\n\n127 See for example Oto Bthali-Merin _Masks of the World_ (London: Thames and Hudson, 1971); Peter Arnott _The Theatres of Japan_ (London: Macmillan, 1965) especially chapter 5; A.C. Scott _The Theatre in Asia_ (London: Weidenfeld and Nicolson, 1972); Michel Leiris and J. Delange _African Art_ translated Michael Ross (London: Thames and Hudson, 1968) especially chapter 5; L\u00e9vi-Strauss _The Way of the Masks_ ; Emigh _Masked Performance_.\n\n128 Emigh _Masked Performance_ 46\u20139 and _passim_.\n\n129 As for example in _The Hours of Catherine of Cleves_ introduction and commentaries by John Plummer (London: Barrie and Rockcliff, 1966) nos. 32, 35, 36 and 39. The Holy Spirit is the most unfamiliar figure, as He was usually represented not anthropomorphically, but as the dove.\n\n130 In the 1994 production by the Joculatores Lancastrienses. This is the solution adopted by, for example, Jean Fouquet in _The Hours of Etienne Chevalier:_ see facsimile edition by Charles Sterling and Claude Schaefer (London: Thames and Hudson, 1972) nos 13 and 27.\n\n131 See Philip Butterworth 'Magic through Sound: Illusion, Deception, and Agreed Pretence' _Medieval English Theatre 21_ (1999) 52\u201365 for the techniques of ventriloquism.\n\n132 _N-Town Play_ 118: Play 11, line 184.\n\n133 _REED: Chester_ 32 (Early Banns) liv (Clopper says the play 'included the meeting of Christ with Mary and Martha, the Last Supper, and the captivity of Christ') 50 (1550); _REED: Chester_ 32, 36. The Coventry Weavers, who also played the Purification, paid in 1564 'for payntyng of Iesus heade viij d'; _REED: Coventry 226_.\n\n134 Muir 'Playing God' 33.\n\n135 Gibson _Theater of Devotion_ 5 and _passim_.\n\n136 For dates and records in this paragraph see _REED: Chester_ 73, liv, 53, 91, 67, 70, 73, 75, 78, 86, 88, 97, 100, 105, liv\u2013lv, 110. Also John Marshall 'The Chester Whitsun Plays: Dating of Post-Reformation Performances from the Smiths' Accounts' _Leeds Studies in English NS 9_ (1977) 51\u201361.\n\n137 _REED: Chester_ 68, 50.\n\n138 _Coventry Plays_ 83, Sharp _Ancient Mysteries_ 26.\n\n139 _REED: Coventry_ 228.\n\n140 _REED: Coventry_ 25, 93.\n\n141 _REED: Coventry_ 74.\n\n142 Mill _Mediaeval Plays_ 172.\n\n143 On 'nakedness' in medieval drama see Tydeman _Theatre in the Middle Ages_ 212\u201313; Stella Mary Newton _Fashion in the Age of the Black Prince_ (Woodbridge: Boydell Press, 1980) 78, and _Renaissance Theatre Costume and the Sense of the Historic Past_ (London: Rapp and Whiting\/Andr\u00e9 Deutsch, 1975) 153, 158, 200, 212, 213; Meg Twycross 'The Flemish Ommegang' _Medieval English Theatre 2:2_ (1980) 80\u201398, at 87, 98 note 113.\n\n144 _Towneley Plays_ Play 22: 81\u20132; Play 24: 100\u2013102.\n\n145 _Chester Mystery Cycle_ 215: Play 11, lines 299\u2013302.\n\n146 _Il quaderno di segreti_ 34\u20135.\n\n147 _REED: Chester_ 67, 78; also _REED: Coventry_ 168, and for the Three Maries with crowns 183. See also Peter Meredith 'Item for a grone' _REED: Colloquium_ edited JoAnna Dutka (Toronto: REED, 1979) 40.\n\n148 Recent experience suggests that audiences are perfectly capable of accepting a crowned Mary, or a Christ in a gold mask and wig, provided they are presented with conviction, and are visually coherent. (See Joculatores Lancastrienses Chester _Purification_ of 1983, York _Resurrection_ of 1992, or N. Town _Mary Play_ selection of 1994.) Masks call for an all-over formality of costuming, including wigs, headgear, and necks made up to match. Body-stockings should have gloves and feet. A modern actor may feel overdressed, but all the evidence suggests that a medieval one would find it indecorous to wear less: and it emphasises the presentational, sign-based effect of the acting.\n\n149 _REED: York_ 55.\n\n150 _York Plays_ 412: Play 47, lines 249\u201350, 265\u20136.\n\n151 _REED: Coventry_ 25, 74, 93, 200, 231 (Smiths); 224, 230, 474 (Drapers); 240 (Cappers' _Resurrection and Harrowing of Hell)_.\n\n152 _Dives and Pauper_ 85.\nChapter 10\n\nMorality Plays\n\nThe morality drama might seem one of the most obvious places to look for masks in the theatre of late medieval and Tudor England. The characters and action of the moralities are allegorical; the plays consciously and insistently demonstrate moral ideas; and their theatrical techniques are freely and inventively non-realistic and non-representational.1 All this might suggest that masks \u2013 demonstratively unconcerned with naturalism \u2013 could form a natural part of the stage language of the moralities. The plays do, in fact, introduce masks relatively frequently and often in interesting and suggestive ways. But as far as evidence suggests, masking is probably not as widespread, not as ingrained in the plays' methods as modern interests might lead us to expect. Moralities use masks freely to contribute particular moral and theatrical effects; but they do not appear to be plays in which allegorical characters are masked most or all of the time.\n\nThis may, of course, be simply because morality drama takes its non-naturalistic techniques for granted. Methods such as emblematic action, direct address to the audience, songs, dances \u2013 and masks \u2013 are used only as and when they seem helpful, freely intermingled with more realistic or representational modes. The boundaries between the allegorical (or non-representational) and non-allegorical (or realistic) are less fixed and signalled than is often the case in later theatre. So a play like _Everyman_ , which combines highly allegorical characters such as Discretion or Goods with the relatively non-allegorical figure of Everyman himself, may not need to crystallise a distinction between them by the use of masks.\n\nMasks and Moral Allegory\n\nMasks, and strange, non-human, or deformed faces and heads, were certainly widely used as moral emblems right through the Middle Ages and beyond, as common attributes of figures representing virtues, vices, and moral states. Evidence is heterogeneous and widely separated. In the visual arts iconographic tradition from the early Middle Ages onwards assigned masks to certain moral personifications. In the fourteenth century, poets like Guillaume de DeGuileville in _Le P\u00e8lerinage de la vie humaine_ , imagining allegories of spiritual and psychological journeys, drew on masks and strange heads to personify less familiar concepts. But the most explicitly moralised masks are found in the emblem books which invented images to encapsulate moral ideas, expounding these images in verse. Beginning in Italy in the mid-sixteenth century and spreading with phenomenal rapidity, the emblem books drew on medieval traditions as well as the new learning and interests of the early-modern period. The allegorical masks and heads of the Middle Ages found a natural home in these Renaissance emblem books. Since the characters and action of the morality drama seem to belong to a similar tradition of visual allegory, all these non-dramatic moral masks ought to throw some light at least on the context of morality masking.2\n\nSurprisingly perhaps, neither the mask as such nor the exotic or unusual head belongs exclusively to either virtues or vices. The mask is rather more likely to suggest moral corruption or ambivalence, the artifice and deception that hides the truth, in the discrepancy between the outer mask and the face behind. This belongs to a longstanding tradition. The figure of Treason in DeGuileville's _P\u00e8lerinage_ (1330\u20131355), for example, carries a threatening knife behind her back while presenting a fair mask to those she meets. According to Lydgate's fifteenth-century translation this is to:\n\nShew the outward, ay humble and mek,\n\nContrayre to that thow art with-Inne.3\n\nThese images of concealing masks multiply in the sixteenth century, perhaps shadowing the period's explicit concern with role-play, self-presentation, uncertain and fractured states.4 Masks in the emblem books are linked to figures like Fraud, Deception, Pride, or the World. In Cesare Ripa's _Iconologia_ (1603), Fraud carries a double heart in one hand, and in the other a mask signifying, _che la Fraude sa apparire le cose altrimenti da quel che sono per compire i suoi desiderii_ ('that Fraud knows how to make things appear otherwise than they are, in order to fulfill men's desires').5 The World in Jan David's Jesuit moral manual _Veridicus christianus_ (1601) wears a mask in order to tempt the soul, reinforcing the seductiveness of the fair false face by offering gifts in one hand while holding a bridle behind her back in the other.6\n\nBut although masks most often signify hypocrisy and deceit they could also demonstrate virtuous qualities. In J.J. Boissard's _Emblematum liber_ (1593) Prudence is pictured with a serpent in one hand (symbolic of cunning), and a mask in the other. The verse explains this rather Machiavellian virtue:\n\nQuod gerit haec larvam, non est ut fallat: at illa\n\nAptat personam casibus atque locis.7\n\nThe reason why she wears this mask is not to deceive: but she\n\nadapts the face to occasions and places.\n\nWhether virtuous or vicious, however, non-dramatic allegorical masks tend to emphasise the difference, tension or conflict between the mask and the face it conceals.\n\nThe other type of emblem that may relate to morality masking does not involve such discrepancy. Moral qualities are often symbolised by strange and distorted heads: transferred to the stage these would be re-created as masks. Most commonly such emblems present simply ugly, deformed, or caricatured faces that symbolise moral corruption.8 Such deformity rests on the traditional assumption that appearance mirrors inner truth. As the _Secreta secretorum_ claims, 'the Sowle whyche is the fourme of the body, sueth the kynde and the complexcion and the propyrteys of the body'.9 This idea finds particularly imaginative expression in the common image of moral metamorphosis: since the condition of the soul affects the appearance, a change of feature can reveal the true inner state. So a fifteenth-century sermon tells of a bishop who had a vision of the faces of his congregation transfigured when they came to communion, some hideous and some beautiful according to their spiritual condition.10 A hideous old couple in Boissard's late-sixteenth-century _Mascarades_ vividly demonstrates the same process, in which:\n\nSpeciem pulchritudinis, quam confert virtus, adimunt peccata.\n\nHominemque in portentum turpitudinis convertunt.11\n\nSins take away the face of beauty which virtue gives,\n\nand change man into a monster of deformity.\n\nFor the Middle Ages and sixteenth century the notion of moral metamorphosis was especially linked to the myth of Circe. Her transformation of Odysseus' followers into animals was widely interpreted as a moral emblem, following Boethius' influential fourth-century interpretation that _qui probitate deserta homo esse desierit_... _vertatur in beluam_ ('he who having left goodness aside has ceased to be a man [and]... turns into a beast').12 This idea explicitly informs the disgustingly deformed faces of some of Boissard's _Mascarades_ , captioned:\n\nVertit saepe homines in bruta Venefica Circe:\n\nQuos hodie philtris monstra libido facit.13\n\nThe enchantress Circe often changed into animals men\n\nwho today are made monsters by the philtres of lust.\n\nThis reading of the Circe myth is one manifestation of a relatively common type of symbolic face, where the human head is replaced by that of an animal. Circe's metamorphoses link to a medieval association of sins with animals, the Seven Deadly Sins in particular often portrayed accompanied or represented by appropriate creatures.14 This ultimately derives back to Plato who envisages humans re-born as various animals, 'the transformation depending on the loss or gain of understanding or folly'.15 Traditions of illustration and masking, however, seem more directly traceable to the pseudo-Aristotelian _Physiognomonica_ which makes extended comparisons between the appearances of animals and men according to their character types, claiming that 'when the character of the soul changes it also changes the form of the body'.16 This principle was picked up by later physiognomists, such as the sixteenth-century Baptista della Porta whose extensive illustrations of sheep-headed, bull-headed, and bird-headed men offer eloquent suggestions for moral emblems and mask-makers alike.17 The visual effect can be seen in Ripa's figure for Terror, where a man's body is topped with a lion's head, _perche par proprieta del Leone atterire chi lo risguarda_ ('because it is the property of the lion to terrify those who look at him').18 This animal tradition was common in political allegory, like the anti-Catholic mask performed before Elizabeth I at Cambridge in 1564, in which a procession of dignitaries of the Roman Catholic church were accompanied by satirically appropriate animals, probably represented by maskers.19 It extends into the moral caricatures of Jonson's _Volpone_ , and continues to flourish in political caricatures and as a rule of thumb for modern mask-makers like Donato Sartori.20\n\nPLATE 25: Circe and the poison of Lust: men turned into animals. Robert Boissard _Mascarades recuillies & mises en taille douce_ (Strassburg: 1597).\n\nOxford: Bodleian Library, Douce B subt. 26 no. 9. \u00a9 Reproduced by permission of the Bodleian Library, University of Oxford.\n\nOne very specific motif that recurs frequently in both visual moral allegory and theatre masks is the visually striking double face or _bifrons:_ heads with two faces, either front-and-back or side-to-side. These vividly express the concept of doubleness but, like the emblems of masks themselves, may have very different ethical significations. We have already encountered similar masks among the devils of the mysteries. In classical times the double face was the attribute of Janus, gateway of the year;21 it was also assigned to the figures of Time, of Fortune, and then of Venus, initially as a morally neutral sign of their double natures.22 Perhaps inevitably, the ambivalence acquired a moral weighting, the double face easily coming to represent shiftiness and deception. In moral personifications the _bifrons_ , like the mask itself, became a common attribute of Fraud and Dissimulation, signifying duplicity and double-dealing. These 'two-faced' figures were represented either by a double-faced mask, or by a single mask perhaps slightly raised to reveal the face beneath.23 Yet double faces are not always deceptive: they may equally be linked with the personifications of Prudence or Time who, like Janus, look both to the past and the future before making decisions.24\n\nDouble-faced theatre-masks present problems both in construction and performance.25 We have already seen their popularity in spectacle, for example in the court disguising of 1552\/3 which employed 'xvi hedpeces... doble vizaged thone syde lyke a man and thother lyke deathe'.26 But once engaged in interaction rather than safely locked into a motionless system of symbols or the non-representational systems of dance, it may be harder for the antipathetic strangeness of the double face to signify anything but perversion or vice.27 Static images invite the viewer to perceive the entire double nature of the character simultaneously. Pictorial presentations of Janus, generally show a seated, liminal character, poised between Old Year and New, his two faces equally visible. He is genuinely emblematic, and morally neutral. But allegorical descriptions which imply movement are more ambivalent. Fortune's two faces are often perceived in sequence, first the smiling, then the frowning, as she turns to and from her victim; or she may be masked, and then reveal her true self. As with Deceit or Fraud, the genuine face is beneath, and inevitably inimical. On stage this suggests theatrical action: the character unmasks, or turns round, revealing her true ugliness.\n\nThis seems to be borne out by some of the costume directions in the largely morality Rhetoricians' plays of the Low Countries in the sixteenth and early seventeenth centuries, the _spelen van sinne_ ('plays about qualities'). In the 1616 _Christelijcken Ridder_ ('Christian Knight'), the two _sinneken_ Vice figures are the World, dressed as 'half devil, half human', and Beloved of the World, dressed 'behind as a wolf and before as a man'; the 1551 _Wellustige Mensch_ prescribes that the _sinnekens_ Quaet Gelove ('Bad Faith') and Vleischelijcke Sin ('Carnal Lust') should be dressed 'behind as a devil' and 'as a Death' respectively.28 These two appear from the script to have their alternative faces attached to their arses, like mystery-play devils, revealing them only, conspiratorially, to each other.29\n\nAll these examples show how heavily most emblematic facial distinctions depend on context for their interpretation. Few established conventions linked moral qualities to uniquely specific identifying features. Perhaps for this reason, in iconographic tradition the commonest allegorical personifications \u2013 the Seven Deadly Sins, the Four Daughters of God, the Four Cardinal Virtues \u2013 are far more frequently identified by attributes than by facial appearance. In theatrical performance personifications of moral qualities could certainly be made visually identifiable: at the Royal Entry of Charles VII into Paris in 1437 the Seven Deadly Sins and the Seven Virtues rode in procession _tous habilli\u00e9s seloncq leurs propri\u00e9t\u00e9s_ ('all clothed according to their characteristics').30 Such identification could at times include the use of masks: as the entry in the Revels accounts for 1552 for a mask of 'covetous men with long noses' shows.31 But few moral qualities seem to have acquired facial traditions that are distinctive enough to provide fixed or transparent signs for the theatre.\n\nAgain illustrations of the Rhetoricians' drama of the Low Countries support this. An invaluable set of engravings exists of the processional entries for the drama competition held at Haarlem in 1606, in which all the characters are labelled. Masks are worn only by distinctively diabolical characters: for example, the trio of the Devil, Hell, and Death in the Hazerswoude play [PLATES 26].32 Other allegorical figures are identified by costume or attributes: Maticheyt ('Temperance') traditionally watering a cup of wine; Nidicheyt ('Poverty') gnawing on a stone, Giericheyt ('Avarice') with moneybag, Hovoerdicheyt ('Pride') with a peacock-feather fan, and Gramschap ('Wrath') in armour with a blazing brand.\n\nBut if there is no clearly agreed system of facial identification for moral personifications, the emblem books, narratives, and other visual allegories suggest that a general motif of masking was widely associated with presenting moral ideas. A French emblem of 1539 claims:\n\nMasques seront cy apres de requeste\n\nAutant ou plus qu'elles furent jamais.\n\nQuand l'on souloit fairent banquet ou feste L'on en usoit par forme d'entre metz...\n\n... a present n'est homme qui n'en use.33\n\nFrom now on masks will be as much, or more, in demand than they have ever been. When they used to hold banquets and feasts they would use them for the entertainments... nowadays there is no man who does not use them.\n\nAs an English version of the same emblem explains:\n\nYou shall finde but few in any place\n\nThat carrie not sometimes a double face.34\n\nAlthough no theatrical connection is asserted, such assumptions might well lead us to expect that the moral, emblematic morality drama should share the preoccupation with masks, and make enthusiastically extensive use of them.\n\nPLATE 26: The Devil, Hell, and Death: Entry into Haarlem (1606) by the Hazerswoude Chamber of Rhetoric. _Const-thoonende Iuweel, By de loflijcke stadt Haarlem_... (Zwolle: Zacharias Heyns, 1607).\n\nLondon: British Library, G 18275, plate 5 after sig. Giii. \u00a9 Reproduced by permission of the British Library.\n\nMasks in Morality Plays\n\nMorality drama was a more obviously fluid and evolving form than the community-based mystery cycles, and morality masking was concomitantly more varied, inventive, and experimental. During the period, the genre develops from the universal spiritual allegories of _The Castle of Perseverance_ or _Mankind_ , to more individualised and historicised actions, as sixteenth-century moralities engage with topical issues and alternative theatrical forms. While the morality drama borrowed many ideas and techniques from visual and literary moral allegory there are distinct differences of emphasis, probably relating primarily to its theatrical mode: designed for performance rather than reading, for an audience which may include but is not limited to those with a literary education. Morality plays, naturally enough, seem more practical and less consciously learned than the non-dramatic literature of moral emblem.\n\nThe moralities are undeniably a visually emblematic drama. They tend to present ideas in emblematic action, whether in the simple revelation of seven devils under the cloak of the soul in _Wisdom_ (c.1475), the elaborately arranged processional entry of the sins in John Bale's _Kynge Johan_ (1538\u201360), or the comic bridling of the recalcitrant Lust in the late play _The Trial of Treasure_ (1567).35 The costumes and props are consistently emblematic rather than straightforwardly representational. But although the plays occasionally draw on the allegorical traditions of the emblem books there is little to suggest any pervasive use of moral masks. Definitive judgements are difficult because of the lack of clear evidence about the staging of the moralities. Unlike the mystery plays and court entertainments which were both organised and financed by centralised record-keeping authorities, most moralities were flexible and ephemeral, performed in households or by small professional or semi-professional groups with easily transportable productions.36 Consequently there is almost no record evidence for staging except for the occasional allusion in Revels or household accounts, or in inventories of academic institutions. Evidence for morality staging lies almost exclusively in the texts; but as with all early drama stage directions are scanty and inconsistent, and recreation of the action necessarily partial.\n\nDirect evidence for masking is confined almost solely to a few stage directions specifying particular effects, making it hard to form a general impression. While there is very little to suggest that visors were habitually worn, there is one intriguing payment recorded in the Edinburgh city accounts for 1554, assumed to be for a production of David Lindsay's political morality _Ane Satyre of the Thrie Estaitis_ , for 'paynting... the playaris facis'.37 Nothing in the play's text suggests distinctive facial characteristics; but unlike the majority of morality performances this was both a large-scale and an outdoor production. The practice may have been wider spread; but such illustration as exists for morality plays \u2013 the carefully drawn pictures in Thomas Chaundler's academic morality the _Liber apologeticus_ of c.1460, or the woodcuts that sometimes embellish the title pages of the early printed editions \u2013 gives no sign of mask, paint, or facial disguise at all.38 Medieval and Tudor play-illustration, however, is rarely related to performance: woodcuts, for example, were frequently drawn randomly from the printer's stock. With evidence so scanty, uncertain, and hard to assess, all we can really say is that there is nothing definite to suggest that the wearing of masks was in any way habitual.\n\nSome of the practicalities of morality production might be thought to favour their use. The practice of doubling parts appears extremely common, probably due to the exigencies of professional performance. Even the early plays clearly allow for such casting, with Mercy and Titivullus very easily doubled in _Mankind_ (c.1475), the World and Folly in _The World and the Child_ (1522). Later sixteenth-century printed texts specify how the increasingly large casts may be divided between small numbers of actors, each apparently taking three, four, or even five parts.39 Modern focus on individual performers might suggest that masks would help the audience to avoid being confused by such doubling. So for example in _Mankind_ the devil Titivullus is masked whereas Mercy is not, and the visored Herod was possibly doubled with Pilate in the Chester _Trial and Flagellation_.40 Contemporary evidence from the Low Countries may confirm this: in 1508 Badius describes actors who _varias personas accipiunt, ut unus actor seu lusor varios posset presentare_ ('put on different masks: so that each actor or player can present different parts').41\n\nBut despite this testimony, medieval and sixteenth-century acting styles appear not to encourage the merging of the actor with his part which such masking might facilitate. A character is identified by costume, attributes, and manner, rather than primarily by the actor. As Edward Burns suggests, 'the convention of playing assumes that each character when established is taken as a separate entity, however many of them a particular player may have to present'.42 Pre-modern theatre in general recognises a separation between actor and character, a fact confirmed by the occasional use of two performers to play one part. This suggests a relatively formalised acting language, in which doubling would not cause the kind of confusion which needed masks.43\n\nIn presenting moral ideas the moralities seem only to specify the use of masks where they contribute to particular stage-effects. This is neatly demonstrated in Thomas Lupton's _All for Money_ (1578).44 The costume directions are unusually detailed. All are emblematic: Theology wears 'a long ancient garment, like a Prophet' (98), Art (or Craft) has 'certeyne tooles about him of divers occupations' (152), Money 'hauing the one halfe of his gowne yellowe, and the other white, hauing the coyne of siluer and golde painted vpon it' (202). But only the appearance of the final vice, Damnation, specifies 'a terrible vysard on his face, [and] his garme[n]t shalbe painted with flames of fire' (378). Play is made with this mask during Damnation's excruciating 'birth', his father Sin commenting on his son's vast and ugly head. The stage directions only call for a mask when it is wanted for a particular effect.\n\nComparison between narrative and dramatic allegories supports the impression that morality playwrights have their eyes firmly on performance. Narrative allegory has a freedom to create elaborate visual effects that would be either unworkable or simply grotesque as stage masks. In DeGuileville's _Le P\u00e8lerinage_ , for example, we meet in succession a woman with a broom in her mouth instead of a tongue (Penance); a woman with her eyes in the back of her head (Memory); and a serpent-woman with two spears in her eyes, on her back a woman with a mask and another holding a sword full of ears, with one hand held in her mouth (Envy, Treason, and Detraction).45 The illustrators of these episodes clearly enjoy portraying these weird abnormalities, but it is hard to see how even a skilled mask-maker could make them practicable for the stage. Emblem illustrators, equally, rarely show very feasible versions of the distorted heads they present: the 'double face' of Ripa's Fraud is actually two separate heads on separate necks. Emblems of masks look more like solid 'false faces', perhaps derived from classical statuary, than wearable, usable visors.46\n\nAn early-sixteenth-century example may confirm the difference in priorities between narrative and dramatic allegory. Skelton's dream poem _The Bowge of Court_ introduces various personifications, many of whom reappear in his political play _Magnyfycence_ (c. 1515).47 One of these is Dissimuler whom the dreamer describes:\n\nThan, in his hode, I sawe there faces tweyne:\n\nThat one was lene and lyke a pyned goost,\n\nThat other loked as he wolde me have slayne.48\n\nIn _Magnyfycence_ Dissimuler's role is taken by the equally deceptive Cloked Collusion who claims:\n\nTwo faces in a hood covertly I bear,\n\nWater in one hand and fire in the other.49\n\nIt is not beyond the bounds of possibility that Cloked Collusion is speaking literally: as we know, two-faced masks certainly existed. But the complex speed of the action and passing brevity of the allusion suggests that what is literal in the narrative has slipped back into metaphor for the stage, an easy process in this instance since Skelton's poem simply reifies the proverbial image for falseness, 'two faces in a hood'.50 Unless a dramatic point is to be built on it, to encumber an actor with a two-faced mask (let alone water and fire) is liable to be more distracting than expressive. While emblems can focus exclusively on the idea, the plays must keep firmly in touch with the realities of masking.\n\nAlthough the evidence is not conclusive it suggests some development in the use of masks during the history of the morality drama from the early fifteenth to the late sixteenth centuries. In earlier plays like _The Castle of Perseverance, Mankind_ , or even Redford's _Wit and Science_ (c.1530), the boundaries between allegory and representational realism are extremely fluid, if not non-existent. Symbolic and naturalistic action flow into each other, personified characters move from heightened formality to colloquial realism, and the shifts between emblem, explanation, and impersonation are almost if not wholly unnoticeable. Edward Burns' analysis of early rhetorical traditions seems to apply: 'where the modern reader would tend to separate off \"allegorical\" from \"real\", the rhetorical tradition would make no such distinction'.51 Where these early plays use masks they seem to do so flexibly, unselfconsciously, and for a variety of different characters. In the late-fifteenth-century _Wisdom_ , a strikingly visual play very aware of its formal allegory, we find a pervasive use of masks: they are worn by divine figures, by a personification of the human soul, Anima, and in a quite different theatrical mode by the dancers in a vivid series of disguisings. _The Castle of Perseverance_ , on the other hand, although its allegory is equally formal and traditional, shows no sign of using masks at all except for the almost obligatory figures of Death and the Devil. In _Wit and Science_ the young hero, Wit, is given an emblematic 'mask'52 at one crucial moment, although his relaxed colloquial characterisation brings him closer to modern ideas of naturalism than any other figure in the play. All these plays appear to consider masks as simply one available tool of the theatrical language, of the same status as any other representational technique.\n\nAs the sixteenth century progresses dramatists appear to become more self-conscious about generic modes, about the theatrical representation of human individuals, and about broader questions of performance and subjectivity.53 In the morality plays one symptom is a separation that begins to develop between 'realistic' and 'allegorical' characters and speech. As this happens masks come steadily to be associated with assertively allegorical figures and episodes which are increasingly formalised and consciously emblematic. The difference can be seen very clearly in _All for Money_ , whose episodic structure juxtaposes lively but unconnected scenes focusing either on symbolic characters like Money, Sin, and the Devil, or on such socially realistic type-figures as corrupt judges, scholars, and beggars. The play's effective use of masks confines them strictly to the allegorical scenes where they are associated with deliberate emblem.\n\nThis development is neither simple nor linear, and allegory and realism, the metaphorical and the literal, remain difficult to separate throughout the morality drama. This can cause problems in deciding whether masks are literal or figurative. In the early _Wisdom_ verbal metaphor and actuality clearly coincide. A theme runs through the play of the soul as the corruptible image of God. Lucifer sums up:\n\nOf Gode man ys the fygure,\n\nHys symylytude, hys pyctowre\n\nWyche I wyll dysvygure.54\n\nStage directions show that this metaphor is vividly actualised: the soul, Anima, first appears with her face fair and 'lyke to WYSDOM'; corrupted by sin she then re-enters 'in the most horrybull wyse'. The verbal images of figuring and disfiguring are in this case realised in stage masks. Lewis Wager's mid-sixteenth-century Protestant morality _Marie Magdalene_ is less clear.55 The Vice, Infidelity, opens the play with a speech dwelling specifically on masking:\n\nLike as I haue a visour of vertue\n\nSo my impes, whiche vnto my person do leave,\n\nThe visour of honestie doth endue.56\n\nText and action, however, suggest that this is purely metaphorical. Masks are not mentioned again, and Infidelity's frequent shifts between his vicious and falsely virtuous personae would involve some pretty complicated mask-juggling if his visors were real. Such uncertainty makes it hard to be wholly clear about stage masking, particularly in the later moralities.\n\nMorality Masks: Characters and Crisis Points\n\nMasks are regularly worn by certain specific groups of morality figures. Death is one obvious example, devils another, both with well-established visual traditions in dramatic and non-dramatic art. Apart from these groups, masks seem to be most frequently called on to contribute to significant moments, often turning points, of theatrical and moral action. They are often assumed, or removed, at crucial moments of corruption, redemption, or crisis.\n\nDeath\n\nThe figure of Death was well-established by iconographic and theatrical tradition, its stage-mask an integral part of a complete costume. The dominant medieval icon is the skeleton, often cloaked, who may or may not carry an hourglass, a spear, or a scythe.57 This image carried over into theatrical costume, probably impelled by the famous 1424 Dance of Death frescoes in the cloister of the Holy Innocents in Paris, which inspired many imitations, such as the (?) 1430 version in the cloister of St Paul's Cathedral in London,58 and even dramatic performances.59 'Deathes cote' and 'deathes face' turn up in various sixteenth-century Cambridge college inventories of players' costumes, and the same tradition is presumably evident in Edward VI's intriguing 'maske of medyoxs half man half death'.60 Death appears as a character in the mystery cycles in the N. Town _Death of Herod_ , where he is clearly dressed as a cadaver: 'I be nakyd and pore of array \/ and wurmys knawe me al a-bowte'.61 In European spectacles we find a Death 'whose head was a hideous skull without nose or eyes', and those with 'masks painted behind and before like skulls, including the throat, most realistic but a horrid and terrible sight'.62 A particularly famous version of the Dance of Death, painted at Bern (1516\u20131519) by Niklaus Manuel,63 was dramatised in 1637 and 1638: the canvas costumes and masks survive and are on display in the City Museum [PLATE 27].64 Skeletal bones are painted on the all-in-one canvas body-suits with feet and close-fitting hoods attached.\n\nWhen Death appears in several of the early morality plays the assumption, whether or not there is direct reference to it in the texts, must be that he is dressed in these skeletal 'dethes cootes \/ hoose dobled & hedd all in one'.65 He probably appeared so in the earliest morality, the fragmentary _Pride of Life_ (c. 1420), although the manuscript breaks off before his promised entrance, and also in the large-scale pageantry of _The Castle of Perseverance_ (c.1425).66 Although he formally identifies himself to the audience, 'I hatte drery Dethe',67 the implication of his speech, and of Mankind's instant and terrified recognition, is that he takes his familiar horrifying form, not as a human being representing Death but as the skeletal embodiment of death itself. These dramatic skeletons offered the audience a vision of their future selves, ideally provoking reflection on mortality along with pleasurable theatrical terror.\n\nPLATE 27: Death costumes for a dramatic presentation in 1637 of Niklaus Manuel's wall painting of the _Dance of Death_. Bern: Historisches Museum, no. 743.\n\n\u00a9 Reproduced by permission of the Bernisches Historisches Museum.\n\n_Everyman_ , the most familiar example, makes fascinating play with this convention. The text gives no guidance about Death's appearance, alluding only to his spear; but the woodcut prefacing the printed editions shows a wholly traditional skeletal Death, suggesting that this was how he was envisaged by readers, and most probably also audiences of the play.68 If so then the skull-mask of Death is used in _Everyman_ with a chilling subtlety quite in keeping with the sensitivity of the play as a whole. Everyman does not greet Death with the horrified recognition of Mankind in _The Castle of Perseverance_ , the obvious response to the walking skeleton. He seems neither to recognise Death, nor to notice his appearance, saying simply, 'I knowe the not. What messenger arte thou?'69 The unconsciousness of the unmasked human character intensifies the audience's response to the mask's awesome power, as with the gold face of Little God in the cycle play of _Christ before the Doctors_. Unlike other dramatic manifestations, Death is surprisingly unaggressive in his encounter with Everyman. He adopts a gentle, almost compassionate tone which contrasts with the grim inexorability of his message and appearance:\n\n_Dethe_ : | Eueryman, and thou be ones there,  \nThou mayst neuer more come here,  \nTrust me veryly...\n\nWhat, wenest thou thy lyfe is gyuen the,  \nAnd thy worldely gooddes also?\n\n---|---\n\n_Everyman_ : | I had wende so veryle.\n\n_Dethe_ : | Nay, nay, it was but lende the.70\n\nThe spectacle of the confused and human Everyman addressed with such stern but gentle intimacy by a horrifically costumed Death's head adds an extra poignancy to an already powerful encounter. Paradoxically, the mask gains in power from Everyman's oblivion, as the audience read the sign he cannot see.\n\nDevils\n\nThe Devil, like Death, has a well-established iconography and an even more pervasive and lively stage life, as outlined in the previous chapter; it is scarcely surprising that in the moralities he appears in the traditional costume with mask or full head, provoking the same balance between laughter and fear, ridicule and threat. The Devil is a familiar character in the early moralities, receding during the sixteenth century as the drama's preoccupations shift. Devils appear in all three of the fifteenth-century Macro plays, _The Castle of Perseverance, Wisdom_ , and _Mankind_ , apparently in the usual guise. _The Castle's_ Belyal is black and spouts fire. In _Wisdom_ Lucifer actually removes his 'dewyllys aray' to reveal the close-fitting costume of a 'goodly galont' for his seduction of humanity, an interesting practical reversal of the 'fair mask' of temptation. Neither play specifies the devilish visor, but it seems a natural part of the costume, as in the Cambridge 'blak cote hose & cappe all of on for the devel', marking him off from the figures of humanity and allegorical vices among whom he moves.71\n\nIn _Mankind_ the Devil's mask is used for special play, not with the victim but with the audience. The three Vices build up the first entrance of the play's devil, Titivullus, collecting money from the spectators for the privilege of seeing the 'man wyth a hede that ys of grett omnipotens'.72 The stage business of collecting the money, and the way the spectators are implicated in the devilish spectacle they pay for, serve to magnify the effect of Titivullus' entry, particularly spotlighting the promised 'hede'. Titivullus then, from behind 'a net of invisibility', distracts Mankind from his virtuous labour by various stage tricks: putting boards in his field, spoiling his seed, and stealing his spade. Since Mankind is oblivious of the devil-mask its relationship with the spectators is accentuated. Titivullus establishes a conspiracy with the onlookers like that of a pantomime villain, drawing them in as silent accomplices in his plots and his joke against Mankind as he tells them:\n\nI am here ageyn to make this felow yrke.\n\nQwyst! pesse! I xall go to hys ere and tytyll therin...\n\nAnde euer ye dyde, for me kepe now yowr sylence.73\n\nThe audience is tricked into complicity, not with the human Mankind who represents themselves, but with the hideously devil-headed tempter, the alien being who is manipulating humanity.\n\nIn the later moralities it is more often the ludicrous aspect of the Devil's grotesque appearance that is emphasised: the horned, masked, and tailed figure of the Middle Ages was by the later sixteenth century beginning to seem somewhat superstitiously old-fashioned.74 By 1620 when John Melton comments scathingly on the 'shagge-haired Deuills' of _Dr Faustus_ who 'runne roaring over the stage with Squibs in their mouthes', the traditional devil figure had almost disappeared.75 He had become a theatrical sensation, remembered affectionately by those like Jonson's Timothy Tattle who longed nostalgically for 'the devil for my money',76 The Devil of the late moralities which Tattle recalls was apparently still dressed in costume and mask like his predecessors but is often treated with derision, rather than fear, by the Vices of the plays.\n\nThe mask itself may have contributed to this scenario: an elaborately masked actor with restricted eye-lines will inevitably lumber about in comparison with an unmasked Vice. The Vice Ill-Report in Thomas Garter's _Susanna_ (c.1560) mocks and bullies Satan, although the hideously visored devil in this play still finally triumphs over his quick-witted tormentor.77 In _Like will to Like_ (1568), the scornful comments of other characters suggest that Lucifer's mask has lost its power to terrify. He is called 'some dancing beare' (suggesting his shagginess) and mocked for his 'bottle nose' and 'that ill face'.78 Fear is by no means necessarily absent: but it is likely to be provoked more by the careless arrogance of the Vices' mockery than by the devil-mask itself. _All for Money_ (1578) shows a very similar situation when Satan, 'deformedly dressed', enters with Gluttony and Pride 'dressed in devils apparel' to consult with Sin.79 Sin's remarks about the ugly face and bottle-nose again single out the mask; yet Satan's role in the ensuing argument is helpless and humiliated, as Sin contradicts, attacks and comically bullies him. The role of complicity with the audience, the edge of threat apparent in the earlier plays, has shifted to the Vices, leaving the Devil's mask as the traditional child's terror, something to be mocked rather than feared.80\n\nFIG. 12: Diabolical long-nosed priapic mask, Innsbruck\n\nThis appears to be confirmed by the strategies of later dramatists. Marlowe's _Dr Faustus_ embodies the serious strength of the devil in Mephostophilis' disguise as a friar,81 calm, cool, sinister in manner rather than appearance, his 'devilish' aspect deliberately put aside. The 'shows' of traditional masked devils and fireworks are largely distractions, designedly childish. The alternative, taken much later by Ben Jonson in _The Devil is an_ Ass, is to play up the ludicrous, undignified aspect of the traditional devil figure, emphasising that for a culture questioning the power and role of images the grotesque face has become, as it supposedly remains, merely comic.\n\nA small group of late morality figures take over elements of the Devil's hideously masked appearance. All are associated with damnation, and suggest a slightly changed conception both of the nature of evil and of the expressive capacity of masks. In _All for Money_ , Damnation has 'a terrible vysard on his face, and his garment shalbe painted with flames of fire'.82 He and Satan stand as horrifyingly non-human figures, distinguished by their terrible masks from the apparently unmasked characters around them. But their faces are reflected in two other characters: Judas enters from Hell, accompanied by Dives, 'like a damned soule, in blacke painted with flames of fire, and with a fearful vizard'.83 They address the spectators directly on the consequences of inordinate love of money, the terrible masks projecting the fearful fate of the audience rather than the actuality of the devil. In Wager's _The Longer Thou Livest the More Fool Thou Art_ (1569) a similar costume and role is given to God's Judgement who passes sentence of damnation on the old, foolish, and unrepentant protagonist, Moros.84 He enters 'with a terrible visure',85 and strikes the unseeing Moros with the sword of vengeance. Confusion then enters from Hell 'with an ill-favored visure and all things beside ill-favored'86 and seals Moros' damnation by carrying him off on his back to Hell. These masks seem to represent an evil located in a spiritual state, in the situation of damnation, rather than in the devil himself.\n\nIn George Wapull's _The Tide tarrieth No Man_ (1576)87 a similar mask is given to Despair, who attacks the protagonist Wastefulness, luring him towards suicide. A stage-direction specifies that Despair, later called a 'monster', should 'enter in some ugly shape',88 suggesting a shape-changing costume including a mask or head. Instead of encountering Wastefulness directly, Despair 'stands behind him' to speak, Wastefulness apparently hearing him as an inner voice rather than responding to him as a visible character.89 Consequently the hideous head seems almost to function as a projection of Wastefulness' psychological state, dangerously close to damnation, rather than as an autonomous agent of temptation like the vices of the play. The mask begins to embody an imaginative projection of the individual psyche.\n\nGiants\n\nOne subsidiary group of characters shares the full-head mask construction associated with Deaths and Devils. Three linked sixteenth-century plays present a humanist educational allegory in which the young hero, Wit, seeks marriage with the lady Science (Knowledge).90 One of the obstacles in Wit's quest is a battle with the monster Tediousness, who wears a full-head mask contributing to his giant stature. All three versions of the play stage the same episode. The first, John Redford's _Wit and Science_ (c.1530), directs 'Tedyousnes cumth in with a vyser over his hed'; when towards the end of the play Wit kills him offstage he 'bryngth in the hed upon his sworde'.91 This visor appears to be a complete detachable head-piece, as it clearly was in many devils' costumes. This is specifically confirmed in the latest version of the play, Francis Merbury's _The Marriage Between Wit and Wisdom_ (1570s), where the giant is called Irksomeness. The stage direction carefully explains:\n\nHere thay fight a while and Ircksomnis must run in a dores and Wit shall followe taking his visor of his hed and shall bring it in vpon his sworde.92\n\nThere is little to indicate what the mask looked like, though it may well have been worn on top of the head, making the giant even taller. Given the context of battle it is even possible that it involves a helmet. The motif is suspiciously like the pictures of David returning in triumph from the slaughter of Goliath in some Books of Hours. But clearly this visor is not intended to be separable from a face beneath. Like the Devil's mask it simply _is_ the head of the wearer. This sort of mask belongs to the freedom of technique which allows the playwright to personify a concept like boredom as a physically threatening giant.93\n\nVices\n\nAlthough the vices and personifications of evil in the moralities are all theologically offshoots of the Devil, they are very differently conceived, and belong to a very different theatrical world. As dramatic characters they have a complex presence: they represent neither human nor non-human beings, but crystallisations of moral forces. These forces are universal, with independent agency, and yet also represent forces at work in the individual psyches of the human protagonists. The balance between these poles is a shifting one, both across the history of morality drama, and within individual plays. The active roles the vices take are similarly complex and diverse. Allegorically they function primarily as tempters of the human soul; but they are also sowers of discord, instigators and manipulators of the action, part of and yet separate from Mankind, controlling him yet subject to his will. Theatrically they are often the main focus of energy in the plays, a source of laughter and fear, standing in a peculiarly intimate relationship with the audience and often sharing in a distinctive stage persona identified by familiar theatrical routines.94\n\nThis all suggests that the vices might be particularly fruitful maskers. Personifying some very specific and suggestive moral qualities, from Covetousness to Counterfeit Countenance, Haphazard to Hypocrisy, they might well have a use for masks embodying these states. Alternatively, masks might enhance their role as tempters. The vices almost invariably conceal their real natures and present the protagonist with a seductively fair-seeming persona: this is a strategy which neatly allegorises the self-deception of the individual's first steps into sin, while overtly demonstrating the duplicity of evil. But in fact there is little if any evidence that the vices adopted masks for these purposes. Ideas associated with masking often pervade their language, in imagery of visors, false faces, painted looks; disguise is often central to the vices' roles in the plots, and even to their stage routines. Ideas of masking are associated with them outside the plays as well as in. Thomas Tusser comments on an 'envious neighbour' in the _Five Hundred Points of Good Husbandry_ (1573), with 'His face made of brasse, like a vice in a game'.95 But the image of the 'brass face' had already, like the proverbial 'two faces in a hood', entered the language as a common metaphor for impudence. Although the vices make sophisticated play with masking metaphors of disguise and concealment it is not clear that they were ever actualised in wearable masks. The texts suggest that the vices' disguising tends to focus on two other areas: a change of clothes and\/or a change of names.\n\nThe change of clothes for a vice who wishes to seduce rather than terrify or repulse humanity goes back at least as far as _Wisdom_ where Lucifer himself appears 'in a dewyllys aray wythowt and wythin as a prowde galonte'.96 This change of clothes becomes an increasing feature: in _Respublica_ (1553) the Vice Avarice explains to his companions:\n\nagaynste I youe call\n\nye muste haue other garmentes, and soo must ye all\n\nye muste for the season counterfaite gravitee.97\n\nHis own costume change consists of turning his gown inside-out, to hide his money bags. In John Bale's _Kynge Johan_ (1538\u201360) the vices assume both the clothes and identities of particular historical characters; while in David Lindsay's _Ane Satyre of the Thrie Estaitis_ they play a comic routine as they change into religious habits.98 This costume change is accepted as impenetrably concealing. When Malicious Judgment in Wager's _Marie Magdalene_ (1566) tells the disguised Infidelity 'I had not knowen thee but by the voyce',99 Infidelity puts this down solely to a change of clothes:\n\nFor euery day I haue a garment to weare,\n\nAccording to my worke and operation.100\n\nInfidelity is even reminded later in the play, 'As nere as thou canst, let him not behold thy face',101 implying that the face itself remains unmasked.\n\nThe other form of disguise for the Vice is a change of names, a linguistic shift that appropriately emphasises that the alteration is not of the Vice's quality but of human perception. The verbal play could even be seen as a reflection of the increasing scepticism in sixteenth-century theories of language about any divinely determined relationship between signifier and signified, and as such it may even be enhanced by a deliberate absence of facial disguise to match the new name.102 In the _Thrie Estaitis_ and _Respublica_ the change of name is built up into elaborate routines of mock baptism; but by the time of _New Custom_ (1573) it is so established that Perverse Doctrine and Ignorance can simply remark, 'It were expedient that both our names were amended' without further explanation.103 Name change becomes such a familiar convention that it can be introduced almost casually and generates many comic routines around the vices' remembering and forgetting of their assumed names.104 This light-hearted play itself contributes to a wider morality interest in questions of identity, but has no certain association with the wearing of masks.\n\nThe Virtues and God\n\nThere is even less evidence that dramatic personifications of virtue were commonly masked. There seems no iconographic tradition to link virtues with masks beyond the obvious one of giving them beautiful faces, especially when, as often, they were personified as women. So Chastity in _Ane Satyre of the Thrie Estaitis_ 'hes the fairest forme of face' and apparently, along with Verity, a flowing wig of blonde hair.105 In _The Three Ladies of London_ (1584) Love, Conscience, and Lucre have 'a dainty face', 'a lovely face', 'a face angelical'. This suggests that the moralities more or less followed the normal convention without making anything particular of it.106\n\nGod appears in only a few of the earlier moralities, and there seems no reason to doubt that the tradition of a gold face for divinity established in the mystery cycles was at that point considered perfectly appropriate.107 Indeed in _Wisdom_ the stage directions specify that Wisdom, who is Christ, shall wear 'a cheueler wyth browys, a berde of gold of sypres curlyed' which sounds like at least a half-mask; and the tradition seems to have extended to the pagan deities of Latin and Greek academic plays in the sixteenth century: St John's College costume inventory records 'A golden face & crowne for Iuppiter' in 1548.108 But it is not clear whether figures associated with God, or personifications of divine attributes, were also gold-faced. It might be the case in _Wisdom_ since Anima, constantly referred to as made in the image of God, is said to wear 'a cheueler lyke to WYSDOM', which could imply a similar half-mask.109 But there is nothing to suggest that this was a common tradition. No reference is made to golden or shining faces on Divine Correction in the _Thrie Estaitis_ or Nemesis, the instrument of divinity in _Respublica_ , although there are allusions to various other items of their costumes and properties \u2013 wings, a wheel, a sword, a crown. Equally, though, absence of evidence does not prove that they were not gilded. Light of the Gospel in the Puritan _New Custom_ (1573) is briefly described as:\n\nA good personable fellow, and in countenance so bright,\n\nThat I could not behold him in the visage aright110\n\nwhich could suggest a gold face of the kind seen in the mysteries. But this reaction is not developed in the play, and the cast list identifies Light of the Gospel's costume as being simply that of a 'minister'.\n\nBy the end of the sixteenth century we find a widespread sensitivity to the concept of masking and disguise, seen specifically in the language and discourse of the vices and more broadly in the increasingly self-conscious preoccupation with questions of identity. This suggests one possible reason for the apparently bare-faced virtues. It is explicitly stated by the personification of Virtue herself in Dekker's _Old Fortunatus_ (1599): when told by Fortune that she should acquire a gold face in order to make herself more attractive she proclaims, 'Virtue abhors to wear a borrowed face'.111 The concept of the mask is alien to the supposedly pure and unmediated nature of virtue; this concept, it seems, now carries more weight in performance than the mask itself. But such scruples were less common before the Reformation, when morality virtues seem equally bare-faced. Moralities, as far as we can tell, had no accepted tradition of using masks to present intrinsic moral qualities, whether good or bad.\n\nFigures of Mankind\n\nAlmost all morality plays centre around a 'mankind' figure: a representative of general humanity or a particular type of human being, who is the focus of attention for the personifications of good and evil. Although the part these figures play in the action may be slight, or passive, they are the centre of both the plot and the network of moral ideas the plays dramatise. It is not surprising, then, that the most interesting and inventive use of masks in the moralities concerns these figures of humankind. Masks are introduced for the human protagonists usually at moments of crisis, to mark moral change. In effect they always relate to moments of corruption and degeneracy, although this may itself be determined by the underlying shape of the morality protagonist's experience. The pattern that tends to structure all the plays, however much it is varied, adapted, or modified, is a movement which runs from innocence to corruption and usually, especially in the earlier plays, on through to redemption. This pattern is obviously determined by Christian perceptions of the human condition. Mankind is born innocent, capable of good and evil. Being mortal he is necessarily corruptible, although within the Christian vision also redeemable. Consequently, for any generic figure of humanity the fall into sin and usually also the return to grace are inevitable parts of human experience. Masks, where used, tend to be introduced at the turning point where innocence is corrupted, and removed again at the upturn where sin is redeemed. They belong to the middle phase of the pattern.\n\nThe pattern of experience outlined here is seen particularly clearly in the one surviving eye-witness account of the performance of a morality play. Ralph Willis describes watching the lost play _The Cradle of Security_ as a young child, probably in the 1570s. The protagonist, 'a king or some great prince', was lured from his graver counsellors and habits by the pleasures offered by three ladies, Pride, Covetousness and Luxury (Lechery):\n\n... that in the end they got him to lye downe in a cradle upon the stage, where these three ladies joyning in a sweet song rocked him asleepe, that he snorted againe, and in the meane time closely conveyed under the cloaths where withall he was covered, a vizard like a swines snout upon his face, with three wire chains fastned thereunto, the other three end whereof being holden severally by those ladies, who fall to singing againe, and then discovered his face, that the spectators might see how they had transformed him, going on with their singing. Whilst all this was acting, there came forth of another doore at the farthest end of the stage two old men... and then the foremost old man with his mace stroke a fearful blow upon the cradle, whereat all the courtiers, with the three ladies and the vizard, all vanished; and the desolate prince starting up bare-faced, and finding himselfe thus sent for to judgement, made a lamentable complaint of his miserable case.112\n\nThis might easily serve as a paradigm for the kind of morality action which uses masks most expressively. The visor is put on the king's face at the moment of corruption, the moment when his soul accepts Pride, Covetousness, and Luxury. Yet it is smuggled onto him secretly, while asleep, emphasising his ignorance of his own sin and unconsciousness of its effects. It is taken from him at the moment of revelation, which in this play is provoked by the End of the World (as Willis identifies the Old Man); this moment opens man's eyes to himself, and he is left 'bare-faced', alone with his own self-knowledge.\n\nThe management of the action points up the parallel with the myth of Circe, as the mask reveals externally the moral deformity and spiritual degeneracy that the acceptance of sin involves. According to Boethius' influential moralisation of the Circe myth, 'a man wallowing in foul and impure lusts is occupied by the filthy pleasures of a sow'.113 The subsequent shocking removal of the mask reflects an image seen in the frontispiece of one of the emblem books, Jacob de Gheyn's Masks, where Death pulls the masks from two women [PLATE 28].114 The accompanying verse by Hugo Grotius stresses the women's deliberate assumption of the masks, and the need to bare one's face to Christ:\n\nDetrahe personam simulator, detege vultum,\n\nDum nondum Mortis cogeris imperio.\n\nDetrahe personam, dum vivis detege vultum,\n\nSic tibi, sic Christi vultus amicus erit.\n\nTake off your mask, pretender, uncover your face, while you have not yet been forced by the power of Death. Take off your mask, uncover your face while you still live, for so the face of Christ will be your friend.\n\nAlthough the spiritual implications are slightly different, the visual link between unmasking and self-realisation in both texts is powerfully confirmed. The king's mask in _The Cradle of Security_ therefore pulls in two directions: on the one hand it represents the true spiritual corruption of which he is unaware; on the other, it acts as a concealment of his self which must ultimately be removed to enable self-awareness in the face of the absolute. Although the action in _The Cradle of Security_ is theatrically simple, the mask in context is richly expressive, demonstrating some complex and subtle moral ideas with vivid theatrical clarity. It becomes an integral part of the drama, a necessary stage of the action rather than just an illuminating adjunct to it.\n\nAlthough _The Cradle of Security_ is now lost, several extant plays make very similar use of masks. Even more follow the same visual pattern, in which Mankind in his central phase of corruption is physically deformed \u2013 by ludicrously over-fashionable clothes in Mankind, by the rags seen in _Magnyfycence_ and _Respublica_ , or even by false emblematic attributes: the trusty weapons of Christianity in _The Tide Tarrieth No Man_ (1576) are changed into a sword of 'policy' and a shield of 'riches'. Visual realisation of this moral structure is also clearly implied in the title of a lost political morality played at Cambridge in 1553, 'cawled Anglia deformata and Anglia Restituta'.115 Most of the moralities that introduce masks for their human protagonists use them to contribute to a similar visual pattern of deformity.\n\nPLATE 28: Death removes the masks from fair women. Jacob de Gheyn II _The Masks_ [1595\u201396] title page.\n\nLondon: Theatre Museum, Henry R. Beard Collection F. 156\u201322. \u00a9 V&A Picture Library.\n\nMost simply, masks become physical indicators of moral corruption, without any further development. Physical deformity is a common image for spiritual corruption in medieval literature: the hideous leprosy that strikes Cresseid in Henryson's _Testament of Cresseid_ is an obvious and striking example.116 The motif is exploited at various times right through the morality tradition and in at least two plays, the fifteenth-century _Wisdom_ and John Bale's _Three Laws_ (1538), the corruption of the protagonist is expressed in simple facial disfigurement.\n\nIn _Wisdom_ the soul, Anima, is endowed with three personified faculties, Mind, Will, and Understanding. They are costumed 'all thre in wyght cloth of golde, cheveleryde and crestyde in sute', clearly reflecting Anima's own 'cheveler lyke to WYSDOM' and 'wyght clothe of golde gysely purfyled wyth menever'. In the course of the play the three faculties, led astray by Lucifer, have their clothes changed, apparently for the fashionable dress of gallants. At the climax of the action Anima, who has been offstage during this period of corruption, is summoned by Wisdom to confront her three faculties: 'Here ANIMA apperythe in the most horrybull wyse, fowlere than a fende'.117 The reference to the devilish 'horrybull wyse' and the play's constant emphasis on the soul as the 'image' of God suggest that this disfigurement includes a mask or facial deformity of some obvious kind. Confronted with this fearful figure, the three faculties are quickly brought to understanding and repentance, and Anima is led out singing 'in the most lamentabull wyse' to undertake penance. She then returns with Mind, Will, and Understanding, 'all in here fyrst clothynge, her chapplettys and crestys, and all hauyng on crownys'.118 Anima appears as a largely passive figure in this action, the _tabula rasa_ on which identity is written by others. She recognises and sorrowfully suffers the deformity brought upon her by the corruption of her three faculties, but is offstage during the scenes of downfall and redemption, when the hideous masked costume is put on and taken from her. Consequently she appears as the victim rather than the agent of corruption; her disfigurement and restoration act as striking visual signs, demonstrating the moral effect on the individual soul of the sins we have observed.\n\nJohn Bale's _Three Laws_ presents a similar action although with non-human protagonists; God's three dispensations, the Law of Nature, the Law of Moses, and the Law of Christ, are successively corrupted by Infidelity aided by various vices.119 The text implies that masking played a part in at least one of these episodes of corruption. When the Law of Nature is attacked by Sodomy and Idolatry, Sodomy claims, 'I wyll corrupt Gods Image \/ With most unlawfull usage'.120 The Law is taken offstage and returns lamenting:\n\nI thynke ye marvele to see soch alteracyon\n\nAt thys tyme in me, whom God left here so pure...\n\nBy hym [man] have I gote thys fowle dysease of bodye,\n\nAnd as ye se here, am now throwne in a leprye.121\n\nThe words of the Law of Nature suggest a mask or paint demonstrating facial deformity. Such a mask was certainly used in the Cornish saint's play _Meriasek_ (1504): when the Emperor Constantine is punished with leprosy for his sinful persecution of the Christians, a stage direction indicates, 'a vysour aredy apon Constantyn ys face'.122 Leprosy offers a forceful visual image epitomising, as in Henryson's Cresseid, the medieval association of ideas of deformity, disease, and sin.123 After the downfall of the Law of Nature, the Law of Moses is crippled and veiled to signify blindness, while the Law of Christ is dressed in filthy clothes. The Laws are finally led before God who restores their unblemished state: 'Thu, Lawe of Nature, we first begynne with the, \/ Restorynge the agayne to thy first puryte'.124 Obviously some fairly rapid cure of the leprous deformity is envisaged, easily performed by the removal of a mask. Like Anima in _Wisdom_ , the Law of Nature knows and repents his deformity but is powerless to prevent or remedy it.\n\nBoth plays show the most straightforward way in which an ugly stage mask can be used as an emblem of moral ugliness. Offstage, out of sight of the audience, the mask is placed on the passive recipient. The theatrical effect is largely one of shock: the horrified surprise when a previously normal or beautiful face suddenly re-appears deformed or hideous. But the processes of moral corruption, like the masking itself, can be far more complex. Different dimensions are added in plays where the mask-wearers are not seen just as victims, but as agents in their own corruption and deformity. This tends to focus theatrical attention on an onstage acquisition of the mask, which becomes a more dynamic and multivalent stage sign, paralleling the more complex analysis of spiritual development and moral progression. Interestingly the human protagonists never seem to assume masks of their own accord: as in _The Cradle of Security_ the masks are slipped onto their faces without their conscious knowledge. While making for some interesting stage effects, this also graphically demonstrates Mankind's lack of real awareness of the nature and effect of moral corruption. Although bringing it on himself, he is not fully conscious of what he is doing. Consequently these mask episodes tend to address not just sin but questions of self-awareness and self-knowledge. The mask is involved not just with moral states, but with the issues of awareness of identity involved in what we now term subjectivity.\n\nSuch questions are already emerging in _Wisdom_ even though Anima does not play an active stage part in her own deformity. The relationship between the Soul and her three faculties is peculiarly intimate: in a sense they _are_ the soul even though they also represent separate powers. The play articulates a parallel between Anima and God, the three faculties and the Trinity. As God is the fusion of Father, Son, and Holy Spirit, Anima is the fusion of Mind, Understanding, and Will. Although it is the faculties and not Anima that we see sinning, their corruption is hers, as her deformity is theirs. As Wisdom forcefully exhorts the three powers when he introduces the horrifyingly disfigured Anima:\n\nSe howe ye haue dysvyguryde yowr soule!\n\nBeholde yowrselff; loke veryly in mynde!125\n\nShe is the mirror that both reflects their truth and offers a moral warning. To draw a more recent parallel, Anima and her mask function like the portrait of Dorian Gray, showing the faculties their true selves and bringing them self-knowledge.\n\nIn most moralities, however, the protagonist is undivided, and the sinner and mask-wearer are one and the same. This emphasises the internal nature of spiritual corruption, dependent on personal actions and consent to sin: the mask externalises this inner truth. Although the protagonist may not fully realise what he is doing, there is usually a clear moment when the soul ceases to resist or even to recognise temptation, losing discrimination between right and wrong. In _The Cradle of Security_ this moment arrives when the King falls asleep: accepting Pride, Covetousness, and Luxury, he loses consciousness of their nature. The secret putting-on of the mask during this sleep emphasises that the King, although willingly accepting sin, does not realise what it makes of him and does not recognise his own bestial nature: he does not know he is wearing the mask. Like a dream, the sleep-induced mask objectifies an unconscious truth of the psyche. Such scenes help us to re-create the resonance of the ass's head that Shakespeare puts on an equally unconscious Bottom in A _Midsummer Night's Dream_. Bottom's mixture of self-ignorance and self-knowledge is richer and more complex, less strictly ethical, than that of the morality figures. But the theatrical capacity of the mask not to deceive but to express unconscious inner truth, that Shakespeare exploits so densely in the ass's head, is first discovered and established in these morality plays.\n\nThe onstage masking of characters without their knowledge obviously offers opportunities for imaginative theatrical action. Willis describes a scene dependent on sleight of hand and surprise; a similar episode in R. Wilson's _The Three Ladies of London_ (1584) devises an almost opposite method. In this play Lucre, one of the three Ladies, keeps company with Usury, Dissimulation, and Fraud; the other two, Love and Conscience, attempt to preserve their virtue while sinking ever deeper into poverty and distress. But when Conscience is humiliatingly reduced to selling brooms (the emblematic attributes of her own cleansing property),126 she finally gives way to Lucre's blandishments, consenting to compromise her purity in accepting her sister's pleasures. During their exchange Lucre quietly sends for a pretty little 'box of abhomination'. When 'a painted box of ink' is brought:\n\nHere let LUCRE open the box, and dip her finger in it, and spot Conscience' face, saying as followeth...127\n\nWith her inky finger the friendly Lucre affectionately admires Conscience's beauty, gently stroking her face feature by feature. By the time the alliance is sealed with a final kiss Conscience's face is stained 'with all abhomination',128 although she apparently remains unaware of her appearance until the end of the play. Unlike the magician's trick of _The Cradle of Security_ , the theatrical power of this episode rests on Conscience's willingly unconscious co-operation in a seductive, almost erotic process of disfigurement of which the audience are witnesses.\n\nThis slow, comic, but sinister facial disfigurement emphasises both the amorous seduction of temptation and Conscience's dangerous lack of awareness of both her sin and her self. In her trial and imprisonment at the end of the play she finally recognises her own corruption, lamenting her hideous face and repenting for her acquiescence in sin. But it is unclear both how this self-knowledge has developed, and whether the disfigurement is redeemable. It is not until Conscience removes her veil at the beginning of the play's sequel, _The Three Lords and Three Ladies of London_ , that she and the audience discover that the disfigurement is gone, presumably as a result of her penance in imprisonment. Wilson's interest in the loss of self-knowledge that accompanies sin and corruption is apparently not extended to the re-awakening of self-awareness.\n\nMasks and Mirrors\n\nThose moralities that use this masking motif most expressively of all are those concerned with both loss and reawakening of self-awareness, raising questions about the effect of self-knowledge on identity itself. The consequent explorations of subjectivity testify to a continuing interest of the morality tradition.129 In the widely spread handful of plays that use visors for this purpose there is a fascinating association of masks with mirrors that makes for particularly forceful theatre. Both objects have wide emblematic associations; in performance, both belong to a specialised language of objects, being means of presenting other or parallel realities, which makes them almost uneasily powerful in the theatre. Both can be expressive dramatic metaphors for ideas connected with self-knowledge and true identity. Mirrors offer a physical means by which individuals can see themselves from outside, as others see them, and arguably as they really are. Yet the unreality of a mirror's reflection makes it also suspect, and open to the perceptual distortions of pride and fantasy. Masks can demonstrate concealment of the truth, the false face that covers real identity. Yet conversely the masks worn by morality protagonists may reveal the true state of the soul; they offer the spectator a reflection of inner truth that may not be apparent to the wearer. The combination of the two objects, mirror and mask, each with its different relationship to identity and individual truth, can be strikingly compelling.\n\nMedieval and early-modern thinking on mirrors as instruments of spiritual and moral perception was highly developed.130 Alain de Lille in the eleventh century distinguished multiple levels of mirror, true and distorting, in _quo te debes videre_ ('in which you should see yourself): the triple mirrors _scripturae, naturae, creaturae_ ('of scripture, nature, creation'), reflected the self within the wider truth of God's creation, as in the 'mirour that highte Middelerthe' that Fortune shows the dreamer in _Piers Plowman_.131 Yet the inner triple mirror of individual perception was also _speculum rationis, sensualitatis, camis_ ('the mirror of reason, of the senses, of the flesh'), each offering a different view of human actuality whose reflections might work against rather than with each other in developing human understanding. The mirror was seen as offering not only a reflection of what is, but an example of what ought, or ought not to be.132 So Christ in the York _Baptism_ urges men to follow him, 'For men schall me ther myrroure make', while Henryson's Cresseid warns readers to beware of her fate and 'in your mynd ane mirrour mak of me'.133 The mirror has a far more active role than simply the passive reflection of reality.\n\nLike masks, mirrors also carried diverse and sometimes contradictory emblematic significances during the Middle Ages and early-modern period. They are used by figures of vanity, pride, and lechery, to demonstrate sins of self-obsession. But they also symbolise the virtues of wise self-knowledge, held by personifications of Prudence, Wisdom, and Truth, or the man in an emblem by Joannes Sambucus whose motto is _Conscius ipse sibi_.134 Even in non-dramatic emblems there are occasional connections made between mirrors and masks, or strange and deformed heads. In one representation Pride is painted wearing a false face _and_ looking in a mirror: self-obsession resulting not in self-knowledge, but in knowledge only of a false self.135 On the other hand, the early-sixteenth-century Prudence carved on the tomb by Michel Colombe in Nantes Cathedral, who carries a mirror by which she knows herself, also has a double face to signify that she looks to both past and future.136 While the sculpture does not present this as a mask, that is how it would be realised in performance; and indeed an undated document in the Revels accounts (probably for the time of Edward VI) records just such a stage figure. In the largely allegorical cast for an unknown 'Enterlued', Wisdom is characterised as 'A woman with to faces and in eache hand a glas'.137 The double-faced mask that reveals Wisdom's capacity to see past and future contemplates itself in the mirrors in order to achieve self-understanding.\n\nAs the moralities associate masks with moments of moral crisis for the protagonist, mirrors may similarly indicate points at which a character undergoes spiritual change. The conversion of Wager's Marie Magdalene from sin to repentance is initiated by her encounter with the mirror of the Law. This mirror offers more than a simple reflection, as Law explains:\n\nIn me as in a glasse doth plainly appere,\n\nWhat God of his people doth require.138\n\nMary confirms this when she looks in the mirror:\n\nO frend Prudence, doe you see yonder glasse?\n\nI will tell what therin I do see...\n\nAll men for synne by God's sentence damned be.139\n\nThe reflection reveals the universal spiritual truth of the human condition. But the glass is nonetheless associated with self-knowledge: the Law says that in it, 'The weakenesse and sinne of him selfe he may se', and Mary's contemplation of the reflection triggers the arrival of the character 'Knowledge of Sin'. The mirror creates a turning point, the first step in her re-evaluation of her self and spiritual regeneration.\n\nSince both mirrors and masks can play such important dramatic roles at moments of crisis and change in the plays it is not surprising that they should function so powerfully when linked.140 The conjunction can be exploited even in non-dramatic literature. Masks and mirrors, for example, interact at one of the climactic points of Dante's _Paradiso_. When Beatrice urges Dante to drink from the river of divine light, he tells us:\n\ncome fec'io, per far migliori spegli\n\nancor delli occhi, clinandomi all'onda...\n\nPoi come gente stata sotto larve\n\nche pare altro che prima, se si sveste\n\nla sembianza non sua in che disparve\n\ncosi mi si cambiaro in maggior feste\n\nli fiori e le faville, si ch'io vide\n\nambo le corti del ciel manifeste.141\n\nAs I to make still better mirrors of my eyes bent down to the water... then like people who have been masked, and seem other than before if they put off the semblance not their own in which they were hid, the flowers and the sparks changed for me into a greater festival, so that I saw both the courts of heaven made plain.\n\nThrough the 'mirrors' of his eyes, the image of contemplation and understanding, the false mask of appearance is discarded, so that Dante sees the landscape for what it truly is: the bliss of the courts of heaven. This intense poetic moment is persuasively analogous to the more concrete dramatic examples of the morality plays.\n\nThe first play to link masks and mirrors in the process of self-recognition is an early academic morality written in Latin prose, Thomas Chaundler's _Liber apologeticus_ (c.1460). This may never have been intended for performance: the sole manuscript is clearly a reading rather than an acting text, ornamental and beautifully illustrated. However, it shows a firm grasp of what could be effective in performance in its action, if not in its rather leisurely language and execution.\n\nIn the opening scene Man is created innocent by God and Reason gives him a 'mirror of contemplation so that he may understand the nature of his being'. This is initially, then, a glass of self-knowledge; but as Reason explains, such knowledge must lead beyond the self to include knowledge both of God and of creation. The mirror reveals existing truth, but can also teach Man what is right and show him when he is in danger of losing his true identity as the image of God. Reason tells Man to use the mirror:\n\n... si... distortus aliquando aut deformis exigencia demeritorum, imaginem Dei amiseris... quia cuiusmodi es talem effigiem ac similitudinem tibi... presentabit.142\n\n... if... at any time, distorted and deformed by the constraint of your demerits, you should have lost the image of God... for whatever sort of person you are, it will present your image and likeness.\n\nReason warns Man not to attribute any apparent deformity to a fault in the glass, but to consult it whenever he is in doubt to help understand himself and what he should do. The particular nature of the mirror's potential in the action is therefore delimited, although it never loses its traditionally mysterious quality.\n\nMan is given two companions, Reason and Sensuality, and in spite of his good intentions is soon persuaded by Sensuality to reject Reason and eat the forbidden apple. Immediately, struck with panic and uncertainty, he senses a change he does not understand and decides to look into Reason's mirror even though he is already losing his trust in it:\n\nCogito; estne sanum speculum? Temptabo speculari. Heu, horrenda mihi nimis, imago mortis apparebo.143\n\nI wonder whether the mirror is sound? I shall try to look. Alas! beyond measure horrible to me, I appear the image of death.\n\nAt the moment he looks into the glass he is appalled by the sight of his true self which has become an 'image of death'. Chaundler does not make clear how he envisaged this being staged (if he did at all). But the implications of the text are clear: at some point during his acquiescence in sin, his acceptance of the apple from Sensuality, Man's face has been deformed. Theatrical practicality suggests that, like Willis' King, a mask of death has been slipped onto his face without his knowledge. Now the mask of sin and death contemplates itself in the mirror of self-knowledge.\n\nWhether or not he was writing for performance, Chaundler shows no interest in the mechanics of stage business. But his play does show, often with quite poignant force, the spiritual and philosophical disturbance engendered. As the horrified Man observes his reflection his fevered speech reveals the disturbing tensions between face, mask, and mirror:\n\nInfrangam speculum, memet mihi condem(p)nans, quod... mortis nunc mihi imaginem et idolum confusionis declarat. Heu me miserum! Estne mutatus oculus aut speculum distortum? Videbo me iterum. He nephandum facinus! Deformis mihi videor sed et difformis et, quot sunt rupture, tot singularum partium et fraccionum singule deformitates... Heu me! Quo fugit decor meus, imago Dei in utriosque hominis uultu relucens?144\n\nI shall break the mirror which condemns me to myself, which... now reveals to me the image of death and the picture of confusion. [ _Breaks mirror_.] Alas, wretched me! Is my eye changed, or is the mirror distorted? I shall look at myself again. Alas, heinous sin! I seem to myself both deformed and misformed. There are as many particular deformities of particular parts and segments as there are broken pieces... Ah me! Whither has fled my beauty, the image of God shining out of the face of every human being?\n\nThe mirror shows him a self he cannot recognise or accept: the reflection exposes an antipathy between the mask and what Man believes to be his true face, which results in panic and dislocation. He cannot believe the mask is his true self, preferring to mistrust either his eye, his perception, or the mirror, his reason. His response, the smashing of the glass, provokes the apparently intuitive horror that still lingers around breaking mirrors. This horror is rationalised by the context: Reason's mirror has been strongly identified with Man's rational self, the image of God, so in breaking it he is attacking his own identity. But the mirror, though broken, continues to reflect his true image, the fragments simply representing his own psychological disintegration. Man is left with the sense of permanent entrapment in the mask: it _is_ now himself whether he accepts it or not, and in spite of his longing for his lost identity.145\n\nThe overall shaping of this episode clearly throws light on Shakespeare's compelling use of the same motif in _Richard II_. Richard similarly calls for a mirror in order to contemplate himself, similarly breaks it in revulsion against the discrepancy he feels between his real and his imagined self. Richard's confrontation with the mirror is only one moment in that play's much wider exploration of the questioning and performance of the self, and the implications are left largely unspoken, allowing the emblem to speak hauntingly for itself. Chaundler's morality, more transparently allegorical and didactic, spells out not unskilfully though certainly rather less dramatically the tensions that underlie the intensity of the stage image.146\n\nIt is of course quite possible that Chaundler's sequence was imagined without a mask at all, the death's head appearing only in the mirror as it does in a sixteenth-century portrait of the aged Hans Burgkmair and his wife.147 In an earlier parallel episode in DeGuileville's Le _P\u00e8lerinage_ the dreamer, looking in the mirror of conscience, sees himself ugly and throws it away.148 Although he is told that the mirror shows his true image it is not clear that his physical face is intended to show the same distortion as the mirror. But in medieval theatre it is unusual for visual effects to remain imaginary. It is rare for a character to see something that the audience can not: Macbeth's dagger belongs to a later kind of theatrical expression. So if the _Liber apologeticus_ was conceived in any way as a dramatic work it seems probable that masks would have been involved; and even if the play was not directly intended for performance, it still demonstrates forcefully the expressive potential of the stage action, as Chaundler articulates the complex and disturbing ideas that mask and mirror would dramatise.\n\nMan suggests that sin finally consists not in sensuality itself but in the betrayal of identity:\n\nDeposui picturam Dei cuius imaginem habui et indui me, pro nefas, picturam meretricis Sensualitatis... Non agnosco uultum quem ipse mihi formauit summus et rerum omnium optimus Creator Deus.149\n\nI have cast away the likeness of God, whose image I had, and I have taken on myself, O monstrous deed, the likeness of the harlot Sensuality... I do not recognise the face which He, the highest and most excellent Creator of all things, God, fashioned for me.\n\nHe has betrayed both his Maker and his self. Moving to a play which is more certainly designed for performance, this question of identity remains central.\n\nIn John Redford's _Wit and Science_ (c. 1530), the motif of mask and mirror definitely reaches the stage.150 The manuscript of the play, because of a lacuna, opens in the middle of a scene between the young hero, Wit, and his prospective father-in-law, Reason. Supporting Wit's suit to his daughter Science (Knowledge), but realising the difficulty of his quest, Reason provides:\n\nA glas of Reson, wherein beholde yee\n\nYoure-sealfe to youre-selfe.151\n\nThis mirror of self-knowledge will help Wit ensure that he is fit for Science. Clearly associated with Alain de Lille's triple mirror of perception, it is closely related to reason itself:\n\nThys glas of Reason shall show ye all:\n\nWhyle ye have that, ye haue me, and shall.152\n\nThis play explores a primarily secular process of education; but since the faculty of Reason is that which most closely reflects the divine Logos, the glass of Reason can reflect Wit as the image of God.\n\nAfter a disastrous first encounter with the monster Tediousness, Wit is helped to recover by the charming lady Honest Recreation; but having removed his 'garmentes of Science' to dance with her he falls into the lap of the even more seductive Idleness, who lulls him asleep after his exertion. As he sleeps, Idleness dresses him in the fool's coat and cap belonging to her son Ignorance, and then paints his face 'as black as the devyll'.153 Idleness' speech implies a grimly caressing affection as she applies the blacking, like that of Lucre in _The Three Ladies of London_ :\n\nBut yet to take my leve of my deere, lo,\n\nWyth a skyp or twayne, heere, lo, and heer, lo.\n\nAnd heere agayne.154\n\nLike the King in _The Cradle of Security_ , Wit is unconscious when his face is disfigured: having succumbed to Idleness he is no longer aware of himself. Idleness emphasises that the ugly face symbolises not just Wit's sin but, more importantly, his lack of self-knowledge. She tells her son:\n\nYe shall see wone here browght in such takynge\n\nThat he shall soone scantlye knowe hym sealfe.155\n\nWhen Wit awakes, unaware of his transformation, he immediately approaches Lady Science and her mother Experience, boldly confident of his welcome. Faced with their reserve, lack of recognition, and finally their outright information that he is 'fowle, dyspleasant and uglye',156 he responds with angry incredulity. Once alone he triumphantly pulls out his mirror in order to vindicate his own idea of himself. As in the _Liber apologeticus_ this precipitates a crisis of confusion and self-recognition which forms the turning point of the play.\n\nRedford has not only chosen an allegory of education more limited than Chaundler's profound spiritual archetype, but unlike his predecessor has designed his play directly for performance by schoolchildren, keeping a firm eye on stage practice.157 The result is a very much livelier, more entertaining and theatrically viable play, but one in which the ideas are handled far more lightly, and less explicitly developed. Nonetheless, many of the serious questions of self-recognition and identity raised in the _Liber apologeticus_ also inform the mask-mirror episode in _Wit and Science_. Like Chaundler's Man, Wit engages in a long soliloquy with his mirror, moving through a series of emotions and responses to his predicament, from resentful incredulity, through realisation, to humiliated and penitent self-acceptance.158 Throughout, there is a lively interplay between Wit's idea of his self, the mask, and the mirror's reflection. A further dimension to this confrontation of images is introduced earlier in the scene where Wit, unaware of his altered appearance, compares himself with a portrait that he had previously sent to Science, demanding, 'What dyference betwene this and this can ye fynd?'159 Picture and 'mask' face each other, actualising the discrepancy between Wit as he sees himself (and once was) and as the mirror reveals he truly is.\n\nWhen Wit looks in the mirror it is not, like Chaundler's Man, because of uncertainty but in order to confirm his complacently fixed conception of himself. In his initial horror he rejects the reflection as something alien to himself, ascribing the altered image to a fault in the glass:\n\nHah! Goges sowle! What have we here? A dyvyll?\n\nThis glas, I se well, hath bene kept evyll.\n\nGoges sowle, a foole! A foole, by the mas!\n\nWhat a very vengeance aylth this glas?160\n\nHe sees not himself deformed, but something not himself, blaming a weakness in his reason for the 'shamefully blotted' reflection. But in a striking piece of stage action he soon comes to realise that it is not the mirror that is at fault:\n\nHow looke ther facis heere rownd abowte?\n\nAll fayre and cleere they, evry-chone,\n\nAnd I, by the mas, a foole alone.161\n\nWit here turns his glass towards the audience, creating a comically uneasy theatrical effect by briefly forcing the spectators into the self-consciousness that comes from accidentally catching sight of one's public face.162 The audience fleetingly share the mirror's unsettling displacement of identity. This marks a step forward in Wit's self-discovery; as medieval mirror theory suggested, he measures his view of himself against his reasoned perception of the outside world. As he steps from his self-enclosed fantasy to this contextualised view he begins to recognise and accept his true self, no longer resisting the truth revealed in the mask.\n\nWit's new self-assessment projects him into a profound remorse and self-disgust which is only resolved by the entrance of Shame, who beats him until called off by Reason: physical penance seems the only way in which Wit's psychological turmoil can be calmed. As in _Everyman_ the processes of self-acknowledgement and penitence bring renewal. Wit's disfigured face and clothes are not removed on stage (a more difficult procedure with face-paint than with a visor), but Reason instructs three virtuous companions to 'Take him and trym hym in new apparell'.163 When he returns, clearly restored in both face and garments, Wit makes short work of defeating Tediousness and offering himself again to his lady. Although the whole episode is lightly handled and full of lively stage comedy, it also enacts a serious development in the hero's understanding of himself and his nature. Mask and mirror not only reveal identity, but also enforce Wit's awareness of it; that awareness allows him to re-shape and re-appropriate the image of his true self.\n\nThe performance of self-realisation through mask and mirror remains effective even in relatively undistinguished plays: a very late example, Barnabe Barnes' revenge tragedy _The Devil's Charter_ (1607) demonstrates its continuing theatrical viability even outside the morality tradition.164 In this play the seductively evil Lucretia Borgia is sent a poisonous cosmetic lotion by one of her lovers. As she applies it in front of a mirror, she sees and feels the corrosive ointment eat into and disfigure her face. Like a morality figure, she recognises in her hideously altered face a reflection of her true moral nature:\n\nWho painted my faire face with these foule spots,\n\nYou see them in my soule deformed blots.165\n\nThe glass of vanity shifts under our eyes into a glass of self-knowledge. Dying in agony Lucretia compares herself with Cresseid, the archetype of sinful deformity who was similarly started on a painful road to self-recognition by observing her suddenly leprous face in a mirror.166 Even in this fairly pedestrian play the conjunction of deforming mask and revealing mirror retains its theatrical and moral power.\n\nEmblems and Drama\n\nThe masks discussed so far have belonged to a tradition that seems distinctive to the theatrical priorities of the morality drama. There are a small number of moralities, however, that introduce more learned, more self-conscious, and often more elaborate versions of visors which derive more obviously from non-dramatic emblematic traditions. These masks tend to stand somewhat separate from the dramatic action and the plays in which they appear usually indicate access to courtly, educated, or aristocratic patronage and resources.\n\nThe first morality to exploit such emblematic masks is the fifteenth-century _Wisdom_ in which the three corrupted faculties of the Soul introduce elaborate disguisings.167 The masked dances, although wholly detachable from the rest of the play, vividly express its themes with the elaborate masks flamboyantly presenting moral ideas. The moral status of the unmasked faculties, Mind (now Maintenance), Will (Perjury), and Understanding (Fornication) is conveyed in the emblematic exactitude of the red-bearded, two-faced, and 'wondyrfull' visors and costumes of the dancers. Both these masks and the costly magnificence of the disguising form seem wholly appropriate for _Wisdom_ , which as an openly learned and philosophic play, relying heavily on costly and spectacular visual effects, must have had access to the resources of a wealthy and relatively well-educated audience.168\n\nCourt records of morality performances indicate the same value for costly, spectacular, and non-naturalistic costumes. The play performed for the coronation of Mary Tudor in 1553 dressed Mankind in seven yards of purple 'breges' satin; even characters like Scarcity had seven yards of russet satin, and:\n\nSicknes, feblenes, deformitie, thre longe Gownes, one of Tawny satten, the other ashe colored satten, the other blacke satten for every of them viii yardes.169\n\nCostuming is clearly magnificently emblematic, rather than straightforwardly representational. This apparently accompanies a readiness to recreate literary allegory and moral emblems, seen in references to roles such as Loyalty, 'A woman with a payre of ballance', or Labour, 'a woman with many handes'.170 This makes the use of symbolic masks more likely, confirmed by the description of Wisdom as 'A woman with to faces and in eache hand a glas'.171 Unfortunately the scarcity of scripts for courtly moralities makes it hard to assess the part such masks played. In the one surviving text that appears to fit the category, the late-printed _Liberality and Prodigality_ , the evidence is inconclusive.172 Although all the characters are allegorically named some, like Prodigality and Tenacity, are effectively treated as social types. The more conventionally emblematic figures like Vanity, Fortune, and Virtue are obvious candidates for masks, being given stately and demonstrative roles with highly symbolic costumes. Vanity is dressed 'all in feathers', while Fortune enters 'in her chariot drawn with Kings' in 'vestures wrought with gold so gorgeously'.173 There is, however, no explicit indication of masking, apart from Virtue's ambiguous comment on Fortune's 'double face, disguised, false and fickle'. These emblematic, pageant-like characters make masking a distinct theatrical possibility; but that is as far as the evidence reaches.\n\nEmblem masks were certainly used late in the period in some of Thomas Dekker's plays performed at court. A simple but forceful paradigm of the mask of moral corruption is found in _The Whore of Babylon_ (1607) which opposes figures of Truth and Falsehood, distinguishing them solely by their faces: the directions for the dumbshow specify 'F _alshood_ (attir'd as _Truth_ is) her face spotted'.174 Masking is more fully developed in _Old Fortunatus_ (1599) in which Dekker frames the popular tale of Fortunatus within a contest between allegorical figures of Vice and Virtue. The action introduces masks that echo those of the moralities: characters who eat apples of Vice acquire ugly faces and horns; these are removed by eating the apples of Virtue, whose motto _sibi sapit_ emphasises the importance of self-knowledge. Virtue and Vice themselves, appearing in largely separate framing scenes, demonstrate an emblematic use of masks that reflects not so much the earlier morality tradition as the pre-occupation with role-play and ambivalent appearance of the late sixteenth century. As in metaphoric discourse, it is Vice who wears a visor, a gold face demonstrating the false allure of sin. Virtue, who 'abhors to wear a borrowed face' is conversely unmasked, but a fool's coxcomb demonstrates the scorn in which she is held. These elaborate visors and costumes, and the careful explanations of their paradoxes, show the differences as well as the similarities between this more emblematic masking of the early-modern period, and the traditional techniques of the moralities.\n\nA play written for performance in the public playhouses, but clearly influenced by civic pageantry and courtly shows, gives us another distinctively emblematic mask. We have seen how R. Wilson's _The Three Ladies of London_ (1584) introduces the morality mask at the moment of moral corruption, painting Conscience's face from the 'box of all abhomination'. Another of the Ladies of London, Love, is similarly deformed by a mask. Married off to Dissimulation, Love re-enters 'with a vizard behind'. It becomes clear that she has been given a mask on the back of her head, a different version of the double-face signifying the duplicity of her marriage. As Love laments her monstrously swelling head Lucre investigates:\n\nIs your head then swollen, good Mistress Love? I pray you let me see.\n\nOf troth it is, behold a face that seems to smile on me:\n\nIt is fair and well-favoured with a countenance smooth and good;\n\nWonder is the worst, to see two faces in a hood.175\n\nLove is then obscurely described as 'a deformed creature much like Bifrons the base daughter of Juno'.176 These ready allusions to metaphor and classical emblem suggest a more literary understanding than one might expect from its intended popular audience. _The Three Ladies of London_ succeeds, if not at a very high level, in incorporating the sophisticated conceptual power of the emblem mask into the performance vitality of morality action.\n\nConclusion\n\nAlthough the moralities are not a fully masked drama, masks make an expressive contribution to their theatrical strategy. The plays draw easily on other contemporary masking traditions: they incorporate the gold-faced Gods and hideous devils of the mysteries, the conceptual conventions of emblem literature, the possibilities of disguisings. But in their most characteristic use of masks for the human protagonists the moralities establish a masking tradition of their own. These masks present not falseness or concealment but an intrinsic truth about the moral being of the wearer. Unlike the mystery visors, however, the morality mask retains a separation from the character: the truth it displays is a transient moral quality rather than a complete and essential nature. Both audience and, ultimately, mask-wearer must recognise the mask as a reflection of inner reality: yet it remains always potentially under the control of the character who wears it. This emphasises a particular conception of selfhood: by their own will and actions these characters can change the aspect of the self the mask represents; by recognising the truth of the mask they can find the power to put off its entrapment. Consequently a tension is set up between face and mask, for although the mask represents a truth about the self that cannot be denied, it is possible by changing the self to cancel the mask.\n\nIn the mystery plays it seems that mask and face were considered as one, the mask's wearer effectively abolished. The later disguisings, conversely, depend on a deliberate tension between the wearer and the mask, a flirtation with concealed identity and a tacit invitation to penetrate the disguise. Morality masks seem different from either: a tension does exist, but between character and mask rather than performer and mask. It is a tension that depends on the very intimacy of the mask with the face, the complexity of identity. Audiences are encouraged to focus neither on the mask, nor on the face behind it, but on the relationship between the two.\n\nNotes\n\n1 See for example Robert Potter _The English Morality Play_ (London: Routledge and Kegan Paul, 1975); Sumiko Miyajima _The Theatre of Man_ (Clevedon: Clevedon Printing Co, 1977); Pamela M. King 'Morality Plays' in _The Cambridge Companion to Medieval English Theatre_ edited Richard Beadle (Cambridge University Press, 1994) 240\u201364.\n\n2 See Rosemary Freeman _English Emblem Books_ (London: Chatto and Windus, 1948); Samuel Chew _The Pilgrimage of Life_ (New Haven: Yale University Press, 1962); _The English Emblem Tradition_ edited Peter M. Daly and others (University of Toronto Press, 1988).\n\n3 _The Pilgrimage of the Life of Man, Englisht by John Lydgate_ , A.D. 1426, _from the French of Guillaume de DeGuileville_ , A.D. 1330, 1355 edited F.J. Furnivall and K.B. Locock _EETS ES_ 77, 83, 92 (1899\u20131904) line 15100. See also _The Pilgrimage of the Lyfe of the Manhode_ edited Avril Henry _EETS 288_ (1985) lines 4509\u201312.\n\n4 See for example Dollimore _Radical Tragedy_ 153\u201381, 249\u201371; Richard Hillman _Self-Speaking in Medieval and Early Modern English Drama: Subjectivity, Discourse and the Stage_ (London: Macmillan, 1997) 1\u201330.\n\n5 Cesare Ripa _Iconologia_ introduction by E. Manowsky (Hildesheim; New York: Georg Olms, 1970; facsimile reprint of edition Rome: L. Facii, 1603) 174.\n\n6 Jan David _Veridicus christianus_ (Antwerp: Jan Moretus, 1601) no. 38, 'The World, the Flesh, and the Devil assault the Soul', reproduced in Chew _The Pilgrimage of Life_ figure 70.\n\n7 J.J. Boissard _Emblematum liber_ (Frankfurt: de Bry, 1593) no. xxi; reproduced in Eckhard Leuschner _Persona, Larva, Maske: ikonologische Studien zum 16. bis fr\u00fchen 18. Jahrhundert_ (Frankfurt and New York: P. Lang, 1997) 317\u201333 and figure 142.\n\n8 See e.g. Philip Galle's series of engravings of the Seven Deadly Sins (c.1600), where Envy, in particular, is distortedly ancient and hideous: Philip Galle _VII peccatorum capitalium imagines elegantissime a Philip. Gallaeo depictae et aeri incisae_ (s.d. [c. 1600]), reproduced Chew _The Pilgrimage of Life_ figure 83.\n\n9 _The Governaunce of Prynces or Pryvete of Pryveteis_ translated James Yonge (1422) in _Three Prose Versions of the Secreta Secretorum_ edited Robert Steele _EETS ES 74_ (1898) 218. This might seem to contradict the previous assumption, but the two traditions happily coexist.\n\n10 John Mirk _Festial_ edited Theodor Erbe _EETS ES 96_ (1905) 132 line 14; Homily 30, _De Festo Pasche_.\n\n11 Robert Boissard _Mascarades recuillies & mises en taille douce_ (Strassburg, 1597) no 18.\n\n12 Boethius _The Consolation of Philosophy_ edited and translated S.J. Tester (Loeb; London: Heinemann, 1973) Book 4 prose 3, line 67.\n\n13 Boissard _Mascarades_ no. 9.\n\n14 See Morton W. Bloomfield _The Seven Deadly Sins_ (Michigan State College Press, 1952) especially Appendix 1.\n\n15 Plato _Timaeus_ translated H.D.P. Lee (Harmondsworth: Penguin, 1965) Section 10, p.58.\n\n16 _Physiognomonica_ in _Scriptores physiognomonici_ edited R. F\u00f6rster, 2 vols (Leipzig: Teubner, 1893) 1: 1\u201391; chapter 4. See Elizabeth C Evans 'Physiognomics in the Ancient World' _Transactions of the American Philosophical Society NS 59_ : 5 (1969).\n\n17 Giovanni Baptista della Porta _De humana physiognomonia libri iiii_ (Vico Equense: J. Cacchius, 1586).\n\n18 Ripa _Iconologia_ 485.\n\n19 See Marion Colthorpe 'Anti-Catholic Masques Performed before Queen Elizabeth I' _Notes and Queries NS 33_ (1986) 316\u201318; _REED: Cambridge_ 242\u20133, 1217.\n\n20 Donato Sartori and Bruno Lanata _Maschera e maschere_ (Centro maschere e strutture gestuali; Florence: La Casa Usher, 1984) 31\u20138.\n\n21 Sometimes claimed by opponents as the sponsor of New Year masking: see chapter 2 on 'Early Masking' 29, and note 61.\n\n22 See Leuschner _Persona_ , Larva, _Maske_ figure 98; Chew _The Pilgrimage of Life_ figures 29, 31, 54; Howard R. Patch _The Goddess Fortuna in Medieval Literature_ (Cambridge, Mass.: Harvard University Press, 1927) 42\u20139.\n\n23 Leuschner _Persona_ , Larva, _Maske_ figures 57, 58, 62.\n\n24 Chew _The Pilgrimage of Life_ 135\u20136, figure 29.\n\n25 See above in chapter 9 on 'Mystery Plays' 206\u20137.\n\n26 The 'medioxes': Feuillerat _Edward VI and Queen Mary_ 134.\n\n27 The 'half-man half-death' mask has however been effectively used as a (non-evidenced) mask for Reward in _Apius and Virginia_ (see lines 912\u20131020). Reward is ambivalent, like Fortune: careful stage positioning allows Reward to show the appropriate profile to the character and\/or the audience, to striking effect. 'R.B.' _Apius and Virginia_ in _Tudor Interludes_ edited Peter Happ\u00e9 (Harmondsworth: Penguin, 1972) 271\u2013317.\n\n28 W.M.H. Hummelen _De Sinnekens in het Rederijkersdrama_ (Groningen: Wolters, 1958) 47\u20138.\n\n29 Jan van den Berghe _De Wellustige Mensch (1551)_ in _Dichten en spelen_ edited C. Kruyskamp (Uitgave van de Vereeniging der Antwerpsche Bibliophielen 2: 4; 's-Gravenhage: Nijhoff, 1950). For a translation, see Peter King 'The _Voluptuous_ Man' _Dutch Crossing 28_ (1986) 53\u2013107; for the 'revelation scene' see 70\u20131.\n\n30 Monstrelet _Chronique_ 5: 302.\n\n31 Feuillerat _Edward VI and Queen Mary_ 116.\n\n32 _Const-thoonende Iuweel, By de loflijcke stadt Haarlem..._ (Zwolle: Zacharias Heyns, 1607); reproduced and discussed in B.A.M. Ramakers 'De Const getoond: De beeldtaal van de Haarlemse rederijkerswedstrijd van 1606' _Nederlands Kunsthistorisch Jaarboek_ 49 (1998) 129\u201383. Other 'diabolical' characters than the Devil himself include tSerpent ('the Serpent'), Loon na quade Wercken ('Reward for Evil Deeds'), and Eewige Hart ('Eternal Pain').\n\n33 Guillaume de la Perri\u00e8re _La Theatre des bons engins_ (Paris: Denis Janot, 1539) no. 6.\n\n34 Thomas Combe _The Theatre of Fine Devices_ (London: R. Field, 1614) no. 6.\n\n35 _Wisdom_ line 912; John Bale _Kynge Johan_ in _Complete Plays_ edited Happ\u00e9, 1: 49, lines 785\u2013803; _The Trial of Treasure_ in Robert Dodsley _A Select Collection of Old Plays_ edited W.C. Hazlitt, 15 vols (London: 1874\u201376; reprinted in 7 vols New York: Benjamin Blom, 1964) 3: 277\u201380 (Blom 2: 277\u201380). For emblematic action and costuming in the moralities see Craik _Tudor Interlude, passim_.\n\n36 See David Bevington _From_ ' _Mankind' to Marlowe_ (Cambridge, Mass: Harvard University Press, 1962) 8\u201325; Westfall _Patrons and Performance_ 152\u20137; see also the episode of the travelling players in Anthony Munday and others _Sir Thomas More_ edited Vittorio Gabrieli and Giorgio Melchiori (Manchester University Press, 1990) Act 3 Scene 2.\n\n37 _Extracts from the Records of the Burgh of Edinburgh 1528\u20131557_ edited J.D. Marwick (Edinburgh: Scottish Burgh Records Association, 1871) 198; quoted in _The Works of Sir David Lindsay_ edited Douglas Hamer, 4 vols (Scottish Text Society; Edinburgh: Blackwood, 1931\u201336) 4: 142.\n\n38 Thomas Chaundler _Liber apologeticus de omni statu humanae naturae_ edited D. Enright-Clark Shoukri (London: Modern Humanities Research Association, 1974); for title-page illustrations see e.g. _Everyman_ edited A.C. Cawley (Manchester University Press, 1961) frontispiece and 39\u201340; _The Interlude of Youth_ edited Ian Lancashire in _Two Tudor Interludes_ (Manchester University Press, 1980) frontispiece and 1\u20132.\n\n39 Bevington _From_ ' _Mankind' to Marlowe_ 86\u2013113.\n\n40 See chapter 9 on ' _Mystery Plays_ ' 219\u201320.\n\n41 _P. Terentii aphri comicorum elegantissimi comedie_ edited Joachim Badius Ascensius (Paris: Nicolaus Depratis, 1508) Avir. See chapter 11 on 'Ideas and Theories' 294\u20135.\n\n42 Edward Burns _Character: Acting and Being on the_ Pre-Modern _Stage_ (London: Macmillan, 1990) 53.\n\n43 On morality characterisation see Carpenter 'Morality Play Characters' 18\u201328; for character splitting see Craik _Tudor Interlude_ 41\u20132.\n\n44 Thomas Lupton _All for Money_ edited Ernst Vogel _Shakespeare Jahrbuch 40_ (1904).\n\n45 See DeGuileville _P\u00e8lerinage_ translated Lydgate, lines 4006; 8733; 14763. For illustrations see for example V.A. Kolve _Chaucer and the Imagery of Narrative_ (London: Edward Arnold, 1984) figs 23, 29, 30. Such effects were not wholly unknown in performance, an elaborate example is quoted in Muir 'Playing God' 45; but this is confined to static pageant.\n\n46 See for example J.J. Boissard _Emblematum liber_ nos xxi and xxxv.\n\n47 John Skelton 'The Bowge of Court' in _The Complete English Poems_ edited John Scattergood (Harmondsworth: Penguin, 1983) 46; _Magnificence_ edited Paula Neuss (Manchester University Press, 1980).\n\n48 'The Bowge of Court' lines 426\u20138.\n\n49 'The Bowge of Court' lines 709\u201310.\n\n50 See Whiting _Proverbs, Sentences and Proverbial Phrases_ 170: F13.\n\n51 Burns _Character: Acting and Being_ 43.\n\n52 Actually a blackened face: see 272\u20134.\n\n53 Stephen J. Greenblatt _Renaissance Self-Fashioning_ 1\u20139; Dollimore _Radical Tragedy_ 153\u201381; Belsey _Subject of Tragedy_ 13\u201354.\n\n54 _Wisdom_ lines 351\u20133.\n\n55 Lewis Wager _The Life and Repentaunce of Marie Magdalene_ edited F.J. Carpenter (The Decennial Publications of the University of Chicago, 1902) line 47.\n\n56 _Marie Magdalene_ lines 44\u20137.\n\n57 Phoebe S. Spinrad _The Summons of Death on the Medieval and Renaissance English Stage_ (Columbus: Ohio State University Press, [1987]) 1\u201326; Chew _The Pilgrimage of Life_ 233\u20135.\n\n58 _The Dance of Death_ edited Florence Warren with introduction and notes by Beatrice White _EETS OS 181_.\n\n59 These have been rather over-enthusiastically antedated in an attempt to prove that the frescoes represented a real dance. The ghastly apparition at the 1285 wedding feast of Alexander III of Scotland, described in the sixteenth century by Hector Boece as 'ane ymage of ane dede man, nakitt of flesche & lyre, with bair banys', has been taken as the earliest record of a theatrical Dance of Death: _The Chronicles of Scotland_ compiled by Hector Boece and translated into Scots by John Bellenden (1531) edited Edith C. Batho and H. Winifred Husbands (Scottish Text Society 3rd Series 15; Edinburgh: Blackwood, 1941) 2: 244. However, a 1440s account records it as a genuine spectre portending the king's imminent untimely death, not as an entertainment: Walter Bower _Scotichronicon_ general editor D.E.R. Watt, 9 vols (Aberdeen University Press, 1987-) _Volume_ 5 edited Simon Taylor, D.E.R. Watt, and Brian Scott (1990) 418\u201319.\n\n60 _REED: Cambridge_ 146\u20137, 161, 197, 220; Feuillerat _Edward VI and Queen Mary_ 133,135.\n\n61 _N-Town Play 197;_ Play 20 line 272.\n\n62 Stern _Medieval Theater in Castile 99:_ this, at the coronation festivities of the King of Aragon in 1414, antedates the Dance of Death, and belonged to a different type of scenario; _Lives of the Painters_ translated Hinds 2: 178, see chapter 3 on 'Carnival' 59\u201360.\n\n63 Paul Zinsli _Manuels Totentanz_ (Bern: Haupt, 1979).\n\n64 H. Kasser 'Notizen \u00fcber dramatische Auff\u00fchrungen und milit\u00e3rischen Jugenunterricht im alten Bern' _Anzeiger f\u00fcr Schweizerische Altertumskunde herausgegeben vom Schweizerischen Landesmuseum NS 5:1_ (1903) 175\u201386; Peter Schibler 'Vom Kultspiel zum Kleintheater' _Berner Jahrbuch_ (1983) 5\u201310.\n\n65 _REED: Cambridge_ 161.\n\n66 _The Pride of Life_ in _Non-Cycle Plays and Fragments_ edited Norman Davis _EETS SS 1_ (1970); _The Castle of Perseverance_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969).\n\n67 _Castle of Perseverance_ line 2790.\n\n68 _Everyman_ edited Cawley, frontispiece. For further discussion see Spinrad _The Summons of Death_ 70\u201373.\n\n69 _Everyman_ line 114.\n\n70 _Everyman_ lines 150\u201352, 161\u20134.\n\n71 _Castle of Perseverance_ line 199; _Wisdom_ lines 324, 380; _REED: Cambridge_ 127.\n\n72 _Mankind line_ 461.\n\n73 _Mankind_ lines 555\u20136 and 589.\n\n74 See Peter Happ\u00e9 'The Devil in the Interludes, 1550\u20131577' _Medieval English Theatre 11_ (1992) 42\u201356.\n\n75 John Melton _Astrologaster_ (London: B. Alsop, 1620) 31.\n\n76 Ben Jonson _The Staple of News_ edited Devra Rowland Kifer (London: Edward Arnold, 1976) Act I, Intermean, line 33.\n\n77 Thomas Garter _The Comedy of Virtuous and Godly Susanna_ edited B. Ifor Evans and W.W. Greg (London: Malone Society, 1937).\n\n78 Ulpian Fulwell _Like will to Like_ in _Tudor Interludes_ edited Happ\u00e9, 319\u201364, at 324\u20135: lines 72, 89, and 96.\n\n79 _All for Money_ lines 445, 484.\n\n80 See chapter 13 on 'Terminology' s.v. _larva_ 336\u201344, especially 338, 342.\n\n81 An image adapted from the traditional Temptation in the Wilderness scenes, reinforced by post-Reformation anti-Catholic cartoons.\n\n82 _All for Money_ line 378.\n\n83 _All for Money_ line 1439.\n\n84 William Wager _The Longer Thou Livest the More Fool Thou Art_ edited R. Mark Benbow (London: Edward Arnold, 1968).\n\n85 _The Longer Thou Livest_ line 1759.\n\n86 _The Longer Thou Livest_ line 1807.\n\n87 George Wapull _The Tide Tarrieth No Man_ edited Ernst R\u00fchl _Shakespeare Jahrbuch 43_ (1907).\n\n88 _The Tide Tarrieth No Man_ lines 1582, 1609.\n\n89 Compare Conscience in _Apius and Virginia_ Scene 4, line 565.\n\n90 Redford _Wit and Science_ in _Tudor Interludes_ edited Happ\u00e9; _The Marriage of Wit and Science_ edited Arthur Brown (Malone Society Reprints; Oxford University Press, 1961); Merbury _Marriage Between Wit and Wisdom_.\n\n91 _Wit and Science_ lines 140, 964.\n\n92 _Wit and Wisdom_ stage direction at line 905.\n\n93 This type of giant, which needs to engage in some strenuous stage action, does not really have much to do with the giants of popular processions, which are often built upon wooden frames carried (at some physical cost) by bearers, and are only capable of a stately promenade.\n\n94 See Bernard Spivack _Shakespeare and the Allegory of Evil_ (New York: Columbia University Press, 1958) _passim;_ Peter Happ\u00e9 'The Vice: a Checklist and an Annotated Bibliography' _Research Opportunities in Renaissance Drama 22_ (1979) 17\u201335 and '\"The Vice\" and the Popular Theatre, 1547\u201380' in _Poetry and Drama 1570\u20131700: Essays in Honour of Harold F. Brooks_ edited Antony Coleman and Antony Hammond (London: Methuen, 1981) 13\u201331.\n\n95 Thomas Tusser _Five Hundred Points of Good Husbandry_ edited W. Payne and S.J. Herrtage (London: English Dialect Society, 1878) no. 64 line 19.\n\n96 _Wisdom_ stage directions at lines 324, 380. The same technique appears in the _spelen van sinne:_ see Hummelen _Sinnekens_ 48\u201350.\n\n97 _Respublica_ edited W.W. Greg _EETS 226_ (1952) lines 414\u201316.\n\n98 Bale _Kynge Johan_ lines 940\u20131085; David Lindsay _Ane Satyre of the Thrie Estaitis_ edited Roderick Lyall (Edinburgh: Canongate, 1989) lines 716\u2013805.\n\n99 Marie _Magdalene_ line 915.\n\n100 Marie Magdalene lines 919\u201320.\n\n101 _Marie Magdalene_ line 1530.\n\n102 Hillman _Self-Speaking_ 24\u201330.\n\n103 _New Custom_ in Dodsley _Old Plays_ 3: 1\u201352 (Blom 2: 1\u201352).\n\n104 See e.g. _Thrie Estaitis_ line 729\u201331.\n\n105 _Thrie Estaitis_ line 1314. Verity is mocked for her 'yealow locks' (line 1160); records of costumes for the play include 'twa angell hair': _Extracts from the Records of the Burgh of Edinburgh_ 198\u20139, quoted Hamer _Works_ 4: 142.\n\n106 R. Wilson _The Three Lords and Ladies of London_ in Dodsley _Old Plays_ 6: 431 (Blom 3:431).\n\n107 See chapter 9 on 'Mystery Plays' 220\u201325: see also 194\u20136.\n\n108 _REED: Cambridge_ 162.\n\n109 _Wisdom_ stage directions at lines 1 and 16.\n\n110 _New Custom_ lines 31\u20132.\n\n111 Thomas Dekker _Old Fortunatus_ in _Dramatic Works_ edited Fredson Bowers, 4 vols (Cambridge University Press, 1953\u201361) 1: Act 1 Scene 3, line 74.\n\n112 Ralph Willis _Mount Tabor_ (London: R. B., 1639) 110\u201314; quoted F.P. Wilson _The English Drama 1485\u20131585_ (Oxford: Clarendon Press, 1969) 76\u20137.\n\n113 Boethius _Consolation of Philosophy_ 334\u20135: Book 4 prose 3. See above 238, and PLATE 25.\n\n114 Jacob de Gheyn II (1565\u20131629) _The Masks_ (set of engravings: Leiden: J. de Gheyn II, [1595\u201396]) frontispiece. These were copied by Robert Boissard for his _Mascarades_ (see 235).\n\n115 _REED: Cambridge_ 187.\n\n116 Robert Henryson _The Testament of Cresseid_ in _Poems_ edited Denton Fox (Oxford: Clarendon Press, 1987) lines 344\u201357.\n\n117 _Wisdom_ line 902.\n\n118 _Wisdom_ stage direction at line 1064.\n\n119 John Bale A _Comedy concemynge thre lawes of nature_ , Moses _and Christ_ in _The Complete Plays of John Bale_ edited Peter Happ\u00e9 (Cambridge: Brewer, 1986) 2.\n\n120 _Thre Lawes_ lines 683\u20134.\n\n121 _Thre Lawes_ lines 752\u20133, 757\u20138.\n\n122 _Beunans Meriasek_ edited Whitley Stokes (London: Trubner, 1872) line 1347.\n\n123 It is possible that Conscience in _Apius and Virginia_ wears a diseased mask: 'I spotted am by wilfull will \/ By lawles love and luste' (lines 462\u20133): but this may again be purely a verbal metaphor.\n\n124 _Thre Lawes_ lines 1884\u20135.\n\n125 _Wisdom_ lines 900\u20131.\n\n126 See Langland _Piers Plowman_ B-Text Passus 9 line 9.\n\n127 _Three Ladies of London_ 338.\n\n128 _Three Ladies of London_ 339.\n\n129 Hillman _Self-Speaking_ 41\u201373.\n\n130 See especially Herbert Grabes _The Mutable Glass: Mirror-imagery in Titles and Texts of the Middle Ages and English Renaissance_ translated Gordon Collier (Cambridge University Press, 1982).\n\n131 Alain de Lille _Ars praedicandi PL 210_ : 118; translated G. Evans _The Art of Preaching_ (Kalamazoo: Cistercian Publications, 1981) 29; Langland _Piers Plowman_ B-Text Passus 11 line 9.\n\n132 Grabes _The Mutable Glass_ 48\u201361; Hillman _Self-Speaking_ 43\u20138, 69\u201373.\n\n133 _York Plays_ 184: Play 21 line 93; Henryson _Testament of Cresseid_ line 457. In both these instances mirrors are also connected with remembrance.\n\n134 Joannes Sambucus _Emblemata_ (Antwerp: C. Plantin, 1566) no. 196. See also Chew _The Pilgrimage of Life_ sv _mirror_.\n\n135 See Chew _The Pilgrimage of Life_ 82.\n\n136 See \u00c9mile M\u00e2le _L'Art religieux de la fin du Moyen Age en France_ (Paris: Armand Colin, fifth revised edition 1949) 324\u20135; also Chew _The Pilgrimage of Life_ 136.\n\n137 Feuillerat _Edward VI and Queen Mary_ 245.\n\n138 Marie _Magdalene_ lines 1017\u201318.\n\n139 _Marie Magdalene_ lines 1055\u20138.\n\n140 For the following discussion see Sarah Carpenter 'Masks and Mirrors: Questions of Identity in Medieval Morality Drama' _Medieval English Theatre 13_ (1991) 7\u201317.\n\n141 Dante Alighieri _The Divine Comedy: Paradiso_ translated Charles Singleton (Bollingen Series 80; Princeton University Press, 1975) Canto 30: 85\u201391. We are grateful to Nick Havely for this reference.\n\n142 _Liber apologeticus_ 70.\n\n143 _Liber apologeticus_ 80.\n\n144 _Liber apologeticus_ 82.\n\n145 The image of the shattered mirror was familiar in the Middle Ages as an analogy for transubstantiation: each of the mirror's fragments continues to reflect a whole image, as each fragment of the Eucharist contains in itself the true body of Christ (see for example Alan de Lille _De fide catholica contra haereticos_ Lib. 1 Cap. 58, PL _210: 362;_ Lydgate _Pilgrimage of the Life of Man_ lines 6006\u201312). While this analogy is not explicitly evoked here, the sense of the broken mirror as a resonant image for complex questions of spiritual identity informs the scene.\n\n146 See Peter Ure 'The Looking-glass of _Richard II' Philological Quarterly 34_ (1955); Grabes _The Mutable Glass_ 214\u201316.\n\n147 Lukas Furtenagel, portrait of Hans Burgkmair and his wife, Vienna; reproduced in Charles Cutler _Northern Painting from Pucelle to Breughel_ (New York: Holt, Rinehart and Winston, 1968) figure 541.\n\n148 DeGuileville Le _P\u00e8lerinage_ translated Lydgate, lines 22484\u2013518.\n\n149 _Liber apologeticus_ 100.\n\n150 In the two following _Wit and Science_ plays the same action is used, but increasingly less is made of the mask-mirror episode. The scene remains, but with a gradually decreasing hold on the subtleties both of the staging and of the ideas involved.\n\n151 _Wit and Science_ lines 1\u20132.\n\n152 _Wit and Science_ lines 6\u20137.\n\n153 _Wit and Science_ line 819.\n\n154 _Wit and Science_ lines 587\u20139.\n\n155 _Wit and Science_ lines 568\u20139.\n\n156 _Wit and Science_ line 778.\n\n157 Westfall _Patrons and Performance_ 104.\n\n158 For a discussion of the episode see Hillman _Self-Speaking_ 70\u20133.\n\n159 _Wit and Science_ line 776.\n\n160 _Wit and Science_ lines 802\u20135.\n\n161 _Wit and Science_ lines 810\u201312.\n\n162 The technique is similar to the dramatic disturbance created by Virginia Woolf at the end of _Between the Acts_.\n\n163 _Wit and Science_ line 879.\n\n164 Barnabe Barnes _The Devil's Charter_ edited Jim C. Pogue (New York: Garland, 1980).\n\n165 _Devil's Charter_ lines 2281\u20132.\n\n166 See Annette Drew-Bear 'Face-Painting in Renaissance Tragedy' _Renaissance Drama_ NS _12_ (1981) 71\u201393.\n\n167 For discussion of these disguisings see chapter 6 on 'Disguisings' 143\u20134.\n\n168 For the auspices of the play see for example Westfall _Patrons and Performance_ 52\u20134.\n\n169 Feuillerat _Edward VI and Queen Mary_ 289.\n\n170 Feuillerat _Edward VI and Queen Mary_ 245.\n\n171 See above 238\u20139.\n\n172 _The Contention Between Liberality and Prodigality_ edited W.W. Greg (Malone Society Reprints; Oxford University Press, 1913) B3v\u2013B4r: text 1600, performed 1570s.\n\n173 Feuillerat _Edward VI and Queen Mary_ 342.\n\n174 Thomas Dekker _The Whore of Babylon_ in _Dramatic Works_ edited Fredson Bowers, 4 vols (Cambridge University Press, 1955) 2: Act 4 Scene 1 line 1.\n\n175 _Three Ladies of London_ 359.\n\n176 _Three Ladies of London_ 363.\nPart 4\n\nTheory and Practice\n\nWe now take a change of direction. So far we have explored different genres of masking activity \u2013 what maskers did and in what circumstances; why they did it, and with what effects. But masking was not just an activity, it also had a semi-independent life as an imaginative concept in the world of learning; it had a material existence of artefacts and craftsmen; and through the medium of language it both shaped and was shaped by changing cultural attitudes.\n\nAs a scholarly tradition, commentary on masking had an immensely long shelf-life. It began as a reaction to the masking practices of late antique theatre and New Year folk-games. From then on, it surfaces and resurfaces in the works of scholars and theologians. Its relations to personal experience seemingly become more and more tenuous. However, just when we think that a scholar is merely recycling a well-worn piece of traditional lore, he may surprise us with something \u2013 a comparison, perhaps just a turn of phrase \u2013 which suggests that he is, after all, relating it to contemporary practice. This composite ancient and modern tradition can pose intriguing questions. What exactly, for example, did late-medieval illustrators of Terence manuscripts think they were representing? Why do some of the most vivid references to mystery-play devils turn up in Wycliffite sermons? The picture is yet further complicated in the early modern period when Protestant polemicists recycle old arguments to fit new modes of activity. At each stage we must stay alert to historical context. But we also need to re-read the original arguments in relation to their times. They have become so familiar that their meaning has been taken for granted: they are overdue for a re-appraisal.\n\nWith 'Materials and Methods' we move to masks as artefacts. Our information comes largely from accounts and inventories, especially of the court Revels Office, which give engrossingly detailed lists of ingredients and finished articles, and sketch in an unexpectedly complex network of craftsmen and suppliers. Techniques are harder to recover, though we find occasional glimpses in artists' handbooks. The fifteenth-century Italian Cennino Cennini, for example, explains how to make helmet crests with whitleather and gesso, how to make a life-cast in plaster of paris using metal breathing tubes, and how to clean off face-paint with alternate applications of egg-yolks and bran in hot water.1\n\nThe material culture of masking is made more elusive by the paucity of surviving examples. Materials were degradable, and masks themselves designed for a limited life-span. Like most theatrical props, they were used and used again until they appear in the inventories as 'not servisable'. Paradoxically, our largest cache of artefacts, which give the best idea of the style though not the materials of \u00e9lite masks, comes from the armoury, in the caricature or fair-face visors of tournament helms (see PLATES 12, 13, and 23).2 The impressive group of largely Austrian folk-devil and other carnival masks (see FIGS 7 and 12) date at their earliest from the eighteenth century, though the style seems traditional. They have lasted partly because most of them are wooden.3 An exceptional British survival can be seen in PLATE 7. Traditionally it is said to have been worn by the Covenanter Alexander Peden ( _floruit_ 1665\u201386) to conceal his identity from the authorities as he rode about Scotland preaching. Looked at dispassionately, it seems an extraordinarily ineffective way of not drawing attention to oneself. The mask itself is of leather, provided with carefully attached though crude feather eyelashes, a reddish horsehair beard, and three false (animal) teeth. Its very unsuitability suggests that it had a previous function: was it perhaps an opportunistically adopted guiser's mask, a concrete glimpse of an ephemeral popular form?\n\nIn the chapter on 'Terminology' we explore the life of masks in language. This is not a simple glossary of the English or Latin words used for a face-covering, as we very rapidly discovered that we were dealing, not with one-to-one correspondences, but a shifting quicksand of semantic fields. But this in turn reveals a fascinating conceptual landscape of attitudes towards masking. The connotations of a word can often be deduced from the company it keeps. Dictionaries (especially English\/Latin and English\/French) and wordlists can be particularly helpful here, though not always quite in the expected way. So we find _larva_ , the common Latin term for a mask, defined in a fifteenth-century vocabulary as 'a scarecrow', 'a face-covering', and 'a _daemon_ ' (itself a slippery term).4 This nicely encapsulates the semantic history of the word: but how far does the malevolent aura of the first and third, older, definitions linger around the second usage? Does it mean that when a mask was spoken of in Latin it activated a different range of connotations from the pragmatic Anglo-French _viser_? Did an English speaker distinguish clearly between a _viser_ for a disguising and a _viser_ for a tournament? Destabilising our false, simplistic sense of security about meanings brings us much closer to the mindset of the original maskers and their audiences.\n\nNotes\n\n1 Cennino d'Andrea Cennini _Il libro dell'arte_ translated Daniel V. Thompson as _The Craftsman's Handbook_ (New York: Dover, 1960, reprint of New Haven: Yale University Press, 1960) 108\u20139, 122\u20136.\n\n2 And their remote ancestors the Roman parade mask and their Germanic copies.\n\n3 This is characteristic of Central European folk-masks, but not, it seems, of Britain, where wood was used mainly for moulds Sartori illustrates a seventeenth-century leather _commedia_ mask and its wooden mould: Sartori and Lanata _Maschera e Maschere_ 61. The Dorset Ooser was however made of wood (see 205), as are some of the animal folk-masks: see Cawte _Ritual Animal Disguise_ , passim.\n\n4 See chapter 13 on 'Terminology' 342.\nChapter 11\n\nIdeas and Theories of Masking\n\nSo far we have been chiefly concerned with the practices of masking: the various social and theatrical events for which masks were worn. But masking at this period was not only an activity; it was also a subject for critical comment and scholarly study, a topic for moral argument, and a fruitful metaphorical concept. Contemporary ideas about masks and masking form an important, though frequently nebulous and imprecise, context to the activity itself. The relationship of theory to practice is often problematic. Although medieval debate about masking can be directed at, or sparked off by contemporary practices, it as often appears to be purely speculative, historical, or theoretical, existing alongside but not necessarily in any significant relation to masking practice. While what maskers did can certainly be illuminated by what was thought about masking, the light that is thrown is often oblique, shaded, and flickering.\n\nOne difficulty is that surviving ideas and theories scarcely ever come from those directly involved with masking. Discussion of masks tends to have been the province of observers, often distant observers, or hypothesisers, not participants. Preachers, antiquarians, and poets may show articulate interest in the facts or moral significance of masking without necessarily having much experience of contemporary practice. Equally problematic is that a very large proportion of theoretical discussion is antagonistic to masking both conceptually and practically. Inevitably this skews the evidence, since critics of masking were more concerned to attack perceived abuses than to explain, or even describe what was going on among those who masked. It also unsettles the balance of opinion. Opponents of masking dominate surviving evidence because they tended to have fuller access to and more reason to exploit written record. This can leave us with an impression of a generally repressive culture in which masking activity was always a gesture of subversion. But the fact that masking flourished for so long in such varied contexts suggests that such antagonistic theorising did not represent a consensus or even a majority view.\n\nLate fifteenth-and sixteenth-century discussions of masking are a highly heterogeneous blend of fragments of material from a millennium of changing culture and theatrical experience. We can identify various strands of influence. Information on the history and etymology of ancient theatre-masking by late classical grammarians, for example, was passed down in scholarly discourse until at least the sixteenth century. More influentially, the moralising attacks of the early Christian Fathers on the late Roman theatre and on popular fourth-and fifth-century Kalends masking offered a theoretical analysis of the meaning of masks that proved remarkably persistent. In another strand, the Middle Ages gradually established masks as literary and visual symbols of hypocrisy and doubleness; while lawmakers' social objections to masking customs also contribute to the debate. Late medieval and early-modern commentators drew on all these authorities as well as, sometimes, contemporary experience in assessing the function and significances of masking in their own time.\n\nDuring the sixteenth century educated interest in and objection to masking increased in intensity. This presumably relates to the profound yet elusive religious and cultural shifts underlying the Protestant Reformation.1 Many of the activities which traditionally involved masks \u2013 Church festivals and carnival, religious plays, eventually even drama itself \u2013 were in England coming to be seen as dangerously Papist, belonging to a time of idolatry, abuse, and licence in which people surrendered their moral responsibility as individuals. Overtly, masking activities were rejected as belonging to the clutter of Roman Catholic 'superstition'.2 But anxiety about masks may also reveal the more broadly underlying tensions of a society shifting its conception of spiritual autonomy, and of the relationship of the individual to the community. Alongside the rejection of masking activities there is a growing fascination with the mask itself, which seems to reflect the Renaissance interest in identity, individuality, and self-consciousness.\n\nIn the later sixteenth and earlier seventeenth centuries these interests crystallise in a surprising number of monographs written specifically on the topic of masks. None originate in Britain; but in Italy, Spain, France, Germany, and Switzerland, antiquarians, jurists, and scholars published works such as _Traitt\u00e9 contre les masques, Oratio de personis sive larvis, Platica de las mascaras, L'Origine des masques, De bacchanalibus oratio_.3 They discuss the history of masking; the philosophical, moral, and legal arguments for, or more often against it; and, to a lesser extent, contemporary practice. Such works tend to focus on the popular festival and carnival masking that was both more widespread and more persistent in the rest of Europe than it was in England. Dramatic masking is given relatively little attention. This may suggest that it was no longer widespread; but it seems always to have been seen as less significant, or at least less dangerous, than social masking. Negative in tone though most of them are, these works signal a continuing European interest in masking. In England the Puritan backlash and then the Commonwealth caused, if not the demise, at least a marked diminution in the mixed and vibrant traditions of the Middle Ages.\n\nClassical Theatre Masking and the Middle Ages\n\nEurope now tends to look back to the theatre of ancient Greece and Rome as the origin of its stage masking; but how far were the Middle Ages aware of these earlier theatrical traditions? Scholarly interest in classical literature kept alive a certain amount of information and theorising about at least the late Roman theatre. Most often copied and transmitted are factual information or speculation from Virgil, Horace, or Diomedes the Grammarian about the origins of masks, from the folk festival's improvised face-paint or rough coverings of bark to their introduction to the classical theatre by Thespis, Aeschylus, or Roscius (according to Diomedes, to hide his squint).4 Boethius (c.480\u2013524) incidentally preserves an influential etymology from the now lost work of Gavius Bassus which derived _persona_ ('mask') from _personare_ ('to sound through'), suggesting that its structure amplified the actor's voice _quia concauitate ipsa maior necesse est uoluatur sonus_ ('because of necessity a larger sound resonates in its hollowness').5\n\nClassical rhetoricians even transmitted fragments of eyewitness response to masked performance in their discussions of the face as a medium of expression. Cicero preferred unmasked acting, _Animi est enim omnis actio, et imago animi vultus, indices oculi_... ('for delivery belongs to the feelings; the face is their mirror, and the eyes express them').6 Quintilian, however, argued that masks could themselves enhance emotion:\n\nItaque in iis, quae ad scenam componuntur, fabulis artifices pronuntiandi a personis quoque adfectus mutuantur, ut sit Aerope in tragoedia tristis, atrox medea, attonitus Ajax, truculentus Hercules. In comoediis vero... pater ille, cuius praecipue partes sunt, quia interim concitatus, interim lenis est, altero erecto, altero composito est supercilio; atque id ostendere maxime latus actoribus moris est, quod cum iis, quas agunt, partibus congruat.7\n\nConsequently in plays destined for the stage, the masters of the art of delivery design even their masks to enhance the emotional effect. Thus, in tragedy, Aerope will be sad, Medea fierce, Ajax bewildered, Hercules truculent. In comedy, on the other hand [ _lists the character masks_ ]... we have the important role of the father who, because at times he is agitated and at others calm, has one eyebrow raised and the other normal, the custom among actors being to turn that side of the face to the audience that best suits the role.8\n\nMedieval scholars were certainly aware of the existence of the masks of ancient theatre, and sufficiently interested in them to copy the information in commentaries and encyclopaedias.9 At best their interest is academic. Though the continued use of Terence as a school text guaranteed its survival, there is no evidence that it ever impinged on actual theatre practice.\n\nKnowledge of one aspect, however, was transmitted in a quite different context. In his treatise On _the Two Natures and One Person of Jesus Christ_ , Boethius looks back to the original sense of _persona_ as 'mask', and its role in crystallising and projecting the qualities of individual dramatic characters:\n\n... personis inductis histriones individuos homines... representabant... idcirco ceteros quoque homines, quorum certa pro sui forma esset agnitio, et Latini personam... nuncupaverunt.10\n\n... it was by the masks they put on that actors represented different characters... so also all other men who could be recognised by their several characteristics were designated by the Latins with the term _persona_.\n\nAs his treatise became central to the ongoing debate on the nature of the Trinity, this perception was elaborated by later medieval theologians.11 A twelfth-century scholar, for example, Gilbert of La Porr\u00e9e, observed that the masks portray not just characters but characteristics:\n\n... secundum aetatis, aut sexus, aut conditionis differentiam et proprietatem interest, tristes aut laetos, divites aut pauperes, nobiles aut ignobiles, et hujusmodi homines.12\n\n... according to the difference or property of age, or sex, or condition, sad or happy, rich or poor, noble or base, and such kind of men.\n\nGilbert clearly recognises theatre masks as expressive: of appearance, of qualities, of what even now we call 'personality'. This crucial link between the dramatic mask and the notion of individual identity is also a feature of the early Christian Fathers' rejection of the late-classical stage, with its masked comedy, tragedy, and pantomime. Their criticism was highly influential not only because of their status as Christian authorities but because they provide not simply historical information but a framework of moral analysis that could be appropriated to later activities.\n\nThe Fathers attacked the Roman theatre along with many other cultural activities, as just one institutional manifestation of the entire pagan religion and culture they were beginning to confront. Inevitably this purpose colours both their perception of the masks of classical theatre, and the nature of the information they transmit. But the moral and theoretical arguments informing their accounts of the theatre were for later readers more engaging, more accessible, and more easily transferable to changing practices than any factual information, and remained current right through until at least the seventeenth century.\n\nThe Fathers' complaints about masked acting are, in context, almost incidental. Their objection was to paganism: to classical religious beliefs as expressed in contemporary culture. Since both the subject matter and the ceremonial of the public shows expressed this pagan belief, the Fathers condemned their every aspect: as Tertullian concludes _nihil ex his quae spectaculis deputantur placitum deo esse_ ('nothing connected with the spectacles pleases God').13 Drama and its masks are thus indicted in the same breath as chariot-racing, boxing, and gladiators: the assault is not a specifically focused critique of masking but an attack on the belief system itself. Christian polemic certainly presents the masks as impious, but the criticism is directed primarily at much wider religious attitudes: pagan worshippers, argue the Fathers, are fundamentally sacrilegious in associating divinity with the triviality of public shows. When Clement of Alexandria objects:\n\nYou have turned Heaven into a stage; what is divine has become a drama for you; and what is sacred you have acted in comedies under the masks of demons\n\nit is not the masks themselves so much as the theatricalising of the divine that he finds offensive.14 In Rome Tertullian points out more specifically that _imago dei vestri ignomissimum caput et famosum vestit_ ('the likeness of your god covers the shameful and disreputable head of an actor'):15 the objection is to the irreverent treatment of divinity, of which the God-mask is only a symptom.\n\nThis attitude to theatre masking and the divine appears to have provoked little practical interest during most of the Middle Ages. Medieval Christians seem to have had few problems in accepting the gold-masked God and hideous devils of the cycle plays and it is not until the Reformation, when religious controversy again begins to focus on the dangers of theatrical representation, that such arguments vociferously re-emerge.16 Then the spiritual fervour with which the Fathers attacked the late-classical masks was drawn in to revivify the debate, even though the theatrical traditions under discussion are by then quite different.\n\nBut apart from sacrilege, the commonest argument of the Fathers against theatre masks centres on their function of altering the identity of the actor. Even works which are not themselves directed against the theatre show this unease. In a letter, St Jerome (c.342\u2013420) alludes fleetingly to theatre masks:\n\nCum enim ad imaginem et similitudinem Dei conditi simus, ex vitio nostro personas nobis plurimas superinducimus. Et quomodo in theatralibus scenis unus atque idem histrio, nunc Herculem robustus ostendit, nunc mollis in Venerem frangitur, nunc tremulus in Cybelem: ita et nos... tot habemus personarum similitudines, quot peccata.17\n\nFor though we are created in the image and likeness of God, because of our flawed state we put on many masks. And just as on the stage one and the same actor now appears robustly as Hercules, now melts tenderly into Venus, now quivering into Cybele; so we... possess as large a range of masks as we have sins.\n\nJerome is not here noticeably disapproving of theatre itself. But the identity-changing masks of the stage are metaphorically associated with the flawed state of sin and the consequent loss of God-given identity. Moreover, it is suggested that the human psyche has become fragmented; the multiple masks of sin are opposed to the divine simplicity and unity of God.\n\nTertullian, two centuries earlier, is more aggressively anti-theatrical. In the _De spectaculis_ , his immediate target is contemporary stage practice. Objecting to all the multiple artifices of drama and the actor's prostitution of his identity and gender in voice, costume, and imitation, he asks:\n\nIam vero ipsum opus personarum quaero an deo placeat, qui omnem similitudinem vetat fieri, quanto magis imaginis suae? Non amat falsum auctor veritatis; adulterium est apud illum omne quod fingitur.18\n\nAnd then this very affair of masks, I ask if it can be pleasing to God, who forbids the making of any likeness, how much more of His own image? The Author of truth does not love falsehood; every kind of artifice is adultery in His sight.\n\nClassical theatre traditions understood the mask not as a false concealment or artifice, but as expressing a truth: the mask revealed the character rather than hiding the performer, who was the vehicle of this truth.19 Tertullian, in contrast, sees the mask as a false face, hiding the actor's 'real' face. The performer is _infidelis_... _faciem suam_ ('a traitor to his own face').20 There is no sense of the actor as interpreter: he is merely a human being pretending to be someone else.\n\nProinde vocem sexus aetates mentientem, amores iras gemitus lacrimas asseverantem non probabit [Deus]: omnem enim hypocrisin damnat.21\n\n[God] will not approve the person who dissimulates voice, sex, or age, who exhibits fake signs of love, of rage, sighs, and tears: for He condemns all hypocrisy.\n\nTertullian is profoundly unsympathetic to the illusions of the theatre, initially because of its subject matter, but at a deeper level because for him they reflect and promote the dangerously destabilising values of a polytheistic society.22 God's truth, he contends, is one and absolute, and we are made in His image: to change that image is to forsake truth. Overall his words mark the beginning of a concern about the relationship between mask, wearer, and God that echoed down the succeeding centuries.\n\nThese arguments long outlived the theatre to which they were a reaction because of the Greek term for an actor, _hypocrites_ , adopted into Latin as _hypocrita_. For the Greeks this term, from _hypokrinesthai_ ('to answer' or 'interpret') referring to the interaction between protagonist and chorus, was not initially morally weighted.23 But as the skills of the _hypocrites_ were analysed and recognised also in the orator, the element of 'pretence' came uneasily to the fore.24 The etymology was reinvented to stress the pejorative sense:\n\n_Hypocrita_ Graeco sermone in Latino _simulator_ interpretatur. Qui dum intus malus sit, bonum se palam ostendit. \u00fd\u03c0o enim falsum, _\u03ba\u03c1\u00ed\u03c3\u03b9\u03c2_ iudicium interpretatur... translata est in his qui falso vultu incedunt et simulant quod non sunt.25\n\nThe Latin translation of the Greek word _hypocrita_ is _simulator:_ someone who though he is evil inside, shows himself good in public. For \u00fd\u03c0o means 'false' and _\u03ba\u03c1\u00ed\u03c3\u03b9\u03c2_ means 'judgement'... [The image of the masked actor] is adapted for those who go around with a false face and pretend to be what they are not.\n\nThere is, in fact, a recurring suspicion among early theologians that the imitative arts deliberately attempt to deceive. Isidore's actors mask _ut_... _populum fallerent_ ('in order to deceive the audience').26 The mask becomes a sign of duplicity, as in Bromyard's famous two classes of persons who use masks, 'those who play and those who steal'. Both are compared with devils, _quorum ludus est animas perdere et peccato decipere_ ('whose play is to destroy souls and deceive through sin') under the 'masks' of elaborately fashionable dress and round-dances.27\n\nEven so, the metaphor of masking might not have survived the demise of the classical theatre if it had not been for the scribes and Pharisees. As the Wycliffite sermon points out, 'jhesu cursede hem ofte, 3ee ei3te tymes, as gospel sei\u00fe,28 calling them _hypocrites_. These eight curses include the memorable image of the 'whited sepulchres, which outwardly appear to men beautiful, but within are full of dead men's bones, and of all filthiness' (Matthew 23: 27). This opposition between outward beauty and inward corruption accommodated itself neatly to the image of the deceptive mask. The other protracted passage on hypocrisy is in the Sermon on the Mount, Matthew 6, flanking the Lord's Prayer, and thus prominent by association. Both the Fathers and later biblical commentators assumed that a theatrical metaphor lay beneath the original term.29 This has the unexpected result that allusions to masking and even to contemporary entertainments appear in homilies and commentaries on the Sermon on the Mount, and in later medieval preachers' handbooks under the headword _Hypocrita_. Aquinas, for example (c. 1225\u201374) in his commentary on St Matthew claims:\n\nProprie dicebantur hypocritae, qui intrabant theatrum, et habebant unam personam, and simulabant aliam cum larvis. Isti ergo hypocrit\u00e6 sunt, qui exterius aliud praetendunt quam habeant interius...30\n\nThey were appropriately called 'hypocrites', people who used to make an entrance in the theatre, and had one character, and pretended to be another with masks. For they are hypocrites who profess outwardly to be other than they are inwardly...\n\nCharacteristically, the commentaries and handbooks gradually amass a whole range of analogies and images, some biblical, some from other sources, which swirl around the topic of hypocrisy as impersonation and deceit. The most powerful analogy of all was Satan, _qui transfigurat se in angelum lucis_ (2 Corinthians 11: 14) cum in _rei veritate angelus sit tenebrarum_ ('who turns himself into an angel of light, when in the truth of the matter he is the Angel of Darkness').31 In the seventeenth century we will be told that Satan was the first masker.32\n\nThough hypocrisy was defined generally as 'evil masquerading as good', the Gospel speaks specifically of dissimulation in religious practices. In the Middle Ages these criticisms, though generally relevant, were particularly applied to the religious orders. This explains why the reforming writings associated with Wycliffe are so unexpectedly fertile a source of allusions to contemporary entertainments.33 One Wycliffite sermon anathematises worldly prelates who set a contrary example to their flocks:\n\nAnd herfore \u00feei bicomen \u00fee deuelis iogelours to blynde mennus gostly ei3en... & ben sathanas transfigurid in-to an aungel of li3t... & \u00feus in stede of cristis apostlis ben comen in viserid deuelis, to disceyuen men in good life & bryngen hem to sathanas here maister...34\n\nThis image of masked devils is temporarily confusing: initially we, like the original audience, might envisage a rout of miracle-play demons; but the logic of the argument requires that, like most of Wycliffe's other 'viserid deuelis', these are devils beneath and angels of light above.35 There seems a creative confusion: the dominant image is the hideous stage demon, who by a sleight of hand is then seen as lurking under the seductively pious mask of professional holiness. When Hypocrisy is personified, often as a religious, or as a wolf in sheep's clothing, this fair mask reappears, as in Gower's _Confessio Amantis:_\n\nAnd thus this double Ypocrisie\n\nWith his devolte apparantie\n\nA viser set upon his face,\n\nWherof toward this worldes grace\n\nHe semeth to be riht wel thewed,\n\nAnd yit his herte is al beschrewed.36\n\nAn alternative etymology of _hypocrisis_ , misinterpreting its second element as _chrysos_ , 'gold', enhanced the notion of the mask as a fair face covering a foul.37 Gower's 'Ma demoiselle Ipocresie' in the _Miroir de l'Omme_ :\n\n... ad la face d'orr burny,\n\nEt l'oill du cristal amiable,\n\nMais pardedeins le cuer de luy\n\nTout est de plom, mat et failly,\n\nEt du merdaille nounvaillable.38\n\n... has a face of burnished gold, and a lovely crystal eye; but inside her heart, all is lead, dull and worthless, and good-for-nothing dung.\n\nThis might, even at a couple of centuries' remove, explain why Vice in Dekker's _Old Fortunatus_ enters\n\n... with a gilded face... she and others wearing gilded visars and attirde like deuils...39\n\nHowever, there is never any sense that this face of gold is in any way related to the gold God-masks of the mystery plays. It is as if there were an impermeable membrane between the metaphor of stage masking, and real stage masking.\n\nOne vivid exposition of the term _hypocrite_ enshrines one of the most fascinatingly detailed, yet most enigmatic accounts of late-classical dramatic masking to be transmitted to the Middle Ages. A sermon on Matthew 6 attributed to St Augustine comments:\n\nNomen autem _hypocrite_ translatum est a specie eorum, qui spectaculis tecta facie incedunt, distinguentes vultum caeruleo niveoque colore et caeteris pigmentis, habentes simulacra oris, lintea gipsata, et vario colore distincta, nonnunquam colla et manus creta perunguentes, ut ad personae colorem pervenirent, et populum, dum in ludis agerent, fallerent, modo in specie viri, modo in forma feminae, et reliquis... praestigiis.40\n\nFor the name _hypocrite_ is taken from the appearance of those who sweep on in stage shows with their faces covered, colouring the countenance distinctively with dark blue or white and other pigments, wearing representations of faces made of plastered linen and decorated in different colours, and often rubbing necks and hands with chalk, so as to arrive at the colour of the mask and to deceive the audience while they perform, now looking like a man, now in the form of a woman, with all the rest of the tricks of the trade.\n\nIt is hard to know what kind of performance is being described here. The writer speaks of _spectaculis_ rather than _theatris_ , and may well be recollecting the popular late Roman pantomime rather than tragedy or comedy.41 The colours he mentions are strong and if unmixed would be strikingly unnatural: _caeruleus_ is dark blue, the colour of woad, _niveum_ snow white. Yet the tinting of neck and face, and the illusory deception of the audience, do not suggest extreme stylisation. It may be the features of the mask-faces that are _distinguentes_ and _distincta_ , perhaps with paints merely concocted from the strong colours.\n\nThis account of masked performance had a surprisingly wide medieval dissemination, since in the seventh century Isidore of Seville copied it into his widely read _Etymologiae_ under the heading of 'Hypocrites'.42 Whether or not the account accurately reflected entertainments of Isidore's own day, the description his encyclopaedia passed down the centuries must have become increasingly unfamiliar and obscure. However, its wide currency seems to have led to cross-fertilisation with two other bodies of data on historical masking.\n\nMost medieval readers of Terence could have gathered, from the influential fourth-century commentary of Donatus usually included in texts, that the plays were originally performed in masks.43 Early illustrated Terence manuscripts, dating from the ninth century, still show classically masked characters at the head of each scene.44 But during a gap in surviving manuscripts between the twelfth and the early fifteenth centuries, the masked Roman actors disappear, to be replaced by unmasked, naturalistic, fairly contemporary figures. Masks still appear in the fifteenth-century manuscripts, but now in the pictures of the 'Roman theatre' that are sometimes included as frontispieces, where earlier manuscripts showed the traditional mask-cupboard. The two most famous both show a circular theatre with a central curtained booth from which an unmasked figure recites the play (PLATE 29).\n\nPLATE 29: The Roman comic theatre: Calliopus recites while the masked actors mime. Josephus Master _Terence des ducs_ , French (1407). Paris: Biblioth\u00e8que nationale de France, MS fonds lat. 7907A fol. 2V.\n\n\u00a9 Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library.\n\nAround the booth cavort and gesticulate groups of actors, all masked with brightly coloured caricatured face-masks, tied at the back with strings.45\n\nThese illustrations plainly demonstrate the uncertain understanding of the late classical masked theatre that prevailed during the Middle Ages.46 However, the artists are not simply inventing, but attempting to visualise descriptions of the Roman theatre handed down by scholars, much copied interpretations like that in the _Magnae derivationes_ of Hugutius of Pisa (d. 1210), who spoke of a curtained booth in the theatre in which:\n\n... latebant persone larvate, que ad vocem recitantis exibant ad gestus faciendos...47\n\n... lurked masked characters, who came out at the voice of the reciter to make [appropriate] gestures...\n\nThis distinctly sounds like a memory of pantomime. In the fifteenth century Lydgate, translating the English scholars Thomas Walleys and Nicholas Trivet,48 describes how, while the playwright stood:\n\nAmydde the theatre schrowdid in a tent,\n\nTher cam out men gastful of her cheris,\n\nDisfigurid her facis with viseris,\n\nPleying by signes in the peples si3t,\n\nThat the poete songon hath on hi3t.49\n\nThe Terence miniatures drew on descriptions like these rather than on the plays: as Millard Meiss points out, their masked performers are nothing at all like the characters from Terence which illustrate the separate plays.\n\nIt is less clear where the artists found their ideas for the appearance of the masks. These visors are comically caricatured, rather resembling the later masks of the _commedia dell'arte_. The illustrators could possibly be drawing on what they knew of contemporary popular masking, extrapolating back from their own time to the Roman theatre. But the illustrated masks are in distinctly non-naturalistic plain colours: in Berri's _Terence_ , pale brown, black, crimson, and terracotta; in the _Terence des ducs_ bright yellow, sea-green, white, pale blue, and scarlet. This recalls the information relayed by Isidore from the early sermon. It is at least possible that what the artists think they are painting are 'representations of faces made of plastered linen decorated in various colours' ( _simulacra oris, lintea gipsata, et vario colore distincta_ ), in the strong tints of _caeruleus, niveum_ , and _minium_ ,50\n\nOverall, medieval scholarly knowledge of classical theatre masking appears to have been widespread but fragmentary. There is little to suggest that academic understanding impinged on, or tested itself against, late medieval theatrical practice even in the most likely arena, the schools and universities of the early sixteenth century where performance of classical drama revived under the influence of humanist teaching.51 These productions were often concerned with historical accuracy, as witnessed by the notorious argument over an attempt to restore classical Greek pronunciation in a performance of Aristophanes' _Plutus_ at St John's College Cambridge in 1536.52 But such records of production as exist rarely suggest masks. St John's College inventory of play gear for 1548 records 'a golden face & crowne for Iupiter' and 'a blak face of past':53 but apart from this, although character costumes are frequently recorded \u2013 Thraso's coat, 'a cote for Phedria with yelo saten and blacke cotton', 'Gnatoes clocke Spanishe fassion', 'a cloke for a parasite' \u2013 there are no references to character masks, either in the records, or in accounts of performances.54\n\nHowever, late-medieval commentators do occasionally draw specific attention to similarities between classical and contemporary masking. One fourteenth-century description of a Roman theatre, in which masked actors are said to mime to recited plays, remarks that the performers _faisoient ces jeux ainsi comme tu vois que len fait encores au jour duy les jeux de personnaiges et charivalis_ ('make these entertainments just as you see is still done today in dramas and charivaris').55 The basis of this comparison is opaque, but at the beginning of the sixteenth century Joachim Badius, in the course of a thoughtfully informed discussion of masking in Terentian drama, makes a detailed and revealing comparison with contemporary practice. _Persone autem_ , he says, _sunt faulx visaiges que sumuntur multis de causis_ ('For masks are \"false faces\" that are worn for many different reasons'). He continues:\n\nIdeoque qui historias regum principumque in cameris precio ludunt ut nunc vulgo est videre in flandria & regionibus vicinis. Varias personas accipiunt. ut unus actor seu lusor varios posset presentare. Alia causa est quia opus est aliquando representare personam infantis, aliquando adolescentis aliquando viri aliquando senis aliquando decrepiti aliquando regis aliquando principis aliquando cursoris aliquando agricole aliquando mercatoris aliquando traditoris aut hominis perfidi. Quocirca necesse est varias sibi sumere personas.56\n\nThis is why those who perform the histories of kings and princes for pay in halls, as is now commonly seen in Flanders and the neighbouring areas, put on different masks so that each actor or player can present different parts. Another reason is because the task is to represent now the character of a child, now of a youth, now of an adult, now of an elderly, now of a decrepit man; now of a king, now of a prince, now of a courtier, now of a rustic, now of a merchant, now of a traitor or villain. Therefore it is necessary to put on different masks.\n\nBadius is not suggesting an unbroken line between classical and medieval theatre masks; but he reads the one through the other. It is impossible, though, to say whether his unusual analysis of contemporary masking derives from personal experience. His comments on the problems of doubling and character range sound persuasive. Yet much of his other material echoes that in far earlier commentators; and although doubling was a widely established practice in Badius' day, it is by no means clear that it was considered problematic or generally associated with the use of masks.57 Unfortunately we simply do not know enough about the popular theatre of the fifteenth and sixteenth centuries to be sure. We do not even know if this was a practice confined to the Low Countries and unknown in Britain: it is interesting that while the Dutch Erasmus refers to life as a play in which we wear various masks to play our roles (in _qua alii aliis pertecti personis procedunt aguntque suas quisque partes_ ), his contemporary English translator Chaloner misses the point, merely saying 'men come foorth disguised one in one arraie, an other in an other, eche plaiyng his parte'.58 But whether Erasmus' metaphor reflects academic learning or contemporary practice we cannot tell. While testifying to the residual awareness of ancient masking traditions, remarks like those of des Praelles and Badius open tiny cracks into a world of dramatic activity that is now effectively lost.\n\nPopular Masking\n\nOne area of late medieval masking which was frequently, and negatively, associated with late classical practice lies outside formal drama. When the popular masking customs of Carnival and mumming were attacked by preachers and moralists in the late Middle Ages and Reformation, they were often linked with the Roman Saturnalia and other pagan festivals. Their citations of the early Church's objections to Kalends masking created a powerful if possibly spurious sense of continuity between classical and medieval masking customs.\n\nThis criticism of popular Kalends games was, and remains today, very influential in shaping ideas about masking practices. The early bishops, attempting to establish Christianity as a 'community religion'59 maintained that these seasonal festivities were inappropriate for believers. By advancing their objections _ex cathedra_ , they set the parameters: from then on, social masking was understood as a topic for religious debate. For the sixteenth-century Reformers, as for early-twentieth-century anthropologists, the bishops' terminology suggested that early popular masking demonstrated the active practice of a pagan faith: Kalends and Carnival could both be seen as forms of heathen worship. But it is important to see these attacks in the context of their time. At this period when Christianity was still establishing itself, the Church was trying to formulate a position towards all the traditional ceremonies of the Roman state which were, inevitably, historically pagan in form. Festival activity was only one of the problems which the early Christian was bound to encounter in normal civil life: all the forms of society (holidays, pay-days, weddings, street names, the magistrate's regalia, oath-taking, school textbooks) were linked in some way with the service, even if only the lip-service, of pagan deities.60 For Christians they were thus, technically, idolatrous, just as the New Year celebrations were idolatrous. The familiar rituals of the Kalends were not initially singled out by the Church Fathers as peculiarly and significantly pagan.\n\nHowever, isolated from its context, the rhetoric of Christian analysis and polemic with its vocabulary of idolatry, demons, and pagan Satanism, might well give that impression. When Caesarius of Arles (469\u2013542) preached on the Kalends to his apparently recently Christianised parishioners, he refers to those who dress in animal costumes as making themselves into the image of those they worship ( _tales utique se faciant qui colunt, qualis est iste qui colitur_ ). Such terminology encouraged later scholars to read this masking as consciously or at least half-consciously, the manifestation of pagan cult. But while a primitive religious impulse may well lie somewhere deep in the Kalends masking, it does not appear to be what either the maskers themselves or even, revealingly, their critics thought was primary. What the bishops seem to object to most in the Kalends masking is over-excited behaviour and the unsettling weirdness of the disguises. Maskers indulge in carnal and mindless merriment which shows _non tam se habitum belluinum habere quam sensum si taliter se in ferinas species transformaverint, ut homines non esse videantur_ ('they not only have the appearance of monstrous beasts but also their feelings, as if they would turn themselves into a kind of wild animal, so that they do not seem human').61 In context this sounds not so much like ritual identification with a deity animal, as ordinary decent human beings acting like pigs. The bishops certainly do not explicitly link this with any non-Christian cult or worship.62 Kalends masking is seen as inappropriately uncontrolled behaviour for Christians, rather than as a sign of lingering commitment to another faith.\n\nAs men of their own time, however, they express their disapproval of the traditional customs in Christian terms, and these do, indeed, lend a spiritual dimension to what they describe. If masking is not a sign of active paganism, it nonetheless interferes with Christian faith. For the bishops, when the maskers conceal their human appearance they are relinquishing their human reason, the one thing that identifies them with God and sets them above the animals. Similarly the talk of demons and devils reflects, not a formal pagan religion but the metaphors of Christianity itself. When Caesarius talks of a masker becoming _sacrificium daemonum_ he goes on to explain that this is because _illorum est enim suave sacrificium, cum aut dicitur a nobis aliquid, aut fit, quo honestas_... _improbis actibus violata discedat_ ('anything we say or do which violates our good character by discreditable behaviour is a sweet sacrifice to the demons').63 The 'sacrifice to the demons' is a moral transgression, not a pagan rite. Peter Chrysologos of Ravenna (c.450) tells the revellers that when a man puts on a mask he rejects the image of God in himself and thus makes himself a tool of the devil.64 But this devil is not a pagan deity; it is simply that to abandon Christian virtue gives Satan a foothold.\n\nWhat the bishops seem to see as the chief threat of masking is the insidious danger that trivial and irrational playfulness can seduce Christians from serious understanding of their responsibility to God. Nemo _cum serpento securus ludit, nemo cum diabolo jocatur impune_ ('No-one can play safely with the serpent, no-one can joke with the devil with impunity').65 The preachers see their flocks not so much celebrating, as Meslin suggests, _sous la marque de Satan, le rite le plus paien_ ('under the brand of Satan, the most pagan of rituals');66 rather they are by masking laying themselves open to the seductions of triviality. By such things, says Caesarius, the devil _se intromittit, ut captis paulatim per ludorum similitudinem mentibus dominetur_ ('insinuates himself, so that gradually he may take over minds which have been captured under the guise of games').67 This behaviour, the bishops stress, is profoundly and dangerously unserious.\n\nA thousand years later, however, early-modern writers, sometimes quoting the same authorities, pick up and develop the notion that popular masking can be equated with pre-Christian paganism. Some even claim a direct descent from classical to contemporary masking customs. Polydore Vergil [?1470\u20131555] is explicit:\n\nPost hunc, alius paris prope lasciviae ludus ad nos transiit, nam ut illi in quinquatriis minoribus et megalensibus personati per urbem ludendo incedebant, ita nostri morem induendi personas non uno vel altero die, nec sacrorum causa, sed turpi insaniendi studio, duos continuos menses ante quadragesimae initium, stolide servant.68\n\nAfter this, another game of almost equal impudence passed down to us; for just as they used to go playing through the city in masks in the greater and lesser festivals of Minerva, so our people stupidly keep the custom of putting on masks not for one or two days, nor for the sake of rituals, but in the interest of being shamefully mad, for two whole months before the beginning of Lent.\n\nHe sees this parallel not as coincidental, but because _haec omnia ex Romanorum bacchanalibus, ad nos finxisse_ ('all these things have been modelled for us from the Roman bacchanalia'). While not all sixteenth-century critics claimed such direct and unbroken historical continuity, all insisted that their contemporaries' festive masking was, whether deliberately or unconsciously, indistinguishable from pagan practice. As Salomon Gesner concluded roundly:\n\n... consequitur, omnino personarum et larvarum figmenta ethnicae superstitionis esse reliquias, et proinde Christiano vultu prorsus indignas.69\n\n... it follows that all concoctions of masks and visors are remains of pagan superstition, and therefore completely shameful for a Christian face.\n\nThe Reformation lends these objections, adopted from the early Christian writers, a newly topical dimension. As the sixteenth century progressed, many of the most popular masking games came to be specifically condemned as Papist customs. This provided a golden opportunity for Protestant critics to link not only masking but by extension Roman Catholicism itself with classical paganism, and numerous treatises appeared proclaiming _The Reliques of Rome_ (1562), _Pagano-Papismus_... _Papisme is flat Paganisme_ (1606), _L'Harmonie et convenance de l'Eglise Romaine avec le paganisme, iudaisme et heresies anciennes_ (1605).70 Such works throw an interesting light on perceptions of the remnants of medieval masking, and indeed on how long the traditions themselves lasted. For the Reformers, to derive popular 'Roman Catholic' masking from classical and therefore pagan festivals set it in a theological context which supplied conclusive and unarguable objections to the use of masks.\n\nMedieval and Tudor Theory\n\nThe later sixteenth century saw a widespread and articulate educated condemnation of masking. Although often related to Protestant polemic and usually sparked off by particular customs, especially carnival masking on the Continent, the arguments went well beyond specific practices into a theoretical and philosophical contemplation of the significance of masks which betrays both the fascination and the anxiety that surrounded the topic during the early-modern period. Commentators drew together a body of theory about the danger of masks, in which theological and spiritual arguments are inextricably bound up with moral and social prohibitions. These writers often present a tangle of warning exempla, ideas taken from the early Christian Fathers, legal prohibitions both historical and current, and anxieties about identity and truth which ultimately stem from Protestant thinking. While these commentaries often tell us relatively little about the actual practices of masking, they sharply articulate certain aspects of the climate of thought which came to surround the activity.\n\nSpiritual and Theological Argument\n\nTheological objections, while looking back to the earliest Christian commentators, drew masking into the contemporary arena of the Reformation itself. Masking became a live religious issue. One common and picturesque argument in the later sixteenth and early seventeenth centuries identifies the Devil as the first masker. Masks were invented by Satan: _Le Diable_ , says Savaron _est autheur des masques_ ('the Devil is the author of masks');71 _larvatorum primum inventorem_... claims Gesner, _alius non_ est, _quam ipse diabolus. Eius enim proprium est mentiri_ ('the first inventor of masks... is none other than the Devil himself. For it is his property to lie').\n\nHic ille est, qui in Paradiso serpentis larvam induit, cum primos parentes nostros imagine Dei, ad quam conditi erant, spoliavit, et nequitiae atque inscitiae larva dehonestavit.72\n\nIt was he who put on the mask of a serpent in Paradise, when he stripped our first parents of the image of God which was founded in them, and disgraced them with a mask of ignorance and sin.\n\nThis interpretation of the Fall knits together a complex of ideas about masking: symbolically, masks belong to the Devil because it is proper for him to lie; literally he put on the mask of a serpent to deceive Adam and Eve; the sin to which he seduced them was to abandon the true image of God in favour of a mask of sin. Biblical instances of the Devil as an inveterate masker were multiplied: he incited Saul to wear a mask of friendship, appeared masked to Samuel, tempted Christ in the desert beneath a mask.73 This is all given conceptual authority by the frequently cited Pauline text 'for Satan himself is transformed into an angel of light' (2 Corinthians 11: 14).\n\nAs the antithesis of truth, the Devil is metaphorically as well as literally a masker. Gesner, preceding Milton's learned catalogue in _Paradise_ Lost, argues that the Devil assumed the masks of pagan gods to lure men from true religion; Noirot and Savaron both trace the etymology of the term _larva_ back to the point where the word was synonymous with 'demon', using the linguistic argument as proof of devilish involvement.74 The condemnation of masks as diabolic was almost ubiquitous: 'as for maskes they bee so Devilyshe, that none honesty can be pretended to colour them'.75 The association is so strong that it even informs the criticism of the weather-shielding masks that became fashionable late in the sixteenth century [PLATE 30]. Philip Stubbes describes wealthy women adopting 'visors made of velvet, wherwith they cover all their faces, having holes made in them against their eyes, whereout they look'.76 Ridiculing these accessories, Stubbes draws naturally on diabolic comparisons: 'if a man, that knew not their guise before, should chance to meet one of them, hee would think hee met a monster or a devil; for face hee can see none, but two brode holes against her eyes with glasses in them.'\n\nPLATE 30: French noblewoman wearing protective mask for riding. Abraham de Bruyn _Omnium pene Europe... gentium habitus_ (Antwerp, 1581). London: British Library, LR 406 d. 6 (1) page 21.\n\n\u00a9 Reproduced by permission of the British Library.\n\nSixteenth-and seventeenth-century writers often directly invoke the authority of the early Christian writers in their attack on devilish masking. However, the sources they most often cite turn out to be not those which address theatrical or popular masking, but works concerned with the use of cosmetics. Although often by the same writers, these treatises tend to shift the grounds of the masking debate. While they reinforce the familiar conflation of mask and face-paint,77 they re-locate the arguments from the public and institutional world of the theatre to the individual sphere. It is not theatrical performance, but the presentation of the self in daily life that becomes the issue.\n\nOne commonly repeated maxim in this strand of the debate contrasts the natural, which is of God, with artifice which belongs to the devil. The ultimate source for this is Tertullian's pungent precept in his advice on women's adornment, _Quod nascitur, opus Dei est; ergo quod fingitur, diaboli negotium est_ ('What is born is the work of God, so what is manufactured is the devil's business').78 Adapted by Cyprian ( _opus Dei est omne quod nascitur, diaboli quodcumque mutatur_ ), this precept eventually found its way through generations of preachers into England's official mid-sixteenth-century _Book of Homilies_ , appointed by the government to be read in all churches throughout the land: 'all things natural are the work of God, and things disguised and unnatural be the works of the devil.'79 These contrasts between nature and artifice, or nature and dis-figuration, resonate through writing on both masking and cosmetics in the sixteenth century. The idea is bound up with anxieties about truth and hypocrisy, the inner and the outer, which are widely articulated in the Renaissance. These relate ultimately to wider currents of Reformation thought, troubled by the conflict between outer show and inner reality, the problematic urge to strip off the distorting clutter of show and symbolism and reach a pure and simple truth, whether in church ceremonial, scriptural understanding, or personal identity.\n\nCertainly, where theological arguments concerning naturalness and artifice are introduced into the discussion of masks they are frequently bound up with issues of personal spiritual identity. The identity of the individual is, throughout the Middle Ages and sixteenth century, conceived as inextricable from the identity of God himself, since humanity is made both spiritually and physically in God's image. Consequently, any altering of the face by a mask or make-up is, in one commentator's words, 'a kinde of violence to Gods owne Image'.80 Indeed, says another, 'they laie violent hande on god hym selfe, whan they go aboute to refourme and change that which he hath made'.81 A mask will _reserve et cache ce domicile venerable de l'intellect, image et pourtrait specieux de la cause premi\u00e8re cree a la resemblance de la celeste beaut\u00e9_ ('conceal and hide that worthy dwelling place of the intellect, image and special portrait of the First Mover, created in the semblance of divine beauty').82 If the deforming of His image in Man is sacrilegious, it also insults God by suggesting dissatisfaction with his work. N'est-ce _pas d'accuser l'ouvrage de Dieu?_ ('Isn't it an accusation of God's work?').83 Anyone who alters their face 'seemeth to go about to correct or amend the thing that God hath made, and striveth against God, violently setting hand upon his work'.84 Maskers arrogantly set themselves up as creators, abrogating to themselves the proper function of God and thus repeating the primal sin of Lucifer.\n\nThe same concerns appear in the anti-cosmetic works of the early Fathers. Tertullian's exhortations in _De cultu feminarum_ suggest that those who paint themselves are blaming God for poor work, adopting the devices of the devil who seeks to alter human faces as he altered human souls.85 Identity is here conceived of as not only given but owned by God. For Cyprian, a woman who paints her face, by daring to alter what God has made attacks his image and thence God himself. Even though she may behave with perfect propriety among men:\n\n... corruptis violatisque quae Dei sunt, peior adultera detineris. Quod ornari te putas... impugnatio est ista divini operis, praevaricatio est veritatis.86\n\n... when what is God's is corrupted and violated, you commit a worse adultery. That you think yourself adorned... is an assault on the divine work, an evasion of the truth.\n\nA woman's self is not her own but her Maker's, which she has no right to alter.\n\nThis was sharply dramatised in a commonly evoked little scenario first outlined by Cyprian:\n\nNon metuis, oro, quae talis es, ne, cum resurrectionis dies venerit, artifex tuus te non recognoscat... dicat: Opus hoc meum non est, nec imago nostra est. Cutem falso medicamine polluisti, crinem adultero colore mutasti, expugnata est mendacio facies, figura corrupta est, vultus alienus est. Deum videre non poteris, quando oculi tui non sunt quos Deus fecit, sed quos diabolus infecit. Illum tu sectata est, rutilos atque depictos oculos serpentis imitata es, de inimico tuo compta, cum illo pariter et arsura.87\n\nAren't you afraid, I ask, being like this [i.e. made-up], that when the day of resurrection comes your Maker may not recognise you... and say, This is not My work, nor is this Our image. You have polluted your skin with false ointment, you have transformed your hair with adulterous colour, your face is overcome with a lie, your countenance corrupted, your face is another's. You cannot see God, for your eyes are not those God made but those the Devil made up. You have allied yourself to him, you have copied the glowing, painted eyes of the serpent. Groomed like your enemy, so you shall burn with him.\n\nThe horror of being trapped in the alien painted-mask identity and the metaphysical anguish of the self in rejecting God's image for a lie are poignantly evoked. Sixteenth-century attacks on face-paint frequently revived this scene, either in full or in the briefer form attributed to St Jerome: 'Howe dare she lifte up towarde heaven that face, that hir maker will not knowe?', ( _Qua fiducia erigit ad coelum vultus quos conditor non agnoscit_ ).88 Later works transferred the scenario from the context of face-painting to the general attack on masks,89 an index of the disturbing vividness with which they operate on spiritual, metaphorical, and concrete levels simultaneously.\n\nMoral and Psychological Argument\n\nIn all the preceding arguments, the altering of one's face is seen as a primarily spiritual and metaphysical sin. But sixteenth-century commentators on masking, especially the humanist Reformation writers, also discussed its social and moral implications. Erasmus, in his startling and ambivalent _Praise of Folly_ , draws on the image of theatre masks to explore a broad principle of masking \u2013 literal and theoretical \u2013 in human life and perception. Folly imagines a theatre spectator tearing the masks from the actors in a play, destroying the drama by insisting on the 'true' identity of the performers beneath. Folly criticises the imperception of this literalist onlooker: _Verum eum errorem tollere est fabulam omnem perturbare. Illud ipsum figmentum et fucus_ est, _quod spectatorum oculos detinet_ ('To take away the illusion is to disrupt the whole fiction; for it is the illusion and make-up which hold the audience's eye').90 Folly's sense of the vital importance of the mask to the semiotics of theatrical performance is then transferred to life in general:\n\nPorro mortalium vita omnis quid aliud est quam fabula quaepiam, in qua alii aliis pertecti personis procedunt aguntque suas quisque partes... Adumbrata quidem omnia, sed haec fabula non aliter agitur.91\n\nFor what else is the whole of the life of mortals but a sort of fiction, in which some people come on, completely concealed by different masks, and act out their individual parts... Everything is an illusion, but this fiction cannot be acted out in any other way.\n\nSuch statements, of course, have a suspect moral authority since they are advanced by Folly. But the status of Folly herself is unsettling and ambivalent and Erasmus' perception of the nature of human life and society comes as close to an intellectual defence of the concept (rather than the practice) of masking as anything found in the period.92 It is interesting that Erasmus' contemporary if very different thinker Martin Luther is also one of the very few to use the metaphor of masks in a positive rather than a negative sense. Throughout his work Luther refers to God's use of 'masks', suggesting that the divine work is carried out under the mask of human deeds.93 Both writers suggest a value for the oblique, indirect, and veiled that is relatively unusual given the climate of opinion at the time. Perhaps tellingly, the most explicit voice that is recorded from an enthusiastic participant in masking games seems to argue along related lines. Theodore Gresemund, in the little dialogue about carnival masking published in 1495, gives his protagonist Podalirius arguments about human variety and metamorphosis, about the relativity of identity and the joy of role-play that, although specifically associated with youth, assert the positive value for all human beings of dynamism and change: a strand of thinking associated with the Italian Renaissance humanists.94\n\nHumanist writers also provide direct moral analysis of particular masking customs. Juan Luis Vives, the Spanish scholar and educationalist, in a work directed specifically to women and dedicated to Katherine of Aragon, discusses in detail the carnival game in which _viri et femini personati urbem totam concursitent, saltantes per celebros domos_ ('men and women in masks run around the whole city dancing in houses crowded with visitors').95 His analysis of the pleasures derived from this kind of masking is unusually serious and revealing:\n\n... vident ipsi et noscunt omnes, a nemine cogniti, ut infantes pueruli, qui magnam capiunt voluptatem, cum admotis ori manibus putant se ab aliis non cerni, et audiunt se ab alius requiri; sed sub larva eiusmodi multa delitescunt flagitia.\n\n... they themselves see and know everyone, but no-one recognises them; like little children who get great pleasure when, putting their hands to their face, they think that no-one can see them, and hear someone asking for them. But under this sort of mask lurk many crimes.\n\nThe wearing of masks, Vives claims, conveys a sense of superiority and liberation, allowing the maskers to see and know without being seen, known, or held responsible. Although it is not made explicit, the comparison with children's 'peep-bo' games also implies that the maskers' secure sense of invisibility is self-deluding. They limit themselves to the physically concealing effects of the mask, not recognising the inner truth a visor cannot hide. This is elaborated in almost contemporary comments from the humanist historian Polydore Vergil. Maskers, says Vergil, sin with impunity:\n\n... quasi eo modo cuique liceat esse scelerato, nihilve maleficii credatur committi, si vera hominis facies non videatur, perinde ac non patiamus etiam deo, quem nemo ambigit.96\n\n... as if by this means (i.e. the mask) any man might be allowed to be a criminal, or believed to have committed no crime, if his true face is not seen; just as if we were not open to God whom no-one palters with.\n\nLike Vives, Vergil draws attention to the personal and private nature of guilt and responsibility. Masking encourages people to abdicate moral responsibility; they use the protection of anonymity to deny not only to others but to themselves the inner truth of guilt. Masks are therefore a deception not only for the spectators, but for the wearers themselves.\n\nVives' _De institutione_ details the moral effects of this anonymity on women:\n\n... quae enim aliquo proficisci et saltare erubescere cognita, non veretur id facere larvata, eoque nullus est illic respectus aetatis, dignitatis, fortunae, existimationis: nec solum audiunt obscoena, et se indigna, sed dicunt intrepide quae ne cogitare quidem auderent si noscerentur... ita assuescunt paullatim impudentiae, ut detrimentum, quod sub persona accepit verecundia, citra personam proferat, et ostendat.\n\n... a woman who would blush to go out and dance if she was known, doesn't fear to do it masked, without regard for age, dignity, fortune or reputation. Not only do they hear things that are obscene and unbecoming to them, but they boldly say things they wouldn't dare to think if they were known... So they gradually grow accustomed to shameless behaviour, so that the harm modesty suffers beneath the mask is openly displayed on this side of it.\n\nTypically of Carnival, maskers feel free to behave in uncharacteristically uninhibited ways, the normal public constraints of position, age, and reputation obliterated by the mask. Female modesty is therefore harmed not only externally by the improper actions of others to which the women expose themselves, but also internally by the erosion of personal responsibility. These comments are an interesting indication of early-sixteenth-century culture. Reformation society in Europe seems poised between an older, more public and communal, shame-based model, and a newer, more private and individual, guilt-based pattern. Vives reflects an awareness of the tensions between the two patterns.\n\nIf this kind of masking game leads to general moral evasion it also, according to Vives' discussion, encourages more specific faults. Although he acknowledges that both men and women mask, in this work the dangers singled out are presented as specifically female:\n\n... primum curiositas immodica mulierum, quae scire quid ubique agatur vehementer avent, qui conviventur, quo ordine, quomodo ornati, quam splendido apparatu; unde nascitur invidentia, loquacitas, detractio, infamatio.\n\n... first the unruly inquisitiveness of women who long passionately to know what's going on everywhere, who's feasting, what the arrangements are, how they're dressed, what lavish preparations; whence spring envy, gossiping, backbiting, and scandal-mongering.\n\nThe list of sins suits the social concealment and excitement of masked dancing, but also echoes precisely the faults traditionally held against unruly descendants of Eve from the Middle Ages: curiosity, garrulousness, envy, and scandal.97 Masking is seen not only to carry peculiar dangers of its own, but to exacerbate existing and predetermined tendencies to sin.\n\nEven the most innocent-seeming masks can be read as symbolising underlying moral degeneracy. Stephen Gosson, reflecting on fashionable weather-shielding masks, suggests that while the Moslem veils used to protect female modesty are unexceptionable, this new version of protective mask reveals only pride in personal beauty. More seriously, he suggests that any mask, whatever its immediate purpose, is an irresistible determinant of sin:\n\nWhat els do maskes but maskers show,\n\nand maskers can both daunce and play:\n\nOur masking dames can sport, you knowe,\n\nSometime by night, sometime by day:\n\nCan you hit it is oft their daunce,\n\nDeuce-ace fals stil to be their chance.98\n\nFor whatever practical reason the face is covered, a masked woman is identified with the complex of dancing, dicing, and promiscuity implied by masking.\n\nEthical and practical objections to cosmetic face-painting are even more fully developed.99 In particular the poisonous, corrosive, and disgusting quality of cosmetic ingredients are frequently alleged.100 It is also commonly denied that face-paint conveys beauty: cosmetics, claims the _Book of Homilies_ , 'do rather deform and misshape thee than beautify thee'.101 Altering one's face can destroy the relations between human beings as effectively as those between the human soul and God. If women paint their faces to be pleasing to men:\n\nMe thynke it muche lyke... as thoughe thou wouldest entise or atempt hym with a viser: whome whan thy viser is ones of, thou shalte make as muche to lothe the as thou madest to lyke the, whan it was on.102\n\nA relationship based on physical deception is bound to founder. Such rational arguments, based on human concerns more than on spiritual or theological injunction, are characteristic of the sixteenth-century humanists.\n\nSocial Argument\n\nSocial arguments about masking centre largely on popular festive play, and focus on the civic disruptions caused by maskers. Many early-modern mask theorists quote medieval decrees attempting to restrict or prevent mumming and it is common throughout the sixteenth century to argue that maskers can and do get away with numerous crimes of theft and violence. Polydore Vergil claimed that maskers _sexcenta flagitia quotidie faciunt et illud impune_ ('commit 600 offences every day, and that with impunity').103 Nicolaus Calenus (1591) agrees that:\n\n... non potest non esse occasio omnis generis flagitia perpetrandi: spes enim caelandi et occultandi corrumpit homines, et ad quaecunque scelera impellit.104\n\n... it cannot fail to be an opportunity to commit all kinds of crime: for the hope of concealment and secrecy corrupts men, and incites them to all sorts of wrongdoing.\n\nAntony Munday, in what purports to be an eyewitness account of the Roman carnival masking of 1578, reports:\n\nDuring this time, every one weareth a disguised visor on his face, so that no one knowes what or whence they be: and if any one beare a secrete mallice to an other, he may then kill him, and no body will lay hands on him, for all this time they will obey no lawe.105\n\nStreet masking not only encourages violence by raising excitement, but by allowing the maskers to set themselves outside normal law. Putting on a mask lets the masker enter another world in which normal constraints are no longer felt to apply. For women, predictably, fears of social disorder centre not on violence but on sex. Carnival masking is, as we have seen, assumed to be a threat to female chastity, whether women are participants or merely observers. They are seen as having little defence against the combination of traditional licence, anonymity, and excitement that masking involves.106\n\nMany commentators offer exemplary tales, both of the crimes committed under masks, and of the disasters they bring about. The murders of Pentheus and Commodus, and the incest of Thammas, came about through masking.107 Froissart's story of the mask of wild men catching fire is repeated in many different forms, all emphasising that it was the masks, constructed with pitch and other inflammable substances, that made it impossible for the maskers to escape the flames.108 Masks are seen as comprehensively disruptive to social order: by conferring anonymity, they excite the maskers, remove inhibitions, and make it hard to enforce any kind of normal law and order.\n\nConclusion\n\nApart from a little factual information and speculation about the classical theatre, it is clear that almost all surviving recorded argument and theorising throughout the period is antagonistic to masking. The lone voice of the enthusiastic young German carnival masker, Podalirius, only emphasises the generally hostile consensus. Christian belief and social culture as recorded in writing apparently combine in their hostility to the concept and practice of masking. This inevitably skews our picture of the importance of masking in the period. It was such a widespread activity, permeating not only drama but popular and court entertainment, festivities, games, ceremonials, and systems of symbolism, that there must have been widespread tolerance and affirmation of masks, whether or not consciously justified or articulated. The attitudes that are recorded show only half the picture.\n\nSmaller distortions also prevent our understanding contemporary attitudes fully. Much of the most explicit discussion comes from the sixteenth and early seventeenth centuries when Protestant hostility to traditional medieval and Roman Catholic practices had developed. Most comment focuses on popular and festive masking, ignoring theatrical, ceremonial, and courtly entertainment; consequently we can be much less sure about the attitudes to dramatic or quasi-dramatic masks. Nor can we trust that the ideas of the theorists, almost without exception non-maskers, necessarily accurately reflect contemporary views and practice. However, there are clearly areas in which mask theories and mask practices can throw light on each other, as the earlier chapters have shown. Elusive and rarely straightforward, our evidence of contemporary attitudes can still help us to evaluate the complex phenomenon of medieval masking.\n\nNotes\n\n1 For general discussion see for example Bernard M.G. Reardon _Religious Thought in the Reformation_ (London: Longman, 2nd edition 1995); _Protestant Identities: Religion, Society and Self Fashioning in Post-Reformation England_ edited Muriel C. McClendon, Joseph P. Ward, Michael McDonald (Stanford University Press, 1999) 1\u20133, 12\u201315.\n\n2 The Mass was compared by allegorical writers, starting from Amalarius of Metz, with a sacred drama: see O.B. Hardison _Christian Rite and Christian Drama in the Middle Ages_ (Baltimore: Johns Hopkins Press, 1965) 39\u201340. Reformation authors mocked it as pure theatre, which had spawned all manner of theatrical and superstitious ceremonies, even referring to it as a 'disguising': e.g. William Tyndale _The Whole Workes_ (London: John Daye, 1573) 278.\n\n3 See, among others, Celio Calcagnini 'De Apologo' in _Opera aliquot_ (Basel: H. Frobenius and N. Episcopius, 1544); Pedro de Covarrubias _Remedio de jugadores_ (Burgos: A. de Melgar, 1519) fols 28v-30v; Diego P\u00e9rez de Valdivia _Platica 6 lecion de las mascaras_ (Salamanca: Universidad, 1583); Jean Savaron _Traitt\u00e9 contre les masques_ (Paris: Pierre Chevalier, 1608); Claude Noirot _L'Origine des masques_ (1609) in _Collection des meilleures dissertations, notices et trait\u00e9s particuliers relatifs \u00e0 l'histoire de France_ edited Constant Leber, 20 vols (Paris: J.-G. Dentu, 1826) vol. 9; Salomon Gesner _Oratio de personis sive larvis_ (Wittenburg: Meissner, 1600); Calenus _In detestationem_.\n\n4 Virgil _Georgics_ edited H. Rushton Fairclough (Loeb; London: Heinemann, 1960) lib. 2, 385\u20139; Horace _Ars poetica_ edited H. Rushton Fairclough (Loeb; London: Heinemann, 1947) 275\u201380; Diomedes _Ars grammatica_ in _Grammatici latini_ edited H. Keil, 7 vols (Leipzig: Teubner, 1857\u201380) 1: 489. See W. Beare _The Roman Stage_ (London: Methuen, 1950) 192\u20134, 303\u20139; Wiles _Masks of Menander_.\n\n5 Boethius _Liber de persona et duabus naturis (Contra Eutychen) PL_ 64: 1337\u201354, at 1343; see Mary Hatch Marshall 'Boethius' Definition of _Persona_ and Mediaeval Understanding of the Roman Theater' _Speculum 25_ (1950) 471\u201382. Gavius Bassus' explanation of the term _persona_ is quoted by Aulus Gellius (c. 123-c. 165 AD) _Noctes atticae_ edited John C. Rolfe, 3 vols (Loeb; London: Heinemann, 1954) 1: 398\u20139; lib. 5, 7, and picked up by Boethius' twelfth-century commentator, Gilbert of La Porr\u00e9e (PL 64: 1373):\n\n'Nam caput', inquit, 'et os coperimento personae tectum undique unaque tantum vocis emittendae via pervium... magis claros canorosque sonitus facit'.\n\n'For', he says, 'the head and the face are shut in on all sides by the covering of the mask and only one passage is left for the issue of the voice... it makes the sound clearer and more resonant'.\n\nIn fact it appears that _persona_ is an Etruscan loanword into Latin: see Wiles _Masks of Menander_ 131: Glotz Le _Masque_ 17.\n\n6 Cicero _De oratore_ edited E.W. Sutton and H. Rackham, 2 vols (Loeb; London: Heinemann, 1948) 2: 176\u20137, lib. 3: 221. Isidore of Seville distinguishes between the face _(facies_ ) which is constant, and by which individuals are recognised, and the _vultus_ , the expression on the face which communicates emotion: _Etymologiarum sive originum libri_ XX edited W.M. Lindsay, 2 vols (Oxford: Clarendon Press, 1911) 2: 11, 1, 33\u20135.\n\n7 Quintilian _Institutio_ 4: 282\u20135, Book 11:3, 73\u20134.\n\n8 See Wiles _Masks of Menander_ 104\u20138. He analyses the asymmetricality of Hellenistic theatre masks, and how this creates the illusion of movement.\n\n9 Isidore _Etymologiae_ (see note 6); Servius _In Vergilii carmina commentarii_ edited Georg Thilo and Hermann Hagen, 3 vols (Hildesheim: Georg Olms, 1961) 3: 253; Vincent of Beauvais _Speculum quadruplex sive speculum maius_ 4 vols (Graz: Akademische Druck-und Verlagsanstalt, 1964\u201365; facsimile reprint of Douai: Balthasar Bellerus, 1624) 2: 71\u20132, _Speculum doctrinale_ lib. 1, cap. 63. For Terence, Aelius Donatus _Commentum Terentii_ edited P. Wessner, 3 vols (Leipzig: Teubner, 1902\u20135) 1: 14, 26, 29\u201330, 93, and 2: 4; _Terentii_... _comedie_ edited Joachim Badius Ascensius (Paris: Nicolaus Depratis, 1508) a vir. He has a very full discussion of classical masked acting: see sigs a viijr\u2013v and b ir\u2013v. See also Noirot _L'Origine des masques_ 33. The catalogue of New Comedy masks in the _Onomasticon_ of Julius Pollux (second century AD) was rediscovered in the Renaissance: see Wiles Masks 123. For a translation see A.M. Nagler A _Source Book in Theatrical History_ (New York: Dover, 1959: revised edition of 1952) 7\u201315.\n\n10 Boethius _Liber de persona_ , PL 64: 1343\u20134.\n\n11 Boethius' material also took a more predictable, and possibly more broadly available route through encyclopaedists and commentators. Nicolaus Perottus, for example, discusses masks in terms closely related to the theological treatises in his _Comucopiae seu latinae linguae commentarii_ (Basle: Valentinus, 1526) 816; as do Joachim Badius in his commentary on _Terentii_... _comedie_ (Avir), Polydore Vergil De _rerum inventoribus_ (Basel: J. Bebellius, 1532) 600, and Alexander Sardi _De rerum inventoribus_ (K\u00f6ln: B. Gualtheri, 1550) lib. 1 cap. 29.\n\n12 Gilbert of La Porree _Liber de persona_ , PL 64: 1353\u20131412, at 1373.\n\n13 Tertullian _De spectaculis_ cap. 24 in _Apology & De spectaculis_ 286\u20137; also PL 1: 655.\n\n14 Clement of Alexandria _Exhortation to the Greeks_ in _Works_ edited G.W. Butterworth, (Loeb; London: Heinemann, 1919) 134\u20135; cap. 4.\n\n15 Tertullian _Apology_ 76\u20137; cap. 15, 3.\n\n16 See Jonas Barish _The Antitheatrical Prejudice_ (Berkeley: University of California Press, 1988) 38\u201365, 80\u2013131. Prynne's _Histriomastix_ (1633) combs the Fathers and the decretals for supporting comment: an invaluable research tool.\n\n17 St Jerome 'Letter 43: to Marcella' in PL 22: 479.\n\n18 Tertullian _De spectaculis_ 286\u20137; cap. 23 (also PL 1: 655).\n\n19 Wiles _The Masks of Menander_ 111\u201314 and _passim_.\n\n20 Tertullian _De spectaculis_ 284\u20135; cap. 23 (also PL 1: 655).\n\n21 Tertullian _De spectaculis_ 286\u20137; cap. 23 (also _PL_ 1: 655).\n\n22 Tertullian De _spectaculis_ 282\u20135; cap. 22\u20133 (also _PL_ 1: 654\u20135). See Wiles _Masks of Menander_ 16\u201318 on Barthes 'density of signs' in the theatre. Tertullian seems to find this in itself unsettling, in opposition to 'simple truth': _Omnia autem penes veritatem dei fixa sunt_ ('For all things within the orbit of God's truth are immutable'): _De spectaculis_ 280\u201381; cap. 20.\n\n23 Jesper Svenbro 'The \"Interior\" Voice: On the Invention of Silent Reading' in _Nothing to Do with Dionysos?: Athenian Drama in its Social Context_ edited by John J. Winkler and Froma I. Zeitlin (Princeton University Press, 1990).\n\n24 See Wiles _Masks of Menander_ 19\u201321.\n\n25 Isidore _Etymologiae_ 1: book 10, 118\u201320; copying Pseudo-Augustine _Sermo 62_ 'De verbis Evangelii Matthaei' PL 39: 1863. This etymology was repeated steadily throughout the Middle Ages.\n\n26 _Etymologiae_ 1: book 10, 120.\n\n27 John Bromyard _Summa praedicantium 2_ vols (Venice: Nicolini, 1586) 1: 152v.\n\n28 'Of the leaven of Pharisees' in _English Works of Wyclif Hitherto Unprinted_ edited F.D. Matthew _EETS OS_ 74 (1880, revised edition 1902) 2. For the eight cursings, from Matthew Chapter 23, see _English Wycliffite Sermons Volume_ 2 edited Pamela Gradon (Oxford: Clarendon Press, 1988) 366\u201374.\n\n29 It is not possible to tell how much sense of the theatrical metaphor in _hypocrite_ lurks in the New Testament Greek of the 1st century AD.\n\n30 St Thomas Aquinas _Super Evangelium S. Matthaei lectura_ edited P. Raphaelis Cai OP (Turin\/Rome: Marietti, 1951) 199. Note that for Aquinas, as for the Gloss, _persona_ means 'individual', not 'mask'.\n\n31 Bromyard _Summa praedicantium_ sig. I vijv.\n\n32 See below 300. In Horman's _Vulgaria puerorum_ (London: Richard Pynson, 1519) fol. 23r 'The deuyll appered lyke a good aungell' is translated _Demon c\u0153lestis nuncij: faciem induerat_ ('The Devil put on the face of a heavenly messenger').\n\n33 For a discussion of the myth of Lollard opposition to the drama, see Nicholas Davis 'Another View of the _Tretise of_ M _iraclis Pleyinge_ ' _Medieval English Theatre 4:1_ (1982) 48\u201355. Although Wycliffe is happy to use the term _hypocrite_ of any rank of the established church, he is particularly vehement about the friars: 'De perfectione statuum' in _John Wiclifs Polemical Works in Latin_ edited Rudolf Buddensieg, 2 vols (Wyclif Society; London: Triibner, 1882\u201383) 1: 470.\n\n34 'Of Prelates' in _English Works_... _Hitherto Unprinted_ 98\u20139. He adds confusingly, 'in bis manere _pei_ pleien _pe_ pagyn of scottis' (who stole the escutcheon of St George and thus betrayed the English).\n\n35 Those who urge wars of religion are 'feendis with here viser s': _English Wycliffite Sermons_ 1: 482; compare _pax vera sophisticatur sub fuco dyaboli: Sermones_ edited Johann Loserth, 4 vols (London: Wyclif Society, 1887\u201390) 4: 58. Friars are 'viserde devels, as Schariot was': _Tractatus de blasphemia_ edited Michael H. Dziewecki (London: Wyclif Society, 1893) 421.\n\n36 John Gower _Confessio Amantis_ edited G.C. Macaulay, 2 vols _EETS ES 81_ (1900) and _82_ (1901) 1: 53, Book 1 lines 635\u201340.\n\n37 The earliest appearance of this etymology we can find is attributed by Migne to Heiric of Auxerre (c. 840-c. 876): PL 95: 1449. It seems to have been suggested by the golden cup full of abomination borne by the Great Whore of Revelation 17: 4, crossed with the unclean cup of Matthew 23: 25\u20136, which Primasius identifies with hypocrisy: In _Apocalypsin_ , PL 68: 877: copied by Bede: _Explanatio Apocalypsis, PL 93:_ 183. In English, the whited sepulchres become 'berieles ypeynt _& ygilt_': _The Book of Vices and Virtues_ edited W. Nelson Francis EETS OS _217_ (1942) 21, under _Hypocrisy_.\n\n38 _The Complete Works of John Gower: Volume 1, The French Works_ edited G.C. Macaulay (Oxford: Clarendon Press, 1899) 16, lines 112\u201316. In the next section, the whited sepulchre is a _beal sepulcre q'est dorr\u00e9 \/ Dehors tout plain d'ymagerie_ , \/ Mais _pardedeinz y gist musc\u00e9 \/Puant caroigne et abhosme_ ('a beautiful gilded sepulchre, full of images on the outside, but within there lies hidden stinking and abhorrent carrion').\n\n39 Dekker _Dramatic Works_ 1: 132: introductory s.d. to Act 1 Scene 3. See chapter 10 on 'Morality Plays' 276. Earlier Fortunatus says that 'A maske of Gold hides all deformities': 1: 124.\n\n40 Pseudo-Augustine _Sermo 62 PL_ 39: 1863; cap. 5: 43\u20138.\n\n41 The pantomime was a form of ballet where masked dancers mimed to an orchestra and chorus, and possibly also to a spoken declamation. Lucian 'The Dance' in _Lucian_ edited and translated A.M. Harmon, 8 vols (Loeb; London: Heinemann, 1961\u201367) 5: 238\u201343.\n\n42 Isidore _Etymologiae_ lib. 10: 118\u201320; copied by Vincent of Beauvais _Speculum quadruplex_ 3: 1033, _Speculum morale:_ 3, 3, 10. See Joseph R. Jones 'Isidore and the Theater' _Comparative Drama 16_ (1982) 26\u201348.\n\n43 See note 9.\n\n44 Leslie Webber Jones and C.R. Morey _The Miniatures of the Manuscripts of Terence Prior to the Thirteenth Century_ (Princeton University Press, 1931). Similarly, the famous late-fourteenth-century drawing of an imaginary performance of Seneca's _Hercules furens_ (Bibliotheca Apostolica Vaticana MS Urb. lat. 355, fol. 1v) shows all the actors unmasked.\n\n45 The two illustrations, one copied from the other, appear in the Duc de Berri's _Terence_ (Paris: Biblioth\u00e8que nationale de France MS lat. 7907A, fol. 2v) dated 1407, and the _Terence des ducs_ (Paris: Biblioth\u00e8que de l'Arsenal, MS 644, fol. 1v) dated c.1412. For this discussion see Millard Meiss _French Painting in the Time of Jean de Berry: the Limbourgs and their Contemporaries_ (London: Thames and Hudson, 1974) 50\u201354.\n\n46 See Jones 'Isidore and the Theater'.\n\n47 Hugutius (Uguccio) of Pisa M _agnae derivationes_ Bodleian Library Oxford: MS Laud 626 (thirteenth century) fols 164v-165r; quoted Mary H. Marshall 'Theatre in the Middle Ages: Evidence from Dictionaries and Glosses' _Symposium 4_ (1950) 1\u201339 and 366\u201389, at 25. We do not know of any printed edition of Hugutius.\n\n48 In their commentary on Augustine's _City of God_ (Basel: Koberger, 1515) they identify the actors as _mimi et histriones saltantes et effigientes motibus corporis ea que a poetis canebantur:_ sig c3v. The _City of God_ , book 1 chapters 32 and 33, was another locus classicus for comment of the Roman theatre.\n\n49 _Troy Book_ edited Henry Bergen, 4 vols _EETS ES 97_ (1906), _103_ (1906), _106_ (1910), _126_ (1935) 1: 170; Book 2, lines 900\u2013904. Obviously none of them clearly understand the realities of the Roman theatre, or of its stage masking. Lydgate, having said that the actors are visored, even goes on later to speak of their changing expressions.\n\n50 _Minium_ (red lead) was substituted by Isidore for the earlier _niveum_.\n\n51 See Bruce R. Smith _Ancient Scripts and Modern Experience on the English Stage, 1500\u20131700_ (Princeton University Press, 1988).\n\n52 For accounts of the controversy see James Bass Mullinger _The University of Cambridge_ 3 vols (Cambridge University Press, 1873\u20131911) 2: 54\u201363; James Arthur Muller _Stephen Gardiner and the Tudor Reaction_ (London: SPCK, 1926) 121\u20134.\n\n53 _REED: Cambridge_ 162.\n\n54 _REED: Cambridge_ 182 (Thraso), 843 (Phaedria and parasite), 219 (Gnatho).\n\n55 Raoul des Praelles, commentary on St Augustine's _City of God_ Book 1 chapter 31, quoted in Meiss _French Painting_ 52 and 442, note 204.\n\n56 _Terentii_... _comedie_ edited Badius, sig a vir.\n\n57 See chapter 10 on 'Morality Plays' 243\u20134.\n\n58 Moriae _encomium_ edited Clarence H. Miller in Erasmus _Opera omnia_ 4,3: 104; Chaloner _Praise of Folie_ 38.\n\n59 Klingshirn _Caesarius of Arles_ 2.\n\n60 See Tertullian _De idololatria_ edited and translated J.H. Waszink and J.C.M. Van Winden (Leiden: Brill, 1987); also PL 1 especially 679\u201385.\n\n61 Both quotations from Caesarius _De kalendis Ianuariis, CCSL_ 104: 780; PL 39: 2001.\n\n62 Caesarius does suggest that Janus, the Roman New Year god with his two faces, is the unwitting symbol of the monstrous masking. But the maskers are not thought deliberately to imitate Janus; his double face is a deformity of nature 'which would be a freak in one of your calves', just like the masks themselves: Caesarius _CCSL_ 104: 780; PL 39: 2001.\n\n63 Caesarius of Arles (attributed in MS to Sedatus) _Sermo CXCIII_ in _CCSL_ 104: 784; in PL 39: 2003, as _Sermo_ CXXX.\n\n64 St Peter Chrysologos _Sermo CLV_ in _Collectio sermonum_ edited Alexander Olivar _(CCSL_ 24B; Turnhout: Brepols, 1982) 963\u20134; PL 52: 609.\n\n65 Peter Chrysologos _Collectio sermonum_ 964; _PL_ 52: 609.\n\n66 Meslin _F\u00eate des kalendes_ 80.\n\n67 Caesarius of Arles (attributed in MS to Sedatus) _Sermo_ CXCIII in _CCSL_ 104: 784; in PL 39: 2003 as _Sermo_ CXXX.\n\n68 Polydore Vergil _De rerum inventoribus_ 314. He was naturalised as an Englishman in 1510.\n\n69 Gesner _Oratio de personis_ A3r.\n\n70 Thomas Becon _The Reliques of Rome_ (London: John Day, 1563); Oliver Ormerod _Pagano-Papismus: wherein is prooved that Papisme is flat Paganisme_ (London: N. Fosbroke, 1606); Fran\u00e7ois de Croy _Les Trois conformit\u00e9s: assauoir, l'harmonie et conuenance de l'Eglise Romaine auec le paganisme, iudaisme, & heresies anciennes_ (Geneva:? Pierre de la Rovi\u00e8re, 1605).\n\n71 Savaron _Traitt\u00e9 contre les masques_ 3.\n\n72 Gesner _Oratio de personis_ C4v.\n\n73 See e.g. Gesner _Oratio de personis_ C4v\u2013D1r; for further biblical references see Noirot _L'Origine des masques_ 34\u20136 note 2.\n\n74 See chapter 13 on 'Terminology' 341\u20133, also 36, 209.\n\n75 Polydore Vergil An _Abridgemente of the Notable Worke of Polidore Virgile_ edited Thomas Langley (London: John Tisdale, 1560) Book 5, fol. 100.\n\n76 Philip Stubbes _The Anatomie of Abuses_ (1583) edited F.J. Furnivall (New Shakespeare Society; London: Trubner, 1877\u201379) 80.\n\n77 See chapters 12 and 13 on 'Materials and Methods' 316\u201318, and 'Terminology' 330\u201332.\n\n78 Tertullian _De cultu feminarum_ cap. 5; PL 1: 1321.\n\n79 Cyprian _De habitu virginum_ cap. 15; PL 4: 455; 'An Homily Against Excess of Apparel' in _The Two Books of Homilies_ edited John Griffiths (Oxford University Press, 1859) 315.\n\n80 Prynne _Histriomastix_ 893.\n\n81 Richard Hyrde _The Instruction of a Christen Woman_ (London: Henry Wykes, 1557) 1: 9; G3v (translation of J.L. Vives _Institutione foeminae christianae)_.\n\n82 Noirot _L'Origine des masques_ 87. Ironically, perhaps, it was to explore precisely this anxiety about the deforming of God's image that masks were introduced in the morality drama: see chapter 10 on 'Morality Plays' 259\u201365.\n\n83 Savaron _Traitte contre les masques_ 7. See Barish _The Antitheatrical Prejudice_ 92\u20135.\n\n84 Roger Edgeworth _Sermons_ (London: Robert Caly, 1557) fol. clxxxxviiiv-ccii; quoted in _Sermons and Society_ edited Paul Welsby (Harmondsworth: Penguin, 1970) 50.\n\n85 _PL_ 1:1321.\n\n86 PL 4:455.\n\n87 PL 4:456.\n\n88 Hyrde _The Instruction of a Christen Woman_ 1: 9, G3r; Jerome 'Letter 54: to Furia' PL 22: 553. See also Edgeworth _Sermons_ quoted Welsby 51; John Hall _The Court of Vertue_ (1565) edited Russell A. Fraser (London: Routledge and Kegan Paul, 1961) no. 168.\n\n89 Gesner _Oratio de personis_ B4r\u2013C1r.\n\n90 M _oriae encomium_ 104; for a freer translation, see Erasmus _Praise of Folly_ translated Betty Radice in _Collected Works 27_ edited A.H.T. Levi (University of Toronto Press, 1986) 103.\n\n91 Erasmus M _oriae encomium_ 104.\n\n92 Alistair Fox _Politics and Literature in the reigns of Henry VII and VIII_ (Oxford: Blackwell, 1989) 75\u201391.\n\n93 Martin Luther _Works_ edited Jaroslav Pelikan and Helmut T. Lehmann, 55 vols (St Louis: Concordia Publishing House, 1958\u201386) 2: 343 and 14: 114\u201315.\n\n94 See Gresemundus C _amisprivii dialogus_ ; Edgar Wind _Pagan Mysteries in the Renaissance_ (London: Faber, 2nd edition 1968) 191\u2013217.\n\n95 Juan Luis Vives _De institutione feminae christianae_ lib. 1 cap. 12 in _Opera_ (Basle: Episcopius, 1555) 2: 684. It is possible that this discussion does not derive from Vives himself but from a later interpolator, since the passage first appears in the 1555 edition of his collected works and is not found in earlier editions of the _De institutione_. For a discussion, especially of the gender implications, see Carpenter 'Women and Carnival Masking'.\n\n96 Polydore Vergil _De rerum inventoribus_ Book 5: 314.\n\n97 See e.g. _Woman Defamed and Woman Defended_ edited Alcuin Blamires (Oxford: Clarendon Press, 1992).\n\n98 Stephen Gosson _Pleasant Quippes for Upstart Newfangled Gentlewomen_ (Totham: Charles Clark, 1847).\n\n99 See e.g. Drew-Bear 'Face-Painting in Renaissance Tragedy'; for a far-reaching humanist discussion see J.L. Vives 'Veritas fucata' in _Opera_ (Basle: Episcopius, 1555) 2: 127\u201330.\n\n100 E.g. Hyrde _The Instruction of a Christen Woman_ Giiv; Thomas Nashe _Pierce Penniless his Supplication to the Devil_ in _The Unfortunate Traveller and Other Works_ edited J.B. Steane (Harmondsworth: Penguin, 1972) 77\u20139.\n\n101 _The Two Books of Homilies_ 316.\n\n102 Hyrde _The Instruction of a Christen Woman_ G2r.\n\n103 Vergil _De rerum inventoribus_ Book 5: 314.\n\n104 Calenus _In detestationem_ 26.\n\n105 Munday _The English Romayne Lyfe_ 96.\n\n106 See chapter 3 on 'Carnival' 71\u20132, 76; Carpenter 'Women and Carnival Masking'.\n\n107 E.g. Gesner _Oratio de personis_ Clr-v; Savaron _Traitt\u00e9 contre les masques_ 14\u201315.\n\n108 E.g. Calenus _In detestationem_ 27; Gesner _Oratio de personis_ D2v; Noirot L' _Origine des masques_ 115.\nChapter 12\n\nMaterials and Methods of Mask-making\n\nWhat were masks made of, and how were they made? Most of the guild accounts and inventories give little help, as they record only the finished articles, or mending, though surviving accounts from a large-scale civic French production, the Mons _Passion_ of 1501, provide useful comparative material.1 The Wardrobe and the Revels accounts from the court are far more informative, as these Offices bought and accounted for their raw materials wholesale, and it is sometimes possible to link materials to finished products. They suggest that, apart from synthetic substances, medieval and early-modern mask-makers used fairly similar methods and materials to their modern counterparts, except that there is little use of papier mach\u00e9 until the early sixteenth century.2 Leather, canvas, plaster bandage; carving, moulding, and decorating seem part of a continuing history.\n\nIn terms of construction the easiest method of masking was the unexpectedly simple one of wrapping a net or 'caul' around the face. This seems to have been particularly favoured by the court of Maximilian I, where it is widely illustrated in the _Triumphs_ and the _Freydal_ [PLATE 16].3 Other works by D\u00fcrer and Burgkmair also show caul-veiled maskers. Interestingly, the engravers of the village festival scenes from Bruegel's _Battle between Carnival and Lent_ , notably Hieronymus Cock, translated the original's flour-whitened faces of the mummers with collecting-boxes into black mesh-covered faces: it seems an acceptably familiar exchange of mumming masks which suits the technique of the engraving medium better.4 Although such netted cauls flatten the features, one might not have expected them to make the wearer totally unrecognisable: but the old-fashioned bank-robber's stocking mask is certainly effective in just this way.\n\nFIG. 13: Netted masker, _Triumph of Maximilian_\n\nIn a later netted mask, from Robert Boissard's M _ascarades_ (1597), the meshes are decorated with spangles.5 These distract from the face beneath by reflecting points of light on which the eye focuses, which must have been even more effective in the chiaroscuro of torchlight. This caul-mask conceit is tellingly turned to horror by Nashe in _Christ's Teares over Jerusalem_ (1593) where he warns fashionable women 'Your mornelike christall countenances shall be netted ouer, and (Masker-like) cawle-visarded with crawling venemous wormes'.6\n\nFIG. 14: Spangled caul\n\nThis simple method of masking was not only a concealment, or semi-concealment: it was sometimes used to change the colour of the face, as if it were a substitute for paint. The red-veiled angels at the Sepulchre in the Resurrection plays are an example,7 as are the Moorish disguisers we encountered in 1510:\n\nTheir faces, neckes, armes & handes, covered wyth fyne pleasaunce blacke: Some calle it Lumberdynes, which is mervelous thine, so that the same ladies semed to be nygrost or blacke Mores.8\n\nThe 'pleasaunce', which owes its delightful name to the town of Piacenza where it was made, was a type of very fine gauze, much used for kerchiefs and favours, rather like modern chiffon. The accounts for this disguising show that it took seven pieces, each seventeen-and-a-half yards by twelve inches, to cover two ladies \u2013 heads, necks, faces, and arms.9 The manuscript of the _Royal Entry of Joanna of Castille into Brussels_ in 1496 illustrates an _ethiopissa_ who looks as if she may well have been darkened in the same way.10\n\nSuch gauze was effective but limited in its uses. Looking at more adaptable materials, in the Wardrobe accounts of Edward III we find extensive use of stiffened light-weight material. The Lichfield Jousts and Revels of 1348, for example, used _sindon afforciatus_.11 _Sindon_ is a term for fine silk, or more usually linen,12 used for church vestments, and for shrouds: the body of Christ in the Vulgate is wrapped in _sindo_.13 Waxed, it becomes 'cerecloth', used not only for graveclothes but also for waterproof wrappings, and as a plaster for sprained or bruised limbs.14 _Sindon afforciatus_ or 'strengthened sindon' may have been cerecloth, or perhaps stiffened with other substances, size or glue for example, which would allow it to be shaped by dampening and stretching over a mould in much the same way as modern lightweight buckram. The use of cerecloth in gravewrappings and as bandaging suggests that it was common to tear it into strips, which would come even closer to the lamination by which modern masks are built up with papier mach\u00e9 or rags.15\n\nMedieval mask-makers may even have made use of that modern standby, plaster bandage. The masks mentioned in the pseudo-Augustinian sermon and Isidore of Seville's _Etymologiae_ were made out of _lintea gipsata_ or gypsumed linen.16 The plaster of paris in modern plaster bandage is calcined gypsum, and was certainly known to medieval and early-modern theatre technicians. The 'mouldyd worke' on props and scenery in the Revels called for 'Claye plaster parys Sewett \/ whyte paper \/ fflower \/ glewe \/ Syes \/ wax \/ here and Collis _[coals]_ for dryeng' (1547), more generally summarised as 'paste and Cement' (1552\/3).17 Caxton in the 1483 edition of his translation of _The Pylgrymage of the Sowle_ makes a comparison (largely his own), between 'a veray hede' and 'a feyned hede formed of playstred clothe other of coerboyle _(cuir bouill\u00e9_ or boiled leather)'. If attacked, he says:\n\n... the veray hede will defende hym self but the feyned hede wyll falle a wey with a litel wynde or with a lytel stroke \/ for there is no maner poynt of vertu \/ save only paraventure hornes or grennyng teeth to aferen fooles.18\n\nHe refers to these heads of plastered cloth as _gargailes_ , and they sound very much like devil masks, either to be worn or as architectural ornaments in an entertainment, where an accidental blow could make them crumble.19 The French text, without mentioning the materials Caxton specifies, calls them _tymbres_ \u2013 the word for a crest on a helmet. Nowadays plastered cloth is similarly used for stage statues, and plaster bandage normally for taking casts for life masks rather than for wearable visors; but though Isidore's _lintea gipsata_ would make a rather heavy mask, it would be perfectly feasible.20 Plaster of paris is also used as gesso to finish the surface of papier mach\u00e9 masks; once painted, it is burnished to a high finish to reflect the light and emphasise the planes which give character and shifting 'expression'.21\n\nAnother of the main materials used by medieval mask-makers was leather. The Lichfield accounts for 1348 record:\n\n... ad cciiijxx visers facte pro ducibus dominabus et domicellis eis liberate de dono Regis durante tempore hastiludorum\n\nj pecium dimidij sindonis afforciate\n\nxij vlne dimidij curte tele de Reyns\n\niiij pelles de Roan\n\nxlvij pelles de baseyne\n\n... to 280 visers made for dukes, ladies, and damsels, and given to them by gift of the King during the time of the jousts:\n\n1 \u00bd pieces of stiffened muslin\n\n12\u00bd ells of short cloth of Rheims [linen]\n\n4 skins of Roan leather\n\n47 skins of baseyne leather\n\nLater the same year at Canterbury they used stiffened muslin, Rheims linen, _baseyne_ , and worsted, for 44 _visers_ and a covering for the King's throne.22\n\n_Roan_ is unfortunately one of those words whose definition does not become clear until much later. The _OED_ says it is 'some kind of skin or leather', and probably came from Rouen ('Roan cloth' was linen from Rouen). It must have been fairly supple, as the first instance cited refers to bringing a 'roan' skin out of a small coffer and cutting a thong from it. By the nineteenth century it is a 'soft flexible leather made of sheepskin, used in bookbinding as a substitute for morocco', which sounds not dissimilar. In 1571 the Revels buskin-makers made three pairs of buskins 'of Rone lether and white velvett at xvjd the payer', using 'one Rone skin' costing four shillings,23 Buskins were usually made of cloth: the same account lists pairs of white velvet and red satin, which again suggests that 'roan' was fairly light and supple. _Baseyne_ is better documented: the _OED_ defines it as 'a brown leather made from sheepskin', and most of the illustrative quotations concern it being passed off as cordovan by fraudulent shoemakers. Leather is moulded into masks by wetting, then being stretched over a mould and beaten into shape with a small hammer. It is a delicate job, but many modern mask-makers think it makes by far the best kind of mask.24 'Boiled' leather, Caxton's _cuir bouill\u00e9_ , was used for lightweight armour, and for decorative crests such as the leopard on the helmet of the Black Prince's funeral achievements. Surviving _commedia dell' arte_ masks are also made of leather.25\n\nThe Christmas revels at Guildford in 1347, alongside more roan and buckram, also used English linen cloth (though mostly for tunics) and _vj lb filo de lyno_. Six pounds seems a lot of thread simply to sew tunics, and it was probably also used to make the beards of the _similitudines facierum hominum cum barbis_ ('likenesses of faces of men with beards').26 In 1348 at Otteford some of the seven pounds of linen thread probably contributed to the _xij capita de wodewoses_ ('12 woodwose heads').27 The woodwoses of the famous disguising disaster of 1392 wore linen coats with flax stuck on with pitch.28\n\nLinen thread, or possibly untreated flax, was fairly generally used for wigs. The London Bridgemasters' accounts for the 1464 pageant for the reception of Queen Elizabeth Woodville mentions _iij lb linum emptum & expensum \/ in similitudine crinis angelis et virginibus \u2013 ixd_ ('three pounds of flax bought and used as wigs for angels and virgins \u2013 9d'). It was dyed yellow: _Et i unce de Safurn pro tincturo lini expensum in factura crinium pro angelis et puellis \u2013 x d_ ('one ounce of saffron for colouring the flax used in the making of wigs for the angels and girls \u2013 10d').29\n\nMasks, wigs, and headgear could be lavishly decorated. The Christmas festivities at Otteford accounted for a thousand gold leaf: it would appear that everything about the headpieces was gilt. In the previous year at Guildford the angels' heads were silvered. The 1464 Entry of Queen Elizabeth Woodville also shows heavy expenses for gold paper, silver paper, tinfoil, silver leaf, and 'party gold'. Similar items appear in the expenses for the Mons _Passion_ ,30 and in the accounts for mystery plays, where 'Assadyn (tinsel), Silver papur & gold Papur, gold foyle & grene foyle' make fairly regular appearances, though in this particular Coventry entry (1477) they seem to have been used for crests and headpieces rather than masks as such.31 Expenses for metallic foils in analogous records suggest that 'litle Gods face' in the mystery plays was gilded with gold leaf, or possibly with 'party gold', an alloy of gold with other metals. The accounts do not mention gold paint, which painters' manuals suggest was rare and only used for lettering.32 Modern gold and silver paints certainly do not reflect the light as foils do, only too often making actors look khaki or grey.33 It is hard to deduce from the expenditure in the accounts whether gold leaf was used, as we do not know how big the sheets were or what was the labour charge. The Chester painter was paid twelve pence for gilding the child Christ from 1545\u201369; a dozen sheets of gold foil cost the Revels six pence in 1552 (party gold being eighteen pence the hundred).34 We do not know how gold leaf was stuck to the face: but it has been pointed out that since skin is much the same substance as parchment, the same adhesives might have been used \u2013 chalk and size, or perhaps white of egg (which was also used to glaze women's make-up). Honey and sugar-candy are also mentioned as adhesives.35 It must have made the actor's face uncomfortably immobile.\n\nApplying gilding directly to the skin brings us close to another common alternative to masks: face-paint. In many early masking traditions, playful and dramatic, face-paint seems to have been considered as simply another form of masking.36 Unlike more recent traditions of cosmetic and theatrical make-up which have tended to aim for an effect of heightened naturalism it appears that most medieval traditions used face paint as the equivalent of a mask \u2013 in order to disguise. Popular masking games tended to blacken the face using easily available domestic materials like soot, lampblack, or charcoal: all matt monotone black which blanks out the features.37 The alternative to blackening the face is whitening it, and the obvious material for that is flour: Martial d'Auvergne wrote in the sixteenth century about revellers going _en momon_... _barbouilles de farine ou de charbon, faulx visaiges de papier_ ('mumming... smeared with flour and charcoal, with paper masks').38 The effect of such white-face guising can be seen in Bruegel's _Battle between_ _Carnival and Lent_ where several of Carnival's followers sport moon-like, featureless, flour-whitened faces.\n\nThere may well be a connection between the conflation of face-painting with masks and the very basic materials used for such games (soot, flour, ruddle) which would indeed have the same concealing properties as a mask. Is it, however, possible that medieval dramatic performers wore anything less mask-like, nearer to the 'natural' make-up of modern times? As far as it is possible to assess from records of painting materials used in dramatic performances, it looks as if any paints used for faces were the same as those used for the scenery. When the Mons _Passion_ of 1501 asks for _Raphael avoir la face toute rouge de painture que ung paintre luy fera_ ('Raphael to have his face painted entirely red, by the painter'), this can be matched with the paints which appear in the accounts: _Vermillion_ (probably red mercuric sulphide), _terre rouge_ , or _bresil_.39 The English Revels Accounts of some fifty years later list a stock of paint which includes 'vermylyon' and 'redd leade' as well as _Sanguis draconis_ and 'red on paper'.40 In Scotland in 1554 Walter Binning, a domestic and theatrical painter, is paid for 'paynting of the handsenye [ensigns] and the playaris facis' with no implication that either techniques or materials might differ between the two.41\n\nThe painting of Raphael's face, at least, was clearly for a particular effect that was not intended to be naturalistic. But in fact the various pigments mentioned in these records were also used as rouge in ordinary cosmetics for women. The same is true of _ceruse_ ('white lead') which was not only used as a pigment for painting scenery, props, and pictures, but also as a common foundation cream, even though it apparently melted and dripped off if exposed to sunlight. 'Spanish white', or powdered chalk, was used similarly although it was, conversely, vulnerable to rain. Lampblack and soot were used as eye make-up.42 Today this sounds very artificial, and the objections of the preachers and satirists who compare cosmetics to masks might seem to support the view that a natural effect was not the aim: most comments, although admittedly antagonistic, suggest that cosmetics are used thickly to conceal blemishes. We cannot tell what effect the women themselves intended or how make-up was perceived by more sympathetic observers. Even so, all this might at least obliquely support the view that pre-modern performers were unlikely to have worn 'naturalistic' or subtle enhancing make-up.\n\nMasks for the mystery plays seem mostly to have been provided by the painter.43 He may also have made them, as most of them are 'character' heads for devils; but it is quite possible that he could have bought and customised a basic mask from a haberdasher or milliner who specialised in _visars_ for disguisings, just as party and stationers' shops nowadays sell masks for Guy Fawkes, Dracula, and Hallowe'en. Such commerce in masks goes back at least to the beginning of the sixteenth century. The elaborate tourney and dancing disguises of Edward III's revels were made in-house by craftsmen skilled in heraldic _tymbres_ , but by the early sixteenth century the fashion for masking has clearly created an industry, and _visars_ are now bought from the milliner or haberdasher wholesale by the dozen (or score). We find the Revels purchasing two dozen _visars_ in 1511; it is ironic to find Chambers pointing out that in that same year 'the sale of visors was made illegal by Act of Parliament'.44 In 1512 they bought '40 fassys' more.45 The inventory for the first year of Edward VI's reign records twenty-four dozen masks in stock,46 but bulk buying continues:\n\n_1551\/2_ | Christopher myllioner; for xiiij dozen & iij visers at xls ye dozen \u2013 xxviij li 47\n\n---|---\n\n_1572_ | haberdasher (Thomas) Gyles for ij dozen di. of fyne weemens vizardes at xxiiijs the doozen \u2013 iijli\n\nItem. vj. fyne Turkes vizardes after xxiiijs the doozen xijs In all iij doozen vizardes... lxxijs49\n\nThere was also a supplier called the 'vyzardmaker', but he appears to be the haberdasher (or possibly the property-maker) under another name.49\n\nThese large quantities of masks were presumably fairly plain, the neutral masks sometimes used in disguisings, or contrasted 'character' masks of the 'worst and well favourest make'.50 The milliner or haberdasher might also stock exotic lines, however, like the 'fyne Turkes vizardes after xxiiijs the doozen'. Since these basic _visars_ were supplied to the Revels ready-made, we do not know what they were made of: probably, however, buckram, cerecloth, or leather as before. Wholesale masks could then be further decorated to suit the characters: 'vj venusses or amorous ladies' had masks 'garnished with heare and spangle & netting upon the frounte' by the painter; he also dressed 'the fruntes of xvj visars' for 'a maske of wemen like goddesses huntresses viij with viij turky wemen their torchberers' with 'heare spangle countrefet pearle & slived silke in knottes and colours.51 Revels accounts also mention a gilded _visar_ , though for George Ferrers, not God: 'for gyldinge of a vyser for the lorde of Misrule occupied in his playe before the kinge \u2013 xxd,.52\n\nMasks were often lined, and provided with ties made of _sarcenet_ , a soft lining silk: 'for ij elles of redd & black Sarcenett for the lining tyenges & hedbandes of visers at vs iiijd the ell \u2013 xs viijd'.53 Much of the sarcenet-in-the-bale itemised in the 1560 Revels inventory ends up 'Imployed... into lyninges of vizars and coveringes of neckes' (tawny sarcenet) and 'in tyenges necke coveringes and garnisshinges' (red, also white, yellow, black, and yellow gold).54 A 1520 masking at New Hall used thirteen yards of green ribbon at 4d a yard and fourteen yards of yellow ribbon at 3d a yard 'for lacing bonnets and knitting visors'.55\n\nSome of the more elaborate _visars_ , however, were supplied by the property-maker: for example 'Karvers & propertye makers... by the day & and by the greate with there stuffe... vij visars wyth byrdes _[beards]_ upon them \u2013 viijs' (1558\/9).56 Three of the earlier property-makers started life as 'karvers', and seem to have specialised in 'mowlded worke'.57 Among the more elaborate pieces, besides the double-headed Medioxes and lions devouring the man's head helmet-wise, there were (a mere selection) 'covetus men with longe noses', 'babions faces of tinsel blak & tawny', 'vezars or maskes for moores' (provided by Nicholas Modena 'straynger' who first appears as a joiner, but becomes a property-maker), 'a vizard for Argus', 'a vyzarde for an apes face', and 'a houndes heade mowlded for a Cenofall'.58 The vizard for Argus was painted by the painter; the hound's head was modelled on a mould made by the 'Mowldeman'.59\n\nThe more elaborate moulded headpieces are not always masks as such, but hats, helmets, and other fantastic head-dresses. A list of 'propertye makers parcelles' (1578) shows a full repertoire of modelling materials:60\n\nRichard Rowland for j C of plaster of Paris | iijs\n\n---|---\n\nBrowne paper | xijd\n\nfflowre to make past | xijd\n\nAllom ij li | viijd\n\nGlue ij li | vjd\n\nLynnen Ragges | xijd\n\nClaye to mowlde withall | viijd\n\nA bowle to beat browne paper in | vjd\n\nA great deal of pasteboard was also used, mostly for stiffening headdresses. The 'mowlded worke' is on several occasions said to be of 'paste and cyment'.61 The ingredients of the cement are unspecified, but the word seems to be used of any kind of strong adhesive: 'syment for visars xijs he and his man mending of vysars one daie xxd'.62 The 'paste', as the account above says, is made of flour: it appears to have been mixed with white wine, and possibly with size: 'ffor xij pannes of Syse... xijd. for sysed fflower to cover the Apes (Counterfett Apes of paste and Cement mowlded) withall... vd'.63 These apes then had coney fur stuck on them. At other times in the accounts _paste_ seems to mean 'pasteboard'.\n\nThe brown paper and the bowl to beat it in show that papier mach\u00e9 is now being used, not necessarily for masks but for all kinds of moulded work in scenery as well as in properties and costumes. In 1511 there is a record of the purchase of 'ten bundles of crown paper for moulding beasts, the faces of the Lion and Antelope etc.': these 'beasts' pulled in the pageant forest at the Westminster jousts.64 In 1573\/4 the property-maker claims for 'Past & paper for the dragon head'.65 The Mons _Passion_ also used _gris papier a moller_ , probably for the serpents who spat fire from hell battlements.66 It was also used in smaller items: the inventory of Revels costumes taken in 1560 refers several times to 'Hedpeces of paste paper', though this might of course be a lighter form of pasteboard.67\n\nFelt was also used for making animal heads: in 1576 Rowland Allen, described as 'the Mowldeman' was paid 5s 'for ij feltes for the cenofalles headepeeces'.68 More elaborate and complicated headpieces were made on a wicker base, as were many of the large props: there are annual payments to the basketmakers, 'for makinge of vj maske heddes of wicker at ijs the pece'. Occasionally wood was also used.69 When the property-maker is also called the carver and provides most of the moulded work, it is reasonable to suppose that he also made the moulds for it. In the Mons _Passion_ payment is made:\n\nA Jehan Duquesnes, patinier, pour ie tronche de bois de sauch a faire les molles de II testes, l'une de deable et l'autre draghon XIIII S70\n\nTo Jehan Duquesnes, clog-maker, for one block of willow wood to make the moulds for two heads, one of a devil and the other a dragon 14 s.\n\nA little later he is paid for another block of wood for yet another dragon. The only parallel account for the Revels is for the 'Turner' who in 1552 is paid 'for vj mouldes for serpents', for some headpieces in a mumming. The turner also several times provides wooden hatblocks 'to fasshion and Trymme hattes uppon'.71\n\nSome of the masks supplied by the haberdasher were ready-bearded: Thomas Giles, a frequent supplier of _visars_ in Elizabeth's reign, in 1571\/2 provided 'xxj ffyne vyzardes with long Berdes' for 52s.72 As we have seen, beards were a familiar addition to masking _visars_ : they could be of gold, silver, or white.73 At the Field of Cloth of Gold, Henry VIII and his fellow maskers wore 'visers, and all the berdes were fine wyer of Ducket [ducat] gold'.74 More often, however, the beards were of hair, or cloth like Wisdom's 'berde of golde of sypres curlyed'.75 'Cypress' can either be cloth of gold from Cyprus, or 'a light transparent material resembling cobweb lawn or crape': it was much used for veils, the black especially for mourning veils.76 This material was so fine that it could be cut and curled into ringlets, presumably round curling tongs: the effect must have been very like paper-sculpture curls. In the Revels inventory for 1547 appear 'vij vezars for Allmayne(s) with Berdes of damaske golde'.77 This 'damaske gold' appears to be a form of gold braid: for Henry VIII's revels at Greenwich in May 1527, the accounts include 60 ounces of round gold of damask, Venice weight at 5s, used on '8 vesyers for berds towskyd, withe uppar lyppis flossyd' and 40 ounces of round silver of damask at 4s 8d, used for six beards for visors and 'for iij heres'.78 _Towsked_ seems most likely to be 'tozed' or teased, but a little later we find 'for weaving 99oz of gold and silver into corrsyng of which the beards were made'. _Corrsyng_ seems to be some kind of plait, as the same accounts talk of '8 fillets of korsyd gold of damask'.\n\nThe haberdasher also seems to have supplied beards alone in commercial quantities. Two typical if fairly extensive entries from the Revels accounts are:\n\n1572\/3 _habberdashers for Beardes & beare etc_ | Iohn Owgle \\senior\/ for viij long white Berdes at xxd the peece \u2013 xiijs iiijd \/ Aberne Berdes ij & j blackfyzicians _[necromancer's?]_ bearde \u2013 xiiijs viijd \/ Berds White & Black vj \u2013 viijs \/ Heares for palmers ij \u2013 ijs viijd Berdes for fyshers vj \u2013 ixs Curled heare for fyshers Capps \u2013 xijd Redd Berdes vj \u2013 ixs\n\n---|---\n\n1573\/4 _Beardes and beare_ | lohn Owgle for vij Long Aberne beardes at xvjd the peece \u2013 ixs iiij \/vij other berdes ottett at xiiijd the peece for the haunces Mask at xvjd the peece \u2013 viijs ijd \/xij beardes Black & Redd for the fforesters Mask at like rate \u2013 xvjs \/Heare for the wylde Men at xvjd the lb iij lb \u2013 iiijs \/One Long white Bearde-ijs viijd79\n\nThese beards also came in different styles: 'Iohn Owgle for xiiij Beardes Marquesotted at xvjd the peece \u2013 xviijs viijd' M _arquesotted_ means 'with whiskers only': Boissard illustrates a mask for an Oriental with a drooping moustache which may be in this style.80 Ogle was so famous a theatrical supplier that he features in the 1590s play of _Sir Thomas More:_ the interlude within the play is held up while one of the actors runs 'to Oagles for a long beard for young Witt'.81\n\nAs one can see from these lists, Revels' beards and wigs were both provided by the haberdasher, and made of very much the same materials. As with the earlier accounts, flax or linen thread remains a favourite. In the accounts for the Lord of Misrule's Christmas Revels of 1552, 'an Irishwoman with a hear of fflax worth by estimacion iijs iijd' was accompanied by an Irishman with 'a hear of blacke flaxe'.82 Bruegel's famous picture of _The Flemish Proverbs_ actually shows a false beard in use, to illustrate the proverb 'the hypocrite makes God a beard of flax' (the English version is 'a beard of straw').83 The hypocrite, a friar, is hanging a long white false beard on a tolerant looking black-bearded Christ. It is noticeable that the strings of the beard are tied round the crown of the head to make it hang straight. For performance these would then be concealed by a wig or headdress.84 Horsehair was another a favourite material. In 1520 Henry VIII's Revels were supplied with 'Dyed horsehair 11b at 16d and black horsehair pyrlled 11b at 10d for beards for visors'.85 To _purl_ or _pryl_ is to 'twist': possibly the horsehair was curled into ringlets as well. Since hair was bought by the pound, the comment that the Chester Joseph's beard had 'a pound of heare... and more' suddenly sounds oddly precise.86 At Christmas 1550, Nicholas Iarmyne, described elsewhere both as a tailor and a property-maker, provided 'vij heares for men made with horsehear at ijs the pece' as well as 'viij hears made with flaxe... workemanship & coloringe at iijs iiijd the pece'.87\n\nAs these entries show, _heares_ might be both dyed and curled. In 1547\/8 the painters were paid for 'Colorynge of the here of a hole maske of women', while John Ogle was paid in 1578 'for the cullering the yealow heare and stuffe to curle it iiijs'.88 In 1576\/7, besides 'curlyng of heare', he is paid 'ffor v cow tailes to curle vjd'. In the next list of expenses we find 'for 9: horsetayles and 35: Cowtailes vs xjd'.89 In 1573\/4 the Revels used 'Horstayles for the wylde mannes garment'.90 At the other extreme from horsehair and cows' tails, we find John Ogle 'Curling of Heare made of Black Silk for Discordes head (being lx ounces)'.91 'Raw satten silke for heare' (1571) or 'Sylke for here of weemens heddes' is 'bowghte of the Sylkewemen' (1559) or, in 1578\/9, from the 'Sylkman: Trott, for ij li. quarter of silk to make heares for the Amasons at xxijs the pownd xlixs vjd'.92 In the 1511 tournament celebrations the 'wilde men or woodhouses' had 'bodies heddes, faces, handes, and legges covered with grene silke flosshed [flossed]'.93 This lavish use of silk makes the hempen wigs of the contemporary Leicester angels look very downmarket:\n\n1504 | Paid for a pound of hemp to mend the angels heads iiijd Paid for linen cloth for the angels heads | iiijd\n\n---|---|---\n\n1506 | Paid for a pound of hemp for the heads of the angels | iijd94\n\nBesides the ordinary 'heares', the property-maker could be called upon to produce more exotic character wigs. The 1560 Revels inventory shows a set of 'vj Corled hed Sculles of blacke Laune' for 6 Moors; the curls are presumably produced in the black lawn in the same way as in Wisdom's 'sypres gold' beard.95 An earlier attempt (1547) to produce negro hair used 'Cappes made with Cowrse budge for mores': _budge_ is 'a kind of fur, consisting of lamb's skin with the hair dressed outwards'.96 It was bought from the skinner, John Jordan, who in 1552\/3 was paid 10s 'for makinge of xij furred heades for Savage men'.97 Most ingenious of his creations, however, must be the 1548 'vj Cappes ffor prestes with heare and Shave crownes of budge at xiiijd the pece vijs'; in the same mask he also provided 'vij heremyttes heades att vjd the peace'.98 Entries like these show how ingenious and sophisticated the Revels costumiers were. It is unlikely that the mystery-play guildsmen were that far behind in skill, especially since haberdashers and milliners seem to have kept several lines of masks and _heares_ as part of their ordinary stock-in-trade.99\n\nThe officers of the Revels were scrupulous about repairing and re-using their stock. Garments are turned and cut down into other garments several times, often ending up as buskins. Masks are also repaired: 'Iohn kelsey for the newe reparynge of vj olde vysars and for the lynynge of them... vjs viijd'; 'Iohn Ledes for... syment for visars xxijd he and his man mending of vysars one daie xxd'.100 They are cleaned (the Revels had an annual stocktaking and spring-cleaning of all their costumes and properties) with white of egg. Presumably the egg was used like upholstery foam, whipped up, brushed on, and then brushed off with the dirt adhering to it: 'The vyzardmaker Iohn Owgle... for egges to make cleane vizardes \u2013 iiijd' (1573).101 Other headpieces might be dry-cleaned with bread:\n\nEgges to trymme the vizardes | ijd\n\n|   \n---|---|---\n\nBread to make cleane headpeeces | vjd | (1574)102\n\nThe impression left by the Revels accounts and inventories is of a characteristic elaboration of style and a breath-taking richness of material, coupled with extreme thriftiness in mending, re-using, and accounting. The variety of styles for even the stock _visars_ \u2013 'fyne weemens vizardes' (probably worn by men and boys: the F _reydal_ shows at least one masking where the court ladies are dancing with a set of somewhat powerful looking 'females');103 'ffyne vizardes with long Berdes'; 'fyne Turkes vizardes' \u2013 matches the variety of materials used for hair and beards and the elaborate colouring and curling. The Revels Office was the top theatrical costumier in the kingdom, and one cannot assume that all drama aspired to those heights; though accounts of the Royal Entries, which were certainly civic productions, suggests that they did not fall far short of the Revels. The style is, in any case, a useful yardstick.\n\nOne final return to an old friend. One would not expect to find the devil turning up frequently among the more sophisticated and classical maskings of the Revels, and indeed we tend to find devil costumes being hired instead of made:\n\n_hyre of propertyes_ | William Baldwyn for the hyre of heers beardes & develles apparell & other attyre for players by him borrowed vjs vjd (1553)104\n\n---|---\n\n_The hyre of apparell_ | Thomas Clatterbooke for hier of iij devells cotes and heads (1574)105\n\nSo he still seems to have appeared from time to time. In 1571 we find among a list of 'sundry propertyes', next to 'Bodyes of men in tymber', the item 'Dishes for devells eyes', followed by 'devices for hell, & hell mowthe'.106 _Dishes_ may mean no more than 'discs' or 'settings', though this meaning does not appear in the MED. But apparently 'eyes like saucers' was a French idiom as early as the thirteenth century, and the _OED_ cites several quotations which give the devil saucer eyes, though none before 1622: 'Cloven-footed, Blacke, saucer-eyde, his nostrils breathing fire'. Devils in woodcuts sometimes have round staring eyes. The phrase, however, seems to have struck the Clerk of the Revels Office: three years after this entry, when the current property-maker John Carowe had just died and the office were settling accounts with his widow, we find:\n\n_The propertymaker_\n\nTo Iohn carowe in his lyfe tyme not long before his death \u2013 vjli And to his wyfe after his deathe in full satisfaccion for all the wares by him delyvered this yeare into the said office or is to be by him the said Carowe his executors or admynistrators demawnded for any dett due before the third of ffebruary 1574 or not entred in this booke \u2013 vjli xiijs iiijd, as which grew by propertyes videlicet Monsters, Mountaynes, fforestes, Beastes, Serpentes, Weapons for warr as gunnes, dagges, bowes, Arowes, Bills, holberdes, bore-speares, fawchions daggers, Targettes, pollaxes, clubbes headdes & heedpeeces Armor counterfet Mosse, holly, Ivye, Bayes, flowers quarters, glew, past paper, and suche lyke with Nayles hoopes horstailes dishes for devells eyes heaven, hell, & the devell & all the devell I should saie but not all \u2013 xijli xiiijs iiijd107\n\nan entry which sums up perfectly both the environment and the mood of play-makers from the Middle Ages to the present.\n\nNotes\n\n1 Livre de conduite edited Cohen.\n\n2 This parallels the use of parchment and paper in bookmaking. Paper mills were not established in England until the late fifteenth century: see Christopher de Hamel _Scribes and Illuminators_ (London: British Museum Press, 1992) 16.\n\n3 See _The Triumph of Maximilian I: Woodcuts by Hans Burgkmair and Others_ edited Stanley Appelbaum (New York: Dover, 1964) 32; Quirin von Leitner _Freydal;_ Newton _Renaissance Theatre Costume_ figs 58\u201366.\n\n4 See H. Arthur Klein _Graphic Worlds of Pieter Breugel the Elder_ (New York: Dover 1963) plate 26; Ludwig Munz _The Drawings of Breugel_ (London: Phaidon, 1961) 150.\n\n5 Boissard _Mascarades_ no. 5 (engravings by Jacob de Gheyn II); Newton _Renaissance Theatre Costume_ figure 86.\n\n6 Thomas Nashe _Christ's Teares over Jerusalem_ in _Works_ edited R.B. McKerrow 5 vols (Oxford: Blackwell, 1958) 2: 138\u20139.\n\n7 Young _Drama of the Medieval Church_ 1: 285, 293: see chapter 9 on 'Mystery Plays' 221\u20132.\n\n8 Hall _Union_ 514; see chapter 6 on 'Disguisings' 139.\n\n9 Kew: Public Record Office E 36\/217 fol. 18.\n\n10 Berlin, St\u00e4tliche Museen Preussischer Kulturbesitz, Kupferstichkabinett MS 78 D 5, fol. 13r. In the 1560 Revels inventory we find more substantial body costumes made of black leather and black velvet, 'Imployed... into legges ffeete Armes and handes for a maske of Moores': Feuillerat _Elizabeth_ 24.\n\n11 Nicolas 'Garter' 29, 30.\n\n12 Sindo... a fyne lynen cloth': Sir Thomas Elyot _Dictionary_ (English Linguistics Series 221; Menston: Scolar, 1970; facsimile reprint of London: Berthelet, 1538 edition); Newton _Fashion in the Age of the Black Prince_ 135.\n\n13 Vulgate: Matthew 27:59; Mark 25:46; Luke 23:53.\n\n14 _OED_ sv _sindon, sendal, cerecloth, cered_.\n\n15 The masks for the National Theatre's _Oresteia_ (1981) were made of strips of silk.\n\n16 _PL 39:_ 1863; Isidore _Etymologiae_ 1: Liber 10: 119; see chapter 11 on 'Ideas and Theories' 290\u201391.\n\n17 Feuillerat _Edward VI and Queen Mary_ 8, 133. See _OED_ sv paste, _cement_.\n\n18 Guillaume de DeGuileville _The Pylgremage of the Sowle_ (The English Experience 726; Amsterdam: Theatrum Orbis Terrarum, 1975; facsimile edition of Westminster: Caxton, 1483) fol. lxxvijr.\n\n19 For example, '1\/2 bushel of wheat flour for paste for covering the \"gargels faces and small serpents that garnyschyd the founten\"' (Brewer _Letters and Papers 2: 2_ 1499).\n\n20 According to David Wiles, classical theatre masks were made from linen and 'glue', probably strips of cloth laminated with paste: _Masks of Menander_ 103. Duchartre says that they were 'of leather lined with cloth... [and] sometimes constructed of light wood', but does not give any references: _The Italian Comedy_ 44.\n\n21 A technique used by Donato Sartori.\n\n22 Nicolas 'Garter' 29, 30.\n\n23 Feuillerat _Elizabeth_ 177.\n\n24 Sartori and Lanata M _aschera e maschere_ 60\u201374.\n\n25 Blair _European Armour_ 74 (see also _Medieval English Theatre 3:1_ 41 note 77); Phyllis Hartnoll A _Concise History of the Theatre_ (London: Thames and Hudson, 1968) figure 66. Its great advantage is that, being organic, it allows the actor's skin to breathe.\n\n26 Nicolas 'Garter' 37\u20138.\n\n27 Nicolas 'Garter' 43.\n\n28 Froissart _Chronicles_ translated Berners 2: 589. See chapter 6 on 'Disguisings' 114\u201318, and PLATE 18. A rural wodewose of Wymondham, Norfolk, in 1538, was however clothed in moss: Meredith and Tailby _Staging_ 195.\n\n29 Bridge House Rentals, Volume 3 folio 94b: see Wickham _Early English Stages_ 1: 326.\n\n30 _Livre de conduite_ edited Cohen 517, 521, 533\u20134, 552.\n\n31 _REED: Coventry_ 60.\n\n32 Mary P. Merrifield _Original Treatises on the Art of Painting_ (New York: Dover, 1967; reprint of 1849 edition) 190, 302, 470\u201372.\n\n33 A layer of grease such as Vaseline under the greasepaint gives it a shine.\n\n34 Feuillerat _Edward VI and Queen Mary_ 109.\n\n35 Merrifield _Original Treatises_ 238, 460\u201376.\n\n36 See chapter 13 on 'Terminology' 330\u201332.\n\n37 See chapter 4 on 'Mumming' 85\u20136.\n\n38 Martial d'Auvergne _Aresta amorum_ 422.\n\n39 _Livre de conduite_ edited Cohen; xliii, 411, 495, 517, 521, 532.\n\n40 Feuillerat _Edward VI and Queen Mary_ 71, 109, 137, 219. For late medieval treatises on the art of painting and making pigments, with a useful glossary of the various pigments, see Merrifield _Original Treatises_.\n\n41 _Extracts from the Records of... Edinburgh 1528\u20131557_ edited Marwick 198; quoted in _The Works of Sir David Lindsay_ edited Hamer 4: 142. See chapter on 'Morality Plays' note 57.\n\n42 For an excellent account of Elizabethan cosmetics and attitudes towards their use, see Carroll Camden _The Elizabethan Woman_ (London: Cleaver-Hume Press, 1952). Similar ingredients are mentioned by classical writers Martial, Plautus, Juvenal, Horace, and in Ovid's _De medicamine faciei_ ; we assume medieval women used the same substances. For these materials bought as theatrical pigments see Feuillerat _Edward VI and Queen Mary_ 109.\n\n43 E.g. _REED: Coventry_ 59, 111; _REED: Chester_ 183, 120, 123.\n\n44 Chambers _Medieval Stage_ 1: 396 and note 1.\n\n45 Brewer _Letters and Papers 2:2_ 1496.\n\n46 Feuillerat _Edward VI and Queen Mary_ 14.\n\n47 Feuillerat _Edward VI and Queen Mary_ 70.\n\n48 Feuillerat _Elizabeth_ 158.\n\n49 Feuillerat _Elizabeth_ 218.\n\n50 Feuillerat _Edward VI and Queen Mary_ 92. See chapter 6 on 'Disguisings' 139\u201340.\n\n51 Feuillerat _Edward_ VI _and Queen Mary_ 166, 167; 172, 173.\n\n52 Feuillerat _Edward VI and Queen_ M _ary_ 66. This might however have been a visor for a mock-joust. See chapter 7 on 'Courtly Mumming' 164.\n\n53 Feuillerat _Edward VI and Queen Mary_ 70; see also 34.\n\n54 Feuillerat _Elizabeth_ 28, 29, 31, 33, 34, 35.\n\n55 Brewer _Letters and Papers_ 3:2 1550\u201351.\n\n56 Feuillerat _Elizabeth_ 81.\n\n57 Feuillerat _Edward VI and Queen Mary_ 8, 131, 133, 134, 164, 173, 200, 219; _Elizabeth_ 81.\n\n58 Feuillerat _Edward VI and Queen Mary_ 116, 131; _Elizabeth_ 158, 175, 265.\n\n59 Feuillerat _Elizabeth_ 265.\n\n60 Feuillerat _Elizabeth_ 261.\n\n61 Feuillerat _Edward VI and Queen Mary_ 133, 164, 168, 173.\n\n62 Feuillerat _Edward VI and Queen Mary_ 49.\n\n63 Feuillerat _Edward VI and Queen Mary_ 133, 138.\n\n64 Brewer _Letters and Papers 2:2_ 1494; Hall _Union_ 517.\n\n65 Feuillerat _Elizabeth_ 203.\n\n66 _Livre de Conduite_ edited Cohen 492.\n\n67 Feuillerat _Elizabeth_ 39, 43, 44.\n\n68 Feuillerat _Elizabeth_ 265.\n\n69 Feuillerat _Edward VI and Queen Mary_ 200, 173.\n\n70 Cohen _Livre de Conduite_ 486, also 491.\n\n71 Feuillerat _Edward VI and Queen Mary_ 73, 108.\n\n72 Feuillerat _Elizabeth_ 141.\n\n73 Hall _Union_ 619, 724, 599.\n\n74 Hall _Union_ 615; see also 619.\n\n75 _Wisdom_ in Macro _Plays_ 114, initial stage direction.\n\n76 OED sv _Cypress; MED_ sv _cipre(s)_ 2.\n\n77 Feuillerat _Edward VI and Queen Mary_ 14.\n\n78 Brewer _Letters and Papers 4:_ 2 1605.\n\n79 Feuillerat _Elizabeth_ 177, 199.\n\n80 Feuillerat _Elizabeth_ 218; Newton _Fashion_ figure 86.\n\n81 Munday and others _Sir Thomas More_ 147: Act 3 Scene 2, lines 140\u201341, also stage direction at line 277 and lines 292\u20134. The actor is even more delayed because 'Oagle was not within, and his wife would not let me have the beard': 376\u20137. For the Ogles, father and son, as property-makers and suppliers of beards and hair to the Revels, see Feuillerat _Elizabeth_ 155, 159 (curling black silk for hair for Discord's head), 177, 199, 218, 263, 264, 292, 369.\n\n82 Feuillerat _Edward VI and Queen Mary_ 123.\n\n83 J. Grauls De _Spreekwoorden van Pieter Breugel den Oude verklaard_ (Antwerp: n.p., 1938); Whiting _Proverbs, Sentences and Proverbial Phrases G_ 270.\n\n84 See chapter 13 on 'Terminology' 335.\n\n85 Brewer _Letters and Papers 3: 2_ 1551.\n\n86 _Chester Mystery Cycle_ 7: 499.\n\n87 Feuillerat _Edward VI and Queen Mary_ 48.\n\n88 Feuillerat _Edward VI and Queen Mary_ 31; _Elizabeth_ 292.\n\n89 Feuillerat _Elizabeth_ 263, 264.\n\n90 Feuillerat _Elizabeth_ 227.\n\n91 Feuillerat _Elizabeth_ 159.\n\n92 Feuillerat _Elizabeth_ 139, 110, 290.\n\n93 Hall _Union_ 517; also 580 '.viii. wyldemen, all apparayled in grene mose, made with slyved [shredded or skeined] sylke, with Uggly weapons and terrible visages'.\n\n94 Chambers _Medieval Stage_ 2: 376\u20137.\n\n95 Feuillerat _Elizabeth_ 41.\n\n96 Feuillerat _Edward VI and Queen Mary_ 31; _OED_ sv _budge_.\n\n97 Feuillerat _Edward VI and Queen Mary_ 106.\n\n98 Feuillerat _Edward VI and Queen Mary_ 39.\n\n99 The masks were presumably largely for festival celebration, but at least some of the 'heares' may have been for cosmetic use: the preachers are full of cautionary tales about women who supplement their own locks with other people's hair \u2013 even hair from the newly deceased. Etienne de Bourbon, back in the thirteenth century, tells a particularly pointed one of a lady called Isabel who was spied on at her toilette by a group of ribald students who chanted at her O _domina Ysabel! ista cauda non est de isto vitulo_ ('O lady Isabel! That tail isn't from that calf'). This has a very apt ring after all the cows' tails John Ogle spent so much time curling: Etienne de Bourbon _Anecdotes historiques_ 287.\n\n100 Feuillerat _Edward VI and Queen Mary_ 226, 49.\n\n101 Feuillerat _Elizabeth_ 218.\n\n102 Feuillerat _Elizabeth_ 236; see also 263.\n\n103 _Freydal_ 207.\n\n104 Feuillerat _Edward VI and Queen Mary_ 143.\n\n105 Feuillerat _Elizabeth_ 228.\n\n106 Feuillerat _Elizabeth_ 149.\n\n107 Feuillerat _Elizabeth_ 241.\nChapter 13\n\nTerminology\n\nThe terminology for masking in the pre-modern period is flexible and, as might be expected, not always consistent, at least to modern eyes. Consequently, although we may set out to provide a comprehensive definition of the vocabulary, this can never be fully realised. Nonetheless the nuances and ambiguities thrown up by the attempt are significant in themselves and, as with most such exercises, definition becomes less important than implication and connotation. The boundaries of the semantic field of any one of the terms used below do not map precisely to the boundaries of our modern equivalents, but the interest of the exercise lies precisely in the places where they do not, because this can reveal unexpected assumptions about the nature of masking and the implicit categories into which it was placed. An apparent ambiguity may be the clue to a different mode of thinking, and open a window on an entirely new view of pre-modern masking.\n\nNor do the terms remain static, and the very process of translating some of the quotations in this book has thrown the problems into sharp focus. At what point, for example, did a _larva_ cease to be 'a frightening apparition' and become 'a face mask'? Was it possible that it meant both at the same time, but that the language available for our translation cannot accommodate this? Equally, is it possible that we are translating by hindsight, imposing a later meaning on an ambiguous sentence structure,1 or seeing what we want to see because it fits our thesis? (It is a wholesome corrective to read William Prynne's 1633 translations of some of the early church decretals: his own polemic concerns demand that _spectacula_ should be translated as 'Stage-playes' and _histriones_ as 'Stage players' almost throughout.)\n\nAt its most basic, the history of the semantics of a word can be the history of the activity or object it describes. Furthermore, the etymology of a word can reveal a whole pre-history of implications which may well have lingered on even when the word seems firmly to have adopted its later meaning. This section, from being the straightforward glossary we intended, has thus become a more tentative supplement to the explicit ideas and theories expressed in Chapter 11.\n\nOne word that is not used in English until the very end of the period is _mask_ itself. The earliest citation in the _OED_ to mean the object that covers the face dates from 1534, but the word does not generally have this use until the 1580s. In the Revels accounts _mask_ almost always refers to an entertainment (later spelt _masque_ , and confusingly to be found under this spelling in the _OED):_ Sir Thomas Cawarden, the first Master of the Revels, is described in his patent of 1554\/5 as M _agister_... _iocorum revelorum et mascorum omnium et singulorum nostrorum vulgariter nuncupatorum revelles and Maskes_ ('Master of our pastimes of revels and masks, all and singly, known in the vernacular as _revelles and Maskes_ ').2 By extension _mask_ may mean the costumes and gear associated with the entertainment: when John Holt, the Yeoman of the Office, is paid in 1546\/7 'for carrying maskes to & fro the Cowrte at vs the nyght' he is taking the entire production \u2013 costumes, props, and equipment.3 Similarly 'maske heddes' and 'headpeces for maskes' are head-dresses for the disguising; there are only two instances where the word appears to denote the object, in the doublet phrase 'vezars or maskes'.4 _Mask_ at this stage is a French loanword, which suggests that it was adopted as a name for the pastime from the court of Francis I.5 It also has an interesting and somewhat enigmatic history in earlier folklore, which we discuss more fully below.\n\nProbably the least ambiguous term for the face-covering object in the period, though it too presents its problems, is viser, which the _OED_ cites in this meaning from the early fourteenth century. In Latin versions, the _Medieval Latin Wordlist_ cites it as _viserium_ from 1239; Ducange's glossary as _viseria_ from 1298. This was probably the latinisation of the French word: a variety of early-thirteenth-century English\/Anglo-Norman glosses of Latin _larva_ appear as _(la) visere_.6 Other English spellings include _visar, vesern_ , and _wesseren; visard_ is a later sixteenth-century spelling. A _viser_ , as the name suggests, is something which covers the _vis_ or 'face', making the term roughly equivalent to the Greek term for a theatre mask, _prosopeion_. Vis, a French loan word, was current in English in the early fourteenth century, but seems to have gone out of fashion later.\n\nThe other obvious use of the word _viser_ (later _visor)_ is, of course, for the part of a helmet which covers the face: as we have seen, this can lead to surprising and sometimes revealing ambiguities. Although a helmet visor and a disguising mask, like an armed combat and a courtly dance, may seem entirely different at a distance of five centuries, we have seen the intricate overlap between the courtly performance games of tournament and disguising. In the context of medieval and Tudor court entertainment the act of covering the face, for whatever ostensible reason, seems to unsettle any sense of firm division between the martial, theatrical, and amorous presentation of the self, making the particular referent of the term _viser_ sometimes genuinely indistinguishable. In the Guildford Wardrobe accounts for Christmas 1347, for example, for revels which included both tournaments and disguisings, we find many entries for _capita_ and _viseres_ , both common terms for masks at the time, along with numbers of _crestes_ , a term more usually connected with helmets. While the context, the quantities, and the materials used all suggest that the _viseres_ are disguising masks, there is no proof that they were not decorated helmet visors. The understanding of performance involved suggests that neither the face-coverings, nor the activities were wholly separable. This ambiguity in the common term _viser_ may be a problem for someone attempting a modern generic categorisation, but we need to see it through medieval eyes.\n\nSuch deep-seated ambiguity can spill over into popular drama, where the contexts and connotations of particular acts of face-covering may not be wholly clear to us. This is why it is hard to interpret records like the Chester Coopers 1574 entry 'for the mendinge of arrates vysar'.7 As we have seen, it is conceivable that Herod wore a helmet: the Coventry Smiths accounts refer to the 'mendyng of Arroddes Crast' and at this period 'crests' are most often associated with helms.8 But the Smiths' crested Herod also had a _face_ that was painted: 'to a peyntour for peyntyng... Herodes face xd'.9 It is not clear whether this _face_ was the face of the actor, or another mask. Or did either of the Herods wear a Maximilian-like grotesque visor?10 Broadly speaking, however, if a dramatic or theatrical performer is wearing a _viser_ it is likely to be a mask, unless the context suggests differently.\n\nRelated terms occasionally appear: in 1573, Sherborne paid 'for veaysages for the playeres' in a play of Lot _and Sodom._ 11 Usually, however, the word _visage_ has the more general meaning of 'face, appearance, expression', and it is only when qualified with the adjective _false_ that it translates the French _faulx visage_ or 'mask'.12\n\nThe word _face_ , which can also sometimes mean 'mask', is equally complicated and reveals an interesting set of assumptions. It is a term relatively common in mystery play records. In the Norwich Grocers' 1565 'a face and heare for ye Father', it clearly means 'mask', as it does in the 1568 Coventry Drapers' 'payd for makyng the ij devells facys xs'.13 Another year the same Drapers had 'payd for a demonys face ijs', which suggests a mask; but in the same accounts they also 'payd for blakyng the Sollys fassys' which sounds much more like make-up.14 It is clear that _face_ may signify either the mask or the face it covers, so references to the painting of 'faces', both at Coventry and Chester, usually need to be considered individually. For example, in 1477 the Coventry Smiths had paid 10d 'to a peyntour for peyntyng the fauchon & Herodes face': the fact that falchion and face are both mentioned in the same item suggests that both are props; compare the 1516 entry 'Item payd to a peynter for peyntyng & mendyng of herodes heed', and the 1547 'Paid to John Croo for menddyng of Herrode hed and a mytor'.15 On the other hand the 1499 'Item paid to the paynter ffor peyntyng of ther fasses viijd' sounds, again, more like make-up.16\n\nWhere items for painting faces turn up regularly year after year, as with the Chester Smiths' 'for guildinge of litle Gods face' which costs a regular 12d from 1545 to 1569, it presumably refers to make-up.17 The same would apply to the Chester Shoemakers' 'ffor geyldeng of godes ffase & ffor peyntyng of the geylers ffases' in 1549.18 But the 1574 Sherborne 'for gilting of a face for the playe' sounds more like a mask, simply because of the formulation _a face_ as opposed to X's _face_.19 The Chester Painters' 1571 'paintes to bone the pleares' may have been used as stage make-up, or more generally to touch-up props and costumes: there is no way of telling.\n\nAn underlying reason for the particular ambiguity surrounding the term _face_ is that, as we have seen, the wearing of masks and the painting of faces at this time seem to have been considered very much as equivalents;20 consequently the same formulae tend to be used for both. God in York wears a gilded mask, as probably also in Norwich, Sherborne, and Beverley; but in Chester the gilding is applied directly to His face.21 In the York _Doomsday_ the 'evell saules' had masks, while in Coventry their faces were blackened.22\n\nPopular masking games suggest the same interchangeability of mask and face-paint. The 1418 London proclamation against mumming brackets 'eny feynyd berdes, peyntid visers, disfourmyd or colourid visages in eny wyse'.23 False beards, painted masks, altered and coloured faces, are all grouped together indiscriminately because they all produce the same effect: to render the wearer unrecognisable. While face-paint may not seem as complete a disguise as a mask, the strong pigments used in popular masking games can be just as effective in wiping out the identity of the wearer. A French prohibition against mumming from Lille in 1395 forbids masking _de nuit a tout faulx visage ou le visage couvert par mascarure ou autrement_ ('at night with any false face, or the face covered by blacking or otherwise').24 This similarly seems to equate mask and black face-paint: although Godefroy's _Dictionnaire_ translates _mascarure_ in this passage as _masque_ , it is more likely to mean 'blacking' as the verb _maschurer_ means 'tacher, salir, barbouiller, noircir'.25 Another quotation in Godefroy suggests that the early-seventeeth-century theorists even sought a classical origin for the conflation of mask and black-face:\n\nLes Coribantes avoient este inventeurs des masques et mommeries, qu'ils s'embarbouilloient le visage avec du noir, d'ou est descendu ce nom maschure.26\n\nThe Corybantes were the inventors of masks and shows, for which they smeared their faces with black, from whence comes the name _maschure_.\n\nThe connection, and the ambiguity, between mask and blackened face is clear.\n\nIn fact even non-theatrical make-up tends to be associated with masks. Etienne de Bourbon, the thirteenth-century Dominican preacher, refers to _ioculatores qui ferunt facies depictas que dicuntur artificia gallice_ , cum _quibus ludunt et homines deludunt_ ('entertainers who wear painted faces which are called _artifices_ in French, with which they play and deceive men'). These _facies depictas_ , 'painted faces', are clearly masks, _artifices_. But Etienne introduces his theatrical reference to inveigh _contra illas que, cum sint vetule, quasi ydola se pingunt et ornant, ut videantur esse larvate_ ('against those women who, when they are old, paint and deck themselves out like idols, so that they seem to be masked').27 Once again, the conflation of mask with face-paint seems clear.\n\nModern expectations of stage make-up are rather different; throughout most of the last century it has been thought of as something that every actor wears, not to disguise but to enhance the natural features. The usual justification for this is the advent of stage lighting, but with developments in technology and theatre practice it clearly became more of a ritual than a necessity. Is it, however, possible that medieval performers ever wore anything like such 'natural' make-up? Both the materials used and contemporary attitudes to women's cosmetics would seem to suggest otherwise.28 This may be, indirectly, confirmed by the sixteenth-century Italian discussion of stage make-up reported in Stella Mary Newton's book on Renaissance theatre costume.29 The opinions expressed there seem close to modern attitudes, also vehemently repudiating the use of masks and false beards as impeding the actor. Such views are probably part of the new and revolutionary movement of the time toward greater naturalism in performance. The conclusions Newton reaches about earlier practice echo our general sense of the equivalence of mask and face-paint in the medieval period: 'The changing of the character of the face by the use of make-up _as an alternative to the mask_ seems to have been normal in stage productions of the fifteenth century'.30\n\nAnother commonly used masking term is _head_. This can be used for a mask, especially a full-head mask, as in the 1498 Coventry Smiths' 'peynttyng of the demones hede'.31 More often, though, it means 'head of hair, wig', as in the Leicester 1504 'Paid for a pound of hemp to mend the angels heads, iiijd'.32 Such records as the Coventry Smiths' 1495 'paid to Wattis for dressyng of the devells hede viijd' might refer to either.33 If _head_ was not used for 'wig', we would have to assume that almost the entire cast of the Coventry Cappers' _Harrowing and Resurrection_ in 1566 were wearing masks, including Pilate and the three Maries, as well as the Spirit of God, God, the Demon, and three Souls. Although this is not impossible, by comparison with other plays it seems unlikely; but it is perfectly feasible that they all had wigs (also referred to as _cheverels, chevelers_ , and _faxes_ ).34 Wigs in fact appear to have been one of the main items of costume: even the Norwich Serpent had 'a whitte heare' (a blonde wig), presumably for a female Eve-face.35\n\nWigs, although not directly covering the face, share many of the face-altering properties of masks, and seem to have been thought of as belonging to much the same category. Female characters played by male actors, as most were, needed flowing hair. A French satirical monologue of the late fifteenth century, which mocks a current fashion for long wigs for young men, actually suggests that youths with this style look perfectly set to play such roles:\n\nLe jour du Sacrement, l'un d'eux\n\nJouera l'Annonciation,\n\nPour ce qu'ilz ont si beaulx cheveulx!...\n\nIlz portent ungz cheveulx de laine,\n\nTous propres, pignez et bien paingz\n\nPour jouer une Magdaleine.36\n\nOn Corpus Christi day one of them will play in the _Annunciation_ , because they have such lovely hair... They wear wigs of wool, all clean, combed, and dyed well enough to play Mary Magdalene.\n\nIt also appears to have been a recognised convention on the stage, as in visual art, for virtuous biblical characters to be distinguished from contemporary figures by long hair. The Apostles in the York _Creed Play_ all have _chevelerz_ , as do many angels.37 Such hair was variously rationalised: Durandus suggests that _Apostoli_... _pinguntur criniti, quasi Nazarei, id est sancti_ ('The Apostles are painted with long hair like Nazarites, that is, holy'); _Dives and Pauper_ claims that the Angels' hair is curled 'in tokene that here thoughtys and here love beth set alwey in ryght ordre and turnyn alwey up agen to God'.38 The short male hairstyles during most of the fifteenth century would make wigs a necessary item of costume for actors playing Apostles or Angels.\n\nThe ambiguity between 'mask' and 'wig' in the term _head_ may also relate to the fact that wigs and other kinds of headgear were sometimes attached to masks to make a unified head-piece. The York _Creed Play_ inventories offer a good example of how such headgear can be itemised separately yet classed together. In 1449 we find _xiij dyademz cum una larva aurata cum chevalerz_ ('thirteen diadems with a gilt mask with wigs').39 The gilt mask is for Christ, apparently supplied with diadem and wig; the twelve other diadems with wigs are for the Apostles. The set is then referred to as _xiij diademz cum les chevalerz_ ('thirteen diadems with the wigs'). By 1464 three of these headdresses appear to have been lost: _x diademata pro christo & apostolis cum una larva & aliis novem cheverons_ ('ten diadems for Christ and the Apostles with one mask and nine other wigs').40 Here _mask_ seems to subsume 'wig' just as in 1449 in the second list one _chevaler_ included a mask. It seems to be implied that they are somehow attached to make a single composite headpiece.\n\nSimilarly, though it cannot be proved, the Norwich 'face and heare for the Father' were probably attached to each other. Another version of a 'mask-and-wig' is recorded for the chief character of _Wisdom_ who wears 'wpon hys hede a cheweler wyth browys', which sounds like a half-mask with wig attached.41 Unified headpieces may well feature in the York Mercers' 1433 indenture: 'Array for ij evell saules... ij vesenes & ij Chavelers Array for ij gode saules... ij vesernes & ij Chevelers'.42 But the rest of this York document demonstrates the uncertainty of relying even on what appears to be a legal inventory to provide complete information about costume and props for a play: there is a bewildering permutation of _diadems, chevelers_ , and _vesernes_ for Christ and the twelve (presumably) Apostles. Christ has a 'diadem with veserne gilted' but no _cheveler_ unless it is included with the mask; three Apostles also have diadems and masks but no wigs are mentioned, while four others have diadems with 'Chevelers of 3alow' but no _vesernes_. The remaining Apostles have no headgear at all. It seems unlikely that they would be allowed to appear as such a motley set: perhaps various Apostles took costume accessories home, so they did not appear in the inventory.\n\nAs with wigs, there seems a strong connection between masks and beards. Beards not only partly conceal the face, they can drastically alter a familiar silhouette, and in predominantly clean-shaven ages must have helped to make symbolic statements about age, status, and position. Wisdom wore a 'berde of golde of sypres curlyed', along with his wig-and-mask. The use of beards apparently attached to masks goes back at least to Edward III's Christmas festivities at Guildford in 1347, where _xiiij_. _similitudines facierum hominum cum barbis_ ('fourteen likenesses of faces of men with beards') figured among the other more exotic viseres.43 The later Revels accounts frequently record such items as 'i dozen of viserdes with shorte berdes yellowe and blacke haulfe a dozen of the one and half A dozen of the other at xxd the pece'.44 Beards in fact played a prominent part in disguisings, indicating how fully they were associated with concealment of identity. Hall's comment on the 1527 Greenwich disguising that 'these persones had visers with sylver berdes, so that they were not knowne' is characteristic.45\n\nIn the sixteenth-century drama, as Bevington points out, beards, without masks, offered a convenient way of changing character in plays that called for doubling.46 Their use as identifiers was taken seriously: in the late morality _Like Will to_ Like, when the two layabouts Tom Tosspot and Rafe Roister lose their fine clothes, it is specified that they enter 'no cap or hat on their head, saving a night cap because the strings of the beards may not be seene'.47 Bottom the Weaver seems to expect a repertoire of variously coloured beards to be a standard part of any good amateur wardrobe, while the interlude players in _Sir Thomas More_ are reluctant to proceed at all until 'a long beard' is brought from Ogle's.48\n\nThe _head_ , then, might refer to mask, hair, or any combination of the two. It often seems to be the case that the _viser_ was a mask covering the face only, while a _head_ concealed the whole head, sometimes resting on the shoulders in the manner of a helmet. The famous Bodley _Alexander_ animal maskers wear this kind of complete headpiece, the join at the neck concealed by a shoulder cape [PLATE 1C].49 It appears to be common practice for animal heads, which are obviously more realistic if the whole shape is reproduced. Such headpieces might even dispense with the face-concealing _viser_ , as seen in the fifteenth-century French sketch of disguisers wearing splendid headpieces of domestic birds, the maskers' faces peering out through their beaks.50 In mystery play accounts the word _head_ is most often used of devil costumes whose animal-characteristics are best presented in a full-head mask.51 When the Chester Innkeepers hired a devil's costume from the Weavers in 1594, they paid 'for the dye mans coute and heade pese', clearly conceived as two separate items.52 This is confirmed in the striking illustration of devil's disguise from _Maugis d'Aigremont_ [PLATE 22]. There may even be an intentional distinction in the York Mercers' 1526 inventory between the 'ij dewell heddes' and the 'wesserons', which are face-masks only for the human characters.53\n\nThe Latin words for 'face' and 'head', _facies_ and _caput_ , are used as loosely as their English counterparts. The Wardrobe accounts for the 1347 festivities at Guildford might initially appear to make some kind of distinction between _viseres, facies_ , and _capita_. The _capita_ , some with wings, represent dragons, peacocks, and swans. Apart from these the records speak of _xlij viseres diversorum similitudinum_ ('42 visers of various kinds'), which are listed as _similitudines facierum_ of women and bearded men, and _similitudines capitum_ of angels.54 The _capita_ appear to be non-human, the _viseres_ human: though it is not clear whether the angels 'heads' are different from the 'faces' of the women and bearded men. In the following year's accounts, however, _capita_ of men, elephants, men with bats' wings, woodwoses, and maidens are all classed as _viseres_.55 Later again, we find _viseres cum capitibus draconum_ and _viseres cum capitibus hominum habentes dyademata_ ('masks with heads of dragons' and 'masks of men's heads fitted with diadems'): it is quite unclear what distinctions, if any, are being made here.\n\nSo far we have been looking at words whose connotations may sometimes be ambiguous, but whose ambiguity relates either to differing ways of categorising activities, or to the fact that a mask is an alternative face, or to the physical composition of disguising headgear. Our last group of words, including some we have already visited briefly, have a rather different history. They all seem to derive from, or to have been contaminated by, words for supernatural beings of a distinctly atavistic and folkloric nature. They present a different kind of problem, both in terms of the timing of their semantic change and in trying to assess exactly how much of their original paranormal connotations continued to cling to them, and in what way.56\n\nAt the most basic level, why should the word _larva_ , which originally meant a 'a malevolent ghost', have become the standard medieval Latin word for a face mask? Was it because once the classical masked theatre had died out, all that remained were the masks used in masking games, and that at the time they were preponderantly Hallowe'en-style fright-masks?57 Did the semantic focus then change by default, first from the being represented to the object which represented it, and then from 'a frightening mask' to the generic unmarked 'mask of any kind'? If so, does this imply a loss of active belief in the _larva_ as a malevolent ghost, even though this meaning turns up in glossaries throughout the period? The change is difficult to map, and must also depend upon the semantic shifts within the nexus of words of which it forms a part. Besides this, though the shift takes place in Latin, it may well have been affected by the usage of its various vernacular equivalents, which are almost completely submerged for the earlier part of the period. They are, however, occasionally cited as equivalents by writers or glossators, which may indicate that they are aware that this kind of exchange is occurring, or even that _larva_ is an unsatisfactory term for the object or activity they are trying to describe.\n\nThe most obvious catalyst for the beginning of the shift is the change in meaning of _persona_.58 In classical times this was the standard word for the theatrical stage mask. However, already by the time of Cicero and probably before, the semantic field of _persona_ had extended to include not only the physical object but also the theatrical role it denoted, probably through locutions like 'He appeared in the _persona_ ('mask\/role') of the parasite'.59 From there, via metaphor, it came to mean 'one's role or character in real life'. It was acknowledged that there was much in common between the art of the orator and the art of the actor60 and, again possibly originally as a metaphor, it was used in forensic parlance to refer to 'an individual involved as party to a legal case', and then 'the individual in law'. With the demise of masked acting in the theatre, these meanings became uppermost, and in Christian theology it was adopted to denote the Three Persons of the Trinity. In medieval Latin it lost all theatrical nuances, and was generalised in very much the meaning it has as _person_ today.61 So Aquinas can talk of the _hypocritae, qui intrabant theatrum, et habebant unam personam, et simulabant aliam cum larvis_ ('hypocrites, who used to make an entrance in the theatre, and had one personality, and imitated another with masks'), with apparently no sense that _persona_ had ever itself meant 'mask'.62 It was revived in its original theatrical sense by Renaissance scholars such as Erasmus, especially when they wished to talk about the 'masks' of human character, since they could draw on its added connotations.63 Elyot's 1538 _Dictionary_ defines _persona_ as 'a vysour lyke to a mans face, also person or personage, amonge dyuynes and late philosophers: somtyme the qualitie of a man'.64\n\nThe word that took over, _larva_ , originally meant 'malevolent ghost' or 'spook'.65 This was a term connected with popular folklore. The _Larvae_ , like the _Lemures_ , were associated with the spirits of the dead, malignant and frightening, spectral or skeletal, and needing to be expelled with incantations.66 Human beings could be possessed by them and are then called _larvatus_ , 'bewitched'.67 In the seventh century, Isidore of Seville defines _larva_ :\n\nLarvas ex hominibus factos daemones aiunt, qui meriti mali fuerint. Quarum natura esse dicitur terrere parvulos et in angulis garrire tenebrosis.68\n\nThey say that _larvae_ are [evil] spirits made from men who were deserving of evil. Their nature is said to be to terrify small children and twitter in dark corners.\n\nThis sounds as if they were used by nurses to frighten their charges. Someone whose face was a 'fright' could be insultingly referred to as a _larva_ ,69\n\nThe term _masca_ , our _mask_ , as Enid Welsford points out in her lengthy etymological study, has a very similar history, save that the _masca_ begins as a Germanic rather than a Latin spirit.70 Early references seem to record it purely as an evil spirit: Aldhelm's _De virginitate_ actually links the _masca_ with the _larva:_\n\nNam tremulos terret nocturnis larba latebris,\n\nQuae solet in furvis semper garrire tenebris;\n\nSic quoque mascarum facies cristata facessit,\n\nCum larbam et mascam miles non horreat audax.71\n\nFor the _larva_ which gibbers in murky shadows and hiding places of the night frightens timid people; so too the crested face of the _mascae_ causes the same effect: however the courageous warrior will not fear the _larva_ or the _masca_.\n\nBoth _larva_ and _masca_ here appear to be spirits whose _raison d'\u00eatre_ is to frighten by making horrible faces. (The _masca_ even has a 'crest', form unspecified, which could be the origin of the wild upstanding hair of the Romanesque devil.) Earlier in the poem Aldhelm tells the story of Dulcitius, famous from Hrotswitha's later, tenth-century play, who in the dark embraces the pots and pans in the scullery under the delusion that they are three Christian virgins he is about to martyr. When he emerges covered in soot, his followers flee shrieking, thinking he is a _larva_.72\n\nWelsford quotes the Lombard Laws (c. 800) to show that the _masca_ is equated with the _striga_ , a witch rather than a spirit as such.73 (Latin glossaries seem uncertain about its sex: it appears as both _mascus_ and _masca_.) Gervase of Tilbury (c. 1155\u201371234) compares it with both the _striga_ and the _lamia_ female nightmare figures: _Lamias, quas vulg\u00f2 mascas aut in Gallica lingua strias nommant_ (' _Lamiasy_ who are called _Mascas_ in the vernacular, or _Strias_ in French').74 It is not clear which 'vernacular' Gervase is referring to here, but the early-seventeenth-century scholar Jean Savaron who quotes him specifically says that the word is 'Masca' _en toscan et Lombard_.75 It seems likely, then, that _masca_ as a name for a spirit, travelled to Italy with the Germanic Lombards. There it acquired its connection with the face-mask, and then followed much the same semantic route in the vernacular as _larva_ in Latin, as we discuss below.\n\nBoth terms are translated in Old English glossaries by variations on the word _gr\u012bma_ which in _Beowulf_ denotes 'a face-mask, especially one on a helmet', intended to terrify the enemy. But it, too, seems also to have meant 'phantom, spectre', and in the Christian contexts in which we meet it, it is largely evil, connected with sorcery.76 In the Exeter Book Riddle 40, the _gongende gr\u012bma_ seems to be a wandering spirit which frightens the faint-hearted.77 In Icelandic the word _gr\u00edma_ is also used of the dragon-head on the prow of a ship, which by law was to be detached at landfall, lest the good spirits be frightened.78 All three words therefore seem to have referred to some form of frightening and probably malevolent spectre.\n\nIt is interesting that all these terms or their descendants are at some point associated with blacking. Dulcitius is identified as a _larva_ because he is covered in soot. The verbs derived from _masca_ can mean 'to black up'.79 We have already seen _maschurer_. The same verb sometimes appears as _masquier_ and _masquillier_ , the ancestor of the later French _maquiller_ 'to apply make-up'; the association with blackening came back into English relatively recently with the adoption of _mascara_.80 The word _gr\u012bma_ seems to have followed the same path in Germanic languages. It disappears from English after Anglo-Saxon, only to return in the fifteenth century, possibly from Scandinavian or Dutch, as _grime_ meaning, 'black dirt, soot': this sense may derive from the Flemish-German custom of popular black-face masking.81\n\nIt seems as if these spectres were black in the face \u2013 possibly because, in the case of the _larva_ at least, they were spirits of the dead. Presumably someone dressing up as a spectre, if they could not come by the appropriate mask, would black up. This may explain the image behind Peter Chrysologus' criticism of Kalends maskers, that... _talium deorum facies ut pernigrari possint, carbo deficit_ ('there is not enough coal to blacken the faces of such gods thoroughly enough'),82 and, over a thousand years later, the sentence in William Horman's Latin phrasebook _Vulgaria_ , 'He smered his face with soote: to fraye children', translated as _Ora fuligine infecit ad terrendos paruulos_.83 The echo of Isidore (or possibly some later glossator) is plain; but it sounds as if the Eton schoolboys for whom he wrote the _Vulgaria_ were expected to recognise some early form of Hallowe'en guising.\n\nFrom being a malevolent spirit, _larva_ comes to denote simply 'face mask',84 but the stages by which it does this are difficult to chart, and the change in meaning may have been later than we might think. Surprisingly perhaps, given its folk connotations, neither Chrysologus nor his fellow bishops nor the early decretals against Kalends masking call the masks _larvae_. The animal masks are called _capita bestiarum_ ('wild-animal heads'); Chrysologus mentions the _persona_ of a god, probably a theatre mask;85 and Caesarius once talks of putting on a _vultus_ ('countenance'). But apart from the animal heads they rarely talk about masks as such. They either concentrate on the total effect: a man changes himself _in formam mulieris_ ('into the shape of a woman'), or dresses _ferino habitu_... _capreae aut cervo similem facere_ ('in wild-animal costume... to make himself like a roe-deer or a stag');86 or the use of a mask is implied rather than specified.\n\nAnd, despite Chrysologus' charcoal, there is no direct evidence that the maskers were deliberately imitating the appearance of _larvae_ , even if we take _daemones_ as a blanket term to cover the malignant dead as well as the demoted pagan deities.87 Only Chrysologus' _daemonibus formauerunt_ ('they had transformed themselves into demons') might be a solitary reference to impersonation.88 Caesarius even suggests that the masks are more frightening than demons: _vultus induere quos ipsi daemones expavescunt_ 89 ('put on a face at which the very demons are terrified'); but we do not know whether he is exaggerating the effect of animal masking, or talking about a genuine fright-mask.\n\nBy the beginning of the tenth century, however, the _larva_ , the _daemon_ and the _masca_ have become conflated, or at least yoked in the same phrase, in which _larva_ may refer to a mask. The influential _Decretals_ of Burchard of Worms, quoting an edict of c. 852, speak of _larvas daemonum, quas vulgo Talamascas dicunt_ (' _larvae_ of evil spirits, which they call _Talamascas_ in the vernacular') being 'borne in front of' a party-goer.90 But it is difficult here to know how to translate _larva_. It may be a 'mask', since it appears that it can be carried or worn, and is mentioned in the same breath as female contortionists and (dancing?) bears. But it might have the dominant meaning of 'frightening apparition', and only secondarily that of 'mask producing this effect'. _Talamasca_ is also obscure. If it is a Germanic word, the _tab_ may be cognate with Old English t\u0101l, _t\u01e3l_ 'mockery, derision', related to Old High German _zala_ 'danger', and Old Icelandic 'allurement, device',91 in which case it might either mean 'a fake _masca_ or simulacrum of an evil spirit, or 'a delusive, deceptive, and dangerous _masca_ '92\n\nThe late twelfth-century glossator Hugutius of Pisa, however, defines _larva_ as _simulacrum quod terret, quod vulgo dicitur Mascarel, quod apponitur faciei ad terrendos parvulos_ ('a terrifying likeness, which is called _Mascarel_ in the vernacular, which is put on the face to frighten small children').93 The frightening mask and the frightening spirit have coalesced. Hugutius also glosses _larva_ as 'scarecrow', a meaning confirmed in later medieval English-Latin glossaries, and preserved in a verse tag which encapsulates the main senses: _Larva fugat volucres, faciem tegit, est quoque demon_ ('The _larva_ scares away birds, covers the face, is also a demon').94 Thirteenth-century objections to clerical masking at the Feast of Fools retain the sense that the _larva_ mask primarily provokes fear: the clergy wear _monstra larvarum_ or _monstruosi vultus_. This also suggests that _vultus_ and _larva_ refer to the same thing, though again, the dominant meaning of _larva_ may have been 'hideous apparition', and the object that produced this effect only secondary. The context must determine which is uppermost. Gerhoh of Reichersberg, describing the play of _Antichrist_ , speaks of men transforming themselves into women, clerics into warriors, and _homines se in daemonum larvas_ ('humans into the hideous apparitions of demons'): here the character is foregrounded, rather than the means. However, Thomas of Chobham (thirteenth century) talks of entertainers who transform themselves _induendo horribiles larvas_ ('by putting on terrifying _larvae_ ')95 which suggests masks, and in the 1404 Langres charivari prohibition the participants make use of _larvis in figura daemonum_ (' _larvae_ in the shape of demons'), which again suggests the object rather than what it represents.96\n\nThese uses of the word are all qualified by adjectives and phrases asserting horror and the grotesque. However, the next semantic change moves the _larva_ from 'a frightening mask' to the more neutral 'mask' that appears in some mystery play accounts. It is possible that there is some cross-fertilisation from learned discourse: by the twelfth century the term _larva_ is used in discussions on classical stage-masks, since _persona_ had lost this sense.97 Hugutius, despite his gloss on _larva_ , talks of _personae larvati_ ('masked characters') in the classical theatre; although since he is discussing tragic drama it is possible that some sense of 'horrifying' may still linger in _larvatus_.98 This is less likely, however, in the early-thirteenth-century Beverley records of a _larvatorum_... _repraesentatio_ ('a representation in masks') of the _Resurrection_ , though the exact connotations of this will depend on whether all the characters were masked, or only, possibly, devils in a Harrowing of Hell scene.99 Aquinas (c. 1225\u201374) uses _larva_ of classical theatre masks, contrasting it with _persona_ meaning 'individual character'.100 A century later John Bromyard again uses the term apparently neutrally for actors: _Ludentes enim in ludo qui vulgariter dicitur miraculos, laruis utuntur_ ('For players in the play that is called _miracles_ in the vernacular, make use of masks'); although in the same passage he also associates the _larva_ with devils he seems in context to be referring to the seductively fair false-face rather than to terror.101 The _larva aurata_ of Christ in the York Creed Play102 may have inspired awe, but it could hardly have been intended to frighten in the same way as the _larvae daemonum_. And Edward III's jousting knights _ad similitudinem Tartarorum larvati103_ were doubtless impressively ferocious, but the word itself must merely mean 'masked'.\n\nBy the fifteenth century _larva_ is glossed in dictionaries as _visere_. The different layers of sense seem at this stage to coexist: the fifteenth-century _Ortus vocabularum_ interprets _larva_ as a spook mask, a demon, a scarecrow, and a _vyser_.104 Thomas Elyot's sixteenth-century _Dictionary_ equally offers:\n\n_Larva_ , a spyrite, whiche apperethe in the nyght time. Some do call it a hegge, some a goblyn. Also a masker, or he that weareth a visour, it is sometyme taken for the same visour.\n\n_Larvatus_ , he that is feared with a spirite,& is become madde. It sommetimes signyfieth a masker.105\n\n_Larva_ , like _gr\u012bma, viser_ , even _mask_ itself, turns out to be a more revealing word than one might expect. Although its precise denotation at any time or in any particular record may be irrecoverable, it conveys a rich sense of the changing uses of masks and the varying attitudes they might provoke, and reminds us that even the 'best-favoured' mask can produce a frisson of uncertainty that is akin to fear. The study of the terminology of masking may begin from a need to clarify what is being referred to in the evidence that survives. But unpacking the history of the words can show how the language itself draws together and preserves the whole intertwined history of medieval masking \u2013 popular and courtly, theoretical and dramatic.\n\nNotes\n\n1 C.S. Lewis' 'dangerous sense'. Despite its age and its almost total lack of linguistic terms, his _Studies in Words_ (Cambridge University Press, 1960) remains one of the best introductions to the sensitive reading of the vocabulary of older stages of the language. For the 'dangerous sense' see 12\u201314.\n\n2 Feuillerat _Elizabeth_ 53.\n\n3 Feuillerat _Edward VI and Queen Mary_ 5.\n\n4 Feuillerat _Edward VI and Queen Mary_ 73, 200; 'vezars or maskes' 14 (1546), 31 (1547).\n\n5 The earliest reference in the _OED_ (under _masque)_ is from 1514. We do not discuss the forms _masker_ (1519: cited by the _OED_ for the object, but probably the pastime), _maskelyn_ (1510: the pastime) or _masquerade_ (1597: from Spanish via Italian) here. _Mask_ was a Germanic word that may have been in use in England in Anglo-Saxon times, but which dropped out of currency: see below 338\u201340.\n\n6 Tony Hunt _Teaching and Learning Latin in Thirteenth-century England_ 3 vols (Cambridge: Brewer, 1991) 2: 78, 84, 116 etc.\n\n7 _REED: Chester_ 109.\n\n8 _REED: Coventry_ 69.\n\n9 _REED: Coventry_ 59.\n\n10 See chapters 9 and 5 on 'Mystery Plays' 218 and 'Tournaments' 115\u201317.\n\n11 A.D. Mills 'A Corpus Christi Play and other Dramatic Activities in Sixteenth-century Sherborne, Dorset' in _Malone Society Collections 9_ (Oxford: Malone Society, 1976) 12.\n\n12 For _faulx visaige_ see DuCange _Glossarium mediae et infimae latinitatis_ sv _Visagium falsum_ ; Godefroy _Dictionnaire_ sv _visage_. For _ffals vysage_ see DeGuileville _P\u00e8lerinage_ lines 13092\u20134, 13365.\n\n13 _Non-Cycle Plays_ xxxv, _REED: Norwich 1540\u20131642_ edited David Galloway (University of Toronto Press, 1984) 53; _REED: Coventry_ 247.\n\n14 _REED: Coventry_ 474, 475.\n\n15 _REED: Coventry_ 59, 111, 177.\n\n16 _REED: Coventry_ 93. Compare _REED: Coventry_ 96, 'item, payd for pyntyng off ther fasus ijd, (1502); and 181, 'Payd to the paynter for payntyng the players facys iiijd, (1548).\n\n17 _REED: Chester_ 53, 67, 70, 73, 75, 78, 86, 88, 91.\n\n18 _REED: Chester_ 50.\n\n19 Mills 'A Corpus Christi Play' 12.\n\n20 See chapter 12 on 'Materials and Methods' 316\u201318.\n\n21 _REED: York_ 55, 78, 98; _Non-Cycle Plays_ xxxv; Mills 'A Corpus Christi Play' 12; Diana Wyatt 'The Pageant Waggon, Beverley' _Medieval English Theatre 1:2_ 56\u20137.\n\n22 _REED: York_ 55 (1433 inventory).\n\n23 London: Guildhall Letter Book I, folio 223r.\n\n24 Godefroy _Dictionnaire_ svv _mascarure_.\n\n25 See below 340\u201341.\n\n26 Godefroy _Dictionnaire_ sv _maschurer_ : Du Verdier, 1616.\n\n27 _Anecdotes historiques_ 231, _De vano ornato. Roman de la Rose_ line 8940 also compares painted women to _artefices_.\n\n28 See chapters 11 and 12 on 'Ideas and Theories' 302\u20134, 308 and 'Materials and Methods' 317\u201318.\n\n29 Newton _Renaissance Theatre Costume_ 213\u201314.\n\n30 Newton _Renaissance Theatre Costume_ 151\u20132 (our italics).\n\n31 _REED: Coventry 93._\n\n32 Chambers _Mediaeval Stage_ 2: 376.\n\n33 _REED: Coventry_ 84.\n\n34 Ingram 'To find the players' 36\u20137; _REED: Coventry_ 240\u201341, 227, 474; _REED: York_ 55, 78, 80, 98; _REED: Chester_ 66, 78, 105.\n\n35 _REED: Norwich 1540\u20131642_ 53.\n\n36 Guillaume Coquillart 'Monologue des Perruques' in _Oeuvres_ edited M. Freeman (Geneva: Droz, 1975) 386\u2013400. We are grateful to Graham Runnalls for this reference.\n\n37 _REED: York_ 78, 80, 81.\n\n38 Durandus _Rationale divinorum officiorum_ 1: 39; Lib. 1, cap. 3: 10; _Dives and Pauper_ 95.\n\n39 _REED: York_ 78; _diadems_ here is likely to mean 'haloes'.\n\n40 _REED: York_ 80, 98.\n\n41 _Wisdom_ stage direction at line 1: _Macro Plays_ 114.\n\n42 _REED: York_ 55.\n\n43 Nicolas 'Garter' 37.\n\n44 Feuillerat _Elizabeth_ 95.\n\n45 Hall _Union_ 723. One French term for a mask is _barboire:_ see Godefroy _Dictionnaire_.\n\n46 Bevington ' _Mankind' to Marlowe_ 92\u20133.\n\n47 Fulwell _Like Will to Like_ line 924.\n\n48 Munday and others _Sir Thomas More_ 147: Act 3 Scene 2, lines 140\u201341, also stage direction at line 277 and lines 292\u20134. See chapter 12 on 'Materials and Methods' 322\u20133.\n\n49 Bodleian Library, Oxford: MS Bodley 264 fol. 181v (Flemish, illuminated Jehan de Grise, 1339\u201344).\n\n50 Oxford: Ashmolean Museum: French, c.1540. See Newton _Renaissance Theatre Costume_ fig. 79.\n\n51 _REED: Chester_ 176,179; _REED: Coventry_ 74, 84, 93, 163, 220 etc.; Ingram 'To find the players' 36\u20137; _REED: York_ 241. See chapter 9 on 'Mystery Plays' 201\u20139 for discussion of the devil's appearance.\n\n52 _REED: Chester_ 179.\n\n53 _REED: York_ 241\u20132.\n\n54 Nicolas 'Garter' 37\u20138.\n\n55 Nicolas 'Garter' 43.\n\n56 Several earlier scholars hint at a direct descent from pagan custom honouring the spirits of the dead: see e.g. Chambers _Medieval Stage_ 1: 263\u20139, especially note 4 to 239; Enid Welsford _Court Masque_ 32\u20137 and 94\u20137. This approach assumes that the original connotations not only linger, but are fully realised, long after the ostensible central meaning has changed. Welsford attempts to link the Greek \u03bc\u03bf\u03c1\u03bc\u03d6 'bugbear, frightening mask' with _mummery_ via German _Mummel_ , and thus with 'the souls of the untimely dead'; but as she points out, there is no evidence that this word survived in Greek after the fourth century: _Court Masque_ 32\u20137.\n\n56 This might imply that the beast-masks of the Little Stag and his confederates were not thought of as being that kind of thing. It also seems to argue that there was no continuous tradition of masked playing by popular entertainers, since their masks when they are mentioned later are also called _larvae_.\n\n58 See Charlton T. Lewis and Charles Short _A Latin Dictionary_ (Oxford: Clarendon Press, 1879; reprinted 1958) svv _larva, persona_ ; _Oxford Latin Dictionary_ svv _larva, persona_.\n\n59 E.g. Terence _Eunuchus_ Prologue 31\u20133, speaking of the playwright's transference of Menander's characters to the Roman stage: _eas se non negat_ \/ _Personas transtulisse in Eunuchum suam_ \/ _ex Graeca_ ('he does not deny that he has translated these character-roles from Greek'): in P. _Terenti Afri comoediae_ edited R. Kauer and W.M. Lindsay (Oxford: Clarendon Press, s.d [1935?]) no pagination.\n\n60 See discussion of the word _hypocrite_ in chapter 11 on 'Ideas and Theories' 287.\n\n61 With the added meaning of 'individual with a recognised position in the church, beneficed', hence _parson_ : see _Medieval Latin Word List_ sv _persona_. See chapter 11 on 'Ideas and Theories' 284.\n\n62 Aquinas _Super evangelium_ S. M _atthaei_ 199: see chapter 11 on 'Ideas and Theories' 286.\n\n63 See chapter 11 on 'Ideas and Theories' 304\u20135.\n\n64 Elyot _Dictionary_ sv _persona_.\n\n65 Etymology possibly from Etruscan and connected with the Lares, the household deities.\n\n66 See Ovid _Fasti_ translated J.G. Frazer (Loeb; London: Heinemann, 1931) 424\u20135; Book 5, lines 419\u201392. The Roman Hallowe'en ( _Lemuria_ ) was in May, and there seems little likelihood that the Kalends maskers were directly impersonating spirits of the dead. Augustine familiarised Christian writers with the word in his discussion on _daemones_ in _De civitate Dei_ edited Bernhard Dombart and Alphonsus Kalb _(CCSL_ 47; Turnhout: Brepols, 1955) 1: 259; book 9, chapter 11:\n\nDicit quidem et animas hominum daemones esse et ex hominibus fieri lares, si boni meriti sunt; lemures, si mali, seu laruas... Laruas quippe dicit esse noxios daemones ex hominibus factos.\n\nHe [Apuleius] says moreover that the _daemones_ are the souls of men, and that the Lares are made from men if they are well-deserving; Lemures or Larvae if evil... he says that Larvae are harmful _daemones_ made from men.\n\n67 _Larvati_ is glossed in the _Epitoma Festi_ of Paulus Diaconus as _furiosi et mente moti, quasi larvis exterriti_ ('raving and out of their minds, as if terrified by _larvae_ '): _Oxford Latin Dictionary_ sv _larvatus_.\n\n68 Isidore _Etymologiae_ 8, 101. Vincent of Beauvais, copying Isidore, seems mistakenly to have conflated the _larva_ with the _lamia: Speculum quadruplex_ 4: 150; _Speculum naturale_ lib. 2 cap. 112.\n\n69 Plautus _Mercator_ in _Plautus_ translated Paul Nixon, 5 vols (Loeb; London: Heinemann, 1928\u201368) 3: Act 5 Scene 4, line 981.\n\n70 Welsford _The Court Masque_ 94\u20137.\n\n71 Aldhelm _De virginitate_ in _Opera_ edited R. Ehwald (Monumenta Germaniae Historica, Auctores Antiquissimi 15: Berlin, Weidmann, 1919) 469, lines 2856\u20139. Also quoted Welsford _Court Masque_ 95 note 1.\n\n72 Aldhelm _De virginitate_ 445, lines 2244, 2252. For _Dulcitius_ , see _Hrotswithae opera_ edited P. de Winterfeld (Scriptores Rerum Germanicarum: Berlin, Weidmann, 1902) 127\u201334; for translation, see _The Plays of Hrotsvith of Gandersheim_ translated Katharina Wilson (Garland Library of Medieval Literature 62, Series B; New York and London: Garland, 1989) 37\u201349. In Hrotswitha, the girls compare him with an Ethiopian and say: Decet, _ut talis appareat corpore_ \/ _qualis a diabolo possidetur in mente_ ('It is fitting that he should appear in body as he is possessed by the devil in mind'); his soldiers recognise the voice of their master, but see _imago diaboli_ ('the image of the devil').\n\n73 _Leges_ edited G.H. Pertz, 5 vols (Monumenta Germaniae Historiae; Hannover: Hahn, 1835\u201375) 4: 48 ( _Edictus Rothari_ in _Edictus Langobardum_ 197), 394 _(Leges Rothari Regis_ in _Liber legis Langobardorum Papiensis_ 377). Both condemn accusations of witchcraft against real women. Hugutius also equates it with the _stri[g]a:_ see Ducange _Glossarium sv masca_.\n\n74 _Otia imperialia_ (1209\u201314) in _Scriptores rerum brunsvicensium_ edited G. W. von Leibnitz (Hanover: 1707\u201311) 988. Gervase spent much of his professional life in Italy and Provence, where he collected their folklore.\n\n75 Savaron _Traitte contre les masques_ 3.\n\n76 See Thomas Wright _Anglo-Saxon and Old English Vocabularies_ edited R.P. W\u00fclcker, 2 vols (London: Trubner, 1884) 1: col. 29, 31; 431, 442; 446. _Gr\u012bma_ can gloss both _masca\/us_ and _sc\u012bna_ , both originally Germanic words: _sc\u012bn_ refers to a phantom or evil spirit, and _sc\u012bnl\u0101c_ is 'sorcery': see _The Oldest English Texts_ edited Henry Sweet _EETS OS 83_ (1885) 629. The Vulgate Psalm 108: 31 _persequentibus_ 'the persecutors (of my soul)', apparently equated with the devil, is translated by _ehtendra egsan gr\u012bma_ ('terrifying gr\u012bma'): _The Paris Psalter_ edited George Phillip Krapp (New York: Columbia University Press, 1932) 94. The noun _griming_ 'spectre' is also glossed as _mascam:_ see Bosworth-Toller _Supplement_ sv _gr\u012bming_. See chapter 2 on 'Early Masking' 16\u201318 and 22.\n\nFor _larva_ in German masking tradition, see Hans Moser 'Zur Geschichte der Maske in Bayern' 100\u2013108. As a mask-name it is equated with ' _schein vel schuich'_ (see note 76), cognate with OE _scina_ and _scucca_ , both demon names.\n\n77 _The Old English Riddles of the Exeter Book_ edited Craig Williamson (Chapel Hill: North Carolina University Press, 1977) 92, lines 16\u201317, Riddle 38. This is a translation of Aldhelm's _segnior est nullus, quoniam me larbula terret_ (Williamson _Riddles_ 266, line 9).\n\n78 Richard Cleasby and Gudbrand Vigfusson An _Icelandic-English Dictionary_ (Oxford: Clarendon Press, second edition 1957); Jan de Vries _Altnordisches Etymologisches W\u00f6rterbuch_ (Leiden: Brill, 1962) sv. _grima_. The Icelandic word _grima_ appears to have had an originally similar semantic field to the Old English word: the first definition is 'A kind of hood covering the upper part of the face' (compare \u00d3\u00f0inn as Gr\u00edmnir).\n\n79 See above 331. Randle Cotgrave A _Dictionarie of the French and English Tongues_ (London: Adam Islip, 1611) has sv _Mascarer_ 'To blot, soyle, blurre, sullie, disfigure'.\n\n80 Godefroy _Dictionnaire_ svv _maschurer masquier, masquillier; OED Supplement sv mascara:_ used as stage-make up, 1890; cinematic make-up, 1922; ordinary cosmetics, 1927.\n\n81 W.W. Skeat _Etymological Dictionary_ (Oxford: Clarendon Press, 1888) sv _grime;_ Jan de Vries _Nederlands Etymologisch Woordenboek_ (Leiden: Brill, 1971) sv _grijm_. For earliest cited English use of _grime_ (late fifteenth century) see _MED sv grime_.\n\n82 'Severian' _Sermo CLV bis_ in Chrysologus _Collectio sermonum_ 3, _CCSL_ 24B: 968; as 'Maximus of Turin' _Homilia_ XVI: _de calendis lanuarii, PL_ 58: 255.\n\n83 Horman _Vulgaria puerorum_ (London: Richard Pynson, 1519). Quoted Nicholas Davis '\"He had Great Pleasure upon an Ape\": William Horman's _Vulgaria_ ' _Medieval English Theatre 7:2_ (1985) 101\u20136, at 103.\n\n84 The only possible reference to the _larva_ as a stage mask is in Horace _Satires_ 1.5.64 where it is used of a terrifying tragic mask.\n\n85 CCSL 24B: 964.\n\n86 Caesarius of Arles _CCSL_ 104: 783; PL 39: 2003.\n\n87 See chapter 11 on 'Ideas and Theories' 296\u20138 for the implications of this.\n\n88 CCSL 24B: 965; also PL 52: 611.\n\n89 Caesarius of Arles CCSL 104: 783, PL 39: 2003.\n\n90 Burchard of Worms _Decretorum libri_ XX, PL 140: 652; lib. 2: 161. See chapter on 'Early Masking' 51. It is not clear whether the priest is conceived of as seeing the masks in an entertainment, or wearing one himself 'in front of' his face.\n\n91 See Bosworth-Toller _Anglo-Saxon Dictionary_ and _Supplement svv t\u0101l, t\u01e3l._\n\n92 The later French verb _talemaschier_ also means 'to dirty': Godefroy _Dictionnaire_ sv _mlemaschier_. He also cites a gloss _talemache de bateau_ , which suggests, again, a ship's figurehead. See further _Recueil g\u00e9n\u00e9ral des lexiques fran\u00e7ais du Moyen Age_ edited Mario Roques, 2 vols (Paris: Champion, 1970) 2: 224, from a late fourteenth-century Latin\/French glossary derived from the _Catholicon_ in B.N. MS lat. 13032, where the word appears as _calemache_ , glossing _larua_.\n\n93 Quoted Welsford _The Court Masque_ 95\u20136. There is no printed edition of Hugutio.\n\n94 _Promptorium parvulorum_ and other fifteenth century dictionaries. The thirteenth-century gloss for _larvatica imago_ is _ymage babewyne_ ('baboonery, grotesque, gargoyle'): Hunt _Teaching and Learning Latin_ 2: 78, 116. A 1468 German glossary says that a _Larva Schein vel Schuich est simulachrum concavum et horribile sive imago concavo vel horribilis hominis vel alterius animalis ad terrendum pueros [depicta]_ and adds the scarecrow meaning: (' _Larva Schein_ or _Schuich_ is a hollowed and terrifying image or a hollow representation of a terrifying man or other animal [painted] to frighten children') Hans Moser 'Zur Geschichte der Maske in Bayern' 108.\n\n95 Chambers _Mediaeval Stage_ 2: 262.\n\n96 Chambers _Mediaeval Stage_ 1: 327, 403 note 2.\n\n97 See above 337, and chapter 11 on 'Ideas and Theories' 284.\n\n98 Marshall 'Theater in the Middle Ages' 25.\n\n99 Chambers _Medieval Stage_ 2: 339. See chapter 9 on 'Mystery Plays' 192.\n\n100 Aquinas _Super evangelium S. Matthaei_ 199.\n\n101 Bromyard _Summa praedicantium_ 1: fol. 152v.\n\n102 _REED: York_ 78, 98.\n\n103 'Annales Paulini' in _Chronicles of the Reigns of Edward I and Edward II_ 1: 354.\n\n104 _Ortus vocabularum_ edited R.C. Alston (English Linguistics Series 123; Menston: Scolar, 1968; facsimile edition of Westminster: Wynkyn de Worde, 1500) sv _larva_.\n\n105 Elyot _Dictionary_ svv _larva, larvatus_. See also Richard Huloet _Abecedarium anglico_ \u2013 _latinum_ (English Linguistics Series 208; Menston: Scolar, 1970; facsimile of London: W. Riddel, 1552) sv _larva_.\nIllustrations\n\n_Acknowledgements:_ The following are reproduced by permission of the copyright holders: PLATES 1A, , , , , : Biblioth\u00e8que nationale de France, Paris\/Bridgeman Art Library; PLATES 8: Biblioth\u00e8que nationale de France; PLATES 1B, 1C, , : Bodleian Library, University of Oxford: PLATES 3, , : Rijksmuseum, Amsterdam; PLATES 5, , , Kunsthistorisches Museum, Vienna; PLATES 7: Trustees of the National Museums of Scotland; PLATES 11, National Library of Russia; PLATES 12: Metropolitan Museum of Art, New York; PLATES 14, , , , : British Library; PLATES 15: The College of Arms, London; PLATES 21, : V&A. Picture Library; PLATES 19: Bayerische Staatsbibliothek, Munich; PLATES 23: Board of Trustees of the Royal Armouries, Leeds; PLATES 24: Meg Twycross; PLATES 27: Bernisches Historisches Museum.\n\nPLATE 1A | Staff hobby-stag. Robert de Boron _Histoire du Graal_ (c. 1280). Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 95 fol. 273r.\n\n---|---\n\nPLATE 1B | Hobby-stag. _Roman d'Alexandre_ , Flemish, illuminated by Jehan de Grise (1339\u201340). Oxford: Bodleian Library, MS Bodley 264 fol. 70r.\n\nPLATE 1B | Dance of animal maskers and unmasked women. Oxford: Bodleian Library, MS Bodley 264 fol. 21v.\n\nPLATE 2 | Schembart carnival maskers throwing eggs at female spectators. _Schembartbuch_ , Nuremberg, Hans Ammon [?1640]. Oxford: Bodleian Library, MS Douce 364 fol. 183r.\n\nPLATE 3 | Carnival maskers serenading; in the background, a fight. Crispijn van de Passe _Nieuwen Ieucht-Spieghel_ [?1620] 65. Amsterdam: Rijksmuseum, Fr. 1354\u20139.\n\nPLATE 4 | Mummers enter a household to dice. Crispijn van de Passe _Februarius_ [?late 1580s]. Amsterdam: Rijksmuseum, Fr. 1175.\n\nPLATE 5 | Mummers following Carnival. Pieter Bruegel the Elder: detail from _Carnival & Lent_ (1559). Vienna: Kunsthistorisches Museum.\n\nPLATE 6 | Mummers enter a room to challenge the householder to backgammon. Crispijn van de Passe _Nieuwen leucht-Spieghel_ 149 [?1620]. Amsterdam: Rijksmuseum, Fr. 1349.\n\nPLATE 7 | Mask, attributed to Alexander Peden, Covenanting minister, _floruit_ 1665\u201386. Edinburgh: National Museums of Scotland, H NT 239.\n\nPLATE 8 | Construction of tilting helm and crest. Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_ : made for Louis de Gruthuys, Lord of Bruges, c. 1465. Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 20r.\n\nPLATE 9 | Helmed knights drawn up for the mel\u00e9e. Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_. Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 62v(detail).\n\nPLATE 10 | The ladies survey the helms. Ren\u00e9 d'Anjou _Trait\u00e9 de la forme et devis d'un tournoi_. Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692 fol. 48r (detail).\n\nPLATE 11 | Joust between Louis de Beauveu and Robert d'Estouteville, Saumur, 1446. Ren\u00e9 d'Anjou _Pas du Perron_ , French (c. 1470\u201380). St Petersburg: National Library of Russia, MS Fr. F p XIV 4, fol. 22v.\n\nPLATE 12 | Venetian lion helmet (c. 1460): steel\/copper gilt. New York: The Metropolitan Museum of Art, Harris Brisbane Dick Fund, 1923 (23.141).\n\nPLATE 13 | Moorish and Turkish visors from the Prague 'Tournament of the Hussars' (1557). Vienna: Kunsthistorisches Museum, Hofjagd-und R\u00fcstkammer, B 69 and 62.\n\nPLATE 14 | Earl Richard jousts at Guines. _The Beauchamp Pageants_ (1485\u201390). London: British Library, Cotton MS Julius E IV fol. 15v.\n\nPLATE 15 | King Henry VIII enters under his pavilion as Noble Coeur Loyal (1511). London: College of Arms, _Great Tournament Roll of Westminster_ mb 13.\n\nPLATE 16 | Netted maskers and ladies. _Freydal_ of the Emperor Maximilian (1516). Vienna: Kunsthistorisches Museum, P5073 fol. 92.\n\nPLATE 17 | Disguising with 'real-face' masks. Simon Bening, Book of Hours: 'Golf Book' (c. 1500). London: British Library, Additional MS 24098 fol. 19v.\n\nPLATE 18 | _Bal des Ardents_. Froissart _Chroniques_ : Ghent\/Bruges (c. 1470). Paris: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2646 fol. 176r.\n\nPLATE 19 | Blue disguising with mumchance. Simon Bening, leaves from Book of Hours (c. 1530). Munich: Bayerische Staatsbibliothek, Clm. lat. 23638 fol. 13v.\n\nPLATE 20 | Disguisers gatecrash a mixed party. _Album amicorum_ of Moyses Walens (1610). London: British Library, Additional MS 18991 fol. 11r.\n\nPLATE 21 | Devils chasing 'shrewd boys'. Denis van Alsloot: _The Triumph of Isabella_ (Brussels 1615), detail. London: Theatre Museum, Covent Garden (Victoria and Albert Museum).\n\nPLATE 22 | Maugis dresses in devil costume. _Renaud de Montauban_ (mid fifteenth century). Paris: Biblioth\u00e8que de l'Arsenal, MS 5072 fol. 28r.\n\nPLATE 23 | Grotesque helmet presented to Henry VIII by the Emperor Maximilian. Leeds: Royal Armouries, IV 22.\n\nPLATE 24 | 'Little God' with gilded face, from the Chester _Purification and Doctors_. Joculatores Lancastrienses, 1983.\n\nPLATE 25 | Circe and the poison of Lust. Robert Boissard _Mascarades recuillies & mises en taille douce_ (Strassburg: 1597). Oxford: Bodleian Library, Douce B. subt 26 no. 9.\n\nPLATE 26 | The Devil, Hell, and Death: entry into Haarlem (1606) by the Hazerswoude Chamber of Rhetoric. _Const-thoonende Iuweel, By de loflijcke stadt Haarlem_... (Zwolle: Zacharias Heyns, 1607) plate 5 after sig. Giii. London: British Library, G 18275.\n\nPLATE 27 | Death costumes for a dramatic presentation in 1637 of Niklaus Manuel's wall painting of the _Dance of Death_. Bern: Historisches Museum, no. 743.\n\nPLATE 28 | Death removes the masks from fair women. Jacob de Gheyn II _The_ Masks [1595\u201396] title page. London: Theatre Museum (Victoria and Albert Museum), Henry R. Beard Collection F. 156\u201322.\n\nPLATE 29 | Imaginative reconstruction of a Roman comic theatre. Josephus Master _Terence des ducs_ , French (1407). Paris: Biblioth\u00e8que nationale de France, MS fonds lat. 7907A fol. 2v.\n\nPLATE 30 | French noblewoman wearing protective mask for riding. Engraving, Abraham de Bruyn _Omnium pene Europe... gentium habitus_ (Antwerp, 1581) 21, detail. London: British Library Department of Printed Books, LR406d. 6(1).\n\nIn-text figures\n\n(drawings by Meg Twycross unless otherwise specified).\n\nFIG. 1 | Sutton Hoo helmet, in the British Museum.\n\n---|---\n\nFIG. 2 | Finglesham Buckle, in the Ashmolean Museum, Oxford.\n\nFIG. 3 | Torslunda Plaque, in the Statens Historiska Museum, Stockholm.\n\nFIG. 4 | Great Tournament Helm, from the Black Prince's achievements, Canterbury Cathedral.\n\nFIG. 5 | Frog-mouthed Helmet.\n\nFIG. 6 | Saracen's Head helmet crest, from the de la Pole tomb in Wingfield. Detail: photograph \u00a9 John Marshall.\n\nFIG. 7 | Three eighteenth-century devil masks, in the Ober\u00f6sterreichische Landesmuseum, Linz.\n\nFIG. 8 | Late-fifteenth-and early-sixteenth-century woodcut devils, from Ernst and Johanna Lehner _Devils, Demons, Death and Damnation_ (New York: Dover, 1971).\n\nFIG. 9 | The Dorset Ooser: after unattributed nineteenth-century photograph.\n\nFIG. 10 | Early Romanesque Devil Autun, 1120\u20131130.\n\nFIG. 11 | Pre-Romanesque Devil, after the Book of Kells; Romanesque Devil, after the Winchester Psalter; Gothic Devil, from St Martin's, Coneystreet, York: photograph \u00a9 Twycross.\n\nFIG. 12 | Long-nosed priapic mask, from Museum Ferdinandeum, Innsbruck.\n\nFIG. 13 | Netted masker, detail from the _Triumph of Maximilian_.\n\nFIG. 14 | Spangled caul, detail from Boissard _Mascarades_.\nBibliography\n\nAbbreviations\n\n_CCCM_ Corpus Christianorum Continuatio Medievalis.\n\n_CCSL_ Corpus Christianorum Series Latina.\n\n_EETS_ Early English Text Society: OS Original Series, _ES_ Extra Series, SS Supplementary Series.\n\nLoeb Loeb Classical Library.\n\n_MED_ _Middle English Dictionary_ edited Hans Kurath and others (Ann Arbor: University of Michigan Press, 1954-).\n\n_NS_ New Series.\n\n_OED The Oxford English Dictionary_ 12 vols and supplements (Oxford: Clarendon Press, 1933\u2013; re-issue of A _New English Dictionary on Historical Principles_ 10 vols, 1884\u20131928).\n\n_PG_ _Patrologia Graeca_ edited J.-P. Migne.\n\n_PL_ _Patrologia Latina_ edited J.-P. Migne.\n\n_REED Records of Early English Drama_.\n\n_Rolls Series Rerum Britannicarum Medii \u00c6vi Scriptores or Chronicles and Memorials of Great Britain and Ireland during the Middle_ Ages, _published by the Authority of Her Majesty's Treasury under the Direction of the Master of the Rolls_ edited by various authors, 99 vols (London: Longman and Co., later Eyre and Spottiswoode, for HMSO, 1858\u201396).\n\nManuscripts\n\nBerlin: St\u00e4tliche Museen Preussischer Kulturbesitz, Kupferstichkabinett, MS 78 D 5: Entry of Joanna the Mad into Brussels, 9 December 1496, presentation copy.\n\nCambridge: St John's College, MS G 30: English translation of the Manuel des pechi\u00e9z, midfourteenth century.\n\nKew: Public Record Office, E 36\/217: Wardrobe accounts of Richard Gibson, 1510\u201321.\n\nKew: Public Record Office, E 36\/229: Wardrobe accounts of Richard Gibson, 1511\u201320.\n\nLondon: British Library, Additional MS 18991, Album amicorum of Moyses Walens of Cologne, 1610.\n\nLondon: British Library, Additional MS 24098: Book of Hours ('Golf Book'), Simon Bening, Ghent\/Bruges, c. 1500.\n\nLondon: British Library, Cotton MS Julius B XII, fol. 64, printed John Leland De Rebus Brittanicis Collectanea 6 vols (London: G. and J. Richardson, 1770) 4: 256.\n\nLondon: British Library, Cotton MS Julius E 4: Beauchamp Pageants, c. 1485\u201390.\n\nLondon: British Library, MS Harley 247: miscellaneous historical writings collected for John Stow (1525\u20131605), London, end of sixteenth century.\n\nLondon: City of London Guildhall, Letter Books E (c. 1314\u201337), G (c. 1352\u201374), H (c.1375\u201399), I (c. 1400\u201322), K (Reign of Henry VI), L (Reigns of Edward IV\u2013Henry VII).\n\nLondon: College of Arms, Great Tournament Roll of Westminster, 1511.\n\nMunich: Bayerische Staatsbibliothek, Clm 23638: Book of Hours, detached leaves, Simon Bening, Ghent\/Bruges, c. 1530.\n\nOxford: Bodleian Library, MS Bodley 55: Rosarium theologiae, second half of fourteenth century.\n\nOxford:Bodleian Library, MS Bodley 264: Roman d'Alexandre, Flemish, illuminated Jehan de Grise, 1339\u201344.\n\nOxford: Bodleian Library, MS Bodley 283: The mirroure of the worlde... that some calleth vice and vertu English, \u00be fifteenth century.\n\nOxford: Bodleian Library, MS Douce 346: Schembartbuch, Nuremberg, Hans Ammon,? 1640.\n\nOxford: Bodleian Library, MS Eng. hist. b. 208: Second Northumberland Household Book, c. 1515.\n\nOxford: Bodleian Library, MS Laud 626: Hugutius of Pisa Magnae derivationes thirteenth century.\n\nParis: Biblioth\u00e8que de l'Arsenal, MS 664: Terence des ducs, French, c. 1412.\n\nParis: Biblioth\u00e8que de l'Arsenal, MS 5072 Res. fol. 28: Renaud de Montauban, French, fifteenth century.\n\nParis: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 95: Robert de Boron Histoire du Graaly French, c. 1280.\n\nParis: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 146: Gervais de Bus Le Roman de Fauvely including additions by Raoul Chaillou de Prestain, French, c. 1316.\n\nParis: Biblioth\u00e8que nationale, MS fonds fran\u00e7ais 2646: Jean Froissart Chroniques Ghent\/Bruges, c.1470.\n\nParis: Biblioth\u00e8que nationale de France, MS fonds fran\u00e7ais 2692: Rene d'Anjou Livre des toumoiSy made for Louis de Gruthuys, Bruges, c. 1465.\n\nParis: Biblioth\u00e8que nationale de France, MS fonds latin 7907A: Duc de Berri's Terence French, 1407.\n\nSt Petersburg: National Library, MS Fr. F. p. XIV 4: Ren\u00e9 d'Anjou Pas du Perron, French, c. 1470\u201380.\n\nPainting\n\nAlsloot, Denis van The Triumph of Isabella (Brussels 1615): now in the Theatre Museum, Covent Garden (Victoria and Albert Museum), London.\n\nBrueghel, Pieter Carnival and Lent (1559): Kunsthistorisches Museum, Vienna.\n\nPrinted Books\n\n(For articles in collections of essays, see entry for whole book for publication data.)\n\nAdemollo, Alessandro _Il carnevale di Roma nel secoli XVII e XVIII: appunti storici con note e documenti_ (Rome: A. Sommaruga, 1883).\n\n\u00c6lfric _\u00c6lfric's Catholic Homilies: The First Series_ edited Peter Clemoes _EETS SS 17_ (1997).\n\n\u00c6lfric _Homilies of \u00c6lfric: A Supplementary Collection_ edited J.C. Pope _EETS 259_ (1967).\n\nAldhelm _De virginitate_ in _Opera_ edited Rudolfus Ehwald (Monumenta Germaniae Historica, Auctores Antiquissimi 15; Berlin: Weidmann, 1919).\n\nAldhelm _Epistola III ad Eadfridum_ in _Aldhelmi opera_ edited Rudolfus Ehwald (Monumenta Germaniae Historiae Auctores Antiqui 15; Berlin: Weidmann, 1919) 489: also PL 89: 92\u20135.\n\nAldhelm _The Prose Works_ translated Michael Lapidge and Michael Herren (Cambridge: Brewer, 1979).\n\nAlford, Violet _The Hobby Horse and Other Animal Masks_ (London: Merlin Press, 1978).\n\nAlighieri, Dante _The Divine Comedy: Paradiso_ translated Charles Singleton (Bollingen Series 80; Princeton University Press, 1975).\n\nAmbrose, Saint, of Milan _De interpellatione Job et David_ 2:1, PL 14: 797\u2013850.\n\nAmico, Silvio d' _Storia del teatro drammatico 1_ (Milan: Garzanti, 1968).\n\nAncona, Alessandro d' _Origini del teatro italiano_ 2 vols (Turin: Loescher, 2nd edition 1891).\n\nAnderson, M. D. _Drama and Imagery in English Medieval Churches_ (Cambridge University Press, 1967).\n\nAndr\u00e9, Bernard _Historia regis Henrici Septimi: a Bernardo Andrea tholostate conscripta, necnonalia quaedam ad eundem regem spectantia_ edited James Gairdner _Rolls Series 10_ (1858).\n\nAnglo, Sydney 'The Court Festivals of Henry VII' _Bulletin of the John Rylands Library 43_ (1960\u201361) 12\u201345.\n\nAnglo, Sydney 'The Evolution of the Early Tudor Disguising, Pageant, and Mask' _Renaissance Drama_ NS _1_ (1968) 3\u201344.\n\nAnglo, Sydney 'Financial and Heraldic Records of the English Tournament' _Journal of the Society of Archivists 2_ (1960\u201364).\n\nAnglo, Sydney _Spectacle, Pageantry and Early Tudor Policy_ (Oxford: Clarendon Press, 1969).\n\nAn _Anglo-Saxon Dictionary_ edited Joseph Bosworth and T. Northcote Toller (London: Oxford University Press, 1898) _Supplement_ edited T. Northcote Toller (Oxford: Clarendon Press, 1921).\n\nAnjou, Ren\u00e9 I d' _King Ren\u00e9's Book of Love_ introduction and commentaries by F. Unterkircher (New York: Braziller, 1975).\n\nAnjou, Ren\u00e9 I d' _Trait\u00e9 de la forme et devis d'un tournoi_ edited Edmond Pognon (Verve: revue artistique et litteraire 4: 16; Paris: Verve, [1946]); illustrations reproduced from Paris: Biblioth\u00e8que nationale, MSS fonds fran\u00e7ais 2692 and fonds fran\u00e7ais 2695.\n\nAnjou, Ren\u00e9 I d' _Trait\u00e9 des tournois_ (Dresden, S\u00e4chsische Landesbibliothek, MS Dresden Oc. 58) edited Jacques Heers and Fran\u00e7oise Robin (Codices illuminati medii aevi; microfiche, Munich: Lengenfelder, 1993).\n\n'Annales Paulini de Tempore Edwardi Secundi' in _Chronicles of the Reigns of Edward I and Edward II_ edited W. Stubbs, 2 vols _Rolls Series 76_ (1882).\n\n_The Anonimalle Chronicle 1333 to 1381 from a MS. written at St. Mary's Abbey, York_ edited V.H. Galbraith (Manchester University Press, 1970).\n\nAquinas, Saint Thomas _Catena aurea in quatuor Evangelia_ edited P. Angelici Guarienti (Turin: Marietti, 1953).\n\nAquinas, Saint Thomas _Super evangelium S. Matthaei lectura_ edited P. Raphaelis Cai OP (Turin\/Rome: Marietti, 1951; 5th edition).\n\nArbeau, Thoinot _Orch\u00e9sographie_ (Langres: Jehan des Preyz, 1588).\n\nArbesmann, Rudolph 'The \"Cervuli\" and \"Anniculae\" of Caesarius of Arles' _Traditio_ 35 (1979) 89\u2013119.\n\nArendt, A. Margaret 'The Heroic Pattern: Old Germanic Helmets, _Beowulf_ ', and _Grettis saga_ ' in _Old Norse Literature and Mythology: a Symposium_ edited Edgar C. Polom\u00e9 (Austin: University of Texas Press, 1969) 130\u201399.\n\nAriosto, Ludovico _Orlando furioso_ edited S. Debenedetti and C. Segre (Bologna: Carducci, 1960).\n\nArnott, Peter _The Theatres of Japan_ (London: Macmillan, 1965).\n\nAsterius, Bishop of Amaseia _Homilia IV: Adversus kalendarum festum_ in _Patres Aegypti saeculi Iv: alii_ , PG 40 215\u201326.\n\nAudoenus, Archbishop of Rouen (Saint Ouen) _Vita Eligii_ ('Life of Saint Eloi') PL 87: 477\u2013594.\n\nAugustinus, Aurelius, Saint ( Augustine) _De civitate Dei_ edited Bernhard Dombart and Alphonsus Kalb _(CCSL_ 47, 48; Turnhout: Brepols, 1955).\n\nAugustinus, Aurelius (Saint Augustine of Hippo) _De sermone Domini in monte libros duos_ edited Almut Mutzenberger ( _CCSL_ 35; Turnhout, Brepols, 1967).\n\nAugustinus, Aurelius (Saint Augustine of Hippo) _Diui Aurelij Augustini Hipponensis episcopi_... _de ciuitate dei_... cum _commentarijs Thome Valois et Nicholas Triueth_ (Basel: Koberger, 1515).\n\nAugustinus, Pseudo- _Sermo 62_ 'De Verbis Evangelii Matthaei' PL 39: 1861\u20133.\n\nAuton, Jean d' _Chroniques de Louis XII_ edited R. de Maulde de la Clavi\u00e8re, 4 vols (Soci\u00e9t\u00e9 de l'Histoire de France; Paris: Renouard, 1891).\n\nAuvergne, Martial d' _Aresta amorum LI accuratissimis Benedicti Curtij Symphoniani commentarijs_... (Lyons: Sebastian Gryphius, 1546).\n\nAxton, Marie'The Tudor Mask and Elizabethan Court Drama' in _English Drama: Forms and Development_ edited Marie Axton and Raymond Williams (Cambridge University Press, 1977) 24\u201333.\n\nAxton, Richard _European Drama of the Early Middle Ages_ (London: Hutchinson, 1974).\n\nBakhtin, Mikhail _Rabelais; Carnival!_ edited Thomas E. Sebeok (Approaches to Semiotics 64; Berlin and New York: Mouton, 1984).\n\nBakhtin, Mikhail _Rabelais and his World_ translated Hel\u00e8ne Iswolsky (Bloomington: Indiana University Press, 1984).\n\nBaldwin, Frances _Sumptuary Legislation and Personal Regulation in England_ (Baltimore: Johns Hopkins University, 1926).\n\nBaldwin, William and others _The Mirror for Magistrates_ edited Lily B. Campbell (New York: Barnes and Noble, 1960; reprint of Cambridge University Press, 1938 edition).\n\nBale, John _The actes of Englysh votaryes_ [1560] (Amsterdam: Theatrum Orbis Terrarum, 1979).\n\nBale, John _The Complete Plays of John Bale_ edited Peter Happ\u00e9, 2 vols (Cambridge: Brewer, 1985\u201386).\n\nBandello, Matteo _Tutte le opere di Matteo Bandello_ edited Francesco Flora, 2 vols (Milan: Mondadori, fourth edition 1966).\n\nBarber, C.L. _Shakespeare's Festive Comedy_ (Princeton University Press, 1959).\n\nBarber, Richard and Juliet Barker _Tournaments: Jousts, Chivalry and Pageants in the Middle Ages_ (Woodbridge: Boydell Press, 1989).\n\nBarclay, Alexander _The Shyp of Folys_ (London: 1509) edited T.H. Jamieson, 2 vols (Edinburgh: William Paterson, 1874).\n\nBarish, Jonas _The Antitheatrical Prejudice_ (Berkeley: University of California Press, 1988).\n\nBarker, Juliet _The Tournament in England 1100\u20131400_ (Woodbridge: Boydell and Brewer, 1986).\n\nBarnes, Barnabe _The Devil's Charter_ edited Jim C. Pogue (New York: Garland, 1980).\n\nBarron, Caroline 'The Quarrel of Richard II with London 1392\u20137' in _The Reign of Richard II_ edited F.R.H. Du Boulay and Caroline M. Barron (London: Athlone Press, 1971) 173\u2013201.\n\nBarthes, Roland 'Lit\u00e9rature et signification' in _Essais critiques_ (Paris: Editions du Seuil, 1964).\n\nBayless, Martha _Parody in the Middle Ages: the Latin Tradition_ (Ann Arbor: University of Michigan Press, 1996).\n\nBeare, W. _The Roman Stage_ (London: Methuen, 1950).\n\nBecon, Thomas _The Reliques of Rome_ (London: John Day, 1563).\n\nBeda, Venerabilis, Presbyter (Bede) _Explanatio Apocalypsis_ , PL 93.\n\nBeda, Venerabilis, Presbyter (Bede) _De temporum ratione_ : PL 90: 293\u2013578.\n\nBeleth, Johannes _Rationale divinum officium_ (1182\u201390) edited Heribert Douteil, 2 vols (CCCM 41, 41A; Brepols, Turnhout, 1976).\n\nBellay, Martin and Guillaume du _M\u00e9moires_ edited V.-L. Bourrilly and F. Vindry (Librairie de la Soci\u00e9t\u00e9 de l'Histoire de France; Paris: Renouard, 1908).\n\nBelmont, Nicole 'D\u00e9rision et symbolisme dans le charivari' in Le _Charivari_ edited Le Goff and Schmitt, 15\u201321.\n\nBelsey, Catherine _The Subject of Tragedy: Identity and Difference in Renaissance Drama_ (London and New York: Methuen, 1985).\n\nBennett, Michael J. _Community, Class and Careerism: Cheshire and Lancashire Society in the Age of 'Sir Gawain and the Green Knight'_ (Cambridge University Press, 1983).\n\nBennett, Michael J. 'The Historical Background' in _A Companion to the 'Gawain'-Poet_ edited Derek Brewer and Jonathan Gibson (Cambridge: Brewer, 1997) 71\u201390.\n\n_Beowulf_ editd C.L. Wrenn and W.F. Bolton (University of Exeter, 1988: revised edition of London: Harrap, 1953).\n\nBerger, Christoph de _Commentatio de personis vulgo larvis seu mascheris_ (Frankfurt and Leipzig: Georg Marc Knochius, [1723]).\n\nBerghe, Jan van den _De Wellustige Mensch (1551)_ in _Dichten en spelen_ edited C. Kruyskamp (Uitgave van de Vereeniging der Antwerpsche Bibliophielen 2: 4; 's-Gravenhage: Nijhoff, 1950).\n\nBernheimer, Richard _Wild Men in the Middle Ages_ (Cambridge, Mass: Harvard University Press, 1952).\n\n_Beunans Meriasek_ edited Whitley Stokes (London: Trubner, 1872).\n\nBevington, David _From 'Mankind' to Marlowe_ (Cambridge, Mass: Harvard University Press, 1962).\n\n_Biblia sacra iuxta vulgatam versionem_ edited Robert Weber (Stuttgart: W\u00fcrttembergische Bibelanstalt, 1975): Douay-Rheims translation.\n\nBillington, Sandra Mock _Kings in Medieval Society and Renaissance Drama_ (Oxford: Clarendon Press, 1991).\n\nBillington, Sandra A _Social History of the Fool_ (Brighton: Harvester, 1984).\n\nBird, Ruth _The Turbulent London of Richard II_ (London: Longmans, Green, 1949).\n\nBlair, Claude 'The Emperor Maximilian's Gift of Armour to King Henry VIII' _Archaeologia 99_ (1965) 1\u201352.\n\nBlair, Claude _European Armour: circa 1066 to circa 1700_ (London: Batsford, 1958).\n\nBloomfield, Morton W. _The Seven Deadly Sins_ (East Lansing: Michigan State College Press, 1952).\n\nBoccaccio, Giovanni _Decameron_ edited Enrico Bianchi (La letteratura italiana: storia e testi 8; Milan and Naples: Ricciardi, 1952).\n\nBoece, Hector _The Chronicles of Scotland_ translated into Scots by John Bellenden (1531) edited Edith C. Batho and H. Winifred Husbands (Scottish Text Society 3rd Series 15; Edinburgh: Blackwood, 1941).\n\nBoethius, Anicius Manlius Severinus _The Consolation of Philosophy_ edited and translated S.J. Tester (Loeb: London: Heinemann, 1973).\n\nBoethius, Anicius Manlius Severinus _Liber de persona et duabus naturis_ in PL 64: 1337\u201354.\n\nBogatyrev, Petr 'Semiotics in the Folk Theater' in _Semiotics of Art_ edited Ladislav Matejka and Irwin R. Titunik (Cambridge, Mass.: MIT Press, 1976) 33\u201350.\n\nBoissard, Jean Jacques _Emblematum liber_ (Frankfurt: de Bry, 1593).\n\nBoissard, Robert _Mascarades recuillies & mises en taille douce_ (Strassburg: 1597).\n\n_The Book of Kells_ facsimile edited Fran\u00e7oise Henry (London: Thames and Hudson, 1974).\n\n_A Book of Masques in Honour of Allardyce Nicoll_ , edited T.J.B. Spencer and others (Cambridge University Press, 1967).\n\n_The Book of Vices and Virtues_ edited W. Nelson Francis _EETS OS 217_ (1942).\n\nBosworth, Joseph and T. Northcote Toller An _Anglo-Saxon Dictionary_ (London: Oxford University Press, 1898) and _Supplement_ (1921).\n\nBouchet, Guillaume _Les Ser\u00e9es_ edited C.E. Roybet, 6 vols (Paris: Alphonse Lemerre, 1875\u201381).\n\nBourbon, \u00c9tienne de _Anecdotes historiques_ edited A. le Coy de la Marche (Paris, Renouard, 1877).\n\n[? Bower Richard: 'R.B.'] _Apius and Virginia_ in _Tudor Interludes_ edited Peter Happ\u00e9 (Harmondsworth: Penguin, 1972) 271\u2013317.\n\nBower, Walter _Scotichronicon_ edited D.E.R. Watt and others, 9 vols (Aberdeen University Press, 1987-).\n\nBrant, Sebastian _Narrenschiff_ (printed Basel: Bergman, 1494) edited Friedrich Zarncke (Leipzig, 1854; reprinted Hildesheim: Olms, 1961).\n\nBrant, Sebastian _The Shyp of Folys_ (London: 1509), (English Experience 229; Amsterdam: Theatrum Orbis Terrarum; New York: Da Capo Press, 1970).\n\nBristol, Michael _Carnival and Theater: Plebeian Culture and the Structure of Authority in Renaissance England_ (New York and London: Methuen, 1985).\n\nBrody, Alan _The English Mummers and their Plays: Traces of Ancient Mystery_ (London: Routledge and Kegan Paul, 1971).\n\nBroke, Arthur _The tragicall Historye of Romeus and Iuliet_ (London: R. Tottell, 1562).\n\nBromyard, John _Summa praedicantium_ 2 vols (Venice: Nicolini, 1586).\n\nBrown, John 'The Devils in the York _Doomsday_ ' _Medieval English Theatre 11_ (1989: also published as _Evil on the Medieval Stage)_ 26\u201341.\n\nBruce-Mitford, Rupert _see The Sutton Hoo Ship-Burial_.\n\nBruck, Edelgard Du 'The Sociology of the Nuremberg Shrovetide Plays' in Le _Th\u00e9\u00e2tre et la cit\u00e9 dans l'Europe m\u00e9di\u00e9vale_ edited J.C. Aubailly and E. Du Bruck _(Fifteenth-century Studies 13;_ Stuttgart: Heinz, 1998).\n\nBrundage, James A. _Medieval Canon Law_ (London: Longman, 1995).\n\nBruyn, Abraham de _Omnium pene Europe... gentium habitus_ (Antwerp: 1581)\n\nBthali-Merin, Oto Masks _of the World_ (London: Thames and Hudson, 1971).\n\nBurchard, Giovanni _Johanni Burckardi Liber notarum ab anno 1483 usque ad annum 1506_ edited E. Celani (Rerum Italicarum Scriptores, edited Muratori, 32; Citta di Castello: S. Lapi, 1906).\n\nBurchardus (Burchard) of Worms _Decretorum libri XX, PL_ 140: 537\u20131084.\n\nBurgi\u00e8re, Andr\u00e9 'Practique du charivari et r\u00e9pression religieuse dans la France d'ancien r\u00e9gime' in _Le Charivari_ edited Le Goff and Schmitt, 179\u201395.\n\nBurgkmair, Hans and others _The Triumph of Maximilian I: Woodcuts by Hans Burgkmair and Others_ edited Stanley Appelbaum (New York: Dover, 1964).\n\nBurke, Peter _Popular Culture in Early Modern Europe_ (London: Temple Smith, 1978).\n\nBurns, Edward _Character: Acting and Being on the Pre-Modern Stage_ (London: Macmillan, 1990).\n\nBurrow, J.A. _A Reading of 'Sir Gawain and the Green Knight'_ (London: Routledge and Kegan Paul, 1965).\n\nBus, Gervais de Le _Roman de Fauvel_ edited Arthur L\u00e5ngfors (Soci\u00e9t\u00e9 des anciens textes fran\u00e7ais; Paris: Firmin Didot, 1914\u201319).\n\nButler, Alban _Butler's Lives of the Saints_ edited Herbert Thurston and Donald Attwater, 4 vols (London: Burns and Oates, 1954).\n\nButterworth, Philip 'Magic through Sound: Illusion, Deception, and Agreed Pretence' _Medieval English Theatre 21_ (1999) 52\u201365.\n\nButterworth, Philip _Theatre of Fire: Special Effects in Early English and Scottish Theatre_ (London: Society for Theatre Research, 1998).\n\nCaesarius of Arles, Saint _Sermo CXCII: De kalendis Ianuariis_ in _Opera_ edited D. Germanus Morin, 2 vols _(CCSL_ 103, 104; Turnhout: Brepols, 1953) 2: 779\u201382; also _Sermo CXXIX_ in _PL_ 39:2001\u20133.\n\nCaesarius of Arles (attributed in MS to Sedatus) _Sermo CXC1I1_ in _Opera_ edited D. Germanus Morin, 2 vols _(CCSL_ 103, 104; Turnhout: Brepols, 1953) 2: 782\u20136: also _Sermo CXXX_ in _PL_ 39:2003\u20135.\n\nCaesarius of Heisterbach _Dialogas miraculorum_ edited Josephus Strange, 2 vols (K\u00f6ln, Bonn, Brussels: Heberle, 1851).\n\nCalcagnini, Celio _Opera aliquot_ (Basel: H. Frobenius and N. Episcopius, 1544).\n\n_Calendar of LetterSooks Preserved among the Archives of the Corporation of the City of London at the Guildhall_ edited Reginald Sharpe, 11 vols (London: J. E. Francis, 1899\u20131912).\n\n_Calendar of Letters, Despatches, and State Papers relating to the Negotiations between England and Spain, preserved in the Archives at Vienna, Brussels, Simancas and elsewhere, 1485\u20131558_ edited Guustav Adolph Bergenroth, Don Pascual de Gayangos and others, 13 vols (London: HMSO, 1862\u20131954).\n\n_Calendar of State Papers and Manuscripts Relating to English Affairs existing in the Archives and Collections of Venice and in other Libraries of Northern Italy_ edited by Rawdon Brown, Horatio F. Brown, and others, 10 vols (London: HMSO, 1864\u20131900).\n\n_Calendar of State Papers: Venetian_ see above.\n\nCalenus, Nicolaus In _detestationem, originem et ritum bacchanaliorum oratio_ (Marburg: Paul Egenolph, 1591).\n\nCameron, Averil 'The Construction of Court Ritual: the Byzantine _Book of Ceremonies_ ' in _Rituals of Royalty_ edited David Cannadine and Simon Price (Cambridge University Press, 1987) 106\u201336.\n\nCange, Charles Dufresne, Sieur du _Glossarium mediae et infimae latinitas_ edited P. Carpentier, 10 vols (Niort: L. Favre, 1883\u20137; reprinted Graz: Akademische Druck-und Verlagsanstalt, 1954).\n\n_Canti carnascialeschi del rinascimento_ edited Charles Singleton (Bari: Laterza, 1936).\n\nCapgrave, John _Abbreviacion of Cronicles_ edited Peter J. Lucas _EETS 285_ (1983).\n\nCaro Baroja, Julio _El carnaval: analisis historico-culturel_ (Madrid: Taurus, 1965).\n\nCarpenter, Alexander _Destructorium viciorum_ (Paris: Egidius de Gourmont, 1516).\n\nCarpenter, Sarah 'Masks and Mirrors: Questions of Identity in Medieval Morality Drama' _Medieval English Theatre 13 (_ 1991) 7\u201317.\n\nCarpenter, Sarah 'Morality-Play Characters' _Medieval English Theatre 5:1_ (1983) 18\u201328.\n\nCarpenter, Sarah 'The Sixteenth-century Court Audience: Performers and Spectators' _Medieval English Theatre 19_ (1997) 3\u201314.\n\nCarpenter, Sarah 'Women and Carnival Masking' _Records of Early English Drama Newsletter 21:2 (_ 1996) 9\u201316.\n\nCastiglione, Baldassare _Il libro del Cortegiano_ edited Carlo Cordi\u00e9 (Milan and Naples: Ricciardi [1960]).\n\n_The Castle of Perseverance_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969) 1\u2013111.\n\nCavendish, George _The Life and Death of Cardinal Wolsey_ edited Richard Sylvester _EETS 243_ (1959).\n\nCawte, E. C. _Ritual Animal Disguise_ (Cambridge: Brewer, 1978).\n\nCecchi, Giovanni Maria _Le Maschere e Il Samaritano_ in _Commedie di Gio. Maria Ceechi_ (Firenze: Giuseppe di Giovacchino Pagani, 1818).\n\nCennini, Cennino d'Andrea _Il libro dell'arte_ translated Daniel V. Thompson as _The Craftsman's Handbook_ (New York: Dover, 1960, reprint of New Haven: Yale University Press, 1960).\n\nChaloner, Sir Thomas _The Praise of Folie_ edited Clarence H. Miller _EETS 257_ (1965).\n\nChambers, E.K. _The English Folk-Play_ (Oxford: Clarendon Press, 1933).\n\nChambers, E.K. _The Mediaeval Stage_ 2 vols (Oxford: Clarendon Press, 1903).\n\nChambers, E.K. _Notes on the History of the Revels Office under the Tudors_ (London: Bullen, 1906).\n\n_Le Charivari_ edited Jacques Le Goff and Jean-Claude Schmitt (Civilisations et Soci\u00e9t\u00e9s 67; Paris, Den Haag, New York: \u00c9cole des Hautes \u00c9tudes en Sciences Sociales, 1981).\n\nChartier, Roger _Cultural History: Between Practices and Representations_ translated Lydia G. Cochrane (Cambridge: Polity Press, 1988).\n\nChaucer, Geoffrey _The Riverside Chaucer_ edited Larry D. Benson (Oxford University Press, 1988).\n\nChaundler, Thomas _Liber apologeticus de omni statu humanae naturae_ edited Doris Enright-Clark Shoukri (London: Modern Humanities Research Association(1974).\n\n_The Chester Mystery Cycle_ edited R.M. Lumiansky and David Mills _EETS SS3_ (1974).\n\nChew, Samuel _The Pilgrimage of Life_ (New Haven: Yale University Press, 1962).\n\n_Christmas Mumming in Newfoundland: Essays in Anthropology, Folklore and History_ edited H. Halpert and G.M. Storey (University of Toronto Press, 1969).\n\n_Chronicon Angliae 1328\u20131388_ edited E.M. Thompson _Rolls Series_ 64 (1874).\n\nChrysologos, Saint Peter _Sermo CLV: De kalendis Ianuarii_ in _Sancti Petri Chrysologi collectio sermonum_ edited Alexander Olivar _(CCSL_ 24B; Turnhout: Brepols, 1982) 961\u20135; also _PL_ 52:609\u201311.\n\nCicero, Marcus Tullius Tullius _De oratore_ edited E.W. Sutton and H. Rackham, 2 vols (Loeb; London: Heinemann, 1948).\n\n_City and Spectacle in Medieval Europe_ edited Barbara A. Hanawalt and K.L. Reyerson (Minneapolis: University of Minnesota Press, 1994).\n\nClaudianus, Claudius (Claudian) _De bello Gothico, In Rufinum 2;_ in _Minor Latin Poets_ edited and translated J.W. Duff and A.M. Duff (Loeb; London: Heinemann, 1934).\n\n_Cleanness_ in _The Poems of the Pearl Manuscript_ edited Malcolm Andrew and Ronald Waldron (York Medieval Texts 2nd Series; London: Arnold, 1978).\n\nCleasby, Richardand Gudbrand Vigfusson An _Icelandic-English Dictionary_ (Oxford: Clarendon Press, second edition 1957).\n\nClement of Alexandria, Saint _Exhortation to the Greeks_ in _Works_ edited G.W. Butterworth, (Loeb; London: Heinemann, 1919).\n\nClementi, Felipe _Il carnevale romano nelle cronache contemporanee_ (Citta di Castello: Edizioni R.O.R.E.-Niruf, 1938\u201339).\n\nCline, Ruth 'The Influence of Romances on Tournaments of the Middle Ages' _Speculum 20_ (1945) 204\u201311.\n\nCognasso, Francesco _L'Italia nel rinascimento_ 2 vols (Societ\u00e0 e Costume 5; Turin: Unione tipografico-editrice torinese, 1965).\n\nCohen, Gustav _Histoire de la mise en sc\u00e8ne dans le th\u00e9\u00e2tre r\u00e9ligieux fran\u00e7ais du moyen \u00e2ge_ (Paris: Librairie Honor\u00e9 Champion, 1926).\n\nColthorpe, Marion 'Anti-Catholic Masques Performed before Queen Elizabeth I' _Notes and Queries NS 33_ (1986) 316\u201318.\n\nCombe, Thomas _The Theatre of Fine Devices_ (London: R. Field, 1614).\n\nConstantine VII Porphyrogenitos, Emperor of Byzantium (AD 912\u201359) _De cerimoniis aulae byzantinae:_ as Le _Livre des c\u00e9r\u00e9monies_ edited and translated Albert Vogt (Paris: Les Belles lettres, 1935\u201340).\n\n_Const-thoonende Iuweel, By de loflijcke stadt Haarlem..._ (Zwolle: Zacharias Heyns, 1607).\n\n_The Contention Between Liberality and Prodigality_ edited W.W. Greg (Malone Society Reprints; Oxford University Press, 1913).\n\nCoquillart, Guillaume 'Monologue des perruques' in _Oeuvres_ edited M. Freeman (Geneva: Droz, 1975).\n\nCotgrave, Randle _A Dictionarie of the French and English Tongues_ (English Linguistics 1500\u20131800, 82; Menston: Scolar, 1968; facsimile of London: Adam Islip, 1611).\n\nCoussy, Mathieu de _Chroniques de Mathieu de Coussy_ in _Collection des chroniques nationales fran\u00e7aises \u00e9crites en langue vulgaire du 13e au 16e si\u00e8cle_ edited Jean Alexandre Buchon, 48 vols (Paris: Verdi\u00e8re, 1825\u201328) vols 12\u201315.\n\nCovarrubias, Pedro de _Remedio de jugadores_ (Burgos: A. de Melgar, 1519).\n\nCraik, T.W. _The Tudor Interlude_ (Leicester University Press, 1967).\n\nCroy, Fran\u00e7ois de _Les Trois conformit\u00e9s: assauoir, l'harmonie et conuenance de l'Eglise Romaine auec le paganisme iudaisme & heresies anciennes_ (Geneva:? Pierre de la Rovi\u00e8re, 1605).\n\nCruciani, Fabrizio _Teatro nel rinascimento, Roma 1450\u20131550_ (Roma: Bulzoni, 1983).\n\nCurle, J. A _Roman Frontier Post and its People: the Fort of Newstead in the Parish of Melrose_ (Glasgow: J. Maclehose, 1911).\n\nCutler, Charles _Northern Painting from Pucelle to Breughel_ (New York: Holt, Rinehart and Winston, 1968).\n\nCyprianus, Thascius Caecilianus (St Cyprian) _De habitu virginum PL_ 4: 439\u201364.\n\n_The Dance of Death_ edited Florence Warren with introduction and notes by Beatrice White _EETS OS 181_.\n\nDavid, Jan _Veridicus Christianus_ (Antwerp: Jan Moretus, 1601).\n\nDavidsohn, Robert _Storia di Firenze_ translated Giovanni Battista Klein, 8 vols (Florence: Sansoni, 1957\u201377).\n\nDavidson, Clifford '\"The Devil's Guts\": Allegations of Superstition and Fraud in Religious Drama and Art during the Reformation' in _Iconoclasm vs. Art and Drama_ edited Clifford Davidson and Ann Eljenholm Nichols (Kalamazoo: Western Michigan University, 1989).\n\nDavidson, Clifford and David O'Connor _York Art_ (Medieval Institute Publications, EDAM Reference Series 1; Kalamazoo: Western Michigan University, 1978).\n\nDavidson, Hilda Ellis _The Lost Beliefs of Northern Europe_ (London: Routledge, 1993).\n\nDavidson, Hilda Ellis _Scandinavian Mythology_ (London: Hamlyn, 1969).\n\nDavis, Natalie Zemon 'The Reasons of Misrule: Youth Groups and Charivaris in Sixteenth-century France' _Past and Present 50_ (1971) 41\u201375; reprinted in Davis _Society and Culture in Early Modern France_ (London: Duckworth, 1975) 97\u2013123.\n\nDavis, Natalie Zemon 'The Rites of Violence' in _Society and Culture in Early Modern France_ (London: Duckworth, 1975) 152\u201388.\n\nDavis, Nicholas 'Another View of the _Tretise of Miraclis Pleyinge' Medieval English Theatre 4:1_ (1982) 48\u201355.\n\nDavis, Nicholas '\"He had Great Pleasure upon an Ape\": William Horman's _Vulgaria_ ' _Medieval English Theatre 7:2_ (1985) 101\u20136.\n\n_Decrees of the Ecumenical Councils_ edited and translated Norman P. Tanner SJ, 2 vols (London: Sheed and Ward, 1990).\n\nDeGuileville, Guillaume de _see_ Lydgate, John.\n\nDeGuileville, Guillaume de _The Pylgremage of the Sowle_ (The English Experience 726; Amsterdam: Theatrum Orbis Terrarum, 1975; facsimile edition of Westminster: Caxton, 1483).\n\nDekker, Thomas _Dramatic Works_ edited Fredson Bowers, 4 vols (Cambridge University Press, 1953\u201361).\n\nDewar, H.S.L. _The Dorset Ooser_ (Dorset Monographs 2; Dorchester: Dorset Natural History and Archaeological Society, 1968).\n\n_Diario ferrarese dell'anno 1409 sino al 1502_ edited Giuseppe Pardi (Rerum Italicarum Scriptores 24:7; Bologna: Zanichelli, 1933).\n\nDidron, M. _Christian Iconography_ translated E.J.M. Millington (London: Bohn, 1851).\n\nDiomedes _Ars grammatica_ in _Grammatici latini_ edited H. Keil, 7 vols (Leipzig: Teubner, 1857\u201380) vol. 1.\n\n_Dives and Pauper: Volume 1 part 1_ and _Volume 1 part 2_ edited Priscilla Heath Barnum _EETS 275_ (1976) and _280_ (1980).\n\n_Documents relating to the Office of the Revels in the time of Queen Elizabeth_ edited A. Feuillerat (Materialien zur Kunde des \u00e4lteren Englischen Dramas 21; Louvain: A Uystpruyst, 1908; reprinted Liechtenstein: Kraus, 1968).\n\n_Documents relating to the Revels at Court in the Times of King Edward VI, and Queen Mary, from the Loseley Manuscripts_ edited A. Feuillerat (Materialien zur Kunde des \u00e4lteren Englischen Dramas 44; Louvain: Uystpruyst, 1914; reprinted Liechtenstein: Kraus, 1968).\n\nDollimore, Jonathan _Radical Tragedy: Religion, Ideology and Power in the Drama of Shakespeare and his Contemporaries_ (Brighton: Harvester Press, 1984).\n\nDonatus, Aelius _Commentum Terentii_ edited P. Wessner 3 vols (Leipzig: Teubner, 1902\u20135).\n\nDoren, L.S. Van 'Revolt and Reaction in the City of Romans, Dauphin\u00e9, 1579\u201380' _Sixteenth-century Journal 5:1_ (April 1974) 71\u2013100.\n\nDrew-Bear, Annette 'Face-Painting in Renaissance Tragedy' _Renaissance Drama_ NS _12_ (1981) 71\u201393.\n\nDuchartre, Pierre Louis _The Italian Comedy_ translated R.T. Weaver (New York: Dover, 1966; enlarged reprint of London: Harrap, 1929).\n\nDugdale, William _Monasticon anglicanum_ edited John Caley, Henry Ellis, Bulkeley Bandinel, 8 vols (London: James Bohn, 1846).\n\nDurandus, William _Rationale divinorum officiorum_ edited A. Davril and T.M. Thibodeau, 3 vols (CCCM 140, 140A, 140B; Turnhout: Brepols, 1995\u20132000).\n\nD\u00fcrer, Albrecht D\u00fcrer's _Record of Journeys to Venice and the Low Countries_ edited Roger Fry (New York: Dover, 1995).\n\nD\u00fcrer, Albrecht _Schriften und Briefe_ edited Ernst Ullmann (Leipzig: Reclam, 1982).\n\nDyer, T.F. Thistelton _British Popular Customs, Present and Past_ (Bohn's Libraries; London: G. Bell, 1875).\n\n_Edda: die Lieder des Codex Regius Vol. 1_ edited Hans Kuhn (Heidelberg: Winter, 1962). For translation see _The Poetic Edda_.\n\nEdgeworth, Roger _Sermons_ (London: Robert Caly, 1557).\n\nEdward VI, King of England _The Chronicle and Political Papers of Edward VI_ edited W.K. Jordan (London: George Allen and Unwin, 1966).\n\n_Elene_ edited P.O.E. Gradon (London: Methuen, 1958).\n\nElyot, Sir Thomas _Dictionary_ (English Linguistics Series 221; Menston: Scolar, 1970; facsimile reprint of London: Berthelet, 1538 edition).\n\nEmigh, John _Masked Performance: the Play of Self and Other in Ritual and Theatre_ (Philadelphia: University of Pennsylvania Press, 1996).\n\n_The English Emblem Tradition_ edited Peter M. Daly and others (University of Toronto Press, 1988).\n\n_English Historical Documents 1: c. 500\u20131042_ translated Dorothy Whitelock (London: Eyre and Spottiswoode, 1955).\n\n_English Wycliffite Sermons_ edited Anne Hudson and Pamela Gradon, 5 vols in 4 (Oxford: Clarendon Press, 1982\u201396).\n\n_English Wyclyffite Writings_ edited Anne Hudson (Cambridge University Press, 1978).\n\nErasmus, Desiderius _Moriae encomium id est Stultitiae laus_ edited Clarence H. Miller in Desiderius Erasmus _Opera omnia, Series 4 Volume 3_ (Amsterdam and Oxford: North Holland Publishing Company, 1979).\n\nErasmus, Desiderius _Opera epistolarum Desiderii Erasmi Roterodami_ edited P.S. Allen and others, 12 vols (Oxford University Press, 1906\u201358).\n\nErasmus, Desiderius _Praise of Folly_ translated Betty Radice in _Collected Works 27_ edited A.H.T. Levi (University of Toronto Press, 1986).\n\nEstoile, Pierre de l' _The Paris of Henry of Navarre_ translated Nancy Lyman Roelker (Cambridge Mass: Harvard University Press, 1958).\n\nEvans, Elizabeth C. 'Physiognomies in the Ancient World' _Transactions of the American Philosophical Society NS 59: 5_ (1969).\n\n_Everyman_ edited A.C. Cawley (Manchester University Press, 1961).\n\nEwbank, Inga-Stina '\"These Pretty Devices\": A Study of Masques in Plays' in _A Book of Masques in Honour of Allardyce Nicoll_ edited T.J.B. Spencer and others (Cambridge University Press, 1967) 405\u201348.\n\n_The Exeter Booh_ edited G.P. Krapp and E.V.K. Dobbie (New York: Columbia University Press, 1936).\n\n_Exodus_ edited Edward Burroughs Irving (New Haven: Yale University Press, 1953).\n\n'Extase propinatoire de Maistre Guillaume en l'honneur de Caresme-Prenant' in _Les Joyeusetez, faceties et folastres imaginations de Caresme Prenant, Gauthier Garguille, Guillot Gorju, Roger Bontemps, Turlupin, Tabarin Arlequin, Moulinet_ edited L.A. Martin, 15 vols (Paris: np, 1833) 5: [6].\n\n_Extracts from the Records of the Burgh of Edinburgh 1528\u20131557_ edited J.D. Marwick (Edinburgh: Scottish Burgh Records Association, 1871).\n\n_Festive Drama_ edited Meg Twycross (Cambridge: Brewer, 1996).\n\n_F\u00eates et traditions masqu\u00e9es d'Autriche_ edited Michel Revelard (Binche: Mus\u00e9e International du Carnaval et du Masque, 1987).\n\nForbes, Derek _Lydgate's Disguising at Hertford Castle_ (Pulborough: Blot, 1998).\n\nFouquet, Jean _The Hours of \u00c9tienne Chevalier_ edited Charles Sterling and Claude Schaefer (London: Thames and Hudson, 1972; facsimile edition).\n\nFox, Alistair _The English Renaissance: Identity and Representation in Elizabethan England_ (Oxford: Blackwell, 1997).\n\nFox, Alistair _Polittics and Literature in the Reigns of Henry VII and VIII_ (Oxford: Blackwell, 1989).\n\nFox-Davies, A.C. _A Complete Guide to Heraldry_ (London: Nelson, 1925).\n\nFradenburg, Louise Olga _City, Marriage, Tournament: Arts of Rule in Late Medieval Scotland_ (Madison: University of Wisconsin Press, 1991).\n\nFrantzen, Allen J. _The Literature of Penance in Anglo-Saxon England_ (New Brunswick, N.J.: Rutgers University Press, 1983).\n\nFrantzen, Allen J. 'The tradition of penitentials in Anglo-Saxon England' _Anglo Saxon England 11_ edited Peter Clemoes (Cambridge University Press, 1983).\n\nFreeman, Rosemary _English Emblem Books_ (London: Chatto and Windus, 1948).\n\nFroissart, Jean _The Chronicle of Froissart translated out of French by Sir John Bourchier Lord Berners annis 1523\u201325_ introduction by W.P. Ker, 2 vols (Tudor Translations 31 and 32; London: David Nutt, 1903: transcription of edition by Richard Pynson, 1523\u201325).\n\nFroissart, Jean _Chroniques_ in _Oeuvres de Froissart_ edited M. le baron Kervyn de Lettenhove, 25 vols (Brussels: Closson, 1870\u20137).\n\nFulwell, Ulpian _Like will to Like_ in _Tudor Interludes_ edited Peter Happ\u00e9 (Harmondsworth: Penguin, 1972) 319\u201364.\n\nGaignebet, Claude _Le Carnaval: essais de mythologie populaire_ (Paris: Payot, 1974).\n\nGaignebet, Claude 'Le Combat de Carnaval et de Car\u00eame' _Annales, Economies, Soci\u00e9t\u00e9s, Civilisations 27:2_ (1972) 313\u201345.\n\nGalle, Philip VII _Peccatorum capitalium imagines elegantissime a Philip. Gallaeo depictae et aeri incisae_ (s.d. [c.1600]).\n\nGarbsch, J. _R\u00f6mische Parader\u00fcstungen_ (Munich: Beck, 1978).\n\nGarmonsway, G.N. Jacqueline Simpson and Hilda Ellis Davidson ' _Beowulf and its Analogues_ (London: Dent, 1968).\n\nGarter, Bernard _The Tragicall and True Historie which happened betwene two English louers, 1563_ (London: R. Tottell, 1565).\n\nGarter, Thomas _The Comedy of Virtuous and Godly Susanna_ edited B. Ifor Evans and W.W. Greg (London: Malone Society, 1937).\n\nGarzoni, Tommaso _La piazza, universale di tutte le professioni del mondo_ [1584] in _Opere di Tomaso Garzoni_ 4 parts in 1 vol. (Venice: Valentini and Giuliani, 1617).\n\nGascoigne, Bamber _World Theatre_ (London: Ebury Press, 1968).\n\n_Sir Gawain and the Green Knight_ in _Poems of the Pearl Manuscript_ edited M. Andrew and R. Waldron (London: Edward Arnold 1978).\n\nGeiler, Johann, von Kaysersberg _Welt Spiegel, oder Narren Schiff_ (Basel: S. Henricpetri, 1574).\n\nGellius, Aulus _Noctes atticae_ edited John C. Rolfe, 3 vols (Loeb; London: Heinemann, 1954).\n\nGennep, Arnold van _Manuel de folklore fran\u00e7ais contemporain_ 4 vols (Paris: Picard, 1937\u201358).\n\nGennep, Arnold van _Les Rites de passage: \u00e9tude syst\u00e9matique des rites_ (Paris: Librairie Critique, 1909) translated by M.B. Vizedom and G.L. Caffee as _The Rites of Passage_ (London: Routledge and Kegan Paul, 1960).\n\nGerhoh, of Reichersberg _De investigatione Antichristi_ quoted in Karl Young _The Drama of the Medieval Church_ 2 vols (Oxford: Clarendon Press, 1933) 392\u20133.\n\nGervase of Tilbury _Gervaise de Tilbury: Le Livre des merveilles_ translated with a commentary by Annie Duchesne (Paris: Les Belles Lettres, 1992).\n\nGervase of Tilbury _Otia imperialia_ in _Scriptores rerum Brunsvicensium_ edited G. W. von Leibnitz, 3 vols (Hanover: 1707\u201311).\n\n_Die Gesetze der Angelsachsen_ edited F. Liebermann, 3 vols (Halle: Niemeyer, 1903).\n\nGesner, Salomon _Oratio de personis sive larvis_ (Wittenburg: Meissner, 1600).\n\n_Gesta Henrici Quinti: The Deeds of Henry V_ edited and translated Frank Taylor and John S. Roskell (Oxford: Clarendon Press, 1975).\n\nGheyn, Jacob II de (1565\u20131629) _The Masks_ (engravings; Leiden: J. de Gheyn II, [1595\u201396]).\n\nGibson, Gail McMurray _The Theater of Devotion: East Anglian Drama and Society in the Late Middle Ages_ (University of Chicago Press, 1989).\n\nGibson, Peter _The Stained and Painted Glass of York Minster_ (Norwich: Jarrold, 1979).\n\n_A Glossary of Later Latin to 600_ A.D. compiled Alexander Souter (Oxford University Press, 1949).\n\nGlotz, Samuel Le _Carnaval de Binche_ (Gembloux: J Duculot, c.1975) 17.\n\nGlotz, Samuel, see Le _Masque dans la tradition europ\u00e9enne_.\n\nGodefroy, Fr\u00e9d\u00e9ric _Dictionnaire de l'ancienne langue fran\u00e7aise_ (Paris: Champion, 1880\u20131902; Vaduz: Kraus Reprint, 1965).\n\nGoldsmith, R.H. 'The Wild Man on the English Stage' _Modern Language Review 53_ (1958) 481\u201391.\n\nGordon, Dillian _Making and Meaning of the Wilton Diptych_ (London: National Gallery Publications, 1993).\n\nGosson, Stephen _Pleasant Quippes for Upstart Newfangled Gentlewomen_ (Totham: Charles Clark, 1847).\n\n_The Governaunce of Prynces_ or _Pryvete of Pryveteis_ translated James Yonge (1422) in _Three Prose Versions of the Secreta Secretorum_ edited Robert Steele _EETS ES 74_ (1898).\n\nGower, John _Confessio Amantis_ edited G.C. Macaulay, 2 vols _EETS ES 81_ (1900) and 82 (1901).\n\nGower, John _The Complete Works of John Gower_ edited G.C. Macaulay (Oxford: Clarendon Press, 1899\u20131902): _Volume_ 1, _The French Works; Volume_ 4, _The Latin Works_.\n\nGrabes, Herbert _The Mutable Glass: Mirror-imagery in Titles and Texts of the Middle Ages and English Renaissance_ translated Gordon Collier (Cambridge University Press, 1982).\n\nGrant, Edward _Much Ado about Nothing: theories of space and vacuum from the Middle Ages to the Scientific Revolution_ (Cambridge University Press, 1981).\n\nGrauls, J. _De spreekwoorden van Pieter Breugel den Oude verklaard_ (Antwerp, n.p., 1938).\n\n_The Great Chronicle of London_ (London: Guildhall Library MS 3313) edited A.H. Thomas and I.D. Thornley (London: Jones, 1938).\n\n_The Great Tournament Roll of Westminster_ edited Sydney Anglo (Oxford: Clarendon Press, 1968).\n\nGreenblatt, Stephen _Renaissance Self-fashioning: from More to Shakespeare_ (Chicago: University of Chicago Press, 1980).\n\nGregory IX, Pope _Decretales Gregorii Papae IX_ (Lyons: Symphonian Beraud, 1600).\n\nGregory of Nyssa, Saint 'Letter to Stagirius' in _Gregory of Nyssa: Dogmatic Treatises_ edited H. Wace and P. Schaff (Oxford: Parker, 1893).\n\nGregory, John _Chronicle_ in _The Historical Collections of a Citizen of London in the Fifteenth Century_ edited James Gairdner (Camden Society Series 2: 17; London: 1876).\n\nGresemundus, Theodoricus _Podalirii Germani cum Catone Certomio, de furore germanico diebus genialibus carnisprivii dialogus_ ([?Mainz]: [?1495]).\n\nGrinberg, Martine 'Charivaris au Moyen Age et \u00e0 la Renaissance: condamnation des remariages ou rites d'inversion du temps?' in _Le Charivari_ edited Le Goff and Schmitt, 141\u20137.\n\nGrinberg, Martine and Samuel Kinser 'Les Combats de Carnaval et de Car\u00eame: trajets d'une m\u00e9taphore' _Annales, economies, soci\u00e9t\u00e9s, civilisations 38:1_ (1983) 65\u201398.\n\nGuistiniani, Sebastiano _Four years at the Court of Henry VIII: a selection of despatches written by the Venetian Ambassador Sebastian Guistinian and addressed to the Signory of Venice January 12th 1515 to July 26th 1519_ translated Rawdon Brown (London: Smith, Elder, 1854).\n\nGundersheimer, Werner _Ferrara: The Style of a Renaissance Despotism_ (Princeton University Press, 1973).\n\nGurevich, Aron J. _Medieval Popular Culture: Problems of Belief and Perception_ translated Janos M. Bak and Paul A. Holingsworth (Cambridge Studies in Oral and Literate Culture 14; Cambridge University Press, 1988).\n\nHaddan, Arthur W. and William Stubbs _Councils and Ecclesiastical Documents relating to Great Britain and Ireland_ 3 vols (Oxford: Clarendon Press, 1871, reprinted 1964).\n\nHalitgarius _Liber poenitentialis_ chapter 'De sacrilegio' in PL 105: 699\u2013700.\n\nHall, Edward _The Union of the Two Noble and Illustrious Houses of Lancaster and York_ edited H Ellis (London: J. Johnson, 1809).\n\nHall, John _The Court of Vertue_ (1565) edited Russell A. Fraser (London: Routledge and Kegan Paul, 1961).\n\nHamel, Christopher de _Scribes and Illuminators_ (London: British Museum Press, 1992).\n\nHapp\u00e9, Peter 'The Devil in the Interludes, 1550\u20131577' _Medieval English Theatre 11_ (1992) 42\u201356.\n\nHapp\u00e9, Peter 'The Vice: a Checklist and an Annotated Bibliography' _Research Opportunities in Renaissance Drama 22_ (1979) 17\u201335.\n\nHapp\u00e9, Peter '\"The Vice\" and the Popular Theatre, 1547\u201380' in _Poetry and Drama 1570\u20131700: Essays in Honour of Harold_ F. Brooks edited Antony Coleman and Antony Hammond (London: Methuen, 1981) 13\u201331.\n\nHarris, Max _Festivals of Aztecs, Moors, and Christians: Dramatisations of Reconquest in Spain and Mexico_ (Austin: University of Texas Press, 2000).\n\nHartnoll, Phyllis _A Concise History of the Theatre_ (London: Thames and Hudson, 1968).\n\nHarvey, Ruth Moriz _von Craun and the Chivalric World_ (Oxford: Clarendon Press, 1961).\n\nHawes, Stephen _Pastyme of Pleasure_ edited W. Mead _EETS 173_ (1928).\n\nHeather, Peter _The Goths_ (Oxford: Blackwells, 1996).\n\n_Hechos del Condestable Don Miguel Lucas de Iranzo (Cronica del siglo XV_ ) edited Juan de Matas Carriazo (Madrid: Espasa Calpe, 1940).\n\nHeers, Jacques _F\u00eates des fous et carnavals_ (Paris: Fayard, 1983).\n\nHeiric, of Auxerre _Heirici Autissiodorensis homiliae per circulum anni_ edited Richard Quadri with Roland Demeulenaere (CCCM 116, 116A; Turnhout: Brepols, 1992).\n\nHelm, Alex _The English Mummers' Play_ (Cambridge: Brewer, 1981).\n\nHenryson, Robert _The Testament of Cresseid_ in _Poems_ edited Denton Fox (Oxford: Clarendon Press, 1987).\n\nHerrenschmidt, J. _De bacchanaliorum nomine, origine_... _larvis_ (Nuremberg, 1626).\n\nHieronymus, Eusebius, Saint (Jerome) 'Letter 43: to Marcella' PL 22: 479; 'Letter 54: to Furia' PL 22:553.\n\nHillman, Richard _Self-Speaking in Medieval and Early Modern English Drama: Subjectivity, Discourse and the Stage_ (London: Macmillan, 1997).\n\nHincmarus, Archbishop of Rheims _Capitula synodica_ 1, PL 125: 773\u20138.\n\n_Historical Poems of the XIVth and XVth Centuries_ edited Rossell Hope Robbins (New York: Columbia University Press, 1959).\n\nHoby, Thomas _The Book of the Courtier_ edited J.H. Whitfield (London: Dent, 1974).\n\nHoby, Sir Thomas _The Travels and Life of Sir Thomas Hoby_... _1547\u20131564_ edited Edgar Powell in _Camden Miscellany 10_ (Camden Society Series 3: 4; London: Royal Historical Society, 1902).\n\nHoccleve, Thomas _Works: The Minor Poems_ edited F.J. Furnivall and I. Gollancz, revised J. Mitchell and A.I. Doyle _EETS ES 61_ , 73 (1892, 1925; revised 1970).\n\nHolinshed, Raphael _Holinshed's Chronicles: Richard II 1398\u20131400, Henry IV and Henry V_ (Oxford: Clarendon Press, 1923).\n\n_The Holkham Bible Picture Book_ edited W.O. Hassall (London: Dropmore Press, 1954).\n\n'An Homily against Excess of Apparel' in _The Two Books of Homilies_ edited John Griffiths (Oxford University Press, 1859).\n\nHoratius Flaccus, Quintus (Horace) _Ars poetica_ , edited H. Rushton Fairclough (Loeb; London: Heinemann, 1947).\n\nHorman, William _Vulgaria puerorum_ (London: Richard Pynson, 1519).\n\nHorner, Olga 'Christmas at the Inns of Court' in _Festive Drama_ 41\u201353.\n\nHospinianus, Rodolphus _Festa christianorum: hoc est de origine, progressu, ceremoniis et ritibus festorum dierum christianorum_ (Zurich: J. Wolph, 1593).\n\n_The Hours of Catherine of Cleves_ introduction and commentaries by John Plummer (London: Barrie and Rockcliff, 1966).\n\n_The Household of Edward IV: the Black Book and the Ordinance of 1478_ edited A.R. Myers (Manchester University Press, 1959).\n\nHrotswitha of Gandersheim _Hrotswithae opera_ edited P. de Winterfeld (Scriptores Rerum Germanicarum: Berlin, Weidmann, 1902).\n\nHrotswitha of Gandersheim _The Plays of Hrotsvith of Gandersheim_ translated Katharina Wilson (Garland Library of Medieval Literature 62, Series B; New York and London: Garland, 1989).\n\nHudson, W. and J.C. Tingey _The Records of the City of Norwich_ 2 vols (Norwich: Jarrold, 1906).\n\nHughes, Robert _Heaven and Hell in Western Art_ (London: Weidenfeld and Nicolson, 1968).\n\nHuizinga, Johan _The Waning of the Middle Ages: A Study of the Forms of Life, Thought and Art in France and the Netherlands in the XIVth and XVth Centuries_ translated Frederik Hopman (London: Arnold, 1924).\n\nHuloet, Richard _Abecedarium Anglico-Latinum_ (English Linguistics Series 208; Menston: Scolar, 1970; facsimile of London: W. Riddel, 1552).\n\nHummelen, W.M.H. _De sinnekens in het rederijkersdrama_ (Groningen: Wolters, 1958).\n\nHumphrey, Chris _The Politics of Carnival_ (Manchester University Press, 2001).\n\nHumphrey, Chris ' \"To Make a New King\": Seasonal Drama and Local Politics in Norwich, 1443' _Medieval English Theatre 17_ (1995) 29\u201341.\n\nHumphrey, Chris 'The World Upside-Down in Theory and as Practice: A New Approach to the Study of Medieval Misrule' _Medieval English Theatre 21_ (1999) 5\u201320.\n\nHunt, Tony _Teaching and Learning Latin in Thirteenth-century England_ 3 vols (Cambridge: Brewer, 1991).\n\nHutton, Ronald _The Pagan Religions of the Ancient British Isles: Their Nature and Legacy_ (Oxford: Blackwells, 1991).\n\nHutton, Ronald _The Rise and Fall of Merry England_ (Oxford University Press, 1994).\n\nHutton, Ronald _The Stations of the Sun: a History of the Ritual Year in Britain_ (Oxford University Press, 1996).\n\nHyrde, Richard _The Instruction of a Christen Woman_ (London: Henry Wykes, 1557); (translation of J.L. Vives _Institutione foeminae christianae)_.\n\n_Gl'Ingannati_ degli Accademici Intronati di Siena, in _Commedie del cinquecento_ edited Nino Borsellino, 2 vols (Milan: Feltrinelli, 1962) 1: 195\u2013289.\n\nIngram, Martin 'Le Charivari dans l'Angleterre du XVIe et du XVIIe si\u00e8cle' in Le _Charivari_ edited Le Goff and Schmitt, 251\u201364.\n\nIngram, R.W. '\"To find the players and all that longeth therto\": Notes on the Production of Medieval Drama at Coventry' in _The Elizabethan Theatre 5_ edited G.R. Hibbard (London: Macmillan, 1975) 17\u201344.\n\nInnocent III, Pope 'Letter 235: _Gnesnensi Archiepiscopo, et suffraganeis eius_ ' in _Opera Omnia_ 2, PL 215:1070\u20131.\n\n_The Interlude of Youth_ edited Ian Lancashire in _Two Tudor Interludes_ (Manchester University Press, 1980).\n\nIsidore of Seville, Saint _Etymologiarum sive originum libri XX_ edited W.M. Lindsay (Oxford: Clarendon Press, 1911).\n\nIsidore, of Seville, Saint _De jejunio kalendarum Januariarum_ in _De ecclesiasticis officiis, PL_ 83: 737\u2013826, at 774\u20135.\n\nIvo, Bishop of Chartres _Decretum, PL_ 161.\n\nJackson, W.H. 'The Tournament and Chivalry in German Tournament Books of the Late Sixteenth Century and in the Literary Works of Emperor Maximilian I' in _The Ideals and Practice of Medieval Knighthood_ edited C. Harper-Bird and R. Harvey (Woodbridge: Boydell, 1986) 49\u201373.\n\nJames, Mervyn 'Ritual, Drama and the Social Body in the Late Medieval English Town' _Past and Present 98_ (1983) 3\u201329.\n\nJerome _see_ Hieronymus, Eusebius, Saint.\n\nJohn Chrysostom, Saint 'De Lazaro sermo II' in _Opera omnia graece et latine_ 12 vols (Paris: C. Morellus, 1636) 5: 51.\n\nJohn of Reading _Chronica_ edited James Tait (Manchester University Press, 1914).\n\nJones, John _On Aristotle and Greek Tragedy_ (London: Chatto and Windus, 1962).\n\nJones, Joseph R. 'Isidore and the Theater' _Comparative Drama 16_ (1982) 26\u201348.\n\nJones, Malcolm 'Illustrated Broadsides recorded in the Stationers' Registers 1562\u20131656' _J. Walpole Society_ (forthcoming).\n\nJones, Prudence and Nigel Penninck A _History of Pagan Europe_ (London: Routledge, 1995).\n\nJones, W.R. 'Lollards and Images: the Defense of Religious Art in Later Medieval England' _Journal of the History of Ideas 34_ (1973) 27\u201350.\n\nJonson, Ben _The Staple of News_ edited Devra Rowland Kifer (London: Edward Arnold, 1976).\n\nJonson, Ben _Works_ edited C.H. Herford, P. and E. Simpson, 11 vols (Oxford: Clarendon Press, 1925\u201352).\n\n_Journal d'un bourgeois de Paris sous le r\u00e8gne de Fran\u00e7ois Premier_ edited Ludovic Lalanne (Paris: Renouard, 1854).\n\nJudge, Roy _The Jack-in-the-Green: a May Day custom_ (Cambridge: Brewer, 1979).\n\nJuvenalis, Decimus Junius (Juvenal) and Persius Flaccus, Aulus _Satires_ edited G.G. Ramsay (Loeb; London: Heinemann, 1918).\n\nKahrl, Stanley J. see _Malone Society Collections Volume 8: Records of Plays and Players in Lincolnshire 1300\u20131585_.\n\nKasser, H. 'Notizen \u00fcber dramatische Auff\u00fchrungen und milit\u0101rischen Jugenunterricht im alten Bern' _Anzeiger f\u00fcr Schweizerische Altertumskunde herausgegeben vom Schweizerischen Landesmuseum NS 5:1_ (1903) 175\u201386.\n\nKeen, Maurice _Chivalry_ (New Haven and London: Yale University Press, 1984).\n\nKeen, Maurice 'Huizinga, Kilgour and the Decline of Chivalry' _Medievalia et Humanistica 7_ (1977) 1\u201320.\n\nKeppie, L.J.F. and B.J. Arnold _Scotland_ (Corpus signorum Imperii Romani 1: 4; Oxford University Press for the British Academy, 1984).\n\nKilgour, Raymond Lincoln _The Decline of Chivalry_ (Cambridge, Mass.: Harvard University Press 1937).\n\nKing, Pamela M. 'Morality Plays' in _The Cambridge Companion to Medieval Theatre_ edited Richard Beadle (Cambridge University Press, 1994) 240\u201364.\n\nKing, Peter _'The Voluptuous Man' Dutch Crossing 28_ (1986) 53\u2013107.\n\nKingsmill, Andrew A _Conference, Containing a Conflict had with Satan_ (London: Christopher Barker, 1578).\n\nKinser, Samuel 'Presentation and Representation: Carnival at Nuremberg, 1450\u20131550' _Representations 13_ (1986) 1\u201341.\n\nKinser, Samuel 'Why is Carnival so Wild?' in _Carnival and the Carnivalesque_ edited Konrad Eisenbichler and Wim H\u00fcsken (Ludus 4; Amsterdam: Rodopi, 1999) 43\u201388.\n\nKipling, Gordon _Enter the King: Theatre, Liturgy, and Ritual in the Medieval Civic Triumph_ (Oxford: Clarendon Press, 1998).\n\nKipling, Gordon 'The London Pageants for Margaret of Anjou' _Medieval English Theatre 4:1_ (1982) 5\u201327.\n\nKipling, Gordon _The Triumph of Honour: Burgundian Origins of the Elizabethan Renaissance_ (The Hague: Leiden University Press, 1977).\n\nKirchmeyer, Thomas _The Popish Kingdome, or reigne of Antichrist written in Latine verse by Thomas Naogeorgus_ translated Barnabe Googe (London: Henrie Denham for Richarde Watkins, 1570).\n\nKlein, H. Arthur _Graphic Worlds of Pieter Breugel the Elder_ (New York: Dover 1963).\n\nKlingshirn, William E. _Caesarius of Arles_ (Cambridge University Press, 1994).\n\nKnight, Alan E. 'The Bishop of Fools and his Feasts in Lille' in _Festive Drama_ edited Twycross 157\u201366.\n\nKnox, John _The Historie of the Reformation of the Church of Scotland_ (London: John Raworth for George Thomason and Octavian Pullen, 1644).\n\nKolve, V.A. _Chaucer and the Imagery of Narrative_ (London: Edward Arnold, 1984).\n\nKolve, V.A. _The Play Called Corpus Christi_ (London: Arnold, 1966).\n\nKyd, Thomas _Works_ edited Frederick Boas (Oxford: Clarendon Press, 1955).\n\nLa Porr\u00e9e, Gilbert see Porret, Gilbert.\n\nLadurie, E. le Roy _Carnival in Romans: a people's uprising at Romans, 1579\u201380_ translated Mary Feeney (Harmondsworth: Penguin, 1981).\n\nLancashire, Ian _Dramatic Texts and Records of Britain: a Chronological Topography to 1558_ (Cambridge University Press, 1984).\n\nLancashire, Ian 'Orders for Twelfth Day and Night circa 1515 in the Second Northumberland Household Book' _English Literary Renaissance 10_ (1980) 6\u201345.\n\nLangland, William _The Vision of Piers the Plowman (B-text)_ edited A.V.C. Schmidt (London: Dent, 1978).\n\nLangley, Thomas An _Abridgement of the notable worke of Polidore Virgile_ (London: R Grafton, 1546).\n\nLecoq, Jacques 'Le Masque neutre' in _Le Corps poetique: un enseignement de la cr\u00e9ation th\u00e9\u00e2trale_ (Paris: Actes Sud-Papiers, 1997) 47\u201356.\n\nLecoq, Jacques 'R\u00f4le du masque dans la formation de l'acteur' in _Le Masque: du rite au th\u00e9\u00e2tre_ edited Odetta Aslan and Denis Bablet (Paris: CNRS, 1988) 265\u20139.\n\nLefebvre, Joel _Les Fols et la folie_ (Paris: Klincksieck, 1968).\n\n_Leges_ edited Georg Heinric Pertz, 5 vols (Monumenta Germaniae Historiae; Hannover: Hahn, 1835\u201375).\n\nLeiris, Michel and J. Delange _African Art_ translated Michael Ross (London: Thames and Hudson, 1968).\n\nLeland, John _De Rebus Britannicis Collectanea_ 6 vols (London: G. and J. Richardson, 1770).\n\n_Letters and Papers, Foreign and Domestic, of the reign of Henry VIII_ edited J.S. Brewer, J. Gairdner, and R.H. Brodie, 21 vols (London: HMSO, 1864; reprinted Kraus, 1965).\n\nLeuschner, Eckhard _Persona, Larva, Maske: ikonologische Studien zum 16. bis fr\u00fchen 18. Jahrhundert_ (Frankfurt and New York: P. Lang, 1997).\n\nL\u00e9vi-Strauss, Claude _La Voie des masques_ (Paris: Plon, 1979; augmented version of 2-volume Geneva edition by Skira, 1975); translated Sylvia Modelski as _The Way of the Masks_ (Seattle: University of Washington Press, 1988).\n\nLevine, Laura Men in _Women's Clothing: Antitheatricality and Effeminization, 1579\u20131642_ (Cambridge University Press, 1994).\n\nLevron, Jacques _Le Diable dans l'art_ (Paris: Picard, 1935).\n\nLewis, Charlton T. and Charles Short A _Latin Dictionary_ (Oxford: Clarendon Press, 1879; reprinted 1958).\n\nLewis, Clive Staples _Studies in Words_ (Cambridge University Press, 1960)\n\nLiechtenstein, Ulrich von _Frauendienst_ edited R. Bechstein (Leipzig, 1888).\n\nLille, Alain de Ars _praedicandi_ , PL 210: 109\u2013198.\n\nLille, Alain de _Ars praedicandi_ translated G. Evans _The Art of Preaching_ (Kalamazoo: Cistercian Publications, 1981).\n\nLille, Alan de _De fide catholica contra haereticos_ , PL 210: 305\u2013430.\n\nLindenbaum, Sheila 'Ceremony and Oligarchy: The London Midsummer Watch' in _City and Spectacle in Medieval Europe_ edited Barbara A. Hanawalt and K.L. Reyerson (Minneapolis: University of Minnesota Press, 1994) 171\u201388.\n\nLindsay, David _Ane Satyre of the Thrie Estaitis_ edited Roderick Lyall (Edinburgh: Canongate, 1989).\n\nLindsay, Sir David _The Works of Sir David Lindsay_ edited Douglas Hamer, 4 vols (Scottish Text Society; Edinburgh: Blackwood, 1931\u201336).\n\n_The Lisle Letters_ edited Muriel St. Clare Byrne, 6 vols (University of Chicago Press, 1981).\n\nLiudprand of Cremona _Opera_ edited Joseph Becker (Scriptores Rerum Germanicarum 41; Hanover and Leipzig: Hahnsche Buchhandlung, 1915).\n\n_Le Livre de conduite du r\u00e9gisseur_... _pour le Myst\u00e8re de la Passion jou\u00e9 \u00e0 Mons en 1501_ edited G. Cohen (Publications de la Facult\u00e9 des Lettres de l'Universit\u00e9 de Strasbourg 23; Strasbourg: Istra, 1925).\n\nLommel, Andreas Masks: _Their Meaning and Function_ translated Nadia Fowler (London: Elek, 1972).\n\nLoomis, R.S. 'Edward 1: Arthurian Enthusiast' _Speculum 28_ (1953) 114\u201327.\n\nLorris, Guillaume de and Jean de Meun _Le Roman de la Rose_ edited Ernest Langlois, 5 vols (Soci\u00e9t\u00e9 des anciens textes fran\u00e7ais; Paris: vols 1\u20132 Firmin-Didot, vol. 3 Honor\u00e9 Champion, vols 4\u20135 Edouard Champion, 1914\u201324).\n\nLucian of Samosata _Lucian_ edited and translated A.M. Harmon, 8 vols (Loeb; London: Heinemann, 1961\u201367).\n\nLucian, of Samosata _Luciani complura opuscula_ edited Christopher Robinson in Desiderius Erasmus _Opera omnia 1: 1_ (Amsterdam: North Holland Publishing Company, 1969).\n\nLucian, of Samosata _Luciani dialogi varii: Saturnalia_ translated Desiderius Erasmus (Paris: Badius, 1506) in _Opera omnia 1_ (Amsterdam: North-Holland Publishing Co, 1969).\n\nLucian, of Samosata _Luciani... opera, quae... extant, omnia, e Graeco sermone in Latinum... translata_ by Iacobus Micyllus, Erasmus Roterodamus, Philip Melanchthon, Thomas More and others (Frankfurt: Christianus Egenolphus, 1538).\n\nLucian, of Samosata _Vera historia_ (Naples: A. de Bruxella, 1475).\n\nLucian, of Samosata _The Works of Lucian of Samosata_ translated by H.W. and F.G. Fowler, 4 vols (Oxford: Clarendon Press, 1905): for _The True History_ see 2: 136\u201372; for _Icaromenippus_ , 3: 126\u201343.\n\nLumiansky, R.M. and David Mills _The Chester_ Mystery _Cycle: Essays and Documents_ (Chapel Hill and London: University of North Carolina Press, 1983).\n\nLupton, Thomas _All for Money_ edited Ernst Vogel _Shakespeare Jahrbuch 40_ (1904).\n\nLuther, Martin _Works_ edited Jaroslav Pelikan and Helmut T. Lehmann, 55 vols (St Louis: Concordia Publishing House, 1958\u201386).\n\nLydgate, John _Fall of Princes: part III_ edited Henry Bergen _EETS ES 123_ (1924).\n\nLydgate, John _The Minor Poems of John Lydgate: part 2_ edited Henry MacCracken _EETS OS 192_ (1934).\n\nLydgate, John 'The Order of Fools' in _The Minor Poems of John Lydgate part 2_ edited H.N. MacCracken _EETS OS 192_ (1934 for 1933).\n\nLydgate, John _The Pilgrimage of the Life of_ Man, _Englisht by John Lydgate_ , A.D. 1426, _from the French of Guillaume de DeGuileville, A.D. 1330, 1355_ edited F.J. Furnivall and K.B. Locock _EETS ES_ 77, 83, 92(1899\u20131904).\n\nLydgate, John _Troy Book_ edited Henry Bergen, 4 vols _EETS ES 97_ (1906), _103_ (1906), _106_ (1910), 126 (1935).\n\nLyly, John _Euphues and his England_ (London: William Leake, 1605).\n\nMachyn, Henry _The Diary of Henry Machyn, citizen and merchant-taylor of London, from AD 1550 to AD 1563_ edited J. Nichols (Camden Society 42; London: 1848).\n\nMacrobius, Ambrosius Theodosius _Saturnalia_ edited James Willis (Leipzig: Teubner, 1970).\n\nMacrobius, Ambrosius Theodosius _Saturnalia_ translated P.V. Davies (New York and London: Columbia University Press, 1969).\n\nMacropedius (Georgius van Langevelt) _Bassarus_ in _Two Comedies_ edited Yehudi Lindeman (Nieuwkoop: De Graaf, 1983) 107\u201393.\n\nMaddern, Philippa C. _Violence and Social Order: East Anglia 1422\u20131442_ (Oxford: Clarendon Press, 1992).\n\n_The Maire of Bristowe is Kalendar_ edited Lucy Toulmin Smith (Camden Society NS 5; London, 1872).\n\n_The Making of England: Anglo-Saxon Art and Culture AD 600\u2013900_ edited Leslie Webster and Janet Backhouse (London: British Museum, 1991).\n\nM\u00e2le, \u00c9mile _L'Art religieux de la fin du Moyen Age en France_ (Paris: Armand Colin, fifth revised edition 1949).\n\n_Malone Society Collections Volume 8: Records of Plays and Players in Lincolnshire 1300\u20131585_ edited Stanley J. Kahrl (Oxford: Malone Society, 1974 for 1969).\n\nMalory, Sir Thomas _Works_ edited E. Vinaver revised P.J.C. Field, 2 vols (Oxford: Clarendon Press, 1990).\n\n_Mankind_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969) 153\u201384.\n\nMannyng of Brunne, Robert _Handlyng Synne, A.D. 1303: with those parts of the Anglo-French treatise on which it was founded, William of Wadington's 'Manuel des pechiez_ ' edited Frederick J. Furnivall _EETS OS 119_ and _123_ (1901\u2013[1903]).\n\nMannyng of Brunne, Robert _Handlyng Synne_ edited Idelle Sullens (Binghamton: Center for Medieval and Early Renaissance Studies, SUNY, Binghamton, 1983).\n\n_Manuscript Trinity R.3.19: a Facsimile_ introduction by Bradford Y. Fletcher (Variorum Chaucer; Norman, Oklahoma: Pilgrim Books, 1987).\n\nMarche, Olivier de la _M\u00e9moires_ edited H. Beaune and J. d'Arbaumont, 3 vols (Paris: Renouard\/Loones, 1883\u201388).\n\nMarcia, Alberto _The Commedia dell'Arte and the Masks of Amleto and Donato Sartori_ (Florence: La Casa Usher, 1980).\n\n_The Marriage of Wit and Science_ edited Arthur Brown (Malone Society Reprints; Oxford University Press, 1961).\n\nMarsh, Peter 'Identity: an Ethogenic Perspective' in _Persons in Groups: Social Behaviour as Identity Formation in Medieval and Renaissance Europe_ edited Richard Trexler (Medieval and Renaissance Texts and Studies 36; Binghamton NY: SUNY Center for Medieval and Early Renaissance Studies, 1985) 17\u201330.\n\nMarshall, John 'The Chester Whitsun Plays: Dating of Post-Reformation Performances from the Smiths' Accounts' _Leeds Studies in English_ NS 9 (1977) 51\u201361.\n\nMarshall, John 'Her Virgynes, as Many as a Man Wylle: Dance and Provenance in Three Late Medieval Plays' _Leeds Studies in English NS25_ (1994) 111\u201348.\n\nMarshall, John 'The Satirizing of the Suffolks in _Wisdom' Medieval English Theatre 14_ (1992) 37\u201366.\n\nMarshall, Mary Hatch 'Boethius' Definition of _Persona_ and Mediaeval Understanding of the Roman Theater' _Speculum 25_ (1950) 471\u201382.\n\nMarshall, Mary H. 'Theatre in the Middle Ages: Evidence from Dictionaries and Glosses' _Symposium 4_ (1950) 1\u201339 and 366\u201389.\n\nMarston, John _The Insatiate Countess_ in _Works_ edited Arthur Henry Bullen, 3 vols (Hildesheim: Olms, 1970: reprint of 1887 edition by John C. Nimmo).\n\nMartin, of Braga, Saint _Opera omnia_ edited Claude W. Barlow (New Haven: Yale University Press, 1950).\n\n_Mary Magdalene_ in _The Digby Plays_ edited Donald C. Baker, J.L. Murphy and L.B. Hall _EETS 283_ (1982).\n\n_The Mary Play from the N. Town Manuscript_ edited Peter Meredith (University of Exeter Press, 1997; second edition of London: Longman, 1987).\n\n_Masks: The Art of Expression_ edited John Mack (London: British Museum Press, 1994).\n\n_Le Masque dans la tradition europ\u00e9enne_ edited Samuel Glotz (Binche: Mus\u00e9e internationale du Carnaval et du Masque, 1975).\n\n_Le Masque: du rite au th\u00e9\u00e2tre_ edited O. Aslan and D. Bablet (Paris: CNRS, 1985).\n\n_Masque of Flowers_ in _The Progresses, Processions and Magnificent Festivities of King James I_ edited John Nichols, 4 vols in 5 (London: J.B. Nichols, 1828).\n\n_Maugis d'Aigremont_ edited F. Castets in _Revue des langues romanes_ 4e serie, tome 6(Montpelier, 1892).\n\nMaximilian, Emperor of Austria _Freydal des Kaisers Maximilian I Turniere und Mummereien_ edited Quirin von Leitner (Vienna, 1880\u201382).\n\nMaximilian, Emperor of Austria _Der Weissk\u00fcnig_ (Vienna: 1775); also Kaiser _Maximilians 1 Weisshunig_ facsimile edited H. Th. Musper and Rudolf Buchner, 2 vols (Stuttgart: Kohlhammer, 1956).\n\n'Maximus of Turin' _Homilia XVI: de calendis lanuariis_ , PL 57: 253\u20138.\n\nMaydiston, Richard _De concordia inter Ricardum II et civitatem London_ edited Thomas Wright (Camden Society 3; London: 1838) 31\u201351.\n\nMcCana, Proinsias _Celtic Mythology_ (Feltham: Hamlyn, 1970).\n\nMcGavin, John J. 'Robert III's \"Rough Music\": Charivari and Diplomacy in a Medieval Scottish Court' _Scottish Historical Review 74:2_ (1995) 144\u201358.\n\nMcGowan, Margaret _The Court Ballet of Louis XIII: a collection of working designs for costumes 1615\u201333_ (London: Victoria and Albert Museum, 1987).\n\nMcKisack, May _The Fourteenth Century_ (Oxford: Clarendon Press, 1959).\n\nMcKisack, May 'London and the Succession to the Crown during the Middle Ages' in _Studies in Medieval History presented to F.M. Powicke_ edited R.W. Hunt (Oxford: Clarendon Press, 1948) 76\u201389.\n\nMcNeill, John T. and Helena M. Gamer _Medieval Handbooks of Penance_ (New York: Columbia University Press, 1938).\n\n_Medieval Latin Word List_ edited J.H. Baxter and Charles Johnson (London: Oxford University Press, 1934).\n\n_Medieval Scandinavia: An Encyclopaedia_ edited Phillip Pulsiano (New York & London: Garland, 1993).\n\nMedwall, Henry _Fulgens and Lucres_ in _The Plays of Henry Medwall_ edited Alan H. Nelson (Tudor Interludes; Cambridge: Brewer, 1980).\n\nMeiss, Millard _French Painting in the Time of Jean de Berry: the Limbourgs and their Contemporaries_ (London: Thames and Hudson, 1974).\n\nMelton, John _Astrologaster_ (London: B. Alsop, 1620) 31.\n\nMerbury, Francis _The Marriage Between Wit and Wisdom_ edited Trevor S. Lennam (Malone Society Reprints: Oxford University Press, 1971 for 1966).\n\nMeredith, Peter 'Item for a grone' _REED: Colloquium_ edited Jo Anna Dutka (Toronto: REED, 1979) 26\u201359.\n\nMeredith and Tailby, see _The Staging of Religious Drama in Europe_.\n\nMerrifield, Mary P. _Original Treatises on the Art of Painting_ (New York: Dover, 1967; reprint of 1849 edition).\n\nMeslin, Michel _La F\u00eate des kalendes de Janvier dans l'empire romain_ (Collection Latomus 115; Brussels: Latomus, 1970),\n\n_Metropolitan Museum of Art Bulletin 32: 4_ (1973\u201374): 'The Art of Chivalry' introduced Helmut Nickel.\n\n_Middle English Dictionary_ edited Hans Kurath, Sherman M. Kuhn, and others (Ann Arbor: University of Michigan Press, 1954\u2013).\n\nMiddleton, Thomas _Inner Temple Masque or Masque of Heroes_ (1619) edited R.C. Bald in _A Book of Masques in Honour of Allardyce Nicoll_ edited T.J.B. Spencer and others (Cambridge University Press, 1967) 251\u201369.\n\nMill, Anna Jean _Mediaeval Plays in Scotland_ (Edinburgh and London: Blackwood, 1927).\n\nMills, David 'Characterisation in the English Mystery Cycles' _Medieval English Theatre 5:1_ (1983) 5\u201317.\n\nMills, A.D. 'A Corpus Christi Play and other Dramatic Activities in Sixteenth-century Sherborne, Dorset' in _Malone Society Collections_ 9 (Oxford: Malone Society, 1976).\n\n_Minor Latin Poets_ edited J. Wight Duff and Arnold M. Duff (Loeb; London: Heinemann, 1934).\n\nMirandola, Giovanni Pico della _De hominis dignitate_ edited G. Semprini (Rome: Atanor, 1986).\n\nMirk, John _see_ Myrc, John.\n\nMirk, John _Festial_ edited Theodor Erbe _EETS ES 96_ (1905).\n\nMiyajima, Sumiko _The Theatre of Man_ (Clevedon: Clevedon Printing Co, 1977).\n\nMolinet, Jean _Chroniques_ edited Georges Doutrepont and Omer de Jodogne 3 vols (Brussels: Academie Royale de Belgique, 1935\u201337).\n\nMonstrelet, Enguerrand de _La Chronique d'Enguerran de Monstrelet en deux livres avec pieces justicatives 1400\u20131444_ edited L. Douet-D'Arcq, 6 vols (Paris: L. Douet-D'Arcq, 1857\u201362).\n\nMore, Thomas _Utopia_ in _The Complete Works of St Thomas More Volume 4_ edited Edward J. Surtz SJ and J.H. Hexter (New Haven and London: Yale University Press, 1965).\n\nMoryson, Fynes _Itinerary_ [1617] in _Shakespeare's Europe: Unpublished Chapters of Fynes Moryson's Itinerary_ edited Charles Hughes (London: Sherratt and Hughes, 1903.\n\nMoser, Dietz-R\u00fcdiger _Fastnacht-Fasching-Karneval_ (Graz, Wien, K\u00f6ln: Edition Kaleidoskop, 1984).\n\nMoser, Hans 'Zur Geschichte der Maske in Bayern' in _Masken in Mitteleuropa_ edited Leopold Schmidt (Vienna: Verein f\u00fcr Volkskunde, 1955) 93\u2013141.\n\nMuir, Edward _Civic Ritual in Renaissance Venice_ (Princeton University Press, 1981).\n\nMuir, Edward _Ritual in Early Modern Europe_ (Cambridge University Press, 1997).\n\nMuir, Lynette 'Playing God in Medieval Europe' in _The Stage as Mirror: Civic Theatre in Late Medieval Europe_ edited Alan Knight (Cambridge: Brewer, 1997) 25\u201347.\n\nMuller, James Arthur _Stephen Gardiner and the Tudor Reaction_ (London: SPCK, 1926).\n\nMullinger, James Bass _The University of Cambridge_ 3 vols (Cambridge University Press, 1873\u20131911).\n\nMunday, Anthony _The English Romayne Lyfe_ (1582) edited G.B. Harrison (London: Bodley Head, reprinted Edinburgh University Press, 1966).\n\nMunday, Anthony and others _Sir Thomas More_ edited Vittorio Gabrieli and Giorgio Melchiori (Revels Plays: Manchester University Press, 1990).\n\n_Munimenta Academica Part 1_ edited Henry Anstey _Rolls Series 50A_ (1868).\n\nMunz, Ludwig _The Drawings of Breugel_ (London: Phaidon, 1961).\n\nMurimuth, Adam of _Continuatio chronicarum_ and Robertus de Avesbury _De gestis mirabilibus Regis Edwardi Tertii_ edited by Edward Maunde Thompson _Rolls Series 93_ (1889).\n\nMyers, A.R. 'The Book of the Disguisings for the Coming of the Ambassadors of Flanders, December 1508' _Bulletin of the Institute of Historical Research 54_ (1981) 120\u20139.\n\nMyers, A.R. _The Household of Edward IV: The Black Book and the Ordinance of 1478_ (Manchester University Press, 1959).\n\nMyrc, John _Instructions for Parish Priests_ edited Edward Peacock _EETS OS 31_ (1868, revised 1902).\n\nNagler, A.M. A _Source Book in Theatrical History_ (New York: Dover, 1959: revised edition of 1952).\n\nNamatianus, Rutilius Claudius _De redito suo 2_ in _Minor Latin Poets_ edited and translated J.W. Duff and A.M. Duff (Loeb; London: Heinemann, 1934).\n\nNaogeorgus, Thomas _The Popishe Kingdome or Reigne of Antichrist_ translated Barnabe Googe [1570], edited R.C. Hope (London: W. Satchell, 1880).\n\nNaogeorgus, Thomas (Kirchmeyer) _Regnum papisticum_ ([Basle?], 1553).\n\nNapier, A. David _Masks, Transformation, and Paradox_ (Berkeley and London: University of California Press, 1986).\n\n_Narrative and Dramatic Sources of Shakespeare_ edited Geoffrey Bullough, 8 vols (London: Routledge and Kegan Paul, 1957\u201375).\n\nNashe, Thomas _Christs Teares over Jerusalem_ in _Works_ edited R.B. McKerrow 5 vols (Oxford: Blackwell, 1958).\n\nNashe, Thomas _Lenten Stuffe_ in _Works_ edited R.B. McKerrow (Oxford University Press, 1958).\n\nNashe, Thomas _Pierce Penniless his Supplication to the Devil_ in _The Unfortunate Traveller and Other Works_ edited J.B. Steane (Harmondsworth: Penguin, 1972).\n\nNavarre, Marguerite de _The Heptameron_ translated P.A. Chilton (Harmondsworth: Penguin, 1984).\n\nNavarre, Philippe de and Gerard de Monteal [sic] _Les Gestes des Chiprois: recueil de chroniques fran\u00e7aises \u00e9crites en Orient au Xllle & XlVe siecles_ edited Gaston Raynaud (Publications de la Societ\u00e9 de l'Orient latin. Serie historique 5; Osnabruck: Zeller, 1968; reprint of edition by Geneva: Fick, 1887).\n\nNeri, Ferdinando 'La maschera del selvaggio' _Giornale storico della letteratura italiana 59_ (1912) 47\u201368.\n\nNevinson, J.L. 'Illustrations of Costume in the _Alba Amicorum' Archaeologia 106_ (1979) 167\u201376.\n\n_New Custom_ in Robert Dodsley _A Select Collection of Old Plays_ edited W.C. Hazlitt, 15 vols (London: 1874\u201376; reprinted in 7 vols New York: Benjamin Blom, 1964) 3: 1\u201352 (Blom 2: 1\u201352).\n\nNewton, Stella Mary _Fashion in the Age of the Black Prince_ (Woodbridge: Boydell Press, 1980).\n\nNewton, Stella Mary _Renaissance Theatre Costume and the Sense of the Historic Past_ (London: Rapp and Whiting\/Deutsch, 1975).\n\nNickson, A.E. _Early Autograph Albums in the British Museum_ (London: British Museum, 1970).\n\nNicolas, Sir Nicholas Harris 'Observations on the Institution of the Most Noble Order of the Garter' _Archaeologia 31_ (1846) 1\u2013163.\n\nNicoll, Allardyce Masks, _Mimes and Miracles_ (London: Harrap, 1931).\n\nNicolson, Marjorie Hope _Voyages to the Moon_ (New York: Macmillan, 1960: reissue of 1948 edition).\n\nNijsten, Gerard 'Feasts and Public Spectacle: late medieval drama and performance in the Low Countries' in _The Stage as Mirror: Civic Theatre in Late Medieval Europe_ edited Alan Knight (Cambridge: Brewer, 1997) 107\u201343.\n\nNoirot, Claude _L'Origine des masques_ (1609) in _Collection des meilleures dissertations, notices et trait\u00e9s particuliers relatifs \u00e0 l'histoire de France_ edited Constant Leber, 20 vols (Paris: J.-G. Dentu, 1826) vol. 9.\n\n_Non-Cycle Plays and Fragments_ edited Norman Davis _EETS SS 1_ (1970).\n\nNorth, Richard _Heathen Gods in Old English Literature_ (Cambridge University Press, 1997).\n\n_The N-Town Play: Cotton MS Vespasian_ D. 8 edited Stephen Spector, 2 vols _EETS SS 11_ and _12_ (1991).\n\nOdo, Bishop of Paris _Litterae Odonis episcopi Parisiensis, pro abolendo festo fatuorum, et restituenda solemnitae circumcisionis Domini'_ in _Statuta et donationes, PL_ 212: 70\u20132.\n\nOlaus Magnus _Historia de gentibus septentrionalibus_ introduced John Granlund (Copenhagen: Rosenkilde and Bagger, 1972, facsimile reprint of Rome: 1555).\n\n_The Old English Riddles of the Exeter Book_ edited Craig Williamson (Chapel Hill: North Carolina University Press, 1977).\n\n_The Oldest English Texts_ edited Henry Sweet _EETS OS 83_ (1885).\n\nOrgel, Stephen _Impersonations: The Performance of Gender in Shakespeare's England_ (Cambridge University Press, 1996).\n\nOrloff, Alexander _Carnival: Myth and Cult_ (W\u00f6rgl: Perlinger, 1981).\n\nOrmerod, Oliver _Pagano-Papismus: wherein is prooved that Papisme is flat Paganisme_ (London: N. Fosbroke, 1606).\n\n_Ortus vocabularum_ edited R.C. Alston (English Linguistics Series 123; Menston: Scolar, 1968; facsimile edition of Westminster: Wynkyn de Worde, 1500).\n\nOvidius Naso, Publius (Ovid) _Fasti_ translated J.G. Frazer (Loeb; London: Heinemann, 1931).\n\nOvidius Naso, Publius (Ovid) _Libri fastorum_ edited E.H. Alton, D.E.W. Wormell and E. Courtney (Leipzig: Teubner, 1988).\n\nOwen, Gale R. _Rites and Religions of the Anglo-Saxons_ (Newton Abbot: David and Charles, 1971).\n\nOwst, G.R. _Literature and Pulpit in Medieval England_ (Oxford: Blackwell, 1961).\n\nOwst, G.R. _Preaching in Medieval England_ (Cambridge University Press, 1926).\n\n_Oxford Dictionary of the Christian Church_ edited F.L. Cross (London: Oxford University Press, 3rd edition edited by E. A. Livingstone, 1997.\n\n_Oxford Latin Dictionary_ edited P.G.W. Glare and others (Oxford: Clarendon Press, 1968\u201382).\n\nPacianus _Paraenesis ad poenitentiam, PL_ 13: 1081\u201390.\n\nPadoan, Giorgio 'Sulla Novella Veneziana del Decameron' in _Boccaccio, Venezia e il Veneto_ edited Vittore Branca and Giorgio Padoan (Florence: Olschki, 1979) 17\u201346.\n\n_Pageant of the Birth, Life and Death of Richard Beauchamp, Earl of Warwick, 1389\u20131439_ edited Viscount Dillon and W.H. St. John Hope (London: Longmans, 1914).\n\nPalsgrave, John _Lesclarcissement de la langue francoyse_ edited R.C. Alston (English Linguistics 1500\u20131800 190; Menston: Scolar Press, 1969; reprint of London: Richard Pynson, 1530).\n\n_The Paris Psalter_ edited George Phillip Krapp (New York: Columbia University Press, 1932).\n\npartridge, Eric _Origins: A Short Etymological Dictionary of Modern English_ (London: Routledge and Kegan Paul, 1958).\n\nPatch, Howard Rollin _The Goddess Fortuna in Medieval Literature_ (Cambridge, Mass: Harvard University Press, 1927).\n\nPearsall, Derek _John Lydgate_ (London: Routledge and Kegan Paul, 1970).\n\nPerottus, Nicolaus _Cornucopiae seu latinae linguae commentarii_ (Basle: Valentinus, 1526).\n\nPerri\u00e8re, Guillaume de la _La Theatre des bons engins_ (Paris: Denis Janot, 1539).\n\nPersius, _see_ Juvenalis,\n\n_Persons in Groups: Social Behaviour as Identity Formation in Medieval and Renaissance Europe_ edited Richard Trexler (Medieval and Renaissance Texts and Studies 36; Binghamton NY: SUNY Center for Medieval and Early Renaissance Studies, 1985).\n\nPeter Chrysologos, see Chrysologos, Saint Peter.\n\nPettie, George A _Petite Pallace of Pettie his Pleasure_ (London: R.W., 1578?).\n\nPettitt, Thomas 'Early English Traditional Drama: Approaches and Perspectives' _Research Opportunities in Renaissance Drama 25_ (1982) 9\u201324.\n\nPettitt, Tom 'Protesting Inversions: Charivary as Folk Pageantry and Folk-Law' _Medieval English Theatre 21_ (1999) 21\u201351\n\n_Physiognomonica_ in _Scriptores physiognomonici_ edited R. Forster, 2 vols (Leipzig: Teubner, 1893).\n\nPhythian-Adams, Charles 'Ceremony and the Citizen: The Communal Year at Coventry, 1440\u20131550' in _Crisis and Order in English Towns, 1500\u20131700_ edited Peter Clark and Paul Slack (London: Routledge and Kegan Paul, 1972).\n\n_The Pilgrimage of the Lyfe of the Manhode_ edited Avril Henry _EETS 288_ (1985).\n\nPlato _Timaeus_ translated H.D.P. Lee (Harmondsworth: Penguin, 1965).\n\nPlatter, Felix _Beloved Son Felix: The Journal of Felix Platter_ translated and introduced Se\u00e1n Jennett (London: Frederick Muller, 1961).\n\nPlatter, Thomas (1574\u20131628) _Beschriebung der Reisen durch Frankreich, Spanien, England und die Neiderlande 1595\u20131600_ edited Rut Keiser (Auftrag der Historischen und Antiquarischen Gesellschaft zu Basel, Basler Chroniken 9; Basel and Stuttgart: Schwabe, 1968) 121\u20132.\n\nPlatter, Thomas _Journal of a Younger Brother_ translated and introduced Se\u00e1n Jennett (London: Frederick Muller, 1963).\n\nPlautus, Titus Maccius _Plautus_ translated Paul Nixon, 5 vols (Loeb; London: Heinemann, 1928\u201368).\n\nPleij, Hermann _Het gilde van de blauwe schuit: literatuur, volksfeest en burgermoraal in de late middeleeuwen_ (Amsterdam: Meulenhoff, 1979).\n\nPlutarch _Plutarch's Lives_ translated Bernadotte Perrin, 11 vols (Loeb; London: Heinemann, 1920).\n\n_The Poetic Edda_ translated Carolyne Larrington (Oxford University Press, 1996).\n\nPollux, Julius _Onomasticon_ in _Lexicographi graeci 9:1\u20133_ edited Erik Bethe (Stuttgart: Teubner, 1967, facsimile of 1937 edition).\n\nPompen, Aurelius _The English Versions of The Ship of Fools_ (London: Longmans, Green, 1925).\n\nPorcher, Jean _L'Enluminure fran\u00e7aise_ (Paris: Arts et Metiers, 1959).\n\nPorret, Gilbert _Commentaria_ on Boethius _Liber de persona, PL_ 64: 1353\u20131412.\n\nPorta, Giovanni Baptista della _De humana physiognomonia libri iiii_ (Vico Equense: J. Cacchius, 1586).\n\nPorta, Luigi Da _Istoria di due nobili amanti_ (1539) in _Novellieri del cinquecento_ edited Marziano Guglielminetti, 2 vols (La letteratura italiana storia e testi 24: Milan: Riccardo Ricciardi, 1972).\n\nPotter, Robert _The English Morality Play_ (London: Routledge and Kegan Paul, 1975).\n\n_The Pride of Life_ in _Non-Cycle Plays and Fragments_ edited Norman Davis _EETS_ SS _1_ (1970).\n\nPrimasius Adrumetanus _Commentariorum super Apocalypsim B. Ioannis libri_ V, PL 68: 793\u2013936.\n\nPrince, John _Damnonii Orientales Illustres: The Worthies of Devon_ (Exeter: S. Farley, 1701).\n\n_Processus Satanae_ in _Malone Society Collections Volume 2, Part 3_ (London: Malone Society, 1931) 239\u201350.\n\n_Promptorium parvulorum_ edited A.L. Mayhew _EETS ES 102_ (1908).\n\n_Protestant Identities: Religion, Society and Self-Fashioning in Post-Reformation England_ edited  Muriel C McClendon, Joseph P Ward, Michael McDonald (Stanford University Press, 1999).\n\nPrynne, William _Histriomastix_ preface by Arthur Freeman (New York and London: Garland, 1974: facsimile reprint of London: Michael Sparke, 1633).\n\n_Il quaderno di segreti d'un regista provenzale del medioevo: nota per la messa in scena d'una Passione_ edited Alessandro Vitale-Brovarone (Alessandria: Edizioni dell'Orso, 1984).\n\nQuintilianus, Marcus Fabius (Quintilian) _Institutio oratoria_ edited H.E. Butler, 4 vols (Loeb; London: Heinemann, 1922).\n\nRamakers, B.A.M. 'De const getoond: de beeldtaal van de Haarlemse rederijkerswedstrijd van 1606' _Nederlands Kunsthistorisch Jaarboek_ 49 (1998) 129\u201383.\n\nRastell, John _The Nature of the Four Elements_ in _Three Rastell Plays_ edited Richard Axton (Cambridge: Brewer, 1979).\n\nReardon, Bernard M.G. _Religious Thought in the Reformation_ (London: Longman, 2nd edition 1995).\n\nR\u00e9au, Louis _Iconographie de l'art chr\u00e9tien_ 3 vols (Paris: Presses universitaires de France, 1956).\n\n_The Receyt of the Lady Kateryne_ edited Gordon Kipling _EETS 296_ (1990).\n\n_Records of Early English Drama: Cambridge_ edited Alan H. Nelson, 2 vols (Toronto University Press, 1989).\n\n_Records of Early English Drama: Chester_ edited Laurence Clopper, 2 vols (University of Toronto Press, 1979).\n\n_Records of Early English Drama: Coventry_ edited R.W. Ingram (University of Toronto Press, 1981).\n\n_Records of Early English Drama: Cumberland, Westmoreland, Gloucestershire_ edited Audrey Douglas and Peter Greenfield (University of Toronto Press, 1986).\n\n_Records of Early English Drama: Devon_ edited John Wasson (University of Toronto Press, 1986).\n\n_Records of Early English Drama: Newcastle upon Tyne_ edited J.J. Anderson (University of Toronto Press, 1982).\n\n_Records of Early English Drama: Norwich 1540\u20131642_ edited David Galloway (University of Toronto Press, 1984).\n\n_Records of Early English Drama: Shropshire_ edited J.A.B. Somerset, 2 vols (University of Toronto Press, 1994).\n\n_Records of Early English Drama: Somerset_ 2 vols, edited James Stokes with Robert J. Alexander (University of Toronto Press, 1996).\n\n_Records of Early English Drama: York_ edited Alexandra F. Johnston and Margaret Dorrell, 2 vols (University of Toronto Press, 1979).\n\n_Recueil g\u00e9n\u00e9ral des lexiques fran\u00e7ais du moyen \u00e2ge_ edited Mario Roques, 2 vols (Paris: Champion, 1970).\n\nRedford, John _Wit and Science_ in _Tudor Interludes_ edited Peter Happ\u00e9 (Harmondsworth: Penguin, 1972) 181\u2013219.\n\nRegino of Prum _Libellus de ecclesiasticis disciplinis, PL_ 132: 187\u2013400.\n\n_Religions of Rome_ edited Mary Beard, John North, and Simon Price, 2 vols (Cambridge University Press, 1998).\n\n_Respublica_ edited W.W. Greg _EETS 226_ (1952).\n\n_The Resurrection of Our Lord_ edited J. Dover Wilson and Bertram Dobell (Malone Society Reprints; London: Malone Society, 1913).\n\n_The Revels History of Drama in English, Volume 1: Medieval Drama_ edited A.C. Cawley and others (London and New York: Methuen, 1983).\n\nReyher, Paul _Les Masques anglais_ (Paris: Hachette, 1909).\n\nRipa, Cesare _Iconologia_ introduction by E. Manowsky (Hildesheim; New York: Georg Olms, 1970; facsimile reprint of edition Rome: L. Facii, 1603).\n\nRobbins, Rossell Hope _Secular Lyrics of the XIVth and XVth centuries_ (Oxford: Clarendon Press, 1952).\n\nRobinson, Christopher _Lucian and his Influence in Europe_ (London: Duckworth, 1979).\n\nRobinson, J.W. 'The Late Medieval Cult of Jesus and _the_ Mystery Plays' PMLA _80_ (1965) 508\u201315.\n\n_The Rohan Book of Hours_ , introduction and commentaries by Millard Meiss and Marcel Thomas (London: Thames and Hudson, 1973).\n\nRoss, Anne _Pagan Celtic Britain_ (London: Routledge and Kegan Paul, 1967).\n\n_Rotuli Parliamentorum_ edited J. Strachey, 6 vols (London, 1766\u201367).\n\nRudwin, Maximilian J. _The Devil in Legend and Literature_ (Chicago: Open Court Publishing, 1931).\n\nRudwin, Maximilian J. _The Origin of the German Carnival Comedy_ (New York: Stechert, 1920).\n\nRuiz, Teofilo '\u00c9lite and Popular Culture in late Fifteenth-century Castilian Festivals: the case of Ja\u00e8n' in _City and Spectacle in Medieval Europe_ edited Barbara A. Hanawalt and K.L. Reyerson (Minneapolis: University of Minnesota Press, 1994) 296\u2013318.\n\nSachs, Hans 'Der Scheinpart-spruch' in _Werke_ edited Adalbert von Keller, 26 vols (Bibliographie der Einzeldnicke des Dichters 24\u20135; Hildesheim: Olm, 1964; reprint of T\u00fcbingen: Litterarischen Vereins, 1870\u20131908).\n\nSaltzman, M.R. On _Roman Time: the Codex-Calendar of 354 and the Rhythms of Urban Life in Late Antiquity_ (Berkeley: University of California Press, 1990).\n\nSambucus, Joannes _Emblemata_ (Antwerp: C. Plantin, 1566).\n\nSandars, N.K. _Prehistoric Art in Europe_ (Pelican History of Art; Harmondsworth: Penguin, 1968).\n\nSanuto, Marino _I diarii di Marino Sanuto_ 58 vols (Bologna: Forni, 1969\u201370; facsimile of Venice edition, Fedorico, 1879\u20131902).\n\nSardi, Alexander _De rerum inventoribus_ (K\u00f6ln: B. Gualtheri, 1550).\n\nSarrazin, Trouv\u00e8re Le _Roman du Hem_ edited Albert Henry (Travaux de la Facult\u00e9 de Philosophie et Lettres de l'Universit\u00e9 de Bruxelles 9; Paris and Li\u00e8ge: [1939]).\n\nSartori, Donato and Bruno Lanata _Maschera e maschere_ (Centro Maschere e Strutture Gestuali; Florence: La Casa Usher, 1984).\n\nSastrow, Bartholomew _Social Germany in Luther's Time: Being the memoirs of Bartholomew Sastrow_ translated A.D. Vandam (London: Constable, 1902).\n\nSavaron, Jean _Traitt\u00e9 contre les masques_ (Paris: Pierre Chevalier, 1608).\n\nScattergood, John 'Skelton's _Magnyfycence_ and the Tudor Royal Household' _Medieval English Theatre 15_ (1993) 21\u201348.\n\nSchibler, Peter 'Vom Kultspiel zum Kleintheater' _Berner Jahrbuch_ (1983) 5\u201310.\n\nSchiller, Gertrud _Christian Iconography_ translated Janet Seligman, 2 vols (London: Lund Humphries, 1971).\n\nSchiller, Gertrud _Ikonographie der christlichen Kunst_ 5 vols (Gutersloh: Mohn, 1971\u2013).\n\nSchmidt, L\u00e9opold 'Masques et coutumes de masques en Autriche' in _Le Masque dans le tradition europ\u00e9ene_ edited Samuel Glotz (Binche: Mus\u00e9e International du Carnaval et du Masque, 1975) 74\u201389.\n\nScott, A.C. _The Theatre in Asia_ (London: Weidenfeld and Nicolson, 1972).\n\nScott, J.C. _Domination and the Arts of Resistance: Hidden Transcripts_ (New Haven and London: Yale University Press, 1990).\n\nScribner, R.W. 'Reformation, Carnival and the World Turned Upside-down' in _Popular Culture and Popular Movements in Reformation Germany_ (London and Roncevert: Hambledon Press, 1987) 71\u2013101.\n\nScullard, H. _Festivals and Ceremonies of the Roman Republic_ (London: Thames and Hudson, 1981).\n\n'Sedatus' _see_ Caesarius of Arles.\n\nSeely, Grace Hart _Diane the Huntress: the Life and Times of Diane de Poitiers_ (New York and London: D. Appleton-Century, 1936).\n\nSeneca, Lucius Annaeus _Ad Lucilium epistolae morales_ edited R.M. Gummere (Loeb; London: Heinemann, 1917).\n\n_Sermons and Society_ edited Paul Welsby (Harmondsworth: Penguin, 1970).\n\nServius Grammaticus _Servii Grammatici qui feruntur in Vergilii carmina commentarii_ edited Georg Thilo and Hermann Hagen, 3 vols (Hildesheim: Georg Olms, 1961 reprint of Leipzig: 1881 edition).\n\n'Severian' _see_ Peter Chrysologos _Sermo CLV bis: De kalendis Ianuariis_ in _Sancti Petri Chrysologi collectio sermonum_ edited A. Olivar ( _CCSL_ 24B; Turnhout: Brepols, 1982) 967\u20139.\n\n_Shakespeare's Europe: Unpublished Chapters of Fynes Moryson's Itinerary_ edited Charles Hughes (London: Sherratt and Hughes, 1903).\n\nShakespeare, William _Love's Labour's Lost_ edited G.R. Hibbard (Oxford Shakespeare; Oxford: Clarendon Press, 1990).\n\nShakespeare, William _The Merchant of Venice_ edited Jay L. Halio (Oxford Shakespeare; Oxford: Clarendon Press, 1993).\n\nShakespeare, William _The_ Merry _Wives of Windsor_ edited T.W. Craik (Oxford Shakespeare; Oxford: Clarendon Press, 1989).\n\nShakespeare, William A _Midsummer Night's Dream_ edited Peter Holland (Oxford Shakespeare; Oxford: Clarendon Press, 1994).\n\nShakespeare, William _Much Ado about Nothing_ edited Sheldon P. Zitner (Oxford Shakespeare; Oxford: Clarendon Press, 1993).\n\nShakespeare, William _The Complete Works_ edited Stanley Wells and Gary Taylor (Oxford Shakespeare; Oxford University Press, 1998, reissue of 1986 edition).\n\nShakespeare, William _The Tempest_ edited Stephen Orgel (Oxford Shakespeare; Oxford: Clarendon Press, 1987).\n\nShakespeare, William and John Fletcher _King Henry VIII_ , or _All is True_ edited Jay L. Halio (Oxford Shakespeare; Oxford: Clarendon Press, 1999).\n\nSharp, Thomas _A Dissertation on the Pageants or Dramatic Mysteries Anciently Performed at Coventry_ (Coventry: Merridew, 1825).\n\nSkeat, W.W. _Etymological Dictionary_ (Oxford: Clarendon Press, 1888).\n\nSkelton, John _The Complete English Poems_ edited John Scattergood (Harmondsworth: Penguin, 1983).\n\nSkelton, John _Magnificence_ edited Paula Neuss (Manchester University Press, 1980).\n\nSmith, Bruce R. _Ancient Scripts and Modern Experience on the English Stage, 1500\u20131700_ (Princeton University Press, 1988).\n\nSmith, Susan Valeria Harris _Masks in Modern Drama_ (Berkeley and London: University of California Press, 1984).\n\n_Speculum humanae salvationis_ edited J. Lutz and P. Perdrizet (Leipzig, Hiersemann, 1907).\n\nSpierenburg, P. _The Broken Spell: a Cultural and Anthropological History of Pre-Industrial Europe_ (Basingstoke: Macmillan, 1991).\n\nSpinrad, Phoebe S. _The Summons of Death on the Medieval and Renaissance English Stage_ (Columbus: Ohio State University Press, [1987]).\n\nSpivack, Bernard _Shakespeare and the Allegory of Evil_ (New York: Columbia University Press, 1958).\n\nSponsler, Claire _Drama and Resistance: Bodies, Goods and Theatricality in Late Medieval England_ (Minneapolis and London: University of Minnesota Press, 1997).\n\n_The Staging of Religious Drama in Europe in the Later Middle Ages_ edited P. Meredith and J. Tailby (Medieval Institute Publications; Kalamazoo: Western Michigan University, 1983).\n\n_Statuta Antiqua Universitatis Oxonienis_ edited Strickland Gibson (Oxford, 1931).\n\n_The Statutes of the Realm, from original records and authentic manuscripts (1101\u20131713), printed by command of His Majesty King George the Third_ edited A. Luders, Sir T. Edlyn Tomlins, J. France, W. E. Taunton, and J. Raithby, 12 vols (London: Dawsons of Pall Mall for the Records Commission, 1810\u201328; reprinted 1963).\n\nStern, Charlotte _The Medieval Theater in Castile_ (Medieval and Renaissance Texts and Studies 156; Binghamton: SUNY Center for Medieval and Renaissance Texts and Studies, 1996).\n\nStern, H. Le _Calendrier de 354: \u00e9tude sur_ son _texte et sur ses illustrations_ (Paris: Imprimerie Nationale, 1953).\n\nStow, John A _Survey of London_ edited Charles Kingsford, 2 vols (Oxford: Clarendon Press, 1908 [reprinted 1971]).\n\nStreitberger, W. R. _Court Revels, 1485\u20131559_ (Studies in Early English Drama 3: University of Toronto Press, 1994).\n\nStrong, Roy _Art and Power: Renaissance Festivals 1450\u20131650_ (Woodbridge: Boydell, 1984).\n\nStrutt, Joseph _Sports and Pastimes of the People of England_ edited by William Hone (London, Thomas Tegg 1841, 3rd edition).\n\nStubbes, Philip _The Anatomie of Abuses_ (1583) edited F.J. Furnivall (New Shakespeare Society; London: Trubner & Co, 1877\u201379).\n\nSturluson, Snorri _Edda_ translated Anthony Faulkes (London: Dent, 1987).\n\nSturluson, Snorri _Edda: Prologue and Gylfagynning_ edited Anthony Faulkes (Oxford: Clarendon Press, 1982).\n\nSumberg, Samuel Leslie _The Nuremberg Schembart Carnival_ (Columbia University Germanic Studies 12; New York: Columbia University Press, 1941).\n\nSurtz, Ronald E. 'Masks in the Medieval Peninsular Theatre' in _Festive Drama_ edited Meg Twycross (Cambridge: Brewer, 1996) 80\u20137.\n\nSutherland, Sarah P. _Masques in Jacobean Tragedy_ (New York: AMS Press, 1983).\n\n_The Sutton Hoo Ship-Burial, Volume 2: Arms, Armour, and Regalia_ edited Rupert Bruce-Mitford (London: British Museum Publications, 1978).\n\nSvenbro, Jesper 'The \"Interior\" Voice: On the Invention of Silent Reading' in _Nothing to do with Dionysos?: Athenian Drama in its Social Context_ edited by John J. Winkler and Froma I. Zeitlin (Princeton University Press, 1990).\n\nTacitus, Cornelius _De origine et situ Germanorum_ (' _Germania_ ') edited J.G.C. Anderson (Oxford: Clarendon Press, 1938).\n\nTasso, Torquato _II Gianluco overo de le maschere_ in _Dialoghi_ edited Ezio Raimondi, 2 vols (Florence: Sansoni, 1958) 2: 669\u201382.\n\nTaylor, John _Jacke-a-Lente_ in _Works_ edited C. Hindley (London: Reeves and Turner, 1872).\n\nTerentius Afer, Publius (Terence) P. _Terentii Aphri comicorum elegantissimi comedie_ edited Joachim Badius Ascensius (Paris: Nicolaus Depratis, 1508).\n\nTerentius Afer, Publius (Terence) P. _Terenti Afri comoediae_ edited R. Kauer and W.M. Lindsay (Oxford: Clarendon Press, s.d [1935?]).\n\nTertullianus, Quintus Septimus Florens (Tertullian) _De cultu feminarum PL_ 1: 1303\u201334.\n\nTertullianus, Quintus Septimus Florens (Tertullian) _De idololatria_ edited and translated J.H. Waszink and J.C.M. Van Winden (Leiden: Brill, 1987); also PL 1: 661\u201398.\n\nTertullianus, Quintus Septimus Florens (Tertullian) _De spectaculis_ in _Apology & De spectaculis_ edited and translated T.R. Glover (Loeb; London: Heinemann, 1931): also PL 1: 627\u201362.\n\nThiboust, Jacques _Relation de l'ordre de la triomphante et magnifique monstre du Mystere des SS Actes des Apostres_ edited M. Labouvrie (Bourges: Manceron, 1836).\n\nThomas of Chobham, Bishop of Salisbury _Penitential_ excerpted in Chambers _Medieval Stage_ 2: 262\u20133.\n\nThomas, William _The Historie of Italie_ (English Experience 895; Amsterdam: Theatrum Orbis Terrarum, 1977; reprint of London: Thomas Berthelet, 1549 edition).\n\nThompson, '\"E.P. Rough Music\": Le Charivari anglais' _Annales, \u00e9conomies, soci\u00e9t\u00e9s, civilisations 27_ (1972) 285\u2013312.\n\nTiddy, R.J.E. _The Mummer's Play_ (Oxford University Press, 1923).\n\nTilliot, M. du _Memoires pour servir \u00e0 l'histoire de la f\u00eate des fous_ (Lausanne and Geneva: Bousquet, 1741) 65.\n\nTiptoft, Sir John 'Ordinances, Statutes and Rules' (1466) in Francis Henry Cripps Day _The History of the Tournament in England and in France_ ([London], 1918) Appendix 4, xxvii\u2013xxx.\n\n_Le Tournoi de Chauvency_ edited M. Delbouille (Li\u00e8ge; Paris, 1932).\n\n_The Towneley Plays_ edited Martin Stevens and A.C. Cawley _EETS SS 13_ (1994).\n\n_Les tr\u00e8s riches heures du Duc de Berry_ facsimile edited Jean Longnon and Millard Meiss (London: Thames and Hudson, 1969).\n\n_The Trial of Treasure_ in Robert Dodsley A _Select Collection of Old Plays_ edited W.C. Hazlitt, 15 vols (London: 1874\u201376; reprinted in 7 vols New York: Benjamin Blom, 1964) 3: 257\u2013301 (Blom 2: 257\u2013301).\n\nTurner, Victor _The Ritual Process_ (Harmondsworth: Penguin, 1974).\n\n_Turnierbuch aus der Kraichgauer Ritterschaft, Um 1615, Cod. Ross. 711_ edited Lotte Kurras (Zurich: Belser Vorlag, 1983).\n\nTurville-Petre, E.O.G _Myth and Religion of the North_ (London: Weidenfeld and Nicolson, 1964).\n\nTusser, Thomas _Five Hundred Points of Good Husbandry_ edited W. Payne and S.J. Herrtage (London: English Dialect Society, 1878).\n\nTweddle, Dominic _The Coppergate Helmet_ (York Archaeological Trust, 1984).\n\nTwycross, Meg 'Books for the unlearned' in _Drama and Religion_ edited James Redmond (Themes in Drama 5; Cambridge University Press, 1983) 65\u2013110.\n\nTwycross, Meg 'The Flemish Ommegang and its Pageant Cars' _Medieval English Theatre 2:1_ and 2:2 (1980) 15\u201341, 80\u201398.\n\nTwycross, Meg 'More Black and White Souls' _Medieval English Theatre 13_ (1991) 52\u201363.\n\nTwycross, Meg '\"My Visor is Philemon's Roof\" in Le _Th\u00e9\u00e2tre et la cit\u00e9 dans l'Europe m\u00e9di\u00e9vale_ edited J.C. Aubailly and E. Du Bruck (Fifteenth-century Studies 13; Stuttgart: Heinz, 1998) 335\u201346.\n\nTwycross, Meg 'Some Approaches to Dramatic Fesivity, especially Processions' in _Festive Drama_ edited Twycross (Cambridge: Brewer, 1996) 1\u201333.\n\nTwycross, Meg 'The theatricality of medieval English plays' in _The Cambridge Companion to Medieval English Theatre_ edited Richard Beadle (Cambridge University Press, 1994) 37\u201384.\n\nTwycross, Meg '\"With what body shall they come?\": Black and White Souls in the Mystery Plays' in _Langland, the Mystics, and the Medieval Religious Tradition_ edited Helen Phillips (Cambridge: Brewer, 1990) 271\u2013867.\n\nTydeman, Bill 'Stanislavski in the Garden of Gethsemane' _Medieval English Theatre 5:1_ (1983) 53\u20137.\n\nTydeman, W.M. _The Theatre in the Middle Ages_ (Cambridge University Press, 1978).\n\nTyndale, William _The Whole Workes of W. Tyndall, Iohn Frith, and Doct. Barnes, three worthy Martyrs, and principall teachers of the Churche of England_... (London: John Daye, 1573).\n\nUre, Peter 'The Looking-glass of _Richard II' Philological Quarterly 34_ (1955).\n\nValdivia, Diego P\u00e9rez de _Platica \u00f3 lecion de las mascaras_ (Salamanca: Universidad, 1583).\n\nVale, Juliet _Edward III and Chivalry: Chivalric Society and its Context 1270\u20131350_ (Woodbridge: Boy dell Press, 1982).\n\nVale, Malcolm _War and Chivalry: Warfare and Aristocratic Culture in England, France, and Burgundy at the End of the Middle Ages_ (London: Duckworth, 1981).\n\nVaragine (Voragine), Jacobus a _Legenda aurea_ edited Th. Graesse (Dresden and Leipzig: Arnold, 1846).\n\nVasari, Giorgio _Lives of the Painters, Sculptors and Architects_ translated A.B. Hinds, 4 vols (London: Dent, 1927).\n\nVasari, Giorgio _Le vite de' piu eccellenti pittori, scultori e architettori_ edited R Bettarini and P Barocchi (Florence: Sansoni, 1976\u2013).\n\nVergilius Maro, Publius (Virgil) _Eclogues_ in _Opera_ edited F.A. Hirtzel (Oxford: Clarendon Press, 1900).\n\nVergilius Maro, Publius (Virgil) _Georgics_ edited H. Rushton Fairclough (Loeb; London: Heinemann, 1960).\n\nVergil Urbinatis, Polydore _An Abridgemente of the Notable Worke of Polidore Virgile_ edited Thomas Langley (London: John Tisdale, 1560).\n\nVergil Urbinatis, Polydore _Beginnings and Discoveries: Polydore Vergil's 'De Inventoribus Rerum'_ translated Beno Weiss and Louis P\u00ebrez (Nieuwkoop: De Graaf, 1997).\n\nVergil Urbinatis, Polydore _De rerum inventoribus libri octo_ (Basel, J. Bebelius, 1532).\n\nVernel, H.S. _Inconsistencies in Greek and Roman Religion Volume 2: Transition and Reversal in Myth and Ritual_ (Leiden: Brill, 1994).\n\nVincent, of Beauvais _Speculum quadruplex sive speculum maius_ 4 vols (Graz: Akademische Druck-und Verlagsanstalt, 1964\u201365; facsimile reprint of Douai: Balthasar Bellerus, 1624): vol. 1 _Speculum naturale;_ vol. 2 _Speculum doctrinale;_ vol. 3 _Speculum morale;_ vol. 4 _Speculum historiale_.\n\n_Violence and Civil Disorder in Italian Cities 1200\u20131500_ edited L. Martines (Berkeley: University of California Press, 1972).\n\nVitale-Brovarone, A. 'Devant et derri\u00e8re le rideau: mise en sc\u00e8ne et secretz dans le cahier d'un r\u00e9gisseur proven\u00e7al du Moyen Age' in _Atti del IV Colloquio della Soci\u00e9t\u00e9 Internationale pour l'Etude du Th\u00e9\u00e2tre M\u00e9di\u00e9val_ (Viterbo: Centro Studi del Teatro Medioevale e Rinascimentale, 1983) 459\u201361.\n\nVives, Juan Luis _De institutione feminae christianae_ in _Opera_ (Basle: Episcopius, 1555).\n\nVives, Juan Luis 'Veritas fucata' in _Opera_ (Basle: Episcopius, 1555) 2: 127\u201330.\n\nVoragine, Jacobus de _see_ Varagine, Jacobus a.\n\nVries, Jan de _Altnordisches Etymologisches W\u00f6rterbuch_ (Leiden: Brill, 1962).\n\nVries, Jan de _Nederlands Etymologisch Woordenboek_ (Leiden: Brill, 1971).\n\nWager, Lewis _The Life and Repentaunce of Marie Magdalene_ edited F.J. Carpenter (The Decennial Publications of the University of Chicago, 1902).\n\nWager, William _The Longer Thou Livest the More Fool Thou Art_ edited R. Mark Benbow (London: Edward Arnold, 1968).\n\nWalker, Gilbert 'A Manifest Detection of Dice-play' in _The Elizabethan Underworld_ edited A.V. Judges (London: Routledge, 1930) 26\u201350.\n\nWalker, Greg _Persuasive Fictions: Faction, Faith and Political Culture in the Reign of Henry VIII_ (Aldershot: Scolar Press, 1996).\n\nWalsingham, Thomas _Historia anglicana_ edited H.J. Riley _Rolls Series 28A_ (1863).\n\nWapull, George _The Tide Tarrieth No Man_ edited Ernst R\u00fchl _Shakespeare Jahrbuch 43_ (1907).\n\nWatson, Henry _The grete Shyppe of Fooles of this worlde_ (Westminster: Wynkyn de Worde, 1517).\n\nWebber Jones, Leslie and C.R. Morey _The Miniatures of the Manuscripts of Terence Prior to the Thirteenth Century_ (Princeton University Press, 1931).\n\nWelsford, Enid _The Court Masque_ (New York: Russell and Russell, 1962).\n\nWestfall, Suzanne R. _Patrons and Performance: Early Tudor Household Revels_ (Oxford: Clarendon Press, 1990).\n\n_The Westminster Chronicle 1381\u20131394_ edited and translated L.C. Hector and Barbara Harvey (Oxford: Clarendon Press, 1982).\n\nWhiting, Bartlett Jere _Proverbs Sentences and Proverbial Phrases from English Writings Mainly Before 1500_ (Cambridge, Mass: Harvard University Press, 1968).\n\nWickham, Glynne _Early English Stages: 1300\u20131576_ 2 vols (London: Routledge and Kegan Paul, 1966).\n\nWiles, David _The Masks of Menander_ (Cambridge University Press, 1991).\n\nWilliam of Wadington _Manuel des pechiez_ see Mannyng of Brunne, Robert _Handlyng synne_... _with_... _William of Wadington's 'Manuel des pechiez'_ edited Frederick J. Furnivall.\n\nWillis, Ralph _Mount Tabor_ (London: R. B., 1639).\n\nWilson, F.P. _The English Drama 1485\u20131585_ (Oxford: Clarendon Press, 1969).\n\nWilson, R. _The Three Ladies of London_ in Robert Dodsley _A Select Collection of Old Plays_ edited W.C. Hazlitt, 15 vols (London: 1874\u201376; reprinted in 7 vols New York: Benjamin Blom, 1964) 6: 245\u2013370 (Blom 3: 245\u2013370).\n\nWilson, R. _The Three Lords and Ladies of London_ in Robert Dodsley _A Select Collection of Old Plays_ edited W.C. Hazlitt, 15 vols (London: 1874\u201376; reprinted in 7 vols New York: Benjamin Blom, 1964) 6: 371\u2013502 (Blom 3: 371\u2013502).\n\nWind, Edgar _Pagan Mysteries in the Renaissance_ (London: Faber, 2nd edition 1968).\n\n_Wisdom_ in _The Macro Plays_ edited Mark Eccles _EETS 262_ (1969) 113\u201352.\n\nWitbington, Robert _English Pageantry: an Historical Outline_ 2 vols (New York: Arno, 1980: reprint of New Haven: Harvard University Press, 1918\u201320).\n\n_Woman Defamed and Woman Defended_ edited Alcuin Blamires (Oxford: Clarendon Press, 1992).\n\nWoodforde, Christopher _The Norwich School of Glass-Painting in the Fifteenth Century_ (London: Oxford University Press, 1950).\n\nWoodforde, Christopher _Stained Glass in Somerset 1250\u20131850_ (Oxford University Press 1946; reprinted Bath: Kingsmead, 1970).\n\nWoolf, Rosemary _The English Mystery Plays_ (London: Routledge and Kegan Paul, 1972).\n\nWorde, Wynkyn de _The Maner of the tryumphe at Caleys and Bulleyn_ (London: Wynkyn de Worde, 1532).\n\nWotton, Henry A _Courtlie Controversie of Cupid's Cautels translated out of the French_ (London: F. Coldocke and H. Bynneman, 1578).\n\nWright, Thomas _Anglo-Saxon and Old English Vocabularies_ edited R.P. W\u00fclcker, 2 vols (London: Trubner, 1884).\n\nWyatt, Diana 'The Pageant Waggon, Beverley' _Medieval English Theatre 1:2_ (1979) 56\u20137.\n\nWycliffe, John _The English Works of Wyclif Hitherto Unprinted_ edited F.D. Matthew _EETS OS 74_ (1880; revised edition 1902).\n\nWycliffe, John _Opus evangelicum_ edited Johann Loserth, 4 vols in 2 (Wyclif's Latin Works 15: London: Wyclif Society, 1895).\n\nWycliffe, John _Polemical Works in Latin_ edited Rudolf Buddensieg, 2 vols (Wyclif Society; London: Tr\u00fcbner, 1882\u201383).\n\nWycliffe, John _Sermones_ edited Johann Loserth, 4 vols (London: Wyclif Society, 1887\u201390).\n\nWycliffe, John T _ractatus de blasphemia_ edited Michael H. Dziewecki (WycliPs Latin Works 13; London: Trubner for the Wyclif Society, 1893).\n\n_The York Plays_ edited Richard Beadle (London: Edward Arnold, 1982).\n\nYoung, Alan _Tudor and Jacobean Tournaments_ (London: Philip, 1987).\n\nYoung, Karl _The Drama of the Medieval Church_ 2 vols (Oxford: Clarendon Press, 1933).\n\nYver, Jaques _Le Printemps d'Iver_ (Paris: Jean Ruelle, 1572).\n\nZambotto, Bernardino _Diario ferrarese dall'anno 1476 sino al 1504_ edited Guiseppe Pardi: Appendice al _Diario ferrarese di autori incerti_ (Rerum Italicarum Scriptores edited Muratori, 24, Part 7; Bologna: Zanichelli, 1934\u201336).\n\nZinsli, Paul _Manuels Totentanz_ (Bern: Haupt, 1979).\nIndex\n\nAbbeys of Misrule\u00b7\n\nAbbot of Bonaccord\u00b7\n\nAbbot of Unreason\u00b7 , ,\n\nAbbots Bromley Horn Dance\u00b7\n\nAberdeen, guising (1605)\u00b7\n\nAcre, tournament for coronation of Henry of Cyprus (1286)\u00b7\n\nAct of Parliament _agaynst disguysed persons and wearing of visours_ (1511)\u00b7 , , , ,\n\n\u00c6lfric _Catholic Homilies_ \u00b7\n\nAeschylus\u00b7\n\nAlain de Lille, _Ars praedicandi_ \u00b7 ,\n\nAldhelm, Saint\n\n_De virginitate_ \u00b7 \u2013\n\n_Epistola III ad Eadfridum_ \u00b7\n\nAll Blacks, New Zealand rugby team\u00b7\n\n_All for Money_. _see_ Lupton, Thomas\n\nallegorical plays. _see_ morality plays\n\nallegory and emblem\u00b7 , , \u2013, , , , \u2013. see Plate 25\u00b7 . see _also_ emblem books\n\nin tournaments\u00b7 , ,\n\nmasks as emblems, in\n\nart and literature\u00b7 , , \u2013, \u2013, , , . see Plate 28\u00b7 ; emblem books\u00b7 \u2013, ; masked theatre\u00b7 \u2013, , ; morality plays\u00b7 , , , \u2013, , , , \u2013, \u2013\n\nsign and symbol\u00b7 \u2013\n\nAllen, Rowland, mouldman\u00b7\n\nAlmains (Germans). see masked characters; disguisings; Germany\n\nAlsloot, Denis van, _Triumph of Isabella_ (1615)\u00b7 , , . see Plate 21\u00b7\n\nAmbrose, Saint, of Milan\u00b7\n\nAmmon, Hans, artist. see Plate 2\u00b7\n\namorous masking\u00b7 , \u201390\n\nat Calais (1532)\u00b7 \u2013\n\ncostume\u00b7 ,\n\nafter the manner of Italy\u00b7 ;\n\narmed men\u00b7 ; nymph\u00b7\n\nHenry VIII\u00b7 \u2013, \u2013\n\nhouse-visits\u00b7 \u2013\n\nin _Aresta amorum_ \u00b7 \u2013\n\nin England\u00b7 \u2013\n\nat Beaulieu (1519)\u00b7 ; at\n\nGreenwich (1512); after the\n\nmanner of Italy\u00b7 , ; in\n\nDevon\u00b7\n\nin France\u00b7 \u2013\n\nin Italy\u00b7 \u2013\n\nat Ferrara\u00b7 ; at Milan\u00b7 ; at\n\nVenice\u00b7 , ; at Verona, in\n\n_Romeo and Juliet_ story\u00b7 , ,\n\nin literature and drama\u00b7 \u2013\n\nLyly's _Euphues_ \u00b7 , ;\n\nMarston's _Insatiate Countess_ \u00b7 ;\n\nPettie's _Petite Pallace_ \u00b7 ;\n\nShakespeare's _Henry VIII_ \u00b7 ,\n\nLove's _Labour's Lost_ \u00b7 \u2013, _Much_\n\n_Ado about Nothing_ \u00b7 \u2013, _Romeo and Juliet_ \u00b7 \u2013\n\nmasked men and unmasked women. _see_ masked and unmasked\n\nmasked visitors and unmasked house-holders. _see_ masked and unmasked\n\nmasking season\u00b7 , ,\n\npolitical subtexts\u00b7 \u2013\n\nrules and etiquette\u00b7 \u2013,\n\nunmasking\u00b7 , , ,\n\nin _Romeo and Juliet_ story\u00b7 ; of Anne Boleyn\u00b7\n\n_Anglia deformata and Anglia restituta_ , lost morality play, at Cambridge (1553).260\n\nAnglo-Saxon\n\nmasking\u00b7 16\u2013. see FlG. \u00b7\n\npaganism\u00b7 \u2013, \u2013,\n\nSutton Hoo helmet\u00b7 16\u2013, . _see_ FIG. 1\u00b7 . _see_ also helmets, Sutton Hoo\n\nAnima, character in _Wisdom_ \u00b7 ,\n\nmask as sign of corruption\u00b7 , , , ,\n\nmasked like Wisdom\u00b7 , ,\n\nAnjou, Ren\u00e9 d'. _see_ Ren\u00e9 I, roi d'Anjou\n\n_Anonimalle Chronicle_ \u00b7\n\nanti-Catholic mask, at Cambridge, before Elizabeth I (1564)\u00b7\n\nAntonio, character in Shakespeare's _Much Ado about Nothing_ \u00b7\n\nAntwerp, carnival\u00b7\n\nAquinas, Saint Thomas\n\n_Catena aurea_ , Herod's devil persona\u00b7\n\n_Super evangelium_ S. _Matthaei_ \u00b7  on hypocrites\u00b7 ,\n\nArbeau, Thoinot, _Orch\u00e9sographie_ , links dances and masquerades\u00b7\n\n_Aresta amorum_. _see_ Auvergne, Martial d', and Aurigny, Gilles d'; _also_ amorous masking\n\nAristophanes, _Plutus_ \u00b7\n\nAristotle, Pseudo-, _Physiognomonica_ \u00b7\n\n_Arrets d'amours_. _seeAresta amorum_\n\nArt, character in Lupton's _All for Money_ \u00b7\n\nartefacts, surviving\u00b7 , , , , , , , , . see Plate 23\u00b7 , Plate 12\u00b7 , Plate 7\u00b7\n\nArthur Plantagenet, Lord Lisle. _see_ Lisle\n\nArthur, Prince of Wales, son of Henry VII\u00b7 , , , ,\n\nAsh Wednesday\u00b7 , ,\n\nAsterius, Bishop of Amaseia\u00b7\n\nAugustine, Pseudo-\n\nsermon on Kalends\u00b7\n\n_Sermon on Matthew_\u00b7 , ,\n\nAugustine, Saint, Bishop of Hippo\u00b7\n\n_City of God_ \u00b7 293\n\non _daemones_ \u00b7 ,\n\nAurigny, Gilles d', addition to _Aresta amorum_ \u00b7\n\nAustria\n\ndevil-masks, traditional\u00b7 , , . _see_ FIG. 7\u00b7\n\n_Perchten_ \u00b7\n\nAuton, Jean d', _Chroniques de Louis XII_ , disguisings in national costume (1501)\u00b7\n\nAutun\n\nFeast of Fools\u00b7\n\nRomanesque devil carving, FIG. 10\u00b7\n\nAuvergne, Martial d', _Aresta amorum_ \u00b7 \u2013, ,\n\nAvarice\n\n('Giericheyt'), character in Haarlem Rhetoricians' play (1606)\u00b7\n\nVice character in _Respublica_ \u00b7\n\nAvignon\n\ncarnival\u00b7\n\n_Presentation of the Virgin_ by de Mezi\u00e8res (1385)\u00b7\n\nbabooneries (gargoyles or grotesques)\u00b7 ,\n\nBacup Nutters\u00b7\n\nBadius Ascensius, Joachim, edition of Terence's _Comedies_ \u00b7 , ,\n\non contemporary masked acting\u00b7 \u2013\n\nBakhtin, Mikhail\u00b7 , , ,\n\n_Bal des Ardents_ (1392). _see_ disguisings\n\nBaldwin, William\u00b7\n\nBale, John\u00b7\n\n_King Johan_ \u00b7 ,\n\n_Three Laws_ , masking as sign of corruption\u00b7 \u2013\n\nBampton, Cumbria, Christmas misrule\u00b7\n\nBandello, Matteo, novella on _Romeo and Juliet_ \u00b7 , ,\n\nBarcelona, Little Stag\u00b7\n\nBarclay, Alexander, _Ship of Fools_ , translation of Sebastian Brant's _Narrenschiff_ \u00b7 , ,\n\nBarnes, Barnabe, _The Devil's Charter_ \u00b7\n\nBarthes, Roland, on 'density of signs'\u00b7\n\nBartholomew, Bishop of Exeter\u00b7\n\nBartyllmewe, the haberdasher\u00b7\n\n_Bassarus_ , Latin Shrovetide school play\u00b7 \u2013,\n\nBattle between Carnival and Lent\u00b7 , . _see also_ Bruegel\n\nbear\n\ndancing\u00b7 , ,\n\nfolk-masking figure\u00b7 ,\n\nin war dance. _see also_ FIG. 3\u00b7\n\nbeards\u00b7 \u2013\n\nas disguise\u00b7 \u2013\n\nbearded characters Almains\u00b7 , ; bearded men (disguising)\u00b7 , , , ; fishers\u00b7 ; followers of Maintenance\u00b7 ; foresters\u00b7 ; God: in proverb\u00b7 , Wisdom, in _Wisdom_ \u00b7 , , , , ; Hansards\u00b7 ; hermits\u00b7 ; necromancers\u00b7 ; old men: Chester Joseph\u00b7 , , Chester _Primus Pastor_ \u00b7 , in disguising\u00b7 , ; Rafe Roister\u00b7 ; shepherds in disguising\u00b7 ; Tom Tosspot\u00b7 ; whiskered Oriental\u00b7\n\nbeard-making\n\ncurling\u00b7 , , , , ;\n\nplaiting, flossing, teasing\u00b7 , ; purling\u00b7\n\ncolours, various\u00b7 ,\n\nblack\u00b7 : for shepherds\u00b7 ; gold\u00b7 : for Almains\u00b7 , , for shepherds\u00b7 , for Wisdom (Christ)\u00b7 , , , , ; red\u00b7 : for followers of Maintenance\u00b7 , , ; silver\u00b7 : for aged men\u00b7 , for hermits\u00b7 , for shepherds\u00b7 ; white\u00b7 , : for aged men\u00b7\n\nin charivari\u00b7 ,\n\nin mumming\u00b7 ,\n\nmarquesotted (with whiskers only), for an Oriental and for Hansards\u00b7\n\nmaterials\u00b7 \u2013\n\ncow's tails, curled\u00b7 ; deer's tail\u00b7 ; flax, for God (proverb)\u00b7 ; gold cypress, curled\u00b7 , , , , ; gold damask braid\u00b7 , : 'corrsyng' (plaited)\u00b7 , flossed or teased\u00b7 ; gold wire\u00b7 , ; horsehair\u00b7 , : horse-tails\u00b7 ; linen thread\u00b7 ; silk: black\u00b7 , green flossed\u00b7 ; silver damask braid\u00b7 , ; silver wire\u00b7 ,\n\non masks\u00b7 , , , , , , , , , , , \u2013, , \u2013\n\nrole in doubling\u00b7\n\nstrings\u00b7 ,\n\nsupplied by haberdasher\u00b7 , ,\n\nBeatrice, character in Dante's _Paradiso_ \u00b7  Shakespeare's _Much Ado about Nothing_ \u00b7\n\nBeauchamp, Richard, Earl of Warwick\n\n_Beauchamp Pageants_. _see_ PLATE 14\u00b7\n\njousts at Guisnes incognito\u00b7\n\nBeaulieu, masking of ancient knights (1519)\u00b7\n\nBecon, Thomas, _The Reliques of Rome_ \u00b7\n\nBede, The Venerable, _De temporum ratione_ :\u00b7\n\nbeheading of theatrical giants\n\nin Merbury's _Marriage between Wit and Wisdom_ \u00b7\n\nin Redford's _Wit and Science_ \u00b7\n\nin _Sir Gawain and the Green Knight_ \u00b7\n\nBeloved of the World, character in Rhetoricians' play, half-wolf, half-human\u00b7\n\nBelyal, character in _The Castle of Perseverance_ \u00b7 , , . _see also_ Devil\n\nfire-breathing\u00b7\n\nBenedick, character in Shakespeare's _Much Ado about Nothing_ \u00b7\n\nBenedictine Revival\u00b7\n\nBening, Simon, illuminator, calendar illustrations showing disguisings\u00b7 . see PLATE 17\u00b7 , PLATE 19\u00b7\n\nBenvolio, character in Shakespeare's _Romeo and Juliet_ \u00b7\n\n_Beowulf_ \u00b7 , ,\n\nBerghe, Jan van den, _Wellustige Mensch_ ('Voluptuous Man'), Rhetoricians' play\u00b7\n\nBern, Switzerland, _Dance of Death_ mural by Niklaus Manuel, later dramatised. see Dance of Death\n\nBerowne, character in Shakespeare's _Love's Labour's Lost_ \u00b7 ,\n\nBerri, Jeanne de Boulogne, Duchesse de\u00b7 \u2013. see PLATE 18\u00b7\n\n_berserkir_ \u00b7 ,\n\nBeverley, Yorkshire\n\nblack Herod\u00b7\n\nFeast of Fools\u00b7 ,\n\nPlay of _Paradise_ , gilded(?) mask\u00b7\n\nPlay of the _Resurrection_ in churchyard (before 1220)\u00b7 ,\n\npolitical terrorism under cover of mumming (1537)\u00b7\n\nBibbiena, Cardinal Bernardo\u00b7\n\n_bifrons. see_ double-faced characters; mask types, two-faced masks\n\nBinning, Walter, domestic and theatrical painter\u00b7\n\nBlack Prince. _see_ Edward, Prince of Wales, the Black Prince\n\nblackened faces. _see_ face-painting\n\nblack-face make-up. _see_ face-painting\n\nBoccaccio, Giovanni, _Decameron_ \u00b7\n\nBodley _Romance of Alexander_ \u00b7 , . _see_ PLATE 1B\u00b7 , PLATE 1C\u00b7\n\nBoece, Hector, _Chronicles of Scodand_ \u00b7\n\nBoethius, Anicius Manlius Severinus\n\n_Consolation of Philosophy_ , Circe myth\u00b7 ,\n\nOn _the Two Natures and One Person of Jesus Christ_ \u00b7\n\nBoissard, Jean Jacques, _Emblematum liber_ Prudence with mask\u00b7\n\nBoissard, Robert, _Mascarades_. _see also_ Gheyn, Jacob II de\n\ncopied from Jacob de Gheyn II\u00b7 ,\n\nnetted mask with spangles. _see_ FIG. 14.\n\nOriental mask with whiskers\u00b7\n\n_Speciem pulchritudinis_ \u00b7\n\n_Venefica Circe_ \u00b7 . _see also_ PLATE 25\u00b7\n\nBoleyn, Anne\u00b7 , , \u2013\n\nas character in Shakespeare's _King Henry VIII_ \u00b7\n\nBologna, mask-making centre\u00b7\n\nBook of Homilies\u00b7 , 308\n\nBook of Kells. _see_ FIG. 11\u00b7\n\nBook of Revelation, face like the sun\u00b7\n\nBoron, Robert de, _Histoire du Graal_. _see_ PLATE 1A\u00b7\n\nBosch, Hieronymus\u00b7\n\nBottom the Weaver, character in Shakespeare's _Midsummer Night's Dream_ \u00b7 ,\n\nBouchet, Guillaume, _Les Serees_ \u00b7 , ,\n\nBourbon, \u00c9tienne de, _Anecdotes historiques_ \u00b7 , ,\n\npainted masks called _artifices_ \u00b7 ,\n\nBourchier, Henry, Earl of Essex\u00b7\n\nBourges, _Monstre_ (1536)\u00b7\n\ndevils, fire-breathing and two-faced\n\nBower, Walter, _Scotichronicon._\n\n_Bowge of Court, The_. _see_ Skelton, John\n\nBoy Bishop\u00b7\n\nBoyet, character in Shakespeare's _Love's Labour's Lost_ \u00b7\n\nBraga, Galicia\u00b7\n\nBrandon, Charles, Duke of Suffolk\u00b7 ,\n\nBrant, Sebastian, _Narrenschiff_ \u00b7 , , , , . _see also_ Barclay, Alexander, _Ship of Fools_; Locher, Jacobus\n\nBrecht, Bertold\u00b7\n\nBreuil, Abb\u00e9 Henri\u00b7\n\nBristol, prohibitions against mumming\u00b7\n\nBroke, Arthur, _Romeus and Iuliet_ \u00b7 \u2013,\n\nBromyard, John, _Summa praedicantium_ \u00b7 , ,\n\nBruegel, Pieter\u00b7\n\n_Battle between Carnival and Lent_ \u00b7 , , \u2013. _see_ PLATE 5\u00b7  white-faced mummers\u00b7 ,\n\n_Flemish Proverbs_ \u00b7\n\nBrussels, Royal Entry of Joanna the Mad (1496)\u00b7\n\nBruyn, Abraham de, _Omnium pene Europe... gentium habitus_. see PLATE 30\u00b7\n\nBurchard of Worms\u00b7 , , ,\n\nBurchard, John, papal master of ceremonies\u00b7 , ,\n\nBurgkmair, Hans\n\nself-portrait with Death in mirror\u00b7\n\n_Triumph of Maximilian_ \u00b7 . see FIG. 13\u00b7\n\n_Weissk\u00fcnig, Der_ \u00b7\n\nBurgundian court\u00b7\n\ninfluence on England\u00b7\n\ntournaments\u00b7 ,\n\nBurry Man \u00b7 _see_ Queensferry Burry Man\n\nBus, Gervais de, _Roman de Fauvel_ \u00b7 , 47\n\nByzantium\n\ncourt ceremonies, tenth century\u00b7\n\nGothic weapon dance\u00b7 \u2013,\n\nmasked (?) entertainers\u00b7 190\n\nsource of reindeer antlers for Abbots Bromley Horn Dance\u00b7\n\nCaesarius of Heisterbach\u00b7\n\nCaesarius, Bishop of Arles\u00b7 , , , , , , , , , , , , ,\n\nCalenus, Nicolaus, _In detestationem_ \u00b7 , 308\n\nCambridge\n\n_Anglia deformata and Anglia restituta_ , lost morality play (1553)\u00b7\n\nanti-Catholic mask before Elizabeth I (1564)\u00b7\n\ncollege inventories of players' costumes\u00b7 ,\n\nSt John's College\n\nblack face of paste (1548)\u00b7 ;\n\ndevil costume\u00b7 ;\n\ngold face and crown for Jupiter (1548)\u00b7 , ;\n\nperformance of Aristophanes'\n\n_Plutus_ (1536)\u00b7\n\nCandlemas \u00b7 _see_ Feast of Candlemas\n\nCanterbury, Kent, tournament and (?) disguisings (1348)\u00b7 ,\n\nCapulet, Old, character in Shakespeare's _Romeo and Juliet_ \u00b7\n\ncarnival\u00b7 , , , , , , \u2013, ,\n\nactivities\n\nfor the young\u00b7 , , , ;\n\ninformal\u00b7 , \u2013, , , , ;\n\norganised\u00b7 , \u2013,\n\nblackened faces\u00b7 , , . see _also_ face-painting _headword_\n\ncomic aggression\u00b7 , , , . _see also_ street violence _below caccia_\u00b7 , , , , ; castle-smashing\u00b7 , , , ; eggthrowing and egg-fights\u00b7 , , , , , . _see_ PLATE 2\u00b7 ; orange-fights\u00b7 , , ; practical jokes\u00b7 ; _schoduvel_ \u00b7 , ; snowball-fights\u00b7\n\ncostume. see _also_ masked characters animals\u00b7 ; bought teeth\u00b7 ; cross-dressing\u00b7 , , , , 78; devils\u00b7 ; donkey skin\u00b7 ; erotic costumes\u00b7 ; fantastic costumes\u00b7 ; hired hair\u00b7 ; inside-out garments\u00b7 , ; Venetian domino\u00b7\n\n\u00e9lite culture and masking\u00b7 , , , , , , ,\n\nfools\u00b7 , ,\n\ngeographical distribution\u00b7\n\nin Britain\u00b7 , little evidence\u00b7 , , 78\u2013; in France\u00b7 \u2013, : Avignon\u00b7 , Marseilles\u00b7 , , Paris\u00b7 , , , Romans (1580) , ; in Germany\u00b7 \u2013, \u20138: Mainz\u00b7 , Nuremberg\u00b7 , , : _Schembartlauf_ \u00b7 \u2013. _see_ PLATE 2\u00b7 , _schoduvel_ \u00b7 , ; Italy\u00b7 \u2013, \u2013: Ferrara\u00b7 , , , , , Florence\u00b7 , , : processions\u00b7 , , , floats designed by Piero di Cosimo\u00b7 , , songs\u00b7 , , ; Rome\u00b7 , , , , , , : cardinals as participants and spectators\u00b7 , , Pope as spectator\u00b7 , races\u00b7 , ; Venice\u00b7 , , , : _caccia_ \u00b7 , , , , , castle-smashing\u00b7 , , , ; in Low Countries\u00b7 \u2013: at Antwerp\u00b7 ; at Ghent\u00b7 ; in Northern Europe\u00b7 \u20138; in Scotland. _see_ guising and guisers; in Southern Europe\u00b7 \u2013; in Spain\u00b7 , , ; in Switzerland, at Zurich, demonic masks\u00b7\n\ninversion\u00b7 , , , , ,\n\nmask types\u00b7 \u2013\n\nskulls\u00b7 , ; with long noses like penises\u00b7\n\nmasked balls\u00b7\n\nmasked characters Amazons\u00b7 ; animals\u00b7 ; birds\u00b7 ; churchmen\u00b7 ; Death\u00b7 , ; devils\u00b7 , , , , . _see_ PLATE 21\u00b7 ; exotic foreigners\u00b7 ; fishermen\u00b7 ; fools\u00b7 , ; Magnificos\u00b7 ; wet nurses\u00b7 ; wild men\u00b7 , ; women\u00b7\n\nmaskers\u00b7 , \u2013. _see_ PLATE 3\u00b7 70 women\u00b7 , , , , , \u2013, 309; young men\u00b7 , , , , ,\n\nmasking\u00b7 ,\n\ncommunal\u00b7 , , , , ; for New Year's gifts\u00b7 ; motivations\u00b7 \u2013; Protestant objections\u00b7 ; Reformation critics\u00b7\n\nMunday, Anthony, on\u00b7 , ,\n\nparody\u00b7 ,\n\npolitical activity\u00b7 ,\n\npopular culture and masking\u00b7 ,\n\nraces\u00b7 , ,\n\nregulations\u00b7 , , , , ,\n\nseason\u00b7 , ,\n\nseen as descendant of the pagan Kalends\u00b7 , ,\n\nsexual licence\u00b7 , , , \u2013\n\nShrove Tuesday\u00b7 , , , , ,\n\nsongs\u00b7 , ,\n\nstreet violence, organised and random\u00b7 , , , . _see_ PLATE 2\u00b7 , PLATE 3\u00b7 70\n\nTasso on\u00b7\n\nterminology\u00b7\n\ntheoretical approaches\u00b7 , ,\n\nurban\u00b7 , , , ,\n\nwomen\n\nas maskers\u00b7 , , , , , \u2013, 309; as spectators\u00b7 , , ; courtesans\u00b7 , ,\n\ncarnivalesque behaviour\u00b7 , ;\n\nmodern theory\u00b7\n\nCarowe, John, property-maker to the Revels\u00b7 ,\n\nCastiglione, Baldassare, _Il Cortegiano_ \u00b7 , , , ,\n\n_Castle of Perseverance, The_ \u00b7 , , , , , , , ,\n\nCatch, character in Merbury's _Marriage between Wit and Wisdom_ \u00b7\n\nCato, character in Gresemund's _Carnisprivii dialogus_ \u00b7 , \u2013\n\ncaul. _see_ mask-making; mask types; mask materials\n\n_cause grasse_. see mock lawsuits\n\nCavendish, George, _The Life and Death of Cardinal Wolsey_ \u00b7 ,\n\nCawarden, Sir Thomas, Master of the Revels\u00b7 ,\n\nCaxton, William, _Pilgrimage of the Soul,_ translation of DeGuileville's _P\u00e8lerinage de l'\u00e2me_ \u00b7\n\nCennini, Cennino, _Il libro dell'arte_ \u00b7\n\nCernunnos\u00b7 ,\n\n_cervulus. see_ Little Stag; folk masking Chaloner, Sir Thomas, translation of Erasmus' _Encomium Moriae_\u00b7 ,\n\nChambers of Rhetoric \u00b7 _see_ Low Countries\n\nChambers, Sir E.K.\u00b7 , , , , , , , , ,\n\nChapuys, Eustace, Imperial ambassador\u00b7\n\ncharivari\u00b7 \u2013\n\ndisguises\n\nbeards\u00b7 , ; cross-dressing\u00b7 ; demons\u00b7 , 47; inside-out garments\u00b7 ; masks\u00b7 , ; interpreted as spirits of the dead\u00b7 47\n\neffigies\u00b7\n\nin the _Roman de Fauvel_ \u00b7\n\nrough music\u00b7\n\nviolence\u00b7 47\n\nCharles VI, King of France, in _Bal des Ardents_ \u00b7 , \u2013\n\nCharles VII, King of France, Royal Entry into Paris (1437)\u00b7\n\nChastity, character in Lindsay's _Satyre of the Thrie Estaitis_ \u00b7\n\nChaucer, Geoffrey, _Parson's Tale_ \u00b7\n\nChaundler, Thomas, _Liber apologeticus_ \u00b7 , \u2013, , . _see also_ mirrors\n\nChester Plays\n\nBanns\u00b7 \u2013\n\nCoopers, _Trial and Flagellation_ Herod's visor\u00b7 , , , ; masks used in doubling?\u00b7 ,\n\nCordwainers, _Passion_ gaolers\u00b7 ; gold-faced Christ\u00b7 , , , , ,\n\nInnkeepers, _Harrowing of Hell_ , hire devil's costume from Weavers\u00b7\n\nPainters, _Shepherds_ Joseph: beard\u00b7 , , face painted\u00b7 ; 'paints to bone the players'\u00b7 ; _Primus Pastor_ , face painted\u00b7\n\nSmiths, _Purification and Doctors_ gold-faced child Jesus ('Little God'). , , \u2013, , , , . _see_ PLATE 24\u00b7\n\nWeavers, _Doomsday'_\n\nChester, prohibition against mumming\u00b7\n\nchoirboys, join in Feast of Fools\u00b7 , ,\n\nChorley, Lancashire, political terrorism under cover of mumming (1536)\u00b7\n\n_Christ's Resurrection_ (1530\u201360)\u00b7\n\n_Christelijcken Ridder_ , Rhetoricians' play\u00b7\n\nChristmas\u00b7  \u00b7 _see also_ mumming; courtly mummings; disguisings\n\nand New-Year's gifts\u00b7 , , , , , ,\n\ncelebrations at Byzantium\u00b7\n\ncharacter in Jonson's _Masque of Christmas_ \u00b7\n\nChristmas games\u00b7 ,\n\nChristmas Kings\u00b7 , , ,\n\nMore as King of Utopia\u00b7\n\ncourtly mummings\n\nby Lydgate\u00b7 , ; _Sir Gawain and the Green Knight_ \u00b7 \u2013\n\nmisrule at Bampton, Cumbria\u00b7\n\nmumming\n\nin England\u00b7 ; in Newfoundland\u00b7 ; visits to court by citizens of London\u00b7\n\nrevels\u00b7 , , , , \u2013, , \u2013, , , ,\n\n_schoduvel_ \u00b7\n\nTwelve Days of Christmas\u00b7 , , , ,\n\nCicero, Marcus Tullius, _De oratore,_ on masked and unmasked acting\u00b7\n\nCimbri, Germanic tribe\u00b7\n\nCirce, enchantress, transformation of Odysseus' followers, moral interpretation\u00b7 ,  \u00b7 _see also_ PLATE 25\u00b7\n\nclassical theatre\u00b7 ,\n\ncomedy \u00b7 _see also_ Terence Greek\u00b7 , , ,\n\nmasked characters\n\nAerope\u00b7 ; Ajax\u00b7 ; comic Father\u00b7 ; Cybele\u00b7 ; Gnatho\u00b7 ; Hercules\u00b7 , ; Jupiter\u00b7 ; Medea\u00b7 ; parasite\u00b7 ; Phaedria\u00b7 ; Thraso\u00b7 ; Venus\u00b7\n\nmasks\u00b7 , , \u2013, 290\u2013 comic masks, double expressions\u00b7 ; god-masks\u00b7 , , : in _pompa circensis_ \u00b7 ; invention of masks\u00b7 ; medieval images\u00b7 , \u2013. _see_ PLATE 29\u00b7 ; painted strong colours\u00b7 290; said to amplify actor's voice\u00b7 ; stock characters\u00b7 ; tragic masks\u00b7\n\nmedieval understanding of\u00b7 \u2013,  compared with late-medieval masking\u00b7 \u2013\n\nreconstructions by medieval artists\u00b7 , \u2013\n\nRoman\u00b7 \u2013,\n\nanti-theatrical polemic \u00b7 _see_ Early Christian writers Atellan farces\u00b7 , 190; contemporary descriptions and theory\u00b7 \u2013, 290; cross-dressing (female roles)\u00b7 , ; masked actors\u00b7 , \u2013: _mimus_ \u00b7 , Vitalis, not masked\u00b7 ; _pantomimus_ \u00b7 , , , ; Terence illustrations\u00b7 , , 293. _see_ PLATE 29\u00b7 292; masks. _see above under_ masks; pantomime\u00b7 , , 293; Terence. _see_ Terence (Publius Terentius Afer)\n\nsixteenth-century revivals\u00b7\n\nClatterbooke, Thomas, tailor hires devils' costumes for Revels\u00b7\n\nClaudian (Claudius Claudianus), _De Bello Gothico_ \u00b7\n\nClaudio, character in Shakespeare's _Much Ado about Nothing_ \u00b7\n\nClement of Alexandria, _Exhortation to the Greeks_ \u00b7\n\nclerk plays \u00b7 _seemiracles_\n\nCloked Collusion, character in Skelton's _Magnificence,_ two faces in one hood\u00b7\n\ncloud machine\u00b7\n\nCock, Hieronymus, engraver\u00b7\n\n_Codex Calendar_ of AD \u00b7\n\nColombe, Michel, sculptor tomb-image of Prudence at Nantes\u00b7\n\nCombe, Thomas, _The Theatre of Fine Devices_ \u00b7\n\n_commedia dell'arte_ \u00b7 _see_ masked theatre traditions, Italian\n\nCommodus, death attributed to masking\u00b7 309\n\nConfusion, character in Wager's _The Longer Thou Livest_ \u00b7\n\nConscience, character in\n\nR.B.'s _Apius and Virginia_ diseased mask\u00b7\n\nWilson's _Three Ladies of London\u00b7_ ,\n\nface painted with ink\u00b7 ,\n\nWilson's _Three Lords and Three Ladies of London_ \u00b7\n\n_Conscius ipse sibi_ (Self-Awareness), with mirror\u00b7\n\nConstantine VII Porphyrogenitos, Emperor of Byzantium\u00b7 ,\n\nConstantine, Emperor. _see_ Emperor Constantine\n\nConstantinople. _see_ Byzantium; Council of Constantinople\n\n_Const'thoonende luweel_. _see_ Low Countries, Chambers of Rhetoric\n\nCornelius, character in Medwall's _Fulgens and Lucres_ \u00b7 ,\n\nCorybantes, supposed inventors of masking\u00b7\n\nCosimo, Piero di, designer of carnival floats in Florence\u00b7 ,\n\ncosmetics\u00b7 _see_ face-painting\n\ncostume\u00b7 _see also_ carnival; cross-dressing; disguisings; folk masking; guising and guisers; morality plays; mumming; mystery plays\n\ncostume books, sixteenth-century\u00b7\n\ncostume materials\n\nanimal skins\u00b7 , , , , ,\n\ndonkey skin\u00b7 ; fur\u00b7 , ; inside-out garments, with fur linings on outside\u00b7\n\nbedlinen cushion-covers\u00b7 ; pillow-cases\u00b7 ; sheets\u00b7 , ,\n\nbraid and trimmings damask\u00b7 , ; damask gold\u00b7 ; ostrich feathers\u00b7 , , , on tournament helms\u00b7 , ; gold ornaments and spangles\u00b7 , , , , ; gold, silver, and precious stones\u00b7\n\ncloth\u00b7  bawdkin\u00b7 ; buckram\u00b7 , ; cloth of gold\u00b7 , , , for shepherds\u00b7 ; cloth of silver\u00b7 ; copper tinsel\u00b7 ; linen, with flax glued on with pitch, for woodwoses\u00b7 , , ; patchwork\u00b7 ; rags\u00b7 , , ; sackcloth\u00b7 ; sarcenet\u00b7 ; satin: crimson, for shepherds\u00b7 , , russet, for hermits\u00b7 ; silk\u00b7 , : green, flossed\u00b7 , ; slived (shredded or skeined), as green moss, for woodwoses\u00b7 ; velvet\u00b7 , , , black fleshings for Moors\u00b7\n\ncurled hair for fishers' caps\u00b7  in amorous maskings\u00b7 , , ,\n\nin disguisings\u00b7 \u2013, , ,\n\nin folk masking\u00b7\n\nnatural substances burrs\u00b7 , , ; feathers stuck on with honey\u00b7 ; hair\u00b7 ; horns\u00b7 ; horse-tails, for wild men\u00b7 ; leaves\u00b7 , , ; lichen\u00b7 ; moss, for wild men\u00b7 , ; straw\u00b7 , , ,\n\npaper\u00b7 ,\n\nnewsprint\u00b7 ; shredded paper\u00b7\n\nreflective\u00b7\n\nCouncils\n\nof Basel (1431)\u00b7\n\nof Constantinople (680)\u00b7 , (692)\u00b7\n\nof Langres, decrees against charivari\u00b7\n\nof Nantes (1431)\u00b7\n\ncourtly masking\u00b7 \u2013\n\ncourtly mummings\n\nas embassy\u00b7 , , ,\n\npursuivant or herald\u00b7 , , , ; _truchman_ or interpreter\u00b7 , ,\n\nas good-luck visit\u00b7\n\nby Lydgate\u00b7 \u2013\n\ncharacters\n\nBacchus, Juno, and Ceres\u00b7 ; cardinals\u00b7 ; diabolical papal legates\u00b7 , , ; Emperor\u00b7 , ; exotic foreigners: blackamoors\u00b7 , Russians\u00b7 , , Turks\u00b7 , ; Fortune as herald\u00b7 ; King David\u00b7 ; knights\u00b7 ; Mercury\u00b7 ; Pope\u00b7 , ; Presenter\u00b7 , , ; Seneca the philosopher\u00b7 ; shepherds\u00b7 ; squires\u00b7\n\ndancing\u00b7\n\ngames of chance dice\u00b7 , , : called _mumchance_ \u00b7 , abandoned\u00b7 ; illustration by Simon Bening\u00b7 _see_ PLATE 19\u00b7 ; in _Sir Gawain and the Green Knight_ \u00b7\n\nheld at\n\nEltbam: assassination attempt (?) on Henry V (1415)\u00b7 , by Londoners to Henry IV (1401)\u00b7 , by Londoners to Richard II (1392\/3 and 1393\/44)\u00b7 , by Lydgate (Christmas 1424)\u00b7 , ; Kennington: by Londoners to Richard II (1377)\u00b7 \u2013; London: Goldsmiths' Company, by Lydgate (Candlemas 1429)\u00b7 , , Mercers' Company, by Lydgate (Twelfth Night 1429)\u00b7 ; Westminster (Shrove Sunday 1510)\u00b7 ; Windsor: assassination attempt on Henry IV (1400)\u00b7\n\nmumchance\u00b7 , . _see_ PLATE 19\u00b7 . _see also_ mumming\n\nmummers as beings from another world\u00b7 , , in _Sir Gawain and the Green Knight_ \u00b7 , Nowhere\u00b7 , the Moon\u00b7 ; as exotic foreigners\u00b7 , , , cannot speak English\u00b7 , , ; Henry VM\u00b7 \u2013\n\npolitical subtexts\u00b7 \u2013, ,\n\npresentation of gifts\u00b7 ,\n\nsilence\u00b7 , ,\n\n_Sir Gawain and the Green Knight_ as courtly mumming\u00b7 \u2013\n\ncourts of love, mock\u00b7\n\nCoventry Plays\n\nCappers, _Harrowing and Resurrection_ \u00b7 ,\n\nDrapers, _Doomsday_ Black (and White) Souls\u00b7 , , ; Christ, leather body-suit\u00b7 ; devil masks\u00b7 ,\n\nSmiths, _Passion_ Christ\u00b7 : gold wig\u00b7 , leather body-suit\u00b7 , ; devil's head\u00b7 , ; face-painting\u00b7 ; Herod: crest\u00b7 , face painted\u00b7 , , Herod's head\u00b7 , , , visor\u00b7 ; metallic foils\u00b7\n\nCovetousness, character in _The Cradle of Security_ \u00b7\n\n_Cradle of Security, The_ \u00b7 , , ,\n\nvices place pig's snout on King\u00b7 , , ,\n\nCresseid, character in Henryson's _Testament of Cresseid_ \u00b7 , , ,\n\ncriminal behaviour, and masks\u00b7 , , , , , , , , , , , , , , , , 309\n\ncross-dressing\u00b7 , \u2013, , , , , , , , , , , , , , , \u00b7 _see also_ carnival; disguisings; folk masking; guising and guisers\n\nbiblical prohibitions\u00b7\n\nby women\u00b7 , , , , , ,\n\nVenetian courtesans\u00b7\n\nfemale roles, male actors, in Roman theatre\u00b7\n\nin Roman Army\u00b7 ,\n\nin Scottish guising\u00b7 \u2013\n\nCroy, Fran\u00e7ois de, _Les Trois conformit\u00e9s_ \u00b7\n\nCuninghame, Jonet, guiser at Perth (1609).88\n\nCuriatius, character in Pettie's _Petite Pallace_ \u00b7\n\nCyprianus, Thascius Caecilianus (Saint Cyprian), _De habitu virginum_ \u00b7 ,\n\n_daemones_ or demons\u00b7 , , , , , , , \u2013\u00b7 _see also_ carnival; charivari; Feast of Fools; folk masking; terminology\n\nDame Sirith\u00b7 190\n\nDamnation, character in Lupton's _All for Money_ \u00b7 ,\n\nDance of Death\u00b7 \u2013\n\nmural at Bern, by Niklaus Manuel, later dramatised (1637\/8), costumes and masks\u00b7 . _see_ PLATE 27\u00b7\n\nmural in Holy Innocents', Paris (1424).247\n\nmural in St Paul's Cathedral, London (1430)\u00b7\n\nDante Alighieri, _Paradis,_ on masks and mirrors\u00b7\n\nDasius. _see_ St Dasius\n\nDavid, King, biblical hero\n\ngiant-killer\u00b7 ;\n\ncharacter in courtly mumming\u00b7\n\nDavid, Jan, _Veridicus Christianus_ , World masked\u00b7\n\nDeath. _see also_ Dance of Death\n\ncharacter in coronation festivities for King of Aragon (1414)\u00b7 ; _Everyman_ \u00b7 ; Hazerswoude play, at Haarlem (1606)\u00b7 . see PLATE 26\u00b7 ; N. Town _Death of Herod_ \u00b7 ; _The Castle of Perseverance_ \u00b7 , , ; _The Pride of Life_ \u00b7\n\ncostume\u00b7 , \u2013. see PLATE 27\u00b7\n\nin de Gheyn's _Masks_ \u00b7 . see PLATE 28\u00b7\n\nin painting by Burgkmair, in mirror\u00b7\n\nDeceit, double-faced\u00b7 ,\n\nDeformity, character in play for coronation of Mary Tudor (1553)\u00b7\n\nDeGuileville, Guillaume de\n\n_P\u00e8me de l'\u00e2me_ \u00b7\n\n_P\u00e8lerinage de la vie humaine_ \u00b7 ,\n\nmirror of conscience\u00b7\n\nDekker, Thomas\n\n_Old Fortunatus_ \u00b7 , , 290\n\n_Whore of Babylon, The_ \u00b7\n\n_demandes d'amour_ \u00b7\n\nDespair, character in Wapull's _The Tide tarrieth_ No Man\u00b7\n\nDetraction, character in DeGuileville's _P\u00e8lerinage_ \u00b7\n\nDeuteronomy : \u00b7 ,\n\nDevil. see _also_ Belyal; Lucifer;\n\nMephostophilis; Satan; Titivullus;\n\ncharacter in\n\nCoventry Cappers' _Harrowing and Resurrection_ \u00b7 ; Coventry Smiths' _Passion_ \u00b7 ; Fulwell's _Like will to Like_ \u00b7 ; Garter's _Virtuous and Godly Susanna_ \u00b7 ; Hazerswoude play, at Haarlem (1606)\u00b7 . see PLATE 26\u2013; Lupton's _All for_ Money\u00b7 ; _The Castle of Perseverance_ \u00b7 , , ,\n\nin morality plays\u00b7 \u2013\n\nin mystery plays\u00b7 \u2013\n\n_Devil is an_ Ass, _The. see_ Jonson, Ben\n\n_Devil's Charter, The. see_ Barnes, Barnabe\n\ndevils\u00b7 , . _see also_ carnival; courtly mumming; Feast of Fools; folk masking; masked characters; morality plays; mystery plays\n\nappearance\n\nanimal ears\u00b7 ; black\u00b7 , ; black faces\u00b7 , \u2013; classical satyr as model\u00b7 ; eyes like saucers\u00b7 , ; horns\u00b7 , ; long red tongue\u00b7 ; quiff of hair\u00b7 , ; teeth\u00b7 \u2013,\n\nGothic, St Martin Coneystreet, York. _see_ FIG. 11\u00b7\n\nin Marlowe's _Faustus_ \u00b7\n\npre-Romanesque\u00b7  Book of Kells. _see_ FIG. 11\u00b7\n\nRomanesque\u00b7  Autun. see FIG. 10\u00b7 ; Winchester Psalter. _see_ FIG. 11\u00b7\n\ndiadems (haloes?)\n\nfor Apostles\u00b7 ,\n\nwith wigs\u00b7 ,\n\nfor God\/Christ\u00b7 , ,\n\non masks of men's heads\u00b7\n\ndice, dicing\u00b7 . see mumming; courtly mummings; Christmas; Kalends; Saturnalia Diomedes, _Ars grammatica_ , on origin of masks\u00b7\n\nDirty Bride, The\u00b7 . see PLATE 5\u00b7\n\nDiscretion, character in _Everyman_ \u00b7\n\ndisguisings\u00b7 , , , , , , \u2013\n\nallegorical scenarios in\u00b7\n\nand tournaments\u00b7 ,\n\nat Canterbury (?) (1348)\u00b7\n\nat court of Louis XII (1501) with national dances\u00b7\n\nat Field of Cloth of Gold (1520)\u00b7\n\nat Greenwich (1512) after the manner of Italy\u00b7 ; (1519)\u00b7 ; (1527)\u00b7 ,\n\nat Guildford (1347)\u00b7 , ,\n\nat Lichfield (?) (1348)\u00b7 , , ,\n\nat London wedding (1562)\u00b7\n\nat New Hall (1520)\u00b7\n\nat Otford (1348)\u00b7 ,\n\nat Richmond, in the Queen's chamber (1510), to entertain Imperial ambassadors\u00b7\n\nat Westminster after tournament (1511)\u00b7 , , ; by Cornish (1493)\u00b7 ; for wedding of Prince Arthur and Katherine of Aragon (1501)\u00b7 , ; of Robin Hood in the Queen's Chamber (1510)\u00b7 ; Shrove Sunday (1510)\u00b7 , ,\n\n_Bal des Ardents_ (1392)\u00b7 , \u2013, , . _see_ PLATE 18\u00b7 ; public reactions to\u00b7 ; seventeenth-century interpretations\u00b7 309\n\ncostume\u00b7 \u2013,\n\naccompanied by masks\u00b7 ; after the manner of Italy\u00b7 ; bagpipes\u00b7 ; cats\u00b7 ; cloth of gold\u00b7 ; cross-dressing\u00b7 ; expensive costumes as magnificence and largesse\u00b7 \u2013; friars\u00b7 , 190; half-and-half costumes\u00b7 ; historical costume\u00b7 ,\u00b7 ; in _Sir Gawain and the Green Knight_ \u00b7 ; Lisle family property at Calais, inventory (1540)\u00b7 , ; materials. _see_ costume materials; medioxes\u00b7 , , , ; men with bats' wings\u00b7 ; national costume\u00b7 , : Almain (German)\u00b7 , , , , Egyptian\u00b7 , , Indian\u00b7 , linked to national dances\u00b7 , Moorish (or blackamoors)\u00b7 , , , , Portuguese\u00b7 , Prussian\u00b7 , Russian\u00b7 , Savoyard\u00b7 , Spanish\u00b7 , , Turkish\u00b7 ; nuns\u00b7 ; sets for dancing teams\u00b7 ; theatrical effects\u00b7 ; wild men or woodwoses\u00b7 , \u2013, , , , , , in _Sir Gawain and the Green Knight_ \u00b7\n\ndancing\u00b7\n\n_daunces disgisi_ \u00b7 , ; in\n\nnational costume\u00b7 ; numbers in\n\ndancing teams\u00b7\n\nguessing identity of performers\u00b7 \u2013\n\nillustrations by Simon Bening\u00b7 . see PLATE 17\u00b7 , PLATE 19\u00b7\n\nmask types. see masks _below;_ mask types _(general)_\n\nmaskers dance with unmasked ladies. _see_ masked and unmasked\n\nmasks (objects)\u00b7 \u2013\n\nmasks (entertainments) of aged men\u00b7 , , , ; of Almains\u00b7 , , , , ; of Amazons\u00b7 ; of angels\u00b7 , , ; of babions (babooneries)\u00b7 ; of bagpipes\u00b7 ; of bearded men\u00b7 , , ; of cats\u00b7 ; of cloth of gold\u00b7 ; of covetous men with long noses\u00b7 , , ; of dragons\u00b7 , \u2013; of Egyptians\u00b7 ; of fishers\u00b7 ; of foresters\u00b7 ; of French maskers (1521)\u00b7 ; of friars\u00b7 ; of Hansards\u00b7 ; of hermits\u00b7 ; of huntresses\u00b7 ; of Indians\u00b7 ; of Irishmen and women\u00b7 ; of medioxes\u00b7 , , , ; of men with bats' wings\u00b7 , , ; of men with diadems\u00b7 ; of men with elephants' heads\u00b7 , , ; of men with lions' heads\u00b7 ; of Moors (or blackamoors)\u00b7 , , , , ; of necromancers\u00b7 ; of netted maskers and ladies. _see_ PLATE 16\u00b7 ; of nuns\u00b7 ; of Nusquams\u00b7 ; of palmers\u00b7 ; of peacocks\u00b7 , ; of priests and hermits\u00b7 ; of savage men\u00b7 ; of Savoyards\u00b7 ; of shepherds\u00b7 , ; of Spaniards (?), in Medwall's _Fulgens and Lucres_ \u00b7 ; of swans\u00b7 , ; of the Three Faculties, in _Wisdom_ \u00b7 ; of Turks\u00b7 , , , ; of wild men or woodwoses\u00b7 , , \u2013, , , , , , ; of women\u00b7 ,  (male performers)\u00b7 , , ,\n\nmeaning of term _disguising_ \u00b7 \u2013\n\npageant cars in\u00b7 , ,\n\nperformers\u00b7 \u2013 citizens\u00b7 \u2013; courtiers\u00b7 ; Emperor Maximilian\u00b7 , . _see_ PLATE 16\u00b7 ; Henry VIII\u00b7 \u2013; professionals from the Chapel Royal\u00b7 ; women\u00b7 , , in _Wisdom_ \u00b7\n\npolitical subtexts\u00b7 , ,\n\nunmasking\u00b7 , , \u2013\n\nDissimulation\n\ncharacter in Wilson's _Three Ladies of London_ \u00b7\n\ndouble-faced\u00b7\n\nDissimuler, character in Skelton's _Bowge of Court_ , two faces in one hood\u00b7\n\n_Dives and Pauper_ \u00b7 , , ,\n\non signs and symbols\u00b7 \u2013\n\nDives, character in Lupton's _All for Money_ \u00b7253\n\nDivine Correction, character in Lindsay's _Satyre of the Thrie Estaitis_ \u00b7\n\nDonatus, Aelius, _Commentary on Terence_ \u00b7 ,\n\nDorset\n\nChristmas Broad\u00b7\n\nOoser\u00b7 , . _see_ FIG. 9\u00b7\n\ndouble-faced characters in art and literature\u00b7 \u2013, , . _see also_ mask types, two-faced\n\nDeceit\u00b7\n\nDissimulation\u00b7\n\nDissimuler in Skelton's _Bowge of Court_.245\n\nFortune\u00b7 ,\n\nFraud\u00b7 , ,\n\nJanus\u00b7 ,\n\nPrudence\u00b7 ,\n\nTime\u00b7\n\nVenus\u00b7\n\ndoubling, use of masks\u00b7 , \u2013,\n\nDudley, Robert, Earl of Leicester, as Prince Pallaphilos, Lord of Misrule for Inner Temple (1561)\u00b7\n\nDundee, wig for Christ\u00b7\n\nDunstable, Beds\n\ntournaments (1334)\u00b7 ; for betrothal of Prince Lionel (1342)\u00b7 ,\n\nduplicity, symbolised by mask\u00b7 , , ,\n\nDuquesnes, Jehan, clog-maker\u00b7\n\nDurandus, William\u00b7 ,\n\nD\u00fcrer, Albrecht\u00b7\n\non carnival in Antwerp\u00b7\n\nEarly Christian writers\n\nanti-theatrical polemic\u00b7 , , \u2013\n\nadopted by Protestant Reformation\u00b7 ,\n\nobjections to popular masking\u00b7 \u2013, , , \u2013\n\nused by medieval and early modern writers\u00b7 ,\n\nEast Anglia, urban Christmas Kings\u00b7\n\nEastfield, Thomas, Mayor of London (1429)\u00b7 ,\n\nEdgecombe, Sir Richard\u00b7\n\nEdinburgh, City of\n\naccounts (1554) for Lindsay's _Satyre_ (?)\u00b7\n\nTournament of the Black Lady (1507\/8)\u00b7\n\nEdward I, King of England\u00b7\n\nEdward III, King of England\u00b7 ,\n\ndisguisings\u00b7 ,  at Canterbury (1348)\u00b7 ; at Christmas\u00b7 \u2013; at Guildford (1347)\u00b7 , , , , , ; at Lichfield (?) (1348)\u00b7 , , , ; at Otford (1348). , , ; craftsmen, helmet-makers\u00b7\n\nrevels. _see_ disguisings _above_\n\ntournaments\u00b7\n\nat Canterbury (1348)\u00b7 , ; at Dunstable (1334), fights as Sir Lyonell\u00b7 ; at Dunstable (1342) for betrothal of Prince Lionel: fights incognito\u00b7 , mottoes on tournament gear\u00b7 ; at Guildford (1347)\u00b7 ; at Lichfield (1348)\u00b7 , , , ; at London: of Mayor and Aldermen (1359)\u00b7 , of Pope and Cardinals, at Smithfield (1343)\u00b7 , , of Tartars, at Cheapside (1331)\u00b7 , , , , of the Seven Deadly Sins (1362)\u00b7\n\nWardrobe accounts\u00b7 , , , , , ,\n\nEdward IV, King of England\u00b7\n\nEdward VI, King of England\u00b7\n\n_Diary._\n\ndisguisings\u00b7 ,  of bagpipes\u00b7 ; of cats\u00b7 ; of medioxes\u00b7 , , ,\n\nLord of Misrule\u00b7 _see_ Ferrers, George\n\nEdward, Prince of Wales, the Black Prince\u00b7\n\nfuneral achievements\u00b7 . _see_ FIG. 4\u00b7\n\nEgbert of York, _Penitential_ \u00b7\n\nElgin, guising and guisers (1598)\u00b7 ; (1604)\u00b7\n\nElizabeth I, Queen of England, anti-Catholic mask at Cambridge (1564)\u00b7\n\nElizabeth of York, Queen of Henry VII\u00b7\n\nElizabeth Woodville, Queen of Edward IV, Royal Entry into London (1464)\u00b7\n\nEltham\n\nChristmas mumming by London Aldermen to Henry IV (1401)\u00b7\n\ncourtly mumming by Lydgate (Christmas 1424)\u00b7 ,\n\nEpiphany mummings by Londoners to Richard II (1392\/3 and 1393\/4)\u00b7\n\nElyot, Sir Thomas, _Dictionary_ (1538)\u00b7 ,\n\nemblem books. _see also_ Boissard, Jean Jacques; Combe, Thomas; David, Jan; Perri\u00e8re, Guillaume de la; Ripa, Cesare; Sambucus, Joannes; allegory and emblem\n\nand masks\u00b7 \u2013, , . _see_ PLATE 28\u00b7\n\nmasked characters Deception\u00b7 ; Fraud\u00b7 ; Pride\u00b7 , ; Prudence\u00b7 ; the World\u00b7 ; strange or distorted heads as moral corruption\u00b7 \u2013\n\nemblems\u00b7 _see_ allegory and emblem\n\nEmperor Constantine, character in _Meriasek_ \u00b7\n\nencounter customs\u00b7 , , , \u2013. _see also_ charivari; mumming\n\nEnd of the World, character in _The Cradle of Security_ \u00b7\n\nEngland\u00b7 _see also_ Anglo-Saxon; amorous masking; charivari; mumming; _and passim_\n\nlittle evidence for carnival\u00b7 , , 78\u2013. _see also_ carnival, in Britain\n\nlittle evidence for secular Feast of Fools\u00b7 ,\n\nentertainers\n\nin Byzantium (tenth century), wear masks\/face-paint\u00b7 190\n\nin England (thirteenth century), wear terrifying masks\u00b7 ,\n\nin France (thirteenth century), wear painted faces called _artifices_ \u00b7 ,\n\nmedieval professionals occasionally masked\u00b7\n\nEnvy, character in DeGuileville's _P\u00e8lerinage_ \u00b7\n\nErasmus, Desiderius\n\n_Encomium Moriae_ , on masked acting\u00b7 , ,\n\ntranslation of Lucian's _Saturnalia_ \u00b7\n\ntranslation of Lucian's _Icaromenippus_ \u00b7\n\nErastus, character in\n\nKyd's _Soliman and Perseda_ \u00b7\n\nWotton's _Courtlie Controversie_ \u00b7\n\nErcole d'Este, Duke of Ferrara\u00b7 , , , ,\n\n_Everyman_ \u00b7 , , ,\n\nEveryman, character in _Everyman_ \u00b7\n\nencounter with Death\u00b7\n\nExeter Cathedral\n\nBishop John de Grandisson\u00b7\n\nFeast of Fools\u00b7\n\nExperience, character in Redford's _Wit and Science_ \u00b7\n\nface-painting\u00b7\n\nas alternative to masking\u00b7 , , , \u2013, \u2013\n\nas sign of moral corruption\u00b7 \u2013, \u2013. _see_ morality plays\n\nblackened faces\u00b7 , ,  Bacup Nutters\u00b7 ; Black Prince of Parradine\u00b7 ; carnival maskers\u00b7 , , ; chimney sweep\u00b7  Corybantes\u00b7 ; Damned Souls\u00b7 , , \u2013, , ; dark-skinned foreigners\u00b7 , \u2013; devils\u00b7 , , , , \u2013; Dirty Bet\u00b7 ; ghosts (the dead)\u00b7 , \u2013; Herod\u00b7 ; interpretations\u00b7 , , , \u2013; Moors\u00b7 , ; mummers\u00b7 , , , , , , , , ; Zwart Piet\u00b7\n\nByzantine entertainers\u00b7 190\n\ncharacters\u00b7 _see also_ blackened faces, gold faces, red faces, shining faces angels\u00b7 \u2013; archangel Raphael\u00b7 , ; Chester Joseph\u00b7 ; Chester _Primus Pastor_ \u00b7 ; gaolers\u00b7 , ; Herod (?)\u00b7 ,\n\ncosmetics\u00b7 \u2013, , \u2013, \u2013 and masks\u00b7 , 308\n\ngold faces child Jesus\u00b7 , , \u2013, , , \u00b7 see PLATES 24\u00b7 ; Christ\u00b7 , , , , , : Transfiguration, in Ingeborg Psalter\u00b7 ; God, in Royal Entry\u00b7\n\nin _miracles_ \u00b7\n\nmaterials\u00b7 \u2013 black: blacking\u00b7 , , burnt cork\u00b7 , charcoal\u00b7 , ,  ink\u00b7 , lampblack\u00b7 : as eye make-up\u00b7 , smoked faces (soot?)\u00b7 , soot\u00b7 , , , , , , : as eye make-up\u00b7 , stoveblacking\u00b7 ; brown: cocoa\u00b7 , wine lees\u00b7 ; metallic paint and foil\u00b7 : gilding\u00b7 , , , , , \u2013, , , , gold leaf\u00b7 , party gold\u00b7 ; red\u00b7 \u2013, : _bresil_ \u00b7 , on paper (soluble)\u00b7 , red lead\u00b7 , reddle\/ruddle\u00b7 , , _sanguis draconis_ (dragon's blood')\u00b7 , _terre rouge_ \u00b7 , vermilion\u00b7 ; same as scenery paint\u00b7 ; white: _ceruse_ ('white lead')\u00b7 , flour\u00b7 , , , , , Spanish white (chalk)\u00b7\n\nmummers\u00b7 _see_ blackened faces; whitened faces; with colours (unspecified)\n\nred faces, angels\u00b7 \u2013,  angel at sepulchre, Ingeborg Psalter\u00b7 ; archangel Raphael with red face\u00b7 , ;\n\nremoved with egg yolk and bran\u00b7  shining faces angels\u00b7 \u2013; Divine Correction in Lindsay's _Satyre(?)_ \u00b7 ; Light of the Gospel in _New Custom_ (?)\u00b7 ; Nemesis in _Respublica_ (?)\u00b7\n\nstage make-up\u00b7 ,  players' faces\u00b7 , , , ; Renaissance discussion\u00b7\n\nwar-paint\u00b7\n\nwhitened faces, mummers\u00b7 , , , , ,\n\nwith colours (unspecified)\u00b7 190 mummers\u00b7 ,\n\nFalsehood, character in Dekker's _Whore of Babylonj_ twin of Truth, spotted\u00b7\n\nFalstaff, character in Shakespeare's Merry _Wives of Windsor_ \u00b7 ,\n\n_Fastnacht_ \u00b7 _see_ Shrove Tuesday; Shrovetide\n\n_Fastnacht_ plays\u00b7 _see_ Shrovetide plays\n\n_fax_ \u00b7 _see_ wigs\n\nFeast of Candlemas (2 February)\u00b7\n\nFeast of Fools\u00b7 ,  \u2013 see _also_ Autun; Bampton; Beverley; Exeter; Gniezno; Laon; Lille; Lincoln; Ottery St Mary; Paris; Prague; Regensburg; Rouen; Soissons; Wells\n\nclerical\u00b7 , \u2013, ,  disguises: cross-dressing\u00b7 , demons\u00b7 , monsters\u00b7 , ; for subdeacons\u00b7 , , ; parody of the Mass\u00b7 ,\n\ninversion of social order\u00b7 ,\n\norganisers \u2013\n\nsecular\u00b7 \u2013, , ,  fools\u00b7\n\nFeast of St John the Evangelist (27 December), for priests\u00b7\n\nFeast of St Stephen (26 December), for deacons\u00b7\n\nFeast of the Circumcision (1 January)\u00b7 , ,\n\nFeast of the Epiphany, 'Twelfth Night' (6 January)\u00b7\n\nFeast of the Holy Innocents (28 December), for choirboys\u00b7 ,\n\nFeebleness, character in play for coronation of Mary Tudor (1553)\u00b7\n\nFenton, Master, character in Shakespeare's _Merry Wives of Windsor_ \u00b7\n\nFerrara\n\ncarnival\u00b7 , , , , \u00b7 _see also_ Ercole d'Este, Duke of Ferrara mask-making centre\u00b7\n\nFerrers, George, Lord of Misrule to Edward VI (1551\/2 and 1552\/3)\u00b7 , \u2013,\n\ngilded visor\u00b7 ,\n\nField of Cloth of Gold (1520)\u00b7\n\nFinglesham Buckle\u00b7 \u00b7 _see_ FIG\u00b7 2\u00b7\n\nFlorence, carnival\u00b7 , , , , , ,\n\nFlorimont, romance character, as tournament character\u00b7\n\nfolk customs\u00b7 , , ,\n\nsupposed pagan origins\u00b7 , , \u2013,\n\nfolk masking\u00b7 \u2013, \u00b7 _see also_ guising and guisers; mumming\n\nAnglo-Saxon, no evidence\u00b7 , ,\n\ncharacters\u00b7 _see also_ disguises _below_ Bear\u00b7 ; Dirty Bet\u00b7 ; Jack a' Lent\u00b7 ; Jack-in-the-Green\u00b7 ; _Perchten_ \u00b7 ; Queensferry Burry Man\u00b7 ; _schoduvel_ \u00b7 , ; St Nicholas\u00b7 ; Straw Bear\u00b7 ; Wild Man\u00b7 , , , ; Zwart Piet\u00b7\n\ncostume\u00b7 , \u00b7 _see also_ costume materials; disguises _below_; mask materials _headword_\n\ncostume materials animal skins\u00b7 , , , , : donkey skin\u00b7 , fur\u00b7 , in 'Gothic' dance\u00b7 ; cloth\u00b7 : patchwork\u00b7 , rags\u00b7 , , , ; feathers stuck on with honey\u00b7 ; horns\u00b7 \u00b7 _see_ FIG\u00b7 9\u00b7 ; natural substances: burrs\u00b7 , , , leaves\u00b7 , , , lichen\u00b7 , moss\u00b7 , , straw\u00b7 , , , , supposed evidence of pagan origins\u00b7 , ; paper\u00b7 , : newsprint\u00b7 , shredded paper\u00b7\n\ndisguises animals\u00b7 , \u2013, , , , , , , , : bear\u00b7 , , Dorset Christmas Broad\u00b7 , farm animals\u00b7 , , , , , Heifer\u00b7 , hobby-horse\u00b7 , , , hobby-stag\u00b7 \u00b7 _see_ PLATE 1A\u00b7 , PLATE 1B\u00b7 , Little Stag\u00b7 \u2013, , Mari Lwyd\u00b7 , Padstow 'Oss\u00b7 , She-Goat\u00b7 , theory of pagan cult\u00b7 , wild animals\u00b7 , , , , ; bedlinen: cushion-covers\u00b7 , nightshirts\u00b7 , pillow-cases\u00b7 , sheets\u00b7 , , ; blackened faces, interpretations\u00b7 \u00b7 see face-painting; cross-dressing\u00b7 , \u2013, , , , , , \u00b7 see PLATES 4\u00b7 , by women\u00b7 \u00b7 _see also_ carnival; _daemones_ , demons, monsters\u00b7 , , , , , , , , , , , , , , , , , ; devils\u00b7 , , \u00b7 see PLATES 22\u00b7 , with blackened faces\u00b7 ; ghosts\u00b7 , , with blackened faces\u00b7 , ; giants\u00b7 ; impromptu\u00b7 , : in Bruegel\u00b7 \u00b7 see PLATES 5\u00b7 ; inside-out garments\u00b7 , , , , , with fur linings on outside\u00b7 ; _larvae_ , called _talamascas_ \u00b7 , , \u00b7 see _also_ terminology, _larvae_ ; old clothes\u00b7 ; white garments: 'ghosts', mummers, natural fool\u00b7\n\nearliest European evidence for\u00b7\n\ngradual demise after Reformation\u00b7\n\nidentified with Roman Catholicism\u00b7\n\nin Scotland\u00b7 \u00b7 see _also_ guising and guisers\n\nmasking season\u00b7\n\nFolly, character in\n\nErasmus' _Encomium Moriae._\n\n_The World and the Child_ , doubled\u00b7\n\nFolz, Hans, Shrovetide play\u00b7\n\nfools\u00b7 \u2013, , \u00b7 _see also_ Feast of Fools\n\nFortune\n\ncharacter in\n\nDekker's _Old Fortunatus_ \u00b7 ;\n\n_Liberality and Prodigality_ \u00b7\n\ndouble-faced\u00b7 , , ,\n\nFour Daughters of God\n\ncharacters in _Processus Satanae_ \u00b7\n\niconography\u00b7\n\n_Four Elements\u00b7 see_ Rastell, John\n\nFrance\n\nAbbeys of Misrule\u00b7\n\namorous masking\u00b7 \u2013\n\ncarnival\u00b7 , \u2013, ,\n\ncharivari\u00b7 , ,\n\ndisguisings\u00b7 , \u2013\n\nEnglish criticise French manners\u00b7\n\nFeast of Fools\u00b7 , ,\n\nLords of Misrule\u00b7\n\nmasked actors in _jeux de personnaiges._ ,\n\nmasked entertainers\u00b7 ,\n\nRoyal Entry into Paris (1437)\u00b7\n\ntournaments\u00b7 ,\n\nFrancis I, King of France\u00b7\n\nas carnival masker\u00b7 ,\n\nintroduced to Anne Boleyn in amorous masking\u00b7 \u2013\n\nFranks Casket\u00b7\n\nFrate Alberto\u00b7 _see_ Boccaccio, Giovanni _Decameron_\n\nFraud\n\ncharacter in Wilson's _Three Ladies of London_ \u00b7\n\ndouble-faced\u00b7 , ,\n\nemblem books: double-headed in Ripa's _Iconologia_ \u00b7 \u2013; with mask\u00b7\n\nfrog-mouthed helm\u00b7 _see_ tournaments\n\nFroissart, Jean, _Chroniques_ \u00b7 \u2013, \u00b7 _see_ PLATES 18\u00b7\n\nFulwell, Ulpian, _Like will to Like_ \u00b7 , ,\n\nGarter, Thomas, _Virtuous and Godly Susanna_ \u00b7 ,\n\nGaul, Kalends masking\u00b7 ,\n\nGavius Bassus\u00b7\n\n_Gawain and the Green Knight_ \u00b7 _seeSir Gawain and the Green Knight_\n\nGerhoh of Reichersberg\u00b7 ,\n\nGermanic\n\nhelmets\u00b7 ,\n\npaganism\u00b7 , \u2013\n\nweapon-dance\u00b7 \u2013\n\nGermany\n\ncarnival\u00b7 , , \u2013, \u2013, \u00b7 _see_ PLATES 2\u00b7\n\nextravagant costume\u00b7 _see also_ Almains, under masked characters, disguisings\u00b7\n\nGervase of Tilbury, _Otia Imperialia_ \u00b7\n\nGesner, Salomon, _Orado de personis_ \u00b7 , ,\n\nGhent, carnival and 'stealing rights'\u00b7\n\nGheyn, Jacob II de, _The Masks\u00b7 see also_ Boissard, Robert\n\ncaul masks\u00b7\n\nDeath removes the masks from fair women\u00b7 _see_ PLATES 28\u00b7\n\nGibson, Richard, Yeoman of the Revels\u00b7 , ,\n\nGiericheyt\u00b7 _see_ Avarice\n\nGilbert of La Porr\u00e9e, commentary on Boethius on the Trinity\u00b7 ,\n\nGiles, Thomas, haberdasher\u00b7 ,\n\nGladman, John, 'Gladman's Insurrection'\u00b7 , \u2013\n\nGniezno, Poland, Feast of Fools\u00b7\n\nGod\n\ncharacter in\n\nBale's _Three Laws_ \u00b7 ; Chaundler's _Liber apolog\u00e9ticas_ \u00b7 ; Coventry Cappers' _Harrowing and Resurrection_ \u00b7 ; _Processus Satanae_ \u00b7\n\nimage of, in Man\u00b7 , , , , , , , ,  and masking\u00b7 , , ; destroyed by female cosmetics\u00b7 \u2013\n\nSpirit of God, character in Coventry Cappers' _Harrowing and Resurrection_.332\n\nGod's Judgement, character in Wager's _The Longer Thou Livest_ \u00b7\n\ngod-masks\u00b7 _see also_ mystery plays\n\nin African theatre\u00b7\n\nin classical theatre\u00b7 , ,\n\nin Oriental theatre\u00b7\n\nin other cultures\u00b7\n\ntheological effects\u00b7\n\n_Golden Legend\u00b7 see_ Varagine, Jacobus a\n\nGoliath, as giant\u00b7\n\nGoods, character in _Everyman_ \u00b7\n\nGooge, Barnabe, _The Popish Kingdom_ \u00b7 ,\n\nGosson, Stephen, _Pleasant Quippes for Upstart Newfangled Gentlewomen_ \u00b7 308\n\nGoths\u00b7 \u2013\n\n'Gothic' weapon dance\u00b7 \u2013,\n\nNorthern, in Olaus Magnus\u00b7\n\nGower, John\n\n_Confessio Amantis_ \u00b7\n\n_Miroir de l'Omme_ \u00b7\n\nGramschap\u00b7 _see_ Wrath\n\nGrandisson, Bishop John de\u00b7\n\n_Great Chronicle of London_ \u00b7 , ,\n\n_Great Tournament Roll of Westminster_ \u00b7 \u00b7 _see_ PLATES 15\u00b7\n\nGreenwich\n\nChristmas revels for Edward VI (1551\/2 and 1552\/3)\u00b7 \u2013,\n\ndisguising (1519)\u00b7\n\ndisguising (1527)\u00b7 , ,\n\nmask after the manner of Italy (Epiphany, 1512)\u00b7 ,\n\ntournament (1515)\u00b7\n\nGregory IX, Pope, _Decretals_ , against masking\u00b7 , ,\n\nGresemund, Theodore, _Carnisprivii dialogus_ \u00b7 \u2013,\n\nGrimm, Jakob\u00b7\n\nGrindal, William, Archbishop of York\u00b7\n\nGrise, Jehan de, illuminator\u00b7 _see_ PLATES 1B\u00b7 , PLATES 1C\u00b7 32\n\nGrosseteste, Robert, Bishop of Lincoln\u00b7\n\nGuildford, Surrey\n\ndisguisings (1347)\u00b7 , , , ,\n\ntournament (1347)\u00b7\n\nguising and guisers\u00b7 ,\n\ncostume\u00b7  blackened faces\u00b7 ; cross-dressing\u00b7 , , , ; devil face on loins\u00b7 ; impromptu\u00b7 , , ; pillowcase\u00b7 ; sheets\u00b7 ; whitened faces\u00b7\n\nHallowe'en\u00b7 , , ,\n\nin Nuremberg\u00b7\n\nin Scotland\u00b7 , ,\n\nat Aberdeen\u00b7 ; at Elgin\u00b7 , ;\n\nat Perth\u00b7 , ; prohibitions\n\nagainst cross-dressing\u00b7\n\nmask\u00b7 \u00b7 _see_ PLATES 7\u00b7\n\nmaskers, women and young men\u00b7\n\nmodern Scottish\u00b7 , , ,\n\nGuisnes, tournament (1414\/15)\u00b7 \u00b7 _see_ PLATES 14\u00b7\n\nHaarlem, _Const-thoonende luweel_ (1606)\u00b7 \u00b7 _see_ PLATES 26\u00b7\n\nHall, Edward, _Union of... Lancaster and York_ \u00b7 , , , , , , , , , , , , , , ,\n\nHallowe'en\u00b7 , \u00b7 _see_ _also_ guising and guisers\n\nmasks\u00b7 , ,\n\nhaloes\u00b7 \u00b7 _see also_ diadems\n\nHanseatic towns\u00b7\n\nHazerswoude play at Haarlem (1606)\u00b7 \u00b7 _see_ PLATES 26\u00b7\n\nHeifer, folk figure\u00b7\n\nHell, character in Hazerswoude play at Haarlem (1606)\u00b7 \u00b7 _see_ PLATES 26\u00b7\n\nhelmets\n\nCimbrian, like heads of wild animals\u00b7\n\neighth-century, Coppergate, York\u00b7\n\nfor Coventry Herod?\u00b7\n\nGermanic\u00b7 , ,\n\nRoman parade helmets\u00b7 , ,\n\nSutton Hoo\u00b7 16\u2013, \u00b7 _see_ FIG\u00b7 1\u00b7\n\nSwedish\u00b7 ,\n\ntournament helm\u00b7 _see_ tournaments\n\nHelston Furry Dance\u00b7\n\nHenry IV, King of England\n\nattempted assassination at Windsor (1400)\u00b7\n\ncourtly mumming by Londoners at Eltham (1401)\u00b7\n\nHenry of Navarre, King of France, as carnival masker\u00b7\n\nHenry V, King of England\n\nmumming covers assassination attempt (?)\u00b7\n\ntriumphal entry into London after Agincourt, pageants\u00b7\n\nHenry VI, King of England\u00b7 , ,\n\nHenry VII, King of England\u00b7 ,\n\ndisguising by Cornish (1493)\u00b7\n\njousts (1495)\u00b7\n\nHenry VIII, King of England\u00b7 , , , , , , , ,\n\nas performer\u00b7 \u2013,\n\nas Robin Hood\u00b7\n\ncharacter in Shakespeare's _King Henry VIII_ \u00b7\n\ncourtly mummings\u00b7 \u2013\n\ndisguisings\u00b7 , , ,\n\ninfluenced by Maximilian\u00b7\n\nexpulsion of the minions (1519)\u00b7 \u2013\n\nintroduces Anne Boleyn to Francis I in amorous masking\u00b7 \u2013\n\ninvites spectators to tear gold ornaments from his disguising costume (1511)\u00b7\n\njousts\n\nas Coeur Loyal at Westminster (1511)\u00b7 , \u00b7 _see_ PLATES 15\u00b7 ; incognito at Richmond (1510)\u00b7\n\nHenry, King of Cyprus, coronation jousts at Acre (1286)\u00b7\n\nHenryson, Robert, _Testament of Cresseid._ , , ,\n\nHerne the Hunter\u00b7\n\nHero, character in Shakespeare's _Much Ado about Nothing_ \u00b7\n\nHerod\u00b7 \u2013\n\ncharacter in Beverley Plays\u00b7 ; Chester Plays\u00b7 , , doubled with Pilate?\u00b7 , ; Coventry Plays\u00b7 , ,\n\nHincmar, Archbishop of Rheims\u00b7\n\nhobby-horse\u00b7 , ,\n\nhobby-stag\u00b7 \u00b7 _see_ PLATE 1A\u00b7 , PLATES 1B\u00b7 32 Hoby, Sir Thomas, _Travels and Life_ \u00b7 ,\n\nHoccleve, Thomas, on black-faced devils\u00b7 ,\n\nHolinshed, Raphael, _Chronicles_ \u00b7 ,\n\n_Holkham Bible Picture Book_ , bestial tormentors\u00b7\n\nHolt, John, Yeoman of the Revels\u00b7\n\nHonest Recreation, character in Redford's _Wit and Science_ \u00b7\n\nHorace (Quintus Horatius Flaccus), Ars _poetica_ , on origin of masks\u00b7\n\nHorman, William, _Vulgaria puerorum_ \u00b7 ,\n\nhorned headdresses\n\nGermanic\u00b7\n\nHerne the Hunter\u00b7\n\nin charivari\u00b7\n\nhorns\u00b7 _see_ Abbots Bromley Horn Dance Hospinian, Rodolph, De _ceremoniis_ \u00b7\n\nhouseholds, academic, legal, and noble\u00b7 , , , , ,\n\nhouse-visits\u00b7 ,  \u2013 _see also_ mumming\n\ncombined with street-masking\u00b7 ,\n\nduring carnival\u00b7 ,\n\nin amorous masking\u00b7 \u2013\n\ninformal, in mumming\u00b7 , , \u2013\n\nHovoerdicheyt\u00b7 _see_ Pride Hrotswitha of Gandersheim, playwright\u00b7\n\nHugutius of Pisa _Magnae derivationes_ \u00b7 , ,\n\nhypocrisy\u00b7\n\nand masks\u00b7 , , \u2013\n\nin Gospels\u00b7\n\ntheme in Wycliffite sermons\u00b7 ,\n\n_hypocrita, hypocrisis, hypocrites\u00b7 see_ terminology\n\nideas and theories of masking\u00b7 \u2013\n\nidentity-guessing games\u00b7 , , \u2013, , , \u2013, \u00b7 _see_ _also_ mummers; unmasking\n\nIdleness, character in\n\nMerbury's _Marriage between Wit and Wisdom_ \u00b7\n\nRedford's _Wit and Science_ , paints Wit's face black\u00b7\n\nIdolatry, character in Bale's _Three Laws\u00b7_\n\nIgnorance, character in\n\nMerbury's _Marriage between Wit and Wisdom_ \u00b7\n\n_New Custom_ \u00b7\n\nRedford's _Wit and Science_ \u00b7\n\nIll Report, Vice character in Garter's _Virtuous and Godly Susanna_ \u00b7\n\nInfidelity, character in\n\nBale's _Three Laws_ \u00b7\n\nWager's Marie _Magdalene_ \u00b7 ,\n\nIngeborg Psalter\n\nangel at sepulchre with red face\u00b7\n\ntransfigured Christ with gold face\u00b7\n\nInns of Court\u00b7 , \u00b7 _see also_ households\n\nChristmas Kings\u00b7\n\n_Interludium de clerico et puella_ \u00b7 190\n\ninversion of social norms\u00b7 _see_ carnival; Feast of Fools; mumming\n\nIrksomeness, giant character in Merbury's _Marriage between Wit and Wisdom_ \u00b7\n\nIsabeau of Bavaria, Queen of France, wife of Charles VI\u00b7 \u00b7 _see_ PLATES 18\u00b7\n\nIsidore, Saint, Bishop of Seville\n\nDe _ecclesiasticis officiis._\n\n_Etymologiae_ \u00b7 , , , , , ,\n\nItalian theatre\n\ncomedies, girls disguised as boys\u00b7\n\n_commedia dell'arte_ \u00b7 , , , 293\n\ndiscussion of stage make-up\u00b7\n\nItaly\u00b7 ,\n\namorous masking\u00b7 \u2013\n\nbull-fighting in masks\u00b7\n\ncarnival\u00b7 , \u2013, , , \u2013\n\nKalends masking\u00b7\n\nmask after the manner of\u00b7\n\nwild-man hunt\u00b7\n\nIvo of Chartres, _Decretum_ \u00b7\n\nJack a' Lent\u00b7\n\nJack-in-the-Green\u00b7\n\nJaksone family, guisers at Perth (1609)\u00b7 ,\n\nJames IV, King of Scotland\u00b7 ,\n\njousts as Wild Knight in Tournament of the Black Lady, Edinburgh (1507\/8)\u00b7\n\nJanus, Roman god\u00b7 , , ,\n\nJarmin, Nicholas, tailor and property-maker\u00b7\n\nJean, Due de Berri, _Terence_ MSS\u00b7 \u00b7 _see also_ Josephus Master\n\nJerome, Saint\n\n_Letter to Furia_ on cosmetics\u00b7\n\nLetter to _Marcella_ , on theatre masks\u00b7\n\n_Jeu d'Adam._ ,\n\nJhonestowne, Andr\u00f3, guiser at Perth (1609)\u2022\n\nJoanna of Castille, 'the Mad', Royal Entry into Brussels (1496)\u00b7\n\n_joculatores_ (entertainers)\u00b7 , 190\n\nJohn of Gaunt, Duke of Lancaster\u00b7 \u2013\n\n_jongleurs_ \u00b7 _seejoculatores_\n\nJonson, Ben\n\n_Devil is an_ Ass, _The_ \u00b7\n\n_Masque of Christmas_ \u00b7 ,\n\n_Staple of News, The_ \u00b7\n\n_Volpone_ \u00b7\n\nJordan, John, skinner\u00b7\n\nJosephus Master, _Terence des dues_ \u00b7 \u00b7 _see_ PLATES 29\u00b7\n\n_jours gras_ \u00b7\n\njoust\u00b7 _see_ tournaments\n\nJudas, character in Lupton's _All for Money_.253\n\nKabuki, Japanese masked theatre\u00b7\n\nKalends\u00b7 , , , , , , , ,\n\ncontinuous tradition?\u00b7 , , , ,\n\nin Gaul and Spain\u00b7\n\nmasking\u00b7 \u2013, , , , ,  animal disguises\u00b7 \u2013, , ; blackened faces\u00b7 ; crossdressing\u00b7 \u2013, ; monsters\u00b7 ; objections by early Christian writers\u00b7 \u2013, , , , , , \u2013\n\nRoman festival\u00b7 , , , ,\n\ndicing\u00b7 ; largesse\u00b7 , : to Army\u00b7 ; official games\u00b7 ; procession at Ravenna\u00b7\n\nKatherine of Aragon\u00b7\n\ndedicatee of Vives' _De institutione feminae christianae_ \u00b7\n\ndisguising (1510) at Richmond in her Chamber\u00b7\n\ndivorce\u00b7\n\nHenry VIII's ideal audience\u00b7 , , ,\n\nmarriage with Arthur, Prince of Wales (1501)\u00b7 , , , ,\n\ntournament (1511) to celebrate birth of first child\u00b7\n\nKatherine of Valois, Queen of Henry V\u00b7 ,\n\nKelsey, John, of the Revels\u00b7\n\nKennington Palace, scene of mumming by Londoners (1377)\u00b7 \u2013,\n\n_King Johan_ \u00b7 _see_ Bale, John King of the Bean\u00b7\n\nKing, character in _The Cradle of Security_ \u00b7 ,\n\nKirchmeyer, Thomas, _Regnum papisticum_ \u00b7 _see also_ Googe, Barnabe\u00b7\n\nKnowledge of Sin, character in Wager's _Marie Magdalene_ , with mirror\u00b7\n\nKraichgauer tourney book, Saracen's head crest\u00b7\n\nKyd, Thomas, _Solim\u00e1n and Perseda \u2013_ , ,\n\nLabour, character in disguising, woman with many hands\u00b7\n\nLancelot, character in Malory's _Morte d'Arthur_ \u00b7 , , \u2013\n\nas tournament character\u00b7\n\nLangland, William, _Piers Plowman_ \u00b7 , ,\n\nLaon, Feast of Fools\u00b7\n\n_larva\u00b7 see_ folk masking; mask types; terminology\n\nLaw\n\ncharacter in Wager's _Marie Magdalene_ \u00b7\n\nof Nature, of Moses, of Christ, characters in Bale's _Three Laws._ ,\n\nLe Hem, France, tournament (1278)\u00b7\n\nLedes, John, of the Revels\u00b7\n\n_Legenda Aurea\u00b7 see_ Varagine, Jacobus a\n\nLeicester, St Mary's Church, _Resurrection_ (?) play (1504, 1507)\u00b7 ,\n\n_Lemures_ \u00b7\n\nLent\u00b7 , , , \u00b7 _see also_ Battle between Carnival and Lent\n\nas masking character\u00b7 _see_ \u00b7 Jack a' Lent dressed in herring skins\u00b7\n\nLeo I, Pope\u00b7\n\n_Liber apolog\u00e9ticas\u00b7 see_ Chaundler, _Thomas_\n\n_Liberality and Prodigality._\n\nLichfield, Staffs, tournament (1348) and disguisings (?)\u00b7 , , ,\n\nLiechtenstein, Ulrich von\u00b7 ,\n\n_Life of St John of Beverley_ (c.1220)\u00b7\n\nLight of the Gospel, character in _New Custom_ , bright face\u00b7\n\n_Like will to Like\u00b7 see_ Fulwell, Ulpian\n\nLille\n\nFeast of Fools, clerical and secular\u00b7 ,\n\nprohibitions against mumming\u00b7\n\nLille, Alain de\u00b7 _see_ Alain de Lille\n\nLincoln Cathedral, Feast of Fools\u00b7\n\nLincoln, City of, _ffolcfeste_ , secular feast of Fools?\u00b7\n\nLindsay, Sir David, _Ane Satyre of the Thrie Estaitis \u2013_ , ,\n\n_lintea gipsata\u00b7 see_ mask-making materials\n\nLisle family, masking gear in inventory of property at Calais (1540)\u00b7 ,\n\nLittle Stag\u00b7 \u2013,\n\nliturgical drama\u00b7 , , ,\n\nangels at the Sepulchre, red faces\u00b7 \u2013\n\nmasked characters, monsters, demons, and devils\u00b7 , , ,\n\nLiudprand of Cremona\u00b7 190\n\nLocher, Jacobus, Latin translator of Brant's _Narrenschiff._\n\nLollards\u00b7\n\nalleged assassination attempt by\u00b7\n\nLondon, City of\n\nBridgemasters' accounts (1464)\u00b7\n\nChristmas mumming visits to court by citizens\u00b7 \u2013,\n\ncourtly mummings by Londoners at Kennington (1377)\u00b7\n\nGoldsmiths' Company, mumming by Lydgate (Candlemas 1429)\u00b7 ,\n\nLord Mayor's Show\u00b7\n\nMercers' Company\u00b7\n\nmumming by Lydgate (Twelfth Night 1429)\u00b7\n\nprocession for wedding of Katherine of Aragon and Arthur, Prince of Wales (1501)\u00b7\n\nprohibitions against mumming\u00b7 , ,\n\nreconciliation with Richard II, Royal Entry (1392)\u00b7 ,\n\nShrovetide parade (1553)\u00b7\n\nSt Paul's Cathedral\n\nDance of Death mural (1430)\u00b7 ;\n\nFeast of Fools\u00b7\n\ntournaments\n\nat Stepney (1331)\u00b7 ; of Mayor and Aldermen (1359)\u00b7 ; of Pope and Cardinals, at Smithfield (1343)\u00b7 , ; of Tartars, at Cheapside (1331)\u00b7 , ; of the Seven Deadly Sins (1362)\u00b7\n\ntriumphal entry of Henry V\u00b7\n\n_Longer Thou Livest the More Fool Thou Art, The\u00b7 see_ Wager, William\n\nLord Mayor's Show\u00b7 _see_ London, City of\n\nLords of Misrule\u00b7 , \u2013,\n\nfrom Whitechapel (1561)\u00b7\n\nin France\u00b7\n\nof Edward VI\u00b7 _see_ Ferrers, George\n\nof Henry VII and VIII\u00b7\n\nof the Sheriff of London (1552\/3)\u00b7\n\nSaturnalia\u00b7\n\nLot _and Sodom_ , play at Sherborne, Dorset masks\u00b7\n\ngold mask\u00b7 ,\n\nLouis XII, King of France, disguising at court (1501)\u00b7\n\nLove, character in Wilson's _Three Ladies of London_ \u00b7 ,\n\nmask on back of head\u00b7\n\nLow Countries\u00b7\n\ncarnival\u00b7 \u2013\n\nChambers of Rhetoric, Rhetoricians' plays\u00b7 , ,\n\n_Const'thoonende Iuweel_ , Haarlem (1606), processional entry\u00b7 \u00b7 _see_ PLATES 26\u00b7 ; _sinnekens_ (Vice figures), two faces, one before, one behind\u00b7 ; _spelen van sinne_ \u00b7\n\nFeast of Fools, secular\u00b7 ,\n\nimages of masking\u00b7 , \u2013, \u00b7 _see_ PLATES 26\u2013, PLATES 5\u00b7 , PLATES 6\u00b7\n\nmasked acting\u00b7 , , , ,\n\nmumming\u00b7 , , , \u2013\n\nLoyalty, character in disguising, carries pair of scales\u00b7\n\nLucian of Samosata\n\ncelestial voyages, _True History_ and _Icaromenippus_ \u00b7\n\n_Saturnalia_ \u00b7\n\nLucifer\u00b7 _see also_ Devil\n\ncharacter in Fulwell's _Like will to Like_ \u00b7 ; _Wisdom_ \u00b7 , , , costume change to 'goodly gallant'\u00b7 , ; York _Fall of the Angels_ \u00b7\n\nLucina, character in Kyd's _Soliman and Perseda_ \u00b7\n\nLucre, character in Wilson's _Three Ladies of London_ \u00b7 , ,\n\npaints Conscience's face with ink\u00b7\n\nLucres, character in Medwall's _Fulgens and Lucres_ \u00b7\n\nLucretia Borgia, character in Barnes' _The Devil's Charter_ \u00b7\n\n_ludi theatrales\u00b7 see_ terminology\n\nLudlow, Shropshire, Palmers' Guild wake.50\n\nLupton, Thomas, _All for Money_ \u00b7 , , ,\n\nLust, character in _The Trial of Treasure_ \u00b7\n\nLuther, Martin, God's use of'masks'\u00b7\n\nLuxury (Lechery), character in _The Cradle of Security_ \u00b7\n\nLydgate, John\n\ncourtly mummings\u00b7 \u2013\n\n_Mumming at Eltham_ \u00b7 , ; _Mumming for the Goldsmiths of London_ \u00b7 , ; _Mumming for the Mercers of London_ \u00b7 ; _Mumming of the Seven Philosophers_ (attributed)\u00b7 ,\n\n_Falls of Princes_ \u00b7\n\ntranslation of DeGuileville's _P\u00e8lerinage_.234\n\n_Troy Book_ , classical masked acting\u00b7 293\n\nlykewakes\u00b7 _see_ wakes\n\nLyly, John\n\n_Euphues_ \u00b7\n\n_Euphues and his England_ \u00b7\n\nMachyn, Henry, diarist\u00b7 ,\n\nmasks (entertainments) at a wedding (1562)\u00b7\n\nMacrobius, Ambrosius Theodosius, _Saturnalia_ \u00b7\n\nMagi as gift givers\u00b7\n\n_Magnificence\u00b7 see_ Skelton, John\n\nMainz, carnival\u00b7\n\nMalicious Judgment, character in Wager's _Marie Magdalene_ \u00b7\n\nMalory, Sir Thomas, _Le Morte d'Arthur_ \u00b7 , \u2013\n\nMan, character in Chaundler's _Liber apologeticus_ , mirror of Reason\u00b7 \u2013\n\nManesse anthology\u00b7\n\n_Mankind_ \u00b7 , , , , ,\n\ndoubling\u00b7\n\nMankind, character\n\ngeneric figure in morality plays\u00b7 \u2013\n\nchange of costume as sign of corruption\u00b7\n\nin _Mankind_ \u00b7\n\nin play for coronation of Mary Tudor (1553)\u00b7\n\nin _The Castle of Perseverance_ \u00b7 ,\n\nMannyng, Robert, of Brunne, _Handlyng Synne_\n\ntranslation of _Manuel des pechiez_ \u00b7 ,\n\n_Manuel des pechiez\u00b7 see_ William of Wadington\n\nManuel, Niklaus, _Dance of Death_ mural at Bern, later dramatised\u00b7 _see_ Dance of Death\n\nMargaret of Austria, Duchess of Savoy\u00b7\n\nMarguerite of Navarre, _Heptameron_ \u00b7\n\nMari Lwyd\u00b7\n\n_Marie Magdalene_ \u00b7 _see_ Wager, Lewis\n\nMarie Magdalene, character in Wager's Marie _Magdalene_ \u00b7\n\nMarlowe, Christopher, _Dr Faustus_\n\nfire-breathing devils\u00b7\n\nMephostophilis\u00b7\n\n_Marriage between Wit and Wisdom, The\u00b7 see_ Merbury, Francis\n\nMarseilles, carnival\u00b7 ,\n\nMarshfield Paper Boys\u00b7 ,\n\nMarston, _John, The Insatiate Countess_ \u00b7\n\nMartin, Saint, Bishop of Braga\u00b7 ,\n\nMary I, Queen of England\n\nas Princess, in masking\u00b7\n\nplay for her coronation (1553)\u00b7\n\nMary of Hungary, sister of Emperor Charles V\u00b7\n\nMary Tudor, sister to Henry VIII, later\n\nQueen of France, in disguising\u00b7\n\nMary, Queen of Scots\n\ncross-dresser in a courtly mumming\u00b7\n\nFerrarese masks for her wedding\u00b7\n\nMary, the Blessed Virgin\u00b7 , ,\n\n_mask_ \u00b7 , \u00b7 _see_ terminology\n\nmask (entertainment)\u00b7 , , , , , , , , , , , , , , , , , , , \u00b7 _see also_ terminology, _mummery_ ; _disguisings_\nmask types\n\naged men\u00b7 , , ,\n\nangels\u00b7 , , , , \u2013, , \u00b7 _see also_ face-painting; veils\n\nanimals\u00b7 , , , , , , , , , , , , , ,\n\nape\u00b7 ; ass's head\u00b7 ; cats\u00b7 ; elephants\u00b7 , ; farm animals\u00b7 , , , , ; hound's head for Cynocephal\u00b7 ; lions\u00b7 , devouring man's head\u00b7 , ; pigs: pig's snout\u00b7 , , , , , pig-faced gaoler\u00b7 ; satirical\u00b7 \u2013; wild animals\u00b7 , , , , ,\n\nbabions (baboons or 'babooneries', grotesques)\u00b7\n\nbagpipes\u00b7\n\nbearded\u00b7 , , , , , , , , , , , \u2013, , \u2013, \u00b7 _see also_ beards, on masks; beards, materials\n\nbirds\u00b7\n\npeacocks\u00b7 , , , ;\n\nswans\u00b7 ,\n\nbrazen face, for the Vice\u00b7\n\ncaricature\u00b7 , , , , , , , \u00b7 _see_ PLATE 23\u00b7\n\ncaul or netted mask\u00b7 , , \u00b7 _see_ FIG 14\u00b7\n\ncharacter masks\u00b7 , , , ,\n\nclassical theatre\n\ncomedy masks, double expressions\u00b7 ; god-masks\u00b7 , , ; stock characters\u00b7 ; tragic masks\u00b7\n\n_commedia dell'arte_ \u00b7 , , , , ,\n\nDamned Souls\u00b7 , , , ,\n\ndeath's heads\u00b7 , , , , , , \u2013, , \u00b7 _see_ PLATE 27\u00b7\n\ndemons, _daemones_ , monsters\u00b7 , , , , , , , , , , , , , , , , ,\n\nlater identified as devils\u00b7 ,\n\ndevils\u00b7 , , , , , , , , , , , , , , , , , , , , \u00b7 _see_ FIG\u00b7 8\u00b7 , PLATE 22\u00b7 , PLATE 26\u2013\n\nAustrian devil-masks\u00b7 , , \u00b7 _see_ FIG\u00b7 7\u00b7 ; big head\u00b7 ; black-faced\u00b7 , , , ; bottle-nosed\u00b7 , ; crooked snouts\u00b7 ; devil face on loins\u00b7 ; fire-breathing\u00b7 , , , sketch by Proven\u00e7al producer\u00b7 ; full headpieces\u00b7 , , ; horns\u00b7 , ; snapping jaws\u00b7 \u2013\u00b7 _see_ FIG\u00b7 9\u00b7 ; teeth\u00b7 \u2013, ; two-faced\u00b7 \u2013, ; warts\u00b7\n\ndiabolical, papal legates\u00b7 , ,\n\ndiadem (halo?) attached\u00b7\n\nfor Apostlesa\u00b7 , ; for\n\nGod\/Christ\u00b7 , ,\n\ndragons\u00b7 ,\n\nexotic\u00b7 , ,\n\nMoors\u00b7 ; Tartars\u00b7 ; Turks\u00b7 , , , , .\n\nfair faces\u00b7 , ,\n\nfelt sugarloaf cap\u00b7\n\ngiants, removeable headpiece\u00b7\n\ngilded visor, for Lord of Misrule\u00b7 ,\n\nGod\u00b7 \u00b7 _see also_ gold faces _below_\n\ngold faces\u00b7 ,\n\nChrist\u00b7 , , ; God\u00b7 , , , , \u2013, , \u2013, \u2013, , , , discussion in Chester Banns\u00b7 \u2013; Hypocrisy\u00b7 290; Jupiter\u00b7 , ; Light of the Gospel (?)\u00b7 ; rejected by Virtue\u00b7 , ; Vice\u00b7 , 290\n\nGood Souls\u00b7 ,\n\nhalf-masks\u00b7 , , , ,  with wig attached\u00b7 , ,\n\nheadpieces\u00b7 , , , \u2013\u00b7 _see also_ terminology, _caput_ angels\u00b7 ; animals\u00b7 ; devil _heads_ \u00b7 , , ; domestic birds\u00b7 ; dragons\u00b7 ; peacocks\u00b7 ; swans\u00b7\n\nHell\u00b7 \u00b7 _see_ PLATE 26\u00b7\n\nhideous, for Confusion\u00b7\n\nhorned\u00b7 , , , , \u00b7 _see_ FIG\u00b7 9\u00b7\n\nhuntresses\u00b7\n\n_larvae_ \u00b7 , , , , , , , , , , , , , , , , , , , , , , , , , , , , , \u2013, \u2013\n\nleprous face\u00b7\n\nmany eyes (?) for Argus\u00b7\n\nmedioxes, half man, half death\u00b7 , , ,\n\nmen with bats' wings\u00b7 , , ; beards\u00b7 , , , ; elephants' heads\u00b7 , , ; lions' heads\u00b7\n\nneutral masks\u00b7 ,\n\nin disguisings\u00b7\n\nnon-faces\u00b7\n\nnoses, exaggerated\u00b7 190\n\nbottle noses, for devils\u00b7 , ; enormous, like penises\u00b7 , , ,\u00b7 _see_ FIG\u00b7 12\u00b7 ; long, for covetous men\u00b7 , ,\n\npainted\u00b7 , ,\n\ncalled _artifices_ \u00b7 ,\n\nprotective cosmetic masks\u00b7 , , , \u00b7 _see_ PLATE 30\u2013301\n\nreal faces\u00b7 \u2013\n\nin illustration by Simon Bening\u00b7 _see_ PLATE 17\u00b7\n\nred faces, angels\u00b7\n\nsnappers\n\nAustrian devil costume\u00b7 ; Dorset Ooser\u00b7 ,\n\nstocking mask\u00b7\n\ntwo-faced\u00b7 \u2013, , , , , \u00b7 _see_ also allegory and emblem; emblem books as sign of deceit or treachery\u00b7 , , ; as sign of prudence\u00b7 ; devils\u00b7 \u2013, ; Fortune (?)\u00b7 ; in moralities\u00b7 ; medioxes\u00b7 , , , ,\n\nugly and grotesque faces\u00b7 , , , , , , , ,\n\nwicked humans\u00b7 , \u2013\n\nwig attached\u00b7 , , , \u2013\n\nwild men or woodwoses\u00b7 , , , , , \u2013, , , , ,\n\nwomen\u00b7 ,\n\nworn by men\u00b7 , , , ,\n\nmasked actors and entertainers\u00b7 \u2013\u00b7 _see also_ classical theatre; morality plays; mystery plays\n\nByzantine entertainers\u00b7 190\n\ncompared with devils, robbers\u00b7\n\nin _jeux de personnaiges_ \u00b7 ,\n\nin _miracles_ \u00b7 \u2013\n\nat Beverley (before 1220)\u00b7 ,\n\nin Roman theatre\u00b7 _see_ classical theatre, Roman\n\nmedieval _histriones_ or 'minstrels'\u00b7\n\nprofessional actors in Low Countries\u00b7 , , , ,\n\nmasked and unmasked, interaction\u00b7\n\nbetween theatrical characters\u00b7 , , ,\n\nand audience\u00b7\n\nmasked men and unmasked women in amorous masking\u00b7 , , , , , , \u2013, , \u2013, \u2013; in courtly mumming\u00b7 _see_ PLATE 19\u00b7 ; in disguisings\u00b7 , , \u00b7 _see_ Plate 1C\u00b7 32\n\nmasked visitors and unmasked householders\u00b7\n\nin amorous masking\u00b7 , \u2013, \u2013; in courtly mumming\u00b7 _see_ PLATE 19\u00b7 ; in mumming\u00b7 , , , , , , \u00b7 _see_ PLATE 4\u00b7 , PLATE 6\u00b7\n\nmasked characters\u00b7 _see also_ mask types; amorous masking; classical theatre; courtly mummings; disguisings; face-painting; folk masking; morality plays; mystery plays; tournaments\n\naged men\u00b7 , , ,\n\nAlmains\u00b7 , , , , ,\n\nAmazons\u00b7 , ,\n\nangels\u00b7 , , , , \u2013, , , ,\n\nAnima\u00b7 , , , , , ,\n\nanimal-headed humans\u00b7 , , , , \u2013, , , , , \u00b7 _see also_ PLATE 25\u00b7\n\nCynocephal\u00b7 ; pig-faced gaoler\u00b7\n\nanimals\u00b7 , , , , , , , , , , , , , , , - _see also_ folk masking, disguises; mask types, animals satirical\u00b7\n\nApostles\u00b7 , ,\n\nArgus\u2022\n\nbearded men\u00b7\n\nbirds\u00b7 ,\n\npeacocks\u2022 , , ; swans\u00b7 ,\n\nChrist\u00b7 _see_ God\n\nchurchmen\u00b7\n\ncardinals\u00b7 , ; diabolical\n\npapal legates\u00b7 , ,\n\nPope\u00b7 ,\n\nclassical theatre\u00b7 _see under_ classical theatre, masked characters\n\nConfusion, with hideous mask\u00b7\n\ncovetous men with long noses\u00b7 , ,\n\n_daemoneSy_ demons, monsters\u00b7 , , , , , , , , , , , , , , , , ,\n\nDamnation\u00b7\n\nDamned Souls\u00b7 , , , ,\n\nDeath\u00b7 , , , , , \u2013, , \u00b7 _see_ PLATE 26\u00b7 , PLATE 27\u00b7 , PLATE 28\u00b7\n\nDeceit\u00b7\n\nDevil\u00b7 , , , , \u2013\u00b7 _see_ PLATE 26\u2013 Belyal\u00b7 , , ; Lucifer\u00b7 , , , ; Satan\u00b7 , ; Titivullus\u00b7 ,\n\ndevils\u00b7 , , , , , , , , , , , , \u2013, , , , , \u2013, , , , , , , , , , ,\n\ndiabolical papal legates\u00b7 , ,\n\nDiscord\u00b7\n\nDives, like a damned soul\u00b7\n\ndragons\u00b7 ,\n\ndwarfs\u00b7\n\nEmperor\u00b7 ,\n\nEmperor Constantine\u00b7\n\nEthiopian lady\u00b7\n\nexotic foreigners\u00b7 , , , , , , , , , , , ,  \u2013 _see also_ amorous masking; carnival; courtly mummings.\n\nfishermen\u00b7\n\nfools\u00b7\n\ngaolers\u00b7\n\nghosts\u00b7 , , 47\n\ngiants\u00b7 ,\n\nGod\u00b7 ,\n\ngold-faced Christ\u00b7 , , \u2013, at the Crucifixion (?)\u00b7 \u2013, in York _Creed Play_ \u00b7 , , ; gold-faced God\u00b7 , , , , , \u2013, \u2013, , , in York _Doomsday_ \u00b7 , \u2013; in Norwich _Creation_ \u00b7 ; The Trinity (?)\u00b7\n\nGood Souls\u00b7 ,\n\nHell\u00b7 \u00b7 _see_ PLATE 26\u2013\n\nHerod\u00b7 , \u2013, , ,\n\nhuntresses\u00b7\n\nJack in the Green\u00b7\n\nJudas, like a damned soul\u00b7\n\nJupiter, with gold face\u00b7 ,\n\nknights\u00b7\n\nLent\u00b7\n\nMagnificos\u00b7\n\nmedioxes\u00b7 , , ,\n\nMoors or blackamoors\u00b7 , , , ,\n\nnymphs\u00b7\n\nPope\u00b7\n\nprophets (in Spain)\u00b7\n\nPrudence\u00b7\n\nRussians\u00b7 ,\n\nsquires\u00b7\n\nSt Sebastian (in Spain)\u00b7\n\nTartars\u00b7\n\ntormentors\u00b7 \u2013\n\nTurks\u00b7 , , , , ,\n\nTwelve Months\u00b7\n\nVice, gold face\u00b7 , 290\n\nVice, the, brazen face\u00b7\n\nwet nurses\u00b7\n\nwicked humans\u00b7 , \u2013\n\nwild men or woodwoses\u00b7 , , , , , , \u2013, , , , , ,\n\nwomen (male performers)\u00b7 , , ,\n\nmasked theatre traditions\u00b7 \u201390\n\nAfrican\u00b7\n\nclassical theatre\u00b7 _see_ classical theatre France, _jeux de personnaiges_ \u00b7 ,\n\nIndian, Ramlila\u00b7\n\nItalian, _commedia dell'arte_ \u00b7 , , , , , ,\n\nJapanese\n\nKabuki\u00b7 ; Noh\u00b7\n\nLow Countries, masked professional actors\u00b7 , , , ,\n\n_miracles_ \u00b7 \u2013\n\nOriental\u00b7\n\nuse of allegory and emblem\u00b7 \u2013\n\n_maskelyn_ \u00b7 _see_ terminology\n\nmasking costume\u00b7 _see_ amorous masking; disguisings; folk masking; guising and guisers; mumming\n\nmask-making\n\ncleaning and repairs\u00b7\n\nbread and egg-white\u00b7\n\ncraftsmen\u00b7\n\ncarver\u00b7 ; property-maker\u00b7 , , , ; turner\u00b7\n\nmaterials\u00b7 \u2013\n\nadhesives: cement\u00b7 , chalk and size\u00b7 , egg-white\u00b7 , flour paste\u00b7 , with white wine or size\u00b7 , glue\u00b7 , honey\u00b7 , sugar candy\u00b7 ; alum\u00b7 ; animal teeth\u00b7 ; bark\u00b7 ; beards\u00b7 _see_ beards, materials; burrs\u00b7 ; cloth\u00b7 : black 'pleasaunce'\u00b7 , , buckram\u00b7 , , canvas\u00b7 , cerecloth\u00b7 , felt\u00b7 , gauze\u00b7 \u2013, linen\u00b7 , : gypsumed\u00b7 , , , , rags\u00b7 , waxed ('cerecloth')\u00b7 ; net\u00b7 , \u2013 _see_ FIG \u00b7 , with spangles\u00b7 , rags\u00b7 , sarcenet\u00b7 , silk _see sindon_ \u00b7 , _sindon_ (fine silk or linen)\u00b7 , : strengthened\u00b7 , , with size\u00b7 , waxed ('cerecloth')\u00b7 , _sindon afforciatus\u00b7 see_ sindon, strengthened, velvet\u00b7 , , , worsted\u00b7 ; dishes for devil's eyes\u00b7 , ; feathers\u00b7 ; leather\u00b7 , , \u2013: _baseyne_ \u00b7 , , _cuir bouill\u00e9_ (boiled leather)\u00b7 , , Roan (Rouen?) leather\u00b7 , ; linen thread\u00b7 , for beards\u00b7 ; linings\u00b7 ; metallic foil\u00b7 \u2013; neck-coverings\u00b7 ; paper\u00b7 , , : brown, crown, grey\u00b7 , paper bag\u00b7 , papier mach\u00e9\u00b7 , , , , pasteboard\u00b7 ; plaster of paris\u00b7 : as gesso\u00b7 , , plaster bandage\u00b7 , \u2013, plastered linen\u00b7 , , ; rabbit fur\u00b7 ; ribbon ties\u00b7 , sequins\u00b7 ; straw\u00b7 ; strongly coloured paints in classical theatre masks\u00b7 290; wickerwork\u00b7 , wood\u00b7 ,\n\nmethods\u00b7 \u2013\n\nbeards\u00b7 _see_ beards, beard-making; carving\u00b7 ; decorating\u00b7 , ; gesso\u00b7 , ; lamination\u00b7 ; leather working\u00b7 ; moulds\u00b7 , : clay\u00b7 , for leatherworking\u00b7 , for papier mach\u00e9\u00b7 , plaster of paris\u00b7 , wooden\u00b7 , , , wicker frames, for larger pieces\u00b7\n\nsuppliers\u00b7 \u00b7 _see also_ Revels Office bulk buying\u00b7 , ; haberdasher\u00b7 , , , ; milliner\u00b7 , , ; painters, for mystery plays\u00b7 ; property-maker '; vizardmaker\u00b7\n\nmask-making centres\u00b7\n\n_masque\u00b7 see_ terminology, _mask_ (entertainment)\n\nMaticheyt\u00b7 _see_ Temperance\n\n_Maugis d'Aigremont_ \u00b7 ,\n\nMaugis, character in _Maugis d'Aigremont_ , disguises self as devil\u00b7 , \u00b7 _see_ PLATE 22\u00b7\n\nMaximilian I, Holy Roman Emperor\n\ncaricature tournament helm\u00b7 , , \u00b7 _see_ PLATE 23\u00b7 217\n\n_Freydal_ \u00b7 ,\n\nillustrations\u00b7 : cross-dressers\u00b7 , netted maskers\u00b7 , , and ladies\u00b7 _see_ PLATE 16\u00b7 ; mummeries named by costume\u00b7\n\n_Triumph of Maximilian_ \u00b7 ,\n\nillustrations, netted maskers\u00b7 , \u00b7 _see_ FIG\u00b7 13\u2013\n\nMaximus of Turin\u00b7 ,\n\nMaximus, Pseudo-\u00b7\n\nmedioxes\u00b7 _see_ disguisings, mask (entertainment); mask types; masked characters\n\nMedwall, Henry, _Fulgens and Lucres_ , basse dance after the guise of Spain\u00b7\n\nMelton, John, _Astrologaster_ , on devils in _Faustus_ \u00b7\n\nMemory, character in DeGuileville's _Pelerinage_ \u00b7\n\nMephostophilis, character in Marlowe's _Dr Faustus_ \u00b7\n\nMerbury, Francis, _The Marriage between Wit and Wisdom_ \u00b7 , ,\n\nMercutio, character in Shakespeare's _Romeo and Juliet_ \u00b7\n\nMercy, character in Mankind, doubled\u00b7\n\n_Meriaseky_ mask as leprosy\u00b7\n\nMezi\u00e9res, Philippe de, _Presentation of the Virgin_ \u00b7\n\nMichel, Jean\u00b7 _see_ Mons _Passion_\n\nMilan\n\namorous masking\u00b7\n\nCardinal d'Este buys masks from Ferrara\u00b7\n\nLittle Stag\u00b7\n\nMilliner, Christopher, milliner\u00b7 ,\n\n_mimus\u00b7 see_ masked actors; classical theatre\n\nMind, character in _Wisdom_ \u00b7\n\n_miracles_ \u00b7 \u2013\u00b7 _see also_ masked theatre masked performance at Beverley (before 1220)\u00b7 ,\n\nmirrors\u00b7 , \u2013\n\nMischief Night, Lancashire\u00b7\n\nmock kings\u00b7 , , , , , ,\n\nmock lawsuits, during Shrovetide\u00b7\n\nModena, mask-making centre\u00b7\n\nModena, Nicholas, property maker\u00b7\n\nMoney, character in Lupton's _All for Money_ \u00b7 ,\n\nMons, _Passion_ by Jean Michel (1501)\n\naccounts\u00b7 , , ,\n\narchangel Raphael, red face\u00b7 ,\n\ngold-faced Christ in Transfiguration\u00b7\n\nMontacute, William of\u00b7\n\nMoon, voyages to\u00b7\n\nmorality plays\u00b7 , , \u2013\u00b7 _see alsoAnglia deformata_; Bale, John; Berghe, Jan van den; _Castle of Perseverance;_ Chaundler, Thomas; _Christelijcken Ridder; Cradle of Security_; Dekker, Thomas; _Everyman;_ Fulwell, Ulpian; Garter, Thomas; Jonson, Ben; _Liberality and Prodigality_ ; Lindsay, Sir David; Lupton, Thomas; _Mankind;_ Merbury, Francis; _Pride of Life;_ Redford, John; _Respublica;_ Skelton, John; _Trial of Treasure;_ Wager, Lewis; Wager, William; Wapull, George; Willis, Ralph; Wilson, R.; _Wisdom; World and the Child_\n\nchange of costume as disguise: in Bale's _King Johan_ \u00b7 , in Lindsay's _Thrie Estaitis_ \u00b7 , in _Respublica_ \u00b7 , in Wager's _Marie Magdalene_ \u00b7 , in _Wisdom_ \u00b7 , Vices\u00b7 ; as sign of moral corruption\u00b7 \u00b7 _see also_ masks _below_; in Bale's _Three Laws_\u00b7 ; in _Magnificence_ \u00b7 ; in _Mankind_ \u00b7 ; in Redford's _Wit and Science_ \u00b7 ; in _Respublica_ \u00b7 ; in _The Tide tarrieth No Man_ \u00b7 ; in _Wisdom_ \u00b7 , , , , ; as sign of moral reformation: in Redford's _Wit and Science._ , in _Wisdom_ \u00b7 ;\n\nchange of names, as disguise\u00b7 \u2013: in Lindsay's _Thrie Estaitis_ \u00b7 , in _New Custom_ \u00b7 , in _Respublica_ \u00b7\n\nface-painting, as sign of moral corruption\u00b7 \u2013\n\nin Redford's _Wit and Science_ \u00b7 \u2013;\n\nin _Three Ladies of London_ \u00b7 ,\n\nmasked characters Anima\u00b7 , , , , , , , ; Confusion\u00b7 ; Damnation\u00b7 , ; Damned Souls\u00b7 ; Death\u00b7 , , , \u2013, : costumes\u00b7 \u2013\u00b7 _see_ PLATE 26\u2013, PLATE 27\u00b7 ; Despair\u00b7 ; Devil\u00b7 , , , \u2013: Belyal\u00b7 , , , costume\u00b7 \u00b7 _see_ PLATE 26\u00b7 , Lucifer\u00b7 , , , Satan\u00b7 , , Titivillus\u00b7 , ; devils\u00b7 , , , , \u2013, , ; Dives\u00b7 ; Divine Correction (?)\u00b7 ; Fortune (two faces)\u00b7 ; giants\u00b7 ; God and God figures: gold-faced\u00b7 \u2013\u00b7 _see also_ Wisdom;\u00b7 Hell\u00b7 \u00b7 _see_ PLATE 26\u00b7 ; Judas\u00b7 ; King (temporary mask)\u00b7 ; Law of Nature\u00b7 ; Light of the Gospel (?)\u00b7 ; Love (mask on back of head)\u00b7 ; Mind, Will, and Understanding\u00b7 ; Nemesis (?)\u00b7 ; Vice, the, with brazen face (?)\u00b7 ; Vice, with gold face\u00b7 , 290; Wisdom: character in _Wisdom Who is Christ_ \u00b7 , , , , , , , in interlude (two faces)\u00b7 ,\n\nmasks\u00b7  and doubling\u00b7 \u2013; and mirrors\u00b7 \u2013\u00b7 _see also_ mirrors; as allegory and emblem\u00b7 _see_ allegory and emblem; double-faced\u00b7 , \u2013, ; removal as sign of moral reformation: in Bale's _Three Laws_ \u00b7 , in _Wisdom_ \u00b7 , ; sign of moral corruption\u00b7 \u2013: in Bale's _Three Laws_ \u00b7 , in _The Cradle of Security_ \u00b7 , , in _Wisdom_ \u00b7 , , ,\n\nunmasked characters allegorical characters in general\u00b7 ; Mankind figure\u00b7 \u2013; Vice, the\u00b7 , , , \u2013; Vices\u00b7 \u2013; Virtues\u00b7 \u2013\n\nMore, Sir Thomas\n\ninterest in Lucian\u00b7\n\n_Utopia_ \u00b7\n\nMoros, character in Wager's _The Longer Thou Livest_ \u00b7\n\nmorris sword-dance\u00b7\n\nMoth, character in Shakespeare's Love's _Labour's Lost._\n\n_Mount Tabor\u00b7 see_ Willis, Ralph\n\n_Mum and the Sothsegger_ \u00b7\n\n_mumchance_ \u00b7 _see_ amorous masking; courtly mummings; mumming\n\nmummers\u00b7 \u00b7 _see also_ mumming\n\nand householders\u00b7 , , , , , , , , , - _see_ PLATE 4\u2013, PLATE 6\u00b7\n\ncollecting-box and kitty\u00b7 , , , , , ,\n\ncostume\u00b7 \u2013\u00b7 _see also_ folk masking, disguises, masking costume, face-painting \u2013 _see_ PLATE 4\u00b7 , PLATE 5\u00b7 , PLATE 6\u00b7  cross-dressing\u00b7 \u00b7 _see_ PLATE 4\u00b7 ; cushion-covers and pillow-cases\u00b7 , ; false beards\u00b7 ; impromptu\u00b7 , ; inside-out garments\u00b7 , ; motley\u00b7 ; old clothes\u00b7 \u00b7 _see_ PLATE 4\u00b7 , PLATE 5\u00b7 , PLATE 6\u00b7 ; sheets\u00b7 , , ; white garments\u00b7\n\nface-paint\u00b7 ,\n\nblacking\u00b7 : charcoal\u00b7 , soot.8, ; flour\u00b7 , ,\n\nillustrations\n\nBruegel's _Carnival and Lent_ \u00b7 , \u2013, , \u00b7 _see_ PLATE 5\u00b7 ; Flemish\u00b7 \u00b7 _see_ PLATE 4\u00b7 , PLATE 6\u00b7\n\nincognito\u00b7 \u2013, , , , , ,\n\nidentity-guessing game\u00b7 ,\n\nmasks\u00b7 , , , , , , , , , , , , , , , \u00b7 _see_ PLATE 4\u00b7 , PLATE 5\u00b7 , PLATE 6\u00b7 , PLATE 7\u00b7 ; black mesh-covered faces\u00b7 ; negative characterisation\u00b7 ; refusal to unmask\u00b7 , , , ; unmasking\u00b7 , ,\n\nmodern\u00b7 _see also_ guising and guisers\u00b7\n\nparticipants\u00b7 _see also_ guising and guisers apprentices\u00b7 ; merchants and the lower classes\u00b7 ; young men\u00b7\n\nplay at dice\u00b7 , , , , \u2013, , , , , , \u00b7 _see_ PLATE 4\u00b7 \u00b7 _see also_ courtly mummings: weighted dice\u00b7 , , ,\n\nsilence\u00b7 , \u2013, , ,\n\nspeech\n\naltered voices\u00b7 ; 'Mom, mom'\u00b7 , , ; nonsense languages\u00b7\n\ntheatrical\n\nBen Jonson's _Masque of Christmas_ \u00b7 , ; Kyd's _Soliman and Perseda._ ; Merbury's _Marriage between Wit and Wisdom_ \u00b7\n\nmummers' play\u00b7 , , ,\n\nmumming\u00b7 , , , , , , , , \u2013, \u00b7 _see also_ mummers; courtly mumming\n\ncrime and violence\u00b7 , , \u2013, 308\n\ncover for attempted assassination\u00b7 : at Eltham (1415)\u00b7 , at Windsor (1400)\u00b7 , _Bal des Ardents_ (alleged)\u00b7 , \u2013, in Jacobethan revenge plays\u00b7 ; political terrorism\u00b7 \u2013, at Beverley (1537)\u00b7 , at Chorley, Lancs (1536)\u00b7\n\ndicing\u00b7 _see_ mummers\n\nencounter custom\u00b7 , , , , , \u2013\n\nadapted as courtly game\u00b7 , , ; power relations\u00b7 \u2013; rules of the game\u00b7 ,\n\ngeographical distribution\u00b7\n\nEngland\u00b7 , , , \u2013, \u2013, , \u2013; France\u00b7 ; Low Countries\u00b7 , , \u2013; Newfoundland\u00b7 , , , ; Northern Ireland\u00b7 ; Scotland\u00b7 _see_ guising and guisers\n\nHalpert's typology of\u00b7\n\nhouse-visits\u00b7 , , , , , , \u2013, \u00b7 _see_ PLATE 4\u00b7 , PLATE 6.96\n\n_mumchance_ , name for\n\nChristmas mumming\u00b7 ; dicing\u00b7 , , ; silence\u00b7\n\nprohibitions against\u00b7 \u2013, , ,\n\nseason for mumming\u00b7 ,\n\nChristmas\u00b7 \u2013, , ,\n\n_Mumming of the Seven Philosophers_ , A\u00b7 _see_ Lydgate, John\n\nMumming, character in Jonson's _Masque of Christmas._\n\nMunday, Anthony\n\nand others, _Sir Thomas More_ \u00b7 ,\n\non carnival\u00b7 , , , 309\n\nmystery plays\u00b7 _see also_ Beverley, Chester,\n\nCoventry, Mons, N.Town, Newcastle, Norwich, Towneley, York\n\ncostumes\n\nbeards, for old men: Chester Joseph\u00b7 , , Chester _Primus Pastor_ \u00b7 ; Christ, leather body-suit\u00b7 , , , , , ; devils\u00b7 , \u2013, \u2013, , , , multiple faces on body\u00b7 \u00b7 _see_ PLATE 21\u00b7 , PLATE 22\u00b7\n\neffects of masking\u00b7 \u2013\n\nface-painting\u00b7 _see also_ face-painting, _headword_\n\nblackened faces: Damned Souls\u00b7 , , \u2013, , , devils\u00b7 , \u2013, Herod\u00b7 ; gaolers\u00b7 , ; gold faces: child Jesus\u00b7 , , \u2013, , , , \u00b7 _see_ PLATE 24\u00b7 , Christ\u00b7 , Christ (?)\u00b7 , , , , , , God\u00b7 ; Herod (?)\u00b7 , ; old men\u00b7 ; players\u00b7 , ; red faces, archangel Raphael\u00b7 ,\n\nmasked characters\n\nangels\u00b7 \u2013; Apostles\u00b7 , ; Damned Souls\u00b7 , , , ; Death\u00b7 ; devils\u00b7 , , , , \u2013, , , , , , , ; God\u00b7 , : gold-faced Christ\u00b7 \u2013, in the Passion (?)\u00b7 , , , \u2013, gold-faced God\u00b7 , , , \u2013, \u2013, \u2013, , , , masked in Norwich _Creation_ \u00b7 , The Trinity (?)\u00b7 ; Good Souls\u00b7 , : in Coventry _Doomsday_ \u00b7 ; Herod\u00b7 , , , ; wicked humans\u00b7 \u2013\n\nmodern performance\u00b7 , , \u2013, \u00b7 _see_ PLATE 24\u00b7\n\nwigs\u00b7 \u2013\n\ncharacters with wigs: angels\u00b7 , , , Apostles\u00b7 : with diadems (haloes?)\u00b7 , Christ, gilded\u00b7 , , Damned Souls\u00b7 , Devil\u00b7 , God\u00b7 , , Good Souls\u00b7 , Mary Magdalene\u00b7 , , Pilate\u00b7 , Serpent, blonde\u00b7 , Souls\u00b7 , Spirit of God\u00b7 , St Peter, gilded\u00b7 , the Three Maries\u00b7\n\nN\u00b7 Town\n\n_Death of Herod_ , Death masked\u00b7\n\n_Parliament of Heaven_ , Trinity\u00b7\n\n_Dream of Pilate's Wife_ , devil\u00b7\n\nNantes, image of Prudence with mirror and double face by Colombe\u00b7\n\nNarbonne _Visit to the Sepulchre_ angels at Sepulchre with red veils\u00b7\n\nNashe, Thomas, _Christ's Teares over Jerusalem_ , on caul-masks\u00b7\n\nNational Theatre, London\n\n_Oresteia_ (1981)\u00b7\n\n_The_ Masteries\u00b7\n\nNemesis, character in _Respublica._\n\nNemo, Saint\u00b7 _see_ St Nemo\n\nNerissa, character in Shakespeare's _Merchant of Venice_ \u00b7\n\nNetherlands\u00b7 _see_ Low Countries Neville, Sir Edward\u00b7\n\nNew _Custom_ \u00b7 ,\n\nNew Guise, character in _Mankind_ \u00b7\n\nNew Hall, disguising (1520)\u00b7\n\nNew Year\u00b7 , , , , , , \u2013, ,\n\nNewcastle upon Tyne\n\nPlays, _Noah_ , devil, crooked snout\u00b7\n\nprohibition against mumming\u00b7\n\nNewfoundland mummers\u00b7 , , ,\n\nNidicheyt\u00b7 _see_ Poverty Noh, Japanese masked theatre\u00b7\n\nNoirot, Claude, _L'Origine des masques_ \u00b7 ,\n\nNorthumberland Household Book\u00b7 _see_\n\nSecond Northumberl and\n\nHousehold Book\n\nNorwich\n\n'Gladman's Insurrection'\u00b7 , \u2013\n\nSt Peter Mancroft, window with animal-masked gaoler\u00b7\n\nNorwich Plays\n\nGrocers, _Creation_ \u00b7 , , ,\n\nGod-mask and wig\u00b7 , , , ; Serpent, blonde wig\u00b7\n\nNuremberg\n\nButchers' guild\u00b7\n\ncarnival\u00b7 \u2013, ,\n\n_Schembartlauf_ \u00b7 \u2013\u00b7 _see_ PLATE 2\u00b7\n\nallegorised '; mask illustrations\u00b7 , \u00b7 _see_ PLATE 2\u00b7\n\nShrovetide plays\u00b7 ,\n\nO'Neill, Eugene\u00b7\n\n\u00d4\u00f0inn\u00b7 ,\n\nas Grimnir, 'the Masked or Cowled One'\u00b7\n\nOdo, Bishop of Paris\u00b7\n\nOgle, John, haberdasher and beard-maker\u00b7 , ,\n\nOlaus Magnus, Bishop of Uppsala\u00b7\n\n_Old Fortunatus_ \u00b7 _see_ Dekker, Thomas Orl\u00e9ans, Louis, Due d'\u00b7 \u2013\u00b7 _see_ PLATE 18\u00b7\n\nOrmerod, Oliver _Pagano-Papismus_ \u00b7\n\n_Ortus Vocabularum_ , dictionary\u00b7\n\nOtford, Kent, disguisings (1348)\u00b7 ,\n\nOttery St Mary, Devon\n\nchoirboys\u00b7\n\nFeast of Fools\u00b7\n\nOvid (Publius Ovidius Naso)\n\nDe _medicamine faciei_ , on women's cosmetics\u00b7\n\n_Fasti_ \u00b7 ,\n\nPacian, Bishop of Barcelona\u00b7\n\nPadstow 'Oss\u00b7\n\nPadua, _ludus de homine salvatico_ \u00b7\n\npaganism\n\nAnglo-Saxon\u00b7 \u2013, \u2013,\n\nGermanic\u00b7 \u2013\n\nMediterranean\u00b7\n\nRoman\u00b7 \u2013, \u2013\n\nequated with Roman Catholicism\u00b7 ; _see_ n as source of early modern masking customs\u00b7\n\nPage, Anne, character in Shakespeare's Merry _Wives of Windsor_ \u00b7\n\nPalsgrave, John, French dictionary\u00b7\n\nPantalone\u00b7\n\npantomime, classical\u00b7 _see_ classical theatre\n\n_pantomimus_ \u00b7 _see_ classical theatre\n\nParis\n\ncarnival\u00b7 , ,\n\nFeast of Fools, clerical\u00b7 ,\n\nHoly Innocents' cloister, Dance of Death mural (1424)\u00b7\n\nRoyal Entry of Charles VII (1437)\u00b7\n\nParliament, January 1376\/7, opening\u00b7\n\nPasse, Crispijn van der\u00b7 , \u00b7 _see_ PLATE 3\u00b7 , PLATE 4\u00b7 , PLATE 6\u2013\n\nPeden, Alexander, Covenanter, mask\u00b7 \u00b7 _see_ PLATE 7\u00b7\n\nPedro, Don, character in Shakespeare's _Much Ado about Nothing_ \u00b7\n\n_P\u00e8lerinage de la vie humaine_ , Le\u00b7 _see_ DeGuileville\n\nPenance, character in DeGuileville's _P\u00e8lerinage_ \u00b7\n\nPentheus, death attributed to masking\u00b7 309\n\n_Perchten_ , Austrian masked folk characters.49\n\nPerottus, Nicolaus, _Cornucopia_ \u00b7\n\nPerri\u00e8re, Guillaume de la, _La Theatre des bons engins_ \u00b7\n\nPerth, guising\n\nin 1577\u00b7\n\nin 1609\u00b7 ,\n\nPerverse Doctrine, character in _New Custom_ \u00b7\n\nPeter Chrysologos, Saint, of Ravenna\u00b7 , , , ,\n\nPettie, George _Petite Pallace of Pettie his Pleasure_ \u00b7\n\nPhiladelphia Mummers\u00b7\n\nPhilautus, character in Lyly's _Euphues_ and _Euphues and his England_ \u00b7 ,\n\nphysiognomists\u00b7 _see also_ Aristotle; Porta, Giovanni Baptista della\n\ncompare men and animals\u00b7 \u2013\n\nPiacenza, manufactures chiffon 'pleasaunce'\u00b7\n\n_Piers Plowman_ \u00b7 _see_ Langland, William\n\nPilate, character in\n\nChester Coopers' _Trial and Flagellation_ , doubled?\u00b7\n\nCoventry Cappers' _Harrowing and Resurrection_ \u00b7\n\nPilgrimage of Grace\u00b7\n\nPirandello, Luigi\u00b7\n\nPlato, _Timaeus_ , metamorphosis into animals\u00b7\n\nPlatter, Felix and Thomas, diarists\u00b7 ,\n\n_Play of Antichrist_ \u00b7 ,\n\nPlutarch, _Life of Caius Marius_ \u00b7\n\npoachers, wear masks\u00b7\n\nPodalirius, character in Gresemund's _Carnisprivii dialogus._ , \u2013, , 309\n\n_Poetic Edda_ \u00b7\n\nPole, John de la, Duke of Suffolk\n\nand Alice, Duchess of Suffolk, satirised in _Wisdom_ \u00b7\n\ntournament helm on effigy at Wingfield\u00b7 \u2013\u00b7 _see_ FIG\u00b7 6\u00b7\n\nPollux, Julius, _Onomasticon._\n\n_pompa circensis_ \u00b7 _see_ Roman amphitheatre\n\n_Popish Kingdom, The_ \u00b7 _see_ Googe, Barnabe\u00b7\n\npopular masking\u00b7 _see_ folk masking Porta, Giovanni Baptista della, _De humana physiognomonia_ , animal-and bird-headed men\u00b7\n\nPortia, character in Shakespeare's _Merchant of Venice_ \u00b7\n\nPortugal, Kalends masking\u00b7\n\nPoverty ('Nidicheyt'), character in Haarlem Rhetoricians' play (1606)\u00b7\n\nPraelles, Raoul des, commentary on Saint Augustine's _City of God_ \u00b7 ,\n\nPrague\n\nFeast of Fools\u00b7\n\nTournament of the Hussars (1557)\u00b7 , \u00b7 _see_ PLATE 13\u00b7\n\n_Presentation of the Virgin\u00b7 see_ Mezi\u00e9res, Philippe de\n\nPrester John\u00b7\n\nPride\n\n('Hovoerdicheyt'), character in Haarlem Rhetoricians' play (1606)\u00b7\n\ncharacter in _The Cradle of Security_ \u00b7\n\npersonification with false face and mirror\u00b7\n\n_Pride of Life_ , Death\u00b7\n\nPrincess of France, character in Shakespeare's Love's _Labour's Lost_ \u00b7 ,\n\n_Processus Satanae_ \u00b7\n\nprohibitions against folk masking\u00b7\n\nagainst charivari\u00b7 , 47\n\nagainst Feast of Fools masking\u00b7 ,\n\nagainst guising in Scotland\u00b7 , \u2013\n\nagainst Kalends masking\u00b7 ,\n\nagainst maskers stealing food\u00b7\n\nagainst masking in clerical dress\u00b7 ,\n\nagainst mumming\u00b7 \u2013, , , , , , \u00b7 _see also_ mumming\n\n_Promptorium parvulorum_ \u00b7\n\nprops\n\nmaterials\u00b7\n\nclay\u00b7 ; counterfeit moss\u00b7 ; _cuir bouill\u00e9_ (boiled leather)\u00b7 ; flour\u00b7 ; glue\u00b7 , ; hoops\u00b7 ; horsehair\u00b7 ; moulded work\u00b7 ; nails\u00b7 ; paper\u00b7 ; paste paper (pasteboard)\u00b7 ; paste and cement\u00b7 ; plaster of paris\u00b7 ; plaster bandage\u00b7 ; plastered cloth\u00b7 ; size\u00b7 ; suet\u00b7 ; timber\u00b7 ; wax\u00b7 ; moulded work\u00b7\n\nProtestant Reformation\n\nadopts anti-theatrical arguments of Early Christian writers\u00b7 ,\n\nadopts Early Christian writers'\n\narguments against popular masking\u00b7 ,\n\nhostility towards mystery plays\u00b7 ,\n\nidentifies popular masking with Roman Catholicism\u00b7 , , ,\n\nProven\u00e7al producer's script, late fifteenth century, devil mask\u00b7\n\nProvence, Kalends masking\u00b7 ,\n\nPrudence, personification\n\ndouble-faced\u00b7\n\ndouble face and mirror, at Nantes\u00b7\n\nmirror\u00b7\n\nPrynne, William, _Histriomastix_ \u00b7 , , , ,\n\nPseudo-Augustine\u00b7 _see_ Augustine, Pseudo-\n\nPseudo-Maximus\u00b7 _see_ Maximus, Pseudo-\n\nPseudo-Severian\u00b7 _see_ Severian, Pseudo-\n\nQuaet Gelove (Bad Faith), character in van den Berghe's _Wellustige Mensch_ , dressed behind as devil\u00b7\n\nQueensferry Burry Man\u00b7 ,\n\n_qu\u00eate_ \u00b7 , ,\n\nQuintilian, Marcus Fabius, _Institutio oratoria_ , on masked acting\u00b7\n\nRafe Roister, character in _Like will to Like_ \u00b7\n\n_Ramlila_ , Indian masked theatre\u00b7\n\nRaphael, archangel\u00b7 ,\n\nRastell, John, _Nature of the Four Elements_ \u00b7\n\nRavenna, Kalends procession\u00b7\n\nReason, character in\n\nChaundler's _Liber apologeticus_ , gives Man mirror\u00b7 \u2013\n\nRedford's _Wit and Science_ \u00b7 ,\n\nglass (mirror) of Reason\u00b7 \u2013\n\nRedford, John, _Wit and Science_ \u00b7 , , , , \u2013\n\nRegensburg, Feast of Fools\u00b7\n\nregulations, on carnival\u00b7 , , , , ,\n\n_Renaud de Montauban\u00b7 _see_ Maugis d'Aigremont_\n\nRen\u00e9 I, roi d'Anjou\n\n_Livre du Coeur d'amours \u00e9pris_ \u00b7\n\n_Pas du Perron_ \u00b7 _see_ PLATE 11\u00b7\n\n_Trait\u00e9 des tournois_ \u00b7 \u2013, , , \u00b7 _see_ PLATE 10\u00b7 , PLATE 8\u00b7 , PLATE 9\u00b7\n\n_Respublica_ \u00b7 , ,\n\nRevello, _Transfiguration_ \u00b7\n\nRevels Office\n\naccounts and inventories\u00b7 , , , , , , , , , , , , , , , \u2013, ,\n\npersonnel and suppliers\n\nAllen, Rowland, mouldman\u00b7 ; basket-makers\u00b7 ; buskin-makers\u00b7 ; Carowe, John, property-maker\u00b7 , ; carvers\u00b7 , ; Cawarden, Sir Thomas, Master of the Revels\u00b7 , ; Gibson, Richard, Yeoman of the Revels\u00b7 , , ; Giles, Thomas, haberdasher\u00b7 , ; haberdasher\u00b7 , ; Jarmin, Nicholas, tailor and property-maker\u00b7 ; John Holt, Yeoman of the Revels\u00b7 ; Kelsey, John\u00b7 ; Ledes, John\u00b7 ; milliner\u00b7 , ; Milliner, Christopher\u00b7 ; Modena, Nicholas, joiner and property-maker\u00b7 ; mould-man\u00b7 ; Ogle, John, vizardmaker\u00b7 , ; painters\u00b7 ; property-makers\u00b7 , , ; Rowland, Richard, property-maker\u00b7 ; silk women\u00b7 ; skinner\u00b7 ; Trott, silkman\u00b7 ; turner\u00b7 ; vizardmaker\u00b7\n\nresponsible for tournament gear\u00b7\n\nsets of costumes called _masks_ \u00b7\n\nReward, character in R.B.'s _Apius and Virginia_ \u00b7\n\nRhetoricians' plays\u00b7 _see_ Low Countries\n\nRichard I, King of England\u00b7\n\nRichard II, King of England\n\nas Prince\u00b7 ,\n\nbrokers reconciliation of London and John of Gaunt\u00b7\n\ncharacter in Shakespeare's _Richard II_ \u00b7\n\ncourtly mummings by Londoners\n\nat Eltham (1392\/3 and 1393\/4)\u00b7 ; at Kennington (1377)\u00b7 \u2013,\n\nreconciliation with the City of London (1392), pageants\u00b7 ,\n\nRichard, Prince, son of Edward IV\u00b7\n\nRichmond, Middlesex\n\ndisguising in the Queen's chamber (1510)\u00b7\n\njousts (1510)\u00b7 \u2013\n\nRipa, Cesare, _Iconologia_\n\nFraud with mask\u00b7\n\nTerror with a lion's head\u00b7\n\nRobin Hood, Henry VIII as\u00b7\n\nRoman\n\namphitheatre\n\n_pompa circensis_ \u00b7 , , , ; _spectacula_ \u00b7\n\nArmy\u00b7 \u2013\n\nfestival of Kalends\u00b7 _see_ Kalends\n\nfestival of Saturnalia\u00b7 _see_ Saturnalia\n\nfestival of Sigillaria\u00b7 _see_ Sigillaria\n\npaganism\u00b7 \u2013\n\nequated with Roman Catholicism\u00b7 ; official religion\u00b7 \u2013; _see_ n as source of early modern masking customs\u00b7\n\nparade helmets\u00b7 , , ,\n\ntheatre\u00b7 _see_ classical theatre\n\nRoman Catholicism\n\nequated with Roman paganism\u00b7\n\nidentified with popular masking\u00b7 , , ,\n\n_Roman de Fauvel_ \u00b7 _see_ Bus, Gervais de\n\nRomans, Dauphin\u00e9, carnival (1580)\u00b7 ,\n\nRome, carnival\u00b7 , , , , , , , ,\n\n_Romeo and Juliet_ ,\u00b7 _see_ Bandello, Broke, Shakespeare\n\nRosaline, character in Shakespeare's Love's _Labour's Lost_ \u00b7\n\nRoscius, supposed inventor of theatrical masks\u00b7\n\nRouen, Feast of Fools\u00b7\n\nRowland, Richard, property-maker\u00b7\n\nRoyal Entries\u00b7\n\n_custos_ or expositor\u00b7\n\nof Charles VII into Paris (1437)\u00b7\n\nof Henry V, into London after Agincourt\u00b7\n\nof Joanna the Mad into Brussels (1496)\u00b7\n\nof Queen Elizabeth Woodville into London (1464)\u00b7\n\nreconciliation of Richard II with the City of London (1392)\u00b7\n\nshining faces in street pageants as Adventus theme\u00b7\n\nRoyal Ulster Constabulary\u00b7\n\nSachs, Hans, _Schembartlauf_ allegorised\u00b7\n\nSambucus, Joannes, _Emblemata_ \u00b7\n\nSaragossa, Corpus Christi devils\u00b7\n\nSardi, Alexander, _De rerum inventoribus._\n\nSartori, Donato, mask maker\u00b7 , ,\n\nSarum, Old, Feast of Fools\u00b7\n\nSastrow, Bartholomew\u00b7\n\nSatan\n\ncharacter in\n\nGarter's _Virtuous and Godly Susanna_ \u00b7 ; Lupton's _All for Money_ \u00b7 , ; _Processus Satanae_ \u00b7\n\nmasker and inventor of masks\u00b7 ,\n\ntransforms self into angel of light\u00b7 ,\n\nsatire and masking\u00b7 , , , , ,\n\nSaturnalia\u00b7 \u2013,\n\nlinked with late medieval and Renaissance popular masking\u00b7\n\nmasking (?)\u00b7\n\nRoman festival\u00b7 \u2013, , ,\n\ndicing\u00b7 , , ; Lord of Misrule\u00b7 ; world upside down\u00b7\n\n_Satyre of the Thrie Estaitis_ \u00b7 _see_ Lindsay, Sir David\n\nSavaron, Jean, _Traitte contre les masques_ \u00b7 , ,\n\nScandinavia\u00b7 , ,\n\nScarcity, character in play for coronation of Mary Tudor (1553)\u00b7\n\n_Schembartlauf_ \u00b7 _see_ Nuremberg\n\n_schoduvel_ \u00b7 _see_ bear; carnival; devil; folk masking\n\nScience, character in Redford's _Wit and Science_ \u00b7 , ,\n\n_scina_ and _scucca_ , Old English demons\u00b7\n\nScotland\u00b7 _see_ guising and guisers; cross-dressing; folk masking; Mary, Queen of Scots; Binning, Walter; Peden, Alexander\n\nSecond Northumberland Household Book\u00b7\n\n_Secreta secretorum_ \u00b7\n\nSeneca, Roman philosopher, as character in courtly mummming\u00b7\n\nSensuality, character in Chaundler's _Liber apologeticus_ \u00b7\n\nSeven Deadly Sins\n\nas animals\u00b7\n\ncharacters in\n\nBale's _King Johan_ \u00b7 ;\n\nRoyal Entry into Paris (1437)\u00b7\n\niconography\u00b7\n\nSeven Virtues\n\ncharacters in Royal Entry into Paris (1437)\u00b7\n\nSeverian, Pseudo-\u00b7 ,\n\nShakespeare, William\n\nand continental masking games\u00b7\n\n_King Henry VIII_ \u00b7 , , ,\n\n_Love's Labour's Lost_ \u00b7 , , \u2013\n\n_Merchant of Venice, The_ \u00b7 , ,\n\nMerr;y _Wives of Windsor, The_ \u00b7 , , ,\n\n_Midsummer Night's Dream_ , A\u00b7 ,\n\n_Much Ado about Nothing_ \u00b7 , \u2013\n\n_Richard_ II, mirror scene\u00b7\n\n_Romeo and Juliet_ \u00b7 , , , \u2013\n\nshamans\u00b7\n\nShame, character in Redford's _Wit and Science_ \u00b7\n\nshape-changers, warrior\u00b7\n\nSherborne, Dorset\u00b7 _see_ play of _Lot and Sodom_\n\nShrove Tuesday\u00b7 , , , , , , ,\n\nmasquerade in Antwerp\u00b7\n\nShrovetide\u00b7 , \u2013\n\nparade in London\u00b7\n\nplays\u00b7 , , , \u2013\n\nSickness, character in play for coronation of Mary Tudor (1553)\u00b7\n\nSigillaria, Roman festival\u00b7\n\nSin, character in Lupton's _All for Money_ \u00b7 , ,\n\n_sinnekens_ \u00b7 Vice figures in Rhetoricians' plays\u00b7 _see_ Low Countries\n\n_Sir Gawain and the Green Knight_ \u00b7 \u2013\n\n_Sir Thomas More_ \u00b7 _see_ Munday, Anthony\u00b7\n\nSkelton, John\n\n_Magnificence_ \u00b7 ,\n\nCloked Collusion\u00b7\n\n_The Bowge of Court_ , Dissimuler\u00b7\n\nSnatch, character in Merbury's _Marriage between Wit and Wisdom_ \u00b7\n\n_societ\u00e9es joyeuses_ \u00b7\n\nSodomy, character in Bale's _Three Laws_ \u00b7\n\nSoissons, Feast of Fools\u00b7\n\n_Soliman and Perseda_ \u00b7 _see_ Kyd\n\nSorcerer of Les Trois Fr\u00e8res\u00b7\n\n_sotternien_ and _sotties_ \u00b7\n\nSouls, characters in Coventry Cappers' _Harrowing and Resurrection_ \u00b7\n\nSpain\n\nbasse dance _La Spagna_ \u00b7\n\ncarnival\u00b7 , ,\n\nCorpus Christi at Saragossa\u00b7\n\nKalends masking\u00b7 ,\n\nmasked characters in processions\u00b7\n\nmodern fiesta 'dwarf\u00b7\n\noranges\u00b7 ,\n\nSpanish disguising costume\u00b7\n\n_spelen van sinne_ \u00b7 _see_ Low Countries\n\nSpinelli, Gasparo\u00b7\n\nSt Dasius, martyr\u00b7\n\nSt Nemo (St Nobody)\u00b7\n\nSt Paul's Cathedral, London\u00b7 _see_ London\n\nStanislavsky, Konstantin\u00b7\n\nstitlers\u00b7\n\nStraw Bear\u00b7 \u00b7 _see also_ folk masking\n\nStubbes, Philip, _Anatomie of Abuses_ \u00b7\n\nSuffolk, Duke of\u00b7 _see_ Pole, John de la\n\nSuleiman II, the Magnificent, Sultan of Turkey\u00b7\n\nSummer Lords and Ladies\u00b7\n\nsumptuary laws '\n\nSutton Hoo helmet\u00b7 16\u2013, \u00b7 _see_ FIG\u00b7 1\u00b7\n\nSweden\u00b7 ,\n\nTacitus, Cornelius Publius\u00b7 , ,\n\n_talamasca_ \u00b7 _see_ terminology\n\nTasso, Torquato, on carnival\u00b7 , ,\n\nTattle, Timothy, character in Jonson's _Staple of News_ \u00b7\n\nTediousness, giant character in Redford's _Wit and Science_ \u00b7 , ,\n\nTemperance ('Maticheyt'), character in Haarlem Rhetoricians' play (1606)\u00b7\n\nTerence (Publius Terentius Afer), _Comedies_ \u00b7 ,\n\nmanuscript illustrations\u00b7 , , \u2013\u00b7 _see_ PLATE 29\u00b7 292\n\nmedieval and Tudor school text\u00b7\n\n_Terence des ducs\u00b7 see_ Josephus Master\n\nterminology\u00b7 , \u2013\n\n_artifices_ \u00b7 ,\n\n_caput_ \u00b7 _see head carnelevale_ \u00b7\n\n_cheveler, cheverel_ (wig)\u00b7\n\n_crest_ \u00b7 ,\n\n_daemones_ \u00b7 ,\n\n_disfigure_ \u00b7 ,\n\n_disguise_ \u00b7 ,\n\n_daunces disgisi_ \u00b7 , ; _disgisi_ of clothes\u00b7 ; _disguising_ \u00b7 , , \u2013,\n\n_face_ \u00b7 , , , ,\n\n_facies_ (Latin)\u00b7 , , , \u2013\n\n_fax_ (wig)\u00b7\n\n_grima_ \u00b7 , ,\n\n'spectre'\u00b7 ; face-mask, especially on helmet\u00b7 , ; _grimhelm_ \u00b7 , ; related to _grime_ \u00b7\n\n_head_ \u00b7 , , ,\n\n_caput_ (Latin)\u00b7 \u2013; covers whole head\u00b7 ; _headpiece_ \u00b7 ,\n\n_histrio_ \u00b7 ,\n\n_hypocrita_ \u00b7 \u2013\n\n_hypocrisis_ , suggested etymology 'gold outward'\u00b7 ; _hypocrites_ \u00b7 , ; _hypokrinesthai_ \u00b7 ; suggested etymology 'false judgement'\u00b7 , , 290; term for 'actor', translated _simulator_ \u00b7\n\n_larva_ \u00b7 , , , \u2013\n\nblack-faced spectre? '; called _talamasca q.v_.\u00b7 , ; 'fright-mask'\u2022 , , , , , , , , , , , of cacodemon '; 'malignant ghost'\u00b7 , , , , , , , , , , , , , , , linked with _masca q.v_.\u00b7 ; 'mask' .2, , , , , , , , , , , , , , , , , , , , equated with _viser_ \u00b7 , ; 'masker'\u00b7 ; 'scarecrow'\u00b7 , , ; used of classical stage-masks\u00b7\n\n_larvatus_\n\n'bewitched'\u00b7 , ; 'masked'\u00b7 , , , , , , , , , ; 'masker'\u00b7\n\n_Indus_ \u00b7 , , , ,\n\n_ludi theatrales_ \u00b7 , , ; _ludicrum_ , 'game'\u00b7\n\n_masca_\n\n'evil spirit'\u00b7 \u2013, ; 'mask'\u00b7 \u2013; equated with _striga_ and _lamia_ , 'witch, nightmare'\u00b7 ; Lombard term?\u00b7\n\n_mascara_ \u00b7\n\n_mascarure_ \u00b7 ; _maschurer_ (verb) 'to black up'\u00b7 , , variants _masquier, masquiller, maquiller_ \u00b7 ; related to _masca_ \u00b7\n\n_mask_ \u00b7 ,\n\n(entertainment)\u00b7 , , , ; from _masque_ (French)\u00b7 , ; later _masque_ \u00b7 , , ; (object)\u00b7 , ; (set of costumes)\u00b7 ,\n\n_maskelyn_ \u00b7\n\n_masque\u00b7 seemask_\n\n_monstra_ \u00b7\n\n_mum_ \u00b7\n\n_mommen_ (verb)\u00b7 ; _mummery_ \u00b7 , , ; _mommerij_ \u00b7 , ; _mumming_ \u00b7 , ; various suggested derivations\u00b7\n\n_pagani_ \u00b7\n\n_pastime_ \u00b7\n\n_persona_ \u00b7 , , , , , \u2013,  'mask'\u00b7 ,\n\n_prosopeion_ (Greek for 'theatre mask')\u00b7\n\n_spectaculumy_ 'public show'\u00b7 , ,\n\nPrynne translates as 'stage-play'\u00b7\n\n_talamasca_ \u00b7 ,\n\n_tymbres_ \u00b7\n\n_visage_ \u00b7 \u2013\n\n_fauce\/faulx visage_ \u00b7 , , , ,\n\n_visor_ \u00b7 , , , \u2013 covers the _vis_ ('face')\u00b7 ; _visar, visardy vesern_ \u00b7 ; _viser_ \u00b7 , , , , ; _viserium_ (Latin)\u00b7 ; _wesseren, wesseron_ \u00b7 ,\n\nTertullian, Quintus Septimus Florens\u00b7 , ,\n\n_De cultu feminarum_ \u00b7 ,\n\n_De spectaculis_ \u00b7 ,\n\n_Testament of Cresseid_ \u00b7 _see_ Henry son, Robert\n\nThais, character in Marston's _Insatiate Countess_ \u00b7\n\nThammas, incest attributed to masking\u00b7 309\n\ntheatrical masking\u00b7 _see_ masked actors; masked theatre traditions; classical theatre; _miracles_; morality plays; mystery plays\n\nTheodore of Tarsus, Archbishop of Canterbury\u00b7\n\nTheology, character in Lupton's _All for Money_ \u00b7\n\nThespis, supposed inventor of theatrical masks\u00b7\n\nThomas of Chobham\u00b7 ,\n\nThomas, William, on carnival in Rome\u00b7\n\nThree Kings of Cologne\u00b7 _see_ Magi\n\n_Three Ladies of London, The_ \u00b7 _see_ Wilson, R.\n\n_Three Laws_ \u00b7 _see_ Bale, John\n\n_Three Lords and Three Ladies of London, The_ \u00b7 _see_ Wilson, R.\n\nThree Maries, characters in Coventry Cappers' _Harrowing and Resurrection_.332\n\n_Tide tarrieth_ No Man, _The_ \u00b7 _see_ Wapull, George\n\nTime, double-faced\u00b7\n\nTitivullus, character in _Mankind_ \u00b7 , \u00b7 _see also_ Devil Tom Tosspot, character in _Like will to Like_ \u00b7\n\nTorslunda Plaques\u00b7 , , , \u00b7 _see_ FIG\u00b7 3\u00b7\n\ntournament helms\u00b7 _see_ tournaments tournaments\u00b7 \u2013\n\nand disguisings\u00b7 , ,\n\nas romance scenarios\u00b7\n\nas topical comment\u00b7 ,\n\nheld at Acre, for coronation of Henry of Cyprus (1286)\u00b7 ; Canterbury (1348)\u00b7 , ; Dunstable: (1334)\u00b7 ; for betrothal of Prince Lionel (1342)\u00b7 , ; Edinburgh, Tournament of the Black Lady (1507\/8)\u00b7 ; Greenwich (1515)\u00b7 ; Guisnes (1414\/15)\u00b7 ; Le Hem (1278)\u00b7 ; Lichfield (1348)\u00b7 , , , ; London: Mayor and Aldermen (1359)\u00b7 , Pope and Cardinals, at Smithfield (1343)\u00b7 , , Seven Deadly Sins (1362)\u00b7 ; Tartars, at Cheapside (1331)\u00b7 , , tournament at Stepney (1331)\u00b7 ; Prague, Tournament of the Hussars (1557)\u00b7 , \u00b7 _see_ PLATE 13\u00b7 ; Richmond, jousts (1510)\u00b7 \u2013; Westminster: for wedding of Prince Arthur and Katherine of Aragon (1501)\u00b7 , , , for wedding of Richard of York, son of Edward IV (1477\/8)\u00b7 , Henry VII (1495)\u00b7 , to celebrate birth of first child of Henry VIII and Katherine of Aragon (1511)\u00b7 , \u2013, with disguisings\u00b7 , , ,\n\nheraldry and identity\u00b7 \u2013\n\nin fifteenth-century Burgundy\u00b7\n\nin literature, Malory's Lancelot\u00b7 , , \u2013\n\nmottoes and _imprese_ as identifying devices\u00b7 \u2013\n\npageant cars\u00b7\n\nportable pavilions\u00b7 , \u00b7 _see_ PLATE 15\u00b7\n\npreceded by masked processions\u00b7 , , ,\n\nRound Table of Edward I (1284)\u00b7\n\ntournament characters\n\nAmazons\u00b7 ; Arthurian knights\u00b7 ; Knights of the Round Table: and Amazons\u00b7 , Lancelot\u00b7 , Sir Lyonell\u00b7 , Tristan\u00b7 ; Coeur Loyal, Vaillant Desir, Bone Vouloyr, and Joyous Penser\u00b7 , ; Florimont\u00b7 ; grotesque carnival figures\u00b7 ; hermit knight\u00b7 ; jousting ladies\u00b7 ; Lady Venus\u00b7 ; _le chevalier inconnu_ \u00b7 \u2013; Mayor and Aldermen\u00b7 ; nuns and monks\u00b7 ; pilgrim\u00b7 ; Pope and Cardinals\u00b7 ; Saracens\u00b7 : in Malory's Morte _d'Arthur_ \u00b7 , in _Pas du Perron_ \u00b7 _see_ PLATE 11\u00b7 ; Seven Deadly Sins\u00b7 ; Tartars\u00b7 ; Turks\u00b7 , and Moors\u00b7 ; Wild Knight\u00b7\n\ntournament helm\u00b7 , , , , , \u2013, , \u2013,\n\nconstruction\u00b7 \u00b7 _see_ PLATE 8\u00b7 ; crests\u00b7 , , \u2013\u00b7 _see_ PLATE 9\u00b7 , materials, _cuir bouill\u00e9_ (boiled leather)\u00b7 , leather\u00b7 , ostrich feathers\u00b7 , , whitleather\u00b7 ; frog-mouthed helm\u00b7 , \u00b7 _see_ FIG\u00b7 5\u00b7 ; great helm\u00b7 \u2013\u00b7 _see_ FIG\u00b7 4\u00b7 ; grotesque German parade helmets\u00b7 , Maximilian\u00b7 , \u00b7 _see_ PLATE 23\u00b7 217; like lions devouring man's head\u00b7 , Venetian helmet (salade), c\u00b7 1460\u00b7 \u00b7 _see_ PLATE 12\u00b7 ; Saracen's head, de la Pole tomb\u00b7 \u2013\u00b7 _see_ FIG\u00b7 6\u00b7 , like giant (German)\u00b7 , _Pas du Perron_ \u00b7 _see_ PLATE 11\u00b7 ; Tartars\u00b7 ; Turks and Moors\u00b7 , \u00b7 _see_ PLATE 13\u00b7 ; visored bascinet\u00b7\n\nunvisoring\u00b7 , , \u2013,\n\nviewing the helms\u00b7 \u00b7 _see_ PLATE 10\u00b7\n\nvisors and masks\u00b7 , , , , , ,\n\nTowneley Plays\n\n_Doomsday_ , devils\u00b7\n\n_Scourging and Talents_ , bright-faced Christ of the Passion\u00b7\n\nTransfiguration, divine radiance, masks and stage effects, at Mons, Revello, and York\u00b7 \u2013\n\nTreason, character in DeGuileville's _P\u00e8lerinage_ \u00b7 ,\n\n_Tretise of Miraclis Pleyinge_ \u00b7\n\n_Trial of Treasure, The_ \u00b7\n\ntrick or treat\u00b7 ,\n\nTristan, character in Arthurian romance, as tournament character\u00b7\n\nTriumph of Death\u00b7\n\n_Triumph of Isabella_ \u00b7 _see_ Alsloot, Denis van\n\n_Triumph of Maximilian_ \u00b7 _see_ Burgkmair; Maximilian I\n\nTrivet, Nicholas, _Commentary_ on\n\nxy1\n\nAugustine's _City of_ God, on classical masked acting\u00b7 293\n\nTrott, silkman\u00b7\n\nTruth\n\ncharacter in Dekker's _Whore of Babylon_ twin of Falsehood\u00b7\n\npersonification with mirror\u00b7\n\ntumblers, female\u00b7\n\nTusser, Thomas, _Five Hundred Points of Good Husbandry_ \u00b7\n\nTwelfth Night\u00b7\n\nUnderstanding, character in _Wisdom_ \u00b7 , ,\n\nunmasking\u00b7 , , , , , \u2013, , , , , ,\n\nrefusal to unmask\u00b7 , , ,\n\nUrsula, character in Shakespeare's Much _Ado about Nothing_ \u00b7\n\nUsury, character in Wilson's _Three Ladies of London_ \u00b7\n\n_Utopia_ \u00b7 _see_ More, Sir Thomas\n\nValdivia, Diego P\u00ebrez de, _Platica de las mascaras_ \u00b7\n\n_Valentine and Orson_ \u00b7\n\nVanity, character in _Liberality and Prodigality_ , dressed in feathers\u00b7\n\nVaragine, Jacobus a, _Legenda Aurea (Golden Legend)_ \u00b7\n\nVasari, Giorgio\u00b7\n\nVaus, Sir Nicholas\u00b7\n\nveils\n\nalternative to masks\u00b7 \u2013\n\nblack veils for female Moors\u00b7 ;\n\nred veils for angels at the Sepulchre\u00b7 \u2013,\n\nLaw of Moses in Bale's _Three Laws_ \u00b7\n\nMoslem\u00b7\n\nVenice\u00b7 _see also_ carnival\n\namorous masking\u00b7 ,\n\ncarnival\u00b7 , , , , ,\n\nWild Man hunt in 1340s\u00b7\n\nVenus\n\ndouble-faced\u00b7\n\nmasked character in classical theatre\u00b7\n\ntournament character 'Lady Venus'\u00b7\n\nVergil, Polydore, _De rerum inventoribus_ \u00b7 , , , , 308\n\nVerity, character in Lindsay's _Satyre of the Thrie Estaitis_ \u00b7\n\nVerona, amorous masking in _Romeo and Juliet_ story\u00b7 , ,\n\nVice, character in Dekker's _Old Fortunatus_ , gold mask\u00b7 , 290\n\nVice, the\u00b7 _see_ morality plays; masked and unmasked\n\nVice figures, in Rhetoricians' plays\u00b7 _see_ Low Countries\n\nVirgil (Publius Vergilius Maro)\n\n_Eclogues_ , on Saturnalia\u00b7\n\n_Georgies_ , on origin of masks\u00b7\n\nVirtue, character in\n\nDekker's _Old Fortunatus_ , rejects mask\u00b7 ,\n\n_Liberality and Prodigality_ \u00b7\n\n_Virtuous and Godly Susanna_ \u00b7 _see_ Garter, Thomas\n\n_visers_ \u00b7 _see_ terminology\n\nVitalis, Roman mime actor\u00b7\n\nVives, Juan Luis, _De institutione feminae christianae_ \u00b7 , , ,\n\nVleischelijcke Sin ('Carnal Lust'), character in van den Berghe's _Wellustige Mensch_ , dressed behind as Death\u00b7\n\n_Volpone_ \u00b7 _see_ Jonson, Ben\n\nWager, Lewis, _Marie Magdalene_ \u00b7 , ,\n\nWager, William, _The Longer Thou Livest the More Fool Thou Art_ \u00b7\n\nwakes.\n\nearly Christian Europe\u00b7\n\nLudlow (1284)\u00b7 \u2013\n\nWalens, Moyses, of Cologne, _Album amicorum\u00b7 see_ PLATE 20\u00b7\n\nWalker, Gilbert, A _manifest detection_ \u00b7\n\nWalleys, Thomas, _Commentary_ on\n\nAugustine's _City of God_ , on classical masked acting\u00b7 293\n\nWapull, George, _The Tide tarrieth_ No Man\u00b7 ,\n\nWardrobe accounts of Edward III\u00b7 , , , , , , , , ,\n\nwar-paint\u00b7 \u00b7 _see_ face-painting\n\nWastefulness, character in WapulPs _The Tide tarrieth No Man_ \u00b7\n\nweapon dance\n\n'Gothic', at Byzantium\u00b7 \u2013,\n\nby Northern Goths\u00b7\n\nin Tacitus\u00b7\n\npossible image\u00b7 \u00b7 _see_ FIG\u00b7 3\u00b7\n\n_Weissk\u00fcnig_ , Der, illustrated Hans Burgkmair\u00b7\n\nWells Cathedral, Somerset, Feast of Fools.42\n\n_Wellustige Mensch_ ('Voluptuous Man')\u00b7 _see_ Berghe, Jan van den\n\nWestminster\n\ncoronation of Henry VIII (1509)\u00b7\n\ncourtly mumming (Shrove Sunday 1510)\u00b7\n\ndisguisings 1493) by Cornish\u00b7 ; (1501) for wedding of Prince Arthur and Katherine of Aragon\u00b7 , ; (1510)\u00b7 , , ; (1510) of Robin Hood in the Queen's Chamber\u00b7\n\ntournaments (1477\/8) for wedding of Richard of York, son of Edward IV\u00b7 ; (1495)\u00b7 ; (1501), for wedding of Prince Arthur and Katherine of Aragon\u00b7 , , ; (1511), to celebrate birth of first child of Henry VIII and Katherine of Aragon\u00b7 , \u2013; and disguisings\u00b7 , , ,\n\nWhitehall, York House\u00b7\n\n_Whore of Babylon_ \u00b7 _see_ Dekker, Thomas wigs\u00b7 \u2013, \u2013\n\ncalled _cheveler, cheverel, fax_ \u00b7 ,\n\ncharacters with wigs angels-257, , , , ; Apostles\u00b7 , , with diadems (haloes?)\u00b7 , , yellow\u00b7 ; Chastity\u00b7 ; Christ\u00b7 : gold\u00b7 , , Wisdom, with 'brows'\u00b7 , , , , with diadem (halo?)\u00b7 , ; Damned Souls\u00b7 ; Devil\u00b7 ; Discord\u00b7 ; God\u00b7 , ; Good Souls\u00b7 ; hermits\u00b7 ; Irishmen and women\u00b7 ; maidens\u00b7 ; Mary Magdalene\u00b7 \u2013; Moors\u00b7 , ; palmers\u00b7 ; Pilate\u00b7 ; priests, with shaven crowns\u00b7 ; savage men\u00b7 ; Serpent, blonde\u00b7 ; Souls\u00b7 ; Spirit of God\u00b7 ; St Peter, gold\u00b7 ; Three Maries\u00b7 ; Verity\u00b7 ; virgins\u00b7 ; wild men or woodwoses\u00b7 , ,\n\ndiadems (haloes?) attached\u00b7 \u2013\n\nfor female roles\u00b7 , , ,\n\nhead, mask and wig joined\u00b7 \u2013\n\nmaterials\n\nbudge (sheepskin): black, for Moors\u00b7 , with shaven crowns, for priests\u00b7 ; cow's tails\u00b7 , ; flax-315, : dyed\u00b7 , dyed black, for Irishmen and women\u00b7 , dyed yellow, for angels and maidens\u00b7 ; fur, for savage men\u00b7 ; gold damask braid, flossed or teased\u00b7 ; hemp, for angels\u00b7 , ; horsehair\u00b7 , horsetails\u00b7 ; lawn, black, curled, for Moors\u00b7 ; linen thread\u00b7 , ; real hair\u00b7 ; saffron as dye\u00b7 ; silk: black, for Discord\u00b7 , for women's wigs\u00b7 , green flossed, for wild men\u00b7 ; silver damask braid\u00b7 ; wool, for Mary Magdalene\u00b7\n\nsuppliers \u2013\n\nwig-making\n\ncurling\u00b7 ; dyeing\u00b7 , , ; plaiting, flossing and teasing\u00b7\n\nwild men or woodwoses\u00b7 , , , , \u00b7 _see_ PLATE 18\u00b7 \u00b7 _see also_ masked characters; mask types; carnival; disguisings; folk masking; wigs\n\nas stitlers\u00b7\n\n_Play of the Death of the Wild Man_ \u00b7\n\nWild Man hunt\u00b7 , \u2013\n\nWill, character in _Wisdom_ \u00b7 , ,\n\nWilliam of Wadington _Manuel des pechiez_ \u00b7\n\nfourteenth-century translation\u00b7\n\ntranslated by Mannyng of Brunne as _Handlyng_ Synne\u00b7\n\nWillis, Ralph, _Mount Tabor_ \u00b7\n\nWilson, R.\n\n_Three Ladies of London, The_ \u00b7 , , , , ,\n\n_Three Lords and Three Ladies of_ London, _The_ \u00b7\n\nWinchester Psalter\u00b7 _see_ FIG\u00b7 11\u00b7\n\nWinchester, Tiberius, guiser in Elgin (1604)\u00b7\n\nWingfield, Suffolk, effigy of John de la Pole, Duke of Suffolk\u00b7 \u2013\u00b7 _see_ FIG\u00b7 6\u2013\n\nWisdom\n\ncharacter in court interlude, two faces and a mirror in each hand\u00b7 , ; _Wisdom Who is Christ_ \u00b7 , , , with half-mask, wig, and gold beard\u00b7 , , , ,\n\npersonification with mirror\u00b7\n\n_Wisdom Who is Christ_ \u00b7 , , , , , , , , , , , , , \u00b7 _see also_ Anima, Lucifer, Wisdom, Mind, Will, and Understanding\n\ndisguisings\u00b7 ,\n\nmask as sign of corruption\u00b7 , ,\n\nmasked characters\u00b7 , , , , , , , , ,\n\nWit, character in\n\nMerbury's _Marriage between Wit and Wisdom_ \u00b7\n\nRedford's _Wit and Science_ \u00b7 , \u2013\n\nface painted\u00b7 ; glass (mirror) of Reason\u00b7 \u2013\n\n_Wit and Science_ \u00b7 _see_ Redford, John\n\nWoden\u00b7 \u00b7 _see_ \u00d3\u00f0inn\n\nWolsey, Cardinal Thomas\u00b7 ,\n\nwomen\u00b7 _see_ amorous masking, carnival, cross-dressing, disguisings, face-painting, mask types, masked and unmasked, mumming, Revels Office personnel and suppliers\n\nWoodville, Antony, Earl Rivers\u00b7\n\nwoodwoses\u00b7 _see_ wild men\n\nWorld, character in\n\nRhetoricians' play, half-devil, half-human\u00b7\n\n_The World and the Child_ , doubled\u00b7\n\n_World and the Child, The_ \u00b7\n\nWrath ('Gramschap'), character in Haarlem Rhetoricians' play (1606)\u00b7\n\nWycliffe, John\u00b7 ,\n\nWycliffite sermons mention masked devils\u00b7 , ,\n\nWymondham, Norfolk, woodwose\u00b7\n\nYeats, William Butler\u00b7\n\nYork\n\nSt Martin Coneystreet, St Martin window, devil\u00b7 _see_ FIG\u00b7 11\u00b7\n\nSt Michael Spurriergate, Fall of the Angels window\u00b7\n\nYule and Yule's Wife\u00b7\n\nYork Plays\n\nat Festival of Britain (1951)\u00b7\n\nBarbers, _Baptism_ , Christ as mirror\u00b7\n\nBarkers, _Fall of the Angels_ \u00b7\n\n_Creed Play_\n\nApostles\u00b7 , , ; gold-faced Christ\u00b7 , , , ; inventories\u00b7 , ,\n\nCurriers, _Transfiguration_ , gold-faced Christ\u00b7\n\nDrapers, _Death of the Virgin_ \u00b7\n\nMercers, _Doomsday_\n\nApostles\u00b7 , ; Christ, leather body-suit\u00b7 ; Damned Souls\u00b7 , , , ; devils\u00b7 , two-faced devil masks\u00b7 ; gold-faced God\u00b7 , , \u2013, ; Good Souls\u00b7 , ; indenture (1433)\u00b7 , , , , , ; inventory (1526)\u00b7 ; _wesserons_ (ordinary masks)\u00b7\n\nPinners, _Crucifixion_ \u00b7\n\nZurich, carnival\u00b7\n\nZwart Piet\u00b7 \n\n# Contents\n\n  1. Cover\n  2. Half Title\n  3. Title Page\n  4. Copyright Page\n  5. Dedication\n  6. Table of Contents\n  7. Preface\n  8. 1. Introduction\n  9. Part 1: Popular Masking\n    1. 2. Early Masking\n    2. 3. Carnival\n    3. 4. Mumming\n  10. Part 2: Courtly Masking\n    1. 5. Tournaments\n    2. 6. Disguisings\n    3. 7. Courtly Mumming\n    4. 8. Amorous Masking\n  11. Part 3: Theatrical Masking\n    1. 9. Mystery Plays\n    2. 10. Morality Plays\n  12. Part 4: Theory and Practice\n    1. 11. Ideas and Theories of Masking\n    2. 12. Materials and Methods of Mask-making\n    3. 13. Terminology\n  13. Illustrations\n  14. Bibliography\n  15. Index\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \n# **ATLAS OF EMOTION**\n\n# **ATLAS OF EMOTION**\n\n## _Journeys in Art, Architecture, and Film_\n\n### Giuliana Bruno\n\n#### Verso, New York\nThis paperback edition published by Verso 2018\n\nFirst published by Verso 2002\n\n\u00a9 Giuliana Bruno 2002, 2007, 2018\n\nAll rights reserved\n\nThe moral rights of the author have been asserted\n\n1 3 5 7 9 10 8 6 4 2\n\n**Verso**\n\nUK: 6 Meard Street, London W1F 0EG\n\nUS: 20 Jay Street, Suite 1010, Brooklyn, NY 11201\n\nversobooks.com\n\nVerso is the imprint of New Left Books\n\nISBN-13: 978-1-78663-322-4\n\nISBN-13: 978-1-78663-323-1 (UK EBK)\n\nISBN-13: 978-1-78663-324-8 (US EBK)\n\n**British Library Cataloguing in Publication Data**\n\nA catalogue record for this book is available from the British Library\n\n**Library of Congress Cataloging-in-Publication Data**\n\nA catalog record for this book is available from the Library of Congress\n\nPrinted and bound by CPI Group (UK) Ltd, Croydon, CR0 4YY\n\n## Contents\n\nAcknowledgments\n\n**PROLOGUE**\n\n**ARCHITECTURE**\n\n1Site-Seeing: The Cine City\n\n2A Geography of the Moving Image\n\n**TRAVEL**\n\n3Traveling Domestic: The Movie \"House\"\n\n4Fashioning Travel Space\n\n**GEOGRAPHY**\n\n5The Architecture of the Interior\n\n6Haptic Routes: View Painting and Garden Narratives\n\n**ART OF MAPPING**\n\n7An Atlas of _Emotions_\n\n8An Archive of Emotion Pictures\n\n**DESIGN**\n\n[9M Is for Mapping:  \nArt, Apparel, Architecture Is for Peter Greenaway](20_Chapter9.xhtml#rs16)\n\n[10Film and Museum Architexture:  \nExcursus with Gerhard Richter's _Atlas_](21_Chapter10.xhtml#rs17)\n\n**HOUSE**\n\n11Views from Home\n\n12 _My_ \"Voyage in Italy\"\n\nNotes\n\nList of Illustrations\n\nIndex\n\n## **Acknowledgments**\n\nTo give acknowledgment is to revisit the landscape of people who have helped this book come to life. In 1991 I launched an ongoing seminar on architecture and film at Harvard University that, in the course of navigating space, encountered the terrain of affects. My first debt of gratitude thus goes to my students, who accompanied me on this intellectual adventure, witnessed the preliminary formulations of the project, and contributed greatly to its growth. They have been a challenging and responsive audience.\n\nOver the years, parts of this book were developed in the form of lectures. I am particularly grateful to Annette Michelson for inviting me to speak at the pioneering symposium she co-organized on the \"Cine City: Film and Perceptions of Urban Space, 1895\u20131995,\" held in 1994 at the Getty Center for the History of Art and the Humanities, in Santa Monica. Her continuous support of my work, her valued friendship, and her inspiration have enabled me to envision what the larger scope of the book could be. I also would like to thank Clark Arnwine, Jesse Lerner, and Ruth Bradley for publishing a short version of my presentation in a special issue of the film journal _Wide Angle_ in 1997.\n\nThe crossover of my work into architectural territory has been enriched by a long-standing dialogue with the faculty of Princeton University's School of Architecture; there I presented early stages of the book as part of a 1994 lecture series and discussed the finished work in 1999, under the auspices of Gaetana Marrone and the Program in Women and Gender Studies. I am indebted as well to Michael Hays, Jorge Silvetti, Mohsen Mostafavi, and all who have welcomed me to speak often at Harvard University's Graduate School of Design; and to Pellegrino D'Acierno for making my work a part of \"(In)Visible Cities: From the Postmodern Metropolis to the Cities of the Future\" at Columbia University and Cooper Union in 1996. I acknowledge equally the stimulating panel on film and architecture held at Pratt Institute's School of Architecture in 1994, and am grateful to Frances Schmitt for inviting me to speak as part of the Alcan Lectures at Vancouver's Museum of Art in 1995.\n\nAnother of the book's bridges was strengthened by an invitation to the plenary session at the 1994 meeting of the American Association of Geographers, in San Francisco. I would like to thank the sponsoring groups of cultural geographers, the journal _Environment and Planning D: Society and Space_ , Patricia Meo\u00f1o-Picado, and Mona Domosh. The occasion provided the additional pleasure of roaming a hotel inhabited by thousands of geographers and conversing with Derek Gregory and Michael Dear, among others.\n\nA fruitful crossing into the realm of art took place in Paris at the symposium \"Art(s) and Fiction,\" organized in 1996 by Pierre Sorlin, Marie-Claire Ropars, and Mich\u00e8le Lagny, who published an evolving section of the present work in a book of the same title. My \"Geography of the Moving Image\" was fittingly developed at a seminar and lecture I gave in Japan in 1995, at the University of Tsukuba, for which I thank Yoko Ima-Izumi; and at the Screen Studies Annual Conference, in Glasgow, where I attended the opening plenary in 1994, for which I thank the editors of _Screen_. The thoughts that have become \" _My_ 'Voyage in Italy'\" were appropriately tested in various transatlantic situations: especially at the 1997 AISLLI Conference of Italian Studies at UCLA, where thanks are due to Luigi Ballerini, who invited me to the plenary, and to Marguerite Waller and Lucia Re for their support; and at the 1998 Societ\u00e0 Italiana delle Letterate Conference, in Orvieto, Italy, where Paola Bono invited me to give a keynote address, Paola Zaccaria helped me to relocate my voice in my mother tongue, and\u2014beginning with Lucilla Albano's sensitive response\u2014many made me feel they could hear it. Thanks to Patrizia Calefato for editing the proceedings.\n\nA huge debt of gratitude goes to those who offered to comment on the entire manuscript: the gift of their intellectual friendship is quite moving. I am grateful to Stephen Greenblatt, who has given me the support of his wonderfully restless intellectual passion throughout the years and, in this case, put it in the service of a very helpful reading. I also thank Tom Conley, who reviewed the work in close cartographic sympathy and provided a generous and ample reading that spoke to me deeply. I am equally indebted to Mark Wigley, who amiably and scrupulously made his way through the different layers of the work, engaging me with his attentive, sensitive way of thinking and reading. His suggestions, always to the point, led to changes that substantially improved the manuscript.\n\nA number of other colleagues and friends also have been helpful in a variety of ways. I thank Beatriz Colomina for many gestures of intellectual _simpatia_ , sustained dialogue, and good times. Norman Bryson's interest in this work from the beginning, his collegiality, and his support have sustained its progress. I cherish the ritual caf\u00e9 conversations I have had with Wolfgang Schivelbusch, which always go beyond the object of our work and touch the very process of writing. Similarly, I value the long-standing communication I have shared with Tom Gunning on our mutual scholarly passions. A dialogue on film and life matters with Laura Mulvey and Miriam Hansen has mattered much. I am indebted to Chantal Akerman, not only for letting me into her exemplary artistic world but for being a real friend at a time when it was most appreciated. I am grateful to Ewa Lajer-Burcharth, Svetlana Boym, and Cornel West for making me feel that I have more than an intellectual home at Harvard; and to Thyrza Nichols Goodeve for offering inspired commentary of my work on art and film. For their involvement, thanks also are due to Robert Brain, Elena Dagrada, Alice Jarrard, Joseph Koerner, Giuliana Muscio, Louise Neri, Katharine Park, Isabel Segura, Robert Sklar, John Stilgoe, and Henri Zerner.\n\nI also thank my research assistants, who have helped me to navigate the intricate labyrinths of libraries and archives and who have been my closest interlocutors at crucial times. I am grateful to Nick Popovich, who assisted me in the early stages as I tested his research skills with my many tentative directions; and to Andrew Herscher, who was helpful in the evolution of the architectural research. Thanks also are due to Renata Hejduk; to Curie Chong for copyediting the work-in-progress; and to Geoffrey Taylor for helping with permissions for the illustrations. For her many contributions and intellectual energy, I am particularly grateful to Charissa Terranova, who truly has shared my enthusiasm for this work and took part at deep levels in many moments of discovery.\n\nMany individuals and institutions facilitated my research and helped me to realize a visual form for my ideas. The book owes much of its textual and illustrative shape to the extensive support of the many branches of the Harvard University Libraries, whose resources were so phenomenal that at times my research seemed hopelessly unending. For their expertise and for their understanding of my research needs, I particularly thank: Roger E. Stoddard, Curator of Rare Books, and Anne Anninger, Curator of Printing and Graphic Arts, at Houghton Library; David Read at the Special Collections of the Harvard Law School Library; and Dana A. Fisher of the Ernst Mayr Library of the Museum of Comparative Zoology. I also extend my thanks to Violet Gilboa of the Judaica Division at Widener Library. I am especially indebted to the resources of the Francis A. Countway Library of Medicine; the Theatre Collection; and the Map Collection at Pusey Library and its director, David Cobb. For my research elsewhere in the United States, I thank the staffs at the Huntington Library, San Marino, California; the Pierpont Morgan Library, New York; Scala\/Art Resource, New York; and the Theatre Historical Society of America, in Elmhurst, Illinois, especially Richard Sklenar, Executive Director. I extend special thanks to Pat Morris at the Newberry Library, Chicago, for his help in my research on imaginary maps.\n\nIn my archival research overseas, Donata Pesenti Campagnoni, Curator of the Collections at the Museo Nazionale del Cinema in Turin, was helpful. I also wish to thank C\u00e9cile de la Perraudiere at the Archives Louis Vuitton for a delightful tour of the private museum and generous access to its archives; and Pilar V\u00e9lez and N\u00faria Rivero, Director and Curator, respectively, of the Museu Frederic Mar\u00e8s, Barcelona, for a special tour and access to the museum's collection. I am grateful to Laurent Mannoni for his generous offering of material from the collections of the Cin\u00e9math\u00e8que Fran\u00e7aise; to the staffs of the Biblioth\u00e8que Nationale de France and the Mus\u00e9e des Arts D\u00e9coratifs, Paris; and to Bruno Ciufo at the Istituto Centrale per il Catalogo e la Documentazione, Rome, for guidance through the maze of this archive.\n\nMany others sustained my visual research. I am grateful to Gerhard Richter and his gallerist, Marian Goodman, for offering generous access to the artist's work; and to Peter Greenaway and his assistant, Annabel Radermacher, for opening the filmmaker's private archive to me. I am equally indebted to Lillian Kiesler for access she provided to Frederick Kiesler's archive; and to Susan Edwards, former curator of the Hunter Galleries, for leads into John Eberson's work. For their generous contribution of images for reproduction, thanks are due to Louise Bourgeois and Jerry Gorovoy, and Robert Miller Gallery; Heide Fasnacht; Toba Khedoori and David Zwirner Gallery; Annette Lemieux; Annette Messager; Seton Smith; Hiroshi Sugimoto and Sonnabend Gallery; J. Morgan Puett and Shack Inc.; and Bernard Tschumi. I also thank Lynne Cooke, Curator at Dia Center for the Arts, and Karen Kelly, Melissa Goldstein, and Bryan Walker; Lia Rumma and her gallery manager, Paola Potena; Carolyn Alexander of Alexander and Bonin; Jo-Ann Conklin, Director of the David Winton Bell Gallery, Brown University; and Michelle Maccarone and Claudia Altman-Siegel at Luhring Augustine. Special thanks are due Karen Polack at Sperone Westwater for fulfilling so many requests.\n\nFor their contributions to the book's visual text, I am also indebted to Giorgio Busetto, Director of the Fondazione Scientifica Querini Stampalia, Venice; Max Oppel at Wittelsbacher Ausgleichsfonds, Munich; Leah Ross of the Museum of Fine Arts, Boston; Shaula Coyl at the Los Angeles County Museum of Art; W. Otterspeer at the Akademisch Historisch Museum of the University of Leiden; and to the Pinacoteca di Brera, Milan; Barbican Art Galleries and Whitechapel Art Gallery, London; and Oeffentliche Kunstsammlung Basel, Kunstmuseum.\n\nAt the Harvard Film Archive, I wish to thank the former and current curators, Vlada Petr\u00edc and Bruce Jenkins, as well as John Gianvito, Steffen Pierce, Heidi Bliss, and Katie Trainor, for supporting my work on film and for their efforts to make the archive into a growing resource accessible to all scholars of cinema. The Film Study Center at Harvard University enabled me to digitize prints and to obtain frame enlargements of films. I am grateful to its founder, Robert Gardner, and its director, Richard Rogers, as well as to Dana Bonstrom and Mike Mislind, who lent technical expertise. Sabrina Zanella-Foresi, my former teaching assistant, has been not only supportive of the book's project but of invaluable help during the process of illustrating the filmmakers' work. I have been similarly supported by Allan Shearer, my current teaching fellow, and able to rely on him in many ways that go far beyond his gifted handling of various technologies. To the film distributors, and particularly to Cinepix and World Artists for their help with film stills, I offer special thanks.\n\nI am very grateful to Colin Robinson at Verso, New York, for sustaining this project at its inception and for allowing me the time and space needed to carry it through to the end. Janet Jenkins was more than a thoughtful editor as she worked on the manuscript of a writer for whom English is not a native language; she gave a rare gift as she swam alongside me through the depth of writing. I am equally grateful to Jeannet Leendertse for undertaking the graphic design of the book and offering her artistic skills to its visual interpretation; and to my brother, Pierluigi Bruno, and Roberta Pedretti, partner in his Visual Design studio in Milan, who affectionately lent their time and expertise as I tried to direct the visual course of the book and to select from the mass of images that I had accumulated.\n\nLuisa Sartori's artistic engagement with maps and her understanding of emotional landscapes sustained my enterprise, as did the intellectual and affective bond I enjoyed with Paola Masi and Maria Nadotti. In the same spirit, I wish also to acknowledge Jonathan Buchsbaum, Leslie Camhi, Deborah Drier, Gabriele Guercio, Andrea Juno, Anne Lovell, Paola Melchiori, and Antonella Russo. Elettra Barth, Sam Berlind, Susan Brown, Emmanuel Ghent, Robert Mals, Lorraine Massey, Gioia Munari, Luis Sierra, and Joyce Silvano all sustained the making of this book, though they may not be fully aware of it. And my thanks would not be complete without offering my gratitude for the warm, cultivated leisure offered by Morris and Roslyn Fierberg; Kristina Boden; and Gerry, Max, and Isabel Kagan. Many more faces and places are inscribed in the writing of this book, which took place en route between my three (dis)lodgings, in New York, Cambridge, and Anacapri. Most significant among these presences are my mother and late father, Italia Iorio and Pietro Bruno, who are a part of this book. I am especially grateful to my mother for the strength and survival skills she has demonstrated, which have afforded me the mental space I needed to complete it.\n\nThis book is for all those who inhabit my sentimental geography. It is dedicated in particular to four people on two coastlines: to my mother and brother, on the Mediterranean seashore; and to two people in this island-city off the coast of America, without whom I could not have written it. My dedication to Sally K. Donaldson is for her presence in the journey from a ruined map to a tender map, and for her aid in navigation. The book was named with Andrew Fierberg in mind, for having been there for me, with volumes of understanding, through the making of another big book and for sharing always the intellectual intimacy of a very tender love.\n\n## **PROLOGUE**\n\nIn 1654, Madeleine de Scud\u00e9ry published a map of her own design to accompany her novel _Cl\u00e9lie._ Her _Carte du pays de Tendr\u00e9_ \u2014a map of the land of tenderness\u2014pictures a varied terrain comprised of land, sea, river, and lake and includes, along with some trees, a few bridges and a number of towns. The map, produced by a female character of the novel to show the way to the \"countries of tenderness,\" embodies a narrative voyage. That is, it visualizes, in the form of a landscape, an itinerary of emotions which is, in turn, the topos of the novel. In this way, the _Carte de Tendr\u00e9_ makes a world of affects visible to us. In its design, grown out of an amorous journey, the exterior world conveys an interior landscape. Emotion materializes as a moving topography. To traverse that land is to visit the ebb and flow of a personal and yet social psychogeography.\n\nThis map of tenderness has accompanied me for years and, as an _emotional_ journey, has done more than just propel the writing of this book. As a manifestation of my own sense of geography, it has come to embody the multiple trajectories of my cultural life, punctuating my inner voyage. Because it constitutes an important site of the book's own mapping, it will return at several points, not only as a subject of investigation but as a cartographic model and itinerary.\n\nScud\u00e9ry's map effectively charts the motion of emotion\u2014that particular landscape which the \"motion\" picture itself has turned into an art of mapping. Its tender geography has served as the navigational chart that has guided me in my endeavor to map a cultural history of the spatiovisual arts. Placing film within this architectonics, _Atlas of Emotion_ explores the relation of the moving image to other visual sites, \"fashioning\" in particular its bond to architecture, travel culture, and the history of the visual arts as well as its connection to the art of memory and that of mapmaking. Our lives are tangibly permeated by the arts and by other practices of visual culture\u2014especially those designed by fashion and dwelt upon by architecture\u2014but the place of cinema within this habitable, spatiovisual configuration often has been overlooked in critical studies. It is the design of this very \"space\" that my book intends to address. To this end, it pays particular attention to the field screen of moving images we so intimately inhabit.\n\nIn drafting this cultural history, I have felt compelled to interlace the language of theory with fictional tales and, in a few places, even to mix the two registers together. As I have tried to bridge the language of scholarly analysis with subjective, even autobiographical discourse, I have watched my research being \"drawn,\" quite literally, to the emotional cartography of maps like Scud\u00e9ry's, which draw, and draw upon, experiential trajectories. It has been my experience that a book can emerge from a sense of place and that this landscape comprises the location conveyed in images. _Streetwalking on a Ruined Map_ , the predecessor to this _Atlas_ , grew out of such a geographic atmosphere. Its constellation of spatial, urban images included one spectacle in particular: in a frame enlargement from a lost film by a woman film pioneer, a female figure on an anatomical table is set before a core of onlookers; an \"analytic\" operation, a cutting through her body, is about to be performed. I took this image of the anatomy lesson to be a representation of the architecture of cinema's own anatomic-analytic spectacle. Film, a language of editing \"cuts,\" is developed for a spectatorship in a theater very much like the anatomical amphitheater, in which matters of life and death were analyzed and anatomized. This image accompanied me in what became a multilayered \"analytic\" journey, where the subject anatomized turned out to be my own cultural turf.\n\nIt seemed suitable that reimaging a map would be the next step in this cartographic trajectory of refiguring and relocating the moving image within a cultural history that engages with intimate geographies. As Scud\u00e9ry's map took over in my imagination, _Atlas of Emotion_ began to take shape, growing in the form of her tender geography. It was a new venture and yet one that was not too far from the terrain of cultural and emotional anatomy\u2014and my own, at that. In fact, the complex levels on which Scud\u00e9ry's map engages the exterior as an interior even include a specific figurative level: in a way, this map pictures a woman's interiors and, from one perspective, resembles a womb, elaborately decorated with fallopian tubes.\n\nThis point was made more \"pregnant\" by the fact that, as I proceeded in my scholarly observation of the terrain of a corporeal map, my own womb took center stage by growing tumors and bleeding excessively. I was afflicted with a disease that, more or less overtly, was becoming associated with the life of professional women, often with no children. Was the stress-loaded university campus actually a field of tumoral growth? Is the story of my womb part of my intellectual history and enterprise? Isn't cultural movement intimately effective as a politics when, in feminist terms, it understands politics intimately and thus can critically see the impact of imaging on our most intimate space?\n\nI confronted the picture before me: a womb that needed to be cut, and cut out. No matter how much I felt that, as a scholar, I had outlived the anatomy lesson, it was back on the scene. In an uncanny turn of events, like the return of the repressed, the completion of this _Atlas_ was delayed as I devoted myself to investigating alternative medical procedures to treat tumors that would avoid all cuts and preserve my womb. It was a quest that, on the surface, took me away from this book but in fact wrote \"atlas\" all over me and contributed to a shift in the orientation of my research. What began as a cultural history of art, travel, and film became a search for their intimate geography. In seeking a cartographic form in which even uncut tumors might \"shrink\" and become manageable, I confronted the \"cuts\" of various separations of the past, including the voluntary excision of maternal language and country of origin that had been made in rerouting my own identity map. It was by thinking geographically that I actually moved away from the prospect (view) of the anatomy lesson and toward Scud\u00e9ry's tender mapping.\n\nIt is ironic that at this moment I underwent a medical experiment of embolization suitably, but alas, called \"roadmapping.\" Less surgical than the old (analytic) way, this procedure, like Scud\u00e9ry's map, makes a passage. Roadmapping is an exploration that links interior and exterior, leaving no visible scars. You can even watch it happen in motion on a screen, following the traveling technology as it passes through your body, where it then implants, becoming effective over the course of time. Yes, this was a movie. Quite a movie, indeed. It touched on the matter of cinema, the fabric of film. In this sense, roadmapping \"suited\" me, for, in many ways, it represented the very scene that I was developing intellectually. This process incarnated\u2014fashioned\u2014the making of the _Atlas_. As I revisited a 1654 map of emotions, a map of (e)motion pictures was written literally onto my skin. It was the architecture of film. A geopsychic \"architexture.\"\n\n_Atlas of Emotion_ came together through a diverse set of intellectual journeys, even passing through the fabric of my body. Although the inappropriate tale I have just recounted may seem disconcerting, disturbing, disquieting, and even obscene\u2014and most probably it is\u2014it represents the habitual experience of any writer. It is the (ob)scene of our daily life, the inappropriateness of writerly activity. Thus a very celebrated author once likened his book to a one-way street, admitting that the path of the book had been engineered by a woman and cut through the author himself. Such writerly experience, however, is normally kept to oneself, especially if it is of such an intimate nature. Sometimes it is positioned some distance away, in the more remote zones of the paratext\u2014that is, kept in a dedication or hinted at near the bottom of the acknowledgments, usually assigned to the lifeline that enables the writing. The type of knowledge exposed in the paratext, which also includes the prologue, in fact represents the writer's own exit from the work, although it is positioned first in a book. It testifies to the end of one's learning process. In this respect, what I expose here should not be taken as a promise for what is to come in this book. I couldn't possibly take you on such a voyage and, besides, you wouldn't want to go there. I am only trying to peel off one of the many silent layers that comprise the intimate experience of writing. For writing, a solitary, unsharable condition, is yet inhabited, and very peopled. It is, in many ways, part of and vehicle for the many passages of an intimate geography.\n\n_Atlas of Emotion_ , mapped out in various cognitive explorations and passing through many different places, is a construction made of multiple passages. It was assembled as a montage of language and illustrations, which I particularly enjoyed selecting and routing in the form of a visual travelogue. Bringing together diverse registers and various layers of intellectual passions was a wonderful challenge. En route, I sometimes found myself all over the map. After all, my curiosity had pushed me to explore, from a cinematic viewpoint, a vast haptic terrain\u2014the intersection of art, architecture, and (pre)cinema\u2014beginning historically with Scud\u00e9ry's seventeenth-century map of _emotions_ and theoretically moving on to traverse a number of centuries, various fields of inquiry, and a multiplicity of scholarly disciplines.\n\nThe meeting of history with the history of representation and its theory was not always a given, but today it is a particularly vital part of cultural investigation. There is a definite way in which cinema studies can contribute to this endeavor. Film theory, which over time has encountered different methods and employed them to learn how to \"look\" differently, has not, generally speaking, been especially interested in geographic matters or attuned to art and architecture and their scholarly perspectives. Yet there are apparent common concerns and many fascinating routes that research which pursues this interface may open up. Hence, I have tried to learn how to \"space\" differently. I apologize in advance for any mistakes and oversights I may have made in the attempt. While I am aware that, taken singularly, my findings may not represent new discoveries for experts in the particular fields I traverse, I dare hope that something may be gained, transdisciplinarily, from a mobilized cinematic \"premise.\" In my work, my deep respect for the expertise of specific fields has been accompanied by the challenge of trying to ferry some of this knowledge across territories and transfer it to film theory, in the hope of enriching it and, in turn, of expanding the range of what film may contribute to other fields. In my writing, I have tried to make room for such exchange and to create space for topoi, resisting the easier model that would follow a chronological order. It has been quite a journey\u2014one for which the reader may need his or her own map or, indeed, this prologue.\n\nWriting this _Atlas_ , I often wondered how the map had come together for Scud\u00e9ry and whether this insight could help me to map out my own book. Was the map a gift offered to herself, and to the reader, once she was able to chart the narrative itineraries of her novel? Maps, records of learning, after all, follow experience. They come into existence after the path has been traveled, much like the introduction of a book, which, as we have claimed, can be drafted only after one has already finished the work. It is then that the writer\/cartographer can map out her territory. This includes what she could not or did not reach in her exploration: her _terrae incognitae_ , those seductive voids that, if one knows the topophilia of the lacunae, are not there to be conquered but are textures exposed, where the markings of time take place.\n\nI can see now, at the end of my map zone, that this book is shaped as an architectural ensemble. It is a construction that has a peculiar, reversible way of being entered and exited. Walking in and out and through the curvilinear ramp that leads up to Le Corbusier's Carpenter Center (the building at Harvard University in which I have been teaching the past eight years while developing this book) must have had a real effect on me. It is on this ramp that Le Corbusier and Eisenstein, or rather architecture and film, by and large, have come together in my thinking and affected the book's own architectonics.\n\nImagine a ramp that takes you through a building-book. As you enter the lobby you get a glimpse of the structure of the work. You see the layers of the different floors\/chapters and can peek at the development of the edifice, sighting what is possibly housed there. Part 1 of the book is designed in this way. It functions like a lobby, from which the floors spiral out. Indeed, the book quite literally spirals out from this point\u2014that is, from the \"premise\" of ARCHITECTURE and the cinematic narrative it generates. Chapter 1, \"Site-Seeing: The Cine City,\" is a filmic travelogue. Looking at the history of cinema from a viewpoint that emphasizes geographic, architectural, and social space, it creates a sequential display of the cinematic city, from the panoramic travelogue films of early cinema to filmic views of the near future. This montage of cine cities examines the way in which space is housed in the movie house. It pays particular attention to the architecture of film theaters\u2014one of the most disregarded topics in cinema studies and yet a significant generative agent of cinema. To show how cinema is \"housed,\" we look at a montage of its history as if we were watching films in different kinds of movie theaters and come to interrogate architecture as a maker of cinema. Looking at how different architectures of film theaters engender diverse visions of cinema and its practice, we sit in Frederick Kiesler's \"house of silence\" and compare the experience to that of John Eberson's \"atmospheric\" movie palace. Hiroshi Sugimoto's series of photographs devoted to film theaters then leads us to the geography of film. From this urban screen of lived space, chapter 2, \"A Geography of the Moving Image\" is developed, in which the reader gets a beginning view, a panorama _in nuce_ , of the theoretical extent\u2014and extension\u2014of things to come in the haptic space of \"site-seeing.\"\n\nAs the Greek etymology tells us, haptic means \"able to come into contact with.\" As a function of the skin, then, the haptic\u2014the sense of touch\u2014constitutes the reciprocal _contact_ between us and the environment, both housing and extending communicative interface. But the haptic is also related to kinesthesis, the ability of our bodies to sense their own movement in space. Developing this observational logic, this book considers the haptic to be an agent in the formation of space\u2014both geographic and cultural\u2014and, by extension, in the articulation of the spatial arts themselves, which include motion pictures. Emphasizing the cultural role of the haptic, it develops a theory that connects sense to place. Here, the haptic realm is shown to play a tangible, _tactical_ role in our communicative \"sense\" of spatiality and motility, thus shaping the texture of habitable space and, ultimately, mapping our ways of being in touch with the environment.\n\nAs it traverses various practices of space, this atlas focuses on the potential interchanges between geography, architecture, and film; their theorization; and their place in art. It is a study that questions ocularcentrism and challenges some common assumptions. Film is largely considered a visual medium and, generally speaking, so is architecture. This book, by contrast, attempts to show that film and architecture are haptic matters and develops their spatial bond along a path that is tactile. In its theoretical shift from the optic to the haptic\u2014and from sight to site\u2014 _Atlas of Emotion_ thus moves away from the perspective of the gaze and into diverse architectural motions. In fact, the atlas is not a map merely of spaces but of movements: a set of journeys within cultural movements, which includes movement within and through historical trajectories. On the way, the fixed optical geometry that informed the old cinematic _voyeur_ becomes the moving vessel of a film _voyageuse_. Here, we actually travel with motion pictures\u2014a spatial form of sensuous cognition that offers tracking shots to traveling cultures.\n\nArguing that this form of \"transport\" includes psychogeographic journeys as well, I investigate the genealogy of emotion pictures, mapping a geography of intimate space itself\u2014a history of movement, affect, and tact. I will set forth as a major premise of the atlas that motion, indeed, produces emotion and that, correlatively, emotion contains a movement. It is this reciprocal principle that moves the entire book, shaping the haptic path it takes through its various cultural journeys. The Latin root of the word _emotion_ speaks clearly about a \"moving\" force, stemming as it does from _emovere_ , an active verb composed of _movere_ , \"to move,\" and _e_ , \"out.\" The meaning of emotion, then, is historically associated with \"a moving out, migration, transference from one place to another.\" Extending this etymology, the book creates its own (e)motion, enhancing the fundamentally migratory sense of the term as it employs, in practice, the haptic affect of \"transport\" that underwrites the formation of cultural travel. It is here, in this very _emotion_ , that the moving image was implanted, with its own psychogeographic version of transport.\n\nCinema was named after the Greek word _kinema_ (\u0138\u00edv\u03b7\u00b5\u03b1), which connotes both motion and emotion. My view of film as a means of transport thus understands transport in the full range of its meaning, including the sort of carrying which is a carrying away by emotion, as in transports of joy, or in _trasporto_ , which, in Italian, encompasses the attraction of human beings to one another. It implies more than the movement of bodies and objects as imprinted in the change of film frames and shots, the flow of camera movement, or any other kind of shift in viewpoint. Cinematic space moves not only through time and space or narrative development but through inner space. Film moves, and fundamentally \"moves\" us, with its ability to render affects and, in turn, to affect. Retracing the steps of the cultural history that generated these \"moving\" images\u2014our modern, mobile cartography\u2014the book spirals backward into lived space. Making a cultural voyage back to the future, we see movies before cinema as we explore the protofilmic construction of visual space in the moving topographies of Western culture, especially those written off as sentimental or feminized, and hence marginalized. We go in search of a language of affects, beyond its psychoanalytic manifestation, and follow its course as an unstable map of \"transports.\"\n\nIn Part 2 of the book, for example, I show that the cultural movement of _emotion_ , historically inscribed in traveling space, is the generative site of the moving image. Cinema was born of modernity's symptomatic stirring and has fashioned a psychogeographic vision inextricably linked to TRAVEL. Chapter 3, \"Traveling Domestic: The Movie 'House,'\" looks at the way the motion picture, in addition to dwelling in motion, developed out of the modern culture that produced (im)mobile travel. Approaching, in a liminal way, interior as exterior and breaking the dichotomy between voyage and home as assigned socio-sexual spaces, we see that gender difference is written on this moving landscape, negotiated on its perimeters, and mapped as an architectural threshold. Crossing between architecture and film, we dwell in the manner of Chantal Akerman's passengers and inhabit the \"architextures\" of Michelangelo Antonioni. \"Fashioning Travel Space\" in chapter 4, we look at the self-made design of the modern _voyageuse_ and revel at her representational \"apparel\" and \"accoutrements.\" In the genealogic makeup of travel space, we tour with such necessities as a _voyageuse_ 's traveling bed and move from the traveling desk to the moving image.\n\nThis fabrication\u2014a fashioning of the self in space\u2014takes the route of GEOGRAPHY in Part 3 of the book, in which we picture inner landscapes. As we examine \"The Architecture of the Interior\" in chapter 5, we enter the Western construction of a protofilmic space of viewing, which later became the imaginative traveling space of the movie house. Scanning emotional spaces at the juncture of art and science, we revisit the making of a museum of images and document a physiognomy of space in the form of film's own intimate archaeology. We travel in a \"room\": from the camera obscura (literally, dark room) to the curiosity cabinet, from the exhibition rooms of automated body doubles to those containing wax simulacra and _tableaux vivants_ , from the mesmerizing effect of display in the sentimental museum to that form of nineteenth-century geography dressed in \"-orama.\" Focusing on the \"interior design\" of panoramic culture, we take the urban itinerant route of _mondo nuovo_ and access the new geography of vision that fashioned a shifting landscape of privacy and publicity and, in so doing, affected the design of the modern home. As we speak of the architecture of interior space, we travel inside out, as when we delve inside the globe of a georama; or outside in, as when we visit nineteenth-century houses whose walls are decorated with panoramic wallpapers. In this house of moving pictures before cinema (our own panoramic wallpaper), the world was at home, although sometimes unhomely.\n\nAfter traversing this house of images as a protofilmic movie house, we take \"Haptic Routes\" in chapter 6. Here we argue that the moving image cannot be comprehended within the optical limits of perspectivism and retrace other forms of Western picturing marginalized by the theory of the gaze. I claim that cinema was born of a topographical \"sense\" and has established its own sentient way of picturing space. The modern art of viewing space\u2014that is to say, the cinema\u2014partakes of the representational codes established historically through the art of viewing, especially with _vedutismo_ (view painting). The motion picture, a spatiovisual assemblage in motion, further embodies the sensuous assemblage and corporeal mobilization established in picturesque aesthetics, especially garden design, and also reproduces the material navigation of landscape that was inscribed, as a form of mapping, in the ebb and flow of nautical cartography.\n\nThe exploration of cartography continues in Part 4 of the book, on the ART OF MAPPING. Chapter 7 surveys \"An Atlas of _Emotions_ ,\" as mapped on the threshold between art and cartography. It investigates the making of the geographic atlas as it proceeded along with the mapping of gender and its inscription in the cultural landscape. Focusing on the art of mapping and demonstrating its bond to the design of affects, this chapter traces a history of emotional cartography, from Scud\u00e9ry's version to its current return in contemporary visual arts. It touches on the affective maps of the artist Annette Messager and on the mattress-maps of Guillermo Kuitca. The type of cartography foregrounded here is a \"tender geography,\" tender to gender in the way it maps a moving anatomy of lived space, a geography of inhabitants and vessels. Having traveled this route of lived space, the chapter moves on to the terrain of cinema, where it shows that this cartographic form of representation, once embodied in the _emotional_ maps of early modernity, now inhabits film's own \"emotion pictures\"\u2014themselves a geography of inhabitants and vessels.\n\nThe motion of emotion that takes place in this form of cartography can take us backward, and hence move us forward, for it is the modern reinvention of the old art of memory. By setting memory in place and placing it within an architectural trajectory, the art of memory was an architectonics of recollection. In our own time, in which memories are (moving) images, this cultural function of recollection has been absorbed by motion pictures. In this sense, film is a modern cartography: its haptic way of site-seeing turns pictures into an architecture, transforming them into a geography of lived, and living, space.\n\nFollowing the path from early film theory to contemporary perspectives, chapter 8 explores the architectonics of (re)collection as a filmic space. It deals with the imaginative formation of \"An Archive of Emotion Pictures.\" Such an archival project includes rediscovering the neglected work of researchers such as Hugo M\u00fcnsterberg, the psychologist who, at the turn of the century, strove to find a method to analyze and measure the emotions while, alas, becoming attracted to motion pictures. As we follow this line of inquiry, we take the moving image further into the imaginative terrain of the emotions. Along the way, we encounter the picturing of geopsychic space as practiced in writing and visual art as well as in maps that design the _emotion_ of lived space and the trajectory of \"bio-history\"\u2014the history, that is, of _bios_ (\u03b2\u00edo\u03c2), the inhabitation and course of life. At the end of this psychogeographic route, we eventually arrive at situationist cartography, a filmic mapping directly inspired by the art of mapping of the _Carte de Tendre_.\n\nAligning art and film theory in the articulation of a theory of the haptic, dwelling on the physiology of \"tactilism,\" inhabiting the sensorium of emotions, and moving with mnemonic traveling archives, my work on the archive of emotion pictures sustains the views of chapter 5, which first conjoined cinema and the museum in an intimate mapping. It is in a current transference between these two sites that image collection turns into recollection: a geopsychic mapping takes place in the interface of a field screen, in between the map, the wall, and the screen.\n\nThis is the space developed in the next section of the book, on DESIGN. Positioned between cinema and the museum, the work of Peter Greenaway, explored in chapter 9, is a prime exemplar of this interface. Greenaway\u2014who trained as a painter; has been attracted to architecture, fashion, and cartography; and has engaged in charting the interaction of these fields within the space of cinema and beyond\u2014has created a spatiovisual map that represents areas of the cultural archive we have examined. His work, which ranges across filmmaking and art-making to curatorial-museographic activity, has been written on the flesh and on the drafting table and crosses many boundaries between the visual arts and cinema. Foregrounding the place of design in this architectonics, I consider the new \"architextural\" image created on Greenaway's screens. In theorizing that fashion, architecture, and cartography share narrative space with cinema, I bind them on the surface of lived space, where the _habitus_ of inhabitation meets the _abito_ of dress. As we travel filmically in the shared \"fabric\" of apparel, building, and mapping, I dwell on the fiber of these domains, and particularly in the folds\u2014the texture\u2014of their geopsychic design, where wearing is, ultimately, a wearing away.\n\nIn chapter 10 we explore this \"architexture\" further in the space of the art gallery and the museum as we take a cinematic walk through Gerhard Richter's installation _Atlas_ (1962-present), an assemblage of photographs, collages, and sketches that, in its current form, pictures intimate space. In this _Atlas_ , pictures become an environment, an architecture. Richter's project captures the very generative moment of filmic _emotion_ , taking hold, as it does, of the fabrication of the movement of life with life in motion. Moving through Richter's artwork, one is actually \"transported\" into that haptic \"architexture\" of recollection in which a filmic-architectural bond is pictured, figured as a map.\n\nThis investigation closes with a reflection on the textural hybridization of art, architecture, and film, and it is at this point that we notice that an editing splice and a film loop link turn-of-the-century cinema with millennial forms. The archive of emotion pictures this book has mapped can now be found in the space of the art gallery, in that hybrid interface between the map, the wall, and the screen we have discovered. On the walls of the contemporary gallery\/museum, in installation spaces, and on the surface of museum architecture itself, one may encounter, and even walk through, the genealogy of cinema and its archaeology. The moving geography that gave rise to the invention of cinema here returns to art as filmic architexture: the cinematic, culturally internalized, comes to be remade in visual architexture. Cinema, whose death has often been proclaimed, is alive and well within the hybrid imaging of the spatiovisual arts.\n\nOn this note, our voyage approaches a conclusion. To this point, the chapters of this book, like the floors of a building, have taken shape in clearly autonomous and yet interconnected ways. The reader, moving from one part to the next, as in the architecture of a building, may notice both repetitions and variations: a topic sketched out simply in one location may be fleshed out more fully elsewhere; an element of decor in one place may become structural matter in another. Although there are thresholds and threads, the chapters\/floors are somewhat independent. Certainly there is an ascending path to be found in reading this work, as there is in most buildings. However, the reader may also decide to take the elevator and, say, go straight to Part 4, the ART OF MAPPING, to survey \"An Atlas of _Emotions_ \" or \"An Archive of Emotion Pictures\" before visiting elsewhere. Or she may first stop off at Part 2, on TRAVEL, and sit for a while in the \"house\" of pictures; or begin her visit with DESIGN and shop for cinema outside of cinema, in the art gallery and the museum. She may even choose to skip floors. In any case, the effect of the work is cumulative: whichever path is followed, there are different points at which fragments come together narratively. They may even come to form a platform for a _veduta_ , a site where a panorama or a bird's-eye view of the place\/book is obtained.\n\nThe construction of this book, as inscribed on the trajectory of a ramp, can be exited the same way it was entered: with a travelogue. The end of this study is not an argumentative conclusion: as an incurable lover of fiction, I could not help leaving some room for discovery by fashioning an ending that is open. Part 6 of the book, HOUSE, is thus rather a montage of views from different places in the book that comes together in a house and takes us on a \"Voyage in Italy\" which traverses the literature of women's travel diaries, as reinvented in Roberto Rossellini's filmic-architectural tour. In this critical voyage I address topophilia, the love of place, in relation to the shifting landscapes of house and home, recalling the migratory root of the emotional passion, its \"moving out.\" As we have shown, the moving image\u2014our nomadic archive of imaging\u2014is implanted in this residual cartographic _emotion_. It is here, then, that we can try to rethink our current practices of psychogeographic mapping in the face of our hybrid histories. Recreating a fictional cartography of displacements, homing, and roaming, the last part of the book dwells subjectively on the geopsychic relationship between affects and place that has been mapped in the book.\n\nFor an _Atlas of Emotion_ , a landscape is, in many ways, a trace of the memories and imaginations of those who pass through it, even filmically. An intertextural terrain of passage, it contains its own representation in the threads of its fabric, holding what has been assigned to it with every passage, including _emotions_. To look at how affects are fashioned and \"worn,\" in film as well as in film theory, the diary with which the book concludes embarks on an intimate panoramic tour in which geological excavation meets archival digging. This final haptic journey, which is \"my\" voyage back to Italy, suggests that, in order to see something new analytically, we may have to take the same old road. And if that means going back home, once there, we must look carefully into the armoire. And so at last we leave the map. Bon voyage.\n\nNew York City, 12 December 1998\n\n## **ARCHITECTURE**\n\n1.1. Caf\u00e9 and Cin\u00e9ma de L'Aubette, Strasbourg, 1928. Theo van Doesburg, architect.\n\n## **1 Site-Seeing: The Cine City**\n\n> _Space... exists in a social sense only for activity\u2014for (and by virtue of) walking... or traveling_.\n> \n> Henri Lefebvre\n> \n> _Film's undoubted ancestor... is\u2014architecture_.\n> \n> Sergei M. Eisenstein\n\nThis book, written by a resident alien, appropriately begins with an \"error.\" The title of the first chapter is deliberately misspelled. Sightseeing has become site-seeing. An error implies a departure from a defined path; the semiotics of the term incorporates the notion of erring, or wandering. _Error_ \u2014the deviation from a route, a departure from principles\u2014is bound to such wandering. As an act of navigation on a devious course, it implies rambling, roaming, and even going astray.\n\n_Atlas_ \u2014a map of theoretical and _emotional_ itineraries\u2014has developed as an _errare_. Woven over the course of several years, it bears the textural layering of a palimpsest. The work proceeds by making tours and detours, turns and re-turns, opening up on different vistas of the production of space. In this errant way, foreshadowed in the prologue, it investigates cinema\u2014the \"movies\"\u2014as a multiform practice of geopsychic exploration. To traverse this psychogeography is to \"err\" through the shifting grounds of socio-cultural mobilities. In such peripatetic fashion, we thus set out to wander in the topography of interiors with a filmic map, to design an atlas of emotion pictures.\n\n### HORIZONS OF ERRARE\n\nThe path of _errare_ unfolds, first of all, as a theoretical turn that looks at the history of cinema from an architectural point of view. As an _error_ , site-seeing partakes in a shift away from the long-standing focus of film theory on sight and toward the construction of a moving theory of _site_. As it designs a cartography of film's position within the spatial arts and their practices, our erring is ultimately a movement from the optic to the haptic\u2014an affair that touches on a range of movements.\n\nThe English language makes this transition from sight to site aurally seamless. Site-seeing, too, is a passage. As it moves from the optic into the haptic, it critiques scholarly work that has focused solely on the filmic gaze for having failed to address the emotion of viewing space. Many aspects of the moving image\u2014for example, the acts of inhabiting and traversing space\u2014were not explained within the Lacanian-derived framework, which was not interested in pursuing the affect of spatiality, even in psychoanalytic terms. Locked within a Lacanian gaze, whose spatial impact remained unexplored, the film spectator was turned into a _voyeur_. By contrast, when we speak of site-seeing we imply that, because of film's spatio-corporeal mobilization, the spectator is rather a _voyageur_ , a passenger who traverses a haptic, emotive terrain. Through this shift, my aim is to reclaim _emotion_ and to argue, from the position of a film _voyageuse_ , for the haptic as a feminist strategy of reading space.\n\nThe premise of site-seeing contests another aspect of the theory of the gaze as well: its favoring of a perspectival, optical geometry as a model for film. Confined to an optical position, this theory has tended to conceive of film space as a direct heir of Renaissance perspective and, understanding this in a narrow and reductive way, has reduced spectatorship to the fixed, unified geometry of a transcendental, disembodied gaze. We now recognize that an optical model of this kind is unfit to account for the type of displacements that are represented, conveyed, and negotiated in the moving image. It not only has excluded a spectatorial articulation of the notion of public but has failed to engage in the sentient voyage and embodied psychogeography housed in the movie \"house.\" In order to explore this realm and to expose the shortcomings of the optical-geometric model of film and its ocularcentrism, we do not, however, need to subscribe simply to an oppositional dichotomy. That is, we need not insist on positions that are skeptical or denigratory of visuality; nor need we treat visuality solely as a site of regulatory power over our bodies. There is another path to follow in tracing a composite genealogy for a filmic architectonics. It involves an engagement with environmental history and its inhabited, lived space.\n\nTo build a theoretical map of an architectonics as mobile as that of motion pictures, one must use a traveling lens and make room for the sensory spatiality of film, for our apprehension of space, including filmic space, occurs through an engagement with touch and movement. Our site-seeing tour follows this intimate path of mobilized visual space, \"erring\" from architectural and artistic sites to moving pictures. Haptically driven, the atlas finds a design for filmic space within the delicate cartography of _emotion_ , that sentient place that exists between the map, the wall, and the screen.\n\n### PANORAMAS OF MODERNITY\n\n> _Mobility lies at the heart of the historian's method.... Knowledge depends upon travel, upon a refusal to respect boundaries, upon a restless drive toward the margins_.\n> \n> Stephen Greenblatt\n\nIn keeping with the kinetic origins of the cinema, known in its early days as the \"kinema,\" a passage to site-seeing involves, first of all, locating a geography of movement for cinema within the haptic map designed by the modern age. In this respect, my efforts converge with recent work in cinema studies that focuses on early cinema and gives attention to film space. Looking at the emergence of cinema in terms of a cultural space enables us to articulate the link between cinema and the culture of modernity. Film came to place itself within the perceptual field that has been described by art historian Jonathan Crary as the \"techniques of the observer.\" It emerged out of this shifting observational arena and was affected, in particular, by the panoramic spectacle of display (especially anatomical display). A product of this representational architectonics, the motion picture developed from what cultural historian Wolfgang Schivelbusch has called \"panoramic vision,\" and especially from the architectural configurations of modern life and their circulation.\n\n1.2. Interior of the Titania Palace Cinema, Berlin, 1928. Sch\u00f6ffler, Schl\u00f6nbach and Jacobi, architects.\n\nOn the eve of cinema's invention, a network of architectural forms produced a new spatiovisuality. Such venues as arcades, railways, department stores, the pavilions of exhibition halls, glass houses, and winter gardens incarnated the new geography of modernity. They were all sites of transit. Mobility\u2014a form of cinematics\u2014was the essence of these new architectures. By changing the relation between spatial perception and bodily motion, the new architectures of transit and travel culture prepared the ground for the invention of the moving image, the very epitome of modernity.\n\nFilm shared much in common with this geography of travel culture, especially with regard to its constant reinvention of space. I have argued elsewhere that spectatorship is to be conceived as an embodied and kinetic affair, and that the anatomy of movement that early film engendered is particularly linked to notions of _fl\u00e2nerie_ , urban \"streetwalking,\" and modern bodily architectures. As wandering was incorporated into the cinema, early film viewing became an imaginary form of _fl\u00e2nerie_ , an activity that was\u2014both historically and phantasmatically\u2014fully open to women. By way of the cinema, new horizons opened up for female explorations. A relative of the railway passenger and the urban stroller, the female spectator\u2014a _fl\u00e2neuse_ \u2014traveled along sites.\n\n1.3. Time-space revealed in _Pan-American Exposition by Night_ (Edison, 1901). Frame enlargements.\n\n### THE URBAN PANORAMA\n\nAgainst this background of the intersection of filmic and architectural motion, and on the threshold of a geography of the interior, we begin our first site-seeing tour with a panorama of the cine city in history. This tour is not universal but subjectively localized. It returns often to the cinema of Italy, drawing on the filmography of a country particularly attuned to design, one that has \"fashioned\" the body and architectural space according to its rich history of visual representation. Drawing specifically on my own cultural map, this \"cinetopophilic\" travelogue offers a personal, partial view of the Western cine city that is meant to provoke some thoughts on the urban screen in general.\n\nA product of the era of the metropolis and its transits, film expressed an urban viewpoint from its very inception. As Paul Virilio put it: \"Since the beginning of the twentieth century... the screen... became the city square.\" Addressed primarily to urban audiences, early film fed on the metropolitan consciousness and unconscious. The city is present as \"mise en abyme,\" to use Tom Gunning's metaphor. An international genre of panorama films composed of \"scenics\" or \"foreign views\" made traveling through sites an extensive practice in the very early days of film and became instrumental in the development of the language of fiction films. This travel genre was known in Italy as _dal vero_ , or \"shot from real life.\" In a mirroring effect, the life of the street, views of the city, and vistas of foreign lands were offered back to urban audiences for viewing.\n\nEarly movie theaters hosted a panoply of mobile urban picturing. The turn-of-the-century travel-film genre reveals how film began articulating its language by striving for a form of _vedutismo_ , which became, as we will later see, a practice of \"view-tracking\" and \"view-sensing.\" Following the course of view painting and pursuing its representational route, a composite practice of spatiality was born in film that mobilized place and transformed it into a site of landscaping. Early cinema envisioned \"panoramic views\" that incorporated site-seeing journeys and the spatio-visual desire for circulation that had become fully embedded in modernity.\n\n1.4. The city becomes city-scape in _Panorama from Times Building, New York_ (American Mutoscope and Biograph, 1905). Frame enlargements.\n\nFrom the depiction of foreign and domestic views to the simulation of traveling through space, filmic representation is never static. Not only do the subjects of urban views move, but the very technique of representation aspires to motion. A film like _Panorama from Times Building, New York_ (American Mutoscope and Biograph, Wallace McCutcheon, 1905), for example, offered _vedute_ in motion, portraying New York's aerial cityscape by first tilting upward and then panning across an urban bird's-eye view. In panoramas like this, the camera strives for diverse viewing possibilities from the height of buildings or from different perspectival points in the city. As seen in _Panoramic View of Monte Carlo_ (Edison, 1903), the genre was also attracted to the street motion of urban strolling and frequently represented the daily urban circulation of male and female city dwellers.\n\nPublic circulation takes cinematic shape in these films, and the sidewalk becomes the site where gender openly dwells. In _At The Foot of the Flatiron_ (American Mutoscope and Biograph, Robert K. Bonine, 1903), a film that records a street scene, architecture and body are more than metonymically conjoined as the camera scrutinizes the ankles of passing women at the \"foot\" of the building. The camera catches the reactions of passersby of all sexes when, at the windy street corner, women's skirts blow upward, revealing even more flesh. Architectural tours turned into gender travelogues as the sidewalk began to embrace sexual mobility and freer circulation for a growing female urban public. In _Panorama from the MovingBoardwalk_ (Edison, 1900), the moving sidewalk\u2014a novelty of world expositions\u2014became a filmic scenario and the platform for traveling shots, which female urban strollers appear particularly to have enjoyed.\n\n1.5. The architecture of urban motion in _Panorama of the Flatiron Building_ (American Mutoscope and Biograph, 1903). Frame enlargements.\n\nIn the city travelogues, the camera practiced circular pans, up-and-down tilts, and forward, vertical, and lateral tracking motion, offering a variety of vistas across the city space, from panoramic perspectives to street-level views. In this way, the genre reproduced the very practice of urban space, which involves the public's daily activity and circulation. These moving panoramas were instrumental in developing films that eschewed static, theatrical views in favor of architectural motions. In the travel genre, film cameras were placed on railroad cars, incline rail cars, subway cars, boats, moving street vehicles, and even balloons for attempted aerials. Movement was also simulated. Beginning with Hale's Tours and Scenes of the World in 1905, phantom rides were offered to spectators, who would watch films in movie theaters designed like railroad cars, with the screen placed at the front of the vehicle. The attraction involved the very means that produced the moving visual space and affected the architectural shape of the movie house itself.\n\nWhen the camera is placed at the very front of a moving vehicle\u2014in trains, most typically; in subway cars, as in _Panoramic View of Boston Subway from an Electric Car_ (Edison, 1901); on streetcars, as in _Panoramic View of the Brooklyn Bridge_ (Edison, 1899); or on vehicles moving through the street, as in _Panorama of 4th St., St Joseph_ (American Mutoscope and Biograph, A. E. Weed, 1902)\u2014the camera becomes the vehicle: that is, it becomes, in a literal sense, a spectatorial means of transportation. The travel-film genre inscribed motion into the language of cinema, transporting the spectator into space and creating a multiform travel effect that resonated with the architectonics of the railroad movie theater that housed it.\n\n1.6. \"Tracking\" the landscape in _Panoramic View of Boston Subway from an Electric Car_ (Edison, 1901). Frame enlargements.\n\n### A LABORATORY OF CITY FILMS\n\nIn the 1920s, the city became the subject of a number of landmark films that shaped the body of the cine city in important ways. These include _Manhatta_ (Paul Strand and Charles Sheeler, 1921), _Paris qui dort_ (Ren\u00e9 Clair, 1923), _L'Inhumaine_ (Marcel L'Herbier, 1924), _Metropolis_ (Fritz Lang, 1926), _Rien que les heures_ (Alberto Cavalcanti, 1926), _Berlin, Symphony of the Big City_ (Walter Ruttmann, 1927), _Sunrise_ (F. W. Murnau, 1927), _The Crowd_ (King Vidor, 1928), _The Man with the Movie Camera_ (Dziga Vertov, 1929), and _A Propos de Nice_ (Jean Vigo, 1930). The city space also became a genre in German street dramas and in the Italian cinema of the street, both of which opened the road to women.\n\nLooking at these panoramas from an architectural perspective, the city emerges both as something more than and something different from the mere object of the films. Here, metropolis and film interface as a distinctly modern production in which a correspondence between the city space and the film space, between the motion of the city and the moving image, exists. The machine of modernity that fabricated the city is also the \"fabric\" of film. The 1920s, a period of fluid exchange between architecture and film, created a nexus investing the actual mechanics of the bond. The modern architectural model of film even came to be projected onto the architecture of the movie house itself.\n\n_Metropolis_ , inspired by Fritz Lang's vision of New York City, is particularly eloquent in exhibiting the electro-chemistry shared between cinema and the city. The film (written by Lang's wife, the novelist and screenwriter Thea von Harbou) presents the workings of the urban dream machine in architectural terms, with the utopias and dystopias of the machine age uniting the city and film. In the age of mechanical reproduction, film and the metropolis intersect here as machines of reproduction, bound together by mechanicalism and by the mechanics of the body. As a new type of artwork and a new scientific invention, film was manufactured reproducibly. Such reproducibility having become a cultural dream of the modern age, the ultimate dream now became reproduction itself. _Metropolis's_ laboratory manufactures such a utopian scheme, giving it the shape not only of architecture but of the architecture of the body. Turning laboratory into labor-atory, the film depicts the ability to conceive and reassemble that most elaborate work of art\u2014the fabric of our own bodies, our own private working machinery.\n\n1.7. Traveling from streetscape to cityscape in _Panorama of Eiffel Tower_ (Edison, 1900). Frame enlargements.\n\nPhotography had introduced the power to reproduce a body, offering an image equal to our physical body. Film made it move. The laboratory of _Metropolis_ animates this transition\u2014the transition, that is, toward the \"cyborg.\" In an extraordinary, transformative sequence, the fabrication of a female body-double takes place in a laboratory which itself becomes animated. With this mechanical marvel\u2014a design that blurs the distinction between machine and organism\u2014the texture of the body becomes as reproducible as that of film. Film, the serial image, is made equal to the android, the serial body; they are both mechanical doubles\u2014products of the same mechanical dream of reproduction. Like the android, film, too, is a type of \"replicant.\" Here, cinema, the reproducible artwork, exhibits the scientific potential of the future: the potential to reproduce technological bodies. The era that produced the motion picture strove to transmute and clone the body as it extended and displaced women's reproductive capacity. In celluloid imaging, replicants of ourselves can be exposed in spectatorial out-of-body experiences.\n\nThe mechanism that connects the inner workings of the metropolis to film is also cinematically rendered in Rene Clair's _Paris qui dort_. Looking at the city of Paris from the Eiffel Tower, we are offered a variety of vistas that turn the city into a cinematic event. These are views from inside the machine age. In this film, the city\u2014the product of a scientific experiment\u2014is a mechanism that moves at a specific speed, tempo, and rhythm. In this sense, one may say that the city is inhabited by the cinematic apparatus, which is invested with the power to analyze the workings of the urban experience in direct correlation to its own representational machinery. When Paris is asleep, the city is frozen as if it were an image arrested on a Moviola. As it begins to move, we experience the very moment that a photograph turns into a moving image. As Annette Michelson aptly notes, \"Rene Clair's celebration of modernity therefore turns upon that threshold in our history which was the invention of the motion picture.\" It exposes the motor force that acts on the image to accelerate and decelerate, arrest and release spatiotemporality.\n\n1.8. A vista of the filmic-urban \"ray\" in _Paris qui dort_ (Ren\u00e9 Clair, 1923). Frame enlargements.\n\nIn the laboratory of _Paris qui dort_ , the machine that freezes and propels the city is called a \"ray.\" Although one is led to understand that the ray is the cinema, the ray is never explicitly called, or represented as, film. Yet there is a known historic precedent for linking the invention of the X ray with the moving image. Produced at the same time, they share a common cultural function: both are forms of imaging that scan, examine, and document our physical matter, changing not only the perception of the body in space but modes of corporeal perception as well.\n\nThis conjunction of film and science was artistically acknowledged by L\u00e1szl\u00f3 Moholy-Nagy, who made films about urban still life and harbor life\u2014most notably, _Berliner Stilleben_ (1926) and _Impressionen vom alten Marseiller Hafen_ (1929). Moholy-Nagy envisioned a film project based on the dynamics of the metropolis and became involved in the science-fiction film _Things to Come_ (1936), produced by the art director William Cameron Menzies. He made stunning plans for the film's set design which, regrettably, were not used, except for his flash-forward construction of the metropolis. In his 1925 Bauhaus book, _Painting, Photography, Film_ , Moholy-Nagy had portrayed the interaction of all the visual arts from a scientific perspective and even included pictures of X rays within the display of the cinematic \"ray.\"\n\nWhat _Paris qui dort_ only alludes to and Moholy-Nagy distinctively pictures _The Man with the Movie Camera_ makes textually explicit. The \"ray\"\u2014the X ray\u2014that scans the urban body is definitively the work of film here. More than a symphony of the city, Vertov's constructivist film shows that cinema moves (and moves with) the city. An elegy to the intermingled laboratory of metropolis and film, _The Man with the Movie Camera_ traverses the very history of the body. The film is thus a fascinating work of \"radiographic\" condensation which maps the history of film's genealogy and locates it within the body of the city.\n\nThe story, set in the space of a movie theater, begins with architecture. We embark on an urban tour with a visit to the interior of a movie house. Initially empty, still, and frozen, the theater slowly becomes energized, \"animated\" by the film-work just as it is activated by the people who come to inhabit it. The chairs begin to move as music fills the movie house and sets it in motion, and as the spectators of the city-film move into the theater space. The city's rhythm is constructed out of the architectural space of a movie theater.\n\n1.9. The movie house comes to life in _The Man with the Movie Camera_ (Dziga Vertov, 1929). Frame enlargements.\n\nIn _The Man with the Movie Camera_ , the life of architecture is the life of its residents. When the belly of the city is asleep, a series of still-life shots is rendered with a montage of cinematic bodies in arrested motion. Sleeping people are frozen like wax models or photographs, waiting to be awakened by the invention of the cinema. Moving through a series of still body images connected by way of montage, Vertov activates nothing less than the shift from wax modeling to still photography and motion pictures. Thus the body of the city, once asleep, finally wakes up. The city, like the camera, begins to move about. As in the early panorama films, the camera's own movement is augmented and multiplied as it is coupled with the city's vehicles of transport. All the machines of modernity inhabit Vertov's movie as trains, trolleys, automobiles, airplanes, and the motion of factories fabricate the space of the film. In turn, film animates the city as a real means of transportation. The movie camera becomes a moving camera\u2014a means of \"transport.\"\n\nA cart pulled by a horse carries some people as the camera transports us into their lives. Suddenly, everything stops. The \"ray\"\u2014the X ray which is film\u2014freezes their image. The arrest is a powerful epistemic break, an example of Vertov's theory of the kino-eye that exhibits the physical aspect of film's power. Film is an analytical \"cyborg\": a relative of the X ray, it can dissect somatic traces. It can even freeze the body, as only death can, transforming it into a _nature morte_. Insofar as it is fundamentally \"still\" photography, film is inhabited by death. Like a waxwork or a mummy, its illusionary movement can return us to a state of stillness. By freezing time in space, the cinema, at some level, can preserve body images, propelling them into a future they would not otherwise be able to enjoy. By way of its laboratory of reproduction, the cinema can fashion \"replicants\" that are\u2014as Ridley Scott's _Blade Runner_ (1982) would have it\u2014\"skin jobs.\" Terminal subjects. Still lives turned into moving pictures.\n\n1.10. The makeup of urban emotion, from _The Man with the Movie Camera_. Frame enlargements.\n\nDespite its title, in _The Man with the Movie Camera_ it is a woman, a film editor, who \"fabricates\" the film in this way. She labors over the celluloid strip, which consists only of a series of still images with bodies frozen into still lifes. Just as a seamstress would make a dress by cutting and sewing together pieces of fabric, the film editor cuts and splices film to manufacture movies. Editing\u2014an analytic procedure\u2014embodies, with its assembling force, the power to fashion that which we have called an \" _emotion_.\" In this woman's laboratory, the mobility of the city ceases, and so does the course of life of the city dwellers. Suddenly their faces no longer move. They are frozen, dead, arrested on the editing table. Yet the force of editing, the arrest, also contains the power to release the movement. The moving image overcomes the death of \"still\" photography. And, just as it happens in the work of mourning, life moves on.\n\n_The Man with the Movie Camera_ \"emoves,\" propelling the motion of emotion with this motor force of urban activity. Creating a choreography from the physicality of bodies on the run, the film takes pleasure in displaying the tensed muscles of people running, swimming, and dancing. Could _The Man with the Movie Camera_ be an urban homage to locomotion studies? Perhaps so, for it is a grand spectacle of kinesthetics, fabricating its own moving elegy to the laboratory of the city, the body, and film.\n\n1.11. Set design in _L'Inhumaine_ (Marcel L'Herbier, 1924). Frame enlargement.\n\n### URBAN LURE, FEMALE ALLURE\n\nWith Marcel L'Herbier's _L'Inhumaine_ , whose sets were designed by Robert Mallet-Stevens, Alberto Cavalcanti, Fernand L\u00e9ger, and Claude Autant-Lara, architecture became a supreme screen of sets. Concerned with modern ornament, _L'Inhumaine_ would synthesize the design aesthetic of the 1925 Exposition Internationale des Arts D\u00e9coratifs et Industriels Modernes, for all who worked on this film (including Paul Poiret, who did the fashions) came to define avant-garde design at the Exposition in the following year. The architect Mallet-Stevens, who designed the pavilion of tourism at the Exposition, was the theoretician of the film set. In his writing on decor, he conceived the set of a film as a work of draftsmanship and a working drawing. He was particularly concerned with rendering haptic volumetrics and depth and emphasized aesthetic techniques of relief in the design of filmic decor.\n\n_L'Inhumaine_ , a film that turned the architect Adolf Loos into an enthusiastic film critic, opens with an industrial vista of Paris as displayed from the \"moderne\" villa of Mallet-Stevens. This house is inhabited by \"the inhuman one\"\u2014a woman. Claire Lescot is played by Georgette Leblanc, who conceived the idea for the film. Lescot is a soprano who presides over an international salon of men, hosting dinner parties served by masked waiters in an inner patio that resembles a refashioned impluvium. This particular set was designed by Cavalcanti, who, in his own _Rien que les heures_ , would constantly return to the theme of food, conceiving the urban rhythm as its own metabolic matter.\n\nClaire's salon is frequented by two suitors who battle for her affection. The engineer, Einar, ends up winning her love by showing her the workings of his very modern \"cabinet of curiosity.\" Claire delights in the marvels of this laboratory (designed by L\u00e9ger), in which she can futuristically watch her audiences on a screen just as they are able to hear her sing. As the intertitles suggest, \"she voyages in space without moving,\" reaching visions of artists in their studios, partaking of the bustling life on the street, and following people driving cars and riding trains. In this way, she lives \"through the joy and the pain of human beings.\" No wonder her other suitor becomes jealous and poisons her.\n\nBut Einar's laboratory contains residual traces of its genealogy: it can perform alchemy. What is more, it is outfitted with an extra chamber, equipped with a mechanism for reviving the dead. This lab of transformation becomes activated in a sequence that resonates with Lang's _Metropolis_. With superimpositions and rapid montage, the laboratory offers what the intertitles call \"a symphony of labor,\" which brings our _voyageuse_ back to life and to the liveliness of her urban salon.\n\n\"Come to the City!\" we hear in the films of the 1920s. It is screamed aloud in the intertitles of Murnau's _Sunrise_ , where the energy of the street and the magnetism of cinema conjoin architecturally with the female allure. In a film professing to be about \"the song of two humans,\" the \"inhuman\" one is, again, a woman\u2014the \"Woman of the City,\" who comes to disrupt the married life of a peasant couple. Thus defined, she bears no name and possesses great allure. \"Come with me to the City,\" she tempts the farmer, \"Come to the City!\" As her words fill the frame, a double of the film screen appears in front of the pair, projecting for him (and for us) the attractions of jazzy urban motion as the temptress dances to the _emotion_ of the filmic-architectural canvas.\n\n1.12. The lure of the city \"projected\" on the screen of _Sunrise_ (F. W. Murnau, 1927). Frame enlargements.\n\nBesotted, the farmer tries to kill his wife but, in the end, is unable to carry through. Fearing her husband and anxious to escape a rotten situation, the peasant woman boards the trolley for town; he, repentant, follows her to the city. The trolley journey doubles the camera's own power to track motion and mobilizes the film's compositional penchant for painterly interplay. Entire segments of the history of landscape painting and design unfold in the window\/frame of the two vehicles of transport (trolley and camera), united by motion. The journey, which bridges the countryside to industrial vistas and urban scenes, parallels the distance the couple itself is trying to bridge, which separates them from their turf and from each other. Once disembarked, they experience the attractions of the urban pavement, which becomes the locale of a sentimental voyage. Enjoying the erotics of the street and the dance halls, the enticements offered in caf\u00e9s and restaurants, the two relearn what they can offer each other. On the grounds of modern architecture, they reunite. Fascinated by an imaginary urban space\u2014a set design that looks ahead to the future of cities\u2014the couple rekindle their love, based on their love of the city.\n\n### FADS OF NOIR\n\nIt was Ren\u00e9 Clair who claimed that \"the art that is closest to cinema is architecture.\" This assertion is true in a number of ways, especially, as we will continue to observe in the next chapter, insofar as both enterprises are practices of space. Moving along with the history of space, cinema defines itself as an architectural practice. It is an art form of the street, an agent in the building of city views. The landscape of the city ends up interacting closely with filmic representations, and to this extent, the streetscape is as much a filmic \"construction\" as it is an architectural one.\n\nIf the urban landscape is a product of the city's own mapping, it is also a creation of its filmic incarnations, for these, too, become part of its geography. A sense of place is actively produced by a constellation of imagings, which includes films, both those shot on location as well as those that fabricate their mise-en-sc\u00e8ne. In fact, the important work of art direction and production design itself creates a sense of geography. In many ways, a city becomes activated as a place on the screen as much as it does on the street. Think of New York, for example. As Donald Albrecht, an architect and curator interested in film design, has demonstrated, the New York City of films is a set as well as a location. Life on the New York urban pavement absorbs the city streets of Hollywood and the shadowed interiors of film noir, creating a composite urban landscape. Edward Dimendberg and others have argued that film noir is quintessentially urban in nature. With respect to geographic location, it claims a privileged role in the production of the urban terrain.\n\nFilmic genres and cycles are specific to sites and even to means of transportation, and, in turn, they change the way we remap those sites. The railroad and the open landscape generated and shaped the western, outer space defined the domain of science fiction, the car determined the road movie, and the house delimited the border of melodrama\u2014a border not readily trespassed. In many cases, however, these boundaries exist only to be transgressed. Thus in _Stazione Termini_ (1953), a film by Vittorio De Sica and Cesare Zavattini (known in English as _Indiscretion of an American Wife_ ), the Roman railway station, the primary location of the film, turns into the set of a woman's amorous \"transport\": a liaison with an Italian professor, a culturally misplaced, irresistible Montgomery Clift.\n\nIf landscape writes genres and cycles, the urban scenography is the map upon which film noir was implanted. To a large extent, the historical shape of the city determined this filmic mode: without the malaise associated with urban reconfiguration, this film cycle of equal darkness might not have been thinkable. But as it represents this space, film noir extends it\u2014even into the tenebrous future that inhabits later films such as _Blade Runner_ , with its set conceived by Syd Mead. Film noir has impressed its mark on the future landscape of the city and on the way we cognitively and emotionally navigate its space. In this sense, it continues the trajectory of the early urban panoramas, which the motion picture inherited from the shadow of nineteenth-century urban culture and fiction, remapping its penumbra in novel ways. The noir stories emerge from the site of the modern city and, conversely, leave tracings of their footsteps on the urban sites as they redraw the physiological perimeters of the city for \"things to come.\"\n\n1.13. Screening architecture in _The Fountainhead_ (King Vidor, 1949). Frame enlargements.\n\nNoir as a \"tactics\" of urban planning is revealed in condensed fashion in such films as _The Naked City_ (Jules Dassin, 1948) and _Le Samoura\u00ef_ (Jean-Pierre Mieville, 1967). In the mode of a remake, _Le Samoura\u00ef_ returns film noir to the French cinephilic culture that gave it its name. A French neo-noir, shot in color, this film cites extensively from film's cultural past as it anticipates the hybrid, stark shapes of dark films to come. Here, Alain Delon is a lonesome outlaw, a border-crossing character who at once embodies a samurai, a western persona, and the urban version of the lonesome executioner produced by film noir. This pastiched urban cowboy looks back to the future: configured transfilmically, our solitary, dystopic character is a type of \"blade runner.\"\n\nFocusing on architecture and fashion, _Le Samoura\u00ef_ engages, above all, our sense of \"decor.\" Delon is \"dressed to kill\" and fashioned to seduce. Impeccably clad in the raincoat and hat that are _de rigueur_ for the form, he is noir on all counts, and so attractively self-conscious that even a minor wound becomes an excuse for him to undress and present us with his rather remarkable naked flesh. No matter how messy the situation gets, he remains composed. Elegantly adorned to haunt the urban jungle, he persistently checks his attire, reviewing himself in the mirror to make sure his hat is in place. Minute, everyday gestures, like touching the hat, make up this film designed of body language. Dialogue is sparse, albeit sharp, and it is a \"fashioned\" space that propels the story. Our fashioned hero lives life accordingly. The space that he inhabits is transformed from the classic shadowy home of film noir into a stark, bluish-gray interior whose decaying architecture and peeling walls look ahead to further realizations of the cycle. Rigorously single despite a loving girlfriend, he relentlessly travels the city by car and on foot, haunting his victims until he becomes haunted himself.\n\nRather than providing the usual climactic chase scene, the film ends with a brilliant lesson on cartography. As it follows Delon's attempt to escape both the cops and everyone else who is after him, _Le Samoura\u00ef_ avoids the characters' physical pursuits and, entering into a different zone of narrative space, narrates _with_ space. Delon's escape, played out on the subway map of the city of Paris, is \"tracked\" remotely by the police on a transportation map. Instead of chasing, the point becomes \"locating.\" The winner of the chase will be the one who best knows his map.\n\nFrom the ruins of film noir, a story about mapping emerges. Ultimately, _Le Samoura\u00ef_ tells no other story than that of the subway map of Paris. By way of tours and detours, it shows how a transportation chart can function to map and remap a city and how the landscape of this particular city is inextricably tied to its underground. The Paris _metro_ speaks the anatomy of the metropolis: its plan is as intricate as the plan of the city itself. The subway map is indeed \"the belly of Paris.\"\n\nCharted in this way, in the belly-plan, the filmic chase becomes a tactic in which tact plays an important part. The chase gives way to a haptic strategy of urban living in motion, a negotiation of the city space that is rendered as cartographic navigation. Here, we engage in the very flux of psychogeography. Our urban hero knows his city \"intimately\"; that is, he knows all its inner workings. He has interiorized the subway map, practiced each of its pivots and sites of junction, digested every single point of entry and exit. So familiar is the streetwise Delon with this map that he can move jointly with it. He knows it _\"comme ses poches,\"_ like his pockets. No wonder this \"blade runner\" can outsmart the cops. He is \"wearing\" the map. Like a skin.\n\n### ON LOCATION: CITY WALKS\n\nThe physicality of the street and of the social epidermis materialized into fiction as a formalized architectural aesthetic in postwar Italian neorealism. This was a movement concerned with daily urban fiction. Its practice was exhibited, in particular, in films like Vittorio De Sica's _Ladri di biciclette_ ( _Bicycle Thieves_ , 1948), which, as Andr\u00e9 Bazin effectively described it, is simply \"the story of a walk through Rome.\" Most neorealist works are similarly constructed and can be interpreted as city walks. Neorealism was a movement that developed street life filmically, exposing the living component of the production of space. Shooting on location with the city as its specific topography, it focused with precision on the urban mise-en-sc\u00e8ne of the lived city. In this cinema, as in the philosophy of Henri Lefebvre, one may say that \"architecture produces living bodies, each with its own distinctive traits. The animating principle of such a body, its presence,... reproduces itself within those who _use_ the space in question, within their lived experience.\"\n\nRecognizing the role neorealism played in the construction of \"the movement-image,\" Gilles Deleuze called attention to the \"dispersive and lacunar reality\" of the aesthetic, noting that \"in the city which is demolished or rebuilt, neorealism makes any-space-whatever proliferate\u2014urban cancer, undifferentiated fabrics, pieces of wasteground.\" The movement-image is activated, in particular, in the series of fragmentary encounters with the parceled regional identities of the Italian nation that make up the landscape of Roberto Rossellini's _Pais\u00e0_ ( _Paisan_ , 1946). It also informs the voyage of father and child in _Bicycle Thieves_ , where the search through various urban wastegrounds for the lost bicycle is no longer a vector but a rambling\u2014through sites that are life-styles and in a trajectory that can be fortuitously interrupted or deflected at any time.\n\nTo this landscape we can add another important urban fragment: the extraordinary long walk at the end of Rossellini's _Germania anno zero_ ( _Germany_ , _Year Zero_ , 1947). In a final sequence that serves to open the text rather than provide closure, the boy Edmund aimlessly wanders through Berlin. This walk constructs the city as a landscape of emptiness, rubble, and debris: an urban cancer that speaks of history and reveals how the traces of its ruins are left upon the urban fabric to mold its present and map the future.\n\n### UNHOMELY CITY VIEWS\n\n> _In no other place\u2014with the exception of dreams\u2014can the phenomenon of the border be experienced in such a pristine form as in cities_.\n> \n> Walter Benjamin\n\nBuilding on the ruins of neorealism, Pier Paolo Pasolini staged some memorable city walks. _Uccellacci e uccellini_ ( _Hawks and Sparrows_ , 1966) is a walk undertaken by a father (Tot\u00f2) and a son (Ninetto Davoli) in an imagined geography. Starting from a freeway under construction, the two walk along a heterotopic path. One sign on the road points to Istanbul, 4,253 kilometers away, while another points to Cuba, 13,257 kilometers away. Such markers contribute to our sense of disorientation as we traverse a site without a geography, with invented street names. We go from \"Via Benito La Lacrima. Disoccupato,\" a street named after someone crying over his unemployment, to \"Via Antonio Mangiapasta. Scopino,\" the street that puts the food consumer on the same level as the garbage collector. The characters walk the entire length of the film through a series of social situations, in a promenade that constructs a moving allegory of the joint itinerary of history and social space.\n\nA different walk, from a different walk of life, makes up the cinematic landscape of _Mamma Roma_ (1962). The very etymology of _metropolis_ \u2014\"mother-city\"\u2014is explored here in Pasolini's intervention into the terrain of the urban female. Anna Magnani, who had been the subject of Rossellini's _Roma citt\u00e0 aperta_ ( _Open City_ , 1945), is here a streetwalker named \"Mother Rome.\" But Mamma Roma's Rome is no longer the \"open city\" of the neorealist vision.\n\n_Mamma Roma_ is a film about architecture as a framework for life-style. In the opening scene, in a composition that mimics Leonardo's _The Last Supper_ , Mamma Roma bids farewell to her pimp at his wedding party. She intends to give up her profession, move out of her old flat, and take her son Ettore to a better neighborhood outside the historic district of town. This is Rome, however, and not a postwar Hollywood fantasy about a dream located in a house in the suburbs. _Mamma Roma_ , in other words, is no _Mr. Blandings Builds His Dream House_ (H. C. Potter, 1948), a film about the force of \"moving out\" in the American landscape. In this latter film, after an elaborate tour that maps the space of his New York City apartment, the Cary Grant character decides to build a home out of town. \"His\" design prevails over \"hers\" and, despite the nightmare of construction and some healthy metropolitan cynicism, happiness at last finds a home outside the city. Things do not happen quite that way for Mamma Roma: in order to obtain her dream house, she is forced by her pimp to prostitute herself one more time.\n\n1.14. Urban ruins in _Mamma Roma_ (Pier Paolo Pasolini, 1962). Frame enlargement.\n\nMaterializing the semiotics of prostitution, Pasolini makes Mamma Roma enact its peripatetics. In one extraordinary sequence, the streetwalker takes a long stroll, facing the camera and moving toward us. In this long take, she is accompanied for part of the time by other inhabitants of nocturnal Rome: first another streetwalker, her girlfriend Biancofiore; then a number of passersby who, one after the other, either alone or in small groups, \"streetwalk\" with her. They stride along with Mamma Roma for a while and then eventually exit just as they came in, moving off screen as she stays on and others move in. To the casual listeners entering and exiting her frame, Mamma Roma tells an architectural story that explains her entry into prostitution. She had been married off to a dirty old man, a repulsive urban developer, notorious for being paid to build an area now remembered as Cessonia, \"toilet city,\" for he took the money and built only the bathrooms. As Mamma Roma tells us, the toilets\u2014relics of his dirty deal\u2014stand as urban ruins.\n\nMamma Roma's outlook on urban matters becomes increasingly clear as she looks out of the window of her flat. In point-of-view shots, twice, we are shown what she and Ettore see, and we hear her commentary on the ugliness of it all. The vista, so to speak, is of a cemetery. It is this \"view\" that Mamma Roma intends to leave behind, changing with the architectural view the view of her life. She walks the streets in order to buy a new house, to position herself in a different \"perspective,\" and to actualize a social relocation into modern living.\n\nUpon exiting the last streetwalking sequence, another panorama opens up: a long shot of the building complex to which she has moved. The composition of the sequence in which Mamma Roma proudly accesses her new life emphasizes threshold. Tracking shots usher her and Ettore to the brink of the new urban scenography. Through the portal of the building complex, in a passageway, their new view is shown: a rather bleak display of postwar tenement buildings with sad, petitbourgeois aspirations. This is Rome's _periferia_ , its periphery, the sprawling edges of town where borderline living takes place. Once the countryside, this particular place is less than pastoral but not quite urbane. A mixture of public housing projects and private speculation, the _periferia_ might be a new ghetto. But Mamma Roma sees it differently. She believes in her new INA-CASA low-income dwelling in the Tuscolano and is marching in to take her place in this entirely modern environment. After all, she has given up streetwalking to sell fruits at the local market.\n\nIt is now Ettore who looks out the window and contemplates Mamma Roma's new view. It is no longer the cemetery, but the rows of tenements look just as deadly. Composed and framed in the same way, the house of the dead and the dismal housing project seem interchangeable. Terminally adjoined through point-of-view shots, the two views metonymically converge. But while Mamma Roma clings to her imaginary view, Ettore begins to wander, exploring the margins of society as he roams the landscape of the \"periphery.\" In a place where archaeological ruins coexist uncannily with the architecture of urban decay, Mamma Roma continues to struggle for the sake of her view.\n\nUltimately, however, she is forced to return to the streets. Pasolini reinstates the long take of her city walk: she travels first, again, with Biancofiore, who exits the shot to make room for another set of \"passengers.\" As people stroll in and out of frame, Mamma Roma tells us a different story of how she took to the streets. This time, it happened because of Ettore's father. And now Ettore himself simply will not stay off the streets.\n\nEventually, Mamma Roma's petit-bourgeois aspirations come crashing down. Ettore, after he is caught stealing a radio in a hospital, dies in jail. Pasolini stages the filmic death as a moving _tableau vivant_ that contains another painterly citation, this time to the mise-en-sc\u00e8ne of Andrea Mantegna's fifteenth-century painting of the _Dead Christ_. As Ettore's feet fill the foreground of the frame, Mamma Roma's view of an open city closes in on her. She rushes home, and a cut returns us to the point-of-view tracking shot of the passageway that had marked her entry into the tenement life. At this point in the narrative, the entrance shows itself to be an enclosure. Upstairs, Mamma Roma throws herself at the window. It is the same view, yet as she looks a second time it looks different. Filmed with a different lens, it is a wider shot. Her subjective viewpoint has changed the urban landscape. As the world retracts, her view escapes her, recedes. For Mamma Roma, this is the end.\n\nThe shot of the view closes the film. It has been repeated many times as Mamma Roma's world has enlarged and shriveled. We are reminded of the way Homi K. Bhabha speaks of \"the world-in-the-home\" and describes how the \"unhomely\" moment comes into being. We experience it with Mamma Roma, as with Isabel Archer in _The Portrait of a Lady_ , when they take the measure of their dwellings. \"It is at this point that the world first shrinks... and then expands enormously.... 'Unhomeliness' [is] inherent in that rite of extra-territorial and cross-cultural initiation. The recesses of the domestic space become sites for history's most intricate invasions. In that displacement, the borders between home and the world become confused.\" For Mamma Roma, who takes the measure of her dwelling and transforms it literally into a way out of streetwalking, the unhomely creeps in. The borders between home and the world become disorientingly confused. Her domestic space bears the mark of history and the dream of its potential changes. As the expansion and retraction of views builds the narrative setting of _Mamma Roma_ , an architectonics becomes embodied in the very changes of this woman's \"views from home.\"\n\n### THE URBAN FABRIC\n\n> _For me landscape has everything to do with cinema_.\n> \n> Wim Wenders\n\nThe cinematic wings of Wim Wenders's _Wings of Desire_ (1987) lovingly transport us in and out of cityscape and streetscape. This is a film made by a former painter who, by his own admission, was \"interested only in space: landscape and cities... 'landscape' portraits.\" Wenders, like Michelangelo Antonioni, is affected by a form of \"topophilia,\" a syndrome, first defined by the geographer Yi-Fu Tuan, that manifests itself variously as the love of place. Wenders's topophilia, as he describes it, concerns the \"habitability\" of place, which involves \"always, a work of mourning, a resistance\" that provides \"the energy to travel inside the site to know it and describe it\" filmically.\n\nIn a topophilic film whose German title, _Der Himmel \u00fcber Berlin_ , refers to \"the sky above Berlin,\" angelic city views meet cinematic bird's-eye views. The filmic angels, as the director has remarked, reference Walter Benjamin's own \"angel of history.\" A reference to it is whispered in the film's library, where the storyteller sits in front of globes. It is this angelic outlook, projected forward but looking backward, that _Wings of Desire_ strives to reproduce. With such a view in mind, the film constructs\u2014by means of architecture\u2014a historic reflection on the grounds of the city of Berlin.\n\nThe film, by now, is an architectural document of a city that no longer exists; with the passage of time, it turns ever more clearly into a work of mourning. An historical meditation that, in Wenders's words, involves \"women of the ruins,\" it takes us from the cityscape to the street and the often-empty plaza. In this way, _Wings of Desire_ brings us to inhabit the postwar void of Berlin before it was filled with the new construction that changed the specific sense of dwelling there and affected, along with the mental map of the city, its relation to the past. In this particular city, both for the inhabitant and the visitor, history was written onto the blank of the empty space, in the void that was a palimpsest of erasures.\n\n_Wings of Desire_ is, overall, a film about the haptic sense of architecture. The exploration opens with a close-up of an eye moving into an aerial cityscape, which in turn becomes reflected in the eye's pupil via superimposition. It is an image that resonates with a celebrated engraving by the architect Claude-Nicolas Ledoux, _The Creating Eye_ (1804), in which an eye reflects in its pupil the auditorium of the Theater of Besan\u00e7on. The angels begin to guide us from aerial views to the streetscape, traversing the landscape of urban dwellers, whose interior monologues they can sense and externalize for us. A moving camera passing through window glass leads us to the interiors of apartments, capturing here a child's disappointed expectations, there a woman painting her wall or a man visiting a house that smells of his dead mother, who collected pictures and never threw anything away.\n\nAs _Wings of Desire_ continues to externalize the interior space of the lives of Berliners, the sense of the haptic shifts; it becomes mobilized as a complex audio spatial strategy that carries us in liminal space. The tender angels\u2014both messengers and passengers, like the cinema itself\u2014are invested with the desire to affect lives. But the angel Damiel (Bruno Ganz) craves the actual historicity of those lives. Having become enamored of an acrobat (Solveig Dommartin), he chooses to become incarnated in the flesh so that he may love. It is at this point that the haptic comes to concern the actual recovery of the sense of touch. Such erotics involves, along with sexuality, an awareness of physicality, here represented as the ability to leave a footprint and to feel skin. With his \"grounding\" and the loss of angelic armor he must bear in order to enjoy physiological matters comes the sense of taste, and the need to acquire a taste for fashion. Damiel makes a bad bargain, giving up his armor for a dreadfully colored jacket. The angel's grounding is rendered as a different way of looking: the new visuality, fixed to the pavement, is color coded; no longer the black-and-white world of angelic transport, the haptic turns into a colorful view. But placed in the world of Technicolor and incarnated far too exactly, the haptic, fleshed out verbatim, ends up disappointingly literalized.\n\nMatters of filmic texture are also engaged in Wenders's _Lisbon Story_ (1994). This city film renders landscape with soundscape and might have been called \"Panoramic View of Lisbon.\" It is a sound remake of the silent urban panoramas we considered earlier. Eloquent on cinema's early panoramic culture, _Lisbon Story_ is nonetheless pervaded by a form of nostalgia that views the current state of image technology suspiciously. In this film, Wenders resists the potential to reinvent the haptic sense through new forms of imaging. But resistance belies fascination. This is made particularly clear in Wenders's _Notebooks on Cities and Clothes_ (1989), a work shot on film and video that mixes the imagistic textures of cities and fashion within the landscape of Tokyo. Devoted to the work of the Japanese designer Yohji Yamamoto, the film demonstrates that street and clothes do, indeed, share a fabric. This fabric, as we will further claim, is a conduit. It is a fashion of habitation.\n\n### URBAN DIARIES\n\nTo open the fabric of a city to view involves a liminal movement between exterior and interior. A taxi in different cities might provide this entrance into urban space, as in Jim Jarmusch's _Night on Earth_ (1991). Such a travelogue might even take diaristic form, as in _Caro diario_ ( _Dear Diary_ , 1993), an urban journal by Nanni Moretti in which the Italian author\/actor wanders the streets of Rome on a scooter. This is autobiographical fiction turned filmic memoir. If the performance of autobiographical fiction materializes for Sally Potter in _The Tango Lesson_ (1997) as a musical film journal, for Moretti, the filmic diary takes the shape of an architectural notebook.\n\nIn the first part of his episodic film, Moretti reveals a dream he has had, in which pictures become an architecture. Imagine a moving picture of houses. Think of a story made up only of architectures. Setting out to realize this dream, Moretti makes a journey around the city. \"Traveling shots\" of Roman facades are shown to us as the filmmaker roams about on his Vespa. The camera movement doubles the vehicle's motion through town. As in the early panoramic films of the travel genre, we are literally transported, for when film becomes a traveling lens the spectator becomes a voyager, traveling even through history. Here, as we visit different parts of town, a montage of the city's history takes shape. We learn from Moretti about the history of the buildings and the various districts. Diverse architectural figurations are edited together to create a travelogue of specific atmospheres. Architecture, locally experienced in motion and reassembled for the spectatorial tour, is made to move. Rome becomes a moving architectural landscape.\n\nBut the architectural surface of the city is only a part of Moretti's dream. The filmmaker wants more than to travel along the facades of houses. Who, he appears to ask, inhabits the space of film and architecture? \"Film directors do not inhabit films; they are evicted tenants, homeless people,\" says the filmmaker in the text of _Beyond the Clouds_ (1995), a film by Michelangelo Antonioni and Wim Wenders. Moretti seems to rebel against this idea. He wants to be housed, craves the places others live in, is curious about the lives led inside the apartments of strangers. He wants to live (and live in) them. As the filmic set becomes a fantasy of home, every house becomes a possible set. The camera tilts up to look at a Roman attic as if caressing the space with palpable desire. As Moretti wonders what it would be like to occupy that space, the authorial dream meets spectatorial practice. Such is the pleasure of haptic wandering experienced by the film spectator: one imagines oneself residing in a space, in someone else's place, and tangibly maps oneself within it. The perfect architectural dream is a filmic dream. Pictures become an environment. Architecture becomes a film.\n\n### HOMESCAPE\n\n> _My world is the imaginary, and that is a journey between forwards and backwards, between to and fro. Like Wim [Wenders], I'm a great traveler_.\n> \n> Jean-Luc Godard, in _Chambre 666_\n\nAs it moves between outside and inside, film pictures the architecture of the interior, writing the history of private life. Many films participate in this writing, but some do it intensely and primarily by way of architecture. Architectural views of interiors are found throughout the history of the world's cinema and particularly mark Japanese film, especially the work of Yasujiro Ozu and Kenji Mizoguchi. Our travelogue, however, will concentrate on architectural views that have made Western private life publicly available, beginning with one particularly salient example.\n\nJean-Luc Godard's _Le M\u00e9pris_ ( _Contempt_ , 1963) tours in and out of the home(land), moving from bodyscape to homescape. At the beginning of the film, the camera frames Camille (Brigitte Bardot) and Paul (Michel Piccoli)\u2014a man who wears his hat in the bathtub\u2014as they lie in bed in their Roman apartment. Bardot, reclining naked on her back in the foreground, creates a dictionary of her body in the mode of amorous discourse, enumerating each of its parts, one by one, with her lover. Traveling the map of her body, Camille asks Paul to \"locate\" his love for her. Does he love her feet, ankle, knees, thighs, backside, hair, breasts? And can he now caress her, touch her shoulders? The camera extends this caress to her, moving as if it were his hands across her back and then up to her face, to her mouth, eyes, and ears. Yes, he loves her, he tells her, \"totally, tenderly, tragically.\"\n\nIn this intimate love scene\u2014one of the most intimate in film history\u2014Camille's list creates an embodied taxonomy for a \"tender\" archive. This is an anatomy lesson of a particular kind: reclining as her own \"Waxen Venus,\" she does not anatomize in order to dissect. That is, her construction of body parts does not imply a parsing. She surveys the landscape of her body in a single take that contains both the singularity and the multiplicity of a mapping. Indeed, this take is a chart. It is a filmic _Carte de Tendre_. The vista explored by Camille is a scenography straight from Scud\u00e9ry\u2014the making of a sentimental landscape. The long take is a map of amorous transport, a filmic map of tenderness.\n\nHaving introduced us to a sentimental landscape by way of a body map, the film proceeds to explore the couple's life. Their marriage is disintegrating, a crisis rendered architecturally via the doomed purchase of a home. Paul has accepted an offer to work for a crass American film producer in order to pay the mortgage on their new Roman apartment. His assignment is to rewrite the script for a film version of _The Odyssey_ directed by Fritz Lang, who plays himself. Around the notion of home ownership, contempt begins to set in.\n\nThe text of _The Odyssey_ , which includes the course of Ulysses' travel and Penelope's in-house voyage, provides an interesting subtext for the film's amorous navigation. _Contempt_ develops in the space where domestic life resides, tracing the unfolding of the couple's daily life in an architectural narrative. The camera travels creatively on a path that proceeds through the unfinished glass door of the bathroom, from kitchen to living room, and into the bedroom. It captures the characters' deteriorating relationship by mapping it onto objects of love and design\u2014onto \"bed and sofa\"\u2014and by retelling it as an odyssey in and out of rooms, in between and around spaces. It is a landscape that resonates with the scenography and sound track of the opening scene.\n\nFramed by Lang's ironic comment that CinemaScope is good only for \"funerals and snakes,\" the widescreen format of _Contempt_ functions to enhance the \"scope\" of architecture in the environment. This includes the location of the apartment, which is situated just outside the historic center of Rome. Like Antonioni in _L'eclisse_ ( _The Eclipse_ , 1962), Godard engages modern architecture. Both films are essays on urban planning that survey the transitional life of Italian cities during the so-called economic miracle. In _Contempt_ , as in _The Eclipse_ , we watch a new city in the making, with a focus on the unfinished. Antonioni's urban meditation constantly returns to buildings in construction, lingering on their parts as if they were already incipient ruins. The opening and ending sequences of the film are passages in which architecture and film articulate each other. From the moment Monica Vitti appears in a silent exploration of a \"house divided\" to the shot of the window that opens to reveal a new city, to the ending, in which the characters exit to make room for an extradiegetic urban exploration, the film portrays the \"eclipse\" of the classic image of Rome. Squared squares, the geometry of buildings, the stripes of the new urban crossing\u2014all are Rome as it is being turned into a modern city, built on the margins of the historic center despite the picture-postcard vision that would ignore this phenomenon. The middle-class section of this plan is precisely the urban landscape of _Contempt_ , which presents the transformation of the countryside into the new residential quarters of the city.\n\n_Contempt_ dwells on the marriage of film and architecture in many ways, including a visit to Cinecitt\u00e0, the Italian film studio whose name means literally \"cine city.\" We visit a film theater where a marquee displays the title of Roberto Rossellini's _Viaggio in Italia_ ( _Voyage in Italy_ , 1953), a clear citation to a film we will investigate in depth later. Framed against a poster of _Voyage in Italy_ , the actors of _Contempt_ inform us that they are making both the actual and the sentimental voyage of Rossellini's film. Following the script of the cinematic-architectural grand tour, the film takes us on an actual \"Voyage in Italy\": the couple travels to Capri, where their marriage continues to fall apart. The last part of _Contempt_ takes place on the famed island, which is also, not coincidentally, the location of the \"mise en abyme\" remake of _The Odyssey_ that takes the shape of the difficult navigation of the couple's love affair.\n\nThe end of the story is played out in a house that is \"to die for\"; indeed, Camille is literally led to her death there. The Capri location enables Godard to exhibit an unusual lyrical touch in conveying landscape; he luxuriates in several views of the island's deep blue sea and open sky. This filmic landscape is contingent on architecture, made possible by a house named Casa Malaparte. The residence of the novelist Curzio Malaparte, it was largely designed by its inhabitant, who was responsible for articulating the amazing shape that Godard so coveted. Geography models this domestic architecture. The house is built on the entire length of a narrow promontory, on a cliff that extends out into the Mediterranean and drops some 650 feet into it. Casa Malaparte's most striking feature is a giant staircase, set in dialogue with the topography, that was made from one of the exterior walls and transforms a domestic ascent to the rooftop into a Mayan affair. Godard plays a cinematic game with this staircase, engaging in monumentalization by way of a high-angle shot and with a fluid rendition of the architectural slant. The film shows the house as a cinematic incline and engages its material resistance. In fact, at the top of the stairs, a white wall appears, which functions to block the open sea view one might expect to encounter there. The wall that materializes in front of us can be circumvented, however. Slowly degrading at the top, this wall filmically defines the set of the vista and opens a gradual view of the panorama. As we have learned from the panoramic travel genre, a panoramic view unfolds as we move around the wallscreen. It is only appropriate, then, that Fritz Lang, a filmmaker obsessed with architecture (he trained as an architect and had been a painter) would make an _Odyssey_ on this filmic rooftop. It is no wonder that Godard would film it.\n\n1.15. On the staircase of Casa Malaparte in an emotional sequence of _Contempt_ (Jean-Luc Godard, 1963). Frame enlargement.\n\n### AMOROUS CITY MAPS\n\n> _How could I know that this city was made to the measure of love? How could I know that you were made to the measure of my body?_\n> \n> She said, in _Hiroshima mon amour_\n\n_Hiroshima mon amour_ \u2014Hiroshima my love\u2014is a title that speaks of two passions, superimposed: the difficult love for a city, and a city as the site of a difficult love. With Sacha Vierny as director of photography (a regular talent on the sets of Peter Greenaway), the film was made in 1959 by Alain Resnais, a director of architectural dramas. His _L'Ann\u00e9e derni\u00e8re_ \u00e0 _Marienbad_ ( _Last Year at Marienbad_ , 1961) takes place in a hotel whose permeable impermanence is further mobilized by the setting of the story, a garden where statues, people, and trees stand in the landscape as equals. The film is an architectural exploration of a memory, perhaps held as a shared space between two people. This mental architecture is navigated via elaborate camera movements that endlessly traverse the hotel hallways, never distinguishing between the Chanel-clad characters and ornaments in architectural space. In the hands of Resnais, architecture is always linked with sensuality and the amorous is never too far from geography. Such a sensibility is written literally into _Hiroshima mon amour_ , for the text of the screenplay\u2014by Marguerite Duras, author of such autobiographical fiction as _The Lover_ and _The North China Lover_ , novels that speak of the geography of passion\u2014is particularly sensitive to the architectonics of love.\n\n\"He\" is a Japanese architect. \"She\" is a French actress, in Hiroshima to play in a film about peace. As her voice-over recounts her amorous trajectory, her visual memory superimposes two journeys, the two \"tales of love\" of a \"stranger from within\" whose interior geometry the film designs. For her, the city was made to the measure of love, made to the measure of his body. By means of this metaphor\u2014literally, a \"means of transportation\"\u2014we are indeed metaphorically plunged into the site of an amorous \"transport.\"\n\nTwo men inhabit two cities. Hiroshima, now. Nevers, then. Two places, two times, both experienced through the body of a lover. Two strangers cling to her. A Japanese architect, now. A German soldier, then. Two different figures. Yet their hands, twitching in so much the same way, make their two bodies into one. As their physiognomies blur, the distant topographies blur with them: one lover turns into the other; the city of today turns into the city of yesterday. A city of travel becomes her city of birth. One body, one city, until they are only one site.\n\n### AMOROUS GEOGRAPHIES, CULTURAL \"TRANSPORT\"\n\nThe hybrid mapping of _Hiroshima mon amour_ finds a contemporary incarnation in _L'anima divisa in due_ ( _A Soul Divided in Two_ , 1992), by one of Italy's new _auteurs_ , Silvio Soldini. _Hiroshima mon amour_ meets Rossellini's _Voyage in Italy_ in this film about the \"transport\" of cultural travel. Designed by a filmmaker whose urban sensibility recalls Antonioni's own, the film recounts the story of a Milanese security guard and a gypsy woman who have fallen in love and are trying to meet half-way on the road to acculturation and cultural transformation. Here, love is filmically envisioned as a moving matter, as Diotima of Mantinea saw it in Plato's _Symposium_ : a force that \"moves all,\" equipped with the power \"to interpret and ferry across.\"\n\nBy way of love, a process of cultural mimesis is set into motion in the film. Pushed to the limit, it touches slightly on what Roger Caillois has called \"mimicry\" in describing the disturbing affect of psychasthenia, a disorder of personality in which the body is so tempted by space that it blurs the distinction between itself and the environment and _becomes_ the space around it. In _A Soul Divided in Two_ , depersonalization occurs through assimilation to space as the mimetic process invests the porous borders between bodies and cultural spaces. The lovers penetrate, absorb, and finally incorporate each other's culture by way of their touching skins. Each turns into the other, takes the other's space, assimilates somatic features and sartorial habits, and yet the two move unequivocably apart. An explicit reflection of Italy's relatively new interculturalism, this urban journey of two intimate strangers makes _emotion_ a vehicle of cultural identification and transit. Ultimately, the \"Voyage in Italy\" of _A Soul Divided in Two_ shows that the amorous journey goes hand in hand with the cultural one, leading us to inhabit the body and the city of others in liminal fashions. Mimesis as a form of identification is clearly an effect of cultural space. Along the amorous trajectory, mimesis\u2014a prime component of film's imagistic power\u2014shows itself to be a matter of cross-cultural touch. As it edges on \"mimicry,\" it can become a spacing effect.\n\n### CHINA (IN) TOWN\n\nIn the wake of _Blade Runner_ , with its \"city speech\" and \"skin jobs,\" and in keeping with the best science-fiction tradition, many other filmic visions of the future\u2014\"Things to Come\"\u2014have been architecturally envisaged, shaped as a fusion of the spatiotemporal and the haptic. The representation of the city as a dwelling place of diasporas, a set design of the spaces between cultures, the locus of transience\u2014a place of encounters in which (to borrow the title of Marco Bellocchio's 1967 film) \"China is Near\" in a new fashion\u2014is shaping the cinema of the near future.\n\nIt is not by chance that such a vision has come significantly from Hong Kong, where the home and the airplane long felt close until the new airport tried to pull them apart. There, the city speech of the near future lives in a state of motion. The dynamics of places and of what Marc Aug\u00e9 has called \"non-places\" shapes the postcolonial city cinema of Wong Kar-Wai, who in _Chung King Express_ (1994) and _Fallen Angels_ (1995) has created portraits of a city that turn the screen into a moving canvas. His dazzling camera movements are like painterly brush strokes, transforming the screen into a post-impressionistic space where bodies in motion become \"traces\" of moving color. Wong Kar-Wai's _Happy Together_ (1997) sketches out a tender gay love story of two Hong-Kong \u00e9migr\u00e8s against the backdrop of a deromanticized Buenos Aires as it meditates on new territories of immigration and novel forms of cultural transition. On the eve of Hong Kong's return to China, this becomes the matter addressed by Hong Kong director Peter Chan as well, who in _Comrades_ , _Almost a Love Story_ (1996), starring Maggie Cheung, charts the geography of various diasporic turns onto the city streets. The film follows a pair of (almost) lovers who, on the path of acculturation, traverse a composite urban map\u2014a map that shifts from the old to the new image of cities, extending, both historically and geographically, from China to New York's Chinatown to China (in) town.\n\n### CITY WALKING IN LOS ANGELES\n\nGeographies were expanding and retracting, fractured and joined in various forms on a field screen, even before they came to inhabit and become mobilized by the filmic screen. As I set out to approach the cultural movements of the geographic, I was reminded of a statement by Siegfried Kracauer, who noted that \"the World Panorama has been superseded by a cinema.\" Seeking traces of the geographic texture of the cine city in this way, it was inevitable that my tour would pass through the fabric of Hollywood. Taking Kracauer's suggestive remark, and following a critical approach to the urban archive of the feet as a part of my city tour, I thought it suitable to go to Universal Studios in Los Angeles to take the studio tour of the cine city, designed by Jon Jerde in 1991\u201393 and fittingly named \"CityWalk.\"\n\n1.16. Motion pictures animate the movie house in _The Man with the Movie Camera_. Frame enlargement.\n\nIn light of the fictional geography that has been created in the filmed history of city streets, it is not surprising that Universal opened such a CityWalk. A favorite part of the studio tour, this place would appear to enable one to city-walk through the filmic city itself. However, much as I appreciated the irony of taking a city walk in the car-driven culture of Los Angeles, I was disappointed. This is a replica and not a replicant. A replicant, as _Blade Runner_ has it, is a mechanical double that contains in its mechanism the workings of mnemonics and of the imagination, as well as a drive to historicity. Unlike that replicant that is the cinema\u2014or the cine city that lives in the movie house\u2014the Universal \"CityWalk\" retains no trace of the lived, fictional space of the cinema. It has no sense of the real as reel fiction.\n\n1.17. The emotion of motion in the city traversed by _The Man with the Movie Camero_. Frame enlargements.\n\n### STREETS TURNED INTO A PICTURE PALACE\n\n> _One's body takes root in the asphalt_.\n> \n> Siegfried Kracauer\n> \n> _Botanizing on the asphalt_.\n> \n> Walter Benjamin\n\nThe cine city is a multi-faceted, haptic phenomenon, with aspects that involve not only the history of cinema but also its theorization. To continue our travelogue, then, let us turn to the way movies are \"housed\" in critical discourse and introduce in this way a topic that will become the subject of the next chapter. The bond between film and the body of urban culture that we have seen emerging in some corners of film history is also a proper focus of film criticism. An interest in the movement of architecture is exemplarily displayed, for example, in the writings of Siegfried Kracauer, which paved the way for, or intersected with, the reflections of his friend Walter Benjamin. Kracauer had a career as a trained architect and, as a critic, was always attracted to the urban pavement. His early interest in the texture of passageways was made manifest in his reflections on the \"Hotel Lobby\" and the \"City Map,\" which for him were places of \"Travel and Dance,\" altogether conceived as \"decors\" of the _Mass Ornament_.\n\nInterested in Italian neorealism, Kracauer drew on the material historicity it explored on screen for his later film theory, which was tuned to the establishment of physical existence. He pointed out the impact of location in this filmic style, which both emerged from and represented the bond between history and the street. As Kracauer put it, \"when history is made in the streets, the streets tend to move onto the screen.\" As Miriam Hansen shows, Kracauer furthermore thought of film as something \"with skin and hair.\" He called attention to German street films by conveying a physical attraction for the street, dwelling on urban textures\u2014the pavement, the touch of feet walking over stones. For Kracauer, the affinity between cinema and the pavement pertains to the transient, for the street, like the cinema, is the site where transient impressions occur. It was indeed a clever coincidence, as he noted elsewhere, that the entrance to a Berlin _passage_ , a place of urban transit, was flanked by two travel offices. The Anatomical Museum\u2014a place of transport\u2014towered inside this arcade amidst the world panorama. Here, cities looked like faces.\n\nKracauer's interest in the space of the cinema included the architecture of movie theaters. In a 1926 article on Berlin's picture palaces of the 1920s, he showed that \"the life of the street\" transforms itself \"into the street of life,\" giving rise to the cosmopolitan cinema audience. The movie theater housed the city, which was itself a movie house, a theater of modernity's journeys.\n\n1.18. The Ufa Cinema, located in the Turmstrasse, Berlin, 1924. Fritz Wilms, architect.\n\n1.19. Lobby of the Titania Palace Cinema, Berlin.\n\n1.20. Lobby of the Savoy Theatre, London.\n\n### HOUSING: AN ARCHITECTURE FOR FILM THEATERS\n\nAs Kracauer's work demonstrates, turning to the architecture of movie theaters is a crucial way to pursue film spectatorship as an architectural practice. It is an exploration of the intersection of wall and screen that we will conduct across the course of the book. Film is always housed. It needs more than an apparatus in order to exist as cinema. It needs a space, a public site\u2014a movie \"house.\" It is by way of architecture that film turns into cinema. Located in the public architecture of the movie theater, the motion picture is a social, architectural event. The film experience involves a spatial binding just as an architectural experience can also embody the fiction of a cinematic path. As the street turns into a movie house, the movie house turns into the street.\n\nAs architectural spaces, film theaters offer a variety of possible cinematic experiences and diverse means of mapping spectatorship. One can never see the same film twice. The reception is changed by the space of the cinema and by the type of physical inhabitation the site yearns for, craves, projects, and fabricates, both inside and outside the theater. Thus we can be utterly different spectators when we watch the same film in different places, for different models of spectatorship are figured in the architecture of the theater itself.\n\nLet us take as examples two theaters in New York City: the Film Guild Cinema on Eighth Street, in Manhattan, and the Loew's Paradise Theater, in the Bronx, on the Grand Concourse at 188th Street. Located in the same city and built in the same era, these two theaters nonetheless occupy different locations on the spectatorial map, and not only in a physical sense. Let us take an imaginary architectural walk through New York City and sit in these movie houses as a way of inaugurating our tour of the house of moving pictures.\n\n### KIESLER'S MOVIE HOUSE OF SILENCE\n\nThe Film Guild Cinema was designed by the vanguard architect Frederick Kiesler in 1928. Located on a main street of Greenwich Village, it was placed in an area where the city's motion has never ceased to interact with film's own. Upon entering this urban theater, however, one encountered a space that was far from the stirrings of the metropolis. This was a filmic space devoted to one particular aspect of the urban experience: it was carefully designed to offer a perceptual voyage that distilled the experience of modernity.\n\n1.21. An \"optical flying machine\": interior of the Film Guild Cinema, New York City, 1928. Frederick Kiesler, architect.\n\nKiesler's Film Guild Cinema was conceived specifically with film spectatorship in mind. The design, moving away from that of the stage theater, took into account generative aspects of the film experience and strove to offer an architecture for them. The architect, who was well versed in both the visual arts and theater design, took into consideration the importance of spatiovisual and acoustical aspects of film's performance and, considering the nature of its reception, worked with the light, sound, color, size, and angle of the moving image.\n\nIn Kiesler's design, the theater's center screen could change with respect to the size of the image projected, its geometry expanding and contracting according to need: starting from a one-inch square it could be enlarged to encompass different sizes and shapes. The device that enabled this flexibility was called the \"screen-o-scope,\" which resembled the diaphragm of a camera. The theater's design also called for a multiple projection system that would extend the projection from the center screen onto the two side walls and over the ceiling. The height and width of the projected image could be manipulated to create a total film environment. The potential for multiple, continuous projection was never fully realized or utilized, however: a planned \"projectoscope\" was to have functioned like a planetarium, offering the same \"global\" journey\u2014a powerful extension of spatiovisual borders.\n\nKiesler's movie theater was an expression of modernist aesthetics. Its facade, a Mondrian-like grid, was illuminated to announce the lines of light that made up the architectonics of the interior, which converged with film's own architecture of light and habit of projection. The configuration of the movie house \"projected\" a specific film experience to its spectatorial body: through its architecture it designed a trajectory that reached toward absolute perception and conceptual cinematics.\n\nThe architecture of Kiesler's theater, built during the golden age of the movie palace, was radically different from the ornate, phantasmagoric, and sometimes monumental architecture of film theaters in vogue at the time. Here, the spectator was not transported into the dreamlands or journeys of the \"atmospheric\" palaces, which evoked specific lands and sites through their architecture. The journey was of a different kind, and the spectator a different traveler. Being in Kiesler's theater was like being inside a camera. The shape of the screen resembled that of a lens, and it manifested itself as a mechanical eye. The ceiling was slanted and the floor inclined, making the room, the locale of the movie house, similar to the interior of a camera obscura. Spectators were taken into this \"room\" and projected toward a lens. As their eyes met the mechanical eye of the screen, they were transported into the film and enveloped within the spatiality of the cinema. They resided inside what Kiesler himself thought of as an optical flying machine, moving at the speed of light waves.\n\nThe practice of film spectatorship that emerged from the architecture of this space, and from its metonymies, orchestrated a total artistic experience\u2014one that even included an art gallery. This aestheticized notion of film space offered a place for film within the range of the spatiovisual arts. Kiesler's space was a full-scale visual ensemble that constructed a notion of cinema as surface. In his own words: _The film is a play on surface, the theatre is a play in space, and this difference has not been realized concretely in any architecture, either that of the theatre or the cinema_. _The ideal cinema is the house of silence_.\n\n_While in the theatre, each spectator must lose his individuality in order to be fused into complete unity with the actors..._. _This is the most important quality of the auditorium; its power to suggest concentrated attention and at the same time to destroy the sensation of confinement that may occur easily when the spectator concentrates on the screen. The spectator must be able to lose himself in an imaginary_ , _endless space_.\n\nFilm does not exist by itself, without an architectural environment. For Kiesler, this environment was an optical fabric and a perceptual fabrication. The architecture of film was to be conceived as a minimal space with a \"play on surface.\" It must make itself almost invisible to allow for visibility. Architecture had to dematerialize to let the act of viewing exist, without distractions and, above all, without other sensory experiences. It must even forget itself so that the geometry of the screen might disappear in favor of a boundless experience of absorption in the surface, which is infinite space. According to Kiesler, no proscenium should separate the spectator from this field screen. No decorative elements or ornaments were allowed, for they might tear the viewer away, sending him or her in different directions. No curtains were to mark entries and exits, for there should be none. The pitch-black darkness must be as enveloping as this total experience. This was not a place of urban hustle and bustle, not the site of communal activity or loud public living. This surface-cinema was a place of private, concentrated attention and yet loss\u2014a place where attention turns inward and individual boundaries give way to waves of perceptual unity.\n\nKiesler's theater set a model for an avant-garde cinema. In a way, it was reincarnated in the Austrian filmmaker Peter Kubelka's design for the \"Invisible Cinema\" at the former Anthology Film Archive building, a modernist sanctuary and museographic project for avant-garde cinema in New York City. There, to ensure total perceptual fusion, the spectatorial seats even possessed a special architectural feature, a divider, which encapsuled the spectator in his or her view. Here, one was basically alone in the act of filmic viewing, insulated aurally as well as haptically. Communication with one's neighbor was discouraged, for it was difficult to achieve through the partition. In theory, talking and touching were not possible during the show. As with Kiesler's theater, in this view of cinema, architecture must nearly shut up\u2014and shut itself down. The movie house is the house of silence.\n\n### ATMOSPHERICS: THE GARDEN IN THE PALACE OF CINEMA\n\nIn contrast with Kiesler's essential architecture of silence and its inward-directed voyage, there existed at the same time a design for the movie palace that offered a different spectatorial model: an extension of the urban spectacle of transit. The era of the movie palace opened a new age of filmic travel. The movement of urban crowds and their transit in and out of theaters was translated into space, architecturally shaped by extravagant decoration and with curtains that were, significantly, called \"travelers.\" (Im)mobile spectatorial voyages would take place within articulate designs of perambulation that plucked spectators off the sidewalk and into sumptuous lobbies and spacious auditoriums.\n\nThis circulation was particularly evident in New York City, even in the development of its theaters: nearly all of the movie palaces there had been \"built on the ruins of business engaged, in one way or another, in transportation.\" From one industry of movement to the next, the landscape of the city moved on. The movie palace, once the site of an urban transformation, continues to be a part of the metropolitan recycling. When I surveyed the present state of New York's movie palaces, I encountered a veritable map of metamorphosis. If I did not find the theaters in ruins, cut up into multiplexes, or transformed from a cinematic temple into the sanctuary of a church, I found myself in such establishments as a supermarket, a restaurant, or even a university cafeteria. Some food for thought: a form of imaginary architecture that feeds the metropolis, the movie palace lives, metabolically, on the ashes of urban gastronomy.\n\nTransformation was inscribed into the genealogy of the atmospheric theater, for this space was supposed to absorb us and transport us to different places. In general, architecture was the primary experience in the movie palace. It was a place of excess and excessive space to be enjoyed while strolling, as a reviewer put it in 1929, \"through lobbies and foyers that opened into one another like chambers in a maze.\" The movie palaces both fashioned and featured an articulate social geography, including such essential places as \"cosmetic rooms,\" \"smoking galleries,\" and \"crying rooms.\"\n\nGiven its place in this architectonics, the movie was not the main affair of the movie palace. Design was. In dialogue with social architecture, design augmented the traveling work of the film text, which was not at all overpowering. The film was not centralized or even positioned in a crucial place of visibility. As William Paul shows, the screens of the movie palaces were extremely small in relation to the overall space, had illumination problems, and were often further marginalized by being inscribed into the ornament of a stage set. This type of film theater could never be the sort of unified perceptual space in which one concentrated on a focused vision or became engrossed in the visuality of the screen. Coupled with the fact that the house lights were up, even during the show, one can imagine that the spectatorial experience was rather an _error_ of vision\u2014a spatial wandering.\n\nDesign was even more important to the version of the movie palace known as the atmospheric theater. These were palaces in which tourism took architectural form, as in the Loew's Paradise in the Bronx, built by John Eberson in 1929. Eberson, the master architect of atmospheric theaters, had studied in fin-de-si\u00e8cle Dresden and Vienna before moving to the United States in 1901. Given his cultural background, it is quite possible that he was familiar with the concept of _stimmung_ , which encompassed atmosphere, sentiment, state of mind, mood, and tonality, and which had its roots in nineteenth-century discourse. Emerging from the texture of landscape painting, _stimmung_ entered the language of modern architecture and eventually informed Weimar film culture. In the 1920s, the emigre Eberson, in his own way, transformed the notion into an architectural design that invaded the texture of the movie theater itself: the \"atmosphere\" of the atmospheric theater.\n\nEberson's wife, Beatrice Lamb, was an essential collaborator of the architect; in the 1920s, she directed the firm Michael Angelo Studios, which designed the theater interiors. During this time, Eberson built cheap but elaborate fantasies of atmospheres with plaster and straw, remaking European architecture in the form of movie palaces. At one level, as the architect Robert Stern points out, \"an atmospheric theatre gave the impression that the audience was seated in a great open-air amphitheatre.\" Like the ancient Greek amphitheater, here architectural scenography converged with natural topography in a liminal exchange between exterior and interior.\n\nGarden and landscape design featured large in the auditorium, often turning the theater into a Mediterranean courtyard. The Loew's Paradise, Eberson's masterpiece, was one such urban garden. True to its name, it contained the erotics of garden spectacle in its edenic architectonics. This movie palace was archaeological find, architectural marvel, and landscape garden in one, complete with weather reports. As in an Italian interior garden or a courtyard, in this 4,000-seat theater one could see the sky, framed by the architectural walls. The ceiling displayed clouds that drifted across the dark blue surface of a celestial map, with lighting that changed over the course of time from blue to pink to orange and then into the twinkling of stars. The constellations were drawn with such cartographic accuracy they offered a veritable astronomy lesson.\n\n1.22. Urban garden as interior landscape: Loew's Paradise Theatre, Bronx, New York, 1929, an atmospheric movie palace. John Eberson, architect.\n\nEntering what is now a ruined movie house, one senses that this theater was never too far from a variation on the picturesque dream. A garden of the interior, a place of atmospheric imagination based on diversity and irregularity, with shifting architectural views, this was history in ruins. The Loew's Paradise was a lively relic of Italian architectural history and garden design. An architectural travelogue was provided for the wandering film spectator in a novel, picturesque reinvention of historic remnants.\n\nThis Bronx movie palace, built in a neighborhood of Italian immigrants, provided a fantasy vision of Italy. In this sense, it resonated with the type of \"sets\" that refashioned Italian localities in the pavilions of international exhibition halls. The Grand Lobby, for instance, reproduced the nave of the church of Santa Maria della Vittoria, where Bernini's _Saint Theresa in Ecstasy_ (1645\u201352) rules in ecstatic rapture. A working fountain set the atmosphere of the inner garden. Once inside the auditorium, elaborately designed in a hybrid and ornate Italianized architectural style\u2014with niches, foyers, columns, carvings, urns, statues, and paintings, all draped with vines and flowery garlands and further accoutered with garden patios, pergolas, and terraces featuring _putti_ overlooking cypresses and shrubs and stuffed birds that would actually fly\u2014the spectator was \"transported\" into a _reel_ imaginary courtyard. For total atmospherics, the curtain that draped the film screen reproduced a garden scene. On the side wall of the auditorium, one could even encounter a Michelangelo\u2014a cast copy of his statue of Lorenzo de' Medici from 1526. Placed in a niche, sitting as Lorenzo does in his memorial tomb in Florence, in the New Sacristy of San Lorenzo, this funerary statue somberly watched the show. An heir of the architectural memory theater, the movie palace was the atmospheric remake of a \"set\" of architectural imaging, topophilically re-collected for public housing and exploration.\n\n### PICTURING THE GEOGRAPHY OF THE MOVIE HOUSE\n\nPicturing the architecture of the movie house, we can learn a great deal about filmic space. The images of movie theaters made by the contemporary photographer Hiroshi Sugimoto provide a condensed historic view of this filmic architectonics. His photographs will lead us to an exploration of the house of pictures, introducing a genealogic blueprint for the movie theater as the house of the cine city.\n\nSugimoto, a Japanese-born photographer who lives in New York City and Tokyo, makes series of photographs of seemingly unrelated places, including film theaters. Once asked in an interview to explain the content of these different large series\u2014 _Dioramas, Seascapes, Theatres_ , and _Wax Museums_ \u2014he replied: \"many people see no connection between the different fields. To me, it is very obviously one thing.\" Speculating on what this thing might actually be, let me offer a filmic suggestion, for the syntagmatics of Sugimoto's disparate topoi does picture one thing: considered serially, the work offers an articulate drawing of film space, a map of its very origins.\n\n1.23. Picturing the movie house: Hiroshi Sugimoto, _Kino Panorama, Paris_ , 1998. Black-and-white photograph.\n\nWhat, indeed, is the relation between movie theaters, dioramas, wax museums, and seascapes? Read from the viewpoint of the cinema, these apparently different fields make sense as one itinerary. They are specific sites on a proleptic trajectory that leads up to the invention of the cinema. As we now see it, film evolves from a particular mobile architectonics: the panoramic and embodied visual space of modernity. It is heir to the culture of travel and the architectures of transit, to the worlds of dioramas and panoramas, and also to the physiognomic scene, including, among other phenomena, the wax museum. In their sequencing of dioramas, wax museums, seascapes, and movie theaters, then, the pictures map the very genealogy of the cinematic space, conceived as a means of exploration. The photographer's work pictures the hybrid, spatial archaeology of the cinema.\n\nA panoramic tour of life anatomy, film takes us to an elsewhere \"now here.\" Sugimoto represents this voyage of film images even in the form of his photographic series. The photographer explores his subjects serially, looking into the images analytically and connecting them panoramically. Once related to one another in their endless variations, and to all the other series, the pictures articulate, almost literally, a film series. The dioramic seriality takes shape as a unique cinematic project.\n\nSugimoto's seascapes, moreover, are framed in such a way that they even resemble the film screen. They are liminal horizons. Conceived as a rectangular architectonics and devoid of anything but their light space, his seascapes and film screens share an absorbing geometry. Positioned next to each other at an exhibition, constructed as a spectatorial itinerary, the series unfolds as a project(ion). The voyage of seascapes and movie theaters is thus revealed as one: in the movie theater, in. a way, we travel by sea, navigating film space.\n\nSugimoto's photographs of movie houses figure the _geography_ of filmic architecture. In the photographer's view, movie palaces from the 1920s and 1930s, along with drive-in theaters, are \"light\" architectures. The pictures \"expose\" the zero degree of cinema: the transient moment of its emergence and passing. In his movie theaters series, only the white film screen is made visible. Film, that is, is rendered as a geography of light. Sugimoto achieves this by keeping his exposure time to the exact length of a feature film. The filmic text, which is not shown and not a show, is nonetheless palpable here, captured in a residual form. It is its trace that shapes the architecture of the cinema. The white film screen becomes a geography of duration. \"Reel\" time constructs film's real visual space\u2014a spatialized sense of time. One is reminded of Andr\u00e9 Bazin's statement on neorealism: \"No more actors, no more stories, no more sets, which is to say that in the perfect aesthetic illusion of reality there is no more cinema.\" Or all the cinema there is. A movie theater.\n\nWhat emerges from this nothingness is the movie house itself. In a way, Sugimoto's subset of _Interior Theatres_ manages to condense the experience of the atmospheric palace with that of the Kiesler screen. Emerging from the architectural atmosphere, a blaze of light is projected out from the white film screen, casting, in turn, an eye on the surrounding \"interior\" space of the theater. When he pictures film, Sugimoto pictures an architecture, making tangible the geography of cinema in the architectonics of its reception. Here, we inhabit pure film theater space, which becomes the essential experience of cinema\u2014the laboratory of movie-going. This is an emotional topography that takes place within the architectural transport of the movie \"house.\" Cinema is indeed a house: home of voyages, architecture of the interior, it is a map of cultural travel.\n\nThe _Theatres_ series, as well as the _Dioramas, Wax Museums_ , and _Seascapes_ , transmits a moving sense of spatial relations. Linked on the map of modernity, exposed as the very generative matrix of film, these series are connected by the remains of its morbid geography. Representing cinema at the moment of generative extinction, Sugimoto casts it as a melancholic space and links it to the other heterotopias of transparent death. On the map of modernity's time zone, the sea of film images meets the wax museum and the view of natural history.\n\nSugimoto's movie houses expose the geological time of history as well. Shooting with times of _longue dur\u00e9e_ , this photographer renders the fabric of our physiological \"wear.\" His articulated geography is a transient, floating world of ruination, a meditation on modernity's ruins\u2014a place defined by \"accelerated decrepitude,\" as _Blade Runner_ would have it. Indeed, Sugimoto's morbid physicality of duration challenges modernity's speed. As Norman Bryson claims, the modern was not simply about speed but \"about being spread between different temporalities... and zones.\" In Sugimoto's world, this sense of the modern resonates with Buddhism, \"a kind of speeded-up movie of the universe, with each and every thing (a building, a person, an animal) falling apart the moment it emerges.\" Sugimoto's design for modern space is contingent on film. It incorporates the very speed of cinema in its rendering of ruination and makes it the actual \"exposure\" for the residual landscape.\n\nWorking in this way, this photographer does not simply make an image but constructs a scenography. He builds it as an architect would, and maps it like an artist-cartographer. He watches the space, listening for any variations the light may project on the site, and then \"draws\" his pictures. Ultimately, as he admits, the photographer \"drafts\" as a geographer or an astronomer does:\n\n_I work almost like an astronomer. I calculate the passage of the moon according to its phases, the seasons, and the time of night. I also have to figure the direction of the moon in relation to the position of the camera in the world. In the Northern Hemisphere, for example, the further north you go, the more horizontal the moon's trajectory, while the equator shoots straight up. These calculations are all in advance of the making; the photographs themselves function like paintings._\n\nPicturing space, Sugimoto sketches the draft of a hybrid cartography, connecting geography-architecture-cinema-art in a haptic mapping. Keeping this design in mind, and proceeding from the vantage point of Sugimoto's picturing of the architecture of movie theaters, let us take a plunge into the sea of moving pictures.\n\n2.1. \"Her\" vision in _Hiroshima mon amour_ (Alain Resnais, 1959). Frame enlargements.\n\n## **2 A Geography of the Moving Image**\n\n> _By means of the... film... it would be possible to infuse certain subjects, such as geography, which is at present wound off organ-like in the forms of dead descriptions, with the pulsating life of a metropolis_.\n> \n> Albert Einstein\n\nThe evolution of the architectural screen, fleshed out in the architecture of the movie house itself, has been produced in dialogue with a cultural field that includes the \"laboratory\" of film theory and criticism. As we address the space of film genealogy and history, our site-seeing tour thus stops off at times to revisit \"classical\" film theory. A number of proposals from this period will be taken up in the course of fashioning filmic observation as a practice of emotion pictures. I begin by proposing a geographic notion of the haptic, working from an architectural \"premise\" that will develop later along a geopsychic path. Here, the haptic is advanced in the material realm of architecture, in a continuation of the investigation of the urban pavement traced by Siegfried Kracauer, cut and mapped by Walter Benjamin, and charted by the architectural itineraries of the movie house.\n\nIn seeking a theory that explains the practice of traversing space, we might first revisit \"Montage and Architecture,\" an essay written by Sergei Eisenstein in the late 1930s. I take this work as pivotal in an attempt to trace the theoretical interplay of film, architecture, and travel practices, for as we site-see with Eisenstein's essay as our guidebook, taking detours along the way, their haptic maps begin to take shape. In this pioneering meditation on film's architectonics, Eisenstein envisioned a fundamental link between the architectural ensemble and film, and he set out to design a moving spectator for both. His method for accomplishing this was to take the reader, quite literally, for a walk. Built as a path, his essay guides us on an architectural tour. _Path_ , in fact, is the very word Eisenstein uses to open his exploration. Underscored in his text, it becomes almost an indexical mark, a street sign. An arrow points to the itinerary we are to take:\n\n_The word_ path _is not used by chance. Nowadays it is the imaginary path followed by the eye and the varying perceptions of an object that depend on how it appears to the eye. Nowadays it may also be the path followed by the mind across a multiplicity of phenomena, far apart in time and space, gathered in a certain sequence into a single meaningful concept; and these diverse impressions pass in front of an immobile spectator_.\n\n_In the past, however, the opposite was the case: the spectator moved between [a series of] carefully disposed phenomena that he observed sequentially with his visual sense._\n\nSpeaking of film's immobile spectator, Eisenstein reveals the perceptual interplay that exists between immobility and mobility. There is a mobile dynamics involved in the act of viewing films, even if the spectator is seemingly static. The (im)mobile spectator moves across an imaginary path, traversing multiple sites and times. Her fictional navigation connects distant moments and far-apart places. Film inherits the possibility of such a spectatorial voyage from the architectural field, for the person who wanders through a building or a site also absorbs and connects visual spaces. In this sense, the consumer of architectural (viewing) space is the prototype of the film spectator. Thus, as Eisenstein claimed elsewhere, the filmic path is the modern version of an architectural itinerary:\n\n_An architectural ensemble... is a montage from the point of view of a moving spectator.... Cinematographic montage is, too, a means to 'link' in one point\u2014the screen\u2014various elements (fragments) of a phenomenon filmed in diverse dimensions_ , _from diverse points of view and sides._\n\nTo follow Eisenstein's path is to revisit a dynamic and embodied territory. Here, the changing position of a body in space creates both architectural and cinematic grounds. This relation between film and the architectural ensemble involves an embodiment, for it is based on the inscription of an observer in the field. Such an observer is not a static contemplator, a fixed gaze, a disembodied eye\/I. She is a physical entity, a moving spectator, a body making journeys in space.\n\nThe alliance of film and architecture along the perceptual path can thus be said to involve a peripatetics. Eisenstein's text illuminates this point by enacting a walk around the Acropolis of Athens, which he calls \"the perfect example of one of the most ancient films.\" This walk\u2014a physical displacement\u2014is a theoretical move whose itinerary binds the city voyage to film. In conceiving the Acropolis as a site to be viewed and appreciated in motion, Eisenstein was following the lead of Auguste Choisy, the architectural historian interested in peripatetic vision. For both, the Acropolis envisioned a mobile spectator. As we walk among its buildings, it is our legs that construct meaning. They create, in Eisenstein's words, \"a montage sequence for an architectural ensemble... subtly composed, shot by shot.\" In this view, film is architectural and architecture is filmic. This is a genealogical hypothesis, of course, for film had not yet been invented at the time of the construction of the Acropolis. The cinematic itinerary, analogous to the montage of the architectural ensemble, was a trace left by the future. The layout of an ancient site foreshadowed the work of the cinema, constructing a filmic path.\n\n### TOURING THE CINE CITY\n\nThe figure of the promenade is the main link between the architectural ensemble and film. As we have seen, this connection is created by way of peripatetics, located in the path of reception, and developed along the observer's route. The architectural ensemble and the cine city further share the framing of space and the succession of sites organized as shots from different viewpoints. Additionally, the elements of both are adjoined and disjoined by way of editing. Like film, architecture\u2014apparently static\u2014is shaped by the montage of spectatorial movements.\n\n2.2. Bernard Tschumi Architects, plan for \"Cinematic Promenade,\" Parc de La Villette, Paris, 1982\u201397. Detail.\n\nThe architect Bernard Tschumi's theoretical project _The Manhattan Transcripts_ (1981) offers a contemporary example of Eisenstein's way of thinking about motion in architecture. Proposing to outline the movements of the various individuals traversing an architectural set, Tschumi declares that \"the effect is not unlike an Eisenstein film script.\" He suggests that the reading of a dynamic architectural space \"does not depend merely on a single frame (such as a facade), but on a succession of frames or spaces,\" and thus draws explicit analogies with film. Tschumi cites Eisenstein again in his work for the Parc de La Villette (1982\u201397), where the architectural path he designed was called a \"cinematic promenade.\" Here, the itinerary that links the _folies_ of the Parisian park is conceived as a film. The architectural-cinematic juncture is deployed on the grounds of motion along a sinuous route connecting the urban gardens of a metropolitan drifter.\n\nWalking on these grounds and into the cinematic terrain of Tschumi's later architectural projects, such as Le Fresnoy National Studio for the Contemporary Arts (1991\u201398), one begins to understand the interaction between the two spatial arts, both of which function as dynamic terrains. A dynamic conception of architecture, which overcomes the traditional notion of building as a still, tectonic construct, allows us to think of space as practice. This involves incorporating the inhabitant of the space (or its intruder) into architecture, not simply marking and reproducing but reinventing, as film does, his or her various trajectories through space\u2014that is, charting the narrative these navigations create. Architectural frames, like filmic frames, are transformed by an open relation of movement to events. Rather than being vectors or directional arrows, these movements are mobilized territories, mappings of practiced places. They are, in Michel de Certeau's words, spatial practices\u2014veritable plots. This is how architectural experiences\u2014which involve the dynamics of space, movement, and narrative\u2014relate to and, in fact, embody the effect of the cinema and its promenades.\n\n### FILMIC AND ARCHITECTURAL PROMENADES\n\n\"Set\" into a spatial practice, we continue our stroll through the architectural-filmic ensemble. During the course of this walk, a montage of images unfolds before us as moving spectators. What do we see, according to Eisenstein? \"A series of panoramas,\" he tells us, speaking of the Acropolis and citing Choisy, whose \"view\" of the architectural field was potentially cinematic. It is interesting to note that Choisy's history of architecture, permeated by a peripatetic, filmic vision, had been published at the same time that cinema took its first steps. Architecture and film were moving through the same cultural terrain.\n\nBy way of its inscribed journey, the Acropolis has become an exemplar of the filmic-architectural connection. Before the eyes of a mobile viewer, diverse vistas and \"picturesque shots\" are imaged. A spectacle of asymmetrical views is kinetically produced. The Acropolis, in fact, turns the inhabitant of space into a consumer of views. A city space may also produce such a spectacle, often at the junction of architectural sequence and topography. In this way, an architectural ensemble provides spectacular occasions, constantly unfolding, and makes the visitor, quite literally, a film \"viewer.\"\n\nFrom this perspective, one also observes that an act of _fictional_ traversal connects film and architecture. An architectural ensemble is \"read\" as it is traversed. This is also the case for the cinematic spectacle, for film\u2014the screen of light\u2014is read as it is traversed and is readable inasmuch as it is traversable. As we go through it, it goes through us. The \"visitor\" is the subject of this practice: a passage through light spaces.\n\nThis passage through light spaces is an important issue for both cinema and architecture. As Le Corbusier put it, building his notion of the architectural promenade: \"The architectural spectacle offers itself consecutively to view; you follow an itinerary and the views develop with great variety; you play with the flood of light.\" As the architectural historian Anthony Vidler shows, Eisenstein had followed Le Corbusier's own appropriation of Choisy's \"picturesque\" view of the Acropolis to illustrate his conception of a filmic-architectural promenade. Eisenstein and Le Corbusier admired each other's work and shared common ground in many ways, as the architect once acknowledged in an interview. Claiming that \"architecture and film are the only two arts of our time,\" he went on to state that \"in my own work I seem to think as Eisenstein does in his films.\"\n\nIn her illuminating study of architecture as mass media, Beatriz Colomina demonstrates that Le Corbusier's views were, indeed, themselves cinematic. Further developing the idea of the _promenade architecturale_ , Le Corbusier stated that architecture \"is appreciated _while on the move_ , with one's feet... ; while walking, moving from one place to another.... A true architectural promenade [offers] constantly changing views, unexpected, at times surprising.\" Here, again, architecture joins film in a practice that engages seeing in relation to movement. As \"site-seeing,\" the moving image creates its own architectural promenade, which is inscribed into and interacts with architecture's narrative peripatetics and \"streetwalking.\" In this way, the route of a modern picturesque is constructed.\n\nThinking of modern views like the ones Le Corbusier helped to shape in relation to promenades, one travels the contact zone between the architectural ensemble and film\u2014a form of tourism. When an architectural site is scenically assembled and mobilized, as cities often are, the effect of site-seeing is produced. Such traveloguing is also produced by the cinema. Film creates space for viewing, perusing, and wandering about. Acting like a voyager, the itinerant spectator of the architectural-filmic ensemble reads moving views as practices of imaging.\n\n### THE ARCHITECTONICS OF SCENIC SPACE\n\nIn its capacity to produce views, cinema carries on and further mobilizes the drive of the spatiovisual arts to picture space. Exploring this issue in an essay on Piranesi and the fluidity of forms, Eisentein returned to the relationship between film and architecture, stating that \"at the basis of the composition of an architectural ensemble is the same 'dance' which is at the basis of film montage.\" This essay begins, poignantly, with another spatial wandering. The author looks out from the windows of his apartment, located near the film studios, and gazes out onto the city of Moscow, surveying its changing metropolitan contours and remarking on the expansion of the city space. He then looks at the walls between the windows inside, where a Piranesi etching hangs, and proceeds to read the architectonics of this image as a predecessor to the \"ecstatic\" shattering of space to which his own fictional film constructions aspired.\n\n2.3. Windows as frames in Toba Khedoori's _Untitled (Windows)_ , 1994\u201395. Oil and wax on paper. Detail.\n\nAs a practice of narrative space, film inherits art's historical concern with visual dynamics, especially in the realms of set design, stage setting, and the picturing of townscapes. As the art historian Anne Hollander aptly points out, film follows the legacy of pictured scenic architecture and landscape painting, whose \"moving\" images, in turn, prefigured what the motion picture now actually expresses. Such attention to cinematic pictorialism, emerging now in film studies as an important methodological step in advancing the state of current film research, is beginning to address the vast, underdeveloped potential for the interdisciplinary study of art and film.\n\nConcerned with fostering this intersection, I take Eisenstein's position as the starting point of a critical path that proposes a shift in viewpoint as it travels from inside out and outside in: between the window, the painterly frame, and the screen of the city. For with respect to the architectonics of scenic space, cinema's pictorialism can be approached in different ways. One might, for example, see scenic space via the apparatus of representation, observing that, from baroque canvases all the way to Andy Warhol's Factory, painting has made use of what film scholars call a mode of production: a master\/director may work collaboratively with others, with assistants and a crew, to stage scenes with models\/actors who pose for a narrative mise-en-sc\u00e8ne that is dependent on lighting and, on occasion (historically speaking), on the use of optical devices to help frame the view. Such an observation might be used to read the current drive that merges art and film on the screen and in the installation space, creating a hyphen between the visual arts and cinema in hybrid forms of scenic space.\n\nThinking in a more architectonic way, I suggest that we move away from a concern with the object of the picture to consider the larger scope of the representational affect enacted at the interface of art and film. This is a central trust of this _Atlas_ , developed especially in relation to the cultural history of exhibition space, which concerns the development of the representational field screen. I have chosen to follow the Eisensteinian route since, along this path, critical concern can move away from a focus on the pictorial object and toward \"ways\" of seeing sites and of considering the visual arts as agents in the making and mobilization of space. This particular site-seeing tour leads toward a bodily construction of intersecting, traveled sites.\n\nA genealogic exploration of the experience of travel space offered by the cinema reveals that the cinematic way of mobilizing space has predecessors in the spatiovisual arts. We may recall from the previous chapter that the closest thing to film's mobile scenic space was the \"panoramic vision\" of the nineteenth century, whose spectatorial views bore the trace of the panorama painting as well as the railway and _fl\u00e3nerie_ \u2014urban promenades through the various \"light\" architectures of modernity. As an inscription of spatial desire, cinema also descends from view painting and from the construction of pictured space in architectural and scenic terms. In particular, it owes its representational codes to the picturesque space brought to the fore by eighteenth-century topographic aesthetics and discourses of the garden. The picturesque movement in art, landscape, and architecture constructed a new type of spatiality in which spectacle was displayed through motion by inciting the observer to wander through space. As suggested here by modern rereadings of the picturesque promenade in the \"picturesque\" architectonics of the Acropolis and Piranesi's views, film reinvented the picturesque practice in modern ways. It did so by permitting the spectatorial body to take unexpected paths of exploration.\n\n### CITY VIEWS\n\nContinuing our walk\u2014a trajectory through historical trajectories\u2014to retrace the paths of architectural-filmic wandering, we return to Eisenstein and recall how he compared _vedute_ to films more than once. He was intrigued, for example, by El Greco's _View and Plan of Toledo_ (c. 1609), with its extraordinary multiple representation of the intersection of view painting and cartography. Here the painter, imaginatively inscribed in the picture, offers a map of the city as a geographic spectacle, opening it against a view of the urban panorama shown in the background and thus enabling the beholder to inhabit a multiplicity of spectatorial positions. Eisenstein noted that, as in a film, in this view we see \"a city... not only from various points outside the city, but even from various streets, alleys, and squares!\" As travel culture, the urban geography of view painting makes an interesting comparison with the cinematic viewing space. The spatial representation of view painting merged the codes of landscape painting with urban topography. In its various incarnations, it was actively produced by traveling painters and was related to the picturesque voyage. Articulating bird's-eye-view perspectives and the viewpoint of the city walker, it presented a diversity of views, from the panorama to the street-level prospect to the detail of a practiced place. In this way, it offered a city to view by presenting a site for traversal. The language of film has come to embody this practice of viewing sites, even rendering feasible the \"impossible\" aerial projections and mobile streetscapes of view painting. Cinema has further mobilized a kinetic form of _vedute_ \u2014a multiform construction of scenic space, a practice of moving sight\/site.\n\n2.4. Aerial map of the city of Vienna, in a photo-collage by Gabriele D'Annunzio, 1918.\n\n### TRAVEL SPACE\n\n\"Viewed\" through the lens of travel, the relationship between film and the architectural ensemble unfolds as a practice of mobilizing viewing space that invites inhabitation. Through the shifts in viewing positions and the traversal of diverse spatiotemporal dimensions we have outlined, the activity of the spatial consumer has come to the foreground of our picture. The spatial culture that film has developed, offering its own _vedute_ , is a mobile architectonics of traveled space.\n\nFilm's spectatorship is thus a _practice_ of space that is dwelt in, as in the built environment. The itinerary of such a practice is similarly drawn by the visitor to a city or its resident, who goes to the highest point\u2014a hill, a skyscraper, a tower\u2014to project herself onto the cityscape, and who also engages the anatomy of the streets, the city's underbelly, as she traverses different urban configurations. Such a multiplicity of perspectives, a montage of \"traveling\" shots with diverse viewpoints and rhythms, also guides the cinema and its way of site-seeing. Changes in the height, size, angle, and scale of the view, as well as the speed of the transport, are embedded in the very language of filmic shots, editing, and camera movements. Travel culture is written on the techniques of filmic observation.\n\nThe genealogical architectonics of film is the aesthetics of the touristic practice of spatial consumption. As in all forms of journey, space is filmically consumed as a vast commodity. In film, architectural space becomes framed for view and offers itself for consumption as traveled space that is available for further traveling. Attracted to vistas, the spectator turns into a visitor. The film \"viewer\" is a practitioner of viewing space\u2014a tourist.\n\n### JOURNEYS THROUGH INTERIORS\n\nOur tour, and its various detours, are aimed at unpacking the complex construction of a traveling medium by the very means of a practice of travel and a traveling theory. Following Eisenstein's \"picturesque\" path, the film theorist becomes a tourist moving across cultural space. In the space of his text, Eisenstein traveled through the Acropolis of Athens, and from there to Mexico's pilgrimage sites and Rome's Saint Peter's Church. The itinerary reminds us that modern travel is the genealogical descendant of the pilgrimage. Pilgrimage\u2014a travel story and a spatial practice\u2014induces travel to specific places, establishing \"stations\" and a narrative linkage through the various sites. This itinerary creates (and is often created by) hagiographic tales, and thus the path itself is narrativized: the pilgrim's itinerary joins up with the tourist's, making stories out of spatial trajectories and itineraries out of stories.\n\n2.5. An interior map: pelvic sonogram, 1993.\n\nThe type of travel writing and textual tourism found in \"Montage and Architecture\" is cinematic. Cuts and editing ties take Eisenstein from place to place. Once in Rome, he proceeds to walk through the interior of Saint Peter's and, here, the act of touristic montage produces an interesting twist. His move from external to internal architecture is significant, for it parallels the kind of shift from exterior to interior views that is central to the picturesque and instrumental in understanding filmic mobility.\n\nEisenstein discusses at length the eight coats of arms that adorn Saint Peter's famous canopy. The art historian Yve-Alain Bois, who has commented on Eisenstein's specific use of Choisy's axonometric vision to develop a cinematic peripatetics, remarks that, once inside, \"instead of discussing the 'maternal' space of baroque architecture, to speak like [architectural historian Vincent] Scully, [Eisenstein] preferred to turn toward iconography.\" Although this may seem disappointing, one might also recognize that the object of Eisenstein's iconographic reading is, in fact, a maternal space, the subject of an itinerant narrative. Here we have a gendered tale, a spatial rendering of sexuality, that deserves critical attention.\n\nThe eight decorations produced by Gian Lorenzo Bernini depict different facial expressions. Their reading is produced by way of walking around the space, where the drama unfolds, quite literally, step by step. Connected by the mobile spectator and associated by way of peripatetics, the apparently unrelated faces produce a story\u2014a woman's story. The change of facial expressions, once placed in the gendered realm, becomes readable: the decorations depict the contractions and final release of a woman's face, suggesting the different stages of her labor and delivery. Ultimately, this architectural tour tells the story of the inside of a woman's body. Walking inside an architectural space, we have actually walked into an \"interior.\" The sequence of views has unleashed an intimate story. The walk has created a montage of gender viewed.\n\n### GENDER IS HOUSED\n\nBy way of this promenade, the architectural tour, likened to the filmic tour, reveals a cultural anatomy. In Eisenstein's case the anatomy is female. The parallel between film and architectural language is negotiated over a woman's body, and the architectural-filmic tour ends up designing her bodyscape. That anatomy is variously embedded in film is apparent on the very surface of film language and spectatorship, which involve constructions and readings of physiognomic language by a spectatorial body. The very genealogy of film is embedded in a medico-anatomic field and exhibits various spectatorial tales of corporeality that make this the site of film's visual curiosity. This is an architectonic matter, for, as mentioned in the prologue, the film theater is \"constructed\" as an anatomical amphitheater for the display and analysis of somatic liminality. An anatomy of gender is the actual terrain of the cinema and of its desire. Is this corporeal process, at work in the cinema, the nature of the architectural bond?\n\nBy connecting corpus and space, I am obviously answering yes to this question and suggesting that film and architecture are gendered practices, linked by their writing public stories of private life. The body-in-space is the narrative territory in which architecture and film meet on public-private grounds. Thus to speak of the body only as an object of architectural-filmic iconography, as in Eisenstein, is reductive, for the issue is much broader than mere iconography. It must advance from the realm of \"sexual visions\" to that of spatiality. It is the history of cinematic space that is linked to the history of the body. The question, then, concerns the way in which gender shapes our spatial imaging as subjects. We must look for a mobile address for gender's dwelling, for gender is housed\u2014and the house moves. It is the site of _emotions_.\n\n### LIVED SPACE, TANGIBLE SITES\n\nAddressed in this way, the link between the architectural ensemble and film concerns a haptic geography. As Henri Lefebvre wrote of this spatial architectonics: _Space_ \u2014my _space_ \u2014... _is first of all_ my body... : _it is the shifting intersection between that which touches, penetrates, threatens or benefits my body on the one hand, and all the other bodies on the other._\n\nBodies in space design spatial fields, which, in turn, design corporealities. Film and architecture are practices of representation written on, and by, the body map. As dwelling-places of gender, they are loci for the production of sexuality, not simply vehicles for its representation. Insofar as they are productions of space, their imaging is to be understood as an actual map\u2014a construction lived by users.\n\nNot unlike \"sentimental cartography,\" film and architecture share a dimension of living that in Italian is called _vissuto_ , the space of one's lived experiences. In other words, they are about lived space and the narrative of place. They are both inhabited sites and spaces for inhabitation, narrativized by motion. Such types of dwelling always construct a subjectivity. Their subjectivity is the physical self occupying narrativized space, who leaves traces of her history on the wall and on the screen. Crossing between perceived, conceived, and lived space, the spatial arts thus embody the viewer.\n\n2.6. Jan Brueghel, _Allegory of Touch_ , 1618. Oil on wood. Detail.\n\nFilm\/body\/architecture: a haptic dynamics, a phantasmatic structure of lived space and lived narrative; a narrativized space that is intersubjective, for it is a complex of socio-sexual mobilities. Unraveling a sequence of views, the architectural-filmic ensemble writes concrete maps. The scope of the view\u2014the horizon of site-seeing\u2014is the mapping of tangible sites.\n\n### IN _HABIT_ ATION\n\nThis experiential dimension\u2014a sense of \"closeness\"\u2014was recognized by Walter Benjamin when he related cinema's new mode of spectatorship to the way we respond to buildings. In his view, the spectatorial practice established by architecture is based on collective use and habit: \"The distracted mass absorbs the work of art. This is most obvious with regard to buildings. Architecture has always represented the prototype of a work of art the reception of which is consummated.\" An heir to this practice, film continues the architectural _habitus_. It makes a custom of constructing sites and building sets of dwelling and motion. It has a habit of consuming space\u2014space that is both used and appropriated. Being at the same time a space of consumption and a consumption of space, it is a user's space. One lives a film as one lives the space that one inhabits: as an everyday passage, tangibly.\n\nThe inhabitation of space is achieved by tactile appropriation, and architecture and film are bound by this process. As Benjamin put it: \"Buildings are appropriated... by touch and sight.... Tactile appropriation is accomplished... by habit.... This mode of appropriation developed with reference to architecture... today [is] in the film.\" Perceived by way of habit and tactility, cinema and architecture are both matters of touch. The haptic path of these two spatial practices touches the physical realm; their kinetic affair is a carnal one. In their fictional architectonics, there is a palpable link between space and desire: space unleashes desire.\n\nThe _habitus_ is the absorption of imaging. In this domain, one both absorbs and is absorbed by moving images\u2014tales of inhabitation. The absorption of the subject\/object into the narrative of space thus involves a series of embodied transformations, for architecture and film are sites of \"consumption,\" loci of the ingestion of lived space. Providing space for living and sites for biography, they are constantly reinvented by stories of the flesh; as apparatuses _\u00e0 vivre_ , they house the erotic materiality of tactile interactions\u2014the very terrain of intersubjectivity. Their geometry is the connection between public sites and private spaces: doors that create a passage between interior and exterior, windows that open this passage for exploration. As moving views, the spatial perimeters of film and architecture always stretch by way of incorporation. Appropriated in this way, they expand through emotional lodgings and traversals. Fantasies of habit, habitat, and habitation, they map the narrativization of liminal space.\n\n### STORIES OF NAKED CITIES\n\nAs a view from the body, film is architecturally bound; sized to the body, experienced from life, architecture is haptically imaged and mobilized. Architecture is neither static structure nor simply just built. Like all tangible artifacts, it is actually constructed\u2014imaged\u2014as it is manipulated, \"handled\" by users' hands. And like a film, architecture is built as it is constantly negotiated by (e)motions, traversed by the histories both of its inhabitants and its transient dwellers. Seen in this way, architecture reveals urban ties: the product of transactions, it bears the traces of urban (e)motion and its fictional scriptings. A relation is established between places and events that forms and transforms the narrative of a city: the city itself becomes imaged as narrative as sites are transformed by the sequence of movements of its traveler-dwellers.\n\nThe fiction of a city develops along the spatial trajectory of its image-movement. Film\u2014the moving image\u2014travels the same path. The interaction is twofold, for film is architectural narration as much as \"the image of the city\" lives in the celluloid fiction. In both views, the moving image plays a crucial role in the process of constructing the architectonics of lived space. Film, a principal narrator of city space, provides the very fictional dynamics of the urban text. As with all urban forms of traversal, its image-movement continually reinvents places as sites of narrative. Cities are filmic afterimages imprinted on our own spatial unconscious.\n\n### FILMIC MAPS\n\nThe erotics unleashed by the architectonics of lived space escalates in the metropolis, a concentrated site of narrative crossings that bears even deeper ties to cinema's own spatial (e)motion. This urban culture\u2014an atlas of the flesh\u2014thrives on the transient space of intersubjectivity. As when one travels with film, in the city one's \"being\" extends beyond the subject's walls. In 1903, when the cinema was first emerging, Georg Simmel proposed that, due to the \"intensification of emotional life\" in the metropolis, \"a person does not end with limits of his physical body or with the area to which his physical activity is immediately confined but embraces, rather, the totality of meaningful effects which emanate from him temporally and spatially. In the same way the city exists only in the totality of effects which transcend their immediate sphere.\"\n\nThe city is laid out clearly as a social body. Exposed as passage, it would eventually become \"the naked city,\" joining up with cinema again, by way of situationist cartography, in the form of psychogeography\u2014a map of _d\u00e9rive_ , or \"drift.\" Molded on the model of the _Carte de Tendre_ \u2014that spatial journey of the interior that mapped emotional moments represented as sites onto the topography of the land\u2014situationist cartography was itself a psychogeography. As it graphed the movements of the subject through metropolitan space, one situationist map literally inscribed cinema into its cartographic trajectory through its reference to the American film noir _The Naked City_ (1948), and in this way\u2014that is, by way of the cinema\u2014reproduced the everyday practice of the city's user.\n\nPut forth as a map of potential itineraries and lived trajectories, the metropolis engages its dwellers and temporary inhabitants in geopsychic practices. It is the site of both inhabitation and voyage and a locus of the voyage of inhabitation. As James Clifford explained it in his mapping of \"traveling cultures\": \"the great urban centers could be understood as specific, powerful sites of travelling\/dwelling.\" Conceived as a mobile tactics at the crossroads of film and architecture, the metropolis exists as _emotional_ cartography\u2014a site of \"transport.\"\n\n### CINEMATIC ARCHITECTURES\n\nFrom modernist to situationist space to contemporary spatial discourse, architecture meets film on the grounds of the shifting metropolitan space. As Robert Mallet-Stevens declared in 1925, in a statement not far from Eisenstein's own formulation, \"film has a marked influence on modern architecture; on the other hand, modern architecture contributes its artistic share to film.... Modern architecture is essentially... wide-open shots,... images in movement.\" Following the encounter of poststructuralism (and especially the philosophy of deconstruction) with architectural practice, in crossovers that have included exchange between the architect Peter Eisenman and philosopher Jacques Derrida, contemporary architectural discourse has been informed largely by a theoretical drive that encompasses various forms of mobilization. Among the different shapes this architectural movement has taken, several exhibit the impulse to embody the moving image. This impulse, as in the case of Paul Virilio, is often consciously inspired by an interest in cinema and its effects.\n\nThe work of Bernard Tschumi and others testifies to the desire of current architectural practice to intensify the link between film and architecture, refashioning the strong connection that, in theory and in practice, came into place in the 1920s around the notion of montage. Rem Koolhaas, attracted to the \"technology of the fantastic\" since the time of his _Delirious New York_ , continues to pursue an interest in the relationship between architecture and cinema. An architect who has worked as a screenwriter, Koolhaas has said of architecture and film that \"there is surprisingly little difference between one activity and the other.... I think the art of the scriptwriter is to conceive sequences of episodes which build suspense and a chain of events.... The largest part of my work is montage... spatial montage.\" In his work, Koolhaas has built a bridge between the processes of screenwriting and making architecture by pursuing a form of filmic-architectural \"writing\" that floats libraries of images.\n\n2.7. Guy Debord and Asger Jorn, _Guide psychog\u00e9ographique de Paris_ , 1957, a situationist psychogeographic map that drafts the discourse of passions in \"the naked city.\"\n\nThe link between film and the architectural enterprise involves a montagist practice in which the realm of motion is never too far from the range of emotion. The two practices share not only a texture but a similar means of fabricating (e)motion, which includes their modes of production. As both art and industry they are practical aesthetics, based on producing and determined by commission. Their making of (e)motional space is a collaborative effort that demands the participation of several individuals working as a team; traverses different languages; and transforms project into product, which is finally used and enjoyed by a large constituency of people that forms a public. Economic factors are not only present but may even rule the passage between the different semiotic registers: from the drafting table to building construction to occupancy, on the one hand; and from script to the set of film production to occupancy of a movie theater on the other.\n\nAs the architect Jean Nouvel claims, a knowledge of \"transversality and exteriority\" links the architect to the filmmaker, who, as producers of visual space, share the desire \"to experience a sensation\u2014to be moved\u2014to be conscious and be as perverse in traversing the emotion as in analyzing it\u2014recalling it\u2014fabricating a strategy to simulate and amplify it in order to offer it to others and enable them to experience the emotion\u2014for the pleasure of shared pleasures.\" Describing his own architecture in these terms, Nouvel states that \"architecture exists, like cinema, in the dimension of time and movement. One conceives and reads a building in terms of sequences. To erect a building is to predict and seek effects of contrasts and linkage through which one passes.... In the continuous shot\/sequence that a building is, the architect works with cuts and edits, framings and openings... screens, planes legible from obligatory points of passage.\" Architecture and film interface, increasingly, on traversals, for as Nouvel puts it, \"the notion of the journey is a new way of composing architecture.\"\n\nA filmically driven architecture may also work with the flesh as a site of \"fashioning\" visual space performed in the street scene. In the words of Diana Agrest, one may look at the \"street as a scene of scenes,\" a site where a phenomenon such as \"fashion transforms people into objects, linking streets and theater through one aspect of their common ritual nature.\" Incorporating architecture into the practice of the visual and performing arts, Diller + Scofidio's transdisciplinary work, such as _Flesh, BAD Press_ , and _Tourisms: suitCase Studies_ , brings the fashion of traveling movements to the attention of architecture. _SuitCase Studies_ , for example, a traveling exhibition, provides a meditation on the mobility of architectural fictions, thereby doubling its theme. The installation travels in fifty identical Samsonite suitcases, conceived as \"the irreducible, portable unit of the home.\" Doubling as display cases, they showcase two touristic sites: the battlefield and the bed, \"the most private site of the body's inscription onto the domestic field.\" On the map of gender, architectural space here meets the emotional ground of filmic tours.\n\n### _TRANSITI_ : TOWARD A MAP OF \"TRANSPORT\"\n\nWhen film and architecture are geographically envisaged, a relationship between the two can be set in motion along the path pioneered by Eisenstein and also envisioned by the art historian Erwin Panofsky, who recognized that film is a \"visual art\" close to \"architecture... and 'commercial design.'\" This relationship has not been adequately articulated in contemporary film theory. During the era in which semiotics held sway in film circles, the materiality of architecture and design had interested the director and writer Pier Paolo Pasolini as a potential terrain of exploration. He claimed that \"a semiology of visual communications will be able to constitute a bridge toward the semiological definition of other cultural systems (those which, for example, put into play usable objects, as happens with architecture or industrial design).\" Unlike other theoretical directions in film at the time, his project for a semiotics of \"passions\" was sensitive to constructing a bridge of material substance between film and architecture, even if it failed in practice to do so.\n\nThis \"bridge\" has not been a main preoccupation of subsequent theories and remains still largely to be achieved. As Steven Shaviro observes, despite some effort, in general, \"much work remains to be done on the psychophysiology of cinematic experience: the ways in which film renders vision tactile... and reinstates a materialistic... semiotics.\" I am particularly interested in building a theoretical bridge of material \"design,\" in the terms fancied by Pasolini, to address the habitual transport of architecture and film. Such exploration, at a theoretical level, could be extraordinarily productive for the growth of both fields by creating converging paths that intersect with geography.\n\nIndeed, a number of concerns articulated in this book from the perspective of cinema and its theory are finding parallels in current architectural theorization, especially in its concern with gender motion. In sympathy (that is, literally, from \"a shared passion\"), I hope that more crossings will be created, for, as the cultural geographer Michael Dear asserts, despite an interest in film on the part of the architectural world, \"the converse has not always been true of [film] critics.\" The filmic energy present in the architectural field can be further mobilized. Corroding disciplinary boundaries, architecture and film should find their common terrain, even on institutional grounds: one can only imagine what interesting cultural practices would emerge if the field of cinema studies could find an institutional working place within schools of architecture rather than in the literary \"locations\" that have traditionally housed it and served as a point of reference. More synergy should also be fostered with the practice of art history and theory. My effort in writing this book while conducting film research in the department of \"Visual and Environmental Studies\" at Harvard has been to make palpable space for this transdisciplinary movement. There are signs that film, and by extension film theory, offer not only a way of mobilizing the architectural field but a way of conceptualizing architectural discourse and its work on gendering. If film is useful as a theoretical tool for architecture, conversely, architectural views, urban frames, and landscape itineraries have much to offer to cinema studies. Minimally, as this chapter argues, these can act as a vehicle for the haptic grounding of film and its theorization as (e)motion pictures.\n\nAs we shall see, geography plays an important part in fostering this articulation. Mapping is the shared terrain in which the architectural-filmic bond resides\u2014a terrain that can be fleshed out by rethinking practices of cartography for traveling cultures, with an awareness of the inscription of emotion within this motion. Indeed, by way of filmic representation, geography itself is being transformed and (e)mobilized. The dweller-voyager who moves through space drives the architectural itinerary of the city, the activity of travel, and film itself. All three practices involve a form of human motion through culturally conceived space\u2014a form of _transito_. Not necessarily physical motion, _transito_ is circulation that includes passages, traversals, transitions, transitory states, spatial erotics, (e)motion. Adopting this _emotional_ viewpoint for both architecture and film viewing, two seemingly static activities, involves transforming our sense of these art forms. By working to conceive a methodological practice that is \"in between,\" we aim to corrode the opposition between immobility-mobility, inside-outside, private-public, dwelling-travel, and to unloose the gender boxing and strictures these oppositions entail. Architecture is a map of both dwelling and travel, and so is the cinema. These spaces, which exist between housing and motion, question the very limits of the opposition and force us to rethink cultural expression itself as a site of both travel and dwelling.\n\nThe space of cinema \"emoves\" such cartographic rewriting. Layers of cultural space, densities of histories, visions of _transiti_ are all housed by film's spatial practice of cognition. As a means of travel-dwelling, cinema designs the (im)mobility of cultural voyages, traversals, and transitions. Its narrativized space offers tracking shots to traveling cultures and vehicles for psychospatial journeys. A frame for cultural mappings, film is _modern cartography_. It is a mobile map\u2014a map of differences, a production of socio-sexual fragments and cross-cultural travel. Film's site-seeing\u2014a voyage of identities in _transito_ and a complex tour of identifications\u2014is an actual means of exploration: at once a housing for and a tour of our narrative and our geography.\n\n## **TRAVEL**\n\n3.1. Of flesh and bone: Guillermo Kuitca, _Untitled (Torino)_ , 1993\u201395. Mixed media on canvas.\n\n## **3 Traveling Domestic: The Movie \"House\"**\n\n> _I love life, out of curiosity and for the pleasure of discovery_.\n> \n> Isabelle Eberhardt, _The Passionate Nomad_ , 1904\n> \n> _The land one possesses is always a sign of barbarism and blood, while the land one traverses without taking it reminds us of a book_.\n> \n> Chantal Akerman, \"Of the Middle East,\" 1998\n\nIt is 1906, and cinema is traveling. Somewhere between fiction and actuality, a travel genre grows. Let us take as an example _A Policeman's Tour of the World_ (Path\u00e9, 1906), engaging this movie-vehicle to take us around the globe so that we may consider the nature of cinema's transport. This film, one of the most elaborate hybrid texts of preclassical cinema, sets the scene of the travelogue.\n\nDiscovery meets detection in this chronicle of a world tour. A theft triggers a chase: a French banker has embezzled funds and is pursued by a detective. The chase, however, provides only a weak proairetic link and no real resolution to the story. The film's thin plot, rather than being resolved in a final capture, ends up drifting away. The interest of this film does not lie in getting the crook but in capturing something else: plot gives way to a set of traveling pleasures as we are transported by a series of tableau shots that take us to different parts of the world. In this travelogue, actuality footage from real locations is freely mixed with staged sets that fictionalize the locales. The chase, in effect, becomes an excuse to \"mobilize\" different world cultures as the film sets out the itinerary of a global tour.\n\nWe first travel to Egypt via the Suez Canal, then journey to India, where we witness a festival in Calcutta and visit a Bombay temple. We are subsequently taken to China, where we amuse ourselves in an opium den. From there, we travel to Japan and, eventually, to the United States, where we witness an election (probably in San Francisco) and are taken to the American West of Native Americans, identified as \"the red skins.\" United in their opposition to \"them,\" the crook and the policeman begin to bond as they move to their final destination: New York City, where the two reach an agreement. It is only appropriate that in the capital of capitalism the crook and the detective end up becoming business partners. In the city where Wall Street banks take the architectural shape of Greek temples and Gothic churches, business is worshipped literally. In the temple of money, the boundaries between theft and profit are exposed as loose. An interesting political twist occurs here in the framework of what is essentially an ethnographic journey. Mostly non-European sites have been observed in this tour, which, as Philip Rosen has noted, is shaped by colonial views but contains a double-vision that results in an ideological reversal: the logic of the colonialist tourist is ultimately undone, for he is exposed as a crook.\n\nAs a travelogue, _A Policeman's Tour of the World_ holds a significant place in film history. The hybrid terrain of the travel film, with its architectonics of mixed forms (actuality and fabrication) is pivotal in the development of film narration. For here, as elsewhere, the tour of the world becomes a vehicle for the very transition to fictional cinema; crossing borders translates into the cross-over into feature films. In this travelogue, actuality is transposed into fiction via detection\u2014itself a form of \"discovery.\" Discovery marks cinema in many different ways. The motion picture, a language of \"curiosity,\" appears actually to have been fashioned out of a discourse of exploration. A travel scene is thus the primal scene of the motion picture.\n\n### A CULTURE OF TRAVEL\n\n> _The true journey of discovery lies not in seeing new landscapes but in having new eyes_.\n> \n> Marcel Proust\n\nAn investigation of the sources of film's site-seeing unearths a complex cultural configuration, of which travel culture is a prominent component. As Charles Musser has shown, insofar as it was an object of representation, travel was one of the most popular and developed subjects in early cinema. Moreover, cinema itself developed as an apparatus of travel and was born in the arena of tourism. Recent work in film studies has shown that a diversity of means contributed to the creation of the \"touristic consciousness\" that gave birth to the cinema. In addition to new means of transportation, architectures of transit, world expositions, and aesthetic panoramic practices, these included travel photography, the postcard industry, and the creation of the Cook tours, which opened the way to mass tourism. Film was affected by a real travel bug.\n\nFrom the architectural viewpoint, travel was at home in the movie house. P. Morton Shand's 1930 book _Modern Picture-Houses and Theatres_ makes this touristic architectonics particularly visible in its demonstration of how the transit of modern (glass) architecture and the film screen converged in the design of the movie house itself. This architectural survey charts the descent of film from the culture of geography and the drive to tourism. It further considers science an essential constituent of the house of images and understands the moving image to be a hybrid cultural space, born on the threshold of scientific and other explorations:\n\n_To understand how and why the cinema has become what it is, it is necessary to see it in proper perspective to the period that witnessed its evolution. Up till a few years before the war, the film was little more than a scientific toy, a hybrid of the eighteenth-century \"Diorama,\" and the magic lantern of nineteenth-century explorers' lectures._ \"Scientific toys\"\u2014a cultural display that included the magic lantern shows of travel lectures\u2014are in fact film's closest relatives. As it was more recently explained by Wolfgang Schivelbusch: \"The new media of the nineteenth century\u2014the panorama, the diorama, the magic lantern, 'dissolving views' and finally, film\u2014were pure aesthetic, technical creations born of the spirit of light.... The magic lantern and 'dissolving views' can be described as a connecting link between the diorama and film.\" Film architecture participated in this cultural movement that is the history of \"light space\": in connection with these other media, all of which spectacularly mapped modern space and produced the effect of simulated travel, it became an agent in the construction of modern visual space\u2014a geographical tool for mapping and traversing sites.\n\nWith eyes still fresh from the direct experience of such a genealogy, the author of _Modern Picture-Houses and Theatres_ revealed film's touristic effect when he described his encounter with early film:\n\n_Seated before these_ \" _animated pictures_ ,\" _we were thrilled to ride on the cow-catcher of a locomotive through cavernous tunnels and over precipice-spanning bridges; or to catch speckled glimpses of Greenland's icy mountains and India's coral strand._\n\nAt the onset of cinema, spatial boundaries and cultural maps were stretching. In the movie house, film spectators were enthusiastic voyagers experiencing the new mobility of cultural transportation. It is not by chance that in the early days of film the movie house was called in Persian _tam\u00e2sh\u00e2kh\u00e2nah:_ that house where one went sightseeing and \"walking together\"\u2014that is, literally, went site-seeing. Film spectators were travelers thrilled to grasp the proximity of far away lands and expansions of their own cityscapes. \"If the arcade was seen as a city in miniature, then the Diorama extended this city to the entire world.\" Film\u2014and the \"house\" in which its motion dwelt\u2014was a way of further extending this cityscape, fragmenting it, reinventing its assemblage, expanding its horizons. \"The city is no longer a theatre (agora, forum) but the cinema of city lights.\" It is a \"movie\" house. A house of motion pictures. A place where dwelling exists as motion.\n\n### AT WAR: TOURISM AND THE CINEMA\n\nIn touring cities, exploring landscapes, and mapping world sites, early film also \"discovered\" otherness, made it exotic, and often acted as agent of an imperialist obsession. For cinema emerged at the height of historical imperialism. As _A Policeman's Tour of the World_ makes clear, such ideology permeated the travel genre, even if against the grain. It was inscribed in its journey \"from the pole to the equator,\" which the filmmakers Yervant Gianikian and Angela Ricci Lucchi have unmasked in their postcolonial film _Dal Polo all'Equatore_ (1986). The touristic drive\u2014the gaze of exploration\u2014was not always a mere expression of curiosity, for it was also complicit with the aggressive desire of \"discovery.\" As Ella Shohat and others have shown, this mode of discovery is directed toward taking possession\u2014conquering sites and their inhabitants. Viewed from this perspective, the culture of travel exhibits its historical bond with colonialism. The filmic gaze, akin to the tourist's gaze, participates in colonial discourse when it becomes a form of \"policing.\"\n\nWith respect to domination, the film machine and the war machine are bound not only historically but perceptually. Paul Virilio has demonstrated the interdependence that exists between the technology of cinema and that of warfare, which have advanced in tandem as \"sight machines\" since the invention of film. This includes the domain of mapping. Strategies of (in)visibility and apparatuses for watching, as well as the charting of territories, are essential parts of the war experience and its simulated routes. In today's world, image technology continues to play an important role in warfare, from its reconfiguration of mapping to its designs of virtual reality. As the architectural team Diller + Scofidio shows, there are many \"tourisms of war.\" Ways of seeing and systems of spatiovisual reproduction can develop into ways of controlling and destroying. Exploration and mapping are a means of knowledge that can be used as an instrument of conquest.\n\nA film like Jean-Luc Godard's _Les Carabiniers_ (1963) offers a grand tour of film tourism turned to conquest and warfare. Two young men are lured to the battlefield with the promise of acquiring consumer goods: cars, jewels, supermarket items, everything displayed in the metro stations, and, alas, women. While their girlfriends, Venus and Cleopatra, remain at home, the two men, Michelangelo and his appropriately named friend, Ulysses, go to war, traveling the world's map. Interestingly, for Godard, war is an occasion for sightseeing, a form of tourism that extends to watching films. The soldiers' world tour takes them from Europe to Egypt, Mexico, and the United States, where they visit canonical touristic sites. Here, tourism is conceived as pure filmic illusion and photographic reproduction. For example, the trip to Egypt is pictured simply through the snapshots Michelangelo has taken, culminating in an image of the Sphinx.\n\nAs our soldiers \"discover\" the world through war, they also tour the history of film. This reminds us that film itself is related to the \"rifle,\" having in part grown out of the invention of the photographic gun by Etienne-Jules Marey. Marey developed the _fusil photographique_ to solve the problem of \"shooting\" a series of pictures. It was pointed at flying birds and running animals in order to \"capture\" their movement in images, advancing the \"shooting\" techniques Eadweard Muybridge had developed. From this perspective, the war machine marks the very semiotics of film genealogy, a trace of which remains in film language when we speak still of \"shooting\" a film.\n\nAs a metacinematic work, _Les Carabiniers_ plays tricks with the genealogy of cinema. Michelangelo goes to the movies as if exploring the development of film language itself. In a sequence that parodies Edwin S. Porter's 1902 _Uncle Josh at the Moving-Picture Show_ , he sees a few short films that epitomize the very origins of cinema. One recalls Lumi\u00e8re's famous 1895 train film, _L'Arriv\u00e9e d'un train_ , while another cites from Lumi\u00e8re's genre of the baby film. The last film on view is a parodic account of the battle between gender and filmic visual pleasure.\n\nWhat will the soldiers bring back from their trip to the war? Pictures, of course. Ulysses and Michelangelo return with a huge pile of postcards. Like tourists, they have amassed images of sites seen and unseen: places commodified as they are placed next to various pictures of acquired goods. By way of cinema, war becomes equated with tourism. Like the cinema, war and tourism rely on image technology and visual reproduction; all are implicated in the act of \"discovery\" and the desire to possess. The look that sees can also seize. As a form of capturing\u2014that is, of appropriation\u2014image-making resembles the \"discovery\" of foreign lands and the devouring look of window shopping. In a larger discourse on cultural mimicry and appropriation, Godard likens cinema to sightseeing and shopping and additionally exposes their shared relation to the image as commodity. In _Les Carabiniers_ , pictures are commodities and possessions take the form of images. An heir of department store phantasmagoria, as Anne Friedberg has shown, cinema historically moves in the arena of spectacular image trafficking. Like the tourist and the shopper, the film spectator is also in many ways a \"consumer\" of images.\n\nVisualizing the touristic war of images as a taxonomy, Godard exposes the very cultural terrain that generated the cinema itself. Indeed, his taxonomy retraces the space of film's genealogy as we have come to know it. The list includes: monuments, that is, the typical objects of sightseeing, from antique to contemporary sites, the Pyramids to Berlin's Hilton; means of transport such as the railway and various advanced modes of travel; nature's wonders, which consist of touristic sites such as the Bay of Naples and other well-traveled landscapes; department stores, from the Parisian classics to the New York shopping scene; industry, from transportation to film. This grand tour of sites can be recognized as film's own grand tour: a voyage through the landmarks of modernity and its architectures of transit.\n\nThe expos\u00e9 of cultural appropriation set forth in _Les Carabiniers_ ends finally in an investigation of the construction of the visual inventory itself\u2014the archive of images. The commodified pictures the soldiers bring back articulate a critique of the Western logic of \"discovery,\" which Godard mocks by providing a parody of the way it manufactures causality between its ordering of the universe and taking possession. In this way, classificatory systems and analytic procedures themselves come under scrutiny and, ironically twisted from within, end up undone.\n\nGodard's taxonomic work converges with that of Peter Greenaway, a filmmaker of visual archives also drawn to representational critiques, for whom \"game-playing [is]... a way of ritualizing emotions.\" Like Greenaway's own visual taxonomies, which are particularly involved with natural history, one of Godard's major picture categories engages nature. He points to the categorization of animals and plants as a site that articulates both systematizing logic and territorial expansion. The classification of nature\u2014particularly the visual ordering of plants, assembled and organized into systems that tend to be hierarchical, enclosed, and totalizing\u2014has played a notable role in forging areas of Western thought. The development of natural history has furthermore interacted with the project of European expansion. As Mary Louise Pratt puts it in a study of travel and transculturation: \"The project of natural history determined many sorts of social and signifying practices, of which travel and travel writing were among the most vital.... Natural history asserted an urban, lettered, male authority over the whole of the planet.\"\n\nGodard's film raises precisely this question of male authority when, at the end of the classificatory sequence, the soldiers display a collection of female images. Included in the taxonomy are women from around the world, exposed as goods on display. The collage of commodities creates a tour of female objectification as the collection surveys nineteenth-century pornographic photos and pictures of actresses, figurative paintings, historical figures such as Cleopatra, and ethnographic representations\u2014including such colonial imagery as the Hottentot Venus. Woman is conquered. She is conquest.\n\n### VOYAGE (AND) HOME\n\n_Les Carabiniers_ points to the subjugation and violence that are created when travel becomes \"discovery\" and comes to mean conquest. It also reveals the sexual domination that is created when voyage is simply juxtaposed to home. The film presents a rigid sexual division of space. While the men have traveled (to war), conquering images, the women have remained at home. Ulysses and Michelangelo return to find their girlfriends awaiting them. The scenario is rendered all too familiar by the reference to Ulysses, the epitome of the male traveler who leaves the woman behind and dreams of her as he dreams of return. Ulysses stories figure prominently in travel and travel writing; the tale of a Penelope who awaits the voyager even travels from literature to film.\n\nThe fixed point of this travel story is that Ulysses has a place of return: a house, an emotional-architectural container with a woman in it. At the end of the trip, there is a permanent refuge, a secure harbor. In this tale, while man is synonymous with adventure, woman becomes synonymous with home. In such a way, the distinction between woman and home is collapsed so that woman _becomes_ home. Superimposed, the two are equally static.\n\nLike rigid taxonomies, binary oppositions embody forms of domination. The dichotomies voyage\/home and male\/female embedded in Godard's taxonomy are barely surpassed by Bernardo Bertolucci in _The Sheltering Sky_ (1990). In this film, based on Paul Bowles's novel of the same title, a distinction is established between the traveler and the tourist, based on their desire for home. Bertolucci does not entirely share Bowles's view that, although Kit travels, it is Port who holds the fascination for mapping and voyaging. He nonetheless must follow the scenario, which dictates that because Kit cannot handle nomadism, her journey will go painfully astray. This travel story mirrors Jane Bowles's own, for the writer, who was Bowles's wife, was the inspiration for the character of Kit, and her nomadism ended in a psychiatric institution. From Godard to Bertolucci, binary systems are shown inevitably to subsume one side to the other. As the filmmaker and theorist Trinh T. Minh-ha suggests, questioning this system is the starting point of postcolonial feminist thinking: \"If it is a question of fragmenting so as to decentralize instead of dividing so as to conquer, then what is needed is... a constant displacement of the two-by-two system of division to which analytical thinking is often subjected.\"\n\nBy exposing the system of division, Godard's film provides an opportunity to unsettle the place of conquest. To overcome the static dichotomy that locks voyage and home in a division of gender, we must constantly displace\u2014that is, \"mobilize\"\u2014the very notion of place and its relation to sexuality. A traveling theory of dwelling is called upon here to picture gender and space in a series of constant displacements, reviewing them and remapping them through the lens of more transient notions. Film space is the very vehicle of this mobilized thinking, for, among other things, its site-seeing offers us a way to mobilize the very space of sexual dwelling.\n\n### \"NOW, VOYAGER\"\n\nA regretfully persistent resistance to acknowledging the mobilities of woman's place, especially in modernity and its discourse, informs the binary assumption that equates the figure of the male with voyage and woman with home\u2014a static, enclosed space. As cultural critic Meaghan Morris remarks, in this paradigm, _domus_ is domestication. But the site-seeing map of modernity values the female subject in ways that quite often deviate from this set scenario. Bette Davis's voyage in the film _Now_ , _Voyager_ (Irving Rapper, 1942), for example, suggests that travel can be a transformative female experience. Along with fashion, itself a transformative mode for Bette, it can act as the vehicle of a novel \"self-fashioning.\" Travel (and its imaginary mapping) is an important part of the expansion of women's horizons beyond (and within) the boundaries of the home. In its own way, the home itself moves and creates possibilities for gender nomadisms. Voyage and home work together in specular ways: rather than representing separate stances they can be considered intrinsically interrelated. On the gender map, travel and home have been in constant interaction.\n\nThe historical affirmation of women's right to travel meant trespassing the very confines of the house, as well as the home country. Through travel, the borders of the domestic realm and its activities changed. Travel was a real domestic conquest, and writing participated in this particular war of expansion. In 1863, Mabel Sharman Crawford published \"A Plea for Lady Tourists\" and in the name of tourism wrote:\n\n_In a period of easy locomotion... ladies can travel by themselves in foreign countries with perfect safety..._.\n\n_It is surely unreasonable to doom many hundred English ladies, of independent means and no domestic ties, to crush every aspiration to see nature in its grandest form, art in its finest works, and human life in its most interesting phases; such being the practical results of a social law which refuses them the right of travel..._.\n\n_The exploring of foreign lands is... more improving, as well as more amusing, than crochet work or embroidery with which, at home, so many ladies seek to beguile the tedium of their unoccupied days._\n\nCrawford was one of many who pleaded for, and eventually won, women's right to travel. As recent feminist studies of geography show, travel in its many forms was pursued by more women and produced more writing and more complex discourse than is generally acknowledged.\n\nOne of the most intriguing aspects of this complex phenomenon, from my point of view, is the linkage of travel to the home and the construction of a space that lies between the two realms. In women's writing, travel was often described in relation to the home in the form of a \"passage.\" Ella W. Thompson clearly envisaged the empowering \"architecture\" of passage in her writings on travel, and begins her 1874 book with an image of opening the doors of the house: _Most women's lives are passed, so to speak, in long, narrow galleries..._. _Plenty of doors lead out of these galleries, but only those marked \"Church,\" \"Visits,\" and \"Shopping,\" move easily on their hinges_.\n\n_Most of us... cast longing eyes at the door marked with the magical word \"Europe.\"_\n\nThompson's interesting spatial language makes use of interior design to suggest passage. It describes the aperture of women's horizons in architectural terms: as doors, which signify an architecture of the interior and thus supply a \"hinge\" for woman's own passage. Set between inside and outside, home and voyage, the door enables the transition to a different intersubjectivity. Such a passage was the opening to modernity's own spaces: shopping and traveling, to which filmic doors and cinematic windows would soon be added.\n\nAs a participant in the culture of travel, film increased the possibility for the female subject to map herself into the epistemology and erotics of mobility. Providing a greater assortment of women\u2014more than just the ladies of \"independent means and no domestic ties\"\u2014with access to the leisure activity of a wandering gaze, cinema extended the possibility of (self-)exploration across class and ethnic boundaries. Facilitating the female subject's journey through the geography of modernity, it expanded the horizons of female pleasures, opening doors of power and knowledge. The movie \"house\" moved gender divisions by removing their fixed borders.\n\n3.2. The doors of passage in _Playtime_ (Jacques Tati, 1967). Frame enlargements.\n\n### TRAVEL AND THE \"MOVIE\" HOUSE\n\nCinema was the door on which several cultural interchanges were hinged, including movement between the private and public spheres. The private-public dynamic\u2014the very dimension that shaped travel culture\u2014particularly affected filmic spatio-visuality and determined the way it came into being. If we take the defining characteristics of \"the tourist gaze\" to be those described by John Urry and recognize their applicability to film, we can picture this filmic-touristic situation. On the brink of private and public, tourism and film are both leisure activities and mass phenomena, whose devouring gaze is hungry for pleasure and spectacle consumption. Both involve the movement of people to and from places, attraction to sites, and motion through space. The touristic journey is by definition temporary, as is the virtual journey that takes place in the movie \"house.\" The landscapes traversed and the townscapes visited are separate and yet connected to the everyday spaces of the viewer-traveler. Through movement, he or she passes through sequences, narrative stages, and experiences of liminality. Cultural and emotional (dis)placements, as well as journeys between the familiar and the unfamiliar, the ordinary and the extraordinary, can produce the liminal zone of a home away from home. Markers and signs direct the spectator-passengers in their site-seeing.\n\nAnticipation through daydreaming and fantasy, and the experience of this state as a phantasmagoria of visual space, further link tourism to film. Travel culture was positioned at the historical and genealogical juncture of a century that produced various forms of dream machinery, including the cinematic apparatus. As the cultural geographer Derek Gregory points out, travel writing in the nineteenth century employed descriptions of city and landscape often phrased in terms of daydreaming. Florence Nightingale, in particular, writing of her trip to Egypt, interestingly traversed the liminal space between interiority and exteriority when she described \"the waking dream of the living city within\" and \"the silent dream of the dead city without.\" In general, the travel writer of the Victorian era positioned him or herself as if traveling, and perhaps writing, in a dream. Such descriptive passages of traversing sites have a remarkable visual quality. The imagined geography of \"the imaginary signifier\" was established in the vagabond culture of travel writing.\n\nTravel writing is a language of visual description, moved by an intense female curiosity. Female travel writing was often so descriptively graphic, in fact, that it approached filmic observation. Its language was a form of (pre)cinematic site-seeing. Thus in 1839, Marguerite, the Countess of Blessington, used the term \"idler\" to define herself as a traveler. In the fashion of a _fl\u00e2neuse_ , she claimed that travel offers \"the true secret of multiplying enjoyment, by furnishing a succession of new objects.\" We sense in her words the force of the urban (shopping) trip and the railway journey\u2014the very language reinvented by the cinema. Film extended these \"tracks,\" offering a way of multiplying pleasure by providing a succession of new objects, situations, and vistas, even to those who could not travel. Intensified enjoyment by way of the sequencing of novel attractions was embodied in the very articulation of filmic language, where the leisure of the leisure classes was offered to the idler-spectator.\n\nSarah Rogers Haight (1808\u201381), a \"Lady of New York\" who published her travel letters in 1840, provides another prefilmic example of the tactics of site-seeing: _Before we ventured to dive into the dark and mysterious labyrinths of Stamboul, we thought it best to take our usual precaution, that of ascending some tower to observe well how the land lies, and to take a fair departure. We have always found, by so doing when we first enter any foreign city, that we obtain an indelible impression of its general location, form, and extent, the proportionate size and peculiar appearance of its principal monuments and other prominent features. I would recommend all young and persevering travellers to adopt this practice._\n\nFollowing the path etched by Ms. Haight and her fellow travelers, filmmakers appear to have adopted this very practice of viewing, which is a form of mapping. The drive to \"comprehend\" the city space in a bird's-eye view before plunging into its interiors\u2014which we found in a film such as Wenders's _Wings of Desire_ \u2014is clearly anticipated in travel practices. Mobilizing its encompassing embrace, film has absorbed the touristic drive to ascend to take in the larger \"scape\" as well as the desire to dive down to ground level and explore private dwellings. In such a way\u2014that is, by incorporating a multiplicity of viewpoints\u2014cinema has reinvented the traveler's charting of space.\n\nCinema's mapping of space and its rendering of voyage and home respond to a displacement that was effectively set in motion by travel culture and, more specifically, by women's travel writing. Edith Wharton opens the road to our understanding of this movement in terms of an emotional mapping when she compares the affective course of a female traveler to that of a film spectator:\n\n_The moment the big liner began to move out of the harbour Christine Ansley went down to her small inside stateroom..._. _She sat down on the narrow berth with a sigh of mingled weariness and satisfaction. The wrench had been dreadful\u2014the last hours really desperate; she was shaken with them still\u2014but the very moment the steamer began to glide out into the open the obsession fell from her, the tumult and the agony glow unreal, remote, as if they had been part of a sensational film she had sat and gazed at from the stalls._\n\n### GENDER NOMADISM: THE JOURNEY OF DWELLING\n\nAs a mapping of space that is engaged in the (e)motional dynamics of establishing, traversing, and leaving places, film culture shapes the relationship between voyage and dwelling. Thinking of cinema in this way, and in relation to the developing discourse that James Clifford calls \"traveling cultures,\" provides a means of further reflecting on the gender implications of a spatial mapping. Indeed, cinema\u2014a mobile site of gender dwelling\u2014is \"located\" at the very core of these traveling issues.\n\nSuch a reflection is needed, for the theoretical discourse on space and travel does not generally take the cinema into account. Furthermore, critical questioning of space and travel does not always include a treatment of the diversities of the female subject or, if it does, often treats them in problematic ways. As Rosalyn Deutsche has shown, even contemporary spatial theory tends to erase both the female subject and the subject of feminism. In particular, Deutsche challenges the problematic notion of \"cognitive mapping,\" first introduced by Kevin Lynch as a mental \"image of the city\" and later interpreted by Fredric Jameson. Lynch's observational research on orientation led him to approach the roving eye and moving body in space, extending the idea of the \"architectural promenade\" into mental space; but his concept was not ultimately able to sustain the pleasure of dislocation or to embrace multiple mobile mappings. Fearing disorientation and anxious about unmappable space, Lynch sought reassuring measures; thus eventually, with contributions from Jameson, cognitive mapping became a way of ordering, even domesticating, space\u2014of locking mapping into a regulative ideal. In her critique, Deutsche shows that the fixed and unitary viewpoint of cognitive mapping excludes female subjectivity. This is particularly relevant to our discourse, for although cognitive mapping potentially hints at the narrative of inhabitation and could even contain a cinematic sense, ultimately, it has failed to travel with the flow of lived navigational space and to understand psychic mapping as a part of the socio-sexual terrain.\n\n3.3. A woman looks inside out: the journey of dwelling in _Playtime_. Frame enlargements.\n\nThe existing discourse on travel is often equally problematic. Despite the use of travel metaphors in theoretical discourse and a growing interest in travel culture and theory, an effacement of difference (gender as well as ethnic) still appears to be taking place. These problematic aspects of expansive theories of travel and nomadism have been pointed out. The critique of travel discourse, however, should not overlook the importance of travel to understanding changes in gender configurations, and by opposing nomadism _tout court_ , end up reinforcing an immobilization of the female subject. We have not yet completed the task of expanding feminist horizons into the arena of traveling cultures.\n\nDespite the richness of the fields of feminist theory, geographical studies, and film scholarship, a merging of the three disciplines has yet to occur. By rethinking each through the others, one might expand the range of all these fields. To look with geographical eyes at feminist film theory, for example, could expose how travel in (film) space may map sexual difference, and vice versa. A geographical approach could advance earlier notions of gender identity, based on psychoanalytically oriented feminist film theory, by incorporating the diversity of cultural landscapes. It could help us understand sexual difference in terms of space\u2014as a _geography of negotiated terrains_. Thinking geographically could enable us to think of sexual difference in ways that integrate or even overcome symbolic notions as we venture into the terrain of an _architectonics of gender_.\n\nMobilizing gender positions requires a series of displacements. To start, we must retrace the genealogy of the female subject's position in site-seeing, undoing the fixity of binary systems that have immobilized her and effaced her from the map of mobility. The problematic equation between _domus_ and domestication exposed by Morris is recalled here, for it extends from the textual to the critical discourse on voyage, and deeply molds it. Such discourse traditionally maintains that a sense of destination is endemic to the activity of travel\u2014a theoretical enactment of _The Odyssey_ that _Les Carabiniers_ filmically practiced. Considering home as the origin and destination of a voyage implies, as Georges Van Den Abbeele puts it in his book _Travel as Metaphor_ , that \"home [is] the very antithesis of travel.\" Home is merely a concept, necessary to travel from or to leave behind. It exists only at the price of being lost and is perennially sought. In this logic, voyage is circular: a false move in which the point of return circles back to the point of departure. The beginning and the end are the same destinations. Or rather, they are _asked_ to be the same, revealing the biological destiny behind the destination. The wish expressed is that the _oikos_ be reinstated and reinforced. The anxiety of the (male) voyager is the fear that, upon return, he may not find the same home\/woman\/womb he has left behind.\n\nConceived as a circular structure, the metaphor of travel locks gender into a frozen, binary opposition and offers the same static view of identity. Travel as metaphor involves a voyage of the self, a search for identity through a series of cultural identifications. If such travel is simply conceived as a return to sameness, or nostalgia for loss of that sameness\u2014the home of identity or the identity of home\u2014 _domus_ , domesticity, and domestication continue to be confused and gendered feminine.\n\nIn the collapse of _domus_ , domesticity, and domestication with the female subject, both the identity of home and the housing of gender are at stake. This notion of home, conceived as the opposite of voyage, is the very site of the production of sexual difference. When seen as both point of departure and destination, and gendered female, the _domus_ represents one's origin: the womb from which one originates and to which one wishes to return. This particular scene has been constructed by or for a male voyager. Psychoanalytically, it represents a recurrent male fantasy, one that historically returns in the travel and theoretical writing of (often) white males. The circularity of the male voyage is a problematic notion for the _voyageuse_. The question of origin, separation, and loss are much more complicated for a female subject. There is possession implied in positing an origin which was enjoyed, lost, and capable of being reacquired. This does not define the female condition, for in psychoanalytic terms, the female subject experiences neither that possession nor the possibility of return. This condition is manifest, both historically and geographically, in writing that describes women's experience of travel. As the Italian feminist critic Paola Melchiori, a passionate nomad, observes, dislocation has always marked the terrain of the female traveler. Analyzing the literature of travel as a site of sexual difference, she writes:\n\n_Reading women's travel writing, one notices an absence of the past. Women who leave are not nostalgic. They desire what they have not had, and they look for it in the future. The desire does not take shape as \"return\" but rather as \"voyage.\" Nostalgia is substituted by dislocation._\n\nThinking as a _voyageuse_ can trigger a relation to dwelling that is much more _transitive_ than the fixity of _oikos_ , and a cartography that is errant. Wandering defines this cartography, which is guided by a fundamental remapping of dwelling. A constant redrafting of sites, rather than the circularity of origin and return, ensures that spatial attachment does not become a desire to possess. In the words of Rosi Braidotti, \"the nomad has a sharpened sense of territory but no possessiveness about it.\" For the _voyageuse_ to exist as nomadic subject, a different idea of voyage and different housing of gender is to be sought: travel that is not conquest, dwelling that is not domination. A place where nostalgia is replaced by _transito_ \u2014a mobile map.\n\n### DWELLINGS OF TRAVEL: THE HOUSE AS VOYAGE\n\n> _Having now examined the interior of my apartment, and learned what we can by looking out the windows, let us range about the house_.\n> \n> Emma Hart Willart, _Journals and Letters from France and Great Britain, 1833_\n\nReflecting on sexual and cultural identity in the act of traversing filmic and visual space leads us to different notions of travel and dwelling\u2014ones that would not exclude or marginalize the female subject. The shift to site-seeing includes the feminine gender: \"Now, Voyager,\" she travels domestic in forms that are more mobile than usually acknowledged. If mobilization must be extended to the domestic realm, redrafting it beyond domestication, it will be the very act of exploring the architectonics of home that may trigger this different, mobile mapping. A form of such architectural thinking is visualized in an untitled series of paintings by Toba Khedoori, an Australian-born artist who lives in Los Angeles. Khedoori's large, elegant paintings on waxed paper tour dwellings insistently. They depict facades of houses, cross-sections of interiors, windows, hallways, stairs, walls, doors, railings, and fences. Their subtle intervention on housing follows the architectural path of Gordon Matta-Clark and takes it into new realms as it contributes moving views to the analysis of dwelling. Khedoori's architectural fragments\u2014remnants of a dissection\u2014are metonymically related to the moving image: they are fragments of an architectural montage that can make a series of windows into a sequence of frames. Her imaginative dwellings adjoin segments of home to sections of trains and spectatorial seats. Kedhoori's floating world seems to suggest that a filmic map of traveling-dwelling is to be architecturally drafted.\n\n3.4. Architectural dissection in Toba Khedoori's _Untitled (House)_ , 1995. Oil and wax on paper. Detail.\n\nSetting in motion a gender displacement necessitates this repositioning of \"dwelling.\" No longer the spatial antithesis of travel, the house, as the dwelling-place of home, must be theoretically reconstructed. As we look at the notion of home with traveling eyes, and through the lens of various filmic and visual works, we must roam about the house architectonically. The video artist Gary Hill has conceived the house as one in a series of _Liminal Objects_ (1995-present), traversed by such lived matter as brains, which constantly change its perspective. Views of these subjects are modified in the act of domestic traversal. Mapped as such a liminal object, the house becomes the center of our tour.\n\nAs we stroll around the house and refocus it, we may follow the architectural\/photographic path traced by Seton Smith, a New York artist living in Paris, and question, as she does, the idea that _Five Interiors Equal Home_ (1993). We may wish to approach our \"interiors\" as out-of-focus spaces, as Smith does in her series of photographs _Interiors_ (1993). In this way, we may position ourselves on staircases, reviewing architectural fragments such as beds, cradles, and gowns, or see ourselves through a \"distracted mirror\" that reflects doorways, as in her _Candle Piano Series_ (1993). We may find ourselves on thresholds in front of oblique compositions or addressing mirrored mantelpieces, looking up at a ceiling. We may choose to sit in skewed corner chairs, to face reframed windows, or to travel in soft focus along any of the home passages, as in her _English Series_ (1993). As we shift our focus in this way onto the various forms of traveling domestic, let us direct our lens at some stories of interior design, in the vital hyphen between the wall and the screen.\n\n### TRAVELING DOMESTIC: THE _HOUSE_ WIFE\n\nTo further displace the appropriations of voyage, the static nature of home, and its equation with the female subject's domesticity, let us move inward and explore the domestic as the place of what Elaine Scarry has called \"the making and unmaking of the world.\" We may first consider the space of the house in _Craig's Wife_ , a film made in 1936 by Dorothy Arzner. Arzner is acknowledged as \"virtually the only woman to build up a coherent body of work within the Hollywood system.\" As a lesbian author, she has been reassessed by Judith Mayne in the context of queer theory and practice.\n\n3.5. Harriet is the pillar of the house in _Craig's Wife_ (Dorothy Arzner, 1936). Frame enlargements.\n\nOur first observation concerns the very title of the film. _Craig's Wife:_ there is no name for the woman. Harriet Craig is defined in relation to her domestic role and by way of her husband's name. She is an upper-class housewife who, over the course of the film, will progressively come to embody a literalized definition of the term _housewife_. In a spatial way, the film offers a meditation on the relations between house and wife.\n\nWe quickly learn Harriet's ideas on wifehood and her passionate interest in the topos of the house when, at the beginning of the film, she reveals her unruly domestic philosophy to her newly engaged niece, a much more conventional woman devoted to the ideals of marriage. The two women are seated next to each other on a train, yet are appropriately separated in the shot composition by a man in the background, whose anonymous figure acts as the shadow of male presence in their lives. Harriet explains what a house represents to her: she had no means to sustain herself; marriage had been a way to secure a house and, thus, her independence. She means independence from everybody, including her husband. She will achieve this by pursuing a further architectural plan, in which the house will provide the \"key\" to her continued independence. Harriet intends, by any means possible, to arrive at possessing\u2014and controlling\u2014a room of her own.\n\nHarriet's views of home are far too scary for her niece, Ethel, who intends to conform to the script of the \"perfect wife.\" As her aunt's eyebrows rise ironically in disagreement and zipping noises from her purse voice her disapproval, Ethel's patriarchal beliefs, spoken too emphatically, become ridiculed. By way of shot composition and shot-counter-shot editing, Arzner offers two models to her female spectators: Ethel's passive acceptance versus Harriet's attempt to reverse the logic of patriarchy by working from within, against the grain of the system. This may have been what Arzner herself had to do, working in Hollywood as a lesbian director.\n\nThe choice between the two paradigms is actually a choice of \"models,\" cloaked in the corporeal language of fashion. Arzner leads female spectators to identify with Harriet Craig by the way in which she has \"fashioned\" her transgressive subject. Her body language is irresistible. Not only is she physically more attractive than her plain niece; her demeanor and attire paint a far more seductive image. Arzner directs the course of events by accenting the sartorial difference between the two women. In this film, the position the viewer would like to occupy becomes a matter of the clothes she would like to wear. The minute you see Harriet's fabulous hat, you have no choice. Insofar as she has been made a fashion \"model,\" Harriet, played by Rosalind Russell, is undoubtedly a role model. She \"transports\" other women into her world. For Arzner, fashion speaks, and speaks for the woman. Like the house, it is a road to the ownership of imaging.\n\nAs decor, fashion becomes embedded in architecture and in the very architectonics of the film. In _Craig's Wife_ , these elements are essential. Architecture is conceived not merely as a set, nor is decor simply an object of set design. The house is the center of the film\u2014indeed, it is the film's main protagonist. It is the core of (domestic) action and movement. In this respect, Arzner follows the path traced back in 1913 by Alice Guy-Blach\u00e9 in her film _A House Divided_ , in which architecture is made to \"house,\" both literally and metaphorically, various forms of division, including gender division.\n\nIn _Craig's Wife_ , architecture also houses the battle of the sexes: the house becomes the locus in which the relation between space and sexuality is negotiated. It is the site of an _error_ , a mistake that is also a form of erring: a movement that sustains a departure from the norm. For Harriet the housewife, \"house\" and \"wife\" have been incorporated to such an extent that the wife has _become_ the house. This shift is epitomized in a long shot in which Harriet Craig looks like a column as she stands in front of the staircase of her home. She has become the pillar of the house. By way of this \"error\"\u2014a collapse of body with building\u2014Harriet tries to twist the terms of housewife from within, bending the sense of the word to her own needs. She aims at exchanging one side, the wife, for the other, the house. Harriet proceeds to make herself \"suit\" the house. Working at gaining possession and establishing control over her house as if it were her own body, she tries to free herself from being a wife. Interestingly, the house represents her way out of domesticity and domestication. It is by way of this interior deviation that Harriet Craig embarks on the road to independence. She does not have to travel far. She travels domestic.\n\nHarriet's fixation on the house, exhibited from the beginning, grows as the film develops, reaching paradoxical proportions. Her obsession with space is conveyed in her very first entrance into the house, after the train ride. One look suffices to establish that Harriet has fashioned her space with the same attention she has used in fashioning herself. Both body and house are styled with extreme care. For Harriet, dress and decor are germane.\n\nHarriet has not overdone the decor of her home. By keeping it somewhat sparse she can better control her environment. As she enters the house she surveys the interior, carefully examining its configuration as if trying to chart each movement that has taken place during her absence. She is especially trying to track every possible false move that may have been made by the other inhabitants: the maids (have they broken anything?); her husband (would he have smoked indoors?); her aunt-in-law (who has the awful habit of letting those neighbors in\u2014with offensive flowers that do not fit her aesthetic, not to mention a child!). Harriet scans the site, mapping the position of each object and piece of furniture in her space. She must spot every change that might have occurred, for nothing, and nobody, should upset the design of her interior. The mantel catches her eye. The vase. How strange it looks. It is not sitting right. An object out of place. Out of her place. This cannot be. Everything must be put back in place.\n\nAs Harriet Craig's obsession with the house intensifies, a narrative shift occurs: Craig's wife is becoming a _housewife_. Wrestling with the topos of the term, Harriet works from within its confines toward her goal of freedom. To be free, one must be free of others. She must thus free herself from the presence of others in the house. She must make room\u2014room for herself. She needs space. A lot of it.\n\nLittle by little, by controlling all movements within the house, Harriet achieves her goal. Nobody can abide living by her spatial rules or fit into her domestic topography. Thus she manages to void it of all unwanted presence. One by one, they all leave: the maids, her husband's aunt, and finally even her husband. Harriet can at last suit her house to herself. She has fashioned a place of her own. Having become a _housewife_ , she can finally drop the wife for the house. By the end of the film, she has, _tout court_ , become the house. And now the house is hers.\n\nUnfortunately, this is not a happy ending. As Harriet Craig sits alone in her home, having conquered ownership of herself and her house (albeit at high cost), Dorothy Arzner conveys an uncanny sense of sadness. The walls appear to be closing in on Harriet, as if there were too much space and yet not enough. A house devoid of motion, and with closed doors, is as much a prison as the marriage it was built to contain. Harriet's plan to open up space for herself suffers from this intrinsic limitation: it stops short of circulation. Furthermore, while her transition from _housewife_ to _housewife_ is certainly a transgression, it is a trespass that has occurred within limits. Merely to twist the terms of a definition means still to remain within the same boundary. To wander freely while traveling domestic, the road that would explore the house as voyage must be well traveled, and scouted with a less regimented map.\n\n### THE MOBILE HOME\n\n> _A space is something that has been made room for..._. _A boundary is not that at which something stops, but, as the Greeks recognized, the boundary is that from which something begins its presencing. That is why the concept is that of horismos, that is, the horizon, the boundary_. _Space is in essence that for which room has been made, that which is let into its bounds. That for which room is made is... joined, that is, gathered_ , _by virtue of a location, that is by such a thing as the bridge_.\n> \n> Martin Heidegger, \"Building Dwelling Thinking\"\n\nDespite the interest of cultural studies in the notion of home and its inclusion in historiography by way of historical studies of private life, the connections between architectural and cinematic perspectives on the subject have yet to be fully mobilized. As one who is interested in activating this link, the filmmaker Wim Wenders notes the cultural ambiguity of the word _home_ in his book titled, significantly, _Emotion Pictures:_\n\n_The word is interesting... in American because it covers everything that we Germans have so many words for, meaning 'building', 'house', 'family house', 'home town'..._. _That is the only way to understand the paradoxical word combination 'mobile home'. The advertising slogan for a chain of motels is_ '... _a home away from home'._\n\nThe overlap that exists in the English language between _home_ and _house_ may have contributed to the lack of centrality, in Anglo-American studies, of the notion of the house and its architectural aspects. Despite such exceptions as the work of architectural historian Georges Teyssot, an alternative outlook on the house has been long in coming. As architecture theorist Mark Wigley observed in 1992, when it comes to socio-sexual space, \"still the question is not yet architectural\u2014 _home_ , not _house_. The house remains unrevised.\" Opening the house and its fashioning to a wide-angle investigation, the richly theoretical field of gender studies in architecture now reflects on the housing of gender. As Ann Bergren puts it, there may lie in this landscape, a \"(re)marriage of Penelope and Odysseus.\" It is precisely in this critical space that we can dwell filmically, for film\u2014an architectural language\u2014is the epistemic \"motor\" of a building\/dwelling\/thinking that is emotive. We may thus further mobilize \"housing\" by extending the architectural path into the space of \"emotion pictures,\" considering its design as an architectonics of gender. As the example of _Craig's Wife_ intended to suggest, the house is both an architectural and a cinematic construction: the movie \"house\" is a habitation for gender dwelling and gender roaming, constantly transforming the views of public and private by turning them inside out.\n\nThe voyage of modernity, of which cinema is an agent, is not only a matter of traveling to exterior locales; it also includes interiors. The history of domestic interiors has unfolded together with the development of interiority, changes in socio-affective life, and the analysis of the body's own interiors. New \"fashions\" of inhabitation have produced new forms of domesticity, which move away from domestication. As a crucial cultural topos of the era that produced the cinema, the idea of the modern house developed out of a public voyage into the interior. The house contains, in all senses, a moving sense of space, as shown in _House: After Five Years of Living_ (1955), a film made by the designers Charles and Ray Eames about the house they built for themselves in 1949. The development of subjectivity as spatiality hinges on architectural construction and is written in the very articulation of architectural discourse. To understand the space of the moving image, we must therefore once more turn to architecture and return to the house (of gender). Not at all because the object-house is more sexual than other spaces, like the street or the museum, and not only because it is inextricably linked to these sites, but because the house is, actually, both a private museum and a public library. It is a laboratory built on the threshold of diverse interpretive and creative perimeters, binding architecture to the cinematic drama of stasis and movement in the sensing of space.\n\n### FILMIC ARCHITECTURAL FASHIONS\n\nWith respect to the critical project of relating space, mobility, and gender to the moving image, the writings of the German architect Bruno Taut prove particularly illuminating, for they resonate with filmic discourse. Taut, as the film scholar Mikhail Iampolski remarks, had worked in the cinema, writing two film projects in 1920. Using imagistic flow and cosmic light traveling through glass landscapes, these film scripts reinvented the poetics of the travelogue, played out on a cinematic-architectural mirror screen of emotive movements. If Taut's architecture, as Mark Wigley shows, played a crucial role in \"the fashioning of modern architecture,\" it was also important in the fashioning of gender on the filmic-architectural screen. In his 1924 book _Die Neue Wohnung: Die Frau als Sch\u00f6pferin_ \" (The New Dwelling: Woman as Creator), Taut asserts that it is a woman's way of inhabiting domestic space that creates and modifies architecture. Her reception of space has an active role in its construction. From this perspective, the architect addresses the evolution of architecture and the shape of his own work. Thinking of the issue representationally, he compares architectural drawings to painterly renderings of interiors, intertwining the history of art with that of architecture.\n\n3.6. Movements in the house: an apartment plan by Bruno Taut for _The New Dwelling: Woman as Creator_ , 1924.\n\nThe impact of women's reception of architecture on the making of space goes back in history, where 'ladies' traditionally played a role in the shaping of the house. It was the Marquise de Rambouillet who introduced the private sleeping room in the seventeenth century. The Duchess of Burgundy promoted informal fashions. And one must not forget Jeanne-Antoinette Poisson, Madame de Pompadour, who ruled on fashion and architecture and, building and renovating a half-dozen houses, \"promoted a general fashion for interior decoration that facilitated and accelerated 'modern' ideas such as privacy, intimacy, and comfort.\" The eighteenth century saw the definite establishment of upper-class women in \"fashioning\" space. Most prominent at the time of cinema's invention was Edith Wharton, a writer who fashioned the house as an affirmative space for women and wrote books on architecture and gardening. She also co-wrote _The Decoration of Houses_ and practiced the art of interior design, conceiving the house as a mental space, stressing the creative expression of women in the design of drawing rooms, and, overall, giving space to women's place.\n\nTo consider the input of the _grande dame_ and the modern woman in the construction of private spaces opens the door to understanding the creative input of female reception in modern architecture. Here, Taut makes an important contribution when he points out that architecture is made not only in the act of designing or commissioning it, but also by way of using it. Speaking of women's use of architectural space as an active function and recognizing imaging\u2014that is, spectatorship\u2014as a participant in the architectural enterprise, Taut touches on the birth of the female \"public.\" His architectural study programmatically addresses the new fashioning of female subjectivity as a public.\n\nAcknowledging women's work in the house and their role as shapers of space, Taut speaks of mobilizing the environment. He designs a \"mobile\" home, one in which all trajectories are streamlined and rationalized to release women from domestic chores. Carefully outlining all movements that take place in the house, Taut works at making the new home the equivalent of fast, modern travel. This equation between house and travel is literally rendered. Taut actually sketches it, drawing all kinds of in-house journeys into his plans as he maps a new home for the new woman as a \"transformative\" object. In Taut's view, modern architecture actually becomes a means of transportation.\n\nAs a transitive prosthesis, this mobilized architecture is equated to another wearable art of the everyday: fashion. Speaking of the ideal form of habitation, Taut compares the house to a piece of clothing, quite literally calling it a woman's \"dress.\" Does his scene expose the same conflation on which _Craig's Wife_ rests: the \"suiting\" of house to woman? Actually, in a less arresting conflation, the architect's \"house dress\" turns out to be a means of _transito:_\n\n_[Designing] the ideal house... we must attain an organism that is the perfect dress_ , _one that is to correspond to the human being in her most fertile qualities. In this respect, the house is similar to clothing and, at a certain level, is its very extension_. _Fertility and human creativity reside, now as ever, in transforming things. Today, we find visible signs of these changes in all those phenomena that until recently did not even exist, that is, the industrial creations. They have already transformed our everyday life, and they will transform the house. This is evident if we observe the means of transportation, that is, cars, airplanes, motor boats, ocean liners, trains, and if we fully comprehend the extent of revolutionary inventions whose possession has become indispensable to us: things like the telegraph, the telephone, the radio message_ , _electricity, all the applications of the motor, to which we must recently add the increased manipulation of water and wind, and the stove made according to new principles of warming up food._\n\nIn this modern physiognomy of architecture, the house travels (domestic). The modern home is fashioned as a haptic dwelling-place. Considered from our perspective, this mobile home resembles a movie house: it is a home of mechanical organisms and a means of transportation. It is not only a moving entity but a removable one, for such is the quality of the clothing to which it is compared. Furthermore, this house\u2014a woman's dress, which corresponds to her way of living her body\u2014is equipped with epidermic qualities. It shows its wear. It wears its history. As such a haptically moving site, this (movie) house is a special dress: its fabric is a filmic fabrication.\n\nAlthough Taut himself did not make the connection between the house and the movie house, and did not even mention the cinema among the means of transport and communication that he equates with new forms of domesticity, his very cinematic language triggers our comparison. Moreover, the moving image _suits_ his model. Taut's argument easily extends from the house to the movie house, for it touches on new ways of fashioning space and new sites of mobility. A haptic component binds architecture to film. A new territorial \"fashion\" was taking place in both spaces of modernity, one that was changing socio-sexual roles. The female public of the (movie) house was indeed fashioning new forms of mobile intersubjectivity.\n\n### AN \"ARCHITEXTURE\" OF FILM NOMADISM\n\nA product of modernity, the movie \"house\" embodies moving subjects. Cinema is a lived documentation of cultural (dis)location. It is a vehicle for reading traces of our inhabitation and a house that moves at the speed of our travel in space. Filmic movement is a cultural passage. A practice of imaging that participates in the modern philosophical project of mobilizing space, cinema has been home to various forms of nomadism, including some gendered female.\n\nTraveling a step further to reunite Penelope and Odysseus, we look forward to an architectural cinema that houses a mobile dwelling of gender. The world of Michelangelo Antonioni, in which stories emerge from and drift out of place, offers a modernist example. As Roland Barthes put it, Antonioni is \"an Einsteinian traveller,\" for \"he never knows if it is the train or space-time which is in motion, if he is a witness or a man of desire.\" Antonioni has created an architectonics of space that has itself drifted, reaching as far as the cinema of Ming-liang Tsai, whose _Rebels of the Neon God_ (1992) and _Vive l'amour_ (1994) reinvent some of his touch as they disquietingly render the journey of urban dwelling.\n\nDescribed by Martin Scorsese as someone who makes films \"with the curiosity of an explorer and the precision of a surgeon,\" this is the filmmaker who once told Mark Rothko: \"Your paintings are like my films\u2014they are about nothing... with precision.\" In fact, there is a profound relationship between art and film in Antonioni's moving architectonics. Indeed, he has been painting for as long as he has been making films, although for a long time he did not allow his work to be seen publicly or even privately. Witnessing the exhibition of his paintings called \"The Enchanted Mountains\" was an eye-opening experience, for in it one could actually observe his filmic process captured on canvas. The paintings read as landscapes, with no distance or difference perceptible between what might be an aerial or a close-up perspective. Colors are mixed on different surfaces in a complex process that involves collaging, photographing, filtering, enlarging, and reprocessing the image. Watching Antonioni's films, one may at first find it hard to imagine that his cinema is related to landscape painting. Yet it is, for he is a modern landscape painter, grasping ahead for the architectonics of minimalism, which, as the art historian Michael Fried has shown, entails a scenography in which space makes \"room\" for and objecthood emerges from the changing views of a mobile beholder. As a scenography of situations, attentive to the duration of experience, minimal art belongs to \"the _natural_ history of sensibility\" and borders on biomorphism. Antonioni ventures into this minimalist geography, which is a spatialization of experience. In this sense, the particular mise-en-sc\u00e8ne of his paintings exposes the texture of his topophilic filmic geography: the \"architextural\" landscape of his cinema is laid bare on the landscape of the canvas.\n\nAs a filmmaker, Antonioni has fabricated an aesthetic based on the filmic anatomy of space. But architectural dissection accompanies geopsychic transformation in Antonioni's films. This is activated mostly by the haptic sense of his female characters, who wander constantly in their psychogeographic journeys. Nomadism, often gendered female, is indeed the \"house\" in which the films move. They ask us to move with them, through the space of an emotional \"architexture.\"\n\nAntonioni's nomadic filmography takes off with _L'avventura_ (1960), a peculiar \"adventure\" in the southern Italian landscape in which plot completely gives way to filmic travel. A group of friends, modern leisure-class nomads in search of pleasure, set off on a boat tour. One member of the group, Anna, disappears, and a very loose search is set in motion. All clues and leads are left hanging, and no resolution is achieved. Nothing happens in this film but topophilic rambling and erring\u2014with precision. Site-seeing is driven by a camera in flux, whose position and rhythm actually appear to generate the events. This film is a voyage through space, progressing with the rhythm of the land it traverses and mimicking in its time span the intrinsic temporality of the space it touches. The film senses the landscape as if absorbing the very tempi of the sea and the volcano that make up its geography. Cinematic time is slowed down and transformed in duration to make room for this space. _L'avventura_ , one feels, moves in geological time waves.\n\nAs a \"geological\" tour of a region, _L'avventura_ owes something (as did _Contempt)_ to Rossellini's _Voyage in Italy._ In fact, the landscape of southern Italy as treated by Rossellini in his Bergman era opens the way to the world of Antonioni, now defined by Monica Vitti, creating a modernist hyphen. The female wanderings in the landscape mark the connection between these two filmic views. Claudia and Katherine are both northerners encountering the south as wanderers. In _L'avventura_ , as in _Voyage in Italy_ , the emotions of the female protagonists are displaced onto their motion through the terrain. Traversed and transformed by restless _voyageuses_ , the land reads as an interior landscape in a constant shift between inner and outer worlds.\n\nThis _transito_ includes eroticism. Desire is, in fact, circulation. In all senses, it moves; it is an emotion that harbors motion. Erratic desire moves Antonioni's films and, in particular, drives his female characters, who are often affected by a form of restless love. In one way or another, Antonioni's women are all erotic nomads. _L'avventura_ provides no exception, for it conveys erotic flux even by way of semiotics. As the title of the film itself suggests, there is a relation between motion in space and desire. In Italian, _avventura_ can be used to describe a particular \"adventure\": a love affair. Off on a haphazard search for her friend who is never found, Claudia encounters an emptied landscape, in which she is led to explore the realm of the senses. The adventure becomes a venture into an erotic terrain, with all the malaise that such venturing entails. Thus erotics merges with the filmic voyage and is transferred onto the contour of the southern Italian landscape, just as the landscape of Scud\u00e9ry's _Carte de Tendre_ writes its own amorous \"adventure.\"\n\nIn Antonioni's cinema, the architectonics of character is topophilically dislodged onto architecture or landscape, where it dwells and moves. In all four films of his sixties' tetralogy, we experience a transfer of the interior realm onto spatial configurations. Such an architectonics travels from Claudia's erratic search in _L'avventura_ to Lidia's nocturnal rambling in _La notte_ (1961) to Vittoria's erotic meandering in _L'eclisse_ ( _The Eclipse_ , 1962) to Giuliana's view of _Il deserto rosso_ ( _Red Desert_ , 1964).\n\nIn _Red Desert_ , Giuliana's unstable emotions actually end up \"coloring\" the post-industrial landscape of the city of Ravenna. Giuliana seeks a lover who is at home traveling the world. It is no wonder that she finds herself with him, staring at a map, in a hotel room that changes tones\u2014that is, whose color literally shifts with the emotion of her erotic perception. Homelessness is a perennial condition for the maker of _The Passenger_ (1975). In this restless landscape, maps and _vedute_ appear frequently. They generally function as potential sites of opening, places to escape to, views of an elsewhere that is nowhere. For Antonioni, cartography is an existential situation. A _veduta_ appears in the opening sequence of _The Eclipse_ to literalize Vittoria's search for a new world view, along with a subsequent bird's-eye view from an airplane. These views are steps in the reconfiguration of her emotional space and projections of her displacement in a love affair that is ending. This remapping is \"architexturally\" shaped. It is generated from the cinematic work of framing and reframing that progressively takes her out of the picture and into a new erotic space, signaled in one instance when she points her finger out of the frame of a painting.\n\nThe prominent sites of this woman's voyage on a _Carte de Tendre_ are the walls of houses. When the film opens in the apartment of the intellectual boyfriend she is leaving, his body forms a still life with his books. Not one word is exchanged between them. It is the exploration of the space of the apartment that tells us of their breakup. This is a broken home, fractured in scenes in which body parts are equated with pieces of furniture, as in a low-angle shot that adjoins her leg to the legs of a table. The house is divided on filmic grounds: the two lovers cannot even inhabit the same frame or share a shot. Love being out of place, Vittoria moves around, trying to reposition things, reframing objects as if redecorating could \"fashion\" a new space for her. She touches everything with her hands as her restless body navigates the space in search of a place of comfort or a way out of the picture. When he enters her frame, and silence is broken, we know that the love affair is over.\n\nVittoria walks away from her lover's apartment and from his life, entering a series of different houses where, again, she will travel around and touch everything. _The Eclipse_ actually unfolds as a voyage of the house. For her own apartment, she buys a new object of decor to fashion herself anew, while at the house of a Kenyan friend she goes through the entire decorative inventory to perform her makeover. There is a retrospective voyage in her mother's house, in which a haptic journey takes her into her childhood bed, where memories are retrieved by \"handling\" photos from the past. As she pictures herself in an erotic venture with Piero (Alain Delon), she will travel through his family home, fingering his identity as it is written on the walls of the house, drafted in the landscape paintings, and inscribed on his obscene pen. Along with his office, this house provides the set for an intensely touching, erotic story, a sequence of tactile encounters that gives way to an open ending. As both characters leave the site, exiting narrative space, we revisit alone the places where they had met on the street, pausing with strangers at bus stops, lingering at street corners, waiting at crossroads. Our eyes, like hers, feel the space as if touching the place where even new architectures, in the ruins of a new love, end up turning into relics.\n\n3.7. The map of the _Red Desert_ (Michelangelo Antonioni, 1964). Frame enlargements.\n\nPassionate about mapping space by way of \"architexture,\" Antonioni has featured architects as real and fictional characters in his films and exposed architecture prominently in both interiors and exteriors. The wide-ranging display spans from ancient Rome to the wonders of Noto's baroque urban planning to modern architecture, which is a prime location in his work. In _The Eclipse_ , for example, Antonioni shoots at EUR, the Roman neighborhood planned by Marcello Piacentini for the 1942 World Exhibition and featuring Pier Luigi Nervi's Palazzo dello Sport, a fine example of rationalist architecture. Gaud\u00ed's _modernista_ architecture takes center stage in _The Passenger_ , where we tour two of his Barcelona creations, Casa Mil\u00e0, known as \"La Pedrera,\" and Palacio G\u00fcell. Architecture becomes exploration in _La notte_ , where Milan's Pirelli Building, a 1958 work by Nervi, created with Gi\u00f2 Ponti, is featured in a credit sequence that, as Pellegrino D'Acierno has noted, functions as an architectural prelude.\n\nThe building is literally \"scrolled,\" via camera movement that unfolds its visual structure, as an introduction to the film's psychogeographic journey. The skyscraper's transparent texture is elucidated as the city becomes reflected in its view. As we travel down the facade, we move from window frame to window frame, as if actually unreeling the twenty-four frames per second that comprise the film strip. The frame of the window thus turns into the filmic frame, with the city imaged within its borders. The building turns into a film. Through such exploration of architectural composition, the making of cinema's language is laid bare and the very physicality of its fabrication revealed. We feel the textures of architecture and cinema haptically collide as the building turns into a celluloid band.\n\nThis \"sensing\" of space\u2014a site-seeing\u2014marks the voyage that Lidia (Jeanne Moreau) will take in the course of _La notte_. In a long sequence, Antonioni follows her walk through the city, all the way to the edges of town. Parallel editing interestingly juxtaposes her urban rambling with the immobility, both metaphysical and actual, of her husband Giovanni (Marcello Mastroianni), who sits at home while she wanders off. Lidia is at home in the city. The camera moves elegantly with her, sometimes tracking her weaving through urban posts as if to \"approach\" the very way she sees, sometimes searching for her around a corner, only to find her a small figure at the bottom of a building. In all these movements, both her eyes and the camera's lens again _feel_ the space. Against the alienation of the time, Lidia tries to get in touch with her surroundings. Her curiosity is palpable. She comes to know the space by sensing it, even by physically touching it. Moving about, she touches the surface of the walls, peeling off their textural debris. Like Vittoria, Claudia, and Giuliana, she apprehends the space tactilely. Dwelling in voyage, these women make haptic journeys of the interior.\n\n3.8. An architectural-filmic scroll in the opening sequence of _La notte_ (Michelangelo Antonioni, 1961). Frame enlargement.\n\nIn this world of transience, the spectator, too, becomes a \"passenger.\" Antonioni's films call for a spectatorship as fluid as the psychogeographic navigation his female characters are asked to participate in. As he builds a moving space of shifting geometric compositions, we navigate a new filmic space\u2014a cinematics of architectural passages and geographic fragments in which spatial representation is fractured and jarred. We are always pinned to the walls. We find ourselves at home in the interstices of intervals, recesses, gaps, voids, pauses, and transitions. We dwell in ellipses and eclipses. A practice of _tempi morti_ \u2014literally, \"dead times\"\u2014shapes this architectonics of passage. It makes us stay when characters leave, feeding on the leftovers of the story, exploring the space they traversed and lived in. Lingering on, holding onto the frame, we absorb what they have left behind or sense what came before them, bonding with the space of their inhabitation. It is the passage of passengers. An _emotion_.\n\n### PASSAGES\n\nBeginning with early cinema's interest in the physicality of movement, it has taken numerous filmic passages to arrive at a dwelling in motion and an exploration of female nomadic subjectivity. It has taken, for example, the strength of vision of Ulrike Ottinger in her _Johanna d'Arc of Mongolia_ (1988), in which the space of female travel is reclaimed by seriously questioning the notion of nomadism. Ottinger has contributed an important film about \"nomadic movements\" in light of \"nomad thought.\" Along this trail, a significant passage has been made by the moving camera of Agnes Varda, who explores another dimension in _Sans toit ni loi_ ( _Vagabond_ , 1985), a film about the laws of the home that is capable of sheltering in its narrative the many nuances of homelessness. Many equally forceful examples could be invoked here, but it has been Chantal Akerman who, ultimately, has undertaken the project of reinventing film's lifelong fascination with the movement of daily life, which had been such a powerful attraction of the early cinema.\n\n3.9. Sites of passage in _Les Rendez-vous d'Anna_ (Chantal Akerman, 1978). Frame enlargements.\n\nAkerman's cinema of passengers dwells on the house as a site of passage. There is the celebrated house in her _Jeanne Dielman_ , 23 _quai du Commerce, 1080 Bruxelles_ (1975), a film that has contributed a seminal \"address\" to feminist discourse by displaying the rhythm of a housewife's life and her experience of prostitution. From this address on the \"avenue of commerce,\" Akerman's views open wide. In _News from Home_ (1976), a primarily stationary camera records the movement of New York City, especially its active street life, on the surface and underground. From subway to street, the film explores the very etymology of metropolis\u2014\"mother-city\"\u2014for we travel to the rhythm of a mother's voice as Akerman reads the letters her own mother has sent her.\n\nThe relation of home, house, and voyage becomes the very subject of _Les Rendez-vous d'Anna_ ( _Meetings with Anna_ , 1978). Anna is a filmmaker on tour with her film who, in the course of a series of encounters with strangers, passes by her home town to meet her mother. We do not enter the movie theater where Anna's film is screened; we are strictly prevented from entering the house of the German man she visits after a night's affair with him in a hotel room; and we do not visit her mother's house. We do, however, get to know more than two or three things about her. Precisely because of these architectural omissions, we are taken into Anna's own nomadic architecture and restless space. The film's geography is rigorously composed of trains, train stations, cinemas, car interiors, and hotel rooms. It is a geography of passage. In this moving panorama, structured by a railway trip, we track an intimate journey. We remain in one train station to meet a family friend, and meet her mother in another. Anna takes her to the railway's caf\u00e9 and later, instead of going home, checks into a hotel with her. The intimate encounter with her mother, in which she discloses her lesbian life, can take place only now that they are away from the family house. It is the hotel room that enables them to narratively access the family house. Back in Paris, after a long car ride with her boyfriend, the two go to stay at a hotel, avoiding both their homes. Finally, at home, we come to realize that Anna's life is virtually housed in an answering machine. A family or an unsentimental history can only be displayed in a place of transit\u2014the railway, the hotel, the answering machine\u2014a site inhabited each \"night and day\" by a different story, as the title of a 1991 film by Akerman further suggests.\n\nThis geography of transit, first established in _Hotel Monterey_ (1972), an architectural survey of the random presences that populate a hotel lobby and elevator, constitutes the very narrative of _Toute une nuit_ ( _All Night Long_ , 1982). Here a series of disconnected stories intersect on the urban pavement. A chronicle of one night in the city of Brussels, the film enters and exits the lives of a few urban dwellers as they come together or split up, kiss or fight, in a narrative mosaic of love in, and of, the city. Throughout these urban encounters\u2014atonal fragments of a city symphony\u2014we remain at the threshold. In fact, the film is architecturally marked by the threshold. It deliberately takes place on the steps of stairs, moving in and out of staircases. Doors open and close as we are left to ponder there. The film often stays outside the doors or halts by windows. It dwells on the sidewalk, the road, and the street corner. It inhabits cabs and city squares. It circulates in caf\u00e9s, bars, and hotels. It is suspended on the balcony. It lingers in the corridors. _Toute une nuit_ resides in the passageway. As a film of thresholds, it heightens the very space of transit as transition.\n\nWe travel with Akerman through an architecture of symmetrical compositions, a formally rigorous aesthetic of frontal long takes with stationary and moving camera. It is in this way\u2014with frames fixed as if to seize motion\u2014that Akerman constructs a \"geometry\" of passage. In this filmic geometry, she allows a woman to be in her own space and in the space of her voyage. The position of Akerman's camera indicates where the author stands in all senses, since it often includes the measure of her (slight) height. It is a position that marks her presence there, never so close as to interfere or so far that her presence as a fellow traveler is not felt.\n\nIn fact, writing for the installation that grew of out of her film _D'Est_ ( _From the East_ , 1993), Akerman tells of an actual journey. This borderline work houses the memories of someone who is not quite a stranger to the places she revisits, for, to a large extent, she revisits the sites of a Jewish diasporic geography. For the installation, _Bordering on Fiction: Chantal Akerman's D'Est_ , Akerman played with the \"moving\" nature of _kinema_ :\n\n_I would like to make a grand journey..._. _I'd like to shoot everything. Everything that moves me. Faces, streets, cars going by and buses, train stations and plains_ , _rivers and oceans, streams and brooks, trees and forests. Fields and factories and yet more faces. Food, interiors, doors, windows, meals being prepared_.\n\nIn Akerman's grand journey, motion becomes emotion as it touches the space of everyday life. She designs a world of faces and food, windows and streets, buses and rivers, trains and doors, oceans and rooms\u2014a map that incorporates the nurturing architecture of the interior. This world is composed of still lifes and pictures of side rooms, which are framed and reframed in the monitors of the installation as if they were moving landscape paintings. It is made of endless tracking shots in which motion itself appears to be captured. It is in this movement of dwelling that we abide. An atlas of life, her cinema is quite a grand tour.\n\nAs an atlas, it is a cumulative journey. This additive quality is made apparent in the installation of _D'Est_ , in a room where the film \"resides\" in triptychs of twenty-four video monitors. Here, remaining still, circling 360 degrees in a train station, or tracking the streets independently of the objects that enter the frame, the camera collects images, which accumulate in the space of the installation. Their impact grows with both awareness of and obliviousness to the camera's presence. The video monitors become a storage space of this mnemonic itinerary. In this place, we are transported.\n\nThe cumulative effect of this psychic buildup even takes us backward in history. With this script of motion, Akerman seems nearly to be reinventing the panoramic views of the early travel film, finding a new voice for the silent language of movement developed by the turn-of-the-century genre in its own urban panoramas. In her work we feel the impact of the powerful movement that mobilized cinema in the very days of its invention, attracting spectators into the house of pictures.\n\nChantal Akerman presents a body of work that continues to move through this map of sites, touching the interior physiognomy of space. She writes of this idea of traversal in a text for a project that again combines film with art installation. This project, which continues the diasporic voyage of _D'Est_ , would move from the East to the Middle East. In \"Of the Middle East,\" Akerman makes a distinction between the wandering gaze and a look focused on possession: an important distinction that, as we have seen, traverses the travel genre and its history. Advocating the position of nomadism for herself and her cinema, Akerman points out that traversing the landscape is not an act of domination. In her words, _transito_ is an atlas:\n\n_[The way] I would like to film... corresponds to a certain wishful thinking on my part about nomadism, as well as to the idea that the land one possesses is always a sign of barbarism and blood, while the land one traverses without taking it reminds us of a book._\n\nThe journey Akerman sets in motion is an analytic process, an itinerary that is not too far from self-analysis. The filmmaker constantly revisits her sites of habitation, as well as the movements of the house. She travels the interior\u2014a place of passage that is familiar and familial and which can become known, that is, mapped, by way of psychoanalysis or film. Her discovery turns out to be about dwelling. Her voyage is a voyage back to\u2014and a view from\u2014home: \"I want to film in order to understand. What are you going there for, someone asked?... I'll find out when I get there.... It's always your mother and father you run into on a journey.\"\n\nSuch a journey of primal scenes is a passage. It is her retrospective _Portrait d'une jeune fille de la fin des ann\u00e9es 60, \u00e0 Bruxelles_ (1993), a fictional self-portrait of a young woman from the late sixties in Brussels on a transposed Oedipal journey. On the road of filmic transfers, Akerman's cinema dwells in the process of \"clinical\" observation, capturing the in-between spaces of everyday life. This transitional geography is affected by what Antonioni defined as _\"la malattia dei sentimenti,\"_ the sickness of emotions\u2014an erotic nomadism which is a modern disease, a form of dislocation. Moving from the exterior of the city to inner space, extending ourselves outward only to regress into the depth of mnemonic terrains, we are all nomads, retrospectively traveling the map of a filmic psychogeography on the brink of a traveling-dwelling.\n\n### THE VOYAGE OF THE HOUSE (OF PICTURES)\n\nBy questioning the dichotomy that would identify home with the female subject and voyage with male, we have challenged the view that travel alone implies mobility, while _domus_ is necessarily the static site of domesticity and domestication. Dwelling-voyage implies a series of interactions. A voyage deeply involves and questions one's sense of home, of belonging, and of cultural identity. At home, one may indeed travel. Home itself is made up of layers of passages that are voyages of habitation. It is not a static notion but a site of _transito_. More than simply a point of departure and return, it is a site of continual transformation.\n\nAs the films of Antonioni and Akerman have shown us, the house moves. The house, with its material boundaries, is not a stationary tectonics. It is not a still architectural container but a site of mobile inhabitations. The house embraces the mobility of lived space. Like film, it is the site of an _emotion_ and generates stories of dwelling. It is an assemblage of objects that makes up a moving landscape. The house (of pictures) is a montage of living signs, the \"set\" of a sentimental mise-en-sc\u00e8ne that moves within its walls, decorating their very surface.\n\nWe must look for such narrative in architecture, for its mobile perimeters tell the history of private life and, in so doing, make a site for its public display. Sometimes, if questioned, houses would tell stories of love or of violence. One such case, as Beatriz Colomina has shown, is \"E.1027,\" the house that Eileen Gray designed for herself on the rocks above the Mediterranean Sea and which actually turned out to be a battlefield. The war of E.1027 was inscribed on its very walls. The house bore several postscripts of violence in its narrative, including a violation by Le Corbusier, whose presence was marked on the walls; he also ended up swimming to his death there. The story of this house reveals, among other things, that the house is key to the way architects think about architecture. In fact, calling the house an \"exhibitionist\" space, Colomina elsewhere claims that what \"distinguishes twentieth-century architecture [is] the central role played by the house,\" which includes its transformation, by way of media, new technologies, and forms of communications, into a new form of public and work space, more public than the street.\n\n3.10. Refocusing the journey of dwelling: Seton Smith, _Curving Windows and Stairs_ , 1996. Cibachrome print.\n\nIf the home is becoming an increasingly media-based construction\u2014becoming, that is, a \"screen\"\u2014then, from a filmic viewpoint, we can observe that, conversely, the movie house and its extensions have increasingly incorporated onto their field screens shifting notions of the interior. Thinking this way, the house can be viewed as the hinge that opens the door between architecture and cinema. Take Eileen Gray's house, for example, which was itself designed as a traveling narrative; the story that developed within its design and left its marks on the walls could positively make up the plot of a film. In fact, it resonates with the house of _Contempt_. It also finds a potential correspondence with the work of the Israeli filmmaker Amos Gitai, who designed his _Field Diary_ (1982) with tracking shots. In Gitai's documentary strategy, the narrative path, in which conflict is defined and negotiated architecturally, extends from the body politic to \"territorial\" politics. This is especially explored in _The House_ (1980), where the filmmaker's architectural training translates into a compellingly political architectonics of film.\n\nExploring the narrative of the house turns out to be, in many ways, a filmic activity. The house is bound to the house of pictures. It is a site of moving pictures\u2014an archive of picturing. The house, in many ways, is a \"collection.\" It holds an accumulation of imaging that is personal, yet social. It functions as imaginary storage. This is literalized in the house-museum conceived by Isabella Stewart Gardner. The assemblage of pictures on the walls of her house makes a journey, just as she made an architectural remnant into a site of passage.\n\nHouses, like films, can be a private museum. They can tell stories of journeys and of travels within. Filmically, they can always narrate this way, even at the zero degree of architecture and even when they are not places of border. They can be in flux even if not designed as nomadically as John Hejduk's exquisite mobile home project; even if they have not been mobilized in the gifted hands of Zaha Hadid; even if they are not the domestic dwelling-in-movement of any playfully spatial or even specifically filmic architecture. An interior can be a \"portable and customized structure\" even if it cannot actually fold away like one of the compact A-Z Living Units designed by the artist Andrea Zittel. Movement is possible for houses, which are as perceptually mobile as movie \"houses\"; even when they have not been touched by Steven Holl, they can become sensuously minimal phenomenological architectures or move in a different sense. Interiors are an affair of the senses. They sense, and make sense of, our passing. They are a site of experiential nomadism, for they outline the movement within\u2014the movement of emotion pictures.\n\n### THE WALL AND THE SCREEN\n\nLike a film, the house tells stories of comings and goings, designing narratives that rise, build, unravel, and dissipate. In this respect, there is a tactile continuum\u2014a haptic hyphen\u2014that links the house and the house of pictures. The white film screen is like a blank wall on which the moving pictures of a life come to be inscribed. Etched on the surface, these experiential pictures, like film's own, change the very texture of the wall. The white film screen can become a site of joy or a wall of tears. It can act like the wall envisaged by Ann Hamilton in her moving installation _Crying Wall_ (1997). On its white surface, drops of feelings drip, seeping through as if all bodily liquids were conjoined on the \"architextural\" surface. One can feel the pain that the surface bears. The film screen sweats it, like this artist's wall. It holds it like the house's own wall. The screen is itself a wall of emotion pictures, an assemblage of affects.\n\nRemembered and forgotten, the stories of the house constantly unfold on the wall\/screen. They are sculpted in the corporeality of \"architexture\"; exposed in the marks of duration impressed on materials; inscribed on fragments of used brick, scratched metal, or consumed wood and, especially, in the non-spaces. They are written in the negative space of architecture, in that lacuna where the British artist Rachel Whiteread works, casting the architectural void of everyday objects and the vacuum of the domestic space. The \"volumes\" of stories of her _House_ (1993\u201394) become material once exposed in a solid cast of its hollow volumetric space. They continue in the discarded _Furniture_ (1992\u201397) laid on the street, in the filled holes of a _Table and Chair_ (1994), in the _Amber Bed_ (1991), or in the many _Untitled_ beds (1991\u201392). They show in the peeling wallpaper or the paint stain of the _Rooms_ (1996\u201398), in the space of the _Closet_ (1988), and in the unfinished or about to be demolished _Constructions_ (1993\u201398).\n\nTransformed in this way, stories unfold on the surface of the wall\/screen. As in Mona Hatoum's sand piece + _and_ \\- (1994), the surface \"absorbs\" a moving design. In the hands of this Lebanese-Palestinian artist exiled in London, all marks that are made are constantly erased and redrawn on the sand. Sometimes all that is left of the movement is a remnant\u2014what she calls a _Short Space_ (1992): hanging bedsprings, relics that speak of dislodging, the remains of diaspora.\n\nIn the hands of the Colombian artist Doris Salcedo, _La Casa Viuda_ (I-VI, 1992\u201394) becomes, through the specific and traumatic historicity of her country, an _Unland_ (1997). Her series of untitled furniture pieces (1989 to 1995) testifies to a history that came to perturb an intimate geography. An armoire ( _Untitled_ , 1995), laden with cement, makes this visible through its glass doors. The folds of the garments that were stored there now seep through the porous texture of the cement. \"Held\" in this melancholic way, they have become further worn. By the force of this exhibition, which includes us as mourners, the work returns to us the very fabric of an intimate space\u2014its \"architexture.\" A bed and an armoire can, indeed, be a ruin on the ruined map of one's history\u2014that map held by the house and traversed by the cinema.\n\nAs they narrate in their own \"negative\" space diverse stories of the flesh, recording the movement of lived space, films themselves act as domestic witnesses. The cinema thus functions as a moving document of our dwelling, the screen of our changing spatial history that \"projects\" its evolution. A site of traveling-dwelling, the motion picture designs our lodging in space. It is an agent in the very mobilization of the interior. A map of domestic motion, it is a site of shifting dwellings, the virtual trace of our haptic (e)motion.\n\n### HAPTIC SPACE TRAVEL\n\nThe invention of film\u2014a kinetic cultural site\u2014has inaugurated an era of circulation that is increasingly defined by an evolving spatiality. The tempo of spatial movement is the dimension that the filmic century has lived in, representationally. Along with cinema, developments in communication and circulation have been expanding our ability to inhabit territory, to dwell in and move on the map. At the same time, an uncertainty about location, and about being located, has arisen. This is bound to continue to affect architecture in terms of mapping, but not only as the technical challenge of draftsmanship\u2014that is, of drawing and moving through space. As the installation projects of Laura Kurgan show, confronting obsolete systems of drafting becomes a complex cartographic issue when the experience of drafting engages with the drift at work in the map itself and in architecture, including the architectonics of communication, to which the cinema belongs.\n\nCurrent cartographic efforts to locate and track every moving object in space interact, in postcolonial terms, with a vast cultural anxiety about place(ment). This particular version of \"cartographic anxiety,\" which, as Derek Gregory shows, affects \"geographical imaginations,\" is a syndrome that involves our shifting place on the moving map. At the most basic level, we need always to be \"in touch,\" either by Palm Pilot, cellular phone, beeper, answering machine, fax, e-mail, or Internet. New \"links\" keep being invented. Spatial connectors\u2014metaphors, or \"means of transportation\"\u2014continue to make their mark on our culture, constantly crossing between high theory and low culture as they change our forms of habitation and the measure of our dwelling.\n\nThe language of contemporary technology is obsessed with the virtual mapping of space. Cyberspace is an actual place, with Web \"sites.\" This is a place of exploration and bonding with \"navigators.\" \"Cruising\" the Internet, \"surfing\" and \"browsing,\" we \"visit\" a Web site. Today's moving site is a home. We all have an address there. In fact, our street address has turned into an \"e-dress.\" We might have our own \"home\" page. We enter conversations as if they were \"rooms.\" Operating this way, our spatial culture reinvents the drive to make an imprint of lodging on traveling space. It reveals the ever-strong haptic desire to come into contact and be connected. Even virtually, the moving site must be habitable and inhabited.\n\nThe desire for inhabitation accompanies the expansion of our geography. Although projected forward, this haptic site-seeing extends back to the motion picture of the modern era, where the desire and ability to inhabit the moving image first \"took place.\" The birth of the cinema is thus a trace left by the cyberspace of the new millennium. A product of spatial culture, film is haptic space that is simulated travel. It has housed our cartographic anxiety and its release. Its archaeology is a touching geography\u2014a map of our passages through a brief moment in space, reinvented as we reach the end of our map zone.\n\n### THE END OF THE MAP ZONE\n\nIt is the fall of 1999, and \"Claire woke up in some pretty strange places.\" So announces the voice-over that opens Wim Wenders's _Until the End of the World._ Released in 1991, this film, which concludes our tale of domestic travel, is strikingly similar to the 1906 Path\u00e9 travelogue that opened our chapter. It represents essentially the same narrative structure that _A Policeman's Tour of the World_ offered. A fictional travelogue led by Claire (Solveig Dommartin), _Until the End of the World_ takes us on an elaborate world tour. We touch down in Venice, Lyon, Paris, Berlin, Lisbon, Moscow, Transiberia, Beijing, Tokyo, San Francisco, and Australia. As in the 1906 travelogue, a chase links the cities and countries we visit. A man is being pursued around the world and we are given a chance to travel along\u2014to be \"transported\" from one situation to the next. Stolen money is again involved. A bank has been robbed, and money floats around the world, both making the tour and making our tour possible.\n\nWhat, if anything, then, has changed in the world of filmic travelogues since 1906? In the era marked by the suffix _post-_ , some (gender) mappings have changed. In 1991, the voyager is decidedly female. This is the tale of a _voyageuse_ who is chasing a man \"until the end of the world.\" Claire is no police(wo)man. She is only curious to discover the identity of the mysterious man she has spotted at a public phone in a shopping mall. The two will eventually end up handcuffed, but only to a bed. This is a saga of heterosexual, amorous \"transport.\" The travelogue is designed as a _Carte de Tendre_.\n\n3.11. Moving beyond mapping _Until the End of the World_ (Wim Wenders, 1991). Frame enlargement.\n\nClaire's adventurous affair appropriately begins in Venice, at a decadent fin-de-si\u00e8cle Italian party. Fashionably dressed, she is dazed and confused but determined to drive herself back to Paris. Of course, the road always provides new directions. \"The chronotope of the road,\" as Mikhail Bakhtin has noted, \"is both a point of new departures and a place for events to find their denouement.\" This is a road to the end of the millennium. When an impending nuclear disaster drives everyone to leave on the same road, Claire, impatient as ever, decides to take a detour and thereby changes the direction of her life. The trajectory of this other road is not marked. We are off-limits. Claire has reached the \"end of the map zone\" according to the warning that appears on the computer screen that pilots her car. Claire dismisses the warning and moves on, only to find herself beyond the \"end of the map zone.\"\n\nA cartographic anxiety drives this filmic travelogue. In the postcolonial master narrative, mapping flirts dangerously with surveillance. Foreshadowing the expansion of the Global Positioning System, _Until the End of the World_ presents cars that are driven \"virtually,\" directed by computerized maps that are incorporated into the mechanisms of driving. A version of \"cognitive mapping\" has here turned into \"mental piloting,\" imposing a limit to cartographic inventiveness. The chase in the film is further enacted as an exercise in mapping. Expensive computer technology is involved in locating the man on the run. But the digital technology that makes it possible to locate the subject also leads to control over the citizen, for it is possible to know where he or she is at all times, in all places. The film comments ironically on such questions of control through the very design of technology. The Eastern-bloc computer used in locating people has a software program worthy of the artist-team Komar and Melamid: a Russian bear appears on the screen and keeps \"searching, searching.\" Virtual cartography becomes a parodic, hyperrealist version of a socialist-realist witch hunt.\n\nWhether ironically or dramatically, _Until the End of the World_ is engaged in discovering, locating, and mapping subjects in space. Such an obsession with searching and finding both reveals and covers a fear of being lost. In this sense, the film exhibits a cartographic impulse that is not only a matter of control and surveillance but a symptom of current mobile mappings of (dis)location. It is about where we are in border crossing. Set at the end of the millennium, _Until the End of the World_ touches on the present day effects of deterritorialization and the potential for remapping both the world and the self.\n\nAs Claire goes off \"beyond the map zone,\" she reaches her own _terra incognita_. As in the _Carte de Tendre_ , by traveling \"The Dangerous Sea\" one reaches \"Countries Undiscovered.\" The chase eventually takes her into a form of interior voyage\u2014a voyage of the room\u2014as she enters the home of pictures and voyages in the house of images. Here, the chase interestingly comes to a halt. The mysterious man Claire is chasing is not really an adventurer. He is not even a real departure from her devoted Parisian partner. He turns out to be a rather boring, nice man who is essentially involved in a domestic journey, albeit one with an Oedipal twist: he is trying, via a new technology developed by his father, to provide vision for his blind mother. Claire follows him through this voyage of visual discovery and ends up trapped by her own dreams. Absorbed by image technology, she travels the immobile journey of recollection. The future dreams the past here as virtual reality becomes a psychoanalytic journey _\u00e0 rebours_ , a literal means of rewinding, a tool for projecting on a screen scenes from one's own life voyage. A movie map. Here, cartographic anxiety is transferred to a scene of lived space that remaps fragments of the past.\n\nMemory, imaging, mapping. _Until the End of the World_ envisions post-colonial (dis)location as \"cognitive mapping\" gone astray. Weaving together alternative ways of relocation in the face of cartographic mutation, this 1991 travelogue remakes an itinerary sketched all the way back in 1906. While the space of _A Policeman's Tour of the World_ was tainted by colonialist visions of domination, this film tackles movement at the very \"end of the map zone,\" beyond mapping. Here one is always traveling and yet back home, in that house of images: the home of moving pictures, the \"movie\" house that is a movie _house_.\n\n4.1. Self-portrait of Esther Lyons, travel lecturer, 1897. Black-and-white photograph.\n\n4.2. School of Fontainebleau, _Lady at Her Toilette_ , c. 1550. Oil on wood.\n\n## **4 Fashioning Travel Space**\n\n> _The delicate feeling of decency... forbids a woman to be the author of her self-portrait_.\n> \n> Henriette D'Angeville, _Mon Excursion au Mont-Blanc_ , 1839\n> \n> _Fascinated by female curiosity,... I could not withdraw myself_.\n> \n> Anna Maria Falconbridge, _Narrative of Two Voyages to Sierra Leone_ , 1802\n\nAs we have shown, \"to travel is like filming\": traveling cultures are the generative terrain of the cinema. To unravel further aspects of this cultural history, a theoretical and historical voyage of site-seeing becomes methodologically necessary. We thus embark on a transhistorical exploration of film's genealogy, seeking to expose the geographical penchant of the motion picture and to map its topographical views. As we \"track\" down the relationship between film and the voyage of dwelling in time-space, several viewpoints emerge that link the film spectator to other \"passengers.\" We first turn to the subject of travel lectures and investigate their relation to the origin of film with respect to a fashioning of space. It is a route that passes by the self-made design of the modern _voyageuse_. Looking at the genealogic \"makeup\" of travel space, we encounter the female travel lecturer. Let us stop to wonder at her representational \"apparel\" and \"accoutrements.\"\n\n### MEET ESTHER LYONS, TRAVEL LECTURER\n\nIn a strict historical sense, film and travel met physically at the turn of the century on the set of the travel lecture. First accompanied by lantern slides, travel lectures later incorporated motion pictures into their display, furthering the parallel between travel and the moving image as they first propelled and then absorbed the travel genre. It was not by chance that these spectacles would merge, for the travel lecture itself was a form of simulated travel for its spectators\u2014a virtual journey.\n\nCharles Musser reminds us that the illustrated travel lecture constituted a \"large fraternity.... Stereopticon lecturers (as well as photographers) were overwhelmingly men and represented the world as they saw and understood it.\" But there were exceptions: female travel lecturers negotiated a place in the \"fraternity,\" thus joining female pioneers of film exhibition and production. They also joined women such as Delia Akeley, Mary Jobe Akeley, and Osa Johnson, who played a role in establishing the tradition of the explorer-as-documentarist and helped to initiate ethnographic cinema, a field of study illuminated by Fatimah Tobing Rony and others. Women furthermore participated in the business of travel lecturing as spectators. They were present not only physically, as part of the audience, but also as spectators-in-the-text. Travel lectures were constructed as a spectatorial address to both the female and male public. Only apparently nonerotic, the subjects of the travel lectures\u2014mostly landscapes and scenes depicting the local customs of the sites\u2014nonetheless had a definite appeal. Women were driven to travel with and through them.\n\nWhat was carrying them through these images, and away? Was it an \"erotics of knowledge\"\u2014a spatial curiosity? And what of the drive to possession and domination? As a way to address these issues, let us turn to one of the exceptions in the \"fraternity\" of travel lecturers: a woman named Esther Lyons. In 1897\u201398, Lyons gave four sets of lectures at the Brooklyn Institute of Arts and Science, one of the most important cultural institutions in North America at the time. The Institute was home to eminent members of the \"fraternity,\" including John Stoddard, Alexander Black, and E. Burton Holmes. \"Miss\" Esther Lyons, billed as \"the first white woman to cross Chilkoot Pass,\" entered the visual discourse on exploration by lecturing on Alaska. Her talk was illustrated with nearly one hundred and fifty colored lantern photos. Lyons \"fashioned\" travel lectures in her own way: by impersonating the traveler. During the course of a lecture she would change into her Klondike costume and demonstrate how to pan for gold.\n\nFortunately, a record of Esther Lyons's travel lectures remains. Like Stoddard and others, Lyons published a book of travel photographs: _Esther Lyons' Glimpses of Alaska: A Collection of Views of the Interior of Alaska and the Klondike District_ , printed in 1897. Like her performance, the \"collection of views\" Lyons compiled bears a mark of distinction, a specific \"view\" that makes an intriguing authorial imprint. A large picture of Esther introduces\u2014indeed, towers over\u2014the beginning of the sequence of travel pictures. Miss Lyons literally inscribed herself into her travel, and did so in a peculiar way. The self-portrait has an unorthodox edge that provocatively tells us something about the act of \"fashioning\" (one's) space.\n\n### PICTURING (ONE'S) SPACE\n\nThe photographic portrait presents the beholder with a representation: it is a way of fashioning the self and, as such, follows a long pictorial tradition. As a form of picturing, the portrait has a strong physiognomic impact. It is a representation in which signs are sketched and read on skin, decor, and clothing. A portrait holds the corporeal imprint of the persona that it draws and redrafts, or that it photographically \"designs\" for viewing. In a way, the portrait presents a \"map\" of character. It makes a chart of the flesh. The self-portrait is a self-made map\u2014a self made into a map.\n\nLyons's self-portrait offers intriguing access to such a self-made map, for here, the female explorer not only pictures a map of her self but charts a terrain for herself. As a prologue to the montage of landscape views, Lyons represents herself looking into a mirror. Her image is clearly reflected in the glass and faces the viewer. We are made to look at her looking at herself. However, she is not only staring at her own image. She appears to be catching herself \"in action\": Esther is applying makeup around her eyes.\n\nWhat are we to make of this making-up? Lyons, one of the few female travel lecturers, exhibits herself preparing for her public appearance, doing her makeup. What kind of explorer's action is this application of cosmetics? Is Lyons showing us that she is \"wearing the mask of femininity\" of many of her peers, pioneer cultural explorers who donned that mask in order to enter a male-defined field? Are we to claim\u2014as a nod to cinema (heir of the travel lecture) and a wink at its meta-discourse\u2014that \"the first white woman to cross Chilkoot Pass\" is caught in an act of womanly \"masquerade\"?\n\nAs we approach the design of this self-portrait in terms of a \"cosmetics,\" we begin to see that the mirror image has traveled from the travel lecture to film in a number of ways. It has become a \"fashion\" for picturing female characters and especially for creating self-portraits of avant-garde women filmmakers. From the mirrored self-image in Germaine Dulac's _The Smiling Madame Beudet_ (1923) to Maya Deren's _Meshes of the Afternoon_ (1943), in which the filmmaker herself appears in a split mirror image, to Sally Potter's _Thriller_ (1979), this representation appears repeatedly in women's cinema as a site of self-imaging, where it is set in the home\u2014the woman's house of fiction. _Thriller_ insistently shows a woman staring at herself in front of a mirror. She waits for clues as she searches her own image, inquiring about her narrative space. In this self-analytic film, the self-portrait, examined in its formal rendering, appears as the very object of filmic exploration. Potter pushes this mirroring of the self a step further in _The Tango Lesson_ (1997), that courageous game of autobiographical fiction that turns the spectator into the reader of a diary, with Potter herself as the fictional protagonist. This nuanced text takes us along the intimate path of a self-exploration. Here, the screen itself ends up functioning as a moving mirror\u2014a surface on which the director-actress fictionally projects herself as the other.\n\nA narrative citation to the Lacanian mirror stage, the mirrored self-image is noted here in order to reflect further on the nature of that \"reflection.\" The discourse on this significant image\u2014a generative matrix of filmic identification\u2014generally fixes on the gaze. Moving beyond theories of the masquerade and the gaze, and their relations, we must acknowledge that it is, above all, a picturing of space. The identification of the self with its own reflection, or its wearing of gender as a mask, is not merely a visual issue. What is missing is the \"scene\" of the gaze; the fact, that is, that self-identification is a _spatial_ affair\u2014a narrative drama set in intersubjective space and enacted on a _corps m\u00f3rcele_ , an imagined anatomy. Identity makes body tours. Placed within the scene, exploration and imaging become linked, beyond the gaze, on the very _topography_ of the body. In this sense, the mirror stage is a space, a screen, on which identity is constantly negotiated.\n\nMichel Foucault's observations on the mirror in the context of his essay on \"other spaces\" further this spatial reading and lead us to a haptic understanding of this topos. A joint, mixed experience, set between utopia and heterotopia, the mirror is read as a site of self-representation, a space of constant displacements:\n\n_The mirror is... a placeless place. In the mirror, I see myself where I am not, in an unreal, virtual space that opens up behind the surface; I am over there, there where I am not, a sort of shadow that gives my own visibility to myself; that enables me to see myself where I am absent.... The mirror... exerts a sort of counteraction on the position that I occupy.... Starting from this gaze that is, as it were, directed toward me, from the ground of this virtual space... I come back toward myself._\n\nA \"placeless place,\" the mirror is a site without a geography that enables one to locate oneself via a series of displacements. A mirror makes it apparent that the eye has a location, is positioned in the body. Because of this \"positioning\" and the orientation of our gaze, we are unable to see ourselves other than as reflection. To thrust a self-analytic gaze upon itself, the body needs a place. The mirror-screen thus becomes the site of the subject's own visibility and self-projection, a dwelling place of the self in virtual space. As the vehicle of self-exploration, the mirror\u2014a filmic site\u2014is the starting point of a spatiovisual diary, for it houses the tours and detours of identity.\n\nThe picture of Esther Lyons participates in this intertextual dynamics of imaginary mapping. This portrait of an explorer gazing into space as she looks at herself is inscribed in an entire history of visual representations, a chain of filmic imaging of female subjects' explorations. Insofar as travel lectures historically lead to the virtual space of the cinema, they proleptically contain representational traces of the future, dreaming up film's imaginative spatial contours. Film has incorporated the representational drive and the \"spatial unconscious\" of travel culture, with its visible dislocations.\n\nThe image of Esther Lyons speaks to the cinema not only because travel lectures lie at the very foundation of film, but also because the construction of the female subject is inscribed along their spatiocorporeal path. From Lyons's self-portrait to Potter's _Thriller_ and _The Tango Lesson_ , the mirror-screen image bespeaks a trajectory\u2014the search for fashioning the self in, and as, space. This movement is not necessarily an actual physical itinerary. It does not involve roaming through \"foreign lands\" but rather rambling close to home, or in-house; and this can turn out to be quite foreign or estranged. The voyage of the self is inscribed in a topography that knows the seductive flux of claustrophilia. Such motion can happen as one stands still, in front of a mirror, in one room. As filmic traveling itself makes clear, some of the best traveling occurs when one is motionless in a spectator's chair. _Transito_ takes place in a house of mirrors\u2014a house that moves.\n\n### INTERIOR EXPLORATIONS\n\nThe portrait of Esther Lyons, an explorer who chose to picture herself in an interior, speaks of inner exploration as it points to the expansion of female horizons. A traveler seated across from the landscape of her own image, Lyons was a peculiar nomad. As Rosi Braidotti points out, to move away from hegemonic and dominant practices is itself a form of nomadism: \"it is the subversion of set conventions that defines the nomadic state, not the literal act of traveling.\" Esther Lyons was a woman who subverted a number of set conventions, not only because she broke the status quo of the \"fraternity\" by traveling and lecturing, but also because of the unconventional way she represented herself: as an explorer who sits still, in front of a mirror. As psychogeography, this \"reflective\" imaging conveys an expansion of space while suggesting an opening to interior space. Lyons's portrait tells us that as an immobile spectator sitting before a mirror-screen, every woman in the film theater is an \"explorer.\"\n\nLyons's reflective image projects a position that permeates the texts of the majority of women travelers and explorers. The self-portrait of \"the first white woman to cross Chilkoot Pass\" is not an isolated case of authorial exposure. It acquires a particular shade of meaning when read in conjunction with the long-ignored or marginalized literature of travel writing, recently rediscovered in studies that deal with the role of women in the (un)doing of imperial visions. As the work of Mary Louise Pratt, Sara Mills, Alison Blunt, and others has shown, travel writing offers insights into the gendered space of transculturation and raises questions about the issue of self-representation. This discourse must be carefully considered, for it exhibits the many nuances of cultural transit and gender formation. The representations generated by Lyons and other privileged Caucasian women occupied a space in the imperialist discourse marked by a set of complex relations. Participating in this discourse, they were nonetheless disruptive of its gender conventions.\n\nA microhistorical specimen in a larger epistemological paradigm, the case of Esther Lyons acts as a vehicle for exploring the cartographies of the female subject. It is uncovered to call attention to such cultural mappings and to show that\u2014on the grounds of gender and space\u2014film interacts not only with architecture, as we demonstrated earlier, but also with geography\u2014a phenomenon we have begun to address with respect to architecture. Rethinking film language as an agent in the construction and traversal of space and sexuality means aligning the moving image with other spatial practices that build the architectonics of gender. In the design of our \"cartography,\" feminist film theory shares terrain with architectural theory as well as cultural geography, whose recent interest in gender and space has reshaped traditional fields of inquiry and, with the intervention of Doreen Massey and others, has opened them to social space. A dialogue that connects these disciplinary fields is essential for expanding our understanding of gender, space, and their various configurations, of which the _geography of film_ itself is an important component.\n\n### ADVENTUROUS SUBJECTS\n\n> _The scenes and adventures of which Mrs. Morrell was a witness were highly interesting in their nature, and... will be read with pleasure especially by readers of her own sex_.\n> \n> Advertisement for Abby Jane Morrell's _Narrative of a Voyage_ , 1833\n\nWith the geography of film in mind, let us return to travel culture as a terrain for the affirmation of public and private spaces for women. A close inquiry reveals that not only did more women travel than is usually acknowledged but that, by the time of the Cook tours, women even outnumbered men. Even early on, women wrote extensively about their travels and presented in their work all the complexities of race and gender representation. The literature of the nineteenth century, however, bespeaks the difficulties of forming a female subject of discourse in the colonial world. The writing shows the struggle to acquire both a public role and a privacy of vision. Although allowed to express themselves in private forms of writing such as autobiography or diary, women were constrained by protocol that dictated what could be exposed and revealed, and how it should be done. Travel writing involved working within and against these rules. Entering the public role of traveler was not a given, especially because of restrictions that applied to forms of self-representation. The role of adventurer was not considered fully appropriate for a female, who as a writer could not refer to herself in relation to many adventurous subjects.\n\nSexuality was among such adventurous topics. Sexual language, the sexualization of topography, the gendering of landscape, and sexual readings of the act of travel itself\u2014topics that inform male travel literature\u2014are not prominent in the female writing. Sexuality had to be made an invisible topic and existed in the guise of its absence. Even for privileged Caucasian women travelers and writers, the exit from \"home\" was not a simple one, for beyond the physical act of leaving one's own home country, it was difficult to exit \"domestic\" gender conventions.\n\nThe struggle with self-representation lies at the core of many travel reports. There is an insistence on the personal and the subjective\u2014 _my_ travel, _my_ voyage, _my_ excursion\u2014in the titles and texts of women's books. This very insistence shows that self-representation was a site of tension. As B\u00e9n\u00e9dicte Monicat writes, \"while women's autobiographical writing was taboo... it appears to be the generating point of women's travel literature.... Women must not only justify the fact that they left 'the home' but also the fact that they wrote in constant relation with the fact that they are women.\"\n\nAlthough the genre necessarily implied writing from life, a woman could not let her life be seen by entirely revealing or exhibiting herself in public (writing). Positioned as it was on the threshold of the private and public realms, travel writing thus worked on self-representation through a complexity of voices, including autobiography, that reveal the hardship of self-definition. Autobiography was a difficult space, for, although the writing was dictated by very personal stories\u2014even exceptional life experiences\u2014the subjective style, too, was regulated by conventions. In order to affirm themselves as subjects of discourse, female travel writers had to transcend the subjective, however it valorized them as female subjects, and assume a scientific mode of discourse. Travel writing used a mixed language that combined scientific and autobiographical discourses. Negotiated between the two positions, it was, ultimately, a hybrid language.\n\n4.3. A design to mobilize private life: Louis Vuitton, foldable traveling bed, 1878.\n\n### HYBRID SPACES\n\nReflecting further on this hybridity, we return to the cinema\u2014a hybrid language of its own. As a product of modernity, the filmic language is bound up with the particular practice in travel discourse of mixing scientific and personal registers. As an heir to travel culture, the motion picture is a spatial language which, like travel writing, intersects these diverse modes of discourse. As a travel report, the cinema is both a scientific and a philosophical tool of (self) representation. Understood as a hybrid space, the link between film and travel thus can be read as not only historical but representational. That is, the cinema is an offspring of modern travel culture in yet another way because it is discursively bound up with its hybridity.\n\nAn important aspect of this genealogical link is the architectonic component. A technology of amusement\u2014a mixed language of spectacularly wide range\u2014cinema inherits from the travel lecture the socio-cultural function of providing spectators with a psychic voyage in and through space. Architecture acts as the motor force of this imaginative flight. Not only were travel lectures illustrated by images of sites, first as lantern slides and then as movies; the sites themselves were often architecturally reconstructed to be experienced in spatial form by the audience. This, for instance, is how Albert Smith set up his panorama lectures at the London Museum, which was built in Egyptian style and thus known as the Egyptian Hall. From 1852 to 1858, Smith presented his version of \"The Ascent of Mont Blanc\" as a real mise-en-sc\u00e8ne, where spectators were introduced to the panorama in a simulated Swiss space. The interior was transformed into an exterior for the pleasure of the public-traveler. The room was converted into a plot of Swiss land featuring an Alpine lake and flowers and such architectural embodiment of the Swiss national culture as a chalet. The lecturer entered the simulated room from a door of the chalet and began his performance by addressing the large number of women and men who had come to be \"transported\" by the show. It was cinema before the movies. It comes as no surprise that the Egyptian Hall became a film theater in 1896. By the same traveling architectural logic, movie palaces would later incorporate the architectonics of voyage into their \"atmospheric\" design, creating a panoply of geographic sites, making interiors shaped as exteriors, becoming an elsewhere now here. As it followed the traveling track from museum-going to travel lecture to film, the public experienced a moving architecture. The exhibition space, which housed several forms of traveling curiosities, gave way to another geopsychic architecture of travel in the hybrid space of the movie \"house\"\u2014a house that _moved_.\n\n### HYBRID SUBJECTS\n\nThe hybrid, spatial form of writing shared by film and travel reveals interesting correlations when viewed from the perspective of the female subject and her spatial curiosity. Sightseeing is a critical point of friction in travel culture, where\u2014just as in the cinema\u2014sight is inextricably linked to a practice of space and a definition of gender. In male travel rhetoric, the drive for spatial knowledge is expressed, in general, through the power of the look and often implies possession. The product of an all-encompassing eye, sightseeing is perceived as a male activity, despite the historical participation of women. As we have seen in women's travel writing, sightseeing for the female involved a struggle to \"look\" differently. As a difficult space of gender negotiation, it concerned both the expression of female curiosity and the form of its object: that is, the shape of the space traversed by the traveler. Women who wrote early on about sightseeing often exercised self-censorship in treating the powers and pleasures of this activity. They seemed to know that, no matter how far they had gone, they should not be caught looking. The enjoyment of connecting spatial practice with one's own viewpoint thus became the very \"conquest\" of women's travel.\n\nThis paradigm is interestingly echoed in that other form of transcultural imaging and spatiality, the motion picture. In film as in travel discourse, gazing into space is a pleasure and power that implies negotiating gender boundaries. Ultimately, cinematic language and spectatorship show similar tensions around the representation and gendering of site-seeing. One aspect of this link concerns the gender politics of cultural location. Like the cinema, the travel genre, as we have noted, is located at the intersection of the private and public realms. Historically, travel gave many women the opportunity to assume a public role through the publication of their private letters, diaries, and memoirs. The genre, even when approached by professional writers, always shows a mixture of intimate and public languages. Like the language of film, it allows for the exploration\u2014and the \"exhibition\"\u2014of private emotions and subjective viewpoints while positioning itself fully in the public arena.\n\nThis was true for North-American women, a number of whom were given an opportunity to escape their domesticity and enter public space through travel and writing, a role they may not have been able to occupy otherwise. About two hundred travel books by American women were published before 1900, the majority of which offered accounts of travel to Europe. These opportunities were open mostly to affluent Caucasian women but were extremely limited for African-Americans, for whom domesticity was still strongly equated with serving as a \"domestic\" and for whom travel, given their distinct diasporic history, bore different connotations. Breaking out of the domestic horizon to enjoy public circulation was the product of a complex historical trajectory, which involved liberating travel itself from its own chains.\n\nTo the relatively small number of privileged Caucasian women involved in travel, one must add the growing female reading public. Women who could not travel craved the kind of freedom it represented and attempted to get it vicariously. It is reported that in the late 1840s, fifteen per cent of the books charged out to women from the New York Society Library were on travel. For the female subject, the struggle to map herself into the space of public circulation was not only a question of authorship but of readership. As an issue of reception, the struggle involved traveling the sphere of consumption and participating in commodity circulation. Again, it was a matter of consuming\u2014that is, absorbing\u2014(travel) imaging.\n\nAnticipating the film public, the reading public was made up of female travelers at home. On the eve of the invention of cinema, consuming travel writing and attending travel lectures offered women the pleasure of movement while seated motionless in a chair. These practices proleptically created the spectatorial chair of the film theater\u2014a position from which female viewers traveled geopsychically. As much as shopping and urban _fl\u00e2nerie_ , reading travel books, attending travel lectures, and, ultimately, going to the cinema progressively mobilized women still confined to the domestic sphere. This geography, although marked by open doors, was not, however, an open space: as we have shown, the anxiety of self-definition and self-inscription was written in many ways in women's voyages.\n\n### _MY_ VOYAGE\n\nAgainst this background, we can read further into the picture that Esther Lyons, our \"lady traveler\" and travel lecturer, published in her book of photographs. Lyons's self-portrait must be understood in the context of the gender, class, and racial tensions that accrued to the experience of mobility; that is, vis-\u00e0-vis the various tensions exhibited in travel discourse around the idea of female self-definition in transculturation. Her self-portrait makes a statement by revealing subjectivity and \"femininity\" and by juxtaposing this style of self-representation with a much more neutral, objective, style of photographing the land. The series of photographed landscapes that follow her self-portrait impart a decidedly distanced outlook. The pictures are almost always constructed as long shots of the land and are devoid of people. In contrast to the subjective viewpoint of her self-portrait, the landscapes aspire to a plain, \"scientific\" matter-of-factness. The spatiovisual sequence of images causes Lyons's close-up to stand out in relief. This was _her_ voyage.\n\nLyons's text is edited according to that hybrid mix of scientific and autobiographical registers which engineers, in travel culture, the potential for the subjective affirmation of the female subject. She does not feminize the land, as many male writers did, but hyper-feminizes herself in order to become the subject and author of a voyage into space. Lyons was privileged enough to be able to break a few societal rules by being an explorer and a lecturer, but, most of all, she broke the rules of decency that forbade a woman to be the author of her own self-portrait. She put herself in the picture\u2014and remained the only character of the story.\n\n### FASHIONS OF THE FLESH\n\nBy putting herself into the picture, Lyons had already touched on an adventurous subject. She further transgressed by revealing too much of herself, and too much of her body. Sexuality, the taboo discourse, is written in her self-representation. The self reflected in the mirror is an eroticized body. Quite a peculiar way to show herself in action and portray herself in the field. What exactly, one wonders, is her field? Pleasure is what first comes to mind as one surveys her carnal display.\n\nLyons's pose\u2014her set-up\u2014reveals a painterly \"touch.\" The explorer of the interior enters the lush art historical terrain of women's portraiture. Her image is inscribed in a long iconographic tradition in which women are shown in their interiors, leisurely making themselves up. Think of the erotics that seep through the nude portrait with a cape executed by the School of Fontainebleau in its portrayal of a _Lady at Her Toilette_ (c. 1550). She returns a mirror image of herself as she makes herself up, fingering ornaments. A draped nude also faces the mirror that constructs her image in Giovanni Bellini's _Young Woman at Her Toilet_ (1515). Lyons, the explorer, joins the many eroticized portraits of women doing their _toilette_ and furthering their touch in the cosmetics of self-imaging.\n\nThe ambiance reads \"dressing room.\" A decorated mirror and an ornate chair make up the set. Fashion and cosmetics are positively claimed as part of Lyons's image as world traveler. As she makes herself up, her body leans forward, accentuating the shape of her corseted figure. She wears a dress wrapped tightly around her. Her cleavage is adorned by a plumed d\u00e9colletage. A feathered shawl lies on the carpet and lush textiles hang from the chair.\n\nThis dressing up is not exactly the image of geographical discovery one might expect in the portrait of an explorer\u2014here, also, the book's author. It is an unconventionally \"fashionable\" authorial gesture that aligns Esther Lyons with the many other women for whom the possession of representational territories, including one's own image, was at stake. Like the makeup Lyons shows herself applying, this is the authorial \"touch\" by which the woman leaves her mark. She leaves her imprint on the landscape of the book and, with a touch of gender, pictures herself in.\n\n### PENETRATING THE INTERIOR\n\nThe eroticized self-portrait is accompanied by a caption that \"illustrates\" the picture. This, we are told, is \"Miss Esther Lyons, an American girl, the first white woman to cross the Chilkoot Pass and penetrate the Interior of Alaska.\" The caption clearly illuminates the interplay of racial and gender issues as an important component in the discourse of exploration. \"Miss\" Lyons is first of all defined as a single woman, and the sexual identity of the explorer is linked with national and racial traits. Although the body in the picture clearly reads Caucasian and female, the language of the caption doubles the message of the iconic sign. Sexual and racial codes work together in making the narrative of exploration, since the act of territorial exploration is sexually connoted: the ground is \"penetrated\" and furthermore described as an \"interior.\" The words express the violence of the act of \"discovery\" in sexual terms and describe the subject\/object of the act in racial terms. Although the pictures she compiled of Alaska do not sexualize the land, the caption Lyons uses to describe herself feminizes the region and thus participates in a fashion of travel discourse that inscribes codes of domination into the power relations between the sexes. Here, however, the subject of this genital sexualization, which is usually male, is female. This raises questions. Is Lyons masquerading as a male subject? Is she \"performing\" gender, assuming the role of transvestite? Or is she, a woman, describing the object of the conquest as a female body; that is, depicting the land as if it were her own body\u2014a penetrable interior. Was this interior desired, possessed, violated? Or was it holding, enveloping, embracing? However we read this socio-sexual narrative in the interplay of subject\/object identification, the problem of self-definition remains. Another anxiety of authorship is revealed, from this perspective, in Lyons's compilation of _her_ views. Miss Lyons, as the first woman to explore Alaska, does not know how to describe this act in her own way, in a register other than the dominant, white, heterosexual language of colonial discourse. As her self-portrait makes clear, she needed to discover something else along with the land she traversed. There was a _terra incognita_ to be remapped with different racial and sexual codes. Perhaps this is why she turned to her interior for her own exploration.\n\nAlthough Miss Lyons, as most Caucasian women travelers, appears to speak the language of the male traveler, it does not bear the implications of the language of her male counterparts. Discovery for the female traveler, who struggled to assert herself on the margins of imperial culture, was not necessarily an act of conquest; or, rather, it implied a different idea of conquering. As Mary Louise Pratt puts it: \"If the man's job was to collect and possess everything else, these women travelers sought first and foremost to collect and possess themselves.\" Our sexy female voyager represents herself looking into the mirror, gazing into space, in the act of conquering no other territory but her own (image). She is traveling a seductive and complex terrain: the map of her own face and body.\n\n4.4. Travel fashions: a modern _voyageuse_ \"ready-made\" for air travel.\n\n### TRAVEL FASHIONS\n\nIt is important to stress that this form of travel and conquest occurs by way of fashion and cosmetics. Mastering the territory of one's body is an actual act of exploration and includes playing with the skin's texture. Ultimately, this is the view designated by Lyons's own cosmetic map and framed in her picture. Her signature self-portrait, her \"touch,\" opens a haptic view: making oneself over is a palpable gesture; applying makeup is a matter of an extended painterly touch. Cosmetics is a tactile refiguring, part of the haptic picturing that Lyons's brush paints, inviting us to explore this picturing further in terms of fashion.\n\nApparel, itself a haptic image, works as a mobile frame and plays the surface\u2014the edge of one's interior and exterior\u2014in the picturing of self. As Georg Simmel wrote in 1904 at the onset of film: \"Fashion... is a product of class distinction and operates... just as the frame of a picture [which] characterizes the work of art inwardly... and at the same time outwardly.\" For Simmel, \"the power of the moving form which fashion lives... may be compared with the unequal relation that the objects of external perception bear to the possibility of being transformed into works of art.\" Fashion, like motion pictures, lives on the power of the moving form and \"depends upon the loss of sensibility to nervous incitements.\" Fashion works, as film does, to frame and map the appearance of the body, redefining its sensibility and energetic borders.\n\nSartorial views encompass a range of functions, from picturing class to framing gender. In this respect, fashion plays a particularly important role in women's history. Outlining this situation against the landscape of modernity, Simmel wrote that \"the history of woman in the outer as well as inner life, individually as well as collectively... [shows] that she requires a more lively activity at least in the sphere of fashion, in order to add an attraction to herself and her life for her own feeling.\" Simmel's overall view offers us a suggestive starting point for rethinking fashion in the realm of _emotion_. His assertions, however, stop short, for he affirms the emotional, liminal power of fashion but ultimately locks it into a form of compensation. In contrast to this notion of compensation, fashion, as Roland Barthes has insisted, might be more productively considered as a cultural affair and thus as a terrain for negotiation and a shift in socio-sexual roles. It involves the making of style, for, as Elizabeth Wilson and others have demonstrated, fashion plays a role in redefining the social sphere, city life, popular culture, and gender performance. Furthermore, fashion contains its own cultural history: as a form of representation, it is close to art for its conscious concern with the personal, physical habits and social processes of its time.\n\nCinema plays a crucial role as agent in this scenography, beyond the mere observation that fashion is used in film. The sartorial performance that engages fashion and cinema, however, is a terrain that has received little scholarly attention, although Jane Gaines and others have made headway by looking at the fabrication of costumes and the female body. Moving beyond the level of film costume to explore further the interaction between fashion and cinema, it is significant to note that the Latin root of fashion\u2014 _factio_ \u2014refers to the act of making. The intersection of film-\"making\" with this other form of making informs the concept of the \"fashioning\" of space, as well as the psychogeographic routes that are built and traversed in the construction of site-seeing.\n\nIn the making of space, _factio_ joins up with the discourse of architecture. Investigating the relationship between fashion and architecture, Mary McLeod points out that, \"as the history of fashion and modern architecture reveals, appearances _are_ profoundly important to both modernity and gender.\" Mark Wigley argues that modern architecture is tied to fashion in its very constituent elements, as he shows how the mid-nineteenth century theories of Gottfried Semper, who conceived of the wall as cloth, filtered into modern architecture's transformation of the status of the surface. Speaking of modern architecture as dress design, Wigley claims that \"architecture literally clothes the body politic.... The social subject, like the body with which it is associated, is a production of decorative surface.\" Fashion ties architecture to the body metonymically, since clothing lies between the body and building. It informs architecture, for architecture itself is dressed, designed, and engaged with ornament and the lack thereof to such an extent that, in modern times, it has become an art of clothing. On the threshold of interior and exterior, fashion and architecture\u2014and we can add, cinema\u2014make private and social space, reversibly fashioning the body.\n\nIn order to advance this relation of _factio_ to filmic \"making\" and to pursue cinematic texture as a _fabrication_ , it is vital to consider that fashion is an agent in the developing history of visual culture, of which modern architecture itself is an essential component. \"If following Semper, to occupy a building is to wear it, then to wear a modern building is to wear a new set of eyes.\" It is in this respect that fashion and architecture intersect with the cinema, for they are all engaged in the making of visual space, which involves a new habitation of the self. Fashion, itself a sequential production of images like the cinema, should be thought of as a movement. Sharing the fabric of the filmic moving image, the fashion image is an imaginative construct that documents a material historicity. As such, it moves along with its subject (as well as that subject's picturing), traversing history and relocating geography. Fashion is motion. Perceived as a passing trend, it is indeed a fleeting image\u2014a screen. In all its manifestations as passage, design approaches the terrain of the moving image. Insofar as it is a cultural movement, fashion partakes in the (e)motion that constructs and circulates the moving image and its geopsychic space. Sartorial views move as, and in relation to, traveling images\u2014 _emotion_ pictures.\n\n4.5. Women shop for a mobile \"container\" for their image at the Wanamaker Department Store in fin-de-si\u00e8cle New York.\n\nIn the age of modernity, as motion came to define modern life, the female public's interest in fashion propelled interconnected trends of socio-sexual movement. Esther Lyons was not alone in her concern with appearance; that is, with the surface of the skin. Women in the age of modernity\u2014the age of travel\u2014ventured into department stores as much as they sought travel adventures and, eventually, the moving image, whose appearance is the very skin of events. On the way to becoming authors of their own image, women attended travel lectures and consumed a number of other precinematic spectacles, which are explored in subsequent chapters. Engravings that depict the audiences of these predecessors to film, which include magic lanterns, phantasmagorias, and other \"geovisual\" spectacles, always show a public of women fascinated\u2014absorbed\u2014by the elusive surface.\n\nIn women's travel discourse, travel and fashion are intimately connected. Like the cinema, they are ways of absorbing, or incorporating, culture as an imaginative, moving place. Many women writers were particularly inclined to visualize the spaces that surrounded them, giving attention to the interior as well as the exterior. Traveling in their writing through cultural difference often meant \"fashioning\" a localized knowledge. This included observing local habits, taking in the architectural interiors and sartorial customs of the place, and \"picturing\" it in their writing. Female curiosity induced the voyager to take particular notice of the different fashions in vogue in the countries she visited and to comment on them as important signs of difference, surface evidence of cultural diversity. Social and ethnic difference is a complex negotiation of gender, written (designed) on the body of fashion.\n\nThis was the case for Lady Mary Wortley Montagu (1689\u20131762), a poet who befriended Joseph Addison and Alexander Pope, well-known figures in the emerging picturesque imagination who shaped its aesthetic definition. Traveling to Constantinople for leisure, Montagu wrote in distinctively visual terms about her transgression of wearing Turkish robes, playing out by way of fashion a fantasy about achieving more sexual and class freedom. In 1717, she pictured her sartorial gender performance to her sister, to whom she wrote of travel writing itself as a way of picturing. As she put it, \"I intend to send you my picture; in the meantime accept of it here.\" This is how she describes the Turkish attire she wished to adopt:\n\n_You may guess how effectively this disguises them, that there is no distinguishing the great lady from her slave, and 'tis impossible for the most jealous husband to know his wife when he meets her, and no man dare either to touch or follow a woman in the street_.\n\n_This perpetual masquerade gives them entire liberty of following their inclinations without danger of discovery._\n\nMultiple \"projections\" of masquerade shaped the travel writing of this _voyageuse_ , possibly the first woman to travel out of simple curiosity. In an album of views and a transgressive sartorial performance, a new self was being \"fashioned.\"\n\nIn travel discourse, commentary on fashion was attentive to the (dis)placement of attire. In this sense, travel costumes, and the trunks used to house and transport them, became a great concern for the _voyageuse_. By the nineteenth-century, travel and fashion had joined in fabricating the new ways of modern women. Like the trunks that contain them, clothes work by way of continual absorption. They contain images and the imagistic potential for circulation and transformation\u2014that is, for traveling. As they began to engage in the practice of travel, women confronted the makings of a new, transient subjectivity, one that needed a new form, shape, and \"container.\"\n\nAn interesting commentary on this subject is found in the writings of Elizabeth Cochrane Seaman, better known as Nellie Bly. A woman who incarnated modernity's interest in speed (she went around the world in 1889 to challenge the speed record set by Jules Verne's fiction), Nellie Bly opens her book by addressing the subject of travel fashions. She devotes the first chapter to the challenge of dressing, providing an account of her shopping activities, her search for dressmakers who would understand her traveling needs, and the packing of her suitcase. She discusses in detail the anxiety involved in making up a minimal yet all-encompassing bag. A number of sartorial concerns follow in the book as Bly provides us with an extensive observation of the fashions and makeup customs of the cultures she encounters en route. More than anything, Bly is interested in fashioning a new cultural cosmetics. She ends up going around the world in one dress, showing us how the modern woman's new, mobile identity is to be differently fit and suited\u2014fashionably self-designed.\n\n4.6. Fashioning space: Nellie Bly \"suited\" for an around-the-world tour in 1889, with one dress and a compact suitcase.\n\nLike a physiognomy, with its corporeal play of surface (in)visibility, the fashioning of body space has its transformative coding, which articulates a language of gender, class, and race. Adorning one's body has traditionally been the terrain of gender and socio-ethnic transformation; that is, it is both a display area and a traveling site in the negotiation for possession and control of one's own body image and its shifting grounds. The turn of the century gave a new twist to this interplay as women \"fashioned\" their own views. Fashion played a crucial role in modernity, for, among other forms of spatiocorporeal absorption and ways of representational attraction (such as the cinema), it enabled women to enter the modern age; modernity, via fashion and its own site-seeing, transformed cultural mapping. A new road was traveled by modern women, who fashioned modern spaces. Like the shopper, the female traveler participated in this voyage\u2014modernity's redefinition of female subjectivity. What Simmel called \"the power of the moving form upon which fashion lives\" is female-driven. From the sartorial viewpoint, modernity\u2014the site of moving images\u2014was a \"girls' town.\"\n\n### HER COSMETICS\n\nThis is the view expressed by the filmmaker Maya Deren, whose forward views on fashion, film, and modernity represent an important stepping stone in the advancement of a theory of fashion and film. Deren wrote an unpublished text on the subject of fashion that reveals an early interest in dressing as a way of rendering different fashionings of space. Entitled \"Psychology of Fashion,\" the text was written in response to an exhibition on the history of fashion that took place at the Museum of Modern Art in New York in 1945. The show was the work of the architect Bernard Rudofsky and was interestingly titled \"Are Clothes Modern?\" Deren, who still looks contemporary when she casts her own act of dressing onto the screen, wrote about the modernity of clothes in relation to modern space. She was particularly concerned with women's ways of addressing dress, anticipating a feminist interest in fashion.\n\nAs it relates to the interaction of fashion and modern art, Deren's report coincides with art historian Anne Hollander's recent assessment of clothes in the history of art. Hollander sees clothes \"as a form of self-perpetrating visual fiction, like figurative art itself... as connected links in a creative tradition of image-making.\" She believes that \"dressing is an act usually undertaken with reference to pictures\u2014mental pictures, which are personally edited versions of actual ones... because... art monitors the perception of clothing, and in a sense it may produce changes in the mode.\" Concerned with mental picturing and portraying dressing as picture-making, Deren's writings are inscribed in the history of female fashioning which, as we have shown, was produced along with urban and travel imaging. For Deren, the laboratory of fashion and modernity go hand in hand to the extent that both represent mental landscapes. Her filmic writing continues the fashion concerns of the modern _voyageuse_ , who needed to equip herself with all the accoutrements necessary to chart her new map of subjectivity and to lug it around. As Deren herself put it, among the options for picturing the self, a \"woman wishes to express, in the line of her clothes, a sense of speed and mobility.\"\n\n4.7. The well-traveled suitcase packed with memories, as exhibited in the Sala Femenina of the \"Sentimental Museum\" of Frederic Mar\u00e8s, Barcelona.\n\nOne particular aspect of this predicament underscores our attempt to map the modern interplay of female subjectivity, fashion, and space. Deren understood this movement to be an _emotion_. \"The most important role of fashion is in relation to a woman's _individual psychology_ ,\" she claimed. \"First of all, a woman's clothes serve as an outlet for her creative energies. Secondly, she uses those energies to create, in reality, some image she has of herself; a method of projection of her inner attitudes... a kind of expressionism.\" Deren was sensitive to the liminality that links attire to affective apparel, making fashion part of its landscape. Fashion resides within the reversible continuity that, rather than separating, provides a breathing membrane\u2014that is to say, a skin\u2014to the world.\n\nTurning one last time to Esther Lyons's alluring self-portrait, we see that it was a surface show of her own \"makeup.\" Photography marked the first instance in history in which such a cosmetics of the self, which includes the scene of the _toilette_ , could actually be reproduced. Film showed a map of the skin in motion and mobilized the view. Like precinema, early film was attracted to the face and the facade of things. This type of surface-view was imprinted in the locomotion-driven work of Muybridge and Marey, as well as in Georges M\u00e9li\u00e8s's corporeal explorations, which included the self-portrait. In a film still, M\u00e9li\u00e8s appears simultaneously as himself and as his own mirror image\u2014framed as a painting\u2014suggesting that the power of film involved seeing oneself in multiple exterior projections in movement.\n\nEsther Lyons offered us such a traveling view. Her eroticized self-portrait was indeed a provocative way to open a book of travel images. The sensualized fabrication of this woman traveler set the tone for the book's own voyage, \"fashioning\" an erotics of spatiocorporeal (self) exploration. To the extent that spatial movement involves an erotics, desire is in fact a means of \"transport.\" Moving through the haptic territory of Lyons's _toilette_ , we will continue our exploration in her traveling fashion.\n\n## **GEOGRAPHY**\n\n5.1. Interior view of the collection of Athanasius Kircher, as shown on the frontispiece of _Romani Collegii Societatis Jesu Musaeum Celeberrimum_ , 1678.\n\n## **5 The Architecture of the Interior**\n\n> _I have just completed a forty-two-day voyage around my room_. _The fascinating observations I made and the endless pleasures I experienced along the way made me wish to share my travels with the public.... Be so good as to accompany me on my voyage.... When traveling in my room, [I] rarely follow a straight line_.\n> \n> Xavier de Maistre, _Voyage around My Room_\n\nA cabinet of curiosity. A viewing box. Journeys in a box. Pandora's box. Two or three things I know about \"her.\" Female curiosity. Traveling \"matters.\" _Emotional_ topographies.\n\nWe are in the Sala Femenina, the ladies' chamber, of the Museu Mar\u00e8s in Barcelona. A passionate traveler and collector, the sculptor Frederic Mar\u00e8s (1893\u20131991) assembled an astonishing and curious collection of memorabilia. He aptly named this space the \"Sentimental Museum.\" Reminding us that a collection offers recollection, the name speaks of the journey offered by Mar\u00e8s's personal museum: the visitor experiences the spectacle of things that carry no value other than emotional power\u2014objects transformed into narratives by way of _emotion_. In the Sentimental Museum we find ourselves on a \"sentimental journey\" of the kind encountered, at the outbreak of modernity, in Xavier de Maistre's _Voyage around My Room_ (1794).\n\nThe Museu Mar\u00e8s is a museum of private life that offers a tour of lived space. Although assembled during the twentieth century, the collection is set in the past and organized according to older models. To enter the space of the Sentimental Museum is to travel back to, and within, eighteenth- and nineteenth-century interiors and to wander in the stories they tell\u2014tales of the room. For his melancholic museum, Mar\u00e8s collected only the seemingly banal, ephemeral apparel of daily life. The rarities of this collection are ordinary objects: objects cherished and touched by hands no longer living; used things that have no more use; belongings that no longer belong. When such contents are simply frozen, arrested in time, a museum can become a mausoleum. Here, we can take hold of time and experience it as in the work of mourning.\n\nThe Sentimental Museum offers history as a personal story, memory as memoir. When a collection promises recollection, as Susan Stewart notes, \"the arrested life of the displayed collection finds its unity in memory and narrative.... The inanimate comes to life in the service of the awakened dead.\" The objects in the Sentimental Museum, assembled with obsessive care and endless yet minimal variation, animate such private narratives. A series of items made of hair exemplifies the morbid fetishism of the collection. Displayed in vitrines that once housed anthropological, ethnographic, scientific, and natural history specimens are, among other things: an infinite variety of containers (from snuff-boxes to jewel boxes), traveling tickets, fashion accessories, menus, ornaments, birth and marriage announcements, bills of exchange, labels, tags, advertising, emblems, shrines, _ex-votos_ , souvenirs, keys, umbrellas, canes, pipes, buttons, embroideries, scissors, sewing machines, measuring devices, watches and clocks, eye glasses, lenses, binoculars, daguerreotypes, photographs, and picture postcards. In this display, most reminiscent of anatomical vitrines, the Sentimental Museum maps the topography of the everyday.\n\nSuch a geography, conceived in the shape of a journey around one's room, is inextricably bound to sexuality. Thus the Sala Femenina opens with a massive display of fans, wonderfully decorated with panoramic scenes, cityscapes, picturesque gardens, and landscapes. Beyond making breezes for the ladies, the fan may have had another imaginary function. As one opened it, the depicted panorama\u2014often painted as a succession of views\u2014unfolded. Its motion told the story of a moving site. The fan, one can imagine, was the everyday version of a _veduta_ in motion\u2014a mobilized view painting. A prepanoramic device, the fan was the ladies' own private cinema. It even displayed a striking resemblance to the phenakistiscope, a nineteenth-century prefilmic device that ladies could hold in their hands and manipulate by rotating a disk, causing figures of decomposed movement to appear in continuous motion.\n\nIndeed, the Sala Femenina itself moves, and in many ways. After traveling through its realm of the everyday, we reach an apt conclusion to the journey around female space: a suitcase. Mar\u00e8s, who had obsessively arranged all the objects in his museum, wanted this suitcase to be placed in the \"Female Room\" and not, interestingly enough, in the \"Gentleman's Chamber.\" The bag turns out to be Mar\u00e8s's own. Whatever the motives for his gesture, the suitcase creates its own spectatorial itinerary, associating journey with feminine space. It reads to the visitor as a gift to female curiosity, a widening of female horizons\u2014an opening toward a different way of looking at gender and space.\n\nThe suitcase, an object of travel, is a collection of memories, like the room itself. Adorned with stamps of hotels and decorated with views of the cities visited, the suitcase tells the story of the traveler. Mar\u00e8s traveled extensively throughout Europe. He also went to the United States, Japan, and Egypt. The mapping of city views on his suitcase reveals that his epistemological models date back to the grand tour and the romantic journey, both of which had regarded Italy as a must-see. He seemed to like the \"Voyage in Italy\" and visited Naples, the last stop on the grand tour, at least three times.\n\nDuring his travels, Mar\u00e8s collected the objects that are assembled in the Sala de les Diversions, the amusement room. This is the last room of the Sentimental Museum, the grand finale and a site of spectatorial pleasures that comes as a natural extension to the traveling pleasures of the interiors. It is not surprising to discover that Mar\u00e8s collected a number of precinematic devices. His Sentimental Museum\u2014a space for emotion\u2014tells the fiction of the real in its journey through lived space. In this scene, the motion picture easily finds its own space.\n\nThe archaeology of cinema not only is made an integral part of the Sentimental Museum but is mapped in an interesting, \"curious\" way. Mar\u00e8s's curiosity cabinet does more than just display the optical devices and apparatuses that led to the invention of the cinema. As elsewhere in the Sentimental Museum, taxonomy speaks transversely. The spatial arrangement of the objects\u2014a sequence reinvented by the viewer's own associative walk\u2014is particularly significant, for it creates the particular geography that constituted the birth of the cinema. Let us walk through this Spectacle Room. A mechanical doll, whose motion lures us into entering the space, welcomes us to the world of spectacles. We walk upstairs and leisurely enter the room of leisure. First we encounter a series of precinematic apparatuses: kaleidoscopes, magic lanterns, stereoscopes, and projectors. Next to these are three bicycles and, in the background, an entire array of mechanical dolls. A \"curious\" display, indeed. What, one wonders, links the cinema to a traveling vehicle and the automaton?\n\nOur answer might be that by way of this spatial mapping, whose connecting thread is the spectacle of motion, essential aspects of filmic topography are displayed. The exhibition presents objects of leisure propelled by movement, suggesting that the optical devices that preceded \"motion\" pictures were, in many ways, traveling spectacles. Indeed, they were shown by traveling exhibitors in public spaces, and they were vehicles through which people vicariously traveled. Hence the moving image\u2014a vehicle of travel\u2014encountered the bicycle.\n\nBut what of the mechanical doll? Why is the automaton there, between the bicycle and the cinema? The automaton is a mechanistic being, an aesthetic, ludic object that contains its own principle of motion. Film is close to such an object, for it, too, is an aesthetic and scientific toy whose seductive imaging contains its own principle of motion. Such motion analyzes and dissects bodily movement. A mechanical double for travel, the cinema exhibits the mechanics of the body. It is the home of a body-machine whose mechanized motion reproduces sensory emotions. The film body scans (imaginary) space and psychogeographies. As a body-double mechanism, it is the twentieth-century incarnation of the android, imaged and transformed by the age of mechanical reproduction. Film is a contemporary automaton, whose roots extend, like the displays of the Sentimental Museum, far back in time. Let us travel back into this moving, lived space.\n\n### \"SHOOTING\" ALONG HISTORY\n\n> _Simulacra move_.\n> \n> Lucretius\n\nIn order to get to the root of the spatial curiosity that gave rise to the cinema, one must move, following the suggestion of Mar\u00e8s's Sentimental Museum, backward in time. Space travel is time travel. Retracing cinema's own traveling \"affect,\" we will search for itinerant ways of mapping and consuming space before and beyond \"panoramic vision\" and investigate the very archaeology of film. This is an area of growing historiographic attention. The informative work of Laurent Mannoni in France, David Robinson in Great Britain, Donata Pesenti Campagnoni and Gian Piero Brunetta in Italy, and others has begun to fill in the many gaps surrounding the technological birth of the cinema. A variety of interpretations and methods emerge. Attentive to popular culture, for example, Brunetta sees cinema as having emerged from the intersection of modes of vision with the ritual forms and magic of popular spectacle, whose history he retraces. The number of routes open for inquiry shows that film archaeology engages, but also precedes, the advent of nineteenth-century photographic spectacles. Thus, for example, as Lisa Cartwright, Linda Williams, Mary Ann Doane, and others show, the scientific, medical gaze that analyzed the body in motion shaped the very grounds of the \"film body\" and its appearance on the experimental scene that included Muybridge and Marey. Not only a history of the invention of machines and apparatuses, to which it is sometimes reduced, the archaeology of cinema must be considered an \"archaeology of knowledge\"\u2014a social practice of cognition written, in many ways, on the body and its (e)motions. A site that relates to other cultural sites in the transformation of social subjects, the archaeology of cinema is an epistemological field, a varied geography of _savoirs_ \u2014an actual terrain of exploration.\n\n5.2. The Anatomical Theater in Bologna, 1638\u201349 (reconstructed), with a statue by Ercole Lelli of the Spellati (\"flayed figures\"), 1735.\n\n### A GEOGRAPHY OF FILMIC ARCHAEOLOGY\n\nIn addition to nineteenth-century geographies, which included dioramic and panoramic viewing as well as the corporeal spectacle of wax museums and architectures of transit such as rail travel and arcades (which, as mentioned, are essential components of film's genealogy), other spaces of exploration prepared the terrain for the invention of the cinema. The protocinematic arena came into existence in conjunction with and even before mechanical reproduction became involved in actual precinematic experimentation. If the history of precinema partakes of the field defined by Jonathan Crary as \"techniques of the observer\" it is because it involves an array of perceptual and spatial expansions. This is a shifting field, marked by the development of various machines of the visible, including the camera obscura and the magic lantern, anamorphosis, the baroque theater of illusion, shadow plays, viewing boxes, optical views, and, particularly, _spaces for viewing_ that constitute apparatuses of site-seeing and transport. As exemplified by anamorphic frescoes, where the optical game was played by a mobile spectator, the mobilization of space took place through a series of _\"translations\"_ leading up to the \"motion\" picture. As Gilles Deleuze, commenting on the prehistory of cinema, put it: \"one might conceive of a series of means of translation (train, car, aeroplane...) and, in parallel, a series of means of expression (diagram, photo, cinema),\" whereby the cinema, from its very origin, appears to be an engine of the movements of translation. Surveying selected aspects of this _transito_ of \"translations\" in the complex field of precinematic expression, I will limit myself to those that foreground the particular (pre)filmic area I am engaged in exploring\u2014the atlas of (e)motion\u2014focusing here on the geography of site and of the body, and their relations, in the making of an architecture of the interior. For film archaeology inhabits a particular site of knowledge: the making of socio-cultural space, which includes the emotions.\n\nThis exploration into cultural genealogies thus travels backward beyond the origins of modernity\u2014the very outbreak that made the cinema. As art historian Yve-Alain Bois has shown, the \"rupture of modernity\" can be said to have occurred in the late eighteenth century, earlier than conventionally assumed, although not as far back as the architectural scholar Manfredo Tafuri would have it: in the fifteenth century, a time that, for us, launches early modernity. Investigating the roots of the modern scene that became the cinema, one might venture well beyond the nineteenth century to explore a shift in the production of space that came into effect in the eighteenth century, and even venture back to early modernity. But first, let us retrace our steps and search for protofilmic clues by rewinding all the way back to the archaeology of no-place\u2014the utopia of film.\n\n### DREAMING FILM DREAMS\n\n\"Every epoch dreams its successor\" and leaves utopian traces behind. On this phantasmatic trail, protofilmic narratives can be found in existence even centuries before the actual birth of the cinema. In fact, filmic utopias have been traced all the way back to Plato's cave. The scene of the cave as a prefiguration, even a simulacrum, of filmic perception shaped the theoretical terrain of cinema studies, especially guiding film theory's interest in the cinematic apparatus. However, if the association of Plato's cave with cinema's origins rendered visible important aspects of the filmic scene, it also ended up obscuring other areas of protocinematic figuration as it constructed a model for film spectatorship that was centered on mastery and fixity of the gaze. Looking elsewhere for the founding myth of cinema means looking differently: \"spacing\" a different spectatorial model, opening other paths of research, and highlighting different aspects of the language of cinema. Traveling back through the origins of film, we mean to design a different imaginary scene\u2014a site in which spectatorial voyages take place, a \"set\" of multiple inhabitations.\n\nAs a trace left by the future, the myth of cinema has perhaps traversed the entire history of culture. One finds retrospective traces, for example, in the ancient Eastern shadow theater and in the activity of viewing Japanese scroll paintings, whose oldest models date from the eighth century. Especially developed during the middle ages, they continued to be produced for centuries. The scroll was originally developed by the Chinese as a panoramic view of landscape and was adapted by the Japanese, who used the panoramic figuration to depict human nature and construct pictorial narratives. The Japanese scroll is a form of narrative painting that, much more than illuminated manuscripts, presents a \"cinematic\" technique of figuring narrative space. The format of the scroll physically resembles the unfolding strip of pictures in a film. The paintings are usually ten to fifteen inches high and up to thirty or more feet in length. In the first scroll paintings, the primary character was drawn in the picture more than once, appearing again and again over the course of the episodic development of the narrative. Further accentuating the filmic analogy, the images in the paintings were accompanied by a text. The image was always to be read in conjunction with a linguistic element, even in later scroll paintings, which used a format that alternated sections for pictures and written texts. These texts function like intertitles in film, illustrating and furthering the visual narration. The narrative of the scroll paintings quite literally unravels as the viewer peruses images that move horizontally and sequentially. Like filmic language, especially when it adopts continuity editing to stress the flow of images, the illusion is that of a continuous design that provides the sense of a spatiotemporal stream. According to one historical account, \"the composition flows with such ease that we hurry to reach the next denouement.\" The filmic potential of the scroll to scan past and future while viewing the present has fascinated the filmmaker Peter Greenaway, who has suggested that \"maybe we should re-invent the cinema as a scroll.\" Maybe we should also reinvent film theory on this \"reel.\"\n\n### PROTOFILMIC MAPPINGS OF (E) MOTION\n\nIn the realm of Western representation, much has been made of film's inheritance of dominant visual codes, especially those of Renaissance perspective. As we have mentioned, most theoretical discussions of the cinematic apparatus have insisted on viewing cinematic representation as an ideological technology of visual extent. The cinema became a machine of the visible, and the camera was generally assumed to be constructed on a perspectival model derived from Quattrocento. A mechanical replica of Quattrocento's perspective, film could be seen as reproducing, _tout court_ , its visual and ideological structure. The limited focus on perspectival representation has obscured not only other ways of looking but even the configuration and development of the Quattrocento paradigm as it relates to the imaging of scenographic space. As we diverge from the optical drive of most arguments centered on this limited understanding of the Renaissance and turn away from the tradition of viewing the Renaissance as the central model for film, we will trace various shapes of Western spatiality in the realm of precinema and Western cinema. Working with spatiovisuality, we will forward the hypothesis that both the genealogy of film and the dominant codes of cinema have \"inhabited\" diverse forms of Western cultural space, one aspect of which began to take shape around the sixteenth century.\n\nThe twenty volumes of the _Magiae Naturalis_ by Giovan Battista Della Porta, published in several revised editions between 1558 and 1589, offer a point of departure. Della Porta's writings are of particular interest in the mapping of a corporeal geography of the image. An eclectic Italian philosopher, scientist, writer, and magus from Naples, Della Porta practiced a wide-ranging conception of knowledge. His work spanned a great number of disciplines and included the development of optical techniques. He wrote on such subjects as geometry and optics, along with astrology, alchemy, and the occult sciences, and was particularly interested in physiognomy, to which he dedicated the volumes of _De humana physiognomonia._ He also dreamt the cinema:\n\n_To give pleasures to the gentlemen, there is nothing more ingenious and beautiful than viewing\u2014on a white cloth, in a dark room\u2014scenes of hunting, banquets, battles and plays, and, finally, seeing all the desirable images so clearly and luminously, and in such detail, that you feel as if you have them right in front of your eyes_.\n\n_Facing the camera, where you plan to have this representation, there should be a spacious site, lit by the sun, where you will set trees, houses, woods, mountains, rivers, animals which can be real or made artificially, with wood or other materials. You should have little children enter them and move them, as it is customary in the staged comedies. Have deer, boars, rhinoceros, elephants, lions, and all the animals you please, and have them enter your plain as if they were entering and exiting from their own dens. The hunters should then come and pretend to hunt them, equipped with arms, nets, and everything necessary for the representation of the chase. There should be sounds, made from marine seashells, and the playing of horns and trumpets. The spectators in the room will see the trees, the animals, the faces of the hunters, and the rest of the apparatus in such a naturalistic way that they will not be able to judge if they are real or imaginary._\n\n5.3. A map of gender difference from Giovan Battista Delia Porta's _Delia fisonom\u00eda dell'huomo_ , 1627.\n\nDella Porta's description of the camera obscura prefigured the filmic spectacle in many ways. Here, the camera obscura was envisaged as a representational tool that served as a multiform entertainment device. Speaking of the functioning of the optical device, Della Porta engaged the space of the viewer and focused on reception, picturing a scene of spectatorial pleasures. He also prefigured narrative space, conceiving moving scenes that unfold to tell a story sequentially. Della Porta, who actually used the word apparatus, envisioned a spectacle especially prepared for exhibition. The performance for a public\u2014\"fashioned\" on a white screen-fabric in a dark room\u2014involved a narrative structure, a set design, actors, and even sound effects. In this way, he foresaw the potential not only to reproduce but to reinvent a scene, envisioning an actual mise-en-sc\u00e8ne for narrative action. Della Porta's descriptions of the camera obscura marked an advancement in conception which made it more than a mere recording device. Revealing a protofilmic space of representation and exhibiting the work of the imagination, his conception went beyond figuring the projected image as a matter-of-fact reproduction of the real and, by way of an architectural representation, constructed the very \"space\" of a voyage in filmic fiction.\n\nIn Della Porta's description, the camera obscura becomes a movie camera, a passage that is spatial. The transfer centers, and acts upon, an interior. Camera, from the Latin _camera_ , means room, and this meaning is still held in Italian. In the transformation, the very semiotic imprint of \"camera\"\u2014the chamber\u2014is inscribed and passed on to film. The camera obscura does not simply become a filmic instrument; it fashions a filmic space: a filmic \"room.\" It becomes a house of pictures\u2014a movie \"house.\"\n\nWorking on the space of the image, its projections and reflections, Della Porta experimented as well with another site: the body. His philosophy connected these two lines of exploration, so central to his era. While the age of exploration was mapping out space, anatomists such as Andreas Vesalius, in his _De humani corporis fabrica_ (1543), were mapping out the body. The geographies of space and the body were combined in Della Porta, whose extraordinary writings on physiognomy and other somatic matters paralleled, and reconfigured, his interest in spatiovisuality.\n\nDella Porta's geographical \"curiosity\" covered the vast field of material metamorphosis and physical _trans_ mutation: he traveled from astral and alchemic movements to physiognomic transformations in animals and humans. He also dedicated books to such transformative matters as the fashion of women's ornaments and to bodily alchemies such as perfumes. Della Porta explored the production of imaging\u2014embracing everything from the body to space\u2014and \"fashioned\" the physical realm as a movement from matter to matter. His subjects, ranging from the transmutation of metals to the transformation of images that occurs in attire and physiognomy, indeed turned image production into alchemy. The entire field of image production was envisioned as transmateriality: a material circulation, a matter of _transito_. No wonder he dreamt the cinema. He was mapping its very space.\n\n5.4. Picturing the character of passions: Charles Le Brun and Sebastien Le Clerc, _Caracteres des passions grav\u00e9s sur les dessins_ , 1696.\n\nUnderstood in this way, optical devices and treatises such as Della Porta's were indeed propelling the formation of an image-movement. They also increasingly foregrounded the role of movement in the expression of such corporeal matters as passions and emotions. The magic lantern, for example, was used to further the findings of artists such as Charles Le Brun (1619\u201390), who experimented with physiognomy in a kinesthetic way. In his _Conference sur l'expression g\u00e9n\u00e9rale et particuli\u00e8re des passions_ , Le Brun strove to map onto the body the ever-changing passions of the interior. He compiled a dictionary\u2014an atlas\u2014of facial expressions, conceived as movements, as visible signs of passion. Rather than picturing the body as a static image, Le Brun mobilized it by showing how the motion of emotions is written, drawn, and etched onto its surface. In this mobile physiognomy, where passion is \"transport,\" the face becomes a trace of interior events. A graph of historical presence, the face, set in motion, becomes a map of one's history.\n\nBeginning in the 1770s, the \"pathognomy\" of Johann Kaspar Lavater set out a foundational approach to the study of emotions, \"the art of interpreting the passions.\" As Patrizia Magli shows, Lavater's interpretation of the passions was a form of measurement based on a process of _d\u00e9coupage_ and simulation. This work, turned self-portraiture, became an architectural art form with the visions of Jean-Jacques Lequeu (1757-c. 1825). Lequeu's extraordinary, sexually charged draftsmanship constantly returned to his own face and body, which he endlessly carved in architectural form, from tomb to archway, and often \"fashioned\" in the form of a woman. More than mere architectural physiognomy, the work of this architect, defying geometric correspondence, showed the moving transformation of emotion, which was represented as a tangible shifting. In the hands of Lequeu, the building became related to the materiality of the body's own transformations and, made with life matters, resonated with its digestive pathos.\n\nThese figurations of passions, including the architectural designs of Humbert de Superville, which will be treated later, constituted a moving emotional topography. They fashioned a concept of emotion that saw it in constant movement between the space of visibility and invisibility. Anatomies of the visible surfaced through these passionate analytic movements in such a way that subjectivity itself became kinesthetically shaped. This landscape of passage between the body's exterior surface and the geography of the interior was being imaged just as a new geography of space and movement was itself taking shape. The ground, shaped cartographically, was being readied for precinematic space, the corporeal machine of _emotion_. Utopian traces of emotion pictures were being left behind.\n\nOne specific road in the depiction of emotions led to a distinctively generative encounter with photography. This road was paved by Duchenne de Boulogne (1806\u201375), whose method was transformed by Charcot, his most famous student, into a well-known prefilmic theatrics. Duchenne's _M\u00e9canisme de la physionomie humaine_ (1862) sought to map the mechanism that underlies the expression of passions and make it applicable to the plastic arts. It was the result of an experimental practice. Duchenne stimulated the faces of his patients with electrical probes in order to trigger muscular response and thus to demonstrate the role muscles play in conveying different emotional states. Using a camera to describe his findings (and build his theory), he recorded the resulting facial expressions \"acted\" out by his subjects. His photographic archive exhibits a torturous athletics of human emotions. In an effort to \"locate\" the actual place of an emotion\u2014in muscular tissue and the apparatus of its movement\u2014Duchenne scientifically engineered a mechanics of passion that, by way of photography, accessed the terrain of the visual arts.\n\nThe various efforts that shaped an anatomy of visible passions on the surface of events interacted closely with several practices in the visual and spatial arts. The camera obscura, at the most immediate level, had long been an important object of research and study for landscape and view painters as well as for architects in their efforts to map inhabited space. In the eighteenth and the nineteenth centuries, the magic lantern's views provided an anatomy of landscape, often depicting the emotion contained in landscapes, seascapes, and cityscapes\u2014scenes that transferred to early film and became major topoi in the development of film language.\n\n5.5. _Emotions_ painted on glass for magic lantern shows, c. 1750\u20131800. Detail of sequence showing desperation-irespiritual rapture.\n\nA space for viewing was created out of the interaction between the analytic and the spectacular gaze these devices produced. This ground of tangible visions included the use of the camera obscura in the performance and display of anatomy, as shown in the artwork that illustrated medical books. The optical device was used in many ways in the visual arts as a tool for anatomizing physical space. As a view into the texture of this space, it exhibited somatic penetrability before cinema established its own version of this passage. This fluid landscape not only included but shaped the landscape of the emotions. Physiognomy, after all, was conceived as a window through which the interior \"perspired\" outwardly, made itself present, semiotically manifest, even historically readable: the interior mapped itself tangibly onto the surface of the skin. As the corporeal boundary between inside and outside, physiognomy, when further mobilized as a \"pathognomy\" and seen to represent the motion of emotion, led to the landscape of motion pictures. This pathognomy of lived space activated filmic views.\n\nIn the genealogical journey that the Greek term _kinema_ \u2014as both motion and emotion\u2014took to become \"our\" cinema, pathognomic research and Le Brun's endeavors to trace _emotion_ thus played a particularly important role. They also had direct prefilmic heirs. Certain eighteenth-century lantern views mapped the physiological movement of emotions, pinpointing their location and the spaces between them. These views were sequentially organized, as Le Brun's studies were. The slides frame the movement in and out of, as well as through, interior states, making an actual material map of emotions. These emotional views even look like film strips. In a group preserved in Italy, at Turin's Museo del Cinema, we see a prefilmic strip of the corporeal movement between different emotions written on the face of women and men. In one case, the facial embodiment of shifting interior states includes passages between \"laughter-crying; depression-joy-sadness; joy-crying-desire; anger-simple love-terror.\" Another strip depicts emotional changes between \"desperation-ire-spiritual rapture; veneration-horror-melancholy; fright-jealousy-grief; fear-hope.\" These lantern strips, like celluloid film strips, are indeed moving maps on which the interior is externalized and mobilized. It is displayed in its transmutation, shifting from one state into the next. Each face corresponds to a frame. \"Dissolving views,\" which followed \"animated\" views and represented the most important advance in magic lantern technique in the nineteenth century, allowed for even more sophisticated effects of transformation. Here, two or more lanterns could project views superimposed on the same screen, thereby capturing subtle changes. The technique became a way to spatialize the movements of passions as they are written on the body, which itself was represented as an ever-changing and dissolving space. Thus represented, _emotions_ prefilmically inhabited the body's own haptic motion, passing through the light of shadows.\n\n### A LANDSCAPE OF SHADOWS\n\nIn the archaeology of corporeal mappings, protofilmic traces left by the future are also found in the wide-ranging and unorthodox scholarship of the Jesuit priest Athanasius Kircher (1602\u201380). Furthering the \"inventive\" territory of Della Porta and his technological imagination, Kircher devised multi-media experiments in automation, optics, and acoustics. A polymathic thinker, he covered a world of knowledge in the more than thirty-five volumes he produced, which ranged in subject from painting to geometry, astronomy to magnetism, music to the occult. A believer in the power of imagination, he also collected this knowledge in a \"cabinet,\" a place of study and a laboratory formed at the Collegio Romano. Eventually housed in a three-hundred-foot-long exhibition hall, his museum displayed\u2014alongside his mechanical devices of \"perpetual motion\"\u2014alchemic, scientific, and mathematical instruments; geographic, anatomic, anthropological, and natural history specimens; and objects collected on his trips or sent to him from all corners of the world. Kircher was interested in all kinds of geographies, including Eastern spaces, and was especially fascinated by the Taoist vision of nature as a living organism, a notion he conveyed to the West. He also wrote on the geography of the underground in his _Mundus subterraneus_ , in which he pictures everything from the subterranean world to the physiognomy of the sun. His _Ars magna lucis et umbrae_ , published in Rome in 1646, made a particular contribution to the widening of visual horizons by adding another layer to the general interest in the geography of the image. Kircher's investigation unites light and shadow, anticipating the filmic embodiment of the spectacle of penumbra, a technology of light which is an art of shadows. His version of the magic lantern also strove to enter the dark space of death, attempting to represent the body of the dead, beyond death itself. Two beautiful images that illustrate his treatise on light and shadow show, in one case, a skeleton, and in the other, a naked woman burning in purgatory. Death was by no means a casual inhabitant of the optical space, as shown, for example, in the work of the natural philosopher Christiaan Huygens, an important figure in the development of the magic lantern whose 1659 kinetic drawings represent the dance of death in \"animated\" views.\n\n5.6. The magic lantern in the shadow of death, from Athanasius Kircher's _Ars magna lucis et umbrae_ , 1646.\n\n5.7. Title page from Robert Burton's 1621 book _The Anatomy of Melancholy_. 1893 edition.\n\nSpectral views were \"fleshed out\" also in the experiments of Etienne-Gaspard Robert (1763\u20131837), later known as Robertson, whose interests spanned from balloon aeronautics to optics, physics, and magic. Robertson developed shows of \"phantasmagoria\" he had seen, devising his own performances. This self-described \"physicist-philosopher\" added darkness and preromantic morbidity to the cognitive apparatus of the Enlightenment, whose experiments and \"illuminated\" views clearly had a dark side. Set in the sinister Capucin convent, Robertson's simulated theater of demonic and ghostly imaging sought \"sensational\" effects. As shown in an 1845 engraving in _Le Magasin Pittoresque_ , it made an architectural spectacle of death, set with other curiosities such as \"The Opening of Pandora's Box\" and \"The Head of Medusa.\" Death inhabited the very space of Robertson's phantasmagoria and the shape of its architectonics. Furthermore, as Antonia Lant has shown, it participated in the egyptophilic mode of (pre)cinema, evoking the Egyptian necropolis and its own cult of death. Incorporating elements of movement into its funerary show, phantasmagoria moved the spectacle a step closer to motion pictures through its deadly touch. The electrifying spectacle was interestingly compared to the impact of railways: in an 1832 account, it was reported that spectators were made to feel that they could \"touch\" the images.\n\nPhantasmagoria would have a great \"phantasmatic\" influence. For Walter Benjamin, among others, the word assumed a central discursive position and was taken to define the visual culture of mid-nineteenth century. Phantasmagoria was a form of prefilmic curiosity that became a part of cinematic language, as did its deadly touch. The skeleton's dance was an integral part of other machines of the (in)visible, such as the nineteenth-century's choreutoscope. Such devices prefigured a fascination with (in)visibility and the modern interest in phantoms that, as Tom Gunning shows, permeated photography and later traveled to the \"photoplay,\" establishing itself as a traveling motion picture show before the cinematic magic of Georges M\u00e9li\u00e8s.\n\nViewed through the phenomenon of phantasmagoria, the moving image, which emerged as an intimate exploration of physical space, ends up moving beyond the limits of the body's own geography. Film thus ultimately embodies the technology of death. As Andre Bazin claimed, a \"mummy complex\"\u2014a process of embalming a body image\u2014lies at the origin of the plastic arts of which the cinema is a representative. As he saw it, \"put under psychoanalysis, the practice of embalming the dead might turn out to be a fundamental factor in their creation.\"\n\n### THE FASHION OF AUTOMATA\n\nCinema\u2014like the cemetery\u2014is a space that is home to residual body images. Film and the cemetery share this special, corporeal geography. They are sites without a geography, or rather without a fixed, univocal, geometric notion of geography. They inhabit multiple points in time and collapse multiple places into a single place. As a site, the _cinema_ relates to the resting place of our _cineres_ \u2014our cinerary remains\u2014for they are both \"heterotopias.\" As \"other spaces,\" they are permeable systems of opening and closing, a type of space that refers to all other spaces and, ultimately, to every space imaginable. Cinema and the cemetery, like the garden, are such heterotopias, for they are capable of juxtaposing in a single real place segments of diverse geographic worlds and temporal histories. In fact, a heterotopic space can hold indefinitely accumulating time and fleetingly transitory aspects of time, which reside in the architectonics of the place itself as well as in the historicity of the bodies that inhabit the site. Like the city of the dead, the city of images is funerary: its moving stillness monumentalizes the body and, holding the trace of its historicity, gives body to memory.\n\nThe space of death inhabits film in many ways, as we saw in our analysis of _The Man with the Movie Camera_. As a machine of death, film technology engages in a time play with spatial movements. Capable not only of multiplying time and space but of extending time with prolonged mechanical movement, as well as freezing frames and slowing or accelerating movement, the language of film inhabits a boundless desire to capture life. The shadow of such longing is a drive to trespass spatiotemporal confines\u2014that is, to overcome the finiteness of death. Preserving the moment in time and space, film travels the geography of death and immortality.\n\nIf the mechanics of death goes beyond embalming to arrest time and halt motion, the illusion of superseding corporeal limits is partly a function of the infinite movement it contains. Film incarnates this ability to \"animate\"; it is a machine that activates lifelike (e)motion. Its automatic movement cannot, however, be stopped at will by a hand's action; or, if this movement is arrested, it can be started all over again. As a spatiovisual device of this sort, film's infinite mechanized motion recalls that of the mechanical doll. As we began to see in the geography of the Sentimental Museum, the automaton's spectacle of repeated movement, simulating the body's own, was a step in film's genealogical phantasmagoria\u2014an earlier mechanical attempt to extend the life of time and space.\n\nThe fascination for automata, which extended from the eighteenth through the nineteenth centuries, was embedded in the struggle against decay. The motion of animation played with the edges of \"passing\" as movement transformed the inorganic into organic matter. The fashion for automata engaged this particular type of passage: death. In this respect, the terrain of the automaton is the very world of the mannequin. As Benjamin remarked in his work on _passages_ , \"fashion was never anything but the parody of the gaily decked-out corpse.... [It] lures [sex] ever deeper into the inorganic world\u2014the realm of dead things.\" One of fashion's functions is to offer sex appeal to the inorganic. It is such modern eroticism, with its mimicking ability to move between the organic and inorganic, that passes from the automaton to the mannequin to film. Film genealogy, written on the corpse, is indeed a \"fashion\" affair.\n\nThe deadly rhetoric of the automaton's display returned to the cultural scene in another form of simulation as it was remade with film's own entertaining principles and spectacular displays. Setting physical forms in motion, both types of machine (automaton and cinema) turn these figures into stories, offering delightful forms of repetitive pleasure. Objects of leisure, the automaton and the cinematic apparatus both hide the mechanism that creates movement, pretending to require no effort in representation or reception and creating the illusion that the graceful technical exhibition entertains automatically.\n\nA playful technology and sensuous aesthetic, the automaton is also a predecessor of film's sentient space. Like the automaton, whose operational movement was a signifier of early modernity, the moving image \"embodies\" the principle of its own motion for the benefit of live audiences, who delight in this \"moving\" operation\u2014the exhibition of simulated lives moving in space. A spectacle of such movement, the moving image is ultimately \"animated\" by the emotion of motion. It is a _moving_ anatomy, reprising the somatic space of automata, scanning intimate space obsessively, making its own geography of the flesh.\n\n### DEATH DISPLAY: WAXWORK AND _TABLEAUX VIVANTS_\n\nThe exhibition of automata in the public spectacle of science and the cabinets of the virtuosi was part of a larger display of mechanical representation that developed during the early modern period in the visual arts as well as in natural and experimental philosophy. As the art historian Barbara Stafford shows, the Enlightenment's mode of recreation consisted of diverse forms of visual education and amusement that often relied on the display of new and sensuous technologies and were informed by the body. This new kind of exhibition involved both the indoors and outdoors: fashioning the gallery and the garden, it ranged from balloon launchings to phantasmagoric spectacles. The spectacle of thought itself was found in the rhetoric of experimentation and observation, visible in medical displays and the public performance of science.\n\nThe curiosity that led to the formation of the spectacle involved a visual attraction for the geography of the body and its transformations. This passion for inquiry embraced the topography of the flesh and the mechanics of emotions. With the automaton, flesh was turned into machine as machine was turned into flesh. The mechanics of such precinematic exhibition presented itself also in other anatomical displays, such as the waxwork and the medical cabinet\u2014spectacular shows of anatomy, pharmacology, and natural history.\n\nWaxwork, a medium that began by joining anatomy and art and eventually became a public spectacle, also helped to inaugurate the deadly display of moving pictures. The funerary origin of the form is notable. Anyone \"may have their Effigies made of their deceas'd Friends, on moderate Terms,\" announced the advertising handbill of Mrs. Mills, a woman who produced waxwork at the end of the eighteenth century. The participation of women in the production and exhibition of waxwork is astounding. Historical research suggests, in fact, that women dominated the field, in which the reproduction of the corporeal landscape turned the body itself into a \"site\" of exhibition. The case of Madame Tussaud, enlightened in a study by Marina Warner, is best known but not at all unique. Many other women played essential roles. Often known only as a \"Mrs....,\" their first names escaped history. In late eighteenth-century London, there were, in addition to Mrs. Mills, such female wax impresarios as Mrs. Salomon and her successor Mrs. Clarke, Mrs. Sylvester, Mrs. Goldsmith, and Mrs. Patience Wright. Italian and French women engaging in waxwork in the eighteenth-century included Anna Morandi Manzolini and Marie Catherine Bih\u00e9ron. Wax representation in the form of wax injected into the body of cadavers was in fact pioneered in the early fourteenth century by an Italian woman, Alessandra Giliani of Persiceto, who died in 1326.\n\nDeath and wax were joined from the very beginning as a way of envisioning the body in a representation, and women were subjects of this imaging. Before photography and film resculpted physiognomies\u2014seizing, embalming, and transforming their _emotion_ \u2014female wax-makers helped to harness the emotion of the body and its temporal history. Like wax, film preserved, displayed, and perpetuated the physicality of the body, materially freezing it as a moment in time. In this respect, it continued the tradition of the _tableau vivant_. This popular spectacle of the eighteenth and nineteenth centuries exhibited mimesis in the form of \"living pictures,\" in which live \"actors\" adopted immobile poses in imitation of artworks or historical and literary scenes. _Tableaux vivants_ essentially turned the principle of waxwork exhibition inside out. Yet, whether live bodies were made to freeze, as in _tableaux vivants_ , or frozen flesh was animated in wax models, a spectacle of death was invoked. Death rests at the edge of movement, whether life is mechanically stopped or the flesh is \"captured\" in motion. Motion pictures came on the scene with the power to do both. Extending the business of the waxwork and the _tableau vivant_ , film offered the illusion that (e)moving images could master death.\n\nThe deadly line of descendance of moving images from wax models appears clearly in the way waxwork was most commonly advertised throughout the eighteenth and nineteenth centuries: \"nothing seems wanting but life and motion.\" Indeed, with the invention of moving pictures, both conditions were satisfied. It comes as no surprise that meta-films that inquire about representational processes, such as Ra\u00fal Ruiz's _L'bypoth\u00e8se du tableaux vol\u00e9_ ( _The Hypothesis of the Stolen Painting_ , 1978), Jean-Luc Godard's _Passion_ (1982), and _Caravaggio_ (1986), by the filmmaker and painter Derek Jarman, exhibit representations of _tableaux vivants_. The lively process of embalming\u2014a picturing of the body that \"contains\" life and motion\u2014lies at the very heart of image-making and its historical movement toward the motion picture.\n\n### _TABLEAUX MOUVANTS:_ BETWEEN ART AND SCIENCE\n\nFilmwork emerged from waxwork by way of automata. From the very beginning there were wax figures mobilized by wind-up clockwork, which created a spectacle of simulated life in motion. Automata made in wax or other media were featured in a form of mechanical theatrical spectacle known as a \"moving picture\" or \"mechanical picture.\" Such moving mechanical picture shows foregrounded the spectacle of motion pictures, born in the age of the mechanical reproduction of (body) images.\n\nHere, before cinema, spectacle and science collided on the site of the body's animation. It was a \"moving\" site. The scientific gaze was linked to the cinematic from the days of lantern-slide projections, even before the analytic views of the locomotion studies of Muybridge and Marey. As was often remarked at the time, \"picturesque and scientific beauty\" went hand in hand. Lantern projections spectacularly scanned the haptic field, often depicting as their subjects human and animal anatomy, as well as natural history, geography, architecture, and other spatial surfaces. From London's Royal Polytechnic, founded in 1838, to the Parisian Salle du Cosmos, Salle du Progr\u00e8s, and Salle Robin, science and entertainment merged in the nineteenth century as the lantern industrialized both its leisurely and educational components to tour the surface of the world. Thus it was, as historian Vanessa Schwartz discloses in her significant study of fin-de-si\u00e8cle \"spectacular realities,\" that in 1892, the Mus\u00e9e Gr\u00e9vin in Paris, site of the display of wax models of the human figure, promoted the offerings of the precinematic spectacle of optical theater\u2014Emile Reynaud's _Pantomimes lumineuses_ \u2014to public reception. If the wax museum anticipated and incorporated moving images, in turn, moving pictures, a scientific invention, were written\u2014waxed\u2014on the body in motion. Even today, the Mus\u00e9e Gr\u00e9vin exhibits a model of a praxinoscope, \"activated\" by a wax model. The spectacle of the \"Palais des mirages,\" moved to the Mus\u00e9e Gr\u00e9vin from the 1900 Paris Exposition and still exhibited there, offers a visual summary of a traveling corporeal mapping. This spectacle of light opens onto garden views and exotic travels as moving automata are activated, creating a play of moving perspectives.\n\n5.8. _He is Free_ , a mesmerizing architectural twist on gender in a drawing by Jean-Jacques Lequeu, 1798\u201399.\n\n### MOVING PICTURES, MESMERIZING IMAGES\n\nIn retracing the cultural history from which the motion picture was fleshed out, we have described a number of intersecting phenomena that created a bridge between science and spectacle, including a phantasmagoria of images. The type of spectacle that employed these images, in many ways, made audiences feel as if they could _touch_ and, in turn, _be touched by_ them. The images were \"animated.\" Ranging from ghostly apparitions to waxwork creations, this imagery shows the extent to which phantasmagoria inscribed \"phantom\" in its spectacularization: vision is indeed connected to visions. Further exploration of this relationship between appearance and apparition may lead us to an understanding of how the spectacle of film images happens to transport us or hypnotize us\u2014how film images, that is, \"mesmerize\" us.\n\nThe work of Franz Anton Mesmer (1734\u20131815), when not relegated to occultism, is now largely forgotten, while the man himself remains something of a ghostly shadow, a trace on a linguistic signifier. Although it is not known by most English-language speakers, there was an actual doctor Mesmer behind the \"mesmerizing\" power. Born at the rise of modern science's great divide, too late in relation to alchemic thinking and too soon in relation to psychoanalysis, Mesmer bridged many areas of knowledge, creating a hyphen between science and spectacle. The Swiss-born Mesmer practiced initially in Vienna and, in later years, in Paris. Interested in the healing power of suggestion, Mesmer thought he had discovered an actual force, which he called animal magnetism. According to his theory, there is a fluid, an energy in which we participate, that can be communicated, or passed, from person to person. \"Transferring\" this force from himself to the patient, Mesmer attempted to prevent and cure forms of hysterical malady. Although isolated and misunderstood, even at the time, Mesmer's work led to hypnosis and thus to the birth of psychoanalysis. Connecting the moving power of his gaze and body to the patient's own, Mesmer thought he could affect symptoms, which were themselves written on the body. The type of gaze that Mesmer developed could touch people and heal them. It was, indeed, a tactile eye, which \"moved\" by moving the forces of the unconscious. As Mesmer wrote in his memoir, such moving matters were related to perceptual movement:\n\n_It pleases me that the discoveries I have made... will extend the boundaries of our knowledge of physics, just as far as the invention of microscopes and telescopes have done.... They will make known... that man... is endowed with a sensibility... and that he is capable of taking upon himself a tone of movement by which he is able, just like fire, to transmit to other animate and inanimate bodies; that this movement can be propagated, concentrated, reflected like light, and transmitted by sound._\n\nWriting about this tone of movement, Mesmer dreamt the moving image. Pictures would be animated by motion. Movement and light would be technologically propagated, concentrated, and transmitted as they would come to be reflected on the surface of a movie screen. And thus such motion would turn into an emotion, in a reversible way.\n\nReconsidering Mesmer's work points us in the direction of the haptic power of images by re-establishing the historical and theoretical place of a \"mesmerizing\" energy, which includes a traveling, tactile eye. Claiming that such a _transient_ sensibility lies at the origins of psychoanalytic thinking allows us to question dominant theories of the gaze and to affirm a different course: a haptic form of site-seeing into the unconscious (optics). To speak of mesmerism is to recognize a visual force that moves and touches within, an eye that affects the space of the interior. Thus understood, Mesmer's discourse touches on the very relation between visuality and the language of emotions. This has tremendous relevance for both film and film theory, for they are deeply implicated in such a relation. By calling attention to Mesmer's discourse, we pinpoint the very archaeology of emotion pictures\u2014the design of intimate architectures.\n\nWe know all too well that the birth of the cinema coincides in many ways with the birth of psychoanalysis, for its dream world came into being with Sigmund Freud's _Interpretation of Dreams_ , published in 1900. Looking backward into the archaeology of cinema before 1900 confirms this relationship between visual culture and the discourse of emotions, but with a twist: it reveals that a phantasmagoria of transformative images paved the way for, and sustained, the (dream)work that relates psychoanalysis to cinema and psychoanalytic theory to film theory. Taking Mesmer's route\u2014that is, positing a tactile eye and acknowledging the magnetic power of the circulation of images\u2014shows us that there is a physicality in our \"projection\" into images and our projection by way of images. It shows that the scientific spectacle of imaging is an actual form of \"attraction.\" Positing such magnetism as a force of transfer, it pictures the emotion of a _transito_. Fascinated, we plunge into the discourse of (e)motions and delve into the language of the interior, curious to see memories exhibited and phantasms screened, transported by the display of remnants, carried away by mesmerizing images, mesmerized by the body of images in a \"transport\" that attracts us to them and to one another.\n\n5.9. The environment as charted in the interior of a botanical garden, in the anonymous engraving _Hortus Botanicus at Leiden_ , 17th century.\n\n### SPACES OF WANDERING: CABINETS OF CURIOSITY, ROOMS OF DISPLAY\n\nA voracious \"curiosity\" was at work in the configuration of the moving maps that became implanted in the cinema. Having explored this curiosity as an architectonics of display in our introduction to the Sentimental Museum and observations on Kircher's collection, we turn to the mesmerizing power of a museographic archaeology, a topic that will be developed beyond this chapter and eventually explored in current forms of interface between the cinema and the museum.\n\nWe focus first on the cabinets of curiosity and note that in exhibiting fragments, remnants, and sensuously tactile forms, whose images and interrelations excited a private-public curiosity, they built a landscape linked with the opening of new worlds of knowledge. This included the cultivation of the natural world, which gave rise to collections of _naturalia_ (as well as _artificialia)_ that were related to the fine arts and the natural sciences and incorporated botanical and medical research. The semiotics of their various forms and names (including _cabinets des curieux, Wunderkammern, Kunstkammern, studioli_ , and museums) disclose the wonder, the rarity, or the curiosity of the art and science chamber, which fostered a way of thinking linked to an expansive geography of knowledge cumulation and dissemination. Positioned within aesthetic and scientific practices and often serving as a bridge between them, the cabinets explored and exposed vast fields of knowledge, themselves becoming objects of a \"curious\" and passionate intellectual history. Records of travel and local _savoir_ , places of exploration and research, they housed a variety of experiences, ranging from spiritual meditation to aesthetic and scientific pursuit. Designed as a microcosm of experience, they made manifest the texture of existence in the drift of objecthood.\n\nAs the precursors and prototypes of modern museums, these cabinets inaugurated an appetite for exhibition. The complex interface that sustained their eclectic polymathism, which blurred distinctions and overcame the boundaries between art and nature, gradually gave way to a more rigid sense of cultural perimeters and arrangements. Collections changed in time as they came to garner greater public status and consumption. Organizational sensuousness, emotional and aesthetic wander, the restless curiosity that was a constant incitement to push the confines of knowledge\u2014a boundless passion, that is\u2014eventually became translated into a public erotics of voracious taxonomy in the natural history and anatomical museums. Here, physical specimens and the classification of body parts became a perversely sensuous reinvention of corporeal maps for a body of spectatorship. According to Tony Bennett, who usefully describes \"the exhibitionary complex,\" the institution of the museum established a linear direction of viewing in tune with an evolutionary view and prescribed a regulated practice of sequentialized looking. In some cases, as film scholar Alison Griffiths has pointed out, such theatrics of display, when bound up with the ethnographic project and using distinct dramatized scenes and a directed itinerary, created the very narrative of anthropological superiority that would be repeated in the hegemonic structuring of early ethnographic film.\n\nAs an architectural \"premise,\" however, the cabinet, like the museum that followed, was conceived, constructed, and traversed in different ways. To avoid limiting the museographic walk strictly to a regulated pattern, we should recognize that this genealogy incorporated diverse geographies of curiosity. It even deregulated them by means of the spectatorial trajectories of wanderers, who could make up their own cultural maps along the way. What came to be mobilized on display was the making of the \"interior\" itself, with its fluid navigational paths. As in the film theater that ensued, the cabinet of curiosities offered inner spaces for public viewing and exhibited fragments of exteriors in interior spaces. As \"interior design,\" the cabinet of curiosity was home to an architectonics that proleptically led to the cinema and its own private-public spectacle. It was a box\/room housing a (re)collection of images that gave shape to, and routed, the modern spectacle reincarnated by the movie \"house\" and its own permeable interior screens.\n\nInterior design and architecture shaped the precinematic body of images in ways that cannot be confined to voyeurism or visibility alone; a predecessor of the world that would later be projected by lanterns and circulated in the cultural geography of _mondo nuovo_ , the cabinet built an architectonics of wander. It is not by chance, for instance, that magic lanterns, as objects, took various architectural forms, revealing that something other than mere voyeuristic optical obsession was at play. Becoming actual \"lanterns,\" they sometimes took the shape of a lamp. The \"lampascope\" decorated nineteenth-century bourgeois interiors, shedding the light of shadows on their walls. Lanterns were also designed in the shape of exterior architecture and buildings and were fabricated as itinerant objects that could be packed as luggage for showmen to take on traveling tours. The frontispiece of the 1831 _Almanac_ , printed in Turin, Italy, shows that some actually looked like a backpack. Nomadic exhibitors would carry them on their shoulders in tours around the cities and countryside.\n\nFrom the cabinet of curiosity to the lantern, matters of architecture and design shaped the history of precinema. Framed for viewing and assembled as spectacle, objects in the cabinet of curiosity presented themselves in a protofilmic architectonics, on the threshold of interior and exterior. The items on display in the space were sequentialized and thus made into a narrative trajectory. The stories of the fragments ranged widely, from the curious to the mundane. The shows of rarities did not exclude but, in fact, promoted a curiosity for the ordinary and the everyday and were organized to provoke a distracted viewer's response. As in film, the show was involved in shaping both dominant and deviant views of social customs by way of dialogic montagist processes, to be imaginatively traversed. The cabinet did not simply display but produced responses to socio-sexual and ethnic mappings as it activated spectatorial imagings and architectural promenades. The polymathic curiosity cabinet and, ultimately, the museum created a phantasmagoric relationship between the displayed parts and their viewing public, engaged in peripatetic leisure. The protofilmic framed display\u2014an interior fragment of a world view\u2014was open for browsing in a real sense. It was reassembled by the viewer, who read it in conjunction with her own mental geography as she wandered at leisure around the space, both physically and psychically.\n\nWorking at the edge of the image, its dissolution into the next, and the ellipses of the assemblage, the prefilmic montage created by the spectatorial browsing of the collection invites re-collection. The art of memory\u2014displayed as a _the-atrum memoriae_ in the cabinet\u2014materializes in film's own process of imaginative display. Furthermore, the museographic spectacle of framed views, reframed in spectatorial projections, incorporates a kinesthetic itinerary, a form of \"picturesque\" voyage. Such was the _emotional_ spectacle\u2014the itinerary of attraction\u2014that was mechanically \"re-collected\" by motion pictures, which recreated their own kinesthetic travel effects.\n\nThis perambulating activity traveled from cabinets to museums to exhibition halls to film. The imaginative peripatetics typical of museum-going and its architecture of transit \"translated\" into film spectatorship, embodying its inhabited forms of traveling pleasure. This transfer occurred in the architecture itself of the theater. Theaters with lantern shows projecting \"dissolving views,\" such as the one in the Royal Polytechnic Institution in London, looked like gigantic cabinets of curiosity and contained areas for browsing the collections, which included machines of the visible as well as scientific and traveling curiosities. In the theater, a mixed public of _\"curieux\"_ and _\"curieuses\"_ assembled: women strolled and wandered, craving the multifaceted pleasures of spectatorial itineraries, absorbed in sensuous layers of virtual traveling-dwelling.\n\n### _MONDO NUOVO:_ A \"NEW WORLD\" OF TRAVELING CURIOSITIES\n\nThe cabinet of curiosity participated in travel culture on many different levels. First of all, the notion of curiosity itself was associated with travel. Not only were virtuosi called \"curious\" travelers, but, as Krzysztof Pomian shows in his study of collections, the terms were interchangeable: a _curieux_ was someone who traveled extensively and had \"an inquiring mind\" that would engage in the \"curious sciences,\" where the visions of optics met geomancy, cabala, astrology, and magic. In general, curiosity and travel became associated as a mental disposition. Curiosity came to signify a particular desire to know, which, for a period, was encouraged constantly to move, expanding in different directions. Such cognitive desire implies a mobilization that is drift. It is not only implicated in the sensation of wonder, as is often noted, but located in the experience of wander. A passionate drive is set in motion, for one is both moved by curiosity and moves in different ways to respond to it. As one explores a field in constant shift, the \"feeling\" of the passion of inquiry bears the texture of motion. Thus conceived, curiosity is revealed as a real epistemological passion\u2014an affect that is an _emotion_. It is this \"curious\" path of the emotions that led from the cabinet of curiosity to the moving image, in a process of re-collecting the traveling curiosity.\n\nCuriosity, as an impulse to wander, led to the discovery of curious things. In this respect, the authorial collecting principle of the curiosity cabinet, as well as the spectatorial itinerary and the textual fragments themselves, displayed several curious travel effects. One was expected to travel to visit the cabinets of curiosity. Moreover, browsing was often directed literally at objects of leisure and specimens of travel. Among these objects was the optical box, a specimen frequently exhibited in the modern cabinet of curiosity and in theaters for magic lantern projections of \"dissolving views.\" In a doubled architectonic effect, framed views, architecturally housed in a box, were reframed and relocated in the cabinets.\n\n5.10. \"Bo\u00eete de salon,\" a French optical box fashioned as an object of interior design, 1750.\n\nGenerally looked upon as mere \"peep shows\" or \"perspective boxes\"\u2014names by which they are usually known\u2014these optical boxes, as heirs to perspectival representation, have been restricted to the realm of voyeuristic visual pleasure. In arguing for a critical shift from a spectator- _voyeur_ to a spectatrix- _voyageuse_ , I will rather call attention to the \"architectonics\" of the box and foreground its \"moving\" function in site-seeing. Looking at the box in a different way and reclaiming its geographical signifier can reveal other psychic aspects of its viewing pleasures, which do not exclude the female subject. Viewed as site, the box is revealed to be more than a mere toy for the male _voyeur:_ it is a powerful machine of (e)motion for the spectator- _voyageuse_ as well as for the _voyageur_.\n\nOptical boxes functioned as an imaginative vehicle for travel, and these \"traveling homes,\" in most cases, worked as moving apparatuses of cultural travel. Rather than solitary voyeuristic devices of perspectival origin, they should be seen as sites of a shifting geography. Generated at the intersection of the visual arts, architecture, and urbanism, they circulated this hybrid imagination. Furthermore, not unlike magic lanterns, they were moving maps of itinerant public spectacle. This was especially the case for a traveling optical box named in Italian _mondo nuovo_ , literally, \"new world.\" _Mondo nuovo_ was a traveling affair and a particularly interesting manifestation of the phenomenon of a \"nomadic curiosity.\" The name itself speaks of the travel effect involved and of the geographical nature of the precinematic form of site-seeing.\n\nDifferent types of _mondo nuovo_ began to appear in European cities in the early eighteenth century as a kind of itinerant curiosity. The device was a viewing box of variable size and shape, often decorated and equipped with openings. As one looked into the box, fitted with devices of varying degrees of sophistication, it was possible to obtain a view or even sequence of views and to become absorbed in the panorama. Sometimes, several people could enjoy the spectacle at the same time through different openings. In the box known as \"Italian motions,\" different compartments existed, each inhabited by a moving figure\u2014an automaton\u2014that \"acted\" out different moments of a narrative sequence.\n\n5.11. Sequence of daytime and nighttime city life in an optical view of Piazza San Marco, Venice, 1862.\n\nThe spectacle of _mondo nuovo_ 's established a precinematic viewing space, a privately absorbed, public spectacle of narrativized motion. The subjects of this spectacle were often views of cities, depicted in spectacular ways. As in lantern display, a considerable part of _mondo nuovo\\_ geography was made up of panoramic views, montage, and travel subjects\u2014all elements that migrated into early film. This geography was a place where the aesthetic met the scientific gaze. Scenic aspects of the cities were particularly enhanced, as were elements of actuality and everyday life. Common subjects ranged from urban panoramas to promenades and various representations of street and garden life. Public and social events such as street or urban-garden festivals and other forms of popular spectacle were also included in the geographic diary. The images were engraved, colored, and animated, thanks to light sources capable of creating the total effect of traveling\u2014of moving through space as well as time. The optical views were also capable of making the observer travel from day to night, establishing the very effects of geographic duration that were later used in early travel-genre films. Such a voyage was a matter of light. The viewer herself could activate time travel by manipulating the simple device (sometimes only a string) that operated the shift from daylight to nocturnal shadows. Holes punctured into the view would simulate lights glittering in the darkness of the cityscape. The spatiotemporal shift affected a peopled landscape. A crowd of city dwellers, a public of strollers, would often appear with the glittering night lights. Their presence transformed the very view of the urban _piazza_ and further mobilized this forum. Through _mondo nuovo's_ shifting views, the city was prefilmically conceived as architectural travelogue.\n\nAs these descriptions suggest, _vedutismo_ and _mondo nuovo_ were very closely related. _Vedute_ were used as models and were endlessly reproduced in this popular form of entertainment. This was the case, for example, in the famous views of the Venetian region by the painter Antonio Canal, known as Canaletto (1697\u20131768), which were themselves conceived as touristic souvenirs to incite subsequent voyages. _Mondo nuovo_ 's views further popularized the art of view painting before film made it a definite form of popular culture. The views of _mondo nuovo_ provided an architectural voyage, just as one experienced the architecture of the city in spatiotemporal motions. In this respect, _mondo nuovo_ shows both a contextual and textual relation to the cinema and its space.\n\nThe itinerary of precinematic urban viewing taken by _mondo nuovo_ engaged the city and travel not only as subject matters but also as geographic sites. The town was an essential \"location,\" for it was the major place of reception for these urban views. As a public viewing spectacle, _mondo nuovo_ appeared in the urban _piazza_ , at street-corners, or in other sites of social gathering and public life. Like magic lanterns, the viewing boxes were moved around from place to place by itinerant showmen. Wandering entertainers would carry them on their bodies or in carts all over Europe. Small decorative versions were manufactured for home entertainment, in the guise of objects of design. _Mondo nuovo_ was a portable pleasure.\n\nThe optical boxes were real pieces of urban architecture and interior design as well. Again like lanterns, which engaged the world of architectural tourism in such examples as Louis Aubert's _Lanterne Tour Eiffel_ \u2014a lantern built in the form of the Eiffel Tower for the 1889 World Exhibition\u2014some examples of _mondo nuovo_ were also fashioned as interior or exterior architecture, designed in the shape of furniture or constructed as buildings. There are a few _mondo nuovo_ described as \"cabinet\" and \"armoire\" pieces, and some were made to look like a church, a gothic cathedral, or an elaborate medieval castle in scale. _Mondo nuovo_ thus traveled a wide spectrum of the spatial emotion, from the privacy of the closet to public architecture. Even the shape of the optical device enhanced the type of site-seeing involved\u2014a \"fashioning\" of the ways that space contains and unleashes an architectonics of desire.\n\nArchitectonically shaped, _mondo nuovo_ \"took place\" in the city and in the interior design of the home, becoming part of its decor and furnishings. A traveling apparatus for city viewing, with its own architecture and located in the inner flow of urban sites, _mondo nuovo_ foregrounded film's own architectonics\u2014in particular, the architecture of the movie theater, a private viewing space that houses a form of urban popular spectacle. _Mondo nuovo_ was a prototype of the movie \"house,\" for, like the cinema, it was a spectacle of viewing housed in an architectural form that, in turn, inhabited the streets. Traveling was not only the effect of what one saw but of the architectonics of the spectacle. Interestingly, in a series of engravings made from 1753 onward by Gaetano Zompini, _mondo nuovo_ was known as one of the _arti che vanno per via nella citt\u00e0_ \u2014an art that travels the streets of the city. Whether an armoire on the street or a public building in the home, _mondo nuovo_ was private-public viewing. A public cabinet of the curiosities of the everyday, film inherits the very architectonics of this \"new world.\" It is the new art traveling the urban pavement.\n\n_Mondo nuovo_ was a traveling spectacle open to women, as the cinematic promenade itself would be. Engravings from the eighteenth-century that represent _mondo nuovo_ traveling European city streets reveal an audience of mixed social classes, genders, and ages, including a large public of women. The collection at the Museo del Cinema in Turin contains numerous examples that show women's involvement and fascination with this \"new space.\" In fact, it is mostly women who are depicted staring into or at _mondo nuovo_ , sometimes taking their children along to enjoy the spectacle and to obtain a geography lesson at the same time. From the depictions of Pietro Longhi, Giuseppe Gamberini, and Giovanni Michele Graneri to the abundant series of anonymous representations of _mondo nuovo_ in engravings and prints, this is revealed as an urban, womanly affair that cuts across class divisions. Interestingly, most representations that are set outdoors with a female public reproduce in their setting the very mise-en-sc\u00e8ne of _vedute_ and use the same codes of landscape painting. Large _mondo nuovo_ occasionally traveled indoors as well, as seen in an eighteenth-century depiction that portrays the interior of a Venetian palace where ladies enjoy the show of _mondo nuovo_ set up in-house. A form of view painting for the urban public, this architectonic medium was placed at the crossroads of high and popular culture, private and public\u2014the very threshold that produced the cinema and its own socio-sexual crossings.\n\n_Mondo nuovo_ established a practice that traveled all the way to early cinema in various spectatorial and textual architectures. As a traveling curiosity it even anticipated the era of traveling film exhibition in the early years of cinema, when showmen exhibited motion pictures in itinerant ways. Among them, for example, was Lyman H. Howe, who exhibited \"moving pictures\" in a program called \"Lifeorama,\" hyperbolically billing himself as \"America's greatest traveler.\" The traveling exhibitions addressed motion as topos as well as topic, for many of the films exhibited itinerantly were travel movies. Existing in space and (dis)located in travel space, this practice addressed the making of realism: panoramas were taking shape as \"lifeorama.\" Realism, a life spectacle, was being asserted, in movement, as a question of place. It was the movement of inhabited sites\u2014a matter of lived and habitable space. A physiognomy of place was thus taking shape on the move. Traveling shows of moving pictures were housed in mobile architectures, sometimes actually called \"traveling movie palaces.\" The effect was of \"being there\"\u2014being, that is, in an elsewhere imaginatively retraversed as \"now here.\" The heterotopia of the traveling movie palace was a traveling home: an inhabitable, mobile map; a nomadic, haptical fantasy; an itinerant atlas of the sense of place.\n\n### THE TRAVEL OF TRAVEL FILMS\n\nViewed both textually and contextually, the architectonics of the early travel genre and the filmic urban panorama\u2014products of the age of panoramic vision\u2014can be seen to have existed earlier in the spatiovisual constructions of the eighteenth century, including the travel effect of _mondo nuovo's_ shifting views and its urban appeal. As we have seen, early cinema expressed a definite topophilic viewpoint, especially in relation to urbanism, for the beginning of film was, generally speaking, an urban affair. The city inhabited it from topic to topos: both film texts and their reception were bound to it. Like _mondo nuovo_ , early film was a form of urban voyage and observational geography primarily addressed to urban audiences. Both created a mirroring travel effect: from _mondo nuovo_ to film, city views in motion were offered back to city dwellers.\n\nIn this way, a travel film such as Porter's _Pan-American Exposition by Night_ (Edison, 1901) appears to be a direct continuation, in filmic terms and with the addition of movement, of the spatiotemporal travel effect of _mondo nuovo_. In this film about the turn-of-the-century exposition in Buffalo, New York, the camera pans across the esplanade and surveys the site. Through editing, a shift from a daytime to nighttime view occurs as the camera movement connects two different scenes. The city becomes nothing but a landscape of light as the buildings turn into pure shapes of glittering luminosity.\n\nAs the early travel genre attests, urban voyage is a form of imaging that moves between and across cultures, as well as through time. A version of _mondonuovo_ appears as late as 1955 in a film by the Indian filmmaker Satyajit Ray. In his _Pather Panchali_ , a traveling exhibitor arrives in the village where Apu's family lives. With the viewing box, he brings the world of the city to this rural site, attracting to the village square crowds of children who are eager to see views of the great Indian cities of Bombay and Delhi. The same youngsters who long for the \"new world\" of _mondo nuovo_ also love trains and like to watch them crossing the landscape. Views of modernity shape the world of Apu. The desire for modernity\u2014and its sites\u2014is an important agent in this film. Imaged as a drive to travel, to explore space and city views, modernity is represented as moving image. In the world of Apu, modernity is site-seeing, the movement of traveling cultures.\n\n### GEOGRAPHY DRESSED IN \"-ORAMA\"\n\nThe nineteenth century witnessed the proliferation of spectacles offering simulated travel experiences, all designated by the suffix \"-orama.\" As Stephan Oettermann argues in his study of panoramas, these devices originated from the discovery and experience of the horizon and from the idea that travel works at broadening one's horizons. Various geographic pleasures were offered to a public that included women, sometimes even exclusively: when the Kineorama, a hybrid of the moving panorama and the diorama, burned in London in 1841, it was found that its public consisted only of women. Through such devices, geography also entered the public sphere and women's daily activities: aquatints often showed women amusing themselves at home with optical instruments, being transported on imaginary grand tours, or using _vues d'optique_ to teach geography to children.\n\nThe geographical nature of the panoramic curiosity was perhaps best epitomized by the _g\u00e9orama_ , which, standing between science and spectacle, was considered an effective tool for geography lessons. As described in its patent document of 1822: \"With the aid of this machine, one could embrace in one single glance the whole surface of the earth: it consists of a sphere of 40 feet in diameter at the center of which the spectator is positioned on a platform of 10 feet in diameter, from which he discovers all parts of the globe.\" The _g\u00e9orama_ was displayed in Paris beginning in 1823, and a new one, made on the same principle, was exhibited in 1844. A special garden version of the _g\u00e9orama_ , described as a \"geographical garden of 4,000 square meters,\" was manufactured in 1874. Turning site-seeing into a haptic encounter with the environment, this type of geographical garden globe also appeared in Italy in the form of a landscaped globe, equipped with hydrographic and meteorological features for extra sensorial enjoyment.\n\nA version of the _g\u00e9orama_ was displayed in London from 1851 to 1862. The \"Great Globe\" of James Wyld (1812\u201387) became a most popular attraction, second only to the Crystal Palace, the famous architecture of iron and glass and the quintessential home of exhibition, which contained geography captured in fluid forms such as the marine landscape of the aquarium. The geographical fantasy expanded further to include the exhibition of a globe of forty meters in circumference at the Paris World Exhibition of 1889 and the geographer Elis\u00e9e Reclus's proposal of an even larger globe for the 1900 World Exhibition, which visitors could circumnavigate by cruising its outer circumference on a spiral staircase or tramway.\n\nThe Parisian _g\u00e9orama_ created an interesting geographical mutation as it looked ahead to the liminal configuration of cinema. Its interior was covered by a map of the world. Visitors entered the globe from the bottom and traveled upward from Antarctica, experiencing the universe in successive motion. As in a movie theater, \"georamic\" spectators traveled the world's surface\u2014here, however, _inside_ the space of the globe. The _g\u00e9orama_ performed an imaginary inversion and, in so doing, established a prefilmic route: as the world was turned outside in, exterior was made into interior. The _g\u00e9orama_ , a geographical machine, was one of the \"-orama\" traveling spectacles that preceded the cinema's own spectatorial \"embrace\" of space and particularly foregrounded the reversible architectonics of film theaters, especially those that played directly on atmospherics.\n\nThe geographic traveling aesthetic extended outward by the _g\u00e9orama_ had been previously conceived as an inward journey by the cosmorama. This precinematic space was a direct heir of _mondo nuovo_ , whose geography it extended, and a slight variant on the better known panoramas and dioramas. The cosmorama articulated the (e)motional pleasures _mondo nuovo_ had envisioned by offering its own grand tour, which was architecturally constructed. It was a glorified, indoor version of the _mondo nuovo_ \u2014a _mondo nuovo_ , that is, turned inward. Instead of being presented inside a box and traveling through a public space, portable-sized views of cities and landscapes were now exhibited on the interior of an architectural space. The spectator entered a semi-darkened room and, through a series of openings, would enjoy a spectacle of views. These insets were inserted in the walls of the room and were enlarged by mirrors, lenses, and other perspectival and optical devices.\n\n5.12. A world turned outside in: sectional view of the interior of James Wyld's \"Great Globe,\" 1851.\n\n5.13. Interior and plan of a cosmorama showing how to voyage in a room, 1821.\n\nThe cosmorama transformed the concept of architectural \"aperture\": windows were made into lenses. To enhance the effect of the representational framing, a black border was inserted between the picture and the lens. Sequences of panoramic and dioramic views were thus presented to spectators, who would pay a ticket to enter this public site. The imaging that once took shape by looking into a box could now also be seen by traversing a space, sequentially observing a spectacle of framed views. In the \"Cosmorama Room,\" one was transported \"straightway thousands of miles from home.\"\n\nThe cosmorama made its first appearance in Paris in 1808 under the aegis of the _Societ\u00e9 des Voyageurs et d'Artistes_ and soon spread to other European and North American cities. Indeed, voyage and art were essential components of its architectonics. The _cosmorama mouvant_ was advertised as a \"picturesque voyage.\" In this \"reminder of travel memories... one would return to deep valleys once traversed, stop in front of waterfalls, cross creeks, climb mountain tops and icelands, descend into grottos and the abyss, without making any effort or incurring any peril.\" The cosmorama favored topographical and architectural topoi such as landscape views and urban sites. Like other forms of miniature panorama, significantly called \"Physical-picturesque Views\" and \"Voyage in a Room,\" it proposed this intimate kind of imaginary voyage.\n\nIn addition to Paris, the cosmorama was exhibited as the Cosmorama Room in metropolises such as New York, where it opened in 1815, and London, where it opened in 1820. Advertised to please a \"cosmopolite society,\" it was a fashionable meeting place \"for Idlers, Lovers, Young Folks, Amusement-seekers, Ice-eaters &c. &c. &c.\" According to the publicity: \"Here, by looking through a glass, you can see Mont-Blanc as true as reality.... From a view of the great Square at Cairo the transition is momentary to a nice little square cake; and from contemplating the ruins at Palmyra in the Desert, the twinkling of an eye transports you to the demolition of jellies in this place of abandon.\" Indeed, the Cosmorama Room introduced the essential architectonics of film, in which the absorption of images went hand in hand with food consumption. Like the film theater to come, it included a kind of concession stand where refreshments were available to the spectators. Idlers could consume other items as well, such as art objects\u2014images available for show and sale. The Cosmorama Room linked the activity of watching to shopping and eating. The spectator was fundamentally absorbed by images and, in turn, absorbed them. It is not by chance that one of the byproducts of this spectacle was called the Physiorama. Enhancing a prefilmic sense of ingestive pleasure, the cosmorama became an attraction at bazaars: view shopping became an annex to window shopping and thus showed that those two phenomena are connected. The peripatetic form of viewing\u2014indeed, devouring\u2014images established by this \"-orama\" room included an immobile spectatorship as well; this geographic-architectonic construct thus clearly foreshadows the architecture of film theaters. In Cosmorama Rooms, the itinerant prefilmic spectator could sometimes sit on chairs to take in the view of the \"physioramic\" picture show, displayed in a prefilmic house of pictures.\n\n### HOUSING PICTURES\n\nThe design of the Cosmorama Room followed that of another prefilmic space, the Eidophusikon, which had opened thirty years earlier, in 1781, and also inspired nineteenth-century cycloramas. The Eidophusikon, invented by the painter and set designer Philippe Jacques de Loutherbourg (1740\u20131812), was a mimetic spectacle that added motion, time, and three-dimensionality to pictures, which were presented as a series in movement in a darkened room. Spectators watched moving views of landscapes in a large theatrical stage-box. A _mondo nuovo_ with moving pictures, the Eidophusikon presented mobilized views of an ever-changing topography that spanned the globe. One sequence took the spectator-passenger from London to Tangiers and Gibraltar, and then onto Naples, ending with a moonlit night in the Mediterranean disturbed by a storm at sea. North America and Japan featured in other sequences. The spectacular lighting of the show was often accompanied by sound effects, with the aim of giving audio-visual texture to the locations portrayed and adding a \"picturesque of sound\" to the lighting effects of the mechanical action. Derivative versions of the Eidophusikon, the \"Mechanical and Picturesque Cabinet\" and \"Mechanical and Beautiful Picturesque Representations,\" made apparent the picturesque nature of the spectacle. The Eidophusikon traveled to America, where it was first known as \"Perspective Views with Changeable Effects\" and then simply as \"Moving Pictures.\"\n\nPlate I. Jan Brueghel, _Allegory of Touch_ , 1618. Oil on wood.\n\nPlate II. _Emotions:_ the movement of passions painted on glass for magic lantern shows, c. 1750\u20131800.\n\nPlate III. Panoramic wallpaper: interior decor envisions _Les Grands Boulevards de Paris_ , c. 1855.\n\nPlate IV. _Carte du pays de Tendre_ , the map of tenderness designed by Madeleine de Scud\u00e9ry in her novel _Cl\u00e9lie_ , 1654. Engraving by Francois Chauveau.\n\nPlate V. Maps of emotion: a bedroom story in Guillermo Kuitca's _Untitled_ , 1993. Acrylic on 60 mattresses. Detail of installation at Whitechapel Art Gallery, London.\n\nPlate VI. A gallery of _emotional_ maps in Guillermo Kuitca's _Untitled_ , 1992. Acrylic on mattress with wood and bronze legs, 20 beds.\n\nPlate VII. Screening history while traversing a \"gallery\" of maps: Galleria delle carte geografiche, Vatican Palace, Vatican State.\n\nPlate VIII. Jan Brueghel, _The Senses of Touch, Hearing, and Taste_ , 1618. Oil on canvas.\n\nPlate IX. A taste of touch in Peter Greenaway's installation _Watching Water_ , Venice, 1993. Interior view.\n\nPlate X. An archive of habitation: view of Doris Salcedo's untitled installation at the Carnegie International, Pittsburgh, 1995.\n\nPlate XI. Haptic texture in Gerhard Richter's _Atlas_ (1962-present). Sheet no. 93: _Photograph Sections_ , 1970. 9 color photographs. Detail.\n\nPlate XII. A different kind of \"Atlas\": Women design the world on the frontispiece of Jan Barend Elwe's _Atlas_ , 1792.\n\nPlate XIII. Of flesh and bone: Guillermo Kuitca, _Untitled (Torino)_ , 1993\u201395. Mixed media on canvas.\n\nPlate XIV. House as airport in Guillermo Kuitca's _Coming Home_ , 1992. Acrylic on canvas.\n\nPlate XV. Refocusing the journey of dwelling: Seton Smith, _Curving Windows and Stairs_ , 1996. Cibachrome print.\n\nPlate XVI. A map of the texture of writing: Ann Hamilton, _tropos_ , 1993. Detail of the installation at Dia Center for the Arts, New York.\n\nBoth the homing and the roaming effect of the \"movie house\" are evident in the Cosmorama Room and the Eidophusikon, architectural homes of the prefilmic in which the play of traversing interior\/exterior takes place. Thus the box of _mondo nuovo_ , exhibited in the public city square, is transformed in an interior public architecture\u2014a room with a view\u2014before it becomes the cinematic _camera_ obscura\u2014that dark \"room\" of public privacy that is the cinema. The film spectator takes shape as an inhabitant of a viewing box. A consumer of views, an intimate voyager, she is \"moved\" by the landscape of traveling cultures.\n\n### DRESSING THE INTERIOR: FILM AS PANORAMIC WALLPAPER\n\nConceived as movement in the architecture of the interior, the genealogy of film draws on a number of such architectural formations and tours. The movie theater, itself a room with a view, is not a singular architecture but one inscribed in the changing histories of the interior. Travel is one of the ways in which the barrier between interior and exterior is broken, as it blurs their rigidly defined architectures. As a liminal space between interior and exterior, cinema is the architecture of an \"in-between\"\u2014traveling architecture.\n\nThe voyage that such moving architectonics enables includes a multiple _transito_ between space and the body. Film makes space between architecture and the body; it is about this _emotional_ passage. In this respect, alongside the many forms of moving views and \"-orama\" spectacles, we should also investigate other \"architectures\" in search of filmic clues. In particular, interior design, decor, and decoration must be considered when thinking about film and its genealogical scenography, for they helped to \"fashion\" the cinema as well.\n\nA particularly interesting case of an architecture that fashioned film is the _papier peint panoramique._ Panoramic wallpaper was a design trend that appeared in Europe in the late eighteenth century. At the time, frescoes and tapestries were being superseded by wallpaper that adorned rooms with various imagery, especially landscapes. As the interior preserved in Pompeii's Villa dei Misteri shows, frescoed walls had always provided a form of architectural doubling and a meta-architectural journey. Decorative painting was fashionable in ancient Roman times and resurfaced with an illusionistic touch during the baroque period, when ornamental paintings, often representing architectural elements, covered the ceilings and walls of churches and palaces. _Trompe l'oeil_ techniques pervaded interior design as wall painting became fashionable in the decoration of the home. The eighteenth century saw the rise of the garden room, where the boundaries of the covered surface eventually expanded into a total view. Wall decoration in the nineteenth century added a new, comprehensive dimension to ornament. Initiated by Joseph Dufour, Jean Zuber, and others, this new fashion, in which wallpaper panoramically covered all walls of the room with imaging, grew tremendously in popularity, supplanting painting and tapestry. Panoramic wallpaper reframed the inside as an outside. As the sole decorative element of the room, it was an architectural feature by which exterior was made interior.\n\n5.14. Panoramic wallpaper: interior decor envisions _Les Grands Boulevards de Paris_ , c. 1855. Detail.\n\nPanoramic wallpaper was not simply an extension of previous forms of wall decoration but a new technological invention. Industrially produced as serial imagery, panoramic wallpaper relied on a mode of mass production. The unique and artistically produced fresco was thus superseded by a series of industrially made images. As a hybrid product of art and industry, panoramic wallpaper paved the way to the invention of film\u2014an industry of moving pictures\u2014and its own artistic and industrial contaminations.\n\nWhat took shape in the interior of nineteenth-century homes would later \"take place\" in the space of the movie theater. The _papier peint panoramique_ not only foregrounded the cinematic mode of production but, as a composition structured rhythmically in a series of _tableaux_ , exhibited film's new form of spatial representation. Scenes followed one another without repetition, developing a description of a landscape or unfolding a story. Ruptures occurred along the way, for the sequence of images attached to the wall was made of separate panels, each carefully framed. The panels were bound together by structural elements formally conceived to create (dis)juncture and to provide the effect of sequential continuity. Imaginatively sutured, the borders of the depicted scenes were designed so that the wallpaper would appear as a constant flow of images, seamlessly unfolding along the walls. A film before cinema, panoramic wallpaper\u2014a moving chain of views\u2014was the product of edited images: fragments of visible space rendered as panoramic vision. The cinematic framing of shots and the process of their sequential montage was thus architecturally born along the house wall before migrating into the movie \"house.\"\n\nThe _papier peint panoramique_ fashioned the panoramic drive that film would mechanically reproduce; striving to achieve this vision, it stressed the horizontal dimension of its visual horizon. It invited the gaze to make a tour around the space. The borders of the walls exploded in this form of representation, where images enveloped a viewer's body in space. As in film, here the beholder is the inhabitant of a space: someone living in a (private) space, who, looking at an interior\/exterior, projects her own interior space onto the wall\/screen. Like a film viewer, such an inhabitant-spectator is also a passenger. Immobile at the center of the representation, the spectator-passenger is embraced by the composition and transported by the circular flow of images.\n\nThe convention of the inhabitant-spectator-passenger was architecturally established before it became a cinematic practice. A body at home was made to travel. Ubiquity inhabited a single room. The drive of the apparatus to journey was enhanced by the subject matter of panoramic wallpaper, which depicted scenes of travel, discovery, and adventure as well as narrative representations of history, mythology, and natural scenes. Particularly popular were views of cities; garden views and other forms of landscape architecture; remakes of exterior architectural styles; and historical revisitations of interiors, with the reframing of architectural elements (such as windows, doors, and passageways) in panoramic form. Landscapes dominated in a design that focused on the description and observation of places. Innumerable Italian scenes were produced, covering aspects of city life and picturesque angles.\n\nThe stylistic conceits of such wallpaper ranged from the domestic and the familiar all the way to the exotic. This aspect of the history of wallpaper has been tackled in a compelling architectural installation entitled _Taste Venue_ (1994), by the African-American artist Ren\u00e9e Green, who shows how decor intimately takes part in the making and undoing of colonial discourse. A force in the effort to decolonize and rewrite the peripatetics of home as well as peripatetics _at_ home, the wallpaper, with its \"world tour\" (the title of another of the artist's installations, from 1993) functions as one of what Green has called the _Sites of Genealogy_ (1990).\n\n5.15. Ladies' panoramic interior in Wilhelm Rehlen's _Le Salon des princesses Sophie et Marie de Bavi\u00e8re \u00e0 Nymphenburg_ , c. 1820.\n\nWith panoramic wallpaper, a wide-ranging invitation to travel, including an anthropological expedition into domination, was extended to the inhabitant-spectator. A prefilmic offer to travel without leaving the room was the prominent message of the panoramic wallpaper, which enacted a domestic form of the _voyage pittoresque_. As a manufacturer of this interior tour wrote in a booklet:\n\n_We thought we may inspire gratitude for having assembled, in a clear and comfortable fashion, the multitude of people that the immensity of seas separates from us. This way, without leaving his apartment, with the views brought home and revolving around him, the studious man shall pretend to be in front of characters._\n\n### VOYAGE AROUND MY ROOM\n\nLike a library, the room outfitted in panoramic wallpaper contained an imaginary universe. It was itself a library of images, an encyclopedia of traveling images. As the views that featured regularly in this panoramic vogue obsessively depicted sites and their customs, a form of travel report came to tower in the wallpaper library as much as it did in the libraries of the period. Panoramically conceived, location became a site of history, for this prefilmic scenography narrated with space. As spatial narrative, the panoramic wallpaper read the story of a landscape as it read history in the form of a location. Like a film, it offered a panorama of history via geography and, in this way, helped forge the shifting narratives of the historical landscape.\n\n5.16. Cinema before cinema: moving images unfold from an apparatus used for rolling panoramic wallpaper, 19th century.\n\nThe landscape at stake was the very history of private life, for the home was the location of travel. Traces of history were written on the walls of the interior; the world was \"at home\" in the decorated walls of the house. In turn, the evolving narrative of the interior inscribed itself onto the vast horizon of the panoramic gaze. The spectator of mythological scenes or historical travel was the agent of a family history: the walls contained her history as well, acted out in their interiors and drafted onto their surfaces. An inhabitant-traveler, she was both en route and in place. As living rooms and dining rooms opened themselves outward, panoramically traveling elsewhere, the enclosure of the interior collapsed. Before glass architecture redefined the space of privacy and Le Corbusier's horizontal window opened it to view, decor effected a transformation of the interior. The private became engaged with the public in a mirroring effect that, multiplying and diversifying the terms of the relation, transformed them both.\n\nIt was out of this transformation that a new subject emerged, housed in the movie \"house.\" The public panoramic apparatus was produced as domestic space and engendered new forms of private life before it became cinema. In the shape of decor and domestic scenography, such a set \"fashioned\" the interaction of private and public space and their joint evolution. A screen on which a passage between interior and exterior took place, panoramic wallpaper acted as prefilmic screen, \"surfacing\" film's own geography of _transito_ \u2014the \"in-between\" of interior and exterior.\n\nPanoramic wallpaper, to an even greater extent than panoramas and dioramas, acted directly on the border of the private in a way that closely resembles filmic space. Both are border geographies, born on the brink of the inscription of the panoramic horizon onto the interior. Appropriating the exterior for interior use, both act out a form of domestication. Their ethnography is everyday life. A subject of insistent investigation in prefilmic forms, the everyday became early film's own anthropology. Actualities and travel films constantly returned to the subjects of nineteenth-century wallpapers and to their sense of being \"on location.\" The familial engaged the foreign. The observation of different ways of life\u2014a history lived as geography\u2014was refashioned as filmic travelogue.\n\nThe geography of the interior was reaffirmed and transformed as the voyage around one's own room became cinema. Indeed, panoramic wallpaper was a form of decor\u2014a mise-en-sc\u00e8ne\u2014that enabled one to venture outside by staying inside, to be in one's own room and yet, at the same time, in an imaginative elsewhere. Such a heterotopic architectural effect foregrounded the very \"transport\" of the cinema. A panoramic interior architecture, film is also a wall inscribed with pictures, a wall that is also a window and a screen. Bound to domestic architecture and its forms of travel, the moving image is a contemporary panoramic wallpaper. Its \"fashioning\" took place at the intersection of architecture and geography, a mapping that traversed various forms of interiorized space. This included the formation of the picturesque imagination in its various traveling incarnations. Let us now turn to this _emotional_ movement.\n\n6.1. Giovanni Paolo Panini, _Picture Gallery with Views of Modern Rome_ , 1757. Oil on canvas.\n\n## **6 Haptic Routes: View Painting and Garden Narratives**\n\n> _Why couldn't we have the windows of our living room open onto a diorama, representing a beautiful landscape.... It would be wonderful to change the view from one's window once a month\u2014to go from Rome to Naples, from Naples to Messina, or wherever we like, without having to move_.\n> \n> Th\u00e9ophile Gautier\n> \n> _What does travel ultimately produce if it is not, by a sort of reversal, 'an exploration of the deserted places of my memory'... something like an 'uprooting in one's origins' (Heidegger)?_\n> \n> Michel de Certeau\n\nAs a form of panoramic wallpaper, cinema had its spatial roots in the new \"fashions\" of spatiality that marked the rise of modernity. In pursuing the movement that was taking place in forms of cultural traveling, we traverse a terrain that extended from topographical view painting and cartography to landscape design and, eventually, panoramic vision. As it was located and dislocated, vision was being transformed along the route of mapping. The new pleasure was not the effect of an incorporeal eye, for it was a \"matter\" of space. The eye\/I that was designing\u2014\"fashioning\"\u2014the new visions was a traveling one, which craved spatial expansion. As space was absorbed and consumed in movement by a spectator, a new architectonics was set in motion: a \"picturesque revolution\" that was born of setting sites in moving perspectives, expanding outward to incorporate ever larger portions of space. The new sensibility engaged the physicality of the observer, challenging her ability to take in space and more space\u2014a mobilized space.\n\nDuring the eighteenth century, the production of travel discourse began to grow and took on a variety of forms, from literary to visual and spatial configurations. Journey poems, view paintings, and garden views were among the new forms of shared spatiovisual pleasure. They combined a sensualist theory of the imagination with the touch of physicality. A haptic consciousness was being produced. The broadening of visuality inaugurated at this time was essentially about changing the way desire was positioned: it effectively \"located\" desire in space and articulated it as a spatial practice. Speaking of the increased yearning for capturing sites in the form of (panoramic) views, the historian Alain Corbin writes:\n\n_The debate continued for some time about the sources of this fabulous broadening of vision.... The Italian_ vedute _had learned to take a comprehensive view of their cities, and for ages tourists had rushed to take in the Bay of Naples from the terracesoverlooking the city.... The 'prospect view' offered a pleasure, combined with walking and the ideal day, that gave rise to a new way of seeing._\n\nScanning sites and cityscapes, moving through and with landscapes, this opening of spatial horizons fashioned spectacular spectatorial pleasures. The \"collective attraction for views\" was another of the forces that shaped the cultural movement which proleptically led to the cinema. The new mechanisms for spatiovisual (e)motion, that is, expressed the desire for the moving image. It is interesting to note that, without speaking directly of the cinema, Corbin himself partakes of filmic language in describing the new emotion:\n\n_Taking in the panorama with a sweeping glance, evaluating its variety,... letting the eye slide from distant horizon down to the foreground in a sort of_ travelling shot _[my emphasis], and learning to expand the depth of field of one's vision were so many new delights for enthusiasts._\n\nThis description of the effects of the eighteenth century's new ways of seeing could easily apply to the cinema, for such mapping of space foregrounds film's own moving views and \"traveling shots.\" Like the tourist confronting a panorama and the viewer addressing a view painting or a panorama painting, the film spectator holds a sweeping glance that is capable of seeing difference. It can slide from the expanse of distant horizons to extreme close-ups. Exploring space from background to foreground, film technique has indeed expanded our \"depth of field.\"\n\nThe origins of such observational technique is linguistically apparent. Film language speaks literally of travel space, as the French word for camera movement, _travelling_ , attests. It is not by chance that a circular camera movement around an axis is known in French as _panoramique_ , in Italian as _panoramica_ , and in English as \"pan.\" Train travel is clearly written into Anglo-American film language, which uses the expression \"tracking shot\" for a type of camera movement that actually incorporates tracks into its physical execution. Along all axes, film moves panoramically.\n\nSuch cinematic motion descends genealogically from the traveling history of spatial phenomenology\u2014that is, from the fascination for views and the physical hunger for space that led the subject from vista to vista in an extended search for urban and spatial emotion. Spatial curiosity and the pleasures of site-seeing were consolidated in eighteenth-century travel culture, which designed a route that ranged across topographical views and maps to the architectonics of gardens and led to the opening of travel to more people, the circulation of travel narratives, and the rise of a leisure industry. This included travel to resorts and spas as well as the amusement of peering into cabinets of curiosities and browsing through the composition of natural settings or their depictions. Moving along the path of modernity from view painting to garden views, from travel sketches to itinerant viewing boxes, from panoramas and other geographical \"-oramas\" to forms of interior\/exterior mapping, from the mobile views of train travel to urban streetwalking, the subject was \"incorporated\" into motion pictures. It is this moving, haptic space that created the (e)motion picture and its spectator\u2014a body who is indeed a \"passenger.\"\n\n### RETRACING TRAVELING SHOTS\n\n> _All bodies that move rapidly appear to inscribe their trajectory with a trace of their own colorful texture_.\n> \n> Leonardo da Vinci\n\nIn many ways connected, geography and the body share a tangible territory: the terrain of lived space. Beginning in the eighteenth century, the domain of physicality was designed at the intersection of inside and outside. Links were established, for example, \"between the city and the new science of the body,\" as Richard Sennett shows in his urban history of \"flesh and stone\": \"The Enlightenment planner emphasized the journey.... Thus were the words 'artery' and 'veins' applied to city streets by designers who sought to model traffic systems on the blood system of the body.\" The analogy between the motion of the city and the circulation of bodily fluids was defining a new mobile and haptic mapping.\n\nBy the late eighteenth century, the picturesque movement established its own sensuous field of action in landscape design and pictorial views. The picturesque model established a \"sense\" of space, derived from, among other things, the philosophical tradition of John Locke. At the same time, however, as Barbara Stafford claims, another movement sought a more factual approach to spatiality. This way of picturing landscape culminated in the realistic tradition of the nineteenth century. Both sensibilities intertwined in a plurality of hybrid forms, however. In their different ways, each enhanced the vision of space, calling attention to location\u2014a matter that cinema would make one of its own generative landscapes.\n\nThe expansion of spatiality continued in the nineteenth century's mechanized version of the traveling eye and its effects of site-seeing. The passion for traveling, in the words of urban historian Christine Boyer, meant \"simultaneously perceiving travel narratives, history books, historical painting, and architectural ruins to be modes of vicarious travel through time and space.... Traveling, visiting museums, studying maps, gazing upon architecture, and even observing a city's plan were all optical means by which the beholder organized his mind and his visual memory.\"\n\nThe passion for traveling created a new field of observation that connected diverse spatiotemporal configurations and turned them into a new map. An equally new observer emerged from these moving pictures in the persona of the film spectator. Such a spectatorial body\u2014produced on the cultural map of modernity\u2014had protofilmic roots in the history of spectatorial paradigms, configured of effects from the eighteenth century's visions of space. \"The quester after fact\" and \"the seeker after sensations\" found a meeting place in the hybrid realm of the moving image. Motion pictures\u2014the realm of (e)motion\u2014wed the voyage of the analytical imagination to the pursuit of sensual pleasures. The diverse geographic directions of early modernity merged in film's haptic way of picturing and experiencing space. Film established a topographical \"sense.\" It was a geographic attraction turned _emotion_.\n\n### CARTOGRAPHIC VIEWING\n\nTo understand the origins of the moving image's _emotion_ \u2014its analytical \"transport\"\u2014we must return to the mid-eighteenth century and its aftermath, which witnessed the flourishing of topographical and view painting. The effect of these forms was to carry away\u2014transport\u2014the spectator into the landscape or cityscape depicted, powerfully creating the feeling of simulated travel. The art of viewing sites assumed widely varying forms, from the display of architectural sites as emotional matters, in the tradition of the Neapolitan artist Salvator Rosa (1616\u201373) and others, to a more descriptive, representational mode that circulated widely as paintings, prints, and illustrations in travel accounts and also as atlases and topographical mappings.\n\n_Vedutismo_ was a particular incarnation of the observational gaze. Foregrounded by a growing interest in architectural forms, paintings of city views were recognized as an autonomous aesthetic category in the late seventeenth century. The _veduta_ evolved from a veritable pandemic of urban imaging and _furor geographicus_ that, from the fifteenth century onward, had taken the form of book illustrations, drawings, prints, and paintings. Illustrated topographical books, which included histories, travel reports, geographic surveys, and atlases, were instrumental in establishing a taste for viewing sites. The _veduta_ itself is inseparable from the history of the grand tour.\n\nThe Italian _veduta_ used different codes in its description of the city than, say, the Dutch city view. In the _veduta_ , the portrait of the city was environmentally shaped in a type of staged representation that transferred the codes of landscape painting to the urban terrain. Masters of this type of representation included Canaletto (1697\u20131768) and Giovanni Paolo Panini (c. 1691\u20131765). Working closely with topographical representation, this genre of view painting emphasized the drama of location; the portrait of the city in Italian _vedutismo_ , that is, tended toward a narrative dramatization of sites, characterized by a heightened and tactile texture of place.\n\nAs they merged the codes of urban topography and landscape painting, city views also incorporated the cartographic drive, creating imaginative representational maps. The city was approached from different viewpoints. These ranged from profile and prospective views to plans, map views, and bird's-eye views, which were often even combined in topographical views. As was often the case even in traditional cartography, factual accuracy was not the aim of these urban views, which exhibited an interest in rendering a mental \"image of the city\" and proposed not one \"cognitive mapping\" but diverse observational routes. If imaging a city involves a cluster of diverse maps that are inhabited and carried around by city dwellers within themselves, view painting, in turn, inscribed this moving, inhabited space within its mapping of the city. As the Genovese humanist Antonio Ivani wrote, back in 1473, about a partial view of his city that he sent to a Florentine friend: \"[the representation] shows not the whole city, but only parts which meet the need of writers, with the sites [shown] in such a manner as occur [to one] in connection with a narration.\" Urban portraits portrayed a haptically lived city and presented it for further _transito_ and spectatorial inhabitation, for there is always more than one embedded story in \"the naked city.\"\n\nCity views were in many ways an object of the everyday narrative of urban life. As suggested in an eighteenth-century catalogue description for a printed view of London, city views were considered a \"cheap and proper ornament for Halls, Rooms and Staircases.\" In addition to mapping the exterior, city views interestingly participated in the history of the interior, following the \"domestic\" use that had been made of world maps. From the sixteenth century on, maps were produced in great numbers as objects of display suitable for wall decoration and thus became a feature of domestic interiors, together with other cartographic objects. Atlases brought the world into the domestic space as well, while the globe reduced it to a miniature size, easy to \"handle\" in one's own home. From wall maps to atlases to globes, ornament and mapping progressed hand in hand.\n\nIt follows that city views also became a feature of domestic urban life, participating in the history of exhibition and private life. Urban views even migrated from forms of architectural decor and decoration all the way to the decorative arts where, from the mid-eighteenth century on, they appeared as illustrations on domestic objects. They entered table manners in the form of embellishment on plates, bowls, glasses, cups, and trays and illustrated the tops of dining room tables or were inscribed on their surfaces. They \"illuminated\" pieces of furniture such as writing desks and decorated ladies' jewelry boxes and fans. City views traveled from the outside to the inside, mapping out the space of the domestic interior and, in so doing, taking part in the liminal passage that marks \"domestic\" cartography.\n\nAlthough the realm of city views cannot be collapsed altogether with cartography, which became an independent genre by the seventeenth century, the history of urban views certainly parallels that of artistic maps and interacts with it in many interesting ways. Like mapmaking artists, visual artists who painted views made use of optical instruments such as the camera obscura or the perspective glass, and a cartographic impulse pervaded the form in all its manifestations. Although city views were not necessarily the same as plans, they shared the representational terrain of mapping. Views were often made as prints and published by mapmakers, and thus maintain a direct link to cartography. Even when the artist was not a cartographer, or the cartographer was not an artist, representations suggest that the metiers were considered interchangeable. Rather than two different domains, the aesthetic and scientific realms were merged in the cartographic art. In general, cartography and the art of viewing, which included landscape painting, interacted in the development of notions of space as well as attitudes toward space. Throughout their history and in their many manifestations, city views established a form of site-seeing: they endeavored to extend the limits, the borders, and the perspective of picturing into an act of mapping.\n\n6.2. A lady's viewing accoutrement: fan displaying a scene of the Grove at Vauxhall Gardens, London.\n\nThe art of viewing followed the older touristic drive to survey and embrace a particular terrain: the compulsion to map a territory and position oneself within it that led to the climbing of church towers, mountains, and buildings to take in the panorama. From the beginning, the city view adopted this practice and transcended its real-life limits, as shown, for instance, in the _Bird's-eye View of Venice_ attributed to Jacopo de' Barbari, one of the earliest and most significant examples of the panoramic view, produced back in 1500. The all-embracing view was not a totalizing vision in this multi-sheet mapping of the city, which was designed for wall decoration and is speculated even to have served touristic aims. As the art historian Juergen Schulz claims, this was an impressively imaginative enterprise of topographic rendering, for the overall view was assembled from a number of disparate drawings made from different high points throughout the city. There is no clear focal point in this imaginary view, which is rather constructed as a montage of different vanishing points. The observer is not fixed to a position or to a set distance but appears free to wander in and around the space.\n\n6.3. Jacopo de' Barbari, _Bird's-eye View of Venice_ , 1500. Woodcut.\n\nGenerally speaking, the bird's-eye view was an imaginary perspective, taken from an impossible viewpoint that was neither the actual high point of the real surroundings nor the ground, but above the supposed vantage point and tilted. From Leonardo da Vinci's early attempts to turn earthbound observation into aerial vision\u2014in his oblique map of Milan, anticipated by his panoramic landscape drawings\u2014this cartographic measure was a product of the creative imagination of the artist-cartographer. With a number of possibilities open, the artist-cartographer could take the road suggested by Louis Marin, who claims that \"a bird's-eye view gives us a 'snapshot' of the city.\" But however conceived, the bird's-eye-view was a permeable place of encounters between the map and the landscape, where a number of (im)possible itineraries were inscribed. Often dismissed as a teleological perspective or mistaken for a \"cognitive mapping\" from a superior eye, the bird's-eye view bears reconsideration: it was not a totalizing perspective but a view from \"nowhere\" and \"now here.\" This imagined dislocated view, made possible much later by the spatiovisual techniques of cinema, attempted to free vision from a singular, fixed viewpoint, imaginatively mobilizing visual space. The scene of the bird's-eye view staged a fabricated spatial observation that opened the door to narrative space.\n\nHere, the city could become part of a sequence of imaginary surveys, including the traveler's journey. The view described the city as an integral part of cultural travel and inscribed it into the very trajectory of this voyage. A geographical rendering of the imagination, the bird's-eye view was an imaginary map for both those who knew and those who had never seen a city; both spectators found the site described in a mobilized form. The wide vistas of prospect and profile views also functioned in a way that pushed perspectival boundaries. These vistas strove to overcome the limitations of perspective by creating a wider horizontal expanse, often made of aggregate views, that eroded the notion of a single, prioritized perspective.\n\nThus the image of the Western city expanded, \"unlimiting the bounds of painting.\" Such expansion\u2014rupturing the containability of borders and frames\u2014made it impossible for the ideal city of Renaissance perspective to remain representationally intact, to be captured in a single image. In the eighteenth century, urban _vedute_ were produced in several parts, even as different viewpoints. The image of the city underwent an intense process of fragmentation and multiplication before being refigured in the all-embracing views of the panorama, which extended the very borders of the frame. As architectural historian Cesare De Seta suggests, \"the urban organism shatters in multiple views.\" The body of the city is cut into partial views and a fractured montage is set in motion, written on a serialized body-city.\n\nSuch montages of views, combined with the panoramic impulse, spoke of things to come: motion pictures. By presenting multiple, mobile perspectives and suggesting a mobilized observer, these urban views exhibited a protocinematic attempt to extend and expand the field of vision itself. It is no wonder that prefilmic apparatuses such as _mondo nuovo_ translated _vedutismo_ into a popular visual terrain, _transporting_ it into the realm of shifting streetscapes. It was this cartographic mobilization of perspective, inscribed in the movement of and attraction to urban imaging, that eventually became the \"transport\" of motion pictures.\n\n### MOVING BEYOND PERSPECTIVISM\n\nThinking by way of such cartography allows us to re-view the place of motion pictures in representational history, moving beyond the confines of classic perspective into a different, mobile architectonics. Advocating architectural representation beyond perspectivism, Alberto P\u00e9rez-G\u00f3mez and Louise Pelletier have made a brief but significant reference to film in this respect. \"The shadow of cinematographic projection re-embodied motion and retrieved tactile space from the perspective frame,\" they argue. \"Film offered a possibility to transcend the limitations of the technological, enframed vision through the juxtaposition of different realities.\" By adopting an architectural view of film space and investigating the cartographic dimension of this site-seeing, we see that filmic language\u2014a corporeal disruption of static, absolute vision\u2014is a deviation from perspectivism. Vision in film is not fundamentally determined by the distance between the eye and the objects viewed, as in the linear perspective of Albertian Renaissance representation and its model of optics. Cinematic vision bears the destabilizing effect of a shifting, mobilized field. The product of the history of space, filmic space is a terrain of shifting positions\u2014the product of multiple, incorporated, and mobile viewpoints.\n\nFilm space is not quite the homogeneous space of classical unified central perspective, which has been pictured as if, existing in front of the body, it could be seen \"with a single and immobile eye,\" as Erwin Panofsky put it, relating perspectival to cultural views\u2014an eye external and prior to the representation. As a heterogeneous space comprised of constantly moving centers, the moving image \"embraces\" the shifting trajectories of psychophysiological space, where the spectator-passenger is mapped within the landscape. To trace the genealogy of such a psychospatial dynamics, we must therefore move away from the Albertian perspectival model and continue to search in different directions for filmic incarnations. This includes exploring different perspectival histories as they correspond to different cultural visions.\n\nFirst, it must be said that not all perspective drawing was equally constructed to affirm the unity of a body in space. Some artists did not fail to acknowledge a shifting vision or the embodiment of the beholder. A particular case is found in the history of Dutch art, which exhibits, insofar as perspective is concerned, an instance of protofilmic spatiality in the perspective drawings of Jan Vredeman de Vries (1527-c. 1604). The most important Dutch master of perspective, de Vries was an architectural designer as well as a painter and graphic artist who produced a fascinating body of engravings on architecture, ornamental design, and gardens, among other subjects. His book _Perspective_ shows a variety of architectural spaces rendered in imaginative ways. De Vries's work was influential and had a particular impact on illusionistic architectural imaging. His drawings produced a spatial effect which the art historian Svetlana Alpers, in her foundational work on Dutch art and \"the art of describing,\" calls an \"adding-on of views of the moving eye.\" Mapping the viewer in this cumulative motion, his perspective prefigured filmic scenography.\n\n6.4. Narratives in moving perspective: the inhabited architecture of Jan Vredeman de Vries's _Perspective_ , 1604\u20135.\n\nDe Vries's architectonics included the inhabitant or intruder of the space in its representation. In creating such inhabited spaces, he presented diversely embodied perspectives. In one architectural engraving, for example, we discover a naked body lying on a (perhaps anatomical) table, its feet facing the viewer as in Mantegna's _Dead Christ_ (1500). The figure, at the center of the vaulted space, narrativizes the architecture, setting it in motion and propelling the tectonics of the building into diegetic movements. We wander as we follow de Vries's corporeal architectural tales, viewing sequential vistas.\n\nIn another of de Vries's perspective drawings, an architectural interior is uncannily animated. A body lies on the floor\u2014or is it a corpse? Clothing ornaments draw attention to this mysterious figure while suggesting drops of blood or tears. On the right, a door opens, revealing a person about to enter the space. At the bottom of the room, another door opens wide to let someone else in. The site is spare, unadorned, and marked only by points of entrance and exit. These passageways\u2014including one more door and four windows\u2014have all been opened. As in a film, this arresting drawing communicates the suspense of a spatial narrative. Something has happened. Nothing is static: all is caught in motion, moving in and out, up and down, and around; and it is about to change again. This perspectival space embodies the shifting narrative of inhabitation. The perspectival technique itself shows the dynamics of multiplicity: a complex system of revealed perspectival lines, generated from more than a single viewpoint but asking to be \"taken\" in the same way, captures the emotion of body space. A moving spectator\u2014herself a body shifting in space\u2014is protofilmically charted inside these architectural views.\n\nIf we look beyond perspectivism, and at de Vries in particular, rather than conceiving of film as the direct heir of classic Renaissance perspective (as work that focuses on the cinematic apparatus has done) we can set the invention of film against a different panorama, revisioning its place in the history of perspective. We can see it as a form of mapping, inscribed in a movement in perspectival space that tends away from perspectivism and toward a tactile view of space. \"Viewed\" as this particular architectonics\u2014a spatial navigation\u2014the motion of moving pictures is revealed as an embodiment of space that approaches the feeling of the haptic.\n\n### MOBILE MAPPINGS: VIEWS IN FLUX\n\nThe techniques of observing architectural views articulated a relationship between space, movement, and narrative, thus establishing a tradition of spatial storytelling. This geography was not devoid of history. History, for example, occupied the format of view painting insofar as the views often offered an outlook on what was \"taking place\" in the site. Eighteenth-century views were even accompanied by remarks on the history of the city portrayed. Representing space as inhabited by events and moving with the dynamics of the city, the views exhibited a potential for narrativization. In the eighteenth century, the rectangular space of the view was extended to incorporate more narrative space; before the film strip, pictures began to tell stories in long formats. This enlarged perspective extended into the full view of nineteenth-century panoramas, where the subjects of history and narrative realism featured large. Prior to the art of film, CinemaScope picturing was \"designed\" as a mapping of narrative space.\n\n6.5. John Rocque, _Garden Plan of Chiswick House, Middlesex_ , 1736.\n\nIt was primarily the topographically oriented view painting that established a form of depiction that moved narratively. Until the mid-eighteenth century, spatiotemporal unity appeared to organize the view. The flow of history entered representation when topographical views began to show interest in a kind of diachronic documentation that exceeded perspectival frames and sought to chart a space in time. By representing the life of the site, view painting captured its motion, and, in this way, spatial depiction became historical documentation: the views, which showed real space and time, exhibited the _hic et nunc_ of the representation. In such a way, they anticipated the work of pictures brought about by the age of mechanical reproduction. With photography, it became possible to map space at the moment it was captured. Later, with motion pictures, it became possible to map a spatiotemporal flow and thus to fully re-embody a \"sense\" of space. In the evolution of perspectival practice, an aspect of tactile experience\u2014space that is lived\u2014became charted in descriptive filmic practices.\n\nThe cartographic impulse of film derives from a narrative twist on the notion of \"the art of describing.\" Its haptic rendering is particularly indebted to the multiple perspectives of views that illustrated lived space and made landscape inhabited. In depicting places geographically, the explorative drive extensively mapped this terrain and made urban sites into \"-scapes.\" Topographical views of cities frequently expressed the viewpoint of representational documentation, and the techniques of observation themselves mobilized. Drawing distant objects closer and pushing back close ones, the views filmically analyzed space, as if separating it into parts to be read as a whole. Picturing space as an assemblage of partial views\u2014a montage of spatial fragments linked panoramically by a mobile observer\u2014cartographic art pictured (proto)filmic space and its sensational transition from the kinetic to the kinesthetic.\n\nThese depictions often borrowed from nautical cartography the experience of the horizon and emulated or recorded the balloon excursion's new experience of mobilized aerial or bird's-eye views, when not prefiguring this phenomenon. The cityscape was expanding as the practice of the urban pavement extended to aerial flotation in a new perspective of shifting corporeal spaces. Haptic wanderings were transferred from the feet to \"the wings of desire,\" well before motion pictures fully enabled their multiple editing.\n\nA terrain of transformations, urban space became documented at the meeting point of city and territory as nautical cartography and fluvial topography merged with urban mapping. Navigational charts of cities often included their natural topography: the margins of cities, their natural borders, were explored; the rivers that crossed them were retraversed; and the edge where sea waves meet the urban flow was redrawn. The resulting representations sought to capture motion with a moving image, and this search for the status of movement was following a course. It was precisely this passage that the filmic flow of images would haptically materialize, establishing its own cartographic course.\n\nAs the views captured and fixed movement, they attempted to make it material and to graft it physically onto the picture surface. Such kinetic embodiment was also exhibited in the mobile cartographic activity that charted the sky and the movements of the waters, viewed in relation to currents and winds. These were forms of mapping that inscribed in their design an \"atmospheric\" transport. While celestial maps strove to chart a terrain that could not be traversed physically, sea charts aspired to render fluid matter. In astronomical navigation these two motions were linked in maps of the zodiac, for constellations were used as locational aids in navigation. Celestial, marine, and wind charting expressed a desire to map the unmappable before visual technology was able to actualize this drive and incorporate it into its own rendering of the \"atmospheric\" journey\u2014one that even transferred to the architectural surface of the movie theater.\n\nCapturing the movement of marine landscapes, some maps of seascapes, such as those created by Marshall Islanders, were constructed as elaborate, delicate structures made with sticks. The transient form of these maps suggest their function of giving direction to journey and providing guidance in navigation. Creating a beautiful mobile architectonics at the interstice of land and water, this type of cartography strove to materialize motion, making it not only visible but tangible. Early Western sea charts similarly involved a sense of travel, however figuratively: marine picturing was often haptically constructed from the itineraries of voyages and from travel experience. Insofar as they were navigationally oriented, portolan maps, for example, rendered in chart form the experience of moving across the Mediterranean Sea. In designs drawn and painted on vellum, they reproduced the moving fascination that connected land to sea, often picturing coastal outlines, inland features, and toponymy decoratively for the delight of their viewer-users. Portable maps drawn on skin, these nautical charts were consulted as they unraveled, prefiguring the materiality of the film strip and its own cartographic movement on the cinematic reel.\n\nAs we retrace the steps of the moving mapping that leads to film, we travel through a fluid, haptic geography. With respect to this genealogy, it is important to highlight how the landscapes of nautical cartography and fluvial topography, as well as of aerial mapping (including winds), played a role in the prefilmic mapping of cities. Urban representations in view painting often incorporated these moving elements, from literal portrayals of the god Aeolus blowing the winds to a wider mobilization of representational codes. The rigid geometry of picturing was changed by fluvial elements when, in the eighteenth century, the rectangular proportions of pictures expanded widely to accommodate the particular space of river towns, which could be contained neither in the conventional geometry of picturing nor in its framing. Fluvial prospect or profile views literally extended picture borders, elongating their space to create a long format that suited the telling of geohistorical stories and narrative movements, including those that would emerge beyond perspectivism.\n\nThe flow of moving images passed by way of numerous fluid mechanical representations before the motion picture was invented. Particularly significant were the hydraulic exhibitions that were popular throughout the eighteenth century. The Water Works, a play of elaborate hydraulic performances, were exhibited in theaters beginning in the early part of the century. Thus even before cinema, spectators came to watch a mechanically produced flow of images. Film's own narrative flow developed at the same time as the Cin\u00e9orama, which took spectators on a simulated tour in a hot-air balloon and featured dioramas and movie screens that unfurled actual films of the region to render the world tour. Cinema resonated kinesthetically with maritime versions of the moving panorama as well: the \"pleorama\" and the Mar\u00e9orama. Exhibited at the Paris Exposition in 1900, the Mar\u00e9orama simultaneously unrolled two moving panoramas for the delight of spectators, who were positioned between them to create the illusion of being on the deck of a ship. To enhance the effect, the floor was mechanically agitated to render the sense of navigation. This maritime \"-orama\" spectacle took up to 1,500 spectators on a simulated cruise through the Mediterranean, beginning in Marseilles and the Riviera, continuing across to Sousse in Tunisia, and then on to Naples and Venice and, finally, Constantinople. It was a sensory voyage in time as well as space. Changes of day and night were represented in a synesthetic form of journey that included smell, sea breeze, and the sound of live music, which accompanied and punctuated the trip. Thus the Mar\u00e9orama made spectators into \"passengers\" as it simulated the (e)motion of traveling by sea\u2014the sea of moving images.\n\nEven before the Mar\u00e9orama, the representations of nautical cartography and, by extension, fluvial topography reproduced the movement of vessels. Viewing an urban space by moving in and out of its bordering sea, one experiences the sensation of approach and detachment in an effect of cinematic telescoping: the physical limit of the city, at the edge of the sea, becomes a frame, which widens into an open visual space. Views of a city that follow the course of a river which traverses its architectural texture also provide a cinematic diversity of perspective and movement: one first views the city from a distance, then moves closer into its heart, and eventually moves away. In the words of architectural historian Renzo Dubbini, as one moves with the flow of the current, \"the view is regulated by a continuous but constantly altering flow of images. The point of observation shifts along a succession of the innumerable viewpoints that go to make up a geographical route.\" It is a filmic route.\n\n### A FILMIC FLOW\n\nThis geographical route is precisely the one the motion picture took as it created a haptic language of shifting viewpoints. When one rethinks representation by way of nautical and fluvial cartography, it comes as no surprise that early cinema, as an international phenomenon, insistently portrayed urban space by reproducing the captivating fluvial motion of cities. A film such as _Panorama from Gondola, St. Louis Exposition_ (American Mutoscope and Biograph, 1904) incorporated a fluvial perspective into the virtual mobility of the modern exposition by shooting the images from a boat moving along the waterway of the fair. The (e)motion of modernity was also the subject of cinematic views of New York City. Circulation was the generating principle of _Panorama of Riker's Island, N.Y_. (Edison, 1903), a film shot from a fast-moving boat that circumnavigated the island. The film represented the motion of both navigation and urban life as a biorhythm, including in this view the production and recycling of waste that took place around the city's waterways.\n\nViews of New York were mobilized in similar ways in a number of films that showed panoramas of the city's waterfront, its various architectures of motion, and the life of industrial sites. Transitory architectures such as bridges offered occasions for urban portraits, as in _Panorama from the Tower of the Brooklyn Bridge_ (American Mutoscope and Biograph, 1903), a film that creates a mobile cityscape as it approaches a bird's-eye view of the city that rises from the water. The bridge commonly served as both view and vantage point in films and sometimes literally became a viaduct, facilitating the transition between the scenic travel genre and narrative cinema, especially when railroad crossings were involved. Urban circulation was often represented as a phenomenon that moved along and with the water. In addition to the fluid views mentioned earlier, travel films of New York included instances such as Porter's _Panorama of Blackwell's Island, N.Y_. (Edison, 1903), which was filmed from a boat that cruised the island and thus presented the streets, land, and architecture from the mobile perspective of the East River. Filmic portrayals of New York showed both cinema and city as bound by mobility. The movie camera (that is, a \"moving\" camera) linked the motion of the sea and the urban crowd, thus drafting the landscape of modernity.\n\nUrban activities such as architectural construction and excavation were filmically rendered in conjunction with transport and were even characterized _as_ transport. _The Skyscrapers of New York City_ (Edison, 1903) interestingly adopted a fluvial viewpoint to render the sensation of metropolitan movements, including the rise of modern architecture and means of transportation. An elegy to the city's skyline, the film also ponders New York's railroad tracks, following them all the way to the rivers' terminals. Extending into the city piers, the railway is shown as a dynamic element of the working urban waterfront. A similar urban movement was the driving principle of _Panorama of Water Front and Brooklyn Bridge from East River_ (Edison, 1903), a city view that announced to the viewer, as view painting often did, the point of view from which the _veduta_ was taken. Cruising the waters to offer moving vistas of New York, the film depicts bustling river activities and houseboat living, climaxing with a sweeping glance across the river from under the bridge. Traveling with its spectatorship through its shifting positions, this travel film created a flowing chart of the city. In such a way\u2014by way, that is, of filmic motion\u2014simulated travelogues met urban mapping and carried us away.\n\n### JOURNEYS OF THE HOME BODY\n\nThe genealogical territory of the cinema is thus revealed as the _emotion_ that accrued to the \"transport\" of topographical view painting\u2014a haptic terrain shared with the art of cartography, which is itself a form of travel. Maps involve imagined spaces and imaginative spatial exploration. The pleasure in viewing them is a form of journey: viewing maps stimulates, recalls, and substitutes for travel. Like engaging with a map, experiencing film involves being passionately transported through a geography. One is carried away by this imaginary travel just as one is moved when one actually travels or moves (domestically) through architectural ensembles. Maps\u2014like films and architecture\u2014offer the emotion of motion.\n\nArchitecture and mapping participated in many ways in the construction of a protofilmic traveling space. City plans and architectural models provide a particular case of the moving spectacle. Throughout the eighteenth and nineteenth centuries, architecture and topography were, quite literally, a form of exhibition. Topographical and architectural models representing single buildings or entire towns or regions were objects of display in Cosmorama Rooms and other sites of exhibition. The aim of these exhibits was to take spectators on a journey. As _The Literary Gazette_ explained in 1825, in reference to the exhibit \"Switzerland in Piccadilly\" at London's Egyptian Hall, this was a form of composite architectural tourism:\n\n_The accomplished Tourist may likewise here renew his acquaintance with scenes too splendid and romantic to be evanescent, and explain to inquisitive friends, who have not had the opportunities of seeing the realities, the objects which most attracted his attention on his travels._\n\nAs this text makes clear, the function of the topographic and architectural display was not only to induce recollection and desire in the actual tourist but to provide an imaginary voyage for the \"homebody.\" In the display of architectural sites, a body of spectatorship left home by way of topographic journeys. The very equation of body with home and home with body was shattered with the creation of this different kind of voyage\u2014the \"traveling domestic\" we have seen enacted in other forms of (im)mobile journey. Not just a vicarious type of journey, this was the enactment of a different form of travel: an interior voyage, a journey of the imagination, an experience of heterotopia.\n\nSuch an architectural journey, later to be embodied in the moving passion of cinema, began by transporting spectators through various forms of topography and cartography. This popular urban affair, exemplified by the \"Switzerland in Piccadilly\" exhibition, was a geographic montage in which the confines of the homeland were demolished and opened up to border-crossing imaging. One not only could go to Switzerland without leaving London but experience a new form of voyage, an architectural montage of places. As in topographical view painting, here the spectator was transported to (and by) the city viewed, as the city itself moved toward her. A new geography was constructed that adopted the principle of editing and created an architectural heterotopia\u2014an \"elsewhere now here.\" In this way, a new form of voyage was set in motion, one set in the movie theater.\n\n### THE ART OF TRAVEL: SKETCHBOOKS, MAPS, GUIDEBOOKS, AND JOURNALS\n\nThis form of \"transport,\" embedded before film in the acts of viewing _vedute_ and traveling through maps, plans, and architectural models, was also inscribed in a type of literature: travel writing. Such writing \"moved\" its readers, taking them along paths known and unknown as it recalled, imagined, incited, and sometimes replaced an actual journey. As narrative trips, travel writing and travel diaries, as we have claimed, formed an important part of the spatiovisual architectonics that led to the cinema and its narrative flow. They were also an integral part of the artistic work of visualization and the mobilization of (narrative) space that film embodied. As forms of voyaging pleasure, they shared the cultural traveling space of both _vedute_ and cartographic renderings, a link reinforced by the fact that chroniclers of the grand tour and romantic voyage often took painters along to create landscape views of the narrated sites.\n\nArt took part in the general voyage of discovery as well, for most explorations until the mid-nineteenth century also were accompanied by traveling artists who made pictorial records of the sites. Their depictions document the evolution of representational realism in all its diverse manifestations. The documentary viewpoint that reached cinema by way of early film's obsession for actualities, scenic _dal vero_ , and travel films can also be seen as an heir of the global drive for discovery that traversed lands, navigated seas, and ascended to the sky with the aim of measuring, analyzing, and representing the \"real.\"\n\nConquering space to expand the horizons of knowledge was not necessarily the same as conquest for the sake of domination. But like the more military side of mapping, the scientific drive for discovery was embedded in the discourse of power. \"Factual\" geographic and cartographic representations of the world are nonetheless world \"views,\" ideological formations like any other representational practice. Although more scientific in nature, the topographical view that flourished with the illustrated travel book was as much a product of imaginings as the _veduta ideata_ or _capriccio_ , those more emotional creations of the viewing practice. Its descriptive method told its own imaginative story, for it described as well how the world it depicted for us was to be accessed or relived. It was geographical (hi)story-telling.\n\nThe observational impulse of modernity\u2014a complex phenomenon that operated at the edge of spatial realism\u2014reframed the codes of realist practice, a process that culminated in film's own mobile remaking of \"location.\" The path that led to the rise of modernity was marked by a multifaceted experience of situations that intertwined both actual and simulated forms of journey. A geographical obsession was acted out in alternative ways of \"traveling domestic\" that included an entire range of topographic and travel artifacts. Illustrated collections of travel writing containing topographical and architectural scenes were extremely popular from as early as the mid-seventeenth century to beyond the eighteenth century. Volumes devoted solely to the illustration of sites proliferated, eventually leading to virtual picturesque voyages. Maps and prints decorated the walls of those who could not afford higher forms of travel or its depiction. Travel circulated\u2014this circulation becoming itself another form of journey\u2014and did so in ways that reached beyond the diverse forms of cartographically oriented illustration and publication we have mentioned. Travel diaries and letters circulated widely even in unpublished form, enriching the field of topographical writing with the incorporation of autobiography, for both men and women.\n\nIn general, to be knowledgeable meant to be well-traveled. Travel was coming to be conceived as a form of knowledge\u2014a spatial education. The distilled grand tour, as it appeared in Laurence Sterne's _Sentimental Journey_ , led to traveling practices that included a greater number of women and members of less-privileged classes. The voyaging craze traversed the picturesque and gave way to a romantic version, which was sensualist, melancholic, and dreamy. With an eye to natural vistas, it searched the landscapes of love and ruins. There, it found both lovable ruins and the ruins of love.\n\nMapping participated in this curiosity for location as modern voyagers became drawn to cartography. Travelers were advised to acquaint themselves with the techniques of mapping and the tools of measuring time and space, and to bring these along on their journeys. If accompanying professionals were not a possibility, the travelers themselves would often measure and draw. Amateur maps thus frequently illustrate travel accounts and diaries, confirming the curiosity for spatial observation. Rather than a prescriptive enterprise, this mapping was a descriptive tool: drawings mapped travel space; the map was a visual rendering of a practiced itinerary.\n\nGuidebooks functioned in the same way. They were a form of local knowledge and a located _savoir_. Interestingly, they were not used exclusively by foreigners. As Dezallier d'Argenville made clear in his 1778 guide to Paris, _Voyage pittoresque de Paris_ , the \"description may also be of use to the large numbers of inhabitants of the capital who feel themselves to be strangers in their own city.\" The guidebook guides us by providing a mode of discovery and rediscovery of place. A precursor of film\u2014itself a form of mapping space\u2014it describes sites, transforming the foreign into the domestic and, conversely, estranging the familiar. In a way, the guidebook remakes the path of the \"art of memory.\" Like films and mapping, guidebooks are haptically conceived: they are spatial tactics, which, reading a site's history, read memory into it. Their strategy of spatial negotiation recreates the tactile use of the space. They advise turning and returning to sites, providing potential itineraries that both anticipate and follow the inhabitant's and the traveler's movement through space\u2014the paths of experiential (e)motion and its _history_.\n\n### THE NARRATIVE OF DISPLAY\n\nThe force that traveled through and across travel culture, reaching out into early cinematic reinventions that mobilized city views, speaks of geographical desire\u2014a drive that is capable of creating historic fiction. This type of fiction is not based on action or drama but is rather engaged in the narration of space. Protocinematic activity is the narrativization of space itself. Such an impulse, found in the genre of travel writing, was shared by a certain type of _veduta_. A maritime view of the city of Venice by Alessandro Piazza, describing the activities of Francesco Morosini, _doge_ of Venice from 1688 to 1694, offers an early example. Here, a series of views is displayed for spectatorial perusal; ordered into a sequence, the multiple view acquires narrative potential and becomes a narrative space. The movement of sequentialization creates a fiction, and thus space, viewed as a progression, is narrativized. Furthering the effect of spatial storytelling, elaborate \"intertitles\" are added at the bottom of the paintings, linguistically narrating what is pictorially represented by way of a montage of images. In this way, a silent film combining shots and intertitles was born before the moving image could be mechanically reproduced.\n\nThis narrative effect of sequentialization was also achieved in evolving forms of artistic display. In this respect, it is important to consider the kind of display that is involved in the exhibition of art: different forms of reception are created not only by the pictures themselves but by the way they are assembled and the way the space of display is organized. This is made clear by the case of the Paris Salon, where, significantly, the public gathered for conversation as much as for looking at pictures. The early modern public that patronized various forms of simulated travel was also an avid consumer of artistic space. Going to an art show was itself a form of leisurely urban voyage, increasingly open to a \"public.\" Illustrations of popular places of art display in early modernity suggest a phantasmagoria of pictures, for a painting in an exhibition was not a singular image but a fragment of display. It was to be seen in conjunction with a crowd of other images and to be read in the course of spectatorial motion. The assemblage of images, tightly adjoined and made into a sequence, attracted a public of spectators. Such a public traversed a space of prefilmic montage. Sequentialized and assembled, pictures began to move\u2014and create moving stories.\n\n6.6. Narrativized space in a sequence by O. B. Bunce depicting New York's _Washington, Madison and Union Squares_ , from the 1874 book _Picturesque America_. Woodcut.\n\nThe spatial perusal that developed as a form of narration in the art of viewing was extended in the imaging that guided the spectacle of museum installation. In recording a site, the sequential or panoramic view narrativized space; in sequentializing pictures and transforming objects into images, art exhibition predated the montage of still images in film. Besides the large panoramas and dioramas that created a space of narration, oscillating between topographical and topical views, a protocinematic process was fleshed out in other forms of art display. These included the \"peristreptic views\" exhibited in theaters as moving panoramas; the \"myriorama,\" where a series of views were cut from a long panoramic strip so that they could be edited together as \"matching shots\" in different orders of sequencing; and the multiple exhibition of view painting, where events not only \"took place\" but in many ways unfolded in time and space, suggesting a transportability.\n\n### PORTABLE MOVING VIEWS\n\nInteresting cases of viewing (in) motion were scenes designed to be contained in portable drums and rotundas equipped with winding mechanisms for rolling the images in and out of a slot. Alongside J. H. Banks's portable aerial view called _Panorama View of London_ , particularly interesting examples are found in the work of the British artist Robert Havell, Jr., who also produced \"aeronautical\" views such as _Aeronautical View of London_ (1831), designed for a portable rotunda and for viewing with a magnifying glass. In 1822 Havell made a fluvial _Panorama of London_ that mapped a city tour on the Thames, commencing at Vauxhall. In 1823 he produced a maritime view called _Costa Scena_ and in 1824 made _A Coasting View of Brighton_. Each of these colored aquatints was contained in a portable box. The view would \"scroll\" out of the decorative lacquered case as the viewer physically rolled it in front of his or her eyes. In this way, a horizon of images was set in motion on the horizontal plane. The boxwood drum of _Costa Scena_ was decorated with Neptune, god of the sea, who guided the tour. It presented King George embarking on his celebrated Northern Excursion and thus took the viewer-traveler on a simulated trip from England to France through the English Channel. Against the background of inhabited land, a fleet of large and small boats was made to move along the water as the spectator manipulated the view. Along the way, various scenes and events were presented. Havell narrated the space in such a realistic way that the box actually functioned as a moving map. The viewer-traveler could take the moving device on a real trip aboard a steamboat and use the view as a map to establish her position in space, mark the various sites reached on the itinerary, and follow the course of the journey.\n\n6.7. A view scrolls out from a portable decorative case: Robert Havell, Jr., _Costa Scena_ , 1823. Colored aquatint.\n\nThis portable form of moving view-map, bound up with the narrative of travel culture, established a form of protofilmic mapping: it not only designed space but charted the movement of bodies in space. Sold as souvenirs and circulated widely, the portable rotundas could even bring moving views home. What unraveled from these \"cans of moving images\" was a protocinematic space of travel sensations and a tactics of tactile pleasure. Recalling the flow of images of Japanese scroll painting and the unfolding of nautical charts, this narrative form of depiction established the flow of spatial narration before film's own moving storytelling could physically record the architectonics of haptic space and take it, in film cans, back home to the public of the movie house.\n\nOne can imagine a journey of return to this phenomenon as an art installation that would exhibit an archive of film rolls. Showing the physical matter of film in this way would remake the cartographic journey of nautical maps, for to display a film without the apparatus is to unravel rolls of celluloid, with series of pictures scrolling out of their house-cans. In an installation proposal that mapped the space needed to do this, Dusan Makavejev once figured that to display his _Sweet Movie_ (1974), he would have to wrap the film strip around the entire exterior length of the spiral architecture of New York's Guggenheim Museum. The extensive space that a feature film would require to be physically exposed is a figurative \"measure\" of the haptic traveling enacted in the movie house.\n\n### HAPTIC MEASURES\n\n> _[I have] anatomized so considerable a tract of land, and given the most exact representation_.\n> \n> Sir William Hamilton\n\nThe haptic measure that is an outcome of the spatiovisual embodiment of travel culture came into being with the very origins of modernity. Travel was not always a visual \"matter.\" It was not even always necessarily considered a visual experience. As Judith Adler has shown, tourism was not originally a form of sightseeing. The travel experience came to be visualized historically as it evolved from earlier literary and linguistic models. Between 1600 and 1800, treatises on travel shifted from considering touring as an opportunity for discourse, even when it involved direct experience and personal observation, to viewing it, fundamentally, as eyewitness observation. The tongue gave way to the eye.\n\nWandering or traveling became a \"way\" to know, transforming knowledge itself into a geographical matter. In an interesting travel account from 1642, topography was conceived as a way to \"anatomize\" space, and such anatomical mapping was called upon to chart the shift to sightseeing:\n\n_One should read all the_ Topographers _that ever writ of, or_ anatomized a... Country _[my emphasis], and mingle Discourse with the most exact observers.... Yet one's own_ ocular _view, and personall conversation will still find out something new and unpointed at._\n\nPreparation for travel shifted from reading books to observational methods, which included perusing visual materials as a form of anticipatory voyage or simulated travel. The travel route incorporated maps, illustrations, and views, and as it expanded into the nineteenth century, travel lectures that made use of visual aids. It was a road that, ultimately, led to filmic mappings as the cinema visually and aurally reinvented the topographic-anatomic route.\n\nLooking from a geographical perspective at the cultural process of visualization, it appears that such sightseeing was actually turning into site-seeing. Eyewitness activity implies that the beholder is physically there, a material presence observing cultural space. Seeing with one's own eyes involves a (dis)placement; becoming a direct observer, the tourist acknowledges her body in space. A form of visual absorption of space, tourism establishes a being-in-place that moves through space. The body is the vehicle of this mobilization. In this sense, modern tourism shows a tangible link\u2014a haptic bond\u2014to film and its way of making space. Creating haptic travelogues and a simulated experience of travel, motion pictures participated in a movement: the cultural transformation of sightseeing into site-seeing.\n\n### PICTURESQUE SPACES\n\n> _The first amusement of the picturesque traveler is... the expectation of new scenes continually opening, and arising to his view_.\n> \n> William Gilpin\n\nOn the road to site-seeing, the modern traveling eye passed through garden views to embrace larger environments. The design of the picturesque, in theory and practice, was an important step in the modern construction of space. Its history intertwines with the history of tourism and participated in shaping its views. As an essential moment in the formation of traveling space, the picturesque revolution took part in the modern making of haptic space and, in so doing, prepared the ground for elements of traveling space in film.\n\nIt is important to articulate the impact of the picturesque on the modern moving image, especially since the movement has often been marginalized and its multiplicities reductively flattened. A complex and ultimately elusive notion of taste in landscape aesthetics and tourism that emerged between classic and romantic art, the picturesque first appeared as a term used by Alexander Pope to refer to a scene that would be proper for painting. Hardly a homogeneous notion and inseparable from assorted philosophical and artistic stances, it was redefined in various theories and practices. Although the English picturesque, notably elaborated by William Gilpin, Uvedale Price, Richard Payne Knight, and others, has tended to draw the most critical attention, the picturesque was actually articulated in the cultural contexts of a number of countries and diverse forms of expression, and thus historically embraces a multifaceted notion of space.\n\n6.8. Anonymous, _A Perspective View of the Grand Walk in the Vauxhall Gardens, and the Orchestra_ , 1765. Engraving.\n\nIt is often remarked that, as an art of landscaping, the picturesque, initially inspired by the paintings of Claude Lorrain, Nicolas Poussin, and Salvator Rosa, was imaged pictorially\u2014as a series of pictures created for aesthetic enjoyment. Painted landscape was seen as a model for the design of landscape architecture. Nature was to be experienced in the form and shape of a view and, like a picture, was to be viewed as an unfolding visual narration. Here, the garden was a form of museum. Composed of a series of pictures, often joined by way of association, the picturesque was constructed scenographically. Perspectival tricks were used to enhance the composition of the landscape and its mode of reception.\n\nIn picturesque journeys, the activity of viewing was sometimes accompanied by touristic gadgets such as the Claude glass, named after the painter. These concave mirrors, made of variously tinted glasses, were used by the viewer to look at, color, \"frame,\" and even modify the view. The Claude glass was an itinerant object, more portable than its ancestor, the camera obscura. This touristic device mediated between an already spectacularized landscape\u2014a set\u2014and the spectator in ways that call to mind the genealogy of viewing apparatuses from which the cinema descends.\n\nIn the picturesque design of the garden, nature was not a \"natural\" landscape but a cultural artifact, the product of a cultivated aesthetic pleasure. An object of mediated views, where views were a desirable objective, the garden was an image-space\u2014a culturally constructed imaginative space. A product of imaging and sequentially assembled, the picturesque garden was thus deployed for viewing as an actual spatiovisual apparatus. Looking at picturesque space in this way, we can begin to see how a relation to the cinematic apparatus can be built on the \"grounds\" of this space-viewing activity.\n\nIndeed, thinking by way of the moving image about the picturesque unleashes a series of theoretical questions. Considerations of the film image tend to privilege the aesthetics of the sublime and its derivatives over those of the picturesque in defining the cinematic \"moment.\" The often misunderstood, condemned, and even derided concept of the picturesque, however, is currently being re-evaluated in a number of fields and assessed as a modern form of visuality and aesthetics, one also significantly embodied in a modern picturesque. As noted in a previous context, Yve-Alain Bois has predated the \"rupture of modernity\" to the late eighteenth century in a provocative text on the picturesque in which he also makes reference to film. So does Anthony Vidler, who reconsiders the picturesque in relation to the modern architecture of Le Corbusier. Vincent Scully credits the cerebral and visual picturesque with having impacted the views of modern architecture, especially directing its interest in the visual arts and the notion of place. He also refers to Le Corbusier, who viewed the city as a garden.\n\nAs shown earlier, the \"montage of views\" that unfolds for spectatorial pleasure and the architectural promenade, established by picturesque aesthetics, traveled across modernity all the way to Le Corbusier's and Eisenstein's own versions of this peripatetic practice. Picturesque language was, in fact, based on differential perspectives of views and produced telescoping effects, which were even embedded in the design of the overall view. Effects of parallax drive its representation, creating an apparent displacement of object in relation to a change in the point of observation. The picturesque enacted shifts from vista to vista as its rhythm of montage unraveled along a path of sequential motion. Such picturesque techniques of reassemblage can be recognized as reactivated by film's own image sequencing in motion.\n\nIn furthering the affiliation between the picturesque and film, even beyond the discourse of montage, my overall interest is to show the link between the two as a cultural _transito_. The extent of the _transito_ cannot be fully understood as mere picturing; nor can it be observed only in terms of visuality, even a multiplied and sequentialized one. There is more than an optical analogy that links cinema to the picturesque, for neither can be reduced to a collage of flat visual planes. According to Renzo Dubbini, the picturesque is \"an art of composing scenes and a system for the analysis of the character of place, emerging from the materiality and the cultural matrix of objects.\" In this respect, the impact of the picturesque can be seen as extending widely, for this advanced reflection on the observation of landscape influenced the urban scene as well and created an expansive reconfiguration of geographic affects. The very act of establishing this particular genealogy for cinema is a way of recognizing both as complex practices of spatial mapping involving an affective design. Both must be investigated historically and theoretically with cartographic tools. We will come to recognize that the montage of the picturesque promenade is a matter of spectatorial _emotion_. This moving picturesque scene, composed to provoke emotional reaction, has traveled to film's own scenic design and is inextricably linked to a landscape of emotions. Before the landscape was mobilized by panoramic vision and the culture of metropolitan movements, the picturesque established the geopsychic possibility of a modern traveling spectator. Along with cartographic representation, this practice lies at the origin of the construction of a modern, gendered psychogeography, which film mechanically reproduces.\n\nTo paint this moving picture, let us look more closely at the geography of the picturesque and note, first, that what moved from vista to vista in the landscape was not a traveling eye but a traveling body. Views were set in motion by way of combining real and imaginary movement. In the picturesque, the pictorial composition of the views was actually \"mobilized\"\u2014not just revealed to the eye or multiplied\u2014as one physically moved through space. The promenade that developed from the root of the picturesque garden was the enactment of a site-seeing.\n\nBefore cinema's own picturesque promenade, the architectural and urbane Italian garden, which laid out a narrative sequence for English and French picturesque landscape design, had turned the visitor into an active spectator, one involved in the narrative display of the space. Often conterminous with the geography of the cabinet of curiosity, these gardens enacted a memory theater. The picturesque inherited in particular the psychological depth of the Italian garden, with its topographic representation of disquieting psychic views. The picturesque garden renewed this emotional fashion of representation in a more pictorial way that was imaged for its client and visitor. The user, embedded in garden design as a spectator-in-the-text, was engaged in the poetics of the architectural deployment of the site. A body was both actor in and spectator of the drama of the space. In such a way, the viewer entered the picture\u2014as a psychosomatic entity. In garden design, as in paintings of anatomy lessons, the spectator was \"incorporated\" into the very picturing of visual space.\n\nIn the garden, especially in the picturesque version, design was anything but static. The placement of objects was a function of the moving absorption of visual space. In the case of some pleasure gardens, displays of objects derived from sixteenth- and seventeenth-century garden design\u2014automata, sculptures, and playful fluid mechanisms ( _giochi d'acqua_ ) that included fountains and watery landscapes\u2014were made into moving views. In the picturesque, the vistas themselves incited the viewer to move into the space. Before filmic close-ups made it possible to approach the image and move into it literally, the picturesque enabled one to physically move into the picture and into the picturing.\n\nUltimately, the picturesque garden was designed for peripatetic bodies: as in film, the visitor who moved into the picture was asked to travel through its different spaces. The scenery, made of floating images, changed constantly as the spectator's movement remade the garden's own shifting perspectives. Sequences of events unfolded as the visitor passed through. Discoveries were made at every turn. The garden was an affair for spatial wanderers. While it expressed a _genius loci_ , it also transformed this \"spirit of the place\" along its route. The _genius loci_ built progressively as locations were physically revisited and the sensation of the site grew in the course of site-seeing.\n\nA physicality was involved at various levels in this site-seeing, engaging the _genius loci_. As the artist Robert Smithson wrote, the picturesque \"is based on real land; it precedes the mind in its material external existence.... A park [is] a process of ongoing relationships existing in a physical region... a 'thing-for-us.'\" Adopting a portion of this argument, the construction of the garden can be cinematically read in phenomenological terms. This is a logic of perception that, as film scholar Vivian Sobchack shows, is \"embodied\" in the language of cinema as an \"address of the eye.\" Merleau-Ponty's understanding of phenomenology suggests that space is not positioned at a distance in front of us but surrounds the body: it is an effect of the lived body's own motility. Seen from this angle, the construction of the modern picturesque is revealed in its physicality, for it implicates a situated existence and a material world.\n\nAt stake in the comparison between the picturesque and film expressed through, but also beyond, phenomenology is the delineation of a modern haptic spatiality. In film, as in the picturesque garden, space exists not as a thing-per-se but as a thing-for-us. The movement of a subject creates a sense of place as a series of unfolding relationships. Like film, picturesque space materializes as practice. It is a user's space. It comes into being as a site for traversal. Inhabited by the passerby and lived as a _transito_ , this is the space of the passenger. An intersubjective corporeal mapping, it is nomadically situated.\n\nThe picturesque can be reconsidered as a protofilmic practice to the extent that it was a \"mode of processing the physical world for our consumption.\" That is, its spatial construction was used, as that of film would be, to engage the passenger's imagination and incite her (e)motion. The already non-natural nature of sites was \"cultivated\" further in this traveling practice, which was attracted to the emotion of physical locales that itinerantly revealed themselves in order to be \"consumed.\" This nomadic practice of geopsychic spatial consumption was the very material that was incorporated into filmic _emotion_.\n\n### THE PERIPATETICS OF THE PLEASURE GARDEN\n\nThus understood, the peripatetics of the garden unfolds as the geographic enactment of a heterotopia. Like the cinema, the nomadic garden enacts geopsychic displacements, for it is capable of juxtaposing within a single, real place several (mental) spaces and slices of time. As a traveling space, it is a site whose system of opening and closing renders it both isolated from and penetrable by other sites. As in film, the garden's capacity for fluid geography derives from its ability to house a private, even secretive experience while serving fully as a social space.\n\nAs developed in gardens and garden theory, space was a social practice. In its design and use, the garden\u2014particularly, but not exclusively, the French formal garden\u2014was in many ways a theater of public display. Even when strolling alone against the mise-en-sc\u00e8ne of the landscape, one engaged in a form of social theater. Many gardens were a site of collective life in the form of gatherings and varied sorts of leisure activity. When they became parks, they decisively became places of public participation.\n\nOrganized forms of public leisure\u2014public spectacles of moving images\u2014were set in motion by garden life before the era of cinema. Following the theatrical and preromantic architecture of Italian gardens, the English picturesque produced \"pleasure gardens\" such as London's Vauxhall and Ranelagh. As Richard Altick shows in his study of exhibition, the various tricks of illusion played on topography in these places, for the pleasure of discovery, were accompanied by other spectacular conceits set in motion for public enjoyment. Masques and _fetes champ\u00eatres_ , for example, naturalized in England, turned the gardens into sites of public spectacle. These forms of entertainment, which involved social role playing, were the equivalent of a societal game. The very material of the masques\u2014games of social transformation\u2014paralleled the spatial transformation enacted by the garden's own architectonics. The shifting vistas also included the mixing of social classes and sexes, for the Vauxhall Gardens was a recreational place for all strata of society and a place of sexual intrigue. A composite, moving space of promenade and flirtation, the pleasure garden was interspersed with a variety of pleasures to be consumed. Besides absorbing vistas, pictures, and spectacles, one could engage in other ingestive activities such as eating and drinking.\n\nThe absorbing, fluid geography of pleasure gardens was further enhanced by their use of hydraulic automata and their propensity for water spectacles such as naumachiae\u2014a mechanics of pleasure that was precinematic in its form as well as its object. Pleasure gardens included a number of other prototypical filmic pleasures as well. They displayed large-scale topographical and architectural picture models of sites, for example, which were constructed like filmic set designs. Vauxhall Gardens offered a famous protofilmic show in the form of a lighted landscape scene. This \"set\" was constructed as a remake of a water mill, a miller's house, and a waterfall and included a number of other animated scenes of mechanized motion. The effect of such mechanized scenes, which foregrounded the workings of the cinematic apparatus and its fabrication of a simulated reality, was also achieved in the pleasure gardens with cinematically conceived _tableaux_ that created the illusion of the real. _Trompe l'oeil_ paintings, which were positioned in the landscape to interact with the \"special effects\" of the unfolding garden views, also functioned in this way. Vauxhall Gardens was architecturally shaped as a picture gallery and also exhibited transparent pictures. Protofilmic in texture, transparencies were made with translucent paints and were part of the garden's many \"illuminations.\" They often aided machinery in garden performances, as in the case of the celebrated eruption of the volcano Vesuvius, a favorite protofilmic spectacle, along with the display of sea storms.\n\n6.9. _Jeux de l'amour \u00e0 Tivoli_ , anonymous portrayal of amorous play, 1799.\n\nThe erotics of garden machinery was matched by a machination of landscape aesthetics and the architectonics of lighting. To the extent that it was a theatrical site of sensual pleasures, the garden was, traditionally, an erotic affair and became sensuously noir. It is not by chance that Vauxhall Gardens opened only after five o'clock in the afternoon. The pleasure garden was thus a dark affair that lit up. The night-time entertainment of light spectacles offered by the apparatus of the pleasure garden foregrounded the darkness of the movie theater's own light show.\n\nWhat unfolded in the garden was the spectacular origin of filmic site-seeing. The mobilized and spectacularized grounds of the picturesque garden eventually gave way to more illusionary moving scenery. Instituting a dreamy mechanics of pleasure, the public spectacles offered by these gardens prepared the grounds for film's own sensuous apparatus and its deployment in the public sphere. This passage from the animated pictures of picturesque views to motion pictures was rendered palpable by the mechanism of the animated \"polyorama.\" This prefilmic \"-orama\" spectacle of painted views, which was later replaced by photographs, was described in its 1852 patent as \"an optical instrument of the phantasmagoric genre. The effect produced by this apparatus is to imitate the movement of nature in picturesque views.\" The moving spectacle of light architectures was being technologically reproduced as motion pictures that would be housed one day in the space of the \"atmospheric\" movie palace.\n\n6.10. A different outlook, as framed in G. M. Towle's _View from Steeple, Boston_ , 1874. Woodcut.\n\nThe associative journey of the picturesque garden became transformed, by way of pleasure gardens and polyoramas, into the mechanized travel of motion pictures and even formed the basis for some the architectural design that housed it in the theater. An attraction established in 1813 at the Parisian park of Tivoli speaks of this shift. The \"Mountains of Tivoli\" was a ride that traveled from the hilltop of the park, where one could enjoy a panorama of the city, down through a grotto and onto a site of pedestrian promenade. The design of the park incorporated this voyage into its picturesque setting. Experiencing the landscape from this mobilized perspective prefigured the speedier prefilmic spectatorial journey. Ladies, in particular, were encouraged to mobilize: \"The voyage is not dangerous: the perfection of the mechanism (not visible to the naked eye) and the solid construction must reassure the ladies who are timid.\"\n\n### GENDER MOVEMENTS\n\nIn speaking of the reception of the gardens and their spatial construction, questions of gender arise. Although the picturesque is intricately and interestingly involved with female subjectivity, it has often been only stereotypically associated with womanliness. As architectural historian Sylvia Lavin effectively shows, the way that the feminine and the picturesque have been codefined has resulted in the marginalization of both. Calling attention to Watelet's _Essai sur les jardins_ , a 1770 text of the French picturesque, Lavin argues that the female body is the actual terrain of garden construction, which is imaged as a spatial plenum: a \"penetrable space of pleasures\" made of \"tissues of desire,\" Watelet's garden, according to her analysis, is \"a reclining female body who offers herself to the observer and entices him to enter her.\" This picturesque garden uses the very definition of the female body to contain the impact of the feminine that was shaping French culture at the time.\n\nDerided because it was perceived as a feminized space and repressed for its analogy with the female body, the picturesque must be reconsidered precisely because it was a space that articulated feminine subjectivity. In this respect, we should review the sensuous aesthetic and psychic \"taste\" of the French picturesque\u2014which notably included, along with Watelet's work, Nicolas Duchesne's _Traite de la formation des jardins_ (1775) and Jean-Marie Morel's _Th\u00e9orie des jardins_ (1776)\u2014and assume its seductions for ourselves. The tools of feminist film theory can be helpful in this regard, for they enable us to turn the body of the picturesque into a subject of revision involving a body of female pleasures. As the picturesque itself shows, a shifting viewpoint changes the object of the picture as well as the picturing. Female spectatorship and its theorizations of desire can change the perspective of the garden from an object of view\u2014a body to be penetrated by a (phallic) eye\u2014into a different geopsychic viewing space, one that does not exclude or marginalize the feminine but rather affirms it. By acknowledging the force of women in spectatorship and their agency in this position, we reveal another angle of picturesque viewing and its geographic fabrications of shifting (gender) positions.\n\nThe activity of pleasure that picturesque space articulated\u2014its texture of affects\u2014was opened to a body of female spectatorship and was fabricated by women as well. Women strolled the gardens' grounds and participated in the public spectacles of the (pleasure) gardens. They were also involved in both actual and virtual picturesque voyages. Illustrations and paintings, as well as texts, document a female presence and show the extent of its participation in garden life and discourse. In these pictures we can see that a female public was being formed on the garden's grounds, a public that turned into a traveling authorship.\n\nAs the female characters of Jane Austen's novels testify, the picturesque entered the female universe in many delightful ways. On a picturesque journey through Pemberly Woods, in _Pride and Prejudice_ , Elizabeth \"saw and admired every remarkable spot and point of view.... [She] was delighted.\" Emma, in the novel named after her, \"was glad... to look around her; eager to refresh and correct her memories with more particular observation, more exact understanding of a house and grounds which must ever be so interesting to her.... Walking some time over the gardens in a scattered, dispersed way... led to... a sweet view\u2014sweet to the eye and to the mind.\"\n\nBy way of garden strolling, the picturesque opened the emotion of traveling cultures to women. As it participated in the formation of a tactile knowledge of space\u2014of haptic epistemologies\u2014the sense and sensibility of the picturesque paved the road to a new form of spatiality in which the female body was not just a penetrable object but the very subject of an intersubjective spatial mobilization. \"Streetwalkers\" were positively presituated in nomadic gardens before breaking through to the new spaces of modernity. Their paths redefined modern space itself, as well as the space assigned to gender. Looking from this gendered perspective, the picturesque appears to have made a real impact on modernity, not only as modern vision but as modern spatiality\u2014a form of mobilization that enabled the very affirmation of the female pleasures of _transito_.\n\n### GEOGRAPHIC SENSES\n\nIt was the eighteenth century that advanced the notion that motion and travel would expand one's sensate universe. Movement was craved as a form of physical stimulation, and sensations were at the basis of this geographical impulse. Geography became the experience of a \"sense\" of place and of a sentient space. Although garden theory was not the only site of this articulation, the garden was a privileged locus in the pursuit of sensualism, in which women took active part. Diversely shaped by associative philosophies, eighteenth-century landscape design embodied the very idea that motion rules mental activity and generates a \"fancying.\" The images gathered by the senses were thought to produce \"trains\" of thought. As Thomas Whately put it in 1770, in his set of _Observations on Modern Gardening:_\n\n_Certain dispositions, of the objects of nature, are adapted to excite particular ideas and sensations... instantaneously distinguished by our feelings. Beauty alone is not so engaging as this species of character... [which] affects our sensibility.... The power of such characters is... [that they] are connected with others and related... by a similitude in the sensation they excite.... We follow the track they have begun.... The scenes of nature have a power to affect our imagination and our sensibility.... The emotion often spreads far beyond the occasion: when the passions are roused, their course is unrestrained._\n\n6.11. A \"global\" panorama: R. R. Reinagle and R. Barker, _Explanation of the View of Rome_ , 1804. Etching.\n\n6.12. The circular layout of the Padua Botanic Garden (est. 1545) as portrayed in Giacomo Filippo Tomasini's _Gymnasium Patavinum_ , 1654.\n\nThis philosophy of space embodied a form of fluid, emotive geography. Sensuously associative in connecting the local and topographic to the personal, it enhanced the passionate voyage of the imagination. \"Fancying\" was the configuration of a series of relationships created on imaginative tracks. It was the emergence of such sensuous, serial vision (a vision of affects) that made it possible for the serial image in film to make sense and for trains of ideas to inhabit the tracking shots of emotion pictures.\n\nThe movement that created filmic (e)motion was an actual \"sensing\" of space. The picturesque contributed a tactile vision to this scenario and to cartographic imagery. As Christopher Hussey put it back in 1927, the force of the picturesque was \"to enable the imagination to form the habit of feeling through the eye.\" What was fleshed out in the picturesque was not an aesthetics of distance; one was rather taught to _feel_ through sight. Here, the eye is epidermic; it is a skin; sight becomes a sense of touch. Picturesque vision is haptic vision. Picturesque aesthetics thus can be said to have had the important function of serving as the vehicle for the shift toward haptic imaging and imagination. It was this _emotional_ habit\u2014the fashioning of a haptic movement that is emotive\u2014that was to become embodied in the film sense. In the garden, strolling activated an intersubjective terrain of physical connections and emotional responses. Kinetic journeys across a fragmentary terrain generated kinesthetic feelings. Mobilization, further activated by climbing towers and observatories or tarrying in rooms built in the garden as observational sites, was a form of sensory animation. Sensational movements through the space of the garden \"animated\" pictures, foregrounding the type of sensing enacted by film's own animated emotion pictures.\n\nNot unlike cinematic space, picturesque space was an aesthetics of fragments and discontinuities. Sometimes, particularly in the case of the French picturesque, architectural fragments contributed to the creation of a microcosmic heterotopia. By way of _fabriques_ (garden buildings), one would navigate surprising collections of worlds of knowledge on the set of a garden stroll. Topography was not a totality but an unfolding of variety and disparateness. As architectural scholar Alessandra Ponte claims, in the picturesque there is a varied \"character\" to the land that corresponds to the way combined features mark the character of a face. Combinatory permutations of feelings are impressed on a landscape of the surface. Picturesque architectonics, creating a drama of changing sets, acted as a medium for emotional landscaping. In the garden, as in the cinema, one could traverse series of imaginative states of mind in the form of living pictures. A mobilized montage of multiple, asymmetrical views emphasized the diversity and heterogeneity of this representational terrain. The obsession for irregularity led to roughness and dishevelment. Fragments turned into a passion for ruins and debris. Relics punctuated the picturesque map.\n\nA memory theater of sensual pleasures, the garden was an exterior that put the spectator in \"touch\" with inner space. As one moved through the space of the garden, a constant double movement connected external to internal topographies. The garden was thus an outside turned into an inside; but it was also the projection of an inner world onto the outer geography. In a sensuous mobilization, the exterior of the landscape was transformed into an interior map\u2014the landscape within us\u2014as this inner map was itself culturally mobilized. Along the garden route, the picturesque aesthetic of topography incorporated an actual reading of the skin surface, the very border between inside and outside. Seen in this way\u2014that is, psychophysiologically\u2014picturesque space is inscribed in a gender passage: one that, in anticipation of film, crossed the boundaries between interior and exterior and the border assigned to sexual spaces.\n\n### COMING CLOSE: FROM HAPTIC TO INTIMATE SPACE\n\nA scrolling _papier panoramique_ , heir to the fragmentary and fluid topographical imagination of the eighteenth century and to the later panoramic culture that followed, film is an imaginative architectural toy\u2014a house of \"transports.\" It is a machine that expands our ability to map the world by extending our sensory apparatus. Making us come to grips with our environment, the moving image offers touching visions as it explores the relation between motion and emotion\u2014the sensuous space of _emotion_.\n\nWe now see the moving image emerging out of that particular invention of modernity that is the geography of the interior. This space, which began to take shape during the early part of modernity in the form of garden design and theory, moved along with history as it was linked to the image of the subject's own interiority. A philosophy of the senses and treatises on sensations traveled into the body's sensibility. Medical discourse contributed to this sensing of space as it analyzed passion, along with the shape of the body's own interior. This \"finer touch\" was \"part of a greater movement within the history of perception that sent vision inward bound.\" The expansion of vision toward the interior opened possibilities for new forms of haptic travel: journeys into emotional space. In the next chapter, let us explore this touching geography in the form of emotional cartography. In many ways linked to garden design, such cartography, charting interior and exterior as passage, activated woman as the very subject of geography. Let us then remap this _Carte de Tendre_ , this tender mapping.\n\n## **ART OF MAPPING**\n\n7.1. A different kind of \"Atlas\": a woman designs the world on the frontispiece of Jan Barend Elwe's _Atlas_ , 1792. Detail.\n\n## **7 An Atlas of E _motions_**\n\n> _Geography includes inhabitants and vessels_.\n> \n> Gertrude Stein\n> \n> _I have long, indeed for years, played with the idea of setting out the sphere of life\u2014bios\u2014graphically on a map_.\n> \n> Walter Benjamin\n\nThe geography that occupies this atlas includes inhabitants and the forms of their passage through spaces, including the spaces of life. This geography is a terrain of \"vessels\": that is to say, it is a place that both holds and moves. The notion of vessel incorporates a double image: that of the boat and that of the artery (as in blood vessel); it implies the container of a flux and a system of routing. Such a geography of inhabitants and vessels may be subject to charting. As represented in nautical cartography, the course of an inhabited vessel has imaginary repercussions as well: it can appear graphically on a map in the form of a sequence of _emotions_. Focusing on this particular mapping impulse, we explore the inner direction of the art of mapping and expose it as a (pre)filmic disposition. In this cartographic view, the moving image itself is theorized, metaphorically, as a vessel\u2014as a means of transportation that carries us away. Film, like an _emotional_ map, here becomes a geographic vessel, a receptacle of imaging that moves, a vehicle for emotions.\n\nBy mobilizing this particular form of mapping, we aim to move beyond the critical trend for which the map is a unifying and totalizing concept, produced by a distant eye. Despite postmodern theory's interest in cartography\u2014beginning, notably, with Frederic Jameson's version of \"cognitive mapping,\" which he later applied to his geopolitics of cinema\u2014mapping remains, perhaps because of the problematic nature of the cognitive paradigm, a contested, even negative notion. Maps are the objects of a struggle in many geographic studies; and a number of efforts have been devoted to deconstructing and decolonizing them. Even in works interested in advancing knowledge of sexual difference, the negative persists. All too often, mapping tends to be dismissed as a commanding, hegemonic instrument. Yet to persist in this position is to risk producing a notion of mapping that is restricted, placed wholly in the service of domination. What remains obscured are the nuanced representational edges of cartography, the diversity of cartographic practices, and the varied potentials of different mapping processes, including such tactics as transformative \"partial\" mappings, which resist a univocal and totalizing vision. The cartographic impulse we will foreground here is the force embodied in the \"tender\" mapping of Mademoiselle de Scud\u00e9ry, a cartography that dwells in movement and includes the intimate exploration of difference in gender maps.\n\nAs described in the prologue to this volume, Scud\u00e9ry established a practice of cartography of intimate space that designed a haptic route. Her _Carte de Tendre_ was a tender tactics that, tactilely, offered a gendered view. As we will see, this mobile geographic writing has had many incarnations in mappings that relate affects to place\u2014incarnations that exist on the threshold of art, cartography, and politics. As a mapping of _transito_ , tender mapping has traveled to, and through, moving pictures as well. As we follow the route of site-seeing opened by Scud\u00e9ry, we approach the terrain of emotion pictures, for film has reinvented and mobilized this _emotional_ map of \"transport.\"\n\n### GEOGRAPHICALLY SPEAKING\n\nTo locate the geographic route that leads from Scud\u00e9ry's map to cinema's own modern cartography, we travel with a (blood) vessel\u2014that is, through an embodied terrain. In this view, space is fashioned in a corporeal \"vein.\" As Merleau-Ponty has shown, the relation between bodies and space is such that \"our body is not in space like things; it inhabits or haunts space.... Through it we have access to space.\" In the natural world, an actual \"mimicry\" can exist between organism and environment. For human beings, however, such assimilation to space may involve a loss of perspectival viewpoints. Roger Caillois, in his previously mentioned work on mimicry, which is inflected by insect biology, aesthetics, and theories of sympathy and excess, argues that for subjects captivated by space, it \"seems to be a devouring force. Space pursues them, encircles them, digests them.... It ends by replacing them. Then the body... feels [itself] becoming space.\"\n\nThe primary mimetic force of geography\u2014the flesh itself becoming space\u2014was felt in her own way by Gertrude Stein, who, in 1923, composed a text on the subject:\n\n_As Geography return to geography, return geography. Geography. Comes next..._.\n\n_Geography as nice. Comes next geography. Geography as nice comes next geography comes geography_.\n\n_Geographically, geographical. Geographically to place, geographically in case in case of it_.\n\n_Looking up under fairly see fairly looking up under as to movement. The movement described..._.\n\n_An interval_.\n\n_If it needs if it needs if it needs do not move, do not move, do not touch, do not touch.... That is what she is looking for. Less. Less threads fairly nearly and geography and water. Descriptive emotion..._.\n\n_Geographically and inundated, geography and inundated..._.\n\n_I stands for... Italy.... G stands for geographic and geographically..._.\n\n_I touched it_.\n\n_As through..._.\n\n_Geography includes inhabitants and vessels._\n\nFor Stein, _g_ stands for geographic thinking. The word _geography_ , obsessively and minimally repeated, refers to a way of writing. From her _Geography_ to _Geography and Plays_ and _The Geographical History of America_ , geography becomes an expansion of writerly topoi and connotes a new writerly space\u2014a space that is inhabited. Stein mapped \"objects, food, rooms\" in a book significantly titled _Tender Buttons_ , in which she charted such a lived space. Her type of geography\u2014a \"tender\" mapping\u2014comprehended both inhabitants and vessels. And like the tender cartography designed by Scud\u00e9ry, it excluded neither women nor their spaces. It was a terrain that was defined geographically and mapped (geographically speaking) as a \"room of one's own.\"\n\n### GEOGRAPHY AS A ROOM OF ONE'S OWN\n\nThe movement of tender cartography is a course along which geography itself is made into a room of one's own. This, however, is not an easy process. The construction of this particular room involves making space for what dominant geographical discourse has traditionally excluded: the problem of gender. \"The academic discipline of geography has historically been dominated by men,\" the cultural geographer Gillian Rose has stated. Even the realm of geographic discourse was made into what art historian Rosalyn Deutsche calls a \"boys town.\" Aligning ourselves with the efforts of feminist geography, we wonder what the place of the female subject was in this \"boys town.\"\n\nTo address the question, we turn to the domain of \"geographical imaginations\" and investigate various forms of representation that have intersected with the field of geography proper. The making of geography as a room of one's own is a transdisciplinary process that has traveled an intertextual route. Gertrude Stein's literary-geographic path, for example, shows that not all cartography has been, or need be, a man's world. Stein's geography\u2014a matter of inhabitants and vessels\u2014calls for a different impulse to map. Resisting the urge to make cartography into a \"bad object,\" I am interested rather in reclaiming the realm of mapping as a room of our own. I thus return to Scud\u00e9ry and her _Carte de Tendre_ in order to show that cartography has been inextricably linked with the shaping of female intersubjectivity. This mapping demonstrates, as psychoanalyst Jessica Benjamin has put it, that \"what is experientially female is the association of desire with a space.\" Although particularly involved in such a process, Scud\u00e9ry's map was not a singular phenomenon. Let us look further into this tender geographical imagination.\n\n### A GLOBAL VESSEL\n\nA number of spatial representations do, at the very least, include women in geography. My first choice is an architecture: a room in which to wander and make our own. I have a specific place in mind: the _studiolo_ of Isabella d'Este in Mantua. In 1505, Isabella had the terrestrial and celestial globe copied from the library of Pope Julius II and placed in her own cabinet, a contemplative room adjoining a _giardino segreto_. This _studiolo_ is our global vessel. Held in her space, carried in it, we can be transported on an imaginative voyage. Sitting in this enveloping house of knowledge\u2014a geographic room of our own\u2014we can look, both literally and figuratively, at the globe. The voyage in this interior enacts a particular global tour. As in film, it is an (im)mobile journey. The room functions like a movie house\u2014a filmic vessel. Carried away with Isabella's celestial and terrestrial globe, we are led to consider the cultural nature of the geographic fascination of which cinema partakes. Passing through her room into the field of cartography, at its intersection with art and architectural history, let us consider the gender mapping of the atlas.\n\n### \"FASHIONING\" G: GENDER AND GEOGRAPHY\n\nNot all atlases excluded women from geography. In fact, in the atlas, an imaging of gender takes place; at a certain level, the very body of woman ends up becoming a map. A politics of gender is pervasive in all mapping and is especially evidenced in the figures that populate the edges of maps. In forms of mapping embedded in colonial discourse, figurative representation assumed a particular political and ethnic significance. The mapping of the West includes somatic decorations as well as designs that end up conflating soma and map. When countries are designed on a woman's very skin, this body politics becomes literalized. This was the case for a map of Europe shaped as a woman: _Europa_ , also known as _Europa in forma virginis_ , designed in 1537 by John ('Bucius') Putsch, was published widely throughout Europe and circulated in many versions, including those that appeared in various editions of Sebastian M\u00fcnster's _Cosmography._ As this map shows, the field of geography is particularly useful in illuminating historical gender positioning, for the site of the so-called \"geographical oddities\" included a sexualized terrain. Maps of the West exhibit sexual difference as their _terra (in)cognita;_ the mapping of territory proceeded alongside the very mapping of gender.\n\nSuch imaging involved not only the designation of a gendered subject but, also, a particular mode of representation. It is interesting to note that since the sixteenth century, atlases have used the same representational codes as those that depict the body in anatomical books. Geography and the anatomy of Vesalius converge in the way they \"figure\" the body. This somatic link is confirmed by a semantic one: anatomy books were themselves called atlases. Books with titles like _Geography Anatomiz'ed_ (1722) figure the labor that cartography involved. The relationship was furthermore reversible: on the representational level, anatomical figures were actually subject to mapping. This is evident in the way ruled strips appear along the borders of the frame in anatomical drawings, just as in maps drawn in the Ptolemaic tradition. A large field of interaction formed around this double function of the \"atlas\"\u2014one that would distinctively shape early modern culture in the West.\n\nThe expanse of this expanded \"atlas\" can be visualized, for example, in a 1739 miniature that depicts the rooms of the Institute of Science, in Bologna, Italy. The miniature exhibits the \"space\" of modern knowledge, composed as an interactive place\u2014an atlas of bodies in space. In the foreground, at the left of the picture, there are globes, compasses, and other measuring instruments for mapping space. On the right, we see people reviewing what appear to be architectural plans. Moving to the back of the picture, in the upper right corner, there is a library. To its left, we find a drawing studio, set up for sketching nudes, which is adjoined to a scientific-anatomical cabinet. Although each of these spaces is defined, the boundaries between them are open. Compositionally, they form an articulate epistemic site of spatiovisual knowledge. We are free to travel in this space and to create our own relations between the rooms, moving from one to the next. Although the epistemic space is constructed sequentially, the sequence is assembled in such a way that the relationship between the rooms in the foreground and background sets out a circuitous path. The assemblage ends up creating a circle that very much resembles the composition of a globe. In this representation of global knowledge, the globe in the foreground relates directly to the anatomical museum in the background, and the architectural plans at the front correspond to the nude figures being drawn in the back. This picture circumscribes the complex representational movement of the \"atlas.\"\n\nIn early modern culture, anatomy books\u2014that is, atlases of the body\u2014shared representational modes not only with geographic atlases but with other spatiocorporeal configurations as well. The composite \"atlas\" that resulted depicts the body in ways that resemble the body map then emerging in fashion and travel culture. A spatiovisual link is thus established between anatomy, apparel, travel, and cartography. Costume books and travel books, for example, were drawn in the manner of somatic and geographic atlases; conversely, illustrations found on European maps involved outfitting the inhabitants and portraying their gender, ethnicity, and class through traditional costumes. An act of \"fashioning\" was thus taking place in mapping; map decoration became a way of \"designing\" difference and inscribing it in the geographic terrain. If the cartographer used the representational codes of the costume book to depict the socio-sexual body, so did the costume book borrow from geography and travel culture to \"fashion\" the body. It is only fitting, then, that the Sala delle carte geografiche, the Map Room, in Florence's Palazzo Vecchio, known as the Guardaroba, would bear a name that at the time designated a geographic \"cabinet\" and now means closet. This chamber featured a wall atlas, which decorated a room devoted to fashioning a collection of images. At different levels, a semiotics of _habitus_ takes place on the map of the atlas. _Habitus_ connotes both costume and custom. The habit of _habitus_ is the \"vein\" of cartographic imaging\u2014a bodily connector.\n\nSuch an epistemic configuration shows that gender and mapping are explicitly connected. This relationship cannot be reduced to issues of domination, although, in many cases, woman was made into a geographic object, imprisoned in a binary opposition, or simply collapsed with the terrain in a type of representation that has feminized the very notion of land itself. But, even at the figurative level, gender has been mapped in other ways. We need to travel further into the spaces between art and cartography\u2014where the map was configured\u2014in order to reconfigure the gender atlas. We especially need to explore the realm in which, as Christian Jacob suggests, the cultural and imaginary empires of mapping were configured together. Here, we will find that the atlas unfolds as a multiform site for the configuration of place, evolving in constant interaction with pictorial imaging and its spatial physiognomy. In this respect, it can be said that allegories and other figures in the visual and plastic arts have constructed a varied, gendered atlas that exists on the threshold of a complex spatial \"fashioning.\"\n\n7.2. She has the world at her feet in Gian Lorenzo Bernini's _Monument to Pope Alexander VII_ , 1672\u201378, Saint Peter's Cathedral, Rome.\n\nTake, for example, Gian Lorenzo Bernini's _Monument to Pope Alexander VII (1672\u201378)_ , in Saint Peter's Cathedral in Rome, a tomb surrounded by four allegorical figures, including an allegory of Truth that interestingly portrays the church's \"global\" mission in female form. This is a sculpture of a woman clutching an image of the sun who is sensuously wrapped in a double layer of marble cloth, opened to reveal her foot firmly planted on the globe. The association of woman with the globe is deeply rooted in allegorical tradition. Curious images of \"lady-world\" appear in the art of mapping, in which women are depicted with globes in portraits that are often conceived as allegories of vanity. These allegorical images on world maps are an interesting form of exhibition, for they exist at the very intersection of gender, fashion, and geography. In this configuration, fashion joins together with these other elements as a way of imaging. Lady-worlds suggest a female \"fashioning\" of the geographic terrain as they position the female subject in the atlas of image-making.\n\n### ART AND THE GEOGRAPHY LESSON\n\nArt took part in the making of a female subject of geography, even when the subject matter was not directly cartographic. In the age of Enlightenment, for example, women engaged in the pursuit of knowledge were sensuously portrayed with atlases and globes, which designated their \"worldly\" position or their place of power. This is the case in portraits of Madame de Pompadour, as represented in her interior domain by Boucher or Francois-Hubert Drouais. In a 1755 portrait by Maurice-Quentin de La Tour, she is represented in a sumptuous flowered robe, striking a seductive pose as she reads a book of music; she has deposited a portfolio of engravings and drawings on the floor. Looking out of frame as if to welcome a visitor\u2014perhaps her lover, the king\u2014she sits attractively near a marble table on which a globe is placed, towering over volume four of the _Encyclop\u00e9die_ and other weighty tomes. The geographic object, positioned in this architecture, becomes a female accoutrement. It is part of an erotics of knowledge, which locates the passion and power of inquiry in the \"cosmetics\" of gender.\n\nThe work of the Venetian artist Pietro Longhi (1702\u201385) offers an articulate example of this cosmetics. Longhi was an interpreter of eighteenth-century life who shared the painterly touch of the female artist Rosalba Carriera (1675\u20131758). Longhi traveled the architecture of the \"interior\" and paid attention to the life of the women of the city. He showed their fascination for such things as _mondo nuovo_ and produced two paintings completely devoted to the subject, both titled _II mondo novo_ (c. 1756 and 1757), which depict ladies in urban scenes of travel. His work was very influential for \"the arts that travel the streets of the city.\" Longhi created realistic portraits of the everyday life of different classes and was a master of \"little scenes.\" In the realm of the interior, he indulged in \"conversation pieces\" and \"parlour scenes.\" Among his _topoi_ are \"the life of a lady,\" \"family life,\" and \"the education of a noble young lady,\" including eroticized scenes that involve desire and seduction. Longhi portrayed upper-class women in various cosmetic situations\u2014preparing their _toilette_ , dressing their hair, choosing a dress\u2014or in scenes of daily life: lounging with their morning cup of chocolate, fainting, reposing, hosting visitors, visiting the library, reading aloud from a book, receiving a letter, or taking lessons in music, singing, dancing, and... geography. Positioned in this way\u2014that is, in the realm of the private\u2014geography met dwelling. Indeed, the \"geography lesson\" was one of Longhi's most striking interior scenes. It portrays the way in which the world comes into the home and enters the inner views of an educated lady. It also publicizes private life, a point evidenced even in the formal construction of the work. The geography-lesson scenario \"fits\" his other interiors, sharing with them the same composition and construction as well as size and proportion. A form of interior voyage links the geography lesson to the lesson of cosmetics and to the act of traveling through the new world of _mondo nuovo_. The progression from geography to cosmetics to venture was a path: the course of learning how to \"fashion\" the self in space.\n\nWith this in mind, let us take a closer look at Pietro Longhi's most striking painting, _The Geography Lesson_ (1752). At the center of the picture is a woman. This feature is common to other representations of the same topic, including Francesco Capella's _Geography Lesson_ (c. 1760) and the _Geography Lesson_ attributed to Gramiccia (c. 1750). Longhi's woman sits at a small table on which a globe has been placed. She points at the object with one hand and holds a compass over it with the other. An atlas is open on the floor. Her gaze is fixed straight ahead, directed at the beholder. Around her are two men who look in her direction, toward her body as well as the globe. Although she is showing the men (and us) something on the globe, the characters' roles are not clearly defined. The picture is intriguingly ambiguous as to whether she is giving or taking the geography lesson. This ambiguity renders the portrait richly complex: she appears to be doing both. What is nonetheless made clear is her facility with the subject, her knowledge of places, her navigation of space and the world at large. A light shines powerfully over her, as if to suggest her literal \"enlightenment.\" This lighting locates the subject and positions her even more clearly at the center of the geographic picturing. A class dynamics further enriches the portrait: behind the lady, in the background, are two other women who belong to a lower class; they are the maids, who\u2014one may speculate\u2014may be hoping to take a geography lesson and thus to shift the social position they hold. These women have been relegated to holding serving trays rather than the globe.\n\nA similar fashion of portraying women and geography shapes another _Geography Lesson_ (c. 1750) by Longhi, where the topos of woman as a subject of geography is also richly and ambiguously portrayed. A lady stands by a globe set on a table. She is bathed in light, holding a compass on the globe with one hand and touching the pages of an atlas with the other. While a man in the background stares at the scene, two other women sit in the foreground. Both look directly at the standing woman and appear to be engaged in the geography lesson. A young girl, seated at the table, holds an atlas. Her gaze is directed with particular intensity at the matronly woman demonstrating geographic knowledge with the globe. Again, this central figure looks out of the painting, as if to include us in her powerful geographic scene.\n\nWe can conclude, then, that taking and giving geography lessons were not necessarily male activities: they were part of a woman's \"enlightenment,\" too, as paintings and engravings abundantly document. An eighteenth-century aquatint entitled _L'optique_ , by J. F. Casanave after Louis Leopold Boilly, for instance, depicts a woman who uses an optical instrument to show views to a child and impart to him geographic outlooks. We may recall here how the geography lesson participated in the creation of a \"new world\" of imaging that led to film, particularly by way of _mondo nuovo_ \u2014that place of geographical delight for women and a means for them to teach such pleasure to their children. An engraving also entitled _L'optique_ , preserved at the Barnes Museum of Cinematography, synthetically marks a passage to the moving image in its portrayal of a lady who draws an anamorphic image. She is engaged in the picturing impulse that, traveling the history of imaging space, would lead to the very invention of motion pictures.\n\n7.3. The \"enlightened\" female subject in Pietro Longhi's _The Geography Lesson_ , 1752. Oil on canvas.\n\n### ATLAS AND THEORIA\n\nFashioning the history of this protofilmic geographic practice and resuming our exploration of gender picturing in the atlas, we must look further into the realm of allegory, for in its narrative configuration, it is a particularly fruitful terrain of sexual difference. As mental mappings, allegories both portrayed and promoted the presence of women in the geographic field. Although allegories are generally represented as female images and their stories are often conveyed in the form of a woman, this is not always the case; men are also portrayed in the allegorical position. So the issue at stake is not simply one of iconography. The geographic allegory displays a particular female form, an image we call upon here to investigate the mythological narrative and artistic representation of the atlas. Atlas, a male figure, of course, is the Titan who supports the globe on his shoulders, holding it up for view. But in contrast to this Atlas, there are powerful women, conceived as allegorical figures, whose images have been drawn on maps. These are representations of women in the process of \"figuring\" knowledge, cartographic and otherwise.\n\nIn the 1622 edition of Willem Blaeu's _Atlas_ , for example, there is one such interesting geographical allegory, conveyed in the image of a woman who holds a compass in one hand and an easel in the other. This type of representation recurs in a number of geographic enterprises. Jodocus Hondius's 1611 world map, for instance, decorated with Cornelis Drebbel's figure of Geometry, after Hendrik Goltzius, shows an image of a woman who holds a compass on a globe and is surrounded by an array of instruments of knowledge. Nicolas Visscher's map, published in the second half of the seventeenth century, is decorated with a cartouche from the title page of Cornelis Visscher's _Principes Hollandie, Zelandiae et Frisiae_. Taken from Dutch portraits of the 1650s, it positions a woman at the center of geographic picturing, comfortably leaning on the globe.\n\nIn Cesare Ripa's _Iconologia_ , an influential treatise from 1593, Geometria is a woman who holds measuring instruments in both hands. The nature of her mapping is tactile: in one hand \"is represented the movement, the rhythm, and the materiality of the body,\" while, in the other, its \"line, surface, and depth.\" Geographia and Corographia are also depicted as women, whose cartographic work is distinguished by their representations: one measures the globe and points a compass skyward, while the other points the measuring instrument down to earth, toward the material world. Together they cover the world of knowledge. Allegorical variations include the title page of Maurice Bouguereau's atlas, _Le Th\u00e9\u00e2tre fran\u00e7oys_ (1594): here, Geography holds a map to be viewed by an anamorphic process while Geometry\u2014dressed seductively, so that \"the folds of her toga,\" in Tom Conley's words, \"reveal her sex\"\u2014demonstrates the measuring knowledge of mapping.\n\nIn Ripa's _Iconologia_ , theory itself becomes a mapping. Theoria, the figure the Greeks associated with vision and contemplation, is pictured architecturally here and redefined in geographic terms. She not only has been \"fashioned\" with cartographic and architectural accoutrements but has been provided a location for her activity: a set of steps. In Ripa's own words, \"Theoria can be aptly represented in the form of a young woman who looks and aims upward, joining her hands together and holding on her head an open compass that points skyward. She is nobly dressed in blue, and is in the process of descending from the summit of a staircase.\" In this representation of Theoria, a tension is created between two opposing directions. The woman's body is the seat of this oppositional movement, from which theory is produced. \"Dressed\" for theory, with her toga holding the torsion of two vectors, this spatial, epistemic tension, in fact, defines her theoretical plight: her figure negotiates a movement between a drive for geographic ascent, which measures, points upward, and aims high; and an architectural descent, which tends downward, toward the material world and perhaps even to the unconscious. In Ripa's picture of Theoria, the geographic ascent takes a haptic form. The compass, literally implanted in her head, becomes a cognitive prosthesis. This epistemic headset is quite spacious, for the compass is wide open to the world. Looking like a set of pointers and receptacles, it becomes, figuratively, her antennae\u2014her \"feelers\" of space.\n\nA kindred spirit of Theoria is the female geographic allegory contained in Jan Barend Elwe's _Atlas_ , published in Amsterdam in 1792. Its prominent display on the frontispiece of the atlas suggests that the image's function is to provide entree to the field of geography itself. The mythical, male Atlas here is relegated to the background and the representation of geographic knowledge is dominated by two women who are depicted below the title _Atlas_ , written in large capital letters on a cloth held by angels. Positioned in front of an extremely large globe, the two female figures appear to be creating geography. One stands, holding a compass over the globe with one hand as she touches the surface of the globe with the other. She is making a map or, rather, charting the globe: \"designing\" the earth. In this rendition, the land is not feminized; on the contrary, it appears to be subject to a gendered act of mapping. The other woman, in the foreground of the image, sits in front of the globe and draws a picture. The combined activities of the two women cover the vast field of spatial knowledge. Depicting the intersection of chorography and geography, this representation addresses the convergence of art and cartography and, in so doing, portrays the very act of \"picturing.\" The allegory speaks of the making of geographic picturing in terms of gender and depicts the notion of the \"atlas\" itself as a potentially feminine form of knowledge. The subject of cartographic image making is female: while women are making geographic space, geography, in turn, is making them into subjects of representation. The atlas \"fashions\" geography with, and as, a female subject. It gives the kind of geography lesson that had been established, in its own way, by Scud\u00e9ry's _Carte de Tendre_ , expanding the geographic borders of her _tactics_ of representation.\n\n### \"TAKING PLACE\": FROM SALONS TO GARDENS\n\nEvery Saturday, beginning in 1653, Madeleine de Scud\u00e9ry opened the salon of her Parisian house in the rue de Beauce, making room for an intellectual enterprise that included mapping. The salon culture Scud\u00e9ry presided over, which produced the _Carte de Tendre_ , was a forum of female affirmation. The salon is an important locale to revisit as we retrace topographic paths, especially because it was a site where the female subject, as it were, \"took place.\" The work of the _pr\u00e9cieuses_ , satirized by Moliere as \"ridiculous\" and frequently dismissed or denigrated, turns out to be quite precious, indeed, and in need of critical re-evaluation.\n\nScud\u00e9ry's salon was devoted to a collective form of writing that fostered the articulation of intersubjective discourse. Her salon was unique in that it even composed a geographic document such as the _Carte de Tendre_ in this way. Insofar as it represented a female writerly space, however, it was not a singular occurrence, for the salon was, generally, a woman's affair. As Joan De Jean, among others, points out, the \"salon's writing was always women's writing.\" In other words, the _\"pr\u00e9cieuses_ are the ancestors of modern feminists.\" In many ways, this is because they \"sought for women what would today be termed control over their bodies.\" A literary world led by women, devoted to women, and interested in their body politics, salon culture valued interpersonal relations and turned them into forums of female authorship. It did so by fostering collaborative creative ventures that later would become mechanized in such collaborative activities as film authorship.\n\nProduced in the collective atmosphere of the salon, a composite map like the _Carte de Tendre_ calls for a reading that can unpack its position within a cultural geography at large. This includes its relation to garden culture of the time. Salons directed by women, such as Scud\u00e9ry's, were not enclosed sites but open to other worlds, including that of gardens. In fact, Scud\u00e9ry had a taste for gardens, and her participation in the _fetes_ at Vaux may even explain the foundation of the _Carte de Tendre_. Insofar as it is landscape design, Scud\u00e9ry's map and the emotional cartography it inspired are indeed deeply related to garden design. As Michel Conan shows in his study of garden history, a project such as the _Labyrinthe_ at Versailles, to which Charles Le Brun contributed artistically, is not only analogous to Scud\u00e9ry's map but even can be read in conjunction with it. Visitors were taken through the labyrinth on a path that made up a \"game,\" the nature of which recalls the spatial game that a map like the _Carte de Tendre_ offered.\n\n7.4. _Carte du pays de Tendre_ , the map of tenderness designed by Madeleine de Scud\u00e9ry in her novel _Cl\u00e9lie_ , 1654. Engraving by Fran\u00e7ois Chauveau. Detail.\n\nBeyond this specific example of intertextuality, which focuses on the idea of play, the garden and the emotional map, considered in the context of a larger epistemological strategy, show an even deeper association. Both the map and the garden are imaginary topographies. As systems of representation, they are organized and shaped as itineraries. As noted previously, the landscape is experienced in a viewing that demands motion. Scud\u00e9ry's map functions in the same way: it is a site that is meant to be traveled through by the beholder, who becomes inscribed in the map itself. As we have seen, the garden of Scud\u00e9ry's time embodied motion at different levels, including the mechanics of movement represented in the spectacular moving machines and theatrical spectacles that took place on the garden site and enhanced its special effect of motion. We have also seen how the kinetics of the garden began to produce the type of kinesthetics that picturesque aesthetics made into an ultimate design feature. The sensory experience was driven by the haptic: strolling in the garden, a touching experience of feeling through the eye, was a means of activating the senses in a cumulative sequence of emotional responses. It is precisely on this haptic route that the garden that would become the picturesque met the emotional map. This, too, was designed as a place that evoked emotion in the shape of motion as one traveled through it: Scud\u00e9ry's map drew a landscape of emotions to be experienced as a series of sensational movements. In this \"moving\" way, it made \"sense\" of the place of affects. It also made sense of sentimental displacement. The emotional map produced an _emotion_ , and the motion inscribed therein was not only kinetic or kinesthetic. As in garden design, there was a passage that made it possible for the exterior world of the landscape to be transformed into an interior landscape, and vice versa. The garden and the emotional map are \"intimately\" interconnected along this route, which leads to the inner course of the moving image. Both were sensate discourses that became a new trajectory of vision\u2014a site-seeing that opened the road to prefilmic movement.\n\nSite-seeing was indeed an incipient horizon on the cultural scene that produced Scud\u00e9ry's emotional mapping in early modern Europe. The geographic activity of the time was so pervasive and engaging that one was truly immersed in different forms of topographic reading, of which the garden represented a major model. As Alain-Marie Bassy explains in his panoramic view of Scud\u00e9ry's time, a geographic mode of thinking was being set, and set in motion:\n\n_Fed from an early age on Cicero and Quintilian, expert on the tactics of artificial memory, familiar with the techniques of_ ekphrasis, _a glutton with an appetite for travel reports or garden descriptions, and, finally, a reader of Francesco Colonna's_ Hypnerotomachia Poliphili\u2014 _whose pseudo-archaeological topography organizesthe sentimental and spiritual itinerary of the hero\u2014the 1650 reader can see a discourse, an argument, an object in a garden, just as he or she, as a good rhetorician, disposes \"topographically\" the parts of his\/her discourse._\n\nA discursive geography was put into place, mobilized by multiple _tactics_ of reading space. It was on this haptic terrain that the _Carte de Tendre_ was mapped. Transforming _ekphrasis_ from a descriptive mode of representation into a narrative mapping of places and people, this map envisaged a geography of \"inhabitants and vessels.\" A subject fed on mnemonic journeys through architectural spaces and hungry for travel discourse, who is also a voracious reader of topographic narratives, an avid observer of garden description, and a glutton for cartographic _ekphrasis_ , could indeed turn such tactile tactics into a tender geography.\n\nThe protofilmic _tactics_ of site-seeing that embodied the cartographic terrain of architectural seduction was established by the 1499 architectural fiction _Hypnerotomachia Poliphili_ , whose traces are as tangible in the amorous path of the _Carte de Tendre_ as in Ledoux's architectural vision. Let us recall that Poliphilo dreams about waking up in a dark forest and, as if in a memory theater, recounts the architectural marvels he sees as he searches for his love, Polia. The journey of this fiction of automatism leads him (a living machine) to activate his five senses and to visit gardens and sites, for this book was actually made in lieu of architecture. Doors conceal his beloved, but, appropriately, she is eventually found behind the door of _vita voluptuaria_ , the voluptuous life of seduction. Despite a journey through the sea of death, the dreamer unites with his lover. In the end, however, as he wakes for the last time, Polia\u2014whose name stands for _polis_ , the city so loved by _Poliphilo_ \u2014is not at his side. Poliphilo has only dreamt a _Carte de Tendre_.\n\n### MEMORY IN PLACE: AN ART OF MAPPING\n\nScud\u00e9ry's salon was able to produce the _Carte de Tendre_ in 1654 because, having absorbed various topographic tactics, including the architectural seduction of Poliphilo's amorous discourse, it had gone on to elaborate a cartographic _sensibility_. The salon knew not only how to see but also how to \"set\" a discourse in a landscape and how to dispose a discourse topographically. This type of knowledge was made available through the legacy of the art of memory, which enabled the transformation of topographical _savoir_ into an art of mapping.\n\nThe art of memory had always been a matter of mapping space and was traditionally an architectural affair. In the first century A.D., more than a hundred years after Cicero's version, Quintilian formulated his architectural understanding of the way memory works, which became a cultural landmark. To remember the different parts of a discourse, one would imagine a building and implant the discourse in site as well as in sequence: that is, one would walk around the building and populate each part of the space with an image; then one would mentally retraverse the building, moving around and through the space, revisiting in turn all the rooms that had been \"decorated\" with imaging. Conceived in this way, memories are motion pictures. As Quintilian has it, memory stems from a narrative, mobile, architectural experience of site:\n\n_It is an assistance to the memory if localities are sharply impressed upon the mind, a view the truth of which everyone may realise by practical experiment. For when we return to a place after a considerable absence, we not merely recognise the place itself, but remember things that we did there, and recall the persons whom we met and even the unuttered thoughts which passed through our minds when we were there before. Thus, as in most cases, art originates in experiment. Some place is chosen of the largest possible extent and characterized by the utmost variety, such as a spacious house divided into a number of rooms. Everything of note therein is carefully imprinted on the mind.... The first thought is placed, as it were, in the forecourt; the second, let us say, in the living-room; the remainder are placed in due order all round the_ impluvium, _and entrusted not merely to bedrooms and parlours, but even to the care of statues and the like. This done, when the memory of the facts requires to be revived, all these places are visited in turn.... What I have spoken of as being done in a house can equally well be done in connexion with public buildings, a long journey, or going through a city or even with pictures. Or we may even imagine such places to ourselves. We require therefore places, real or imaginary, and images or simulacra which we must, of course, invent for ourselves.... As Cicero says, 'we use places as wax.'_\n\nAs Frances Yates shows in her seminal study on the subject, the art of memory is an architectonics of inner writing. Such a reading, in fact, can be extended all the way from Plato's \"wax block\" of memory to the wax slab of mnemonic traces, impressed on celluloid, in Freud's \"Mystic Writing Pad.\" In Cicero and in Quintilian, whose art of memory is particularly relevant to this study, the type of inner writing that is inscribed in wax is architectural. _Places_ are used as wax. They bear the layers of a writing that can be effaced and yet written over again, in a constant redrafting. Places are the site of a mnemonic palimpsest. With respect to this rendering of location, the architecture of memory reveals ties to the filmic experience of place. Before motion pictures spatialized and mobilized discourse\u2014substituting for memory, in the end\u2014the art of memory understood recollection spatially. It made room for image collection and, by means of an architectural promenade, enabled this process of image collection to generate recollection. In this way, memory interacts with the haptic experience of place; it is precisely this experience of revisiting sites that the architectural journey of film sets in place, and in motion. Places live in memory and revive in the moving image. It is perhaps because, as the filmmaker Ra\u00fal Ruiz puts it, \"cinema is a mechanical mirror that has a memory\"; or, better yet, because it is in this mirror-screen that the architecture of memory lives. Mechanically made in the image of wax simulacra, the projected strip of celluloid is the modern wax tablet. Not only the form but the very space of this _\u00e9criture_ is reinvented in film's own spatial writing, decor, and palimpsestic architectonics, as well as in the spectatorial promenade. The loci of the art of memory bear the peculiar wax texture of a filmic \"set\"\u2014a site of constant redrawing, a place where many stories \"take place\" and take the place of memory.\n\nThe architectural memory system, grafted onto the site of a house or a building, drafted in the form of a long journey or urban travel, or, indeed, drawn in (motion) pictures, continued to grow in scope. It was revived in medieval times, along with the sense that memory is material and spatial and that its visual process is an emotional affair. It became clear, as Mary Carruthers explains in her study of mnemonics, that \"a memory-image... is 'affective' in nature\u2014that is, it is sensorially derived and emotionally charged.... Recollection [is] a re-enactment of experience, which involves... imagination and emotion.\" Physiological processes are involved in the emotions, for memory affects physical organs and engages our somatic being as it responds by way of movement and mental walks. The objects that are architectonically set in place and revisited in the architectural mnemonic include ideas and feelings, which are thus understood as fundaments of decor.\n\nThe art of memory that grew out of Quintilian architectonics found a site of development in theater before implanting itself in the movie house. Particularly well known in France and Italy, the theatrical version of this art was offered by Giulio Camillo (1480\u20131544), a celebrity of the sixteenth century. Camillo worked for the better part of his life at devising his Memory Theater: a collection of everything that could be conceived but not seen with the naked eye. He physically built it in Venice and Paris and wrote something of its foundational ideas. According to his theory, inner images, when collected together in meditation, could be expressed by certain corporeal signs and thus materialize and be made visible to beholders in a theater. As Erasmus put it, \"it is because of this corporeal looking that he calls it a theatre.\" It is also because of this corporeal looking that we may now call this architectonics a movie theater\u2014a house of haptic imaging. An incarnation of the Memory Theater, the movie theater, too, is an architecture of image collection for collective exploration.\n\nAlong this road that connects external space to interior geography, through which the art of memory evolved from mnemonic theater and the art of mapping into the movie theater, the work of Giordano Bruno (1548\u20131600) plays an important role. When the passionate Bruno fled the Dominican monastery in Naples to which he belonged and started wandering through France, England, and Germany, he took his own particular brand of the art of memory with him. Less static than Camillo's Memory Theater, Bruno's art of memory shared the physiognomic and astral tone of the work of his fellow Neapolitan magus Giovan Battista Della Porta. His architectural memory system consists of a sequence of memory rooms in which images are placed according to a complex logic, based on everything from magical geometry to celestial mechanics. In designing a form of \"local memory,\" Bruno constructed a type of knowledge that was mobile. In order to map a great number of memory places, he conceived a flow of movement between them, creating a composite geography. In Bruno's mobile architectonics, one can travel through houses in different parts of the city or even in different cities, assembling disparate places as if connecting the memory sites on a journey (or experiencing a filmic process). His art of memory turns the imagination into an alchemy of the inner senses and imparts associative power to images. As shadows of ideas, memories, for Bruno, must be _affectively charged_ in order to move us and pass through the doors of the memory archive. Bruno's mobile architectonics thus results in mapping emotionally striking images that are able to \"move\" the affects as they chart the movement of the living world. The pictures of his memory systems actually look like maps: they dream up that art of mapping imaginary places that became cinematic writing.\n\nIn the course of the mapping of inner space that led to filmic mapping, the art and theater of memory interacted closely even with actual theater design. It is well known, for example, that London's celebrated Globe Theatre is related to Robert Fludd's Memory Theater. It was also by way of the theatrical embodiment of memory that, by 1868, Stokes's \"mnemonic globe\" entered the field of \"cartographical curiosity,\" pointing the way to the mnemonic mapping about to take place in the cinema. It was by way of a \"global\" theatrical incarnation that the art of memory was revived in the movie theater. It was transformed, in particular, in that mnemonic architectonics that became the mark of the movie palace: the historic and \"atmospheric\" sensory remake of spaces in which one could walk, once again, in the imaginary garden of memory.\n\nThis remake in the architecture of the film theater was motivated, for film itself, like the map-garden, is an \"art of memory,\" a memory map. In its memory theater, the spectator-passenger, sent on an architectural journey, endlessly retraces the itineraries of a geographically localized discourse that \"sets\" memory in place and reads memories as places. As this architectural art of memory, filmic site-seeing embodies a particularly mobile art of mapping: an _emotional_ mapping. In film, sites of emotion are mobilized. Schooled in the architectural journey of mnemonic systems, the \"moving\" image knows the route of Scud\u00e9ry's emotional cartography. Let us proceed on this route, looking further into her geographical discourse, to advance our understanding of the genealogy of a geographic language that puts affects on the map by placing them on an itinerary. Such is the road to a geography of \"inhabitants and vessels.\"\n\n### A CARTOGRAPHY OF E _MOTIONS_\n\nA text aptly called \"Discours g\u00e9ographique,\" published in the _Gazette de tendre_ (c. 1654), set the _Carte de Tendre_ within the \"geographical discourse\" of Scud\u00e9ry's salon. The map was, in fact, the text of an elaborate geographical discourse, pervaded, as we have shown, by the topographical imagination that set discourse in a garden and memory in place and foresaw\u2014by way of this old, sensuous path\u2014an eighteenth-century sensibility. This geographical discourse turned intersubjectivity into a map by which one might navigate interpersonal relations and locate women's position in love and society. The _Carte de Tendre_ made a geographic documentation of relational space in the form of a map.\n\nAs a collaborative form of writing-as-mapping, the map spatially inscribed the interpersonal bond at many levels into its texture. Designed by Scud\u00e9ry and first engraved by Francois Chauveau, the _Carte de Tendre_ is part of the fictional making of lived space. In the course of Scud\u00e9ry's novel _Cl\u00e9lie_ , the map\u2014a narrative plan\u2014is said to be the design of the eponymous character, who draws it to show the way to the land of _Tendre._ Produced by women and also addressed to men, the _Carte de Tendre_ was a chart of relational developments that mapped the realm of sexual difference in its intimate space. Although sometimes read only as a map of courtly love, it covered a larger relational terrain. For women it actually mapped, in sequential manner, the terrain of an intellectual and emotional liaison shared among friends, in addition to the bond between lovers. The type of friendship Scud\u00e9ry mapped out was a social practice developed on the site of the garden and in the salon. It was an emancipatory alternative to the rules that regulated heterosexual conduct and the societal arrangements of relationships in Scud\u00e9ry's time. In the name of desire, Scud\u00e9ry, who used the pseudonym Sapho, was opposed to marriage. She did not marry, opting instead for an intense intellectual and emotional rapport with Paul Pellison. The realm of _Tendre_ provided an alternative to the inferior position to which marriage, often arranged for reasons other than love, relegated women of her day, excluding them from the amorous geography. The map of _tendresse_ offered an uncharted path of productive, rather than reproductive, closeness between a man and a woman, made room for the sharing of intimacy between women, and explored relational magnetism in settings larger than coupling. From a female viewpoint, it promoted the recognition of the subjective inner world of women as a basis for non-objectifying, non-exploitative relations.\n\nScud\u00e9ry produced a spatial mapping of emotions, inscribing affects onto an architectonics that was a social map. In this respect, the power of her vision can be inspirational today, not only for the political assertion of desire in its discourse, as has been noted, but because it allows us to remap a politics of affects, by putting affects back on our map, and thus to change our own navigational charts. In a way, I see Scud\u00e9ry's map as an early symptom of what Julia Kristeva defines, in psychoanalytic terms, as \"the intimate revolt.\" This is a cartographic rendering of intimate experience, a domain that has been explored in psychoanalysis but extends over a much larger terrain. By showing how this tender map works and assuming tender cartography as a methodological vehicle, my intent is to reclaim this intimacy as a place of interpretation and, in the process, to place cinema on the map of the emotional road atlas. A return to emotion is politically essential for cultural movement, for, in feminist terms, politics closely affects the fabric of our intimate space. To my mind, this intimate experience positively includes the world of imaging and the cinematic \"vessel\" that carries these images across the social landscape.\n\nTaking the image of the map as a means of such \"transport,\" the tender map can become, first of all, a guide to relational politics, stretching interpretive borders that were already stretched in our effort to reposition _emotion_ on the cultural scene. In fact, as we are about to see, the most striking feature of the _Carte de Tendre_ is the fluidity of its \"tender\" geography. This is an inhabited place that lacks borders; as such, it offers an affective journey that is uniquely suited to be carried across new frontiers of site-seeing, in a reversible cartographic exchange between its plan and our own geopsychic design.\n\n### AN INTIMATE MAP\n\nThe map creates an itinerary for the one who travels with it, or who navigates its landscape in the travail of (interpretive) life. As she passes through a variety of terrains, the beholder-inhabitant of the _Carte de Tendre_ \u2014a garden stroller, fed on the architectural art of memory\u2014is transformed into a voyager who traverses an inhabited realm of towns and landscapes. Scud\u00e9ry's map is made up of multiple navigational paths that, in ways that are ultimately protofilmic, can be traveled forward and backward, at accelerated speed, or even in slow motion. One senses that the traveler on this chart can wander around the map as well as off it. The spectator-passenger is even led astray at times in this garden of _emotions_.\n\nThe _Carte de Tendre_ is part map, part _veduta_. In an image at the bottom of its right side, four people stand leisurely under large trees, as if themselves about to begin a voyage on the map. In another version, from 1659, a woman on the left, in provocative attire that reveals her breast, extends her hand to a man. She seems to be on her way out of the map. Even without this exit, the _Carte de Tendre_ does not depict a demarcated, isolated topography but a terrain that keeps spilling over a cartographic \"off-screen.\" As in a filmic frame, the sites on the map are in constant touch with the territory off the map, which is neither closed nor enclosed but continues on all four sides. The \"Countries of Tenderness\" are not finite but extend over the bottom and left side of the charted terrain. At the top left and right, we see only a portion of the \"Dangerous Sea\" and can envisage being swept away in it, off the map. At the top center of the plan, beyond the \"Dangerous Sea,\" are the \"Countries Undiscovered.\" These amorous _terrae incognitae_ might certainly lure the traveler off in an exploration that would take her well beyond the landscape of the map.\n\nScud\u00e9ry's map is a narrative tour (de force). Even if one stays within the map, one confronts a journey that provides the option of roaming. In the map, as in the architectural memory journey, time and discourse are not only understood spatially but are mobilized in imaginative ways. There are no fixed directives for this map tour. In the undetermined itinerary, several movements are possible and encouraged. There are even different destinations. The _Carte de Tendre_ is, in many ways, an \"open work\" of geography. It is an open cartographic text whose many potential touring options produce a cumulative effect. For instance, if one wishes to confine oneself to the goal of reaching the land of _Tendre_ and approaching the \"Countries Undiscovered,\" there are three possible itineraries to follow. These routes are a spatialized representation of the stages of love. One can reach \"Tender upon Inclination\" by way of water, following the direct, rapid route on the \"River of Inclination,\" which then leads into the \"Dangerous Sea\" and beyond, into the amorous _terrae incognitae_. One can also reach \"Tender upon Esteem\" via a series of interludes on terra firma, which go from the bridge of the town of \"New Friendship\" onward, passing by the village of \"Great Spirit\" and traveling through a series of fragments of inhabited amorous discourse. The map is in this sense Poliphilic: its loving architecture is a cartographic manifestation of an intimate domain. This domain includes love, here understood as a representational field, as Roland Barthes puts it in his own \"lover's discourse.\" The map travels the terrain that historian Stephen Kern calls \"the culture of love,\" and shapes it architecturally.\n\nAn autonomous geographic text, the _Carte de Tendre_ is further narrativized architecturally by the character of Cel\u00e8re, who verbally redrafts the map's architectonics in the novel, commenting on the interplay between the natural and architectural settings. Cel\u00e8re notes, for instance, that \"Cl\u00e9lie had not placed any villages along the banks of the River of Inclination, which runs with such a rapid course that there can be no lodging along its shore.\" In other cases, a steadier inhabitation of the _emotion_ is possible. Villages and even cities are designed on the map to house this sentiment. They function as resting places on the map tour, places of lodging for the emotional movement.\n\nScud\u00e9ry's discursive erotics of love takes place in the seventeenth-century fashion. In a way, however, this fashion is not far from our own amorous mode of address. As in today's virtual reinvention of epistolary love\u2014the contemporary erotic obsession for amorous e-mail\u2014missives are here a major vessel of love. Language and eros are connected on Scud\u00e9ry's map, which is a literary itinerary of correspondences. This itinerary is composed of the village of \"Pleasing Verses,\" which precedes the sites of \"A Gallant Letter\" and \"An Amorous Letter.\" One can also employ other venues, visit different sites, and use different servers or carriers. For instance, one can reach \"Tender upon Recognizance\" by making a series of stops on the terrain of tenderness that includes \"Small Cares\" and \"Great Services\" and by using a lot of \"Sensibility\"\u2014for, as Cel\u00e8re remarks, \"we must be lively touched by... those we love.\"\n\nIn the unfolding of love, things, of course, may go wrong\u2014that is, go the wrong way. Scud\u00e9ry's amorous narration includes such doomed paths. One is marked by forms of \"Negligence.\" By way of \"Inequality,\" \"Lukewarmness,\" \"Lightness,\" and \"Forgetfulness,\" this path finally leads into the \"Lake of Indifference,\" which \"by its calm waters lively presents, without a doubt, the very thing of which it bears the name in this place.\" The only enclosed site on the map, this enormous lake is a foreboding \"final\" destination, a visibly disturbing sign of deadly amorous stillness. The \"Lake of Indifference\" is a still-life portrait of terminal love. Swimming in it is as lethal as navigating the haptic insensitivity of an ending love affair. In the \"Lake of Indifference,\" there can be no more touching between people.\n\nScud\u00e9ry was aware of \"fatal attractions\" and marked several such deadly paths on her chart of affect. One that traces the sour relationship that may exist between friends or lovers is found to the left of the map. This path leads into the \"Sea of Enmity,\" which is depicted as a giant black hole. We can only imagine the depth and width of this huge mass of dark, rough waters, since it extends beyond the map. To follow this path is to fall out of love and, quite literally, off the map. \"Indiscretion,\" \"Perfidiousness,\" \"Obloquy,\" and \"Mischief\" all lead into the \"Sea of Enmity.\" You are confined to this view if you dwell in your solitary path, up on the rock of \"Pride,\" which is set on the coast of this sea. But floating at the top of the map is another option, another sea. Compared to the tempestuous \"Sea of Enmity,\" \"where all vessels are shipwreck,\" this sea is quite different. A boundless fluid that is called \"dangerous,\" it is actually dangerously appealing: a calm expanse of water interspersed with restful islands. It is a top destination on the itinerary that takes one from _tendresse_ to the _terrae incognitae_ of affect. Driven by amorous \"curiosity\" and beguiled by the epistemic seduction of swimming in the unknown, one approaches this sea with the sweet danger of navigating a tender geography and reaching beyond it\u2014toward a new form of mapping.\n\n### THE FASHION OF EMOTIONAL MAPS\n\nPositioned at the threshold of art, mapping, and the literary salon, Scud\u00e9ry's _Carte de Tendre_ entered the domain of imaginary cartography and changed its course. Prefiguring the _sensibilit\u00e9_ of the eighteenth century, it became a landmark for a new form of mapping that affected the discursive realm of emotions. Reverent or satirical imitations appeared well into the nineteenth century, where sentimental cartography aided the search for (amorous) bliss in maps such as _Carte et jeu all\u00e9goriques du bonheur_ (1810), or even the pursuit of divine love, as in _Presqu'\u00eele de la perfection_ (1855). Although others were produced, Scud\u00e9ry's was the most open of the affective cartographic texts. Nonetheless, the replicas and complementary designs that began where Scud\u00e9ry left off explored the sensitive terrain of affects well before the film industry made this matter its own \"affair.\"\n\nDespite her own claims of precedence, Scud\u00e9ry's project may not have been the very first map of affects to be (dis)placed onto a landscape; it was, however, the one that publicly established emotional cartography as a genre. One particularly interesting map of amorous _terrae incognitae_ may have preceded hers, but it was not as articulated as the _Carte de Tendre_. Engraved by Jean Sadeler, _Royaume d'Amour en l'isle de Cyth\u00e8re_ , a map of the kingdom of love, was further subtitled _Carte descripte par le S. Tristan l'Hermitte, \"1650,\"_ although it was more likely composed around 1653\u201354. In 1659, a _Carte du Royaume d'Amour_ , attributed to Tristan l'Hermite, appeared in the first volume of _Recueil de Sercy_ by Somaize, who imitated Scud\u00e9ry's narrative topography and applied it to his descriptions of the _pays de galanterie_. This chart of the kingdom of love describes, as the map explains, love's \"main cities, villages and other sites, and the course one must keep to journey there.\" Like the _Carte de Tendre_ , this engraving is also part map, part _veduta_. At the bottom, next to a town view, an erotic scene pictures the banquet of love. Despite this view, however, the map imposes forms of control and containment on the amorous terrain. The realm of love, for instance, is here an enclosed island. From the \"Plain of Indifference\" to \"Amorous Gazing\" and \"Panting\" all the way to \"Declaration\" and \"Satisfaction,\" one circles this island in search of love. Here, the course of the journey becomes a circuitous path. Cartographic repetition becomes the key to a mastery of sentiments.\n\nAlso contemporary with the _Carte de Tendre_ was the _Carte du Royaume de Coquetterie_ (1654). This map was published in the _Histoire du temps_ of the Abb\u00e9 d'Aubignac, who defended himself from the accusation that he had plagiarized Scud\u00e9ry's _Carte de Tendre_ by asserting that his topography allowed for more space than hers. Even if more spacious, his map is not more open, for, in effect, to reach one's emotional goals, one has to travel long and hard between places here. This map is also an enclosed island, accessible only by boats that navigate the surrounding sea. The island houses a walled city, uses trees as demarcations, and accommodates amorous combat. There are several routes between the place of departure, set in the capital, and the destination to be reached. On this itinerary, as befits the inhabitants of the kingdom of coquetry, one encounters La Mode, a figure in charge of \"textures, color, and fashions.\"\n\n7.5. A map of love: Tristan L'Hermite, _Royaume d'Amour en l'isle de Cyth\u00e8re_ , c. 1659. Engraving by Jean Sadeler.\n\nQuestions of precedence and plagiarism aside, several trends of imaginary cartography initiated by the _Carte de Tendre_ flourished in the second half of the seventeenth century, including and surpassing sentimental mapping. By way of Scud\u00e9ry's cartography, discourse itself became subject to mapping. Discursive strategies and tactics were spatialized, for example, in the _Carte de la bataille des romans_ (1659), a map of the \"war of novels.\" Published in Fureti\u00e8re's _Nouvelle all\u00e9gorique, ou histoire des derniers troubles au royaume d'\u00e9loquence_ , an account of the \"latest troubles in the kingdom of eloquence,\" this map strove to chart the terrain of history and fiction, mapping such discursive practices as descriptions and allegories. Scud\u00e9ry's own intellectual realm, the life of the salon, itself became the subject of mapping in Maul\u00e9vrier's _Carte de l'empire des Pr\u00e9cieuses_ (1659). A _Carte du Pays de Jans\u00e9nie_ was produced in 1660, while Francois de Calli\u00e8res's _Histoirepo\u00e9tique de la guerre nouvellement d\u00e9clar\u00e9e entre les Anciens et les Modernes_, which tackled the recurring war between proponents of the \"ancient\" and the \"modern,\" appeared in 1688.\n\nThis mapping of discourse became intertwined with the geographic charting of imaginary places. In 1659, Mademoiselle de Montpensier envisioned an \"island of the imagination\" belonging to a female character in her _Relation de l'Isle Imaginaire et Histoire de la Princesse de Paphlagonie_ , while a map entitled _Royaume de Frisquemore_ appeared in Charles Sorel's 1662 history of an imaginary kingdom. It is interesting to note that, in many instances, the mapping of imaginary geographies was directly linked to figuring the place of sexuality and picturing sexual difference. Thus the _Carte du monde de la Lune_ , an anonymous engraving of 1662, mapped \"the Kingdoms, States, and Republics that women possess on the moon.\" Charted by \"a good friend of women\"\u2014who nonetheless gave them power only on the moon\u2014it described in great detail the \"properties of women.\" This feminine lunar landscape was not fully lunatic, but contained a range of attitudes and emotional states. The map was divided into the \"Continent of Fierceness\" and the \"Continent of Vanity, Pride and Gluttony,\" in the midst of which was positioned the \"Lake of Love.\" The map's assertion that \"only women lived in this lunar landscape\" serves to confirm the joined cultural mapping of gender and space while significantly constructing this as \"outer space.\"\n\nMaps that drafted the terrain of love in the wake of Scud\u00e9ry's _Carte de Tendre_ include Baudeau de Somaise's _Voyage fortune dans les Indes du Couchant, ou L'Amant heureux, contenant la d\u00e9couverte des terres inconnues qui sont au del\u00e0 des trois villes de Tendre_ (1662), where the \"happy lover\" is a fortunate voyager who discovers the _terrae incognitae_ beyond the cities of Tenderness; Bussy-Rabutin's _L'Almanach d'amour pour_ 1663; E. Pavilion's _De L'Isle des Passions, ce premier mois d'inclination_ (1698), a chart of the Island of Passions; and _Le Pays d'Amour_ , by Mor\u00e9vi. These maps employ and expand the language of the _Carte de Tendre_ , from the \"Realm of Inclination\" to \"Countries Undiscovered,\" and go beyond the cities of tenderness in search of _jouissance_.\n\n7.6. Anonymous, _Carte du Royaume de Coquetterie_ , 1654. Engraving.\n\nAlthough most maps of love provide a voyage, they generally present landscape features as if seen from the reader's position, rather than from within the realm depicted. The path of emotions is often circular and thus produces a roundabout voyage that puts the reader on a veritable merry-go-round of love. By documenting an experience and repeating it, these maps would appear to offer a way to master a trauma rather than a way to change the course of emotional events, as in the _Carte de Tendre_. Nevertheless, all amorous maps represent experience as a journey. This is particularly evident in the abb\u00e9 Tallemant's _Voyages de l'Isle d'Amour_ , a map published around 1660 that represents the travails of journeying to the island of love. Even the title makes clear that a map is a voyage and emotional cartography a way to retrace a psychogeography.\n\nAn elaborate tactics was deployed in a map entitled _The Attack of Love_ , by Matthaeus Seutter (1678\u20131756), published in his _Atlas novus_ , extant in versions from 1720, 1730, and 1745. Here, romantic strategies become a military affair and, in such a way, are drawn onto the landscape. The map offered \"a method to defend and preserve one's heart against the attacks of love.\" In a highly decorative way, it charted a varied amorous terrain that included the \"Palace of Love,\" the \"Garden of Pleasure,\" and the \"Camp of Love,\" with its \"Masculine Fort\" and \"Tent of General Cupid,\" all intent on attacking the \"Citadel of Reason,\" and a heart surrounded by a \"Glacial Sea.\" This map also charted the interaction of sexuality and space. As one of the \"geographical oddities\" of the _Map Collectors' Series_ , its domain was described as follows: \"Set in a frozen sea without passion, it is besieged by ships and batteries, attacks of the fair sex. Cannon blasts represent pride, desire, familiarity, and false chagrin.\"\n\n7.7. Matthaeus Seutter, map of _The Attack of Love_ , from his _Atlas novus_ , 1745.\n\nSeutter's map is an example of the way in which cartography and garden history were intertwined and particularly reveals the extent to which the sentimental map was embedded in the joint views of these endeavors. While the _Carte de Tendre_ also exposes the relation between map and garden design, as we have shown, _The Attack of Love_ employs a different model and takes an entirely different cartographic route. As Vincent Scully has noted, in French culture, landscape architecture and fortification were linked in such a way that they became a single art. _The Attack of Love_ is an outcome of this particular relation. Its shape reprises the _\u00e9toile_ that characterized the geometrics of French formal gardens and was adopted by military art, especially in the design of the fortification of the citadel. It was the shape that eventually, with the advent of Haussmanization, made modern Paris into an ultimate garden. We thus see that sentimental views come to be designed as cultural views themselves are landscaped and further mapped in place.\n\nAnother map of love by Seutter, engraved in four parts, shows the \"Empire of Love,\" the \"Empire of Bacchus,\" \"Communion between Love and Wine,\" and the \"Empire of the _Pr\u00e9cieuses.\"_ Here, love is articulated into \"Hope,\" \"Enjoyment,\" and \"Inconsistency\" and features \"Gallantry\" and \"Coquetry\" on the outskirts. Most clearly, love shares an affinity\u2014a \"communion\"\u2014with the intake of wine: both involve incorporation, as Christian representation makes clear. The anonymous _G\u00e9ographie galante. Description universelle du royaume de galanterie_ (1662) describes a comparable situation in a land surrounded by the \"Sea of Imprudence\" and the \"Sea of Perdition.\" It maps the terrain of love in relation to \"Opulence\" and \"Good Food.\" Love is positioned between these two luxurious realms, while the \"Lake of Amorous Abandonment\" shares the same shape and position as \"Lake Gourmand.\" Bodily matters and emotional cartography went hand in hand. The _Carte de l'isle Clerine en Barbaril_ , an anonymous map of an island of the imagination, from the end of the seventeenth century, also connected gastronomy and inner itineraries. We find the \"Coast of Wines\" located not far from the \"Sea of Desire,\" while the \"Sea of Trouble\" is juxtaposed to such culinary delights as _gigot_. The same form of incorporation is evidenced in _La carte des Estats du Grand Duc D'Osmeos_ (c. 1662), an anonymous engraving of an imaginary estate in which the absorption of space and the intake of food are linked. In mapping countries and cuisines, it pictured such things as a \"Bacchic Sea\" and, by way of describing the \"Feminine Part of the World of the Moon,\" again wrote gender into an imaginary inner voyage.\n\n### CARNAL KNOWLEDGE\n\nAn anatomist of the human heart, Madeleine de Scud\u00e9ry fashioned a map of affects that established an imaginative trend for depicting a physiology of passions. In this imaginary cartography of intimate space, where emotions \"take place\" and are spatially represented in their motion, the map, like the garden, is a sensate yet embodied topography. Its circuitous circulation is reminiscent of the circulation of blood \"vessels.\" Existing somewhere between anatomy and cosmography, this intimate cartography was indeed a carnal form of journey where the body, mapped in space, was mapped _as_ space. In some ways, Scud\u00e9ry's map actualized the physiological link that haunted, from afar, Leonardo's representations: his maps were as alive as his anatomical drawings, to which they are often compared.\n\nIn Scud\u00e9ry's _Carte de Tendre_ , this relation between flesh and space is embodied literally in the map's design: as we have mentioned, her emotional chart drafts a landscape that looks strikingly like the inside of a woman's body. The fluid spatial relation of the \"Dangerous Sea\" and \"River of Inclination\" to the surrounding land suggests that this is a living map of a woman's reproductive organs and bodily fluids. In fact, the way the two sides of the \"Dangerous Sea\" flow into the \"River of Inclination\" duplicates the anatomical relation between the fallopian tubes and the uterus. The course that the \"River of Inclination\" takes is a literal journey into the space of the uterus, through the cervix, and into the vagina. For Scud\u00e9ry, the topography of love is sexed. A traveling anatomy retraces carnal affairs. At many levels, Scud\u00e9ry's _Carte de Tendre_ impersonates a play of reversals between the terms of \"body space.\" If the landscape becomes a body, the body conversely becomes a site of mapping. In this reversible fashion, emotional cartography is dressed with sexual curiosity. Desiring a body becomes a yearning for space. At the same time, yearning for a place can turn into a bodily desire\u2014a physical matter.\n\n7.8. O. Soglow, _Main Route of Expedition through the Alimentary Canal_ , 1930.\n\n7.9. Anonymous, _Map of Matrimony_ navigating \"the orbit of affection,\" n.d.\n\nAs a trend of carnal knowledge, the physiology of passion that took place around the _Carte de Tendre_ continued well into the nineteenth century. Even in the twentieth, the gastronomic itinerary that had been established in seventeenth-century corporeal mapping became a _Main Route of Expedition through the Alimentary Canal_ , a 1930 satirical fictional voyage that aimed at \"shooting\" the body with \"gun and camera.\" When the site of exploration is a body map, one can travel physiologically through the depths of bodily passages. Mapped in the very channel of the body, this epidermic cartographic knowledge maneuvers sexuality; charting sexual difference, cartography depicted both the encounter and the battle between the sexes. Possibly inspired by the seventeenth-century _Carte de mariage_ of Sorel, even a _Map of Matrimony_ was configured: from the \"Bay of Introduction\" to the \"Gulf of Flirtation\" to \"Port Hymen,\" one could navigate the sexual contract. On this chart, the art of mapping is married to the fiction of a heterosexual \"sentimental education\"\u2014a grand literary fiction, indeed.\n\n### THE IMAGINARY ATLAS: A FICTIONAL JOURNEY\n\n> _The map... presupposes the idea of narration, it is conceived as an itinerary. It is an Odyssey_.\n> \n> Italo Calvino\n\nThe relationship between imaginary cartography and site-seeing that emerges in the art of mapping, with its spatial rendering of sequences of affects, is a function of the fictional imagination. From the itinerary of Scud\u00e9ry's map to film language, the art of mapping space exhibits a narrative configuration and, as Pierre Jourde shows in his study of imaginary geographies, plays an important part in the shaping itself of narrative space. This goes well beyond the observation that maps have been used in literature. What it means, as Robert Harbison has delightfully and eccentrically suggested, is that fictional itineraries can take on imaginative cartographic forms, while topographical sites and architectural spaces can be invested with a composite narrative representation.\n\nLiterary scholar Franco Moretti maintains, from a different perspective, that novels are so bound to topography and other forms of socio-spatial mapping that they can be redrawn on maps\u2014visible analytical tools with which to explore the interaction of literature and space. In this view, geography is exposed as an influential discursive practice. It has, in fact, shaped the very narrative configuration of modern European fiction, giving rise to new forms of writerly space. In cartographic terms, a story can be laid out as an experiential trajectory on an existing geographic map, as on a palimpsest, and that map will be transformed in the process. Like cinema and its spatially bound genres, many books are built around, across, and through a map of specific places and, through their narratives, reinvent and revisit sites charted by emotional cartography. Thus in spatial forms of literature, as in film narratives, fiction participates in the architectonics of a social psychogeography.\n\nThe specific type of cultural map considered here is the narrative geography of _emotions_ , a transport that attaches eroticism to space and especially engages the seduction of architecture and topographical architectonics. In the intertextual course that led to modern site-seeing, many such archi-topographical fictions have been mobilized. In its sensuous narrative itinerary, which followed the topography of Poliphilo's own erotic architectural journey, the tender geography of the _Carte de Tendre_ also bonded with erotic architectonics. This was taken further in the story of the \"The Little House,\" published by Jean-Fran\u00e7ois de Bastide in _Le nouveau spectateur_ in 1758. As the architect Rodolphe el-Khoury points out, an architectural itinerary of sensation and affect is set out in this _petite maison_ , or garden pavilion\u2014a _folie_ that was, literally, a lover's asylum. In the physiognomy of place designed by this novella, architecture stands for a lover's body and its traversal binds romantic touch to the taste for space. M\u00e9lite, lured by Tr\u00e9micour into his _petite maison_ , is in turn seduced by its architecture and \"touched\" by the decor. Having spent her life acquiring taste and knowledge, she is interested in sensing this \"body\" of work. An architectural story sensuously unfolds as she travels in, out, and through every corner of the _petite maison_. She \"wanted... to explore,\" the story explains. \"Curiosity... compelled her to linger at every turn,\" for she \"did come here to walk\" and \"was enchanted.\" This itinerant narrative, where a woman is subject rather than object of (architectural) seduction, was set in motion after the experience of _emotional_ cartography and shortly before an architectonics of successive decor became diffused in the picturesque garden. It thus represents another step along the path that made room for a protofilmic site-seeing and the subsequent fiction of film.\n\nWhile novels can construct forms of imaginary mapping, some are themselves a direct product of the topographic journey set in motion by the art of (imaginary) cartography. Cultural maps are designed by the cartography that is written in fiction as well as in the work of narrative that is produced by cartographic observation. At an epistemic level, as literary scholar Tom Conley decisively demonstrates, cartography can be said actually to have shaped early modern writing: as mapping developed in Renaissance France, a new literary imagination took hold that produced forms of cartographic writing. Cartography has activated a mental imaging of space in Western culture. The explosion of the cartographic impulse, bound up with the very politics of space, has defined the contours of the subject and forms of social organization and, in this way, has largely reshaped the sense of self in its relation to space. The impact of maps on selfhood is even more pronounced in forms of emotional cartography, as epitomized in the _Carte de Tendre:_ through narrative forms, cartography has redesigned the very _space_ of the subject. By providing a design for her spatial imagination, it has fashioned forms of spatial inner-subjectivity and intersubjectivity.\n\n### THE TRAVELING SEDUCTION OF THE ART OF MAPPING\n\nFramed within the design of a moving cartographic imagination, the tender geography established by Madeleine de Scud\u00e9ry touches the lived space and live place of the subject. Her psychogeography, in this sense, is a living map. Fashioning inner intersubjectivity, the map thus lives an intertextual life. In the cultural journey that reveals cartography to both picture and be pictured as narrative space, the _Carte de Tendre_ indeed forms an intertextual trail that reaches all the way to contemporary times. It was refashioned, for example, in the mnemonic design of Marcel Proust, who used it to describe the state of mind of Swann in love as he waits for Odette. By now, the _Carte de Tendre_ has entered the very domain of the \"lover's discourse\": in romance languages, _tendre_ still indicates an amorous tie, as in the French _il y a du tendre_ or the Italian _c'\u00e8 del tenero_. A map of this kind forms a link between people.\n\nScud\u00e9ry's tender cartography also shapes the art of mapping today, particularly in artistic undertakings. A substantial number of contemporary artworks, in fact, have adopted and reproposed the methods of the art of mapping, reinventing its form of geographic expression. Cartography is becoming a central locus of contemporary culture not only because today's artists are making maps but because artistic endeavors are curatorially measured and exhibited as maps that chart the trajectory of a movement. An aesthetic form of cartographic expression is taking place in our current world of displacements. Once again, the art of mapping, with its cartographic fiction, is becoming symptomatic of a worldly condition.\n\n7.10. Madeleine de Scud\u00e9ry, _Carte du pays de Tendre_ , 1654. Engraving by Francois Chauveau.\n\n7.11. Annette Messager, _Le jardin du tendre_ , 1988. Drawing from the installation at Centre d'art contemporain, Castres, France.\n\nOne strain of contemporary cartographic art touches on the politics of emotions and even remakes the space of the _Carte de Tendre_. This is especially evident in the work of the Parisian artist Annette Messager, in whose aesthetic world intertextuality becomes a direct genealogy. Messager acknowledges her longstanding debt to Scud\u00e9ry and the _Carte de Tendre_ and makes the connection explicit in the title she chose for a recent exhibition of her work in the United States: \"Map of Temper, Map of Tenderness.\" Calling herself a \"love painter,\" Messager has remade Scud\u00e9ry's _Carte de Tendre_ in many ways. As an artist whose work is produced in the bedroom as well as the studio and is designated the product of \"Annette Messager Collectionneuse,\" she collects and circulates an array of emotional imagery. In 1988, for example, Messager produced a design of \"the garden of tender regions,\" an outright remake of the _Carte de Tendre. Le jardin du tendre_ (1988) is both a drawing and an actual garden. Various paths depart from \"the tree of silence,\" along which _emotional_ states, in the shape of sites and creatures, appear. Among these are \"the winding road to tenderness,\" \"the path of chance,\" \"the way to confidence,\" \"the mountain of assiduity,\" \"the branches of forgetfulness,\" \"the flowers of dispute,\" \"the herbs of rupture,\" \"the tree of reconciliation,\" and \"the fork leading back home.\" Traveling on this map, one may choose to sojourn at \"the lake of temptation\"; ponder at \"the crossroads of ambition\" and \"the circles of fertility\"; visit \"the grove of solitude\" and slide into \"the slope of sorrows\"; or even linger in \"the mirage of tears.\"\n\nThis emotional garden was explored again in Messager's contribution to \"La Ville, le Jardin, la M\u00e9moire\" (1998), a group exhibition at Villa Medici in Rome that included a haptic tour of urban gardens and memory led by artist Janet Cardiff. Besides the gardens, other works by Messager can be read as maps that chart the course of carnal relations. In _My Works_ (1987), an installation that actually resembles a map, fragmentary images are connected with strings of words, creating a register of amorous language that strongly recalls that of the _Carte de Tendre_. Other works that grow out of her fascination with Scud\u00e9ry's map are _My Trophies_ (1987), emotional landscapes drawn on body parts, which make feet into illuminated manuscripts; _The Travel Warrant of Annette Messager_ (1995\u201396); and _Anatomy_ (1995\u201396). In all these works, a road map of emotions meets anatomical charting.\n\nThis kind of traveling, which the German artist Rebecca Horn called _Journey within the Body_ in a piece from 1992, can become a filmic geopsychic affair. It does so not only in the mechanism of Horn's film performances and feature films but especially in her installations. Fashioned as an erotic machinery, these installations take us through the stages of a playful and mournful mechanics of love, as in her _River of the Moon_ (1992). In Horn's physiology of love, _stations amoureux_ are elaborate psychic sites. Stops on a pilgrimage of passion, her heart chambers are places of passage: hotel rooms, maps of travel, places where tales of habitation are constantly written and erased on the same bed. For Horn, to enter the rooms of the Hotel Peninsular is to navigate the course of inner space.\n\nBedroom stories turn into a _Carte de Tendre_ in a different way in the work of the New York artist Heide Fasnacht. In _My City Was Gone_ (1991\u201392), a blanket covers geological strata made of cloth and other materials, its plaid pattern standing for geographic coordinates and its contour defining the state border of Ohio. A map of microhistory that reveals the layers of a personal story, this mattress-map, centered by a steel hole, represents a fragment of a stratified memory. This is the map of a hometown left behind, the peculiar souvenir of a home that became a place of departure and cannot be represented as nostalgic return.\n\nDisplacements and domestic journeys are the main terrain of mapping for Guillermo Kuitca, an Argentinian artist of Russian Jewish descent whose bedroom stories make up a fascinating errant cartography. In his work, architecture is the visionary matter of Ledoux and Boull\u00e9e, and mapping is a magnificent obsession. Kuitca travels the domain of the _Carte de Tendre_ as well, working delicately and sensuously with architectural methods and geographic imagery that include the floor plan of an apartment and maps. Kuitca's road maps, regional charts, architectural designs, urban plans, blueprints, tables, and genealogical charts radiate from Buenos Aires but speak beyond its borders. The artist has inventively charted space and reworked maps of existing cities or countries, imaginatively exploring their topography. He also has made maps of people in the form of genealogies and family trees, and charted relations and connections between human beings.\n\nIn Kuitca's work, the veinal cartographic grid is subject to constant traversal and internal movement. A path may be stained with paint, red as blood, as if to mark a painful passing. Names of cities from different countries may be interpolated on a single road map, creating an imaginary topography. In the fashion of a film spectator, the viewer of Kuitca's maps is asked to remake a trajectory and retrace a spatiotemporal journey. Along this route, uncanny things may happen. The name of a city may be inscribed, again and again, on the same map. Showing how an entire world may be reduced to a single place\u2014the site of unavoidable destiny and inevitable destination\u2014Kuitca reveals the obsessional nature of our emotional geography.\n\nIn his mapping of history and loss, the artist \"travels domestic.\" This journey becomes a map in _Coming Home_ (1992), a painting in which an apartment plan is designed to look like an airport landing strip. Here, the domestic ground turns into a plane field. In Kuitca's work, we always land in this place of coming and going, as the floor plan of what is essentially the same empty apartment is endlessly refigured. As in _House Plan with Broken Heart_ (1990), _House Plan with Teardrops_ (1989), or _Shit Disposal House Plan_ (1990), for Kuitca, home is a real architectural landscape: a physiology mapped, traversed, and redesigned by the trajectory of emotions. This architecture incorporates and expels. It is a melancholic fragment. Kuitca's homes cry, bleed, secrete, defecate. In _Union Avenue_ (1991) this \"inner\" working of urban planning is charted as interior design. Here, the lines that mark city blocks are made of forks, knives, and spoons. In such a way, the map recreates the geometry of the domestic. This is a plan of familial topographies. In his mappings, Kuitca has also used thorns and bones as the delineations of architectural edges to reveal the true \"perimeter\" of his mapping and to suggest what the \"border\" actually contains and releases.\n\n7.12. Belly buttons punctuate a life story written on a mattress-map in Guillermo Kuitca's _Untitled_ , 1989. Oil on vinyl covered mattress, 3 parts.\n\nKuitca's architectural views map a world of daily objects. Like the passengers in the films of Antonioni or Akerman, in Kuitca's paintings we move between a bed and a chair. But, most of all in his work, we travel on a mattress. Kuitca's most evocative landscapes are bedroom world-views. These are imprinted in a number of works called _Untitled_ , produced mostly in 1992: mattresses upon which road maps of Europe have been designed. In the installation _Untitled_ (1993), for example, the sequential layout of the map-inscribed mattresses in an architectural space entices us to share a private bedroom fantasy. Lonely mattresses are scattered on the floor; the space is suspended and frozen, as if something has just taken place or is about to happen; no one is lying on the beds. But the maps speak of a fiction\u2014an arresting architectural tale. This is a story written on a bed, inscribed in the fabric of a room, layered on the geological strata of a used mattress, entangled in the buttons that punctuate its surface like belly buttons. The map haunts the mattress like a stained memory. It is a residue, a trace, a living document. The mattress was a witness. It absorbed a story, some event\u2014perhaps too many events or not quite enough of them. Now, inevitably, it recounts the tale of what was lived, or unlived, on it.\n\nLike a film, the bedroom map retains and explores \"folds\" of experience. It charts the private inner fabric of our mental landscape. The mattress-map is a complex narrative: a nocturnal chronicle, an erotic fantasy, an account of the flesh. A road map of cities designed on a bed is a chart of our phantasmatic life. It belongs to the realm of dreams and their interpretations. Reproducing the immobility that allows us to travel the unconscious, it traces the very itinerary of our unconscious journeys. The mattress-map portrays the motion of the emotions. It is our life map. As an anatomy of life, this is a relational chart, an inhabited \"vessel\" with roads that are \"veins\" and places that are \"tender buttons.\" Such a map, in which land is skin, retraces the layers of people that populate our space and draws the places that populate our peopled landscapes. It tells us, in a kind of \"mimicry,\" that people themselves become places, marks and markers of our living map, just as our faces, decorated with the lines of memory, become the map of our passing\u2014the very landscape recorded by film.\n\nPositioned in this private architecture, Kuitca's residual cartography touches the living house of memory and dreams\u2014the very cartographic debris that is the \"fabric\" of motion pictures. It charts the haptic space that fashioned the _emotional_ space of the moving image: a mnemonic cultural journey, as we have seen, of genealogic \"measure.\" The filmic connection of Kuitca's cultural mapping is even made textually explicit in his work. Eisenstein's Odessa steps are cited in _El mar dulce_ (1984 and 1986) and _Odessa_ (1987). In _Coming_ (1989), a story is mapped filmically in twelve frames, each containing a different angle of view. Somewhere in a city, there is a dining room, a bathroom, and an empty bed. While apartment views appear in axonometric projection and ground plan, a diagram of street plans and regional maps resides in other frames of the painting, (dis)locating us. The whole scene is stained by bodily fluids. Corporeal marks leave their impression on an empty, deserted bed, intractably painting a vacant apartment with the liquidity of love.\n\nThe cinematic range that exists in Kuitca's maps extends from a filmic form of storytelling to the architecture of filmic space itself. In the series of gigantic miniatures called _DeTablada Suite_ (1991\u201393), for example, his art of memory becomes an architecture, which takes a spectacular form: the shape of _\"puro teatro.\"_ It becomes pure theater space, a site where, quite suitably, the archive and the cemetery are placed next to other theatrical sites of collection, which are recollection. As they chart in this way the geography of imaging\u2014the site of public intimacy and collective dreaming\u2014Kuitca's maps touch the very texture that has produced the space of the unconscious optics of film and its own memory theater. Narrating the architecture of social space, the maps inhabit the very room of filmic matter: the house of moving pictures; the home of emotion pictures. Gigantic miniatures, indeed, in the cartography of recollection.\n\n### A MAPPING OF FILMIC EMOTIONS\n\nThe \"mapping impulse,\" as the art historian Svetlana Alpers shows, has been a major force in the history of the visual arts, shaping, in particular, Dutch art in the seventeenth century, where picturing and mapping coincided and expressed a common notion of knowledge. As we have seen, the historical link between art and cartography\u2014where mapping itself took place\u2014now has been revived in a different form, marking our postcolonial age of diasporas. In its contemporary incarnation, the art of mapping is rerouted to picture a geography of transits. It is interesting to note that, rather than constituting itself solely as a descriptive art, mapping, in general, appears to be fleshing out its narrative impulse and new psychogeographic paths. An impulse, after all, is a force that both impels and is impelled by waves of feeling and states of mind.\n\nAlong this particular route of mapping we have encountered the observational space of the moving image and its way of charting emotion pictures. As we have seen, a form of mapping, tender to gender, has shaped the genealogy of filmic site-seeing on the _emotional_ terrain that ranged from the peripatetics of the (memory) garden to the relational strolling of sentimental mapping. An architectural mobilization of affect and memory has taken place along this haptic way. The (dis)placement of affect onto space has given way to a passage, as the exterior world of the landscape has become protofilmically transformed into an interior landscape. This tender site-seeing not only configures the mode of protofilmic representation but pervades the subject of cinematic representation. Let us, then, turn to a consideration of the textual narrative of the tender geography as it presents itself in filmic narrative. As a map of emotions, Scud\u00e9ry's _Carte de Tendre_ has made direct filmic appearances, and, in many indirect ways, has shaped an intertextual language of emotion in film.\n\nThe _Carte de Tendre_ appears as a textual reference, for example, in the opening sequence of Louis Malle's _Les Amants_ ( _Lovers_ , 1958), framing the opening scene of its narration. As such an aperture, the map creates an entrance to the film and shapes its narrative development. As T. Jefferson Kline suggests, \"at the level alluded to by _La carte de tendre_ , Malle's film addresses the very possibility of feminine subjectivity and feminine discourse.\" In so doing, the borderless map of tenderness serves as more than a simple introduction to the film. It functions as a diagram of the film's own sexual politics and discourse of affects. But the _Carte de Tendre_ \"touches\" film architectonics in ways that go even beyond direct reference, for it opens the way to a geography in which space is the place of _emotional_ interplay. Cinema is bound to tender mapping on this terrain of intertextuality, which is itself a geography \"moving\" in history\u2014as shown by the films included in this book, from the intimate plans of Antonioni and Akerman, treated earlier, to the voyages of Rossellini and Greenaway, which we have yet to traverse.\n\nAs a passage into this cartographic intertextuality, we pause momentarily to revisit Alain Resnais and Marguerite Duras's _Hiroshima mon amour_ and its cine-city travelogue, for it steps openly into Scud\u00e9ry's terrain. Although the map is neither referenced nor depicted in this film, _Hiroshima mon amour_ can be read as an actual cinematic remake of the _Carte de Tendre_. Like Scud\u00e9ry's map, it designs intimate space as it enacts a narrative detour of emotional \"transport.\" _Hiroshima mon amour_ creates a tender map in which a lover's body stands for a city, while, conversely, the city itself is imagined as a corporeal affair. Let us recall that the city, as the female protagonist tells us, was made to the measure of love, just as her lover was made to the measure of her body. Here, taking us beyond mimesis to the edge of \"mimicry,\" a body map is lived and even explored as a site as, in turn, a city is tailored to a body\u2014one's own and that of loved ones. Her city fits (and \"fashions\") a body of love. It is an intimate geography, a body-city on a tender map. As in Scud\u00e9ry's map, where exterior landscape reads as interior, emotions are architecturally rendered and spatialized along a course. Different topographies merge on this filmic map of love, incorporating one another. As in the _Carte de Tendre_ , architecture becomes a body of experience, lived and loved. It becomes a metaphor\u2014a means of transportation\u2014for passionate traversals. Indeed, this mapping charts a journey: the way space designs intersubjectivity. Ultimately, one desires a site as one does a person. Bodies and cities involve the same seduction, give rise to the same tales of love. We absorb them with the same passion: one can literally fall in love with a place.\n\nAs _Hiroshima mon amour_ shows, crossing the borders of a foreign body\u2014the body of another touched for the first time\u2014can compare to the cluster of emotions involved in approaching an unknown landscape. A libidinal drive moves us toward a place and lets us absorb it. It is the same drive that makes us cling to the body of another. The beginnings of the exploration are thrilling, and fearful. The desire for the embrace is mingled with the anxiety of losing boundaries. One may get lost in the new geography; one may pleasurably wander in the _Carte de Tendre_. A danger, however, is that with the loving incorporation comes expulsion. This might involve digestion. A slow process of incorporation may end up consuming desire itself and lead to the death of the story. And what about indigestion? Too much, too soon, too close. Then, incorporation leads to ejection. Scud\u00e9ry shows the course for taking someone into our emotional geography and offers some advice for erasing their place inside of us. Longing can endlessly inhabit the heart. Yet this seemingly infinite route may turn into the \"Lake of Indifference,\" that place of still life frozen on the map.\n\n7.13. Amorous superimpositions in _Hiroshima mon amour_ (Alain Resnais, 1959). Frame enlargement.\n\nLove affairs with places and people are sought out, lived, and sometimes even end in the same way. We \"consume\" them. They wear out. Taking it all in, becoming the other, as the woman in _Hiroshima mon amour_ does, is a transformation measuring up to that assimilation. If incorporation is the rule of this game, you can play until the drive wears out or until expulsion arrives in the guise of rejection. In the end, looming on the horizon, there is always a \"Sea of Enmity,\" for amorous ingestion can be a way of devouring, another form of consumption. Indeed, the same emotional \"consumption\" affects both bodies and places. One falls in love. One also, alas, falls out of love. One, then, simply falls. Off the map.\n\nA lover's journey has many paths. Tracing them, the narrative itinerary of _Hiroshima mon amour_ enacts a filmic game of tender mapping. A loved body turns into the woman's own geography. It marks her place of origin and her transits through cities, charting her motion from town to town, from country to country. First, it encounters the German soldier. The loving chart touches foreignness and madness as it maps her escape from her native town of Nevers to her happy exile in Paris. It is a map that follows her \"until the end of the world\": to Hiroshima, where, fourteen years later, the name of her beloved Japanese architect becomes Hiroshima and she, completing a voyage of displacement and condensation, becomes Nevers.\n\nIn this film, as in Scud\u00e9ry's _Carte de Tendre_ , different temporalities are spatially mapped as different sites are revisited in different bodies. Although there is a spatial movement, there is no chronological order to the journey of love. In _Hiroshima mon amour_ , the journey, like a psychoanalytic tour, spirals backward. It begins and ends with a woman's geography. First, we see her body embracing the Japanese architect, whose image has been superimposed on a scene that is the body of the city of Hiroshima. The camera is on a moving vehicle, traveling the city in the fashion of the panorama films of early film history. \"I met you here,\" the story begins, as we cross a bridge. \"I remember you. Who are you? You destroy me.... You are good for me. How could I know that this city was made to the measure of love? How could I know that you were made to the measure of my body?\" As these words bridge an emotional distance, we traverse an arcade. The journey of love takes shape as we travel the city streets. \"Please... devour me.... Deform me to the point of ugliness.... Why not you, in this city, in this night... so like the others, they can hardly be told apart?\" By way of such incorporation, Nevers and Hiroshima begin to merge on the map of love, as the story of the impossible love with the German soldier becomes a _tale_ of love\u2014a narrative that can only be told and mapped, for it has already been devoured and consumed.\n\nIt is nighttime. She walks out of the hotel room. She sits down, looking out at the empty street. Car lights go by. Out of the darkness, he walks in, toward her. They look at each other. They're in the same frame. How long can they be together, like this, in the same space? He begs her to stay in Hiroshima. \"Of course, I will stay in Hiroshima... with you.... Go away. It is impossible to leave you.\" He turns away and the camera follows him as he begins to walk. Time seems to have gone by as the film cuts to a shot of her walking a few steps ahead of him. \"Stay in Hiroshima with me,\" he repeats softly. She continues to walk as she thinks to herself, hoping and longing in fear: \"He'll come toward me.... He'll take me by the shoulders.... He'll embrace me. He'll kiss me, and then I'll be lost.\" But he does not take her by the shoulders. He does not kiss her. He walks slower. Stops. Then exits her frame.\n\nShe is now alone, walking the streets of her beloved's city. Through this tale of love, Hiroshima becomes her own city. It turns into Nevers, the city of another passion and the site of another death. The horror of Hiroshima turns into the horror of her German lover being killed, the shame of her unspeakable liaison, the public humiliation of being shaved, the memory of going mad. This is her side of the war, a war of love. As she now walks through the streets of postwar Hiroshima, the architecture of the empty arcade gives way to the empty piazza of that other town. Repeated intercutting takes us between distant moments and places far apart. As we cross time and continents, the consistent rhythm of the camera movement links them together. It is a motion that ensures an emotional continuity. The changes are only apparent, for we are moving through a single mental location. We are in the same site. We follow her traveling through Hiroshima-Nevers\u2014a composite city, an imagined topography. We are with her as she walks through this _Carte de Tendre_ , her own emotionally imaged geography.\n\nOn this composite map, the film's end meets its beginning. With cross-cutting reconnecting emotional places, we can now see this city, the imagined geography of her tender mapping, as the condensed, displaced city of filmic montage. Made to the measure of love, it is a cinematic creature\u2014a cine city. It is a geography that turns out to be a screen, a screen of memory. As she walks the map of this imaginary place\u2014finally able to return, recount, and relive\u2014the scene, filled with memories, becomes empty. It is fated that no one else be on the streets of her city, the city made to the measure of love and his body. The peopled landscape begins to fade just as it was recalled to life.\n\nAs the urban bodies unite in recollection, the bodies of her lovers also become collected as one, addressed as \"you.\" And now that her city has been fleshed out, fit to the measure of this amorous transmutation, she begs again: \"Devour me.... Deform me to your likeness... so that no one after you will ever understand the reason for so much desire.\" But all this can only lead to finality: \"We shall mourn for the dead departed day.... A time will come... when we can no longer name the thing that unites us.... The name will gradually fade. Then one day it will vanish.\" In the end, she speaks of amorous consumption, ultimately recognizing its devouring force, able to name the fear of ejection and the desire for forgetting. As she charts the double movement of letting go, the work of mourning\u2014itself a work of incorporation and removal\u2014is consumed. Her geography of \"inhabitants and vessels\" is now void. She begins to exit her _Carte de Tendre_ , putting away the faded map of her devouring love. She enters a building. For the first time, the camera makes a movement independent of her. At faster speed, it traverses the block and ends up on the other side of the street. The sequence is over. It is all over. She is off the loving map.\n\n### THE MAP TOUR: THE COURSE OF EMOTIONS\n\nIn Scud\u00e9ry's art of mapping, as in the art of film, narrative is spatially configured, and its mapping, in turn, makes more room for lived space and its movement. In its many narrative configurations, as we have recounted them in this chapter, tender mapping does not reproduce the ordering principle of analytic knowledge but rather tries to chart a movement. In this sense, it refutes the cartographic binarism of Michel de Certeau, which creates a false opposition between the categories of \"maps\" and \"tours.\" In Scud\u00e9ry's form of cartographic narration, as in film's own, there is no distinction between map and tour. Both are a form of architectural narration. Cinematic description, like emotional cartography and its landscape design, does not oscillate between the alternatives given by de Certeau: \"seeing\" or \"going.\" It does not present a \"tableau\" or organize \"movements.\" As shown earlier, and especially in the chapter \"A Geography of the Moving Image,\" the motion picture does precisely what its name announces: like Scud\u00e9ry's map, it is the very synthesis of seeing and going\u2014a place where seeing _is_ going. It is a tableau that organizes movements: a _tableau mouvant_.\n\nWhat is mobilized in film's own emotional mapping is the plan of an unconscious topography in which emotions can \"move\" us, for they are themselves organized as a course. In film, as in the emotional course mapped by Scud\u00e9ry, sentiments come to be mapped as physical transformations, written as moving physiognomy. Indeed, emotional cartography is about an itinerary, the carnal knowledge by which one comes to know beings. It is the kind of cosmography whose compositional lines touch the most tender filaments of our inner cells\u2014a cosmography that draws the universe in the manner of an intimate landscape. This is a drawing whose texture is the very system of our interior, the text of our inner fabric: a place where pictures become a space, an architecture.\n\n8.1. An archive of habitation: view of Doris Salcedo's untitled installation at the Carnegie International, Pittsburgh, 1995. Detail.\n\n## **8 An Archive of Emotion Pictures**\n\n> _Motion is emotion_.\n> \n> Douglas Sirk\n> \n> _I think we could arrive at a Cinema... in which the feelings would have free play in the way [of] a contemporary canvas_.\n> \n> Alain Resnais\n\nOur consideration of the art of mapping, with its representation of life in motion, has taken us to the subject of the motion of emotion. We now turn to the construction of an archive of emotion pictures, reflecting as we do so on art. The cultural interplay between art and film has come to the fore in our research. In the hope of furthering an interdisciplinary project in which art and film theory may develop concurrently, we wish to readdress and clarify the notion of the haptic here, for it is essential in reinforcing this interaction. Looking at the role the haptic has played in art and its theorization, and considering its potential effects on film theory, we take into account past and future incarnations of the \"touch of space.\" In this investigation we will focus on the realm of psychogeography and its historical dislocations in various maps in which the motion of emotion reemerges as an intimate geography. Taking the measure of our current geopsychic situation vis-\u00e0-vis shifting forms of (intimate) habitation, we question the \"sense\" that mapping can make of charting our moving place in history. As we dwell on the archive of emotion pictures, we continue to work in that interface between the map, the wall, and the screen.\n\n### HAPTIC THEORIES: ART AND FILM\n\nLet us begin by addressing the issue of the haptic in the realm of art and film, noting an historical coincidence that set a haptic intersection in motion. Cinema emerged alongside a reformulation of spatiality in art theory, proposed most notably by Alois Riegl (1858\u20131905), who developed a notion of the haptic. Riegl was curator of textiles at the Museum of Art and Industry in Vienna during most of his professional life. Work on the haptic was thus, significantly, produced by an art historian whose curatorial considerations put him in touch with matters of texture and tactile practices. One may assume that Riegl's concern with surface decoration and his engagement with the history of ornament were inscribed in a textural practice.\n\nRiegl's work influenced Walter Benjamin, and his foregrounding of the haptic shaped Benjamin's pioneering theorization of the cinematic art form. Benjamin, however, put a twist on Riegl's theory: he subverted the separation of touch and vision and, by extension, the distinction between haptic and optic that Riegl had established by way of Egyptian art; he also objected to the teleological vision that saw art moving toward an optic mode of representation in modern forms. As Margaret Iversen writes in her volume on Riegl's work, for Benjamin, \"the modern 'tactile' mode of perception involves a challenge to the senses.... Benjamin's appreciation of Riegl's theory did not prevent him from turning it upside down, that is by making modern perception tactile or haptic rather than optic.\"\n\n8.2. Jan Brueghel, _The Senses of Touch, Hearing, and Taste_ , 1618. Oil on canvas. Detail.\n\n8.3. A taste of touch in Peter Greenaway's installation _Watching Water_ , Venice, 1993. Detail of interior view.\n\nIn contemporary film theory, there is a limited history to the use of the term _haptic_ with regard to cinema. Noel Burch first employed it as a way to account for film's spatial illusion: as access, that is, to a believable deep space, which he saw growing out of the surface of early film in a gradual way. Burch has been criticized by Antonia Lant for using the term haptic in a confusing way that runs counter to Riegl's conception and actually ends up defining the optical mode. Although appreciative of Benjamin's approach, Lant does not work from his vantage point (which might provide a different perspective on reading Burch); rather she elaborates a different understanding of haptical cinema. Invoking Egyptian art and referring to early cinema's Egyptomania, she presents the view that, for Riegl, the haptic implied the presence of representational flatness and planarity. Reinforcing her assumptions about the bipolarity of flatness\/depth in filmic terms, she develops an historically grounded theoretical model of film based on the plane of a non-perspectival space. The \"early screen,\" for Lant, is \"utterly haptic, a surface of clearly delimited height and width with no visual suggestion of an inside, of any depth.\" While we share with Lant an interest in art and its theorization, and the project of linking the haptic to the genealogy of film, we nonetheless begin our investigation of the haptic with different \"premises.\" Her notion suits the account of an Egyptianate phase in early cinema, in tension between flatness and depth, but is distinct from my own conception, which is concerned with a different range of filmic phenomena.\n\nIn investing the moving image with haptic appeal, I have mobilized the notion of the field screen, understood as habitable geographic space. Speaking of the haptic as a way to describe cinema's modernity and approaching the problem of site-seeing architecturally, I have taken as my starting point Benjamin's reversal of Riegl: namely, that it is the haptic that defines the modern impact of the moving image. In this respect, let me reconsider Burch's use of the notion of a haptical cinema apart from its application to an interpretation of spatial illusion, for there is an incipient element of theorization in his work that nonetheless deserves attention: reinterpreted in the context of what Burch calls film's \"motionless voyage,\" haptic implies \"habitable.\" Proceeding from Benjamin's logic, whereby film\u2014to the extent that it, too, is tactilely apperceived by way of habit\u2014joins architecture as this form of habitation, I have conceived the haptic space of cinema as habitable space.\n\nIn this sense, I understand _habitation_ (in which _habit_ is inscribed) to be a component of a notion of the haptic, particularly if the haptic is placed in the realm of spatiality and set in motion in an investigation of traveling cultures. Here, the haptic nature of cinema involves an architectural itinerary, related to motion and texture rather than flatness. It takes the haptic to be the measure of our tactile apprehension of space, an apprehension that is an effect of our movement in space. We have shown how, from the art of memory to the art of emotional mapping to garden strolling, a genealogy of haptic motion marks protofilmic space. Film provided the modern subject with a new _tactics_ for orienting herself in space and for making \"sense\" of this motion, which includes the motion of emotions. By way of its site-seeing, it offered a sensuous orientation to cognitive mapping, creating a spatial architectonics for mobile, _emotional_ mapping. As a house of moving pictures, film is as habitable as the house we live in. Its \"architexture,\" in fact, designs the realm of bio-history\u2014a map of _bios_ , or life-mode. It draws on its _emotion_ to circulate this history. And does so tangibly.\n\n### A TOUCH OF SPACE\n\nThe tactile aspect of spatial tactics, engaged thus far primarily through the strategies of emotional cartography, permeates the construction of haptic perception. We have revisited many archival incarnations of this _tactics_ and given room to the cultural map of the eighteenth century, for its obsession with the relationship of touch to sight is particularly relevant to our discussion of haptic imaging. In a Western culture that privileged sight, touch had often been positioned at the bottom of the hierarchy of the senses; in the eighteenth century, however, a renewed and extensive interest in touch came about. Writing on \"plasticity\" in 1778, Johann Gottfried Herder, for example, made a case for haptic perception and reversed the conventional hierarchy by arguing that touch even generated sight: learning to see involves \"seeing figures in space as the letters of earlier physical feeling.\"\n\nIt was Etienne Bonnot de Condillac's 1754 _Treatise on the Sensations_ that, in the philosophical tradition of John Locke, wrote sentient aesthetics onto the mechanics of a body by envisioning a statue that is progressively \"animated.\" In Condillac's plan, the statue's senses are sequentially activated, one by one, and then combined until full sensation (and thus knowledge) is achieved. As the cognitive process unfolds, connecting sense to sensibility, an interesting construction of the haptic emerges, together with a theory that understands emotions as a transformation of sensations.\n\nCondillac proposes that \"we are led to attribute to sight ideas that we owe to touch alone.\" Considering the case of a person \"limited to the sense of sight,\" he suggests that \"the eye in itself is incapable of seeing space outside itself.\" Touch projects us outward:\n\n_When considering the properties of touch I came to the conclusion that it was capable of discovering space and also of instructing the other senses to relate their sensations to bodies extended in space.... With the aid of touch, [the eyes] come to judge objects which are in space._\n\nDesigning a haptic field, Condillac demonstrates the interaction of touch, space, and movement. Touch teaches the eyes to see beyond themselves. It is \"the only sense which of itself can judge of externality,\" for we \"learn to touch through movements... spreading over all parts, extending enjoyment to the whole body.\" The sense of touch, then, makes the discovery and exploration of space possible in every way: recognizing other presences in space can make disparate objects into \"collections.\" This sense not only implements desire but fosters curiosity, taking us from place to place in pursuit of pleasures that touch the sphere of imagination and reflection. Condillac concludes that, through access to this movement, touch also opens up for us the experience of duration. The haptic sense thus ultimately maps the deployment of historical space.\n\nIn Condillac's activation of sensory perception he performed a sequence of actions on his inanimate simulacrum of a human body as, in turn, he sculpted the human body in its simulated image. The mechanics of this epistemic operation, marginalized in optically driven theories, has, by now, been achieved technologically and inhabits our visual culture pervasively: it has become the representational technique of the cinema. In Condillac's manner, the cinema, a corporeal mechanics, produces body doubles and keeps them running. As Annette Michelson shows, this history of simulacra began in the realm of precinema, \"on the eve of the future,\" with the literary creation of Edison's Hadaly, an android that was itself a prototypical remake of Condillac's statue and the \"Eve\" of our cinematic future. Over the course of its history, the cinema has created a great number of these \"skin-jobs.\"\n\nIt is not by chance that the sensory machinery we know as cinema, itself bound to a prosthetic image of kinesthetics, has a penchant for activating these lovely, tactile \"replicants,\" for the cinematic apparatus is the very type of sentient automaton that Condillac \"sensationally\" constructed. His mechanism, like our apparatus, not only could be \"sequentially\" activated in a \"succession of feelings\" but was entrusted with memory, in order to recollect \"sensations in succession.\" This construction could sense space \"automatically,\" moving \"mechanically\" to \"discover, by means of movement... a body,\" which is \"a continuum, formed by the contiguity of other extended bodies.\" In mnemonic imprint, it intimately embodied, just as film does, the principle of its own (e)motion, _animating_ it.\n\nFrom Condillac's sensate statue to film's own sentient cyborg, the sense of space is confirmed as more than the product of the eye alone. Let us also recall that Diderot, who posited a reciprocal assistance between the senses, physiologically described the memory of sight together with touch, hearing, and taste as a \"sequence of automated movements\" and showed that it is \"habit that links together a long sequence of sensations and words, of successive and connected organic movements.\" The distant gaze cannot explain space by itself. From the start, it is the tactile sense that extends surface into space. The senses not only work together in this enterprise but, in a series of traversals, interact in their function of fashioning space. This view does not, therefore, consider sight and touch to be in opposition. The eye itself can caress, and be caressed. Thinking of the haptic as inseparable from the optic was the basis for a modern incarnation of this notion, in which an actual reciprocity is operative. In Benjaminian fashion, with awareness of the \"sense\" of the cinematic experience, this construction took the mechanical habit of a tactile vision and an optical touch. This included the understanding that technology interacted with the sensorim and touched the sphere of other histories, including a natural history.\n\nIn a geographic convergence, touch engages the other senses to cognitively \"sense\" body surfaces extended in space. Let us recall the sentient accoutrement that was the intrinsic component of Cesare Ripa's image of Theoria, fashioned as a geographic woman: a compass, open like antennae, was implanted in her head as a cognitive \"feeler\" of space. In geographic terms, we may say that a \"touching\" interface creates emotional space by projecting us outward with other people, objects, and machines moving in space: it mobilizes the human body and its representational prosthetics in a vast, sentient expanse. The geographic path is profoundly haptic and relational. Site-seeing is, indeed, a tender mapping.\n\n### HAPTIC GEOGRAPHIES, GEOPSYCHIC AFFAIRS\n\nThe interaction of touch with the sensing of space is part of an historical development that engages the impulse to map psychocorporeal space and its intimate mechanics. As we have developed the notion of the haptic, it has been mobilized primarily in the field of this geographic history. Investigating the atlas, it has led us to a search for cartographic designs capable of developing a tactics of intimate space. Moving inside and outside, in the trajectory of a psychogeography, we have looked into the geopsychic terrain that has been left out by theories of the gaze. This terrain\u2014which comprehends haptic \"space\"\u2014is also the place where a tactile eye and a visual touch develop, for this way of looking is inscribed in the movement of psychogeography. It is found in the representational space that, both as spatial practice and the representation of space, progressed from early modernity and, passing through a series of \"situations,\" caressed film's own version of the motion of emotion.\n\nIn this passage our sense of place, which is also our sense of history, has been mapped haptically onto the field screen of \"moving\" images. The field screen that animates the city and the cine city, for instance, makes these sites conterminous, and in this \"projection\" history itself is mobilized. As we have seen, the streetscape is a product of both architecture and the moving image, habitually conjoined in history and now evermore melded in screen-space. The cine city is an architecture of the real, a place where social geography and psychic paths are written together in a phantasmatic construction of the present, where the future lives in traces of the past. Thus conceived on the field screen of moving images, geography is not a place without a history; nor is it a discipline of the exterior that relegates psychic traces to a separate interior\u2014assigning them to a psychoanalysis that, presumably, is not concerned with space. In psychogeographic terms, a merging of historic and psychic space is enacted, in recognition of the public course of interior vision that takes place in the intimate space the cinema represents.\n\nThis view of geopsychic space can be further advanced, even physiologically, by employing a notion of the haptic that circulates in cultural geography. When we turn to geographic studies that pertain to the physiology of the senses, we find substantiation of Condillac's early findings on spatial sensations. In Paul Rodaway's recent study of \"sensuous geographies,\" for instance, a physiologic notion of the haptic is used to explain the interaction between sense and place. Although Rodaway's account of haptic geography is introductory and falls particularly short in addressing problems of cultural space and delineating cultural differences, some of its insights are nonetheless useful. The work confirms that touch is a sense actively involved with the locomotive capacity of the body and with its kinesthetic perception. Because the haptic realm is not simply inclusive but \"comprehensive\" of this motile touch and its kinesthetics, the haptic, in a way, becomes an actual geographic sense. In our haptic experience of reaching, an extended, imagined, and even global touch is achieved. Hence contact, exploration, and communication are to be considered haptic activities. Although Rodaway himself does not mention the cinema as part of these communicative activities or acknowledge the haptic experience of film, it is easy to see how his description almost demands that this recognition be made. From my perspective, placing the cinema in this \"mediatic\" haptic realm has involved, in terms of methodology, launching an exploration of representation that is sensitive to cultural travel. The recognition of this connection has taken the very form of a geographic navigation. We can also extend this reading of haptic geographies to consider the intersection of spatiality with other fields of sentience. To the extent that it combines tactile and locomotive properties, the haptic experience, in geographic terms, involves a knowledge of surface, geometry, material, location, energy, and dynamics. All these are the mesmerizing properties of the cinema, and they are mobilized in the sensorium of the movie house to implement, augment, transform, and reinvent, by technological means, our sensory cognition and our sense of space.\n\nA participatory aspect is at work in this kine(sthe)tics, for the haptic involves a sense of reciprocity. The haptic, as its etymological root suggests, allows us to come into contact with people and the surface of things. Thus, while the basis of touch is a reaching out\u2014for an object, a place, or a person (including oneself)\u2014it also implies the reverse: that is, being touched in return. This reciprocal condition can be extended to a representational object as well; indeed, it invests the very process of film reception, for we are moved by the moving image. Furthermore, we should consider that, as a receptive function of skin, touch is not solely a prerogative of the hand. It covers the entire body, including the eye itself, and the feet, which establish our contact with the ground. Conceived as such a pervasive enterprise, the haptic sense actually can be understood as a geographic sense in a global way: it \"measures,\" \"interfaces,\" and \"borders\" our relation to the world, and does so habitually. It is no wonder, then, that the cinema, as a haptic affair, would play emotionally at this very threshold: its geographic machine came into being as a way to access, interface, border, and map such a relation between us and the world, implementing a geography of passage.\n\nThe transitive, corporeal mapping that informs the cinema is also a psychoanalytic passage: it borders on the intimate terrain of the self as charted in psychoanalysis, particularly with respect to the idea of an \"inside out.\" As Elizabeth Grosz points out in her claims for a corporeal feminism, the inside out is a psychic topography: it is an outcome of Freud's notion of the \"skin ego,\" a mental projection\u2014or, rather, a map\u2014of the surface of the body. It is a reversible map of surfaces. If we consider the haptic as this terrain of crossings, where spatial theories may encounter psychoanalysis, the work of Henri Lefebvre provides further reinforcement of such surface-screen contact, but only if read against the grain, for Lefebvre was not particularly tender to psychoanalysis. His version of the production of space, however, especially the aspect that has inspired my cartographic reading of haptic space, is not too far from a psychoanalytic perspective. His notion of a \"lived space,\" imagined in a triadic relation with \"perceived\" and \"conceived\" space, certainly leaves more than enough room for analytic thinking. This is evident when Lefebvre speaks of the relation between space and the body, extending one into the other, even conflating the two, and mapping their web of intersections. This interaction evokes the very reversibility of the flesh, where touching also means being touched; the idea thus approaches the tactile self mapped in psychoanalysis as an inside out. Furthermore, Lefebvre's view of the production of space is fundamentally relational. In his intersections of bodies and spaces, we may recognize intersubjectivity taking part in the making of intimate space. As psychoanalyst Jessica Benjamin defines it, intersubjectivity relates to the erotics of the \"bonds of love\" and is located in the very interaction of space and desire. It is a reciprocal place, both physically and culturally\u2014an \"in-between.\"\n\n### TACTILISM IN EARLY FILM THEORY\n\nProjecting this tactile landscape onto the realm of film, let us now consider how \"tactilism\" may have affected its discursive history and the process of its theorization. We have established that the haptic is a vast, distinct relational space and should not be restricted to tactility alone or merely assigned to vision. Nevertheless, this component of the haptic, in the limited form of a corporeal vision, circulated in film theory before our times and affected the very formulation of film theorization. Later erased in the theory of the gaze, an embodied vision has reemerged and underwrites, for example, Vivian Sobchack's phenomenology of film experience. To further restore the tactile and reinforce a haptic cinema at the threshold of intimate space, we return to early film theory, moving beyond the matter of the architectural voyage outlined earlier and turning to another version of the \"film sense\" in order to foreground the material expression of the motion of emotions.\n\nInsofar as this materiality involves a play of surfaces, it can be said that a route was established by Ricciotto Canudo, who \"animated\" the very surface of the screen. An Italian \u00e9migr\u00e9 active in Paris from 1902 to 1923, Canudo played an important role in Robert Mallet-Stevens's architectural experience in film. His film theory integrated cinema into the spatiovisual arts and was particularly sensitive to the living presence of space on the screen, which he theorized as a visible manifestation of the liminal relation of the unconscious to consciousness. Binding all filmic elements onto the landscape that paints the relation of people to environment, Canudo saw cinema as a plastic art in motion. Joining science and art, cinema, in his view, makes the rhythms of spatiotemporality into a modern dance of expression. As he wrote in 1911, cinema \"achieves the greatest mobility in the representation of life.... [It] heightens the basic psychic condition of western life, which manifests itself in action.\"\n\nWorking on the surface of things, B\u00e9la Bal\u00e1zs outlined the \"character\" of cinema by understanding the film screen as pervaded by physiognomy. In this way, he enacted a theoretical shift, rejecting the primacy of the eye for a notion of visual life and calling for the \"incorporation\" of psychosomatic features such as the visage. Bal\u00e1zs utilized the notion of _stimmung_ \u2014which, as we have seen, encompasses state of mind, sentiment, mood, tonality, and atmosphere\u2014to speak of film's expressive qualities and \"atmospheric\" play. Recognizing the physiognomic impact of cinema, Bal\u00e1zs's work was invested with a topography of the surface and designed such psychic contours as the filmic landscape of the face. In this view, the close-up became a microphysiognomic form of contact with interiority.\n\nMoving beyond physiognomy to make an inner world visible, Jean Epstein, the French medical doctor turned filmmaker and theorist, constructed a tactile vision for the film machine, claiming for it a prosthetic ability to extend the range of our corporeal way of seeing. Epstein's vision of a corporeal cinematic eye imparted physicality and intimacy and was conceived in sensuous proximity to the phenomenological world. He embodied this cinematic eye in many ways, particularly in terms of its ability to capture time\u2014a feature that recently has attracted interest in film theory. But if Epstein is called upon here, it is especially to highlight a theory that was tuned to the labor of emotion expressed in film, even to the physiology of passions of an amorous discourse. Recognizing the flux that resides in the cinema in the sensual moment of \"photog\u00e9nie,\" he accessed the dynamics of the emotion. In Epstein's view, cinema has the power to engage the affective life of human subjects and to envision the emotional impact of the environment and objects that surround them.\n\nIn advancing the mechanics of this landscape, we have engaged the architectonics of projection and incorporation that underwrites the haptic as an (e)motional absorption of images. We have also addressed the transformative side of a haptic cinema, embedded in Epstein's emotion pictures, and will continue to examine it as we investigate the filmic intakes of Peter Greenaway and other emotive morphings. For now, however, let us remain with the notion of reciprocity outlined above, which proposes that absorption impacts a tactile optics. In anthropologist Michael Taussig's mimetic version of tactile optics, which is sensitive to physiognomic manifestations of visual worlds, we recognize the very form of habitual knowledge that cinema actualizes in its double movement of absorption. This is a haptic route that can push mimesis to the edge of mimicry, taking us into the image as the image, in turn, is ingested. In this \"transport\" of acculturation, we travel across terrains and between cultures.\n\nAs it turns optic into haptic, site-seeing reveals that theories of the gaze, applied to film theory, left much \"room\" unexplored and regrettably ignored even the psychoanalytic investigations that construct our sense of space, including emotional space. Some aspects of this construction have emerged in our mapping of habitable space. We might note that the type of map that was established in emotional cartography, which we navigated in the previous chapter, was the very sensitive terrain on which psychoanalysis trod. As the psychoanalyst Paul Schilder recognized back in 1935, \"space... is in close relation to instincts, drives, emotions and actions.\" Viewed from this perspective, the interaction of psychoanalysis and space can be seen to reside in the very production of lived space. More specifically, it involves a way of locating affects in space, mobilizing them, and maneuvering the place that they, in turn, affect. To explore this tactics, we must continue the voyage initiated in the emotional art of mapping and consider the extension of one particular route of psychogeography: the impulse to map that, wishing to place _bios_ on a map, ends up mapping our bio-history.\n\n### A MAP OF BIO-HISTORY\n\nIf it is in a fashioning of space that tactilism \"resides,\" then such a place passes through the writings of Walter Benjamin, a recurring source of inspiration for thinking haptically and mimetically by way of architecture and visual mapping. As we traverse his well-traveled _One Way Street_ , for instance, we encounter a tactile, lived space. This street is inhabited. The book, as Victor Burgin remarks, \"has the appearance of a city plan.\" Above all, it is occupied by Asja Lacis, the Bolshevik director and actress with whom Benjamin had fallen in love while traveling in Italy, with whom he co-authored an essay on \"porous\" Naples, and who took him down the Marxist road.\n\nIn speaking of this road, his dedication of _One Way Street_ to her becomes relevant here again, for its emotional life extends into film's own. Let us recall that if \"this street is named Asja Lacis Street after her who as an engineer cut it through the author,\" it is not so named because she simply showed him the way. In a haptic conception, the author envisioned the Marxist, writerly street as if cut through the skin of his own body. This architectural anatomy lesson, performed by a woman, is quite a powerful image of the transformative impact of love on both biographical and intellectual life. This representation of space not only functions cinematically but plays a part in Benjamin's discourse on film, for it marks the passage between exterior and interior. It shows a way in which Benjamin understood the street\u2014an understanding that applies to his notion that filmic energy itself is \"of the street.\" In a sense, it \"engineers\" the very idea of haptic cinematic vision, for one way in which Benjamin rendered the haptic impact of cinema was to compare the cameraman's eye to the hands of a surgeon who cuts into the body, thus impressing on celluloid the force of a vision that \"operates\" a transformation with touch. Unfolded as a filmic map, this inscription reads as an _emotion_ picture, of which we \"sense\" all the engineering.\n\nAn architectonic engineering also resonates in the other haptic routes Benjamin traveled in film theory, albeit more reciprocally. As discussed earlier, for Benjamin, the mode of absorption by which we apprehend architecture abides in the cinema as well: buildings and films\u2014artworks appropriated by the kind of touch accomplished by habit\u2014are creatures of our sensate habitation. Their haptic routes habitually connect space with desire on a communal map. As tales of inhabitation, film and architecture map the sphere of daily life, lodging traces of biography as they, in turn, are \"moved\" by stories of the flesh. In his articulation of a physiognomy of the interior, Benjamin remarked that \"the traces of objects of everyday use are imprinted. The traces of the occupant also leave their impression on the interior.\" The birth of the cinema has made it possible to record these traces, mobilizing this landscape and reproducing in motion the very movement of inhabitation. It is an imprint. A tactile passing.\n\nThis tangible passage constructed by film and architecture belongs to the sensory sphere of emotional mapping and includes the architectonics of memory. As Benjamin put it, \"memory is not an instrument for exploring the past but its theatre. He who seeks to approach his own buried past must conduct himself like a man digging.... He must not be afraid to return again and again to the same matter.... For the matter itself is only a deposit, a stratum.... For successful excavations a plan is needed.\" In such an archaeological mapping, a haptic space is designed, theatrically, with the architectonics of the mnemonic theater. This form is invoked when Benjamin, in chronicling Berlin, reveals his desire for charting _bios_ on a map. Here is his personal chart of memory life:\n\n_I have long, indeed for years, played with the idea of setting out the sphere of life_ \u2014bios\u2014 _graphically on a map.... I have evolved a system of signs, and on the grey background of such maps they would make a colorful show if I clearly marked in the houses of my friends and girlfriends, the assembly halls of various collectives, from the 'debating chambers' of the Youth Movement to the gathering place of the Communist Youth, the hotel and brothel rooms that I knew for one night, the decisive benches in the Tiergarten, the ways to different schools and the graves that I saw filled, the sites of prestigious caf\u00e9s whose long-forgotten names daily cross our lips, the tennis courts where empty apartment blocks stand today.... 'Lived Berlin.'_\n\n8.4. \"Lived Berlin\" as mapped in _Wings of Desire_ (Wim Wenders, 1987). Frame enlargement.\n\nAs in Scud\u00e9ry's own _Carte de Tendre_ , Benjamin draws a moving map of affects. For him, transitory moments of a life can be designed in the grand scheme of History. This map of the lived city is the place where history is charted as a story, developing both narratively and geographically. Interestingly, it is not time alone that creates such history. Dates do not create the memory that this history recalls. History, and one's microhistory, \"take place\" in places. This history is not chronologically punctuated but spatially bound to duration. Mnemonic life abides in space and can, indeed, be mapped. One's past resides not in the mere presence of time but in the spaces where time was lived: in the schools frequented, in the landscape of the chambers occupied and visited, in the park benches used as seats. The past lives in the public life of streets, caf\u00e9s, gyms, and gathering halls. It is reinvented in the houses one inhabited, in the hotels and brothels traversed for a night. It awaits us in the geometry of the grave, our body's final resting place\u2014a terminal home for ourselves and our loved ones.\n\n### SCIENCE AND THE MEASURE OF OUR EMOTIONS\n\nBenjamin's map can illustrate for us the relation of emotions to motion, for it translates, in the form of a map, the same affective mimicry the motion picture itself mobilizes. It was Hugo M\u00fcnsterberg, the psychologist and early film theorist, who scientifically pursued this relation of motion to emotion and made it a field of cinematic inquiry from a psychological viewpoint. His film theory confirms that measuring motion is a matter of the genealogy of cinema; he advances this idea by taking it beyond the sphere of Muybridge's motion studies, their impact on Marey, and the contribution this work made to the cinema, as well as to the pictorial disruption of modern art. M\u00fcnsterberg's interest in physiological psychology enabled him to recognize subjective agency and therefore to access the measure of filmic emotion. For M\u00fcnsterberg, \"motion is to a high degree the product of our own reaction. Depth and movement come to us in the moving picture world.... We invest the impressions with them.\" According to M\u00fcnsterberg, what we see in movies, including motion, is produced in a mental process of binding. Speaking of this spectatorial \"performance,\" M\u00fcnsterberg claims that \"the objective world of outer events... [is] adjusted to the subjective movements of the mind. The mind develops memory ideas and imaginative ideas; in the moving pictures they become reality.\" In spectatorship, a range of inner movements binds the pictures together with plastic and emotional life.\n\nThis is the foundational idea of _The Photoplay: A Psychological Study_ , published the year M\u00fcnsterberg died, in 1916. Although this thin pamphlet, republished in 1970, was read by my generation of film scholars, our gaze was rather directed at Althusserian and Lacanian cinematic apparatuses. M\u00fcnsterberg was dismissed, despite his involvement in developing a filmic apparatus that, although apparently less refined, can be very useful when read in a specific way: the _dispositif_ of knowledge he deployed can only be understood, and rediscovered, in cultural history. In fact, M\u00fcnsterberg reads differently now, in the face of historical work that approaches his area of \"attention.\" We are now interested in exhibiting the conjunction of the invention of cinema with the formation of a vast epistemic apparatus, including scientific knowledge\u2014while not exclusively focused, however, on the experimentation in optical devices.\n\nAdvancing film genealogy in site-seeing, we may thus bypass the blind spots of M\u00fcnsterberg's philosophy and aesthetics and appreciate the insights of a research that illuminated cinematic depth and movement, focused on attention, traced the work of memory and imagination, and tackled the emotions. This is, at least, how I have encountered M\u00fcnsterberg again, aided by one of those biographical coincidences that Benjamin thought eminently mappable. It was while teaching at the university where M\u00fcnsterberg conceived his book that I realized his film work must be seen in relation to the \"laboratory\" of ideas and instruments this emigre developed at Harvard. M\u00fcnsterberg's film theory, in fact, came out of an actual laboratory. The lab was attached to the Department of Philosophy, where Gertrude Stein became his \"ideal student\" and engrossed herself in experiments that made use of his psychological technology. It is the collection of his instruments to measure the registry of emotion that gave me the \"measure\" of historical reconsideration needed to embark on an address of film genealogy and its theorization in relation to the inscription of emotions in time-space.\n\nIn my effort to map this archive of (re)collection\u2014here, at the place of the motion of emotions\u2014M\u00fcnsterberg comes fully into place. To grasp his tiny 1916 book one must see it positioned in the \"gallery\" of his measuring instruments, for they impart something about the impact of cinematic technology; they illustrate, that is, how cinema takes part in the technology of emotion. One might imagine this entire apparatus, including the filmic one, displayed in the context of an exhibition of M\u00fcnsterberg's laboratory, mobilized again in conjunction with film. Reinvented in the form of this imaginary art installation, the joint emotional machinery would be able to convey not only the disciplinary side of measuring but the measure of fascination mobilized in _emotion_ , a force that can confound even scientific disciplining.\n\nIf we were to imagine M\u00fcnsterberg's film theory this way, surrounded by all his machines, animated and moving around us in an art installation, the ideas themselves might appear to spin, for it was this emotive apparatus that sustained his vision of film theory and constituted a part of its very genealogy. The intellectual laboratory that became M\u00fcnsterberg's cinematic apparatus offers us a haptic understanding of the cinema and invests it with the physiological movement of _emotions_. M\u00fcnsterberg observed, first, that the kinesthetic properties of our cinematic machine result in a transport\u2014that is, they carry us away, and around. In his words, in film, \"not more than one-sixteenth of a second is needed to carry us from one corner of the globe to the other, from a jubilant setting to a mourning scene. The whole keyboard of the imagination may be used to serve this emotionalizing of nature.\" The venture described here bears the trace of geographic exploration and the imprint of scientific imaging and thus creates, with microscope and moving images, a different access to the natural world. But above all, the type of inner venture that M\u00fcnsterberg describes is an intimate \"transport.\" It corresponds to what I like to call a \"tourism of the emotions.\"\n\nM\u00fcnsterberg's vision of the cinema is charged with the moving power of _emotion_. To account for the mnemonic, attentive, imaginative, and emotional impact of the moving image, M\u00fcnsterberg pushed the psychophysiological direction in his scientific approach. Film makes an impression, which first comes into our visual field in the form of sensation; this bodily defined sensation is the very basis of an emotional knowledge. As he puts it:\n\n_Impressions which come to our eye at first awaken only sensations. But it is well known that in the view of modern physiological psychology our consciousness of the emotion itself is shaped and marked by the sensations which arise from our bodily organs. As soon as such abnormal visual impressions stream into our consciousness, our whole background of fusing bodily sensations becomes altered and new emotions seem to take hold of us._\n\nM\u00fcnsterberg understood the cinema to be a vehicle of physiological activity and placed emotions in this moving realm. In the way it explained the relation of the film sense to emotion, his modern physiological psychology followed the ancient sentient path paved by Condillac. In this view, not only do sensations arise from corporeal matters, but it is out of bodily sensations that emotions and passions are formed. The realm of filmic emotion is mobilized as the very transformation of sensations. Although this is a partial view of the intimate space mobilized in the cinema, it nonetheless enables us to grasp how filmic emotions \"take hold of\" our bodies in the space of the movie house. This is the direct route to filmic tears and the stomach crunch. It speaks to the material base of cinematic pathos. As an approach to the physical impact of emotion pictures on a spectatorial body, this understanding represents an important entry into the physiology of spectatorial life.\n\nM\u00fcnsterberg claims that the moving image participates in the transformation of sensations and emotions, for, being itself a form of \"transport,\" it acts as a passage. In his words, \"The photoplay tells the human story by overcoming the forms of the outer world, namely space, time, and causality, and by adjusting the events to the forms of the inner world, namely, attention, memory, imagination, and emotion.\" M\u00fcnsterberg's film theory recognized the threshold that the moving image activated in its tactile passage from the outer to the inner world, which includes the very course of psychic energy. The borderline art form of cinema, thus placed at the very perimeter of optical unconsciousness, was being shaped as a haptic geography. An apparatus was applied to \"measure\" film's psychophysiological interaction with the inner life of imaging, remembering, and feeling. In M\u00fcnsterberg's hands, spectatorship began to be conceived as a cell of affective life.\n\nFor M\u00fcnsterberg, writing in 1916, this way of seeing was a program in need of a style: \"to picture emotions must be the central aim of the photoplay,\" he wrote. Wishing for this to happen, he became concerned with the kinesthetic expression of emotional picturing. He worried about the work of acting in this sense: \"The photoactors may carefully go through the movements and imitate the contractions and relaxations of the muscles, and yet may be unable to produce those processes which are most essential for the true life emotions, namely those in the glands, blood vessels, and involuntary muscles.\"\n\nM\u00fcnsterberg's hope that an emotional kinesthetics would materialize in film theoretically touches on the muscular effort that accompanies voluntary motion on the screen and the faculty by which this sensation is perceived. It also bears on the involuntary body of emotions. Intersecting with the language of the unconscious, albeit from a different perspective than that of psychoanalysis, his theory contributed in its own way to the composite discourse that was mapping intimate space. It revealed aspects of the emotional range and infused the cinema with the sentient circulation of emotions. In mapping _emotions_ from the perspective of a psychophysiological inquiry, we may find ourselves carried away\u2014\"transported\"\u2014even if not to the absolute edge of intimate space. We can feel the \"motor\" of the filmic passion. We can sense the material fiber of that passion to reimagine, remember, and reinvent experience which we have been exploring and have sought to put back on the (pre)filmic map. By way of M\u00fcnsterberg's \"life emotions,\" which reside in the \"blood vessels,\" we have been taken on a tour that leads all the way back to the future: to that very vessel\u2014the \"vein\" of moving thoughts\u2014from whence we began our historical navigation of an intimate geography in the form of an atlas of _emotions_.\n\n### E _MOTION_\n\nIt is not surprising to conclude, then, that the museum of emotion pictures, as it repictures fragments of an intimate geography, ferries across a reversible \"transport.\" Emotion, as we have shown, reveals itself to be a matter of voyage: a moving form of epistemological passion and historic force. Its Latin root suggests the route this motion will take: a moving out, a migration, a transference from place to place. The physical effect of the pull of emotion is inscribed in the very experience of spatial transfer and dislocation and, in such a way, underwrites the fabrication of cultural travel. It is here, in this very _emotion_ , that the moving image was fashioned, with its own psychogeographic version of the _transito_ of _emovere_.\n\nOne source of this type of dislocated emotion, as we have seen, is the moving architectonics represented in the art of memory. Some contemporary views of art and science subscribe to the movement of emotion proposed by the old architectonic art of memory and represent this map of _emovere_ by technological means. By way of image technology, we are still playing with the moving images placed on revolving wheels by Ramon Lull, who, back in the thirteenth century, introduced such movement into memory. This type of mechanics, and the automated motion that includes repetition, constitute an essential \"wheel\" that drives our imaginative processes and forges representational history\u2014a spinning continuum of subjectivity, mnemonics, and imagination that marked the prefilmic history of the mechanics of imaging implanted, eventually, in the movie house.\n\nThis type of \"wheel,\" inscribed on the cinematic \"reel,\" returns as a motif in contemporary art installations that deal with technology and architecture. It is inscribed in Daniel Libeskind's transformation, in exhibitions and set designs he created in 1994, of the \"machine for living\" into an emotive machine, in which \"spinning\" propels \"a dynamically expanding spiral dance.\" It lives, cinematically, in the three machines Libeskind designed for an installation at the Venice Biennale in 1985: two wheeling mechanisms for reading and writing that resonate with a machine for memory, turning the memory theater into an erotic site of projection. The wheel has turned into the reel of image technology in different ways. By way of Buddhist itineraries and prayer wheels, for example, it shapes the form of Bill Viola's _Slowly Turning Narrative_ (1992), in which the landscape of a video self is meditatively observed in projection on a constantly moving wheel with repetitive sound. Motion, activated in the palimpsestic writing of emotions onto images, informs the subjective representational histories that extend from the waxed mnemonic images of earlier centuries all the way to our digital screen, impressing itself into the transparent layers of Viola's _The Veiling_ (1995).\n\nWe are still coupling motion with emotion, in science as in art. Contemporary neuroscience reproposes this relation as our basic epistemic mapping. As Israel Rosenfield shows in _The Invention of Memory_ , there is a \"deep relation between movement and memory.\" Neuronal groups, for instance, are organized into maps and in such form communicate with one another, speaking back and forth to produce notions of things and events. Maps, in this sense, constitute our very fabric. Rosenfield furthermore claims that \"all acts of recognition, all acts of recollection, require some kind of motor activity. We come to perceive and understand the physical world by exploring it with our hands, our eyes, and the movements of our bodies; our recollections and recognitions of the world are intimately related to those very movements we use to explore it.... In fact, we are all 'redoing' the past.\" It is in redoing the past, indeed, that we turn to cinema to record experience and further remap its _emotion_. Film becomes the reproducible memory of our kinesthetic view of space, and of the tactile exploration that makes up the intimate history of our emotional range.\n\nIt is along this sequential path\u2014a \"sequence\" that started with the art of memory and led to emotional cartography (including garden architecture) and maps of bio-history all the way to the contemporary view of _emotions_ in art and neuroscience\u2014that a haptic design takes place, making room for our historic memory. This cultural map engineers a dynamics\u2014the relation of motion to emotion\u2014and in this way \"touches\" the very relational matter that makes up the moving image, the screen of emotion pictures.\n\n### SITUATIONIST PSYCHOGEOGRAPHY\n\n> _With the aid of old maps... one can draw up hitherto lacking maps of... changing architecture and urbanism_.\n> \n> Guy Debord\n\nThe voyage of emotion traced by way of Madeleine de Scud\u00e9ry's _Carte de Tendre_ , which has moved us through various representational histories, inspired an art of mapping that eventually came to inhabit the very fabric of the conjoined urban and filmic screen of emotions. Locating the _emotion_ in this psychogeography, we turn to the map of the lived city designed by the situationists in order to propose the geopolitical substance of \"transport\" across mapping and film. As mentioned, both tender mapping and cinema played important roles in the situationists' mapping of psychogeography. The group reprinted the _Carte de Tendre_ in the _Internationale situationniste._ It also reinvented it in two maps, one of which is named after a film. Both of these maps, attributed to Guy Debord and Asger Jorn, were modeled after Scud\u00e9ry's chart and, in tracing the drift of a city dweller's own psychospatial negotiation, redraft its investment in intersubjective social space.\n\nThe recent critical focus on situationism, as exemplified in the work of Thomas McDonough, reveals that a most crucial legacy of this movement lies in its conception of space, previously underplayed in the critique of visual spectacle, even though space was central to the group's project. This critical revision of situationism includes specific attention to the movement's articulate views on architecture and \"unitary urbanism,\" enlightening their practice of atmosphere and ambiance and their geopolitics of the city, built on a new architecture of social space with nomadic forms of transformation. My own contribution to this discourse lies in approaching the issue of a mobile architecture of living; here, I take the group's construction of situations, in terms of lived ambiances and lived experiences, as a place of research on the relationship between spaces and emotions. Exploring geopsychic space from the perspective of film criticism, I focus on their cartographic thinking, tracing the way in which situationist mapping converges with the area of my specific cartographic concern: the intersection of filmic space and Scud\u00e9ry's map. To foreground the tender extension of psychogeography, my observations focus on the interplay between the film _The Naked City_ (Jules Dassin, 1948) and the situationist map that bears its name.\n\nThe _Naked City_ map is an assemblage of fragments, whose montage playfully remakes an urban topography into a social and affective landscape. It was constructed from nineteen segments of a map of Paris that, having undergone a process of _d\u00e9tournement_ in a creative intervention that forms new relations among the city's parts and their inhabitant-passengers, is then reconfigured with red directional arrows that link the cutouts. These arrows are referred to as _plaques tournantes_ because they function as \"turntables\" (like those used to rotate trains) that describe the subject's reorientation as he or she passes through various psychogeographic realms and \"unities of atmosphere.\" An actual \"locomotive\" reinstatement of what was, in effect, a \"wheel,\" the _plaques tournantes_ mark the dweller's way of living the city in its intensity as a psychogeographic recreation of new (e)motions. Considering this cartographic configuration, we may recognize in its fractured, sequential architectonics, its montagist derailing, and its narrative of \"locomotive\" geography an imprint of a mapping practice that is \"e-mobilized\" in filmic language. In the construction of the map, film appears to be much more than a citation or a passing reference. In addition to the inscription of a filmic title, the situationist map effectively grafts a filmic itinerary onto the very space of its design. In this respect, let us also recall the form that psychogeography took in Ralph Rumney's _Psychogeographic Map of Venice_ (1957), a rare document of the practice of psychogeographic drift. The map is a sequential photographic collage of street views, opening with a bird's-eye view and accompanied by \"intertitles.\" It is an attempt to render the urban drift in filmic writing, creating, as it were, a shot-by-shot analysis of filmic montage. This map, a city travelogue, is a sequence of film narrative laid bare.\n\nAs we further trace the cartographic threads of film's _emotion_ in intertextual terms, we find the graph of a narrative itinerary in _The Naked City_ map, which may be exposed through comparison with the film in an interpretive game that claims no intent or influence. The _Naked City_ , an American detective film that inspired a television series of the same name, was made in 1948 and has been considered a film noir, with some stretching of the definition. Made at the time of the neorealist city walks, _The Naked City_ is itself a city walk of its own sort. The film opens with an aerial vista of New York City as the film's producer, Mark Hellinger, comments in voice-over on the history of the streetscape in the cinema. He proclaims, without the shadow of a doubt, that this is the first ( _sic_ ) physical appearance of New York City on screen\u2014replete with hot pavements, naked stones, and cosmetic-free faces. Warning spectators that the city known to them is the studio-lot New York\u2014thus laying bare the city as a fabrication, a fictional set, a celluloid place\u2014he reclaims location as a narrative strategy for the detective genre at the very moment Italian neorealism would claim it in a different aesthetic context.\n\n8.5. Frames of mind: Ralph Rumney, _Psychogeographic Map of Venice_ , 1957. Detail.\n\nThe city becomes the protagonist of the story in a filmic promenade of kinesthetic dimensions. To solve a murder case, a detective and his assistant undertake an assignment involving extensive \"leg work.\" The film takes great pains to observe and describe the number of blocks the investigators must travel in their search for clues that will piece together the deadly puzzle. _The Naked City_ fits the \"detective paradigm\" described by the historian Carlo Ginzburg as the analytic approach that was taken by Sherlock Holmes, that colored the symptoms of Sigmund Freud, and that was explored in art by the Italian art historian Giovanni Morelli, who identified artworks representationally by piecing together morphologies of body parts. In such a noirish, corporeal way, this detective film pieces together a narrative of identifying clues in kinesthetic segments, foreshadowing the strategic game that would be played by the situationists on the space of the city. Through its fragmentary technique, _The Naked City_ reconstructs a mobile map of the city, reclaiming location as a tactic. As we follow the detectives around (literally, in their footsteps), the landscape of a crime is sequentially retraversed and then recomposed on the landscape of the city as experienced by its inhabitants. Space becomes psychic space, taking shape in the stories of the city dwellers and reflecting their representation of its contours. \"The naked city,\" in a corollary to the film's famous last line, inhabits millions of stories, including that of the future situationist map of \"pedestrian\" _d\u00e9rive_. It is the narrative of a navigated, lived space, of segments retraced\u2014exactly as they would be on the map by the red arrows and \"cardinal\" threads of peoples' movements in geopsychic space. An urban detective film thus gave rise to a theoretical tactic: a filmic narrative was the graph upon which the situationist narrative was built.\n\nIf a cinematic promenade formed the basis of situationist cartography, it also made it possible for it to exist as psychogeographic \"transport\": that is, cinematic language made possible the very transfer of mapping strategies from the inspirational _Carte de Tendre_ to a situationist enactment. If we consider a version of the situationist map that is printed as a large plan, to be folded and circulated like a travel map, the psychogeographic link of this \"transport\" becomes clear. The _Guide psychog\u00e9ographique de Paris_ (1957) is similar to the map of _The Naked City_ , and both played a significant role in the development of situationist architectural ideas. Also signed by Debord and Jorn, the map is subtitled _Discours sur les passions de l'amour_. This psychogeographic map of a city constitutes an amorous discourse and thus relates to Scud\u00e9ry's tender map in ways that are more than referential or inspirational. It is actually made in the image of her particular fluid language of love. A geographical \"discourse on the passions of love,\" the map engages with the emotion of _d\u00e9rive_ , described as bearing a psychogeographic _pente_ \u2014an \"inclination.\" In this way, the map reinscribes, in \"socio-ecological\" and geographic terms, the very passionate motion of the _Carte de Tendre_ , reinventing the bent of Scud\u00e9ry's own amorous navigation through the \"River of Inclination.\"\n\n8.6. Psychic turns of events in Guy Debord and Asger Jorn's _Guide psychog\u00e9ographique de Paris_ , 1957. Detail.\n\nIn the situationist view, \" _psychogeography_ could set for itself the study of the precise laws and specific effects of the geographical environment, consciously organized or not, on the emotions and behavior of individuals. The adjective _psychogeographical_... reflect[s] the same spirit of discovery.\" In its exploration of the emotional edge of lived space as an affective traversal of the street, situationist mapping constituted itself as a socio-political psychoanalysis of urban space. \"Putting the psychoanalytic couch in the street, transforming the city into an immense divan,\" as one commentator put it, the movement proposed that the subjective practice of intimate reinvention be a motor that drives urban transformation and social revolt. In Debord's words, \"spatial development must take into account the emotional effects.... New, free architecture... will primarily be based on... the atmospheric effects of rooms, hallways, streets, atmospheres linked to the gestures they contain.... Architecture must advance by taking emotionally moving situations... as the material it works with.\"\n\nWith this geopolitics laid bare on a map, situationist psychocartography reenergized a particular impulse to map, taking new directions in the process of events that, at certain historic junctures, had rethought cartography in relation to a bio-history. The map of _The Naked City_ played cinematically with the idea of setting out the sphere of urban life on a map in graphic terms; the red vectors, marking the lived psychogeographic itinerary of the map, write filmically. In a way, they cinematically reinvent that \"colorful show\" that Benjamin, in a different cultural context, had also wanted to design cartographically. \"Refashioning\" them as locomotive turntables, they set out the inhabited segments, vectors, and \"colored markers\" against a grey mapping that Benjamin previously dreamt of mobilizing in the graphic design of his own map of _bios_ in the lived city.\n\nClosely bound up with historicity, a form of psychogeographic mapping may periodically return to reinvent the measure of spatiotemporal configuration itself. This mapping represented a field of concern for Henri Lefebvre, who admitted to having been \"touche[d]... intimately\" in a troubled \"love story\" with the situationists. It charts the field Lefebvre theorized as the act of inhabiting a social space. In Lefebvre's spatial design, love and its history were recognized as an example of new situations of urban living and a force in their transformation. Here, there is a political understanding that to observe, and change, the architecture of social space means to engage with how this space is \"intimately\" inhabited, without shying away from such things as the culture of love. For emotional force does create, in many ways, new forms of habitation. This geography of lived situations\u2014a _tactics_ we have located in that space between the map, the wall, and the screen\u2014\"comprehends\" casual encounters with emotion pictures, with their own intimate ways of habitation.\n\nIn remapping the textual articulation of a film onto a map, we are able to observe the considerable extent to which cinematic \"transport\" played a role in mediating between tender cartography and the situationist notion of atmospheric drift, for, negotiating passage in the city, situationist space was mapped with, and through, the wandering, filmic tactics of site-seeing. The situationist tactics, imaged cartographically, involved the _d\u00e9rive_ \u2014the \"nautical\" drift\u2014experienced in geopsychic navigation. This transient passage was aware of the ambiance and affect of dislocation and the effect of _d\u00e9paysement_ in the geopolitics of space. Seen in this way\u2014that is, from the genealogy of its filmic, tactically fractured perspective\u2014the situationists' psychogeographical practice of mapping emerges as an alternative model to the totalizing, regulative ideal of a cognitively defined mapping. In the situational bond of _The Naked City_ , the _tactics_ that exposes social bio-history is relived. In this inspirational binding, a laying bare of the open, relational, \"navigational\" narrative of a mapping that is fundamentally _emotional_ comes to be nautically reinvented in psychosocial currents.\n\n### A SITUATION BEYOND SITUATIONIST CARTOGRAPHY\n\nAlthough domination is one aspect of cartography, situationist cartography demonstrates that cartographic thinking need not always be colored by the impulse to conquer or by the language of power and its tendency to unify. As we have seen in the development of _emotional_ cartography across time, cartography can be an essential tool in the exploration of moving subjects and their differences. We have shown the ways in which the texture of this cartographic thought was tender to gender and can be used in remapping the female subject as a subject of geography. A tender mapping is not only an important step in recharting the field of gender mapping but a vehicle for other measures we may take in navigating the current state of our _emotion_.\n\nThis involves taking the meaning of emotion in its historical sense as a \"moving out\"\u2014a sense, as we have claimed, that includes migration and transference from place to place\u2014and thus confronting the affective component of this dislocation in history: confronting, that is, the itinerary of the \"space-affect.\" Facing the cultural movement of _emotion_ inscribed in the history of traveling space, we have mapped the very space from which the moving image emerged as _kinema_ , fostering its own psychogeography of _transito_. In the concluding chapters of this book, which address problematic notions of \"home,\" I will continue to work with the migratory sense of emotional passion. For it is in the cartographic _emotion_ , where the moving image was activated, that we can try to rework our own psychogeographic mapping in the face of hybrid, nomadic histories. Certainly, as Edward Soja rightly remarks, \"loving maps is not enough,\" but it can provide a starting point for addressing the demonization of cartography as a totalizing view and for rethinking some critical issues from the perspective of a spatialized historicism.\n\nMoving beyond the idea of cognitive mapping, contemporary theory can \"mobilize\" the impulse to map in order to advocate practices of intersubjective mapping and thereby tame certain anxieties and resistances that have pertained to cartography. As we have seen, the impulse to map has indeed been set in motion for some scholars of the literary imagination and for other thinkers who, like Bruno Latour in the sociology of science, are interested in the mobilization of worlds through cartographic practices. It is at play, for example, in the work of Rosi Braidotti, a theorist whose intellectual biography spans Italy-Australia-Paris-the Netherlands, and who knows that \"the nomad and the cartographer proceed hand in hand because they share a situational need.\" However different, these geographic itineraries are among those that elicit my own cartographic sympathy\u2014or perhaps, one might say, pathos. They\u2014along with others revisited throughout this book or, regrettably, not explored (an atlas is not an encyclopedia!)\u2014mark the path of an intellectual migrancy often related to, if not generated by, the bio-cultural experience of nomadism, wandering, or diaspora. They represent that generative cartographic matrix which defines the self as an authorial subject (dis)placed between diverse cultures and languages, where writing is \"moved\" by a mobile, cartographic experience of dwelling.\n\nIt has been all too evident to this \"resident alien\" that, as Celeste Olalquiaga, a Venezuelan cultural critic living in New York, claims: \"bodies are... like cities, their temporal coordinates transformed into spatial ones.... History has been replaced by geography, stories by maps.\" Confronting this landscape, the art of mapping has returned in artistic practices\u2014as it does at specific historical junctures\u2014with an open question about our geopsychic state. The migrant architectonics of memory that is materialized, for instance, in the urban public artwork of Krzysztof Wodiczko (a Polish artist residing in the United States) is a shared condition that forces us to confront the issue of mapping in relation to history. All this remapping of identity is a psychogeographic affair that, on the threshold of space and time, engages our sense of spatial duration and temporal placement.\n\nTaking the measure of our displacement, it has become necessary to \"refigure\" the labor of mapping in relation to a state of residual history. Out of the postmodernist and deconstructive shattering of the teleological historical narrative, some reconfigurations are emerging that evince at times (as in my own case) the drive to voyage of archaeological excavation or environmental cultural history. However different these routes may be, \"negotiating metaphoric travel,\" as Donna Haraway has put it, \"is an important and dangerous work.\" Rather than dismissing or demonizing it, we might aspire to engage a theory and practice of mapping for \"traveling cultures\": a cartography beyond the cognitive, open to webs of ethno-cultural movements in a way that accounts for the motion of emotion embodied therein. To think of filmic cartography as a vehicle of cultural mapping may be one way of accessing the shifting geography of intimate space and questioning, on psychogeographical terrain, the function of an archive of images in cultural remapping. As a form of site-seeing, film has historically reshaped (as it continues to do) the very _emotion_ of these phenomena, along with our sense of space and time.\n\n8.7. The fabric of residual history in the architectural and fashion remnants of _Re Construction_ , a store installation by J. Morgan Puett and Shack Inc., New York, 1998.\n\nIncorporating the moving image into an examination of discursive remapping is not simply a matter of phenomenological orientation but of incorporating intersubjective, relational dimensions that mobilize mapping itself within the fragmented segments of a historical trajectory. With the invention of cinema, the very territory of geopsychic representation itself has shifted, creating a different measure of time-space. Film's site-seeing inaugurated modern cartography, for its map of fragmentary e-movements opened the way to a new geographical imagination of temporal traces. As Paul Virilio puts it, writing across architecture and film, \"measurement is... displacement. One not only displaces oneself, in order to take the measure, but one also displaces the territory in its representation, in its geometric or cartographic reduction.\" It is in this representational respect that the moving image plays a role, for it is a measure of the reconfiguration mapping has undergone in time, affecting, in turn, our imaginative place in history. The measure of our geopsychic situation vis-\u00e0-vis shifting forms of (intimate) habitation invests the archive of emotion pictures with its very sense. In our effort to \"reimage\" residual history out of our current cartographic scene, motion pictures and their archaeology constitute both an instrument and a route.\n\n### ESTABLISHING SHOTS: A CARTOGRAPHIC FILM PRACTICE\n\nThe need to establish spatial parameters and to (dis)locate one's own body along with them\u2014a need found, in reversible forms, in cartographic culture\u2014is indeed an _emotional_ obsession of film. A clear example of cartographic transference is the cinematic convention of the \"establishing\" shot. Here, a travel practice is quite materially transformed into filmic mapping. The establishing shot, a fundamental feature of the dominant film language, makes manifest a particular form of mapping: it exerts the pressure of a regulatory measure against the practice of border crossing. The drawing of place established by the establishing shot reveals a geographic phenomenon at work in film that we can recognize as cartographic anxiety and its release.\n\nAt the beginning of a film, just as at the start of a traveler's visit to a city, the spectator is thought to confront a geographic emotion. This may be a simple desire to know the location or, more commonly, a fear that develops into the need to be reassured of one's whereabouts. The establishing shot is the conventional response to this destabilizing \"space-affect.\" It is a way of securely mapping the viewer in space. Responding to film's various effects of displacement, the recurring establishing shot appears to compensate for the fear of dislocation and the resistance of the filmic fragment to represent a totality. Conventional editing techniques such as the analytic editing style try to address this situational dislocation by stressing continuity and reaffirming placement. Other less conventional techniques allow the viewer to float freely on the filmic chart. Generally speaking, editing engages in a dialogue with directional disorientation of the body. Even when conventionally trying to diffuse such disorientation, editing can serve to underscore it, and often does so. The work of editing aims to navigate the course of the filmic emotional route, interacting with its various phenomenological and cultural trespassings.\n\nTaken to an elsewhere now here and constantly transported through (un)familiar terrains, the spectator-passenger periodically can be rescued from getting lost. From time to time, she can be put back in place or discouraged from doing that to which she is attracted\u2014namely, becoming dangerously curious or going off the road\u2014through the establishment of filmic-cartographic conventions for her trip. In the spatial dialogue of film language, these exist to be confounded and defied. Points and pointers certainly are marked on the filmic map, but only to be constantly shifted, twisted, and refashioned. In the drift of the spectatorial voyage in the space of the movie house, the filmic chart moves, continually refigured by the filmic (e)motion. Thus configured, even cartographic anxiety is a sign\u2014a \"measure\"\u2014of the force of the psychogeographic flux in film.\n\n### THE MAP, THE WALL, AND THE SCREEN: PART I\n\nA double haptic process conjoins mapping and film: this process involves mobilizing mapping by way of the moving image, while at the same time redesigning film theory by way of cartographic theories. Rudolf Arnheim's research in the visual arts represents an important contribution to the understanding of this process. Arnheim's interest in art and visual perception from the viewpoint of visual psychology extended to the cinema as well, an art form he investigated and theorized from 1933 onward. But it is not for his work on film that Arnheim is relevant to our mode of theory. Rather, it is his thinking about maps that helps us along in our endeavor to flesh out the interface of the map with the wall and the screen\u2014the wall, in this case, being the wall as it functions in art and in the gallery.\n\nIn an essay entitled \"The Perception of Maps,\" Arnheim furthered the aesthetic understanding he had developed in his theory of art, which insisted on the cumulative function of perception. For Arnheim, a perceptual act is never isolated but occurs in a series; this movement incorporates the past and is recorded in memory. Arnheim proposed that the work of art and the work of mapping share this particular imaginative function. Although he never mentions the cinema in his account of cultural cartography, from our position, this understanding speaks precisely to the haptic texture of cinematic perception.\n\nAccording to Arnheim, the map\u2014a graphic analogue\u2014shares further perceptual properties with the artwork, to which it is linked by way of its historical conjunction with artistic practices of mapping. The map is a configuration of forces, transformed into a play of corresponding forces in the psychic act of reception. It takes part in the cumulative process that shapes, for example, depth and figure-ground phenomena. Sharing properties with the object it represents, the map \"can arouse visual images in the mind\" that have been conjured up \"from the reservoirs of the viewer's memory. It takes imagination, fed by experience, to generate visual imagery.\" Indeed, it does, in the art of mapping as on the gallery wall or on the wall-screen in the house of pictures.\n\n### THE MAP, THE WALL, AND THE SCREEN: PART II\n\nAlong the route of cartographic exploration, in the process of conjuring reciprocal, transitive intersections between film and mapping, the work of Gilles Deleuze cannot be bypassed, however engaged we may be in critical revision. It is perhaps ironic that a contribution to the discourse on filmic cartography does not come directly from Deleuze's philosophical involvement with the language of cinema, although some ideas on cinematic mapping can be derived from this work. At times, Deleuze recognizes film's potential to measure, as when he states that \"the screen, as the frame of frames, gives a common standard of measurement to things which do not have one\u2014long shots of countryside and close-up of the face, an astronomical system and a single drop of water.... In all these senses the frame ensures a deterritorialization of the image.\" When it comes to discussing the potential play of the haptic and of the \"affection-image\" in film, however, the view that he offers is inadequate and unsatisfactorily literal. Rather than in his work on film, a theoretical contribution to the mapping of a haptic \"movement-image\" is more productively found in Deleuze and Guattari's notion of \"geo-philosophy.\" It is especially in place in their idea of nomadology. Although abused and criticized, this notion may still hold a radical place in the theorization of space by virtue of its proclaimed appropriation, admiring critique, and admitted \"free use\" of Riegl's and Worringer's notions of haptic\u2014a position that led to the forceful claim of haptic space for a nomad art. In this view, the map itself assumes haptic tones:\n\n_The map does not reproduce an unconscious closed in upon itself; it constructs the unconscious. It fosters connections between fields, the removal of blockage of bodies without organs onto a plane of consistency. It is itself a part of the rhizome. The map is open and connectable in all of its dimensions; it is detachable, reversible, susceptible to constant modification. It can be torn, reversed, adapted to any kind of mounting, reworked by an individual, group, or social formation. It can be drawn on a wall, conceived as a work of art, constructed as a political action or as a meditation.... A map has multiple entryways._\n\nTo connect this map to the cinema, we have to read Deleuze and Guattari architecturally and play an architectural game of interpretation. The map in question constructs the unconscious, fostering all kinds of links between fields. Such a map is drawn on a wall. Like panoramic wallpaper, it is removable, open, connectable, adaptable, and implies reversibility. It is similarly susceptible to change and can be shaped to different kinds of mounting. Like wallpaper, it can also be torn and replaced, and is subject to the aesthetic and political taste of an individual or social group. As decor, it is readable from multiple viewpoints and penetrable from several entryways. This map can easily be redesigned on a white screen\u2014indeed, _as_ a film screen. It is the type of wall-screen materialized in Robert Irwin's installation _Excursus: Homage to the Square_ 3 (1998): a transparent, geometric site of light that may be traversed by multiple presences, a place where others can turn into reflections of the self. It is a wall that is constantly redesigned by passages and the passage of light images. This map, in fact, is a moving image. It is cinema\u2014a contemporary wallpaper. A wall atlas.\n\n### THE MAP ROOM OF MOVING PICTURES\n\nWe have found that from the very beginning of cartography, even before it was etched onto our mobile wallpaper\u2014that is, onto the white film screen\u2014mapping was a transitory activity. The terrain of ephemeral maps that has occupied us includes not only the stick-charts of nautical activity but also maps drawn on transient materials: scratched in sand, drawn on earth, carved on wood or stone, drafted on walls, designed on glass and parchment, impressed on fabric and painted on the body. Like the film body's own remapping of space, mapping has been a haptic activity. Body tattooing, as a form of decoration, has long been a design activity that \"fashions\" not only the body but its surrounding space. Body maps of space move with the body's own \"temporal\" state. They trace a displacement that, in turn, incites further time travel.\n\nAs Joan Blaeu wrote in the introduction to his famous _Atlas Maior_ (1663): \"Geography is... the light of history.... Maps enable us to contemplate at home and right before our eyes things that are far away.\" We have seen how, by the seventeenth century, the map was inhabiting the walls of European domestic interiors, competing for wall space alongside painting, especially landscape painting. We have seen also how maps were collected into atlases for domestic use; like the cabinet of curiosity and the botanic garden, atlases started to bring the world into view at home, turning it into an object to peruse, finger, and handle. In this way, people began to \"touch\" the world and explore it haptically. The map opened the way to film, for it enabled people to experience in their private ways the public itinerary of the various journeys of time and space that its planar form condenses for viewing. Here, layers of different travel discourses become virtually touchable, brought tactilely close on a textured surface and inside for our intimate travel.\n\n8.8. Traversing a \"gallery\" of maps: Galleria delle carte geografiche, Vatican Palace, Vatican State.\n\nWe must furthermore recall that atlases were also pictured on the wall; in fact, as the art historian Juergen Schulz shows, the first atlas of modern times was a map room. Map rooms can offer a geographic narrative tour, as in the Galleria delle carte geografiche at the Vatican Palace, in Rome; or let us take part in the inner voyage of a _studiolo_ , as in the Sala delle carte geografiche (Guardaroba) in the Palazzo Vecchio, in Florence; or make us passengers, as in the Sala del mappamondo at the Palazzo Farnese, in Caprarola. These map rooms, produced between the mid-1560s and the mid-1580s, have an appeal that redesigns decoration. Wall maps appearing as atlases expose an elaborate cultural architectonics, and not only when they feature city views or include _mappaemundi_ that rehearse a history fictionally. The wall atlas was never there to display exact geographic information. Generally, the map room conflates and assembles in one place new knowledge of the physical world, \"so that one can see and measure [these phenomena] together and by themselves.\" Sometimes, this constellation traverses land, sea, and sky, extending from geography to cosmography, from earth to the zodiac as it approaches celestial matters, reaching beyond the strict conceptual terrain and border of the map.\n\nStanding there now, revisiting these map rooms, we can sense the force of their transport and read the appeal of this decor as an _emovere_. With poetic license that reaches across history, we may even venture to see in the map room (or, at least, experience in its architectural embrace of transport) the architectonics we now know as art installation. An imaginary itinerary may take us from the map room to its domestic appearance in the form of panoramic wallpaper, whence it is transferred to the cinematic wall screen and, later, retraversed on the walls of the contemporary art gallery, in installations that are themselves decorated with maps and ornate with moving images.\n\nStanding in the old map rooms, one realizes, in any case, that a map is a particular kind of decoration. Maps on a wall transform the wall itself, turning it into a permeable surface that can be entered in different ways and traveled through. In the map room, the wall becomes a screen\u2014a place of \"projections.\" The wall of the map room is a porous site, loaded with the multiple layers of public fantasies and the strata of history projected onto it. This transitory, architectural feel of the map \"room\" is the very texture of the movie \"house.\" There also, the wall is a screen\u2014the filter of a private, public voyage.\n\n### THE MAP, THE WALL, THE SCREEN: GENEALOGICAL PANORAMA\n\nA map visualizes our experience of sites, records and measures a place in time in order to transport it to the viewer. The binding activity of filmic site-seeing produces the same cartographic effect. There is even a further, textural resemblance. Like a map, which is a surface that can hold the assemblage of a world, a film is a two-dimensional text that can create the illusion of other spatial dimensions, including depth. It collapses time and space, mapping out diachronies and spatialities, known and unknown, for the viewer to traverse virtually. Transitorily fixed on the texture of the screen, as sequentially and cumulatively assembled in an atlas, these spatial impressions can travel and bring to us, right where we are, records of even the most remote places and distant intimacies. The cinema, like an atlas, offers the dislocating pleasure of such imaginary explorations.\n\n8.9. Screening history in a room: wall maps and globe in the Sala delle carte geografiche (Guardaroba), Palazzo Vecchio, Florence.\n\nThe cinema serves a cartographic function, for it documents cultural sites and makes renderings of imagined geographies that are bound up in the physiology of spectatorial life. Its archival renderings are transported to the viewer, who, in turn, is transported by them. Cinema carries with it the mapping impulse and the \"transport\" inscribed in emotive cartography, which charts the motion of emotion. The motion picture has turned this particular landscape into an art of mapping, charting the collapse of mnemonic time on the surface of spatiovisual \"architextures.\" Now the fabric\u2014the screen\u2014can emove.\n\nThe historical development of mapping, with its spatial renderings of affects, is film archaeology, for cinema descends, as we have seen, from the art of memory and the emotional mapping that were transformed into the shifting view-sensing of picturesque gardens, as well as from the view-tracking of topographical paintings and from the cabinets of curiosity, whose transport created new travels of the room. As the wall atlas gave way to the panoramic wall painting, the nineteenth century further mobilized this topographical situation, transformed in prefilmic panoramic vision. In its various transmutations, from world exhibitions to architectural transits and cityscape design all the way to mass tourism, the cartographic impulse led to the reinvention of _emotion_ in the moving image.\n\nFilm's own cartography corresponds to a geographic condition: a shifting \"space-affect\" that accompanies the fragmentation of space itself\u2014especially city space\u2014and the making of the interior, both of which were born of the age of modernity that generated film. Multiple views of the metropolis, the montage of pedestrian experience, aerial flights: these are all present in a new mapping of the city\u2014the cine city. The invention of film embodies interior renderings of urban settings, reinventing them in mobile, fragmented, haptic emotion pictures. Such movement, observed at the beginning of this book, can now be recognized as an emotion: it resides in lived space. It is a form of \"rhythmanalysis.\" Lefebvre's urban notion, which developed from his observation of geographic rhythm, defines yet another zone of geopsychic site-seeing: the place of emotion pictures. A psychogeographic \"rhythmanalysis\" is housed in the movie house\u2014the dual location of the emotion of motion. This field screen is home to a heterotopia of reinvented geographic rhythms. It is a permeable, reversible site, where the geopsychic fragments of an inner world not only take shape, but make room. Exhibited inside out, exposed to light in the darkness, they are, reversibly, turned outside in.\n\n### MAPS OF E _MOTION_ , LANDSCAPES OF HISTORY\n\nIn the emotional cartography we have mapped, a history is written on the physiognomy of space and mobilized in its geopsychic rhythm. It is written between the flesh and the map\u2014on that map which is our face, and on the filmic facade, which is our map of history and screen of memory. Considering the psychogeographic map and the map room, in particular, as stories in history, the map turns out to be not only a geographic space but an historical vehicle, engaging, in the fashion of contemporary histories, in both microhistory and narrative.\n\nAs Louis Marin suggested in his theoretical observations on art, the geographic map, which he confined to the structural limits of a utopia, contains a history in its \"spatial play\" and, indeed, cannot even resist this condition, for \"as the direct transposition of an itinerary, the map constitutes the text of a possible narrative discourse.\" There, as in cinema, one travels on anterior traces. The space of the map, like the space of the journey that precedes it, is the _blank_ page of a cultural palimpsest; like the film screen, it takes shape as one reads between the strata of multiple voids. Read as it is traversed, a map, like a film, is a fragment that can unravel the culture of its time as it positions us in a plurality of places and non-places. It connects to film insofar as it offers a mnemotechnical apparatus to \"travel\" a library. In this sense, the map, as a performative site of memory, remains a form of historical travelogue. Collected cumulatively in an atlas, mapping creates an archive of emotion pictures, bound to the architectural wall and the film screen.\n\n8.10. An archive in motion: the traveling library of Sir Thomas Egerton, 1615.\n\n8.11. An archive of _emotion:_ Rachel Whiteread, _Untitled (Book Corridors)_ , 1997\u201398. Plaster, polystyrene, steel, and wood.\n\nIn _L'Empire des cartes_ , a theoretical study of the history of cartography pervaded by an intellectual nomadism, Christian Jacob shows that \"to read the toponymy of a map is to travel in space as much as it is to turn back in time.... The reading invites a genealogy, even an archaeology.... The globe is a palimpsest, a cemetery of toponymy.\" Now, as we bind filmic places to such a cemetery of cartographic toponymy, the narrative territory of the map can expand in history. Adjoined to the geopsychic narrative of film and its genealogy, the map, by nature interdisciplinary and interactive, reveals even more conflated historical layers, deposited and exhibited on the contour of a surface-screen. This archival representational field may turn out to be a vehicle for reimaging a sense of space. Perhaps it can even become a tool for remapping a form of residual historiographic narrative out of the psychogeographic debris that we inhabit, _hic et nunc_ , at those moments of time-space meltdown, when passions cannot possibly be contained in any map of rigid geometries. Let us then hold on to our navigational _Carte de Tendre_ and carry it with us as we follow the course of passions in the cartographic world of Peter Greenaway, and as we travel from _cineres_ to _cinemas_ with Gerhard Richter's _Atlas_ in hand.\n\n## **DESIGN**\n\n9.1. A touch of love in _The Cook, The Thief, His Wife, and Her Lover_ (Peter Greenaway, 1989). Frame enlargement.\n\n## **9 M Is for Mapping: Art, Apparel, Architecture Is for Peter Greenaway**\n\n> _Recollection is a discarded garment.  \n>  Repetition is an imperishable garment_.\n> \n> S\u00f8ren Kierkegaard\n\n_I remember the story. They met in a \"travelling history of architecture.\" They met in a movie. She was the wife. He was the lover. It was the architectural odyssey of_ The Cook, The Thief, His Wife, and Her Lover. _A Greenaway affair. The \"date,\" 1989._\n\n_She spotted him_.\n\n_Michael was alone. He always sat by himself in the restaurant. He preferred the company of his books to that of people. A bachelor, he lived in a library; or rather he had turned a book depository into a home. His private set was an endless stack of books, a bed, and a view of the city outside. There were no signs of domesticity here, for Michael always ate out at the restaurant. Never wanting to separate from his book-keeping, he had a habit of eating with his volumes. He devoured the written page, so engrossed was he in reading. In the same way, he ingested his meals meticulously_.\n\n_Michael, in fact, consumed everything in this way. He practiced the pleasure of the archivist: the quiet, avid, obsessive passion that is a private love of surface, texture, and the imaginary. Michael was indeed an archivist, even though he would lie about his way of life and, later in the story, tell her that he was a gynecologist. He did not see a difference. Archivist and gynecologist: both travel interiors_.\n\n_She watched him_.\n\n_Why would she be attracted to this pale-skinned loner, a member of that particular species the French appropriately call_ rat de biblioth\u00e8que? _Perhaps it was because it took just one glance to know that he could touch her with the same delicacy with which he handled the pages of his books. He could caress her skin like the feather of a quill pen moves across the surface of a parchment. Parchment, after all, is a matter of skin\u2014flesh on which to write. She fancied feathers. You could tell if you took note of her outfits_.\n\n_Michael noticed her stare. Or was it her hair? She went to a good hairdresser. She liked to \"wear\" herself out in public, to design the map of her body. Fashion and good cuisine were her somatic obsessions. They touched her yearning to consume, as well as her manner of consumption. Clothes, a real passion for her, were fabrics of fabrication: excessive constructions, textures of seduction_.\n\n_She wore beautiful things. In true eighties' style, extravagant, lavish apparel fashioned her image, shaped her figure. Her dresses were hyperbolic, ironic voyages into femininity. They accentuated her bodily \"architecture\": corsetlike structures framed shapes, doubled skin, marked curves, rounded breasts. She put herself together with care, composing a sequence of successively revealed parts. Her outfits were assemblages, luxuriant montages withseductive inner mechanisms. The ensemble was always open to ready deconstruction\u2014was there to be unfolded at the drop of a hand. It craved a lover's hand. Her attire roared desire_.\n\n_Jean-Paul Gaultier was, of course, her designer. She favored this couture outlaw who twisted good taste, winked at historicity, and, in his_ Metropolis _vogue, even turned Madonna into a False Maria. A fashion addict, she spent four hundred pounds a week on clothes. She also ate in the best restaurants. The food, exquisitely assembled on her plate, mirrored her clothes: it was a spectacle of consumable compositions. Eating and clothing went together, bonded on her map like bodily supplements. Aesthetic matters of the flesh, they were fibers\u2014specular sides of the same material_.\n\n_No wonder she nourished her gateways of incorporation. All passages and orifices\u2014the doors of intersubjectivity\u2014were lovingly nursed. She went to a good dentist and to a good gynecologist. So she told Michael, later in the story, adding that it was unlikely she would ever have a child. Her insides, she said, were ruined. Come and see me, he said then_.\n\n_But this only happened much later. At first, and for a while, they did not talk. This was a \"story of the eye. \"_\n\n_Her eyes devoured him_.\n\n_Michael looked up from his meal. Would he return that hungry look, give himself up to it, allow himself to be \"taken\" in the erotic game? In the age of female desire, one no longer assumes a positive answer to this query. The usual navigational maps have been superseded by new practices of heterosexual love, and the rules of the game have changed. Woman is no longer game: no longer prey but, also, not always allowed to play. Now that she is the subject of desire she ends up subjected to new forms of denial. She maneuvers the boat of seduction and he becomes frightened: as if confronting the ghost of Cleopatra, he jumps ship and descends into the Nile. Denial equals power in the current flow of amorous positions the male gets to navigate. Scud\u00e9ry's \"River of Inclination\" runs a different course. Rerouted by the new currents of seduction\u2014and the male's attempt to regain control by way of negation\u2014it becomes a journey into the Nile of denial_.\n\n_And what of the fear of the loss of self, of the loss of power, that accompanies immersion in the sea of passion? In the_ Carte de Tendre, _\"Countries Undiscovered\" appeared on the horizon of the map of tenderness, lurking behind the \"Dangerous Sea\" of love. Was Michael afraid of the waters? Would he remain castled up in the left corner of the map, nestled in that remote house of \"Pride\"? This dwelling, a safe haven, sat up high, overlooking a desperately lonely cliff_.\n\n_Would he take the plunge?_\n\n_A voyage to the sea has its advantages. Michael might indeed consider it. Perhaps he will not fear navigating the dangerous waters, will let himself be transported by their (e)motion. But he will have to travel far. Many obstacles stand in the way. He may be tempted to stop along the road. What if he chooses to stay at the lakeshore? The dead calm may be appealing to him. Indeed, the \"Lake of Indifference\" has its attractions. No mermaids. None of those oceanic creatures that made Ulysses drift away from the_ oikos. _Here, there is only ataraxia. Or is it \"still life\"?_\n\n_The \"Lake of Indifference\" stands there, still, a large and seductive spot on the map. Michael may never get out of it. But who knows? He may want to ride the waves of passion. Perhaps \u2014she wondered\u2014this man knows how to swim_.\n\n_Michael reached for her famished eyes. He left his food and book behind and went after her. Perhaps he figured that a woman, too, could be eaten up: absorbed, consumed, expended, depleted. No, that was not what Michael thought. Leaving his table to absorb her\u2014leaving the smell of his meal behind to follow hers\u2014sweet Michael had a sensuous thought. He thought that she would taste good. Yes, she would taste real good. She was real food for thought_.\n\n_She craved Michael_.\n\n_Michael craved her_.\n\n_They swallowed each other_.\n\n_It had to end badly_.\n\n### THE GEOMETRY OF PASSION\n\nIn turning, by way of a fictional appropriation, to the work of Peter Greenaway\u2014a film director and artist trained as a painter and obsessed by architecture, the fashioning of space, and the cartographic enterprise\u2014the cultural mapping we have genealogically traced is exposed in a contemporary filmic incarnation. Here, we sense the changes that have occurred in the domain that the Italian philosopher Remo Bodei calls \"the geometry of passions.\" One of the most accomplished cultural travelers in our cinematic century, Greenaway engages with some fundamental topoi of Western culture. His work leads us to question the current status of an emotional cartography in a world in which, according to Bodei, \"no etics is any longer capable of circumscribing, measuring, and cataloguing desire _more geometrico_ , as happened earlier with other passions, [for] 'the geometry of passion' itself has come to an end.\"\n\nGreenaway compels us to think about mapping cultural space after the demise of such a geometry of passion. He is obsessed with measuring and cataloguing\u2014modes of organization used in systematizing anatomy and the organic world, natural history, letters, and cartography. For Greenaway, as for Godard, however, the return to taxonomy is absurdist and minimalist, and capsizes the meanings set on this scale. In Greenaway's carefully constructed world, whose foundation rests on distancing and detachment, this elaborate architectonics tends to break around the edges of a passion. This suggests that when it comes to sentiments\u2014including the intellectual passion, and especially the cartographic impulse\u2014geometry was perhaps always a fiction. It also suggests that the geometry of passion has been keeping something at bay: the shifting design of an _emotional_ cartography. The predominant order of geometry has been obscuring other ways of facing, and even measuring, our passions.\n\nThis said, I do not mean to identify Greenaway with my mode of tender mapping. For with respect to mapping space, Greenaway, despite the various representational directions he sets into tension, generally maintains the observational stance of the Dutch descriptive tradition. This mode of representation nevertheless had its own passionate investment in describing the surface of the world, which was directly engaged in cartography and in charting the narrative of interior life. In the end, we may not be as far here from a tender mapping as it would at first seem, nor as decisively encamped in opposing territories. In my fictive, interpretive game, I purposely stretch Greenaway's cartographic borders, smuggling some of my mapping into his world. What follows, then, is a selective treatment of his work that engages only with those of the many aspects of his enterprise that intersect with the concerns of this book.\n\nGreenaway's recent work, from his curatorial endeavors and art installations to his recent film _The Pillow Book_ (1995), challenges, with precision, the mores of a _more geometrico_ of passion, adopting a softer approach\u2014one that resonates, perhaps, with the tone of Emmanuel Levinas's reading of obsession in terms of a proximity of consciousness and sensibility. Here, in contact with the face of the other, in the writing of the face\u2014where the caress of the visible takes place\u2014\"consciousness, in caressing, is obsessed.\" Greenaway's obsessive aesthetic measures labor in hybrid forms that venture beyond the traditional territory of film, reaching for that intersection of the map, the wall, and the screen. Beginning with _A TV Dante_ (1989), made in collaboration with the painter Tom Phillips, and _Prospero's Books_ (1991), Greenaway furthermore has produced a new mode of imaging, incorporating recent technologies such as Graphic Paintbox, which, as its name suggests, refashions painterly tools and ways of picturing for the digital domain. The texture of the resulting image no longer contains the geometry of passion. In an elaborate visual mapping that assumes the touch of a caress, _The Pillow Book_ even provides a new cinematic screen. This consists of an assemblage of three screen ratios: one widescreen and color; one of smaller dimensions in black and white; and the last a tiny videographic window-screen\u2014all coalesced into several superimposed configurations that work together with the eighteen languages of the film as multiple calligraphies. The frame, constantly refigured, explodes in favor of a simultaneous yet cumulative spatial flux. This screen, in dialogue with the reinvention of old representational techniques such as the filmic writing of intertitles, is composed of layers of passages that _emove_.\n\nPeter Greenaway engages with the shifting place of a geometry of passion, as well as its aesthetic closure, by working with multiple mobile screens, thus collapsing borders between the cultural work he undertakes as a filmmaker, visual artist, and curator. With his conflated layers of imaging, he produces new formal means for cinema, in interface with the history of art and architecture and sensitive to fashion. In its shifting textural materiality, its digital calligraphy, Greenaway's work is building a newly mobilized cinematic \"architexture\" for us to inhabit. His work propels a cross-pollination between cinema and the museum as it circulates together their various archives of imaging. In this way, Greenaway becomes a barometer of historical changes that have beset spatiovisuality in our time as he offers, in turn, a measure of our intellectual passion.\n\n### INCORPORATION: THE LABOR OF MOURNING\n\nLet us consider the metamorphoses exposed on Greenaway's screen, beginning with the act of incorporation. Occasionally in the artist's visual map, the tactile eye becomes a devouring eye: thus the narrative events of _The Cook, The Thief, His Wife, and Her Lover_ , etched palpably on a template of culinary-sartorial seduction, end up escalating into cannibalism. In the end, Michael dies by the hand of Georgina's husband, who makes him eat one of his beloved books. After force-feeding him the pages of Pascal Astruc-Latelle's _History of the French Revolution_ , the cuckolded husband proceeds to turn him into a cadaveric double of Rembrandt's _Anatomy Lesson of Dr. Joan Deyman_ (1656). In the wake of this atrocity, Georgina asks the chef at her favorite restaurant to cook her dead lover. Whatever for?\n\nPerhaps Georgina makes a gesture of love: that is, makes her lover, quite literally, into potential nourishment. Insofar as love may be understood as such a form of incorporation, this is indeed an act of love. As the cook suggests to her, eating her lover would make him remain part of her; they could always be together. But love, as a form of nourishing and nurturing, can also turn abject, for it rests on a primary generative scene of horror that implies sucking and devouring. On the topography of the mother's breast, as Melanie Klein shows, milk and blood are intimately connected. In this scenario, Georgina may want a meal of her lover, for love travels the whole metabolic range: it feeds, kills, and dies.\n\nIt is not for the purpose of embalming that Georgina wants her lover cooked. It is rather perhaps to enable the work of mourning to take place. Since Freud, the work of mourning has come to be understood as a process of incorporating the dead. Grieving is an architecture of swallowing. For mourning to occur, death must be metabolized. We have to take the deceased inside\u2014interiorize the person\u2014in order to allow ourselves to overcome the horror of death. The fricaseeing of Georgina's dead lover is a gesture that connotes the habitual way we come to terms with death. It may actually enrage some spectators, for it enacts a horror that society knows well but prefers to cover up. Greenaway thus lays bare our daily affairs. This cooking of the dead is the actual abject condition we all experience: ingestion is only an act of love in the labor of mourning.\n\nThe act of devouring configured in _The Cook_ might be further interpreted in the context of Jacques Derrida's reading of the work of mourning, which involves memory and interiorization, and is dependent on an _emotion_. Derrida describes the movement involved in interiorizing the physical persona\u2014remembering the voice and the visage of the deceased\u2014as \"quasi-literally devouring them.\" In his conception, \"this mimetic interiorization is not fictive; it is the origin of fiction.... It takes place in a body. Or rather it makes a place for a body.\" This is the metabolic process that eventually lets us digest a death, expelling the corpse that has been living within us. It is only when the other becomes mnemonically interiorized as flesh\u2014becomes a part of us, borne in us like a fetus\u2014that a \"tender rejection\" can take place, and the labor of mourning is over. The dead can be finally left there, outside of us.\n\n9.2. A tear moves down the surface-screen of Georgina's face in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement.\n\n9.3. Dead Michael in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement.\n\nGeorgina herself goes through a process of mourning. Only after she has spent the night lying next to her lover's cadaver, taking in his death in tender closeness with his body, does she have him made into a nourishing meal. For this occasion, Greenaway prepares an exquisite shot for an exquisitely loved corpse. At daybreak, we are presented with an extreme close-up of her face, which fills the frame horizontally. A tear, becoming palpable on the large screen of her visage, gently glides down the skin's surface. The shot sweats the labor of her pain as she intimately joins Michael, telling him of her horror. But the tender moment passes....\n\nAlthough Michael is finally prepared into a meal, in the end Georgina does not eat him. She vindictively offers his corpse up as culinary fodder for her husband, starting with the private parts that had lovingly nurtured her. He is delivered by a procession of all the people the brutish husband has badly hurt. Michael is arranged on a plate as though on an anatomical table in a scene from Rembrandt, laid out like Holbein's _The Body of the Dead Christ in the Tomb_ (1522), and, finally, turned around as in Mantegna's _Dead Christ_ to be offered to the carving knife.\n\n9.4. _Dead Christ_ by Andrea Mantegna, c. 1500. Oil on canvas.\n\n### EATING WITH THE EYES\n\nThe film's ending, not easy to stomach, hardly comes as a surprise. Antivision and cannibalism, as art historian Rosalind Krauss has theorized, are bound up with one another. The dictionary entry for \"Eye\" in Georges Bataille's journal _Documents_ is subtitled \"Cannibal Delicacy\":\n\n_On the subject of vision, it appears impossible to pronounce any other word but seduction.... But the extreme seduction probably borders on horror_.\n\n_In this respect vision can be related to cutting..._.\n\n_The eye, cannibal delicacy, after the exquisite expression of Stevenson, is an uncanny object..._.\n\n_There is a common saying \"eating with the eyes.\"... Looking at an object with desire is an act of appropriation and enjoyment. To desire is to contaminate; to desire is to take._\n\nBataille's writing on visuality as cannibal delicacy is accompanied by the photograph of a woman whose wide-open eyes are prominently displayed. It is a filmic fabrication: Joan Crawford, the star of such fashion-ruled, absorbing melodramas as _Mildred Pierce_ (1945). Bataille's illustration of seduction is no less than a portrayal of cinematic taste itself, rendered in female performance. Through this theoretical lens, with its cutting visions of contamination, female antivision becomes the site of cannibal delicacy. As the eye reaches for the mouth and the mouth envisions itself, seeing becomes philosophically bound to taste. Vision is no longer pictured as the sight of distance but as a digestive, contaminating closeness. Seductive trails of gastronomy emanate from this metabolic scene.\n\n9.5. 1798 engraving of midwife Mary Aubrey murdering her husband, renamed _Excesses of Love_ by Georges Bataille in his _The Tears of Eros_ , 1961.\n\n### THE DELICACIES OF ALIMENTARY PHILOSOPHY\n\nIn Greenaway's world, we always reach a wall\u2014the skin of a material resistance. We travel a sphere of experience that is visceral. In this domain, epitomized by _The Cook_ , eating becomes a form of knowledge. An eye-mouth maps space, ingesting it; sensuality is a pervasive form of nourishment; sexuality is experienced as food that is consumed. Bound together as incorporation, eating and knowing make for a gastric philosophy.\n\nThe alimentary side of knowledge, coupled with the epistemological edge of food, was illuminated by Jean-Paul Sartre in a text from 1939, which speaks of cannibal delicacies in its opening passage:\n\n' _His eyes devoured her_.' _The expression provides one of many hints of the illusion, common to both realism and idealism, that knowing is a sort of eating. This is where French philosophy is still mired.... We've all imagined a spider-Mind drawing things into its web, covering them with white saliva and slowly ingesting them, reducing them to its own substance.... O, alimentary philosophy! But what could be clearer:Isn't the table the current content of my perceptions, and my perception the present state of my consciousness? Nutrition, assimilation. The assimilation, as Lalande used to say, of things to ideas, of ideas to one another, and of one mind to another._\n\nWhat does this gastric landscape represent? For an answer, let us turn to some metabolic spiders pictured in women's art. In _The Spider_ (1994), a sculpture and series of drawings by Louise Bourgeois, the image of a \"spider-Mind drawing things into its web\" stands for alimentary knowledge, which, as Bourgeois sees it, is not too far from the complex nourishing emotion that defines femininity in the maternal topos. This web of knowledge is constructed by way of \"weaving\" thoughts onto the picture surface in the textural work of Elaine Reichek. In her _Sampler (A Spider)_ (1997), a web, inscribed in the cultural labor that produces a \"room of one's own,\" is actually woven onto the fabric of a canvas in the form of this absorbing passage from Virginia Woolf: \"fiction is like a spider's web... attached to life at four corners.... These webs are not spun in midair by incorporeal creatures. They are... attached to grossly material things like... the houses we live in.\" Such webs of metabolic knowledge are inscribed in the house of moving pictures as well and, in the form of intellectual \"intakes,\" define the way Greenaway gastrically inhabits it.\n\nIn his analysis of alimentary philosophy, Sartre sought to transform the \"moist gastric inwardness\" of digestive philosophy and turn it outward. He insisted that in order to succeed in this theoretical transformation, one must \"break out\" in the Husserlian sense, fly out beyond oneself, _be_ outside oneself. In this epistemic flight, to \"be\" is to break into the world, for in a Heideggerian sense, \"being-in\" is fundamentally a movement. Such an epistemological break is attempted by way of amorous transformation in _The Cook_ , in the scenes of love-making between Georgina and Michael in the kitchen of the restaurant, a series of amorous tableaux composed as culinary portraits, in the fashion of a typical Dutch _nature morte_. In the kitchen setting, these \"still lifes\" become erotic living, in a twist on the notion of _tableau vivant_. The _emotion_ of the film is also housed in the book depository, in that library\/archive\/home of transformative amorous knowledge. However, overall, and despite the extremely seductive choreography of camera movements in the restaurant, _The Cook_ does not progress entirely in the direction of mapping being-in as motion. There is movement across and within, but ultimately not outside an essentially gastric inwardness, which includes a fixation on the sentiment of revenge.\n\nA potential journey outward occurs when the film takes the spectators and the bonded lovers, who are in a sealed refrigerator truck, from the claustrophilic interior of the restaurant to the interior world of Michael's book depository. But this journey represents a particular kind of exit. It is an expulsion. It develops in descent. Discovered by the enraged husband, the lovers leave the Edenic delights of the restaurant and enter the enclosed truck, which is filled with rotten food. Expulsion, the other side of ingestion, is visually mapped in a sequence that has strong hagiographic and art-historical references. The lovers incarnate the image of Adam and Eve expelled from the Garden of Eden, where, with the eating of the forbidden apple, eroticism and gastronomy were first connected. The scene reeks of many painterly representations of the subject and particularly echoes the composition of Masaccio's _Expulsion of Adam and Eve_ (1425).\n\nExpulsion from the place of Edenic pleasures is one of the many Christian metaphors of incorporation employed in the film, culminating with the final act of cannibalism. Michael is offered up to be eaten just as the body of Christ is swallowed and ingested in the form of the Host. This reminds us how, in eucharistic terms, one becomes a cannibal by eating the body of Christ. Like any cannibalistic action, this one creates matter. It is a transformative act of the externalized psyche. In this sense, cannibalism performs the same kind of transformation that is enacted in alchemic knowledge.\n\nFormally orchestrated, as all Greenaway's features are, _The Cook_ constructs the escalation of cannibalistic activity with a minimal opulence that is beautifully perverse. Its visual mannerism is underscored by the music of Michael Nyman, a former frequent collaborator in the director's neo-baroque enterprise. The pleasure of cannibalism is enacted on many levels, including that of an authorial ingestion\u2014an intellectual voracity. In Greenaway's opus, cannibalism involves the assimilation of painterly, architectural, literary, musical, and sartorial figures, all ruled by \"taste.\" The pleasure of watching this cinema involves sampling and digesting such food and unpacking it for one's own gourmand delight. A taste for Greenaway involves an omnivorous appetite for its intertextuality: it is a dissemination of architectures remade into a traveling body of texts, reinvented in endless _mise en cadre_.\n\n9.6. The museum as an interior (re)collection, from the title page of Olaus Worm's _Museum Wormianum seu Historia rerum rariorum_ , 1655.\n\n### APPETIZING ROOMS\n\nIn Greenaway's films we are taken on appetizing tours through his mental library, where we are made to feel as if we are sitting in the study of Saint Jerome itself, or in extensions of his rooms. One such room is the study presented in his film _Darwin_ (1992), a single set depicted in eighteen _tableaux_ that constructs an actual museum for the cinema. Another of these museographic rooms is the scenography of _Prospero's Books_ , which travels the topoi of library and archive.\n\nFor this film, Greenaway executed twenty-four imaginary books, exquisite objects of graphic design that parallel the film's architectural sets (designed by Jan Roelfs and Ben van Os, who have collaborated on the art direction for all Greenaway's films since 1985). This traveling library becomes the subject of the short film _A Walk through Prospero's Library_ (1992), where it is exhibited as if it were an art installation. It features _A Harsh Book of Geometry_ , \"a thick, brown, leather-covered book\" whose diagrams rise up out of pages that flicker with measuring instruments activated by magnets. There is also _A Book of Universal Cosmography_ , with concentric rings that circle and countercircle; and _The Book of Colours_ , in which \"the colour so strongly evokes a place, an object, a location or a situation that the associated sensory sensation is directly experienced.\" Set next to a garden encyclopedia, _An Atlas Belonging to Orpheus_ appears as an enormous volume \"full of large maps of the travel and usage of music in the classical world [and] of maps of Hell... scorched and charred by Hellfire.\" This geographic volume has a particularly dramatic configuration: \"When the atlas is opened the maps bubble with pitch. Avalanches of hot, loose gravel and molten sand fall out of the book to scorch the library floor.\" If this atlas contains ruined maps, another volume, _Love of Ruins_ , has maps of ruins and plans of archaeological sites: its architectural _vedute_ represent \"an essential volume for the melancholic historian.\" _An Alphabetical Inventory of the Dead_ is funereal in nature, while the macabre _Vesalius's Last Anatomy of Birth_ is \"full of descriptive drawings of the workings of the human body which, when the pages open, move, throb and bleed.\" A Leonardesque dream produces a veritable wet dream in _The Book of Water_ , which is discolored by contact with water and full of animated, agitated explorative drawings of various fluid maps and hydraulic matters, from seas to tears. Also ruined by use is _A Book of Traveller's Tales_ , which illustrates amazing stories of faraway places with bearded women and cities of purple ice. Similar architectural stories are echoed in the city plans and diagrams of _A Memoria Technica Called Architecture and Other Music_ , where facades, perspectives, and architectural models of buildings pop up in the moving shadows of mnemonic techniques; piazzas become crowded; and lights flicker in nocturnal urban landscapes. _A Book of Motion_ \"describes how laughter changes the face... how ideas chase one another in the memory, and where thought goes when it is finished with.\" This book of animated drawings \"drums against its bookcase shelf and, because it is always bursting of its own volition,\" must be bound and held down, for it might go off to court _The Book of Love_ , a \"scented volume\" bound in red and gold, \"with knotted crimson ribbons for page markers.\"\n\n9.7. The book depository, another place of intimate (re)collection, in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement.\n\nExamining the \"installation\" of this library, we realize that in Greenaway's archive we revisit Jerome's architecture constantly and diversely, in depictions that range from Caravaggio to Georges de La Tour. In particular, we inhabit the version of _St. Jerome in his Study_ (c. 1475) that was produced in a Neapolitan art studio, deeply steeped in Dutch painterly culture, by Antonello da Messina (c. 1430\u201379). This study space is the main model for all of Greenaway's libraries, including Prospero's and the book depository in _The Cook_. In each, beautifully composed traveling shots construct the space of intellectual consumption. With the erotic, gastric force of a spider-mind drawing things into her web, ideas are assimilated into one another in a comprehensive mapping fashioned by omnivorous taste.\n\n### EYE-MOUTH\n\nThis itinerary of contaminations begins with the film script, \"a structure,\" in the words of the equally metabolic filmmaker Pier Paolo Pasolini, that is \"morphologically in movement.\" A fellow traveler on the route of incorporative contamination, Pasolini wrote of his own passion for devouring and of the cannibalistic power of film. In the essay \"Res sunt Nomina,\" he noted that the Italian word for movie camera, _macchina da presa_ , suggests film is a machine that captures, enraptures, and devours. The \"kino-eye\" is renamed _occhio-bocca_ , or \"eye-mouth.\" For Pasolini, film is a \"reality eater.\" From the script to the images captured, the cannibalistic delight of inward transformation molds film space and, eventually, digests it with the \"eye-mouth.\"\n\nGreenaway shares with Pasolini this vision, as well as the polemical tone of a ravenous intellectual passion that encompasses diverse creative fields, perhaps heir to some forms of Renaissance expression. Both filmmakers incorporate painterly compositions in filmic reinvention. Both, moreover, work in the specific tradition of Western representation\u2014Enlightenment included\u2014that, despite its ocularcentricism, engaged haptics through touch and taste. Particularly attracted to scatological morsels, they share an obsession for orifices, constantly meditating on the body's points of entry and exit and on the digestive tract. Within this exchange on taste and its tactility, they expose the taste of love-making, and take this liminality as a threshold of scenographic representation.\n\nLingering on the places of intake and outtake, filling the screen with food, sex, and excrement, Greenaway and Pasolini understand the orifice as a passage\u2014a transitional site of dialogue between exterior and interior. Ultimately, the orifice is the place of contact with, and access to, intersubjectivity and the social world. In the face of death, the mouth modifies its habitual intake to leave space for the incorporation of mourning, which in many cultures directly involves gastronomic rituals. In my own culture, for example, there are always restaurants near cemeteries, to properly prepare for the work of mourning. For the survivor who confronts the death of a loved one, death is accompanied by a physiological experience: it affects the stomach's regular cravings until the labor of mourning is done. Physiologically conceived, it is gastrically configured.\n\n### THE PHYSIOLOGY OF DEATH\n\nThe restaurant in _The Cook_ , a site of cadaveric experience, is dominated by a painting about social eating: _The Banquet of the Officers and Sergeants of the St. George Civic Guard Company_ (1616), by Frans Hals. This Dutch painting, composed in the fashion of the \"supper painting\" genre and close in form to Leonardo's _The Last Supper_ (1495\u201397), is set in dialogue with the filmic banquet that takes place in the foreground. As Alois Riegl has shown, Hals's painting, in its public binding of eating and social relations, incorporates an implied spectator. In this way, it functions much like such depictions of the anatomy lesson as Rembrandt's _The Anatomy Lesson of Doctor Nicolaes Tulp_ (1632), which delivers its own haptic construction of an implied public.\n\nThe anatomy of death returns obsessively to Greenaway's screen. The anatomical theater is the epistemic location, for example, of _M Is for Man, Music and Mozart_ (1991), a film set in a remake of a sixteenth-century medical amphitheater. Here, the human body is dissected by the camera, which composes physiognomic portraits in the fashion of Giuseppe Arcimboldo (c. 1530\u201393) and anatomical drawings \u00e0 la Andreas Vesalius (1514\u201364), in which \"bodies are like complicated urban maps of the future.\" The dissected human body is then set in motion, for _m_ is also for \"movement.\" This analytic gesture speaks of cinema's genealogical connection to anatomical panoramas and their performative theatrics. The spectatorial architectonics of the anatomical amphitheater, as we have shown, translates to the movie theater, where cinematic technology generates the film body. The mechanics that emerges from this analytic scene engages the mimetic reproduction of the body, which is at the root of film's genealogy. In Greenaway, it carries the obsessive analytic repetitiveness of Muybridge's locomotion studies\u2014a scene that is obscene.\n\n9.8. _The Anatomical Theatre of Leiden_ , illustrated by Willem Swanenburgh after J. C. Woudanus, 1616.\n\nThe physiology of death haunts Greenaway's representational space as it does the work of many contemporary artists. Like Andres Serrano, Greenaway composes a haptic scene of the morgue in his _Death in the Seine_ (1989). Following the codes of the Western representation of death\u2014in which, as Philippe Aries has shown, cadavers can be exquisite\u2014he extends a cinematic embrace over both cadavers and books. The film examines signs of life found on corpses dragged from the Seine, as noted by two morgue assistants between 1795 and 1801 whose work was reconstructed from records stored in a mortuary archive at the Biblioth\u00e8que Nationale. As historian Vanessa Schwartz shows, at the end of the nineteenth century, the Paris morgue became one of the catalogued curiosities to attend and\u2014as a public spectacle of the real, displayed in flesh and blood\u2014took part in the \"spectacular realities\" that contributed to the birth of the cinema. In Greenaway's film of the morgue, the cinematic touch is a caress that sweeps over the cadavers, which face us, feet to the foreground, once more like the body in Mantegna's _Dead Christ_. Again and again, this repetitive camera movement places us back in the morgue and the archive to explore the skin surface of the dead. Such cinematic caresses trace the story of the corpses as it is written on wounds and in the contents of pockets, on jewels and bandages, scars and haircuts, skin texture, and the fabric of garments.\n\n9.9. The theater of anatomy in a still from _M Is for Man, Music and Mozart_ (Peter Greenaway, 1991).\n\n### METABOLIC ARCHITECTURE\n\nIn this anatomy of pathos, affects are expressed as spatial cravings: fragments of places, like the landscapes of the dead, are the subject of yearning and longing. Here, architectural hunger defines a cinema driven by the delicacies of architecture and represented as a spatial art form \"fashioned\" upon the body. _The Belly of an Architect_ (1986), in particular, renders architecture's metabolic projections as it develops the story of an American architect's fixation on matters of the belly alongside the story of an exhibition in Rome on the architect Etienne-Louis Boull\u00e9e (1728\u201399). In this double articulation, it creates the hyphen that connects the body to built space.\n\nThe mechanics of this link, as Henri Lefebvre has explained it, rests on the fact that bodies produce space and produce themselves in architectural form. Richard Sennett shows that throughout the history of Western architecture, traces of this bond between \"flesh and stone\" have taken different representational forms. According to Anthony Vidler, architecture has moved successively from the assumption that the building _is_ a body to the idea that it embodies states of mind or bodily sensations, toward a conception of the environment at large as itself organic, and, finally, to a sense of the loss of the body and its reappearance in morcelated form. From analogon to metaphor to actual constituent, and in biomorphic disintegration or even dismemberment, the history of architecture has bonded with the house of the body, even if only by way of its repression. In fact, in feminist architectural terms, this architectural body reflects historicity in a gendered domain. For Greenaway, \"architectural anthropomorphism can conceivably be extended to the interior anatomy. Vesalius, the anatomist... said that 'the body is like a palace set in water and kept alive by air.'\" If we think historically about this architectural landscape designed by Greenaway, we are reminded of Athanasius Kircher, the seventeenth-century polymath who dreamt of cinema's light and shadows and for whom architecture was mingled with biology and home economics\u2014the place of production for the gendering of the belly.\n\n9.10. Dome, _domus_ , and belly in _The Belly of an Architect_ (Peter Greenaway, 1986), with remnants of Etienne-Louis Boull\u00e9e's own design. Frame enlargements.\n\nTo further locate a genealogy for the belly of architecture, beyond the direct reference to Boull\u00e9e, one may also turn to Humbert de Superville (1770\u20131849), author of _Essai sur les signes inconditionnels dans l'art_ , published in 1832. In precinematic times, de Superville wrote about aesthetics and corporeality, exploring the presence of the body in art and architecture. Most distinctively, he argued that physiognomy inhabits the architectural field. De Superville's method engages in physiognomy to form a link between bodyscape and cityscape, and especially between face and facade. As its etymology indicates, the face is inscribed in the facade. The terms are connected as signifiers insofar as both are _surfaces_. Rather than simply collapsing body and architecture, de Superville, focusing on an ethics of passion, introduced an element of change: the human face, like the architectural facade, is haptically moved. Rather than a given, the body\u2014in his physiognomic sense\u2014is affected by emotional states, which reflect and create a range of diverse representations on the surface of the skin. For de Superville, this evolution\u2014that is to say, this _emotion_ \u2014and especially the range of calm, joy, and pain, finds an analogue in architectural style as metamorphosis. Palpable signs, engaging textures, color and shape, are mapped on a facade as they are on the face in the form of a haptic communication, read on the surface by those who come into contact with them.\n\nDe Superville's precinematic approach involves the inscription of an observer-inhabitant in the field of passion and architectonics. It makes clear that architectural movements shape, and are shaped by, changing physiological landscapes. As we have seen, film itself was born out of this emotive landscape, with its haptic architectural promenade. In this (e)motional cartography, and in the liminal binding of spectatorship, moving physiognomies and the space of emotions \"take place,\" architecturally, on the surface-screen. Reciprocally, the haptic mapping of film mobilizes the belly of architecture in an emotive interchange, in which affects dialogue with place. As Greenaway ultimately puts it, \"for architecture, write film; for architect, write filmmaker.\"\n\n### GASTRIC CITY\n\n_The Belly of an Architect_ reinforces the representation of the architectural belly as conceived through emotive passion by de Superville. It operates on this terrain, in particular, by absorbing sculpture into the body of architecture and thus demonstrating the physiological passion that links face to facade. Figurative sculpture is a monument to the body, physically close to architecture when this is conceived anthropomorphically. Physiological shapes are the link between architectural, sculptural registers and the design of somatic contours. The film assembles these together in its composition, building a classical symmetry between nudes and unclothed architectonics in observations of both the city and the architect, and in the framing of lovemaking scenes.\n\nThus the belly of the architect Kracklite becomes a sculptural object in the film, particularly in the scenes in which he is at the doctor's office or is identified by the police against an archive of sculptural body parts at the Capitoline Museum. This belly is a partial copy of the sculpture of Augustus, whose mausoleum the architect worships, as well as a fragment of Agnolo Bronzino's portrait of _Andrea Doria as Neptune_ (1556). It is always identified with Boull\u00e9e's passion for the dome. In this geometry of volumes, Greenaway joins sculpture, etching, painting, photography, and architecture, constructing as well an architectural itinerary for the Roman belly that extends from arch to cupola and from Hadrian's Pantheon to EUR's Palazzo della Civilt\u00e0 (1942).\n\nAn understanding of the physiological \"nature\" of this filmic architectural belly depends on one's viewpoint. For David Wills, the belly of the film is conceived _a tergo_ , in the rounded shape of buttocks that stand in for an eye; the story is about digestive disorder, sexual penetration, and an ultimate male craving to return to the womb. Such a reading exposes the fact that, when it comes to the belly, the critical viewpoint tends to incorporate gender difference, as does _The Belly of an Architect_. In fact, there are two bellies in the film: his and hers, which, over the course of the couple's \"Voyage in Italy,\" come progressively apart. Kracklite's belly, first exhibited in the train as it arrives in Italy, happily entering \"the home of the dome, arch, and good food,\" will grow a cancer. Louisa's belly is from a different \"sphere\" and, encountering sexuality in the Italian terrain, ends up containing a child. The gendered shaping of the belly dwells on the opposition between dome and _domus_. This dichotomy, once again, confines her sphere of action to the realm of the _oikos_ \u2014the ultimate fantasy container\u2014and thus locks sexual difference into the architectural domain.\n\nIn working against this binary opposition, it is important to note that the dome can also be a home. Just as the sculptural belly is a figurative home for the dead, so the dome is itself a _domus_. This is how Boull\u00e9e envisioned the spherics of the dome and gave sense to geometrical shapes and volumes. Boull\u00e9e produced well-known paper architecture bound to his theoretical production. His designs, in keeping with his ideas about a museum of architecture, favored public monuments for the dead. As large-scale funerary architectures for the mind, they turned body into building, at the point of the burial, as the very site of mourning itself. The project entitled _Cenotaph for Isaac Newton_ (1784) was one of these memorials and sits center-stage in the exhibition of Boull\u00e9e's work produced by Kracklite in the film. Here, the _Cenotaph_ is reproduced as a cake and is metabolically ingested into the dying belly of the architect. This huge, perfect, melancholic sphere, a funereal planetarium, serves as the model for Greenaway's architectural belly. Following the path of this particular topographical fiction, the belly can be redesigned as the domain of a dome that might house a different type of _domus_.\n\nIn fashioning the remnants of a \"geometry of passion,\" Greenaway (who, in 1985, made _Inside Rooms_ \u201426 _Bathrooms_ ) addresses the plumbing of the architectural belly in all aspects of its technology and design, thereby creating an architectural body that is not an organic whole. Read through Greenaway, idealized body space has a pain, located right in the geometry of the belly and in its specular oppositions. In a modernity that is both heightened and dying, this cinema measures the architectural passion with an anatomy of space that is obsessive, excessive, decomposed, morcelated, and diseased, and with the same gastric perspective _The Cook_ inscribed into the fabric of costumes and the fibers of its customs.\n\n### ROMAN VIEWS AND PICTURE-POSTCARDS\n\nGreenaway suggests that \"every film needs to have a location, a sense of place, whether found or invented, and when found, then usually re-invented.\" In _The Belly of an Architect_ , a sense of place is established in the Vittoriano, the memorial building chosen for the exhibition of Boull\u00e9e. A filmic reinvention of the art of viewing takes place in this monument, known to Romans, in the feminine, as \"the Emmanuella,\" or else, \"the typewriter.\" As the Italian architect Costantino Dardi, the film's consultant, explains: in \"the highest point of the building, we realized a series of... 'machines to read Rome' that enabled one to frame the sites, in the guise of the _camera lucida_ (drawing from Barthes) or of the instrument used by Canaletto to observe the views of Venice.... Greenaway loved this operation, affirming that knowledge means sectioning views, and this applies to cinema.\"\n\nThe same architectural logic used to frame the views from the Vittoriano applied to the techniques of shooting the city. Greenaway and Sacha Vierny, the talented director of photography of most of his films, \"paced and re-paced... to find the exact required emphasis of man and building.\" Afterward, as Greenaway describes it, \"the whole film... was photographed as though the cameraman himself was a classical architect.\" Rome's monumentality offered a degree of resistance to the perfect view, and, in the end, the film appears to contain its urban motion in static shots. City views are framed as in a sequence of frozen picture postcards. This postcard city is not \"a walk through Rome.\" Rather, as Greenaway puts it, the picture postcards \"conduct you, building by building, street by street... each postcard photograph containing in the background a detail of the main view in the next postcard.\" The film takes us on a site-seeing tour of _vedute_ through a representational juxtaposition of city views, filmic views, and touristic postcards. Actual postcards are filmed as Kracklite uses them to write imaginary letters to Boull\u00e9e, creating an intimate, urban diary. Threaded through this emotive landscape, the fragmented vistas of postcards expose the mental map of an architect.\n\n### ARCHITECTURE IS ONLY A MOVIE\n\nIn the architect's view, noted on a postcard, \"the colours of Rome are the colours of human flesh and hair.\" The film's tones cosmetically adjust to the skin tone of Roman facades, sculpting a view of architecture. In this way, Greenaway's film takes a portrait of the architect to represent an architectural position. _The Belly of an Architect_ does for anthropomorphic architecture what _The Fountainhead_ (King Vidor, 1949) did for high modernist design in the film version of Ayn Rand's novel. Inspired by Frank Lloyd Wright, the novel combined architecture and love and was perversely eloquent\u2014more so than the film\u2014on the interplay of woman, seduction, and modernist design.\n\nGreenaway joins architectural and filmic design in a search for a cinematic language that not only features architecture but makes it the fabric of a corresponding filmic architectonics. In this respect, his work parallels the inventive building of space created by Jacques Tati, especially in _Playtime_ (1967), although their views on architecture differ. Tati, who built his filmic city in the fashion of an architect, turned sets into movements. Filmed in 70mm, in deep-focus long shots and long takes, \"Tativille\" was a panoramic commentary on the International Style of modern architecture and left a range of observational movements open to spectatorial wanderings in the frame. Directing with sound more than sight, turning places into one another and everything into an airport, designing clothes and objects alike, Tati ultimately spent his \"playtime\" toying with transparency, building a world between glass and screen.\n\nDespite their different representational positions, Greenaway and Tati converge on one level, for both portray the relation of architecture to the photographic image, suggesting their interplay on the surface of the screen and the perimeter of the frame. In the way it photographs architecture, _The Belly of an Architect_ owes something to Michelangelo Antonioni. This is particularly evident at the end of the film, where, in a citation from Antonioni's _Blow-Up_ (1966), architecture becomes a movie as memory is revealed to be an archive of images. In Antonioni's film, a fashion photographer builds a plot by sequencing pictures, turning photography into cinema. In the same fashion, Kracklite comes to confront a sequence of pictures on the wall in a photographer's studio and realizes how a film narrative was constructed out of his own architectural belly.\n\n### CAMERA MOVEMENTS, MOVEMENTS OF THE ROOM\n\nGreenaway uses camera movement to construct scenography, in traversals that often enable spectators to touch different historicities of architecture. In the restaurant scenes facing the Pantheon in _The Belly of an Architect_ , camera movement conveys the epistemic emotion of an architectural odyssey. This epistemic sentiment becomes a curatorial tactic in _The Cook_ , where the change of room colors orchestrated in motion creates an entire history of architecture. As the director explains in his essay \"Photographing Architecture\":\n\n_Delightfully, you can prefabricate... architectural excitements in cinema.... Architecture built solely for the camera.... In the huge spaces of this extended restaurant, [one sees] a travelling history of architecture. From left to right, the camera on rails moved from the blue Stonehenge exterior to green Piranesi 'Krak des Chevaliers' medievalism to a vulgar Beaux-Arts Baroque to a Modernist bathroom complete with Bauhaus fittings. Only possible at the movies? Not necessarily so. For in any capital city in Europe, walking down the once-ancient and now-modern main street, you may very well observe that chronological change._\n\nThis architectural _capriccio_ built by the cinema corresponds to the practice of living the historical layers of cities as they unravel on the urban pavement. The architectural palimpsest is traversed equally by the city dweller and the camera. This epistemic approach to camera movement takes hold of the _emotion_ of habitation and encompasses, in this idea of habitat, even the clothes that Helen Mirren wears: her attire changes tone with that of the architecture, shifting from green to red to white. With this tourism of architectural sentiments, Greenaway projects us into a moving odyssey of art history and design.\n\nThis approach parallels the epistemic force of the space odyssey, different in form yet just as daring, traveled by Stanley Kubrick, a master of movement. In _The Shining_ (1980), Kubrick exposed pathology with elaborate camera movements in and out of the space of a hotel: through the salons, halls, and kitchen, and in the labyrinth of a maze. He fashioned an epistemic odyssey in _2001: A Space Odyssey_ (1968), a film that makes a movie theater into a traveling vessel. Opening with the boldest historiographic and architectural shift in film history, it turned the dawn of mankind into a spaceship of the future, sending us on this voyage in a single cut. Moving between history and timelessness, Kubrick's film articulates the very experience of space and its navigation as it meditates on vehicles, environments, and decor. Appropriately, the monolith from the film's opening finally reappears in a hotel room, lit up by the luminous floor beneath. As Annette Michelson described it, Kubrick constructed \"'an architecture of movement,'\" offering \"an Idea of a Room... the notion of Idea and Ideality as Dwelling.\"\n\n### H IS FOR HOUSE, M IS FOR MAPPING\n\nArchitectural dwelling is a form of mapping for Greenaway, a filmmaker who is fascinated with cartography, collects maps, and has made some three hundred artworks that engage in charting. Greenaway works with the map's potential for traveling different historic tenses. _A Walk through H_ (1978) is one such labor, in which mapmaking and filmmaking are co-articulated. This film takes an ornithologist through his last journey, guiding him through a succession of landscapes, from city to wilderness, by way of maps. At the beginning of the film, we visit an art gallery where a series of works, produced somewhere between the codes of art and cartography, hangs on the wall. The ninety-two maps were made by Greenaway; the film is their extended exhibition. _A Walk through H_ animates the space of the maps, taking us through the fictive cultural voyage that mapping, like cinema, is capable of condensing in its texture. The map tour returns us back to the gallery at the end of the film.\n\nThe archivist who organized the maps is a recurring fictive character of Greenaway's named Tulse Luper, a man who packs a suitcase with maps of Herculaneum and always represents the filmmaker's double. Learning of the ornithologist's illness, Luper has collated the maps to enable him to take a walk through the country of H. These maps \"were in the ornithologist's possession already\u2014either found, bought or stolen on his travels.... In some cases, the ornithologist, though he had not realized it, had possessed the maps since childhood.\" As he ponders the cartographic journey, the narrator considers that \"perhaps the country only existed in its maps, in which case the traveller created the territory as he walked through it.\"\n\n9.11. A filmic map: narrative paths in Peter Greenaway's _The Duchess of Berry Map_ , 1976\u201378. Mixed media on paper.\n\n9.12. _The Home of the Roadrunner Map_ , from the film _A Walk through H_ (Peter Greenaway, 1978). Frame enlargements.\n\nWe travel through the maps in a cartographic itinerary that outlines the experience of architecture, landscape design, and other surface-spaces as they are used, lived, and traversed. There are maps \"before use\" and \"after use.\" We travel, for example, through the city plan of _The Amsterdam Map_ , which invites the collector to look for a map in everything he possesses. We traverse the interior design of _The Duchess of Berry Map_ , made from a French engraving that shows an inside view and plan of the attic in which the lady was arrested. Here, the filmmaker-mapmaker has marked possible routes in white, creating an itinerary that crawls the walls and attempts a rooftop exit. In _Two Small Cities_ , cartographic conventions are reinvented as they reprise the flattened and figurative medieval representation of towns. Maps are ironically made from every possible material: paper for wrapping X rays becomes a map, as does cloth in _The Laundry Map;_ you can touch the skin of _The Cowshide Map_ and handle the texture of _Sandpaper;_ by way of mapping, even _Thin Cloud over the Airport_ becomes palpable; reading between the lines, \"the geological cracks... of [an] older and more monumental message\" are visible in _Red Correspondence;_ cartographic missives can travel in the used envelope of _The Last Map_.\n\nThe itineraries of the maps, themselves filmic in nature, are further mobilized by camera movement, which explores and articulates their trajectory. Accessing, traversing, and analyzing the space of the cinematic maps as it intercuts documentary footage of birds in their natural habitat with increasing rapidity, _A Walk through H_ allows us to wander in all cardinal directions through, onto, and inside the surface of the maps, with the awareness that \"the time allowance of each map stretches forwards as well as backwards.\" Along the way, the painterly frame gives way to a unified haptic navigation of filmic and cartographic time-space. The film meditates on cartography as a form of epistemic inquiry and inventory, conjoining filmic travel and mapped itineraries with the traveling of the archive.\n\nGreenaway regularly constructs a gallery\u2014an architectonics\u2014of paintings in his films. Here, he delivers a film that, as an art of mapping, offers a museological promenade. _A Walk through H_ delves into that particular archive that constitutes the work of natural history. The itinerary of the film is cartographically built as cinematic flight, modeled on the flight of birds. Flying and an envy of birds has been a central object of Greenaway's artistic and curatorial fascination. In 1997 he curated an exhibition\/installation in Barcelona entitled \"Flying over Water,\" which presented \"encyclopedias\" of water and air. Since no concept of historic water exists, Greenaway bottled water from various urban sites, such as laundromats, and labeled the jars, cataloguing them museographically and placing them in a setting that purported to await the return of Icarus. In 1992 the filmmaker curated a show entitled \"Le Bruit des Nuages\" at the Louvre, selecting from the museum's collection ninety-one works that illustrate the longing for flight. Included in this display was Atlas, who, under the weight of the globe, conceived a different way to escape his earthbound condition. In a veritable flight of fancy, Greenaway created a companion volume of representational flights aptly called _Flying Out of This World._\n\nGreenaway's father was a passionate amateur ornithologist; thus the landscape of flight is an _intimate_ mapping for the filmmaker. This paternal landscape engineers _A Walk through H_ , whose ornithological display is a sentimental museum. Insofar as it is an archaeological-cartographic navigation along a gallery wall, _A Walk through H_ resonates with the cinematics of Gerhard Richter's _Atlas_ (1962-present), which we will address at length in the next chapter. Using different means of representation but the same cartographic slant, Greenaway's sense of mapping is both personal and melancholic. As in Richter's project, the landscape and movement that define the work of mapping expose what is, fundamentally, a work of mourning. Greenaway makes no mystery of the fact that his father had recently \"flown out of this world\"; he had died of stomach cancer before the film was made. The ornithologist had amassed an extraordinary archive of bird-study materials. With his death, this archive stood in peril\u2014as is the archive of any life upon death. Thus the son took on the museographic project of mobilizing this life-work, filmically incorporating the memory of his father's archive in his own gastric attempt to metabolize death. _A Walk through H_ , which is subtitled _The Reincarnation of an Ornithologist_ , tracks the actual archival journey of incorporation, which, as we have seen, defines the labor of mourning. It is quite literally \"a walk through H\" because, as the title of another of Greenaway's films attests, for this director, \"H is for House.\" There, in the belly of architecture, from Hadrian to Boull\u00e9e-Kracklite, the stomach is always quite painfully diseased. Which is yet another way of saying that cartography is never too far from charting the particular terrain that is the land of affects.\n\n### ATMOSPHERIC INSTALLATION: THE CITY AS MOVIE THEATER\n\nTraveling the map as an art exhibit, Greenaway is admittedly \"curious about the possibilities of taking cinema out of cinema... presenting cinema as a three-dimensional exhibition\" in order to question \"what constitutes a vocabulary of cinema.\" One such project of expanded cinema, extending the mode of installation portrayed in _The Belly of an Architect_ , was the 1996 _Cosmology at the Piazza del Popolo: A History of the Piazza from Nero to Fellini Using Light and Sound._ Here, the piazza was animated with the language of film in order to make manifest its urban history, which includes the cinema as part of its fabric. For film is itself a trace of the historical passages that take place \"on location.\" Reflecting on the performative aspect of architecture, Greenaway has asked: \"can you applaud an urban square, a flight of stairs, a statue in the shade of a tree... a city? Is this in fact what we do when we watch a film?\" Recognizing that this joint performance involves social participation, he considered that this condition might also be \"available in the proposition of an exhibition\u2014and isn't cinema an exhibition of sorts, maybe, where the audience moves and not the exhibits? Perhaps we can imagine a cinema where both audience and exhibits move.\"\n\n9.13. The city as movie theater in Greenaway's _The Stairs 2: Projection_ , Munich, 1995. View of one site of the city-wide installation.\n\nThis interplay of cinema, exhibition, and the city was fully articulated in _The Stairs 2: Projection_ , a city-wide installation created in Munich, in 1995, for the one-hundredth anniversary of film's invention. One hundred screens were created in different locations in the city, each representing one of the one hundred years of film history. The sites were marked and connected on the city map, creating an itinerary that could be covered by a passenger-spectator in the course of an evening's stroll. Lighted frames were projected onto the city's own architectonics, their surfaces interacting with the grain and texture of the facades. These filmic screens overlapped with windows and cornices, architectural structures and ornaments, turning building, street pavement, and urban fountain into film screens. Wandering in this scenography, drifting from screen to screen and from palace to palace, the city itself became a giant movie palace, close in shape to the \"atmospherics\" of an open-air theater. In this public-private movie theater for the urban dweller, the city itself became a film archive.\n\nThis was a peculiar archive, for no films were projected at all. The subject of the installation was the pure space of screen projection, in clear avoidance of figurative elements. As Greenaway explains, \"The one hundred projections in Munich are deliberately non-figurative, since this city installation specifically refers to the essential act of light projection which is the basic premise of cinema.\" Although there was no figuration, the work of the filmic text was exposed nonetheless through the display of the cinematic mechanism\u2014its movement\u2014in space. In this sense, Greenaway's installation resonates with Hiroshi Sugimoto's own minimal representation of cinema as architectural projection. As in Sugimoto's photographs of film theaters, cinema is a white-light \"screen-space,\" an archive of screens. In Greenaway's words:\n\n_Cinema is nothing if not a beam of projected light striking a surface with a framed rectangle of brightness.... This, therefore, is to be an installation of screens.... The strong beam of projected light with its moving shadows is to be the predominant image of the screen-space._\n\nTraveling the texture of this filmic palimpsest composed of light, the many stories of the \"naked city,\" as held in each participant's personal archive of filmic memory, were projected onto the naked screen. The screen-space holds these stories, for they are always written and erased in this way: on the white, filmic canvas of light. Visiting this city-turned-cinema gave the passenger-spectator the opportunity to remake the assemblage of the cinematic archive on her own screen.\n\n### VIEW-SENSING\n\nGreenaway's meditations on architecture, cinema, and painting rely on view-sensing. In the film _The Draughtsman's Contract_ (1982), a draughtsman, commissioned to make drawings of a mansion in an English garden in exchange for sex, sets himself up in different locations, using a viewfinder to frame the landscape. Although the practices of topographical survey and garden view are central to the history of the English country house, the film takes liberties in this representational field. Simon Watney has argued that although the film is set in 1694, it is deliberately inaccurate with respect to English society and the practice of landscape gardening of the period, and that its allegories extend to contemporary times.\n\nThe viewfinder in the film is a hybrid instrument, loosely based on the device used by Canaletto and D\u00fcrer and endowed with observational powers of astronomical and astrological proportions. This expanded mode of picturing is to be equated with the viewfinder of the movie camera, for it is even equipped with its grid. The history of these two viewing practices is presented in a conterminous representation of their mode of picturing landscape. Both the execution of the plot and the fact that Greenaway did the drawings himself reinforce the parallel between draftsmanship and filmmaking. As the draughtsman draws, the history of landscape painting and design unfolds filmically. Here, the landscape, composed through the viewfinder, is constructed in a montage of different views. The static composition, with little camera movement allowed, sustains the adherence of film to the painterly frame that viewed the landscape. By means of this joint representation, _The Draughtsman's Contract_ touches on the space of film genealogy, offering a textual manifestation of the archaeology of cinema mapped earlier in this book. The conterminous relation Greenaway establishes cinematically demonstrates, in a viewfinder, that the origin of cinema is representationally linked to the space of the _veduta_ and the act of viewing the landscape, and to all the instrumental accoutrements used to construct this site-seeing.\n\n9.14. Film as art installation: view-sensing in _The Belly of an Architect_. Frame enlargement.\n\nGreenaway, who admits to enjoying the experience of landscape above all, once had the ambition of becoming a landscape painter. He was influenced by the history of landscape design and art and showed interest in \"land art\" in his early experimental films, including _H is for House_ (1971), which features his wife, Carol, and daughter, Hannah. In _The Draughtsman's Contract_ , he pays homage to the Dutch topographic tradition as well as the English passion for landscapes, viewed through the mobilizing device of the Claude glass. He uses \"the ratio of the film frame... 1 to 1.66\" to encompass these views because it is \"the preferred ratio of those books of drawings by Claude Lorrain of artificially realized landscapes.\" Greenaway reworks the English garden just as Alain Resnais had reworked the French formal garden in _Last Year at Marienbad._ As a mode of landscape design, the composition and assemblage resonate with the representation of the picturesque in visual art. In _The Draughtsman's Contract_ , this framed view adjoins the filmic view, produced by a representational apparatus stationed in the landscape and assembled in traversal by way of an imaginative spectatorial peripatetics. A sense of place joins these aesthetics.\n\n9.15. A sense of place: site for view-sensing in Greenaway's city installation _The Stairs 1: The Location_ , Geneva, 1994.\n\nIf cinema, insofar as it is a geography, is about a shifting sense of place, for Greenaway this is specifically related to Western outlooks on architectonics and landscape design. Describing his installation _The Stairs 1: The Location_ , produced in Geneva in 1994, he returns to the _genius loci:_\n\n_I have always been fascinated by the particular excitements aroused by a sense of place, the distinction of a particular_ genius loci. _This is true if the place, space or location is a real one but it is certainly also true if the location has been invented in words, in a painting or in the cinema._\n\nThis sense of place is \"an amalgam not just of geographical placing in architecture or landscape, but of a sense... of history.\" Framing this history of site-seeing, the Geneva exhibition of _The Stairs_ offered the passenger-spectator the opportunity to revisit a _genius loci_. This city-wide installation devoted to location investigated a sense of place by means of an architectural element, constructed in the guise of a viewing device. One hundred wooden staircases, painted white, were built to offer elevated viewing platforms and were placed around the city in alleyways and avenues, on crossroads and bridges, in parks and museums, and surrounding the lake. Participants would take a short journey to the top of the staircase to find a view-finder that enabled them to observe different framings of the city, which were composed, filmically, as medium shots, wide shots, and close-ups. At night, the sites were cinematographically lit to achieve further architectural drama, enhancing each view's specific sense of place.\n\nThe framed views were built to \"question the dogma of the frame, if only, in the first instance, to demonstrate its persistence.\" To exhibit cinema's relation to painting \u2014particularly to view painting\u2014and to provoke a response to the tyranny of the frame, the aspect ratio of the \"shot\" was often changed, and the customary horizontal lines were at times substituted by a diagonal axis. The variety of impertinent frames led to reassessment, fragmentation, expansion, and even explosion of the frame itself. The cutting and cropping of views was designed to engage in dialogue with the design of the city and with the unscripted drama of each urban location. The views noticed, heightened, or elided aspects of the lived city and of the landscaped sites. The variety of viewpoints \"did not neglect the denigrated viewpoint of the tourist, for the tourist seeks the definite view, the economic identifying viewpoint with the maximum amount of sensory gratification.\"\n\nThis project grew out of a specific fascination for stairs, the subject of an unrealized film that eventually became the urban installation. Greenaway chose the staircase as \"a suitable enough metaphor for ascent and descent, rise and fall, growth and aspiration, Heaven and Hell.\" The composition of the installation thus referenced \"stairness\": reflexively elaborating on how stairs function in a city, it offered a narrative of site-seeing to the urban public. In its many configurations, the staircase is a powerful architectural threshold. It links the exterior to the interior of a building and connects different living zones. It can offer a place for loitering and lingering. In European cities, the staircase publicizes the private and privatizes a public architecture: it is often a public place that houses intimate individual and collective histories. In Rome\u2014the paradigmatic city of steps\u2014one finds at Aracoeli that \"the staircase was once frequented by spinsters looking for husbands, and barren married women, climbing the stairs on their knees, hoping to conceive a child.\" Stairs are public monuments on which histories are recorded and inscribed in flesh and stone.\n\nThe urban staircase is a place of exhibitory exchange, a socio-sexual observatory. Because of its relation to architecture and topography, the staircase is, in itself, an observational platform. Greenaway's urban installation enhanced the descriptive function inscribed in the architecture of the stairs and, deploying their narrative potential, generated the activity of re-viewing the city. Staircases that unwind onto courtyards were redoubled as observatories of the history of communal building life. The stairs channeled urban sentiment. As the panoramic view embraced the city, one could capture lovers embracing on the steps. Every place has a story set on a staircase. Painting has made a habit of describing these stories, and cinema itself has known the power of the (Odessa) steps.\n\n_The Stairs_ explicitly acknowledged this cinematic passage. It was made \"in the spirit of sequence that governs the construction of a film,\" with \"its concern to make as many multiple connections between viewpoints as possible.\" Through their frames, the viewing platforms of the staircases delivered imaginary films of multiple locations. \"It was credible that here were one hundred separate hundred-day long films with no film in the camera.\" The city, viewed at the junction of topography and painting, was transformed into a \"picture palace.\" Architecturally produced viewing positions created filmic views in a perambulatory kind of cinema. The audience of this city cinema would move, migrating from site to site, as it does imaginatively in a movie house. To experience such a cinema, one walked the city. On the landscape of view-sensing and site-seeing, where a sense of place was filmically reframed, cinema became a painterly museum of places, to be inhabited and revisited in emotive steps.\n\n### FILM AS ART GALLERY, THE MUSEUM AS CINEMA\n\n> _Creating an encyclopedia is like constructing a great city_.\n> \n> Denis Diderot\n> \n> _Cinematography is the best art gallery_.\n> \n> Ernst Bloch\n\nIn Greenaway's encyclopedic world, as we have shown, filmmaking is a curatorial activity and, reversibly, film viewing is conterminous with view-sensing, architectural living, and gallery-going. In a constant exchange, the city of cinema becomes an art gallery. Although a painterly sense and architectural taste are examined here as generative spaces, to exhaust the art historical references of the films is not the point of this study. Greenaway exposes them in extended interviews, published with long-awaited scholarly commentary on his topics. David Pascoe, in particular, effectively shows how Vermeer drives Greenaway's narrative space and points to other phenomena, different from the pool of visual sources mapped here, including optical mechanisms, voyeurism, artificiality, and structural grids.\n\nHowever one approaches Greenaway's art gallery, it is evident that the attachment to art goes beyond citation. Greenaway does not just quote art or even work with film _as_ art. His engagement with art and film resonates with that of a few artist-filmmakers of his generation, most notably Derek Jarman. But moving beyond Jarman's film art, Greenaway's museum posits a genealogical relationship between art and film, working across their architectonics. Here is a telling example, supporting the generative geography traced earlier across the field of architecture, art, and landscape design:\n\n_Joseph Wright, in keeping with... his reputation as an 'industrial tenebrist'... painted a version of_ The Origin of Painting: _a young woman of Corinth, anxious about the departure of her lover, traces the silhouette of his shadow on a wall as a remembrance of his true likeness. A shadow on the wall. A true likeness. The fixing of shadows. A remembrance. Perhaps there could not be a more suitable iconography to begin the history of cinema as well as the history of painting._\n\nBecause of its narrative component and its theatrics of excess, Greenaway's insistent visual play has been interpreted by Bridget Elliot and Anthony Purdy as a neo-baroque remake of the allegory. This reading can elucidate Greenaway's penchant for the decayed, ripped-apart body\u2014for, in Benjamin's reading of allegory, the body is turned into a corpse of the cultural past so that it can enter the homeland of representation. It also suggests the kind of \"slaughterhouse\" that Greenaway's \"museum\" can represent, especially when associated with Georges Bataille's critical dictionary. The authors frame their allegorical reading, however, on the assumption that Greenaway's filmography consists of two distinct kinds of text: \"museum\" films and theatrical films. Greenaway's research in film and engagement with multiple terrains challenges this assumption, for it is the theatrics of urban life and curatorial display that he makes into cinema, as cinema's own theatrics becomes the object of his museographic exhibition.\n\nThis exchange touches on the panoramic culture of the museum, which constitutes the archaeology of cinema. As Greenaway has noted in reference to his museum exhibitions: \"In intimate fashion... they, the audience, were included in the lighting panorama which was frequently sensitized by their presence.\" This lighting panorama is the actual museographic scenography that translates into cinema's own spectatorial theatrics, set in a house of pictures. What emerges from this landscape is not only film's relation to art-historical stances on representation but an actual cross-pollination of art and film. Establishing a relationship between art exhibition and film reception, Greenaway proposes to \"use a contemplation of the phenomenon of the exhibition to improve the status of cinema.... Cinema as exhibition? Exhibition as cinema? Soon I suspect such a proposition will be commonplace.\" In fact, as we will see in the next chapter, this proposition has become a crucial part of the fabric of contemporary practice in the visual arts. In many generative ways, Greenaway's opus exhibits this interplay between the activities of film-going and museum-going. In this exchange, the place of cinema in the spatiovisual arts is mapped out by way of a convergence of languages and exhibitionary trajectories. Whether inhabiting an installation or visiting film, either in the city square or in the movie house, Greenaway's cosmology has set a hyphen between the cinema, the city, and the museum.\n\nThis configuration is built on the notion of archiving. An art collection is displayed in Greenaway's filmic archive, just as a filmic collection molds the archival structure of the curatorial and exhibitionary work of his urban gallery. As Walter Benjamin put it, the collection\u2014a production of one's intellectual _Carte de Tendre\u2014is an urban memory archive. Joining the physiognomy of objects with that of cities, Benjamin understood collection as an architectonics ruled by tactilism:_\n\n_Collectors are the physiognomists of the world of objects... people with a tactile instinct; their experience teaches them that when they capture a strange city, the smallest antique shop can be a fortress.... How many cities have revealed themselves to me in the marches I undertook in the pursuit of books!_\n\n9.16. Museographic exhibition as cinema: Greenaway's treatment of the art collection of Mariano Fortuny in _Watching Water_ , Venice, 1993. Interior view of the installation.\n\n9.17. Film as art gallery in _The Belly of on Architect_. Frame enlargements.\n\nGreenaway's art gallery is a library that corresponds to this world of collecting. This was exemplified in his exhibition \"The Physical Self,\" assembled from the collection of the Boymans-van Beuningen Museum, in Rotterdam, in 1991\u201392. Objects, collected in the course of intellectual wanderings through the museum and its depository, were treated as extensions of the physical self, in touch with traces of the body. Here, design and art met prosthetics: a seated body, in the flesh, adjoined the touch of a naked glove, a worn shoe, a writing tool, a knife on a table setting, a cut on the painting of Agatha's breasts, the roundness of a vase, a painterly embrace, the wheel of the bicycle, the dial of a phone, the platen of a typewriter, a sequence of Muybridge, and a reel of film\u2014for all, in the end, are experienced on spectatorial chairs. The design objects design us, \"from the car to the cinema, the aircraft to the bathroom, the restaurant to the classroom.\"\n\nIn \"The Physical Self,\" the museum was treated as a kitchen of combinatory ingredients that make up the material of cinema. This kitchen-laboratory was also the setting for _In the Dark_ , Greenaway's contribution to the 1996 London group show \"Spellbound: Art and Film.\" This work of \"exploded cinema,\" as Thomas Elsaesser notes, was based on \"antinomies around removal and unpacking, storage and retrieval.\" Here, the elements of cinema were decomposed and offered to the spectator-gallery goer, who had the opportunity to make his or her own movie out of them, as if preparing a meal. Again, storage and unpacking stand for the metabolic design of the archive of emotion pictures.\n\nIn reconfiguring the museum\/gallery as a cinematic kitchen and making use of numerical play and an ironic, subjective taxonomy that lies beyond the orthodoxy of museum culture, Greenaway's exhibitions\/installations have created some playful encyclopedic archives, in which cataloguing meets collating and cinematic sequencing becomes the organizing principle for reading an exhibition. Here is one description of the way in which Greenaway perceives his accumulation of assemblage\u2014his own _cam\u00e9ra-stylo_ \u2014to work:\n\n_The fountain-pen inside my pocket is a machine that can represent all machinery; it is made of metal and plastic which could be said to represent the whole metallurgy industry from drawing-pins to battleships, and the whole plastic industry from the intra-uterine device to inflatables. It has a clip for attaching it to my inside jacket pocket and thus acknowledges the clothing industry. It is designed to write, thus representing all literature_ , belles lettres _and journalism. It has the name Parker inscribed on its lid, revealing the presence of words, designer-significance, advertising, identity._\n\nWith this associative logic, Greenaway examines the polyvalent status of the art object in both museum and film culture. It is the logic that ruled the filmically lit exhibition \"100 Objects to Represent the World\" (1992), which gathered together objects from the world of art as well as from medical, criminal, and scientific collections. The show was a variation on a shopping list, tactilely conscious of object and property and focused on the inanimate matter that activates the drama of cinema as it traditionally activated that of Western painting. In a cinematic way, Greenaway's project is a memory theater, itself a sort of _mise en cadre_ that utilizes the history of art and the place of architecture in life, including all the life debris that generates from table, bed, coffin, column, staircase, window, wall, and map. A chart, according to Greenaway, \"can tell you where you have been, where you are and where you are going\u2014three tenses in one.\" To this we may add a fourth tense, or, rather, a mood: the subjunctive, which tells you where you might have been or could be or might wish to go. In this subjunctive fashion, body parts join items of clothing and objects of design as modes of inhabiting flesh, travel, writing, film, and music, and thus, in general, \"make room\" for lived space. Inverting the tradition of collections such as those displayed in Mar\u00e8s's Sentimental Museum, Greenaway makes a public collection a cinematic \"unsentimental\" museum.\n\n### THE FABRIC OF FILMIC INSTALLATION\n\nIn creating the fabric of art exhibition, Greenaway met his match in Mariano Fortuny, Jr. (1871\u20131947), whose Venetian palace formed the setting for one of his installations, in 1993. Fortuny, son of the Spanish painter, was a designer and manufacturer of clothes and textiles. He was also a passionate collector, an enthusiast of technological novelties\u2014including electrical and photographic items\u2014and a bibliophile who had a habit of making books of everything: photographs, drawings, texts, postcards, and ephemera. He lived in Venice most of his life, in a restored Gothic palace for which he designed the furniture and lighting. There he kept his textile collection along with all his other acquisitions.\n\nGreenaway's palazzo installation, entitled _Watching Water_ , was an homage to the Venetian lagoon; it treated his beloved topos of water allusively and metonymically, creating it mostly with light. Sited within the topography of the lagoon, the palace represented a central anatomy and, as such, was clothed\u2014dressed for exhibit. As Greenaway put it, \"Palazzo Fortuny can be appreciated as a building of female architecture, and it is our intention to clothe it... front and back, vulva, anus, navel, and the heraldic architectural clitoris above the front door.\" In the Venetian tradition of Carpaccio, the exterior was hung with drapes.\n\nBoth the entrance to the anatomy of the clothed palazzo and the journey that the installation invited the spectator to take were filmic, for according to Greenaway, \"the start of a film is like a gateway, a formal entrance-point.... The start of this exhibition begins with a gateway.\" Once inside the building, one would traverse the rooms of Fortuny's House of Memory\u2014as if he had just left it\u2014and encounter some of Greenaway's own related work, including eight books from Prospero's library. Greenaway chose not to rearrange Fortuny's collections, but to reilluminate the display of artifacts, inventions, books, paintings, clothing, and textiles, animating the objects of the collection with changing light and shadows. This was in keeping with Fortuny's interest in the magic of electricity and his excitement about its transformative power\u2014particularly the translation of light into movement. This, of course, is the actual magic of cinema's historical invention and the current condition of its projection. The journey of the installation, constructed as a filmic trajectory of site-seeing\u2014with shifting light perspectives and varying navigations through frames of exhibition\u2014traversed the material history of the medium of cinema.\n\n9.18. The fabric of art fabrication: the clothed Palazzo Fortuny in Greenaway's _Watching Water_ , Venice, 1993. Exterior view of the installation.\n\n9.19. The fluid architecture of imaging in Greenaway's _Watching Water_ , Venice, 1993. Interior view of the installation.\n\nThe textured journey through Fortuny's House of Memory involved layers of fabric, and it touched on the work of mourning. When his beloved mother died, Fortuny kept her corpse in his studio, wrapping her in fabric he had designed himself. Noting this gesture, Greenaway worked with Fortuny's fabric, showing care for all textures of his design, including the \"text\" of the funerary textile. Meditating on design and arguing that all art\u2014especially portraiture\u2014is about costume design and the history of fashion, Greenaway has stated that \"our fascination with the style with which a body covers its nakedness or indicates its employment or its wealth or its ambition runs very deep.\" Cinema absorbs the artistic heritage of fashion design: \"The cinema employs such a large army of costume designers, fitters, wardrobe mistresses, cosmeticians, wig-makers, that some may feel the cinema should be considered an adjunct of the fashion industry. Some indeed are convinced that the cinema is the fashion industry.\" I, for one, do hold this conviction: in many ways, cinema is textural design.\n\n### FASHIONING SPACE\n\nThe fashioning of space is a predicament of architecture, art, design, and cinema. Fashion itself resides somewhere between a corpus and the architectural ensemble of film. In his fashioning of space, Greenaway plays with the visual codes of apparel, for he is aware of the fact that design designs characters. Cutting-edge haute-couture rebels have contributed to the fabric of his films: Jean-Paul Gaultier, as mentioned, costumed _The Cook_ , while Martin Margiela, his former assistant, designed the fashion world portrayed in _The Pillow Book_. Margiela created a filmic fabric that enables the central character to bedeck herself in the sensuous, amorous, and literary texture of Sei Sh\u014dnagon's tenth-century book of the same title and, eventually, to write her own.\n\nOn one level, the clothes in Greenaway's films serve to create socio-historical textures. Gaultier's clothes in _The Cook_ oscillate between the seventeenth-century Dutch sartorial tradition and contemporary fashion, and they shape, in Nita Rollins's view, the film's critique of late capitalism. But the social component, although essential to any reading of fashion, is not the only level on which fashion performs in the cinema. Just as the relation of architecture to film cannot be limited to the depiction of architecture in film, the interplay of fashion and cinema supersedes a sociology of costume design.\n\nGreenaway's work offers a \"location\" for this expanded sartorial inquiry. His fascination with fashion is articulated through the camera movement in his films, which, reversibly, fashions space by way of attire. Like Wim Wenders in _Notebooks on Cities and Clothes_ (1989), Greenaway plays with the performative nuances of fashion in relation to architecture. Moving beyond mere sartorial cinema, both directors have contributed to the discourse of fashion and film as they interweave the two languages in their making of spatial texture. In this way, their work constructs a relationship between design, film, and architecture: here, the fields of fashion and cinema connect at the level of _factio_ and thus, as acts of making, inform the actual fabrication of space. Let us take a closer look at this architectural fashioning.\n\n### FILM, FASHION, ARCHITECTURE\n\nThinking of fashion in terms of space brings into question the nature of texture, surface, and appearance and, as we have seen, exerts pressure on contemporary architectural theory. Coming to grips with the notion of surface in his book _White Walls, Designer Dresses_ , Mark Wigley argues for modern architecture as an art of clothing. In an elaborate analysis that potentially converges with our view of the haptic, he shows how Gottfried Semper's view of decoration as clothing infiltrated the discourse of Alois Riegl, as well as that of modern architecture. According to Wigley, Semper's understanding of the structural role of surface\u2014the matter that creates modern architecture\u2014brought about a transformation in the very status of surface, which ultimately informed the construction of the white wall. This white wall is neither flat nor naked but is dressed with a modern \"coat\" of paint that \"suited\" then-contemporary reforms in dress design and the new athletics it promoted. The white wall is thus stitched together with the psychosexual economy of fashion. Claiming that modern architecture is about this sartorial surface, Wigley articulates a sensuous play between fashion and built structures, stressing the Semperian claim that \"to wear a building... is to feel its weave.... To occupy it is to wrap yourself in the sensuous surface.\" Wigley teases out the seductive exposure of surface that the white wall bears as a suspended and mobile texture, which is as physiognomic as clothing. In the caress of light, the white wall is sensitive to a psychic play of diverse spatial possibilities.\n\n9.20. Fashioning the self and space in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement.\n\nSimilarly obsessed with the white surface, I cannot help seeing in this modern white wall the white film screen, which itself came to be invented in the shadow of Semper's mid-nineteenth century idea of space: a habitation woven of texture, fabric, and surface. Wigley's modern wall\u2014a skin of light; a mobile, sensuous surface that is \"an active mechanism for reorganizing space\"\u2014corresponds to the translucent physiognomic coat the white film screen wears, making space and making room for us to inhabit. It is this white surface, a site of residual exposure, that Sugimoto revealed in his _Theatres_ and Greenaway exhibited in _The Stairs 2: Projection_ , in which he represented the history of cinema in the guise of a sheer installation of screens, aware of textural surface. Here, in actual _mise en abyme_ , the surface-screen space of modern architecture came to be projected onto the surface of the city as a film.\n\nAs modern site-seeing, cinema partakes of the residual fashioning of space that is written on the white wall. The architectural fashioning of psychogeographic space, that is, extends to the cinema, where it is radically shaped by the way film makes space on the surface. Dressing the wall with new forms of mobile spatiality, film, like fashion and the modernist wall, can be seen as nothing but a screen. Like the white wall, the white filmic screen absorbs many different geopsychic textures and holds all colors within its surface. It is a texture that continues to acquire depth as the geopsychic design passes through it. Film is both the mise-en-sc\u00e8ne and the off-screen space of everyday life dressed up in an architectonics of diverse socio-sexual shapes that become, as in fashion, a haptic landscape of absorption. These inhabited screens all live in the power of the moving form, in the liminality of the ingestion and digestion of images of ourselves, traced on the map of the house wall, the movie house, and the dress we live in.\n\n### TACTILE SURFACES\n\nOn the moving screen of modernity, fashion, city, and film were all theorized together by the Italian Futurists. As Giacomo Balla wrote in 1913, setting out \"The Futurist Manifesto on Men's Clothing\" and announcing an unrealized \"Futurist Manifesto on Women's Clothing\":\n\n_WE MUST INVENT FUTURIST CLOTHES.... They must be simple... to provide constant and novel enjoyment for our bodies. Use material with forceful MUSCULAR colours... and SKELETON tones.... The consequent merry dazzleproduced by our clothes in the noisy streets which we shall have transformed into our FUTURIST architecture will mean that everything will begin to sparkle_.\n\nIn Balla's conception, clothes exist in the realm of architecture, for they participate in the architectonics of city streets. Clothes and architecture are cut from the same cloth and share a specific mobility: they are actions that develop in space as lived emotion. Futurist apparel partakes of modernity precisely because of this dynamic ability to provoke imaginative emotionality. In Futurist terms, fashion is also a way of building a new tactilism. Reinforcing the tone of the manifesto on clothes in a text entitled \"Tactilism\" (1924), F. T. Marinetti wrote of a \"tactile art\" as a \"spiritual communication among human beings through epidermics.\" Linking X-ray vision to the realization that all senses are a modification of touch, he considered this matter \"a harmony of electronic systems.\" In his 1921 \"tactile tables\" (described as \"voyages of hands\"), he listed among the endeavors related to this haptic mode the design of rooms, furniture, clothes, roads, and theaters. And to make clothes even more like rooms, Balla invented _modificanti:_ elements of variable decor to be used, creatively, to change the shape of one's dress by pneumatic application, so that one might invent a new outfit at any time, according to mood.\n\n### ADDRESS TO DRESS: HABITATION, _HABITUS, ABITO_\n\nWhen the scope of surface tactilism is extended, clothes, architecture, interior design, cosmetics, and the moving image appear as conterminous spaces of inhabitation. As the mutable skin of a social body, they are all part of a shared interactive experience. In defining our way of living space, they tailor our own contours. They shape our passage as moving surfaces in space and mark the traces we make along the way, for \"to live is to leave traces.\"\n\nTo further articulate this _habitus_ of living, let us return to Henri Lefebvre, who, commenting on Panofsky's work on architecture, suggested that one might consider the connection of _habitus_ \"as a 'mode of being,' implying a 'power of use and enjoyment'... with _habere_ and _habitare.\"_ Although Lefebvre does not develop this point, the opportunity is there. Considering the inscription of _habitus_ in inhabitation, one might extend his paradigm by adding another element to this equation: fashion. A peculiarity of Italian usage makes this both possible and apparent. If _habitus_ and _habitare_ are semantically bound, _abito_ , which means dress, is an element of their connection, for it comes from the same Latin root. A semiotic bond links sheltering to clothing the body, just as the German _wand_ , which connotes both wall and screen, is connected to _gewand_ , meaning garment or clothing. In Italian, this goes a step further. Not only is _abito_ a dress but, in verbal form, it is the first person of _abitare_ , which means \"to live\" and is used to define one's address.\n\nIt is seductive to think of the reversibility of the terms _address_ and _dress_ \u2014like two sides of a reversible fabric\u2014in an interplay of _habitus_ and _habere_ that incorporates the cinema. For, indeed, _habere_ , as a mode of use and enjoyable appropriation, defines both fashion and architecture as well as film\u2014for they are all about consumption. Once purchased, each continues to be consumed as we \"put\" ourselves into them: we step into a dress, just as we enter a house or a movie house. In fashion as in architecture, one \"suits\" oneself to space. A dress, like a house or a film, is both lived and loved. Clothes exhibit the consumption of living: like the furniture we use, they \"wear\" the marks of life. As _inhabitations_ , they bear our imprints, enabling us to become known permeably and to acquire knowledge through passageways. As socio-sexual surface and skin, dress and address are filters and membranes of our carnal knowledge. House, attire, and the film body inscribe the experiential narrative on their tangible surfaces. They are haptic fashions of habit, habitat, habitation.\n\nExtending these considerations even further, we may say that a dress is eaten up by continual \"wear\" just as architecture is: architectural walls crumble; clothes decompose or deteriorate. This wearing out signals, with the passage of time, our markings in space. In the extreme, fashion is a terminal sign, for when we cease to inhabit a dress it becomes an empty address, a coffin. An empty dress is a specter, bearing in its terminality the same sign\u2014 _terminus_ , the edge of things\u2014that marks the railway hub and the airport, which, as \"terminal\" places, signal boundaries. Upon our passing, our attire is what is left of our bodies. As leftovers, they even smell of our smells. In the architecture of memory and loss, clothes, as our habitat, hold the traces of our passage through the space of life, imprinted as on a white film screen. Ultimately, architecture and apparel join the cinema as mobile archives of imaging.\n\n### IN THE HOUSE OF DESIGN\n\nThe link between _abito, habitus_ , and _habitare_ is predicated on a traveling historicity. Design, architecture, and cinema all combine social history with personal story as they dig foundations into the emotive terrain. Traveling in this emotional texture, fashion, architecture, and film are all subject to trend, for one moves with the mood of one's history. Liminally conveying our affective apparel, clothes come alive in (e)motion. They are physically moved as we are, activated by our persona: hanging still, they make only funerary sense; livened by kinesthetics, they travel with us as envelopes of our history. As emotional fabrications, they are part of our emotive fabric and screen.\n\nIn a way, through a touch of the haptic, a dress may even be understood as a \"translation.\" As H\u00e9l\u00e8ne Cixous described it, recounting a visit to her designer: \"I go to Sonya Rykiel as one goes to a woman, as one goes home... which is to say... with my hands, with my eyes in my hands, with my eyes groping like hands.... I enter the dress as I enter the water which envelops me, and without effacing me, hides me transparently. And here I am, dressed at the closest point to myself. Almost in myself.... The dress does not separate the inside from the outside, it translates.\"\n\nLet us recall that Maya Deren herself wrote of dress in this way, not as a byproduct of the gaze, not as fetish, but as manifestation and metaphor\u2014that is, as a means of transport. In this filmic sense, Maya Deren gave good fashion tips. A number of years and many trends later, her fashion manifesto gives us a valuable lesson on fashion: \"The closer the outward appearance to the inner state of mind, the better dressed.\" Fashion is an interior map in reverse, a trace of the emotional _habitus_ left on the _abito_ in a two-fold projection. A chart in the negative, it is an affect that is projected outward as if onto a screen and, in such a way, written on the skin of the world. In the transport of dress and address, a passage to closeness takes place. This mapping of intimacy is liminally designed on the surface of the address\/dress\u2014on the wall, the skin, and the screen. Nagiko, in the _Pillow Book_ , was aware of this mapping. She actually wore it. Hers was a map of self-fashioning, drawn between \"the flesh and the writing table.\"\n\n9.21. Beno\u00eet-Louis Pr\u00e9vost, _Art of Writing: Position of the Body for Writing, and the Holding of the Pen_ , illustration from Charles Paillason's _L'Art d'\u00e9crire_ , 1763.\n\n_It is 1995. She has given up on the book depository but holds on tight to her_ Pillow Book.\n\n_She has changed her designer, too. She finds Margiela's clothes more suitable than Gaultier's to her effort to suit herself in the mind-set of_ The Pillow Book. _Sei Sh\u014dnagon, who wrote it, combined the delights of literature with those of the flesh and understood that black ink is lacquered hair. She knew about textures, as Margiela's fabrications do. Sei Sh\u014dnagon thought \"the smell of paper was like the scent of the skin of a new lover who just paid a surprise visit out of a rainy garden\"; but she actually preferred a lover on his second visit. A sad thought about Michael occurs. He does not visit her anymore_.\n\n_Perhaps what happened in_ The Cook _had been Gaultier's fault. With all those excessive assemblages, what, if not tragedy, could she have expected? She does not fancy them anymore, despite the witty references of the \"appetitive\" ensembles. Naturally, she had been seduced by those epaulets with knives and by the rows of forks plunged into the bustiers of the waitresses' costumes. A great metonymy and_ , en plus, _a potential tool for revenge. But Michael is dead. Dead, passed, and past. The fork did not help that. Not even plunging it into his corpse_.\n\n_So she is in Hong Kong now, working the runway, having left Kyoto to don those exquisite Margiela outfits for her own pleasure and that of the crowd. She is a fashion model and has her own mode of doing things. Margiela fits her well. His colors and textures, the white label he uses as a signature, the minimal, elegant design even suit the tones, shapes, and mood of the restaurant she now frequents. She can hardly remember that Frans Hals painting in Le Hollandais, although she still favors the light of the kitchen area in that special restaurant. After all, it was not called Le Hollandais for nothing. It had a touch of the Dutch, and that painterly stroke had given her pleasure in the kitchen-bedroom. But she has had to leave all that behind, although she finds herself always in same place. She still practices intimacy in the public space. She still turns a restaurant into a boudoir. She still merges fashion and cuisine. Well, of course, they are both matters of taste_.\n\n9.22. Between the flesh and the writing table: _The Pillow Book_ (Peter Greenaway, 1995). Frame enlargement.\n\n_In the restaurant-bedroom there is talk about her. Not everyone agrees with her way of mixing digestion with an archive of love. Some do not like how she fashions things and even object to her penchant for Margiela, whose unmarked, white strip of a label only speaks to those in the know. They think it snobbish for a_ griffe _not to sign his clothes. Perhaps they were never seduced by a sign under erasure. But a white strip of cloth is all you need. Margiela's label inspires you to write on it, to write your own story. That is becoming important to her now. Textures always were, but texts had only been the province of her lovers. First Michael, the keeper of the book depository, and now a translator. Her father was an author. He used to write on her face with ink. Every year, a face-poem marked her birthday. But he is dead now. Terminally dead_.\n\n_She is seeking to replace him with the best calligrapher-lover in town. Someone who can write on her body as well as her father did. So, turning the amorous script of the_ Letter from an Unknown Woman _into an open call, she remakes_ La Ronde. _In the roundabout of amorous calligraphy, Jerome, the translator, comes along. He is sharp, handsome, and knows many languages. But he has no touch for drawing them. This is a problem. She needs him to do precisely that. Calligraphy, a parent of cartography, is fundamentally a matter of drafting. She who has traveled the map to become her own \"model\" of design knows this through her love of maps; she can appreciate their material language_.\n\n_The_ tact _ics of these writings are dear to those who are attracted to them. Someone named \"Jerome\" should know this matter of study. How could he, of all people, have forgotten the etched inscription of mapping? As she scans her mental library, a screen of writing materializes\u2014as if projected in a film\u2014with white letters of light that adorn the stark walls of her house and the skin of her flesh, like maps. She thinks of Gerard us Mercator, who showed how to hold a pen in his calligraphic manual_ , On the Lettering of Maps _(1549): a hand with a drafting tool glides across the texture of the map, marking place names or designing cartouches. The calligrapher, like the cartographer, relies on this tactile etching, this palpable incision, which returns the delights of its physicality to those who come into contact with it. Ultimately, this haptic surface-writing, pursued in calligraphy, is a cartography_.\n\n_She knows this, intimately, from the bookish air she breathed as a child and, especially, from the pictograms that were etched annually onto her forehead, cheeks, and lips. Now, as an adult, she follows the hand that draws the letters on her body as she would read a map. The haptic path of this map is etched in the navigational route her eyes take, allowing her to internalize its course in her own geography. In this way, the map lets her project her unconscious design onto its own. But that is only possible if one gets really close to the map and if one fancies the calligraphy\u2014that is, appreciates the pictographic design and handles the fabric of the representation with its subtleties of tones, patterns, and shapes: its texture. In the end, she senses, the haptics of maps is a textural fashioning, an impression of the cartographic fiber. It is a play of surfaces that engages the various layers of the design fabric, for the physicaltouch, like her father's writings on the flesh, permits the architexture of an exchange. The geopsychic design between herself and the map is this kind of imaginary game, played on the surface-screen of a design_.\n\n_If for this fashion model the matter of surface is key, her Western lover does not really appear to understand it. And no wonder. Unlike her father, he was neither born with nor trained in pictographic language. He knows nothing of this writing that is itself painting, and even a sort of prefilmic montage. But he is a translator. He knows about transfers. What he does, in essence, is ferry things across. A translator practices transport, that \"ferrying across\" that Diotima of Mantineia claimed love is really about. A lover-translator is a real treat. And he will learn, for he knows already_.\n\n_Someone named Jerome could always turn for help to the calligraphic manuals he has collected in his library. They would remind him that Western alphabets were also decorative arts, drawn and physically labored over\u2014like painting and architecture\u2014on a textured surface. Writing, like drafting, was the kind of hand-work whose \"touch\" was taught. Someone like Beno\u00eet-Louis Pr\u00e9vost, who etched this haptics, provided instruction for it in the_ Art of Writing _(1763), illustrating the \"position of the body for writing, and the holding of the pen.\" The manuals would remind Jerome that the art of calligraphy at one time met up with alchemy and the_ ars combinatoria, _as applied to the art of mapping. If he had read Henry Noel Humphreys's_ The Origin and Progress of the Art of Writing, _it would be clear to him that \"the historian, the mathematician, the astronomer, can do nothing without letters. \" He might notice that it was written in 1853, when the screen surface of cinema was about to be invented. Jerome would then feel less nostalgic about the caress of writing. No need to be literal about the quill pen and the parchment: from the surface of the skin, he could move right to the screen. The white film screen shares the fabric of the wall of light that is Jerome's current writing desk, \"digitally\" joined to the drafting table. A digit, after all, is also a finger_.\n\n_From these lessons, Jerome learns quickly how to write on her flesh. She notes in her diary: \"His writing in so many languages made me a signpost to point East, West, North and South. I had shoes in German, stockings in French, gloves in Hebrew, and a hat with a veil in Italian. He only kept me naked where I was most accustomed to wear clothes. \" She enjoys being turned into a map and is well suited to the design he has drawn for her to wear, which merges objects of clothing and borders of countries on her skin. But why should she rely on someone else to do the picturing for her? She ought to try it herself, for she might enjoy the tender labor of mapping. She starts by writing on herself, but does better at applying the scriptural tools to the skin of her translator-lover. Jerome offers his body up to use like the pages of a book\u2014her book. He is the first chapter_.\n\n_But the happiness is short lived. Jerome fakes suicide to become her Romeo, but ends up dying. Finding herself once more composing a corpse, mourning the loss of a lover\u2014his feet turned the same way as Michael's\u2014she again seeks terrible revenge. But this time, something changes for her. Adopting the fetal position as she bathes in the tub that had held their lovemaking, she manages to interiorize his love and conceive his child. She reaches for_ The Pillow Book _and internalizes from Sei Sh\u014dnagon the sense that she should make her own anatomical \"list of things that make the heart beat faster: love in the afternoon in imitation of history, love before and love after, writing of love and finding it.\"_\n\n_Sei Sh\u014dnagon teaches her that \"writing is an ordinary enough occupation\u2014yet how precious it is. If it did not exist what terrible depressions we should suffer. \" And so she continues to write her opus. She composes the remaining twelve volumes, including a book of silence, on the skin of men, choosing their epidermic texture with care. As a model, she can discern fabric. Jerome had provided a good one. It was so good that his other lover, the male publisher who had also been her father's lover, abducts his corpse and makes a loving book out of him, flaying his skin. The folds of Jerome's skin are turned literally into pages to be unfolded. She offers the publisher her own work of skin-books in order to retrieve this tome of flesh for herself, to keep in the makura, near the folds of her bedding, as befits such a novel pillow book. Jerome, who had been food for thought, might thus continue to nourish her as she nurses his child. In the end, she stores him under a plant, and even it grows_.\n\n_Looking back, she reflects on the fact that Jerome, dressed in her writing, had represented an_ abito _for her scriptural pursuits\u2014a location fabricated as cloth. She had designed a scriptural_ habitus _as if it were a dress to wear, had \"modeled\" a way of writing on him. This had been evident when Jerome first went to the publisher to show him the chapter of her book mapped on his skin: he had been accompanied by the same music that played for her on the modeling runway. Each subsequent writing subject had similarly become a model for her designs. In fashioning a writing of the flesh, designing a language of her own as an amorous habitation, she had not strayed too far from matters of fashion. The textures of fabrics returned obsessively on her screen_.\n\n_As she joined calligraphy and cartography in her own way, she also drew an etymological chart. Jerome had made her sensitive to the mapping of languages, and she had worn his chart like a dress. So she looks up the use of the word: the English_ chart, _like the French_ carte _or Italian_ carta, _comes from the late Latin_ carta, _a derivative of the Greek_ chart\u00e8s. _The term refers to a flexible, supple, adaptable support on which one can write. The map, she reflects, carried with it the support that produced it, and this shaped the language of cartography. It became the world of paper, but, once, it had been about engraving on leather and wood; it involved animal skin, parchment, vellum, and fabric. Her epidermic writing and her lover's skin flayed into a book may turn some spectatorial stomachs. But this abject, erotic subject matter represents nothing more than the generative scene of mapping. Her model of inscription is etched in the very history of cartography: it is the material support of the map. As a model, she senses that this is the same support that fashion makes use of, for identical materials, including the epidermic tissues that once composed maps, are employed in the fabrication of clothes. The fabric is not only produced but exhibited, inhabited, and worn in incredible proximity to skin_. Abito _is a map_.\n\n_To select a dress to wear she had used the same touch she would later apply to choosing a sample of skin to write on, for she knew what would render. The skin had to be just right: not too sweaty, to avoid blotching, but permeable enough to absorb the ink, like the texture of her beloved maps. The kind of cartography she fancied belonged to a permeable, fragile, perishable practice of mapping. She preferred nautical cartography, which had navigated from the oceans to the sea of love of tender mapping. Drawn and painted on vellum, the portolans had been portable maps. Flexible as skin, they could be folded, like the folds of fabric used to make clothes. These maps, like attire, were transient: they were made to travel, not to last. They could handle wear-and-tear and some water. She considered this factor when choosing her skin models for writing. The skin sweats. Sea maps also got wet. Like skin, they eventually deteriorated from environmental exposure. Like our skin and the clothes we wear, the maps ultimately decayed, wore out, and perished_.\n\n_Maps, she concluded, wear the same_ abito _of our habitation. Drawn on fabric, they wear the life of the fiber and the imprint of what Vesalius called the_ humani corporis fabrica. _Once again, excavating the depths of a word provides a key for reading the fashion of her skin-mapping. The English word_ map, _like the Italian_ mappa, _comes from the Latin_ mappa, _which defines a piece of fabric. In her drafting, she had addressed this issue, \"dressing\" the texture of skin. In writing what was a mapping, she had actually been \"modeling.\" This became even clearer when she realized that the inscription would wash off with rain and water. In fact, it was made to be washable. The mapping would wear like a dress, could even be washed out like the cloth of clothes. No wonder_. Mappa _contains another fabric in its etymological texture: it is also a napkin, itself a washable table design. So, there she was again, back in the fabric of table manners, in a fabrication that fashioned\u2014modeled\u2014the writing of her own map_.\n\n10.1. Pictures become an architecture in Gerhard Richter's _Atlas_ (1962-present). Sheet no. 234: _Rooms_ , 1971. 11 sections of drawing and watercolor on paper, mounted in a sketch of a room.\n\n## [**10 Film and Museum Architexture:  \nExcursus with Gerhard Richter's _Atlas_**](04_Contents.xhtml#s17)\n\n> _Pictures will become an environment, an architecture_.\n> \n> Gerhard Richter\n> \n> _Moving pictures can still do what they were invented to do a hundred years ago. Move_.\n> \n> Phil Winter, in Wim Wenders's _Lisbon Story_\n\nIn the folds of space fashioned by Peter Greenaway between the flesh and the drafting table we have seen an architexture emerge from the interchange between the visual arts and film, and we have observed an archive of emotion pictures built between the cinema and the museum. To sense the texture of this geopsychic cultural design, we move on to inhabit this habitat, closing in on that field screen of projections that occurs between the map, the wall, and the screen. In doing so, our aim is to foreground the architecture of (re)collection that binds the itinerary of the cinema to that of the museum. Building our own archive of moving pictures, we approach the cinema as a kind of unstable museum as, conversely, we take the museum's narrative, cinematic promenade. These archival connections and shared functions are further explored in current museographic practices that link art and film in renewed convergence and hybrid forms.\n\nTo approach the particular fashioning of space that constitutes a shifting architexture of recollection, we will travel with Gerhard Richter's _Atlas_ in hand. This excursus has no pretense of providing a competent art-historical reading of this opus. It simply proposes to take a cinematic walk through one incarnation of _Atlas_. We focus more on the intimate geography of the later pictures in this ongoing work than on the earlier historical and reportage elements. By traversing an installation of Richter's later _Atlas_ with a strictly filmic point of view, we may come to grasp the space of _amotion_ that binds us to the moving image and feel its mnemonic flux. Let us open this atlas, which, in its own way, is a _Carte de Tendre_ , a tender map. Its geography of \"inhabitants and vessels,\" built on the threshold of photography, may unfold a map of _kinema_ for us.\n\n### A WALL _ATLAS_ , AN ALBUM OF PICTURES\n\nGerhard Richter's _Atlas_ is an ongoing work consisting of photographs, collages, and sketches. The project began in 1962, when the artist started assembling a variety of images (including snapshots, newspaper clippings, and press photos) that he had been collecting over time, sometimes as sources for his painterly work, and mounting them onto panels. He then began to make this intimate process public through exhibition. In its 1998 incarnation, the work comprised some five thousand images assembled on more than 630 panels. Richter once suggested that he had a \"dream\" in mind for his artistic enterprise: \"that the pictures will become an environment or become an architecture.\" _Atlas_ realizes this dream, even beyond the limits of still photography and the painterly frame, for in this atlas, pictures dissolve into an architecture as they are sited in exhibition and experienced through time and space.\n\n10.2. A wall of pictures to travel through: view of Richter's _Atlas_ at the Dia Center for the Arts, New York, 1995\u201396.\n\nIn _Atlas_ a \"wall of pictures\" is presented to us literally. Landscapes, vistas of paint, city plans, touristic snapshots, urban views, images of train travel, peopled places, bodyscapes, objects, and interiors populate the walls of the room, creating an overwhelming architectural effect. Inside this architecture of images, viewing becomes a topographical affair, for the installation asks the spectator to sense a place, to be both in site and inside. As we are called upon to inhabit these walls of pictures, _Atlas_ produces a cumulative effect. Drawn ever more deeply into the architecture of the space created by the picture-walls, we access the layers of a map.\n\nTraveling through the strata of Richter's _Atlas_ is an experience that produces a _moving_ effect. In this architecture of sequenced pictures, a haptic narrative evolves as the spectator traverses the images, makes them her own, and creates a personal atlas along the way. In this respect, _Atlas_ displays the building of narrative space itself. To enter the exhibition is to enter a geography\u2014the makings of a filmic-architectural dream whose mapping is made available to us through the very design of the installation. Here, as the photographic image becomes an architecture and pictures turn into an environment, the ensemble creates further space. The assembled images make room for us to inhabit just as architecture does, creating a space for living\u2014an intersubjective site of transfer for stories of the flesh.\n\n### AN ARCHIVE OF INTIMATE SPACE\n\nThe installation makes pictures into architecture because, like architecture, it inhabits the everyday: _Atlas_ , made by an artist who speaks of \"the daily practice\" of art making, is a map of quotidian space. The majority of the later pictures exhibited in the show even look like everyone's pictures and, in this sense, portray everyone's story. These images, offered for our assimilation, share with the work's historical photo-portraits (which form a part of its earlier portions) a process of incorporation that engages common habits, including our way of internalizing such life events as death.\n\nIn one way, as art historian Benjamin Buchloh shows in a segment of his extensive reflections on Richter's production, _Atlas_ refers to and involves the work of mourning. Buchloh's demonstration of how the fictitious pantheon of historical figures of the early _Atlas_ (a study for Richter's _48 Portraits of Famous Men_ ) includes a work of mourning may be extended to, and tested against, the collection of the later _Atlas_ , which conveys a different sense of mourning by virtue of its very different shape. This shape corresponds to a different notion of the archive as well. The configuration of the later _Atlas_ eschews the categorical inventory of the normative photo archive, whose disciplining method has been exposed by Allan Sekula. This archival form had been present in the historical portions of the _Atlas_ but, as Buchloh convincingly argues, the sort of mourning for the past such an archive implies was overturned here by an unconscious reworking that dismantles the monumentality and credibility of the historical pantheon itself.\n\nThe work of mourning exhibited in the later _Atlas_ , made into a spectatorial journey, departs even further from this type of archival mourning, for it engages a different \"fabric\" of grieving and comes closer to expressing the representation of memory that was incipient even in the historical _Atlas_. According to Gertrud Koch, Richter's way of collating, which resulted in the fictitious \"museum\" of _Atlas_ , achieves an actual decomposition of history, for it blurs reference to a specific time and space. Such a process of blurring (very dear to this artist, in general) parallels the haziness of our memory. The play of distance and proximity in the later _Atlas_ engages with this particular process of haziness as the archive makes manifest the emotional process deployed in daily geography.\n\nAlong mnemonic lines, Richter's daily pictures also suggest the kind of mourning and melancholia that was mobilized in some historical instances of the \"sentimental journey\": the kind mapped in, and around, the _Carte de Tendre_. In particular, _Atlas_ provides a modified version of the melancholic chronicle enacted in environments such as Mar\u00e8s's Sentimental Museum, for it is a site of collection of moving images propelled into spectatorial existence by the motion of emotion. Here, as in the Museu Mar\u00e8s, the visitor is confronted with a spectacle of images whose force lies not their aesthetic value but in their emotional power. Taken singularly, most of the pictures, unclassified and unclassifiable, are apparently banal, routine, and disposable. These pictures are snapshots\u2014intimate souvenirs.\n\nAs in some forms of sentimental collection, the pictures are transformed into narratives by way of emotive mobilization. The chart of this narrative movement\u2014an atlas of one's private geography\u2014reinvents a specific type of sentimental voyage: the voyage through one's \"own room.\" This form of travel, as we may recall, was launched in Xavier de Maistre's late eighteenth-century _Voyage around My Room_ , in which the author travels the perimeter of his house as a way of negotiating his interior. Here, the architectonics of the house, which incorporates a range of design and fashion elements, becomes a narrative that is transformed into fictional autobiography. De Maistre moves from the folds of his traveling coat, to which he devotes a whole chapter, to his writing table; from the armchair to the bed; from the prints and paintings displayed on his walls to the mirrors adorning them. He then proceeds to the books of his library, of which he notes: \" _Cook's_ voyages, and the observations of his traveling companions, doctors _Banks_ and _Solander_ , are nothing compared to my adventures in this single region.\" The voyage encompasses a great deal more than the perimeter of his room, for the narrative of the room moves, both literally and metaphorically, in all directions and \"follow[s] every line possible in geometry.\"\n\nLike de Maistre, Richter becomes a traveler of the interior in the later _Atlas_. But he travels it in a different way, exploding the geometry of that earlier room, which had contained, in all senses, the borders of a nonetheless \"roomy\" voyage. Richter reinvents the architecture of an inner geography by allowing it to seep out of the shape of a touristic snapshot, where place is made into space. The act of photographic appropriation and the practice of assimilative display transform place into personal space. The same is true for the portraits exhibited and incorporated: in _Atlas_ , people are sites.\n\nRichter's _Atlas_ goes beyond the limits of the sentimental collection as well, and differs from most remakes of the sentimental museum that have reemerged in contemporary art. Here the objects of the collection are spatial subjects\u2014pictures turned into architecture. Furthermore, while it shares with other contemporary archival projects a propensity for narrative, deployed in the sequencing of pictures, this _Atlas_ is distinguished from most of these endeavors through its lack of attachment to a fetishism of the object or the process of cataloguing. In this mnemonic archive we find neither a drive to monumentalize nor an obsession to control through taxonomic ordering. Richter's later _Atlas_ even resists classification as an archival work in the strict sense of the term. Its random pictures have not been selected, organized, or categorized according to a logic of enclosure; the material is not forced into fixed schemes of memorization; nor is it conducive to preservation or driven to exhaustion. This is not a collection striving to exhaust its own subject. By the same token, _Atlas_ is not an encyclopedia. It does not wish to be all-encompassing. It gives no definite form to the knowledge it presents. These are fragments set in motion in an orderly fashion but with no systematic or systematizing logic. The work is boundless, and yet bound. New images are constantly incorporated; and they can change the form\u2014the territory\u2014of the ever-growing atlas.\n\n### _CARTE DE TENDRE_ IN E _MOTION_\n\nThis type of (re)collection\u2014an atlas of memory\u2014is as borderless as a _Carte de Tendre_. Its emotional mapping moves in the fashion of Scud\u00e9ry's own architectural archive: as in a _Carte de Tendre_ , exploration reversibly incorporates exterior landscape as an interior. In _Atlas_ , landscapes of light take us across skies and ocean, fog and snow, sunsets and clouds, icebergs and flowers, lakes and rivers, mountains and plains, grassy fields and trees, waterfalls and gardens, houses and cities, terraces and rooms. These views are never static, for they appear to be \"tracked\" by the railway travel Richter at times records in his archive. They exist as if seen from a train traversing their landscapes, like views from a framed, moving window.\n\nThe logic of this topophilic picturing is \"moving\" also because it does not produce hierarchies or distinguish between categories; it rather interfaces the views. In many ways, a landscape, a building, a canvas here equal a candle, a vase, or a skull. A bottle on a table resonates with a skyscraper in a landscape. An apple on a window seat exudes colors in the way Richter's paintings do. Landscape, building, canvas, picture all equal themselves, for, ultimately, they are all equal to an architecture of love. In _Atlas_ , all bodies of work are tenderly exposed in their intimate structure and interconnected. Richter's own artistic process is also exhibited this way. Its painterly, photographic, and architectural fabric is laid bare next to, and with, the naked bodies of his loved ones.\n\nCities feature large in the topophilic _Atlas_ , becoming cityscapes when mapped in Richter's aerial perspectives. But, here, the city plan is taken inside a room: the urban, bird's-eye view appears to be drawn as part of an interior and is positioned in the place of a wall in the room. Substituting in this way for a window-wall, the map turns into an interior panorama. The same process of architectural drafting is applied to landscape and to the landscape of Richter's own work. Sunsets, clouds, oceans, and textured images of paint are paradigmatically inserted, drafted, and grafted in the place of the window-wall, sometimes sequenced in multiple imaging. Any of these pictures may take the place of the map-panorama, and thus in the architectural drawings of _Atlas_ , the map-wall-window becomes a screen. A filmic screen. In Richter's architexture, the fabric of the screen shows. And so the house turns into the movie house.\n\n10.3. An archive of emotion pictures in Richter's _Atlas_. Above, sheet no. 394: _Betty Richter_ , 1978. 3 color photographs, partly painted over and pasted up, individually mounted. Below, sheet no. 397: _Candles_ , 1983. 3 color photographs, 1 collage, partly pasted up, with small sketches, individually mounted.\n\n10.4. A sea of tangible images in Richter's _Atlas_. Sheet no. 184: _Seascapes_ , 1969. 9 collages, each from 2 color photographs individually mounted with adhesive tape.\n\n10.5. In the liminal architecture of Richter's _Atlas_ , the wall is a screen. Sheet no. 222: _Rooms_ , 1970. 5 color photographs, mounted in perspective in sketches of rooms.\n\n10.6. Making room in Richter's _Atlas_. Sheet no. 227: _Rooms_ , 1970. 4 color photographs, mounted in sketches of rooms.\n\n### AN _ATLAS_ OF BIO-HISTORY\n\nGerhard Richter's _Atlas_ tells the history of private life in an architectural way, making this history an art of mapping: the labor of mourning begets a shifting architectonics of lived space. Here, cadres are _cadres de vie._ In this respect, Richter's project realizes the dream of mapping that remained only a dream for Walter Benjamin: that dream in which pictures, turning into an architecture, could resolve a work of micro-historical mourning. We recall how Benjamin longed for quite some time to make this map of bio-history, \"setting out the sphere of life\u2014 _bios_ \u2014graphically on a map.\" As it turns the chronicle of _bios_ into a map, _Atlas_ reads like a diary. Like a journal, architecture shows how one maps oneself. A diary, after all, is a private architecture and an intimate plan. A journal is a room of one's own. _Atlas_ , like a filmic journal, enables this subjective space to become visible. Through such exposure, it makes it possible for us not only to inhabit this narrative space but to take part in it. Like a film, this _Atlas_ manages to make a very personal architecture into an intersubjective matter that can be shared.\n\nRichter's later _Atlas_ even turns history into such a story, for it is a chronology of quotidian architecture\u2014a microhistory of site\u2014where sequencing is as important as architectural picturing and airy rooms. To walk around _Atlas_ is to perambulate an architecture of the interior, deployed in an emotional itinerary that unfolds \"filmically\" as everyone's possession. Depicting places visited and sites inhabited, the snapshot photos, which possess an everyday, touristic quality, expose with the ritual precision of habit the architecture of nothingness. They are not only banal but even bad pictures, leftover moments of non-action, still life turned into _emotion_. This is a communal archive where places and faces are (re)collected in memory, conjoined for assimilation, and displayed for the viewer to author-ize: to appropriate for her own mnemonic journey of overcoming death and negotiating life.\n\nWalking through Richter's _Atlas_ affords the rare chance to walk through someone's mind. As we enter this mental landscape we experience an actual topography\u2014an intimate geography as it \"takes place\" and becomes mapped. The exposure of the pictures ranges widely. Intellectual, emotional, and artistic processes are combined in atlas form and handed out to us. Pictures touched, framed, reworked in order to be repainted. Landscapes re-viewed. A table stained. Moments suspended. Rooms opened to the sky. Drawings of a room. Drafted spaces. Architectures that come into place. People pictured in order that they may continue to be loved. With such \"exposure\" comes a binding. We not only travel in intimate geography but travel as if we could be held in a person's mind. _Atlas_ holds us in that particular place and carries us right into the space of emotion pictures. In this journey of emotions we revisit the corporeal architecture of things. Bodies in space. Still lifes. Faces. Breasts. Shoulders. Children. Their landscapes also turn into our landscapes. A moving house of pictures. Cityscapes, interiors, trains tracking. Amorous journeys of a moving _Carte de Tendre_. Images framed, then reframed, retouched, blurred, set in motion. Gertrude Stein's \"geography of inhabitants and vessels\" sails off into a liminal place of \"transport.\"\n\nIn this landscape, architecturally drawn, Richter's touch is still palpable. Architexture reveals itself as the textural fabric of the artist's own labor. In _Atlas_ , we can touch the work of picturing as much as the work of mourning, for the artist lets us feel the very making of their architextures. Sometimes the architecture of the image is haptically changed. A piece of tape applied to a snapshot offers a new perspective. Pencil marks lovingly contour a facial landscape. The images, reframed by the tape, reshaped by a stain, or redefined by a scratch, end up changing in front of us, take on a different geometry. They turn into a place of picturing\u2014a lived space. This intervention into the frame, transforming cadre into _cadre de vie_ , tells a series of stories. Among them, there may even be a film. Even our own movie.\n\n### INSTALLATION AND FILM EXHIBITION\n\n_Atlas_ \u2014a picture album mounted on walls\u2014is a geographic book that bespeaks the architectonics of the moving image in both its generative and exhibitionary processes. Retracing our steps to consider the form of Richter's reassemblage and look at its pattern up close makes this even more apparent. A picture book\u2014a lived atlas\u2014is exhibited for a spectator in the moving work of pictures that unfolds in a perambulating act of editing. The installation displays several series of images, organized in a sequence; the sequence of photographic sheets is grouped on a panel, and a series of panels is assembled together. Each picture is generally only slightly different than the next one in the series. The montage accentuates visual similarity as well as distinction. The nature of the images, as well as their positioning and architecture, suggests the seriality of the mechanically reproduced image.\n\nAt a photographic exhibition, one is generally impelled to establish relations among the pictures and to consider them as a developing (dis)continuum. Because one moves along a space when reading pictures, a photo installation may contain a cinematics: a spectacle of display enacting kinetic and spatial-corporeal affairs. In Richter's _Atlas_ , this process is pushed to the limit, both authorially and spectatorially, as it drives the construction of the show. While it reveals the photographic bent of Richter's work as a painter, the exhibition fundamentally questions still photography and pushes the boundaries of the medium. By presenting an overwhelmingly cumulative \"series,\" _Atlas_ ultimately asks us to reflect on still photography's relationship to the moving image. Photography, investigated here, is transformed on the grounds of the cinematics exposed.\n\nThe serialization and _mise en sequence_ of images drive the space of still photography into that of motion pictures. Here, the pictures cannot exist as individual images to be read singularly; they are unreadable as anything other than serial montage. The sequential form of picturing reveals a cinematic process, a film-in-progress laid bare on the wall. In this _Atlas_ , as in film, a story resides in the architectural montage of pictures\u2014a narrative space that is exposed in order to be retraversed. Furthermore, the juxtaposition of the countless, slightly different pictures makes them function as filmic shots or, at times, even as filmic frames. After all, film, at its base level, is a series of still images, printed one after the next on a strip of celluloid. As in the panels of Richter's _Atlas_ , in film each image is normally only slightly different from the one that precedes and follows it. It is this slight diffraction that makes possible the illusion of movement as the serial frames are projected at a given speed. In this way\u2014that is, by way of difference\u2014photography turns into cinema. Positioning us in the space of this diffraction, Richter's _Atlas_ locates us within the very historical transformation that, at the turn of the last century, turned photography into film. We are right there, where the frame came into motion, where the picture came into _emotion_.\n\nIn watching this process take place we also experience the materiality of cinema\u2014the texture of the film strip. Richter takes us on a genealogical site-seeing tour: he has us watch an assemblage of (film) stills mounted on the wall so that, as spectators, we may remake the variously outlined dimensions of the filmic journey ourselves. The effect of the exhibition is to convey a physicality of image display. In this sense, the experience is not dissimilar to the physical display Dusan Makavejev imagined for his feature _Sweet Movie_ (1974), which Peter Kubelka actually carried out in the late 1950s, though in a different way. This avant-garde filmmaker, who engaged very closely with the filmic frame, used to exhibit his works of framing by making literal installations of his films in art galleries and museums. Kubelka would pin the film strip to an inside wall and unravel the celluloid thread across a window or drape it around a room. Wrapped around space this way, film shows its connection to both architectural and photographic frames. The viewer can read this bond, experiencing the work frame by frame, shot by shot, in the same elliptical way the film editor\u2014herself a seamstress\u2014labors over the celluloid, fabricating the filmic assemblage with cuts and seams.\n\nFrom the viewpoint of cinematics, the construction of _Atlas_ can also be related to the way the French filmmaker Chris Marker constructed his film _La Jet\u00e9e_ ( _The Jetty_ , 1964). Marker made this film years before producing his archival project _Silent Movie_ (1994\u201395), which remakes film history in a multiple-video installation. _La Jet\u00e9e_ was a work of memory that was produced almost completely of still photographs. Almost. For it was the apparent stillness of the pictures that created an emotion. And, at some point, something actually did move, for a second: eyelids moved, imperceptibly. We similarly sense the _emotion_ in Richter's moving installation of still pictures, which both contains and offers that particular affect of (im)mobility: the suspended emotion. Richter's _Atlas_ is a map that comes to move. To emove.\n\nThis peculiar atlas-album of lived landscape develops, as architecture and film do, as we inhabit space, in architectural itineraries that track the sequence of living pictures. In connecting the series mounted on panels and constructing a film of them, the moving observer of _Atlas_ , like a film spectator, reads emotion pictures in motion on the wall. Pictures become an architecture; architecture becomes a film. In the cumulative effect of _Atlas_ , a moving cartography progressively builds out of this architectural-filmic (e)motion. In this sense, Richter's installation of _Atlas_ is more than an architectural journey that reveals a filmic itinerary. It actually designs the chart of film's relation to architecture. As this _Atlas_ confirms, cinema is indeed our kind of atlas\u2014a mapping out that is architecturally displayed on the wall, etched on the screen. It is a mapping of _emotion_ , suspended on the threshold of the wall and the screen in a transport that embraces us.\n\n### AN _ATLAS_ OF EMOTION PICTURES\n\nIn naming his work _Atlas_ , Gerhard Richter identified it as a cartography. The casual gallery goer, however, may question the name of the exhibition. It may not be immediately apparent how this peculiar work is at all an atlas. It is not even strictly a map-driven work. But _Atlas_ is, indeed, a work of mapping, an \"atlas\" in the full meaning of the form. As we consider it at this point in our exploration, Richter's installation can be fully understood as an expression of that diverse practice of knowledge we have traced and historically considered as taking shape in the form of the atlas. It embodies such historical geography, a form of thinking that, as we have shown, used both the name and form of \"atlas\" to mold a vast field of experiential knowledge\u2014ranging from geography all the way to anatomy and reaching out to embrace an anatomy of sentiments. Richter's _Atlas_ , in fact, \"takes place\" within the realm of mapping this book has foregrounded primarily, for in its formidable scope and presentation it charts that particularly difficult terrain we have called a subtle geography, a tender mapping. _Atlas_ lets us touch, traverse, and be held in the geography of affects and intimate space, fostering a form of mapping that exhibits, within the layers of its architexture, the labor of memory.\n\nIn this respect, we must call forth one specific shape and function the \"atlas\" assumed in the history of art. In the special space an \"atlas\" such as Richter's inhabits, one finds precedence in the important work of the art and cultural historian Aby Warburg (1866\u20131929). Warburg, most notably, developed a theory of social memory. As Carlo Ginzburg has shown, the particularity of Warburg's iconology resided in its sensitivity to the symptoms of the changing emotional orientations of society. In his work, Warburg used a heterogeneous form of documentation to articulate different societal voices, often stressing the word \"life.\" He went in search of \"pathos formulas.\" In this way, his work strove to become a testimonial to the relationship between states of mind and corporeal expression, for this, he claimed, is the matter that physically turns into images and underlies their cultural transferal. For Warburg, images do, indeed, travel. They move, culturally, in relation to social sensibilities, especially in the embodied form of gestural expression.\n\nFor his final project, Warburg set out to image an actual place for \"the archive of memory\" he had worked with in critical form throughout his life. He produced the unfinished _Mnemosyne_ , a work of mnemonic imagination that, significantly, he called an _Atlas_. This, too, was a peculiar atlas. It was actually an album\u2014or, rather, an atlas that took the form of an album. Its intention was to trace and then map in visual form a genealogy of the types of socio-historical memory that make up Western culture. The album was composed of diverse screens of pictures that ranged in subject from art to science to the everyday. Warburg's \"atlas\" was a geographic history of visual expression, analytically and materially constructed as tables that mapped its persistence and various movements. Photographs and series of art reproductions accompanied pictures of daily life, including those that were technologically produced for mass consumption, such as travel images. These were assembled together on sheets to show, as Warburg himself put it, that the enduring \"images of the Mnemosyne atlas are... the representation of life in motion.\" In his introduction to the _Mnemosyne Atlas_ , Warburg insisted on this idea, affirming that \"the atlas, in its material base of images, wants, first of all, to be an inventory of the classic configurations that inform the stylistic development of the representation of life in motion.\" Paying particular attention to \"the engrams of affective experience\" and \"including the entire range of vital kinetic manifestations,\" he pictured on panels \"the dynamics of exchange of expressive values in relation to the techniques of their means of transport.\" This included the design of a room, the physical movement of a person, and the flow of a dress. Concluding that \"the figurative language of gestures... compels one to relive the experience of human emotion,\" he mapped \"the movement of life\" with his \"pathos formulas\" in atlas form.\n\nRichter's _Atlas_ is a version of the cultural mapping of (e)motions that, as we have seen, has taken many cartographic forms throughout history, including that of Warburg's _Mnemosyne Atlas_. Like that work, Richter's project is also an atlas-album. It is made up of photographs, collages, and sketches and is mobilized by the consistent presence of travel images, all organized into panels. Substantial historical changes have taken place with regard to the nature, methodologies, and techniques of the representational mnemonic archive, and the supporting foundation used to build and hold together Warburg's _Mnemosyne Atlas_ cannot now be sustained in the same way. Richter's _Atlas_ thus invents another form of atlas-album, offering with it not only new engrams but a new screen for (re)collection and a different vessel for affective imaging. Nevertheless, with enduring fragility, the images of Richter's own mnemosyne _Atlas_ take hold of a matter that is none other than \"the representation of life in motion.\" _Atlas_ enables us to experience the very assemblage of _kinema_ , to inhabit the filmic _emotion_ \u2014to take hold, that is, of the representation of the movement of life, with life in motion. Moving through this fascinating artwork\u2014traveling with this atlas\u2014we are transported into the very haptic space of (re)collection, where the filmic-architectural bond is pictured and figured as a map.\n\n### FILM ITINERARIES AND MUSEUM WALKS\n\nNavigating the installation of Richter's _Atlas_ , we have come to foreground the interaction between film's imaginative route and the museum walk and, recognizing a reversible process at work, to link their (e)motion along the experiential path that includes acts of memory and the labor of mourning. This discourse could be extended even further. Considerations of exhibition are the focus of a current reconfiguration of art history and curatorship as well as art production. Among the many artists who have worked in this area is Christian Boltanski, who has created his own fascinating field of (re)collection in works of mourning related to Jewish history. This oeuvre includes ventures into cinematic territory and is even rooted in film, for Boltanski had his first public exhibition in a Parisian movie theater in 1968 and made experimental films between 1968 and 1976. He also has incorporated film into the \"fabric\" of a recent set-design installation. Creating an artwork that dialogues with Schubert's _Die Winterreise_ , Boltanski portrayed absence, as he recurrently does, by mobilizing a set made of the fabric of clothes no longer inhabited, bound to a network of dim lighting. The unoccupied apparel was set against a panoramic film of moving landscapes, seen from a train, with tracking shots that resonate with those of Claude Lanzmann's _Shoah_ (1985) projected onto the textured wall of the stage.\n\nIn its many compelling forms, exhibition has become a locus of serious practice as well as a site for the study of the design politics of artistic space. The resonance between art and architecture is a particularly compelling issue in the reconfiguration of exhibition, which might include the work of film. Film theory, however, despite its interest in exhibition, has yet to engage fully with this discourse. This remains the case even though film has encountered art on the terrain of exhibition in ways that go far beyond the scope of this book. The intent here has been to open the doors of the movie house and to show that the motor-force of cinema extends beyond the borders of film's own venues of circulation. The affective life of cinema has a vast range of effects and, in general, its representational and cultural itineraries are productive outside the film theater. They are implanted, among other places, in the performative space of the art gallery, as evidenced by way of Richter's _Atlas_ and Greenaway's work. The reflections on this interaction here, expanded in the following pages, reflect my desire for a cross-pollination of film and art theory while suggesting further encounters between film and art at the interface of the map, the wall, and the screen.\n\nI have developed the idea of this interface in different ways over the course of this book. At its outset, I let Hiroshi Sugimoto's photographs of film theaters guide us through a genealogical reconfiguration of the haptic dwelling of site-seeing. In the course of this journey, we discovered the interface in the geography of history and developed the genealogy of an interactive geovisual culture. Tracing cinema's relation to the history of exhibition tactics, we examined, in particular, how a tableau of early museographic spectacles and practices of curiosity came to affect the architecture of interior design. The interface was also approached by placing film exhibition within the history of a mobilized architectonics of scenic space, in an aesthetics of fractured, sequential, and shifting views. Now, this zone in which the visual arts have interacted with (pre)cinema can be signaled as the very matter of cinematics that attracts art to the moving image in a contemporary hybrid exchange. As we represented filmmakers who reconfigure the labor of film architecture, taking along a number of artists as their imaginary fellow travelers, we pointed to an intersection that goes beyond textuality. In this respect, walking through the installation of _Atlas_ , where cinema does not \"show\" in an obvious form, is a way of furthering the cultural mapping initiated with the cartographies of Guillermo Kuitca and Annette Messager\u2014a discourse that exposes, architecturally, the relation between emotion pictures and art in new forms of dwelling.\n\nThe work of Lewis Mumford provides insights that may take us a step further into the subject of this archive of emotion pictures. It was Mumford who, early on, articulated an interaction between cinema and the museum in architectural terms by assigning a museographic function to film. In his view, film becomes a modern way of documenting the memorials of culture by offering for viewing different modes of life and past existences. In this way, it allows us to cope with\u2014to have \"intercourse\" with\u2014other historical periods. According to Mumford:\n\n_Starting itself as a chance accumulation of relics, with no more rhyme or reason than the city itself, the museum at last presents itself to use as a means of selectively preserving the memorials of culture.... What cannot be kept in existence in material form we may now measure, photograph in still and moving pictures._\n\nFor Mumford, the cinema intervenes in museographic culture by providing a measure of what cannot be kept in existence. As it relates to preservation, Mumford's discourse offers a version of the process of embalming that the reproduction of life on film is taken to represent\u2014the mummification complex we discussed earlier as being activated, at some level, in film genealogy and archaeology. Going beyond the notion of cinema as a death mask, however, Mumford's words provide a different angle from which to view this question, for they enable us to recognize cinema as a moving imprint and an active mnemonic \"measure\": that is, as a mapping of an archive of images. Taking this route of mapping a step further (and further away from preservation), we can recognize the random accumulation, the rhyme and rhythm of relic collection that is mobilized in exhibitionary discourse when it is intersubjectively shared in intimate \"intercourse.\" This is precisely the geographic narrative of Richter's _Atlas_ , the effects of which are felt as cinematic rhythm\u2014that is, as random, cumulative assemblage mobilized in _emotional_ traversal. On this field screen, let us then continue to dwell on the rhythm and rhyme of the celluloid archive and consider further the possibility of mapping intersections between wall and screen.\n\n### A DETOUR THROUGH THE GALLERY'S FILM ARCHIVE\n\nGerhard Richter's _Atlas_ leads us to ask how the urban rhyme and rhythm of museographic display, mapped earlier as a prefilmic site-seeing, affects us today in the current space of the museum and the gallery. The convergence of the museum and the cinema, established before as a constituent of film genealogy, has become a newly articulated strain in contemporary visual culture and is especially vital in the realm of art installation. This exchange has taken place in many ways on the field screen of visual archives.\n\nIn a concrete sense, it has led filmmakers\u2014including Chantal Akerman, Isaac Julien, Chris Marker, and Ra\u00fal Ruiz\u2014to produce installations and filmmaking projects that reformulate cinematic space. Conversely, many notable contemporary artists have turned to filmmaking. Although this is hardly a new phenomenon, since the language of twentieth-century art has variously intersected with film, the recent incarnation of the exchange engages more directly in the work of narrative and has, at times, a greater predilection for popular culture. Sophie Calle, for instance, who works narratively in photography and is concerned with detecting and investigating intimate space, created with Gregory Shephard _Double Blind_ (1992), a road movie that records, from their different viewpoints, the disintegrating course of their relationship on a car trip across country in the United States. Larry Clark, Robert Longo, David Salle, Julian Schnabel, and Cindy Sherman have all worked in feature film formats, making fiction films that do not fit the rubric of the so-called art film. Rebecca Horn also has creatively navigated the language of fiction, working to a considerable extent in film performance and feature film formats for a number of years. Matthew Barney has created his own \"mutant\" _Cremaster_ film form, working in the interstices of sculpture, photography, video, and cinema to compose anatomical hybrids that challenge distinctions of species and gender and drive them into new, intricate designs.\n\nShifting grounds on a large scale, moving images have made their way into the art gallery and the museum, both in terms of production and distribution, returning spectatorship to \"exhibition.\" This trajectory is reciprocal and is articulated spatially. Looking at how the art installation has established itself as a crucial nexus in the museum, one cannot help thinking of the cinema. In many ways, the form of this aesthetic\u2014in which art melts into architecture\u2014is reminiscent of the space occupied by cinema itself, that other architectural art form. In even more graphic terms, one might say that the rooms of an installation often become a literal projection room, transforming themselves into actual filmic space.\n\nIn its combined screening process, the deconstruction, decomposition, and remaking of cinematics that is taking place in the museum and gallery space at times resonates with the researches into film language made by an earlier film avant-garde, especially in the cinematic genealogies of Ken Jacobs or Bruce Conner. Many contemporary artists have come to engage with the language of film, analyzing specific film texts, retraversing film history, or breaking down film movement and duration. They have deployed in their artistic practice the use of slow motion and such techniques as the freeze frame, looping, and the reworking of found footage. Particularly notable in this respect are the installations of the Canadian artist Stan Douglas, whose media work refashions time and duration in the face of history and in the guise of historical memory, thereby propelling a cultural remapping of imaging and space. As Kerry Brougher claims (and demonstrated in a recent exhibition), in many ways \"the cinematic is alive and well within... the network of images and sounds\" mobilized in art. A 1996 London exhibition, in which the relationship between art and films was staged, proved that such crossovers can, indeed, hold one \"Spellbound.\" Without pretending to assess the state of the art, and aware of the limits of such an excursus, these partial observations are meant to point out that the genealogical life of film is being extended\u2014perhaps even distended\u2014in the space of the contemporary gallery.\n\nOne aspect of this phenomenon has taken place in the intersection between the still and the moving-image archives. Here, we find the practice of Cindy Sherman, whose groundbreaking series of _Untitled Film Stills_ (1977\u201380), analyzed by Laura Mulvey and Rosalind Krauss, have been enacted further in her rear-screen projections (1980) and historical tableaux (1988\u201390). The work of Victor Burgin offers a reflection, in both theory and artistic practice, on actual reversals occurring between film space and gallery space. Burgin is especially attentive to the differences in the movements and passages within these spaces and intertwines filmic and art-historical ways of seeing. Another view of interface is offered by the artist, curator, and writer Douglas Blau, who has sequentially assembled on the gallery wall a photo archive of imagery that ranges from the art historical to the cinematic; he turns these still pictures, through narrative, into moving images. The artist, writer, photographer, and filmmaker Alain Fleischer, again both in criticism and practice, has reworked and exhibited the medium of film culture in conjunction with art-historical picturing. His rules of exchange display the seduction of the screen\u2014in all its fragmentation and dissolution\u2014at the \"nerve centers\" of viewing positions, creating possibilities for exploring points of montage, narrative links, and the art of framing.\n\nAt one level, what apparently has occurred in the exhibition space is something that resembles a drive to access the work of the film apparatus itself in relation to modes of picturing. Having gained this access, the installation space then contributes to a remapping of the cultural space of the cinema, as well as the cultural space of art. Sometimes, the discourses of art and film intertwine in this archive of film genealogy. Let me offer as a different example an installation by the Scottish artist Douglas Gordon, whose manipulation of cinematic material has included extending Alfred Hitchcock's _Psycho_ into a _24 Hour Psycho_ (1993) installation event. Gordon's specifically genealogical work, entitled _Hysterical_ (1995), is a video installation that rereads the familiar relationship between hysteria and representation. It projects onto two screens footage from an unnamed silent film, making two loops\u2014one moving at normal speed, the other in slow motion\u2014whose rhythms occasionally and casually meet up. The archival source of the installation (a filmed medical experiment made by the Italian doctor Camillo Negro) resonates on the reel of film history that has occupied my own cinematic imagination. As I have argued elsewhere, when Negro filmed _La neuropatologia_ (Neuropathology) with Roberto Omegna in 1908, he exhibited the supposed \"female malady\" as the theatrics of the \"seen\" itself. When the film was first shown, a reviewer aptly remarked that \"the white film screen was transformed into an anatomical table.\" The comment points to the sort of genealogy Gordon exposes as, reworking the film, he exhibits the very representational grounds upon which the filmic bodyscape itself was built and mobilized. Gordon's loops furthermore expose and accentuate the \"wheeling\" motion that we have seen to be a motor-force of emotion pictures. The loop especially reminds us that this wheel constitutes the very materiality of the filmic \"reel.\" As an intervention on the matter of duration, this work resonates with Andy Warhol's filmic experiments of \"reel\" time.\n\nIn the gallery or the museum, one has the recurring sense of taking a walk through\u2014or even into\u2014a film and of being asked to reexperience the movement of cinema in different ways as one refigures its cultural ground of site-seeing. Entering and exiting an installation increasingly recalls the process of inhabiting a movie house, where forms of emotional displacement, cultural habitation, and liminality are experienced. Given the history of the \"installations\" that gave rise to film, it is only appropriate that the cinema and the museum should renew their convergence in ways that foster greater hybridization.\n\nAn editing splice and a loop thus connect the turn of the century and the dawn of the millennium. In revisiting the genealogy of cinema, we see that it was marked by a prefilmic theatrics of image collection, active in forms of spectacular array that enacted recollection. The composite museographic genealogy of film that we traversed in diverse georhythms of site-seeing\u2014cabinets of curiosity, _tableaux vivants_ , wax museums, fluid and automated spectacular motions, cosmorama rooms, panoramic and dioramic stages, georamic display, urban _mondo nuovo_ , and view painting\u2014occurred in and around public viewing sites. Fragments that were crystallized, serialized, and automated in an art of viewing developed as an \"-oramic\" architecture of the interior that represents \"installation\" _avant la lettre_. Cinema descends from this travel of the room\u2014a waxed, fluid geography of exhibition that came of age in the nineteenth century and molded the following one.\n\nWhat turned into cinema was an imaginative trajectory that required physical habitation and liminal traversal of the sites of display. The establishment of a public in this historical itinerary made art exhibition cross over into film exhibition. The age that saw the birth of the public was marked in the realm of art by the establishment of such institutions as the Paris Salon, where art was exhibited for public consumption. Cinema, an intimate geography born with the emergence of such a public, is architecturally attached to this notion, for the movie house signals the mobilization of public space with its architectonics of display and architectural promenade, experientially implanted in the binding of imaging to spectatorial life. Thus generated out of modernity's itineraries, film movement has included in its cultural space the trajectory of public exhibition itself: an exhibitionary itinerary became a filmic architectonics of traveling-dwelling.\n\nNow, back in the museum and in the gallery space, this moving topography once again can be physically and imaginatively traversed in more hybrid forms, where the genealogy of cinema is displayed on the walls to be walked through, grasped, and reworked. The moving geography that fabricates the cultural mapping of cinema has come to be exposed, analyzed, even remade\u2014at crucial nerve points\u2014on the field screen of the gallery. This artistic process extends the refiguring of the cinematic work of cultural imaging, and of the space of image circulation, as it forces art to reconfigure itself. Along the way, something important is set in motion. The installation space becomes a renewed theater of image (re)collection, which both takes the place of and interfaces with that performative space the movie theater has represented for the last century and continues to embody. An archive of moving images comes to be displaced in hybrid, residual interfacing.\n\n10.7. An archive of urban landscapes in Richter's _Atlas_. Sheet no. 120: _Cities_ , 1968. 12 black-and-white cuttings, aerial photographs from books, marked up cuttings. Detail.\n\n10.8. The architecture of memory: traces of cities in a (screening) room in Richter's _Atlas_. Sheet no. 123: _Cities_ , 1968. 4 black-and-white cuttings, aerial photographs mounted in sketches of rooms. Detail.\n\n10.9. The Landscape of an atlas-album in Richter's _Atlas_. Sheet no. 312: _Capri_ , 1975. 16 color photographs. Detail.\n\n10.10. The imprint of topophilia in Richter's _Atlas_. Sheet no. 213: _Clouds_ , 1970. 2 color photographs, marked into divisions and individually mounted. Detail.\n\n### INTERFACADE: CINEMA AND THE MUSEUM\n\nThe renewed convergence of moving images and the museum has also engaged the domain of design. This conflated geography informs the geography of intimate space itself, as well as its forms of liminal navigation. Thus the passage between interior and exterior not only is enacted on the walls of the museum but is staged in the very structure of its architectural premise. In an age where\u2014from Los Angeles to Seattle, Bilbao to Berlin, and beyond\u2014new architecture is mobilized with, and as, museographic exhibition, the challenge may involve the task of refiguring spatial cinematics and geopsychic paths of navigation on the screen of the architectural site itself. In his plan for Berlin's Jewish Museum, Daniel Libeskind inscribes subjective cartography by slashing windows into the building's surface that correspond to places on the map of Benjamin's \"Lived Berlin.\" In the architect's words, the building itself, an architectonics of lacunae, emerges out of \"the openness of what remains of those glimpses across the terrain\u2014glimpses, views and glances... belonging to a projection of addresses traversing the addressee.\"\n\nWe already have witnessed a cultural center\/museum such as the Institut du Monde Arabe, designed by Jean Nouvel, in Paris, challenge the permeability of the facade with windows that converge with the mechanics of light-sensitive photographic shutters. Now one of Frank Gehry's proposed designs for a new Guggenheim Museum, stretched out by the water and floating with New York City's harbor life, looks like an unraveled film strip. Given Gehry's well-known propensity for oceanic creatures, one wonders if this \"fish\" may not be seeing a sea of images. As Gehry tells Michael Sorkin in an interview about his recent work, he \"dream[s] of brick melting into metal, a kind of alchemy... [that tries] to get more liquid, to put feeling, passion and emotion into... building through motion.\" This alchemy, as we have claimed, is the matter of celluloid imaging itself\u2014that fluid place where motion becomes emotion. The motion picture, with its fabric of moving images, circulates a passionate architexture: _emotion_ comes into place in fluctuating cultural geography. In the face of new image-network meltdowns, then, one might envisage further hybridized geographies, such as those found in the work of architect Hani Rashid. His studio project _220 Minute Museum_ (1998) is a timed sequence of eleven virtual museums that was projected onto several movable fabric scrims suspended from pivots on and around the facade of the Storefront for Art and Architecture in New York. Thinking of this pivotal movement as we watch the wheel of museographic debris potentially melting into cinema in the art gallery, it may seem that we are beginning to confront an interfaced reconfiguration of the residual pieces of a nomadic visual archive.\n\n### _CINERES_ AND _CINEMAS_\n\nAnother dimension of the collision of architexture with filmic texture is elaborated in the work of the visual artist Judith Barry, who explores inhabited, imaginary spaces in post-perspectival ways, investing cities and travel with whirling history. Here, the museum, the cinema, and the department store share a common architectural form, insofar as all are showcases of cultural design. In her installation _D\u00e9pense: A Museum of Irrevocable Loss_ (1990), for example, set in an abandoned nineteenth-century marketplace in Glasgow, vitrines of the sort used in history museums become a screen on which to project early silent films of city life. In revisiting this interaction in contemporary installation, we might recall the genealogy mapped earlier in this book, for the three exhibitionary sites were, historically, visited the same way: in fluid intersection, passing from space to space, in joined trends of public consumption. This relationship extended to the shape of the interior design itself of these spaces, and to commonalities in lighting and spatial layout.\n\nSuch convergences have not appealed to critics concerned with the demise of spectacle, who have maintained that the museum is the cemetery of the artwork. By the same token, the cinema has been declared dead (or deadly) more than once. An appreciation of the department store analogy, however, need not become a celebration of the museum (as) store. We might alternatively think of the fashioning of cultural space as an actual matter of fashion\u2014that is, as texture. The museum, the cinema, and the department store all represent textural places: emoving archives of imaging. To reclaim the museum and the cinema from the land of the dead is to \"refashion\" them together in this archival interface, connecting their exhibition and spectatorship on the level of _habitus_. After all, _habitus_ , as shown in the previous chapter, is a matter of habitation and in its very semiotic texture is dressed with the sign of apparel\u2014the _abito_.\n\nSuch a fabrication may also take into account the fact that an _habitus_ , in the definition of Pierre Bourdieu, is not only a cultural design but cultural baggage. This understanding of design does not reject the past but, indeed, enables us to conceive of it as a \"suitcase\" with which we may return to the cemetery\u2014for it may contain something we need today or something we desire for the future. We might wish to concede to the cemetery a certain heterotopic liveliness insofar as it displays a conflated geography and historicity. The city of the dead is not frozen in time. It does not simply hold or arrest but extends life, for it is a geography of accumulating duration offered to a public. This permeable site is capable of inhabiting multiple points in time and of collapsing multiple (body) spaces into a single place. This cumulative view of the cemetery may enable us to look differently at the conjoined histories of topoi like the cinema and the museum, which fashion, like the cemetery itself, a mnemonic archive of images. Moving in this way from _cineres_ to _cinemas_ , from the ashes of the necropolis to the residual cine city, something of this heterotopic force may be opened up in more hybrid forms of reinvention.\n\nTraversing the interface of _cinemas_ and _cineres_ is an archaeological project\u2014one which exposes the conflation of images in the present as a way of looking at their future. There might be in store for us an altogether new configuration of the architectonics of moving images which should proceed along with the funereal project, for both are woven into the fabric of the spectatorial _habitus_. After all, museographic sites are, to some extent, consumer versions of the architectonics of memory theaters. Museums, like memory theaters, have offered to cinema the heterotopic dimension of compressed, connected sites. A movie house provides a version of the spatial work of memory, requiring the labor of search and the accumulation of imaging; it furnishes a fictional itinerary that traverses historical materialities and bridges the path from producer to consumer.\n\nIn some way, then, the cumulating fictions of the cinema and the architecture of film theaters have come to reinvent\u2014however transformed in heterologies\u2014some of the imaginative process that, in 1947, Andre Malraux called the _mus\u00e9e imaginaire:_ a boundless notion of imaginative production that, in English translation, even becomes a \"museum without walls.\" As art historian Denis Hollier notes, Malraux's imaginary museum was itself \"a museum conceived in terms of cinema.\" This interaction has invested the architectural premise with an interface of passage. Historically, the museum has been experienced through a practice of perambulation in a trajectory that, in the age of modernism, is laid out as a spiral\u2014most notably literalized in Frank Lloyd Wright's design for the Guggenheim Museum in New York City. In the cinema, another product of modernity, the perambulating activity takes place as an imaginary process, also interfacing exterior and interior. One practice has not substituted for the other, although at times one has taken the other's place and, in so doing, has changed the very nature of that place. The stories written on the mobilized figures of the transparent wall that is the screen, and on the space that surrounds it, are there to be retraversed by the film\/museumgoer, for the fluid collection of imaging in both invites a shifting form of recollection. The interface between the exhibition wall and the film screen, as mapped in this book, is thus both reversible and reciprocal, even in the process of transhistorical imagination. A work of mutual historical \"resonance,\" to use Stephen Greenblatt's notion, is set in motion as the cultural force of the interface. Here, memory places are searched and inhabited throughout time in interconnected visual geographies, thus rendering, through cumulation and scanning, our fragile place in history. As in Richter's _Atlas_ , this architexture is an absorbing screen, breathing in the passage and the conflated layers of materially lived space in motion.\n\nWays of experiencing cinema also inform the imaginative space of the museum inasmuch as both are public-private affairs that are constantly mutating. If, in evolving form, the museum serves as \"counter-hegemonic memory,\" in the apt words of Andreas Huyssen, such a function travels in other media as well, for when our feelings about temporality and subjectivity change, they also change cultural locations. For example, the architecture of the movie palace, with its recurrent memorial decor, temple motifs, and funerary design, and of the atmospheric theater, with its penchant for architectural mnemonics, suggests that cinema is the kind of museum that may even act as a secular place of mourning. In the range of its offerings, it houses a variety of liminal experiences, including an inner search that is publicly shared and exhibited. The museum, according to Carol Duncan, also publicly houses the performance of such private voyage, inscribed in the ritual history and dramas that constitute museographic spectatorship. In the narrative habitation of the installation space, as in the liminal movie house, personal experiences and geopsychic transformations are transiently lived in the presence of a community of strangers.\n\nOver time, the itinerary of public privacy has built its own museographic architectures, changing and exchanging, renewing and reinventing the rhyme and rhythm of social mnemonics in an architextural trajectory that transforms _cineres_ into _cinemas_. If, as the French historian Pierre Nora puts it, there are now only _lieux de memoire_ \u2014sites of memory generated in the interplay of history\u2014which are \"fundamentally remains,\" then \"modern memory is, above all, archival.\" Cinema, as constructed here, is the unstable site that, against monumentalization, affirms a transmigrating documentation of memory: itself a trace, it is an essential part of a museographic archive of _cineres_. The modern experience of memory is, quite simply, a moving representational archive. Such a museum of emotion pictures has been built along the retrospective route that has taken us to and from cabinets and _studioli_ , museums and exhibition halls, houses and movie houses. The atlas of memory consists of this kind of textural exposure, which travels in different public rooms (of one's own) in reversible routes, in passage on a field screen that interfaces cultural itineraries. Mnemosyne\u2014the mythological figure of memory who, according to legend, was the mother of knowledge\u2014became an \"atlas\" in Aby Warburg's hands, at the threshold of the cinematic age. Mapped in visual space, the mnemosyne atlas did not simply take up a new place in this realm but became space: a multi-screened theater of (re)collection. A peculiar atlas. A movie theater. The perambulating affair proper to museum-going and its architectures of transit transferred in reciprocal ways into imaginative film spectatorship and, thus mobilized and interfaced, became the circulation of an album of views\u2014the \"atlas\" that is our own museum. A Richter _Atlas_.\n\n### AN ALBUM OF VIEWS, AN ARCHIVE OF IMAGING\n\nInscribed on transparent celluloid and scripted in its mechanical history, the cultural journey of images projected onto the white screen surface has become a museum of _emotion_ pictures. But this museographic function of the moving image was acknowledged as a traveling affair from the time of precinema. Speaking of the daguerreotype and its future in 1838, a critic interestingly observed the relation of the photographic image to a potential atlas-album:\n\n_How satisfying the possession of this machine must be to a traveler, or to a lady who, wishing to make an album of the finest views that have ever struck her eyes, can compel Nature to reproduce them as perfectly as She herself has created them._\n\nThe imaginative passion\u2014the drive to design an imagined geography, to circulate a collection of one's \"views\"\u2014ventured forth into filmic traveling as film intersected with travel and museographic culture in the act of documenting space, which issued from the desire to make a private \"album\" of moving views for public consumption.\n\nThink of Esther Lyons, the travel lecturer we encountered some chapters back, who published her book of landscape pictures with her own self-portrait. On the eve of the invention of cinema, as the motion picture was being fashioned from the landscape of travel culture, Lyons held a mirror up to her own face. A special kind of landscape picturing emerged from that mirror\u2014a place of transient self-reflection. The mirror turned into a filmic screen. Sally Potter would pick up the mirror-screen in the streets of London and Paris and take it to the dancing halls of Buenos Aires. She would hold it right up to her face on the mirror-screen of autobiographical fiction, turning motion pictures into her own album of views.\n\nIn an archival way, the culture of travel, formed in relation to imaging, has engaged the moving image as a site of domestic exploration\u2014a screen that interfaces both intimate and social, private and public narratives. The ultimate residual incarnation of modernity's trajectory created an imaginary mobilization of the traveling room. As with any travel effect, cinema, a nomadic archive of images, became a touching map of personal views. A museum of emotion pictures. A haptic architexture. A topophilic affair. A place for the love of place. A site of close picturing for undistanced _emotion_.\n\n### THE EMOTION OF TOPOPHILIA\n\nMoving in this way through the realm of _emotion_ , we find ourselves constantly returning to the site of topophilia. A crucial core of my atlas of emotion, the notion of topophilia derives, as we have seen, from the field of geography. In 1974 the geographer Yi-Fu Tuan, in a book on environmental perception and attitudes that deals, albeit problematically, with the love of place, proposed that human beings are affected by what he ingeniously named topophilia. Although I have found inspiration in this work, my engagement with the notion of topophilia stems from a very different premise. In order to explain the love of place, Yi-Fu Tuan ended up establishing a system of values for places, ultimately making claims for ideals of landscape in an evaluative structure based on binary oppositions and harmonious wholes. By contrast, I have used the term _topophilia_ to describe that form of cinematic discourse that exposes the labor of intimate geography\u2014a love of place that works together with the residual texture of _cineres_. Such work is driven by a passion for mapping that is itself topophilically routed not on wholeness but on the fabric of lacunae. This \"exposure\" of remnants has been made visible from the opening gesture of my site-seeing: Sugimoto's \"exposed\" white film screen, which, like the screen-space of Greenaway's installation _The Stairs 2: Projection_ , is the texture of a palimpsestic writing of place. This is the site of (in)visible traces, inscribed and laid bare, enduring yet erasable on the white fabric of the screen. In this sense, the white film screen morphs into the blank surface exposed by Ann Hamilton in her _Crying Wall_ , where, according to my story, the moving tear etched on the wall surface there becomes a tear moving down the facial landscape of the film screen in a woman's filmic work of mourning. In the world of emotion pictures, there are no monuments but only documents, for ashes make up the work of memory or the place of mourning, where people are sites.\n\nThe mnemonic landscape of Richter's _Atlas_ is one such topophilic place, where _emotion_ rests on diffraction and moves in passage. Here, the particular love of place produced by his work is quite distinct from the centric view of a nesting drive. Far from it, for topophilia is also not to be collapsed with nostalgia, especially when the latter is used to advocate univocal attachment to one's land of origin. Looking in previous chapters at the type of topophilia enacted in tender forms of mapping, we have seen that a \"philic\" drive is inscribed at multiple levels in maps that reroute and mobilize an amorous discourse in relation to moving landscapes. This topophilia is inscribed in the emotional maps we considered that reinvent a _Carte de Tendre_ and a geography of affects, and finds a place in Richter's own _Atlas_ of emotion pictures.\n\nAs we further explore mental geographies, we might pause here to consider that maps have been called by Robert Harbison \"the mind's miniatures.\" And as Simon Schama argues, the landscape is also a work of the mind. In this vein, a landscape, broadly conceived, can be regarded in many ways as a trace of the memories, the attention, and the imagination of those inhabitant-passengers who have traversed it at different times. It is an intertextural terrain of passage which carries its own representation in the threads of its fabric, weaving it on intersecting screens.\n\nTo grasp the lack of plenitude and the lacunar interiority of this topophilic scenario, we might recall the way in which the architectural artist Rachel Whiteread works her textures, compiling an inventory of design objects and spaces of domestic life. To build her museum of private life, Whiteread works from inside out and outside in. She usually casts the interior void of architectural space in liquid substances that become hardened, and then puts the bare, hollow volume of a mattress, bathtub, table, room, house, or book back onto the landscape. In this way, the emotional texture of a work like _House_ (1993\u201394) is palpably offered back to us, rendered in a negative that, like film's own negative, contains the impressions of those who have, and will, come into contact with its particular interior landscape. The mnemonic imprint of a house corridor contains an archive of stories just as the materialized interior library of _Untitled (Book Corridors)_ (1997\u201398) does. Cast and exposed in the negative by Whiteread, inner space can actually \"take place.\" As in the negative spaces cast by Bruce Nauman, it reveals haptic texture and the fabric of its architectonics. In Whiteread's _Water Tower_ (1998), mounted on a New York City rooftop in the Soho gallery district, the object is the inverse of the contained fluid substance. A \"lacunar\" metonymy for the city of New York, whose cityscape is a map of water towers, this texture is a filmic screen for the projected stories of \"the naked city.\" Visiting Whiteread's translucent architecture, we sense the passage of people through a brief moment in space in the tense materiality of suspended historicity.\n\nThe story of the landscape is told as a palpable imprint in the moving landscape of its representation: in its folds, gaps, and layers, geography holds remnants of what has been projected onto it at every _transito_ , including the _emotions_. Imaged in this way, landscape is an archaeology of the present. Emotional cartographies, to which Richter's _Atlas_ belongs, make this particularly evident, showing how _topos_ is attuned to _philia_ in the historicity of sentient encounters. From the art of memory to emotional maps to film viewing, such cartography joins, on topophilic grounds, with an architecture of inner voyage, a geography of intimate space. In this landscape, filmic site-seeing is immersed in the geopsychic act of interfacing affect and place that has driven the architectonics of memory, from Quintilian to Richter, as an art of mapping place. Cinematically, the affect is rewritten on the land as on a palimpsest, and the moving landscape returns a sign of affect. Residing in this way as an \"in-between,\" in a pause of movement, permanence turns into permeability as intimacy becomes publicly shared in the museum-movie house.\n\nSpace\u2014including cinematic space\u2014emoves because, charged with layers of topophilic _emotions_ , it is invested with the ability to nourish the self. This psychic process involves making claims and demands on the landscape. Cultures and individuals fixate on specific landscapes for different reasons and reactively pursue them. A traveler seeking a particular landscape may go there, even filmically, to be replenished, restored, held, and fed. For example, in the history of landscape, the sea and the seashore have functioned as lures. Mutable marine landscapes have offered varied topophilic pleasures as they have expanded imaginative horizons. In the hub of traveling and dwelling, their coastal borders have embraced the stream of _emotions_ and exerted the pull of an embracing \"transport.\" Richter's _Atlas_ \u2014a psychogeographic landscape\u2014is likewise one of these topophilic places that can hold us in its design and navigate our story. In the \"film\" of landscapes, moving trains, and people-sites it sets out, our own unconscious comes to be housed.\n\nPeople are drawn to places\u2014museums included\u2014for psychic reasons, just as they may find themselves emotionally engaged in a literary \"site\" or attracted to a place of moving pictures. This includes revisiting affective sites of trauma, as the wounded architectural work of the artist Doris Salcedo reminds us. Her passage into counter-memorial is a kind of mourning, a process that works, as we have claimed, by way of incorporation. Such passage can make textural exposure something that binds. Salcedo holds us there, in the material site of loss, in the traces of the fabric remnants that leak out of the concrete contained in her dead armoire. But it is precisely this intimate holding in affective vicinity, in the architexture of loss, that can become a form of sustenance and a way of moving on with life. It is in this way that _cineres_ turn into _cinema_.\n\nAs they are materially traversed in representation\u2014in itineraries of affective reality that include motion pictures\u2014places change shape. Sometimes, a site speaks only of passage and revisitation, for when we absorb places as they absorb what is laid out on them, geography exhibits itself in iterative mappings. On this terrain, cartography encounters psychoanalysis, for, as we learned long ago from Gaston Bachelard, \"the unconscious is housed,\" and in the poetics of space \"a voyage unreels a film of houses.\" Now, having passed through the various incarnations of the _Carte de Tendre_ and visited its extension in Richter's _Atlas_ , we might see that cartography\u2014a charting of the subject in space\u2014is fundamentally a (psycho)analytic residue. In the act of drawing, it excavates one's archaeology: the fragments and relics of one's _terrae incognitae_ , sometimes traveled so much by way of habit and habitation that they have become unknown. Such is the ruined map that Richter's _Atlas_ presents to us. Such is the ruined map exposed in the cinema. Wandering with the imaginary atlas, the fabric of this fabrication\u2014an architexture\u2014shows.\n\nIn the course of the motionless journey of film, we are held, as with Richter's _Atlas_ , in an intimate binding that can even \"transport\" us backward. Now, at the end of our map zone, we may find ourselves back where we started, back in the global vessel in which, some chapters back, we began drifting through the art of mapping. We had positioned ourselves in a _studiolo_ , one of the very places that, in time, would become a museum. Perhaps the _studiolo_ of Isabella d'Este\u2014a place of immobile voyage furnished with a globe, a geographic study room where the world existed as interior decor\u2014was indeed an analytic room, dreaming ahead to Richter's _Atlas_. This is the place of \"projections,\" where the voyage of the unconscious works itself into stories and dreams that end up populating the walls of the room; it is a house of pictures, like film's own movie \"house.\" Evanescent and fugitive, emotion pictures fix themselves on the analytic movie screen, reflective and translucent. Layered on the white texture of an erasable palimpsest, films can be the wallpaper of a room, the peeling layers of painted and inhabited stories, the fanciful decor of a _studiolo_ , the traces of analytic debris. Housed in spectatorship, the cinematics of _emotion_ \u2014the very _tactics_ mobilized in _Atlas_ \u2014reinvents a _Voyage around My Room_. This exploration of the room is held in the \"room\" of the camera obscura\/lucida, attached to the room of one's own. It makes a mattress-map and is bound to a spectatorial seat, a couch, or a desk chair. It is a \"furnished\" wall dream. In this residual sense, the emotional voyage is, indeed, an architectural affair. It is an actual matter of \"interior design\"\u2014that place topophilically mapped in Richter's _Atlas_.\n\n## **HOUSE**\n\n11.1. A personal view from a fan that opens to vistas of the landscape. Naples, late 18th century.\n\n## **11 Views from Home**\n\n_In the world in which I travel, I am endlessly creating myself_.\n\nFrantz Fanon\n\n_Naples [is] the ideal place for a landscape painter_.\n\nJohann Wolfgang von Goethe\n\n_The mixture of generations and epochs, social classes and narratives is particularly amazing in Naples,... a porous, transient city_.\n\nErnst Bloch\n\nIn closing this book, allow me to take you site-seeing, on a \"Voyage in Italy\"\u2014to Naples, that is, with Roberto Rossellini's _Voyage in Italy_ , a filmic visit to my home town. This film, a woman's travel diary, deals with the geopsychic relation between affect and place we have been exploring, which includes topophilia. It exposes the physical affect of (e)motion and will enable us to take part in the intimate experience mobilized in the process of cultural travel, in which one's very form of dwelling is remapped. Asking what kind of love of place is mobilized in this voyage, we will uncover a strain of its representation. Sensing the philic drive that historically has attracted artistic, literary, and film voyagers to this land, we will take the grand tour to Italy, turning it into a tour of the cine city. Here, I will test the grounds of my hyphenated history and continue to root out the migratory sense of the emotional passion\u2014that \"moving out\" which is a transference from one place to another. Finally, with this cartographic _emotion_ in mind, I will rethink the idea of psychogeographic mapping through the movement of my own topophilic history.\n\nThus we return to the fabric of the cine city, that \"fashioned\" space from which, chapters ago, we first embarked on our site-seeing tour. In so doing, we link the history of film more to palimpsestic sites than to discrete points in time. Conventional film history, in general, is more time- than space-bound. It moves diachronically, progressing from period to period, and provides an essentially temporal history of the medium. Space emerges, for the most part, only in accounts of national cinemas, and in a reductive way that tends to confine itself within the borders of particular states. Interesting relations emerge, however, when one tries to break the teleology of time and the cartography of nationhood and to organize filmic movements instead around travel through the durational layers of space and spatiotemporal fragments of dwelling. A spatial history of film could, for example, construct an inventive collage of cine cities, for cities are \"made\" in the cinema and recreated in different historical periods by filmmakers of different national backgrounds. Cities in film do not have strict walls or borders. However situated, they are a transcultural affair. Making a geographical journey of this kind, one might draft a segment of landscape and traverse it, retracing its intertextual markings on an imaginary chart. Taking Naples as the site of such a representational exploration, we approach a fragment of lived film space as we unfold a panorama of the city in history.\n\n### A RAPID DIORAMA\n\nThe most filmed city in the history of Italian film next to Rome, Naples already had been widely painted, photographed, and variously represented when the motion picture encountered its peculiar topography and made it into a _cinecitt\u00e0_. Images of Naples (both before and after cinema) have been marked out on the threshold between high and low, where the city's own cultural hyphen is situated. In film, the geography of the city has become the thread of a diverse visual architectonics and a fragment in the mosaic of traveling geovisual cultures. Hence, to understand the relation of Naples to the cinema, one must engage the visual history of the city in relation to the culture of travel. It was one of the subjects most frequently portrayed in the geography of _vedutismo_ , and the practice of view painting, conversely, shaped the city's very imaging. The bird's-eye view of the city was made famous by such artists as Pieter Brueghel, who painted _Bay of Naples_ in 1556. Many topographic views were produced, including those by Alessandro Baratta (1583-after 1629), who made _Plan of Naples_ in 1629, and Didier Barra (c. 1590-?), who executed the stunning _Bird's-eye View of Naples_ in 1647. Internationally celebrated, the city generated an entire cartographic history. A view of Naples by Francesco Rosselli, _Tavola Strozzi_ , appeared as early as 1472 and was the first large-scale portrait of a European city ever to be made. In 1750, Giovanni Carafa, duke of Noja, conceived a multi-sheet _Topographical Map of the City of Naples and Its Surroundings._ Completed in 1775 and comprising thirty-five sheets, this embracing sequential view composed of framed picture-shots made for a very cinematic map. From subject to form, the geography of the city, in painting as in film, is forever linked to the _veduta_ and to the representational codes of mapping.\n\nA moving portrait, the map of the city was also a product of the _voyage pittoresque_ and its cultural developments:\n\n_We are bound for Naples! How picturesque the great crags and points of rock overhanging to-morrow's narrow road... ; and in the morning, just at daybreak, the prospect suddenly becomes expanded, as if by a miracle, reveals\u2014in the far distance, across the sea there!\u2014Naples with the islands and Vesuvius spouting fire._\n\n\"A Rapid Diorama\" is the title that Charles Dickens gave to this description of his voyage to Naples in his _Pictures from Italy_. It is an aptly chosen title, for the diorama\u2014the spatiovisual device that presented changing panoramic scenes\u2014created for the viewer the very dimension of voyage, proleptically pointing toward cinema's own power to transport. But, as Dickens's text suggests, the diorama and the panorama form only a fraction of cinematic site-seeing, for as we have argued, the entire representational archive of traveling images contributes to this \"transport.\"\n\nOn this chart, Naples has been revisited endlessly since the era of the grand tourist and the romantic traveler. Indeed, it was one of the grand tour's last stops\u2014the southern edge in the \"descent\" of the northern voyagers across Europe. A major site of representational as well as actual travel, Naples was one of the spaces where the traveling eye literally \"came into place.\" In addition to view painting, this passage included the spectacle of moving pictures produced by the Eidophusikon, the cyclorama, the cosmorama, _mondo nuovo_ , and other panoramic spectacles. All of them regularly offered views of the city and of the volcano that overlooks it. At London's Vauxhall Gardens, an eighty-foot-high view of the Bay of Naples was illuminated by fireworks every night during 1823, while the gardens offered a panoramic model \"al fresco\" of the site. In the pleasure garden, a displaced Naples featured large.\n\nInterior design participated in the travel of city imaging as well. Among the views of Italy that were frequent subjects of _papiers peints panoramiques_ , the Bay of Naples was often favored. One particular design of panoramic wallpaper, produced in Paris in the early 1820s, reproduced Constant Bourgeois's _View of Vesuvius and a Part of the City of Naples_ and was perhaps also inspired by a _Bay of Naples_ on view at the Panoramas of the boulevard Montmartre. Cementing the link between traveling culture and domestic life, such decor drafted new notions of the interior at the doorstep of the exterior, constructing the geography of the city as a journey.\n\n### VIEWS OF A CINE CITY\n\nOne wonders whether the Bay of Naples, set against Vesuvius, was actually made to be pictured. In 1861, when a panorama of Naples opened at the Burford establishment in London, it was proposed that Naples existed perhaps best as a picture, for the city's panorama was \"even more pleasant to look upon in Leicester Square, than is the reality with all its abominations.\" Naples, in fact, has been looked at so much that it runs the risk of being worn out by overrepresentation. As the writer Thomas Bernhard once said: \"To see Vesuvius is, for me, a catastrophe: millions, billions of people have already seen it.\"\n\nOverrepresentation and the touristic picture of Naples become real issues when we consider the city's portrayal in film, especially in view of what it has been made to stand for in the cinema. This has included the idea that love is tied to topography. Indeed, as one film from 1960 put it, \"It Started in Naples.\" Here, in this captivating city, Clark Gable was lured into love and, falling for local girl Sophia Loren, went \"native.\" Lina Wertmuller also adopted a formula that typecasts the \"native\" culture, helping to turn the city into both a frozen and a serial image. Better to try and start from scratch, as Massimo Troisi would claim in _Ricomincio da tre_ (1980).\n\nThis touristic city, which has attracted film images like a magnet, was itself one of the earliest and most productive film centers. It was home to Etienne-Jules Marey, who in 1870 bought a villa there. Marey traveled south from Paris every year to spend his winters in Naples, where he made some prefilmic experiments with his photographic gun. A number of period photographs testify to Marey's work in Naples, showing him \"shooting\" such subjects as the Bay of Naples and its floating ships. In the words of Francois Dagognet, Naples \"was to mark his work as his work would mark its period.\"\n\n11.2. Panoramic wallpaper wrapping the house with _Views of Italy_ , c. 1820\u201325, parts 1\u20135, _The Bay of Naples_. Manufactured by Dufour, Paris; designer anonymous.\n\nNaples, a cinematic city from the very inception of film history and even in prefilmic times, was also the subject of illustrated travel lectures. They celebrated its beauty and its misery and this image migrated from there into the genre of travel films that grew out of these slide talks. From the very beginning, the films produced in Naples manifested themselves as ways of imaging and touring the city: early Neapolitan cinema participated intensely in the construction of \"city views.\" The Italian version of the panorama film devoted to viewing the city\u2014significantly called _dal vero_ \u2014emphasized the view \"shot from real life on location.\" The first filmmakers, including local ones, widely practiced this _dal vero_ , making short films that addressed location with street views or vistas of the city and its scenic surroundings. Since _dal vero_ were internationally produced, Naples became a well-traveled subject of this genre. An extension of the nineteenth-century practice of painting _en plein air, dal vero_ articulated a kind of cinematic site-seeing that transformed the city into cityscape.\n\nAfter the Second World War, the _dal vero_ of Naples were reinvented by neorealism as city travelogues were remade into fiction. Enhancing the sense of location, neorealism placed narrative in the space of a present historicity. From there, a number of films documented Naples both as a situation and a site of history. Cinematic histories set in Naples include Vittorio De Sica's _L'oro di Napoli (The Gold of Naples_ , 1954) and, in more recent times, Liliana Cavani's _La pelle_ (1981). The most powerful contribution to this geography of history, however, was Roberto Rossellini's _Pais\u00e0_ ( _Paisan_ , 1946), an episodic filmed history that travels through Naples as it moves across the space of different Italian cities, assembling a fragmentary, moving portrait of a country in ruins. This \"motion\" picture travels from south to north, making a composite map of cultural differences within the Italian nation and exploring its marked regional diversity. Ultimately, _Paisan_ would undo national identity with its traveling eye and create a filmic rendering of the multiple \"location of culture,\" including Naples' own situated (popular) knowledge. After the neorealist period, Rossellini did not abandon this propensity for site and continued to be driven by geography even when, in _Voyage in Italy_ , historical weight gave way to fictional minimalism and he moved from exterior to interior, toward a modernist narrative space. This was the space, as we have seen, that Michelangelo Antonioni ventured to inhabit: on the rarefied terrain of the interior voyage, _Voyage in Italy_ met _L'avventura_ , connecting landscape with the female landscape and its erotics.\n\nA series of adventures without adventure, _Voyage in Italy_ travels through Naples and to the attractive outskirts of town. Insofar as it is a tribute to the surroundings of the city and to the Mediterranean landscape, it is intertextually linked with Godard's _Contempt_ and Rene Clement's _Plein soleil_ ( _Purple Noon_ , 1960). In _Purple Noon_ the sensuality of the land is written on the body of Alain Delon, while in _Contempt_ idle eroticism, conjoined with filmmaking, is housed at Casa Malaparte, that house of views suspended on a promontory over the sea of Capri. Godard, who admits to having remade _Voyage in Italy_ , filmically reinterprets a most seductive twentieth-century Mediterranean architecture: the house, where architecture is engaged in dialogue with topography, becomes the place in which characters disconnect from the landscape of their lives.\n\nAs location, Naples is a constructed geography; collected in representational fragments, its mapping is an effect of the cultural imaginary. Naples is a place displaced and fabricated, which can even be \"set\" miles away from the city itself. The Naples of Hollywood, more Naples than Naples itself, embodies a paradox: in order to make its architecture appear real, overfabrication is required. The hyperreal city of Frank Borzage's _Street Angel_ (1928) is such a fiction: the city of Naples too perfectly reconstructed in a film studio. From baroque churches to alleyways, Hollywood's Naples is a city imaged by people who may never have been there and who therefore have tried to match the reality of a fiction. More real than the original, this is _real_ fantasy. Here the real city meets the reel city; it is a replicant, which is never just a copy of the original. The city remade in a film studio is a geography in its own right. It is a cine city\u2014a lived city, traversable and habitable on its own geopsychic terms, both visually and aurally.\n\nThe audio track is an important part of this urban construction. As Wim Wenders demonstrates in his _Lisbon Story_ (1994), soundscapes define cities: they construct urban spaces and make them into specific places and sites of memory. As inhabitant-spectators of the haptic architectural journey, we are deeply affected by the sounds of a city. Naples has a particular sound. With its penchant for musicality, it has been the setting of many musical film stories. The sounds of Naples include the local _sceneggiata_. These musical melodramas endured from the \"silent\" 1920s, when there was actually live accompaniment, through the sound period. Some aspects survived and were reinvented over the course of the development of the post-World War II popular cinema, from the films of Roberto Amoroso to the recent movies of Nino D'Angelo.\n\nMusicality, noise, and body language defined the cine city that gave birth to Elvira Notari (1875\u20131946), Italy's first and most prolific woman filmmaker, for whom Naples was a permeable and transient city-body. This \"located\" physiognomy later resounded in the work of the actor Tot\u00f2 and in that of the playwright-actor Eduardo De Filippo, who adapted and directed many of his own plays for the screen. This Naples was envisaged as a \"plebeian metropolis,\" to use the expression of Pier Paolo Pasolini, who, also working with situated physiognomy, offered poignant visions of the city as a film body.\n\nThe musical corporeality of Naples has lent itself to filmic representations of popular culture and street life. These views were not always produced locally, and they always functioned in _transito_. A most interesting case is the cinema fabricated for and by Neapolitan immigrants in the United States. In the immigrant film _Memories of Naples_ (1931), for example, the city itself emigrated, functioning as a displaced home for those whose own sense of home had been complicated by emigration. In the immigrant cinema, the reinvention of Neapolitan _dal vero_ acted as an imaginary journey: the impossible voyage of a return home.\n\nOn the city map, the immigrant cine city met other traveling versions of a popular Naples. Views that portray a city of the poor span the history of sound film, from Alessandro Blasetti's 1932 _La tavola dei poveri_ ( _The Table of the Poor_ ), a film version of the trenchant play by Raffaele Viviani, to Werner Schroeter's _Neapolitanische Geschwister_ ( _Kingdom of Naples_ , 1978), which follows the postwar story of a poor Neapolitan family over the course of thirty years. Over time, the image of Naples as a plebeian metropolis\u2014not always innovative and marred by overrepresentation\u2014has teetered on the verge of stereotype. The musicality and street life of the city ultimately have been transformed into an internationally constructed folklore.\n\nA situated critique of such a vision is offered by Francesco Rosi, who claims to portray the city \"from within the position of a city dweller.\" His film _Le mani sulla citt\u00e0_ (1963) denounced the corrupt \"hands over the city\" long before this corruption reached public exposure. Here, Rosi eschews the folkloric version of Naples for quite a different image. In establishing shots and frequently inserted panoramas that make use of tracking, the film documents the building of a new city. The bombed city of neorealism here becomes the city of the \"economic miracle,\" a huge new construction site. Naples, like most West European cities, was subjected to radical urban shifts in the 1960s. Building by building and condominium by condominium, the periphery of the city expanded, creating new notions of metropolitan living. Unlike Antonioni, Rosi criticizes the politics of postwar architecture\u2014as Godard would do for Paris in _Deux ou trois choses que je sais d'elle (Two or Three Things I Know about Her_ , 1967). Godard, like Rosi, exposed the weak links between capitalism and modernization as he turned the new Paris of \"the exterior boulevards\" into an _Alphaville_ (1965). Rosi's own architectural critique is a specific political analysis denouncing corruption and the role of the local mafia, the _camorra_ , in the building of the new Naples.\n\nThe cine city has rendered shifting architectural forms of living\u2014in postwar to contemporary incarnations\u2014that dwell on the threshold of narrative and lived space. A film such as Mario Martone's _L'amore molesto_ ( _Wounded Love_ , 1995) extends the trajectory of Rosi's _Hands over the City_ as it sketches a new urban narrative alongside an architectural commentary. The city Martone narrativizes here is not the baroque public sphere of his previous city film, _Morte di un matematico napoletano (Death of a Neapolitan Mathematician_ , 1992). _L'amore molesto_ rather documents a radical urban change, as does his _Teatro di guerra (Rehearsals for War_ , 1998). Naples, \"the only true Italian metropolis,\" is shown undergoing an interesting postindustrial phase. A seat of urban movements, this new-old Naples has become a productive site of the \"New New Italian Film,\" which has effected a Renaissance of Italian cinema in the 1990s.\n\nThe new wave of Italian filmmaking, of which Martone and Pappi Corsicato are leading figures, in fact has its center in Naples, where \"Vesuvian\" filmmakers such as Antonietta De Lillo ( _Matilda_ , 1991, and _Una casa in bilico_ , 1986, both co-directed with Giorgio Magliulo; and _Racconti di Vittoria_ , 1996), Antonio Capuano ( _Vito e gli altri_ , 1991; _Pianese Nunzio 14 anni a maggio, 1996; Polvere diNapoli_, 1998), and Stefano Incerti ( _Il verificatore_ , 1995) are creating a \"situated\" cinematic image of the city. A composite map of this geography is designed in _I Vesuviani_ (1997), an omnibus film authored by all five filmmakers, who confront diverse aspects of their urban genealogy. Contributing to the filmic map of the area are also Giuseppe Gaudino, screenwriter of Gianni Amelio's _il ladro di bambini (The Stolen Children_ , 1991) and _Lamerica_ (1994) and author of the \"volcanic\" _Giro di lune tra terra e mare (Moon Spins Between Land and Sea_ , 1997); and Edoardo Winspeare, who as a distant observer made _Pizzicata_ (1996). This regional urban cinema was preceded in the 1980s by the work of Salvatore Piscicelli, whose filmography, deserving more attention than it has received, includes _Immacolata e Concetta_ (1979), his study of lesbian love in the city; _Le occasioni di Rosa_ (1981); _Blues metropolitano_ (1985); and _Baby Gang_ (1992).\n\nAn agent of evolving metropolitan textures, Neapolitan cinema is exploring new as well as ancient locations, prominent among which is \"downtown\" Naples. Next to the baroque and rococo architecture in the piazze and alleyways of the plebeian historic center, an actual downtown has been erected. It is the first of its kind in Italy, where the phenomenon of downtown, until now, has had no equivalent. The central skyline that defines so many American cities does not exist at all in Italy, and the Vesuvian incarnation is a unique urban experiment. Naples' \"downtown\" is an imported city in many ways, for the web of skyscrapers was planned by the Japanese architect Kenzo Tange. Called _centro direzionale_ , it was designed to house a combination of businesses and residences, creating an alternative administrative center and relieving the overcrowded _centro storico_ , the historic center of town. A somewhat aseptic cityscape, this polished downtown has never really taken off. The area remains scarcely inhabited and is progressively closing in on itself. Walled in for security reasons, it is surrounded by bustling metropolitan circulation. The desolate, hightech downtown, partially burned down before it was even finished, is set between the train station and the industrial area, next to popular and overcrowded old neighborhoods, the debris of the city's fruit market, and the relics of a notorious \"hot\" junkyard. It is here that Naples truly appears as sequel to _Blade Runner_.\n\nThis fabricated city\u2014a displaced Japanese urban map\u2014is the frequent setting for Pappi Corsicato's local yet transnational filmmaking and plays a major role in his _Libera_ (1993). From his first feature, the director of _I buchi neri (Black Holes_ , 1995) has been enamored with the edges of the metropolis. The recognizable geography he often depicts could, nevertheless, be elsewhere. It is almost always a cinematic elsewhere: Corsicato's queer cinema represents urban, hybrid socio-sexual margins with an ironic, topocinephilic touch. He can make the landscape of Naples into a global or morphed space, as when he films a local resort area as if it were the site of a 1970's American road movie. _Libera_ depicts life in a downtown skyscraper in the same parodic way and makes it ecologically incorrect. Here, apartments are equipped with such essential domestic accessories as the \"eco-light,\" a policing device that detects unnatural fabrics and lights them up. Activating polyester attire in this way, it transforms the outfits into amazingly seductive glowing textures as it offers a tour of new fashions in the newly designed city of micro fibers.\n\nThese are the novel pictures (and picturesque) from Italy: a continuing \"rapid diorama\" of a city that resists control and reinvents itself on the margins. _A suivre_.\n\n### A FILMIC GRAND TOUR\n\nAgainst this panorama of the city cinema, let us now restage Roberto Rossellini's _Voyage in Italy_ , critically remapping a film that also has been known as _Strangers._ In this context, _Voyage in Italy_ appears as a fragment of a larger map drawn for touring the (cine) city. If, as Michel de Certeau claims, \"every story is a travel story\u2014a spatial practice,\" this is particularly the case for _Voyage in Italy_ , a film in which, as Andre Bazin put it, the city is drafted as \"mental landscape.\" A cinematic voyage of this kind, the movie virtually defines architectural tourism.\n\nThe story concerns a house. An uncle\u2014significantly named Homer\u2014who had left his British motherland and made a home for himself in the famed Mediterranean bay, has passed away. A wealthy English businessman and his wife travel to Naples to deal with the aftermath of his death and claim the house he has left them. While Alex wants only to liquidate the situation and sell the house, Katherine embraces the trip and its deadly trajectory. On the road and in the house they progressively grow apart, becoming strangers to themselves and to one another.\n\nIn its presentation of topophilia, the film seems almost entirely an excuse to construct an architectonic view in motion of the city and its surroundings. Constructed as a showcase for the sites, it barely has an actual plot, in fact; in the conventional sense, one could say that nothing happens. We follow the couple as they journey down to Naples, accompany Katherine on her Neapolitan tours, and travel with Alex as he visits the island of Capri. As Ingrid Bergman recalled, Rossellini \"was only looking for a story into which he could put Pompeii and the museums and Naples and all that Naples stands for, which he was always fascinated with.... He wanted to show all those grottoes with the relics and the bones and the museums and the laziness of the statues.\"\n\nIn this sense, _Voyage in Italy_ further develops Rossellini's narrative style, often so descriptive and topophilic that the story, produced from this love of place, comes to \"suit\" itself to the landscape. _Stromboli_ (1949), for example, another work from the director's \"Bergman period,\" is constructed literally around elements of geology and topography. The story is generated from\u2014indeed, made possible by\u2014the harsh landscape of the island, dominated by an insurmountable volcano that radically separates the two villages located there. Insurmountable also is the emotional and cultural difference that separates the heroine, a \"stranger\" in town, from her husband, a native of the island. Her difficulty in communicating across cultures and her dreams of escape are inscribed in the landscape and mapped onto the topography of the land. In the end, she will literalize her flight from the restrictive socio-sexual customs of the village by climbing the volcano in an attempt to reach the other side and freedom. Similarly, the fictional deployment of _Voyage in Italy_ is overwhelmingly determined by site and carried by the topography of the land and its geological fiber, in sheer travelogue fashion.\n\n### ILLUSTRATED VOYAGES\n\nFollowing the well-known script of the picturesque voyage, _Voyage in Italy_ takes us on a grand literary tour. A step-by-step reconstruction of this long traveled path, the film, intertextually bound to the visual imaging of travel culture, is particularly attuned to the art of describing of travel writing. We have seen how traveling artists often accompanied writers on their journeys, creating travelogues that combined city views, landscape paintings, field glasses, compasses, topographic material, and maps. _Voyage in Italy_ represents a film version of this composite traveling pleasure. In fact, the film's text has observational antecedents in travel diaries such as _Beaten Tracks, or Pen and Pencil Sketches in Italy by the Authoress of a 'Voyage en Zigzag'._ What Katherine chooses to do in Naples, the sites she decides to visit, and the ways in which she tours the country correspond to the practices established in these accounts. Although she has substituted a camera for the easel, the film takes the same road to \"picturing\" that British traveling followed well before the invention of cinema: the classic tradition of the grand tour taken by northern Europeans and avidly recounted in writing. It is this \"Voyage in Italy\" that provides historic documentation for our female traveler, who follows literally in its footsteps.\n\n11.3. A sketch of Naples sent from _The Sisters Abroad: or, An Italian Journey_ by Barbara H. Channing, 1856.\n\n_Voyage in Italy_ is in many ways an archaeological dig. Like the grand tour, Rossellini's filmic version is consonant with antiquity and surveys the land with a painter's eyes. The Latin writers still inhabited the land that the grand tourist and later travelers visited during their voyages in Italy. When this classic journey ended in Naples, voyagers lingered there to absorb its beauty and history. Admiring the landscape, they searched for \"the qualities that they appreciated in the most fancied landscape painters: a Poussin, a Claude Lorrain, a Salvator Rosa. The Neapolitan region was considered the most beautiful in the world.\" The traveler to Italy thus searched for the emotion of a painted, cultured landscape and remapped that particular experiential site that is the painterly imaginary. \"Framed\" by painterly contours and writerly profiles, this was a voyage of the geographical imagination; traveling to Italy was another way of fashioning landscape imaging.\n\n### TRAVEL LECTURES\n\nAs it follows the grand tour and various forms of picturesque voyage, _Voyage in Italy_ offers an historic travel lecture in the most literal sense\u2014a lecture of the kind that was fashionable in those prefilmic times that gave rise to the travel film. In its characterization of sites, the film in fact reproduces the actual scenography of the illustrated travel lecture. Looking backward into the history of travel culture, it thus reinvents the very genealogical discourse that produced the cinema. We have shown how, at the inception of film history, the desire for travel lectures anticipated the establishment of filmic spectatorial pleasures that were geographic in nature. John L. Stoddard was one of the most prominent lecturers, who gave illustrated talks on Naples and published their contents and images. His lectures reveal the historical construction of topophilia in the form of a traveling mosaic:\n\n_The Bay of Naples holds within its curving arms the history and legends of two thousand years. Few spots on earth awaken such absorbing interest. Not one surpasses it in beauty. Even in this prosaic age it still remains a copious fountain of romance. Year after year, and century after century, the worshipers of Nature from all lands have come to its... bay._\n\nThe narrative of Stoddard's travel lecture and the pictures that accompany it \"illustrate\" Naples in the same way Katherine and Alex show it to us. He notes how \"the tourist... feast(s) his eyes only on the grand, incomparable view,\" but \"in the heart of the city... noise, rags, dirt,... torrents of humanity\" inhabit the streets. He takes us also to Pompeii, which \"places the historian and the thoughtless tourist upon practically the same ground.\" This landscape of ruins, together with the famed island of Capri, offer \"enchanting scenery.... [One] can hardly imagine a more picturesque situation.\" Moving from the aerial views of the bay to street scenes and the sites of Capri and Pompeii, _Voyage in Italy_ offers a similar narrative tour of the city; in so doing, it creates a late filmic version of the travel genre that constructed the very scene of film narrative and its language and evokes the form's implicit ideological perspectives.\n\n### EAST OF EDEN\/SOUTH OF THE WEST\n\nAlex, in particular, appears to share a number of Stoddard's views of travel in Italy. Both display an attitude that at times makes Naples as \"exotic\" as any destination in the Far East might seem, especially when they observe the Neapolitan's relationship to food. Stoddard writes in his travel lectures:\n\n_One night, in driving through a market-place, we saw a vender of spaghetti. Stopping the carriage, I paid him to distribute twenty platefuls to the people, that we might watch them eat it.... In three minutes our cab was like an island in the sea of roaring, struggling humanity.... The instant that one wretched man received a plate a dozen others jumped for it; and four or five black fists grabbed handfuls of the steaming mass, and thrust the almost scalding mixture down their throats. I had expected to be amused, but this mad eagerness for common food denoted actual hunger_.\n\nWatching Neapolitans eat as if on display at a zoo is a \"curiosity\" that traveled intact from Stoddard's travel lectures to the travel-film genre. _Eating Macaroni in the Streets of Naples_ (Edison, 1903) cinematically recreates Stoddard's verbal and photographic scenario in a frontal medium-shot that solicits an identical gustatorial show from the \"natives\": a \"roaring, struggling humanity\" manually thrusting down their throats those funny noodles that one finds south of the West.\n\nApproaching the south, Alex, too, appears uneasy. The male protagonist of _Voyage in Italy_ begins to fear an explosion of the flesh. As a British traveler, he may be in danger there. His coolness, alas, may be disturbed. Too much body heat. Not to speak of the spicy food. That sunny southern European land is said to be inhabited by noisy people and plenty of insects. He may even be in danger of catching malaria. The \"Continent\" is full of surprises for Alex, and being in a foreign land provokes in him the anxiety of the hegemonic viewpoint: a part of Europe becomes _terra incognita_ on his cultural map.\n\nIn _Voyage in Italy_ , Western culture emerges as a mosaic of diversified imagings, out of compliance with the unified and unifying concept it is sometimes imagined to be. The monolithic view of Eurocentricism fails to explain a number of multilayered historical phenomena and cultural geographies that make up the West. Difference and the \"dangers\" of otherness reign on the cartography of \"-ism,\" which is not a unitary view but an extremely fragmented map. As recent European history sadly suggests, Eurocentricism, like Orientalism, is a complex projection. Otherness and sameness inhabit this discursive house of mirrors.\n\nIn many ways, the voyage to Italy has been a participant in the (touristic) colonization of the West. Italy was the site to which northern Europeans went in order to acquire the cultural sensibility to establish power back home and to affirm the superiority of their nationalities. Thus propelled by voyage, a phenomenon of \"orientalization\" has shaped sections of the European land and become part of the internal history of Europe. The resulting cultural map shows that geography is not a science: its cardinal points are not always objectively fixed. In the cultural geography to which the history of travel belongs, there is a \"South\" of the West, which is actually an East.\n\nThis geographical descent has affected the history of Naples in particular. In the literary imagination that over the centuries constructed it as a traveled topos, Naples has been \"viewed\" as a non-Western Western city. At times, it is seen as a \"porous\" version of \"the African kraal,\" as Walter Benjamin and Asja Lacis put it in their reflections on the city. Naples is also often represented as an Oriental city. In this process of displacement, the British perspective has played an important role by magnifying its un-Westernness. Norman Lewis, a British writer and intelligence officer who authored a book of memoirs entitled _Naples '44_ , observed, for example, that: \"Naples is extraordinary in every way. At the end of the last century, Scarfoglio, leading Italian journalist of his day, wrote, 'This is the only Eastern city where there is no residential European quarter,' and the witticism still seems to hold good.\" Through Alex's eyes, _Voyage in Italy_ recapitulates the classic voyage of the British traveler to Naples. Here, the voyage in Italy may as well be \"a passage to India.\" Alex holds good the idea that Naples is even more Eastern than the East. There is no sign of European quarters in this uncolonized, rather uncolonizable city of exotic habits. Driven by leisure and lust, the place somehow manages \"to mix noise and boredom,\" in Alex's words. \"This country poisons you with laziness,\" he says.\n\nAlex's filmic voyage in Italy bears the scent of many tourist guidebooks. At the time the film was made, the _Blue Guide_ described the voyage to Naples as it would a voyage to Bombay, especially alerting travelers to beware of beggars, _scugnizzi_ , and _lazzaroni:_ \"In Naples the persistent attention of small boys, rarely innocent whatever their age, should be firmly but kindly discouraged.\" A creation of \"types\" has taken place in such travel discourse, which as Roland Barthes has pointed out, closely involves geography\u2014itself constructed as any other cultural landscape. As he writes: \"The _Blue Guide_ hardly knows the existence of scenery except under the guise of the picturesque. The picturesque is found any time the ground is uneven.... Just as hilliness is overstressed to such an extent as to eliminate all other types of scenery... for the _Blue Guide_ , men exist only as types.\"\n\n### THE VOYAGE IN ITALY FROM A WOMAN'S TRAVELING DESK\n\nIn Rossellini's version of the voyage in Italy, Alex's orientalizing view is not entirely shared by Katherine, who tries to see the country through a different set of glasses, to venture beyond her husband's typological perspective. As a female traveler to Italy, Katherine steps into a complex social history of travel. With some exceptions, the grand tour in the seventeenth and eighteenth centuries had been the domain of mostly upper-class northern males. But the beginning of the nineteenth century saw more and more women undertaking the voyage in Italy and establishing their own set itinerary. In 1802, Mariana Starke published the letters she had written during trips she made between 1792 and 1798; her _Travels in Italy_ paved the way to a number of female publications describing women's travels. The voyage in Italy was fictionalized by Germaine de Sta\u00ebl in her 1807 book _Corinne, or Italy._ It fascinated women like Mary Shelley, who wrote of her travels in _Rambles in Germany and Italy_ , as well as many \"anonymous\" authors of letters, memoirs, diaries, and reports.\n\nSurveying this \"minor\" literature, we observe the making of a gendered voice. Women's travel reports on Italy pay attention to areas of existence that are not much explored in the male literature. Their curiosity touches on various aspects of Italian daily life: they report on people's habits and behaviors, commenting on the different ways social and private lives are organized, and include copious details on domestic life and the _space_ it occupies. Here, the status of women and the forms of their existence are given \"room\" for consideration in a type of writing that appears concerned with space in all of its expressions.\n\nIn women's versions of the voyage in Italy, a visit to Naples' archaeological museum (where Pompeiian statues, frescoes, and artifacts are displayed) or to Pompeii itself is often accompanied by observations on the life in this ancient site and the ways in which it compares with current modes of living. Diary entries such as the following are much concerned with the \"design\" of everyday life: _We entered Pompeii by the streets of the tombs: near them are the semicircular seats, so admirably adapted for conversation that I wonder we have not sofas on a similar plan, and similar scale..._.\n\n_The streets of Pompeii are narrow, the houses are very small, and the rooms, though often decorated with exquisite taste, are... dark, confined and seldom communicate with each other, but have a general communication with a portico.... It is evident that the ancient inhabitants of this lovely country lived like their descendants mostly in the open air, and met together in their public walks, or in the forums and theatres.... The houses seem constructed on the same principle as birds construct their nests; as places of retreat and shelter, rather than of assemblage and recreation._\n\nFemale travelers to Italy comment on architecture and interior design as well as food and fashion as part of their concern for the history of habitual matters. Indeed, these diaries show how profoundly linked these spaces are as forms of habitation. This is evident, for example, in Mrs. G. Gretton's _Impressions of Life_ (an account of _The Englishwoman in Italy)_ or in Mrs. Ashton Yates's _Winter in Italy in a Series of Letters to a Friend._ This latter female traveler focused her eye on display and incorporated its wearable and digestible pleasures into her life. As we browse with her through a cultural archive, it comes alive\u2014as when her visit to Naples' museum becomes a type of urban shopping trip:\n\n_Though tea may have been unknown at Pompeii, fruits were not; for a dessert found there is laid out, consisting of walnuts and other nuts, prunes or plums, figs and currants.... I must not forget, whilst on this subject, to notice a full set of the paste-cutters, such as confectioners of the present day employ in the manufacture of ornamental pastry..._.\n\n11.4. A voyageuse at her traveling desk: portable table and library designed by Louis Vuitton, Paris.\n\n_We saw a glass-covered table in the middle of the room, which displayed necklaces, pins, bracelets, earrings & c., composed of coloured stones and gold finely wrought, all apparently of the most modern description, though fabricated there is no saying how much more than eighteen centuries ago..._.\n\n_We could no longer remain at the Museo; the doors were closed; so whilst our impressions were recent as to bracelets and other ornaments worn by the belles of Pompeii, we repaired to our jeweller's to see if he was executing some we had ordered in strict accordance with the antique models we had been examining._\n\nAs we pointed out earlier, women travelers often employed fashion in their writing as the basis for creative and cultural analysis. Travelers to Italy were no exception. They widely discussed clothing and fashions of space as signs of cultural difference bound up with gender difference. Travel in Italy also turned women from fashion critics into fashion designers: affected by the strictures of costumes that were not designed for venturing, female travelers sometimes designed their own traveling attire, shaping their image on the road.\n\n### LUGGING AROUND CULTURAL BAGGAGE: FASHIONS OF TRAVEL\n\nThe sartorial concerns of female travelers included the luggage that contained their garments, which is often pictured in the sketches that accompany their travel reports. Indeed, one can read the entire history of travel by looking at baggage and considering its contents and transformations. In reading women's diaries of travel in Italy and in roaming through a private museum of voyage such as Louis Vuitton's, it becomes clear that a gendered history of social mobilization molds the history of design. Acquiring \"a room of one's own\" implies a fundamental movement, for to own such a space one must gain mobility; the room itself must move. The diversification of means of transportation in the age of modernity and women's impact on this aspect of modern life is written on the very \"fashioning\" of traveling objects. Traveling wardrobes as well as traveling beds and traveling desks in many ways mobilized our lady travelers and their space. Equipped with traveling desks, women could write their reports and journals on the road. Prefilmically, observations could be constructed as the travelers moved along a changing terrain.\n\n11.5. The travel vogue of 1896: a model presents a shoe trunk from the collection of Louis Vuitton.\n\nThis mobilization becomes particularly important if we continue to understand it in relation to a concomitant \"interior\" movement, for landscape is not only a matter of exteriority: the impact of landscape extends inward, into one's own interior landscape. The mobilization of one potentially impacts the expansion of the other. This is possible because, as Madeleine de Scud\u00e9ry's _Carte de Tendre_ shows, exterior and interior are representationally connected: the geographical imagination includes and traverses both. This is especially manifest in women's travel culture. Here, one is drawn to topography: the land provokes an emotional response; geography is a way to express one's feelings. It becomes a vehicle for emotions that may not surface otherwise. From early travel diaries all the way to _Voyage in Italy_ and _L'amore molesto_ , geography has drawn on psychic paths. Women's self-portraits become pictured on the \"face\" of the earth. Physiognomy\u2014from the unclothed surface of the skin to the earth's surface\u2014appears to guide the tour.\n\nOn the face of geography, the history of women's travel reveals itself as a voyage of self-discovery. In this type of exploration, the Italian landscape was a favored site: a land much dreamt of and especially desired by female travelers. With its picturesque qualities, teeming with historic memories, the Italian landscape particularly lent itself as a vehicle for women's subjective, psychic voyages. Loaded with mnemonic ties, the voyage in Italy provoked a personal response from women. It connected history with their own stories, memories with their pasts. Traveling in Italy was this _emotion_.\n\n### A CARTOGRAPHIC ACCOUTREMENT: THE TRAVEL DIARY\n\nAs if hearing voices from the female voyagers who preceded her in self-discovery, Katherine composes her own filmic version of the voyage in Italy. Like Charlotte Vale, the protagonist of _Now, Voyager_ , she, too, embarks on a voyage of transformation\u2014a \"refashioning\" of the self. In order to picture Katherine's journey, we must unravel an entire montage of transhistorical traveling images and look at the city composed in these journeys as a traveling map. In doing so, we will invent a topography. Here, pictures, maps, and citations unfold like a map from a travel guide. Like most travel writing, this will be a personalized guide.\n\nIn preparation for the montage of travel writing that accompanies Katherine's voyage in Italy, we might call again on Anna Jameson, author of the semi-autobiographical and semi-fictional _Diary of an Ennuy\u00e9e_ , who introduces us to the tactile pleasure of opening a travel diary, that essential accoutrement of cultural mapping, for the first time. It is 1826. With a diary in hand as her cartographic tool, she sits at her traveling desk and begins her travel\/writing:\n\n_What young lady, travelling for the first time on the continent, does not write a \"Diary?\" No sooner have we stept on the shores of France\u2014no sooner are we seated in the gay salon at Dessin's, than we call, like Biddy Fudge, for \"French pens and French ink,\" and forth steps from its case the morocco-bound diary, regularly ruled and paged, with its patent Bramah lock and key, wherein we are to record and preserve all the striking, profound, and original observations\u2014the classical reminiscences\u2014the thread-bare ruptures\u2014the poetical effusions\u2014in short, all the never-sufficiently-to-be-exhausted topics of sentiment and enthusiasm, which must necessarily suggest themselves while posting from Paris to Naples._\n\n### GRAND TOURS OF EMOTION\n\nFebruary 28\n\n_We spent today in ecstasies over the most astonishing sights. I can forgive anyone for going off his head about Naples.... One... could never be really unhappy because his thoughts could always return to Naples.... My eyes pop out of my head_.\n\nMarch 1. Evening\n\n_Who has not had the experience of being swept off his feet...? How shall I describe a day like today?\u2014a boat trip; some short drives in a carriage; walks on foot on some of the most astonishing landscape in the world; treacherous ground under a pure sky; ruins of unimaginable luxury, abominable and sad; seething waters; caves exhaling sulphur fumes..._.\n\n_The map I made on the spot for our use and a quick sketch of Tischbein's will be of great help..._.\n\nMarch 11\n\n_As Tischbein and I drove to Pompeii, we saw on every hand many views which we knew well from drawings, but now they were fitted together into one splendid landscape..._.\n\n_The mummified city left us with a curious, rather disagreeable impression_.\n\nJohann Wolfgang von Goethe\n\n11.6. A moving map: Giovanni Carafa, duke of Noja, _Topographical Map of the City of Naples and Its Surroundings_ , 1775, folio 8. Engraving.\n\nAs a foreigner in Italy, Katherine is more motivated than her husband, Alex, to travel the city and visit the sites. Museums, as he puts it, bore him. He would rather seek fun in Capri or pick up a prostitute than go on her \"pilgrimages.\" Over the course of the film, Katherine makes five canonical touristic journeys, following the animated path of Goethe's famed _Italian Journey_ and its various offshoots. In the first, she pays a visit to the museum of Greek and Roman antiquity. The Museo Nazionale has long been a must-see for the cultivated traveler, and in this famed archaeological museum, Katherine, too, admires the beauty of the statues. From there she travels to the grotto of the Cumaean Sibyl, the ancient sanctuary where, as Virgil recounts, Aeneas went to consult the prophetess. As we learn from women's travel reports, the Sibyl had particularly fascinated female travelers, for she was a \"modern\" woman _ante litteram_ , \"fond of traveling\" and so skilled at dealing with money that, had she been able, she would have enjoyed playing the stock market:\n\n_The Cumaean Sibyl... offered for sale to Tarquin, king of Rome, the books of the oracles; he at first declined the acquisition, upon which she burned several... [and] demanded still more for the few that remained.... He, like a paltry customer, was obliged to submit.... There was no putting in the funds, nor purchasing of railroad shares in those days; so what investment she made of her money, history does not inform us..._.\n\n_Like modern ladies, it seems she was fond of travelling, and often left home._\n\nAfter the visit to Sibyl's cave, Katherine continues her descent into the depths of the region, traveling to see the sulfurous vapors that rise from the volcanic soil of the earth at Solfatara. A visit to the catacombs follows, where she finds a morbid display of skeletons. Finally, she makes the essential trip to the dead city of Pompeii, thus completing her \"picturesque\" voyage in Italy.\n\nThe purpose of Katherine's tour, as it was in the tradition of the picturesque voyage, is to feed the intellect with intense aesthetic sentiment. Katherine emotionally revisits an ancient body of work in her pilgrimage to the various sites that house traces of Roman and Greek culture. In a geography marked by the depth of history, her terrain becomes the ruins of the past. Traveling this picturesque topography, from caves to volcanoes, it is Virgil who still guides her trip. And it is view painting which she adopts as the lens through which to frame her views and guide her picturing.\n\n_Voyage in Italy_ consists primarily of Katherine's journey and \"chronicles\" the series of outlooks she has on the land. As it offers this record, an intimate report of her tour, the film is conceived as a diary, like many women's travel books. It unfolds as a montage of observations and reflections made by a woman to herself, which, in travel writing, also become letters written to friends and postcards sent to distant viewers. The filmic architectonics follows this diaristic model. How many times does one read in female travel diaries entries beginning with phrases such as \"we have been today to...\" and \"then we went to... \" and \"next came...\"? Description by description, the tourist site-sees in the very way the filmic tourist observes. Sequence by sequence, in the style of a travel report, the film moves us from site to site. From outside in, and inside out.\n\n11.7. The _emotion_ of mapping continues in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 9. Engraving.\n\n### AN UNSETTLED URBAN MAP\n\n_Naples' surroundings are the most beautiful in the world. The destruction and the chaos of the volcano drives our souls to imitate nature's criminal hand_.\n\nMarquis de Sade\n\n_Naples is a city that has the structure of a novel. The streets are full of stories that ask to be transcribed. But Naples' narrative can only be a baroque and surrealist novel, unfinished, unresolved, contradictory_.\n\nTahar Ben Jelloun\n\n_Naples, like Paris, is a great capital city_.\n\nStendhal\n\nKatherine enters the ex-capital by car and, in so doing, commences her own mobilized travel story. Her baroque, unfinished, unsettling novel unfolds at the speed of modern travel. The town's ruinous air immediately affects her. The volcano's destructive hands take hold of her, beginning to tear both her and her marriage apart. She can feel that this city has quite a shaky history. It is written onto its soil. Through the frame of the car's window, Katherine looks, puzzled, at its \"moving panorama.\"\n\n11.8. The makeup of a woman's voyage: panorama from the dashboard of _Voyage in Italy_ (Roberto Rossellini, 1953). Frame enlargements.\n\n### A MOVING PANORAMA\n\n_Now they were in the much longed-for Bay of Naples, and Helen's heart beat faster as she tried to remember how she used at home to think it would look, before she ever dreamed of seeing it with her own eyes..._.\n\n_Our travellers held their breath, as their eyes caught, one after the other, the different points of this wondrous panorama..._.\n\n_They drove through the long, narrow streets, which intersect continually. Crowds of priests, women, children, donkeys, vehicles of wonderful shapes, cooking operations, selling, boot-cleaning, and everything else imaginable, form this moving panorama.... Naples... appeared both idle and gay in its bustle_.\n\n[Barbara H. Channing], _The Sisters Abroad_\n\n11.9. A panoramic _veduta_ in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 27. Engraving.\n\n11.10. A panoramic _veduta_ from _Voyage in Italy_. Frame enlargement.\n\nKatherine has arrived in Naples with a guidebook in her hand. Like many earlier female travelers on their voyage to Italy, she too has expectations about the city, and has nurtured them through reading. She thinks she is prepared. Yes, there is the famous bay, laid out as a moving cinematic picture postcard. She takes in the panorama but, like the anonymous \"sisters abroad,\" is more attracted to the \"moving panorama\" of the metropolis.\n\nShe drives herself through the city, through the long and narrow streets, which intersect continually. At every crossroads she looks through the window at all that composes the city's moving geography. Priests walking under Communist party posters, women, children, animals, vehicles of all kinds, cooking operations, processions, and everything else imaginable form the moving panorama of this (un)picturesque city.\n\n### (UN)PICTURESQUE CITY\n\n_Lovers and hunters of the picturesque, let us not keep too studiously out of view, the miserable depravity, degradation and wretchedness, with which this gay Neapolitan life is inseparably associated!... Painting and poetising for ever, if you will, the beauty of this most beautiful and lovely spot on earth, let us, as our duty, try to associate a new picturesque with some faint recognition of man's destiny and capabilities_.\n\nCharles Dickens\n\nThe moving panorama that Katherine pictures for us as she drives through the streets of Naples, looking through the frame of her car window as if through the framed view of a _mondo nuovo_ box, is indeed a \"new picturesque.\" Her gaze does not block from view the depravity, degradation, and wretchedness\u2014that dark side which is inseparably associated with gay Neapolitan life. Unlike Alex, she is not horrified by it. She becomes topophilically attracted to it. She moves closer to the city-body.\n\n11.11. Soundscape: \"the orgiastic cult of noise\" in an (un)picturesque city, from _Voyage in Italy_. Frame enlargements.\n\n### CITY-BODY\n\n_Naples is not, like Venice, Florence, and Rome, one of the cities of the soul. You are too constantly deafened; reverie and contemplation are perpetually interrupted; you... must shut yourself up with the silent company of the statues; you cannot live in the past; you are too much jostled; you are overcome by the continual fever, the sterile activity, the indefatigable and idle curiosity which stir so many thousands of beings_.\n\nAuguste Laugel\n\nNaples is not a city of the soul; it is a city of the body. Or rather, its body is always in the way of rarefied emotions. Cinematic at heart, the corporeal Naples defeats any attempt at contemplation. It shows itself only in constant (e)motion. Katherine is astounded at the continual fever that drives it, the indefatigable and idle curiosity that stirs the population. One is constantly deafened here by the incessant clamor. And all that music. An \"orgiastic cult of noise.\"\n\n### SOUNDSCAPE: AN ORGIASTIC CULT OF NOISE\n\n_Why not talk about the orgiastic cult of noise?... When the Neapolitan fulfills his utmost desire and goes to buy a motorcycle, he will systematically try them all out in order to keep the one that makes the most noise. I will never forget the opening of the underground railway, which was inaccessible for days, for all the ticket counters were besieged by street kids whose screaming was louder than all the noise made by the train and who, during the trip, filled the gallery with piercing cries_.\n\nWalter Benjamin\n\nIf sound builds the urban landscape in movement, this is particularly true for Naples: it is not only a musical city, as we have seen, but a noisy one. Filmic city tours such as Rossellini's _Voyage in Italy_ and Martone's _L'amore molesto_ have interestingly \"pictured\" the Neapolitan cityscape through its sound. In this latter film, the city's soundscape stands out for its loudness and for its maddening quality\u2014the silencing effect of its noise. While human cries and the clamor of traffic today combine to drive everyone happily mad, _Voyage in Italy_ was made before machines had significantly added to the human propensity for the \"orgiastic cult of noise.\" Here, then, the orgy of human sounds becomes even more pronounced and is an essential element of the filmic voyage. Sound is everywhere in the film: from the credit sequence on, it is a continuous presence that has an existence of its own, even outside of narrative motivations. From the very moment Katherine and Alex arrive at the dead uncle's house, the streets of the region appear to be inhabited by the interactive sound of objects, voices, and singing. This nondiegetic sound track is not at all a musical accompaniment, secondary to the picture. It is the picture\u2014the very portrait of the city.\n\n### RHYTHMANALYSIS OF A MEDITERRANEAN CITY\n\n_Rhythms: music of the City, a picture which listens to itself, image in the present of a discontinuous sum. Rhythms perceived from the invisible window, pierced in the wall of the facade..._.\n\n_This analysis of rhythms, in all their magnitude 'from particles to galaxies,' has a transdisciplinary character. Moreover, it gives itself as aim the least possible separation between the scientific and the poetic_.\n\n_In this manner we can try to draw the portrait of an enigmatic personage wandering the streets of a large Mediterranean city..._.\n\n_Venice... Syracuse, Barcelona, Palermo, Naples and Marseilles.... Cities given over to tourism who fiercely resist homogenization, linearity, rhythms of the 'other'_.\n\nHenri Lefebvre\n\n_Voyage in Italy_ demonstrates that the creation of a cityscape is a multifaceted affair of the senses. Making sense of a city requires an _emotional_ lens, that sweeping view that Henri Lefebvre called a \"rhythmanalysis.\" Lefebvre developed this view while looking out the window of his apartment onto the streets and thinking in particular about the geography and history of Mediterranean cities. A transdisciplinary perspective encompassing the theory of measure, music history, and chronobiology as well as other geographies and cosmological theories, rhythmanalysis, \"seen from the window,\" writes the city filmically\u2014screens it.\n\nSeen from an apartment window, as Lefebvre viewed it, or from a car window, as Katherine does\u2014from a viewpoint that is a body double for the framed, mobile view of the film screen itself\u2014a Mediterranean city unfolds its rhythmic map. The sea-bordering view of Naples frames a heterogeneous city that moves with the connecting rhythm of waves. The mediation of the sea unites it with other solar Mediterranean cities. All marked by tourism, these unruly cities are linked by a tradition of sea voyage that dates to the time of Homer's _Odyssey_. In the rhythms of these metropolitan waves, sound plays a crucial role as one of the tangible ways in which public space is acted out and privacy is articulated.\n\n11.12. Intimate views from the car to the streetscape in _Voyage in Italy_. Frame enlargements.\n\nIndeed, a number of emotional layers make up a landscape. Geographically speaking, these include homescape, bodyscape, deathscape, and smellscape, as well as soundscape. As a component of the cityscape, the soundscape of Naples closely interacts with its pronounced deathscape and bodyscape. Naples' musical body-city is constantly courting death. Here, Katherine feels surrounded by the rhythms of passionate excess and decay that are pierced in the walls. Listening to the city's pronounced sound, perspiring from the belly of the city, she is affected by an overwhelming body heat.\n\n### BODY HEAT\n\n_I had never yet had such an impression of what the summer could be in the south or the south in the summer.... The Bay of Naples in June might still seem quite final. That picture struck me... as the last word..._.\n\n_The place is at the best wild and weird and sinister.... I seemed, under the blaze of summer, the only stranger\u2014though the blaze of summer itself was, for that matter, everywhere..._.\n\n_I wander wild...; my intention having been only to let my sense of the merciless June beauty of Naples Bay at sunset hour and on the island terrace associate itself with... [a] feast of scenery..._.\n\n_There had been this morning... the image of one of those human figures on which our perception of the romantic so often pounces in Italy as on the genius of the scene personified;... so the physiognomic representative, standing for it all, and with an animation, a complexion, an expression, a fineness of humanity that appears to have gathered it in it and to sum it up, becomes beautiful..._.\n\n_We stayed no long time... yet we communicated to intensity, we lay at our ease in the bosom of the past, we practiced intimacy_.\n\nHenry James\n\n11.13. Flaying the layers of mapping reveals a tangible view of the history of place in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 14. Engraving.\n\nIt's hot. The volcanic land at Solfatara is hot. People are hot. Heat is everywhere. It overcomes you. Katherine surrenders to the blaze of the summer. Struck by this body heat, she stands motionless. There is nothing to do but give into it. She lies around on the terrace's lounge chairs. Absorbing the sun, she lets her senses run wild, transported by this feast of scenery that is the house's vista. She comes into contact with the _genius loci_. At ease in the bosom of the past, she begins to grasp what it is to practice intimacy. Pondering on the spirit of the place, one can hardly escape the realm of the senses. Camille experienced it in _Contempt_ , reclining naked with a book on her buttocks, soaking up the sun on the panoramic rooftop of Casa Malaparte. The genius of the place is the physiognomy of site. An idle affair.\n\n### THE IDLER IN ITALY\n\n_My senses and my imagination have been so enchanted.... To stand upon my balcony, looking out upon the sunshine, and the glorious bay; the blue sea and the pure skies\u2014and to feel that indefinite sensation of excitement, that_ superflu de vie, _quickening every pulse and thrilling through every nerve, is a pleasure peculiar to this climate, where the mere consciousness of existence is happiness enough_.\n\nMrs. [Anna] Jameson\n\nFor a British traveler, the voyage in Italy can be an imaginative, corporeal descent down into the sensuous depth of existence. No wonder the response to this land has been so emotional: it provides, as Anna Jameson put it, an enchantment of the senses and the imagination. Like many of her predecessors who had ventured south to Naples, into the land of sunshine, Katherine discovers this warm landscape and learns how to make space for herself in the essential ephemeral, with the \"indefinite sensation\" of pleasure \"thrilling through every nerve.\" She confronts the publicly lived, private space that the female author of _The Diary of an Ennuy\u00e9e_ so aptly called a _superflu de vie_.\n\nIndeed, the _genius loci_ reeks of an historical relation to a _superflu de vie_ that goes all the way back to the ancient notion of _otium_. A long-lasting historic practice, _otium_ might be defined as a form of cultivated leisure. Antique _otium_ was philosophically conceived and practiced here by the Romans, and it helped to shape the landscape that would later be offered to travelers. This region was the site of a collective form of leisurely existence: a relaxation that opened the play of the mind, enabling thoughts to wander. As the body and the mind were allowed to roam freely, intellectual paths were forged along the trajectory formed by promenading through, contemplating, or conversing about the scenery. This included regularly immersing oneself in the restorative landscape of the _thermae_ \u2014the baths\u2014where taking the waters was the vehicle for an entirely sensuous approach to life, which encompassed one's mental life. The _thermae_ , housed in spectacular architectural and natural settings, were places where the spiritual, corporeal, and social life was mindfully cultivated. The _otium_ of the _thermae_ enabled physical, cultural, and intellectual pursuits to be pleasurably combined into a refined art of living.\n\nSensing this _genius loci_ , Katherine wanders motionlessly. On the terrace of a villa located in this Roman land, she practices a modern sort of _otium_. Moving across the centuries, Roman _otium_ \u2014however transformed\u2014has entered modern life in various forms of cultivated leisure. Indeed, _otium_ is now lodged in the movie house: it has been turned into the still movement of cinematic spectatorship. Having been transmuted through the ages, however, _otium_ is now viewed differently as well: it is considered synonymous with idleness. Embodied momentarily in the twentieth century first in the notion of _fl\u00e2nerie_ and then as the drifting psychogeography of _derive_ , the sense of idleness eventually acquired a negative connotation. It is now wrongly perceived as a state void of intellectual purpose by a society that has turned even the production of thought into a managerial enterprise, applying to the intellectual life the same mode of pressure that rules its myopic view of managerial work itself. This society does not know how to pursue intellectual paths and ideas by way of respite, which includes sensory enjoyment. Compulsively, one either works or works out, even at the day spa\u2014that post-Calvinist remake of the ancient Roman baths.\n\n11.14. The idler in Italy: _otium_ sinks in during the _Voyage in Italy_. Frame enlargements.\n\nAllergic to puritanisms, Italy has somehow managed to sustain a healthier perspective. The tourist senses that there is less confusion here between a capitalist notion of the use of private space, on the one hand, and the production of a subjective sense of relational intimacy, on the other, which comprehends intellectual space as part of a \"room of one's own.\" What is most apparent is that Italian culture has managed forms of resistance by bringing into postmodernity (and beyond it) the ancient practice of _otium_ , a tender sense of _dolce far niente_ , and the historic penchant for the idle perambulations of _passeggiata_ as a navigational tactics of daily life\u2014attracting, for this reason, the modern and the cyber tourist.\n\nFrom the grand tour to _Voyage in Italy_ , in the imagination of northern travelers Italy has enlivened the perception of that cultivated leisure ascribed to forms of _otium_ and their itinerant, cultured erotics. Katherine is not alone in her search for these sensations, which are written on the body of the Italian land. They affected Claudia's own erotic wanderings in the southern landscape of _L'avventura_ , which transpired on a path not driven but let loose. Searching the landscape of this interior state, many female travelers have traversed \"idle\" matters in Italy.\n\nWe may recall how a tradition of idleness was established by Marguerite, Countess of Blessington, who published _The Idler in Italy_ in 1839. Others followed. Frances Elliot, who wrote _Diary of an Idle Woman in Italy_ , explained her own state of mind:\n\n_When I call these volumes \"The Diary of an Idle Woman,\" I do so because I went to Italy with a perfect disengaged mind.... I was idle in that I went where fancy or accident led me..._.\n\n_I am at Siena, on my way to Rome, enjoying those idle days where one learns so much._\n\nFrances Elliot let herself go wandering, aware of the difference between her reinvented _otium_ and the nothingness in which she, like many modern women, was trapped at home:\n\n_And here my diary ends. I am suddenly called back to England, and the \"Idle Woman\"... lays down her pen and becomes \"the woman of the period,\" with_ really _nothing to do._\n\nBefore closing her filmic diary, Katherine, too, discovers the roots of _otium_ drifting into the cultural depository of that _superflu de vie_ that touches her every nerve. Feeling the seduction of the flesh, which lazily exposes itself to view, she allows her idle travels to take her to a place designed for it: a museum.\n\n### MONUMENTS OF THE FLESH\n\nNaples, Museo Nazionale. \u2014 _Archaic statues offer in their smiles the consciousness of their bodies to the onlooker_.\n\nWalter Benjamin\n\nMuseo Borbonico. Paintings.... _In the gallery of the Prince of Salerno, we find... Ribera_. The Drunken Silenus, _lying on the ground and surrounded by satyrs. \u2014Very beautiful, all naked_.\n\nGustave Flaubert\n\n_Three friends who were traveling in Italy together visited last year the Studj Museum at Naples, where the various antique objects exhumed from the ruins of Pompeii and Herculaneum are collected.... The youngest... [was] absorbed in profound contemplation. The object that he was examining so closely was... a fragment of the mould of a statue, broken in the casting. The trained eye of an artist would easily have recognised the curve of a beautiful breast.... The commonest traveller's guides will tell you that the lava, cooling about a woman's body, had perpetuated its charming contours. Thanks to the caprice of an eruption which destroyed four cities, that noble form has come down to us; the rounded outline of a breast has lived through ages_.\n\nTh\u00e9ophile Gautier\n\nThe Museo Nazionale in Naples is a monument erected for the body. Sculpture always has a physical impact, and it often explores a monumentality that is carnal. Remakes of the flesh, ancient figurative sculptures can act as corporeal shrines, or rather body doubles. But these statues are figures of the absent body. Fragments of its fragile historicity, they are live memorials to the deceased. Naples' archaeological museum is a site where ancient figures are preserved only to be freshly encountered. There, archaic statues expose the \"consciousness of their bodies to the onlooker.\" They exhibit the roundness of their contours, marks of their physicality that have traversed the centuries. Moving through the museum's space, the onlooker is drawn toward this sculpted flesh as she seeks to grasp what it has to convey. Here, in contact with such a \"body\" of art, looking becomes a form of touching, a visual caress. The onlooker accesses a haptic sense of the sculpted work as it offers itself up to be apprehended in the embrace of motion. As monuments to the flesh, these sculptures have imparted the realm of the haptic to many visitor-voyagers, including our filmic Katherine. In the Museo Nazionale, Katherine is made aware of physicality. She cannot avoid feeling what the archaic statues are \"exhibiting.\" She is uncomfortable. But she continues to look and moves closer. These statues seem to be flaunting something she is not \"in touch\" with. Something that her marriage lacks. Something she yearns for. These ancient bodies turn her on to something she craves. Indeed, they simply turn her on.\n\n11.15. Statues offer \"the consciousness of their body to the onlooker\": the museum as haptic monument in _Voyage in Italy_. Frame enlargements.\n\nCareful framing and camera logistics shape the making of this carnal scene. Katherine's walk through the museum is constructed in an extraordinary choreography of camera movements. Entering into her curious gaze, the motion of the camera haptically shows us her \"approach\" to the bodies. As she moves into a wing of the museum, Katherine encounters the nude form of a young man and ponders the harmonious movements of a group of female dancers. A pagan divinity shows her the dangers of the flesh, as does a drunken statue. Katherine moves closer and closer to it. The subjective camera dances around this man, making an exploration of his abandoned, debauched, and naked body.\n\nAs she moves through the museum space, Katherine appears further captivated. At first, we cannot see the object of her fascination. We are with her as she moves toward it. A reverse shot shows us that she has been captured by a male nude, a sculpture of a beautiful young man. The reversible movement of approach continues unaltered so that this naked body, which seemed frozen in the act of leaning forward, now seems actually to be reaching toward her. His arm extends to grab her. She turns away, only to confront more physiognomies. Surveying the faces of dead Roman emperors, she eventually lands on a nude statue of Venus, her thighs wrapped erotically in a cloth and her sex exposed. Katherine's guide, whose commentary attempts to render the statues familiar, remarks that this Venus is not as young as others. It resembles a more mature woman. Asked for her opinion, Katherine responds, \"Perhaps. I would not know.\"\n\nThe language of the body is a foreign tongue for Katherine. This carnal knowledge is not her own. Not until she becomes a museum passenger. In the idle itineraries of museum-going that remake, in their way, the cultivated leisure of _otium_ , Katherine gets close to its seductive offerings. Here, in the very museum devoted to this Roman affair, she senses tactile matters and through sculpture accesses the openness of the haptic. The camera makes this sculptural-haptic not only visible but palpable and obtainable, ultimately revealing how a sculpture is spectatorially experienced in a haptic way, with movement that emoves.\n\nThe \"pull\" that Katherine experiences is morbid. Approaching the nude monuments to the dead, she repeatedly caresses them with her moving gaze. In the face of these simulated corpses, the movement of the camera extends a veritable \"reach\" for what the dead bodies can bring to life. Near the end of the sequence, the camera circles a corpulent male nude as if embracing it, and in this way the monumental, ten-foot body of Hercules comes to stand in front of Katherine, fully exposed to her desire. From behind the naked statue, we see her figure below, staring up at the excessive flesh laid bare. She exclaims that it is wonderful.\n\nA final exploration of sculptural (e)motion that shows the Farnese bull surrounded by a group of male and female nudes closes the museum sequence. Reporting later about her experience, Katherine remarks that the immodestly exposed statues of men who lived thousands of years ago are just like those of flesh and bones. Initiated into the realm of the senses by statues that haptically communicate the consciousness of their bodies to her, Katherine can now access her own haptics, can activate her emotions. She can attempt to live the physiology of love. And of death.\n\n### A PHYSIOLOGY OF LOVE\n\n_I left Paris. I went through the streets of Marseilles, the waterfront of Tangier, the_ basso porto _of Naples. In the narrow streets of Naples, ivies and flowers were growing over the broken down walls. Under enormous staircases, rising open to the streets, beggars lay sleeping beside images of St. Gennaro; girls going into the churches to pray were calling out to boys in the squares.... In one room that lay open to the alley, before a bed covered with a cheap heavy satin comforter, in the semi-darkness, a young girl sat on a chair.... Looking from her to the Madonna behind the candles, I knew that the image, to her, was what I had been to Robin, not a saint at all, but a fixed dismay, the space between the human and the holy head, the arena of the 'indecent eternal'. At that moment I stood in the center of eroticism and death, death that makes the dead smaller, as a lover we are beginning to forget dwindles and wastes; for love and life are a bulk of which the body and heart can be drained, and I knew in that bed Robin should have put me down. In that bed we would have forgotten our lives in the extremity of memory, moulted our parts, as figures in the waxworks_.\n\nDjuna Barnes\n\n11.16. \"Death... makes the dead smaller, as a lover we are beginning to forget dwindles and wastes\": the deathscape of _Voyage in Italy_. Frame enlargements.\n\nIn the belly of Naples, city of a _basso porto_ , Katherine goes down below, down into the excavation of her own physicality. Memories surface from this archaeological dig, shaped like figures in the waxworks. Places speak of the people who once inhabited them or who have left, for geography, as we recall from Stein, \"includes inhabitants and vessels.\" Unknowingly, one returns to find them. Remaining in Naples to deal with the death of her uncle and the house he has left behind, Katherine Joyce remembers another \"dead\" man. Reminiscent of Michael in James Joyce's _The Dead_ , he had been stationed during the war right there where she stands. His name was Charles and he was a poet. He was different from Alex. He was a romantic spirit, one of those figures of the literary imagination that she could fall for. A figure of waxwork, Charles was evanescent. Consumed by a malady, he had been dying of consumption since the war. He finally expired before his work could be published. But Katherine remembered his poems. His verses described the museum of the dead bodies. He used to read them to her. She was able to recite them still, in front of the place his feet once touched.\n\nShe recalls the last time they had seen each other, on the eve of her wedding to Alex. Charles had come to see her. He was desperately ill, but there he stood, drenched in the heavy rain. Maybe he wanted to prove that, despite his high fever, he would brave the elements to see her. Maybe he wanted to die. In that moment of reminiscence, reawakened in Naples, Katherine stood between eroticism and death, death that consumes the body just as love does. The lover one is beginning to forget can waste away. For love is a bulk of which the body can be drained. In the extremity of memory, the lover's body parts molt. Just like figures in the waxworks. Or bodies \"cast\" by the lava in the dead city of Pompeii.\n\n### AMOROUS FOLLIES\n\n_Death! Yet nothing somber exudes from this word into my thoughts.... I have sometimes dreamt that it awaited for me, smiling, at the bedside of a loved woman, after the happiness, after the inebriation..._.\n\n_But where had this image offered itself to me already? Ah! I told you, it was in Naples_.\n\nGerard de Nerval\n\nIn Nerval's _Les Filles du feu_ , Naples drives a lover mad. Here, as in Rossellini's film, a city produces a ghost\u2014makes a body out of memory or fantasy. The dead can produce apparitions in this city, as Charles does for Katherine. His specter is awakened once more for her in the cave where the Cumaean Sibyl spoke the oracle. The dead can materialize in Naples, for the dead are indeed incarnate there, alive in a culture that maintains an ongoing dialogue with them. The dead do not only inhabit archaeological sites here: the heads of skeletons literally punctuate street corners. In the city of Naples, one encounters death as a daily matter.\n\nOn her deadly tour, Katherine is taken by her Italian host, Natalia, to visit the catacombs of Fontanelle. The place, she assures her, is not dismal at all. Quite the contrary. Many people go there to visit the skeleton of someone who died two, three, or even four hundred years ago. Some even adopt a skeleton, take care of it lovingly, assemble it properly, bring fresh flowers to it every so often. These dead have real lives. And thus, in the house of the dead, Natalia admits her desire to create a life in her belly. Touched by this morbid body of life, Katherine listens to this language of the stomach.\n\n### STOMACHICALLY SPEAKING\n\n_We wished, stomachically_.\n\nHenry James\n\n_Walking down a street in Naples, we pass a clump of people sitting outside, busy doing in public everything the French do in private.... The image forced me to feel the generosity and organic obscenity of the streets of Naples, where thousands of families turn their stomachs inside out (and even their intestines). Everything is outside, you understand, but everything remains contiguous, interlinked, organically connected to the inside.... [People] go to bed, marinating in that atmosphere of musty smells. At that moment, contact with the outside is broken off, the body has reingested its stomach: from the outside you can no longer see all the breathing and all the digesting going on in the dark.... Naples' stomach... is everywhere_.\n\nJean-Paul Sartre\n\n11.17. \"Stomachically\" speaking in _Voyage in Italy_. Frame enlargements.\n\nIn the streets of Naples, Katherine watches people constantly \"turn their stomachs inside out.\" Although everything is outside, she notices how it is all \"contiguous, interlinked, organically connected to the inside.\" An aspect of this \"organic obscenity\" is an intimacy practiced publicly, which includes sex and dying. Not even death is a private affair here. It, too, is turned inside out.\n\nNaples' stomach is ubiquitous, indeed. It lives in those pregnant bellies that seem to be everywhere and keep appearing in Katherine's path. Perhaps they remind her of the children she has not had. She chose not to have any children. Could it be that she is now troubled by her choice? All those pregnant bellies. Are they disturbing or attractive? She can't really admit to being fond of children.\n\nMore bellies. Two, three, four, five. Then couples making love out in broad daylight. Everything speaks openly of sex. Facing those bellies as signs of a lived sexuality, her own bears the texture of a new emotion. Throughout her filmic journey through the city, Katherine has been slowly digesting this abdominal image of the place. Watching the city flaunting its belly, she incorporates the image. She learns how to live with her body, how to be in it. How to let it utter gutter emotions. How to feel her flesh and bones.\n\n### OF FLESH AND BONES\n\n_I discovered in Naples the foul link between love and nourishment.... I asked myself: Am I in Naples? Does Naples exist? I have known cities\u2014false cities, like Milan\u2014that crumble to pieces as one enters them.... Neapolitans, who hide their bodies in lightly colored clothing, feed on textiles and wallpaper. And window shopping. I stopped in front of a pastry shop that looked like a jewelry store. Sweets are human, anthropomorphic, they look like faces.... One felt like putting them on display as porcelains. I tell myself: \"Well, time to go to the movies.\"..._\n\n_I wandered about, I went left, turned right, then left again; all the alleyways looked alike. I was taken by the skin of the Neapolitans... the alleyway seemed to have digested their cheekbones.... Surrounded by nourishment, live food, waste, morsels, obscene flesh, decayed fruit, they enjoyed with sensuous indolence their own organic life.... I felt digested myself.... What to do? To eat? To caress, to vomit?_\n\nJean-Paul Sartre\n\nDiscovering \"the foul link between love and nourishment\" and surrounded by \"live food, waste, morsels, obscene flesh,\" Katherine feels digested herself. People here, feeding on textures and window shopping, appear to consume, ingest, waste even their body image. Everything is about physiognomy in this town. The city has a face: a fading makeup. All it produces is anthropomorphic. Including the food. The shape of the landscape. Even the dead.\n\nOne not only can see dead bodies in flesh and bone here; at the excavations in Pompeii, one can even touch the bodies of the dead. The lava has made an image of death that supersedes waxwork. Congealed around the bodies, it has perfectly cast the corpora of the dead. During an archaeological dig into the soil of Pompeii, covered by volcanic ash, Katherine watches this process take shape. Body parts emerge. Here is an arm, a leg, then another leg. A man's head is revealed, its teeth remarkably well preserved. His daily activities, arrested by death, sculpted by the lava, are palpable after two thousand years.\n\nPompeii shows life in freeze frame. It shows that archaeology was filmic even before cinema took over its function, melded with it in a hybridized form by \"casting\" live motion and exhibiting the (e)motion of everyday life. In Pompeii, as in film, bodies are caught dead in the act of living. People there were surprised by death just at the moment, perhaps, that they were eating, drinking, defecating, or making love. The man Katherine watches being uncovered was lying near a woman. Two people just as they were two thousand years ago found death together. Perhaps they are husband and wife. Katherine is moved. She bursts into tears. She feels her own volcanic eruption. In the landscape of a ruinous city, she has reached the bottom of her archaeological excavation. What to do? To eat? To caress? To vomit?\n\n### VOLCANIC EXCAVATIONS\n\n_The volcanic air breathed in this region might conceivably provoke ferocity when the passions are aroused..._.\n\n_The heart beats wildly at the phenomenon that is Vesuvius_.\n\nMadame de Sta\u00ebl\n\n_A place to see in Naples, after the customary visits to the archaeological sites, the Zolfatara, and, if one has the time, the crater of the Vesuvius, is the III and IV Granili,... a temporary housing for the homeless..._.\n\n_Profoundly diseased from within, Naples tolerates decay without any distress_.\n\nAnna Maria Ortese\n\n11.18. Erupting emotions in _Voyage in Italy_. Frame enlargement.\n\nKatherine experiences the destructive danger of an eruptive, diseased city of decay, which is essentially geologically defined. Built at the edge of an active volcano and moved by the waves of the sea, this city of ruins is strongly marked by a topography linked to an unstable underground. The \"picturesque\" Bay of Naples is, in fact, ruinous. The restless city is used to all forms of erosion and bears strata of moving interiors. Will the volcano\u2014dangerous, warm, passionate\u2014drive Katherine to the very brink, shattering her marriage to Alex? Will this destructive geography shake them into a final breakup? On this critical volcanic terrain, Katherine meets Lady Hamilton, together with the literature and films she inspired, and enters a trail of Vesuvian narrative that leads all the way to Susan Sontag's _The Volcano Lover._ As a voyage of passion, Katherine's _Voyage in Italy_ is indeed a geological narrative. It is an excavation.\n\n### A GEOGRAPHY OF PASSION: EMOTIVE MORPHING\n\nPrompted and underscored by death, _Voyage in Italy_ has retraced a cartographic itinerary: a filmic tour of geopsychic excavations. The voyage in Italy has functioned for Katherine as it did for many female travelers before her, whose diaries testify to a rite of passage by way of geographic motion. The voyage in Italy\u2014 _l'avventura_ of the female wanderer\u2014confirms that sites can be the object of a yearning that is not dissimilar to amorous longing. The traveler may cling to a place or long for a site as if wishing to be embraced by it, but may also turn away from it, seeking separation. For a place can either nurture or starve. Sometimes, the desire for place manifests itself as lust. As the traveler is driven to Italy, craving it like a lover's body, the surface of its earth becomes as soft and as hard as skin. Described with a great intensity that is almost sexual in nature, the Italian landscape has fashioned a history of interior voyages that have changed socio-sexual visions. As travel culture shows, geography, never separate from the topography of the I\/eye, was never too far from sexual difference either.\n\n11.19. This city of ruins is ruinous: geological history as mapped in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 28. Engraving.\n\n11.20. Katherine is driven to and from the city and herself during her _Voyage in Italy_. Frame enlargements.\n\nBy way of site-seeing, a mobile map of differences has taken shape, for in their experience of site-seeing, women who traveled to Italy and wrote about their voyages built a new map of the self. This is what Dorothy Carrington, among others, tells us. A female scholar and collector of travel literature who, in 1947, wrote _The Traveller's Eye_ , Carrington spoke about Lady Anne Miller (1741\u201381), who traveled to Italy and published her _Letters from Italy_ in 1776:\n\n_Like so many English people before and since, Lady Miller was transformed by Italy; \"Alas\" wrote Horace Walpole... \"Mrs. Miller returned a beauty, a genius, a Sappho, a tenth Muse, as romantic as Mademoiselle Scud\u00e9ry.\"_\n\nThere are places where one allows geography to speak history; places where one's trajectory is somehow shaped by the feelings left by the arrivals and departures of others, even if imaginary\u2014or filmic. Italy is one of them. Like Katherine, many have traveled Italy with a map that others as well have used, and have transformed themselves en route.\n\nThis map of travel\u2014as Carrington notes, citing the renowned garden theorist Horace Walpole (1717\u201397)\u2014is that of Mademoiselle de Scud\u00e9ry. As in her map, the voyage through landscape pictures the paths of emotion: the exterior terrain is the vehicle for an interior journey which, reversibly, can be pictured on the land. It is in this sense that Italy has played such an important part in women's (travel) history as a place of transformation. Traveling to Italy on a voyage of self-recollection, a woman can reanimate her map.\n\nThis is precisely what Katherine does. Nothing really happens in _Voyage in Italy_ (or, for that matter, in _L'avventura_ ) according to conventional proairetic codes, yet an emotional narrative unfolds as Katherine (or Claudia) traverses the archival fiber of the landscape, sculpting it into her own erotic space in a tourism of emotions. Topophilically driven by the porous geology of the site, Katherine has embarked on a \"volcanic\" interior journey. Moving from the cave of the Cumaean Sibyl into the warm sulphur vapors of the Solfatara and down into the excavations of Pompeii, she has voyaged closer and closer to an inner space. Cruising the land, she has plumbed geological depths. Moving into the warm abyss of the Neapolitan region, descending further into the belly of the city, she has reached her own underground. Digging the earth, she has descended into her body. Unconscious desires have erupted with this archaeological excavation. Geography has produced sensational changes. She is now in touch with her senses. Picturing sites, Katherine has designed her own landscape, a new _Carte de Tendre_.\n\n11.21. Emotive morphing: picturing the inner space of a new self in _Voyage in Italy_. Frame enlargements.\n\nThe voyage down south to sunny shores\u2014site of geopsychic regeneration\u2014can open up its own route of emotive morphing. For Claudia in _L'avventura_ , too, this journey promises to rewrite a map that is \"tender.\" From the \"River of Inclination\" to the \"Dangerous Sea,\" one can reach \"Countries Undiscovered.\" Traversing \"Countries Undiscovered\" may lead to passion; or become an avenue of physicality; or serve as transport to a venue of the senses. It can touch the terrain of death as the very border of the skin. This voyage explores, even expands, a sentient horizon, for in many ways it haptically attunes space with the desire for change. And thus it truly \"touches\" Scud\u00e9ry's domain. Ultimately, this \"Voyage in Italy\" is an _emotion_. It leads to intimate reinvention. Traveling the terrain of affects, a completely new map can be designed. It is a reciprocal _Carte de Tendre:_ a transformative, intersubjective map of emotional dwelling. A place with no \"Lake of Indifference.\" A loving geography.\n\n11.22. An archaeology of knowledge in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 35. Engraving.\n\n12.1. House as airport in Guillermo Kuitca's _Coming Home_ , 1992. Acrylic on canvas. Detail.\n\n## **12 _My_ \"Voyage in Italy\"**\n\n> _En p\u00e8lerin et en \u00e9tranger_.\n> \n> Marguerite Yourcenar\n> \n> _Should one recognize that one becomes a foreigner in another country because one is already a foreigner from within?_\n> \n> Julia Kristeva\n> \n> _To theorize, one leaves home_.\n> \n> James Clifford\n\n_A car is driving down the road. A man and a woman are traveling, going south. She is driving. The Italian landscape is mobilized as the car and the camera rapidly traverse it. The British couple is on the road to Naples when he gets behind the wheel\u2014and on her nerves. He keeps fretting about the dangers of their voyage in Italy. She holds a tourist guide in her hand and has a different vision of the ruinous site. She has read her_ Baedeker _in her own way and, aware that anything may erupt here, is open to the journey. The land of molestation has not molested her_.\n\n_Yet, as we have seen, several disturbing elements have underwritten their voyage in Italy. The journey, an architectural tour prompted by a house inhabited by death, is a geopsychic voyage that connects travel\u2014via death\u2014with the vicissitudes of cultural and sexual identity. A final form of absentation, death is the Proppian propeller for this narrative itinerary, not only because, as Freud puts it, \"a journey is one of the commonest and best authenticated symbols of death,\" but because the deadly journey of cultural transits knows how to excavate the affective terrain._\n\n_A cab is driving down the road. The passengers are making a journey to Naples. The death of their mother is calling the daughters back to the city. Two of the sisters cannot wait to return to their families, to forget Naples and liquidate the whole affair. But Delia will stay, will embark on the deadly voyage and confront her mother's \"place.\"_\n\n_Like Katherine, Delia has inherited a house and, with it, the story that every domestic site contains. Delia has inherited the narrative of her mother's \"space\" and must return to the home to confront it. Will this family house be a cell of memory, with a guillotine poised to descend, as in Louise Bourgeois's_ Cell (Choisy) _(1990\u201393)?_ _Possibly, but Delia must enter the physical and mental space of her mother anyway, must arrange her things. It is a difficult task. Nobody else will do it. Something awaits her in the house. Perhaps a secret. Perhaps a \"family secret\"_\n\n_The cab stops at Piazza Carlo III, in front of the Albergo dei Poveri, a monumental city landmark. Delia gets out. A woman in her late thirties, she has a creative career. Her demeanor and apparel state clearly that she has been marked by feminism. Delia had leftNaples some years before and looks a little out of place here now. She has apparently lost her accent, perhaps in the attempt to lose a memory. Delia is a double for Elena Ferrante, the author of L'_amore molesto, _who also left the city only to revisit it fictionally. The filmmaker Mario Martone did so too, creatively returning to his home town to film_ Death of a Neapolitan Mathematician _in 1992 and, after, to transform Ferrante's novel into a film about a \"love molested.\" Watching L'_ amore molesto _puts one constantly in mind of_ Voyage in Italy. _The two films travel the same road, for, as Martone himself acknowledges_ , \"Voyage in Italy _touches the same topic as L'_ amore molesto\u2014 _a woman's collision with the city and the ancient popular culture of Naples. Both films speak of strangers in the city.\"_\n\n_A stranger in search of herself, Katherine in_ Voyage in Italy _was performed by a Swedish actress who had made English her creative and professional home and then moved to Italy to act and live with Rossellini. Ingrid Bergman was not merely the actress of Rossellini's so-called \"Bergman era. \"In a way, she acted out the films from life. From_ Stromboli _to_ Voyage in Italy, _Bergman the \"stranger\" was the very text of the narrative. In much the same way, the character of Delia in L'_ amore molesto, _a stranger in her own city, is also an author-in-the-text. Like Katherine, she endlessly travels the city in a tour of the emotions. For both women this voyage, prompted by death, will turn out to be a sentient return. The intertextual itinerary drawn on this filmic_ Carte de Tendre _extends the moving relationship between affect and place, further designing a cross-cultural_ transito.\n\n_A cab is driving down the road. A man and a woman are making a journey to Naples. Their voyage to Italy is prompted by a death. The dialogue is in English. Words of anxiety are being exchanged as the couple approaches the center of town. The cityscape is closing in on them. No longer a distant shape on the horizon, it is becoming \"touchy\" material: stories written on the street pavement, feet walking over stones. The woman speaks with an accent. English is her second language, her creative and professional home. This is her voyage. My voyage_.\n\n_My cab also stops at Piazza Carlo III, in front of the Albergo dei Poveri. This huge, ancient building used to be home to the urban poor and marked the entrance to the city:_ \"Naples, 9th February [1817]. Grandiose approach to the city:... first building\u2014l'Albergo de' Poveri; deeply impressive\u2014no comparison with that over-rated bit of sham baroque, that chocolate-box effect that Rome is pleased to call Porta del Popolo.\"\n\n_The door to the city greatly impressed Stendhal, a writer sensitive to the observation of site who considered Naples \"the most beautiful city in the world.\" The passage into Naples, the poor house, is now a mere facade, an empty shell, a ghostly monument to itself. An architectural ruin, it stands as a grand stage set, a document of passing urban decay; a perverse tourist sign, it is an advertisement that screams Naples unequivocably, despite all the gentrification that has occurred there. This piece of urban archaeology draws a hyphen on my map, connecting the memory of dystopic (cine) cities. It reminds me how in postmodern times it used to say: Naples\u2014just like New York\u2014just like_ Blade Runner. _My territories. Places I have lived, loved, absorbed, traversed. I negotiated myself in them, wrote myself in them, wrote about them. I have called them home. The \"accelerated decrepitude\" of the metropolis has linked together these cities and cine cities of my imaginary and lived turf. Home is a hyphen. Hyphen is my home. An imaginative geography_.\n\n12.2. Cells of memory: the family house in Louise Bourgeois's _Cell (Choisy)_ , 1990\u201393. Marble, metal, and glass.\n\n_I look fondly at the ruinscape now. It inspires a sort of topographical ease that, in my cartography, creates a heterotopic landscape\u2014a \"door to the city\" that opens onto a vista of the Flatiron or the Bradbury Building. Sensing this urban archaeological hyphen, I remap myself in one of my eroding harbor towns. Here I am, in Naples. I must surrender myself to the city. So I get out of the cab and begin to walk in front of my ruin. This is exactly where Delia, with her baggage of death in tow, begins her filmic journey in L'_ amore molesto. _A stranger in her molesting city she is bound, like myself, to confront house and home\u2014and loss. It is hardly a coincidence_.\n\n_The_ longa manus _is taking me back to Naples. My father's place is near Delia's mother's. He died suddenly, unexpectedly. I am back to mourn in his house. Entering his private space and going through the difficult task of arranging his affairs gives way to an intense \"archival\" journey that maps the geography of a life's history for me. I am pulled back to the city in which I grew up, to the sites of_ Voyage in Italy. _Katherine's touristic journey marksmany points on my map. City views, including the corpulent statues at the Museo Archeologico Nazionale with its Greek and Roman culture, Sibyl's grotto, Solfatara, the catacombs, and Pompeii, were significant sites in my \"bio-cultural\" itinerary\u2014strata of my own archaeology that are brought back to life by the death of my father_.\n\n### RETURNS\n\nI left Naples in 1980 for the voluntary exile in New York that enabled me to reinvent the topos of \"home town.\" As New York became home and a foreign language turned into a new house of language, I designed the home-hyphen. I have returned to Naples several times and in several ways, with an awareness that the _emotion_ of the migratory sense\u2014a moving out from within\u2014would change the sentiment of cultural identity. Unlike the exiles or the immigrants, who couldn't or wouldn't return, a different horizon\u2014a moving vista\u2014is open in the postcolonial era to the generation of intellectual nomads to which I belong, less affected by origins and connected to place in a way that is neither nostalgic nor fixed. We have felt all the tensions of displacement and the grief of separation but we have also enjoyed pushing the limits of national cultures and making new borders of identity. Situated, with feet planted and eyes wandering, in a traveling space that exists between the local and the international, we have had the privilege of choosing and multiplying our cultural hyphens, making identity detours within the sense of situatedness that was our point of departure. In revisiting this shifting landscape of origins, writing becomes one such form of return. Working within my own archaeology, Naples had come and gone\u2014from topos to topic\u2014and I was coming to believe that I had somehow worked it through. I thought that I was done thinking about genealogies and cultural transits. I was wrong.\n\nA remarkable coincidence took place during this voyage in Italy: I encountered Delia in a Neapolitan caf\u00e9. She was becoming a filmic character just as I was making my voyage back to Naples for my own family death. My conversation with Mario Martone, who was creating her filmic persona, turned out to reveal a shared set of experiential ties\u2014ties that had led up to this uncanny encounter between myself and Delia. The nature of our connection was cartographic. Martone, who thinks cartographically, sees filmmaking as a \"journey of knowledge\" made of encounters, of which \"the screenplay is a map... a map which enables us to move freely; the more a map is defined, the more our journey through a terrain will be open.\" This cartographic experience was part of a cultural map that was being drawn, like the separate pieces of a mosaic, by a number of intellectuals in voluntary exile\u2014all strangers (from within), according to Julia Kristeva's autobiographical definition. It was the sign of an \"intimate revolt\" that was leading, even in etymological terms, to both \"return\" and \"volume.\" Strangers were linked together in intimate revolt by the \"silence of polyglots\" and by separations from the body of the city and its language; they were making cultural journeys of return to the city of origin with volumes of thoughts. A number of writers who were neither completely for eigners nor natives, including Maria Antonietta Macciocchi and Jean-No\u00ebl Schifano, were furthermore chronicling the city's dense history. This was happening just as Iain Chambers was launching from Naples his \"border dialogues\" on \"migrancy, culture, and identity\"\u2014a \"journey without maps\" that embraced the idea of \"cities without maps\" and found Naples to correspond nicely to this notion. In the \"sympathy\" of intimate reinvention, the silence of polyglots linked together these diverse traveling eyes and cartographic viewpoints, laid bare on a displaced city map.\n\nMartone's association with an expatriate female writer like Elena Ferrante had been preceded by another imprint of female displacement: his _Death of a Neapolitan Mathematician_ was written with Fabrizia Ramondino, whose own nomadic existence is inscribed in a fascinating body of writing that returns constantly to themes of voyage and home(lessness). Her hybrid style, particularly evident in _In viaggio_ and _Star di casa_ , turns the language of the essay into autobiography and fiction. \"Feeling like a stranger in my country,\" she claims, \"I have no choice but to transform the long time I have spent in Naples into my own geographic space. But isn't every work\u2014cities as well as books\u2014the transformation of time into space?\" Charting metropolitan nomadisms and the voyage around her own room, Ramondino draws a picture of her passages in and out of her city as if remaking its map.\n\nRamondino's own dislodged map is echoed in Ermanno Rea's _Mistero napoletano_ , a hybrid book that ventures from (travel) diary to fiction as it draws a panorama of Naples and documents its radical history. The displaced author's voyage back to uncover the mystery of the death of Francesca Spada (a member of the Communist party who killed herself in 1961) forms the basis of the book, which reflects on the relationship between the city and its inhabitants, who are strangers to themselves. He speaks of Renato Caccioppoli, the mathematician related to Bakunin and fictionalized in Martone's film as \"a splinter of Europe transplanted at the feet of Vesuvius.\" Noting that \"Naples and Caccioppoli loved each other because they did not resemble each other at all,\" he goes on to query: \"But what does it mean to resemble a city? What is the actual identity of a city other than the drawing that each of the inhabitants makes inside himself?\"\n\n12.3. A personal \"state\" of unrest: Heide Fasnacht, _My City Was Gone_ , 1991\u201392. Plywood, silicon, rubber belting, latex, cotton batting, wool blanket, Dacron, and steel.\n\nCasting a self-analytic glance at this panorama\u2014a veritable _Carte de Tendre_ \u2014enables us to challenge further the notion of \"cognitive mapping\" we investigated earlier: there is hybridity as well as displacement in the mental map that constitutes a city's interior drawing. Here, the pieces of the cultural experiential mosaic, including my own, appear hyphenated, and the map of the city itself comes together as a shifting terrain. This _Carte de Tendre_ is essentially being drawn elsewhere (yet now here)\u2014as a distant map, a map of distance within. Strangers in their own towns are making the drawing. Tangible separations and journeys of remapping emerge in the work. Tactile maps of the city\u2014woven like the patterns of wandering through a fragmentary cartography\u2014are the desirous outcome of an intersubjectivity that is designed as the city's own lived cartography. Traveling maps are being drafted by native tourists. This type of journey, made by the displaced writer, demands a special suit (and suitcase). One must pack _emotional_ baggage. Death (or other forms of absence and loss) seems to haunt this moving map.\n\nA few years back, as I traced the removal\u2014the historical death\u2014of a woman filmmaker in _Streetwalking on a Ruined Map_ with an archaeology of lacunae, I tried to picture a _transitory_ mapping for my city of origin. Now, back again, but in a different way, I found myself blurring itineraries on Madeleine de Scud\u00e9ry's _Carte de Tendre_ , where I had displaced \"the voyage in Italy.\" On the tangible itinerary of an emotional cartography, Katherine's grand tour of identities was turning into Delia's nomadic subjectivity. As I moved along this imaginary filmic map, reading signs, tracing trajectories, remaking itineraries through the city, their stories revealed mine. I was carrying notes on _Voyage in Italy_ when my father died, and writing about the voyage in Italy began to take a different shape: it exposed _my_ \"Voyage in Italy.\"\n\n_Katherine is driving her car through town. Sunglasses filter the site. As she drives, she looks out the car window and allows us to catch a glimpse of the city. This is how we passenger-spectators get to know the streets of Naples\u2014through her subjective viewpoint. The camera is not allowed any autonomous freedom of movement. It only looks as she looks. It sees what, and how, she sees: through the dark frame of her sunglasses, the geometry of the moving car's window, and the screen's own frame. In this way, the stranger looks out at the city and into herself. She is \"screening\" something out_.\n\n_Delia is walking through her home town. She is also wearing a body screen. As she looks out at the city and into herself, her outfit and her acquired northern accent\u2014signs that read foreigner\u2014filter an overwhelming presence. The cacophonous soundscape of Naples, matched by the film's intense sound track, speaks of the city's corporeal presence and makes her confront something of her own that she keeps hiding from view. Delia needs her screen_.\n\n_I am walking in Naples, wearing my dark shades and ordinary New York attire. The armor of this period was a minimalist exercise, which often resorted to monochromatic landscapes with textured variations on noir. For an urban uniform, my generation had not quite retired the old favorite, basic black, for while the dark city made detours into color it kept a penchant for sensuously somber fashions: the more subtle the more daring. Back in Naples, then, with my transplanted apparel, I see some people staring at my body screen. Although I do not seem to recognize them, they act as if they know me. A woman questions me, pointing at my black ensemble:_ \"Per lutto o per lusso?\" _The inadvertent wordplay asks if the color written on my skin is for mourning or elegance. They've heard my father died, she said, and have a bet going. She says it is mourning; her daughter bets vogue. A stranger in my own town, as I always was, accustomed to travel far distances and speak foreign tongues to feel close, I rest on my hyphen. I tell them it is both. Like the film screen, fashion is a twofold affair. It writes the hyphen on the map. Sometimes_ off screen.\n\n### CRITICAL JOURNEYS\n\nAn authorial subject off screen, like the female travel writers who have occupied such a large imaginative space in this book, I worked with and against the implications of _my_ voyage in Italy, perceived my self-representation as a site of writerly tension. Esther Lyons's self-portrait, to which I have dedicated substantial critical room, had revealed to me all the complexities of picturing oneself in the genre. In speaking of _Voyage in Italy_ in relation to travel culture and especially to women's travel diaries, the very diarylike, episodic structure of the film had come into question. In their travel journals, women had written insistently of _my_ travel, _my_ voyage, _my_ excursion, only to realize how difficult it was to map oneself into the picture. To state the _I_ of the eye was to allow one's subjectivity to write the space of observation. Immersed in the hybrid language of travel writing\u2014where, traditionally, the scholarly joins the autobiographical in discourse\u2014I was designing my displaced map across this difficult, hybrid horizon.\n\nTrying out different voices of critical self-representation, I wrestled with the temptation to disclose hints of _my_ \"Voyage in Italy,\" to reveal my own emotional bond to the films. I kept asking myself questions, and most of all wondered: why write about it at all? Forays into known theoretical territory were not of tremendous help here. Much has been written about spectatorial identification with the filmic text. We also know something about the phantasmatic structure that links the filmmaker to her text. I have done my share of thinking about these issues. But what of the _theorist's_ relationship to a set of texts? What drives the analyst to an object choice? What navigates it? In what ways is the film an object of desire, a site of the bonds of love or domination, an emotional fabrication? What \"architexture\" does this relationship dwell upon? How does one's own position as subject, and the changes it undergoes, affect the reading of a film? Is there a historicity in this trajectory? What is the geography of this critical history? Does it have a place in writing? In short, what should or can we say about a critical journey?\n\n12.4. M. A. Palairet, self-portrait from her travel diary, 1843.\n\n12.5. Ann Hamilton, _tropos_ , 1993. Detail of the installation at Dia Center for the Arts, New York.\n\nFilm theory generally has backed away from analyzing this subject, especially at the point when, in order to reach out and grasp the sense of the lived subject, one would have to plunge into the subjective realm. In scholarly speculation, the subjective, when not treated with suspicion, is at best constructed as indirect speech or as an off-screen presence\u2014that is, as a figure absent yet present. I have often found myself evoked in the margins, fictionally inscribed at the edge of the frame: a projected shadow on the screen of writing which, like the off-screen in my beloved film noirs, is a place of traction and attraction. Engaging the tension between subjective and objective presentation in travel writing, I wondered about mapping the self as something more than the implied fiction of an off-screen space, readable only to those familiar with one's history.\n\nIn contrast to the situation in film theory, the realm of the \"I\" is practiced widely in film criticism, sometimes shamelessly so. The film critic acts precisely like the food critic: she regularly involves herself in the circumstances of selecting the film menu and then of sharing the appetizing experience with others. Film and food thus metaphorically conjoined, both critics write about personal position and state of mind, and speak in the first person. The film theorist generally has a tremendous resistance to this way of doing things and, even more importantly, has trouble imagining the subjective as a possible site of investigation\u2014perhaps with good reason. Does the practice of directly addressing the subject of speech\u2014or calling it into question\u2014with her own lived experience add anything to the reading of a text? \"What matter who's speaking?\" Or put more bluntly, should we care?\n\nYet the very resistance of film theory to acknowledging this matter\u2014the speaking subject as a speaking geography\u2014may tell us something. As Michel Foucault, among others, has shown, what really matters is the position from which one speaks. I find that this issue\u2014shall we call it the cartography of the subjective?\u2014has implications for rethinking the placement of analytic knowledge. In the end, this is a question of geography, of the \"location\" of knowledge. It pertains to the historicity of discursive settings and the location of discursive historicities. The issue may thus be tackled more productively if viewed within the broad parameters of a cultural topography and recast as a question of the pronouncement of lived space in discourse. As Henri Lefebvre perceptively envisioned it, \"the space of speech... is forever insinuating itself 'in between'... between bodily space and bodies-in-space.\" To ask \"Who speaks? And where from?\" in terms of this mapping is crucial for understanding transcultural sites, both in theoretical and political terms.\n\nThe \"situatedness\" of knowledge has, in fact, become an important site of contemporary investigation and shapes cultural writing in many different ways. As we have pointed out, spatial metaphors have been used increasingly in theoretical discourse, often to signal a widening interest in location and positioning, including social and gender displacements. This trend is important, for, as Donna Haraway remarks, \"epistemologies of location, positioning, and situating... are claims on people's lives.\" For herself, she adds, \"these are lessons which I learned in part walking with my dogs... and wondering how the world looks... with... sensory areas for smells.\" Wandering the hybrid territory of projections between home and the world, I find myself incessantly in that terrain of \"unhomely\" displacements and \"border existence\" that Homi Bhabha calls an \"in-between,\" a zone of cultural intersections where signification is marked by hybridity. From this location, as James Clifford has put it, discourse appears as a production of \"traveling cultures,\" and from the chronotope of the hotel, cultural knowledge itself appears as a work of traveling-indwelling and dwelling-in-traveling. Speaking for many writers, including this one, Clifford claims that \"to theorize, one leaves home.\" Having taken this very route and journeyed along its path for a long time, I also discovered that to theorize one cannot really leave home behind. Ultimately, one must accept the risks, theoretical and otherwise, involved not only in leaving but in attempting a return.\n\n### THEORETICAL EMOTIONS\n\nHowever one defines and lives it, situatedness is, in any case, the outcome of a radical change in cultural focus and suggests a shift in viewpoint. It can be produced only through mobilization and by way of using a different interpretive lens: a traveling lens. It is the _emotion_ of this traveling lens\u2014the attraction for a traveling theory\u2014that, questioning boundaries and forcing borders, enables one to envision a knowledge that is situated in lived space. This is precisely where we connect with the cinema, for, as I have argued, this located space, mobilized in _emotion_ , is the actual cultural \"place\" of the moving image. Emotion pictures fabricate this situated viewpoint with their multiple traveling lenses. Geographically speaking, the moving image is sculpted as a _Scultura da passeggio:_ that is, as a haptic \"traveling globe\" that one may go strolling with, as in the sculpture of that title (1966\u201368) by the Italian artist Michelangelo Pistoletto. A home to cultural voyage and a housing of traveling cultures, film is a tender mapping of intimate space: in mobile cartographic ways, it dwells in psychospatial journeys, in a situatedness that incorporates the world of affects, sexuality, and the subjectivity of subjects. Through and with the work of film, critical theory should be able to enhance such \"moving\" design, and to account for its various trajectories.\n\nYet when the dynamics of the emotional sphere\u2014an important ingredient of this haptic situated knowledge\u2014is at stake for the critic, the work comes to a halt. There are no theoretical means with which to speak about it. Contemporary film theory has generally not considered \"emotions\" to be a part of its \"motion.\" As Annette Kuhn puts it:\n\n_Any feeling response to a film\u2014and indeed recollections of such a response even more so\u2014threaten to elude our attempt to explain or intellectualize... because each category memory\/feeling as against explanation\/analysis seems to inhabit an altogether distinct register. Emotion and memory bring into play a category with which film theory\u2014and cultural theory more generally\u2014are ill equipped to deal: experience. Indeed they have been wary of making any attempt to tackle it, and quite rightly so.... Nevertheless... my memories, my feelings... are important. Must they be consigned to a compartment separate from the part of me that thinks and analyses? Can the idea of experience not be taken on board\u2014if with a degree of caution?_\n\nWrestling with this categorical dichotomy, Kuhn dares to go the \"wrong way\": she ventures into questioning her own emotional response to moving pictures and puts herself into the picture of \"family secrets.\" Her preliminary words reveal a measure of the hardship involved in undoing the foundational binary system of critical vision.\n\n12.6. A peripatetic globe: Michelangelo Pistoletto, _Scultura da passeggio_ , 1966\u201368. Newspapers and iron.\n\nCan we recognize now that this disembodied theoretical \"eye\" trapped the cinema in a similar specular, optical model? What, then, of this model of critical distance? Why insist on writing experience out of our analytical screen? Emotions are very much a part of our ability to analyze\u2014that is to say, to mobilize\u2014a text. If we wipe them away or compartmentalize them, we end up reproducing the view from above and from nowhere. Speaking of cultural hybridization and feminism, Trinh T. Minh-ha writes that \"thought is as much a product of the eye, the finger, or the foot as it is of the brain.\" In handling film, I might add the heart to the archive of haptic tools for analysis that includes the foot\u2014essential, indeed, for the historian-voyager mapping a sense of space.\n\nOne may choose a favorite body part with which to design one's own map of knowledge, and it does make a difference. But, whatever the body part, knowledge is indeed connected to the body of _emotion_ and to the fabric of affects. It belongs to a tender cartography. Theoria, as we have shown, can be (indeed, has been) imaged in a sentient \"fashion,\" equipped with all the \"accoutrements\" for feeling. At the very least, it participates in the design of \"the geometry of passions.\" Even when the object is not passion itself, there is always a desire to know, which has all sorts of passionate implications, including resistance and rejection. When knowledge is set in motion, one senses a critical sympathy shared with a body of texts and with human subjects. This sympathy may lead to absorption and drive knowledge on its path, sculpting the itinerary of its multiple positioning.\n\nAnalysis is about passage, about the complex erotics of intersubjectivity, about the _transito_ of intertextural incorporation. The traveling motion of dwelling, theory is a partial perspective: it is located, produced, and seen from a subjective angle. The work of theory is indeed quite bodily driven and very _emotional_. Its traveling lens is, in a way, a prosthesis. An antenna\u2014an intellectual feeler\u2014is planted on the critic's head just as it was in Ripa's sixteenth-century portrait of Theoria. It is an implement for our intimate exploration of inhabited cultural sites. Our _vissuto_ \u2014the ever-changing space of our lived experience\u2014is an essential part of this critical architectonics. In sensing cultural movements, the lived space of theory (a fragment, a view from our map) becomes a \"moving\" view.\n\n### A VIEW FROM MY MAP\n\nThese wanderings, of course, go back and forth, weaving in and out of _my_ \"Voyage in Italy,\" for a film like _Voyage in Italy_ acts on that Lefebvrian transformation by which a social subject turns the urban space into a bodily lived experience\u2014a transformation that occurs for the tourist as for the native. To traverse this text is to unfold some of the theoretical and _emotional_ threads of the narrativized architecture of lived space. As I rewind back to the film, I am reminded of Walter Benjamin's words: \"If lived experience and lived knowledge are the conditions of all writings of travel, where can one find in Europe an object as good as Naples, where the traveler is just like the native?\" _Voyage in Italy_ showed me that cultural travel\u2014a form of remapping\u2014has to do with one's affective topography, just as motion connects with emotion. The same could be said for the act of writing, when it is topographically driven and experienced as a travel of the room. Alfred D\u00f6blin described his own process:\n\n_I could not rest until I sat down in front of the blank page.... I had to open a secret door and enter a quiet room that belonged only to me..._.\n\n_I see myself placed before backdrops, pushed into landscapes and situations that surfaced in me.... The words that entered my room... wore a kind of ghostly attire. They were not permitted to come in otherwise.... It is an odd thing, writing. I never began until my ideas... appeared clothed in language. Once I possessed this image, I set out on it, my pilot boat, from the harbor, and I would soon see a ship, a great ocean liner, and boarded and continued sailing and was in my element, I traveled and made great discoveries and only months later did I return home.... My journeys behind closed doors took me to China, India, Greenland, to other eras, and out of time as well..._.\n\n_What could be brought back from such travels? In the end, a book._\n\nBoth traveler and native, I voyaged in Italy in the end to know my geography. Doing so has allowed me to hear Benjamin again, citing from a diary: \"the journey to discover my geography\" is what I write.\n\nAs I write I am redrawing a map, perhaps _my_ map. I constantly picture myself in the scene of Annette Lemieux's installation _Portable World_ (1986), where a mapping scrolls through the screen of writing. Writing, like cartography, is a \"transport\"; it has always been a form of mapping for me, and this material charting, like cartography itself, has essentially to do with its etymological root: _grapho_. _Grapho_ is writing, drawing, recording. Geography, topography, and, indeed, cinematography are all connected, for they are all \"graphic\" arts of space. A suffix links them, a type of _grapho_. Geography, topography, and cinematography are forms of _\u00e9criture_ obsessed with sites, even the site itself of topophilia. They \"graph\" space with the love of place. Their common terrain is mapping, and graphing room (the room of one's own).\n\nBut what lies behind this \"graphic\" sensibility, this impulse to map? What drives my own critical impulse to map? Looking back at the origins of cartography, one may find clues to explain this cartographic obsession. The great explosion of geographical desire\u2014the drive to discovery, exploration, domination\u2014that took place in the sixteenth century was marked, as Svetlana Alpers points out, by \"the trust to maps as a form of knowledge and an interest in the particular kinds of knowledge to be gained from maps.\" This kind of knowledge was indeed particular: it was located, situated, and diffused among a range of individual scholars in different fields. Among the cartographers was Cornelis Drebbel, an experimenter in natural knowledge who devised a machine of perpetual motion and, early in his career, mapped his home town of Alkmaar, in the Netherlands. There was also Comenius, author of _Orbis Sensualium Pictus_ (1658) and texts on gardening, painting, and building, who made the first map of Bohemia before he was forced to leave. \"Each man made only a single map in a lifetime,\" Alpers tells us. Mapping \"seems to have been an accepted way to pay one's respect to one's home while contributing to the knowledge of it.\" Rather than the description of an elsewhere, mapping turns out to be a domestic enterprise. The cartographer travels domestic, so to speak, as she maps her own territory. Cartography, a public form of knowledge, is actually a private journey, a mapping of one's own\u2014a drawing of one's home. No wonder only one map was drawn in a lifetime. Perhaps, in the end, one can aspire only to chart a single graphic design and expect to spend a lifetime drawing it: the one imaginative map, the map of one's home.\n\n12.7. Annette Lemieux, _Portable World_ , 1986. Typewriter with black-and-white photo scroll.\n\n12.8. Views from the keyboard of Annette Lemieux in _The Ascension_ , 1986. Typewriter and gelatin silver prints. Detail.\n\nVermeer's impulse to map may be one imaginary model for this type of critical cartography, for this painter of interiors and domestic scenes produced only a single landscape in his career: _View of Delft_ (c. 1660\u201361), a view of his home town. He moved inward from this panoramic view of the city only so far as _The Little Street_ (c. _1657\u201358)_ , a \"close-up\" of one of its alleys. His interiors were mostly populated by women in a room, who often look out of the frame from their position by the window, behind a desk, or in a corner. Recurrently, as, for instance, in _Woman in Blue Reading a Letter_ (c. 1663\u201364), _Young Woman with a Water Pitcher_ (c. 1664\u201365), or _The Art of Painting_ (c. 1666\u201367), his female subjects are juxtaposed with wall maps. The interiors include only two men, _The Geographer_ (c. _1668\u201369)_ and _The Astronomer_ (c. 1668). They are alone, absorbed in the same representational space the women occupy. One wonders if this similar epistemic placement makes the geographer and the astronomer \"honorary women,\" as Svetlana Alpers has suggested; or, in the reverse postulation, if the women are honorary cartographers.\n\nWhichever the case, this reciprocal epistemic interplay renders a sense of intimate geographic space. It even suggests that cartography is itself an intimate drafting\u2014a liminal passage from private to social history. To reinforce this metabolic picturing in filmic terms, let us recall the pictures of Hiroshi Sugimoto, who works \"like an astronomer\" and \"calculate[s] the passage of the moon\" and the speed of light in photographs that \"themselves function like paintings\" and are drawn as maps. Sugimoto invokes the labor of the geographer and the astronomer in picturing an inner cosmology that includes the residual landscape of the cinema in its texture, geographically rendering that intimate setting of the emotional binding that constructs the movie house itself. However one looks at these connective representational spaces\u2014from Vermeer's geographic observations of the interior and his _View of Delft_ to the various liminal cartographies mapped in this book\u2014mapping is exposed as a venture into one's local archive. Mapping is, indeed, a topophilic _emotion_ \u2014that \"journey to discover my geography.\"\n\n### VIEWS FROM HOME\n\nMapping one's home town, drawing a room of one's own: for me, such a _camera_ \u2014and the camera, the \"room,\" that generates film\u2014is a room with a view. As I wander around my home town with _Voyage in Italy_ , I wonder if my critical obsession for mapping and views, and for inscribing cinema in their representational history, has a direct link with the topography of this place. As we have seen, Naples is a city of great views and a visceral maze of street life; this well-traveled, transient city, porous as skin, was a founding topos in the geography of view painting\u2014that \"in-between\" painting and mapping\u2014which we claimed was a predecessor to cinema's own mobile _vedute_. Drafted in countless etchings, Naples is a site of cartographic imaging. As a mental mapping, this urban imaging is perhaps \"etched\" so strongly that it may lead a critical subject like myself to follow its very topographic paths.\n\nBut can a critical map resemble a city map? Does location thus affect the way to knowledge? What of the mimesis of such (dis)placements? Are there critical cases of that \"mimicry\" between subject and space envisaged by Roger Caillois? Is our form of knowledge\u2014our own cartographic impulse\u2014somehow drafted out of and grafted onto \"the image of the city\"? Is one to look for such spatial clues back in the topography of one's home (town)? Is the map this intimate? Is it always drawn upon a mattress? Recall the emotional maps of Guillermo Kuitca: maps where places are multiplied and displaced; maps that turn home into an airport; maps charted in the interior, suited to our beds.\n\nWhat also comes to mind is the \"tender\" geography exhibited in the series of paintings and drawings made by Louise Bourgeois beginning in the early 1940s called _Femme-Maison_ , which represent women in the shape of houses, joining the architecture of the body and the house in the itinerary of dwelling. In exposing this link through the many stories of the house that we have revisited in film, art, and architecture, a haptic map of inhabitation is designed, where _domus_ is not confused with domesticity and location is the ground of departure. This \"traveling domestic\" is the retrospective voyage of culturally hybrid subjects. It is not by chance that Louise Bourgeois, a French artist transplanted in New York who, for sixty years, has mapped the architecture of the interior, included a map of her home town in her autobiographical book of pictures, marking in red the itinerary of her travels within. In inscribing a colored path on her map, she used the same form of cartographic writing that, as we have seen, colors most maps of bio-history and marks the process of their emotional construction. In this affective mapping, home can indeed turn into a voyage.\n\n12.9. Louise Bourgeois, _Femme-Maison_ , 1947. Ink on paper.\n\n### _MY_ \"VOYAGE IN ITALY\"\n\nViews from home. _News from Home. My_ \"Voyage in Italy.\" A retrospective voyage. I rewind back through filmic archives, for \"the nomad's identity is a map of where s\/he has already been; s\/he can always reconstruct it a posteriori, as a set of steps in an itinerary.\" Unavoidably, my cultural fabric leads me to travel \u00e0 _rebours_ into a future past, filmically \"rewinding\": revisiting places known or unknown, left, found, hyphenated on the filmic reel to be projected forward. In this cartographic mobilization of historical grounds, histories and stories are planted on the experiential chart, reinvented on the map of _bios_ as we readdress or redress them in the imaginative process that takes the measure of our emotions.\n\nIn mapping, we draw (in) the past, not to conserve bygone images but to grasp their conflation with the present and assess if it is really offering us something new. In so doing, we open our eyes to what we could not before see of our present, which may become a barrier to our future. Like the replicants of _Blade Runner_ , we still scan the map of our lived space, not to find what we have lost but to search for clues of our finite historicity, to measure what pleasures of discovery may lie ahead. Photographic and filmic memories\u2014fragile yet enduring\u2014are fragments of this archival process, porously embedded in our lacunar path, part of our own shifting cartography. As moving documents of history and fractions of our personal stories, films act as traces, vehicles, and passages of our retrospective subjectivity. It is to represent this relational place that we draw maps of the intimate spaces we have inhabited. The history of film is the story of this habitation. It is quite a porous story of reversible _emotional_ access and interface.\n\nIn this specific cartographic sense, cinema shares a course with psychoanalysis, which is itself a cartography: its analytic path is also a charting-screening of the subject's relational space. Such an intersubjective path leads one back into the presence of one's history on a composite screen of cultural memory. It digs into sites in ways that recall those of archaeology and contemporary art restoration, for their methodologies also enable the mobile observer to perceive the palpable textures of analytic intervention and to trace the effects of duration in representation. This process of archaeological excavation affected the way my stories of cultural history were retraced and mapped. _My_ \"Voyage in Italy\" was another attempt at a dig in intimate space: a personal journey on my _Carte de Tendre_. My archaeology\u2014a geopsychic landscape\u2014surfaced as I traveled with Katherine on a city map, down into the catacombs and out to the excavation sites of Pompeii. Traveling with a motion picture that is nothing but this architectural tour, house turned into voyage and the fibers of my own emotional cartography were \"moved,\" for film is, indeed, a traveling dwelling for one's history and geography: a reciprocal, emobile mapping of transformative sites.\n\n12.10. A pedestrian archive: Annette Messager, _My Trophies_ , 1987. Acrylic, charcoal, and pastel on gelatin silver prints, framed in wood.\n\n### POSTSCRIPT\n\nIn closing the account of my return to Italy with this last intended _error_ , should I dig any further? Should I uncover the Italian root of my \"emobile\" thinking? You probably know the pun. _Mobile_ , in Italian, stands for a domestic object, a piece of furniture. It is an armoire. \"Mobile\" is, indeed, an interior design. Quite an emobile mapping.\n\n12.11. The fabric of an intimate archaeology in the armoire of Doris Salcedo's _Untitled_ , 1995. Wood, cement, cloth, glass, and steel. Detail.\n\n### P.S. TO THE POSTSCRIPT\n\nWas there anything left for me to see in this _mobile?_\n\n> _To write in order to close_\n> \n> _To write the letter to the father..._\n> \n> _I went, then I wrote..._\n> \n> _Visions in passing..._\n> \n> _Travels..._\n> \n> _On the way I still passed [the place]_\n> \n> _where my mother comes from...._\n> \n> _And slowly you realize that_\n> \n> _it is always the same thing_\n> \n> _that is revealed_ ,\n> \n> _a little like the primal scene..._.\n> \n> _There is nothing to do;_\n> \n> _it is obsessive_\n> \n> _and I am obsessed..._.\n> \n> _Despite cinema_.\n> \n> _Once [it] was finished_ ,\n> \n> _I said to myself_ ,\n> \n> _so_ that's _what it was:_\n> \n> that, _again_.\n> \n> \u2014Chantal Akerman\n\nCircular returns. Spinning backward. Back to my own archaeology. Back to filmic genealogy. Visions in passing. Travels. On the Italian tour, a tarnished memory resurfaces from beyond the pleasure principle. Going back to Naples for the death of my father, I revisited the house that he had inhabited and left behind. There was a _mobile_. And inside this _mobile_ there was a round cookie box inscribed with pictures that could be constantly (re)turned. There were no more cookies. They were long gone. But the box still fed me.\n\nThis box with pictures was a regular feature at breakfast time in our house. Spinning the round box, my father used to \"animate\" the pictures. Absorbing views and a landscape of captivating stories habitually unfolded for me from the moving box. The cookie box turned into a magic box. It opened a \"new world.\" A domestic version of an optical box, the empty cookie box was, indeed, my own _bo\u00eete_ \u00e0 _curiosit\u00e9_ , my first _mondo nuovo_. It affectively navigated a way of thinking for me. And so I ate. Pictures. Motion pictures. Stories of the I\/eye, amorously spun out of a kino-box-mouth. Emotion pictures. A digestible landscape. A moving place of \"sustenance.\"\n\nOnce the book is finished, I can say to myself, so _that's_ the archaeological turn I was after. Reinventing that loving, moving box. Rewind, and it will spin. A reel of moving landscapes. The obsessively returning graphic design of the emotion. Genealogic turns of the memory path. Haptic maps of affective localities. An intimate geography of vicinity. That fragile topophilia. A Richter _Atlas_. An atlas tenderly fashioned as a _Carte de Tendre_. A history of one's moving pictures. A graph of my own emotion pictures. _Kinema_ , indeed.\n\n## **Notes**\n\n**Prologue**\n\nMadeleine de Scud\u00e9ry, _Cl\u00e9lie, histoire romaine_ , 10 vols., Paris: Augustin Courb\u00e9, 1654\u201360.\n\nGiuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993.\n\nWalter Benjamin thus dedicated his book _One Way Street:_ \"This street is named Asja Lacis Street after her who as an engineer cut it through the author.\" See Benjamin, _One Way Street_ , trans. Edmund Jephcott and Kingsley Shorter, London: Verso, 1979, p. 45.\n\n _Oxford English Dictionary_ , vol. 5, Oxford: Clarendon Press, 1989, p. 183.\n\n**1 Site-Seeing: The Cine City**\n\nFor the Latin root of the word _error_ , see P. G. W. Glare, ed., _Oxford Latin Dictionary_ , Oxford: Clarendon Press, 1982, p. 618.\n\nAlthough the notion of the haptic permeates the entire construction of this book, for a discussion that addresses specific uses of the notion, see chapter 8.\n\nTo understand the notion of the gaze in film theory within the larger context of a history of ocularcentric discourse, see Martin Jay, _Downcast Eyes: The Denigration of Vision in Twentieth-Century French Thought_ , Los Angeles: University of California Press, 1994; and Rosalind Krauss, _The Optical Unconscious_ , Cambridge: MIT Press, 1993.\n\nThroughout this book, I use the term _genealogy_ in the Foucauldian sense, not to mean a search for origins, but to designate a set of circumstances defining the production of a discourse or series of discourses. See Michel Foucault, \"Nietzsche, Genealogy, History,\" in _Language, Counter-Memory, Practice: Selected Essays and Interviews_ , ed. Donald F. Bouchard, trans. Bouchard and Sherry Simon, Ithaca, N.Y.: Cornell University Press, 1977.\n\nFor an introduction to the rich field of research on early film space, see Thomas Elsaesser, ed., with Adam Barker, _Early Cinema: Space, Frame, Narrative_ , London: British Film Institute, 1990.\n\nOn this subject, see (along with works cited later) Leo Charney, _Empty Moments: Cinema, Modernity, and Drift_ , Durham, N.C.: Duke University Press, 1998; Charney and Vanessa R. Schwartz, eds., _Cinema and the Invention of Modern Life_ , Los Angeles: University of California Press, 1995; Edward Dimendberg, \"The Will to Motorization: Cinema, Highways, and Modernity,\" _October_ , no. 73, Summer 1995, pp. 91\u2013137; James Donald, \"The City, The Cinema, Modern Spaces,\" in Chris Jenks, ed., _Visual Culture_ , London: Routledge, 1995; and Mary Ann Doane, \"Technology's Body: Cinematic Vision in Modernity,\" _Difference_ , vol. 5, no. 2, Summer 1993, pp. 1\u201323.\n\nJonathan Crary, _Techniques of the Observer: On Vision and Modernity in the Nineteenth Century_ , Cambridge: MIT Press, 1990.\n\nSee Wolfgang Schivelbusch, _The Railway Journey: The Industrialization of Time and Space in the 19th Century_ , Los Angeles: University of California Press, 1986.\n\nSee Anne Friedberg, _Window-Shopping: Cinema and the Postmodern_ , Los Angeles: University of California Press, 1993.\n\nSee Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993; and Bruno, \"Bodily Architectures,\" _Assemblage_ , no. 19, 1992, pp. 106\u201311.\n\nCommitted to a Foucauldian awareness of \"the position from which one speaks,\" I have restricted myself mostly to Western views, with occasional contaminations, in order to avoid the risk of attempting a world encyclopedia. This includes refraining from comment on the private life of cultures about which I do not feel qualified to speak, for this is a critical dialogue that draws (and draws on) the geography and viewpoints I have inhabited, both in my skin and on the screen.\n\nPaul Virilio, _The Lost Dimension_ , trans. Daniel Moshenberg, New York: Semiotext(e), 1991, p. 25.\n\nTom Gunning, \"From the Kaleidoscope to the X-Ray: Urban Spectatorship, Poe, Benjamin, and _Traffic in Souls_ (1913),\" _Wide Angle_ , vol. 19. no. 4, 1997, p. 33.\n\nAfter a few examples dated 1896, the genre took off in 1897. By 1907, the number of titles thinned, but the genre continued through the mid-twenties. The teens do not appear to have brought substantial innovations in style, nor to have brought about a real exploration of editing potential.\n\nSee, in particular, chapters 2 and  for a discussion of these ideas.\n\nNot many of the balloon films appear to have survived. Among them are _Bird's Eye View of San Francisco from a Balloon_ (Edison, 1902) and _Panoramic View of Electric Tower from a Balloon_ (Edison, 1901). The latter is misleading, for the representation results from the up-and-down motion of the camera and, despite the film's title, it is not clear that it was shot from a balloon. Sometimes, rather than strictly aerial photography, one finds lateral tracks. There are also pans of the city below, from the relatively static position of the balloon.\n\nOn the culture of the railroad film, see Lynne Kirby, _Parallel Tracks: The Railroad and Silent Cinema_ , Durham, N.C.: Duke University Press, 1997.\n\nGiven the camera's position in these train films, one is transported not only along but into the landscape. It is interesting that instead of offering lateral views\u2014the ones that a passenger would see from the train's windows\u2014these films offer the frontal views that the person who operates the train would see. The frontal view is developed, for example, in _Panoramic View of the Gorge Railroad_ (Edison, 1901); _Panoramic View of the White Pass Railroad_ (Edison, 1901); _Panoramic View of the Golden Gate_ (Edison, 1902); _Panorama from Incline Railway_ (AM&B, Robert K. Bonine, 1902); _Panorama from Running Incline Railway_ (AM&B, Robert K. Bonine, 1902); _Panorama of Great Gorge Route over Lewinston Bridge_ (Edison, 1901); _Panoramic View, Horseshoe Curve From Penna R.R_. (Edison, 1899); _Panoramic View, Kicking Horse Canyon_ (Edison, 1901); _Panoramic View, Lower Kicking Horse Canyon_ (Edison, 1901); _Panoramic View of the White Pass Railroad_ (Edison, 1901); and _Panoramic View, Albert Canyon_ (Edison, 1901).\n\nSpecific bibliographical reference on the city films analyzed is provided over the course of the chapter. The following exhibition catalogues and special issues of journals offer a descriptive survey of the city in film: _Cit\u00e9s-Cin\u00e9s_ , La Villette: Editions Ramsay, 1987 (exhibition catalogue); _Architecture: r\u00e9cits, figures, fictions, Cahiers du CCI_ , no. 1, Paris: Editions du Centre Pompidou\/CCI, 1986; _Images et imaginaires d'architecture_ , Paris: Editions du Centre Pompidou, 1984 (exhibition catalogue); and _Architectural Design_ , special issue \"Architecture and Film,\" no. 112, 1994. Italian sources include Fanny Moro and Paolo Romano, eds., _Lampi metropolitani_ , Verona: Cierre Edizioni, 1994; Gian Piero Brunetta and Antonio Costa, eds., _La citt\u00e0 che sale_ , Trento: Manfrini Editori, 1990 (exhibition catalogue); Marisa Galbiati, ed., _Proiezioni urbane_ , Milan: Tranchida, 1989; Donatella Mazzoleni, ed., _La citt\u00e0 e l'immaginario_ , Rome: Officina, 1985; Antonella Licata and Elisa Mariani Travi, _La citt\u00e0 e il cinema_ , Bari: Dedalo, 1985; and Alessandro Cappabianca and Michele Mancini, _Ombre urbane_ , Rome: Edizioni Kappa, 1981.\n\nFor a survey of the city film, see Helmut Weismann, \"The City in Twilight: Charting the Genre of the City Film, 1900\u20131930,\" in Francois Penz and Maureen Thomas, eds., _Cinema and Architecture: M\u00e9li\u00e8s, Mallet-Stevens, Multimedia_ , London: British Film Institute, 1997. For a survey of later periods, see Larry Ford, \"Sunshine and Shadow: Lighting and Color in the Depiction of Cities on Film,\" in Stuart C. Aitken and Leo E. Zonn, eds., _Place, Power, Situation, and Spectacle: A Geography of Film_ , London: Rowman and Littlefield, 1994.\n\nOn the city films of Germany, see Patrice Petro, _Joyless Streets: Women and Melodramatic Representation in Weimar Germany_ , Princeton: Princeton University Press, 1989; and Katharina Von Ankum, ed., _Women in the Metropolis: Gender and Modernity in Weimar Culture_ , Los Angeles: University of California Press, 1997. On _Berlin, Symphony of the Big City_ , see Anke Gleber, \"Female Fl\u00e2nerie and the _Symphony of the City,\"_ in Von Ankum, ed., _Women in the Metropolis;_ and Wolfgang Natter, \"The City as Cinematic Space: Modernism and Place in _Berlin, Symphony of a City,\"_ in Aitken and Zonn, eds., _Place, Power, Situation, and Spectacle_. On Italian city films, see my _Streetwalking on a Ruined Map_.\n\nThe theoretical outlook that interfaces film and architecture is a field in the making. A growing number of conferences and publications are addressing this issue, fostering a creative synergy that awaits fuller articulation. Important publications that have promoted the dialogue between architecture and film include: Penz and Thomas, eds., _Cinema and Architecture;_ David B. Clarke, ed., _The Cinematic City_ , New York: Routledge, 1997; and Dietrich Neumann, ed., _Film Architecture: Set Designs from Metropolis to Blade Runner_ , New York: Prestel, 1996. See also _Wide Angle_ , special issue \"Cityscapes I,\" ed. Clark Arnwine and Jesse Lerner, vol. 19, no. 4, October 1997; and _Iris_ , special issue \"Cinema and Architecture,\" ed. Paolo Cherchi Usai and Frank Kessler, no. 12, 1991.\n\nAn essential intervention on the cine city was made at the conference and film retrospective \"Cine-City: Film and Perceptions of Urban Space, 1895\u20131995,\" held at the Getty Center in Los Angeles, 25 March-7 April 1994, where chapters 1 and  of this book were presented in an earlier, combined version. See also the proceedings of the conference \"(In)Visible Cities: From the Postmodern Metropolis to the City of the Future,\" New York, 3\u20136 October 1996, ed. Pellegrino D'Acierno, forthcoming from Monacelli Press, where an essay adapted from this book was also presented.\n\nThe international biennial film+arc.graz, directed by Charlotte P\u00f6chhacker in Graz, Austria, which had its third edition 12\u201316 November 1997, is an ongoing site of exchange between architecture and film. Recent exhibition catalogues published include _Film+arc.graz **3.** Internationale Biennale_, Graz: 1997; and _Film+arc.graz **2.** Internationale Biennale Film und Architektur_, Graz, 1995.\n\nSee, for example, P. Morton Shand, _Modern Picture-Houses and Theatres_ , Philadelphia: J. B. Lippincott, 1930.\n\nOn _Metropolis_ and modernity, see Anton Kaes, \"Metropolis: City, Cinema, Modernity,\" in Timothy Benson, ed., _Expressionist Utopia_ , Los Angeles: County Museum of Art, 1993 (exhibition catalogue); Dietrich Neumann, \"Before and After _Metropolis:_ Film and Architecture in Search of the Modern City,\" in Neumann, ed., _Film Architecture;_ and Paola Antonelli and Romana Schneider, \"Metropolis in Vitro,\" _Domus_ , no. 717, June 1990, pp. 74\u201380.\n\nOn this subject, see Janet Lungstrum, _\"Metropolis_ and the Technosexual Woman of German Modernity,\" in Von Ankum, ed., _Women in the Metropolis;_ Peter Wollen, \"Cinema\/Americanism\/the Robot,\" _New Formations_ , no. 8, Summer 1989, pp. 7\u201334; Andreas Huyssen, \"The Vamp and the Machine,\" in _After the Great Divide: Modernism, Mass Culture, Postmodernism_ , Bloomington: Indiana University Press, 1986; Roger Dadoun, _\"Metropolis:_ Mother-City\u2014'Mittler'\u2014Hitler,\" _Camera Obscura_ , no. 15, 1986, pp. 136\u201363; Patricia Mellencamp, \"Oedipus and the Robot in _Metropolis,\" Enclitic_ , no. 5, Spring 1981, pp. 20\u201342; and Stephen Jenkins, \"Lang: Fear and Desire,\" in Jenkins, ed., _Fritz Lang: The Image and the Look_ , London: British Film Institute, 1981.\n\nOn the notion of cyborg, see Donna J. Haraway, _Simians, Cyborgs, and Women: The Reinvention of Nature_ , New York: Routledge, 1991, especially chapter 8.\n\nIn _Metropolis_ , the android is made to the image of the human and is a perfect copy. However, a distinction between copy and original is retained somewhat at the ethical level. The android may look like a human but it is still proven to be a fake, for the \"False Maria\" is not as good as the original. By the time _Blade Runner_ came to be made, the blur between original and copy was further eroded in favor of the cyborg, and the replicants have no originals. They are not remakes and furthermore exist on their own terms.\n\nAnnette Michelson, \"Dr. Crase and Mr. Clair,\" _October_ , no. 11, Winter 1979, p. 44.\n\nSee Lisa Cartwright, _Screening the Body: Tracing Medicine's Visual Culture_ , Minneapolis: University of Minnesota Press, 1995.\n\nThe film's script was written by H. G. Wells, based on his book _The Shape of Things to Come_ (1933). On this film, see, among others, Christopher Frayling, _Things to Come_ , London: British Film Institute, 1995.\n\nL\u00e1szl\u00f3 Moholy-Nagy, _Painting, Photography, Film_ , trans. Janet Seligman, Cambridge: MIT Press, 1969. This originally appeared as Bauhaus Book, no. 8, in 1925.\n\nOn this film and urban modernity, see Annette Michelson, _\"The Man with a Movie Camera:_ From Magician to Epistemologist,\" _Artforum_ , vol. 10, no. 7, 1972, pp. 62\u201372, in which _Paris qui dort_ is also discussed in relation to epistemic approaches of montage.\n\nSee Vlada Petr\u00edc, _Constructivism in Film: The Man with the Movie Camera: A Cinematic Analysis_ , Cambridge: Cambridge University Press, 1987.\n\nSee Vertov, _Kino-Eye: The Writings of Dziga Vertov_ , ed. and with an introduction by Annette Michelson, trans. Kevin O'Brien, Los Angeles: University of California Press, 1984.\n\nAndre Bazin called attention to the \"mummy complex\" of the plastic arts in his \"The Ontology of the Photographic Image,\" in _What is Cinema?_ , vol. 1, ed. and trans. Hugh Gray, Los Angeles: University of California Press, 1967.\n\nOn _L'Inhumaine_ , see Odile Vaillant, \"Robert Mallet-Stevens: Architecture, Cinema and Poetics,\" in Penz and Thomas, eds., _Cinema and Architecture;_ Luc Wouters, \"Cinema and Architecture,\" in Jean Francois Pinchon, ed., _Robert Mallet-Stevens, Architecture, Furniture, Interior Design_ , Cambridge: MIT Press, 1990; Michel Louis, \"Mallet-Stevens and the Cinema 1919\u20131929,\" in Hubert Jeanneau and Dominique Deshouli\u00e8res, eds., _Robert Mallet-Stevens, Architecte_ , Brussels: Editions des Archives d'Architecture Moderne, 1980; Donald Albrecht, _Designing Dreams_ , New York: Harper and Row, 1986, pp. 43\u201351; and Antonio Costa, \"Cinema, avanguardie storiche e koine modernista: _L'Inhumaine_ di Marcel l'Herbier,\" in Brunetta and Costa, eds., _La citt\u00e0 che sale_.\n\nIn addition, Pierre Chareau and Michel Dufet designed the furniture; Raymond Templier, the jewels; Lalique, Puiforcat, and Jean Luce, glassware and carpets. The musical score was composed by Darius Milhaud.\n\nMallet-Stevens, \"Le decor\" (1929), in _Iris_ , no. 12, 1991, pp. 129\u201337; and Mallet-Stevens, _Le Decor moderne au cinema_ , Paris: Massin, 1928.\n\nSee Adolf Loos, _\"L'Inhumaine:_ Histoire f\u00e9erique,\" _Neue Freie Presse_ , 29 July 1924.\n\nSee chapters 5 and  for a treatment of the relation of the cabinet of curiosity to (pre)cinematic culture.\n\nThe literature on _Sunrise_ includes Lotte Eisner, _Murnau_ , Berkeley: University of California Press, 1973; Robin Wood, \"Murnau II, _Sunrise,\" Film Comment_ , May-June 1976, pp. 10\u201312; Mary Ann Doane, \"Desire in _Sunrise,\" Film Reader_ , no. 2, 1977, pp. 71\u201377; and Dudley Andrew, _Film in the Aura of Art_ , Princeton: Princeton University Press, 1984, pp. 28\u201358.\n\nThe set was designed by Rochus Gliese.\n\nRene Clair's statement is cited by Paul Virilio in _The Lost Dimension_ , p. 69.\n\nSet design is a crucial aspect of cinema which, regrettably, has been the focus of too little critical investigation. The field has opened up with such important scholarly contributions as Albrecht, _Designing Dreams;_ and Charles Affron and Mirella Jona Affron, _Sets in Motion: Art Direction and Film Narrative_ , New Brunswick: Rutgers University Press, 1995. In Spanish, see Juan Antonio Ramirez, _La arquitectura en el cine: Hollywood, la edad de oro_ , Madrid: Hermann Blume, 1986. In Italian, see Alessandro Cappabianca, Michele Mancini, and Umberto Silva, _La costruzione del labirinto_ , Milan: Mazzotta Editore, 1974.\n\nFor a survey of this cine city, see Donald Albrecht, \"New York, Olde York: The Rise and Fall of a Celluloid City,\" in Neumann, ed., _Film Architecture_.\n\nSee Edward Dimendberg, \"From Berlin to Bunker Hill: Urban Space, Late Modernity, and Film Noir in Fritz Lang's and Joseph Losey's M,\" _Wide Angle_ , vol. 19, no. 4, October 1997, pp. 62\u201393, a part of his forthcoming book, _Film Noir and The Spaces of Modernity;_ Joan Copjec, ed., _Shades of Noir: A Reader_ , New York: Verso, 1993; Rosalyn Deutsche, _\"Chinatown_ , Part Four? What Jake Forgets about Downtown,\" in _Evictions: Art and Spatial Politics_ , Cambridge: MIT Press, 1996; Frank Krutnik, \"Something More than Night: Tales of the _Noir_ City,\" in Clarke, ed., _The Cinematic City;_ and Paul Arthur, _Shadows on the Mirror: Film Noir and Cold War America_ , Ph.D. dissertation, New York University, 1985.\n\nThe film, directed by De Sica, was written by his collaborator, the writer and critic Cesare Zavattini, with Truman Capote, from a treatment by Zavattini. For the debate that it stirred, see Umberto Barbaro, _Servit\u00f9 e grandezza del cinema_ , Rome: Editori Riuniti, 1962, pp. 223\u201327.\n\nSee chapter 8 for a treatment of _The Naked City_ in relation to the situationist map named after it and for a discussion of the workings of psychogeography in the film.\n\nThis is the definition of the city given by Emile Zola in _The Belly of Paris_ , trans. Ernest Alfred Vizetelly, Los Angeles: Sun and Moon Press, 1996.\n\nAndre Bazin, _What is Cinema?_ , vol. 2, ed. and trans. Hugh Gray, Los Angeles: University of California Press, 1971, p. 55. The film is known in English as _Bicycle Thief_ , although the Italian title underscores clearly the plurality of the situation: many are led by social conditions to become \"Bicycle Thieves.\" The wrong translation seriously obscures the film's social commentary.\n\nHenri Lefebvre, _The Production of Space_ , trans. Donald Nicholson-Smith, Oxford: Blackwell, 1991, p. 137.\n\nGilles Deleuze, _Cinema 1: The Movement-Image_ , trans. Hugh Tomlinson and Barbara Habberjam, Minneapolis: University of Minnesota Press, 1986, p. 12.\n\nSee Maurizio Viano, \"Mamma Roma Citt\u00e0 Aperta,\" in _A Certain Realism: Making Use of Pasolini's Film Theory and Practice_ , Los Angeles: University of California Press, 1993, pp. 87\u201393. Viano treats the film's ending, remarking on its two different views and reading it, in a different way, as the director's point of view\u2014that is, as an affirmation of Pasolini's \"free indirect subjective\" style.\n\nFor an architectural commentary on this and other Roman films, see David Bass, \"Insiders and Outsiders: Latent Urban Thinking in Movies of Modern Rome,\" in Penz and Thomas, eds., _Cinema and Architecture_.\n\nHomi K. Bhabha, _The Location of Culture_ , New York: Routledge, 1994, p. 9.\n\nWim Wenders, \"Impossible Stories,\" in Roger F. Cook and Gerd Gem\u00fcnden, _The Cinema of Wim Wenders: Image, Narrative, and the Postmodern Condition_ , Detroit: Wayne State University Press, 1997, p. 33.\n\nSee Yi-Fu Tuan, _Topophilia: A Study of Environmental Perception, Attitudes, and Values_ , New York: Columbia University Press, 1990. The notion of topophilia is addressed more fully in the present book in chapters 10, , and .\n\nWenders as interviewed in _Cahiers du CCI_ , no. 1, 1986, pp. 104\u20137.\n\nWenders, \"An Attempted Description of an Indescribable Film: From the First Treatment of _Wings of Desire,\"_ in _The Logic of Images: Essays and Conversations_ , trans. Michael Hofman, London: Faber and Faber, 1991, p. 77. For a reading of the angels as angels of history, see Cesare Casarino, \"Fragments on _Wings of Desire_ (Or, Fragmentary Representation as Historical Necessity),\" _Social Text_ , no. 24, 1990, pp. 167\u201381; Roger F. Cook, \"Angels, Fiction and History in Berlin: _Wings of Desire,\"_ in Cook and Gem\u00fcnden, _The Cinema of Wim Wenders;_ and Robert Phillip Kolker and Peter Beicken, _The Films of Wim Wenders_ , Cambridge: Cambridge University Press, 1993, chapter 6.\n\nWenders, \"An Attempted Description of an Indescribable Film,\" p. 81.\n\nOn Ledoux, see Anthony Vidler, _Claude-Nicolas Ledoux: Architecture and Social Reform at the End of the Ancien Regime_ , Cambridge: MIT Press, 1990.\n\nSee, in particular, chapters 9 and .\n\n _Contempt_ was adapted from Alberto Moravia's novel _A Ghost at Noon_ , trans. Angus Davidson, New York: Farrar Straus and Young, 1955.\n\n _The Waxen Venus_ (1782), made by Clemente Susini and Giuseppe Ferrini, was a celebrated anatomical model that fashioned an entire genre.\n\nI refer to the method of Abram Room's _Bed and Sofa_ (1926), a film that took place entirely in between the two objects of love and design in its title.\n\nSee chapter 11. Rossellini's _Viaggio in Italia_ has been distributed in English under many different names, including _Journey to Italy, Voyage to Italy, Strangers, The Lonely Woman, Love is the Strongest_ , and _The Greatest Love_. According to Adriano Apr\u00e0, the original English title is _Journey to Italy_ , a title given to the film by critics. The Italian title, however, actually means \"voyage in Italy.\" This last translation is not only correct but actually corresponds to the sense of the narrative: this is a voyage in, and not to, Italy.\n\nOn the influence of Rossellini's film on _Contempt_ , see Jean-Luc Godard, _\"Le m\u00e9pris,\"_ in _Jean-Luc Godard par Jean Luc Godard_ , ed. Alain Bergala, Paris: Cahiers du Cin\u00e9ma\u2014Editions de l'Etoile, 1985. Readings that also compare _Contempt_ to _Voyage in Italy_ include Kaja Silverman and Harun Farocki, _Speaking about Godard_ , New York: New York University Press, 1998, chapter 2; Michel Marie, _Le M\u00e9pris: Jean-Luc Godard, etude critique_ , Paris: Nathan, 1990; and Jacques Aumont, \"The Fall of the Gods: Jean-Luc Godard's _Le m\u00e9pris,\"_ in Susan Hayward and Ginette Vincendeau, eds., _French Films: Texts and Contexts_ , New York: Routledge, 1990.\n\nOn this house, see Marida Talamona, _Casa Malaparte_ , New York: Princeton Architectural Press, 1992; and Richard Flood, \"Curzio Malaparte: Casa Malaparte, 1938,\" _Artforum_ , Summer 1997; pp. 122\u201323.\n\nSee Frank Kessler, \"Les architectes-peintres du cinema allemand muet,\" _Iris_ , no. 12, 1991, pp. 46\u201354.\n\nMarguerite Duras, _The Lover_ , trans. Barbara Brey, New York: Pantheon Books, 1985; and Duras, _The North China Lover_ , trans. Leigh Hafrey, New York: New Press, 1992. On Duras's work in relation to mental architectural space, see Yann Beauvais, \"Remembrances\u2014Visible Cities,\" in _film+arc.graz **3.** Internationale Biennale_, 1997 (exhibition catalogue). For further treatment of _Hiroshima mon amour_ , see chapter 7.\n\nOn the subject of love and estrangement, see Julia Kristeva, _Tales of Love_ , trans. Leon S. Roudiez, New York: Columbia University Press, 1987; and Kristeva, _Strangers to Ourselves_ , trans. Leon S. Roudiez, New York: Columbia University Press, 1991. See also Stephen Kern, _The Culture of Love: Victorians to Moderns_ , Cambridge: Harvard University Press, 1992.\n\nOn the etymology of _metaphor_ , see Michel de Certeau, _The Practice of Everyday Life_ , trans. Steven Rendall, Los Angeles: University of California Press, 1984, p. 115.\n\nPlato, _Symposium_ , ed. Eric H. Warmington and Philip G. Rouse, New York: Mentor Books, 1956, especially pp. 97\u201398.\n\nRoger Caillois, \"Mimicry and Legendary Psychasthenia,\" _October_ , no. 31, Winter 1984, pp. 17\u201332.\n\nSee Marc Aug\u00e9, _Non-places: Introduction to an Anthropology of Supermodernity_ , trans. John Howe, London: Verso, 1995.\n\nSiegfried Kracauer, \"Farewell to the Linden Arcade\" (1930), in _The Mass Ornament: Weimar Essays_ , ed. and trans. Thomas Y. Levins, Cambridge: Harvard University Press, 1995, p. 342.\n\nSee Kracauer, \"The Hotel Lobby,\" \"Analysis of a City Map,\" \"Travel and Dance,\" and other Weimar-era essays in _The Mass Ornament_.\n\nKracauer, _Theory of Film: The Redemption of Physical Reality_ , New York: Oxford University Press, 1960, p. 98.\n\nMiriam Hansen, \"'With Skin and Hair': Kracauer's Theory of Film, Marseille 1940,\" _Critical Inquiry_ , no. 19, Spring 1993, pp. 437\u201369. See also Heide Schlupmann, \"Phenomenology of Film: On Siegfried Kracauer's Writings of the 1920s,\" _New German Critique_ , no. 40, Winter 1987, pp. 97\u2013114; and Petro, _Joyless Streets_.\n\nKracauer, _From Caligari to Hitler: A Psychological History of the German Film_ , Princeton: Princeton University Press, 1947, especially pp. 157\u201360.\n\nKracauer, _Theory of Film_ , especially p. 52.\n\nKracauer, \"Farewell to the Linden Arcade.\"\n\nKracauer, \"Cult of Distraction: On Berlin's Picture Palaces,\" in _The Mass Ornament_ , p. 325.\n\nFor a chronicle of film theaters of the modern era, see Shand, _Modern Picture-Houses and Theatres_. On the design context of the American picture house, see also Richard Guy Wilson, Dianne H. Pilgrim, and Dickran Tashjian, _The Machine Age in America 1818\u20131941_ , New York: Harry N. Abrams, in association with the Brooklyn Museum, 1986; and Maggie Valentine, _The Show Starts on the Sidewalk: An Architectural History of the Movie Theatre, Starring S. Charles Lee_ , New Haven: Yale University Press, 1994.\n\nEssential information on Kiesler's design has been drawn from the Kiesler fund at the Harvard Theatre Collection. On Kiesler, see _Frederick Kiesler, Artiste-architecte_ , Paris: Centre Georges Pompidou, 1996 (exhibition catalogue), and in particular the essay by Richard Becherer, \"Le Film Guild Cinema\"; Maria Bottero, _Frederick Kiesler: Arte Architettura Ambiente_ , Milan: Electa, 1995; and Lisa Phillips, ed., _Frederick Kiesler_ , New York: Whitney Museum of American Art, 1989 (exhibition catalogue).\n\nThe theater was featured in the famous \"Modern Architecture: International Exhibition,\" organized in 1932 at the Museum of Modern Art in New York by Philip Johnson and Henry-Russell Hitchcock.\n\nFrederick Kiesler, \"Building a Cinema Theater,\" _New York Evening Post_ , 2 February 1929, n.p.\n\nOn this subject, see Annette Michelson, \"Gnosis and Iconoclasm: A Case Study of Cinephilia,\" _October_ , no. 83, Winter 1998, pp. 3\u201318.\n\nBen M. Hall, _The Best Remaining Seats: The Golden Age of the Movie Palace_ , New York: Crown, 1961, p. 76.\n\nLloyd Lewis, in the _New Republic_ (1929), as cited by Robert A. M. Stern, \"Prologue: The Way They Were: The Twenties,\" in Jane Preddy, _Glamour, Glitz and Sparkle: The Deco Theatres of John Eberson_ , publication of the Theatre Historical Society of America, no. 16, 1989, p. 6.\n\nThese were places for parents to take their children when they could not remain silent during the show.\n\nWilliam Paul, \"Screening Space: Architecture, Technology, and the Motion Picture Screen,\" _Michigan Quarterly Review_ , special issue \"The Movies: A Centennial Issue,\" ed. Laurence Goldstein and Ira Konigsberg, vol. 35, no. 1, 1996, pp. 143\u201373; and Paul, \"Staging the Screen,\" paper presented at the Columbia University Seminar for Cinema and Interdisciplinary Interpretation, Museum of Modern Art, New York, 12 December 1996.\n\nEberson built more than forty atmospheric movie palaces, the majority of which have been destroyed, and altogether about three hundred movie theaters, including streamlined, art-deco versions. For useful information on Eberson's atmospheric career, see Richard Stapleford, \"The Architectural Significance of the Atmospheric Theater,\" and Jane Preddy, \"John Eberson and the Atmospheric Theatre,\" in _Temples of Illusion: The Atmospheric Theaters of John Eberson_ , New York: Bertha and Karl Leubsdorf Art Gallery of Hunter College, 1988 (exhibition catalogue).\n\nKessler, \"Les architectes-peintres du cinema allemand muet,\" pp. 51\u201352.\n\nEberson's daughters and son also collaborated with the father.\n\nStern, \"Prologue: The Way They Were,\" p. 6.\n\nDrew Eberson, son and partner of John Eberson, recalls that teachers brought classes to the movie theater to learn from the precise celestial map. See Drew Eberson, foreword to Michael Miller, \"Paradise in the Bronx,\" _Marquee_ , publication of the Theatre Historical Society of America, 1975, n.p.\n\nSee chapter 6 for this genealogy of cinema.\n\nSee Miller, \"Paradise in the Bronx\"; and Lloyd Ultan with the Bronx Historical Society, _The Beautiful Bronx 1920\u20131950_ , New York: Harmony Books, 1979.\n\nSee chapters 7 and  for an analysis of this genealogy.\n\n\"Interview with Hiroshi Sugimoto\" by Thomas Kellein, in _Hiroshi Sugimoto: Time Exposed_ , New York: Thames and Hudson, 1995 (exhibition catalogue), pp. 92\u201393. See also _Sugimoto_ , Madrid: Fundaci\u00f3 \"La Caixa,\" 1998 (exhibition catalogue); Ralph Rugoff, \"Half Dead,\" _Parkett_ , no. 46, 1996, pp. 132\u201337; _Motion Picture:_ Milan: Skira Editore, 1995; Russell Ferguson, ed., _Sugimoto_ , Los Angeles: Museum of Contemporary Art, 1993 (exhibition catalogue), with an essay by Kerry Brougher; and _Photographs by Hiroshi Sugimoto: Dioramas, Theatres, Seascapes_ , New York: Sonnabend Gallery, 1988.\n\nBazin, _What is Cinema?_ , vol. 2, p. 60.\n\nNorman Bryson, \"Hiroshi Sugimoto's Metabolic Photography,\" _Parkett_ , no. 46, 1996, pp. 121\u201322.\n\nSugimoto's statement is cited from the wall text of his exhibition at the Metropolitan Museum of Art, New York, 21 November 1995\u201314 January 1996.\n\n**2 A Geography of the Moving Image**\n\nSee, in particular, chapter 8.\n\nSergei M. Eisenstein, \"Montage and Architecture\" (c. 1937), _Assemblage_ , no. 10, 1989, with an introduction by Yve-Alain Bois, pp. 111\u201331. The text was originally to have been inserted in a book-length work.\n\nIbid., p. 116.\n\nEisenstein, \"'El Greco y el cine,\"' (1937\u201341), in _Cin\u00e9matisme: Peinture et cinema_ , ed. Francois Albera, trans. Anne Zouboff, Brussels: Editions complexe, 1980, pp. 16\u201317.\n\nThis phenomenon can also be explored in different contexts, as Annette Michelson shows when she considers Eisenstein's claims for subjectivity. See Michelson, \"Reading Eisenstein Reading _Ulysses:_ Montage and the Claims of Subjectivity,\" _Art and Text_ , no. 34, Spring 1989, pp. 64\u201378.\n\nEisenstein, \"Montage and Architecture,\" p. 117.\n\nSee Auguste Choisy, _Histoire de l'architecture_ , vol. 1, Paris: Gauthiers-Villars, 1889, p. 413. For a reading of the Acropolis as a sequence of views, see also C. A. Doxiadis, _Architectural Space in Ancient Greece_ (1937), ed. and trans. Jaqueline Tywhitt, Cambridge: MIT Press, 1972.\n\nEisenstein, \"Montage and Architecture,\" p. 117.\n\nIt was Walter Benjamin's belief that every epoch dreams the following, an idea expressed in his \"Fourier or the Arcades,\" in _Charles Baudelaire: A Lyric Poet in the Era of High Capitalism_ , trans. Harry Zohn, London: Verso, 1973.\n\nBernard Tschumi, _The Manhattan Transcripts_ , New York: St. Martin's Press, 1981, p. 7.\n\nIbid., p. 11.\n\nSee Tschumi, _Cin\u00e9gramme folie: Le Pare de La Villette, Paris Nineteenth Arrondissement_ , Princeton: Princeton Architectural Press, 1987. Defining the cinematic promenade as analogous to the film strip, Tschumi notes that \"in the cinema the relations between frames or between sequences can be manipulated through devices such as flashbacks, jumpcuts, dissolves and so on. Why not in architecture?\" (p. 12)\n\nSee the development of Tschumi's work, especially with the Glass Video gallery (1990), in Groningen, the Netherlands; and Le Fresnoy National Studio for the Contemporary Arts, Tourcoing, France. The latter, a center for leisure activities housed in an industrial warehouse, was ingeniously transformed by Tschumi into a cultural center that promotes interaction among the arts, including film.\n\nMichel de Certeau, _The Practice of Everyday Life_ , trans. Steven Rendall, Los Angeles: University of California Press, 1984.\n\nChoisy, _Histoire de Varchitecture_ , vol. 1, p. 413, cited by Eisenstein in \"Montage and Architecture,\" p. 118.\n\nEisenstein, \"Montage and Architecture,\" p. 120.\n\nLe Corbusier and Pierre Jeanneret, _Oeuvre complete_ , vol. 1, ed. Willi Boesiger, Zurich: Editions Girsberger, 1964, p. 60. Here, Le Corbusier speaks of the Maison La Roche (1922).\n\nAnthony Vidler, \"The Explosion of Space: Architecture and the Filmic Imaginary,\" in Dietrich Neumann, ed., _Film Architecture: Set Designs from Metropolis to Blade Runner_ , New York: Prestel, 1996. On Eisenstein and architectural history, see Yve-Alain Bois's introduction to Eisenstein's \"Montage and Architecture.\" On Choisy and Le Corbusier, see Richard A. Etlin, \"Le Corbusier, Choisy, and French Hellenism: The Search for a New Architecture,\" _Art Bulletin_ , no. 2, June 1987, pp. 264\u201378; and Stan Allen, \"Le Corbusier and Modernist Movement,\" _ANY_ , no. 5, March-April 1994, pp. 42\u201347.\n\nThis interview, the only one that Le Corbusier gave during his stay in Moscow in 1928, is cited in Jean-Louis Cohen, _Le Corbusier and the Mystique of the USSR_ , trans. Kenneth Hylton, Princeton: Princeton University Press, 1992, p. 49.\n\nSee Beatriz Colomina, _Privacy and Publicity: Modern Architecture as Mass Media_ , Cambridge: MIT Press, 1994.\n\nLe Corbusier, _Oeuvre complete_ , vol. 2, p. 24. Here, Le Corbusier develops the idea of the architectural promenade by reading the itinerary of Villa Savoye (1929\u201331) in relation to the movement of Arabic architecture.\n\nEisenstein, \"Piranesi, or the Fluidity of Forms,\" _Oppositions_ , no. 11, Winter 1977, p. 98. The essay, written c. 1947 and published first in 1964, focuses on Piranesi's _Prisons_ and begins with _Car cere Oscura_ (c. 1745), from the series _Opere vari\u00e9 di architettura_.\n\nAnne Hollander, _Moving Pictures_ , Cambridge: Harvard University Press, 1991.\n\nOn cinema's pictorialism, see Jacques Aumont, _L'oeil interminable: cinema et peinture_ , Paris: Librarie S\u00e9guier, 1989; Angela Dalle Vacche, _Cinema and Painting: How Art is Used in Film_ , Austin: University of Texas Press, 1996; Brigitte Peucker, _Incorporating Images: Film and the Rival Arts_ , Princeton: Princeton University Press, 1995; Pascal Bonitzer, _D\u00e9cadrage: Cinema et peinture_ , Paris: Editions de l'Etoile, 1985. On American nineteenth-century landscape painting and film language, see Scott MacDonald, \"Voyages of Life,\" _Wide Angle_ , vol. 18, no. 2, April 1996, pp. 101\u201326; and Iris Cahn, \"The Changing Landscape of Modernity: Early Film and America's 'Great Picture' Tradition,\" _Wide Angle_ , vol. 18, no. 3, July 1996, pp. 85\u2013100. Both issues are devoted to \"Movies Before Cinema\" and are edited by Scott MacDonald. For an early account, see Andre Bazin, \"Painting and Cinema,\" in _What is Cinema?_ , vol. 1, ed. and trans. Hugh Gray, Los Angeles: University of California Press, 1967.\n\nThe interdisciplinary study of art and film, which for some time has interested scholars such as Annette Michelson and Peter Wollen, is being forged as a discipline and becoming a site of exhibition. See, for example, the collection of essays by Michelson, _On the Eve of the Future_ , Cambridge: MIT Press, forthcoming; Peter Wollen, _Raiding the Icebox: Reflections on Twentieth-Century Culture_ , Bloomington: Indiana University Press, 1993; and Antonia Lant, \"Haptical Cinema,\" _October_ , no. 74, 1995, pp. 45\u201373. On the exhibition of art and film, see Russell Ferguson, ed., _Art and Film since 1945: Hall of Mirrors_ , New York: Monacelli Press, and Los Angeles: Museum of Contemporary Art, 1996 (exhibition catalogue); Philip Dodd and Ian Christie, eds., _Spellbound: Art and Film_ , London: British Film Institute and Hayward Gallery, 1996 (exhibition catalogue). See also, A.D., _Art and Design_ , special issue \"Art and Film,\" no. 49, 1996.\n\nThe bond between art and film, a concern throughout the book, is especially developed in chapters 6 through .\n\nFor an extended treatment of and bibliographical reference on the picturesque, see chapter 6.\n\nOn this view and map, see Louis Marin, _Utopics: Spatial Plays_ , trans. Robert A. Vollrath, New Jersey: Humanities, 1984, chapter 10.\n\nEisenstein, \"Synchronization of Senses,\" in _The Film Sense_ , ed. and trans. Jay Leyda, New York: Harcourt, 1942, p. 103.\n\nThe literature on view painting, a subject that will be explored more closely in chapter 6, is vast. For bibliographic reference, see the proceedings of the conference \"Arch\u00e9ologie du paysage\" published in _Caesarodunum_ , vol. 1, no. 13, 1978, bibliography compiled by Elisabeth Chevallier, pp. 579\u2013613.\n\nFor the inception of a traveling theory see Edward Said, \"Traveling Theory,\" in _The World, the Text and the Critic_ , London: Faber and Faber, 1984, pp. 226\u201347.\n\nBefore modern tourism, organized forms of travel emerged in medieval times in connection with religious pilgrimage. See Maxine Feifer, _Going Places: The Ways of the Tourist from Imperial Rome to the Present Day_ , London: Macmillan, 1985.\n\nBois, introduction to Eisenstein's \"Montage and Architecture,\" p. 115.\n\nSee Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993, especially chapters 4 and 15, for a treatment of the film theater as anatomical theater. On anatomy, gender, and film genealogy, see also Annette Michelson, \"On the Eve of the Future: The Reasonable Facsimile and the Philosophical Toy,\" _October_ , no. 29, 1984, pp. 1\u201322; Lisa Cartwright, _Screening the Body: Tracing Medicine's Visual Culture_ , Minneapolis: University of Minnesota Press, 1995; and Vanessa R. Schwartz, _Spectacular Realities: Early Mass Culture in Fin-de-Si\u00e8cle Paris_ , Los Angeles: University of California Press, 1998.\n\nOn this notion see Ludmilla Jordanova's _Sexual Visions: Images of Gender in Science and Medicine Between the Eighteenth and Twentieth Centuries_ , Madison: University of Wisconsin Press, 1989.\n\nHenri Lefebvre, _The Production of Space_ , trans. Donald Nicholson-Smith, Oxford: Blackwell, 1991, p. 184. For a spatial reading of Lefebvre, see Edward W. Soja, _Thirdspace_ , Oxford: Blackwell, 1996, especially the chapters \"The Extraordinary Voyages of Henri Lefebvre\" and \"The Trialectics of Spatiality\"; and Victor Burgin, _In\/different Spaces: Place and Memory in Visual Culture_ , Los Angeles: University of California Press, 1996.\n\nAlthough in this book I develop this notion architecturally and geographically, and in Lefebvrian terms, the phenomenology of Merleau-Ponty provides a basis for understanding the primary level of the lived body in lived space. See especially Maurice Merleau-Ponty, _Phenomenology of Perception_ , trans. Colin Smith, London: Routledge, 1962; and _The Visible and the Invisible_ , trans. A Lingis, Evanston: Northwestern University Press, 1968. For a philosophical reassessment of place that treats the phenomenological way of the body, see Edward S. Casey, _The Fate of Place: A Philosophical History_ , Berkeley: University of California Press, 1997, especially chapter 10. For a film phenomenology, see Vivian Sobchack, _The Address of the Eye: A Phenomenology of Film Experience_ , Princeton: Princeton University Press, 1992.\n\nWater Benjamin, \"The Work of Art in the Age of Mechanical Reproduction,\" in _Illuminations_ , ed. and with an introduction by Hannah Arendt, trans. Harry Zohn, New York: Schocken Books, 1969, p. 239. The link between the city and film engages the inhabitant-spectator, extended in space in a process of perceptive enrichment: \"The film corresponds to profound changes in the apperceptive apparatus\u2014changes that are experienced on an individual scale by the man in the street in big-city traffic, on a historical scale by every present-day citizen.\" (p. 250) See also Benjamin, _Immagini di citt\u00e0_ , Turin: Einaudi, 1977. On the subject of Benjamin's view of film's radical potential for spatiocorporeal expansion, see Gertrud Koch, \"Cosmos in Film: On the Concept of Space in Walter Benjamin's 'Work of Art' Essay,\" trans. Nancy Nenno, in Andrew Benjamin and Peter Osborne, eds., _Walter Benjamin's Philosophy: Destruction and Experience_ , New York: Routledge, 1994.\n\nBenjamin, \"The Work of Art,\" p. 240.\n\nThis notion originated in Kevin Lynch, _The Image of the City_ , Cambridge: MIT Press, 1960.\n\nGeorg Simmel, \"The Metropolis and Mental Life,\" in _On Individuality and Social Forms: Selected Writings_ , ed. Donald N. Levine, Chicago: University of Chicago Press, 1971, pp. 325\u201335.\n\nSee Thomas McDonough, \"Situationist Space,\" _October_ , no. 67, Winter 1994, pp. 58\u201377, in which the relationship of _The Naked City_ to the _Carte de Tendr\u00e9_ is addressed. This topic is addressed further in chapter 8.\n\nJames Clifford, _Routes_ , Cambridge: Harvard University Press, 1997, p. 30.\n\nRobert Mallet-Stevens, \"Le Cinema et les arts, l'architecture,\" _Les Cahiers du Mois_ , nos. 16\u201317, 1925, p. 96.\n\nSee, for example, Jeffrey Kipnis and Thomas Leeser, eds., _Chora L works: Jacques Derrida and Peter Eisenman_ , New York: Monacelli Press, 1997. A multidisciplinary mobilization of the architectural field has been promoted by the Anyone Corporation through a series of annual conferences starting in 1991, the publication of books, and the magazine _ANY_.\n\nFor a theoretical narration of film's vision machine, see, in particular, Paul Virilio, _The Aesthetics of Disappearance_ , trans. Philip Beitchman, New York: Semiotext(e), 1991; and Virilio, _The Lost Dimension_ , trans. Daniel Moshenberg, New York: Semiotext(e), 1991. Also relevant are Virilio, _The Vision Machine_ , trans. Julie Rose, London: British Film Institute, 1994; Virilio, _The Art of the Motor_ , trans. Julie Rose, Minneapolis: University of Minnesota Press, 1994; and Virilio, _Open Sky_ , trans. Julie Rose, London: Verso, 1997.\n\nFor recent developments, see Bernard Tschumi, _Architecture and Disjunction_ , Cambridge: MIT Press, 1994; and Tschumi, _Event-Cities_ , Cambridge: MIT Press, 1994.\n\nSee Rem Koolhaas, _Delirious New York_ , New York: Monacelli Press, 1994; and Koolhaas, _S,M,L,XL_ , New York: Monacelli Press, 1995.\n\nKoolhaas's statement is cited in the editorial by Maggy Toy in _A.D., Architectural Design_ , special issue \"Architecture and Film,\" no. 112, 1994, p. 7.\n\nFor a comparison of Koolhaas's work to that of filmmakers, including Jean-Luc Godard, see Roemer Van Toorn, \"Architecture Against Architecture: Radical Criticism Within the Society of the Spectacle,\" in _film+arc.graz 2. Internationale Biennale Film und Architektur, 1995_.\n\nJean Nouvel, \"Les cin\u00e9astes? Sur des choses certaines ils m'ont ouvert les yeux,\" in _Cit\u00e9s-Cin\u00e9s_ , Paris: Editions Ramsay, 1987 (exhibition catalogue), p. 23 (my translation).\n\nNouvel's statement is cited in Kester Rattenbury, \"Echo and Narcissus,\" _A.D., Architectural Design_ , special issue \"Architecture and Film,\" no. 112, 1994, p. 35.\n\nNouvel as cited in Odile Fillion, \"Life Into Art, Art Into Life: Fusions in Film, Video and Architecture,\" in Francois Penz and Maureen Thomas, eds., _Cinema and Architecture: M\u00e9li\u00e8s, Mallet-Stevens, Multimedia_ , London: British Film Institute, 1997, p. 119.\n\nDiana I. Agrest, _Architecture from Without_ , Cambridge: MIT Press, 1993, pp. 62\u201363.\n\nSee Elizabeth Diller and Ricardo Scofidio, _Tourisms: suitCase Studies_ , in _Semiotext(e)_ , special issue \"Architecture,\" 1992. See also, Diller + Scofidio, eds., _Back to the Front: Tourisms of War_ , Basse-Normandie: F.R.A.C., 1994; and Diller + Scofidio, _Flesh_ , with an essay by Georges Teyssot, New York: Princeton Architectural Press, 1994. On _BAD Press_ , see Zvi Efrat, \"Diller + Scofidio's 'BAD Press': Unseemliness of the Fashionable\"; and Diller + Scofidio, \"BAD Press: Housework Series,\" in Deborah Fausch, Paulette Singley, Rodolphe El-Khoury, and Zvi Efrat, eds., _Architecture in Fashion_ , New York: Princeton Architectural Press, _199A_.\n\nDiller and Scofidio, _Tourisms: suitCase Studies_ , p. 11.\n\nErwin Panofsky, \"Style and Medium in the Motion Picture\" (1934, revised 1947), in Gerald Mast, Marshall Cohen, and Leo Braudy, eds., _Film Theory and Criticism_ , New York: Oxford University Press, 1992, p. 234.\n\nPier Paolo Pasolini, \"The Codes of Codes,\" in _Heretical Empiricism_ , trans. Ben Lawton and Luise K. Barnett, Bloomington: Indiana University Press, 1988, p. 280.\n\nSteven Shaviro, _The Cinematic Body_ , Minneapolis: University of Minnesota Press, 1993, p. 52. Shaviro offers his version of the cinematic body, drawing on the work of Deleuze and Guattari.\n\nOn this subject, see, among others, Beatriz Colomina, ed., _Sexuality and Space_ , Princeton: Princeton Architectural Press, 1992; Diana Agrest, Patricia Conway, and Leslie Kanes Weisman, eds., _The Sex of Architecture_ , Cambridge: MIT Press, 1996. I return to architectural discourse at different points in the book, developing the cinematic link outlined earlier in my own \"Bodily Architectures,\" _Assemblage_ , no. 19, 1992, pp. 106\u201311.\n\nMichael Dear, \"Between Architecture and Film,\" _A.D., Architectural Design_ , special issue \"Architecture and Film,\" no. 112, 1994, p. 9.\n\nI am borrowing and developing the notion of _transito_ from Italian philosophy. See Mario Perniola, _Transiti: Come si va dallo stesso allo stesso_ , Bologna: Cappelli, 1985. See also Franco Rella, _Limina: ilpensiero e le cose_ , Milan: Feltrinelli, 1987.\n\n**3 Traveling Domestic: The Movie \"House\"**\n\nSee Philip Rosen, \"Disjunction and Ideology in a Preclassical Film: _A Policeman's Tour of the World,\" Wide Angle_ , vol. 12, no. 3, 1990, pp. 20\u201336.\n\nCharles Musser first turned historical attention to travel films in his \"The Travel Genre in 1903\u201304: Moving Toward Fictional Narrative,\" in Thomas Elsaesser, ed., with Adam Barker, _Early Cinema: Space, Frame, Narrative_ , London: British Film Institute, 1990. He expanded the subject in _The Emergence of Cinema: The American Screen to 1907_ , New York: Macmillan, 1990; and (in collaboration with Carol Nelson) in _High-Class Moving Pictures: Lyman H. Howe and the Forgotten Era of Traveling Exhibition, 1880\u20131920_ , Princeton: Princeton University Press, 1991.\n\nOn \"touristic consciousness,\" see Lynne Kirby, _Parallel Tracks: The Railroad and Silent Cinema_ , Durham, N.C.: Duke University Press, 1996, p. 42. For a theoretical introduction to film's \"touristic\" vision, see, among others, Anne Friedberg, _Window Shopping: Cinema and the Postmodern_ , Los Angeles: University of California Press, 1993; Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993; Jacques Aumont, \"Migrations,\" _Cinematheque_ , no. 7, 1993, pp. 35\u201347; Tom Gunning, \"'The Whole World Within Reach': Travel Images without Borders,\" in Roland Cosandey and Francois Albera, eds., _Cinema sans frontieres, 1896\u20131918: Images Across Borders_ , Lausanne: Editions Payot Lausanne, 1992; and Annette Michelson, \"Track Records, Trains of Events: The Limits of Cinematic Representation,\" in _Junction and Journey: Trains and Film_ , New York: Museum of Modern Art, 1991 (exhibition catalogue).\n\nP. Morton Shand, _Modern Picture-Houses and Theatres_ , Philadelphia: J. B. Lippincott, 1930, p. 11.\n\nWolfgang Schivelbusch, _Disenchanted Night: The Industrialization of Light in the Nineteenth Century_ , trans. Angela Davies, Berkeley: University of California Press, 1988, pp. 213\u201319.\n\nShand, _Modern Picture-Houses and Theatres_ , p. 11.\n\nI thank my student Naghmeh Sohrabi for adding a Persian twist to my site-seeing tour with the spectator-passenger.\n\nAnthony Vidler, \"The Scenes of the Street: Transformations in Ideal and Reality, 1750\u20131871,\" in Stanford Anderson, ed., _On Streets_ , Cambridge: MIT Press, 1986, p. 81.\n\nPaul Virilio, _The Aesthetics of Disappearance_ , trans. Philip Beitchman, New York: Semiotext(e), 1991, p. 65.\n\nThese effects of the travel genre continue in television and video. On this subject, see Yosefa Loshitzky, \"Travelling Culture, Travelling Television,\" _Screen_ , vol. 37, no. 4, Winter 1996, pp. 323\u201335; and John Welchman, \"Moving Images: On Travelling Film and Video,\" _Screen_ , vol. 37, no. 4, pp. 336\u201350.\n\nSee Ella Shohat, \"Imaging Terra Incognita: The Disciplinary Gaze of Empire,\" _Public Culture_ , vol. 3, no. 2, Spring 1991, pp. 41\u201370; Shohat, \"Gender and Culture of Empire: Toward a Feminist Ethnography of the Cinema,\" _Quarterly Review of Film and Video_ , no. 13, 1991, pp. 45\u201384; Shohat and Robert Stam, _Unthinking Eurocentricism: Multiculturalism and the Media_ , New York: Routledge, 1994; Rey Chow, \"Media, Matter, Migrants,\" in _Writing Diaspora: Tactics of Intervention in Contemporary Cultural Studies_ , Bloomington: Indiana University Press, 1993; and Fatimah Tobing Rony, _The Third Eye: Race, Cinema and Ethnographic Spectacle_ , Durham, N.C.: Duke University Press, 1996.\n\nPaul Virilio, _War and Cinema: The Logistics of Perception_ , trans. Patrick Camiller, London: Verso, 1984.\n\nDiller + Scofidio, eds., _Back to The Front: Tourisms of War_ , New York: Princeton Architectural Press, 1994.\n\nOn this subject, see, among others, Marta Braun, _Picturing Time: The Work of Etienne-Jules Marey (1830\u20131904)_ , Chicago: University of Chicago Press, 1992.\n\nFilmmakers often compare making a film to being at war. The comparison stands in many ways, including the fact that managing and directing a crew involves a highly structured, hierarchical system. It makes use of organizational tactics and strategic movements that duplicate the maneuvering of an army. It also includes feeding the army-crew. The constant rituals of nourishment that occur on a film set, as on a battlefield, span from actual food consumption to affective need fulfillment.\n\nSee Robert Stam, _Reflexivity in Film and Literature: From Don Quixote to Jean-Luc Godard_ , New York: Columbia University Press, 1992.\n\nFriedberg, _Window Shopping_.\n\nPeter Greenaway in an interview published in Jonathan Hacker and David Price, _Take Ten: Contemporary British Film Directors_ , Oxford: Clarendon Press, 1991, p. 191. He often refers to _Les Carabiniers_ , speaking of the influence of Godard on his work.\n\nMary Louise Pratt, _Imperial Eyes: Travel Writing and Transculturation_ , New York: Routledge, 1992, p. 38.\n\nSee Paul Bowles, _The Sheltering Sky_ , New York: Ecco Press, 1978, especially pp. 13\u201314.\n\nOn Jane Bowles's travel story, see Lidia Curti, \"Alterity and the Female Traveller: Jane Bowles,\" in _Female Stories, Female Bodies: Narrative, Identity and Representation_ , New York: New York University Press, 1998.\n\nTrinh T. Minh-ha, _Woman Native Other: Writing Postcoloniality and Feminism_ , Bloomington: Indiana University Press, 1989, p. 39.\n\nMeaghan Morris, \"At Henry Parkes Motel,\" _Cultural Studies_ , vol. 2, no. 1, 1988, pp. 1\u201347.\n\nThis film has produced literature on sexual difference. See Lea Jacobs, _\"Now Voyager:_ Some Problems of Enunciation and Sexual Difference,\" _Camera Obscura_ , no. 7, 1981, pp. 89\u2013109; Elizabeth Cowie, \"Fantasia,\" _m\/f_ , 1984, pp. 70\u2013105; Stanley Cavell, \"Ugly Duckling, Funny Butterfly: Bette Davis and _Now, Voyager_ , Followed by Postscript (1989): To Whom It May Concern,\" _Critical Inquiry_ , no. 16, Winter 1990, pp. 213\u201389; and Teresa de Lauretis, \"On the Subject of Fantasy,\" in Laura Pietropaolo and Ada Testaferri, eds., _Feminisms in the Cinema_ , Bloomington: Indiana University Press, 1995.\n\nMabel Sharman Crawford, \"A Plea for Lady Tourists,\" in _Through Algeria_ , London: Richard Bentley, 1863, pp. xi-xii.\n\nThis phenomenon is discussed and referenced further in chapter 4. See, among others, Sara Mills, _Discourses of Difference: An Analysis of Women's Travel Writing and Colonialism_ , New York: Routledge, 1993.\n\nElla W. Thompson, _Beaten Paths; or, A Woman's Vacation_ , Boston: Lee and Sheperd, 1874, pp. 9\u201310, cited in Mary Suzanne Schriber, ed., _Telling Travels: Selected Writings by Nineteenth-Century American Women Abroad_ , DeKalb: Northern Illinois University Press, 1995, p. xvii.\n\nOn this subject, see Miriam Hansen, \"Early Cinema, Late Cinema: Transformations of the Public Sphere,\" in Linda Williams, ed., _Viewing Positions: Ways of Seeing Film_ , New Brunswick: Routledge, 1995.\n\nJohn Urry, _The Tourist Gaze: Leisure and Travel in Contemporary Societies_ , London: Sage, 1990.\n\nDerek Gregory, \"Between the Book and the Lamp: Imaginative Geographies of Egypt, 1849\u20131850,\" _Transactions of the Institute of British Geographers_ , vol. 20, 1995, pp. 29\u201357.\n\nFlorence Nightingale, _Letters from Egypt: A Journey on the Nile 1848\u20131850_ , New York: Weidenfeld and Nicholson, 1987, p. 200, cited in Gregory, \"Between the Book and the Lamp.\"\n\nThis idea is further explored in chapters 4 and .\n\nMarguerite, Countess of Blessington, _The Idler in Italy_ , vol. 1, London, 1839, p. 311, cited in Shirley Foster, _Across New Worlds: Nineteenth-Century Women Travellers and Their Writings_ , New York: Harvester Wheatsheaf, 1990, p. 39.\n\nSarah Rogers Haight, _Letters from the Old World. By a Lady of New York_ , 1840, anthologized in Schriber, ed., _Telling Travels_ , p. 57.\n\nEdith Wharton, \"Joy in the House,\" in _Human Nature_ , New York: D. Appleton and Company, 1933, p. 180.\n\nSee James Clifford, _Routes: Travel and Translation in the Late Twentieth Century_ , Cambridge: Harvard University Press, 1997.\n\nSee Rosalyn Deutsche, \"Men in Space\" and \"Boys Town,\" in _Evictions: Art and Spatial Politics_ , Cambridge: MIT Press, 1996.\n\nSee Kevin Lynch, _The Image of the City_ , Cambridge: MIT Press, 1960; and Fredric Jameson, \"Cognitive Mapping,\" in Cary Nelson and Lawrence Grossberg, eds., _Marxism and the Interpretation of Culture_ , Chicago: University of Illinois Press, 1988; and Jameson, _Postmodernism, or the Cultural Logic of Late Capitalism_ , Durham, N.C.: Duke University Press, 1991, especially pp. 51\u201352.\n\nThis point is made by Mark Wigley in \"Lost in Space,\" in Michael Speaks, ed., _The Critical Landscape_ , Rotterdam: 010 Publishers, 1996.\n\nOn this subject, see Caren Kaplan, _Questions of Travel: Postmodern Discourses of Displacement_ , Durham, N.C.: Duke University Press, 1996; and Janet Wolff, \"On the Road Again: Metaphors of Travel in Cultural Criticism,\" _Cultural Studies_ , vol. 7, no. 2, 1992, pp. 224\u201339.\n\nMorris, \"At Henry Parkes Motel.\"\n\nGeorges Van Den Abbeele, _Travel as Metaphor_ , Minneapolis: University of Minnesota Press, 1992, p. xviii.\n\nPaola Melchiori, \"Un sentimento senza oggetto,\" _Lapis_ , no. 19, September 1993, p. 22.\n\nRosi Braidotti, _Nomadic Subjects: Embodiment and Sexual Difference in Contemporary Feminist Thought_ , New York: Columbia University Press, 1994, pp. 35\u201336.\n\nSee _Toba Khedoori_ , Los Angeles: Museum of Contemporary Art, 1997 (exhibition catalogue).\n\nAn exhibition of Gary Hill's _Liminal Objects_ (1995-present) was presented at Barbara Gladstone Gallery in New York, 5 December 1998\u201323 January 1999.\n\nSeton Smith's work is very sensitive to forms of architectural inhabitation. She photographs landscapes, produces architectural models, designs furniture, and makes architectural installations, all on the threshold between private and public space. See _Seton Smith_ , Milan: Electa, 1995 (exhibition catalogue); and _Seton Smith_ , Nantes: Mus\u00e9e des Beaux-Arts de Nantes, 1994 (exhibition catalogue).\n\nElaine Scarry, _The Body in Pain: The Making and Unmaking of the World_ , New York: Oxford University Press, 1985.\n\nThe film was based on a Pulitzer Prize-winning play by George Kelly. It was remade in 1950 in a less interesting film version called _Harriet Craig_ , directed by Vincent Sherman and starring Joan Crawford. An art exhibition inspired by this latter film and entitled \"Harriet Craig\" was presented at Apex Art in New York, 19 November-19 December 1998. It included the work of Alex Bag, Martha Rosler, and John Boskovich.\n\nClaire Johnston, \"Dorothy Arzner: Critical Strategies,\" in Constance Penley, ed., _Feminism and Film Theory_ , New York: Routledge, 1988, p. 36. In this same volume, see also Pam Cook, \"Approaching the Work of Dorothy Arzner\"; and Jacquelyn Suter, \"Feminine Discourse in _Christopher Strong.\"_\n\nJudith Mayne, _Directed by Dorothy Arzner_ , Bloomington: Indiana University Press, 1994.\n\nOn the place of home in historical studies, see, for example, Philippe Aries and Georges Duby, eds., A _History of Private Life_ , and in particular, on home and modernity, volume four of the series, _A History of Private Life: From the Fires of Revolution to the Great War_ , ed. Michelle Perrot, trans. Arthur Goldhammer, Cambridge: Harvard University Press, 1990.\n\nWim Wenders, _Emotion Pictures: Reflections on the Camera_ , London: Faber and Faber, 1986, p. 112.\n\nSee Georges Teyssot, ed., _Il progetto domestico. La casa dell'uomo: archetipi e prototipi_ , 2 vols., Milan: Electa, 1986; Teyssot, ed., _Paesaggio d'interni = Interior Landscapes_ , Milan: Electa, 1987; and Teyssot, \"The Disease of the Domicile,\" _Assemblage_ , no. 6, 1988, pp. 72\u201397. For an historical precedent, see, among others, Eugene-Emmanuel Viollet-le-Duc, _Histoire d'une maison_ , Paris: Hetzel, 1873.\n\nMark Wigley, \"Untitled: The Housing of Gender,\" in Beatriz Colomina, ed., _Sexuality and Space_ , Princeton: Princeton Architectural Press, 1992, p. 331.\n\nIn the field of \"sexuality and space,\" see also Diana Agrest, Patricia Conway, and Leslie Kanes Weisman, eds., _The Sex of Architecture_ , New York: Abrams, 1996; Debra Coleman, Elizabeth Danze, and Carol Henderson, _Architecture and Feminism_ , Princeton: Princeton Architectural Press, 1996; and Francesca Hughes, ed., _The Architect: Reconstructing Her Practice_ , Cambridge: MIT Press, 1996.\n\nAnn Bergren, \"The (Re)Marriage of Penelope and Odysseus: Architecture, Gender, Philosophy,\" _Assemblage_ , no. 21, 1993, pp. 6\u201323.\n\nMikhail Iampolski, \"Le cinema de l'architecture utopique,\" in _Iris_ , special issue \"Cinema and Architecture,\" ed. Paolo Cherchi Usai and Frank Kessler, 1991, pp. 39\u201346. The films were _Die Galoschen des Gl\u00fccks_ and _Der Weltbaumeister_.\n\nSee Mark Wigley, _White Walls, Designer Dresses: The Fashioning of Modern Architecture_ , Cambridge: MIT Press, 1995.\n\nBruno Taut, _Die Neue Wohnung: Die Frau als Sch\u00f6pferin_ , Leipzig: Bei Klinkhardt and Biermann, 1924.\n\nWitold Rybczynski, _Home: A Short History of an Idea_ , New York: Penguin Books, 1986, p. 88. On the subject of interior decoration, see also Mario Praz, _An Illustrated History of Interior Decoration: From Pompeii to Art Nouveau_ , trans. William Weaver, New York: Thames and Hudson, 1982.\n\nEdith Wharton and Ogden Codman, _The Decoration of Houses_ , New York: Charles Scribner's Sons, 1897. On this subject, see Vanessa Chase, \"Edith Wharton, The Decoration of Houses, and Gender in Turn-of-the-Century America,\" in Coleman, et al., _Architecture and Feminism_.\n\nThis citation is taken from the Italian edition of Bruno Taut's book, entitled _La nuova abitazione: la donna come creatrice_ , Rome: Gangemi editore, 1986, pp. 84\u201385 (my translation).\n\nOn Antonioni, in English, see Peter Brunette, _The Films of Michelangelo Antonioni_ , New York: Cambridge University Press, 1998; William Arrowsmith, _Antonioni: The Poet of Images_ , ed. Ted Perry, New York: Oxford University Press, 1995; Sam Rodhie, _Antonioni_ , London: British Film Institute, 1990; Seymour Chatman, _Antonioni, or, The Surface of the World_ , Berkeley: University of California Press, 1985; and Frank P. Tomasulo, \"The Architectonics of Alienation: Antonioni's Edifice Complex,\" _Wide Angle_ , vol. 15, no. 3, July 1993, pp. 3\u201320. In Italian, see Michele Mancini and Giuseppe Perrella, _Michelangelo Antonioni: Architetture della visione, 2_ vols., Rome: Coneditor, 1986; Carlo di Carlo, ed., _Michelangelo Antonioni: Identificazione di un autore_ , Parma: Pratiche, 1983\u201385; Giorgio Tinazzi, _Michelangelo Antonioni_ , Florence: la Nuova Italia, 1974; Lorenzo Cuccu, _La visione come problema: Forme e svolgimento del cinema di Antonioni_ , Rome: Bulzoni, 1973.\n\nRoland Barthes, \"Dear Antonioni...,\" published in English in Geoffrey Nowell-Smith, _L'Avventura_ , London: British Film Institute, 1997, p. 167.\n\nI understand drift not as a textual matter but as a geopsychic experience of living. In this respect, I agree with Leo Charney's reading of modernity's drift. However, Charney considers drift in relation to time and the loss of presence, while my reading, especially in chapter 8, is primarily spatial and sustained in cartographic terms in relation to psychogeography. See Leo Charney, _Empty Moments: Cinema, Modernity, and Drift_ , Durham, N.C.: Duke University Press, 1998.\n\nMartin Scorsese's comment is from a speech he made honoring Antonioni's film career, New York, Walter Reade Theater, October 1992. Antonioni's remark to Rothko is reported in Chatman, _Antonioni_ , p. 54. See also Richard Gilman, \"About Nothing\u2014With Precision,\" _Theater Arts_ , vol. 46, no. 7, 1962, pp. 10\u201312.\n\nTo consider this further from the filmmaker's viewpoint, see the film criticism he published from 1939 onward in the journal _Cinema;_ and, in English, Antonioni, _The Architecture of Vision: Writings and Interviews on Cinema_ , ed. Carlo di Carlo and Giorgio Tinazzi, with Marga Cottino-Jones, New York: Marsilio, 1996.\n\nThe first American exhibition of Antonioni's paintings, \"The Enchanted Mountains,\" was organized by Robert Haller at the Staten Island Institute of Arts and Sciences, Staten Island, New York, December 1988-January 1989. The first Italian show took place in Rome at the Galleria Nazionale d'Arte Moderna, 8 October-27 November 1983.\n\nMichael Fried, \"Art and Objecthood,\" in Gregory Battcock, ed., _Minimal Art: A Critical Anthology_ , New York: Dutton, 1968, p. 117.\n\nOn this film, see also George Amberg and Robert Hughes, eds., _L'avventura_ , New York: Grove Press, _1969;_ and Seymour Chatman and Guido Fink, _L'avventura_ , New Brunswick, N.J.: Rutgers University Press, 1989.\n\nSee P. Adams Sitney, _Vital Crisis in Italian Cinema_ , Austin: Texas University Press, 1995, p. 145. While _Voyage in Italy_ explores the Neapolitan region, _L'Avventura_ moves from Rome to Sicily, touching Lisca Bianca, Bagheria, Messina, Taormina, Troina, Santa Panagia, and Noto.\n\nOn this film's \"subjective\" itinerary, see Pier Paolo Pasolini, \"The Cinema of Poetry,\" in _Heretical Empiricism_ , ed. Louise K. Barnett, trans. Ben Lawton and Louise K. Barnett, Bloomington: Indiana University Press, 1972. See also Angela Dalle Vacche, _Cinema and Painting: How Art is Used in Film_ , Austin: University of Texas Press, 1996, chapter 2.\n\nOn this subject, see Ian Wiblin, \"The Space Between: Photography, Architecture and the Presence of Absence,\" in Francois Penz and Maureen Thomas, eds., _Cinema and Architecture: M\u00e9li\u00e8s, Mallet-Stevens, Multimedia_ , London: British Film Institute, 1997.\n\nPellegrino D'Acierno's lecture on _La notte_ was delivered at the conference \"(In)visible Cities: From the Postmodern Metropolis to the Cities of the Future,\" New York, 3\u20136 October 1996 (unpublished paper).\n\nSee Therese Grisham, \"An Interview with Ulrike Ottinger,\" _Wide Angle_ , vol. 14, no. 2, April 1992, pp. 31 and 33. On the film, see also Grisham, \"Twentieth Century Theatrum Mundi: Ulrike Ottinger's _Johanna d'Arc of Mongolia,\" Wide Angle_ , vol. 14, no. 2, April 1992, pp. 22\u201327; Brenda Longfellow, \"Lesbian Phantasy and the Other Woman in Ottinger's _Johanna d'Arc of Mongolia,\" Screen_ , vol. 34, no. 2, 1993; and Kristen Whissel, \"Racialized Spectacle, Exchange Relations and the Western in _Johanna d'Arc of Mongolia,\" Screen_ , vol. 37, no. 1, Spring 1996, pp. 41\u201367.\n\nFor a reading of Akerman's work in terms of the revisitation of Jewish sites and forms of wandering, see, in particular, Janet Bergstrom, \"Invented Memories,\" and Ivone Margulies, \"Echo and Voice in _Meetings with Anna,\"_ both in Gwendolyn Audrey Foster, ed., _Identity and Memory: The Films of Chantal Akerman_ , London: Flicks Books, forthcoming. See also Margulies, _Nothing Happens: Chantal Akerman's Hyperrealist Everyday_ , Durham, N.C.: Duke University Press, 1996.\n\nThe text was displayed on the wall of the exhibition and is published in _Bordering on Fiction: Chantal Akerman's \"D'Est,\"_ Minneapolis: Walker Art Center, 1995 (exhibition catalogue), pp. 17\u201318. The exhibition originated at the Walker Art Center in Minneapolis and was on view at the Jewish Museum in New York, 23 February-27 May 1997.\n\nChantal Akerman, unpublished text for _Of the Middle East_ , 1998, p. 4. I thank her for offering me this text.\n\nIbid.\n\nBeatriz Colomina, \"Battle Lines: E.1027,\" in Agrest, Conway, and Kanes Weisman, eds., _The Sex of Architecture_. For other gendered architectural studies that revise the notion of house, see, for example, Jennifer Bloomer, \"The Matter of Matter: A Longing for Gravity,\" in Agrest, et al., _The Sex of Architecture;_ and Cathrine Ingraham, _Architecture and the Burdens of Linearity_ , New Haven: Yale University Press, 1998.\n\nColomina, \"The Exhibitionist House,\" in Russell Ferguson, ed., _At The End of the Century: One Hundred Years of Architecture_ , New York: Abrams, and Los Angeles: Museum of Contemporary Art, 1998 (exhibition catalogue), p. 127.\n\nThe Gardner Museum is located in Boston.\n\nFor an introduction to projects of domestic dwelling in movement, see Georges Teyssot, ed., _Il Progetto domestico_. See also John Hejduk, _Mask of Medusa: Works 1947\u20131985_ , ed. Kim Shkapich, New York: Rizzoli, 1985; Hejduk, _Architectures in Love_ , New York: Rizzoli, 1995; and Zaha Hadid, _Zaha Hadid: The Complete Works_ , New York: Rizzoli, 1998. Examples of filmic architectures are abundant. See chapters 2 and  for further reference to this topic.\n\nThe citation is from Andrea Zittel's sales brochure. See Andrea Zittel, _Andrea Zittel, Living Units: Interviews With the Owners of the Living Units_ , Basel: Museum fur Gegenwartskunst, 1996 (exhibition catalogue).\n\nSee Steven Holl, _Anchoring_ , New York: Princeton Architectural Press, 1991; Holl, _Stretto House: Steven Holl Architects_ , New York: Monacelli Press, 1996; and Holl, _Intertwining_ , New York: Princeton Architectural Press, 1996.\n\nAnn Hamilton's _Crying Wall_ is an on-site installation that was produced at the P.S.1 Contemporary Art Center, Long Island City, New York, and exhibited there 29 October 1997\u201326 April 1998. On Hamilton's work, see _Ann Hamilton: Present-Past 1984\u20131997_ , Milan: Skira, 1998; _The Body and the Object: Ann Hamilton 1984\u20131996_ , Columbus, Ohio: Wexner Center for the Arts, 1996 (exhibition catalogue and CD-ROM); Lynne Cooke and Karen Kelly, eds., _Ann Hamilton: Tropos_ , New York: DIA Center for the Arts, 1995 (exhibition catalogue); Judith Nesbitt, ed., _Ann Hamilton: Mneme_ , Liverpool: Tate Gallery, 1994 (exhibition catalogue); _Ann Hamilton: Sao Paulo\/Seattle_ , Seattle: Henry Art Gallery, University of Washington, 1992; and Susan Stewart, _Ann Hamilton_ , La Jolla, Cal.: San Diego Museum of Contemporary Art, 1992 (exhibition catalogue).\n\nOn Rachel Whiteread, see the issue of _Parkett_ devoted to her work, no. 42, 1994, with essays by Neville Wakefield, Trevor Fairbrother, Rudolph Schmitz, and Simon Watney. See also, _Rachel Whiteread: Gouaches_ , Stuttgart: Cantz Verlag, 1993; _Rachel Whiteread_ , Boston: ICA, 1995; _Rachel Whiteread, with \"Music for Torching,\"_ a story by A. M. Homes, London: Anthony D'Offay Gallery, 1998.\n\nSee James Lingwood, ed., _Rachel Whiteread: House_ , London: Phaidon Press, 1995.\n\nOn Hatoum, see Michael Archer, Guy Brett, and Catherine de Zegher, eds., _Mona Hatoum_ , London: Phaidon Press, 1997, which contains bibliographical information. See also Johanna Drucker, \"Sense and Sensibility: Women Artists and Minimalism in the Nineties,\" _Third Text_ , no. 27, Summer 1994; and Nadia Tazi, _Mona Hatoum_ , Paris: Centre Georges Pompidou, 1994 (exhibition catalogue). On Hatoum's video work, see Ewa Lajer-Burcharth, \"Real Bodies: Video in the 1990s,\" _Art History_ , vol. 20, no. 2, June 1997, pp. 185\u2013213.\n\nSee _Doris Salcedo_ , New York: New Museum of Contemporary Art, 1998 (exhibition catalogue).\n\nThe architectural projects of Laura Kurgan question virtual mapping. See, for example, Rene\u00e9 Green and Laura Kurgan's project _Browsing_ , in _Architectures of Display_ , Architectural League of New York and Minetta Brook, 1995; and Kurgan's installation piece _You Are Here: Information Drift_ , exhibited at the Storefront for Art and Architecture, New York, 12 March-16 April 1994. A larger exhibition of the latter work was held in Barcelona. See Laura Kurgan and Xavier Costa, eds., _You Are Here: Architecture and Information Flows_ , Barcelona: Museu d'Art Contemporani, 1995 (exhibition catalogue).\n\nDerek Gregory, _Geographical Imaginations_ , Cambridge, Mass.: Blackwell, 1994.\n\nOn this film, see Nobert Grob, \"Life Sneaks out of Stories: _Until the End of the World,\"_ in Roger F. Cook and Gerd Gem\u00fcnden, eds., _The Cinema of Wim Wenders: Image, Narrative, and the Postmodern Condition_ , Detroit: Wayne State University, 1997.\n\nMikhail Bakhtin, _The Dialogic Imagination_ , ed. Michael Holquist, trans. Caryl Emerson and Michael Holquist, Austin: University of Texas Press, 1981, p. 244.\n\nSee Jameson, \"Cognitive Mapping.\"\n\n**4 Fashioning Travel Space**\n\nThe simile that likens travel to film is proposed by Paul Virilio in his _The Aesthetics of Disappearance_ , trans. Philip Beitchman, New York: Semiotext(e), 1991, p. 60.\n\nCharles Musser, _The Emergence of Cinema: The American Screen to 1907_ , New York: Charles Scribner's Sons, 1990, pp. 39\u201341. See also Musser, \"The Travel Genre in 1903\u20131904: Moving Towards Fictional Narrative,\" in Thomas Elsaesser, ed., with Adam Barker, _Early Cinema: Space, Frame, Narrative_ , London: British Film Institute, 1990.\n\nEthnographic cinema is a specific case of the merging of film and travel, one in which the gaze of exploration turns into explicit forms of domination. A field in itself (and one that intersects in many ways with my own topic), it is the subject of serious emerging research. See, among others, Fatimah Tobing Rony, _The Third Eye: Race, Cinema and Ethnographic Spectacle_ , Durham, N.C.: Duke University Press, 1996; Alison Griffiths, \"Science and Spectacle: Native American Representation in Early Cinema,\" in Elizabeth Bird, ed., _Dressing in Feathers: The Construction of the Indian in American Public Culture_ , Boulder, Col.: Westview, 1996; Ellen Strain, \"Exotic Bodies, Distant Landscapes: Touristic Viewing and Popularized Anthropology in the Nineteenth Century,\" _Wide Angle_ , special issue \"Movies Before Cinema Part II,\" ed. Scott MacDonald, vol. 18, no. 2, 1996, pp. 71\u2013100; and Paula Rabinowitz, _They Must be Represented_ , London: Verso, 1995.\n\nOn Osa Johnson, Delia Akeley, and Mary Jobe Akeley, see also Donna Haraway, _Primate Visions: Gender, Race and Nature in the World of Modern Science_ , New York: Routledge, 1989. All three women worked with the men to whom they were married. On the Johnsons' production, see also Erik Barnouw, _Documentary: A History of the Non-Fiction Film_ , Oxford: Oxford University Press, 1974, pp. 50\u201351; and James and Eleanor M. Imperato, _They Married Adventure: The Wandering Lives of Martin and Osa Johnson_ , New Brunswick, N.J.: Rutgers University Press, 1992.\n\nWriting on \"voyeurs or walkers,\" Michel de Certeau speaks of the erotics of knowledge involved in the ecstasy of reading. See de Certeau, _The Practice of Everyday Life_ , trans. Steven Rendall, Los Angeles: University of California Press, 1984, especially pp. 92\u201393.\n\nSee Charles Musser, in collaboration with Carol Nelson, _High-Class Moving Pictures: Lyman H. Howe and the Forgotten Era ofTraveling Exhibition, 1880\u20131920_, Princeton: Princeton University Press, 1991, p. 80.\n\nEsther Lyons, ed., _Esther Lyons' Glimpses of Alaska: A Collection of Views of the Interior of Alaska and the Klondike District, from Photographs by Veazie Wilson, Compiled by Miss Esther Lyons_ , Chicago: Rand, McNally, 1897.\n\nOn the masquerade and the female subject, see Joan Riviere, \"Womanliness as Masquerade\" (1929), in Victor Burgin, James Donald, and Cora Kaplan, eds., _Formations of Fantasy_ , London: Methuen, 1986.\n\nRead this way, Esther Lyons's self-portrait is aligned with the many filmic reinventions of the \"masquerade\" and reaffirms the impact that this imaging has had on the development of film theory, beginning with Mary Ann Doane's use of Riviere's 1929 essay to theorize female spectatorship. See Mary Ann Doane, _Femmes Fatales: Feminism, Film Theory, Psychoanalysis_ , New York: Routledge, 1991, especially chapters 1 and .\n\nMichel Foucault, \"Of Other Spaces,\" _Diacritics_ , vol. 16, no. 1, 1986, p. 24.\n\nRosi Braidotti, _Nomadic Subjects_ , New York: Columbia University Press, 1994, p. 5.\n\nSee, among others, Shirley Foster, _Across New Worlds: Nineteenth-Century Women Travellers and their Writings_ , New York: Harvester Wheatsheaf, 1990; Sara Mills, _Discourses of Difference: An Analysis of Women's Travel Writing and Colonialism_ , New York: Routledge, 1991; Mary Louise Pratt, _Imperial Eyes: Travel Writing and Transculturation_ , New York: Routledge, 1992; Alison Blunt, _Travel, Gender, and Imperialism: Mary Kingsley and West Africa_ , New York: Guilford Press, 1994; Karen R. Lawrence, _Penelope Voyages: Women and Travel in the British Literary Tradition_ , Ithaca, N.Y.: Cornell University Press, 1994.\n\nOn this subject, see, among others, Gillian Rose, _Feminism and Geography: The Limits of Geographical Knowledge_ , Minneapolis: University of Minnesota Press, 1993; Allison Blunt and Gillian Rose, eds., _Writing Women and Space: Colonial and Postcolonial Geographies_ , New York: Guilford Press, 1994; Doreen Massey, _Space, Place, and Gender_ , Minneapolis: University of Minnesota Press, 1994; Nancy Duncan, ed., _Body Space: Destabilizing Geographies of Gender and Sexuality_ , New York: Routledge, 1996; and Linda McDowell and Joanne P. Sharp, eds., _Space, Gender, Knowledge: Feminist Readings_ , New York: John Wiley, 1997.\n\nJohn Urry, _The Tourist Gaze_ , London: Sage, 1990, p. 24.\n\nB\u00e9n\u00e9dicte Monicat, \"Autobiography and Women's Travel Writings in Nineteenth-century France: Journeys through Self-representation,\" _Gender, Place and Culture_ , vol. 1, no. 1, 1994, p. 65.\n\nSee Richard D. Altick, _The Shows of London_ , Cambridge: Harvard University Press, 1978, pp. 473\u201378.\n\nRemarking on the Egyptian roots of the filmic spectacle, Antonia Lant points out that the Egyptian Hall became a cinema on 19 March 1896. See her \"The Curse of the Pharaoh, or How Cinema Contracted Egyptomania,\" _October_ , no. 59, Winter 1992, pp. 87\u2013112.\n\nSee Harold Smith, ed., _American Travelers Abroad: A Bibliography of Accounts Published Before 1900_ , Carbondale: The Library, Southern Illinois University, 1969. This account lists approximately 1,600 books published by men.\n\nSee Mary Suzanne Schriber, ed., _Telling Travels: Selected Writings by Nineteenth-Century American Women Abroad_ , DeKalb: Northern Illinois Press, 1995. In her introduction, Schriber offers a commentary on the race and class issue in American travel writing and provides the statistical information cited here.\n\nSee Ronald J. Zboray, _A Fictive People: Antebellum Economic Development and the American Reading Public_ , New York: Oxford University Press, 1993.\n\nOn (post)colonialism, women's discourse, and film, see Ella Shohat, \"Gender and Culture of Empire: Toward a Feminist Ethnography of the Cinema,\" _Quarterly Review of Film and Video_ , vol. 13, nos. 1\u20133, pp. 45\u201384; and Shohat, \"Imaging Terra Incognita: The Disciplinary Gaze of Empire,\" _Public Culture_ , vol. 3, no. 2, Spring 1991, pp. 41\u201370.\n\nAn anxiety of authorship can also be read in the presentation of the book itself. Although Lyons did not take the photographs (she selected and edited the pictures of Veazie Wilson), her name appears twice and is emphasized in the title. These are _her_ views. The book is \"Esther Lyons's Glimpses of Alaska.\" Furthermore, as the subtitle insists, the \"Collection of Views of the Interior of Alaska\" is \"Compiled by Miss Esther Lyons.\"\n\nPratt, _Imperial Eyes_ , p. 160.\n\nGeorg Simmel, \"Fashion,\" in _On Individuality and Social Forms_ , ed. Donald N. Levine, Chicago: University of Chicago Press, 1971, p. 297.\n\nIbid., p. 320.\n\nIbid., pp. 321\u201322.\n\nIbid., p. 309.\n\nSee Roland Barthes, _The Fashion System_ , trans. Matthew Ward and Richard Howard, Los Angeles: University of California Press, 1963. For an early account of the psychology of attire, see J. C. Fl\u00fcgel, _The Psychology of Clothes_ , New York: International University Press, 1971. For a sociological approach, see, for example, Joanne Finkelstein, _The Fashioned Self_ , Philadelphia: Temple University Press, 1991.\n\nFor the beginning of this work in cultural studies, see Dick Hebdige, _Subculture: The Meaning of Style_ , London: Methuen, 1979. Additional recent studies that are especially concerned with gender construct the discourse of fashion in relation to socio-sexual modes. See, among others, Elizabeth Wilson, _Adorned in Dreams: Fashion and Modernity_ , Berkeley: University of California Press, 1985; Juliet Ash and Elizabeth Wilson, eds., _Chic Thrills: A Fashion Reader_ , Los Angeles: University of California Press, 1992; Marjorie Garber, _Vested Interests: Cross-Dressing and Cultural Identity_ , New York: Routledge, 1992; Jennifer Craik, _The Face of Fashion: Cultural Studies on Fashion_ , New York: Routledge, 1994; and Valerie Steele, _Fetish: Fashion, Sex and Power_ , New York: Oxford University Press, 1996.\n\nFor an historical approach to fashion, see Anne Hollander, _Seeing Through Clothes_ , Los Angeles: University of California Press, 1993, first published in 1975; Hollander, _Sex and Suits: The Evolution of Modern Dress_ , New York: Alfred A. Knopf, 1994; Philippe Perrot, _Fashioning the Bourgeoisie: A History of Clothing in the Nineteenth Century_ , trans. Richard Bienvenu, Princeton: Princeton University Press, 1994; Christopher Breward, _The Culture of Fashion_ , Manchester: Manchester University Press, 1995; and Anne Higonnet, \"Real Fashions: Clothes Unmake the Working Woman,\" in Margaret Cohen and Christopher Prendergast, eds., _Spectacles of Realism: Gender, Body, Genre_ , Minneapolis: University of Minnesota Press, 1995.\n\nOn film fashions and modern spectacles, see Jane Gaines and Charlotte Herzog, eds., _Fabrications: Costume and the Female Body_ , New York: Routledge, 1990; Maureen Turim, \"Seduction and Elegance: The New Woman of Fashion in Silent Cinema,\" and Kaja Silverman, \"Fragments of a Fashionable Discourse,\" both in Shari Benstock and Suzanne Ferris, eds., _On Fashion_ , New Brunswick: Rutgers University Press, 1994; Peter Wollen, \"Strike a Pose,\" _Sight and Sound_ , vol. 5, no. 3, March 1995, pp. 13\u201315; Pam Cook, _Fashioning the Nation: Costume and Identity in British Cinema_ , London: British Film Institute, 1996; Sabine Hake, \"In the Mirror of Fashion,\" in Katharina Von Ankum, ed., _Women in the Metropolis: Gender and Modernity in Weimar Culture_ , Los Angeles: University of California Press, 1997; and Stella Bruzzi, _Undressing Cinema: Clothing and Identity in the Movies_ , New York: Routledge, 1997.\n\nMary McLeod, \"Undressing Architecture: Fashion, Gender, and Modernity,\" in Deborah Fausch, Paulette Singley, Rodolphe El-Khoury, and Zvi Efrat, eds., _Architecture: In Fashion_ , Princeton, Princeton Architectural Press, 1994, p. 92.\n\nMark Wigley, _White Walls, Designer Dresses: The Fashioning of Modern Architecture_ , Cambridge: MIT Press, 1995. For further discussion of this work, see chapter 9. See also Gottfried Semper, _The Four Elements of Architecture and Other Writings_ , trans. Harry Francis Mallgrave and Wolfgang Herrmann, Cambridge: Cambridge University Press, 1989.\n\nMark Wigley, \"Untitled: The Housing of Gender,\" in Beatriz Colomina, ed., _Sexuality and Space_ , Princeton: Princeton Architectural Press, 1992, p. 368. On modern architecture and fashion, in the same volume, see also Colomina, \"The Split Wall: Domestic Voyeurism.\" For a reading of subject and cloth in the work of Cl\u00e9rambault, see Joan Copjec, \"The Sartorial Superego,\" _October_ , no. 50, Fall 1989, pp. 57\u201395.\n\nWigley, _White Walls, Designer Dresses_ , p. 23.\n\nSee Foster, _Across New Worlds_ , especially chapter 1.\n\nLady Mary Wortley Montagu, from _Embassy to Constantinople_ , letter to Lady Mar-, Adrianopole, 1 April 1717, anthologized in Mary Morris, ed., _Maiden Voyages: Writings of Women Travelers_ , New York: Vintage Books, 1993, p. 4.\n\nIbid., pp. 5\u20136.\n\nSee Nelly Bly (Elizabeth Cochrane Seaman), _Nellie Bly's Book: Around the World in Seventy-Two Days_ , New York: Pictorial Weeklies Company, 1890.\n\nSimmel, \"Fashion,\" p. 320.\n\nMaya Deren's unpublished manuscript \"Psychology of Fashion\" has been printed in V\u00e8v\u00e8 A. Clark, Millicent Hodson, and Catrina Neiman, eds., _The Legend of Maya Deren: A Documentary Biography and Collected Works_ , vol. 1, part two, New York: Anthology Film Archives, 1988.\n\nSee Bernard Rudofsky, _Are Clothes Modern? An Essay on Contemporary Apparel_ , Chicago: P. Theobald, 1947.\n\nHollander, _Seeing Through Clothes_ , pp. xv-xvi.\n\nIbid., pp. 349\u201350.\n\nDeren, \"Psychology of Fashion,\" p. 436.\n\nIbid., p. 435.\n\n**5 The Architecture of the Interior**\n\nXavier de Maistre, _Voyage around My Room_ , trans. Stephen Sartarelli, New York: New Directions Books, 1994. The book was first published in 1794 and was followed in 1825 by a sequel called _Nocturnal Expeditions around My Room_. A fad of the eighteenth century, the \"sentimental\" matter had been taken to new levels by Laurence Sterne in his _A Sentimental Journey through France and Italy_ , London: Penguin, 1986. The book, which distilled the experience of the grand tour, was first published in 1768. In 1884, the voyage in one's room became the \"decadent\" journey of Des Esseintes in _A Rebours_. See J.-K. Huysmans, _Against Nature_ , trans. Robert Baldrick, London: Penguin Books, 1959. I thank Leslie Cahmi, who, understanding my passion for such \"sentimental\" matters, encouraged me to visit the Museu Mar\u00e8s.\n\nSusan Stewart, \"Death and Life, in that Order, in the Works of Charles Willson Peale,\" in Lynne Cooke and Peter Wollen, eds., _Visual Display: Culture Beyond Appearances_ , Seattle: Bay Press, 1995, pp. 39\u201340. The entire volume is relevant to the topic of my discussion, especially Stephen Bann, \"Shrines, Curiosities, and the Rhetoric of Display.\" See also Susan Stewart, _On Longing: Narratives of the Miniature, the Gigantic, the Souvenir, the Collection_ , Durham, N.C.: Duke University Press, 1993; and Susan Pearce, ed., _On Collecting: An Investigation into Collecting in the European Tradition_ , New York: Routledge, 1995.\n\nSee Jean-Claude Beaune, \"The Classical Age of Automata: An Impressionistic Survey from the Sixteenth to the Nineteenth Century,\" _Zone_ , special issue \"Fragments for a History of the Human Body, Part I,\" ed. Michel Feher, with Ramona Nadaff and Nadia Tazi, 1989, pp. 431\u201337.\n\nOn the history of precinema, see, among others, Laurent Mannoni, _Le grand art de la lumi\u00e8re et de l'ombre: arch\u00e9ologie du cinema_ , Paris: Nathan, 1995; Laurent Mannoni, Donata Pesenti Campagnoni, and David Robinson, _Light and Movement: Incunabula of the Motion Picture_ , Pordenone: Le Giornate del Cinema Muto, 1995; Pesenti Campagnoni, _Verso il cinema: macchine, spettacoli e mirabili visioni_ , Turin: Utet, 1995; _Geografia del precinema: percorsi della visione dalla camera oscura alla luce dei Lumi\u00e8re_ , Bologna: Grafis Edizioni, 1994 (exhibition catalogue); Gian Piero Brunetta, _Il viaggio dell'icononauta: dalla camera oscura di Leonardo alla luce dei Lumi\u00e8re_ , Venice: Marsilio, 1997; Brunetta, \"II Pre-cinema,\" in _Cinema and Film_ , Rome: Armando Curcio Editore, 1986; Carlo Alberto Zotti Minici, ed., _Prima del cinema: le lanterne magiche_ , Venice: Marsilio, 1988 (exhibition catalogue); and C. W. Ceram, _Archaeology of the Cinema_ , New York: Harcourt, Brace and World, 1965. See also _Wide Angle_ , special issues \"Movies Before Cinema,\" parts 1 and 2, ed. Scott MacDonald, vol. 18, nos. 2 and 3, July 1996. For bibliographical reference, see Herman Hecht, _Pre-Cinema History: An Encyclopedia and Annotated Bibliography of the Moving Image before 1896_ , ed. Ann Hecht, London: Bowker, Saur, in association with the British Film Institute, 1993. The recent historiographic work covers areas that often overlap with my research.\n\nFor insights in this area, see, among others, Lisa Cartwright, _Screening the Body: Tracing Medicine's Visual Culture_ , Minneapolis: University of Minnesota Press, 1995; Mary Ann Doane, \"Temporality, Storage, Legibility: Freud, Marey, and the Cinema,\" _Critical Inquiry_ , vol. 22, no. 2, 1996, pp. 313\u201343; Francois Dagognet, _Etienne-Jules Marey: A Passion for the Trace_ , trans. Robert Galeta and Jeanine Herman, New York: Zone Books, 1992; Marta Braun, _Picturing Time: The Work of Etienne-Jules Marey_ , Chicago: University of Chicago Press, 1992; Linda Williams, \"Film Body: An Implantation of Perversions,\" in Philip Rosen, ed., _Narrative, Apparatus, Ideology_ , New York: Columbia University Press, 1986; Williams, _Hard Core: Power, Pleasure, and the \"Frenzy of the Visible,\"_ Berkeley: University of California Press, 1989; Hollis Frampton, \"Eadweard Muybridge: Fragments of a Tesseract,\" in _Circles of Confusion_ , Rochester: Visual Studies Workshop Press, 1983.\n\nThe archaeological paradigm evoked here is that of Michel Foucault's _The Archaeology of Knowledge_ , trans. A. M. Sheridan Smith, New York: Pantheon Books, 1972.\n\nJonathan Crary, _Techniques of the Observer: On Vision and Modernity in the Nineteenth Century_ , Cambridge: MIT Press, 1990. See also Joel Snyder, \"Picturing Vision,\" _Critical Inquiry_ , no. 6, Spring 1980, pp. 499\u2013526.\n\nGilles Deleuze, _Cinema 1: The Movement-Image_ , trans. Hugh Tomlinson and Barbara Habberjam, Minneapolis: University of Minnesota Press, 1986, p. 4.\n\nYve-Alain Bois backdates the \"rupture of modernity\" in a provocative essay on the picturesque, \"A Picturesque Stroll around _Clara-Clara,\" October_ , no. 29, 1984, pp. 32\u201362.\n\nWalter Benjamin expresses this opinion, citing from Michelet's \"Avenir! Avenir!,\" in \"Fourier or the Arcades,\" _Charles Baudelaire: A Lyric Poet in the Era of High Capitalism_ , trans. Harry Zohn, London: Verso, 1983, p. 159.\n\nSee Jean-Louis Baudry, \"The Apparatus: Metapsychological Approaches to the Impression of Reality in the Cinema,\" in Rosen, ed., _Narrative, Apparatus, Ideology_.\n\nRobert Treat Paine and Alexander Soper, _The Art and Architecture of Japan_ , London: Penguin Books, 1990.\n\nIbid., p. 133.\n\nPeter Greenaway, _Watching Water_ , Milan: Electa, 1993, p. 30.\n\nSee, among others, Stephen Heath, _Questions of Cinema_ , Bloomington: Indiana University Press, 1981; Christian Metz, _The Imaginary Signifier: Psychoanalysis and the Cinema_ , trans. Celia Britton, Annwyl Williams, Ben Brewster, and Alfred Guzzetti, Bloomington: Indiana University Press, 1977; Jean Louis Comolli, \"Machines of the Visible,\" in Teresa de Lauretis and Stephen Heath, eds., _The Cinematic Apparatus_ , New York: St. Martin's Press, 1980; Comolli, \"Technique and Ideology: Camera, Perspective and Depth of Field,\" _Film Reader_ , no. 2, 1977, pp. 132\u201338; Comolli, \"Technique and Ideology: Camera Perspective and Depth of Field\" [parts 3 and 4], in Rosen, ed., _Narrative, Apparatus, Ideology_.\n\nGiovan Battista Della Porta, _Magiae Naturalis, libri XX. Ab ipso authore expurgati, et superaucti, in quibus scientiarium Naturalium divitiae et delitiae demonstrantur_ , Apud Horatium Salvianum, Naples, 1589. Following the Latin edition, a revised edition in Italian ( _volgare_ ) was subsequently published as _Della Magia Naturale del signor Gio: Battista Della Porta napolitano, libri XX. Tradotti da latino in volgare, e dall'istesso Autore accresciuti, sotto nome di Gio: De Rosa V.I.P. con l'aggiunta d'infiniti altri secreti, e con la dichiaratione di molti, che prima non s'intendevano_ , Naples: Antonio Bulifon, 1677.\n\nOn Della Porta, see Luisa Muraro, _Giambattista Della Porta mago e scienziato_ , Milan: Feltrinelli, 1978. On his work in physiognomy, see Patrizia Magli, _Il volto e Vanima: Fisiognomica e passioni_ , Milan: Bompiani, 1995.\n\nDella Porta, _De humana physiognomonia_ , 4 vols., Vico Equense, 1586. The first edition, in Latin, was translated into Italian by Della Porta himself and published as _Della fisonomia dell'huomo_ , Naples, 1598. It was subsequently revised and enlarged to 6 vols. in the 1610 Neapolitan edition and all subsequent editions.\n\nDella Porta, _Magiae Naturalis_ , p. 486 of the 1677 edition (my translation). On this subject, see Pesenti Campagnoni, _Verso il cinema_.\n\nThis singular philosophical position allowed Della Porta to speak about perfumes and women's ornaments in the same relational terms he used to address the material shapes of plants, animals, humans, and astral correlations.\n\nCharles Le Brun, _Conference sur l'expression gen\u00e9rale et particuli\u00e8re des passions_ , Paris: Picart, 1698. On Le Brun, see Norman Bryson, _Word and Image: French Painting of the Ancien Regime_ , Cambridge: Cambridge University Press, 1981, pp. 29\u201357.\n\nSee Graeme Tytler, _Physiognomy in the European Novel: Faces and Fortunes_ , Princeton: Princeton University Press, 1982, especially pp. 35\u201381.\n\nSee Magli, _Il volto e l'anima_ , chapter 9.\n\nSee Philippe Duboy, _Lequeu: An Architectural Enigma_ , Cambridge: MIT Press, 1986; and Anthony Vidler, _The Writing of the Walls: Architectural Theory in the Late Enlightenment_ , Princeton: Princeton Architectural Press, 1987, chapter 7.\n\nSee chapter 9 for a discussion of de Superville.\n\nGuillaume-Benjamin Duchenne de Boulogne, _M\u00e9canisme de la physionomie humaine; ou, Analyse \u00e9lectro-physiologique de l'expression des passions applicable \u00e0 la pratique des arts plastiques_ , Paris: Jules Renouard, 1862; published in English under the title _The Mechanism of Human Facial Expression_ , ed. and trans. R. Andrew Cuthbertson, Cambridge: Cambridge University Press, 1990. See also Charles Darwin, _The Expression of the Emotions in Man and Animals_ , London: John Murray, 1872, which, significantly, contains some of Duchenne's images.\n\nSee, for example, William Cheselden, _Osteographia or the Anatomy of the Bones_ , London, 1733.\n\nThese emotional lantern strips, preserved at the Museo del Cinema, are part of the series of 46 slides for the magic lantern \"Veronese,\" measuring 20.3 x 5.4 cm. each.\n\nOn Kircher and precinema, see Brunetta, _Il viaggio dell'icononauta_ , pp. 90\u2013101.\n\nSee Athanasius Kircher, _Romani Collegii Societatis Jesu Museum Celeberrimum_ , Amsterdam: Jassinio-Waesbergiana, 1678; and Filippo Buonanni, _Museum Kircherianum; sive, musaeum a padre Athanasio Kircherio in Collegio Romano Societatis Jesu_ , Rome, 1709. See also Riccardo Garc\u00eda Villoslada, _Storia del CollegioRomano dal suo inizio (1551) alla soppressione della Compagnia di Ges_\u00f9 _(1773)_ , Rome: Universitatis Gregorianae, 1954; and Maristella Casciato, Maria Grazia Ianniello, and Maria Vitale, eds., _Enciclopedismo in Roma Barocca: Athanasius Kircher e il Collegio Romano tra wunderkammern e museo scientifico_ , Venice: Marsilio, 1986, especially the essays by Silvio Bedini and Adalgisa Lugli.\n\nKircher, _Mundus subterraneus_ , Amsterdam, 1665. On this subject, see Barbara Maria Stafford, _Voyage into Substance: Art, Science, Nature and the Illustrated Travel Account, 1760\u20131840_ , Cambridge: MIT Press, 1984.\n\nAthanasius Kircher, _Ars magna lucis et umbrae in decem libros digesta. Quibus admirandae lucis et umbrae in mundo, atque adeo universa natura, vire effectusq. uti nova, ita varia novorum reconditiorumq. speciminum exhibitione, ad varios mortalium usus, pandatur._ , Rome: Sumptibus Hermanni Scheus, 1646.\n\nIn _Le grand art de la lumi\u00e8re et de l'ombre_ , Mannoni argues for the precedence of Huygens over Kircher, and appears to agree with Pesenti Campagnoni on the importance of Della Porta. See Mannoni, Pesenti Campagnoni, and Robinson, _Light and Movement;_ and Pesenti Campagnoni, _Verso il cinema_.\n\nSee, among others, Fran\u00e7oise Levie, _Etienne-Gaspard Robertson: La vie d'un fantasmagore_ , Brussels: La Preamble, 1990; and Max Milner, _La fantasmagorie: essai sur l'optique fantastique_ , Paris: Presses Universitaires de France, 1982.\n\nSee Antonia Lant, \"The Curse of the Pharaoh, or How Cinema Contracted Egyptomania,\" _October_ , no. 59, Winter 1992, pp. 87\u2013112.\n\nAccording to Sir David Brewster, _Letters on Natural Magic_ , London, 1832, p. 80.\n\nFor an interpretation of phantasmagoria, see Terry Castle, _The Female Termometer: Eighteenth-Century Culture and the Invention of the Uncanny_ , New York: Oxford University Press, 1995, especially chapter 9; and Crary, _Techniques of the Observer_ , pp. 132\u201336.\n\nSee Tom Gunning, \"Phantom Images and Modern Manifestations: Spirit Photography, Magic Theatre, Trick Films, and Photography's Uncanny,\" in Patrice Petro, ed., _Fugitive Images: From Photography to Video_ , Bloomington: Indiana University Press, _1995_. See also Paul Hammond, _Marvellous M\u00e9li\u00e8s_ , London: Gordon Fraser Gallery, 1974; and Stanley Cavell, \"What Becomes of Things on Film,\" in _Themes Out of School: Effects and Causes_ , San Francisco: North Point Press, 1984, pp. 173\u201383.\n\nAndr\u00e9 Bazin, _What is Cinema?_ , vol. 1, trans. Hugh Gray, Berkeley: University of California Press, 1967, p. 9.\n\nThe concept of heterotopia was the subject of a lecture by Michel Foucault in March 1967, published as \"Des espaces autres\" in the French architectural journal _Architectures-Movement-Continuit\u00e9_ , October 1984. It is translated into English under the title \"Of Other Spaces\" and published in _Diacritic_ , vol. 1, Spring 1986, pp. 22\u201327. I thank my student Eric R. Keune for an exchange of ideas that inspired this reading.\n\nWalter Benjamin, _Das Passagen-Werk_ , vol. 5 of _Gesammelte Schriften_ , ed. Rolf Tiedemann and Hermann Schweppenhauser, Frankfurt am Main: Suhrkamp Verlag, 1972-, pp. 111 and 118, as cited in Susan Buck-Morss, _The Dialectics of Seeing: Walter Benjamin and the Arcades Project_ , Cambridge: MIT Press, 1989, p. 101.\n\nSee Barbara Stafford, _Artful Science: Enlightenment Entertainment and the Eclipse of Visual Education_ , Cambridge: MIT Press, 1994; and Stafford, _Body Criticism: Imaging the Unseen in Enlightenment Art and Medicine_ , Cambridge: MIT Press, 1989.\n\nFor a history of waxwork, see, among others, Michel Lemire, _Artistes et mortels_ , Paris: Chabaud, 1990. For an earlier account of the relation of waxwork to early cinema, see Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993.\n\nThe handbill advertising Mrs. Mills's Waxwork is reprinted in Richard D. Altick, _The Shows of London_ , Cambridge: Harvard University Press, 1978, p. 51. Altick mentions other women involved in waxwork in London at the time.\n\nOn Tussaud's work, see Marina Warner, \"Waxworks and Wonderlands,\" in Cooke and Wollen, eds., _Visual Display_.\n\nInformation on wax-makers in Italy and France is given in Thomas N. Haviland and Lawrence Charles Parish, \"A Brief Account of the Use of Wax Models in the Study of Medicine,\" _Journal of the History of Medicine_ , vol. 25, 1970, pp. 52\u201375.\n\nA particularly interesting prefilmic description of a _tableau vivant_ is offered by Edith Wharton in her novel _The House of Mirth_. On the subject of women and _tableaux vivants_ , see Mary Chapman, \"'Living Pictures': Women and _Tableaux Vivants_ in Nineteenth-Century American Fiction and Culture,\" _Wide Angle_ , vol. 18, no. 3, July 1996, pp. 22\u201352.\n\nVanessa R. Schwartz, _Spectacular Realities: Early Mass Culture in Fin-de-Si\u00e8cle Paris_ , Los Angeles: University of California Press, 1998.\n\nMesmer left little published work, but he did produce a memoir.\n\nSee Stefan Zweig's reading of Mesmer's position in his _Mental Healers: Mesmer, Eddy, Freud_ , New York: Viking Press, 1932, especially p. 4.\n\nFranz Anton Mesmer, _Memoir of F. A. Mesmer, Doctor of Medicine on His Discoveries, 1799_ , trans. Jerome Eden, Mount Vernon, N.Y.: Eden Press, 1957, pp. 3\u20134.\n\nAlthough using the notion of attraction in a different sense, I refer to Tom Gunning's founding definition of a cinema of attraction in his \"The Cinema of Attractions: Early Film, Its Spectator, and the Avant-Garde,\" in Thomas Elsaesser, ed., with Adam Barker, _Early Cinema: Face, Frame, Narrative_ , London: British Film Institute, 1990.\n\nSee, in particular, chapters 9 and .\n\nFor an introduction to the world of curiosity cabinets, see Olive Impey and Arthur MacGregor, eds., _The Origins of Museums: The Cabinet of Curiosities in Sixteenth- and Seventeenth-Century Europe_ , Oxford: Clarendon Press, 1985; Krzysztof Pomian, _Collectors and Curiosities: Paris and Venice, 1500\u20131800_ , trans. Elizabeth Wiles-Portier, Cambridge, Mass.: Basil Blackwell, 1990; Adalgisa Lugli, _Naturalia e mirabilia: II collezionismo enciclop\u00e9dico nelle Wunderkammern d'Europa_ , Milan: Gabriele Mazzotta, 1983; and Lorraine Daston and Katharine Park, _Wonder and the Order of Nature 1150\u20131750_ , New York: Zone Books, 1998.\n\nOn the relation between a sense of wonder, the experience of the marvelous, and the new world, see Stephen Greenblatt, _Marvelous Possessions: The Wonder of the New World_ , Chicago: University of Chicago Press, 1991. On cabinets and wonder, see Greenblatt, \"Resonance and Wonder,\" in Ivan Karp and Steven D. Lavine, eds., _Exhibiting Cultures: The Poetics and Politics of Museum Display_ , Washington, D.C.: Smithsonian Institution Press, 1991.\n\nSee Tony Bennett, \"The Exhibitionary Complex,\" in Reesa Greenberg, Bruce W. Ferguson, and Sandy Nairne, eds., _Thinking about Exhibitions_ , New York: Routledge, 1997; and Bennett, _The Birth of the Museum_ , London: Routledge, 1995.\n\nAlison Griffiths, \"'Journeys for Those Who Can Not Travel': Promenade Cinema and the Museum Life Group,\" in _Wide Angle_ , special issue \"Movies Before Cinema: Part II,\" ed. Scott MacDonald, vol. 18, no. 3, July 1996, pp. 53\u201384.\n\nPomian, _Collectors and Curiosities_ , chapter 2.\n\nThere were a number of variations on the viewing box. Despite their differences, their history is linked to the camera obscura and the magic lantern, although no projection is involved here. Interestingly, they were known by different names in different languages. The English \"perspective box\" and the French _\"optique\"_ are names that emphasize the optical component, while the English \"peepshow\" and German \" _Guckkasten\"_ speak of the voyeurism involved. I prefer to use the Italian name, _mondo nuovo_ , for it foregrounds the travel effect of the viewing box, obscured by the other names and in the criticism that emphasizes the visuality and voyeurism of perspective devices. _Mondo nuovo_ is also known as _mondo niovo_ or _mondo novo_.\n\nOn this subject, see, among others, Carlo Alberto Zotti Minici, ed., _Il mondo nuovo: Le meraviglie della visione dal 700 alia nascita del cinema_ , Milan: Mazzotta, 1988, in particular the essays by Zotti Minici, Alberto Milano, and Gian Piero Brunetta. Brunetta elaborates here on the impact of _mondo nuovo_ on the expansion of vision and interprets the public itinerant character of the device as a precursor of televisual modes (pp. 28\u201329). He expands this topic in chapter 8 of his _Il viaggio dell'icononauta_ , devoted to _mondo nuovo_.\n\nSee Maria Adriana Prolo and Luigi Carluccio, eds., _Il Museo Nazionale del Cinema di Torino_ , Turin: Cassa di Risparmio, 1978; and Paolo Bertetto and Donata Pesenti Campagnoni, eds., _La magia dell'immagine: macchine e spettacoli prima dei Lumi\u00e8re nelle collezioni del Museo Nazionale del Cinema_ , Milan: Electa, 1997 (exhibition catalogue).\n\nSee Charles Musser, in collaboration with Carol Nelson, _High Class Moving Pictures: Lyman H. Howe and the Forgotten Era of Traveling Exhibition, 1880\u20131920_ , Princeton: Princeton University Press, 1991.\n\nStephan Oettermann, _The Panorama: History of a Mass Medium_ , trans. Deborah Lucas Schneider, New York: Zone Books, 1997.\n\nSee Ralph Hyde, _Panoramania!: The Art and Entertainment of the 'All-Embracing View'_ , London: Trefoil, in association with the Barbican Art Gallery, 1988, p. 40. On panoramas, see also Dolf Stenberger, \"Panorama of the Nineteenth Century,\" _October_ , no. 4, Fall 1977, pp. 3\u201320; and Silvia Bordini, _Storia del panorama: La visione totale nella pittura del XIX secolo_ , Rome: Officina, 1984.\n\nFrom the patent document deposited on 25 March 1822 by the inventor of the _g\u00e9orama_ , Charl\u00e9s-Fran\u00e7ois-Paul Delanglard. Reprinted in Mannoni, _Le grand art_ , p. 176, in a discussion in which panoramas and dioramas are also treated as prefilmic spectacles.\n\nOn these geographical garden globes, see Christian Jacob, _L'Empire des cartes: approche th\u00e9orique de la cartographie \u00e0 travers l'histoire_ , Paris: Editions Albin Michel, 1992, pp. 61\u201366.\n\nOn the Crystal Palace and its own crystallization of images, see Celeste Olalquiaga, _The Artificial Kingdom: A Treasury of the Kitsch Experience_ , New York: Pantheon Books, 1998. Olalquiaga interestingly presents this landmark as a manifestation of the modern landscape of memory and loss, which creates the underworld as a topography of the unconscious.\n\nSee Derek Gregory, _Geographical Imaginations_ , Cambridge, Mass.: Blackwell, 1994, pp. 38\u201339.\n\nUnlike other \"-oramic\" geographies, panoramas and dioramas have been given more scholarly attention as prefilmic apparatuses. See, for example, Wolfgang Schivelbusch, _Disenchanted Night: The Industrialization of Light in the Nineteenth Century_ , trans. Angela Davies, Los Angeles: University of California Press, 1988; Anne Friedberg, _Window Shopping: Cinema and the Postmodern_ , Los Angeles: University of California Press, 1993; Schwartz, _Spectacular Realities;_ Jacques Aumont, _L'oeil interminable: Cin_ \u00e9 _ma et peinture_ , Paris: Nouvelles Editions S\u00e9guier, 1995; and Angela Miller, \"The Panorama, the Cinema and the Emergence of the Spectacular,\" _Wide Angle_ , no. 2, April 1996, pp. 34\u201369.\n\nFrom the _Albion_ , as cited in Hyde, _Panoramania!_ , p. 126.\n\nFrom the program notes accompanying the _cosmorama mouvant_ by Cuvelier, preserved in the Museo del Cinema in Turin, Italy, as reprinted in Pesenti Campagnoni, _Verso il cinema_ , pp. 87 and 93 (my translation).\n\n _Literary Gazette_ , London, 10 May 1823, p. 301, cited in Altick, _The Shows of London_ , pp. 211\u201312.\n\nThis was the case at Hubert Sattler's permanent rotunda for cosmoramas in Salzburg.\n\nSee Altick, _The Shows of London_ , chapter 9.\n\nOn this subject, see Odile Nouvel-Kammerer, ed., _Papiers peints panoramiques_ , Paris: Flammarion, 1990 (exhibition catalogue of the Mus\u00e9e des Arts D\u00e9coratifs); _Trois si\u00e8cles de papiers peints_ , Paris: Mus\u00e9e des Arts D\u00e9coratifs, 1967 (exhibition catalogue); _Wallpapers of France, 1800\u20131850_ , with an introduction by Jean-Pierre Seguin, trans. Margaret Timmers, New York: Rizzoli, 1981.\n\nTapestries, such as the \"panoramic\" one on rollers displayed in the Bayeux Cathedral as decoration for feasts, also acted as a forerunner of moving panoramas.\n\nRen\u00e9e Green's _Taste Venue_ (1994) was exhibited at Pat Hearn Gallery in New York. It is part of the artist's genealogical quest and of her project of invented museography. Her site-specific exhibition _Sites of Genealogy_ was part of the exhibition \"Out of Site,\" at P.S.1 Museum\/Institute of Contemporary Art, Long Island City, New York, 1990. _World Tour_ (1993) was shown at the Museum of Contemporary Art, Los Angeles. See Ren\u00e9e Green, _Certain Miscellanies: Some Documents_ , Amsterdam: De Appel Foundation, 1996 (exhibition catalogue); Green, _After the Ten Thousand Things_ , The Hague: Seventh Museum, 1994; and Green, _World Tour:_ Los Angeles: Museum of Contemporary Art, 1993 (exhibition catalogue).\n\nFrom Joseph Dufour's introductory text to _Sauvages de la mer Pacifique_ , p. 11, cited in Nouvel-Kammerer, ed., _Papiers peints panoramiques_ , p. 122.\n\n**6 Haptic Routes: View Painting and Garden Narratives**\n\nAlain Corbin, _The Lure of the Sea: The Discovery of the Seaside 1750\u20131840_ , trans. Jocelyn Phelps, New York: Penguin Books, 1995, pp. 137\u201338.\n\nThe quoted phrase is Corbin's, ibid., p. 138.\n\nIbid.\n\nRichard Sennett, _Flesh and Stone: The Body and the City in Western Civilization_ , New York: W. W. Norton, 1994, pp. 261\u201364.\n\nBarbara Maria Stafford, _Voyage into Substance: Art, Science, Nature, and the Illustrated Travel Account, 1760\u20131840_ , Cambridge: MIT Press, 1984. See also Kenneth Clark, _Landscape into Art_ , London: Murray, 1976.\n\nM. Christine Boyer, _The City of Collective Memory: Its Historical Imagery and Architectural Entertainments_ , Cambridge: MIT Press, 1994, p. 228\u201330.\n\nStafford, _Voyage into Substance_ , p. 2.\n\nOn this subject, see, among others, Cesare de Seta, ed., _Citt\u00e0 d'Europa: Iconografia e vedutismo dal XV al XIX secolo_ , Naples: Electa, 1996; de Seta, \"Topografia urbana e vedutismo nel Seicento: a proposito di alcuni disegni di Alessandro Baratta,\" _Prospettiva_ , no. 2, July 1980, pp. 46\u201360; de Seta, \"Bernardo Bellotto vedutista e storiografo della civilt\u00e0 urbana europea,\" _Quaderni dell'Istituto di Storia dell'Architettura_ , nos. 15\u201320, 1990\u201392, pp. 813\u201318; de Seta, _L'Italia del Grand Tour da Montaigne a Goethe_ , Naples: Electa, 1992; Giuliano Briganti, _The View Painters of Europe_ , trans. Pamela Waley, London: Phaidon, 1970; and _The Origins of the Italian Veduta_ , Providence, R.I.: Brown University, 1978 (exhibition catalogue). A bibliography on view painting was compiled by Elisabeth Chevallier and published in the proceedings of the conference \"Arch\u00e9ologie du paysage,\" _Caesarodunum_ , vol. 1, no. 13, 1978, pp. 579\u2013613.\n\nOn Dutch methods of description and mapping, see Svetlana Alpers, _The Art of Describing: Dutch Art in the Seventeenth Century_ , Chicago: University of Chicago Press, 1983.\n\nOn the notion of the mental image of the city, see Kevin Lynch, _The Image of the City_ , Cambridge: MIT Press, 1960. On cognitive mapping as developed from Lynch, see Fredric Jameson, \"Cognitive Mapping,\" in Cary Nelson and Lawrence Grossberg, eds., _Marxism and the Interpretation of Culture_ , Chicago: University of Illinois Press, 1988; and Jameson, _Postmodernism, or the Cultural Logic of Late Capitalism_ , Durham, N.C.: Duke University Press, 1991, especially pp. 51\u201352.\n\nThe letter is cited in Juergen Schulz, \"Jacopo de' Barbari's View of Venice: Map Making, City Views, and Moralized Geography Before the Year 1500,\" _The Art Bulletin_ , vol. 60, no. 3, September 1978, p. 458.\n\n _The East Prospect of London Southwark and Bridge_ and _The West Prospect of London Southwark and Bridge_ (c. 1734) are so described in John Bowles's 1731 and 1736 catalogues of _London Printed and Sold_. Cited in Ralph Hyde, _Gilded Scenes and Shining Prospects: Panoramic Views of British Towns, 1575\u20131900_ , New Haven: Yale Center for British Art, 1985 (exhibition catalogue), p. 88.\n\nSee Christian Jacob, _L'Empire des cartes: approche th\u00e9orique de la cartographie \u00e0 travers l'histoire_ , Paris: Editions Albin Michel, 1992, especially chapter 1; and Joy Kenseth, ed., _The Age of the Marvelous_ , Hanover, N.H.: Hood Museum of Art, Dartmouth College, 1991 (exhibition catalogue).\n\nSee Schulz, \"Jacopo de' Barbari's View of Venice.\"\n\nSee Ronald Rees, \"Historical Links between Cartography and Art,\" _Geographical Review_ , no. 70, 1980, pp. 61\u201378.\n\nLouis Marin, _Utopics: Spatial Plays_ , trans. Robert A. Vollrath, Atlantic Highlands, N.J.: Humanities, 1984, p. 208.\n\nOn prospect views as precursors of panoramic vision, see Ralph Hyde, _Panoramania!: The Art and Entertainment of the 'All-Embracing View'_ , London: Trefoil, in association with the Barbican Art Gallery, 1988. The expression cited is the title of the book's introduction.\n\nCesare de Seta, \"L'iconografia urbana in Europa dal XV al XVIII sec\u00f3lo,\" in de Seta, ed., _Citta d'Europa_ , p. 46.\n\nAlberto P\u00e9rez-G\u00f3mez and Louise Pelletier, \"Architectural Representation Beyond Perspectivism,\" _Perspecta_ , no. 27, 1992, p. 36.\n\nErwin Panofsky, _Perspective as Symbolic Form_ , trans. Christopher S. Wood, New York: Zone Books, p. 29. Panofsky, while connecting perspectival to cultural changes, recognized the mobile gaze of film in his \"Style and Medium in the Motion Pictures,\" _Bulletin of the Department of Art and Archaeology_ , Princeton University, 1934, reprinted in Gerald Mast, Marshall Cohen, and Leo Braudy, eds., _Film Theory and Criticism_ , New York: Oxford University Press, 1992.\n\nJan Vredeman de Vries, _Perspective_ , New York: Dover Publications, 1968. The book was first published by Hondius in The Hague and Leiden in 1604\u20135.\n\nAlpers, _The Art of Describing_ , p. 58.\n\nOn the apparatus and classical perspective, see, for example, Stephen Heath, _Questions of Cinema_ , Bloomington: Indiana University Press, 1981; and Christian Metz, _The Imaginary Signifier: Psychoanalysis and the Cinema_ , trans. Celia Britton, Annwyl Williams, Ben Brewster, and Alfred Guzzetti, Bloomington: Indiana University Press, 1977.\n\nThe nature of the twist on this landscape of mapping has to do with what I consider to be a possibility: a cartographic rendering of narrative space in haptic terms, which will be addressed further in subsequent chapters on the art of mapping.\n\nOn the architectonic imaginary of painting, beyond _vedutismo_ and cartographic art, see Giuliana Massobrio and Paolo Portoghesi, _L'immaginario architettonico nella pittura_ , Bari: Laterza, 1988.\n\nArt historian Anne Hollander significantly refers to painterly scenic designs as \"moving pictures.\" See Anne Hollander, _Moving Pictures_ , Cambridge: Harvard University Press, 1991, especially chapter 8.\n\nOn atmospheric movie theaters, see chapter 1.\n\nSee P. D. A. Harvey, _The History of Topographical Maps: Symbols, Pictures and Surveys_ , London: Thames and Hudson, 1980, pp. 29\u201336.\n\nSee J. B. Harley and David Woodward, _The History of Cartography_ , vol. 1, Chicago: University of Chicago Press, 1987, especially chapter 19 on \"Portolan Charts from the Late Thirteenth Century to 1500\"; and Jacob, _L'empire des cartes_ , chapter 1.\n\nSee Richard D. Altick, _The Shows of London_ , Cambridge: Harvard University Press, 1978.\n\nSee Rhonda Garelick, _\"Bayaderes, St\u00e9r\u00e9orama_ , and _Vahat-Loukoum:_ Technological Realism in the Age of Empire,\" in Margaret Cohen and Christopher Prendergast, eds., _Spectacles of Realism: Gender, Body, Genre_ , Minneapolis: University of Minnesota Press, 1995. On this and other moving panoramas, see Stephan Oettermann, _The Panorama: History of a Mass Medium_ , trans. Deborah Lucas Schneider, New York: Zone Books, 1997; and Vanessa Schwartz, _Spectacular Realities: Early Mass Culture in Fin-de-Si\u00e8cle Paris_ , Los Angeles: University of California Press, 1998.\n\nSee, among others, Jim Bennett, Robert Brain, Simon Schaffer, Heinz Otto Sibum, and Richard Staley, _1900: The New Age_ , Cambridge, England: Whipple Museum of the History of Science, 1994 (exhibition catalogue). Another moving panorama shown at the Paris Exposition was the _Trans-Siberian Express_ , which simulated the celebrated railway journey in a forty-five-minute tour.\n\nRenzo Dubbini, \"Views and Panoramas: Representations of Landscapes and Towns,\" _Lotus International_ , no. 52, 1987, p. 105. See also Dubbini, _Geografie dello sguardo: visione e paesaggio in eta moderna_ , Turin: Einaudi, 1994, especially chapters 2 and .\n\n _Literary Gazette_ , 16 April 1825, p. 255. Cited in Altick, _The Shows of London_ , p. 395.\n\nSee chapters 3, , and .\n\nSee Laurence Sterne, _A Sentimental journey Through France and Italy_ , London: Penguin, 1986, first published in 1768.\n\nDezallier d'Argenville, _Voyage pittoresque de Paris_ , Paris, 1778, \"Preface,\" p. iii, cited in Dubbini, \"Views and Panoramas,\" p. 105.\n\nOn the art of memory, see Frances A. Yates, _The Art of Memory_ , Chicago: University of Chicago Press, 1966. For further discussion of the art of mapping and memory, see chapter 7.\n\nAlessandro Piazza's multiple views are preserved at the Museo Correr in Venice, Italy.\n\nOn the Salon, see Patricia Mainardi, _The End of the Salon: Art and the State in the Early Third Republic_ , New York: Cambridge University Press, 1993. For further discussion of exhibition practices, see chapter 10.\n\nOn Havell's work, see Hyde, _Gilded Scenes_. The portable strip panoramas were an extensive European phenomenon, quite popular in the nineteenth century. The most celebrated ones were produced in England by Havell, in Switzerland by Heinrich Keller, and in Germany by Friedrich Delleskamp.\n\nSee chapter 10 for further discussion of this possibility, as embodied, for example, in the experimental installations of the filmmaker Peter Kubelka.\n\nJudith Adler, \"Origins of Sightseeing,\" _Annals of Tourism Research_ , vol. 16, 1989, pp. 7\u201329.\n\nJ. Howell, _Instructions for Forrein Travell_ , London: Humphrey Mosele, 1642, pp. 2\u20133, cited in Adler, \"Origins of Sightseeing,\" pp. 12\u201313.\n\nFor a discussion of the misunderstandings surrounding the picturesque, see Kim Ian Michasiw, \"Nine Revisionist Theses on the Picturesque,\" _Representations_ , no. 38, Spring 1992, pp. 76\u2013100.\n\nOn the picturesque as a landscape aesthetic, see, among others, John Dixon Hunt, _Gardens and the Picturesque: Studies in the History of Landscape Architecture_ , Cambridge: MIT Press, 1992; Malcolm Andrews, _The Search for the Picturesque: Landscape Aesthetics and Tourism in Britain, 1760\u20131800_ , Stanford, Cal.: Stanford University Press, 1989; Sidney Robinson, _Inquiry into the Picturesque_ , Chicago: University of Chicago Press, 1991; David Watkin, _The English Vision: The Picturesque in Architecture, Landscape and Garden Design_ , London: Murray, 1982; and Monique Mosser and Georges Teyssot, eds., _The Architecture of Western Gardens: A Design History from the Renaissance to the Present Day_ , Cambridge: MIT Press, 1991. The notion of \"picturesque\" was first used by Alexander Pope in relation to the narrative impact of history painting and originally referred to a scene that would be apt for painting.\n\nSee William Gilpin, _Three Essays: On Picturesque Beauty; On Picturesque Travel; and on Sketching Landscape_ , London, 1792; Uvedale Price, _Essays on the Picturesque_ , 3 vols., London, 1810; Richard Payne Knight, _The Landscape: A Didactic Poem in Three Books Addressed to Uvedale Price, Esq._ , London, 1795; and Knight, _Analytical Inquiry into the Principles of Taste_ , London, 1805.\n\nMy study focuses in particular on the architectonics of view painting, picturesque aesthetics, garden strolling, and other topographic or cartographic practices; but other cases for the relation of landscape to precinema could be made. For a case study that links nineteenth-century American landscape painting and film language, see Scott MacDonald's \"Voyages of Life,\" on the cinematism of Thomas Cole's _The Voyage of Life_ and avant-garde film, in _Wide Angle_ , vol. 18, no. 2, April 1996, pp. 101\u201326; and Iris Cahn, \"The Changing Landscape of Modernity: Early Film and America's 'Great Picture' Tradition,\" _Wide Angle_ , vol. 18, no. 3, July 1996, pp. 85\u2013100. Both issues are devoted to \"Movies Before Cinema\" and were edited by Scott MacDonald.\n\nOn this and other viewing apparatuses, see Jonathan Crary, _Techniques of the Observer_ , Cambridge: MIT Press, 1990.\n\nAnne Hollander, for example, prefers to highlight the filmic sublime in her discussion of \"moving images.\" Focusing on visual composition rather than on moving spectatorial culture, Hollander sees the picturesque as \"essentially static\" and \"jarringly anti-cinematic.\" She furthermore states that \"picturesqueness remains an enemy of serious film drama; but sublime landscape can be its best servant\" (Hollander, _Moving Pictures_ , pp. 263\u201364). See also Scott Bukatman, \"The Artificial Infinite,\" in Lynne Cooke and Peter Wollen, eds., _Visual Display: Culture Beyond Appearances_ , Seattle: Bay Press, 1995.\n\nOn the picturesque and questions of modernity see, among others, Rosalind Krauss, _The Originality of the Avant-Garde and Other Modernist Myths_ , Cambridge: MIT Press, 1985, especially pp. 162\u201370; Caroline Constant, \"The Barcelona Pavilion as Landscape Garden: Modernity and the Picturesque,\" _AA Files_ , no. 20, 1990, pp. 47\u201354; as well as other works discussed below.\n\nYve-Alain Bois, \"A Picturesque Stroll around _Clara-Clara,\" October_ , no. 29, 1984, pp. 32\u201362; and Bois, introduction to Sergei Eisenstein's \"Montage and Architecture,\" _Assemblage_ , no. 10, December 1989, pp. 111\u201331.\n\nAnthony Vidler, \"The Explosion of Space: Architecture and the Filmic Imaginary,\" in Dietrich Neumann, ed., _Film Architecture: Set Designs from Metropolis to Blade Runner_ , New York: Prestel, 1996.\n\nVincent Scully, _Architecture: The Natural and the Man Made_ , New York: St. Martin's, 1991, chapter 11.\n\nDubbini, _Geografie dello sguardo_ , p. xxi.\n\nSee John Dixon Hunt, _\"'Curiosities_ To Adorn _Cabinets_ and _Gardens,'\"_ in Oliver Impey and Arthur MacGregor, eds., _The Origins of Museums: The Cabinet of Curiosities in Sixteenth- and Seventeenth-Century Europe_ , Oxford: Clarendon, 1985.\n\nScully, _Architecture_ , chapters 8 and .\n\nRobert Smithson, \"Frederick Law Olmstead and the Dialectical Landscape,\" in _The Writings of Robert Smithson_ , ed. Nancy Holt, New York: New York University Press, 1979, p. 119.\n\nSee Vivian Sobchack, _The Address of the Eye: A Phenomenology of the Film Experience_ , Princeton: Princeton University Press, 1992.\n\nSee, in particular, Maurice Merleau-Ponty, _The Visible and the Invisible_ , ed. Claude Lefort, trans. Alphonso Lingis, Evanston, 111.: Northwestern University Press, 1968; Merleau-Ponty, _Phenomenology of Perception_ , trans. Colin Smith, London: Routledge, 1962; Merleau-Ponty, \"Eye and Mind\" (1961), in _The Primacy of Perception_ , ed. James M. Edie, trans. Carleton Dallery, Evanston, 111.: Northwestern University Press, 1964.\n\nDixon Hunt, _Gardens and the Picturesque_ , p. 4.\n\nFoucault's concept of heterotopia was discussed in chapter 5.\n\nSee Allen S. Weiss, _Mirrors of Infinity: The French Formal Garden and 17th-century Metaphysics_ , Princeton: Princeton Architectural Press, 1995. On the politics of French gardens, see also Scully, _Architecture_ , chapters 9 and .\n\nOpened in 1661, Vauxhall Gardens took the form for which it is now best known in the 1730s. See Dixon Hunt, _Gardens and the Picturesque_ , particularly chapter 2.\n\nSee Altick, _The Shows of London_ , particularly chapters 7 and 23. The treatment of Vauxhall Gardens that follows in this section is based for the most part on this work. I have interpreted it, however, in ways that advance my hypothesis that the garden constitutes protofilmic space.\n\nOn the role of the fete in eighteenth-century French cultural life, see Thomas E. Crow, _Painters and Public Life in Eighteenth-Century Paris_ , New Haven: Yale University Press, 1985, especially chapter 2.\n\nThese architectural entertainments were developed particularly in London's Surrey Gardens.\n\nThis was the convention until the mid-1830s, when the garden's decline prompted the management to open during the day. This was not unrelated to the perception of Vauxhall as a \"licentious\" space.\n\nThe description of S\u00e9guin's patent for the polyorama, dated 20 September 1852, is cited in Laurent Mannoni, _Le grand art de la lumi\u00e8re et de l'ombre: arch\u00e9ologie du cinema_ , Paris: Nathan, 1995, p. 237 (my translation).\n\nThis advertisement, dated 1817, is cited in Gilles-Antoine Langois, _Folies, Tivolis et Attractions_ , Paris: Delegations \u00e0 L'Action Artistique, 1990, p. 8 (my translation).\n\nSee Sylvia Lavin, \"Sacrifice and the Garden: Watelet's _Essai sur les jardins_ and the Space of the Picturesque,\" _Assemblage_ , no. 28, December 1995, pp. 17\u201333.\n\nIbid., pp. 22\u201323. See also Claude-Henri Watelet, _Essai sur les jardins_ , Paris, 1770.\n\nNicolas Duchesne, _Trait\u00e9 de la formation des jardins_ , Paris, 1775; and Jean-Marie Morel, _Th\u00e9orie des jardins_ , Paris, 1776.\n\nScholarship on female spectatorship has played an important role in the definition of feminist film theory. For an orientational map of the initial discourse, see the special issue of _Camera Obscura_ on \"The Spectatrix,\" edited by Janet Bergstrom and Mary Ann Doane, nos. 20\u201321, May-September 1989. From the early claim of bisexuality in feminist film theory to more recent theorizations of the \"performance\" of gender elaborated by queer theory, feminist scholars have been calling attention to shifting positions in the gender realm. For an array of theorizations of spectatorship, see Linda Williams, ed., _Viewing Positions: Ways of Seeing Film_ , New Brunswick, N.J.: Rutgers University Press, 1995.\n\nThere are many visual documents of female strollers and onlookers. See, as an example, the illustrations in _History of Vauxhall Gardens_ , 1890; and in Paul Sandby, _Roslin Castle, Midlothian_ , c. 1770, where ladies in a park amuse themselves with a camera obscura.\n\nThe recent spate of filmic revivals of Austen's novels is interesting in this respect, as it may be read as a sign of a revival of the picturesque in the context of revisiting turn-of-the-century notions of the interior.\n\nJane Austen, _Pride and Prejudice_ , in _The Novels of Jane Austen_ , 3rd ed., vol. 3, ed. R. W. Chapman, Oxford: Oxford University Press, 1932\u201334, chapter 1, p. 245. The novel was originally published in 1813.\n\nAusten, _Emma_ , in _The Novels of Jane Austen_ , vol. 3, chapter 6, p. 357. The novel was originally published in 1816.\n\nStafford, _Voyage into Substance_ , p. 4.\n\nThomas Whately, _Observations on Modern Gardening_ (1770), anthologized in John Dixon Hunt and Peter Willis, eds., _The Genius of the Place: The English Landscape Garden 1620\u20131820_ , Cambridge: MIT Press, 1992, pp. 306\u20137. The French translation of this text was influential in French visions of the garden.\n\nChristopher Hussey, _The Picturesque: Studies in a Point of View_ , London and New York, 1927, p. 4.\n\nSee Monique Mosser, \"Paradox in the Garden: A Brief Account of _Fabriques,\"_ in Mosser and Teyssot, eds., _The Architecture of Western Gardens_.\n\nAlessandra Ponte, \"The Character of a Tree: From Alexander Cozens to Richard Payne Knight,\" in Mosser and Teyssot, eds., _The Architecture of Western Gardens_. See also Ponte, \"Architecture and Phallocentricism in Richard Payne Knight's Theory,\" in Beatriz Colomina, ed., _Sexuality and Space_ , New York: Princeton Architectural Press, 1992.\n\nBarbara Maria Stafford, _Body Criticism: Imaging the Unseen in Enlightenment Art and Medicine_ , Cambridge: MIT Press, 1991, p. 413.\n\n**7 An Atlas of _Emotions_**\n\nThe notion of cognitive mapping, as developed by Lynch and furthered by Jameson, was introduced in chapter 3 and further discussed in chapter 6. On geopolitics and film, see Jameson, _The Geopolitical Aesthetic: Cinema and Space in the World Systems_ , Bloomington: Indiana University Press, 1992.\n\nSee for example Trevor Barnes and Derek Gregory, eds., _Reading Human Geography_ , London: Routledge, 1997; Denis Wood, _The Power of Maps_ , New York: Guilford Press, 1992; M. H. Matthews, _Making Sense of Place_ , Hemel Hempstead, Hertfordshire: Harvester Wheatsheaf, 1992; Stephen S. Hall, _Mapping the Next Millennium_ , New York: Random House, 1992; Mark Monmonier, _How to Lie with Maps_ , Chicago: University of Chicago Press, 1991; and David Turnbull, _Maps are Territories_ , Chicago: University of Chicago Press, 1989.\n\nSee, among others, J. B. Harley, \"Deconstructing the Map,\" and John Pickles, \"Texts, Hermeneutics and Propaganda Maps,\" both in Trevor J. Barnes and James S. Duncan, eds., _Writing Worlds: Discourse, Text and Metaphor in the Representation of Landscape_ , New York: Routledge, 1992; Graham Huggan, \"Decolonizing the Map: Post-Colonialism, Post-Structuralism and the Cartographic Connection,\" _Ariel_ , vol. 20, no. 4, October 1989, pp. 115\u201331; Richard Helgerson, \"The Land Speaks: Cartography, Chorography and Subversion in Renaissance England,\" _Representations_ , no. 16, Fall 1986, pp. 51\u201385; and Kathleen Kirby, _Indifferent Boundaries: Spatial Concepts of Human Subjectivity_ , New York: Guilford Press, 1996, especially \"Lost in Space.\"\n\nSee Janet Wolff, \"On the Road Again: Metaphors of Travel in Cultural Criticism,\" _Cultural Studies_ , no. 7, 1993, pp. 224\u201339; and Caren Kaplan, _Questions of Travel: Postmodern Discourses of Displacement_ , Durham, N.C.: Duke University Press, 1996.\n\nMaurice Merleau-Ponty, _The Primacy of Perception_ , ed. James M. Edie, trans. Carleton Dallery, Evanston, 111.: Northwestern University Press, 1964, p. 5.\n\nRoger Caillois, \"Mimicry and Legendary Psychasthenia,\" _October_ , no. 31, Winter 1984, p. 30. The essay was originally published in the Surrealist journal _Minotaure_ in 1935.\n\nGertrude Stein, _Geography_ (1923), in _Printed Lace and Other Pieces_ (1914\u201337), _The Yale Edition of the Unpublished Work of Gertrude Stein_ , vol. 5, New Haven: Yale University Press, 1955, reprinted in _A Stein Reader_ , ed. Ulla E. Dydo, Evanston, 111.: Northwestern University Press, 1993, pp. 467\u201370.\n\nSee Stein, _Geography and Plays_ , Boston: Four Seas Company, 1922; and Stein, _The Geographical History of America_ , New York: Random House, 1936.\n\nStein, _Tender Buttons: Objects, Food, Rooms_ (1914), in _Selected Writings of Gertrude Stein_ , ed. Carl Van Vechten, New York: Vintage Books, 1990.\n\nThe expression comes from Virginia Woolf, _A Room of One's Own_ , London: Hogarth Press, 1929. I am not using the phrase, however, strictly in the way Woolf defined it.\n\nGillian Rose, _Feminism and Geography: The Limits of Geographical Knowledge_ , Minneapolis: University of Minnesota Press, 1993, p. 1. Rose participates in a movement that incorporates feminism into the project of geography, as discussed in chapter 4.\n\nSee Rosalyn Deutsche, _Evictions: Art and Spatial Politics_ , Cambridge: MIT Press, 1996, in particular the chapters \"Men in Space\" and \"Boys Town.\"\n\nSee Derek Gregory, _Geographical Imaginations_ , Oxford: Blackwell, 1994.\n\nJessica Benjamin, \"A Desire of One's Own: Psychoanalytic Feminism and Intersubjective Space,\" in Teresa de Lauretis, ed., _Feminist Studies\/Critical Studies_ , Bloomington: Indiana University Press, 1986, p. 97.\n\nFor the relatively limited scholarship that addresses this issue, see Valerie Traub, \"Mapping the Global Body: Gender, Eroticism, and Race in Seventeenth-Century European Cartography,\" unpublished paper, read at the Humanities Center, Seminar on Women and Culture in Early Modern Europe, Harvard University, 16 April 1998.\n\nThis map appears simplified in the 1580, 1588, 1598, 1614, and 1628 editions of M\u00fcnster's _Cosmography_. Another version appeared in 1548 and 1587. See Map Collectors' Circle, _Map Collectors' Series: no. 1, Geographical Oddities_ , described by R. V. Tooley, London: Robert Stockwell, 1963.\n\nSee Patrick Gordon, _Geography Anatomiz'ed_ , London, 1722.\n\nAn example is the anatomical figure designed in 1552 that appears in Bartolomeo Eustachio's _Tabulae anatomicae clarissimi viri_ , 1714. As discussed by Samuel Y. Edgerton, \"From Mental Matrix to _Mappamundi_ to Christian Empire: The Heritage of Ptolemaic Cartography in the Renaissance,\" in David Woodward, ed., _Art and Cartography_ , Chicago: University of Chicago Press, 1987.\n\nThe miniature of Bologna's Istituto delle Scienze in Palazzo Poggi, showing its laboratories and rooms as well as the school of life drawing in the Accademia Clementina, is preserved in the Archivio di Stato, _Insignia degli Anziani_ , vol. 13.\n\nAn example of the spatial creation of gender dichotomy (and, hence, gender domination) is found in Claes Jansz. Visscher's map of _Gallia_ (1650). Here, views of cities are featured at the bottom of the map, while the left and right sides play out socio-sexual difference. On the left, men of different social classes are outfitted; on the right, women, defined solely in terms of their familial role (as \"wives of\") and in relation to male social types, are depicted in their costumes and customs.\n\nOn this map room, see Juergen Schulz, \"Maps as Metaphors: Mural Map Cycles of the Italian Renaissance,\" in Woodward, ed., _Art and Cartography_.\n\nOn the relationship between cartography and art, see Christine Buci-Glucksmann, _L'Oeil cartographique de l'art_ , Paris: Editions Galilee, 1996; Svetlana Alpers, _The Art of Describing: Dutch Art in the Seventeenth Century_ , Chicago: University of Chicago Press, 1983; Woodward, ed., _Art and Cartography;_ P. D. A. Harvey, _The History of Topographical Maps: Symbols, Pictures and Surveys_ , London: Thames and Hudson, 1980; and Ronald Rees, \"Historical Links Between Cartography and Art,\" _Geographical Review_ , no. 70, 1980, pp. 60\u201378.\n\nIn addition to the sources mentioned above, for a theoretical approach to cartographic imagination in history, see Christian Jacob, _L'Empire des cartes: approche th\u00e9orique de la cartographie \u00e0 travers l'histoire_ , Paris: Editions Albin Michel, 1992. See also Louis Marin, _Utopics: Spatial Play_ , trans. Robert A. Vollrath, Atlantic Highlands, N.J.: Humanities Press International, 1984.\n\nSee James A. Welu, \"Vermeer and Cartography,\" Ph.D. dissertation, Boston University, 1977, pp. 98\u2013102.\n\nOn Pompadour and issues of representation, see Ewa Lajer-Burcharth, \"Pompadour's Touch: Patronage, Art and Sexuality in Eighteenth Century France,\" unpublished paper, read at the Humanities Center, Seminar on Women and Culture in Early Modern Europe, Harvard University, 31 March 1998.\n\nFor a reading of this portrait that looks at Pompadour's objects of knowledge, see Charles-Augustin Sainte-Beuve, _Causeries du Lundi_ , vol. 2, Paris, 1851\u201352.\n\nOn Longhi, see Terisio Pignatti, _Pietro Longhi: Paintings and Drawings, Complete Edition_ , trans. Pamela Waley, London: Phaidon, 1969.\n\nThe 1756 painting of _Il Mondo Novo_ is part of the collection of the Fondazione Scientifica Querini Stampalia, in Venice. The 1757 _Il Mondo Novo_ belongs to Banca Cattolica del V\u00e9neto, in Vicenza, Italy.\n\nLonghi's _Geography Lesson_ (1752) is in the collection of the Fondazione Scientifica Querini Stampalia, in Venice.\n\nFrancesco Capella's _Geography Lesson_ (c. 1760) is in a private collection in Bergamo, Italy. The _Geography Lesson_ attributed to Gramiccia (c. 1750) is in Venice, Ca' d'Oro.\n\nLonghi's _Geography Lesson (c_. 1750) is in Padua's Museo Civico.\n\nShe is thought to be Louise Sebastienne Gely, who later married Danton. It is his younger son to whom she is showing views in this print.\n\nOne of the oldest figurative examples of the myth of Atlas is _Atlante farnesiano_ , a Roman copy of a Greek statue of Atlas, who supports a celestial globe on his shoulders. It is displayed at the Museo Archeologico Nazionale, in Naples.\n\nThe image appears in the edition of Blaeu's _Atlas_ preserved in the Biblioth\u00e8que Nationale in Paris.\n\nThis and the Visscher image discussed below are treated, albeit with no reference to gender mapping, in James A. Welu, \"The Sources and Development of Cartographic Ornamentation in the Netherlands,\" in Woodward, ed., _Art and Cartography_.\n\nCesare Ripa, _Iconologia_ , Rome: Heredi di Gio. Gigliotti, 1593. The citation on Geometria is taken from a contemporary Italian edition, Turin: Fogola Editore, 1986, vol. 1, p. 184 (my translation).\n\nTom Conley, _The Self-Made Map: Cartographic Writing in Early Modern France_ , Minneapolis: University of Minnesota Press, 1996, p. 210.\n\nRipa, _Iconologia_ , vol. _2_ , p. 294.\n\nFor a reading of Scud\u00e9ry and her salon in these terms, see, among others, Joan De Jean, _Tender Geographies: Women and the Origins of the Novel in France_ , New York: Columbia University Press, 1991; Elaine Showalter, _The Evolution of the French Novel (1641\u20131782)_ , Princeton: Princeton University Press, 1972; Joanne Davis, _Mademoiselle de Scud\u00e9ry and the Looking-Glass Self_ , New York: Peter Lang, 1993; Nicole Aronson, _Mademoiselle de Scud\u00e9ry ou le voyage au pays de tendre_ , Paris: Fayard, 1986; Aronson, _Mademoiselle de Scud\u00e9ry_ , Boston: Twayne, 1978; and Georges Mongr\u00e9dien, _Madeleine de Scud\u00e9ry et son salon_ , Paris: Editions Tallendier, 1946.\n\nDe Jean, _Tender Geographies_ , p. 73.\n\nRita Santa Celoria, introduction to Madeleine de Scud\u00e9ry, _Cl\u00e9lie, histoire romaine_ , Turin: Giappichelli Editore, 1973, p. xxxiii.\n\nJoan De Jean, \"The Salons, 'Preciosity,' and the Sphere of Women's Influence,\" in Denis Hollier, ed., _A New History of French Literature_ , Cambridge: Harvard University Press, 1989, p. 303. On this subject, see also Dena Goodman, _The Republic of Letters: A Cultural History of the French Enlightenment_ , Ithaca, N.Y.: Cornell University Press, 1994; Donna Stanton, \"The Fiction of Pr\u00e9ciosit\u00e9 and the Fear of Women,\" _Yale French Studies_ , no. 62, 1981, pp. 107\u201334; Carolyn Lougee, _Le Paradis des femmes: Women, Salons, and Social Stratification in Seventeenth-Century France_ , Princeton: Princeton University Press, 1976; and Dorothy Anne Liot Backer, _Precious Women: A Feminist Phenomenon in the Age of Louis XIV_ , New York: Basic Books, 1974.\n\nMichel Conan, \"The Conundrum of Le N\u00f4tre's _Labyrinthe,\"_ in John Dixon Hunt, ed., _Garden History: Issues, Approaches, Methods_ , Washington, D.C.: Dumbarton Oaks Research Library and Collection, 1992.\n\nSee Mark S. Weil, \"Love, Monsters, Movement, and Machines: The Marvelous in Theatres, Festivals, and Gardens,\" in Joy Kenseth, ed., _The Age of the Marvelous_ , Hanover, N.H.: Hood Museum of Art, Dartmouth College, 1991 (exhibition catalogue); and Monique Mosser and Georges Teyssot, eds., _The Architecture of Western Gardens: A Design History from the Renaissance to the Present Day_ , Cambridge: MIT Press, 1991.\n\nAlain-Marie Bassy, \"Supplement au voyage de Tendre,\" _Bulletin du bibliophile_ , no. 1, 1982, p. 17 (my translation). Although aware of the relation between garden topography, the art of memory, and the _Carte de Tendre_ , Bassy ultimately chooses to read Scud\u00e9ry's map as an appropriation of twelfth-century military cartography, whose \"rules of the game,\" in this view, are transformed into a societal game.\n\nFrancesco Colonna, _Hypnerotomachia Poliphili_ , Venice: Aldus Manutius, 1499. Although it is not certain that Colonna was the author of this work, this is the most accepted hypothesis.\n\nFor an architectural revisitation of Poliphilo's journey, see Alberto P\u00e9rez-G\u00f3mez, _Polyphilo or The Dark Forest Revisited: An Erotic Epiphany of Architecture_ , Cambridge: MIT Press, 1992; and Robert Harbison, _Eccentric Spaces_ , New York: Avon Books, 1977, chapter 5.\n\nMarcus Tullius Cicero's version of the art of memory is outlined in his _De Oratore_ , trans. E. W. Sutton and Harris Rackman, London: Loeb Classical Library, 1942. Marcus Fabius Quintilianus' rendition of the subject is laid out in his _Institutio oratoria_ , vol. 4, trans. H. E. Butler, New York: G. P. Putnam's Sons, 1922.\n\nQuintilian, _Institutio oratoria_ , vol. 4, pp. 221\u201323.\n\nSee Frances A. Yates, _The Art of Memory_ , Chicago: University of Chicago Press, 1966; and Yates, \"Architecture and the Art of Memory,\" _Architectural Design_ , vol. 38, no. 12, December 1968, pp. 573\u201378.\n\nSee Plato, _Theaetetus_ , trans. Harold N. Fowler, London: Loeb Classical Library, 1921; and Sigmund Freud, \"A Note on the Mystic Writing Pad,\" in _Complete Psychological Works_ , vol. 9, London: Standard Edition, 1956.\n\nRa\u00fal Ruiz, \"Miroirs du cin\u00e9ma,\" _Parachute_ , no. 67, Summer 1992, p. 18.\n\nMary Carruthers, _The Book of Memory: A Study of Memory in Medieval Culture_ , New York: Cambridge University Press, 1992, pp. 59\u201360.\n\nSee Giulio Camillo, _L'idea del teatro_ , ed. Lina Bolzoni, Palermo: Sellerio, 1991.\n\nErasmus, _Opus Epistolarum_ , vol. 9, ed. P. S. Allen, et al., Oxonii, in typographeo Clarendoniano, 1906\u201358, p. 479. Cited in Yates, _The Art of Memory_ , p. 132.\n\nFrances Yates dedicates most of her study of the art of memory to Giordano Bruno's fascinating work. See also Yates, _Giordano Bruno and the Hermetic Tradition_ , Chicago: University of Chicago Press, 1964.\n\nSee, in particular, Giordano Bruno, _L'arte della memoria: le ombre delle idee_ , Milan: Mimesis, 1996.\n\nOn such cartographical curiosities, see, for example, \"Curiosa,\" in John Goss, _The Mapmaker's Art_ , Rand McNally, 1993.\n\nIn the novel, the map plays a role in the fiction, as a step in the developing relationship between Aronce and Cl\u00e9lie, who also has been pursued by Horace. The making of the map is prompted by the arrival on this seduction scene of Herminius, who asks Cl\u00e9lie to show him the way to _Tendre_. She does so by producing the map.\n\nOn this subject, see Claude Filteau, \"Le Pays de Tendre: l'enjeu d'une carte,\" _Litt\u00e9rature_ , no. 36, 1979, pp. 37\u201360; and James S. Munro, _Mademoiselle de Scud\u00e9ry and the Carte de Tendre_ , Durham, England: University of Durham, 1986.\n\nOn the discourse of desire, see Karen Atkinson and Andrea Liss, _Remapping Tales of Desires: Writings Across the Abyss_ , Santa Monica, Cal.: Side Street Press, 1992; and Linda S. Kauffman, _Discourses of Desire: Gender, Genre and Epistolary Fictions_ , Ithaca, N.Y.: Cornell University Press, 1986.\n\nSee Julia Kristeva, _La r\u00e9volte intime: Pouvoirs et limites de la psychanalyse II_ , Paris: Fayard, 1997. I find the intimate revolt to be a crucial issue today, certainly in the psychoanalytic realm, but I do not share Kristeva's view of intimate revolt as being enacted against the stereotypes of modern society, dominated by technology and the media, and do not subscribe to her reading of the cinema in this context, with respect to phantasm. Transcending the worn-out notion of a cinematic apparatus based on phantasmatic structures, the \"atlas of emotion\" intends to picture a cartographic writing of intimate space, with the cinema set affectively in this place.\n\nIn the 1659 engraving of the _Carte de Tendre_ by Jacques Destrevaulx, the scene is also enriched with an enlarged view of a town, at the bottom right of the map.\n\nOn this notion, see Umberto Eco, _The Open Work_ , trans. Anna Cancogni, Cambridge: Harvard University Press, 1989.\n\nRoland Barthes, _A Lover's Discourse: Fragments_ , trans. Richard Howard, New York: Hill and Wang, 1978.\n\nStephen Kern, _The Culture of Love: Victorians to Moderns_ , Cambridge: Harvard University Press, 1992. See also Julia Kristeva, _Tales of Love_ , trans. Leon S. Roudiez, New York: Columbia University Press, 1987.\n\nAll citations are taken from a contemporary French edition of the novel. Scud\u00e9ry, _Cl\u00e9lie_ , Turin: Giappichelli, 1973, vol. 1, p. 309 (my translation).\n\nIbid., p. 310.\n\nIbid.\n\nIbid.\n\nPublications that illustrate the general relationship between art and imaginary cartography include J. B. Harley and David Woodward, _The History of Cartography_ , vol. 1, Chicago: University of Chicago Press, 1987; Kenseth, ed., _The Age of the Marvelous; Cartes et figures de la terre_ , Paris: Centre Georges Pompidou, 1980 (exhibition catalogue); _Il disegno del mondo_ , Milan: Electa, 1983 (exhibition catalogue); and J. B. Post, _An Atlas of Fantasy_ , New York: Ballantine Books, 1979.\n\nAn excellent source of information on this topic is E. P. Mayberry Senter, \"Les cartes all\u00e9goriques romanesque du XVII si\u00e8cle,\" _Gazette des Beaux Arts_ , no. 89, 1977, pp. 134\u201344. Many of the maps analyzed here are reproduced in this survey, which lists allegorical charts from the seventeenth century.\n\nMatthaeus Seutter, _Atlas novus sive tabulae geographicae totius orbis faciem_ , Augsburg: In Verlag des Autoris, 1720.\n\nMap Collectors' Circle, _Map Collectors' Series_ , p. 14.\n\nFor an approach to this relationship, which is yet to be fully explored, see Francois Boudon, \"Garden History and Cartography,\" in Mosser and Teyssot, eds., _The Architecture of Western Gardens_.\n\nVincent Scully, _Architecture: The Natural and the Manmade_ , New York: St. Martin's Press, 1991, chapter 10.\n\nSee, for example, Robert Payne, _Leonardo_ , Garden City, N.J.: Doubleday, 1978.\n\nThe inner fluidity of the map is such that its design offers multiple interpretations. Claude Filteau, for example, in \"Le Pays de Tendre,\" reads the map's representation as the hepatic channel and argues that its paths are geometrically structured. Taking this cartographic position and projecting an elaborate perspectival and anamorphic design onto the borderless map, his interpretation manages to enclose the map itself into fifteen concentric circles. These different readings also may be explained by recalling a point made by Christian Jacob in _L'Empire des cartes_ (p. 398), in which he aptly notes that a reader projects his\/her \"unconscious geometry\" onto the strategy of appropriation of a map. In this case, my reading of the map projects even a different reading of the unconscious, resisting the very idea of an \"unconscious geometry\" and reaching for a nongeometric, geopsychic design. A starting point for this is the psychoanalytic understanding that there is no \"no\" in the unconscious, a difficult point, indeed, for geometry to swallow.\n\nThe map was made by O. Soglow and published in George S. Chappell, _Through the Alimentary Canal with Gun and Camera_ , New York: Stokes, 1930. It is reproduced, along with the _Map of Matrimony_ , discussed below, in Post, _An Atlas of Fantasy_.\n\nFor an approach to fictional geographies, including some accounts of cartography, see Pierre Jourde, _Geographies imaginaires_ , Paris: Jos\u00e9 Corti, 1991. Jourde's imaginary geographies include an account of cartographic representation in Tolkien (chapter 7), which touches on the subject of the _Carte de Tendre_.\n\nThis observation is made, for example, in Juliana O. Muehrcke and Phillip C. Muehrcke, \"Maps in Literature,\" _The Geographical Review_ , vol. 64, no. 3, July 1974, pp. 317\u201338. See also Malcolm Bradbury, ed., _The Atlas of Literature_ , London: De Agostini, 1996.\n\nHarbison, _Eccentric Spaces_ , especially chapter 7 on maps, which the author aptly calls \"the mind's miniatures.\"\n\nFranco Moretti, _Atlas of The European Novel 1800\u20131900_ , New York: Verso, 1998.\n\nOn the subject of literary topography, see also John Gillies, _Shakespeare and the Geography of Difference_ , Cambridge: Cambridge University Press, 1994; J. Hillis Miller, _Topographies_ , Stanford, Cal.: Stanford University Press, 1995; and Ann McClintock, _Imperial Leather_ , London: Routledge, 1995.\n\nJean-Fran\u00e7ois de Bastide, _The Little House: An Architectural Seduction_ , trans. Rodolphe el-Khoury, Princeton: Princeton Architectural Press, 1996. Originally published as \"La Petite Maison,\" _Le nouveau spectateur_ , no. 2, 1758, pp. 361\u2013412.\n\nSee Rodolphe el-Khoury, introduction to Bastide, _The Little House;_ and el-Khoury, \"Taste and Spectacle,\" in Allen S. Weiss, ed., _Taste Nostalgia_ , New York: Lusitania Press, 1997.\n\nBastide, _The Little House_ , pp. 59\u201388.\n\nConley, _The Self-Made Map_.\n\nMarcel Proust, _Swann's Way_ , trans. C. K. Scott Moncrieff, New York: Vintage Books, 1970.\n\nAn emblematic group show held at the Museum of Modern Art, in New York, exemplifies this trend. See Robert Storr, _Mapping_ , New York: Museum of Modern Art, 1994 (exhibition catalogue).\n\nThe exhibition was on view at the David Winton Bell Gallery of Brown University, Providence, R.I., 31 January-15 March 1998. Jo-Ann Conklin explains the author's reference to the _Carte de Tendre_ in her introduction to _Annette Messager: Map of Temper, Map of Tenderness_ , Providence, R.I.: David Winton Bell Gallery, Brown University, 1998 (exhibition catalogue).\n\nMessager used this phrase in an interview with Bernard Marcad\u00e9, \"Annette Messager or the Taxidermy of Desire,\" in _Annette Messager, comedie trag\u00e9die, 1971\u20131989_ , Grenoble: Mus\u00e9e de Grenoble, 1989 (exhibition catalogue), p. 171.\n\nSee, for example, Sheryl Conkelton and Carol S. Eliel, _Annette Messager_ , New York: Museum of Modern Art, and Los Angeles: Los Angeles County Museum of Art, distributed by Harry N. Abrams, 1995 (exhibition catalogue); Messager, _Faire parade 1971\u20131995_ , Paris: Mus\u00e9e d'Art Moderne de la Ville de Paris, 1995 (exhibition catalogue), with an interview by Robert Storr and texts by Elizabeth Lebovici and Jean-No\u00ebl Vuarnet; and Messager, \"All the Parts of One's Life, All the Hopes, are in One's Clothes,\" _Aperture_ , Winter 1993, pp. 48\u201353.\n\n\"La Ville, le Jardin, la M\u00e9moire\" took place in Villa Medici, Rome, 28 May\u201430 August 1998.\n\nSee Giuliana Bruno, \"Interiors: Anatomies of the Bride Machine,\" in _Rebecca Horn_ , New York: Guggenheim Museum, 1993 (exhibition catalogue).\n\nSee, among others, _Guillermo Kuitca\u2014Burning Beds: A Survey 1982\u20131994_ , Amsterdam: Contemporary Art Foundation, 1994 (exhibition catalogue); _A Book Based on Guillermo Kuitca_ , Amsterdam: Contemporary Art Foundation, 1993; _Guillermo Kuitca_ , Newport Beach: Newport Harbor Art Museum, 1992 (exhibition catalogue); and _Guillermo Kuitca_ , New York: Annina Nosei, 1991 (exhibition catalogue).\n\n _Untitled_ was installed at IVAM Centre del Carme, Valencia, Spain, 1993.\n\nSee _Guillermo Kuitca: \"Puro teatro,\"_ New York: Sperone Westwater, 1995 (exhibition catalogue).\n\nAlpers, _The Art of Describing_.\n\nT. Jefferson Kline, \"Remapping Tenderness: Louis Malle's _Lovers_ with No Tomorrow,\" in _Screening the Text: Intertextuality in New Wave French Cinema_ , Baltimore: Johns Hopkins University Press, 1992, p. 37.\n\nSee chapter 1 for an introductory treatment of this film.\n\nThis and the following quotes are taken from dialogue on the film's sound track. The dialogue is published in a slightly different version in _Hiroshima Mon Amour_ , text by Marguerite Duras for the film by Alain Resnais, trans. Richard Seaver, New York: Grove Press, 1961.\n\nMichel de Certeau, _The Practice of Everyday Life_ , trans. Steven Rendall, Los Angeles: University of California Press, 1984, especially pp. 118\u201322. All citations in this paragraph are from this work.\n\n**8 An Archive of Emotion Pictures**\n\nSee Alois Riegl, _Problems of Style: Foundations for a History of Ornament_ (1893), trans. Evelyn Kain, Princeton: Princeton University Press, 1993; and Riegl, _Late Roman Art Industry_ (1901), trans. Rolf Winkes, Rome: Giorgio Bretschneider Editore, 1985.\n\nMargaret Iversen, _Alois Riegl: Art History and Theory_ , Cambridge: MIT Press, 1993, p. 16. See also, Michael Podro, _The Critical Historians of Art_ , New Haven: Yale University Press, 1982, especially chapter 5.\n\nFor a survey of the use of this notion in film, see David B. Clarke, \"Introduction: Previewing the Cinematic City,\" in Clarke, ed., _The Cinematic City_ , New York: Routledge, 1997. On the use of the haptic in video practices, see Laura U. Marks, \"Video Haptics and Erotics,\" _Screen_ , vol. 39, no. 4, Winter 1998, pp. 331\u201348.\n\nNoel Burch, _Life to Those Shadows_ , ed. and trans. Ben Brewster, Los Angeles: University of California Press, 1990.\n\nAntonia Lant, \"Haptical Cinema,\" _October_ , no. 74, Fall 1995, pp. 45\u201373.\n\nIbid., p. 72.\n\nThis point is derived from looking at the different versions of Burch's _Life to Those Shadows_. In the French version of the book (Burch is an American transplanted in Paris, whose work is translated into English), in the chapter corresponding to \"Building a Haptic Space,\" haptic becomes \"habitable.\"\n\nJohann Gottfried Herder, \"Plastik\" (1778), in _S\u00e4mtliche Werke_ , Stuttgart and Tubingen, 1853, p. 134. Cited in Gert Mattenklott, \"The Touching Eye,\" _Daidalos_ , special issue \"Provocation of the Senses,\" no. 41, September 1991, p. 106.\n\nEtienne Bonnot de Condillac, _Treatise on the Sensations_ , trans. Geraldine Carr, Los Angeles: University of Southern California, 1930.\n\nIbid., pp. 167\u201371.\n\nIbid., p. 58.\n\nIbid., pp. 59\u201360.\n\nIbid., pp. 73, 90\u201391.\n\nAnnette Michelson, \"On the Eve of the Future: The Reasonable Facsimile and the Philosophical Toy,\" _October_ , no. 29, Summer 1984, pp. 3\u201322.\n\nCondillac, _Treatise on the Sensations_ , p. 228.\n\nIbid., pp. 84\u201385 and p. 81.\n\nDenis Diderot, _Elements de Physiologie_ , in _Oeuvres completes_ , vol. 9, Paris, 1875, p. 371.\n\nOn Benjamin and experience, see Miriam Hansen, \"Benjamin, Cinema and Experience: 'The Blue Flower in the Land of Technology,\"' _New German Critique_ , no. 40, 1987, pp. 179\u2013224.\n\nOn Benjamin, neurology, and the impact of technology on the \"sensorium,\" see Susan Buck-Morss, \"Aesthetics and Anaesthetics: Walter Benjamin's Artwork Essay Reconsidered,\" _October_ , no. 62, Fall 1992, pp. 3\u201341. See also Buck-Morss, _The Dialectics of Seeing: Walter Benjamin and the Arcades Project_ , Cambridge: MIT Press, 1989. On the interaction of technology and natural history, see Beatrice Hanssen, _Walter Benjamin's Other Histories: Of Stones, Animals, Human Beings and Angels_ , Berkeley: University of California Press, 1998.\n\nCesare Ripa, _Iconologia_ , Rome: Heredi di Gio. Gigliotti, 1593. This image was discussed in chapter 7.\n\nPaul Rodaway, _Sensuous Geographies: Body, Sense and Place_ , New York: Routledge, 1994.\n\nSee Elizabeth Grosz, _Volatile Bodies: Toward a Corporeal Feminism_ , Bloomington: Indiana University Press, 1994, especially p. 34. See also, Grosz, _Space, Time, and Perversion_ , London: Routledge, 1995.\n\nSee in particular Henri Lefebvre, _The Production of Space_ , trans. Donald Nicholson-Smith, Oxford: Blackwell, 1991.\n\nIbid., especially the passage on corporeal interactions on p. 182, which we developed into \"a geography of the moving image\" in chapter 2.\n\nJessica Benjamin, _The Bonds of Love: Psychoanalysis, Feminism and the Problem of Domination_ , New York: Pantheon, 1988; and Benjamin, _Like Subjects, Love Objects: Essays on Recognition and Sexual Difference_ , New Haven: Yale University Press, 1995.\n\nVivian Sobchack, _The Address of the Eye: A Phenomenology of Film Experience_ , Princeton: Princeton University Press, 1992. For a different perspective on embodiment, see Steven Shaviro, _The Cinematic Body_ , Minneapolis: University of Minnesota Press, 1993.\n\nAlthough I have preferred to foreground the architectural aspect of this Eisensteinian matter, there are other pertinent perspectives offered by Eisenstein in this regard, especially in his pursuit of synesthesia and in his remarks on the sensual base and inner tonalities of color. See Sergei Eisenstein, _The Film Sense_ , ed. and trans. Jay Leyda, New York: Harcourt, Brace and World, 1947.\n\nSee Michel Louis, \"Mallet-Stevens and the Cinema, 1919\u20131929,\" in Hubert Jeanneau and Dominique Deshouli\u00e8re, eds., _Rob Mallet-Stevens: Architecte_ , Brussels: Editions des Archives d'Architecture Moderne, 1980, p. 147.\n\nSee in particular Ricciotto Canudo, \"Reflections on the Seventh Art\" (1923), trans. Claudia Gorbman, in Richard Abel, ed., vol. 1 of _French Film Theory and Criticism: A History\/Anthology 1907\u20131939, 2_ vols., Princeton: Princeton University Press, 1988.\n\nCanudo, \"The Birth of a Sixth Art\" (1911), in Abel, ed., _French Film Theory and Criticism_ , vol. 1, p. 61.\n\nSee in particular B\u00e9la Bal\u00e1zs, _Theory of the Film: Character and Growth of a New Art_ , trans. Edith Bone, New York: Dover, 1970, especially chapter 8, \"The Face of Man\"; and Bal\u00e1zs, _Der sichtbare Mensch, oder Die Kultur des Film_ , Vienna: Deutsch Osterreichischer Verlag, 1924.\n\nJean Epstein, _Ecrits sur le cinema, 1921\u20131953_ , Paris: Seghers, 1974. For some English translations, see Abel, ed., _French Film Theory and Criticism;_ and P. Adams Sitney, ed., _The Avant-Garde Film: A Reader of Theory and Criticism_ , New York: New York University Press, 1978.\n\nFor a recent recasting of Epstein's form of temporality, see Gil\u00edes Deleuze, _Cinema 1: The Movement-Image_ , trans. Hugh Tomlinson and Barbara Habberjam, Minneapolis: University of Minnesota Press, 1986, chapter 6; and Leo Charney, _Empty Moments: Cinema, Modernity, and Drift_ , Durham, N.C.: Duke University Press, 1998, pp. 150\u201356. The current theoretical recasting of Epstein's work was pioneered by Stuart Liebman in his _Jean Epstein's Early Film Theory, 1920\u20131922_ , Ph.D. dissertation, New York University, 1980. For a psychoanalytic reading, see Paul Willemen, \"Photog\u00e9nie and Epstein,\" in _Looks and Frictions: Essays in Cultural Studies and Film Theory_ , London: British Film Institute, 1994. An interesting interpretation that discloses the closeness of Epstein's cinematic epistemology to Wittgenstein's articulation of \"aspect-dawning\" is offered by Malcolm Turvey in \"Jean Epstein's Cinema of Immanence: The Rehabilitation of the Corporeal Eye,\" _October_ , no. 83, Winter 1998, pp. 25\u201350.\n\nSee Epstein, \"Magnification\" (1921), in Abel, ed., _French Film Theory and Criticism_ , vol. 1.\n\nSee Michael Taussig, _Mimesis and Alterity: A Particular History of the Senses_ , New York: Routledge, 1993; and Taussig, \"Tactility and Distraction,\" in G. E. Marcus, ed., _Rereading Cultural Anthropology_ , Durham, N.C.: Duke University Press, 1990.\n\nPaul Schilder, \"Psycho-analysis of Space,\" _The International Journal of Psychoanalysis_ , vol. 16, part 3, July 1935, p. 21.\n\nVictor Burgin, _In\/different Spaces: Place and Memory in Visual Culture_ , Los Angeles: University of California Press, 1996, p. 139.\n\nWalter Benjamin and Asja Lacis, \"Naples,\" in _Reflections_ , ed. Peter Demetz, trans. Edmund Jephcott, New York: Harcourt Brace Jovanovich, 1978.\n\nWalter Benjamin, _One Way Street and Other Writings_ , trans. Edmund Jephcott and Kingsley Shorter, London: Verso, 1979, p. 45.\n\nSee Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993, especially pp. 271\u201372.\n\nSee chapter 2 for an architectural anatomy of Benjamin's \"The Work of Art in the Age of Mechanical Reproduction,\" in _Illuminations_ , ed. Hannah Arendt, trans. Harry Zohn, New York: Schocken Books, 1969.\n\nBenjamin, \"Paris, the Capital of the Nineteenth Century,\" in _Reflections_ , p. 155. A number of critics speak of Benjaminian physiognomy, although not necessarily architecturally, including Jacques Derrida, in _The Truth of Painting_ , trans. Geoff Bennington and Ian McLeod, Chicago: University of Chicago Press, 1987. For Benjamin's material physiognomy and the landscape of the face, see Rolf Tiederman, \"Dialectics at a Standstill: Approaches to the _Passagen-Werk,\"_ in Gary Smith, ed., _On Walter Benjamin: Critical Essays and Recollection_ , Cambridge: MIT Press, 1988.\n\nBenjamin, \"A Berlin Chronicle,\" in _One Way Street_ , p. 314.\n\nIbid., p. 295.\n\nFor the impact on modern art of this research, see in particular Marta Braun, _Picturing Time: The Work of Etienne-Jules Marey (1830\u20131904)_ , Chicago: University of Chicago Press, 1992.\n\nHugo M\u00fcnsterberg, _The Film: A Psychological Study: The Silent Photoplay in 1916_ , New York: Dover, 1970, p. 30. This edition is enriched by a preface by Richard Griffith. It is the republication, unaltered except for the title, of _The Photoplay: A Psychological Study_ , New York: D. Appleton, 1916.\n\nIbid., p. 58. M\u00fcnsterberg was so convinced that a spectatorial mental activity moved and bound moving pictures that he took this stand: \"The photoplay is therefore poorly characterized if the flatness of the pictorial view is presented as an essential feature. That flatness is... not a feature of that which we really see in the performance of the photoplay. We are there in the midst of a three-dimensional world, and the movement of the persons or of the animals or even of the lifeless things, like the streaming of the water in the brook or the movements of the leaves in the wind, strongly maintain our immediate impression of depth.\" (p. 22)\n\nI thank my colleague Robert Brain, in the Department of History of Science, for this information on Gertrude Stein and for helpful discussion of M\u00fcnsterberg's laboratory, whose instruments are now in the Collection of Historical Scientific Instruments at Harvard University. See also Coventry Edwards-Pitts, _Sonnets to the Psyche: Gertrude Stein, the Harvard Psychology Laboratory, and Literary Modernism_ , Senior Honor's Thesis, Harvard University, Department of History of Science, 1998.\n\nM\u00fcnsterberg, _The Film_ , pp. 51\u201352.\n\nIbid., pp. _55\u201356_.\n\nIbid., p. 74.\n\nIbid., p. 48.\n\nIbid., p. 49.\n\nIn addition to the architectural line of representation for _emotion_ that runs from Cicero to Quintilian and Giordano Bruno, treated in chapter 7, we must recall here the moving images placed on revolving wheels by the Catalan poet and mystic Ramon Lull. See Frances A. Yates, _The Art of Memory_ , Chicago: University of Chicago Press, 1966, especially chapter 8; and Paolo Rossi, _Clavis Universalis: Arti mnemoniche e logica combinatoria da Lullo a Leibniz_ , Milan: Riccardi, 1960.\n\nDaniel Libeskind, \"Exhibition and Set Designs,\" _Architectural Design_ , special issue, \"Architecture and Film,\" no. 112, 1994, p. 43.\n\nOn this installation, see, among others, Alain P\u00e9lissier, \"Microcosmos,\" in _Architecture: r\u00e9cits, figures, fictions, Cahiers du CCI_ , no. 1, Paris: Editions du Centre Georges Pompidou\/CCI, 1986; pp. 42\u201350.\n\nSee _Bill Viola_ , Paris: Flammarion, and New York: Whitney Museum of American Art, 1998 (exhibition catalogue).\n\nIsrael Rosenfield, _The Invention of Memory: A New View of the Brain_ , New York: Basic Books, 1988, p. 79. See also, Rosenfield, _The Strange, Familiar, and Forgotten: An Anatomy of Consciousness_ , New York: Alfred Knopf, 1992, especially p. 6, where Rosenfield explains the dynamic sense of consciousness and the flow of perception by comparing it to motion pictures, using film as more than a metaphor. I thank Rachel Zerner for encouraging me to pursue the path of neuroscience in this study.\n\nRosenfield, _The Invention of Memory_ , pp. 79\u201380.\n\nThe _Carte de Tendre_ was published as illustration for the anonymous \"Urbanisme unitaire \u00e0 la fin des ann\u00e9e 50,\" _Internationale situationniste_ , no. 3, 1959. It was juxtaposed with an aerial photograph of Amsterdam, a city of situationist drift. The montage suggests a joining of aerial and navigational practices in traversing space, affirming an intimacy with the city.\n\nThomas F. McDonough, \"Situationist Space,\" _October_ , Winter 1994, pp. 59\u201377. In his discussion of the conception of space in situationism, McDonough mentions the relation of _The Naked City_ to the _Carte de Tendre_. On situationist space, see also Elisabeth Sussman, ed., _On the Passage of a Few People Through a Rather Brief Moment in Time: The Situationist International 1957\u20131972_ , Cambridge: MIT Press, 1989 (exhibition catalogue), with a selection of situationist texts on space; Christel Hollevoet, \"Wandering in the City, _Fl\u00e2nerie_ to _Derive_ and After: The Cognitive Mapping of Urban Space,\" in _The Power of the City\/The City of Power_ , New York: Whitney Museum of American Art, 1992 (exhibition catalogue); D. Pinder, \"Subverting Cartography: The Situationists and Maps of the City,\" _Environment and Planning A_ , vol. 28, no. 3, March 1996, pp. 405\u201327.\n\nFor some English translations of situationist texts on space, see Ken Knabb, ed. and trans., _Situationist International Anthology_ , Berkeley: Bureau of Public Secrets, 1989; and Selected Situationist Texts on Visual Culture and Urbanism, published in _October_ , special issue \"Guy Debord and the _Internationale situationniste_ ,\" ed. Thomas F. McDonough, no. 79, Winter 1997. Situationism has also been given room in recent exhibitions; see _Premises: Invested Spaces in Arts, Architecture, and Design from France 1958\u20131998_ , New York: Guggenheim Museum, 1998 (exhibition catalogue).\n\nSee Mark Wigley, _Constant's New Babylon: The Hyper-Architecture of Desire_ , Rotterdam: Witte de Witte Center for Contemporary Art\/010 Publishers, 1998, especially pp. 13\u201320 for a psychogeography of atmosphere; Simon Sadler, _The Situationist City_ , Cambridge: MIT Press, 1998, which addresses in its discourse on urbanism the situationist passion for maps; Libero Andreotti and Xavier Costa, eds., _Situationists: Art, Politics, Urbanism_ , Barcelona: Museu d'Art Contemporani and Actar, 1996, especially the essay by Thomas Y. Levin, \"Geopolitics of Hibernation: The Drift of Situationist Urbanism\"; and Andreotti and Costa, eds., _Theory of the Deriveand Other Situationist Writings on the City_, Barcelona: Museu d'Art Contemporani and Actar, 1996.\n\nThe cinematics of the map of _The Naked City_ is more relevant to my critical discourse on filmic site-seeing than the situationists' direct intervention in film criticism or filmmaking, for it is more eloquent in elaborating a psychogeographic perspective. The film work, including Guy Debord's own films, made between 1952 and 1978, is enmeshed in a critique of visual spectacle, of which much has been made in critical studies over the years. The result has been to obscure other potential \"spaces.\" I prefer to shift the focus toward situationist mapping and away from the visual stance \"against cinema\" (the significant title of one Debord's film books) that informs, for instance, Debord's film _Society of the Spectacle_ (1973) and others, such as Rene Vi\u00e9net's _Can Dialectics Break Bricks_. On situationist film practice, see Thomas Y. Levin, \"Dismantling the Spectacle: The Cinema of Guy Debord,\" in Sussman, ed., _On the Passage of a Few People_. Rendered invisible in 1984 after Debord refused permission to screen it any longer, his film work is now recirculating. The six screenplays are published in Guy Debord, _Oeuvres cin\u00e9matographiques completes, 1952\u20131978_ , Paris: Editions Champ Libre, 1978.\n\nFirst published in _Ark_ , no. 24, 1958.\n\nThe association of _The Naked City_ with film noir is evidenced in its listing in Alain Silver and Elizabeth Ward, eds., _Film Noir: An Encyclopedic Reference to the American Style_ , Woodstock, N.Y.: Overlook Press, 1979, a comprehensive reference on the subject.\n\nCarlo Ginzburg, \"Clues: Morelli, Freud, and Sherlock Holmes,\" in Umberto Eco and Thomas A. Sebeok, eds., _The Sign of the Three: Dupin, Holmes, Pierce_ , Bloomington: Indiana University Press, 1983. On the relevance of this paradigm to film history and theory, see Giuliana Bruno, \"Towards a Theorization of Film History,\" _Iris_ , vol. 2, no. 2, September 1984, pp. 41\u201355; and Tom Gunning, \"Tracing the Individual Body: Photography, Detectives, and Early Cinema,\" in Charney and Schwartz, eds., _Cinema and the Invention of Modern Life_.\n\nOn this influence, see Wigley, _Constant's New Babylon_ , p. 18. Other versions of the urban psychogeographic map include the one published in Guy Debord and Asger Jorn, _M\u00e9moires_ , Copenhagen: Permild and Resengreen, 1959; and Debord, _Life Continues to be Free and Easy_ (1959), a collage of figures, text, and stamps over a section of Debord and Jorn's _The Naked City_.\n\nFor a discussion of \"socio-ecological\" geography, see Guy Debord, \"Theory of the Derive,\" in Knabb, ed., _Situationist International Anthology_ , where, on p. 50, he claims that \"ecological analysis... must be utilized and completed with psychogeographical methods... and with its relations to social morphology.\"\n\nGuy Debord, \"Introduction to a Critique of Urban Geography,\" in Knabb, ed., _Situationist International Anthology_ , p. 5. See also Abdelhafid Khatib, \"Essai de description psychog\u00e9ographique des Halles,\" _Internationale situationniste_ , no. 2, December 1958, pp. 13\u201317.\n\nVincent Kaufmann, \"Angels of Puritv,\" _October_ , no. 79, Winter 1997, p. 58.\n\nGuy Debord, \"Report on the Construction of Situations and on the International Situationist Tendency's Conditions of Organization and Action\" (excerpts), in Knabb, ed., _Situationist International Anthology_ , p. 23.\n\nHere, I am only reading across map designs, stretching interpretive borders to make room for cartographic practices that inscribe a moving psychogeography, albeit in different terms and from different perspectives. Exposing textual connections and speaking only of the maps' configurations, I do not intend to erase the patent and well-documented historical and epistemic differences that exist between _fl\u00e2nerie_ and _derive_. In a process that marks the very changing modalities of urban traversal, the latter, defining this traversal in its own terms, has come to be situated in the place the former used to occupy. Moreover, although the situationists still walked the city, they did so in a way that diverged \"from classical notions of the journey and the stroll,\" as Guy Debord put it in his \"Theory of the Derive,\" p. 50.\n\nSee the interview by Kristin Ross with Henri Lefebvre on the situationists, _October_ , no. 79, Winter 1997, for insights into an intellectual and conceptual relationship on which scholarship is scarce. Lefebvre describes his thinking on the city as parallel to the situationists' and outlines differences in the exchange. The language he uses to describe his association and conflict with the movement tells of an amorous relationship: \"It touches me in some ways very intimately.... In the end it was a love story that ended badly.\" (p. 69) In _Le temps des m\u00e9pris_ (Paris: Editions Stock, 1975, p. 10), Lefebvre had also invoked love, citing an unfinished love affair with the situationists.\n\nSpeaking about love in the _October_ interview with Kristin Ross (p. 73), Lefebvre outlines his conceptual differences with situationism and points out that love was his example of new situations. This involved urban practice, for the historical transformations of love impacted modes of living and changed the shape of urbanism. Although Lefebvre claims that the situationists would have nothing to do with love as an example, one should also consider that it was Scud\u00e9ry's map of love that materially inspired their map of the city \"laid bare.\"\n\nEdward W. Soja, _Third Space: Journeys to Los Angeles and Other Real-and-Imagined Places_ , Cambridge, Mass.: Blackwell, 1996, especially pp. 174\u201378.\n\nSee chapter 7 for reference to cartographic work in literature and art, including the writings of Christian Jacob, Tom Conley, and Franco Moretti. See also Bruno Latour, _Science in Action: How to Follow Scientists and Engineers Through Society_ , Cambridge: Harvard University Press, 1987, especially pp. 215\u201357.\n\nRosi Braidotti, _Nomadic Subjects: Embodiment and Sexual Difference in Contemporary Feminist Thought_ , New York: Columbia University Press, 1994, p. 17.\n\nFor an indication of the sort of bio-cultural diasporic map formed by the work of these contemporary intellectuals, see, among others, Homi Bhabha, _The Location of Culture_ , New York: Routledge, 1994; Iain Chambers, _Migrancy, Culture, Identity_ , London: Routledge, 1994; Gayatri Chakravorty Spivak, _The Postcolonial Critic: Interviews, Strategies, Dialogues_ , ed. Sarah Harasym, New York: Routledge, 1990; Trinh T. Minh-ha, _Woman, Native, Other_ , Bloomington: Indiana University Press, 1989; and Trinh, \"An Acoustic Journey,\" in John Welchman, ed., _Rethinking Borders_ , Minneapolis: University of Minnesota Press, 1996. Edward Said approaches this discourse from the position of an exile in, for example, \"Intellectuals in the Post-colonial World,\" _Salmagundi_ , no. 70\u201371, Summer 1986, pp. 44\u201364.\n\nCeleste Olalquiaga, _Megalopolis: Contemporary Cultural Sensibilities_ , Minneapolis: University of Minnesota Press, 1992, p. 93.\n\nSee Krzysztof Wodiczko, _Critical Vehicles: Writings, Projects, Interviews_ , Cambridge: MIT Press, 1998. On Wodiczko's work, see Rosalyn Deutsche, _Evictions: Art and Spatial Politics_ , Cambridge: MIT Press, 1996, especially chapter 1, \"Krzysztof Wodiczko's _Homeless Projection_ and the Site of Urban Revitalization,\" and chapter 2, \"Uneven Development: Public Art in New York City.\" In a different way, the work of Martha Rosler also provides a powerful commentary on urban space, politics, and artistic practices. See, among others, Brian Wallis, ed., _If You Lived Here\/The City in Art, Theory, and Social Activism: A Project by Martha Rosier_ , Dia Art Foundation, Discussions in Contemporary Culture, no. 6, Seattle: Bay Press, 1991.\n\nDonna Haraway, _Modest Witness_ , New York: Routledge, 1996, p. 139.\n\nOn \"traveling cultures,\" see James Clifford, _Routes: Travel and Translation in the Late Twentieth Century_ , Cambridge: Harvard University Press, 1997.\n\nPaul Virilio, _The Lost Dimension_ , trans. Daniel Moshenberg, New York: Semiotext(e), 1991, pp. _56\u201357_. I take this comment without subscribing to a teleological vision of technological doom, but wary also of an uncritical celebration of this situation.\n\nSee Rudolf Arnheim, _Film as Art_ , Los Angeles: University of California Press, 1957, an updated version of _Film_ , first published in 1933.\n\nRudolf Arnheim, \"The Perception of Maps,\" _The American Cartographer_ , vol. 3, no. 1, April 1976, pp. 5\u201310. On cartographic matters, see also Arnheim, \"Traces urbains: La conduite pi\u00e9tonni\u00e8re et sa m\u00e9taphore cartographique,\" in _Cartes et figures de la terre_ , Paris: Centre Georges Pompidou, 1980 (exhibition catalogue). For his theory of art, see Arnheim, _Visual Thinking_ , Los Angeles: University of California Press, 1969; and Arnheim, _Art and Visual Perception: A Psychology of the Creative Eye_ , Los Angeles: University of California Press, 1954.\n\nArnheim, \"The Perception of Maps,\" p. 5.\n\nSee Deleuze, _Cinema 1;_ and Deleuze, _Cinema 2: The Time-Image_ , trans. Hugh Tomlinson and Robert Galeta, Minneapolis: University of Minnesota Press, 1989. For a contextualization of Deleuze's film theory, see D. N. Rodowick, _Gilles Deleuze's Time Machine_ , Durham, N.C.: Duke University Press, 1997.\n\nDeleuze, _Cinema 1_ , pp. 14\u201315.\n\nSee, for example, _Cinema 2_ , pp. 12\u201313, and _Cinema 1_ , pp. 87\u2013122.\n\nGilles Deleuze and F\u00e9lix Guattari, \"G\u00e9ophilosophie,\" in _Qu'est-ce que la philosophie?_ , Paris: Editions de Minuit, 1991. For another political-philosophical perspective on \"geophilosophy,\" see Massimo Cacciari, _Geo-filosofia dell'Europa_ , Milan: Adelphi, 1994.\n\nGilles Deleuze and F\u00e9lix Guattari, _A Thousand Plateaus: Capitalism and Schizophrenia_ , trans. Brian Massumi, Minneapolis: University of Minnesota Press, _1987_ , in particular \"The Aesthetic Model: Nomad Art,\" pp. 492\u2013500. Here, the authors point to the ambiguities of Riegl's and Worringer's analyses of the haptic. Approaching haptic space \"under the imperial conditions of Egyptian art,\" the haptic, for them, became \"the presence of a horizon-background; the reduction of space to the plane (vertical and horizontal, height and width); and the rectilinear outline enclosing individuality and withdrawing it from change.\" (p. 495)\n\nIbid., p. 12.\n\nSee P. D. Harvey, _The History of Topographical Maps: Symbols, Pictures and Surveys_ , London: Thames and Hudson, 1980, pp. 29\u201331; and Christian Jacob, _L'Empire des cartes: approche th\u00e9orique de la cartographie \u00e0 travers l'histoire_ , Paris: Editions Albin Michel, 1992, especially chapter 1.\n\nJoan Blaeu, _Atlas Maior_ , Amsterdam, 1663.\n\nSee, among others, Ronald Rees, \"Historical Links Between Cartography and Art,\" _Geographical Review_ , no. 70, 1980, pp. 60\u201378.\n\nSee Juergen Schulz, \"Maps as Metaphors: Mural Map Cycles of the Italian Renaissance,\" in David Woodward, ed., _Art and Cartography_ , Chicago: University of Chicago Press, 1987.\n\nSo reports Vasari, as cited in ibid., p. 99.\n\nSee chapter 7 for a treatment of the contemporary art of mapping, and chapter 10 for the discourse of cinema taking place in the art gallery.\n\nSee Henri Lefebvre, _Writings on Cities_ , ed. and trans. Eleonore Kofman and Elizabeth Lebas, Oxford: Blackwell, 1996.\n\nLouis Marin, _Utopics: Spatial Play_ , trans. Robert A. Vollrath, Atlantic Highlands, N.J.: Humanities Press International, 1984, p. 205.\n\nJacob, _L'Empire des cartes_ , p. 309 (my translation).\n**9 M Is for Mapping: Art, Apparel, Architecture Is for Peter Greenaway**\n\nThis is how Peter Greenaway describes his film _The Cook, The Thief, His Wife, and Her Lover_ in his \"Photographing Architecture,\" in Martin Caiger Smith and David Chandler, eds., _Site-Work: Architecture in Photography Since Early Modernism_ , London: Photographers' Gallery, 1991 (exhibition catalogue), p. 85.\n\nI refer to Georges Bataille's _Story of the Eye_ (trans. Joachim Neugroschel, New York: Urizen Books, 1997) to suggest an affinity between antivision, eroticism, excess, and incorporation in Greenaway's film.\n\nRemo Bodei, _Geometria delle passioni. Paura, speranza, felicita: filosofia e uso politico_ , Milan: Feltrinelli, 1991.\n\nIbid., p. 23 (my translation).\n\nSee chapter 3 for a discussion of the taxonomic impulse in Godard and Greenaway. On geometrical breakdowns of taxonomic orders, see the discussion of Borges's famous twist on taxonomy in Michel Foucault, _The Order of Things: An Archaeology of the Human Sciences_ , trans. Alan Sheridan, London: Tavistock, 1970, p. xv.\n\nI refer here to the foundational interpretation of Dutch art, cited earlier in connection to other issues, provided by Svetlana Alpers in her _The Art of Describing: Dutch Art in the Seventeenth-Century_ , Chicago: University of Chicago Press, 1983. My argument, however, works at undoing the radical distinction she makes between description and narrative, observation and history.\n\nPaul Davies, \"The Face and The Caress: Levinas's Ethical Alterations of Sensibility,\" in David Michael Levin, ed., _Modernity and the Hegemony of Vision_ , Los Angeles: University of California Press, 1992, p. 258. See Emmanuel Levinas, _Collected Philosophical Papers_ , Dordrecht: Martinus Nijhoff, 1987; and Levinas, _Totality and Infinity_ , Pittsburgh: Duquesne University Press, 1969.\n\nSee Tom Phillips, \"A _TV Dante:_ Making the Pilot Canto,\" in _Tom Phillips: Works and Texts_ , New York: Thames and Hudson, 1992. See also Bridget Elliott and Anthony Purdy, \"Peter Greenaway and the Technology of Representation,\" _A.D., Art and Design_ , no. 49, special issue \"Art and Film,\" 1996, pp. 16\u201323.\n\nMelanie Klein, _Love, Guilt and Reparation and Other Works 1921\u20131945_ , New York: Delta, 1975.\n\nSigmund Freud, \"Mourning and Melancholia\" (1917) in Freud, _General Psychological Theory: Papers on Metapsychology_ , ed. Philip Rieff, New York: Macmillan, 1963.\n\nJacques Derrida, _Memoires: For Paul de Man_ , trans. Cecile Lindsay, Jonathan Culler, and Eduardo Cadava, New York: Columbia University Press, 1986, p. 34.\n\nOn Holbein's painting and melancholia, see Julia Kristeva, _Black Sun: Depression and Melancholia_ , trans. Leon S. Roudiez, New York: Columbia University Press, 1989.\n\nRosalind E. Krauss, \"Antivision,\" _October_ , special issue on Georges Bataille, no. 36, Spring 1986, pp. 147\u201354. See also, Krauss, _The Optical Unconscious_ , Cambridge: MIT Press, 1993.\n\nGeorges Bataille, \"Dictionnaire,\" _Documents_ , no. 4, September 1929, pp. 216\u201318 (my translation). On Bataille, see Denis Hollier, _Against Architecture: The Writings of Georges Bataille_ , trans. Betsy Wing, Cambridge: MIT Press, 1992.\n\nOn vision and taste, see Allen S. Weiss, ed., _Taste Nostalgia_ , New York: Lusitania Press, 1997.\n\nJean-Paul Sartre, \"Intentionality,\" _Zone_ , no. 6, special issue \"Incorporations,\" ed. Jonathan Crary and Sanford Kwinter, 1992, p. 387.\n\nAs Bourgeois puts it, in a statement accompanying the exhibition \"Louise Bourgeois: The Locus of Memory, Works 1982\u20131993,\" Brooklyn Museum, 22 April-31 July 1994: \"The spider\u2014why the spider? Because my best friend was my mother and she was as delicate, discreet, clever, patient, soothing, reasonable, dainty, neat, and useful as a spider, simply indispensable. She could defend herself and me.... I will never be tired of representing her.... [It is] a remedy for fear.\" As her artwork suggests, the spider is the image of the mother: she who feeds, teaches, incorporates; a good and bad object, whose embrace both gives and kills as it inevitably absorbs the child.\n\nSartre, \"Intentionality,\" p. 388.\n\nFor this reading of cannibalism, see Maggie Kilgour, _From Communion to Cannibalism: An Anatomy of Metaphors of Incorporation_ , Princeton: Princeton University Press, 1990.\n\nOn cannibalism and alchemy, see Peggy Reeves Sanday, _Divine Hunger: Cannibalism as a Cultural System_ , Cambridge: Cambridge University Press, 1986, especially pp. 95\u2013101.\n\nThe cannibalism, with its layered metaphors, resonates significantly as well with contemporary readings of social politics. On the politics of late capitalism in Greenaway's work, see Michael Walsh, \"Allegories of Thatcherism: The Films of Peter Greenaway,\" in Lester Friedman, ed., _Fires Were Started: British Cinema and Thatcherism_ , Minneapolis: University of Minnesota Press, 1993.\n\nOn the role of music in Greenaway's films, see Domenico De Gaetano, _Il cinema di Peter Greenaway_ , Turin: Lindau, 1995; and, on visual music, Daniel Caux, Michael Field, Florence de Meredieu, and Philippe Pilard, _Peter Greenaway_ , Paris: Dis Voir, 1992, with an interview with Michael Nyman.\n\nThe description of _A Harsh Book of Geometry_ is taken from Prospero's description of his library in the film _Pr\u00f3spero's Books_.\n\nGreenaway, _Prospero's Books: A Film of Shakespeare's 'The Tempest'_ , London: Chatto and Windus, 1991, p. 20.\n\nIbid.\n\nFrom Prospero's description of his library in the film.\n\nIbid.\n\nIbid.\n\nIbid.\n\nPier Paolo Pasolini, \"The Screenplay as a 'Structure that Wants to Be Another Structure,\"' in _Heretical Empiricism_ , ed. Louise K. Barnett, trans. Ben Lawton and Louise K. Barnett, Bloomington: Indiana University Press, 1988, p. 193. The erotic and violent script for _The Cook_ , for example, transforms classic revenge tragedy, turning English Jacobean theater into film. On the Jacobean connection, see Laura Denham, _The Films of Peter Greenaway_ , London: Minerva Press, 1993, chapter 4.\n\nSee Giuliana Bruno, \"Heresies: The Body of Pasolini's Semiotics,\" in Patrick Rumble and Bart Testa, eds., _Pier Paolo Pasolini: Contemporary Perspectives_ , Toronto: University of Toronto Press, 1994; and Maurizio Viano, \"The Reality Eater,\" unpublished paper, presented at the Society for Cinema Studies Conference, New Orleans, 11\u201314 February 1993.\n\nPasolini, \"Res sunt Nomina,\" in _Heretical Empiricism_ , p. 255.\n\nAs Greenaway has remarked, _The Cook_ , for example, emerges out of \"'the theatre of the blood' with its obsession for human corporeality\u2014eating, drinking, defecating, copulating, belching, vomiting, nakedness and blood.\" See Greenaway, introduction to _The Cook, The Thief, His Wife and Her Lover_ , Paris: Editions Dis Voir, 1989, p. 7.\n\nAlois Riegl, _Das hollandische Gruppenportrat_ , Vienna, 1902. On this subject, see Margaret Iversen, _Alois Riegl: Art History and Theory_ , Cambridge: MIT Press, 1993, chapter 6.\n\nFrom a postcard sent by the architect Stourley Kracklite to Etienne-Louis Boull\u00e9e in _The Belly of an Architect_. See Greenaway, _The Belly of an Architect_ , London: Faber and Faber, 1988, p. 119.\n\nThis mise-en-sc\u00e8ne, described in the prologue, is developed in chapters 2, , and .\n\nOn this interpretation of Muybridge, see Linda Williams, _Hard Core: Power, Pleasure and the 'Frenzy of the Visible'_ , Berkeley: University of California Press, 1989, chapter 2.\n\nOn Serrano, see, among others, Brian Wallis, ed., _Body and Soul: Andres Serrano_ , New York: Tekarajima Books, 1995; and _Andres Serrano, Works 1983\u20131993_ , Philadelphia: Philadelphia Institute of Contemporary Art, 1994 (exhibition catalogue).\n\nPhilippe Aries, _The Hours of Our Death_ , trans. Helen Weaver, New York: Vintage Books, 1981; Aries, _Western Attitudes Towards Death: From the Middle Ages to the Present_ , trans. Patricia M. Ranum, Baltimore: Johns Hopkins University Press, 1974; Aries, _Images de l'homme devant la mort_ , Paris: Seuil, 1977. For a gendered perspective, see Elisabeth Bronfen, _Over Her Dead Body: Death, Femininity and the Aesthetic_ , New York: Routledge, 1992.\n\nFor a history of the body in this period, see Antoine de Baecque, _The Body Politic: Corporeal Metaphor in Revolutionary France 1770\u20131800_ , trans. Charlotte Mandell, Stanford: Stanford University Press, 1997.\n\nVanessa R. Schwartz, _Spectacular Realities: Early Mass Culture in Fin-de-Si\u00e8cle Paris_ , Los Angeles: University of California Press, 1998, especially chapter 2.\n\nHenri Lefebvre, _The Production of Space_ , trans. Donald Nicholson-Smith, Oxford: Blackwell, 1991, especially p. 137.\n\nRichard Sennett, _Flesh and Stone: The Body and the City in Western Civilization_ , New York: Norton, 1994.\n\nAnthony Vidler, \"Architecture Dismembered,\" in _The Architectural Uncanny: Essays in the Modern Unhomely_ , Cambridge: MIT Press, 1992, pp. 69\u201382.\n\nOn the body and architecture, see also the special project of _Precis_ , the Columbia architectural journal, entitled _Architecture and Body_ , New York: Rizzoli, 1988; and Georges Teyssot, \"The Mutant Body of Architecture,\" in Diller + Scofidio, _Flesh: Architectural Probes_ , New York: Princeton Architectural Press, 1994. For an early commentary on this issue, see Kent C. Bloomer and Charles W. Moore, _Body, Memory, and Architecture_ , New Haven: Yale University Press, 1977.\n\nFor reference to this work, see chapters 2 and .\n\nGreenaway, _Watching Water_ , Milan: Electa, 1993 (exhibition catalogue), p. 11.\n\nSee chapter 5 for a discussion of Kircher and precinema.\n\nD. P. G. Humbert de Superville, _Essai sur les signes inconditionnels dans l'art_ , Leiden, 1832. On de Superville, see Barbara Maria Stafford, _Symbol and Myth: Humbert de Superville's Essay on Absolute Signs in Art_ , London: Associated University Presses, 1979; Anna Ottani Cavina, _I paesaggi della ragione_ , Turin: Einaudi, 1994; and Patrizia Magli, _Il volto e l'anima: fisiognomica e passioni_ , Milan: Bompiani, 1995. I am grateful to Patrizia Magli for encouraging me to pursue a study of de Superville.\n\nGreenaway interviewed by Marcia Pally, \"Cinema as the Total Art Form,\" _Cineaste_ , vol. 18, no. 3, 1991, p. 9.\n\nDavid Wills, _Prosthesis_ , Stanford, Cal.: Stanford University Press, 1995, chapter 6.\n\nOn Boull\u00e9e, see Emile Kaufmann, _Three Revolutionary Architects: Boull\u00e9e, Ledoux, and Lequeu_ , Philadelphia: American Philosophical Society, 1952; Jean Marie Perouse de M\u00f3ntelos, _Etienne-Louis Boull\u00e9e: Theoretician of Revolutionary Architecture_ , trans. James Emmons, New York: Braziller, 1974; Helen Rosenau, _Boulle\u00e9 and Visionary Architecture_ , New York: Harmony Books, 1976; Anthony Vidler, _The Writings of the Walls: Architectural Theory in the Late Enlightenment_ , New York: Princeton Architectural Press, 1987, pp. 165\u201373; Vidler, _The Architectural Uncanny_ , pp. 169\u201372; and Sennett, _Flesh and Stone_ , pp. 292\u201396.\n\nGreenaway, _Watching Water_ , p. 7.\n\nCostantino Dardi interviewed by Stefano della Casa in \"Una macchina per leggere Roma: intervista inedita a Costantino Dardi,\" _Cinema e Cinema_ , special issue on cinema and architecture, vol. 20, no. 66, January-April 1993, p. 105 (my translation).\n\nGreenaway, \"Photographing Architecture,\" pp. 84\u201385.\n\nAs discussed in chapter 1, this is how Bazin defined _Bicycle Thieves_. See Andre Bazin, _What is Cinema?_ , vol. 2, ed. and trans. Hugh Gray, Los Angeles: University of California Press, 1971, p. 55. For a survey of the representation of Rome in film (not including Greenaway), see David Bass, \"Insiders and Outsiders: Latent Urban Thinking in Movies of Modern Rome,\" in Francois Penz and Maureen Thomas, eds., _Cinema and Architecture: M\u00e9li\u00e8s, Mallet-Stevens, Multimedia_ , London: British Film Institute, 1997.\n\nGreenaway, _Papers_ , Paris: Editions Dis Voir, 1990, p. 26.\n\nGreenaway, _The Belly of an Architect_ , p. 135. All postcards used to conceive the work, even those not appearing in the film, are reproduced in this book.\n\nOn the sets of _The Fountainhead_ , see Donald Albrecht, _Designing Dreams: Modern Architecture in the Movies_ , New York: Harper and Row, with the Museum of Modern Art, 1986, pp. 168\u201374. See also John A. Walker, _Art and Artists on Screen_ , Manchester, England: Manchester University Press, 1993, including a separate survey of the depiction of the artist in _The Draughtsman's Contract_ and _The Belly of an Architect_.\n\nOn _Playtime_ and architecture, see, among others, Andrea Kahn, \"Playtime with Architects,\" _Design Book Review_ , no. 24, 1992, pp. 22\u201329; and Francois Penz, \"Architecture in the Films of Jacques Tati,\" in Penz and Thomas, eds., _Cinema and Architecture_.\n\nGreenaway, \"Photographing Architecture,\" p. 85.\n\nAnnette Michelson, \"Bodies in Space: Film as 'Carnal Knowledge,\"' _Artforum_ , no. 7, February 1969, pp. 55\u201360.\n\nOn the maps, see Paul Melia, \"Frames of Reference,\" in Melia and Alan Woods, _Peter Greenaway: Artworks 63\u201398_ , Manchester, England: Manchester University Press, 1998.\n\nIbid., p. 58.\n\nGreenaway, _Papers, p. 62_.\n\nSo says the narrator of the film.\n\nGreenaway, _Flying over Water_ , London: Merrell Holberton, 1997 (exhibition catalogue). The curated exhibition\/installation was on view at Fundaci\u00f3 Joan Mir\u00f3, Barcelona, 6 March-25 May 1997.\n\nGreenaway, _Flying Out of This World_ , Chicago: University of Chicago Press, 1994 (exhibition catalogue). The exhibition \"Le Bruit des nuages\u2014Flying Out of This World\" took place at the Louvre, Paris, 3 November-1 February 1993.\n\nGreenaway provides this information in Leon Steinmetz and Greenaway, _The World of Peter Greenaway_ , Boston: Journey Editions, 1995, p. 17.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , London: Merrell Holberton, 1995, p. 9. This city-wide installation was held in Munich, 29 October-19 November 1995.\n\nThis installation was mounted in Rome, Piazza del Popolo, 23\u201330 June 1996.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , p. 23.\n\nIbid., p. 24.\n\nIbid., p. 97. The catalogue of the exhibition, however, contains a cross-section of film history: a list of ten films selected for each year of the century runs as a continuous frieze under the photographs of the installation.\n\nOn Sugimoto, see chapter 1.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , pp. 39\u201351.\n\nFor a discussion of the sexual nature of this film, see Brigitte Peucker, _Incorporating Images: Film and the Rival Arts_ , Princeton: Princeton University Press, 1995, pp. 156\u201359.\n\nSimon Watney, \"Gardens of Speculation: Landscape in _The Draughtsman's Contract,\"_ in Philip Hayward, ed., _Picture This: Media Representations of Visual Art and Artists_ , London: John Libbey, 1988. For a reading of allegory as a structuring device in this film, see also Bridget Elliot and Anthony Purdy, _Peter Greenaway: Architecture and Allegory_ , Chichester, England: Academy Editions, 1997, chapter 1.\n\nThis information is provided by Greenaway in an interview with Waldemar Januszczak, _The Studio 999_ , April-May 1983, p. 23. He makes clear that this is not a period film; its point was not to be historically correct but to offer a mode of picturing that spans time.\n\nSee, in particular, chapter 6.\n\nOther of Greenaway's landscape films are _Tree_ (1966), _Water Wrackets_ (1975), and _Vertical Feature Remakes_ (1978). On this subject, see Steinmetz and Greenaway, _The World of Peter Greenaway_ , chapters 1 and 4; and Greenaway's interview with Jonathan Hacker and David Price, in their _Take Ten: Contemporary British Film Directors_ , Oxford: Clarendon Press, 1991, p. 212. On Greenaway's early work, see L. Redish, ed., _The Early Films of Peter Greenaway_ , London: British Film Institute, 1992; and for its relation to the cinema of Hollis Frampton, see P. Adams Sitney, \"The Falls,\" _Persistence of Vision_ , no. 8, 1990, pp. 45\u201351.\n\nGreenaway interviewed by Alan Woods, _Being Naked Playing Dead: The Art of Peter Greenaway_ , Manchester, England: Manchester University Press, 1996, p. 228.\n\nSee Amy Lawrence, _The Films of Peter Greenaway_ , Cambridge: Cambridge University Press, 1997, chapter 2.\n\nGreenaway, _The Stairs 1: Geneva, the Location_ , London: Merrell Holberton, 1994, p. 79 (exhibition catalogue). The city-wide installation took place in Geneva, 30 April-1 August 1994.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , p. 16.\n\nIbid., p. 20.\n\nGreenaway, _The Stairs 1: Geneva, the Location_ , p. 85.\n\nIbid., p. 53.\n\nIbid., p. 54.\n\nIbid., p. 85.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , p. 27.\n\nFor topics and sources, see, among others, Woods, _Being Naked Playing Dead;_ and Alessandro Bencivenni and Anna Samueli, _Peter Greenaway: Il cinema delle idee_ , Genoa: Le Mani, 1996. For an inventory of citations in _The Cook_ , including Vermeer, Rembrandt, Hals, Van Eyck, and several Dutch still-life painters, see William F. Van Wert, \"Reviews: _The Cook, The Thief, His Wife and Her Lover,\" Film Quarterly_ , vol. 44, no. 2, Winter 1990\u201391, pp. 42\u201350.\n\nDavid Pascoe, _Peter Greenaway: Museums and Moving Images_ , London: Reaktion Books, 1997. Pascoe discusses _A Zed and Two Noughts_ (1986), in which a surgeon tries to remake a woman into _The Art of Painting_ (c. 1666\u201367), and elucidates the role Piero della Francesca's _Flagellation of Christ_ (1455\u201360) plays in _The Belly of an Architect_. Among Greenaway's other art-historical citations, Pascoe points to Titian, Giorgione, and the later Bellini for _Prospero's Books;_ Crevalcore, Desiderio, and Bellini for _The Baby of Macon_ (1993); the Pre-Raphaelites for _Drowning by Numbers_ (1988); Januarius Zick and Georges de La Tour's _The Penitent Magdalene_ (c. 1616) for _The Draughtsman's Contract;_ and, discussing Greenaway's early work, considers his continued indebtedness to R. B. Kitaj. On the influence of Kitaj, see also Peter Wollen, \"The Last New Wave: Modernism in the British Films of the Thatcher Era,\" in Friedman, ed., _British Cinema and Thatcherism_. On _A Zed and Two Noughts_ , see also David Wills and Alec McHoul, \"Zoo-logics: Questions of Analysis in a Film by Peter Greenaway,\" _Textual Practice_ , vol. 5, no. 1, 1991.\n\nSee Paul Wells, \"Compare and Contrast: Derek Jarman, Peter Greenaway and Film Art,\" _A.D._ , Art and Design Profile, no. 49, 1996, pp. 24\u201331.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , p. 43.\n\nElliot and Purdy, _Peter Greenaway_.\n\nWalter Benjamin, _The Origin of German Tragic Drama_ , trans. John Osborne, London: NLB, 1977.\n\nGreenaway, _The Stairs 1: Geneva, the Location_ , p. 23. He refers to the exhibition _Some Organizing Principles_ , Swansea, Glynn Vivian Art Gallery, 2 October-21 November 1993.\n\nGreenaway, _Watching Water_ , pp. 14, 44.\n\nWalter Benjamin, \"Unpacking My Library: A Talk about Book Collecting,\" in _Illuminations_ , ed. Hannah Arendt, trans. Harry Zorn, New York: Schocken Books, 1969, pp. 60\u201363.\n\nSee Greenaway, _The Physical Self_ , Rotterdam: Boymans-van Beuningen Museum, 1991 (exhibition catalogue). The exhibition was on view 27 October 1991\u20131 December 1992.\n\nGreenaway, _The Stairs 2: Munich, Projection_ , p. 31.\n\nThomas Elsaesser, \"Peter Greenaway,\" in Philip Dodd and Ian Christie, eds., _Spellbound: Art and Film_ , London: British Film Institute and Hayward Gallery, 1996 (exhibition catalogue), p. 81. The exhibition took place in London, at the Hayward Gallery, February 1996.\n\nGreenaway, _The Stairs 1: Geneva, the Location_ , p. 15.\n\nSee Greenaway, _100 Objects to Represent the World_ , Stuttgart: Verlag Gerd Hatje, 1992 (exhibition catalogue). The curated exhibition\/installation was on view 1 October-8 November 1992 at the Academy of Fine Arts, Vienna.\n\nIbid., p. 72.\n\n _Watching Water_ took place at Palazzo Fortuny, Venice, 12 June-12 September 1993.\n\nWater is physically present in most of Greenaway's filmic and curatorial work (with the notable exception of his 1969 film on Venice, _Intervals)_. His films that make prominent use of the idea of water include _Water_ (1975), _The Sea in Their Blood_ (1983), _Making a Splash_ (1984), _Inside Rooms\u201426 Bathrooms_ (1985), _Drowning by Numbers_ (1988), and _Death in the Seine_ (1988).\n\nGreenaway, _Watching Water_ , p. 11.\n\nIbid., p. 16.\n\nIbid., p. 18.\n\nIbid.\n\nNita Rollins, \"Greenaway-Gaultier: Old Masters, Fashion Slaves,\" _Cinema Journal_ , vol. 35, no. 1, Fall 1995, pp. 65\u201380.\n\nThe interplay of fashion and film has received limited scholarly attention. Some existing studies are referenced in chapter 4. Stella Bruzzi discusses fashion with respect to Greenaway's work in her _Undressing Cinema: Clothing and Identity in the Movies_ , New York: Routledge, 1997, pp. 9\u201310. For a visual document of film fashions, see Regine and Peter W. Engelmeier, eds., _Fashion in Film_ , Munich: Prestel Verlag, 1990 (exhibition catalogue).\n\nSee chapter 4. For the debate on fashion and architecture, see Deborah Fausch, Paulette Singley, Rodolphe el-Khoury, Zvi Efrat, eds., _Architecture: In Fashion_ , Princeton, Princeton Architectural Press, 1994.\n\nMark Wigley, _White Walls, Designer Dresses: The Fashioning of Modern Architecture_ , Cambridge: MIT Press, 1995.\n\nIbid., p. 25.\n\nIbid., p. 242.\n\nGiacomo Balla, \"The Futurist Manifesto on Men's Clothing,\" (1913), in Umbro Apollonio, ed., _Futurist Manifestos_ , London: Thames and Hudson, 1973, p. 132. On Futurist fashion, see _Balla: Futurismo tra arte e moda_ , Milan: Leonardo Editore, 1998 (exhibition catalogue, Opere della Fondazione Biagiotti Cigna); and Enrico Crispolti, _II Futurismo e la moda: Balla e gli altri_ , Venice: Marsilio, 1986.\n\nF. T. Marinetti, \"Tactilism\" (1924), in _Let's Murder the Moon Shine: Selected Writings_ , ed. and trans. R. W. Flint, Los Angeles: Sun and Moon Classics, 1991, p. 119.\n\nIbid., p. 120.\n\nF. T. Marinetti, \"Tactilism,\" text dated 11 January 1921.\n\nGiacomo Balla, \"Il vestito antineutrale,\" text dated 11 September 1914, a slightly modified version of the 1913 \"Futurist Manifesto of Men's Clothing.\"\n\nWalter Benjamin, \"Paris, Capital of the Nineteenth Century,\" in _Reflections_ , ed. Peter Demetz, trans. Edmund Jephcott, New York: Harcourt Brace Jovanovich, 1978, p. 155.\n\nLefebvre, _The Production of Space_ , p. 259.\n\nGottfried Semper, \"Style in the Technical and Tectonic Arts or Practical Aesthetics\" (1860), in _The Four Elements of Architecture and Other Writings_ , trans. Harry Francis Mallgrave and Wolfgang Hermmann, Cambridge: Cambridge University Press, 1989. Wigley remarks on this in _White Walls, Designer Dresses_ , p. 12.\n\nH\u00e9l\u00e8ne Cixous, \"Sonya Rykiel in Translation,\" trans. Deborah Jenson, in Shari Benstock and Suzanne Ferriss, eds., _On Fashion_ , New Brunswick, N.J.: Rutgers University Press, 1994, pp. 96\u201398. For a reading of fashion in psychoanalytic terms that illustrates the shape of the ego in the act of seeing and being seen, see, in the same volume, Kaja Silverman, \"Fragments of a Fashionable Discourse.\"\n\nMaya Deren, \"Psychology of Fashion,\" in V\u00e8v\u00e8 A. Clark, Millicent Hodson, and Catrina Neiman, eds., _The Legend of Maya Deren: A Documentary Biography and Collected Works_ , vol. 1, part 2, New York: Anthology Film Archives, 1988, p. 435.\n\nThe quotation from Sei Sh\u014dnagon is cited in the film.\n\n _Letter from an Unknown Woman_ (Max Oph\u00fcls, 1948) was adapted from Stefan Zweig's novella of the same title (trans. Eden and Cedar Paul, New York: Viking Press, 1932). _La Ronde_ (Oph\u00fcls, 1950) was adapted from Arthur Schnitzler's _Hands Around_ (trans. Keene Wallis, Julian Press, 1929).\n\nSee Sergei Eisenstein, \"The Cinematographic Principle and the Ideogram,\" in _Film Form_ , ed. and trans. Jay Leyda, New York: Harcourt, Brace and World, 1949.\n\nPlato, _Symposium_ , ed. Eric H. Warmigton and Philip G. Rouse, New York: Mentor Books, 1956, especially pp. 97\u201398.\n\nBeno\u00eet-Louis Pr\u00e9vost's _Art of Writing: Position of the Body for Writing, and the Holding of the Pen_ is an illustration from Charles Paillason's _L'Art d'\u00e9crire_ , Paris, 1763. See David Becker, ed., _The Practice of Letters: The Hofer Collection of Writing Manuals 1514\u20131800_ , Cambridge: Harvard College Library, 1997 (exhibition catalogue).\n\nHenry Noel Humphreys, _The Origin and Progress of the Art of Writing_ (1853), as cited in Johanna Drucker, _The Alphabetic Labyrinth: The Letters in History and Imagination_ , London: Thames and Hudson, 1995, p. 9.\n\nCited from the film's diaristic register.\n\nCited from the film's verbal and written text.\n\nNagiko, reading from Sei Sh\u014dnagon's book.\n\nOn the etymology of chart and map and the material support of maps, see Christian Jacob, _L'Empire des cartes: approche th\u00e9orique de la cartographie \u00e0 travers l'histoire_ , Paris: Albin Michel, 1992, pp. 37, 54\u201356, and 71\u201379.\n\nThis idea about the folds of space might be further stretched to explain Greenaway's neo-baroque bent, along the lines of Gilles Deleuze's understanding of baroque philosophy in his _The Fold: Leibnitz and the Baroque_ , trans. Tom Conley, Minneapolis: University of Minnesota Press, 1993.\n\nAndreas Vesalius, _De humani corporis fabrica. Epitome_ , Amsterdam, 1642, with a woman anatomized on the title page.\n\n**10 Film and Museum Architexture: Excursus with Gerhard Richter's _Atlas_**\n\nThe ever-growing work of _Atlas_ is documented in exhibition catalogues. The complete opus to date is presented in Helmut Friedel and Ulrich Wilmes, eds., _Gerhard Richter: Atlas of the Photographs, Collages and Sketches_ , New York: D.A.P.\/Distributed Art Publishers, in association with London: Anthony d'Offay, and New York: Marian Goodman Gallery, 1997 (exhibition catalogue, Lenbachhaus, Munich), which features a catalogue raisonn\u00e9 of the panels. See also Fred Jahn, ed., _Gerhard Richter: Atlas_ , Munich: St\u00e4dtische Galerie Lenbachhaus, 1989 (exhibition catalogue), with an essay by Armin Zweite; and Massimo Martino, ed., _Gerhard Richter: Selected Works 1963\u20131987_ , Milan: Skira Editore, 1995 (exhibition catalogue), containing the sections of _Atlas_ shown at Luhring Augustine gallery, New York, 4 November 1995\u201313 January 1996.\n\nThe latest exhibition of Richter's opus, called _Der Atlas und seine Bilder_ , at Kunstbau\/Lenbachhaus, Munich, 8 April 8\u201321 June 1998, contained the complete _Atlas_ from 1962 to 1997 and presented 633 panels. Previous exhibitions of the work include an installation at documenta X, Kassel, Germany, 20 June-28 September 1997; and _Atlas, 1964\u20131995_ , at the Dia Center for the Arts, New York, 27 April 1995\u20133 March 1996, where it comprised 583 panels.\n\nDorotea Dietrich, \"Gerhard Richter: An Interview,\" _The Print Collector's Newsletter_ , vol. 16, no. 4, September-October 1985, p. 130.\n\nThe exhibition of _Atlas_ at the Dia Center for the Arts, New York, 1995\u20131996, was accompanied by a pamphlet, with a critical text by Lynne Cooke, who mentions the fulfillment of this dream.\n\nFor the painter's perspective, see Gerhard Richter, _The Daily Practice of Painting: Writings, 1962\u20131993_ , Cambridge: MIT Press, 1995.\n\nSee Benjamin H. D. Buchloh, _Gerhard Richter: Painting After the Subject of History_ , Ph.D. Dissertation, City University of New York, 1994; _Gerhard Richter_ , New York: Marion Goodman Gallery, 1993 (exhibition catalogue for documenta IX, Kassel, 1992, and Marion Goodman Gallery) with an essay by Buchloh; _Gerhard Richter 1988\/89_ , Rotterdam: Museum Boymans-van Beuningen, 1989 (exhibition catalogue), with an essay by Buchloh; Buchloh, \"Richter's Fracture: Between the Synecdoche and the Spectacle,\" in _Gerhard Richter_ , New York: Marian Goodman and Sperone Westwater, 1985 (exhibition catalogue); Buchloh, \"Ready-Made, photographie et peinture dans la peinture de Gerhard Richter,\" in _Gerhard Richter_ , Paris: Centre nationale d'art et de culture Georges Pompidou, 1977; and _Gerhard Richter_ , Paris: Mus\u00e9e de l'Art Moderne de la Ville de Paris, 3 vols., Stuttgart: Ed. Cantz, 1996, with essays by Buchloh, Peter Gidal, and Birgit Pelzer.\n\nSee Benjamin Buchloh, \"Divided Memory and Post-Traditional Identity: Gerhard Richter's Work of Mourning,\" _October_ , no. 75, Winter 1996, pp. 61\u201382.\n\nAllan Sekula, \"The Body and the Archive,\" _October_ , no. 39, Winter 1986, pp. 3\u201364.\n\nGertrud Koch, \"The Richter-Scale of Blur,\" in _October_ , no. 62, 1992, pp. 133\u201342. On Richter's work in general, see also Koch, \"The Open Secret: Gerhard Richter and the Surface of Modernity,\" in Jean-Philippe Antoine, Gertrud Koch, and Luc Lang, _Gerhard Richter_ , Paris: Dis Voir, 1995; and Koch, \"Sequence of Time,\" in _Parkett_ , no. 35, 1993. In this issue of _Parkett_ , see also Peter Gidal, \"Endless Finalities\"; and Dave Hickey, \"Richter in Tahiti.\" See also Gidal, \"The Polemics of Paint,\" in _Gerhard Richter: Painting in the Nineties_ , London: Anthony d'Offay Gallery, 1995.\n\nSee the discussion of de Maistre's \"voyage\" in chapter 5; and Xavier de Maistre, _Voyage around My Room_ (1794), trans. Stephen Sartarelli, New York: New Directions Books, 1994.\n\nde Maistre, _Voyage around My Room_ , p. 64.\n\nIbid., p. 8.\n\nThe peculiarity of Richter's _Atlas_ informs the shape of its cartographic architectonics and distinguishes it from other art projects involved in creating a sentimental museum. See, for example, the survey of sentimental museums in art offered by Jean-Hubert Martin in \"The 'Mus\u00e9e Sentimental' of Daniel Spoerri,\" in Lynne Cooke and Peter Wollen, eds., _Visual Display: Culture Beyond Appearances_ , Seattle: Bay Press, 1995.\n\nOn the function of landscape in Richter's work, see Jean-Philippe Antoine, \"Photography, Painting and the Real: The Question of Landscape in the Paintings of Gerhard Richter,\" in Antoine, Koch, and Lang, _Gerhard Richter_.\n\nThis also occurs, although in minimalist fashion, in the work of reframing experienced as one moves filmically through Robert Morris's installation _Untitled_ (1975). Here, framed mirrors frame the subject in movement and thus become filmic frames, creating a place where cadres become transformed into _cadres de vie_. On the importance of framing in Morris's work, see Annette Michelson, \"Frameworks,\" in _Robert Morris: The Mind\/Body Problem_ , New York: Guggenheim Museum, 1994 (exhibition catalogue). Although Michelson does not discuss _Untitled_ (1975), her argument is embodied in this work and has inspired my reading of it.\n\nWalter Benjamin, \"A Berlin Chronicle,\" in _One Way Street and Other Writings_ , trans. Edmund Jephcott and Kingsley Shorter, London: Verso, 1979, p. 295. See chapter 8 for a discussion of this work.\n\nOn Makavejev's imagined project, see chapter 6.\n\n _Silent Movie_ was commissioned for cinema's centennial celebration by the Wexner Center for the Arts, in Columbus, Ohio. It was subsequently shown at the Museum of Modern Art, in New York, as part of the show \"Video Spaces: Eight Installations,\" 22 June-12 September 1995.\n\nIn a text that engages the practices of collage and photomontage, Benjamin Buchloh discusses Richter's _Atlas_ in reference to Warburg's model, presenting a reading that covers another aspect of their relation and offering a different interpretation than the one sustained in this book. See Buchloh, \"Warburg's Paragon? The End of Collage and Photomontage in Postwar Europe,\" in Ingrid Schaffner and Matthias Winzen, eds., _Deep Storage: Collecting, Storing and Archiving in Art_ , New York: Prestel Verlag, 1998.\n\nSee Carlo Ginzburg, \"From Aby Warburg to E. Gombrich: A Problem of Method,\" in _Clues, Myths and the Historical Method_ , trans. John and Anne Tedeschi, Baltimore: Johns Hopkins, 1989. See also Joseph Koerner, \"Aby Warburg among the Hopis: Paleface and Redskin,\" _The New Republic_ , 24 March 1997, pp. 30\u201338.\n\nOn this aspect of Warburg's work, see Simon Schama, _Landscape and Memory_ , New York: Vintage Books, 1995, especially pp. 209\u201314.\n\nSixty panels tracing itineraries of different genealogies, including astrological configurations, were completed.\n\nAby Warburg, \"Introduzione all'Atlante _Mnemosyne,\"_ (1929), in _Mnemosyne. L'Atlante della memoria di Aby Warburg_ , ed. Italo Spinelli and Roberto Venuti, Rome: Artemide Edizioni, 1998, p. 38 (my translation). An incomplete English translation of Warburg's \"Introduction to _Mnemosyne Atlas\"_ is published in Uwe Fleckner, ed., _The Treasure Chests of Mnemosyne: Selected Texts on Memory Theory From Plato to Derrida_ , Dresden: Verlag der Kunst, 1998, pp. 248\u201352. All following citations are taken from the complete Italian version, which follows the original text preserved in the Warburg Institute.\n\nIbid., p. 38.\n\nIbid., pp. 38, 40, 42.\n\nIbid., p. 43.\n\nSee Christian Boltanski, _Archives_ , Aries: Le M\u00e9jun and Actes Sud, 1989; _Reconstitution: Christian Boltanski_ , London: Whitechapel Art Gallery, 1990 (exhibition catalogue); Boltanski, _La Maison ma\u00f1aquante_ , Paris: Flammarion, 1991; Lynn Gumpert, _Christian Boltanski_ , Paris: Flammarion, 1994; _Els Limits del Museu_ , Barcelona: Fundaci\u00f3 Antoni T\u00e0pies, 1995; and Boltanski, Tamar Garb, Didier Semin, and Donald Kuspit, _Christian Boltanski_ , London: Phaidon Press, 1997. Boltanski's latest exhibition, _Les dernieres ann\u00e9es_ , was presented at the Mus\u00e9e d'art moderne de la Ville de Paris in 1998.\n\nBoltanski's experimental film work includes _L'Homme qui tousse_ (1969), _Essai de reconstitution des 46 jours qui pr\u00e9c\u00e9d\u00e8rent la mort de Fran\u00e7oise Guiniou_ (1971), and _Appartement de la rue de Vaugirard_ (1976). On this subject, see Didier Semin's notes on _L'Homme qui tousse_ , in _Premises: Invested Spaces in Arts, Architecture, and Design from France 1958\u20131998_ , New York: Guggenheim Museum, 1998 (exhibition catalogue), pp. 206\u20137.\n\n _Die Winterreise_ was directed by Hans Peter Cloos and, after its Paris run, was staged at the Brooklyn Academy of Music, New York, 4\u20138 November 1998. The film was made by Boltanski with Cloos, Jean Kalman, and Marie Pawlotsky in January 1993.\n\nSee, among others, Reesa Greenberg, Bruce W. Ferguson, and Sandy Nairne, eds., _Thinking about Exhibitions_ , New York: Routledge, 1996; _The End(s) of the Museum_ , Barcelona: Fundaci\u00f3 Antoni T\u00e0pies, 1996 (excerpts of the symposium held with the exhibition _Els Limits del Museu);_ Cooke and Wollen, eds., _Visual Display;_ Tony Bennett, _The Birth of the Museum_ , London: Routledge, 1995; Daniel J. Scherman and Irit Rogoff, eds., _Museum Culture: Histories, Discourses, Spectacles_ , Minneapolis: University of Minnesota Press, 1994; Susan M. Pearce, _Museums, Objects and Collections: A Cultural Study_ , Leicester, England: Leicester University, 1992; Ivan Karp and Steven D. Lavine, eds., _Exhibiting Cultures: The Poetics and Politics of Museum Display_ , Washington, D.C.: Smithsonian Institution Press, 1991.\n\nThe work of Silvia Kolbowski, among others, testifies to this resonance between art and architecture.\n\nLewis Mumford, \"The Death of the Monument,\" in J. L. Martin, Ben Nicholson, and N. Gabo, eds., _Circle: International Survey of Constructivist Art_ , New York: E. Weyhe, 1937, p. 267.\n\nSee especially chapter 5.\n\nThere are obvious and established institutional differences between the gallery and the museum, which are not discussed here. It is important to note, however, that in terms of modes of display, curatorial strategies, and the amount of space offered to contemporary art, the distance between the two has diminished in the United States. Here, young artists move easily and quickly between gallery and museum exhibitions, many intersecting and hybrid exhibition spaces have been created, and alliances between all of these have taken place. These reasons partially excuse an excursus that combines the two discourses without delving into their differences.\n\nOn this film, see Robert Beck, \"Paranoia by the Dashboard Light: Sophie Calle's and Gregory Shephard's _Double Blind,\" Parkett_ , no. 36, _1993_ , especially p. 109. On Calle's photographic work, see Sophie Calle, _La Visite guid\u00e9e_ , Rotterdam: Museum Boymans-van Beuningen, 1996 (exhibition catalogue); _Sophie Calle: Absence_ , Rotterdam: Museum Boymans-van Beuningen, 1994 (exhibition catalogue); Calle, _Sophie Calle: Proofs_ , Hanover, N.H.: Hood Museum of Art, Dartmouth College, 1993 (exhibition catalogue); Robert Storr, _Dislocations_ , New York: Museum of Modern Art, 1991 (exhibition catalogue); and Calle, _Suite V\u00e9nitienne_ , Seattle: Bay Press, 1988, with a postface by Jean Baudrillard. See also Luc Sante, \"Sophie Calle's Uncertainty Principle,\" _Parkett_ , no. 36, 1993, pp. 74\u201387.\n\nLarry Clark directed _Kids_ (1995); Robert Longo directed _Johnny Mnemonic_ (1995); David Salle directed _Search and Destroy_ (1995); Julian Schnabel directed _Basquiat_ (1996); and Cindy Sherman directed _Office Killer_ (1997). On artists making films, see Thyrza Nichols Goodeve, \"Fade to Blue,\" _Guggenheim Magazine_ , no. 10, Spring 1997, pp. 40\u201347.\n\nOn Horn's film and installation work, see Giuliana Bruno, \"Interiors: Anatomies of the Bride Machine,\" in _Rebecca Horn_ , New York: Guggenheim Museum, 1993 (exhibition catalogue), with complete filmography and bibliography.\n\nOn one of the films of the Cremaster series, see Matthew Barney, _Cremaster 5_ , New York: Barbara Gladstone Gallery, 1997 (exhibition catalogue). Other work in the series includes _Cremaster 1_ (1995), _Cremaster 4_ (1994), and _Cremaster 2_ (1999).\n\nOn Jacobs's work see Bart Testa, _Back and Forth: Early Cinema and the Avant-Garde_ , Toronto: Art Gallery of Ontario, 1993 (exhibition catalogue); and William C. Wees, _Recycled Images: The Art and Politics of Found Footage Films_ , New York: Anthology Film Archives, 1993. On Conner, see _Bruce Conner: Sculpture\/Assemblages\/Drawings\/Films_ , Waltham, Mass.: Rose Art Museum, Brand\u00e9is University, 1965 (exhibition catalogue); Anthony Reveaux, _Bruce Conner_ , Minneapolis: Walker Art Center, and St. Paul: Film in the Cities, 1981; Scott MacDonald, \"I Don't Go to the Movies Anymore: An Interview with Bruce Conner,\" _Afterimage_ , vol. 10, nos. 1\u20132, Summer 1982, pp. 20\u201323; and Leger Grindon, \"Significance Reexamined: A Report on Bruce Conner,\" _Post Script: Essays in Film and the Humanities_ , vol. 4, no. 2, Winter 1985, pp. 32\u201344.\n\nOn Douglas's work, see, among others, _Stan Douglas_ , Paris: Centre Georges Pompidou, 1993 (exhibition catalogue); and _Stan Douglas: Monodramas and Loops_ , Vancouver: UBC Fine Arts Gallery, 1992 (exhibition catalogue).\n\nKerry Brougher, \"Hall of Mirrors,\" in Russell Ferguson, ed., _Art and Film since 1945: Hall of Mirrors_ , New York: Monacelli Press, and Los Angeles: Museum of Contemporary Art, 1996, p. 137. This catalogue of the exhibition, organized by Brougher, makes a groundbreaking contribution to the subject of the contemporary intersections between film and art. On this subject, see also _A.D. Art and Design_ , special issue \"Art and Film,\" no. 49, 1996.\n\n\"Spellbound: Art and Film\" was held in London at the Hayward Gallery, February 1996. Contributors to the exhibition were Fiona Banner, Terry Gilliam, Douglas Gordon, Peter Greenaway, Damien Hirst, Steve McQueen, Eduardo Paolozzi, Paula Rego, Ridley Scott, and Boyd Webb. See Philip Dodd and Ian Christie, eds., _Spellbound: Art and Film_ , London: British Film Institute and Hayward Gallery, 1996 (exhibition catalogue).\n\nSee Laura Mulvey, \"Cosmetics and Abjection: Cindy Sherman 1977\u201387,\" in _Fetishism and Curiosity_ , Bloomington: Indiana University Press, 1996; and Rosalind Krauss, _Cindy Sherman, 1975\u20131993_ , with an essay by Norman Bryson, New York: Rizzoli International Publications, 1993, which includes a bibliography of the extensive studies of this artist's work. See also _Untitled Film Stills: Cindy Sherman_ , with an essay by Arthur Danto, New York: Rizzoli International Publications, 1990; and Abigail Solomon-Godeau, \"Suitable for Framing: The Critical Recasting of Cindy Sherman,\" _Parkett_ , no. 29, 1991, pp. 112\u201321.\n\nSee his own assessment of this exchange in Victor Burgin, _Between_ , London: Institute of Contemporary Art, 1986 (exhibition catalogue). See also _Victor Burgin: Passages_ , Villeneuve d'Ascq: Mus\u00e9e d'art moderne de la Communaut\u00e9 Urbaine de Lille, 1991; Burgin, _Some Cities_ , Los Angeles: University of California Press, 1996; and Burgin, _In\/different Spaces: Place and Memory in Visual Culture_ , Los Angeles: University of California Press, 1996. See also Jean Fisher, \"Chasing Dreams: Victor Hitchcock and Alfred Burgin,\" _Artforum_ , no. 22, no. 9, May 1984, pp. 39\u201343.\n\nSee, in particular, Blau's _The Conversation Piece_ (1993\u201395), installed at Sperone Westwater, New York, 7 September-30 October 1993; _The Naturalist Gathers_ , installed at SteinGladstone, New York, 1992; and the exhibition _Stills_ , organized by Blau as guest curator at the Museum of Modern Art, New York, 14 July-11 October 1994. This exhibition reworked on the wall of the museum the archive of MoMA's film stills, comprising more than four million photographs, mostly publicity stills. This interesting photo-cinematic site of investigation was treated by Blau as a genre of picturing in its own right.\n\nSee _Alain Fleischer 1970\u20131995_ , Barcelona: Fundaci\u00f3 Joan Mir\u00f3, 1996 (exhibition catalogue).\n\nOn Gordon's work, see, among others, Andrew Renton, \"24 Hour Psycho,\" _Flash Art_ , vol. 26, no. 172, November-December 1993; Michael Newman, \"Beyond the Lost Object: From Sculpture to Film and Video,\" _Art Press_ , no. 202, May 1995, pp. 45\u201350; and Amy Taubin, \"Douglas Gordon,\" in Dodd and Christie, eds., _Spellbound_.\n\nFor an analysis of this film, see Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993, especially chapters 4 and 15. On the last occasion I tried to screen the print of _La neuropatologia_ preserved at the film archive of the Museo del Cinema in Turin, the film was too damaged to be viewed. I was glad to see it recirculating in a museum space when _Hysterical_ was presented as part of an exhibition associated with the Hugo Boss Prize 1998, at the Guggenheim Museum Soho, 24 June-20 September 1998, and was the prize winner.\n\nMario Dall'Olio, \"La neuropatologia al cinemat\u00f3grafo,\" _La gazzetta di Torino_ , Turin, 18 February 1908.\n\nI treat Warhol's \"reel\" in my \"Reel Time,\" in _Andy Warhol: A Factory_ , New York: Guggenheim Museum, forthcoming (exhibition catalogue).\n\nSee chapters 5 and 6, in particular, for a discussion of the topoi that follow here, including the mnemonic heterotopias of cinemas and cemeteries.\n\nOn this exhibitionary culture, see Patricia Mainardi, _The End of the Salon: Art and the State in the Early Third Republic_ , New York: Cambridge University Press, 1993.\n\nSee, in particular, chapters 2 and 3.\n\nLibeskind's statement is cited in Michael W. Blumenthal, ed., _Jewish Museum Berlin_ , G + B Arts International, 1999, p. 41. See also Daniel Libeskind, \"Between the Lines,\" _A.D., Architectural Design_ , vol. 67, nos. 9\u201310, September-October 1997, pp. 58\u201363.\n\nThis building was designed over the period 1981\u201387.\n\nFrank Gehry was interviewed by Michael Sorkin in \"Beyond Bilbao,\" _Harper's Bazaar_ , December 1998, p. 261.\n\n _200 Minute Museum_ is a project developed as Hani Rashid's \"Paperless Studio\" at Columbia University's School of Architecture. It was exhibited at the Storefront for Art and Architecture, New York, 12 December 1998. This gallery features a cutout facade designed by Vito Acconci and Steven Holl.\n\nSee Judith Barry, _Projections: Mise en abyme_ , Vancouver: Presentation House Gallery, 1997 (exhibition catalogue); Barry, \"The Work of the Forest,\" _Art and Text_ , no. 42, May 1992, pp. 69\u201375; Barry, _Public Fantasy_ , London: ICA, 1991; Barry, _Ars Memoriae Carnegiensis: A Memory Theatre_ , Pittsburgh: Carnegie Museum of Art, 1991 (exhibition catalogue); Barry, \"Casual Imagination,\" in Brian Wallis, ed., _Blasted Allegories_ , Cambridge: MIT Press, 1987; and Barry, \"Dissenting Spaces,\" in Greenberg, et al., _Thinking about Exhibitions_. See also Barry and Ken Saylor, \"Design Notations,\" in _a\/drift_ , New York: Bard College, 1996 (exhibition catalogue). In their discourse on design space, the authors reappropriate El Lissitzky's 1920s wish for spectatorial, even tactile, agency in the design of the museum gallery.\n\nOn the relation between the museum and the shop, see Chantal Georgel, \"The Museum as Metaphor in Nineteenth-Century France,\" in Scherman and Cogoff, eds., _Museum Culture;_ and Erin Mackie, \"Fashion in the Museum: An Eighteenth-Century Project,\" in Deborah Fausch, Paulette Singley, Rodolphe el-Khoury, and Zvi Efrat, eds., _Architecture: In Fashion_ , Princeton: Princeton Architectural Press, 1994. On the basis of the cultural mapping exposed thus far, I am taking the liberty of adding cinema to these \"metaphors\" and to the genealogy that includes fashion.\n\nSee Pierre Bourdieu, _Distinction: A Social Critique of the Judgment of Taste_ , Cambridge: MIT Press, 1984.\n\nThe notion developed here was introduced in chapter 5. I thank my student Eric R. Keune for a discussion that inspired me to pursue this matter further.\n\nAndre Malraux, _Museum Without Walls_ (1947), trans. Stuart Gilbert and Francis Price, New York: Doubleday, 1967. On the subject of Malraux's _mus\u00e9e imaginaire_ , see Rosalind E. Krauss, \"Postmodernism's Museum without Walls,\" in Greenberg, et al., _Thinking about Exhibitions;_ and Douglas Crimp, \"On the Museum's Ruins,\" in Hal Foster, ed., _The Anti-Aesthetic: Essays on Postmodern Culture_ , Port Townsend, N.Y.: Bay Press, 1983.\n\nDenis Hollier, \"Premises, Premises: Sketches in Remembrance of a Recent Graphic Turn in French Thought,\" in _Premises_ , p. 64.\n\nRosalind Krauss claims that this architecture renders a dimension of Malraux's _mus\u00e9e imaginaire_ as built form. See Krauss, \"Postmodernism's Museum without Walls,\" especially pp. 345\u201346.\n\nStephen Greenblatt, \"Resonance and Wonder,\" in Karp and Lavine, eds., _Exhibiting Cultures_.\n\nAndreas Huyssen, \"Escape from Amnesia: The Museum as Mass Medium,\" in _Twighlight Memories: Marking Time in a Culture of Amnesia_ , New York: Routledge, 1995, p. 15.\n\nOn the force of rituals and psychic dramas enacted in the museum setting, see Carol Duncan, \"Art Museum and the Ritual of Citizenship,\" in Karp and Lavine, eds., _Exhibiting Cultures;_ and Duncan, _The Aesthetics of Power: Essays in Critical Art History_ , Cambridge: Cambridge University Press, 1993.\n\nPierre Nora, \"Between Memory and History: _Les Lieux de M\u00e9moire,\" Representations_ , no. 26, Spring 1989, pp. 12\u201313.\n\nAlfonso Frisiani so describes the daguerreotype's potential future in the _Gazzetta privilegiata di Milano_ , 3 December 1838. As cited in Giuliana Scim\u00e9, _On Paper_ , January-February 1997, p. 28.\n\nYi-Fu Tuan, _Topophilia: A Study of Environmental Perception, Attitudes, and Values_ , New York: Columbia University Press, 1990 (new edition with a new preface). See also Tuan, _Space and Place: The Perspective of Experience_ , Minneapolis: University of Minnesota Press, 1977, which also offers some insights on lived space and the body, with a hint of architectural awareness. This book, however, is embedded in the same problematic systems as the previous one.\n\nRobert Harbison, _Eccentric Spaces_ , New York: Avon Books, 1977, especially chapter 7.\n\nThis is the thesis Schama presents in his _Landscape and Memory_.\n\nFor a discussion of Whiteread's work, see chapter 3.\n\nA beginning approach to landscape in film that touches on this subject can be found in the special issue of _Wide Angle_ on \"Landscape and Place,\" ed. Widdicombe Schmidt and Michael Naimark, vol. 15, no. 4, December 1993.\n\nSee Alain Corbin, _The Lure of the Sea: The Discovery of the Seaside 1750\u20131840_ , trans. Jocelyn Phelps, London: Penguin Books, 1994; and John R. Stilgoe, _Alongshore_ , New Haven: Yale University Press, 1994. For another perspective on oceanic life, see Allan Sekula, _Fish Story_ , Rotterdam: Center for Contemporary Art, 1995; and on maritime landscape, Renzo Dubbini, _Geografie dello sguardo: visione e paesaggio in et\u00e0 moderna_ , Turin: Einaudi, 1994, chapter 6.\n\nSee _Doris Salcedo_ , New York: New Museum of Contemporary Art, 1998 (exhibition catalogue), as discussed in chapter 3.\n\nGaston Bachelard, _The Poetics of Space_ , trans. Maria Jolas, Boston: Beacon Press, 1969, pp. 10, 62.\n\n**11 Views from Home**\n\nOn this subject, see, among others, Giulio Pane and Vladimiro Valerio, _La citt\u00e0 di Napoli tra vedutismo e cartografia_ , Naples: Grimaldi, 1987 (exhibition catalogue); and _All'ombra del Vesuvio: Napoli nella veduta europea dal Quattrocento all'Ottocento_ , Naples: Electa, 1990 (exhibition catalogue).\n\nSee Cesare de Seta, ed., _Citt\u00e0 d'Europa: Iconografia e vedutismo dal XV al XIX secolo_ , Naples: Electa, 1996.\n\nSee Vladimiro Valerio, \"Il duca di Noja e la cartografia napoletana,\" in _Arte e scienza per il disegno del mondo_ , Milan: Electa, 1983 (exhibition catalogue), which contains other bibliographic information on this map.\n\nCharles Dickens, _Pictures from Italy_ , New York: Coward, McCann and Geoghegan, 1974, pp. 214\u201315.\n\nOn Naples and the grand tour, see Cesare de Seta, _L'Italia del Grand Tour da Montaigne a Goethe_ , Naples: Electa, 1992; de Seta, \"L'ltalia nello specchio del Grand Tour,\" in _Storia d'Italia_ , vol. 5, Turin: Einaudi, 1982; Attilio Brilli, _Il viaggio in Italia: Storia di una grande tradizione culturale_ , Milan: Silvana Editoriale, 1987; Gianni Eugenio Viola, ed., _Viaggiatori del Grand Tour in Italia_ , Milan: Touring Club Italiano, 1987; and Pierre Pinon, \"Le Voyage d'Italie,\" in _Architecture: recits, figures, fictions, Cahiers du CCI_ , no. 1, Paris: Editions du Centre Pompidou\/CCI, 1986.\n\nSee Richard D. Altick, _The Shows of London_ , Cambridge: Harvard University Press, 1978.\n\nSee _Trois si\u00e8cles de papiers peints_ , Paris: Mus\u00e9e des Arts D\u00e9coratifs, 1967 (exhibition catalogue), pp. 46 and 81; and _Papiers peints panoramiques_ , Paris: Flammarion and Mus\u00e9e des Arts D\u00e9coratifs, 1998, p. 301.\n\n _Art Journal_ , N.S. 7, 1861, p. 319, as cited in Ralph Hyde, _Panoramania!: The Art and Entertainment of the 'All-Embracing' View_ , London: Trefoil, in association with the Barbican Art Gallery, 1988, p. 38.\n\nThomas Bernhard's statement is cited in Fabrizia Ramondino and Andreas Friedrich M\u00fcller, eds., _Dadapolis: Caleidoscopio napoletano_ , Turin: Einaudi, 1989, p. 181 (my translation). The book offers a collage of writings on Naples.\n\nAn occasion to review the image of Naples on film was offered to me when I served as consultant for a film retrospective on Naples held at the Museum of Modern Art, New York (12 November 1993\u20137 January 1994). The subject of Naples in film is treated in Adriano Apr\u00e0, ed., _Napoletana: Images of a City_ , Milan: Fabbri Editori, 1993 (exhibition catalogue), to which I contributed the essay \"Voyage to Naples: A City Viewed, Traversed and Displaced,\" in which some aspects of the image of the city in film developed here had their initial formulation.\n\nFrancois Dagognet, _Etienne-Jules Marey: A Passion For the Trace_ , trans. Robert Galeta with Janine Herman, New York: Zone Books, 1992, p. 8.\n\n _La pelle_ was inspired by the novel of the same title (Florence: Vallecchi, 1963) by Curzio Malaparte, owner of Casa Malaparte, the location for Godard's _Contempt_.\n\nOn this notion, see Homi K. Bhabha, _The Location of Culture_ , London and New York: Routledge, 1994.\n\nThe film was based on Patricia Highsmith's literary imagination of the city in her _The Talented Mr. Ripley_ , London: Heinemann, 1966.\n\nFor a discussion of _Contempt_ and Casa Malaparte, see chapter 1.\n\nSee Giuliana Bruno, _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993.\n\nOn Tot\u00f2, see Goffredo Fofi, _Tot\u00f2_ , Rome: Savelli, 1972.\n\nPier Paolo Pasolini, _Lettere luterane_ , Turin: Einaudi, 1976. See, in particular, p. 17.\n\nFrancesco Rosi interviewed by Jean A. Gili, in \"Naples entre la raison et la passion,\" in _Cit\u00e9s-Cin\u00e9s_ , Paris: Editions Ramsey, 1987 (exhibition catalogue), p. 91 (my translation).\n\nThis latter film does so by mixing theater and film in interesting ways. Martone began his film career as a theater director and founder of the experimental group \"Falso movimento.\" He is still prominently active in both theater and film. Martone's directorial debut in film, _Death of a Neapolitan Mathematician_ , established him as a driving force in the rejuvenation of Italian (independent) cinema. _L'amore molesto_ , which is treated further in the next chapter, has been critically acclaimed in Italy and was selected for the Cannes Film Festival. Besides feature films, Martone has made videos, shorts, and documentaries. Among them are the short _Antonio Mastronunzio, pittore sannita_ (1994); _Rasoi_ , from a 1991 performance piece with texts by Enzo Moscato; and _Lucio Amelio\/Terrae motus_ (1993), a documentary on the life and work of the late Lucio Amelio, a Neapolitan gallerist who was a major figure in the Italian art world. For an introduction to Martone's work, see Georgette Ranucci and Stefanella Ughi, eds., _Mario Martone_ , Rome: Dino Audino Editore, 1995.\n\nElsa Morante, unpublished writings from 1952, cited in Ramondino and M\u00fcller, _Dadapolis_ , p. 16.\n\nFor an insider's chronicle of 1990s Italian filmmaking, see Vito Zagarrio, _Cinema italiano anni novanta_ , Venice: Marsilio, 1998.\n\nFor information on Neapolitan cinema, see Maria Cristina De Crescenzo, Antonio Lucadamo, Chiara Masiello, and Adriana Muti, eds., _Napoli, una citt\u00e0 nel cinema_ , Naples: Biblioteca Universitaria, 1995 (exhibition catalogue).\n\nSee chapter 1, fn. 66, for a discussion of the various titles that have accrued to this film.\n\nSee Michel de Certeau, _The Practice of Everyday Life_ , trans. Steven Rendell, Berkeley: University of California Press, 1984, pp. 115\u201322; and Andre Bazin, \"In Defense of Rossellini,\" in _What is Cinema?_ , vol. 2, ed. and trans. Hugh Gray, Berkeley: University of California Press, 1971, p. 98.\n\nFor an astute reading of modes of vision and sightseeing in this film, see Noa Steimatsky, _The Earth Figured: An Exploration of Landscapes in Italian Cinema_ , Ph.D. Dissertation, New York University, 1995, chapter 2. On subjectivity and ways of seeing, see also Alain Bergala, _Voyage en Italie de Roberto Rossellini_ , Crisne\u00e9, Belgium: Editions Yellow Now, 1990.\n\n\"Ingrid Bergman on Rossellini,\" an interview with Robin Wood, _Film Comment_ , vol. 10, no. 4, July-August 1974, p. 14. Peter Brunette, author of the first substantial American study of Rossellini, uses this interview to speak about autobiography in the director's work. See Peter Brunette, _Roberto Rossellini_ , New York: Oxford University Press, 1987, in particular pp. 154\u201371. Other works in English include Peter Bondanella, _The Films of Roberto Rossellini_ , Cambridge: Cambridge University Press, 1993; and Dan Ranvaud, ed., _Roberto Rossellini_ , London: British Film Institute, Dossier no. 8, 1981. For Rossellini's own account see _Il mio metodo_ , ed. Adriano Apr\u00e0, Venice: Marsilio, 1987; and _Quasi un'autobiografia_ , ed. Stefano Roncoroni, Milan: Mondadori, 1987. For an extensive international bibliography, see Adriano Apr\u00e0, ed., _Rosselliniana: Bibliografia internazionale_ , Rome: Di Giacomo Editore, 1987.\n\nSee chapter 6.\n\nAnon., _Beaten Tracks or Pen and Pencil Sketches in Italy by the Authoress of a 'Voyage en Zigzag'_ , London: Longmans, Green, 1866. The 'authoress' remains nameless in the book.\n\nFor a photographic history, see Antonella Russo, with research by Diego Mormorio, \"The Invention of Southernness: Photographic Travels and the Discovery of the Other Half of Italy,\" _Aperture_ , Summer 1993, pp. 58\u201367.\n\nE. and R. Chevallier, _Iter Italicum: Les voyageurs fran\u00e7ais \u00e0 la d\u00e9couverte de LTtalie ancienne_ , Paris: Les Belles Lettres, 1984, p. 78 (my translation).\n\nJohn L. Stoddard, \"Naples,\" in _John L. Stoddard's Lectures_ , vol. 8, Boston: Balch Brothers, 1898, p. 115.\n\nIbid., pp. 132\u201334.\n\nIbid., pp. 176\u201377.\n\nIbid., p. 200.\n\nIbid., pp. 140\u201341.\n\nIn the film, a little girl who is not aware of the \"show\" walks into the frame, but is promptly taken out of view.\n\nSee Edward W. Said, _Orientalism_ , New York: Vintage Books, 1979; and Said, \"Traveling Theory,\" in _The World, the Text and the Critic_ , London: Faber and Faber, 1984.\n\nSee, among others, Georges Van Den Abbeele, _Travel as Metaphor from Montaigne to Rousseau_ , Minneapolis: University of Minnesota Press, 1992.\n\nWalter Benjamin and Asja Lacis, \"Naples,\" in _Reflections_ , ed. Peter Demetz, trans. Edmund Jephcott, New York: Harcourt Brace Jovanovich, 1978, p. 171.\n\nNorman Lewis, _Naples '44: An Intelligence Officer in the Italian Labyrinth_ , London: Eland, 1983, p. 157.\n\nL. Russell Muirhead, _The Blue Guides: Southern Italy_ , London: Ernest Benn, 1959, p. lxxvii.\n\nRoland Barthes, \"The _Blue Guide,\"_ in _Mythologies_ , trans. Annette Lavers, New York: Hill and Wang, 1972, pp. 74\u201375.\n\nMariana Starke, _Travels in Italy between the Years 1792 and 1798_ , 2 vols., London, 1802.\n\nGermaine de Sta\u00ebl, _Corinne, or Italy_ , trans. Avriel H. Goldberger, New Brunswick, N.J.: Rutgers University Press, 1991. The book was first published in 1807.\n\nSee Mary Shelley, _Rambles in Germany and Italy in 1840, 1842, and 1843, 2_ vols. London, 1844.\n\nMrs. [Anna] Jameson, _The Diary of an Ennuy\u00e9e_ , Boston: Ticknor and Fields, 1886, pp. 228\u201331. The book was first published in London in 1826.\n\nMrs. G. Gretton, _The Englishwoman in Italy. Impressions of Life in the Roman States and Sardinia_ , London: Hurst and Blackett, 1860. Mrs. Ashton Yates, _Winter in Italy in a Series of Letters to a Friend_ , London: Henry Colburn Publisher, 1844.\n\nYates, _Winter in Italy_ , vol. 1, pp. 280\u201385.\n\nSee chapter 4.\n\nThe small, private Vuitton museum, located in a Paris suburb, is interestingly housed in the luggage maker's former home, an art nouveau structure connected via a courtyard to the factory, a classic nineteenth-century industrial architecture of iron and glass. The museum exhibits its own architecture and objects of travel collected by the family as well as the history of Vuitton luggage, organized in relation to travel history.\n\nSee Shirley Foster, _Across New Worlds: Nineteenth-Century Women Travellers and Their Writings_ , New York: Harvester Wheatsheaf, 1990, chapters 1 and 2.\n\nJameson, _The Diary of an Ennuy\u00e9e_ , p. 2.\n\nJohann Wolfgang von Goethe, _Italian Journey, 1786\u20131788_ , trans. W. H. Auden and Elizabeth Mayer, New York: Schocken Books, 1968, pp. 176\u201390.\n\nYates, _Winter in Italy_ , pp. 246\u201347.\n\nMarquis de Sade, _Histoire de Juliette_ , in _Oeuvres completes_ , Paris: Pauvert, 1965 (my translation). See also de Sade, \"Naples,\" in _Voyage d'Italie_ , Paris: Tchou Editeur, 1967, pp. 381\u2013457.\n\nTahar Ben Jelloun, _Il Mattino_ , 1989, cited in Ramondino and M\u00fcller, eds., _Dadapolis_ , p. 14 (my translation).\n\nStendhal, _Rome, Naples and Florence_ , trans. Richard N. Coe, London: John Calder, 1959, p. 358.\n\n[Barbara H. Channing], _The Sisters Abroad: or, An Italian Journey_ , Boston: Whittemore, Niles and Hall, 1856, pp. 38\u201344. The first edition of the book was published anonymously, but later editions show the author's name.\n\nDickens, _Pictures from Italy_ , p. 219.\n\nAuguste Laugel, _Italie, Sicile, Boheme: Notes de Voyage_ , Paris: Henri Plon, 1872, cited in Henry James's review of the text in _Nation_ , vol. 16, 27 February 1873, p. 152.\n\nWalter Benjamin, Review of Jakob Job, _Neapel. Reisebilder und Skizzen_ , in _Critiche e recensioni_ , Turin: Einaudi, 1979 (my translation). The text dates from 1928.\n\nHenri Lefebvre, _Writings on Cities_ , trans, and ed. Eleonore Kofman and Elizabeth Lebas, Oxford: Blackwell, 1996, pp. 227\u201338. The citations are from part 4 of the book, where Lefebvre articulates his \"Elements of Rhythmanalysis\" in sections devoted to \"Seen from the Window\" and \"Rhythmanalysis of Mediterranean Cities.\"\n\nSee J. Douglas Porteous, _Landscapes of the Mind: Worlds of Senses and Metaphor_ , Toronto: University of Toronto Press, 1990.\n\nHenry James, _Italian Hours_ , ed. John Auchard, University Park: The Pennsylvania State University, 1992, pp. 303\u201320.\n\nJameson, _The Diary of an Ennuy\u00e9e_ , pp. 197\u2013225.\n\nOn this subject, see Alain Corbin, _The Lure of the Sea: The Discovery of the Seaside in the Western World 1750\u20131840_ , trans. Jocelyn Phelps, London: Penguin Books, 1994, especially pp. 250\u201352.\n\nOn the architecture of the _thermae_ , see Fikret Yeg\u00fcl, _Baths and Bathing in Classical Antiquity_ , Cambridge: MIT Press, and New York: Architectural Historical Foundation, 1992.\n\nMarguerite, Countess of Blessington, _The Idler in Italy_ , 3 vols., London, 1839\u201340.\n\nFrances Elliot, _Diary of an Idle Woman in Italy_ , vol. 1, Leipzig: Bernard Tauchnitz, 1872, pp. 9\u201313.\n\nIbid., vol. 2, p. 302.\n\nWalter Benjamin, \"One Way Street,\" in _One Way Street and Other Writings_ , trans. Edmund Jephcott and Kingsley Shorter, London: Verso, 1985, p. 82.\n\nGustave Flaubert, _Notes de Voyage_ , in _Oeuvres completes_ , Paris: Louis Conard, 1902, pp. 186\u201394 (my translation).\n\nTh\u00e9ophile Gautier, _Arria Marcella_ , in _Little French Masterpieces_ , ed. Alexander Jessup, trans. George Burnham Ives, New York: G. P. Putnam's Sons, 1903, pp. 105\u20136.\n\nDjuna Barnes, _Nightwood_ , New York: New Directions, 1961, pp. 157\u201358. The book was first published in 1937.\n\nThe point regarding Joyce is made by Luciana Bohne in her \"Rossellini's _Viaggio in Italia:_ A Variation on a Theme by Joyce,\" _Film Criticism_ , vol. 3, no. 2, Winter 1979, pp. 43\u201353.\n\nGerard de Nerval, \"Octavie,\" in _Les Filles du feu_ , Paris: Astr\u00e9e, 1957, p. 214 (my translation).\n\nThis is a place where one may even think of informing the dead of a great victory at a soccer game by putting a huge banner on the gate of the cemetery: \"You have no idea what you have missed.\"\n\nHenry James, _Italian Hours_ , p. 320.\n\nSimone de Beauvoir, ed., _Witness to My Life: The Letters of Jean-Paul Sartre to Simone de Beauvoir, 1926\u20131939_ , trans. Lee Fahnestock and Norman MacAfee, New York: Charles Scribner's Sons, 1992, pp. 64\u201367. This letter, which reports on the journey de Beauvoir and Sartre made to Naples, is written by Sartre and addressed to Olga Kosakiewicz.\n\nSee Matilde Serao, _Il ventre di Napoli_ , Milan: Treves, 1884.\n\nJean-Paul Sartre's description of Naples, written in 1936, was published in _II Mattino_ , February 1982 (my translation).\n\nde Sta\u00ebl, _Corinne_ , pp. 197\u201399.\n\nAnna Maria Ortese, \"La citt\u00e0 involuntaria,\" in _II mare non bagna Napoli_ , Milan: Rizzoli, 1975, pp. 61\u201363 (my translation).\n\nSusan Sontag, _The Volcano Lover: A Romance_ , New York: Doubleday, 1992.\n\nDorothy Carrington, _The Traveller's Eye_ , New York: Pilot Press, 1947, p. 55.\n\nSee Horace Walpole, _History of the Modern Taste in Gardening_ (1771\u201380), in his _Anecdotes of Painting in England_ , London, 1782.\n\n**12 _My_ \"Voyage in Italy\"**\n\nSigmund Freud, _The Interpretation of Dreams_ , Standard Edition of the Complete Psychological Works, vol. 5, trans. J. Strachey, London: Hogarth, 1955\u201373, p. 385.\n\nOn Bourgeois's cells and memory sites, see Charlotta Kotik, Terrie Sultan, and Christian Leigh, _Louise Bourgeois: The Locus of Memory, Works 1982\u20131993_ , New York: Harry N. Abrams, 1994 (exhibition catalogue). See also Marie-Laure Bernadec, _Louise Bourgeois_ , Paris: Flammarion, 1996; Christiane Meyer-Thoss, _Louise Bourgeois: Designing for Free Fall_ , Zurich: Ammann Verlag, 1992; and Lucy Lippard, Rosalind Krauss, et al., _Louise Bourgeois_ , Frankfurt: Frankfurter Kunstverein, 1989 (exhibition catalogue).\n\nElena Ferrante, _L'amore molesto_ , Rome: Edizioni e\/o, 1992.\n\nInterview with Mario Martone by Mario Sesti, in Georgette Ranucci and Stefanella Ughi, eds., _Mario Martone_ , Rome: Dino Audino Editore, 1995, p. 56 (my translation).\n\nStendhal, _Rome, Naples and Florence_ , trans. Richard N. Coe, London: John Calder, 1959, p. 350.\n\nSee my \"Ramble City: Postmodernism and _Blade Runner,\" October_ , no. 41, Fall, 1987, pp. 61\u201364; reprinted in Annette Kuhn, ed., _Alien Zone: Cultural Theory and the Science Fiction Film_ , London: Verso, 1990. I have written on Naples' city films in _Streetwalking on a Ruined Map_ , Princeton: Princeton University Press, 1993; and in \"City Views: Naples and the Cinema,\" _The Museum of Modern Art Quarterly_ , Fall 1993. On Naples and New York, see my \"City Views: The Voyage of Film Images,\" in David B. Clarke, ed., _The Cinematic City_ , New York: Routledge, 1997.\n\nThe coincidence of our intellectual narratives was illuminated for me by Paola Malanga in her review of my book _Rovine con vista_ (Milan: La Tartaruga, 1995), entitled \"Rovine con vista,\" _Lapis_ , no. 31, September 1996, pp. 60\u201361.\n\nInterview with Mario Martone by Giuseppe Martino, in Lucilla Albano, ed., _Il racconto tra letteratura e cinema_ , Rome: Bulzoni Editore, 1997, pp. 132\u201336 (my translation).\n\nJulia Kristeva, _Strangers to Ourselves_ , trans. Lon S. Roudiez, New York: Columbia University Press, 1991, especially chapter 1, in which Kristeva, speaking of the silence of polyglots, ventures to put herself in the picture.\n\nSee Julia Kristeva, _La r\u00e9volte intime: Pouvoirs et limites de la psychanalyse II_ , Paris: Fayard, 1997, p. 8. _Revolt_ contains the ancient roots of \"wel\" and \"welu,\" which evolved into \"volume\" as well as \"return.\"\n\nSee Maria Antonietta Macciocchi, _Cara Eleonora_ , Milan: Rizzoli, 1993, a book devoted to Eleonora Fonseca Pimentel and her role in the Neapolitan revolution of 1799; and Jean-No\u00ebl Schifano, _Cronache napoletane_ , trans. Carmen Micillo and Felice Piemontese, Naples: Tullio Pironti Editore, 1992.\n\nSee Iain Chambers, _Migrancy, Culture, Identity_ , London: Routledge, 1994, pp. 104\u20137, in which he voyages \"Under Vesuvius\" and in which Naples is read as an example of \"Cities without Maps\"; and Chambers, _Border Dialogues: Journeys in Postmodernity_ , London: Routledge, 1990.\n\nFabrizia Ramondino, _Star di casa_ , Milan: Garzanti, 1991; and Ramondino, _In viaggio_ , Turin: Einaudi, 1995.\n\nRamondino, _Star di casa_ , p. 8 (my translation).\n\nErmanno Rea, _Mistero napoletano_ , Turin: Einaudi, 1995, p. 265 (my translation).\n\nIbid., p. 122 (my translation).\n\nFor a discussion of the notion introduced by Kevin Lynch and developed by Fredric Jameson, see chapters 3, 7, and 8.\n\nMichel Foucault, \"What is an Author?,\" in _Language, Counter-memory, Practice_ , ed. Donald F. Bouchard, trans. Bouchard and Sherry Simon, New York: Cornell University Press, 1977, p. 138.\n\nHenri Lefebvre, _The Production of Space_ , trans. Donald Nicholson-Smith, Oxford: Blackwell, 1992, p. 251.\n\nIn particular, the self-analytic discourse of theory, as Edward Said has claimed, must be understood within a dynamic relation to the place and time from which it emerges. See Edward Said, \"Traveling Theory,\" in _The World, The Text and The Critic_ , London: Faber and Faber, 1984, pp. 226\u201347.\n\nSee, in particular, chapters 3, 7, and 8.\n\nDonna J. Haraway, \"Situated Knowledges,\" in _Symians, Cyborgs and Women_ , New York: Routledge, 1991, p. 195.\n\nIbid., p. 190. On mappings, see also, Haraway, _Modest Witness_ , New York: Routledge, 1997.\n\nSee, in particular, Homi K. Bhabha, \"The World and the Home,\" _Social Text_ , nos. 31\u201332, 1992, pp. 141\u201353; and Bhabha, _The Location of Culture_ , London: Routledge, 1994.\n\nSee, among others, James Clifford, _Routes: Travel and Translation in the Late Twentieth Century_ , Cambridge: Harvard University Press, 1997, in particular the chapter \"Traveling Cultures\"; and Clifford and George Marcus, eds., _Writing Culture: The Poetics and Politics of Ethnography_ , Berkeley: University of California Press, 1986.\n\nClifford, \"Notes on Travel and Theory,\" _Inscriptions_ , no. 5, 1989, p. 177.\n\nAnnette Kuhn, _Family Secrets_ , London: Verso, 1995, p. 28.\n\nTrinh T. Minh-ha, _Woman, Native, Other: Writing Postcoloniality and Feminism_ , Bloomington: Indiana University Press, 1989, p. 39.\n\nSee chapter 7 for a discussion of this theoretical imaging, built on a reading of the portrait of Theoria in Cesare Ripa, _Iconologia_ , Rome: Heredi di Gio. Gigliotti, 1593.\n\nRemo Bodei, _Geometria delle passioni: Paura, speranza, felicita: filosofia e uso politico_ , Milan: Feltrinelli, 1991.\n\nOn the relation of space to \"bodily lived experience,\" see Lefebvre, _The Production of Space_.\n\nWalter Benjamin, review of Jakob Job, _Neapel. Reisebilder und Skizzen_ , cited in Fabrizia Ramondino and Andreas Friedrich M\u00fcller, eds., _Dadapolis_ , Turin: Einaudi, 1989, p. 89 (my translation).\n\nAlfred D\u00f6blin, _Destiny's Journey_ , ed. Edgar P\u00e4ssler, trans. Edna McCown, New York: Paragon House, 1992, pp. 111\u201312.\n\nWalter Benjamin, _Charles Baudelaire: The Lyric Poet in the Era of High Capitalism_ , trans. Harry Zohn, London: Verso, 1973, p. 172. Benjamin quotes here from _Diary of a Madman_ (Paris, 1907).\n\nSvetlana Alpers, _The Art of Describing: Dutch Art in the Seventeenth Century_ , Chicago: University of Chicago Press, 1983, pp. 126\u201327.\n\nIbid., p. 127.\n\nJonathan Crary reads these two portraits as representing the paradigm of the Cartesian camera obscura, where the room becomes a site of projection of the world, to be examined by the mind. See Jonathan Crary, _Techniques of the Observer: On Vision and Modernity in the Nineteenth Century_ , Cambridge: MIT Press, 1990, pp. 43\u201346.\n\nSee Svetlana Alpers, \"The Strangeness of Vermeer,\" _Art in America_ , May 1996, p. 68. On Vermeer and cartography, see also James A. Welu, \"Vermeer: His Cartographic Sources,\" _Art Bulletin_ , no. 57, 1975, pp. 539\u201347; and Welu, \"The Map in Vermeer's _Art of Painting,\" Imago Mundi_ , no. 30, 1978, pp. 9\u201330. See also Daniel Arasse, _Vermeer, Faith in Painting_ , trans. Terry Grabar, Princeton: Princeton University Press, 1994.\n\nHiroshi Sugimoto's statement is cited from the wall text of his exhibition at the Metropolitan Museum of Art in New York, 21 November 1995\u201314 January 1996. See chapters 1, 9, and 10 for further treatment of these pictures.\n\nRoger Caillois, \"Mimicry and Legendary Psychasthenia,\" _October_ , no. 31, Winter 1984, pp. 17\u201332.\n\nSee chapter 7.\n\nSee _Louise Bourgeois: Femme Maison_ , Chicago: The Renaissance Society at the University of Chicago, 1981 (exhibition catalogue). On these topoi in Bourgeois's art, see, in addition to the works mentioned earlier in this chapter, Lucy Lippard, \"Louise Bourgeois: From the Inside Out,\" in _From the Center, Feminist Essays on Women's Art_ , New York: Dutton, 1976; and Christian Leigh, \"Room, Doors, Windows, Making Entrances and Exits (When Necessary): Louise Bourgeois's Theatre of the Body,\" _Balc\u00f3n_ , nos. 8\u20139, 1992, pp. 142\u201355.\n\nLouise Bourgeois, _Album_ , New York: Peter Blum, 1994. See also Bourgeois, _Destruction of the Father\/Reconstruction of the Father: Writings and Interviews 1923\u20131997_ , Cambridge: MIT Press, in association with London: Violette Editions, 1998. See also Jerry Gorovoy, _Louise Bourgeois, Blue Days and Pink Days_ , Milan: Fondazione Prada, 1997 (exhibition catalogue); and _Louise Bourgeois: sculptures, environments, dessins, 1938\u20131995_ , Paris: Mus\u00e9e de l'Art Moderne de La Ville de Paris, 1995 (exhibition catalogue), all including further bibliographical reference.\n\nRosi Braidotti, _Nomadic Subjects: Embodiment and Sexual Difference in Contemporary Feminist Thought_ , New York: Columbia University Press, 1994, p. 14.\n\nChantal Akerman, audio recording from the installation _Bordering on Fiction: Chantal Akerman's \"D'Est,\"_ organized by the Walker Art Center, Minneapolis; exhibited at the Jewish Museum, New York, 23 February-27 March 1997.\n\n## **List of Illustrations**\n\n**1 Site-Seeing: The Cine City**\n\n1.1. Caf\u00e9 and Cinema de L'Aubette, Strasbourg, 1928. Theo van Doesburg, architect. _Page 14_\n\n1.2. Interior of the Titania Palace Cinema, Berlin, 1928. Sch\u00f6ffler, Schl\u00f6nbach and Jacobi, architects. _Page 17_\n\n1.3. Time-space revealed in _Pan-American Exposition by Night_ (Edison, 1901). Frame enlargements. _Pages 18-19_\n\n1.4. The city becomes cityscape in _Panorama from Times Building, New York_ (American Mutoscope and Biograph, 1905). Frame enlargements. _Pages 18\u201319_\n\n1.5. The architecture of urban motion in _Panorama of the Flatiron Building_ (American Mutoscope and Biograph, 1903). Frame enlargements. _Pages 20\u201321_\n\n1.6. \"Tracking\" the landscape in _Panoramic View of Boston Subway from an Electric Car_ (Edison, 1901). Frame enlargements. _Pages 20\u201321_\n\n1.7. Traveling from streetscape to cityscape in _Panorama of Eiffel Tower_ (Edison, 1900). Frame enlargements. _Pages 22\u201323_\n\n1.8. A vista of the filmic-urban \"ray\" in _Paris qui dort_ (Rene Clair, 1923). Frame enlargements. _Page 22_\n\n1.9. The movie house comes to life in _The Man with the Movie Camera_ (Dziga Vertov, 1929). Frame enlargements. _Pages 24\u201325_\n\n1.10. The makeup of urban emotion, from _The Man with the Movie Camera_. Frame enlargements. _Pages 24\u201325_\n\n1.11. Set design in _L'Inhumaine_ (Marcel L'Herbier, 1924). Frame enlargement. _Page 26_\n\n1.12. The lure of the city \"projected\" on the screen of _Sunrise_ (F. W. Murnau, 1927). Frame enlargements. _Page 27_\n\n1.13. Screening architecture in _The Eountainhead_ (King Vidor, 1949). Frame enlargements. _Page 28_\n\n1.14. Urban ruins in _Mamma Roma_ (Pier Paolo Pasolini, 1962). Frame enlargement. _Page 31_\n\n1.15. On the staircase of Casa Malaparte in an emotional sequence of _Contempt_ (Jean-Luc Godard, 1963). Frame enlargement. _Page 38_\n\n1.16. Motion pictures animate the movie house in _The Man with the Movie Camera_. Frame enlargement. _Page 41_\n\n1.17. The emotion of motion in the city traversed by _The Man with the Movie Camera_. Frame enlargements. _Pages 42\u201343_\n\n1.18. The Ufa Cinema, located in the Turmstrasse, Berlin, 1924. Fritz Wilms, architect. _Page 43_\n\n1.19. Lobby of the Titania Palace Cinema, Berlin. _Page 44_\n\n1.20. Lobby of the Savoy Theatre, London. _Page 44_\n\n1.21. An \"optical flying machine\": interior of the Film Guild Cinema, New York City, 1928. Frederick Kiesler, architect. (Courtesy of Lillian Kiesler) _Page 45_\n\n1.22. Urban garden as interior landscape: Loew's Paradise Theatre, 1929, Bronx, New York, an atmospheric movie palace. John Eberson, architect. (Courtesy of Theatre Historical Society of America, Elmhurst, Illinois) _Page 49_\n\n1.23. Picturing the movie house: Hiroshi Sugimoto, _Kino Panorama, Paris_ , 1998. Black-and-white photograph. (Courtesy of the artist and Sonnabend, New York) _Page 51_\n\n**2 A Geography of the Moving Image**\n\n2.1. \"Her\" vision in _Hiroshima mon amour_ (Alain Resnais, 1959). Frame enlargements. _Page 54_\n\n2.2. Bernard Tschumi Architects, plan for \"Cinematic Promenade,\" Pare de La Villette, Paris, 1982\u201397. Detail. (Courtesy of Bernard Tschumi) _Page 57_\n\n2.3. Windows as frames in Toba Khedoori's _Untitled (Windows)_ , 1994\u201395. Oil and wax on paper. Detail. (Private collection. Courtesy of the artist; Regen Projects, Los Angeles; and David Zwirner, New York) _Page 59_\n\n2.4. Aerial map of the city of Vienna, in a photocollage by Gabriele D'Annunzio, 1918. (Courtesy of Aerofototeca, Istituto Centrale per il Catalogo e la Documentazione, Rome) _Page 61_\n\n2.5. An interior map: pelvic sonogram, 1993. (Courtesy of Giuliana Bruno) _Page 63_\n\n2.6. Jan Brueghel, _Allegory of Touch_ , 1618. Oil on wood. Detail. (Courtesy of Museo del Prado, Madrid) _Page 65_\n\n2.7. Guy Debord and Asger Jorn, _Guide psychog\u00e9ographique de Paris_ , a situationist psychogeographic map that drafts the discourse of passions in \"the naked city.\" (Copenhagen: Perlmild and Rosengreen, 1957) _Page 68_\n\n**3 Traveling Domestic: The Movie \"House\"**\n\n3.1. Of flesh and bone: Guillermo Kuitca, _Untitled (Torino)_ , 1993\u201395. Mixed media on canvas. (Private collection, Turin. Courtesy of Sperone Westwater, New York) _Page 74_\n\n3.2. The doors of passage in _Playtime_ (Jacques Tati, 1967). Frame enlargements. _Page 82_\n\n3.3. A woman looks inside out: the journey of dwelling in _Playtime_. Frame enlargements. _Page 84_\n\n3.4. Architectural dissection in Toba Khedoori's _Untitled (House), 1995_. Oil and wax on paper. Detail. (Collection of Sammlung Hauser and Wirth, Zurich. Courtesy of the artist; Regen Projects, Los Angeles; and David Zwirner, New York) _Page 87_\n\n3.5. Harriet is the pillar of the house in _Craig's Wife_ (Dorothy Arzner, 1936). Frame enlargements. _Page 88_\n\n3.6. Movements in the house: an apartment plan by Bruno Taut for _The New Dwelling: Woman as Creator_. (From Bruno Taut, _Die Neue Wohnung: Die Frau als Sch\u00f6pferin_ , Leipzig: Bei Klinkhardt and Biermann, 1924) _Page 93_\n\n3.7. The map of the _Red Desert_ (Michelangelo Antonioni, 1964). Frame enlargements. _Page 97_\n\n3.8. An architectural-filmic scroll in the opening sequence of _La notte_ (Michelangelo Antonioni, 1961). Frame enlargement. _Page 99_\n\n3.9. Sites of passage in _Les Rendez-vous d'Anna_ (Chantal Akerman, 1978). Frame enlargements. _Pages 100\u20131_\n\n3.10. Refocusing the journey of dwelling: Seton Smith, _Curving Windows and Stairs_ , 1996. Cibachrome print. (Courtesy of the artist) _Page 104_\n\n3.11. Moving beyond mapping _Until the End of the World_ (Wim Wenders, 1991). Frame enlargement. _Page 108_\n\n**4 Fashioning Travel Space**\n\n4.1. Self-portrait of Esther Lyons, travel lecturer, 1897. Black-and-white photograph. (From Esther Lyons, ed., _Esther Lyons' Glimpses of Alaska: A Collection of Views of the Interior of Alaska and the Klondike District, from photographs by Veazie Wilson, compiled by Miss Esther Lyons_ , Chicago: Rand, McNally, 1897. Courtesy of the Harvard College Library, Harvard University) _Page 110_\n\n4.2. School of Fontainebleau, _Lady at Her Toilette_ , c. 1550. Oil on wood. (Courtesy of Oeffentliche Kunstsammlung Basel, Kunstmuseum. Photo: Oeffentliche Kunstsammlung Basel, Martin B\u00fchler) _Page 110_\n\n4.3. A design to mobilize private life: Louis Vuitton, foldable traveling bed, 1878. (Courtesy of Archives Louis Vuitton, Paris) _Page 117_\n\n4.4. Travel fashions: a modern _voyageuse_ \"ready-made\" for air travel. (Courtesy of Archives Louis Vuitton, Paris) _Page 122_\n\n4.5. Women shop for a mobile \"container\" for their image at the Wanamaker Department Store in fin-de-si\u00e8cle New York. (Courtesy of Archives Louis Vuitton, Paris) _Page 124_\n\n4.6. Fashioning space: Nellie Bly \"suited\" for an around-the-world tour in 1889, with one dress and a compact suitcase. (By permission of The Houghton Library, Harvard University) _Page 126_\n\n4.7. The well-traveled suitcase packed with memories, as exhibited in the Sala Femenina of the \"Sentimental Museum\" of Frederic Mar\u00e8s, Barcelona. (Courtesy of Museu Frederic Mar\u00e8s, Barcelona. Photo: Antonio Lerma) _Page 128_\n\n**5 The Architecture of the Interior**\n\n5.1. Interior view of the collection of Athanasius Kircher, as shown on the frontispiece of _Romani Collegii Societatis Jesu Musaeum Celeberrimum_ , Amsterdam: Iassonio-Waesbergiana, 1678. (By permission of The Houghton Library, Harvard University) _Page 132_\n\n5.2. The Anatomical Theater in Bologna, 1638\u201349 (reconstructed), with a statue by Ercole Lelli of the Spellati (\"flayed figures\"), 1735. _Page 136_\n\n5.3. A map of gender difference from Giovan Battista Della Porta's _Della fisonomia dell'huomo_ , vol. 5, Padua: Pietro Paolo Tozzi, 1627. (Courtesy of Giuliana Bruno) _Page 139_\n\n5.4. Picturing the character of passions: Charles Le Brun and Sebastien Le Clerc, _Caracteres des passions graves sur les dessins_ , Paris, 1696. (Courtesy of Department of Printing and Graphic Arts, The Houghton Library, Harvard University) _Page 141_\n\n5.5. _amotions_ painted on glass for magic lantern shows, c. 1750\u20131800. Detail of sequence showing desperation-ire-spiritual rapture. (Collection of Museo Nazionale del Cinema, Turin) _Page 143_\n\n5.6. The magic lantern in the shadow of death, from Athanasius Kircher's _Ars magna lucis et umbrae_ , Rome: Sumptibus Hermanni Scheus, 1646. (By permission of The Houghton Library, Harvard University) _Page 144_\n\n5.7. Title page from Robert Burton's 1621 book _The Anatomy of Melancholy_ , London: George Bell and Sons, 1893. (Courtesy of The Francis A. Countway Library of Medicine, Harvard University) _Page 145_\n\n5.8. _He is Free_ , a mesmerizing architectural twist on gender in a drawing by Jean-Jacques Lequeu, 1798\u201399. (Courtesy of Biblioth\u00e8que Nationale de France, Paris. Cabinet des estampes) _Page 150_\n\n5.9. The environment as charted in the interior of a botanical garden, in the anonymous engraving _Hortus Botanicus at Leiden_ , 17th century. _Page 153_\n\n5.10. \"Bo\u00eete de salon,\" a French optical box fashioned as an object of interior design, 1750. (Courtesy of Cinematheque Fran\u00e7aise, Paris. Collection des appareils) _Page 156_\n\n5.11. Sequence of daytime and nighttime city life in an optical view of Piazza San Marco, Venice, 1862. (Courtesy of Cinematheque Fran\u00e7aise, Paris. Collection des appareils) _Page 157_\n\n5.12. A world turned outside in: sectional view of the interior of James Wyld's \"Great Globe.\" (From _Illustrated London News_ , 7 June 1851) _Page 162_\n\n5.13. Interior and plan of a cosmorama showing how to voyage in a room. (From _La belle assembl\u00e9e_ , 1 December 1821. Courtesy of the Harvard College Library, Harvard University) _Page 163_\n\n5.14. Panoramic wallpaper: interior decor envisions _Les Grands Boulevards de Paris_ , c. 1855. Detail. (Courtesy of Mus\u00e9e des Arts D\u00e9coratifs, Paris) _Page 165_\n\n5.15. Ladies' panoramic interior in Wilhelm Rehlen's _Le Salon des princesses Sophie et Marie de Baviere \u00e0 Nymphenburg_ , c. 1820. (Courtesy of Wittelsbacher Ausgleichsfonds, Munich) _Page 167_\n\n5.16. Cinema before cinema: moving images unfold from an apparatus used for rolling panoramic wallpaper, 19th century. (Courtesy of Galerie Perrin, Paris) _Page 168_\n\n**6 Haptic Routes: View Painting and Garden Narratives**\n\n6.1. Giovanni Paolo Panini, _Picture Gallery with Views of Modern Rome_ , 1757. Oil on canvas. (Courtesy of the Museum of Fine Arts, Boston. Reproduced with permission. \u00a9 1999 Museum of Fine Arts, Boston. All Rights Reserved) _Page 170_\n\n6.2. A lady's viewing accoutrement: fan displaying a scene of the Grove at Vauxhall Gardens, London. _Page 175_\n\n6.3. Jacopo de' Barbari, _Bird's-eye View of Venice_ , 1500. Woodcut. _Page 176_\n\n6.4. Narratives in moving perspective: the inhabited architecture of Jan Vredeman de Vries's _Perspective_ , The Hague and Leiden: Hondius, 1604\u20135. (By permission of The Houghton Library, Harvard University) _Page 179_\n\n6.5. John Rocque, _Garden Plan of Chiswick House, Middlesex_ , 1736. _Page 180_\n\n6.6. Narrativized space in a sequence by O. B. Bunce depicting New York's _Washington, Madison and Union Squares_. Woodcut. (From William Cullen Bryant, ed., _Picturesque America, or The Land We Live In_ , vol. 2, New York: D. Appleton and Company, 1874) _Page 188_\n\n6.7. A view scrolls out from a portable decorative case: Robert Havell, Jr., _Costa Scena_ , 1823. Colored aquatint. (Private collection. Courtesy of Barbican Art Galleries, Barbican Centre, London) _Page 190_\n\n6.8. Anonymous, _A Perspective View of the Grand Walk in the Vauxhall Gardens, and the Orchestra_ , 1765. Engraving. (Courtesy of The Harvard Theatre Collection, The Houghton Library, Harvard University) _Page 192_\n\n6.9. _]eux de l'amour a Tivoli_ , anonymous portrayal of amorous play. (From Pierre-Jean-Baptiste Nougaret, _Paris metamorphose_ , Paris, 1799) _Page 197_\n\n6.10. A different outlook, as framed in G. M. Towle's _View from Steeple, Boston_. Woodcut. (From William Cullen Bryant, ed., _Picturesque America, or The Land We Live In_ , vol. 2, New York: D. Appleton and Company, 1874) _Page 198_\n\n6.11. A \"global\" panorama: R. R. Reinagle and R. Barker, _Explanation of the View of Rome_ , 1804. Etching. (Collection of Museo Nazionale del Cinema, Turin) _Page 201_\n\n6.12. The circular layout of the Padua Botanic Garden (est. 1545) as portrayed in Giacomo Filippo Tomasini's _Gymnasium Patavinum_ , Udine: Nicola Schiratti, 1654. (By permission of The Houghton Library, Harvard University) _Page 201_\n\n**7 An Atlas of _Emotions_**\n\n7.1. A different kind of \"Atlas\": a woman designs the world on the frontispiece of Jan Barend Elwe's _Atlas_ , Amsterdam, 1792. Detail. _Page 206_\n\n7.2. She has the world at her feet in Gian Lorenzo Bernini's _Monument to Pope Alexander VII_ , 1672\u201378, Saint Peter's Cathedral, Rome. _Page 212_\n\n7.3. The \"enlightened\" female subject in Pietro Longhi's _The Geography Lesson_ , 1752. Oil on canvas. (Courtesy of Fondazione Scientifica Querini Stampalia, Venice) _Page 215_\n\n7.4. _Carte du pays de Tendre_ , the map of tenderness designed by Madeleine de Scud\u00e9ry in her novel _Cl\u00e9lie_ , vol. 1, Paris: Augustin Courb\u00e9, 1654. Engraving by Francois Chauveau. Detail. (Courtesy of Biblioth\u00e8que Nationale de France, Paris) _Page 218_\n\n7.5. A map of love: Tristan L'Hermite, _Royaume d'Amour en l'isle de Cyth\u00e9re_ , c. 1659. Engraving by Jean Sadeler. _Page 228_\n\n7.6. Anonymous, _Carte du Royaume de Coquetterie_ , 1654. Engraving. _Page 229_\n\n7.7. Matthaeus Seutter, map of _The Attack of Love_ , from his _Atlas novus_ , 1745. (Courtesy of Library of Congress, Washington, D.C.) _Page 230_\n\n7.8. O. Soglow, _Main Route of Expedition through the Alimentary Canal_ , 1930. (From George S. Chappell, _Through the Alimentary Canal with Gun and Camera_ , New York: Stokes, 1930) _Page 232_\n\n7.9. Anonymous, _Map of Matrimony_ navigating \"the orbit of affection,\" n.d. (Courtesy of Library of Congress, Washington, D.C.) _Page 233_\n\n7.10. Madeleine de Scud\u00e9ry, _Carte du pays de Tendre_ , 1654. Engraving by Francois Chauveau. (Courtesy of Biblioth\u00e8que Nationale de France, Paris) _Page 236_\n\n7.11. Annette Messager, _Le jardin du tendre_ , 1988. Drawing from the installation at Centre d'art contemporain, Castres, France. (Courtesy of the artist and David Winton Bell Gallery, Brown University) _Page 236_\n\n7.12. Belly buttons punctuate a life story written on a mattress-map in Guillermo Kuitca's _Untitled_ , 1989. Oil on vinyl covered mattress, 3 parts. (Collection of Herbert Cummings Charitable Trust. Courtesy of Sperone Westwater, New York) _Page 239_\n\n7.13. Amorous superimpositions in _Hiroshima mon amour_ (Alain Resnais, 1959). Frame enlargement. _Page 242_\n\n**8 An Archive of Emotion Pictures**\n\n8.1. An archive of habitation: view of Doris Salcedo's untitled installation at the Carnegie International, Pittsburgh, 1995. Detail. (Courtesy of Alexander and Bonin, New York. Photo: Richard Stoner) _Page 246_\n\n8.2. Jan Brueghel, _The Senses of Touch, Hearing, and Taste_ , 1618. Oil on canvas. Detail. (Courtesy of Museo del Prado, Madrid) _Page 248_\n\n8.3. A taste of touch in Peter Greenaway's installation _Watching Water_ , Venice, 1993. Detail of interior view. (Courtesy of the artist and The Vue, London) _Page 249_\n\n8.4. \"Lived Berlin\" as mapped in _Wings of Desire_ (Wim Wenders, 1987). Frame enlargement. _Page 258_\n\n8.5. Frames of mind: Ralph Rumney, _Psychogeographic Map of Venice_ , 1957. Detail. _Page 265_\n\n8.6. Psychic turns of events in Guy Debord and Asger Jorn's _Guide psychog\u00e9ographique de Paris_ , 1957. Detail. _Page 266_\n\n8.7. The fabric of residual history in the architectural and fashion remnants of _Re Construction_ , a store installation by J. Morgan Puett and Shack Inc., New York, 1998. (Courtesy of the artist) _Page 270_\n\n8.8. Traversing a \"gallery\" of maps: Galleria delle carte geografiche, Vatican Palace, Vatican State. (Courtesy of Scala\/Art Resource, New York) _Page 274_\n\n8.9. Screening history in a room: wall maps and globe in the Sala delle carte geografiche (Guardaroba), Palazzo Vecchio, Florence. (Courtesy of Scala\/Art Resource, New York) _Page 276_\n\n8.10. An archive in motion: the traveling library of Sir Thomas Egerton, 1615. (Reproduced by permission of The Huntington Library, San Marino, California) _Page 278_\n\n8.11. An archive of _emotion:_ Rachel Whiteread, _Untitled (Book Corridors)_ , 1997\u201398. Plaster, polystyrene, steel, and wood. (Courtesy of Luhring Augustine, New York) _Page 278_\n\n**9 M Is for Mapping: Art, Apparel, Architecture Is for Peter Greenaway**\n\n9.1. A touch of love in _The Cook, The Thief, His Wife, and Her Lover_ (Peter Greenaway, 1989). Frame enlargement. _Page 282_\n\n9.2. A tear moves down the surface-screen of Georgina's face in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement. _Page 287_\n\n9.3. Dead Michael in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement. _Page 288_\n\n9.4. _Dead Christ_ by Andrea Mantegna, c. 1500. Oil on canvas. (Courtesy of Pinacoteca di Brera, Milan, and Ministero per i Beni e le Attivit\u00e0 Culturali) _Page 289_\n\n9.5. 1798 engraving of midwife Mary Aubrey murdering her husband, renamed _Excesses of Love_ by Georges Bataille in his _The Tears of Eros_ , 1961. Originally published by J. Caulfield, 1 January 1798. (Courtesy of Art and Visual Materials, Special Collections Department, Harvard Law School Library) _Page 290_\n\n9.6. The museum as an interior (re)collection, from the title page of Olaus Worm's _Museum Wormianum seu Historia rerum rariorum_ , Leiden: Elsevir, 1655. (Courtesy of Ernst Mayr Library of the Museum of Comparative Zoology, Harvard University) _Page_ 292\n\n9.7. The book depository, another place of intimate (re)collection, in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement. _Page 293_\n\n9.8. _The Anatomical Theatre of Leiden_ , illustrated by Willem Swanenburgh after J. C. Woudanus, 1616. (Courtesy of Akademisch Historisch Museum der Rijksuniversiteit te Leiden) _Page 296_\n\n9.9. The theater of anatomy in a still from _M Is for Man, Music and Mozart_ (Peter Greenaway, 1991). _Page 297_\n\n9.10. Dome, _domus_ , and belly in _The Belly of an Architect_ (Peter Greenaway, 1986), with remnants of Etienne-Louis Boull\u00e9e's own design. Frame enlargements. _Page 298_\n\n9.11. A filmic map: narrative paths in Peter Greenaway's _The Duchess of Berry Map_ , 1976\u201378. Mixed media on paper. (Courtesy of Giuliana Bruno) _Page 304_\n\n9.12. _The Home of the Roadrunner Map_ , from the film _A Walk through H_ (Peter Greenaway, 1978). Frame enlargements. _Page 305_\n\n9.13. The city as movie theater in Greenaway's _The Stairs 2: Projection_ , Munich, 1995. View of one site of the city-wide installation. (Courtesy of the artist and The Vue, London) _Page 307_\n\n9.14. Film as art installation: view-sensing in _The Belly of an Architect_. Frame enlargement. _Page 309_\n\n9.15. A sense of place: site for view-sensing in Greenaway's city installation _The Stairs 1: The Location_ , Geneva, 1994. (Courtesy of the artist and The Vue, London) _Page 310_\n\n9.16. Museographic exhibition as cinema: Greenaway's treatment of the art collection of Mariano Fortuny in _Watching Water_ , Venice, 1993. Interior view of the installation. (Courtesy of the artist and The Vue, London. Photo: Tilde de Tullio and Federico Brandani) _Page 314_\n\n9.17. Film as art gallery in _The Belly of an Architect_. Frame enlargements. _Page 315_\n\n9.18. The fabric of art fabrication: the clothed Palazzo Fortuny in Greenaway's _Watching Water_ , Venice, 1993. Exterior view of the installation. (Courtesy of the artist and The Vue, London. Photo: Tilde de Tullio and Federico Brandani) _Page 318_\n\n9.19. The fluid architecture of imaging in Greenaway's _Watching Water_ , Venice, 1993. Interior view of the installation. (Courtesy of the artist and The Vue, London. Photo: Claudio Franzini) _Page 318_\n\n9.20. Fashioning the self and space in _The Cook, The Thief, His Wife, and Her Lover_. Frame enlargement. _Page 320_\n\n9.21. Beno\u00eet-Louis Pr\u00e9vost, _Art of Writing: Position of the Body for Writing, and the Holding of the Pen_ , illustration from Charles Paillason's _L'Art d'\u00e9crire_ , Paris, 1763. (Courtesy of Department of Printing and Graphic Arts, The Houghton Library, Harvard University) _Page 324_\n\n9.22. Between the flesh and the writing table: _The Pillow Book_ (Peter Greenaway, 1995). Frame enlargement. _Page 325_\n\n**10 Film and Museum Architexture: Excursus with Gerhard Richter's _Atlas_**\n\n10.1. Pictures become an architecture in Gerhard Richter's _Atlas_ (1962-present). Sheet no. 234: _Rooms_ , 1971. 11 sections of drawing and watercolor on paper, mounted in a sketch of a room. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Amy Hobby) _Page 330_\n\n10.2. A wall of pictures to travel through: view of Richter's _Atlas_ at the Dia Center for the Arts, New York, 1995\u201396. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Amy Hobby) _Page 332_\n\n10.3. An archive of emotion pictures in Richter's _Atlas_. Above, sheet no. 394: _Betty Richter_ , 1978. 3 color photographs, partly painted over and pasted up, individually mounted. Below, sheet no. 397: _Candles_ , 1983. 3 color photographs, 1 collage, partly pasted up, with small sketches, individually mounted. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Cathy Carver) _Page 336_\n\n10.4. A sea of tangible images in Richter's _Atlas_. Sheet no. 184: _Seascapes_ , 1969. 9 collages, each from 2 color photographs individually mounted with adhesive tape. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Cathy Carver) _Page 336_\n\n10.5. In the liminal architecture of Richter's _Atlas_ , the wall is a screen. Sheet no. 222: _Rooms_ , 1970. 5 color photographs, mounted in perspective in sketches of rooms. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Amy Hobby) _Page 337_\n\n10.6. Making room in Richter's _Atlas_. Sheet no. 227: _Rooms_ , 1970. 4 color photographs, mounted in sketches of rooms. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Amy Hobby) _Page 337_\n\n10.7. An archive of urban landscapes in Richter's _Atlas_. Sheet no. 120: _Cities_ , 1968. 12 black-and-white cuttings, aerial photographs from books, marked up cuttings. Detail. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; Dia Center for the Arts, New York; and Luhring Augustine, New York. Photo: Zindman\/Fremont) _Page 348_\n\n10.8. The architecture of memory: traces of cities in a (screening) room in Richter's _Atlas_. Sheet no. 123: _Cities_ , 1968. 4 black-and-white cuttings, aerial photographs mounted in sketches of rooms. Detail. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; and Dia Center for the Arts, New York. Photo: Amy Hobby) _Page 348_\n\n10.9. The landscape of an atlas-album in Richter's _Atlas_. Sheet no. 312: _Capri_ , 1975. 16 color photographs. Detail. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; Dia Center for the Arts, New York; and Luhring Augustine, New York. Photo: Zindman\/Fremont) _Page 349_\n\n10.10. The imprint of topophilia in Richter's _Atlas_. Sheet no. 213: _Clouds_ , 1970. 2 color photographs, marked into divisions and individually mounted. Detail. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; Dia Center for the Arts, New York; and Luhring Augustine, New York. Photo: Zindman\/Fremont) _Page 349_\n\n**11 Views from Home**\n\n11.1. A personal view from a fan that opens to vistas of the landscape. Naples, late 18th century. _Page 360_\n\n11.2. Panoramic wallpaper wrapping the house with _Views of Italy_ , c. 1820\u201325, parts 1\u20135, _The Bay of Naples_. Manufactured by Dufour, Paris; designer anonymous. (Courtesy of Mus\u00e9e des Arts D\u00e9coratifs, Paris) _Page 364_\n\n11.3. A sketch of Naples sent from _The Sisters Abroad: or, An Italian Journey_ by Barbara H. Channing, Boston: Whittemore, Niles and Hall, 1856. (By permission of The Houghton Library, Harvard University) _Page 370_\n\n11.4. A voyageuse at her traveling desk: portable table and library designed by Louis Vuitton, Paris. (Courtesy of Archives Louis Vuitton, Paris) _Page 374_\n\n11.5. The travel vogue of 1896: a model presents a shoe trunk from the collection of Louis Vuitton. (Courtesy of Archives Louis Vuitton, Paris) _Page 376_\n\n11.6. A moving map: Giovanni Carafa, duke of Noja, _Topographical Map of the City of Naples and Its Surroundings_ , 1775, folio 8. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 378_\n\n11.7. The _emotion_ of mapping continues in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 9. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 380_\n\n11.8. The makeup of a woman's voyage: panorama from the dashboard of _Voyage in Italy_ (Roberto Rossellini, 1953). Frame enlargements. _Page 381_\n\n11.9. A panoramic _veduta_ in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 27. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 381_\n\n11.10. A panoramic _veduta_ from _Voyage in Italy_. Frame enlargement. _Page 381_\n\n11.11. Soundscape: \"the orgiastic cult of noise\" in an (un)picturesque city, from _Voyage in Italy_. Frame enlargements. _Pages 382\u201383_\n\n11.12. Intimate views from the car to the streetscape in _Voyage in Italy_. Frame enlargements. _Page 385_\n\n11.13. Flaying the layers of mapping reveals a tangible view of the history of place in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 14. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 386_\n\n11.14. The idler in Italy: _otium_ sinks in during the _Voyage in Italy_. Frame enlargements. _Page 387_\n\n11.15. Statues offer \"the consciousness of their body to the onlooker\": the museum as haptic monument in _Voyage in Italy_. Frame enlargements. _Pages 390\u201391_\n\n11.16. \"Death... makes the dead smaller, as a lover we are beginning to forget dwindles and wastes\": the deathscape of _Voyage in Italy_. Frame enlargements. _Pages 392\u201393_\n\n11.17. \"Stomachically\" speaking in _Voyage in Italy_. Frame enlargements. _Page 394_\n\n11.18. Erupting emotions in _Voyage in Italy_. Frame enlargement. _Page 395_\n\n11.19. This city of ruins is ruinous: geological history as mapped in Carafa's _Topographical Map of the City of Naples, 1775_ , folio 28. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 396_\n\n11.20. Katherine is driven to and from the city and herself during her _Voyage in Italy_. Frame enlargements. _Page 397_\n\n11.21. Emotive morphing: picturing the inner space of a new self in _Voyage in Italy_. Frame enlargements. _Page 398_\n\n11.22. An archaeology of knowledge in Carafa's _Topographical Map of the City of Naples_ , 1775, folio 35. Engraving. (Courtesy of Marisa Zuccaro and Fulvio Santoro) _Page 398_\n\n**12 _My_ \"Voyage in Italy\"**\n\n12.1. House as airport in Guillermo Kuitca's _Coming Home_ , 1992. Acrylic on canvas. Detail. (Collection of Josefina Ayerza, New York. Courtesy of Sperone Westwater, New York) _Page 400_\n\n12.2. Cells of memory: the family house in Louise Bourgeois's _Cell (Choisy)_ , 1990\u201393. Marble, metal, and glass. (Collection of Ydessa Hendeles Art Foundation, Toronto. Courtesy of the artist and Robert Miller Gallery, New York. Photo: Peter Bellamy) _Page 403_\n\n12.3. A personal \"state\" of unrest: Heide Fasnacht, _My City Was Gone_ , 1991\u201392. Plywood, silicon, rubber belting, latex, cotton batting, wool blanket, Dacron, and steel. (Courtesy of the artist) _Page 405_\n\n12.4. M. A. Palairet, self-portrait from her travel diary, 1843. (Courtesy of The Pierpont Morgan Library, New York. MA2244. Photo: David A. Loggie) _Page 408_\n\n12.5. Ann Hamilton, _tropos_ , 1993. Detail of the installation at Dia Center for the Arts, New York. (Courtesy of Dia Center for the Arts, New York) _Page 408_\n\n12.6. A peripatetic globe: Michelangelo Pistoletto, _Scultura da passeggio_ , 1966\u201368. Newspapers and iron. (Courtesy of Lia Rumma Gallery, Naples and Milan) _Page 411_\n\n12.7. Annette Lemieux, _Portable World_ , 1986. Typewriter with black-and-white photo scroll. (Courtesy of the artist) _Page 414_\n\n12.8. Views from the keyboard of Annette Lemieux in _The Ascension_ , 1986. Typewriter and gelatin silver prints. Detail. (Courtesy of the artist) _Page 415_\n\n12.9. Louise Bourgeois, _Femme-Maison_ , 1947. Ink on paper. (Collection of the Solomon R. Guggenheim Museum, New York. Courtesy of the artist and Robert Miller Gallery, New York) _Page 417_\n\n12.10. A pedestrian archive: Annette Messager, My _Trophies_ , 1987. Acrylic, charcoal, and pastel on gelatin silver prints, framed in wood. (Courtesy of the Los Angeles County Museum of Art. Purchased with funds provided by the Ralph M. Parsons Fund, Clyde and Karen Beswick, Mr. and Mrs. Barry Smooke, Linda and Jerry Janger, Rhonnie and Vidal Sassoon, Sharlene Copper Cohen, David and Susan Gersh, and Bonnie Wilke. AC1995.96.1.1) _Page 419_\n\n12.11. The fabric of an intimate archaeology in the armoire of Doris Salcedo's _Untitled_ , 1995. Wood, cement, cloth, glass, and steel. Detail. (Private collection, Rotterdam. Courtesy of Alexander and Bonin, New York. Photo: David Heald) _Page 420_\n\n**Color Plates**\n\nPlate I. Jan Brueghel, _Allegory of Touch_ , 1618. Oil on wood. (Courtesy of Museo del Prado, Madrid)\n\nPlate II. _Emotions:_ the movement of passions painted on glass for magic lantern shows, c. 1750\u20131800. (Collection of Museo Nazionale del Cinema, Turin)\n\nPlate III. Panoramic wallpaper: interior decor envisions _Les Grands Boulevards de Paris_ , c. 1855. (Courtesy of Mus\u00e9e des Arts D\u00e9coratifs, Paris)\n\nPlate IV. _Carte du pays de Tendr\u00e9_ , the map of tenderness designed by Madeleine de Scud\u00e9ry in her novel _Cl\u00e9lie_ , vol. 1, Paris: Augustin Courb\u00e9, 1654. Engraving by Francois Chauveau. (Courtesy of Biblioth\u00e8que Nationale de France, Paris)\n\nPlate V. Maps of emotion: a bedroom story in Guillermo Kuitca's _Untitled_ , 1993. Acrylic on 60 mattresses. Detail of installation at Whitechapel Art Gallery, London. (Courtesy of Sperone Westwater, New York, and Whitechapel Art Gallery, London)\n\nPlate VI. A gallery of _emotional_ maps in Guillermo Kuitca's _Untitled_ , 1992. Acrylic on mattress with wood and bronze legs, 20 beds. (Courtesy of Sperone Westwater, New York)\n\nPlate VII. Screening history while traversing a \"gallery\" of maps: Galler\u00eda delle carte geografiche, Vatican Palace, Vatican State. (Courtesy of Scala\/Art Resource, New York)\n\nPlate VIII. Jan Brueghel, _The Senses of Touch, Hearing, and Taste_ , 1618. Oil on canvas. (Courtesy of Museo del Prado, Madrid)\n\nPlate IX. A taste of touch in Peter Greenaway's installation _Watching Water_ , Venice, 1993. Interior view. (Courtesy of the artist and The Vue, London)\n\nPlate X. An archive of habitation: view of Doris Salcedo's untitled installation at the Carnegie International, Pittsburgh, 1995. (Courtesy of Alexander and Bonin, New York. Photo: Richard Stoner)\n\nPlate XI. Haptic texture in Gerhard Richter's _Atlas_ (1962-present). Sheet no. 93: _Photograph Sections_ , 1970. 9 color photographs. Detail. (Copyright the artist. Courtesy of the artist; Marian Goodman Gallery, New York; Dia Center for the Arts, New York; and Luhring Augustine, New York. Photo: Zindman\/Fremont)\n\nPlate XII. A different kind of \"Atlas\": Women design the world on the frontispiece of Jan Barend Elwe's _Atlas_ , Amsterdam, 1792.\n\nPlate XIII. Of flesh and bone: Guillermo Kuitca, _Untitled (Torino)_ , 1993\u201395. Mixed media on canvas. (Private collection, Turin. Courtesy of Sperone Westwater, New York)\n\nPlate XIV. House as airport in Guillermo Kuitca's _Coming Home_ , 1992. Acrylic on canvas. (Collection of Josefina Ayerza, New York. Courtesy of Sperone Westwater, New York)\n\nPlate XV. Refocusing the journey of dwelling: Seton Smith, _Curving Windows and Stairs_ , 1996. Cibachrome print. (Courtesy of the artist)\n\nPlate XVI. A map of the texture of writing: Ann Hamilton, _tropos_ , 1993. Detail of the installation at Dia Center for the Arts, New York. (Courtesy of Dia Center for the Arts, New York)\n\n## **Index**\n\n_A Propos de Nice_ (Vigo)\n\nThe Acropolis ,\n\nAdler, Judith\n\n_Aeronautical View of London_ (Havell)\n\nAgrest, Diana\n\nAkeley, Della\n\nAkeley, Mary Jobe\n\nAkerman, Chantal , ,\n\n_All Night Long_\n\n_Bordering on Fiction_\n\ncinema of passengers 99\u2013100\n\n_D'Est_ 101\u20132\n\n_Hotel Monterey_\n\n_Jeanne Dielman, quai du Commerce, 1080 Bruxelles_\n\n_News from Home_\n\n_Portrait d'une jeune fille de la fin des ann\u00e9es, \u00e0 Bruxelles_\n\n_Les Rendez-vous d'Anna_, 100\u20131, __\n\nAlbrecht, Donald\n\n_All Night Long_ (Akerman)\n\nallegory\n\nand the cultural past\n\nportrayal of women and Atlas\n\nrepresenting theory 216\u201317,\n\n_Allegory of Touch_ (J. Brueghel) _, plate I_\n\nAlpers, Svetlana , , ,\n\n_Alphaville_ (Godard)\n\nAltick, Richard\n\n_Les Amants_ (Malle)\n\n_L'amore molesto_ (Martone) , , 401\u20134\n\nAmoroso, Roberto\n\nAnatomical Theater, Bologna __\n\n_The Anatomical Theatre of Leiden_ (Swanenburgh) __\n\n_The Anatomy Lesson of Doctor Nicolaes Tulp_ (Rembrandt)\n\n_The Anatomy Lesson of Dr. Joan Deyman_ (Rembrandt)\n\n_The Anatomy of Melancholy_ (Burton) __\n\n_Andrea Doria as Neptune_ (Bronzino)\n\nanimal magnetism 151\u201352\n\nAntonioni, Michelangelo , ,\n\narchitexture of film nomadism 95\u201399\n\n_L'avventura_ , ,\n\n_Beyond the Clouds_ (with Wenders)\n\n_Blow-Up_\n\n_The Eclipse_ 97\u201398\n\n_La notte_ 98\u201399,\n\n_The Passenger, _\n\n_Red Desert_ ,\n\narchaeology\n\nas method , , 418\u201319\n\nof knowledge and film  _see also_ archive\n\narchitecture\n\narchitectonics of scenic space 59\u201361\n\narchitectural promenade and filmic motion 58\u201359,\n\ncloseness to cinema , , , _65\u201366_\n\ndwelling 86\u201388, 91\u201392, 103\u20136, 238\u201340, 416\u201318\n\nand fashion 93\u201396, 123\u201328, 320\u201324\n\nGreenaway's _Belly of an Architect_ 297\u2013303\n\n_habitus_ and habitation _65\u201366_\n\n_habitare_ and _abito_ 322\u201324\n\nhomescape 36\u201338, 87\u201394, 105\u20136\n\nintersection with geography , 84\u201386\n\nKiesler's Film Guild Cinema __ , 45\u201347\n\nintersections with film 67\u201371\n\nof memory 220\u201323\n\nmotion and cinema _55\u201359_\n\nRichter's intimate architecture 337\u201339\n\nurban panoramas in film 18\u201340, 97\u201399, 100\u20133, , 183\u201384\n\nwalls and textures 320\u201321\n\nwomen and design 92\u201394\n\n_see also_ cinema theaters; motion; space; urban landscapes\n\narchitexture\n\nAntonioni's paintings and films 95\u201399\n\nRichter's _Atlas_\n\nwalls and screens 105\u20136\n\narchive , , __ , ,\n\n_see also_ archaeology; memory\n\nArcimboldo, Giuseppe\n\nArgenville, Dezallier d'\n\n_Voyage pittoresque de Paris_\n\nArnheim, Rudolf\n\n\"The Perception of Maps\" 271\u201372\n\n_L'Arriv\u00e9e dann train_ (Lumi\u00e8re)\n\nart\n\ncartographic 237\u201340\n\ncinema's pictorialism 60\u201361, 310\u201312\n\neroticism and sculpture _, 390\u201391_\n\nfilm as a gallery 312\u201317\n\ngallery space and filmic space 307\u20138, 344\u201347\n\nhouses and furniture __ , 87\u201388, 105\u20136, 238\u201340, _355\u201356, _, _, , plates X, XIV, and XV_\n\nJapanese scroll paintings\n\nlandscape 171\u201373\n\nmuseum and moving-image archive 350\u201353\n\nnarrative and movement in views 180\u201383\n\npainterly touch of _toilette_ portraits\n\npanoramic painting and vision ,\n\nperspectivism and mobile perspectives 178\u201380\n\nthe picturesque 60\u201361, __ , 192\u201396\n\nand the representation of passions , _, _\n\nsequential narrative in 187\u201389\n\ntextural hybridization 9\u201310\n\n_trompe l'oeil_ ,\n\nview and topographical painting 174\u201378, _, _, 180\u201381, 189\u201390\n\n_see also Atlas_ (Richter); cartography; maps; museums\n\n_Art of Writing_ (Pr\u00e9vost) __ ,\n\nArzner, Dorothy\n\n_Craig's Wife_, 88\u201391, ,\n\n_The Ascension_ (Lemieux) __\n\nAstruc-Latelle, Pascal\n\n_History of the French Revolution_\n\n_At the Foot of the Flatiron_ (AM&B, Bonine)\n\nAtlas (Greek mythology) 216\u201317\n\n_Atlas_ (Elwe) __ , , _plate XII Atlas_ (W. Blaeu)\n\n_Atlas_ (Richter) 9\u201310, , _, , , , , plate XI_\n\narchive of memory 333\u201335, 341\u201342\n\nbio-history and architecture 337\u201339\n\ncinematic quality 339\u201341\n\neffect of the wall of pictures 331\u201333, __\n\ntopophilia 354\u201357\n\nand Warburg's _Mnemosyne Atlas_ 341\u201342,\n\n_Atlas Maior_ (J. Blaeu)\n\n_The Attack of Love_ (Seutter) __ , 230\u201331\n\nAubert, Louis\n\n_Lanterne Tour Eiffel_\n\nAug\u00e9, Marc\n\nAusten, Jane\n\n_Emma_\n\n_Pride and Prejudice_\n\nAutant-Lara, Claude\n\nautobiography\n\nhybrid of travel writing 116\u201320\n\nautomata 147\u201348,\n\nEdison's Hadaly\n\n_L'avventura_ (Antonioni) , ,\n\nBachelard, Gaston\n\nBakhtin, Mikhail\n\nBal\u00e1zs, B\u00e9la\n\n_stimmung_\n\nBalla, Giacomo 321\u201322\n\nBanks, J. H.\n\n_Panorama View of London_\n\n_The Banquet of the Officers and Sergeants of the St George Civic Guard Company_ (Hals)\n\nBaratta, Alessandro\n\n_Plan of Naples_\n\nBarbari, Jacopo de'\n\n_Bird's-eye View of Venice_ , __\n\nBardot, Brigitte 36\u201337\n\nBarker, R.\n\n_Explanation of the View of Rome_ (with Reinagle) __\n\nBarnes, Djuana\n\nBarnes Museum of Cinematography\n\nBarney, Matthew\n\nBarra, Didier\n\n_Bird's-eye View of Naples_\n\nBarry, Judith\n\n_D\u00e9pense: A Museum of Irrevocable Loss_ 350\u201351\n\nBarthes, Roland ,\n\non fashion\n\nBassy, Alain-Marie\n\nBastide, Jean-Fran\u00e7ois de\n\n\"The Little House\"\n\nBataille, Georges __ ,\n\n\"Cannibal Delicacy\"\n\n_Bay of Naples_ (P. Brueghel)\n\nBazin, Andre ,\n\n\"mummy complex\"\n\n_Beaten Tracks, or Pen and Pencil Sketches in Italy_ (anonymous)\n\nBellini, Giovanni\n\n_Young Woman at her Toilette_\n\nBellocchio, Marco\n\n_The Belly of an Architect_ (Greenaway) , __ , 299\u2013303, _, _\n\nBen Jelloun, Tahar\n\nBenjamin, Jessica\n\nspace, desire, and female intersubjectivity ,\n\nBenjamin, Walter ,\n\non allegory\n\nangel of history\n\non fashion and the inorganic 147\u201348\n\ngraphic design of the lived city ,\n\nhaptic routes , , 257\u201358\n\ninfluence of Riegl ,\n\nmap of bio-history , ,\n\non Naples , , ,\n\n_One Way Street_ , 258\u201359\n\nphantasmagoria\n\nspectatorial practice in film and architecture 65\u201366\n\ntactile sense of collectors\n\nBennett, Tony\n\nexhibitionary complex\n\nBergman, Ingrid\n\nand Rossellini\n\n_see also Voyage in Italy_\n\nBergren, Ann\n\n_Berlin, Symphony of the Big City_ (Ruttmann)\n\n_Berliner Stilleben_ (Moholy-Nagy)\n\nBernhard, Thomas\n\nBernini, Gian Lorenzo\n\n_Monument to Pope Alexander VII_, 212\u201313\n\n_Saint Theresa in Ecstasy_\n\nBertolucci, Bernardo\n\n_The Sheltering Sky_\n\n_Beyond the Clouds_ (Antonioni and Wenders)\n\nBhabha, Homi K. ,\n\n_Bicycle Thieves_ (De Sica)\n\nBih\u00e9ron, Marie Catherine\n\n_Bird's-eye View of Naples_ (Barra)\n\n_Bird's-eye View of Venice_ (Barbari) , __\n\nBlack, Alexander\n\n_Blade Runner_ (Scott) ,\n\n_noir_ geography ,\n\nreplicants ,\n\nBlaeu, Joan\n\n_Atlas Maior_\n\nBlaeu, Willem\n\n_Atlas_\n\nBlasetti, Alessandro\n\n_Table of the Poor_\n\nBlau, Douglas\n\nBloch, Ernst ,\n\n_Blow-Up_ (Antonioni)\n\nBlunt, Alison\n\nBly, Nellie (Elizabeth Seaman) 125\u201326, __\n\nBodei, Remo\n\nbodies\n\nas landscapes , , 232\u201333\n\nspace, film, and architecture 64\u201366\n\n_The Body of the Dead Christ in the Tomb_ (Holbein)\n\nBois, Yve-Alain , ,\n\nBoltanski, Christian\n\nBonine, Robert K.\n\n_At the Foot of the Flatiron_\n\nBorzage, Frank\n\n_Street Angel_\n\nBouguereau, Maurice\n\n_Le Theatre fran\u00e7oys_\n\nBoull\u00e9e, Etienne-Louis , 300\u20131\n\n_Cenotaph for Isaac Newton_\n\nBourdieu, Pierre\n\n_habitus_\n\nBourgeois, Constant\n\n_View of Vesuvius_\n\nBourgeois, Louise\n\n_Cell (Choisy)_ ,\n\n_Femme-Maison, , _\n\n_The Spider_\n\nBowles, Jane\n\nBowles, Paul\n\n_The Sheltering Sky_\n\nBoyer, Christine\n\nBoymans-van Beuningen Museum, Rotterdam\n\nBraidotti, Rosi 114\u201315,\n\nBronzino, Agnolo\n\n_Andrea Doria as Neptune_\n\nBrooklyn Institute of Arts and Science\n\nBrougher, Kerry\n\nBrueghel, Jan\n\n_Allegory of Touch, plate I_\n\n_The Senses of Touch, Hearing, and Taste, plate VIII_\n\nBrueghel, Pieter\n\n_Bay of Naples_\n\nBrunetta, Gian Piero\n\nBruno, Giordano\n\narchitectural memory system 222\u201323\n\nBruno, Giuliana\n\n_Streetwalking on a Ruined Map_,\n\nBryson, Norman\n\n_I buchi neri_ (Corsicato)\n\nBuchloh, Benjamin\n\nBunce, O. B.\n\n_Washington, Madison and Union Squares_\n\nBurch, Noel\n\nBurgin, Victor ,\n\nBurgundy, Duchess of\n\nBurton, Robert\n\n_The Anatomy of Melancholy_\n\nBussy-Rabutin, Roger, comte de\n\n_L'Almanch d'amour pour 1663_\n\ncabinets of curiosity 153\u201355,\n\narchitectonics ,\n\ncuriosity and wander\n\nCaccioppoli, Renato\n\nCaillois, Roger\n\nmimicry , ,\n\nCalle, Sophie\n\n_Double Blind_ (with Shephard)\n\nCalli\u00e8res, Francois de\n\n_Histoire po\u00e9tique de la guerre nouvellement d\u00e9clar\u00e9e entre les Anciens et les Modernes_ 228\u201329\n\nCalvino, Italo\n\ncamera obscura\n\nDella Porta imagination and images 139\u201341\n\nas a room ,\n\nCamillo, Giulio\n\nMemory Theater\n\nCampagnoni, Donata Pesenti\n\nCanaletto (Antonio Canal) ,\n\ncannibalism ,\n\nCanudo, Ricciotto _255\u201356_\n\nCapella, Francesco\n\n_Geography Lesson_\n\nCapuano, Antonio\n\n_Les Carabiniers_ (Godard) 78\u201380,\n\nCarafa, Giovanni\n\n_Topographical Map of the City of Naples_ , _, , , , , _\n\n_Caravaggio_ (Jarman)\n\nCarriera, Rosalba\n\nCarrington, Dorothy\n\n_The Traveller's Eye_\n\nCarruthers, Mary\n\n_Carte de la bataille des romans_ (in Fureti\u00e8re)\n\n_Carte de l'empire des Pr\u00e9cieuses_ (Maul\u00e9vrier)\n\n_Carte de l'isle Clerine en Barbaril_ (anonymous)\n\n_Carte de mariage_ (Sorel)\n\n_La carte des Estats du Grand Due D'Osmeos_ (anonymous)\n\n_Carte du pays de Tendre_ (Scud\u00e9ry) , , , 207\u20138, , _, , plate IV_\n\nanalysis 223\u201327\n\nexterior as interior ,\n\nand _Hiroshima mon amour_ 241\u201345\n\norigins 217\u201320\n\npsychogeography 225\u201327,\n\nreprinted in _Internationale situationniste_\n\nand _Voyage in Italy_ 397\u201399\n\nwoman's body as landscape 232\u201333\n\n_Carte du Royaume d'Amour_ (l'Hermite)\n\n_Carte du Royaume de Coquetterie_ 227\u201328, __\n\ncartography\n\nArnheim's \"The Perception of Maps\" 271\u201372\n\ncinematic 275\u201377\n\nand cultural anxiety 106\u20139\n\nDeleuze's view of maps 272\u201373\n\nof emotions 223\u201333, ,\n\nas film genealogy 276\u201377\n\nimpulse to \"graph\" ,\n\nof intimate space 207\u20138, 220\u201323, 257\u201359, 337\u201339\n\nand literature 234\u201335\n\nmapping of surfaces 325\u201329\n\nmaps on walls 273\u201375\n\nmigration and \"space-affect\" 268\u201370, 404\u20136, 416\u201318\n\nnarrative views 180\u201381\n\nnautical 181\u201383, 328\u201329\n\nsituationist 264\u201368\n\ntender mapping , 207\u20138, ,\n\ntraveling cultures\n\nview and topographical painting 175\u201378, __\n\nWarburg's _Mnemosyne Atlas_ 341\u201342,\n\n_see also_ maps; geography; psychogeography\n\nCartwright, Lisa\n\nCasanave, J. F.\n\n_L'optique_ 214\u201315\n\nCavalcanti, Alberto\n\n_Rien que les heures_ ,\n\nCavani, Liliana\n\n_La pelle_\n\n_Cell (Choisy)_ (L. Bourgeois) , __\n\n_Cenotaph for Isaac Newton_ (Boull\u00e9e)\n\nCerteau, Michel de , , ,\n\nChambers, Iain\n\nChan, Peter\n\n_Comrades, Almost a Love Story_\n\nChanning, Barbara H.\n\n_The Sisters Abroad_,\n\nChauveau, Fran\u00e7ois\n\nengraver _forCarte de Tendre, , _\n\nCheung, Maggie\n\nChina\n\nand Chinatowns in urban film\n\nChoisy, Auguste , ,\n\n_Chung King Express_ (Wong)\n\nCicero, Marcus Tullius\n\nmemory tactics , 220\u201321\n\ncinema\n\narchaeology of 135\u201369\n\narchitectonics of scenic space 59\u201361\n\narchitecture of 5\u20136\n\narchitexture of nomadism 95\u201399\n\nas archive ,\n\nas an art gallery 312\u201317\n\nand bio-history 257\u201359\n\ncartography of 275\u201377\n\nand cemeteries\n\nand _cineres_ 350\u201353\n\ncollages of cine cities 361\u201362\n\nDella Porta's protofilmic vision 139\u201341\n\ndeviation from perspectivism\n\ndwelling-voyage 103\u20135\n\nemotional mapping 241\u201345\n\nestablishing shots and displacement\n\netymological meaning as (e)motion\n\nand fashion 33\u201334, 123\u201329, 325\u201329\n\nfashioning space 320\u201324\n\nflatness, depth, and spatiality\n\nand gallery space 344\u201347\n\ngeopsychic space 253\u201355, 277\u201379\n\nhabitation and _abito_ 322\u201324\n\n_habitus_ and habitation _65\u201366_\n\nthe haptic and the optic , , 250\u201351\n\nintersection with geography 70\u201371, 86\u201388\n\nand Kuitca's cultural mapping\n\nlink with architecture 67\u201371\n\nand memory 8\u20139, 220\u201323, , ,\n\nMesmer and \"moving\" images 151\u201352\n\nmotion and architecture 55\u201359\n\n\"movie\" houses 94\u201395\n\nM\u00fcnsterberg's study of filmic emotion 259\u201362\n\nmuseographic function of 353\u201354\n\nnaked cities _66\u201367_ panning and tracking\n\nas panoramic wallpaper 165\u201369\n\nof passage 99\u2013103\n\nand the picturesque 192\u201394, 200\u20133\n\nportrayals of Naples , 365\u201369\n\npsychogeography , 264\u201368, 396\u201399, 418\u201319\n\nas \"reality eater\" 294\u201395\n\nreproducibility\n\nsite-seeing 15\u201317, , 219\u201320\n\ntactilism in early film theory _255\u201357_\n\ntechnology and ability to \"animate\" , 24\u201325, ,\n\ntopographical sense\n\ntopophilia 354\u201357, 396\u201399\n\nas transport , , , , 275\u201379\n\ntraveling shots\n\nurban panoramas 18\u201341\n\nas view-sensing 308\u201312\n\nvoyages 80\u201386\n\ncinema studies 4\u20135, 15\u201317, 70\u201371\n\ntheorists' subjective choices , 409\u201313, 415\u201316\n\ncinema theaters\n\ncity as movie theater 306\u2013312\n\nFilm Guild Cinema __ , 45\u201347\n\nLoew's Paradise 48\u201350, __\n\nsocial transport 47\u201348\n\nspectatorship as architectural practice 44\u201345\n\nSugimoto's film theaters 50\u201353, __ , , ,\n\ntaking cinema out of 306\u20138\n\nurban culture 42\u201343\n\nCin\u00e9orama\n\nCixous, H\u00e9l\u00e8ne\n\nClair, Rene\n\n_Paris qui dort_ , __ , 22\u201323\n\nClark, Larry\n\nClaude glass\n\nClaude Lorrain , ,\n\n_Cl\u00e9lie_ (Scud\u00e9ry) , , ,\n\nClement, Rene\n\n_Plein soleil_\n\nClifford, James ,\n\ntraveling cultures ,\n\n_A Coasting View of Brighton_ (Havell)\n\ncognitive mapping 84\u201385, , , 268\u201369\n\nColomina, Beatriz , 103\u20134\n\nColonna, Francesco\n\n_Hypnerotomachia Poliphili_ 219\u201320\n\nComenius, John Amos\n\n_Orbis Sensua\u0142ium P ictus_\n\n_Coming Home_ (Kuitca) _, plate XIV_\n\n_Comrades, Almost a Love Story_ (Chan)\n\nConan, Michel\n\nCondillac, Etienne Bonnot de ,\n\n_Treatise on the Sensations_ 251\u201352\n\n_Conference sur l'expression gen\u00e9rale et particuli\u00e8re des passions_ (Le Brun)\n\nConley, Tom ,\n\nConner, Bruce\n\n_Contempt_ (Godard) 36\u201339, __ , , _365\u201366_\n\n_The Cook, The Thief, His Wife, and Her Lover_ (Greenaway) __ , 283\u201385, 286\u201388, _, _, 290\u201392, __ , , , , __\n\nCorbin, Alain 171\u201372\n\n_Corinne, or Italy_ (de Sta\u00ebl)\n\nCorographia\n\nCorsicato, Pappi ,\n\n_I buchi neri_\n\n_Libera_\n\ncosmetics\n\nLyons' and the cosmetics of self-imaging __ , 112\u201314, , , 128\u201329\n\n_see also_ fashion\n\ncosmography\n\n_Cosmography_ (M\u00fcnster)\n\n_Cosmology at the Piazza del Pop\u00f3lo: A History of the Piazza from Nero to Fellini_ (Greenaway)\n\ncosmoramas 162\u201364, __ ,\n\n_Costa Scena_ (Havell) , __\n\n_Craig's Wife_ (Arzner) __ , 88\u201391, ,\n\nCrary, Jonathan ,\n\nCrawford, Joan\n\n_Mildred Pierce_\n\nCrawford, Mabel Sharman\n\n\"A Plea for Lady Tourists\"\n\n_The Creating Eye_ (Ledoux)\n\n_The Crowd_ (Vidor)\n\n_Crying Wall_ (Hamilton) ,\n\n_Curving Windows and Stairs_ (Smith) _, plate XV_\n\nDagognet, Francois\n\n_Dal Polo all'Equatore_ (Gianikian and Lucchi)\n\nD'Angelo, Nino\n\nD'Angeville, Henriette\n\nD'Annunzio, Gabriele\n\naerial map of Vienna __\n\nDardi, Costantino\n\n_Darwin_ (Greenaway)\n\nDassin, Jules\n\n_The Naked City_ , , , _265\u201366_\n\nDavis, Bette\n\n_Now, Voyager_\n\nDavoli, Ninetto\n\nDe Filippo, Eduardo\n\n_De humani corporis fabrica_ (Vesalius)\n\nDe Lillo, Antonietta\n\n_De L'Isle des Passions, ce premier mois d'inclination_ (Pavilion) 229\u201330\n\nDe Seta, Cesare\n\nDe Sica, Vittorio\n\n_Bicycle Thieves_\n\n_The Gold of Naples_\n\n_Indiscretion of an American Wife_ (with Zavattini)\n\n_Dead Christ_ (Mantegna) , , __ ,\n\n_The Dead_ (Joyce)\n\nDear, Michael\n\n_Dear Diary_ (Moretti) 35\u201336\n\ndeath\n\nfilm technology and ability to \"animate\" , 24\u201325, ,\n\nand journey in Freud\n\nKircher's magic lantern 144\u201346\n\nRobertson's phantasmagoria\n\nautomata\n\nwaxworks and _tableaux vivants_ 148\u201351\n\n_Death of a Neapolitan Mathematician_ (Martone) , ,\n\nDebord, Guy\n\n_Guide psychog\u00e9ographique de Paris_ (with Jorn) _, , 266\u201367_\n\n_The Naked City_ map (with Jorn) , 264\u201365,\n\n_The Decoration of Houses_ (Wharton and Codman)\n\nDeleuze, Gilles\n\nprehistory of cinema\n\nmapping and movement-image 272\u201373\n\nDella Porta, Giovan Battista\n\ncamera obscura and the archaeology of cinema 139\u201340\n\n_Magiae Naturalis, 139\u201341_\n\nmetamorphosis and transmateriality\n\nDelon, Alain 29\u201330,\n\n_D\u00e9pense: A Museum of Irrevocable Loss_ (Barry) 350\u201351\n\nDeren, Maya\n\n_Meshes of the Afternoon_\n\n\"Psychology of Fashion\" 127\u201328\n\nDerrida, Jacques\n\non mourning 287\u201388\n\n_D'Est_ (Akerman) 101\u20132\n\nDeutsche, Rosalyn 84\u201385,\n\n_Diary of an Ennuy\u00e9e_ (Jameson) , ,\n\n_Diary of an Idle Woman in Italy_ (Elliot)\n\nDickens, Charles\n\non Naples\n\nDiderot, Denis ,\n\nDiller + Scofidio\n\n_Tourisms: suitCase Studies_\n\ntourisms of war\n\nDimendberg, Edward\n\ndioramas , ,\n\nDickens on Naples\n\nsimulated travel 76\u201377\n\nDoane, Mary Ann\n\nD\u00f6blin, Alfred\n\nDommartin, Solveig ,\n\nDouglas, Stan\n\n_Double Blind_ (Calle and Shephard)\n\n_The Draughtsman's Contract_ (Greenaway) 308\u20139\n\nDrebbel, Cornelis ,\n\nDrouais, Francois-Hubert\n\nDubbini, Renzo ,\n\nDuchenne de Boulogne, Guillaume\n\n_M\u00e9canisme de la physionomie humaine_\n\nDuchesne, Nicolas\n\n_Traite de la formation des jardins_\n\n_The Duchess of Berry Map_ (Greenaway) __ ,\n\nDulac, Germaine\n\n_The Smiling Madame Beudet_\n\nDuncan, Carol\n\nDuras, Marguerite\n\n_Hiroshima mon amour_ ,\n\nEames, Charles and Ray\n\n_House: After Five Years of Living_\n\n_Eating Macaroni in the Streets of Naples_ (Edison)\n\nEberhardt, Isabelle\n\nEberson, John\n\nLoew's Paradise 48\u201350\n\n_The Eclipse_ (Antonioni) , 97\u201398\n\nEdison, Thomas\n\nthe android Hadaly\n\nEgerton, Sir Thomas\n\ntraveling library __\n\nEgyptian Hall _see under_ London Museum\n\nEidophusikon 164\u201365\n\nEinstein, Albert\n\nEisenman, Peter\n\nEisenstein, Sergei , ,\n\ncity viewing\n\nfilm and architecture 59\u201361\n\n\"Montage and Architecture\" _55\u201356_ , , 62\u201364\n\nOdessa steps\n\nElliot, Bridget\n\nElliot, Frances\n\n_Diary of an Idle Woman in Italy_\n\nElwe, Jan Barend\n\n_Atlas, , plate XII_\n\n_Emma_ (Austen)\n\n_Emotion Pictures_ (Wenders)\n\nemotions\n\nanalysis of Scud\u00e9ry's _Carte de Tendr\u00e9_ 223\u201327\n\ndepiction of __ , 141\u201344, _, plate II_\n\nfashion for maps after Scud\u00e9ry 227\u201331\n\ngeography and emotive morphing 396\u201397\n\n\"geometry of passion\" 285\u201386\n\njourneys into ,\n\nlink between film and architecture 69\u201370\n\nliterary psychogeography 234\u201335\n\n_\"la malattia dei sentimenti\"_\n\nmapping 207\u20138, , ,\n\nmeaning of 6\u20137\n\nmotion of ( _emotion_ ) 8\u20139, 143\u201344, , 200\u20133, , 223\u201327, , 260\u201363,\n\nphysiology, movement and film 260\u201362\n\nsituationist psychogeography 264\u201368\n\nand theory 410\u201312\n\ntouch and space 251\u201353\n\n_see also_ love; psychoanalysis; psychogeography; topophilia\n\nEpstein, Jean\n\nErasmus, Desiderius\n\n_errare_ 15\u201316\n\n_Essai sur les jardins_ (Watelet)\n\n_Essai sur les signes inconditionnels dans l'art_ (de Superville) ,\n\nEste, Isabella d' 209\u201310,\n\n_Esther Lyons' Glimpses of Alaska_ (Lyons)\n\n_Europa in forma virginis_ (Putsch)\n\n_Excursus: Homage to the Square 3_ (Irwin)\n\nExposition Internationale des Arts D\u00e9coratifs et Industriels Modernes\n\n_Expulsion of Adam and Eve_ (Masaccio)\n\nFalconbridge, Anna Maria\n\n_Fallen Angels_ (Wong)\n\nFanon, Frantz\n\nfashion\n\nand architecture 33\u201334,\n\nclothes as a translation 323\u201324\n\nand emotional space 127\u201328\n\nand the fashioning of space 122\u201323, 320\u201321\n\nFuturist clothes and tactilism 321\u201322\n\nGreenaway's films 319\u201320\n\n_habitus, habitare_ , and _abito_ 322\u201324\n\nmapping of surfaces 325\u201329\n\nand the realm of the dead 147\u201348\n\nand travel space __ , 122\u201327\n\ntraveling objects and interior space _, 375\u201377, _\n\n_see also_ cosmetics\n\nFasnacht, Heide\n\n_My City Was Gone_ , __\n\nfeminism\n\nspatial theory 84\u201385,\n\n_see also_ women\n\n_Femme-Maison_ (L. Bourgeois) , __ ,\n\nFerrante, Elena\n\n_L'amore molesto_\n\n_Field Diary_ (Gitai)\n\n_Les Filles du feu_ (Nerval)\n\nfilm _see_ cinema; cinema studies\n\nFilm Guild Cinema (Kiesler) __ , 45\u201347\n\nfilm noir\n\nurban geography 27\u201330\n\nFlaubert, Gustave\n\nFleischer, Alain\n\nFludd, Robert\n\nFontainebleau, School of\n\n_Lady at Her Toilette_,\n\nfood\n\nalimentary philosophy 290\u201392\n\nconsumption of images , ,\n\ndigestion of places 393\u201395\n\neating with the eyes ,\n\nincorporation and mourning\n\nsocial eating\n\nand street life in Naples\n\nFortuny, Mariano, Jr.\n\nand Greenaway _, , , _\n\nFoucault, Michel\n\nthe mirror 113\u201314\n\n_The Fountainhead_ (Vidor) __ ,\n\nLe Fresnoy National Studio for the Contemporary Arts (Tschumi)\n\nFreud, Sigmund\n\ndeath and journeys\n\n_Interpretation of Dreams_\n\nFried, Michael\n\nFriedberg, Anne\n\nFureti\u00e8re\n\n_Nouvelle all\u00e9gorique_\n\nGable, Clark\n\nGaines, Jane\n\nGalleria delle carte geografiche, Vatican Palace _, , plate VII_\n\nGamberini, Giuseppe\n\nGanz, Bruno\n\n_Garden Plan of Chiswick House_ (Rocque) __\n\ngardens\n\n_folie_ as lovers' asylum\n\nas gendered space 199\u2013200\n\nlandscape architecture and fortification\n\nPadua Botanic Garden __\n\npicturesque __ , 192\u201396,\n\nScud\u00e9ry's _Carte deTendre_ 219\u201320\n\nsense experience and the landscape of emotions __ , , 202\u20133\n\nspectacles and pleasure gardens 196\u201399\n\n_see also_ landscape\n\nGardner, Isabella Stewart 104\u20135\n\nGaud\u00ed, Antonio\n\nGaudino, Giuseppe\n\nGaultier, Jean-Paul , ,\n\nGautier, Th\u00e9ophile ,\n\nGehry, Frank\n\ngender\n\narchitectonics of 84\u201386\n\n_G\u00e9ographie galante_ (anonymous)\n\ngeography\n\nof cinema on walls ,\n\nof cinema theaters 50\u201353\n\nfilm as geographic transport , 275\u201379\n\nfilmic archaeology\n\nfosters link with architecture and film 70\u201371, 84\u201386\n\ngardens as imaginative topographies , 219\u201320\n\nas a gendered subject 209\u201313\n\ngeographic thinking and imagination 208\u20139\n\ngeophilosophy 272\u201373\n\ng\u00e9orama and cosmorama spectacles 161\u201364, _, _\n\nof modernity 16\u201317\n\nsense experience , 202\u20133\n\ntender , 207\u20138\n\ntopophilia , 354\u201357, 396\u201399\n\n_see also_ cartography; maps; psychogeography; travel\n\n_Geography Lesson_ (Capella)\n\n_Geography Lesson_ (Gramiccia)\n\n_The Geography Lesson_ (Longhi) , __\n\nGeometria\n\n_ge\u00f3ramas_ 161\u201362\n\n_Germany Year Zero_ (Rossellini)\n\nGianikian, Yervant\n\n_Dal Polo all'Equatore_ (with Lucchi)\n\nGiliani, Alessandra\n\nGilpin, William\n\nGinzburg, Carlo ,\n\nGitai, Amos\n\n_Field Diary_\n\n_The House_\n\nGodard, Jean-Luc\n\n_Alphaville_\n\n_Les Carabiniers_ 78\u201380,\n\n_Contempt_ 36\u201339, __ , , _365\u201366_\n\n_Passion_\n\n_Two or Three Things I Know about Her_\n\nGoethe, Johann Wolfgang von\n\n_Italian Journey_\n\n_The Gold of Naples_ (De Sica)\n\nGoltzius, Hendrik\n\nGordon, Douglas\n\n_Hysterical_\n\n_24 Hour Psycho_\n\nGramiccia\n\n_Geography Lesson_\n\nGraneri, Giovanni Michele\n\nGrant, Cary\n\nGray, Eileen ,\n\nEl Greco\n\n_View and Plan of Toledo_\n\nGreen, Ren\u00e9e\n\n_Sites of Genealogy_\n\n_Taste Venue_\n\nGreenaway, Peter , ,\n\n_The Belly of an Architect_ , __ , 299\u2013303, _, _\n\ncity as movie theater 307\u20138\n\n_The Cook, The Thief, His Wife, and Her Lover_, 283\u201385, 286\u201388, _, _, 290\u201392, __ , , , , __\n\n_Cosmology at the Piazza del Pop\u00f3lo_\n\n_Darwin_\n\nand death 295\u201396,\n\n_The Draughtsman's Contract_ 308\u20139\n\n_The Duchess of Berry Map_,\n\nfashion 319\u201320, , , 327\u201329\n\nfilm as an art gallery 312\u201317\n\nfilm as incorporation 287\u201389, 291\u201392,\n\nand Fortuny __ , , __ ,\n\nand the geometry of passion 285\u201386\n\n_H is for House_\n\nimaginary books and study rooms 293\u201394\n\n_In the Dark_\n\n_M Is for Man, Music and Mozart_ 295\u201396,\n\nmapping 306\u20138\n\nmetabolic architecture , 299\u2013301\n\n\"100 Objects to Represent the World\" 316\u201317\n\n\"Photographing Architecture\"\n\n_The Pillow Book_ , , __ , 325\u201329\n\n_Prospero's Books_ ,\n\n_The Stairs: The Location_ 310\u201311\n\n_The Stairs: Projection _, 307\u20138, ,\n\ntaking the cinema out of cinemas  \"The Physical Self\" 315\u201316\n\n_A TV Dante_ (with Phillips)\n\nview-sensing 308\u201312\n\n_A Walk through H_ 304\u20136\n\n_A Walk through Prospero's Library_ 293\u201394\n\n_Watching Water, , , , , plate IX_\n\nGreenblatt, Stephen ,\n\nGregory, Derek ,\n\nGretton, Mrs G.\n\n_Impressions of Life_\n\nGriffiths, Alison\n\nGrosz, Elizabeth\n\nGuattari, Felix\n\ngeophilosophy 272\u201373\n\nGuggenheim Museum, New York City\n\n_Guide psychog\u00e9ographique de Paris_ (Debord and Jorn) _, _, 266\u201367\n\nGunning, Tom\n\nGuy-Blach\u00e9, Alice\n\n_A House Divided_ 89\u201390\n\n_Gymansium Patavinum_ (Tomasini) __\n\n_H is for House_ (Greenaway)\n\n_habitus_\n\nfashion, _habere_ , and _habitare_ 322\u201324\n\nrefashioning museums and cinema\n\nHadid, Zaha\n\nHaight, Sarah Rogers\n\nHals, Frans\n\n_The Banquet of the Officers and Sergeants of the St. George Civic Guard Company_\n\nHamilton, Ann\n\n_Crying Wall_ ,\n\n_tropos, plate XVI_\n\nHamilton, Lady Emma\n\nHamilton, Sir William\n\n_Hands over the City_ (Rosi)\n\nHansen, Miriam\n\nthe haptic\n\narchitectonics of\n\nemotional space , , ,\n\nand fashion 322\u201324, 326\u201329\n\nin film and art theory , 250\u201351\n\nhabitable space\n\nlandscape 202\u20133\n\nmeasures ,\n\nand memory 219\u201321\n\npsychogeography 253\u201355\n\nScud\u00e9ry's _Carte de Tendre_\n\nsculptural haptic 389\u201391\n\nsensations 251\u201352\n\nsense of architecture 34\u201336, _55\u201356, 64\u201366, _\n\nshifting viewpoints 182\u201383\n\nspace and cyberspace 106\u20137\n\ntactilism in early film theory _255\u201357_\n\ntouch and space _65\u201366_ , 251\u201353\n\nHaraway, Donna ,\n\nHarbison, Robert ,\n\nHarvard University, Carpenter Center\n\nHatoum, Mona\n\n_\\+ and -_\n\nHavell, Robert, Jr.\n\n_Aeronautical View of London_\n\n_Coasting View of Brighton_\n\n_Costa Scena_ , __\n\n_Hawks and Sparrows_ (Pasolini)\n\n_He is Free_ (Lequeu) __\n\nHeidegger, Martin\n\nspace and boundaries\n\nHejduk, John\n\nHellinger, Mark\n\nHerder, Johann Gottfried\n\nl'Hermite, Tristan\n\n_Carte du Royaume d'Amour_\n\n_Royaume d'Amour en l'isle de Cyth\u00e8re_ , __\n\nHill, Gary\n\n_Liminal Objects_\n\n_Hiroshima mon amour_ (Resnais) 39\u201340, _, _\n\nemotional mapping in 241\u201345\n\n_Histoire po\u00e9tique de la guerre nouvellement d\u00e9clar\u00e9e entre les Anciens et les Modernes_ (Calli\u00e8res) 228\u201329\n\nhistoricism\n\ndiscursive settings , , ,\n\nJewish history ,\n\nmigration 268\u201370\n\nresidual history\n\n_see also_ archaeology; archive\n\n_History of the French Revolution_ (Astruc-Latelle)\n\nHolbein, Hans\n\n_The Body of the Dead Christ in the Tomb_\n\nHoll, Steven\n\nHollander, Anne ,\n\nHollier, Denis\n\nHolmes, E. Burton\n\n_The Home of the Roadrunner Map_ (Greenaway) __\n\nHomer\n\n_The Odyssey_ ,\n\nHondius, Jodocus\n\nHorn, Rebecca\n\n_Journey within the Body_\n\n_River of the Moon_ 237\u201338\n\n_Hortus Botanicus at Leiden_\n\n_Hotel Monterey_ (Akerman)\n\n_House: After Five Years of Living_ (Eames)\n\n_A House Divided_ (Guy-Blach\u00e9) 89\u201390\n\n_The House_ (Gitai)\n\n_House_ (Whiteread) ,\n\n_House Plan with Broken Heart_ (Kuitca)\n\n_House Plan with Teardrops_ (Kuitca)\n\nhouses and home\n\narchitectural art _, _, 87\u201388, 105\u20136, 238\u201340, _355\u201356, , , , plates X, XV_\n\nBourgeois's _Femme-Maison_ , __ ,\n\ndwelling-voyage , 84\u201386, 103\u20135\n\nmobilized 91\u201392\n\npanoramic wallpaper __ , 165\u201368, __\n\nand subjective narrative , , 420\u201321\n\nTaut and women's design of space 92\u201395\n\ntraveling domestic 88\u201391\n\nas voyage for women 86\u201388\n\nwalls and screens 105\u20136, 320\u201321\n\nHowe, Lyman H.\n\nHumphrey, Henry Noel\n\n_The Origin and Progress of the Art of Writing_\n\nHussey, Christopher\n\nHuygens, Christiaan\n\nHuyssen, Andreas\n\n_Hypnerotomachia Poliphili_ (Colonna) 219\u201320\n\nhypnosis\n\nMesmer 151\u201352\n\n_The Hypothesis of the Stolen Painting_ (Ruiz)\n\n_Hysterical_ (Gordon)\n\nIampolski, Mikhail\n\n_Iconologia_ (Ripa)\n\nidleness\n\nItalian _otium_ 387\u201388\n\n_The Idler in Italy_ (Marguerite, Countess of Blessington)\n\n_Impressions of Life_ (Gretton)\n\n_Impressionen vom alten Marseiller Hafen_ (Moholy-Nagy)\n\n_In the Dark_ (Greenaway)\n\nIncerti, Stefano\n\n_Indiscretion of an American Wife_ (De Sica, with Zavattini)\n\n_Inside Rooms_ \u201426 _Bathrooms_ (Greenaway)\n\nInstitut du Monde Arabe\n\nInstitute of Science, Bologna\n\n_Internationale situationniste_ (journal)\n\n_Interpretation of Dreams_ (Freud)\n\nintersubjectivity , , 418\u201319\n\n_The Invention of Memory_ (Rosenfield)\n\nIrwin, Robert\n\n_Excursus: Homage to the Square 3_\n\n_It Started in Naples_ (Shavelson)\n\n_Italian Journey_ (Goethe)\n\nItaly 10\u201311\n\n_otium_ 387\u201388\n\nurban neorealism and beyond 30\u201333\n\n_see also_ Naples; Rome; view painting; _Voyage in Italy_\n\nIvani, Antonio\n\nIversen, Margaret\n\non Riegl and Benjamin\n\nJacob, Christian ,\n\nJacobs, Ken\n\nJames, Henry\n\non Naples\n\n_The Portrait of a Lady_\n\nJameson, Anna\n\n_Diary of an Ennuy\u00e9e_, ,\n\nJameson, Fredric\n\ncognitive mapping 84\u201385,\n\nJapanese scroll paintings\n\n_Le jardin du tendre_ (Messager) __ ,\n\nJarman, Derek\n\n_Caravaggio_\n\nJarmusch, Jim\n\n_Night on Earth_\n\n_Jeanne Dielman, quai du Commerce, 1080 Bruxelles_ (Akerman)\n\n_La Jet\u00e9e_ (Marker)\n\n_Jeux de l'amour \u00e0 Tivoli_ (anonymous) __\n\n_Johanna d'Arc of Mongolia_ (Ottinger)\n\nJohnson, Osa\n\nJorn, Asger __ , , __\n\n_see_ Debord\n\nJourde, Pierre\n\n_Journey within the Body_ (Horn)\n\nJoyce, James\n\n_The Dead_\n\nJulien, Isaac\n\nKhedoori, Toba\n\n_Untitled (House)_\n\n_Untitled (Windows)_\n\nEl-Khoury, Rodolphe\n\nKierkegaard, S\u00f8ren\n\nKiesler, Frederick\n\nFilm Guild Cinema __ , 45\u201347\n\n_kinema_, , ,\n\n_Kingdom of Naples_ (Schroeter)\n\nKircher, Athanasius , ,\n\n_Ars magna lucis et umbrae_,\n\n_Mundus subterraneus_\n\npolymathic knowledge 144\u201346\n\nKlein, Melanie\n\nKline, T. Jefferson\n\nKnight, Richard Payne\n\nKoch, Gertrud\n\nKoolhaas, Rem\n\nKracauer, Siegfried ,\n\nspace of the cinema 42\u201344\n\nKrauss, Rosalind ,\n\nKristeva, Julia , ,\n\nKubelka, Peter ,\n\nKubrick, Stanley\n\n_The Shining_\n\n_2001: A Space Odyssey_\n\nKuhn, Annette\n\nKuitca, Guillermo , __ , ,\n\n_Coming Home, plate XIV_\n\ncultural mapping 238\u201340\n\nfilmic connections\n\n_House Plan with Broken Heart_\n\n_House Plan with Teardrops_\n\n_Odessa_\n\n_Shit Disposal Houseplan_\n\n_Tablada Suite_\n\n_Union Avenue_\n\n_Untitled_ (3 mattresses) __\n\n_Untitled (Torino), plate XIII_\n\n_Untitled_ (20 beds) _plate VI_\n\nKurgan, Laura\n\nLa Tour, Maurice-Quentin de\n\nLacan, Jacques\n\nthe mirror stage\n\nLacis, Asja ,\n\n_Lady at Her Toilette_ (School of Fontainebleau) __ ,\n\nLamb, Beatrice\n\nlandscape\n\nas inner space\n\nmobilized 181\u201383\n\nand psychic energy ,\n\nsense of place 200\u20132,\n\nwoman's body as 232\u201333\n\n_see also_ gardens; topophilia; urban landscapes\n\nLang, Fritz\n\nin _Contempt_ ,\n\n_Metropolis_ 21\u201322\n\nLant, Antonia ,\n\n_Lanterne Tour Eiffel_ (Aubert)\n\nLanzmann, Claude\n\n_Shoah_\n\n_Last Year at Marienbad_ (Resnais) ,\n\nLatour, Bruno\n\nLavater, Johann Kaspar\n\nLavin, Sylvia\n\nLe Brun, Charles , ,\n\n_Conference sur l'expression gen\u00e9rale et particuli\u00e8re des passions_\n\nLe Clerc, Sebastien\n\nLe Corbusier (Charles Jeanneret)\n\narchitectural promenade and filmic motion 58\u201359\n\nCarpenter Center at Harvard\n\nand the modern picturesque 193\u201394\n\nLeblanc, Georgette\n\nLedoux, Claude-Nicolas\n\n_The Creating Eye_\n\nLefebvre, Henri\n\narchitecture and lived experience\n\n_habitus, habere_ , and _habitare_\n\nlived space\n\nproduction of space ,\n\nrhythmanalysis ,\n\nand situationists\n\nspace of speech\n\nL\u00e9ger, Fernand\n\nleisure\n\npleasure gardens 196\u201399\n\nLemieux, Annette\n\n_The Ascension_\n\n_Portable World_ , __\n\nLeonardo da Vinci\n\ncartographic vision ,\n\nLequeu, Jean-Jacques\n\n_He is Free_\n\nLevinas, Emmanuel\n\nLewis, Norman\n\n_Naples '44_\n\nL'Herbier, Marcel\n\n_L'Inhumaine_ , 26\u201327\n\n_Libera_ (Corsicato)\n\nLibeskind, Daniel ,\n\n_L'Inhumaine_ (L'Herbier) , __ , 26\u201327\n\n_Lisbon Story_ (Wenders) , ,\n\nliterature\n\nGreenaway's imaginary books 293\u201394\n\npsychogeography 234\u201335, 405\u20136\n\ntravel writing , 118\u201319, 186\u201387, , 373\u201379, 380\u201383, 385\u201388, ,\n\n_see also_ narration\n\n\"The Little House\" (Bastide) 234\u201335\n\n_The Little Street_ (Vermeer)\n\nLocke, John ,\n\nLoewe's Paradise (Eberson) 48\u201350\n\nLondon Museum\n\nEgyptian Hall 117\u201318\n\n\"Switzerland in Picadilly\" exhibition\n\nLonghi, Pietro\n\n_The Geography Lesson_ , __\n\nlives of ladies 213\u201314\n\nLongo, Robert\n\nLoos, Adolf\n\nLoren, Sophia\n\nLoutherbourg, Philippe Jacques de\n\nlove , 225\u201327, 242\u201345, 283\u201385, 326\u201327, 391\u201392\n\nand the city 26\u201327, 39\u201340\n\nas \"transport\"\n\nLucchi, Angela Ricci\n\n_Dal Polo all'Equatore_ (with Gianikian)\n\nLucretius\n\nLull, Ramon 262\u201363\n\nLumi\u00e8re, Louis\n\n_L'Arriv\u00e9e d'un train_\n\nLynch, Kevin\n\nimage of the city\n\nLyons, Esther 353\u201354,\n\ncosmetics of self-imaging 112\u201313\n\ncosmetics of surface\n\ncultural mapping 114\u201315\n\n_Esther Lyons' Glimpses of Alaska_\n\npainterly touch of _toilette_ portraits\n\nself-portrait and representational apparel __ , 112\u201314, 119\u201320, 120\u201321,\n\ntravel lectures\n\n_M Is for Man, Music and Mozart_ (Greenaway) 295\u201396,\n\nMacciocchi, Maria Antonietta\n\nMcCutcheon, Wallace\n\n_Panorama from Times Building, New York_\n\nMcDonough, Thomas\n\nMcLeod, Mary\n\n_Magiae Naturalis_ (Della Porta) __ , 139\u201341\n\nmagic lanterns 142\u201343,\n\nand cabinets of curiosity 154\u201355\n\nstrips portraying emotions __ , 143\u201344, _plate II_\n\nMagli, Patrizia\n\nMagliulo, Giorgio\n\nMagnani, Anna\n\n_Main Route of Expedition through the Alimentary Canal_ (Soglow) __ ,\n\nMaistre, Xavier de\n\n_Voyage around My Room_ ,\n\nMakavejev, Dusan\n\ninstallation of _Sweet Movie_ ,\n\nMalaparte, Curzio 38\u201339\n\nMalle, Louis\n\n_Les Amants_\n\nMallet-Stevens, Robert , ,\n\nMalraux, Andre\n\n_mus\u00e9e imaginaire_\n\n_Mamma Roma_ (Pasolini) __ , 31\u201333\n\n_The Man with the Movie Camera_ (Vertov) , 23\u201325, _, , , _,\n\n_Manhatta_ (Strand and Sheeler)\n\n_The Manhattan Transcripts_ (Tschumi)\n\nMannoni, Laurent\n\nMantegna, Andrea\n\n_Dead Christ_ , , __ ,\n\nManzolini, Anna Morandi\n\n_Map of Matrimony_ (anonymous) __\n\nmaps\n\nanalysis of Scud\u00e9ry's _Carte de Tendre_ 223\u201327, _plate IV_\n\nand domestic space\n\nemotional maps after Scud\u00e9ry 227\u201333, _, , , , _\n\nGreenaway's _A Walk through H_ 304\u20136\n\nKuitca's cartographic art 238\u201340, _, plates V, VI_\n\nmap rooms , _, plate VII_\n\nof Marshall Islands\n\nMessager's art of mapping __ , , __\n\nof Naples\n\nnautical 181\u201383, 328\u201329\n\nsituationist psychogeographic maps , __ , 264\u201368\n\nand women artists , _, , _\n\n_see also_ cartography\n\nMar\u00e9orama\n\nMar\u00e8s, Frederic\n\nMarey, Etienne-Jules , ,\n\nexperiments in Naples ,\n\nMargiela, Martin , ,\n\nMarguerite, Countess of Blessington\n\n_The Idler in Italy_\n\nMarin, Louis ,\n\nMarinetti, F. T.\n\nMarker, Chris\n\n_La ]et\u00e9e_\n\n_Silent Movie_\n\nMartone, Mario 404\u20135\n\n_L'amore molesto_ , ,\n\n_Death of a Neapolitan Mathematician_ , ,\n\n_Rehearsals for War_\n\nMasaccio\n\n_Expulsion of Adam and Eve_\n\nMassey, Doreen\n\nMatta-Clark, Gordon\n\nMaul\u00e9vrier\n\n_Carte de l'empire des Pr\u00e9cieuses_\n\nMayne, Judith\n\nreasseses Arzner\n\nMead, Syd\n\n_M\u00e9canisme de la physionomie humaine_ (Duchenne)\n\nMedici, Lorenzo de'\n\nMelchiori, Paola\n\nM\u00e9li\u00e8s, Georges 128\u201329,\n\n_Memories of Naples_\n\nmemory\n\nCamillo's Memory Theater\n\nCicero's and Quintilian's memory paths 219\u201321\n\ncollection and recollection 153\u201355, _347\u201353_\n\nrelation to movement 262\u201363\n\nSentimental Museum 133\u201335\n\nWarburg's _Mnemosyne Atlas_ 341\u201342,\n\n_see also_ psychogeography\n\nMenzies, William Cameron\n\n_Things to Come_\n\nMercator, Gerardus\n\n_On the Lettering of Maps_\n\nMerleau-Ponty, Maurice\n\nbodies and space ,\n\n_Meshes of the Afternoon_ (Deren)\n\nMesmer, Franz Anton\n\ntransmission of energy fluid 151\u201352\n\nMessager, Annette ,\n\n_Le jardin du tendr\u00e9_,\n\n_My Trophies_\n\n_My Works_\n\n_The Travel Warrant of Annette Messager_\n\nMessina, Antonello da\n\n_St. Jerome in his Study_\n\n_Metropolis_ (Lang) 21\u201322\n\nMichelson, Annette 22\u201323, ,\n\nMieville, Jean-Pierre\n\n_Le Samoura\u00ef_ 29\u201330\n\nMiller, Lady Anne\n\nMills, Sara\n\nmimicry , ,\n\nMinh-ha, Trinh T. ,\n\nmirror\n\nas placeless place 113\u201314\n\nMizoguchi, Kenji\n\n_Mnemosyne Atlas_ (Warburg) 341\u201342,\n\nmodernity\n\nspatial pleasures of 171\u201373\n\ntravel and cinema 16\u201317\n\nMoholy-Nagy, L\u00e1szl\u00f3\n\n_Berliner Stilleben_\n\n_Impressionen vom alten Marseiller Hafen_\n\n_Painting, Photography, Film_\n\n_mondo nuovo_ , 157\u201360\n\narchaeology of film\n\neffect in film 160\u201361\n\nMonicat, B\u00e9n\u00e9dicte\n\nMontpensier, Mademoiselle de\n\n_Relation de l'Isle Imaginaire et Histoire de la Princesse de Paphlagon\u00ece_\n\n\"Montage and Architecture\" (Eisenstein) _55\u201356_ , , 62\u201364\n\nMontagu, Lady Mary Wortley\n\n_Monument to Pope Alexander VII_ (Bernini) __ , 212\u201313\n\nMorel, Jean-Marie\n\n_Th\u00e9orie des jardins_\n\nMorell, Abby Jane\n\nMorelli, Giovanni\n\nMoretti, Franco\n\nMoretti, Nanni\n\n_Dear Diary_ 35\u201336\n\nMor\u00e9vi\n\n_Le Pays d'Amour_\n\nMorosini, Francesco\n\nMorris, Meaghan ,\n\nmotion\n\nin architecture 55\u201359,\n\ncultural migrancy 268\u201370\n\n_derive_\n\nand emotion 6\u20137, 8\u20139, 143\u201344, 200\u20133, 223\u201327, 260\u201362, ,\n\nemotion and the cinema \"wheel\" 262\u201363\n\netymology of cinema as (e)motion\n\n_f\u0142\u00e2nerie_\n\nflow of cities 18\u201340, 183\u201385\n\nmemory paths 219\u201321\n\nMesmer and energy transmission 151\u201352\n\nmobilized landscapes 181\u201383\n\nin Richter's _Atlas_\n\n_see also_ geography; site-seeing; travel\n\n_Motion Picture-Houses and Theatres_ (Shand) ,\n\n_Mr. Blandings Builds His Dream House_ (H. C. Potter)\n\nMulvey, Laura\n\nMumford, Lewis\n\n_Mundus subterraneus_ (Kircher)\n\nM\u00fcnster, Sebastian\n\n_Cosmography_\n\nM\u00fcnsterberg, Hugo\n\n_The Photoplay: A Psychological Study_ 259\u201362\n\nMurnau, F. W.\n\n_Sunrise_ , 26\u201327,\n\nMus\u00e9e Gr\u00e9vin 150\u201351\n\nMuseu Mar\u00e8s, Barcelona 133\u201335,\n\n_Museum Wormianum seu Historia rerum rariorum_ (Worm) __\n\nmuseums\n\ncabinets of curiosity 153\u201355\n\ncollection and recollection 347\u201353\n\ngallery space as expanded cinema 344\u2013350\n\nand Greenaway's cinema\/art 307\u20138, 310\u201312, , __ , 315\u201317\n\nas haptic monuments 389\u201391, __ interface with cinema 350\u201353\n\n_mus\u00e9e imaginaire_\n\nSentimental Museum 133\u201335\n\ntravel collection of Louis Vuitton _, _, 375\u201376,\n\nMusser, Charles ,\n\nMuybridge, Eadweard ,\n\narchaeology of film\n\nMy _City Was Gone_ (Fasnacht) , __\n\n_My Trophies_ (Messager) __\n\n_My Works_ (Messager)\n\n_The Naked City_ (Dassin) , , , _265\u201366_\n\n_The Naked City_ map (Debord and Jorn)\n\nsituationist psychogeography , 264\u201365, 267\u201368\n\nNaples\n\nauthor's own journeys 402\u20134, 406\u20137, , 419\u201321\n\ndigestion and sense of place 393\u201395, __\n\nmaps , _, , , , , _\n\nMuseo Nazionale\n\nand Pompeii 395\u201396\n\nportrayal in films , 364\u201369\n\nsounds\n\ntopophilia , 397\u201399\n\nviews and representations 362\u201363, _, _\n\nwomen's travels 374\u201377,\n\n_see also Voyage in Italy_\n\n_Naples '44_ (Lewis)\n\nnarration\n\nmovement in views and maps 180\u201383\n\nsequential imaging 187\u201389\n\ntravel narratives and diaries , 118\u201319, 186\u201387, , _373\u201379_ , 380\u201383, 385\u201388, ,\n\nwriting and mapping 405\u20136, _, , _\n\n_see also_ literature\n\nNauman, Bruce\n\nNegro, Camillo\n\n_La neuropatologia_ (with Omegna)\n\nNerval, Gerard de\n\n_Les Filles du feu_ 392\u201393\n\nNervi, Pier Luigi\n\n_La neuropatologia_ (Negro and Omegna)\n\n_The New Dwelling: Woman as Creator_ (Taut) __ , 93\u201394\n\nNew York\n\nauthor's topophilia 402\u20134\n\nin film , , , 265\u201366\n\n_News from Home_ (Akerman)\n\n_Night on Earth_ (Jarmusch)\n\nNightingale, Florence\n\nNotari, Elvira\n\n_Notebooks on Cities and Clothes_ (Wenders) ,\n\n_La notte_ (Antonioni) 98\u201399,\n\nNouvel, Jean ,\n\n_Now, Voyager_ (Rapper)\n\nNyman, Michael\n\n_Observations on Modern Gardening_ (Whately)\n\n_The Odyssey_ (Homer)\n\ngender and travel , 80\u201381, ,\n\nnarrative matrix in _Contempt_ ,\n\nOettermann, Stephan\n\nOlalquiaga, Celeste\n\nOmegna, Roberto\n\n_La neuropatologia_ (with Negro)\n\n_On the Lettering of Maps_ (Mercator)\n\n\"100 Objects to Represent the World\" (Greenaway) 316\u201317\n\n_One Way Street_ (Benjamin) , 258\u201359\n\noptical boxes __ ,\n\n_see also mondo nuovo_\n\n_L'optique_ (Casanave) 214\u201315\n\n_Orbis Sensualium Pictus_ (Comenius)\n\n_The Origin and Progress of the Art of Writing_ (Humphrey)\n\nOrtese, Anna Maria\n\nOttinger, Ulrike\n\n_Johanna d'Arc of Mongolia_\n\nOzu, Yasujiro\n\nPadua Botanic Garden __\n\n_Painting, Photography, Film_ (Moholy-Nagy)\n\n_Paisan_ (Rossellini) ,\n\nPalairet, M. A. __\n\n_Pan-American Exposition by Night_ (Porter) __ ,\n\nPanini, Giovanni Paolo\n\n_Picture Gallery with Views of Modern Rome_\n\nPanofsky, Erwin ,\n\n_Panorama from Gondola, St Louis Exposition_ (AM&B)\n\n_Panorama from the Moving Boardwalk_ (Edison) 19\u201320\n\n_Panorama from the Tower of the Brooklyn Bridge_ (AM&B)\n\n_Panorama from Times Building, New York_ (AM&B) __ ,\n\n_Panorama of Blackwell's Island_ (Edison)\n\n_Panorama of Eiffel Tower_ (Edison) __\n\n_Panorama of Riker's Island_ (Edison)\n\n_Panorama of 4th St., St Joseph_ (AM&B, Weed)\n\n_Panorama of the Flatiron Building_ (AM&B) __\n\n_Panorama of Water Front and Brooklyn Bridge from East River_ (Edison)\n\n_Panorama View of London_ (Banks)\n\npanoramas ,\n\nBarker's _View of Rome_\n\ncities in motion 183\u201385\n\n_Les Grands Boulevards de Paris, plate III_\n\nmodernity and spatial pleasures 171\u201373\n\nmotion and emotion\n\nof Naples ,\n\nnautical\n\npanoramic painting and vision ,\n\nscrolls in portable drums 189\u201390, __\n\nsequential imaging and narration 188\u201389\n\nwallpaper __ , 165\u201369, _, _\n\n_Panoramic View of Boston Subway from an Electric Car_ (Edison) ,\n\n_Panoramic View of Monte Carlo_ (Edison)\n\n_Panoramic View of the Brooklyn Bridge_ (Edison)\n\npanoramic vision , , 76\u201377\n\npanoramic wallpaper 165\u201369, , __\n\n_Les Grands Boulevards de Paris, plate III_\n\n_Naples_ ,\n\nParis\n\nimage of the city\n\nmapping the city , 264\u201368\n\npanoramic wallpaper __\n\n_Paris qui dort_ (Clair) , , 22\u201323\n\nPascoe, David\n\nPasolini, Pier Paolo\n\narchitecture and design\n\nfilm as a \"reality eater\" 294\u201395\n\n_Hawks and Sparrows_\n\n_Mamma Roma_, 31\u201333\n\n_The Passenger_ (Antonioni) ,\n\n_Passion_ (Godard)\n\n_Pather Panchali_ (Ray)\n\nPaul, William\n\nPavillon, E.\n\n_De L'Isle des Passions, ce premier mois d'inclination_ 229\u201330\n\n_Le Pays d'Amour_ (Mor\u00e9vi) __\n\n_La pelle_ (Cavani)\n\nPelletier, Louise\n\nPellison, Paul\n\npelvic sonogram\n\n\"The Perception of Maps\" (Arnheim) 271\u201372\n\nP\u00e9rez-G\u00f3mez, Alberto\n\n_Perspective_ (de Vries) 178\u201380,\n\n_Perspective View of the Grand Walk in the Vauxhall Gardens_ (anonymous)\n\nperspectivism 178\u201380\n\nphantasmagoria\n\nphenomenology\n\n_see also_ Merleau-Ponty\n\nPhillips, Tom\n\n_A TV Dante_ (with Greenaway)\n\n\"Photographing Architecture\" (Greenaway)\n\nphotography\n\ndepiction of emotions 142\u201344\n\nserial exhibition and motion 339\u201341\n\nSmith's out-of-focus interiors , _, plate XV_\n\nSugimoto's theaters 50\u201353,\n\n_The Photoplay: A Psychological Study_ (M\u00fcnsterberg) 259\u201362\n\n\"The Physical Self\" (Greenaway) 315\u201316\n\nphysiognomy 139\u201344,\n\nPiacentini, Marcello\n\nPiazza, Alessandro\n\nPiccoli, Michel\n\n_Picture Gallery with Views of Modern Rome_ (Panini) __\n\npicturesque _see_ art\n\n_The Pillow Book_ (Greenaway) , , __ , 325\u201329\n\nPiranesi, Giovanni Battista\n\nPiscicelli, Salvatore\n\nPistoletto, Michelangelo\n\n_Scultura da passeggio_ , __\n\nPlato\n\nthe cave\n\n_Symposium_\n\n_Playtime_ (Tati) _, _,\n\n\"A Plea for Lady Tourists\" (Crawford)\n\n_Plein soleil_ (Clement)\n\nPoiret, Paul\n\n_A Policeman's Tour of the World_ (Path\u00e9) 75\u201376,\n\nPomian, Krzysztof\n\nPompadour, Madame de (Jeanne-Antoinette Poisson) ,\n\nPompeii 395\u201396\n\nPonte, Alessandra\n\nPonti, Gi\u00f2\n\nPope, Alexander\n\n_Portable World_ (Lemieux) , __\n\nPorter, Edwin S.\n\n_Uncle Josh at the Moving-Picture Show_\n\n_Pan-American Exposition by Night_,\n\n_Portrait d'une jeune fille de la fin des ann\u00e9es, \u00e0 Bruxelles_ (Akerman)\n\n_The Portrait of a Lady_ (James)\n\nPotter, H. C.\n\n_Mr. Blandings Builds His Dream House_\n\nPotter, Sally\n\n_The Tango Lesson_ , ,\n\n_Thriller_ ,\n\nPoussin, Nicolas ,\n\nPratt, Mary Louise , ,\n\nPr\u00e9vost, Beno\u00eet-Louis\n\n_Art of Writing_,\n\nPrice, Uvedale\n\n_Pride and Prejudice_ (Austen)\n\n_Prospero's Books_ (Greenaway) ,\n\nProust, Marcel ,\n\npsychoanalysis 15\u201316\n\nas cartography , 418\u201319\n\ngenealogy reconsidered ,\n\nand intimate space , 254\u201355,\n\nand space , ,\n\n_Psychogeographic Map of Venice_ (Rumney) , __\n\npsychogeography\n\nthe haptic realm , 253\u201355\n\nin literature\n\nand mapping 221\u201323, 225\u201333, 238\u201340, 257\u201359\n\nand personal voyage 396\u201399, 418\u201319\n\nrhythmanalysis\n\nsituationism 264\u201368\n\ntender mapping , 207\u20138, ,\n\n_see also Carte du Pays de Tendre;_ cognitive mapping; memory\n\npsychology\n\nM\u00fcnsterberg's study of filmic emotion 259\u201362\n\n\"Psychology of Fashion\" (Deren) 127\u201328\n\nPuett, J. Morgan\n\n_Re Construction_ (with Shack Inc.) __\n\nPurdy, Anthony\n\nPutsch, John (Bucius)\n\n_Europa in forma virginis_\n\nQuintilian, Marcus Fabius\n\nmemory tactics 219\u201322\n\n_Rambles in Germany and Italy_ (Shelley)\n\nRambouillet, Marquise de\n\nRamondino, Fabrizia\n\nRand, Ayn\n\n_The Fountainhead_\n\nRashid, Hani\n\n_ Minute Museum_\n\nRay, Satyajit\n\n_Pather Panchali_\n\n_Re Construction_ (Puett and Shack Inc.)\n\nRea, Ermanno\n\n_Mistero napoletano_ 405\u20136\n\n_Rebels of the Neon God_ (Tsai)\n\nReclus, Elis\u00e9e\n\n_Red Desert_ (Antonioni) ,\n\n_Rehearsals for War_ (Martone)\n\nRehlen, Wilhelm\n\n_Le Salon des princesses Sophie et Marie_\n\nReichek, Elaine\n\n_Sampler (A Spider)_\n\nReinagle, R. R.\n\n_Explanation of the View of Rome_ (with Barker) __\n\nRembrandt\n\n_The Anatomy Lesson of Doctor Nicolaes Tulp_\n\n_The Anatomy Lesson of Dr. Joan Deyman_\n\n_Les Rendez-vous d'Anna_ (Akerman) __ , 100\u20131, __\n\nResnais, Alain\n\n_Hiroshima mon amour_ 39\u201340, __ , 241\u201345, __\n\n_Last Year at Marienbad_ ,\n\nReynaud, Emile\n\nrhythmanalysis ,\n\nRichter, Gerhard 9\u201310\n\n_see also Atlas_\n\n_Ricomincio da tre_ (Troisi)\n\nRiegl, Alois\n\nthe haptic , ,\n\npublic binding of eating and haptic\n\nand Semper on texture\n\n_Rien que les heures_ (Cavalcanti) ,\n\nRipa, Cesare\n\n_Iconologia_ 216\u201317\n\n_River of the Moon_ (Horn) 237\u201338\n\nRobertson (Etienne-Gaspard Robert)\n\nRobinson, David\n\nRocque, John\n\n_Garden Plan of Chiswick House_\n\nRodaway, Paul\n\nsensuous geographies 253\u201354\n\nRoelfs, Jan\n\nRome\n\n_The Belly of an Architect_ 300\u20132,\n\n_Dear Diary_ 35\u201336\n\n_Mamma Roma_ (Pasolini) 31\u201333\n\nmodern architecture and film 37\u201338, __\n\nSt. Peter's ,\n\nRony, Fatimah Tobing\n\nRosa, Salvator , ,\n\nRose, Gillian\n\nRosselli, Francesco\n\n_Tavola Strozzi_\n\nRosen, Philip\n\nRosenfield, Israel\n\n_The Invention of Memory_\n\nRosi, Francesco\n\n_Hands over the City_\n\nRossellini, Roberto , , , ,\n\n_Germany Year Zero_\n\nand Ingrid Bergman\n\n_Paisan_ ,\n\n_Stromboli_\n\n_see also Voyage in Italy_\n\nRoyal Polytechnic Institution, London ,\n\n_Royaume d'Amour en l'isle de Cyth\u00e8re_ (l'Hermite) , __\n\n_Royaume de Frisquemore_ (Sorel)\n\nRudofsky, Bernard\n\n\"Are Clothes Modern?\"\n\nRuiz, Ra\u00fal ,\n\n_The Hypothesis of the Stolen Painting_\n\nRumney, Ralph\n\n_Psychogeographic Map of Venice_ , __\n\nRussell, Rosalind __ ,\n\nRuttmann, Walter\n\n_Berlin, Symphony of the Big City_\n\nRykiel, Sonya\n\nSade, Marquis de\n\nSadeler, Jean\n\n_St. Jerome in His Study_ (Messina)\n\nSala delle carte geografiche (Guardaroba), Palazzo Vecchio , ,\n\nSala del mappamondo, Palazzo Farnese\n\nSalcedo, Doris , __ , , _plate X_\n\n_Untitled_\n\nSalle, David\n\nSalle du Cosmos\n\nSalle Robin\n\n_Le Salon des princesses Sophie et Marie de Bavi\u00e8re \u00e0 Nymphenburg_ (Rehlen) __\n\n_Le Samoura\u00ef_ (Mieville) 29\u201330\n\nSartre, Jean-Paul 290\u201391\n\ndigestion and Naples\n\nSavoy Theatre, London __\n\nScarry, Elaine\n\nSchama, Simon\n\nSchifano, Jean-No\u00ebl\n\nSchilder, Paul\n\nSchivelbusch, Wolfgang\n\npanoramic vision , 76\u201377\n\nSchnabel, Julian\n\nSchroeter, Werner\n\n_Kingdom of Naples_\n\nSchulz, Juergen ,\n\nSchwartz, Vanessa 150\u201351,\n\nscience\n\nand art 150\u201351\n\nautomata 147\u201348\n\nand emotions 142\u201344, 259\u201362,\n\ngenealogy and polymathic knowledge 139\u201340, 144\u201346,\n\nand Mesmer's view of energy 151\u201352\n\nand spectacle , 161\u201362,\n\nScorsese, Martin\n\non Antonioni\n\nScott, Ridley\n\n_Blade Runner_ ,\n\nScud\u00e9ry, Madeleine de\n\n_Cl\u00e9lie_ , , ,\n\nand garden design 218\u201319\n\npersonal life\n\nsalon 217\u201318,\n\n_see also Carte du Pays de Tendre_\n\nScully, Vincent\n\nlandscape architecture and fortification\n\nthe picturesque\n\n_Scultura da passeggio_ (Pistoletto) , __\n\nSeaman, Elizabeth Cochrane (Nellie Bly) 125\u201326, __\n\nseascapes ,\n\nmobile mapping and narrative 181\u201383\n\nrestorative landscape\n\nSei Sh\u014dnagon\n\n_The Pillow Book_ , 327\u201328\n\nSekula, Allan\n\nSemper, Gottfried\n\nwall as cloth ,\n\nwearing a building\n\nSennett, Richard\n\nflesh and stone ,\n\n_The Senses of Touch, Hearing, and Taste_ (J. Brueghel) _, plate VIII_\n\nsensory perception _see_ haptic\n\n_Sentimental Journey_ (Sterne)\n\nSentimental Museum 133\u20135,\n\nSerrano, Andres\n\nSeutter, Matthaeus\n\n_The Attack of Love_, 230\u201331\n\nsexuality\n\ndeath\n\nLyons's self-portrait 120\u201321\n\nand sculpture 389\u201391\n\nand space , , , , , 396\u201397\n\nShack Inc.\n\n_Re Construction_ (with Puett) __\n\nShand, P. Morton\n\n_Motion Picture-Houses and Theatres_ ,\n\nShaviro, Steven\n\nSheeler, Charles\n\n_Manhatta_ (with Strand)\n\nShelley, Mary\n\n_Rambles in Germany and Italy_\n\n_The Sheltering Sky_ (Bertolucci)\n\nShephard, Gregory\n\n_Double Blind_ (with Calle)\n\nSherman, Cindy\n\n_Untitled Film Stills_\n\n_The Shining_ (Kubrick)\n\nShohat, Ella\n\n_Silent Movie_ (Marker)\n\nSimmel, Georg\n\nemotional life of the metropolis\n\nfashion 122\u201323,\n\nSirk, Douglas\n\n_The Sisters Abroad, or an Italian Journey_ (Channing) __ ,\n\nsite-seeing\n\ndefinition 15\u201316\n\n_see also_ travel; wandering\n\n_Sites of Genealogy_ (Green)\n\nsituationism\n\npsychogeography 264\u201368\n\n_The Skyscrapers of New York City_ (Edison)\n\n_Slowly Turning Narrative_ (Viola)\n\n_The Smiling Madame Beudet_ (Dulac)\n\nSmith, Albert 117\u201318\n\nSmith, Seton\n\n_Curving Windows and Stairs_ , _plate XV_\n\n_Five Interiors Equal Home_\n\n_Interiors_\n\nSmithson, Robert\n\nSobchack, Vivian ,\n\n_Societ\u00e9 des Voyaguers et d'Artistes_\n\nSoglow, O.\n\n_Main Route of Expedition through the Alimentary Canal_,\n\nSoja, Edward\n\nSoldini, Silvio\n\n_A Soul Divided in Two_\n\nSomaise, Baudeau de\n\n_Voyage fortune dans les Indes du Couchant_\n\nSontag, Susan\n\n_The Volcano Lover_\n\nSorel, Charles\n\n_Carte de mariage_\n\n_Royaume de Frisquemore_\n\nSorkin, Michael\n\n_A Soul Divided in Two_ (Soldini)\n\nsoundscape\n\nand rhythms of Naples 383\u201385\n\nspace\n\nbodies, film and architecture _64\u201366_\n\ncinema and architecture\n\ngeopsychic , , , , , 253\u201357, 266\u201367, 396\u201397, 418\u201319\n\nhaptic and optic of film 6\u20137, 250\u201351\n\nhaptic in cyberspace 106\u20137\n\ninhabitation _65\u201366_\n\nLefebvre's \"lived space\" , , , ,\n\nmapping of , 6\u20137, 207\u20138, 413\u201316\n\nand memory 219\u201321\n\nmodernity and spatiovisual pleasure 171\u201373\n\nsequential images and narration 187\u201389\n\nand touch 251\u201353\n\ntopophilia , 354\u201357\n\nvariety of aspects within gardens , 202\u20133\n\nwalls and screens 320\u201321\n\n_see also_ architecture; motion; travel\n\nSpada, Francesca\n\n_The Spider_ (L. Bourgeois)\n\nSta\u00ebl, Germaine de\n\n_Corinne, or Italy_\n\nStafford, Barbara\n\nmovement and spatiality\n\n_The Stairs: The Location_ (Greenaway) 310\u201311\n\n_The Stairs: Projection_ (Greenaway) __ , 307\u20138, ,\n\nStarke, Mariana\n\n_Travels in Italy_\n\nStein, Gertrude ,\n\non geography 208\u20139\n\nand M\u00fcnsterberg\n\n_Tender Buttons_\n\nStendhal ,\n\nStern, Robert\n\nSterne, Laurence\n\n_Sentimental journey_\n\nStewart, Susan\n\n_stimmung_ ,\n\nStoddard, John L. ,\n\nStokes, Sir George Gabriel\n\nStrand, Paul\n\n_Manhatta_ (with Sheeler)\n\n_Street Angel_ (Borzage)\n\n_Streetwalking on a Ruined Map_ (Bruno) ,\n\n_Stromboli_ (Rossellini)\n\nSugimoto, Hiroshi , , ,\n\ncinema theaters 50\u201353, __\n\ninner cosmology\n\nwhite film screen\n\n_Sunrise_ (Murnau) , 26\u201327,\n\nSuperville, Humbert de\n\n_Essai sur les signes inconditionnels dans l'art_ ,\n\nSwanenburgh, Willem\n\n_The Anatomical Theatre of Leiden_\n\n_Sweet Movie_ (Makavejev) ,\n\n_The Table of the Poor_ (Blasetti)\n\n_tableaux vivants_ ,\n\ntactilism , ,\n\nTafuri, Manfredo\n\nTallemant, Abb\u00e9\n\n_Voyages de l'Isle d'Amour_\n\nTange, Kenzo\n\n_The Tango Lesson_ (S. Potter) , ,\n\nTaoism\n\n_Taste Venue_ (Green)\n\nTati, Jacques\n\n_Playtime, _,\n\ntattoos\n\nTaussig, Michael\n\nTaut, Bruno 92\u201394\n\n_The New Dwelling: Woman as Creator_, 93\u201394\n\n_Tavola Strozzi_ (Rosselli)\n\ntechnology _see_ cinema\n\n_Tender Buttons_ (Stein)\n\nTeyssot, Georges\n\n_Le Theatre fran\u00e7oys_ (Bouguereau)\n\nTheoria 216\u201317,\n\n_Th\u00e9orie des jardins_ (Morel)\n\n_Things to Come_ (Menzies)\n\nThompson, Ella W.\n\n_Thriller_ (S. Potter) ,\n\nTitania Palace Cinema, Berlin _, _\n\nTivoli Gardens __ ,\n\nTomasini, Giacomo Filippo\n\n_Gymansium Patavinum_\n\n_Topographical Map of the City of Naples_ (Carafa) _, , , _, _, , _\n\ntopophilia , 354\u201357, 396\u201399\n\nRossellini's Naples\n\nTot\u00f2\n\n_Tourisms: suitCase Studies_ (Diller + Scofidio)\n\nTowle, G. M.\n\n_View from Steeple, Boston_\n\n_Trait\u00e9 de la formation des jardins_ (Duschesne)\n\ntransport\n\ndefinition 6\u20137\n\ntravel\n\narchitectonics of gender 84\u201386\n\nand cinematic motion , , 75\u201377, , , 353\u201354\n\nas conquest 77\u201380\n\ncultural migrancy 268\u201370\n\ncultural process of mobilization 170\u201373,\n\ndwelling-voyage 103\u20136, 237\u201340, 416\u201318\n\nfashion __ , 122\u201328, 374\u201376\n\nfilm genre 18\u201320, 160\u201361\n\nfilm itineraries and museum walks 342\u201344\n\n_ge\u00f3ramas_ 161\u201362\n\nthe house as voyage 86\u201388, 91\u201395\n\nMar\u00e9orama\n\n_mondo nuovo_ 156\u201360\n\npassages 95\u201399, 99\u2013103, 107\u20139\n\npicturesque journeys 192\u201396\n\npsychogeography , , ,\n\nby theory 15\u201316, 84\u201386, 409\u201310\n\ntransport by film , , ,\n\ntravel lectures , 111\u201312, 117\u201318,\n\ntravel writing and discourse 116\u201320, 186\u201387, 373\u201379\n\nwomen and voyage 80\u201382, , 373\u201379, 396\u201399\n\nwomen map interiors 82\u201384, , , , , , , 416\u201319\n\n_see also_ site-seeing _Travel as Metaphor_ (Van Den Abbeele)\n\n_The Travel Warrant of Annette Messager_\n\n_The Traveller's Eye_ (Carrington)\n\n_Travels in Italy_ (Starke)\n\n_Treatise on the Sensations_ (Condillac) 251\u201352\n\nTroisi, Massimo\n\n_Ricomincio da tre_\n\n_tropos_ (Hamilton) _, plate XVI_\n\nTsai Ming-liang\n\n_Rebels of the Neon God_\n\n_Vive l'amour_\n\nTschumi, Bernard\n\n\"Cinematic Promenade\" , __\n\nLe Fresnoy National Studio\n\n_The Manhattan Transcripts_\n\nmotion in architecture 56\u201357\n\nTuan Yi-Fu ,\n\nTussaud, Madame\n\n_A TV Dante_ (Greenaway and Phillips)\n\n_Hour Psycho_ (Gordon)\n\n_Two or Three Things I Know About Her_ (Godard)\n\n_2001: A Space Odyssey_ (Kubrick)\n\nUfa Cinema, Berlin __\n\n_Uncle Josh at the Moving-Picture Show_ (Porter)\n\nUniversal CityWalk, Los Angeles 41\u201342\n\n_Until the End of the World_ (Wenders) 107\u20139, __\n\n_Untitled_ (Salcedo) _, plate X_\n\n_Untitled (Book Corridors)_ (Whiteread) __ ,\n\n_Untitled (House)_ (Khedoori) __\n\n_Untitled_ (3 mattresses) (Kuitca) __\n\n_Untitled (Torino)_ (Kuitca) _plate XIII_\n\n_Untitled_ (20 beds) (Kuitca) _plate VI_\n\n_Untitled (Windows)_ (Khedoori) __\n\nurban landscapes\n\nChina and Chinatowns\n\ncinema's flow of , 21\u201327, 37\u201339, 100\u20133,\n\nearly cinema's panoramas 18\u201320, 183\u201384\n\nfeminine allure and city lure 26\u201327\n\nfilm history as collage of cine cities 361\u201362\n\nhistory and the street in film 42\u201343\n\nhomes and private lives 35\u201338, 88\u201395, , 103\u20136\n\ninteriors 62\u201366, 85\u201388, 237\u201340, 416\u201318\n\nItalian neorealism\n\nmotion and architecture 55\u201359, ,\n\n_The Naked City_ intertext 66\u201367, 264\u201368\n\n_noir_ geography 27\u201330\n\npsychogeography , 257\u201359, 264\u201368\n\nspace and city views 53\u201362\n\ntopophilia of Wenders 34\u201335\n\nand the \"transport\" of love 39\u201340\n\nview and topographical painting 174\u201378, _, _, 180\u201381,\n\n_see also_ Paris; Rome; Naples; New York; _Voyage in Italy_\n\nUrry, John\n\n_Vagabond_ (Varda)\n\nVan Den Abbeele, Georges\n\n_Travel as Metaphor_\n\nvan Doesburg, Theo\n\nCaf\u00e9 and Cinema de L'Aubette\n\nVan Os, Ben\n\nVarda, Agnes\n\n_Vagabond_\n\nVauxhall Gardens 196\u201398\n\n_The Veiling_ (Viola)\n\nVenice __\n\nBarbari's bird's-eye view , __\n\nVermeer, Jan\n\n_The Astronomer_\n\n_The Geographer_\n\ninteriors with women\n\n_The Little Street_\n\n_View of Delft_ ,\n\nVertov, Dziga\n\n_The Man with the Movie Camera_ , 23\u201325, _, , , _,\n\nVesalius, Andreas\n\n_De humani corporis fabrica_\n\n_I Vesuviani_\n\nVesuvius _see_ Pompeii\n\nVidler, Anthony , ,\n\nVidor, King\n\n_The Crowd_\n\n_The Fountainhead_,\n\nVienna\n\naerial map by D'Annunzio __\n\nVierny, Sacha ,\n\n_View and Plan of Toledo_ (El Greco)\n\n_View from Steeple, Boston_ (Towle) __\n\n_View of Delft_ (Vermeer) ,\n\n_View of Vesuvius and a Part of the City of Naples_ (C. Bourgeois)\n\nview painting 174\u201377, 180\u201381,\n\n_veduta_ ,\n\nand Scud\u00e9ry's _Carte de Tendre_\n\nsequential narration\n\n_see also_ art\n\nVigo, Jean\n\n_A Propos de Nice_\n\nViola, Bill\n\n_Slowly Turning Narrative_\n\n_The Veiling_\n\nVirilio, Paul , , 77\u201378,\n\nVisscher, Cornells\n\nVisscher, Nicolas\n\nVitti, Monica\n\n_Vive l'amour_ (Tsai)\n\nViviani, Raffaele\n\n_The Volcano Lover_ (Sontag)\n\n_Voyage around My Room_ (de Maistre)\n\n_Voyage fortune dans les Indes du Couchant_ (Somaise)\n\n_Voyage in Italy_ (Rossellini) , , , 379\u201380, _, , _\n\nauthor's own voyage 402\u20134, 406\u20137, , 419\u201320\n\nbellies and digesting the city 393\u201395\n\ncultural travel 412\u201313\n\ndeath and love __ , 392\u20133, __ ,\n\ngrand tour of Naples 369\u201373, 378\u201393\n\nheat and _otium_ 385\u201388, __\n\nthe inner journey 396\u201399, _, _\n\nKatherine experiences the haptic of sculpture 389\u201391, __\n\nand Naples in film _365\u201366_\n\npanorama and picturesque 362\u201363, 381\u201383\n\nand rhythm 383\u201385\n\nVesuvius __ , 395\u201396\n\n_see also_ Naples\n\n_Voyage pittoresque de Paris_ (d'Argenville)\n\n_Voyages de l'Isle d'Amour_ (Tallemant)\n\nVries, Jan Vredeman de\n\n_Perspective_ 178\u201380, __\n\nVuitton, Louis _, , _\n\nprivate museum of voyage _375\u201376_\n\n_A Walk through H_ (Greenaway) 304\u20136\n\n_A Walk through Prospero's Library_ (Greenaway) _293\u201394_\n\nWalpole, Horace\n\nWanamaker Department Store __ wandering 15\u201316, , , , , , , , 412\u201313\n\nspaces of 153\u201356\n\n_see also_ motion; site-seeing; travel\n\nWarburg, Aby\n\n_Mnemosyne Atlas_ 341\u201342,\n\nwarfare\n\nas travel 77\u201380\n\nWarhol, Andy ,\n\nWarner, Marina\n\n_Washington, Madison and Union Squares_ (Bunce) __\n\n_Watching Water_ (Greenaway) _, , , , , plate IX_\n\nWatelet, Claude-Henri\n\n_Essai sur les jardins_\n\n_Water Tower_ (Whiteread)\n\nWatney, Simon\n\nwaxworks , , 148\u201351,\n\nWeed, A. E.\n\n_Panorama of 4th St., St Joseph_\n\nWenders, Wim\n\n_Beyond the Clouds_ (with Antonioni)\n\n_Emotion Pictures_\n\n_Lisbon Story_ , ,\n\n_Notebooks on Cities and Clothes_ ,\n\ntopophilia\n\n_Until the End of the World_ 107\u20139, __\n\n_Wings of Desire34\u201335, _\n\nWertmuller, Lina\n\nWharton, Edith\n\n_The Decoration of Houses_ (with Codman)\n\nWhately, Thomas\n\n_Observations on Modern Gardening_\n\nWhiteread, Rachel\n\n_House_ and works on domestic space 105\u20136,\n\n_Untitled (Book Corridors)_,\n\n_Water Tower_\n\nWigley, Mark 92\u201393\n\narchitecture and fashion\n\n_White Walls, Designer Dresses_ 320\u201321\n\nWillart, Emma Hart\n\nWilliams, Linda\n\nWills, David\n\nWilson, Elizabeth\n\n_Wings of Desire_ (Wenders) 34\u201335,\n\nWinspeare, Edoardo\n\n_Winter in Italy in a Series of Letters to a Friend_ (Yates)\n\nWodiczko, Krzysztof\n\nwomen\n\narchitectonics of gender 84\u201386\n\nartists make maps __ , , _, , , _\n\nbodies as landscapes , , 232\u201333\n\ncosmetics of self-imaging __ , 112\u201314, , , 128\u201329\n\nfashion and the emotions 127\u201328, 323\u201324\n\nfashion and travel 122\u201327, __ , 374\u201376, __\n\nfashioning space 93\u201394, , __ ,\n\ngardens and emotions 199\u2013200,\n\nand geographic spectacles ,\n\ngeography as a gendered subject 209\u201313\n\nand geography as portrayed by Longhi 213\u201314\n\nthe house in _Craig's Wife_ 88\u201391\n\nand interior design 92\u201395\n\nand love 39\u201340, , 225\u201327, 242\u201345, 283\u201385, 326\u201327, 391\u201392\n\nand the lure of the city , 26\u201327\n\nin passage 96\u2013103\n\nreading habits\n\nrepresent the house and the voyage of dwelling __ , 82\u201384, 86\u201388, __ , 103\u20135, , , _, , , plates X, XV_\n\nScud\u00e9ry's salon\n\nself-representation in travel writing , 118\u201320\n\nand social change 32\u201333\n\ntender mapping and intersubjectivity 207\u20138, , , , _398\u201399_\n\ntravel lectures 111\u201312\n\nvoyagers 81\u201382, 85\u201386, 373\u201379\n\nWong Kar-Wai\n\n_Chung King Express_\n\n_Fallen Angels_\n\n_Happy Together_\n\nWoolf, Virginia\n\nWorm, Olaus\n\n_Museum Wormianum seu Historia rerum rariorum_\n\nWorringer, Wilhelm\n\nWright, Frank Lloyd\n\nWright, Joseph\n\nWyld, James\n\n\"Great Globe\" 161\u201362, __\n\nYamamoto, Yohji\n\nYates, Frances\n\nYates, Mrs. Ashton\n\n_Winter in Italy_\n\n_Young Woman at Her Toilette_ (Bellini)\n\nYourcenar, Marguerite\n\nZavattini, Cesare\n\n_Indiscretion of an American Wife_ (with De Sica)\n\nZittel, Andrea\n\nZompini, Gaetano \n\n## Contents\n\n  1. Cover Page\n  2. Halftitle Page\n  3. Title Page\n  4. Copyright Page\n  5. Contents\n  6. Acknowledgments\n  7. Prologue\n  8. Architecture\n    1. 1. Site-Seeing: The Cine City\n    2. 2. A Geography of the Moving Image\n  9. Travel\n    1. 3. Traveling Domestic: The Movie \"House\"\n    2. 4. Fashioning Travel Space\n  10. Geography\n    1. 5. The Architecture of the Interior\n    2. 6. Haptic Routes: View Painting and Garden Narratives\n  11. Art of Mapping\n    1. 7. An Atlas of Emotions\n    2. 8. An Archive of Emotion Pictures\n  12. Design\n    1. 9. M Is for Mapping: Art, Apparel, Architecture Is for Peter Greenaway\n    2. 10. Film and Museum Architexture: Excursus with Gerhard Richter's Atlas\n  13. House\n    1. 11. Views from Home\n    2. 12. My \"Voyage in Italy\"\n  14. Notes\n  15. List of Illustrations\n  16. Index\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\nThis edition is published by PICKLE PARTNERS PUBLISHING\u2014www.picklepartnerspublishing.com\n\nTo join our mailing list for new titles or for issues with our books \u2013 picklepublishing@gmail.com\n\nOr on Facebook\n\nText originally published in 1992 under the same title.\n\n\u00a9 Pickle Partners Publishing 2015, all rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted by any means, electrical, mechanical or otherwise without the written permission of the copyright holder.\n\nPublisher's Note\n\nAlthough in most cases we have retained the Author's original spelling and grammar to authentically reproduce the work of the Author and the original intent of such material, some additional notes and clarifications have been added for the modern reader's benefit.\n\nWe have also made every effort to include all maps and illustrations of the original edition the limitations of formatting do not allow of including larger maps, we will upload as many of these maps as possible.\nSLIGHTLY OUT OF FOCUS\n\nBY\n\nROBERT CAPA\n\n# TABLE OF CONTENTS\n\nContents\n\nTABLE OF CONTENTS 4\n\nI\u2014SUMMER 1942 9\n\nII 13\n\nIII 21\n\nIV\u2014SPRING 1943 41\n\nV 51\n\nVI 56\n\nVII\u2014FALL 1943 75\n\nVIII 107\n\nIX\u2014SUMMER 1944 113\n\nX 127\n\nXI 157\n\nXII 163\n\nXIII 167\n\nXIV\u2014SPRING 1945 176\n\nXV 190\n\nREQUEST FROM THE PUBLISHER 192\n\n# I\u2014SUMMER 1942\n\nThere was absolutely no reason to get up in the mornings any more. My studio was on the top floor of a small three-story building on Ninth Street, with a skylight all over the roof, a big bed in the corner, and a telephone on the floor. No other furniture\u2014not even a clock. The light woke me up. I didn't know what time it was, and I wasn't especially interested. My cash was reduced to a nickel. I wasn't going to move until the phone rang and someone suggested something like lunch, a job, or at least a loan. The phone refused to ring, but my stomach was calling. I realized that any further attempt to sleep would be futile.\n\nI rolled over and saw that the landlady had pushed three letters under the door. For the last few weeks my only mail had been from the phone and electric companies, so the mysterious third letter finally got me out of bed.\n\nSure enough, one of the letters was from Consolidated Edison. The second was from the Department of Justice, informing me that I, Robert Capa, formerly Hungarian, at present nothing definite, was hereby classified as a potential enemy alien, and as such had to give up my cameras, binoculars, and firearms, and that I would have to apply for a special permit for any trip that would take me more than ten miles from New York. The third letter was from the editor of Collier's magazine. He said that Collier's, after pondering over my scrapbook for two months, was suddenly convinced that I was a great war photographer, and would be very pleased to have me do a special assignment; that a reservation had been obtained for me on a boat leaving for England in forty-eight hours; and that enclosed was a check for $1,500 as an advance.\n\nHere was an interesting problem. If I'd had a typewriter and sufficient character, I would have written back to Collier's, telling them that I was an enemy alien, that I could not go even to New Jersey, let alone England, and that the only place I could take my cameras was the Enemy Aliens' Property Board down at City Hall.\n\nI had no typewriter, but I had a nickel in my pocket. I decided to flip it. If it came up heads, I would try to get away with murder and go to England; if it came up tails, I would return the check and explain the situation to Collier's.\n\nI flipped the nickel, and it was\u2014tails!\n\nThen I realized that there was no future in a nickel, that I was going to keep\u2014and cash\u2014the check, and that somehow I would get to England.\n\n* * * *\n\nThe subway accepted the nickel. The bank accepted the check. I had breakfast at Janssen's, next to the bank\u2014a big breakfast that came to $2.50. That settled it. I couldn't very well go back to Collier's with $1,497.50, and Collier's was definitely in for trouble.\n\nI reread their letter and made sure that my boat was leaving in about forty-eight hours. Then I reread the letter from the Department of Justice, and tried to figure out where to start. All I needed was a release from my draft board, an exit and re-entry permit from the U.S. State and Justice Departments, a British visa, and some sort of passport to put the visa on. I couldn't afford to collect a \"no\" at the very beginning, so I needed an understanding ear. I was in trouble. Well, the United States was just starting to realize what trouble meant, but the British had been at war for over two years and must have got used to trouble. I decided to go to the British first.\n\nFrom Janssen's to the airline terminal was a five-minute walk. I learned that there was a plane leaving for Washington in less than an hour. I bought a ticket, and Collier's was out still more money.\n\nTwo and a half hours later, a taxi put me down at the British Embassy in Washington, where I asked to see the press attach\u00e9. I was led into the presence of a tweedy gentleman with a very red face and a bored expression. I told him my name, but I didn't know how to start my story, so I simply gave him the two letters, the one from Collier's, then the one from the Department of Justice. He read the first one without showing any reaction, but when he put down the second there was a trace of a smile on his lips. Somewhat encouraged, I fished out and handed him the still unopened letter from Consolidated Edison, which I well knew was a notice that my electricity was going to be shut off. He motioned me to sit down.\n\nWhen he finally spoke, he was surprisingly human. Until the war, he had been a professor of geology. The outbreak of hostilities had found him in Mexico, where he was happily studying the composition of the soil on top of tired volcanoes. He did not care much about politics, but this was war and they had drafted him as a press officer. Ever since, he had had to turn down all kinds of propositions for saving the British. He assured me that my case beat them all. I was champ! I was overwhelmed with sympathy for him, and for myself. I suggested lunch.\n\nWe went to the Carlton and had to drink many dry martinis before we could get a table. My companion warmed up considerably, and I began to feel that\u2014along with Collier's\u2014the attach\u00e9 and the British Empire were going to be stuck with me, too. When we finally got a table, I picked up the menu and ordered a dozen Blue Points apiece to start. Now, five years before, in France, I had invested heavily in my drinking education, and I remembered that in every English mystery story where Lord Peter Wimsey had anything to say, oysters are washed down with that marvelous white burgundy called Montrachet. The Montrachet 1921 was at the bottom of the list, and very expensive. It was a happy choice. My companion told me that, fifteen years ago, when he had spent his honeymoon in France, he had impressed his bride with that very wine, so by the end of the bottle we were talking about our love for France\u2014and Montrachet. Over the second bottle we agreed that our feelings about throwing the Germans out of la belle France were equally strong, and after the coffee, along with the Carlos Primero brandy, I told him about my three years with the Republican Army in the Spanish Civil War, and how I had good reason to hate the fascists.\n\nBack at the Embassy, he picked up the telephone and asked for the State Department. He got through to someone high up, called him by his first name, said that in his office was \"good old Capa,\" that it was vitally important that I get to England, and that I would be over in fifteen minutes to pick up my exit and re-entry permits. He hung up, gave me a slip of paper with a name on it, and fifteen minutes later I was at the State Department. I was received by a precisely dressed gentleman who filled in my name and occupation on a form, signed it, and told me that all would be ready by nine in the morning at the immigration office at Staten Island, in New York Harbor. Then he accompanied me to the door, relaxed for a moment, slapped me on the back, winked, and wished me \"Good luck!\"\n\nWhen I returned to the Embassy, my friend the attach\u00e9 was a bit solemn\u2014and worried\u2014until I told him that my first step had been successful. This time he called the British consul general in New York. He told him that \"old Capa\" was leaving for England, and had absolutely everything in order, but had no passport. Ten minutes and several phone calls later, the naval attach\u00e9 of the Embassy, the professor, and I were all in a little bar, drinking to the success of my trip. It was time for me to catch my plane, but before parting, the naval attach\u00e9 assured me that he was going to send code messages to every port in the United Kingdom saying that I was arriving on a boat, with cameras and film, and that I was to be helped in every way and delivered safely to the Admiralty in London.\n\nOn the plane back to New York, I decided that the British were a great people, that they had a wonderful sense of humor, and that, when it came to the impossible, they were very nice to have around.\n\n* * * *\n\nNext morning, the British consul general in New York remarked that my case was highly unusual\u2014but that war was highly unusual too. He gave me a very usual-looking piece of white paper, asked me to put down my name, explain why I hadn't any passport, and state my reasons for traveling.\n\nI wrote that my name was Robert Capa; that I was born in Budapest; that Admiral von Horthy and the Hungarian government had never liked me, and that I had never liked them; that the Hungarian Consulate, since Hitler's annexation of Hungary, refused to say that I was not a Hungarian, nor would they say that I was; that, so long as Hitler was in charge of Hungary, I definitely refused to say that I was; that I was born deeply covered by Jewish grandfathers on every side; and that I hated the Nazis and felt that my pictures would be useful as propaganda against them.\n\nI was a little worried about the spelling when I handed him back the piece of paper, but he put stamps and seals on it, a blue ribbon all around it, and\u2014a passport was born.\n\n* * * *\n\nOn the morning I was to sail, there were still four or five minor permits missing. My mother, who was now living in New York, accompanied me, and while I tried to collect those last necessary scraps of stamped paper, she waited for me in the taxi. Each time I returned, she sat silently and tried to read the answers on my face. She was a very torn mother that morning, hoping for my sake that I would succeed in getting the various permits and get away; for her own motherheart, praying that something would go wrong and that I would not be able to go off to war again.\n\nI finally had all the papers, but we were an hour and a half late for the scheduled departure of my ship, and my mother's last hope was that the boat had already left.\n\nBut when we arrived at the pier, the dirty old merchant boat was still there. A big Irish cop barred our way: I showed him my papers.\n\n\"You're late,\" he said. \"And you'd better make it snappy\"\n\nThis was as far as my mother could go. She ceased to be the representative of \"brave motherhood in wartime,\" and was transformed into a big and loving Jewish heart. All the long-repressed reserve of tears poured out of the corners of her big, beautiful brown eyes. The six-foot-six Irish cop put his arm around the shoulders of my little five-foot mother and said, \"Lady, I'm going to buy you a drink.\"\n\nI slipped a last kiss to my mother, and ran for the gangplank.\n\nMy last view of the United States was the backs of the Irish cop and my mother, crossing to the bar under the suddenly smiling skyscrapers.\n\n# II\n\nI hurried up the gangplank. I wasn't the only late arrival. Close on the heels of two staggering sailors, I marched out of the United States.\n\nThe captain, who was standing at the head of the gangplank, turned to his mate and said, \"Well, there's the last two, home to roost.\" Then he saw me. \"And who are you?\"\n\n\"I'm a rather special case, sir. I'm the traveling enemy alien.\"\n\n\"Well, we're carrying a strange cargo already. Suppose we go down to my cabin and see how you're listed on the manifest.\"\n\nHe found me duly described there, and went through my papers without comment.\n\n\"Before the war,\" he told me, \"I carried bananas and tourists from the West Indies to England. Now, instead of bananas, I'm bringing home the bacon, and on the promenade deck I'm carrying dismantled bombers instead of tourists. Well, my boat isn't as clean as it used to be, Mr. Capa, but my tourist cabins are empty and I think you'll find your quarters comfortable.\"\n\nI found my cabin and settled down. The engines were humming. After two years in the States, I was on my way back to Europe. My mind wandered back....Two years ago, flying from France, I had arrived in this same harbor, and at that time I'd had to worry whether they would let me enter. At that time too my papers had been pure invention. I had been described as a farming expert on my way to Chile to improve the agricultural standards of that country, and had a transit visa which allowed me to stay in the States for thirty days. It had not been easy to land then...it had been difficult persuading them to let me stay...and it had needed the miracle of an English professor to let me leave....\n\nI took out my cameras\u2014which, since December 8, 1941, I had not even been allowed to touch\u2014poured myself a drink, and I was a newspaperman again.\n\n* * * *\n\nAt dawn we anchored in Halifax harbor. Here the captain went ashore to receive instructions. Later in the day, after he had returned, I learned that we were going to cross as part of a fast convoy, that our ship would be the lead ship, and that a retired Navy captain\u2014who was now commodore of the convoy\u2014would command from our bridge.\n\nI had visions of a sensational four-page spread in Collier's, called \"Commodore of the Convoy,\" with dramatic photographs of this old, tottering sea dog standing on the bridge, ships sinking to fore and aft.\n\nAfter dinner, the commodore sent for me. There was hardly any light on the bridge, but when I could make out his features I was disappointed. Instead of the tottering, old sea lion I had pictured, I found a trim gentleman in his fifties, and the only resemblance I could find to the character of my imagination was a pair of enormous and very bushy eyebrows. I introduced myself, and he answered that, as for himself, he was an Irishman. He immediately went on to say that he was very interested in the movie world, and found some of the Hollywood actresses rather exciting. He would have to stay on the bridge all through the trip, but why couldn't I come up every night and tell him some nice stories about Hollywood? In exchange, he would be glad to tell me everything about convoys.\n\nThe deal was quite unfair. For the commodore knew his convoys, whereas I had never been to Hollywood. But I didn't have the heart to tell him that he had mispronounced my name, that I wasn't the famous movie director, that my name was Bob Capa, and not Frank Capra at all. During the rest of the trip I would have to play Scheherazade. I could only hope that it wouldn't last a thousand and one nights!\n\nWe spent the night in the harbor. In the morning, the commodore asked me if I'd like to go along with him and visit the captains of the ships in the convoy. Most of our ships were sailing under foreign flags, and the commodore had a hard time trying to make himself understood. The Swedish and Norwegian skippers offered us aquavit and spoke rather good English. The Dutchmen had very good gin and no trouble at all. The French captain had excellent brandy, and I translated. The Greek had a murderous drink called ouzo and spoke a very fast Greek. In all, we visited twenty-three ships, and in all, we drank in twenty-three different nationalities. On the way back to our boat, the commodore complained about all the crazy foreigners and made me feel positively Anglo-Saxon.\n\nIn the afternoon we formed our convoy without difficulty. We sailed in four rows of six ships, about a thousand yards apart from each other. Our escort was kind of meager\u2014a single destroyer and five tiny corvettes.\n\nOur first night on the bridge, the commodore did most of the talking. During World War I he had been the captain of a destroyer, and by 1918 he was leading an entire flotilla. The names of Zeebrugge and Gallipoli floated through the air. When he finished his stories, he asked me how Lillian Gish was doing nowadays. I assured him that Miss Gish was still in excellent shape, and as we parted it looked like the beginning of a beautiful friendship.\n\nThe first four days at sea passed without excitement. I spent my days taking pictures of everything and everybody from the masthead to the engine room, and at night I was on the bridge, telling the commodore everything I could remember from the fan magazines I'd read in the waiting room at my dentist's. I hinted vaguely that I was a very discreet man, but still I let him feel that I myself may have had a somewhat active part in some of those Hollywood scandals. In exchange, he told me about the time, during one of his convoys to Murmansk, that his boots froze to the deck and how he couldn't move for three days. The commodore did not drink while on the high seas, but I had my pocket flask and fought the cold as he talked. After midnight, leaning on the rail of the bridge, I sometimes felt as if I were in a blacked-out Third Avenue bar.\n\nSo far, my \"Battle of the North Atlantic\" was entirely pleasant\u2014indeed, far too pleasant. The crew, however, took a poor view of my craving for action, and was not at all upset about the possibility of the Collier's story being dull.\n\nOn the fifth day, we ran into a genuine North Atlantic fog. Our destroyer pulled up alongside and flashed us a message. The commodore turned to me. \"If you can take pictures in a fog, Capra, you may get your damned scoop after all,\" he said. \"A wolf pack of German submarines is laying for us about thirty miles up ahead.\"\n\nFog or no fog, the commodore decided we'd have to change our course. By now we weren't able to see the stern of our own ship from the bridge, and we were still obliged to keep strictest radio silence. Communication with the rest of the convoy had to be through foghorns. The Norwegian tanker, which had been sailing on our left, answered back with its two long and three short blasts from somewhere on our right. The Greek cargo, the last ship in the convoy, some three miles behind us, blew her four long blasts somewhere fifty yards from our bow. Altogether, the twenty-three foghorns made enough noise to be heard in Berlin. The commodore cursed all Allied, neutral, and cobelligerent skippers alike. But there was no time to worry about collisions. The wolf pack had found us, and our escort was dropping depth charges.\n\nI packed my precious passport and what was left of the Collier's money in my oil-silk tobacco pouch, and bitterly regretted the improvement of my story.\n\nThe commodore gave the signal for the convoy to scatter, and from then on every ship was on its own. From time to time we heard the engines of other ships uncomfortably close, but the explosions of the depth charges grew further and further away.\n\nForty-eight hours later, the fog was pierced by brilliant sunshine. The twenty-three ships were all around us. Even our escort was there. In fact, we were still in formation. But the ships that had been in the middle of the convoy before were sailing on the outside; the Greek ship, which had been last, was now leading; and we ourselves were trailing in the very rear.\n\n* * * *\n\nA point appeared on the horizon, and in a little while it started to signal with light flashes. Our signalman gave us the message with a perfectly straight face. \"H.M.S. Harvester inquires, sir, whether you can spare them some beer.\"\n\n\"Tell them to come and get it.\"\n\nThe destroyer, after making one or two fancy turns around the convoy, gaily steamed up alongside. The British destroyer captain was on the bridge with a megaphone. \"Surprised to see you, sir, with all your ships still floating.\"\n\n\"Surprised to see the British Navy floating\u2014without beer!\"\n\n\"We ran out of depth charges and had to finish off Jerry by throwing our beer barrels at them!\"\n\n* * * *\n\nShortly afterwards a string of, to me, undecipherable flags was run up on our mast. The signalman translated the message for me: \"Was proud to have led you from behind, but revert to original formation. Use caution.\"\n\nThe ships acknowledged the signal. The Norwegian tanker nearly rammed the Greek cargo; the Swedish gentleman went full speed astern and disappeared from view; the Frenchman reported that his boiler was busted and that he would have to be left behind. After four hours of milling around, the convoy proceeded with twenty-two ships.\n\nThat night, when I joined the commodore on the bridge, he ignored me for a while. Just as I was ready to go back to my cabin, he eased up. \"By the way, Capra, have you ever met Clara Bow?\"\n\n* * * *\n\nIt turned out that the destroyer had wasted its beer, for the next day the German subs were all around us again. Our destroyer put up a very photogenic smoke screen around the convoy, and radioed for help. A British destroyer patrol was due to meet us about now, and fortunately kept the appointment. As a finishing touch to Collier's \"Battle of the North Atlantic,\" we had a pretty dogfight between a German flying boat and a British Sunderland, with the entire convoy pouring black smoke from every ack-ack gun we had.\n\nI had taken all my pictures, and my imagination had been sucked dry of stories about Hollywood, when the lighthouse in the Irish Channel came into view.\n\nFor the first time, the commodore went below, and I was left alone with his signalman on the bridge. He was a silent man and hadn't said an unnecessary word during the whole trip. He made sure that the commodore had really gone. Then he whispered to me, \"The Old Man is a great chap, but\u2014if you'll pardon my saying so\u2014well, some of those stories he told you...!\"\n\nIt made me feel a lot better, but I resolved that at the first opportunity I would send my apologies to Mrs. Frank Capra.\n\n* * * *\n\nEntering the Channel, we changed formation, and the distance between ships was closed to one hundred yards. Now, for the first time, radio silence was lifted and each ship was told separately where to dock. I hoped that our ship would dock at Liverpool, and began to plan my first day at the Savoy Hotel in London. But the War Shipping Administration didn't play ball: we received orders to steam up the Irish Sea and await further instructions off Belfast.\n\nThe Savoy would have to live without me for twenty-four hours. It wasn't too bad, the commodore told me, he knew just the right pub in Belfast, and\u2014as for him\u2014he had a great backlog to make up!\n\nSoon after we dropped anchor a motor launch approached, and a number of gentlemen in bowler hats from the Immigration Office boarded our ship. When it came my turn to be examined, the gentlemen concentrated busily on my documents. From time to time they shook their bowler hats and didn't appear at all satisfied. When they learned about my cameras and films, they shook their bowlers even more vigorously. I mentioned the code message from the naval attach\u00e9 in Washington, but they received the news with a blank look. In desperation, I tried to be funny and said that I really wasn't Mr. Hess and that it wasn't everyone who could land in England by parachute. But they were not amused. They told me, for my information, that during the war only citizens of the United Kingdom were allowed to debark in Northern Ireland. I would just have to stay on board until we docked at some port in England proper. The authorities there could decide my fate.\n\nThe commodore seemed genuinely sorry to leave me behind. He offered me his cabin, assured me that my stories had been most interesting, and went ashore with the immigration officers. The captain, who was now in complete charge of his ship again, tried to console me by saying that in three days at the outside he would receive his orders to proceed to England. He added brightly that, inasmuch as we were not officially in port yet, the ship's stores would remain open, and that Scotch was still available at seven shillings a fifth.\n\nI moved into the commodore's cabin, ordered a bottle of Scotch, and sat down with the First Radio to play blackjack. By ten at night, the bottle was empty, and Collier's was down $150. I called for another bottle, but the steward came back empty-handed, looked at me with a queer expression, and said that I was being asked for in the captain's cabin.\n\nI stumbled up to the bridge with more than a slight feeling of impending disaster and far too much Scotch in my stomach. I made out two young naval officers with the captain. Their names were Garbidge and Miller, and after making sure that my name was Capa, they asked me to turn over my cameras, films, and notes into their custody. No, I told them, that was something I couldn't do. I was sticking with my cameras, films, and notes. What was more, I added, I was supposed to have all facilities accorded to me by the British Navy upon my arrival, and no facilities, not one, had been accorded so far. Instead, I had been rudely stranded on an empty boat out in the middle of the Irish Sea. Now I was going to stay on that boat, and when and if I ever got to England, I was going to complain bitterly.\n\nThey both mumbled something about a war being on, and retired to a corner to consult a mysterious slip of paper. After several minutes of deliberation, reading and rereading the paper at least three times, they returned, and insisted that I hand over my films, cameras, and notes without delay. This was a new tune, and I didn't like it.\n\nSuddenly, through the Scotch mist, it all became clear to me. I offered them two to one that I could tell them what the message on the slip of paper was all about. I told them how the naval attach\u00e9 in Washington was supposed to send a code message to every port in the United Kingdom, about a Robert Capa, arriving on a boat, with cameras and films, and that I and my camera and films were to be taken care of, helped through formalities, and delivered to the Admiralty in London. All they had to do now was go back and check with the Embassy in Washington and tell the Admiralty that I was on this specific boat, and would dock\u2014sometime\u2014in England.\n\nGarbidge and Miller looked at the slip, at each other, and then handed it over to me. Sure enough, it said something about films, cameras, and Capa, but had been coded and recoded so many times that by now it was open to as many interpretations as the Bible. Garbidge, suddenly meek, asked if he could talk to me in private for a moment.\n\n\"We are sure that you are right, sir.\" He hesitated. \"I hope you will trust us and believe what I am going to say.\"\n\nI was pleased with the turn in the situation, and listened.\n\nHe explained that he and Miller were with Naval Intelligence in Belfast. Their duties the day before had been so exhausting that they went and had a drink after office hours. There they had met the skipper of a minesweeper, a schoolmate of long years before, and he had persuaded them to visit his ship, as drinks were much cheaper there than in a bar. Indeed, the drinks proved to be so cheap and so plentiful that they hadn't been able to find their office until just a little while before. That was when they discovered the message. Now, if they went back to Naval Intelligence empty-handed, they would be forced to admit the somewhat special circumstances that had delayed them. They would get into the most terrific jam if I didn't help them. If I went ashore with them, Garbidge continued, they would see to it that I got to London\u2014cameras, films, and all\u2014by the best and quickest way.\n\nIt was easy to be generous. I decided to help the British Navy, bought three bottles of whisky in the store to take along, and followed Garbidge and Miller. In complete darkness, we climbed down a swaying rope ladder to the smallest of motor launches\u2014which was bobbing impatiently up and down\u2014and pushed off.\n\nBut our troubles were far from over. The pilot turned back to my two friends and informed them that it was half past eleven at night and that Customs and Immigration were closed until eight in the morning. Under no circumstances could he put me ashore!\n\nThe three of us became extremely unhappy, but this time Miller saved the situation. \"Suppose we find the minesweeper. We can spend the night there in comfort, and in the morning we'll motor over to the harbor.\"\n\n* * * *\n\nIt took us two hours to find the right minesweeper in the darkness. The skipper, after recognizing Garbidge and Miller, asked them whether they had brought any liquor back. Miller replied that they had brought not only liquor but Capa too. The skipper supposed that \"Capa\" might be some new drink, and invited us cordially aboard. Before any new troubles could develop, the tired pilot wisely disappeared in the darkness.\n\nThe mess room of the minesweeper barely held the four of us. The skipper inquired about the whisky and I produced my three bottles. He then inquired about Capa. Garbidge started to tell him the story, but the skipper got confused and, swaying lightly, asked, \"Just tell me one thing. Is it all right or isn't it all right?\"\n\nOh, it was definitely all right, Garbidge assured him, and anyway there wasn't anything we could do about it now.\n\nWe opened the bottles and toasted the British Navy, the merchant marine, and the minesweepers in quick succession. The skipper then turned to me and proposed a toast to King Boris, immediately adding, in a rather confidential tone, \"No offense, old boy, but isn't your King Boris on the wrong side of the fence?\"\n\nI replied that King Boris didn't belong to me, that he was a Bulgarian, and definitely on the wrong side of the fence. Unfortunately, I continued, what was more of my business was that the Hungarians had Admiral von Horthy, and that he was on the wrong side too. The skipper was very sorry about that, but there were plenty of other things to toast, and we quickly changed the subject.\n\nThe next morning at six we woke up with hangovers and silent forebodings. We were just about to signal the harbor to send us a motor launch, when the chief signalman entered the cabin with a message. Orders had been received to proceed immediately to sweep mines in the Irish Sea! We signaled Naval Intelligence that Capa was going to sweep mines in the Irish Sea...that everything had an explanation....\n\n* * * *\n\nAltogether we spent three days on the open sea. On the way back we brushed our clothes and shaved our faces twice over. Then we carefully rehearsed the stories we were going to tell.\n\nPassing the lighthouse, we flashed a message to Naval Intelligence announcing our return. Now, coming into the harbor, we could see\u2014through our glasses\u2014a considerable number of blue uniforms waiting for us at the dock. The skipper was convinced that he wouldn't lose anything but his command, Garbidge and Miller figured on just a few short years of detention, and I avoided thinking at all.\n\nAs soon as we docked, the port security officer came aboard and listened in silence while we told our stories. Then he stood up and said, \"There may possibly be an element of truth in your stories, but in the entire history of the British Navy there is no precedent for a minesweeper serving as a hostel for immigrants.\"\n\nWith this he left, saying that the captain in charge of Belfast harbor would soon appear in person.\n\nThe captain showed up in no time, and said nothing while Garbidge, Miller, and the skipper reported. When my turn came, I started out by saying that it certainly wasn't the fault of Garbidge, Miller, or the skipper that I had been born in Hungary....\n\n\"Where was that?\" he interrupted.\n\n\"Hungary,\" I repeated. \"In Budapest.\"\n\nThe captain rubbed his hands. \"My boy,\" he said, \"you must have dinner with us tonight! Budapest! My wife was born there too!\"\n\nThe skipper got a three-day shore leave. Garbidge and Miller were promised quick promotions. And I had a terrific Hungarian dinner, and was delivered\u2014the next day\u2014by special plane to London.\n\n# III\n\nThe press relations officer at the Admiralty in London received me with open pages of reports taken from a folder marked ROBERT CAPA. He looked at me, glanced at the reports, and said that he hoped my trip had been interesting. He also hoped I wouldn't make up funny stories the way newspapermen often do, but would stick to writing about the merchant marine. Rather casually, he threw in that the censor could not, of course, release any possible story of mine about minesweepers or Naval Intelligence, as it had not been part of my original assignment. Finally, just before I left, he told me that the Collier's office had been inquiring about my arrival and seemed rather anxious to see me.\n\nThe Collier's \"office\" turned out to be a big, luxurious suite in the Savoy Hotel occupied by Quentin Reynolds. He was having a cup of black coffee, and asked me to join him.\n\nCables and newspapers were strewn all over the room. The newspapers screamed about the invasion of North Africa, and the cables from the New York office yelled for Capa to proceed there at once. Reynolds nonchalantly asked me whether I had already been accredited to the Army, and I answered that not only had I not yet been accredited, but my chances of being accredited to the U.S. Army\u2014indeed, to any army but the Hungarian\u2014were practically nil. I pretended to be just as surprised as he that Collier's didn't know I was Hungarian. He asked me how soon I could go back to the States. I tried to convince him that I was potentially a great war photographer, and also pointed out that one way and another Collier's had spent about a thousand dollars getting me to London and might look unfavorably on my speedy return.\n\nWe agreed to continue the discussion over a couple of drinks. Downstairs, at the Savoy bar, after we had had only one drink, Quent gave in and admitted that it might be fun to have a Hungarian photographer around.\n\n* * * *\n\nThe first formality for every friendly or enemy alien in London during wartime was to register at the Vine Street police station. There was a long queue in front of the station when we arrived.\n\nNow in 1942, except for Franklin D. Roosevelt, I suppose Quentin Reynolds was the most popular American in England. Quent had a big, soft heart raised in Brooklyn, and nourished in every bar where newspapermen hung out.\n\nNo one would have thought of letting his 220 pounds stand in a queue with ordinary, undersized aliens. Quent and I made a great theatrical entrance. He stopped at the threshold of the registration room, and\u2014after an impressive pause\u2014announced in the same voice in which he had made his famous broadcast to Dr. Goebbels and Schicklgruber, \"I have brought you a German spy to register!\" Then he turned to me and in his broken German said, \"Nicht wahr?\"\n\nLONDON, JUNE-JULY 1941. Air-raid warden John Bramley takes his place as guard before Post 2 of the Lambeth district of London.\n\nBramley was on twenty-four-hour duty during the Blitz.\n\nLONDON, JUNE-JULY 1941. Teatime in an air-raid shelter.\n\nLONDON, JUNE-JULY 1941. St. John's Church, in a heavily bombed Cockney neighborhood near Waterloo Road.\n\nLONDON, JUNE-JULY 1941. Mrs. Gibbs, a resident of Whichcote Street, near Waterloo Road. Capa spent several days photographing the Gibbs family at home.\n\nLONDON, JUNE-JULY 1941. A mum reads a letter from her enlisted son (note his photo, lower right).\n\nHERTFORDSHIRE, ENGLAND, 1942. For her part in the war effort, a former London department store employee is in training to milk cows.\n\nThe audience reacted as he had expected. The whole police station was rolling with laughter. In no time, I was presented with a registration card, on which all the restrictions were promptly waived, and I became the King's and Quentin Reynolds' own enemy alien.\n\nAfterwards, the police inspector solicited us for Quent's autograph and a contribution to the Russian War Relief. The war was far from won, and England was still very grateful to the Russians.\n\nOur next step was the Public Relations Office of the U.S. Army on Grosvenor Square. Our entrance was much quieter and our reception a bit colder. The major in charge of the P.R.O. did not think that my nationality did anything to simplify matters. If I received an assignment to do any pictures on the U.S. Army bases in England, he could give me a pass for facility visits, but I would have to be cleared by Intelligence before I could become regularly accredited to the American Army as a war correspondent. The word \"Intelligence,\" otherwise known in mystery stories and military language as MIS, impressed the hell out of me. Quent took me over to a door with a big G-2 sign painted on it, wished me good luck, and advised me to be subdued, straightforward, and as little Hungarian as possible.\n\nI expected to find some sort of inquisition, and was more than a little subdued. The \"inquisition\" I found was sitting behind a big desk. She was small and pert with a slightly upturned nose, and was surrounded by very pretty red hair. She was English, and was executive secretary to the chief.\n\nI explained the object of my visit and wound up with a short history of my life. Indeed, I forgot all the good advice I had received, and behaved extremely Hungarian. She laughed at the end of my story, and remarked that I had very nice brown eyes and probably would look very well in an American uniform. We made a bargain: she would get me into the uniform and I would take her out in it the day I got it. She assured me she would fix everything, and I had a feeling that even my gray flannels would have been all right.\n\n* * * *\n\nThe next morning at the Savoy, a dignified waiter woke me up and brought me tea, cold powdered eggs, and three letters on a beautiful silver plate. He set down the tray on a table, where I had dumped the forty-eight rolls of still undeveloped film from my trip, my increasingly impressive bundle of identification papers, and some green dollar bills still left from the Collier's advance. Now I opened my letters leisurely. They reflected truly on my new situation of legality and prosperity. The American Army wrote that while waiting for accreditation I would be welcome to visit and photograph a group of Flying Fortresses based at the airfield at Chelveston. A weekly paper called Illustrated was greatly interested in acquiring the English rights to my stories, and offered me a hundred quid per story, sight unseen. And an English industrialist, a Mr. Yardley, whose wife, Flower, was the sister of a friend of mine in New York, sent me an invitation for the coming weekend or whenever I felt like it, to come out and stay with them at their place in Maidenhead.\n\nBreakfast over, I dressed and decided to pay a visit to the London office of my former employers, Time and Life. Life had been my first big job, and a long time ago during the Spanish Civil War, when I first started working for them, I used to come up to London and the office had been very good to me.\n\nThe old gray building on Dean Street looked slightly disimproved as a result of the blitz. The pub next door, the Bath House, now had wooden panels instead of windows, but was still very much open for business. I began to feel all warm and sentimental.\n\nCrocky and Dorothy, the two Irish girls who virtually ran the office five years ago, were still there. Crocky was now head researcher, but five years ago, when she was a secretary, she used to help me in Englishizing my English captions. She found that my English had improved to almost understandable since the last time I had been there. I showed her my article about the \"Commodore of the Convoy,\" and my literary effort enthused her no end. She suggested doing a slight cleanup job on it, then spent the next four hours at the typewriter. In the meantime, for old times' sake, the darkroom of Life magazine developed the pictures I had taken for Collier's. Afterwards we all went down, and I tried to show my appreciation with pink gins at the Bath House.\n\n* * * *\n\nNext morning, a messenger from Life delivered a hundred pictures and ten typewritten pages in triplicate of the \"Commodore of the Convoy,\" all signed with my name. I sent one copy to the censor, one to Collier's, and took the third one over to the English picture magazine Illustrated. The editor of Illustrated looked at the pictures, read the story, and asked me if I had any objections to having my own face and biography printed with the story, and if the description \"famous American photographer\" would disturb me. Not very much, I answered. Then he gave me a check for 150 pounds.\n\nI cashed the check at the Savoy and asked the doorman for the next train to Chelveston. Chelveston was a well-guarded English airfield occupied by the 301st Bomber Group of the young American air force. They had four dozen Flying Fortresses, some drab barracks, and an inheritance of knee-deep mud. My permit for a \"facility visit\" admitted me easily. The special services officer gave me an iron bed with three blankets, a Spam dinner, and left me in the middle of the mud outside the mess hall, telling me to make myself at home.\n\nThere I was in my civilian suit, and all around me were young uniforms who paid absolutely no attention to me. I didn't feel at home at all\u2014indeed, I had no idea how to make myself at home there.\n\nEveryone seemed to be heading toward one barracks in particular, and I decided to follow the trend. I entered the club room. I hoped desperately that somebody would talk to me. After a while, the Pfc behind the bar asked me what I wanted to drink. I felt very grateful and ordered warm beer like everyone else. The young flyers around me, among the first to fly the famous Fortresses over Europe, looked quiet and subdued. Some of them were reading old American magazines, others were sitting all alone writing endless letters. The only real activity seemed to be in the middle of the room, around a big table hidden by the backs of the guys crowded around it.\n\nI edged in just in time to hear someone yell \"High and low!\" as he raked in a lot of money from the middle of the table. I watched the game for some time but couldn't figure out what they were playing. It must be some kind of poker, I finally decided, and definitely a game of skill! Soon one of the fellows got up and left the game. Here was my chance to make myself at home. I was graciously admitted. They dealt me two cards down and one card up and asked for half a crown. Then one at a time they dealt me three more cards up and finally another one down. After each card they asked for more money, and for the last card I had to pay two pounds. After all the cards had been dealt, the players started to declare themselves. Some of them said \"high,\" some of them said \"low.\" I studied my hand carefully\u2014some of the cards had faces, some had low numbers. So I said, \"High and low.\" I wasn't at all popular. They demanded that I show my three down cards. I did...they laughed...and two of them split the money in the pot.\n\nAfter a while, I went back to my room to get my camera, and got even by taking pictures of the poker players. Also the magazine readers, the letter writers, the warm-beer drinkers, and the gramophone addicts.\n\nAt midnight the club room emptied\u2014there was going to be a mission in the morning and the boys expected an early briefing. We were awakened at five and hurried over to the briefing room. One officer explained the weather conditions in detail; another went into the shape of the target; and a third talked at length about the amount of flak and the number of enemy fighters they could expect to encounter. At six, everyone was back in the club room, waiting for the signal to take off. The wait was long and nerve-racking. Nobody spoke a word. This was only the third mission over Europe.\n\nAt nine, the loudspeaker announced that the ceiling over France had closed in...that everybody could go back to bed. The boys were angry and disappointed. They returned to the mud, the magazines, the letters, the warm beer, and the poker.\n\nThis same routine went on for four days. I took a lot of pictures. I practiced up on my high-low and also learned some fascinating new poker games called \"spit-in-the-ocean,\" \"baseball,\" and \"red dog.\" By the fifth morning, I was completely out of pounds, but this time the mission wasn't scrubbed. I accompanied my poker chums to their planes and took pictures of them from every angle. A young lieutenant named Bishop was the last to take off, and before climbing to the controls he posed for a portrait. He was just a little guy, but his nose bore an amazing resemblance to the nose of his ship, so I posed them together. I was very pleased with the composition.\n\nCHELVESTON, ENGLAND, NOVEMBER 1942. An American 301st Bomber Group formation leader and his crew listen intently during a briefing prior to a daylight raid on St. Nazaire, from which U-boats were being sent to menace American shipping to North Africa.\n\nCHELVESTON, ENGLAND, NOVEMBER 1942. A navigator of the American 301st Bomber Group.\n\nThe planes took off. I waited for six long hours in the control tower before the first returning Fortress appeared on the horizon. As they approached we started to count them. In the morning there had been twenty-four ships in beautiful formation. Now, counting all over the sky, there were only seventeen.\n\nThey circled over the control tower and waited for permission to land. One of the ships had had its landing gear shot away, and had wounded aboard. The tower ordered it to come in first and attempt a belly landing. I got my Contax ready and got one roll of film used up by the time the plane came to a safe standstill. I ran up to the plane and focused my second Contax. The hatch opened, and what was left of a guy was handed down to the waiting medics. He was still moaning. The next two didn't moan anymore. The last man to leave the plane was the pilot. He seemed to be all right except for a slight gash on his forehead. I moved to get a close-up. He stopped midway and cried, \"Are these the pictures you were waiting for, photographer?\" I shut my camera and left for London without saying good-bye.\n\nOn the train to London, with those successfully exposed rolls in my bag, I hated myself and my profession. This sort of photography was only for undertakers, and I didn't like being one. If I was to share the funeral, I swore, I would have to share the procession.\n\n* * * *\n\nNext morning, after sleeping it over, I felt better. While shaving, I held a conversation with myself about the incompatibility of being a reporter and hanging on to a tender soul at the same time. The pictures of the guys sitting around the airfield without the pictures of their being hurt and killed would have given the wrong impression. The pictures of the dead and wounded were the ones that would show people the real aspect of war, and I was glad I had taken that one roll before I turned soppy.\n\nIllustrated called to find out about my story, and I volunteered that it was \"sensational.\" They said they would send someone over immediately to pick up the negatives and develop them in their darkroom.\n\nI hadn't forgotten the airfield and was more anxious than ever to get into uniform. I took Pat, the redheaded secretary of the U.S. Army Intelligence, out to lunch, to see if my accreditation couldn't be speeded up. She told me that my accreditation was being favorably considered and that I wouldn't be risking much in ordering a United States war correspondent's uniform from my tailor.\n\nThe tailor had definite ideas as to how an American officer's uniform ought to look. The material was somewhat different in color from regulation\u2014but much prettier, I thought. I hoped my accreditation would come through in six days\u2014and the tailor said my uniform would be ready by that time.\n\nI went back to the Collier's office to report the good news to Quentin Reynolds. He added some of his own: Collier's had received my convoy story in New York and would run it in a four-page spread. I told him about my visit to the air force, and he cautioned me against trying to do too much too fast. He suggested instead that I go out and get acquainted with the spirit of London, following this up with several addresses and a few hints as to where the spirit might be found.\n\nThe spirit of London, just after the blitz but before the full American invasion of England, was open and inviting. I found it in no time at all...and something else too. Somehow the spirit persisted and the something else continued for six days and through the strangest places\u2014none of which included the Savoy. God created the world in six days, and on the seventh, the hangover....\n\nI was looking forward to bed when I opened the door to my room at the Savoy. I had visitors. Pacing up and down in my room were Mr. Spooner, the editor of Illustrated, and an American Army major. The major clutched a copy of Illustrated in his hand. He stuck the paper under my nose and stabbed at the cover with his finger.\n\n\"Did you take this picture? Do you realize what you've done?\"\n\nI recognized the picture on the cover immediately. It was my favorite of all the shots I had taken out at the airfield. It had come out very well.\n\n\"Sure,\" I answered. \"That's Lieutenant Bishop and his Fortress.\"\n\n\"The hell with Lieutenant Bishop!\" he yelled. His angry finger pointed to a little black thing in the nose of the Fortress. The little black thing looked like nothing to me, but by then I knew that it had all the earmarks of disaster. The major didn't keep me very long in suspense.\n\n\"That little black thing! That's the A-number-one secret of the American air force!\" He almost choked. \"That's the Norden bomb-sight!\"\n\nI hadn't known. The air crews always had strict orders to keep that little black thing covered when not in actual operation. Bishop's bombardier had lifted the canvas five minutes too soon. I tried to explain that my only interest in the nose of the Fortress had been its resemblance to Lieutenant Bishop's nose. Spooner explained that inasmuch as he had been unable to reach me during the past week so that I could clear the story with American censorship, he had shown the pictures to the RAF censors. They had had nothing against that little black thing.\n\nThis revealing issue of Illustrated was due to appear on the newsstands in another three days. Spooner offered to recall and destroy the 400,000 copies that were already printed and awaiting distribution.\n\n\"That may save you, Mr. Spooner,\" the major said, \"but it doesn't save Capa. He had no right to even show you his pictures until he had first passed them through American censorship.\"\n\nSpooner hurried away to stop his presses and halt distribution. The major put me under house arrest and left to make his report to headquarters. I collapsed on my bed, next to a box containing my new war correspondent's uniform. I was sure I would never have to open that box. But I was wrong. That afternoon, the American Public Relations Office notified me that they had been obliged to accredit me\u2014inasmuch as unaccredited civilians are not subject to court-martial.\n\nI opened the box.\n\n* * * *\n\nThe following morning I appeared for a preliminary hearing before a board consisting of public relations and intelligence officers. It was their job to determine what I would be charged with in court-martial.\n\nWhen I arrived, the first thing I realized was that any resemblance between my uniform and theirs was purely coincidental. I was afraid that this was the straw that would finish the camel.\n\nI proclaimed my innocence in great detail and with considerable heat, but the hotter I got, the less English it sounded. They stopped me cold in the middle of my innocence and began to argue among themselves. I could understand them very clearly. They were on the verge of some sort of agreement when the door opened and the chief PRO walked in, followed by my Lieutenant Bishop.\n\nBishop took the floor and slyly assured them that I didn't\u2014couldn't\u2014tell an ace from a deuce, nor a Norden bombsight from a tin of C-rations, and that the whole case obviously had been engineered by a gremlin. My desk-jobbed jury couldn't argue against flying Bishops at this early fighting stage. I was reprimanded, dismissed\u2014and accredited. Bishop and I proceeded to a pub.\n\n\"By the way,\" he asked me, \"what is the address of your tailor?\"\n\n* * * *\n\nThe whole Collier's office and the bar at the Savoy Hotel were very impressed with my uniform. It was sort of an American cut, they finally agreed, and sort of a British Colonial color. I decided to celebrate.\n\nI invited Pat, the red-haired secretary, to the promised dinner and we drank champagne. After the second bottle, Pat couldn't remember who I was anymore, and after the third, she forgot her own name and address. I knew that if I didn't get her home, this time it would take a priest\u2014not a Bishop\u2014to wind up the affair.\n\nWe got into a taxi and Pat passed out. I tried to wake her up, but she was out cold. I had only a pound note left and watched the taxi meter with growing anxiety. I shook Pat again. When I looked up, the taxi meter read one pound, ten. I searched my pockets. Then I searched Pat. In her purse I found two pounds and also a membership card to a bottle party giving her name and address. I stopped the taxi by the Serpentine in Hyde Park, dipped Pat's head twice in the water, and delivered her home.\n\nI was very drunk, very happy, very virtuous, proud of myself, and very much resolved not to drink, gamble, or have anything to do with redheaded girls anymore.\n\nLONDON, JANUARY-FEBRUARY 1943. An American officer entertains the war orphans \"adopted\" by his unit.\n\nI wanted to be very sure. I stumbled to my desk and wrote a note to War Correspondent Capa: \"No drinks. No gambling. No bomb-sights. No girls.\" I placed the paper on my uniform blouse and blissfully passed out.\n\nNext morning, my head was splitting. I couldn't remember what had happened until I found the piece of paper, decided that the best way to keep out of trouble was to avoid it, and made up my mind to visit with the Yardleys in the country until my departure for North Africa. I left my phone number with the desk, and took the train to Maidenhead.\n\nOnce I arrived at the Yardleys' place I knew I would be safe. I'd be reading mystery stories by the fireplace, arguing about the war and Russia with Mr. Yardley, and going to sleep at nine in the evening.\n\n* * * *\n\nThey were very happy to see me in such a pretty uniform and hinted that maybe some food and black coffee could make further improvements. We sat down at the table: the Yardleys, their house guest, and I. The guest\u2014a young girl\u2014sat next to me, but I was not looking at women, certainly not when they were pale blondes and kind of fat. After coffee, I explained that I was in unusual shape that day, due to the celebrations in honor of my uniform, and that all I needed to be happy was a big chair and a good book.\n\nI got into the big chair, opened the good book, and fell asleep. Ten minutes later I was awakened by the loud grinding of the gramophone. The little round house guest was playing Tino Rossi. I told her wryly I hated Tino Rossi, and noticed that she was really not very fat. She was wearing slacks and a sweater, and I thought she might have a rather good figure. Also, her hair was not really blonde, but kind of goldish pink. I promptly closed my eyes. She turned Tino Rossi a little louder, and when I opened my eyes she was standing against the light. Her profile was rather delicately English, and it seemed she had gray-green slit eyes. I got up and went out on the terrace to sleep.\n\nWhen I got up again, a big fire was going in the living-room fireplace, and the gramophone was playing a rumba. The house guest was now wearing a tight-fitting black dress.\n\n\"My name is Elaine,\" she told me. I had an idea I would have a hard time closing my eyes this time, and was very glad that I was a bad dancer and could hold on to my good resolutions. She said she hoped I preferred the rumba to Tino Rossi, and I told her the facts about my dancing. To prove my honesty, I offered to dance with her once. She said my rumba wasn't really bad and could be improved in no time. I answered that in ten years no one had succeeded in making any improvements. She said she had a brand-new idea. I was afraid I had one too.\n\nThe Yardleys had come down and inquired how I liked my book. I was forced to admit that I was wasting my time learning to dance the rumba. Especially, I added, since nobody danced the rumba in North Africa, and I was practically on my way there.\n\nThe pink-haired girl remarked that it would be a great pity if I were to die without ever having learned how to dance, and the Yardleys agreed.\n\nWe had a bottle of champagne to North Africa, my rumba definitely improved, and I began to call the girl Pinky. She didn't seem to mind very much, but stopped the gramophone, picked up my book, and started to read. I went back to the gramophone and started Tino Rossi.\n\nThe Yardleys started to laugh and figured they had better go to bed. Pinky looked up from her book at me and said, \"I think you are an utter fool.\"\n\nI answered, \"I think you are an utter teaser.\" She told me that that was not good English, after which I told her that her lips tasted of strawberries.\n\n\"There aren't many strawberries in England,\" she said, \"but the few grown here are famed to be excellent. And anyway, I'm not teasing.\"\n\nI knew then that she was not teasing. I was happy she existed, and that I had found her.\n\nThe telephone rang, and it rang for me. It was the Savoy, saying they had been trying to get me for the past two hours, that a Captain Chris Scott from the American P.R.O. had been calling every five minutes. I put down the receiver and asked Pinky to drive me to the station.\n\nIn the car I told her how happy I was about going to North Africa; that I was a gypsy and a newspaperman, besides being an enemy alien; that I was very sorry and very glad\u2014because she was far too lovely. She said absolutely nothing, just let me out of the car at the station, and drove quickly away without saying good-bye.\n\nChris Scott, who was a very nice young captain, said he was sorry I had rushed up in the middle of the night, as tomorrow would have been time enough. I told him that in some ways I was glad, and that his call had reached me just in time, because all I wanted to do was go to North Africa. I told him about Pinky.\n\nHe brought out a bottle of Scotch and proposed a drink to my lucky escape. I told him it really tasted better than strawberries. Pointedly, he remarked that he liked strawberries, and that while I was going to North Africa, he was probably staying in London. All I knew, I told him, was that she ought to be called Pinky, and that I had forgotten to ask her full name or her telephone number.\n\nChris said that was too bad\u2014and I discovered not only that I was sorry I didn't know her name, address, or telephone number, but also that if I had them I wouldn't have given them away.\n\nThe following morning I called the Yardleys to say thanks and good-bye. Nonchalantly, I asked if Elaine was near the telephone, but Mr. Yardley said she had already left for town. He didn't volunteer any further information, and I didn't ask for any.\n\nMy day was very busy. The American Army gave me orders: the British gave me an exit permit. They told me I would need a new visa if I ever wanted to get back, and that, unfortunately, even in an American uniform I was technically a Hungarian citizen.\n\nMy train to Glasgow, where I was to board ship, was leaving from Euston Station at 7:30 that evening. I arrived far too early, decided I had a right to celebrate my departure, and looked for the bar. It was very crowded. The only empty place was at a table where a girl was sitting all alone. She was not fat; she was not blonde; she had pink hair. She looked up at me and said, \"I hoped you would be early.\" She didn't tell me how she had found out about my train. I asked the barmaid if she had any champagne. She had a very good bottle. We toasted, and Pinky started to sing a corny French song, \"J'attendrai.\" The barmaid was getting very sentimental, and by the time we got to my train it was time to go aboard. A naval bloke was taking up the whole window to kiss his girl good-bye. The train was ready to move, so I yelled at the guy, \"Let's split it!\"\n\nWithout turning his head, he replied, \"Yank, I'm not splitting my girl with anyone.\"\n\nI said, \"Not the girl\u2014the window!\"\n\nHe moved over and I barely made it. It still tasted like strawberries. I sat back in my compartment, and didn't know her name and telephone number.\n\n# IV\u2014SPRING 1943\n\nI arrived in Algiers aboard a regular troopship carrying a fresh Scottish division to North Africa as reinforcements for the spring campaign and the long overdue taking of Tunis.\n\nBy the time our boat docked, I was very much used to my uniform. So was everyone else. Everyone on board expected strange and mysterious things of war, and I\u2014and my accent\u2014became one of those strange and mysterious things.\n\nThis time, nobody wanted to take away my cameras, question my existence, or ask for any passports. The public relations officer in Algiers told me that the war was hundreds of miles away in the hills of Tunisia\u2014with a big offensive due to start at any minute. I was provided with a jeep, a bedding roll, and a driver, and we started out. I hoped I would be able to catch up with the war.\n\nWe drove night and day, and finally arrived at Army headquarters in Feriana. But the big attack had already got under way, and our armor had broken through at Gafsa.\n\nDepressed by the unexpected quickness of war, I started out with my driver to chase after the 1st Armored Division. After driving all day, we arrived in the village of Gafsa. I had finally caught up with at least the tail end of the war. I decided to get a good night's sleep before starting out on my pursuit after the forward elements.\n\nThe Army billeted me in an Arab schoolhouse. The floor of the dark schoolroom was covered with bedrolls, and only one spot\u2014the one closest to the wall\u2014was unoccupied. I undid my bedroll and crawled in. I had a dream. I caught up with the armored division just before the gates of Tunis and jumped on the leading tank....I was the only photographer to get a picture of Rommel's capture...in the center of town, a shell exploded...my face was scorched....\n\nI woke up and tried to open my eyes. My face burned violently and my eyes wouldn't open. Sometime during my heroic dream I must have got hurt. I yelled for help, and heard someone walk up to my bedroll.\n\n\"What did you expect, you stupid so-and-so?\" he asked. \"Don't you know that in an Arab house, right next to the wall, you're the bedbug's best bet?\"\n\nI pushed my swollen eyelids open with my fingers, hid my face behind dark glasses, and went out to search for my driver.\n\nWe got back on the road. I began to dislike this war. The life of a war correspondent wasn't so romantic. We drove for hours over a slow, bumpy road through the empty desert. We met no living soul, of either friendly or enemy extraction. All we found were a few pieces of useless equipment left behind by the Germans.\n\nEL GUETTAR, TUNISIA, MARCH 1943.\n\nMAKNASSY, TUNISIA, MARCH 22, 1943. An American soldier shares a cigarette with a local resident.\n\nIt became by now a pressing matter to stop my jeep. But after the previous night's experience, I didn't feel inclined to visit the toilet of an Arab cultural institution. There were definitely no girls around, and with my blurry eyes I didn't want to go too far from the jeep. I made out an inviting clump of cactus a few yards from the road and ran toward it.\n\nThere was nothing wrong with my African cactus except for a little wooden signpost which grew in its shadow. It grew very fast and opened my eyes wide. The sign was in German, but very easy to understand. Through my black glasses, I read: \"ACHTUNG! MINEN!\"\n\nI did not jump, I did not stir. I did not dare to do anything. I had to do something very badly, but it takes very little to make a land mine go off. I shouted my predicament to my driver. I told him I was standing in the middle of a minefield. He seemed to think the situation was funny. I could see no cause for laughter. I didn't dare to retrace my footsteps, because the mines that had failed to go off the first time might have changed their minds by now. I urged him to drive off and bring back somebody with a mine detector.\n\nI was caught with my pants down. There I was, braving death in a lonely, empty, soundless desert, standing nailed to the sand, behind a stupid cactus bush. Even my obituary would be unprintable.\n\nHours later, my driver returned with a mine removal squad and a Life photographer. The Life man took pictures while I was being demined. He told me that our attack had been halted, and that this would undoubtedly prove to be the most interesting picture of the day.\n\nRommel's crack armored division, the Hermann G\u00f6ring, had been brought up to stop our advance. The disappointed newspapermen had returned and had set up camp in a small oasis a few miles outside of Gafsa.\n\nIn the evening, back at the press camp, my story was already famous. The correspondents were not yet allowed to write about the stopped war, and my little adventure became the favorite subject in the \"letters home\" department. Seeing them all writing to their wives and sweethearts, I thought of Pinky. I was relieved, though, that I didn't know her address. I didn't think my adventure had been exactly dashing.\n\n* * * *\n\nAround midnight, the generators that supplied light in the tents of the oasis press camp began to cough, and we turned in. I made sure there were no mines or bedbugs in my corner of the Sahara, and I didn't intend to have any dreams. I had a dream. There were red and green flares hanging in the dark sky...red bullets...bursting bombs...all sorts of fantastic things. I turned over in my sleeping bag.\n\nNext morning, when I woke up, there wasn't any tent over me. The camp had been bombed during the night. The blasts had blown away all the tents, although no one was hurt. I was the object of envy and admiration for having slept through it all without stirring. The minefield episode was forgiven and forgotten.\n\n* * * *\n\nTime magazine's Bill Lang and the GI's Ernie Pyle, both old-timers of the North African campaign, took me with them in their jeep. They promised to find me as much war as I needed for my health and my pictures. This time the road was better and much shorter. We headed for El Guettar, where the 1st Infantry Division was holding back the main German counterattack.\n\nWe found plenty of war before we reached the front. German fighter planes were strafing the road and every few minutes we had to stop the jeep and jump into a ditch for cover.\n\nOpposite: EL GUETTAR, TUNISIA, MARCH 23, 1943. On this day American troops, under General George S. Patton, engaged in a dramatic tank and infantry battle that resulted in the war's first decisive American victory over the Germans.\n\nThere was a lot of excitement, but I got no pictures at all.\n\nBill and Ernie stopped at division headquarters. I was in a hurry to get my first pictures and they told me to go on ahead and cross two little jebels (what the Arabs call their hills) and hide between the jebels in the wadi (the Arab word for valley). \"Just ask anybody where the war is,\" they said. \"You can't miss it.\"\n\nI found jebels and wadies. The 16th Infantry Regiment was dug in and the GI's were writing letters and reading pocket books in deep foxholes. I asked them where the war was. They pointed to the next jebel. In every wadi, they pointed up to a jebel, and on every jebel, they pointed down a wadi.\n\nFinally, on the last and highest hilltop, I found about fifty soldiers relaxing and heating up cans of C-rations. Their faces were devoid of all enthusiasm. I walked up to their lieutenant and asked where all the shooting was. \"It's hard to say,\" he answered. \"My platoon has only the most advanced position on the front.\"\n\nHe consoled me with a can of C-rations. Just as I was about to dig into the awful-looking stew, a shell whistled and I threw myself flat on the ground, spilling the meat and beans all over me. It was a German shell all right, but it landed a few hundred yards away. When I raised my head, the lieutenant\u2014who hadn't budged\u2014was looking down at me. He was very smug. Sheepishly I got up, dusted off the beans, and told him that from my angle this war was like an aging actress: more and more dangerous, and less and less photogenic.\n\nWith the next whistle, the lieutenant ducked too. The Germans were giving us the real McCoy. First they shaved the top of our hill with their artillery, then they advanced with fifty tanks and two infantry regiments right to the foot of our jebel. Now our tank destroyers moved out and began to slug it out right in open sight.\n\nThree generals joined us in our grandstand seat to cheer the team. Patton, who commanded II Corps, and Terry Allen and Teddy Roosevelt, who were in command of the 1st Division. After every hit on a German tank, Patton bubbled with delight under his three-star helmet; Terry Allen picked up a walkie-talkie and coached his team personally; and Teddy Roosevelt swung his cane happily.\n\nLate in the afternoon, the Germans withdrew, leaving behind twenty-four burned-out tanks and a lot of very dead krauts.\n\nI got all kinds of pictures; pictures of dust, pictures of smoke, and of generals; but none of the tension and drama of battle, which I could feel and follow with my naked eyes.\n\n* * * *\n\nOur breakthrough to the sea and Tunis was bogged down, but we managed to stop the Germans from pushing us back and retaking Gafsa. The 1st Division fought for three weeks on the jebels of El Guettar, and every day I took the same pictures of dust, smoke, and death.\n\nAfter sundown, we would return to the press camp. The correspondents typed their stories and I shipped my pictures. No one discussed the events of the day. We drank Algerian wine and talked about \"that woman at home.\" Each of us told about his own girl\u2014always the most exciting and marvelous one in the world. Then they always dragged out a blurred, undistinguishable snapshot to prove it.\n\nI told them simply that my girl was pink.\n\nThat worn-out bunch of unromantic scribes, who had been listening with straight faces to the lies glorifying and beautifying that blurred girl at home, burst out into disgusting laughter. They said that pink women didn't exist, and that I ought to have the decency to lie honorably about blondes, brunettes, and redheads like everyone else. I had no snapshot to prove my claim.\n\nBut a few mornings later, the courier who brought our mail from Algiers had a package for me. There, wrapped in tissue paper, was an English doll, a doll with pink hair. The existence of my pink girl was never questioned again.\n\n* * * *\n\nScaling the same jebels and taking the same pictures around El Guettar day after day was a fruitless and dangerous routine. So when I received an offer to fly in a plane instead of walk up mountains, and to continue my education in the manly art of poker, I gladly accepted. The offer came from my old friend Lieutenant Bishop, who wrote me that his group\u2014the 301st Bombardiers\u2014had been transferred to North Africa, and was allowed to take war correspondents for a ride in every respect.\n\nThe Fortresses were battered; the pilots had a lot of ribbons; only the poker game was the same. I was the same too, and lost heavily the first night.\n\nIn the morning, we went on a mission to bomb the German shipping concentrated in the harbor of Bizerte. I flew with Lieutenant Jay, who had been the big winner in the poker game the night before. I figured he would want to protect his winnings carefully.\n\nOur Fortress was called The Goon. Bishop's Gremlin flew on our right, our wings almost touching. It was nice and dull in the air. The oxygen bottles cured our hangovers and the cold air at 20,000 feet was welcome change from the heat below.\n\nOver the target, things became less dull and much warmer. The explosions of the ack-ack guns rocked our plane; the black puffs of the shells formed a carpet right below us and we rocked on it. We kept a straight formation until we were right above the ships and released our eggs from our open belly. Then Bishop yelled through the intercom \"high and low\" and we broke formation. We swerved and dived and then climbed again, leaving the little black puffs and the big smoke of the burning ships behind us. We flew low over the sea, took off the oxygen bottles, and gave up the bored act. We joked and were visibly relieved.\n\nAll the poker players returned and we played again. I didn't get back my money and decided to stay for one more day. For five days I flew. Over Tunis, Naples, Bizerte, and my luck didn't change at all. Then we got a new target: Palermo. The ack-ack was much worse here than it had been before, and two squadrons of German fighters were up in the air waiting for us. They were like little silver dots above us in the sky, then they shook their shiny wings and dived and grew into ugly spitting monsters. Their bullets tore holes in our wings with the precision of a sewing machine, and The Goon was nearly down. Lieutenant Jay straightened the plane almost on the sea. Three of our motors were still going strong and we made home without much trouble.\n\nMost of the planes were in ahead of us. We waited for the others on the landing strip until late after darkness, and that night we did not play. One of our partners was missing.\n\nNext day I left the group and, having accomplished five missions over enemy territory, was recommended for the Air Medal. I almost deserved the Purple Heart\u2014for the five nights at poker.\n\n* * * *\n\nDuring the time I flew with the Fortresses I managed to miss our final successful attack. The Germans suddenly crumbled and our armies entered Tunis.\n\nVictory was pleasant and exhausting. During the day in the streets of Tunis we were kissed by hundreds of old women and drank many glasses of wine. We found a nice apartment in a big, modern building where we finished our stories and really started to celebrate. We had enough liquor from a captured Gestapo warehouse to keep our singing throats from drying out.\n\nAbout midnight there was a rap on the door and a dignified French citizen entered the room. \"Messieurs!\" he cried. \"For three months you have been bombing us every night. That was all right, c'est la guerre. But peace has been declared now, and my wife and little daughter wish to sleep.\"\n\nWe poured a glass of German brandy down the bravely resisting Frenchman's throat, and promised that peace would definitely be declared tomorrow. I fished the pink doll out of my bag and presented it to the Frenchman for his sleepy little daughter.\n\nThe hangovers of victory are strong and painful. Our war was finished for the moment. We had absolutely no liquor left, and all the pretty girls in Tunis were kept locked in their rooms by their fathers.\n\nWe were heating our K-ration coffee and preparing some breakfast, when Bill Lang took me aside. He said he had information that it would be at least four weeks before the next invasion, that the war would be a long one, and that it was dangerous to leave girls pining away in London. He added that there was a boat leaving for England in five days.\n\nTUNISIA, APRIL 1943. American fighter ace, with nine German shoot-downs and one Italian to his credit.\n\nCONSTANTINE, ALGERIA, MAY 1943. Men of the U.S. 301st Bomber Group after a daylight mission. The plane's landing gear had been shot away, but the pilot managed to make a successful belly landing.\n\nTwo days later I sat in the waiting room at the British Consulate in Algiers. The consul was a typical, dried-out civil servant. He was obviously very bored with both the French and the Arabs, and didn't want to be bothered with Yanks either.\n\n\"You are an American. You're in the Army. You have travel orders. You don't need a visa.\"\n\n\"I am not an American. I am only very close to the Army, and I need a visa badly.\"\n\nHe looked over the document which the British consul had put together for me in New York. \"Highly irregular,\" he remarked drily. \"The liberties taken by some of our consulates are difficult to understand.\" He didn't look up. \"What are your reasons for wanting to go to England?\"\n\n\"Purely sentimental, sir.\"\n\n\"I grant you four weeks. The fee is one pound, ten shillings.\"\n\n# V\n\nSixteen days later, after many delays, Bill Lang and I docked in Liverpool on a Sunday morning. It was early afternoon by the time we got to London, and there we parted. Bill took off to the very best hotel, and I took the train to Maidenhead.\n\nIt was a Sunday once more, and the Yardleys' place looked just as it did six months before. But this time, when I knocked on the door, I was a bit more anxious. Mr. Yardley opened it. \"You're just in time for tea!\"\n\nThe fire was lit in the living room. They had a house guest, but she was not pink. They asked me how it was in North Africa. I told them that the war there was boring. They answered politely that the war in England was very boring too. I edged slowly toward the gramophone. Mrs. Yardley watched me without turning her head. Casually, she asked me, \"Did your rumba technique improve while you were in North Africa?\"\n\n\"I may need a few more lessons,\" I answered lightly.\n\n\"I have an idea you'll get them.\"\n\nThe subject was dropped, but I felt much better. We talked about the weather and the food rations. During a pause in the conversation, I picked up a Tino Rossi record. I turned to Yardley. \"By the way,\" I asked, \"what happened to that blondish girl who used to like these awful records?\"\n\n\"Elaine Parker? As a matter of fact, she hasn't been playing them lately. She would be here today, but this is the Sunday when she has night duty over at the Ministry of Information. That's where she works, you know.\"\n\nAfter dinner, I said that I had to return to London. Nobody tried to detain me. The trip from Maidenhead to London was longer than North Africa to England.\n\nI called the Ministry of Information from the station and was informed that Miss Parker was in the American Division and would come on duty at midnight. Two more hours....\n\nI found Bill at Claridge's, where he had got two bedrooms and a living room for us. His girl's telephone hadn't answered all day. He presumed I hadn't been any luckier and offered to share his decanter of whisky. Then he looked at me again.\n\n\"I have a date at midnight,\" I said.\n\nAnd then I started to clean myself of six months of North African dirt. At midnight I picked up the telephone, asked for the proper extension, and listened.\n\n\"American Division\u2014Miss Parker speaking.\"\n\n\"What color is your hair, Miss Parker?\"\n\n\"Who is speaking?\"\n\n\"What's your favorite song, Miss Parker?\"\n\n\"Where are you?\"\n\n\"I think I'm slightly in love.\"\n\n\"Does it hurt?\"\n\n\"I'll meet you over at your canteen in fifteen minutes.\"\n\nWhen she came into the canteen, I was standing at the bar, resting my head on my elbows, staring at the bottles in front of me. She walked directly to the bar, put her elbows on it, and said:\n\n\"Hello.\"\n\n\"Your hair is still pink.\"\n\n\"If you'd made me wait much longer, you'd have found it all gray.\"\n\n\"Were you waiting?\"\n\n\"No, I got married and had six children.\"\n\n\"I hope they will like me.\"\n\nWe turned around and walked out of the bar without touching our drinks. We walked around the building, and when she broke away, she said:\n\n\"Be at the entrance at eight in the morning.\" Then she ran away.\n\nThe streets of London are gray and empty at eight in the morning. We found a teashop and she ordered bacon, tomatoes, tea, and toast. By now both of us were very serious.\n\n\"Did you come back because I was waiting for you?\"\n\n\"Yes.\"\n\n\"Are you going to stay?\"\n\n\"No.\"\n\n\"Do you like bacon and tomatoes?\"\n\n\"I'd like to stay.\"\n\nI told her I had to return to war, but then I'd be back. I explained that besides what might happen in war, my own situation was so uncertain that I never knew what might happen the following day.\n\n\"I am very pretty.\"\n\n\"Who told you so?\"\n\n\"People who drop in.\"\n\n\"Why were you waiting for me?\"\n\n\"I made up my mind the first minute I saw you.\"\n\n\"Still not teasing?\"\n\n\"Please pay the bill.\"\n\nIt was 9:00 A.M. and I had to go over to the Collier's office to check in and tell them I was taking a seven-day vacation. Pinky thought she could arrange to take her vacation at the same time. We started for the Savoy together.\n\nCollier's was still at the Savoy, but Quent was no longer there and the man who replaced him said he had a cable for me from the New York office. It was addressed to me and read:\n\n\"YOUR NORTH AFRICAN PICTURES WONDERFUL STOP WAR DEPARTMENT INSISTING ON POOL REGULATIONS STOP THEREFORE AVAILABLE TO ALL PAPERS STOP YOUR PICTURES USED BY EVERYONE BEFORE WE COULD PRINT THEM STOP REGRET HAVE TO RECALL YOU TO NEW YORK STOP WILL PAY TRAVELING EXPENSES PLUS THREE WEEKS ADDITIONAL SALARY\"\u2014COLLIERS NEW YORK\n\nI read it over three times, and then gave it to Pinky. I asked the Collier's man when he had received it. That same morning, he told me. I asked him whether anyone else knew about it yet. He said no, and I had to think fast. If I lost my job I would also lose my accreditation as a war correspondent. I would have to go back to the States, and with my papers what they were, I would never get out again. I just had to get a new job before the Army found out I'd been fired. I explained my situation to the Collier's man. He said he was sorry but he didn't think there was anything he could do about it. I asked him to wait until noon to give me time to go around to some of the other magazines and see what my chances were. He was reluctant, but he didn't say no.\n\n\"You go ahead,\" said Pinky. \"I'll wait for you here.\"\n\nI took a taxi to Life magazine.\n\nMy relations with Life were far from excellent. During the six years I had worked for them, they had fired me twice and I had quit once. But my relations with Crocky, who was in charge of the London office, were of long standing and more than good. She was pleased to see me again, and was not too surprised to hear that I was in trouble. She said that my chances of getting a job straight away were very poor, and she thought that the New York office, hearing that I was out of a job again, would just think that I ought to be used to it by now. However, she had information that big things would be brewing pretty soon along the Mediterranean, and thought that if I could get back to North Africa before the Army learned I had been fired, and if I could somehow pull a fast one and scoop the rest of the photographers, then the thing might be wangled somehow. It all seemed perfectly simple\u2014just this side of impossible\u2014but I had to give it a try.\n\nCrocky cabled Life in New York that she had heard that Capa was extremely dissatisfied with Collier's and could be persuaded to quit.\n\nI took a taxi back to the Savoy. When I entered the Collier's office, Pinky was sitting on the bureau right beside the telephone. Over in a corner of the room was the poor Collier's representative, close to a nervous breakdown.\n\nI said it was all fixed, and if he didn't tell the Army I'd been fired for forty-eight hours, he could be godfather to my children. If we would just get out of his office, he answered, it would be at least seventy-two hours before he could think or mention our names again.\n\nClose to the Savoy is the best restaurant in London, the Boulestin. I had to talk to Pinky, so we went there for lunch. Boulestin still had very good French champagne, and I proposed a toast to my getting away.\n\n\"How soon?\"\n\n\"Tonight. It has to be.\"\n\nHer eyes filled up with champagne. I told her about my scheme with Life and that I thought I might be able to swing the air reservation through my friend Chris Scott over at the air force P.R.O. As soon as lunch was over, I called the P.R.O. Chris Scott had been transferred somewhere in North Africa!\n\nPinky put her little finger in her mouth and chewed on it twice.\n\n\"I think I know how to fix it.\"\n\nShe told me to go ahead and get my exit permit and meet her at 5:30 at the Mayfair Club.\n\nThe security officer at the Passport Office was highly suspicious about my arriving in England on Sunday and wanting to leave on Monday. I told him I couldn't give him any details which concerned military operations. He was quite impressed, and I had no more trouble.\n\nPinky arrived at the Mayfair Club at six o'clock, ordered a drink and said:\n\n\"You can go now. I have your reservation.\"\n\nI had to be at the air terminal at 6:30. I told her I would come back to England soon.\n\n\"Well, you'd better.\"\n\nI asked her what she was going to do tonight after I left.\n\n\"You black-hearted Hungarian dope! I'm having dinner with the officer who gave you that air priority\u2014to make my evening free!\"\n\nShe kissed me lightly, and ran away.\n\nIn the dark airplane, flying from England to North Africa, I was very sure that I was very much in love with Pinky. And this time I knew her name and address. I even had her picture.\n\n# VI\n\nThe white city of Algiers looked even whiter from the air, and the blue harbor was black, jammed with boats of all kinds and sizes.\n\nAt Eisenhower's public relations headquarters, the pressroom was deserted, the usual crowd of newspapermen vanished, and the press officers gone. I tried to find out what was cooking but the few sergeants on duty were noncommittal. They would say only that the P.R.O. officers were at Eisenhower's campaign headquarters. I asked them to connect me on a direct wire. It couldn't be done, they said; headquarters had been sealed since the day before.\n\nI put a few numbers together and figured out that the invasion of somewhere was going to happen any minute, much faster than I had expected. I was too late. I was left out of the invasion, and I would get no scoop and no new job. The news of my being fired would catch up with me right in Algiers. After all the ado, I had gained nothing. Instead of from London, I would be shipped home from here.\n\nI hung around the P.R.O., hoping desperately for my usual miracle. It happened in the men's room. I found there a war photographer, a colleague of mine, in very sad shape. He had the \"GI's,\" or C-ration diarrhea, and was so much on the run that he had to stay in one place. He told me he had been trained for several months for a very special job: to jump with an airborne division on their first big mission. He had been assigned to the invasion, but had got so sick that they had sent him back at the last moment.\n\nHe was rather philosophical about the whole thing. He didn't particularly like parachute jumping anyway. Here was my chance to save two birds with one case of \"GI's,\" and I asked how I might be able to replace him. He sent a message to airborne headquarters, they sent a plane to get me, and I was flown to a big improvised airfield near Kairouan in the middle of the Tunisian desert, where hundreds of transport planes and gliders were lined up and ready for the take-off.\n\nI was shown to the public relations tent, and there was my London friend, Captain Chris Scott, who was now the public relations officer for the 9th Troop Carrier Command. I told him my whole story.\n\n\"So you are still an enemy alien, Capa? Still chasing pink girls?\" I showed him the picture of Pinky. He looked at it for some time. \"It's really too bad that you're going to be killed in this invasion. I'll have to fly back to London and break the sad news to the pink girl. But for you, Capa, I'll do it.\"\n\nHe took me over to Major General Ridgway, the commander of the 82d Airborne Division, and introduced me. The general was very friendly.\n\n\"As long as you're willing to jump and take pictures of my division in combat, I don't care whether you're Hungarian, Chinese, or anything else. Have you ever jumped before?\"\n\n\"No, sir.\"\n\n\"Well, it isn't natural, but there's nothing to it.\"\n\nBack in his tent, Chris gave me the whole dope. The destination was Sicily. The 82d Airborne Division would be flown in by the 9th TCC six hours before the main seaborne landing. We were scheduled to jump at 1:00 A.M., and the barges would hit the beach by daybreak.\n\nChris had an idea. I would fly in the lead plane and take flash pictures of the paratroopers both during the flight and as they jumped. I wouldn't jump myself but would return to Kairouan with the empty transport plane. If I took the picture of the first man to jump, I would have the picture of the first American to land in Sicily. My plane would get back to the base by 3:00 A.M. We would develop and radio the pictures to America and they would be there before the news of the invasion itself. My pictures would hit the presses simultaneously with the first big headlines.\n\nThe plan appealed to me in every detail. I began to like Chris very much.\n\nIn a short while we were called in for the official briefing. The planning staff outlined to the pilots and paratroop officers the different phases of the operation. They told us that when we reached the target we could expect a lot of flak and a lot of Germans. This is where we would \"discover our souls.\" They made sure that everyone understood what he was supposed to do and we were trucked over to the waiting planes.\n\nChris said good-bye and told me he would wait for my return on the airfield. I didn't give him Pinky's picture, but\u2014just in case\u2014I gave him her address. We took off.\n\nThere were eighteen paratroopers in the plane. I wasn't going to jump and sat in the front end of the plane so that I wouldn't be in the way of the jumpers when the time came. The plane was blacked out, but there was no objection to my taking flash pictures once we got over the target. There would be plenty of other kinds of explosions, and my flashbulbs would be just a small part of the show.\n\nWe flew low over the Mediterranean and the plane rocked badly. Inside it was dark and silent. Most of the boys were sleeping or maybe just closing their eyes.\n\nSoon I heard peculiar noises. A few of the boys were already beginning to \"discover their souls\" and were puking violently all over the plane. The boy next to me had been very quiet up to now. But now he turned to me and asked, \"Is it true that you're a civilian?\"\n\n\"Yes,\" I answered.\n\nHe went back inside himself, but in fifteen minutes he asked me again, \"You mean to say that if you didn't want to, you didn't have to come?\"\n\n\"That's right.\" But silently I added, \"If you only knew.\"\n\nIN A PLANE EN ROUTE FROM KAIROUAN, TUNISIA, TO SICILY, JULY 1943.\n\nThese American paratroopers are about to launch the Allied invasion of Sicily.\n\nHe was quiet again, but this time the interval was shorter. \"If you had wanted to, could you have flown back to the States tonight instead of this?\"\n\n\"Not impossible,\" I said.\n\nNow he was direct. \"How much are you getting paid to do this?\"\n\n\"A thousand a month,\" I lied.\n\nFrom then on he didn't have much time to think about my job. The Promised Land emerged from the darkness, well lit by burning houses and flaming oil dumps. Our bombing force had preceded us by half an hour so as to impress the enemy reception committee.\n\nUnfortunately, it hadn't been sufficiently impressed, and the Germans were filling the sky full of colored tracer bullets. Our pilot swerved right and left, trying to find a hole between the tracers.\n\nThe green light in the front of our plane came on. It was the signal to get ready to jump. The boys all stood up and straightened the static lines of their parachutes. I got my camera ready. Then the red light came on\u2014the signal to jump. My neighbor was the last one out. He turned back and yelled at me: \"I don't like your job, pal. It's too dangerous!\" He jumped, and the plane was empty.\n\nI was alone with eighteen broken static lines blowing through the open door. I felt lonelier than hell. I would have given a lot to be with the guys floating down through the darkness below.\n\n* * * *\n\nChris was waiting for me back at the airfield. He had rigged up a darkroom in a small tent. Under the blacked-out canvas, the heat was suffocating. To keep the developer from boiling, Chris commandeered two huge blocks of ice from the mess sergeant, who protested that they were intended for the next day's ice cream.\n\nWe stripped and went to work. Sweat poured down from us into the developing juice. Our first wet prints were ready just as the last hunks of ice melted away. We tore the tent flap open and hit the cool breeze of the desert dawn. Chris had his jeep ready in front of the tent. We threw shirts and trousers on our wet bodies, and Chris drove full speed along the empty road. We headed for Tunis, for a forward press camp, where radio facilities and censors had been set up for the Sicilian show.\n\nWhile Chris concentrated on the bomb-cratered road, peering through the semidarkness, I took a look at my pictures. They were slightly out of focus, a bit underexposed, and the composition was certainly no work of art. But they were the only pictures to come out of the invasion of Sicily so far, and it would probably be days before the seaborne photographers managed to send their stuff back from the beaches.\n\nAt 7:30 we reached Tunis. The censors, without any argument, stamped my pictures through for radio. We entered the mess room of the press camp just as the loudspeaker was announcing officially that the invasion of Sicily was under way. As the newshounds leaped to their feet at the news, I quietly announced that I'd just returned from there. The only source of first-hand information, I immediately became the center of attraction. I was pressed for details, and I gave a minute-by-minute account of the flight, and described how the invaders' minds and stomachs had behaved from take-off to jump time.\n\nDuring the interview, Chris left the mess room. He returned just as I was attacking a pair of fresh eggs. From the doorway, he motioned to me. The eggs were beautiful, but Chris was waving a slip of yellow paper.\n\nOutside, Chris said, \"Well, this is it.\" He gave me the slip, and I read the short message:\n\n\"PR ALGIERS INFORMED BY COLLIER'S ROBERT CAPA NO LONGER WORKING FOR THEM. HE IS ORDERED TO RETURN TO ALGIERS BY FIRST AVAILABLE TRANSPORTATION\"\n\nI was licked. I had got the pictures, but they would do me no good. The picture pool which had got me fired from Collier's would use them with a great splash\u2014without my name\u2014and wouldn't have to pay a single penny for them. \"Nuts, I'm going back and eat my eggs,\" I said.\n\n\"Wait a minute,\" said Chris. \"Are you still ready to jump? There's one more mission tonight: we're going to jump the reinforcements in. If you go with them, they won't find you for weeks, and meanwhile I won't acknowledge receipt of the message until tomorrow morning.\"\n\nSo I left my fried eggs and Chris drove me back along the same road, back to the camp where the reinforcements were preparing for the night's work ahead.\n\n* * * *\n\nChris had no trouble getting me in, and I was given a chute for the asking. At midnight we took off. For the second time in twenty-four hours, I was en route to Sicily. This time I was rigged with the rest of the jumpers, and this time I found my soul like everyone else. All I knew about jumping was that I was supposed to step out of the door with my left foot, count 1,000...2,000...3,000, and if my chute didn't open, I was to pull the lever for my emergency chute. I was too exhausted to think. I didn't want to think anyway, and I fell asleep.\n\nThey woke me up just before the green signal flashed on. When my turn came, I stepped out with my left foot forward into the darkness. I was still groggy, and instead of counting my thousands, I recited: \"Fired photographer jumps.\" I felt a jerk on my shoulder, and my chute was open. \"Fired photographer floats,\" I said happily to myself. Less than a minute later, I landed in a tree in the middle of a forest.\n\nFor the rest of the night, I hung from the tree, and my shoulders found out the weight of my behind. The general was right, it wasn't natural. There was a lot of shooting going on around me. I didn't dare yell for help. With my Hungarian accent, I stood an equal chance of being shot by either side.\n\nWhen morning came, three paratroopers discovered me and cut me down. I said good-bye to my tree. Our relations had been intimate, but a little too long.\n\n* * * *\n\nOur four-man task force wasn't eager to engage the enemy, and we advanced cautiously from tree to tree, and only after long deliberation. As the forest thinned out, our confabs grew longer. From behind the last tree, we saw a little Sicilian farmhouse. It was out in the open field some two hundred yards away. In the best military fashion, we crawled up to the house on our stomachs. The three soldiers surrounded the house and occupied strategic positions, ready to fire with their tommy guns. Having no tommy gun, and being the linguist of the group, I was given the job of knocking on the door.\n\nAGRIGENTO, SICILY, JULY 17-18, 1943. Life resumes in the liberated, but badly damaged, city.\n\nAn old Sicilian peasant in a long nightshirt opened the door. He looked at me as if I had dropped from the sky. My jumpsuit was a new uniform to him. We all wore American flags as shoulder patches, but my dark, slightly Mediterranean face must have impressed him more than anything, for he suddenly screamed, \"Siciliano! Siciliano!\" and threw his arms around me. My army lowered their tommy guns and we quickly entered the farmhouse. I didn't know any Italian, so in broken Spanish I tried to explain to the old man that only my great grandfather was Sicilian. He answered with a stream of strange words. There was one word he kept repeating, \"Brook-a-leen.\" One of my troopers caught on and pointed to himself. \"Me, Brooklyn.\"\n\nThe conversation became easier and we established that Americans like Sicilians and Sicilians love Americans; that Americans don't like Germans and Sicilians hate Germans. These preliminaries over, I came to the point. Where were we, and were any Germans around?\n\nWe laid our silk invasion map on the table. The Sicilian peasant, after first admiring the quality of the fabric, put his thumb on a point way inland, some twenty-five miles beyond our official dropping zone. Some German units had passed on the road leading to the coast during the night, he said, but they hadn't stopped and he didn't think there were any more around.\n\nHe gave us food and wine and we returned to the forest. We remained there for three days, sleeping in the daytime and creeping out at night to blow up little bridges. On the fourth day, the spearhead of the 1st Division caught up with us. They were not terribly impressed with our military prowess, and as for the photographer\u2014the whole bloody thing had been absolutely useless to me. The only picture I had was a portrait of the old Sicilian farmer.\n\n* * * *\n\nThe Sicilian campaign turned out to be a twenty-one-day race. In the lead was the Italian Army. They were afraid not only of the Americans, but of the Germans too, and ran in every direction. The Germans were slower than the Italians, but they retreated steadily. Close on their heels came the jobless enemy alien, who in turn was chased by the whole public relations force of the American Army. Behind us all, pushing us relentlessly forward, General Patton's tanks rumbled in the dust.\n\nIn the course of things, I shot a great many exciting pictures. But the only way to get them censored and shipped was through the very P.R.O. from which I was running. Besides, the only place I could ship them was the picture pool, and that wouldn't help me a bit. The exposed rolls piled up in my bag and the chances of getting them published dwindled every day.\n\nIn less than three weeks we reached our main objective. We were at the outskirts of Palermo. The Germans had withdrawn, and the remaining Italian forces didn't insist on fighting. The jeep I was in followed the first tanks of the 2d Armored Division into the town. The road leading into the city was lined with tens of thousands of frantic Sicilians waving white sheets and homemade American flags with not enough stars and too many stripes. Everyone had a cousin in Brook-a-leen.\n\nI was unanimously pronounced a Siciliano by the cheering crowd. Every member of the male population had to shake my hand, the older women had to kiss me, the younger ones filled the jeep with flowers and fruit. None of this exactly helped my picture taking.\n\nWe arrived at the gates of Palermo without firing a shot. The lieutenant in charge of the tanks got in touch with headquarters by radio and asked for orders to enter the city. When headquarters found that there was no resistance in the town, they ordered us to stop and wait for the commanding general. We called headquarters unprintable names and waited. In a short while, the corps commander, General Keyes, arrived surrounded by aides and swarms of military police. The MP's promptly took over and blocked off any further advance by tanks, soldiers, or war correspondents.\n\nGeneral Keyes ordered the MP's to bring forward a few of the celebrating Italian gendarmes. The gendarmes were produced. General Keyes said he didn't give a damn about their innocence; all he wanted was the Italian general in command of Palermo. The gendarmes nodded and said, \"Yes, yes,\" but did not move. The exasperated Keyes asked for an interpreter and I offered my services. I got the point over to the gendarmes somehow. I explained that the general wanted to avoid any unnecessary bloodshed and wanted the Italian general to announce the terms of surrender to the populace. The gendarmes nodded \"Si, si,\" climbed into a jeep with a couple of MP's, and took off toward the center of town.\n\nMONREALE, ON THE OUTSKIRTS OF PALERMO, SICILY, JULY 1943. Welcoming the American troops.\n\nPALERMO, SICILY, JULY 1943. General Giuseppe Molinero (right), the commanding officer of Palermo, surrenders the city to General Geoffrey Keyes of the U.S. Army.\n\nMONREALE, ON THE OUTSKIRTS OF PALERMO, SICILY, JULY 1943.\n\nAmerican troops enter the city.\n\nPALERMO, SICILY, JULY 1943. Americans enjoying victory.\n\nSICILY, JULY 1943. An injured American soldier.\n\nIn fifteen minutes the jeep reappeared. Seated in the back, between the two beaming gendarmes, was a very unhappy Italian major general. General Keyes motioned the sweating Italian general into his command car and repeated his order to the MP's not to let anyone through. He had a white flag hoisted on his car and it looked as if he was going to take Palermo without the Army.\n\nHere goes my surrender ceremony, I thought. But just as the car was about to leave, General Keyes turned toward me. \"Interpreter, come along,\" he ordered.\n\nWe drove up to the governor's palace and dismounted in the courtyard. General Keyes demanded the immediate and unconditional surrender of the town and military district of Palermo. I translated it into French, the language I knew best, and hoped the Italian would understand me. He replied in perfect French and said that he would be only too glad to do so, but it was really impossible. He had already surrendered four hours earlier to an American infantry division that had entered the city from the opposite direction.\n\nGeneral Keyes became impatient at the delay. \"Stop that jabbering, soldier! I want unconditional surrender and I want it immediately!\"\n\nI explained to the Italian that surrendering the second time ought to be much easier than the first. Besides, General Keyes was the corps commander, and would undoubtedly allow him to keep his orderly and personal belongings in the prisoners' camp. The issue was won. He surrendered in French, Italian, and Sicilian, and asked whether he could keep his wife too.\n\nMy translator's job was done, and I went back to taking pictures. Later, when the surrender ceremony was over, I saw the Italian general being led away to prison\u2014empty-handed and alone.\n\nThe Army poured into Palermo. Ernie Pyle was riding in the first press jeep. He waved at me and shouted:\n\nNEAR TROINA, SICILY, AUGUST 4-5, 1943.\n\nA Sicilian peasant tells an American officer which way the Germans had gone.\n\n\"You goddamn fired enemy alien, the whole PR is after you!\"\n\nThere would be no victory celebration in Palermo for me. I turned over my films to Ernie and asked him to ship them to Life magazine. By now, either they had decided to hire me, or\u2014if not\u2014once they saw these pictures, they couldn't help but do so.\n\nI had to leave Palermo, and on foot. Leaving all the promised pleasures of our first occupied capital, I was sick and tired of being a fired photographer. I had no idea where to go, but I knew that the 1st Division was fighting somewhere in the middle of Sicily. I had chums there, and decided to join them. I didn't know exactly where they were, and it took me three long days to find them. The two commanding generals, Terry Allen and Teddy Roosevelt, were friends of mine, but division headquarters was hardly safe for me. By now, everyone knew that I had no right to pose as an accredited war photographer. So I carefully avoided headquarters and fell in with the 16th Infantry Regiment, the same group that had once been my family in North Africa.\n\nThe regiment was just jumping off to take Troina, a small town perched on a hilltop. Troina was tough. It took us seven days to capture it and we lost a lot of good men.\n\nThis was the first time I had followed an attack from beginning to end, and I managed to get some good pictures. They were simple pictures and showed how dreary and unspectacular fighting actually is. Scoops depend on luck and quick transmission, and most of them don't mean anything the day after they are published. But the soldier who looks at the shots of Troina, ten years from now in his home in Ohio, will be able to say, \"That's how it was.\"\n\nThe lovely little mountain village was in ruins. The Germans who had been defending it had pulled out during the night, and had left the dead and wounded Italian civilians behind. We were lying around in the little square in front of the church, completely pooped and thoroughly disgusted. There wasn't much sense to this fighting, dying, taking pictures, I was thinking, when Teddy Roosevelt, who always showed up where the fighting was roughest, drove up. He poked at me with his stick, and said, \"Capa, there's a message down at division headquarters saying you're working for Life.\"\n\nI had hoped and prayed for this news for a long time. But now that it had come, I wasn't really happy. I felt that the jobless enemy alien I was leaving behind in Troina was much more a part of this war than the fully accredited Life photographer ever could be.\n\n* * * *\n\nThe prodigal returned to Palermo by jeep. During the ride, General Teddy recited poetry and Lieutenant Stevenson sang cowboy songs. I was feeling a bit dizzy. We stopped for chow, but I couldn't eat. My companions remarked that I looked a little on the green side. There was no doubt of it, I had got the job and malaria both at the same time.\n\nTROINA, SICILY, AUGUST 6, 1943. American forces bombed and shelled this hilltop German stronghold for a week. Some Italian civilians had been trapped in the town, as Capa discovered upon his entry into Troina with the first American patrol.\n\nTROINA, SICILY, AUGUST 1943.\n\nTROINA, SICILY, AUGUST 1943.\n\nThe hospital had bad food and a good-looking nurse. I couldn't eat the food, and the doctor asked the nurse to give me a couple of shots of Scotch every day in order to help my appetite. The nurse brought me a pile of American newspapers, and I discovered that my pictures of the invasion of Sicily had been used by every paper in the States. They didn't mention my name, but Life made up for it. They carried my story of the entry of Palermo as a seven-page lead article. There was not only a fat byline, but also my face in a little box. It said that I was a staff photographer.\n\nI asked the nurse whether there was any good food to be found in Palermo. There was a pretty good black-market restaurant in the Hotel Excelsior, she said. She felt my pulse, said that I was still running a temperature, and that we could get out unnoticed through the basement window after dark.\n\nWe had nice steaks and drank spumanti. We had a very good time. When we got back to the hospital it was quite late and the window was locked.\n\nI behaved like an eighteenth-century gallant, sent the nurse to her quarters, walked in the main entrance, and said that I was a new patient. I thought I had a touch of malaria, I added. They admitted me all over again. Unfortunately, I was sent to the same ward, and it was the same doctor who came to look me over. This time I got fired from the hospital.\n\n# VII\u2014FALL 1943\n\nThe Sicilian campaign was over, and I was shipped back to Algiers. The main press headquarters was bustling with activity, and in the briefing room\u2014where the official handout was usually read to a handful of press agency men\u2014I found an impressive gallery of well-known byliners. The speedy conquest of Sicily together with the impending invasion of the mainland of Europe had brought them tearing over from their desks in America in one hell of a hurry.\n\nThe room was buzzing with speculation as to when and where the Big Thing would take place. Talk about airpower, soft underbellies, and extended supply lines filled the air, but it failed to impress my quinine-stuffed head, and I decided to beat it. I wanted a room to myself with a great big bed. I wanted a bathtub and fresh towels, and a buzzer to summon a waiter.\n\nThere were only two large hotels in Algiers. On the hilltop was the St. George, which served as Eisenhower's military headquarters. The second was the Aletti, overlooking the harbor. It was reserved for visiting generals from the front, for diplomats and war correspondents, for important Free French and the still important Vichy French, and for very high-class ladies of dubious occupation.\n\nWhen I reached the Aletti, the billeting sergeant gave me\u2014instead of a room key\u2014a well-rehearsed little speech. In November of 1942, he said, there were only twenty-two accredited war correspondents in Algiers, and the town major had allotted them ten rooms in the hotel. Now, however, in August of 1943, there were about a hundred and fifty accredited correspondents, and still the same ten rooms. I started to argue with him. He answered with a shrug. The rooms were on the third floor, he said, and I could try my luck.\n\nMy chances of getting a bed to myself had vanished, but I still had hopes for the tub and the buzzer. I went from room to room, asking to share a bed, pleading for a share of the floor space, but all in vain. Not only was every bed occupied, but every square foot of floor space was covered with a cot or a bedroll, all crowded side by side. Even the few balconies had been commandeered.\n\nI parked myself and my bedroll in an empty corner in the lobby, and sat lost in dejection. At this point, the 230-pound hulk of my old boss Quentin Reynolds turned up. He was glad to hear that I had gotten a job, and told me not to worry about a room. Coming over from England, he had made friends with a meek little man representing something called the British Council. The B.C. must have been quite important, because the little man had been given a room with two beds and a balcony all for himself. Quent was using the second bed, and was quite sure that his little friend wouldn't object to a friendly Hungarian taking up a small part of the floor.\n\nThat night, when the little man came home, he discovered me stretched on his floor. He apologized for waking me, and hoped I was quite comfortable. I mumbled that I was and went back to sleep instantly.\n\nNext morning, we were awakened by Clark Lee, the handsomest of all foreign correspondents, who was as famous for his reporting as for his escape from Bataan. He was slightly less handsome that morning, his face swollen by a badly infected tooth. He pointed with one hand to his face, with the other to the bed. The meek little B.C. gentleman obligingly got out, and the moaning Clark crawled in.\n\nIn the evening, the B.C. man retrieved his bed. Just as we were getting settled, the door opened and Jack Belden, the sweetest and also sourest tempered of the correspondents, walked in. He silently undid his bedroll, and crawled in to sleep. We felt that our host had a word of explanation coming, and offered that Jack had been with Stilwell in the retreat from Burma.\n\nErnie Pyle came in around midnight. He was the shyest of men. All the rest of us were rather big fellows, he apologized, but his slim presence would hardly be noticed.\n\nThat seemed plenty for one night, but we were due to be awakened once more. The visitors this time were a dozen German planes, flying low, and dropping their bombs a few hundred yards from our window. We stayed where we were, but put on our helmets. The gentleman of the B.C. had no helmet, however, and decided he would feel safer under the bed. Clark Lee didn't mind, and for the rest of the night he was back in a bed again.\n\nThe next day we were still waiting for a call from Public Relations. We sat around the room a bit bored, just a bit scared, and chewed the fat about the Big Move. John Steinbeck and H. R. \"Red\" Knickerbocker dropped in along about afternoon, with three bottles of Algerian schnapps. They thought it would help Clark Lee's headache, they said. The stuff tasted like hell, but we couldn't see Clark drink it by himself. So we pitched in and helped empty the bottles before the awful stuff could kill him. In the meanwhile, Steinbeck and Knickerbocker were quietly undoing their bedrolls out on the balcony.\n\nFrom then on, each morning found some new addition to our m\u00e9nage. From the balcony, we could see the harbor clearly. Every day more and more ships were loaded with troops, guns, and planes. The empty spaces between the large ships were gradually filled with dozens of small invasion barges. The Big When was coming closer.\n\nJust about the time when there was no longer any space to walk between the bodies in our room, we got our call to report to headquarters. We packed our helmets and our bedrolls, bid farewell to our little host, and left him sad and all alone in the empty room.\n\n* * * *\n\nWe piled into PR headquarters. Lieutenant Colonel Joe Phillips, the head PR, called us into his office one by one. We were told nothing about the operation, only that from now on we would be \"isolated.\" One by one, we were assigned to our divisions. When my turn came, Phillips said, \"Capa, I'm convinced that you're a born paratrooper.\" I protested that I was a born Hungarian. He laughed. \"I think we'd better stick to the first version.\"\n\nA few hours later, I was delivered to the airfield at Kairouan. I had been there about six weeks earlier, and the planes and gliders were lined up in exactly the same formation as before. Now, however, there were little white parachutes painted on the noses of the C-47's\u2014one parachute for each mission over enemy territory.\n\nChris was expecting me, and greeted me on my arrival. \"Congratulations. I hear you got the job and you're fully legal. How is Pinky?\"\n\nI answered that I had no troubles of any kind. He was disappointed. \"You're just as boring as any other newspaperman,\" he said. \"But I have news for you. Si Korman of the Chicago Tribune is here, and his poker is even worse than yours.\"\n\nI played just as badly as ever, but by midnight I had everyone's money. Getting up from the table, Chris complained about my exceptional luck. There could be only one explanation, he said. Pinky was having a good time.\n\nThe following day, Chris had to fly over to Cairo. I gave him the poker money and asked him to buy me five pairs of silk stockings and a bottle of the best French perfume. He accepted the commission, but didn't think it would help me.\n\nThirty-six hours later, Chris was back with the stuff. I sent it off to Pinky with a note. Before the stockings were gone, I promised, I would be back in London.\n\nThe days passed slowly in the hot Tunisian desert. There was still no sign of D-Day. The 82d Airborne and 9th Troop Carrier headquarters were enveloped in top secrecy and the planning rooms were barred to unclassified personnel.\n\nWe were tired of waiting in the sun and were impatient for the day we would be told to jump. Finally the day came\u2014but instead of boarding our planes, we were ordered aboard a lot of LCI's that were waiting in nearby Gafsa harbor.\n\nFor two days we zigzagged up and down the Mediterranean. Then we abruptly changed course and landed in the harbor of Licata, in Sicily. The jump was on again, and the planes of the 9th TCC had already been transferred from Kairouan to the Licata airfield.\n\nChris was there too, and had a pressroom ready for us. The big brass had taken over the Licata high school, and the PR was established in the laboratory. Surrounded by glass beakers, skeletons, and stuffed birds, Dick Tregaskis, of the INS, typed glowing pre-invasion stories which never passed the censor, and Korman and I played two-handed poker on a tilted blackboard.\n\nThe airborne division, alerted for action, camped in an olive grove just behind the Licata airfield. Licata, the town made famous by John Hersey in his book A Bell for Adano, did not yet have a bell, but there was plenty of fish and sour wine. The evening was cool in the open camp, the sky full of stars and mosquitoes, and fresh rumors circulated freely under the olive trees.\n\nThe next morning, Brigadier General Taylor, of the 82d Airborne, asked if anyone could lend him a money belt. I remembered the story told about General Mark Clark, who had arrived secretly on the coast of North Africa to prepare the way for the African invasion. Surprised by gendarmes as he landed on the beach, he had lost both his trousers and millions of francs of bribe money in the ensuing scuffle.\n\nI offered General Taylor the money belt which I had acquired with the change in my poker luck, and asked him if he intended losing only his trousers.\n\nThe general took my belt with the comment that newspapermen talk too much.\n\nTwo days later, the camp broke into feverish activity. We were ordered to check our equipment and pack our things. I was asked to report to General Ridgway, the commanding general, at his tent.\n\n\"Capa,\" he said to me, \"you're going to have dinner in Rome tonight. General Taylor is there now, and the armistice with the Italians has been signed.\"\n\nOur airborne troops were going to occupy both the airfield and the city of Rome that night. \"Marshal Badoglio has assured us he will have the airfield free from the Germans, secure for our landing.\" He went on to explain that the Fifth Army would land at Salerno, south of Naples, the following morning.\n\nThis would be one of the big scoops of the war. While the rest of the photographers were taking pictures of a dreary beach and maybe a few local mayors, I would catch Mussolini at home. And by the time my colleagues reached Rome, I would be firmly established in the best hotel in Italy, calling the bartender by his first name.\n\nI returned to my bedroll and changed from my jumpsuit to a pair of pink trousers and a gabardine shirt. A little while later I was sitting in General Ridgway's lead plane, ready for the take-off.\n\nOur motors were warming up when a messenger ran up and handed the general a radio message. It was from General Taylor in Rome:\n\n\"GERMANS OCCUPIED AIRFIELD THIS AFTERNOON ITALIANS UNABLE TO STOP THEM ADVISE CANCELING ALL PLANS\"\n\nI was the saddest guy in pink trousers in all Italy.\n\n* * * *\n\nThree days after the Fifth Army had landed at Salerno, a boat carrying the three airborne correspondents dropped anchor at that fateful harbor. It had been only seventy-two hours, but for some guys it had been the longest seventy-two hours of their lives\u2014for many, their last. The charred, half-submerged hulls of ships and barges, the flags waving over the white crosses of the first American cemetery on the European mainland\u2014all this told us what Salerno had been.\n\nA \"Duck\" took us from the boat to the beach, and after five years' absence I was back in Europe. Something new had been added by courtesy of the Fifth Army. Big signs split up the beach into Red, Green, and Yellow landing areas; the newly built roads were identified as Main Street, Broadway, and 42nd Street; MP's in spotless white gloves were directing traffic at the intersections; and each corner was decorated with extra-big signs on which were inscribed the Ten Commandments of the Fifth:\n\n\"SOLDIERS NOT WEARING THEIR HELMETS WILL BE FINED. SALUTING OF OFFICERS WILL BE STRICTLY ENFORCED. JEEPS MAY BE DRIVEN ONLY BY THOSE HOLDING SPECIALLY AUTHORIZED TRIP TICKETS.\"\n\nThe press camp was established in a factory about a mile inland, and we had to show all kinds of identification to be admitted to the sacred area. All the correspondents were there and every one of them had already sent in two or three of the most sensational stories of the war.\n\nWe looked at the situation map. The front was only four to six miles inland, and our most forward position was still twenty miles short of Naples. On the left flank of the beachhead, the one closest to Naples and also farthest from headquarters, was a blue square reading: Rangers, Commandos, and Paratroopers.\n\nHaving missed the invasion story, I wanted to be with the outfit that had the best chance of reaching Naples first. So I set out in the direction of Maiori, where the Rangers had their headquarters.\n\nThe Rangers may not have been better than any of the good infantry regiments, but most of them had gotten tougher training and more experience. They talked like jerks, fought like killers\u2014and once I found them crying like heroes. As for their commander, Lieutenant Colonel Darby, he talked tougher and fought rougher than any of them.\n\nI arrived in Maiori that evening. I was good and tired and decided to look for a bed. The best place to find food and a bed at the beginning of any invasion is always a hospital. I found the hospital in a little church. It wasn't hard to find: a long line of ambulances were making a steady procession toward it.\n\nAt the entrance to the church, the ambulances were disgorging their blood-covered stretchers. In the dark interior, the moaning of the wounded made a strange kind of prayer, and the smell of ether blended with that of incense. The church was full. Most of the wounded had to lie on the cold floor. There were only a few army cots, and they had been assigned to the hopelessly wounded. Over their heads, like sacristy lamps, hung plasma bottles, and the trickling blood tried to catch their escaping lives.\n\nBefore the altar, kneeling alone, his back to the congregation of wounded and dying, his face pressed to the steps, was a soldier who seemed to be their priest. He had no wounds I could see, but a shell had exploded near him and had shattered his nerves and blown the senses out of his body. He mumbled a steady stream of incoherent sounds, and only God knew what he said.\n\nItalian nuns were looking after the wounded, and the first German prisoners were scrubbing the floor. I hesitated, then I brought out my camera. My flashbulb mercilessly broke the spell. I was a photographer, this was an unusual hospital...it made a good story.\n\nThe doctors' quarters were in the orphanage adjoining the church. The doctor in charge gave me his bed. He had no time to use it himself.\n\nWe had breakfast together in the morning, the doctor and I. While we ate, the orphans marched out into the church garden in close formation, led by the mother superior. They were singing songs and they were the songs of the young Fascisti. The doctor had been falling asleep over his coffee, but he became suddenly alert and shouted for the interpreter.\n\n\"You can tell the mother superior that we're not going to have this sort of thing anymore. I refuse to nourish any future fascists on American rations. If these kids don't break formation and learn to play like normal kids, there won't be any food at lunchtime.\"\n\nThere was a long argument, with the mother superior finally stalking out of the building. The children started to behave like wild Indians\u2014and the new democracy was born.\n\nFor a moment, the doctor relaxed and smiled. Then his face grew serious again, he got up abruptly, and hurried back to his operating room.\n\n* * * *\n\nAt Ranger headquarters, I found Lieutenant Colonel Darby and his small staff at breakfast. They were unshaven and unslept for days, and the colonel was trying to answer three telephones at the same time.\n\n\"What can I do for you, photographer?\" he asked.\n\nI told him I was in a hurry to catch up with the war.\n\nThat shouldn't be hard, he answered. He hadn't many troops, even less mat\u00e9riel, but plenty of war, and he could spare a little for me. His front was the entire left flank of the beachhead; his army included, besides the Rangers, a regiment of paratroopers, a battalion of the 36th Infantry Division, a few British commandos, and a task force of light British tanks; he had a few pieces of artillery, two mortar companies, and a British light cruiser anchored in the bay.\n\nMAIORI (SORRENTO PENINSULA), SEPTEMBER 19, 1943. A British surgical unit works in an operating room set up in a church in the northern sector of the Salerno beachhead.\n\n\"If you insist on getting shot at, the Chiunzi Pass is as good a place as any. Stick around a bit, my driver will take you up to Fort Schuster.\"\n\nOn both sides of the narrow, winding mountain road were vineyards, and the ripe blue grapes were warm and beautiful. I suggested to the driver that we stop for a moment. Instead of slowing down, he stepped on the gas. He pointed to the new craters and to a GI lying flat in a ditch along the road.\n\n\"I'm not stopping,\" he said. \"Not on this bloody road.\"\n\nA shell whistled. It exploded only a hundred yards behind us. I was convinced. The grapes were probably sour anyway.\n\n* * * *\n\nFort Schuster turned out to be an old Italian tavern built in the deep curve of the road on top of the pass. The tavern was hundreds of years old and had thick walls made of native stone. On the other side of the curve, the road slid down to the flat plain of Naples, but it was days before I dared step outside to admire the view.\n\nFort Schuster was a first-aid station, and had been named for the doctor in charge. There was a large table in the middle of the room that was used for emergency operations. When I entered, the medics were preparing some wounded for the trip down to the church in Maiori.\n\nI had been taking pictures of war and blood since Spain, but even after seven years the sight of torn flesh and fresh blood brought my stomach up close behind my eyes. I parked my bedroll in the farthest corner, beside two enormous barrels of wine.\n\nThe Germans were shelling the pass and the ridge without a let-up. The shells exploded all around us, but the tavern was protected by the curve of the sunken road, and was a difficult target to hit.\n\nThe boys in the foxholes on the ridge, however, were getting it badly, and by midnight the tavern was full. Near the door, the dead; in the center, the wounded; and in the far corner\u2014the barrels and the photographer.\n\nDuring the night Lieutenant Colonel Walker, commander of the infantry battalion of the 36th Division, appeared with his staff. \"Sorry, doc, but we have to move in. The Germans have opened up with two new mortar batteries, and they've zeroed-in on my command post.\"\n\nThey set up their telephones amid the wounded. The place was so crowded that I moved my bedroll into the hollow under the two enormous barrels.\n\nLater, a mortar shell exploded right at the entrance to the pass and some of the shrapnel broke through the mattresses that covered the windows. Under the additional protection of a hundred and fifty gallons of wine, I felt relatively safe.\n\nThe shelling continued all night. The Germans had got the exact range of our positions on the ridge and our companies sent in new casualty reports after every explosion. Lieutenant Colonel Walker, reporting to Ranger headquarters, said that his observers hadn't been able to locate the new enemy mortars. He was afraid his rapidly dwindling battalion wouldn't be able to hold.\n\nCHIUNZI PASS, ABOVE MAIORI (SORRENTO PENINSULA), SEPTEMBER 1943. Foxholes outside the strategic outpost that the Americans called \"Fort Schuster,\" overlooking the main road leading north to Naples.\nDarby ordered him to hold at any price, and he'd get reinforcements to us by daylight. At dawn, the reinforcements arrived. They consisted of a 75-millimeter gun mounted on a battered half-track, manned by four Rangers. On the armor plate of the half-track were painted the names of four famous battles: Oran, Kasserine Pass, Hill 609, and Gela Beach. Captain O'Brien was in command. He wore a Silver Star on his shirt and a luxuriant mustache on his lip. He hoped it made him look older than his twenty-one years.\n\nOur faces fell. One light gun against two German mortar batteries! O'Brien enjoyed our discomfort for a moment; then, to our relief, he told us that a lot of powerful stuff was on its way.\n\nO'Brien's mission was to find those evasive German mortars, and he offered us a simple plan. He would move his truck about seventy-five yards out into the open. The Germans would open fire on him and thereby show their positions. It was a bold idea and sure to draw all the fire right onto the pass, but Walker had no choice and told him to go ahead.\n\nI chose the camera that had the longest lens. I wanted to be able to photograph the entire action from the door of the fort. The halftrack moved out. Soon the whistles of the incoming and outgoing shells couldn't be told apart. I had to jump back into the tavern between shots, but I was able to get thirty-six pictures of the spectacular show.\n\nIn about twelve minutes the half-track had exhausted all its ammunition, and it moved back into the pass. O'Brien and his crew were unhurt, but the truck bore fresh dents. They were sure that the fire was coming from the little village in the woods just below the pass and a patrol was sent out to investigate. The shells kept coming, the plaster kept falling, but all we could do was wait.\n\nAt dusk, a young American lieutenant arrived with four heavy mortars. With him was a young British lieutenant with a little radio and two men. The British chap represented the cruiser that was anchored in the bay.\n\nThe mortars were set up in our backyard. The cruiser stood by, ready to fire at any target we should radio them.\n\nThe patrol returned a short while later and reported that the German mortars were located in the village. The guns were cleverly hidden in various farmhouses and were firing their mortars through big holes that had been cut in the roofs.\n\nWe made plans to give a little demonstration of the combined artillery of the Allied powers as soon as it became light. First, the chemical company would fire smoke shells from their four mortars. Then, the British cruiser would pour in the Empire's contribution from its eight guns. And last, the half-track would move out again and shoot at any Germans who tried to run from the village. As for me, I would sneak out during the night, find myself a well-covered place overlooking the village, and would shoot everything with my camera.\n\n\"FORT SCHUSTER,\" SEPTEMBER 1943. American lookouts radio observations to a British cruiser offshore that is shelling the Axis forces in the villages below the Chiunzi Pass.\n\n\"FORT SCHUSTER,\" SEPTEMBER 1943. Times for grub.\n\nI spent half the night clinging to the mountainside. I was violently homesick for Fort Schuster and felt that I deserved a raise.\n\nThe first rays of the rising sun lit up my stage. The village was only 750 yards below me, set against the backdrop of Vesuvius, which was pouring out a beautiful, thick column of smoke. I envied Vesuvius. I couldn't even light a cigarette for fear I'd give my hiding place away.\n\nThe plain was stiller than a cemetery on a Wednesday afternoon. I could distinguish clearly the hundreds of farmhouses situated among the vineyards, and felt that I could be distinguished just as clearly from there. Every window looked straight into my eyes, and I tried to scrunch even lower into my bush. My behind was cold and I hated the beautiful view. All I wanted to see were the dirty walls of Fort Schuster, and I wanted to see them from the inside. Here, lying flat as a pancake on the cold ground between the two lines, I had only two alternatives: to be scared on my stomach, or scared on my back.\n\nOur first smoke shell landed squarely in the center of the village. The mortars, the cruiser, and the half-track proceeded to pour hundreds of shells into the white smoke. I lifted my head no more than three inches from the ground and took my pictures. But it was always the same picture. All I could do was use a different color filter for each shot. The smoke from the village rose to the sky. Vesuvius, in the background, looked like a kid brother.\n\nThe shells went straight over my head, the mortars whistled, the cruiser screamed, and the half-track added a high dissonant squeak. Then the German shells answered back, whining and hitting the hilltop just a hundred yards above me. I buried my head in the foliage. The sun was warming my back, and I wished that it was only birds that were flying and singing in the air.\n\nIt was all quiet again by sundown. A thin film of black smoke still rose to the sky from the burning walls of the village houses, and Vesuvius\u2014undisturbed\u2014puffed away as usual.\n\nI crawled back to Fort Schuster in the dark, and found that Major General Ridgway and Colonel Darby had taken over. The 82d Airborne had been brought up to Maiori and the final attack on Naples was set for the following morning.\n\nI packed my bedroll and said good-bye to Fort Schuster. At midnight, I crossed the Chiunzi Pass behind a brigade of British armor, and by daylight we were down in the plain. The Germans had retreated during the night. The little houses, which had so scared me, were filled with celebrating Italians. They offered us fruit, wine, and the eternal chatter about their waiting for us all their lives.\n\n* * * *\n\nWe met no resistance along the way and stopped only to inquire whether the road ahead was safe, take a swig of wine, or maybe kiss a girl. At Pompeii, one of the GI's started raving about the dirty pictures on the walls of the ancient ruins. So we dismounted and, led by two old Italian tourist guides, saw the ruins for a fee of two lire each. The beautiful frescoes, which told of the art of Roman lovemaking, were easily understood and greatly appreciated by the invaders. We tipped the guides and were off again to Naples.\n\nThe new ruins of Naples had painted on them something different. In large letters, the walls read MORE IL FASCISMO and VIVE LOS AMERICANOS. The girls looked very dirty\u2014the reservoir in Naples had been cut off about four weeks before.\n\nTaking pictures of victory is like taking pictures of a church wedding ten minutes after the departure of the newlyweds. The ceremony in Naples had been very brief. Some confetti still glittered among the filth of the place, but the empty-stomached merrymakers had quickly dispersed, already wondering how much the bride and groom would quarrel the next day. With my cameras hanging around my neck, I walked along the deserted streets, unhappy and yet glad that I had such a good excuse for not taking more pictures. When I got back to the Hotel Parco, where I was staying, I would have a clear conscience and a natural thirst.\n\nThe narrow street leading to my hotel was blocked by a queue of silent people in front of a schoolhouse. It was not a food line because the people coming out of the building held only their hats in their hands. I fell in behind the queue. I entered the school and was met by the sweet, sickly smell of flowers and the dead. In the room were twenty primitive coffins, not well enough covered with flowers and too small to hide the dirty little feet of children\u2014children old enough to fight the Germans and be killed, but just a little too old to fit in children's coffins.\n\nThese children of Naples had stolen rifles and bullets and had fought the Germans for fourteen days, while we had been pinned to the Chiunzi Pass. These children's feet were my real welcome to Europe, I who had been born there. More real by far than the welcome of the hysterically cheering crowds I had met along-the road, many of them the same that had yelled Duce! in an earlier year.\n\nI took off my hat and got out my camera. I pointed the lens at the faces of the prostrated women, taking little pictures of their dead babies, until finally the coffins were carried away. Those were my truest pictures of victory, the ones I took at that simple schoolhouse funeral.\n\n* * * *\n\nI soon found other pictures of victory. Back at my hotel, General Clark's public relations officer was waiting to take me to an important ceremony. The important ceremony was to take place in the Royal Gardens, where the Fifth Army had set up provisional headquarters. The general's trailer was parked under the big oak trees and a number of full \"chicken\" colonels were running around arranging chairs. One of the colonels advised me to take my pictures of the general from the side where I could see the stars on his cap. The general, with his three shiny stars, soon arrived. So did the Bishop of Naples, with beautiful, shiny ornaments dangling from his purple robe.\n\nI took position as commanded, to port of the general. The general was a gracious and happy victor. As for the bishop, he had been practicing for three years\u2014with different German generals\u2014for this very occasion. They beamed at each other and shook hands for such a long while that even the slowest photographer could not miss.\n\nNAPLES, OCTOBER 2, 1943. Funeral for twenty teenage partisans at the Liceo Sannazaro in the V\u00f3mero district.\n\nNAPLES, OCTOBER 2, 1943. The mothers and other relatives of the fallen partisans.\n\nNAPLES, OCTOBER 1943.\n\nNAPLES, OCTOBER 7, 1943. Before they abandoned the city, the Germans planted a massive time bomb in the basement of the Central Post Office. It went off a week later, killing a hundred people and injuring many more.\n\nNAPLES, OCTOBER 1943. On their retreat northward, the Germans had dynamited the city's water supply system. Therefore, the citizens had to obtain water from Allied tank trucks.\n\nI prepared my shipment for Life, and sent the films of the dead children and those of the general's reception in the same envelope.\n\n* * * *\n\nVictory was boring, and the dirty streets of hungry Naples soon walked on my nerves. My thirtieth birthday was coming up and I decided to celebrate it in comfort. The Isle of Capri, which was completely untouched by war, was only five miles away, and had just been designated as a rest center for the American air force. Moreover, Chris arrived in Naples, and thought that this first rest camp in Italy could well use a visit from an expert public relations officer.\n\nCapri received us as if we were pigeons heralding the return of the Anglo-Saxon tourist trade. We got no rest. During the day, the whole hotel staff feverishly practiced their half-forgotten English on us. At night, every available guitar serenaded us from beneath our hotel window. They played one song in particular over and over again. It sounded strangely familiar, and I bet Chris five dollars that the song was \"Happy Days Are Here Again.\"\n\nAround midnight we went down to find out. No, they said, it was \"Happy Birthday to You.\" Chris used the fiver to get rid of the musicians, and I was thirty years old.\n\n* * * *\n\nThe next morning, the president of the newly formed Union of Anti-Fascist Tourist Guides rowed us all around the island and showed us the famous blue and green grottoes. In addition, he gave us a detailed list of collaborators and urged us to have them arrested immediately upon our return. In the afternoon, the president of the Collaborators' Association presented us with a case of old brandy. We accepted the gift and denounced the giver to the Counter Intelligence Corps.\n\nWe decided to get away from Capri politics and do a little shopping before the Italians found out they were cobelligerents and raised the prices to their new co-allies. Chris invested a few hundred lire in souvenirs on the theory that the war might be over soon, and it would be good if the girls in Chicago remembered him. I had to find something which went well with pink. We found a little dress shop with a lovely black-haired girl behind the counter. Her English was nonexistent, but she had everything else and was eager to help. I made signs with my hands to show her the few small differences between Pinky's figure and her own.\n\nDescribing Pinky's color was a bit more difficult. But a piece of pale coral and a freckled Italian child solved that problem. Our girl flashed white teeth and began to pile silk stockings, underwear made of Florentine lace, colored skirts, and all kinds of things which girls can use but which I had never thought of.\n\nChris, who remained neutral in a corner, kept throwing pitying glances at me and different ones at the girl. The shop and my pocket were finally exhausted. While she was wrapping the stuff, I invited her to dinner. She picked up the piece of pink coral, put it in my hand, pointed to herself, and shook her head. Chris, who understood no Italian, but everything else, moved in. He took the coral from my hand and said: \"Me, no, no, no\" to the pink stone, and \"Me, yes, yes, yes\" to the girl. She did not speak enough English to argue with him.\n\n* * * *\n\nNaples was no good. Rome would be better.\n\nBetween Naples and Rome Mr. Winston Churchill's \"soft underbelly of Europe\" was pregnant with hard mountains and well-placed German machine guns. The valleys between the mountains were soon filled with hospitals and cemeteries.\n\nThe rains started. The mud got deeper and deeper. Our shoes, designed for walking in garrison towns, thirstily drank in the water, and we slid two steps backward for each step forward. Our light shirts and trousers gave us no protection against the wind and rain. Our Army, the best equipped in the world, was stuck in those mountains, and it seemed we were not moving at all. With every costly five-hundred-yard advance, Rome seemed farther and farther away.\n\nThe newspapermen were not allowed, nor yet willing, to write the whole truth about the campaign. Besides, this was a job that pictures could do better than words. Here Bill Mauldin gave birth to his Willie and Joe, those two survivors of the fighting dogfaces of Italy. Here was the time for me to use my camera and like it. I dragged myself from mountain to mountain, from foxhole to foxhole, taking pictures of mud, misery, and death.\n\nIn December I was climbing up the steep slopes of Mount Pantano. The 34th Infantry Division had been trying to reach the peak for the past ten or fifteen days, and had finally taken it the day before I arrived. The dead on the slopes were not yet buried.\n\nEvery five yards a foxhole, in each at least one dead soldier. Around them, torn covers of pocket books soaked through and through, empty cans of C-rations, and faded bits of letters from home. The bodies of those who had dared to leave their holes were blocking my path. Their blood was dry and rusty, blending with the color of the late autumn leaves fallen about them.\n\nThe higher I climbed, the shorter the distances between the dead. I could not look anymore. I stumbled on toward the hilltop, repeating to myself like an idiot, \"I want to walk in the California sunshine and wear white shoes and white trousers.\" The correspondent's war neurosis was setting in.\n\nFrom November to Christmas the Fifth Army advanced less than ten miles, sank ten inches deeper into the mud. My underwear was stiff under the uniform I never took off. My pictures were sad and empty as the war, and I didn't feel like sending them to the magazine.\n\nNEAR MOUNT PANTANO, NORTHEAST OF CASSINO, DECEMBER 1943. A soldier of the 2d Moroccan Infantry Division, which was composed mostly of Berber soldiers and French officers. This division worked closely with American forces.\n\nVENAFRO (NEAR CASSINO), DECEMBER 1943.\n\nThe rear command post of the U.S. 45th Infantry Division.\n\nNEAR CASSINO, DECEMBER 1943-JANUARY 1944.\n\nNEAR CASSINO, JANUARY 1944. An American soldier, foreground, carries a child to a safe refuge.\n\nTwo days before Christmas I decided that the Fifth Army and I\u2014we had had it. I knew that the war would not be decided in Italy. The latrine rumors had it that Eisenhower's headquarters would be moved back to London, and that Churchill couldn't delay the opening of the Second Front very much longer.\n\nI decided to go back to Naples, change my underwear, and follow the war to London. I left the mountains and checked in at the headquarters of the 45th Division. I said good-bye, and asked for a jeep to take me to Naples.\n\n* * * *\n\nDivision headquarters consisted of a series of holes in the mud covered with tents. The G-2 tent was exceptionally busy. The staff was watching two sergeants paint little blue and red squares on an operations map. I wasn't interested, all I wanted was a jeep. A colonel pushed me over to the map, and explained how the attack would outflank Cassino and open the road to Rome. I said it was very interesting, and asked for the jeep. The colonel acted hurt, and said I would be sorry for leaving. I answered that I was sad as well as sorry, not to mention incredibly dirty and very tired.\n\nThe colonel got my point. He called over a captain, who looked at me and sniffed at me, and took me to his pup tent. There he opened a barracks bag full of priceless possessions. He fished out a set of fresh underwear, a clean uniform, a pair of shoes, and a bottle of Scotch. An orderly came in and brought three helmets full of hot water. I was washed, shaved, and dressed, and then they cleaned away my last objections with the whisky. The 45th Division must have been awfully keen to get their pictures in Life magazine.\n\nThat same night I was delivered to the advance headquarters of the 180th Infantry Regiment, and at four in the morning we jumped off.\n\nThe beginning of a night attack is not spectacular. One by one the soldiers pick up their equipment and start out at the slowest possible pace. In the darkness you can't see anything. You can hear only the noise made by the boots of the guy ahead of you. After every step your boots grow heavier, and fear squeezes your stomach into a small ball. The sweat on your face mixes with the early morning dew, and you remember every warm and comfortable room in which you have ever been.\n\nBy daylight you are ready to welcome any safe place, no matter how uncomfortable, and you have an irresistible desire to sit down behind the protection of the first big rock and smoke a cigarette. But you are not a coward, and you bypass the rock, knowing you will be sorry later on.\n\nThe first ray of sun announces the official zero hour, and our artillery promptly begins to soften up our objective. The outgoing shells are a great comfort, and they may even do some harm to the Germans. Unfortunately, they also wake them up. The German lieutenant on the hilltop picks up his glasses and his field telephone. A battery of German artillery places a shell in the middle of our column. The battery, according to the information of our G-2, is not supposed to be in our sector at all.\n\nEveryone hits the mud and stops dreaming about home, stops speculating about the \"if's\" of our not being here, and the Germans maybe not being there. The hilltop is still two thousand yards away, and it is just as dangerous to stay as to go forward. So at every shell we hit the dirt, and then stand up and crouch forward until we hit the dirt again. Then someone yells for the first-aid men, and we are all sure that we will get it next.\n\nWe reach the last crest and there is our hilltop\u2014only five hundred yards away. Our artillery is laying them in, and no German has any right to be still alive on that battered peak. We stand up to make a last rush for it, and the supposedly dead krauts open up with chattering machine guns and mortar fire.\n\nNow we hit the dirt real hard; we don't intend to stand up again for a long time. Our platoon leader is calling battalion headquarters for more artillery and reinforcements. Meanwhile, the German mortars are systematically working over every square yard of the slope.\n\nI am on my stomach, my head behind a big stone, my flanks protected by two soldiers lying next to me. After every explosion I raise my head, and I take a picture of the flattened soldiers ahead of me, and of the thin, drifting smoke of the explosion. Overhead, the pattern of shells is approaching my hole, and I don't raise my head anymore. A shell explodes ten yards away and something hits my behind. I am too scared to turn and look, the next one may hit even closer. Carefully, I feel my behind with my hand and find no blood, only a big rock which the exploding shell has thrown on me. The sergeant on my right gets a shrapnel which cuts his right arm just badly enough for a Purple Heart. The fellow on my left doesn't move at all, and will never get to open his Christmas package. Now the shells are falling way beyond us, and I light two cigarettes. The sergeant inhales deeply and hands me the first-aid packet. I fix his arm. Looking at the wound, he says, \"By New Year's I'll be back in the lines.\"\n\nLate in the afternoon the fire subsides, and the sergeant and I stand up and make a run for it. I have a dozen not unusual pictures, a big bruise on my behind, and my knees are wobbly. The Germans are still on the hilltop. I know it will be a long time before I want to go with any attack to take pictures again.\n\n* * * *\n\nNaples hadn't changed much. Three months after our entry, the town was filled with dapper MP's in white helmets; \"off limits\" signs were posted everywhere; and the water was running again. The Napolitanos were doing a brisk business trading in the stuff they had stolen from our Army, while offering the Americanos everything from their wristwatches to their daughters. The ladies of active leisure walked up and down the Via Roma, with DDT powder in their hair. And Vesuvius, putting on its biggest show in a hundred years, poured forth soot and smoke that covered the entire city.\n\nBill Lang, who was now in charge of the Time and Life bureau, had miraculously succeeded in renting a hilltop apartment, complete with bathroom and running hot water\u2014and I spent the entire first day after my arrival soaking in the tub. Next I shipped all my negatives to the magazine, under the title \"This Is a Tough War,\" and asked my boss to transfer me to London, to cover the invasion of France. Two weeks later Life cabled that my \"Tough War\" story was just the thing, and would run in the magazine as a seven-page lead. Also, it was all right to go to London.\n\nI put in a request for Army orders and began to pack. Bill Lang too was packing, over in his own corner. As I was holding Pinky's lace negligee, he was packing his long winter underwear and a pair of new combat boots. When I mentioned that I had cabled Pinky asking her to rent us the most elegant apartment in London, he didn't say a word, only showed me a new type of shovel for digging better foxholes. I hesitated; then I dropped Pinky's underflimsies and asked him what was cooking.\n\nHe led me to the window. The harbor of Naples was full of the same familiar invasion barges. For a war correspondent to miss an invasion is like refusing a date with Lana Turner after completing a five-year stretch in Sing Sing. I preferred Pinky to Turner\u2014and five months at the front sure stretches your feelings, but I asked, \"Can I still get in on the show?\"\n\nMy innocent friend had it all fixed. \"You're scheduled to go in with the Rangers. Colonel Darby is expecting you with your gear tomorrow morning.\"\n\n* * * *\n\nI couldn't figure out where or how we were going to invade anything. The Fifth Army had in reserve only two war-weary divisions and a small battalion of Rangers. But at that time we still believed that the \"powers-that-be\" knew what they were doing, and we supposed that there were well-concealed armies loaded aboard boats, in the various ports of North Africa, all ready to join us. In this, our war, there were as yet no questions on general strategy. There were too few of us to ask any questions, no one to answer them.\n\nI knew how long\u2014and dry\u2014waiting on an invasion boat can be, so I arrived at Colonel Darby's headquarters with a case of Spanish brandy. The colonel still didn't love photographers, but he seemed not to mind me\u2014and thought the brandy might come in handy.\n\nThe Rangers had spent the last three weeks in a little harbor just north of Naples, waiting and preparing for the invasion, and many of them couldn't resist the advances of the ration-hungry Italian girls. It was a great time for fraternization; and the colonel wasn't against it. \"A man who can't love, can't fight.\"\n\nTo mislead enemy spies and chattering women, the boys were ordered to spread the rumor that they were going home. The morning we embarked, hundreds of Italian crumpets came to say good-bye, to remind their friends not to forget to send them the visas, and to collect the remaining C-rations. It was a grotesque scene: the soldiers sitting on the docks, having their shoes shined; holding in their left hand a box of rations; in their right, the waist of their sweethearts.\n\nBy noon everyone was on the boats and we lifted anchor. Darby called me to the planning room and told me we were going to land on the Anzio beach, only fifty miles from Naples, at midnight. This was bad: I had expected a long boat trip and my case of brandy had cost $150 in the black market. We couldn't very well finish it in only twelve hours, and I couldn't see myself landing in water up to my neck carrying a case of brandy on my head.\n\nBill Lang and I went back to our cabin, and asked the steward for a corkscrew. The steward, a friendly Cockney, looked at our brandy. Then he reminded us that this was a Royal Navy boat, and that the Royal Navy wasn't dry; in fact, we could buy as many bottles of Scotch as we pleased, at eight shillings a bottle. This was adding injury to injury. We ordered a bottle of Scotch, packed two bottles of brandy each in our bags, and distributed the remainder among the troops on board.\n\nAt midnight we were lowered onto the water in assault barges, and the British Navy delivered us without trouble into the waist-deep water forty yards from the beach.\n\nWe found no opposition while in the water, and the shooting on shore quieted down after about twenty minutes. The invasion was a total surprise, and we caught the Germans with most of their pants down. We put up headquarters in the basement of the luxurious casino, and I opened my bag so that I could take down my own wet pants.\n\nThe Spanish brandy, which had caused so much mental anguish during the day, had avenged itself for being neglected, quitting its bottles and spilling all over my change of clothes. I exchanged saltwater pants for brandy pants. I had an excellent \"bouquet,\" it is true, but I was very uncomfortable during the night. In the morning the sun dried my pants, and my spirits revived. All the Germans were either dead or prisoners; and we found Italian salami, Swiss cheese, Norwegian sardines, Danish butter, and M\u00fcnchner beer in their warehouses. The first twenty-four hours at Anzio were promising ones. Rome was only twenty-five miles away, and we expected to be there in less than two weeks. But those twenty-four hours were the only happy ones that anyone got to spend on that goddamned beach.\n\nThe Public Relations Office had requisitioned a villa on the beach, and I found the correspondents all safe and happy there. While waiting for news from corps headquarters, we started a poker game. Outside, we could see the steady stream of boats arriving in the harbor, unloading men and guns. Between games I got up and took pictures from the window. Anzio was still the most pleasant of assignments.\n\nMOSCOSO NOTCH (NEAR CASSINO), JANUARY 4, 1944.\n\nFleeing the fighting in the mountains.\n\nIn the middle of a draw-poker game, our antiaircraft guns opened fire. I rushed to the window. Twenty-four German bombers were flying in the blue sky just above our villa. They dropped their eggs on the unloading ships. I focused my camera and got a beautiful shot of a freighter blowing up, not two hundred yards away.\n\nThe bombers left, and I returned to the game, saying what a terrific picture I had just taken. Clark Lee was impatiently fingering his cards. \"Can't you keep shoptalk out of a poker game?\"\n\nI looked at my hand and saw that I had a pair of fives. That isn't much power in a draw game, but I resented Clark's attitude toward my profession. I raised a hundred dollars, hoping for no call.\n\nDon Whitehead, of the AP, looked at his cards, then at my face. \"You Hungarian fake,\" he said. \"You don't have a damn thing in your hand. I raise two hundred.\"\n\nWhen Clark's turn came, he said, \"I don't care for the trend, but I'm going to find out who's bluffing.\" He raised again, pushing all his money to the center of the table.\n\nThis looked like the poker game to end poker games. We called the raise, and then began to draw. Whitehead said he would stand pat, while Clark Lee asked for one card. I asked for three. It was obvious that my fives didn't stand a chance. We had already bet all our money, and we simply laid up our cards. Whitehead had a straight, but Clark Lee produced the flush he had drawn. Whitehead grunted, and Clark reached for the money.\n\nI didn't particularly care to look at my cards, and turned them up one at a time. The first two were my pair of fives; the third was a lucky third five; the fourth, a three; and the decisive fifth, another five\u2014four fives in all.\n\nBut it was the last time I was to win at poker for the rest of the war. In its own way, it was as much a mistake as that easy landing at Anzio.\n\n* * * *\n\nThe fifth day at Anzio, we knew we were not going to be in Rome for a long time, that we would be lucky to hold the small piece of land we had taken the very first day. The Germans outnumbered us, and there was not a square yard of the bridgehead that they couldn't observe or fill with shells.\n\nThe newspapermen moved down into the basement of the press villa, and we thought twice before we ventured out. Every time I sat in my jeep, I put my bedroll between my legs. I figured that if I got hit now, just before my London vacation, they had better shoot my head off.\n\nMy orders for London were still in my pocket, and every day I decided to leave on the morrow.\n\nThere were no new pictures to take on that accursed bridgehead, where every morning we learned that during the night one of our best men had gone. We did not gamble, we did not drink, we did not shave. We did not file any stories, and, like the soldiers, waited only for that shell or for the spring.\n\nThe end of February, I received a message from Chris. The 9th Troop Carrier Command was being transferred to London, and he had a plane waiting for me in Naples.\n\nI left Anzio on a hospital ship\u2014one man unhurt among that boatload of badly wounded.\n\n# VIII\n\nWe took off and circled once over Naples. From one thousand feet up, the town looked beautiful again, and the war began to recede into the distance. We flew over Salerno, and could see the masts of sunken ships sticking out of the water. From the air, the new ruins of Sicilian towns did not look very different from the two-thousand-year-old ruins of Agrigento.\n\nThe places that made front-page headlines only six months before were simple pastures now, thickly planted with shell holes. Retracing the road our Army had traveled was like visiting a movie set two weeks after the picture is finished\u2014some of the props were still lying around. As for the sea, it is the most secretive of sets. There, the props lie silently under the water.\n\nWe left the North African coast behind. We put aside our past three campaigns and would not talk of the one to come. Chris and I talked about what we were going to do during our first twenty-four hours in London. I counted on arriving just before noon. I would surprise Pinky in the magnificent establishment she had rented for us. There, while I sat in the bathtub, she would prepare a breakfast of fresh eggs, jam, toast. Later, I would put on a dark blue suit and white shirt, and she would put her hair up and wear her best evening gown. Dinner at Boulestin's, and a bottle of Krug, 1928. Then we would go over to the Cocoanut Grove, and Chris could join us there and would be allowed two dances with Pinky.\n\nChris listened to this schedule and said that Pinky must undoubtedly have a girlfriend. I assured him that Pinky had dozens of girlfriends and he would have no trouble at all.\n\nWe arrived in London at seven in the evening. The building where Pinky had rented us an apartment was the grandest house on Belgrave Square. The names of the occupants were stuck in white letters on a large black bulletin board in the lobby. The first floor was occupied by the dowager of something; Lord so-and-so and Air Marshal X took up the second and third; the fascist Spanish ambassador had the fourth floor, a doctor the fifth, and a lieutenant commander the sixth. Above all of that were Capa and Pinky in the penthouse.\n\nChris and I took the elevator up to the top floor. I put my key in the lock and buzzed three times as I opened the door. The hall inside was empty, but there was a light on and a sound of activity was coming from one of the rooms. A stomach followed by a girl appeared in the doorway. She was young, her face pretty under light brown hair, and her child was probably overdue.\n\nChris was embarrassed. \"Why didn't you say so?\" he asked me.\n\nThe girl looked us both over and turned to me. \"You must be Capa. I'm Mona Kline, a friend of Elaine's.\"\n\n\"Didn't I tell you,\" I said to Chris, \"that Pinky would have a friend?\" I told Mona I was glad to meet her. \"Where is Pinky?\" I wanted to know.\n\nShe hesitated. \"Her appendix beat you to it,\" she said, then quickly added, as she saw my face, \"but she's perfectly all right now.\" She explained that Pinky had been expecting me for the past four weeks and that she had put off the operation from day to day. Last night, however, her appendix had burst, and she had been rushed off to the hospital. \"She's already been allowed to talk to me over the phone,\" she assured me. \"But I think you had better wait until morning. She shouldn't get too excited.\"\n\nI spent that evening with Chris in the nearest pub. During the night, while I lay with my eyes open, he snored happily at my side in our enormous Louis XIV bed.\n\nEarly in the morning, I went out and bought all kinds of flowers. Arms laden, I worked my way into the hospital. A little nurse greeted me at Pinky's door. \"I'm so glad you've arrived, Mr. Parker. Your wife was crying for you all through the anesthetic.\"\n\nA pale, pink spot on a white pillow whispered, \"Please turn away, my Capa.\" I turned and faced the wall until she said, \"Now.\"\n\nThe pink spot now had eyes, eyelashes, and lips, and the room smelled of Arp\u00e8ge. Her mascara was already running. \"I tried so hard to wait for you....\" The eyes dried up quickly and the real Pinky spoke. \"The scar on my tummy will be like the Croix de Lorraine\u2014very pretty, and soon very faint.\"\n\nI found my voice. I promised her I would cherish the improvement. The doctor came in and shook hands with me. He addressed me as Mr. Parker. I asked him to call me by my nickname, Capa. He took me out in the corridor and told me we would have to be very careful, that she had waited too long with the operation. I felt very sick.\n\nAfter the doctor left, a kind lady entered and came over to me. \"I am Elaine's mother, and you are a very bad boy.\" We were allowed to stay a little while longer, and we all had a pleasant family conversation.\n\n* * * *\n\nIn May 1944, London had invasion fever. The town was jammed with uniforms of the United Nations, and whisky was scarce in the pubs. The only oasis in that desert was a place called The Little French Club. It had been founded by an intellectual English lady with French sympathies. The Free French were the least paid and also the thirstiest of the United Nations forces, and The Little French Club charged a minimum for drinks. In addition, it had a miraculous supply of Scotch. Irwin Shaw and Bill Saroyan, both suffering intellectuals with the rank of private in the American Army, convinced the lady that they had great admiration for the French, and they were accepted into the coterie. The news of their beachhead on Free French territory soon spread to other thirsty intellectuals, and the infiltration began. In my quest for sympathy and Scotch, I was advised to try and qualify for the club. The quota for the American membership was more than filled, but I managed anyway. I was accepted as a Free Hungarian.\n\nThat was where I spent the second evening of my London holiday. At 3:00 A.M. I found my way to my Belgravian splendor. My house guest, Mona, was up. She was so much up that it took me no time at all to figure out that I could be expecting a second house guest any minute. I rushed her to the maternity hospital. Mona was so highly qualified that she was accepted without hesitation, and I was sent down to the prospective fathers' department. An expectant father in an American uniform was still a rare sight in London, and the worried English fathers forgot about themselves for the moment and swarmed all over me, assuring me that everything would be all right.\n\nAt eleven, a nurse came in and announced: \"Mr. Kline, you're the father of a beautiful baby boy.\"\n\n* * * *\n\nChris came back on a twenty-four-hour leave from the Midlands, where the 9th Troop Carrier Command was stationed. He admired Mr. Kline's little boy, and then we went over to Pinky's hospital, where he admired Mr. Parker's pink girl. In the evening I took him over to The Little French Club, where he had great success as a storyteller. He told the story of Mr. Parker and Mr. Kline, which made me out to be the poor man's Dr. Jekyll and Mr. Hyde\u2014played by Abbott and Costello. The American expatriates showed their appreciation of the story the following day by filling Mona's and Pinky's rooms full of flowers, PX rations\u2014and visitors.\n\n* * * *\n\nThe invasion rumors and the arrivals of Very Important People increased daily. Ernest Hemingway, hidden behind a tremendous brown-gray beard, was one of the last to join the members of The Little French Club. He was a sore sight for sore eyes, but I was really happy to see him again. Our friendship dated from the good days. We first met in 1937 in Loyalist Spain, where I was a young freelance photographer, and he was a very famous writer. His nickname was \"Papa\" anyway, and I soon adopted him as a father. In the years between, he had many occasions to fulfill his parental obligations, and now was glad to see his adopted son in no obvious need for cash. To prove my devotion and prosperity, I decided to give him a party in my useless and very expensive apartment.\n\nOn my daily visit to the hospital, I told Pinky about my idea, and she approved on condition that I smuggle her a split of champagne for the occasion. She revealed that hidden away in her clothes closet were ten bottles of Scotch and eight bottles of gin which she had saved from her liquor ration during the ten months I was gone.\n\nScotch and gin were very civilly rationed, but brandy and champagne were very easy to buy for thirty dollars a bottle. On the day of the great event, I bought a fish bowl, a case of champagne, some brandy, and a half-dozen fresh peaches. I soaked the peaches in the brandy, poured the champagne over them, and everything was ready.\n\nThe attraction of free booze combined with Mr. Hemingway proved irresistible. Everyone was in London for the invasion, and they all showed up at the party. They drank the Scotch, they drank the champagne, and the brandy and gin too.\n\nMy guest of honor sat in a corner talking to a doctor friend of mine about the benevolent cancer, or barber's itch, that had obliged him to grow the beard.\n\nAt four in the morning, we reached the peaches. The bottles were empty, the fish bowl dry, and the guests began to trickle away. The doctor offered to give Hemingway a lift to his hotel. I ate the peaches and went to sleep.\n\nAt 7:00 A.M. my telephone rang. The hospital was calling. They said something about a Mr. Hemingway and asked me to come down to the emergency room. There, on an operating table, I found 215 pounds of Papa. His skull was split wide open and his beard was full of blood. The doctors were about to give him an anesthetic and sew his head together. Papa politely thanked me for the party. He asked me to look after the doctor, who had driven him into a water tank, and who must have been hurt pretty badly too. Also, I was to notify his children in the States that whatever they might read in the papers, he was not badly hurt. After forty-eight little stitches, Papa's head looked better than new.\n\nIn the emergency room, where they heard me calling him \"Papa,\" I became known as Mr. Capa Hemingway.\n\n* * * *\n\nIt was the end of May. The sun was hot in England, the invasion long overdue, and the hospitals not funny anymore. I loved Pinky, but I wanted to go back to war now and return when she could wait for me at the station. I hated to go to the hospital, and I hated to be kicking around in the same town where she was imprisoned by flowers and nurses. Pinky hated it worse than I.\n\nFinally, she was released from the hospital on the condition that she spend at least two weeks in a nursing home. The nursing home was at Ascot, thirty miles from London, and was run by the Sisters of the Order of St. Mary.\n\nI carried Pinky to the hired car. I told the driver to take the road to Ascot. \"26 Belgrave Square,\" said Pinky. I repeated, \"The road to Ascot, please.\" Pinky said, \"You have no right...it is my tummy.\" It was her tummy but it was not hers to choose.\n\nLeaving the outskirts of London, the fields were green and we ran into spring. \"It will be for only two weeks,\" I said.\n\n\"I'll never forgive you a day of it.\"\n\nLONDON, MAY 1944. Ernest Hemingway recovers in the hospital following a party given by Capa. Hemingway was injured when the car in which he was riding home, through the city's blacked-out streets, crashed into a steel water tank.\n\nThe Sisters were kind, her room was comfortable, and the view from her window lovely. But I had to go back to London.\n\nThe Little French Club was a bore, Belgravia a horror, and I was not happy at all. On my last visit to the nursing home, I found Pinky walking in the garden. Her skirt fit her waist again. Her legs were pretty to look at, if a bit wobbly to walk on. She was due home the day after next. We walked back to her room and a Sister served us tea. We drank the tea, and I told her that a bottle of the best champagne was cooling in our icebox. The Sister came back to take away the tray, and told me that visiting time was over. I was in uniform, and the newspaper on Pinky's table read: INVASION ON SUNDAY SAYS HITLER. The Sister picked up the tray and walked toward the door. Without turning, she said: \"If you leave after darkness, no one will notice you.\"\n\n* * * *\n\nOut of hundreds of war correspondents, only a few dozen were chosen to accompany the first of the invasion forces. Among them were four photographers, and I was one.\n\nThe Public Relations Office held a meeting for the chosen few and told us that from now on our equipment must always be packed, and we weren't to wander from our apartments for more than an hour at a time.\n\nThere was no way I could get out to Ascot.\n\nI had everything I needed, but decided to do a little invasion shopping anyway. I bought an English Army raincoat at Burberrys, and a silver pocket flask at Dunhill's. I was ready.\n\nVery early on the day that Pinky was due back, a lieutenant from the Public Relations Office woke me up and said he would help me carry my equipment. I wasn't permitted to talk to anyone or leave any messages. But the rent was due, and he let me sign my name on a blank check and leave it on the dressing table under a bottle of Arp\u00e8ge. I felt that Pinky would understand.\n\n# IX\u2014SUMMER 1944\n\nOnce a year, usually sometime in April, every self-respecting Jewish family celebrates Passover, the Jewish Thanksgiving. The Passover celebration proceeds along the well-known lines of Thanksgiving, the only difference between the two being that the Passover feast has everything and turkey too, and that the children of the very old world get even more sick than those of the very new world.\n\nWhen dinner is irrevocably over, father loosens his belt and lights a five-cent cigar. At this crucial moment the youngest of the sons\u2014I have been doing it for years\u2014steps up and addresses his father in solemn Hebrew. He asks, \"What makes this day different from all other days?\" Then father, with great relish and gusto, tells the story of how, many thousands of years ago in Egypt, the angel of destruction passed over the firstborn sons of the Chosen People, and how, afterwards, General Moses led them across the Red Sea without getting their feet wet.\n\nThe Gentiles and Jews who crossed the English Channel on the sixth of June in the year 1944, landing with very wet feet on the beach in Normandy called \"Easy Red,\" ought to have\u2014once a year, on that date\u2014a Crossover day. Their children, after finishing a couple of cans of C-rations, would ask their father, \"What makes this day different from all other days?\" The story that I would tell might sound like this:\n\nThe men who were condemned to spend that spring on the French beaches were gathered in immense concentration camps on the southeast coast of England. The camps were surrounded by barbed wire, and once you entered the gates you were halfway across the Channel.\n\nInside, we were being processed for our trip. We had to exchange our legitimate dollar bills and pound notes for invasion francs printed on flimsy paper. We received a list containing hundreds of items which told what the well-dressed visitor would be wearing on the French beaches during the 1944 season. In addition, we received a little book telling us how to treat and address the natives there. There were some useful approaches in French. \"Bonjour, monsieur, nous sommes les amis am\u00e9ricains.\" That was for addressing the men. \"Bonjour, mademoiselle, voulez-vous faire une promenade avec moi?\" That was for the girls. The first one meant \"Mister, don't shoot me,\" and the other could mean anything.\n\nThere were still other suggestions dealing with the natives of a different country, whom we expected\u2014for certain reasons\u2014to meet in numbers on those beaches. These consisted of convenient German phrases which promised cigarettes, hot baths, and all sorts of comforts, all in exchange for the simple act of unconditional surrender. Indeed, the booklet made promising reading.\n\nEvery piece of our clothing had to be gasproofed, waterproofed, and camouflaged in the many various colors of our future landscape. Thus prepared, we were ready and waiting for the day called \"D.\"\n\nWe were all suffering from that strange sickness known as \"amphibia.\" Being amphibious troops had only one meaning for us: we would have to be unhappy in the water before we could be unhappy on the shore. There were no exceptions. The only character who is amphibious and happy at the same time is the alligator. There were different degrees of \"amphibia\" and those who were scheduled to be the first to reach the beach had it the worst.\n\n* * * *\n\nON BOARD THE U.S. COAST GUARD TRANSPORT SHIP SAMUEL CHASE, AT ANCHOR OFF WEYMOUTH, ENGLAND, JUNE 1-5, 1944. Planning the details of the D-Day landings, using a model of the section of the Normandy coast that had been code-named Omaha Beach.\n\nThe harbor of Weymouth was having a grand time. Battleships, troopships, freighters, and invasion barges all mingled together. Floating in the air above them was a balloon barrage made up of many hundreds of silver blimps. The prospective tourists to France were sunbathing on the decks of the boats and lazily watching the giant toys that were being hoisted aboard. For the optimists, everything looked like a new secret weapon, especially from a distance.\n\nOn my boat, the U.S.S. Chase, the population fell into three categories: the planners, the gamblers, and the writers of last letters. The gamblers were to be found on the upper deck, clustering around a pair of tiny dice and putting thousands of dollars on the blanket. The last-letter-writers hid in corners and were putting down beautiful sentences on paper leaving their favorite shotguns to kid brothers and their dough to the family. As for the planners, they were down in the gymnasium in the bottom of the ship, lying on their stomachs around a rubber carpet on which was placed a miniature of every house and tree on the French coast. The platoon leaders picked their way between the rubber villages and looked for protection behind the rubber trees and in the rubber ditches on the mattress.\n\nWe also had a tiny model of every ship, and low on the walls were signs giving the names of the beaches and the specific sectors: \"Fox Green,\" \"Easy Red,\" and others, all parts of the \"Omaha\" beach. The naval commander and his staff had joined the gymnasium and they were pushing the little ships around in order to reach the beaches that were painted on the walls. They pushed them around very expertly. In fact, the more I looked at these bemedaled gents playing on the floor, the more I was filled with terrific confidence.\n\nI followed the proceedings on the gymnasium floor with more than polite interest. The U.S.S. Chase was a mother ship which carried many assault barges which it would release ten miles off the French coast. I would have to make up my mind and choose a barge to ride in and a rubber tree to hide behind on the shore. It was like watching a lot of race horses ten minutes before starting time. In five minutes the bets would have to be placed.\n\nOn the one hand, the objectives of Company B looked interesting, and to go along with them seemed to be a pretty safe bet. Then again, I used to know Company E very well and the story I had got with them in Sicily was one of my best during the war. I was about to choose between Companies B and E when Colonel Taylor, commander of the 16th Infantry Regiment of the 1st Division, the attacking force, tipped me off that regimental headquarters would follow close behind the first waves of infantry. If I went with him, I wouldn't miss the action, and I'd be a little safer. This sounded like the real favorite\u2014an even-money bet\u2014two to one to be alive in the evening.\n\nIf at this point my son should interrupt me, and ask, \"What is the difference between the war correspondent and any other man in uniform?\" I would say that the war correspondent gets more drinks, more girls, better pay, and greater freedom than the soldier, but that at this stage of the game, having the freedom to choose his spot and being allowed to be a coward and not be executed for it is his torture. The war correspondent has his stake\u2014his life\u2014in his own hands, and he can put it on this horse or that horse, or he can put it back in his pocket at the very last minute.\n\nI am a gambler. I decided to go in with Company E in the first wave.\n\nOnce I decided to go in with the first assault troops I began to convince myself that the invasion would be a pushover and that all this talk about an \"impregnable west wall\" was just German propaganda. I went up on deck and took a good look at the disappearing English coast. The pale green glow of the vanishing island hit my soft spot and I joined the legion of the last-letter-writers. My brother could have my ski boots and my mother could invite someone from England to stay with her. The idea was disgusting, and I never mailed the letter. I folded it up, and stuck it in my breast pocket.\n\nNow I joined the third category. At 2:00 A.M. the ship's loudspeaker broke up our poker game. We placed our money in waterproof money belts and were brutally reminded that the Thing was imminent.\n\nThey fixed a gas mask, an inflatable lifebelt, a shovel, and some other gadgets around me, and I placed my very expensive Burberry raincoat over my arm. I was the most elegant invader of them all.\n\n* * * *\n\nAT ANCHOR OFF OMAHA BEACH, NORMANDY, JUNE 6, 1944. Early on the morning of D-Day, American troops board the transports that will carry them to the beachhead.\n\nOur pre-invasion breakfast was served at 3:00 A.M. The mess boys of the U.S.S. Chase wore immaculate white jackets and served hot cakes, sausages, eggs, and coffee with unusual zest and politeness. But the pre-invasion stomachs were preoccupied, and most of the noble effort was left on the plates.\n\nAt 4:00 A.M. we were assembled on the open deck. The invasion barges were swinging on the cranes, ready to be lowered. Waiting for the first ray of light, the two thousand men stood in perfect silence; whatever they were thinking, it was some kind of prayer.\n\nI too stood very quietly. I was thinking a little bit of everything: of green fields, pink clouds, grazing sheep, all the good times, and very much of getting the best pictures of the day. None of us was at all impatient, and we wouldn't have minded standing in the darkness for a very long time. But the sun had no way of knowing that this day was different from all others, and rose on its usual schedule. The first-wavers stumbled into their barges, and\u2014as if on slow-moving elevators\u2014we descended onto the sea. The sea was rough and we were wet before our barge pushed away from the mother ship. It was already clear that General Eisenhower would not lead his people across the Channel with dry feet or dry else.\n\nIn no time, the men started to puke. But this was a polite as well as a carefully prepared invasion, and little paper bags had been provided for the purpose. Soon the puking hit a new low. I had an idea this would develop into the father and mother of all D-Days.\n\nThe coast of Normandy was still miles away when the first unmistakable popping reached our listening ears. We ducked down in the puky water in the bottom of the barge and ceased to watch the approaching coastline. The first empty barge, which had already unloaded its troops on the beach, passed us on the way back to the Chase, and the Negro boatswain gave us a happy grin and the V sign. It was now light enough to start taking pictures, and I brought my first Contax camera out of its waterproof oilskin. The flat bottom of our barge hit the earth of France. The boatswain lowered the steel-covered barge front, and there, between the grotesque designs of steel obstacles sticking out of the water, was a thin line of land covered with smoke\u2014our Europe, the \"Easy Red\" beach.\n\nMy beautiful France looked sordid and uninviting, and a German machine gun, spitting bullets around the barge, fully spoiled my return. The men from my barge waded in the water. Waist-deep, with rifles ready to shoot, with the invasion obstacles and the smoking beach in the background\u2014this was good enough for the photographer. I paused for a moment on the gangplank to take my first real picture of the invasion. The boatswain, who was in an understandable hurry to get the hell out of there, mistook my picture-taking attitude for explicable hesitation, and helped me make up my mind with a well-aimed kick in the rear. The water was cold, and the beach still more than a hundred yards away. The bullets tore holes in the water around me, and I made for the nearest steel obstacle. A soldier got there at the same time, and for a few minutes we shared its cover. He took the waterproofing off his rifle and began to shoot without much aiming at the smoke-hidden beach. The sound of his rifle gave him enough courage to move forward and he left the obstacle to me. It was a foot larger now, and I felt safe enough to take pictures of the other guys hiding just like I was.\n\nIt was still very early and very gray for good pictures, but the gray water and the gray sky made the little men, dodging under the surrealistic designs of Hitler's anti-invasion brain trust, very effective.\n\nI finished my pictures, and the sea was cold in my trousers. Reluctantly, I tried to move away from my steel pole, but the bullets chased me back every time. Fifty yards ahead of me, one of our half-burnt amphibious tanks stuck out of the water and offered me my next cover. I sized up the situation. There was little future for the elegant raincoat heavy on my arm. I dropped it and made for the tank. Between floating bodies I reached it, paused for a few more pictures, and gathered my guts for the last jump to the beach.\n\nNow the Germans played on all their instruments, and I could not find any hole between the shells and bullets that blocked the last twenty-five yards to the beach. I just stayed behind my tank, repeating a little sentence from my Spanish Civil War days, \"Es una cosa muy seria. Es una cosa muy serial.\" This is a very serious business.\n\nThe tide was coming in and now the water reached the farewell letter to my family in my breast pocket. Behind the human cover of the last two guys, I reached the beach. I threw myself flat and my lips touched the earth of France. I had no desire to kiss it.\n\nJerry still had plenty of ammunition left, and I fervently wished I could be beneath the earth now and above later. The chances to the contrary were becoming increasingly strong. I turned my head sideways and found myself nose to nose with a lieutenant from our last night's poker game. He asked me if I knew what he saw. I told him no and that I didn't think he could see much beyond my head. \"I'll tell you what I see,\" he whispered. \"I see my ma on the front porch, waving my insurance policy.\"\n\n* * * *\n\nSt. Laurent-sur-Mer must have been at one time a drab, cheap resort for vacationing French schoolteachers. Now, on June 6, 1944, it was the ugliest beach in the whole world. Exhausted from the water and the fear, we lay flat on a small strip of wet sand between the sea and the barbed wire. The slant of the beach gave us some protection, so long as we lay flat, from the machine-gun and rifle bullets, but the tide pushed us against the barbed wire, where the guns were enjoying open season. I crawled on my stomach over to my friend Larry, the Irish padre of the regiment, who could swear better than any amateur. He growled at me, \"You damn half-Frenchy! If you didn't like it here, why the hell did you come back?\" Thus comforted by religion, I took out my second Contax camera and began to shoot without raising my head.\n\nOMAHA BEACH, NEAR COLLEVILLE-SUR-MER, NORMANDY COAST, JUNE 6, 1944. The first wave of American troops lands on D-Day.\n\nOMAHA BEACH, NEAR COLLEVILLE-SUR-MER, NORMANDY COAST, JUNE 6, 1944. The first wave of American troops lands on D-Day.\n\nOMAHA BEACH, JUNE 6, 1944.\n\nOMAHA BEACH, JUNE 6, 1944.\n\nFrom the air, \"Easy Red\" must have looked like an open tin of sardines. Shooting from the sardine's angle, the foreground of my pictures was filled with wet boots and green faces. Above the boots and faces, my picture frames were filled with shrapnel smoke; burnt tanks and sinking barges formed my background. Larry had a dry cigarette. I reached in my hip pocket for my silver flask and offered it to Larry. He tilted his head sideways and took a swig from the corner of his mouth. Before returning the bottle, he gave it to my other chum, the Jewish medic, who very successfully imitated Larry's technique. The corner of my mouth was good enough for me too.\n\nThe next mortar shell fell between the barbed wire and the sea, and every piece of shrapnel found a man's body. The Irish priest and the Jewish doctor were the first to stand up on the \"Easy Red\" beach. I shot the picture. The next shell fell even closer. I didn't dare to take my eyes off the finder of my Contax and frantically shot frame after frame. Half a minute later, my camera jammed\u2014my roll was finished. I reached in my bag for a new roll, and my wet, shaking hands ruined the roll before I could insert it in my camera.\n\nI paused for a moment...and then I had it bad.\n\nThe empty camera trembled in my hands. It was a new kind of fear shaking my body from toe to hair, and twisting my face. I unhooked my shovel and tried to dig a hole. The shovel hit stone under the sand and I hurled it away. The men around me lay motionless. Only the dead on the waterline rolled with the waves. An LCI braved the fire and medics with red crosses painted on their helmets poured from it. I did not think and I didn't decide it. I just stood up and ran toward the boat. I stepped into the sea between two bodies and the water reached to my neck. The rip tide hit my body and every wave slapped my face under my helmet. I held my cameras high above my head, and suddenly I knew that I was running away. I tried to turn but couldn't face the beach, and told myself, \"I am just going to dry my hands on that boat.\"\n\nI reached the boat. The last medics were just getting out. I climbed aboard. As I reached the deck I felt a shock, and suddenly was all covered with feathers. I thought, \"What is this? Is somebody killing chickens?\" Then I saw that the superstructure had been shot away and that the feathers were the stuffing from the kapok jackets of the men that had been blown up. The skipper was crying. His assistant had been blown up all over him and he was a mess.\n\nOur boat was listing and we slowly pulled away from the beach to try and reach the mother ship before we sank. I went down to the engine room, dried my hands, and put fresh films in both cameras. I got up on deck again in time to take one last picture of the smoke-covered beach. Then I took some shots of the crew giving transfusions on the open deck. An invasion barge came alongside and took us off the sinking boat. The transfer of the badly wounded on the heavy seas was a difficult business. I took no more pictures. I was busy lifting stretchers. The barge brought us to the U.S.S. Chase, the very boat I had left only six hours before. On the Chase, the last wave of the 16th Infantry was just being lowered, but the decks were already full with returning wounded and dead.\n\nThis was my last chance to return to the beach. I did not go. The mess boys who had served our coffee in white jackets and with white gloves at three in the morning were covered with blood and were sewing the dead in white sacks. The sailors were hoisting stretchers from sinking barges alongside. I started taking pictures. Then things got confused....\n\n* * * *\n\nI woke, up in a bunk. My naked body was covered with a rough blanket. On my neck, a piece of paper read: \"Exhaustion case. No dog tags.\" My camera bag was on the table, and I remembered who I was.\n\nIn the second bunk was another naked young man, his eyes staring at the ceiling. The tag around his neck said only: \"Exhaustion case.\" He said: \"I am a coward.\" He was the only survivor from the ten amphibious tanks that had preceded the first waves of infantry. All these tanks had sunk in the heavy seas. He said he should have stayed back on the beach. I told him that I should have stayed on the beach myself.\n\nThe engines were humming; our boat was on its way back to England. During the night the man from the tank and I both beat our breasts, each insisting that the other was blameless, that the only coward was himself.\n\n* * * *\n\nOFF OMAHA BEACH, JUNE 6, 1944.\n\nMedical transport craft for men wounded in the first wave.\n\nON BOARD THE U.S.S. HENRICO, OFF OMAHA BEACH, JUNE 6, 1944.\n\nThe bodies of some of the men killed in the first wave.\n\nIn the morning we docked at Weymouth. A score of hungry newspapermen who had not been allowed to go along on the invasion were waiting for us on the pier to get the first personal experience stories of the men who had reached the beachhead and returned. I learned that the only other war correspondent photographer assigned to the \"Omaha\" beach had returned two hours earlier and had never left his boat, never touched the beach. He was now on his way back to London with his terrific scoop.\n\nI was treated as a hero. I was offered a plane to take me to London to give a broadcast of my experience. But I still remembered the night enough, and refused. I put my films in the press bag, changed my clothes, and returned to the beachhead a few hours later on the first available boat.\n\nSeven days later, I learned that the pictures I had taken on \"Easy Red\" were the best of the invasion. But the excited darkroom assistant, while drying the negatives, had turned on too much heat and the emulsions had melted and run down before the eyes of the London office. Out of one hundred and six pictures in all, only eight were salvaged. The captions under the heat-blurred pictures read that Capa's hands were badly shaking.\n\n# X\n\nBack on the beach that night, I found my colleagues in the barn of a Norman farmhouse, where they had established the first press camp in France. They were squatting on the straw around a couple of half-burned candles, drinking a yellow liquid from a gallon keg. A closed typewriter served as a table.\n\nThe day was D-plus-two, the drink was a Norman applejack called Calvados, and the party was a French wake in my honor. I had been reported dead by a sergeant who had seen my body floating on the water with my cameras around my neck. I had been missing for forty-eight hours, my death had become official, and my obituaries had just been released by the censor. The sudden materialization of my thirsty ghost filled my friends with disgust at their wasted sentiment, and they introduced me to the Calvados.\n\n* * * *\n\nOur bridgehead was far too small to supply 200,000 invaders with Calvados. The price of the awful stuff was four times doubled by the time we were ready to expand and begin our attack on Cherbourg. Cherbourg was an important harbor; besides, all the intelligence reports mentioned that the German fortress had a supply dump full of fine French liquors that had been requisitioned by the Wehrmacht. Unfortunately, the reports also mentioned a hell of a lot of guns of every caliber.\n\nOMAHA BEACH, JUNE 1944. French fishermen look at the bodies of some of the men killed during the D-Day landings. Barrage balloons; visible in the sky, are moored over the landing area to confuse enemy aircraft and to prevent them from flying in low.\n\nOMAHA BEACH, JUNE 1944. The beachhead several days after D-Day.\n\nOMAHA BEACH, JUNE 1944.\n\nA German soldier captured by American forces.\n\nNEAR OMAHA BEACH, JUNE 1944. German soldiers captured by American forces bury some of the men killed during the D-Day landings.\n\nNORMANDY BEACHHEAD, JUNE 1944.\n\nGeneral Omar N. Bradley, who had recently had a boil on his nose lanced.\n\nNORMANDY, JUNE 1944. A German general surrenders to American officers.\n\nNORMANDY, JUNE-JULY 1944. American soldiers.\n\nI joined the 9th Infantry Division for the attack. The 9th was one of our most experienced fighting groups, and its commander, Major General Eddy, was a pushing kind of soldier. The Germans were tough in their well-prepared fortress, but not so tough that they fought to the last German\u2014only to the first American that got close enough to be dangerous. Then they threw up their hands, shouted \"Kamerad!\" and asked for cigarettes. The division took pillbox after pillbox. My nerve came back and I took a lot of pictures of close fighting.\n\nThe morning of our final attack on Cherbourg, I joined a battalion of the 47th Regiment. With me were Ernie Pyle and my dignified boss, Charles Wertenbaker, who was head of the Time and Life European staff. We felt that the 47th had the best chance of being first to reach the center of town. We were fed up with being shot at, but too thirsty to stay behind. It was pouring rain as we entered the first streets. The Germans were sniping at us from the windows, and we kept close to the walls and jumped from door to door for cover.\n\nCharlie said he was too old to be playing Indian; Ernie said he was too old and too scared; I said I was too young and, besides, I couldn't take pictures in the rain.\n\nWe didn't give a damn about being the first correspondents in Cherbourg, but we wanted to get to that warehouse. So we kept right on, dragging on the tail of our battalion.\n\nWe reached the first objective: the Cherbourg military hospital. About two hundred fifty wounded prisoners from the 82d Airborne Division were liberated\u2014also a considerable supply of the very best French bottles in the basement. Ernie went to talk to the prisoners, Charlie interviewed the German doctor, and I made for the cellar. I was late. Every soldier of the 47th Infantry already had his arms, jacket, and pockets bulging with precious bottles. I begged one of them for just a single bottle, but he laughed and said, \"Only if you're Ernie Pyle.\" With the next soldier, my approach was different. I asked him for a bottle for Ernie Pyle, and he parted with it willingly. Soon I had collected my loot of Benedictine and brandy. Neither Charlie nor Ernie uttered a single word of protest.\n\nMeanwhile, General Eddy had got his own loot: General von Schlieben, the German commander of Cherbourg. He was our first high-ranking prisoner, and I wanted his picture badly. But he turned his back, refused to pose, and told his aide in German that he was bored with the whole idea of American press liberties. In German, I replied, \"And I am bored with photographing defeated German generals.\" He became furious and turned sharply about at me. I snapped his picture. It couldn't have been better.\n\n* * * *\n\nBreaking through at St.-L\u00f4, our First Army opened up the German lines, and General Patton's heavily armored and motorized Third Army pulled through the breach. I joined Patton's fast-moving 4th Armored Division as it drove toward Brittany along the coastal road. On both sides of the road, the happy French were shouting \"Bonne Chance!\" And the happy signposts read: \"90 kilometers...80 kilometers...to Paris.\"\n\nThe first towns through which we drove had suffered much from our heavy raids. Our tactical air force had bombed them to shambles in order to cut off the communications of the retreating Germans. In those towns, the French were only half happy and complained that if we had dropped as many arms to the French underground as bombs on the innocent French towns, we would have killed more Germans and fewer Frenchmen, and succeeded better in our objective.\n\nThe little coastal town of Brehal was the first town we reached that was unscarred by war. The Germans were on the run, and the good campaign began. Here the French were full happy. The food was good, and the first glass of wine was free in the bars.\n\nNOTRE-DAME-DE-CENILLY, SOUTHWEST OF ST.-\u00d4, JULY 28, 1944.\n\nA French farmer offers cider to the men of an American armored unit.\n\nSOUTHWEST OF ST.-L\u00d4, JULY 26-30, 1944.\n\nMen of the U.S. 2d Armored Division under fire.\n\nThe French Resistance was strong and well represented in this little town. Young boys and girls with rifles on their shoulders came and placed themselves at our disposal. Their meeting place was the Petit Hotel, and there I made my personal headquarters for the night.\n\nThe patron of the hotel was a member of the Resistance himself. He said he had hidden and saved his very last bottle of the finest champagne for this very occasion. He invited over two young and shapely girls of the Resistance and we opened the bottle with a great ceremony. A young major in the 1st Infantry Division, Paul Gael, who had no business whatever in this sector, turned up on a very personal tour of inspection. I knew him from before, and he joined the party. Our champagne was soon gone, but the patron remembered that he had one more last bottle. In fact, we drank many last bottles that evening. Gael taught jitterbug steps to the Resistance, while they taught him basic French.\n\nNORMANDY, JUNE\u2014JULY 1944.\n\nALEN\u00c7ON, NORMANDY, AUGUST 12, 1944. Welcoming American troops.\n\nNEAR CHARTRES, AUGUST 1944.\n\nOpposite: NORMANDY, JUNE-JULY 1944. An American military policeman searches a captured German SS officer.\n\nNORMANDY, JUNE-JULY 1944. An American chaplain attends to a dying German soldier.\n\nAt midnight, the patron grew sleepy and the girls slung their rifles on their backs, saying that they must hurry home, as papa was very severe and might beat them. Major Gael left too, as he began to worry that his general might miss him.\n\nI went to sleep. In the middle of my sleep, the door rattled violently, and Gael's fat and faithful driver tore into my room. His shirt was torn and covered with blood. He was quite out of breath and inarticulate with excitement. After some difficulty, I got his story. The major, after leaving the party, was in too happy a mood to go straight back to his division. The least he could do, he figured, was to liberate a French town. Granville, a French town of fair proportions, was only twelve miles away, and seemed a likely prospect. So he and his driver, completely alone, charged into Granville and began to engage the Germans. But they found more Germans than necessary. Gael said he would try to hold off the Germans in the darkness, and sent his driver back for reinforcements. The driver begged me to hurry if I wanted to find his major alive.\n\nI hurried over to the 4th Armored Division. They said that Gael should be court-martialed if still alive, and that the 4th Armored had orders to bypass Granville. But they finally gave me three armored scout cars, and we reached Granville a little after dawn. We found the town in a state of intense celebration. The Tricolor and the Stars and Stripes both flew over the mairie, and Paul was being carried about on the shoulders of a group of FFI's. The cortege behind them was singing the \"Marseillaise,\" and the German-inclined girls had been rounded up and the process of shaving their heads was well under way.\n\nThe turn of events was startling, but Gael explained it in a few words. During the night, while he was shooting it out with the Germans, a little man with a tremendous mustache and an old gun joined him, and led him to the hiding French Forces of the Interior. Gael took command, appointing as his chief of staff the man with the mustache. Gael swore that his little friend had fought like a lion. Altogether, they killed seventeen Germans, and captured one hundred fifty.\n\nThe festivities subsided around noon. Paul gallantly kissed both cheeks of the mustache, and the fighters of the night said farewell. We were weary and hungry, and Paul, his driver, and I started out to find a good restaurant. All the citizens of Granville agreed that our best bet was the Grand Hotel. We found the place, and it looked promising. The dining room was spotless and the tables were set. A large lady dressed in the severest black sat behind the caisse, surrounded by bottles of aperitifs. She cast a suspicious eye at us, let us sit down, and called the patron. He appeared in an immaculate white apron and an extra-tall chef's hat. He was a little man, his mustache was immense. It was Paul's hero himself. He brought us the menu, glanced at Madame, and asked brusquely, \"And who is going to pay for it?\"\n\n* * * *\n\nNot everyone had a gay time. Patton's armor was rolling without much opposition, but the infantry had to fight hard to keep the Germans from cutting the road behind Patton.\n\nErnest Hemingway sent a message to me at Granville. From the start of the French campaign, he had attached himself to the 4th Infantry. He said that the infantry was having a good war for a photographer and I ought to stop fooling around behind a lot of tanks. He sent a freshly captured Mercedes, in all its luxury, to fetch me, and I unwillingly climbed in and was driven to his battlefield.\n\nCHARTRES, AUGUST 18, 1944. After the Allies had liberated the town, a group of French men and women who had collaborated with the Germans was rounded up in the courtyard of the Pr\u00e9fecture de Police. The women's heads were shaved; many of the men were presumably shot by firing squads.\n\nCHARTRES, AUGUST 18, 1944. The mother of a German-fathered child, her head shaved, is marched through the streets and taunted by the townspeople. Her own mother (barely visible over the right shoulder of the man at right carrying a cloth sack) was similarly punished.\n\nThe forty-eight stitches had left no visible trace on Papa's scalp, and he had shaved off his unprintable beard. He received me crisply. He had become an honorary member of the 4th Division and was as widely respected for his guts and military knowledge as for his writing. He had a little army of his own inside the division. The commanding general, Barton, had assigned to him as public relations officer Lieutenant Stevenson, Teddy Roosevelt's former aide. He was also assigned a cook, a driver, a former motorbike champion who functioned as photographer, and his own ration of Scotch.\n\nOfficially, they were all public relations personnel, but under Papa's influence they became a bunch of bloodthirsty Indians. Hemingway, as a war correspondent, was not allowed to carry arms, but his task force carried every weapon imaginable, of both German and American make. They were even motorized. Besides the Mercedes, they had captured a motorcycle replete with sidecar.\n\nPapa said there was an interesting attack going on a few miles away and thought we ought to investigate. We put some whisky, a few machine guns, and a bunch of hand grenades in the sidecar, and set out in the general direction of the attack.\n\nThe 8th Regiment of the 4th was supposed to retake a little town, and Papa had it all figured out. The regiment had already begun the attack, an hour earlier, from the left flank of the village, and he was sure we could take a shortcut and drive in from the right flank without much difficulty.\n\nHe showed me on the map how easy it would be, but I didn't like it at all. Papa looked at me with disgust and said I could stay behind. I couldn't do anything but follow him, but I made it clear that I was going under protest. I told him that Hungarian strategy consisted of going behind a good number of soldiers, and never of taking lonely shortcuts through no-man's-land.\n\nWe set out on the road leading to the village. Papa, his redheaded driver, and the photographer on the bike went ahead, while Lieutenant \"Stevie\" and I followed a good five yards behind. We advanced cautiously, consulting our map at frequent intervals. At length, we reached the last sharp curve before the road led straight into town. I didn't hear any shooting from the direction of the village, and I began to feel very uncomfortable. Papa pooh-poohed me, and I followed under even more protest. When he reached the curve, something powerful pooh-poohed ten yards away from him. It was an exploding shell. He was thrown into the air and landed in a ditch. Red and the photographer, who quickly abandoned his motorbike, retreated. The four of us were well protected on our side of the curve. Not so Papa, on his side. Besides, the ditch was shallow, and his behind stuck out at least an inch. Tracer bullets were hitting the dirt just above his head, and the popping, which came from a light German tank at the entrance to the village, continued without a letup. For two hours he was pinned down, until the Germans found a more pressing target in the form of the delayed 8th Regiment.\n\nNow Papa ran for it and reached our side of the bend. He was furious. Not so much at the Germans as at me, and accused me of standing by during his crisis so that I might take the first picture of the famous writer's dead body.\n\nDuring the evening, relations were somewhat strained between the strategist and the Hungarian military expert.\n\n* * * *\n\nThe road to Paris was calling. The Third Army reached Laval, some sixty miles from Paris, and I hurried to catch up with them. A little shooting here and there, a new bunch of broken-down German prisoners, another town named in the communiqu\u00e9s, and we arrived at Rambouillet. This was our last stop before Paris, and there we had to halt\u2014this time for political reasons.\n\nThe people of Paris had arisen and were fighting the Germans in the streets by themselves. The Allied Supreme Command decided that under the circumstances it would be a nice touch to have the cream of De Gaulle's new army, the French Second Armored Division\u2014fully equipped by the Americans\u2014enter Paris as the spearhead of the army of liberation.\n\nThe French division assembled at Rambouillet and prepared for the last jump. They were a well-blended cocktail of fighting men. French marines who had won fame with Montgomery in the Libyan desert, still wearing their old sailor berets with the red pompons. Spanish Republicans and black Senegalese, Frenchmen escaped from German prison camps\u2014they all wore the easy smile of fighters.\n\nEvery international typewriter was assembled around Rambouillet too, and every accredited war correspondent, wrangling and conspiring to be the first to enter Paris and file history from the great city of former lights.\n\nHemingway had taken Rambouillet long before the Free French and newspaper armies arrived. His private four-man army had enlisted some enthusiastic young men from the Resistance, and was now grown to fifteen. The mixed force took after Papa, copying his sailor bear walk, spitting short sentences from the corners of their mouths in their different languages. They carried more hand grenades and brandy than a full division. Every night they went out to harass the remaining Germans between Rambouillet and Paris. Papa had no place in his army for Hungarian experts anymore, so I rejoined Charlie Wertenbaker, who had a jeep of his own for the rush to Paris.\n\nOn the twenty-fourth of August, the French rolled up the sleeves of their tanks and were off. The night of the twenty-fifth, we bivouacked under a road sign reading: \"PORTE D'ORL\u00c9ANS\u20146 KILOMETERS.\" It was the best road sign I've ever slept under.\n\nThe sun was in a hurry to rise that morning, and we did not bother to brush our teeth. The tanks were already rattling on the pavement. That happy morning, when we got on the road, even our driver, Pfc Strickland, forgot his Virginia manners and every five minutes poked my distinguished boss in the ribs.\n\nJust two miles outside Paris, our jeep was stopped by a tank belonging to the French Second Armor. We were told we could go no further: General Leclerc had given strict orders not to let anyone but members of the French Second enter the city. The old boy was definitely losing charm. I got out of our jeep and began to argue with the men in the tank. They spoke French with a Spanish intonation. Then I noticed the name of the tank. Painted on the turret was the word \"TERUEL.\"\n\nIn the winter of 1937, when I was with the Spanish Republicans, I was with them in one of their greatest victories, the Battle of Teruel. I spoke to the men in the tank. \"No hay derecho\u2014there is no justice if you stop me. I am one of vosotros\u2014your very own\u2014and I myself took part in that ferociously cold battle.\"\n\nPARIS, AUGUST 25, 1944. After the entry of the French 2d Armored Division, numerous pockets of German snipers had to be rooted out in street fighting. Many French civilians and members of the Resistance helped the French troops in this fighting.\n\nOpposite: PARIS, AUGUST 25, 1944.\n\nPARIS, AUGUST 25-26, 1944. A French Resistance fighter in the liberated city. Note the homemade medals.\n\nPARIS, AUGUST 26, 1944. General Charles de Gaulle leads the triumphal parade down the Avenue des Champs-Elys\u00e9es to celebrate the liberation of the city.\n\nPARIS, AUGUST 26, 1944. Celebrating the liberation of the city.\n\nPARIS, AUGUST 26, 1944. When snipers in buildings overlooking the Place de l'H\u00f4tel de Ville opened fire, the panicked crowd fell to the pavement.\n\nPARIS, AUGUST 26, 1944.\n\n\"If this is verdad,\" they answered, \"and you are telling us the truth, then indeed you are one of nosotros, and you must come up and ride with us into Paris in this verdadero tank Teruel!\"\n\nI mounted the tank. Charlie and Strickland followed in the jeep.\n\nThe road to Paris was open, and every Parisian was out in the street to touch the first tank, to kiss the first man, to sing and cry. Never were there so many who were so happy so early in the morning.\n\nI felt that this entry into Paris had been made especially for me. On a tank made by the Americans who had accepted me, riding with the Spanish Republicans with whom I had fought against fascism long years ago, I was returning to Paris\u2014the beautiful city where I first learned to eat, drink, and love.\n\nThe thousands of faces in the finder of my camera became more and more blurred; that finder was very very wet. We drove through the quartier where I had lived for six years, passed my house by the Lion of Belfort My concierge was waving a handkerchief, and I was yelling to her from the rolling tank, \"C'est moi, c'est moi!\"\n\n* * * *\n\nOur first stop was in front of the Caf\u00e9 de D\u00f4me in the Montparnasse. My favorite table was empty. Girls in light printed dresses climbed up on our tank and ersatz lipstick soon covered our faces. The best-looking of my Spaniards got more than his share, but he murmured, \"How I would prefer to be kissed by the ugliest old woman in Madrid than by the fairest girl in Paris.\"\n\nAround the Chamber of Deputies we had to fight, and some of the lipstick got washed off with blood. Late in the evening, Paris was free.\n\nI wanted to spend my first night in the best of best hotels\u2014the Ritz. But the hotel was already occupied. Hemingway's army had come into Paris by a different road, and after a short and happy fight had taken their main objective and liberated the Ritz from the German yokels. Red was standing guard before the entrance, happily displaying every missing front tooth. He said, in best imitation Hemingway, \"Papa took good hotel. Plenty stuff in cellar. You go up quick.\"\n\nIt was all true. Papa made up with me, gave me a party, and the key to the best room in the hotel.\n\n# XI\n\nThe liberation of Paris was the most unforgettable day in the world. The most unforgettable day plus seven was the bluest. The food was gone, the champagne was gone, and the girls had returned to their homes to explain the facts of the liberation. The shops were closed, the streets were empty, and suddenly we realized that the war was not over. In fact, it was going on just twenty-five miles away.\n\nOn that seventh day I was sitting at the bar of the Scribe Hotel, the Army's grand gesture to the newspapermen, trying to teach Gaston to mix that most potent of pick-me-ups, the \"Suffering Bastard.\" While he was shaking the tomato juice, vodka, and Worcestershire sauce together, I was tolling the knell for the noble art of war photography, which had expired in the streets of Paris only six days before. There would never again be pictures of doughboys like those in the deserts of North Africa or the mountains of Italy; never again an invasion to surpass that of the Normandy beach; never a liberation to equal Paris.\n\nI told Gaston that going back to the front was a dull prospect. From now on I would be taking the same pictures over and over again. Every crouching soldier, every rolling tank, or crowd of madly waving people would be just a kid brother of some picture I had taken somewhere before.\n\nGaston poured the mixture, and while I drank it he lamented over his own heroic period.\n\nDuring the occupation he had fought in the Maquis down in southern France. Most of the men fighting there were exiled Spanish Republicans, and their commander a General Alvarez. They had no tanks, and only a few machine guns, but their war was never monotonous.\n\n\"Now that the south of France is liberated,\" said Gaston, \"I have exchanged the rifle for the cocktail shaker. But the Spaniards kept their arms. Soon they will cross the Pyrenees and liberate their Spain from Franco.\"\n\nI finished the drink. I felt much better all around.\n\n* * * *\n\nBack in January of 1939, when the fascists took Barcelona, the hundred miles of road from Barcelona to the French border was black with people fleeing Franco's imported legions. Intellectuals and workers, peasants and shopkeepers, mothers, wives, and children, they followed and led the few remaining vehicles of the disorganized Republican Army. They carried their bundles and walked with blistered feet toward the freedom of democratic France.\n\nThe newspapermen wrote their story and I took their pictures. But the world was not very interested, and in a few short years there were many other people on many other roads, running and falling before the same troops and the very same swastikas.\n\nThe French gendarmes received the exhausted Spanish refugees with the cruel indifference of people who are warm and well fed. One by one the refugees reached the border, their exodus protected by the rear guard of the Republican Army, a few thousand soldiers who made up the Brigade of Madrid. They had fought from the first day to the very end, but when the last civilian had crossed over into France, there was nothing left for them but to cross too. Their commander, General Modesto, sat erect on a white horse at the border. The brigade marched by in the light of flickering torches. Their rifles were clean and shiny, their heads high, their eyes moist in the torchlight. Passing their general, they clenched their fists, raised their right arms, and cried, \"Ya volveremos...we will return!\"\n\nThe surprised French gendarmes automatically raised their arms and saluted. But later the entire brigade was placed in concentration camps.\n\n* * * *\n\nIn Toulouse, at the headquarters of the French Forces of the Interior, I was received by General Alvarez. He was young and keen and very anxious to recross that border. But he had to wait for a signal from the Allies. He felt sure it wouldn't be long in coming. The Allies had spent many lives on the roads toward Rome and Berlin. The road to Madrid would be next.\n\nHe suggested that I visit his troops. He had about twenty thousand men in all, concentrated in little border villages on the French side of the Pyrenees.\n\nWhen I arrived, my Spaniards were having a big party in an old tavern. They were singing songs and drinking heavy red wine from two-necked bottles. They held the bottles high by the large neck and caught the thin stream from the narrow neck in the corners of their half-open mouths.\n\nIn the middle of the room a dark gypsy from Andalusia was singing flamenco. The others clapped their hands at the refrains and yelled \"Hol\u00e9!\" Following the gypsy came a sad Catalan, who sang the melancholy jotas of his province. The Catalans listened with soft eyes; the others shouted \"Muy bien!\" at the end of each song. Next came a Gallego. He had the broad face of a peasant and his song had green fields and high mountains in it. He sang many such songs and after the last one they always made him sing another.\n\nThere was a lean man who never clapped and never yelled, and now he took the floor. Over his heart he wore many stripes, each for a big battle, some of them in Spain, some of them in France. He sang a song I had never heard before. The words were in Spanish, but the beautiful melody was strange to us all.\n\nWhen he finished, there was silence. Then someone asked, \"Tell me, hombre; where do they sing this song?\"\n\n\"In the Valley of Aran,\" he replied, \"only twenty miles from here\u2014on the other side of the mountain. It is a small valley and there are only three villages. They are surrounded by tremendous mountains and isolated almost as much from Spain as from France. That is where they sing this song, and that is where my Novia has waited for me these many years.\"\n\nTOULOUSE, NOVEMBER 1944. A meeting of the Uni\u00f3n Nacional Espa\u00f1ola, an organization of antifascist Spaniards who believed that since they had helped to liberate France, the Allies now had a responsibility to help them liberate Spain from Generalissimo Franco. The Allies felt no such sense of responsibility.\n\nA bearded man with rank on his shoulders arose. \"I am the commander of the frontier post on the Col d'Aran. I suggest we go to this valley.\"\n\nThere was immediate agreement. The men in the tavern volunteered to cross the mountains and visit the place where the songs were so beautiful and where a Novia had been waiting six years for a man who was only twenty miles away.\n\nThey telephoned headquarters at Toulouse for permission. But General Alvarez said no, it was impossible. The men became very subdued. The barrel which had nourished the bottles was dry anyway, and the party began to break up.\n\nThen headquarters called back. This time permission was granted. \"One hundred and fifty men may cross the border. They are to avoid bloodshed and are to return to France within twenty-four hours. They are to find out how the Spaniards feel about their exiled brothers, and to learn whether they know that the Spaniards in France have been continuing the fight against the fascists.\"\n\nAs for the Americano, I was to stay. Headquarters said I might go only as far as the border post, lest I create an international situation.\n\nWe climbed aboard trucks, a hundred-odd men in all, and drove cautiously along a winding road, eight thousand feet up in the mountains. The border post was a little wooden shack, and there we dismounted. A narrow path led into the clouds hanging at the top of the mountain. On the other side was Spain.\n\nI stayed behind with the bearded post commander. The others shouldered their rifles, set out in Indian file, and disappeared into the mist.\n\n* * * *\n\nInside the shack, we made a big fire, brewed some strong coffee, and waited. At 11:00 A.M. Radio Madrid interrupted a program for an important announcement: \"Ten thousand criminals of Spanish origin, carrying American arms and wearing French uniforms, have crossed the border from communist France. The nearest detachments of the Army and Falange have been alerted and are expected to engage them shortly.\"\n\nThe bearded man said that Franco was from bad milk and was born with a lie in his mouth. The guards agreed. Then the French radio made a special announcement of its own: \"All Spaniards who fought with the FFI will be moved at least twenty miles away from the border. Those who crossed over to Spain will be disarmed and interned upon their return.\" The commander muttered something about the milk of the French. We were all very worried.\n\nIn a little while French military trucks filled with regular French soldiers drove up to the post. They ordered the commander and his guards to withdraw immediately and report back to Toulouse. I stayed on with the French. Evening fell, but none of the Spaniards returned. An argument developed around the fire. Some of the French complained that those damn foreigners were always causing trouble. Others remembered that those damn foreigners had fought damn well against the Germans, and had liberated some of the villages where they themselves lived. But they all agreed that the Spaniards would have to be interned as ordered.\n\nAt midnight the guard came in, his uniform covered with snow. The French captain said that it was too bad, but the Spaniards had asked for it. They would have wet, frozen feet when they crossed the col higher up. But they did not come, only thick snowflakes drifted in during the night.\n\nIn the morning there was two feet of virgin snow on the ground. It was still snowing, and the French said it would be impossible now to cross the pass.\n\nBut at 10:00 A.M. a thin shadow in the mist slowly approached the shack, making deep holes in the snow where once the path had been. He was alone and he carried six rifles on his shoulder. The French guard stopped him, and he surrendered his rifles and said he was ready. The French captain was very uneasy. He swore under his breath and said it wasn't right to arrest a man who had brought six rifles through that storm. They told him to disappear quickly and dry his feet down in the village. The Spaniard started to go, then looked back toward the top of the mountain and said, \"Creo que hay otros...I think there may be others.\" Then he walked slowly away.\n\nThe next one carried a wounded comrade on his back. They could not arrest those two either. By noon thirty-seven in all had returned, all of them men too good and in too pitiful a condition to be interned.\n\nGradually we got their story. When they came down from the mountain into Spain the night before, the whole village turned out to greet them. The priest said that the village knew about their fight and was praying for them. A tremendous table was laid and they ate bread, drank wine, and danced. Suddenly one of them warned that the Falange from the next garrison was coming. They beat an orderly retreat, but when they began to climb toward the col, they were surprised by the sudden snow. They were able to make slow progress and the white snow made them easy targets for the rifles of the Falange. Most of the men were hit, and their frozen bodies stayed behind in the Spanish snow.\n\nThe last man to arrive at the post was accompanied by two boys. He was the lean man with the strange song, and his mouth was now a thin line. The boys stumbling behind him were in the uniform of Franco's Falange. The lean man came to the fire and made the boys take off their shoes and rub their feet.\n\nI made him drink from my flask, and in a broken voice he told me his story. These were the young brothers of his Novia, and they had been made to join the Falange. The girl and the boys came along with him when they were forced to retreat. Midway up the hill they had to make their choice. The boys wanted to enlist in the French Army and fight the Germans. So Novia returned to the village to care for her mother...and continue to wait for perhaps many more years to come.\n\nNEAR TOULOUSE, NOVEMBER 1944. A Spanish antifascist exiled in France. He had been a member of the abortive mission that had crossed the Pyrenees on foot in October 1944 to liberate several Spanish villages.\n\nThe road back to Spain is a long one. That ugly old woman in Madrid may be too dead to kiss, and the men who live to return may be too old to be kissed by the young ones.\n\n# XII\n\nBack at the Hotel Scribe, the doorman said that someone was waiting for me in the bar\u2014indeed, had been waiting for three whole days. Behind the bar Gaston was mixing a drink for a young American major. It was Chris with a promotion.\n\nEven from a distance he looked like the beginning of a beautiful hangover. I pulled up a stool and sat down beside him. He saw me through the bottom of his glass and set it down. \"It's about time,\" he said. \"Come on, we're going back to London.\"\n\nThe last letters from London had indeed hinted at a Pink uprising, but that wasn't any reason for Chris to get his teeth floating so early in the day. \"Where's the ultimatum?\" I demanded.\n\n\"Pinky's through sending you letters. It's no use, she says. Now that your Paris is free again, you don't care about what you've left behind in England.\"\n\nI couldn't go back to England now; it was impossible. I explained that I would have to get a visa from the British, and that I would have to receive Army orders in order to get on a plane. All that would take many days. Besides, I had to go back to the front. Pinky would simply have to wait.\n\nBut Chris insisted. \"It's all fixed,\" he told me. \"I've borrowed the general's plane; and, as for the security chaps on the field, just leave them to me. There won't be a hitch. I've even arranged for a plane to bring you back tomorrow morning.\"\n\nNo, it was still no good, I answered. Pinky had given up our apartment; and if I sneaked into London illegally, I wouldn't be able to register in a hotel.\n\nChris overruled me. \"Pinky's moved into the Dorchester. Besides, she's really in bad shape, and you've got to go. I can't keep the plane much longer.\"\n\nThe general's plane was on the field, and the pilot helped us in. On the plane Chris passed out, and I began to worry. The war was nearly over, and I didn't want any more passport troubles.\n\nIt was almost dark when we landed at Northolt, twenty miles from London, and by then Chris was revived. Passing through the security people, Chris pushed me ahead and told them in a low voice that I had V.O.C.G. In the jeep, Chris confided that it wasn't infectious. It meant simply \"Verbal Orders Commanding General.\"\n\n* * * *\n\nOnce in town, we called up the Dorchester. Pinky was in. She was all ready and waiting, and asked us to meet her at the Astor Club, near the hotel.\n\nShe was wearing the same black dress and black sandals as at the Yardleys' eighteen months earlier, but now she was thin and pale. She kissed Chris lightly on the cheek and told him he was a good boy. Then she turned to me.\n\n\"It's time you came back.\"\n\n\"I shouldn't be here at all.\"\n\n\"Why didn't you answer my letters?\"\n\n\"Let's dance.\"\n\nWe danced a little, mostly stood in the middle of the floor. Chris was watching us from the side.\n\n\"Be nice to Chris,\" Pinky said. \"He's in love.\"\n\n\"Can't you leave even children alone?\"\n\n\"Don't worry; he loves you much more than he loves me.\"\n\nChris cut in, saying something about the junior prom. He's a good dancer and they made an elegant pair. Back at the table, we drank a bottle of champagne. Pinky stood in the middle of the floor with me once more, danced twice more with Chris. A little after midnight Chris got up, saying that my plane was due to leave at nine in the morning, and that he'd pick me up at seven sharp in front of the Dorchester.\n\nWe stayed a little while longer, then left. In front of her hotel, Pinky gave me the key to room 403. \"You'd better go in alone,\" she said. \"I'll be along shortly. Walk straight to the lift. Don't hesitate, and don't look toward the desk.\"\n\nI did as she directed. But while I was waiting for the elevator, a big man came toward me. He had small eyes and a waxed red mustache, and was dressed in a shiny blue suit. I acted easy and stared right past his eyes on the point of his mustache. It didn't work.\n\n\"I beg your pardon. Are you registered, sir?\" There was no benefit of doubt in his tone.\n\n\"Well, not exactly,\" I answered. \"I'm going up to see Miss Parker.\"\n\nMiss Parker had no sitting room, he told me, so she couldn't very well receive visitors, besides she was not at home, besides he was the hotel detective. I stuttered something and retreated out of the hotel. Pinky was just coming in. \"Coward,\" she accused.\n\nWe crossed Park Lane and were in Hyde Park. Our feet sank in the wet leaves. Pinky kept her hands in her pockets.\n\n\"In a few hours you'll be back to your war.\"\n\n\"I have to go.\"\n\n\"You'll have another one of your funny stories to tell.\"\n\nI could not answer, not even in the dark.\n\n\"I'm no longer pretty. Now if you leave me, I'll pine away.\"\n\nI objected. \"You're very pretty.\"\n\n\"I don't want to live when I grow ugly.\"\n\nWe passed the dark bulk of the Dorchester again, and the faint light trickled under the front door. \"The war will not last much longer,\" I answered lamely.\n\n\"For you it will never last long enough.\"\n\nWe walked again in the wet grass. Pinky's stockings were soaked above her ankles and her sandals were covered with mud. We passed by the Marble Arch and stopped before an arrow pointing to an air-raid shelter. We walked down. The steel cots were still occupied. The tired gray faces of the bombed-out Cockneys did not relax in sleep. Husbands and wives slept in separate bunks; children were squeezed together in one. The warden approached us and asked for our shelter tickets. Pinky told him she just wanted to show her American friend the other London, and we turned back to the park.\n\nThe naked trees were crying in the fog. The night was graying and we passed the Dorchester many times. Then I asked Pinky to come over and join me in Paris. \"You can borrow a war correspondent's uniform from one of the girl reporters on Life,\" I said. \"And Chris can smuggle you over.\" The controls at the Orly airfield near Paris weren't very strict, I explained, and once she arrived in Paris in an American uniform, no one would ask her for permits or passports.\n\nShe was silent for a while. Then she suggested that we get some breakfast.\n\nAt the Lyon's Corner House she took off her shoes and dried her stockings on the radiator. She bent down to put them on again. Without looking up, she asked, \"Do you really want me to come?\"\n\nI assured her that I did.\n\n\"Yes, it's possible,\" she said. \"You have guts enough to jump out of a plane with a parachute on your back, but you're scared of a little hotel detective and scared to death of falling in love. I'll come to Paris.\"\n\nShe powdered her face, poured the tea, and began to bubble. She became a different Pinky. She wanted to know whether she'd be able to buy any Arp\u00e8ge, whether she'd have occasion to wear an evening gown, whether she should bring a typewriter to go with her uniform, and where we'd live. I said yes to everything and described the comforts of the Hotel Lancaster.\n\nThe tea and toast were cold, but the breakfast was very gay.\n\nAt 7 A.M. we found Chris at the door of the wakening Dorchester. He looked green, and said he'd slept in his car. Pinky kissed me good-bye and disappeared through the revolving doors. In the car I told Chris about our night, and he promised to bring Pinky over to Paris soon.\n\nHe V.O.C.G.'d me through the controls again and put me aboard a courier plane. Before leaving, he said that V.O.C.G. really meant \"Very Ordinary Capa Going.\" Then he added, \"I hope there are no hotel dicks in Paris.\"\n\nI told him he was getting on my goat.\n\n# XIII\n\nBehind the empty bar, Gaston was reading his newspaper. The formidable General Patton was on the offensive again and had crossed the river Saar into Germany. Gaston said that this was a thing of great importance, and added that every real newspaperman was already off to the front.\n\nOver at the Paris Life office, I found a stack of cables for me. They were from my boss in New York. He shared Gaston's feelings, and urged me to join Patton's army. So I packed my bag and returned to the Big War. Now that we were fighting in Germany proper, I hoped my pictures would be exciting again, and maybe a little different from those of the past campaigns.\n\nI joined the 80th Division at the Saar River. Two battalions were already across the river in Germany, and the Germans were concentrating their heavy artillery on the small bridgehead. Most of the stuff was falling around the pontoon bridges, without which the two battalions could not be supplied with food or ammunition.\n\nIn the valley of the Saar I found a new secret weapon: artificial fog released from barrels. The stuff covered the entire area, and made it impossible for anyone to see more than two yards in front of his nose. The fog was being generated by a battalion of Negroes operating under steady fire. Black men and white men alike became gray silhouettes in the transforming vapor. I stopped to talk with one of the Negroes. Those exploding shells were talking to him, he said, each with a special message. A shell fell close by, and he grinned. \"That one sounded like 'You ain't goin' back to Alabama.'\"\n\nThe smoke of the shells thickened the fog still further, but the GI's went undisturbed about their business. My jeep moved slowly across the crowded bridge. I seemed to be the only one scared, but I was very glad to be back at the front.\n\nOn the other side of the Saar I located battalion headquarters in the cellar of a small building. For the next few days it became my home. The artificial fog made it impossible to take pictures anyway, and I was convinced that the Army had invented the stuff not only against the enemy but against photographers too. I found a copy of War and Peace, and for five days and five nights I lay on my bedroll reading Tolstoy by the light of my torch.\n\nIt was a bad place for any man, and a hopeless one for a photographer, but my bedroll was warm and the book made great reading. As for the sound effects, they seemed made to order.\n\nDown in our cellar, we were separated from the outside world; our war was fought in the streets around our house. We paid little attention to the daily communiqu\u00e9 about the other fronts until we received a special bulletin announcing that Von Rundstedt and the Germans had broken through our lines and were advancing toward Li\u00e9ge. At first we did not believe it, but then the radio confirmed it. I left War and Peace unfinished in the cellar, and recrossed the Saar.\n\nHeadquarters of the 12th Army Group at Verdun was in a great stew. The Germans were still advancing, and we had only three divisions in reserve to hold them back until we were able to regroup our armies. Those were the three airborne divisions; one of them was already surrounded and cut off, although still resisting in a little town called Bastogne. It was the 101st Airborne, and it became one of the great stories of the war.\n\nSOUTH OF BASTOGNE, BELGIUM, DECEMBER 23-26, 1944. U.S. infantry crossing a frozen field during the Battle of the Bulge, and a German tank hit by American fighter planes.\n\nArmy Intelligence was a bit touchy about the German offensive. According to their reports, those German armies either had been annihilated or were over on the eastern front. Now Intelligence refused to part with any information. Everything was top secret. I received a tip, however, from Colonel Redding, the chief PRO. If I was interested in Bastogne, he said, I ought to look for the 4th Armored Division. He provided me with a jeep, and I lit off in the general direction of Bastogne.\n\nSOUTH OF BASTOGNE, BELGIUM, DECEMBER 23-26, 1944. U.S. infantry crossing a frozen field during the Battle of the Bulge, and a German tank hit by American fighter planes.\n\nEvery few miles we were stopped by special MP's. They carefully examined our orders and identification cards, and asked for the ever-changing password. Then, when we gave the password, they insisted on asking me a lot of very foolish and very embarrassing questions. \"What is the capital of Nebraska?\" they wanted to know; and \"Who won the last World Series?\" They explained that German spies and saboteurs were being dropped by parachute behind our communication lines, and were now promenading around in American uniforms and speaking perfect English. I spoke far from perfect English, and my accent seemed a bit unfashionable. What was worse, I did not know the capital of Nebraska. I was arrested a number of times, each time being delayed for many hours.\n\nFinally we reached the headquarters of the 4th Armored Division, only about twenty miles from Bastogne. Their tanks were pushing ahead to relieve the airborne troops, who were a pretty battered bunch by now, and very short of ammunition.\n\nI checked in as usual over at Intelligence. But no sooner did I tell the colonel that I was a photographer than I was placed under arrest. I was put in a corner and ordered to turn my face to the wall\u2014so that I could not see the situation maps. They finally got Colonel Redding on the phone, and I was allowed to turn around. The Intelligence officer did not bother to say he was sorry; this was no time to be an enemy alien.\n\n* * * *\n\nIt was two days before Christmas. The fields were covered with snow and the temperature was well below zero. With frozen hands and feet, with weeping eyes, we pushed day and night to relieve Bastogne and bring the Christmas turkey to the boys of the 101st. Of the many correspondents on the drive, I was the only photographer. I wore all my clothes and over them I wore a long parka with a fur hood\u2014something I had borrowed the year before from the mountain commandos on the Italian front.\n\nSOUTH OF BASTOGNE, BELGIUM, DECEMBER 23-26, 1944. An American soldier captures a German.\n\nSOUTH OF BASTOGNE, BELGIUM, DECEMBER 23-26, 1944.\n\nA farmer buries his horse.\n\nMy icy cameras hung around my neck, and I could not keep my gloved hand on the frozen shutter for longer than a split second. Five miles from Bastogne, I stopped my jeep on the road. A battalion of infantry was advancing on the snow-covered field just off the road. The smoke of the exploding shells hung above the black figures who were alternately lying down and standing up on the white carpet. It was my first unusual picture of war in a long time. I climbed up on the embankment, took my Contax with the longest lens, and began to shoot. Suddenly a GI from the infantry battalion, about 150 yards away, yelled something to me and raised his tommy gun at the same time. I yelled back, \"Take it easy!\" but as he heard my accent he began to shoot. For a fraction of a moment I didn't know what to do. If I threw myself flat on the snow he still could hit me. If I ran down the embankment, he would run after me. I threw my hands high in the air, yelled \"Kamerad!\" and surrendered. Three of them came at me with raised rifles. When they were close enough to make out the three German cameras around my neck, they became very happy GI's. Two Contax cameras and one Rolleiflex\u2014I was the jackpot! I still kept my hands as high as I could, but when they were a rifle's length away from me, I asked one of them to search my breast pocket. He took out my identification and the special photographer pass signed by Eisenhower himself. \"I should have shot the bastard before!\" he groaned. The famous Sad Sack was a gay blade compared to my three captors. I let my hands drop, took their picture, and promised it would appear in Life magazine.\n\nI rejoined the tanks. I felt safer riding with a driver who spoke with a Texas drawl.\n\nIt was Christmas Eve and the sky was full of stars. We stopped for the night and dismounted, forming little groups around our frozen tanks. I passed around my silver flask, and the cold brandy warmed our stomachs. Huddled close together the men who during the day had been killing Germans and shooting at accents began to sing \"Stille Nacht, Heilige Nacht.\" Then suddenly, like the star of Bethlehem, a bright star burst in the sky and stayed right over Bastogne. It was a flare from a German plane; the Luftwaffe was delivering its presents to the 101st Division. We used unprintable language and remounted our tanks.\n\nOn the three roads to Bastogne the three wise colonels who led the three combat teams carrying presents of tinned food and shells saw the star and began moving.\n\nThe combat team with which I rode was commanded by Lieutenant Colonel Abrams. He looked like a cigar-smoking Jewish king, and swore that he would be first to reach the town.\n\nLate next afternoon, after much fighting, we reached a hilltop. Bastogne lay below us, only three thousand yards and two thousand Germans away. Abrams lined up his tanks side by side and ordered a charge. He told his men to keep on going and keep on shooting, without stopping to aim, until they reached the town below.\n\nMcAuliffe, the commander of the 101st, the general who had said \"Nuts!\" to the Germans when they asked him to surrender, was quite polite. \"It's good to see you, colonel,\" he greeted Abrams. He wasn't kidding.\n\nOn the black, charred walls of an abandoned barn, scrawled in white chalk, was the legend of McAuliffe's GI's: KILROY WAS STUCK HERE.\n\n# XIV\u2014SPRING 1945\n\nOn the snow-covered fields of Paris, the GI's fought the French mademoiselles with snowballs. The last German offensive was beaten; the last winter of the war was waiting for the coming of the last spring.\n\nI was waiting for Pinky.\n\nElmer Lower, the wily head of Life's Paris office, invited me over to a small conference. He had two cables on his desk. One of them was from the New York office, saying that Bastogne was a great story, and that as a reward I could take my pick of the four American armies for the drive on Berlin. The other cable was from the London office, from the head of the accounting department, saying that he had long refused to approve poker losses as items on my expense account; now he definitely would not approve a girl's war correspondent uniform, for which a bill had been submitted by my tailor.\n\nElmer had some interesting information of his own. Besides the four American armies already in the field, a fifth one\u2014the First Allied Airborne Army\u2014was being prepared, and it was rumored that the war would end with the airborne troops jumping right into Berlin. He said that this triple-A army would take along only three war correspondents: one newspaperman, one radio commentator, and one photographer. The members of the picture pool had all agreed I could have the job. Elmer said he didn't want to push me to jump, but if I liked the idea, he had nothing against my staying in Paris until the thing came off.\n\nSixty days of Pinking and one day of jumping seemed like a good deal\u2014at least it would seem so until the fifty-ninth day. I accepted the assignment, and wired London to pay the indiscreet tailor out of my salary.\n\nThe next office cable from London had a brief personal message for me: PROCAPA EXPINKY HOTEL LANCASTER FIFTEENTH OF FEBRUARY. For the time being, I stayed on in the hotel reserved for the war correspondents, the Scribe, but reserved the two best rooms at the Lancaster starting from the fifteenth.\n\nD-Day came, and I prepared the beachhead with flowers and champagne. I waited there all day. Late in the evening I realized I would have to smell the flowers and drink the champagne alone. In fact, this ridiculous show of manly eagerness went on for many days with the same result. On the twentieth, the daily office cable from London had another procapa-expinky clause in it: GIVE UP LANCASTER FOR NOW DO NOT COME TO LONDON UNDER ANY CIRCUMSTANCES EXPLANATION FOLLOWS. I paid the bill for the flowers and the champagne, and moved back to the Scribe.\n\nGaston remarked that I was not happy. He now served only very bad brandy, but he was a great and just barman. I made a speech about women in general and also in particular. Gaston said simply, \"Monsieur ought to go and do a little winter sport.\"\n\nThe idea of the lonely, pipe-smoking man in the high mountains appealed to me. Besides, I knew a very pretty French girl who had left for M\u00e9g\u00e8ve, up in the French Alps, only a few days earlier.\n\nI said good-bye to Elmer Lower. I told him I had made a bad deal, and when the day came he could send me a telegram to M\u00e9g\u00e8ve. Then I spent the next thirty days fighting against the snow, and learning the French technique of skiing. I slept well with a bottle full of hot water.\n\nIt was spring when Elmer's telegram arrived. Now was the time for every skier to jump. I was brown and healthy enough to be a coward, but I returned to Paris. There was no letter from Pinky, and Gaston advised, \"Monsieur should go back to war.\" He was a very well-informed barman.\n\n* * * *\n\nThe beginning of the end, the great airborne invasion of Germany, started out in French boxcars dating from the First War and bearing the well-known inscription of \"40 hommes et 8 chevaux\" The U.S. 17th Airborne Division was packed in long freight trains, and for forty-eight hours we were shuffled all over France. This was to deceive the enemy spies. After two days of this hocus-pocus, our generals decided that both the troops and the German spies were quite tired enough, and we arrived at an enclosed camp next to an airfield, sixty miles from the spot from which we started.\n\nAt the camp, we had a short time left for the usual pre-invasion cleaning of rifles and consciences. The day before the jump, we were briefed and told that we would be jumping\u2014together with an English airborne division\u2014on the other side of the Rhine, right in the heart of the main German defense line.\n\nBefore their battles, the old Huns and Greeks used to sacrifice white horses and other expensive animals. That afternoon, the U.S. airborne soldiers sacrificed most of their hair, shaving it off in Indian fashion. They said they preferred to be alive and hairless next evening, than dead with a full growth. I kept my hair on, but felt very thirsty. Jumping with a parachute is the greatest cure for a hangover, and it would be a waste not to have one. But there was no liquor. The 17th Airborne was a hairless, drinkless division.\n\nJust before darkness a small cub plane circled over our camp and landed right in the middle. It was Major Chris Scott. The 9th Troop Carrier Command was once again flying us on our mission, and Chris was still in charge of the news. He had just come from London, and he had a package and a message for me from Pinky. The package contained a bottle of Scotch, and Chris told me a long story.\n\nOn the fifteenth of February, he began, the 9th TCC held a big dance at its headquarters near Leicester, in England. Chris invited Pinky with her suitcase. After the dance, he planned to hide Pinky and put her on the plane to Paris early in the morning.\n\nThe dance was a great success, and Pinky was the center of attraction. As soon as the dance was over, Pinky changed into her war correspondent's uniform, and they walked out on the airfield. Unfortunately, one of the boys who had danced with Pinky saw her on the field in her American uniform, and called up the local police.\n\nPinky was arrested before she could board the plane. She didn't want to give Chris away or involve me, so she told a cock and pink story which no one believed. They decided she was a spy, and for many long days she sat under glaring lights, telling the same unconvincing story.\n\nFinally she was released, but was continually tailed. That was when she called up Life and asked them to send me a message, saying I was not to come to England. She couldn't very well write any of those things in a censored letter, and so Chris had flown over twice to tell me the story. But I was away skiing.\n\nNow, Chris concluded, Pinky was back home with her parents. She sent me the bottle with her love.\n\nChris was obviously suffering while he told me this sad story. I asked him if he was very much in love with her. \"Yes,\" he answered. \"I've been wanting to talk with you for some time now, but Pinky made me promise not to.\"\n\nI told him to go ahead and talk. \"No,\" he said. \"Tomorrow you're going to jump, and I'm going to fly in a Fortress above your formation, with some photographers who are going to take pictures of the jump. We'll meet the next night. I'll wait for you at the first airfield this side of the Rhine. That will be a better time to talk things over.\"\n\nWe agreed. We drank half the bottle of Scotch, and I poured the other half into my battle flask.\n\n* * * *\n\nFrom North Africa to the Rhine there were too many D-Days, and for every one of them we had to get up in the middle of the night. The end of darkness always brought the beginning of death. But this invasion was different. We ate our double portions of pre-invasion fresh eggs at seven in the morning, and took off shortly afterwards.\n\nI flew in the lead plane with the regimental commander, and I was to be number two man in the jump right behind him. Before boarding the plane, the G-2 major had taken me aside. If anything happened to the Old Man when we got the signal to jump, I was instructed to boot him through the door. It was a very important and comforting feeling.\n\nOur planes flew low over France. Through the open door of the plane the boys watched the landscape of a now peaceful France pass quickly by. Nobody puked, this was a very different invasion.\n\nThousands of planes and gliders had taken off simultaneously from fields in England and France, and we rendezvoused over Belgium. From there on we flew together in tight formation. Our shadows traveled on the roads and streets of the liberated countries, and we could see the faces of the people waving to us. Even the dogs were fascinated, and ran after our shadows. On both sides of us were planes towing gliders, and it looked as if someone had spun strings from the Channel to the Rhine, and then had hung from them, at intervals of a hundred yards, a lot of toy airplanes.\n\nARRAS, FRANCE, MARCH 23, 1945. An American paratrooper, sporting a Mohawk for luck and esprit de corps, ready to board a plane for the jump across the Rhine.\n\nI did not like to see or think more. I put on an act and began to read a mystery story. At 10:15 I was only up to page sixty-seven, and the red light came on to get ready. For a moment I had the foolish idea of saying, \"Sorry, I cannot jump. I have to finish my story.\"\n\nI stood up, made sure that my cameras were well strapped to my legs and that my flask was in my breast pocket over my heart. We still had fifteen minutes before the jump. I started to think over my whole life. It was like a movie where the projection machine has gone crazy, and I saw and felt everything I ever ate, ever did, and got to the end in twelve minutes flat. I felt very empty, I still had three minutes to go. I was standing in the open door behind the colonel. Six hundred feet below us was the Rhine. Then bullets began to hit our plane like pebbles. The green light flashed on and I did not have to kick the colonel. The boys yelled \"Umbriago!\" I counted one thousand, two thousand, three thousand, and up above me was the lovely sight of my open parachute. The forty seconds to earth were hours on my grandfather clock, and I had plenty of time to unstrap my camera, take a few pictures, and think of six or seven different things before I hit the ground. On the ground I kept clicking my shutter. We lay flat on the earth and nobody wanted to get up. The first fear was over, and we were reluctant to begin the second.\n\nTen yards away were tall trees, and some of the men who had jumped after me had landed in them, and now were hanging helplessly fifty feet from the good earth.\n\nA German machine gun opened up at the dangling men. I began a long, loud Hungarian swear, and buried my head in the grass. A boy lying near me looked up.\n\n\"Stop those Jewish prayers,\" he called. \"They won't help you now.\"\n\nI rolled on my back, and right above us was only one plane, Chris's silver Fortress. It turned, dipped its wings gaily, and suddenly burst into flames. The smoking plane was losing altitude. \"That Chris,\" I thought. \"He's going to double-cross me and become a hero.\" Then, just before the plane disappeared behind the trees, I saw seven black dots\u2014seven black dots transforming into seven silken flowers. They had jumped; their chutes were open.\n\nAt 11:00 A.M. I had two rolls of film taken, and I lit a cigarette. At 11:30 I took the first swig from my flask. We were firmly established on the other side of the Rhine. Our regiment had gotten the guns out of the wrecked gliders, and we reached the road which we were supposed to occupy and hold. We lost many of our men, but this was easier than Salerno or Anzio or Normandy. The Germans of those campaigns could have murdered us here, but these Germans were beaten. In the afternoon we made our junction with the other regiments. I closed my cameras. I had enough pictures, and began to look for Chris.\n\nNEAR WESEL, GERMANY, MARCH 24, 1945.\n\nAmerican paratroopers make their descent. Some of the paratroopers are caught in trees as they land, making them easy targets for the enemy.\n\nNEAR WESEL, GERMANY, MARCH 24, 1945.\n\nNEAR WESEL, GERMANY, MARCH 24, 1945.\n\nA German farm family seeks refuge in a shallow foxhole.\n\nNEAR WESEL, GERMANY, MARCH 24, 1945.\n\nGerman farmers flee their burning house at the height of the fighting.\n\nIn the evening I began making my way toward the Rhine, but we were still cut off from the army crossing the river on barges. I found a nice big silk parachute, rolled myself in it, and went to sleep. The silk was warm and my dream was rolling on a telegraph ticker. \"Go back skiing, go back skiing,\" it repeated, and was signed sometimes Pinky, sometimes Life magazine.\n\nIn the morning I reached the Rhine. Two pontoon bridges were built across the river and thousands of guns and soldiers were moving across. They all asked how the jump had been, and I told a very cocky story. They didn't mind.\n\nI found the airfield, and inquired if they knew anything about Major Scott. \"He was brought in with a broken ankle,\" the flight officer told me, \"and was evacuated to London half an hour ago.\"\n\nFrom the Rhine to the Oder the shooting war quickly changed into a looting war. The GI's fought their way ahead, meeting less and less resistance and finding more and more cameras, L\u00fcger pistols, and frauleins. Advancing into the heart of Germany, they found that the Germans were a very clean people. And the houses and farms were more like the ones they had left at home than any they had seen in the earlier campaigns.\n\nThe war was not yet over, but the fraternization began. Only those who liberated the concentration camps at Buchenwald and Belsen and Dachau\u2014they alone did not fraternize with the frauleins. The war was petering out in a confused anticlimax, and the soldiers were mentally packing their bags for home while they were still shooting their last shots.\n\nFrom the Rhine to the Oder I took no pictures. The concentration camps were swarming with photographers, and every new picture of horror served only to diminish the total effect. Now, for a short day, everyone will see what happened to those poor devils in those camps; tomorrow, very few will care what happens to them in the future.\n\nThe Germans, now sullen, now suddenly friendly, didn't interest my camera either. I wanted to meet the first Russian, and then pack up my war.\n\nThe Russians were fighting in Berlin. Other Russians reached the Oder at the same time the Americans arrived at the gates of the ruins called Leipzig. Around Leipzig we had one more hard battle. The town was defended by the elite of Hitler's storm troopers. But they, like the others, yelled \"Kamerad\" once they had killed enough Americans and had had enough themselves.\n\nI was with a battalion of the 5th Infantry Division. We reached a bridge leading into the center of town. The first platoons were already crossing it, and we were very afraid it was going to be blown up any minute by the Germans. A fashionable four-story apartment building stood on the corner overlooking the bridge, and I climbed up to the fourth floor to see if the last picture of crouching and advancing infantrymen could be the last picture of war for my camera. The bourgeois apartment on the fourth floor was open. Five GI's belonging to a heavy-weapons company were putting up a machine gun to cover the advance over the bridge. It was hard to shoot from the window, so the sergeant and one of his men moved the gun out onto the open, unprotected balcony. I watched them from the door. When the gun had been set up, the sergeant returned. The young corporal pulled the trigger and began to shoot.\n\nThe last man shooting the last gun was not much different from the first. By the time the picture got to New York, no one would want to publish the picture of a simple soldier shooting an ordinary gun. But the boy had a clean, open, very young face, and his gun was still killing fascists. I stepped out onto the balcony and, standing about two yards away, focused my camera on his face. I clicked my shutter, my first picture in weeks\u2014and the last one of the boy alive.\n\nSilently, the tense body of the gunner relaxed, and he slumped and fell back into the apartment. His face was not changed except for a tiny hole between his eyes. The puddle of blood grew beside his fallen head, and his pulse had long stopped beating.\n\nThe sergeant felt his wrist, stepped over his body, and grabbed the machine gun. But he could not shoot anymore; our men had arrived at the other side of the bridge.\n\nI had the picture of the last man to die. The last day, some of the best ones die. But those alive will fast forget.\n\n* * * *\n\nWe stopped in Leipzig. The do's were over and the don't's began. The Army had to stay and wait for farther orders, while the newspapermen were warned not to try and get to Berlin or meet the Russian Army only fifteen miles away. From now on everything had to be done the bureaucratic way. The Army promised they would organize a meeting ceremony with the Russians\u2014especially for generals and newspapermen.\n\nWe sent our last stories and waited around the press headquarters of the U.S. First Army. Most of the war correspondents were there. Those who had followed the war all the way from North Africa, and many new ones too. The new ones wrote fantastic stories with a great display of enthusiasm. But the old-timers were quiet, nursing the hangover of war, and their last drinks.\n\nThe first night in Leipzig we went to bed early. At midnight Hal Boyle, the most indefatigable of the old-timers, woke us up. He said, \"Ernie got it.\" Far away from us, Ernie Pyle was killed that day on Ie Shima. We all got up and drank ourselves stupid in silence.\n\n* * * *\n\nThere were a lot of war correspondents who had arrived from London and Paris for the historic meeting with the Russians. One of them, with Columbia Broadcasting, asked whether Chris Scott wasn't a friend of mine. I said yes, how was he? He answered that Chris was in London, still limping, and getting ready to get himself married to an English girl.\n\nI no longer cared to meet the Russians. The CBS man gave me the key to his London apartment, and I took a German Ford and drove straight to Paris. There I asked for orders and visas, and cabled Pinky I was coming.\n\n# XV\n\nI paid the taxi before Pinky's home, and as I opened the door I saw her. She was waiting for me outside.\n\n\"You had to come now,\" she said. \"Do you want to spoil everything again?\" She wore glasses, looked quite well, and her voice was different. I stared at her and she said, \"I got you a room at the Dorchester.\" I hailed another cab and we got in. I gave the driver the address of the CBS apartment over on Portland Square.\n\nUp in the apartment, she sat down in a big chair, while I stood by the cold fireplace. Neither of us said anything. After some time, she took off her glasses and spoke in her old voice.\n\n\"Now that I see you, you don't look any different.\"\n\n\"I'm just the same. I haven't changed.\"\n\n\"I am not the same. These last two years, you've been having yourself a time, but I had only a wait. Now I am in love\u2014and am loved too.\"\n\nI said it couldn't be. It was all due to her intensity, to the stupidities of wars and passports, to the gremlins which had been following us around. \"We still have our first day two years ago...and many more to come.\"\n\n\"Why didn't you talk this way before?\"\n\nI had no answer. \"He is too young for you,\" I said finally.\n\n\"Now I have a beautiful dream. Why do you want to destroy it?\"\n\nAgain I was silent.\n\n\"Besides,\" Pinky added, \"Chris is no spinach.\"\n\nWe made a fire in the fireplace, and then I went looking to see where CBS hid its liquor. I returned with two bottles. We sat by the fire and drank, and gradually we began to talk more freely. We sat and talked and did not eat or sleep. I argued and I pleaded, and I cursed and begged, and almost beat her. She wept and argued back, and stood for it all.\n\nThe light beyond our windows changed many times, and the second morning found us sitting on the floor, surrounded by empty bottles and a dying fire. Pinky was haggard and very beautiful, and I thought I was winning her back. I said I would go shave, and then we would have some breakfast.\n\nWhile I was shaving, I heard her talking on the phone. When I came out of the bathroom, Pinky had her overcoat on, her face was made up, and she wore her glasses. She said, \"I want to kiss you.\" Then she walked out. In front of the door there were two bottles of milk and two newspapers. The letters on the top paper were unusually fat:\n\n\"WAR IN EUROPE OVER\"\nREQUEST FROM THE PUBLISHER\n\nThank you so much for reading our book, we hope you really enjoyed it.\n\nAs you probably know, many people look at the reviews on Amazon before they decide to purchase a book.\n\nIf you liked the book, could you please take a minute to leave a review with your feedback?\n\n60 seconds is all I'm asking for, and it would mean the world to us.\n\nThank you so much,\n\nPickle Partners Publishing\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
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+{"text":"\n# Projections of Memory\n\n# Projections of Memory\n\n# ROMANTICISM, MODERNISM, AND THE AESTHETICS OF FILM\n\n# Richard I. Suchenski\n\nOxford University Press is a department of the University of Oxford. It furthers the University's objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and certain other countries.\n\nPublished in the United States of America by Oxford University Press\n\n198 Madison Avenue, New York, NY 10016, United States of America.\n\n\u00a9 Oxford University Press 2016\n\nAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, by license, or under terms agreed with the appropriate reproduction rights organization. Inquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above.\n\nYou must not circulate this work in any other form and you must impose this same condition on any acquirer.\n\nCover still from _Sc\u00e9nario du film Passion_ , a film by Jean-Luc Godard \u00a9 1982 Gaumont.\n\nCIP data is on file at the Library of Congress\n\nISBN 978\u20130\u201319\u2013027410\u20138 (hbk.); 978\u20130\u201319\u2013027411\u20135 (pbk.); eISBN 978\u20130\u201319\u2013061408\u20139\n\n## { CONTENTS }\n\nAcknowledgments\n\n**Introduction**\n\n1. \"The Era of the Image Has Arrived\"\n\nRealism Transcended\n\nAbel Gance's Cathedrals of Light\n\nUtopia and Its Discontents\n\n2. Toward the Temenos: Gregory Markopoulos' _Eniaios_\n\n_Eniaios_ and the Avant-Garde Long Form\n\n\"Towards a New Narrative Film Form\"\n\n\"A Supreme Art in a Dark Age\"\n\nMythic Themes, Portraiture, and Films of Place: The Structure of _Eniaios_\n\n3. \"We Are No Longer Innocent\": The Long-Form Aesthetic of Jacques Rivette\n\n\"Every Shot Is an Event\"\n\nNoli me tangere\n\nCinematic Phantoms\n\n\"The True Tradition Lives in Contradiction\"\n\n4. The Sense of an Ending: Jean-Luc Godard's _Histoire(s) du cin\u00e9ma_\n\n_\"Cogito ergo video\"_\n\n\"Montage, My Fine Care\"\n\nThe Museum of the Real\n\n\"A Truth That Says, Believe\"\n\nThink with Your Hands\n\n_\u00c0 la recherche du paradis perdu_\n\n**Conclusion**\n\nNotes\n\nIndex\n\n## { ACKNOWLEDGMENTS }\n\nIn writing this book, I have benefited greatly from conversations with many people. My debt to Dudley Andrew, John MacKay, Alexander Nemerov, P. Adams Sitney, and Jeffrey Stout is deep and, I hope, reflected inside. I am fortunate to have an editor as supportive and responsive as Brendan O'Neill, and I am very grateful for the efforts of Stephen Bradley, Leslie Johnson, Nancy Rebecca, Suvesh Subramanian, Richard Isomaki, and Oxford's production team. The insightful comments of the outside reviewers helped me strengthen key arguments. Jim and Mary Ottaway deserve special thanks for their enthusiasm, counsel, and invaluable editorial assistance. For their thoughtful feedback on earlier versions of this project, I would also like to thank Ashish Avikunthak, Tim Barringer, David Bromwich, Scott Bukatman, Francesco Casetti, Katerina Clark, the late Richard Maxwell, Charlie Musser, Rob Nelson, Brigitte Peucker, Tony Pipolo, James Quandt, Noa Steimatsky, and Katie Trumpener.\n\nA range of international institutions have provided generous research and material support. My first thanks must go to the Mrs. Giles Whiting Foundation, the Stavros S. Niarchos Foundation, and Yale University's Department of the History of Art, which provided fellowships at critical junctures. For making archival materials available and facilitating my research, many thanks are due to Robert Beavers; Kevin Brownlow; Charles Silver and the staff of the Celeste Bartos Film Study Center of the Museum of Modern Art; John Mhiripiri, Jonas Mekas, and Robert Haller of Anthology Film Archives; Georg Wasner, Markus Wessolowski, and the staff of the \u00d6sterreichisches Filmmuseum; \u00c9ric Le Roy, Caroline Patte, Fereidoun Mahboubi, and the staff of the Archives fran\u00e7aises du film, Centre national du cin\u00e9ma et de l'image anim\u00e9e (CNC); Monique Faulhaber, Samantha Leroy, and \u00c9milie Cauquy of the Cin\u00e9math\u00e8que fran\u00e7aise; Sue Jones and the staff of the British Film Institute; Elena Rossi-Snook and the staff of the New York Public Library; and all of the museums that provided high-resolution stills. I am also grateful to the Association for Studies in French Cinema for the award of a research bursary enabling me to cover part of the costs of image reproduction.\n\nDuring the countless hours of work needed to see this through to completion, I have been encouraged and inspired by my wife Christina (my _belle noiseuse_ ). Our daughter Pia was born in the later stages of writing, and she has kept me laughing since then. I dedicate this book to them.\n\n# Projections of Memory\n## { Introduction }\n\nA work of art is an attempt to express something that is unique, it is an affirmation of something that is whole, complete, absolute. But it is likewise an integral part of a system of highly complex relationships. A work of art results from an altogether independent activity; it is the translation of a free and exalted dream. But flowing within it the energies of many civilizations may be plainly discerned.\n\n\u2014HENRI FOCILLON, _THE LIFE OF FORMS IN ART_ (1934)\n\nAnd all my creating and striving amounts to this, that I create and piece together into one, what is now fragment and riddle and grisly accident.\n\n\u2014FRIEDRICH NIETZSCHE, _THUS SPOKE ZARATHUSTRA_ (1885)\n\nNostalghia _(Andrei Tarkovsky, 1983)_.\nAt the 1983 Telluride Film Festival, Stan Brakhage presented a medal to Andrei Tarkovsky, declaring that he was the world's greatest living narrative filmmaker because he deeply understood the three essential tasks for cinema in the twentieth century. Brakhage defined these as \"make the epic... keep it personal, because only in the eccentricities of our personal lives do we have any chance at the truth... and] do the dream work.\" The film that Tarkovsky had brought with him to the festival, _Nostalghia_ (1983), does all of these things, bringing itself firmly within the Western cultural tradition through open citations of landmarks of painting (Piero della Francesca's _Madonna del Parto_ , 1460), sculpture (the _Equestrian Statue of Marcus Aurelius_ in the center of Rome, 176), architecture (Michelangelo's Piazza del Campidoglio, 1538\u20131650), and music (Beethoven's Ninth Symphony, Opus 125, 1824). All of these are filtered through the perspective of an outsider, the protagonist Andrei Gorchakov, a Russian scholar and a surrogate for the Soviet filmmaker, who elected to remain in exile while shooting in Italy. The film culminates in a final image that is saturated with multiple levels of nostalgia\u2014for the homeland that has been abandoned (signified by a Russian dacha), for the values attached to the artworks included in the film, and for an elevated conception of art-making that is at odds with the priorities of modern life\u2014all mediated by a treatment of the natural sublime derived from German Romanticism and framed by the ruins of a cathedral ([figures I.1\u2013I.2).\n\nFIGURE I.1 Ruins of the Monastery Eldena near Greifswald _(Caspar David Friedrich, 1824\u20131825; photograph \u00a9 bpk, Berlin \/ Nationalgalerie, Berlin \/ Joerg P. Anders \/ Art Resource, NY)_.\n\nFIGURE I.2 Ulrich von Hutten's Grave _(Caspar David Friedrich, 1823\u20131824, Staatliche Kunstsammlungen, Weimar, courtesy Klassik Stiftung Weimar)_.\n\nWith this ambivalent ending, Tarkovsky implicitly portrays cinema as a medium uniquely capable of containing the essences of all the other arts. It is therefore highly appropriate that the protagonist is shown resting inside the exposed nave of a cathedral, a central Romantic motif whose literary locus is Victor Hugo's 1831 novel, _Notre-Dame de Paris_. In a long section entitled \"This Will Kill That,\" Hugo's narrator describes the process by which the collective energies and symbolic forms incarnated by the cathedral in the Middle Ages were supplanted by the democratic power of the Gutenberg press:\n\nThe genius distributed amongst the masses was everywhere compressed under feudalism, as if under a testudo of bronze shields; architecture was its one outlet, it was released through that art and its Iliads took the form of cathedrals. The other arts all submitted to the allegiance and discipline of architecture. They were the workmen in the great work.... And even poor poetry, properly so called, still stubbornly vegetating in manuscripts, was obliged, if it wanted to be something, to enter within the framework of the building in the form of a hymn or of _prose_ ; the self-same role, after all, which the tragedies of Aeschylus had played in the priestly festivals of Greece, or the book of Genesis in the Temple of Solomon.... Thus, up until Gutenberg, architecture was the chief, the universal form of writing.... In the fifteenth century, everything changed. The human mind discovered a means of perpetuating itself which was not only more lasting and resistant than architecture, but also simpler and easier. Architecture was dethroned. The lead characters of Gutenberg succeeded the stone characters of Orpheus.... _The book was to kill the building._... It was the total renewal of man's mode of expression, the human mind sloughing off one form to put on another, a complete and definite change of skin by that symbolic serpent which, ever since Adam, has represented the intelligence.\n\nIn the twentieth century, these functions were largely taken on by the cinema, which absorbed elements from the earlier arts and incorporated them into an even more universal means of communication. As a mode of expression predicated (like a press) on mass reproduction, the cinema has been seen as several degrees removed from the \"aura\" Walter Benjamin ascribed to singular art objects. Films like _Nostalghia_ , however, attempt to retrieve some of the properties Hugo aligns with the cathedral, redefining the terms by which film art and film artists are to be understood. In its most extreme forms, this supremely Romantic impulse has driven certain filmmakers to create extraordinarily ambitious films that also use duration to resist the industrial structures cinema is normally dependent upon. These films actively participate in a modernist interrogation of the relationship between form and content, often taking their innovations to what seem to be their limits, simultaneously establishing and exhausting their own paradigms.\n\nSince the mid-1910s, the length of commercially distributed feature films has remained relatively standardized, usually ranging between four and eight reels or approximately 70 and 140 minutes. Nevertheless, a parallel corpus of much longer films, which break the chains of conventional exhibition, has played an important role throughout film history. During the first great period of cinematic experimentation, the 1920s, temporal magnitude connoted seriousness of purpose, and filmmakers made brazenly extravagant claims about the meaning of their outsized running times. Erich von Stroheim announced that his eight-hour _Greed_ (1924) would effect a revival of classical theater, while Abel Gance insisted that, when showing works like his _Napol\u00e9on vu par Abel Gance_ (1927), movie theaters would become \"Cathedrals of Light.\" These beliefs were suppressed after the arrival of sound\u2014which ensured the dominance of tightly integrated, factory-like production studios\u2014and for more than thirty years there would be few attempts to produce films of comparable scope. When the widespread adoption of less cumbersome 16mm equipment, the disintegration of studio-controlled monopolies, and the emergence of a young postwar audience opened up new possibilities for adventurous filmmaking, a group of even more challenging long-form works appeared, all created by directors who idealized the \"lost paradise\" of the silent era.\n\nWhat the filmmakers producing these inordinately long works share is a combination of audacity, intensity, and absolute commitment, as well as a willingness to court anachronism. Uniting all of these is a striving for sublimity, for a mode of experience that excites the mind to outrun its own capacities. The sublime has long been connected to questions of scale: the Greek rhetorician Longinus associated it with grandeur and strong emotion; in _A Philosophical Enquiry into the Origin of Our Ideas of the Sublime and Beautiful_ (1757), Edmund Burke linked it directly to \"greatness of dimension.\" Hugo built upon this tradition in his manifesto for Romanticism, the \"Preface to _Cromwell_ \" (1827), by asserting that \"the modern spirit\" has its origins in the \"fertile union of the grotesque with the sublime\" and calling for new equivalents to the organic fusion once embodied by the cathedral. Acknowledging that _Cromwell_ , a four-hundred-page theatrical behemoth, was unperformable \"in its present proportions,\" he predicted that \"people in France will soon become accustomed to devoting a whole evening to a single play... worth a multitude of others.\"\n\nWhether through open affirmation or ironized negation, the long-form films discussed in this book are heavily informed by the ideas and iconography of Romanticism, using them as part of an exploration of the function and meaning of cinema. Where genuine Romanticism in Hollywood has to enter via subterfuge (Alfred Hitchcock), a style of mad excess teetering on kitsch (King Vidor's _Duel in the Sun_ , 1946), or a veil of irony bordering on camp (as in the jokey preface to James Whale's 1935 _Bride of Frankenstein_ ), films like _Napol\u00e9on vu par Abel Gance_ or _Eniaios_ (Gregory Markopoulos, 1947\u20131992) invite comparison with works like Richard Wagner's _Der Ring des Nibelungen_ (1848\u20131876) or Percy Bysshe Shelley's _Prometheus Unbound_ (1820). More than anything else, it is the figure of Prometheus that symbolizes the conflation in these films of utopian idealism, formal invention, and creative independence. Longinus argued that \"by some innate power the true sublime uplifts our souls; we are filled with a proud exaltation and a sense of vaunting joy, just as though we had ourselves produced [it].\" By eliciting this sensation, Promethean egoism can become generative. Goethe tellingly ends his \"On German Architecture\" (1773) by depicting a young artist inspired by the image of a cathedral to believe that \"more than Prometheus, [he can] carry down the rapture of the gods to the earth.\" Like the Titan who stole fire from the heavens and shared it with humanity, these filmmakers (whose degree of self-identification with Prometheus varies in significant ways) all strove to create their own cinematic cathedrals, monuments to the imagination that promise transformations of vision, selfhood, and experience.\n\nThe much more restrained Hollywood paradigm, at least during the period from the early 1930s through the 1970s, is epitomized by _Gone withthe Wind_ (Victor Fleming, 1939), a popular epic that addressed momentous historical events by focusing on the emotional dramas of a small group of well-defined characters played by charismatic stars. In Nicholas Ray's _In a Lonely Place_ (1950), an aspiring ing\u00e9nue tells the screenwriter protagonist that his screenplay is like an epic, defined as \"a picture that's _real_ long and has lots of things going on.\" For all their considerable differences in tone, style, and politics, _The Ten Commandments_ (Cecil B. DeMille, 1923), _Ben-Hur_ (William Wyler, 1959), and _Reds_ (Warren Beatty, 1981) all follow this model, as do novelistic, multipart films released in other countries like Sergei Bondarchuk's _War and Peace_ (1966\u20131967, four parts) and _The Human Condition_ (Kobayashi Masaki, 1959\u20131961, three parts). No matter where they are located or what the subject matter is, filmmakers creating this form of big-budget studio spectacle are operating by the same rules of the game. It is possible to make personal statements within this format, but doing so requires a director with a strong personality who is nevertheless able to adapt to the commercial dictates of the material at hand. _El Cid_ (Anthony Mann, 1961) is an exemplary case, and part of Mann's achievement is to make this massive work resonate with his thematic obsessions and muscular style\u2014built upon dynamic shifts in spatial configuration, a rigorous use of color, and the sudden alternation of close and distant framing\u2014without losing its moorings as a narrative spectacle. As with other expensive films of this kind, however, there are certain expectations of pacing, casting, narrative transparency, and length (to enable as many daily shows as possible) that are inescapable. To do otherwise, as von Stroheim did, is to risk banishment and obloquy.\n\nHollywood epics rarely run for more than three hours, while the projects addressed in the chapters that follow are meant to be watched in barely interrupted blocks lasting as long as eight hours, sometimes over a period of days or weeks. These films are unusual in both their formal adventurousness and their presentation, utilizing their duration and the conditions of the film-screening situation to create a particularly intense form of spectatorial engagement that is related to a larger utopian program. There are many films that meet one or another of these criteria, but the long-form projects analyzed here are major limit cases around which other works of this kind can be oriented. The ecstatic tone of _Napol\u00e9on vu par Abel Gance_ , for example, encapsulates the euphoric hopes of its period and the concomitant sense that cinema will go on without end. What made the _Napol\u00e9on_ project unique was its fusion of the most advanced techniques of the first cinematic avant-garde of the 1920s with the most visually arresting forms of cinematic showmanship; its style and sensibility can be related, at one and the same time, to the work of Jean Epstein and David Lean. Conceived as the apex of silent era experimentation, the film offers the strongest possible link to Romantic aesthetics and ideas, particularly as they were understood by art historian \u00c9lie Faure, whose biography of the French emperor was one of the sources for the film.\n\nAlthough they have a shared investment in temporal scale, ritual, and a Promethean conception of the artist, filmmakers working in this manner after World War II proceeded with assumptions very different from their silent era predecessors. The war acted as a rupture, blocking access to a past onto which unrealized, and perhaps unrealizable, aspirations could be projected. If, as David Quint has argued, the generic counterpart to epic is romance\u2014the one providing a \"linear teleology\" defined by the victors and the other marked by obsessive and seemingly disconnected meanderings whose \"emblem\" is \"the wandering ship of Odysseus\"\u2014then these projects, interrelating both, incline toward the latter. In his seven-and-a-half-hour _Hitler, a Film from Germany_ (1977), Hans-J\u00fcrgen Syberberg transplants these ideas onto the war itself, examining the mutual co-option of both filmmaking and utopian Romantic rhetoric in the Nazi period and highlighting the difficulties intrinsic to post-1945 attempts to construct cinematic cathedrals. Syberberg's Brechtian distance and reliance on sound acts as a dialectical foil to the image-oriented paradigm advanced by Gance. By addressing their work together, the first chapter attempts to demonstrate the historically contingent nature, and implications, of this type of project. Like Syberberg, the central figures in subsequent chapters\u2014Gregory Markopoulos, Jacques Rivette, and Jean-Luc Godard\u2014instead take a yearning for artistic totality defined by particular myths and metaphors, what one could call an image of Romanticism, and refashion it to their own ends. Acutely aware of the power of Mary Shelley's creator-destroying \"Modern Prometheus\" and the dangers inherent in Byronic self-assertion, these filmmakers created long-form works that can best be understood in light of the self-conscious Romantic poetics described by Friedrich Schlegel in the _Athenaeum Fragments_ (1798). Reflecting upon themselves in an \"endless succession of mirrors,\" they precariously hover \"on the wings of poetic reflection\" while oscillating back and forth between creation and destruction.\n\nIn his eighty-hour _Eniaios_ , Markopoulos intensifies both the underlying Romanticism and the montage aesthetics of Gance, but does so by completely rejecting the ordinary networks of cinema, re-envisioning film as a medium capable of reconnecting the viewer to the sacred world of myth. With _L'Amour fou_ (1968) and _Out 1_ (1971), Rivette productively develops the tension between sharp, architectonic editing and seemingly improvisational long takes as far as it can go, in effect taking an approach to cinema associated with the French New Wave to the brink of madness. Finally, with the _Histoire(s) du cin\u00e9ma_ project, Godard takes the friction created by his matrix of cross-references to the threshold of legibility, reviving the strategies of superimposition used by earlier avant-gardists (like Gance and Markopoulos) to visually layer different periods and to make contrapuntal use of extracts from the histories of film, painting, music, and literature. A four-and-a-half-hour video work that is deeply concerned with the impact of the projected image and elegiacally posits the death of cinema, _Histoire(s) du cin\u00e9ma_ gives new meaning to an aesthetics of fragments, using a dense network of associations to meditate on the end of the twentieth century and its preeminent medium.\n\nAs the retrospective tenor of Godard's late work acutely demonstrates, the persistent influence of Romanticism on these filmmakers is also evident in their treatment of memory. Since the publication of John Locke's _An Essay Concerning Human Understanding_ (1689), the impression of continuity established by and within memory has been understood to be the fundamental precondition of individual selfhood. Rebutting the mechanistic assumptions of the Enlightenment, the early Romantics emphasized the vitality of memory, drawing attention to its ability to both give coherence to and creatively transform discrete perceptions. Schlegel argued that the \"concept of _unity_ can by no means be deduced except out of _memory_ ; it can no more be explained through the senses than through reason.\" Novalis described memory as \"the element of individuation\" and \"the necessary preliminary to poetry,\" referring to it, in the fourth of his _Hymns to the Night_ (1800), as a \"moss-grown monument.\" Like Schlegel, Novalis attempted to distinguish passive recollection from active memory, which he aligned with \"productive imagination.\" Samuel Taylor Coleridge developed a similar contrast between fancy and imagination in his _Biographia Literaria_ (1817), connecting the former with the passivity of \"ordinary memory,\" and arguing that the latter instead \"dissolves, diffuses, dissipates, in order to recreate... at all events it struggles to idealize and to unify.\" The fixed structure of film projection\u2014with reels of printed film frames unspooling sequentially\u2014is even more rigidly iterative than that of the mind. One of the goals of the projects discussed in this book is to involve the active memory of the viewer and encourage heightened engagement through structures of parallelism and contrast (von Stroheim\/Markopoulos), the frequent mnemonic return to particular tropes or figures (Rivette), and the exploration of the complex interrelationship between subjective experience and collective histories (Godard).\n\nThese projects are all considered in conjunction with the evolving aesthetic programs of their directors, using a critical methodology that, combining the techniques of film and art history, is commensurate with the type of engagement the works themselves encourage or demand. Far too often, film studies and art history have spoken at cross purposes. The former has generally confined itself in recent years either to the study of national\/transnational cinemas (and of filmmakers positioned within these cultural contexts) or to generalizing theoretical reflections largely disconnected from the interpretive and perceptual challenges of ambitious films. For its part, art history has rarely known what to do with cinema, especially with films that do not fit comfortably within the frameworks of contemporary art, are insufficiently popular to function as examples of a dominant visual culture, and cannot be positioned as direct extensions of canonical modern art movements (e.g., the Surrealist collaborations of Luis Bu\u00f1uel and Salvador Dal\u00ed).\n\nIn one way or another, each of the filmmakers in this book tried to raise the artistic status of cinema, and close attention is paid to the way in which the relationship between utopian Romanticism and cinematic modernism is configured in and across the works. Modernism here has a double aspect, criticizing the strictures of consumer society while simultaneously reinvigorating tradition by engendering forms that extend their artistic heritage even as they challenge its basic parameters. Examining the creative strategies of these works in relation to one another and to the larger historical forces that shape them, tracing the shifts and permutations of their forms and aspirations, provides a new perspective on these kinds of long-form projects and also helps to clarify the stakes of cinema more broadly. Situated, on the one hand, between the Hollywood epic and television, and, on the other, between nineteenth-century (the panorama, opera) and twenty-first-century (video installations) modes of large-scale artistic presentation, this form of cinema acts as a nexus through which currents from the other arts can interpenetrate. Synthesizing their disparate influences into magisterial edifices, these projects treat cinema, like the oneiric sanctuary at the end of _Nostalghia_ , as a space in which the most ancient forms can be made radically new.\n\n## { 1 }\n\n## \"The Era of the Image Has Arrived\"\n\nI love the Art of today because I love\n\nLight above all and all people\n\nLove Light above all\n\nThey invented Fire.\n\n\u2014GUILLAUME APOLLINAIRE (1913)\n\nNapol\u00e9on vu par Abel Gance _(Abel Gance, 1927)_  \n_(courtesy Photoplay Productions)._\nSeveral months after _The Birth of a Nation_ 's premiere in February 1915, D. W. Griffith participated in an important interview that has been almost totally ignored by subsequent historians. After arguing that \"the scope of the motion picture is absolutely boundless,\" he makes a very revealing claim:\n\nThere will always be room for the one and two reel picture, just as there is always room for the short story in literature, but the day will come when, outside of the real gems among the shorter pieces, the long picture, so long that it cannot be shown in a day, will be regarded as the masterpiece.\n\nHow exactly would audiences see such films? \"Mark my words, we will soon see the day when it may take two or three days' time for a theatre to show a single picture, when a man will drop in early in the afternoon and stay until the theatre closes at night, and then come back the next day to see the rest of it,\" Griffith declares. Although he claims that \"people will see [the very long film] in installments, just as they read a book a chapter at a time,\" it is clear from his other statements (and from the increasingly complex structure of his narratives) that he is not referring to the serial presentation that had emerged only a few years before, and certainly not to the way films like Vitagraph's _The Life of Moses_ (J. Stuart Blackton, 1909)\u2014or, for that matter, his first two-reel film _Enoch Arden_ (1911)\u2014had been broken up into separately screened sections, but rather to the intensive experience of total, integrated works.\n\nThese long films, which would be of such great depth and imaginative richness that audiences would want to commit massive amounts of time to view them, would warrant special, concentrated presentations like that accorded to Richard Wagner's _Der Ring des Nibelungen_ (1848\u20131876). This was certainly not the attitude of the producers, exhibitors, or audiences of the time, but it does reflect the scale of Griffith's ambitions (or rather his assumption that ambition was inexorably intertwined with scale) as well as his sense of the forward trajectory of cinema. It was Griffith's belief that if films of sufficient heft could be made, he could create \"literature in motion picture form\" and ensure cinema's place in the pantheon. Cultural legitimation was certainly a major factor in his desire to commission an explicitly Wagnerian score synchronized with the onscreen action of _The Birth of a Nation_ and to screen the film in regular theaters at roughly the same admission prices used for live performances. Yet even though his points of reference are to the established arts, Griffith also polemically acknowledges the ability of the cinema to smoothly interrelate a variety of perspectives, pointing out that the motion picture \"can show anything from the feelings of a lettuce up to the growth and fall of a great empire.\" He would try to do both in his next film, _Intolerance_ (1916), the closest he would ever come to the expansive epic he called for.\n\n_Intolerance_ was one of three American epics released in 1916 against the backdrop of World War I, and like _Civilization_ (Thomas Ince, 1916) and _Joan the Woman_ (Cecil B. DeMille, 1916), it is unified through an overt allegory that frames the central narrative action. Whereas Ince's film includes elaborate \"dream\" sequences in which the protagonist is divinely instructed to renounce all forms of war, and the DeMille film narrates the life of Joan of Arc from the trenches, _Intolerance_ moves between four different periods with increasing rapidity as the film goes on and is therefore more dependent on its pacifist superstructure. The repeated cuts to an image of Lillian Gish rocking a cradle help to anchor the different narrative streams, distilling human suffering into a single image designed to make the relationships between the various permutations of intolerance clear while also serving as evidence of the ultimately visionary nature of the film. _Intolerance_ finally builds toward the sort of eschatological plea for peace and harmony that Griffith had used, more incongruously, at the end of _The Birth of a Nation_. Interestingly, the program notes distributed at the premiere quote Ralph Waldo Emerson:\n\nIf we would not be marplots with our miserable interferences, the work, the society, letters, arts, science, religion of men would go on far better than now, and the heaven predicted from the beginning of the world, and still predicted from the bottom of the heart, would organize itself, as do now the rose and the air and the sun.\n\nThe plot of the \"modern\" section of _Intolerance_ is built around the misguided efforts of invasive, self-righteous reformers, but they are simply a foil to the film's larger utopian program. Like Emerson, Griffith suggests that genuine social progress can happen only through the awakening of individual conscience by the power of art.\n\nMany aspects of Griffith's visual repertoire remain anachronistically tied to nineteenth-century practices, and it has long been a commonplace to refer to his narrative debt to the Dickensian novel, especially since the publication of Sergei Eisenstein's essay \"Griffith, Dickens, and the Film Today\" in 1944. Griffith encouraged this when he explained that his most celebrated innovation, the \"switch-back,\" was inspired by Dickens' technique of \"switching off\": \"He introduces a multitude of characters and incidents, and breaks off abruptly to go from one to another, but at the end he cleverly gathers all the apparently loose-threads together again, and rounds off the whole.\" This is certainly true of Griffith's work generally, but the pivot image of _Intolerance_ is derived from another source, one much closer to Emerson: Walt Whitman's 1855 _Leaves of Grass_ (\"Out of the cradle endlessly rocking\"). Griffith's cradle, like Whitman's, conveys a complex sense of eternal cyclicity. Although his overdetermined image lacks the subtle force of Whitman's poem, it does exert a sort of hieratic power, with the numerous repetitions creating the impression that it possesses a (cosmic) temporal logic markedly different from the interlocking narrative streams that it joins.\n\nIn his discussion of _Intolerance_ , Vachel Lindsay called the cradle the \"key hieroglyph\" of the film, connecting it to the ideas about cinema in his pioneering book _The Art of the Motion Picture_ (1915). Lindsay, eager to claim that cinema was the equal of the rival arts, suggested that there were deep affinities between the pictorial language of ancient Egypt and the new medium, seeing in that the key to the art of the silent \"photoplay.\" The correlation of artwork and hieroglyph had been a recurring trope in Symbolist writings, but its roots lie in the rhetoric of Romantics like Philipp Otto Runge, Novalis, and Eug\u00e8ne Delacroix, who wrote that his figures \"are like a solid bridge by which the imagination penetrating them reaches the mysterious and profound sensation of which the forms are, in some way, the hieroglyph.\" In this sense, the hieroglyph acts as an entry point into secret magical knowledge, a hermetic system of internal correspondences underlying surface reality to which the distinctive visual vocabulary of an artist can provide access. This priestly conception of the artist was revived by several early twentieth-century modernists whose work was exactly contemporary with Griffith's filmmaking: the Expressionist Ernst Ludwig Kirchner claimed to have \"developed the hieroglyph and enriched modern art thereby,\" while Futurist painter Gino Severeni entitled an important canvas _Dynamic Hieroglyph of the Bal Tabarin_ (1912).\n\nThe hieroglyph was also an important metaphor for nineteenth-century historians like Leopold von Ranke (an influence on _The Birth of a Nation_ ), who urged scholars to look for the \"holy hieroglyph, perceived only in its outline\" that reflects the omnipresence of God in history. John Irwin has argued that a similar notion of hieroglyphics permeated American Romantic literature in the middle to late nineteenth century, manifesting itself in the work of Henry David Thoreau and Emerson as well as Whitman's _Leaves of Grass_ , which Irwin claims was conceived as \"a kind of hieroglyphic Bible.\" Lindsay's use of the term continues this tradition while purging it of both its obscurantist and religious connotations, focusing instead on its potential as a means of mass visual communication. With the advent of the cinema, he claims, \"A tribe that has thought in words since the days that it worshipped Thor and told legends of the cunning of the tongue of Loki, suddenly begins to think in pictures.\" Griffith would surely have subscribed to Lindsay's ideas, arguing in his own writings that cinema had an extraordinary psychological power and an unprecedented capacity to affect the viewer's understanding. He summed up his grandiose sense of the cinema when he claimed, \"We have found a universal language, a power that can make men brothers and end war forever.\" This shift from text to image is reinforced in _Intolerance_ through the books and cuneiform tablets in the visual intertitles, emblems of the picture writing Griffith practiced throughout the film (figure 1.1).\n\nIn at least one crucial respect, Griffith's films were very different from the sort of \"hieroglyphic\" works developed by artists like Delacroix or Kirchner. It was not easy to decode images during viewing because they were neither wholly autonomous nor simply juxtaposed like a visual script, but were instead inserted within an elaborate montage chain, remaining onscreen for a few seconds at most before the next link appeared. More than any film before it, _Intolerance_ was fundamentally shaped by its editing. Over the course of two months, Griffith edited down the 300,000 feet of raw footage into an extremely dense film running, in its integral form, for 13,700 feet, or fourteen reels. The four different periods were like \"four currents, [flowing] side by side,\" and, wherever possible, Griffith attempted to link them through associations of movement, gesture, or spatial arrangement. Although the final film possesses a polyphonic shape that holds up to sustained analysis, Griffith's method was improvisational, and the editing was largely intuitive, with some of it done in-camera during shooting. Hollywood, which barely existed at the time _Intolerance_ was made, would try to tame and systematize Griffith's idiosyncratic editing patterns a few years later, while Soviet directors like Eisenstein would try to draw out their latent dialectical possibilities, but they were almost universally recognized as a major step forward for the cinema.\n\nFIGURE 1.1 Intolerance _(D. W. Griffith, 1916)._\n\nSome people involved with the production of _Intolerance_ have suggested that Griffith originally intended to make a film much longer than the one that was released to general audiences in 1916. Lillian Gish, who described herself as \"closer to _Intolerance_ than anyone else except [cameraman] Billy Bitzer and Jimmy Smith, the cutter,\" argued that earlier cuts of _Intolerance_ lasted for at least eight hours, split into two parts to be screened on consecutive days. Griffith is said to have abandoned these plans when theater owners refused to accommodate a two-day film, and the prints released in 1916 generally ran for around three hours (the fourteen-reel premiere version would have run three and a half to four hours). Even in this form, _Intolerance_ proved almost impossible for most spectators to digest. Anita Loos, who contributed to the intertitles and claims to have been the \"first viewer to ever see _Intolerance_ ,\" later wrote: \"I must be honest and say I thought D. W. had lost his mind.\"\n\nGriffith would never achieve a film on the scale he described in his 1915 essay, but two directors who saw themselves as his true heirs\u2014Erich von Stroheim and Abel Gance\u2014would try, repeatedly, throughout the 1920s. Both Gance and von Stroheim began their careers making pictures with ordinary running times, but, within a few short years, they would both struggle to create massive films that they hoped would stand shoulder to shoulder with the great masterpieces of literature, music, and painting. In this, they were extending the Griffith model of long-form filmmaking, and both directors frequently stressed their connection with the \"master.\" Having \"graduated from the cinematic school of D. W. Griffith,\" von Stroheim was determined to make the cinema into \"an art encompassing all the arts.\"\n\n### Realism Transcended\n\nWe shall tell it at length, in precise and thorough detail\u2014for when was a story short on diversion or long on boredom simply because of the time and space required for the telling? Unafraid of the odium of appearing too meticulous, we are much more inclined to the view that only thoroughness can be truly entertaining.\n\n\u2014THOMAS MANN, FOREWORD TO _THE MAGIC MOUNTAIN_ (1924)\n\nThe entire career of von Stroheim, Hollywood's most iconic martyr, was founded upon myths. Son of a Jewish merchant and a failed member of the Austrian military, Erich Oswald \"von\" Stroheim strategically presented himself as a member of the Viennese aristocracy from the moment he arrived in the United States, and he promoted all of his films as part of an autobiographical construction. Success at playing vicious Huns during World War I earned von Stroheim the right to direct, and key aspects of his style were established in his debut, _Blind Husbands_ (1919)\u2014a somber, almost ritualistic tempo, gestural precision, and an attempt to represent interior states through intricate spatial arrangements. From the early 1920s on, this was wedded to an extreme notion of length, which von Stroheim argued would allow him to revive ancient theater, now \"taken in by the eye, not the ear.\"\n\nFIGURE 1.2 _Erich von Stroheim editing (from the Kevin Brownlow Collection)._\n\nVon Stroheim's third film would mark a decisive shift in this direction. By the time shooting was completed for _Foolish Wives_ (1922), von Stroheim had used an astonishing 320 reels of negative (partially due to the insistent retakes demanded by a director who was both a perfectionist and an experimenter). Once the individual shots had been assembled and edited, the December 1921 first cut ran for thirty-two reels, or approximately six hours of projection time, far more than any other film made up to that point (figure 1.2). Decades later, von Stroheim would try to justify the length of his films by claiming that he had \"always wanted to make a great film, a good film and a long one, too, with an intermission\u2014at a psychologically suitable moment\u2014to give the audience time for dinner as the great Eugene O'Neill did in _Strange Interlude_ (1928). He did it several years after me.\" Von Stroheim repeated versions of this story on several occasions, in an understandable attempt to soften his reputation as a profligate filmmaker, but he seems to have misremembered the lengths of his initial cuts (with a dinner break, a full screening of _Foolish Wives_ would have lasted from mid-afternoon to midnight). In the early 1920s, his statements reflected a very different attitude. Asked by a reporter how his thirty-two-reel film could be presented in an evening, von Stroheim responded, \"That is a detail I hadn't time to bother about.\"\n\nLike Griffith, von Stroheim found inspiration in respected literary works, which he tried to adapt in wholly visual terms. The Cin\u00e9math\u00e8que fran\u00e7aise contains two heavily annotated copies of Frank Norris' _McTeague_ (1899) that von Stroheim used as the basis for _Greed_ (1924) and apparently kept with him on set. Looking at the pages makes it clear that his interest lay in the novel's action rather than its many descriptive passages. Aside from rearranging a few scenes and toning down Norris' racially charged treatment of the \"Polish Jew\" Zerkow, the basic narrative structure of the original _Greed_ screenplay is very similar to that of _McTeague_ , but the details are treated in revealingly different ways. Both Norris and von Stroheim try to depict fundamental human drives, but where Norris does so by linking the particularities of his characters to the social milieu they inhabit, von Stroheim focuses on visual tropes and small details of performance. In _McTeague_ , Norris inserts a handful of references to the protagonist's pet canary; in _Greed_ , the canary becomes part of a visual network coursing through the film, with von Stroheim adding a wounded bird in the prologue as well as a second canary (given to Trina) and using both birds as stand-ins for the characters in a montage sequence involving the third central character (Marcus), who is represented, appropriately enough, by a cat. From _Blind Husbands_ on, von Stroheim demonstrated an almost mystical faith in the power of a pictorially dense or symbolically layered image to convey psychological essences, and this impulse comes to full fruition in _Greed_.\n\nThroughout von Stroheim's body of work, the focus on narratively significant details is counterbalanced and given a very different inflection by the use of totems\u2014black cats, half-concealed moons, and ominous crucifixes are especially prominent. This effect was strengthened, at least upon the initial release of the films, by an evocative use of selective color. In _Blind Husbands_ , the flames in a candelabrum were hand-tinted in one scene using the laborious Handschiegl process, as were the flames that envelop the tower near the end of _Foolish Wives_ and the gold objects in _Greed_ (figure 1.3). Even von Stroheim's obsession with authentic props and locations has a mystical quality to it. Von Stroheim insisted on renting the actual mine described in _McTeague_ and having his actors work within the house that had been the site of the murder that inspired Norris' novel, so that the emotions that von Stroheim believed resided in them would somehow work their way into the film. Richard Koszarski points out that von Stroheim had tried similar things in _Merry-Go-Round_ (1923) the year before, bringing Emperor Franz Josef's carriage over to Hollywood, \"not simply because he wanted to integrate a realistic prop. He wanted it because it was part of the true cross.\"\n\nFor von Stroheim, \"realism\" was not a rigidly fixed set of codes, but a way of bringing the full range of human experience within the space of the frame. As he put it, \"Everything that man could dream of, I could reproduce, and I wanted to reproduce, in my films.\" At times, this entailed finding ways to enhance the depth of field of his images (often through the ingenious use of mirrors), locating his dramas within a dense social environment and creating multiple zones of action that frequently commented upon one another. Elsewhere, space would be deliberately flattened and pictorialized by placing a veil over the camera lens, a technique, employed inside the monk's hut and whenever Karamzin (von Stroheim) looks at Ventucci's daughter in _Foolish Wives_ , that von Stroheim and cinematographer Ben Reynolds called \"pastelography.\" At other moments, von Stroheim switches suddenly from domestic scenes to allegorical inserts, such as a pair of wizened hands clutching at coins, that resemble Hieronymus Bosch's depictions of the seven deadly sins. In films like _Blind Husbands_ , images like these had been contained within dream sequences, but in G _reed_ they act as visionary interruptions within the central narrative, eerie intimations of \"the skull beneath the skin.\" In a similar fashion, scenes like the post-wedding dinner are made to suggest gluttony more than community by repeated cuts to deliberately grotesque close-ups of faces and objects.\n\nFIGURE 1.3 Foolish Wives _(Erich von Stroheim, 1922)._\n\nAll of these elements are present in _Greed_ 's most dramatic scene, the murder of Trina. Filmed mainly in long takes, the scene begins as a black cat runs across the screen, with a door framed through a set of partitions creating a highly compressed sense of space. As Trina and Mac struggle, they push back through several other doors; the actual murder takes place offscreen in a tunnel that appears to recede far into the distance. Several minutes later, however, the scene ends as it began, with a closed door demarcating the limits of a very shallow visual field. The result is an accordion-like sense of space expanding and collapsing within a sustained block of time whose very theatricality (reinforced through the framing) is made uniquely cinematic. The proscenium framing of the murder also acts as an ironic echo of the equally theatricalized wedding night, linking the film's only open depiction of sexual relations with death. By concentrating the formal strategies, visual symbolism, and primal drives that course through the film, the murder scene acts as the film's hinge, deepening von Stroheim's brand of realism by pushing it beyond convention and into a more irrational realm.\n\nVon Stroheim's obsessive methods were dependent upon the resources the studios had at their disposal, but MGM saw _Greed_ as flagrantly, even defiantly, uncommercial. Knowing that his contract did not give him final cut, von Stroheim attempted to preempt cuts by production manager Irving Thalberg by holding a series of preview screenings of the complete version for a number of critics and colleagues. According to Harry Carr, one of the few people to have seen the full version in 1924, the film ran for forty-five reels from 10:30 a.m. to 8:00 p.m., and von Stroheim made it clear that his ideal was either intensive viewing or screening over two consecutive evenings. Despite the public support of almost everyone von Stroheim invited, MGM eventually cut the film down, allegedly destroying the negative for the remainder to extract the silver in the nitrate. Whether or not this story is apocryphal, it perfectly encapsulates the mythos surrounding the film: the masterpiece of cinematic art destroyed by the forces of commerce.\n\nAlthough no one has seen the original version of _Greed_ since 1924, a four-hour reconstruction\u2014mounted by Rick Schmidlin in 1998 and made up of all the extant footage reassembled according to the original script, with stills standing in for missing scenes\u2014gives some indication of what the experience of watching the original film would have been like. Images, themes, and motifs appear and reappear throughout the film, and the doubling and repetition quietly accumulates considerable force. Carr compared von Stroheim's method to that of Victor Hugo's _Les Mis\u00e9rables_ (1862): \"Episodes come along that you think have no bearing on the story, then twelve or fourteen reels later, it hits you with a crash.\" In the expanded version of _Greed_ , the sadomasochistic relationship of Zerkow and Maria, totally excised from the ten-reel cut and \"reintroduced\" in the restoration, acts as a dark mirror of the Trina\/Mac one, strengthening the overall moral dynamic and, through Trina's encounter with the dead Maria, giving the film a supernatural tint. These structural echoes are further enriched by the presence of the genteel couple Old Grannis and Miss Baker, whose chaste relationship contrasts markedly with that of both Mac\/Trina and Zerkow\/Maria. Other motifs, like the canary and the allegorical figures, are made to resonate across and even between films in a way that suggests that von Stroheim's fundamental method was one of refinement. When Mac kisses Trina early in _Greed_ , for example, a shawl is wrapped around her face so that she looks like a nun, echoing earlier scenes like the seduction beneath a cross in _Blind Husbands_ and anticipating later permutations like the abduction of Gloria Swanson from a convent in _Queen Kelly_ (1929).\n\nThe impression of von Stroheim's silent films as an extended series of themes and variations was reinforced by _The Wedding March_ (1928) and _Queen Kelly_ , his last attempts to make a \"great long film.\" This is especially true of _The Wedding March_ , von Stroheim's longest film. A witty fantasia about the fin de si\u00e8cle Vienna of von Stroheim's youth, the film sardonically refers to well-known images of the past (like William Hogarth's _Marriage \u00e0-la-mode_ series, 1742\u20131743), changing the Griffith model of legitimation to one of ironic citation that would be developed further by art historically conscious modernists in subsequent decades. _The Wedding March_ may have been its director's most structurally adventurous film, a prismatic study of decadence and decay among both Old World aristocrats and the lower classes in which incidents and details echo back and forth across the body of the film. During the opening sequence, a statue of the Madonna within St. Stephen's Cathedral is juxtaposed with its \"so contrasting symbol, the 'Iron Man'\u2014a remnant of the Middle Ages.\" Later in the film, a superimposed vision of the Iron Man taking a Danube-Maid offscreen is quickly followed by a shot of the prince (played by von Stroheim) carrying the woman he has fallen in love with in the same direction.\n\nAlthough Paramount producer Pat Powers stopped shooting on _The Wedding March_ before the film was completely finished, the original rough cut of \"exactly fifty reels\" would have run for more than nine hours, exceeding even _Greed_. In a press release after the editing of the film had been taken out of his hands, von Stroheim argued, \"After a certain amount of editing had been done on _The Wedding March_ , I evolved the idea of dividing the production into two films\u2014one to be called _The Wedding March_ , the other to be called _The Honeymoon_.\" The crucial phrase here is the first one, because the original script has no break whatsoever and the division was almost certainly a compromise solution. Herman Weinberg argued that von Stroheim once again wanted a dedicated two-day screening of a very slightly reduced version\u2014with each part running slightly over four hours\u2014or, at worst, the creation of a single four- or five-hour version with a dinner break. He got neither. _The Wedding March_ was cut down from an initial 25,795 feet to a version of 10,852 feet running for under two hours. The second part, _The Honeymoon_ , was not released in North America, but was distributed in a version reduced from 22,424 feet to 7,000 feet in Europe and South America.\n\nVon Stroheim was even less fortunate with _Queen Kelly_ , which was produced by star Gloria Swanson and financed by Joseph P. Kennedy rather than a major Hollywood studio. Less sumptuous than _The Wedding March, Queen Kelly_ contains von Stroheim's most complex visual experiments, and many of the images have a crystalline density. In _The Wedding March_ , von Stroheim had employed a series of in-camera dissolves as a way of conveying the psychological intensity of the confession scene; in _Queen Kelly_ , these are combined with lap dissolves, creating a fluid, dreamlike texture in which individual objects and figures become suffused with meaning. Unfortunately, von Stroheim included a number of elements that Kennedy felt would invariably trouble the censors, and the funding was pulled well before shooting was completed. Had the film been completed in the year it was shot, it may have been the great success von Stroheim always dreamed of, but by the time Swanson tried to salvage what was left of the material in 1931, the silent cinema had been totally supplanted. Only vestiges of von Stroheim's complex and intricate narrative structure, designed to engage the attentive viewer in an active process of mnemonic association, survived the process of recutting.\n\nAll of von Stroheim's major films suggest incompleteness and fragmentation, but these ideas are not worked into them, as they would be in the long-form projects completed after the end of World War II. More than most filmmakers, von Stroheim believed in total, unified works. He never stopped trying to create a monumental film and at one point even met with Thomas Mann to discuss the possibility of adapting _The Magic Mountain_ , but the industrial pressures of sound film production and distribution\u2014which, in the 1930s, usually privileged brevity and the \"double bill\" more than the epic (even _Gone with the Wind_ was less than half the length of the full _Greed_ )\u2014were totally against him. His performance as Captain von Rauffenstein in Jean Renoir's _Grand Illusion_ (1937) gave a second wind to his career, but he could not shake his reputation as an uncompromising tyrant and was never again able to direct a film. Even though he worked only as an actor, von Stroheim continued to develop his fictive persona, bringing motifs from his own films into those of other directors and thereby broadening the range of his \"autobiographical\" project. Renoir, whose _Nana_ (1926) remains the most sophisticated cinematic response to _Foolish Wives_ , encouraged von Stroheim to help define the character of von Rauffenstein, and he contributed not only memorable details like a neck brace but also the aristocrat's fascination with a geranium, a private symbol that establishes continuity with other films he had directed or worked on. Through gestures like this, Stroheim cemented his position as a heroic figure, celebrated in Western Europe, and later New York, as the chief exemplar of the path not taken by the Hollywood studios. Appropriately, his final role was as Beethoven in Sacha Guitry's _Napol\u00e9on_ (1955).\n\n### Abel Gance's Cathedrals of Light\n\nI see such power in the art of the moving picture that I do not hesitate to regard it as the nucleus of the common spectacle which every one demands, as being perfectly susceptible of assuming a grave, splendid, moving character, a religious character even, in the universal, majestic sense of the word.\n\n\u2014\u00c9LIE FAURE, _THE ART OF CINEPLASTICS_ (1921)\n\nFrom the very beginning, the work of Abel Gance was impassioned, excessive, and imbued with a seemingly unshakable faith in the transformative potential of the cinema. The following comments are characteristic of his many public and private statements in the 1920s: \"[The] whole Mediterranean dream was spread out: Dionysus. The Great Noon. And all the arts in fusion, caught in the coils of the Eternal Return; while the organs of light in the Church of Music played the moving stained glass of the Cathedral of Light.\" Gance's extravagant language was matched by the baroque style of his imagery, which was saturated with associations but still possessed a piercingly direct intensity. Louis Delluc, who ambivalently recognized Gance as the most powerful figure in post\u2013World War I French cinema, elucidated this perfectly in 1918: \"This man is far from simple. In fact, he is too close to bombast, not in words, but in thinking: he wraps the most naked ideas in the richest clothing.\" If von Stroheim returned obsessively to certain motifs and themes, Gance returned repeatedly to particular clusters of images. One of his major achievements was to find a way of investing individual images with symbolic force while simultaneously making them integral parts of symphonic film structures.\n\nThe long-form ambitions of Griffith and von Stroheim developed out of their film work, a byproduct of their increasingly exalted conceptions of the cinema, but Gance's desire to create a synthetic colossus preceded his adoption of the new medium. The autobiographical fragments later published as _Prisme: Carnets d'un cin\u00e9aste_ are replete with references to mythological figures, which Gance uses to explain his own ideas about art: \"This desire to be Titan, to be the Atlas of all the individualities, and at the same time to take them on its shoulders, always further and higher, is what connects the Promethean genius and the Dionysian spirit.... Great art is inextinguishable.\" Gance clearly saw himself as both Prometheus and Dionysus, a singular creator possessed of a spirit of dynamic energy, and these two myths animate much of his film work. They are also present in his early poetry and plays, but Gance soon recognized that his style appeared more mannered than intense in the theater, and he searched for a medium that would enable him to reach larger audiences. Shaken by the outbreak of World War I, he yearned for \"an instrument that, better than the word, could play upon the human imagination to try to stop this drama [the war], and [he] discovered the cinema.\"\n\nGance's move into the cinema was influenced by his friendship with the pioneering, Italian-born film theorist Ricciotto Canudo. In 1911, Canudo published the important essay \"The Birth of a Sixth Art,\" which functioned as a sort of manifesto for many artistically ambitious filmmakers of Gance's generation. \"The cinematograph... cannot today be an art,\" Canudo wrote, but \"for several reasons, the cinematographic theater is the first abode of the new art\u2014an art which we can just barely conceive. Could this abode become a 'temple' for aesthetics?\" Gance fervently believed it could, and, in his own writings, he frequently applied religious metaphors to the cinema, his \"Cathedral of Light.\" Unsurprisingly, Gance too referred to his images as hieroglyphs: conjecturing that with the cinema, perhaps one day images \"could start a new alphabet, a kind of hieroglyphic ideography, which will gradually extend, in an amazing way, the domain of our intellectual exchanges.\" For Gance, the idea of art as the gateway to universal mysteries was informed by Friedrich Nietzsche, whom he at one point explicitly associates with Prometheus: \"The thought of Nietzsche proceeds by fire. It heats or it burns. Those who do not know are frightened like the Aryans before Prometheus.\" Like a less ironic version of Nietzsche's Zarathustra, Gance wanted to use cinema to \"create new psychological values,\" and his repeated invocations of classical myths and the Romantic idea of creative genius point to the grandeur as well as the internal contradictions of his wildly utopian projects. Whereas Zarathustra describes the cathedral in terms of perpetual struggle (\"How divinely the vault and the arch bend and break each other as they wrestle\"), as a parable in stone demonstrating that \"struggle and inequality and war for power and supremacy are found even in beauty,\" Gance claimed that his projected monuments would do no less than bring about world peace.\n\nThe relative modesty of those early Gance films that are extant belies the nature of his aspirations. In his first public statement on the cinema, Gance made the following declaration:\n\nLet the cinema be naturally grandiose and human instead of what the popular novels of the past fifty years have been to literature. Let it be innovative instead of following either a maudlin sentimentality or the mechanical comic film which seems in fashion because the true way has yet to be mapped out. Let it not be especially theatrical, but allegorical, symbolic. To plumb the depths of each civilization and construct the glorious scenario that sums it up, embracing all the cycles of all the epochs, finally to have, I repeat, the cinematographic classic that will guide us into a new era\u2014this is one of my highest dreams.\n\nGance made a few short films for Le Film fran\u00e7ais the year this text was published, and he began planning out versions of his great \"cinematographic classic\" shortly thereafter, but his career did not begin in earnest until he started work for the prestigious company Le Film d'art in 1915. The war created a production situation plagued with difficulties ranging from film stock shortages to heightened censorship restrictions, but it also provided Gance with a new outlet for his messianic impulses. As he explained in a notebook of 1916: \"Until 1914, I suffered only for myself, but for the last two years, I have suffered for everyone else.... Oh, to walk naked between two trenches and make each side hesitate to fire, for fear of killing one of their own.\" Gance's repeatedly professed pacifism notwithstanding, several of his early films do contain clear propaganda elements, treated in a characteristically charged manner. _Les Gaz mortels_ (1916), for example, is the story of an inventor who consents under pressure to create poison gas, resulting in a metaphorically loaded conflagration, with shots of toxic fumes approaching a civilian village interspersed with images of a snake about to attack a sleeping child. The eschatological bent of Gance's fecund imagination was well suited to an era in which, as St\u00e9phane Audoin-Rouzeau and Annette Becker have argued, many ascribed an almost supernatural power to _La Grande Guerre_. Scenes like this would recur in subsequent films.\n\nGance's most influential response to the war was _J'accuse_ (1919), which, with a running time of more than three hours, was the most ambitious film he had made up to that point. Initiated by Path\u00e9 as another propaganda project, _J'accuse_ was instead turned into a powerful protest against the war and the \"universal stupidity\" that brought it about, using \u00c9mile Zola's famous attack on the court-martial of Dreyfus as a model. Previous Gance films like _La Dixi\u00e8me Symphonie_ (1918) had occasionally taken melodramatic situations to the point of hysteria, using extremely rapid cutting to simulate a creative epiphany. In _J'accuse_ , these elements are still present, but they are given a dramatically different context by the film's historical traction\u2014most evident through the use of documentary battle footage late in the film and the use of soldier's letters as the basis for several intertitles\u2014and its insistent use of symbolic figures, often shown inhabiting narrative space through superimposition. Gance makes frequent recourse to Renaissance paintings, but, as Jay Winter has pointed out, he also responds to folk traditions, incorporating some of the _images d'\u00c9pinal_ that had been revived during the war. In his acknowledgment of this popular iconography, Gance brought his treatment of the war\u2014consciously, if schematically, structured around the different vantage points embodied by particular characters\u2014closer to the mentality of many of his viewers. Significantly, however, the protagonist Jean Diaz is a mystical poet, who \"narrates\" the film's return-of-the-dead sequence and ends the film with a desperate cry against the sun, an ode to the death of Romanticism done in a style with echoes of Novalis' _Hymns to the Night_ (1800).\n\nFIGURE 1.4 _War dead superimposed above the victory march through the Arc de Triomphe in _J'accuse_ (Abel Gance, 1919)._\n\nGance was not alone in fusing Romantic imagery with a language of allegorical classicism in the last years of the war. Many aspects of _J'accuse_ have their origins in the nineteenth-century aesthetics Gance implicitly allied himself with, but the film is also related to the so-called return to order that swept through the arts in 1918 and 1919. In this way, classicism was re-envisioned as a response to the horrors of the war, a way of reasserting tradition by linking an idea of civilization with roots in the ancient world to an idealized, often feminine, beauty, and setting that up as a bulwark against the muddy chaos of the trenches and everything they represent. The key advocate for these ideas during the war was Guillaume Apollinaire, a friend of Gance's who called for a national poetry that would reinvigorate old myths with distinctly modern styles. This is precisely what Gance endeavored to do in _J'accuse_ , interweaving advanced techniques like the propulsive editing of the film's final battle sequence with more traditional depictions of French life and culture. In several cases, the film fuses the two strains together, most memorably in the ghostly superimposition of dead soldiers marching above the Arc de Triomphe (figure 1.4).\n\nThe war gave Gance a sense of calling and mission. In the program notes for _J'accuse_ , his goals are compared to those of the great epic poets:\n\nSince the great Red Tragedy has not had its Homer and its Rouget de Lisle [the composer of \"La Marseillaise,\" 1792], since the tears, the blood, the widespread suffering, the gestures of the heroes and the starry eyes of the dead have not yet found their sculptors and their painters, we have tried humbly to create a lyricism of the eye and to make the images sing.\n\nBefore making _J'accuse_ , Gance had been preoccupied with _Ecce Homo_ (1918, unfinished), which he described as a \"vast prologue\" to a project called _The Kingdom of the Earth_ \u2014one of the proposed \"Great Gospels of Light\"\u2014that attempted to synthesize the different religious traditions of the world. Realizing that he would not be able to make such a film in 1918, he abandoned _Ecce Homo_ and decided to temporarily set these quixotic ideas aside by making _J'accuse_. Yet, for Gance, a great film could only be large, and after _J'accuse_ became one of the most widely seen films of its era, he reconceived it as part of a massive trilogy that would include _Les Cicatrices_ , focusing on postwar life, and a third film devoted to the formation of the League of Nations. Gance soon postponed these plans when he realized that the \"instruments of cinema [were] too imperfect to construct [his] Cathedrals of Light.\" He focused his energies instead on _La Roue_ (1922), the full version of which lasted for six hours.\n\nWith its small cast of characters and elaborate use of flashbacks, _La Roue_ is the most novelistic of Gance's films, but it also intermingles different myths (here Oedipus and Sisyphus, rather than Prometheus, dominate) and models (the Passion of Christ, a notion of genetic predestination derived from Zola, the cosmic perspective of Hugo) in a way that is meant to suggest the Drama of Man. Gance described the film as a symphonic study in the contrast between the world of \"locomotives, rails... and fumes\" and the world of \"snows, summits, and solitude.\" Accompanied by an innovative score by Arthur Honegger, the full version of the film had a triumphant premiere at the Gaumont-Palace cinema in 1922. In this respect, Gance was more fortunate than von Stroheim, but, like _Foolish Wive_ s (which was released the same year and also ran for thirty-two reels in its original form), _La Roue_ was severely shortened for general release, first to five hours and finally into versions running for roughly half that length. Even some of the film's many admirers questioned the decision to make a film devoted almost exclusively to four principal characters so long, but Gance saw the film's duration\u2014with its longueurs, detail, and gradual shifts in tone\u2014as inextricably bound to its form. As he explained to Jean Mitry in 1924, \"This was the length I wanted, and I endeavored to make a work [richer] in nuances than in action. I could obviously condense it; but if dramatic intensity might be strengthened, the psychological interest and the style would be weakened.\"\n\nThe scale of _La Roue_ paled in comparison to that of its follow-up, _Napol\u00e9on_ (1927), a \"giant moving fresco\" that Gance hoped would create a new relationship between the viewer and the image. The original plan entailed the production of a series of six three-hour films\u2014 _Arcole, 18 Brumaire, Austerlitz, Retreat from Moscow, Waterloo_ , and _Saint-H\u00e9len\u00e8_ \u2014that would begin in 1782 with Napoleon as a cadet at the Royal Military Academy of Brienne and end with his death in 1821. Since the creation of the first film took three years and went heavily over budget, none of the subsequent episodes were made. The finished film, _Napol\u00e9on vu par Abel Gance_ , ended with the beginning of Napoleon's Italian campaign and, at least in some versions, included two \"triptych\" sequences in which three images were projected side by side on an enormous screen. Gance held two all-day press screenings of the full version of his film (without the triptychs), which had a projection time of over nine hours and was edited down from over one million feet of footage. By contrast, the biggest Hollywood production of the year\u2014 _Wings_ (William Wellman, 1927), winner of the first Academy Award for Best Picture\u2014was edited down from 360,000 feet of footage. Even von Stroheim had shot \"only\" 446,103 feet of film for _Greed_. _Napol\u00e9on_ may well have been the largest production of its kind in the silent era, a tribute both to the density of Gance's editing (a considerable portion of the footage was needed to construct the rapid montage sequences and the triptychs) and his steadfast determination to outdo his contemporaries as well as his previous films.\n\nAs with the panoramas that inspired them, the presence of the triptych sequences necessitated special exhibition conditions, and the film was officially premiered at the Op\u00e9ra de Paris on April 7, 1927, with another original score by Honegger. The premiere was considered to be one of the major cultural events of the year, and in addition to such artistic luminaries as Pablo Picasso and Jean Cocteau, the audience also included the President Gaston Doumergue, Marshal P\u00e9tain, and a young Charles de Gaulle. This version, which included the triptychs, was reduced to a running time of three and a quarter hours, with Gance reportedly reworking the montage until the last possible moment. After ten more screenings at the Op\u00e9ra (and, later, in Berlin and Nantes), a mostly complete, but re-edited, version then played for two months at the Salle Marivaux, beginning in November 1927. Distributed outside Paris and internationally in versions of various lengths, _Napol\u00e9on_ was later rereleased in alternate, sound versions edited by Gance. These re-edits, _Napol\u00e9on Bonaparte_ (1935) and _Bonaparte and the Revolution_ (1971), combined new footage with material from the silent era and were tailored as responses to their respective historical moments, with Napoleon presented alternately as the embodiment of lost heroic virtues and as a paragon of antiestablishment revolt.\n\nWhatever the length or completeness of the particular print, Gance's treatment of Napoleon and his era is unabashedly Romantic. Tellingly, the director's program notes for the film begin with the assertion that \"Napoleon is Prometheus.\" In a speech to his crew at the beginning of production, he explained his overall objective in even more grandiloquent terms: \"This is a film that must, and let no one underestimate the profundity of what I'm saying, a film that must allow us to definitively enter the Temple of Art through the giant gate of History.\" _Napol\u00e9on_ consists of a series of historically synoptic episodes all centered on the figure of Napoleon, who is associated symbolically with the element of fire and with his talisman, an eagle. Like Griffith, Gance attempts to authenticate his narrative by citing actual historical documents as sources for key intertitles, a strategy that presumably helped to justify his claim that _Napol\u00e9on_ would be \"the first great French historical film that could enter schools and help children understand that this was how it was, which, in the lyc\u00e9es and colleges, could advantageously replace studies of the emperor by [Hippolyte] Taine, Madame de Sta\u00ebl, or [Fran\u00e7ois-Ren\u00e9 de] Chateaubriand.\" This emphasis on historicity is further amplified by the cinematization of paintings like Jacques-Louis David's _Death of Marat_ (1793) and Antoine-Jean Gros' _Bonaparte at the Pont d'Arcole_ (1796). The dramatic appearance of the names of legendary figures like Marat, Danton, and Robespierre (\"The Three Gods\") serves a similar function, synechdocally connecting the film to the collective memory of the history it attempts to represent. Nevertheless, the major events and figures of the period are all seen from the vantage point of Napoleon, who is portrayed as the self-designated embodiment of the principles of the Revolution, nobly saving France from its violent excesses. At one point, when asked by Marat what his projects are, \"Bonaparte\" responds, \"The liberation of oppressed peoples, the fusion of great European interests, the suppression of frontiers... and... THE UNIVERSAL REPUBLIC.\" Following the precedent of Walter Scott, Gance invents viewer surrogate figures like Tristan and Violine Fleuri, who regards Napoleon with awe and reinforces the Promethean stature of figures like Saint-Just (played by Gance) when she cries out, \"They are too great for us!\"\n\nIn its conflation of historical process and Romantic aesthetics, _Napol\u00e9on_ owes a considerable debt to Hugo, whom Gance acknowledged as one of his models. _La Roue_ opens with a title card derived from Hugo's poem \"The Graveyard at Villequier\" (1847)\u2014\"I know that Creation is a Great Wheel which cannot move without crushing someone!\"\u2014and _Napol\u00e9on_ was influenced on a number of levels by Hugo's final novel _Ninety-Three_ (1874). Many of the characterizations were drawn from the novel, and passages from it inspired two crucial scenes. A scene in which Danton speaks about the ideals of the Revolution is derived from a passage linking its productive and disturbing aspects: \"At the same time as it was giving off revolution, this assembly was also producing civilization. It was a furnace, but also a forge. In that vat where terror was bubbling, progress was fermenting.\" The \"Double Tempest\" in which Napoleon's flight from Corsica is juxtaposed with raging debate in the Convention also comes from Hugo:\n\nMinds that were a prey to the wind. But that wind was a wind of prodigy. To be a member of the convention was to be a wave of the ocean. And this was true of the greatest. The impetus came from above. There was in the Convention a will that was the will of all and none. This will was an idea, an indomitable and boundless idea which blew into the shadows from the heights of the sky. We call it the Revolution. When this idea passed, it pounced upon one and lifted up another; it carried this man away in foam and broke that man on the reefs. This idea knew where it was going, and drove the whirlpool before it. To impute a revolution to men is to impute the tide to the waves.... Truth and justice remain above revolutions like the starry sky above storms.\n\nGance read this passage to the members of his cast and crew before he began shooting the sequence, using a swinging camera to simulate the effect of a pendulum, which eventually became one of the two triptychs included in the version of the film shown at the Op\u00e9ra de Paris.\n\nHugo's influence on Gance is by no means limited to a series of quotations. Paul Claudel called Gance the \"Hugo of the Cinema,\" and, as if he were trying to validate the association, Gance announced plans to make a life-of-Hugo film shortly after the release of _Napol\u00e9on_. Gance and Hugo are, of course, also linked through their Homeric sense of narrative and their sometimes disastrously excessive artistic ambition. Most importantly, both Hugo and Gance shared a Romantic desire to replace bourgeois culture with a form of artistic renewal founded on the generative potential of communal experience, as symbolized by the cathedral in the \"This Will Kill That\" section of _Notre-Dame de Paris_ (1831). For Hugo, the replacement of the cathedral by the press represented a decisive shift in the structure of both human thought and social organization, a redirection of creativity that the influential critic-historian \u00c9lie Faure suggested was reversed by the cinema:\n\nIf the cinema is put in the service of a unanimous social effort capable of delivering us from _individualism_ by exalting and using all the spiritual resources of the _individual_ to ensure this development, then we are right to see in it the most incomparable instrument of communion, at least since the [age of] great architecture.... \"This will kill that.\"\n\nThe idea of film viewing as a modern cultic ritual, of going to a movie theater as the secular twentieth-century equivalent to visiting a cathedral, found early expression in Canudo's \"The Birth of a Sixth Art\" and attained new prominence in the post\u2013World War I period. With his explicit allusion to Hugo, Faure portrays the cinema as a new form of \"collective spectacle, which will take the place of the religious dance that is dead, and of the philosophic tragedy that is dead, and of the mystery-play that is dead\u2014indeed of all the great dead things around which the multitude once assembled.\"\n\nAs with most French critics of the period, Faure's highest praise was reserved for \"Charlot\" (Charles Chaplin), but his delirious enthusiasm for the cinema and his Bergsonian stress on the vital drives of perpetually shifting forms found a perfect correlate in the work of Gance. Correspondence and published statements testify to their feelings of intellectual kinship and to Faure's role as an inspiration for Gance's conception of _Napol\u00e9on_. In his 1921 biography of Napoleon, Faure characterizes Napoleon as \"a poet of action\" and goes so far as to argue, \"From the point of view of art, [Napoleon] is, with Christ, the only spirit recognized by Prometheus on earth.\" Gance was, in effect, echoing Faure when he claimed, \"My Bonaparte was in that long line of republican idealists of which Christ was the first example.\" For his part, Faure, who collaborated on the script, called _Napol\u00e9on vu par Abel Gance_ \"fire snatched from the depths of History.\"\n\nNot surprisingly, Gance's decision to use a historiographic model valorizing the cult of the Romantic hero was controversial, particularly among leftist critics. Although only a few of the contemporary reviews accused Gance or the film of rightist tendencies\u2014chiding him instead simply for being old-fashioned\u2014socialist critic L\u00e9on Moussinac described the film's protagonist as a \"Bonaparte for budding fascists.\" Before Kevin Brownlow's initial restoration was completed in 1979, most film historians argued that the film was either unconcerned with politics or fundamentally progressive, but stronger criticisms were leveled against the film after its rerelease. The most vociferous critique was made by Peter Pappas, who described _Napol\u00e9on vu par Abel Gance_ as \"fascist\" because of its persistent use of superimposition, which he claims is \"the art of arbitrary unification... the purely subjective... imposition of one 'reality' upon another\" and therefore a foundational element of fascist aesthetics. Representative of many recent critical revaluations, Pappas' argument grossly oversimplifies the formal structure of _Napol\u00e9on vu par Abel Gance_ and underplays the extent to which superimposition (of both individuals and groups) was mobilized by both left- and right-leaning avant-garde movements in the 1910s and 1920s. Although the effusive celebration of Gance's hero is far removed from dialectical Marxism, the film's emphasis on the sensory power of cinematic editing and the iterative use of visual motifs sometimes evokes _Battleship Potemkin_ (Sergei Eisenstein, 1925). These unresolved tensions are also inscribed within the film itself, which frequently hints at the darker aspects of Napoleon's personality that would have been explored more fully in later parts of the original multifilm cycle. There is, for example, a foreboding shot in which the shadow of Napoleon is projected over the \"Declaration of Rights of Man and Citizen\" (figure 1.5).\n\nGance's turn to the Prometheus myth is similarly complex. On one level, of course, this is fully in keeping with the film's historiographic sources and the early nineteenth-century iconography it employs. Prometheus\u2014interpreted less as the divine intercessor of Hesiod or Ovid than as a personification of the individual creative imagination\u2014was one of the central myths of high Romanticism, linking such otherwise dissimilar figures (all beloved by Gance) as Percy Bysshe Shelley, Lord Byron, William Blake, Chateaubriand, Goethe, and Beethoven. These authors used the Prometheus myth in markedly different ways, but, with varying degrees of irony or ambivalence, all of them attached it to Napoleon, who was demonized by some (Shelley) as a tyrant and lionized by others as the supreme embodiment of Romantic \"genius.\" Byron\u2014who once claimed to have been so enamored of the Prometheus myth that he could \"easily conceive its influence over all or anything that I have written\"\u2014encapsulated this attitude in his 1814 poem \"Ode to Napoleon Buonaparte,\" in which he yearns for the exiled ruler to \"share with [Prometheus], the unforgiven, his vulture and his rock!... [and] in his fall [preserve] his pride.\"\n\nFIGURE 1.5 _The shadow of Napoleon projected over the Declaration of Rights of Man and Citizen in_ Napol\u00e9on vu par Abel Gance _(Abel Gance, 1927)_.\n\nAlthough Gance's presentation of, and public statements about, Napoleon are consistent with this tradition of Romantic valorization, the context had changed dramatically. The first few decades of the twentieth century saw a surprising revival of the Prometheus myth, by key modernists (Constantin Brancusi linked it to his sculptural abstraction in 1911) as well as esoteric figures like composer Alexander Scriabin, whose symphony _Prometheus: The Poem of Fire_ (opus 60, 1910) anticipated Gance's film in its bold multimedia transmutation of Romantic iconography. Scriabin tried to combine orchestral performance with shifting patterns of light and color to represent \"the active energy of the universe,\" but his utopian aspirations were attached more to a mystical conception of the integrated work of art than to any particular social program. By the 1930s, however, the Prometheus myth had become an ideological battleground, appropriated by groups of all political persuasions. Arno Breker used it for his 1935 depiction of the idealized Nazi body, while Jacques Lipchitz, treating the myth as a metaphor for the struggle between democracy and fascism, created a series of Cubist variations culminating in a thirty-foot plaster sculpture, _Prometheus Strangling the Vulture_ , designed for the 1937 International Exhibition in Paris (figures 1.6\u20131.7). In North America during the same period, Paul Manship made Prometheus embody the spirit of capitalism in the gilded bronze sculpture installed at Rockefeller Center in 1934, while Jos\u00e9 Clement Orozco transformed the myth in one of his most important leftist mural paintings (figure 1.8). Following in the tradition of Karl Marx's repeated invocations of Prometheus, the myth was also linked to the Soviet cause in books such as Cecil Day-Lewis' _The Mind in Chains: Socialism and the Cultural Revolution_ (1937) and films like _Prometei_ (Ivan Kavaleridze, 1935).\n\nFIGURE 1.6 Prometheus _(Arno Breker, 1935, Breker-Museum, Noervenich Castle, Germany)._\n\nFIGURE 1.7 Prometheus Strangling the Vulture _(Jacques Lipchitz, 1953 bronze casting at the Philadelphia Museum of Art of a sculpture originally made in plaster for the 1937 International Exhibition in Paris; photograph courtesy the Philadelphia Museum of Art \/ Art Resource, NY)._\n\nReferences to Prometheus, particularly to Aeschylus' _Prometheus Bound_ (fifth century BCE), also circulated in post\u2013World War I French film culture, a more proximate source for Gance's film. The most overt manifestation of this is Marcel L'Herbier's _Prom\u00e9th\u00e9e_... _banquier_ (1921), the first important film version of the legend after Louis Feuillade's now lost _Prom\u00e9th\u00e9e_ (1908). With the dandyish wit that he had earlier demonstrated in films like _Rose-France_ (1918), L'Herbier depicts an overzealous banker tied to his desk and unable to leave for fear of missing a stock update, using his parodic reworking of Aeschylus to wryly comment on the all-consuming nature of the market. L'Herbier's film was made for a small cine-club audience and attempts to recuperate an idea of noncommercial art-making by concealing his mythic symbols beneath several layers of mock irony. In Gance's major films, by contrast, the figure of Prometheus is treated with absolute sincerity and is frequently aligned with Christ. Gance's particular brand of late Romanticism views the artist as a suffering martyr and demiurge, fusing these two strains together as Gustave Moreau had done in his iconic 1868 painting, _Prometheus_ , in which the head of Christ is grafted atop the body of the Titan (figure 1.9). Gance's representations of his own Christ-Prometheans\u2014Jean Diaz in _J'accuse_ , Napoleon, and the prophet of _La Fin du monde_ (1931)\u2014are rendered more ambiguous by the melodramatic complexities of his narratives and the occasionally heterodox nature of his symbolic associations, but the syncretic iconography used to identify them is openly, even shockingly, direct (figure 1.10).\n\nFIGURE 1.8 _Paul Manship's 1933_ Prometheus _statue installed in the plaza of Rockefeller Center (photograph by Samuel H. Gottscho, 1934, courtesy the Museum of the City of New York \/ Art Resource, NY)._\n\nIn making _Napol\u00e9on_ , Gance attempted to fulfill his dream of 1912 by creating a massive film synthesizing all the arts that would be a \"Gospel of the future, a bridge of dreams leading from one era to another.\" He frequently compared his films to symphonies and frescoes, and, like _Napol\u00e9on_ , many of his earlier works refer to masterpieces from the other arts, such as the Beethoven pieces visually \"performed\" in _La Dixi\u00e8me Symphonie_ and the reproduction of Sandro Botticelli's _Birth of Venus_ (1485) used as the backdrop for the \"Dance of Death\" sequence in _J'accuse_. For many of the most important theorists and critics of the era (Delluc, \u00c9mile Vuillermoz, and even Gance's friend Jean Epstein), these were retrograde elements in the work of a prodigious innovator whose main achievement was his control of rhythm and the concomitant liberation of cinematic plasticity from the constraints of narrative. In _La Roue_ , for example, Gance alternates shots of a train with increasingly brief shots of pieces of the rail and of the surrounding landscape, gradually reducing the number of frames per shot until he is finally intercutting barely perceptible images. These montage bursts had an enormous impact on Gance's contemporaries and elicited rhapsodic praise from artists and filmmakers interested in raising the cultural status of cinema. Fernand L\u00e9ger (who designed the poster for the film) spoke for many of his colleagues when he wrote, \"With _La Roue_ , Abel Gance has elevated the art of film to the plane of the plastic arts.\"\n\nFIGURE 1.9 Prometheus _(Gustave Moreau, 1868, Mus\u00e9e Gustave Moreau, Paris; photograph \u00a9 RMN-Grand Palais \/ Art Resource, NY)._\n\nFIGURE 1.10 _Abel Gance as Christ in_ La Fin du monde _(Abel Gance, 1931)._\n\nUnlike those filmmakers who called for \"pure\" films and an alternative cinematic avant-garde, Gance insisted that cinema must be \"an art of the people,\" and he tried to incorporate even his most extreme poetic flourishes into the generic framework of the melodrama ( _Mater Dolorosa_ , 1917; _J'accuse; La Roue_ ) and the epic ( _Napol\u00e9on_ ). For this reason, he attempted to provide a narrative rationale for his single-frame editing by including or superimposing images of the protagonists\u2014like young Napoleon during the snowball fight\u2014within his montage bursts, thereby locating them within a character's subjectivity. The fact that his dramatic cutting style has such a pronounced impact on audiences, and is therefore mentioned most prominently in reviews, has tended to obscure the fact that Gance also made extensive use of compositions in depth. In _La Roue_ , for example, the interchange between circular forms and frames within frames (demarcated by internal objects like window panes and by creative masking) set off against diagonal movement in the distance frequently suggests an adaptation into cinema of the principles of Cubist art. Like von Stroheim, Gance also uses these layered compositions to situate the tribulations of his characters within an expansive fictional world, but the difference in their treatment of similar stylistic devices is instructive. In _Queen Kelly_ , von Stroheim makes use at one point of a \"triple screen\" effect created through superimposition, using the splintering of the image not to emphasize plastic values, but to convey complex mental states (figure 1.11).\n\nFIGURE 1.11 _The mental state of Kelly expressed through the splintering of the image in_ Queen Kelly _(Erich von Stroheim, 1929)._\n\nWhere Griffith's editing is dynamic and integrative, linking or rhyming action across time and space, and von Stroheim's is structured around the accumulation of subtly interrelated details, Gance's fundamental mode is ecstatic. In _Napol\u00e9on_ , Gance employed virtually every technique at his disposal, and he invented several others, including a 360-degree camera mechanism that could be operated remotely. All of these were introduced to increase the affective participation of the viewer, to, in Gance's words, \"make the spectator become an actor... to involve him at every level in the unfolding of the action... to sweep him away on the flow of pictures.\" Gance's objective was to enhance collective involvement in the diegetic process, and he frequently used combinations of camera movement and rapid cutting to achieve this effect, thematically connecting them to representative events. One of the most striking instances is the scene in which \"La Marseillaise\" is first performed. Gance alternates low-angle shots of individual figures with high-angle shots of the increasingly energized crowd (Napoleon, who has not yet \"entered history,\" is off to the side). The length of the shots is modulated like _La Roue_ , with legendary characters like Danton and anonymous faces intercut at varying speeds, steadily building momentum until finally a superimposed figure representing the Revolution appears in the Convention Hall. Although the sequence includes several paroxysmic sections, the development of the montage also creates an impression of solidarity that includes the audience watching the film as well as the onscreen characters.\n\nThe triptych sequences in _Napol\u00e9on_ fuse Gance's interest in maximizing the sensory impact of his imagery with his desire to engender a greater degree of spectatorial engagement. He did not, however, want his film to become overwhelmed by technological spectacle, and he chose not to use the footage shot using the \"Berton\" process, which, in conjunction with a stereoscopic projection technique Gance developed in 1920, gave the images both relief and color. According to Gance, \"The 3D effects were very good, and very pronounced,\" but he felt \"that if the audience saw this effect they would be seduced by it and would be less interested in the content of the film.... The 3D effect did not encourage the same feeling for rhythm in the audience.\" For Gance, rhythm remained the key to cinematic poetics, and he quickly adapted the triptych technique to serve these purposes, using it to create polyphonic arrangements of distinct but related images. The symphonic aspects of his approach are abundantly evident in the final few moments of the film, in which many of the motifs used earlier are interlaced across the three screens, grounded by arch-Romantic images of Napoleon looking out over the foggy landscape from the peak of a mountain, like the figure in Caspar David Friedrich's _Wanderer Above a Sea of Fog_ (1817) (figures 1.12\u20131.13). The orchestration of these visual elements builds in intensity until, finally, both the protagonist and the film achieve a joint apotheosis signaled by the cuts from a symbolic eagle flying across all three screens to a series of images in which Napoleon's face is connected to Promethean flames, mathematical formulas, and the waves of history.\n\nThe Brownlow restorations of _Napol\u00e9on_ include only this one tinted triptych reel, but the premiere version included an even more radically contrapuntal triple-screen sequence, the \"Double Tempest\" montage derived from Hugo's _Ninety-Three_ , which has unfortunately been lost. In the first film adaptation of Hugo's novel ( _Quatre-vingt-treize_ , Albert Capellani and Andr\u00e9 Antoine, 1914\/21), the passage from which the sequence in _Napol\u00e9on_ originates had been condensed to an intertitle\u2014\"In Paris, summer of '93, among the tempests.\" Gance instead uses Hugo's text as the basis for an extended montage that deepens the implied relationship between the disintegration of the assembly and Napoleon's absorption of its revolutionary energies. The dynamic fusion of superimposition and rapid editing is most emphatic here, and it was more pronounced in the original triptych, in which Gance was able to compose \"a veritable apocalyptic fresco, a mobile symphony in which, with eight superimpositions per frame, there were sometimes twenty-four interconnected visions.\" Within this maelstrom of densely layered images, movements were able to resonate with one another across all three screens; although it would be impossible for viewers to relate all the individual fragments together, the cumulative effect must have been extraordinarily intense. This triptych would also have provided a structural echo of the final sequence, making the fundamental interdependence of physical scale (the triple screen) and explosive plasticity within _Napol\u00e9on vu par Abel Gance_ much more apparent.\n\nFIGURE 1.12 _Napoleon looking out from a mountain peak in_ Napol\u00e9on vu par Abel Gance _(Abel Gance, 1927) (courtesy Photoplay Productions)._\n\nAstonishing as it may seem, _J'accuse, La Roue_ , and even _Napol\u00e9on_ were all seen by Gance as detours on the path toward the realization of his comparative religion project, which he continued to expand throughout the 1920s. For Gance, the utopian promise of silent cinema, what Faure called its \"social destiny,\" was rooted in its constructive capacity, its ability to create a sense of community based upon shared visual experience. The universality of cinema, linked throughout Gance's and Faure's writings to both science and religion, would become the foundation for a newly harmonious social construction, one in which fundamental differences would be recognized and overcome. As Gance explained, his comparative religion project was intended to literalize all of this:\n\nThis series, _The Great Initiates_ , concerning the life of the apostolate of the great creators of religion, will thereby bring to the cinema hundreds of millions of new spectators: Hindus, Buddhists, Muslims, Jews, etc. These millions of spectators, who will come to the cinema, as they come to their churches, only for these great, _in-depth_ religious spectacles, will thus learn, after having communed with their gods, to envisage with tolerance and understanding the beauty, the poetry, and the _similarity_ of different religions.\n\nIn this too, Gance reveals his deep affinity with the vigorous, if rhetorically excessive, thought of Faure:\n\nThe mosque, the pagoda, or the cathedral express, in their ensemble, the great emotional and lyrical depths that only the enthusiasm of the crowd is capable of stirring up. And the cinema should be the mosque, the pagoda, and the cathedral at the same time. A mosque, a pagoda, a cathedral widened to reach the undefined limits of living humanity, past or future, to reach telescopic or microscopic forms and movements\u2014the unanimous orchestra, with a thousand associated instruments, of sensitivity, and intelligence, and the multitudes in action.\n\nIf this project could be completed and widely seen, Gance hoped it might be possible to bring East and West together by fusing the \"contemplative serenity of the Buddha\" with the energy of \"Julius Caesar, Napoleon, Nietzsche, Delacroix, Shakespeare, Machiavelli, Michelangelo.\"\n\nThe overall plan for the project also entailed the supervision of a number of films made by non-Western peoples about their own religions. Each of these films would have been supported\u2014financially, technically, and philosophically\u2014by an organization led by Gance in Europe, and he argued that this would help bring about the cinematic self-actualization of these different religious communities, enabling them to help \"build this cathedral... to [contribute] to a universal religious poem.\" Citing Novalis (\"Each image is an incantation\"), Gance declares that cinema is \"a sort of magic\" that he wants to \"give to all the peoples of the earth, so that they will, thanks to it, know their religious soul more profoundly and, through it, love the common God of the future.\" It goes without saying that, within this schema, Gance himself would have been the agent of Promethean revolution, extending the universalizing democratic ideals espoused in _Napol\u00e9on_ worldwide. The \"identical elements\" in this cycle of films\u2014 _Jesus, Moses, Mohammed, Brahma, Confucius_ , and _Buddha_ \u2014were to be \"synthesized in _La Fin du monde_ and _L'Annonciation_ , written by Mr. Abel Gance, religious epics of the future that will be the international beginnings of the new Gospel of Light that the cinema alone can give to the future.\"\n\nFIGURE 1.13 Wanderer Above a Sea of Fog _(Caspar David Friedrich, 1817; photograph \u00a9 bpk, Berlin \/ Hamburger Kunsthalle \/ Elke Walford \/ Art Resource, NY)._\n\nMaking such a project happen, Gance increasingly came to recognize, would require a reorientation of the distribution networks of cinema. Despite its strong national focus, _Napol\u00e9on_ was an extremely international project. The film was initially financed by the Russian \u00e9migr\u00e9 Wladimir Wengeroff with the support of the German financier Hugo Stinnes and groups from Sweden, Spain, Czechoslovakia, and England, as well as France, with Gance retaining total creative control. This was only a temporary solution for Gance, a first step toward the establishment of a European production and distribution consortium that would have acted as an umbrella organization guaranteeing artistic freedom (and an alternative to American cinematic hegemony) for strong directors from throughout the continent. He also made a proposal to the League of Nations for the creation of a special film division, the \"Section cin\u00e9matographique de la SDN,\" which would have provided financial support to certain filmmakers and could also have contributed to international arbitration. Gance hoped that disputes between different countries could be addressed by the use of images representing their respective points of view, a conceptual shot\/countershot exchange that would be resolved in Geneva.\n\nNeither project came to fruition, but while they perfectly reflect Gance's dream of the cinema, they are also representative of their historical moment, the most quixotic manifestations of an internationalist impulse shared by many filmmakers for a few short years in the mid-1920s. It was, after all, in this same period that Dziga Vertov attempted to demonstrate the unity through diversity of the early Soviet state through his Whitmanian _One Sixth of the World_ (1926) and Walter Ruttmann created his amalgamation of world cultures, _Melody of the World_ (1929). Although it was never made, Griffith also announced plans for a \"pictorial history of the world\" to be created with funding from both the United States and Europe, claiming that since cinema \"uses a universal language [it] is, therefore, a suitable medium for the exposition of a universal history. In this film history, it is hoped to give a thorough general idea of the whole history of the world.\" Speaking in Paris in 1926, Fritz Lang even argued that through the \"silent speech of its moving images, in a language that is equally understood in all hemispheres, film can make an honest contribution to repairing the chaos that has prevented nations from seeing each other as they really are ever since the tower of Babel.\" This idealism did not last long. Late in 1929, the First International Film Congress of the Independent Film was held at La Sarraz, and directors from the fourteen participating countries proudly proclaimed the formation of an \"Internationale of the Avant-Garde.\" Concerned about an increasingly tense political situation, the global economic crisis, and the rising costs of sound film production, it was publicly dissolved one year later at the Second Congress in Brussels.\n\nShortly thereafter, the tatters of Gance's _La Fin du monde_ , an apocalyptic disaster movie that was also a paean to universal brotherhood, were released. Gance had hoped to expand the techniques used to unify space and time in _Napol\u00e9on_ , utilizing the triple screen for the entirety of the film. However, the financial caution of the film's backers, aware of Gance's reputation for overspending and the logistical difficulties imposed by sound equipment, made it impossible for him to realize these plans or to make a film on the scale he wanted, setting a pattern that would haunt Gance for the remainder of his career. Rather than reducing the number of themes, he simplified his figures into the barest archetypes, linking unrelated mythic threads together in a frequently disorienting way. To some extent, this mirrors the muddled origins of the project, which began as the third part of the war trilogy that started with _J'accuse_ but is also descended from one of Gance's earliest undertakings, a 1911 \"tragicomic ballet\" in four acts. The earlier _La Fin du monde_ was developed at a time when Gance's long-term goal was the creation of a cinematic cycle in which all of Western mythology would be brought together. The film Gance finally began working on in the late 1920s still bears traces of this mad ambition, and of other aborted projects like _The Passion of Jesus_ , but the presence of sound makes the lofty, poetic language he adopts appear hysterically strident and renders the montage of his \"dynamite images\" hyperbolic. Gance performed a number of audio experiments before production began, and he argued a few years later that sound \"comes to us through the eyes,\" suggesting that \"sound perspective\" will allow one to realize \"a synthesis, a symphony.\" Nevertheless, the sound in the extant versions of _La Fin du monde_ is, with a few notable exceptions, extremely banal, and most of the dialogue is recorded in extremely static scenes that, because of the drastic shortening of the film by the producers, are often cut together in surprisingly awkward ways.\n\nThe stylistic heterogeneity and intellectual mishmash of _La Fin du monde_ is perfectly complemented by its ideological confusion. The prophetic, half-crazed poet Jean Novalic (Gance) is portrayed as a Christ figure, while his brother, the astronomer Martial Novalic, uses radio broadcasts and vaguely demagogic speeches to unite all governments together. Perhaps as a result of the failure of his film division proposal, Gance views the existing League of Nations\u2014shown to be inept in the face of pending catastrophe\u2014with great suspicion, and although he does bring different religions together in a moment of prayer (this section of _La Fin du monde_ is as close as Gance ever came to realizing the comparative religion project), this occurs only under the threat of global annihilation. Despite the film's didactic expressions of faith in mankind, the overall tone is dourly pessimistic; the Christ-Promethean seer ends up in an asylum while the world parties itself to destruction. The only hope for humanity lies with the charismatic Martial Novalic, who is able to electrify the enormous audience of the \"One World Congress\" by announcing (like Napoleon) the formation of a Universal Republic.\n\nUntil his death in the early 1980s, Gance's language remained closely tied to that he employed in the silent era. Repositioning his triple-screen \"Polyvision\" as the precursor to CinemaScope in the 1950s, Gance argued that \"[it] will suddenly open wide the eyes of modern man, who no longer believes in miracles. You only need to reread Nietzsche's _The Birth of Tragedy_ [1872] to understand that the way ahead is the one I am indicating.\" Gance never abandoned his belief in the power of the awe-inspiring image, reworking similar themes and sometimes even remaking the same films in the hopes of reaching his audience in more intense ways. In the decades following the failure of _La Fin du monde, Napol\u00e9on_ remained Gance's great obsession, but he also returned to his other silent triumphs, incorporating a new version of the rising of the dead in his 1937 sound remake of _J'accuse_ and later using that reworked sequence in a special Polyvision presentation in the 1950s. Gance's emphatic style remained present in these later iterations, but it appeared increasingly disconnected from the complexities of the era, more ingenuous than incisive. Gance demonstrated the political na\u00efvet\u00e9 that had been highlighted by _La Fin du monde_ repeatedly in the years that followed. In 1939, he went to Franco-dominated Spain to begin work on a \"Spanish Trilogy\" that would examine the figures of Christopher Columbus, El Cid, and St. Ignatius of Loyola because \"the cinema is above all a machine for resurrecting heroes.\" A few years later, he made politically \"neutral\" films in occupied France, one of which ( _Blind Venus_ , 1941) originally included an opening dedication to Marshal P\u00e9tain. In each of these cases, Gance, who later argued that \"the two words Left and Right are for me... antiquated,\" followed the same independent course he had always pursued, without fully understanding the degree to which these different historical and geopolitical contexts would inevitably shape the meaning of his work.\n\n_Napol\u00e9on vu par Abel Gance_ was the last film of its length Gance would ever complete, but he continued to dream up ever larger projects for several decades, notwithstanding the cuts made even to his completed films. _Un grand amour de Beethoven_ (1936), which originally ran for four hours, was reduced to roughly half that length by the distributor so that it could be included in double bills. Within months, Gance had outlined a new project tracing the history of France, embodied by \"a young and beautiful woman,\" from the Stone Age to the twentieth century in 122 \"poetic and symbolic acts,\" culminating in the \"Great Exposition of 1937.\" Gance regarded each individual failure or commercial assignment as nothing more than a temporary setback, and while he was more amenable to temporary compromise than von Stroheim, he never relinquished the dream of the long, culturally weighty epic. He presented a proposal for a multipart film called _The Divine Tragedy_ to Pope Pius XII in the late 1940s, worked to raise funding for a Polyvision version of _The Kingdom of the Earth_ in the 1950s, and later met with Mao Zedong and Zhou Enlai to discuss the coproduction of a Polyvision epic about the Long March. Without Gance realizing it, however, the unfettered idealism of the silent era had given way to the more constrained, largely studio-bound realities of sound cinema. By the time _La Fin du monde_ was released, it was already an anachronism; Gance's \"Era of the Image\" was over, and it would be decades before anyone would attempt to revive it.\n\n### Utopia and Its Discontents\n\nThen, sure of their own rights\n\nAnd of the heavenly fire\n\nDefiant rebels mocked, not till then\n\nDespising mortal ways,\n\nChose foolhardy arrogance\n\nAnd strove to become the equals of gods.\n\n\u2014FRIEDRICH H\u00d6LDERLIN, \"THE RHINE\" (1801\u20131802)\n\nFIGURE 1.14 _Albert Speer's cathedral of light at the 1937 Nuremberg Rally (photograph \u00a9 bpk, Berlin \/ Foto Marburg \/ Heinrich Hoffmann \/ Art Resource, NY)._\n\nBeginning in 1934, the Nuremberg Rallies concluded with a \"cathedral of light\" designed by Albert Speer, in which 130 antiaircraft searchlights projecting to a height of more than 20,000 feet were combined to simulate the appearance of an enormous building (figure 1.14). There could be no clearer manifestation of the collapse of the silent era rhetoric of figures like Gance. By 1934, the image of a Napoleonic unifier of Europe and the idea of a \"Universal Republic,\" presented with such enthusiasm in the 1920s, had taken on much darker implications. As Leni Riefenstahl's _Triumph of the Will_ (1935) demonstrates, the rituals and pageantry of the Nuremberg Rallies were predicated upon a highly orchestrated combination of speech and imagery, an ersatz cinematic hybrid that was explicitly derived from the Wagnerian _Gesamtkunstwerk_. To attempt to recuperate these ideas in the post-Nazi period, to retrieve the Romantic cathedral from its misappropriation, required a realignment of the elements that constituted that fusion. In his introduction to the epic theater piece _Mahogany_ (1930), Bertolt Brecht famously argued that \"witchcraft... intended to produce hypnosis, is likely to induce sordid intoxication,\" and that this form of _Gesamtkunstwerk_ must be resisted by making \"words, music, and setting... more independent of one another.\" For Brecht, a more dialectical synthesis could be achieved only through the heightened self-consciousness made possible by the meaningful juxtaposition of elements that retain their own identity. This is precisely what Manoel de Oliveira in his seven-hour _The Satin Slipper_ (1985) and especially Hans-J\u00fcrgen Syberberg in films such as the seven-and-a-half-hour _Hitler, a Film from Germany_ (1977) tried to do, using a surfeit of talk to establish a new relationship with the image-oriented aesthetics of the silent cinema and its operatic models.\n\nThe major long-form films of Oliveira and Syberberg are the most extreme of the many important works released during a fifteen-year period running from the early 1970s to the mid-1980s in which cinematic opera was pursued with greater seriousness than at any point since the advent of sound. Other representative films from this era include _Ludwig_ (Luchino Visconti, 1972), _The Death of Maria Malibran_ (Werner Schroeter, 1972), _Moses and Aaron_ (Jean-Marie Straub and Dani\u00e8le Huillet, 1975), _The Magic Flute_ (Ingmar Bergman, 1975), _La Luna_ (Bernardo Bertolucci, 1979), _Don Giovanni_ (Joseph Losey, 1979), _Palermo or Wolfsburg_ (Werner Schroeter, 1980), _Fitzcarraldo_ (Werner Herzog, 1982), _And the Ship Sails On_ (Federico Fellini, 1983), _The Power of Emotions_ (Alexander Kluge, 1983), and _Carmen_ (Francesco Rosi, 1984). That many of these films are influenced by Brecht's ideas reflects both the renewed interest in his work in these years and the degree to which the peculiar illusionism of opera, with its audiovisual integration of the other arts, could be used reflexively to interrogate the cinema's \"hypnotic\" form of spectatorship (a central issue in period debates). Syberberg, who began his career by filming performances of Brecht's Berliner Ensemble with an 8mm camera, develops this further in both _Hitler, a Film from Germany_ and _Parsifal_ (1982) by using a conceptually rich system of front projection to highlight the psychological processes involved in film viewing. This strategy, in which an on-set projector is synchronized with the movement of the camera, effectively (and inexpensively) monumentalizes techniques more commonly used for slide shows. Static reproductions of paintings and documentary footage of rallies are able to coexist in the performance space while remaining detached, as if they were the psychic ground out of which the figures and speech emerge, or the phantasmatic echoes of the cultural models co-opted, as the narrator caustically explains, during the Nazi era (figure 1.15).\n\nMany of the images projected in _Hitler, a Film from Germany_ are canonical examples of Romantic art (such as Blake's _The Ancient of Days_ , 1794; Runge's _The Great Morning_ , 1809\u20131810; and Friedrich's _The Sea of Ice_ , 1823\u20131824). Their prominence ironically underpins Syberberg's central argument that Nazism presented itself as the fulfillment of Romanticism and, in so doing, permanently tainted its legacy. The circus barker at the beginning declares that the film will work through sentiments that have now become \"taboo,\" and it is no coincidence that the first part is replete with plastic dolls, phalluses, and verbal references to Sigmund Freud. Syberberg's early documentary work reveals a keen fascination with the expressive possibilities of cinematic portraiture, the use of the recording properties of the camera to capture gestures and faces in flux. In _Hitler, a Film from Germany_ , the techniques used to explore the construction of a cinematic star image ( _Romy, Portrait of a Face_ , 1966) or mythologizing narratives ( _Winifred Wagner and the House of Wahnfried_ , 1975) are applied to a figure who had demagogically mastered both. The narrator's language and the overall organization of the film suggest that Hitler's popular success derived from his manipulation of an essentially cinematic mode of self-presentation. Syberberg's examination of the mechanics of projection are, in this way, extended to both the Nazi aestheticization of politics, epitomized by the central gambit of Hitler as filmmaker, and the collective fantasies projected onto \"our Hitler, the Hitler within us.\" The discordance between the scale of those projected aspirations and conventional biography makes it impossible to represent a singular \"Hitler,\" and Syberberg instead attempts to force a confrontation with the repressed through dispersal and repetition. The extravagant aesthetic constructions of Speer and Joseph Goebbels' \"Romanticism of steel\" are replaced by kitsch objects and wildly expressionist physical performances, a bric-a-brac burlesque of history intended to provoke a therapeutic engagement with the irrational forces that made this form of \"reactionary modernism\" possible.\n\nFIGURE 1.15 Hitler, a Film from Germany _(Hans-J\u00fcrgen Syberberg, 1977)._\n\nSyberberg's choice and treatment of images is informed by his art historical studies at the University of Munich in the mid-1950s, especially by the method of Hans Sedlmayr, as important an influence on Syberberg as Faure was on Gance. A central figure in the New Vienna School of art history in the 1920s and 1930s and an avatar of cultural pessimism in the 1940s and 1950s, Sedlmayr advocated a form of seeing that would enable a work to be \"penetrated through contemplation or conceptualization.\" Since \"a work of art only exists through a particular attitude in which virtually the entire historical situation is concentrated,\" close analysis of salient details, however apparently minor, could facilitate insight into the entire \"structure\" of a particular epoch. In one of his most important books, Sedlmayr applied this method to the Gothic cathedral, which he repeatedly compared to a _Gesamtkunstwerk_. Like Sedlmayr's mentor Alois Riegl, Syberberg sees _Kunstwollen_ in both high and low culture, in the Bayreuth presentations of Wagner as well as the culinary customs of Obsersalzberg. He also finds it in films ranging from _Siegfried_ (Fritz Lang, 1924) to _Kolberg_ (Veit Harlan, 1945), almost literalizing the thesis of Siegfried Kracauer's study _From Caligari to Hitler: A Psychological History of the German Film_ (1947). Syberberg, however, resists both Kracauer's political engagement and Riegl's refusal of aesthetic judgment, ardently sympathizing with artists crushed by the forces of bureaucracy. Special sections of \"Hell\" are reserved for those who persecuted the creators of ambitious projects that parallel his own: von Stroheim, Thomas Mann, and the Eisenstein of censored or unfinished works like _Bezhin Meadow_ (1936) and _Ivan the Terrible_ (1944\u20131946). Syberberg's juxtapositions can be seen as elaborations of Eisenstein's intrashot montage (by way of Surrealist collage), and Mann's _Doctor Faustus_ (1947), with its mourning for the German culture destroyed by the Nazis, offers an apposite reference point for the darkly ironic melancholy of _Hitler, a Film from Germany_. The strongest identifications of all are with von Stroheim's utopian desire to make a gargantuan film and with the sense of martyrdom that accompanied his failure. A cardboard cutout of the Iron Man from _The Wedding March_ \u2014interpreted by Syberberg as \"the laughing emblem of black, strong evil, according to an old tradition\"\u2014appears at the end of the first and the final parts of _Hitler, a Film from Germany_.\n\nOpenly aligning himself with the German Romantics, Syberberg has described the \"Promethean gift of fire\" as the \"wellspring of life out of which art itself is fashioned,\" arguing that \"film's play of dead light represents the destruction of the world, the director as demiurge.\" Near the beginning of part four of _Hitler, a Film from Germany_ , the narrator suggests that the searchlights at Nuremberg, the same lights used to construct Speer's \"cathedral,\" were all symbolically focused on \"the same point, the stairs where Hitler made his appearance.\" For Syberberg, Hitler functioned as the false Prometheus, whose perverse desire to act as the protagonist of his own cataclysmic _Gesamtkunstwerk_ drained Western tradition\u2014the \"spiritual and intellectual legacies of Aeschylus and Sophocles, of the mystery play and Shakespeare, of the German Romantic theater, _Sturm und Drang_ , the revolutions of German classicism before Brecht\"\u2014of its authority. The original screenplay includes an unfilmed scene, originally near the end of part one, that upends the Gancian paradigm by depicting two soldiers striding \"as though toward eternity, in commemoration of their adored F\u00fchrer,\" accompanied by Heinrich Heine's ballad about two grenadiers loyal \"to the memory of Napoleon... waiting for the resurrection of their leader from the grave\" and culminating in a version of \"La Marseillaise\" composed by Wagner. Similar ideas are visualized in part two (\"A German Dream\"), with Hitler shown emerging from Wagner's grave in a restaging of one of Gustave Dor\u00e9's illustrations for _The Divine Comedy_ (1857\u20131868).\n\nSyberberg's film traces a Dantean pilgrimage confined almost entirely to the Inferno, as repeated allusions to circles of Hell and the title of the final part (\"We Children of Hell\") confirms. The four-part structure is equally indebted to the tetralogy of Wagner's _Der Ring des Nibelungen_ (and, further back, to the trilogy plus commentary mode of ancient Greek theater). Wagner's series of \"music dramas\" begins with the construction of Valhalla in _Das Rheingold_ and ends with its destruction in _G\u00f6tterd\u00e4mmerung. Hitler, a Film from Germany_ instead begins, like Syberberg's five-hour documentary on Winifred Wagner and his subsequent _Parsifal_ , in postapocalyptic ruins. The concluding music of _G\u00f6tterd\u00e4mmerung_ recapitulates the dominant threads of the earlier operas, and Syberberg's film remains metaphorically caught within these motivic loops, which are first used during the credits of part one and recur frequently thereafter. The book Syberberg published just before making _Hitler, a Film from Germany_ includes a section called \"My _Trauerarbeit_ for Bayreuth,\" and this idea of mourning work may help explain the film's manic tone and the ubiquitous references to Albrecht D\u00fcrer's _Melancholia I_ (1514) (figure 1.16). Freud argued that melancholia entails \"opposed feelings of love and hate,\" which \"reinforce an already existing ambivalence\" and manifest themselves through complex systems of projection. The repetitive, oscillating form of Syberberg's film seems designed to evoke (and work through) this condition. Only by plunging into the \"Black Hole\" of memory could the unassailable guilt of the Nazi era be metamorphosed into what the narrator calls \"the cathedral for our music.\"\n\nSignificantly, _Hitler, a Film from Germany_ ends not with Wagner, but with Beethoven. The \"Ode to Joy\" from Beethoven's Ninth Symphony (opus 125, 1824) provides what little evidence there is of Paradise at the end of the film. Yet the music ends in a suspension, with the dramatic final chorus replaced by faint passages of the freedom music from Beethoven's opera _Fidelio_ (opus 72, 1805) heard, according to Syberberg, \"as if... by the inner ear.\" Both pieces bring with them contradictory associations: the Ninth Symphony was, as musicologist Esteban Buch has pointed out, \"the most frequently played work in the entire symphonic repertoire\" in 1941\u20131942, and while _Fidelio_ had been used to reopen the destroyed Vienna State Opera house in 1955, it had also been treated as a \"prophetic\" work after the Anschluss. The imagery in the final section is similarly ambivalent. As the \"Ode to Joy\" begins, Syberberg's daughter appears with film strips draped around her head; her journey into the mists is framed by an image derived from Claude-Nicolas Ledoux's drawing _The Eye: Interior of a Theater_ (1800), with a miniature reproduction of Thomas Edison's Black Maria studio trapped inside a snow globe substituting for the vision of the Theatre de Besan\u00e7on in the pupil (figure 1.17). The all-seeing eye created by an artist working for the ancien r\u00e9gime in eighteenth-century France is thereby linked to the late nineteenth-century origins of Syberberg's own medium as filtered through the iconography of Hollywood's greatest memory film, _Citizen Kane_ (Orson Welles, 1941). Both Ledoux's architecture and Welles' film had greater success in subsequent decades than they did at the time they were made, and Syberberg may have anticipated a similar response to his own work. More importantly, the juxtaposition suggests a tension between megalomaniacal manipulators of mass media (such as William Randolph Hearst surrogate Charles Foster Kane) and the state (sponsor of Ledoux's plans to redesign Paris) as well as the impossibility of art evading politics. The last gasp of the silent-era dream of complete creative control within a studio system, _Citizen Kane_ was also an anti-isolationist work released a mere three months before Pearl Harbor. Syberberg's film thus ends on a note of profound ambiguity, poised between a modernist recognition of its material structure, an acknowledgment of its historical position, and a yearning for a world beyond the limits of representation, for the \"Grail\" that appears after the end credits.\n\nFIGURE 1.16 Hitler, a Film from Germany _(Hans-J\u00fcrgen Syberberg, 1977)._\n\nFIGURE 1.17 Hitler, a Film from Germany _(Hans-J\u00fcrgen Syberberg, 1977)._\n\nThe slow zooms and dissolves used at the beginning of _Hitler, a Film from Germany_ recall the opening of _Citizen Kane_ , but where the Welles film ends by directly reversing these movements, bringing the film full circle behind the gates of Xanadu, the Syberberg film ends with forward movement into the space outside the earth. The implications of this shift are made clearer by comparison to the mirrored movements that open and close _The Satin Slipper_ , Manoel de Oliveira's adaptation of Paul Claudel's theatrical behemoth. Started in Paris in 1919 and completed in Tokyo five years later, _The Satin Slipper_ was an attempt to bridge the intellectual traditions of Old World Europe with the n\u014d and kabuki forms of Japanese theater. In 1946, Claudel called for a type of spectacle that would \"utilize radio, dance, music, and the cinema,\" all of which were incorporated into this theological _Gesamtkunstwerk_ , the culmination of a series of almost unperformably long plays. By converting _The Satin Slipper_ into cinema, Oliveira was able to bring Claudel's synthetic ideal to full fruition, using overtly theatrical staging to emphasize the fact that the most \"cinematic\" elements are those related to \"the body and to speech.\" Syberberg's film combines montages of archival radio broadcasts with exhausting and seemingly meandering verbal excursus from the actors, setting both in relation to the projected reproductions in the background to establish a Brechtian dialogue between different levels of understanding. Oliveira creates dialectical tension by complementary means, connecting Claudel's highly literary dialogues to long passages of direct address and using subtle camera movements to dynamize his own form of \"primitivist\" sound filmmaking.\n\nLike Syberberg, Oliveira had a pronounced interest in the processes of cinematic construction and in the boundary between theatrical and cinematic modes of representation. Oliveira referred to cinema as a \"ritual for filming rituals,\" and the most celebrated of his \"early\" works, _The Rite of Spring_ (1963), uses a Portuguese passion play to consider the relationship between cinema's documentary and fictional aspects. Several key films ( _Doomed Love_ , 1978; _Francisca_ , 1981; _The Satin Slipper_ ) treat the unfulfilled romantic longings of the protagonists with a combination of intense passion and reflective distance, while ironically drawing attention to the structures inside and outside the narrative that determine their fate. Painted backdrops, baroque compositions, and shifts in the tonality of light are all combined to create an elaborate meditation on various forms of confinement that contains and defuses the affect of the Romantic melodrama characteristic of Oliveira's sources, without disavowing the underling emotions. Inverting the poesis of the unbridled image, Oliveira instead emphasizes sound and voice, frequently pushing his imagery toward the presentational stasis of the tableau vivant. In _The Satin Slipper_ , he reduces film to its most basic elements, using simple cuts to connect otherwise disconnected locations in the manner of Georges M\u00e9li\u00e8s (also a reference point for the moon imagery in _Hitler, a Film from Germany_ ).\n\nClaudel's experiments with extreme duration were exactly contemporaneous with those of Gance. Their explorations of temporal scale were mutually reinforcing, and they both collaborated with Honegger to develop new forms of audiovisual montage (the script for _The Satin Slipper_ includes several references to cinematic techniques). As with Gance and Wagner, Claudel's work combined progressive and reactionary elements, and the universalist vision of _The Satin Slipper_ is inextricably wed to attitudes and assumptions that would now be regarded as chauvinist imperialism. Although a severely abridged version was presented in occupied France in 1943, the full text (lasting approximately eleven hours) was not performed theatrically until 1987, two years after the release of Oliveira's film. Adapting the play more than a half-century after its creation presented a group of interconnected challenges\u2014logistical and ideological\u2014that Oliveira addressed by including maps of the world onscreen and by using the paired movements at the beginning and end to enclose the main body of the work within the space of both the theater and the cinema.\n\nFIGURE 1.18 The Satin Slipper _(Manoel de Oliveira, 1985)._\n\nFIGURE 1.19 The Satin Slipper _(Manoel de Oliveira, 1985)._\n\nAlthough Oliveira's _The Satin Slipper_ is generally faithful to the original play, he modified the opening in which the narrator describes Claudel's four-part (or \"four-day\") structure and summons up musical instruments one by one, with the camera slowly moving backward to follow the movement of the audience members streaming in. This introductory sequence, a Brechtian \"baring of the device,\" ends with a zoom into the space of the movie screen (figure 1.18). After a title card announcing the beginning of the first \"day,\" a brief montage of historical paintings is accompanied by a voiceover situating the film's narrative amid the sixteenth-century transition of power away from Portugal to Spain with the death of crusading King Sebastian, the mythic embodiment of the spiritual-temporal \"Fifth Empire\" explored by Oliveira in several other films. Nearly seven hours later, the film concludes with a crane movement that resolves into a bird's-eye view, clearly showing the edge of the stage on which the action has been performed, the cameras used to \"record\" it, and a chorus repeating the word \"listen\" and calling for the \"deliverance of all trapped souls.\" Extended to both the audience and the onscreen characters, this benediction is applied most directly to protagonist Rodrigo, who appears here and at the end of the prologue strapped to a mast, merging the iconography of Christ and Odysseus (figure 1.19). \"Delivered\" from the film's diegetic boundaries but still figuratively caught between multiple levels of artistic representation, Rodrigo remains adrift, wandering toward an uncertain future, as the film ends.\n\nMuch like the Syberberg of _Hitler, a Film from Germany_ , the Oliveira of _The Satin Slipper_ eschews definitive resolution and foregrounds the mechanism of his own spectacle. In this respect, these inordinately long films are emblematic of post-1945 attempts to revitalize the seemingly compromised project of cathedral-building Romantic modernism. Acknowledging the historical fissure separating the 1970s and 1980s from the silent era, both directors end their most ambitious films with an original sound\/image synthesis suggesting a perpetual search, a Grail quest linked to the structure of cinema itself.\n\n## { 2 }\n\n## Toward the Temenos\n\nGREGORY MARKOPOULOS' _ENIAIOS_\n\nThe power of fire, or Flame... we designate by some trivial chemical name, thereby hiding from ourselves the essential character of wonder that dwells in it as in all things.\n\n\u2014THOMAS CARLYLE, _ON HEROES AND HERO WORSHIP, AND THE HEROIC IN HISTORY_ (1840)\n\nYou scare me, forests, as cathedrals do!\n\nYou howl like organs; and in your damned hearts,\n\nThose mourning-chambers where old death-rales ring,\n\nYour De Profundis echoes in response.\n\n\u2014CHARLES BAUDELAIRE, \"OBSESSION\" (1861)\n\nEniaios _at the Temenos, June 2004 (courtesy Noah Stout)._\nIn June 2004, June 2008, and June 2012, spectators from over a dozen countries convened in an open field in Greece to attend the premiere of the first eight cycles of Gregory Markopoulos' _Eniaios_. The most demanding and intransigent of all twentieth-century avant-garde film projects, the wholly silent _Eniaios_ is a monumental re-editing of the nearly one hundred films that Markopoulos had made over the course of five decades (1947\u20131992). Completed but not printed just before Markopoulos' death in 1992, the film was divided into twenty-two cycles running for three to five hours each, with a total estimated projection time of nearly eighty hours. Even more remarkable than its length was its dependence on the particular characteristics of its screening environment, the Temenos. Named after the ancient Greek word for a sacred precinct, Markopoulos' Temenos was located in Lyssarea, a small hilly area located approximately three thousand feet above sea level on the western side of the Peloponnese that also houses the village where Markopoulos' father was born. Lyssarea is part of Arcadia, the mythic birthplace of lyric poetry and the home to hundreds of ancient houses of healing. By choosing it as the site for his Temenos, Markopoulos acknowledged that one of its functions was to isolate the viewer from the vagaries of ordinary time, purging him of media pollution and allowing him to reconnect with the rhythms of the natural world. In both scale and form, _Eniaios_ is the most ambitious film ever made. Yet in its harmonization of viewing space and image and its emphasis on the mythic resonance of particular locations, it also constitutes a radical reformulation of the issues that preoccupied Markopoulos throughout his career, one that gives new meaning to the aspirations of the postwar avant-garde.\n\n### _Eniaios_ and the Avant-Garde Long Form\n\nFrom the late 1940s through the early 1960s, one measure of ambition in the avant-garde cinema was the creation of works of approximately feature length, such as Hans Richter's _Dreams that Money Can Buy_ (1946), Jean-Isadore Isou's _Venom and Eternity_ (1952), and Markopoulos' own _Serenity_ (1961, now lost). There were, of course, exceptions, most famously Andy Warhol's _Sleep_ (1963, 321 minutes) and _Empire_ (1964, 485 minutes), an eight-hour silent study of the Empire State Building from a static camera position. Although these works functioned as monuments to cinematic duration, they were both conceived and regarded more as conceptual experiments than as attempts to establish an epic avant-garde form that would develop over, rather than simply unfold within, time. There has always been considerable debate over whether or not _Empire_ was even meant to be viewed in its entirety as a unified work; as Warhol scholar Stephen Koch put it, \"The disjunction between the pristine idea and the eight-hour reality is literal and incommensurable.\" In form, tone, and sensibility, Warhol's longest films could not be more different from the mythopoeic epics of the early 1960s, although their very notoriety helped to catalyze a critical discussion about extreme duration that set the stage for the long-form projects that began to develop toward the end of the decade.\n\nHere, as in so many aspects of the 1960s avant-garde, Stan Brakhage played a decisive role. Even including the _Prelude_ , his _Dog Star Man_ (1961\u20131964) ran for a highly compressed seventy-five minutes, but he subsequently isolated all the different superimposed layers and expanded the work into the four-hour landmark _The Art of Vision_ (1965). Brakhage had not originally intended to \"unpack\" _Dog Star Man_ and did so in an effort to help explicate and give an overtly musical inflection to its structure, to present the \"visual symphony that _Dog Star Man can be seen as_ and also all the suites of which it is composed.\" As the Bach-inspired title indicates, the film, for all its richness, possesses an overt pedagogical element that is unusual for Brakhage, but it is precisely the explicitness of its attempt to redefine the parameters of epic cinema that enabled it to act as a model and a benchmark for other filmmakers. Even the 250 minutes of _The Art of Vision_ , however, paled in relation to the twenty-four-hour _Book of the Film_ that Brakhage first announced in 1968 while working on _Scenes from Under Childhood_ (1967\u20131970), the beginning of an extended autobiography. The project remained in flux for most of the next two decades, and, as P. Adams Sitney has pointed out, Brakhage \"tended to speak of _The Book of the Film_ as an aesthetic entity he was slowly coming to understand,\" with a variety of films included in different configurations and sometimes with alternate titles. Although Brakhage outlined the preferred sequencing, which also underwent changes, in catalogs of his work, _The Book of the Film_ does not appear to have had any public presentations as a complete entity, and the entire project came to an unexpected end with the dissolution of his marriage to Jane Collum in 1986.\n\nThe repeated changes and intuitive shifts within Brakhage's projected film stand in marked contrast to Hollis Frampton's _Magellan_ , a preplanned 369-day project that would trace a \"metahistory\" of cinema. In an interview with Bill Simon, Frampton identifies the start of his work on _Magellan_ as 1971, the year he published an essay entitled \"For a Metahistory of Film: Commonplace Notes and Hypotheses,\" in which he proposes \"to extricate cinema from its] circular maze by superimposing on it a second labyrinth (containing an exit)\u2014by positing something that has by now begun to come to concrete actuality: we might agree to call it an infinite cinema.\" _Magellan_ was designed to \"pass from _The Flicker_ [Tony Conrad, 1966] through _Unsere Afrikareise_ [Peter Kubelka, 1966], or _Tom, Tom, the Piper's Son_ [[Ken Jacobs, 1969], or _La R\u00e9gion centrale_ [Michael Snow, 1971] and beyond, in finite steps (each step a film), by exercising only one perfectly rational option in each move,\" with approximately two to five minutes of film screened each day of the year and longer films of up to an hour shown on days of particular significance, like the winter and summer solstice. Frampton saw _Magellan_ as a project, like James Joyce's _Finnegans Wake_ (1939), that would \"produce its own spectators, so to speak,\" and the utopianism of its conception resides in both the belief that the project could sustain interest over such a long period and the related idea that, by tracing a nonlinear \"metahistory\" of cinematic development, a history of human consciousness could also be mapped out.\n\nSitney has suggested that, among other things, this schema was informed by Frampton's then friendly, but agonistic, relationship with Brakhage and his serial projects. The fact that other prominent artists Frampton was in regular contact with at the time were then engaging in their most ambitious projects may also have played a role in his thinking. It was, after all, in the years around 1971 that Michael Snow released his _La R\u00e9gion centrale_ (180 minutes) and initiated his most exhaustively encyclopedic work _Rameau's Nephew by Diderot_ (1974, 270 minutes), and it was in 1972 that the Tate Gallery purchased the massive installation _Equivalent VIII_ , which Frampton's close friend Carl Andre had constructed several years before. _Magellan_ was expected, in its final form, to run for thirty-six hours, which would have made it the longest serial film ever made up to that point, but Frampton was able to complete only approximately ten hours before his death in 1984. Crucially, Frampton insisted that he did not intend for his work to be viewed in a single sustained sitting, describing a hypothetical \"marathon screening\" as a nightmare. At the same time, he also maintained that \"the last thing [he] would think about imposing on anyone is some ecclesiastical duty, as it were, of marching off to somewhere every day for a year to see what is typically two minutes of film.\" Frampton remained uncertain what venue would be most appropriate for his film cycle, realizing that the costs would be prohibitive even for a dedicated avant-garde screening space like Anthology Film Archives, and he considered finishing it in video rather than leaving it incomplete.\n\nMore deliberately unfinished, but also begun in the late 1960s, was the ongoing diary project of Jonas Mekas: _Diaries, Notes, and Sketches_. Markopoulos and Mekas are rarely discussed together, but Mekas' frequently in-camera editing certainly reveals at least an affinity with, if not a debt to, the Markopoulos films he wrote about so effusively in the _Village Voice_. Brakhage and Frampton were unable to complete their long-form epics because of personal circumstances, but Mekas' autobiographical project was conceived as a work in progress, continually expanding through a series of films with lengths running from a few minutes to five hours up until the present day. Often misunderstood as the work of a quixotic nostalgist, Mekas' best films are characterized by a complex tension between the perpetual present-tenseness of the onscreen images and the frequent reminders on the soundtrack that they are fragments of memory. This tension is developed furthest in Mekas' longest and richest film, the twelve-part _As I WasMoving Ahead Occasionally I Saw Brief Glimpses of Beauty_ (2000, 320 minutes), in which the director uses the voiceover to periodically highlight the gap between the time when the images, primarily from the years 1972\u20131985, were filmed and the moment of editing, around the turn of the millennium. On several occasions, Mekas draws attention to the passing of time, describing his late-night editing sessions or asking the viewer to measure the duration of a minute with him. The film itself proceeds nonsequentially, jumping backward and forward between events both major and minor in a highly subjective manner.\n\nMekas acknowledges the constraints of his own perspective repeatedly over the course of the film, announcing in one part that the footage being shown of his children is a record only of the way he sees them and may not correspond to their own experiences. At several points, this recognition turns into doubt about the relationship between a filmed \"record\" and a lived memory, and this begins to affect the cutting, with title cards such as \"Why Am I Filming All of This?\" acting as both structural and mnemonic interruptions. The entire film seems to be an elaborate attempt to map out the process the creative mind goes through in sifting through the fleeting events passing before it, and these formal disruptions are correlates for moments of psychic crisis. The ebullient affirmations of the film's final reel ostensibly act as testaments to a mental triumph over the quicksand of memory, but their ecstatic excess\u2014and the frequent invocations of \"my friends\"\u2014also points to a sort of overcompensation and serves as a reminder of a fundamental loneliness that will not and cannot be assuaged. In this context, Mekas' repeated use of the overture from Richard Wagner's _Parsifal_ (1882) is telling. It appears in most reels of the film and, in almost every case, it is used to link images of traveling with footage of friends. Friedrich Nietzsche excluded the prelude from his virulent attack on Wagner's last and most difficult opera, writing that there was a perfect clarity in \"the music as descriptive art, bringing to mind a shield with a design in relief on it... and finally, a sublime and extraordinary feeling, experience, happening of the soul, at the basis of the music.\" This description vividly encapsulates the resonance of the _Parsifal_ overture for Mekas, for whom it seems to connote memories of the Old Europe he was forced to leave in the 1940s and to suggest an insatiable desire for a past that cannot be recovered.\n\nIn _As I Was Moving Ahead Occasionally I Saw Brief Glimpses of Beauty_ , Mekas declares, \"I am a Romantic, I believe in Romanticism\" (figure 2.1). This also holds true for Brakhage\u2014though not for Frampton, whose _Magellan_ was partially intended as a critique of Romantic idealism\u2014but it was Markopoulos who most systematically employed Romantic iconography, motifs, and ideas to underpin his extraordinary ambitions. Markopoulos saw very little of the long-form serial projects of Brakhage, Frampton, and Mekas, but his own plans for a dedicated screening space, and for what would eventually become _Eniaios_ , were first developed during the same period, in the years between 1967 and 1971 when he rapidly extricated himself from the New York avant-garde community. These four filmmakers were all born within a few years of one another, and while the methods, forms, and ultimate implications of their projects differed radically, they all shared a utopian belief that the full potential of cinema could be realized only in works whose temporal scale bucked the normal patterns of film exhibition and inspired new forms of concentrated attention on the part of the spectator. Although it is only now being printed, Markopoulos' project stands alone most conspicuously in having been brought to completion in an integral form before the filmmaker's death.\n\nFIGURE 2.1 As I Was Moving Ahead Occasionally I Saw Brief Glimpses of Beauty _(Jonas Mekas, 2000)._\n\nIf for Mekas, Wagner's _Parsifal_ represents an abiding yearning, for Markopoulos it represented a dream realized. Wagner's final, five-hour opera was first performed in 1882 at the Bayreuth Festspielhaus built for him in the 1870s because he wanted to dissociate performances of his work from what he saw as the empty commercial spectacle of nineteenth-century Grand Opera. _Parsifal_ was initially reserved for exhibition only in that space, where performances could take on the character of a sacred ritual that would unite pagan and Christian traditions. By 1970, Markopoulos had become similarly disenchanted with the commercialization of avant-garde exhibition spaces, which he felt had \"compromised before compromise was necessary,\" and his sojourn in Europe quickly became a self-imposed exile. He removed all of his films from circulation and issued directives to archives instructing them not to screen the films in their possession, envisioning instead the creation of a dedicated viewing space, the Temenos, in which the \"specters\" of printing, distribution, and projection would be \"vanquished\" (figure 2.2). The conscious model for the Temenos was the special performance house in Bayreuth, and Markopoulos at one point considered Graub\u00fcnden as the site. Appropriately, one of the final films that Markopoulos publicly exhibited was _Sorrows_ (1969), a dense, rapturous study of the house King Ludwig II secured for Wagner in Triebschen, Switzerland. Unlike Wagner, Markopoulos was unable to find a patron willing and able to sponsor the creation of a building devoted exclusively to the screening of his work. He nevertheless decided that the \"Justified Province\" would be Greece, and began work on _Eniaios_ , \"a cycle far removed from the politics of _filmmuseums, cin\u00e9math\u00e8ques_ , and _film festivals_ ,\" which was designed for presentation in an open air amphitheater within the as-yet-unbuilt Temenos complex.\n\nMarkopoulos' long-standing identification with Wagner deepened in 1967, the year he attended a performance of _Siegfried_ (1876) in West Berlin and began discussing plans for what would become the Temenos. Speaking of his exile in a 1968 letter, Markopoulos writes, \"I feel like Wagner when he left his homeland\" and mentions that he has agreed to direct two operas\u2014one for film and one for the stage. Later that year, he annotated a volume of Wagner's writings, paying special attention to the \"Artwork of the Future\" essay in which his ideas about the _Gesamtkunstwerk_ are elucidated. Markopoulos' many references to the cycles of _Eniaios_ in his published and unpublished writings are a testament to the influence of Wagner, who saw _Der Ring des Nibelungen_ (1848\u20131876) as the inauguration of a new form, a cycle of \"music dramas\" rather than a series of operas. Markopoulos shared Wagner's belief that everything possible\u2014such as concealing the source of the image\u2014should be done to encourage an immersive, cathartic artistic experience, but he did not share Wagner's investment in multimedia spectacle. Where Wagner incorporated painting, music, trompe l'oeil set design, and theater into a comprehensive presentation, Markopoulos proposed an alternative _Gesamtkunstwerk_ that could subsume and contain all of the other arts within the space of the projected image. Markopoulos ultimately concluded that the architectural splendors of the Festspielhaus or the Doge's Palazzo in Venice (both sites he visited in the early stages of Temenos planning) would be a distraction from the work, finding inspiration instead from much more modest sources:\n\nOften here in these mountains, where I came seeking the site... I noticed from my excursions on foot or on the train the tiny specks of churches appearing out of nowhere. Some of them I entered. I noticed their beautiful shapes. It is, perhaps, these shapes which will mould the future Temenos of the Twenty-First Century. For I reflect that if I produce my films so simply, then that principle must also be applied to what my Temenos shall be; a sanctuary where one may approach Understanding.\n\nFIGURE 2.2 _The screen at the Temenos, June 27, 2008 (copyright Richard I. Suchenski)._\n\nMarkopoulos' attachment to the values Victor Hugo associates with the cathedral is evident, but, like these small churches, the Temenos was meant to harmonize with its environment, to create a ritual space that exists both inside and outside the surrounding landscape. In this, Markopoulos is following the model of Goethe, who merged the imagery of the forest and the cathedral in \"On German Architecture\" (1773), depicting the facade of the Strasbourg Cathedral as a \"far-spreading tree of God... with a thousand branches, millions of twigs, and leaves like the sand of the sea.\"\n\n### \"Towards a New Narrative Film Form\"\n\nMarkopoulos' Temenos was intended to bring about a total fusion of interior and exterior space, and, in this respect, it brought to fruition a concern with landscape and environment that was a major, generally unremarked-upon element of the earlier films that he eventually reconfigured into _Eniaios_. In this regard, it is worth considering Sergei Eisenstein's essay \"Nonindifferent Nature,\" by far the most sustained treatment of the topic of landscape by a major film theorist. Written between 1945 and 1947, just as Eisenstein was completing his work on the unfinished _Ivan the Terrible_ \"triptych\" (1944\u20131946)\u2014the most substantial attempt to construct a long-form modernist film between the 1920s and the 1960s\u2014the essay connects examples from the histories of painting, literature, and music to detailed formal analysis of his own films, arguing that cinema dialectically synthesizes all of the other arts, absorbing their best properties and serving as their highest stage. Consequently, in cinema, \"Landscape can serve as a concrete image of the embodiment of whole cosmic conceptions, whole philosophic systems,\" acting as \"a complex bearer of the possibilities of a plastic interpretation of emotion.\" This is possible because \"landscape is the freest element of film, the least burdened with servile, narrative tasks and the most flexible in conveying moods, emotional states, and spiritual experiences,\" and is thus capable of facilitating contrapuntal rhythmic constructions by acting as the \"inner plastic music\" of a film. Eisenstein's \"nonindifferent nature\" is little more than the temporalization of the pathetic fallacy, but his conception of landscape as a malleable frame through which cinematic rhythm can be modulated provides a model that can be usefully applied to a wide variety of adventurous films, including those of Markopoulos.\n\nMarkopoulos disavowed the influence of Eisenstein, but it was a similar concern with the \"inner plastic music\" of the film image that animated the use of landscape in his early psychodramas ( _Psyche_ , 1947; _Lysis_ , 1948; _Charmides_ , 1949; and _Swain_ , 1950). Produced on a shoestring budget and edited by hand without the use of a splicer, these early films demonstrate a rhythmic cohesion and a precisely modulated control of color that was extremely unusual for an \"avant-garde\" filmmaker of his generation. The professionalism and technical control of these films may reflect Markopoulos' unfinished training as a film student at the University of Southern California, where he acted as student observer on the films of Hollywood directors like Fritz Lang, Alfred Hitchcock, and Jules Dassin and took classes with Josef von Sternberg, whom he deeply admired. From von Sternberg, Markopoulos adopted a posture as an unrepentant \"aesthete,\" and an attentiveness to the composition of all aspects of the film image. This concern for the artistic properties of the individual image led Markopoulos to employ a production method in which he did not give his actors their dialogue or allow them to know what scene was going to be played until the moment of shooting, making it possible for him to compose the performances within the setting as an element of the entire film image. The settings themselves, both natural and architectural, were frequently used to convey particular symbolic meanings, usually in connection with the dominant colors of a scene. As a result of Markopoulos' highly elliptical narrative strategies, they also functioned as receptacles for the scene's emotions, imbued with the longings of the characters. There is a crucial section in _Psyche_ , for example, where a young man places his hand on the shoulder of the titular protagonist and she throws her head back; the harmonization of her bold red lipstick, pale green dress, and golden hair with the green grass and the orange twilight sun in the background gives her carefully calibrated pose an erotic intensity that, through the repeated cuts away from the lovers, is displaced onto the hilly landscape they inhabit (figures 2.3\u20132.4). Markopoulos includes brief flashes of this landscape throughout the film, using it as both a structuring element and a metonymic conduit for remembered emotions.\n\nFIGURE 2.3 Psyche _(Gregory Markopoulos, 1947) (courtesy Temenos Archive)._\n\nThe intertwining of landscape and the processes of memory is made even more explicit in the rapid narrative recapitulations that Markopoulos used to create fluid transitions between scenes and to end his films. In these recapitulations, representative images from earlier parts of the film flash by in rapid succession, remaining onscreen for a fraction of a second. By intercutting shots of character interaction with the empty spaces where those interactions took place, Markopoulos' montage clusters create dense networks of associations in which landscapes assume a central role. Since the images in these clusters are scrambled out of sequence, they also suggest the interrelated simultaneity of spatiotemporal events and create an intensified viewing experience by encouraging the spectator to actively participate in the (re)construction of the narrative. In the 1960s, these patterns provoked frequent comparisons to Alain Resnais, but Markopoulos' memory structures, which prefigure the formal strategies of _Eniaios_ , anticipate Resnais' parallel innovations by at least a decade.\n\nFIGURE 2.4 Psyche _(Gregory Markopoulos, 1947) (courtesy Temenos Archive)._\n\nLike Resnais, Markopoulos was invested in a highly abstracted form of narrative filmmaking. _Psyche_ , for example, is derived from an unfinished novel by Pierre Lou\u00ffs, which Markopoulos successfully distilled into the barest fragments of a narrative without abolishing the overall sense of fictive coherence. Markopoulos continued to make oblique literary adaptations throughout the 1950s and 1960s, using works by such authors as Nathaniel Hawthorne, Aeschylus, and Honor\u00e9 de Balzac as springboards for increasingly elaborate feature-length narrative films. In the four major features of his artistic maturity ( _Serenity_ , 1958; _Twice a Man_ , 1963; _Himself as Herself_ , 1967; _The Illiac Passion_ , 1967), Markopoulos developed a highly sophisticated film form that allowed him to hold multiple levels of visual and temporal awareness in a state of dynamic tension with one another. The polyphonies of these films were created and sustained by Markopoulos' use of single-frame editing, which he theorized in his most important essay, \"Towards a New Narrative Film Form\":\n\nIn the beginning of the motion picture, the film frame had great potential. But with the introduction of sound, a part of the frame was relegated to the service of the sound track. Aesthetically opposed but artistically united, sound and image failed to achieve that poetic unity in cinema that everyone had envisioned.... The film frame which creates each shot or composition has been neglected; it has been understood only as a photographic necessity. I propose a new narrative form through the fusion of the classic montage technique with a more abstract system. This system involves the use of short film phrases which evoke thought-images.\n\nIn his early films, Markopoulos sustained the methods of earlier montage-oriented directors like Eisenstein, Abel Gance, and D. W. Griffith by cutting lengths of continuous film into fragments, but by the time he made _Gammelion_ in 1968, he was shooting only \"short phrases\" that could be edited together in a modular fashion. Consequently, Markopoulos' system differs from Eisensteinian montage insofar as it replaces references to the continuing shot with the repetition of clusters of differing frames integrated through similarities of composition, orientation, or shot scale. In this way, individual images are able to reverberate throughout a film, with each appearance marked by a profusion of contrapuntal frame-to-frame collisions that create additional layers of resonance.\n\nFrom _Gammelion_ on, the autonomy and constitutional integrity of the individual film frame was reinforced through the near-exclusive use of stationary shots taken from a camera held at a fixed position. By fusing these static shots with openly reflexive gestures, Markopoulos shattered the illusion of cinematic movement, drawing attention instead to cinema's identity as a series of still images stitched together on a strip and then projected sequentially. On one level, Markopoulos' decision to work with the single frame seems to represent, like St\u00e9phane Mallarm\u00e9's use of the letter and Paul C\u00e9zanne's use of the brushstroke, a modernist reduction of his medium to its most fundamental, constitutive unit. The resulting atomization of the film image is, however, counterbalanced by the harmonization of the \"short film phrases.\" One index of Markopoulos' deep-seated Romanticism is his enthusiastic embrace of the film director's ability to imaginatively assemble these discontinuous image clusters into unified visionary edifices. By treating film footage as raw material for editing rather than \"as images in movement,\" it was possible, he believed, to give it \"a far greater and extraordinary Movement.\"\n\nMarkopoulos' modulation of all aspects of film structure included the use of the measure of film frames as an organizing motif and a bearer of meaning. In _Twice a Man_ , Markopoulos turns the number of frames used when a character is introduced into a sort of leitmotif for that figure. Thus, when the \"Artist Physician\" is referred to via three frame shots toward the end of the film, he is linked to the protagonist Paul, who was introduced at the beginning of the film using shots of exactly the same length. Since the conventional spatiotemporal coordinates of representational filmmaking are transformed beyond recognition by Markopoulos' frame-by-frame editing, this somewhat esoteric numerological coding helps to give structural shape to, and facilitate the subliminal apprehension of, the narrative. Even more significant in this respect is the interweaving of figures into their environments through the elegant combination of cuts and dissolves. Nowhere is this more apparent than in the opening scene of _Twice a Man_ , in which a shot of the \"Artist-Physician\" looking off into the distance from a ferry is intercut six times with brief images of the New York skyline. With each iteration, the images of New York become longer until finally the skyline becomes dominant, transforming the returns to the human figure into mere echoes of the original shot. This highly flexible technique allowed Markopoulos to temporally distend the force of traditional shot\/countershot exchanges, deepening the threnodic implications of the film's complex flashback structure. By repeatedly using these montage clusters to connect empty landscapes to particular characters, Markopoulos turned the former into relays for the symbolic and emotional meanings transmitted across both time and space, providing necessary connective tissue to a disjunctive narrative.\n\n_Twice a Man_ begins with two minutes of black leader projected to the sound of falling rain. Markopoulos claimed that the darkness allowed the spectator to \"rest his eyes, so that the initial visual and psychological impact of single frames and clusters of frames would be more readily apprehended.\" It also establishes the key sound motif of the film, creating a psychological distance between sound and image that is made even more acute by the use of superimposition. In _The Illiac Passion_ , by far Markopoulos' most complex feature, these sound\/image contrasts are developed even further, with the director's incantatory reading of Henry David Thoreau's 1843 translation of _Prometheus Bound_ and excerpts from B\u00e9la Bartok's _Cantata Profana_ (Sz. 94, 1934) acting in counterpoint to the densely layered images. The structure of Bartok's piece, consisting of a chorus of voices bracketed by a single tenor, mirrors that of the film, which begins with a lone male figure (Prometheus) crossing the Brooklyn Bridge and ends with that same figure near a lighthouse (figure 2.5). In between, Prometheus interacts with twenty-four other characters associated with figures in the Greek Pantheon, with each, according to Markopoulos, representative of one of his \"selves.\"\n\nMore than in any of the films before or after it, Markopoulos mythologized all aspects of _The Illiac Passion_ , using costumes, objects, and gestures to set up symbolic links between particular deities. By using fades throughout the film, Markopoulos was able to isolate groups of characters into myth-specific subnarratives. The combination of these fades and of repeated montage phrases made it possible to subsume a seemingly limitless variety of interactions into the larger story of Prometheus. In lieu of the flashback bursts he had used in his earlier films, Markopoulos inserted shots featuring Prometheus throughout the film and included scenes in which characters are seen to relate through superimposition, montage editing, or sounds even though they occupy different subnarratives. Unadorned landscapes (mostly shot in Central Park and the New York Botanical Gardens) act as pivot points where the disconnected space and time elements of the film briefly come together before splintering into new permutations.\n\nFIGURE 2.5 _Prometheus in_ The Illiac Passion _(Gregory Markopoulos, 1967) (courtesy Temenos Archive)._\n\nThe first images of _The Illiac Passion_ are similarly oriented around locations: a fence at dawn, light reflecting off a large body of water, and finally the \"adamantine bridge\" that the protagonist will shortly ascend and which, for Markopoulos, suggests the binding of Prometheus. Although the primary inspiration for the film was Aeschylus, the depiction of Prometheus moving gradually toward a unity within polyphony and a concomitant sense of freedom from the constraints of both space and time mirrors the overall arc of Percy Bysshe Shelley's _Prometheus Unbound_ (1820). An earlier, more utopian plan for the film would have made this implicit connection even deeper by \"showing each country's ruins and then... [summing] up all the types of architecture,\" thereby providing a correlate to Shelley's \"unclassed, tribeless, and nationless\" humanity. Having united all the different situations of the film within what Markopoulos called the \"very Being\" of the protagonist, _The Illiac Passion_ ends with a repetition of the same set of landscapes that opened the film, a circular return that further interiorizes the interlocked narratives at the center of the film. Taken together with the use of Thoreau's translation on the soundtrack and the reflexive shots of Markopoulos working at an editing table in the middle of the film, these consonances with Shelley's radical reworking of classical antiquity point to a move away from heroic binaries, a dispersal of the fire of Promethean inspiration across the body of the film, that will have profound implications for _Eniaios_.\n\nAlthough it wasn't possible to print the film until 1967, Markopoulos finished _The Illiac Passion_ in 1965; by the time it was released, he had moved away from multicharacter narratives, devoting much of his time to short films edited entirely in-camera. By exposing film for a set length measured by the frame counter on his Bolex camera and inserting fades\u2014either through an in-camera mechanism or by blocking the lens with his hand, rewinding, and then filming again\u2014Markopoulos was able to create a variety of nuanced effects within the camera itself. One obvious advantage of this method is that it reduced the cost of making films, eliminating postproduction expenses and minimizing laboratory fees, an important factor for a filmmaker living as impecuniously as Markopoulos. Markopoulos also believed that this method had aesthetic value, for, as he put it, \"by editing in the camera one must be more exact; the idea and the image more concentrated; the result a more brilliant appeal to the mind and dormant senses.\" In other words, by disallowing the possibility of \"covering\" a scene with backup or replacement footage, in-camera editing gives increased urgency to every cut, forcing a more concentrated approach to shooting and an intensified focus on the potential resonances of each shot.\n\nMarkopoulos' switch in production method was accompanied by the separation of figure and ground in his work, with most of his later films operating in one of two mutually exclusive modes: compilations of individual or group portraiture and \"films of place.\" The portrait films, shot mostly in close-up, were studies of the physiognomy of the sitters that were given texture through the use of a wide variety of angles and the inclusion of relevant objects, often via superimposition. In _Galaxie_ (a 1966 compilation of twenty-four individual portraits, each shot in an interior space that is in some way emblematic of the subject's professional life), for example, Jasper Johns is shown staring at the camera with one of his paintings; Jonas Mekas is shown reading an issue of _Film Culture_ ; and shots of Maurice Sendak's face are intercut with drafts of the cover of _Where the Wild Things Are_ (1963). The \"films of place,\" by contrast, were studies of particular locations, shot using only natural light with forms tailored to the personal, historical, and religious associations of their subjects. In these films, Markopoulos divested landscapes and interior spaces of their narrative functions, allowing them to articulate meaning on their own terms.\n\nFrustrated by what he saw as the degeneration of film culture, in 1967 Markopoulos left the United States for Europe, where he would spend the rest of his life. The first film that he made there was _Bliss_ (1967), an in-camera-edited study of the eighteenth-century Church of St. John on the Greek island of Hydra. The film contains no musical excerpts, instead making use of the muted sounds of braying sheep to evoke the symbolism of the church and remind the viewer of its countryside location. _Bliss_ was shot using two reels of Ektachrome film, which intensified the natural sunlight streaming into the church through doorways and windows (Markopoulos enhanced this effect by shooting at twelve frames per second in the dimmer parts of the church). The rhythmic structure of the film is based entirely on the interaction of these streams of light, sometimes superimposed in patterns suggesting the icons on the wall. These icons, and the frescoes that accompany them, gradually progress from images of Jonah in the mouth of the whale and the Virgin Mary embracing St. Anne to scenes from the life of St. Demetrius before finally settling on a depiction of the patron saint of the church in a pose of benediction (figure 2.6). The film builds slowly, connecting flashes of light from different entry points in the vestibule first through gradual montage and then through a multiple superimposition, simultaneously grounding the viewer within the church and simulating the internal movement of a religious ritual. All of the shots in the second half of _Bliss_ last for less than a second, but the careful framing situates each in its sacerdotal context. The editing-driven movement between these still images mirrors the devotional path a supplicant would take through the nave to the altar, a connection further reinforced by the shift in the final moments of the film to low-angle shots of the light streaming through the windows in the dome. The implied movements of the camera suggest spiritual ascent, while the triple superimposition of light shimmering through a circular array of windows provides the film with an ending that is both euphoric and structurally meaningful. Where the oneiric tone of films like _Ming Green_ (1966) suggested the almost-hermetic spaces of personal memory, the luminous images of _Bliss_ subtly depict the unique conjoining of the local and the numinous characteristic of religious architecture and sacred space.\n\nFIGURE 2.6 Bliss _(Gregory Markopoulos, 1967) (courtesy Temenos Archive)._\n\nFIGURE 2.7 Gammelion _(Gregory Markopoulos, 1968) (courtesy Temenos Archive)._\n\nAfter making _Bliss_ , Markopoulos fulfilled a long-standing dream by shooting _Gammelion_ at the Roccasinibalda Castle in the south of Italy (figure 2.7). Like Markopoulos' earlier films, _Bliss_ combines short film phrases and continuous shots, but _Gammelion_ consists entirely of brief, consistently spaced flashes of totally static imagery separated by black leader. Even here, in a film totally devoid of characters and plot, Markopoulos tries to retain vestiges of narrative by reading passages from Rainer Maria Rilke on the soundtrack (\"To be loved means to be consumed. To love is to give light with inexhaustible oil. To be loved is to pass away, to love is to endure\"), including shots of paintings depicting mythological courtship, and flashing images of a rose. Within this schema, landscapes take on an even more prominent role than usual, and Markopoulos' editing emphasizes the sensuous vitality and metaphoric resonance of his locations. _Gammelion_ opens with a number of one- or two-frame flashes of rocks, and the film gradually traces a circuitous path through a forest and up to the castle in the distance, suggesting a journey charged with psychological meaning, without implying that the camera stands in for the subjectivity of an unseen protagonist in the manner of early Brakhage. During the second half of the film, the camera passes through the various rooms of the castle complex, and Markopoulos opens up deep space through the careful selection of light sources while also stressing its enclosure through repeated cuts to walls, grills, and bars. Despite the improvised mode of shooting, _Gammelion_ possesses a remarkable structural rigor, and it ends by showing the landscapes visible at the beginning from an opposite angle, reorienting the overall development of the film within the exterior environment.\n\nMore than any film before it, _Gammelion_ anticipates both the form and the mode of _Eniaios_ , in which journeys through landscapes and architectural sites are given complex associations related to both their status as sacred spaces and the pilgrimage aspect of the Temenos. Markopoulos first envisioned this new form while editing _Bliss_ in May 1967, including a diagram in his diary for a film composed in sections of variable lengths with many superimpositions, separated by \"single frames and white leader, like a mosaic.\" However, the existence of _The Mysteries_ (1968) indicates that the overall development of Markopoulos' work in this period was by no means linear. Made shortly after _Gammelion, The Mysteries_ is a feature-length psychodrama, shot with professional actors in Munich, that is edited like _Twice a Man_ , suggesting that Markopoulos was still considering different stylistic options depending on the subject of the film. By contrast, the silent portrait films of major European figures, usually artists or writers, that Markopoulos began shooting in 1968 and 1969 utilize a structure that is remarkably similar to that of _Eniaios_. Indeed, _The Olympian_ (1969), Markopoulos' portrait of Alberto Moravia, is included in the fourth cycle of _Eniaios_ with only minor changes. As in Markopoulos' earlier portrait films, the subjects of these late portraits are depicted with objects symbolizing their work\u2014such as hands, drawings, books, or film strips\u2014often in superimposition. However, Markopoulos edits them in a more complex way, combining very brief shots from multiple perspectives to create, over time, a cubistic layering of space. In _The Olympian_ , Markopoulos alternates single frame shots of Moravia facing the camera and then in profile to create an afterimage effect that is amplified by the juxtaposition or superimposition of brief flashes of movement frequently lasting for four to eight frames. The interrelation of these glimpses of movement with sections of black leader creates an impression of interpolated motion that manages to convey the essential mood of the sitter through fragments of gestures and facial expressions.\n\nWith the form that would become characteristic of _Eniaios_ in mind, Markopoulos shot more than sixty additional films in the 1970s and 1980s, although most of them were never printed. The twenty-two cycles of _Eniaios_ incorporate footage cut from the camera originals of all of these films, as well as from the films released before Markopoulos left for Europe. Reel-length segments from earlier films like _Twice a Man_ were worked into different cycles at particular points. The structure of _Eniaios_ \u2014brief flashes of imagery, often single frames, separated by long sections of black leader\u2014transforms these images so thoroughly, however, that even when still images from the same film appear sequentially, they touch, but do not cross over, the threshold of narrative development. Markopoulos claimed that the \"basic clue of Revelation in film\" was the space between frames, and he had emphasized separations between images as early as _Swain_. In _Eniaios_ , he takes his modernist reduction of cinema into its most fundamental elements to a limit point in which the earlier relationship is inverted. Tantalizing glimpses of imagery seem to emanate out of an enveloping field of darkness, endowed with the hieratic power of hieroglyphs.\n\nMarkopoulos' references to hieroglyphs revive a set of ideas generated during the Romantic period and first applied to cinema in the 1910s. Indeed, in developing the strategies used in _Eniaios_ , Markopoulos was extending the aesthetics of the most ambitious directors of the silent era, including their belief in the power of the long form. He frequently identified Erich von Stroheim as his favorite filmmaker, and his use of symbolic images reverberating between films was an extension of von Stroheim's method (as was his treatment of the in-camera dissolves von Stroheim had used in _The Wedding March_ , 1928, and _Queen Kelly_ , 1929). Markopoulos also wrote a fascinating \"letter\" to \"Wark\" (Griffith) telling him how much he admired the purity of his images and describing the ways in which his mode of expression had been usurped by commercial forces. The in-camera editing strategies Markopoulos developed were an elaboration of techniques that had been employed in earlier films like _Intolerance_ (1916), and both directors created visual scrapbooks full of images they wanted to restage or allude to. Yet, although he could barely have known his major works (which lay in tatters until the 1970s), the filmmaker Markopoulos most resembles is Gance. Like Gance, Markopoulos hoped to use dense montage and cinematic plasticity to expand the perception of the spectator. Markopoulos was more sober than his predecessor, less willing to embrace the ecstasies of art without introducing a counterelement and much less interested in fusing radical form to popular spectacle, but he was similarly open to using every conceivable means to enhance the impact of his images. While he was developing _Eniaios_ , Markopoulos made detailed plans for a triple-screen version, in which different sections of the same film would be reconfigured contrapuntally across an enveloping space much as they would have been with Gance's Polyvision. Markopoulos also considered reversing films and even projecting certain sections both forward and in reverse, an experiment he had previously attempted in _Twice a Man Twice_ , a double projection from 1967.\n\nFor many years, Markopoulos remained attached to the idea of incorporating sound into _Eniaios_. With the exception of a few portrait films, all of the films Markopoulos made after 1969 were shot and released without sound, and he was already discussing the removal of sound from his films during their presentation at the Temenos in 1973. As he explained in a letter to Robert Freeman, \"Certainly the Temenos idea denotes a peace, silence\/Meditation. I think it must be done a step at a time: if the sounds go, then I must then wait to see about removing the titles, and decide how the films would then be presented.\" Markopoulos removed the original soundtracks of his sound films shortly thereafter. During the course of re-editing his films into _Eniaios_ , however, Markopoulos considered including voiceover reading from the source texts of particular films, much as he had earlier done in _The Illiac Passion_. Partially inspired by his close study of Jean Sibelius' song cycles, Markopoulos hoped to add thematically relevant sounds at the end of a reel or cycle, treating natural effects like thunderclaps and bird songs as sonic equivalents to his landscape shots. By the mid-1980s, Markopoulos had changed his mind, deciding that sound would detract from, rather than add to, his images, and he began speaking instead of the imagined (synesthetic) sounds the images would summon, what he called \"the sounding image.\" Late in 1990, as Markopoulos was nearing completion of his massive project, he writes even more enthusiastically of \"the return of the image in its entirety; the sound removed, the space of the image regained.\"\n\n### \"A Supreme Art in a Dark Age\"\n\nIt is each individual New Cinema Film Spectator who breathes life to the images with and without thought; images which must come to life at the touch of each individual spectator's eyes. The elements are primitive fire, and the measures of holy light which make films possible.\n\n\u2014GREGORY MARKOPOULOS (1968)\n\nMarkopoulos believed that cinema was \"without a doubt a supreme art in a dark age,\" one capable of having a healing function. In a crucial essay that anticipates the Temenos project, he writes that the \"filmmaker as physician of the future will some day realize and utilize sound and image as a mere accessory to the greater keys of a future editing form... . In referring to Form I mean specifically a multi-dimensional Cinema.\" The Temenos screenings bring this ideal to fruition, with the positioning of the screen under the night sky and the persistent presence of projected black leader on it affirming its status as an object and drawing the viewer's attention to the natural sources of light (the moon, the stars, etc.) around it, thereby allowing the images of _Eniaios_ to resonate with the unique characteristics of the screening environment. The mountain path that the prospective viewer has to take in order to get to the Temenos site provides ample opportunities to scan the surrounding countryside, making it clear that the screen on which the images will be projected exists _within_ the landscape below. As a result, the filmed landscapes that appear on the screen create echo effects that deepen the relationship with the viewing environment and invest the Temenos space with some of the mythic associations of the locations that are represented. Tellingly, many of the films that Markopoulos shot with _Eniaios_ in mind depict sacred spaces such as the Theater of Dionysus, Epidaurus, Chartres Cathedral, and the Asclepium of Kos (figure 2.8). The last of these is particularly significant because Markopoulos saw the Temenos screenings, and the journeys required to attend them, as functionally equivalent to the Asclepian pilgrimages of ancient Greece, in which patients traveled to therapeutic sites in remote locations to undergo \"sleep healing.\" In similar fashion, Markopoulos wanted to use the extended measures between the images projected at the Temenos to create an \"intuition space\" in the midst of the unsullied natural beauty of Arcadia that would unite \"film as film\" to the mythic landscapes of the ancient world and allow for spiritual renewal.\n\nFIGURE 2.8 Eniaios _(Gregory Markopoulos, 1947\u20131992) (courtesy Temenos Archive)._\n\nMarkopoulos' conception of the Temenos as a space outside of history with the power to smooth over the shocks of modernity is, of course, profoundly Romantic. It is therefore unsurprising that the central myth of _Eniaios_ is that of Prometheus, with twenty-seven reels of imagery from _The Illiac Passion_ interwoven throughout the twenty-two cycles at points of maximal intensity (figure 2.9). The elision of the original narratives of the individual films included in each cycle transforms the human figures into mythic symbols, and the prominence of _The Illiac Passion_ causes many of these figures to seem like echoes, or perhaps alternate manifestations, of Prometheus. In the third cycle, for example, a brief moving shot of Prometheus walking toward the camera from _The Illiac Passion_ is followed nearly an hour later by an image of the protagonist of _The Mysteries_ walking toward the camera in almost exactly the same position. The original contexts for both of these shots were very different, but the synchronicity of gesture and screen position within the same cycle of _Eniaios_ creates a new relationship that further reinforces the centrality of Prometheanism to the project and suggests a concordance with Karl Kerenyi's reading of Prometheus as the \"archetypal image of human existence.\" Prometheus had long fascinated Markopoulos, who included book illustrations of his torment in _Lysis_ (1948) and scripted a utopian project about the myth the following year. The _Prometheus_ project, which underwent many changes, was intended to be a \"truly 'universal' film\" shot in multiple countries and multiple languages with Prometheus depicted as uniting the major religious traditions of the world, much like the mythic figures in contemporaneous works like Robert Graves' _The White Goddess_ (1948) and Joseph Campbell's _The Hero with a Thousand Faces_ (1949). In diminished form, this project eventually became _The Illiac Passion_ , and one of the key questions raised by _Eniaios_ is whether it shares or reconfigures the Prometheanism of Markopoulos' earlier work.\n\nFIGURE 2.9 _Promethean fire in_ Eniaios _(Gregory Markopoulos, 1947\u20131992) (courtesy Temenos Archive)._\n\nThe Romantic poets of the nineteenth century, with whom Markopoulos strongly identified, all agreed on the centrality of the Prometheus myth, but they disagreed on its ultimate meaning. One stream of Promethean Romanticism, epitomized by Lord Byron, celebrates the untrammeled greatness of the artist who breaks free from the tyrannical constraints of society and towers over ordinary mortals, setting him up as a figure fit for worship. The other stream, epitomized by Shelley and Ralph Waldo Emerson, recognizes that such a system results only in yet another form of mastery and calls instead for an \"unbinding\" of the creative imagination, in which it could be used to help each individual attain the highest perfection of his or her intellectual and moral nature. The messianic tone of many of Markopoulos' writings, particularly his insistence that the film spectator should \"accept the fact that he must serve... [lifting] the veil of his discontent and [looking] upon the form that is the Being of Light, his God,\" recognizing \"the miracle which these works are,\" suggests the all-consuming Promethean narcissism of a figure like Wagner. By contrast, the Temenos booklet distributed to the spectators in 2004 includes an essay, \"Eikones Auton,\" in which Markopoulos writes that \"the creative man seeks to give the Spectator those parts of himself which allow him, the creative man, to be creative.\" Seen in conjunction with his repeated use of the phrase \"beloved spectator,\" his vision of the filmmaker as physician, and the ideal of sleep healing, this essay supports an alternate interpretation of _Eniaios_ as a work designed to enrich, and open up possibilities for, each viewer.\n\nCrucial to this interpretation is Markopoulos' proposed rereading of the myth of Narcissus. Even when not identified as such, Narcissus figures had featured prominently in Markopoulos' work since _Swain_ , where the myth was linked aesthetically to absolute (male) beauty in much the same way as it is in the work of Symbolist poets like Mallarm\u00e9 and Paul Val\u00e9ry. In \"Entheos,\" an essay dedicated to Giorgione that was included in the 2004 Temenos booklets, however, Markopoulos claims that Narcissus has been misunderstood, that there are \"those who are afraid to seek their own reflection; and, those who brood about Narcissus within their own time, misunderstanding the legend of Narcissus within his own time.\" By shifting the focus of the myth toward self-reflection, Markopoulos is following the lead of the early German Romantics, particularly the Schlegels, and possibly distancing himself from the homoerotic rereadings of Narcissus by postwar poet-critics like Parker Tyler and filmmaker Willard Maas. In Friedrich Schlegel's _Lucinde_ (1799) and August Wilhelm Schlegel's sonnet \"Narcissus\" (1800), a new mythology of artistic creation is proposed in which Narcissus experiences the confrontation with his reflection consciously and is reimagined as a symbol of the mystical dignity and unique position of poetry. Thus, August Wilhelm Schlegel can link the observation of one's own reflection to the search for truth, famously writing, \"Every poet is really Narcissus\" without the pejorative connotations attached to the myth since the early Renaissance. Given the breadth of his reading and his deep interest in German poetry, Markopoulos may well have known these works; he certainly knew Rilke's \"Narcissus\" of 1913, in which, as in the _Duino Elegies_ (1922), self-reflection becomes a yearning for true being.\n\nIn his own essay, Markopoulos develops this further:\n\nThere is the reflection of one's self; and, there is the reflection of that Reflection apart from one's self; that is the point beyond which there is Understanding. Between the reflection of one's self, and, the reflection of that Reflection, or, the part beyond one's self, there has been the surface of the Visible Image. But this surface of the Visible Image has escaped the knowledge of the audience. The reflection of the Visible Image from its surface, depending on its size, has always lessened the understanding of the audience, for to captivate and allure is not to understand what is before one.\n\nMarkopoulos suggests not simply that the Temenos projections would establish a relation with the projected image that would enable reflection rather than solicit consumption, but also that the use of brief images of concentrated force would make possible a triangular configuration of self, screen, and eye. The spacing of the images would encourage the viewer to complete the circuit by investing part of himself in the film while simultaneously reflecting upon his own reading of the images onscreen (Markopoulos is here fusing the participatory optics of ancient authors like Plotinus with an idiosyncratic reading of Martin Heidegger). In this way, the Romantic conception of Narcissus as signifying the elevated status of the poet is extended to the viewer, transferring the locus of creativity to the community engaged in watching and deciphering the film.\n\nToward the end of the same essay, Markopoulos makes an important reference whose meaning is not immediately obvious. After observing that \"the Temenos will seek for a surface respecting the Image in the Classic sense,\" he provides the following example: \"There is a rock which drips with water which (they say) comes from Okeanos.\" The passage is from Euripides' _Hippolytus_ (428 BCE), and the rock in question is linked elsewhere in the play to the \"rock of Asclepius.\" The occasionally esoteric concealment of meaning in Markopoulos' writings is matched by the source play, which makes no other mention of Asclepius despite the fact that, according to legend, it is he who helps to cure the illness affecting Phaedra. Robin Mitchell-Boyask has argued that the writing of Euripides' play was motivated by the epidemic that struck Athens in 430 BCE. The cult of Asclepius and the eventual development of the Eleusinian mysteries were themselves linked to a fundamental shift in worldview brought about by the combination of the plague and the Peloponnesian War (431\u2013404 BCE), leading to a widespread sense of a civilization collapsing from within. Markopoulos' idea of the Temenos is similarly linked to an apocalyptic sense of culture, especially film culture, having collapsed, and this gives an added layer of meaning to his invocation of Asclepius. According to Epidauran tradition, Asclepius is an aspect of Apollo who embodied a form of healing light shined from within darkness, hence the \"sleep healing\" associated with his cult and the symbolic rebirth connected to the Eleusinian mysteries.\n\nThe _temenoi_ of ancient Greece were all dedicated to a specific divinity, and, appropriately, _Eniaios_ begins with an hour-long \"dedication\" in which shots of the landscape surrounding the funeral pyre of Hercules are interspersed with blinding white flashes of light, spelling out the message \"The Soul of the Eyes\" in Greek letters using a system of alphanumeric coding. Like Asclepius, a human physician who was eventually made into a demigod, the figure of Hercules symbolically epitomizes the idea of movement between the divine and human realms. During the mythic pyre, the human elements of Hercules were burned away, leaving only those parts of himself that could be raised to the status of godhood. By shooting the monument to this mythic event in such a spare, almost punishingly difficult way, Markopoulos is forcing the Temenos pilgrims to undergo a sort of liminal initiation in which they too are cleansed of the media imagery imbibed on a daily basis and prepared for the unusual form of what lies ahead. Although the dominant image of the dedication reel is the stark white light that is repeatedly flashed onto the screen, the orientation of the single frame images of the site suggests, as in _Gammelion_ , an overall sense of motion. Having become acclimated over the course of nearly forty minutes to the simulated movement in concentric circles around the site, the intermittent appearance of moving images in what follows comes as a visual shock, with the pyre of Hercules linked, both metaphorically and structurally, to the Promethean fire that will appear at regular intervals over the course of the film, connecting the dedication to the main body of _Eniaios_.\n\n### Mythic Themes, Portraiture, and Films of Place: The Structure of _Eniaios_\n\nThe relationship between the form-language of a mathematic and that of the cognate major arts, is in this way beyond doubt. The temperament of the thinker and that of the artist differ widely indeed, but the expressionist methods of the waking consciousness are inwardly the same for each. The sense of form of the sculptor, the painter, the composer is essentially mathematical in nature.\n\n\u2014OSWALD SPENGLER, _THE DECLINE OF THE WEST_ (1918)\n\nMarkopoulos devised three categories for his work when he edited _Eniaios_ \u2014mythic themes, portraiture, and films of place\u2014and he appears to have excised everything that does not relate directly to one of these themes. Thus, the version of _Psyche_ shown as part of the first cycle of _Eniaios_ is composed entirely of faces, buildings, and landscapes that have been decontextualized and stripped of the illusions of movement. The brevity and intermittence of the images disperses the energy accumulated by the montages of the original film, with the _Eniaios_ \"version\" of the hand-on-the-shoulder scene lasting more than forty minutes and becoming almost monodic. The gradual form of imagistic development employed in _Eniaios_ does, however, generate its own form of intensity, encouraging a diffuse attentiveness that makes it possible to take notice of otherwise elusive structural elements. There is, for example, a remarkable consistency in the gaps between images within each cycle. In the first cycle, the gaps were generally in five-, eight-, eleven-, or fifteen-second increments, and the images themselves were further subdivided into groups of three, four, or five similar images, with each cluster using a gap length that was consistent with the relative proximity of both the characters to each other and the camera to the characters and spaces onscreen. The shortest gaps, of approximately five seconds, were used when the man and the woman were together in frame in medium close-up, while the fifteen-second intervals were used when the man was seen by himself in long shot or when there were cuts from the man to his environment. Like more architectonic versions of the coded frame measures used in _Twice a Man_ , these are the temporal equivalent of Wagnerian leitmotifs, and in addition to creating a heightened awareness of the complex relationships developed in _Eniaios_ between characters and landscapes, they create links between cycles that grow in resonance with each iteration.\n\nEach of the twenty-two cycles of _Eniaios_ is connected through a series of visual relationships, symbolic correspondences (between sites and myths), and rhythmic patterns, setting up a complex web of remembered and implied associations within which slight variations can take on profound significance. In this way, the idea of cumulative development is built into a work that was meant to be screened at regular intervals and viewed as a total unit either through an intensive three-week pilgrimage or over the course of a number of successive visits. Here too the annual Bayreuth performances of the _Ring_ cycle loom in the background, but the sheer temporal scale of _Eniaios_ exceeds Wagner's ambitions by a large margin. There is no cinematic equivalent to this sort of presentation. Frampton's metahistory was intended to be an encyclopedic compendium of individual films connected conceptually, while the long-form autobiographical projects of Brakhage and Mekas grew in direct accord with the personal situations of their makers so that sequencing is related more to changes brought about by age and experience than to an overall structural progression. It is not yet possible to view _Eniaios_ in its entirety, but the consecutive screening of the third, fourth, and fifth cycles over three nights in June 2008 amply demonstrated how each successive cycle gives a new inflection to those that preceded it.\n\nAfter a humorous portrait of artistic duo Gilbert and George that stresses their exhibitionism through repeated shots of hands and shoes, the main part of the third cycle begins with an eighty-minute reworking of Markopoulos' earlier _Genius_ (1970). The longest film in the cycle, _Genius_ is a variation on Faust that features three prominent art world figures: famous patron Daniel-Henry Kahnweiler, David Hockney, and the Argentinean Surrealist Leonor Fini. The film establishes connections between the orientation of glances, the positioning of bodies, and the arrangement of color harmonies, much as Eisenstein does in parts of _Ivan the Terrible_. The overall rhythm, however, develops in a fugue-like fashion, setting up and disrupting expectations serially so that, for example, an alternation of two characters in a predictable A-B-A-B pattern is suddenly interrupted by the insertion of an image of a third character, which becomes the first link in a new, more complex chain.\n\n_Genius_ incorporates many of the strategies of the individual portrait films, including representative artworks where appropriate and compressing spatial perspectives together through the rapid alternation of shots from different angles. The cubistic presentation of space in the film is complemented by the presence of Kahnweiler, suggesting that one of the main goals of the third cycle is to highlight the roots of _Eniaios'_ form in the major art movements of the early twentieth century, a theme explored after _Genius_ in portraits of \u00c9douard Roditi and Barbara Hepworth. Although he was deeply invested in the tactics of modernism, Markopoulos remained uncomfortable with its rhetoric, complaining about \"the civilized chasms today called culture\u2014Pop and otherwise the Modern\" and preferring to see his own work as an extension, rather than an abnegation, of tradition. In _Swain_ , Markopoulos included one of his own paintings, done in the style of Abstract Expressionism, on a bridge. When the female protagonist sees it, she reacts in horror and Markopoulos cuts to a close-up of the surface, emphasizing its dissonant textures and associating them with the confused emotions of the character. Abstract Expressionism is depicted both as the exteriorization of subjective states\u2014and hence as a late manifestation of Romanticism\u2014and as a source of disruptive anxiety. In this context, the presence of living embodiments of early modernism within Markopoulos' only version of the Faust legend suggests a reading of _Genius_ as a film about the sort of double bind addressed by Thomas Mann in his _Doctor Faustus_ (1947), in which modernism itself is ambiguously depicted as a Faustian pact.\n\nThis ambivalence about the project of modernism was certainly shared by Giorgio de Chirico, and his portrait opens the fourth cycle, which is thematically focused on artists and ideas of Greek or Italian origin. An Italian-born artist raised in Greece, de Chirico's career epitomizes the issues explored in this cycle; the \"metaphysical paintings\" he made before and during World War I were hailed by virtually the entire French avant-garde and made him a Surrealist hero, but he spent the half-century after 1918 publicly disavowing the \"degeneracy\" of modernism and repositioning himself as an academic classicist perpetuating a tradition going back to Titian. Among de Chirico's most important works are a series of paintings he made on the myth of the awakening Ariadne, who was abandoned on the island of Naxos after providing the thread that Theseus used to escape from the labyrinth. Because of her associations with weaving, some scholars, including John Ruskin, have seen the figure of Ariadne as connected to that of Arachne, the impeccably skilled artist who was turned into a spider by Athena as punishment for her pride. This may help to explain why Markopoulos structured the fourth cycle so that the portrait of de Chirico is followed by the _Eniaios_ version of _Bliss_ , which includes a number of shots of a spider dangling from a thread near the entrance to the church.\n\nThe application of the _Eniaios_ form to _Bliss_ serves two mutually reinforcing ends: it takes the formal design of the original film to its logical endpoint and, in so doing, helps to clarify the role and function of iconicity within the project as a whole. In accordance with Orthodox tradition, neither version of _Bliss_ actually shows the altar directly, but, according to Jeffrey Stout, they do depict the _menalia_ , the candelabra placed in front of the iconostasis, which serves \"as the 'membrane' connecting [the sanctuary] to the nave.\" The title of the fourth cycle, \"Nefeli Photos,\" can be translated as \"Clouds of Light,\" a reference, among other things, to the \"cloud of witnesses\" mentioned in Hebrews 12:1, who, in Orthodox tradition, manifest themselves through and within the iconostasis. Pavel Florensky explains that the material iconostasis \"does not, in itself, take the place of the living witnesses, existing _instead of_ them; rather, it _points toward_ them, concentrating the attention of those who pray upon them\u2014a concentration of attention that is essential to the developing of spiritual sight.\" Although they lack an explicit liturgical function, Markopoulos uses the literal icons and the iconic form of the _Bliss_ reel to clarify what he is doing in _Eniaios_ , suggesting that the entire film can be seen in relation to the idea of sacred vision made possible through the iconostasis. During the 2008 Temenos projections, these implications were strengthened by the repeated appearance of an extremely pale blue light between some of the images within the church; in context, this suggested the direct emanations of pneumatic inspiration, giving additional resonance to the linkage in the _Bliss_ reel and elsewhere of candlelight, fire, and the underlying Promethean\/Asclepian myth structure of _Eniaios_. In this way, the _Bliss_ reel also helped to clarify the film's relationship to modernism. Markopoulos adopted the iconic, fragmented, and temporally distended form of _Eniaios_ not simply to create a sense of shock or estrangement from the structures of contemporary existence, but also to make possible a new form of vision capable of reconstituting isolated images into a unified totality.\n\nOne partial explanation for the cycle's title is provided by _Cimabue! Cimabue!_ , which depicts the restoration of Cimabue's _Crucifixion of Santa Croce_ (1288), the major work of art damaged during the 1966 Florentine flood, largely through shots of hands working in various capacities, implicitly valorizing the act of creative labor. By situating _Cimabue! Cimabue!_ immediately after _Bliss_ in the cycle, Markopoulos also imbues these acts with sacred value. The most densely edited section of _Eniaios_ screened in 2008, _Cimabue! Cimabue!_ contains at least four thousand splices over the course of its hour-long running time, and its active alternation of images across short gaps lasting at most two or three seconds made the rhythmic patterns operating throughout _Eniaios_ more evident. When the film was first completed in 1972, Markopoulos publicly acknowledged its importance:\n\nWith CIMABUE! CIMABUE! I have wandered through the dangerous regions of the inferno and purgatorio and arrived with the final shot of Silvio Loffredo, hands folded in the Gallery Pananti, Firenze, where his footage was shot, before my philosophy of Cinema. What I had suggested once, the filmmaker as physician of the future, has transpired.\n\nThe last claim is particularly important because it links _Cimabue! Cimabue!_ and its thematic exploration of art restoration to the Asclepian ideals fundamental to _Eniaios_. In addition to the meticulous craftsmen involved in preparing and presenting works of art to the public, _Cimabue! Cimabue!_ lovingly portrays a number of the people\u2014poets, patrons, and friends\u2014who support them. Given the film's central position within the cycle, this suggests that the \"witnesses\" in the \"clouds of light\" include all of those involved in making, preserving, and understanding works of art, an ideal of elective community that could be extended to include the pilgrims to the Temenos as well as the local Greeks of Loutra who make visits possible.\n\n_Cimabue! Cimabue!_ is followed in the fourth cycle first by _The Olympian_ and sections from _The Illiac Passion_ and _Eros, O Basileus_ (1967), and then by two films that once again emphasize landscapes. The first of these is _Chronion_ , an extraordinarily beautiful depiction of the cypress grove outside the Asclepium of Kos at dawn. The high horizon line and red-tinged sky evoke the conventions of Romantic landscape painting, and especially of the dawn shown in Caspar David Friedrich's epochal altarpiece, _The Cross in the Mountains_ (1807\u20131808). Even as it evokes the iconography of German Romanticism, however, _Chronion_ also resonates with the site at which it was shot; the cypress grove on Kos was planted to celebrate the ending of a ravaging plague, and the rising of the sun over it is regarded, according to some scholars, as a natural symbol for the mysterious powers of Asclepian healing. Appropriately, the fourth cycle ends with the first reel of images taken from _Twice a Man_ , Markopoulos' earlier retelling of the myths of Hippolytus and Asclepius. Seen after _Chronion_ , the repeated shots of Hudson Bay at dusk seem less like memory triggers or montage pivots or even as records of actual New York locations than as reverse images of the mythic landscapes shown in the preceding films.\n\nFIGURE 2.10 Eniaios _(Gregory Markopoulos, 1947\u20131992) (courtesy Temenos Archive)._\n\nWhereas the third cycle explored the roots of _Eniaios'_ unusual form in twentieth-century modernist practice and the fourth cycle reflected on the ultimate meaning of that form, the fifth cycle redirects the focus toward the pilgrimage aspects of the Temenos. The first five reels (nearly three hours) of the fifth cycle, whose title translates roughly as \"The Great Chasm,\" are taken up by a single film, _Hagiographia_ , a study of the ruins of Mistra that begins, like the dedication reel, with a long series of white flashes and then proceeds in the style of _Gammelion_ (figure 2.10). An ancient Byzantine site that also functioned intermittently as a mosque, Mistra is charged with layers of associations that Markopoulos alludes to over the course of the film, gradually shifting from exteriors to images of bas-reliefs and icons. Sacred space is given another inflection in the one-reel study of _Epidaurus_ that appears later in the same cycle, after another reel of images from _The Illiac Passion_. Where most of the shots of _Hagiographia_ are frontal, _Epidaurus_ begins with high-angle shots of the stones on the ground, using them to trace a path toward the temple steps, an uncharacteristic gesture that foregrounds the pilgrimage thematic of the cycle by suggesting devotional movement. The film of Epidaurus is also made to resonate, through similarities of subject and environment, with the study of Kos at dawn in the fourth cycle, a striking example of the way in which each cycle builds off the one that precedes it.\n\nFIGURE 2.11 Eniaios _(Gregory Markopoulos, 1947\u20131992) (courtesy Temenos Archive)._\n\nSequencing can also create unexpected implications. At the end of the third cycle, for example, the close proximity of _The Illiac Passion_ and _The Mysteries_ caused the protagonist of the latter film to seem like another figuration of Prometheus. By contrast, in the reel of _The Mysteries_ that appears in the fifth cycle, the same man is compared to a reclining statue in a rare example of simulated shot\/countershot within _Eniaios_. Epidaurus is the central site of the Asclepian cult, and the statues there are traditionally seen as marking the emergence of pathos and suffering within Greek art. The precise identity of the Munich statue is unclear, but, positioned at the very end of the fifth cycle, its appearance takes on another level of potential meaning, suggesting that, within _Eniaios_ , the title of _The Mysteries_ may no longer allude to individual romantic longing but to the ceremonies at Eleusis.\n\nSince only the first few cycles have been printed, it is not yet possible to determine how successfully the grand ambitions of _Eniaios_ were realized. It is apparent from the small amount that has been screened so far, however, that the intensity of the film is inextricably bound to the unusual nature of the Temenos viewing experience. The mountain air and the late screening times (typically running from 10:00 p.m. to 4:00 or 5:00 a.m.) magnified the hypnotic effects of the imagery. This sensation was especially pronounced during the screening of _Hagiographia_ , where the combination of extreme length, a heavily distended rhythm, and the similarity of the trees in Mistra and Lyssarea encouraged a consideration of the relationship between the onscreen landscape and the one the viewer inhabits (figure 2.11). The sustained gaps, sometimes as long as thirty seconds, between single-frame flashes created afterimages that dissipated gradually and seemed to echo off the sky above and the fields around the screen. Consequently, when, after nearly two hours on the third day of screenings, the filmed light bursting through one of the windows in a dark section of the Mistra site perfectly matched the angle of the light streaming onto the screen from the projector, the result was genuinely ecstatic. This harmonization could not have been planned during shooting or editing, but it is a vivid example of the type of effect made possible by and at the Temenos, a momentary fusion of the sacred space depicted onscreen and the ritual space of viewing\u2014a perfect synchronicity of imagined, filmed, and projected light. Moments like this made it clear that, whatever else they may or may not represent, the Temenos screenings of _Eniaios_ have the capacity to give viewers a renewed sense of the revelatory potential of cinema.\n\n## { 3 }\n\n## \"We Are No Longer Innocent\"\n\nTHE LONG-FORM AESTHETIC OF JACQUES RIVETTE\n\nA film must be, if not an ordeal, at least an experience, something which makes the film transform the viewer, who has undergone something through the film, who is no longer the same after having seen the film. In the same way that the people who made the film really offered up troubling personal things, the viewer must be upset by seeing the film; the film must make his habits of thought go off their beaten tracks: so that it can't be seen with impunity.\n\n\u2014JACQUES RIVETTE (1968)\n\nIt takes more courage to pull down the old gods than to adopt new ones.\n\n\u2014\u00c9LIE FAURE, EPIGRAPH TO MARCH 1964 ISSUE OF _CAHIERS DU CIN\u00c9MA_ 2\n\nLa Belle Noiseuse _(Jacques Rivette, 1991)._\nUnscreened at traditional venues and isolated from the metropolitan centers of film culture, the films Gregory Markopoulos made after he left the United States stood to the side of the main artistic currents of the era. Nevertheless, the tone of Markopoulos' published statements, the profoundly idealistic nature of his project, and his abiding faith in the power of symbolic imagery can be seen as strongly related to\u2014even emblematic of\u2014the strain of post\u2013World War II film culture that consciously attempted to revive the euphoric optimism of the 1920s and came to full fruition in the late 1960s. The dialectical opposite can be found in the films Jacques Rivette made during roughly the same period, long-form epics concerned less with the idea of spiritual transformation than with the ethics of artistic production and a form of quietly pervasive paranoia rooted in the disintegration of utopian models. As Rivette put it, with bracing directness, in the extended 1968 _Cahiers du cin\u00e9ma_ interview \"Time Overflowing\": \"I believe more and more that the role of the cinema is to destroy myths, to demobilize, to be pessimistic. Its role is to take people out of their cocoons and to plunge them into horror.\"\n\nFor most writers, the defining characteristics of Rivette's filmmaking are his use of improvisational acting and protracted pacing, both of which are frequently presented as challenges to conventional notions of film authorship and viewing. Almost all of Rivette's films are over two hours long, and several run for more than four hours, notwithstanding the fact that only one of them ( _Joan the Maid_ , 1994) contains the sort of dramatic events crucial to Hollywood-style epics. This unusual approach to duration created considerable impediments to the distribution of Rivette's films, but his refusal to accommodate his work to the conventions that dictate that a three- or four-hour film must have a commensurately expansive narrative scope has been celebrated internationally by critics inclined to ascribe political importance to deviations from dominant practice. Robin Wood even claimed that the \"'unjustified' length of [Rivette's] films... represents an act of cultural transgression.\" Rivette, however, has repeatedly insisted that he has no intention of deliberately provoking audiences and makes such long films because he believes their rhythms foster a unique form of intensity that encourages deeper cinematic immersion. In his most formally adventurous works\u2014 _L'Amour fou_ (1968), _Out 1_ (1971), _Out 1: Spectre_ (1972), _C\u00e9line and Julie Go Boating_ (1974), _Duelle_ (1976), _Noro\u00eet_ (1976), and _Le Pont du nord_ (1981)\u2014Rivette reflexively opens up diegetic space in complex ways, setting multiple levels of meaning and viewing against one another without abandoning the hypnotic powers of narrative illusionism.\n\nPartially because of the emphasis on _jouissance_ and _jeu_ in the contemporaneous critical writings of Roland Barthes and Jacques Derrida, Rivette's most radical experiments are often understood to pivot around the different narrative mechanisms, imagined and actualized, that are dispersed throughout his films. Certainly, \"play\" is an integral element of Rivette's style, manifested in the thematic interest in chess-like games and the nature of performance as well as the vertiginous interchange between different layers of intertextual reference. What is underrecognized in critical discussions of Rivette's work is the importance of mythology and ritual. In a 1973 interview, Rivette expresses his admiration for then recent films by Mikl\u00f3s Jancs\u00f3, Ingmar Bergman, and Werner Schroeter, claiming that what interested him is the fact that they \"tend towards the ritual, towards the ceremonial, the oratorio, the theatrical, the magical, not in the mystical so much as the more devotional sense of the word, as in the celebration of Mass.\" The drumbeats and incantatory chanting used in the opening credits of _L'Amour fou_ , the theatrical performance that opens _Out 1_ , and even the three knocks on the door at the beginning of _The Nun_ (1966) all point toward the sorts of ceremonial effects that Rivette evidently saw as constitutive of one form of cinematic modernism. Hence the repeated analogizing, in the films of the 1960s and 1970s, of theaters and arenas, the ritualistic rehearsals of classical or classicizing plays with mythic themes (Shakespeare's _Pericles_ , 1607\u20131608; Racine's _Andromaque_ , 1667; Aeschylus' _Prometheus Bound_ , fifth century BCE, and _Seven Against Thebes_ , 467 BCE), and the portrayal of collective performance as a utopian enterprise.\n\nThe fact that these films are equally preoccupied with failure and negation\u2014with the fact that the plays are not performed, the mysteries are not explained, the relationships do not hold\u2014gives a very different inflection to Rivette's much-vaunted playfulness. Play, in this context, is a defense mechanism, a way of staving off the fear that encroaches when the projects or quests the characters embrace collapse in on themselves. When Claire and S\u00e9bastien, the central couple in _L'Amour fou_ , reach a crisis point in both their marital and professional lives, the response is to degenerate into infantile antics and role-playing, which seems harmless until they begin blithely smashing through the walls of their apartment with a sledgehammer. Like more unreconciled versions of the repressed behavior that is chaotically unleashed in the post\u2013World War II Howard Hawks comedies that Rivette wrote about with such wild enthusiasm, the wanton self-destruction of Claire and S\u00e9bastien suggests a retreat into a private domain that promises temporary security through hermetic enclosure. In Rivette's films, liberation from social constraints is often inseparable from madness; like the bacchanals of Claire and S\u00e9bastien, the convulsive laughter of C\u00e9line and Julie in _C\u00e9line and Julie Go Boating_ frequently suggests imbalance as much as freedom. The most potent example of this in Rivette's work is the laugh Joan of Arc lets out toward the end of her trial, a jarring eruption of childish energy that chillingly suggests the anguish brought about by total isolation.\n\nAlthough they are never the dominant emotions, terror and anxiety are almost invariably lurking in the background of Rivette's films, suddenly coming into full view on the face of an actor or (more often) an actress, generally shown in medium close-up (figure 3.1). In some instances, these act as physiognomic expressions of a claustrophobic entrapment also expressed architectonically through the carefully calibrated alternation of shots in which characters walk deep into the background through corridors or doorways\u2014expanding the viewer's sense of spatial boundaries\u2014with space-compressing shots in which objects or architectural features dwarf the human figures. In other cases, these fugitive glimmers of inquietude seem to emerge not from spatial entrapment but from the uncertainty brought about by movement into unknown territory. Late in _La Belle Noiseuse_ (1991), for example, there is a moment when the artist Frenhofer sets Marianne up in a pose and then leaves her standing there alone; genuine panic briefly flashes across her face, a reaction that seems to come as much from the actress as from the character she is playing, a characteristically Rivettian blurring of representational levels that is rendered even more startling by its position just after one of the film's few jump cuts (figure 3.2). Whether or not moments like this were in any way planned before shooting, they function as spontaneous interruptions, points of rupture where the smooth veneer\u2014of the narrative space and of the human face\u2014begins to crack, and something usually withheld is unexpectedly exposed.\n\nFIGURE 3.1 The Nun _(Jacques Rivette, 1966)._\n\nFIGURE 3.2 La Belle Noiseuse _(Jacques Rivette, 1991)._\n\n### \"Every Shot Is an Event\"\n\nMy cinema is not a cinema of montage; it is a cinema of continuity, of events during shooting.\n\n\u2014JACQUES RIVETTE\n\nLike most directors associated with the French New Wave, Jacques Rivette began his career as a film critic. Yet while some of his most lucid pieces\u2014especially his \"Letter on Rossellini\" and his review of Gillo Pontecorvo's _Kap\u00f2_ (1959)\u2014have exerted a lasting influence on international film culture, Rivette seems to have viewed his writing primarily as a prelude to his filmmaking. When he characterizes _Beyond a Reasonable Doubt_ (Fritz Lang, 1956) as being about clandestine forms, expresses an interest in \"movement from the Interior,\" and describes the mental processes the viewer goes through in transforming narrative puzzles into conceptual patterns, he is speaking more about his own work than the late films of Fritz Lang. Nowhere is this double consciousness more explicit than in an aside in the \"Letter on Rossellini,\" where, after observing that \"with the appearance of _Voyage to Italy_ [Roberto Rossellini, 1954], all films have suddenly aged ten years,\" he writes, \"Here is our cinema, those of us who in our turn are preparing to make films (did I tell you, it may be soon).\" In other _Cahiers du cin\u00e9ma_ texts, he implies that the essence of cinema lies in its capacity for revelation, claiming that Alfred Hitchcock's films make it possible to see the \"space between something exterior and something very secret\" and arguing elsewhere that \"the goal of every work of art\" is the disclosure of a \"secret figure.\"\n\nRivette's emphasis on a veiled, secretive world lying just beyond the material surface of things accords very strongly with the Catholic tenor of much of his early criticism and also provides an important context for his repeated allusions to a \"breach\" opening up in the most vigorous cinema of the 1950s. In the \"Letter on Rossellini,\" he writes that _Voyage to Italy_ , whose form conveys subjectivity through shots focusing on inquisitive looking rather than dramatic development, \"opens a breach... that all cinema, on pain of death, must pass through.\" The term is used again, several months later, to describe the dynamic styles of American \"auteurs\" like Nicholas Ray and Anthony Mann, who incorporated discontinuous cutting into the bodies of their films and thereby presented an alternative to the \"conventions of classical editing\"; in Rivette's words, \"Those punches, weapons, dynamite explosions have no purpose other than to blast away the accumulated debris of habit, to create a breach.\" Intriguingly, he suggests that the function of this breach is to allow filmmakers to \"pass beyond the long period of submission to the manufactured product and openly renew links with the tradition of 1915, [D. W.] Griffith and Triangle [Studios],\" to reconnect with the more lyrical aesthetics of silent cinema and rediscover \"na\u00efvet\u00e9.\"\n\nThis idea of reviving an approach to filmmaking associated with the early silent cinema was expressed more directly in Rivette's first, most manifesto-like essay, \"We Are No Longer Innocent,\" in which he calls for a return to the principles of \"simple writing,\" of a documentary-like attentiveness to the \"universe of life; the camera reduced to the role of witness, an eye.\" Implicitly recapitulating the language of German Romanticism, Rivette argues that this sort of filmmaking would be \"always a tentative adventure, a continual improvisation, a perpetual creation.\" While these would remain fundamental values for the rest of Rivette's career, his relationship to the mythical purity of silent cinema would change in the late 1950s and early 1960s as he became more attached to contemporary developments in the other arts and to the historical predicament of the postwar generation. Asked in a 1963 _Sight and Sound_ interview whether the cinema had once reached \"a sort of state of grace, which it has lost today,\" Rivette tellingly responded, \"Yes... but since it is lost, it isn't worth talking about.\"\n\n_Paris Belongs to Us_ (1961), Rivette's first feature film and one of the earliest works of the French New Wave, epitomizes his attitude and approach at that time. The film includes a number of shots of characters standing atop buildings looking down at the city of Paris, along with an overall sense of menace and potential danger that suggests the World War I\u2013era work of Louis Feuillade (figures 3.3\u20133.4). The film also includes a resonant insert shot of the Tower of Babel from Lang's _Metropolis_ (1927), cropped to emphasize the director's metonymic use of hands. Yet while Rivette adopts visual strategies from the silent era, he does so in a way that is fully conscious of the historical events that have intervened, transforming the forms so radically that they seem strikingly contemporary. Entrenched in its late-1950s milieu, _Paris Belongs to Us_ \u2014which, unlike most of Rivette's later work, is a totally scripted film\u2014includes charged references to Francoist Spain, Joseph McCarthy, atomic bombs, and even then potential presidential candidate Richard Nixon. All of these are methodically interwoven into an ever-expanding conspiratorial web by a young woman (Anne) who gets involved with a theater troupe attempting to put on Shakespeare's _Pericles_ and begins finding hidden meanings in every situation. Like the protagonist, the viewer is gradually inculcated into this obsessively suspicious mode of viewing. Although Rivette does make room for a number of the exploratory shots (either traveling along the street or taking in the surroundings from the perspective of cars or trains) that are characteristic of the New Wave in this period, the spaces they depict are rendered progressively more threatening until even the Arc de Triomphe begins to appear ominous. Late in the film, one character portentously says, \"In 1945, one person [Hitler] died, but the greatest conspiracy still continues\" and makes vague allusions to \"their\" attempts to regain power, but it has already become clear to both Anne and the viewer that this is hysterical bombast, a pointless and dangerous misappropriation of Resistance rhetoric that testifies to the self-defeating Cold War paranoia that leaves the characters paralyzed.\n\nFIGURE 3.3 Les Vampires _(Louis Feuillade, 1915\u20131916)._\n\nFIGURE 3.4 Paris Belongs to Us _(Jacques Rivette, 1961)._\n\nThe melancholic, disillusioned mood of _Paris Belongs to Us_ stands in stark contrast to the youthful ebullience of the iconic films fellow New Wave directors\u2014and _Cahiers du cin\u00e9ma_ colleagues\u2014Jean-Luc Godard ( _Breathless_ , 1960, and _A Woman Is a Woman_ , 1961) and Fran\u00e7ois Truffaut ( _The Four Hundred Blows_ , 1959, and _Shoot the Piano Player_ , 1961) were making at the same moment. In its intellectualized treatment of characters with a debilitating obsession with historical traumas, _Paris Belongs to Us_ is much closer to a film like _Hiroshima mon amour_ (Alain Resnais, 1959), an impression reinforced by its modernist score. Philippe Arthuys' Bartok-inspired music perfectly matches the constantly shifting, unstable sense of space in _Paris Belongs to Us_ , which, like the nebulous \"conspiracy,\" manages to seem simultaneously sprawling and foreclosed. It also points to Rivette's abiding extracinematic interest in modernism among and between the arts. For Rivette, following Andr\u00e9 Bazin, cinema was \"impure, complex, between the novel, theater, painting, music, dance, etc.,\" a nexus of different influences given new meaning by their position within a film. Throughout the 1950s, Rivette's touchstones were early twentieth-century figures like Igor Stravinsky and Henri Matisse, both of whom are treated as paradigms in a number of critical articles. He describes the cinematic problems addressed by Resnais as \"parallel to those that Stravinsky sets himself in music\u2014an alternating succession of exaltation and repose... the search for an equilibrium superior to all of the individual elements of creativity.\"\n\nA quote by Stravinsky was used as the epigraph for _Cahiers du cin\u00e9ma_ shortly after Rivette became editor-in-chief, and during his tenure, the journal opened up to such avowed cinematic modernists as Michelangelo Antonioni and to major figures in culture and the arts more generally. \"Modernity\" became one of the most frequently used words in the journal, and, as contributor Andr\u00e9 S. Labarthe has explained, Rivette conceived of the word \"in terms of the opposition to classical culture and of integration in new artistic forms.\" In this sense, the sudden prominence of the term signaled a movement away from the inveterate \"classicism\" of previous editor \u00c9ric Rohmer, as well as a shift in Rivette's own critical concerns. It was with this expanded notion of artistic modernity in mind that he conducted a lengthy interview with Pierre Boulez and reread _Monsieur Verdoux_ (Charles Chaplin, 1947) from the perspective of the present, comparing the attitude of Chaplin toward his fictive persona \"to [Bertolt] Brecht before his [1939 play] _Mother Courage_ , to [Jean] Fautrier before his [1943\u20131945 painting and sculpture series] _Otages_ , to Boulez before his _Structures_ [serialist works composed between 1951 and 1961].\"\n\nRivette tried to achieve a similar synthesis in his own filmmaking, describing his second feature, _The Nun_ , as a \"film in the spirit of Mizoguchi [Kenji],\" but also as a film originating with \"the ideas of Boulez... the idea that each shot had its own duration, its tempo, its 'colour' (that is, its tone), its intensity and its level of play.\" For the first time in _The Nun_ , Rivette made striking use of extended cuts to black leader, which become more frequent as the film goes on. Where filmmakers like Markopoulos incorporated passages of empty leader to redefine the viewer's relationship to (and perception of) onscreen imagery, Rivette used it to emphasize the temporal elisions in the narrative while also making individual sequences feel like cells of isolated space-time, a formal correlate to the fractured isolation experienced by the young protagonist. Adapted from Rivette's own 1963 stage production of Denis Diderot's text, _The Nun_ created a scandal in France, but in its dependence on a tightly formulated script and the supple performance of a well-known star (Anna Karina), it was as close as Rivette would come in this period to making a traditional \"art film.\"\n\nWith his three-part 1966 documentary on Jean Renoir, Rivette's aesthetic took a decisive turn in a new direction. Rivette had long been one of Renoir's most fervent admirers (when _The Golden Coach_ opened in 1952, he was apparently so enraptured by the film that he watched it continuously from 2:00 p.m. to midnight), but the detailed study, on an editing table, of the director's entire corpus \"made [him] see things differently.\" Titled _Jean Renoir le patron_ , after Jean Paulhan's 1952 text on Georges Braque, the resulting film was part of the _Cin\u00e9ma de notre temps_ series supervised by Labarthe and Janine Bazin for French television, and it was made with the lightweight 16mm equipment that Rivette felt enabled one \"to do things which were possible in the silent days but were practically impossible... during the first thirty years of the sound film.\" By virtue of its size, low cost, and mobility, this equipment facilitated not only location filming, but also a higher shooting ratio, encouraging a more exploratory approach to cinematic form, with the overall shape of a film developing in relation to the events being recorded rather than a set of preplanned ideas.\n\nBy the time _Jean Renoir le patron_ was made, 16mm synchronized sound cameras were associated primarily with cin\u00e9ma v\u00e9rit\u00e9, the subject of a contentious debate that would affect many filmmakers in this period. The phrase was coined by sociologist Edgar Morin in a 1960 article for _France observateur_ as a direct translation of Dziga Vertov's _Kino-Pravda_ , but it very quickly became an umbrella term encompassing a number of documentary approaches with different methods and assumptions. One strand, centered in North America around the National Film Board of Canada and Robert Drew's Drew Associates, advocated a minimum of authorial intervention, transforming the camera into a sort of objective witness, which would purportedly allow more immediate access to reality and \"cinematic truth.\" For Richard Leacock, one of the chief theorists of \"Direct Cinema,\" the filmmaker should function \"as an observer and, perhaps, as a participant capturing the essence of what takes place around him, selecting, arranging, but never controlling the event. [By doing so], it would be possible for the significance of what is taking place to transcend the conceptions of the filmmaker, because, essentially, he is observing the ultimate mystery, the reality.\" This can give Direct Cinema films like _Primary_ (Robert Drew, 1960) the impression of what Vertov called \"life caught unawares,\" but they are often founded on an epistemological contradiction in which the mediating presence of the filmmaker at all levels of production (shooting and \"selection\" as well as editing) is problematically ignored. In the work of filmmakers like Jean Rouch, cin\u00e9ma v\u00e9rit\u00e9 instead refers to a complex, reflexive effort to provoke situations out of which \"truth\" might emerge rather than an attempt to use the camera to unselfconsciously document external events. Rouch, who abandoned the term cin\u00e9ma v\u00e9rit\u00e9 after it became clear that it was being interpreted in radically different ways outside France, developed an unusual rapport with his subjects (who often participated in a number of unrelated films), and he used these relationships to provocatively blend fictional and documentary modes in a way that deeply influenced Rivette.\n\n_Chronicle of a Summer_ (Edgar Morin and Jean Rouch, 1961), widely regarded as a virtual manifesto for cin\u00e9ma v\u00e9rit\u00e9, includes a scene near the end in which the individuals interviewed elsewhere in the film attend a screening of the compiled footage and comment upon their own self-presentations. Codirector Morin helps lead the discussion from the front and expresses his concerns about certain people who he thought exhibited too much of themselves, pushing the project in the direction of melodrama. At least one of the scenes is revealed to be a constructed performance, and several of the interviewees express frustration at the images they see of themselves onscreen, but in a postscreening coda, Rouch and Morin, walking through the halls of the Mus\u00e9e de l'Homme, agree that their way of involving their subjects in the cinematic process has great potential. Within the projects shot and directed by Rouch alone, before and after _Chronicle of a Summer_ , the intrusion of fictional elements into an ostensibly documentary framework is taken much further. This is especially true of _The Human Pyramid_ (1961), an experimental study of a group of students at a lyc\u00e9e on the Ivory Coast, in which the participants were invited to incorporate their own narratives and desires into the film.\n\nUnlike _Chronicle of a Summer, The Human Pyramid_ makes no pretense to objectivity, opening with two precredit sequences that both complicate and clarify the unusual approach of the film: a brief shot of two of the central characters walking the streets of Paris \"after\" the events depicted in the main body of the film is followed by a scene of Rouch explaining his method to the students and soliciting their active collaboration. In subsequent scenes, present-tense events are intermingled with flashbacks and fantasies, while the soundtrack becomes a fluid amalgam of directly recorded sound, postsynchronized dialogue, reflections from some of the participants, and third-person narration by Rouch. These representational registers flow into one another without clear differentiation, giving the film a disarmingly dreamlike atmosphere that is disrupted by a final sequence that metaphorically and literally depicts the takeover of fiction, as Rouch stages the death of \"Alain,\" the one entirely constructed character in the film. Although it is not immediately evident to the lyc\u00e9e students, the \"suicide\" of Alain is a moment of pure artifice, a simulation of the fictional deaths that bring closure to many narrative features. By concluding his open-ended experiment with this surprising intrusion, Rouch forces the viewers to re-evaluate what they have just seen, drawing attention both to the inevitable presence of fictional tendencies within even the most uncontrolled filmmaking situation and to the director's role as the intellectual agent shaping the complex matrix of perspectives presented in the film.\n\nIt is this conception of cin\u00e9ma v\u00e9rit\u00e9 that Rivette's documentary on Renoir is responding to. Although it appears to be more naturalistic than _The Human Pyramid_ , the _Portrait de Michel Simon par Jean Renoir ou Portrait de Jean Renoir par Michel Simon ou La Direction d'acteurs: Dialogue_ episode of _Jean Renoir le patron_ makes similarly sophisticated use of audiovisual montage to activate the different resonances of the footage, creating a portrait whose deceptively complex form mirrors that of its subject. Large portions of the film depict director Jean Renoir and his former actor Michel Simon talking about various matters in real time on a particular day. The roving camera generally stays close to them, but it also moves around the table at various points, capturing interviewer-director Rivette, some of the camera equipment, and other people present in the same space. While the earthy conversation of Renoir and Simon is engrossing, the viewer is never allowed to forget that this seemingly casual encounter between friends is mediated by the director and crew, and the final film includes shots of clapboards, of someone putting a hand over the camera lens, and even of a blank screen as the camera battery is reloaded. Even more pronounced intervention occurs as sequences from films Renoir and Simon made together are inserted at unexpected moments. There are no clear transitions separating these excerpts from the main body of the film, and the sound from the conversation continues over (or at least bleeds into) the clips, creating a dialogue between remembered, lived, and represented experiences, which become increasingly intertwined as the film progresses.\n\nUnlike many of its partisans, Rivette was fully conscious of the fundamental artificiality of cin\u00e9ma v\u00e9rit\u00e9 techniques, and he felt that its interest as a style comes \"from the moment you realize it's a creator of artifice (and not, I repeat, of lies). But one which, by comparison with the traditional method, is more directly in touch with that particular artifice which constitutes the act of _mise en sc\u00e8ne_ , of filming.\" In _L'Amour fou_ , Rivette sets both methods against one another by positioning 16mm footage in a v\u00e9rit\u00e9 style within the larger frame of a 35mm narrative fiction. The 16mm material was shot by Labarthe as a faux documentary of a troupe, led by theater director Jean-Pierre Kalfon, preparing to perform Jean Racine's _Andromaque_. Using a Coutant 16mm camera capable of synchronized sound, Labarthe and his crew inquisitively get in close to their subjects, creating a sort of confrontational intimacy by filming human faces in extreme, slightly hazy close-up from a low angle. By contrast, the 35mm sections, which show the Labarthe documentary being filmed and also depict the romantic dramas of S\u00e9bastien (Kalfon) and his wife Claire, are shot with a large, and largely impassive, Mitchell camera and are lit much more clearly.\n\nThe distinction between the two film formats is mirrored in the demarcation of the two narrative streams of _L'Amour fou_ \u2014the scenes focusing on the married life of Claire and S\u00e9bastien are generally shot in enclosed domestic spaces, while the rehearsals take place inside a theater with audience members frequently present and the equipment used for the documentary clearly visible. Both sections have their own rhythms and sonic environments; the scenes inside the apartment use natural light, include a number of shot\/countershot exchanges, and feature very few nondiegetic sounds, all in accordance with the conventional codes of cinematic realism. These scenes contrast markedly with the rehearsals, which generate intensity through the switches back and forth between the two different cameras, with their attendant differences in framing, visual texture, and sound quality. The tension between the highly localized sound associated with the 16mm equipment and the much more atmospheric sound present in the 35mm shots, for example, helps keep the two levels of filming distinct even as it paradoxically makes the (16mm) \"documentary\" footage look more stylized.\n\nThe narrative motor for both plots is Claire's decision, very early in the film, to leave the play her husband is directing, because she is concerned about the recording of the rehearsals by Labarthe's unit. When she is replaced by S\u00e9bastien's ex-girlfriend Marta, a wedge is driven between their personal and professional lives, and Rivette uses the extended duration of the film to depict the slow disintegration of both the couple and the troupe. The choice of Racine's _Andromaque_ as the play being rehearsed reinforces this, because its portrayal of unrequited passion leading to despair and eventual madness has a number of concordances with the entangled web of interpersonal relationships in the film. Rivette claims that he tried to downplay easy comparisons during shooting, but he was certainly aware of the structural echoes, and they are underscored at several points. Feeling increasingly isolated and desperate to communicate her feelings to her husband, Claire begins compulsively reading into a tape recorder the lines of the role she was supposed to perform, at one point reciting a long passage from a key speech:\n\nWhere am I? What have I done? What must I do?\n\nWhat clouds my heart? What cleaves my brain in two?\n\nAll through the palace, aimlessly I move.\n\nAlas, I know not whether I hate or love.\n\nOh, with what cruel eyes he took his leave!\n\nNo pity in them, no pretense to grieve.\n\nWas there a moment's pain or mercy shown?\n\nCould I extract from him a single groan?\n\nDumb to my sighs, unmoved by my dismay,\n\nDid he seem touched by me in any way?\n\nAnd still I pity him! Worse yet, my heart\n\nIs cowardly enough to take his part\n\nThis language is from act five, scene one, when Hermione deliberates, in soliloquy, about her request to have Orestes arrange to kill Pyrrhus, who has spurned her for Andromaque. In _L'Amour fou_ , S\u00e9bastien himself plays Pyrrhus, and the triangulation of roles and perceptions is made apparent by cutting from the private monologue of Claire, who uses this moment of concentrated subjectivity within Racine's play as an indirect expression of her own dilemma, to Marta performing the same lines onstage. Sequences like this make the relationships between the different characters ambiguous and blur the boundaries between public and private space. When Labarthe suddenly interviews Marta in her room rather than the theater, the effect is of a breach of trust, even a sort of violation, which ironically makes the ethical importance of these distinctions clear.\n\nThe echoing symmetry of _L'Amour fou_ also extends to the relationship between S\u00e9bastien and film director Jacques Rivette. After several months of conversation, Rivette left Kalfon free to direct the production of _Andromaque_ as he wished, giving putative justification to Labarthe's film-within-a-film and setting in motion a set of dynamic mechanisms out of which the main conflicts would emerge. Much as the fictional psychodrama filmed in 35mm outside the theater begins to contaminate the rehearsals, however, Kalfon's approach as theater director increasingly parallels the method Rivette laid out before shooting. For Rivette, \"The guiding principle was to let things happen by themselves without ever forcing them, to be there as a witness.\" In the 16mm interviews with Labarthe, S\u00e9bastien explains that \"seeing the rushes [for Labarthe's documentary] really helped me because it seemed that it was too... directed, too manipulated,\" and he expresses an interest in breaking down rigid hierarchies of control, allowing the actors to discover the essence of their characters on their own and achieving a unity of parts and actions. The result is a labyrinthine mise en abyme in which real-life theater director Kalfon, playing the fictional role of theater director S\u00e9bastien staging a production of _Andromaque_ that is being documented by a 16mm unit, espouses the same ideas about mise en sc\u00e8ne as Rivette, the person directing the 35mm feature that subsumes all of these other elements within it.\n\nA number of critical commentators over the past four decades have taken these statements at face value, claiming that \"in _L'Amour fou_ , the director has almost vanished, as far as possible.\" Yet this is undermined even within the film-within-a-film, with Labarthe telling a frustrated S\u00e9bastien that \"playing [the lead role of] Pyrrhus while acting as director is more than simply adding a role to the director's duties, it's also a way of directing.\" Even as he tries to relinquish some of his authority, his controlling influence (like Rivette's) reasserts itself indirectly. Like the theater director within the film, Rivette let the performers and collaborators develop their own roles as much as possible, simply observing the _Andromaque_ rehearsals for several days as he tried to find a way of fluidly guiding this process without draining it of vitality. The dynamic nature of this approach is manifested in the finished film, but the authoring presence of Rivette and his colleagues is continually apparent on the level of editing, through the overt manipulation of the soundtrack as well as the cutting of the unplanned elements that emerged serendipitously from the filmmaking situation\u2014the repetition of lines, the shifting tones of the interviews, and the rhyming of actions and events in different sections of the film. Even the impression of lassitude, the rhythmic slackening encouraged by the long takes, is worked into a larger temporal structure whose presence is reaffirmed through the periodic return of title cards announcing the amount of time that has passed.\n\nCollaborative improvisation is only one aspect of Rivette's method. The true experiment in _L'Amour fou_ was to construct a form that would develop out of the dialectical interchange between predetermined and contingent elements in such a way that it would appear self-generated. In this, the film is connected to contemporaneous developments in the arts more generally, and Rivette has acknowledged that \"formally the great ambition of the film was to seek an equivalent in the cinema for [Karlheinz] Stockhausen's recent research: this mixture of what is constructed and what is by chance, which also necessarily implies duration.\" Stockhausen's signature achievement, developing out of musique concr\u00e8te and its integration of both concrete and synthetic sounds, was to reorient composition around a \"directionless time-field\" in which a wide range of tones, structured around a basic temporal interval or \"fundamental,\" could interact. Other composers (John Cage, Pierre Boulez, Luigi Nono) were exploring the aleatoric component of composition at the same moment, but embedded within these many variations is a notion of artistic liberation that is inextricable from questions of authorship. Paradoxically, the intense efforts to free music, cinema, or painting from the supposed authoritarianism of direct personal expression recapitulated the absolutist rhetoric of modernism, drawing attention back to the heroic efforts of the creator through what Krzysztof Penderecki has called \"the utopian quality of its Promethean tone.\"\n\nRivette remains presciently aware of this paradox, thematizing it through the Kalfon character at the same time as it is reproduced formally and ultimately circumscribing all the unplanned elements of the film. Like _Ugetsu_ (Mizoguchi Kenji, 1953), a film Rivette has expressed his admiration for repeatedly (Claire listens to a record of the soundtrack music in one scene), _L'Amour fou_ begins with a circular pan up and ends with a circular pan down on an almost identical image. In Mizoguchi's case, this conveys historical cyclicity, a cosmic idea of the relative insignificance of the events portrayed in the film that is fully in accord with the precepts of the Nichiren Buddhism he had recently embraced. In _L'Amour fou_ , by contrast, the same arrangement makes it seem as though the film were closing in on itself, constrained within the limits of the frame. Even this contains ambiguity, however, because the first and last sounds in the film are of a child crying, which metaphorically suggests the childlessness of the central couple, and symbolically stands in for Andromaque's child Astyanax, while also serving as a perfect example of the unpredictable elements fortuitously captured during shooting. This simple sound encapsulates the double bind of _L'Amour fou_ , insistently pointing to the uncontrolled world outside the closed circle that it is, through its rigorous repetition, firmly enclosed within.\n\n### Noli me tangere\n\nIt is useful to study the rules that Aeschylus obeyed; however, it is better still to discover the values that led Aeschylus to take these rules into consideration.\n\n\u2014JEAN PAULHAN, EPIGRAPH TO FEBRUARY 1965 ISSUE OF _CAHIERS DU CIN\u00c9MA_ 47\n\nWhatever is fitted in any sort to excite the ideas of pain, and danger, that is to say, whatever is in any sort terrible, or is conversant about terrible objects, or operates in a manner analogous to terror, is a source of the sublime; that is, it is productive of the strongest emotion the mind is capable of feeling.\n\n\u2014EDMUND BURKE, _A PHILOSOPHICAL ENQUIRY INTO THE ORIGIN OF OUR IDEAS OF THE SUBLIME AND BEAUTIFUL_ (1757)\n\nLike _The Nun, L'Amour fou_ was a source of controversy upon its initial release, and this time it found Rivette fighting against the same producer, Georges de Beauregard, who had supported Rivette throughout the lengthy censorship battle over _The Nun_. De Beauregard understood that the aura of notoriety attached to _The Nun_ would increase its commercial prospects, but he evidently felt that the four-and-a-quarter-hour length of _L'Amour fou_ was an unjustifiable obstacle to its release, and he insisted on a drastic reduction. When Rivette refused, \"on the grounds that his experiment is pointless without this freedom from conventional time-limits and traditional boundaries,\" a two-hour abridgement, which he subsequently disowned, was prepared. A single screening of the original cut was held at the Cin\u00e9math\u00e8que fran\u00e7aise in May 1968, and it played at one Parisian art house later that year, with the abridgement put into general release by Cocinor Films in January 1969. The complete version was better attended than the two-hour cut, proving Rivette's point that \"to make a film appear shorter, it is necessary to elongate it,\" and setting the stage for _Out 1_ , his most radical exploration of cinematic duration.\n\nAfter successfully utilizing a number of uncontrolled variables to create an austerely rigorous work, Rivette wanted to take his experiments with the boundaries of cinema further by making a film whose overall length would be established only at the end of production. He secured an \"Advance on Receipts\" from the Centre national de la cin\u00e9matographie (CNC) on the basis of a four-page outline and was able to make the film\u2014eventually dubbed _Out 1_ to signify its opposition to the mainstream\u2014thanks to the support of St\u00e9phane Tchalgadjieff, an innovative producer with whom he would remain affiliated for the remainder of the decade. Rivette's project was conceived as a modern equivalent to the serial format developed in the United States and France during World War I, a film made in multiple parts without a definite ending in mind, and Tchalgadjieff agreed to begin the project \"without knowing if the film would last six hours, twelve hours, eighteen hours, or twenty-four hours!\" At this stage, Rivette apparently hoped that French television (ORTF) might help distribute it, but ORTF refused. Since the film's thirteen-hour length also made theatrical distribution completely impractical, _Out 1_ received only a single public screening (as a work print) at the Maison de la Culture in Le Havre, over two days on October 9 and 10, 1971. A description of the film was published on the cover of the arts section of _Le Monde_ , along with a Rivette interview and a short piece, tellingly titled \" _Out 1_ : Voyage beyond the Cinema.\" This cut of the film was called \" _Noli me tangere_ ,\" the Latin translation of the phrase (\"Touch me not\") that the risen Christ said to Mary Magdalene when she recognized him, an allusion that mocks the film's pretentions while also positioning it within a rich iconographic lineage (figure 3.5). _Out 1_ was not exhibited again anywhere until the 1989 Rotterdam Film Festival.\n\nFIGURE 3.5 Noli me tangere _(Titian, circa 1514; photograph \u00a9 National Gallery, London \/ Art Resource, NY)._\n\nEventually, more than twenty years after its production, _Out 1_ was broadcast and released on videotape, possibilities that Rivette dismissed in 1971 as \"utopian.\" Since it is broken up into sections generally running for ninety to one hundred minutes, the film could conceivably be watched episodically, but its true impact comes only from sustained viewing. Rivette later admitted that showing it in parts on television would have been \"a disaster,\" and suggested that the \"ideal thing was to see it in two days, which allowed one to get into it enough to follow it, with the possibility of stopping four or five times.\" He similarly insisted that the film was intended for cinematic exhibition: \"It is 16mm [the standard format for television production in the 1970s], but it was made with the big screen in mind: it has a meaning on the big screen which it wouldn't have on the small screen. Even visually it is composed of elements implying a massive image\u2014a monumentality is putting it too grandly but that's it nevertheless.\" For Rivette, the scale of the projected image and the concentrated viewing made possible by a theatrical screening is tied to the transformative potential of the experience, which would have been further heightened by the awareness that this was the only possible way to see the film. Far from incidental, the length was an essential part of the film's meaning:\n\nThe relationship to the thirteen-hour film is a relationship totally falsified at the outset by the fact of the performance. Even in _L'Amour fou_ this came into play for the spectator to a certain extent\u2014the idea of going into an auditorium and getting out four and a quarter hours later\u2014but at least it kept within reasonable limits, it was still feasible, only a little longer than _Gone with the Wind_ [Victor Fleming, 1939], though without the bonus of the Civil War. Whereas twelve hours forty minutes... it may not be the first time a film has run for so long, but at any rate the only equivalent in my opinion\u2014and even then it isn't so long\u2014is when [Henri] Langlois shows a [Louis] Feuillade serial at the Cin\u00e9math\u00e8que, starting at six in the evening and going on till one a.m. with three little breaks.\n\nSerials like Feuillade's _Fant\u00f4mas_ (1913\u20131914) or _Les Vampires_ (1915\u20131916) would originally have been screened in small, regularly spaced intervals over a period of several weeks, and Langlois' decision to screen them intensively had little historical justification. Yet Feuillade's films exerted an influence in the post-1945 period (above all on Rivette) precisely because these marathon screenings made them simultaneously absorbing and disorienting, impressions strengthened by Langlois' practice of removing all intertitles from the prints.\n\nFeuillade was by no means the only major director of serials, but he was the most prominent and, thanks to the support of studio head L\u00e9on Gaumont, he was also the most fully in control of his films. Embraced by the Surrealists, who nevertheless could not even remember the name of the person who directed their beloved _Les Vampires_ , Feuilade's major works were held in contempt by critics concerned with lending an air of artistic respectability to the cinema. Louis Delluc, for example, regarded Feuillade as the embodiment of everything against which the emerging French avant-garde was struggling, claiming that \" _Judex_ [1916\u20131917] and _The New Mission of Judex_ [1917]... are more serious crimes than those condemned by court-martial.\" The individual films were largely forgotten by the time Feuillade died in 1925, but they were revived by Langlois when the Occupation ended, and in them critics like Francis Lacassin felt they had discovered a \"third possibility,\" a hybrid alternative to the then famous opposition of the cinema's fantastic and realistic impulses (incarnated, respectively, by Georges M\u00e9li\u00e8s and the Lumi\u00e8res).\n\nA political conservative attached to the idea of mass cinema, Feuillade made films that were fully in the feuilleton tradition of popular fiction, with clearly defined heroes chasing remarkably clever villains across a Paris envisioned in terms of middle-class culture. Yet by situating dangerous events within the well-lit avenues of an urban environment captured with documentary accuracy (although they were not intended as such, films like _Fant\u00f4mas_ are among the best visual records of pre\u2013World War I Paris), Feuillade turned realism on its head, defamiliarizing a city whose Gothic buildings and criss-crossing streets could appear comforting or threatening depending on the context. Over the course of each of Feuillade's serials, spaces are connected in unexpected ways, through invisible tunnels and secret passages as well as windows, doorways, and ceiling lights. By the end of the war, space in Feuillade's films had become porous, opening up in all directions, often through startling juxtapositions: the interior of a bourgeois house is suddenly connected to a group of red-tinted ruins framed like liminal portals, while an innocuous set of stairs leads the characters into a subterranean cavern that appears to recede infinitely. It is this kind of unconscious surrealism\u2014in which a sharply articulated space is deformed and rendered eerily abstract through simple shifts in perspective or the appearance of incongruous details\u2014that made these films seem so poetically dreamlike to directors like Rivette, who playfully acknowledges his debt to Feuillade with the rooftop gun battle in the final episode of _Out 1_.\n\nAs Rivette's comments about the unorthodox way he viewed these serials indicate, _Out 1_ was also a tribute of sorts to the idea of cinema exemplified by the Cin\u00e9math\u00e8que fran\u00e7aise under Henri Langlois. Langlois viewed programming as a form of montage, arranging screenings so that very different types of films would be screened back to back, revealing previously unseen connections. A Douglas Fairbanks comedy would be followed almost immediately by a film of Luis Bu\u00f1uel or Andy Warhol, and this model of cinematic integration informed Rivette's thinking about both film criticism and filmmaking. Rivette kept up to date on developments in both commercial and avant-garde cinema, describing Alfred Hitchcock's _Marnie_ (1964) as a partial inspiration for _L'Amour fou_ while also expressing admiration for \"structural\" films like Michael Snow's _La R\u00e9gion centrale_ (1971) and Ken Jacobs' _Tom, Tom, the Piper's Son_ (1969). The deliberate pacing and formal precision of these films could potentially be related to _Out 1_ , but its distended form reflects the strong influence of Jean Rouch's _Petit \u00e0 petit_ (1969\u20131971), a comic inversion of his earlier \"ethno-fictions.\" _Petit \u00e0 petit_ includes a group of satirical scenes in which two men from the Ivory Coast travel to Paris and explore it anthropologically with the help of a map and guidebook; these scenes are both visually and conceptually echoed in the exploratory wanderings of Colin in _Out 1_ , but it was the way in which Rouch's film was presented at the Cin\u00e9math\u00e8que that had the greatest impact on Rivette. Rouch's approach entailed the accumulation of masses of material designed to capture the sensation of a long journey between different cities ( _Jaguar_ , 1957\u20131967) or different countries ( _Petit \u00e0 petit_ ), which could result in films of indeterminate length, posing the question, later pursued by Rivette, of when and how to make cuts. Although it was eventually released commercially in a tight, ninety-seven minute form, _Jaguar_ was presented in a three-hour version at a single Cin\u00e9math\u00e8que screening in 1957. Rouch continued this practice for subsequent films, holding special screenings of an eight-hour rough cut of _Petit \u00e0 petit_ , before reducing it to a four-hour television version and a ninety-minute theatrical print (at one point, he expressed a desire to make a film running for twenty-four hours). Rivette \"was so impressed by the original that [he] refused to see the shorter versions,\" and this idea of a \"first assembly\" animates the thirteen-hour version of _Out 1_ , which strategically incorporates a few awkward dialogues, stammers, and hesitations in an attempt to draw attention to the risks associated with a production method reliant on chance.\n\nIt is in its treatment of cinematic time that _Out 1_ appears most original. The serial form mastered by Feuillade relied upon a series of surprising plot twists that produced sufficient narrative tension to make audience members want to see the next episode. Rouch's films generate a more malleable form of temporality by surrounding images suggestive of present-tense subjectivity with postsynchronized sound, making it seem as though time is unfolding in relation to the personal rhythms of the individuals portrayed. In _Out 1_ , both tendencies are dialectically interconnected, so that the overarching plot (whose true nature always remains obscure) and the interactions of the various characters appear to be on two separate temporal tracks that intersect only occasionally. This impression is heightened by Rivette's predilection for long takes, which sometimes run as long as the 16mm camera battery can handle. The unusual latitude offered by the thirteen-hour length of the film and the spectatorial commitment it demands enabled Rivette to adopt a form of extremely diffuse development, beginning the film in the midst of a long rehearsal sequence and delaying any elaboration of the motivating plot until the end of the second episode (more than three hours in). Rivette has characterized this section as an \"exposition in the manner of [Honor\u00e9 de] Balzac,\" the pseudodocumentary delineation of different social spheres, which are gradually transformed as the fictional elements proliferate. In this way, Rivette reworks the basic parameters of the Rouch paradigm, giving it a new inflection by shifting the focus away from the interdependence of fiction and documentary and toward the unstable relationship between different levels of performance.\n\nThere was no script for _Out 1_ , but Rivette and his \"cowriter\" Suzanne Schiffman worked out a schematic diagram listing all of the characters and the places in which their paths would cross. Each of the actors was encouraged to spontaneously create his or her own dialogue within each of these cells, without knowledge of scenes other than the ones in which they were participating or awareness of the overall arc of the project. Even those familiar with experimental improvisation in theater\u2014like Bulle Ogier, who had worked closely with Lettrist Marc'O, or actor-director Michael Lonsdale\u2014claimed that, for the actors, the method \"was anguish: when one performed, everything seemed completely abstract. You did not know what to do, nor what to say, nor why. Rivette knew, Suzanne [Schiffman] also; we [the actors] floundered completely.\" This restless struggling for clarity on the part of the actors was used constructively in the film, keeping the boundary between performer and role perpetually ambiguous in a way that thematically resonates with the characters' search for deeper understanding of a conspiracy that remains forever out of reach. In a similar fashion, the idiosyncrasies of the various performers became crucial elements of the film. For example, when it became clear that the most famous actor in the cast, Jean-Pierre L\u00e9aud (Colin), had difficulty improvising, Rivette and Schiffman redirected his manic energy by giving him, in the form of letters, recondite fragments of texts by Balzac and Lewis Carroll, which he then tried to decipher onscreen. In every case, the uncertainties experienced by each of the actors eventually meshes with the confusion of the characters they play, resulting in hysteria or madness driven by exhaustion (Thomas, Michael Lonsdale), alienation (Pauline\/\u00c9milie, Bulle Ogier), or interpretive delirium (Colin).\n\nA superficial reading of the method employed in _Out 1_ would suggest that Rivette has taken the \"de-authoring\" of _L'Amour fou_ to its limit, setting the performers loose in a world where the godlike director is both unseen and silent, thereby enabling a participatory form of collective creativity. As _L'Amour fou_ demonstrated, however, Rivette is acutely aware of the inevitable tendency for this type of utopian system to self-destruct, for structures of domination to reassert themselves through other means. In _Out 1_ , directorial control is decentralized and displaced, but it is abundantly evident\u2014through the unseen grid of meetings that is functionally equivalent to the conspiratorial fiction some of the characters are trying to comprehend, the letters around which the plot is structured, and surrogate figures like Lonsdale, who, like Kalfon in _L'Amour fou_ , plays a patriarchal theater director. Above all, the authorial \"hand\" of Rivette is present in the choice and editing of the images, which continually feature identifiable hallmarks of his style. In _Out 1_ , Rivette assumes the position of a demiurge, creating a situation in which, like pieces on a moving chessboard, both the performers and the characters are hemmed in by unseen forces, even while they maintain the illusion of total agency.\n\nSimilar issues are addressed by the two theater groups, each trying to present a modern adaptation of a play by Aeschylus. One troupe, organized by a woman named Lili, attempts to reinterpret _Seven Against Thebes_ by stressing words and gestures, trying to locate the meaning behind the words by repeating or chanting particular syllables in various configurations. The rival troupe, led by Thomas, works instead with _Prometheus Bound_ , using theurgic group activities to restage the struggles of the Titan. Improvisation and experimentation are central to both projects, but the Prometheus group is much freer in its physical actions, and the actors are also much more cohesively aligned around their \"leader.\" After an exercise involving a totemic mannequin standing in for Prometheus, Thomas leads the first of several discussions about the meaning of Aeschylus' play, a mixture of therapy and textual analysis that the various characters, including Thomas, humorously stumble through. In one such sequence, at the beginning of the second episode, the characters assemble a variety of different texts and objects that they feel provide ways into the play\u2014including poems about Prometheus by Goethe (\"Prometheus,\" 1774) and Percy Bysshe Shelley ( _Prometheus Unbound_ , 1820), a short text by Samuel Beckett, and a Japanese theatrical mask\u2014and Thomas instructs troupe members to \"speak in the name of Prometheus,\" to try to communicate his thoughts in a contemporary idiom. Thomas claims that he wants to divide Prometheus' creative energies among the group, but he is invariably the one adopting the lead role in the theater exercises, subtly manipulating the other performers in a way that keeps them subservient, re-enacting the system of mastery that Shelley endeavors to \"unbind.\"\n\nUnlike Abel Gance or Markopoulos, Rivette does not openly endorse the rhetoric of Romanticism, and his treatment of the Prometheus myth reflects this. Yet the parodic manner, poised between wry irony and sardonic wit, in which the different attempts to summon or represent the gods are portrayed in _Out 1_ only partially conceals the underlying seriousness of the enterprise. Here, as in his other films, Rivette remains committed to the project of reconnecting mythic and quotidian realms, setting up analogies between the daily lives of ordinary characters who frequently have symbolic names (like \"Achille\" in _Out 1_ or \"Virgil\" in _L'Amour par terre_ , 1984) and the performances of plays that once had profound ritual functions. _Prometheus Bound_ , one of Aeschylus' final plays, was the first part of a tragic trilogy that differed from earlier versions of the creation myth by ascribing political significance to Prometheus' resistance to the gods and metaphorically relating his seizure of fire to the creative energies of mankind. \"All arts that are mortal come from Prometheus,\" the Titan proudly declares. _Seven Against Thebes_ , on the other hand, was the third part of a much earlier, Oedipus-oriented trilogy consisting primarily of a series of incantatory dialogues in which Theban citizens express their thoughts about the hostile army outside their gates. Original, fifth century BCE performances would have been part of a larger Dionysiac festival and would have helped to establish a communal space outside the bounds of normal social life. Both troupes in _Out 1_ seek an equivalent for this in a world in which ancient languages are virtually incomprehensible and ancient myths have no place.\n\nUnable to rely on audience familiarity with a shared repertoire of archetypes, the two troupes attempt to make ancient theater relevant by searching for preverbal modes of expression, allowing them to circumvent the formulaic patterns of habitual speech. For Johann Gottfried von Herder, it was \"Prometheus' divine spark\" that \"ignites in the human soul... the first characteristic marks to serve as elements of language.\" It is unlikely that anyone involved with _Out 1_ was thinking of Herder while making the film, but the objective of both troupes is to reconnect the \"divine spark\" of Prometheus with the primal roots of human communication. Before making _Out 1,_ Rivette had worked with Jean Gruault on an unproduced film about Herder's more celebrated contemporary, Jean-Jacques Rousseau, and both the Thebes troupe's focus on inarticulate sounds and the Prometheus troupe's focus on symbolic movements could be seen as instantiations of the ideas outlined in Rousseau's 1781 \"Essay on the Origins of Languages.\" Rousseau identified \"sacred fire\" as the origins of human community and argued that spoken language was preceded by a language of gesture and nonverbal sounds, elegizing the melodic cadences that \"the Greek tongue had and ours lacks.\" By reversing this arc, the two troupes attempt to reclaim the lost origins of poetry and music, substituting the rhythmic communication appropriate to the time of Aeschylus for the more codified, wholly word-oriented forms of modern speech.\n\nIn their primitivist attitude toward the distant past, the projects of the Thebes and Prometheus troupes strongly resemble the 1960s theater work of Peter Brook and Jerzy Grotowski. Both Brook and Grotowski wanted to purify theater, reviving ancient ritual by means of images or strategies derived from Greek mythology, a \"rediscovery of the terror and awesomeness of the original semi-religious theater\" that is fully in keeping with Rivette's emphasis on the cinematic sublime (\"For me, the most powerful pleasure in cinema\u2014and this is something that interests me more and more... is connected with terror and anguish\"). Brook taught his actors to express internal states \"by pure thought transfer, adding vocal sound and physical rhythms 'to discover what was the very least he needed before understanding could be reached' and developing a body language 'beyond psychological implication and beyond monkey-see-monkey-do facsimiles of social behaviorism.'\" The ultimate manifestation of this was _Orghast_ (first presented at the ancient theater of Persepolis in 1971), a synthetic fusion of myths symbolically enacted within the being of Prometheus that utilized a series of dead, ceremonial languages to bypass intellectual understanding. Grotowski's writings and public statements place an even greater emphasis on religious metaphors than Brook's, and he tried to restructure the forms of drama around the figure of the performer, arguing that \"the actor must not _illustrate_ but _accomplish_ an 'act of the soul' by means of his own organism,\" turning the human body into a transmitter of hieroglyphic images. Within _Out 1_ , the Thebes troupe is aligned more closely with the practices of Brook, while the therapeutic emphasis on process of the Prometheus troupe brings them closer to the ideas of Grotowski, although there is just as much shared ground between them as there would have been in the Paris theatrical scene at the time the film was made.\n\nMuch like the assimilation of the ideas of Stockhausen and Boulez in _L'Amour fou_ , the incorporation of avant-garde theatrical models into _Out 1_ is a sign of the film's larger ambitions. Unlike _L'Amour fou_ , however, _Out 1_ masks its modernism within a realist framework that is only occasionally challenged. Rivette includes the same sorts of \"visual silences\" used, like the gaps in Anton Webern's compositions, as rhythmic punctuation in the previous two films, but these are marked in _Out 1_ not only by stark cuts to black leader, but also by shots of public squares. _Out 1_ is also much more clearly rooted in a particular moment, April and May 1970, the time of shooting indicated during the opening credits. The chronological specificity of the film is fully in keeping with its pseudodocumentary realism, and it also provides a key to understanding the larger political agendas at work within the film. The repeated references by members of \"The Thirteen\" (a cabal named after Balzac's _History of the Thirteen_, 1834\u20131835) to events two years before make it clear that this loose organization was formed in the mid-1960s and dissolved after the events of May 1968. This was precisely the moment when Brook came to Paris (where he would cofound the International Centre for Theatre Research, CIRT, in 1970) and when Grotowski's major book, _Towards a Poor Theatre_ (1968), first appeared, providing an additional context for the strategies of the two theater troupes in _Out 1_.\n\nIt eventually becomes clear that both Lili and Thomas were members of \"the Thirteen\" and that their attempts to adapt classical plays are introversions of collective enthusiasm in the aftermath of May 1968, a point that Thomas makes explicit in a monologue late in the film. When Colin confronts him with questions about the relationship between Balzac's Thirteen and _Prometheus Bound_ , he jokingly responds by demonstrating a card game called \"Thirteen,\" but this leads him to see affinities that he had been oblivious to before. As he explains to former coconspirator \u00c9tienne:\n\nYou know I started Prometheus... I realized that I can't find Prometheus... and I wonder if I haven't made some kind of link... between _The History of the Thirteen_ and Prometheus... the real Thirteen. For me, it's Prometheus in a way, he's a symbol of the Thirteen. He's a symbol because... it's a way for us to commit without knowing the ultimate end or goal. But what matters in my work, is first of all to do something. And then, through that work, you find out what the goal is. I'm discovering it through talking about it.... I have the feeling that we, to put it bluntly, we can change something that's nailed down, that's Prometheus, that makes a link and we can open things up and show people.... Things grow out of a decision made by some group, that's how things start to move. To me, Prometheus symbolizes what is prevented, and with the group, we can find enough energy to change things.\n\nRambling as they are, Thomas' comments perfectly articulate the vague utopianism motivating both the elusive \"Thirteen\" and his theatrical troupe\u2014the desire to lead a collective (inevitably run by a superelite that wants to \"hold a whole society in their hands\") toward an undefined goal, to take some sort of decisive action, regardless of its practical consequences, in the hopes of liberating the revolutionary energies embedded within an ancient legend.\n\nIn _Out 1_ , this sort of imprecise, conspiratorial idealism serves only to defer the disillusionment brought about by the realization that there are, in fact, forces totally outside the control of the individual members. Over the course of the film, Rivette makes the ultimate vanity and vacuousness of their desire for domination clear through comically deflating imagery, the cinematic equivalent of Balzac's mock-heroic prose. Like Balzac's Thirteen, the secret society in Rivette's film has \"broken up, or at least dispersed,\" and the members have assumed places in civil society. The clandestine organization in _Out 1_ is a ruse, an empty shell that, by insisting on the contemporaneity of the film\u2014on its status as a collective portrait of a certain strata of Paris in 1970\u2014Rivette is able to use as a double-edged mechanism, a device that both draws out the quixotic aspirations of the different characters and propels the self-generating narrative. Over the course of thirteen hours, the viewer, like Colin, undergoes a series of perceptual shifts, slowly becoming inculcated into an alternative history of Paris, only to discover that the quest for the true meaning of the city leads nowhere. Colin refuses to relinquish this search, responding to someone suggesting that his pursuit may be empty, \"But that would mean that the magical, mysterious world I've been living in is nothing but illusion. And that is impossible!\" In the final episode, the camera quietly observes as Colin, unable to rein in his speculations, appears to lose his sanity and Thomas, having failed to complete his reworking of Aeschylus, ends up sobbing alone on a beach, ironically in the position of the fallen Prometheus.\n\nMore than any other Rivette film, _Out 1_ depicts the dissolution of utopian fantasies, with the extended duration making it possible for the viewer to share the enthusiasm of the participants in the idea of a secret world and then to watch helplessly as their illusions of control are shattered and despair overtakes them. The use of unrestrained improvisation is the formal analogue to this thematic process, and it creates a vertiginous sense of space and time expanding outward, accumulating layers of mythic or metaphoric references, only to collapse into banality (before ever so slightly opening up again in the final moments). In this way, Rivette's longest films develop the Romantic irony described by Friedrich Schlegel in the _Athenaeum Fragments_ (1798). Like Schlegel, Rivette subscribes to a chaotic model of the universe, and he remains profoundly invested in volatile artistic structures that generate intense sensations even as they unravel. It is that double movement that separates Rivette's work from the demystifying principles of modern deconstruction, which skeptically insist on the illusoriness of all attempts to find patterns in human experience without a concomitant affirmation of the power of the creative imagination to transform these fictions into new forms. Although he is not an inveterate Romantic like Novalis or Lord Byron (or Gance), Rivette is a consummate Romantic ironist insofar as his films are predicated on the never-ending pursuit of a point where dialectical opposites would be momentarily conjoined, a fragile equilibrium that simultaneously leads outside and within itself. As he explained in an article on Mizoguchi:\n\nEverything finally comes together in that search for the central place, where appearances, and what we call \"nature\" (or shame, or death), are reconciled with man, a quest like that of German high Romanticism, and that of a [Rainer Maria] Rilke, [a T. S.] Eliot; one which is also that of the camera\u2014placed always at the exact point so that the slightest shift inflects all the lines of space, and upturns the secret face of the world and of its gods.\n\nThe ever-changing relationship between these different elements is encapsulated in a pair of images from the final hour of _Out 1_ (figures 3.6\u20133.7). The first shows Pauline\/\u00c9milie staring off blankly into a series of reinforcing mirrors, a vortex that replicates, in microcosm, the push-pull formal structure of the film, suggesting both infinite expansion and total enclosure. It is also, as the most overtly stylized image in the film and an example of one of the director's quintessential obsessions, the clearest expression of Rivette's visual signature, an inescapable reminder of the presence and authority of the filmmaker. The second is the final shot of the film, a five-second coda that shifts the meaning of everything that has preceded it by showing Marie, an actress from the Thebes troupe, standing at the Porte Dor\u00e9e by L\u00e9on-Ernest Drivier's 1931 statue of Athena, the goddess of cities, knowledge, and heroic enterprises. Marie had gone to look for stolen money earlier in the film, and by cutting to show her still standing there\u2014after both troupes have dispersed\u2014this final image renews the plot, opening up alternate interpretations of the conspiracy and adding yet another unexplained mystery to the film. With this final winking image, Rivette visualizes the \"to be continued\" that he claimed, in an interview with Marguerite Duras, should appear at the end of all films, slyly demonstrating how fiction, like conspiratorial thinking, rises like a phoenix from its own ashes.\n\nFIGURE 3.6 Out 1 _(Jacques Rivette, 1971)._\n\nFIGURE 3.7 _Final shot of_ Out 1 _(Jacques Rivette, 1971)._\n\n### Cinematic Phantoms\n\nEvery perfect thing of its kind leads beyond its kind.\n\n\u2014GOETHE, EPIGRAPH TO OCTOBER 1964 ISSUE OF _CAHIERS DU CIN\u00c9MA_ 89\n\nWhen you called my work epic a moment ago, you reminded me of [Raymond] Queneau's theory that there are two categories of the novel: those that derive from _The Iliad_ , and those that descend from _The Odyssey_. The former have to do with battles and strife; the latter concern themselves with strange voyages, with discovery and return, and with the way these things are reported. My films are obviously epic in the Odyssean manner.\n\n\u2014JACQUES RIVETTE (1975)\n\nUnlike his silent predecessors, who were more interested in realizing the totality of the long-form works they imagined than with theorizing the experience of the viewers, Rivette gave considerable thought to what the experience of watching his thirteen-hour film would be like. In interviews, he insisted that the fact that, in narrative terms, \"almost nothing happens for the first three or four hours,\" causes receptive viewers to experience \"purely the _dur\u00e9e_.\" Martin Even, in the _Le Monde_ review of the 1971 screening, describes the audience as discussing \"duration, the distortion of time, at the beginning fictional time, then real time,\" and ends his piece by writing, \"It is a quarter after midnight (already Monday), and time has truly lost all significance.\" Rivette's lack of concern for traditional narrative flow and his use of deliberate longueurs have led critics like Jean Duran\u00e7on to argue that he is \"the least rhythmic of cineastes.\" _Out 1_ does indeed include several extremely long sequences, notably the theater rehearsals, that go on much longer than is apparently \"necessary,\" but even though it may not be apparent until much later, the film possesses a clear rhythmic structure. As in _L'Amour fou_ , sustained v\u00e9rit\u00e9-like segments are regularly interrupted by insert shots and broken up through cross-cutting. The unobtrusiveness of the editing in most of Rivette's films has tended to obscure the fact that it is meticulously layered, creating subtle links that allow sequences to resonate with each other in both space and time.\n\nThroughout _Out 1_ , Rivette sets up a series of perceptual expectations and then plays with them, editing carefully around speech so as to maximize the interpretive possibilities of particular sequences, and encouraging the acclimated viewer to make assumptions that are shown to be mistaken minutes or hours later. A similar sort of distortion occurs on the level of mise en sc\u00e8ne, through slight shifts in the arrangement of space or the appearance of an object in multiple unrelated locations. The fact that the fictional apparatus that appears to structure the film is ultimately revealed to be a trap, and that certain key plot questions (like the identity of Igor) remain unresolved, further reinforces the impression that _Out 1_ is concerned with the sheer presence of time, with duration for its own sake. Yet by cutting in such a way that even the longest, most inert theater exercises or discussions are made to interact with other sequences that suggest possible redirections of the plot, Rivette imbues every minute of the film with potential narrative importance, creating an unusual form of suspense. It is here that _Out 1_ differs most significantly from the conceptual gambits of Warhol, which Rivette was certainly aware of, as well as the \"sculpted\" time of contemporaries like Andrei Tarkovsky. In films like _Andrei Rublev_ (1966\/1969) and _Solaris_ (1972), Tarkovsky refined the temporal strategies associated with filmmakers like Antonioni\u2014whose films had made narrative _temps morts_ pivotal to the critical debates of the 1960s\u2014by using glacially hypnotic pacing and hypersensitive long takes, energized by fleeting shifts in rhythm, as the basis of a new film form. Tarkovsky draws out his sequence shots until they appear drained of conventional meaning, paving the way for epiphanic moments of spiritual plenitude. Rivette does just the opposite, flooding his sequences with possible meaning only to empty them out minutes or hours later.\n\nIt is through editing that Rivette \"really starts to see the film,\" and in a 1974 interview, he claimed that he wanted \"to return, though with quite different methods, aims, and end products, to the old Dziga Vertov idea: that the montage should be conceived with the project and not merely with the exposed film.\" The thirteen-hour version of _Out 1_ , which was edited over the course of six months by Rivette and his frequent collaborator Nicole Lubtchansky, bears this out. Having experimented with various means of connecting the different micronarratives in the film\u2014at one point they even considered treating _Out 1_ as a series of interlinked short films\u2014Rivette and Lubtchansky finally decided to stack the narrative sequences next to each other in rough chronological order, using sporadic cross-cutting to generate an expanding network of possible connections while also leaving long sequences shot with handheld cameras largely intact. These are often continued for seconds or even minutes past the point at which the narrative interest has receded, making the camera appear almost aggressive by holding steadily on the actors after their improvised performance has run its course. This is Rivette's way of finding the cracks he praised so effusively in films by directors like Hitchcock and Otto Preminger, of capturing the moment where the fissures and seams of the performances become visible and self-display gives way to self-exposure.\n\nIn the shorter, commercially distributed version of _Out 1_ , almost all of these moments are gone. Although the four-and-a-half-hour cut, whose title, _Out 1: Spectre_ (1972), draws attention to its filial relationship to the long-unseen source, is made up almost entirely of footage used in the full thirteen-hour _Out 1_ , its jagged, brittle form makes it into a radically different work, oriented around structural rhymes and contrasts rather than narrative immersion. To maximize these differences, Rivette hired an editor, Denise de Casabianca, who was not already familiar with the material, and the two of them spent close to a year reconstituting the film. In place of extended sequences and gradual development, different plots are continually juxtaposed next to or intercut with one another, generally without establishing transitions, forcing the viewer to actively process overlapping threads as soon as they appear. Sometimes scenes from totally unrelated sections of the film are linked through deceptive matching, with cuts that connect one character looking offscreen to the right with another looking in the opposite direction, even though they are in totally different spaces. At other points, material from the earlier film is dramatically reconfigured by being repositioned in a new context. This is especially true of the ending, a shot of Colin playing with a small reproduction of the Eiffel Tower while he counts up to thirteen over and over again. This scene passes by unremarkably in the thirteen-hour version, but by placing it at the end, immediately after an enigmatic series of shots that includes images of \"empty\" crossroads as well as several characters who are now isolated from the theatrical troupes, it functions not as a comic interlude, but as a distillation of the obsessive-compulsive anxiety that permeates _Out 1: Spectre._\n\nOne model for the editing of the shorter cut is Jean-Daniel Pollet's _M\u00e9diterran\u00e9e_ (1963), a forty-five minute film that circles ritualistically around the same cluster of imagery, creating different, and ever more mysterious, meanings with each iteration. Far more than an elaborate Kuleshov experiment, Pollet's film possesses a mythic narrative shell, within which each of its images\u2014an Egyptian statue, an apple, the steps of an ancient theater, and so on\u2014operates like an ideogram (figure 3.8). As Pollet explained decades later, the sequencing of the images was not predetermined but was developed, by trial and error, over the course of six months of arduous assembly, much like Rivette's film. _M\u00e9diterran\u00e9e_ was one of a handful of titles screened as part of an international conference on montage in 1969 that Rivette participated in, writing afterwards that\n\none might, very schematically, distinguish four [film historical] moments: the _invention_ of montage ([D. W.] Griffith, [Sergei] Eisenstein), its deviation ([Vsevolod] Pudovkin-Hollywood: elaboration of the techniques of propaganda cinema), the rejection of propaganda (a rejection loosely or closely allied to long takes, direct sound, amateur or auxiliary actors, nonlinear narrative, heterogeneity of genres, elements or techniques, etc), and finally, what we have been observing over the last ten years, in other words the attempt to \"salvage,\" to re-inject into contemporary methods the spirit and the _theory_ of the first period, though without rejecting the contribution made by the third, but rather trying to cultivate one through the other, to dialectise them and, in a sense, to _edit_ them.\n\nFIGURE 3.8 M\u00e9diterran\u00e9e _(Jean-Daniel Pollet, 1963)._\n\nWhere a filmmaker like Markopoulos saw himself as reviving the lost first tradition of pure montage, Rivette was committed to an expanded notion of synthetic montage, in which each stage of the film would be dialectically related to the next, a process for which the open form of _M\u00e9diterran\u00e9e_ provides one key point of reference. Yet while _Out 1: Spectre_ and _M\u00e9diterran\u00e9e_ are equally reliant on structural elisions, they proceed by inverse methods. Pollet's film spirals outward, using color clashes along with disjunctures between Philippe Sollers' allusive voiceover narration and the internal logic of the editing to drive the individual shots away from one another, blocking any association that would allow full apprehension of the events being depicted, even as the repetitions in the montage intractably pull each image back into the orbit of the shots that surround it. By contrast, _Out 1: Spectre_ creates the impression of two parallel circles that, both fully enclosed, touch at only one point\u2014the moment (placed just before the intermission) where the representatives of the different narrative strands briefly intersect in the aptly named L'Angle du hasard boutique.\n\nThe most important addition to _Out 1: Spectre_ is the insertion of a large number of evocative, black-and-white still shots. In true serial fashion, each episode of the final version of the thirteen-hour cut of _Out 1_ opens with short excerpts from the preceding episode, along with several carefully selected stills. In _Out 1: Spectre_ , still images are spread across the film, acting as constant intimations of the material that has been excised, shards of the subjacent form that would remain (for almost two decades) unseen. Rivette claims that he \"spent most of the editing time of _Spectre_ selecting them\" and that they \"should be seen as a kind of machine, an electronic computer that interrupts the general dream of the characters in _Spectre_.\" Accompanied by an electronic hum, the stills initially appear to open up new interpretations of the sequences they buttress, but they eventually become completely inscrutable; like the frequent appearances of black leader, they continually disrupt the flow of the film, refusing to allow it to fully cohere. By standing in for missing scenes and reflexively pointing to the full work for which this is the \"spectral\" shadow, the stills make _Out 1: Spectre_ appear totally constructed and artificial, dialectically inverting the basic parameters of the earlier film. The self-generating fictional mechanism of _Out 1_ , with its illusions of performative autonomy, here devours itself, rigidly foreclosing all possible openings by insistently drawing attention to the film's status as a composite of preexisting footage and to the invisible authorship that shapes it. In this way, the idea of fictional incompleteness is incorporated, in high modernist fashion, into the body of the film, which is organized around a series of deliberate subtractions. To paraphrase Picasso's famous maxim, in the case of _Out 1: Spectre_ , filmmaking is a sum of destructions.\n\nHaving reached the ne plus ultra of the trajectory that began with _L'Amour fou_ , Rivette decided to continue his experiments on a parallel track, replacing an investigation of cinema's documentary affinities with an exploration of its oneiric aspects. This move reflects, in part, \"the total refusal of France in the seventies. It was something I suddenly didn't want to see any more.\" The first project Rivette initiated after _Out 1_ was called _Ph\u00e9nix_ , a film (intended for Jeanne Moreau and Michael Lonsdale) in which the biographies of Sarah Bernhardt and Eleanora Duse would have been fused with Gaston Leroux's _Phantom of the Opera_ (1910). The original scenario coyly alludes to the mythic origins of cinema, beginning, \"The action of this film takes place over six days and six nights, inside a grand _th\u00e9\u00e2tre parisien_ , at the end of the last century (very exactly December 1895),\" a reference to the public premiere of the Lumi\u00e8re brothers' Cin\u00e9matographe at the Salon Indien of the Grand Caf\u00e9 on December 28, 1895. Because of scheduling conflicts, _Ph\u00e9nix_ was never made, but the same concerns are evident in _C\u00e9line and Julie Go Boating_ , the first feature Rivette completed after five years working with (and through) the _Out 1_ material. One of Rivette's most quickly made films, _C\u00e9line and Julie Go Boating_ is also one of his most entertaining, a comically reflexive demonstration of the cinema's dual status as both a distorting reflection of the world and a shared hallucination. The two titular protagonists create a space of enchantment within their otherwise ordinary lives by using magical sweets to \"enter\" fictional projections, which they eventually infiltrate and take over. Unsurprisingly, the boundaries separating the highly stylized film-within-a-film, ensconced within a Victorian mansion, and the naturalistically shot scenes in the contemporary world become extremely tenuous, especially after a scene in which C\u00e9line and Julie don Feuilladesque costumes, sneak into a library, and steal an enormous book. Passage between the two domains is initially marked by the bright red imprint of a hand, but the different layers are also interposed through direct cuts. For all its playfulness, _C\u00e9line and Julie Go Boating_ is among Rivette's most rigorous films, held together by a prismatic montage in which brief fragments from the different zones of the film are interspersed with cuts to black leader and even, on a few significant occasions, the sort of photographic stills used in _Out 1: Spectre_.\n\nOne result of the distribution problems created by both versions of _Out 1_ is that Rivette was required by contract to turn _C\u00e9line and Julie Go Boating_ into a film of \"normal length\" (the resulting film ran for 192 minutes). Not content to simply accept the standard formula for film production and exhibition, Rivette initiated a new project in 1974, fulfilling the dream of perpetual cinema by planning a series of four loosely interrelated films, all shot back to back, with editing to commence only after shooting on the final film was finished. Totally unlike _Out 1_ , each of these films would be shot with preplanned scripts, in 35mm and the wider aspect ratio then dominant in commercial cinemas. Having taken his journey through the \"house of fiction\" as far as it could go, Rivette worked instead to make films in which plastic values assumed a more essential role than narrative. Each of the four films in the series would be a modernist reworking of a particular genre: a love story, a film noir, a musical comedy, and a Jacobean tragedy\/adventure film. Having secured funding for the entire series, Rivette finished two of the films ( _Duelle_ and _Noro\u00eet_ , both from 1976), but collapsed after two days of shooting on the third, _Marie et Julien_ , bringing the entire project to a halt. Rivette eventually made a very different musical comedy in 1995 ( _Haut bas fragile_ ), and he finally succeeded in filming _The Story of Marie and Julien_ in 2003\u2014with different actors and a revised script\u2014but, of the four films originally planned, only _Duelle_ was completed and released in the 1970s.\n\nRivette's series was entitled _Les Filles du feu_ , an allusion to G\u00e9rard de Nerval's 1854 book of the same name, and it was conceived as an alternative cinematic mythology founded on the idea of cinephilia. This is reflected in his choice of genres, cinematic references\u2014Jacques Tourneur's _Anne of the Indies_ (1951) and Lang's _Moonfleet_ (1955) for _Noro\u00eet_ ; Orson Welles' _The Lady from Shanghai_ (1947) and the films of Val Lewton for _Duelle; Vertigo_ (Alfred Hitchcock, 1958), the cinema's supreme siren song, for _Marie et Julien_ \u2014and especially in the lavish attention paid to pure surface textures. Rivette's mastery of image and sound has never been more apparent than in these films. In contrast to the grainy, 16mm appearance of _Out 1_ and _C\u00e9line and Julie Go Boating_ , both _Duelle_ and _Noro\u00eet_ make use of tonally rich colors, shifting pools of light that sculpt figures in space, and an emphatically expressive sound design. By positioning characters at the very edges of cavernous or mirror-filled spaces and slowly turning the camera, Rivette also makes space seem elastic, continually expanding into areas beyond the limits of the frame. Live musicians are frequently visible improvising the soundtrack onscreen, but because of the flagrant artificiality of the rest of the films, this unusual tactic, like the occasional shifts to blue- or red-tinted stock, intensifies the overall sensory experience of the film. It also adds yet another layer of cinephilic allusion, evoking the aesthetics of silent film presentations more than Brecht's \"Chinese theater\" techniques, a point reinforced by the presence in _Duelle_ of Jean Wiener, a veteran of the silent era who had been composing scores for important French films since 1922.\n\nThe debt to Nerval, a mid-nineteenth-century conduit for the transmission of German Romantic ideas to France, is most evident through the cryptic symbolism of the films, each of which was \"divided into three main sections, three acts, corresponding to the three lunar phases.\" These were phantasmatic works, films in which sun and moon goddesses descend to the earth, magical invocations are uttered, and burning substances are discovered under the earth. They were also exercises in purely elemental cinema; _Noro\u00eet_ , for example, begins with a shot of the sea at dawn, uses images of the sun and the earth as structural markers, and ends with a shot of corpses on the ground in deepest night. In these films, Rivette attempted to construct a pure choreography of filmic space centered on the physical actions and corporeality of the performers, \"the movement of bodies, their counterpoint, their inscription within the screen space,\" rather than the psychological states they project, a move away from conventional signifiers of emotions that heightened the abstract energy of the films. Contemporary dance is as important to these films as music had been to _L'Amour fou_ or _Out 1,_ leading Rivette to cast Jean Babil\u00e9e in _Duelle_ and employ a number of dancers from Carolyn Carlson's company in _Noro\u00eet_ , a film that ends with a dance of death, complete with burning torches and group chants. _Duelle_ also ends with an enigmatic ritual accompanied by flames, but it provides an opening into a \"mirror world,\" an enchanted space lurking just behind the real Paris (in yet another link to Nerval). The alternate title for the series of films, shown in the opening credits of both _Duelle_ and _Noro\u00eet_ is _Sc\u00e8nes de la vie parall\u00e8le_ , and transfer between the two \"parallel\" realms is accomplished by means of spells and magical objects. Throughout _Duelle_ , movement across this frontier happens mainly by means of a necklace and a summoning phrase, often marked by shifts in light or the presence of a large glass surface. In the final shot, the protagonist turns toward the camera and begins her incantation. As she finishes, there is a cut to a black screen and the sound of a train passing, suggesting passage beyond the diegetic world of the film, movement across an invisible axis separated, appropriately enough, by the movie screen.\n\n### \"The True Tradition Lives in Contradiction\"\n\nWhen [George] Balanchine did a choreography to my _Danses concertantes_ [1942], he approached the problem architecturally and not descriptively. And his success was extraordinary for one great reason: he went to the roots of the musical form, of the _jeu musical_ , and recreated it in forms of movements. Only if the film should ever adopt an attitude of this kind is it possible that a satisfying and interesting art form would result.\n\n\u2014IGOR STRAVINSKY (1946)\n\nAfter recovering, Rivette completed his \"contract\" for the four-film series with the hastily shot _Merry-Go-Round_ (1979), a film that is only intermittently related to the principles laid out in the original proposal. It was followed in 1981 by _Le Pont du nord_ , a full-fledged return to contemporary France after a full decade in the realm of the fantastic. Where _Duelle_ takes place inside a largely defamiliarized Paris, _Le Pont du nord_ responds directly to the malaise that set in during the last years of the Val\u00e9ry Giscard d'Estaing presidency, including a plethora of references to the major scandals of the era. With characters reading newspaper stories about the suicide or murder of ministers and the Goldman affair _, Le Pont du nord_ is Rivette's most politically trenchant film, and while its targeted criticism was partially mooted by the surprise election of Fran\u00e7ois Mitterrand several months before the film's release, it treats all of these contemporary events as part of a secret history of the French capital. In the film, Rivette systematically alternates between images of buildings under construction and shots of iconic statues, like the bronze replica of _The Lion of Belfort_ (Fr\u00e9d\u00e9ric Bartholdi, 1880) in the Place Denfert-Rochereau\u2014a symbol of French Resistance and an important site of May 1968 protests that also marks the entrance to the Catacombs\u2014highlighting them in a way that invites comparison with the work of the filmmakers Jean-Marie Straub and Dani\u00e8le Huillet (figure 3.9). Straub and Huillet frequently combine formal concentration with a focus on the particular histories and structures of major cities, using extremely long shots that roam through a location as a way of interrogating the compression of historical forces that it embodies or represents, as in the circular movement at the Place de Bastille in _Too Early, Too Late_ (1981) or the twenty-minute drive through the streets of Rome in _History Lessons_ (1972). In both of these films, the deliberate solidity of statuary, as artistic manifestations of cultural moments, is framed statically and set off against the constant motion of cars and other vehicles. In _Le Pont du nord_ , by contrast, the camera moves in circles around the statues, which function less as historical palimpsests than as mythic guardians, symbols of the clandestine interactions that influence modern life from behind the scenes.\n\nFIGURE 3.9 Le Pont du Nord _(Jacques Rivette, 1981)._\n\nFor all the attention it pays to concrete spaces and historically specific situations, _Le Pont du nord_ is every bit as concerned with games and magic as _C\u00e9line and Julie Go Boating_. Rivette's treatment of Paris is informed by the nineteenth-century literary tradition, fusing the meandering narratives of Eug\u00e8ne Sue's _Mysteries of Paris_ (1842\u20131843) with the panoramic mapping of Victor Hugo, but it also contains elements of childlike play. This is also true of _Le Pont du nord_ 's partner film, _Paris s'en va_ (1981), a twenty-five-minute short made as part of a series sponsored by the European House of Photography that attempted to recast the omnibus film _Paris vu par..._ (1965) for the year 1980. _Paris s'en va_ uses the same locations as _Le Pont du nord_ , and it is edited around a children's rhyme narration derived from \"The Game of the Goose.\" In both films, two women, Marie and Baptiste, wander through the city like Don Quixote and Sancho Panza, an implied reference given added resonance when Baptiste claims that a statue of a dragon at an amusement park is actually alive, like the windmill in Cervantes' novel. As in earlier Rivette films, however, these fantasy projections carry with them an undercurrent of genuine danger, capped off by the death of Marie in _Le Pont du nord. Paris s'en va_ opens with a dedication to \"amateurs,\" and that applies equally to the inquisitive characters and to the films, Rivette's final forays into 16mm filmmaking. The limitations of the medium are apparent throughout, with booms occasionally visible in parts of the screen and sound that becomes tinny or difficult to process when the actors move away from the microphone, anticipating a final scene in which, as Baptiste does battle with a mysterious man, the narrative system breaks down and the lines of the camera's viewfinder become visible (they are accompanied by the sound of the rolling camera). With this gesture, Rivette totally disrupts the illusionistic space of the film, giving the characters freedom of action while simultaneously visualizing their ineluctable containment within a grid structure (figure 3.10).\n\nFIGURE 3.10 Le Pont du Nord _(Jacques Rivette, 1981)._\n\nFrom _Le Pont du nord_ on, almost all of Rivette's films take on a retrospective quality that finds thematic expression in narratives of loss and renewal. Rivette continued to argue that filmmaking should always entail a process of discovery and adventure, but the idea that each film challenges the assumptions of the ones that preceded it is replaced by a sense of temporal passage, with a new focus on the lives of characters trying to put their lives together again after a long hiatus. It is revealed very early in _Le Pont du nord_ , for example, that Marie was released from prison with a previous history of radicalism (for this and other reasons, it is possible to see the character as an extension of the terrorist played by the same actress, Bulle Ogier, in Rainer Werner Fassbinder's 1979 film _The Third Generation_ ). In _Haut bas fragile_ , the character played by Anna Karina\u2014whose very presence evokes an earlier era of filmmaking as well as the unfilmed musical intended to be the third part of _Les Filles du feu\/Sc\u00e8nes de la vie parall\u00e8le_ \u2014longingly recalls the time when she tried to be a painter \"long ago.\" This changed notion of time also manifests itself through an amplified intertextuality, an internal networking of otherwise unrelated films that is often linked to the idea of an abandoned quest. Coded images recur in a number of different configurations, and the names of characters (like Henri de Marsay in _Gang of Four_ , 1988) and even entire films ( _The Duchess of Langeais_ , 2007) covertly allude to phantom works like _Out 1_. The most powerful metaphor for the spiritual journeys of Rivette's characters is of a battle with dragons, a trope that recurs frequently in the late films: through the fire-breathing amusement park ride of _Le Pont du nord_ , the small reproduction of a Raphael painting of St. George and the Dragon in _Gang of Four_ , repeated visual references to the Rue du Dragon, and especially the verbal quotation of Rilke's _Letters to a Young Poet_ (1929) in Rivette's final film, _Around a Small Mountain_ (2009): \"Perhaps all the dragons of our lives are princesses who are only waiting to see us once beautiful and brave.\"\n\nThe idea of personal quests as sacred missions is central to both of the long-form films Rivette made in the early 1990s, _La Belle Noiseuse_ and _Joan the Maid_. The latter, at almost six hours in length, is the only Rivette film that qualifies as a historical epic, a modernist rendition of the Joan of Arc story that is fully conscious of its two most artistically commanding precursors, _The Passion of Joan of Arc_ (Carl Theodor Dreyer, 1928) and _The Trial of Joan of Arc_ (Robert Bresson, 1962). Much of Rivette's film is made up of fluidly choreographed long takes in which the actors are able to calibrate their performances organically, creating an absorptive rhythm that is rendered strangely unreal by the highly saturated, almost Fauvist color (whose full impact can be registered only through 35mm projection). This impression is heightened by the highly mobile camera, which continually tracks and pans through space, keeping spatial configurations in flux even as it fixes the characters within a materially specific environment. Unlike Bresson or Dreyer, Rivette frequently stages lengthy scenes in extreme depth, and his focus on unstable triangular compositions in the various interiors continually draws the eye toward light-filled passageways like corridors and hallways, pushing spatial geometry to the border of abstraction.\n\nThe narrative form of _Joan the Maid_ is similarly complex. Although the wealth of period detail and the overall sense of accumulation developed over the course of the film's running time help convey the lived experience of history, this history is always mediated by its representation, most obviously through the sudden appearance of intertitles and cuts to black leader. Evocative of the section breaks in medieval epics as well as the conventions of silent cinema, the intertitles are used to bridge highly elliptical sequences, keeping the synoptic progression of events clear, while the often startling switches to black leader mark gaps whose duration can be determined only retrospectively. This has the simultaneous effect of keeping the viewer involved in the unfolding of the narrative and preventing this meticulously researched historical reconstruction from descending into clich\u00e9. Rivette uses these narrative leaps both to downplay the ideologically charged pageantry typically associated with his subject and to reinterpret the forms adopted by his predecessors, skipping past most of the period covered by _The Passion of Joan of Arc_ with a single intertitle, \"After 4 Months of Trial.\" When the film resumes, Joan is shown in the center of a courtyard being condemned, and the camera slowly completes a semicircular pan in which every figure is positioned on the periphery. Where Dreyer had used circular camera movements to isolate Joan from her inquisitors, Rivette instead uses a mobile establishing shot to visualize her entrapment within an open-air space. Allusions build upon one another in highly resonant ways; as a visibly terrified Joan is escorted to the stake, Rivette switches for the first time to close-ups of her feet\u2014in an open quotation of the Bresson film\u2014and birds can be heard faintly chirping in the background. Within moments, however, the birds are drowned out by the rising crackle of flames and Joan's six, progressively more intense repetitions of \"Jesus.\" Questions of the world beyond this one are left completely outside the bounds of this profoundly materialist film, which ends with Joan's final, desperate cry and a hard cut to black.\n\nIf _Joan the Maid_ can be seen as a final summation of Rivette's pessimism, its affirmative counterpart is _La Belle Noiseuse_ , a four-hour study of the relationship between a painter and his model that is also the director's _ars poetica_. Even though the full version of the film, which ran almost exactly as long as _L'Amour fou_ , won a major prize at the 1991 Cannes Film Festival, Rivette was forced by contract to produce a shorter, two-hour version, _Divertimento_ (1992). Since the best shots had already been incorporated into _La Belle Noiseuse, Divertimento_ consists almost entirely of outtakes, and Rivette acknowledges its status as a commercial compromise by restructuring the final scenes so that the film ends with the painter Frenhofer\u2014who has just exhibited the painting he has spent most of the film working on\u2014asking his agent Porbus if they can \"talk about figures.\" Reducing _La Belle Noiseuse_ involved not only the removal of the voiceover narration of Marianne, the model for the eponymous painting, but also the elimination of the sequence shots used during most of the painting sessions, blocks of unbroken time injected in the midst of a tightly constructed narrative. Duration\u2014along with the intermittent boredom and distraction that occasionally goes with it\u2014is used to accord the creative process with a sense of immensity, to imbue the fastidious, concentrated work of a portrait painter with an appropriate level of temporal magnitude. By subtly altering the soundtrack so that the natural sounds of birds and planes audible in the more plot-oriented sections of the film are largely silenced and replaced by the reverberations of footsteps and the rustle of bristles on canvas, these sequences seem to exist outside the flow of narrative time, acquiring a temporal density that allows the weight of the human body to be first registered and then transformed. Rivette reinforces this by framing for the anachronistic 1.37:1 \"Academy\" ratio of width to height, using the added vertical space to visually complement the horizontal canvases shown onscreen, drawing the viewer's eye deep into the image (figure 3.11).\n\nFIGURE 3.11 La Belle Noiseuse _(Jacques Rivette, 1991)._\n\nAlthough it is certainly not unique in this respect, _La Belle Noiseuse_ is one of Rivette's more complicated literary adaptations, wedding elements and motifs from Henry James' \"The Figure in the Carpet\" (1896) and Edgar Allen Poe's \"The Oval Portrait\" (1842) to Balzac's influential 1831 novella, _The UnknownMasterpiece_, which art historian Dore Ashton has argued should be read as a \"fable of modern art.\" The ambiguous story of a painting so advanced\u2014with merely a single foot representing an entire figure\u2014that it cannot even be adequately seen in the present was embraced by a number of key modernists including Paul C\u00e9zanne, Arnold Schoenberg, Rilke, and especially Picasso, who created a series of illustrations for a 1931 reprinting of the Balzac text (and whose _Ma Jolie_ , 1911, similarly contains a single stray foot) (figure 3.12). The young painter of the original Balzac story is Nicolas Poussin, but while the story is moved back to the seventeenth century, the key references are to artistic Romanticism, and in particular to Eug\u00e8ne Delacroix. Balzac describes the young model, lover of Poussin, as appearing before Frenhofer \"in the innocent posture of a terrified Circassian girl carried off by brigands to some slave dealer,\" and the painter explains that anyone who saw his unseen masterpiece would suppose that \"he saw a woman lying on a velvet coverlet, her bed surrounded by draperies, and, at her side, a golden tripod exhaling incense,\" both characteristic of many Delacroix canvases. Tellingly, creative genius is compared to the \"divine fire\" of \"Prometheus' torch,\" analogizing painting and male virility. This connection is drawn out in Picasso's drawings, which are, in turn, playfully referred to in the first cinematic treatment of _The Unknown Masterpiece_ , Sidney Peterson's _Mr. Frenhofer and the Minotaur_ (1948). Peterson employs anamorphosis to critique the inherent voyeurism of the camera, and he displaces his concerns with the nature of representation by taking the latent sexual metaphors of Balzac to a reductio ad absurdum in which Joycean puns (\"Belle wrought-up\") are intermingled with tongue-in-cheek Freudianisms (\"mini-mini-mini-tour\") and reflexive jokes about both the source text and the privileged space of the artist's studio (\"Oh, it comes from 'respectable literature.'\" \"My mistake, of course\").\n\nFIGURE 3.12 _Pablo Picasso (1881\u20131873),_ Painter Before His Easel, With a Long-Haired Model, _from Honor\u00e9_ _de Balzac's_ Le Chef-d'oeuvre inconnu, _1927, published 1931. \u00a9 2015 Estate of Pablo Picasso \/ Artists Rights Society (ARS), New York. Etching from The Louis E. Stern Collection of The Museum of Modern Art, New York. Digital Image \u00a9 The Museum of Modern Art \/ Licensed by SCALA \/ Art Resource, NY._\n\nFIGURE 3.13 _Bernard Dufour's hands in_ La Belle Noiseuse _(Jacques Rivette, 1991)._\n\nRivette approaches this constellation of issues from a very different angle, addressing questions of modernist form and Romantic genius from within a stable, almost \"classical,\" spatiotemporal environment in which neither the basic structuring system of shot\/countershot editing nor the recording properties of the camera are overtly disrupted. Rather than parodying the erotic sublimation involved in the creation of nude portraits (and painting more generally), he turns it into a challenge for both spectator and filmmaker, treating the subject with the chaste modesty one would expect of the critic who once argued that \"the filmmaker judges that which he shows, and is judged by the way in which he shows it.\" In a 1991 interview, he specifically insisted that he \"shot many close ups of the face of Emmanuelle B\u00e9art, but not of her body. It was something that had been totally forbidden. There are traveling shots where the camera approaches the body, certainly, but never close-ups. Never.\" Within the film itself, this distinction is reversed. Like the viewer, Marianne becomes acclimated to the display of her naked body, but she is warned by the painter's wife (and former model) Liz to refuse if Frenhofer asks to paint her face. What Frenhofer is after is \"the whole body. I don't care about your lips, legs, breasts, I want more. I want everything. I'll take everything. I'll get it out of you and put it in this frame.\" It is this desire to contain life within a work of art that Liz argues is shameless. As in Poe's \"Oval Portrait,\" the outer limit of portraiture is the painting of the human face, because a true rendering entails the vampiric transfer of personality onto canvas.\n\nFIGURE 3.14 La Chambre _(Balthus, 1952\u20131954, private collection. \u00a9 2015 Artists Rights Society [ARS], New York \/ ADAGP, Paris)._\n\nRivette had long wanted to make a version of what became _La Belle Noiseuse_ , \"the image of a possible relationship between a director and an actress,\" and he had been considering projects of this kind since the early 1960s, when he tried to make a film with Jean Fautrier. He eventually decided to work with Bernard Dufour, whose nudes, like Fautrier's, evoke figuration largely through abstract outlines and whose hand is shown working throughout _La Belle Noiseuse_ (figure 3.13). Yet the constrained poses Frenhofer asks Marianne to adopt and his insistence that she stand \"as if you were stretched up to the ceiling,\" pushed to the point just before the body begins to crack, suggest a more surprising source, the enigmatic Balthus. Balthus was almost certainly an influence on Rivette's earlier film of _Wuthering Heights_ (1985), which is transposed to the early 1930s, the moment when this fellow traveler of the Surrealists completed his series of illustrations on the same themes, several of which are openly cited in the film. Steeped\u2014through his friendship with Rilke and his philosopher brother (translator of Friedrich H\u00f6lderlin and Friedrich Nietzsche)\u2014in German Romanticism, Balthus made a number of works in which Dionysian energy rests uneasily beneath a placid, severe surface, treating symbolic rites of passage with forms that look back to the Old Masters while retaining the psychosexual concerns of his own era. Although Rivette's use of the nude female form in _La Belle Noiseuse_ is much less confrontational than that of Balthus, both the filmmaker and the painter share an interest in an eccentric, sometimes mannered, realism in which the torquing of bodies is used to endow space with metaphysical possibilities (figures 3.14\u20133.15).\n\nFIGURE 3.15 La Belle Noiseuse _(Jacques Rivette, 1991)._\n\nWith the exception of a few surprise jump cuts, the sittings in _La Belle Noiseuse_ are presented as directly as possible, through simple camera setups, carefully orchestrated mobile long takes, and smooth transitions. The switches in film stock, discordant music, or cuts to black that had been so prominent in films like _L'Amour fou_ or _Noro\u00eet_ are nowhere to be found, and Rivette instead gives the accretion of time during the sittings profound implications. While the young Nicolas, who paints from photographs, clings to a materialist conception of the artwork (\"For me, painting is the stroke\"), Frenhofer uses ever more grandiose language to describe his ambitions: \"Can't you hear the forest? The forest murmuring all the time. The forest and the sea mixed together, that's what painting is.\" For Frenhofer, painting is a leap into the unknown, a search for the absolute and \"the invisible,\" whose stakes could not be higher; by visualizing the true form of a human being, he believes that his painting could express \"whirlwinds! Galaxies, the ebb and flow\" of the cosmos.\n\nFIGURE 3.16 La Belle Noiseuse _(Jacques Rivette, 1991)._\n\nAs in the Balzac story, Rivette makes it possible to see Frenhofer's rhetoric as either self-delusion or a direct emanation of the Romantic imagination, but it also becomes clear that the process of searching, like the experience of actively watching the film, is as important as the final result. Marianne is speaking for the viewer as much as her character when she claims that, after adjusting to Frenhofer's method, she \"lost the sense of time. I could be one hundred years old or a baby. I feel I'm in a tunnel with no light, no rain, no wind, no sun, no cold, no warmth... . There's just a very small light, right at the end, flickering.\" The sense that the painting sessions exist in a space outside normal time is deepened by the numerous sacramental or Christological metaphors in the film, the culmination of a tradition going back to Rivette's early criticism and continuing through _Joan the Maid_ (where Rivette plays the role of Joan's parish priest). When she first walks into the studio, Marianne says that it is \"like a church,\" and when Liz finally sees the completed painting, she draws a small cross on the back of it (figure 3.16). There is, in fact, a Passion narrative carefully woven throughout the film, but one that is partially concealed through the \"sacred indirections\" Tony Pipolo has identified in Bresson's late work, with the major landmarks moved \"back\" by two days. An opening title announces that it is \"a Monday at the beginning of July, between three and four,\" but this is the film's version of \"Spy Wednesday\" (\"you sold my ass,\" Marianne says to Nicolas in the evening), and the session in Frenhofer's studio the next day culminates in Gethsemane-like doubt (\"Maundy Thursday\"). Twelve bells can be heard on the film's third day (\"Good Friday\") as Liz and Magali jokingly refer to a friend who died at the biblical age of thirty-three but \"was nothing like Jesus\"; inside the studio, Marianne adopts a crucifixion pose and listens as Frenhofer talks about \"getting her out of her body\" and mentions a friend who died after completing a sculpture of the Resurrection.\n\nFIGURE 3.17 La Belle Noiseuse _(Jacques Rivette, 1991)._\n\nRivette's most significant departure from Balzac's novella is the addition of a sequence showing Frenhofer burying the true painting in a wall the night before the public presentation of his fake portrait (figure 3.17). Like Balzac, Rivette depicts the making of the masterpiece as a revitalization of the energies of an artist who is well past his prime, but he makes the experience equally transformative for the model (who, as if inverting James Joyce's 1922 novel _Ulysses_ , ends the film with the word \"no\"), and he adjusts the references to the past so that they resonate autobiographically with his own artistic itinerary. Early in the film, Porbus mentions that the last book about Frenhofer was published in 1974, the crest line for Rivette's most creatively fertile period. Liz later asserts that ten years ago Frenhofer \"quit searching, just when you should have gone all the way,\" much as Rivette largely abandoned his radical formal experiments after completing _Le Pont du nord_ in 1981, a decade before _La Belle Noiseuse_. In this respect, _La Belle Noiseuse_ , which includes several visual references to previous films, can be seen as the supreme manifestation of Rivette's retrospective turn, and also as an explanation for the shift in his approach.\n\nFrenhofer helps explain his decision to retreat from his innovative path when he says that if he \"goes the whole way, there's blood on the canvas.\" In May 1990\u2014shortly before he began shooting _La Belle Noiseuse_ \u2014Rivette reviewed and completed postproduction on the thirteen-hour cut of _Out 1_ , removing a sequence in which Jean-Pierre L\u00e9aud has an unstaged nervous breakdown onscreen in the process.  Editor Nicole Lubtchansky mentioned in an interview that Rivette's directorial method in _Out 1_ was designed to push improvisation to precisely this point: \"In _Out_ , one saw the terrified look of Bulle [Ogier] toward the camera\u2014one knew that she was panicked, that she did not know what to do, but Jacques did not say 'Cut.' He always waited until something else happened, even if the scene was scripted.\" Two adults other than Frenhofer see the finished canvas in _La Belle Noiseuse_ , and their reactions make it clear that the painter had succeeded in his objective, that he had used his medium to visualize the true essence of his subject. Within the quasi-religious ethics of art-making expressed in the film, and adopted by Rivette at the same moment, that sort of revelation is the unique achievement of an intense artistic exchange; because it exposes deeply private truths, it needs to remain a secret. By cutting around the canvas and refusing to provide the countershots to the images of Liz and Marianne looking, Rivette tantalizes the viewer, who, after four hours, surely expects to be shown the completed canvas. All that is revealed is a brief glimpse of legs against a red background, the equivalent of Balzac's vestigial foot and just enough to make it clear that this painting differs from the blue-covered one shown at the end. \"Blood\" may indeed be on this canvas, but the \"resurrection\" it represents remains invisible to those not prepared for it, as the indifferent response of the young Magali (who helps bury the painting in the wall) demonstrates. Frenhofer declares that it \"is Titian [he has] done,\" and his _Belle Noiseuse_ functions as a modernist _Noli me tangere_ , emphasizing questions of belief and process rather than visual evidence.\n\nBalzac's Frenhofer is a slightly mad idealist who has taken his artistic vocabulary so far that it appears incomprehensible to everyone else. Whether or not this makes him a visionary, Frenhofer does embody, in his total dedication, the Romantic conception of artistic genius, an idea that in _La Belle Noiseuse_ is viewed through the coolly abstracted lens of twentieth-century modernism. For Rivette, the great paragon of this dynamic is Stravinsky, whom he includes on the soundtrack in _La Belle Noiseuse_ , for the first and only time. In one scene midway through, Magali is shown dancing to a passage from _P\u00e9trouchka_ (1911), but it is _Agon_ (1957), which is used in the opening and closing credits, that is most important to the film. Originally a collaboration with George Balanchine, the plotless _Agon_ abstractly depicts the relationship between artist and model, with erotic tension manifesting itself in the shift from strenuous tension to fluid movement. In _Agon_ , the third in a series of ballets thematically focused on Greek mythology, Stravinsky stands on the cusp of atonality, fusing the seething, full-bodied musical texture of his early work with aspects of twelve-tone musical composition and complementing both with elaborate physical movements derived from seventeenth-century court dances. Appropriately, _La Belle Noiseuse_ includes several scenes in which characters pass through large rooms, move apart, and assemble in shifting groups, with the lateral movements of the camera balancing out the circular movements of the figures within, much like the form of a Baroque sarabande. Space is stretched and expanded by the positioning of characters at diagonal ends of the frame, and, as in the Stravinsky ballet, it becomes an arena within which an array of male-female relationships, mythological or Christological narratives, and formal issues are worked out. The title of _Agon_ refers at one and the same time to a contest, a conflict, or the Holy Agony, and by including it Rivette puts his film in dialogue with the paradigms of musical modernism. Like _Agon, La Belle Noiseuse_ is a work that goes backward in order to go forward, opening into radical newness by integrating artistic tradition and depicting art-making as a struggle in which both everything and nothing happens.\n\n## { 4 }\n\n## The Sense of an Ending\n\nJEAN-LUC GODARD'S _HISTOIRE(S) DU CIN\u00c9MA_\n\nThe Gods have not returned. \"They have never left us.\"\n\nThey have not returned.\n\n\u2014EZRA POUND, CANTO CXIII (1969)\n\nAnd yet it might prove worth while to take up the theme of the Aetna-song again in order that now, having more knowledge, more earnestness, more perception than formerly, one could spy on the limping smith in the demon-infested, iron depths of his smithy, blind from the glare of the underworld, nevertheless able, by virtue of this blindness\u2014oh, the blindness of the singer\u2014to see the splendor of the ultimate heights: Prometheus embodied in Vulcan\u2014redemption in the form of calamity.\n\n\u2014HERMANN BROCH, _THE DEATH OF VIRGIL_ (1945)\n\nA catastrophe is the first strophe of a love poem.\n\n\u2014JEAN-LUC GODARD\n\nNouvelle vague _(Jean-Luc Godard, 1990)._\nApproximately one minute before the end of the final section ( _Les Signes parmi nous_ , 4B) of _Histoire(s) du cin\u00e9ma_ (1988\u20131998), Jean-Luc Godard's meditation on the mutual imbrications of history and cinema in the twentieth century, the inimitable voice of Ezra Pound appears on the soundtrack, reading a section from the first of his _Cantos_ (1915\u20131972):\n\nBut first Elpenor came, our friend Elpenor,\n\nUnburied, cast on the wide earth,\n\nLimbs that we left in the house of Circe\n\nUnwept, unwrapped in sepulchre, since toils urged other.\n\nPitiful spirit.\n\nThis is the first time either Pound or Elpenor had been referred to, and no immediate explanation is given for the inclusion of this excerpt, which is accompanied by a clip from Orson Welles' _Othello_ (1952) and preceded by four images linked together by cuts and superimpositions. Taken as discrete units, none of these seemingly unrelated (and unlabeled) images\u2014a close-up of a man's eye from _Mr. Arkadin_ (Orson Welles, 1955), a still photograph of a human eye about to be sliced from _Un chien andalou_ (Luis Bu\u00f1uel and Salvador Dali, 1929), a shot of an editor cutting a strip of film, and a shot of Godard in profile (both taken from _JLG\/JLG\u2014Self-Portrait in December_ , 1994)\u2014helps to elucidate the enigmatic text. Viewed as elements of an elaborate audiovisual montage chain, however, they suggest that Pound's carefully enunciated words could be indirectly linked to the structure of filmmaking and to Godard's project. Like Godard, Pound is invested in stitching together different ideas and periods, using the spectral encounter between Odysseus and his dead friend Elpenor to reflect upon the ways in which the ghosts of the past endure into the present, as manifested through a language that is informed by historical experience. After all, as Pound makes clear at the end of the canto, his words are a translation of a translation of _The Odyssey_ (Homer, eighth century BCE), rendered according to the conventions of Old English verse. Godard's mode of quotation throughout _Histoire(s) du cin\u00e9ma_ is similarly aggregate, intermixing images, sounds, and texts stripped from their original contexts and reintegrated into a new matrix. Often this entails the collage-like layering of disparate materials, but sometimes this occurs through transposition, as in the moment in the preceding section ( _Le Contr\u00f4le de l'univers_ , 4A) when Alain Cuny recites a long text on Rembrandt by \u00c9lie Faure that Godard has refashioned as a reflection on cinema. Godard's repositioning of the Pound extract makes it, too, resonate with larger ideas of cinema, connecting Elpenor\u2014the forgotten friend of Odysseus who died \"unwept, unburied\" and begs to be remembered\u2014to his elegiac lament for his medium not through simplistic metaphor, but through a dense weave of implied associations that steadily accumulate gravity even as they resist fixed, unitary meaning.\n\nThe Pound reading is only one of hundreds of extracts packed within the thirty-eight minutes of _Les Signes parmi nous_ (4B), which is only a small section of an eight-part magnum opus. Lasting for nearly four and a half hours in its entirety, _Histoire(s) du cin\u00e9ma_ has the following structure (dates listed are based on the first public exhibition of individual sections; Godard continued to make modifications after these initial screenings and the formal completion date for the entire work is 1998):\n\n1. _Toutes les histoires_ (1A, _All the Histories_ , 1988, 51 minutes)\n\n2. _Une histoire seule_ (1B, _A Single History_ , 1988, 42 minutes)\n\n3. _Seul le cin\u00e9ma_ (2A, _Only Cinema_ , 1994, 26 minutes)\n\n4. _Fatale beaut\u00e9_ (2B, _Deadly Beauty_ , 1994, 28 minutes)\n\n5. _La Monnaie de l'absolu_ (3A, _The Currency of the Absolute_ , 1995, 27 minutes)\n\n6. _Une vague nouvelle_ (3B, _A New Wave_ , 1995, 27 minutes)\n\n7. _Le Contr\u00f4le de l'univers_ (4A, _The Control of the Universe_ , 1997, 27 minutes)\n\n8. _Les Signes parmi nous_ (4B, _The Signs Among Us_ , 1997, 38 minutes)\n\nAlthough Pound is rarely mentioned as an influence on the overall conception of _Histoire(s) du cin\u00e9ma_ , there are striking and highly revealing affinities between it and the _Cantos_. Other critics, notably Colin MacCabe and Jonathan Rosenbaum, have pointed instead to another modernist landmark\u2014James Joyce's _Finnegans Wake_ (1939)\u2014as a model, but despite Godard's obvious and professed interest in Joyce's work (made especially evident when the Jean-Paul Belmondo character in _Pierrot le fou,_ 1965, talks of succeeding where Joyce failed and writing a novel that would be about \"what goes on between people\"), their longest works offer very different experiences. Joyce's final novel is a torrential overflow of description that seems to move in ever-expanding and never-ending circles whose shape is only clear at the end. The constant superimposition in _Histoire(s) du cin\u00e9ma_ sometimes gives the impression of seamless flow, but this is invariably interrupted by the startling juxtapositions in the montage (like the pairing of the magnified eye from _Mr. Arkadin_ with the sliced eye of _Un chien andalou_ ), preventing the viewer from ever becoming fully acclimated to the jarring rhythms of the work.\n\nLike the _Cantos_ , and unlike _Finnegans Wake_ , there are also a number of relatively clear, discursive passages in _Histoire(s) du cin\u00e9ma_ , which provide points around which the whirlwind of associations can momentarily coalesce. Where Pound fixates on details of political economy, Godard focuses on twentieth-century history and especially the cataclysm of World War II, but they both work through thinly veiled autobiography, making frequent references to friends who are fellow artists, and adopting a retrospective approach in which earlier moments of personal history are recalled and held up against the chaotic uncertainty of the present. Pound's emphasis on the precise meaning and \"thingness\" of words is paralleled by Godard's stress on \" _juste_ \" images, and the momentum of both the _Cantos_ and _Histoire(s) du cin\u00e9ma_ is driven by the accretion of fragments grouped into fluid arrangements, \"vortices,\" that echo back and forth across the body of the work. In a 1913 essay, Pound compared the poetic \"epic to a temple, the _Commedia_ [Dante's _Divine Comedy_ , 1308\u20131322] to a cathedral,\" and later defined his goal as the creation of a \"poem containing history.\" Godard had a similarly exalted conception of his cinematic epic and a comparable obsession with shattered ideals, with Pound's invocations of lost civilizations (Ithaca, Renaissance Venice, Byzantium) occupying a position in the _Cantos_ that is roughly equivalent to Godard's explicit portrayal of cinema as the lost \"utopia\" of the twentieth century.\n\nGodard's project also resembles Pound's insofar as they are both long-form works made over an extended period of time without an end in sight, continually expanding works-in-progress publicly released in provisional forms before reaching their final, never entirely stable, states. Pound began the _Cantos_ during World War I, and they ended only with his death more than fifty years later (the \"definitive\" version was compiled posthumously). Godard worked intensively on the _Histoire(s) du cin\u00e9ma_ project for approximately ten years between 1988 and 1998, but it had been gestating for more than a decade before that and continues to inform his subsequent work, with films and videos like _Les Enfants jouent \u00e0 la Russie_ (1993), _The Origins of the 21st Century_ (2000), _Libert\u00e9 et patrie_ (2002), and even the montages at the beginning of _Notre musique_ (2004) and the end of _Film socialisme_ (2010) acting as more specialized addenda or \"annexes.\" Although Godard had been considering a film historical work since the early 1970s (and had developed early versions of some of his later montage strategies in films like _La Chinoise_ , 1967, and _Le Gai Savoir_ , 1968), the immediate impetus for what became _Histoire(s) du cin\u00e9ma_ was a proposed collaboration with Henri Langlois that ended with his abrupt death in 1977. Langlois had invested most of his energy in the 1970s on the creation of a Museum of Cinema. As part of that initiative, he arranged an exhibition at the Palais des congr\u00e8s in March 1974 entitled \"Paris \u00e0 travers le cin\u00e9ma, de Louis Lumi\u00e8re \u00e0 Jean-Luc Godard,\" which included a twelve-hour compilation film made up of excerpts from nearly two hundred representative works. Godard was impressed by Langlois' compilation, and it helped generate ideas for a film-based history of cinema, which he initially wanted to call, after Andr\u00e9 Malraux, _The Metamorphosis of the Gods_.\n\n### _\"Cogito ergo video\"_\n\nThere is a kind of poetry... which begins as satire in the absolute difference of ideal and real, hovers in between as elegy, and ends as idyll with the absolute identity of the two... this sort of poetry should unite the transcendental raw materials and preliminaries of a theory of poetic creativity\u2014often met with in modern poets\u2014with the artistic reflection and beautiful self-mirroring that is present in... the lyric fragments of the Greeks, in the classical elegy, and, among the moderns, in Goethe. In all its descriptions, this poetry should describe itself, and always be simultaneously poetry and the poetry of poetry.\n\n\u2014FRIEDRICH SCHLEGEL, ATHENAEUM FRAGMENT 238 (1798)\n\nThe short-lived project Godard and Langlois committed to in 1976 was supported by producer Jean-Pierre Rassam and would have been released as both a film and a series of videocassettes. Langlois had been giving lectures on film history at Concordia University in Montreal, and when he died in 1977, Godard agreed to take his place. In the preface to the published version of these lectures, _Introduction \u00e0 une v\u00e9ritable histoire du cin\u00e9ma_ , Godard speaks as if this was a failed effort, but he has subsequently identified the 1978 Montreal lectures and the resulting book as a key step in the development of what would eventually become _Histoire(s) du cin\u00e9ma_. Godard met with representatives from the International Federation of Film Archives (FIAF), trying to persuade them to make their collections available for his use, and he announced in 1980 that he would make \"in the form of a film, the _Introduction \u00e0 une v\u00e9ritable histoire du cin\u00e9ma_ , showing the unknown aspects of this history: first aspect, to see the cinema more than to read it. It is the only history that one can see.\" As Michael Witt has documented, Godard persuaded the Rotterdam Arts Foundation to invest in his developing film history project, and he conducted several associated seminars there in 1980 and 1981. Reports in journals like _Variety_ indicated that Godard was now working on a \"history of the cinema in images being done for a Dutch foundation\"; at the 1983 Venice Film Festival, Godard instead declared that he was pursuing his history of cinema project in collaboration with Canal Plus in France. Contracts were signed with the emerging television network in 1984.\n\nThe fact that a monument to, and eulogy for, the history of cinema was made on video and supported by financing from a television network is not the least of _Histoire(s) du cin\u00e9ma_ 's ironies. Although Godard has been one of the most trenchant critics of television for decades, he has made a number of films\u2014including the militant \"Groupe Dziga Vertov\" films of the late 1960s and early 1970s\u2014at least partially with funding from television networks or with the promise of television exhibition in mind. In the late 1970s, he even embarked on a pair of multipart analyses of French society made, in collaboration with his partner Anne-Marie Mi\u00e9ville, for the newly formed Institut national de l'audiovisuel (INA): first, _Six fois deux (Sur et sous la communication)_ (1976, twelve programs totaling approximately ten hours) and then _France\/tour\/d\u00e9tour\/deux\/enfants_ (1979, twelve \"movements\" totaling approximately five hours). The former interrogates the nature and function of mass media, while the latter, organized around a series of interview-based dialogues with children, directly addresses the structure of television by parodying many of its conventions. Hoping to subvert the medium from within, Godard continued to make self-critical meditations intended for public broadcast throughout the 1980s\u2014primarily short video works, but also _Grandeur et d\u00e9cadence d'un petit commerce de cin\u00e9ma_ (1986), a metafictional feature about the creation of a TV movie in the vein of _Contempt_ (1963).\n\nSince the mid-1970s, the period in which he moved his studio from Grenoble to Rolle, Switzerland, Godard's depictions of television, and his descriptions of it in interviews, have become increasingly caustic and despairing. _Comment \u00e7a va?_ (codirected with Mi\u00e9ville, 1978) includes a scene in which television is compared to a cancerous infestation, an idea elaborated further in a 1982 interview in which Godard calls television \"a mutation\" and \"the great defeat.\" Godard later describes his 1985 feature _D\u00e9tective_ as \"a film shot... under the Occupation of the cinema by television and all kinds of magazines,\" a point he makes onscreen near the beginning of _Soft and Hard: A Soft Conversation on Hard Subjects_ (codirected with Mi\u00e9ville, 1986), a work \"made in the epoch of television.\"\n\nWhat most differentiates the cinema and television, in Godard's view, is the fact of projection, which he consistently differentiates from televisual diffusion. As he explains in _Soft and Hard_ , with cinema \"one projects oneself\" on the screen, while television projects itself upon the spectator. The Godard of the 1980s, in other words, inverts the presumptions of the \"apparatus theory\" that had emerged simultaneously with the Maoist-Althusserian rhetoric of the Groupe Dziga Vertov films: television, which is \"all powerful, like royalty, like the Church during the Middle Ages,\" exerts an almost fascistic control over the viewer's imagination, whereas the distance between viewer and screen in the cinema creates the possibility of an authentic and liberating engagement with the projected image. What is lost under television's influence is \"the proper part of the film, that is to say the image, [which] has diminished greatly.\" The pre\u2013 _Histoire(s) du cin\u00e9ma_ work that is most explicit about this is the underrated _King Lear_ (1987), a film made, as William Shakespeare the Fifth explains in the film, \"in a time now where movies and more generally art have been lost and must somehow be reinvented.\" To help make this possible, Professor Pluggy\u2014played by Godard in the self-deprecating, director-as-mad-jester style he adopted throughout the 1980s\u2014tries repeatedly to demonstrate the true nature of cinema and the cinematic image, at one point using small models and a mock theater to simulate the effect of projection. Godard has repeatedly argued that cinema is the last art with direct ties to a representational approach originating in ancient Greece, and the movie theater is presented here as a reconstructed version of Plato's cave, a unique type of space where the light \"must come from the back,\" with its reflection off the screen enabling alert viewers to see glimpses of otherwise hidden realities.\n\nWith projection and the spectatorial receptivity that goes with it, this idea of cinema can survive even if \"films\" are produced and exhibited only on video. Although more than half of his work since 1970 has been done using one video format or another, Godard has long remained ambivalent about video, which was depicted as having a Cain-and-Abel-like relationship with film in _Every Man for Himself_ (1980). He has nevertheless tried to constructively utilize each new technical development, mixing 16mm and video material in _Ici et ailleurs_ (codirected with Jean-Pierre Gorin, 1970\u20131976) and _Comment \u00e7a va?_ , filming live video monitors with a 35mm camera in _Num\u00e9ro deux_ (1975) and _Passion_ (1982), and producing a series of video \"scenarios\" to accompany many of the features made during the 1980s. _In Praise of Love_ (2001) dialectically relates both poles of this dynamic by setting the luminous, 35mm black-and-white footage of Paris in the first half against the heavily oversaturated video palette of the second half, and ending with a jerky and pixelated digital homage to the Lumi\u00e8res that points, with characteristic ambiguity, toward cinema's capacity for perpetual renewal.\n\nVideo dilutes the projected image, drastically reducing its tonal range, but it also makes it much easier to interrelate different sorts of imagery, the primary reason Godard employed it for _Histoire(s) du cin\u00e9ma_. Film prints were screened before each of Godard's Montreal lectures, but the process was too cumbersome to facilitate a direct dialogue with particular scenes or aspects of the films in question, which is one reason he regarded the enterprise as a partial failure. Shortly thereafter, Godard began collecting videocassettes; he could barely stand to watch them, but they would make it possible for him to extract small segments of different films. He later hired two assistants to help with the acquisition and cataloging of the nearly three thousand tapes he consulted, and to teach him the video-editing techniques he would need to complete all the necessary work manually. As Godard explained, \"In 35mm, this project would have been impossible to realize. With video, one can erase the canvas and begin again. By hand, by _instinct_.\"\n\nWhat would have made 35mm work impossible was the expensive and time-consuming lab work required for the reprinting of all the individual excerpts from celluloid back to celluloid. Video editing made the selection and juxtaposition of disparate footage much simpler, but, despite the density of many of his superimpositions, Godard restricted himself to a limited number of (largely) analog-based editing options and was not being disingenuous when he claimed that he worked primarily with techniques that have been around since the time of [Georges] M\u00e9li\u00e8s. Indeed, the project is intended to resist the amnesiac teleology of \"the digital,\" in which, as Godard explained, \"modern democracies turn technical thought into a separate domain\" and thereby \"incline towards totalitarianism.\" He has insisted that, unlike video, new media forms derive from information technology. By contrast, \" _Histoire(s)_ was cinema\" precisely because of the possibility of, and connection to, projection.\n\nWhile Godard was making _Histoire(s) du cin\u00e9ma_ , individual sections were transferred to 35mm and screened in that format at festivals and cinematheques as they became available. Regardless of whether they are viewed in 35mm or on video, however, the second-degree nature of the imagery is readily apparent, amplified by the extreme fragmentation and overlapping of the source material. This is counterbalanced by the use of techniques, such as the flicker-like alternation of images and black screen or the insertion of the clattering sounds of a film projector, that evoke the memory of an older, more intense form of cinematic experience by simulating some of its peripheral effects. The periodic recurrence of these and other devices helps give _Histoire(s) du cin\u00e9ma_ a sense of overall structural cohesion that separates it from his earlier, more explicitly televisual, series-based video works. Although the eight sections of _Histoire(s) du cin\u00e9ma_ could be watched individually\u2014and indeed, as draft elements, that is how they were initially presented\u2014it was designed as an integral work, the only genuinely long-form project by a director whose features typically run for eighty to one hundred minutes. This long-form structure gives Godard room to integrate a narrative of death and rebirth both within the work as a whole and within the dialectically paired sections. The atrocities detailed in _Toutes les histoires_ (1A) pave the way for the theological arguments of _Une histoire seule_ (1B), much as the discussion of nineteenth-century modernist painting in _La Monnaie de l'absolu_ (3A) anticipates the comments about the French New Wave in _Une vague nouvelle_ (3B), while the analysis of its precursors in _Le Contr\u00f4le de l'univers_ (4A) sets the stage for the retrospective melancholy of _Les Signes parmi nous_ (4B).\n\nGetting _Histoire(s) du cin\u00e9ma_ into this finished form was, however, evidently a problem for the man who famously said that films should have \"a beginning, a middle, and an end, but not necessarily in that order.\" After the entire work was completed, Godard referred to the final, eight-part structure as if it had been predetermined, but the plan changed repeatedly over time. Both _Toutes les histoires_ (1A) and _Une histoire seule_ (1B) run for approximately fifty minutes, as per the original agreement with Canal Plus. They were premiered at the Cannes Film Festival and then exhibited on the network in May 1989, with additional support from rival network FR3. There was then a gap of several years before additional sections, all running for less than thirty minutes except for _Les Signes parmi nous_ (4B), were completed. La Sept (now Arte) was briefly involved, but eventually almost the entire project fell under the auspices of Gaumont, thanks to the ardent support of production head Nicolas Seydoux, who felt that a studio with the longevity of his should fund at least one noncommercial project like Godard's. Seydoux agreed not only to finance the remaining parts of the project, but also to coproduce the accompanying book (released by the prestigious Gallimard) and to make the company's catalog accessible, which is undoubtedly one of the reasons why a large percentage of the French film excerpts are from Gaumont titles.\n\nThe original schema appears to have remained in place for several years because an outline published when the Museum of Modern Art mounted the 1992 exhibition _Jean-Luc Godard: Son + Image, 1974\u20131991_ lists ten sections. These ten titles also appear sequentially in the background of later sections in the final version of _Histoire(s) du cin\u00e9ma_. Godard claimed that he could have continued to expand the series for two more decades, and ending it clearly took an act of will (along with pressure from Gaumont). _Histoire(s) du cin\u00e9ma_ was screened as a unit in September 1997 at the Cin\u00e9 Lumi\u00e8re in London, and the \"final\" version officially debuted in November 1998. Godard made modifications throughout this period, and he created handmade copies of several paintings to circumvent rights complications. He continued to edit the project even after its completion, allegedly making minor adjustments of various kinds before its release (by Gaumont) on DVD in 2007. In 2004, certain sections were also condensed and reworked into a 35mm feature film, _Moments choisis des Histoire(s) du cin\u00e9ma_.\n\nIn a fundamental way, this sense of _Histoire(s) du cin\u00e9ma_ remaining open and in process is profoundly connected to Godard's overall artistic framework. Many of Godard's earliest films have titles (such as _Une femme mari\u00e9e: Fragments d'un film tourn\u00e9 en 1964 en noir et blanc_ , 1964) that suggest a predilection for unfinished movements and unresolved gestures, an active dynamism that privileges exploratory initiations over definitive conclusions. Godard makes an uncredited cameo appearance in \u00c9ric Rohmer's first feature, _The Sign of Leo_ (1959), as a man who listens repeatedly to the opening movement of a Beethoven piece, compulsively restarting the record every few seconds, and he does much the same thing in many of these early films. Whether or not the source of the music is shown onscreen, Godard regularly interspersed brief fragments of classical music throughout his 1960s films, often from the beginning of a movement. Although he sometimes used Mozart, Godard usually relied upon one of the middle- or late-period Beethoven string quartets, with their sophisticated call-and-response structures, sometimes working this into the fabric of the films by restarting a piece from the moment it had been left off fifteen or twenty minutes before. This created a form of continuing dialogue that Godard extended further by reusing some of the same pieces in subsequent films, connecting them not simply with their own histories as artworks, but also with their use in previous Godard films. When sustained passages of the same quartet (Beethoven's String Quartet Number 16, opus 135, 1826) heard in pieces throughout _Two or Three Things I Know About Her_ (1967) are performed live onscreen in _FirstName: Carmen_ (1983), for example, the impression is of a musical dialogue played out across the entire corpus of the filmmaker.\n\nThis same dialectic is also worked out in films such as _One + One_ ( _Sympathy for the Devil_ , 1968), one of the many Godard works that deconstructs artistic production while also endowing the creative process itself with vital force. Sinuous tracking shots of the Rolling Stones rehearsing the titular song in a large studio space are continually interrupted by sequences representing political events happening outside (often filmed in lateral, rather than circular, pans), as if Godard was trying to momentarily grab hold of a contemporaneity, an artistic and political present, that is always slipping away. Here too, Godard insisted on leaving the film open, cutting to black without ever allowing the complete song to play through and pulling his name off the film after the producer added it to most release prints. As the first full feature completed after Godard announced the first of his many retreats from filmmaking (1967's _Weekend_ having ended with a title card reading \" _Fin de cinema_ \"), _One + One_ was a sort of new beginning and\u2014like _Num\u00e9ro deux_ in the 1970s, _Every Man for Himself_ in the 1980s, _In Praise of Love_ in the 2000s, and _Film socialisme_ in the 2010s\u2014it speaks to a yearning for reinvention that complements the structural trajectory of the individual films.\n\nGodard's insistence on an unending oscillation between destruction and reconstruction both within and between his films puts him fully in line with the Romantic poetics espoused by Friedrich Schlegel in the _Athenaeum Fragments_. These influences have been underrecognized in the critical literature, but they are evident even in Godard's earliest work; the first script he completed and pitched to producer Pierre Braunberger was an adaptation of Goethe's _Elective Affinities_ (1809), which Braunberger estimated would have run for at least five hours. Godard's criticism in this same period frequently includes incongruous statements like the assertion that cinema is \"a perpetual aesthetic inauguration\" (in a 1958 review of a Frank Tashlin comedy), and the films themselves are replete with narratively gratuitous shots of natural landscapes, some of which include observers positioned in accordance with the iconographic tradition of the _R\u00fcckenfigur_ (figures 4.1\u20134.2). There is even a scene a few minutes into _Breathless_ (1960) where the protagonist turns to the camera and speaks in praise of mountains and the sea. By the time he repudiated and \"remade\" _Breathless_ for the first time with _Pierrot le fou_ , Godard expressed a desire to film \"the presence of nature, which is neither romantic nor tragic.\" Although this is in keeping with the growing turn toward epistemological questions in his work, it is undermined by the many shots that seem to luxuriate in natural idylls and even by the director's own description of the film as the story of \"the last romantic couple\" done in the tradition of _La Nouvelle Helo\u00efse_ (Jean-Jacques Rousseau, 1761) or _The Sorrows of Young Werther_ (Goethe, 1774). In a fascinating 1966 interview with Robert Bresson, Godard argued that \"to be an actor is to be romantic, and not to be an actor, classical,\" explaining that the former mode involved the \"sublime\" and could represent \"a certain kind of poetry\" that could be creatively mixed with other cinematic elements.\n\nFIGURE 4.1 Contempt _(Jean-Luc Godard, 1963)._\n\nSeeming contradictions are precisely that. Nothing in Godard's work is ever straightforward or unidirectional, and each film always includes or strives for its opposite, dialectically interrelating different stylistic devices (long takes broken up by jump cuts, extended tracks intercut with handheld camera work), intellectual impulses, and points of view. A portrait of Novalis is pierced with an arrow by the student radical played by Jean-Pierre L\u00e9aud in _La Chinoise_ , but the third section of the film includes onscreen text spelling out the French titles for Goethe's two _Wilhelm Meister_ novels, ironically linking the character to the paradigmatic Romantic Bildungsroman (a work whose publication Schlegel saw as comparable in importance to the French Revolution). In the same year, Godard released _Two or Three Things I Know About Her_ , the most essayistic of his works up to that point and a film focused almost entirely on the urban landscape of Paris, as well as _Weekend_ , most of which takes place in pastoral settings. The scene in _Weekend_ where L\u00e9aud appears as Saint-Just reading speeches from the late eighteenth century in the middle of a landscape sets the tone for many of the films that follow. This late-1960s return to origins is framed by the ideas of Rousseau, whose _\u00c9mile, or On Education_ (1762) was the basis for _Le Gai Savoir_ , a film made in \"Year Zero.\" Although this was probably intended as a reference to Roberto Rossellini's film about postwar Germany ( _Germany Year Zero_ , 1948), it also suggests the postrevolutionary France of the late eighteenth century and its attempts to recalibrate the Gregorian calendar.\n\nThis holds equally true for the didactic Groupe Dziga Vertov films that began that year and lasted until 1972. In the late 1960s and the 1970s, these films were held up by some critics and theorists as the paragon of collaborative, progressive filmmaking, ideologically minded projects in which the Romantic artist had been displaced by a collective. Yet if these films were so genuinely \"authorless,\" why is it that Godard appears before the camera so frequently in _Vladimir and Rosa_ (1970), that his voice can be heard so distinctly during the Marxist-Leninist debate of _Wind from the East_ (1970)? Moreover, if these films represent such a radical break with the past, why do they, like _Weekend_ and for that matter _Pierrot le fou_ , repeatedly depict characters wandering through beautiful landscapes, discussing contemporary political issues such as women's rights by referencing the French Revolution? This is Marxism read through the lens of early Romanticism, and Godard belatedly recognized it as such, telling a journalist for the _New York Times_ in 1992 that this period was, for him, \"political romanticism. I loved Mao as I loved Goethe.\" In both _D\u00e9tective_ and _H\u00e9las pour moi_ (1993), Romanticism is defined through a passage from the end of Joseph Conrad's _Lord Jim_ (1900) in which the expression of moral conviction engenders belief. Godard's notion of Romanticism is, in this sense, very close to that of influential poet and essayist Charles P\u00e9guy, who argued that an idealizing _mystique_ united Catholicism and revolutionary republicanism (P\u00e9guy is mentioned by name in both _In Praise of Love_ and _Histoire(s) du cin\u00e9ma_ ).\n\nFIGURE 4.2 Chalk Cliffs on R\u00fcgen _(Caspar David Friedrich, 1818\u20131819; photograph \u00a9 bpk, Berlin \/ Museum Oskar Reinhart am Stadtgarten, Winterthur, Switzerland \/ Hermann Buresch \/ Art Resource, NY)._\n\nFIGURE 4.3 Germany Year 90 Nine Zero _(Jean-Luc Godard, 1991)._\n\nRomanticism, connected to his own youth and adolescence, would take on a fresh meaning for Godard during the years of historical and personal reflection that culminated in _Histoire(s) du cin\u00e9ma_. The creation of _Germany Year 90 Nine Zero_ (1991)\u2014an exploration of post-unification Germany that functions as both a sequel to _Alphaville_ (1965) and a pendant to the then ongoing _Histoire(s) du cin\u00e9ma_ project\u2014seems to have brought these allegiances to the fore (figures 4.3\u20134.4). In a 2001 interview with Alexander Kluge, Godard described the biographical significance of the film:\n\nWith [ _Germany Year 90 Nine Zero_ ], I came to terms with my youth, which was molded by my father. I later discovered that my father loved Germany very much and had lived there, but I didn't know that at the time. As a young man, I discovered the German Romantics. I even read books that people don't read anymore\u2014Novalis, Jean Paul, [Jakob Michael Reinhold] Lenz, [Clemens] Brentano, [Gerhard] Kurz, all of them. The German Romantics moved something in me, more than the French did. In a way, I think I paid a debt I owed to Germany by making that film.\n\nThe twentieth-century French intellectual traditions with which Godard, the son of a Swiss father and a French Protestant mother, has aligned himself are inextricably bound with his experience of early German Romanticism. In 1994, he explained that he was \"very influenced by German Romanticism\" as a child: \"It was Novalis or the young Goethe that made me know Sartre.\" The proposal for the cinematic \"self-portrait\" he made that year, _JLG\/JLG_ \u2014 _Self-Portrait in December_ , is even more explicit: \"Remember the author of _Nausea_ [Jean-Paul Sartre, 1938], but also of _Cahiers pour une morale_ [Jean-Paul Sartre, 1983], Jean-Paul, like he of the _Confessions_ [Jean-Jacques Rousseau, 1782], and like the German Romantic [Jean Paul], all having nourished me: a man, nothing but a man, who is worth one and who is worth all.\"\n\nFIGURE 4.4 Riverbed in the Fog _(Caspar David Friedrich, 1820, Wallraf-Richartz-Museum, Cologne; photograph \u00a9 Rheinisches Bildarchiv K\u00f6ln)._\n\nSartre aside, the central mediating figure for Godard throughout this period was Malraux. Godard has been quoting Malraux since the 1950s and the art historical method developed and practiced in his three-volume book _The Psychology of Art_ (1947\u20131949)\u2014in which forms from widely different cultures and periods are compared with one another in an \"imaginary museum\" made possible by photographic reproductions\u2014is the most overt model for the historical juxtapositions in _Histoire(s) du cin\u00e9ma_. In a few cases, Godard even selects the same images used by Malraux, although his own comparisons place less emphasis on morphological similarities than on the historical transformation of particular approaches to image-making. Malraux was equally central as the avatar of a certain type of politically engaged, twentieth-century Romantic humanism; from him, Godard also adopted an idea of art born, like fire, from what it consumes, which resonates very strongly with the writings of Schlegel. Variations of this appear in many of the films made during the period Godard was developing _Histoire(s) du cin\u00e9ma_ , and with it came a new poetics of fire that, like the idea of projection, finds its clearest cinematic expression in _King Lear_. In a scene that includes at least one visual reference to the final sequence of Andrei Tarkovsky's _Nostalghia_ (1983), Professor Pluggy explains that art \"is born and it is burnt. It begins from the thing it ends. At the same time. Birth and death, linked, like mouth and breath... . It is born from what it destroys.\" At several other moments in the film, the flame of a candle is held up against darkened reproductions of paintings by Francisco de Goya and Rembrandt, a form of citation that would become central to _Histoire(s) du cin\u00e9ma_. As in _Nostalghia_ , where the simple act of carrying a continuously burning candle across a drained pool in a single unbroken take is treated as a redemptive act, Godard suggests that in a world where the conviction in art has been lost, the cinema alone retains the power to cast light.\n\n### \"Montage, My Fine Care\"\n\nMy films are of the present and of myths.\n\n\u2014JEAN-LUC GODARD (1995)\n\nUnderpinning Godard's late work generally, and _Histoire(s) du cin\u00e9ma_ in particular, is an idiosyncratic and expanded notion of montage. For Godard, \"montage\" refers not simply to the connections between, or even within, shots, but to a mode of vision and experience that lies dormant in raw footage and needs to be discovered through the process of selection and sequencing that is the foundation of the filmmaker's art. In a 1989 lecture to the film school La F\u00e9mis, Godard explained this in Malrucian terms, \"In montage, one encounters destiny.\" Godard had used similar language in the most well-known of his early essays, \"Montage, My Fine Care\" (1956), where he writes that editing \"can restore to actuality that ephemeral grace neglected by both snob and film-lover, or can transform chance into destiny.\" In both cases, montage is described using organic metaphors (\"a heart-beat,\" \"something soft, having time to breathe\") and is specifically connected to existential notions of choice, the decisive acts through which the freedom of shooting is converted into the fixed structure of a projectable film, but the contrasts are equally revealing.\n\nIn 1956, montage is presented as an aspect of temporal construction that is inseparable from mise en sc\u00e8ne: \"Knowing just how long one can make a scene last is already montage, just as thinking about transitions is part of the problem of shooting.\" Godard also isolates one particular use of the brief shot that he sees as fundamental to cinema, the use of glances:\n\nCutting on a look is almost the definition of montage, its supreme ambition as well as its submission to mise en sc\u00e8ne. It is, in effect, to bring out the soul under the spirit, the passion behind the intrigue, to make the heart prevail over the intelligence by destroying the notion of space in favour of that of time.\n\nFIGURE 4.5 _Nathalie Baye in_ D\u00e9tective _(Jean-Luc Godard, 1985)._\n\nThe example Godard provides is the sequence at the Royal Albert Music Hall in Alfred Hitchcock's remake of _The Man Who Knew Too Much_ (1956). In his review of Hitchcock's _The Wrong Man_ (1956) several months later, Godard once again underscores the interdependence of mise en sc\u00e8ne and montage, but he places special emphasis on the use of long close-ups in which Henry Fonda stares \"abstractedly, pondering, thinking, being.\" What Godard finds extraordinary in them is their ability to \"convey the basic data of consciousness,\" something they can do precisely because they happen within the normal shot\/countershot syntax of classical narrative cinema, a system in which montage is a constitutive but unprivileged element.\n\nPensive close-ups play an equally important role in _Breathless_ , and Godard would soon prove to be one of the cinema's great portraitists, especially of women. In film after film, Godard includes strikingly framed shots of faces held long past the point at which they serve any explicit narrative or dramatic function. These lingering images may have the quality of loving affection (as in many of the portrait shots of Anna Karina in the films of the early 1960s), ethnographic probing, or both, but they almost always depict people in the act of thinking (figure 4.5). The shots act as meditative pauses, contributing to the shifting rhythms of Godard's features, and the montage generally supplies a clear logic for their inclusion by grounding the characters in a particular space. In _Histoire(s) du cin\u00e9ma_ , Godard uses similar images, culled from throughout the history of the arts, to demonstrate cinema's status as the heir to a pictorial tradition that he (once again following Malraux) sees as centered on the enigmatic figures of \u00c9douard Manet (figure 4.6). Excised from their original contexts and divorced from their narrative motivation, however, the close-ups of women looking in the _Histoire(s) du cin\u00e9ma_ function as an endless series of incomplete shot\/countershots, malleable parts of a continuing dialogue that testifies to the cinema's power to embalm beauty and to be \"a form that thinks,\" soliciting questions without ready answers.\n\nFIGURE 4.6 _Detail of_ Nana _(\u00c9douard Manet, 1876\u20131877, Kunsthalle Hamburg) superimposed with text reading \"I know what you are thinking\" in_ La Monnaie de l'absolu _(3A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nIndeed, by the 1980s, Godard's conception of montage had become altogether more ambitious and mysterious, a way of using intershot relationships to create \"something like [utopia].\" This notion of montage exceeds even that of Sergei Eisenstein, who developed an increasingly inclusive notion of montage that eventually encompassed the core of both European and East Asian modes of representation and that he saw as the highest stage of artistic development. For Godard, by contrast, montage is completely and even definitionally the property of the cinema: \"The cinema is the invention of montage. And montage did not exist in the other arts.\" Although Godard shares Eisenstein's investment in dialectical thinking, he breaks with his predecessor's conception of artistic progress, positing instead\u2014in both _Histoire(s) du cin\u00e9ma_ and many of his interview comments\u2014the idea of art engaged in a series of complex negotiations with a multilinear history. More than a synthesis, montage provides access to a new artistic space, a unique moment in which past, present, and future are able to cross-penetrate. Embedded within this notion of montage is the possibility of organic creation, even of a sort of life-giving magic: \"In montage, the object is living, while in shooting it is dead. It is necessary to resuscitate it. It is sorcery.\"\n\nAs Godard's sense of montage becomes more vast, it also becomes more restrictive. In _Seul le cin\u00e9ma_ (2A), he tells Serge Daney that neither Eisenstein nor Welles had achieved a true montage; their discovery was the power of angles. He elaborated on this further in the lecture he gave in 1995 upon receipt of the Theodor Adorno Prize:\n\nEisenstein himself found the angle, preceded by El Greco and [Edgar] Degas. When one looks at his famous images of three lions in _October_ [1928; the lions are in Eisenstein's earlier _Battleship Potemkin_ , 1925], if the three lions make an effect of montage, it is because there were three shot angles, not because there was a montage.\n\nIn Godard's formulation, Eisenstein had mastered the mechanism of montage, but not its ultimate goal: the use of separate images to generate a synthetic Image, the one thing that montage alone can do. By the middle of the 1980s, this had become a mainstay of Godard's commentaries both within and outside the films and, as with his ideas of projection, it was expressed most directly in _King Lear_ :\n\nThe Image is a pure creation of the soul. It cannot be born of a comparison, but of a reconciliation of two realities that are more or less far apart. The more the connections between these two realities are distanced and true, the stronger they get to be, the more it will have emotive power. Two realities that have no connection cannot be drawn together usefully. There is no creation of an image. Two contrary realities will not come together. They oppose each other. One rarely obtains forces and power from these oppositions.... An image is not strong because it is brilliant or fantastic, but because the association of ideas is decent and true. The result that is obtained immediately controls the truth of the association. Analogy is a medium of creation; it is a resemblance of connections. The power or virtue of the creative image depends on the nature of these connections. What is great is not the image, but the emotion that it provokes. If the latter is great, one esteems the image at its measure. The emotion thus provoked is true because it is born outside of all imitation, all evocation, and all resemblance.\n\nVersions of these ideas are included in _Passion, Keep Your Right Up_ (1987), _JLG\/JLG_ \u2014 _Self-Portrait in December, Notre musique_ , and _Les Signes parmi nous_ (4B). The underlying principles are central to the aesthetics of his post-1980 work, suggesting a way to use implicit affinities or concordances to create new relationships out of diverse and even contradictory materials.\n\nThe central source for Godard's comments about the Image\u2014unsurprisingly, never cited in any of the films or videos where it has appeared\u2014is Pierre Reverdy. A poet with a penchant for mysticism, Reverdy was a friend of Pablo Picasso and Georges Braque who was championed by Andr\u00e9 Breton in the first \"Manifesto of Surrealism.\" Reverdy started and ran the journal _Nord-Sud_ , which published a number of important Dadaist and Surrealist texts during its brief existence (from 1917 to 1918), including \"L'Image,\" the poem that Godard borrows from in his discussions of montage. That Godard's often repeated theory of the authentic Image has its roots in Surrealism reinforces its crucial place in his artistic genealogy. Godard shares with the Surrealists not only an interest in psychic disorientation and a puckish desire to upend the staid proprieties of middle-class culture, but also a commitment to transforming photographic realism from within, using it to facilitate the intuitive perception of a lyrical realm more unitary than the one we ordinarily inhabit. In this sense, Godard's \"Image\" could be seen as a contemporary equivalent of the Surrealist \"marvelous,\" which, in the words of Louis Aragon, is an \"eruption of contradiction\" that reveals the artificial character of rationalized reality.\n\nReconciling these twin montage impulses\u2014for Surrealist rupture and historical dialectics\u2014within _Histoire(s) du cin\u00e9ma_ , and the related films and videos initiated in its wake, necessitated a radical reformulation of the space of the projected image. Godard's pre-1968 films provoked active engagement through the use of shock cuts, sudden alterations of arrangement or even structure that work only if the spatiotemporal coordinates of illusionistic representation are otherwise respected. A collage-like impression of overlapping layers was created by interspersing different materials, but they were invariably linked to the main body of the narrative through hard cuts (figure 4.7). The detritus of the outside world could thus be brought into the larger audiovisual frame of the film, but, despite all the intellectual pirouettes they evoked and the narrative friction they created, the basic documentary recording tendencies of the camera remained unchallenged by these juxtapositions. During his Groupe Dziga Vertov phase (1968\u20131972), Godard used a number of different techniques to represent the misperceptions of the viewer (splashing paint on the camera in _Wind from the East_ , for example), but even the most strident and astringently confrontational of those films were still constructed primarily through the collision of discrete images and sounds. When different media were reflexively inserted within the same space as the \"characters\"\u2014as in the use of advertising in films like _Made in USA_ (1966) or the use of video cameras in _Num\u00e9ro deux_ \u2014the individual elements retained their relative autonomy (figure 4.8). It was only with the turn toward superimposition in _Histoire(s) du cin\u00e9ma_ that Godard could truly place \"two realities that are more or less far apart\" within the same contiguous space. Since this \"space\" is always shifting, with no single image allowed to attain complete self-sufficiency, the basic operating conditions of collage, which presupposes a stasis that enables the tenuous boundaries among the various elements to be apprehended, are supplanted, creating the grounds for a genuinely polyvalent montage.\n\nFIGURE 4.7 _Pablo Picasso's_ Jacqueline aux fleurs _(1958, private collection) inverted in_ Pierrot le fou _(Jean-Luc Godard, 1965)._\n\nFIGURE 4.8 Made in USA _(Jean-Luc Godard, 1966)._\n\nGodard's knowledge of world cinema is expansive, and he has acknowledged the \"distance montage\" theories of Armenian filmmaker Artavazd Pelechian, with the repetition of imagery across the body of a film generating a \"spherical\" momentum, as a useful point of comparison. Given his formal obsessions, however, the most conspicuous lacuna in _Histoire(s) du cin\u00e9ma_ is the near-total omission of the North American avant-garde, the main arena in which a non-Soviet conception of montage was worked out. The presence of shots from Maya Deren's _Meshes of the Afternoon_ (1943) in the 2002 short _Libert\u00e9 et patrie_ accentuates the absence of such films from the four and a half hours of _Histoire(s) du cin\u00e9ma. Les Signes parmi nous_ (4B) includes the reading of a long, modified excerpt from the 1971 text in which Hollis Frampton maps out his _Magellan_ project, and his name is cited onscreen, but no mention is made of Stan Brakhage, the filmmaker whose work _Histoire(s) du cin\u00e9ma_ most resembles visually.\n\nFor far too long, film history has maintained a false opposition between Brakhage's exteriorization of subjectivity and the \"Brechtian\" artifice of Godard, generalizations derived entirely from their most famous early works (their later works remaining largely unseen and comparatively underdiscussed). Yet with the benefit of hindsight, it becomes increasingly clear that Godard and Brakhage\u2014notwithstanding their many important ideological, formal, and contextual differences\u2014are two poles of a larger mid-century modernist project that challenged the naive assumptions that the film screen is a direct window onto the world, focusing instead on the structure of perception. The questions of the gardener in _Nouvelle vague_ (1990)\u2014who asks, \"What is grass before it has been given a name?\" and ponders whether it lies inside or outside himself\u2014unconsciously echo the opening passage of Brakhage's \"Metaphors on Vision\":\n\nImagine an eye unruled by man-made laws of perspective, an eye unprejudiced by compositional logic, an eye which does not respond to the name of everything but which must know each object encountered in life through an adventure of perception. How many colors are there in a field of grass to the crawling baby unaware of \"Green\"? How many rainbows can light create for the untutored eye? How aware of variations in heat waves can that eye be? Imagine a world alive with incomprehensible objects and shimmering with an endless variety of movement and innumerable gradations of color. Imagine a world before the \"beginning was the word.\"\n\nGodard too is interested in making each moment of his films \"an adventure of perception,\" part of a continually evolving form of visual thinking that would attack the presumptions of Western logocentrism, and since 1980, he has devoted himself to an exploration of prelinguistic imagery. The attitudes of Godard and Brakhage toward narrative differ considerably, but the respective strategies they have employed to articulate the self's relationship with the world have increasingly converged in the decades since the expressive possibilities of handheld camerawork were redefined by _Anticipation of the Night_ (1958) and _Breathless_. Godard's use of multiple superimposition in video work like _Histoire(s) du cin\u00e9ma_ has striking correlates with Brakhage's use of it in both partially and fully hand-painted work, as do his abrupt cuts away from images at the end of an overlapping dissolve\u2014leaving a particular image onscreen just long enough for it to be registered as a composition before the visual field is once again transformed\u2014and his use of the back-and-forth fluttering of images lasting a mere fraction of a second. For his part, Brakhage's incorporation of text and preexisting footage as subjacent material within densely layered montages\u2014in films like _23rd Psalm Branch_ (1967), _The Dante Quartet_ (1987), _Agnus Dei Kinder Synapse_ (1991), _Untitled: For Marilyn_ (1992), and _Night Mulch_ (2001)\u2014parallels techniques used more ironically by Godard.\n\nBrakhage and Godard met and respected one another, but what matters more than any direct personal contact is the existence of a shared desire to reconfigure the basic parameters of Eisensteinian montage so that the transitions between superimposed images could suggest the dynamism of vision as well as thought. The most likely reason filmmakers like Brakhage were excluded from _Histoire(s) du cin\u00e9ma_ is relative inaccessibility; as Godard has mentioned, work like this could be seen only at the Cin\u00e9math\u00e8que fran\u00e7aise and, crucially, videotapes of Brakhage films were not readily available in Europe until _Histoire(s) du cin\u00e9ma_ was nearly complete. Although he apparently knew Gregory Markopoulos well during the 1950s, it would have been even harder for Godard to see any of _Eniaios_ (1947\u20131992). Nevertheless, in its long-form restructuring of classical myths and its radical reformulation of montage, _Eniaios_ may present a useful counterpoint to _Histoire(s) du cin\u00e9ma_. Like Markopoulos, Godard makes frequent use of a black screen throughout his film, a technique he had early experimented with in _Pravda_ (Groupe Dziga Vertov, 1969) and _Struggle in Italy_ (Groupe Dziga Vertov, 1971). Godard's idiosyncratic conception of cinematic projection harmonizes surprisingly well with the triangulation of viewer, screen, and eye that Markopoulos postulates in his essay \"Entheos,\" and both filmmakers used similar sorts of medical metaphors. The son of a doctor, Godard frequently characterized himself as a physician during the period he was making _Histoire(s) du cin\u00e9ma_ , suggesting, like Markopoulos, that he was going to use cinema to cure media pollution.\n\nIn its foregrounding of historical patterns, however, Godard's project diverges radically from the profoundly ahistorical _Eniaios_. Where _Eniaios_ bestows sacralized images \"purified\" of their nonmythic contexts to the viewer across extended gaps, _Histoire(s) du cin\u00e9ma_ offers instead an excess or overflow of images with a conflux of potential and embedded meanings. The image clusters in _Histoire(s) du cin\u00e9ma_ have such historical traction that the rapid interweaving of one or two frame shots, and even the use of passages of black, seems to suggest film catching in the projector gate, unable to smoothly proceed forward, an idea visualized at several points by the appearance (and sound) of a strip running forward and backward in fits and spurts on an editing table.\n\nIt is thus no surprise that the central myth of _Histoire(s) du cin\u00e9ma_ is not that of Prometheus but that of Orpheus. Romantic Prometheanism manifests itself throughout Godard's late work in the association of flames with artistic creativity and the depiction of the artist as demiurge, but the Titan's struggles are rarely thematized as overtly as they are in the work of Markopoulos, Abel Gance, or Jacques Rivette. The deepest affinities are with the \"anxious reflection eating away at us like Prometheus' vulture\" that Germaine de Sta\u00ebl\u2014another Swiss-born figure with ties to France and a commitment to dialectical thought\u2014described in _On Germany_ (1813), her celebrated treatise on the emergence of the Romantic sensibility (alluded to in both _Germany Year 90 Nine Zero_ and _Histoire(s) du cin\u00e9ma_ ). The Orphic myth, on the other hand, is central to Godard's work, and it is featured prominently in _Alphaville_ and _Nouvelle vague_ as well as _Histoire(s) du cin\u00e9ma_ , where it is represented by the recurring image of a boatman from Carl Theodor Dreyer's _The Bride of Glomdal_ (1926). Son of Calliope, the Muse of epic poetry, and (at least in some versions) the sun god Apollo, who taught him his art, the figure of Orpheus symbolically fuses cinema's facility for storytelling with its dependence on light. Godard's emphasis is on Orpheus' attempt to recover his lost beloved Eurydice, which resonates with the underworld quest theme in _Histoire(s) du cin\u00e9ma_ and points to the challenges of retrospection. An onscreen text in _Seul le cin\u00e9ma_ (2A) declares that \"the cinema authorizes Orpheus to return without killing Eurydice,\" and Godard uses almost exactly the same terminology to define art in a contemporaneous interview: \"Art is that which permits you to go back, and to see Sodom and Gomorrah without dying. Art permits us to do that because it is seen from a distance.\" If the cinema enables Orpheus to look back, it also enables Lot's wife to witness History in the midst of its unfolding, changed not into a pillar of salt, but into the \"silver salts which fix the light.\"\n\n### The Museum of the Real\n\nBeauty is nothing but the beginning of terror, which we are still just able to endure.\n\n\u2014RAINER MARIA RILKE, _DUINO ELEGIES_ (1922)\n\nTo call Godard a Romantic modernist is not to disregard history and politics, but rather to highlight the means by which he engages with them. His Victor Hugo\u2014referred to repeatedly in the late work\u2014is the Hugo of the poor, the _mis\u00e9rables_ described in _In Praise of Love_ , but also the Hugo who decried the atrocities of the 1876 Serbian-Ottoman War, in a text that is read out by Godard himself and cited at the beginning of _La Monnaie de l'absolu_ (3A). As with the use of photographs depicting Richmond, Virginia, during the American Civil War in his lecture to students in _Notre musique_ , Godard provides the context only at the end, thereby emphasizing the cyclical returns of history and the barbarism of modern warfare without ignoring the specificity of events. When Godard reads the part of Hugo's text referring to Europe's refusal to intervene to prevent the \"annihilation of a people,\" the viewer inevitably thinks of the Holocaust; when the source, \"Pour le Serbie\" (1876), is (uncharacteristically) acknowledged onscreen, it carries with it intimations of the twentieth-century history of conflicts in the region, from the Balkan Wars of the 1910s to the 1990s Yugoslav wars that were ongoing at the time _Histoire(s) du cin\u00e9ma_ was in production. Godard's montages operate in a similar manner, bringing together forms and ideas not according to diachronic patterns but through provocative collisions, creating a constant tension in which the history of cinema, \"this affair of the nineteenth century that resolved itself in the twentieth,\" is inseparable from a History that is always in motion. This slippage is contained even within the title of the series, as Godard explains in _Toutes les histoires_ (1A), \"actuality of history, history of actualities, histories of cinema, with an s, with an SS.\" Godard's words are immediately followed by the voice and an image of Adolf Hitler, the figure referred to more frequently than any other in _Histoire(s) du cin\u00e9ma_ and the personification of the events with which the present can never be comfortably reconciled.\n\nAmong other things, Godard wanted _Histoire(s) du cin\u00e9ma_ to function as a serious work of historiography. He has mentioned Jules Michelet's multivolume _Histoire de France_ (1833\u20131867) in interviews, and he alludes to both Walter Benjamin and Michel Foucault within _Histoire(s) du cin\u00e9ma_ , but the overarching model is Fernand Braudel, the dominant figure in the postwar Annales school. Braudel's emphasis on social history is perfectly suited to Godard's project, with its fixation on the lived texture of history as manifested through images and sounds, aspects of experience that, Godard argues, cinema alone is capable of directly rendering:\n\nWhen Joyce wrote _Finnegans Wake_ , which is the sum of all that can be written, he said, \"I\": it is literature, but not the history of literature. In the same manner, sculpture or painting cannot make its own history, whereas the cinema can truly tell a story, as we have always said. I wanted to tell the story of History, through the cinema.\n\nUnderlying these arguments is the conviction that the cinema's unique bond to history stems from its direct rapport with reality. Godard is perhaps the most ardent and proselytizing follower of Andr\u00e9 Bazin, but, fully aware of the myriad ways in which images can be manipulated and of the multiple levels of mediation involved in the creation of a film, he places little value on the much-vaunted concept of \"indexicality.\" For Godard, realism consists not of a one-to-one relationship between film strip and world, but of a fact-based orientation operating at every level of cinematic construction, a historicity that adheres to filmed material and endures even when images and sounds are recontextualized. This is what enables him to invoke complex histories through small details, like the recitation of part of a German cavalry poem (\" _Morgenrot, Morgenrot_ \"), documentary footage of refugees, or a speech by Marshal P\u00e9tain, even when those images and sounds are interlaced with very different material.\n\nAlthough the soundtrack is just as essential as the imagery to the form of _Histoire(s) du cin\u00e9ma_ (and was, in fact, released independently as a CD set), Godard's comments invariably privilege cinema's capacity to encapsulate historical processes visually. \"My idea,\" he explained, \"is to say: There, that's what cinema was. The fact that we see it, that we can still project it, it's like when [Heinrich] Schliemann discovered some ruins and said: 'Well, Troy must have happened there.' That's the way it is.\" For Godard, this was the true mission of the cinema, a moral imperative that, he suggests, it relinquished in the midst of World War II. In its inability to document the Holocaust as it occurred, \"The cinema totally failed its duty. There were six million people shot or gassed, principally the Jews, and the cinema was not there... . In not filming the concentration camps, the cinema totally resigned.\" Godard's insistence that the concentration camps needed to be shown in cinemas has embroiled him in a decades-long debate with Claude Lanzmann that has led to some misguided accusations of anti-Semitism. Lanzmann, whose nine-and-a-half-hour _Shoah_ (1985) famously makes use of no archival imagery, has publicly called for a total prohibition of Holocaust footage, at one point saying that if any visual record of the camps in operation existed, it should be destroyed. \"I made _Shoah_ against all archives,\" Lanzmann declared, arguing on another occasion that \"there is indeed an absolute obscenity in the project of understanding.\" For Godard, by contrast, showing is an ethical act, not only because it may help to prevent the very historical repetitions emphasized throughout _Histoire(s) du cin\u00e9ma_ , but also because it authenticates the self's relationship to the external world. It is, in other words, a gesture of faith in reality.\n\nThe Godard\/Lanzmann dispute has its roots in much older debates over the biblical proscription of graven images, whose stake is the status of vision itself. Yet, perhaps surprisingly, Godard's iconophilic arguments are fully in accord with those of Frankfurt School theorist Siegfried Kracauer, who addresses the question of Holocaust imagery just before the end of his _Theory of Film_ (1960):\n\nIn experiencing the rows of calves' heads or the litter of tortured human bodies in the films made of the Nazi concentration camps, we redeem horror from its invisibility behind the veils of panic and imagination. And this experience is liberating in as much as it removes a most powerful taboo.\n\n\"Even scratched to death, a simple 35-millimeter rectangle saves the honor of reality,\" Godard says in _Toutes les histoires_ (1A), accompanied by a shot from a fictional reconstruction of the last days of Hitler and Eva Braun, as well as a documentary shot of corpses. For Godard, who has remained one of the most vocal critics of _Schindler's List_ (Steven Spielberg, 1993) and the contemporary \"Holocaust industry,\" what was needed was for the cinema to properly show the camps as they were, to make the fact of what took place evident to everyone without sentimentality or artifice. Yet as the example above makes clear, making things visible is a question of relationships and point of view as much as it is a question of direct recording. When Godard talks about the \"failure\" of the cinema to show the Holocaust, he is referring not only to the inability of newsreel cameramen to film the gas chambers in operation, but more generally to an unwillingness to develop a cinematic form that would make clear what happened and what was lost between 1939 and 1945.\n\nFIGURE 4.9 _Superimposition of a cropped and rotated image taken from_ Noli me tangere _(Giotto, 1305\u20131306, Arena Chapel, Padua) and a shot from_ A Place in the Sun _(George Stevens, 1951) in_ Toutes les histoires _(1A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nThis is exactly what Godard tries to do in the most-discussed section of _Histoire(s) du cin\u00e9ma_ , the moment in _Toutes les histoires_ (1A) where Godard says, \"If George Stevens had not used the first 16mm color footage at Auschwitz and Ravensbr\u00fcck, Elizabeth Taylor would never have had her place in the sun.\" Accompanying this sentence is a chain of images that proceeds as follows (figure 4.9):\n\n(1) An image of corpses in an extermination camp that was taken from _D-Day to Berlin_ , a 1985 compilation of color footage shot by the wartime unit run by George Stevens\n\n(2) A shot of Elizabeth Taylor cradling an obscured object from _A Place in the Sun_ (George Stevens, 1951) superimposed with the first image\n\n(3) A return to (1)\n\n(4) A shot of Elizabeth Taylor in close-up from _A Place in the Sun_\n\n(5) (2) without the superimposition, so that it becomes clear that Taylor is holding onto Montgomery Clift\n\n(6) An image of a corpse from _D-Day to Berlin_\n\n(7) A shot from _A Place in the Sun_ showing Taylor slowly lowering her body\n\n(8) A rotated section of Giotto's _Noli me tangere_ (1305\u20131306), framed so that the hands of Mary Magdalene (reaching out to touch Jesus in the original composition) are pointed down\n\n(9) A superimposition of (7) and (8) so that Mary Magdalene's hands appear to be reaching out to Taylor as she rises up\n\nJacques Ranci\u00e8re has criticized this sequence, questioning Godard's decision to rotate the Giotto image and decrying his \"neospiritualism.\" What Ranci\u00e8re, and other similar commentators, appear to be missing is the complex irony of the juxtaposition. Iconographically, the _Noli me tangere_ depicts the first sighting of the risen Christ, who tells Mary Magdalene not to touch him (in one of the most enigmatic passages of the New Testament) since he is about to depart the earth and has \"not yet ascended to the Father.\" In forbidding touch, the _Noli me tangere_ , virtually alone among the traditional Christological scenes, affirms the power of sight to register that which is about to vanish. By connecting Giotto's painting with the scene from _A Place in the Sun_ , Godard is not endowing the Stevens film with sacred value or suggesting that it represents the rebirth of the true cinematic image, because what he is lamenting is that the image of the Holocaust comes through, if it does at all, only _indirectly_ , by means of a narrative that does not address it as such. \"How marvelous to be able to look at what we cannot see,\" Godard says immediately after the Giotto\/Stevens superimposition, \"what a miracle for our blind eyes.\"\n\nFor Godard, following Rossellini, what matters is not so much what is recorded by the camera as the attitude the filmmaker takes to it in the work. \"What there is in newsreels of the war says nothing. It does not judge,\" Godard declares in _Toutes les histoires_ (1A), followed by a shot from Fritz Lang's _M_ (1931) and the onscreen text, \"Only the hand that erases can write.\" The text is an epigram attributed to fourteenth-century German theologian Meister Eckhart and, as so often in Godard's work, the quotation is only partial (Godard elides the final words from the sentence, \"Only the hand that erases can write the truth\"). Several minutes later, he continues, \"We've forgotten that small village, its white walls and olive trees, but we remember Picasso, that is, Guernica.\" By repositioning material like the Giotto image, Godard implies, cinema can create new relationships that, because of their remove from mimetic transcription, can facilitate a more profound connection with history.\n\nFIGURE 4.10 _Superimposition of shots from_ Les Anges du p\u00e9ch\u00e9 _(Robert Bresson, 1943) and_ Shoah _(Claude Lanzmann, 1985) in_ Toutes les histoires _(1A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nIn both his films and writings, Godard has always treated the boundary between fiction and documentary as porous. As a result, the transformation or reinvigoration of preexisting material is seen to deepen rather than threaten the integrity of an artwork. Godard's predisposition toward oblique adaptations is a corollary to this and it may also be the reason why the one European director celebrated in _Histoire(s) du cin\u00e9ma_ for salvaging some modest dignity for the cinema during the war is Bresson. Very shortly after the claim that a 35mm rectangle can save the honor of reality, Godard inserts a shot from _Les Anges du p\u00e9ch\u00e9_ (Robert Bresson, 1943), in which a young novice in a convent bows down before Mother Superior, with a shot of the tracks leading to Auschwitz from _Shoah_ superimposed in the middle (figure 4.10). Like the Giotto\/Stevens juxtaposition that follows several minutes later, the Bresson\/ _Shoah_ pairing crystallizes the loss of the cinema's documentary inclinations\u2014the image from _Shoah_ standing in for what cannot be shown\u2014while at the same time suggesting one of the ways in which even narrative cinema can engage with the larger cultural matrix from which it emerged. Once the novice completes her prostration, a title card reading \"failure at the Gestapo\" appears and Godard switches to an image from Bresson's follow-up film, _Les Dames du Bois de Boulogne_ (1945), a contemporary drama derived from Denis Diderot with a production severely affected by the conditions in wartime Paris. Through the friction generated by the back-to-back juxtaposition of these seemingly discordant elements, Godard is able to suggest the contradictions and dilemmas of a historical moment\u2014the period of the Occupation and the Resistance\u2014that is epitomized by Bresson's wartime films.\n\nFor Godard, television \"makes forgetting, while the cinema made memories,\" an idea that is succinctly embodied in _Histoire(s) du cin\u00e9ma_ by a short sequence from the 1912 Gaumont film _Le Myst\u00e8re des roches de Kador_ (L\u00e9once Perret), which depicts an amnesiac woman who suddenly recalls the traumatic past she has suppressed when confronted by a movie screen. By recording, editing, and then reprojecting the world, cinema \"shows\" things, making ideas and histories manifest and allowing viewers to come to terms with events that cannot be contained by language. Yet the cinema can sometimes neglect its duty, merely \"doing pretty things to pretty girls\" ( _Fatale beaut\u00e9,_ 2B). In _La Monnaie de l'absolu_ (3A), Godard reads a memo from David O. Selznick: \"I want [Dolores] Del Rio and Tyrone Power in a romance with a South Seas setting. The story doesn't matter, so long as it is called _Bird of Paradise_ [King Vidor, 1932] and at the end Del Rio jumps into a volcano.\" Within the studio system, great auteurs can be forced by contract to direct films with insipid scripts, and even at their most incisive and powerful, as in the shots of Ethan Edwards lifting up Debbie from _The Searchers_ (John Ford, 1956) that appear frequently in _Histoire(s) du cin\u00e9ma_ , these films can be an instrument of cultural imperialism. Hollywood, with which Godard has always had a love\/hate relationship, is the power of Babylon, represented by an image from _Intolerance_ (D. W. Griffith, 1916) with overlay text reading \"The World for a Nickel\" and followed by a phrase that is frequently repeated in the works of this period, \"Trade follows films.\" The spirit of Resistance that Godard attributes to Bresson in _Histoire(s) du cin\u00e9ma_ is at one and the same time a question of historical circumstance and of formal originality, the struggle to resist \"a certain uniform way of making movies\" and the dominance of the American corporate model.\n\nBresson is an isolated figure, a powerful exception in the midst of a French film culture that \"was never liberated from the Germans or the Americans.\" The real revolution, in Godard's view, comes with Italian Neorealism and specifically with _Rome, Open City_ (Roberto Rossellini, 1945), a film that allowed Italy \"to reclaim the right to look itself in the face.\" Like Bresson, Welles, and Hitchcock, Rossellini is referred to in one form or another in every section of _Histoire(s) du cin\u00e9ma_ , often through brief, iconic fragments: an excerpt of Pina falling to the ground in _Rome, Open City_ ; or Karen climbing the volcano in _Stromboli_ (1949); a still from _Joan of Arc at the Stake_ (1954); or the sound of the murdered partisans falling into the water from the end of _Pais\u00e0_ (1946). In these and other instances, Godard plays off the intrinsic power of the sequences, while also treating them as symbols of their period.\n\nOn two significant occasions, however, Italian Neorealism is dealt with in more detail, the only movement other than the French New Wave to receive dedicated attention. _Toutes les histoires_ (1A) ends with a long excerpt from _Germany Year Zero_ , showing a young boy, Edmund, wandering through the ruins of a Berlin building before falling to his death. The entire sequence is a long excursus in the midst of a discussion of American cinema exerting its economic power over Europe both before and then after World War II (\"if World War I allowed American cinema to ruin French cinema... with the advent of television, World War II allowed it to finance, that is to ruin, European cinema\"), and it is bracketed on both ends by a superimposed still from _La Strada_ (Federico Fellini, 1954) that shows actress Giulietta Masina holding her hands over her face. The moving images from _Germany Year Zero_ are frequently interspersed with passages of black and the moments both before and just after Edmund falls are amplified through the use of slow motion. The audio from Rossellini's film is gone, replaced by a sonic montage incorporating Paul Hindemith's symphony _Mathis der Maler_ (1934), silence, garbled passages of sound from the original film, and Godard, in voiceover, reading an uncited passage from Ludwig Wittgenstein's posthumously published book, _On Certainty_ (1951). Wittgenstein's text focuses on hands\u2014\"Looking won't reassure me. Why trust my eyes, if I have doubts? Why check my eyes to see whether I see my hands?\"\u2014and Godard accordingly uses the fusion of the images from the Rossellini and Fellini films to create a montage cluster pointing to both the epistemic crisis of the postwar world and the shifting nature of the image within Neorealism. With its historical boundaries implicitly marked by the two films, Neorealism is depicted as offering a genuine European alternative to the aesthetics of Hollywood filmmaking for a few short years, with Fellini's work functioning, according to Andr\u00e9 Bazin's famous phrase, as the \"voyage to the end\" of the movement that began with Rossellini's war trilogy.\n\nGodard's manipulation of both the sound and image tracks from _Germany Year Zero_ is consistent with the strategies employed throughout _Histoire(s) du cin\u00e9ma_ \u2014if only the \"hand that erases can write,\" then distortion is a virtual prerequisite for montage\u2014and it also sets the stage for the return to Neorealism nearly three hours later at the end of _La Monnaie de l'absolu_ (3A). There Godard observes that \"it was a strange thing, however, how the Italian cinema became so great, when from Rossellini to [Luchino] Visconti, from [Michelangelo] Antonioni to Fellini, sound was never recorded with images.\" In separating the images of _Germany Year Zero_ from the attached soundtrack at the end of _Toutes les histoires_ (1A), Godard draws attention to the new alliance of production method (location shooting using both nonactors and nonsynchronous sound) and aesthetic framework inaugurated by the films of Rossellini, using the fissure between image and sound to demonstrate the capacity of footage shot independently of a script to capture a concrete historical situation in all its ambiguity. At the end of _La Monnaie de l'absolu_ (3A), Godard again accentuates the autonomy of images and sounds by including an extended montage from key Neorealist films accompanied, somewhat comically, by a 1983 Italian pop song, _La nostra lingua italiana_ (Riccardo Cociante and Gaio Chiocchio). The true \"sound,\" however, comes from elsewhere; in the major Italian films of the post-Resistance period, \"the language of Ovid and Virgil, Dante and [Giacomo] Leopardi passed through the images,\" Godard declares, superimposing passages from Lucretius, Dante, and Ovid as text throughout the sequence.\n\nAs if to emphasize that this process largely eludes conscious recognition, the texts are in the original languages (Latin or Italian), but each excerpt\u2014from Book IV of Lucretius' _On the Nature of Things_ (first century BCE); Book XV of Ovid's _Metamorphoses_ (8 CE); Ovid's _Cures for Love_ (ca. 1 CE); Canto XXIV of Dante's _Inferno_ (1314); and Canto XX of the _Purgatorio_ (1318\u20131319)\u2014has an implied relationship with the images it is linked to. These associations range from the autobiographical (\"The man who protests to the world 'I'm not in love,' is,\" attached to images of Godard's ex-wife Anne Wiazemsky from Pier Paolo Pasolini's _Teorema_ , 1968) to the metaphorical (\"As soon as his voice ceased, the god disappeared. With him, sleep departed too, and kindly daylight followed hard on the heels of sleep,\" tied to images from Visconti's _The Leopard_ , 1963) to the philosophical (\"When the first [image] perishes and a new one is born and takes its place, the former seems to have changed its attitude,\" a passage from Lucretius accompanied by a blank screen). In every instance, however, the cuts are structured around the visual patterns onscreen. By relegating both sound and text to supporting roles, this montage suggests that the faint remnants of the premodern literary world are able to \"inhabit\" these Neorealist films because the system of audiovisual synchronization foundational to cinema since the early 1930s had been fractured, allowing images to once again speak for themselves.\n\n### \"A Truth That Says, Believe\"\n\nReligion is only the frame and the pretext for the creative energy of man as it reaches its summit and as it lends to him the enthusiasm which it draws up from the consciousness of itself. There is no \"religious art.\" Any art is religious in its essence; and, with love doubtless\u2014of which it is the spiritual flower\u2014it is the sole creator and also the sole reliable evidence of that grand intoxication which moves mountains and which is called religion.\n\n\u2014\u00c9LIE FAURE, _THE SPIRIT OF THE FORMS_ (1927)\n\nIn interviews about _Histoire(s) du cin\u00e9ma_ , Godard has offered up extraordinarily grand claims for the significance of Rossellini's work. The Italian literary tradition can come into the Neorealist image because \"there is a space of miracles,\" he declared at one point, expounding further in a subsequent discussion:\n\n_Rome, Open City_ is a film of resistance because it is a film of resurrection. It is not by chance that this work comes from Italy, the nation the most absent from the war and at the same time a guardian of Christianity. Only Christianity has held images. St. Paul said almost this: \"The Image will come at the time of the Resurrection.\"\n\nGodard has made similar statements on several occasions, including in _Une histoire seule_ (1B), arguing that the Pauline conception of sacred images is something that he \"as a director... can begin to understand.\" Godard has never explained where in St. Paul's writings he found the words \"The Image will come at the time of the Resurrection,\" which, even accounting for variations in translation, appear nowhere in the Epistles. It is likely that Godard is condensing and paraphrasing a number of passages, especially 1 Corinthians 13:12 (\"For now we see through a glass, darkly, but then face to face\") and 1 Corinthians 15:49 (\"And we have born the image of the earthly, so shall we bear the image of the heavenly\"). St. Paul's comments refer eschatologically to the resurrection of all souls at the end of time. Godard, however, takes this to refer more generally to the power of the cinematic Image to act as both imprint of reality and emanation of the sacred. As he put it in a 1983 interview (and as he reiterated in _Toutes les histoires_ , 1A), the cinema is \"a very evangelical matter, and it's not by chance that the white screen is like a canvas... [like] the linen of Veronique, the shroud that keeps the trace, the love, of the lived, of the world.\" In the formulation developed in _Fatale beaut\u00e9_ (2B), the cinema is \"neither an art, nor a technique, but a mystery.\"\n\nGodard uses similarly religious language to describe his experience of the screenings on the avenue de Messine at the first version of the Cin\u00e9math\u00e8que fran\u00e7aise, which Jean Renoir once described as \"the church for movies.\" Godard has also compared public film screening to a Mass, and this is related throughout his late work to a new poesis of light. Caroline Champetier, the cinematographer for several Godard films in the 1980s including _Keep Your Right Up_ , has argued that this motivated his decision to shoot his later films using the full frame even though virtually every cinema would have projected the films cropped to a widescreen ratio like 1.66:1: \"The idea, for him, [was that] the shot was not [a question] of space, or of environment, or of framing, but of a force, an impulse\u2014very often a pulsation of light.\" The phrase \"what Goethe said before he died\" is repeated so often in _Keep Your Right Up_ that it becomes a running joke, predicated on the assumption that the viewer knows Goethe's (possibly apocryphal) final words, \"More light!\" Godard develops the references further in _Germany Year 90 Nine Zero_ and puns on light incessantly in _Histoire(s) du cin\u00e9ma_. \"One evening we went to Henri Langlois' and then there was light,\" Godard declares in _Une vague nouvelle_ (3B), later observing, \"The true cinema was that which could not be seen, because it was still prohibited, always invisible. Such was our cinema, and it has stayed with me, and Langlois confirmed it for us. Yes, that is the right word _exactly_.\"\n\nWhat Langlois, called \"L'Ange\" in _Une vague nouvelle_ (3B), confirmed for his young acolytes above everything else was the universalizing power of the silent cinema. \"With silence, people opened their eyes, together,\" Godard announced in an interview. \"Everyone was equal before the image.\" For Godard, more perhaps than for any of his colleagues, the silent era was a period in which the deities of film, those whose creative powers were diminished immeasurably by the coming of sound, walked the earth, and he emphasizes this throughout _Histoire(s) du cin\u00e9ma_. Just before announcing that Langlois had shown the young cinephiles light, Godard pairs William Blake's _Ancient of Days_ (1794) with a shot of Napoleon adrift at sea from the \"Double Tempest\" section of Abel Gance's _Napol\u00e9on_ (1927), both cropped with an overlay reading \"The Museum of the Real.\" Accompanying these images is a text by Braudel about the Siege of Toulon. In linking Braudel's words to the fusion of a section of _Napol\u00e9on_ with the painting of Blake, Godard highlights Gance's attempt to renew the Romantic tradition and the cinema's ability to reveal the fabric of historical experience through the montage of wholly fictional imagery, connecting both to \"the identity of the New Wave.\"\n\nIf Gance's films are used here and throughout to suggest the power as well as the excess of a cinematic visionary, Erich von Stroheim, whose portrait recurs at key points in _Histoire(s) du cin\u00e9ma_ , is depicted as an Icarus-like fallen hero, a martyr to the burgeoning power of Hollywood. Fifteen minutes into the first section of _Histoire(s) du cin\u00e9ma_ , a title reading \"factory of dreams\" appears onscreen, followed by a partial reproduction of Gustave Moreau's _Jupiter and Semele_ (1894\u20131895), which is linked\u2014first by an iris and then via superimposition\u2014to an image of von Stroheim, an association that is, in its own way, just as rich as the linkage of _Napol\u00e9on_ and Blake (figure 4.11). In the original myth, Semele, encouraged by Juno, asked the disguised Jupiter to appear in all his glory, precipitating her own death (since mortals cannot look upon the gods without perishing). The parallel with the career of von Stroheim is evident, but the use of Moreau's testament to late Romantic aesthetics adds additional layers of resonance. Where Picasso, in his 1930 drawing _Loves of Jupiter and Semele_ , focuses on the human act of coupling, and Tintoretto, in his 1545 _cassone_ panel ( _Jupiter and Semele_ ), emphasizes the essential narrative structure of the myth by having Jupiter occupy the central third of the composition, Moreau's painting depicts the intercourse of a mortal and a god as a moment of suspension, literally poised between ultimate consummation and the disintegration of the body into ash. There could be no clearer fusion of Eros and Thanatos, with the erotic force of the subject sublimated into a m\u00e9lange of impenetrably arcane signs and symbols. Insofar as this symbolism can be seen to evoke what Malcolm de Chazal has called \"a point-state where death and birth meet halfway,\" the painting embodies the poetic cycle of creation and self-destruction central to _Histoire(s) du cin\u00e9ma_ and Godard's late work more generally. By virtue of its 1895 completion date and its implicit mythic context\u2014the birth of Bacchus, who was taken from his mother's womb and \"sewn into his father's thigh\" after the events portrayed in the painting\u2014the image could also be related to the birth of cinema, deepening the implied connection between the artistic temperament of a figure like von Stroheim and the voluptuous abandon of \"Hollywood\" (the focus of _Toutes les histoires_ , 1A).\n\nFIGURE 4.11 _Cropped detail of_ Jupiter and Semele _(Gustave Moreau, 1895, Mus\u00e9e Gustave Moreau, Paris) superimposed with a photograph of Erich von Stroheim in_ Toutes les histoires _(1A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nFIGURE 4.12 _Cropped detail of_ Le Chapeau de paille _(_ Portrait of Susanna Fourment, _Peter Paul Rubens, 1622\u20131625, National Gallery, London) in_ Fatale beaut\u00e9 _(2B) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nAs always, there is a danger of making Godard's montages cohere too easily as texts, when the point is to create audiovisual relationships that extend out in multiple directions at once, much like the use of recurring motifs in the work of directors like von Stroheim. For von Stroheim, this functioned as both a sign of his authorship and a sort of secret code, a hieroglyphic system of correspondences that connected both individual films and his entire corpus to larger symbolic, religious, or occult systems. In _Histoire(s) du cin\u00e9ma_ , repeated images, sounds, or sequences\u2014like the frequent return to the Teutonic Knights of _Alexander Nevsky_ (Sergei Eisenstein, 1938) or the _Liebestod_ of _Duel in the Sun_ (King Vidor, 1946)\u2014function as modernist metacommunication, a way of putting Godard's films in dialogue with both one another and with the history of the arts. For example, Peter Paul Rubens' _Le Chapeau de paille_ ( _Portrait of Susanna Fourment_ , 1622\u20131625) is used throughout Godard's late work, appearing in _Fatale beaut\u00e9_ (2B), _JLG\/JLG_ \u2014 _Self-Portrait in December, The Old Place_ (1999), _In Praise of Love_ , and _Notre musique_ (figure 4.12). In each of the later iterations, the appearance of this Rubens painting recalls its use in the earlier films while also functioning as cinematic shorthand, condensing Godard's arguments about the tendency for male artists to frame women \"from the bust\" into a single image. This is the pictorial equivalent of Godard's frequent musical quotations, and, in at least one instance\u2014the use in _Histoire(s) du cin\u00e9ma_ of Hindemith's _Mathis der Maler_ and Matthias Gr\u00fcnewald's _Isenheim Altarpiece_ (1512\u20131515)\u2014the two streams are powerfully interrelated.\n\nFIGURE 4.13 _Frontal view of the_ Isenheim Altarpiece _(Matthias Gr\u00fcnewald, 1512\u20131515, Mus\u00e9e d'Unterlinden, Colmar, France; photograph courtesy Album \/ Art Resource, NY)._\n\nThe crucifixion on the front of Gr\u00fcnewald's famous polyptych, designed for a hospital chapel run by Antonine monks devoted to easing the suffering from gangrenous disease, includes an image of St. John the Baptist pointing toward the body of Christ. Next to his hand, the Latin phrase, \" _Illum oportet crescere me autem minui_ \" (\"He must increase, but I must decrease,\" John 3:30) is inscribed on the surface of the painting (figure 4.13). In order to reinforce the lesson contained in this text, Gr\u00fcnewald disregards the conventions of just proportion developed during the Renaissance, making the suffering Christ dominate in the manner of sacred images developed before the advent of linear perspective. The painting's visual structure suggests a strong reassertion of Catholic faith, but its unusual (and iconographically unnecessary) reliance on text has made it central to later Protestant arguments about visual representation; Karl Barth kept a reproduction by his desk throughout his career and excluded it from his more general condemnation of images, while Paul Tillich went so far as to claim that it is the \"greatest German picture ever painted.\" In _Histoire(s) du cin\u00e9ma_ and several other films, Godard crops Gr\u00fcnewald's frontispiece to emphasize the figure of St. John the Baptist and the inscription, using it as a totem for the conflict between text and images in his films (figure 4.14).\n\nFIGURE 4.14 _Detail of St. John the Baptist and the Latin inscription of the_ Isenheim Altarpiece _(Matthias Gr\u00fcnewald, 1512\u20131515, Mus\u00e9e d'Unterlinden, Colmar, France) superimposed with text reading \"_ Histoire(s) du cin\u00e9ma _\" in_ La Monnaie de l'absolu _(3A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nFrom the lengthy verbal digressions of _Breathless_ and _My Life to Live_ (1962) through the logorrhea of films like _Un film comme les autres_ (1968) and the superimposition of texts in countless video projects, there has always been a tension between the visual and textual modalities of Godard's work that is given greater philosophical and theological significance in the years surrounding the creation of _Histoire(s) du cin\u00e9ma_. The writings Godard uses matter a great deal to his work, but what he objects to is the way in which printed words can become rigid, even oppressive models of authority (this too echoes St. Paul: \"For the letter killeth, but the spirit giveth life\"). By extracting phrases from their sources\u2014without, it should be noted, making it impossible to trace their origins\u2014and putting them in dialogue with other audiovisual or textual materials, Godard makes them part of an active and dynamic process and keeps them from solidifying into \"texts.\" It is the irreducible polyvalence of images that underlies Godard's strong preference for the silent cinema:\n\nWith silence, there was no need to talk in order to be understood\u2014it was the speech of silence.... Then the text, the scenario, returned to power [with the coming of sound], at the moment when Stalin became Stalin, Hitler, Hitler. The scenario, the texts, the programs, the scenarios, and the camps.\n\nGodard retains the historical friction generated by these associations, while also underscoring the dire consequences of their implications, when, in _Notre musique_ , he further crops the Gr\u00fcnewald image to isolate the figure of St. John the Baptist and then cuts to an image of a concentration camp victim with the word _juif_ in the upper left, a cut bridged through a verbal chain going from \"The Tables of the Law\" to \"The Holy Scriptures\" and finally \"The People of the Book.\"\n\nThese same concerns informed Paul Hindemith's _Mathis der Maler_ , a musical response to the _Isenheim Altarpiece_ that is one of the most frequently excerpted pieces of music in _Histoire(s) du cin\u00e9ma_. In addition to Protestant sympathies, Gr\u00fcnewald is also said to have supported the peasants in the Peasants' War (1524\u20131525), and Hindemith draws parallels to the contemporary political situation in Nazi Germany in both his symphonic (1934) and operatic (1935\u20131938) portraits. Throughout _Histoire(s) du cin\u00e9ma_ , Godard uses extracts from the third movement of the symphony as sonic counterparts to the visual allusions to the _Isenheim Altarpiece_ , reflexively emphasizing the formation of a synthetic montage image by focusing on a section at the beginning of the movement that attempts to musically represent the moment of artistic creation. Most powerfully, in _La Monnaie de l'absolu_ (3A), the cropped image of St. John the Baptist appears in superimposition with the words \" _Histoire(s) du cin\u00e9ma_ ,\" shortly before this extract from _Mathis der Maler_ , dedicated to the \"Temptation of St. Anthony,\" is used. Gr\u00fcnewald's depiction of one of these temptations\u2014in which St. Anthony is beaten to death by demons in a cave, revived, and then beset once again by the same demons before a sudden flash (which St. Anthony believes came from God) causes them to flee\u2014had appeared several minutes before. Superimposed with El Greco's _Christ Throwing Traders from the Temple_ (1600), it visually encapsulates the narrative of death and rebirth developed in _Histoire(s) du cin\u00e9ma_ (figure 4.15). Cropped and partially veiled by superimposition, however, it is as concealed within the audiovisual fabric of _Histoire(s) du cin\u00e9ma_ as Gr\u00fcnewald's rendering of the scene, visible only when the altarpiece is fully open, is buried inside its architectural frame. Godard proves himself here to be an ardent follower of Bresson's maxim, \"Hide the ideas, but so that people find them. The most important will be the most hidden.\"\n\nFIGURE 4.15 _Detail of_ Christ Throwing Traders from the Temple _(El Greco, 1600, National Gallery, London) superimposed with a detail of \"The Temptation of St. Anthony\" panel from the_ Isenheim Altarpiece _(Matthias Gr\u00fcnewald, 1512\u20131515, Mus\u00e9e d'Unterlinden, Colmar, France) in_ La Monnaie de l'absolu _(3A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nWhat Godard is suggesting is that the historical \"rebirth\" brought about by Neorealism is a kind of resurrection, the revitalization of an approach to cinematic image-making that was first consigned to a passive role by sound and then compromised further by World War II. This type of cinema offers something to the viewer, a secular faith that the postwar generation, steeped in Sartrean ideas of commitment, could believe in, an idea that comes out most clearly during a sequence in _Une histoire seule_ (1B) that begins with Godard declaring, \"The cinema, like Christianity, is not founded on historical truth.\" Godard's voiceover is accompanied by a complex montage that includes audio or visual references to Arthur Honegger's _Pacific 231_ (1923); Giotto's _Flight into Egypt_ (1304\u20131306); Ingmar Bergman's _Prison_ (1949); Rossellini's _Joan of Arc at the Stake_ ; _I Confess_ (Alfred Hitchcock, 1953); _Judex_ (Louis Feuillade, 1916\u20131917); _The Princess of Cl\u00e8ves_ (Madame de La Fayette, 1678); William Faulkner's _Absalom, Absalom!_ (1936); _Genuine_ (Robert Wiene, 1920); and _The Spiders_ (Fritz Lang, 1919\u20131920). The triple repetition of the phrase \"the cinema like Christianity\" creates the impression that the \"film\" is caught in the projector, a conceptual stutter that is overcome only when Godard continues (in French):\n\nIt offers us a [historical] narrative and says: now believe! But not, believe this narrative with the belief appropriate to a historical narrative, rather: believe, through thick and thin, which you can do only as the result of a life. Here you have a narrative, don't take the same attitude to it as you take to other historical narratives\n\nThe source, a 1937 note from Wittgenstein, becomes clearer when Godard repeats the last phrase in German, \" _wie zu einer anderen historischen Nachricht_ \" (\"as you take to other historical narratives\"), and then reads the final sentence of the text (\"Make a _quite different_ place in your life for it\") in both French (\" _Donne-lui une place_ tout autre _dans ta vie_ \") and German (\" _[La\u00df sie] eine_ ganz andere _Stelle in Deinem Leben einnehmen_ \"). After using these linguistic shifts to invoke the post-Babel confusions of speech, the screen goes black, and an excerpt from the soundtrack of Fritz Lang's _M_ is intertwined with the beginning of the third movement of Hindemith's _Mathis der Maler_.\n\nIn the text Godard quotes from, Wittgenstein is addressing the structural significance of faith to Christian belief, ideas that Godard\u2014buttressed by the cinematic, musical, and literary allusions listed above\u2014explicitly analogizes to the relationship between viewer and screen in the cinema. Even here, however, the montage remains destabilizing and paradoxical, with the audio excerpt from _M_ continuing over an image of an emaciated hand from a 1947 Alberto Giacometti sculpture, strongly evoking (yet again) the irredeemable atrocities of World War II. In what follows, however, Godard makes his strongest audiovisual \"argument\" for the power of the cinema in the postwar world: the Giacometti hand is linked via dissolve to a still image of Joan of Arc's hand on the floor in Bresson's _The Trial of Joan of Arc_ (1962). Although it is one of Bresson's least-known films, Godard returns to _The Trial of Joan of Arc_ more than any other, using its spare concentration of gesture and portrayal of Joan\u2014always shown, in the excerpts selected for _Histoire(s) du cin\u00e9ma_ , in chains\u2014to stand in for the martyrdom of an art form besieged by institutions that constrain its spiritual power. Godard superimposes text with the still, beginning an extended, punning dialogue in which he again alludes to the paraphrase from St. Paul: \" _viendra_ \" appears over the _Trial of Joan of Arc_ image; followed by an image of a hand preparing to take communion (\" _Oh! Temps_ \"); an image of the couple from _The Story of the Flaming Years_ (Yuliya Solntseva, 1961); an image of Johannes and Maren from the end of _Ordet_ (Carl Theodor Dreyer, 1955) (\" _Oh! Temps_ \"); a still of an empty bed with the imprint of a body from Hitchcock's _Psycho_ (1960); and finally a moving shot from _Un chien andalou_ , ending just before the eye is sliced (\" _l'image viendra au temps de la resurrection_ \").\n\nThis short excerpt is as densely packed as the rest of _Histoire(s) du cin\u00e9ma_ , but, coming immediately after the Wittgenstein text, at least one strong thread appears\u2014what \"the cinema alone,\" through the montage-driven transformation of conventional vision, can do is summon an Image of that which exceeds the boundaries of sight. Whatever iconic \"purity\" it may have had in an earlier period, this Image is perpetually in flux, its plenitude accessible only through the matrix of contrapuntal collisions on which its visibility depends. In _Le Contr\u00f4le de l'univers_ (4A), Godard refers to _Ordet_ as one of only two films in the history of cinema that successfully presented a miracle, and the shot he selects in this sequence is of the moment _before_ Johannes raises his sister-in-law from the dead. Unlike Dreyer, Godard leaves the definitive moment offscreen, instead using associational montage to hint at transformational potentialities that remain, within _Histoire(s) du cin\u00e9ma_ , unfulfilled. \"For me, montage is the resurrection of life,\" Godard declared in an interview. \"It is the sense of utopia, of possible resurrection, that I have found in montage, which means that if I am alone, it is a shame, but it is bearable.\"\n\n### Think with Your Hands\n\nThe purely corporeal can be uncanny. Compare the way angels and devils are portrayed. So-called \"miracles\" must be connected with this. A miracle must be, as it were, a sacred gesture.\n\n\u2014LUDWIG WITTGENSTEIN (1946)\n\nAfter showing the famous shot of an eye about to be spliced in _Un chien andalou_ midway through _Une histoire seule_ (1B), Godard inserts a series of three seventeenth-century paintings\u2014Rembrandt's _The Vision of Daniel_ (1650), Caravaggio's _David with the Head of Goliath_ (1609\u20131610), and finally a \"close-up\" of the head in Rembrandt's _The Anatomy Lesson of Dr. Deyman_ (1656) (figure 4.16). All of these have conceptual links to the film sequences and stills that preceded them, focusing as they do on images shorn from the body and on the boundary between life and death. There is also a fixation on cutting, on hands as an instrument of separation and division, which Godard reinforces by returning to the puncturing of the eye in Bu\u00f1uel's film, connecting the image that he had held offscreen up until this point to a simple title card reading \" _le cin\u00e9ma_.\" In the years when he was making _Histoire(s) du cin\u00e9ma_ , Godard sometimes implied that, like the unseen subjects of Rembrandt's _The Anatomy Lesson of Dr. Deyman_ , he was working like a surgeon, using montage to open eyes rendered complacent by industrial consumer life. In the Montreal lectures, Godard instead compared his practice to that of a carpenter, an idea that resonates with both his artisanal production method and the many images of manual labor in his films. On other occasions, he has described his approach to the editing of images and sounds as like that of a sculptor. Godard's desire to exert direct control over the images in his films also led him to help develop a handheld 35mm camera that would have \"the technical simplicity and flexibility of Super-8 so that a nonspecialist like Godard] could use it for spontaneous, brief shots that could be intercut with 35mm work done by professional cinematographers.\" For Godard, hands are the most concrete manifestation of the self's interaction with the world of objects and things, the instrument for physical activity, and the vouchsafe of corporeal existence ([figure 4.17).\n\nFIGURE 4.16 _Detail of_ David with the Head of Goliath _(Caravaggio, 1609\u20131610, Galleria Borghese, Rome) superimposed with text reading \"The image will come at the time of the resurrection\" in_ Une histoire seule _(1B) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\n\"The true condition of man is to think with his hands,\" Denis de Rougemont declared in _Penser avec les mains_ (1936), a personalist treatise that is read out at length in _Le Contr\u00f4le de l'univers_ (4A). At the same time, hands are also the conduits for creativity\u2014that which makes possible the writing of a text, the performance of a musical composition, or the filming of a moment in time. Malraux ends _The Voices of Silence_ (1951), the revised single-volume edition of _The Psychology of Art_ , with an encomium about the artistic power of hands, using language that connects very strongly with _Histoire(s) du cin\u00e9ma_ :\n\nHumanism does not consist in saying: \"No animal could have done what we have done,\" but in declaring: \"We have refused to do what the beast within us willed to do, and we wish to rediscover Man wherever we discover that which seeks to crush him to the dust.\" True, for a religious-minded man this long debate of metamorphosis and rediscoveries is but an echo of a divine voice, for a man becomes truly Man only when in quest of what is most exalted in him; yet there is beauty in the thought that this animal who knows that he must die can wrest from the disdainful splendor of the nebulae the music of the spheres and broadcast it across the years to come, bestowing on them messages as yet unknown. In that house of shadows where Rembrandt still plies his brush, all the illustrious Shades, from the artists of the caverns onwards, follow each movement of the trembling hand that is drafting for them a new lease of survival\u2014or of sleep.\n\nFIGURE 4.17 _A hand over a television screen in_ First Name: Carmen _(Jean-Luc Godard, 1983)._\n\nAnd that hand whose waverings in the gloom are watched by ages immemorial is vibrant with one of the loftiest of the secret yet compelling testimonies to the power and the glory of being Man.\n\n\"The trembling hand\" in the midst of a creative act appears frequently in Godard's late work. In films like _Une femme mari\u00e9e: Fragments d'un film tourn\u00e9 en 1964 en noir et blanc_ , Godard, inspired perhaps by the opening of _Hiroshima mon amour_ (Alain Resnais, 1959) and the early 1960s work of Antonioni, had used cropped images of hands and other body parts to suggest an eroticism that had been detached or abstracted from tenderness. After 1968, hands are instead linked to acts of production\u2014organic and sexual as well as artistic\u2014while in films like _Num\u00e9ro deux_ , they are used to suggest the compulsive creativity of a filmmaker at an intellectual impasse. By the time Godard returned to feature filmmaking and began planning out _Histoire(s) du cin\u00e9ma_ , hands had attained both a heightened prominence and a new autonomy, linked to a conception of montage that was both abstrusely allusive and emphatically concrete. \"In montage,\" Godard declared in one interview, \"one has a moment physically, like an object, like this ashtray,\" and both _King Lear_ and _JLG\/JLG_ \u2014 _Self-Portrait in December_ include scenes in which strips of film are held and connected together by hand (figure 4.18). The frequent shots of hands in _Nouvelle vague_ are similarly tactile, but they resonate along a number of overlapping metaphoric axes. Like the hands at the end of Nicholas Ray's _On Dangerous Ground_ (1952), they suggest the possibility of genuine connection, while also, through their linkage across a single matching cut, making tangible the largely invisible effects of editing. By adjusting focus so that the outstretched hands stand out from the blurred landscape in the background, Godard is able to fixate on their physical surfaces, the ways in which they evoke aging bodies, while also pointing in the direction of the ineffable.\n\nFIGURE 4.18 _Film being worked by hand in_ JLG\/JLG\u2014Self-Portrait in December _(Jean-Luc Godard, 1994)._\n\nFIGURE 4.19 Detail of _The Marriage of Bacchus and Ariadne_ (Jacopo Tintoretto, _1578, Palazzo Ducale, Venice_ ) superimposed with Jean-Luc Godard in _Sc\u00e9nario du film Passion_ (Jean-Luc Godard, 1982).\n\nIn treating hands as he does in _Nouvelle vague_ , Godard invokes the most iconographically charged depiction of outstretched hands in the Western canon, the divine touch in Michelangelo's _The Creation of Adam_ (1508\u20131512). Godard never refers to the Sistine Chapel image directly, but the relationship between sacred love and physical contact informs much of the work made during the period of _Histoire(s) du cin\u00e9ma_. In _Sc\u00e9nario du film Passion_ (1982), for example, Godard assigns a privileged place to another sort of \"divine\" love, Tintoretto's painting _The Marriage of Bacchus and Ariadne_ (1578), which he describes as embodying both the subject of his film\u2014one man and two women\u2014and the idea of a sacred trinity (figure 4.19). _Sc\u00e9nario du film Passion_ is the longest and most substantive of the video \"sketches\" that Godard completed in this period, and, like the others, it is replete with images of hands in motion\u2014operating an editing table, gesticulating to the viewer, or raised, like those of a suppliant, before a movie screen. Like St\u00e9phane Mallarm\u00e9's blank page (to which it is compared), the screen remains \"empty\" throughout the video, but images of several of the canvases re-enacted as tableaux vivants in the accompanying feature ( _Passion_ ) are superimposed with an image of Godard himself. As in Ingmar Bergman's _Persona_ (1966), the screen becomes a metaphor for the Cartesian separation of the body and the psyche, a surface on which psychological yearnings and needs can be projected. Yet by layering dim reproductions of canvases on top of pixelated video imagery, Godard subsumes everything onscreen within the visual imagination of the filmmaker in the center. In \"matching\" the central touch in the Tintoretto canvas with the outstretched arms of the director, Godard goes even further, turning those same hands into expressions of his demiurgic authority.\n\nGodard ends _Une histoire seule_ (1B) with a brief sequence that cinematically distills this dynamic. After an extended montage that focuses on the lost innocence of the cinema by linking post-1945 film icons like _La terra trema_ (Luchino Visconti, 1948) with proto-cinematic materials from the late nineteenth century, Godard inserts an intertitle reading \" _au paradis perdu_ \" and includes sound of Maria Casar\u00e8s reading a passage from Martin Heidegger's 1946 essay, \"What Are Poets For?\"\n\nPoets are the mortals who, singing earnestly... sense the trace of the fugitive gods, stay on the gods' tracks, and so trace for their kindred mortals the way toward the turning.... But who has the power to sense, to trace such a track? Traces are often inconspicuous, and are always the legacy of a directive that is barely divined. To be a poet in a destitute time means: to attend, singing, to the trace of the fugitive gods.\n\nWhen this text had been quoted earlier in _Une histoire seule_ (1B), it was accompanied by images of the \"gods\" themselves\u2014the founding figures of United Artists\u2014but here, intercut with Leonard Cohen's \"If It Be Your Will\" and the voice of a man discussing Christian theology, it is attached to a brief sequence from Hitchcock's _Vertigo_ in which Scottie Ferguson uses his hands to rescue \"Madeleine\" from drowning in San Francisco Bay. In _Nouvelle vague_ (which was made the following year), Godard riffs on the same _Vertigo_ sequence, but gives it added weight by structurally paralleling two partial drownings, the first leading to death and the second to a sort of resurrection. By virtue of its position within this montage constellation, the drowning sequence also has religious connotations in _Une histoire seule_ (1B), but Godard gives it a different inflection by quoting the Acts of the Apostles in overlaid text reading \"we are all here.\" In bringing all of these elements together, Godard indirectly elucidates his own double position within _Histoire(s) du cin\u00e9ma_ : the Romantic elegist (a \"poet in a destitute time\") using fragments of a lost world to memorialize fallen deities; and the modernist reflexively interrogating the mnemonic structure of his medium.\n\nThroughout _Histoire(s) du cin\u00e9ma_ , Godard uses the ashes of the past to memorialize an auteurist pantheon, with major filmmakers doubling as substitutes for the heroic figures of the ancient world. If von Stroheim is presented as a modern Icarus, Hitchcock, \"the greatest creator of forms in the twentieth century,\" is Godard's Prometheus. The penultimate section of _Histoire(s) du cin\u00e9ma, Le Contr\u00f4le de l'univers_ (4A), contains a long tribute to Hitchcock that interrelates images of tightly framed body parts and objects from throughout his corpus, emphasizing the director's still unmatched ability to fuse the codes of narrative \"realism\" with a sense of pure form that hovers on the border of pictorial abstraction. If Hitchcock is, as Godard suggests, \"with Dreyer, the only one who knew how to film a miracle,\" it is because he links it to the motion of hands, framing his images to isolate gestures like the touching of rosary beads in _The Wrong Man_ , and thereby making visible the corporeal manifestations of the sacred. Like the Dreyer of _Ordet_ , who uses the conventions of pastoral romance and the \"rhythm-bound restlessness\" of a long-take aesthetic to conceal the spiritual agency of Johannes until very late in the film, Hitchcock deflects attention away from the religious implications of his narrative by adopting a location-driven style derived from Neorealism and exhaustively detailing the specifics surrounding the arrest of Manny Balestrero. In a unique precredit sequence, a silhouette of Hitchcock declares that \"everything you see in this film is absolutely true,\" misdirecting the first time viewer's attention toward the surface effects of the film's style while audaciously deepening the impact of the \"miracle\"\u2014in which, following the prayer of Balestrero's mother, the criminal is discovered and arrested\u2014at the end of the film. The unusual nature of the scene is reinforced by Hitchcock's use of superimposition, a technique that was rarely employed in his sound features and constitutes a decisive rupture in the midst of a film shaped, as Godard himself noted in the 1950s, by a rigorously \"classical\" mise en sc\u00e8ne. Godard amplifies this quality by superimposing a photograph of Hitchcock with the sequence from the film, implying that the true agent of fate in the film is the filmmaker, envisioned here as both creator and puppeteer (figure 4.20).\n\nFIGURE 4.20 _Superimposition of a photograph of Alfred Hitchcock and a detail of_ Madonna of the Rosary _(Caravaggio, 1607, Kunsthistorisches Museum, Vienna) with text reading \"The Artist\" in_ Le Contr\u00f4le de l'univers _(4A) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nFor Godard, the movement of hands in _Le Contr\u00f4le de l'univers_ (4A) was orchestrated \"in order to show the classic gesture of the old cinema, when there were no more shots... . [As in] painting, the cinema is thought with the hands; all creators think with their hands.\" In _Histoire(s) du cin\u00e9ma_ , Hitchcock is portrayed as the embodiment of both classical form and directorial power, \"the only _po\u00e8te maudit_ to meet with success, failing where Alexander, Caesar, Hitler, and Napoleon had failed, in controlling the universe.\" At the same time, however, Godard also draws attention to the way in which Hitchcock's deceptive classicism masked his transformation of Romantic motifs, extracting only the moments of _l'amour fou_ in _Vertigo_ and drawing out their underlying implications at the end of _Une histoire seule_ (1B) by juxtaposing the shot of Scottie Ferguson and \"Madeleine\" from _Vertigo_ with an image of a boat at night from Albert Lewin's postwar recuperation of Wagner (by way of Giorgio de Chirico), _Pandora and the Flying Dutchman_ (1951). In the same interview in which he spoke of hands as demonstrating a \"classic gesture,\" Godard refers to the unification of contraries by asserting, \"the Classics, that is us,\" an allusion to Hugo's _Hernani_ and its famous reconciliation of Classicists and Romantics. _Hernani_ was first performed in February 1830, several months before the July Revolution, and it became the standard-bearer for French Romanticism in theater by absorbing the strategies of eighteenth-century Classicism. _Breathless_ occupies a position within film history that is analogous to _Hernani_ 's within the corpus of literary Romanticism\u2014a point Godard himself makes by situating it at the halfway point of his _The Origins of the 21st Century._ By alluding to this nineteenth-century debate, Godard is commenting upon his own hybrid position. Rather than Oedipally resisting his predecessors, he intimates that his style emerges from the absorption of theirs; as he put it in an interview for _Histoire(s) du cin\u00e9ma_ , \"I have always been a Romantic bound by a Classical key.\"\n\nHowever much it may owe to Hitchcock, _Histoire(s) du cin\u00e9ma_ was made in a postclassical film culture, and it is explicitly aligned with the \"other cinema\" celebrated in the montage of hands that occurs near the end of _Les Signes parmi nous_ (4B). This culminating cluster of gestures is accompanied by Godard's voiceover reading of the modified Frampton text and is initiated by an aged hand and a pair of photographic portraits of himself. The series of hands that follows includes stills from _Un chien andalou; The Joyless Street_ (G. W. Pabst, 1925); _In a Lonely Place_ (Nicholas Ray, 1950); _Beauty andthe Beast_ (Jean Cocteau, 1946); and _The Trial of Joan of Arc_. The choice of films suggests an array of interpretive possibilities, but the primary thread linking them together is Godard's own history as a critic and the viewer's memories of previous _Histoire(s) du cin\u00e9ma_ sections. By implicit contrast with the Hitchcock montage in _Le Contr\u00f4le de l'univers_ (4A), the far less totalizing montage at the end of _Les Signes parmi nous_ (4B) suggests the rougher, more jagged rhythms as well as the potential for aesthetic or spiritual elevation (signaled above all by the communion scene from Bresson's _The_ _Trial of Joan of Arc_ ) that define the \"other\" cinema. In this respect, the turn to Hitchcock in _Le Contr\u00f4le de l'univers_ (4A) is also an elegiac turn toward Godard's own origins, the final moment in which popular and art cinema moved roughly parallel to one another, formal experiments could comfortably be wedded to tightly constructed narratives, and \"the trembling hand\" of the artist did not need to assert itself by proxy, but could be hidden in plain sight.\n\n### \u00c0 _la recherche du paradis perdu_\n\nIn order that we may understand one another, it is well to cast a glance at the present state of my Memoirs. What happens to every contractor working on a large scale has happened to me: I have, in the first place, built the outer wings of my edifice, and then, removing and restoring my scaffoldings in different positions, I have raised the stone and the mortar for the intermediate structures: it used to take several centuries to complete a Gothic cathedral. If Heaven grant me life, the work will be finished by stages of my various years; the architect, always the same, will have changed only in age.\n\n\u2014FRAN\u00c7OIS-REN\u00c9 DE CHATEAUBRIAND, _MEMOIRS FROM BEYOND THE TOMB_ (1849\u20131850)\n\nYes: if, owing to the work of oblivion, the returning memory can throw no bridge, form no connecting link between itself and the present minute, if it remains in the context of its own place and date, if it keeps its distance, its isolation in the hollow of a valley or upon the highest peak of a mountain summit, for this very reason it causes us suddenly to breathe a new air, an air which is new precisely because we have breathed it in the past, that purer air which the poets have vainly tried to situate in paradise and which could induce so profound a sensation of renewal only if it had been breathed before, since the true paradises are the paradises that we have lost.\n\n\u2014MARCEL PROUST, _TIME REGAINED_ (1927)\n\nIn 1980, Godard claimed that \"the domination of Gutenberg\" has resulted in a sort of blindness, for which, by restoring to death its \"tremendous force,\" films like those of Hitchcock are the cure. Godard's modification of the Hugolian paradigm challenges that of Malraux, who had inverted the assumptions of \u00c9lie Faure by suggesting that the supplanting of cathedrals by \"picture-palaces\" represented the diminished idealism of a world devoid of supreme Truth: \"The creative imagination is put to the service of amusement and, with the break-up of man's inner world, the arts of delectation\u2014entertainment for its own sake\u2014sweep the board.\" Malraux first made arguments of this kind in his 1940 essay \"Sketch for a Psychology of Cinema,\" which Godard annotated by hand while working on _Histoire(s) du cin\u00e9ma_. Godard's most important annotation comes after Malraux's declaration that, with its power of distraction, the cinema becomes a type of \"journalism... constrained to have recourse to an element from which art cannot be permanently banned: the element of the Myth.\" \"And the life of the best cinema... consists in being crafty with the myth,\" Godard responds, in what could be seen as a declaration of principles for a work devoted to the cinematic mythos that \"begins with _Fant\u00f4mas_ [Louis Feuillade, 1913\u20131914] and ends with Christ.\" These two poles are central to _Histoire(s) du cin\u00e9ma_ , which treats cinema as both a site of dubious escapism and a ritual act, transforming the ephemerality of a medium predicated on mass reproducibility into an audiovisual monument with some of the structural weight and embedded cultural memory of a cathedral.\n\nWhen watched as an intensive unit, _Histoire(s) du cin\u00e9ma_ creates the impression of gradual ascent, with the fugal repetitions intermittently evoking the sensation of rapture, momentary glimpses of transcendent release that are inextricable from the constant reminders of the twentieth century's horrors. Godard's claim that the best way to watch _Histoire(s) du cin\u00e9ma_ is to \"enter the image without a name or a reference in mind\" suggests that the viewer will take in the layers of reference in much the same way that a cathedral visitor absorbs the pedagogical program of stained glass windows elevated far above eye level, through the diffusion of light. Yet if _Histoire(s) du cin\u00e9ma_ can be seen as a cathedral-like work, it is also an echo chamber, a labyrinth of the mind, which language is able to penetrate only in the most halting way. The many repetitions, half-starts, and pauses reflect not only Godard's resistance to historiographic transparency, but also the deliberately unstable positioning of his own authorial interventions. Godard provides one possible explanation when, anticipated by a single onscreen definition of cinema as \"time lost\" and \"time found\" in _Seul le cin\u00e9ma_ (2A), he cries out \"Albertine\" at the beginning of _Fatale beaut\u00e9_ (2B). This allusion to Marcel Proust's masterwork announces early in _Histoire(s) du cin\u00e9ma_ that it is, on at least one level, a fictionalized autobiography (\" _Histoire(s) du cin\u00e9moi_ \"), an extended memory piece permeated with associations that are at once hermetically private and profoundly interlinked.\n\nThe significance of this idiosyncratic voiceover becomes clearer by comparison to _JLG\/JLG_ \u2014 _Self-Portrait in December_ , a film made while Godard was completing work on _Fatale beaut\u00e9_ (2B) that he said should be viewed along with _Histoire(s) du cin\u00e9ma_. Complementing the Proustian reconstruction of selfhood in _Histoire(s) du cin\u00e9ma, JLG\/JLG_ \u2014 _Self-Portrait in December_ opens with a voiceover in which Godard declares that he is performing a role (\"JLG\"), carefully choosing how to present himself before an audience: \"Exercise 174. Cast the roles. Begin the Rehearsals. Settle problems concerning the direction. Perfect the entrances and exits. Learn your role by heart.\" Adopting the indirect manner of some painted self-portraits, Godard attaches his narration to open windows, a pair of his shoes, and a photograph of himself as a youth that is already \"in mourning,\" a product of both temperament and circumstance (the photograph depicts Godard, age thirteen, in the midst of World War II). In this \"self-portrait in December,\" history may well be a nightmare from which the artist is trying desperately to awaken, but it is also a privileged memory, the point against which the self being narrated is defined. Godard deepens this point by including the same photograph in _La Monnaie de l'absolu_ (3A) and pairing it with onscreen text reading first \"1944\" and then \"'94,\" thereby linking _Histoire(s) du cin\u00e9ma_ to the cinematic \"self-portrait\" and the semicentennial of the French Liberation.\n\nThe most openly autobiographical section of _Histoire(s) du cin\u00e9ma_ is the last, _Les Signes parmi nous_ (4B), which opens with a joint dedication \"to Anne-Marie Mi\u00e9ville [Godard's partner since the early 1970s] and to myself.\" Although there is no new footage of Godard, as there had been in every section before _Le Contr\u00f4le de l'univers_ (4A), _Les Signes parmi nous_ (4B) includes more images of the artist\u2014photographs from different angles and clips taken from _JLG\/JLG_ \u2014 _Self-Portrait in December_ \u2014than any other. Yet _Les Signes parmi nous_ (4B) is also the section with the most explicit verbal references to the viewer, with onscreen text building off the Eliotic \" _cin\u00e9ma histoire(s) \/ cin\u00e9ma toi \/ ne a toi \/ n\u00e9 toi \/ n\u00e9_ \" [\"cinema histories \/ cinema you \/ born in you \/ born you \/ born\"] that ended the preceding section to assert, punningly: \" _le cin\u00e9ma \/ \u00e0 qui il appartenait, lui \/ \u00e0 toi \/ \u00e9 moi \/ toi toi \/ toi histoire_ \" (\"the cinema \/ to whom it belongs \/ to you \/ and me \/ you you \/ your history\"). \"My story crosses these stories [of the century], their silences, their passions,\" Godard declared in a contemporaneous interview, continuing:\n\nThe _Histoire(s)_ is a little bit like an album of memories, mine, but also those of many others, of several generations who believed in the sunrise. The cinema, in the twentieth century, was the art that permitted souls\u2014as one says in Russian novels\u2014to live intimately their stories in History. We will never again see such a fusion, such adequation, such a desire for fictions and collective History.... Having lived fifty years of cinema, it is normal that I end by connecting it to my own life and to the men of my time. Only the cinema could bring together this \"I\" and this \"we.\"\n\nThis comes across most vividly not through any of the photographic or filmic images of an aged Godard, but through a portrait of the young Arthur Rimbaud that Godard links to footage of Charles de Gaulle arriving in Paris and includes shortly before the reading of the Pound extract. That this photograph is an indirect stand-in for the filmmaker is supported by the visual similarities with the image shown in _La Monnaie de l'absolu_ (3A) and _JLG\/JLG_ \u2014 _Self-Portrait in December_ , as well as the fact that Godard would have been approximately the same age as Rimbaud at the time of de Gaulle's return. The layers of resonance do not end there, however, because the photograph of Rimbaud also recalls the famous photograph of a boy in the Warsaw ghetto that had appeared at the beginning of this section of _Histoire(s) du cin\u00e9ma_ , while the images of de Gaulle are matched to an extract from _The Fall of Berlin_ (Mikheil Chiaureli, 1949) showing people waiting for the arrival of another triumphant leader (Stalin) in a very different capital city. It is by bringing these seemingly unrelated elements\u2014photographic portraiture, documentary footage, and audiovisual excerpts from fictional propaganda\u2014together that cinema is able to fuse the \" _moi_ \" and the \" _toi_ ,\" the \"vertigo of history\" and the \"odyssey of utopia,\" bringing private and public memories into dialogue with one another in such a way that the perspectives of the viewer and the filmmaker meet.\n\nLate in _JLG\/JLG_ \u2014 _Self-Portrait in December_ , Godard offers up a sort of indirect _ars poetica_ by having a blind seer recite a slightly modified version of the final passages of Ovid's _Metamorphoses_ in Latin. Substituting \"America\" for \"Rome,\" Godard (who translates and repeats certain passages in French) analogizes his work to that of a poet:\n\nMy work is complete: a work which neither Jove's anger, nor fire nor sword shall destroy, nor yet the gnawing tooth of time. That day which has power over nothing but my body may, when it pleases, put an end to my uncertain span of years. Yet with my better part I shall soar, undying, far above the stars, and my name will be imperishable. Wherever America [Rome]'s influence extends over the lands America [Rome] has subdued, people will read my verse. If there be any truth in poets' prophecies, I shall live to all eternity, immortalized by fame.\n\nGodard's decision to invoke this heritage in his apologia testifies to its role in his thinking at this time (there are no sustained quotes in Latin in the films made before _Histoire(s) du cin\u00e9ma_ was initiated) and helps explain his decision to structure his long-form epic as a mythic journey led by a fictionalized self-projection of the author. After all, the very first words to appear onscreen are \" _hoc opus \/ hic labor est_ ,\" a passage from _The Aeneid_ (Virgil, 19 BCE) that refers to the difficulties of returning from hell. The passage from Pound at the very end of _Les Signes parmi nous_ (4B) returns to this imagery, which, like the underworld scene in _The Aeneid_ , derives from the _nekuia_ in Book XI of _The Odyssey_. As in _Histoire(s) du cin\u00e9ma_ , Pound returns again and again to central figures, looping back to remind the reader of the spiraling arc of the \"chryselephantine\" work. Thus, in one of the last Pisan Cantos (LXXXIII), the reader encounters \"Tiresias, Thebae,\" the same \"Tiresias Theban\" who had prophesied (in the passage that begins just after the one used in _Les Signes parmi nous_ ) that Odysseus would \"come to disaster, losing all companions.\" Equivalent recurring motifs could be found throughout both _Histoire(s) du cin\u00e9ma_ and the _Cantos_ , but this one is especially significant because it represents a return to the beginning and because it underscores the centrality of the Odyssean quest, which, as in the story of the colporteur Godard reads out shortly before the Pound extract, ends in near-total isolation.\n\n\"You in the dinghy ( _piccioletta_ ) astern there!\" Pound cries out in Canto CIX, evoking yet again the sea journey of Odysseus while also pointing back to the central model underpinning his modernist epic by alluding to the third part of Dante's _Divine Comedy_. Yet creating a _Paradiso_ has proven to be an insurmountable obstacle for Romantics and post-Romantics; how can one convincingly depict the perfection of the heavens within an aesthetic framework oriented around ceaseless becoming? Pound spent the last decades of his life trying to \"write Paradise,\" but in the final completed canto, he declares:\n\nI have brought the great ball of crystal;\n\nWho can lift it?\n\nCan you enter the great acorn of light?\n\nBut the beauty is not the madness\n\nTho' my errors and wrecks lie about me.\n\nAnd I am not a demigod,\n\nI cannot make it cohere.\n\nGodard too has struggled with the problem of endings and, at least since he began _Histoire(s) du cin\u00e9ma_ , with the task of completing a cinematic _Commedia_. Midway through _JLG\/JLG_ \u2014 _Self-Portrait in December_ , Godard provides a dialectical pair of lateral tracking shots across a bookshelf in his home. The first shot conspicuously ends by pausing before a shelf section containing only two books, _Inferno_ and _Purgatorio_ , a detail repeated when the inverse movement begins shortly thereafter. In both _Nouvelle vague_ and _La Monnaie de l'absolu_ (3A), Godard includes quotations from both books, but nothing from the _Paradiso_ (parts of _Inferno_ had earlier been recited and discussed in _Contempt_ ). The one time that Godard attempts to \"film paradise,\" in the third part of the explicitly Dantean _Notre musique_ , it is circumscribed, bisected by barbed wire and blocked by American marines, ironically literalizing the lyrics of the military anthem (\"If the Army and the Navy \/ Ever look on Heaven's scenes \/ They will find the streets are guarded \/ By United States Marines\") emanating from an onscreen radio.\n\nFIGURE 4.21 _Shot of a white rose from_ Germany Year 90 Nine Zero _(Jean-Luc Godard, 1991), with its color changed to yellow, superimposed with text reading \"factory of dreams\" in_ Les Signes parmi nous _(4B) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998)._\n\nFor Godard, paradise, like utopia, is something always anticipated and endlessly deferred. \"My goal... is like that little poem by Brecht, 'I examine my project carefully: it's unrealizable,'\" Godard, like Fritz Lang in _Contempt_ , declared to Serge Daney in the central interview of _Seul le cin\u00e9ma_ (2A), continuing,\n\nbecause it can only be done on TV, which reduces. Or which projects you, the viewer, but then you lose consciousness, you're rejected. Whereas in cinema, the viewer was attracted. But we can make a memento of this projectable history... it's all we can do.\n\nIn 2003, Godard was commissioned by the Centre Georges Pompidou to construct a floor-wide installation piece originally entitled _Collage(s) de France, arch\u00e9ologie du cinema d'apr\u00e8s JLG_ that would have applied the montage principles of _Histoire(s) du cin\u00e9ma_ spatially. After a long and public set of professional disagreements, the plan was scrapped and Godard constructed an alternative installation at the Pompidou that was made up of the fragments of the first and entitled _Voyage(s) en utopie, Jean-Luc Godard, 1946\u20132006: \u00c0 la recherche d'un th\u00e9or\u00e8me perdu_. The heterogeneous materials of the three long galleries were united primarily by a single sentence that continued across the floor: \"Spirit borrows from matter the perceptions on which it feeds and restores them to matter in the form of movements which it has stamped with its own freedom.\" This passage, the final line of Henri Bergson's _Matter and Memory_ (1896), was frequently quoted in works made during the period of _Histoire(s) du cin\u00e9ma_ and, recontextualized, it succinctly articulates the defining aims of Godard's body of work, a series of carefully arranged combinations of found material that undergo continual metamorphosis in both time and space.\n\nFIGURE 4.22 _The final superimposition in_ Les Signes parmi nous _(4B) of_ Histoire(s) du cin\u00e9ma _(Jean-Luc Godard, 1988\u20131998): a photograph of Jean-Luc Godard and_ Study for a Portrait of Van Gogh II _(Francis Bacon, 1957, private collection)._\n\nUnlike an installation, an epic video project aspiring to contain the history of cinema needs a conclusion, and Godard wanted to find something that would have an impact after four and a half hours that it would not have otherwise. His characteristically vertiginous solution is to fuse the different levels of the work\u2014autobiographical, historical, and aesthetic\u2014in a synthesis that enables new forms of regeneration. Accompanied by a reprocessed image of a yellow rose and a photograph of himself superimposed with Francis Bacon's _Study for a Portrait of Van Gogh II_ (1957), Godard tells a story of a man who \"passed through paradise in a dream, and received a flower as proof of his passage, and found that flower in his hand when he awoke... I was that man.\" The image of the flower is derived from a shot of a white rose in _Germany Year 90 Nine Zero_ , where\u2014accompanied by the Sanctus from Beethoven's _Missa solemnis_ (opus 123, 1824)\u2014it had functioned as an allusion to the anti-Nazi rebel group led by Sophie Scholl (\"The White Rose\") in 1943 (figure 4.21). Resituated and with its color changed, however, the image takes on a different meaning, evoking the \"yellow of the sempiternal rose\" that appears at the end of the _Paradiso_ , and implicitly suggesting that Anne-Marie Mi\u00e9ville, whose name appears for the first time in the dedication to _Les Signes parmi nous_ (4B), may have functioned as the Beatrice to Godard's Dante. By moving, within the space of one minute, from the beginning of one epic poem (Pound's _Cantos_ ) to the ending of another (the _Divine Comedy_ ), Godard constructs a constellation of mutually resonating associations that, pivoting on an image that echoes earlier sections of his own epic, links origins and conclusions, \"birth and death,\" together (figure 4.22). Onscreen text credits the story to Jorge Luis Borges, which is where most scholars have left it, but Borges was also a modernist scavenger, and he took the story from Samuel Taylor Coleridge, who, in turn, had found it in a volume of Jean Paul's _Geist_ (1801). For Jean Paul, the story was an affirmation of an absolute world he desperately wanted to believe in. For Godard, by contrast, the rose is more ambivalent, the symbol of a journey through a paradise that, always lost, hovers in the interstices of History, and can only be recovered in memory.\n\n## { Conclusion }\n\nWe work in the dark\u2014we do what we can\u2014we give what we have. Our doubt is our passion and our passion is our task. The rest is the madness of art.\n\n\u2014HENRY JAMES, \"THE MIDDLE YEARS\" (1893)\n\nS\u00e1t\u00e1ntang\u00f3 _(B\u00e9la Tarr, 1994)._\nAfter completing _Histoire(s) du cin\u00e9ma_ (1988\u20131998), Jean-Luc Godard began work on a project that could be seen as a sort of coda, a forty-seven-minute video commissioned by the Museum of Modern Art entitled _The Old Place_ (1999). This \"child of the museum\" addresses the shifting relationship between cinema and the art world by contrasting two empty screens: a raised screen on the wall in an open-air piazza on which a scene from Robert Bresson's _Les Anges du p\u00e9ch\u00e9_ (1943) is superimposed, inhabiting the public space as if it was recalled by collective memory, and a screen in a contemporary art performance space that is made to mechanically convulse (figure C.1). The footage of this writhing screen had been used earlier in _Une vague nouvelle_ (3B), as an ironic commentary on the collapse of the cinematic New Wave (\"What is in the museum? T-shirts\"), and it was reused in _In the Darkness of Time_ (2001), the short that was paired with _The Old Place_ during its French premiere at the Centre Georges Pompidou. Onscreen text declares that these are \"the last minutes of cinema,\" but what Godard is meditating upon through the repetition of this footage is the proliferation of isolated (and isolating) screens in both contemporary life and artistic practice. Shortly before this moving screen appears in _The Old Place_ , Godard sets Jean-Baptiste-Sim\u00e9on Chardin's idea that art \"was an island whose shores he had glimpsed from far off\" against Andy Warhol's claim that \"art is a market for buying and selling.\" For Godard, what is lost in between is a conception of art as mystery, as spiritual elevation, as something that, like a cathedral, could \"protect time.\"\n\nFIGURE C.1 Les Anges du p\u00e9ch\u00e9 _(Robert Bresson, 1943) superimposed on a screen in the middle of a piazza in_ The Old Place _(Jean-Luc Godard and Anne-Marie Mi\u00e9ville, 1999)._\n\nA number of artists attempted to find a way to give their media some of the (lost) properties of a cathedral in the twentieth century. Auguste Rodin's late sculpture _The Cathedral_ (1909) analogizes a pair of human hands to the structures celebrated in his book _Les Cath\u00e9drales de France_ (1914) (figure C.2). In the mission statement for the Bauhaus that Walter Gropius wrote in April 1919, he calls for a \"cathedral of the future\" that would unify the energy of society like the stone edifices of the Middle Ages. Similar metaphors informed the postwar affirmations of the Abstract Expressionists, who gave their works titles like _Cathedral_ (Jackson Pollock made one in 1947, Hans Hofmann in 1959); _Sky Cathedral_ (Louise Nevelson, 1958); _Man and Woman in Cathedral_ (David Smith, 1956); and _Cathedral_ \u2014 _The Ascension_ (Richard Pousette-Dart, 1947). The major attempts to construct cinematic cathedrals, to create massive works whose radically new form would reinvigorate vanished or fading artistic traditions, also fit into these two historical periods. Those filmmakers who\u2014like D. W. Griffith (born 1875), Erich von Stroheim (born 1885), and Abel Gance (born 1889)\u2014grew up in the nineteenth century and reached their full artistic maturity during or just after World War I could, like Gropius, adopt the mantle of prophets of the future, Promethean artists whose outsized ambitions would pave the way for new conceptions of time and space. For a later generation\u2014Gregory Markopoulos, Jacques Rivette, Jean-Luc Godard, all born between 1928 and 1930\u2014the cinema could take on some of the properties of a cathedral only if it was in some way removed from mainstream culture, cut off from the popular energies that filmmakers like Gance and Griffith had tried to incorporate into their operatic epics.\n\nFIGURE C.2 The Cathedral _(Auguste Rodin, 1909, Mus\u00e9e Rodin, Paris; photograph \u00a9 Vanni Archive \/ Art Resource, NY)._\n\nIn every case, however, these filmmakers designed works whose phenomenological intensity was tied to their status as integral temporal experiences that could open up new affective possibilities for the spectator. Insofar as their films were predicated on ideas of continual and cumulative progression, they amplified, rather than undercut, the basic viewing conditions of narrative cinema. Although screens of various kinds have often been shown reflexively in Godard's work, they are always contained within the space demarcated by the projected film image, which is equally true of the ritual, open-air projections at the Temenos. The mode of viewing required by these works contrasts starkly with the mobile spectatorship engendered by contemporary multimedia projects like Peter Greenaway's _Ten Classic Paintings Revisited_ (2006\u2013present) and Bill Viola's _Going Forth by Day_ (2002), attempts to apply the principles of the _Gesamtkunstwerk_ within a multiroom gallery setting (figure C.3). It also differs significantly from the type of intermittent viewing encouraged by more recent long-form works by directors like Lav Diaz or Wang Bing, which, made entirely with inexpensive digital equipment, are no longer conceived as continuous units and are instead intended, like the longest films of Warhol, to be viewed in pieces, with the audience members coming and going as they please. The idea of monumentality endures, but the concentrated, auratic power of the immersive film experience\u2014reinforced in _Eniaios_ (Gregory Markopoulos, 1947\u20131992), _Out 1_ (Jacques Rivette, 1971), and _Histoire(s) du cin\u00e9ma_ by the anachronistic embrace of the full frame\u2014has been displaced.\n\nFIGURE C.3 Leonardo's Last Supper _(Peter Greenaway, 2010, installed at the Park Avenue Armory, New York; photograph courtesy James Ewing\/OTTO)._\n\nDigital video works like the ten-hour _Evolution of a Filipino Family_ (Lav Diaz, 2004) and the nine-hour _West of the Tracks_ (Wang Bing, 2003) are products of a globalized, post-Communist world that is very different from the one that shaped the filmmakers discussed above. Early in _The Old Place_ , Godard inserts a montage of red flags immediately after text reading \"Photos of Utopia,\" and while he, more than any of the other moving image creators, remains acutely aware of the ease with which idealism transforms into horror, he also recognizes that the political utopianism represented by the Internationale provided a foil, a dialectical counterpoint through which or against which ambitious art could define itself. \"Nobody cares about Russians anymore,\" Godard muses in _La Monnaie de l'absolu_ (3A), and part of what he is reacting to with the footage of the convulsing screen is the diminished stakes of art in a world where politics is, for many, no longer a question of life and death. Perhaps this is why almost all the films from the 1990s that are referred to in _Histoire(s) du cin\u00e9ma_ \u2014like the \u0160ar\u016bnas Bartas and Aleksandr Sokurov films included in _Le Contr\u00f4le de l'univers_ (4A) and _Les Signes parmi nous_ (4B)\u2014come from post-Soviet cinemas or reflect upon its legacies.\n\nThe one long-form, modernist epic to emerge from this period, B\u00e9la Tarr's _S\u00e1t\u00e1ntang\u00f3_ (1994), brings both of these strands together and consciously presents itself as the last work of its kind, which it almost certainly is. In 2009, Tarr prepared a lecture for the Museum of Modern Art, and what he wrote about experimental filmmaker G\u00e1bor B\u00f3dy applies equally to his own seven-and-a-half-hour film:\n\nHis obsession with \" _Gesamtkunst_ \" helped him achieve unbelievable accomplishments.... He wanted to vanquish the film industry with a monumental movie epic, but at the same time to remain in the subculture of underground film, from which he expected renewal.\n\nStraddled between narrative and experimental cinema, Tarr's film announces its formal structure with an opening shot of wandering cows that, over the course of nearly eight uninterrupted minutes, pushes past any possible allegory and into the domain of pure temporal experience. Tarr uses the rich tonalities of genuine black-and-white 35mm film stock to turn these blocks of time into exercises in precise observation\u2014fixating on both the creases of faces and the form of beer bottles so obsessively that they appear almost equivalent, pitching the entire work on the tenuous border between photographic realism and graphic abstraction. Both individual sections and the total twelve-part work are arranged according to the structure of a six-steps-forward, six-steps-back tango, a perfect metaphor for the cyclic torpor unifying the film's multiple, interlaced perspectives. As explicitly as any of the other works discussed here, Tarr's film is oriented around the Romantic iconography of the cathedral, but here ruins are presented as a space devoid of solace and absolution. Just before the end of the film's fifth section, a young girl, utterly without hope, climbs into the remnants of a cathedral-like space, and drinks poison. The image that follows\u2014of mist slowly passing over the dilapidated exterior of this structure\u2014recurs two hours later, when Irimi\u00e1s, the man who persuades everyone in the village to leave for a better future, walks past it with his two companions. Irimi\u00e1s falls to the ground like Saul on the road to Damascus, but he is not converted; his encounter with the residue of the sacred past may be as startling for him as it is for the viewer, but he remains a con man, a false messiah who, like Soviet Communism, makes utopian promises that can never be fulfilled.\n\nFIGURE C.4 _The making of the bell in_ Andrei Rublev _(Andrei Tarkovsky, 1966\/1969)._\n\nTarr's strongest stylistic influences are fellow Hungarian directors like Mikl\u00f3s Jancs\u00f3 and G\u00e1bor B\u00f3dy (he has also listed the painter Pieter Bruegel), but the filmmaker to whom he responds most powerfully at the end of _S\u00e1t\u00e1ntang\u00f3_ is Andrei Tarkovsky. In the penultimate section of Tarkovsky's _Andrei Rublev_ (1966\/1969), the icon painter encounters a young boy who, like a film director, takes on the role of an impresario, encouraging everyone to contribute his part to the construction of a large bell. Tarkovsky includes several high-angle shots in this scene that recall the enigmatic, and equally elemental, prelude to the film, which showed an Icarus-like inventor attempt to fly in a hot air balloon only to come crashing back to the ground. The boy succeeds where the inventor failed because he first descends into the bowels of the earth, toiling assiduously in a spirit of fear and trembling before attempting to raise the bell over the horizon, a gesture that revives Rublev's faith and leads to the creation of his greatest masterpieces [figure C.4]. In the final section of _S\u00e1t\u00e1ntang\u00f3_ , the doctor\u2014a viewer surrogate who has voyeuristically observed and narrated the behavior of the other townspeople\u2014hears the sounds of a distant bell and leaves his house, slowly traversing the flat plains of Hungary to find an isolated chapel sitting, like the memorial ruins of a Caspar David Friedrich painting, in a small wooded grove. He enters to find a crazed madman in the belfry, shouting about invaders who will never come, a relic of a past that has become wholly disconnected from the present and a history that has been drained of coherence. Without saying a word, the doctor returns home and methodically boards up the central window in his house, blocking out all light and offering a powerfully materialist finish both to Tarr's cinematic monument and to one of the boldest traditions in twentieth-century art.\n\n## { NOTES }\n\n### Introduction\n\n1. Henri Focillon, _The Life of Forms in Art_ , translated by Charles Beecher Hogan and George Kubler (New York: Zone Books, 1992), 31.\n\n2. Friedrich Nietzsche, _Thus Spoke Zarathustra_ , translated by Adrian Del Caro (Cambridge: Cambridge University Press, 2006), 110.\n\n3. Stan Brakhage, \"Brakhage meets Tarkovsky,\" _Chicago Review_ 47, no. 4 (Winter 2001), and 48, no. 1 (Spring 2002), 42.\n\n4. Victor Hugo, _Notre-Dame de Paris_ , translated by John Sturrock (London: Penguin Classics, 2004), 193\u2013196.\n\n5. Walter Benjamin, \"The Work of Art in the Age of Mechanical Reproduction,\" in _Illuminations_ , edited by Hannah Arendt, translated by Harry Zohn (New York: Schocken Books, 1968), 217\u2013251.\n\n6. The original language title of a work will be used when no standard translation exists or the work was released internationally with a non-English title (e.g., _La Belle Noiseuse_ ). This applies especially to works with a title containing language-specific meanings that are lost or smoothed over in translation (like _Histoire(s) du cin\u00e9ma_ ). Titles will also vary when it is important to distinguish between an overarching project (like Abel Gance's expansive _Napol\u00e9on_ ) and particular manifestations (like the film released as _Napol\u00e9on vu par Abel Gance_ ).\n\n7. Longinus, _On the Sublime_ , in _Classical Literary Criticism_ , translated by Penelope Murray and T. S. Dorsch (London: Penguin Classics, 2000), 121\u2013129; Edmund Burke, _A Philosophical Enquiry into the Sublime and Beautiful_ (London: Penguin Classics, 1998), 114. _On the Sublime_ was long attributed to the third-century CE scholar Cassius Longinus, but it is now thought to be the work of an unknown author from the first century CE.\n\n8. Victor Hugo, _The Essential Victor Hugo_ , edited and translated by E. H. Blackmore and A. M. Blackmore (Oxford: Oxford World's Classics, 2004), 25. _Cromwell_ , written for seventy-seven characters and completed the same year (1827) that the first part of Goethe's _Faust_ was translated into French by G\u00e9rard de Nerval, announced the birth of Romanticism and initiated a series of extremely long French plays that culminated in Paul Claudel's eleven-hour _The Satin Slipper_ (1924). Hugo used the preface as an opportunity to outline his theory of drama, which he defined as \"the perennial contrast, the perpetual conflict between two opposed principles that are always in existence, fighting for possession of man, from the cradle to the grave\" (33). Like _Cromwell_ , the second part of Goethe's _Faust_ (published posthumously in 1832) was long considered unperformable, and it anticipates some of the projects discussed here in its gargantuan scale, encyclopedic impulses, and reworking of earlier creative models (particularly through the many references to Dante's _Divine Comedy_ , 1308\u20131320).\n\n9. Hugo, _The Essential Victor Hugo_ , 65\u201368.\n\n10. _Bride of Frankenstein_ begins with a sequence in which Lord Byron, Percy Bysshe Shelley, and Mary Shelley comically discuss the origins of poetic inspiration, before moving into the main narrative (extrapolated from material in Mary Shelley's 1818 novel _Frankenstein; or, The Modern Prometheus_ ). Hitchcock frequently smuggled tropes or ideas derived from the British Romantic poets into his films, slyly alluding to Samuel Taylor Coleridge's \"Rime of the Ancient Mariner\" (1798) in _The Birds_ (1963) and combining the story of Pygmalion with the myth of Demeter and Persephone (complete with corresponding shifts in color scheme) in _Vertigo_ (1958), a film whose moments of most intense sensuousness are accompanied by music derived from _Tristan und Isolde_ (Richard Wagner, 1865).\n\n11. Longinus, _On the Sublime_ , 120.\n\n12. Goethe, \"On German Architecture,\" in _Goethe's Literary Essays_ , edited and translated by J. E. Springarn (New York: Frederick Ungar, 1964), 13\u201314.\n\n13. Sergei Bondarchuk's _War and Peace_ , the longest and most expensive film produced in the Soviet Union, was released in four parts between 1966 and 1967, totaling approximately seven hours in its entirety. The film was preceded by several socialist realist epics presented in the form of trilogies, such as the _Maxim Trilogy_ (Grigori Kozintsev and Leonid Trauberg, 1935\u20131939) and _And Quiet Flows the Don_ (Sergei Gerasimov, 1957\u20131958). _The Human Condition_ was a series of three long films, adapted from a six-volume novel, that were released individually between 1959 and 1961. Altogether, the trilogy has a projection time of over nine and a half hours.\n\n14. David Quint, _Epic and Empire_ (Princeton, NJ: Princeton University Press, 1993), 9, 34.\n\n15. Friedrich Schlegel, _Philosophical Fragments_ , translated by Peter Firchow (Minneapolis: University of Minnesota Press, 1991), 31\u201332. Schlegel's comments in Athenaeum Fragment 116 apply beyond the specific genre of poetry. As Frederick C. Beiser has argued, \"As early as 1797, Schlegel had already extended the concept of _romantische Poesie_ to all the arts and sciences, and he began to talk about the _Poesie_ within nature itself... he is _not_ referring only to literary works or indeed to the products of any activity. Rather, he is talking about creative _activity_ , the _process_ by which something is produced\" (Frederick C. Beiser, _The Romantic Imperative: The Concept of Early German Romanticism_ [Cambridge, MA: Harvard University Press, 2003], 17).\n\n16. Quoted in Marshall Brown, _The Shape of German Romanticism_ (Ithaca, NY: Cornell University Press, 1979), 186. In Schlegel's novel _Lucinde_ (1799), memory imbues external spaces with private associations, enabling them to become \"the sacred home\" of the protagonist's \"sorrows and resolutions\" (Friedrich Schlegel, _Lucinde and the Fragments_ , translated by Peter Firchow [Minneapolis: University of Minnesota Press, 1971], 93).\n\n17. Fragment 859 in Novalis, _Notes for a Romantic Encyclopedia_ ( _Das Allgemeine Brouillon_ ), edited and translated by David W. Wood (Albany: State University of New York Press, 2007), 155; \"Logological Fragments I,\" Number 88 in Novalis, _Philosophical Writings_ , edited and translated by Margaret Mahony Stoljar (Albany: State University of New York Press, 1997), 88; Novalis, _Hymns to the Night and Spiritual Songs_ , translated by George MacDonald (London: Temple Lodge, 1992), 13.\n\n18. Fragment 1023 in Novalis, _Romantic Encyclopedia_ , 176. Laurie Ruth Johnson argues that the key term for Novalis is _Erinnerung_ , which suggests a conception of memory as \"an activity that requires the use of the imagination,\" rather than _Ged\u00e4chtnis_ , which \"connotes the faculty of memory as a kind of storage space\" ( _The Art of Recollection in JenaRomanticism_ [T\u00fcbingen: Max Niemeyer Verlag, 2002], 104\u2013105). Novalis explicitly connects this form of active memory to poetry in one of the _Pollen_ (1798) fragments, writing, \"Nothing is more poetic than memory [ _Erinnerung_ ]...\" ( _Philosophical Writings_ , 45).\n\n19. Coleridge further distinguishes between a \"primary\" imagination, which is \"the living Power and prime Agent of all human Perception... a repetition in the fine mind of the eternal act of creation in the infinite I AM,\" and a \"secondary\" imagination that is \"an echo of the former, co-existing with the conscious will, yet still as identical with the primary in the _kind_ of its agency, and differing only in _degree_ , and in the _mode_ of its operation.\" It is in this secondary mode that imagination becomes \"essentially _vital_ , even as all objects ( _as_ objects) are essentially fixed and dead\" (Samuel Taylor Coleridge, _Biographia Literaria_ , in _Coleridge's Poetry and Prose_ , edited by Nicholas Halmi, Paul Magnuson, and Raimonda Modiano [New York: W.W. Norton, 2004], 488\u2013489).\n\nPercy Bysshe Shelley had a similarly vaunted conception of memory, imagination, and developing selfhood. In an implicit reversal of a Homeric invocation, his \"To Jane: The Recollection\" (1822) turns the \"Tell me, Muse\" that begins _The Odyssey_ into the assertive \"Rise, Memory, and write its praise!\" and ends with the declaration, \"Less oft is peace in Shelley's mind \/ Than calm in waters seen!\" (lines 4 and 87\u201388). \"Tell me, Muse\" is Richmond Lattimore's translation of the first line of Homer's _The Odyssey_ (New York: Harper and Row, 1967). In a nod to Vladimir Nabokov's autobiography, a more recent translation by Stanley Lombardo (Indianapolis: Hackett, 2000) renders this as \"Speak, Memory.\"\n\n### Chapter 1\n\n1. Dedication preceding the poem _Les Fen\u00eatres_ in the catalog for a Robert Delaunay exhibition in 1913 (Paris: Andr\u00e9 Marty, 1913). The title of this chapter derives from Abel Gance, \"Le Temps de l'image est venu!\" in L\u00e9on Pierre-Quint, Abel Gance, Lionel Landry, and Germaine Dulac, _L'Art cin\u00e9matographique II_ (Paris: F\u00e9lix Alcan, 1927), 83\u2013102.\n\n2. D. W. Griffith, \"Weak Spots in a Strong Business\u2014XIV,\" _Motion Picture News_ 11, no. 18 (May 8, 1915), 39.\n\n3. Ibid.\n\n4. Louis Feuillade's _Fant\u00f4mas_ (1913\u20131914) and Victorin Jasset's _Prot\u00e9a_ (1913\u20131919), the first major European serials, began in 1913. The American equivalent, _The Perils of Pauline_ (Louis J. Gasnier and Donald MacKenzie, 1914), began the following year. Both were preceded by lengthy films released in episodes or sections, sometimes lasting several reels. Albert Capellani's _Les Mis\u00e9rables_ was a twelve-reel film broken up into four \" _\u00c9poques_ \" of three reels each, released at one-week intervals in January 1913.\n\n5. In 1911, for example, W. Stephen Bush, the influential _Moving Picture World_ critic who frequently expounded on the relationship between music and cinema, wrote, \"Every man or woman in charge of [the] music of a moving picture theatre is, consciously or unconsciously, a disciple of Richard Wagner\" (quoted in Matthew Wilson Smith, \"American Valkyries: Richard Wagner, D. W. Griffith, and the Birth of Classical Cinema,\" _Modernism\/Modernity_ 15, no. 2 [2008], 229).\n\n6. Griffith, \"Weak Spots,\" 39.\n\n7. Ibid.\n\n8. Clune's Auditorium Souvenir Booklet for _Intolerance_ , D. W. Griffith Papers, Museum of Modern Art.\n\n9. In his 1841 essay \"Art,\" Emerson wrote, \"Art must not be a superficial talent, but must begin farther back in man.\" Earlier in the same essay, Emerson described the function of the artist in a way that the Griffith of _Intolerance_ would surely have agreed with:\n\nThe artist must employ the symbols in use in his day and nation, to convey his enlarged sense to his fellow-men. Thus the new in art is always formed out of the old. The Genius of the Hour sets his ineffaceable seal on the work, and gives it an inexpressible charm for the imagination. As far as the spiritual character of the period overpowers the artist, and finds expression in his work, so far it will retain a certain grandeur, and will represent to future beholders the Unknown, the Inevitable, the Divine. (Ralph Waldo Emerson, _Essays and Lectures_ [New York: Library of America, 1983], 431\u2013432)\n\n10. D. W. Griffith, \"Griffith to Film History of World in Gigantic Serial,\" _New York Globe_ , May 2, 1922, 12.\n\n11. In his posthumously published autobiography, Griffith admits that Whitman was at least as important as Dickens in his artistic development. According to the person compiling the autobiography (James Hart):\n\n[Griffith] had been led to tempo and parallel action in Whitman's _Leaves of Grass_ by the roundtable of Flexner's bookstore, an anecdote he repeated several times in the presence of others. With his earthy ideas on sex and religion, however, Whitman had already succeeded in scandalizing rural America, and Griffith simply could not afford to openly espouse this avant-garde poet and then face Oldham County again. Dickens, however, was eminently respectable, and for Griffith to ascribe all his techniques to the popular Victorian English author was a natural ploy. (D. W. Griffith and James Hart, _The Man Who Invented Hollywood_ [Louisville: Touchstone, 1972], 161)\n\n12. Vachel Lindsay, \"Photoplay Progress,\" _New Republic_ 10, no. 120 (February 17, 1917), 76.\n\n13. Quoted in Michelle Facos, _Symbolist Art in Context_ (Berkeley: University of California Press, 2009), 47. Characteristically, Friedrich Schlegel described his novel _Lucinde_ (1799) as an \"eternal hieroglyph\" of the \"nature of love\" ( _Lucinde and the Fragments_ , translated by Peter Firchow [Minneapolis: University of Minnesota Press, 1971], 261).\n\n14. Quoted in Peter Selz, _German Expressionist Painting_ (Berkeley: University of California Press, 1974), 101.\n\n15. Leopold von Ranke, _The Secret of World History: Selected Writings on the Art and Science of History_ , edited and translated by Roger Wines (New York: Fordham University Press, 1981), 241. Ranke had a considerable influence on late nineteenth- and early twentieth-century American historiography (he was appointed the first honorary member of the American Historical Association in 1884). Although there is no evidence that Griffith read his books, he certainly shared Ranke's belief that the narrativization of representative statements and ideas would allow one to capture the essence of a particular historical moment.\n\n16. John T. Irwin, _American Hieroglyphics: The Symbol of the Egyptian Hieroglyphics in the American Renaissance_ (New Haven: Yale University Press, 1980), 31. Whitman refers to grass as a \"uniform hieroglyphic\" in the \"Song of Myself\" section of _Leaves of Grass_(Book III, section 6), and Irwin argues that, partially under the influence of Emerson's writings on Swedenborg, Whitman conceived _Leaves of Grass_ , which he described as \"the Great Construction of the New Bible,\" in relation to the hieroglyphic studies of Jean-Fran\u00e7ois Champollion (Irwin, 20\u201332).\n\n17. Vachel Lindsay, _The Art of the Moving Picture_ (New York: Modern Library, 2000), 123\u2013124.\n\n18. Lillian Gish and Ann Pinchot, _The Movies, Mr. Griffith, and Me_ (Englewood Cliffs, NJ: Prentice-Hall, 1969), 183. Miriam Hansen mentions a slightly different version of this quote as part of a discussion of the discourse surrounding cinema's position as a \"new universal language\" in _Babel and Babylon_ (Cambridge, MA: Harvard University Press, 1991), 77. Hansen links the democratic rhetoric underlying arguments like Lindsay's to the emergence of a \"classical\" mode of address and what she sees as the film industry's attempts to \"ensure American films' dominance on both domestic and world markets,\" claiming that, by the end of World War I, \"any possible ambiguity or tension disappeared, and the progress of civilization became synonymous with the worldwide hegemony of the American film industry... . The universal language by which American products were to transume their foreign rivals corresponded, on the level of film style, to the emerging codes of classical narrative cinema\" (78\u201379).\n\nAlthough, as Hansen suggests, there may be some relationship between the universalist ideas celebrated by a number of critics in the 1910s and attempts by the American film industry to assert themselves internationally, the notion of film as a universal language is not a uniquely American phenomenon. European critics such as Ricciotto Canudo, \u00c9mile Vuillermoz, and \u00c9lie Faure made similar arguments about the leveling, community-generating power of the cinema both before and after their American counterparts. To cite one of the more prominent examples, in his 1911 essay, \"The Birth of a Sixth Art,\" Canudo wrote, \"It is desire for a new _Festival_ , for a new joyous _unanimity_ , realized at a show, in a place where together, all men can forget in greater or lesser measure, their isolated individuality. This forgetting, soul of any religion and spirit of any aesthetic, will one day be superbly triumphant\" (Ricciotto Canudo, \"The Birth of a Sixth Art,\" translated by Ben Gibson, Don Ranvaud, Sergio Sokota, and Deborah Young, in _French Film Theory and Criticism_ , edited by Richard Abel, vol. 1 [Princeton, NJ: Princeton University Press, 1998], 65). Canudo's arguments reflect the influence of Friedrich Nietzsche, while Lindsay's are similarly informed by Emerson, but they both speak to a transcontinental interest in the power of cinema as a collective experience with enormous potential as an agent of social cohesion.\n\n19. The print history of _Intolerance_ is extremely complicated and a subject of scholarly debate. Griffith continued tinkering with the film even after the initial premiere, and it was further reduced by others after the shortened thirteen-reel (11,811 feet) version proved too cumbersome for most exhibitors. Additional reductions were made for a variety of reasons in the 1920s and the 1930s, and some of the footage appears to be irrevocably lost. The Museum of Modern Art, the central repository for the Griffith paper and print collections, mounted an extensive reconstruction effort in the 1980s, resulting in a film that is very close to the presumed length of the version screened at the film's premiere at New York's Liberty Theater on September 5, 1916. Some silent film scholars, notably William K. Everson and Russell Merritt, have criticized various aspects of the reconstruction effort, and at least one (Merritt) has claimed that the fourteen-reel original never existed. Information on the restoration can be found in Eileen Bowser, \"Some Principles of Film Restoration,\" _Griffithiana_ 13, nos. 38\u201339 (October 1990), 172\u2013173, and Gillian Anderson, \"'No Music until Cue': The Reconstruction of David W. Griffith's _Intolerance_ ,\" _Griffithiana_ 13, nos. 38\u201339 (October 1990), 154\u2013169. Merritt's counterarguments can be found in \"D. W. Griffith's _Intolerance_ : Reconstructing an Unattainable Text,\" _Film History_ 4, no. 4 (1990), 337\u2013375.\n\n20. Clune's Auditorium Souvenir Booklet for _Intolerance._\n\n21. Eisenstein would also develop the idea of hieroglyphics as an element of montage in essays like \"The Cinematographic Principle and the Ideogram\" (1929).\n\n22. Gish and Pinchot, _The Movies_ , 177\u2013180. Unfortunately, there is little indication of what an eight-hour _Intolerance_ might have been like, but Gish suggests that it may have been more formally daring:\n\nEvery week overwhelming effects poured from the darkroom. Some of the scenes were shot in startling shapes: triangles; diamonds; diagonals; frieze-like panels that blocked out all but a long thin strip of the film; and semicircles that opened like fans. In the shots of the virgins in the Temple of Sacred Fire, the impression of sensual motion was reinforced by having the camera turn from left to right and back again, and also by having the screen frame close in, then move out, then in again. Small iris shots opened to reveal huge panoramas. Other shots contained double and triple exposures. There were huge close-ups of only the lower half of Miriam Cooper's face or of only Margery Wilson's eyes. (177)\n\nGish gives no specific dates for her arguments, and there is no reason to dispute her claims that Griffith had, at one point, planned to screen a much longer version of the film on two consecutive evenings.\n\n23. Anita Loos, _A Girl Like I_ (New York: Viking, 1966), 102.\n\n24. Erich von Stroheim, \"R\u00eaves de Realism,\" in Freddy Buache, _Erich von Stroheim_ (Paris: \u00c9ditions Seghers, 1972), 108\u2013110.\n\n25. Thomas Mann, _The Magic Mountain_ , translated by John E. Woods (New York: Alfred A. Knopf, 1995), x.\n\n26. Arthur Lennig, _Stroheim_ (Louisville: University of Kentucky Press, 2000), 1\u201323.\n\n27. Thomas Quinn Curtiss, _Von Stroheim_ (New York: Farrar, Straus and Giroux, 1971), 343.\n\n28. Erich von Stroheim, \"The Merry Widow: Introduced by Erich von Stroheim,\" in _The Film Culture Reader_ , edited by P. Adams Sitney (New York: Cooper Square Press, 2000), 53. Von Stroheim gave a similar account, with the same O'Neill reference, to Peter Noble, who wrote the first biography of von Stroheim in 1951 (Peter Noble, _Hollywood Scapegoat: The Biography of Erich von Stroheim_ [London: Fortune Press, 1951], 51).\n\n29. \"'Foolish Wives' Re-censored after First Presentation,\" _Variety_ , January 20, 1922, 38. In the same article, Carl Laemmle insists that the film was reduced from fourteen to ten reels because \"the picture was too long, and not because of any actions by members of the Board of Censors.\"\n\n30. These books can be found under the catalog heading STROHEIM3-B2 in the Biblioth\u00e8que du film attached to the Cin\u00e9math\u00e8que fran\u00e7aise (hereafter Biblioth\u00e8que du film).\n\n31. Herman G. Weinberg, _The Complete Wedding March of Erich von Stroheim_ (Boston: Little, Brown, 1974), 15.\n\n32. Richard Koszarski, _Von: The Life and Films of Erich Von Stroheim_ , rev. ed. (New York: Limelight Editions, 2001), 118.\n\n33. Von Stroheim, \"R\u00eaves de Realism,\" 110.\n\n34. In light of this medievalism, it is worth noting that the Oberammergau Passion Play is being advertised in the mountain town depicted in _Blind Husbands_.\n\n35. T. S. Eliot, \"Whispers of Immortality\" (1920), line 2.\n\n36. Harry Carr, \"On the Camera Coast,\" _Motion Picture Magazine_ 27, no. 3 (April 1924), 76. Since other witnesses of these previews (Idwal Jones and Jean Bertin) report slightly differing numbers of reels, Richard Koszarski argues that \"it is... likely that the film changed from day to day, perhaps even influenced by the reactions of the previous audience\" (Koszarski, _Von_, 160).\n\n37. According to Arthur Lennig, \"By the time Stroheim finished editing his original cut] of _Greed_ , he had forty-two reels of _unrepeated_ narrative (about 42,000 feet), a total of almost eight hours at sound speed and more than that at twenty or twenty-two frames per second\" ( _Stroheim_ , 214\u2013215). Knowing that cuts were inevitable, von Stroheim personally reduced the film to twenty-four reels, writing to Peter Noble that he \"could not, to save my soul, cut another foot\" ([Noble, _Hollywood Scapegoat_, 52). When it became clear that the studio would not accept even this reduced version, von Stroheim asked fellow director Rex Ingram to see what he could do. Ingram cut the film down to eighteen reels and sent von Stroheim a telegram, \"If you cut one more foot, I'll never speak to you again\" (Lennig, _Stroheim_, 216). Unfortunately, MGM rejected even this version, finally deciding to adopt a ten-reel version supervised by \"editorial director\" June Mathis (Koszarski, _Von_, 159).\n\n38. Carr, \"On the Camera Coast,\" 76.\n\n39. Erich von Stroheim, \"Stroheim States Own Version of Tilt over 'Wedding March,'\" _Exhibitors Herald and Moving Picture World_ , February 11, 1928, 22. In his photographic reconstruction, Herman Weinberg lists the original rough cut as \"50,000 feet\" (consistent with von Stroheim's statement, assuming that he was referring to the standard 1,000-foot reels of the era) and says this would have run for \"eleven hours,\" but the difference may be attributable to variation in projection speed (Weinberg, _Complete Wedding March_ , 3). At the twenty-four-frames-per-second speed used almost universally by 1928, fifty reels would have run for approximately nine hours.\n\n40. Von Stroheim, \"Stroheim States Own Version.\"\n\n41. As Richard Koszarski points out, the material that eventually became _The Honeymoon_ began on page 107 of a 246-page script, suggesting that if the entire film had been completed as planned, it could well have run far longer than the nine hours of extant material available when production was brought to a halt (Koszarski, _Von_, 229).\n\n42. Weinberg, _Complete Wedding March_ , 3. The only surviving European print of this drastically reduced version of _The Honeymoon_ (whose 7,000 feet included a 2,000-foot \"summary\" of the first part so that it could be marketed as an autonomous work) was destroyed in a fire in the courtyard of the Cin\u00e9math\u00e8que fran\u00e7aise several days after von Stroheim's death.\n\n43. Richard Koszarski argues:\n\nThe suspension of shooting on _Queen Kelly_ was the single most damaging blow to von Stroheim's career. Coming only three months after the disastrous premiere of _The Wedding March_ , it convinced producers and public alike that not only was von Stroheim an intractable wastrel, but that the type of film with which he was so strongly identified was now definitely out of touch with audience fashion. (Koszarski, _Von_, 263)\n\nVon Stroheim later adapted much of the unfilmed material from the second half of the film into a novel, which was written in English but published in French as _Poto-Poto_ , translated by Ren\u00e9e Nitzschke (Paris: \u00c9ditions de la Fontaine, 1956).\n\n44. The 1980s reconstruction and the published screenplay make it clear that particular details of clothing, decor, or movement are made to rhyme and contrast with one another both within the same section of the film\u2014as when Kelly throws her white underpants away with the same gesture used when the queen throws a prostitute's stockings at the prince\u2014and at different points in the narrative. For example, the third part of the screenplay begins with \"former convent girl\" Kelly, who has been married off against her will to Jan, walking \"with majestic steps,\" having become \"queen\" of a brothel (Bret Wood, ed., _Queen Kelly: The Complete Screenplay of Erich von Stroheim_ [Lanham, MD: Scarecrow Press, 2002], 171\u2013172). She wears a \"black charmeuse dress\" and carries a \"patent leather dog whip,\" much like Queen Regina earlier in the film (171).\n\n45. Herman Weinberg mentions that Thomas Quinn Curtis invited Thomas Mann, von Stroheim, and producer Gilford Cochrane to the Astor Hotel in December 1940, hoping to bring about a film version of _The Magic Mountain_ (Herman G. Weinberg, _A Manhattan Odyssey_ [New York: Anthology Film Archives, 1982], 144\u2013145).\n\n46. Lennig, _Stroheim_, 370.\n\n47. \u00c9lie Faure, _The Art of Cineplastics_ , translated by Walter Pach (Boston: Four Seas, 1923), 20.\n\n48. Abel Gance, _Prisme: Carnets d'un cin\u00e9aste_ (Paris: Samuel Tastet, 1986), 195.\n\n49. Louis Delluc, \"Notes to Myself: _La Dixi\u00e8me Symphonie_ ,\" translated by Richard Abel in Abel, _French Film Theory_ , 145.\n\n50. Gance, _Prisme_, 32.\n\n51. Undated autobiographical fragment by Abel Gance quoted in Christophe Gauthier, \"Mensonge romantique et v\u00e9rit\u00e9 cin\u00e9matographique: Abel Gance et le 'langage du silence,'\" _1895_ 31 (October 2000), 6.\n\n52. Canudo, \"Sixth Art,\" 62.\n\n53. Gance, _Prisme_, 109.\n\n54. Ibid., 63.\n\n55. Ibid., 109. In a note from 1915, Gance wrote:\n\nSince Nietzsche became, for me, God, since his doctrines seem to me to summarize the highest and most sublime aspirations of man, I will not lose a day to make them better understood. Jesus, without his apostles, would not have had force. I should be the best apostle, the most persuasive. The struggle is difficult because of Nietzsche's nationality. Even better, the victory will be more beautiful. But before teaching Nietzsche, I will need to understood it thoroughly and to know his _Zarathustra_ by heart. To be able to recite it as they recite the verses of the Bible. Man is something that must be surmounted. (Roger Icart, ed., _Abel Gance, un soleil dans chaque image_ [Paris: Cin\u00e9math\u00e8que fran\u00e7aise, 2002], 25)\n\n56. Friedrich Nietzsche, _Thus Spoke Zarathustra_ , translated by Adrian Del Caro (Cambridge: Cambridge University Press, 2006), 78.\n\n57. Abel Gance, \"A Sixth Art\" (1912), translated by Richard Abel in Abel, _French Film Theory_ , 66.\n\n58. Gance, _Prisme_, 107\u2013108.\n\n59. St\u00e9phane Audoin-Rouzeau and Annette Becker, _14\u201318: Understanding the Great War_ (New York: Hill and Wang, 2000), 94\u2013173.\n\n60. The original cut of _J'accuse_ was in four episodes totaling 5,250 meters, but for what biographer Roger Icart has called \"mysterious reasons,\" the film was reduced to three episodes totaling 4,350 meters before entering general release, in episodes that were sometimes run together and sometimes separated by days or even weeks (Roger Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_ [Lausanne: \u00c9ditions L'Age d'Homme, 1983], 106\u2013111). The film was re-edited further in 1922 into a 3,200-meter version intended for a single, intensive screening of three to three and a half hours (depending on projection speed). This version is the most explicitly pacifist and incorporates some new footage, such as the shot of the dead walking above the victory parade on the Champs-\u00c9lys\u00e9es (which took place on July 14, 1919, more than three months after Gance finished editing the first version of the film to be released publicly).\n\n61. In _La Dixi\u00e8me Symphonie_ , Gance attempts to create a visual synesthesia, using a series of lap dissolves combined with allegorical inserts to convey the essence and sensation of music without sound. Over the course of performing his piece before an audience, the protagonist is so inspired that he literally becomes his \"master,\" Beethoven, much to the amazement of the audience, whose response precisely mirrors the one Gance tries to evoke in the viewer.\n\n62. Jay Winter describes these images of conventional warfare\u2014which began in the sixteenth century as woodcuts and became extremely popular in the nineteenth century\u2014and Gance's adoption of them in Winter, _Sites of Memory, Sites of Mourning: The Great War in European Cultural History_ (Cambridge: Cambridge University Press, 1995), 122\u2013133. Gance's interest in these images was reaffirmed sixteen years later when he inserted a scene of a craftsman producing _images d'\u00c9pinal_ celebrating Napoleonic battles early in the first sound reworking of the _Napol\u00e9on_ material ( _Napol\u00e9on Bonaparte_ , 1935).\n\n63. In his notebooks of the 1920s, Gance dedicates his work to Novalis and puts him at the top of a list of favorite authors (Gance, _Prisme_, 207). He also explicitly connects the cinema to Novalis' poetics in the following exchange:\n\n_Sound seems to be nothing but a broken movement, in the sense where color is broken light_.\u2014Novalis (\"Last Fragments,\" Number 7 in _Philosophical Writings_ , translated and edited by Margaret Mahony Stoljar [Albany: State University of New York Press, 1997], 154)\n\nGance's reply]: And in the sense where light is broken fire, the cinema is the music and the lamentation of this light. ([Gance, _Prisme_, 215)\n\n64. The central text is the 1917 essay \"The New Spirit and the Poets,\" in which Apollinaire writes:\n\nThe new spirit, which has the ambition of manifesting a universal spirit and which does not intend to limit its activity, is nonetheless, and claims to respect the fact, a particular and lyric expression of the French nation, just as the classic spirit is, _par excellence_ , a sublime expression of the same nation. It must not be forgotten that it is perhaps more dangerous for a nation to allow itself to be conquered intellectually than by arms. That is why the new spirit asserts above all an order and a duty which are the great classic qualities manifested by French genius, and to them it adds liberty. This liberty and this order, which combine in the new spirit, are its characteristic and its strength. ( _Selected Writings of Guillaume Apollinaire_ , edited and translated by Roger Shattuck [New York: New Directions, 1971], 230)\n\n65. This statement was included in the original _J'accuse_ program and is quoted in Jean Mitry, _Histoire du cin\u00e9ma: Art et industrie_ , vol. 2 (Paris: \u00c9ditions universitaires, 1967), 257\u2013258.\n\n66. In 1917\/1918, Gance described his ambitions as follows: \"To] develop my projects of the centralization of film theaters to control production in the years to come and make it possible to create the Great Gospels of Light with the cinema.\" He claims to have abandoned _Ecce Homo_ after shooting one-third of it when he realized that his \"subject is too elevated for everything that surrounds [him], for [his] actors even, who do not release sufficient radioactivity,\" and committed himself instead to films \"touching the war and its lessons, because [they are] closer to the immediate mentality of spectators\" ([Gance, _Prisme_ , 114\u2013116).\n\n67. Ibid., 118.\n\n68. Upon its initial release, the film was screened over three consecutive Thursday afternoons in December 1922. Gance continued working on this version up until the last possible moment, but, for reasons that remain unclear, the film was reduced from the premiere version (containing a prologue and six 1,800-meter episodes) to a slightly shorter version consisting of four 2,300-meter episodes before it went into general release on February 17, 1923 (for more details, see Roger Icart, \"\u00c9tude sur une longue copie teint\u00e9e de _La Roue_ ,\" _1895_ 31 [October 2000], 275\u2013290).\n\n69. Gance, _Prisme_, 119.\n\n70. The original score is now lost, but Honegger's seven-minute study of a train journey, _Pacific 231_ (1923), suggests that it would have contributed to the momentum of the film while also accentuating its many rhythmic fluctuations.\n\n71. Like Griffith with _Intolerance_ , Gance re-edited his own film in subsequent years for various reasons, and the shortest commercially distributed version consisted of only seven reels (at the end of the silent era in 1928). In 1929, Gance began planning an elaborate sound version, but it was never completed (Gance's plans can be found in the Biblioth\u00e8que du film, GANCE236-B71).\n\n72. Quoted in Icart, \"\u00c9tude,\" 276.\n\n73. A 1923 letter by Gance in Icart, _Abel Gance, un soleil dans chaque image_ , 69.\n\n74. With Gance's blessing, director Lupu Pick made a German-language film version of the _Sainte-H\u00e9l\u00e8ne_ script in 1929. Gance eventually succeeded in making a version of the film he had intended to be the third part of the _Napol\u00e9on_ series, _Austerlitz_ (1960), but the final result was very different from the original conception.\n\n75. Gance told Kevin Brownlow in the 1960s that the premiere version included four sequences in \"Polyvision\": \"Les Deux Temp\u00eates, the Return to Corsica, Le Bal des victimes, and the Entry into Italy\" (Kevin Brownlow, _The Parade's Gone By..._ [Berkeley: University of California Press, 1968], 547). However, no known version of the film ever included four triptych sequences, and Gance did not begin regularly using the word \"Polyvision\" to describe his process until after World War II. As Gance explained in a 1956 radio interview, \"I did not see Polyvision, as I make it now, in [the 1920s]... . The first idea of Polyvision [came with the triptychs for _Napol\u00e9on_ ], but it was actually elementary in my spirit\" (\"Le Bureau des r\u00eaves perdus d'Abel Gance, \u00e9mission radiophonique de Louis Moillon r\u00e9alis\u00e9e par Albert Riera le 13 Novembre 1956,\" _L'\u00c9cran_ 3 [April\u2013May 1958], 17\u201322). The \"Return to Corsica\" and \"Le Bal des victimes\" sequences were presented as triptychs in a special presentation at Studio 28 in 1928 (under the names _Galops_ and _Danses_ ), while both \"Les Deux Temp\u00eates\" and the \"Entry into Italy\" triptychs were included in the version of _Napol\u00e9on_ shown at the Op\u00e9ra de Paris.\n\n76. The two screenings were held on May 9 and 10, 1927, at the Apollo Theater in Paris and were presented to great acclaim. This \"Apollo\" version was missing the triptychs.\n\nA contract signed on July 30, 1926, for the international exhibition of _Napol\u00e9on_ (distributed by MGM) specified that 400,000 meters of negative had been shot (Roger Icart, \"Les Divers Visages du ' _Napol\u00e9on_ ' d'Abel Gance,\" in _Napol\u00e9on et le cinema: Un si\u00e8cle d'images_ , edited by Jean-Pierre Mattei [Ajaccio: \u00c9ditions Alain Piazzola and Cin\u00e9math\u00e8que de Corse, 1998], 87).\n\n77. Koszarski, _Von_, 69.\n\n78. Kevin Brownlow, _Napoleon: Abel Gance's Classic Film_ (New York: Alfred A. Knopf, 1983), 152.\n\n79. Icart, \"Les Divers Visages,\" 88\u201389.\n\n80. Abel Gance, \"My Napoleon,\" translated by Kevin Brownlow in Abel, _French Film Theory_ , 400.\n\n81. Icart, _Abel Gance, un soleil dans chaque image_ , 73.\n\n82. The model for Gance's use of documents, as well as much of his Napoleonic historiography, is Jules Michelet (who wrote, \"Man is his own Prometheus,\" in the preface to the 1869 edition of his _Histoire de France_ ), but his treatment is also clearly indebted to the authenticating strategies Griffith employed in _The Birth of a Nation_. The statement is from a 1923 letter by Gance reprinted in Icart, _Abel Gance, un soleil dans chaque image_ , 69.\n\n83. This exchange occurs at the conclusion of a fictionalized episode in which Napoleon communes with the dead spirits of his colleagues and proclaims his commitment to the principles of the Revolution before he sets off for Italy. Napoleon also declares, \"Europe will become a single people, and anyone, wherever he travels, will always find himself in a common fatherland,\" thereby making him into the progenitor of the \"United Europe\" Gance would himself champion throughout the 1920s in various writings and projects (most notably, in the proposals he made for a film division of the League of Nations). Gance adapted this language from Leo Tolstoy's 1869 novel _War and Peace_.\n\n84. A more recent translation renders this passage as \"Your whole creation is a great wheel which to turn at all must crush someone\" (\"The Graveyard at Villequier,\" in Victor Hugo, _Selected Poems_ , translated by Brooks Haxton [London: Penguin Classics, 2002], 43). Hugo's poem was written on the part of the Seine where his daughter had drowned four years before, and Gance almost certainly cited it with this history in mind, as a tribute to his wife Ida Danis, who (like lead actor S\u00e9verin-Mars) fell ill with the flu and died before _La Roue_ was finished.\n\n85. Victor Hugo, _Ninety-Three_ , translated by Lowell Bair (Cresskill, NJ: Paper Tiger, 2002), 137. Gance's characterization of Danton, Marat, and Robespierre as \"The Three Gods\" also derives from Hugo's novel. At one point, Marat declares, \"We represent the Revolution. We're the three heads of Cerberus\" (106).\n\n86. Ibid., 140\u2013141.\n\n87. Gance quotes Claudel\u2014\"For we must bear the Cross before the Cross bears us\"\u2014late in _La Roue_ and, although it is unclear when exactly Claudel made his frequently quoted statement about Gance, it was used in advertisements for many of the director's films (for example, in _Paris Match_ 406 [January 19, 1957], 57).\n\nOn November 14, 1928, Gance declared that he intended to make a life of Hugo in time to celebrate the centenary of 1830, and he had prepared the scenario by early the following year. In subsequent correspondence with Raymond Escholier, the conservator of the Mus\u00e9e Victor Hugo, he explains that he has postponed _La Vie de Victor Hugo_ but planned to resume it once _La Fin du monde_ was completed (Biblioth\u00e8que du film, GANCE424-B93).\n\n88. \u00c9lie Faure, _Function du cin\u00e9ma: De la cin\u00e9plastique \u00e0 son destin social (1921\u20131937)_ (Paris: Librairie Plon, 1953), 65\u201366. Quotation marks around the final sentence were added to emphasize what is clearly a reference to Hugo's novel.\n\n89. Canudo wrote:\n\nThe cinematographic theater _is the first new theater_ , the first authentic and fundamental theater of our time. When it becomes truly aesthetic, complemented with a worthy musical score played by a good orchestra, even if only representing life, real life, momentarily fixed by the photographic lens, we shall be able to feel then our first _sacred_ emotion, we shall have a glimpse of the spirits, moving towards a vision of the temple, where Theater and Museum will once more be restored for a new religious communion of the spectacle and Aesthetics. (Canudo, \"Sixth Art,\" 64\u201365)\n\nThe widespread adoption of these ideas later in the decade is attested to by \u00c9mile Vuillermoz, who refers to \"this new religion\" of the cinema in \"Before the Screen: Hermes and Silence,\" translated by Richard Abel in Abel, _French Film Theory_ , 156.\n\n90. Faure, _The Art of Cineplastics_ , 43.\n\n91. Faure wrote the introduction to the Op\u00e9ra de Paris program for the April 1927 premiere and subsequently wrote a preface to Gance's _Prisme_ in 1931, in which he claims that the director is fulfilling some of his dreams for the cinema: \"The man capable of writing such a book has heroically chosen the first stammerings of the visual symphony in order to flood, from its rising tide, the still floating river of our new universe\" (Gance, _Prisme_, 14). Toward the end of the book, Gance in turn argued that Faure was one of the great writer-thinkers in the line of Montaigne, Cervantes, and Shakespeare (228).\n\n92. \u00c9lie Faure, _Napoleon_ , translated by Jeffrey E. Jeffrey (London: Constable, 1924), 2. Faure later writes that people are beginning to realize that \"Napoleon was a poet, that art is imagined action and that action is art which is actually lived\" (240). The book is dedicated to \"the man, whoever he may be, among the leaders of the Universal Revolution, whatever form it may take, who will possess the divine virtue of being able to impose upon it the order which it will establish in his heart.\"\n\n93. Nelly Kaplan, _Napol\u00e9on_ (London: British Film Institute, 1994), 42.\n\n94. Ibid., 44. The Biblioth\u00e8que du film contains a number of annotated volumes Gance referred to in preparing _Napol\u00e9on_ (GANCE184-B64). In one book, Louis Madelin's _Napol\u00e9on_ (Paris: Librairie Plon, 1926), Gance marks the following passage with great enthusiasm: \"Men of genius are meteors destined to burn in order to light their century\" (331).\n\n95. L\u00e9on Moussinac, \"A French Film: _Napol\u00e9on_ ,\" in Norman King, _Abel Gance: A Politics of Spectacle_ (London: British Film Institute, 1984), 35.\n\n96. The influential French film historian Jean Mitry made the apolitical argument in his _Histoire du cin\u00e9ma: Art et industrie_ , vol. 3 (Paris: \u00c9ditions universitaires, 1967), 354. Bernard Eisenschitz makes similar claims in his article on Gance in _Cinema: A Critical Dictionary_ , edited by Richard Roud, vol. 1 (New York: Viking, 1980), 404\u2013415. On the other hand, Roger Icart, author of a meticulously researched French biography of Gance, has studied the different versions of _Napol\u00e9on_ extensively and has argued that, in all versions, Gance's vision is fundamentally progressive.\n\n97. Peter Pappas, \"The Superimposition of Vision: _Napoleon_ and the Meaning of Fascist Art,\" _Cineaste_ 11, no. 2 (1981), 8\u201312.\n\n98. More than a decade before it was employed by Mussolini and Hitler, for example, Dada artists like Hannah Hoch made use of superimposition in photomontages. In works such as _Lenin_ (1931), Soviet artists like El Lissitzky used techniques and formal devices that are virtually identical to those used to create the famous composite images depicting Mussolini as the literal embodiment of large crowds. Jeffrey Schnapp discusses these \"oceanic\" images in \"The Mass Panorama,\" _Modernism\/Modernity_ 9, no. 2 (2002), 243\u2013281.\n\n99. In 1931, Gance created a syndicate for the distribution of Soviet films in France, at least partially in the hopes that it would facilitate his plans to make _1812, La Campagne de Russie_ , a Soviet coproduced follow-up to _Napol\u00e9on vu par Abel Gance_.\n\n100. One of Goethe's most important poems, written in the same period as \"On German Architecture,\" is entitled \"Prometheus\" (1774). Goethe's poem ends by depicting Prometheus as the source of human creativity:\n\nHere I sit, forming men\n\nIn my image,\n\nA race to resemble me:\n\nTo suffer, to weep,\n\nTo enjoy, to be glad\u2014\n\nAnd never to heed you,\n\nLike me! (Goethe, \"Prometheus,\" translated by Michael Hamburger in J. W. von Goethe, _Selected Works_ [New York: Alfred A. Knopf, 1999], 1071)\n\nIn a similar fashion, the third stanza of Lord Byron's \"Prometheus\" (1816) treats its subject as the embodiment of Romantic ideals, \"[strengthening] Man with his own mind\" (line 38). Beethoven wrote a ballet entitled _The Creatures of Prometheus_ (opus 43, 1800\u20131801) and later used its theme for the finale of the 1804 Third Symphony (\" _Eroica_ ,\" opus 55), often cited as the first work of musical Romanticism. Goethe's Prometheus poem was also set to music by Franz Schubert in 1819 (\"Prometheus,\" D.674).\n\n101. In his memoirs, Chateaubriand tellingly refers to Napoleon as \"Prometheus, with the vulture at his breast, who stole the fire from heaven [and] thought himself superior to all things\" ( _The Memoirs of Fran\u00e7ois Ren\u00e9, Vicomte de Chateaubriand_ , translated by Alexander Teixera de Mattos [New York: G.P. Putnam's Sons, 1902], 2:285). He claims that the feelings were mutual, with Napoleon telling Monsieur de Montholon that \"Chateaubriand has been gifted by nature with the Promethean fire\" (Chateaubriand, _Memoirs_ , 3:223).\n\n102. Byron, \"Ode to Napoleon Buonaparte,\" lines 138\u2013144. Byron described the pervasive influence of Prometheus in an 1817 letter to John Murray ( _So Late into the Night: Byron's Letters and Journals_ , edited by Leslie A. Marchand, vol. 5 [London: John Murray Publishers, 1976], 268).\n\n103. Faubion Bowers, _Scriabin: A Biography_ (Mineola, NY: Dover, 1996), 206\u2013207. The piece was never performed with proper color accompaniment during Scriabin's lifetime. Theosophical ideas and color-music experiments also inspired Claude Bragdon's 1916 attempt to create an audiovisual \"cathedral without walls\" in New York's Central Park (R. Bruce Elder, _Harmony and Dissent: Film and Avant-Garde Art Movements in the Early Twentieth Century_ [Waterloo, Ontario: Wilfrid Laurier University Press, 2008], 57). Shortly thereafter, Bragdon founded an organization called The Prometheans with Thomas Wilfred, whose Clavilux color organ \"compositions\" would sometimes last for days or even years (John Gage, _Color and Culture: Practice and Meaning from Antiquity to Abstraction_ [Berkeley: University of California Press, 1999], 245\u2013246).\n\n104. Marx mentions Prometheus repeatedly, characteristically writing that the accumulation of wealth \"rivets the labourer to capital more firmly than the wedges of Vulcan did Prometheus to the rock\" ( _Capital: An Abridged Edition_ , edited by David McLellan [Oxford: Oxford World's Classics, 1999], 362). The most important left-leaning independent production\/distribution company in late Weimar Germany\u2014active from 1926 to 1931\u2014was called Prometheus Films.\n\n105. In 1921, for example, Louis Delluc wrote: \"The irresistible pressure of creative minds is turning over the silent art to blood that is difficult to poison. Believe me, it will allow great figures to emerge out of creators yet to come, just as Aeschylus created _Prometheus_ , as Shakespeare created _Macbeth_ and _Hamlet_ , as Wagner created _Parsifal_ \" (Louis Delluc, \"From Orestes to Rio Jim,\" translated by Richard Abel in Abel, _French Film Theory_ , 258).\n\n106. Gance, \"Le Temps de l'image est venu!,\" 102. Earlier in the same essay, he argued that \"the cinema silently observes the other arts and, [like a] formidable Sphinx, asks itself which vital parts it will devour\" (99).\n\n107. In this respect, the review by Louis Delluc of _La Dixi\u00e8me Symphonie_ is paradigmatic. Delluc lavishes praise on Gance's formal innovations and calls him a genius, but then chides him for the obviousness of the film's dramaturgy and, especially, for its citation of other artworks in a \"vision sequence.\" He writes of this sequence:\n\nPerhaps this will please spectators. Indeed it's quite pretty to look at. But it is no good; it overlays something fine with something pretty but unnecessary. It's simply a mistake. Don't tell me, Gance, that the execution hasn't measured up to the intention. No, you were thinking of the Victory at Samothrace. I wasn't. The Victory at Samothrace suffices unto itself. Leave it where it is, unless you are devoting an essay, a poem, or a play to it. In a film, visibly present like that, it is extraneous. For three-quarters of an hour, you alone kept us interested. Would you have us believe that you aren't sufficient unto yourself? It's too late. We have only come for _La Dixi\u00e8me Symphonie._ (Delluc, \"Notes to Myself,\" 145\u2013146)\n\n108. Fernand L\u00e9ger, \" _La Roue:_ Its Plastic Quality,\" translated by Alexandra Anderson in Abel, _French Film Theory_ , 272. Jean Cocteau famously said of the same film, \"There is cinema before and after _La Roue_ , just as there is painting before and after Picasso\" (Jean Cocteau, _The Art of Cinema_ , edited by Andr\u00e9 Bernard and Claude Gauteur, translated by Robin Buss [New York: Marion Boyars, 1994], 132). Gance's friend Jean Epstein was equally enthusiastic: \"The conviction that pours from _La Roue_ is overwhelming. From this film was born the first cinematographic symbol... . The cross which turns very quickly takes the form of a wheel. That is why, at the summit of your Calvary, Gance, there is _La Roue_ \" (Jean Epstein, \"Les cin\u00e9astes\u2014Abel Gance,\" _Photo-Cin\u00e9_ 8 [September\u2013October 1927], 153).\n\n109. In a 1929 lecture, Gance lays out three fundamental principles that guide his own work: (1) cinema is an art of the people; (2) cinema is the art of light; (3) cinema is an art for the whole of humanity (Abel Gance, \"Autour de moi et du monde\u2014Le Cin\u00e9ma de demain,\" in Icart, _Abel Gance, un soleil dans chaque image_ , 124\u2013125).\n\n110. Norman King argues that these sorts of carefully staged images are preparations for the more spectacular creative outbursts, but it does not seem to me that Gance's formal strategies are as monolithically oriented around the \"look\" as King suggests (King, _Abel Gance_ , 179\u2013206). Although the overarching presence of the director is clearly felt throughout all of Gance's major works, the films do open up aspects of perception that go beyond narrative exigency or spectatorial manipulation. In many of the pictorially deep compositions of _La Roue_ , for example, there is an obsessive fixation on constantly shifting light patterns, which shimmer over faces and glint off objects to such a degree that it sometimes feels as though the film has momentarily broken free of its narrative and entered the domain of abstract sensation.\n\n111. Kaplan, _Napol\u00e9on_, 28.\n\n112. Gance, \"My Napoleon,\" 400.\n\n113. Kaplan, _Napol\u00e9on_, 38.\n\n114. Brownlow, _Napoleon_, 143.\n\n115. Kaplan claims that the director inexplicably destroyed it himself during one of his re-edits of the film in the 1940s (Kaplan, _Napol\u00e9on_, 9). Jean Dr\u00e9ville, who was present at the 1927 premiere, reconstructed this triptych using the existing footage for the Cin\u00e9math\u00e8que fran\u00e7aise restoration (Bambi Ballard, ed., _Napol\u00e9on as seen by Abel Gance_ [London: Faber and Faber, 1990], 58).\n\n116. This impression is strengthened by the two most dramatic intertitles: \"Thus all the giants of the Revolution were swept, one after the other, into the raging whirlpool of the Reign of Terror,\" followed (after a superimposition of the Convention and a guillotine) by \"And a man, the defiant sport of the Ocean, his Tricolor sail opening to the wind of the Revolution, was being triumphantly carried to the Heights of History.\"\n\n117. Icart, _Abel Gance, un soleil dans chaque image_ , 120.\n\n118. In a letter to Charles Path\u00e9, Gance went so far as to write:\n\nI think that _Napol\u00e9on_ will be for me a great projection of light into the cinematographic future, that it will show what a historical film can and should be, a living lesson for the future, but I do not believe like you that it will be my last work. For a long time, I have been plotting the series of _Great Initiates\u2014_ Moses, Buddha, Orpheus, Krishna, Jesus, Pythagoras, Mohammed... leading to] the great cinematic Gospel of _La Fin du monde_ that I have been preparing these years and that will be the definitive future of the new silent language between peoples. (Quoted in [Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_, 167)\n\nGance's diary from the mid-1920s includes the related admission that he would make _Napol\u00e9on_ as a side project during the preparation of his beloved _The Kingdom of the Earth_ and _La Fin du monde_ :\n\nJanuary 1922\u2014Plan for the next two years:\n\nDedicate soul and blood on:\n\n1. _La Fin du monde._ Make _Napol\u00e9on_ during the preparation of this.\n\n2. _La Mort d'Orph\u00e9e_ , in order to slightly appease my infinite pain and in order to revive my dead beloved in _Eurydice._ [This project was soon abandoned.]\n\n3. The Kingdom of the Earth\n\n(a). Actions,\n\n(b). Codes,\n\n(c). Studies\n\nDevote my seconds to these three goals and think of nothing outside of them. (Gance, _Prisme_, 166)\n\n119. In his writings of the 1920s, Gance increasingly placed stress on the psychological power of the cinema, observing that the \"na\u00efvet\u00e9 of the crowd needs the cinema\" and including a proposal for a \"Section d'observation et d'utilisation pratique des forces psychologiques universelles\" as part of his larger League of Nations (SDN) initiative (Gance, _Prisme_, 112). He describes audiences responding to a hypothetical three-dimensional cinema (a true \"Universal Psychological Force\") in similar terms:\n\nThe crowd will respond as one man; the chorus of antiquity will be resurrected. The soul of the spectators will merge with that of characters and objects; all will participate in the drama through the magic of this hallucination, and they will have to restrain themselves from crying out and replying to the voices which gush out from these beings, from this prodigious nature as real as they are. (Gance, \"Autour de moi,\" 124)\n\n120. In an essay entitled \"Vocation du cin\u00e9ma,\" for example, \u00c9lie Faure writes:\n\nThe cinema, product of scientific culture and its technical evolution, naturally offers itself to us in order to assume this task of expressing the collective spirit of the age], as dance and music had offered themselves to primitive people as explanations of mythic culture, as architecture had offered itself to the great synthetic religions\u2014Hinduism, Buddhism, Christianity, Islam\u2014in order to explain the social culture whose sublimation they manifested. Indeed, the cinema presents all the social characteristics that the Christian architecture of the Middle Ages\u2014to take the most recent example and the one closest to a mode of expression that I would call symphonic\u2014offered unanimously to the multitudes. ([Faure, _Function du cin\u00e9ma_, 88)\n\nSimilar comments can be found in an earlier essay entitled \"Introduction \u00e0 la mystique du cin\u00e9ma\":\n\nThe cinema, if we _want_ to understand it, should revive and carry to its highest pitch a religious feeling whose dying flame it feeds. The infinite diversity of the world offers to man for the first time the _material_ means to demonstrate its unity. A pretext of universal communion, whose deepening requires of us only a little goodwill, is offered to us, with tireless kindness. ( _Function du cin\u00e9ma_, 84\u201385)\n\n121. Gance, _Prisme_, 247. Gance's decision to title this project _Les Grands Initi\u00e9s_ is an explicit reference to the 1889 work of the same name by French philosopher-poet \u00c9douard Schur\u00e9, who argued that Jesus, Moses, Mohammed, Rama, Krishna, Hermes, Orpheus, Pythagoras, and Plato were all \"initiates\" of a single esoteric tradition that took on different surface manifestations. For Schur\u00e9, a friend of Nietzsche and a great admirer of Wagner whose work took a more occult turn after he met the German-Russian mystic Helena Petrovna Blavatsky, organized religion was an institutional distortion of the prophetic truths espoused by those he labeled initiates. Gance's comparative religion project was heavily influenced by Schur\u00e9's ideas, and in his own writings he implies that understanding the \"similarity\" of different religions will help make the universal truths that lie behind them clear.\n\n122. Faure, _Function du cin\u00e9ma_ , 114\u2013115.\n\n123. Gance's internationalism precedes World War I. In his first published essay (1912), he had written of \"a sixth art which, with one and the same sadness, will simultaneously bring tears to the eyes of the Arabs and the Eskimo and which, at the same time, will offer them the same lesson in courage and health\" (Gance, \"A Sixth Art,\" 66).\n\n124. \"PROJECT de M. Abel GANCE sur une SOCIETE MONDIALE de FILMS,\" archival document included in Abel Gance: Documents (1912\u20131929), Yale University Library, Fiche S21 11, p. 12.\n\n125. Ibid., 14. Gance, who also uses the Novalis quote in other texts, seems to be modifying an often-quoted fragment, \"Every word is a word of incantation\" (Gerhard Schulz, ed., _Novalis Werke_ [Munich: C.H. Beck Verlag, 1969], 375).\n\n126. \"PROJECT de M. Abel GANCE sur une SOCIETE MONDIALE de FILMS,\" 13.\n\n127. Interestingly, to justify the expense of the film to his backers, Gance cited the $1,103,736.38 figure Universal used in advertising for _Foolish Wives_ (\"The First Million Dollar Movie\") in his own proposal, arguing that his film about Napoleon would be \"the greatest film of modern times\" (Brownlow, _Napoleon_ , 40\u201345). The participation of Stinnes was a source of contention for some French nationalists, but these concerns were partially allayed when Path\u00e9 purchased thirty of the seventy parts sold via subscription. The death of Stinnes precipitated an eight-month break in production, which resumed once the finances were restructured around a new organization (also controlled by a White Russian, Jacques Grinieff), the Soci\u00e9t\u00e9 G\u00e9n\u00e9rale de Films.\n\n128. Dimitri Vezyroglou, \"Les Grandes Esp\u00e9rances: Abel Gance, la soci\u00e9t\u00e9 des nations et le cin\u00e9ma Europ\u00e9en \u00e0 la fin des ann\u00e9es vingt,\" _1895_ 31 (October 2000), 133.\n\n129. This idealistic faith in international solidarity found concrete political manifestation in the League of Nations. Zara Steiner discusses the formation and function of the League as \"an experiment in internationalism at a time when the counterclaims of nationalism were running powerfully in the opposite of direction\" in _The Lights That Failed: European International History, 1919\u20131933_ (Oxford: Oxford University Press, 2005), 349\u2013386.\n\n130. The first part of Vertov's _One Sixth of the World_ includes an elaborate list of different ethnic groups, rituals, and practices within the Soviet state (whose boundaries are elaborated in the second part of the film), each prefaced by \"[I see] you...\" This extends even to \"you, the Black Sea,\" and \"you, sitting in the movie theater.\" The strategy of repetitive, exhaustive cataloging of lyrically rendered details as a way of emphasizing a larger totality is very similar to that employed by Whitman in the lengthy Book XII (\"The Song of the Broken Axe\") of _Leaves of Grass_ , although the political implications in each case are, of course, very different.\n\nRuttmann's _Melody of the World_ juxtaposes scenes taken in wildly different locations, organizing them thematically or conceptually around types of movement or activity (so that, for example, shots of rickshaws in South Asia and cars in Western Europe are linked together). The film is particularly notable for including sounds and voices from all over the world, sometimes juxtaposed with one another, and it includes a revealing scene in which George Bernard Shaw and Ivor Montagu \"meet\" on a road, speak together, and then walk off arm in arm. Shots of two men speaking Chinese are inserted at various points throughout the scene, suggesting not only shared understanding across cultural boundaries but also that sound technology could help facilitate international dialogue (ironically, it would do just the opposite, making it more difficult for films to travel across national borders).\n\n131. Griffith, \"Griffith to Film History.\" According to the article, Griffith hoped to produce eight to ten historical films, each approximately twelve reels long and made up of \"dramatic incidents based on facts.\"\n\n132. Quoted in Anton Kaes, _Shell Shock Cinema_ (Berkeley: University of California Press, 2009), 193.\n\n133. Hans Richter, \"A History of the Avant-Garde,\" in _Art in Cinema_ , edited by Frank Stauffacher (New York: Arno Press, 1971), 8\u201321.\n\n134. Gance describes his plans in a letter (dated July 12, 1929) that is held in the Biblioth\u00e8que du film, GANCE 287-B77.\n\n135. Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_, 24.\n\n136. In _Prisme_ , Gance gives several characteristic examples of the synthetic approach to world mythology that informed his theatrical projects and film works:\n\nAll the Greek myths with which I have wandered around, Homer and my _Victoire_  _de Samothrace_ , a massive, never-performed play Gance wrote in 1912 and 1913 that was inspired by the famous Hellenistic statue in the Louvre], all the medieval myths\u2014Broc\u00e9liande, Melusine and the Sirens.... Having judged the poetic value, so dissimilar, of these two civilizations, I can touch the two poles of poetry. Homer and Merlin, Orpheus and King Arthur, Helen of Troy and Viviane, are for me great Dionysian entities. ([Gance, _Prisme_, 48)\n\n137. A dossier on _La Fin du monde_ can be found in the Biblioth\u00e8que du film, GANCE99-B43. Plans for _La Passion de J\u00e9sus_ , which was abandoned in April 1929, can also be found in the Biblioth\u00e8que du film, GANCE413-B93.\n\n138. Roger R\u00e9gent, \" _Napol\u00e9on_ d'Abel Gance ressuscit\u00e9, enrichi de la perspective sonore,\" _Pour Vous_ 337 (May 2, 1935), 7.\n\n139. Gance's original cut of _La Fin du monde_ was at least 5,250 meters long and would have had a projection time of well over three hours. The version screened at the 1931 premiere had been reduced by almost 50 percent to approximately 2,800 meters (about one hundred minutes). The film currently exists in two even more fragmentary versions: a French version that lasts for approximately ninety-four minutes and an American version released in 1934 that lasts for fifty-four minutes and was retitled _Paris After Dark_. According to Roger Icart, the ten-minute discrepancy between the current French print and the premiere version was at least partially caused by Gance's decision to excise some of the material for use in his 1937 sound version of _J'accuse_ (Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_, 221).\n\n140. At an earlier stage, _La Fin du monde_ was explicitly tied to _The Kingdom of the Earth_ by featuring the same protagonist, Novalic (a probable play on Novalis).\n\n141. Abel Gance, \"D\u00e9part vers la polyvision,\" _Cahiers du cin\u00e9ma_ 41 (December 1954), 4\u20135.\n\n142. The triple-screen version of the rising of the dead sequence from _J'accuse_ was shown as part of a special presentation by Abel Gance intended to demonstrate the artistic potential of Polyvision in January 1957. Information on the screening and the response by the government ministers and press representatives in attendance can be found at the Biblioth\u00e8que du film, GANCE384-B90.\n\n143. Abel Gance, \"Je tournerai _Christophe Colomb_ parce que le cin\u00e9ma est une machine \u00e0 ressusciter les h\u00e9ros,\" _Cin\u00e9monde_ 12, no. 546 (April 5, 1939), 5.\n\n144. The statement is from 1965 (in support of de Gaulle) and is quoted in Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_, 403.\n\n145. Ibid., 275.\n\n146. Biblioth\u00e8que du film, GANCE400-B92.\n\n147. Gance continued to believe that he would be able to make his great religions project throughout the 1930s and discussed this in several interviews. Script extracts from the Polyvision version of _The Kingdom of the Earth_ were published in several journals (in English, see _Film Culture_ 3, no. 5, issue 15 [December 1957], 10\u201313, and 4, no. 1, issue 16 [January 1958], 14\u201316). Gance's original scenario and filming notes for _La Divine Trag\u00e9die_ are available at the Biblioth\u00e8que du film, GANCE35\u2013B13. Significantly, the film moves back and forth between different periods, in the manner of _Intolerance_ (it culminates in a visionary scene in which Jesus repeats \"Love your enemies\" over and over again).\n\nAbel Gance's trip to China is discussed in Icart, _Abel Gance ou Le Prom\u00e9th\u00e9e foudroy\u00e9_ , 398\u2013399. Nelly Kaplan, Gance's partner and assistant in the 1950s and 1960s, provides her account of the meeting with Mao Zedong and Zhou Enlai in Nelly Kaplan, _Mon cygne, mon signe... Correspondances Abel Gance\u2013Nelly Kaplan_ (Paris: \u00c9ditions du Rocher, 2008), 58\u201363.\n\n148. Friedrich H\u00f6lderlin, _Poems and Fragments_ , translated by Michael Hamburger (London: Anvil Press, 2004), 505.\n\n149. Albert Speer, _Inside the Third Reich_ , translated by Richard Winston and Clara Winston (New York: Simon and Schuster, 1970), 58\u201359.\n\n150. Bertolt Brecht, \"The Modern Theatre Is the Epic Theatre,\" in _Brecht on Theatre: The Development of an Aesthetic_ , edited and translated by John Willett (New York: Hill and Wang, 1964), 38.\n\n151. _Mahogany_ is referred to in part two (\"A German Dream\") of _Hitler, a Film from Germany_.\n\n152. The phrase \" _st\u00e4hlerne Romantik_ ,\" which appears on the soundtrack in the first and last parts of _Hitler, a Film From Germany_ , was used repeatedly by Joseph Goebbels, who defined it in 1933 as \"a Romanticism... that has the courage to confront problems and look firmly into their pitiless eyes without flinching\" (R\u00fcdiger Safranski, _Romanticism: A German Affair_ , translated by Robert E. Goodwin [Evanston, IL: Northwestern University Press, 2014], 243).\n\nJeffrey Herf argues that Nazi ideology can be characterized by a technopihilic resistance to the Enlightenment in _Reactionary Modernism: Technology, Culture, and Politics in Weimar and the Third Reich_ (Cambridge: Cambridge University Press, 1984).\n\nThe book of photographs from the 1930s that Syberberg published the year _Hitler, a Film from Germany_ was completed is also shaped by an attempt to rework the principles of Surrealist collage (Hans-J\u00fcrgen Syberberg, _Fotografie der 30er Jahre: Eine Anthologie_ [Munich: Schirmer\/Mosel Verlag, 1977]).\n\n153. Syberberg acknowledges the influence of this \"grand master\" in \"Quelques mots pour Bologne,\" a 1990 text reprinted in _Syberberg\/Paris\/Nossendorf_ , edited by Christian Longchamp (Paris: \u00c9ditions Centre Pompidou, 2003), 81\u201382.\n\n154. Hans Sedlmayr, \"Toward a Rigorous Study of Art,\" translated by Mia Fineman in _The Vienna School Reader: Politics and Art Historical Method in the 1930s_ , edited by Christopher S. Wood (New York: Zone Books, 2000), 145. Sedlmayr's arguments about cultural decline are summarized in his 1948 book _Art in Crisis: The Lost Center_ (first translated into English in 1957).\n\n155. Ibid., 155.\n\n156. Sedlmayr refers to the \" _Gesamtkunstwerk der Kathedrale_ \" several times in _Die Entstehung der Kathedrale_ (Zurich: Atlantis Verlag, 1950), 156, 361, etc.\n\n157. Hans-J\u00fcrgen Syberberg, _Hitler, a Film from Germany_ , translated by Joachim Neugroschel (New York: Farrar, Straus and Giroux, 1982), 236. Syberberg's use of cutout figures suggests the influence of the cinema museum developed by Henri Langlois in the 1970s.\n\n158. Hans-J\u00fcrgen Syberberg, \"Seeing the Light,\" _New Republic_ 199, no. 14 (October 3, 1988), 35.\n\n159. Syberberg, _Hitler, a Film from Germany_, 19.\n\n160. Ibid., 61.\n\n161. Hans-J\u00fcrgen Syberberg, _Syberbergs Filmbuch_ (Munich: Nymphenburger Verlagshandlung, 1976), 243\u2013296. The concept of mourning work, derived from Freud's 1917 essay \"Mourning and Melancholia\" and Walter Benjamin's _The Origins of German Tragic Drama_ (1928), has been invoked in many critical essays on the film, especially Susan Sontag, \"Eye of the Storm,\" _New York Review of Books_ , February 21, 1980, 36\u201343; Thomas Elsaesser, \"Myth as the Phantasmagoria of History: H. J. Syberberg, Cinema, and Representation,\" _New German Critique_ 24\u201325 (Autumn 1981\u2013Winter 1982), 108\u2013154; and Eric L. Santner, _Stranded Objects: Mourning, Memory, and Film in Postwar Germany_ (Ithaca, NY: Cornell University Press, 1990), 103\u2013149.\n\n162. Sigmund Freud, \"Mourning and Melancholia,\" in _The Standard Edition of the Complete Psychological Works of Sigmund Freud_ , vol. 14 (London: Hogarth Press, 1974), 251.\n\n163. Syberberg, _Hitler, a Film from Germany_, 251.\n\n164. Esteban Buch, _Beethoven's Ninth: A Political History_ (Chicago: University of Chicago Press, 2003), 209\u2013210. Roger Hillman has also pointed out that the combination of Beethoven's Ninth Symphony and _Fidelio_ was requested by Goebbels for \"performances honoring Hitler's birthday in the last two prewar years\" (Roger Hillman, _Unsettling Scores: German Film, Music, and Ideology_ [Bloomington: Indiana University Press, 2005], 84).\n\n165. Interestingly, _Hitler, a Film from Germany_ does include a pair of structurally reversed zooms in the interior sections: a zoom out from a reproduction of the baby in Runge's _The Great Morning_ at the beginning of part two (\"A German Dream\") is mirrored by a zoom in on a craggy landscape at the beginning of part three (\"The End of a Winter's Tale\"). These reinforce the film's \"melancholic\" alternation between attraction and repulsion.\n\n166. Syberberg, _Hitler, a Film from Germany_, 310.\n\n167. Quoted in E. T. Kirby, ed., _Total Theatre_ (New York: Dutton, 1969), 207\u2013208.\n\n168. Antoine de Baecque and Jacques Parsi, _Conversations avec Manoel de Oliveira_ (Paris: Cahiers du cin\u00e9ma, 1996), 76\u201377.\n\n169. G\u00e9rard Lefort, \"Godard et Oliveira sortent ensemble,\" in _Jean-Luc Godard par Jean-Luc Godard,_ edited by Alain Bergala, vol. 2, _1984\u20131998_ (Paris: Cahiers du cin\u00e9ma, 1985), 270.\n\n170. The artistic affinities shared by Gance and Claudel are discussed in Antoinette Weber-Caflisch, \"Claudel, Gance, Val\u00e9ry: 1919\u20131929,\" _Bulletin de la Soci\u00e9t\u00e9 Paul Claudel_ 92 (1983), 24\u201332.\n\n171. In the notes for the beginning of Scene X of \"The Fourth Day,\" for example, Claudel writes, \"No music, but some well-spaced thumps of the big drum. The cinema may be used\" (Paul Claudel, _The Satin Slipper, or The Worst Is Not the Surest_ , translated by Fr. John O'Connor [New York: Sheed & Ward, 1945], 296).\n\n172. The full version of the play was first performed publicly at the Festival d'Avignon in 1987.\n\n173. Oliveira explores the impact of this messianic Sebastianism throughout Portuguese history in films such as _No, or the Vain Glory of Command_ (1990) and _The Fifth Empire_ (2004).\n\n174. Rodrigo makes this explicit when he says, \"I am fastened to the cross, but my cross is no longer fast to anything. It is floating on the sea, the free sea, away to that point where the limit of the known sky melts.\"\n\n### Chapter 2\n\n1. Thomas Carlyle, _On Heroes and Hero Worship, and the Heroic in History_ (London: World's Classics, 1920), 18. This quotation is included epigrammatically in Gregory Markopoulos' notes for _Eniaios_ (Gregory Markopoulos, _Chiron Notes_ , vol. 17, pages unnumbered). All references to _Chiron Notes, Cerberus, Ein Edelweiss_ , and _The Sovereignty of the Filmmaker as Physician_ refer to the bound volumes of the same names preserved at the Temenos Archive in Uster, Switzerland. Some of these volumes include page numbers, but most do not.\n\n2. Charles Baudelaire, _The Flowers of Evil_ , translated by James McGowan (Oxford: Oxford World's Classics, 1993), 151.\n\n3. In 2004, the first two and a half cycles were screened over three consecutive evenings. The entirety of cycle three was shown along with cycles four and five, again over three consecutive evenings, four years later. Unfortunately, because of printing problems, the last three reels of the fourth cycle could not be screened during the 2008 Temenos projections, but they were publicly presented at Yale University along with an earlier version of this chapter in April 2009. Cycles six, seven, and eight were presented in 2012.\n\n4. Stephen Koch, _Stargazer: The Life, World, and Films of Andy Warhol_ , rev. ed. (New York: Marion Boyars, 2002), 61. Koch continues:\n\n_Empire_ is a massive, absurd act of attention, attention that nobody could possibly want to give or sit through. Indeed, nothing could possibly tolerate it\u2014and here's the point\u2014but a machine, something that sees but cannot possibly care. The film completes Warhol's Duchampian dehumanization of the cinematic eye.\n\n5. Stan Brakhage, _Essential Brakhage_ (Kingston, NY: McPherson, 2001), 213.\n\n6. Markopoulos stayed with Brakhage at his home in Colorado during the period in which _The Art of Vision_ was being edited and later dedicated _Ming Green_ (1966) to him. They continued a warm and lengthy correspondence until at least 1974, often discussing their current projects in great detail.\n\n7. P. Adams Sitney, _Eyes Upside Down: Visionary Filmmakers and the Heritage of Emerson_ (Oxford: Oxford University Press, 2008), 76.\n\n8. Frampton's \"For a Metahistory of Film: Commonplace Notes and Hypotheses\" was first printed in the September 1971 issue of _Artforum_ (32\u201335). It was subsequently reprinted in Hollis Frampton, _Circles of Confusion: Film-Photography-Video Texts, 1968\u20131980_ (Rochester, NY: Visual Studies Workshop Press, 1983), 109\u2013116. Frampton refers to this text as the start of _Magellan_ in Bill Simon, \"Talking about Magellan: An Interview with Hollis Frampton,\" _Millennium Film Journal_ 7\u20139 (Fall\u2013Winter 1980\u20131981), 15.\n\n9. Frampton, _Circles of Confusion_, 116.\n\n10. Simon, \"Talking about Magellan,\" 9.\n\n11. Ibid., 11\u201315.\n\n12. Jonas Mekas called _Twice a Man_ the greatest film of 1963 in \"An Interview with Markopoulos,\" _Village Voice_ , October 10, 1963, 17\u201318. He later wrote with equal enthusiasm about _Galaxie_ (1966), _The Illiac Passion_ (1967), and _Himself as Herself_ (1967), which he called \"a perfect one-character novel... as perfect stylistically, as, say, Flaubert or Stendhal was\" (\"An Interview with Gregory Markopoulos on _Himself as Herself_ ,\" _Village Voice_ , February 2, 1967, 15).\n\n13. Nietzsche's letter is from January 21, 1887, and is quoted in Bryan Magee, _The Tristan Chord_ (New York: Henry Holt, 2000), 325.\n\n14. That Mekas also used this same piece of music in the section of his autobiographical \"odyssey\" _Lost, Lost, Lost_ (1976) entitled \"On the Outskirts of New York,\" as he is completing his journey into the United States, reinforces these implications. Mekas returns almost obsessively to _Parsifal_ in his post-1960s work; the overture is also used at both the beginning and near the end of _He Stands in a Desert Counting the Seconds of His Life_ (1985). In the latter instance, it is tellingly accompanied by the text, \"It's not lost yet...\"\n\n15. Gregory Markopoulos, _Boustrophedon_ (Florence: Temenos, 1977), 22. Markopoulos' comments in an unpublished letter to Robert Freeman on November 26, 1972, are typical of his thoughts on this subject: \"The foundations are simply interested in a form of urban development in which an artist's work becomes a commodity for the spectator, become the consumer. One need only think of Lincoln Center, and other disasters. No interest is taken in the structure and what it should contain\u2014it is simply made gigantic, and does not serve the art form it must contain\" (Markopoulos, _Cerberus_ , vol. 19).\n\n16. Markopoulos, _Boustrophedon_, 60.\n\n17. Ibid., 74.\n\n18. Markopoulos speaks of his decision to select Greece as the site of his Temenos in _Boustrophedon_ , 100. The goals of the Temenos presentations are outlined in a 1980 grant application included in _Cerberus_ , vol. 25.\n\n19. Markopoulos first begins discussing the idea of his own projection space in 1967 and mentions the Temenos in his diaries in 1969 ( _Ein Edelweiss_ , vol. 22). The word first appears in print in one of his essays, \"The Redeeming of the Contrary,\" written in 1971 and first published in _Film Culture_ 52 (Spring 1971), 13\u201319.\n\n20. The letter to Clara Hoover (dated March 2, 1968) is included in _Cerberus_ , 7:2304. The operas are also mentioned in a letter to Brakhage from Brussels dated March 8, 1968 ( _Cerberus_ , 7:2324).\n\n21. In a letter to Robert Freeman dated November 8, 1967, Markopoulos remarks that one of the things that struck him most during his first attendance at a performance of a Wagner opera was the fact that the \"orchestra was hidden\" (Markopoulos, _Cerberus_ , 6:1765). He repeatedly expresses his belief that the projector should be invisible in subsequent letters.\n\n22. \"Gregory Markopoulos: A Solemn Pause...,\" in _New York Filmmakers Newsletter_ 5, no. 3 (January 1972), 58. Markopoulos mentions the Doge's Palazzo to Robert Freeman in a letter from October 7, 1973, writing, \"It may be part design for the projection space of the Temenos\u2014though Temenos where? Where? Who will do it?\" ( _Cerberus_ , vol. 21).\n\n23. Goethe, \"On German Architecture,\" in _Goethe's Literary Essays_ , edited and translated by J. E. Springarn (New York: Frederick Ungar, 1964), 7. In _The Genius of Christianity_ (1802), Chateaubriand developed similar ideas in a French context:\n\nThe forests were the first temples of the Divinity, and in them men acquired the first idea of architecture.... The forests of Gaul were, in their turn, introduced into the temples of our ancestors, and those celebrated woods of oaks thus maintained their sacred character. Those ceilings sculptured into foliage of different kinds, those buttresses which prop the walls and terminate abruptly like the broken trunks of trees, the coolness of the vaults, the darkness of the sanctuary, the dim twilight of the aisles, the secret passages, the low doorways,\u2014in a word, every thing in a Gothic church reminds you of the labyrinths of a wood; every thing excited a feeling of religious awe, of mystery, and of the Divinity. (Chateaubriand, _The Genius of Christianity_ , translated by Charles I. White [Baltimore: John Murphy, 1875], 386)\n\n24. Sergei Eisenstein, _Nonindifferent Nature_ , translated by Herbert Marshall (Cambridge: Cambridge University Press, 1987), 355\u2013357.\n\n25. Ibid., 216\u2013217.\n\n26. In his collected writings, Markopoulos repeatedly tries to distance himself from Eisenstein, but does admit to a grudging respect for _Ivan the Terrible_ (see, for example, Markopoulos, _Boustrophedon_, 18). He denies the influence of Eisenstein in at least two interviews: \"Question-and-Answer Session with Gregory Markopoulos Following a Screening of _The Illiac Passion_ in Brussels, Early 1968,\" in _Gregory J. Markopoulos: Mythic Themes, Portraiture, and Films of Place_ , edited by John G. Hanhardt and Matthew Yokobosky (New York: Whitney Museum of American Art, 1996), 98\u2013106; and \"Special Events Program: Interview with Gregory J. Markopoulos,\" Radio Free Europe, May 10, 1966 (transcript held at Anthology Film Archives). The emphatic nature of Markopoulos' statements suggests the possibility of an \"anxiety of influence\" on his part.\n\n27. Markopoulos attributes many of his formal experiments to his enthusiasm for von Sternberg's work, writing:\n\nIt is significant to set down that during the final production days of _Psyche_ I was fortunate in arranging a private projection at Paramount Studios of Josef von Sternberg's masterworks, _The Scarlett Empress_ [1934] and _The Devil is a Woman_[1935]. My unbounded and ardent zeal for these works permitted me to stray farther afield from the conventional unspontaneous manners of narrative description for the film spectator. (Gregory Markopoulos, _Chaos Phaos_ [Florence: Temenos, 1971], 2:14\u201315)\n\nAlthough he does not mention it, the use of multiple superimpositions and mirror reversals at the end of _The Scarlett Empress_ creates a sensory effect very similar to Markopoulos' work of the 1960s (the interlacing of religious paintings, for example, anticipates some of the visual strategies of _Bliss_ ).\n\n28. According to P. Adams Sitney, the images in _Psyche_ are onscreen for around one second; in _Swain_ , they last for between one-eighth and one-third of a second (three to eight frames). In _Twice a Man_ , by contrast, each of the seventy-seven shots included in the final recapitulation is only two frames long (P. Adams Sitney, _Visionary Film_ , 3rd ed. [Oxford: Oxford University Press, 2001], 130\u2013134).\n\n29. In \"Special Events Program: Interview with Gregory Markopoulos,\" Markopoulos said that he was interested in Resnais' films, especially _Last Year at Marienbad_ (1961), but had not been influenced by them.\n\n30. Markopoulos, _Chaos Phaos_ , 2:7.\n\n31. Ibid., 75.\n\n32. Markopoulos, _Boustrophedon_, 81.\n\n33. Markopoulos, _Chaos Phaos_ , 2:18.\n\n34. Markopoulos includes a detailed diagram of this process along with a transcription of the first twenty shots of _Twice a Man_ (including frame counts) in ibid., 15\u201316. In this, the structure of his writing resembles that of Eisenstein, who frequently provided frame-by-frame analyses of his films in his theoretical essays.\n\n35. Ibid.\n\n36. Markopoulos' screening notes for the premiere of the film (a copy of which is in the collection of Anthology Film Archives) include his observation that \" _The Illiac Passion_ retells the passions of one man, the figure who crosses Brooklyn Bridge at the beginning of the film, comes to the Mother Muse, then proceeds to the forest in the tradition of, say, all heroes, perhaps, Zarathustra, and there under an apple tree communes with his selves.\" He then provides a detailed cast list associating actors and deities.\n\n37. Ibid.\n\n38. The Markopoulos quote is from Gregory Markopoulos, _Quest for Serenity: Journey of a Film-Maker_ (New York: Filmmakers Cinematheque, 1965), 31. The Shelley quote is from act 3, line 195 of _Prometheus Unbound_.\n\n39. Markopoulos held a steady job at Brentano's Books in New York until 1962, after which he decided to devote himself entirely to his filmmaking. Although he tried repeatedly to secure the long-term support of various patrons, he was frequently without money, and his turn toward in-camera editing, small-scale filmmaking, and the separation of figure and ground was also a move away from the costly, epic form of _The Illiac Passion._ A similar confluence of personal, financial, and aesthetic factors informed Brakhage's contemporaneous decision to begin making his 8mm _Songs_ (1965\u20131969) immediately after completing _The Art of Vision_.\n\n40. Markopoulos, _Chaos Phaos_ , 3:98\u201399.\n\n41. For _The Divine Damnation_ (1968), Markopoulos went so far as to shoot the locations and the human subjects separately.\n\n42. Portraiture had become a major focus of American avant-garde filmmaking at precisely this moment, when Andy Warhol was continuing his ongoing series of ironic, single-shot portraits taken from a fixed camera position and Stan Brakhage was beginning work on his _Songs_. The differences in the treatment of portraiture by Markopoulos and Brakhage are evident by comparing their respective portraits of Jonas Mekas, completed at almost the same time (Brakhage's is included in _Fifteen Song Traits_ , 1965). Characteristically, Brakhage attempts to convey a sense of the dynamism of the subject by cutting rapidly between brief shots of Mekas' hands and face, and alternating these with cropped shots of him on the phone. Whereas Brakhage's emphasis is on the fluidity of vision and selfhood, the combination of precisely composed, lushly lit images and the inclusion of symbolic objects turns Markopoulos' portrait films into studies of psychological essences (an interest he shared with von Stroheim).\n\n43. Gregory J. Markopoulos, \"Adventures with _Bliss_ in Roma,\" _Prisma_ 2, no. 4 (1969), 35.\n\n44. St. Demetrius is remembered as a military martyr who, according to tradition, protected the city of Thessaloniki from invasion by pagan forces in the fourth century. He later became, along with St. George, one of the patron saints of the Crusades. Markopoulos identifies one of the paintings as depicting \"the Virgin Mary embracing St. Anne\" (ibid.).\n\n45. The \"local\" elements are signified, above all, by the braying goats shown outside the church in the early part of the film and on the soundtrack at several crucial junctures. Through Markopoulos' editing, these sounds are linked to the light passing through the church above the altar at the end of the film, which has clear religious implications.\n\n46. Rainer Maria Rilke, _The Notebooks of Malte Laurids Brigge_ , translated by M. D. Herter Norton (New York: W.W. Norton, 1964), 209.\n\n47. Markopoulos, _Ein Edelweiss_ , vol. 19, entry dated May 19, 1967. Decades later, during the final stages of work on _Eniaios_ in 1988, Markopoulos reads Charles Sherrington's landmark psychology text, _The Integrative Action of the Nervous System_ (Cambridge: Cambridge University Press, 1952), and argues that the insertion of white leader provides a \"catharsis\" for the viewer whose nerves have been stimulated by the flashes of imagery ( _Chiron Notes_ , vol. 20, entry dated February 8, 1988).\n\n48. In a letter to Stan Brakhage on March 24, 1968, Markopoulos explains that _The Mysteries_ was made \"Inbetween [ _sic_ ]\" the difficult production of his two operas ( _Cerberus_ , 7:2386).\n\n49. A plan for each of the cycles of _Eniaios_ , with the sequencing of the films delineated, is available at the Temenos Archive. Sections from the original _Twice a Man_ were incorporated into cycles four, eight, fifteen, and nineteen.\n\n50. Markopoulos, _Boustrophedon_, 83.\n\n51. In the essay \"Institutions, Customs, Landscapes,\" Markopoulos wrote, \"Today, one is tempted to admit that the future of civilization rests simply upon the conveyance of images similar to the Egyptian hieroglyphics\" ( _Chaos Phaos_ , 3:71). He then includes a definition, taken from the _Columbia Encyclopedia_ , of \"hieroglyphics\" as \"conventionalized pictures used chiefly to represent meanings that seem arbitrary and are seldom obvious\" and describes their three functions as those of the \"ideogram,\" \"phonogram,\" and \"determinant.\" Certain images in _Eniaios_ suggest each of these categories, and his use of these terms is related to his insistence that picture narratives ontologically precede verbal ones.\n\nMarkopoulos was not alone in reviving the idea of the cinematic hieroglyph in this period. Experimental animator Harry Smith declared in 1971 that film frames \"are hieroglyphs, even when they look like actuality. You should think of the individual film frame, always, as a glyph, and then you'll understand what cinema is about\" (quoted in Sitney, _Visionary Film_ , 257).\n\n52. Markopoulos, _Cerberus_ , vol. 16.\n\n53. These similarities extend even to some of their compulsive habits. Both Markopoulos and Gance were prolific self-chroniclers, filling volume after volume with precisely dated (and sometimes even timed) entries containing philosophical ideas as well as personal details.\n\n54. Diagrams of a double- and triple-screen version of _Psyche_ are included in _Chiron Notes_ , vol. 3.\n\n55. Letter to Robert Freeman from Gregory Markopoulos, dated March 19, 1973 ( _Cerberus_ , vol. 20).\n\n56. Markopoulos, _Chiron Notes_ , vol. 2, dated October 4, 1983.\n\n57. As Markopoulos writes in a 1986 prose poem entitled \"Fundamen\" in _The Sovereignty of the Filmmaker as Physician_ , vol. 7: \"Image, what Image is heard? In or within the image; spoken images\" (11). This is echoed on the following page: \"Silence, what silence is heard? In or within the image, spoken silence\" (12).\n\n58. Gregory Markopoulos, \"Unification of the Frame,\" in _The Sovereignty of the Filmmaker as Physician_ , 7:3. The title of the text alludes, among other things, to the reunification of Germany, which Markopoulos refers to in the opening sentence: \"The beginning of the motion picture was like the unification of Germany, today; _today_ , for I write on the day of the unification\" (1).\n\n59. Markopoulos, _Cerberus_ , 7:2336.\n\n60. Markopoulos, _Boustrophedon_, 49.\n\n61. Markopoulos, _Chaos Phaos_ , 3:92.\n\n62. Markopoulos, _Boustrophedon_ , 77\u201393.\n\n63. Karl Kerenyi, _Prometheus: Archetypal Image of Human Existence_ (New York: Pantheon Books, 1963).\n\n64. For example, in a 1957 diary entry included in the book _Quest for Serenity_ , Markopoulos writes, \"Prometheus, like the Buddhisattva [ _sic_ ], appears and a miraculous Lotus springs out of the earth, and he seats himself thereon, and takes in all the world at a glance\" (31). Similarly, in an unpublished 1964 notebook ( _Prometheus_ , vol. 1), Markopoulos writes that in introducing Prometheus, who had taken on \"all the world's disorders, so he may mirror them himself, so see himself\u2014all his contours,\" he should \"use Mudra Patterns and [the] gestures of Japanese Buddhist sculptures.\" There are also references to passages from the Koran as well as countless sourcebooks on Greek mythology.\n\nIt is difficult to determine whether or not Markopoulos read the Graves or Campbell books upon their initial publication because the notes from that period no longer exist. He did, however, refer to Graves in the _Prometheus_ notebooks.\n\n65. In his 1841 essay \"History,\" Emerson interpreted Prometheus as the symbol of intellectual independence and self-actualization:\n\nThe beautiful fables of the Greeks, being proper creations of the imagination and not of the fancy, are universal verities. What a range of meanings and what perpetual pertinence has the story of Prometheus!... Prometheus is the Jesus of the old mythology. He is the friend of man; stands between the unjust \"justice\" of the Eternal Father and the race of mortals, and readily suffers all things on their account. But where it departs from the Calvinistic Christianity and exhibits him as the defier of Jove, it represents a state of mind which readily appears wherever the doctrine of Theism is taught in a crude, objective form, and which seeks the self-defence of man against this untruth, namely a discontent with the believed fact that a God exists, and a feeling that the obligation of reverence is onerous. It would steal if it could the fire of the Creator, and live apart from him and independent of him. The Prometheus Vinctus is the romance of skepticism. (Ralph Waldo Emerson, _Essays and Lectures_ [New York: Library of America, 1983], 251)\n\nOn the progressive Prometheanism of Shelley, see the analysis of _Prometheus Unbound_ in David S. Ferris, _Silent Urns: Hellenism, Romanticism, Modernity_ (Stanford: Stanford University Press, 2000), 134\u2013157.\n\n66. Markopoulos, _Boustrophedon_, 63.\n\n67. Narcissus assumes a prominent role in much of the poetry of Val\u00e9ry, and he wrote about the myth explicitly in at least three poems: \"Narcisse parle\" (1890), \"Fragments du Narcisse\" (1922), and finally the \"Cantate de Narcisse\" (1938). In these works, Narcissus is portrayed as the embodiment of absolute beauty, and his self-regard is considered in wholly aesthetic terms. Mallarm\u00e9's unfinished _H\u00e9rodiade_ uses the Narcissus myth in a similar fashion. In conversation with a nurse, for example, Herodias responds to the question, \"For whom would you, consumed by pangs, keep the unknown splendor and the vain mystery of your being?\" by saying simply, \"For myself alone\" (\"Herodias\u2014Scene,\" in St\u00e9phane Mallarm\u00e9, _Collected Poems and Other Verse_ , translated by E. H. Blackmore and A. M. Blackmore [Oxford: Oxford University Press, 2006], 34\u201335). Andr\u00e9 Gide's _Le Trait\u00e9 du narcisse_ (1891) is also in this tradition, and a copy is visible on Markopoulos' bookshelf in _Ming Green_.\n\n68. The homoerotic and \"queer\" underpinnings of this treatment of Narcissus are addressed in Steven Bruhm, ed., _Reflecting Narcissus: A Queer Aesthetic_ (Minneapolis: University of Minnesota Press, 2001).\n\n69. Friedrich Schlegel, _Philosophical Fragments_ , translated by Peter Firchow (Minneapolis: University of Minnesota Press, 1991), 35.\n\n70. For authors like Plotinus (and St. Augustine), images are perceived when rays projected by the eyes intersect with external objects.\n\nMarkopoulos appears to have had limited knowledge of Heidegger's work at the time he wrote this essay. His interest deepened considerably after reading John Sallis' _Delimitations: Phenomenology and the End of Metaphysics_ (Bloomington: Indiana University Press, 1986), a book he heavily annotated. On a page in which Sallis discusses \"the thematization of understanding as projection ( _Entwurf_ ),\" he quotes Heidegger's _Being and Time_ (1927): \" _Dasein_ [\"being-in-the-world\"] has, as _Dasein_ , always already projected itself: and as long as it is, it is projecting. As long as it is, _Dasein_ always has understood itself and always will understand itself from possibilities\" (123). In the margins, Markopoulos wrote \"use for film orchestration.\" When Sallis writes, elsewhere on the page, \" _From_ these possibilities _Dasein_ is, in turn, given back to itself, disclosed to itself,\" Markopoulos again makes a comparison with his film work, \"as in film from end to beginning\" (123). Later, in _Chiron Notes_ , vol. 24, Markopoulos links Heidegger's 1935 essay \"The Origin of the Work of Art\" to \"The origins of the _Eniaios_.\"\n\nIn this sense, the triangulation in Markopoulos' essay could be related to the idea of _Dasein_ as a thrown projection onto the external surface of the world that extends out from the self and is then reflected back upon it (as if it bounced off of a screen).\n\n71. Markopoulos refers to line 121 of Euripides' _Hippolytus_ , and the Asclepius Rock is mentioned in line 1209.\n\n72. Euripides, _Hippolytus_ , lines 131\u2013140.\n\n73. Robin Mitchell-Boyask, _Plague and the Athenian Imagination: Drama, History, and the Cult of Asclepius_ (Cambridge: Cambridge University Press, 2008), 45\u201355.\n\n74. J. J. Pollitt, _Art and Experience in Classical Greece_ (Cambridge: Cambridge University Press, 1972), 124\u2013126.\n\n75. Karl Kerenyi, _Asklepios: Archetypal Image of the Physician's Existence_ (Princeton, NJ: Princeton University Press, 1959), 29\u201332. In a tradition not alluded to in the Euripides play, Asclepius eventually brings about the resurrection of Hippolytus. It is this legend that informs Markopoulos' _Twice a Man_ (the title stems from the fact that the resurrected Hippolytus is referred to as \"Twice Born\"). It may also be relevant in this context that Aeschylus attributes the origins of Greek medicine to Prometheus in _Prometheus Bound_ (lines 691\u2013702 in the James Scully and C. John Herington translation [Oxford: Oxford University Press, 1975]).\n\n76. The number of bright white flashes between images apparently represents a corresponding letter in the Greek alphabet (with one flash equaling alpha, two equaling beta, etc.). According to Robert Beavers, the dedication spelled out by these flashes would translate into English as \"The Soul of the Eyes.\"\n\n77. Ovid, _Metamorphoses_ , Book IX, lines 338\u2013406.\n\n78. Oswald Spengler, _The Decline of the West_ , translated by Charles Francis Atkinson, vol. 1 (New York: Alfred A. Knopf, 1966), 61. This passage is marked in Markopoulos' copy of the book, which he read in 1966 (as indicated in the frontispiece).\n\n79. While editing _Eniaios_ , Markopoulos highlighted a passage in Carl Dalhaus' _Richard Wagner's Music Dramas_ in which Dalhaus writes that \"the _Leitmotiv_ technique emerges not simply to send narrative signals to the audience, but as a means of musical organization that replaces periodic structure\" ( _Richard Wagner's Music Dramas_ [Cambridge: Cambridge University Press, 1979], 224).\n\n80. According to his work notebooks, Markopoulos decided to treat _Eniaios_ as a series of cycles rather than a single film on May 10, 1983 ( _Chiron Notes_ , vol. 2). In a subsequent entry, on the evening of October 4, 1983, he wrote, \"A projection should be devoted (a) to 1 day, or, if necessary, to many days\" ( _Chiron Notes_ , vol. 2). The eighty-hour length of the film he finished nearly a decade later obviously dictated that the cycles be broken up over many days.\n\n81. A subsequent generation of ambitious avant-garde filmmakers has followed this model, producing extensive series films over the course of several decades that are loosely linked to their own autobiographies. Andrew Noren, for example, has described his ongoing _Adventures of the Exquisite Corpse_ series as\n\nan extended visual music, by now many hours long. Themes and variations, first stated long ago in the first parts of the work, continue on through the work as a whole. With each part these themes are refined and transmuted, gathering depth and complexity as the work goes on. They appear, disappear, echo, and reverberate from part to part, in both rhyme and disjuncture. New themes and variations are added all the time, as mind goes through life and life goes through mind, adding to the complexity. (Laurence Kardish, \"An Interview with Andrew Noren,\" distributed by the Museum of Modern Art to accompany the retrospective program \"What the Light Was Like,\" October 21\u201325, 2009)\n\nMuch of what Noren says here is particular to his own project, but his description of the process of making an ever-expanding series film is paradigmatic. Canadian filmmaker R. Bruce Elder's Poundian film cycle, _The Book of All the Dead_ (1975\u20131994, approximately forty-two hours long), is one of the few contemporary projects that could be compared with the extended structural form Markopoulos developed in _Eniaios_ , although its overall design is closer to that of Frampton's _Magellan_.\n\n82. Kahnweiler, who was eighty-six when the film was shot, was the most important patron of Picasso and Braque and was the subject of two major portraits by the former. \u00c9douard Roditi was an American poet and translator who also conducted interviews with a number of major modernist artists that were collected into _Dialogues on Art_ (London: Secker and Warburg, 1960). Barbara Hepworth was one of the preeminent modernist sculptors of her generation.\n\n83. \"Gregory Markopoulos: A Solemn Pause,\" 58.\n\n84. This series of paintings is discussed in detail in Michael R. Taylor, ed., _Giorgio de Chirico and the Myth of Ariadne_ (London: Merrell, 2002).\n\n85. The connection between Ariadne and Arachne in Ruskin's work is discussed in J. Hillis Miller, \"Ariadne's Thread: Repetition and the Narrative Line,\" _Critical Inquiry_ 3, no. 1 (Autumn 1976), 56\u201377 (Markopoulos appears to have read this article; see _Chiron Notes_ , vol. 25).\n\n86. Jeffrey Stout, \"All Mean Egotism Vanishes,\" lecture delivered at Princeton University, November 16, 2007.\n\n87. Pavel Florensky, _Iconostasis_ , translated by Olga Andrejev (Crestwood, NY: Oakwood Publications, 1996), 63. My treatment of these issues is informed by conversations with Jeffrey Stout after the 2008 Temenos screenings.\n\n88. In Markopoulos' production notebooks, _Eniaios_ is defined as meaning \"single, unitary,\" and it is used elsewhere to refer to a sort of all-encompassing wholeness ( _Chiron Notes_ , vol. 6).\n\n89. \"Gregory Markopoulos: A Solemn Pause,\" 59.\n\n90. Kerenyi, _Asklepios_, 61.\n\n91. The Greek title is _\u03a4\u039f \u039c\u0395\u0393\u0391 \u03a7\u0391\u03a3\u039c\u0391_. The title is probably an allusion to a passage in Heidegger's _Introduction to Metaphysics_:\n\nOnly with the sophists and Plato was seeming explained as, and thus reduced to, mere seeming. At the same time, Being as _idea_ was elevated to a supersensory realm. The chasm, _khorismos_ , was torn open between the merely apparent beings here below and the real Being somewhere up there. (Martin Heidegger, _Introduction to Metaphysics_ , translated by Gregory Fried and Richard Polt [New Haven: Yale Nota Bene, 2000], 111)\n\n92. J. J. Pollitt links the sculptures used to decorate the temple built for Asclepius at Epidaurus to the shift from an aesthetic of _ethos_ to one of _pathos_ (Pollitt, _Art and Experience_ , 143\u2013146). My interpretation of the excerpts of _The Mysteries_ used at this juncture is at least indirectly supported by Markopoulos' comments on the film. In his notes on C. M. Woodhouse's book _George Gemistos Plethon: The Last of the Hellenes_ (Oxford: Oxford University Press, 1986), Markopoulos compares \"'the doctrine of the immortality of the soul' through the [Eleusinian] Mysteries\" to \" _The Mysteries_ , with its particular ending\/meaning,\" and also alludes to an \"Eleusinian Mysteries\" grouping elsewhere in _Eniaios_ ( _Chiron Notes_ , vol. 22).\n\n### Chapter 3\n\n1. Jacques Aumont, Jean-Louis Comolli, Jean Narboni, and Sylvie Pierre, \"Time Overflowing,\" translated by Amy Gateff, in _Rivette: Texts and Interviews_ , edited by Jonathan Rosenbaum (London: British Film Institute, 1977), 37.\n\n2. This issue, no. 153, was one of the first edited by Jacques Rivette.\n\n3. Aumont et al., \"Time Overflowing,\" 34.\n\n4. Jonathan Rosenbaum, Rivette's most steadfast partisan in the English language, is also the foremost advocate for this interpretation of his work, in pieces such as \"Work and Play in the House of Fiction: On Jacques Rivette,\" _Sight and Sound_ 43, no. 4 (Autumn 1974), 190\u2013194, and \" _Tih-Minh, Out 1_ : On the Nonreception of Two French Serials,\" _Velvet Light Trap_ 37 (Spring 1996), 58\u201365. More recently, B. Kite has referred to \"the liberating potentials and revolutionary energies of play\" in \"Jacques Rivette and the Other Place, Track One,\" _Cinema Scope_ 30 (Spring 2007), 17.\n\n5. Robin Wood, \"Narrative Pleasure: Two Films of Jacques Rivette,\" _Film Quarterly_ 35, no. 1 (Autumn 1981), 3.\n\n6. See, for example, the chapter \" _La R\u00e8gle du jeu_ : Games and Play,\" in Douglas Morrey and Alison Smith, _Jacques Rivette_ (Manchester: Manchester University Press, 2009), 117\u2013146.\n\n7. Bernard Eisenschitz, Jean-Andr\u00e9 Fieschi, and Eduardo de Gregorio, \"Interview on _Out_ ,\" translated by Tom Milne in Rosenbaum, _Rivette: Texts and Interviews_ , 49. In an interview included in the documentary _The Mysteries of Paris_ (Robert Fischer and Wilfried Reichart, 2015), cinematographer Pierre-William Glenn, who shot _Out 1_ , made similar comments: \"All the scenes where the characters are on their own remind me of being in church. I felt as if I was at Mass, watching the actors express themselves. It was as if we were filming some sort of ritual.... Rivette holds great store by ritual. He's always held great store by it.\"\n\n8. _Pericles_ is the central play in _Paris Belongs to Us, Andromaque_ is rehearsed in _L'Amour fou_ , and the two Aeschylus plays are performed by rival theater troupes in both the thirteen-hour (1971) and the five-hour ( _Spectre_ , 1974) versions of _Out 1_.\n\n9. In \"The Genius of Howard Hawks,\" Rivette wrote that in these comedies, there is a repetition of \"the same actions, endlessly recurring, which Hawks builds up with the persistence of a maniac and the patience of a man obsessed, suddenly whirl madly about, as if at the mercy of a capricious maelstrom\" (Jacques Rivette, \"The Genius of Howard Hawks,\" in _Cahiers du cin\u00e9ma: The 1950s_ , edited by Jim Hillier [Cambridge, MA: Harvard University Press, 1985], 129). _Monkey Business_ (Hawks, 1952) is the best postwar example, although it is equally true of _Gentlemen Prefer Blondes_ (Hawks, 1953) and _I Was a Male War Bride_ (Hawks, 1949).\n\n10. Jacques Rivette, in conversation with Serge Daney in _Jacques Rivette, le veilleur_ (Claire Denis, 1990). The title of this section comes from part of Jacques Rivette's contribution to \"Bio-filmographie de Jean Renoir,\" edited by Andr\u00e9 Bazin, _Cahiers du cin\u00e9ma_ 78 (Christmas 1957), 82.\n\n11. Jacques Rivette, \"The Hand,\" translated by Tom Milne, in Rosenbaum, _Rivette: Texts and Interviews_ , 65\u201368.\n\n12. Jacques Rivette, \"Letter on Rossellini,\" translated by Tom Milne in ibid., 64.\n\n13. Jacques Rivette, \"L'Art de la fugue,\" _Cahiers du cin\u00e9ma_ 27 (August\u2013September 1953), 50; Jacques Rivette, \"De l'invention,\" _Cahiers du cin\u00e9ma_ 27 (October 1953), 60.\n\n14. Rivette's most explicit comments in this vein are in the \"Letter on Rossellini\":\n\nRossellini, however, is not merely Christian, but Catholic; in other words, carnal to the point of scandal; one recalls the outrage over _The Miracle_ [included in the two-part film _L'Amore_ , Roberto Rossellini, 1948]; but Catholicism is by vocation a scandalous religion; the fact that our body, like Christ's, also plays its part in the divine mystery is something hardly to everyone's taste, and in this creed which makes the presence of the flesh one of its dogmas, there is a concrete meaning, weighty, almost sensual, to flesh and matter that is highly repugnant to chaste spirits: their \"intellectual evolution\" no longer permits them to participate in mysteries as gross as this.... Rossellini has the eye of a modern, but also the spirit; he is more modern than any of us; and Catholicism is still as modern as anything. (Rivette, \"Letter on Rossellini,\" 63)\n\nRivette would briefly be censured by the church for making _The Nun_ , but there is little in that film, or any of Rivette's subsequent works, to indicate that he would retract these claims about the nature of Catholicism.\n\n15. Ibid., 54.\n\n16. Jacques Rivette, \"Notes on a Revolution,\" in Hillier, _Cahiers du cin\u00e9ma_ , 95.\n\n17. Ibid., 96. The Triangle Film Corporation was an early American studio founded in the summer of 1915 by D. W. Griffith's partner Harry Aitken and his brother Roy. Griffith was one of the key producer-directors, along with Thomas Ince and Mack Sennett, and the stars under contract included Douglas Fairbanks, Lillian Gish, Mary Pickford, and \"Fatty\" Arbuckle. By the end of the 1910s, the studios were purchased by Samuel Goldwyn as part of the Goldwyn Pictures Corporation, one of the rising \"Hollywood\" powers (in 1924, the Goldwyn Pictures Corporation merged with the Metro Pictures Corporation and Louis B. Mayer Pictures to form MGM).\n\n18. Jacques Rivette, \"Nous ne sommes plus innocents,\" in H\u00e9lene Frappat, _Jacques Rivette, secret compris_ (Paris: Cahiers du cin\u00e9ma, 2001), 67.\n\n19. Ibid., 68.\n\n20. Louis Marcorelles, \"Interview: Roger Leenhardt with Jacques Rivette,\" _Sight and Sound_ 32, no. 4 (Autumn 1963), 173.\n\n21. Although it was not completed until 1960, Rivette began actively planning _Paris Belongs to Us_ in 1956 (in \"Time Overflowing,\" he attributes its origins to \"the Budapest crisis,\" Aumont et al., \"Time Overflowing,\" 26) and shot it piecemeal from the summer of 1958 through 1959, largely using borrowed film stock. By the time _Paris Belongs to Us_was released, important films by Claude Chabrol, \u00c9ric Rohmer, Fran\u00e7ois Truffaut, Jean-Luc Godard, and others had already announced the emergence of the \"New Wave,\" but it was nevertheless one of the first features by any of the critics associated with _Cahiers du cin\u00e9ma_ to begin production.\n\n22. Rivette reflexively addresses aspects of his method when G\u00e9rard explains his motivations for trying to direct _Pericles_ :\n\nEveryone says I'm crazy... but the reason I want to stage it is because it's \"unplayable.\" It's shreds and patches, yet it hangs together over all. Pericles may traverse kingdoms, the heroes are dispersed, yet they can't escape, they're all reunited in act five. I want to show that.... But we must try to make people understand it. It shows a chaotic but not absurd world, rather like our own, flying off in all directions, but with a purpose. Only we do not know what.... I'm counting on the music [to make that clear].\n\n23. \"Conf\u00e9rence de presse (extraits): Jacques Rivette,\" _Cahiers du cin\u00e9ma_ 445 (June 1991), 34.\n\n24. Rivette continues:\n\nStravinsky systematically uses contrasts and simultaneously, at the very point where they are used, he brings into relief what it is that unites them. The principle of Stravinsky's music is the perpetual rupture of the rhythm. The great novelty of _The Rite of Spring_ [1913] was its being the first musical work where the rhythm was systematically varied. Within the field of rhythm, not tone, it was already almost serial music, made up of rhythmical oppositions, structures and series. And I get the impression that this is what Resnais is aiming at when he cuts together four tracking shots, then suddenly a static shot, two static shots and back to a tracking shot. Within the juxtaposition of static and tracking shots he tries to find what unites them. In other words he is seeking simultaneously an effect of opposition and an effect of profound unity. (Jean Domarchi, Jacques Doniol-Valcroze, Jean-Luc Godard, Pierre Kast, Jacques Rivette, and \u00c9ric Rohmer, \"Hiroshima, notre amour,\" in Hillier, _Cahiers du cin\u00e9ma_ , 66)\n\n25. Andr\u00e9 S. Labarthe, \"Comment peut-on \u00eatre moderne?\" in _La Nouvelle Vague_ , edited by Antoine de Baecque and Charles Tesson (Paris: Cahiers du cin\u00e9ma, 1999), 14.\n\n26. Jacques Rivette, \"Revoir Verdoux,\" _Cahiers du cin\u00e9ma_ 146 (January 1963), 43. Rivette regularly attended concerts by Boulez in this period, and his interview was published in 1964: Jacques Rivette and Fran\u00e7ois Weyergans, \"Entretien avec Pierre Boulez,\" _Cahiers du cin\u00e9ma_ 152 (February 1964), 19\u201329.\n\n27. The comments about Mizoguchi are in Jonathan Rosenbaum, Lauren Sedofsky, and Gilbert Adair, \"Phantom Interviewers over Rivette,\" _Film Comment_ 10, no. 5 (September\u2013October 1974), 24. His claims about Boulez are in Aumont et al., \"Time Overflowing,\" 29.\n\n28. _The Nun_ premiered at the Cannes Film Festival in 1966 but was then banned for over a year. The film was finally released commercially in July 1967.\n\n29. Rosenbaum, Sedofsky, and Adair, \"Phantom Interviewers over Rivette,\" 24. Cinematographer Charles Bitsch described Rivette's enthusiasm for _The Golden Coach_ in Frappat, _Jacques Rivette, secret compris_ , 57.\n\n30. Carlos Clarens and Edgardo Cozarinsky, \"Jacques Rivette,\" _Sight and Sound_ 43, no. 4 (Autumn 1974), 195. Paulhan's \"Braque le patron\" is translated by \u00c9ric Trudel in _GeorgeBraque and the Cubist Still Life: 1928\u20131945_, edited by Karen K. Butler (Munich: Prestel, 2013), 201\u2013216.\n\n31. Edgar Morin, \"Pour un nouveau cin\u00e9ma v\u00e9rit\u00e9,\" _France observateur_ 506 (January 14, 1960), 23.\n\n32. Richard Leacock, \"For an Uncontrolled Cinema,\" _Film Culture_ 22\u201323 (Summer 1961), 25.\n\n33. Rivette has argued on several occasions that the seeds for the New Wave were contained within Rouch's work:\n\nRouch is the force behind all French cinema of the past ten years, although few people realize it. Jean-Luc Godard came from Rouch. In a way, Rouch is more important than Godard in the evolution of the French cinema. Godard goes in a direction that is only valid for himself, which doesn't set an example, in my opinion. Whereas all Rouch's films are exemplary, even those where he failed, even _Les Veuves de quinze ans_ [1965], Jean-Luc doesn't set an example, he provokes. He provokes reactions, either of imitation or of contradiction or of rejection, but he can't strictly be taken as an example. While Rouch or Renoir can be. (Aumont et al., \"Time Overflowing,\" 35)\n\nIn a 1980 lecture at the Centre Georges Pompidou, Edgar Morin described the difference between \"Direct Cinema\" and cin\u00e9ma v\u00e9rit\u00e9 as follows: \"There are two ways to conceive of the cinema of the Real: the first is to pretend that you can present reality to be seen; the second is to pose the problem of reality. In the same way, there were two ways to conceive cin\u00e9ma v\u00e9rit\u00e9. The first was to pretend that you brought truth. The second was to pose the problem of truth\" (quoted in Isabelle Veyrat-Masson, _T\u00e9l\u00e9vision et histoire, la confusion des genres: Docudramas, docufictions et fictions du r\u00e9el_ [Brussels: \u00c9ditions De Boecke Universit\u00e9, 2008], 208).\n\n34. Aumont et al., \"Time Overflowing,\" 43.\n\n35. In \"Time Overflowing,\" Rivette said:\n\nOf course the choice of _Andromaque_ was not completely naive. The possibilities of analogy\u2014if I may say so\u2014between _Andromaque_ and _L'Amour fou_ were so striking even when we reread the play that Jean-Pierre [Kalfon] and I decided from the start to avoid any terribly obvious comparisons between Racine and what we were doing. It was really too facile and was becoming rather annoying. During all the filming and then again during the editing, we didn't force ourselves constantly to eliminate every juxtaposition which appeared, but we never looked for them and when they seemed really too obvious or too much of a cop-out, we always tried to break them up. They had to remain two parallel entities, with even the echoes from one to the other remaining accidental. (Aumont et al., \"Time Overflowing,\" 11)\n\n36. Jean Racine, _Andromache_ , translated by Richard Wilbur (New York: Harcourt Brace, 1980), 93.\n\n37. Rivette explained that initially the actors were \"still under the illusion that they will get to play _Andromaque_ at the end of the week; while three or four days later, they know very well that they never will\" (Aumont et al., \"Time Overflowing,\" 12).\n\n38. Ibid., 11.\n\n39. Peter Lloyd, \"Jacques Rivette and _L'Amour fou_ ,\" _Monogram_ 2 (Summer 1971), 14.\n\n40. The domestic scenes also highlight the fundamental contradiction between S\u00e9bastien's public persona and his private life, by depicting him as domineering toward his wife and largely indifferent to her feelings of isolation.\n\n41. Aumont et al., \"Time Overflowing,\" 26. It is likely that Rivette's interest in, and awareness of, Stockhausen stems from his friendship with Jean-Claude \u00c9loy, a student of Stockhausen who composed original scores for _L'Amour fou_ and _The Nun_.\n\n42. Karlheinz Stockhausen, \"... How Time Passes,\" _Die Reihe_ 3 (1959), 10\u201339.\n\n43. Penderecki's comments are from a 1993 presentation quoted by Mieczys\u0142aw Tomaszewski in \"Krzysztof Penderecki: Orchestral Works,\" translated by Jan Rybicki and Richard Whitehouse in _Penderecki: Orchestral Works_ , vol. 1 (Hong Kong: Naxos, 2000), 3.\n\n44. Rivette claims that this structure is \"a sort of homage to Stravinsky, since it's the beginning and ending of lots of Stravinsky, especially _The Flood_ or _Canticum_ , with the beginning and the end being mirror images of each other\" (Aumont et al., \"Time Overflowing,\" 28). Significantly, _Canticum Sacrum ad honorem Sancti Marci nominis_ (1955) and _The Flood_ (1962) are among Stravinsky's most explicitly religious works, the latter an oratorio derived from Genesis.\n\n45. Mizoguchi converted to Nichiren Buddhism in the early 1950s. For more information on Mizoguchi's attitude to religion, see Shind\u014d Kaneto's documentary _The Life of a Film Director_ (1975).\n\n46. Rivette claimed that the sound of the child crying was \"completely accidental and not at all premeditated, recorded in synch with the last shot\" (Aumont et al., \"Time Overflowing,\" 25). To create the circular effect used in the film, this same sound, captured fortuitously at the end of shooting, must then have been edited into the soundtrack at the beginning of the film. Tom Milne argued that this sound helps to explain two (appropriately) paired, but otherwise incongruous scenes, when Claire tries to buy a puppy and S\u00e9bastien attempts to buy a kitten (Tom Milne, \"Ah! Je l'ai trop aim\u00e9 pour ne le point hair,\" _Sight and Sound_ 38, no. 2 [Spring 1969], 66).\n\n47. _Cahiers du cin\u00e9ma_ 163 (February 1965).\n\n48. Edmund Burke, _A Philosophical Enquiry into the Sublime and Beautiful_ (London: Penguin Classics, 1998), 86.\n\n49. Gilles Jacob, \"Letter from Paris,\" _Sight and Sound_ 38, no. 1 (Winter 1968\u20131969), 23.\n\n50. This same pattern was followed by another controversial film completed in 1968, Marcel Ophuls' four-and-a-half-hour documentary about the French Occupation, _The Sorrow and the Pity_. Denied television broadcast or general release, it opened in a single art house in the fall of 1969 and played for several years without interruption.\n\n51. Nicole Lubtchansky, who has edited nearly all of Rivette's films since _L'Amour fou_ , reports that Rivette made this remark to Truffaut in Frappat, _Jacques Rivette, secret compris_, 178.\n\n52. Ibid., 146. Tchalgadjieff was a major patron of some of the most radical (and least commercially minded) filmmakers of the period; in addition to Rivette, he also produced challenging films by Robert Bresson, Marguerite Duras, and Jean-Marie Straub and Dani\u00e8le Huillet.\n\n53. Martin Even, \"'Out 1' Voyage au-del\u00e0 du cin\u00e9ma,\" _Le Monde_ , October 14, 1971, 13. A screening report, on the same page and also by Martin Even, was called \"Un film de 12 h 40.\" Even mentions the weak colors of the work print in his article and says that the audience was told ahead of time that there might be stoppage between reels. The work print was also missing credits and titles.\n\n54. John 20:17.\n\n55. Yvonne Baby, \"Entretien avec Jacques Rivette,\" _Le Monde,_ October 14, 1971, 13.\n\n56. Rosenbaum, Sedofsky, and Adair, \"Phantom Interviewers over Rivette,\" 22.\n\n57. Eisenschitz, Fieschi, and de Gregorio, \"Interview on _Out_ ,\" 48. The 16mm format was also used for most documentaries and avant-garde films in this period.\n\n58. It was, of course, possible to go in and out during projection. Martin Even mentions seeing several people do precisely that, but Rivette also felt that anyone truly engaged by the film should fully commit to it:\n\nIt should be like in the theatre, where you can leave in the middle\u2014which I do, very often. On the other hand, I would like those who stay to stay right through to the end; I even think the doors ought to be locked. Going to see a film must be a contract\u2014an act and a contract. And one of the clauses of the contract is that they have the right to leave during the interval but not at any other time. (Aumont et al., \"Time Overflowing,\" 28)\n\n59. Eisenschitz, Fieschi, and de Gregorio, \"Interview on _Out_ ,\" 48.\n\n60. Like his argument that silent films should be shown silent, rather than with the musical accompaniment they would have had in the 1910s or 1920s, Langlois' decision to strip the serials of intertitles was almost certainly a way of treating material deficiencies (the incompleteness of prints) productively.\n\n61. Louis Delluc, _Paris-Midi_ , July 5, 1919, reprinted in Pierre Lherminier, _Louis Delluc et le cin\u00e9ma fran\u00e7ais_ (Paris: Ramsay, 2008), 301\u2013302.\n\n62. Francis Lacassin has written numerous essays and books on Feuillade, such as _Ma\u00eetre des lions et des vampires, Louis Feuillade_ (Paris: P. Bordas, 1995).\n\n63. Rivette described the Cin\u00e9math\u00e8que as\n\nboth the Louvre and the Museum of Modern Art of film as they should be and not as they are. It is also the Galerie Maeght and the Galerie Sonnabend. One could see there successively at 6:30 PM [D. W.] Griffith's _Broken Blossoms_ [1919] and at 8:30 Andy Warhol's _The Chelsea Girls_ [1966]. And it was fabulous precisely because one could see Griffith and Warhol together on the same night. Because it was then that one realized that there are not two or three kinds of cinema, there is only one cinema. It was the perpetual interaction of the present and the past of the cinema that was so exciting. (Richard Roud, _A Passion for Films: Henri Langlois and the Cin\u00e9math\u00e8que Fran\u00e7aise_ [Baltimore: Johns Hopkins University Press, 1999], xxiv)\n\nAlthough Langlois did not often show experimental films, Godard also recalled seeing _Chelsea Girls_ there (Gene Youngblood, \"No Difference between Life and Cinema,\" in _Jean-Luc Godard Interviews_ , edited by David Sterritt [Jackson, MI: University Press of Mississippi, 1998], 11). Rivette later said that it made \"a strong impression\" (Jean-Marc Lalanne and Jean-Baptiste Morain, \"Entretien Jacques Rivette: L'Art secret,\" _Les Inrockuptibles_ , March 30, 2007, 34).\n\n64. Rivette describes the importance of Hitchcock's _Marnie_ to _L'Amour fou_ in Aumont et al., \"Time Overflowing,\" 12. His comments about \"American Underground Films\" are in Rosenbaum, Sedofsky, and Adair, \"Phantom Interviewers over Rivette,\" 24. It is extremely unlikely that Rivette saw any of Markopoulos' films because they were rarely screened in France.\n\n65. The various versions of _Jaguar_ are described in Jean-Andr\u00e9 Fieschi and Andr\u00e9 T\u00e9chin\u00e9, \"Jean Rouch, 'Jaguar,'\" _Cahiers du cin\u00e9ma_ 195 (November 1967), 17\u201320. Jean-Luc Godard mentions _Jaguar_ , \"as yet not shown publicly,\" in several pieces in the late 1950s, especially \"L'Afrique vous parle de la fin et des moyens,\" _Cahiers du cin\u00e9ma_ 94 (April 1959), 19. _Jaguar_ was an early example of a 16mm feature shot with a battery-powered Nagra tape recorder, which greatly expanded the possibilities for location filming.\n\n66. Fieschi and T\u00e9chin\u00e9, \"Jean Rouch, 'Jaguar,'\" 20.\n\n67. Clarens and Cozarinsky, \"Jacques Rivette,\" 196.\n\n68. The longest shots in _Out 1_ are devoted to the theater rehearsals, and the longest is in the first episode; the scene appears to be more than forty minutes long, but it is interrupted at multiple points by cuts to Colin playing cards in his room, and shots are continuous for no more than eleven minutes. Extended rehearsal sequences in the third and seventh episodes also feature interrupted long takes.\n\n69. Eisenschitz, Fieschi, and de Gregorio, \"Interview on _Out_ ,\" 41.\n\n70. Frappat, _Jacques Rivette, secret compris_, 140.\n\n71. Ibid., 142.\n\n72. When asked for his views on the utopian ideals of \"collective cinema around the time of 1968, such as] Godard's Groupe Dziga Vertov,\" Rivette responded, \"The films that you are speaking about were collective in the same way that the regime in Peking was a democracy!\" ([Lalanne and Morain, \"Entretien Jacques Rivette,\" 35).\n\n73. In a conversation on March 3, 2015, Bernard Eisenschitz said that Rivette had nevertheless expressed fascination with Gance's conception of films as \"Cathedrals of Light.\"\n\n74. Aeschylus, _Prometheus Bound_ , translated by James Scully and C. John Herington (Oxford: Oxford University Press, 1975), line 738.\n\n75. Johann Gottfried von Herder, \"Essay on the Origin of Language,\" in _On the Origin of Language: Two Essays_ , edited by John H. Moran and Alexander Gode (Chicago: University of Chicago Press, 1966), 128.\n\n76. In 2002, Rivette explained that the Rousseau film was \"a project that began before _L'Amour fou_. In the beginning, it concerned an idea of [Georges de] Beauregard and of Gruault, which consisted in taking Rousseau at the end of his life, after the _Confessions_ [1782]... and there would have been flashbacks of the young Rousseau, played by Jean-Pierre L\u00e9aud\" (H\u00e9l\u00e8ne Frappat and Jacques Rivette, _Trois films fant\u00f4mes de Jacques Rivette_ [Paris: Cahiers du cin\u00e9ma, 2002], 9). In _Jacques Rivette, secret compris_ , Frappat notes that \" _Out 1_ bears the traces of the last joint project of Rivette and Jean Gruault, interrupted by May '68\" and mentions \"Essay on the Origin of Languages\" as a possible influence (138). The project fell through because of lack of financing.\n\nRousseau, as the avatar of French Romanticism, had also featured prominently in two films made by Godard (then quite close to Rivette) at the same time, both featuring the same actor: Rousseau's ideas inform passages read by a man (Jean-Pierre L\u00e9aud) dressed in Revolutionary costumes and standing in a field in _Weekend_ (1967); and its follow-up, _Le Gai Savoir_ (1968), is a very loose adaptation of _\u00c9mile, or On Education_ (1762). The conspicuous presence of Rousseau in these films may be related to the 1967 publication of Jacques Derrida's _On Grammatology_ , which includes a lengthy discussion of Rousseau's \"Essay on the Origin of Languages\" and is visible in one shot of _Le Gai Savoir_.\n\n77. Jean-Jacques Rousseau, \"Essay on the Origin of Languages,\" in Moran and Gode, _Origin of Language_ , 41, 51.\n\n78. Actors Michael Lonsdale and Hermine Karagheuz were actively involved in the theater world in these years, and, beginning in 1966, Rivette could have seen work by Brook and Grotowski at the annual Th\u00e9\u00e2tre des Nations festival in Paris. Rivette acknowledged that Brook was among \"the most obvious\" theatrical points of reference decades later (\"An Interview with Jacques Rivette,\" in Mary Wiles, _Jacques Rivette_ [Urbana: University of Illinois Press, 2012], 140).\n\n79. The comments about Brook and Grotowski are from Christopher Innes, _Avant-Garde Theatre, 1892\u20131992_ (New York: Routledge, 1993), 127. Rivette's observations are in Eisenschitz, Fieschi, and de Gregorio, \"Interview on _Out_ ,\" 53.\n\n80. Innes, _Avant-Garde Theatre_, 127.\n\n81. Innes describes _Orghast_ in the following way:\n\n\"Orghast\" itself was the name Ted] Hughes invented for the fire of being\u2014in metaphoric terms the sun (from ORG for \"life\/being,\" and GHAST for \"spirit\/flame\")\u2014and the material for the play was a myth of creation compiled from the legends of Prometheus, Chronos devouring his children, and the sun-worshipping cults of Helios and Zoroaster. It included passages from [Aeschylus' _Prometheus Bound_ and _The Persians_ 472 BCE], and Seneca's _Thyestes_ [62 CE] and _Hercules Furens_ [54 CE] in the original Greek and Latin as well as sections in Avesti; and in the same way that Hughes sought to return to the source of language, this collage of mythical material was an attempt to rediscover the universal root myth buried under a wide range of archetypes. ([Ibid., 138)\n\n82. Jerzy Grotowski, _Towards a Poor Theatre_ (New York: Simon and Schuster, 1968), 257. Grotowski's conception of the actor's body as a hieroglyph recapitulates ideas developed by Antonin Artaud in his book _The Theater and Its Double_ (1936).\n\n83. In the sixth episode, for example, Thomas meets with Pierre to talk about the group, asking if it is really dormant and explaining, \"We said we'd leave it for two years. We'd let it mature, we'd wait and see.\" In 2007, Rivette confirmed the political implications of these dates:\n\nI shot two years after '68 and, without ever making reference to the events of that year], the characters never stop referring to what happened two years prior. As for Jean-Pierre [L\u00e9aud]'s and Juliet [Berto]'s characters, they absolutely do not comprehend the world in which they are evolving. But around them, the secret society of the Thirteen ([Michael] Lonsdale, [Bulle] Ogier, Bernadette Lafont) never stops commenting upon what's happened. For me, it's clear, the film speaks of '68, or rather the immediate post-'68. ([Lalanne and Morain, \"Entretien Jacques Rivette,\" 34)\n\n84. Here, for example, is Balzac's way of introducing the group:\n\nIn Paris under the Empire thirteen men came together. They were all struck with the same idea and all endowed with sufficient energy to remain faithful to a single purpose. They were all honest enough to be loyal to one another even when their interests were opposed, and sufficiently versed in guile to conceal the inviolable bonds which united them. They were strong enough to put themselves above all law, bold enough to flinch at no undertaking; lucky enough to have almost always succeeded in their designs, having run the greatest hazards, but remaining silent about their defeats. (Honor\u00e9 de Balzac, _History of the Thirteen_ , translated by Herbert J. Hunt [London: Penguin Classics, 1974], 21)\n\n85. Ibid.\n\n86. Jacques Rivette, \"Mizoguchi Viewed from Here,\" in Hillier, _Cahiers du cin\u00e9ma_ , 265.\n\n87. Marie is visible standing behind the window of the caf\u00e9 where Colin receives the note that initiates the central \"plot\" of _Out 1_. This image appears inconspicuous on a first viewing but, seen in light of the final shot, it suggests that the \"minor character\" Marie may have been the agent behind the notes, whose true function remains mysterious.\n\n88. \"'To be continued' is a formula that I would like to put at the end of all films,\" Rivette claimed in Jacques Rivette and Marguerite Duras, \"Le Nouveau Film de Jacques Rivette: sur le pont du nord un bal y est donn\u00e9\u2014dialogue avec Marguerite Duras,\" _Le Monde_ , March 25, 1982, 15. Toward the end of the film, the viewer is made aware of the existence of another group, appropriately called \"The Devourers\" (another organization mentioned in Balzac's _History of the Thirteen_ ).\n\n89. _Cahiers du cin\u00e9ma_ 159 (October 1964).\n\n90. John Hughes, \"The Director as Psychoanalyst: An Interview with Jacques Rivette,\" _Rear Window_ 1 (Spring 1975), reprinted as part of \"John Hughes On (and With) Jacques Rivette,\" edited by Jonathan Rosenbaum, _Rouge_ 4 (2004), available online at <http:\/\/www.rouge.com.au\/4\/hughes.html> .\n\n91. Rosenbaum, Sedofsky, and Adair, \"Phantom Interviewers over Rivette,\" 22.\n\n92. Even, \"'Out 1' Voyage,\" 13.\n\n93. Jean Duran\u00e7on, \"Le Guetteur du r\u00eave,\" _\u00c9tudes cin\u00e9matographiques_ 63 (1998), 8.\n\n94. Rivette claims to \"start to see the film\" during editing in Fr\u00e9d\u00e9ric Bonnaud, \"Jacques Rivette: La S\u00e9quence du spectateur,\" _Les Inrockuptibles_ , March 25, 1998, translated by Kent Jones and reprinted as \"The Captive Lover,\" _Senses of Cinema_ 16 (September\u2013October 2001), available online at <http:\/\/archive.sensesofcinema.com\/contents\/01\/16\/rivette.html> . The comments about Dziga Vertov are in Clarens and Cozarinsky, \"Jacques Rivette,\" 196.\n\n95. Clarens and Cozarinsky, \"Jacques Rivette,\" 197. Denise de Casabianca was the editor for _Paris Belongs to Us, The Nun_ , and Rivette's early short _Le Coup du berger_ (1956).\n\n96. Soviet filmmaker Lev Kuleshov conducted a series of experiments into the perception of sequential film images in the late 1910s and early 1920s. The most famous experiment involved the creation of a montage film in which a repeated shot of the actor Ivan Mosjoukine was juxtaposed with three different shots (a bowl of soup, a dead child, and a woman). Viewers are said to have interpreted Mosjoukine's face differently depending on which of the other shots was juxtaposed.\n\n97. Chris Darke, \"Films of Ruin and Rapture: In Search of Jean-Daniel Pollet,\" _Film Comment_ 43, no. 3 (May\u2013June 2007), 58.\n\n98. Jean Narboni, Sylvie Pierre, and Jacques Rivette, \"Montage,\" translated by Tom Milne in Rosenbaum, _Rivette: Texts and Interviews_ , 82. Rivette would have known Pollet's film, which also influenced Godard's _Contempt_ (1963), before this event, but the 1969 screening may have given him a fresh perspective on it.\n\n99. Hughes, \"The Director as Psychoanalyst.\"\n\n100. In a 1935 discussion with _Cahiers d'art_ editor Christian Zervos, Picasso famously stated, \"In my case, a picture is a sum of destructions\" (Alfred H. Barr Jr., _Picasso: Fifty Years of His Art_ [New York: Museum of Modern Art, 1946], 272).\n\n101. Denis, _Jacques Rivette, le veilleur_ (1990).\n\n102. Frappat and Rivette, _Trois films fant\u00f4mes_ , 19.\n\n103. Rivette told interviewers from _Film Comment_ that the main motivation for _C\u00e9line and Julie Go Boating_ was \"simply the desire to make a film. To get out of the dumps that we all felt we were in, make a film for as little money as possible, and, we hoped, amuse people. Because the adventure of _Out_ didn't turn out very well, from the point of view of public reception\u2014there was no reception. It was almost impossible to show the film\" (Rosenbaum, Sedofsky, and Adair, \"Phantom Interviewers over Rivette,\" 20).\n\n104. Ibid., 22.\n\n105. Rivette retrospectively identified the \"scandalous\" support for the group of four films by the Centre national de la cin\u00e9matographie in early 1975 as a \"grand finale\" for a \"five- to six-year period\" in which the \"advance on receipts\" system was \"very open\" (Serge Daney and Jean Narboni, \"Entretien avec Jacques Rivette,\" _Cahiers du cin\u00e9ma_ 323\u2013324 [May 1981], 44\u201345).\n\n106. The phrase \"house of fiction\" comes from the 1908 preface to Henry James' novel _The Portrait of a Lady_ (1881). James was an influence on a number of Rivette films, especially _C\u00e9line and Julie Go Boating_ , which literalizes the metaphor in the image of the mansion that the characters must pass through in order to experience their imaginative projections.\n\n107. _Noro\u00eet_ was withheld from release after _Duelle_ failed at the box office, although it was screened sporadically at specialized festivals and events.\n\n108. Jacques Rivette, \"For the Shooting of _Les Filles du Feu_ ,\" translated by Tom Milne in Rosenbaum, _Rivette: Texts and Interviews_ , 89.\n\n109. Ibid.\n\n110. \"Igor Stravinsky on Film Music,\" _Musical Digest_ , September 1946, reprinted in _The Hollywood Film Music Reader_ , edited by Mervyn Cooke (Oxford: Oxford University Press, 2010), 278. The quotation in the title of this section comes from Igor Stravinsky and was used as the epigraph to _Cahiers du cin\u00e9ma_ 152 (February 1964).\n\n111. A file of newspaper clippings on these scandals is included, along with a coded map of Paris, in a black valise that the two women steal from Marie's lover Julien, and this map leads them wandering around the city in an attempt to decipher its hidden meanings.\n\n112. Rainer Maria Rilke, _Letters to a Young Poet_ , translated by M. D. Herter Norton, rev. ed. (New York: W.W. Norton, 1993), 69.\n\n113. Dore Ashton, _A Fable of Modern Art_ (New York: W.W. Norton, 1980).\n\n114. _Le Chef-d'oeuvre inconnu: Eaux-fortes originales et dessins grav\u00e9s sur bois de Pablo Picasso_ (Paris: Ambroise Vollard, 1931).\n\n115. Balzac may also have been thinking of Victor Hugo, the central figure in debates over French literary Romanticism at the time he wrote the first version of _The Unknown Masterpiece_ in 1831. The year before, he had written a review of Hugo's _Hernani_ in which he declared Hugo's name \"a standard, his work the expression of a doctrine, and he himself a sovereign\" (Honor\u00e9 de Balzac, \"Victor Hugo: _Hernani_ ,\" in _The Works of Honor\u00e9 de Balzac_ , vol. 20, translated by Katherine Prescott Wormeley [New York: Athenaeum Club, 1899], 141).\n\n116. Honor\u00e9 de Balzac, _The Unknown Masterpiece_ , translated by Richard Howard (New York: New York Review of Books Classics, 2000), 35\u201336.\n\n117. Sigmund Freud uses very similar terms to describe Prometheus and his phallic torch in the 1932 essay \"The Acquisition of Fire,\" _Psychoanalytic Quarterly_ 1, no. 1 (1932), 210\u2013215.\n\n118. Jacques Rivette, \"De l'abjection,\" _Cahiers du cin\u00e9ma_ 120 (June 1961), 54. In _La Belle Noiseuse_ , Frenhofer describes the way erotic desire is transformed into art when he tells Marianne about his work with his wife Liz:\n\nAt first, I wanted her, before wanting to paint her. For the first time, I was scared. The fear became the driving force behind what I did... I became blind. A tactile painting. As if it were... as if it were my fingers that saw and commanded themselves. That's what I'm looking for. That's what I want.... It was then, maybe, that I became a real painter.\n\n119. Quoted in Michel Est\u00e8ve, \" _La Belle Noiseuse_ ou la recherche de l'absolu,\" _\u00c9tudes cin\u00e9matographiques_ 63 (1998), 125.\n\n120. Denis, _Jacques Rivette, le veilleur._\n\n121. Between 1932 and 1935, Balthus made nearly fifty studies based on Emily Bront\u00eb's _Wuthering Heights_ (1847), and he eventually selected fourteen of them for lithographic reproduction in book form, although the project fell through and the drawings were not shown together until the major retrospective exhibition at the Centre Georges Pompidou in 1983. It is likely that Rivette's interest in Balthus was heightened by this exhibition, which was the most extensive Balthus show held anywhere up to that point and took place two years before _Wuthering Heights_ was released.\n\nEight of the images were first exhibited in 1935 in the important Surrealist journal _Minotaure_ (no. 7). Several years earlier, Luis Bu\u00f1uel, another person associated with the Surrealists in this period, had written a screenplay based on _Wuthering Heights_ with Pierre Unik. As he explained in his autobiography: \"In 1930, Pierre Unik and I had written a screenplay based on _Wuthering Heights_. Like all the Surrealists, I was deeply moved by this novel, and I had always wanted to try the movie. The opportunity finally came, in Mexico in 1953\" (Luis Bu\u00f1uel, _My Last Sigh_ , translated by Abigail Israel [New York: Knopf, 1983], 205\u2013206). The fact that Bront\u00eb's book was finally translated into French in 1929 undoubtedly contributed to the sudden interest of the Surrealists in the early 1930s ( _Les Hauts de hurle-vent_ , translated by Fr\u00e9d\u00e9ric Delebecque [Paris: \u00c9ditions Payot, 1929]).\n\n122. On the influence of German Romanticism, Jean Clair observes, \"Romanticism for instance, the attraction for Novalis and Jean Paul\u2014which for [Andr\u00e9] Breton and his disciples, who had scant knowledge of Goethe's language, was a mere dandy's affectation\u2014was for Balthus the natural milieu in which he had been immersed since his very first words\" (Jean Clair, \"From the _Rue_ to the _Chambre_ : A Mythology of the _Passage_ ,\" in _Balthus_ , edited by Jean Clair [New York: Rizzoli, 2001], 19). Clair traces these influences in \"Balthus and Rilke: A Childhood\" ( _Balthus_ , 35\u201342).\n\n123. Tony Pipolo, _Robert Bresson: A Passion for Film_ (Oxford: Oxford University Press, 2010), 7\u20138.\n\n124. Rivette describes this sequence in his interview with John Hughes:\n\nThere is a sequence where we see Colin near madness, banging his head against the wall. Then he recovers mysteriously and visits his old friend, Warok (Jean Bouise). He says that he has understood and transcended the story of the thirteen, that it doesn't bother him anymore. He says that he intends to lead a happy life in the future, but after he leaves Warok we see him dancing madly about in the streets with his harmonica. Then we see him begging, posing as a deaf mute as in the beginning of the film. (Hughes, \"Director as Psychoanalyst\")\n\nJonathan Rosenbaum, who was in attendance, confirms that the scene was still present when the film was projected at the 1989 Rotterdam Film Festival:\n\nBased on my notes taken at the Rotterdam screening, the sequence, punctuated by a few patches of black leader, shows [L\u00e9aud] crying, screaming, howling like an animal, banging his head against the wall, busting a closet door, writhing on the floor, then calming down and picking up his harmonica. After throwing away all three of the secret messages he has been trying for most of the serial to decode, he starts playing his harmonica ecstatically, throws his clothes and other belongings out into the hall, dances about manically, and then plays the harmonica some more. (Rosenbaum, \" _Tih-Minh_ , _Out 1_ ,\" 65)\n\nThe scene is not in any available print or video of the film.\n\n125. Frappat, _Jacques Rivette, secret compris_, 178.\n\n126. In an interview commissioned for the Artificial Eye DVD release of _La Belle Noiseuse_ , Rivette says, \"Since I was fourteen, I have been a huge fan of Igor Stravinsky. When I heard _The Rite of Spring_ on the radio for the first time in my life during the Occupation... it was a shock, and I never recovered from it.\" The title of the shorter cut of Rivette's film, _Divertimento_ , is also the name of a reduced 1934 concert version of Stravinsky's ballet _Le Baiser de la f\u00e9e_ (1928).\n\n127. Luke 22:44.\n\n### Chapter 4\n\n1. Ezra Pound, _The Cantos of Ezra Pound_ (New York: New Directions, 1996), 807.\n\n2. Hermann Broch, _The Death of Virgil_ , translated by Jean Starr Untermeyer (New York: Vintage Books, 1995), 282. Godard quotes extensively from this novel, a fictional meditation on Virgil's desire to destroy his own work begun while Broch was in a concentration camp, in _Keep Your Right Up_ (1987) and _Histoire(s) du cinema_ (1988\u20131998).\n\n3. A character says this at the very beginning of _D\u00e9tective_ (1985), and it later became the focus of _Une catastrophe_ (2008), a one-minute film made as the official \"trailer\" for the Vienna Film Festival.\n\n4. Pound, _Cantos_, 4.\n\n5. Near the end of Canto I, Pound refers quasi-bibliographically to Andreas Divus' translation of 1538:\n\nLie quiet Divus. I mean, that is Andreas Divus,\n\nIn officinal Wecheli, 1538, out of Homer. (Ibid., 5)\n\nGodard has suggested that cinema is subject to this same process of historical layering:\n\nIt is necessary to have the sense of the history of cinema, a little like [James] Joyce, who had a profound sense of the history of literature, and who knew that, when he wrote a phrase, some of the words had been invented in the time of the Latins, some in the Middle Ages. At the moment when Joyce wrote that word, with all its baggage and all the history that it contains, it was the modern age of literature, its adult age, so to speak. (G\u00e9rard Lefort, \"Godard et Oliveira sortent ensemble,\" in _Jean-Luc Godard par Jean-Luc Godard_ , edited by Alain Bergala, vol. 2, _1984\u20131998_ [Paris: Cahiers du cin\u00e9ma, 1985], 267; hereafter \" _Godard par Godard_ , 2\")\n\nJust as it is possible to read Joyce (or Pound) without recognizing the etymological roots of the words used or the meaning of the embedded references, it is possible to watch _Histoire(s) du cin\u00e9ma_ without identifying the sources of the onscreen material or the art historical traditions that inform them, but these layers are nevertheless the fabric with which the works are woven together.\n\n6. Godard does not simply transpose a few words here. Cuny's speech is constructed from a long extract of the fourth volume of Faure's _Histoire de l'art_ ( _L'Art moderne_ [Paris: Les \u00c9ditions G. Cr\u00e8s et Cie, 1921], 70\u201379), with several sections elided and a number of words replaced. In restructuring these excerpts, Godard shifts the discussion of motifs from ones prominent in Rembrandt's work (\"open books,\" \"lanterns,\" \"sheets\") to ones prominent within his films (\"open windows,\" \"car lights,\" \"screens\"), while also making Faure's prose harmonize with the aesthetic paradigms\u2014\"the continual and indifferent interchange between everything that is born and everything that dies\"\u2014that, originating in Romanticism, underlie _Histoire(s) du cin\u00e9ma_. Ferdinand reads a passage from the same Faure book at the beginning of _Pierrot le fou_ (1965), and the four historical categories adopted by Faure (\"Classical,\" \"Medieval,\" \"Renaissance,\" and \"Modern\") are used to structure the postcard sequence in _Les Carabiniers_ (1963).\n\n7. MacCabe argues that \"there is good reason to compare [ _Histoire(s) du cin\u00e9ma_ ] to James Joyce's _Finnegans Wake. Finnegans Wake_ takes the whole of history and language for its subject and uses montage as its basic creative principle, but a montage which operates within the individual word\" (Colin MacCabe, _Godard: A Portrait of the Artist at Seventy_ [New York: Farrar, Straus and Giroux, 2003], 315). Jonathan Rosenbaum makes his arguments in \"Trailer for Godard's _Histoire(s) du cin\u00e9ma_ ,\" reprinted in _Goodbye Cinema, Hello Cinephilia: Film Culture in Transition_ (Chicago: University of Chicago Press, 2010), 305\u2013319.\n\nGodard's comments in one of his Montreal lectures make it clear that although the Belmondo character in _Pierrot le fou_ refers to Joyce, he is parroting \u00c9lie Faure:\n\nI came upon a book I was familiar with, by \u00c9lie Faure, which talked about Vel\u00e1zquez and said that at the end of his career\u2014which I did at the beginning of mine, although I didn't know it\u2014at the end of his career Vel\u00e1zquez painted the things that lie between things. And gradually I realised that cinema is what lies between things. It isn't a thing, it's what is between one person and another. (Jean-Luc Godard, _Introduction to a True History of Cinema and Television_ [Montreal: caboose, 2014], 182)\n\n8. Pound became increasingly convinced that \" _usura_ \" (greed) was the principle underlying democratic government throughout the 1920s and 1930s; it was the focus of an entire Canto (Canto LXV) and the basis for the speeches he gave on the radio in fascist Italy between January 1935 and April 1945. These speeches would eventually result in his imprisonment, initially in an open-air cage, during which time he began working on the \"Pisan Cantos\" (first published in 1948). A copy of _Le Travail et l'usure_ , a French translation of some of Pound's speeches that was first published in 1968, is shown on a table in Godard's _Adieu au langage_ (2014).\n\nIn the final Pisan Canto, Pound remembers artistic compatriots who have passed away (like B\u00e9la Bartok, referred to in Pound, _Cantos_ , Canto LXXXIV, 558), a strategy he continues in subsequent cantos, where he mentions friends like W. B. Yeats and \"Old Wyndham [Lewis]\" (Canto XCVIII, 705) or adopts a memorial tone:\n\nYseult [Gonne MacBride] is dead, and Walter [Morse Rummel],\n\nand Fordie [Ford Maddox Ford],\n\nfamiliares (Canto CIV, 761\u2013762)\n\nGodard employs similar language at the end of _Une vague nouvelle_ (3B): a girl asks him, \"[Jacques] Becker, [Roberto] Rossellini, [Jean-Pierre] Melville, [Georges] Franju, Jacques Demy, [Fran\u00e7ois] Truffaut, you knew them?\" and he closes the section by responding, \"Yes, they were my friends.\" As with Pound's Vortex group (which splintered shortly after World War I), Godard and his New Wave companions were close for only a few short years in the late 1950s and early 1960s. These and other (related) \"friends\" are referred to throughout _Histoire(s) du cin\u00e9ma_ through clips of their films, footage of them at work, or, most frequently, photographs.\n\n9. Pound introduced the term in his 1914 essay \"Vortex\" and later elaborated his ideas in language that resonates strongly with Godard's practice in _Histoire(s) du cin\u00e9ma_ : \"The image is not an idea. It is a radiant node or cluster; it is what I can, and must perforce, call a VORTEX, from which, and through which, and into which, ideas are constantly rushing\" (Ezra Pound, _Gaudier-Brzeska: A Memoir_ [New York: New Directions, 1970], 92).\n\n10. In his 1934 essay \"Date Line,\" Pound wrote, \"An epic is a poem including history\" (Ezra Pound, _Literary Essays of Ezra Pound_ [New York: New Directions, 1968], 86). On the comparison of the _Commedia_ to a cathedral, see Hugh Kenner, _The Pound Era_ (Berkeley: University of California Press, 1971), 355. As symbolic structures, temples are alluded to throughout the _Cantos_ ; like epic poems, they are \"holy\" because they are \"not for sale\" (Pound, _Cantos_ , Canto XCVII, 696).\n\n11. Reflecting Pound's Vicoian sense of historical cyclicity, the lost city toward which the Odyssean protagonist of his narrative journeys varies over the course of the _Cantos_ , moving from Ithaca (Canto I) to Venice (first mentioned in Canto III), Troy (\"but a heap of smouldering boundary stones,\" Canto IV, 13), and even Wagadu (Canto LXXXIX), before finally becoming the Byzantium of Yeats (Canto XCVI).\n\nIn _Les Signes parmi nous_ (4B), Godard defines _Histoire(s) du cin\u00e9ma_ through two phrases presented back to back as text: \" _odyss\u00e9e de l'utopie_ \" (\"odyssey of utopia\") and \" _vertige de l'histoire_ \" (\"vertigo of history\"). As in the _Cantos_ , utopia is accessible only beyond the veils of time and myth, and the interdependence of the two phrases, whose recurrence reconnects the early and late phases of the work, is paradigmatic.\n\n12. Hugh Kenner argues that Pound \"had always wanted... to write a long poem\" and traces its origin to a conversation with Professor Ibbotson \"circa 1904\u20135\" (Kenner, _The Pound Era_, 354). Kenner also claimed that while \"Joyce saw _Ulysses_ [1922] as a whole and worked at opening and closing episodes simultaneously; Pound hoped to become, while writing the poem in public, the poet capable of ending the _Cantos_ \" (377). The final cantos were first published in 1969.\n\n13. Godard identifies _Les Enfants jouent \u00e0 la Russie_ and _2 fois 50 ans de cin\u00e9ma fran\u00e7ais_ (1995) as \"annexes\" in Fr\u00e9d\u00e9ric Bonnaud and Arnaud Viviant, \"La L\u00e9gende du si\u00e8cle,\" _Les Inrockuptibles_ 170 (October 1998), 26. The footage, paintings, and musical extracts used in _Histoire(s) du cin\u00e9ma_ are often given new contexts in these \"annexes.\"\n\n14. In the forty-nine-page proposal completed in January 1973 for the unmade film _Moi, je_ , Godard asks, \"Who will write one day a true history of cinema and of television?\" (Jean-Luc Godard, \" _Moi, je_ , projet de film,\" in Nicole Brenez et al., _Jean-Luc Godard, Documents_ [Paris: \u00c9ditions du Centre Pompidou, 2006], 238).\n\n15. Antoine de Baecque, _Godard, biographie_ (Paris: Bernard Grasset, 2010), 678\u2013679. For a firsthand account of Langlois' endeavors, see Richard Roud, _A Passion for Films: Henri Langlois and the Cin\u00e9math\u00e8que Fran\u00e7aise_ (Baltimore: Johns Hopkins University Press, 1999), 192\u2013198.\n\n16. In a 1983 interview, Godard referred to Langlois' film work, observing, \"Cameras have always been commissioned by filmmakers, including Lumi\u00e8re, who was a painter, as you can see from Langlois' documentary\" (Jean-Pierre Beauviala and Jean-Luc Godard, \"Genesis of a Camera (First Episode),\" in _Jean-Luc Godard Interviews_ , edited by David Sterritt [Jackson, MI: University Press of Mississippi, 1998], 145). He refers to the project named after Malraux's _La M\u00e9tamorphose des dieux_ (a three-volume study of the relationship between the human and the sacred published between 1957 and 1976) in Michel Ciment and St\u00e9phane Goudet, \"Entretien Jean-Luc Godard: Des traces du cin\u00e9ma,\" _Positif_ 456 (February 1999), 50.\n\n17. Friedrich Schlegel, _Philosophical Fragments_ , translated by Peter Firchow (Minneapolis: University of Minnesota Press, 1991), 50\u201351. The words in the title of this section\u2014a reworking of Ren\u00e9 Descartes' _cogito ergo sum_ (\"I think therefore I am\") that puns on both the format used for _Histoire(s) du cin\u00e9ma_ (\"video\") and its Latin meaning (\"I see,\" making the revised phrase, \"I think therefore I see\")\u2014are used at the very beginning of _Une histoire seule_ (1B). The title of the 1637 book from which this phrase originates, _Le Discours de la m\u00e9thode_ , is read out by Godard later in _Une histoire seule_ (1B).\n\n18. Roud, _A Passion for Films_, 199. In a 1998 interview, Godard claimed that \"around 1975\u20131976,\" he proposed the idea to Langlois (Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 26). Comments in 1978 also make it clear that, as both a set of videos and a film, this was already envisioned as a project that would run for at least four hours (Godard, _True History_ , 216). In fact, the idea of length was built into the genesis of his \"history of cinema\" project, which would explore\n\nhow [films came to last] for an hour and a half, an hour and a half to two hours, which is a completely idiotic length. And I think that the history of cinema should be able to recount how, suddenly, because films started out at two or three minutes, how little by little they arrived at a certain standard length.... This business of length is interesting. Soccer games too for example, a soccer game lasts around an hour and a half to two hours, about the same time as a film.... I'd like the games to go on for eight or nine hours. ( _True History_ , 225)\n\n19. This is how Godard describes the origin of the talks in his preface to the published version (Jean-Luc Godard, _Introduction \u00e0 une v\u00e9ritable histoire du cin\u00e9ma_ [Paris: \u00c9ditions Albatros, 1980], 15). A more detailed description is provided by Timothy Barnard in his English-language translation (which makes a number of adjustments based on a new transcription of the original recordings): \"A Note on the Text,\" in Godard, _True History_ , lxxi\u2013lxxxviii. Hereafter, all references are to the Barnard translation.\n\n20. The plan was to have ten \"Voyages,\" but Godard only completed seven. In the fourth \"Voyage,\" Godard explained that when he agreed to take on the lectures, it \"wasn't a question of taking over from Henri Langlois, it was a question of continuing in another way a job he had begun,\" by treating the lectures \"as a film production\" (Godard, _True History_ , 209\u2013210). The relationship to the _Histoire(s) du cin\u00e9ma_ is acknowledged in a page, just before the table of contents, in all four volumes of the book version of _Histoire(s) du cin\u00e9ma_ (Paris: Gallimard, 1998), that reads \" _introduction\/\u00e1\/une\/v\u00e9ritable\/histoire\/du\/cin\u00e9ma\/la\/seule\/la\/vraie_.\"\n\n21. Claire Devarrieux, \"Se vivre, se voir,\" in _Godard par Godard: Des ann\u00e9es Mao aux ann\u00e9es 80_ , edited by Alain Bergala (Paris: Flammarion, 1991), 161. A transcript of the FIAF meeting is included in Brenez et al., _Jean-Luc Godard, Documents_ , 286\u2013291.\n\n22. Michael Witt, _Jean-Luc Godard, Cinema Historian_ (Bloomington: Indiana University Press, 2013), 29\u201331.\n\n23. Todd McCarthy, \"Jean-Luc Godard Segues into Yank Filmmaking via Zoetrope,\" _Variety_ , January 12, 1981, 36.\n\n24. De Baecque, _Godard, biographie_, 677. Canal Plus was launched in November 1984.\n\n25. INA was a new organization intended for research and development after the state-controlled (and strongly Gaullist) ORTF was broken up during the rule of President Val\u00e9ry Giscard d'Estaing. Colin MacCabe, who helped produce some of Godard's later television work through the British Film Institute, discusses the arrangements that made it possible for Godard and his company Sonimage to create these programs ( _Godard_ , 253\u2013260).\n\n26. Significantly, Rolle is located in the same canton (Vaud) of Switzerland as Nyon, the town where Godard\u2014whose parents frequently moved back and forth between Switzerland and France\u2014was raised. In this sense, the 1977 move represented a sort of homecoming, a return to Godard's roots, which could certainly be related to the retrospective turn that culminated in _Histoire(s) du cin\u00e9ma_ and manifests itself in the autobiographical tenor of many of Godard's later films (especially _Nouvelle vague_ and _JLG\/JLG\u2014Self-Portrait in December_ ).\n\n27. Alain Bergala, Serge Daney, and Serge Toubiana, \"Le Chemin vers la parole,\" in _Jean-Luc Godard par Jean-Luc Godard_ , edited by Alain Bergala, vol. 1, _1950\u20131984_ , 2nd ed. (Paris: Cahiers du cin\u00e9ma, 1998), 504; hereafter \" _Godard par Godard_ , 1.\"\n\n28. Godard's description of _D\u00e9tective_ is in a letter to Alain Cuny included in Bergala, _Godard par Godard_, 2:71. In an interview with R\u00e9gis Debray during the making of _Histoire(s) du cin\u00e9ma_ , Godard expressed this even more strongly: \"As a filmmaker, television is, for me, the occupier that cinema does not want to upset, except under American influence\" (R\u00e9gis Debray, \"Jean-Luc Godard rencontre R\u00e9gis Debray,\" in Bergala, _Godard par Godard_, 2:426).\n\n29. In 1990, Godard put this succinctly: \"Television diffuses, it does not produce\" (L\u00e9on Mercadet and Christian Perrot, \"Le T\u00e9l\u00e9vision fabrique de l'oubli,\" in Bergala, _Godard par Godard_, 2:239). On another occasion, he observed:\n\nIt is only at the movies that everybody sees more or less the same thing. They darkened the theaters and widened the screen for that, so that everybody is on an equal footing. That was projection's strength, which is precisely what television killed. Projection has disappeared on television, hence the \"project\" has disappeared. Now there is only broadcasting, diffusion, that is, something diffuse. (Jean-Luc Godard, _The Future(s) of Film: Three Interviews 2000\/01_ [Bern: Verlag Gachnang & Springer AG, 2002], 73\u201374)\n\n30. In a text entitled \"Each Art Has a Verb\" produced to accompany the first two sections of _Histoire(s) du cin\u00e9ma_ , Godard writes:\n\nTo film, that is, to record a sight and project it, is the act of cinema of the makers of films. It's always freedom speaking. Only television has no creative act or verb to authenticate it. That's because the act of television both falls short of communication and goes beyond it. It doesn't create any goods, in fact, what is worse, it distributes them without their ever having been created. To program is the only verb of television. That implies suffering rather than release. (Raymond Bellour with Mary Lea Bandy, eds., _Jean-Luc Godard: Son + Image, 1974\u20131991_ [New York: Museum of Modern Art, 1992], 158)\n\nGodard has elsewhere argued that while arts like cinema are \"the domain of creation,\" television is wholly an instrument of \"culture... the domain of diffusion and distribution,\" a distinction he makes in several interviews (see, for example, Fr\u00e9d\u00e9ric Bonnaud and Serge Kaganski, \"Le Cin\u00e9ma est toujours une op\u00e9ration de deuil et de reconqu\u00eate de la vie,\" in Bergala, _Godard par Godard_, 2:390; Alain Bergala and Serge Toubiana, \"L'Art de (d\u00e9)montrer,\" in Bergala, _Godard par Godard_, 2:138; Serge Daney, \"Godard Makes [Hi]stories,\" translated by Georgia Gurrieri in Bellour and Bandy, _Jean-Luc Godard_ , 161; or Olivier P\u00e9reti\u00e9, \"Quand Godard raconte deux ou trois choses qu'il sait de tout, ABCD... JLG,\" _Le Nouvel Observateur_ , December 18\u201324, 1987, 51).\n\n31. Marie Rambert, \"Parti de Chase...\" in Bergala, _Godard par Godard_, 2:95. On \"Apparatus Theory,\" see, for example, Jean-Louis Baudry, \"The Apparatus: Metapsychological Approaches to the Impression of Reality in Cinema,\" in _Film Theory and Criticism_ , edited by Leo Braudy and Marshall Cohen, 7th ed. (Oxford: Oxford University Press, 2009), 171\u2013188.\n\n32. Claire Devarrieux, \"Entretien Godard\/Pialat,\" in Bergala, _Godard par Godard_, 2:91.\n\n33. Clearly, for Godard, this metaphor of the cave and the imaginary does not have the same connotations that it has for Plato. In 2000, for example, Godard said:\n\nThe New Wave was a relationship with the imaginary, taking that word as it is commonly understood. We were closer to cavemen, to the myth of the cave in any case. The relationship with reality came later, at the same time as the idea that the real imaginary requires you to proceed via reality, to put it naively: shoot out in the street, film your girlfriend, or your girlfriend's story, etc. (Godard, _The Future(s) of Film_ , 15)\n\nHe also explains that with technologies, like video, that lack the tactile positive\/negative structure of the photographic image, \"the phenomenon of the cave is no more\" (23). The crucial factor, however, lies in what Godard sees as a triangulating structure of projection that involves the viewer in a way that digital technologies \"invented [not] for production, but for distribution\" do not (23). As Godard explained to Gavin Smith, \"I like not to have the light in the back, because the light in the back belongs to the projector, the camera must have the light in front like we have ourselves in life. We receive and [then] we project\" (Gavin Smith, \"Jean-Luc Godard,\" in Sterritt, _Jean-Luc Godard Interviews_ , 193). Godard's appropriation of Plato's philosophical ideas for his own poetic purposes is similar to Markopoulos' treatment of Heidegger.\n\n34. As Godard explained in 2000, \"I am always sensitive to, not the form, but rather the pictorial value of a certain type of projected image, which is not painting, can be in VHS or 35mm and belongs to large-screen projection alone, although it does indeed spring from painting\" (Godard, _The Future(s) of Film_ , 14). Godard has repeatedly called video \"an adjacent wing of cinema,\" \"a child, a natural daughter of cinema,\" a material perfect for \"making 'studies'\" (Jean-Luc Godard and Youssef Ishaghpour, _Cinema: The Archaeology of Film and the Memory of a Century_ , translated by John Howe [New York: Berg, 2005], 36). Nevertheless, he also recognizes its limitations: \"No one has worked as hard as I have to bring video into the pictorial tradition, and I haven't really succeeded\" (Godard, _The Future(s) of Film_ , 24).\n\n35. In _Keep Your Right Up_ , made while the first two sections of _Histoire(s) du cin\u00e9ma_ were being developed, Godard is shown collapsing under the weight of film reels, crying out, \"They're not videos! It's a real movie. You'll see\u2014the toughest thing in movies is carrying the cans.\"\n\n36. Godard, _True History_ , 10.\n\n37. Godard sometimes requested that people interviewing him bring copies of particular tapes he wanted to use with them (see, for example, Godard's insistence that an interviewer bring a tape of Stanley Kubrick's _The Shining_ , 1980, in Godard, _The Future(s) of Film_ , 11\u201312). He has also frequently expressed his discomfort with watching videos, telling Andrew Sarris in 1994 that while he has \"a large number of [video] cassettes,\" they are used \"mainly for reference purposes... about every two or three years I like to see an old John Ford movie, and even on video you get some idea of what it was, but if you look too closely you begin to miss the real thing\" (Andrew Sarris, \"Jean-Luc Godard Now,\" _Interview_ 24 [July 1994], 5). In 2002, Godard observed that his dependence on video has encouraged him to privilege the accumulation historical documents over fictional features, explaining, \"They are the same thing. I do not make the distinction... an extract of the Nuremberg trials and a shot of Hitchcock both tell us what we have been. Both are cinema\" (Antoine de Baecque, \"Entretien avec Jean-Luc Godard: Le Cin\u00e9ma a \u00e9t\u00e9 l'art des \u00e2mes qui ont v\u00e9cu intimement dans l'Histoire,\" _Lib\u00e9ration_ , April 6\u20137, 2002, 45).\n\n38. Ciment and Goudet, \"Entretien Jean-Luc Godard,\" 52. Godard also argued that what \"video permits, as in music, is the fluidity of superimpositions\" (52).\n\n39. As Godard explained to Youssef Ishaghpour:\n\nTechnically it was textbook stuff, very simple things. Of the forty possibilities in the list I used one or two, mostly overprinting to help retain the original cinema image, while if I'd tried to do the same thing with film I'd have had to use reverse negative copies and that causes a loss of quality, above all you can alter the image easily with video, while with film all variation has to be preplanned. Incidentally, there was no huge console, no team with twenty-five video screens, I didn't even have a video librarian: it was an act of painting. The overprints, all that comes from cinema, they were tricks M\u00e9li\u00e8s used... (Godard and Ishaghpour, _Cinema_, 32\u201333)\n\nAs he observed in another interview, \"All of that was done very simply, with very old equipment. I have a studio that is not very sophisticated, neither George Lucas nor Le Fresnoy, maybe M\u00e9li\u00e8s\" (Godard, _The Future(s) of Film_ , 26).\n\n40. \"The Joy of Celluloid,\" _Guardian_ , October 10, 2011, available online at <http:\/\/www.theguardian.com\/artanddesign\/2011\/oct\/10\/steven-spielberg-martin-scorsese-celluloid>. Another version of this quotation is used in _Notre musique_ , where it is attributed to French philosopher Claude Lefort.\n\n41. Godard and Ishaghpour, _Cinema_, 32. Later in the interview, Godard elaborates:\n\nSomewhere between the video game and the CD-ROM there could be another way of making films, which would be a lot closer to [Jorge Luis] Borges and people like him. But it'll never be done, we needn't worry... Perhaps one day there will be someone, a Chris [Marker] or a [Johan] Van der Keuken, who will make that sort of film.... I find though that Van der Keuken for example doesn't dominate the stuff at all, it's either very cinema or too video-arcade and you lose the thread, it needs a comprehensive key. In my case, with _Histoire(s)_ , no key is needed. (39)\n\nIn 1985, Godard declared, \"Today, the cinema is still being made, but the cinema will disappear when it is no longer projected. It will become something else\" (Alain Bergala, \"L'Art \u00e0 partir de la vie: entretien avec Jean-Luc Godard,\" in Bergala, _Godard par Godard_, 1:16). He maintained this distinction when speaking more specifically about _Histoire(s) du cin\u00e9ma_ , arguing that while the image may look \"better on TV, if your TV set is properly adjusted and [you have] fairly good stereo equipment,\" you do not have the feeling of projection, which is \"peculiar to cinema\" (Smith, \"Jean-Luc Godard,\" 192).\n\n42. At the press conference held at the 1997 Cannes Film Festival, Godard explained that although \"it was a small video at the beginning... it was transferred to 35mm with digital techniques, which are more precise. Therefore, one could say that I also make special effects\" (Paul Amar, \"Godard\/Amar: Cannes 97,\" in Bergala, _Godard par Godard_, 2:414).\n\n43. Although they are, by design, more episodic, both of the multipart television series Godard completed in the 1970s employ techniques that anticipate _Histoire(s) du cin\u00e9ma_ , such as the use of slow overlapping dissolves and superimposition to create a montage between still images in _France\/tour\/d\u00e9tour\/deux\/enfants_. The final section of \"Movement 2,\" for instance, demonstrates this process for the viewer by first showing an image being developed and then juxtaposing black-and-white and color images from different periods (often with words like \" _histoire_ \" or \" _lumi\u00e8re_ \" overlaid), generating a historical montage by interrelating images of Nazi rallies, concentration camps, and suffering in Vietnam with images of athletes, political leaders, and film stars. _Six fois deux (Sur et sous la communication)_ has fewer technical links to _Histoire(s) du cin\u00e9ma_ , but, like the later work, it is arranged into dialectically paired sections labeled 1A, 1B, 2A, 2B, etc.\n\n44. Individual sections of _Histoire(s) du cin\u00e9ma_ were shown at special events, festivals, and retrospectives in France, Germany, England, Canada, and the United States during the period the project was being developed. The work was shown as a complete unit at the Cin\u00e9 Lumi\u00e8re (Institut fran\u00e7ais) in London on September 27, 1997, and it was subsequently shown that way in Paris (in 1998) and at the Museum of Modern Art (in 2004). Godard does not appear to have given any guidelines on where to place intermissions.\n\n45. Quoted in David Sterritt, _The Films of Jean-Luc Godard: Seeing the Invisible_ (Cambridge: Cambridge University Press, 1999), 20.\n\n46. In a 1998 interview, for example, Godard observed, \"I tried several times to put the eight programs on course. They already had the same titles without my knowing what I would put in each one, but the titles remained, which helped with classification: eight folders for sorting images, clips, and sounds] for eight programs\" ([Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 26). Similar comments were made to Alain Bergala in 1997 and to Youssef Ishaghpour in 2000:\n\nI had a plan that I never changed, which is the name of the eight programs. I knew that the first episode, _Toutes les histories_ , would show that the cinema was immediately seized by all. (Bergala, \"Une boucle boucl\u00e9e: Nouvel entretien avec Jean-Luc Godard par Alain Bergala,\" in Bergala, _Godard par Godard_ , 2:16)\n\n _Histoire(s) du cin\u00e9ma_ is] eight films combined in one, both together. It came like that.... It's a big book with eight chapters, and that layout didn't budge in ten years. ([Godard and Ishaghpour, _Cinema_ , 5)\n\nGodard has also suggested that at one stage he conceived a work much longer than the one he eventually made: \"The most interesting [aspect] is the notes. [To fully develop these ideas] would require a film lasting one hundred hours. This is what I naively thought of making at the time\" (Bergala, \"Une boucle boucl\u00e9e,\" 15).\n\nThe title of the project also changed several times while it was in production. In a lecture to the students of La F\u00e9mis on April 26, 1989, for example, Godard referred to \"the history of cinema that I am preparing, _Quelques histoires \u00e0 propos du cin\u00e9ma_ \" (Jean-Luc Godard, \"Le Montage, la solitude et la libert\u00e9,\" in Bergala, _Godard par Godard_ , 2:242).\n\n47. Ren\u00e9 Bonnell told Richard Brody, \"We had great press [for the initial broadcast of _Toutes les histoires_ , 1A and _Une histoire seule_ , 1B], but nobody watched. It was practically a grant\u2014the films hardly had an audience, they had an audience too small to be measured\u2014but we had extraordinary press, and Canal Plus doesn't live on viewership alone, but also on its image\" (Richard Brody, _Everything Is Cinema: The Working Life of Jean-Luc Godard_ [New York: Metropolitan Books, 2008], 517). In return for their cosponsorship, _Toutes les histoires_ (1A) and _Une histoire seule_ (1B) were broadcast on FR3 a year after their Canal Plus premieres (on May 7 and 14, 1989, according to Jacques Siclier, \"Les 'Histoires' de Jean-Luc Godard: Si fort est son amour,\" _Le Monde_ , May 6, 1989, 16).\n\n48. In 2000, Godard described his new agreement with Gaumont as marking a major shift in his approach:\n\nWhen _Histoire(s) du cin\u00e9ma_ was first taken up by Gaumont, it had been on hold for three or four years. I hadn't completed my plan, I had only made the first two chapters although there were eight in preparation. At the time Canal+ and a lot of other institutions didn't want to make them. Then Gaumont took the project on, and all of a sudden I found myself wondering how I was going to go about it, where to restart the thing. (Godard and Ishaghpour, _Cinema_, 8\u20139)\n\n49. A press document released by JLG Films and the catalog accompanying the 1992 exhibition at the Museum of Modern Art, _Jean-Luc Godard: Son + Image, 1974\u20131991_ , list the titles and dedications of the ten-part version (with each part listed as a \"chapter\") as follows:\n\nChapitre 1A\u2014 _Toutes les histoires_ \u2014Mary Meerson\n\nChapitre 1B\u2014 _Une histoire seule_ \u2014John Cassavetes\n\nChapitre 2A\u2014 _Seul le cin\u00e9ma_ \u2014Gideon Bachmann\n\nChapitre 2B\u2014 _Fatale beaut\u00e9_ \u2014Nicole Ladmiral\n\nChapitre 3A\u2014 _La Monnaie de l'absolu_ \u2014Andr\u00e9 Malraux\n\nChapitre 3B\u2014 _La R\u00e9ponse des t\u00e9n\u00e8bres_ \u2014Mich\u00e8le Fink\n\nChapitre 4A\u2014 _Une vague nouvelle_ \u2014Fr\u00e9d\u00e9ric C. Froeschel and Armand Caulier\n\nChapitre 4B\u2014 _Montage, mon beau souci_ \u2014Jacques Rivette and Anne-Marie Mi\u00e9ville\n\nChapitre 5A\u2014 _Le Contr\u00f4le de l'univers_ \u2014Albert Einstein\n\nChapitre 5B\u2014 _Les Signes parmi nous_ \u2014Charles F. Ramuz (Bellour and Bandy, _Jean-Luc Godard_ , 123)\n\nIn the completed, eight-part version, _La R\u00e9ponse des t\u00e9n\u00e8bres_ and _Montage, mon beau souci_ dropped out. However, the words do still appear in a sequential list of titles that appears onscreen in the final versions of _Seul le cin\u00e9ma_ (2A), _Fatale beaut\u00e9_ (2B), and _La Monnaie de l'absolu_ (3A). In all three of these sections, the titles appear in a slightly different order from the above: _Seul le cin\u00e9ma, Fatale beaut\u00e9, La Monnaie de l'absolu, La R\u00e9ponse des t\u00e9n\u00e8bres, Montage, mon beau souci, Une vague nouvelle, Le Contr\u00f4le de l'univers, Les Signes parmi nous_ , finally ending with the words _Histoire(s) du cin\u00e9ma_. The order is scrambled further in the final versions of _Une vague nouvelle_ (3B), _Le Contr\u00f4le de l'univers_ (4A), and _Les Signes parmi nous_ (4B), suggesting that Godard continued to restructure this template up until the final moment.\n\nGodard described the intended plan for _La R\u00e9ponse des t\u00e9n\u00e8bres_ , listed as 3B, in his interview with Daney:\n\nI think that, until the camps, cinema was the identity of nations and peoples (who were more or less organized into nations) and that after the camps, it sort of disappeared. I deal with this in a program, program 3B, _La R\u00e9ponse des t\u00e9n\u00e8bres_ , which talks about war films and says, more or less, that cinema is primarily a Western art form, made by white guys. And when I talk with Anne-Marie Mi\u00e9ville], whose family wouldn't let her watch films, except for Westerns, which she hated... still does today, even John Ford's, she has trouble with all those men on horses, all those guys. ([Daney, \"Godard Makes [Hi]stories,\" 165)\n\n_Montage, mon beau souci_ is described as coming \"from an article I had written in all innocence but that I don't understand very well today. The idea is that, just as painting succeeded in reproducing perspective, cinema should have succeeded in something, too, but was unable to, due to the application of the invention of sound. But there are traces of it...\" (Daney, \"Godard Makes [Hi]stories,\" 167).\n\n50. Godard explained, \"It could go on forever... . But at some point, it is necessary to reach the conclusion; if not, it would last thirty years, with a series of annexes, the genre _Nouvelles histoire(s) du cin\u00e9ma_. It would never end\" (Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 26). Godard implies here and elsewhere that the project was ended because he felt he had found the right point. Biographer Antoine de Baecque argues instead, \"Without doubt... Godard would have liked to leave his series incomplete, as a film without an ending, so that he could always come back to it, change elements, integrate extracts, metamorphose ideas... . But the main sponsor of the work, Gaumont, wished to close the loop by presenting the last two sections at Cannes in 1997\" (de Baecque, _Godard, biographie_, 751). It is likely that Gaumont, which had been subsidizing the work with no possibility of recouping costs for several years, was putting pressure on Godard to finish it, which would help explain why the ten-part plan was reduced to eight parts at some point between 1992 and 1997. Nevertheless, given the tone of Godard's many statements about the _Histoire(s) du cin\u00e9ma_ throughout the 1990s and the existence of outlines like the one included in the files of the Museum of Modern Art, there is also no reason to accept the contention that it was ultimately meant to be left unfinished (however invested Godard was, and remains, in keeping it \"open\").\n\n51. During conversations on March 3 and 4, 2015, Bernard Eisenschitz, who had been commissioned to create an inventory of the material quoted by Godard, explained that the most serious issues were with the Nicolas de Sta\u00ebl paintings. Godard made his own copies for the broadcast\/release version of _Histoire(s) du cin\u00e9ma_.\n\n52. This treatment of music is very similar to Godard's use of texts. Although there are important examples of quotations from the middle of a book, a large percentage of the quotations in Godard's work are from the very beginning or very end of a work, sometimes from the first or last page. According to Colin MacCabe, Godard's sister V\u00e9ronique recalled \"her elder brother often telling both her and Claude that you needed to read only the first and the last page of any book\" (MacCabe, _Godard_ , 399).\n\n53. _Two or Three Things I Know About Her c_ ontains eleven linked musical extracts from Beethoven's String Quartet Number 16 (opus 135), gradually moving from the first to the third movement. Although it is interwoven with passages from other Beethoven string quartets (in particular, opuses 59, 74, and 132) and is repeatedly interrupted, _First Name: Carmen_ includes all four movements of opus 135 and ends with the conclusion of the final movement.\n\n54. MacCabe, _Godard_, 212. The commercially released version with the song at the end is called _Sympathy for the Devil_ (the title of a song originally included on the 1968 Rolling Stones album, _Beggars Banquet_ ); _One + One_ is the title of Godard's original cut.\n\n55. In addition to subscribing to the notion articulated in Athenaeum Fragment 116 of a Romantic art that is \"still in the state of becoming... that should forever be becoming and never be perfected,\" Godard's approach is also very much in line with Schlegel's idea of contradiction and fragments, as the following parallel passages demonstrate (Schlegel, _Philosophical Fragments_, 32):\n\nAthenaeum Fragment 24: Many of the works of the ancients have become fragments. Many modern works are fragments as soon as they are written. ( _Philosophical Fragments_ , 21)\n\nGodard: At the time [the mid-1960s] there began to be a quite clear sense of fragments.... I even accentuated this to the point of making an entire film out of a fragment. ( _True History_ , 174)\n\nAthenaeum Fragment 103: The fact that one can annihilate a philosophy\u2014whereas a careless person can easily accidentally annihilate himself as well\u2014or that one can prove that a philosophy annihilates itself is of little consequence. If it's really philosophy, then, like the phoenix, it will always rise again from its own ashes. (Schlegel, _Philosophical Fragments_, 30)\n\nGodard: [I'm] always interested in the moment when something is destroyed, either destruction or construction, and the moment between the two. I think this is where the most interesting moments are always found. A film should start at the end of something\u2014that's why all films are the end of something, or the beginning. ( _True History_ , 338)\n\nAthenaeum Fragment 121: An idea is a concept perfected to the point of irony, an absolute synthesis of absolute antitheses, the continual self-creating interchange of two conflicting thoughts. (Schlegel, _Philosophical Fragments_, 33)\n\nGodard: I'm trying to destroy what is preventing me from being what I believe myself to be inside, and at the same time... to reconstruct it in a different manner. ( _True History_ , 377)\n\nThe ethical union Schlegel postulated between a classical unity predicated on homogeneous assemblage and a Romantic totality (\" _Ganzheit_ \") founded on the always provisional weaving together of \"extremely heterogeneous components\" could also be related to Godard's approach in _Histoire(s) du cin\u00e9ma_ (quoted in Schlegel, _Philosophical Fragments_, 20).\n\n56. Brody, _Everything Is Cinema_, 39. One notable exception to the critical neglect of this aspect of Godard's work is Raymond Bellour, who has invoked the Romantics in general and Schlegel in particular in analyzing Godard's treatment of love:\n\nIt remains to write on Godard's behalf this \"letter to the beloved,\" which he so eloquently claims lives in every work (see _Changer d'image_ [1981]), and indeed is every work. We've known this since Rousseau, since the Romantics, since Schlegel and his \"Letter\" _On Philosophy (to Dorothea)_ [1798]\u2014Dorothea-Lucinda, the woman-light, she who gives form and life to light, when she stands behind both the man and the work. (Raymond Bellour, \"(Not) Just an Other Filmmaker,\" in Bellour and Bandy, _Jean-Luc Godard_ , 228)\n\nJacques Aumont also described Godard as \"heir to the Romantics\" in _Amn\u00e9sies: Fictions du cin\u00e9ma d'apr\u00e8s Jean-Luc Godard_ (Paris: P.O.L., 1999), 30.\n\n57. Jean-Luc Godard, \" _Hollywood or Bust_ ,\" translated by Tom Milne in _Godard on Godard_ , edited by Tom Milne (New York: Da Capo Press, 1972), 58.\n\n58. Jean-Louis Comolli, Michel Delahaye, Jean-Andr\u00e9 Fieschi, and G\u00e9rard Gu\u00e9gan, \"Let's Talk about Pierrot,\" translated by Tom Milne in Milne, _Godard on Godard_ , 219.\n\n59. Ibid., 216.\n\n60. Jean-Luc Godard and Michel Delahaye, \"The Question,\" in _Robert Bresson (Revised)_ , edited by James Quandt (Bloomington: Indiana University Press, 2011), 650\u2013652.\n\n61. The text, spread out over several minutes, reads \" _La Vocation th\u00e9\u00e2trale de Guillaume Meister et ses apprentisages et ses ann\u00e9es de voyage_ ,\" the French titles of the first ( _Wilhelm Meister's Apprenticeship_ , 1796) and the second ( _Wilhelm Meister's Travels_ , 1829) parts of Goethe's novel. The allusion to the protagonist's \"theatrical vocation\" is connected to his revolutionary aspirations by the montage strategies Godard employs and by text scrawled on a dilapidated building reading \" _th\u00e9\u00e2tre ann\u00e9e z\u00e9ro_.\" Schlegel describes the Goethe novel as one of the three great \"tendencies of the age\" in Athenaeum Fragment 216 (Schlegel, _Philosophical Fragments_, 46).\n\n62. In 1793, a Revolutionary Calendar was introduced that began with the autumnal equinox and changed the names of the months (the first month, \"Vend\u00e9miaire,\" began in late September, the second, \"Brumaire,\" began approximately thirty days later, etc.). This calendar remained in use until 1805, and Godard uses the names of the months as chapter headings in both _Weekend_ and _JLG\/JLG\u2014Self-Portrait in December_. In the latter film, the names of the months appear on the pages of Godard's notebook as breaks within the sections of the film, but they appear out of order and sometimes in reverse (proceeding, for example, from the third month, \"Frimaire,\" to \"Brumaire,\" and then finally \"Vend\u00e9miaire\"), another way Godard links them to an idea of continual renewal.\n\n63. Godard and Gorin made similar claims (see, for example, Michael Goodwin, Tom Luddy, and Naomi Wise, \"The Dziga Vertov Group in America: An Interview with Jean-Luc Godard and Jean-Pierre Gorin,\" _The Georgia Straight_ 5, no. 67, May 18, 1971).\n\n64. Despite the absence of formal credits, Godard's voice can be clearly made out in _Un film comme les autres_ (1968), and a dialogue between Godard and Gorin makes up most of the soundtrack to _Letter to Jane_ (1972). In a lecture at Bard College on June 24, 2014, Gorin explained that although he and Godard \"were accused of following the Maoist catechism to the nth degree,\" they \"were trying to unfurl things in a constantly provisional way.\" Unlike the works produced by other radical organizations in the period, Gorin argued, the Groupe Dziga Vertov films were \"intended to absolutely infuriate [and wake up] the Left.\"\n\n65. It could, of course, be reasonably objected that this is part of historical dialectics (the French Revolution was a key reference point for both Karl Marx and Vladimir Lenin), but what is unusual here is the manner in which these ideas are articulated. For all Godard's pretense to objectivity, the fixation on landscapes and on an emotionally extravagant style of political rhetoric suggests the treatment of Revolutionary fervor in novels like Victor Hugo's _Ninety-Three_ (1874) more than cold, rational analysis. In _Pravda_ , for example, Godard paraphrases Friedrich Engels' _Dialectics of Nature_ (1883) and declares, \"Don't say 'nature,' say 'dialectic of nature,'\" but although this may apply to the montage style of the film, it is hard to see what is dialectical about the symbolically charged use of red, a color motif that runs throughout the film and culminates in a heavily saturated image of a rose. In the Groupe Dziga Vertov films, as in his other work, Godard's Marxist politics and his Romantic imagination are interrelated and, in many cases, mutually reinforcing.\n\n66. Alan Riding, \"What's in a Name If the Name Is Godard?\" _New York Times_ , October 25, 1992, 11. Godard has reiterated this on other occasions. In 1996, for example, he argues that it was cinema that led him to re-evaluate his political commitments:\n\nWhen I made _Histoire(s) du cinema_ , the ensemble of history was seen better. At one moment, in a section on the New Wave, I say that our only error was to believe that the New Wave was a beginning. Just as in May '68, one said: \"This is only a beginning.\" My films are part of a current of the European Left that flies from defeat into defeat, in a beautiful romantic spirit. The cinema limited my militantism and permitted me to see its romanticism better. (Bonnaud and Kaganski, \"Le Cin\u00e9ma,\" 384)\n\n67. The passage Godard uses is this:\n\nIn this simple form of assent [after Jim says, \"Let them go\" and people said they \"believed\" him] to his will lies the whole gist of the situation; their creed, his truth; and the testimony to that faithfulness which made him in his own eyes the equal of the impeccable men who never fall out of the ranks. Stein's words, \"Romantic!\u2014Romantic!\" seem to ring over those distances that will never give him up now to a world indifferent to his failings and his virtues, and to that ardent and clinging affection that refuses him the dole of tears in the bewilderment of a great grief and of eternal separation. (Joseph Conrad, _Lord Jim_ [New York: W.W. Norton, 1996], 233)\n\nIn _H\u00e9las pour moi_ , \"Madame Monod\" (the name of Godard's maternal family) recites parts of this passage after two students repeatedly ask her to tell them what Romanticism is, explaining that \"it is really important.\" The protagonist of _D\u00e9tective_ says that he was given Conrad's book by his mother, who told him that he should open it, to any page, at a turning point in his life and he would find something useful.\n\n68. P\u00e9guy's arguments are laid out most clearly in _Notre jeunesse_ (1910). His posthumously published book about the spirit of history, _Clio_ (1917), is discussed in _Les Signes parmi nous_ (4B).\n\n69. _Blind Love_ (Alexander Kluge, 2001). Godard was equally explicit at the Cannes press conference for the film in May 1991: \"Although I am of French origin, and very French, Germany] is a country that formed me a bit\u2014by its literature, especially Romanticism\u2014during my adolescence\" (Jean-Luc Godard, \"Ne raconte pas d'histoires,\" in [Bergala, _Godard par Godard_, 2:224). Similar comments were made in Ciment and Goudet, \"Entretien Jean-Luc Godard,\" 55.\n\n70. Jean-Luc Godard and Andr\u00e9 S. Labarthe, \"Le Cin\u00e9ma est fait pour penser l'impensable,\" in Bergala, _Godard par Godard_, 2:296.\n\n71. Jean-Luc Godard, \" _JLG\/JLG, autoportrait de d\u00e9cembre_ ,\" in Bergala, _Godard par Godard_, 2:288. The end of Godard's statement is a paraphrase of the humanistic final line of Sartre's autobiography: \"A whole man, composed of all men and as good as all of them and no better than any\" (Jean-Paul Sartre, _The Words_ , translated by Bernard Frechtman New York: George Braziller, 1964], 255). The actual line used in _JLG\/JLG\u2014Self-Portrait in December_ is slightly different: \"A man, nothing but a man, no better than any other... [pause] but no other better than him.\" This revised version may also include an allusion to the opening of [Rousseau's _Confessions_:\n\nMyself alone. I feel my heart and I know men. I am not made like any that I have seen; I venture to believe that I was not made like any that exist. If I am not more deserving, at least I am different.... \"Assemble about me, Eternal Being, the numberless host of my fellow-men; let them hear my confessions, let them groan at my unworthiness, let them blush at my wretchedness. Let each of them, here on the steps of your throne, in turn reveal his heart with the same sincerity; and then let one of them say to you, if he dares: _I was better than that man_.\" (Jean-Jacques Rousseau, _Confessions_ , translated by Angela Scholar [Oxford: Oxford World's Classics, 2000], 5)\n\n72. Malraux's _Psychologie de l'art_ was originally published in three volumes between 1947 and 1949. The text was subsequently revised and expanded into a single-volume edition, _Les Voix du silence_ (Paris: Gallimard, 1951). _La Monnaie de l'absolu_ , the title of the 3A section of _Histoire(s) du cin\u00e9ma_ , is also the French title of the final section of Malraux's work (it was translated by Stuart Gilbert as _The Triumph of the Absolute_ when it was published as the third volume of _The Psychology of Art_ [New York: Pantheon Books, 1951] and as \"Aftermath of the Absolute\" in _The Voices of Silence_ [Garden City, NY: Doubleday, 1953]). Malraux's idea of an imaginary museum also informs a scene in _Les Carabiniers_ in which the two male leads rifle through a series of postcard representations of famous places and artworks (a scene that also functions as an ironic commentary on the commodification of experience).\n\n73. The French phrase as it appears in _Toutes les histoires_ (1A) and, with slight variations, in _Fatale beaut\u00e9_ (2B), _Sc\u00e9nario du film Passion_ (1982), and _JLG\/JLG\u2014Self-Portrait in December_ is \" _l'art, c'est-\u00e0-dire ce qui rena\u00eet dans ce qui a \u00e9t\u00e9 br\u00fbl\u00e9_ \" (\"Art is that which has been reborn from that which is burned\"). Godard is alluding here to the final sentence of the first section of Malraux's _Les Voix du silence_ : \" _Car le g\u00e9nie est ins\u00e9parable de ce dont il na\u00eet, mais comme l'incendie de ce qu_ ' _il br\u00fble_ \" (144). This was translated into English as \"For genius is inseparable from that which gives it birth as is a conflagration from that which it consumes\" (Malraux, _The Voices of Silence_ , 146). Godard appears to have publicly referred to this passage for the first time in a 1957 essay on Jean Renoir, in which he writes, \"Genius, Malraux wrote somewhere, is born like fire. _Of what it consumes_ \" (Jean-Luc Godard, \"Jean Renoir,\" translated by Tom Milne in Milne, _Godard on Godard_ , 63).\n\n74. To the best of my knowledge, Godard has never spoken directly about _Nostalghia_ (which attracted considerable attention after its 1983 Cannes premiere), but it is highly likely he saw it, especially since he cast the otherwise obscure lead actress Domiziana Giordano as the female protagonist in _Nouvelle vague_. The use of Andrei Rublev's _Archangel Michael_ (ca. 1410s) at the end of _Seul le cin\u00e9ma_ (2A) is a likely reference to Tarkovsky's film about the artist ( _Archangel Michael_ is one of the final icons shown in the epilogue).\n\n75. The relationship between objects and illumination is an abiding interest in Godard's work. Candles and lighters also feature prominently in films like _D\u00e9tective_ , and Hasumi Shigehiko has persuasively identified Godard as one of the great creators of \"lamp films\" (see, for example, \"Who Can Put Out the Flame?\" in _Hou Hsiao-hsien_ , edited by Richard I. Suchenski [Vienna: \u00d6sterreichisches Filmmuseum; New York: Columbia University Press, 2014], 111\u2013112).\n\n76. Tarkovsky attached mystical significance to the idea of making this particular shot, lasting for nearly eight minutes, work in a single take. Lead actor Oleg Yankovsky later explained the meaning this had for Tarkovsky in a text entitled \"How We Shot the 'Inextinguishable Candle' Episode for _Nostalghia_ ,\" available online at <http:\/\/people.ucalgary.ca\/~tstronds\/nostalghia.com\/TheTopics\/Yankovsky.html>). According to Yankovsky, Tarkovsky started the shoot with this shot, telling the actor that he \"chose this scene without words for you, an entire human life, from birth to death. In fact the leading character promises a deranged man he will carry a burning candle through the waters of the St. Catherine pool, and in so doing heal him.\" When asked why he placed such importance on the candle, Tarkovsky responded: \"Because of the flame, the unprotected fire. Remember the candles in Orthodox churches, how they flicker. The very essence of things, the spirit, the spirit of fire.\"\n\n77. Godard and Labarthe, \"Le Cin\u00e9ma,\" 297.\n\n78. Godard, \"Le Montage,\" 244. Several months earlier, Godard said, even more directly, \"Cinema is montage\" (Mich\u00e8le Halberstadt, \"Godard arr\u00eat sur images: Le Cin\u00e9aste commente quelques photos de SOIGNE TA DROITE,\" _Premi\u00e8re_ 130 [1988], 59).\n\n79. Jean-Luc Godard, \"Montage, mon beau souci,\" _Cahiers du cin\u00e9ma_ 65 (December 1956), 30\u201331; translated by Tom Milne as \"Montage, My Fine Care\" in Milne, _Godard on Godard_ , 39\u201341.\n\n80. Ibid., 39; Godard, \"Le Montage,\" 245.\n\n81. Godard, \"Montage, My Fine Care,\" 40.\n\n82. Ibid., 39.\n\n83. Jean-Luc Godard, \" _The Wrong Man_ ,\" translated by Tom Milne in Milne, _Godard on Godard_ , 49.\n\n84. Ibid., 50. The phrase that Godard uses in the original essay (Jean-Luc Godard, \"Le Cin\u00e9ma et son double,\" in _Godard par Godard: Les Ann\u00e9es cahiers (1950 \u00e0 1959)_ , edited by Alain Bergala [Paris: Flammarion, 1989], 93), \" _les donn\u00e9es imm\u00e9diates de la conscience_ ,\" is a reference to the title of Henri Bergson's first book, _Essai sur les donn\u00e9es imm\u00e9diates de la conscience_ (1889).\n\n85. Godard's montage of art historical images in _La Monnaie de l'absolu_ (3A) suggests that this tradition does have precursors earlier with works like Johannes Vermeer's _Girl with a Pearl Earring_ (1665), but the fact that seven separate Manet paintings are included reinforces his centrality.\n\n86. At the very end of _La Monnaie de l'absolu_ (3A), Godard inserts onscreen text reading \"a thought \/ which forms \/ a form \/ which thinks,\" accompanied by a photograph of Pier Paolo Pasolini and the cropped face of a man from Piero della Francesca's _The Legend of the True Cross_ (1453\u20131455).\n\n87. Godard, \"Le Montage,\" 245.\n\n88. Serge July, \"Alfred Hitchcock est mort,\" in Bergala, _Godard par Godard_ _: Des ann\u00e9es Mao aux ann\u00e9es 80_ , 179.\n\n89. Godard, \"Le Montage,\" 242.\n\n90. Ibid., 245.\n\n91. Jean-Luc Godard, \" _Histoire(s) du cin\u00e9ma_ : \u00c0 propos de cin\u00e9ma et d'histoire,\" in Bergala, _Godard par Godard_, 2:403. Godard has been arguing that Eisenstein's main achievement was the discovery of angles rather than montage since the 1970s (see, for example, Godard, \" _Moi, je_ , projet de film,\" 237, or Godard, _True History_ , 223\u2013224).\n\n92. Breton writes, \"If one accepts, as I do, Reverdy's definition [of the image] it does not seem possible to bring together, voluntarily, what he calls 'two distant realities.'\" For Breton, \" _the light of the image_ \" can be \"sprung\" only from \"the fortuitous juxtaposition of the two [realities]\" (Andr\u00e9 Breton, _Manifestoes of Surrealism_ , translated by Richard Seaver and Helen R. Lane [Ann Arbor: University of Michigan Press, 1969], 36\u201337).\n\n93. The poem was first published in _Nord-Sud_ 2, no. 13 (March 1918). It was reprinted in Pierre Reverdy, _Le Gant de crin_ (Paris: Flammarion, 1968), 30\u201332.\n\n94. In 1967, Godard explained the importance of this in the following terms:\n\nIf you didn't base yourself on realism you wouldn't be able to do anything any more, you couldn't even step into a taxi in the street, always assuming you dared to go out in the first place. But I believe everything. It isn't about two separate things\u2014one \"real\" and the other a \"dream.\" It's all just one thing. _Belle de jour_ [Luis Bu\u00f1uel, 1967] is fantastic. (Jean-Luc Godard, \"Struggling on Two Fronts,\" translated by Diana Matias in _Cahiers du cin\u00e9ma: The 1960s_ , edited by Jim Hillier [Cambridge, MA: Harvard University Press, 1986], 298)\n\n95. Louis Aragon, _Paris Peasant_ , translated by Simon Watson Taylor (Boston: Exact Change, 1994), 204. In his book _Compulsive Beauty_ (Cambridge, MA: MIT Press, 1993, 20), Hal Foster explains that Aragon first elucidated this key Surrealist concept in 1924. The poems Louis Aragon wrote during the Occupation of France, particularly those collected in the 1941 book _Le Cr\u00e8ve-coeur_ , are used frequently in Godard's work of the 1980s and 1990s and had been quoted as early as _Breathless_. In addition to references in _JLG\/JLG\u2014Self-Portrait in December_ , the book is alluded to or quoted in _Toutes les histoires_ (1A) and _La Monnaie de l'absolu_ (3A), where Aragon's photo also appears. A poem from one of Aragon's postwar collections, 1946's _La Diane fran\u00e7aise_ , is used in the following section ( _Une vague nouvelle_ , 3B).\n\n96. Godard conducted a conversation with Pelechian that was published in _Le Monde_ shortly after the launch of the Armenian director's first Paris retrospective at the Galerie Nationale du Jeu de Paume in March 1992 (Jean-Luc Godard, \"Un langage d'avant Babel,\" _Le Monde_ , April 2, 1992, 28). In it, Pelechian, modifying ideas from the silent era, describes the \"language of cinema\" not as a \"synthesis of the other arts,\" but as \"dating from the tower of Babel, from before the division into different languages.\" Godard agrees, incorporating his often-repeated comments linking the coming of sound to the rise of nationalism:\n\nSound technology came at the moment of the rise of fascism in Europe, which is also the period of the advent of the speaker. Hitler was a magnificent speaker, and also Mussolini, Churchill, de Gaulle, Stalin. Talkies were the triumph of the theatrical scenario against the language that you referred to, from before the curse of Babel.\n\nYet while Pelechian shares much with Godard\u2014both filmmakers blur the boundaries between documentary and fiction and transform found footage into montage material, interweaving different historical periods into a complex matrix\u2014the execution and ultimate goals of their montage approaches differ in a way that highlights the importance of German Romanticism to Godard's thinking. For Pelechian, distance montage would substitute for the \"explosive\" collisions of Eisenstein or Lev Kuleshov, \"a retroaction, the effect of returning, which loops the sequence or the film itself. Flux and reflux. Movement from birth to death but also from death to birth: growth-degradation, death-resurrection\" (Fran\u00e7ois Niney, \"Entretien avec Artavazd Pelechian,\" _Cahiers du cin\u00e9ma_454 [April 1992], 35). In Pelechian's films, this occurs primarily through the repeated returns to clusters of imagery in which actions are filmed from a number of vantage points (often through the use of mirror printing). _The Seasons_ (1975), for example, begins with a cluster of shots showing a man pulling a goat down a mountain and ends with the inverse of the first image; at three separate points in between, the smooth flow of the film is broken up by the rapid cutting around actions in a way that is homologous to this opening scene, creating a form of rhythmic structure that harmonizes with that of Vivaldi's _The Four Seasons_ (opus 8, 1723, which is used throughout on the soundtrack). Thus, the final images that often occur after Pelechian's films seem to end lock everything into a continuous loop, thereby overcoming the dictates of ordinary time. As Pelechian explains:\n\nDistance montage creates a magnetic field around the film. It's like when a light is turned on and generates a magnetic field around the lamp. In distance montage when the two ends are excited, the whole thing glows. Sometimes I don't call my method \"montage.\" I'm involved in a process of creating unity. In a sense I've eliminated montage: by creating the film through montage, I have destroyed montage. In the totality, in the wholeness of one of my films, there is no montage, no collision, so as a result montage has been destroyed. In Eisenstein, every element _means_ something. For me, the individual fragments don't mean anything anymore. Only the _whole_ film has the meaning. (Scott MacDonald, _A Critical Cinema 3_ [Berkeley: University of California Press, 1998], 102)\n\nGodard too strives to use montage to link birth and death, but, crucially, he does _not_ attempt to create a sense of wholeness in which the constituent elements are all blended together into a perfect unity. In the 1992 interview, he responds to Pelechian's claim that he is searching for \"a montage that would create around itself an emotional magnetic charge\" by saying, \"Since I am quite pessimistic, I see the end of things rather than their beginning\" (Godard, \"Un langage d'avant Babel\").\n\n97. Godard reads a modified version of the following passage from \"For a Metahistory of Film: Commonplace Notes and Hypothesis\" (words removed from the original text in brackets and italics): \"As one era slowly dissolves into the next, some individuals metabolize the former means for [ _physical_ ] survival into new means [ _for psychic survival_ ]. These latter we call art... no activity can become an art until its proper epoch has ended\" (Hollis Frampton, _Circles of Confusion: Film-Photography-Video Texts, 1968\u20131980_ [Rochester, NY: Visual Studies Workshop Press, 1983], 114). This essay was reprinted, with Jonathan Rosenbaum's \"Trailer for Godard's _Histoire(s) du cin\u00e9ma_ ,\" in a special issue of _Trafic_ , 21 (Spring 1997), timed to coincide with the premiere of most of _Histoire(s) du cin\u00e9ma_ at the Cannes Film Festival in 1997. In an article published later that year, Godard again referenced this text:\n\nI am inclined moreover to think like Hollis Frampton that the twentieth century barely existed... it had events, certainly, but few proper creations. The twentieth century was, and still is, under the influence of inventions that came before it, and I imagine that the nineteenth is ending these days. (Nicolas Truong, \"R\u00e9sistance de l'art,\" in Bergala, _Godard par Godard_, 2:445)\n\n98. Stan Brakhage, _Essential Brakhage_ (Kingston, NY: McPherson, 2001), 14. Similar comments are made in other Godard films: Carmen in _First Name: Carmen_ asks, \"What comes before the name?\" while in _King Lear_ , Professor Pluggy (Godard) insists, \"I ain't interested in names. What if we made a mistake at the very beginning and we called 'red' 'green'? How would we know today?\" Another variant of this had been used earlier in _Two or Three Things I Know About Her_ , \"What if blue had been called green by mistake,\" a probable reference to the discussion of color naming in Part II of Ludwig Wittgenstein's _Brown Book_ (the _Blue and Brown Books_ , 1958, are shown onscreen elsewhere in the film). The long section from Hermann Broch's _The Death of Virgil_ read out by Sabine Az\u00e9ma in _Fatale beaut\u00e9_ (2B), in which the poet Virgil yearns to return to the \"natal country... the universal time where nothing was silent for the silent eyes of a child and everything was a new creation,\" also reflects these preoccupations (and resonates with Brakhage's text).\n\n99. In a 1983 interview, Godard explained:\n\nPeople always want to know what things are called. Do things always have to be called by a name?... I think that the cinema should show things before they receive a name.... Today we live in an epoch of total power being given to all forms of rhetoric, a time of terrorism of language which is further accentuated by television. I, as a modest employee of the cinema, have an interest to speak of things before words and names take over, to speak of the child before daddy and mummy give it a name. (Gideon Bachmann, \"The Carrots Are Cooked: A Conversation with Jean-Luc Godard,\" in Sterritt, _Jean-Luc Godard Interviews_ , 129)\n\nThe search for the origins of images is worked into both Godard's films\u2014the protagonist of _King Lear_ endeavors to find a word that will accompany \"the dawn of the first image\"\u2014and his public comments. Tellingly, his most recent \"last film\" is a 3D feature entitled _Adieu au langage_ (2014).\n\n100. The similarities and differences come out most clearly through the two filmmakers' frequent use of shots through car windows: in Brakhage films like _Scenes from Under Childhood_ (1967\u20131970) or _Visions in Meditation_ (1989\u20131990), these shots articulate a distinctly American sense of vast space and a consciousness in the process of becoming; in Godard's films, on the other hand, motion inside cars is more often linked to existential journeys ( _Contempt, Alphaville, Pierrot le fou_ ) or to the structure of memory ( _In Praise of Love_ ). A similar comparison could be made using Godard's and Brakhage's treatment of arena-like spaces (e.g., the basketball courts in Brakhage's _Western History_ , 1971, and Godard's _Hail Mary_ , 1985) or their use of film negative (in Brakhage's _Dog Star Man_ , 1961\u20131964, and Godard's contemporaneous films _Une femme mari\u00e9e: Fragments d'un film tourn\u00e9 en 1964 en noir et blanc_ and _Alphaville_ ).\n\n101. Brakhage's use of the back-and-forth fluttering of two frame extracts of Vietnam War footage in _23rd Psalm Branch_ (1967) could be productively compared to the opening \"Hell\" montage of _Notre musique_ , the use of very brief shots in the video short _On s'est tous d\u00e9fil\u00e9_ (1988), or the rapid intercutting of disparate sources in several sections of _Histoire(s) du cin\u00e9ma_. At the same time, many of the stills used in _Histoire(s) du cin\u00e9ma_ are connected via lap dissolves with the full image held only for a beat or two (a few frames) before hard cuts to black. As with Brakhage's step-printing, the effect is of an image that is only partially apprehended before it disappears, but while both filmmakers use it to keep perception active, Godard makes stronger use of the mnemonic effect of these images (Brakhage places a greater emphasis on the suspended present of the moment of seeing).\n\n102. In both _The Dante Quartet_ and _Night Mulch_ , Brakhage paints over preexisting film material (a print of Billy Wilder's 1964 _Irma La Douce_ in the former and a trailer for Philip Kaufman's 2001 film _Quills_ in the latter). Brakhage's ironic use of onscreen text, like quotes from the _New York Times_ , in the latter film (and in _23rd Psalm Branch_ ) is similar to Godard's more systematic transformation of preexisting phrases throughout _Histoire(s) du cin\u00e9ma_. By contrast, Brakhage's open declaration of love for his family through hand-scratched text in _Untitled: For Marilyn_ is startlingly sincere.\n\n103. Brakhage was asked to introduce Godard at the Telluride Film Festival in 1989 (the same festival where he met Tarkovsky several years earlier) and their encounter is recounted in Jerry Johnson, \"Film at Wit's End,\" _Austin Chronicle_ , September 12, 1997 (available online at <http:\/\/weeklywire.com\/ww\/09-15-97\/austin_screens_feature1.html>). Godard expressed his admiration for Brakhage in a 1996 interview with Gavin Smith: \"When I read recently that an American critic wrote that _H\u00e9las pour moi_ looked like a Brakhage picture, I was very pleased\" (Smith, \"Jean-Luc Godard,\" 181).\n\n104. In 1968, Godard told an American audience, \"I'm aware of the existence of the underground cinema, but unfortunately I haven't seen many. The French National Cinematheque is the only place in France where one may see the American underground\" (Gene Youngblood, \"No Difference between Life and Cinema,\" in Sterritt, _Jean-Luc Godard Interviews_ , 11). The French company Re:Voir has made several Brakhage films available on videotape, but they only began releasing these in 1995, as _Histoire(s) du cin\u00e9ma_ was nearing completion.\n\n105. Godard told Gavin Smith that he \"was friends with Gregory Markopoulos long before I joined _Cahiers du cin\u00e9ma_. Later I don't think his pictures were good but I remember him and other people who were for a candid cinema. It was democracy. We didn't realize that the United States doesn't like democracy any more than the communist government of Russia\" (Smith, \"Jean-Luc Godard,\" 181). Both Godard and Markopoulos shared an obsessive fascination with Jean Cocteau in this period.\n\n106. In _Struggle in Italy_ , the sections of leader intercut with imagery are used to represent the gaps in bourgeois vision, and they gradually become \"filled in\" as the film progresses and the protagonist comes to understand the principles of the 1970 Louis Althusser text, \"Ideology and the State,\" that the film attempts to adapt cinematically. Godard's experiments with a black screen are roughly contemporaneous with Markopoulos' attempts to develop the visual language employed throughout _Eniaios_.\n\nBy the time he made _Histoire(s) du cin\u00e9ma_ , Godard had clearly reconceived the empty screen as primarily a rhythmic device: \"It's cinema, in other words not like literature which is more closely bound to meaning, in film there's rhythm, it's more like music, that's how I came to use black for rhythm\" (Godard and Ishaghpour, _Cinema_, 24). The most substantive change made to the versions of _Toutes les histoires_ (1A) and _Une histoire seule_ (1B) included in the final 1998 version of _Histoire(s) du cin\u00e9ma_ was the addition of passages of black, giving the whole work a more explicitly musical structure. Godard would continue to insert passages of black in many of the films and videos initiated after _Histoire(s) du cin\u00e9ma_ was underway (they are especially prominent in _H\u00e9las pour moi, The Old Place_ , and _In Praise of Love_ ).\n\n107. As Godard explained:\n\nIt's the duty to say in the course of a patient's treatment, the duty to look into the recovery that is extremely painful. Even though I'm the son of a doctor, it's hard for me to go to the doctor because then you have to say and look, and you have to confront that with seeing and speaking....  _Les Signes parmi nous_ , 4B] says if you film a traffic jam in the streets of Paris and if you know how to see it (not just me, but [Nobel Prize\u2013winning bacteriologist] Fran\u00e7ois Jacob and I), we discover\u2014if we know how to see\u2014a vaccine for AIDS. ([Daney, \"Godard Makes [Hi]stories,\" 165\u2013167)\n\nSimilar ideas are verbalized by Godard onscreen in _Fatale beaut\u00e9_ (2B):\n\nThe history of cinema is first linked to that of medicine. Eisenstein's tortured bodies, beyond Caravaggio and El Greco, speak to [Andreas] Vesalius' dissections. Joan Fontaine staring at the glass of milk [Godard here dissolves to Manet's _The Dead Christ with Angels_ (1864)] does not correspond to a [Eug\u00e8ne] Delacroix heroine but to [Louis] Pasteur's dog. Kodak made its fortune with X-rays, not with Snow White.... Oh, how many screenplays about babies, about flowers... but how many about bursts of gunfire? [The onscreen text at the end reads, \" _Vrai \/ fauxtographie_.\"]\n\n108. _An Extraordinary Woman: Selected Writings of Germaine de Sta\u00ebl_ , edited and translated by Vivian Folkenflik (New York: Columbia University Press, 1987), 300. Napoleon suppressed _On Germany_ , and Godard plays off of these associations by having the most widely quoted statement from that book directed to him in _Fatale beaut\u00e9_ (2B): \"One must go into mourning, but forgetting about it, and Madame de Sta\u00ebl told us how she wrote to Napoleon: 'Glory, Sire, is the dazzling mourning of happiness'\" (the passage Godard repurposed was in a chapter about \"Love in Marriage,\" 318).\n\n109. In each of these cases, the invocation of Orpheus hinges upon the use of the phrase \"Don't look back.\" Lennox says this to Elena in _Nouvelle vague_ , and Lemmy Caution says this to Natacha von Braun in _Alphaville_. The man in the caf\u00e9 hearing telegraphic messages from beyond in _Two or Three Things I Know About Her_ is also an allusion to Cocteau's _Orpheus_ (1950).\n\nThe Orpheus myth is referred to in one way or another in _Une histoire seule_ (1B, sound from Cocteau's _Orpheus_ intermixed with music from Christoph Gluck's 1762 opera _Orfeo ed Euridice_ ; the image of the boatman first appears here), _Seul le cin\u00e9ma_ (2A, \"the cinema authorizes Orpheus\" is from here, paired with the image of the boatman), and _La Monnaie de l'absolu_ (3A, an audio extract from Cocteau's _Testament of Orpheus_ , 1960).\n\n110. Dominique Pa\u00efni and Guy Scarpetta, \"Jean-Luc Godard; La Curiosit\u00e9 du sujet,\" _Art Press_ , special issue 4 (December 1984\u2013February 1985), 18. Godard made similar comments in his 1980 eulogy for Alfred Hitchcock:\n\nFor me, the cinema is Eurydice. Eurydice says to Orpheus: \"Don't look back.\" And Orpheus turns around. Orpheus is the literature that kills Eurydice. And the rest of his life, he makes money by publishing a book on the death of Eurydice. (July, \"Alfred Hitchcock est mort,\" 180)\n\n111. In the first spoken dialogue after the long Victor Hugo recitation at the beginning of _La Monnaie de l'absolu_ (3A), Godard playfully but significantly connects biblical narratives to the photochemical process by which an image is permanently imprinted on the film strip: \"The Holy Scriptures tell us that before leaving for a voyage, the daughters of Lot [it is actually Lot's wife, Genesis 19:26] wanted to return one last time, and they were turned into pillars of salt.... One films only the past, I mean, what is happening, and there are silver salts that fix the light.\" See also Michael Witt's discussion of Godard's treatment of the Orphic myth \"as an allegory for the activity of the historian\" in _Jean-Luc Godard, Cinema Historian_ , 70\u201376.\n\n112. This quote\u2014from the first of the _Duino Elegies_ (lines 4\u20135), as translated by Stephen Mitchell in _Ahead of All Parting: The Selected Poetry and Prose of Rainer Maria Rilke_ , edited by Stephen Mitchell (New York: Modern Library, 1995), 331\u2014is used in several Godard works, most notably _First Name: Carmen_ and _The Origins of the 21st Century_. Godard discovered it while shooting _Every Man for Himself_ (Bergala, \"L'Art,\" 18).\n\n113. The reading from Hugo's text at the beginning of _La Monnaie de l'absolu_ (3A) goes on for approximately four minutes, and a title card, \"Victor Hugo \/ 29 ao\u00fbt 1876\" appears as soon as Godard finishes; the unusually bibliographic nature of this citation testifies to its special importance. Godard includes an equally political passage, this time about guerilla warfare, from Victor Hugo's _Ninety-Three_ in _For Ever Mozart_ : \"One begins by attacking a republic and ends by robbing a stagecoach\" (Victor Hugo, _Ninety-Three_ , translated by Lowell Bair [Cresskill, NJ: Paper Tiger, 2002], 175). Godard's treatment of Hugo's politically charged Romanticism is very similar to his treatment of Delacroix's paintings from the same period, and the two are interconnected in his 1993 short _L'Enfance de l'art_ , a video about children surrounded by revolutionary violence that includes the reading of a long extract from _Les Mis\u00e9rables_ (1862) and postcard reproductions of Delacroix paintings like _Liberty Leading the People_ (1830). Delacroix's 1837 _Piet\u00e0_ is one of the images presented onscreen while Godard reads the Hugo text at the beginning of _La Monnaie de l'absolu_ (3A) and its appearance had been anticipated by the use of another Delacroix canvas, _Young Orphan Girl at the Cemetery_ (1824), at the end of the preceding section, _Fatale beaut\u00e9_ (2B).\n\n114. _Seul le cin\u00e9ma_ (2A).\n\n115. There is either footage of, an explicit verbal reference to, or an audio extract from Adolf Hitler in every section of _Histoire(s) du cin\u00e9ma_ except _Seul le cin\u00e9ma_ (2A). He \"appears\" most frequently in _Toutes les histoires_ (1A) and _Les Signes parmi nous_ (4B), the two bookends to the work.\n\n116. In a public lecture in 1995, Godard explained:\n\nMy idea... which [Jules] Michelet did not have even when he finished his grandiose _Histoire de France_ , that Sistine Chapel of history... is that history is alone, it is far from man... Fernand Braudel said something of this kind when he said that there are two histories: a close history that runs toward us with hurried steps\u2014which is television or _Der Spiegel_ and soon Goya and [Henri] Matisse on CD-ROM (\"ROM\" for Romans, no doubt, _pax romana, pax Americana_ )\u2014and a distant history that accompanies us in small steps, and that is Kafka, it is Pina Bausch, it is [Rainer Werner] Fassbinder, to speak only of [German-language] artists. (Godard, \" _Histoire(s) du cin\u00e9ma_ : \u00c0 propos de cin\u00e9ma et d'histoire,\" 403)\n\nBraudel's landmark 1949 history of the Mediterranean was a strong influence on _Film socialisme_ , but as in _Histoire(s) du cin\u00e9ma_ , Godard's conception of history is inextricable from his aesthetic impulses:\n\nTo me History is, so to speak, the work of works: it contains all of them. History is the family name, there are parents and children, literature, painting, philosophy... let's say History is the whole lot.... It seemed to me that History could be a work of art, something not generally admitted, except perhaps by Michelet. (Godard and Ishaghpour, _Cinema_, 28)\n\nGodard underscored the Romanticism of his project when he told Ishaghpour, \"History is stating something at a given moment, and [G. W. F.] Hegel puts it well when he says you're trying to paint gray on gray [a line, from the preface to the 1820 _Philosophy of Right_ , that is quoted in _Germany Year 90 Nine Zero_ ]. From what little I know of Hegel, what I like about his work is that... he's a novelist of philosophy, there's a lot of romantic in him\" ( _Cinema_ , 27).\n\n117. Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 25.\n\n118. The implied associations include the use of the same reference points in earlier Godard films. The cavalry poem, for example, had previously been quoted in _Le Petit Soldat_ (1960\/1963) and _Germany Year 90 Nine Zero_ (the source of the audio extract in _Fatale beaut\u00e9_ , 2B).\n\n119. Daney, \"Godard Makes [Hi]stories,\" 161.\n\n120. Jean-Pierre Lavoignat and Christophe d'Yvoire, \"Le Cin\u00e9ma n'a pas su remplir son role,\" in Bergala, _Godard par Godard_, 2:336. Godard made similar comments in a television interview with Marguerite Duras on December 28, 1987, and in his encounter with R\u00e9gis Debray ten years later:\n\nIn the cinema, one does not want to see, one prefers to speak of evil. I always take the example of the concentration camps: one prefers to say \"never again\" than to show them]. A year ago, students were marching around with this slogan [\"never again\"]; we do not tell them that it has already been used. (\"Marguerite Duras et Jean-Luc Godard: entretien t\u00e9l\u00e9vis\u00e9,\" in [Bergala, _Godard par Godard_ , 2:144)\n\nThe documentary function of cinema had been so anesthetized since 1900 that it was incapable of acting. When George] Stevens made his first documentary in color on Auschwitz, he buried it within himself. Now, one shows it only on the occasion of commemorations. The Americans showed the concentration camps to the Germans and the population near the camps, but not to the French. It is at that moment that the cinema definitively lost its documentary function, and television began. ([Debray, \"Jean-Luc Godard rencontre R\u00e9gis Debray,\" 425\u2013426)\n\n121. Godard has been openly referencing the Holocaust in his work since at least 1964 (when the protagonist of _Une femme mari\u00e9e: Fragments d'un film tourn\u00e9 en 1964 en noir et blanc_ goes to a theater showing Alain Resnais' _Night and Fog_ , 1955), often in a deliberately jarring way, as in the appearance of people with numbers embedded on their skin in _Alphaville_ or the discussion of concentration camps in _Num\u00e9ro deux_. In his Montreal lectures, Godard expressed his interest in making a film about the day-to-day life of a secretary at a concentration camp (Godard, _True History_ , 402). Nevertheless, Godard's criticism of _Shoah_ has resulted in a French cultural climate in which, as Bernard-Henri L\u00e9vy has observed, his \"anti-Semitism\" is simply assumed in a flippant and dismissive way (see Bernard-Henri L\u00e9vy, \"Godard et l'antis\u00e9mitisme: pieces additionnelles et in\u00e9dites,\" _La R\u00e8gle du jeu_ , April 6, 2010, available online at <http:\/\/laregledujeu.org\/2010\/04\/06\/1210\/godard-et-lantisemitisme-pieces-additionnelles-et-inedites\/>). L\u00e9vy has tried to facilitate several proposed collaborations between Godard and Lanzmann, most recently a joint project entitled _Promised Land_ , which apparently fell apart because of Godard's insistence that Swiss-born Islamic scholar Tariq Ramadan be invited to participate.\n\nGodard has long been a vocal critic of imperialism in all its forms, and he has repeatedly focused on mirroring dialectics, attempts to see contemporary events as repetitive iterations of intractable patterns. This leads, on the one hand, to claims that contemporary Israel projects onto the Palestinians the sorts of attitudes that the Nazis projected onto the Jewish population (ideas that come out most vividly in the discussion of the \"Legend of Stereo\" in _JLG\/JLG\u2014Self-Portrait in December_ ) and, on the other, to the insistent characterization of cinema as \"under occupation\" by the hegemony of American capitalism, \"Hollywood,\" and the deadening banality of televisuality. To treat these as simple analogies or to claim that Godard's arguments reflect a latent anti-Jewish (or anti-American) bias is to conflate vociferous criticism of Israeli state policy with anti-Semitism and to ignore the fundamentally dialectical aspect of the comparisons. Like the paralleling of collective and individual trauma in _Hiroshima mon amour_ (Alain Resnais, 1959), Godard's intellectual \"montages\" are predicated on the structural concordances as well as the incommensurability of different historical experiences; the suffering of a young girl in occupied Nevers is of a fundamentally different order from the bombing of Hiroshima, but their association generates a more complex understanding of events (like the war) that cannot adequately be represented through conventional narratives. It is in this sense that Godard's description, in films like _JLG\/JLG\u2014Self-Portrait in December_ and _Notre musique_ , of the way the term _musulman_ (\"Muslim\") was attached by the internees of concentration camps to those sentenced to death needs to be understood. Although it is not clear where Godard read about this appellation, Primo Levi mentions the use of the equivalent German term, _Muselmann_ , in his 1947 memoir _If This Is a Man_.\n\n122. Claude Lanzmann, \"La Question n'est pas celle du document, mais celle de la v\u00e9rit\u00e9,\" _Le Monde_ , January 19, 2001, 29. In a 1998 essay, Lanzmann argued:\n\nThere is indeed an absolute obscenity in the project of understanding. Not to understand was my ironclad rule during all the years _Shoah_ was in the making: I braced myself on this refusal as on the only possible attitude, at once ethical and operative. Keeping my guard high up, wearing these blinkers, and this blindness itself, were the vital conditions of creation. (Claude Lanzmann, \"Hier ist kein Warum,\" in _Claude Lanzmann's Shoah: Key Essays_ , edited by Stuart Liebman [Oxford: Oxford University Press, 2007], 51)\n\nGodard criticized this aspect of _Shoah_ in his television interview with Marguerite Duras, declaring, \"It showed nothing, it showed the Germans\" (\"Marguerite Duras et Jean-Luc Godard,\" 146).\n\n123. Siegfried Kracauer, _Theory of Film: The Redemption of Physical Reality_ (Princeton, NJ: Princeton University Press, 1997), 306.\n\n124. Godard is exercising poetic license in his description of Stevens' wartime documentary work. Although Stevens and his Signal Corps unit may have been the first to use 16mm color film stock in Europe, the Field Photographic Branch of the Office of Strategic Services, run by John Ford, had been using it in the Pacific since at least 1942. _The Battle of Midway_ (John Ford, 1942) was made up entirely of 16mm color footage, and it shared the first Academy Award for Best Documentary years before the camps were liberated.\n\n125. In \"La Sainte et l'h\u00e9riti\u00e8re: \u00c0 propos des _Histoire(s) du cin\u00e9ma_ \" ( _Cahiers du cin\u00e9ma_ 557 [July\u2013August 1999], 58\u201361), Jacques Ranci\u00e8re argued:\n\nBy cutting the profile of Mary Magdalene, Godard has not only intended, following others, to deliver the pictorial image from the original sin of perspective and history. He has released the figure of the saint from a plastic dramaturgy whose proper sense was absence, the irremediable separation of the empty tomb that was, for Hegel, the heart of Romantic art. Instead of the _Noli me tangere_ stands the absolute image, the promise that descends from the heavens, raising the rich heiress\u2014and with her the cinema\u2014from the tomb, just as the speech of the visionary Johannes brought the young mother of _Ordet_ [Carl Theodor Dreyer, 1955] back to life....\n\nUndoubtedly, I had believed it possible to honor Godard in this way while discreetly saving him from the surrounding neospiritualism. These two laudable intentions were equally misplaced. Godard's art is resolutely anti-Mallarm\u00e9an. What he opposes to fiction is... the image as the imprint of presence. It is these icons of presence that the cinema \"projects.\" (61)\n\nAlthough I agree with Ranci\u00e8re that _Histoire(s) du cin\u00e9ma_ challenges \"the great contemporary _doxa_ that accuses the fatal screen, the reign of spectacle and the simulacrum\" (\"La Sainte et l'h\u00e9riti\u00e8re,\" 61), to attribute notions of iconicity to his images or image-clusters seems to me very ill-advised. Ranci\u00e8re is not alone in this. Raymond Bellour, for example, also compares Godard's treatment of the image to that of icons:\n\nGodard is, in a sense, quite close to old Nicephorus, who believed in the image, and thought that the evangelical message of the icon was not only equal but superior to that of the Gospel itself. The image is all the more universal and absolute in that, unlike words, it is without contradiction\u2014there is no counter-image\u2014and its presence is whole and immediate, without delay. (Bellour, \"(Not) Just an Other Filmmaker,\" 227)\n\nThe repeated religious metaphors in _Toutes les histoires_ (1A), and throughout _Histoire(s) du cin\u00e9ma_ , do connect visual ideas to sacred ones, but the facile slippage of \"image\" into \"icon\" in critical discourses like these belies the irony of Godard's juxtapositions and ignores the question of whether such images can ever be experienced in their totality. Whatever sacred presence images may have had in an earlier period, there is never an absolute, static image within Godard's work. Everything is always presented in a fragmented, partial way, and this is especially true in projects like _Histoire(s) du cin\u00e9ma_ where images\u2014painted or photographed\u2014can only be viewed through the skein of a perpetually shifting montage. As Godard put it:\n\nWe use the word \"image\" even though that's not what they are anymore. One image leads to another, an image is never alone, contrary to what we call \"images\" today, which are sets of solitudes connected by speech that, at worst, is Hitler's, but that will never be Fran\u00e7oise] Dolto's, Freud's, or Wittgenstein's. ([Daney, \"Godard Makes [Hi]stories,\" 167)\n\nIn another interview, and in _Les Enfants jouent \u00e0 la Russie_ , Godard speaks of icons as if they are divorced from the (Western) notion of the image coursing through his work: \"There is painting, and then there are icons. Eisenstein was closer to icons. It is a thought relatively Eastern. Only the Russians have brought something from the East into the cinema\" (Fran\u00e7ois Alb\u00e9ra and Mikhail Iampolski, \"Le Briquet du Capitaine Cook,\" _Les Lettres fran\u00e7aises_ 19 [April 1992], 21). In these terms, Godard is on the side of \"painting\" (a metaphor he has frequently employed), and the \"image\" he advocates emerges only out of comparisons, collisions, and contradictions. As he explained in another interview, \"This is not an image, it's a picture. The image is the relation with me looking at it dreaming up a relation at someone else. An image is an association\" (Smith, \"Jean-Luc Godard,\" 190).\n\n126. John 20:17. The _Noli me tangere_ is virtually unique in being a direct representation of one of the statements attributed to Christ in the Bible. In the context of the montage in this section of the _Histoire(s) du cin\u00e9ma_ , it may also be relevant that Titian's depiction of this scene, held by the National Gallery in London, was selected by the British public in 1942 as the first \"picture of the month\" to be retrieved from emergency storage in Wales (Neil MacGregor with Erika Langmuir, _Seeing Salvation: Images of Christ in Art_ [New Haven: Yale University Press, 2000], 191).\n\n127. This too is a quote, from a line in Georges Bernanos' _Diary of a Country Priest_ (1936) that was included in Robert Bresson's 1951 film adaptation of the same name. In the interview with Daney (and the pr\u00e9cis for _Histoire(s) du cin\u00e9ma_ released by his company), Godard explicitly compares himself to the protagonist of these works:\n\nMy hi]story of cinema begins with a chapter called _Toutes les histoires_ [1A], lots of short [hi]stories where you can see signs. It goes on to say that this [hi]story stands alone, the only [hi]story there has ever been. So\u2014you know how unbounded my ambition is\u2014I say it's not only alone, but also the only one there ever will be or that there ever was (later, it won't be a [hi]story, but something else). It's my mission to tell it. It's my [country priest; _cur\u00e9 de campagne_ in the original] side coming out, if you will; this is what I preach. ([Daney, \"Godard Makes [Hi]stories,\" 167)\n\nGodard has Elena in _Nouvelle vague_ cite another line from _Diary of a Country Priest_ to Lennox in _Nouvelle vague_ : \"How wonderful to give what you don't have.\" Lennox responds: \"Miracle of empty hands.\" The soundtrack from this part of Bresson's film can be heard in _JLG\/JLG\u2014Self-Portrait in December_.\n\n128. Rossellini defined Neorealism in ethical terms, describing it as \"a moral approach which then becomes an aesthetic fact\" (Roberto Rossellini, \"Ten Years of Cinema,\" in _My Method: Roberto Rossellini Writings and Interviews_ , edited by Adriano Apr\u00e0 [New York: Marsilio Publishers, 1995], 66). He also strongly opposed what he saw as the excesses of cin\u00e9ma v\u00e9rit\u00e9 and its idea of direct recording, arguing in 1963 that there is \"a myth about the camera as though we were on Mars. The camera's a ball-point pen, an imbecile, it's not worth anything if you don't have anything to say\" (quoted in Tag Gallagher, _The Adventures of Roberto Rossellini_ [New York: Da Capo Press, 1998], 558). Godard mounted a similar critique in his 1964 short, _Le Grand Escroq_ , where a character named Patricia Leacock (played by Jean Seberg of _Breathless_ ) goes to Marrakech and begins constructing a documentary-style portrait only to have her methods turned against her by a swindler. The film ends with Godard, in voiceover, quoting Shakespeare (\"All the world's a stage\"), and solidifying what the film has already suggested, that there is no way of wholly removing subjectivity from filming, no way of attaining naked, wholly unmediated vision with photographic equipment.\n\nWhen asked in a recent interview about the democratization of filmmaking via digital technologies (the contemporary equivalent of the 16mm cameras that had helped spark the debate over cin\u00e9ma v\u00e9rit\u00e9), Godard reiterated a version of these same ideas:\n\nYes, but the pencil is also available to all. Yet not everybody writes like Shakespeare. Most people still do not know how to use a camera. They just do not want to understand that a camera has two openings. You look at something and it is reflected as an image. The camera should be a way of thinking. (Florian Keller and Christoph Schneider, \"Das Kino ist heute wie eine \u00e4gyptiche Mumie,\" _Tages Anzeiger,_ November 30, 2010, available online at <http:\/\/www.tagesanzeiger.ch\/kultur\/kino\/Das-Kino-ist-heute-wie-eine-aegyptische-Mumie-\/story\/17930831>)\n\n129. The actual origins of this passage are obscure, but it has been quoted repeatedly in subsequent centuries. Most relevant for Godard, it was used in several important texts of the 1960s, such as Dag Hammarskj\u00f6ld's _Markings_ (1963; it is used as the epigraph for the book) and Marshall McLuhan's _The Medium Is the Massage_ (1967).\n\n130. Bresson is also used to embody the purity of true (European) cinema in _In Praise of Love_ , where a poster from _Pickpocket_ (1959) is contrasted with one for _The Matrix_ (Andy and Larry Wachowski, 1999). One of the characters waiting in line quotes the famous ending of _Pickpocket_ , \"What a strange road I had to take to reach you,\" a line that is also used by Joseph in Godard's _Hail Mary_.\n\n131. The title of Bresson's film also shows up several minutes later, superimposed over an image of concentration camp victims.\n\n132. Like _Les Anges du p\u00e9ch\u00e9, Les Dames du Bois de Boulogne_ was made during the Nazi Occupation of Paris and begun before the Liberation. Production was frequently halted due to air raids and electricity shortages (Paul Guth elaborates in _Autour des Dames du Bois de Boulogne: Journal d'un film_ [Paris: Ren\u00e9 Julliard, 1945]). Godard is almost certainly also playing off Bresson's widely assumed status as a member of the Resistance during these years. That the phrase \" _\u00e9chec \u00e0 la Gestapo_ \" is the French title of _All Through the Night_ (Vincent Sherman, 1941), a Warner Brothers thriller about Nazi fifth columnists released the week before Pearl Harbor, adds another layer to this wartime context.\n\n133. Godard provided a surprisingly explicit description of this in 1992 (at a point when only _Toutes les histoires_ , 1A, and _Une histoire seule_ , 1B, were complete):\n\nIt was the only moment where there was a true relationship, for one hears the voice of de Gaulle, who said that it was necessary to resist the enemy\u2014he had a terrible formula, \"This despicable, hated enemy, this dishonorable enemy\"\u2014and you see a shot of Siegfried in the forest from _Siegfried_ , Fritz Lang, 1924], trying to understand from where the voice is coming. Just before that, I put the last shot of _Les Dames du Bois de Boulogne_ , which was shot in 1943. For me, the historical justice of the montage is that it was a film of '43, which was finished under the British bombardments of '44, and which corresponds to a speech by de Gaulle from '43 to '44. It is a shot with Paul Bernard and Elina Labourdette, who is a courtesan or who is accused of being one, and who is therefore, in political terms, a _Munichoise_ [a supporter of the 1938 Munich Agreements]. As France was a courtesan. Paul Bernard says: \"Struggle!\" and she responds, \"I struggle.\" In this sense, it is a true political film, but nobody takes it in that sense today. ([Alb\u00e9ra and Iampolski, \"Le Briquet du Capitaine Cook,\" 17)\n\nAs both complex histories and as metaphors, Occupation and Resistance have assumed a central role in Godard's thought and work over the past several decades. After describing his childhood memories of the war period (in a family that he suggests was mildly collaborationist), he went so far as to claim that this was the defining experience of his life: \"It is in this sense that I say  _Histoire(s) du cin\u00e9ma_ ] is my story rather than the fact that I made a film in 1960 [ _Breathless_ ]\" (Fran\u00e7ois Alb\u00e9ra, \"Cultivons notre jardin,\" _Cin\u00e9mAction_ 52 [July 1989], 87). In an interview with _Le Nouvel Observateur_ two months earlier, Godard said, \"I had to politicize during the war. My other family [his father's side] collaborated... or almost; like, say, Robert Brasillach [an author, and film historian, who was the only person to be executed entirely for his writings; a version of his final words is read out in _In Praise of Love_ ]. When he died, my grandfather was very moved\" (Jean Daniel and Nicole Boulanger, \"Week-end avec Godard,\" in Bergala, _Godard par Godard_ , 2:176). Similar comments are made in the radio interview, \"Le Bon Plaisir de Jean-Luc Godard\" (in [Bergala, _Godard par Godard_, 2:307).\n\nSignificantly, the wartime Resistance network in _In Praise of Love_ is named Tristan and Isolde.\n\n134. Mercadet and Perrot, \"Le T\u00e9l\u00e9vision fabrique de l'oubli,\" 240. Perret's film is surprisingly reflexive for its period and depicts the attempt by doctors to construct a cinematic reenactment of the traumatic death of a woman's husband; she faints when the footage is projected for her, but when she awakens, her memory has returned. Godard uses the image of the woman fainting when encountering projections of her own suppressed past in _Toutes les histoires_ (1A), immediately after a section in which the voices of de Gaulle and Hitler are interlaced, and then again during the discussion with Daney in _Seul le cin\u00e9ma_ (2A).\n\n135. Godard is here alluding to a conversation between Vidor and Selznick that is mentioned in Vidor's autobiography _A Tree Is a Tree_ (Hollywood, CA: Samuel French, 1981, 193). In the original text, Vidor refers to Joel McCrea rather than Tyrone Power.\n\n136. In 1959, Godard described this scene using mythic language that resonates strongly with its use in _Histoire(s) du cin\u00e9ma_ : \"In _The Searchers_ , when John Wayne finds Natalie Wood and suddenly holds her up at arm's length, we pass from stylized gesture to feeling, from John Wayne suddenly petrified to Ulysses being reunited with Telemachus\" (Jean-Luc Godard, \"Supermann,\" translated by Tom Milne in Milne, _Godard on Godard_ , 117). The scene is used to suggest similar ideas of mythic reconciliation in _Toutes les histoires_ (1A), _Fatale beaut\u00e9_ (2B), _Le Contr\u00f4le de l'univers_ (4A), and _Les Signes parmi nous_ (4B); shots of riders on horseback entering the camp where Natalie Wood's character is being held captive were also used at the end of _La Monnaie de l'absolu_ (3A). In three instances, shots from _The Searchers_ are directly linked to the sensation of memory: right after text reading \"Time Regained\" in _Fatale beaut\u00e9_ (2B); and in connection to Fernand Braudel's ideas of history in both _Le Contr\u00f4le de l'univers_ (4A, where the scene is accompanied by an excerpt from the 1963 book _Le Monde actuel_ in which Braudel speaks of \"a recent past and a past more or less distant\" intermingling in \"the multiplicity of the present\") and _Les Signes parmi nous_ (4B, the same images appear onscreen when Godard says Braudel's name).\n\nIn the midst of the escalating war in Vietnam, Godard summarized his complex relationship to this part of Ford's film in terms that connect strongly with its appearance in _Toutes les histoires_ (1A):\n\nRewatched _Fallen Angel_ [Otto Preminger, 1945]. Mystery and fascination of the American cinema. How can I hate [Robert] Mac Namara [ _sic_ ] and adore [the Korean War drama _Take the High Ground_ , Richard Brooks, 1953], hate John Wayne when he supports [Barry] Goldwater and love him tenderly when he suddenly takes Natalie Wood in his arms in the second to last reel of _The Searchers_? (Jean-Luc Godard, \"Trois mille heures de cin\u00e9ma,\" in Bergala, _Godard par Godard: Les Ann\u00e9es Karina (1960 \u00e0 1967)_ , 157)\n\n137. Kristin Thompson has traced the origins of the widely repeated phrase back to Frank J. Marion (director of the Kalem film company), who in 1918 declared, \"Trade follows the film. The projection of industrial pictures, backed by distribution of the product advertised, will create an immediate outlet for goods of American manufacture\" (Kristin Thompson, _Exporting Entertainment: America in the World Film Market, 1907\u20131934_ [London: British Film Institute, 1986], 122). Although the United States government did not begin considering these issues in earnest until Herbert Hoover became secretary of commerce in 1921, Janet Staiger has convincingly argued that the seeds of the \"trade follows film\" idea were being discussed in the trade press as early as 1911 (Janet Staiger, \"Combination and Litigation: Structures of U.S. Film Distribution, 1896\u20131917,\" _Cinema Journal_ 23, no. 2 [Winter 1983], 52).\n\nIn _JLG\/JLG\u2014Self-Portrait in December_ , this same quote is attributed to the chimerical Senator MacBridge, when Godard's housemaid Cassandra says, \"In 1914, Senator MacBridge declared to Congress, 'Trade follows films.' Only JLG noted this in his _Histoire(s) du cin\u00e9ma_ , 1A, where he recounts that M\u00e9li\u00e8s had offices in New York and that they were stolen by Paramount during the Verdun offensive.\" Godard seems conscious of his manipulation of historical data here. In _In Praise of Love_ , an American businessman attributes this to a different senator in a different year: \"It's okay, sir, trade follows films. Senator McBride said that way back in 1910.\" As if in explanation, just before the businessman makes this declaration, the protagonist, quoting the most famous line in _The Man Who Shot Liberty Valance_ (John Ford, 1962), says, \"When the fact becomes legend, print the legend.\" Godard also playfully \"corrects\" his own attributions throughout _La Monnaie de l'absolu_ (3A) by inserting a series of titles reading \"error\" (in this way, for example, he belatedly acknowledges that Carl Laemmle, not Erich Pommer, founded Universal Studios).\n\nFrom 1957 to 1959, just before he began directing features, Godard worked in the publicity department of Fox's Paris office. As he described it later, \"It was a way of being in Hollywood. Since Hollywood has always been like that, it may have spared me the desire to go there\" (Godard, _True History_ , 138).\n\n138. The still image from _La Strada_ recurs throughout the sequence (and a heavily pixelated clip from another part of the same film had been used earlier in _Toutes les histoires_ , 1A). In the Montreal lectures, Godard makes similar arguments about post\u2013World War II film policy, suggesting that cinema fully became an instrument of culture that \"gives safe conduct to the rest of capitalist industry\" when quotas were formalized through international agreements like the Marshall Plan and the Blum-Byrnes accords (Godard, _True History_ , 336).\n\n139. Godard quotes epigram 125 of _On Certainty_ (he reads the same text in _JLG\/JLG\u2014Self-Portrait in December_ ).\n\n140. \" _Cabiria_ : The Voyage to the End of Neorealism,\" in Andr\u00e9 Bazin, _What Is Cinema?_ , translated by Hugh Gray, vol. 2 (Berkeley: University of California Press, 1971), 83\u201392. Bazin's article is focused on _Nights of Cabiria_ (1957), but he discusses Fellini's development more generally, arguing that the director \"drives on\" past the \"boundaries of realism\" and \"takes us beyond them\" (88).\n\n141. These same methods were tremendously influential on the New Wave, and Godard cements this association by titling the section of _Histoire(s) du cin\u00e9ma_ that immediately follows the Neorealist montage, _Une vague nouvelle_ (3B).\n\n142. None of these are translated or subtitled into French. Throughout the late work, and especially in _Histoire(s) du cin\u00e9ma_ , Godard puns in those European languages that were dominant in the 1930s and 1940s (French, German, English, Russian, Italian, and occasionally Spanish).\n\n143. In the order cited, these are lines 648\u2013649 of Ovid's _Cures for Love_ (here rendered in the Peter Green translation from Ovid, _The Erotic Poems_ [London: Penguin Classics, 1982], 258), lines 663\u2013664 of Book XV of Ovid's _Metamorphoses_ (here rendered in the Mary M. Innes translation [London: Penguin Classics, 1955], 352), and lines 770\u2013772 from Book IV of Lucretius' _On the Nature of Things_ (here rendered in the Ronald Melville translation [Oxford: Oxford World's Classics, 1997], 122). In an intriguing concordance with the work of Markopoulos, the passage from the _Metamorphoses_ is about Asclepius and sleep healing, ideas that also resonate with the sleep\/dream imagery in the Lucretius passage, both of which Godard clearly aligns with the nature of film viewing.\n\n144. \u00c9lie Faure, _The Spirit of the Forms_ , translated by Walter Pach (New York: Garden City, 1937), 425.\n\n145. Truong, \"R\u00e9sistance de l'art,\" 444.\n\n146. As Godard explained in a 1989 interview, \"When I read in St. Paul that the image will come at the time of the resurrection, I thought: 'There, something that, as a director, I can begin to understand'\" (Daniel and Boulanger, \"Week-end avec Godard,\" 179). In an interview conducted while Godard was preparing _Hail Mary_ , he argued that what truly interests him is not religion per se, but the structure of faith:\n\nProbably [this interest] came from my education, from the culture of my family. And then I discovered religion in politics, distorted in a way, but still religion. Actually, it's not religion that interests me, but faith. Like my own faith in movies. What is faith? Why do people have faith in themselves? And then you have to deal with the subject of faith. (Colin MacCabe, \"'Politics Is Only a Movie Made in Russia,'\" _American Film_ 10 [June 1984], 34)\n\nThis phrase Godard attributes to St. Paul was used for the first time in _King Lear_ (1987), and it appears (ironically) as onscreen text four times in _Une histoire seule_ (1B).\n\n147. Bachmann, \"The Carrots Are Cooked,\" 132. Godard was referring to his planned use of the screen in _Hail Mary_ , but the same metaphor had appeared in _Sc\u00e9nario du film Passion. Histoire(s) du cin\u00e9ma_ was being fully conceptualized at precisely this moment. Toward the end of _Toutes les histoires_ (1A), just before his discussion of the neglect of cinema's documentary responsibilities, Godard uses similar language (which is reiterated again in _Les Enfants jouent \u00e0 la Russie_ ):\n\nThe _cin\u00e9matographe_ never meant to create an event, but a vision. Because the screen is the same white canvas as the Samaritan's shirt. What [August] Arnold and [Robert] Richter's cameras preserve, so as not to be undone by nightmares and dreams, will not be shown on a screen, but on a shroud.\n\nGodard's comments are strongly informed by the critical work of Andr\u00e9 Bazin, who notes \"in passing that the Holy Shroud of Turin combines the features alike of relic and photograph\" in his most celebrated essay (\"The Ontology of the Photographic Image\"), and who observes that \"the camera is there like the veil of Veronica pressed to the face of human suffering\" in another (Andr\u00e9 Bazin, _What Is Cinema?_ , translated by Hugh Gray, vol. 1 [Berkeley: University of California Press, 1967], 14, 163).\n\n148. Roud, _A Passion for Films_ , xxiv.\n\n149. In a discussion with Manoel de Oliveira, Godard observed:\n\nGreat artists, honest artists, make their first prayer and then there is the Mass, with the public, more or less faithful. The Americans have regulated the Mass. What is important for them in the Mass is the collection: a good Mass is the Mass where the church is full or the collection is big. (Lefort, \"Godard et Oliveira,\" 267)\n\n150. Discussion with Caroline Champetier at the Festival International du Film de La Roche-sur-Yon in October 2012, available online at <http:\/\/www.fif-85.com\/conference\/caroline-champetier.html>. Champetier also argued that Godard's approach to framing may be influenced by his near-sightedness, which causes one to \"see volumes, not lines; one sees light before forms.\"\n\n151. In a speech delivered at the Cin\u00e9math\u00e8que fran\u00e7aise on the occasion of a 1966 Lumi\u00e8re retrospective, Godard claims that he learned of this statement in school:\n\nAt school I learned in school that Goethe on his death-bed called for more light. It was therefore only logical that some years later Auguste and Louis [Lumi\u00e8re] should invent what we know today as the cinema, and that they should have first demonstrated it in Paris, since that city had long borne their name [\"city of light\"]. (Jean-Luc Godard, \"Thanks to Henri Langlois,\" translated by Tom Milne in Milne, _Godard on Godard_ , 234)\n\nIn interviews, _Germany Year 90 Nine Zero_ , and _Histoire(s) du cin\u00e9ma_ , Godard has argued that the German cinema is defined not by montage, but by light:\n\nThe Germans, they were something else. They constructed sets first, then they arranged the light. They have always spoken of light: the \"century of lights\" the eighteenth century], Goethe who asked for more light, they always start with light; they put the projector before it. ([Alb\u00e9ra and Iampolski, \"Le Briquet du Capitaine Cook,\" 19)\n\nDaniel Morgan has suggested that the use of the phrase in _Germany Year 90 Nine Zero_ may also be a reference to a story by Thomas Bernhard (Daniel Morgan, _Late Godard and the Possibilities of Cinema_ [Berkeley: University of California Press, 2013], 239).\n\n152. Toward the end of _Germany Year 90 Nine Zero_ , protagonist Lemmy Caution says, \"Even Philips globes could no longer light the streets of Karlgr\u00fcne [Karl Gr\u00fcne was a German director in the Weimar period best known for the pioneering 1923 film _The Street_ ] with the brilliance of the lights of Karlheim [Karl Heim was a Lutheran theologian, whose student Dietrich Bonhoeffer is often said to have been involved in the failed assassination attempt on Hitler in 1944].\" This comment comes almost immediately after a scene in which the phrase \"the light that is always turned on\" makes Caution think of Nazi resistant Sophie Scholl (a member of the \"White Rose\" who, as the narrator tells us, was \"decapitated with an ax\" for putting up posters). Earlier in the film, an unidentified female character alludes to Goethe's _Theory of Colors_ (1810): \"One thing was clear for Goethe: different shades of darkness can never produce light.\"\n\nIn _Histoire(s) du cin\u00e9ma_ , Godard frequently plays with the French titles of books and films\u2014 _Lumi\u00e8re d'ao\u00fbt_ (William Faulkner's _Light in August_ , 1932), _Les Trois Lumi\u00e8res_ ( _Der m\u00fcde Tod_ , Fritz Lang, 1921), _Lumi\u00e8re d'\u00e9t\u00e9_ (Jean Gr\u00e9millon, 1944)\u2014and in _Une histoire seule_ (1B), he even puns on the name of the \"two brothers\"\u2014\"they could have been called lampshade  _abat-jour_ ], but they were called light [Lumi\u00e8re].\" The sections of [Broch's _The Death of Virgil_ read out by Fran\u00e7ois P\u00e9rier (in _Une histoire seule_ , 1B, and _Une vague nouvelle_ , 3B) and by Sabine Az\u00e9ma (in _Fatale beaut\u00e9_ , 2B) all concern light, as does the long text by \u00c9lie Faure in _Le Contr\u00f4le de l'univers_ (4A).\n\n153. Godard is, of course, alluding to Genesis 1:3: \"And God said, Let there be light: and there was light.\" Godard used the same metaphor in a contemporaneous interview:\n\nThe New Wave was... like the Christians who were converted without ever having seen either Jesus or St. Paul.... For us, the good cinema, the true, was that which could not be seen because it was not released. The other, one could see every Saturday, but the true, Griffith, Eisenstein... one had great difficulty seeing it; it was forbidden, not released, badly distributed.... Therefore, for us, it was the true cinema. One could swear allegiance. (Lavoignat and d'Yvoire, Le Cin\u00e9ma,\" 336\u2013337)\n\nAt the press conference for _Histoire(s) du cin\u00e9ma_ at the 1997 Cannes Film Festival, Godard made an even more direct declaration: \"The cinema baptized me, in a certain fashion, with the real\" (Amar, \"Godard\/Amar: Cannes 97,\" 422).\n\n154. Devarrieux, \"Se vivre, se voir,\" 162.\n\n155. As Godard explained in 1989, \"My grandfather was at the summit of Olympus, my father was a demi-god, and I was a boy. Now, I do not consider myself the equal of Hitchcock nor of Shakespeare. I am two levels below... sometimes making things that I find good also\" (Daniel and Boulanger, \"Week-end avec Godard,\" 174). Similar comments were made at the 1997 Cannes Film Festival press conference: \"Someone spoke of John Ford and me. For me, John Ford is like Moses for an Israeli citizen. At his side, I remain small\" (Amar, \"Godard\/Amar: Cannes 97,\" 418).\n\n156. Godard was apparently inspired to make this connection by seeing a TV program entitled _La Le\u00e7on d'histoire de Fernand Braudel_ (which originally aired in October 1985):\n\nWhen an emission called _La Le\u00e7on d'histoire de Fernand Braudel_ showed on television, I recorded it and came upon a clip. Braudel] spoke of the siege of Toulon. Therefore, in my _Histoire(s)_ , you see a shot of Napoleon leaving on his ship in the film of Gance and, at the same time, one says, \"That's how we went to the Cin\u00e9math\u00e8que of Langlois.\" It seems to me better than saying, \"One day, X or Y went to the Cin\u00e9math\u00e8que [at the] Avenue de Messine.\" ([Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 25)\n\nIn _Les Enfants jouent \u00e0 la Russie_ , a video \"annex\" to _Histoire(s) du cin\u00e9ma_ , Godard stresses Gance's relationship to the Romantic tradition in a similar way by cutting from an image of one of the women signing \"La Marseillaise\" in _Napol\u00e9on_ to an image of Delacroix's _Liberty Leading the People_. Godard reinforces this in _Libert\u00e9 et patrie_ by cutting from the same Delacroix painting to a superimposition of a shot from Gance's _Austerlitz_ (1960) and a shot of Saint-Just (Jean-Pierre L\u00e9aud) reciting speeches from his own _Weekend_.\n\n157. Godard frequently characterizes Gance as one of the key exceptions to the commercial dictates of French cinema (see, for example, de Baecque, \"Entretien avec Jean-Luc Godard\"). Although his portrait never appears in any of his films or videos, in the _Cin\u00e9ma de notre temps_ episode, _Le Dinosaure et le b\u00e9b\u00e9: Dialogue en huit parties entre Fritz Lang et Jean-Luc Godard_ (Andr\u00e9 S. Labarthe, 1967), Godard calls _Napol\u00e9on_ one of the enduring masterpieces of cinema\u2014along with Dreyer's _The Passion of Joan of Arc_ (1928) and Lang's _M_ \u2014and says, \"What strikes me about Abel Gance... is an incredible sense of youth, always being interested in things at the point at which they are born as if they are happening for the first time.\" Godard also declares that _Napol\u00e9on_ is \"one of the pictures I like best\" in Youngblood, \"No Difference,\" 41.\n\nPhotographs of Erich von Stroheim appear several times in _Toutes les histoires_ (1A, a photograph of him at work appears after the MGM logo and precedes its pairing with the Moreau painting by several minutes), once in _Une histoire seule_ (1B, where a photograph of von Stroheim at work on _Greed_ , 1924, is irised in to a long extract from Orson Welles' similarly mutilated _The Magnificent Ambersons,_ 1942), and once in _Les Signes parmi nous_ (4B, a portrait photograph accompanied by an image of a hand). In _Toutes les histoires_ (1A), shots taken from _Greed_ and _The Merry Widow_ (1925) are juxtaposed with images of producer Irving Thalberg, while an image of von Stroheim performing as a vicious Hun in the World War I propaganda film _The Heart of Humanity_ (Allen Holubar, 1918) appears along with onscreen text declaring \"trade follows films\" and then again at the end of the section. Images or stills from films directed by von Stroheim also appear in _Une histoire seule_ (1B, an image of Trina from _Greed_ ), _Seul le cin\u00e9ma_ (2A, an image of McTeague in _Greed_ accompanies Godard declaration that there are at most ten truly great films; an image from _The Merry Widow_ appears two minutes earlier), and _Les Signes parmi nous_ (4B, images of von Stroheim's characters in _Foolish Wives,_ 1922, and _The Wedding March_ , 1928).\n\nNear the end of _Une vague nouvelle_ (3B), Godard declares, \"Our sole error was to believe that it [the New Wave] was a beginning, that Stroheim had not been murdered, that [Jean] Vigo had not been covered in mud, that _The 400 Blows_ [Fran\u00e7ois Truffaut, 1959] would continue.\" He then interjects a clip, taken from an obscure 1932 film called _The Lost Squadron_ (George Archainbaud), of von Stroheim, cast as a parody of himself, shouting, \"I'm making this picture for the theater, not for the actors.\" This same section of _The Lost Squadron_ also appears, as an ironic commentary on the position of cinema in the contemporary world, on a television screen in _D\u00e9tective._ Godard identifies Thalberg's confrontation with von Stroheim over the making of _Greed_ as a decisive shift in the history of cinema as an art:\n\nAnd then there came a time when the big corporations\u2014like the great feudal lords\u2014commanded the great poets. As if Thalberg had spoken to Stroheim the same way Julius II spoke to Michelangelo: No, paint this angel's wings like this, not like that! (Daney, \"Godard Makes [Hi]stories,\" 162)\n\n158. Ovid, _Metamorphoses_ , Book III, lines 259\u2013315.\n\n159. The Picasso etching originally appeared as plate three in Ovid, _Les M\u00e9tamorphoses_ (Lausanne: Albert Skira, 1931, 71). The 1545 painting, traditionally attributed to Jacopo Tintoretto, is held in London's National Gallery.\n\n160. Jean Paladilhe and Jos\u00e9 Pierre, _Gustave Moreau_ , translated by Bettina Wadia (New York: Praeger, 1972), 128.\n\n161. Since Orpheus is traditionally considered the founder of the Dionysian (Bacchic) mysteries and the forty-third Orphic Hymn is dedicated to Semele, the image is also implicitly linked to the mythic exploration of memory and poetry throughout _Histoire(s) du cin\u00e9ma_.\n\n162. Images of the final scene of _Duel in the Sun_ appear in _Une histoire seule_ (1B), _Fatale beaut\u00e9_ (2B), and _Le Contr\u00f4le de l'univers_ (4A). _Alexander Nevsky_ shows up in _Toutes les histoires_ (1A), _Une histoire seule_ (1B), and _Le Contr\u00f4le de l'univers_ (4A). Other films cited at least this frequently include _Battleship Potemkin, The Searchers, M, Metropolis_ (Fritz Lang, 1927), and _Mr. Arkadin_. Godard also uses particular sounds to link films together; for example, the sound of a crow recurs frequently in _King Lear_ and also appears several times, as a sort of indirect authorial signature, in _Nouvelle vague_ and _Une histoire seule_ (1B).\n\n163. In addition to praising it as a model of expressionism, Tillich also links it to El Greco's _Crucifixion_ (1596\u20131600), \"an expression of the esthetic form of the counter-reformation\" (Michael Palmer, ed., _Paul Tillich: Writings in the Philosophy of Culture_ [Berlin: Walter de Gruyter, 1990], 277). Karl Barth refers to the _Isenheim Altarpiece_ repeatedly (see, for example, his discussion of the hand of John the Baptist in _The Word of God and the Word of Man_ [Boston: Pilgrim Press, 1928], 65\u201376), and his various discussions of the work are the focus of an entire German-language book: Reiner Marquard, _Karl Barth und der Isenheimer Altar_ (Stuttgart: Calwer Verlag, 1995).\n\nGodard has mentioned in several interviews that, on his mother's side, he belongs to \"a true Protestant tribe, the Monods\" (Daniel and Boulanger, \"Week-end avec Godard,\" 175). However, while he \"had a Protestant education, it didn't take,\" and what fascinates him within Christianity is more in line with Catholicism, in particular its tradition of image-making (Godard, _The Future(s) of Film_ , 34):\n\nI am Franco-Swiss. I am from a Protestant family, and it is true that I am always surprised by the ornaments in Catholic churches.... It took me a long time to return, in my way, to what I had learned in Sunday School. (Pa\u00efni and Scarpetta, \"Jean-Luc Godard,\" 16)\n\nGodard also described himself as a nonpracticing Protestant interested in Catholicism in Katherine Dieckmann, \"Godard in His 'Fifth Period:' An Interview,\" in Sterritt, _Jean-Luc Godard Interviews_ , 169. In the same interview, Godard explains that he used Bach throughout _Hail Mary_ because \"historically Bach was the music of Martin Luther. And as I was saying before, Martin Luther was attacking the Catholic church, specifically the way the Catholic church makes images\" (171). In the conversation with Daney at the beginning of _Seul le cin\u00e9ma_ (2A), Godard says he is \"like a Calvinist or a Lutheran... always guilty or cursed\" (the reference to Calvin and Luther is elided from the very incomplete English subtitles in the Gaumont DVD release of _Histoire(s) du cin\u00e9ma_ ). These ideas are explored in _H\u00e9las pour moi_.\n\nGiven Godard's historical concerns, it may also be relevant that the monastery housing the altarpiece is located in the frequently contested French-German border region of Alsace.\n\n164. Significantly, this image first appears in _La Monnaie de l'absolu_ (3A), in a superimposition with the title of the work, _Histoire(s) du cin\u00e9ma_. It reappears in _The Old Place, The Origins of the 21st Century_ , and _Notre musique_. Other scenes from the _Isenheim Altarpiece_ appear in _Toutes les histoire(s)_ (1A, the Madonna and Child from the \"Concert of Angels and Nativity\" panel) and _La Monnaie de l'absolu_ (3A, \"The Temptation of St. Anthony\"). Sections of the \"Temptation of St. Anthony\" panel appear twice in _Germany Year 90 Nine Zero_ (once over the cover of a French translation of Hans Jakob Christoffel von Grimmelshausen's picaresque novel _The Adventures of Simplicius Simplicissimus_ , 1668), as does the Crucifixion from Gr\u00fcnewald's _Tauberbischofsheim Altarpiece_ (1523\u20131525).\n\n165. 2 Corinthians 3:6. As Godard explained to Youssef Ishaghpour:\n\nTexts come from longer ago, and, anyway, the first texts were about money, the earliest tablets... it was accountancy. By contrast, the earliest images had nothing to do with bookkeeping.... An image is peaceable. An image of the Virgin and her baby on a donkey doesn't cause a war; its interpretation by a text is what will lead to war and cause Luther's soldiers to go and deface Raphael canvases. I have a strong feeling that the image enables us to talk less and say more. (Godard and Ishaghpour, _Cinema_, 103)\n\n166. Mercadet and Perrot, \"Le T\u00e9l\u00e9vision fabrique de l'oubli,\" 238. Godard makes similar comments in other interviews:\n\nMy thesis is that the speech of silent films was greater than the speech of talkies. It was therefore necessary to reduce them. This happened at the time of the New Deal, of Roosevelt, and of Hitler. From the first projections of silent film, talkies were ready. Gaumont had its equipment. But the public chose silence over speech. In Paris, at the first projections of talkies, nobody came. (P\u00e9reti\u00e9, \"Quand Godard raconte,\" 52)\n\nCinema started out silent, and was very successful. Sound, just like color, had always been an option. They had their own processes, even if they weren't technically perfect\u2014which they still aren't.... But they didn't want sound. Jean] Mitry and [Georges] Sadoul described how [Thomas] Edison came to demonstrate his talking cinema, but it was already under way at the Grand Caf\u00e9 [where the Lumi\u00e8res showed their first films]. First, there were twelve disciples, then thirty, forty, then four hundred million. It wasn't until _later_ that we wanted talkies, which is, moreover, fairly well explained by social circumstances. Talkies came at a historical moment, when Roosevelt spoke up, democracy spoke up and said: New Deal. And after a few stock market crashes, Fascism spoke up, and Hitler said what he said. It's \"saying,\" but a _wrong_ saying that took over.([Daney, \"Godard Makes [Hi]stories,\" 165)\n\nSimilar sentiments are expressed in _Notre musique_ , when a character says that in 1936 \"the field of text had already covered the field of vision.\" In the Montreal lectures, Godard suggested that silent cinema opened up the possibility of using speech differently: \"If I look at my own trajectory I have the impression that I am trying to go back through silent film in order to find my own talking film style\" (Godard, _True History_ , 333).\n\n167. These connections did not escape the eye of Joseph Goebbels. The symphonic version was premiered by conductor Wilhelm Furtw\u00e4ngler in Berlin in February 1934 to much controversy. By the end of that year, Hindemith's works had been banned. Furtw\u00e4ngler wrote a public declaration of support in the November 25, 1934, edition of the _Deutsche allgemeine Zeitung_ , partially with the hopes of making a public performance of the operatic version possible in early 1935, but the work was not premiered until 1938 (in Zurich). Despite eventually signing a personal loyalty oath to Hitler, Hindemith was included in the \"degenerate music\" exhibition of 1938 and eventually fled to the United States, where he took up a professorship at Yale University. A detailed account of the production and Nazi-era exhibition history of _Mathis der Maler_ can be found in Michael Kater, _Composers of the Nazi Era_ (Oxford: Oxford University Press, 2000), 34\u201343. This complicated history\u2014shared by many of the films, artworks, texts, and pieces of music cited in _Histoire(s) du cin\u00e9ma_ (Godard's frequent use of the opening movement of Arthur Honegger's 1946 Third Symphony, for example, has comparable historical weight)\u2014was surely one of the factors motivating Godard to employ the piece as he does.\n\n168. Godard uses the third, and final, movement of the _Mathis der Maler_ symphony in _Toutes les histoires_ (1A, accompanying the montage fusion of _Germany Year Zero, La Strada_ , and Wittgenstein's _On Certainty_ ), _Une histoire seule_ (1B; the movement is used repeatedly here, first with images of Cocteau's _Orpheus_ and then with extracts from _M_ ), and _La Monnaie de l'absolu_ (3A, where it is used ironically in connection with a discussion of Selznick's memo on _Bird of Paradise_ ). All three movements from the symphony are used in _Nouvelle vague,_ and the implied allusions to the _Isenheim Altarpiece_ are enriched when shoelaces are tied at the very end of the film in an iconographic nod to St. John the Baptist (the reference is in all four Gospels: Matthew 3:11, Mark 1:7, Luke 3:16, and John 1:27).\n\n169. Robert Bresson, _Notes on the Cinematographer_ , translated by Jonathan Griffin (Copenhagen: Green Integer, 1997), 44. Bresson is here alluding to the ideas of a \"hidden\" God developed throughout Blaise Pascal's _Pens\u00e9es_ (the model for his epigrammatic \"Notes\"), particularly in the fragments numbered 13, 275, 644, and 690 in the Philippe Sellier edition.\n\n170. Ludwig Wittgenstein, _Culture and Value,_ edited by G. H. von Wright and translated by Peter Winch (Chicago: University of Chicago Press, 1980), 32e.\n\n171. Godard has mentioned this same passage in interviews: \"This philosophic base, which is that cinema is that which cannot be seen, is anchored in an honest and secular Christianity. This made me think of that phrase of Wittgenstein: 'You have there a story; you should believe it, whatever happens'\" (Debray, \"Jean-Luc Godard rencontre R\u00e9gis Debray,\" 429).\n\n172. _M_ is universally recognized as one of the definitive early sound films, and Godard's use of it here reinforces the implicit subtext that sound introduced a new, linguistic divisiveness into cinema (which, Godard suggests, had in the silent era been characterized by an image-driven universality).\n\n173. _The Trial of Joan of Arc_ appears in _Une histoire seule_ (1B), _Seul le cin\u00e9ma_ (2A), _Fatale beaut\u00e9_ (2B), _Une vague nouvelle_ (3B), and _Les Signes parmi nous_ (4B). By contrast, images or clips from more well-known Bresson films like _Pickpocket_ (1959) and _Au hasard Balthazar_ (1966) appear only once (in _Une histoire seule_ , 1B, and _Seul le cin\u00e9ma_ , 2A, respectively).\n\n174. The final section of _Ordet_ plays a similar role in three post- _Histoire(s) du cin\u00e9ma_ works: _The Origins of the 21st Century_ (a clip of the young girl standing with Johannes appears near the midpoint of the film, with overlay text reading \"Rise, I command\"), _Libert\u00e9 et patrie_ (a still image of Inger's body during her funeral appears toward the end), and _Notre musique_ (a still reproduction of _Ordet_ 's final shot\u2014the embrace of the resurrected Inger and her husband Mikkel\u2014is visible on a wall just after Godard's lecture to the students in Sarajevo ends).\n\n175. Godard, \"Le Montage,\" 246.\n\n176. Wittgenstein, _Culture and Value_, 50e (dated 1946). The category of gesture has special importance for Wittgenstein. \"Not every purposive movement of the human body is a gesture,\" he writes; it must be something that \"insinuates itself into my life\" and is then adopted as one's own (42e, 1942; 73e, 1948).\n\n177. Although these connections are overt with the Caravaggio and _The Anatomy Lesson of Dr. Deyman_ , which shows the action of surgical slicing far more explicitly than Rembrandt's famous _Anatomy Lesson of Dr. Nicolaes Tulp_ (1632), they are also present in the more obscure painting depicting the third of Daniel's five visions. Daniel's third vision finds him by the Ulai River watching an allegorical confrontation between a ram with two horns and a he-goat who \"was moved with choler against him, and smote the ram, and brake his two horns\" (Daniel 8:7). Rembrandt's painting shows Gabriel explaining this vision to Daniel, who looks at the he-goat from the other side of a darkened ravine that bisects the painting through the middle; characteristically, Godard crops the painting to emphasize the hand gestures of the two figures, leaving the object of the vision entirely offscreen.\n\n178. Godard, _True History_ , 353. He used similar language when distinguishing his creative practice from media-generated auteurship in 1992: \"It's society, the producer, the distributor. They're the auteur. I am just the worker, the builder\" (Riding, \"What's in a Name,\" 11).\n\n179. In a 1989 lecture, for example, Godard observes, \"At the moment [of cutting], there is an ensemble of things that is closer to architecture or to an art that I have never understood and that I am only beginning to understand: sculpture\" (Godard, \"Le Montage,\" 242). In an interview several years earlier, Godard declared that he used only two tracks of sound because he has \"two hands to manipulate them... if I had only one arm, maybe I'd have only a single sound track\" (Bachmann, \"The Carrots Are Cooked,\" 134).\n\n180. Beauviala and Godard, \"Genesis of a Camera,\" 141. It is likely that the availability of palm-sized 3D cameras helped to inspire Godard's move into 3D filmmaking (with _Les Trois D\u00e9sastres_ , 2013).\n\n181. The Swiss writer Denis de Rougemont\u2014most famous for his 1938 book _Love in the Western World_ and for his involvement with the \"nonconformist\" personalist movement of the interwar period\u2014went to Germany to teach in 1935 and became an ardent anti-Nazi (he escaped to the United States once the war began). After the war, he founded the Centre europ\u00e9en de la culture (CEC), which he ran until his death in 1985 and which became one of the strongest advocates for a left-leaning pan-Europeanism unified not by technical-industrial progress but by a shared culture. De Rougemont saw himself as continuing the ideas developed at the first 1926 Pan-European Congress in Vienna and strongly argued against nation-states and in favor of an organization of federated, regional entities. Although the post-Maoist Godard of the 1980s and 1990s\u2014who has frequently used the statement \"The dream of the state is to be one, the dream of individuals is to be two\" in his films\u2014would reject the quasi-imperial underpinnings of some of de Rougemont's proposals, he shares his utopian conception of a Europe defined, above all, by its cultural heritage (\"Apart from her culture, Europe is just a promontory of Asia, with few natural resources,\" de Rougemont argued in _The Meaning of Europe_ [London: Sidgwick and Jackson, 1963], 54).\n\n182. Malraux, _The Voices of Silence_ , 642. Similar language was used at the end of _The Creative Act_ , the second volume of _The Psychology of Art_ , but the final sentence ends with the less theologically charged phrase, \"forms which testify to the might and the honour of being a man\" (translated by Stuart Gilbert [New York: Pantheon, 1949], 220).\n\n183. Godard, \"Le Montage,\" 242.\n\n184. Although Godard had utilized shifts in focus for artistic purposes in earlier films (such as _Weekend_ ), they were used much more markedly in the films made after _Histoire(s) du cin\u00e9ma_ commenced. They are particularly noticeable in _H\u00e9las pour moi_ , which, like _Nouvelle vague_ and _In Praise of Love_ , also uses high-contrast imagery shot using natural light sources to emphasize the act of perception and to set different zones of space in relation to one another. The frequent use of multiplanar composition-in-depth\u2014which is adopted even in lateral tracking shots like the long take accompanied by Arnold Schoenberg's _Transfigured Night_ (opus 6, 1899) in _Nouvelle vague_ \u2014makes shots focusing on hands stand out more distinctly.\n\n185. Godard frequently plays with the theological idea of a Trinity, or as he puts it, \"the three persons\" in his late work. In _The Old Place_ , for example, Godard says, \"That reminds me of my old philosophy teacher, Mr. Brunschwig: 'One is in the other and the other is in the one, and those are the three persons.'\" Variations of this line are used in _H\u00e9las pour moi_ and _Film socialisme_.\n\n186. Martin Heidegger, \"What Are Poets For?\" in _Poetry, Language, Thought_ , translated by Alfred Hofstadter (New York: Harper Perennial, 2001), 92. In France, this essay was first published in a 1950 collection of Heidegger's writings called _Chemins qui ne m\u00e8nent nulle part_ , the title of which Godard reads out three times in _Toutes les histoires_ (1A). This title also appears as intertitle text in _Germany Year 90 Nine Zero_ and on the page of a notebook in _JLG\/JLG\u2014Self-Portrait in December_. Excerpts from \"What Are Poets For?\" were used earlier in _Une histoire seule_ (1B), and when the words \"not only have the gods and the god fled, but the divine radiance has become extinguished\" are spoken, intertitles reading \" _le cin\u00e9ma_ \" and then \"Hail Mary\" appear, a triple reference to Godard's 1985 film of the same name, Mary Pickford, and traditional Christian prayers (\"What Are Poets For?\" 89). In this context, it should also be noted that the woman reading out the text, Maria Casar\u00e8s, is best known for her roles in Bresson's _Les Dames du Bois de Boulogne_ , Marcel Carn\u00e9's _Children of Paradise_ (1945), and Cocteau's _Orpheus_.\n\nIn \"What are Poets For?\" Heidegger contrasts the authentically disclosed Being articulated by Friedrich H\u00f6lderlin with the struggle by poets like Rilke to recapture that sensibility in works such as the _Sonnets to Orpheus_ (1922). For Heidegger:\n\n\"The poet in the time of the world's night utters the holy,\" while\n\n\"poets in a destitute time\" must especially gather in poetry the nature of poetry. Where that happens we may assume poets to exist who are on the way to the destiny of the world's age. We others must learn to listen to what _these_ poets say\u2014assuming that, in regard to the time that conceals Being because it shelters it, we do not deceive ourselves through reckoning time merely in terms of that which is by dissecting that which is. (92)\n\nGodard consciously assumes this prophetic role in _Histoire(s) du cin\u00e9ma_ , struggling to gather \"the nature of [cinema]\" within his work in an attempt to recapture its lost purity, which is presumably why this text is invoked as frequently as it is. As he explained in 1988:\n\nI am sure that Fra Angelico or Giotto did not say, \"Yes, but painting...\" However, with respect to Delacroix, they said: \"painting.\" The painter thinks that he is the representative of painting, that he is an extraterrestrial, that he is painting in the form of the painter.... [After the interviewers argue that artists like this \"save\" painting, Godard continues:] It is a sentiment that Manet had, not Renoir because he was very open, that Nicolas de Sta\u00ebl, Matisse, and [Georges] Braque had, that Bresson had always. Me also, completely. (Bergala and Toubiana, \"L'Art de (d\u00e9)montrer,\" 135)\n\nAccording to Godard, these same ideas also informed _H\u00e9las pour moi_ , an ambitious attempt to rework the legend of Alcmene and Amphitryon (the subject of important plays by Heinrich von Kleist\u2014 _Amphitryon_ , 1807\u2014and Jean Giraudoux\u2014 _Amphitryon 38,_ 1929\u2014as well as a poem by Leopardi) in a modern context that was completely restructured after star G\u00e9rard Depardieu walked off the set:\n\n[ _H\u00e9las pour moi_ ] was made on the absence of God. If the film had succeeded, one would have realized that God was not there. There was this idea, very Heideggerian (when he speaks of H\u00f6lderlin), that the gods have fled and that in times of distress, the poets should show the traces of the vanished gods. Then the inverse happened: it became a film on the presence of God. (\"Le Bon Plaisir,\" 321)\n\n187. In his original outline for _Nouvelle vague_ , Godard aligns these two drownings with a shift from the Old to the New Testament:\n\nIn a first time\u2014the Old Testament\u2014a human being (a man) is saved from drowning by another human being (a woman).\n\nIn a second time\u2014the New Testament\u2014a human being (a woman) (the same) is saved from drowning by a human being (the man) (another). (Jean-Luc Godard, \" _Nouvelle vague_ , gen\u00e8se,\" in Bergala, _Godard par Godard_ , 2:189)\n\n188. The onscreen text alludes to a scene in the Acts of the Apostles in which a prayer in prison leads to an earthquake, but the prisoners stay. St. Paul reassures their jailor: \"Do thyself no harm: for we are all here\" (Acts 16:28). The same text appears in _Germany Year 90 Nine Zero,_ and Anne-Marie Mi\u00e9ville used the phrase as the title of a film she made in 1997, with Godard cast in a comic role ( _Nous sommes tous encore ici_ , 1997).\n\n189. Carl Theodor Dreyer, \"The Real Talking Film,\" in _Dreyer in Double Reflection_ , edited by Donald Skoller (New York: Da Capo Press, 1973), 53.\n\n190. Precisely because they were used so rarely, Godard attributes great power to the use of superimpositions in Classical Hollywood films:\n\nPersonally, I loved superimpositions, especially in the work of Stevens, who made very long ones in _A Place in the Sun_. When you make them into a principal material, they permit you to go directly from one thing to another without forgetting where you have come from and without realizing where you are going, knowing that in the middle or three-quarters of the way through, the unexpected may arise. (Ciment and Goudet, \"Entretien Jean-Luc Godard,\" 52)\n\nGodard also partially blames the New Wave, and especially the great success of _Breathless_ , with bringing this form of superimposition to an end:\n\nAround the time of _Breathless_ , I helped put an end to superimpositions in film narrative. [French film lab] GTC had a special department at the time. Twenty years later, someone stopped me in the street to say, \"You put me out of work.\" I've always felt a certain debt. (Godard, _The Future(s) of Film_ , 25)\n\nVirtually identical comments are in Alb\u00e9ra, \"Cultivons notre jardin,\" 88.\n\n191. Alain Bergala and Serge Toubiana, \"Parler du manque,\" in Bergala, _Godard par Godard_ , 2:361\u2013364.\n\n192. Ibid., 360.\n\n193. Since Hugo's four-hundred-page _Cromwell_ from 1827 was considered unperformable in the nineteenth century, it was the premiere of his follow-up, _Hernani_ , that announced the emergence of Romantic drama to the French public. As Peter Brooks put it:\n\nThe premiere of _Hernani_ , on 25 February 1830, marked the public triumph of Romantic doctrine: it planted the Romantic banner in the bastion of institutional artistic conservatism, the Com\u00e9die-Fran\u00e7aise. So great was the prestige of the theater, as a public, sociable genre and institution, one that had been a center of life for good society for two centuries, that a victory in its most illustrious house carried great symbolic value. (Peter Brooks, \"1830: An Oedipal Crisis,\" in _A New History of French Literature_ , edited by Denis Hollier [Cambridge, MA: Harvard University Press, 1989], 651)\n\nAlthough it is unclear how invested Godard is in Hugo's plays, they are certainly relevant to the arguments developed in _Histoire(s) du cin\u00e9ma_ insofar as they privilege sensations developed through primarily visual means (costuming, set design, gestures) over traditional dramaturgy.\n\n194. Bonnaud and Viviant, \"La L\u00e9gende du si\u00e8cle,\" 28. Most of the Hitchcock films excerpted in _Histoire(s) du cin\u00e9ma_ are made in the transitional period immediately preceding or just following the explosion of New Wave styles around 1960. In a press conference for a special screening of _JLG\/JLG\u2014Self-Portrait in December_ , Godard stressed that it was this period of Hitchcock's career that impressed him most:\n\nHitchcock is the only one who succeeded in controlling the universe. That is what I say in my second to last _Histoire(s) du cin\u00e9ma...._ There was a period of ten years, the time of _Rear Window_ (1954) and _Psycho_ (1960), of a richness that one could compare to that of certain painters of the Renaissance, who did not have that sort of range, excepting possibly Michelangelo.... It is something very unique, not a film every ten years like Dreyer, not impossibilities like Eisenstein who could make only bits of things. (Jean-Luc Godard, \"J'ai toujours pens\u00e9 que le cin\u00e9ma \u00e9tait un instrument de pens\u00e9e,\" in Bergala, _Godard par Godard_ , 2:304)\n\n195. Chateaubriand, _The Memoirs of Fran\u00e7ois Ren\u00e9, Vicomte de Chateaubriand_ , translated by Alexander Teixera de Mattos (New York: G.P. Putnam's Sons, 1902), 2:154. Another section from Chateaubriand's memoirs is quoted at the end of _In Praise of Love_ : \"Thus is nought left me save pictures of what has passed so quickly: I shall descend to the Elysian Fields with more shades than mortal man has ever taken with him\" (1:245). Significantly, this passage implicitly refers to the underworld encounters of Book XI of _The Odyssey_ and Book VI of Virgil's _The Aeneid_.\n\nChateaubriand's most celebrated book, _The Genius of Christianity_ (1802), was a key progenitor of French Romanticism.\n\n196. Marcel Proust, _In Search of Lost Time_ , vol. 6, _Time Regained_ , translated by Andreas Mayor and Terence Kilmartin (New York: Modern Library, 1999), 261.\n\n197. July, \"Alfred Hitchcock est mort,\" 181. In _Le Contr\u00f4le de l'univers_ (4A), Godard includes an excerpt in which Hitchcock talks about the hypnotic power of montage. Godard responds, in voiceover, \"Images first, but the ones St. Paul mentions, which are a death, therefore a resurrection.\" Godard had been discussing the relationship between images and \"Gutenberg, what he invented\" since at least the late 1960s (transcription of an interview shot for ORTF on March 19, 1969, included in the Jean-Luc Godard files held in the Celeste Bartos Film Study Center of the Museum of Modern Art). In 2000, he argued that despite the rhetoric of the digital, the contemporary world remains defined by the \"Gutenberg\" paradigm:\n\nToday's cinema is a script-oriented cinema. Since Gutenberg, the text has triumphed. There was a long struggle, marriage or liaison between painting and text. Then the text carried the day. Film is the last art in the pictorial tradition. People talk a lot about images but there is only the text nowadays. On computers, there is more text than image. It's advertising copy and commentary that dominate. (Godard, _The Future(s) of Film_ , 19)\n\n198. Malraux, _The Voices of Silence_ , 516.\n\n199. Jean-Luc Godard, \"Textes pour servir aux _Histoire(s) du cin\u00e9ma_ ,\" in Bergala, _Godard par Godard_, 2:183\u2013184.\n\n200. Andr\u00e9 Malraux, \"Sketch for a Psychology of the Moving Pictures,\" in _Reflections on Art_ , edited by Susanne Langer (Oxford: Oxford University Press, 1958), 326. This same text was included on the wall of the first room (\"Salle 1: Le Mythe\") of Godard's 2006 exhibition at the Centre Georges Pompidou, _Voyage(s) en utopie, Jean-Luc Godard, 1946\u20132006: \u00c0 la recherche d'un th\u00e9or\u00e8me perdu_.\n\n201. This statement in _Toutes les histoires_ (1A) is a slight variation on another passage from Malraux's text: \"The myth begins with [British detective] Sexton Blake, but it ends with Christ\" (Malraux, \"Sketch for a Psychology,\" 327).\n\n202. In his discussion with R\u00e9gis Debray, Godard uses cathedral imagery to link art and religion, implicitly tying both to his idea of the collective, communal experience of cinema:\n\nI said that art was the morality of the West. Today, art has disappeared, because this notion of art has disappeared. The notion of religion, very close to art (that of the cathedrals, that of Michelangelo), is no more. The dead become something else. (Debray, \"Jean-Luc Godard rencontre R\u00e9gis Debray,\" 423\u2013424)\n\n203. Ciment and Goudet, \"Entretien Jean-Luc Godard,\" 57.\n\n204. Godard continues, by repeating the first line of _Swann's Way_ (the first volume in Marcel Proust's _In Search of Lost Time_ , 1927): \"For a long time, I went to bed early, for a long time I went to bed early, I say that and suddenly Albertine disappears and time is regained [a reference to the title of the last volume of Proust's seven-volume work].\"\n\n205. The phrase \" _Histoire(s) du cin\u00e9moi_ \" appears in _Fatale beaut\u00e9_ (2B), but Godard first highlights the autobiographical subtext of the work at the very beginning of _Une histoire seule_ (1B), when, just before the dedication, he says, \"But concerning me, first of all, concerning my story, what do I have to do with all of this? All this light?\" An intertitle reading \" _c'est moi_ \" appears in the middle of the discussion with Daney at the beginning of _Seul le cin\u00e9ma_ (2A), just after Godard announces that literary historians would concentrate on only a few authors\u2014\"Homer, Cervantes, Joyce\"\u2014one of several acknowledgments of his artistic lineage.\n\nThis element of Godard's work seems to have surprised some of his critics. In 1992, Jacques Aumont wrote, \"Godard differs from his contemporaries in his extraordinary lack of pretensions to the autobiographical, in fact, in a lack of any noticeable interest in himself. He is not his own biographer, either in the here and now or in the long term\" (Jacques Aumont, \"The Medium,\" in Bellour and Bandy, _Jean-Luc Godard_ , 206). Although neither project came to fruition, Godard had attempted to publicly analyze himself in two projects of the mid-1970s that anticipate certain elements of _Histoire(s) du cin\u00e9ma_. In January 1973, Godard completed a forty-nine-page proposal for _Moi, je_ , which would have been divided into two fifty-six-minute parts entitled _Moi, je suis un homme politique_ and _Moi, je suis une machine_. Structured around the juxtaposition of different materials organized according to the principles of dialectical montage, _Moi, je_ was conceived as an exploration of a politically and historically aware form of subjectivity, one that could\n\ndare to say \"I,\" dare to say that the phantoms that one sees on the screen are mine, dare to say in '41 that eighty million of my countrymen loved _juif-susser_ Hitler a reference to the French title of the notorious Nazi propaganda film _J\u00fcd Suss_ , Veit Harlan, 1940], dare to say in '72 that the Americans force the Vietnamese to die for nothing... because I am connected to the representation of these phantoms, because there is a direct relationship between \"I\" and the \"it\" which is objective, because \"I\" am another... I can finally really criticize this \"it\" of which I am a part. (Pages -6 and -6\u2032 in [Godard, \" _Moi, je_ , projet de film,\" 212\u2013213)\n\nSome of these same ideas were worked out in _Num\u00e9ro deux_ two years later. In the Montreal lectures, Godard also mentions trying to make a film called _Mes films_ that would \"simply talk about the films I haven't made and will never make\" (Godard, _True History_ , 402). Godard claims to have worked on this project for three years and explains that he abandoned it because \"it had become a 200,000-hour film and there wasn't enough time left in my life to shoot it\" (202).\n\n206. In \"Le Bon Plaisir de Jean-Luc Godard,\" Godard said that he \"would prefer that _JLG\/JLG_ be shown at the same time as _Histoire(s) du cin\u00e9ma_. One could see at the same time the work and one way that the author has signed the work, by making [his] self-portrait\" (312).\n\n207. Godard insists on the distinction between self-portrait and autobiography late in the film, declaring that this is an \" _Autoportrait, pas autobiographie_ ,\" before moving to shots of himself playing tennis (a frequent metaphor for montage in the late work). Godard elaborates in an interview:\n\nThat's why I call _JLG\/JLG Self Portrait._ A self-portrait has no \"me.\" It has a meaning only in painting, nowhere else. I was interested to find out if it could exist in [motion] pictures and not only in paintings.... A self-portrait is only a face in a mirror basically, or in the camera. (Smith, \"Jean-Luc Godard,\" 183)\n\n208. As the narration continues, Godard describes the boy in the photograph as follows:\n\nHe possessed hope, but the boy did not know that what counts is to know by whom he was possessed, what dark powers were entitled to lay claim to him. Usually, it begins like this: death arrives, then we put on mourning. I don't know exactly why, but I did the opposite [A title appears reading \"Dark Room\"]. I first put on mourning, but death never came, neither on the streets of Paris nor on the shores of Lake Geneva. Even later, I didn't have to go to any far off Samarkand. The obstacles came themselves: that is, life... which may explain my distressed look in the picture. Not because I was bent out of shape, but because I had bent the rules at some imagined Last Judgment. The sole purpose of this film should be to determine that.\n\nGodard may have adopted an oblique approach to self-portraiture to help direct the viewer's attention to the work itself. His celebrity status in France has made it possible to secure financing for his films, but it has also prevented full engagement with them. Godard has repeatedly expressed frustration at the fact that \"one speaks of Godard, but not of his films!\" and in both _JLG\/JLG\u2014Self-Portrait in December_ and _Histoire(s) du cin\u00e9ma_ , he remains focused on the ways in which selfhood is shaped by external relationships and manifested through creative work, rather than on a notion of the artist as a wholly autonomous entity (Daniel and Boulanger, \"Week-end avec Godard,\" 178):\n\nThat which interests me is more to speak of things and only after of the person who made them. This is what I did a bit in the last part of _Histoire(s)_ : I could then say, \"I was that man.\" I could not have said it at the beginning; I did not know it. It was necessary to make the work first. (Bergala, \"Une boucle boucl\u00e9e,\" 14)\n\nIn the dialogue with Serge Daney at the beginning of _Seul le cin\u00e9ma_ (2A), Godard similarly observes, \"Had it not been for cinema, I wouldn't have known that I had a history of my own. It was the only way [to understand that], and I owe it to the cinema.\"\n\n209. \"History, Stephen [Dedalus] said, is a nightmare from which I am trying to awake\" (James Joyce, _Ulysses_ , edited by Hans Walter Gabler [New York: Vintage Books, 1986], 28).\n\n210. Godard's rhetorical use of _toi_ evokes the final section (\"For Thine is the Kingdom\") of T. S. Eliot's 1925 poem, \"The Hollow Men.\"\n\n211. De Baecque, \"Entretien avec Jean-Luc Godard.\"\n\n212. The fact that this footage depicts the French Liberation, the same events linked (nearly two hours earlier) to the self-portrait in _La Monnaie de l'absolu_ (3A), further strengthens this echoing effect. Footage of and\/or audio extracts of speeches by de Gaulle also appear in _Toutes les histoires_ (1A), _La Monnaie de l'absolu_ (3A), _Le Contr\u00f4le de l'univers_ (4A), and _Les Signes parmi nous_ (4B).\n\n213. Ovid _Metamorphoses_ , Book XV, lines 871\u2013879 (these are the final lines of the work, here rendered in the Mary M. Innes translation, 357). Interestingly, in a phone conversation about the difference between culture and art earlier in the film, Godard said, \"If only I knew Latin to make everything clear.\" In an interview for the fiftieth anniversary issue of _T\u00e9l\u00e9rama_ , Godard claims that, in his youth, he received Latin lessons from family friend Paul Val\u00e9ry (quoted in Brody, _Everything Is Cinema_, 5).\n\n214. The relevant passage is:\n\nMan of Troy, the descent to the Underworld is easy.\n\nNight and day the gates of shadowy Death stand open wide,\n\nbut to retrace your steps, to climb back to the air\u2014\n\nthere the struggle, there the labor lies. (Virgil, _The Aeneid_ , translated\n\nby Robert Fagles [London: Penguin Classics, 2006], Book VI, lines 149\u2013152)\n\nThe final section of this text is quoted even before the first image, a still from _Rear Window_ with protagonist L. B. Jeffries looking out his window with a camera, appears.\n\nVirgil's \" _omnia vincit amor_ \" (\"Love conquers all,\" Eclogue X, line 69) had been used as the penultimate title card of _Nouvelle vague_ , the final one reading \" _consummatum est_ \" (the Latin version of \"It is finished,\" the last words of Jesus in John 19:30). In _Germany Year 90 Nine Zero_ , released the following year, Godard includes a Latin title reading \"If I cannot sway the heavens, I will wake the powers of hell,\" a line from _The Aeneid_ (Book VII, line 365, Fagles translation) that was also famously quoted on the first page of Sigmund Freud's _The Interpretation of Dreams_ (1899).\n\nIn addition to Virgil, Ovid is also cited in _Histoire(s) du cin\u00e9ma_ : at the very end of _Seul le cin\u00e9ma_ (2A), after the credits are finished, the following Latin words appear onscreen: \" _Aurea prima sata est aetas, quae vindice nullo, sponte sua, sine lege fidem rectumque colebat_.\" This is a quote from the _Metamorphoses_ : \"In the beginning was the Golden Age, when men of their own accord, without threat of punishment, without laws, maintained good faith and did what was right\" (Book I, lines 89\u201390, here rendered in the Mary M. Innes translation, 31).\n\nGodard has continued to cite passages in Latin in more recent films, including title cards that read \" _clarum per obscurum_ \" (\"the clear by the obscure\") and \" _abii ne viderem_ \" (\"I turned away so as not to see\") in _Film socialisme_. The latter is the title of a piece of music by the contemporary composer Giya Kancheli that was written during the 1991\u20131992 Georgian civil war, released by ECM in 2000, and used in several Godard works (including _Le Contr\u00f4le de l'univers_ , 4A).\n\n215. After traveling to \"the Kimmerian lands, and peopled cities \/ Covered with close-webbed mist, unpierced ever \/ With glitter of sun-rays \/ Nor with stars stretched, nor looking back from heaven \/ Swartest night stretched over wretched men there,\" Odysseus' crew begins performing rites to the god of Hades, \"Pluto the strong,\" while the hero pulls out his sword and sits \"to keep off the impetuous impotent dead \/ Till I should hear Tiresias\" (Pound, _Cantos_ , Canto I, 3\u20134). It is then, poised in between the dead civilization they have just past (the Kimmerian lands) and the home to which they yearn to return (Ithaca) that Odysseus encounters Elpenor in the passage read out in _Histoire(s) du cin\u00e9ma_.\n\n216. Odysseus speaks with \"Tiresias Thebae\" in Canto I (Pound, _Cantos_ , 4) and Pound refers to having \"speech with Tiresias, Thebae\" in Canto LXXXIII (553).\n\n217. The implied connection of Odysseus' encounter with Elpenor and the neglect of the cinema is heightened by its proximity (less than fifteen minutes earlier in the same section) to Godard's recounting of Charles F. Ramuz's story of a colporteur who arrived in a village along the Rh\u00f4ne and befriended everyone \"because he knew how to tell a thousand and one stories; and now a storm breaks and lasts for days and days and the peddler says, 'This is the end of the world.' But the sun finally came out and the inhabitants of the village chased the poor colporteur out. The colporteur, it was the cinema.\" Significantly, the colporteur in Ramuz's novel _Les Signes parmi nous_ (1919), which Godard used as the title for this section of _Histoire(s) du cin\u00e9ma_ , sold religious books and images. The later novel _La S\u00e9paration des races_ (1922) includes a colporteur who provides the main link between two communities divided along religious and ethnic lines. It was the basis for the most important Swiss film made before World War II, _Rapt_ (Dimitri Kirsanoff, 1934).\n\nGodard at one point intended to dedicate the final section of his work, then identified as 5B, to Ramuz (Bellour and Bandy, _Jean-Luc Godard_ , 123). In addition to biographical connections to the Swiss canton of Vaud, Godard and Ramuz share what Denis de Rougemont has described as the \"incarnation of myth\" expressed in terms of concrete details and a sense of imminent catastrophe (see Denis de Rougemont, \"Vues sur C.F. Ramuz,\" _Esprit_ 44 [May 1936], 161, and the introduction to C. F. Ramuz, _The End of All Men_ [New York: Pantheon, 1944], xv\u2013xvi).\n\nThe closest analog within _Histoire(s) du cin\u00e9ma_ to the Tiresias imagery in the _Cantos_ is the shot of L. B. Jeffries with his elongated camera in _Rear Window_ ; when it reappears in _Une vague nouvelle_ (3B), it reminds the viewer of the very first image shown in _Toutes les histoires_ (1A). Images of the famous lions in _Battleship Potemkin_ , which also appear in both _Toutes les histoires_ (1A) and _Une vague nouvelle_ (3B), have a similar linking function.\n\n218. Pound, _Cantos_ , 794. With these words, Pound announces his intention to shift into the _Paradiso_ section of the _Cantos_ while simultaneously referring back to the beginning of the quest by echoing the Italian passage\u2014\" _O voi che siete in piccioletta barca\"_ \u2014from Canto VII (26). The Italian phrase in Canto VII is a verbatim quotation of the first line of Canto II in Dante's _Paradiso_. A variant is included, in English, in another late Canto (XCIII): \"'Oh you,' as Dante says 'in the dinghy astern there'\" (651). Pound frequently alluded to the influence of the _Commedia_ on the _Cantos_ , writing in 1944:\n\nFor forty years I have schooled myself, not to write an economic history of the U.S. or any other country, but to write an epic poem which begins \"In the Dark Forest,\" crosses the Purgatory of human error, and ends in the light, and \" _fra i maestri di color che sanno_ \" (Ezra Pound, \"An Introduction to the Economic Nature of the United States,\" in _Ezra Pound, Selected Prose: 1909\u20131965_ , edited by William Cookson [New York: New Directions, 1973], 167).\n\n219. This passage is included in Canto CXVI (Pound, _Cantos_ , 815\u2013816). Canto CXVII was never completed, but in one of his published notes for it, Pound wrote, \"I tried to make a paradiso\u2014terrestre \/ I have tried to write Paradise\" (822).\n\nIn the early stages of the _Cantos_ , Pound had stressed the Neoplatonic perfection of the _Paradiso_ , observing, \"One hears far too much about Dante's Hell, and far too little about the poetry of the _Purgatorio_ and the _Paradiso_ ,\" and arguing, \"The beauty of the _Paradiso_ hardly suffers one to transplant it in fragments, as I here attempt\" (Ezra Pound, _The Spirit of Romance_ [New York: New Directions, 1968], 128, 143). It is only later\u2014after the war, the camps, \"The Cage\"\u2014that Pound reconciled himself to a more fractured, provisional approach to representing paradise.\n\n220. A little more than halfway through _Nouvelle vague_ , the opening lines of _Inferno_ (Canto I, lines 1\u20139, with a short gap separating 1\u20136 and 7\u20139) are recited in Italian by lead actress Domiziana Giordano (Elena), structurally echoing Dante's celebrated opening: \"Midway in the journey of our life \/ I came to myself in a dark wood, \/ for the straight way was lost\" (Robert and Jean Hollander translation [New York: Doubleday, 2000], lines 1\u20133). Lines 19\u201327 from the same canto are used after the protagonists have been reunited. This excerpt culminates in \"so my mind, still in flight, \/ turned back to look once more upon the pass \/ no mortal being ever left alive.\" Lennox then says (in French), \"Don't look back!\" explicitly connecting the reunited lovers to Orpheus and Eurydice. Lines 1\u20137 from Canto III of the _Purgatorio_ appear several minutes later, followed shortly thereafter by lines 12\u201315 (intermediate lines seem to be recited in between, but they are drowned out by other parts of the soundtrack).\n\nThe quotations in _La Monnaie de l'absolu_ (3A) are from lines 119\u2013120 of Canto XXIV of _Inferno_ (\"O how stern it is, the power of God, \/ hurling such blows as it takes vengeance!\") and line 26 of Canto XX in _Purgatorio_ (\"you chose poverty with virtue,\" Robert and Jean Hollander translation [New York: Doubleday, 2003]).\n\nDante's discussion of Ulysses' attempt to journey beyond mortal limits in Canto XXVI of _Inferno_ is referred to in _Contempt_ during the scene in which Fritz Lang presents the footage from his adaptation of _The Odyssey_. He recites lines 112\u2013120 in German, and the character played by Michel Piccoli responds in French by pairing the openings of two stanzas, lines 127 and 136, with the final line of the canto (line 142). A discussion of H\u00f6lderlin's \"The Poet's Vocation\" follows several minutes later.\n\n221. The United States Marine Corps hymn, also known as \"The Halls of Montezuma,\" had been used in Hollywood films like _Gung Ho!_ (Ray Enright, 1943), _The Sands of Iwo Jima_ (Allan Dwan, 1949), and _The Halls of Montezuma_ (Lewis Milestone, 1951), making this yet another instance of Godard playing off of collective memories of World War II.\n\n222. Daney, \"Godard Makes [Hi]stories,\" 159. The version presented onscreen differs slightly from the published transcription, especially because of verbal repetitions and the complexity of the soundtrack. Godard's use of the Brecht quotation also evokes the Lang character's (ultimately unrealized) ambition in _Contempt_ : to find a way of translating Odysseus' quest into cinema.\n\n223. Godard had expressed a desire to mount an exhibition that would complement _Histoire(s) du cin\u00e9ma_ to Youssef Ishaghpour during their interview (first published in France in 2000): \"I wanted to put on a small exhibition or something of that sort in a gallery, assemble something that would show the different modes of entering and leaving what one can call History\" (Godard and Ishaghpour, _Cinema_, 48).\n\n224. A detailed account of the production of both exhibitions is given by curator and initiator Dominique Pa\u00efni in \"D'apr\u00e8s JLG...,\" in Brenez et al., _Jean-Luc Godard, Documents_ , 420\u2013426. See also the parallel assessments of _Voyage(s) en utopie, Jean-Luc Godard, 1946\u20132006: \u00c0 la recherche d'un th\u00e9or\u00e8me perdu_ by James Quandt and John Kelsey in _Artforum_ 45, no. 1 (September 2006), 73\u201378, 397.\n\n225. This is the final sentence of Henri Bergson's _Matter and Memory_ (translated by N. M. Paul and W. S. Palmer [New York: Zone Books, 1991], 249). It was intended to appear on the floor of the final room (\"Salle 9: Le Tombeau\") of the original exhibition, _Collage(s) de France, arch\u00e9ologie du cinema d'apr\u00e8s JLG_.\n\n226. The title of Bergson's book is one of the first things Godard says in _Toutes les histoire(s)_ (1A), another instance of ends being connected to beginnings. Godard also reads out the title of the book onscreen midway through _Fatale beaut\u00e9_ (2B), in conjunction with an image of the burning car from _Weekend_ and a voiceover, by Godard, declaring, \"Films are merchandise and we must burn films, I told Langlois, but be careful with the fire within [The Godard onscreen, looking at an offscreen book in his library says, \" _Mati\u00e8re et m\u00e9moire_ \"]. Art is like fire, it is born from what it burns.\" This brief cluster brings together the Bergsonian idea of memory as an active process with the poetics of phoenix-like creative destruction derived, by way of Malraux, from the German Romantics.\n\nThe same quote used on the floor of the exhibition is also used in three short works that extend the principles of _Histoire(s) du cin\u00e9ma: The Old Place, The Origins of the 21st Century_ , and _Libert\u00e9 et patrie_. In _In Praise of Love_ , the first feature film Godard completed after _Histoire(s) du cin\u00e9ma_ , one character highlights this aspect of Godard's late work by saying, \"Memory has no obligations. Read Bergson\" (Godard made a similar statement himself in Truong, \"R\u00e9sistance de l'art,\" 446).\n\n227. As Godard explained in an interview with Alain Bergala conducted just after _Histoire(s) du cin\u00e9ma_ was completed, in closing the loop as he does with the story of the flower, \"There is a true montage. There were four hours of film which permitted me to make a montage\" (Bergala, \"Une boucle boucl\u00e9e,\" 41).\n\n228. In a letter demonstrating Godard's layered use of cultural references in _Germany Year 90 Nine Zero_ , he draws out some of the other associations implicitly contained within the image of the white rose: the white dress in Goethe's _The Sorrows of Young Werther_ , Goethe's argument that white is not an intermediate color, and finally, \"the white rose, the only unknown of Rilke\" (Jean-Luc Godard, \"Lettre \u00e0 Louis Seguin sur _Allemagne neuf z\u00e9ro_ ,\" in Brenez et al., _Jean-Luc Godard, Documents_ , 340). Rilke wrote a series of poems on roses, including one intended to be his epitaph, but Godard is probably thinking here of the vision of total but ever-mysterious perfection in the 1907 poem, \"The Rose Bowl.\"\n\nThe Sanctus from Beethoven's _Missa solemnis_ is also used in _Une vague nouvelle_ (3B), accompanying a montage of hands and Godard's discussion of the \"fraternity of metaphors.\"\n\n229. Dante, _Paradiso_ , Canto XXX, line 124 (Robert and Jean Hollander translation, New York: Doubleday, 2007). The rose is the allegorical image of the heavens, and once Dante enters the empyrean at the beginning of the next canto, it is depicted \"in form, then, of a luminous white rose\" (Canto XXXI, line 1). Crucially, in the final canto, Dante repeatedly reminds the reader that his image of the \"eternal Light,\" which cannot be penetrated \"with such unblinking eyes,\" is constrained by his particular limit of vision. He describes the perfect circling of the celestial spheres, \"the universal form of this dense knot,\" as appearing \"in you as light's reflection\" (Canto XXXIII, lines 43\u201345, 91\u201392, 128). In this, Dante is following the Pauline tradition (often cited by Godard), which also informs the key section toward the end of the _Paradiso_ in which Dante shifts tenses to remind the reader that this experience is being narrated retrospectively:\n\nFrom that time on my power of sight exceeded\n\nthat of speech, which fails at such a vision,\n\nas memory fails at such abundance\n\n..................\n\nO Light exalted beyond mortal thought,\n\ngrant that in memory I see again\n\nbut one small part of how you then appeared\n\nAnd grant my tongue sufficient power\n\nthat it may leave behind a single spark\n\nof glory for the people yet to come. (lines 55\u201357, 67\u201372)\n\nWhile it clearly articulates the partiality of human knowledge, this passage also reinforces the crystalline structural cohesion of the _Divine Comedy_ by referring (via the phrase \"my memory\") back to both the beginning of the _Paradiso_ and, through the idea of dreaming, to Canto I of _Inferno_ (lines 10\u201312). By linking the various sections of his epic together like this, Dante is deepening the sense that it attempts, however incompletely, to map out the perfect schema of the universe, which exists even if humans cannot fully perceive or represent it. For Godard, on the contrary, this circularity reflects the instability of history, the difficulty of processing cataclysmic events without recourse to a larger theological or metaphysical order.\n\nBeatrice, who replaces the pagan Virgil and guides Dante into Paradise, plays a central role in the _Paradiso_ that is prefigured by her appearance in the final four cantos of the _Purgatorio_ and sporadic references earlier. The surprise appearance of Anne-Marie Mi\u00e9ville's name in the dedication to the final section of _Histoire(s) du cin\u00e9ma_ is similarly anticipated by the inclusion of her photograph at the beginning of the preceding section _Le Contr\u00f4le de l'univers_ (4A) and the use of excerpts from her films _Mon cher sujet_ (1988), in _Une histoire seule_ (1B), and _Apr\u00e8s la reconciliation_ (codirected with and starring Godard, 2000), in _Fatale beaut\u00e9_ (2B).\n\n230. The rose also evokes memories of images in two earlier _Histoire(s) du cin\u00e9ma_ sections. Near the end of _Fatale beaut\u00e9_ (2B), Godard irises an image of the Tramp at the end of _City Lights_ (Charles Chaplin, 1931) on top of an image of roses made with an early color process. Charlie Chaplin is later shown holding a white rose to his mouth (an image from _Limelight_ , 1952) near the end of _Une vague nouvelle_ (3B). Roses had also shown up in at least two earlier Godard films: a white rose was symbolically associated with Claire and a red rose with Carmen in _First Name: Carmen_ ; and the Romantic underpinnings of Godard's Marxism are epitomized by the red rose shown in close-up in _Pravda_.\n\nIn _Sc\u00e9nario du film Passion_ , Godard discusses Delacroix's decision, in the twilight years of his life, to devote himself to flower paintings and declares, \"Someday I would like to paint flowers too,\" a perfect metaphor for what he does sixteen years later, in the final moments of the work that he saw as a late-period summation of his career.\n\n231. In one of his notebook entries, Coleridge wrote:\n\nIf a man could pass thro' Paradise in a Dream, & have a flower presented to him as a pledge that his Soul had really been there, & found that flower in his hand when he awoke\u2014Aye? And what then? (Kathleen Coburn, ed., _The Notebooks of Samuel Taylor Coleridge_ , Text, vol. 3, _1808\u20131819_ [Princeton, NJ: Princeton University Press, 1973], 4287)\n\nKathleen Coburn points out that this derives from Jean Paul's _Geist_ (an unauthorized compendium of excerpts from the author's other texts):\n\nOh, if a mortal man were to wander in a dream through Elysium, if vast unfamiliar flowers were to close above him; if one of the blessed were to offer him one of these flowers, saying: \"Let this remind you when you awake that you have not been dreaming\"\u2014how he would yearn for that Elysian land, whenever he looked at the flower. (Kathleen Coburn, ed., _The Notebooks of Samuel Taylor Coleridge_ , Notes, vol. 3, _1808\u20131819_ [Princeton, NJ: Princeton University Press, 1973], 4287)\n\nJean Paul's frequent quotations, like Godard's, are often inexact paraphrases.\n\nThe onscreen reference to Borges at the end of _Les Signes parmi nous_ (4B) is probably due to a passage in his 1960 story \"The Yellow Rose\":\n\nIn a goblet, a woman has set a yellow rose; the man murmurs the inevitable lines of poetry that even he, to tell the truth, is a bit tired of by now.... Then the revelation occurred. Marino _saw_ the rose, as Adam had seen it in Paradise, and he realized that it lay within its own eternity, not within his words, and that we might speak about the rose, allude to it, but never truly express it, and that the tall, haughty volumes that made a golden dimness in the corner of his room were not (as his vanity had dreamed them) a mirror of the world, but just another thing added to the world's contents.... Marino achieved that epiphany on the eve of his death, and Homer and Dante may have achieved it as well. (Jorge Luis Borges, _Collected Fictions_ , translated by Andrew Hurley [London: Penguin Classics, 1998], 310)\n\nThe imagery of the Coleridge story also appears in a more explicitly Dantean story by Borges, \" _Paradiso, XXXI,_ 108\": \"Who knows but that tonight we may see [paradise] in the labyrinth of dreams, and not know tomorrow that we saw it\" ( _Collected Fictions_ , 316). That, in both of these cases, Borges' appropriation of Coleridge carries strong echoes of Dante's _Paradiso_ implicitly strengthens these associations in _Histoire(s) du cin\u00e9ma_.\n\nThe idea of a flower caught in a dream was developed in the same period by Novalis in his unfinished novel _Heinrich von Ofterdingen_ (1802), where the protagonist longs to retrieve a symbolically charged \"Blue Rose.\" In a 1964 article on Cocteau's _Orpheus_ , Godard had paraphrased a famous passage from the second part of the novel (\"World turns to dream and dream to world\" in the Palmer Hilty translation [Long Grove, IL: Waveland Press, 1990], 152): \"The German Novalis tells us... that if the world becomes a dream, the dream in its turn becomes a world\" (Jean-Luc Godard, \" _Orph\u00e9e_ ,\" translated by Tom Milne in Milne, _Godard on Godard_ , 205). In _Band of Outsiders_ , released the same year this review was written, Godard, as offscreen narrator, says that the character Franz wonders whether \"the world is becoming a dream or a dream is becoming the world.\"\n\n232. Much of Jean Paul's work was preoccupied with questions of belief and the tenuous boundary between hope and despair. The section \"On the Desert and the Promised Land of the Human Race\" in the 1795 novel _Hesperus_ , for example, ends:\n\nA veiled eye behind Time, an eternal heart beyond the world. There is a higher order of things than we can demonstrate\u2014there is a Providence in the history of the world and in the life of each one of us, stoutly denied by reason, stoutly believed by the heart\u2014there must be a Providence following other rules than those we had applied heretofore, linking this muddled earth as a satellite town to a loftier City of God\u2014there must be a God, a virtue, an eternity. (Translated by Erika Casey in _Jean Paul: A Reader_ , edited by Timothy J. Casey [Baltimore: Johns Hopkins University Press, 1992], 119)\n\n### Conclusion\n\n1. Henry James, \"The Middle Years,\" in _Selected Tales_ (London: Penguin Classics, 2001), 254.\n\n2. Godard told R\u00e9gis Debray that he is \"a child of the museum. But, contrary to [Andr\u00e9] Malraux, I think that the museum can be living. The cinema immediately became the museum of the real, but it did not fulfill this function\" (R\u00e9gis Debray, \"Jean-Luc Godard rencontre R\u00e9gis Debray,\" in _Jean-Luc Godard par Jean-Luc Godard,_ edited by Alain Bergala, vol. 2, 1984\u20131998 [Paris: Cahiers du cin\u00e9ma, 1998], 428).\n\n3. The premiere screening was held on November 28, 2001. _In the Darkness of Time_ was subsequently included as part of the 2002 anthology film, _Ten Minutes Older: The Cello_. Although _The Old Place_ had been commissioned by the Museum of Modern Art in 1998 and was completed in 1999, it was not publicly shown there until 2001.\n\n4. As Godard explains in a 1998 interview, for someone like Warhol, \"The image signified nothing... there was no longer either faith or law in the use he made of it: it was already publicity and it terminated in the image of Marilyn [Monroe] on cigarette packs\" (Fr\u00e9d\u00e9ric Bonnaud and Arnaud Viviant, \"La L\u00e9gende du si\u00e8cle,\" _Les Inrockuptibles_ 170 [October 1998], 27).\n\n5. In _The Old Place_ , Anne-Marie Mi\u00e9ville declares, \"Art wasn't protected from time. It was what protected time.\" Godard uses similar language in his voiceover at the end of the final section of _Histoire(s) du cin\u00e9ma_ ( _Les Signes parmi nous_ , 4B).\n\n6. The manifesto was reproduced in Barry Bergdoll and Leah Dickerman, eds., _Bauhaus: Workshops for Modernity, 1919\u20131933_ (New York: Museum of Modern Art, 2009), 64\u201367.\n\n7. This is also true of Godard's almost willfully self-destructive exhibition at the Centre Georges Pompidou; whereas the first, unmade, version ( _Collage(s) de France, arch\u00e9ologie du cinema d'apr\u00e8s JLG_ ) was designed to simulate the effects of cinematic viewing, the one he completed ( _Voyage(s) en utopie, Jean-Luc Godard, 1946\u20132006: \u00c0 la recherche d'un th\u00e9or\u00e8me perdu_ , 2006) employs countless LCD screens of varying shapes and sizes, an ironic reflection of the distracted viewing characteristic of the post-cinematic world.\n\n8. In a 2007 interview, for example, Lav Diaz explained his approach to making and viewing his films:\n\n[They] can be shown anywhere. I can show these films in cinemas or on DVD or in galleries. In Toronto, they will show this film in a gallery as part of a performance. Some people will interact, so it is evolving into something else. I am seeing a different kind of cinema, where we destroy the concept of audience. So many things are possible. Art is really free now.\n\nI don't believe in the concept that you have to sit in the cinema for two hours and watch a story that is compressed in this period of time. Cinema can be anything. My films are not purposely done for the cinema anymore. You can watch them there, or in the streets, or... on a plane!... You can watch it at home, you can make love with your girlfriend for two hours, and when you come back, the film is still running. (Lav Diaz, \"Digital Is Liberation Theology,\" interview with Tilman Baumg\u00e4rtel, _Greencine_ , September 7, 2007, available online at <http:\/\/www.greencine.com\/central\/lavdiaz>)\n\n9. Markopoulos' framing was largely dictated by the 16mm equipment that he was using, although he considered many other exhibition possibilities before finally concluding that the single projected image would have more power (Gregory Markopoulos, \"Unification of the Frame,\" in _The Sovereignty of the Filmmaker as Physician_ , 7:3). Godard had come to a similar conclusion after watching Gance's Magirama projections in the 1950s:\n\nSo the triple screen, whether associated with the variable screen or not, may in certain scenes provoke supplementary effects in the sphere of pure sensation, but no more; and I admire [Jean] Renoir, [Orson] Welles, or [Roberto] Rossellini precisely because they achieve a similar or even superior result by more logical means, breaking the frame but not destroying it. (Jean-Luc Godard, \"Future, Present, Past: Magirama,\" translated by Tom Milne in _Godard on Godard_ , edited by Tom Milne [New York: Da Capo Press, 1972], 42)\n\nMost of the films Godard made after _Weekend_ are designed for \"Academy ratio\" (1.37:1) projection, while Rivette has used it more selectively\u2014in the features shot in 16mm ( _Out 1; Out 1: Spectre_ , 1972; _C\u00e9line and Julie Go Boating_ , 1974; _Le Pont du nord_ , 1981) and in both versions of _La Belle Noiseuse_ ( _La Belle Noiseuse_ , 1991, and _Divertimento_ , 1992, both shot with 35mm film). This ratio, standard for 16mm films and for twentieth-century television, originates in the silent era, which is undoubtedly one of the reason these three filmmakers employ it as they do.\n\n10. Godard is certainly not oblivious to the often dark history of the Soviet Union; in his discussion with Serge Daney, he expresses his admiration for \"absolutely fantastic books that are quite forgotten today, like David Rousset's\" (Serge Daney, \"Godard Makes [Hi]stories,\" translated by Georgia Gurrieri in _Jean-Luc Godard: Son + Image, 1974\u20131991_ , edited by Raymond Bellour with Mary Lea Bandy [New York: Museum of Modern Art, 1992], 165). Rousset was a survivor of Buchenwald\u2014his 1946 book, _The Other Kingdom_ , is an important analysis of the Nazi concentration camps\u2014who openly criticized the camps still in use in the Soviet Union and was among the first to use the French word for \"Gulag\" in print (see Tzvetan Todorov, _Hope and Memory: Lessons from the Twentieth Century_ [Princeton, NJ: Princeton University Press, 2003], 148\u2013158). Godard emphasizes this process in the final section of _The Origins of the 21st Century_ (2000) by overlaying the word sequence \" _konec-goulag-lager_ \" (\"end\" in Russian, \"Gulag\" in French, \"camp\" in German) on dialectically paired shots of trains, immediately after a montage that uses the color red to interlink clips depicting euphoric celebration from a number of different Soviet films.\n\n11. Excluding films made by Godard or Mi\u00e9ville, archival footage compilations, and Agn\u00e8s Varda's documentary about her husband Jacques Demy's 1967 musical _The Young Girls of Rochefort_ ( _Les Demoiselles ont eu 25 ans_ , 1993), the works from the 1990s that are cited or included in _Histoire(s) du cin\u00e9ma_ are Chris Marker's 1993 documentary about Aleksandr Medvedkin, _The Last Bolshevik_ (referred to in _Une vague nouvelle_ , 3B, and _Le Contr\u00f4le de l'univers_ , 4A); _Corridor_ (\u0160ar\u016bnas Bartas, 1995, Lithuania, referred to in _Le Contr\u00f4le de l'univers_ , 4A); _Three Days_ (\u0160ar\u016bnas Bartas, 1992, Lithuania, referred to in _Le Contr\u00f4le de l'univers_ , 4A); and _Whispering Pages_ (Aleksandr Sokurov, 1993, Russia, referred to in _Les Signes parmi nous_ , 4B).\n\n12. Among other factors, the decreasing demand for celluloid processing and the closure of many labs has driven the cost of shooting, editing, and printing a film of this length far beyond the reach of most directors.\n\n13. Untitled speech prepared by Tarr and distributed to the audience at the Museum of Modern Art on October 23, 2009, when the director was unable to appear (the text is dated October 2009). Tarr also observes, in another comment that applies equally to his own work, that B\u00f3dy \"was clear about regional history having come to an end, and cosmic history having taken its place.\"\n\n14. Like many Hungarian films made during the Soviet period, the first three films Tarr made in collaboration with L\u00e1szl\u00f3 Krasznahorkai ( _Damnation_ , 1987; _S\u00e1t\u00e1ntang\u00f3_ ; and _Werckmeister Harmonies_ , 2000) seem initially to encourage allegorical readings, only to confound those same readings by preventing the symbolic allusions (to things like \"Maya's veil\" or a passage from the Old Testament) from mapping into an exhaustive schema, thereby allowing them to resonate on multiple levels at once. In all three films, Tarr uses these sorts of visual and textual references to create a foreboding atmosphere that has metaphysical connotations, but remains grounded within a concrete material reality.\n\n15. No Hungarian feature film had been shot using real black-and-white film stock (as opposed to desaturated color stock) for fifteen years when Tarr decided to use it on _Damnation_ ; he has continued to employ it on all of his subsequent films, including the work he insists will be his last, _The Turin Horse_ (2011). Tarr arranges the length of his shots around the 300-meter (eleven-minute) limit of the 35mm camera battery, which he has jokingly referred to as a type of censorship imposed by Kodak (Eric Schlosser, \"Interview with B\u00e9la Tarr,\" _Bright Lights Film Journal_ 30 [October 2000], available online at <http:\/\/www.brightlightsfilm.com\/30\/belatarr1.html>).\n\n16. This structure is derived from L\u00e1szl\u00f3 Krasznahorkai's novel _S\u00e1t\u00e1ntang\u00f3_ (1985).\n\n17. These ideas are further elaborated in _The Turin Horse_ , which includes a scene in which a young girl reads a long passage from a book given to her by Gypsies. In a conversation at the New York Film Festival on October 9, 2011, Tarr described the book as being about \"the disintegration of churches and what is lost.\" The book appears to include the Code of Canon Law because the girl reads sections devoted to \"Sacred Places\" almost verbatim (Book IV, Part III, Title I, Canons 1210 and 1211 in the 1983 code).\n\n18. Tarr shares with Jancs\u00f3 an abstract choreography of bodies and relationships, very long takes, and an inventive use of framing that creates a sense of pervasive confinement even in exterior shots. B\u00f3dy's influence is evident primarily in a mythic treatment of history (pushed furthest in B\u00f3dy's four-and-a-half-hour film _Narcissus and Psyche_ , 1980), an obsessive interest in facial physiognomy, an experimental approach to film sound (more disjunctive in B\u00f3dy's work than Tarr's), and a desire to interrogate the structure of vision (the gun turret perspectives and onscreen maps in B\u00f3dy's _American Torso_ , 1975; the persistent use of binocular framings in _S\u00e1t\u00e1ntang\u00f3_ ). Tarr mentions his interest in Bruegel and also expresses his belief that _Andrei Rublev_ is Tarkovsky's best film in Fergus Daly and Maximilian Le Cain, \"Waiting for the Prince: An Interview with B\u00e9la Tarr,\" _Senses of Cinema_ 11 (December 2000\u2013January 2001), available online at <http:\/\/sensesofcinema.com\/2001\/feature-articles\/tarr-2\/>.\n\n19. The final words of the film, read out haltingly and accompanied by grunts over a dark screen, as if the doctor were writing them down as they are spoken, are\n\nnot long before... the long drops... of the insufferably long... autumn rains... fell... on the parched... sodic ground... on the western side of the yard... for... the stinking bog... to make the tracks... until the first frosts... impassable... and the town cut off... Futaki was woken... by the sound of bells. Closest... eight kilometers to the south-west... on the old Hochmeiss field... was a solitary chapel... but not only no bell there... even its tower collapsed... during the war.\n\n## INDEX\n\n_Absalom, Absalom!_ (Faulkner),\n\nAbstract Expressionism, ,\n\n\"Academy\" ratio. _See_ framing\n\nacting, , , , , 48\u201350, 54\u201357, , , 95\u201398, 102\u2013108, 114\u2013119, 122\u2013124, , 130\u2013131, , , 153\u2013154, 218n66, 263n76, 281n157\n\nActs of the Apostles, , , 287n188\n\nadaptation, , , , , 54\u201355, , , 115\u2013118, , 133\u2013135, 140\u2013141, , , 210n13, 215n43, 244n76, 268n106, 274n127, 293n220\n\n_Adieu au langage_ (Godard), 251n8, 267n99\n\n_Adventures of the Exquisite Corpse_ (Noren), 236n81\n\n_The Aeneid_ (Virgil), , 289n195, 292n214\n\nAeschylus, , , , 238n8, 245n81\n\ninfluence, 36\u201337, , , 72\u201373, 115\u2013118, 222n105\n\nPrometheus and, 236n75\n\n_Agon_ (Balanchine and Stravinsky),\n\n_Alexander Nevsky_ (Eisenstein), , 282n162\n\n_Alphaville_ (Godard), , , 267n100, 269n109, 271n121\n\n_L'Amour fou_ (Rivette), 95\u201396, 105\u2013115, , 238n8\n\nAmphitryon, 286n186\n\n_The Anatomy Lesson of Dr. Deyman_ (Rembrandt), , 285n177\n\nAndre, Carl,\n\n_Andrei Rublev_ (Tarkovsky), , 207 _f_ \u2013208, 263n74, 300n18\n\n_Andromaque_ (Racine), , 105\u2013108, 241n35, 241n37\n\n_Les Anges du p\u00e9ch\u00e9_ (Bresson), 171 _f_ \u2013172, 203 _f_, 275n132\n\nAnthony (saint), 181\u2013182 _f_, 283n164\n\n_Anticipation of the Night_ (Brakhage),\n\nAntonioni, Michelangelo, , , ,\n\nApollinaire, Guillaume, , , 217n64\n\nApollo, ,\n\nAragon, Louis, , 265n95\n\n_Archangel Michael_ (Rublev), 263n74\n\narchetypes, , , , 245n81\n\narchitecture, 3\u20136, , , , , 65\u201367, 73\u201376, , 99\u2013100, , , , 224n120, 285n179. _See also_ cathedral\n\n_Arcole_ (Gance),\n\nAriadne, , 187\u2013188 _f_\n\n_Around a Small Mountain_ (Rivette),\n\nart, , , , , , 184\u2013189, , 250n6, 289n202, 298n5, 298n8. _See also_ dance; Museum of Modern Art; paintings; _The Psychology of Art_; sculpture\n\nart history, , 9\u201310, , , 50\u201351, , 157\u2013158, 160\u2013161, , 217n62, 250nn6\u20137, 264n85\n\nartists, , , , , , , , , 221n98, 222n105\n\ncinema and, 3\u20135, 9\u201310, 14\u201318, 25\u201326, 31\u201333, 37\u201339, , , 213n18, 222n106, 223n109\n\ncinema as \"supreme art in dark age,\" 79\u201384\n\nLe Film d'art,\n\nmodes of viewing, 203\u2013206, 298n8\n\nmyth and, , , 25\u201326, 34\u201336, 80\u201391, 115\u2013118, 165\u2013166\n\nprocess of creating, , 82\u201383, 128\u2013141, , 207\u2013208\n\nrole of, , , , 203\u2013204, , 220n92, 259n55, 298n5\n\n\"Art\" (Emerson), 212n9\n\nArtaud, Antonin, 245n82\n\nArthuys, Philippe,\n\n_The Art of Cineplastics_ (Faure),\n\n_The Art of the Motion Picture_ (Lindsay),\n\n_The Art of Vision_ (Brakhage), , 229n4, 232n39\n\n\"Artwork of the Future\" (Wagner, R.),\n\nAsclepius, , 83\u201384, 87\u201390, 236n75, 238n92, 278n143\n\nAshton, Dore, 133\u2013134\n\n_As I Was Moving Ahead Occasionally I Saw Brief Glimpses of Beauty_ (Mekas), 63\u201365 _f_\n\nAthena, , 120 _f_ \u2013121\n\n_Athenaeum Fragments_ (Schlegel, F.), , , 147\u2013148, , 259n55\n\nAudoin-Rouzeau, St\u00e9phane,\n\nAumont, Jacques, 260n56, 290n205\n\n_Austerlitz_ (Gance), , 218n74, 280n156\n\nautobiography, 18\u201325, 62\u201365, , 139\u2013140, , , 192\u2013199, 211n19, 230n14, 236n81, 248n121, 253n26, 262n71, 290n205, 290n207\n\navant-garde movements, , 86\u201387\n\ncinema, , , 111\u2013113, 163\u2013165, 233n42, 236n81\n\n_Eniaios_ and avant-garde long form, 61\u201367\n\ntheater, 114\u2013117, 245n82\n\nAz\u00e9ma, Sabine, 267n98, 280n152\n\nBacchus, , 187\u2013188 _f_, 282n161. _See also_ Dionysus\n\nBach, Johann Sebastian, , 283n163\n\nBacon, Francis, 198 _f_ \u2013199\n\nBalanchine, George, , 140\u2013141\n\nBalthus, 136 _f_ \u2013137, 248nn121\u2013122\n\nBalzac, Honor\u00e9 de, , , 117\u2013118, , 133\u2013135, 138\u2013140, 245n84, 246n88, 248n115\n\n_Band of Outsiders_ (Godard), 296n231\n\nBarnard, Timothy, 253n19\n\nBartas, \u0160ar\u016bnas,\n\nBarth, Karl, , 282n163\n\nBarthes, Roland,\n\nBartok, B\u00e9la, , , 251n8\n\n_Battleship Potemkin_ (Eisenstein), , , 282n162, 292n217\n\nBaudelaire, Charles,\n\nBauhaus,\n\nBaye, Nathalie, 159 _f_\n\nBayreuth Festspielhaus, 51\u201352, 65\u201366,\n\nBazin, Andr\u00e9, , , , 279n147\n\nBazin, Janine,\n\nB\u00e9art, Emmanuelle, 97 _f_ \u201398,\n\nBeavers, Robert, 236n76\n\nBecker, Annette,\n\nBeckett, Samuel,\n\nBeethoven, Ludwig van, , , , 221n100, 228n164\n\ninfluence, 152\u2013153, 217n61\n\nmusic and, , , 52\u201353, , 259n53, 295n228\n\nBeiser, Frederick C., 210n15\n\n_La Belle Noiseuse_ (Rivette), 94 _f_, 97 _f_ \u201398, 131\u2013141, 248n118, 298n9\n\nlength and, ,\n\nPassion and, 138\u2013139,\n\nsoundtrack, 132\u2013133, 140\u2013141, 249n126\n\nBellour, Raymond, 260n56, 273n125\n\nBenjamin, Walter, , , 228n161\n\nBergala, Alain, 257n46, 295n227\n\nBergman, Ingmar, , , 188\u2013189\n\nBergson, Henri, , , 264n84, 294n225, 294n226\n\nBernanos, Georges, 274n127\n\nBernhardt, Sarah,\n\n_Biographia Literaria_ (Coleridge), , 211n19\n\nbiography, , , , , 214n28, 221n96. _See also_ autobiography\n\n_Birth of Venus_ (Botticelli), 37\u201338\n\n_The Birth of a Nation_ (Griffith), 14\u201316, 219n82\n\n\"The Birth of a Sixth Art\" (Canudo), , , 213n18\n\n_The Birth of Tragedy_ (Nietzsche),\n\nBitzer, Billy, 17\u201318\n\nBlake, William, , ,\n\n_Blind Husbands_ (von Stroheim), , 20\u201321, , 215n34\n\n_Bliss_ (Markopoulos), 74\u201377, 87\u201388, 231n27\n\nB\u00f3dy, G\u00e1bor, 206\u2013207, 299n13, 300n18\n\nBonaparte, Napoleon, 30\u201334 _f_, , , , , 221n101. _See also_ _Napol\u00e9on_\n\n_Bonaparte and the Revolution_ (Gance),\n\n_Bonaparte at the Pont d'Arcole_ (Gance),\n\nBondarchuk, Sergei, , 210n13\n\n_The Book of All the Dead_ (Elder), 236n81\n\n_The Book of the Film_ (Brakhage),\n\nBorges, Jorge Luis, , 256n41, 296n231\n\nBosch, Hieronymus,\n\nBotticelli, Sandro, 37\u201338\n\nBoulez, Pierre, , , , 240n26\n\n_Boustrophedon_ (Markopoulos), 230n15, 230n18\n\n_Brahma_ (Gance),\n\nBrakhage, Stan, , 62\u201364, 76\u201377, 230n6, 232n39, 233n42, 267n98, 267n101, 268n102\n\nautobiography and, ,\n\nGodard and, 164\u2013165, 267n100, 268nn102\u2013104\n\nBraque, Georges, , , 237n82, 286n186\n\nBrasillach, Robert, 275n133\n\nBraudel, Fernand, , , 270n116, 276n136, 280n156\n\nBraunberger, Pierre,\n\n_Breathless_ (Godard), , , , , , , 265n95, 275n133, 288n190\n\nBrecht, Bertolt, 48\u201349, , 55\u201357, , , ,\n\nBresson, Robert, 131\u2013132, , 171\u2013172, , , 242n52, 275n132\n\ninfluence, , , 274n127, 275nn130\u2013132, 286n186\n\nreligion and, , 284n169\n\nBreton, Andr\u00e9, , 264n92\n\n_Bride of Frankenstein_ (Whale), 210n10\n\nBritish Film Institute, 253n25\n\nBroch, Hermann, , 249n2, 267n98, 280n152\n\nBront\u00eb, Emily, 248n121\n\nBrook, Peter, 116\u2013117, 245n78, 245n81\n\nBrownlow, Kevin, , , 218n75\n\nBruegel, Pieter, , 300n18\n\nBuch, Esteban,\n\n_Buddha_ (Gance), , 223n118\n\nBuddhism, , , 224n120, 234n64, 242n45\n\nBu\u00f1uel, Luis, , , , , 248n121, 265n94\n\nBurke, Edmund, ,\n\nByron, George Gordon (Lord), , , , , 210n10, 221n100, 222n102\n\n_Cahiers du cin\u00e9ma,_ , , , 101\u2013102, , , 157\u2013158, 239n21, 247n110\n\ncamera, 244n65, 274n128, 285n180, 300n15\n\nhandheld camerawork, , , ,\n\nshots, 40\u201341, , 97 _f_ \u2013108, 119\u2013121, , 135\u2013139, , 232n28, 232n34, 244n72, 263n76, 267n100\n\n16mm synchronized sound camera, 103\u2013105, 123\u2013124,\n\nzooms, , , 228n165\n\nCampbell, Joseph, , 234n64\n\n_Cantos_. _See_ Pound, Ezra\n\nCanudo, Ricciotto, , , 213n18, 220n89\n\nCapellani, Albert, , 211n4\n\ncapitalism, 35\u201336, 271n121, 278n138\n\n_Les Carabiniers_ (Godard), 250n6, 263n72\n\nCaravaggio, 184\u2013185 _f_, 190 _f_, 285n177\n\nCarlyle, Thomas,\n\n_Carmen_ (Rosi),\n\nCarr, Harry,\n\nCarroll, Lewis,\n\nCasar\u00e8s, Maria, , 286n186\n\n_Une catastrophe_ (Godard), 249n3\n\ncathedral, 3\u20136, , 42\u201343, 48 _f_, 51\u201352, , 192\u2013193, 204 _f_\n\nart and, 203\u2013204, 222n103, 289n202\n\nCathedrals of Light, , 25\u201326, , 48 _f_, , 218n66, 244n73\n\ncinematic cathedrals, 6\u20138, , 204\u2013205\n\nforest and, , , 231n23\n\nRomanticism and, 3\u20136, , , , , , ,\n\n_The Cathedral_ (Rodin), 204 _f_\n\nCatholicism, , 54\u201357, , , , , , , 238n7, 239n14, 279n149, 282n163\n\n_C\u00e9line and Julie Go Boating_ (Rivette), 95\u201396, , 247n103, 247n106\n\ncelluloid. _See_ films\n\ncensorship, , , , , 214n29, 284n167, 300n15\n\nCerberus, 220n85\n\n_Cerberus_. _See_ Temenos Archive\n\nCervantes, Miguel de, , 220n91, 290n205\n\nC\u00e9zanne, Paul, ,\n\nChabrol, Claude, 239n21\n\n_Chalk Cliffs on R\u00fcgen_ (Friedrich), 155 _f_\n\n_La Chambre_ (Balthus), 136 _f_\n\nChampetier, Caroline, 175\u2013176, 279n150\n\n_Le Chapeau de paille_ (Rubens), 178 _f_\n\nChaplin, Charles, , , 296n230\n\nChardin, Jean-Baptiste-Sim\u00e9on,\n\n_Charmides_ (Markopoulos),\n\nChateaubriand, Fran\u00e7ois-Ren\u00e9 de, , , , 221n101, 231n23, 289n195\n\n_Chelsea Girls_ (Warhol), 243n63\n\n_Un chien andalou_ (Bu\u00f1uel), 145\u2013146, 183\u2013184,\n\n_La Chinoise_ (Godard), ,\n\n_Chiron Notes_. _See_ Temenos Archive\n\nChrist, , , , 39 _f_, , , , 110 _f_, , 138\u2013139, 169 _f_ \u2013170, 179 _f_, 181\u2013182f, , 216n55, 223n118, 225n121, 227n147, 234n65, 239n14, 274n126, 289n201, 292n214\n\nGance as, 39 _f_,\n\nPrometheus and, , , 234n65\n\n_Christ Throwing Traders from the Temple_ (El Greco), 181\u2013182 _f_\n\nChristianity, , 54\u201357, , 74\u201376, , , , 110 _f_, 138 _f_ \u2013141, 169 _f_ \u2013170, 174\u2013183, 187\u2013190, 203 _f_ \u2013205 _f_, 207\u2013208, 222n108, 224n120, 231n23, 238n7, 239n14, 279n149, 280n153, 282n163, 284n171, 286n186, 289n195\n\n_Chronicle of a Summer_ (Morin and Rouch), 103\u2013104\n\nEl Cid,\n\n_El Cid_ (Mann),\n\nCimabue,\n\n_Cimabue! Cimabue!_ (Markopoulos),\n\ncinema, , , , , , , , , 220n89, 268n104. _See also_ _Cahiers du cin\u00e9ma_; _Histoire(s) du cin\u00e9ma_\n\nart and, 3\u20135, 9\u201310, 14\u201318, 25\u201326, 31\u201333, 37\u201339, , , 213n18, 236n73, 238n92\n\ncinematic cathedrals, , 204\u2013205\n\ncin\u00e9ma v\u00e9rit\u00e9, 103\u2013105, 113\u2013114, 241n33, 274n128\n\nDirect Cinema, , 241n33\n\nGodard and, 256n41, 268n104, 268n106, 280n153, 286n186, 298n7\n\nliterature influencing, , , , 31\u201332, , , 133\u2013135, , 212n11, 230n12, 248n121\n\nrole of, , 32\u201333, , , 211n5, 220n91, 230n14, 244n72, 245n83\n\nas \"supreme art in dark age,\" 79\u201384\n\n_Cin\u00e9ma de notre temps_ series, 102\u2013103\n\nCin\u00e9math\u00e8que fran\u00e7aise, , , 112\u2013113, , , 214n30, 215n42, 243n63, 268n104, 279n151, 280n156\n\n_Citizen Kane_ (Welles), 53\u201354\n\n_Civilization_ (Ince), 14\u201315\n\nClaudel, Paul, , 54\u201357, 209n8, 220n87, 229n171\n\nclassicism, , , , , , 153\u2013154, , 259n55\n\nclassical antiquity, , , 147\u2013148,\n\n\"classical\" film style, , , 158\u2013159, 189\u2013191, 213n18, 288n190\n\nclassical theater, , , , ,\n\nclose-ups, , , 85\u201386, 96\u201397 _f_, , , , , 159\u2013160, , , 214n22\n\nCocteau, Jean, , 191\u2013192, 222n108, 268n105, 269n109, 286n186\n\nCohen, Leonard,\n\nCold War,\n\nColeridge, Samuel Taylor, , , 210n10, 211n19, 296n231\n\n_Collage(s) de France, arch\u00e9ologie du cinema d'apr\u00e8s JLG_ (Godard), , 298n7\n\nCollum, Jane,\n\ncolor, , , , , , , , , , , , , , 210n10, 217n63, 222n103, 261n65, 267n98, 273n124, 280n152, 283n166, 295n228, 296n230, 299n10\n\nColumbus, Christopher,\n\n_Commedia_. _See_ _The Divine Comedy_\n\n_Comment \u00e7a va?_ (Godard and Mi\u00e9ville), 149\u2013150\n\ncommunism, 154\u2013155, 206\u2013207. _See also_ Soviet Union\n\n_Confessions_ (Rousseau), , 244n76, 262n71\n\n_Confucius_ (Gance),\n\nConrad, Joseph, , 262n67\n\n_Contempt_ (Godard), 154 _f_, , 247n98, 267n100, 293n220\n\n_Le Contr\u00f4le de l'univers_. _See_ _Histoire(s) du cin\u00e9ma_\n\n_Corridor_ (Bartas), 299n11\n\ncosts, of film production, , 44\u201345, , , 151\u2013152, , 225n127, 232n39, 247n105, 299n12\n\n_The Creation of Adam_ (Michelangelo),\n\ncreativity, , , , 26\u201327, , , , 82\u201383, , , 114\u2013116, , 132\u2013134, 147\u2013148, 153\u2013154, , 165\u2013166, , , 185\u2013187, , 210n15, 221n100, 222n105, 254n30, 285n178, 291n208. _See also_ imagination\n\n_The Creatures of Prometheus_ (Beethoven), 221n100\n\n_The Cross in the Mountains_ (Friedrich),\n\ncrucifixion, , 179\u2013180, 282n163, 283n164\n\n_Crucifixion of Santa Croce_ (Cimabue),\n\nCubism, , , ,\n\nCuny, Alain, , 250n6, 253n28\n\n_Cures for Love_ (Ovid),\n\nCurtis, Thomas Quinn, 216n45\n\nDada, , 221n98\n\nDalhaus, Carl, 236n79\n\n_Les Dames du Bois de Boulogne_ (Bresson), , 275nn132\u2013133, 286n186\n\ndance, , , , , 127\u2013128, 140\u2013141, 224n120\n\nDaney, Serge, , , 258n49, 274n127, 276n134, 282n163, 290n205, 291n208, 299n10\n\nDaniel (Bible), 285n177\n\n_Danses concertantes_ (Stravinsky),\n\nDante, , , , , 209n8, 295n229, 296n231. _See also_ _The Divine Comedy_\n\n_The Dante Quartet_ (Brakhage), , 268n102\n\nDanton, Georges,\n\nDassin, Jules,\n\nDavid, Jacques-Louis,\n\n_David with the Head of Goliath_ (Caravaggio), 184\u2013185 _f_\n\nDay-Lewis, Cecil,\n\n_D-Day to Berlin_ (Stevens), 169\u2013170\n\n_Death of Marat_ (David),\n\n_The Death of Maria Malibran_ (Schroeter),\n\n_The Death of Virgil_ (Broch), , 249n2, 267n98, 280n152\n\nde Baecque, Antoine, 255n37\n\nde Beauregard, Georges, , 244n76\n\nde Casabianca, Denise, , 246n95\n\nde Chazal, Malcolm,\n\nde Chirico, Giorgio, 86\u201387,\n\n\"Declaration of Rights of Man and Citizen,\" 33\u201334 _f_\n\n_The Decline of the West_ (Spengler),\n\nDegas, Edgar,\n\nde Gaulle, Charles, , , 265n96, 275n133, 276n134, 291n212\n\nDelacroix, Eug\u00e8ne, , , , 269n107, 270n113, 280n156, 286n186, 296n230\n\nDelaunay, Robert, 211n1\n\nDelluc, Louis, , , , 222n105, 222n107\n\nDel Rio, Dolores,\n\nde Lisle, Rouget,\n\nDemeter, 210n10\n\nDemetrius (saint), , 233n44\n\nDeMille, Cecil B., , 14\u201315\n\ndemiurge, , , , ,\n\nDemy, Jacques, 299n11, 299n11\n\nDepardieu, G\u00e9rard, 286n186\n\nDeren, Maya,\n\nde Rougemont, Denis, , 285n181, 292n217\n\nDerrida, Jacques, , 244n76\n\nDescartes, Ren\u00e9, , 252n17\n\nde Sta\u00ebl, Germaine (Madame), , , 269n108\n\nde Sta\u00ebl, Nicolas, 259n51, 286n186\n\nd'Estaing, Val\u00e9ry Giscard, , 253n25\n\n_D\u00e9tective_ (Godard), , , 159 _f_, 249n3, 253n28, 262n67, 263n75, 281n157\n\ndialectics, , , , 48\u201349, , , , , , , 124\u2013125, 150\u2013154, 160\u2013162, , , , 256n43, 261n65, 271n121, 290n205, 299n10\n\n_Dialectics of Nature_ (Engels), 261n65\n\n_Diaries, Notes, and Sketches_ (Mekas), 63\u201364,\n\n_Diary of a Country Priest_ (Bresson), 274n127\n\nDiaz, Lav, , 298n8\n\nDickens, Charles, , 212n11\n\nDiderot, Denis, , ,\n\ndigital, 150\u2013151, , 254n33, 256n42, 274n128, 289n197, 298n8\n\nDionysus, , , , , 226n136, 282n161. _See also_ Bacchus\n\nDirect Cinema. _See_ realism\n\ndiscontinuity, ,\n\ndistance montage, , 265n96\n\ndistribution, , , , , , , , , , , 221n99, 222n104, 254n30, 254n33, 277n137, 280n153, 285n178\n\n_The Divine Comedy_ ( _Commedia_ ) (Dante), , , 209n8\n\n_Inferno,_ , , , , 293nn218\u2013220, 295n229\n\n_Paradiso,_ , , 293nn218\u2013219, 295n229, 296n231\n\n_Purgatorio,_ , , , 293nn219\u2013220, 295n229\n\nDivus, Andreas, 250n5\n\n_La Dixi\u00e8me Symphonie_ (Gance), , 37\u201338, 217n61\n\n_Doctor Faustus_ (Mann, T.), ,\n\ndocumentary, , , , 102\u2013105, 117\u2013118, 242n50, 243n57, 252n16, 273n124\n\nfiction and, , 103\u2013107, 112\u2013114, , 167\u2013168, 171 _f_, , 265n96, 271n120, 274n128, 279n147\n\npseudodocumentary realism, ,\n\n_Dog Star Man_ (Brakhage), , 267n100\n\n_Don Giovanni_ (Losey),\n\nDor\u00e9, Gustave,\n\nDoumergue, Gaston,\n\ndrama, theory of, 209n8\n\n_Dreams that Money Can Buy_ (Richter),\n\nDr\u00e9ville, Jean, 223n115\n\nDreyer, Carl Theodor, 131\u2013132, , 183\u2013184, , 281n157, 285n174, 288n194\n\n_Duel in the Sun_ (Vidor), , , 282n162\n\n_Duelle_ (Rivette), , 126\u2013128, 247n107\n\nDufour, Bernard, 135 _f_ \u2013136\n\n_Duino Elegies_ (Rilke), , , 270n112\n\nDuras, Marguerite, , 242n52, 271n120\n\nduration, 5\u20138, , , 61\u201364, , , 106\u2013109, , 121\u2013122, 131\u2013133. _See also_ running time; scale\n\nD\u00fcrer, Albrecht,\n\nDuse, Eleanora,\n\n_Dynamic Hieroglyph of the Bal Tabarin_ (Severini),\n\n_Ecce Homo_ (Gance), , 218n66\n\nEckhart, Meister,\n\nEdison, Thomas, , 283n166\n\nediting, 17\u201318, , , 233n45\n\n_Eniaios_ and, , , 77\u201379, 233n47, 236nn79\u201380\n\nGance and, , , 39\u201340, 218n71\n\nGodard and, , , 158\u2013159, , , 187\u2013188\n\nRivette and, , 122\u2013126, , 246n94\n\nsingle-frame editing, , 70\u201371, 77\u201378\n\nvon Stroheim and, 19 _f_, , , 215n37\n\n\"Eikones Auton\" (Markopoulos),\n\n_Ein Edelweiss_. _See_ Temenos Archive\n\nEisenschitz, Bernard, 221n96, 244n73, 259n51\n\nEisenstein, Sergei, , , 160\u2013161, 214n21, 264n91, 273n125, 288n194\n\ninfluence, , , 231n26, 232n34, 265n96, 280n153, 282n162, 292n217\n\non landscape, 67\u201368\n\nElder, R. Bruce, 236n81\n\n_Elective Affinities_ (Goethe),\n\nEl Greco, , 181\u2013182 _f_, 269n107, 282n163\n\nEliot, T. S., , , , 291n210\n\nEl Lissitzky, 221n98\n\nEmerson, Ralph Waldo, 15\u201316, , 212n9, 212n16, 213n18, 234n65\n\n_\u00c9mile, or On Education_ (Rousseau), , 244n76\n\nemotions, , , 42\u201343, , 68\u201369, , , , , , , 220n89, 261n65, 265n96\n\n_Empire_ (Warhol), , 229n4\n\n_L'Enfance de l'art_ (Godard), 270n113\n\n_Les Enfants jouent \u00e0 la Russie_ (Godard), , 252n13, 273n125, 279n147, 280n156\n\nEngels, Friedrich, 261n65\n\n_Eniaios_ (Markopoulos), , , 80 _f_, 89 _f_ \u201390 _f_, , , 229n3, 232n36, 233n51, 235n70, 237n88, 268n106\n\navant-garde long form, 61\u201367\n\nediting and, , , 77\u201379, 233n47, 236nn79\u201380\n\nPrometheus and, 73\u201374, 81 _f_ \u201382,\n\nstructure of, 84\u201391\n\nat Temenos, 60 _f_ \u201361, 66 _f_, 79\u201380, 90\u201391\n\n_Enoch Arden_ (Griffith),\n\n\"Entheos\" (Markopoulos), ,\n\nepic, , 6-8, , , 28\u201329, , , 47\u201348, 61\u201364, , , 131\u2013132, , , 195\u2013199, 205\u2013206, 251n10, 293n218, 295n229\n\nEpidaurus, , 89-90\n\nEpistles, \nEpistle to the Hebrews,\n\nFirst Epistle to the Corinthians,\n\nSecond Epistle to the Corinthians,\n\nEpstein, Jean, , , 222n108\n\n_Equivalent VIII_ (Andre),\n\n_Erinnerung_ (memory), 210n18\n\n_Eros, O Basileus_ (Markopoulos),\n\n_An Essay Concerning Human Understanding_ (Locke),\n\n\"Essay on the Origins of Languages\" (Rousseau),\n\nEuripides, , 236n71, 236n75\n\nEven, Martin, , 242n53, 243n58\n\nEverson, William K., 213n19\n\n_Every Man for Himself_ (Godard), ,\n\n_Evolution of a Filipino Family_ (Diaz),\n\nexhibition space. _See_ space\n\nExpressionism, ,\n\n_The Eye: Interior of a Theater_ (Ledoux),\n\nfaces, , , 39 _f_ \u201341, 49\u201350, 70 _f_, 73 _f_ \u201374, , 96-98, , 135\u2013136, 159 _f_ \u2013160 _f_, 163 _f_, 172\u2013173, , 177 _f_, 182 _f_, 198 _f_, , 223n110, 233n42, 246n96, 264n86, 279n147, 290n207, 300n18. _See also_ close-ups\n\nFairbanks, Douglas, , 239n17\n\nfaith, , , , , , , , 174\u2013184, 207\u2013208, 262n67, 278n146, 279n149, 297n232, 298n4\n\n_The Fall of Berlin_ (Chiaureli),\n\n_Fant\u00f4mas_ (Feuillade), , , 211n4\n\nfascism, , , , 251n8, 265n96, 283n166\n\n_Fatale beaut\u00e9_. _See_ _Histoire(s) du cin\u00e9ma_\n\nFaulkner, William, , 280n152\n\nFaure, \u00c9lie, 7\u20138, , , 220n92\n\non art, , 250nn6\u20137, 280n152\n\non cinema, , 32\u201333, , 213n18, 220n91\n\non religion, 174\u2013175, 224n120\n\n_Faust_ (Goethe), 209n8\n\nFautrier, Jean, ,\n\nFellini, Federico, , , 278n140\n\n_Une femme mari\u00e9e: Fragments d'un film tourn\u00e9 en 1964 en noir et blanc_ (Godard), , , 267n100, 271n121\n\n_Les Fen\u00eatres_ (Delaunay), 211n1\n\nFeuillade, Louis, , , 111\u2013113, , , 211n4\n\nFIAF (International Federation of Film Archives),\n\n_Fidelio_ (Beethoven), 52\u201353, 228n164\n\n_The Fifth Empire_ (Oliveira), 229n173\n\n_Les Filles du feu_ (Rivette), 126\u2013131\n\nfilms, , , 209n6, 211n4, 211n5, 299n12, 299n14. _See also_ Groupe Dziga Vertov films; long-form films; silent films\n\ncelluloid, 19 _f_, , , , , , 187 _f_, , 254n33, 255n35, 255n39, 256n42, 267n100, 268n102, 299n12, 300n15\n\nfilm studies and art history, 9\u201310\n\nMarkopoulos and narrative film form, 67\u201379\n\nmythic themes, portraiture, and films of place, 84\u201391\n\nrunning time of commercial, 5\u20137, , , , 217n60, 218n68, 226n139\n\n_Film socialisme_ (Godard), , , 270n116, 286n185, 292n214\n\n_Un film comme les autres_ (Groupe Dziga Vertov),\n\nfinancing. _See_ costs, of film production\n\nFini, Leonor,\n\n_La Fin du monde_ (Gance), , 39 _f_, , 45\u201346, 227n140\n\n_Finnegans Wake_ (Joyce), , , , 250n7\n\n_First Name: Carmen_ (Godard), 152\u2013153, 186 _f_, 259n53, 267n98, 270n112, 296n230\n\n_Fitzcarraldo_ (Herzog),\n\n_The Flicker_ (Conrad),\n\nFlorensky, Pavel,\n\nFocillon, Henri,\n\nFonda, Henry,\n\n_Foolish Wives_ (von Stroheim), 19\u201321 _f_, , , 225n127, 281n157\n\n\"For a Metahistory of Film: Commonplace Notes and Hypotheses\" (Frampton), , , , 230n8, 266n97\n\nFord, John, , 258n49, 273n124, 276n136, 277n137, 280n155, 282n162\n\nforest, cathedral and, , , 231n23\n\nFoucault, Michel,\n\nfragments, , 8\u20139, 24\u201325, 41\u201342, , 70\u201371, , 87\u201388, , , , 147\u2013148, 151\u2013153, , , 197\u2013198, 225n125, 259n55, 265n96, 273n125, 284n169, 293n219\n\nframing, , , , 105\u2013106, , 175\u2013176, , , 279n150, 298n9, 300n18\n\nFrampton, Hollis, 62\u201363, , , , 236n81, 266n97\n\n_France\/tour\/d\u00e9tour\/deux\/enfants_ (Godard and Mi\u00e9ville), 148\u2013149, 256n43\n\nFrappat, H\u00e9l\u00e8ne, 244n76\n\nFreeman, Robert, , 230n15, 231nn21\u201322\n\nFrench cinema, 25\u201347, 93\u2013199,\n\nFreud, Sigmund, , , , , , 228n161, 248n117, 273n125, 292n214\n\nFriedrich, Caspar David, 3 _f_ \u20134 _f_, , 44 _f_, , , 155 _f_, 157 _f_,\n\n_From Caligari to Hitler: A Psychological History of the German Film_ (Kracauer),\n\nfront projection,\n\nFurtw\u00e4ngler, Wilhelm, 284n167\n\n_Le Gai Savoir_ (Godard), , , 244n76\n\n_Galaxie_ (Markopoulos), , 230n12\n\n_Gammelion_ (Markopoulos), , 76 _f_ \u201377\n\nGance, Abel, , , , 39 _f_, , , 220n91, 221n99, 222n107, 225n123, 225n127, 234n53, 281n157. _See also_ _La Fin du monde_; _Napol\u00e9on vu par Abel Gance_\n\nwith art and cinema, , 37\u201339, 223n109\n\nCathedrals of Light and, , 25\u201326, , 218n66, 244n73\n\nediting and, , , 39\u201340, 218n71\n\nhistory and, , 30\u201333, 40\u201341, , 223n116, 223n118\n\nimages and, 25\u201326, 217nn61\u201362\n\ninfluence of, , , 204\u2013205, 244n73\n\ninfluences on, 26\u201327, 31\u201332, , 216n55, 217n63, 219nn82\u201384, 220n85, 220n87, 225n125, 226n136\n\nLeague of Nations and, , 44\u201346, 224n119\n\nmyths and, 25\u201326, , , , 226n136\n\nPolyvision and, 46\u201347, , 218n75, 227n142, 298n9\n\nreligion and, , , 42\u201343, 46\u201347, 223n118, 225n121, 227n147\n\nRomanticism and, 27\u201328, 30\u201332,\n\nrunning times and, , 29\u201330, 218n68, 226n139\n\nstylistic devices, 39\u201342 _f_, 223n110\n\n_Gang of Four_ (Rivette),\n\nGaumont Film Company, , 151\u2013152, , 257n48, 259n50, 283n166\n\n_Les Gaz mortels_ (Gance),\n\n_Geist_ (Jean Paul), , 296n231\n\nGenesis, , , , , 242n44, 265n96, 270n111, 280n153\n\n_Genius_ (Markopoulos),\n\nGeorge (saint), , 233n44\n\nGerman Romanticism, , 47\u201348, , , , , , 156\u2013157, 248n122, 294n226. _See also_ Novalis; Schlegel, Friedrich\n\nGermany, , , 51\u201352, 66\u201367, , 179\u2013181, 221n100, 262n69, 279n151. _See also_ _Hitler, a Film from Germany_\n\n_Germany Year 90 Nine Zero_ (Godard), 156 _f_, , , 197 _f_ \u2013199, 270n116, 271n118, 279n151, 280n152, 283n164, 286n186, 287n188, 292n214, 295n228\n\n_Germany Year Zero_ (Rossellini), , , 284n168\n\n_Gesamtkunstwerk,_ , , , , 205\u2013206\n\nGiacometti, Alberto,\n\nGiordano, Domiziana, 263n74, 293n220\n\nGiotto, 169 _f_ \u2013171, , 286n186\n\n_Girl with a Pearl Earring_ (Vermeer), 264n85\n\nGish, Lillian, , 17\u201318, 214n22, 239n17\n\nGluck, Christoph, 269n109\n\nGodard, Jean-Luc, , , 198 _f_ \u2013199, , 239n21, 241n33, 243n63, 244n65, 252n14, 252n16, 253n26, 257n46, 259n55, 260n56, 262n66, 265n94, 265n96, 268n103, 268n105, 290n207, 297n2, 298n5, 298n9. _See also_ _Histoire(s) du cin\u00e9ma_; _JLG\/JLG\u2014Self-Portrait in December_\n\non art, 157\u2013158, 160\u2013161, , , 203\u2013204, 298n5\n\non cinema, 147\u2013151, , 166\u2013170, 175\u2013177, 182\u2013183, 193\u2013195, 256n41, 268n106, 280n153, 286n186, 298n7\n\nediting and, , , 158\u2013159, , , 187\u2013188\n\nhands and, 144 _f_, , 169 _f_ \u2013170, , , 180 _f_, 183\u2013192, , 274n127, 281n157, 282n163, 285n177, 285n179, 286n184\n\nhistory and, 8\u20139, 145\u2013148, , 166\u2013174, , 181\u2013183, 191\u2013199, 250n5, 251n11, 252n18, 255n37, 256n43, 261n65, 262n66, 262n68, 265n96, 266n97, 250n7, 270n111, 270n116, 271n121, 275n133, 276n136, 277n137, 282n163, 283n166, 284n167, 290n205, 291n208, 294n223, 295n229, 299n10\n\non Hitchcock, , 189\u2013193, 255n37, 269n110, 280n155, 288n194, 289n197\n\nHolocaust and, 167\u2013171, 258n49, 271nn120\u2013121, 299n10\n\nimages and, 161\u2013163, 177\u2013184, 273n125, 283n165, 298n4\n\ninfluences on, , 156\u2013158, , 247n98, 255n37, 262n69, 263n74, 265n95, 275n133\n\non language, , , 180\u2013181, , 250n5, 251n8, 265n96, 267n99, 276n136, 278n142, 284n172\n\nlight and, 149\u2013150, , , 175\u2013176, , 263n75, 279n151, 280n153\n\nmemory and, 145\u2013146, , , 191\u2013195, 198\u2013199, 267nn100\u2013101, 276n134, 276n136, 282n161, 294n226, 295n229\n\nmontage and, 158\u2013166, , , , , , 256n43, 258n49, 264n78, 264n85, 271n121, 275n133, 290n205, 290n207, 295n227, 299n10\n\nwith museum of the real, 166\u2013174, 297n2\n\nmusic and, 152\u2013153, , , , 255n38, 259nn52\u201354, 268n106, 282n163, 284n167, 292n214\n\nmyths and, , 165\u2013166, 176\u2013177, , , 251n11, 276n136, 286n186, 289n200, 292n217\n\non New Wave, , , , 251n8, 254n33, 262n66, 278n141, 280n153, 281n157, 288n190\n\n_The Old Place_ and, 203 _f_ \u2013204,\n\npainting and, 151\u2013153, 155 _f_, 157 _f_ \u2013160 _f_, 163 _f_, , 169\u2013170, 176\u2013180 _f_, 182 _f_, 184\u2013188 _f_, , 198 _f_, 255n34, 255n39, 258n49, 264n85, 270n113, 273n125, 280n156, 285n177, 286n186, 289n197, 290n207, 296n230\n\nprojection and, 149\u2013151, , 161\u2013162, , , , , , , 254nn29\u201330, 254n33, 255n34, 256n41, 271n121, 273n125, 276n134, 279n151\n\nreligion and, 174\u2013184, 273n125, 278n146, 279n149, 280n153, 282n163, 284n171, 286n185, 287n187, 289n202, 292n217\n\nRomanticism and, 154\u2013157, 165\u2013166, , , , 244n76, 250n6, 259n55, 260n56, 265n96, 270n113, 270n116, 280n156, 296n230\n\nrunning time and, 252n18\n\nsilent films and, 176\u2013181, 277n137, 283n166, 284n172\n\non television, 148\u2013149, 172\u2013173, 253n28, 254nn29\u201330, 256n43, 267n99, 270n116\n\non video, 252n17, 254n33, 255nn34\u201339\n\nvideo work and, 147\u201358, 163\u2013164, , , 255n34\n\nGoebbels, Joseph, , 227n152, 228n164, 284n167\n\nGoethe, Johann Wolfgang von, , , , , , , , 209n8, 221n100\n\ninfluence, , 261n61, 295n228\n\nlight and, , 279n151, 280n152\n\n_Going Forth by Day_ (Viola),\n\n_Gone with the Wind_ (Fleming), 6\u20137,\n\nGorin, Jean-Pierre, , 261nn63\u201364\n\nGospels, 273n125, 284n168\n\nGance and, , , , 218n66, 223n118\n\nJohn, 17 _f_, , , , , 274n126, 292n214\n\nLuke,\n\nGoya, Francisco de,\n\n_Grand Illusion_ (Renoir),\n\n_Grandeur et d\u00e9cadence d'un petit commerce de cin\u00e9ma_ (Godard),\n\n_Le Grand Escroq_ (Godard), 274n128\n\n_Un grand amour de Beethoven_ (Gance),\n\nGraves, Robert, , 234n64\n\n\"The Graveyard at Villequier\" (Hugo),\n\nGreat Britain, , 210n10, 253n25, 274n126, 275n133\n\n_The Great Initiates_ (Gance), 42\u201343, 223n118, 225n121\n\nGreece, , , , , , , 86\u201388, , , , 147\u2013149, 226n136, 230n18, 245n81\n\n_Greed_ (von Stroheim), , 20\u201323, , 281n157\n\nGreenaway, Peter, 205 _f_\n\nGriffith, D. W., 14\u201316, , 212n11, 212n15, 213n19, 226n131, 239n17, 243n63\n\nwith editing, 17\u201318,\n\ninfluence, , , , , 204\u2013205, 219n82, 280n153\n\n\"Griffith, Dickens, and the Film Today\" (Eisenstein),\n\nGropius, Walter, 204\u2013205\n\nGros, Antoine-Jean,\n\nGrotowski, Jerzy, 116\u2013117, 245n78, 245n82\n\nGroupe Dziga Vertov films, 148\u2013149, 154\u2013155, , , 244n72, 261nn64\u201365\n\nGruault, Jean, , 244n76\n\nGr\u00fcnewald, Matthias, 178\u2013182 _f_. _See also_ Mathis der Maler\n\nGuitry, Sacha,\n\nGutenberg press, 4\u20135, , , 289n197\n\n_Hagiographia_ (Markopoulos), 89 _f_ \u201391\n\n_Hail Mary_ (Godard), 267n100, 275n130, 278n146, 279n147, 282n163, 286n186\n\nhands, , 204 _f_\n\ncreative process and, , , , , , , , , 185\u2013187, 268n102\n\nin _First Name: Carmen,_ 186 _f_\n\nGodard and, 144 _f_, , 169 _f_ \u2013170, , , 180 _f_, 183\u2013192, , 274n127, 281n157, 282n163, 285n177, 285n179, 286n184\n\nhandheld camerawork, , , ,\n\nMarkopoulos and, 68\u201369, , 85\u201386, , 233n42\n\nRivette and, , , 135 _f_ \u2013136, 138 _f_\n\nHandschiegl process, color,\n\nHansen, Miriam, 213n18\n\nHasumi, Shigehiko, 263n75\n\nHawks, Howard, , 238n9\n\nHawthorne, Nathaniel,\n\nHegel, G. W. F., 270n116, 273n125\n\nHeidegger, Martin, , , 235n70, 237n91, 254n33, 286n186\n\nHeine, Heinrich,\n\n_H\u00e9las pour moi_ (Godard), , 262n67, 268n103, 268n106, 282n163, 286nn184\u2013186\n\nHepworth, Barbara, , 237n82\n\nHercules, , 245n81\n\nHerder, Johann Gottfried von,\n\nHerf, Jeffrey, 227n152\n\n_Hernani_ (Hugo), , 248n115, 288n193\n\nheroes, , 29\u201330, , , , 73\u201374, , , , , , 232n36, 292n215. _See also_ Odysseus\n\n_The Hero with a Thousand Faces_ (Campbell),\n\n_He Stands in a Desert Counting the Seconds of His Life_ (Mekas), 230n14\n\nhieroglyphs, 15\u201316, , , , , 212n13, 212n16, 214n21, 233n51, 245n82\n\nhigh-angle shots, , ,\n\n_Himself as Herself_ (Markopoulos), , 230n12\n\nHindemith, Paul, , , , , 284nn167\u2013168\n\nHinduism, 42\u201343, 224n120\n\nHippolytus, , 236n75\n\n_Hippolytus_ (Euripides), , 236n71\n\n_Hiroshima mon amour_ (Resnais), , , 240n24\n\n_Histoire de France_ (Michelet), , 219n82, 270n116\n\n_Histoire de l'art_ (Faure), , 250nn6\u20137, 280n152\n\n_Histoire du cin\u00e9ma: Art et industrie_ (Mitry), 218n65, 221n96, 283n166\n\n_Histoire(s) du cin\u00e9ma_ (Godard), 8\u20139, , 151\u2013152, , , 250n5, 253n20, 257n44, 257n46, 258n49, 281n157, 285n173, 298n5, 299n11\n\n_Le Contr\u00f4le de l'univers,_ 145\u2013146, , 184\u2013185, 189\u2013192, , , 276n136, 280n152, 282n162, 289n197, 291n212, 295n229\n\n_Fatale beaut\u00e9_ , , , , 178 _f_, 193\u2013194, 263n73, 267n98, 269nn107\u2013108, 270n113, 271n118, 276n136, 280n152, 282n162, 290n205, 294n226, 296n230\n\n_Une histoire seule,_ , , , 182\u2013185 _f_, , , 252n17, 257n47, 268n106, 269n109, 278n146, 280n152, 282n162, 284n168, 286n186, 290n205, 295n229\n\nhistoriography and, 167\u2013168, 193\u2013194, 270n111, 270n116, 275n133, 276n136, 283n166, 284n167, 290n205, 294n223\n\n_La Monnaie de l'absolu,_ , , 160 _f_, , 172\u2013174, 180 _f_ \u2013182 _f_, 194\u2013196, , 263n72, 264nn85\u201386, 265n95, 269n109, 270n111, 270n113, 276n136, 277n137, 283n164, 284n168, 291n212, 293n220\n\nas museum of the real, 166\u2013174\n\nreligion and, 174\u2013184, 282n163\n\n_Seul le cin\u00e9ma,_ , , , , , 263n74, 269n109, 270n115, 276n134, 290n205, 292n214\n\n_Les Signes parmi nous,_ 145\u2013146, , , , 191\u2013192, 194\u2013199, , 251n11, 262n68, 269n107, 270n115, 276n136, 296n231, 298n5\n\n_Toutes les histoires,_ , , 167\u2013173, 176\u2013177 _f_, 257n47, 263n73, 265n95, 270n115, 273n125, 274n127, 276n136, 277n137, 279n147, 283n164, 284n168, 286n186, 289n201, 291n212, 292n217, 294n226\n\n_Une vague nouvelle,_ , , , 251n8, 265n95, 278n141, 280n152, 281n157, 292n217, 295n228, 296n230\n\nvideo works and, 147\u2013158\n\n_Une histoire seule_. _See_ _Histoire(s) du cin\u00e9ma_\n\nhistory, 7\u201310, , , 53\u201354, , , 62\u201363, , , , 128\u2013131, , , 212n15, 213n19, 219n82, 229n173, 251n11, 266n97, 293n218, 299n13\n\nart history, , 9\u201310, , , 50\u201351, , 157\u2013158, 160\u2013161, , 217n62, 250nn6\u20137, 264n85\n\nGance and, , 30\u201333, 40\u201341, , 223n116, 223n118\n\nGodard and, 8\u20139, 145\u2013148, , 166\u2013174, , 181\u2013183, 191\u2013199, 249n2, 251n11, 252n18, 255n37, 256n43, 261n65, 262n66, 262n68, 265n96, 266n97, 268n101, 270n111, 270n116, 271n121, 275n133, 276n136, 277n137, 282n163, 283n166, 284n167, 290n205, 291n208, 294n223, 295n229, 299n10. _See also_ _Histoire(s) du cin\u00e9ma_\n\nGriffith and history of world, , 219n82\n\nmemory and historicity, , 166\u2013168, 172\u2013174, 193\u2013195\n\n\"History\" (Emerson), 234n65\n\n_History Lessons_ (Straub and Huillet),\n\n_History of the Thirteen_ (Balzac), 117\u2013118, , 245n84, 246n88\n\nHitchcock, Alfred, , , , 122\u2013123, , , 182\u2013183, 190 _f_ \u2013191\n\nGodard on, , 189\u2013193, 255n37, 269n110, 280n155, 288n194, 289n197\n\nreligion and, 190\u2013191\n\nRomanticism and, 210n10\n\nHitler, Adolf, , , , , , 221n98, 228n164, 265n96, 270n115, 276n134\n\n_Hitler, a Film from Germany_ (Syberberg), , 49\u201354 _f_, 227n152\n\nmontage and, 54\u201355\n\nzooms in, , 228n165\n\nHoch, Hannah, 221n98\n\nHockney, David,\n\nH\u00f6lderlin, Friedrich, , , 286n186, 293n220\n\nHollywood, 6\u20137, 17\u201324, , , , , , 172\u2013177, 271n121, 277n137, 288n190, 294n221\n\nHolocaust, 167\u2013171, 258n49, 271nn120\u2013121, 299n10\n\nHomer, , , , , , 211n19, 226n136, 250n5, 290n205, 296n231\n\nHonegger, Arthur, 29\u201330, , , 218n70, 284n167\n\n_The Honeymoon_ (von Stroheim), 23\u201324, 215nn41\u201342\n\n\"house of fiction,\" , 247n106\n\nHughes, Ted, , 245n81\n\nHugo, Victor, 4\u20135, , , , 219n84, 220n85, 288n193\n\ninfluence of, 31\u201332, , 166\u2013167, , 220n85, 220nn87\u201388, 248n115, 261n65, 270n113\n\nRomanticism and, , 209n8\n\nHuillet, Dani\u00e8le, , 128\u2013129, 242n52\n\n_The Human Condition_ (Kobayashi), , 210n13\n\n_The Human Pyramid_ (Rouch),\n\nHungary, 206\u2013208, 299nn14\u201315, 300nn15\u201319\n\n_Hymns to the Night_ (Novalis), ,\n\nIcart, Roger, 217n60, 221n96, 226n139\n\nIcarus, , , 207\u2013208\n\niconography, , , 34\u201337, , , , , , 138\u2013139, , , , , . _See also_ _Noli me tangere_\n\nicons, , 87\u201389, , , 263n74, 273n125\n\nideology, 33\u201336, 46\u201355, , 117\u2013118, 128\u2013129, 131\u2013132, 154\u2013155, , 166\u2013167, 206\u2013207, 244n72, 261nn64\u201365, 268n106\n\n\"If It Be Your Will\" (Cohen),\n\nIgnatius of Loyola (saint),\n\n_The Iliad_ (Homer), ,\n\n_The Illiac Passion_ (Markopoulos), , 72\u201374, 79\u201382, 88\u201390\n\ninfluence, 230n12, 232n39\n\nscreening notes, 232n36\n\nillusionism, 48\u201349, , , , , 162\u2013163\n\nimages, 16\u201317 _f_, , , , , 233n51\n\nGance and, 12 _f_ \u201313 _f_, 25\u201347, 217n62\n\nGodard and, 161\u201363, 177\u2013184, 273n125, 283n165, 298n4\n\nvon Stroheim and, 18\u201324\n\nsuperimposition, 9\u201310, 27\u201328, , 39\u201341, , 72\u201377, 145\u2013146, , 160 _f_, 163\u2013165, 169 _f_ \u2013177, 180\u2013185, 188\u2013190, 197\u2013198, , 221n98, 231n27, 256n43, 288n190\n\nimagination, , , , , , , , , , , 210n18, 211n19, 234n65\n\nimperialism, 55\u201357, , 195\u2013196, 271n121\n\nINA (Institut national de l'audiovisuel), , 253n25\n\n_In a Lonely Place_ (Ray), ,\n\nInce, Thomas, , 239n17\n\n_Inferno_. _See_ _The Divine Comedy_\n\nIngram, Rex, 215n37\n\nInnes, Christopher, 245n81\n\n_In Praise of Love_ (Godard), , , , , , 267n100, 268n106, 275n130, 275n133, 277n137, 286n184, 289n195, 294n226\n\nInstitut national de l'audiovisuel (INA), , 253n25\n\nInternational Exhibition, Paris (1937), 35\u201336,\n\n_In the Darkness of Time_ (Godard), , 298n3\n\nInternational Federation of Film Archives (FIAF),\n\n_Intolerance_ (Griffith), 14\u201318, , , 212n9, 213n19\n\nimages and, 16\u201317 _f_\n\nrunning time, 17\u201318, 214n22\n\n_Introduction to Metaphysics_ (Heidegger), 237n91\n\nIrwin, John, , 212n16\n\n_Isenheim Altarpiece_ (Gr\u00fcnewald), 178\u2013182 _f_, 282n163, 283n164, 284n168. _See also_ _Mathis der Maler_\n\nIshaghpour, Youssef, 255n39, 257n46, 283n165, 294n223\n\nIslam, 42\u201343, 224n120, 234n64, 271n121\n\nIsou, Jean-Isadore,\n\nItaly, , , , , 86\u201387, 98\u201399, , 172\u2013175, 251n8, 278n142, 293nn218\u2013220\n\n_Ivan the Terrible_ (Eisenstein), , , , 231n26\n\n_J'accuse_ (Gance), 27\u201329, 37\u201339, 45\u201346, 217n60, 226n139, 227n142\n\nJacobs, Ken, ,\n\n_Jacqueline aux fleurs_ (Picasso), 163 _f_\n\n_Jaguar_ (Rouch), , 244n65\n\nJames, Henry, , , 247n106\n\nJancs\u00f3, Mikl\u00f3s, , , 300n18\n\n_Jean-Luc Godard: Son + Image,_ _1974\u20131991_ (exhibition), , 258n49\n\nJean Paul, 156\u2013157, , 248n122, 296n231, 297n232\n\n_Jean Renoir le patron_ (Rivette), 102\u2013105\n\nJesus. _See_ Christ\n\n_JLG\/JLG\u2014Self-Portrait in December_ (Godard), , , , , 187 _f_, 194\u2013196, 253n26, 261n62, 262n71, 263n73, 265n95, 272n121, 274n127, 277n137, 278n139, 286n186, 290nn206\u2013207, 291n208\n\n_Joan of Arc at the Stake_ (Rossellini), ,\n\n_Joan the Maid_ (Rivette), 95\u201396, 131\u2013132,\n\n_Joan the Woman_ (DeMille), 14\u201315\n\nJohns, Jasper,\n\nJohn the Baptist (saint), 179\u2013181, 284n168\n\nJove. _See_ Jupiter\n\nJoyce, James, , , 139\u2013140, , , , 250n5, 250n7, 252n12, 290n205, 291n209\n\n_Judex_ (Feuillade), ,\n\nJupiter, 176\u2013177 _f_, , 234n65\n\n_Jupiter and Semele_ (Moreau), 176\u2013177 _f_\n\nkabuki,\n\nKahnweiler, Daniel-Henry, , 237n82\n\nKalfon, Jean-Pierre, 105\u2013107, 241n35\n\nKaplan, Nelly, 223n115, 227n147\n\n_Kap\u00f2_ (Pontecorvo),\n\nKaragheuz, Hermine, 245n78\n\nKarina, Anna, , ,\n\n_Keep Your Right Up_ (Godard), , , 249n2, 255n35\n\nKennedy, Joseph P.,\n\nKenner, Hugh, 252n12\n\nKerenyi, Karl,\n\nKing, Norman, 223n110\n\n_The Kingdom of the Earth_ (Gance), , , 223n118, 227n140, 227n147\n\n_King Lear_ (Godard), 149\u2013150, , , , 267nn98\u201399, 278n146, 282n162\n\n_Kino-Pravda_ (Vertov),\n\nKirchner, Ernst Ludwig,\n\nKluge, Alexander, ,\n\nKoch, Stephen,\n\nKodak, 269n107, 300n15\n\n_Kolberg_ (Harlan),\n\nKoszarski, Richard, , 215n36, 215n41, 215n43\n\nKracauer, Siegfried, ,\n\nKrasznahorkai, L\u00e1szl\u00f3, 299n14, 300n16\n\nKubelka, Peter,\n\nKuleshov, Lev, , 246n96, 265n96\n\nLabarthe, Andr\u00e9 S., , 105\u2013107\n\nLacassin, Francis, , 243n62\n\nLaemmle, Carl, 214n29, 277n137\n\nlandscape, , 67\u201370, 72\u201374, 76\u201377, 79\u201380, 84\u201385, 88\u201391, 153\u2013155, 233n51, 261n65\n\nLang, Fritz, , , , 98\u201399, , , 182\u2013183, , 275n133, 280n152, 281n157, 282n162, 293n220\n\nLanglois, Henri, 111\u2013112, 147\u2013148, , 228n157, 243n60, 243n63, 252n16, 253n20, 280n156, 294n226\n\nlanguage, , , 116\u2013117, , 209n6, 245n81,\n\ncinema as universal, , , 213n18, 223n118, 265n96\n\nGodard on, , , 180\u2013181, , 250n5, 251n8, 265n96, 267n99, 276n136, 278n142, 284n172\n\nRousseau on,\n\nLanzmann, Claude, , 271n121, 272n122\n\nLatin, , , , 180 _f_, 195\u2013196, 245n81, 250n5, 252n17, 291n213, 292n214\n\n_The Last Bolshevik_ (Marker), 299n11\n\n_Last Year at Marienbad_ (Resnais), 232n29\n\nLeacock, Richard,\n\nLeague of Nations, , 44\u201346, 224n119, 225n129\n\nLean, David,\n\nL\u00e9aud, Jean-Pierre, , , , 244n76, 245n83, 249n124\n\n_Leaves of Grass_ (Whitman), 15\u201316, 213n16, 225n130\n\nLedoux, Claude-Nicolas,\n\nL\u00e9ger, Fernand,\n\nleitmotif, , , 236n79\n\nLenin, Vladimir, 154\u2013155, 221n98, 261n65\n\nLennig, Arthur, 215n37\n\n_Leonardo's Last Supper_ (Greenaway), 205 _f_\n\nLeopardi, Giacomo, , 287n186\n\nLeroux, Gaston,\n\n\"Letter on Rossellini\" (Rivette), 98\u201399, 239n14\n\n_Letters to a Young Poet_ (Rilke),\n\nLewin, Albert,\n\nLewis, Wyndham, 251n8\n\nLewton, Val,\n\nL'Herbier, Marcel, 36\u201337\n\n_Libert\u00e9 et patrie_ (Godard and Mi\u00e9ville), , , 280n156, 285n174, 294n226\n\n_The Life of Forms in Art_ (Focillon),\n\n_The Life of Moses_ (Blackton), \nlight, , , , , , , 127\u2013128, 131\u2013132, , , , , 233n45, 236n76, 254n33, 280n152, 295n229\n\nCathedrals of Light, , 25\u201326, , 48 _f_, , 218n66, 244n73\n\nGodard and, 149\u2013150, , , 175\u2013176, , 263n75, 279n151, 280n153\n\nMarkopoulos and, 73\u201379, , , 87\u201388,\n\nLindsay, Vachel, 15\u201316, 213n18\n\n_The Lion of Belfort_ (Bartholdi),\n\nLipchitz, Jacques, 35\u201336 _f_\n\nliterature. _See_ cinema\n\nLocke, John,\n\nlong-form films. _See also_ _Histoire(s) du cin\u00e9ma_\n\n_Eniaios_ and avant-garde, 61\u201367,\n\nRivette and, 93\u201398, 109\u2013121\n\nrunning time, , 18\u201319, 23\u201324, 29\u201330, 61\u201367, , 131\u2013141, , , 215n37, 252n18, 257n46\n\nviewing and serial presentation of, , , 22\u201323, 111\u2013113\n\n\"Longinus,\" , 209n7\n\nlong takes, , , , , 122\u2013124, , , , , , 244n68, 263n76, 286n184, 300n18\n\nLonsdale, Michael, 114\u2013115, , 245n78\n\nLoos, Anita,\n\n_Lord Jim_ (Conrad), , 262n67\n\n_Lost, Lost, Lost_ (Mekas), 230n14\n\nLot (Bible), , 270n111\n\nLou\u00ffs, Pierre,\n\nlove, , , , , , , 105\u2013106, , , , 155\u2013156, , , 174\u2013177, 187\u2013188 _f_, , 212n13, 223n118, 227n147, 260n56, 268n102, 269n108, 285n181, 292n214, 293n220. _See also_ _In Praise of Love_\n\n_Loves of Jupiter and Semele_ (Picasso),\n\nlow-angle shots, , ,\n\nLubtchansky, Nicole, , , 242n51\n\n_Lucinde_ (Schlegel, F.), , 210n16\n\nLucretius, , 278n143\n\nLumi\u00e8re brothers, , , , , 279n151\n\nLuther, Martin, 282n163, 283n165\n\n_Lysis_ (Markopoulos), ,\n\n_M_ (Lang), , , 282n162, 284n168, 284n172\n\nMaas, Willard,\n\nMacCabe, Colin, , 250n7, 253n25, 259n52\n\n_Made in USA_ (Godard), 162\u2013163 _f_\n\n_Madonna of the Rosary_ (Caravaggio), 190 _f_\n\n_Magellan_ (Frampton), 62\u201363, , 236n81\n\nmagic, , , , , 126\u2013129, 224n119\n\n_The Magic Mountain_ (Mann, T.), , , 216n45\n\n_Mahogany_ (Brecht),\n\nMallarm\u00e9, St\u00e9phane, , , , 235n67, 273n125\n\nMalraux, Andr\u00e9, , 157\u2013158, 185\u2013186, , 286n182, 297n2\n\ninfluence, 258n49, 263n73, 289n200, 294n226\n\nmuseum and, 263n72\n\n_Man and Woman in Cathedral_ (Smith),\n\nManet, \u00c9douard, 160 _f_, 264n85, 269n107, 286n186\n\nMann, Anthony, ,\n\nMann, Thomas, , , , , 216n45\n\nManship, Paul, 35\u201337 _f_\n\nMao, Zedong, , , 227n147, 261n64\n\nMarat, Jean-Paul,\n\nMarc'O,\n\nMarker, Chris, 256n41, 299n11\n\nMarkopoulos, Gregory, , , 230n18, 231n21, 232n39, 233n51, 234n53, 234n57, 244n64, 268n105, 278n143, 298n9. _See also_ _Eniaios_\n\ncinema as \"supreme art in dark age\" and, 79\u201384\n\nediting and, , 70\u201371, 77\u201378, 233n45\n\ninfluence, , , , 268n105\n\ninfluences on, 229n4, 231nn26\u201327, 234n64\n\nlight and, 73-79, , , 87\u201388,\n\nmyths and, , , , 80\u201391, 234n64\n\nwith narrative film form, 67\u201379\n\nprojection and, , , , , 90\u201391, 231n21, 235n70, 298n9\n\nprojection space and, , 65\u201367, 79\u201380, 83\u201384, 230n15, 230n19, 231n22, 236n80\n\nreligion and, 74\u201376, 81\u201382, 87\u201391\n\nRomanticism and, , , 80\u201382\n\nsilent films and, , 77\u201379\n\n_Marnie_ (Hitchcock),\n\n_The Marriage of Bacchus and Ariadne_ (Tintoretto), 188 _f_ \u2013189\n\n\"La Marseillaise\" (de Lisle), , 40\u201341, , 280n156\n\nMarx, Karl, , , 222n104\n\nMary (mother of Jesus), , , , 283nn164\u2013165, 286n186\n\nMary Magdalene, 110 _f_ \u2013111, 169 _f_ \u2013170, 273n125\n\nMasina, Giulietta,\n\nMass (Catholic), , , 238n7, 279n149\n\n_Mathis der Maler_ (Hindemith), , , , , 284nn167\u2013168\n\nMatisse, Henri, , 286n186\n\n_Matter and Memory_ (Bergson), , 294nn225\u2013226\n\n_McTeague_ (Norris),\n\n_M\u00e9diterran\u00e9e_ (Pollet), 123\u2013124 _f_\n\nMedvedkin, Aleksandr, 299n11\n\nMekas, Jonas, 63\u201365, , , 230n12, 230n14, 233n42\n\n_Melancholia I_ (D\u00fcrer),\n\nM\u00e9li\u00e8s, Georges, , , , 255n39, 277n137\n\n_Melody of the World_ (Ruttmann), , 225n130\n\n_Memoirs from Beyond the Tomb_ (Chateaubriand), , 221n101, 289n195\n\nmemory, , , , 52\u201353, , , , , , 210n18, 211n19, 217n62, 294n225. _See also_ retrospection\n\nGodard and, 145\u2013146, , , 191\u2013195, 198\u2013199, 267nn100\u2013101, 276n134, 276n136, 282n161, 294n226, 295n229\n\nhistoricity and, , 166\u2013168, 172\u2013174, 193\u2013195\n\nlandscape and, 69\u201370,\n\nin _Lucinde,_ 210n16\n\nMekas and, 63\u201364\n\nMerritt, Russell, 213n19\n\n_Merry-Go-Round_ (Rivette),\n\n_Merry-Go-Round_ (von Stroheim),\n\n_Meshes of the Afternoon_ (Deren),\n\n_Metamorphoses_ (Ovid), , , 278n143, 282n159, 292n214\n\n\"Metaphors on Vision\" (Brakhage), , 267n98\n\n_Metropolis_ (Lang), , 282n162\n\nMichelangelo, , , 281n157, 288n194, 289n202\n\nMichelet, Jules, , 219n82, 270n116\n\n\"The Middle Years\" (James),\n\nMi\u00e9ville, Anne-Marie, , , , 258n49, 287n188, 298n5\n\nMilne, Tom, 242n46\n\n_The Mind in Chains: Socialism and the Cultural Revolution_ (Day-Lewis),\n\n_Ming Green_ (Markopoulos), , 229n4\n\nmiracles, , , , , , , 274n127\n\nmise en sc\u00e8ne, , , , 158\u2013159,\n\n_Les Mis\u00e9rables_ (Capellani), 211n4\n\n_Les Mis\u00e9rables_ (Hugo), , , 270n113\n\n_Missa solemnis_ (Beethoven), , 295n228\n\nMitchell-Boyask, Robin,\n\nMitry, Jean, , 221n96, 283n166\n\nMitterrand, Fran\u00e7ois,\n\nMizoguchi, Kenji, , , , 242n45\n\nmodernism, , , , , , , 53\u201354, , , , 86\u201387, , 101\u2013102, , , 125\u2013126, 131\u2013135, 140\u2013141, , , , , , , 196\u2013199, 206\u2013208\n\n_Mohammed_ (Gance),\n\n_La Monnaie de l'absolu_. _See_ _Histoire(s) du cin\u00e9ma_\n\nMonroe, Marilyn, 298n4\n\n_Monsieur Verdoux_ (Chaplin),\n\nmontage, 40\u201341, , 54\u201355, , , , 122\u2013126, 214n21, 221n98, 246n96, 250n7, 289n197\n\ndistance montage, , 265n96\n\nGodard and, 158\u2013166, , , , , , 256n43, 258n49, 264n78, 264n85, 271n121, 275n133, 290n205, 290n207, 295n227, 299n10\n\n\"Montage, My Fine Care\" (Godard), 158\u2013159\n\nMoreau, Gustave, 37\u201338 _f_, 176\u2013177 _f_\n\nMorgan, Daniel, 279n151\n\nMorin, Edgar, 103\u2013104, 241n33\n\n_Moses_ (Gance),\n\n_Moses and Aaron_ (Straub and Huillet),\n\nMosjoukine, Ivan, 246n96\n\n_Mother Courage_ (Brecht),\n\n\"Mourning and Melancholia\" (Freud), 228n161\n\nMoussinac, L\u00e9on,\n\n_Mr. Arkadin_ (Welles), 145\u2013146, 282n162\n\nMurray, John, 222n102\n\nMuses, , 211n19, 232n36\n\nmuseum, , , , , 220n89, 243n63\n\nCentre Georges Pompidou, 197\u2013198, , 248n121, 289n200, 298n7\n\n\"imaginary museum,\" , 263n72\n\nMuseum of Cinema, , 228n157\n\nMuseum of Modern Art, , , , 213n19, 243n63, 257n44, 258n49, 298n3\n\nmuseum of the real, 166\u2013174, 297n2\n\nmusic, , , , 48\u201349, 54\u201357, , , , , 221n100, 224n120, 228n164, 230n14, 236n79, 284n167. _See also_ opera\n\ncinema and, , , , , , 211n5, 217n61, 217n63, 229n171, 230n14, 236n81\n\nGodard and, 152\u2013153, , , , 255n38, 259nn52\u201354, 268n106, 282n163, 284n167, 292n214\n\n\"music dramas,\" , , ,\n\nRivette and, , , , , 140\u2013141, 240n22, 240n24\n\nrole of, 37\u201338, 52\u201353, , 259n53\n\nscores, 29\u201330, , 210n10, 218n70, 220n89, 243n60\n\nMussolini, Benito, 221n98, 265n96\n\n_My Life to Live_ (Godard),\n\n_Mysteries of Paris_ (Sue),\n\n_The Mysteries_ (Markopoulos), , , , 233n48, 238n92\n\nmyth, , , , 34\u201337, , , , , , 210n10, 224n120, 226n136, 245n81, 274n128. _See also_ Prometheus\n\nAsclepius, , 83\u201384, 87\u201390, 236n75, 238n92, 278n143\n\nGance and, 25\u201326, , , , 226n136\n\nGodard and, , 165\u2013166, 176\u2013177, , , 251n11, 276n136, 286n186, 289n200, 292n217\n\nMarkopoulos and, , , , 80\u201391, 234n64\n\nNarcissus, 82\u201383, 235nn67\u201368, 300n18\n\nOrpheus, , 165\u2013166, 269nn109\u2013110, 270n111, 223n118, 225n121, 269n109, 282n161, 293n220\n\nRivette and, 95\u201396, , 115\u2013121, 125\u2013126, ,\n\nNabokov, Vladimir, 211n19\n\nNagra, 244n65\n\n_Nana_ (Renoir),\n\n_Nana_ (Manet),\n\n_Napol\u00e9on Bonaparte_ (Gance), , 217n62\n\n_Napol\u00e9on vu par Abel Gance_ (Gance), 5\u20138, , 29\u201334 _f_, , , ,\n\nstylistic devices in, 40\u201342 _f_\n\ntriptych sequences in, 12 _f_ \u201313 _f_, , 41\u201343 _f_, 218n75, 219n76\n\nNarcissus, 82\u201383, 235nn67\u201368, 300n18\n\n\"Narcissus\" (Rilke),\n\n\"Narcissus\" (Schlegel, A. W.),\n\nnarrative, , , 14\u201315, 20\u201324, , 31\u201332, 37\u201339, , 55\u201357, 67\u201379, , , , , 104\u2013106, , , 121\u2013133, 139\u2013141, , , 159\u2013160, , , 170\u2013171, , 181\u2013183, 190\u2013192, 205\u2013206, 213n18, 216n44, 223n110, 231n27, 233n51, 236n79, 251n11, 270n111, 271n121\n\nnarrator, , 49\u201352, , , , , , 296n231\n\nnature, 2 _f_ \u20134 _f_, , 60 _f_ \u201361, 65 _f_ \u201368, 79\u201380, , , 144 _f_, 153\u2013157 _f_, , 210n15, 261n65\n\nNazis, , 48 _f_ \u201352, , , , 227n152, 228n164, 256n43, 271n121, 275n132, 280n152, 284n167, 290n205, 299n10\n\nNeorealism. _See_ realism\n\nNerval, G\u00e9rard de, 127\u2013128, 209n8\n\n\"The New Spirit and the Poets\" (Apollinaire), 217n64\n\nNew Testament, , 287n187. _See also_ Acts of the Apostles; Epistles; Gospels\n\nNew Vienna School, art history,\n\nNew Wave,\n\nGodard on, , , , 251n8, 254n33, 262n66, 278n141, 280n153, 281n157, 288n190\n\nRivette and, 98\u2013101, 239n21, 241n33\n\nNietzsche, Friedrich, , , , , , , 213n18, 216n55\n\n_Night Mulch_ (Brakhage), , 268n102\n\n_Ninety-Three_ (Hugo), , , 220n85, 261n65, 270n113\n\nNinth Symphony (Beethoven), , 52\u201353, 228n164\n\nn\u014d,\n\n_No, or the Vain Glory of Command_ (Oliveira), 229n173\n\n_Noli me tangere,_ 110 _f_ \u2013111, , 169 _f_ \u2013170, 273n125, 274n126. _See also_ _Out 1_\n\n\"Nonindifferent Nature\" (Eisenstein), 67\u201368\n\nNoren, Andrew, 236n81\n\n_Noro\u00eet_ (Rivette), , 126-127, 247n107\n\nNorris, Frank,\n\n_Nostalghia_ (Tarkovsky), 2 _f_ \u20135, , , 263n74\n\n_Notre-Dame de Paris_ (Hugo), 4\u20135, ,\n\n_Notre musique_ (Godard), , , , , , , 256n40, 267n101, 271n121, 283n164, 283n166, 285n174\n\n_Nouvelle vague_ (Godard), 144 _f_, , , , , , 253n26, 263n74, 269n109, 274n127, 282n162, 284n168, 286n184, 287n187, 292n214, 293n220\n\nNovalis, , , , , , 156\u2013157, 217n63, 225n125, 227n140, 248n122, 296n231\n\nhieroglyphs and,\n\nwith memory or _Erinnerung,_ , 210n18\n\n_Num\u00e9ro deux_ (Godard), , , 162\u2013163, , 271n120, 290n205\n\n_The Nun_ (Rivette), 96\u201397 _f_, , , 239n14, 240n27\n\nNuremberg Rally, 48 _f_,\n\n\"Obsession\" (Baudelaire),\n\nOccupation of France (World War II), , , , , 171\u2013172, 242n50, 249n126, 265n95, 271n121, 275nn132\u2013133. _See also_ resistance movements (World War II)\n\n\"Ode to Joy\" (Beethoven). _See_ Ninth Symphony (Beethoven)\n\n\"Ode to Napoleon Buonaparte\" (Byron),\n\nOdysseus, , , , , 292n215, 251n11, 292nn215\u2013217, 293n220, 294n222\n\n_The Odyssey_ (Homer), , , , 211n19, 289n195, 293n220\n\nOedipus, ,\n\nOgier, Bulle, , ,\n\n_The Old Place_ (Godard and Mi\u00e9ville), , 203 _f_, , 268n106, 283n164, 286n185, 294n226, 298n3, 298n5\n\nOliveira, Manoel de, , 54\u201357, 229n173, 279n149\n\n_The Olympian_ (Markopoulos), ,\n\n_On Certainty_ (Wittgenstein),\n\n_On Dangerous Ground_ (Ray),\n\nO'Neill, Eugene, , 214n28\n\n_One + One_ (Godard),\n\n_One Sixth of the World_ (Vertov), , 225n130\n\n\"On German Architecture\" (Goethe), , , 221n100\n\n_On Germany_ (de Sta\u00ebl, G.), , 269n108\n\n_On Grammatology_ (Derrida), 244n76\n\n_On Heroes And Hero Worship, And the Heroic in History_ (Carlyle),\n\n_On the Nature of Things_ (Lucretius),\n\n_On the Sublime_ (\"Longinus\"), 209n7\n\nopera, , 52\u201353, 65\u201367, , 231n21, 269n109\n\nOphuls, Marcel, 242n50\n\n_Ordet_ (Dreyer), 183\u2013184, , 273n125, 285n174\n\n_Orghast_ (Brook and Hughes. T.), , 245n81\n\n_The Origins of the 21st Century_ (Godard), , , 270n112, 283n164, 285n174, 294n226, 299n10\n\nOrozco, Jos\u00e9 Clement,\n\nOrpheus, , 165\u2013166, 269nn109\u2013110, 270n111, 223n118, 225n121, 226n136, 269n109, 282n161, 293n220\n\nOrthodox Christianity, 74\u201376, , 263n76\n\n_Out 1_ (Rivette), , 95\u201396, 109\u2013127, , , 244n72, 246n87\n\nediting and, 122\u2013123, 244n68\n\nfinal shot, 119\u2013121\n\nmaking of, 114\u2013115, ,\n\n_Out 1: Spectre_ (Rivette), , 123\u2013126, 298n9\n\n\"The Oval Portrait\" (Poe), ,\n\nOvid, , , , 282n159, 292n214\n\n_Pacific 231_ (Honegger), , 218n70\n\n_Painter Before His Easel, With a Long-Haired Model_ (Picasso), 134 _f_\n\npaintings, 3 _f_ \u20134 _f_, , , , 38 _f_, 44 _f_, , 207\u2013208\n\ncinematization of, , 37\u201338,\n\nGodard and, 151\u2013153, 155 _f_, 157 _f_ \u2013160 _f_, 163 _f_, , 169\u2013170, 176\u2013180 _f_, 182 _f_, 184\u2013188 _f_, , 198 _f_, 255n34, 255n39, 258n49, 264n85, 270n113, 273n125, 280n156, 285n177, 286n186, 289n197, 290n207, 296n230\n\nMarkopoulos and, 67\u201368, 74\u201376, 86\u201388, 231n27\n\nRivette and, 101\u2013102, 110 _f_, 131\u2013140, 248n118\n\nSyberberg and,\n\n_Pandora and the Flying Dutchman_ (Lewin),\n\nPappas, Peter,\n\n_Paradiso_. _See_ _The Divine Comedy_\n\n_Paris Belongs to Us_ (Rivette), 99\u2013101, 238n8, 239n21\n\n_Paris s'en va_ (Rivette), 129\u2013130\n\n_Paris vu par_... (anthology film),\n\n_Parsifal_ (Syberberg), ,\n\n_Parsifal_ (Wagner, R.), 64\u201365, 230n14\n\nPascal, Blaise, 284n169\n\nPasolini, Pier Paolo, , 264n86\n\n_Passion_ (Godard), , ,\n\nPassion (Christianity), , , , 138\u2013139, , 215n34, 222n108, 226n137\n\n_The Passion of Joan of Arc_ (Dreyer), 131\u2013132, 281n157\n\nPath\u00e9 Fr\u00e8res, , 223n118, 225n127\n\nPaul (saint), , , , , 278n146, 287n188, 289n197, 295n229\n\nPaulhan, Jean, ,\n\nP\u00e9guy, Charles, , 262n68\n\nPelechian, Artavazd, , 265n96\n\nPenderecki, Krzysztof, , 242n43\n\n_Penser avec les mains_ (de Rougemont),\n\nperception, , , , , , , , 162\u2013164, 197\u2013198, 211n19, 223n110, 246n96, 267n101, 286n184\n\nperformance space, opera and,\n\n_Pericles_ (Shakespeare), , 238n8, 240n22\n\n_The Perils of Pauline_ (film serial), 211n4\n\nPerret, L\u00e9once,\n\nPersephone, 210n10\n\n_Persona_ (Bergman), 188\u2013189\n\nperspectival representation, , , , 258n49, 273n125\n\nP\u00e9tain, Philippe (Marshal), , ,\n\nPeterson, Sidney, 134\u2013135\n\n_Petit \u00e0 petit_ (Rouch),\n\n_Phantom of the Opera_ (Leroux),\n\n_A Philosophical Enquiry into the Origin of Our Ideas of the Sublime and Beautiful_ (Burke), ,\n\nPicasso, Pablo, , , 134 _f_, 162\u2013163 _f_, , , 222n108, 237n82, 247n100\n\nPiccoli, Michel, 293n220\n\nPick, Lupu, 218n74\n\nPickford, Mary, 239n17, 286n186\n\n_Pickpocket_ (Bresson), 275n130, 285n173\n\n_Pierrot le fou_ (Godard), , , , 163 _f_, 250nn6\u20137, 267n100\n\n_Piet\u00e0_ (Delacroix), 270n113\n\nPipolo, Tony,\n\nPius XII (Pope),\n\n_A Place in the Sun_ (Stevens), 169 _f_ \u2013170, 288n190\n\nPlato, 149\u2013150, 225n121, 237n91, 254n33\n\nplayfulness. _See_ Rivette, Jacques\n\nplays, , , 54\u201355, , 105\u2013109, 115\u2013117, , 209n8, 215n34, 288n193. _See also_ theater\n\nPlotinus, , 235n70\n\nPoe, Edgar Allen, ,\n\npoetry, 131\u2013132, , , 191\u2013192, 195\u2013196, 210n18, 217n64, 252n12, 267n98, 282n161, 292n214, 293nn218\u2013220, 295n229, 296n231\n\nrole of, 82\u201383, 147\u2013148, , 286n186\n\nRomanticism and, , 8\u20139, 27\u201328, 33\u201334, 46\u201347, , , 115\u2013116, 153\u2013155, , , , 210n10, 210n15, 211n19, 221n100, 286n186, 293n220, 296n231\n\npolitics, 35\u201336, 46\u201355, , 115\u2013117, , , 153\u2013155, , , , 225n130, 245n83, 251n8, 262n66. _See also_ ideology\n\n_Pollen_ (Novalis), 210n18\n\nPollet, Jean-Daniel, 123\u2013125, 247n98\n\nPollitt, J. J., 238n92\n\nPolyvision. _See_ Gance, Abel\n\nPontecorvo, Gillo,\n\n_Le Pont du nord_ (Rivette), , 128\u2013131\n\nportraiture, 193\u2013195, 233n42, 237n82, 290n206, 291n208\n\nfaces and, 49\u201350, , 135\u2013136, 159 _f_ \u2013160 _f_, , 290n207\n\nmythic themes and, 84\u201391\n\nstrategies,\n\nPortugal, 55\u201357, 229n173\n\n_Poto-Poto_ (von Stroheim), 215n43\n\nPound, Ezra\n\n_Cantos,_ , 145\u2013147, 195\u2013196, 250n5, 251n8, 251n8, 252n12, 292n215, 293nn218\u2013219\n\nepic and, 251n10\n\nvortex and, , 251nn8\u20139\n\nPowers, Pat,\n\n_The Power of Emotions_ (Kluge),\n\n_Pravda_ (Groupe Dziga Vertov), , 296n230\n\n\"Preface to _Cromwell_ \" (Hugo), , 209n8, 288n193\n\nPreminger, Otto, , 276n136\n\n_Primary_ (Drew),\n\n_Prisme: Carnets d'un cin\u00e9aste_ (Gance), , 220n91\n\nprocess, 210n15, 299n12\n\nof art, creating, , 128\u2013141,\n\ncreative process and hands, , , , , , , , , 185\u2013187, 268n102\n\nprojection, , , , , , , , , 223n118, 243n58, 247n106, 298n9\n\nGodard and, 149\u2013151, , 161\u2013162, , , , , , , 254nn29\u201330, 254n33, 255n34, 256n41, 271n121, 273n125, 276n134, 279n151\n\nMarkopoulos and, , 66\u201367, , 78\u201380, , 90\u201391, 231n21, 235n70\n\nSyberberg and, 49\u201350,\n\nprojection space, 149\u2013150\n\nMarkopoulos and, 230n15, 230n19, 231n22, 236n80\n\nTemenos as, 60 _f_ \u201361, 66 _f_ \u201367, 79\u201380, 83\u201384, 90\u201391, 231n22\n\nPrometheus, , , , 33\u201334, 73 _f_, , , , , 219n82, 221n101, 222n102, 234nn64\u201365, 236n75\n\nartist as, , , , , , , 165\u2013166, , , 221n100, 222n105\n\nChrist and, ,\n\n_Eniaios,_ 73\u201374, 81 _f_ \u201382,\n\n_Frankenstein; or, The Modern Prometheus_ (Shelley, M.), , 210n10\n\n_The Illiac Passion_ (Markopoulos), , 72\u201374, 79\u201382,\n\n_Out 1_ (Rivette) and, 115\u2013118\n\npoliticized, 35\u201336, 222n104\n\n_Prometei_ (Kavaleridze),\n\n_Prom\u00e9th\u00e9e_ (Feuillade),\n\n_Prom\u00e9th\u00e9e... banquier_ (L'Herbier), 36\u201337\n\n_Prometheus_ (Moreau), 37\u201338 _f_\n\n_Prometheus_ (Breker), 35 _f_\n\n_Prometheus_ (Manship), 35\u201337 _f_\n\n\"Prometheus\" (Goethe), , 221n100\n\n_Prometheus Bound_ (Aeschylus), , , , 115\u2013119, 245n81\n\n_Prometheus: The Poem of Fire_ (Scriabin),\n\n_Prometheus Strangling the Vulture_ (Lipchitz), 35\u201336 _f_\n\n_Prometheus Unbound_ (Shelley, P. B.), , , , 234n65\n\nProtestantism, , 179\u2013181, 234n65, 282n163\n\nProust, Marcel, 192\u2013194, 276n136, 290n204\n\n_Psyche_ (Markopoulos), 68\u201370, , 232n28, 234n53\n\n_The Psychology of Art_ (Malraux), , 185\u2013186, 263nn72\u201373\n\n_Purgatorio_. _See_ _The Divine Comedy_\n\nPygmalion, 210n10\n\n_Queen Kelly_ (von Stroheim), 23\u201324, 39\u201340 _f_, , 215n43\n\nquests, , , 118\u2013119, , , 185\u2013186, , 293n218, 294n222\n\nQuint, David,\n\nRacine, Jean, 105\u2013107, 241n35, 241n37\n\nRamadan, Tariq, 271n121\n\n_Rameau's Nephew by Diderot_ (Snow),\n\nRamuz, Charles F., , 292n217\n\nRanci\u00e8re, Jacques, , 273n125\n\nRanke, Leopold von, , 212n15\n\nRassam, Jean-Pierre,\n\nRay, Nicholas, , , ,\n\nrealism, , , , 265n94\n\ncin\u00e9ma v\u00e9rit\u00e9, 103\u2013105, 113\u2013114, 241n33, 274n128\n\nDirect Cinema, , 241n33\n\nGodard and, , 167\u2013168\n\nNeorealism, 172\u2013175, , , 274n128\n\nvon Stroheim and, 18\u201324\n\n_La R\u00e9gion centrale_ (Snow), 62\u201363,\n\nreligion, 15\u201316, 116\u2013117, 185\u2013186, 213n18, 220n89, 234n65, 284n169\n\nFaure and, , 32\u201333, 174\u2013175, 224n120\n\nGance and, , , 42\u201343, 46\u201347, 223n118, 225n121, 227n147\n\nGodard and, 174\u2013184, 273n125, 278n146, 279n149, 280n153, 282n163, 284n171, 286n185, 287n187, 289n202, 292n217\n\nHitchcock and, 190\u2013191\nMarkopoulos and, 74\u201376, 81\u201382, 87\u201391\n\nRivette and, , 138\u2013140, 239n14, 242n44\n\ntypes, , , , 179\u2013180, 224n120, 231n23, 239n14, 242n45\n\nRembrandt, , , , , 250n6, 285n177\n\nRenoir, Auguste, 286n186\n\nRenoir, Jean, , , , 263n73, 298n9. _See also_ _Jean Renoir le patron_\n\nresistance movements (World War II), , , 171\u2013175, , 275nn132\u2013133\n\nResnais, Alain, 69\u201370, , , 232n29, 240n24, 271n121\n\nrestoration, 22\u201323, , , , 213n19, 223n115\n\n_Retreat from Moscow_ (Gance),\n\nretrospection, , 128\u2013141, , , 253n26, 295n229. _See also_ memory\n\nReverdy, Pierre, , 264n92\n\nRevolutionary Calendar, 261n62\n\nReynolds, Ben,\n\nrhythm, , , , , , 85\u201386, , , , , , , 116\u2013117, 121\u2013122, , , , 190\u2013192, 218n70, 240n24, 265n96, 268n106\n\nRichter, Hans,\n\nRiefenstahl, Leni,\n\nRiegl, Alois,\n\nRilke, Rainer Maria, , , , , , , 286n186, 295n228\n\nRimbaud, Arthur,\n\n\"Rime of the Ancient Mariner\" (Coleridge), 210n10\n\n_Der Ring des Nibelungen_ (Wagner, R.), , , , ,\n\n_The Rite of Spring_ (Oliveira),\n\n_The Rite of Spring_ (Stravinsky), 240n24\n\nritual, , , , , , , , , , , 115\u2013117, , , , , 238n7\n\n_Riverbed in the Fog_ (Friedrich), 157 _f_\n\nRivette, Jacques, , , , , 238n4, 238n9, 239n14, 240n22, 240n24, 243n63, 245n83, 246n88, 247n103, 247n105, 249n124, 298n9\n\non cinema, role of, , 244n72\n\nediting and, , 122\u2013126, , 246n94\n\nepic and, 121\u2013128\n\ninfluences on, , , , , 241n33, 242n44, 244n73, 247n106, 249n126\n\nlong-form films and, 93\u201398, 109\u2013121\n\nmusic and, , , , , 140\u2013141, 240n22, 240n24\n\nmyths and, 95\u201396, , 115\u2013119, 125\u2013126, ,\n\nNew Wave and, 98\u2013101, 239n21, 241n33\n\npainting and, 101\u2013102, 110 _f_, 131\u2013140, 248n118\n\nreligion and, , 138\u2013140, 239n14, 242n44\n\nretrospective quality and, 130\u201341\n\nshots and, 98\u2013108, 119\u2013121, , 136\u2013139,\n\nsilent films and, 99\u2013100 _f_, 102\u2013103, 111\u2013113, , 126\u2013127,\n\ntheater and, , , 105\u2013109, 114\u2013118, 121\u2013123\n\nRobespierre, Maximilien, , 220n85\n\nRodin, Auguste, 204 _f_\n\nRoditi, \u00c9douard, , 237n82\n\nRohmer, \u00c9ric, , , 239n21\n\nRolling Stones, , 259n54\n\nRomanticism, , , , , , , 134\u2013141, 154\u2013155, 227n152, 244n76, 259n55, 289n195\n\ncathedral and, , , ,\n\nGance and, 27\u201328, 30\u201332,\n\nGerman, , 47\u201348, , , , , , 156\u2013157, 248n122. _See also_ Novalis; Schlegel, Friedrich\n\nGodard and, 154\u2013157, 165\u2013166, , , , 244n76, 250n6, 259n55, 260n56, 265n96, 270n113, 270n116, 280n156, 296n230\n\ninfluence, , 8\u20139, 30\u201331, , , 80\u201382, , 210n10, 270n116\n\nMarkopoulos and, , , 80\u201382\n\npoetry and, , 8\u20139, 27\u201328, 33\u201334, 46\u201347, , , 82\u201383, 115\u2013116, 147\u2013148, 153\u2013155, , , , 210n10, 210n15, 211n19, 221n100, 286n186, 293n220, 296n231\n\nPrometheus and, 33\u201334, 81\u201382\n\ntheater and, , , , 209n8, 288n193\n\n_Rome, Open City_ (Rossellini), ,\n\nRoosevelt, Franklin Delano, 283n166\n\n_Rose-France_ (L'Herbier),\n\nRosenbaum, Jonathan, , 247n103, 249n124\n\nRossellini, Roberto, 98\u201399, 172\u2013173, , 239n14\n\ninfluence, , , 298n9\n\nNeorealism and, 274n128\n\nRouch, Jean, 103\u2013104, 113\u2013114, 241n33\n\n_La Roue_ (Gance), , , , 219n84\n\ninfluence, 222n108\n\nstylistic devices in, 39\u201341, 223n110\n\nRousseau, Jean-Jacques, , 153\u2013154, , 244n76, 262n71\n\nRousset, David, 299n10\n\nRubens, Peter Paul,\n\nRublev, Andrei, 207\u2013208, 263n74\n\nruins, 3\u20134, , , , , , , 207\u2013208\n\n_Ruins of the Monastery Eldena near Greifswald_ (Friedrich), 3 _f_\n\nRunge, Philipp Otto, , , 228n165\n\nrunning time, , , 210n13, 214n22, 214n29, 215n41, 299n12\n\nof commercial films, 5\u20137, , , , 217n60, 218n68, 226n139\n\nGodard and, 252n18, 257n46, 257n44\n\nlong-form films, , 18\u201319, 23\u201324, 29\u201330, 61\u201367, , , 108\u2013114, , 131\u2013133, , , 215n37\n\nRuskin, John,\n\nRussia, , , , , 225n127, 273n125, 278n142, 299n10. _See also_ Soviet Union\n\nRuttmann, Walter, , 225n130\n\nsacred space. _See_ space\n\nSadoul, Georges, 283n166\n\nSallis, John, 235n70\n\nSarris, Andrew, 255n37\n\nSartre, Jean-Paul, 156\u2013157, , 262n71\n\n_S\u00e1t\u00e1ntang\u00f3_ (Tarr), 202 _f_, 206\u2013208, 299n14, 300nn18\u201319\n\n_S\u00e1t\u00e1ntang\u00f3_ (Krasznahorkai), 300n16\n\n_The Satin Slipper_ (Claudel), 54\u201355, 209n8\n\n_The Satin Slipper_ (Oliveira), , 54\u201357\n\nscale, 5\u201310, 14\u201325, 29\u201330, 41\u201350, , 61\u201365, , , 192\u2013193, 209n8, 232n39. _See also_ long-form films\n\n_Sc\u00e9nario du film Passion_ (Godard), 188 _f_ \u2013189, 263n73, 279n147, 296n230\n\n_Scenes from Under Childhood_ (Brakhage), , 267n100\n\nSchiffman, Suzanne,\n\n_Schindler's List_ (Spielberg),\n\nSchlegel, August Wilhelm, 82\u201383\n\nSchlegel, Friedrich, 8\u20139, , , 147\u2013148, , 210nn15\u201316, 259n55, 261n61\n\nSchmidlin, Rick,\n\nSchoenberg, Arnold, , 286n184\n\nScholl, Sophie, , 280n152\n\nSchroeter, Werner, ,\n\nSchubert, Franz, 221n100\n\nSchur\u00e9, \u00c9douard, 225n121\n\nscores. _See_ music\n\nScott, Walter,\n\nscreens, 56 _f_ \u201357, 83\u201384, , 149\u2013150, 164\u2013165, , , , 186 _f_, 188\u2013189, 205 _f_ \u2013206, 235n70, 250n6, 255n39, 279n147, 281n157, 298n7. _See also_ projection\n\nblack screen, , 76\u201379, , , , 125\u2013126, , , , , 173\u2013174, , 249n124, 267n101, 268n106, 300n19\n\nscreening environment, , 60 _f_ \u201361, 63\u201366 _f_, 79\u201380, 90\u201391, 110\u2013112, 175\u2013176, 203 _f_, 218n75\n\ntriple screen, 12 _f_ \u201313 _f_, , 39\u201343 _f_, 45\u201347, , 218n75, 227n142, 234n54, 298n9\n\nScriabin, Alexander, , 222n103\n\nsculpture, , 34\u201337 _f_, , 124 _f_, 128\u2013129 _f_, , , 183\u2013185, 204 _f_, 234n64, 285n179\n\n_The Searchers_ (Ford), , 276n136, 282n162\n\n_The Seasons_ (Pelechian), 265n96\n\nSedlmayr, Hans,\n\nSelznick, David O., , 276n135\n\nSendak, Maurice,\n\nSennett, Mack, 239n17\n\n_Serenity_ (Markopoulos),\n\nserial presentations. _See_ viewing\n\n_Seul le cin\u00e9ma_. _See_ _Histoire(s) du cin\u00e9ma_\n\nSevereni, Gino,\n\nSeydoux, Nicolas, 151\u2013152\n\nShakespeare, William, , , , , 222n105, 238n8, 240n22, 274n128, 280n155\n\nShelley, Mary, , 210n10\n\nShelley, Percy Bysshe, , , , , , 210n10, 211n19, 234n65\n\nSherrington, Charles, 233n47\n\n_Shoah_ (Lanzmann), , 171 _f_, 271n121, 272n122\n\nshots, , , 232n28, 232n34, 267n100. _See also_ camera; montage\n\nRivette and, 98\u2013108, 119\u2013121, , 136\u2013139,\n\nshot\/countershot, 44\u201345, , , , , , 158\u2013160\n\nTarkovsky and, , 263n76\n\ntypes, 40\u201341, , 97 _f_, , , 244n72\n\nSibelius, Jean,\n\n_Siegfried_ (Lang), , 275n133\n\n_Siegfried_ (Wagner, R.),\n\n_Les Signes parmi nous_. _See_ _Histoire(s) du cin\u00e9ma_\n\n_The Sign of Leo_ (Rohmer),\n\nsilent films\n\nera of, 5\u20138, , , , , , , , 222n105, 243n60, 265n96, 283n166, 298n9\n\nGance and, , 46\u201348, 222n106, 223n118\n\nGodard and, 176\u2013181, 277n137, 283n166, 284n172\n\nMarkopoulos and, , 77\u201379\n\nRivette and, 99\u2013100 _f_, 102\u2013103, 111\u2013113, , 126\u2013127,\n\nvon Stroheim and, 23\u201324\n\nSimon, Bill,\n\nSimon, Michel, 104\u2013105\n\nsingle-frame editing, , 70\u201371, 77\u201378\n\nSisyphus,\n\n_Sites of Memory, Sites of Mourning: The Great War in European Cultural History_ (Winter), 217n62\n\nSitney, P. Adams, 62\u201363, 232n28, 232n28\n\n_Six fois deux (Sur et sous la communication)_ (Godard and Mi\u00e9ville), 148\u2013149, 256n43\n\n16mm, , 61-91, 102\u2013107, , , , , , , 242n53, 243n57, 244n65, 273n124, 274n128, 298n9\n\n_Sky Cathedral_ (Nevelson),\n\nSmith, Harry, 233n51\n\nSmith, Jimmy,\n\nSnow, Michael, 62\u201363,\n\n_Soft and Hard: A Soft Conversation on Hard Subjects_ (Godard and Mi\u00e9ville),\n\nSokurov, Aleksandr,\n\nSollers, Philippe,\n\n_Songs_ (Brakhage), 232n39, 233n42\n\nSophocles,\n\n_The Sorrows of Young Werther_ (Goethe), , 295n228\n\n_The Sorrow and the Pity_ (Ophuls), 242n50\n\nsound, , 45\u201346, 54\u201355, , 103\u2013108, , , 127\u2013128, , 167\u2013168, 172\u2013174, 184\u2013185, , 217n61, 217n63, 265n96, 300nn18\u201319\n\nin _Eniaios,_ 78\u201379\n\nmotifs, , , , 108\u2013109, , , 178\u2013179, 233n45, 282n162\n\nsound era, 5\u20137, , , , , 102\u2013103, , 180\u2013181, , 225n130, 258n49, 283n166, 284n172\n\nsoundtracks, , , , , , , 132\u2013133, , , 152\u2013153, 173\u2013174, , , 261n64, 274n127, 285n179, 293n220\n\nsynchronized sound recording, 103\u2013105, , , 173\u2013174, 242n46\n\n_The Sovereignty of the Filmmaker as Physician_. _See_ Temenos Archive\n\nSoviet Union, , , , , 163\u2013164, , 206\u2013207, 210n13, 221nn98\u201399, 246n96, 268n105, 299n10, 299n14\n\nspace, , , 21\u201322, , , , 77\u201378, , , , , 105\u2013107, , , , , 126\u2013127, 129\u2013135, , , , 160\u2013163, 175\u2013176, , , 205\u2013208, 210n16, 267n100, 286n184\n\nexhibition space, 35\u201336, , , 197\u2013198, 205 _f_\n\nprojection space, 60 _f_ \u201361, 63\u201367, 79\u201380, 83\u201384, 149\u2013150, 230n15, 230n19, 231n22, 236n80\n\nsacred space, 76\u201377, , , , 300n17\n\nspatial arrangement, , 17\u201318, ,\n\nspatiotemporal relationships, , , 71\u201373, , , , , 138\u2013139, 158\u2013159, ,\n\nSpain, , 46\u201347, , , 278n142\n\nspectatorship. _See_ viewing\n\nSpeer, Albert, 48 _f_, 50\u201351\n\nSpengler, Oswald,\n\n_The Spirit of the Forms_ (Faure), 174\u2013175\n\nStalin, Joseph, , , 265n96, 299n10\n\nStevens, George, 169\u2013171, 271n120, 273n124, 288n190\n\nStinnes, Hugo, , 225n127\n\nStockhausen, Karlheinz, , , 242n41\n\n_The Story of Marie and Julien_ (Rivette), 126\u2013127\n\nStout, Jeffrey,\n\n_La Strada_ (Fellini), , 278n138\n\n_Strange Interlude_ (O'Neill),\n\nStraub, Jean-Marie, , 128\u2013129, 242n52\n\nStravinsky, Igor, 101\u2013102, , 240n24, 247n110\n\nwith Balanchine,\n\ninfluence, 242n44, 249n126\n\n_Struggle in Italy_ (Groupe Dziga Vertov), , 268n106\n\n_Study for a Portrait of Van Gogh II_ (Bacon), 198 _f_ \u2013199\n\nstudios,\n\nartist's studio, 133 _f_, , 138\u2013139, , 255n39\n\nfilm studios, , , 22\u201324, , , , , 151\u2013152, , 215n37, 231n27, 239n17, 277n137\n\nsublimity, , , , , 116\u2013117, 153\u2013154, 209n7\n\nSue, Eug\u00e8ne,\n\nsuperimposition, 9\u201310, 27\u201328, , 39\u201341, , 72\u201377, 145\u2013146, , 160 _f_, 163\u2013165, 169\u2013177, 180\u2013185, 188\u2013191, 197\u2013198, , 221n98, 231n27, 255n38, 256n43, 288n190\n\nSurrealism, , , 86\u201387, , , , 227n152, 248n121, 265n94\n\n_Swain_ (Markopoulos), , , , 232n28\n\n_Swann's Way_ (Proust), 290n204\n\nSwanson, Gloria, 23\u201324\n\nSwitzerland, , , , , 229n1, 253n26, 282n163, 285n181, 292n217\n\nSyberberg, Hans-J\u00fcrgen, , 49\u201354, 227n152, 228n153, 228n157\n\nmontage and, 54\u201355\n\npainting and,\n\nprojection and, 49\u201350,\n\nSymbolism, ,\n\n_Sympathy for the Devil_ (Godard), 259n54\n\nTaine, Hippolyte,\n\nTarkovsky, Andrei, 3\u20134, 207\u2013208\n\ninfluence, , 263n74, 300n18\n\nlong take and, , 263n76\n\nTarr, B\u00e9la, , 300n17\n\nHungarian films and, 299nn13\u201314, 300n15, 300n18\n\nS\u00e1t\u00e1ntang\u00f3 and, 202 _f_, 206\u2013208\n\nTate Gallery,\n\nTaylor, Elizabeth, 169 _f_ \u2013170\n\nTchalgadjieff, St\u00e9phane, 109\u2013110, 242n52\n\ntelevision, Godard on, 148\u2013149, 172\u2013173, 253n28, 254nn29\u201330, 256n43, 267n99, 270n116\n\nTelluride Film Festival, , 268n103\n\nTemenos\n\n_Eniaios_ at, 60 _f_ \u201361, 66 _f_, 79\u201380, 90\u201391\n\nas projection space, 60 _f_ \u201361, 66 _f_ \u201367, 79\u201380, 83\u201384, 231n22\n\nTemenos Archive, 233n49\n\n_Cerberus,_ 229n1, 231n20\n\n_Chiron Notes,_ 229n1\n\n_Ein Edelweiss,_ 229n1\n\n_The Sovereignty of the Filmmaker as Physician,_ 229n1, 234nn57\u201358\n\ntemporality, 5\u20138, , , , , 68\u201372, , 87\u201388, , 107\u2013108, 113\u2013114, , 130\u2013133, 158\u2013159, 205\u2013206\n\n_Ten Classic Paintings Revisited_ (Greenaway), 205 _f_\n\n_Ten Minutes Older: The Cello_ (anthology film), 298n3\n\nThalberg, Irving, , 281n157\n\ntheater, , , , , 226n136, 243n58, 261n61\n\navant-garde theater, 114\u2013117, 245n82\n\nBrecht and, 48\u201349, 55\u201357, , ,\n\nclassical theater, , , , ,\n\ncinema as, 220n89\n\nRomantic, , , , 209n8, 288n193\n\ninfluence, , 245n78, 265n96\n\nkabuki and n\u014d, ,\n\nplays, , , 54\u201355, , 105\u2013109, 115\u2013117, , 209n8, 215n34, 288n193\n\nRivette and, , , 105\u2013109, 114\u2013118, 121\u2013123\n\nrunning time,\n\n_The Theater and Its Double_ (Artaud), 245n82\n\n_Theory of Colors_ (Goethe), 280n152\n\n_Theory of Film_ (Kracauer),\n\n\"This Will Kill That.\" _See_ _Notre-Dame de Paris_\n\nThoreau, Henry David, , 72\u201373\n\n3D, , 224n119, 267n99, 285n180\n\n_Three Days_ (Bartas), 299n11\n\n_Thus Spoke Zarathustra_ (Nietzsche), , , 216n55, 232n36\n\nTillich, Paul, 179\u2013180, 282n163\n\ntime, 298n5. _See also_ duration; running time; temporality\n\n_Time Regained_ (Proust), , 276n136, 290n204\n\nTintoretto, Jacopo, , 188 _f_ \u2013189, 282n159\n\nTitan, . _See also_ Prometheus\n\nTitian, , 110 _f_, , 274n126\n\n\"To Jane: The Recollection\" (Shelley, P. B.), 211n19\n\nTolstoy, Leo, 219n83\n\n_Tom, Tom, the Piper's Son_ (Jacobs), ,\n\n_Too Early, Too Late_ (Straub and Huillet),\n\nTourneur, Jacques,\n\n_Toutes les histoires_. _See_ _Histoire(s) du cin\u00e9ma_\n\n\"Towards a New Narrative Film Form\" (Markopoulos), 70\u201371\n\n_Towards a Poor Theatre_ (Grotowski), , 245n82\n\n_The Trial of Joan of Arc_ (Bresson), 131\u2013132, , , 285n173\n\nTriangle Film Corporation, , 239n17\n\ntriple screen, 12 _f_ \u201313 _f_, , 39\u201343 _f_, 45\u201347, , 218n75, 227n142, 234n54, 298n9\n\ntriptych sequences. _See_ _Napol\u00e9on vu par Abel Gance_\n\n_Tristan und Isolde_ (Wagner, R.), 210n10\n\n_Triumph of the Will_ (Riefenstahl),\n\nTruffaut, Fran\u00e7ois, , 239n21, 251n8, 281n157\n\n_The Turin Horse_ (Tarr), 300n15, 300n17\n\n_23rd Psalm Branch_ (Brakhage), , 267n101, 268n102\n\n_Twice a Man_ (Markopoulos), 71\u201372, 77\u201378, , , 236n75\n\ninfluence, 230n12\n\nshots, 232n28, 232n34\n\n_2 fois 50 ans de cin\u00e9ma fran\u00e7ais_ (Godard and Mi\u00e9ville), 252n13\n\n_Two or Three Things I Know About Her_ (Godard), , , 259n53, 267n98, 269n109\n\nTyler, Parker,\n\n_Ugetsu_ (Mizoguchi),\n\n_Ulrich von Hutten's Grave_ (Friedrich), 4 _f_\n\nUlysses. _See_ Odysseus\n\n_Ulysses_ (Joyce), 139\u2013140, 252n12, 291n209\n\nunderground cinema, , 268n104. _See also_ avant-garde movements, cinema\n\nUnited States of America, 14\u201316, , 35\u201336, 44\u201345, 61\u201365, , , , , 163\u2013164, 166\u2013167, 172\u2013173, 195\u2013197, 212n11, 212nn15\u201316, 213n18, 230n14, 233n42, 239n17, 253n28, 267n100, 268n105, 270n116, 271nn120\u2013121, 277n137, 279n149, 290n205, 293n218, 294n221\n\n_The Unknown Masterpiece_ (Balzac), 133\u2013135, 138\u2013140, 248n115\n\n_Unsere Afrikareise_ (Kubelka),\n\n_Untitled: For Marilyn_ (Brakhage), , 268n102\n\nutopia, 6\u201310, , , , 42\u201357, 63\u201367, 73\u201374, 81\u201382, 95\u201396, , , 114\u2013119, , 160\u2013161, , 195\u2013198, 206\u2013207, 244n72, 285n181\n\n_Une vague nouvelle_. _See_ _Histoire(s) du cin\u00e9ma_\n\nVal\u00e9ry, Paul, , 235n67, 291n213\n\n_Les Vampires_ (Feuillade), 100 _f_, 111\u2013112\n\nVarda, Agn\u00e8s, 299n11\n\nVel\u00e1zquez, Diego, 250n7\n\n_Venom and Eternity_ (Isou),\n\nVermeer, Johannes, 264n85\n\n_Vertigo_ (Hitchcock), 126\u2013127, , , 210n10\n\nVertov, Dziga, , , , 225n130. _See also_ Groupe Dziga Vertov films\n\nvideo installation, 197\u2013198,\n\nvideo work. _See_ Godard, Jean-Luc\n\nVidor, King, , , , 276n135\n\nviewing, , , , 118\u2013119, 121\u2013123, 132\u2013133, , , , , 298n7\n\nlong-form films, serial presentation of, , , 22\u201323, 111\u2013114\n\nmemory and, , , , , 166\u2013167, , 194\u2013195\n\nmodes of, 205\u2013206, 243n58, 298n8\n\nspectatorship, , , , 82\u201383, , , , , 149\u2013150, , , , 205\u2013206, 224n119, 278n143, 289n197\n\nviewers, 16\u201318, 29\u201331, 40\u201342, , 75\u201380, , , 207\u2013208, 242n53\n\nViola, Bill,\n\nVirgil, , , , 249n2, 267n98, 289n195, 292n214, 295n229\n\nVisconti, Luchino, , 173\u2013174,\n\n_Visionary Film_ (Sitney), 232n28, 233n51\n\n_Visions in Meditation_ (Brakhage), 267n100\n\n_The Vision of Daniel_ (Rembrandt), , 285n177\n\nVivaldi, Antonio, 265n96\n\n_The Voices of Silence_ (Groupe Dziga Vertov),\n\n\"Vocation du cin\u00e9ma\" (Faure), 224n120\n\n_The Voices of Silence_ (Malraux). _See_ _The Psychology of Art_\n\nvon Sternberg, Josef, , 231n27\n\nvon Stroheim, Erich, , , , 176\u2013178, 214n28, 215n43\n\nediting and, 19 _f_, , , 215n37\n\ninfluence, , 176\u2013178, 204\u2013205, 281n157\n\nrealism and, 20\u201324\n\nrunning times and, 18\u201319, 23\u201324, , 215n37\n\nstylistic devices, 39\u201340 _f_, 216n44\n\nvortex, Pound and, , 251nn8\u20139\n\n_Voyage(s) en utopie, Jean-Luc Godard 1946\u20132006: \u00c0 la recherche d'un th\u00e9or\u00e8me perdu_ (Godard), 197\u2013198, 289n200, 298n7\n\n_Voyage to Italy_ (Rossellini), 98\u201399\n\nVuillermoz, \u00c9mile, , 213n18, 220n89\n\nWagner, Richard, , , 51\u201352, , , 210n10, 236n79\n\ninfluence of, , , 66\u201367, , , 211n5, 225n121, 230n14, 231n21\n\nperformance space and,\n\nWagner, Winifred, ,\n\n_Wanderer above the Sea of Fog_ (Friedrich), , 44 _f_\n\nWang Bing, 205\u2013206\n\n_War and Peace_ (Bondarchuk), , 210n13\n\n_War and Peace_ (Tolstoy), 219n83\n\nWarhol, Andy, , , , , 233n42, 243n63\n\nGodard on, 298n4\n\nlong-form films and, 61\u201362\n\n_Waterloo_ (Gance),\n\n\"We Are No Longer Innocent\" (Rivette),\n\nWebern, Anton,\n\n_The Wedding March_ (von Stroheim), 23\u201324, , , 281n157\n\n_Weekend_ (Godard), 153\u2013155, 244n76, 261n62, 280n156, 286n184, 294n226, 298n9\n\nWeinberg, Herman, , 215n39\n\nWelles, Orson, 53\u201354, , , , 281n157, 298n9\n\nWengeroff, Wladimir,\n\n_West of the Tracks_ (Wang),\n\n_Western History_ (Brakhage), 267n100\n\n\"What Are Poets For?\" (Heidegger), , 286n186\n\n_Where the Wild Things Are_ (Sendak),\n\n_Whispering Pages_ (Sokurov), 299n11\n\n_The White Goddess_ (Graves),\n\nWhitman, Walt, 15\u201316, 212n11, 212n16, 225n130\n\nWiener, Jean,\n\n_Wilhelm Meister_ (Goethe), , 261n61\n\n_Wind from the East_ (Groupe Dziga Vertov), ,\n\n_Wings_ (Wellman),\n\nWinter, Jay, , 217n62\n\nWitt, Michael, , 270n111\n\nWittgenstein, Ludwig, , 182\u2013184, 267n98, 284n171, 285n176\n\nWood, Robin,\n\nWoodhouse, C. M., 238n92\n\nWorld War I, , , 25\u201329\n\nWorld War II, , 47\u201353, , 168\u2013174, 181\u2013183, 194\u2013195, 265n95, 275nn132\u2013133, 278n138, 294n221, 299n10, 300n17\n\nOccupation of France, , , , , 171\u2013172, 242n50, 249n126, 265n95, 271n121\n\nresistance movements, , , 171\u2013175,\n\n_The Wrong Man_ (Hitchcock), , 190\u2013191\n\n_Wuthering Heights_ (Bront\u00eb), 248n121\n\n_Wuthering Heights_ (Rivette),\n\nYankovsky, Oleg, 263n76\n\nYeats, W. B., 251n8, 251n11\n\nZhou, Enlai, , 227n147\n\nZola, \u00c9mile, ,\n\nzooms. _See_ camera\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \n_Publisher's Note_\n\nRendering poetry in a digital format presents several challenges, just as its many forms continue to challenge the conventions of print. In print, however, a poem takes place within the static confines of a page, hewing as close as possible to the poet's intent, whether it's Walt Whitman's lines stretching to the margin like Route 66, or Robert Creeley's lines descending the page like a string tie. The printed poem has a physical shape, one defined by the negative space that surrounds it\u2014a space that is crafted by the broken lines of the poem. The line, as vital a formal and critical component of the form of a poem as metaphor, creates rhythm, timing, proportion, drama, meaning, tension, and so on.\n\nReading poetry on a small device will not always deliver line breaks as the poet intended\u2014with the pressure the horizontal line brings to a poem, rather than the completion of the grammatical unit. The line, intended as a formal and critical component of the form of the poem, has been corrupted by breaking it where it was not meant to break, interrupting a number of important elements of the poetic structure\u2014rhythm, timing, proportion, drama, meaning, and so on. It's a little like a tightrope walker running out of rope before reaching the other side.\n\nThere are limits to what can be done with long lines on digital screens. At some point, a line must break. If it has to break more than once or twice, it is no longer a poetic line, with the integrity that lineation demands. On smaller devices with enlarged type, a line break may not appear where its author intended, interrupting the unit of the line and its importance in the poem's structure.\n\nWe attempt to accommodate long lines with a hanging indent\u2014similar in fashion to the way Whitman's lines were treated in books whose margins could not honor his discursive length. On your screen, a long line will break according to the space available, with the remainder of the line wrapping at an indent. This allows readers to retain control over the appearance of text on any device, while also indicating where the author intended the line to break.\n\nThis may not be a perfect solution, as some readers initially may be confused. We have to accept, however, that we are creating poetry e-books in a world that is imperfect for them\u2014and we understand that to some degree the line may be compromised. Despite this, we've attempted to protect the integrity of the line, thus allowing readers of poetry to travel fully stocked with the poetry that needs to be with them.\n\n\u2014Dan Halpern, Publisher\n\n_Contents_\n\n_Cover_\n\n_Publisher's Note_\n\n_Title Page_\n\nThe Charge\n\nAn Ordinary Misfortune\n\nComfort\n\nAn Ordinary Misfortune\n\nHello Miss Pretty Bitch\n\nAn Ordinary Misfortune\n\nAn Ordinary Misfortune\n\nThe Testimonies\n\nTestimonies\n\nThe Confessions\n\nAn Ordinary Misfortune\n\nFetish\n\nRoyal Azalea\n\n_Don't Touch Me_\n\nBell Theory\n\nAmerican Dream\n\nHair\n\nObeli\n\nMy Grandmother Reminisces with Peaches\n\nAn Ordinary Misfortune\n\nAutopsy\n\nThe After\n\nAn Ordinary Misfortune\n\nAn Ordinary Misfortune\n\nFear\n\nLet Us Part Like This\n\nNews\n\nAn Ordinary Misfortune\n\nNotes\n\nOn the Day of the Gyeongju Earthquake, September 12, 2016\n\nBetween Autumn Equinox and Winter Solstice, Today\n\nForeigner\n\nSometimes when I'm walking on this street\n\nEasily written poem\n\nSay Grace\n\nTo the Winter Apricot Blossom\n\nThe Transformation\n\nDream Devil\n\nTime, in Whales\n\nAuthor's Note\n\n_Acknowledgments_\n\n_About the Author_\n\n_Copyright_\n\n_About the Publisher_\n_The Charge_\nAn Ordinary Misfortune\n\nMine is the jam-packed train. The too-weak cocktail. This statement by an American man at the bar: _Your life in Korea would have been a whole lot different without the US._ Meaning: be thankful. This question by a Canadian girl, a friend: _Why don't you guys just get along?_ The guys: Japan and Korea. Meaning: move on. How do I answer that? Move on, move on, girls on the train. Destination: comfort stations. Things a soldier can do: mount you before another soldier is done. Say, _Drink this soup made of human blood._ Say, _The Korean race should be erased from this earth._ Tops down. Bottoms up. Things erased: your name, your child, your history. Your new name: Fumiko, Hanako, Yoshiko. Name of the condom: Charge Number One. Name of the needle: Compound 606. Salvarsan means, an arsenic to save. Ratio 291: 29 soldiers per girl. Actual count: lost. Lost: all. Shot, shot, shot, everybody. Give thanks.\nComfort\n\nOn Wednesday, I ate plain yogurt.\n\nOpened a notebook. Vivaldi\n\nas I folded my laundry.\n\nIt was his birthday. On Wednesday,\n\nit rained. On the succulents,\n\non the surviving women.\n\nTricked or taken, carted to Japanese soldiers.\n\nThe condom said _Attack Number One._\n\nRinsed for reuse. On Wednesday,\n\nI listened to The Four Seasons.\n\nIt stopped raining. It never stopped\n\nraining. On Wednesdays, it rains\n\nfor the children they bore. For the children\n\nthey could not bear. For the children\n\nthey were. Give them this day. Give them\n\nVivaldi, violin, give them the all-girls choir.\n\n_L'inverno,_ come and gone. All four seasons,\n\ncome and gone. On Wednesday,\n\nnothing happened. Rain evaporated,\n\nand so did the concertos.\n\nWednesdays ago, the women,\n\nthe girls, clutched each other. Who will live,\n\nwho will leave, who believes this life.\n\n_The world will be better after you and me._\nAn Ordinary Misfortune\n\nWhat is pressing. What is pressed. Or who. My grandmother. A woman. A teen. Her father presses the gates shut. Presses her into a crate. The crate into a shed. She unfolds by morning. Binds her chest. She walks unwomanned. An American soldier sees her and yells _Stop over there!_ in Japanese. The language they've both learned. When she runs, she is unmistakably woman. She falls. He laughs. What is a body in a stolen country. Or whose. What is right in war. What is left in war. War hasn't left Korea. I have. I fold. I give up, myself, to you. Which one of you said _Let's have raunchy Korean sex_ to me. Which one of you didn't. Do you represent America to me. Did those soldiers to her. _We didn't fear war. We feared the allies,_ she said.\nHello Miss Pretty Bitch\n\nthe street drummer\n\ncalls out in Korean\n\nno doubt thinking it\n\na compliment\n\na pleasant surprise\n\ncinched with red ribbons\n\nfor Christmas the day\n\nselect theatres will gift us\n\nwith _The Interview_\n\na comedy in which\n\ntwo American journalists\n\nignite Kim Jong-un's face\n\n_freedom has prevailed_\n\nthe film's star Seth Rogen\n\nsays about the release\n\nthe same was thought\n\nat the time of Korea's release\n\nfrom the Japanese Empire\n\nthough then the Korean War\n\nbegan and compared to war\n\nwhat's so bad about a movie\n\nanyway even war can be funny\n\nand now a drummer\n\nin New York says\n\n_you got a smile_\n\n_that could light up_\n\n_the whole town_\n\nthough I'm not smiling\n\nthinking about villages\n\nand cities of what became\n\nNorth Korea set on fire\n\nsending puddles of twilight\n\ninto sunless skies\n\nas if flames could stab\n\nbut his freedom\n\nof speech prevails\n\nfreedom always prevails\n\nwhich is why we get to see\n\ntwo Americans\n\nincinerate a Korean face\n\non Christmas\n\nhold our popcorn\n\nand chocolate bars\n\nand laugh as the dictator\n\nexplodes in tune\n\nto a pop song\n\nlaugh as American\n\nsoldiers would laugh\n\nat Korean children\n\nchanting _hello hello_\n\n_gibu me choco-let_\n\nwith wartime hunger\n\nlaugh as they choose\n\nwhich face\n\nto light up\nAn Ordinary Misfortune\n\nThe trouble with trees is that their bodies and limbs are too capable, capable of burning, of living, capable of leaves, of leaving, charcoal, ash, and we think we have power. _Capable_ , 1561, from Late Latin _capabilis_ \"receptive,\" Unit 731 of the Japanese Empire injects us with monkey blood, our limbs are not receptive, _Capable,_ used by theologians, from Latin _capax_ \"able to hold much,\" our living bodies and extracted children, not holding, not _Capable, capere_ \"to take, grasp, lay hold, catch, undertake, be large enough for, comprehend,\" how to take, how to grasp, comprehend, our limbs catch fire, taken, our bodies not large enough, _Capable,_ Sanskrit _kapati_ \"two handfuls,\" two handfuls of intestines, are they _Capable,_ Greek _kaptein_ \"to swallow, gulp down,\" pills, gas, what more, _Capable,_ Lettish _kampiu_ \"seize,\" our limber bodies, carve our bodies, our eyes unseized by their sockets, _Capable,_ limbs, capable of burning, of ash, charcoal, _Capable,_ Old Irish _cacht_ \"servant girl,\" her fallopian tube, cut, living, not _Capable,_ of living, leaving, Welsh _caeth_ \"captive, slave,\" _Capable,_ our names, _maruta,_ from Japanese, \"logs.\"\nAn Ordinary Misfortune\n\nShe is girl. She is gravel. She is grabbed. She is grabbed like handfuls of gravel. Gravel grated by water. Her village is full of gravel fields. It is 1950. She is girl. She is grabbed. She is not my grandmother, though my grandmother is girl. My grandmother's father closes the gates. Against American soldiers, though they jump over stone walls. To a girl who is not my grandmother. The girl is gravel grabbed. Her language is gravel because it means nothing. Hands full of girl. Fields full of gravel. Korea is gravel and graves. Girl is girl and she will never be a grandmother. She will be girl, girl is gravel and history will skip her like stone over water. Oh girl, oh glory. Girl.\n_The Testimonies_\nTestimonies\n\n_Hwang Keum-ju_\n\na draft notice for girls, who was going to go? Everybody\n\ncrying. I went. I dressed nicely and went\n\ntrain windows covered with tar paper\n\nNone of the girls knew\n\nJapanese soldiers on horses vast Manchurian field\n\nIt was now much too cold to sleep\n\nthanks to our body warmth, the sun rose\n\nI waited for them to send me to a factory\n\nThey could not possibly dump me here\n\nI was called Nagaki Haruko\n\nMy long hair was still braided\n\nAn officer told me that there were five orders to obey\n\nIf I missed any I would be less than dead\n\nI hoped one of the orders was for me to work at a factory.\n\nI looked at his jacket hung inside out to hide his name\n\nI looked at my virgin's braid at his knife He told me\n\nI was not going to any factory\n\ntold me to take off my clothes I told him\n\nI did not understand his order\n\nand his kind of factory and he laughed\n\nGirls arrived got sick pregnant injected\n\nwith so many drugs nameless animals\n\nexploded on top of us\n\nThe day of liberation Suddenly,\n\nno sound of horses the last soldier\n\nstood in the kitchen \"Your country is liberated,\n\nand my country is sitting on a fire.\"\n\nSo I left the barracks\n\nI walked\n\nI was alone and walked all the way to the 38th parallel\n\nAmerican soldiers sprayed me with so much DDT\n\nall the lice fell off me\n\nIt was December 2nd\n\nI lost my uterus\n\nI am now 73 years old.\n_Jin Kyung-paeng_\n\nmy mother and I were picking cotton\n\nwhen two Japanese _Kempei_ passed by\n\nshe told me to lie flat\n\nBut they found me\n\nkicked my mother\n\nput me aboard a ship then a bigger ship\n\nwhich arrived near Kinariyama, Taiwan\n\na place with many monkeys and snakes\n\npotatoes, sweet potatoes, taro\n\n50 women were not enough for these soldiers\n\nI remember a few of them Kanemoto Hideo\n\nHe treated us okay also\n\nOono Nakamura, Yoshida Kanjiro\n\nYamaguchi Higashi Inamochi\n\nI stayed with them until\n\nthe end of war One day in August\n\nthe soldiers gathered and wept\n\nIn March, we sailed to Pusan\n\nAn American GI gave me a bag of candy and 1,000 _won_\n\nWe bought rice\n\na good meal\n\nI was _wianbu_ between 14 and 19\n\nI became feverish I became infertile\n\nI remember the children of my dead husband\n\nI remember a good meal I am alone\n\nI looked like a stranger at home in Hapchon with my darkened skin\n\nmy mother thought she was dreaming\n_Kang Duk-kyung_\n\nmy school teacher asked me if I wanted\n\nto go to Japan do something good for the Emperor\n\nwe were led to a harbor\n\na cargo ship a train\n\nto a factory in Doyamaki where\n\nFood was so scarce we pulled grass, roots anything we could eat\n\ngirls died of hunger some went crazy\n\nI ran away was found by a Japanese soldier\n\nKobayashi\n\ntook me\n\nto a hut Every evening\n\nsoldiers\n\ncountless soldiers on the wild mountainside\n\nKobayashi\n\nAn unusually quiet day\n\nI found Japan had lost the war\n\nI sailed to Korea\n\njumped from the crates hit my stomach with fists\n\nI failed I named him Young-ju\n\nleft him at an orphanage\n\nmet him every Sunday\n\none Sunday\n\nI saw another boy in his clothes\n\nYoung-ju had died of pneumonia\n\nalready buried\n\nI thought of Kobayashi bringing me rice\n\nin his drunken stupor I thought of the piece of steel\n\nI took at the factory\n\nI found some of the steel so attractive\n\nI still believe he is alive\n\nsomewhere I want to believe\n\nthat all was just a terrible fate\n\nBut then,\n\nBut then\n_Kim Sang-hi_\n\nI was 14 years old It was around November 26th\n\nIt snowed, I remember. I was on my way home\n\nfrom the photo-studio with my portrait when a man in olive-drab clothing\n\ngrabbed me by the collar cursed in Japanese was he Japanese\n\nor Korean I could not tell\n\nI was thrown onto a truck of mournful sounds of weeping\n\nthese girls and I crossed the border into China\n\nthere was no poison no ropes\n\nIn Suzhou I was #4 I was Takeda Sanai\n\nThe first night an officer grabbed me\n\nI drank disinfectant\n\nbut I didn't die\n\nIn Nanjing I had malaria\n\nappendicitis hemorrhage in my vagina\n\nbut I didn't die\n\nIn Singapore I saw dark-skinned men digging ditches\n\nthey looked at us as if they would burst into tears\n\nIn Singapore the war ended\n\nwe boiled leaves from trees and wild greens\n\nwe ate this to survive\n\nWhen I made it back to Pusan Harbor\n\nI went to my brother's house in Taegu\n\nin his dream: I had shaved my head was drowning in the ocean\n\nbut I didn't die\n\nMy name is Kim Sang-hi\n\nI was born on December 20, 1920\n\nI was born into a good family\n\nI am a Catholic\n\nI should forget and forgive but I cannot\n\nWhen my head turns toward Japan I curse her\n\nI want to find solace but I cannot\n\nWhen I wake up every morning I cannot\n_Kim Yoon-shim_\n\nAn automobile drove up the road, something I had never seen\n\nbefore. The driver let me climb up and the truck rolled on\n\nthen kept on going\n\nand going and I begged them\n\nto take me back but I was thrown\n\ninto a cargo train a cargo ship Harbin\n\na comfort station where three truckloads\n\nof soldiers arrived One by one they raped all\n\nnight long with filthy wordless bodies\n\nmy child's body\n\nthey impregnated girls and still forced sex\n\nWhen a child was born\n\na blue-uniformed woman put the body\n\nin a sack and carried it away\n\nsoldiers used the \"sack\": _saku_\n\nreused condoms girls got sick\n\nWhen a girl got too sick\n\na guard wrapped her body\n\nin a blanket and carried her away\n\nSuch was our life\n\nlook at my fingers\n\nwhen I ran away the police smashed my hands\n\nweaving a stiff pen between my fingers\n\nlike this.\n\nAnother year passed\n\nlike this.\n\nIn June 1945\n\nwhen the camp seemed deserted\n\nI escaped and ran all night\n\nin a month I reached Korean shores\n\nIn Harbin, I saw at a stream a hand\n\nof a sick girl\n\nwho had been buried alive.\n\nIn my dreams, she is still reaching\n\ntoward wider waters\n\nmy hands with their crooked fingers\n\ncannot help her\n_Pak Kyung-soon_\n\nThere was a man about 45 years of age with a mustache\n\nwho told me to work for Japan\n\nand meet my brother in Hiroshima\n\nThe man said my refusal might not be good for my parents\n\nThe man and his men took me to Shimonoseki\n\nI was led into a room I was told to take a bath I was told\n\nto take off my clothes\n\nI only begged that I meet my brother\n\nWhen they finally took me to Hiroshima, my brother was alone\n\nin a big, empty room he asked if I came\n\nas a \"comfort woman\" and I promised\n\nI would return\n\nto see him again\n\nWhen flower buds were about to appear\n\nI was taken to Osaka In its room\n\nI was Number 10 I was then\n\na \"comfort woman\"\n\nI became so sick with syphilis I could not walk\n\nOne night an officer came and told me to get ready\n\nI was in such great pain the next thing I remember\n\nis arriving in Seoul It was June 1945\n\nImmediately I had a miscarriage\n\nThe mustached man learned of my return\n\ntold me to return to the \"comfort station\"\n\nTo avoid the draft again I got married\n\nour new life a rented room\n\nI could smell the odor of my weekly \"#606\"\n\narsenic for syphilis\n\nMy baby discharged pus from his ears\n\nwas called crazy\n\nMy brother returned home with burns and lumps\n\nall over his body from radiation\n\ndischarged disintegrated bone\n\nthe size of teeth near his wounds\n\nThe Japanese soldiers discharged\n\ndischarge out of charge into\n\nevery room\n_Kim Soon-duk_\n\nthere was \"girl delivery\" just like\n\nfarmers' mandatory delivery\n\nof harvested rice\n\nto the government. I wanted to hide\n\nbut what if my mother was captured\n\nin my place\n\nMy mother was needed at home Mother\n\nMother I decided to go\n\nthey promised a job as a military nurse in Japan\n\nMother a man gathered us near the county office\n\nand took us to Pusan to Nagasaki\n\nThat night the girl next to me went missing\n\nEach night they sent several virgin girls to military officers\n\na military officer came to me and said\n\nevery young girl experiences sex in her lifetime\n\nthat I might as well do it now\n\nthey took us they took us to Shanghai to a ruined village\n\nmy body a ruined village a damaged house\n\nour manager gave me packets of black powder\n\nto reduce my bleeding from the vagina\n\nHe then told me it was made\n\nfrom a leg\n\nof a Chinese soldier's corpse\n\nI dream of human legs rolling around I dream it to this day\n\nI scream to wake myself up Mother Izumi\n\nhe was kind to me I told him about my thoughts of suicide\n\nHe was surprised so surprised\n\nhe sent me home sent me letters\n\nI did not reply. I had my new life to live:\n\nas a washerwoman, a street peddler and I did other things too\n\nbut Mother the hardest time was when I was dreaming of suicide\n\nwhile soldiers were standing in line to satisfy their lust\n\nin the ruined village\n\nwhen I was dreaming of legs that could not go anywhere.\n_The Confessions_\nAn Ordinary Misfortune\n\nHunting ground with knife-ghosts. Clubbed raw. My body, ground down. You'd think a former comfort woman would hate the Japanese. I don't. I hate men and I hate sex. I hate the sight of my son-in-law, who lives in this house. I've been living a robbed house. My room became unfit for children. How could I put a child in a haunted place. Nothing can grow in this blubber and blood. My husband found lovers somewhere else. I found my daughters somewhere else. I love them with the longing of a house no one occupies. They sometimes put their hands on its creaking walls and say, _What's wrong? What's wrong?_ Every door is closed. 70 years and no one knows. No one who knows my past is alive. Girls at the comfort stations, we were all children then.\nFetish\n\nLet me tell a Korean joke.\n\nA woman puts on her white clothes for mourning\n\nand goes to a wake. She wails for hours, then asks,\n\n_So who died?_ I think about this woman\n\nand her performance of grief. The essential grief.\n\nColonial-era Japanese historians were sure\n\nthe white pottery and clothes of Korea show perpetual\n\nsorrow. Poverty of color, incapacity for pleasure\u2014\n\ncountless foreign invasions turned the people blank\n\nand hollow, cursed to eternal mourning.\n\nThose historians spoke pity for the peninsularians\n\nand their endearing purity of a spotless vase.\n\nBut perhaps that joke is funny because the woman\n\nfeels no grief. Perhaps she is a moirologist, which means\n\nprofessional mourner, but sounds more like some kind of\n\nscientist. Perhaps she is both, her research field, sorrow.\nRoyal Azalea\n\nMy friend. You can't tell me apart\n\nfrom my sister, my cousin. My friend.\n\nYou want to pluck away\n\nat my gut. Digest my origins, crush me\n\nwith your teeth.\n\nThere are mountains of me.\n\nFluorescent, inflorescent.\n\nInfrared: mountains of us.\n\nFind me with azalea. Confuse me\n\nwith azalea.\n\nFind constellations where I open.\n\nRoyal flush\n\nof my skin: you've found\n\nmy nectar guide.\n\nTouch me underneath\n\nmy regalia, I'm viscid.\n\nTaste me, I'm sweet. You won't even know\n\nthe toxin on your tongue,\n\nin your gut now.\n_Don't Touch Me_\n\nMacKinlay Kantor's 1951 novel is _savagely outspoken_! Air Force men in Japan and wives of men transferred to the front. Wives are greedy. Hungry for men. Sing-song girls perch in the exotic gardens of Kumbawa, the exotic backwash of the Korean War.\n\n*\n\n_Konnichiwa,_ a street vendor tries me in a sing-song voice. What, no _ni hao_ this time? I would have said, if I were more outspoken. I could be Japanese. An exotic backwash.\n\n*\n\nMacKinlay, lend me your words: I could be a garden. Awaiting the Male. To whom the Male came seldom. Who sings with a thin voice, bits of lace that flash beneath the hems, wonderful female things. To whom the Male is the carrier-arounder, the thrower-arounder. Who is the receptacle. That goes back to the caves. Maybe past. Oh, I would smell of Asia. A Geisha-Schmeisha. I might be horizontal. Little things, pretty things, the gilt shelves of rare teacups, the inlaid coffee table with its carvings. A fresh new spice to taste. Touch and taste. Fruit and flowers. Spice and incense. Cloudy breath amid my draperies, emanating from my strange other-worldly body. I could be this. Greedy and hungry for men. Singing songs of my conquerors. Savage.\n\n*\n\n\"Kumbawa,\" \"syanata\"? Mac, they're not even said right. _Konnichiwa,_ on the other hand, is.  \n\"Ah so desska,\" you say.\n\n*\n\nMan, you want to explore sex as practiced among the _Japanese._ I would smell of Asia. Spice and incense. You think, _I should know the silky menace of your_ _touch, the violence of your gasping effort, the shudder of fulfillment, the invocation_ _growled in your throat when explosion wracks you. Without that, I am_ _incomplete._ You think that without you, I'd be incomplete. Conqueror. Carrier-arounder. Thrower-arounder.\n\n*\n\nTell it to him straight, Mac: mingling your body with that of a _Japanese woman_ , flesh against flesh, fluid touching fluid, you violate yourself. This race! Raw fish, polluted pickles. Toilers, gesticulating shopkeepers, pitiful elders, men and women knobbed and bony. Skimpy hair twisted to a horror. I would smell of Asia. Man, my race oozes from bamboo and other thatching. Goes back to the cave.\n\n*\n\nA man brings the needle to the thread, a woman brings the thread to the needle. Maybe there's something phallic about that. Okay, Mac. If I were an exotic garden of needles,  \nI'd let you touch me.\n\n*\n\nI'm being as honest as a woman can.\nBell Theory\n\nWhen I was laughed at for my clumsy English, I touched my throat.\n\nWhich said _ear_ when my ear said _year_ and year after year\n\nI pronounced a new thing wrong and other throats laughed.\n\n_Elevator. Library._ Vibrating bells in their mouths.\n\nHow to say _azalea_. How to say _forsythia._ Say\n\ninstead golden bells. Say _I'm in ESL._ In French class\n\na boy whose last name is Kring called me _belle._\n\nCalled me by my Korean name, pronouncing it wrong.\n\nCalled it loudly, called attention to my alien.\n\n(I touched the globe moving in my throat, a hemisphere sinking.)\n\nCalled me across the field lined with golden bells.\n\nI wanted to run and be loved at the same time. By Kring.\n\nAs in ring of people. _Where are you going? We're laughing_ with _you._\n\nThe bell in our throat that rings with laughter is called uvula. From _uva:_ grape.\n\nA theory: special to our species, this grape-bell has to do with speech.\n\nWhich separates us from animals. Kring looked at me and said\n\n_Just curious, do you eat dogs?_ and I wanted to end my small life.\n\nBe reborn a golden retriever of North America.\n\nLie on a field lined with golden bells, loved.\n\nToday, in a country where dogs are more cherished\n\nthan a foreign child, an Oregon Senate candidate says no\n\nto refugees. Says, years ago, Vietnamese refugees ate dogs,\n\n_harvested_ other people's pets. _Harvest_ as in _harvest_ grapes.\n\n_Harvest_ as in _harvest_ a field of golden rice. As do people\n\nfrom rice countries. As in people-eat-dog worlds.\n\nYears ago, 1923 Japan, the phrase _j\u016bgoen gojissen_ is used\n\nto set apart Koreans: say 15 _yen_ 50 _sen_. The colonized who use the chaos\n\nof the Kanto Earthquake to poison waters, set fire: a cruelty special to our species.\n\nA cruelty special to our species\u2014how to say _j\u016bgo_ , how to say _gojit_ ,\n\nhow _j\u016bgo_ sounds like die in Korean, how _gojit_ sounds like lie\u2014\n\n_lie, lie, library, azalea, library_.\n\n_I'm going to the library,_ I lied, years ago, on a field lined with forsythia.\nAmerican Dream\n\nThe alcove of your arm\n\nhas become my favorite room\n\nfor sleep, but I've been roused\n\nby nightmares lately. _Even thunderstorms_\n\n_couldn't wake you,_ my mother says\n\nover the phone. I want to tell her\n\nI've been seeing a white man, an American\n\nman, but I can already imagine her:\n\n_Well, you can have friends_. She had never meant\n\nfor me to become a Westerner\u2014\n\nshe's afraid of losing me to a _foreigner,_ being unable to speak\n\nto her future grandchildren. Thousands of miles away\n\nin Korea she asks if anything is wrong. I want to laugh.\n\nSay to you, _Isn't she ridiculous?_ But\n\nlast night a Korean man broke into your room\n\nand raped me, with you calm in your repose\n\nnext to me. He sat on my stomach with a knife,\n\nthe only gleaming thing. And you were still\n\nin your platinum skin when I opened my eyes. _How_\n\n_can anything be wrong,_ I comfort my mother.\nHair\n\nMy mother would straighten then wind the cord\n\nof the hair dryer around its oblong trunk,\n\nits mouth curving out to a flat triangle like a delta,\n\nafter it has done its duty of releasing streams of strong air\n\nfor our heads, then said, _See? We have to keep neat_\n\n_everywhere._ At the age of six, when I started drying\n\nmy own hair, the dryer was heavy and unwieldy in my hands,\n\nso often my head was patches of dry and wet,\n\nbut I would wrap the dryer with its cord carefully and\n\nwith precision, unlooping any bump to coil again,\n\nadmiring how the tight spiral with its consistent shine looked\n\nindeed like perfect wet hair. It wasn't until my early twenties\n\nmy hair started to curl on its own, and my mother said,\n\n_My world! Your hair is turning into your father's!_ How peculiar is it\n\nthat when I wanted wavy hair as an adolescent, to be more\n\nlike the white girls I cherished, my hair was obstinately perpendicular\n\nto the earth. How peculiar is it that these girls\n\nwould stroke my long dark hair and told it how so smooth &\n\nlovely it is. Fetishization I welcomed for long.\n\nSummer days and the popular girl saying _I_ _would kill_\n\n_for your skin tone,_ my mother's friends whispering to her,\n\n_Why did Jungmin tan so much,_ like I have a reason\n\nfor being a color at some place and at some time\n\nand there is a straight line between bad and goodness\n\non which I lay my unbeautiful body precariously.\n\nAutumn morning. Leaves begin to split and crimp in the cold,\n\n& holding the dryer, I still do this slow meandering.\nObeli\n\nHow fitting the obelus\n\ndotted the margins of ancient manuscripts,\n\nmarking spurious passages, then became the symbol\n\nfor division, one line balancing a circle above\n\nand a circle beneath, two heads never to touch\n\neach other. How our peninsula became one\n\nobelus. How swift the sunderance\n\nof families. How fitting that division\n\nis military. In elementary school, we learned\n\ndivision, its quotient and remainder, sang\n\nabout reunification, brought bags of rice\n\nfor our northern half, not knowing\n\nthe spurious passages they would travel,\n\nthat the white grains never touched the hands\n\nwe held in our paintings. How enduring the sunderance\n\nof lovers. How the obelus gets its name from a spit,\n\na lance, how in college my Korean boyfriend registered\n\nto fulfill the compulsory military service, how\n\nhis American friends joked about killing all the North\n\nKoreans, beheading them, how when he laughed,\n\nit was as though his shaved head was of\n\nsomebody else. How I thought about reunification again,\n\nwanted the armistice to be over, to be brought\n\nto swift justice for my sake.\nMy Grandmother Reminisces with Peaches\n\nPeaches you eat at night.\n\nIn the dark you can't see the insect bites.\n\nHow do they find the sweetest fruit?\n\nYour grandfather would find it\u2014the one\n\nunblemished peach in someone's orchard\u2014\n\nand cool it in the stream for me.\n\nI married him that year.\n\nHe wasn't a romantic, you know.\n\nBut he always left a basket of peaches\n\nat my feet in the summer.\n\nI carved pieces of that viscous fruit\n\nand placed them on the parted lips\n\nof my sleeping children. And they rose\n\nchewing on the pulp.\n\nLook at how my garden balsam has bloomed.\n\nDye your fingers with its petals\u2014see if it lasts till first snow.\n\nSnow, what precious flower in this region.\n\nWith my ear resting on his chest, I could imagine its blossom.\n\nMy cheek dreamt well on his heart.\nAn Ordinary Misfortune\n\nThere was a man. A Japanese soldier. One that did not believe in old superstitions. One that did not believe in sex before battle as charm against harm. He was an odd man. One that did not carry an amulet with pubic hair of a comfort woman. Or any piece of her. His comrades said, _Be a man._ The equation is, an odd man out is not a man. There is no reason for logic in war. There is no reason. There was a man. His comrades said, _Come raid, come pillage._ Pushed him into the station. Their eyes on the holes in the wall. Watched as he came. Became. What is the equation here. There is a no equation here. There was a man. One who said weeping, _I am not a man, I am not a man._\nAutopsy\n\nYour fingers crowned with meat hooks and cleavers.\n\nYou holding me and whispering, _Who did this to you?_\n\nsawing me into a shallow boat.\n\nYou did, you did, you did, and you, and you, and you,\n\nyou did this to me in my home, you did this while crying.\n\nI cannot make a sound as though my mouth is full\n\nof honey. Of a colony of bees. Honey, honey.\n\nYou lift my skin. Inside it lives your dream of forests\n\nwhere snow grows old and you are young,\n\ncold and white and lonely\n\nwithout my suffering, and you want to say, _Not me,_\n\n_not me, I wouldn't hurt a bee,_\n\nbut honey. Inside my blood and bone\n\nand their network of tendon and meat we have,\n\nyou and I, our histories of hunting\n\nand being the beast. If not,\n\nwhat are we doing here, my dead body\n\nand you, assessing my death,\n\nlooking at your hands like a fool,\n\nlike a child who finds that a dandelion will die\n\nonly after he has plucked it?\n_The After_\nAn Ordinary Misfortune\n\nOkamoto condoms are number one in Korea. The 001 series. The 002, 003. The thinnest. The pinnacle of condom technology. The pinnacle of pleasure. A wonder. No wonder. Who wouldn't want that. On Okamoto's website: SKINLESS SKIN: a popular condom since postwar (which war?). No mention of Totsugeki Ichiban: meaning: Charge Number One, Assault Number One, Attack Number One, Attack Champion, Attack and Blast, choose your own definition. Who wore it? Who wore it best? In comfort stations, there weren't enough Number Ones. Attack and Blast, rinse, attack and blast, repeat. The girls' skinless skin. Blasted, postwar (which war?): _gyokusai_ : meaning: \"shattered jade\": better a broken jewel than an unbroken tile: honorable death: erase any evidence: the girls' skinless skin. Blast more holes into their bodies. 000.\nAn Ordinary Misfortune\n\nShe offered him head because he wanted her whole. _You could at least blow me,_ he offered. She didn't want to offend. He was taking his pants off. _Are we on?_ he said. She was in love. She said _I'm in_. When she couldn't finish him off, he was put off. She should've put out. Because _Look what you did,_ he said. _Look what you did. That wasn't even worth it._ He felt blue. She felt bad. She sucked. She blew it. She remembered Googling _putting_ _out_ and finding: _Chris lost interest in Ashley because she wasn't putting out. Joe dumped his girlfriend because she won't \"put out\" for him. If a gal doesn't \"put out\" by the third date, I dump her._ Something was off. _Guys are like that, though, guys need it more_ , she had been offered. It's her fault if she turns him on, doesn't get him off. If he wanted her whole. If he left. _Whore. Girls always use sex to get what they want_ , someone had cracked. The teacher was showing versions of _Judith with the Head of Holofernes._ Klimt. Caravaggio. Gentileschi. Allori. She remembered Allori. Judith looking out at her. Holding the head by the hair. As if to offer. To allure.\nFear\n\nI wanted to carve it out of me\u2014\n\nbecome a fjord flanked\n\nby historic cliffs. How else\n\ncould I write the years\n\nI did not live. I wanted the space\n\nfor fear emptied, teem with lives\n\nlike the black-and-white photos\n\nof Max Desfor's.\n\nI don't know what I expected to feel\n\nin front of his Korean War photograph.\n\nThe image that won him the Pulitzer\n\nheld refugees crawling a wrecked bridge,\n\nbut this wasn't it\u2014\n\nit was a pair of hands,\n\nblackened fingers sprouting out of snow\n\nwith a hole above them.\n\nDesfor says, in a screen behind me,\n\n\"The man's hands were bound and that black hole\n\nwas where he breathed his last.\"\n\nThat black hole, that sphere\n\nof fingers. That oceanic arm, that fjord\n\nof mine. Holding what I had believed\n\nto be void. Voice,\n\na fearful current. Underneath,\n\nbodies of light,\n\nof water.\nLet Us Part Like This\n\nOn winter nights Koreans heard infant cries\n\nfrom distant wood owls. An abandoned newborn\n\namidst black trees, unaware\n\nthat it may be a bird. Allow us\n\nto be like that. Let us speak these words louder\n\nthan pines cracking in the snow. Walk far from us.\n\nMistake us for howling animals.\n\n_That's ten of them, that's a hundred of them that we left_\n\n_behind. Maybe hundreds, maybe thousands._\nNews\n\n_For the victims of the MV Sewol disaster of April 16, 2014_\n\nThere's an article on how to eat an apple.\n\nBut I am eating a pear and thinking\n\n_pear_ in Korean is a homonym for _ship_ or _boat_\n\nand _stomach,_ how MV Sewol sank, how _sewol_\n\nmeans _beyond the world_ and homonymous with\n\nthe _passing time or life._ It carried mostly young students\n\non a school trip, told to wait in the stomach of Sewol while\n\nthe captain and crew fled. Divers pull bodies, find a boy and a girl\n\nstrapped together by life vests. Koreans wear yellow ribbons, unbury\n\nthe young dead from the salts of too-quick passing life. A letter pasted\n\non a bottle atop the walls of their high school reads: _I have loved you_\n\n_for a year. Sewol,_ how did I love at seventeen? Lull the clot\n\nin my stomach? Watered with tears, the pit grew vines\n\naround my veins, and I coughed petals. I surrendered\n\nand cried, I love, I love! and lived. I am sick\n\nof the smiling slices of pear. The right way to eat\n\nan apple is: top to bottom, swallow everything. Waste nothing\n\nexcept seeds. A homonym for _apple_ is _apology_. I am sorry,\n\nI say to the pear's core, to the seeds in the sunken belly.\nAn Ordinary Misfortune\n\nNews reports that in the Philippines, more Koreans than locals are killed. _Because of the gangs. Because Filipinos think Koreans are rich. Because Filipino laborers return from Korea with a bad taste in their mouths._ More \"Korean Desks\" in the police _for the safety of our people._ In other news, Korea leads in: tourists, businessmen, students looking for a guiltless fuck, guiltless departure, saying, _These Filipinas, these children can't find me._ Nothing but a bad taste in their mouths. Nothing but an emptied desk. In other news, two boys file a suit against their Korean father. Say, _Were you not in the Philippines with us for 7 years?_ Say, _Won't you take a DNA test?_ Do the same men read about comfort women and rage with all of us, keep bibles in their desks and preach, _Violence begets violence_? Curse aloud, _Damn Filipinos taking Korean lives?_ The boys win the suit. Their father says, _This will break up my family_.\nNotes\n\n_Japan and S. Korea have an agreement on the \"Comfort Women\" issue,_ _December 28, 2015_\n\nPictures of two men shaking hands: Foreign Minister Kishida and Foreign Minister Yun.\n\nThe \"Government of Japan confirms that this issue is resolved finally and irreversibly with this announcement.\"\n\n(1 billion yen = $8.3 million US)\n\n\"The Government of the Republic of Korea acknowledges the fact that the Government of Japan is concerned about the [ _Comfort Woman_ ] statue built in front of the Embassy of Japan in Seoul from the viewpoint of preventing any disturbance of the peace of the mission or impairment of its dignity.\"\n\nStatue: Bronze. Hair ripped short. Short. Empty chair to her right (to remember the others). Small (is only a girl). Small feet on small toes (unable to tread with ease). _How can we sleep with feet stretched when_ . . . (common Korean expression)\n\n\u2014also where former comfort women and citizens have gathered every Wednesday for the last 24 years (demanding peace, dignity) (yellow butterfly badges)\n\nVideo of Yi Yongsu, to junior foreign minister Im: Why are you trying to kill us twice? Did you exclude us because we're uneducated, too old? Because you think I don't know anything?\n\nWill you live this life for me?\n\nWall Street Journal posts translated agreement. One person comments.\n\n_S. Korea must realize that the offensive statues of the comfort woman have been and will be the symbol of S. Korean perjury and calumny. Comfort women dedicated to raise soldiers' morale and spirits, and to prevent rape crimes in countries.*_\n\n*(Rape to prevent rape, prevent disturbance of peace, impairment of dignity)\n\nWe used to believe butterflies pulled spring over the earth. How many springs now. Ask the deranged butterfly to dance\u2014it will not.\n\n(Average age of the surviving women: 90)\nOn the Day of the Gyeongju Earthquake, September 12, 2016\n\nAll I want to think about is love and gratitude,\n\non the escalator in Busan Station, having put you on the train\n\nback to Seoul, avoiding the eyes of the doomsayer on the staircase\n\nnext to my descending steps, as he screams death upon those\n\nwho don't accept God. The end is coming, so come to church.\n\nOr the earth will split open to swallow you and you won't\n\nbe saved. He spits a different miracle on each face. God slits\n\nthe sea down the woman behind me. Flame bursts into the world\n\nand water fills it, then overflows. It is not that I don't fear water\n\nand fire. It is not that I don't believe in God. We already kill\n\nand die with water and fire. An ocean away the police will shoot\n\nTerence Crutcher then Keith Lamont Scott and it will not be the end\n\nand here Baek Nam-gi will die from a water cannon and none of this\n\nwas for not believing in the right power, which is God.\n\nThe doomsayer says we must surrender and he is sure of this.\n\nAcross the station, windows of love motels light up then dim\n\nas lovers enter the room, empty for, empty into each other.\n\nThe end of summer is coming. I have now walked far away\n\nfrom the man. It is not that I don't believe in God. For once all I want is\n\nto think about love and gratitude, thank God for all our lives.\n\nWhen the earth begins to tremble, I look back to the station\n\nalready emptied of your train. No one will die from this,\n\nnot today, not today, but people embrace, touch each other by the wrist\n\nby instinct. The man stands alone, like me, his arms lifted,\n\nperhaps in surrender, perhaps in gratitude.\nBetween Autumn Equinox and Winter Solstice, Today\n\nI read a Korean poem\n\nwith the line \"Today you are the youngest\n\nyou will ever be.\" Today I am the oldest\n\nI have been. Today we drink\n\nbuckwheat tea. Today I have heat\n\nin my apartment. Today I think\n\nabout the word _chada_ in Korean.\n\nIt means _cold_. It means to _be filled with_.\n\nIt means to _kick_. _To wear_. Today we're worn.\n\nToday you wear the cold. Your chilled skin.\n\nMy heart kicks on my skin. Someone said\n\nwinter has broken his windows. The heat inside\n\nand the cold outside sent lightning across glass.\n\nToday my heart wears you like curtains. Today\n\nit fills with you. The window in my room\n\nis full of leaves ready to fall. _Chada_ , you say. _It's tea_.\n\nWe drink. It is cold outside.\nForeigner\n\nyou said you counted the ladybugs on our way home;\n\nthat you counted exactly twenty; you lifted one off your shirt\n\nand it flew into sparsely leaved branches; you ask me to pronounce\n\nKorean words; _say winter again; say autumn; ky\u014ful; ka\u016dl;_\n\n_say I sometimes think of you; say it is just so;_\n\nyou repeat each like a tender bird; ladybugs hibernate in warm houses;\n\ndid you know that they're called Asian lady beetles too;\n\nare they transplants like us; ladybugs are only pests by their presence;\n\nI wouldn't harm you either; not even your belongings; next to you\n\nmy small mind shivers like some forty wings.\nSometimes when I'm walking on this street\n\nI want to lie down on that patch of dirt and grass.\n\nI'm tired and lonely. On the bus the other day\n\nwe passed by an albino tree. You were next to me\n\nand said we need to go back there and look at it,\n\nthen flew out the next day. Does white seem cold\n\nor hot to you. We can pretend the tree was full\n\nof ember. On this street are yellow leaves, cool\n\nand aloof. This morning I woke up shivering.\n\nI'd like to tell you of the dream I had, how\n\nI was on a bus to Anmyeondo. I was alone\n\nbut you were next to me when we got to the sea.\n\nI'd like to tell you that we found our way\n\nto the island. But I've forgotten everything else.\nEasily written poem\n\n_After Yun Dong-ju_\n\nFrom the floor of my room in a foreign land. Morning breaks open\n\nwith newspapers, each one with terrible promises\n\nof deportation and imprisonment and murder of my friend, a poet,\n\nthen another, until they are all gone.\n\nI ran out into the streets though it was not enough.\n\nI screamed out in horror though it was not enough. The sun began\n\nto sink faster, pouring dark over our hair, and I was scared. Still I was selfish\u2014\n\nI found blessed time to write a line lush with songbirds, meteors, and bees,\n\ntuck my notebook under my arm and saunter here, and there, and here.\n\nMeanwhile bombs, drones, and other winged creatures vanished from our sight\n\nand into the living, where we won't find them.\n\nWe continue to hum and eat because we can. We sigh and we write\n\nand we read things like this: _a harmless male bee without stingers is called_\n\n_a drone; it cannot sting to save its own life._\n\nI lie down. This is the floor. In a foreign land.\n\nThis is the vanishing line. This country, here, there, here.\n\nSilly girl. Silly, silly girl for thinking that writing line\n\nafter line of beastly beatitudes will help her. How silly,\n\nhow silly, silly, silly, silly.\nSay Grace\n\nIn my country our shamans were women\n\nand our gods multiple until white people brought\n\nan ecstasy of rosaries and our cities today\n\nglow with crosses like graveyards. As a child\n\nin Sunday school I was told I'd go to hell\n\nif I didn't believe in God. Our teacher was a woman\n\nwhose daughters wanted to be nuns and I asked,\n\n_What about babies and what about Buddha,_ and she said\n\n_They're in hell too_ and so I memorized prayers\n\nand recited them in front of women\n\nI did not believe in. _Deliver us from evil._\n\n_O sweet virgin Mary, Amen._ O sweet. O sweet.\n\nIn this country, which calls itself Christian,\n\nwhat is sweeter than hearing _Have mercy_\n\n_on us._ From those who serve different gods. O\n\nclement, O loving, O God, O God, amidst ruins,\n\namidst waters, fleeing, fleeing. _Deliver us from evil._\n\nO sweet, O sweet. In this country,\n\npoint at the moon, at the stars, point at the way the lake lies,\n\nwith a hand full of feathers,\n\nand they will look at the feathers. And kill you for it.\n\nIf a word for religion they don't believe in is magic,\n\nso be it, let us have magic. Let us have\n\nour own mothers and scarves, our spirits,\n\nour shamans and our sacred books. Let us keep\n\nour stars to ourselves and we shall pray\n\nto no one. Let us eat\n\nwhat makes us holy.\nTo the Winter Apricot Blossom\n\nDid I trick you,\n\nwith the glow from my window,\n\nthe warmth of my skin?\n\nIt started with a lone flower,\n\nember-like in the lifting dusk,\n\nburgeoning on the branch\n\nnosing into my room.\n\nAt night the floret shadow dropped\n\nonto my page, my arm, my poem.\n\nIn the snow you were heavy\n\nwith a hundred bulbs\n\nto light the winter into spring.\n\nA cold misty morning.\n\nYou alone illuminate the sky,\n\nsmall lanterns, red, bursting lobes.\nThe Transformation\n\n_In early 2016, 13 sperm whales beached themselves_\n\n_on Germany's North Coast, their stomachs full of plastic litter._\n\nI was once naive enough to be a woman. I once had a car\n\nsilver and new, and drove it over paved roads trilling with rain.\n\nI took it to a pebbled beach lean with ebbing tide, pools of fish\n\nhere and there. I could see them, small and lustrous. In deeper waters\n\nwere hairtail, and cuttlefish. Hairtail were called knife fish\n\nin my language. If you're shipwrecked, some say,\n\nknife fish are the first to wrap around you\n\nand pick you clean. Silver ribbons sweet\n\nwith human meat. But I was no fool. I shed my coat,\n\nmy cardigan, my scarf, my hair, and other things of lean beauty.\n\nRain made my skin stick. I was sickened to my stomach\n\nwith the affairs of human concern. Guns and stupidity, mostly:\n\nit was ignorance that hurt us best. Loathing, too, but it is son\n\nto ignorance, a sleek cage. People who love the cage felt snug\n\nand protected. They wheeled it over others, crushing them,\n\nsurprising them. I lay in the eerie water. It streamed over me\n\nand other live things, changing us, scale\n\nby scale, strand by strand. It wasn't fair that fish could see color,\n\nand whales could not, but I was okay: I loved my new body.\n\nI don't know what kind of whale I was. In the ocean\n\nthere were no mirrors. Pieces of glass and other gleaming debris,\n\nI ate. Hairtail stood like hair and stared at me with their dumb eyes.\n\nA diver once came down to photograph my eyes, then left without showing me\n\nmy likeness. I swallowed squid, and their beaks clattered\n\nagainst the plastic in my stomach. Once I was naive enough to think\n\nto starve with a full stomach meant filling yourself with water.\n\nI then knew that it meant filling my new silver belly with a thousand pieces\n\nof manmade waste. I ate parts from cars just like mine. I ate bags\n\nclear and cloudy, they were blurs to me. Human affairs. How unusual,\n\nhow fantastic it feels to be here again, air again, the tide ebbing,\n\ngray sand drying on me\u2014to see a bird fly again, its wing like the belly\n\nof an insect-creature I once saw on the ocean floor,\n\nstriped and dead. Look: such slender beauty of things.\n\nShadows, leaves, rows of clouds pushed\n\nby some animal wind.\nDream Devil\n\nA devil must occupy my dream,\n\nfor who else would design\n\nmy nightmares, though\n\nthey are not truly mine\u2014\n\nI cannot control their cities\n\nnor their rivers full\n\nof bodies.\n\nI clutch your hair\n\nlike a drowning person reaching\n\nfor floating straw. Maybe it's you\u2014\n\nyou keep me from rest. When I speak\n\nKorean with my mother on the phone\n\nmy native tongue is a code.\n\nYou, a secret.\n\nStill, you form your body\n\naround me, so close that\n\nmy dream occupies your dream.\n\nI navigate your sleep,\n\nwhat you contain is mine\u2014\n\nyour sick cats I resurrect\n\nas black lions. Your tormentors:\n\nunderwater. I summon bodies, and bodies\n\nof water, and you walk around them\n\nin circles. Like this, we grow old together\n\nwithout you seeing me.\n\nBut morning comes as suddenly\n\nand surely as any morning. You are here,\n\nbeside me, fifty years younger\u2014\n\ndear God, I have missed you.\n\nI wait for you to wake.\nTime, in Whales\n\nOur legs of yellow skin next to one another,\n\ncalves spread, I think of beached whales, the arcs of their bellies,\n\nclean and gleaming. A whale would lie in the shape\n\nof something cold, the body sipping on itself\n\nlike a drain. Gravity sucks a whole whale onto sand.\n\nYou study Korean, whispering, _muror\u016dda, muror\u016dda,_\n\nmeaning, literally, _water rises,_ but really meaning, _to improve_\n\nor _to rise in sap,_ in springtime trees. Come spring, it will be your birthday.\n\nWe will have seaweed soup, supply our blood with oxygen.\n\nDo you know that Koreans do that, because hundreds of years past,\n\nthey saw whales eating seaweed after giving birth?\n\nYou cross your legs, their hair black and coarse like my father's\n\nand my grandfather's across the ocean. And do you know that whales have hair?\n\nPerhaps a sign of their past when they walked the earth?\n\nSummer of years past: your father across the same ocean to bring you\n\nto America, where you would grow up speaking a language\n\ndifferent from mine. Do you know that whales, too, detect where one another comes from\n\nthrough song? That music I hear is yours and ours. _Muror\u016dda._\n\n_Muror\u016dda._ Water rises. Whales die in this year's hot winter.\n\nYour father has told you of the summer, the dank heat.\n\nYour foster mother ran after you, you already asleep in your father's arms,\n\nwailing your name. You will not be called by that name the next day\n\nand years will pass by. But when you're ten, you will write about that story\n\nand spell _wail_ as the animal, whose breath is a distance, spouting steam,\n\nthe great animal that becomes crushed by air and sprayed with words\n\n_Man's Fault_. And yes, so perhaps the world will end in water, taking with it\n\nall loving things. And yes, in grace. Only song, only buoyancy. You rise now\n\nwhispering _murollida, murollida_. Meaning, literally, to _raise water_ ,\n\nbut really meaning to _bring water to a boil_.\n_Author's Note_\n\nFor me, poetry provides a space in which intertwined languages and historical narratives are celebrated\u2014a space in which I conceive disasters, failures, and traumas, lending them my own perspective, dimension, and articulation. My poetry does not exist to answer, but rather to continue asking, questions about my immigrant, ESL, Korean, and womanly experiences, and the violent history of twentieth-century Korea.\n\nAs poems on the \"comfort women\" of the Japanese Empire are in the heart of this collection, I'd like to mention my position in writing their stories. In 1991, the year of my birth, Kim Hak-sun became the first former \"comfort woman\" to offer public testimony of her life as a sex slave. As more and more former \"comfort women\" of the Japanese Empire began to share their testimonies, it was clear: they were speaking from within, not for, a community. They put their voices together for reparations and recognition of their, and the Empire's, history. I'd like my poetry to serve to amplify and speak these women's stories, not speak _for_ them. I'd like my poetry to remind readers that even if a part of history may not seem to be relevant to their lives, it is\u2014it is their reality too. An experience that is not mine is still part of the society and world that I occupy. It is crucial to know, listen, tell, and retell various stories, so we may better theorize and understand our existence.\n\nIn the realm of poetry, one can transcend the sense of belonging confined by temporal and geographical lines. In this transcendence, I return to my departed ancestors\u2014to their frustration of tongues and identities, and experiences of diaspora\u2014from the Japanese occupation to the turbulent years in Korea before my birth. Poetry is not just relief; poetry is tension. Poetry is departure. Poetry is return. Poetry is memory. I wrote this book to say that one has the agency to command and preserve their own narrative.\n_Acknowledgments_\n\nSome of the poems in this manuscript also appear in the chapbook _Ordinary Misfortunes_ (Tupelo Press, July 2017). The individual poems originally appeared in the following publications, sometimes in earlier versions:\n\n_Apogee_ : \"On the Day of the Gyeongju Earthquake, September 12, 2016\"\n\n_Berkeley Poetry Review_ : \"An Ordinary Misfortune\" [She is girl . . . ]\n\n_The Collagist_ : \"Dream Devil\"\n\n_Day One_ : \"Fetish\"\n\n_The Journal_ : \"An Ordinary Misfortune\" [There was a man . . . ] and \"Comfort\"\n\n_The New Yorker_ : \"Time, in Whales\"\n\n_The New York Times Magazine_ : \"Autopsy\"\n\n_The Offing_ : \"An Ordinary Misfortune\" [Mine is the jam-packed train . . . ] and \"An Ordinary Misfortune\" [Okamoto condoms . . . ]\n\n_OmniVerse_ : \"Foreigner,\" \"Notes,\" and \"To the Winter Apricot Blossom\"\n\n_PEN Poetry Series_ : \"The Transformation\"\n\n_Pinwheel_ : \"An Ordinary Misfortune\" [Hunting ground . . . ], \"An Ordinary Misfortune\" [News reports that . . . ], and \"An Ordinary Misfortune\" [The trouble with trees . . . ]\n\n_Ploughshares_ : \"An Ordinary Misfortune\" [She offered him head . . . ] and \"An Ordinary Misfortune\" [What is pressing . . . ]\n\n_Poetry_ : \"American Dream,\" \"Bell Theory,\" and \"Say Grace\"\n\n_Prelude_ : sections \"Jin Kyung-paeng,\" \"Kang Duk-kyung,\" and \"Kim Sang-hi\" from \"Testimonies\"\n\n_Rattle_ (Poets Respond): \"Hello Miss Pretty Bitch\"\n\n_Reservoir_ : \"Between Autumn Equinox and Winter Solstice, Today\" (published as \"Today\")\n\n_Southern Humanities Review_ : \"Fear\"\n\n_Sugared Water_ : \"My Grandmother Reminisces with Peaches\"\n\n_Tinderbox Poetry Journal_ : \"Let Us Part Like This\" and \"News\"\n\n_Up the Staircase Quarterly_ : \"Royal Azalea\" and \"Sometimes when I'm walking on this street\"\n\n_The Volta_ : \" _Don't Touch Me,_ \" \"Hair,\" Obeli,\" and sections \"Hwang Keum-ju,\" \"Kim Soon-duk,\" \"Kim Yoon-shim,\" and \"Pak Kyung-soon\" from \"Testimonies\"\n\n_Z\u00f3calo Public Square_ : \"Easily written poem\"\n\nThe sections in \"Testimonies\" draw upon documentary materials in _Comfort Women Speak: Testimony by Sex Slaves of the Japanese Military,_ edited by Sangmie Choi Schellstede (Holmes & Meier, 2000), in _True Stories of the Korean Comfort Women,_ edited by Keith Howard (Cassell, 1996), and in _Silence Broken: Korean Comfort Women_ by Dai Sil Kim-Gibson (Mid-Prairie Books, 1999), used in combination with my own language. The testimonies by Hwang Keum-ju, Jin Kyung-paeng, Kang Duk-kyung, Kim Soon-duk, and Pak Kyung-soon were recorded in Seoul, November 2, 1994; that by Kim Sang-hi, in Seoul, October 29, 1994; that by Kim Yoon-shim, in Washington, D.C., September 30, 1996. The transcribed, translated, and transliterated testimonies are all from _Comfort Women Speak;_ the transliterations of Korean proper nouns in \"Testimonies\" are as printed in this source text.\n\n\" _Don't Touch Me_ \" draws upon material in _Don't Touch Me_ by MacKinlay Kantor (Bantam Books, 1951), used in combination with my own language.\n\nI would like to give huge thanks to the above magazines and Tupelo Press for first housing my poems, my agent Jin Auh of the Wylie Agency for believing in my manuscript before it was _A Cruelty Special to Our Species,_ and the entire team at Ecco Books\u2014especially Dan Halpern, Gabriella Doob, and Martin Wilson, with whom I virtually tossed the manuscript back and forth\u2014for working on this book with care and dedication. You all made my book dream come true.\n\nGreat affection and appreciation to the Poetry Foundation, Barbara Deming Memorial Fund, Inc., Association of Writers & Writing Programs, Aspen Words, Community of Writers at Squaw Valley, The Home School, Asian American Writers' Workshop, and New York University's Creative Writing Program for providing financial and artistic support and space. The encouragement and generosity not only truly pushed this book into existence, but also charged me with so much confidence. I am forever indebted.\n\nDeepest gratitude to my brilliant teachers at NYU's MFA program: Kimiko Hahn, Yusef Komunyakaa, Eileen Myles, Sharon Olds, Deborah Landau, Rachel Zucker, and Charles Simic. Their mentorship and faith shaped my poetry and this book in ways too numerous to count. Love to all the wonderful people who were the biggest champions of my work and\/or were my first readers: David Krolikoski, Christopher Soto (a.k.a. Loma), Wo Chan, Elliot L\u00e2m, Susan Su, Sabine Schulz, Sohye Kim, Minna Lee, Will Carroll, Nic Wong (a.k.a. Zhou Sivan), Sandra H. Park, Irene Inyoung Lee, Carol Kyul Han, Michelle Youngjin Kim, Jane Chungyoon Kim, SeungYun Lee, Soren Stockman and his family, Sam Herschel Wein, Cornelius Eady, Kien Lam, Terence Young, Kenneth May, Jack Jung, Don Mee Choi, Gregory Djanikian, Lynn Levin, Srikanth (Chicu) Reddy, Michael Bourdaghs, and Kyeong-Hee Choi. All your guidance, humor, pep talks, jumping jacks, tears, tender gazes at my readings, and shouts from rooftops for my poems energized and emboldened me.\n\nNow I'd like to give a shout-out to my family, my pillar: my mother, Moonju Park, my father, Chulhyun Yoon, and my sister, Susan Kyungmin Yoon. Special thanks to my maternal grandmother, Sun-ja Yi, for telling the best stories and being my inspiration. \uc800\uc758 \uccab \uc2dc\uc791\u8a69\u4f5c\uc758 \uc2dc\uc791\u59cb\u4f5c\ubd80\ud130 \ubcc0\ud568\uc5c6\uc774 \uc800\uc758 \uafc8\uc744 \uc544\uaef4\uc8fc\uc2dc\uace0 \uc751\uc6d0\ud574\uc8fc\uc2e0 \ub355\ubd84\uc5d0 \uc5ec\uae30\uae4c\uc9c0 \uc62c \uc218 \uc788\uc5c8\uc2b5\ub2c8\ub2e4. \uc774 \ucc45\uc73c\ub85c\uc368 \uac10\uc0ac\uc758 \ub9c8\uc74c\uc744 \uc18c\uc18c\ud558\uace0 \u8a69\u8a69\ud558\uac8c\ub098\ub9c8 \ud45c\ud604\ud560 \uc218 \uc788\uac8c \ub418\uc5b4 \ud589\ubcf5\ud569\ub2c8\ub2e4. \uace0\ub9d9\uc2b5\ub2c8\ub2e4. \uc0ac\ub791\ud569\ub2c8\ub2e4. Also, woof woof to my dogs, in heaven and on earth, who listened to all my secrets and heartbreaks and taught me a lot about love.\n\nFinally, I am very grateful for you, reader. Thank you for meeting me here.\n_About the Author_\n\n**EMILY JUNGMIN YOON** is the author of _Ordinary Misfortunes_ , the 2017 winner of the Sunken Garden Chapbook Poetry Prize by Tupelo Press. Yoon was born in Busan in the Republic of Korea and received her BA at the University of Pennsylvania and MFA in creative writing at New York University. She has been the recipient of awards and fellowships from _Ploughshares_ ' Emerging Writer's Contest, AWP's WC&C Scholarship Competition, and the Poetry Foundation, among others. Her poems and translations have appeared in publications including _The New Yorker, POETRY, The New York Times Magazine_ , and _Korean Literature Now._ She currently serves as the poetry editor for _The Margins,_ the literary magazine of the Asian American Writers' Workshop, and is a PhD student studying Korean literature in the Department of East Asian Languages and Civilizations at the University of Chicago.\n\nDiscover great authors, exclusive offers, and more at hc.com.\n\n_Copyright_\n\nA CRUELTY SPECIAL TO OUR SPECIES. Copyright \u00a9 2018 by Emily Jungmin Yoon. All rights reserved under International and Pan-American Copyright Conventions. By payment of the required fees, you have been granted the nonexclusive, nontransferable right to access and read the text of this e-book on-screen. No part of this text may be reproduced, transmitted, downloaded, decompiled, reverse-engineered, or stored in or introduced into any information storage and retrieval system, in any form or by any means, whether electronic or mechanical, now known or hereafter invented, without the express written permission of HarperCollins e-books.\n\n_COVER DESIGN BY SARA WOOD_\n\n_COVER ARTWORK \u00a9 SOFIA SALAZAR_\n\nFIRST EDITION\n\nDigital Edition SEPTEMBER 2018 ISBN: 978-0-06-284369-2\n\nVersion 08142018\n\nPrint ISBN: 978-0-06-284368-5\n_About the Publisher_\n\n**Australia**\n\nHarperCollins Publishers Australia Pty. Ltd.\n\nLevel 13, 201 Elizabeth Street\n\nSydney, NSW 2000, Australia\n\nwww.harpercollins.com.au\n\n**Canada**\n\nHarperCollins Publishers Ltd\n\nBay Adelaide Centre, East Tower\n\n22 Adelaide Street West, 41st Floor\n\nToronto, Ontario, Canada\n\nM5H 4E3\n\nwww.harpercollins.ca\n\n**India**\n\nHarperCollins India\n\nA 75, Sector 57\n\nNoida\n\nUttar Pradesh 201 301\n\nwww.harpercollins.co.in\n\n**New Zealand**\n\nHarperCollins Publishers New Zealand\n\nUnit D1, 63 Apollo Drive\n\nRosedale 0632\n\nAuckland, New Zealand\n\nwww.harpercollins.co.nz\n\n**United Kingdom**\n\nHarperCollins Publishers Ltd.\n\n1 London Bridge Street\n\nLondon SE1 9GF, UK\n\nwww.harpercollins.co.uk\n\n**United States**\n\nHarperCollins Publishers Inc.\n\n195 Broadway\n\nNew York, NY 10007\n\nwww.harpercollins.com\n\n## _Contents_\n\n  1. _Cover_\n  2. _Publisher's Note_\n  3. _Title Page_\n  4. _Contents_\n  5. The Charge\n    1. An Ordinary Misfortune\n    2. Comfort\n    3. An Ordinary Misfortune\n    4. Hello Miss Pretty Bitch\n    5. An Ordinary Misfortune\n    6. An Ordinary Misfortune\n  6. The Testimonies\n    1. Testimonies\n  7. The Confessions\n    1. An Ordinary Misfortune\n    2. Fetish\n    3. Royal Azalea\n    4. _Don't Touch Me_\n    5. Bell Theory\n    6. American Dream\n    7. Hair\n    8. Obeli\n    9. My Grandmother Reminisces with Peaches\n    10. An Ordinary Misfortune\n    11. Autopsy\n  8. The After\n    1. An Ordinary Misfortune\n    2. An Ordinary Misfortune\n    3. Fear\n    4. Let Us Part Like This\n    5. News\n    6. An Ordinary Misfortune\n    7. Notes\n    8. On the Day of the Gyeongju Earthquake, September 12, 2016\n    9. Between Autumn Equinox and Winter Solstice, Today\n    10. Foreigner\n    11. Sometimes when I'm walking on this street\n    12. Easily written poem\n    13. Say Grace\n    14. To the Winter Apricot Blossom\n    15. The Transformation\n    16. Dream Devil\n    17. Time, in Whales\n  9. Author's Note\n  10. _Acknowledgments_\n  11. _About the Author_\n  12. _Copyright_\n  13. _About the Publisher_\n\n# Guide\n\n  1. Cover\n  2. Contents\n  3. Chapter 1\n\n  1. iii\n  2. iv\n  3. v\n  4. vi\n  5. vii\n  6. viii\n  7. ix\n  8. x\n  9. xi\n  10. xii\n  11. \n  12. \n  13. \n  14. \n  15. \n  16. \n  17. \n  18. \n  19. \n  20. \n  21. \n  22. \n  23. \n  24. \n  25. \n  26. \n  27. \n  28. \n  29. \n  30. \n  31. \n  32. \n  33. \n  34. \n  35. \n  36. \n  37. \n  38. \n  39. \n  40. \n  41. \n  42. \n  43. \n  44. \n  45. \n  46. \n  47. \n  48. \n  49. \n  50. \n  51. \n  52. \n  53. \n  54. \n  55. \n  56. \n  57. \n  58. \n  59. \n  60. \n  61. \n  62. \n  63. \n  64. \n  65. \n  66. \n  67. \n  68. \n  69. \n  70. \n  71. \n  72. \n  73. \n  74. \n  75.\n\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nTable of Contents\n\nTitle Page\n\nCopyright Page\n\nDedication\n\nPREFACE\n\nIntroduction\n\nPART I\n\nChapter 1 - I Gave My Punk Jacket to Rickie\n\nChapter 2 - Now I Wanna Sniff Some Glue\n\nChapter 3 - Baby, You're So Repulsive\n\nChapter 4 - Teenage Rebel\n\nChapter 5 - Giddyup Mutants\n\nChapter 6 - Holidays in the Sun\n\nChapter 7 - You Are One of Our Lesser Audiences\n\nChapter 8 - Kick Out the Jams\n\nChapter 9 - Fresh Fruit for Rotting Vegetables\n\nChapter 10 - No One's Listening\n\nChapter 11 - Ha Ha Ha\n\nChapter 12 - Beer-Drinking Brothers from Different Mothers\n\nChapter 13 - Thank You, Good Night, Get Out\n\nPART II\n\nChapter 14 - We Are the Kings Now\n\nChapter 15 - Better Living Through Chemistry\n\nChapter 16 - Grandma Rule\n\nChapter 17 - Blitzkrieg Bop\n\nChapter 18 - Gimme Something Better\n\nChapter 19 - Berkeley Heathen Scum\n\nChapter 20 - Dan with the Mello Hair\n\nChapter 21 - Goddamn Motherfucking Son of a Bitch\n\nChapter 22 - High Priest(s) of Harmful Matter\n\nChapter 23 - Mommy, Can I Go Out and Kill Tonight?\n\nChapter 24 - Beers, Steers and Queers: The Texas Invasion\n\nChapter 25 - Welcome to Paradise\n\nChapter 26 - Island of Misfit Toys\n\nChapter 27 - Crossover\n\nChapter 28 - Let's Lynch the Landlord\n\nChapter 29 - Fucked Up Ronnie\n\nPART III\n\nChapter 30 - White Trash, Two Heebs and a Bean\n\nChapter 31 - A Chronology for Survival\n\nChapter 32 - Sleep, What's That?\n\nChapter 33 - Journey to the End of the East Bay\n\nChapter 34 - 10 Seconds of Anarchy\n\nChapter 35 - Two Blocks Away\n\nChapter 36 - Ever Fallen in Love\n\nChapter 37 - You Put Your Chocolate in My Peanut Butter\n\nChapter 38 - Ripped from the Headlines\n\nChapter 39 - Rise Above\n\nChapter 40 - All I Know Is What I Don't Know\n\nChapter 41 - Unity\n\nChapter 42 - White Picket Fence\n\nChapter 43 - Up the Punks!\n\nChapter 44 - Going to Pasalacqua\n\nChapter 45 - No Sleep 'Til Hammersmith\n\nChapter 46 - Runnin' Riot\n\nChapter 47 - Outpunk\n\nChapter 48 - My Boyfriend's a Pinhead\n\nChapter 49 - Shield Your Eyes\n\nChapter 50 - . . . And Out Come the Wolves\n\nChapter 51 - I Wanna Get a Mohawk (But My Mom Won't Let Me Get One)\n\nChapter 52 - (I'm Not Your) Stepping Stone\n\nChapter 53 - Longview\n\nChapter 54 - He Who Laughs Last\n\nChapter 55 - Rock 'n' Roll High School\n\nWHO'S WHO\n\nSOURCE INDEX\n\nAcknowledgements\n\nABOUT THE AUTHORS\n**THE PROFOUND, PROGRESSIVE, AND OCCASIONALLY POINTLES HISTORY OF BAY AREA PUNK FROM DEAD KENNEDYS TO GREEN DAY**\n\nPENGUIN BOOKS\n\nPublished by the Penguin Group Penguin Group (USA) Inc., 375 Hudson Street, New York, New York 10014, U.S.A. Penguin Group (Canada), 90 Eglinton Avenue East, Suite 700, Toronto, Ontario, Canada M4P 2Y3 (a division of Pearson Penguin Canada Inc.) Penguin Books Ltd, 80 Strand, London WC2R 0RL, England Penguin Ireland, 25 St Stephen's Green, Dublin 2, Ireland (a division of Penguin Books Ltd) Penguin Group (Australia), 250 Camberwell Road, Camberwell, Victoria 3124, Australia (a division of Pearson Australia Group Pty Ltd) Penguin Books India Pvt Ltd, 11 Community Centre, Panchsheel Park, New Delhi - 110 017, India Penguin Group (NZ), 67 Apollo Drive, Rosedale, North Shore 0632, New Zealand (a division of Pearson New Zealand Ltd) Penguin Books (South Africa) (Pty) Ltd, 24 Sturdee Avenue, Rosebank, Johannesburg 2196, South Africa\n\nPenguin Books Ltd, Registered Offices:   \n80 Strand, London WC2R 0RL, England\n\nFirst published in Penguin Books 2009\n\nCopyright \u00a9 Jack Boulware and Silke Tudor, 2009\n\nAll rights reserved\n\neISBN : 978-1-101-14500-5\n\nCIP data available\n\nThe scanning, uploading, and distribution of this book via the Internet or via any other   \nmeans without the permission of the publisher is illegal and punishable by law.   \nPlease purchase only authorized electronic editions, and do not participate   \nin or encourage electronic piracy of copyrighted materials.   \nYour support of the author's rights is appreciated.\n\n_Penguin is committed to publishing works of quality and integrity._   \n_In that spirit, we are proud to offer this book to our readers;_   \n_however, the story, the experiences, and the words_   \n_are the author's alone._\n\n<http:\/\/us.penguingroup.com>\n_Dedicated to those who died while we were_   \n_putting this book together: Bob Noxious,_   \n_Bruce Conner, Dirk Dirksen,_   \n_Johnithin Christ, Lance Hahn,_   \n_Mark \"Junior\" Hampton, Max Vomit,_   \n_Mikey Donaldson, Phil Chavez, Spike,_   \n_Virginia Fuckette,_   \n_and Wes Robinson._\n**PREFACE**\n\nFrom the beginning, this was an unrealistic project. We were given one year and asked to deliver 300 pages; we took three and delivered 800. We could have doubled the number and it would never have been enough. The history of Bay Area punk is too rich and weird and horrible and wonderful, and it is by no means over. Because of this, we have set up www.gimmesomethingbetter.com, where chapters on Powell Street punks, Punk Side Story, Shred of Dignity, Sister Spit, The List, Mad Punx, Incredibly Strange Wrestling, Circuss Redickuless, PyratePunx, Geekfest, and countless other punk permutations may be explored and extrapolated. Memory is all too ephemeral and much is lost through the lens of media. We hope you will visit and add your own voice. We are deeply grateful to everyone who shared their stories with us.\n\n_\u2014Jack Boulware and Silke Tudor,  \nSan Francisco and New York, 2009_\n**INTRODUCTION**\n\nPunk in the Bay Area started around 1976 or 1977. There were a couple of bands. Mary Monday's \"I Gave My Punk Jacket to Rickie\" was probably the first record. Whatever you say or do, an obscurist will find something older, so there's no point in trying too hard to nail it down (unless you are an obscurist). Soon after the formative phase, there were more bands. By 1978 there were venues in San Francisco, Berkeley, Santa Cruz and other places that were doing punk shows. In the '80s we had the onset and the decline of hardcore in the original sense of that word. In the '90s we had another 100 derivations. You can read the details in this book.\n\nThe oral history format has the great advantage of eliminating The Rock Writer. The Rock Writer writing about punk generally has one aim: to arrogate intellectual ownership of something he or she knows absolutely nothing about. That bullet is dodged here.\n\nThe stories that follow are the real thing. Jack and Silke painstakingly sought out and interviewed countless people over the course of two years of nearly full-time effort. Their incredible gift, both in terms of a unique skill and in terms of what they are passing on to us, is that they found people who have a lot to say but haven't said it yet in quite the way they do now. They caught the real spies at a time when those agents were most ready to tell their story\u2014with enough distance to reflect, but not so much that they have lost the sense of excitement about what went down and what is still going on.\n\nMany of the people who speak here are as smart and creative as it gets. That is the nature of people who are right there in the forge when a universe is being hammered out. Also featured are many complete morons. That is the nature of people that show up when there is a lot of loud noise and alcohol available. Everybody will have a different idea of which is which. The stories of the great artists aren't necessarily more fun to read than those of the train-wrecks. And of course, particularly in the early days, most people in punk were a little bit of each.\n\nPeople will bring their own stories to their reading of this, their own reasons for why it has meaning. For what it's worth, mine is as follows:\n\nIt was 2007. I was 38 years old, broke and unhappy. I was driving from Berkeley to Sacramento and a tire blew out. It felt like a juncture where my own history was reaching some kind of summation point. Twenty-five years of punk rock, even a certain amount of success within that world, had led to this. The car was a beat-up Nissan that had 170,000 miles on it. I got out to look for a jack in the trunk. It was raining. I had cigarettes but no light. Of course there was no jack.\n\nGiving up on repairs, I dug around in the debris in the trunk looking for matches. There were old tapes back there. While I was waiting for a friend to drive the 40 miles to the industrial farm belt I was parked in, I started cycling through the cassettes on the weary tape player in my car.\n\nOne of the tapes was an old mix a friend had made for me which he had titled \"Don't Laugh, Your [sic] Next!\" Among other bands, the strains of the Avengers, Social Unrest, Negative Trend and the Dils sputtered out of the dashboard, competing with the rain on the roof.\n\nOnce again I heard _the sound_. All was well. When the truth is alive, nothing life or the world or even the self comes up with can touch it. I sat there for an hour, playing that thing over and over again.\n\n_\u2014Jesse Michaels_\n**PROLOGUE**\n\n**Turds on the Run**\n\n**Howie Klein:** There was this hideous interlude of corporate rock where the cool Yardbirds turned into Led Zeppelin, and suddenly there was Journey and Kansas and REO Speedwagon, just all this pure garbage.\n\n**Jello Biafra:** 99.9 percent of the population listened to Elton John and _Saturday Night Fever_. In a way, that music was a major influence on us because we hated it so much.\n\n**Dave Dictor:** I couldn't go see Marshall Tucker one more time. Allman Brothers, Grateful Dead, the Who, Yes. That arena rock, it was just _numbing_. You were like an ant, with 40,000 other people, and you really felt disconnected from what was going on.\n\n**Max Volume:** Journey. They were one of the worst.\n\n**James Stark:** Jefferson Starship, all that kind of shit. Genesis.\n\n**Rozz Rezabek:** Boston, Toto, REO Speedwagon, Air Supply. Michael Murphy's \"Wildfire.\"\n\n**Jennifer Miro:** I was in this horrible band in Mill Valley, and we did Doobie Brothers songs. I had to sing \"China Grove.\" It was the lowest point of my life.\n\n**Joe Rees:** Anything disco. That type of music was part of a big corporate rip-off. It was threatening to take everyone's mind away.\n\n**Penelope Houston:** It looked like 1973. People were dressed in bell-bottoms and long hair and stuff like that.\n\n**Ray Farrell:** There was a radio show on KPFA called _Music from the Hearts of Space_. Really fucking aggravating.\n\n**Steve DePace:** Corporate rock bands of the day like Air Supply and Journey, the Doobie Brothers, Steely Dan, Rush. These bands were technically superb. If you were a 15-year-old kid, listening to that, you were going, \"How do I do _that_? I just wanna be in a band with my buddies and play.\"\n\n**Klaus Flouride:** When people say, \"What got you into punk?\" I say, \"The Eagles.\" Nothing in the mainstream that was calling itself rock 'n' roll was really rock 'n' roll. It was easy-listening music at that point.\n\n**East Bay Ray:** The music I really hated the most was fusion jazz.\n\n**Klaus Flouride:** I hated fusion opera even worse.\n\n**East Bay Ray:** I think that's called musicals.\n\n**Klaus Flouride:** I think it's called Yes. I had a dream that I was a roadie for Asia one time. I don't know what the hell that was about.\n**PART I**\n**1**\n\n**I Gave My Punk Jacket to Rickie**\n\n**Ray Farrell:** A lot of what San Francisco was about, in terms of local music, was kind of cabaret. There weren't a lot of rock bands.\n\n**Joe Rees:** The big influence in San Francisco at the time was the Tubes. They used a lot of theater people, 35 or 40 people onstage. I did some performances with them. I played this pop icon of Colonel Sanders. I would dress in a white outfit, and I had a neon cane and neon shoes. \"White Punks on Dope\" built up to a crescendo at the very end, and I would march in front of the stage and then stand behind Prairie Prince, the drummer, and hold up my cane like Moses.\n\n**Johnny Strike:** Because of the glam scene, that was what was left over. Bowie and Roxy Music and the Dolls and that kind of stuff. The Tubes were considered the glam group of San Francisco. And we didn't like 'em.\n\n**Edwin Heaven:** The Tubes were dangerous. When they first started, they had topless girls onstage, people were protesting them. Great bands are dangerous.\n\n**Dave Chavez:** They were talking about white punks on dope. That's what POD stood for, Punk On Dope. Not the white punks, the Tubes added that. The PODs existed all over, in the Sunset, in El Sobrante and the East Bay. A lot of Hell's Angels came from there, too. In El Sobrante they hung out at the movie theater but they never went in. They would just hang out in front. They posed a lot, and looked really dumb. They wore the Levi's jackets with the wool on the inside. And bell-bottoms, long hair. Most of them were thugs. Total goons.\n\n**Bruce Loose:** I was a WPOD, White Punks On Dope. We wore big mountain-climbin' boots, and Levi's bell-bottoms. The original grunge fucking Pendleton shirts, all that shit. It was cheap, and it kept you warm in the goddamn fog when you're out wandering around, blazed out of your brains on acid. Like every good San Francisco child should be.\n\n**Dennis Kernohan:** Jon Hunt and I were working for Berserkeley Records, doing their sound. Jon and Bob Howe, they already had a band called AK47 in high school, Oakland Tech. An MC5 kind of band. They were on it early, this was like '74. The first punk bands of the East Bay, I'd have to say it was the Rockets, with Eddie Money and Dan Alexander. In '72. This really good punky band. You've heard Eddie sing. Eddie can't sing. They didn't give a shit. It was like an attitude.\n\n**Jimmy Crucifix:** I grew up in Fremont, man. Before there was punk rock there wasn't a whole lot. We were all rock 'n' roll people. We hung out with bands like Y&T, Mile High, all these weird East Bay bands.\n\n**Dennis Kernohan:** Patti Smith came through and she was really preaching the do-it-yourself, anybody-can-do-this kind of thing. She talked to all the kids at the shows. She played four shows at the Boarding House and four shows in Berkeley at Rather Ripped Records.\n\n**Al Ennis:** The first kind of punk act in San Francisco was Mary Monday. She was more in the gay scene. She had red-dyed hair, and was really into the fashion.\n\n**Dirk Dirksen:** Mary was a topless dancer from Vancouver, who wanted very badly to make an impact in San Francisco.\n\n**Al Ennis:** She got a rock band together, Mary Monday and the Bitches. I saw her over on Polk Street. She rented out a little place and did her punk thing. She came out with a single at the time, \"I Gave My Punk Jacket to Rickie.\" A little bit hokey.\n\n**Ginger Coyote:** The Garden of Earthly Delights and the Green Earth Cafe did an occasional show. The Palms and Rose & Thistle had shows but they were strictly rock 'n' roll.\n\n**Dennis Kernohan:** The first DJs to play punk rock stuff were Richard Gossett and Beverly Wilshire, on KSAN. They'd already been playing all the Iggy and the Ramones.\n\nWe didn't have a lot of TV channels then. People used to buy magazines, 'cause a magazine was 90 cents. _New York Rocker_ , _Creem_. Andy Warhol's _Interview_. If you were into music, you read all that shit.\n\n**Al Ennis:** I'd pick up _Melody Maker_ , _New Musical Express_ , _Sounds_ , _Rock Scene_.\n\n**Dennis Kernohan:** Anybody who says they didn't read those magazines is lying to you. We all read them. They were at everybody's houses.\n\n**Jennifer Blowdryer:** When I was in Berkeley High, we would bring a bunch of books to Moe's Records for trade, and then I would look through the stacks. I would see a New York Dolls album cover and I would be like, this is the shit. I had that stuff on cassette tape. I'd be in biology class, and I would press one of those old-fashioned flat tape recorders below the desk and put my ear down. I had to listen. Just to keep going, you know.\n\n**Aaron Cometbus:** Jennifer Blowdryer was reputed to be the first punk at Berkeley High. The first to graduate, at least.\n\n**Jennifer Blowdryer:** There wasn't any fashion 'cause you couldn't buy peg-leg pants. You had to make them. I scribbled \"Anarchy\" on a T-shirt and ripped it up. I cut my hair really badly and I lied to my mom, said I got glue on it from a poster. She took me to Macy's and I met one of my first hairdressers. For some reason, I said I want to look like Liberace. I got it dyed silver, a little bouffant, I don't know.\n\n**Tim Tonooka:** In the summer of 1976 I ended up in Berkeley. Me and my friends would hang out on Telegraph and listen to portable radios. One of my friends was a crazy guy on SSI who'd pour glue in a paper bag and huff the fumes. He really got into the Ramones\u2014ironic, considering their songs about sniffing glue. Johnny Genocide: In 1976 there were very few of us. We didn't have punk rock stores in the mall. We had to create our world one stitch at a time. The Bagel was the epicenter of our scene.\n\n**Rozz Rezabek:** The Bagel was down on like Pine and Polk, and all the punk rockers would hang out there. Somebody would always be getting a check from home, or some food stamps, or money or something.\n\n**Johnny Genocide:** Back then, Polk was a lively gay area where you could dress as crazy as you wanted without being beaten up. At 16 years old, going to Polk Street was an adventure in everything your parents warned you about.\n\n**Penelope Houston:** There were a couple East Bay bands. The Liars, they were the first ones.\n\n**Dennis Kernohan:** Bob and Jon and I would go over to Berserkeley's rehearsal space and set up for the bands. They would never show up, so we would play their instruments. Jon started playing guitar, and I started singing. It was weird how it all happened. We were bored, and we had all this equipment. We actually rehearsed for a year and a half, learning songs.\n\n**Al Ennis:** I was in Berkeley, coming over to San Francisco, but there was _nothing_ going on.\n**2**\n\n**Now I Wanna Sniff Some Glue**\n\n**Winston Smith:** I had to take some equipment to the Savoy Tivoli in North Beach. They had a narrow staircase that went upstairs, to a tiny little room. I just remember what a dingy dark joint it was, up these rickety stairs. And thinking, wow, they should really make another entrance to this place. Somebody's gonna have a lawsuit about this. The Ramones were there. I'd never heard of them.\n\n**Howie Klein:** The Ramones were like the Johnny Appleseed of the punk movement. Wherever they went, punk sprouted, and that included L.A. and London. When they first came here, they played the Savoy Tivoli. I was at that show. I was so excited. And I thought, wow, this is going on all over the country. Everywhere they go, they're planting seeds and new bands are popping up.\n\n**James Stark:** I knew nothing about them. People were like, \"You gotta go see the Ramones.\" So we went to go see the Ramones.\n\n**Danny Furious** : I tried to get a few buddies to come along but ended up going alone. They played for 10 or 12 people whom I later found out were members of the Nuns and Crime, plus a handful of people who were curious, myself included. Dee Dee was amazing. I left totally inspired and immediately called Greg in SoCal and told him about it and that it was time to start a band and he agreed. My friend Mark Hubbard told me later, he thought I was going to see some mariachi band that night.\n\n**Jennifer Miro:** I was there and so were some other members of the Nuns, I think Jeff and Alejandro. We all went, and we were all thinking the same thing. I really want to be on that stage, I really want to make my statement.\n\n**Johnny Strike:** That show was before anybody really played out yet. We were in garages at that point. There were like 50 people there. It was everybody that was in a band. The Nuns were there, and we were there. Seeing the Ramones at the Savoy, we said, \"Oh, well, this is for real. These guys are from New York and they're doing it, too.\"\n\n**James Stark:** I don't think the set was even a half hour long. They must have played 30, 40 songs. It was pretty mind-boggling. There was a group of people who were waiting for this to happen. With what Crime had been doing, with the Nuns, it was like, here it is. This is what's happening now.\n\n**Edwin Heaven:** I saw the Ramones with Boz Scaggs and his wife Carmella, Prairie Prince, Michael Cotton, Kenny Ortega. The show we went to, there were a dozen people. They went on, and they performed as if there were 1,000 people. Right away, we looked at each other, and we loved them.\n\n**Merle Kessler:** Duck's Breath Mystery Theater opened for them. Nobody was paying attention. There was a drag queen on Quaaludes during the break, who stumbled around trying to get backstage. Except there wasn't a backstage, just a curtain covering a brick wall. But she kept trying different places, with a big smile on her face. Moving the curtain aside, walking into the wall. Joey introduced one song: \"After seeing Duck's Breath Mystery Theater . . . gimme gimme gimme shock treatment!\" Their roadies sneered at my marijuana.\n\n**Winston Smith:** I had to stay around until they finished to collect the mics and take some amps back. I remember thinking, oh, they're not bad, maybe this will catch on.\n**3**\n\n**Baby, You're So Repulsive**\n\n**Penelope Houston:** The Mabuhay was just a little Filipino restaurant that had mostly Filipino acts perform. Ness [Aquino] was trying to bring in people that would do some kind of cabaret-style crazy stuff. To bring in more people to drink after dinnertime. They served really terrible Filipino food. Deeply deep-fried food.\n\n**Dirk Dirksen:** I moved here in 1974, and was looking to put a nightclub together that would give us the opportunity to document the seminal moment of an artist. The genesis of an artist. My interest was the artist before they got into the recording stage.\n\nIn approximately 1975 we approached the owner to give us Mondays and Tuesdays, when the club was dark, guaranteeing him 175 at the bar. We brought in a female guerrilla comedy troupe called Les Nickelettes, a bunch of ladies that worked at the Mitchell Brothers.\n\nThey used to do these impromptu appearances at like the opening of the opera. They would dress up in vintage fur coats and then start screaming at the top of their voices, talking about their sexual escapades with sailors they had picked up in the lobby. Shocking the first-nighter audiences.\n\nI convinced the Nickelettes to come into the Mab and do this loose-knit musical revue. They did a midnight show on Sundays, with tacky cartoons, and sang show tunes off-key. They had written a play. Myself and the Mitchell Brothers, under their AKA of H. Hughes, presented the Nickelettes.\n\nThat was so successful that the club decided to give us the other nights. We would start at 11 p.m. The On Broadway at that time was a theater, and we would trespass on their soundspace if we started before they were closed. So we had only from 11 to 2 every night.\n\n**Joe Rees:** Dirk had a background in television production. His big claim to fame is, he worked with Tony Dow, from _Leave It to Beaver_.\n\n**Dirk Dirksen:** I did a lot of half-hour shows in L.A., followed by associate producing a soap opera on ABC. The first soap opera geared to teenagers, with Tony Dow. From that I began producing concerts in the mid-'60s. San Bernardino, Riverside, Newport\u2014I did the Doors in Bakersfield.\n\n**Penelope Houston:** Dirksen started having people come in. I think he had comedians as well. And pretty soon he realized that the people who were really drawing crowds were these young bands, playing this outrageously noisy rock 'n' roll. So he just steered it in that direction. But he also mixed it up, he had a lot of real oddball people play. Arty percussionists. Whoever wanted to come up. He wouldn't pay you. The first couple times. But if you showed that you actually had an audience, then he would start paying you.\n\n**James Stark:** The first couple of Crime shows, and the Nuns, Dirk had nothing to do with those. He came a little bit later.\n\n**Jennifer Miro:** Terra Linda was a Valley Girl kind of a place. This was a rehearsal studio, 1975. I was in this horrible band and I was singing. Somebody said, \"There's this weird band down the hall,\" and I said, \"Oooh, let's go see!\" So we went down the hall and opened the door and there was Jeff [Olener] and Alejandro [Escovedo], and Kenny on drums, and Nola, the bass player. Alejandro at that point was still a glitter boy. He had long hair and was wearing red platform high-heeled boots. Nola was wearing purple lam\u00e9 leggings and purple platform high heels. No one was there. They dressed up for the rehearsal.\n\nAlejandro and Jeff were at College of Marin in the film department, and they were making a film about a rock star. So they had decided to form a band and called it the Nuns.\n\n**Edwin Heaven:** They formed a band to make the movie, and then the band became a bigger idea.\n\n**Jennifer Miro:** A few days later Jeff called me up and he said, \"Do you want to join the band?\" I said, \"ME? What am I gonna do?\" So he said, \"Well, you'd sing.\"\n\n**Johnny Strike:** Frankie Fix and I were from Harrisburg, Pennsylvania. When I moved to San Francisco, he did, too. We bought cheap guitars and sat around our apartments. We had little amplifiers, and Frankie had an album, _How to Play Guitar with the Ventures_.\n\nWe were big Bowie and Lou Reed fans. We knew we could never play music like that. But we thought we could do our version of it. We had no vocals, it was just guitars. In fact, we called ourselves the Guitar Army. When we'd play with people who had an inkling of musical know-how, they'd look at us like, \"Guys, could you tune your guitar at least?\"\n\nWe were looking for people who looked like us. It was the end of the glam era, so it was just kinda slicked-back hair and black leather jackets, juvenile delinquent look. I was working at a disco at the time, as a waiter, and I saw this guy who looked like he had some rock 'n' roll about him. I said, \"We need a bass player,\" and he said, \"Okay.\"\n\n**James Stark:** Ron \"Ripper\" Greco called me and said he's in this new band and they're looking for a photographer. They were looking for a _look_ , so to speak. I came down to the rehearsal studio on Howard and Sixth. The whole thing reminded me of the early Velvets shows when I lived in New York back in 1967. Frankie and Johnny were dressed in this basic gay drag, leather jackets. They had poppers. It was a lot of loud noise, but it had something going and I thought, wow, this is pretty cool.\n\nSometime in '75, '76, David Bowie had done a concert at the Cow Palace, and Frankie and Johnny and their wives went all dressed up as Ziggy Stardust. Their picture was on the front page of the _Chronicle_ , maybe the _Examiner_. So they were already into a look. Very style-conscious. They didn't smile.\n\n**Chip Kinman:** The Dils moved up to San Francisco in 1976. This was even before we played in Los Angeles. We hadn't played anywhere yet. We didn't have a place to rehearse or anything. We just moved up there thinking, well, it's kind of a neat city.\n\nWe saw this poster for this band the Nuns, so we went to go see them because we thought the name was interesting. Apparently the owner of the club thought that they were either too loud or weird looking or something. When they went to set up their gear, he sent them away. The owner said, go see them at their rehearsal hall, which was down south of Mission. We were the only ones who showed up.\n\n**Jennifer Miro:** We tried every club and nobody would give us a show.\n\n**Johnny Strike:** Our first show was for my barber, a fund-raiser for a gay political candidate at the Old Waldorf. She said, \"Why don't you bring your band and play?\" She had no idea what we were.\n\nPeople were dressed up as fruit. I remember a pineapple walking around, that kind of campy stuff. And then, \"Oh, now for the entertainment segment, we have this band called Crime.\"\n\n**James Stark:** Frankie and Johnny had motorcycle caps, and those white, wife-beater type T-shirts. The gay, rough-trade biker look. I mean, these were two guys that were married.\n\n**Johnny Strike:** We just liked that look. We had Marshall stacks, and we had 'em cranked. I'm sure it was really loud and abrasive. It was actually pretty good, I thought. It was the first time I ever played live.\n\n**James Stark:** I remember hearing somebody in the back, said, \"Oh, it looks like a David Bowie band.\" Then they started playing and everybody goes, \"What the fuck's going on here?\" They played for about 10 or 15 minutes, and people were getting really upset. They pulled the plug, and someone knocked over a stack of amps. That was the beginning of Crime.\n\n**Johnny Strike:** Then we were supposed to play a place called the Stud. Bisexual leather club. Okay, this was gonna be a real show. So we're gonna do a flyer. What's the most outrageous flyer we could do? Hitler. We took a picture of Hitler, and now I think years later\u2014Hitler, Crime, at the Stud. It was just the weirdest combination.\n\nAt this time there was a little bit of a punk scene. There were records coming in from London at Aquarius Records. We had our record in Aquarius. We had recorded a 45, live in one night.\n\nWe took our poster all around town. Aquarius said, \"No no no no, we're not putting that poster up in our store. In fact, here's your records, guys. We're not selling your records either.\" Hitler. The Stud called us and said, \"You're not playing here. We don't want to have anything to do with this.\" That made us the most notorious band in town. After one gig.\n\n**James Stark:** The Nuns played the Mabuhay, maybe in November or December '76. That was the first publicized punk show.\n\n**Johnny Strike:** We both started about the same time. The Nuns were the first to play Mabuhay, we were the first to put out a record.\n\n**Jennifer Miro:** When we did the first show at Mabuhay, there was no punk rock. We were the first punk rock band in California. It was actually surprising because there were a few people there. We just stuck a couple flyers on lampposts.\n\n**Johnny Strike:** We were walking around North Beach one night and saw a flyer that said, \"Switchblade at the Mabuhay.\" We said, \"Okay, that sounds kinda like us.\" So we went to Mabuhay and talked with Ness. And he said, \"Oh yeah, they didn't do very good. Ten people came. But the Nuns did pretty good.\" We said, \"Oh, well, we'll do much better than the Nuns. Don't worry about it.\" And he said, \"Alright, I'll give you a night.\"\n\n**Al Ennis:** One night I was walking through San Francisco and I saw this magazine, _Psyclone_. It was put out by Jerry Paulson and Dirk Dirksen. It had a picture of Ron the Ripper, the bass player from Crime. I grabbed the magazine, looked through there and found Mabuhay Gardens. And I thought, wow, the Nuns, Crime. These bands look pretty punk. I'll check 'em out. So I went there and I was not disappointed. They really had it down. They just had the punk spirit. There really wasn't much media coverage of other punk bands.\n\n**Penelope Houston:** I moved to San Francisco to go to the Art Institute. December of 1976. I was 19. The first thing I saw on the street was a poster of a Crime show. I went to the show at the Mab. Entertaining. And then I saw Blondie at the Mab, and I saw the Nuns, and maybe the Ramones. And the Damned came through town.\n\n**James Stark:** All these guys were really different. Crime had one kind of sound, and the Nuns had theirs. Then you had the bands from L.A. that came up, like the Screamers, who were all synthesizers. The Dils, the Weirdos, and the Nerves. The thing that was a common thread was a raw new sound.\n\nPunk was more like Crime and the Nuns, which is more of a harder, rock 'n' roll sound. And maybe New Wave would be the Screamers or the Nerves, which were more like a pop band. Blondie played the Mabuhay fairly early, and also the Damned, bands like that. Some people said, \"Oh, they're punk.\" And other people were like, \"No, they're New Wave.\" This was a big point of discussion for a few months. There was this dividing line among some people.\n\n**Bruce Loose:** I was still in high school. I was barely aware of Richard Hell and the Sex Pistols. I was a fevered audience member. I was at the Mabuhay every fucking night at that point.\n\n**Al Ennis:** When the Mabuhay Gardens started in '77, they used to have tables and chairs. You sat down and watched, like a nightclub. They still had the old kind of cocktail waitresses.\n\n**Dirk Dirksen:** We broke a lot of rules in terms of what was considered the norm for clubs, like mixing straight and gay audiences on a very heterosexual sex strip. We premiered something like 25 plays of authors who are now very well known. Whoopi Goldberg did a routine which got her on Broadway. So it was a venue that encouraged everything from a woman dancing in a dress that was wired with live electricity and neon tubes, to a guy that used to do full paintings while the band played\u2014and one time he did it on a pogo stick.\n\nThe reason I became the MC was that the audience had a habit of throwing beer bottles at the stage, and we were trying to figure out various ways to defuse that. I didn't want anyone to end up being injured. After two days I figured I gotta come up with something. We started with these huge 50-gallon barrels, with oversalted popcorn in them. And I would berate the audience in order to have them get upset with me, and then identify the performers in a way that I might be abusing them. It began welding the two together. The throwing of the popcorn, it was like a blizzard.\n\n**Al Ennis:** The Nuns had a really good, powerful punk rock show. They were huge. Jennifer would hit the first couple of notes of a song, and the crowd would just go apeshit. It was real exciting.\n\n**Edwin Heaven:** They were so dramatic. It opened up with Jennifer Miro alone onstage, expressionless, white spotlight on her, and she went, \"Lazy, I'm so lazy. I'm too lazy to get laid.\" This very Nico\/ Marlene Detrich-esque vibe. She was maybe 18 at the time.\n\nAnd then these guys came on and they looked like they escaped from Sal Mineo's closet. Black leather jackets, ripped jeans. They went, \"One Two Three\" _bam!_ \u2014and they did \"Decadent Jew.\" Musically it was brilliant. It was dramatic, it had a great, great riff to it, it was sung by a Jew, so we got away with it.\n\nI signed them to a management agreement. I had a feeling they were going to be enormous. I was doing this based on their music and not personality. Coming from a glitter rock band where everybody loves you, the Tubes\u2014they were like family, people had picnics together. This was a whole different vibe.\n\nThey started to become really good. The band had a great dynamic. Richie Detrick did that wild gravelly voice. Jennifer would do kinda like a Blondie. She could have had hit records during the '60s. At the end they would do \"Suicide Child.\" It was a dirge about a child who killed herself. \"You stole my junk, you stupid punk. You slit your wrists, you fucking bitch.\" Jeffrey would grab the cord and hang himself. I knew that was a song a label would sign.\n\n**Dennis Kernohan:** The first band I saw was the Nuns. They were great. They were like the earliest band. I know Crime claims it. They were like an old-school punk band. They could have started in 1970. They were very poppy, real memorable. They were like the New York punks.\n\n**Hank Rank:** They had a very eclectic look. A mix of ethnicities, genders. They were all over the place.\n\n**Jennifer Miro:** We were really a snotty little bunch of teenagers. But I really wasn't that confident in those days. I had all these guys coming on to me because I was really young and unattached. It was weird. All these rock stars wanted to date me, so I just kind of closed off. I was really snooty.\n\n**Edwin Heaven:** I got an investor friend of mine to put money in. We started doing big, gigantic billboards and posters. I went to KSAN and did a 60-second commercial for the Mabuhay, but it would be 55 seconds from \"Suicide Child.\" The next time they performed, lines down the block. We knew now that this is our club. We could do a show every week there.\n\nToo Lazy to Get Laid: The Nuns at Mabuhay Gardens\n\n**Howie Klein:** Mayor Moscone's daughter would come to the shows. Everybody in San Francisco society wanted to check out what was going on with this new punk rock thing. The Nuns would have lines around the corner. They were the only band that was able to do that.\n\n**Edwin Heaven:** Bill Graham wanted to manage them. I had 20 percent of the band. The deal was, they would retain 15 percent and I would have 5. I didn't mind. But they could not perform \"Decadent Jew.\" His family had survived Auschwitz.\n\n**Dirk Dirksen:** Jeff Olener's song \"Decadent Jew\" dealt with the stereotyping of Jewish landlords. Jeff meant it to expose the ease by which people get pegged with stereotypes, and that a whole minority therefore suffers. When Bill Graham heard the song he was so enraged. He said to Howie Klein, I want to buy all of their records, how many are there? There was like 500. When Howie rushed to bring them, he thought, \"This is a big break!\" Bill destroyed all of them and said, \"These guys will never work in this town again.\"\n\n**Edwin Heaven:** I created a lot of publicity for them. They opened up at the Boarding House for the Dictators, played with the Ramones, Bryan Ferry. I wasn't building a crowd in San Francisco, I was building a record company buzz.\n\n**Steve DePace:** They had more money than anyone in the scene at that time. Everybody else was climbing into cars and vans to go to the gig, and these guys\u2014they all had brand-new gear. And they weren't making that much money at the Mab, to pay for all that.\n\n**Jennifer Miro:** We opened for every single famous punk band that came in. Mabuhay was a mob scene. Every celebrity, every punk band was playing there. We went to a party and David Bowie was there. Iggy Pop. Mabuhay Gardens was the spot.\n\n**Steve DePace:** Their shows were fun. But they were going for that rock star thing, they wanted to plug into that rock star mind-set. Whereas every other band was like, \"We're not gonna get signed, are you crazy?\"\n\n**Hank Rank:** My first time at the Mab, Crime came out. And my whole life changed at that moment. I felt like, it's back. I saw Iggy and the Stooges many times, and the MC5 many times. I was seeing Alice Cooper's first tour in small clubs. When I saw Crime, I thought, \"This is the music I love.\"\n\nThey just were tough and very cold. They came out and played 10 songs in 15 minutes, and they were off. No encore, just as abusive to the audience as possible. I was destroyed. I thought it was one of the greatest shows I'd ever seen.\n\nRight after that show, Dirk took the stage and said, \"Crime is looking for a drummer. So if anybody out there knows any drummers, they're auditioning.\" I made up my mind. I have to be the drummer in this band.\n\nI had only sat down at a drum kit maybe three or four times in my life. But I made this elaborate presentation. I made myself over in the image of Frankie and Johnny, and created a whole photo montage, of me in various poses. It ended with a picture of Frankie and Johnny and my picture between them, so that we looked like three brothers.\n\nTo make sure that it stood out from the avalanche of responses that I was sure they were gonna be getting, I sent it to them special delivery with the entire envelope covered in one-cent stamps. I later found out from Johnny that it was the only submission they received.\n\n**Johnny Strike:** It was the picture that sold us.\n\n**Hank Rank:** We got into the uniformed look, and that became the trademark of the band.\n\n**Johnny Strike:** We went to where the police bought their uniforms, and were measured. I had a cop badge. Sometimes we wore suits, like detectives, and put our badges on our suit jackets. But the police uniform, that's the one we're famous for. We were in _Gentleman's Quarterly_ with that. We were in _Weekly World News_.\n\n**Al Ennis:** Crime was so exciting. They were very theatrical. The music was rudimentary, but really powerful straight-ahead punk rock 'n' roll. The stage would be black and these sirens would go off, and cherry tops would be going around, and they'd come on in police uniforms and start hitting these chords.\n\n**Jimmy Crucifix:** One of the first shows I saw at the Mabuhay was the Sleepers and Crime. I was about 18 or 19. I needed money to get back home, so I brought a bunch of pot to sell. I was standing by the bathroom, and a guy in a cop uniform looked at me, and saw me with a fuckin' bag of pot, and I went in the girls' bathroom and flushed it down the toilet. And then I saw him up onstage playing.\n\n**Dave Chavez:** I thought their gimmick was great. Cops, gangsters, fedoras\u2014one time it was tuxedos. They were just cool. They always had a look. And they spent time with it.\n\nThey were the first ones to start the low microphone thing. Where you put the microphone real low so you have to have your legs out when you're playing. They kinda reminded me of Link Wray. His music was much better.\n\n**Danny Furious:** I loved it when Frankie would wear a candy striper's dress onstage. Crime were so pretentious and lovable.\n\n**Jimmy Crucifix:** It was like when you went to see KISS, except in the punk rock world. Here was this band playing that couldn't even tune their guitars. But it sounded so good.\n\n**Klaus Flouride:** Crime were visually such an assault on your senses. Those guys had rubber faces, too. And they would say, \"Oh, we're not part of the punk scene. We're above all that.\"\n\n**James Stark:** About the third or fourth gig that Crime and the Nuns played, they played together at the Mabuhay. There was a big battle about who was going to be the headliner. They both figured they were the big guns in town. So the compromise finally reached with the poster was that the names would be the same size on the same line.\n\n**Johnny Strike:** We decided we would once and for all put an end to this competition thing. I remember telling the group before we went out, \"Okay, this is it. We're gonna pull every trick in the book.\" I remembered the old story of Jerry Lee Lewis setting his piano on fire, and went back and telling Chuck Berry, \"Now follow that.\" So we went out, and Frankie was in between my legs playing, we were rolling around the stage. We played like a ten-minute set or something, as insane as possible. We went off, and the audience went on for it seemed forever. We went back and the Nuns were just kinda sitting back there looking at us, \"You fuckers.\"\n\n**James Stark:** It got pretty intense, because they both rehearsed at the same space. They never had anything good to say about each other. I thought it was kind of ridiculous. If they'd been more cooperative, they could have actually built it into something bigger. It was all crash and burn.\n\n**Hank Rank:** We imagined that the whole world revolved around us. We imagined these conspiracies and rivalries and all these things that were going on, but most people were pretty much just struggling to do whatever it was they were trying to do. With the Nuns, a lot of our problems were in our own minds.\n\nRough Trade: Crime's Frankie Fix and Johnny Strike with Howie Klein\n\n**Johnny Strike:** They still are.\n\n**Sheriff Mike Hennessey:** I was a young lawyer at the time, working in the county jail. So I was attracted to the group Crime. They looked tough and sinister, and they played loud and fast.\n\n**Johnny Strike:** We played a gig at San Quentin in police outfits.\n\n**Joe Rees:** The Crime gig was a part of Bread and Roses, a group that organized a lot of charity events. We showed up and went through this whole routine. They had to let you know your rights, and if you were taken prisoner, they shot first and asked questions later. They couldn't give you any security at all once you were inside the gate.\n\n**Hank Rank:** This was '77, '78. We were out in the exercise yard in the sun, in these dark blue police uniforms. Sirhan Sirhan was there at the time. A friend of mine was a prison guard there. He pointed to the window where he was.\n\n**Johnny Strike:** We followed a country and western group.\n\n**Hank Rank:** There was sort of a demilitarized zone between the stage and the prisoners. There was a rope, and then the prisoners were all behind that. And they really divided right down the middle, blacks on one side and non-blacks on the other. When a black group would play, all of the non-blacks would stand up and move to the far side of the yard. When a non-black group would play, the exact opposite would happen. So when we hit the stage, they all got up and moved away.\n\n**Joe Rees:** The poster from that day, it was one of those great S&M posters that Crime always put out, of this female dressed in black leathers. A bunch of the inmates got their hands on those posters, flashing them in front of the camera.\n\n**Hank Rank:** It was a tough crowd. They didn't exactly get the music, and the guards up on the tower with their guns, looking down, shaking their heads. Nobody there knew what to make of us.\n\n**Joe Rees:** Up on the walkway was a black female guard with a high-powered rifle. She had an afro, and it was bleached blond. You'd think that she was part of the show. Policemen performing the music. Inmates with their eyes hanging out. It was so bizarre.\n\n**Johnny Strike:** Frankie was so nervous, he was popping Valiums. By the time he hit the stage, I looked over at him and I was like, \"Oh man. He's totally out to lunch, he's singing the wrong song.\" Somehow we pulled it off.\n\n**Edwin Heaven:** Seymour Stein met with the Nuns, and wanted to bring us into Sire. One weekend we were staying at the Tropicana on Sunset Strip, staying there with Blondie and the Ramones. You would not believe how white everyone was, three o'clock in the afternoon light. We all knew everybody was gonna make it. There was no doubt in our mind.\n\n**Hank Rank:** The thing to remember was that before the term \"punk rock\" was codified, there was no coherent look to the crowd. So you still had a lot of holdovers from the rock people. You had rock chicks there with big hair, you had guys with big hair, you had guys with satin jackets, rock gear. And then you had just sort of college kids.\n\nBut there was this report on one of the evening magazine shows. It was the first report of the Sex Pistols, footage of them from England. This new thing called \"punk rock.\" It was the first shot of spiky hair, safety pins in the cheeks, torn T-shirts. the first place where people learned how to dress punk. And pogo. The next day, that's what happened. Everybody knew what to do. Those clothes hit town and everything changed.\n\n**James Stark:** The very next punk show at the Mabuhay, it was like, \"Oh yeah. Here's how it works.\" It changed overnight. And it lost a lot. Because before that, punk could be anything.\n\n**Penelope Houston:** We saw that, and friends of mine were telling me about punk and describing how people tore their clothes up and safety-pinned them back together. So, without ever having seen a photo or anything, we started safety-pinning signs and Xeroxes onto our clothes.\n\n**Rozz Rezabek:** If you went to any show at the Old Waldorf, or anyplace that had an actual ticket, you'd take your ticket stub and put a safety pin on it. So people would have old white dress shirts with a bunch of safety pins with ticket stubs, from all the different punk shows they'd been to.\n\n**Jimmy Crucifix:** When Channel 5 KPIX news first did \"Punk Rock Hits San Francisco,\" they actually put the Mab on. The picture they showed was my friend Mike Trengali from the Street Punks, all wrapped up in Christmas lights, half naked, playing the piano.\n\n**Jello Biafra:** There were rumors of a scene in San Francisco. I was ready for a new form of rebellion but wasn't aware of what it was or how significant it was. Plus I knew I liked music that hardly anybody else cared about at all. I went there with my friend Mike Ellis from Santa Cruz who was into punk. We just decided Friday night or whatever it was, the Mabuhay. This was fall of '77. So we go there and after we paid to get in we realized we'd gone to heavy metal night.\n\nMetal night is not what metal is now. You didn't have extreme metal, death metal, black metal or very much good metal. It was just the last dying dregs of wannabe stadium rock with a little bit of moldy glam thrown on. And not one good song between the three bands we saw that night.\n\nSome punk rockers appeared at the front of the stage and really began to fuck with the metal bands. One in particular was sticking his tongue out and making faces. He was dressed for what was punk at the time, a beat-up old suit and a little skinny tie. Mike recognized him as somebody he went to high school with, at a school for Americans in England. It turned out, yes, it was indeed his friend Russell Wilkinson. But now he'd changed his name to Will Shatter.\n\nHe was friendly and said, \"You want to be in a band?\" \"I don't know, I can't play anything!\" \"I've been playing bass for three days and I'm in a band! We're playing tomorrow night.\"\n\nThat was a house party, a pretty infamous place that I think used to be a printing press on 8th and Howard. That night it was the Avengers and Will's band, Grand Mal, which sure enough sounded like they'd been playing for three days. The singer was Don Vinil who went on to start the Offs. Will and Craig the guitarist went on to start Negative Trend. That was where I found the real stuff.\n**4**\n\n**Teenage Rebel**\n\n**Al Ennis:** The Avengers were immensely popular. Penelope was an incredible writer. Almost everything she wrote turned into an anthem. It's melodic, but powerful. Greg Ingraham played guitar, very underrated guitarist. They had the punk look down without even trying.\n\n**Jello Biafra:** They were way faster and more direct than a lot of what was being called punk throughout the world. They had spiked hair like the British bands did, and paint on some of the clothes. Which was not really something done in New York, except by Richard Hell, who claims that Malcolm McLaren and the Pistols got it from him.\n\n**Danny Furious:** San Francisco Art Institute was a refuge for lost souls. We liberated one of the painting studios and set up house, complete with stove, fridge, sleeping bags and bags of speed. Hung a \"Keep Out\" sign on the door. The administration threw us out and turned Room 113 into a storage facility.\n\n**Penelope Houston:** We started in June of '77. I had friends that had gone to art school with Danny Furious, and he dropped out or graduated or something.\n\n**Danny Furious:** Penelope came to school every day dressed to the nines, with full makeup and '50s polka-dot dresses, petticoats, high heels and jewelry. She was stunning.\n\n**Penelope Houston:** Danny said he was starting this band with his friend from Orange County, Greg, and they had stuff set up in a warehouse on Third Street.\n\n**Danny Furious:** At that point we were just rehearsing old Stones and various other sundry garage.\n\n**Penelope Houston:** I was hanging out at the warehouse, and nobody was there. The P.A. was set up, and I started messing around. When they came back from wherever they were, I was like, \"I'm gonna be your singer.\" And they were like, okay. So we did one show at the warehouse where we just did cover songs. And then we went to L.A. and the Screamers told me, \"You gotta write your own material. You can't do cover songs.\"\n\nWe had a show one week later playing at the Mabuhay for this party the Nuns were throwing. Nobody had ever heard of us. We'd only been together for about two weeks. And in that one week, we wrote like six original songs. A couple of them lasted, \"Car Crash\" and \"I Believe in Me.\" \"My Boyfriend's a Pinhead.\" One called \"Vernon Is a Fag.\" \"Vernon Is a Fag\" was graffiti all over San Francisco at that time.\n\nWe made it through one song, and the band started playing the second song, and I was like, \"I don't even know what song this is. This doesn't even sound familiar to me.\" They were playing two different songs. And then, after a few measures, they just stopped playing and everyone looked up and said, \"What are you playing?\" \"I'm playing this.\" \"Well, I'm playing that.\" And then we figured out that the set list had been wrong.\n\nAnd we went from there. I was an art student, and I was living on my scholarship. Jimmy worked at a restaurant, and he's the source of the song \"White Nigger.\" I don't know if Greg had a job or not. I don't think Danny had a job. He just bossed everybody around.\n\nWe all lived together, sharing apartments with other punk rockers. When I did a gig I would take the money and put it in one of my coat pockets in a closet. Like, here's the rent money. Here's some money for the bills, put 'em in another coat pocket. And then when the time of month came around to pay bills or rent, I would be going through all my pockets in the closet trying to find that money.\n\nThere was no scene outside of North Beach. The Haight was just dead\u2014burnt-out, drugged-out hippies. South of Market there were a couple places to play, but nothing regular. Some people lived in warehouses out on Third Street.\n\nWe played the Mabuhay a lot. Like two nights every month. Once Dirksen realized we drew people.\n\n**Edwin Heaven:** The Nuns introduced the Avengers at a show in Rodeo, it was a biker club. Penelope was very Art Institute, her fashions were perfectly sliced and cut, safety pins everywhere. Rodeo didn't like the Avengers at all.\n\n**Penelope Houston:** It was maybe our third or fourth show. This is like when Billie Joe Armstrong was five or something. They were biker types, and they wanted to kill us. Not me so much because I was a girl. They wanted to rape me first. But I remember thinking, \"Why are we here?\"\n\n**Dennis Kernohan:** She had just moved here from Seattle, was a freshman at the Art Institute. She came strolling in, in her little pink poodle outfit, with her little skirt and little purse. Next time I saw her she was in a ripped T-shirt, no bra, totally punked out. Ever since that night in the pink poodle outfit I've been madly in love with her.\n\n**Joe Rees:** Penelope was so gorgeous. She was always this untouchable kind of person. She wasn't sociable. She socializes a hell of a lot more now than she ever did then. In those days she was always the mysterious woman. Every guy in the world would love to have been her partner.\n\n**Aaron Cometbus:** Penelope is the woman every boy _and girl_ in the East Bay grew up wanting to marry.\n\n**Billie Joe Armstrong:** I got into the Avengers through Aaron. He had these amazing archives and I remember looking at all these old pictures of her.\n\n**Sheriff Mike Hennessey:** The Avengers were my favorite group, because of their lyrics. Not just punk rock songs, but political lyrics like \"The American in Me,\" \"We Are the One.\" They were just really great message songs for the rebellious youth types. And of course, Penelope Houston was kind of a dream, too.\n\n**Dennis Kernohan:** Live, they were incredible. When they were at their peak, they were the best band in the whole scene. Bar none. Better than the Kennedys. They made everyone else look like monkeys. Jimmy Wilsey was a lead guitar player playing bass. Greg could play Black Sabbath in his sleep. And play it faster than anyone else on earth. They were definitely a fake punk band. They were a very good fake punk band. One of the best. But yeah, fake, through and through.\n\n**Penelope Houston:** I don't remember radio being something that we had any access to. Rodney on the ROQ, we did a few times. And then up here, there was one show on KUSF, maybe Howie Klein did it. All week long you waited for this one show to happen. Once in awhile you could get on it. So we started playing other cities.\n\nWe Are the One: Penelope Houston and Danny Furious of the Avengers\n\n**Danny Furious:** We went up to Vancouver in early '78 to do a show with DOA and the Dishrags. We pulled up to the venue, and this big, beefy, biker type skinhead punk approached our van. Took me by the hand, very politely said, \"Hi, I'm Joey Shithead. Welcome to Vancouver!\" I nearly pissed my pants.\n\n**Penelope Houston:** L.A. loved us. They pretended that we were from L.A. because two of our members were from there. We played the Masque a lot, eventually the Whisky. The Go-Gos, X, the Weirdos opened for us. It's funny, all the people that opened for us. How far they went, and how far we didn't go.\n\n**Dave Chavez:** Negative Trend, I don't know how long they were together. I think it was less than two years. If anything, they were one of the heavier bands. They weren't fast like hardcore became, but they were heavy like hardcore. A very important band, too. They had Will Shatter's beautiful voice that to this day I still think is one of the greatest voices from any of the scenes.\n\n**Jello Biafra:** Rozz was the most electrifying part of that band. Our local Iggy.\n\n**Johnny Genocide:** Rozz took the front man persona to the limits, beyond anything anyone was doing at the time.\n\n**Rozz Rezabek:** I was living with these teenage girls in Portland. I had been hanging out with these people that all listened to Mott the Hoople, Bowie, Lou Reed and Iggy, the glitter kind of crowd. There wasn't really much else. And then all of a sudden the Ramones came up, and we started hearing about stuff over in England. We heard the only place you could even get those records or hear them on the radio was San Francisco. So we had to go.\n\nMe and these three stripper girls, Jane, Pammy and Debbie Sue, headed off to San Francisco together in Debbie's big old '56 Buick. Debbie Sue was able to get an apartment and she had already met up with Craig and Will Shatter, they were in a band called Grand Mal.\n\nWill Shatter was always on. He was always kinda snide and sarcastic. The way he would talk kinda sounded like an English accent, almost like a Valley guy. He was from Gilroy. He never let any of that on. To us, he was from England. But we kinda knew he just went over to England.\n\nSo Debbie Sue was with Craig, and Will was with Pammy. Pammy and Will had the couch, and I had a pile of cardboard behind the couch. They were like, \"This is Rozz from Portland, you gotta put him in the band.\"\n\nThey were saying, \"You can't be in the band unless you get a punk haircut.\" I had kinda long Peter Frampton hair. I'd fought my dad so long to finally be able to grow my hair out. And I was like, \"No, then I'm not gonna do it.\" Then I did one show with them. I just came in and pushed Don Vinil offstage after about six songs and said, \"I'm the new singer.\"\n\n**Danny Furious:** They managed to pull off a coup at the Mabuhay that night, Rozz jumping stage mid-show and basically not allowing poor Don Vinil to continue.\n\n**Rozz Rezabek:** The next time we played, I broke my arm. We played this party with the Avengers at Iguana Studios. All the bands, Dils, Avengers, everybody rehearsed at Iguana Studios for eight dollars an hour. But in the big main room there was a big showcase for Sandy Pearlman, the producer who had just done Blue Oyster Cult's \"Don't Fear The Reaper.\" We thought it was big and important, because we were all like 17 at the time. But it was not really important at all. He was really there just to see the Avengers.\n\nEverybody was getting entangled in all the microphone cords. I tripped over a cord and broke my arm. I went to the hospital and was supposed to be waiting around for the cast. But we were punk rockers, we were impatient. I wanted to get back to the party and see what Sandy Pearlman thought of the band. So I went back. The arm was all fucked up and got broken again, because I didn't really have a cast on it. I just had these makeshift wraps.\n\nThe story got bigger and bigger. It was in Rolling Stone: \"In the grand tradition of Iggy Pop, Negative Trend lead singer Rozz, a frisky beanpole of a lad, fell offstage breaking his arm to pieces. And his arm was a shattered bloody wreck.\" And then it got picked up in _New York Rocker_. When actually all I did was trip over a cord.\n\nWe thought it was gonna be this big, big deal, playing in front of Sandy Pearlman. It was years after that, before any punk bands got signed to any labels.\n\nThe Avengers were really nice to us. They could really play, just gorgeous music. And same with the Dils. Those guys didn't see us as a threat. We were just kinda the California Sex Pistols, destroying and breaking furniture. So those guys put us on their bills, to take the pressure off their set or something. It was a nice little chaotic bit of anarchy.\n\n**Danny Furious:** Rozz would jump onto tables, knock everyone's drinks over. Just basically being as obnoxious as possible.\n\n**Rozz Rezabek:** What people liked is that our shows were spontaneous. You went to fuckin' Crime and the Nuns, you knew exactly what you were gonna get. You knew Jeff Olener was gonna pull out his fake teeth during this song. You knew that Johnny Strike was gonna turn on some stupid cop lights on the back of their amplifiers.\n\nBut at a Negative Trend show, you didn't know if everybody was gonna smash every table and chair in the joint, cover it with an American flag, douse it with gasoline, and start a fire in the middle of the dance floor. We always ended up owing Dirk money, because of the shit that would get destroyed.\n\n**Ian MacKaye:** I was quite a student of the West Coast punk scene at the time. Negative Trend, we thought of them as one of the greatest bands that ever existed. The fact that they were San Francisco was just really clear. San Francisco people were really wired. They were jittery, like speed people. And they were kind of crunchy.\n\n**Rozz Rezabek:** We had a song \"Blow Out Kennedy's Brains Again.\" We'd start sloppin' these big slimy gray cow brains. You could get 'em at any market. You could even get 'em on food stamps. We would use food stamps to buy props.\n\n**Bruce Loose:** I would always have an interaction with Rozz onstage. Grabbing, pulling him onto the ground, we'd be rolling around on the floor. I did a dance called the Worm at the time, where everybody'd be pogoing, and I'd be lying on the floor wriggling around, trying to knock people over. I got stomped on a lot, but, you know.\n\n**Rozz Rezabek:** We were like the first punk band to tour the West Coast, and when we went up to Seattle we did not disappoint. The club had this eight-foot painting of Marie Osmond in a wedding dress. When we went up onstage we went crazy, and her painting got a hole ripped in a specific place. People took what we were doing and went with it, and went even nutsier. It was a line of crazy Seattle punks gangbanging a painting of Marie Osmond.\n\nWhen we got outside of San Francisco, we could still shock and awe people. In San Francisco, people had to go further and further. Some sort of B&D situation where they just wanted to take it further further further. There's no safe word in punk.\n\n**Jello Biafra:** Rozz was in so much pain he basically left the band to save himself.\n\n**Rozz Rezabek:** I ended up on a bunch of Percodan and stuff. I was 17 years old. Drinking beer for the first time. I'm taking all these pills, and my arm is all screwed up. Then I started having epileptic seizures. I'd put my head through walls, and waking up with blood in my hair. I didn't think I was too long for this world if I stayed in the band.\n\n**Bruce Loose:** They were looking for another singer. I went to the Negative Trend singer tryout. Jon Binell was there. Jello Biafra was there. And they did not take him. Because he went, \"Oooooohh-hhaahhhahh!\" I got up and I went, \"Idon'tknowwhattosing Idon'tknowwhattosing.\" So I didn't get the job either.\n\n**Jello Biafra:** It was a cattle call, so I auditioned, Bruce auditioned, a woman named Stephanie Krieschock. She and I bumped into each other 20 years later at a (Sc)Avengers show. We looked at each other and said, wow, cool\u2014a reunion of the singers rejected by Negative Trend!\n**5**\n\n**Giddyup Mutants**\n\n**Al Ennis:** The Mutants had their own scene. As a lot of these bands did. Especially the Avengers and the Mutants and the Offs, they were in San Francisco for a long time, and they knew a lot of people. The Mutants had a lot of really good fun songs.\n\n**Danny Furious:** I liked the Mutants. Everyone did. They were the B-52s without the catchy tunes. Very charming bunch.\n\n**Joe Rees:** The Mutants were like the scene band. They were always with the Avengers, always with the Dils. They seemed to be on every bill. It was such a big group of people. You not only get the Mutants, you get everyone.\n\nThey had a giant studio right near the bus station. Not only did a lot of the Mutants live there, but also photographer friends, and friends from god knows where. There were 25 to 30 people living in that place, somewhere in sleeping bags. They'd have their practice sessions, and everyone would just have to work around it. If you stayed with the Mutants, it was gonna be a continuous 24-hour party. It was an insane asylum. It was great.\n\n**Sheriff Mike Hennessey:** I remember seeing the Mutants on Thanksgiving, and they actually dressed up as turkeys and pumpkins. They were kooky and fun and more sort of hard rock than punk rock, maybe, but quite edgy, and good harmonies.\n\n**Fritz Fox:** The very first show we did, we threw dead fish out into the audience. Each show had a different theme. You know when you see somebody walking down the street with paper sticking to their feet? We thought, \"Oh man, that's cool, we gotta do that.\" So we had a show where we put newspapers all over the stage, and then sprayed the bottom of our feet with adhesive. And then I saw these big appliance boxes for refrigerators. I said, if the singers got into these boxes, and the audience couldn't see us, and the band's playing, and we're singing from within the boxes, it'll drive the audience nuts. So we did that. And then we did one where we had lights taped on sticks, and mounted these photographic lights and reflectors, and put those on our backs. And had lights shining over our heads. I smashed televisions, and I smashed record players.\n\nIn the midst of all of this chaos and stage stuff, we began to actually write some really good songs. Not very many people knew how to play. Brendan and myself were the only musicians that had experience. It was pretty amateurish. But I thought that naivete would lend to the chaotic ambiance, and that it would translate for people.\n\n**Dirk Dirksen:** I used to tease both the Mutants and Crime about timing their drugs. If we kept them waiting too long, if the sound engineer couldn't get the stuff together, or the drum kit couldn't get set up, then catastrophe would strike. Because the drugs would kick in just at the wrong moment, and they'd collapse on you in the middle of the song.\n\nOne particular night at the On Broadway, we said, absolutely no more drinking. We cut the Mutants off at the bar. We didn't know what they'd ingested before they got in the club. But no more drinking until they hit the stage. Security would take booze out of their pockets, go through their guitar cases and drum kits.\n\nWe had put out five or six six-packs in various spots of the stage. Well, Sally, the moment she hit the stage, like _Saturday Night Live_ , she just picked up this six-pack and went _glug glug glug_ , all six of them in less than 30 seconds. Within a song and a half, she was just flying. We had little cocktail tables. She jumped to the first one, the next one, the next one, just kept walking, kicking drinks off the tables.\n\n**Fritz Fox:** No matter what we played, we left the stage in shambles. So no one really wanted to follow us. Not because we were the better band or we put on the better show. If we played our music well and we sang right, and didn't get too drunk or fucked up on drugs, we put in a damn good performance. There's a lot of them that were just like total washes. You'd be like, \"This is a failure.\"\n\nFun Terminal: The Mutants (really) on fire\n\n**\"CRAMPS\/MUTANTS: Napa State Hospital\"**\n\nNapa's this giant mental institution in the country, far from everything but vineyards and dairy farms. I got up there at around 7 p.m. and something like 250-300 patients, mostly over 30 and of all races, were milling around an enclosed courtyard while San Francisco's Mutants were setting up their motley equipment on a roped-off, open-air concrete stage. The Mutants are a weird-looking conglomerate of oddly shaped people to begin with. . . . They are the antithesis of what a group is supposed to look like.\n\nFrom the git-go, everyone started realizing that the lunatics were pretty hip. Like they definitely knew what was going on. One Mutant (of the band variety) yelled out, \"Anybody got any pot?\" And a patient yelled back, \"We got thorazine,\" and everybody (in the audience) cracked up. Hep cats. . . . When the Mutants went on everybody started pogoing immediately. These people came ALIVE with the music, as if it was electricity turning on a machine. . . . After the first song the whole place was going NUTS (pardon the expression). Everybody got to do whatever they wanted and half the audience wound up on the stage, singing, dancing, milling around the singers, and doing their weird trips. . . .\n\nMeanwhile two patients escaped over a fence and were seen running down the highway. (\"We don't go after 'em anymore. They don't have any money and they'll be back in a couple of days.\")\n\n_\u2014Howie Klein,_ New York Rocker, _1978_\n\n**Fritz Fox:** We all drove out there in a big yellow school bus. I think the Cramps had their own bus. They were standing right on the edge of being launched into superstardom at that time. This is the way I felt about it: \"Oh, what the hell are they doing here? They're trying to cash in on our gimmick, our idea.\" The gig was offered to us. I think that they just wanted to get in on it.\n\n**Joe Rees:** Napa State Mental Hospital. Those people were so excited that someone was interested enough to put on a free show that they didn't do any preparation, other than, \"Yeah, come on down.\" These days, you'd have to go through a security clearance, and have to wait a month to get tested for some kind of disease. There'd be all kinds of lawyers running around.\n\n**Fritz Fox:** We didn't know what to think, actually. We were outside on a raised part of a quadrangle, that was adjacent to their dining area. We had an audience of very uninhibited participants. Like, they would imitate what they thought we looked like. It was very strange. Our music is neurotic, or schizophrenic, it's sort of mental anyway. Inmates were just going bananas. Having little episodes of something that was cloistered in their brains for a long time. And some of the participants, we triggered them. It was very intense.\n\nI took acid that day. Along with Sally. I was out there. It started out, you're picturing that you were made to do this. But there was drama in that. 'Cause you're up on the stage, singing these songs, making fun of yourself, and the way you think. And if you're on acid, looking out on the audience, you don't see things that are hilarious, you see things more profound and oblique. You go like, \"Oh man\u2014why are we doing this?\"\n\n**Joe Rees:** He looked pretty silly. But he always did anyway. How could you ever tell whether he is tripping on acid?\n\n**Hef:** I didn't know about the high on acid part. Why would you need to be high? I mean, just doing that should be enough of a high.\n**6**\n\n**Holidays in the Sun**\n\n**Al Ennis:** I'd stop by the newsstand, and you could follow it week by week. Sex Pistols sign with this record company. Next week, Sex Pistols get kicked off. Next week, Sex Pistols get signed again.\n\n**Rozz Rezabek:** People thought it was gonna be like the whole counterculture '60s thing. People were really threatened and scared.\n\n**Jello Biafra:** A Denver store called Wax Trax claimed to have had the first Sex Pistols record in the United States, possibly the day it was released. I went to check it out. Right on the front door of Wax Trax was _John Denver's Greatest Hits_ , with nails through his eyes and blood coming out.\n\n**Dave Dictor:** I lived in Austin and I picked up Gary Floyd hitchhiking. He was going to see the Sex Pistols in Dallas. He asked if I was gonna go. I was like, what? That was the first time I ever heard of the Sex Pistols.\n\n**Ruth Schwartz:** I was going to Santa Rosa to JC and we saw them on the news: \"They're in Texas, oh my god, this band's in Texas! We have to go see them when they come to San Francisco.\"\n\n**Sammytown:** When I was 12 we were living in Wales, that's when I first heard the Sex Pistols. It was awesome. When I got back to the States, my dad was like, \"Hey, the Sex Pistols are playing in San Francisco.\" It was on the news, and he called me in to watch. He's like, \"Isn't that that band that you were telling me about?\"\n\n**Sheriff Mike Hennessey:** I heard that they were coming to Winterland, and dragged my girlfriend\u2014who's now my wife\u2014to see that show.\n\n**Danny Furious:** I received a phone call in early December from a Mr. Howie Klein, asking if the Avengers were interested in opening for the upcoming Sex Pistols show. Naturally I said, \"Yes!\" He went on to say we'd only be paid 100 bucks and that if that wasn't okay, there were literally hundreds of bands who would play for nada. That didn't sit well with me but we accepted, of course. Johnny Strike: I got a call from Bill Graham's people. \"Do you want to open for the Sex Pistols?\" I said, \"Yes, absolutely. We'll take it.\" Everybody was excited. About two weeks later we got another call. \"Well, something happened. It turns out that the Avengers met Malcolm [McLaren] and so they've got that slot, but we still want you guys on the bill. You'll have the third slot.\" So I went back and talked with the band. It was unanimous. We're not playing.\n\n**Hank Rank:** We wouldn't open for the Avengers. The Avengers always opened for us. We were the senior band 'cause we formed a good two months before they did. It was a little longer than that. But that was our thinking.\n\n**Johnny Strike:** Not only did we not play, we didn't go. We completely boycotted the show.\n\n**Steve Tupper:** Whatever was going on in their brains, I never knew. Crime totally shot themselves in the foot.\n\n**Penelope Houston:** The Nuns, who did open for us, called me up and said, \"Do you want to switch places?\" And I was like, \"No.\" We'd only been together six months, and I think that the other established San Francisco punk bands really thought they should be on the bill.\n\n**Jennifer Miro:** We almost didn't get it. Bill Graham just hated us, but Jerry Pompili was kind of managing us, and he was Bill's righthand man. And he really liked us.\n\n**Howie Klein:** This is terrible and I don't know if this has ever been written before. I feel bad about saying this, but I'm gonna tell it. Malcolm McLaren came over to me and goes, \"Who's the worst band in the scene?\" And I said, \"Well, Negative Trend.\" He said, \"They're godawful?\" I said, \"They're absolutely godawful.\" He said, \"Can they play?\" I said, \"No, not at all.\" He said, \"Okay, can you find them for me?\"\n\nBill had already put the show together, and Malcolm comes in and says, \"We want this band opening for us.\" He said he wouldn't play if they weren't on the show. So then Bill says, \"Okay, you want them on the show? They're the headliner.\" So Malcolm went for that.\n\n**Rozz Rezabek:** We were excited because it's true, we _were_ the worst band in San Francisco! And all of a sudden we're at the scene of this big swirling controversy 48 hours before the show, where the headline act, the Sex Pistols, is not gonna play unless Negative Trend is on the bill.\n\nWe didn't know if we were gonna play. The night before the show, we took our posters and made this Negative Trend symbol about 30 feet high, on the side of Winterland, with wheat paste. Cans and cans of spray paint. We got it bad. I don't know what got into us. Bill Graham was furious. Furious. He called us a \"Nouveau Revolutionary Band.\"\n\n**Penelope Houston:** It was sold out. There were between 5 and 6,000 people. The biggest show we'd ever played, and it was the biggest show the Sex Pistols had ever played at that point.\n\n**Insane Jane:** Me and my foster brother Mike Munoz showed up at 10:30 in the morning in our ripped-up army jackets with Vaseline in our hair. There were two girls already in line, one of them was wearing a yellow, Devo-style jumpsuit. This punk dude strides up and says, \"So, you're gonna be first in line, eh?\" The two girls jumped up and squealed, \"Sid! Sid!\" and had him sign a copy of _Never Mind the Bollocks_ , which he deeply gouged his signature into. He seemed very happy when my brother told him he was ten years old. Then some dude jumped out of a car and said, \"Anybody have an extra ticket for sale?\" Sid mockingly repeated what the guy said, then snatched off the dude's wraparound shades and threw them into the street. Sid then took off, saying, \"See ya later inside.\"\n\n**Jennifer Blowdryer:** I definitely put on my \"Anarchy\" T-shirt and some horrible off-suede lace-up open-toe boots I'd found in a thrift store, and a slip. A woman on BART called me \"sister,\" thinking I was a whore or something. I was so offended.\n\n**Jennifer Miro:** Johnny Rotten was hanging around, it was nerve-wracking but it was just _so_ cool. There was no punk in L.A. yet. It was so behind San Francisco.\n\n**Danny Furious:** I remember John onstage alone after their sound check, while I was setting up my kit for ours. He looked like the unhappiest, angriest person in the world. And then in bounced Sid, trying to con me out of the hammer\/sickle T-shirt the Dils had loaned me for the show. When I looked up, Rotten had fucked off, so I never had the chance to have my head tore off by him by saying hello.\n\n**Bruce Loose:** I found thousands of pairs of those glasses that the doctor gives you when they put drops in your eyes to keep the light out. At Goodwill, for like a nickel, I bought 100 dollars' worth, and I scratched \"Sex\" in one lens, \"Pistols\" in the other. Filled them in with DayGlo paint, and tried to hand them out. I had a little past shoulder-length hair. These English punks that came along with the Sex Pistols would take them from my hand, throw them on the ground and step on them. Push me on the shoulder. Give me all this attitude.\n\n**James Stark:** It was one of the most intense, chaotic shows I've ever been to. It was just mayhem. Everybody was jumping and yelling, a constant barrage of flying projectiles. I tried to get up close to take some photographs and it was just impossible. People came from L.A. and up north and from all over. You had a lot of kids from the suburbs.\n\n**Gary Floyd:** It was a real opportunity for people to strut their punk-ness. \"The Sex Pistols are here, and here we are in San Francisco and we're punks, too, and we have weird hair and we're going to do our shit tonight!\" Everybody was just strutting like it was a little parade. It was very surreal.\n\n**Sheriff Mike Hennessey:** I remember sitting up in the balcony with Beverly. The crowd was loud and obnoxious and yelling. And when the Sex Pistols came on, a lot of people were heaving spit. I knew the music already, because I'd had the album. It was loud, and hard to understand.\n\n**Steve Tupper:** Up at the stage, you couldn't move at all, crushed in from all sides. As an experiment, first I raised one foot, and then the other off the floor. And just hung there for a couple seconds.\n\n**Jennifer Miro:** I was dating Brittley Black, who was in Crime, and he broke up with me the night before the show. So I was crying the whole night. I went on first, all by myself, the very first person on the stage, and I was wearing this green taffeta vampire-collared mini-dress with black spike-heeled boots. I was terrified, in the spotlight, and I just stood there, and they cheered. After that, you can't go back to a normal life.\n\n**Penelope Houston:** There were only maybe 500 punks between L.A. and San Francisco. So who were the other 5,500 people? The crowd was frightening, that's what I really remember about it most. The stage was covered in spit when the Nuns were done. And I walked out and slipped on a big gob. I didn't hit the ground but almost. I was scared. \"Everybody, um, take a couple steps back because the people in the front here are turning blue.\"\n\n**Danny Furious:** We were nervous. We'd never played for more than a couple hundred, at best. When I hit my snare, the volume from the drum monitor behind me literally knocked me off my stool. I'd never had a drum monitor.\n\n**Jennifer Blowdryer:** The Sex Pistols didn't play very long. I didn't pay too much attention, 'cause they didn't seem that serious or engaging, so why would I be? I went to the ladies room and there was this woman, Blondine, who had like part dark blond, part light blond hair, and some kind of silver short trench coat, and bright blue eye shadow. I was attracted to that. Really, the stripper in the bathroom made the biggest impression on me.\n\n**Penelope Houston:** Sid was really not a good bass player. The other members of the band were holding it together. And Johnny Rotten probably knew it was their last show.\n\n**Dennis Kernohan:** The Avengers blew them away. The Avengers _killed_ the Sex Pistols that night. So much so that Malcolm McLaren wanted to produce them.\n\n**Howie Klein:** I was on the stage for the whole show. People were throwing coins, which Bill Graham and I picked up afterwards. I was going for the quarters, he was going for everything. Penelope Houston: The Sex Pistols went off to a dressing room up in some offices. We were backstage, hanging out with Negative Trend and some of the Nuns.\n\n**Howie Klein:** I was watching the Sex Pistols' equipment coming off the stage and it was just a circus. Everyone started leaving except for the same 25 people that would have seen Negative Trend anyway. I felt bad for them.\n\n**Rozz Rezabek:** We thought we were going to go on. These guys were leadin' us, then the next thing I knew, they were shoving us out a side door. And then we were let back in. Immediately. But our instruments had mysteriously disappeared, and the house lights were up, \"Greensleeves\" was playing. They said, \"Go ahead. You're on!\" I was like, \"Where are our instruments?\"\n\nThere was a huge backstage area and we just started destroying stuff. There was like 60 garbage cans full of little Olympia beers, we knocked every single one over. These little six-ounce cans, we were throwin' 'em like snowballs. There was ice about two inches deep through the back area.\n\nThere was a hot dog cart, so I asked for two hot dogs with relish and threw them at the first person that had a camera light. There was all the major networks there: ABC, CBS, NBC, doing a live-for-TV thing. Britt Ekland was there, Rod Stewart's girlfriend at the time, so I fuckin' slammed hot dogs right in her face! We were completely rioting, and nobody seemed to stop us.\n\n**Ginger Coyote:** The Sex Pistols were staying over at the Miyako Hotel and I remember going by there. Rumor had it that Zsa Zsa Gabor was also staying at the hotel and had been partying with Steve Jones.\n\n**Jennifer Miro:** We were whisked away in a limousine to a party. Sid Vicious kissed me on the head and he invited us all to stay with him in London. He was very polite. There was this long line of people shooting heroin.\n\n**Rozz Rezabek:** I remember bits and pieces of the after-parties. This one place in the Haight, they were just like knocking down the walls, to the drywall. And Sid occupying the bathroom. He peed his pants a bunch. He was drinking peppermint schnapps. We were like, \"Why are all these girls all over him?\"\n\n**Danny Furious:** Sid fucked off with Lamar and other punk junkies to the Haight where he OD'd. The Avengers went to the Mabuhay to very little fanfare. I went home to bed, wondering just what had happened.\n\n**Rozz Rezabek:** I don't remember anything 'til a couple days later, waking up with really chapped lips on the beach.\n**7**\n\n**You Are One of Our Lesser Audiences**\n\n**Al Ennis:** It was a very exciting time historically. You had the assassinations of Moscone and Harvey Milk, then later on after the Dan White trial you had the White Night riots, and all the punks were out there rioting and burning cop cars. You had the Golden Dragon massacre in Chinatown. Tuxedomoon had a song about the Joe Boys, one of the big San Francisco Chinese gangs at the time. You had the People's Temple based here. That was all during the heyday of punk.\n\nIt was also the golden age of the serial killer. You had Gacy killing all the kids, you had the Hillside Strangler down in L.A. You had the Son of Sam in New York. There were _songs_ about this stuff. A Texas band did a song called \"People's Temple.\" There were bands that did songs about the Hillside Strangler, about Gacy, about Son of Sam.\n\nIn retrospect, I think of punk as folk music of the time. Because if you go back to old blues music, old calypso music, Mexican border music, if there was a hurricane, or an assassination, people would put out songs by the next week. This is how fast things were moving. People would come out with songs about all this kind of stuff.\n\n**Danny Furious:** Beyond a doubt the Dils were and remain my favorite S.F. band. Although originally from Carlsbad they were nauseated by the shallowness of the L.A. scene, and moved to a much more receptive San Francisco. Tony was the smart guy, Chip the pothead. Together with various drummers, they were perhaps the best band in the world.\n\n**Chip Kinman:** The Dils were one of the few punk rock bands that would play ballads. Most bands wouldn't do it. We thought slowing down was as radical as playing really fast. At that point, it probably was, because everyone was getting faster and faster.\n\n**Dave Chavez:** Chrome was a band that a lot of people don't remember. It was very influential on bands like the Swans and stuff later. I got to see 'em once and they did the best show. It was like a total magic act. There were puffs of smoke and tin foil wrapped on everything. They disappeared and appeared. There was a lot more multimedia in the early first wave of punk, a lot more ingenuity.\n\n**Steve Tupper:** The Liars were really great live. They were about halfway between '77 punk and power pop. Very energetic and very poppy and melodic. They would get everybody in the room pogoing every time.\n\n**Dennis Kernohan:** We had the most requested song on KSAN, \"Sudden Fun.\" It was a minute and a half long. Later, we changed the band's name to Sudden Fun. 'Cause it was our favorite song. We never were trying to get a record. We never tried to do anything, actually.\n\n**Al Ennis:** Don Vinil was one of the first scene-makers at Mabuhay Gardens. I used to always see him around, and next thing you know, he was up onstage with his band. A lot of the songs the Offs did had a big reggae influence. Later on they brought in a sax player. Very punky.\n\n**James Stark:** Don worked at a record store in the Castro. You'd go there, and when he was working you could steal all the records you wanted. He'd cover for you.\n\n**Jello Biafra:** There was a good-natured competition between me and Don Vinil when we were living together. Who would come up with the next new song, and how different would it be from our other songs.\n\n**Klaus Flouride:** There was a guy that played in the scene, and he had a song called \"On the Ward Again.\" Ralph Pheno.\n\n**Dirk Dirksen:** Ralph did a record chart, the \"Rotten Record Chart,\" to give the punk scene in San Francisco some legitimacy. It gave the area a real cohesiveness. Ralph at the time was heavily doing ecstasy. Later on, Ralph went outside and took a can of gas and set himself on fire. It was an unfortunate loss.\n\n**Jimmy Crucifix:** We started a band called the Next. With Brittley Black, who had been in the Readymades and Crime, and me on guitar. Our first gig was with Crime, Pearl Harbor and the Explosions, and Dead Kennedys. We actually brought chickens with top hats and bow ties. Just put 'em on with little rubber bands. We let 'em loose onstage. And we destroyed all our equipment.\n\nBrittley put so much flash powder in his drums and around the stage, it fucking burnt everybody's eyelashes and eyebrows off in the front row. The Mabuhay was full of smoke and chickens running around, _bockbock bockbockbock_ , with bow ties and top hats. They closed Broadway Street down.\n\n**Sheriff Mike Hennessey:** Some groups were just hilarious to go watch. Jennifer Blowdryer. They had great names.\n\n**Jennifer Blowdryer:** Legionnaire's Disease were kind of funny 'cause they were a couple of Vietnam vets.\n\n**Jello Biafra:** Part of what made the Mabuhay succeed was, there was none of this standard '70s-bar-band, three-sets-a-night crap. You played your 20 minutes and got off the stage. You just had to play your best material. Or in many cases, your only material.\n\nIt was all so new that there wasn't a set regulation way to do things. You couldn't decide how you wanted your punk band to sound by listening to a million other punk or hardcore bands. There weren't enough of them. It wasn't \"every band should sound the same 'cause then your friends will like you and you'll instantly get an audience.\" No. It was, \"Every band must sound different from every other band, or none of us are gonna be interested.\"\n\n**Dirk Dirksen:** DOA was a bunch of really dedicated Canadians who hitchhiked down for their first gig.\n\n**Joey Shithead:** It was in 1979, and \"Disco Sucks\" was getting some play on the local college stations, so we organized this trip down there. Sort of organized. I took the train down, Brad the guitar player hitchhiked down, Chuck and Randy took the bus down. I arrived first 'cause the train was on time.\n\nI met Dirk Dirksen: \"Hey, we're DOA.\" He said, \"Okay, where's your band?\" \"Well, ah, they should be here anytime.\" He went, \"Oh yeah, where's your equipment?\" \"Well, we don't have any.\" He said, \"You don't have any equipment?\" \"No. No equipment. Was hoping that we could borrow some.\" He said, \"Are all you fucking Canadians this stupid?\" I was like, \"Ahhhhh.\" I didn't know what to say. I was a young puke.\n\nSo we played one night with the Avengers, and it went great. The next night we opened for this great old band, Ray Campi and the Rockabilly Rebels. We were like second on the bill, and the place was packed again.\n\nI'd been hanging out with Will Shatter all day. Drinking beer all day long. We went down to Fisherman's Wharf, we'd piss in flower pots in front of tourists. We had a laugh about that. We'd get more beer, blah blah blah.\n\nWe got to the gig, and I can't remember what spurred this on, but people were just kinda looking at us like we were from Mars, type thing. Personified the slack-jawed gawker.\n\n**Randy Rampage:** In the middle of the show there was these three secretary types, out for their punk rock weekend. Sitting on the end of the dance floor at the Mab. They started throwing bottles and glasses at Joe. So he didn't take lightly to that, being the size he was, so he whipped out his cock and decided to piss over the dance floor, onto their table, ya know.\n\n**Joey Shithead:** I'd been famous for getting a good arc with a lot of distance. When I did that, I knew what Moses felt like. The Red Sea parted, and they ran for cover.\n\n**Randy Rampage:** He got this huge golden arch going, right? It was like people\u2014\"WHOOOOOAAA!\" And there was Joe standing there, with this big spray. Right into these girls' drinks. Never got a drop on them. But their drinks were covered, and everything. \"That guy pissed in our drinks!\"\n\nWell, Dirk was fuckin' goin' mental. The Dead Kennedys were supposed to play after us. They wouldn't let Joe back in the club. Jello said, \"If Joe can't get back in the club, we're not gonna fuckin' play.\" Now the place was gonna riot, 'cause the Dead Kennedys weren't gonna play, 'cause Joe's kicked out of the club. So the bonds were mended.\n\n**Joey Shithead:** As soon as that was over, they filled up the dance floor again, and went nuts. It was a bizarre thing, but all the people in San Francisco went like, \"Oh yeah. DOA's pretty interesting.\"\n\n**Ninja Death:** One time Stan Getz showed up wasted to a show by our band, the Emetics. He kept yelling that we needed a sax player. It was obnoxious. Stan managed to drink our whole tab away, then he jumped onstage and played one song a cappella with our punk shit, then went into the Mab alley and got a blow job.\n\n**Chester Simpson:** Will Shatter and I spent the night in jail when the police raided the Mab. I showed my press pass to the police. They chased me, beat me up, broke my camera, took my film and threw me in jail for obstructing the sidewalk.\n\nA police officer who was in on the raid wrote _New West Magazine_ 's \"Letters to the Editor.\" The problem was, he wrote the letter on Police Chief Charles Gainer's stationery and mailed it. So they published the letter in whole.\n\nI can well appreciate the awe which the raid of Dec. 1 must have struck in the shallow minds of those booger-eating morons who frequent the Mabuhay Gardens, upon seeing 28 of their ilk deposited in my paddy wagon.\n\n\u2014Letter dated January 18, 1979, from Sergeant Edward R. Fowlie\n\n**Dirk Dirksen:** I had my nose broken I think seven times, both ankles screwed up, both my knees, and a broken elbow. So I paid my dues.\n\n**Klaus Flouride:** I remember Will Shatter being dragged out of the club, and kicking the front door glass through, and giving Dirk a bloody nose, and Dirk saying, \"You'll never come back in this place again.\" And next weekend he's there, and Dirk and him are all being buddy-buddy and insulting each other.\n\n**Robert Hanrahan:** Dirksen was a visionary showman who enforced his own local version of the record companies' plantation system. He seemed quick to embrace New Wave. But Dirk's Blow Job Machine outside the bathrooms was very cool.\n\n**Danny Furious:** Dirk Dirksen was a moneygrubbing old carney who saw a buck and chased it. Nothing wrong with that, until he showed his true colors by banning bands that chose to play alternative venues. He wanted to keep the whole thing for himself and his cronies like Howie Klein.\n\n**Dirk Dirksen:** Howie was there from the beginning. His name at the time was Jack Basher, he had a music column in an advertising paper called the _Progressive_. Cosmo Topper was running Aquarius Records, and he and Howie were friends. Howie and Cosmo had the show on KSAN, _The Outcast Hour_ , late at night. Howie evolved that eventually into 415 Records.\n\n**Danny Furious:** Howie was a scourge on the scene. Being a friend of Jonathan Postal, our original bass player who was sacked for being a complete asshole, he tried to make life hell for the Avengers with bad press, or worse, no press at all. Howie had his own agenda and made out quite well, but I will always see him for what he is, a scumbag opportunist. A no-talent nobody. A con man. The epitome of everything I am against.\n\n**James Stark:** Michael Kowalsky had been around right from the beginning, he'd been part of the Crime entourage, he was a friend of Ricky Williams, and of De De's. Later on he was part of UXA. But the Mabuhay was very important to him because his home life had been pretty fucked up. He was living the Polk Street type scene. He would hustle. Sell tourists drugs. \"Here's some great cocaine.\" You were lucky if it was powdered sugar.\n\nThe Mabuhay scene became very important to people like Michael. There was this one incident where Michael got into a tussle with Dirk and broke his glasses, and Dirk told him, \"If you ever want to get back in here again, you gotta pay for these glasses.\" Michael was a young kid. He didn't have a lot of money. It was maybe 100, 150 dollars. So Michael, very diligently, paid Dirk back. It took him a month or so. And then Dirk let him back in the club.\n\n**Joe Rees:** The father image. Dirk always liked to play that role. He obviously was older, but at the same time he wanted to play that role as the Bizarro King. Artists, if somebody gives you a theater to perform, you owe them.\n\n**Jennifer Blowdryer:** I'm glad that there was a tough fag in charge of the club. Because Dirk tolerated me just a little bit, and that's all that I fuckin' needed. And I started performing. I had a lot of anger and I'd been really fucked, and I became the aggressor. I could just let it out, and people thought it was kinda funny.\n\n**Sheriff Mike Hennessey:** I always loved being there at closing time, because Dirk would get up on the stage, take the microphone away from whoever was performing, and yell insults at the crowd. My favorite one was, \"Alright, it's two o'clock. I can't sell any more beer, or make any more money off you, so get out!\"\n\n**Dirk Dirksen:** \"Begin moving towards the doors, now. Before we turn loose the police dogs, our tear gas and high-pressure fire hoses. I'm sorry, sir, I can't accept your offer to have sex with me, because I'm already committed. Thank you, good night. Get out.\"\n\n\"I'm sorry to see you're that easily pleased. You should try and show some intelligence and sophistication, and not just accept any slop that's thrown in your trough.\"\n\n\"Tonight's band may not be the best, but you are one of our lesser audiences.\"\n\n**Max Volume:** \"For the next five minutes you are welcome guests, after that you are unwanted trespassers.\"\n\n**Rozz Rezabek:** Ness [Aquino] ran a supper club there. If we came around the side door at Mabuhay at 6:30, Ness would give us these greasy noodles, that were fried Top Ramen type, like Filipino something. He would feed us all.\n\nI'm Already Committed: Dirk Dirksen at the Mab\n\n**Dirk Dirksen:** Some of them were too young to actually be in a bar, but because the Mabuhay served food, we could accommodate.\n\n**Jello Biafra:** I doubt I would have seen all those great shows or ever started a band if I'd had to wait 'til I was 21.\n\n**Tom Flynn:** If you were under 21 they'd put the X on your hand.\n\n**Dirk Dirksen:** That was the technique to be able to spot them. Out of that, the huge X's, that became a thing across the country. Everybody had these huge X's, wherever they were doing all-ages shows.\n\n**Ian MacKaye:** The Teen Idles went to California in 1980. Dirksen was letting kids into shows, and he'd put an X on their hands. So we went back to Washington, to the 930 Club, and we said, \"Hey, we want to see these shows. And we'll put an X on our hands if you let us in. And if you see us drink, you can kick us out forever.\" We got the idea from the Mabuhay.\n\n**Tom Flynn:** Later on they had these curfew shows for minors. You could be under 18.\n\n**Sham Saenz:** Being an East Bay kid, going to the city was always kind of a treat. I'd get onto the F bus with everybody and we rolled it out to the bus terminal in San Francisco. We all got off and walked up to Broadway whoopin' and hollerin' and drinking 40s and lighting garbage cans on fire and breaking windows, just as much ruckus we could bring. I had to be 11 or 12 years old. **Bonedog** : We would panhandle for change to get beer money and to get into the Mabuhay. You went up to the front and you handed Ness a handful of change and you said, \"This is all I got.\" He would count it, a dollar forty two, or whatever. And he'd go, \"Oh, come on in.\"\n\n**Dave Ed:** I went to On Broadway all the time, upstairs from the Mab.\n\nThe person working the door would say, \"Got ID this week?\" \"No.\" He'd wait awhile 'til the line died down. Then he'd look up and down the street to see that there weren't any cops around. \"Alright kid, give me your money and get in here.\"\n\n**Audra Angeli-Slawson:** My parents owned a restaurant in North Beach, the Mabuhay was three blocks away. My mom would send local police officers to pick me up. They would yell from their car, \"Audra, your mother's looking for you.\" That wasn't really cool.\n\nI was like, \"Could you pretend to arrest me instead of telling me that my mother's looking for me?\" The first time I went to the Mab I was 12. My mother had hired this crazy, coked-out French au pair. I convinced her to let me wear her leather jacket and take me to a show. She thought we were going to the movies. Instead I took her to the Mab.\n\n**Sham Saenz:** The very first time I went to the city was probably the most memorable. The show was the Dead Kennedys at the On Broadway. We got there and walked in, there was no one onstage. Then all of a sudden these four black guys walked out. At this point I had very little idea that there was punk rock anywhere else in the country. I thought it all happened here. Next thing you know, H.R. stepped out, did a backflip, his feet hit the ground and the band started. It was like the most powerful wall of music I have ever heard in my life. It just blew my mind. It was the Bad Brains. They wore flannel and jeans, but they just fuckin' rocked so hard. That was the first record I ever went out and bought. Tim Tonooka: After the headlining band played and Dirk announced to get lost, you had to take off running as fast as you could to get to the Transbay Terminal downtown, to make the last F bus at 2:15 a.m. to get to Oakland and Berkeley. If you missed that one, hanging around the terminal until the next bus at daybreak was no fun, because you weren't allowed to sleep there. They had security guards patrolling the place that would poke anyone sitting in the benches that had dozed off.\n\n**Dean Washington:** One day my buddy said, \"Hey, let's go to the Poster Mat over in San Francisco,\" and so we went to North Beach, strollin' around. The Poster Mat was run by an old man, he looked like one of the Freak Brothers. He had all the classics from the Fillmore, everything that went through Winterland.\n\nWe were just hangin' out, and at one point I saw a gal walking this guy. This guy had to have been almost seven feet tall, and he had a collar around his neck, and she literally walked him. I looked at my buddy and I go, \"Let's follow them, I think they're going to the right spot.\" Which took us to Mabuhay Gardens.\n\nI'd never seen anything like it in my life. I was 14 or 15. And it was just unreal. What's with these safety pins, and piercings and whatnot? The alleyway of the Mabuhay, people were hangin' out with not a care in the world. I thought, \"Why is the rest of the world so uptight, and not hangin' out like these people are and havin' fun?\" I definitely had to go back for more.\n\n**James Stark:** Posters had been a tradition in San Francisco, from the '60s, the psychedelic thing. Punk rock came along and stepped it up a couple of notches.\n\n**Winston Smith:** I saw a friend of mine making a poster for the Stranglers. So I started making up posters for bands that didn't exist. They didn't have any date, they'd say, \"Friday.\" And they'd have an address which would not exist. Some of them were up for a long, long time.\n\nLenny and the Spitwads, Crib Death\u2014there's been a bunch of bands since then called Crib Death. Half Life, another bunch of bands with that name. PTA and the Dipshits. The Infidels. The Cooties. One was called the Anonymous Technicians. I had heard about this new form of execution in the late '70s. Instead of the gas chamber or electric chair, the subject would be wheeled into a room, and three anonymous technicians would insert hypodermics. So I thought, oh, that'd be a great name for a band.\n\nAt the time, it wasn't like you could go to Kinko's or anything. It was coin-operated machines, at the library or Rexall. Real crappy paper, bad resolution. But that was part of the look, too. Artistically, it was kind of like sloppy Dada stuff from the First World War.\n\nThe Twits: Fake flyer by Winston Smith\n\n**Aaron Cometbus:** I found my first flyer on the way to Hebrew school. Crime, with the Bush Tetras.\n\n**James Stark:** It was all flyers, word of mouth. There was no outside media. People were really starving for this stuff. It was still a true underground. After awhile there started to be enough people around with different skills and abilities\u2014\"Well, let's start a magazine.\"\n\n**Jello Biafra:** _Search & Destroy_ was amazing. You could open it up to any page and laugh or be inspired. To me it's still the best underground punk zine anyone ever made. Punk was so wide open that the energy connected all kinds of people from different art fields and different age groups.\n\nEven older Beats and avant-gardists like Bruce Conner the filmmaker found a great outlet in _Search & Destroy_. Vale worked at City Lights at the time, and knew William Burroughs. Allen Ginsberg put up the initial seed money to print the first issue. So it meant that the interviews were really intelligent and there was pressure from the first question to say something interesting.\n\n**Danny Furious:** Vale was an old hippie\/activist who was once the keyboard player for Blue Cheer, one of my early faves as a youngster. He was documenting the scene in a rather arty way. I consider him one of the good guys. He never missed a show. A rare individual who never sold out.\n\n**Dennis Kernohan:** We played their party on a night that an issue came out, and we ripped it up onstage. \"Don't buy this magazine, it sucks, it's full of lies!\" Vale just started talking to me like three years ago.\n\n**Ginger Coyote:** _Search & Destroy_ was really the first punk zine in San Francisco. I enjoyed it but felt something was lacking. It was a bit elitist and serious. So I decided in 1978 to start _Punk Globe_ to help support the bands that _Search & Destroy_ overlooked such as the Vktms, No Alternative, Lady LaRue and Mr. A, Mary Monday, Leila and the Snakes, Eye Protection. Along with the people who came to the shows. Sometimes the audience members were more colorful than the bands.\n\n**Johnny Genocide:** I give Ginger a lot of credit. She gave a lot of bands publicity that never would have gotten any otherwise. All the bands from this period owe her a debt of gratitude.\n\n**Ginger Coyote:** I loved _Star_ magazine. There was also _Rock Scene_. Those were the magazines I centered _Punk Globe_ after. I also added a taste of the _National Enquirer_ and Bill Dakota's infamous _Hollywood Star_. I also wanted to provide some comic relief. I think people enjoy the gossip because it is not mean-spirited. I always have mentioned people from all walks of life, from Danielle Steel to Joey Shithead.\n\n**Aaron Cometbus:** I started _Cometbus_ in the summer of '81. _MRR_ wasn't a magazine yet, but had the weekly radio show, and Tim invited me on. He was incredibly supportive. Then, on the other hand, you had people like Vale, who put out _Search & Destroy_ and _RE\/Search_. He never missed an opportunity to dismiss and discourage the younger generation. Even in the ads for _Search & Destroy_ back issues, he blew his own horn by saying that all present-day mags and bands were just pale imitations. He's telling you how worthless you are, and at the same time he wants you to worship him and pay his rent! His liner notes on the Avengers LP took the cake. \"Before the proliferation of a thousand garage bands, hardcore or otherwise.\" That's how mad it made me\u2014I can still quote it! He said \"hardcore\" like he was saying \"dogshit.\" You could hear the sneer.\n\nI've met him since. A nice enough guy. But he just couldn't see younger people as anything but an imitation of himself. Contrast that with Tim Yohannan, who said, \"Come share your ideas with us. There's a place at the table for you.\" Two kinds of adults. Obviously, we vowed to do everything we could to not end up like Vale.\n\n**Greg Oropeza:** The big South Bay fanzine at the time was _Ripper_ , where I wrote under the name Sped McGregor.\n\n**Rachel DMR:** Tim Tonooka, _Ripper_ magazine. He's very quiet and very dedicated, documenting not only San Francisco history but the East Bay and South Bay. Years later, I asked him, \"How'd you do that?\" and he said, \"Well, while you were out getting crazy, I was doing a job.\" He did everything by hand. Sat at his typewriter and typed. I should've been helping him.\n\n**Tim Tonooka:** The first issue of _Ripper_ came in 1980. Initially, our fanzine was focused on the South Bay, but by the third issue its scope was expanded to cover the entire Bay Area. I was largely inspired by _Search & Destroy_, and _Creep_. _Damage_ was another great publication at the time.\n\n**Ruth Schwartz:** I was involved with the gang at Target Video and _Damage_ magazine. Every Saturday night they would throw an after-hours party in their warehouse in San Francisco on South Van Ness and 18th. That was the place to be at three a.m. It was this enormous dance party, in the days when it was still New Wave and stuff, so it was all blended, and people wanted to dance and do drugs. I was there every Saturday night.\n\n**Joe Rees:** It started out as an alternative art space. For performance art, the real strange and bizarro kind of thing. I took that three-story building and put in a professional recording studio. I had a live stage on the bottom floor, and also I did my videotapings there, with an audience. We had events there. We had Jello's wedding, all that shit.\n\nAs time went along, I rented out the second floor to some artists. On the top floor I had _Damage_ magazine. I worked my ass off. When we organized the Western Front event, we brought in all these bands from all over the country. I would be going from one damn nightclub to the other, to shoot these bands. I found that if I let the bands come there and stay, and have breakfast, they'd play for nothing.\n\nThe studio after-hours events, I'd have 200 people in there, packed to the walls. I'd show videos, sometimes I'd have a DJ there. Johnnie Walker, the guy from London, he'd be spinning tunes. People from out of town would come there, just to hang out. It was a real cool scene.\n\n**Johnnie Walker:** _Damage_ magazine had this idea to do the magazine as a radio show. I started doing a monthly hour-long radio show, _Damage on the Air_. A combination of West Coast punk bands, interviews, new records and interviews with visiting British punk acts. We built up to a network of 60 radio stations all over the States taking _Damage on the Air_. It won an award as the best independently produced program of the year.\n\nAt the same time I was also taping shows for Radio Luxembourg, until I famously put a record on at the wrong speed. I had a bunch of friends in the studio and we were partying it up, and I said, \"Oh fuck, I'll have to edit that later.\" But I forgot to edit it, so it went out like that on Luxembourg, and that was my last show for them.\n\n**Joe Rees:** I had a cable TV show in those days, on cable 25 in San Francisco, Wednesday nights. Some of the material would go on there. The irony of the whole thing is that my show, Target Video, followed the Maharishi show. A Transcendental Meditation thing, very low-key and laid-back and spiritual. After about the third week, I came up with this idea. He would be in the lotus position, just seconds before I would come on. So I opened up my show with a machine gun burst, that lasted for about three minutes. I'd have all these images popping in, everything that I disliked, that was going on in the world. But you know what? The Maharishi really enjoyed my show. He thought it was terrific.\n**8**\n\n**Kick Out the Jams**\n\n**Ralph Spight:** I'd been playing guitar since I was 12, and smoking pot and listening to metal. I didn't know anything from punk rock. Was sort of aware there was underground shit going on. And one day I was driving around Sonoma, I turned on the radio and there's fucking _Maximum RocknRoll_. It's fast punk rock, and I was like, \"Oh my fucking god!\" Really aggressive music, lyrics were talking about stuff I could relate to. I just dove in headfirst. On Tuesday nights I would tape the whole thing, and listen to the cassettes.\n\n**Tim Tonooka:** Rather Ripped Records was on Euclid Avenue in Berkeley. The people who worked there, like Ray Farrell, would turn you on to lots of great stuff.\n\n**Ray Farrell:** Tim Yohannan came into the store, and this is before Mike Watt extended the John Fogerty flannel shirt thing. It hadn't gone around the waist yet. It was an actual shirt. He was a bearded guy in a flannel shirt, and jeans and boots, who came in to buy records. I didn't trust him. I thought, anybody with a beard who's buying punk rock is obviously slumming.\n\nI'd say, \"You're too old to buy this.\" I was 20, and I wasn't gonna let somebody interfere with this. He tried to get me fired from the store. At one point we realized that we were both from New Jersey, and somehow we started clicking.\n\n**Al Ennis:** I'd go in there and buy punk records. Ray said, \"Do you know Tim?\" I said no. \"Because there's a guy who comes in here named Tim, and he buys the same records that you do. Next time he's in here I'll introduce you guys.\"\n\nTim and I started going over to each other's apartments, and listening to the record collections, and talking about how this thread of wild rock 'n' roll has been going since the earliest days. Tim had a lot of really good rockabilly records imported from Holland. He was working at this shipping and receiving job for UC, and I was studying English literature at Berkeley.\n\nTim went to Rutgers in New Jersey. His roommate was good friends with Lenny Kaye, the guitarist for Patti Smith. So he had kept in touch with Lenny, and Lenny had put out the first _Nuggets_ album, the garage rock stuff.\n\nFinally one day, we were at Rather Ripped and Tim said, \"I've been talking to KPFA, and I'm trying to get a radio show going, to play all this punk music that's coming out.\" I said, \"I want to help you with it.\" And Ray went, \"Yeah, I wanna help, too.\"\n\nTim went in there and talked management into giving him a time slot. So we just started showing up. April '77. I was 29, so that made Tim about 32. Ray was a youngster, Ray was about 22.\n\nTim came up with the name. We thought it was a great name. He got it from an old Who motto, which was \"Maximum R&B.\" I had the Maximum R&B poster from _Live at Leeds_ up on my wall when I met him.\n\nKPFA was a real funky old studio. The guy on before us had a show catered to prisoners. Sometimes he would have guests on, San Quentin white boys, with the tattoos and stuff. Nefarious-looking underworld types. We'd skulk in with our little bags of records and our leather jackets. But it was really cool. After awhile we started getting fan mail from some of the prisoners, who left the radio on and tuned in to _Maximum RocknRoll_.\n\nWe had a lot of people coming in the studio. Sometimes we were just packed in there. Berkeley High, they were digging it. Young kids couldn't get into the nightclubs. They wanted to be part of it somehow.\n\nWe would have a little contest between us. We scoured all the record shops all week long to see who could come up with the coolest new sounds. So you hoped that you were the lucky one to find it. Stuff like the Tits' \"We're So Glad Elvis Is Dead.\"\n\n**Jello Biafra:** I'd seen a flyer at Rather Ripped for the radio show and it listed both known and extremely obscure punk records that they were playing. And I thought, \"Oh, this is cool.\"\n\nTim and I hit it off immediately. We loved talking records and hipping each other to new ones that we didn't know about. He thought I was good on my feet and a good interview, so he invited me to be part of the show, which I was for three or four years after that.\n\n**Al Ennis:** Jello was traveling with the Dead Kennedys, and we were glad to have Jello come on. He would have a handful of records from Phoenix or somewhere, and he would get his little segment as well.\n\nWe had the Cramps on, which was a highlight for Tim and I. I think the Dils were on. And then whoever else was in town. Sometimes the L.A. bands. All of us at _MRR_ loved the fact that so many women were involved in the early days\u2014Mary Monday, Jennifer, Penelope, Olga de Volga, the gals in the Mutants, Pink Section, the Contractions, the Bags, Poison Ivy, Patti Smith and on and on.\n\nRay and I had more eclectic tastes, the post-punk stuff like Cabaret Voltaire and Throbbing Gristle, these experimental bands that were starting to come out of New York like Suicide. Only if they had a really straight rock 'n' roll beat would Tim want any part of it.\n\n**Ray Farrell:** Eventually _Maximum_ did become more political. Part of it was that Tim was still trying to figure out the context around it. Because we were getting records from the U.K., from all over the world.\n\n**Al Ennis:** Tim was very, very left-wing. I was left-wing, too, but he was one of these people that was more left-wing than anyone. We used to have arguments about this shit all the time. Tim was a Stalin apologist. Which freaked me out. He told me that Stalin had to kill ten million people because that was the only way he could make communism work. And I said, \"Tim, you can't believe this.\" He goes, \"Yeah, everybody in the world was after Stalin. He just did whatever it took to make Russia communist.\" That's as left as you can get.\n\nWe had a meeting. Tim wanted to start going heavy on the politics. Tim and I already had started the East Bay branch of Rock Against Racism. We had the Offs and the Jars at our first benefit, at Berkeley High. But he wanted everything to be more political. He was really serious. He was saying, \"So do you want to be part of it? If you don't, I understand. But I don't just want to play punk records. I want to have political people on, I want organization.\"\n\nI thought, this is not gonna be that fun. I felt like he was trying to get a little too much control. I just dropped out at that point. Ray soldiered on for several more years. I liked it at first. It wasn't a huge change. They didn't have Trotskyites on for half an hour, with a big spiel or anything. It just started moving in that direction.\n\n**Jello Biafra:** I eventually met a guy at Aquarius Records, who was instantly talkative and opinionated at the same time, named Jeff Bale. As I got to know Jeff better, I thought, \"My god, I know somebody you should meet,\" and I introduced Tim and Jeff to each other. All those later detractors that thought _MRR_ was some communist indoctrination zine\u2014little did they know that I'm to blame for introducing Tim and Jeff, so they could torment those people for years on end.\n\n**Jeff Bale:** Tim and I hit it off because we both had feisty personalities and liked to shoot our mouths off. He was a little older than me, four or five years. So then I started going on the show.\n\n**Ruth Schwartz:** Jeff and I started in the same period. Tim sought me out. I was doing a show on KUSF called _Harmful Emissions_. He walked into the KUSF studio one night at like three in the morning and said, \"Do you wanna be on _Maximum RocknRoll_?\"\n\n**Jeff Bale:** Ruth was a cool person. She had these engineering skills and she was interested in being on the show. Actually it was kind of funny because me and Tim were about straight-up rock 'n' roll stuff, we didn't want any arty-farty bullshit. And Ruth actually liked some of the arty-farty stuff. That was the one downside with Ruth. But actually it was good for the listeners because it made it more diverse.\n\n**Ruth Schwartz:** Tim had it very formatted. He coined this term \"Schwartzcore\" at one point because I was into more difficult music. My job was to prepare a ten-minute set of that type of music.\n\nFor many years I taped the shows, edited them with tape and knives, physically put labels on them, and mailed them out to radio stations all over the world. Something like 30 stations. They would get it on a cassette tape with a piece of paper every week.\n\n**Jeff Bale:** We used to have discussions about how to categorize sub-genres, and what was punk and what wasn't punk, and basically the general rap about _Maximum RocknRoll_ was that we were purists.\n\n**Jello Biafra:** Tim also took a hard line early, that rock 'n' roll did not necessarily have to be sexist. He told me one of his favorite recording artists was Johnny Thunders, but he never played Johnny Thunders on _MRR_ because the guy was so sexist in most of his songs. There was a way to rock without being cock-rock about it. That was cool, too.\n\n**Ruth Schwartz:** Jello would come in and do a segment or two at least every other week. He always mixed it up. He's got a massive record collection. He's a crazy collector and he probably has the broadest taste in music of any of us.\n\n**Jello Biafra:** I was trying to collect every single punk record ever made, I was that into it. I saw Tim's record collection and thought, \"Oh my god!\" Tim had one after another after another that I never even knew existed. If Sham 69 gave away a special single at one gig in England\u2014he had the record! He was obviously way, way ahead of me. And every record had a green tape spine around it. Which I thought was taking it to extremes. It was an obsession. He probably kept that tape company in business as the scene exploded.\n\n**Jeff Bale:** That was always grossly offensive to me, that Tim would put green tape on all these records, and just destroy the aesthetics. Tim had to get green tape all the time because he was getting so many records.\n\n**Jello Biafra:** He told me the original reason for the green tape was that he and his brother were fighting over who owned which record when they were growing up. I think he said Tom was blue tape and Tim was green.\n\n**John Marr:** It was a particular kind of green tape made by this company called Mystic. Eventually they stopped making it and he couldn't get it anymore. They had all the other colors, but they had sold out of the green. Probably because of his demand. Sheriff Mike Hennessey: I was a listener, and I would oftentimes tape shows. I met Tim at the Fab Mab. He was a fun guy to talk to, and he invited me to be a guest disc jockey on his show one night. So I went over to Berkeley. I'm not sure if Jeff Bale was there or not, but Ruth Schwartz was there, wearing a very short skirt, I recall. They asked me to pick some songs out, and of course by that time I had a repertoire of law enforcement punk rock songs that I liked to play because it sort of tied into what I did. I was the sheriff. So this was very weird, you know.\n\nI played \"I Fought the Law\" by the Clash. I remember specifically playing the Dead Kennedys song \"Police Truck,\" which Tim thought was hilarious, because it talks about police brutality. Afterwards we went to some nearby bar and had a couple drinks.\n\n**Jello Biafra:** Tim and Jeff once left the room during a live broadcast of _MRR_ and I started playing country swing. They really flipped out. Tim said to me, \"I think you did that just to bug me, Jello!\" \"Yup, Tim, I did.\" \"Well if you ever do that again I'm throwing you off the show.\" Another time I played Heino, who is this horrific German oompah singer, as \"roots of German hardcore.\" Tim and Jeff were out of the room, and Jeff came back in: \"Are you playing Heino?! Fuck!\" and threw one of the classic Jeff tantrums right there in the room. Luckily Tim wasn't there. It would have been worse.\n\n**Ruth Schwartz:** We used to have fights on the radio because once a year Tim liked to do a \"These Are My Favorite Songs\" set. He'd bring in all of his Ramones records and play a set of his favorite songs. I would get on the air and tease him because they were on Sire. I'd say, \"Woo, hypocrite, you're playing all these major-label albums.\" He'd be like, \"Well, these are my favorite albums.\" And I'd say, \"Well, which way do you want it?\"\n\n**Jeff Bale:** We would talk and joke and give each other a hard time. We had this ongoing banter and we all had strong opinions. We loved giving listeners a hard time. That was part of the fun of it.\n\n**John Marr:** There was some good music on it. I was never a real religious listener. I was talking about the show once, and someone said, \"You've seen Tim around at shows.\" \"What does he look like?\" \"Oh, he's the greasy little vampire.\" And I said, \"I know exactly who you're talking about.\"\n\n**Aaron Cometbus:** Jesse [Michaels] and I had only been doing our fanzine a couple months when a letter arrived. \"Keep up the good work,\" it said. \"And if you ever have something to say on the radio, come on by.\" It was from Tim Yohannan.\n\nI started hanging out there every week. Then one week Tim yelled \"You're late!\" when I walked in the door. He hustled me into the broadcast booth and put a microphone in front of my face. They were doing a roundtable interview of local fanzine editors, and I was included! That was crazy because the other fanzines were way out of my league. They were, like, serious magazines while I was just a little kid with a tiny, stapled rag.\n\n**Ray Farrell:** I remember an amazing show, where Tim had Bill Graham up. There was a Clash show that Bill Graham was putting on. And the New Youth organization also wanted to have a people's show with the Clash.\n\n**Steve Tupper:** I was working with New Youth Productions. It was just a bunch of people in the scene that wanted to do something. Our big idea was to open up some kind of nonprofit performance space. We put on a few shows. We did this semi-underground Clash show. It wasn't supposed to happen.\n\n**Ray Farrell:** Bill Graham was threatening the people from this New Youth organization, saying the Clash are my band, they're playing in my town, I'm giving them X amount of dollars to play here, they can't do any other show. But the demand was far greater than what could fit into the Bill Graham show. And so a couple of nights later, there was this separate New Youth show. The ticket price was less. The Clash did it, mainly because they were beaten up by all these so-called political organizations to play the gig.\n\n**Steve Tupper:** I'm surprised Bill Graham even agreed to come on the radio show.\n\n**Noah Landis:** God, Tim was fucking pissed about that. He just ripped him apart. Like, \"Why don't you stick to your corporate shit, with all of your mainstream radio airplay and promotion machine, and leave us alone? You don't have the right to have access to these guys. These bands are for us.\"\n\n**Ray Farrell:** There was an argument, and Bill ended up getting pissed off and storming out of the room.\n\n**Steve Tupper:** Bill Graham was such an arrogant asshole. If he didn't already think that it was in his interest to deal with you, he treated you like garbage. Just as a matter of course.\n\n**Jello Biafra:** People worldwide have this glassy-eyed memory of Bill Graham as being this wonderful godfather of all that was good about the summer of love and the psychedelic era. But nothing could be further from the truth. By that time, he struck me as this obsessive megalomaniac who wanted a monopoly on all live music in the Bay Area. Even a club as small as the Mabuhay or a hall show like 330 Grove or 10th Street, it was unacceptable. It should not be allowed to exist.\n\n**Jeff Bale:** We were trying to create a whole underground scene. Both Tim and I wanted to create a vibrant new counterculture that would replace the hippies and maybe even ultimately transform culture and society in big ways. Tim wanted to revolutionize the kids. That was his plan. Even though we were much more cynical than we had been in the '60s, we felt like, why couldn't we generate a whole new youth movement?\n\n**Ray Farrell:** I didn't really get it. When I played music on the show, I remember Tim thinking that I was escapist, because I wasn't looking for political stuff. I'd go, \"Not everybody thinks like that.\" If your enjoyment of the music is predicated on your political beliefs, then you're painting yourself into a corner. That was something that Tim and those people took to their next steps.\n\n**Jeff Bale:** We put out a couple of compilations. The _Not So Quiet on the Western Front_ was the first one, it was a double album. And we put it out with Jello on the Alternative Tentacles label.\n\n**Jello Biafra:** Our part of the bargain was to get it manufactured and make sure it got into the record stores. Tim and Jeff put it together. _MRR_ had enough of an audience in the Bay Area and in the Central Valley that people were sending in demo tapes as soon as they could get three or four songs together\u2014\"Hey, we're a band, too! Play us on the air!\" I'm sure some people started their bands with no initial ambition except to get played on _MRR_.\n\n**Jeff Bale:** It had like 50 local bands. We were trying to put California punk on the map. We thought about it a lot. We picked what we considered to be the best bands of all the stuff we'd gotten. We gave tons of bands their first chance to become known.\n\n**Jello Biafra:** The hardcore explosion had connected with a much younger audience, both through the music and through skateboard networks. So all of a sudden there were a lot more bands and a lot more people starting bands. Things were just exploding here. As word got out, then the number of people who suddenly claimed they had an existing band doubled. And we had to make it a two-record set.\n\n**Fat Mike:** The _Not So Quiet on the Western Front_ compilation is when everybody found out about what they were doing.\n\n**Frank Portman:** That was our first encounter with the outside world of punk rock. My first actual band was called the Bent Nails, and was just guys I knew in high school. We sent a cassette that we had recorded to _Maximum RocknRoll_. The song was dumb. By the time Tim Yohannan called, we were not very interested in doing it. They were like, \"We really like that one. We're putting together a record.\"\n\nThat comp is awful. How awful it is, is that our song wasn't even the worst thing. A snapshot of a terrible time in music. It was when everything that was cool about punk rock got subverted and destroyed by what ended up being called hardcore. You can see the seeds of it in that record. You speed up the music so it's not rock 'n' roll, you remove the song structure so you don't have choruses. And you draw it from some pseudo-political tract.\n\n**Martin Sorrondeguy:** There was great shit on there. I still play that comp pretty often. It was just packed with bands. _Not So Quiet_ 's great because it really highlighted small-town California punk. Bands from Fresno and the Valley. That was an amazing way of goin', \"Hey, man, check all this shit out!\" And takin' it to the world.\n**9**\n\n**Fresh Fruit for Rotting Vegetables**\n\n**Steve DePace:** Negative Trend, the version I was in, had just recorded for the first time. I was at Will Shatter's apartment down on Third Street. We were listening to the tape. There was a knock on the door. And it was Eric Boucher. He had met Will previously. He walked in the door, and he had his bicycle with him.\n\nEric sat down, and we listened to the tape. Apparently he was fresh in town. He said to both of us, \"Yeah, you know, I'm gonna start my own punk band, I'm gonna call it the Dead Kennedys.\" I remember thinking, the Dead Kennedys? Who is this nerd? He had the full-on nerd look. Oh god. Nerd in terms of geek nerd, out of place. Most certainly not punk rock. My first impression of him was that this guy isn't gonna do anything, this guy's full of shit.\n\n**Bruce Loose:** He had waist-length hair, had a fucking sash tied around his waist, and bell-bottoms on.\n\n**Dennis Kernohan:** Eric was always there. We all knew him. He was a total record junkie. He was at the record store all the time. Every day. He knew when the records came in. He was definitely processing heavily.\n\n**James Stark:** He'd been around enough and figured out what was going on, and what to do. To me it was always more, he studied the scene and then figured out what to do and then put together a band.\n\n**Jello Biafra:** When I was just a wild pogoer at Mabuhay, people would come up to me, \"Are you in a band? You need to be in a band. You need to find something to do with all this energy.\" And I was like, \"Well, a conspiracy is in the works.\"\n\n**Dennis Kernohan:** The guy's an evil genius. He was even more calculated than all four of the guys from Crime. He's so calculated it's ridiculous. I used to be offended by it back then, but now I think he was just smart. He's still doing it. He's made his whole fucking life off this thing. And you have to admire that. He had the most cred.\n\n**Al Ennis:** The person who did _Creep_ magazine used to be a roommate with Jello. Jello would have his door open, and one day my friend told me really seriously, \"Al, when Jello listens to a record\u2014 _we'll_ always pick up a magazine or we'll read the liner notes or something? _He_ sits there in front of the record player, and does nothing but just listen to the record.\" I kinda had him like the old RCA Victor dog, doing nothing but listening. Just the music, baby. Jello Biafra: Back in Boulder, me and my friend John Greenway, who wrote the original lyrics to \"California \u00dcber Alles,\" we were sitting in his bedroom one night blasting punk singles with the windows open. Coming up with names for bands, names for people in bands, names for songs. I took the notebook with me when I came out west.\n\nOriginally I called myself Occupant. But then one of my first friends, Larry Shorr, he kept saying, \"Hey, resident! How ya doing?\" 'Cause we both liked the Residents. I thought, \"Oh shit, I better get another name.\" So I opened up the notebook. I liked the way Jello and Biafra collided in the mind. The ultimate plastic, useless, sugary American product, along with the worldwide symbol of the worst kind of genocide and starvation that might be associated with Darfur today.\n\n**Klaus Flouride:** I'd been playing on the East Coast and in Detroit. Magic Terry and the Universe was this experimental group that was all tied in with the Warhol crew. Billy Squier was on guitar. I got sick of playing in bands that were basically white guys playing R&B and the whole attitude was, \"I can drink you under the table.\" It just really made me want to puke. So I moved out here.\n\nThe Mabuhay was walking distance from the Financial District. On Fridays we'd go there after work for drinks. The rest of the people from the office were cracking up at the bands, and I was wandering up to the front and staring at the Zeros and people like that, and saying, \"I like this.\" I remember seeing the Nuns, Negative Trend. The Avengers. The Zeros were the ones that stood out.\n\n**Dennis Kernohan:** Ray was in this band, Cruisin'. They played all this '50s shit, they played all the car shows, played at the fairs. Everybody knew 'em. It'd be on the radio: \"Cruisin', cruisin', cruisin',\" with the echo and everything. They could play. Some of the bands that came up were pro bands who punked it up. There was a lot of that going on.\n\n**East Bay Ray:** The first band I saw at the Mabuhay was the Weirdos. They were playing \"We Got the Neutron Bomb.\" Right after I saw them, I put the ad out.\n\n**Klaus Flouride:** He ran the ad in _BAM_ magazine. The whole reason for _BAM_ existing was, when _Rolling Stone_ up and left San Francisco, there was no magazine left that would stroke the Grateful Dead, the Eagles, and Jefferson Starship and all that sort of crap. So this magazine came along, _Bay Area Musician_. And it was nothing. They tried to sell it and no one would buy it. That was probably the worst place, the most disconnected place to advertise for a punk band. It had nothing to do with the punk scene. But basically I looked there and saw the ad.\n\n**East Bay Ray:** I had a card up at Aquarius Records. Biafra responded. Originally I was working with two singers, and one of them didn't show up on time. Biafra showed up on time. Down on 44th Street in Oakland was a garage where we started it.\n\n**Klaus Flouride:** Ray had already met Biafra. And then I came over and Ray and I went to the garage and we played. He said, \"What can you play?\" And, \"I dunno.\" I figured \"Peggy Sue\" sounded like the Ramones. Sort of. I mean that's what they were lifting. So we played \"Peggy Sue.\"\n\n**Jello Biafra:** I did \"Peggy Sue\" with Ray once.\n\n**Klaus Flouride:** We went through a ton of drummers. This one drummer we did a demo with, Carl Numb, I don't remember what his real name was. The guy didn't want to be in the group. But he was about the best drummer we'd gone through.\n\n**Jello Biafra:** I was still wavering back and forth and playing with other people, not sure whether working with Ray and Klaus was the way to go. They were a lot older than I was, and there was a lot of '70s bar-band damage to hack through with them. Solos and fills in every possible place were not necessarily the best for punk music.\n\nI brought in a song I'd written called \"Holiday in Cambodia\" to practice. We played around with it, and they not only didn't like it, they refused to play it. I was crushed because this had never happened before. I thought it was a good song. Then Klaus started noodling around with what became the opening bass line. And I thought . . . Wait! Wait! Wait! Try this! Put all this stuff together for the pre-chorus, the chorus, the bridge and everything, and slow it down and see if it works. And sure enough it did.\n\nIt wasn't 'til quite awhile later that Ray came up with that magic guitar overlay. I kept saying, \"Ray, Syd Barrett, Syd Barrett.\" Because he said he'd seen Pink Floyd with Syd Barrett when he was 12, and that made him want to be a musician. So eventually it happened. It was one of the few band-written songs we ever did. I shudder to think what kind of band we would have been if they put in that kind of effort into other songs.\n\n**Klaus Flouride:** We gave Dirk the demo, but he wanted a picture of the band also. Biafra had met 6025 at the Mabuhay, and asked him if he wanted to pose as our drummer in the picture. So he did. And then he said, \"Well, I can play guitar, you know.\" And we said, \"You do? Well, come on and join the group.\"\n\n**East Bay Ray:** To this day, people think 6025 actually played drums with us. Not realizing that he just fit in the picture.\n\n**Klaus Flouride:** We still were looking for a drummer. Ted was the first person who rushed us. That was exciting, because everybody else wanted to do stuff slower. He was really, really good.\n\n**Jello Biafra:** \"You know what would be the coolest name for a band\u2014Dead Kennedys.\" They still argue about which one of them it was. Maybe they even told me at the same party. It was a guy who called himself Radio Pete, real name Mark Bliesener, who later managed the Nitty Gritty Dirt Band. And the other was Rick Stott, who clerked at Trade-A-Tape and Records, and was also the manager of Colorado's first punk band, the Ravers. What Rick didn't tell me until a few years ago was, it hadn't popped into their heads. They'd heard about another band from Cleveland called Dead Kennedys. They didn't tell me that part.\n\nWe started playing as Dead Kennedys. And Ray Farrell at Rather Ripped said, \"Hey, that was a great interview you just did in _Cle_.\" \"What? I don't remember being interviewed for them? What is it?\" He showed me, and it was a completely different band. I thought, \"Oh shit!\" So I wrote the leader of the Bizarros, who I had been buying records from, and asked if this was gonna be a problem. He said no, they'd already changed their name, because nobody would book them under that name.\n\n**Klaus Flouride:** I figured it would last six months, maybe two years. We'd get to go to L.A. once in awhile if we were lucky.\n\n**East Bay Ray:** We saw a lot of punk bands at the Mabuhay. There was definitely an inspiration, shall we say. I thought that with the trained ability there, we could be the best punk band in San Francisco.\n\n**Jello Biafra:** It wasn't clear-cut. I was desperately wanting to do something. At first I thought punk was the biggest thing since Beatlemania, or the mid-'60s Rolling Stones. Which meant that the opportunity might close in less than a year.\n\n**Klaus Flouride:** We all figured out that we liked the Screamers. No guitars in the group at all. But they were so intense. We didn't want to sound like the other groups, definitely. We'd put a weird chord in there, lifted from the Residents' concept. We would take certain things from different things, and just sort of jumble them together.\n\n**East Bay Ray:** We wanted to rock out and not be so arty that it didn't rock. But we didn't want to be just so rocking that it's boring. Like Bob Seger or something. If you go through and analyze our song structure, it's Beatles and Motown melody. But doing the Ramones thing\u2014that was done.\n\n**Jello Biafra:** I started bringing a guitar to Ray's, just picking the notes out single-string. Then eventually Klaus said, \"Why don't you just sing 'em to us? You sing on key, go ahead and do it that way.\" And he was able to pick stuff up and then teach it to Ray.\n\n**East Bay Ray:** 6025 was a big fan of Captain Beefheart. He brought in the song \"Ill in the Head,\" which is like, oh, okay, we got a 13\/8 section, and an 11\/8 section. You can't really feel that stuff. So we had to write it out.\n\n**Jello Biafra:** After the majors pulled out, the game changed. Ray was desperate to be on a major label and that was a source of contention. He didn't want to call the band Dead Kennedys because, he said, \"The record companies won't sign us.\" As soon as I started telling people like Negative Trend and the Dils that was the name of the band, the other guys couldn't get rid of it. It had touched such a raw nerve with Ray and Klaus, I realized I was on to something.\n\n**Klaus Flouride:** Our first show was terrifying. It went by like lightning. We only had seven songs to play. We got an encore, so we did \"Rawhide\" again. 6025 had never played in a band onstage before. So there he was playing guitar, and he had a curly cord, and some guy came up and wrapped the cord around him. And he was going, \"Oh man, what do I do?\" I waited for the song to end, and I just unplugged the thing, and unwrapped it around, plugged it back in. He was like, \"Oh, okay!\"\n\n**Howie Klein:** It was obvious that they weren't just another band that was gonna come and go. They were something special. I saw that right away. Biafra was an absolute talent. And he had a band behind him that were tight and good.\n\n**Klaus Flouride:** One of the real early gigs was Sproul Plaza. It was sponsored by the university. The Zeros and us, I think that was it. We were sort of having a war with the guys playing the conga drums around the corner. There was maybe 40 people watching the thing. It was great, we just took an extension cord, set up on the ground and played.\n\n**Dennis Kernohan:** When they first started playing at the Mab, punk was a big thing by then. People were coming from Hayward and everywhere. The Mab was packed every fucking night. It was crazy in there. Eric just kicked everybody's ass. It was ingenious, I'm telling you.\n\n**Hank Rank:** They were an energetic band and popular almost immediately. They really ascended quickly. Jello, I always thought he sounded like Katharine Hepburn when he sang. But that was me. I never considered myself a fan but I certainly acknowledge their place.\n\n**Penelope Houston:** Their songs are good and I liked the lyrics and everything, I thought Jello's voice was irritating. I think there's probably a million people who'd say that.\n\n**Klaus Flouride:** November 23rd show, the 15th anniversary of the Kennedy assassination. Sun Ra played in the afternoon, and some of them stuck around to see us. Herb Caen wrote an article a couple days before the show: \"Just when we thought Jonestown bad taste has reached its nadir, along comes this group called Dead Kennedys.\" And he knew that just by saying we're trashy, he was doing us this huge favor.\n\nIt went AP wire, so then Dirk started getting hate mail and calls from as far away as Texas. That night at the show, they took guns off people at the door. There was the Zapruder film behind us when we were playing, which wasn't our idea. Bruce Conner was doing that. About a song into it, somebody threw a glass. It just missed Ted, and Ted went behind the drums like he thought he was getting shot or something. It was a strange night.\n\n**Al Ennis:** It took them awhile. Someone put on a show in Berkeley, and it was in an African restaurant down on San Pablo and University. We went down there and got totally drunk, just slam dancing amongst ourselves. There was 16 people at a Dead Kennedys show. It might have been a bad night.\n\n**Jello Biafra:** We did it with no expectations of being popular or making money. We did wanna put a record out, which meant stashing most of our gig money, even the five-dollar Wes Robinson gigs. We did that for a year, it went into a bank account Ray was running. And then we had money to make the \"California \u00dcber Alles\" single.\n\n**East Bay Ray:** I put up half the money, and then everybody in the band agreed that we took half the money from the gigs. And we went and recorded it. Ted and I basically were the distribution. We drove it around, stores like Aquarius would take it on consignment.\n\n**Klaus Flouride:** I wanted a big-hole 45. It was an absurd reason. I wanted it to be able to be played in jukeboxes. I think they did put it in a couple of jukeboxes, and I bumped into them every once in awhile. It was great when we'd come to a town, we'd be eating in some restaurant that people'd drag us to. Then all of a sudden, on the jukebox \"California \u00dcber Alles\" would come on. It was like, okay, see? Because it had a big hole.\n\n**Jello Biafra:** Alternative Tentacles started as just a name to put out the first Dead Kennedys single. No one else was gonna put it out. We had to do it ourselves. Ray did most of the work putting it together and getting it distributed.\n\nBy sheer dumb luck one positive thing happened from the '79 tour in New York when we lost our shirts. Both me and Klaus came really close to quitting the band right then and there. But the promoter at Hurrah, Jim Fouratt, I guess he liked us. Because when Bob Last, who had the Fast label out of Scotland at that time, came to New York, Jim pulled out \"California \u00dcber Alles\" as an example of something that he thought was good that was going on in American music then. Bob Last flipped over it and called us and wanted to release it in the U.K.\n\nThis wasn't just huge, it was enormous, because Fast was about the hottest, most trendy label of its time. The first singles they put out introduced the world to the Gang of Four, the Mekons, the Human League and some others. Everyone on both sides of the Atlantic was watching to see who Fast would put out next, and lo and behold they put out \"California \u00dcber Alles.\" So here we were beating our heads against the wall trying to get rid of a thousand copies of that damn single, and Last said on the phone, \"Yeah we'll probably sell 30,000 in the first day.\" So obviously that vaulted us into a much higher bracket, especially outside of the Bay Area. And we got to make an album.\n\n**Mike LaVella:** The first punk record I ever bought, I was at a record swap at a Holiday Inn in Pittsburgh, Pennsylvania. I was buying a Captain Beefheart record, and the guy was like, \"You're a weird little kid, I have something I think you're gonna like.\" And it was the first pressing of \"California \u00dcber Alles.\" I took it home and I was like, \"Whoa. What's this?\"\n\n**Winston Smith:** I did some artwork for Rock Against Racism, did work for their paper. A friend of mine said, \"I know this guy who thinks just like you. But he's a musician, they do a band. Y'all should meet.\"\n\nShe showed me a record and said, \"This just came out, it's called 'California \u00dcber Alles.' \" I sent Biafra a postcard, said, \"If you want any more of this . . .\" It was a picture of the Zapruder film. He wrote back and said yes, send me more, meet us at the Mabuhay after the show.\n\nWe got there just as the show was over. Biafra was hungry, so we found Clown Alley, which used to be down on Van Ness. It was him, his soon-to-be wife and Ray, and the other guys in the band. We scarfed down hamburgers. Biafra I could tell was a creative individual who was kind of a challenging personality. Obviously a deep thinker about stuff.\n\nI showed him a bunch of pictures. He saw one of this cross of dollars I had made a couple years before, a commentary on religion, and Jerry Falwell and those guys making money off it. Biafra said, \"This is dangerous, man, we need to use this for our record.\" He gave me a call a week or so later and said we'd like to use that for our new EP.\n\n**Klaus Flouride:** Winston's such an eccentric. His juxtaposition of images is great, and generally it wasn't just shock for shock's sake. It all had some sort of theme to it that was driving the point home.\n\n**Winston Smith:** Biafra called one night and said, \"Can you do an emblem for our band, that we can use for our logo?\" I had heard their single. At that point, I had seen them a couple of times. I made this DK logo in one night, after going through a bottle of wine. I used the bottom of the bottle to make the circle. And tried to put things on the inside to make it geometrically even. I wanted to make it look Third Reich-ish. Real hard, even lines, something that would be easy to reproduce. I never got a dime! **Ian MacKaye:** In 1980 we saw them play, and after the show went backstage and hung out with Biafra. He was super friendly. I remember thinking, oh my god, an older guy. I think he was 22. My conception of punk at that time was really kind of no-frills. We were coming from the world of Bad Brains. Pre-Rastafarian Bad Brains.\n\nBiafra was very theatrical, and his presentation was really considered. I think he probably had his stomach hair shaved in the shape of a cross. Like his little pubic, whatever you call that hair that comes up on his stomach. And he might have been wearing green rubber gloves. It was just weird, you know? But they were good.\n\n**Dave Dictor:** Biafra is quite a character. He was very inspiring. \"Kiss ass while you bitch \/ But you get rich \/ While the rich get richer off you.\" There isn't a more classic punk rock political line out there. And I can say that off the top of my head without even thinking about it. Ingenious.\n\n**Klaus Flouride:** That first album, people said they liked it, but at the time, we were not the hippest thing.\n\n**Martin Sprouse:** That was so many people's introduction to punk. You can't even measure the impact of that. Those first singles\u2014huge impact.\n\n**Bill Michalski:** _Trouser Press_ , there was an article about Public Image Ltd. and it had a picture of Johnny Rotten, and he was clutching a bunch of 7-inches. And you could see the Dead Kennedys' \"Holiday in Cambodia.\" I'm like, \"What the fuck is that?\" So I tracked it down, found it. Okay, that's cool.\n\n**Steve Tupper:** They were a totally crazy band. It became this ritual where the audience would grab Jello and rip his clothes off and throw him back up on the stage. He would just keep going.\n\n**Bruce Loose:** Paul Rat put on one show at a warehouse somewhere in the deep Mission. New Year's Eve show, it just happened. Oh, here's a microphone. Oh, nobody realizes it. Oh, I can slip under the stage right now with it, and nobody's gonna see me. I can fuck with someone.\n\nI was under the stage, I couldn't see anything. I waited until they were one or two songs into stuff, and then I started making comments. I was going, \"I may be too drunk to fuck, but I can sure eat some pussy!\" Stuff like that. Ridiculous. And from what I heard, the sound people were going, \"Where is that mic? What's going on? Who's singing that?\" They were flipping out all over the place.\n\n**East Bay Ray:** I don't know if it made much difference in the sound, 'cause it was a pretty crappy P.A.\n\n**Max Volume:** Dead Kennedys played at the Mab the night before they went on their first world tour. I was very drunk. I was standing in the front row. It was their last song. And Jello says, \"Well, I'm getting pretty sick and tired of singing 'California \u00dcber Alles.' Is there annnnybody in the audience who knows allllll the words to 'California \u00dcber Alles'?\"\n\nAll of my friends pushed me onstage. I didn't have any time to react at all. I was there on my knees, I started hearing the drums start up, and I saw a microphone handed in my face. They helped me stand up. Fortunately I had an impersonation of Jello Biafra at the time. With the mime show, and pushing against the wind, and all of that stuff. Mocked him mercilessly.\n\n**Buzzsaw Bill:** With the cord in the teeth.\n\n**Max Volume:** I asked him about that a year ago, and \"No, I don't rememmmber.\" He blocked it out, obviously.\n\n**Jennifer Blowdryer:** When I was living with Peter Belsito, he had a zine and I reviewed Jello, and I said something about him doing the same exaggerated movements night after night. Then Marion Kester came along and did an unauthorized book on the Dead Kennedys and used my quote, under the name Jennifer Waters. Jello figured out that was me and was kinda miffed. But it did seem kind of cartoonish. His dad was a lawyer and he was always very hyper-articulate. He liked the girls that had their own brainy, girlish high-camp thing going.\n\nThere's Always Room for Jello: Dead Kennedys at Dolores Park\n\n**East Bay Ray:** I think it might have been _Plastic Surgery Disasters_ , we all grew little pencil-thin mustaches and soul patches. That was actually the tour where we actually got the most hate. This is a little bit later, it was like either second or third record, so punk rock was more codified. Sid Vicious with a padlock. That's what you were supposed to look like.\n\n**Klaus Flouride:** We had all gone on vacation. And we'd all separately, without any planning amongst each other, decided to come back with facial hair and see if we could freak out the other guys. East Bay Ray: We made it the sleazy lounge lizard thing. We did the whole tour like that, and, boy, it was tough.\n\n**Klaus Flouride:** We were courted by Polydor. We were courted by all sorts of labels.\n\nEast Bay Ray: The Polydor thing, we met this guy Tony something. Like a cigar-smoking guy.\n\n**Klaus Flouride:** He was in town with Sham 69. We were playing the Whisky. He said, \"I gotta talk business with you guys. Come on over tomorrow around noon when they kick you out of the hotel.\" It was like, sure. We were crashing at people's places.\n\nWe met him at the Beverly Hills Hotel, the big pink Beverly Hills place. And the guy was sitting by the pool. He got us up to the room, still wearing a towel. And he was big. He said, \"Okay, here's what I picture. I want you to picture this with me. Sit down. Colored vinyl!\" This is what he was trying to sell us with. \"Colored vinyl! On Polydor! First time we're gonna do it!\"\n\n**East Bay Ray:** We were _very_ noncommittal. I had a question or two, well, more than a question or two. Left a message. And the guy never returned the call.\n\n**Steve DePace:** They started their own record label. They sold a lot of records and they made a lot of money. But they did it themselves. They ultimately became the number one American punk rock band. There was the Ramones, but that was different.\n\n**Kelly King:** They would totally pack out places. They played Haight Street Fair one time. They were super popular, almost mainstream, almost commercial. Everybody in the United States at one point had heard of Dead Kennedys. Their name just went everywhere. And it was a controversial name.\n\n**Howie Klein:** The Dead Kennedys were sort of the forerunner of Green Day, in terms of San Francisco. They never signed with a major label, they never made it in the traditional sense of what makes it. Jello never compromised at all. He was what he was and that was it. With some of the other bands, they could say, \"Well, you're not the real thing.\" No one can say that about the Dead Kennedys. Although they did later.\n\nFrom a conventional standpoint, did they have hits? Of course not. But in terms of the underground audience at the time, they absolutely had hits. \"California \u00dcber Alles,\" \"Holiday in Cambodia,\" even when you get down into their catalog, like \"Let's Lynch the Landlord.\" I mean, that wasn't as big, but, yes, that was a hit, too, for the people who heard it. They had a couple of songs that just had that magic moment that you need to sort of be a hit. Jello was an amazing songwriter. And a good performer.\n\n**John Marr:** Biafra would jump out into the audience. He would run around, knock over chairs, confront people in the back of the room. Back in the '70s this was just flat mind-blowing. Bands didn't do stuff like that. And then a bunch of kids at our high school, who bought the imported records, put on what they called the \"Whittler's Ball.\"\n\n**East Bay Ray:** Moraga high school.\n\n**Jello Biafra:** Mark Carges was one of two kids who approached me at the Mabuhay: \"Would you ever consider playing a high school?\" And I thought, yeah, sure, why not! I wasn't like some of the other bands where they really didn't wanna get outside their own little womb and play farm towns.\n\nLuckily they were very savvy about the whole thing. They were clever. They joined an officially sanctioned club that nobody cared about, called the Whittler's Club. The Whittler's Club got to do the annual Christmas dance. So who did the Whittler's book for the Christmas dance, but us. We knew we'd have to do it under another name, so we called ourselves the Cream-Sicles.\n\n**John Marr:** In 1978 there was no way a band called the Dead Kennedys was going to play a suburban high school.\n\n**East Bay Ray:** So we made a logo where the sickle was a popsicle. All the kids knew who we were. This was strictly for the chaperones.\n\n**Jello Biafra:** Then they expanded it to a real punk show and got Sudden Fun and the Zeros to play as well. Headlining were the Cream-Sicles. We got there, and sure enough it was a festive high school dance. I think Dennis from Sudden Fun probably had the time of his life with all the cheerleader girlie chickies and yarn ribbons in their hair, chewing purple bubble gum. They were pogoing along with everybody else, just enjoying the rock 'n' roll.\n\n**John Marr:** This was just a spectacular show. Biafra was jumping into the audience the second or third number. The image that remains is the band playing their music while Biafra is being dragged around in the back of the cafeteria. It was great fun. That converted me.\n\n**Klaus Flouride:** We played something for KPFA. Angela Davis was before us, and she went on for, like, 30 minutes beyond her allotted time. So we had ten minutes to play.\n\n**John Marr:** This huge stage at Berkeley Community Theater. The [guitar and mic] cords couldn't get them to the edge of the stage, so they invited everyone to come up onstage to see the show. The punk rock kids who were only there to see the Dead Kennedys swarmed up there. This really freaked out the granola types who were running it, so they immediately pulled the plug.\n\nEveryone was scratching their heads, and this guy said, \"My fraternity will let them play.\" So the mob of punks and the Dead Kennedys showed up at the fraternity and set up in the living room and played the show. They played until four in the morning.\n\n**Jello Biafra:** It was such a ridiculous situation. We were playing a house party, so we treated it like a house party. We played a country-western \"Man with the Dogs.\" We played a disco \"Kill the Poor.\" We played covers of songs we didn't even know, like \"The Boy from New York City\" by the Ad Libs. I think we played two or three sets.\n\n**Sheriff Mike Hennessey:** Jello and I met on the campaign trail, 1979. I was running for sheriff at the same time he was running for mayor.\n\n**Jello Biafra:** I was basically riding to a Pere Ubu show at the Old Waldorf in the back of Ted's Volkswagen. Our first drummer. I was folded in the backseat, and Ted was saying, \"Biafra, you have such a big mouth, you should run for president.\" \"No, no, you should run for mayor.\" Then a lightbulb went off over my head. Why not? I think I will!\n\nSo I began mouthing off to everybody at the show that I was running for mayor. People got excited, asking, \"What's your platform?\" So without thinking about it, I told them, \"Ban cars from the city limits.\" Ideas kept popping into my head. I wrote my platform down in felt-tipped pen, that bled into a wet napkin, as Pere Ubu played five feet away from me.\n\nI mixed and matched the satire and the pranks with stuff I thought was perfectly practical, such as making the police run for election voted on by the districts they patrol. Legalizing squatting in buildings left vacant for tax write-off purposes, which was an epidemic in San Francisco at that time. A lot of downtown was empty. I mixed that with direct slaps at Mayor Feinstein, such as creating a Board of Bribery to set standard public rates for liquor licenses, building code exemptions, police protection, and most importantly, protection from the police. I also proposed erecting statues of Dan White all over town, and allowing the park service to sell tomatoes and eggs and rocks for people to throw at them.\n\nThe city was broke, so I also proposed making up the deficit from the city coffers by legalizing panhandling for the city at 50 percent commission. And that the panhandlers should concentrate in Pacific Heights, where Feinstein lived. Her whole campaign was \"law and order\" and \"we need to clean up downtown.\" I thought, you know, she's right. But let's clean up the other end. The dirty work is all done at the headquarters of Bank of America and Chevron and Bechtel. Therefore, businessmen should be required to wear clown suits between the hours of nine and five. That was the one the corporate media jumped on, and it got all over the world.\n\nHis fianc\u00e9 on his arm, and wearing his campaign wardrobe, a seven-dollar suit from a Geary Street pawnshop, plus shoes a friend gave him for formal occasions. They're serviceable, but a bit large, Biafra says. The candidate, who won't tell his born name, would be a joke except he's too smart.\n\nJello Biafra, the lead singer in the punk rock group the Dead Kennedys. He held a press conference at City Hall. He then went on to do what he calls \"shaking babies and kissing hands.\" He also went on a whistle-stop tour through parts of San Francisco today on a BART train. No telling how he'll do in the elections, but his philosophy is summed up in his campaign slogan, \"There's always room for Jello.\"\n\n_\u2014CBS 5 (KPIX-TV) newscast, 1979_\n\n**Jello Biafra:** Only then did it occur to me, how the hell do you run for mayor? Luckily in San Francisco, if you don't have enough petitions you just raise money and buy your way on the ballot. I was getting discouraged. Dirk said, \"Wait, don't give up. You have no idea what could be done with this. We'll throw a benefit, we'll raise the money.\" That's where Dirk really came in. I had just turned 21. I had no idea what I was doing.\n\n**Sheriff Mike Hennessey:** I can remember being at a big venue someplace in Nob Hill at a candidate's night, and introducing myself to him, and saying, \"I'll bet I'm the only one here who has your 45 'California \u00dcber Alles.' \" He kind of looked at me and he said, \"Well, I'm glad you do!\" And we became casual friends because we'd run into each other all the time. It wasn't a complete lark. Whether he ever felt he would win or not I don't know, but he really worked hard at being a candidate and made very entertaining presentations.\n\n**Klaus Flouride:** Hennessey put himself in a very strange position of endorsing Biafra. It was just such a quirky thing to have the sheriff coming out and saying, \"Yeah, my vote's going for Jello Biafra.\" He loved punk rock shows.\n\n**Sheriff Mike Hennessey:** I recall going to a law enforcement conference in Phoenix, Arizona, and getting the local alternative newspaper, and finding out that Suicidal Tendencies was playing in Phoenix. So I put on jeans and a T-shirt and took a taxi there. A couple of kids in the crowd came over and said, \"Are you a cop?\" I had a mustache, and shortish hair. Obviously the oldest person there. I told them a half-truth, I said, \"Well, I'm a lawyer.\" Which is true, I am a lawyer, but I didn't want them to think I was spying on them or something. I was just there to enjoy the music.\n\n**Jello Biafra:** I never went door-to-door, or worked with grassroots to make it a more serious candidacy. Dianne Feinstein is seen nationally as this old-school liberal, but she had far more in common with Margaret Thatcher. She was a mean, hateful witch who didn't even bother to hide her contempt for the disadvantaged. She had that same kind of hatred for people of lesser means that you'd associate with Nixon or Cheney. Or Gavin Newsom. Richard Hongisto, when he was on the Board of Supervisors, even called her a cop groupie. Not only did she turn the cops loose to beat the crap out of gay people and punks and cholos and African-Americans, she even had a police radio in her limousine that she listened to for pleasure.\n\nShaking Babies and Kissing Hands: Jello Biafra for Mayor\n\n**Max Volume:** I gave him a ride to his debate with Feinstein. It was pretty hilarious. And by the way, Dianne Feinstein is a fucking cunt. Nothing bad enough can happen to her.\n\n**Jello Biafra:** After Dan White gunned down George Moscone and Harvey Milk in cold blood, Feinstein became acting mayor, and made a deal with Quentin Kopp, who also coveted the mayor's chair, that she wouldn't run in the regular election if he'd vote to make her acting mayor. Of course she lied, and Kopp was furious and it was a real knockdown drag-out blood feud between the two of them in the '79 election. Neither one of them were pleased that me and the guy that came in third helped force them into a runoff.\n\n**Lars Frederiksen:** Jello running for mayor, sweeping up the stairs at City Hall. When he had the vacuum, \"I'm gonna clean up the streets.\" I remember that shit. Channel 7 news, man.\n\n**Jim Jocoy:** I remember watching him debating with the other three or four candidates on TV, with the moderator asking questions. He was wearing this funky, pseudo kind of formal wear, he wore a tie.\n\n**Klaus Flouride:** Biafra was theater trained, you know. And he knew how to use it.\n\n**East Bay Ray:** He's a good performer, and he's also very, very good at making, I call them bumper stickers. Taking a phrase\u2014like, instead of saying \"complacency,\" he writes the lyrics to \"Holiday in Cambodia,\" which is about a college student with a five-grand stereo. Bumper stickers, like \"Police Truck,\" or \"Let's Lynch the Landlord.\" That's really great. But the problem with some in the punk audience, is they thought we were writing the Bible.\n\n**Klaus Flouride:** There were people in places where English isn't their first language, like Portugal. \"Kill the Poor\" went to number four, something like that. Taking it literally.\n\n**East Bay Ray:** We weren't trying to tell people what to do. We all have our own political beliefs. Our thing was to try to get people to think.\n\n**Klaus Flouride:** Eighty percent of the songs were like getting inside some sort of crazed psychopath's head and trying to figure out what made them think that way.\n\n**Joe Rees:** I went to every one of the damn shows. Jello, my god. He wouldn't shut up. He was obviously a very prolific writer, very astute. That's what really attracted me to the Dead Kennedys. But he always made you a little nervous. It was difficult to talk to Jello in those days.\n\n**Larry Livermore:** In 1980 a friend of mine tried out to be their drummer and I took him to their practice. I had been up for about three days so I lay down and went to sleep behind the bass amp. But I remember waking up in the middle of this saying, \"Hey, these guys really can play.\" They were really great musicians. You just couldn't tell in those days because the sound wasn't good. East Bay Ray: We played in Washington D.C. downtown. It was some rental hall, audience was like 500 people, and the cops came in, and said, \"Okay, you got too many people here, you have to close the show down.\" I said to Biafra, \"Tell all the people to sit down.\" And so Biafra said, \"Everybody just sit down.\"\n\n**Klaus Flouride:** We sang the songs a cappella.\n\n**East Bay Ray:** It was like a classic sit-in. You had to realize in the middle of D.C., these were like white kids. There's a 99 percent chance that they were the sons and daughters of politicians. So they didn't want to call a SWAT team to come in.\n\n**Jello Biafra:** The second of the two shows we played there, some rather infamous people from D.C. showed up by the names of Ian and Henry. They'd brought barber clippers and began shaving people's heads by the side of the stage while we played.\n\n**Ray Farrell:** Dead Kennedys and Black Flag were separate from most bands. Those two bands encouraged kids all over the country to book their own shows. They started to help build that network of places. Basically, those two bands got the promoters of the '80s started by explaining how easy it is.\n\nAt the same time, I saw the Dead Kennedys in some small VFW hall, encouraging the audience to pull the toilet out of the fucking bathroom in the name of anarchy. Those were the early days, but that's the kind of shit that would go along with that.\n\n**John Marr:** After the first few years, it was no longer hip to go see the Dead Kennedys.\n\n**Dave Chavez:** Their music was New Wave, surfy, kind of accessible. It wasn't hard and mean and angry, even though Jello was doing his best to hold up his end. It was the other guys in the band that wrote really\u2014how would you put it? Very wimpy music.\n\n**Steve DePace:** Early on, Will Shatter didn't like Jello, and didn't hide it either. I mean, told him to his face, \"You're an asshole.\" One time I was at a show, and Jello was standing right in front of me. Jello turned and said, \"Hey, what's up with Will Shatter? What's his problem with me? Why does he fucking hate me? He's always giving me shit.\" Blah blah blah. I took all this in and I looked at Jello and said, \"Well at least he doesn't preach.\" And he was, \"I don't preach! Blah blah blah blah, I don't preach!\" And what does he do? Fucking preaches! That's his gig, man.\n\n**James Angus Black:** There wasn't supposed to be a bunch of egos in the punk scene. The bands and the people are one and the same. Your band played, and then you were a regular person. I never voted for Jello to be mayor. I didn't vote for Jello to be king punk rocker.\n\nHe acts like he invented punk rock in San Francisco. He was just a part of it. He really thought he was going to be the benevolent leader of us, and we were all going to follow in his footsteps. Most of the kids involved in that scene had enough of people telling them what to do. They just wanted someplace to hang out and get high and listen to music, and have fun and forget about all the bullshit for awhile. And here came Jello, \" _Wha wha wha_ , you shouldn't be doing that, you should be more political.\" He was just another authority figure.\n\n**John Marr:** They attracted a lot of suburban kids. \"Let's have a punk rock night out\u2014let's go see the Dead Kennedys.\" The hardcore punks didn't like it. But they played some of their best shows for audiences like that. Suburban morons really brought out the best in Biafra.\n\n**Murray Bowles:** I always thought it was funny, because Jello would have these diatribes against jocks and even songs against jocks, and yet they were the one band out of all punk bands that had all the jocks at their shows. If you're an athlete in high school, you're programmed to be self-confident. You can basically do anything you want. So you went to Dead Kennedys shows. And if you were a misfit, you naturally went to Dead Kennedys shows. But all the people in between were sort of worried about their reputations and not quite sure whether punk rock was cool. They would stay away. So you ended up with punks and jocks at the venue.\n\n**Jello Biafra:** When the surfers and the skaters picked up on punk and started coming to the shows, we all thought it would be great to finally take this to high schools and teenagers. But some of them brought their high school hang-ups and jock bullshit with them.\n\nIt got to the point where at 10th Street Hall shows, specific people, not all of whom were kids, were getting up onstage for the express purpose of getting a running start, jumping off the stage and punching somebody in the back of the head. The same people were doing it again and again.\n\nPeople out of the crowd said to me, \"Is anybody gonna do something about this?\" I thought, well, if I don't say something then nobody will. So I wrote \"Nazi Punks Fuck Off.\"\n\nWe debuted the song at a 10th Street Hall show that was a little later so people could go see Throbbing Gristle at Kezar first. The crowd went wild in two directions. The people who were sick of the violence were really happy somebody got up and said something. Then the people who it was aimed at of course reacted violently. Sure enough, some dude got up onstage afterwards wanting to argue with me, and he had on a swastika shirt that said \"White Power\" on the front, and \"Niggers Beware\" on the back. I couldn't have asked for a better example of what it was we were trying to fight. Nazi skins weren't there yet. It was just people acting like a bunch of fucking Nazis.\n\nOf course it turned out that there were a few ideological Nazis in the scene who were very hurt by the song. One of them even started wearing a swastika armband to shows and a full SS uniform. Then I found out that he'd committed suicide when his wife left him and some of his friends blamed me. And then it got even more violent for me than ever before.\n\nRay, Klaus and D.H. didn't seem affected by this and didn't really seem to care. But there was times in 1982 when that song came out where I never knew what was going to happen next. I got stabbed at an On Broadway show. Somebody set off dynamite in front of my house and I didn't know who did it for the longest time. It was not good times. I was constantly on the verge of a nervous breakdown.\n\n#  **\"SHOOTING THE SHIT\"**\n\n**TIM YOHANNAN:** Of all the American bands you're the most renowned. Are you rolling in dough\u2014are you rich rock stars?\n\n**JELLO BIAFRA:** One of the ways people like the Clash or Devo have gotten supposedly wealthy is that neither of those two bands ever bothered with forming their own labels, or tried to help expedite artwork by anybody else. A lot of our money went into forming Alternative Tentacles records. The purpose of our compilation LP, _Let Them Eat Jellybeans_ , was to alert people overseas and wherever to American talent and diversity. With Alternative Tentacles we got out a number of records by other people which might not have appeared\u2014the _Maximum RocknRoll_ LP set, 7 Seconds, etc. But not without problems.\n\n**TIM:** Well, you've still skirted the question of what have you guys done with the large amount of money you made?\n\n**BIAFRA:** It depends on what you call a lot of money. For example, none of us own houses. We all pay rent and live with roommates. It's not as though we suddenly have gone off to suburbia and bought tract homes. Basically we have been able to live for the past three years on income from the band. So on a day-to-day subsistence and existence level we've risen to that level, which is a lot further than many other people in the punk scene have been able to do, and that breeds a certain amount of jealousy. I take great pride in the fact that we've been able to support ourselves through the band without working 8 hours a day at degrading shit jobs that tax our energy and creativity. We sort of rose and fell in the financial department\u2014at this point the band is pretty much broke.\n\n**TIM:** No. The reason I bring up the question is\u2014you have 'politically-oriented' punk bands who are accused of preachiness. From my perspective, it's important for bands who are talking or singing politically to practice what they preach, in a sense. Bands who make no bones about being out for bucks I have no expectations of.\n\n**JEFF BALE:** They have no responsibility.\n\n**TIM:** Bands who are going out to the public and trying to inform and agitate about political matters do have a responsibility to maintain credibility with the public.\n\n**BIAFRA:** I didn't come from a wealthy background and I've never mixed well with wealthy people; have barely met any in my whole life. My mother's a librarian and my father doesn't work at all. I'm very proud of him\u2014he works a lot, but he doesn't work any shit jobs, he writes, primarily. . . . People who expect too much of me, who want to lift me to the level of great leader or guru and thus isolate me as a zoo animal\u2014thereby putting me below the level of a human being\u2014I find that ugly. If I got out to other shows, which I do, I don't like getting vibes from some people: \"Oh, what's he doing here? There's Biafra the asshole rock star,\" without ever talking to me. Just viewing me as something to be resented.\n\n**JEFF:** I think that's inevitable.\n\n**BIAFRA:** It might be inevitable, but it hurts. I have far more respect for people who walk up to me and say \"I think you're full of shit, for this reason . . . ,\" than sneaking around and stirring up shit behind my back, and refusing to admit they did it.\n\n**TIM:** But most of the people that Biafra comes in contact with are quite young, and don't have the accumulated life experience that gives self-identity and self-confidence.\n\n**BIAFRA:** I don't think that age necessarily determines that. Some young people are very self-assured.\n\n**TIM:** Some, but that's a rarity.\n\n_\u2014_ Maximum RocknRoll _11, January 1984_\n\n**Dale Flattum:** I remember reading _MRR_ interviews with Jello Biafra. We started getting Dead Kennedys records. Someone brought 'em back from Christmas break. The first two records, they were angry but fun. Like everything's fucked, but we're laughing at it all. They pointed out that you should question stuff, but it's still fun to be alive.\n\n**James Washburn:** When I was in seventh grade in Pinole, I found a cassette tape on the playground. One side was the Dead Kennedys' _In God We Trust, Inc._ and the other side had the Sex Pistols. I had no idea what punk rock was. \"The Sex Pistols, what a cool name! The Dead Kennedys? What the hell is on this tape?\"\n\nI played it, and it completely stopped me in my tracks. As anybody who likes punk rock knows, it gets you inside. It does something to you. You can't explain it, it's just there. It either works for you or it doesn't.\n\nThe first two albums I've ever owned in my life, was one by Ernie and Bert, and the Dead Kennedys album with the Statue of Liberty on the cover.\n\n**Jeff Ott:** I got to see the Dead Kennedys a bunch of times. They're probably the first point at which I went, \"Oh, you can have a band and play songs and talk more than you play songs.\" I was like, \"That's very interesting. I should try that sometime.\"\n\n**Gavin MacArthur:** I went to the Keystone Berkeley and saw the Dead Kennedys. I was 13 years old. I remember being overwhelmed by the density of the crowd. I hadn't even been to any big concerts yet. The closest thing I had been to was my parents dragging me to _The Nutcracker_.\n\nI was really small as a kid and there were a bunch of people doing their little slam thing, moshing in the pit. It looked really outrageous, and me being kind of an adrenaline junkie, I went up onstage and started following people stage diving off of it. They just loved it when kids dove off, really small ones. They'd scoot 'em around the top of the crowd and throw 'em all over the place, and, man, I just had a blast.\n\n**Sergie Loobkoff:** I don't think any band ever came close to being as intense and interesting. I was a dumbshit kid, I didn't think about anything political. I wouldn't think about what's going on about Cambodia or whatever. Dead Kennedys was actually opening people's eyes. I can't think of that many bands that really did. I don't believe Rage Against the Machine. I think they're posturing. Most bands that play punk rock and talk punk rock politics, are they doing it 'cause it sells records, or 'cause it sounds cool?\n\n**Lars Frederiksen:** When I listened to a Dead Kennedys record the first time and heard \"nigger,\" I was like, whoa. You didn't say that in my neighborhood. And here it was on a record. These guys didn't give a fuck. \"Bragging that you know how the niggers feel cold and the slums got so much soul.\" I was an 11-year-old trying to figure out what they were saying, but not really getting it, just hearing the words. The word \"fuck\" in a record. You were like, \"How did he do that? How'd he say 'fuck'? KISS doesn't say 'fuck.' \"\n\nThe Dead Kennedys had the ability, that if you weren't crazy, they made you crazy in 15 minutes. You came in all serene, \"I just smoked a joint, I'm cool.\" Next thing you know, _danana nanana nanana_ and you were like, \"Ahhhh, I'm gonna kill somebody!\" That's what they made you feel like. \"Give me something, ahhh! It's like my schoolteacher's on acid and he's yelling at me!\" It's rad, you're into it. You're like, \"I'm here. Fuck recess. I'll pee right here, I don't need a hall pass!\"\n\nI admire Jello. I don't wanna call him a teacher because that's probably not what he would wanna be referred to as. But his music did that. Like, what the fuck is this? Who the fuck's Pol Pot? I'm like ten and I can't listen to a Discharge record unless all the lights are on and my mom's home, 'cause it's scarin' the shit outta me. A nuclear war? What the fuck? Crucifix is saying 1984, the world's gonna end, and I'm just like, \"Ahhh, we got two years to live!\" I'm 13, I'm never gonna get my wiener sucked. The things you think about, you know. You got Jello screaming in one ear, Sothira's screaming in the next, and you're just like, \"Oh fuck. I'm doomed!\"\n\n**Frank Portman:** In the '70s, the Dead Kennedys were tailor-made to appeal to me. Guys who liked Dr. Who and played D&D and listened to Dr. Demento, and liked punk rock\u2014this was like the most awesome thing in the world. The real version of Weird Al Yankovic. This was just fantastic.\n\nI took the bus to the city, and took the streetcar to Tower Records to get the \"California \u00dcber Alles\" single that I'd heard on Dr. Demento. It was two dollars, which was like, all my money. He was speaking to me at that particular time. And I was impressed with his belt buckle. It's famous, it was a star, like a Wyatt Earp kind of belt buckle. He had this cartoon character voice, which I admired.\n\nAnd then you realize, whoa, he wasn't kidding. He really thinks that Jerry Brown is a fascist dictator, and he really thinks that everybody is Zen fascists, and that there's a secret government underneath these mountains in Colorado that's run by aliens. Wow, he's just a nut. And he's into hemp? That was a real blow to my worldview. It's all down to politics. Which kind of does outlaw humor, other than in particularly directed causes. There's a point where it's, oh, that's not funny. So it's a weird position for a satirist to take. It alienated at least a little proportion of his fans.\n\n**Dallas Denery:** Of course, Frank is not an impartial critic of Jello Biafra. Because if you look at photos of them, they're identical. I swear to god, in the late '80s he looked just like Jello.\n\n**East Bay Ray:** The reason we were around so much, and maybe the biggest band that came out of that scene, is 'cause we rocked out. And we wrote good songs.\n\n**Klaus Flouride:** In the beginning we were also much more insistent on melody. Especially at the beginning. And we sort of let it slip near the end. By _Bedtime for Democracy_ , eh, it wasn't hitting quite as hard.\n\n**Jello Biafra:** It was very hard to get them to jam. But a lot of the jams we did do resulted into songs like \"Moon Over Marin\" or \"This Can Be Anywhere,\" \"Soup Is Good Food\" and some of the others. I always longed for more than that, but it was hard.\n\n**Larry Crane:** Vomit Launch opened for Camper Van Beethoven and the Dead Kennedys in Chico. That was '85. The guys in the DKs were obviously good musicians and fairly open-minded to all kind of shit. But to me, this was a band way past their prime. We thought they were ancient. I was 21 or 22 at that point and these guys were pushing 30 almost. I'm thinking, \"Punk bands aren't supposed to be around for more than five years\u2014they're practically dead!\" They sounded pretty good, though. I really liked Ray's guitar playing. Jello was a great front man.\n\n**Joe Rees:** When Jello's mother finally came to San Francisco, she really had no idea what he did. So Jello called me up one day at the studio and said, \"I want to bring my mother over. Could we show her some of the videotapes?\" That was a big deal to me. So I got everything together. I realized, oh my god, what am I gonna do? I must have a good eight, nine hours of Dead Kennedys here. As it turned out, Jello wanted her to watch eight or nine hours of Dead Kennedys! He made his mom sit in this room, and I played one tape after another. That poor woman. I was getting her a glass of water every once in awhile. We got through at least four hours of it. He did that to his own mother!\n\n**Hugh Swarts:** Dead Kennedys was one of the only punk bands from here that I'd heard. The whole Frankenchrist thing, the controversy over the Giger artwork, and them getting busted. That was a high-profile thing. It kind of extended beyond.\n\n#  **\"SINGER'S TRIAL ON NUDITY IN ALBUM BEGINS TODAY\"**\n\n##  \u2014New York Times, _August 16, 1987_\n\n**Jello Biafra:** April 15, 1986. I was in this flat I used to rent. I heard this tromping up the stairs. \"We're police officers. You are under suspicion of distributing harmful matter.\"\n\nCan you imagine any matter more harmful than finding a cop in your bedroom? And then going on down the stairs in the main part of the place and finding out it's not just one cop, not just two, not just three. Nine cops were busy tearing my whole flat to pieces. I felt like it was a DEA drug raid or something.\n\nThere were two cops going through my address and phone book, page by page. It wasn't just San Francisco cops. Three of the cops were from Los Angeles.\n\nI was asking them, what is this harmful matter? There ain't no drugs. There ain't no guns. What it takes nine cops to tear my whole house apart to find is a record album: _Frankenchrist_.\n\nAnd inside that record album was a painting by Swiss surrealist master H. R. Giger. The guy who won the Oscar for designing the set to _Alien_ , designed the monsters. He's done album covers for Emerson Lake & Palmer, Deborah Harry, Magma, Celtic Frost. He's a recognized master. But they really wanted his ass.\n\nOne of the L.A. guys was going, \"Where's the guy who did this painting? Where is he?\"\n\nHe's in Switzerland.\n\n**[Then-prosecutor] Michael Guarino:** I remember looking at the piece of art, and thinking, just on the basis of the insert, we got a great case.\n\n**Jello Biafra:** I heard drawers opening and shutting upstairs. I plopped down in a chair with nothing but a bathrobe on. Two L.A. cops were circling around me like sharks.\n\nBy that time, they'd also raided the Alternative Tentacles and Mordam Records warehouse office space. Couple of the cops were holding up DOA T-shirts, showing themselves off. One of them found the 4 x 6 chrome slide we'd gotten of the Giger painting from his agent in Switzerland.\n\n\"Alright, we got it! This is the smoking gun! We've got it, we've got 'em now, ha ha ha ha!\"\n\nForgot to take it with them.\n\n**Suzanne Stefanac:** When I arrived home, Biafra was sitting on the front steps. He pointed to the rickety front door, with its many glass panes. One of them was broken. \"Cops,\" Biafra said. I was confused.\n\nWe went into the house, and it was shocking. The place had been torn apart. Drawers were upended. They'd gone through my things pretty thoroughly.\n\nThey'd photographed my phone book, which was pretty upsetting. As a journalist, people had entrusted me with their private information. Open on my desk was the transcript for an interview I'd just done with Frank Zappa, about censorship of music. The pages were out of order. They did find a small film canister with a few crumbs of pot. They left it open on top of the Zappa transcript, to show me they'd found it.\n\n**Jello Biafra:** Two months later, June 2nd, 1986, me and four other people were all charged by the Los Angeles City Attorney's office with one count each of \"distributing harmful matter to minors.\" I was charged, Ruth Schwartz from Mordam Records and _MRR_ was charged, a guy who used to work at Alternative Tentacles and had quit by that time, he was charged anyway. They charged a guy from Greenworld Distribution, who wholesaled to stores. They even charged a 67-year-old man, whose crime against humanity was owning the record pressing plant that stamped out the vinyl and collated the discs. We were looking at a maximum year in jail, a $2,000 fine, because of what we said with a record album.\n\n**Suzanne Stefanac:** For a year or so prior, Dead Kennedys had been among a handful of bands under attack by the Parents' Music Resource Center (PMRC). Al Gore's wife Tipper had founded the group with Susan Baker, wife of Republican James Baker, who had been Reagan's chief of staff and who later served as George H. W. Bush's secretary of state. It was an odd match with an even odder agenda. The PMRC claimed that lyrics by Dead Kennedys, Prince, Black Sabbath, Judas Priest, M\u00f6tley Cr\u00fce, Madonna and even Cyndi Lauper were responsible for teenage pregnancy, suicide and violence.\n\n**Jello Biafra:** The prosecuting deputy city attorney from L.A. went on TV that night, saying, \"We feel this is a cost-effective way of sending a message that we are going to prosecute.\" He deliberately picked an independent, who would have to pay out of their own pocket to defend themselves. Instead of a high-budget PMRC target like Prince or Ozzy, they picked us.\n\n**Suzanne Stefanac:** Things had been heating up. In protest, some bands were putting their own stickers on albums. _Frankenchrist_ was shipped with a sticker that read, \"Warning: The inside foldout is a work of art by H. R. Giger that some people may find shocking, repulsive, or offensive. Life can sometimes be that way.\"\n\nAfter hearing the story, Dirk Dirksen said that we'd clearly have to launch a defense fund. The three of us founded the No More Censorship Defense Fund. Biafra was adamant that the name had to be baldly descriptive. Nothing jokey or clever. Just to the point.\n\nEven though the primary lawyers on the case worked pro bono, the research, court filing fees, expert witnesses and other legal fees added up to more than $50,000. We got the word out through radio stations, inserts in albums put out by Alternative Tentacles, SST and others, and through journalists. MTV News even played Dead Kennedys' \"MTV\u2014Get Off the Air\" while making the pitch for the defense fund.\n\nI researched and wrote most of the content in the No More Censorship Defense Fund fact sheet. We told people about the case, as well as other music and art censorship cases. We provided histories of American freedom of expression and the PMRC. We got thousands of letters from people all around the world. Punk kids, their parents and grandparents, even the Ringling Brothers clowns. Most of the money raised came in increments of ten dollars or less. It was an amazing grassroots effort.\n\n**Jello Biafra:** We finally went to trial in Los Angeles, almost a year and a half after the initial police raid. The smoking gun Michael Guarino thought he had was this handwritten list I'd been keeping, of the different releases we'd put out on Alternative Tentacles.\n\n\"Now one would think, Your Honor, that it would be important to show the jury how these people deliberately disseminate material they know is offensive to the public taste. With bands with names like the Crucifucks, and Butthole Surfers. Look at these titles: 'Plastic Surgery Disasters,' 'War on 45,' 'Nazi Punks F-f-f-f Off.' \"\n\nHe brought the list up to the judge, like a kid bringing a paper to the teacher. Judge looked at it: \"Ah ha ha ha ha!\" Everyone except Guarino was snickering by now, as he took the list back. Phil Schnayerson [Biafra's attorney] finally asked, \"Well, what's the problem? Is that song a little too close to home? 'Too Drunk to Fuck'?\"\n\n**Michael Guarino:** It was upsetting to see Philip Schnayerson so sure of himself, and so sure of the merits of his case. I could start reading the jurors. And I didn't like what I was seeing. I was seeing a lot of various degrees of hatred towards me, registering on faces. I started getting the feeling that this was not a great case, very early on in the trial.\n\n**Suzanne Stefanac:** Mary Sierra, the mother who'd complained about the poster, testified, as did her daughter, who I think was 17 at the time. The mother claimed that she'd purchased the album as a Christmas present for the daughter, but when her younger son saw the poster, that's when she decided to file the complaint.\n\n**Jello Biafra:** They didn't charge the record store. Guarino justified this to the press, saying, \"Well, they were cooperative, and took Dead Kennedys off the shelves.\" Wherehouse was the largest retail chain in California. They didn't just ban _Frankenchrist_ from the one store in Northridge, they banned every record we'd ever made from all their stores, permanently.\n\n**Suzanne Stefanac:** There were a number of bizarre moments. Lawyers from both sides played cuts from the album and read lyrics aloud. There was a huge poster with lyrics from some of the songs that they would point to with long sticks, like schoolteachers.\n\n**Jello Biafra:** Four hours, six hours, eight hours. No jury. Finally, a note comes back from the jury room. \"The jury would like a record player.\" An hour and a half later, out they came. They could only agree on one thing. That they were hopelessly deadlocked, seven to five in favor of acquittal. Charges dropped, case dismissed. Suzanne Stefanac: It had been exhausting for everyone. Dead Kennedys broke up during the lead-up to the trial. The label had suffered. Biafra hadn't been able to get on with his own work. The PMRC did better. The labels caved and began slapping warning stickers on albums. On the one hand, this only made kids want those albums more. But as predicted, many major distributors refused to carry albums with \"questionable\" content.\n\n**Michael Guarino:** That was the turning point for me. From time to time, someone would come up to me and say, \"Are you the Mike Guarino that prosecuted Jello Biafra? What were you thinking?\" Students were amazed that this person they thought they knew, had been involved in this thing. My son is probably one of [Jello's] biggest fans. He's 22 years old. He would play the stuff so loud that half the block could hear it. He was a huge fan.\n\n**Jello Biafra:** One of the few silver linings to come out of the trial\u2014Frank Zappa got hold of me and gave me some very valuable advice very early on, something that anybody subjected to the kind of harassment should remember: _You are the victim_. You have to constantly frame yourself in that way in the mass media. So you don't get branded some kind of outlaw simply because of your beliefs and the way you express your art.\n\nI got to visit Frank two or three times at his house in Los Angeles, and those were pretty special times. He showed me a hilarious Christian aerobics video. The women were in their skintight leotards doing jumping jacks. One-two, two-two, Praise the Lord! And of course the bustiest one was in a striped spandex suit, dead center at the front of the screen!\n\n**Robert Hanrahan:** Like all the other bands I advised, I asked each band member to read the Billboard book _This Business of Music_ and for the band to find an attorney through BALA, the Bay Area Lawyers for the Arts. In the DKs case, I may have made a mistake.\n\nThe Dead Kennedys was a punk rock band, which performed together from 1978 to 1986. Together the band created numerous musical compositions and sound recordings. The name of the band was a tribute to the ideals of John and Robert Kennedy. The four members of the band were respondents East Bay Ray aka Ray Pepperell, Klaus Flouride aka Geoffrey Lyall, and D. H. Peligro aka Darren Henley, and appellant Jello Biafra aka Eric Reed Boucher. The Dead Kennedys band toured extensively and recorded six full-length albums, numerous singles and extended-play albums. The song writing was a collaborative effort among the band members. The band's popularity has continued; it sold in excess of 134,000 records in 1998.\n\n\u2014DEAD KENNEDYS et al., Plaintiffs and Appellants, v. JELLO BIAFRA, Defendant and Appellant; A094272 (San Francisco\n\nCounty Super. Ct. No. 998892)\n\n#  **\"BIAFRA'S EX-MATES WIN IN COURT: $220,000 IN DAMAGES ORDERED\"**\n\n##  _\u2014San Francisco Chronicle, Saturday, May 20, 2000_\n\n**James Sullivan:** I covered the trial for the _San Francisco Chronicle_. The whole thing just felt icky, like taking notes while an old married couple bickered over the pension checks. But the irony\u2014old punk values shriveled up and tossed aside\u2014was just too absurd for words.\n\nDead Kennedys made their name as America's answer to the Sex Pistols, a group of punks fiercely committed to exposing the bullshit and hypocrisy of modern life\u2014the corporate greed, the class warfare, the \"I, me, mine\" attitude. And here the band members were suing Biafra over royalties, and Biafra was claiming that they started a pissing match over his refusal to do the Levi's commercial with \"Holiday in Cambodia.\"\n\nThere were no winners. Even before the trial was decided, they all looked bad. I guess that's the danger in setting yourselves up as pillars of righteousness. Sooner or later, we're all going to take the low road, and pay for it.\n\nKristen Lange was general manager of the label when Ray wanted to see the books back in '97. According to her deposition, a few passages of which were read aloud at the hearing, she found out about a discrepancy between what the books indicated the band was paid and what they should have been paid. When she took the news to Biafra, she remembers him \"saying that Ray would go after him if he knew.\" She says she was told not to break the news to the band. Biafra says Lange misunderstood his orders.\n\nRay was present during Lange's deposition last August. When he heard how Biafra allegedly instructed her to conceal information, he left the room and cried for half an hour.\n\n_\u2014\"Punk Rock on Trial,\" RJ Smith,_ Spin, _February 2000_\n\n**James Sullivan:** In the end, the jury decided that Jello owed Klaus and Ray and Peligro something like 75 grand for messing around with their royalty rate, and then covering it up. The weirdest part was that the jury bought into the idea that the ex-band members could have earned more money if Alternative Tentacles had continued to advertise for the old albums. What label buys ads for 15-year-old records? It was hard to argue with Jello's argument that it was his notoriety that was keeping the band's legacy alive.\n\nThe poor guy looked stricken when the judge read the verdict, like he never imagined he could lose the case. I don't think the other guys were feeling especially victorious either.\n\nWhatever legacy the band had left behind, it was pretty clear it had just been squandered over what essentially amounted to a backlog of petty grievances. If the band left a statue, now it was covered in pigeon shit.\n\n**Bruce Loose:** Personally, I've not had the best relationship with Jello. He's not had the best relationship with me. We'll leave it at that. I like Ray, and I like Klaus. I connected with Klaus and Ray long before I connected with Jello. It's sad what happened to them. As far as I'm concerned, they ruined a really good thing.\n\n**Martin Sprouse:** The history became so weird. It was bound to happen that way. 'Cause it was always Jello, and then the three other guys. Even back then. They didn't hang out. You just knew that they weren't a tight group. That behind the scenes things weren't as smooth as it seemed.\n\n**Tammy Lundy:** The way that they treated Jello later was just so shabby.\n\nJello has his problems. He had a big ego, like most singers do, but what's surprising about that? That's part of the deal.\n\n**Dennis Kernohan:** The best thing that ever happened to you four guys, and you're gonna fuckin' fight about it the rest of your lives?\n**10**\n\n**No One's Listening**\n\n**Penelope Houston:** When you went in, you wrote down your drink order and handed it over the bar. It must have been some kind of nonprofit, 'cause most of us were under 21. They never carded. The Mabuhay was the mainstay, but the Deaf Club, that was Robert Hanrahan.\n\n**Robert Hanrahan:** I bought a burrito at La Cumbre and noticed a sign on the fire escape across the street. It said \"Hall for Rent.\" I went up the flights of stairs and saw two guys watching TV with the sound off. After a very short while, I realized we weren't going to communicate, so I wrote on a piece of paper that I wanted to rent the place. Bill\u2014I never knew his last name\u2014was a mustachioed, lascivious, cigar-chewing character who apparently was in charge. He wrote \"OK & $250,\" so I wrote \"OK.\"\n\nI rented a P.A. system from the company I worked for, and booked my favorite bands: the Offs, Mutants and On the Rag, who later became Noh Mercy, for the first show.\n\n**Penelope Houston:** It was kind of amazing. I think they were dancing to the vibrations. The deaf people were amused that all these punks wanted to come in and rent their room and have these shows.\n\n**Robert Hanrahan:** The social aspect of being able to participate and be accepted was big for the deaf people. They enjoyed being exposed to a different subculture like their own. It was very convivial, no fights or hassles.\n\n**Winston Smith:** They put their hands on the table and they could hear the music. It was music they could appreciate because it was so loud.\n\n**Johnnie Walker:** I was in my little corner with my mobile disco rig. We transformed the place, had it packed full of punks going crazy, bands coming up from Los Angeles, stage diving into the audience, the floor was bouncing up and down. You had mayhem at one end of the club, and all these deaf people at the other drinking beer and signing to each other, grinning all over their faces, because they absolutely adored it. They had all the atmosphere, but they didn't have to hear the music.\n\n**Ray Farrell:** Any other club at the time, people would be snotty because it was either trendy, or because they just didn't give a fuck. What was very unique about the Deaf Club is that the people who ran it were the friendliest people imaginable. I think I saw the Butthole Surfers there on their first time playing in San Francisco.\n\n**Robert Hanrahan:** In the early days, the commander of the Mission precinct sent a patrol officer to the Deaf Club. He told me that we had their cooperation, as the \"punks were changing the face of the neighborhood and appeared to be bringing the crime rate down.\" But he said if I fucked up he would unleash a shitstorm and close it down. \"Understood?\" was his next word. And with that I was escorted out to the street by the patrol officer and walked back. Sometimes younger cops would drop in to ask about learning to pogo with the real intention of meeting those \"loose and wild\" punk women.\n\n**Jennifer Blowdryer:** It was on Valencia. I remember Russell got queer-bashed pretty badly near there, and someone else got stabbed. When there's a new area it seems like some blood gets shed, initially.\n\n**Robert Hanrahan:** There was one invasion by cholos near the end of the club's life. The attackers were beaten back down the stairs and out onto the street by the audience. There was also the murder of a transient who apparently was flung out through one of the fire escape doors in the upper floors of the hotel and sailed over the heads of _Thrasher_ magazine's Enrico Chandoha and Matty Todd from Pink Section. Matty went into the club and asked me to come outside to talk with the cops, who arrived with paramedics, who waited patiently for the guy to die. While the cop and I were talking, this couple walked over into the street and the guy began to sift his hands through the blood from the transient's head, that was pooling up on the street.\n\nGood Vibrations: Deaf Club flyer\n\n**Jennifer Blowdryer:** I had this thick Rhode Island accent and I was mean as a snake. I didn't like the fact that I'd been a reject all my life. I would always be tanked. I used to carry a bottle of Sea-grams 7. And then people were kissing my ass 'cause I was in a band. I remember Sally Mutant was backstage, and Timmy said I said, \"You've got two short little legs, why don't you walk away on 'em?\" People would come up to me years later and be like, \"You really upset my friend at the Deaf Club.\"\n\n**Rozz Rezabek:** Everybody would end up drinking Bud, because it was the only thing you could order with the deaf people. You'd try and do sign language. But then if you mouthed the word \"BUD\" they'd understand. That's all anybody ever drank, was Budweiser.\n\n**Larry Livermore:** The building was old and a little bit shaky. The whole place would move with the drums and the sound of the music, and people stumbling around and jumping around.\n\n**Rozz Rezabek:** This couple named Joel and Mimi lived next door. The window from their fire escape faced the backstage room. When bands were there, Joel and Mimi would just charge people a buck to come through. People would be crawling through the window into the dressing room. In and out, all night long.\n\n**Jennifer Blowdryer:** Now you think of people who are so-called handicapped, there's supposed to be this liberalization of using language as if no one's different, but they're actually more protected and segregated now. It wasn't like the deaf people must be separate or something. They were just down and drinking and having as good a time as anybody. They were drinkers, those deaf people. Oh yeah.\n\n**Sammytown:** They closed it down 'cause pogoing was big, and they were afraid the floor would collapse.\n\n**Robert Hanrahan:** The deaf community supported the club to the end. Bruce Conner had the last unofficial show there, a private affair that was paid for with an award he received.\n\n**Dennis Kernohan:** The deaf people there with balloons, holding them up and feeling the vibrations of the balloons to the Germs, all these fuckin' great bands, and using these balloons and dancing around. For a tough old punk, it just made your heart\u2014it gave you that beautiful feeling. They loved the music, and we were making money for them.\n**11**\n\n**Ha Ha Ha**\n\n**Steve DePace:** I remember being approached by Ted Falconi at a party in a warehouse somewhere. I was jamming around with some different people. He had seen me in Negative Trend, we had done shows together. He was in a band called Rad Command. He said, \"Hey, man, I really like the way you play drums, blah blah blah. I got a thing going with Will Shatter. We want you to come and play drums with us.\"\n\nTed came from a band that had broken up. Myself and Will, from a band that had broken up. The original singer, Ricky Williams, was fired from the Sleepers.\n\nFlipper started in '79. There was no talk of how we were gonna style this band, or how we were gonna style the music, or anything. We literally got together in a room, plugged in, and started playing. And what came out, came out.\n\n**Ted Falconi:** We did a show right outside the Aquarium in Golden Gate Park. And, as all these kids were running out, you know, \"Flipper\u2014I wanna go back and see Flipper!\" Talking about the aquarium. And Ricky Williams had all these animals called Flipper. So Will was like, \"That's the name of the band\u2014Flipper. Ricky will remember it, and it signifies fun.\"\n\n**Steve DePace:** Ted was the art school guy. He came up with a logo that anybody could do. It was one continuous motion to do the whole thing. You just had to take your pen off the page to do the fins. That thing was all over the world.\n\n**Joe Rees:** Ted and I were friends in art school. I never in my life ever thought Ted Falconi would play a musical instrument and perform onstage. Oh sure, he was a frontline, open-minded anti-war guy with long hair. You just never expected any interest in the music scene.\n\n**Steve DePace:** Ricky Williams was fantastic. What a great presence, he was a great punk rock star onstage. But he was all fucked up on drugs. He lasted maybe six months. We actually kicked him out of the band. He was showing up to rehearsals unconscious. He had these two girls that were his handlers, and they would drag him from place to place. How do you have an unconscious singer?\n\n**Bruce Loose:** The only reason I'm in Flipper is because I was a friend of Will's.\n\n**Rozz Rezabek:** The early Flipper shows were really good, when they were kind of like the Grateful Dead of punk. They would do these long pounding dirges, long, horrible anti-groove things.\n\n**Joe Rees:** Ted's guitar was irritating as hell. But you could always have a good time when you went to a show. You never had to think a lot about Flipper. It was basically a crazy, mad happening.\n\n**Ruth Schwartz:** Flipper were the first rave band, as far as I'm concerned. Will was a poet. So he was doing poetry over this grunge thing. And it worked for a lot of people. I go back to that stuff now and it's unlistenable. There's a lot of things you go back and listen to now and you go, \"They really were good.\" And then other things you go back and listen to: \"Wow, what were we ever thinking?\" Flipper's one of them.\n\n**Steve Tupper:** I first saw them in either late August or early September of '79 at the Deaf Club. Mike from the Tools and I were both total Negative Trend fans. We cornered Ted in the back room and said, \"Hey, would you like to be on this record that we're putting out?\" And Ted was totally grinning from ear to ear. I don't think they'd even done a demo at that point.\n\n**Jello Biafra:** Flipper was a very controversial, maybe even dangerous band that still had the attitude of Negative Trend running through it. Where the reason to play music is not to be liked, it's to fuck with everybody. There was no middle ground. People either loved them or absolutely hated them. It got to the point where one way of heckling crappy out-of-town poseur bands, or British record company bands, was to yell \"Flipper!\" out in the crowd. I yelled that at the Keystone in Berkeley, and somebody punched me in the back of the head as hard as they could. Just mentioning Flipper offended people that bad.\n\n**Dave Chavez:** I was a big fan of theirs because they were so noisy. You never knew if somebody was gonna be too high, or if they were just gonna play one song, or maybe a couple, or ten. You didn't know. And if they did play one song or two songs, they made it fit the whole set. The scene was so new, it was really like the beginning of the hardcore scene. It sounds funny to say that, but early Flipper shows were some of the most hardcore shows I've gone to.\n\n**Krist Novoselic:** I met Buzz Osbourne, who was in the Melvins, in Aberdeen, Washington. I heard some of the old-school punks from the '70s, but I hadn't really heard any American hardcore music. I was 18. Buzz was a punk rock evangelist, so he lent me a bunch of records, and one of the records was _Generic Flipper_. I put it on and listened to it, and I said, \"God, this is really weird.\" Just the production value. Is this live? I listened to it again, and then the third time, I rolled over and it just floored me. Oh, this is really art and expression, and ethereal. It actually was an epiphany.\n\n**Dean Washington:** Flipper's music is filthy and slow to me. I don't wanna nod out, I wanna be, like, teeth grinding. But they were good.\n\n**Johnny Genocide:** They are the one band I never got tired of. There are layers to their sound that are fascinating to listen to, especially with headphones.\n\n**Steve Tupper:** The Tools, the Vktms, Flipper and another band that was pretty popular at that time, No Alternative, were all on _S.F. Underground_. The idea was to do this series of 7-inch compilations. Pick one song from four different bands and put them on a 7-inch. By the time the first Flipper LP came out in the spring of '82, Subterranean was pretty much plugged into the whole U.S. indie distribution network. Flipper got this full-page spread in _NME_. We got their _Generic_ LP released in the U.K., but it didn't sell worth shit there. I don't know why.\n\n**Larry Crane:** I lived in Nevada City through high school. My friends used to tape the _Maximum RocknRoll_ show. We'd be riding in my car, and one of those shows, my friend said, \"You're gonna hate this.\" And \"Earthworm\" by Flipper came on. I was like, \"Wow, that's really cool!\" It was just so textural.\n\n**Steve DePace:** Will Shatter and Bruce Loose. Those guys were the real deal. They didn't give a shit. It wasn't about, oh, let's play a great show and we'll sell a lot of records. It was about torturing the audience to fucking death. To them, if you walked out, then they did their job right.\n\nMabuhay Flyer: Flipper, The Lewd, and Crucifix\n\n**Gary Floyd:** When we first moved here, I didn't know those guys. The Dicks were playing at the Mab and Will Shatter jumped onstage and grabbed the microphone and started singing along. I ran over and grabbed him and kicked his fucking ass offstage and said, \"Start your own fucking band!\" Later on a friend said, \"That was the guy in Flipper. He fucking loves you guys, and you told him to start his own fucking band. He _has_ a band\u2014bigger than your band.\" But I had to pull it in, you know. Like, \"Well, I didn't like it.\"\n\n**Ruth Schwartz:** Most of the people who were really in love with Flipper were pretty messed up. You had to be really messed up to be into it. People who didn't do drugs didn't like it, 'cause who wants to stand around for that?\n\n**Jello Biafra:** Flipper opening for PiL at the South of Market Cultural Center. My favorite show of all time. Visualize the PiL audience, 3,000 people crammed into a building way too small. I commend Johnny Rotten for refusing to play for Bill Graham. Which meant it was a poorly run Paul Rat show that was way oversold. One person there turned to me afterwards and said, \"You know, Bill Graham should have done this show.\" It was that badly run.\n\n**Tom Flynn:** The crowd hated them. A huge crowd, all in this big long narrow building. Flipper started, and I thought something was wrong with the P.A. system. I couldn't hear a note the guitarist was playing. I was like, \"Is this what they're trying to sound like?\"\n\n**Jello Biafra:** The sound was bad, the crowd was pissed, everybody was in a really edgy mood. There were all these jocks, and people even from Travis Air Force Base, there to see the freak show, 'cause Johnny Rotten was gonna come on.\n\nAnd there was Flipper, playing their wonderful\/horrible music, and people getting madder and madder, trying to boo them off the stage. Most bands would melt, and go off into the dressing room and cry. But Flipper was just laughing at 'em. Bruce said, \"Okay, now we're gonna torture you some more.\" And then would come the next song. Eventually Falconi was playing his guitar, using a Bacardi bottle as a slide, that someone had thrown up there apparently.\n\nThe stage was about ten feet off the ground with a chain-link fence. People kept trying to climb up on the stage to pull Flipper off, and falling back on everybody else like the Potemkin movie. Bruce and Will were actually playing soccer, kicking all the cans that were thrown at them back at the crowd. And then finally Will hit his bass on an upstroke, his bass flew over his head, took him with it, he crashed into all of the equipment, and knocked it over. The whole thing was feeding back something fierce, all through the P.A. And Will just paced the stage, dragging his bass and his amp behind him, laughing. It couldn't have happened to a more deserving audience.\n\n**Fat Mike:** San Francisco punk in the '80s did not have a sound. Out of tune and totally sloppy and fucked up was the San Francisco sound. Flipper, I mean seriously\u2014worst band in America. They may be classic, but L.A.'s got Bad Religion, and the Circle Jerks, and Agent Orange, and Social Distortion. And you have Flipper? What the fuck is that?\n\n**Steve Tupper:** On a lot of the records, I did the artwork. The album _Generic Flipper_ , the bar code, I took it off a can of dog food.\n\n**Ray Farrell:** I worked for Subterranean. They would come in eating cat food to get advance money, because they spent all their money.\n\nI was at some Flipper gig in San Francisco. Before the bands started, I was standing in the beer line. I wasn't paying any attention, but I kept getting hit in the back, by somebody not being able to keep their balance. I turned around and I saw it was the Flipper guys. Two of them were already drunk, and kind of smacking each other. One of them kept falling into me.\n\nInstead of turning around and hitting him, I made my back very rigid. He got pissed off that I did this, and smacked me in the back of the head. I turned around, and smacked him in the face, and I got hit in the eye, and before I knew it, I was on the floor being held down by three of the guys.\n\nTed Falconi, it was a hair trigger with violence for him. He was a fucking Vietnam vet that was just like, I'm here to protect my guys. He didn't know what the fight was about. But if the other two guys were gonna do it, then he was gonna join in. They got me on the floor, and a guy was sitting on my chest. Ted said, \"Wait, it's Ray!\" And I said, \"Yeah, I'm getting beaten up by a band that's on the label that I work for. This is fucking ridiculous.\" I ended up with a black eye.\n\n**Steve DePace:** I was kind of the straight guy surrounded amongst all these crazy fuckers. There was always some serious drama between Ted and Bruce. Over whatever. One show at the Hotel Utah, I think, Ted and Bruce started fighting onstage in the middle of the show, and ended up out in the audience pummeling each other.\n\nAnother night it happened at the Mabuhay, over a girl they were both dating. Before we even started. The place was packed, all these people were watching Bruce and Ted fight. And that was the show. The fight went offstage somewhere, and it was me sitting there in front of a full crowd. They came back up and we did one song. We had a 45-minute set. The first half hour was the fight, and the last 15 minutes was \"Sex Bomb.\"\n\n**Bruce Loose:** Steve, he's a good embellisher. I don't know if we were into direct fistfights. There may have been supposed things that looked like punches thrown, but there were never any punches that landed.\n\nGone Fishing: Flipper\n\n**Tom Flynn:** I saw Flipper with Dead Kennedys and Circle Jerks. Flipper only played three songs. Then Dirk Dirksen came out onstage for some reason, and Will started punching him. It was a huge fight, and that was the end. A bunch of their sets ended in fights. I can remember someone saying to me once, \"They gotta figure out another way to end their shows.\"\n\n**Steve DePace:** We played 4th of July down at the Farm. Bruce had just had his kid. He collected up dozens of these dirty, shitty diapers, brought them to the show and started lobbing them into the audience. He decided that was the punk rock thing for that particular night. So these shitty diapers, what do you think happened to them? They started coming back onstage. Shit diapers.\n\n**Johnny Genocide:** Bruce is an amazing person. You have to peel back the layers to see the brilliance of his mind.\n\n**Steve DePace:** There was an episode in Ann Arbor, Michigan. Oftentimes audience members came up onstage and would dance around, stage dive, whatever. This girl was up onstage, a bunch of people around her. This guy kinda literally bumped into this girl, thrashing around. The girl fell backwards and the guy fell on top of her, and it was right in front of my kick drum. And they just started fucking, right there. They're like, well, here we are, let's do it. One couple ran off after the show and went to Reno and got married. And are still married.\n\n**Steve Tupper:** After we'd done that one Flipper song on _S.F. Underground_ , I was thinking, \"Jeez, we need to do a live recording of Flipper because the studio stuff doesn't capture it.\" Bruce and Will both had this very dry, sarcastic humor thing going. We went through scads and scads of board tapes and picked out some of that outrageous in-between song patter and put it on the records.\n\nThey were doing quite well. They were getting a lot of national airplay by that time. People around here knew what to expect. But they would hit towns cold, and no one would know about them except by hearing their records on the radio. People would show up, and then just get all this total disdain, hurled at them from the stage. That alienated a few people.\n\n**Steve DePace:** The first national tour we did, we came through New Orleans and played in the French Quarter somewhere. The bar-tender was this hot chick who introduced us to kamikazes at three in the afternoon, while we were sound checking. We went off and had dinner, more kamikazes.\n\nThis particular night was just Kamikaze Drunken Mess Night, for us, onstage. We were so bad. Most of the audience left. There was probably ten people in front, they were the hardcore fans and we ended up just going, \"You guys play.\" We handed our instruments to them, they started jamming, and we went to the bar.\n\n**Bruce Loose:** When we were on tour with GWAR, we left them in New Orleans. On our way back, we stopped and drank a bunch of Hurricanes. It was a really hot day, and we started having a squirt gun fight on the street, which turned into having the police coming, an art gallery smeared with mayonnaise, a water pistol being pointed at the police, and then Ted being held with a gun on the top of his head, facedown on the ground. Over a water pistol.\n\n**Ted Falconi:** Only one time it was really bad, and that was in Jersey. Steve and I pretty much killed this quart bottle of tequila backstage. After about the third song I was making myself seasick. I started asking for somebody to play guitar. I had this line of kids. I was like puttin' it on, they'd play for awhile. Take it off, put it on the next guy, they'd play for awhile. I was sitting on the side of the stage, in front of the drum riser. It was okay.\n\n**Steve DePace:** There were times when Will or Bruce either couldn't do a tour or left in the middle of a tour. Bruce did that to us one time, he just up and left, and we had half a tour to go. Even Ted left us in the middle of a tour one time.\n\n**Krist Novoselic:** That was the thing with Flipper. They had a few shows scheduled in Seattle, but they were all canceled. Word was, they could never get it together to take it up that far north.\n\n**Steve Tupper:** Flipper started going on extended breaks in '82. We were trying to record their second studio LP. It took about a year. They did like two LPs' worth of basic tracks. And then Ted wanted to live in L.A. for awhile, and Bruce wanted to stay in New York for awhile. It was getting difficult to get people together. There were too many drugs around.\n\n**Steve DePace:** In San Francisco, people didn't do cocaine. That was the rock star drug and we were all anti-rock star. So it was speed. It was cheap, it lasted longer. Heroin was cheap. Acid. Those were the big drugs of the day. And booze. Punks weren't into weed because it was hippie.\n\n**Rozz Rezabek:** We were so down on that. Somebody would light up some pot, everybody would be like, \"What the fuck you doin', you fuckin' hippie? Get that shit out of here!\" It's really funny because a lot of those guys are now practically Rastafarians. Kelly King: Definitely a lot of heroin in the city. A good friend of mine, Nina Crawford from the Vktms, a great singer, really great band, and she was a junkie. There was a lot of that going around.\n\n**Bruce Loose:** The drugs and the type of music that got influenced from those particular drugs killed the true heart of the San Francisco punk scene by 1981, '82. Up to '83, maybe. But then I'm thinking more of Flipper.\n\n**Jello Biafra:** I guess I made a decision early on. I could either do what Will and his buddies were doing and spend my money on speed\u2014I just couldn't handle it as well as those guys seemingly could\u2014or I could spend it on records. Which one would make me more happy long-term? Records, of course.\n\n**Rozz Rezabek:** I can remember Will doing this. Back then, you could take these things called Vicks inhalers. Get about 20 of 'em, bust 'em open. They had this big chunk of ChapStick type stuff in there. You'd get some acetone down at the hardware store, pour it on that in a glass baking tray, and then set it in the window. It dries out, after about a week of sittin' in the sun. And that's all you really had to do.\n\n**Steve DePace:** I don't know why or how, but I drew the line in the sand for myself as far as drug use went. Because I saw around me people going very rapidly from drug use for fun and yuks, to being really fucked up, to being desperate, and robbin' and stealin' and lookin' like shit, to dying. That happens fast. And I guess I was smart enough to go, wow, man, if it can take you from having fun one night to being dead in a year, or six months, or three months, I better not fuck with that shit.\n\n**Kelly King:** They weren't like a regular band. They were just wasted, so wasted. Bruce would always be doing heroin and the other ones were always wired.\n\n**Steve DePace:** I saw three guys in my band die. It affects your business, it affects your playing in the band. It affects everything. It goes from, you're in a band, you're making music, this is great, this is cool, we're playing shows, to, so-and-so's too fucked up to play, or to rehearse. Or he's passed out on the chair over there. Or he's been up for a week, and he's crashed, there's no waking him up. But we have rehearsal scheduled. Well, when you're on drugs you don't think about a schedule. It's all one big day. There's no time, there's no day.\n\nYou've got a tour planned. Well, Dickhead doesn't want to go on tour, he tells you the day before. And he makes up some excuse. But the real reason is, he doesn't wanna leave his dealer down the street. And if he doesn't feed his habit every day he gets sick. We would just threaten to go anyway, and he would go, \"What do you mean? Oh no, you're gonna leave without me, okay I'll come.\" Like you're gracing us with your fucking presence.\n\n**Kelly King:** Ted was a total speed freak. Ted would stay up for days. They drove my van for a long time. We'd get back to the warehouse and they'd just disappear. I'd always have to load back in by myself. Too much drugs, man.\n\n**Bruce Loose:** We went until Will died.\n\n**Steve DePace:** Will used to flip back and forth between dope and speed. So if he got too strung out on heroin\u2014bang, I'm gonna go to speed now. There's that three days of hell you go through while you're detoxing? Well, Will discovered that if you just bang speed, that overrides everything. And he would do that. He would be a speed freak for awhile, and then he'd start banging dope again, and then he'd start banging speed again. How long can you do that?\n\n**Rozz Rezabek:** One time Will came over to where I was living, all tweaked up. This was probably in '87. I'd given him my address. Out of the blue, he came over with big saucer eyes, like eight in the morning, with a basketball, and said, \"You wanna play basketball?\"\n\nWe went and played at this little hoop. It was on a Saturday or Sunday morning. He was so godawful, it wasn't even funny. I got the feeling that he was walking over to go see me, and he saw a basketball sittin' on somebody's porch, and stole it. I know it wasn't his because he didn't know how to play. That was the last time I really got to spend time with him.\n\n**Steve DePace:** The sad thing is, he was actually sober. He had cleaned up. His girlfriend was pregnant with their child and the plan was, he was gonna move to Marin somewhere and live a regular, normal life. He was working a day job.\n\n**Rozz Rezabek:** I was real close with Jean and Nina, who were two of Will's best friends. I was hanging around with them. They would keep me in touch. \"He's up in Gilroy.\" I guess he'd been all clean. Then he came back to San Francisco.\n\n**Steve DePace:** This happens all the time with junkies. When they go to do it one more time, they remember, well, I used to do this much, a few months ago. Let's do that. And now your tolerance is gone. And you do the thing you remembered you used to do, and it kills you.\n\n**Bruce Loose:** It's hard. I can't speak about this. It's too personal, it touches too many people's lives. I was a good friend of Will's. It was really sad what happened to him. I'm really sad for all the people that were around him. And the path of lies that got left behind were very hurtful. That's all I have to say.\n\n**Rozz Rezabek:** We all heard, Will's dead. It was like, oh god. And then, \"Who's gonna get together some sort of memorial?\" We had an impromptu thing, a bunch of us up on the top of Twin Peaks. Bruce was there. It was really cold and windy. We couldn't get any of the candles to stay lit because it was so windy. It was bad.\n\nWe did a little lame version of \"Kum Ba Yah.\" We all huddled in small groups. It was like, \"Will's dead. Punk rock's over. What do we do now?\" We all just stood around there for an hour, and nobody knew what to say or what to think. We all kinda sensed that, wow, this was the end.\n\nFor a lot of us, Will was the guy. He was always on. It was like that old saying, girls wanted to be with him, guys wanted to be like him. All of us, any quality time you got with Will, I cherished it. I still miss that guy. He was the greatest.\n\n**Danny Furious:** Will's death was definitely a tragedy. He was one of the finest minds I've ever encountered.\n\n**Kelly King:** They took a hiatus for awhile. Then my friend John started playing bass with them and they got back together and they did _American Grafishy_. I did a short tour with them.\n\n**Steve DePace:** We played Gilman once that I remember. If I'm not mistaken, it was 1991, Green Day was the opening band that night. With this guy who was playing bass for us, John Dougherty.\n\nHe had this '69 Harley chopper that he built from scratch. With the coontails coming off and the whole nine yards. He rode that thing right into the club, with his girlfriend on the back, and parked it next to the stage! He's gone. Heroin overdose. The Flipper school of punk rock drug abuse.\n\n**Bruce Loose:** In the real physical history, we did not go out there and do that much. As compared to like, Black Flag. Who was practicing, touring, touring, touring, every fucking day. It's wonderful to be in a band. But there's a little more to life than just that monster, on the road 24\/7, 365, you know? I'm sorry. I went and fell in love a few times, had a child. As far as I'm concerned those things are more outstanding and longer lasting than that little hardcore scene ever was. Or my memories of it.\n\n**Andy Asp:** We did play a show with Flipper at Gilman Street, which was pretty insane. I remember during a song, Bruce Loose running to the snack bar and saying, \"I need a fucking beer, where's a fucking beer?\" I looked at him and said, \"It's all-ages, there's no beer.\" Just the look on his face was like, \"What the fuck are you guys doing here?\"\n\n**Bruce Loose:** I remember doing those shows. That Not Flipper show was the first thing that was breaking me out of basically becoming crippled. That was really my coming back, trying to continue my career as a musician, as a creative person.\n\n**Steve DePace:** It's a miracle Bruce is around. Over the course of time, it's gotten worse and worse. He wrecked his pickup truck. That put the injury over the top and really fucked him up. And that ended our career in 1994.\n\nThat whole thing with Cobain and Nirvana, it was well known that they were big huge fans of ours. And I knew that Krist had had a couple of bands and wasn't doing anything at the moment. Thurston Moore of Sonic Youth was curating a concert in England. He wanted us to come and play. I told him, \"We don't have a bass player. I was thinking about Krist Novoselic.\" And he goes, \"Brilliant, I've got his phone number, I'll call him.\"\n\nKrist told me, \"Flipper was the band that influenced me and inspired me to be in a rock band.\" He was honored by the invitation to come play with us. It was meant to be a one-concert little mini-tour and then see what happens. And that's what we did.\n\n**Scott Kelly:** Flipper broke every fuckin' rule in the book. If it was there, they broke it. I mean, purposefully. Destroyed every fuckin' rule there was, and so, as a result, we had this wide-open palette.\n\n**Kriss X:** I still think that they are the worst band on the planet.\n**12**\n\n**Beer-Drinking Brothers from Different Mothers**\n\n**Dave Chavez:** Jak's Team is something that's been going on since the '70s, since the beginning of punk rock pretty much.\n\n**Nosmo King:** Everybody was forming their cliques. We skated and listened to punk rock. Everyone else went to art school. I had been a surfer skater. I quit surfing because I got tired of trying to find my clothes.\n\n**Dave Chavez:** It started with four guys in Petaluma\u2014John Marsh, Tom Scott, Kevin O'Connor and Biff, whose real name is Chris Wilkinson. Jonathan [Nosmo] from the Toiling Midgets was probably the next person to join. Then Paul Casteel from House of Wheels and Black Athletes.\n\n**Paul Casteel:** My first experience with Jak's Team\u2014we were playing a show at the Sound of Music with Toiling Midgets, and the back window popped open and these five guys with skateboards piled in through the window. That was a recurring situation.\n\n**Dave Chavez:** You would see 'em at the Mabuhay and they had these long police flashlights. And they'd be sneaking into the girls' bathroom, trying to look under the stalls. Just total juvenile delinquents.\n\n**Zeke Jak:** Jaks were the cool guys that everybody looked up to. They had vests. You could identify them. They were all good skaters. I started hanging out, skating, trying to improve as much as I could. I would skate China Banks. I loved doing psychedelic skating, back in the day. I was so focused, I would nail every trick. Speed kind of came into play after the psychedelics, and once again I found myself down at the Embarcadero, skating all night long, for days and days. It was always about street skating because we didn't have parks here. It was punk rock and street skating.\n\n**Nosmo King:** We are \"beer-drinking brothers from different mothers who will ditch any date to go out and skate.\" We didn't even have colors back then because we couldn't decide what we wanted to look like. Biff had this suede leather jacket with \"Jak's\" in studs and I had this sir jacket, which was really cool, that had \"Jak's\" on the bottom in electrical tape. Well, it looked kind of cool.\n\n**Zeke Jak:** A sir jacket is like a gas station attendant jacket with a mandarin collar that all the cholos wore in the Mission a long time ago. They're not really cool.\n\n**Paul Casteel:** There was the Dish up on top of Hunter's Point. We used to go up there almost every night after shows and have parties until the sun came up. The Dish was a small reservoir bowl with a lip you could do tricks off of. It's real archaic by today's standards of public skate parks. If you went there during the day, you'd have bottles flying at you.\n\n**Nosmo King:** It was, \"Oh, these white skaters want a skateboard park. Let's put it in the most dangerous neighborhood in the city.\" But that didn't deter us.\n\n**Bill Halen:** You always put your favorite bands on the back of your vest. My favorite bands at that time were Flipper, Verbal Abuse, Black Athletes and Crucifix. The Black Athletes appeared on the first _Thrasher Skate Rock_ comp.\n\n**Paul Casteel:** The logo \"Absolute Music\" was something Kevin O'Connor came up with. He was looking through the dictionary one day and he found \"absolute music.\" It's music with no preconception. It's just spontaneous. It's been part of the colors since then.\n\nAbsolute Music: n. self-dependent instrumental music without literary or extraneous suggestions\n\n_\u2014The New Shorter Oxford English Dictionary_\n\n**Nosmo King:** And 43? It's always been a magical number. Look at Nascar, what do they start off with? 43 cars. It just comes up all the time. It's like 4 plus 3 is 7, 3 minus 4 is 1. It comes up in the Bible all the time. And Jak's Team, we love to give 43 percent. A lot of people give 100 percent. I get a job, I'm just going to give you 43 percent.\n\n**Zeke Jak:** Numerology by Nosmo King.\n\nThe Exception: Chi Chi at Dolores Park\n\n**Paul Casteel:** Dave Chavez and his brother Joel are East Bay Jaks. I skated Dave's ramp in his backyard that was made out of tin cans and street signs. The ramp went right up the side of the house, so we would use his mom's windowsill as the coping to do tricks off of. It was 12 feet off the ground. That was the Berkeley punk scene.\n\n**Dean Washington:** It was like, \"Holy shit, it goes up the side of your house!\" After you spoke to the mom, you walked along the side of the house and this ramp was so caveman-like. It was the most insane thing I'd ever seen. I thought, \"Awww, this thing looks reeeeally dangerous.\" And it was. The transition was just so fast, but I'm thinkin' I can do this. I dropped in and I slammed so fuckin' hard. So I watched him do it and I did it again and _bam!_ \"I think I'll just take some photos and watch you skate the bowl.\" Really, that ramp was legendary. It's in lots of books on coffee tables, and in old _Thrasher_ issues.\n\n**Paul Casteel:** It was kind of like a family. Tales of Terror used to hang out there a lot. The Jaks would hang out there.\n\n**Nosmo King:** We started recruiting. We were hopping trains up to Portland and Seattle, collecting members. It didn't matter if you were black or white. You could be stupid or drunk, but you had to be honest.\n\n**Paul Casteel:** Drinking beer is a big part of being a Jak, but there's clean and sober Jaks and there are gay Jaks. There's Jaks all the way to Canada and Hawaii.\n\n**Jimmy Crucifix:** I was actually on the Jak's Team in L.A. with Tony Alva and that whole gang, but you got this thing on your back that says \"Jak's Team.\" There was some guy down in L.A., he did something to somebody in a gang, and me and a friend were skating down the street and we had the colors on and this gang of people, man, kinda fuckin' racked us up. So later on that night we went to Santa Monica pier and threw the colors off. Ever since then, I don't put nothing on my back.\n\n**Bill Halen:** Jimmy Crucifix was the first person I met in San Francisco. Jimmy introduced me to Paul Rat, and through Paul I started working with Dirk Dirksen at the Mab and On Broadway, doing the lights and the stage. When I took over the Tool & Die in '82, I started bringing in bands from Los Angeles, from Boston, all over. I never charged more than three bucks. Some nights we would have ten bands. The best deal in town.\n\n**Dean Washington:** The Tool & Die was this dank basement on Valencia with brick floors. They drilled holes in the basement so they could pour in sand to soundproof the room. There was only one way out\u2014a little, tiny, narrow, steep stairway.\n\n**Bill Halen:** There was no room for a stage because the ceiling was maybe six and half feet high. I had to wrap the stanchions in foam to keep kids from breaking their heads open.\n\n**Steve DePace:** Just a tiny little fucking sweatbox. You had to be punk rock to play that place.\n\n**Ray Vegas:** The toilet was at the top of the stairs and it would usually back up in the course of the evening. Someone would flush it and water would just flow down the stairs.\n\n**James Angus Black:** No air, people smoking like crazy. If there had been a fire, forget it, everybody dies. The Tool & Die was a death trap.\n\n**Dean Washington:** You had a room packed full of people who hadn't showered for Lord knows how long. By the time you got home, if you had a home, your parents would be like, \"What's that smell in here?\" \"Nothing, Mom, Dad, what smell?\" \"It smells like cigarettes, wet ashtrays, booze, and an array of other things. What did you do last night?\" \"Oh, I just spent the night over at Nate's house.\" \"Well, sweetheart, where does Nate live?\" Nate lived in the trash can on the side of a bar.\n\n**Bill Halen:** I met the Jaks. Nosmo, Paul Casteel and Tom Scott. Nosmo was a pretty boy, one of those guys who would try to steal your girlfriend. But, oh god, he was funny, and just a great skater and a great bass player.\n\n**Nosmo King:** We would steal beer from the Tool & Die. We were with a bunch of cute girls and it was after two and we were broke\u2014Jaks are always broke\u2014so we opened up the hatch in the sidewalk in front of Tool & Die. It wasn't even locked. We stole four or five cases of beer, took 'em to Dolores Park, drank 'em all, and went back down to get more. I told Bill later, \"Man, really sorry about ripping you off.\"\n\n**Bill Halen:** My Jaks teammates were all beer-stealing bastards. We did a couple of _Thrasher_ shows on the top floor. They brought in JFA.\n\n**Nosmo King:** It was skater-friendly. We had a ramp, a little half-pipe that could be moved around up there.\n\n**Dean Washington:** By the time I got there, I was never in any condition to skate. My buddy Max Fox, who sang for the Boneless Ones, got a bright idea once. We had been skating all day so he still had his knee pads on. He ran and dropped to his knees, but the knee pads just ripped down. So he slid\u2014oh, how he slid! You could see little pieces of flesh embedded in the brick. It was like, \"Ooooh!\" That was fuckin' cool.\n\n**Bill Halen:** We always thought the cops were coming. We were so paranoid. We would take all the beer cans and shit out to the street in plastic bags. Then we'd go back upstairs. But we'd want to do some more speed, right? Because we were starting to come down and we had another show to do. Oh fuck, wait, did anybody see my bag? And someone was like, \"Yeah, I hid it in a beer can because I thought the cops were coming.\" Dude, you hid the speed in a beer can?! So we'd have to go back outside, pull all the bags back into the Tool & Die, pour them out over the floor, and search through all the cans. Of course it was in the last bag. So we'd do the rest of the speed and set up for the next show.\n\n**Jimmy Crucifix:** I spent a lot of time there. Tool & Die was like hell. It was crazy partyland.\n\n**Toni DMR:** Everything was just off the fucking map. Nothing was just like, \"Oh, we're going to go to the park today and then we're going to a movie.\" It was like, \"We're going to slam a bunch of dope, we're gonna go to a hardcore show, we're gonna kick some fuckin' ass and we're gonna be really obnoxious.\" I mean, Carol was sharpening needles on the back of a matchbook!\n\n**Jimmy Crucifix:** When everyone left we listened to Judas Priest, the Scorpions, all that shit. Our getting-high music. Everybody had their pick. It would be me, Nicki Sicki, Bill Halen, Courtney Love, Mike Ness. Everybody's done dope at the Tool & Die and everyone had their getting-high music. 'Cause it had to be just right. Me and Bill would put on the Scorpions and do our drugs. Then Courtney Love would do her drugs and listen to Fleetwood Mac or something.\n\n**Bill Halen:** It started with a little bit of meth, a little bit of heroin, and then, as the '80s went on, it became more and more heroin. We were staying up all night. For days and days.\n\n**Jimmy Crucifix:** Then we'd go skateboarding at five in the morning. At the Dish out in Hunters Point\u2014Paul, John Marsh and the whole Jaks gang\u2014listening to the drive-by shootings as the sun was coming up. The after-hours were fucking hardcore.\n\n**Bill Halen:** If I hadn't been so strung out on drugs, I might have done a better job with the club. After Tool & Die went under, I lived in L.A. for a year, hung out with Tony Alva and some of the new Jaks down there. That's what we were into back then. We were indestructible. Unfortunately, a lot of us didn't survive it.\n**13**\n\n**Thank You, Good Night, Get Out**\n\n**Ian MacKaye:** The first time I played Mabuhay Gardens, we went to go see that show the night before, Dead Kennedys and Circle Jerks and Flipper. And it was a pretty fucking phenomenal gig. That was the show where the Circle Jerks brought up all these Huntington Beach skatepunk kind of dudes. The first stage diving kind of stuff in San Francisco. Legendarily. It was a totally insane night, the kids were just going nuts. Ted Falconi from Flipper\u2014I think he hit Dirk with his guitar, and punched another guy in the face. Dirk had a bloody nose. There was so much carnage.\n\n**Bruce Loose:** A lot of the first generation of punkers left San Francisco. There was all these bald-headed fuckin' violent motherfuckers that were not thinking at all. They weren't having fun doing drugs, they weren't fucking in the bathrooms, they weren't even thinking mischief. They were just beating the shit out of everything. And they didn't care.\n\n**Paul Casteel:** After the _Quincy_ punk rock show aired, and the _CHiPs_ punk show, almost overnight the scene changed. These kids would show up with their heads shaved, Circle Jerks bandanas on their brand-new boots, chains all in the right places, pants pegged up, jackets covered in spikes with some English band like GBH on the back, which they obviously had never seen and probably never heard. These kids were at their second show and ganging up on people that have been around forever.\n\n**Winston Smith:** Clubs said nope, we can't afford it. Our insurance won't cover punk bands.\n\n**Penelope Houston:** Nobody could afford to record an album or manufacture one. It was always just singles.\n\n**Jello Biafra:** I felt horrible that there was never gonna be a proper Avengers album. They could have made at least three. They had that many good songs. The Dils could have made two. The Sleepers could have made two, and Negative Trend, UXA, who sort of got to do theirs eventually, one each. The Mutants, probably two, maybe three. But nobody was putting them out, nobody was signing them.\n\n**Dennis Kernohan:** It was too early. The music industry was not ready for it. Besides Howie Klein, the real industry people couldn't get their mouth around the dick of it, you know? They kept missing it.\n\n**Hank Rank:** Howie Klein was the most powerful punk rock critic. And he pulled a lot of strings, had connections, pointed people in directions, made opportunities for some bands, and got bands coverage and other bands not. Howie was very smart, very ambitious. He exerted a huge influence over what was going on.\n\n**Howie Klein:** The Nuns had a little bit of a chance, it's why I started 415 Records. We put out their record. And I had great reaction to it. But it wasn't enough for anybody to make any money from, especially not a major label.\n\n**Jennifer Miro:** A lot of the problem was that later we had these drug dealer managers that ended up in exile in South America. It'd make a great movie, I'm telling ya.\n\n**Penelope Houston:** So sad. By the time their first record came out, it was more like Jennifer and this other guy, the bass player, had taken over the name the Nuns.\n\n**Hank Rank:** Crime recorded some songs and went to L.A. to take it around. I remember being in one guy's office and he listened to it and said, \"This is not a song.\" I said, \"What do you mean?\" And he said, \"Well, it's just, it's not a song.\" That was pretty much the response.\n\n**Howie Klein:** No one was gonna sign Crime. I mean, let's be real.\n\n**Johnny Strike:** And then heroin. I was doing it more and more. Frankie started doing it, Hank luckily had a bad reaction to it. These coke dealers at Berkeley Square Records started managing us and paying us like $100 each a week. Things started falling apart. I quit and I ended the band at that point. This was '81, '82.\n\nIn the '90s, Frankie decided he wanted to get the band back together again. Me and Hank, neither of us were interested, so he got Brittley and Ripper and some other guy on guitar, all on dope. Hank and I saw their first show at the DNA.\n\n**Hank Rank:** It was sad. It wasn't well promoted. Frankie was all into the look. He didn't play guitar anymore. He was changing his costume all the time. He got locked out of the dressing room. He was up there, you could see him pulling on the door, trying to make a fast change between songs.\n\n**Fritz Fox:** The company that the Mutants signed with was based financially on the sale of cocaine. They gave us a little money and they always had coke. We were very naive. Our record came out and the record company went bust. We found ourselves in debt.\n\nThe band started, little by little, to disintegrate. I was in the height of my drinking era. I started climbing up on speakers on the stage and jumping off. The first guy to leave was Brendan. And then Dave left, and John. And Paul. That left Sue and Sally and I. We recorded some new stuff. And it got very sad, very depressing. So the band broke up. That was 1984.\n\nI was on the skids. I was living on the docks. I was living in my car. Then I got a job as a motorcycle courier with a friend of mine. I started my own company. I was really in a drunken, drugged-out stupor. I lived on a sailboat. Got drunk a lot. It was kinda screwed up.\n\n**Howie Klein:** I had the feeling that if the Avengers had better technical help, they would have sounded better. The songs were there. They were great. Penelope's great. It just sounded a little bit too troublesome for a major label to deal with it.\n\n**Danny Furious:** The Avengers were frustrated and tired of playing to the same 300 people. Greg and I had an argument during a rehearsal and he walked.\n\n**Penelope Houston:** We replaced him with Brad Kent from Vancouver. Also known as Brad Kunt. But basically after six months with Brad, we felt like we'd hit some kind of glass ceiling. The momentum wasn't there anymore. We weren't going to get signed.\n\nAnother thing was, Danny and I were a couple and we had just started falling out. Danny got pretty heavily into drugs. Jimmy joined up with Chris Isaak. Greg had little bands for a few shows, then he got out of the music scene completely.\n\n**Danny Furious:** I had been serving time with Joan Jett. We went to Europe and my dissatisfaction with the music I was playing, coupled with my ever-growing drug addiction, had me quitting the Blackhearts. When my visa ran out, I hightailed it back to S.F.\n\nJimmy had been putting together a band with Chris Isaak. I was the original drummer, but I chose to continue my career as down-and-out junkie. My bullshit took me back to Orange County, where I met Mike Ness, having the same \"interests\" as me. I ended up playing with Social Distortion for a short time. Those are the last gigs I've done.\n\n**Penelope Houston:** Danny ended up moving to Sweden in order to kick the drugs.\n\n**Howie Klein:** So, of course, what was the first one to break out of here? It wasn't Romeo Void. It was embarrassing. Pearl Harbor and the Explosions. So it was more like New Wave rather than punk rock.\n\n**Jello Biafra:** Unlike England, where even the Exploited had chart hits and played on _Top of the Pops_ , American punk stayed underground and got more and more angry and more and more extreme. And in the artier areas, more and more bizarre. The extreme side eventually morphed into hardcore. Which was something completely alien across the Atlantic. Also volatile, because it had no expectations of becoming commercially popular.\n\n**Danny Furious:** Punk was passed on to the next generation, for better or worse. Bands like Black Flag toured and toured and toured and eventually people started to listen. The original bands were all but forgotten.\n**PART II**\n**14**\n\n**We Are the Kings Now**\n\n**Rachel Rudnick:** The bus would go from Berkeley to San Francisco. Its last stop, before the Bay Bridge, was the New Method warehouse.\n\n**John Marr:** New Method was on the Oakland-Emeryville border.\n\n**Tim Tonooka:** It was dicey. Along the way you'd walk past a liquor store with husky transvestites hanging out in front of it. Then you'd go into an industrial building, up a flight of narrow stairs, into a warehouse space where the walls were covered with egg cartons. The air was stale, with meager ventilation from only a few windows.\n\n**John Borruso:** It was where clusters of people lived, rehearsed and made art before the live-work concept had been rendered meaningless.\n\n**Sothira Pheng:** It was this big old brown brick building and there was a huge sign that read \"New Method Laundromat.\" There were older artists, but nobody older than 30. Ironworkers had a huge metal shop downstairs and this open space full of junk. We had the whole upstairs, this big sprawl.\n\n**Jimmy Crucifix:** I was completely into the New Method thing. It was a bunch of artists but it was a lot of tweakers. I was tweaking then. Tweakers were different back then. It was kind of nonchalant. Brittley Black used to walk around with a suit and a tie and a pen holder that said, \"Hello, my name is Brittley,\" but instead of pens, it held orange syringe caps.\n\n**Sothira Pheng:** Crucifix was the first band that used the spot. It was 100 bucks a month and nobody could afford it. We probably lived there for about six months, but it seems like years. That's how explosive it was.\n\nMe and Matt put up flyers saying we were looking for band members. This was about tenth grade. We had our first gig with Flipper, January 3rd, 1980 at the Sound of Music. At the time, Flipper were already old guys. They were great. Their sound, their attitude, and their style\u2014it was perfect for that time and space. But they didn't speak to us, to our generation. There was no excitement.\n\n**Jimmy Crucifix:** Crucifix was hardcore punk. The kids were fuckin' beating each other up out there. No more pogoing and throwing popcorn like they did at the Mabuhay. This was like throwing bottles, getting kicked in the face.\n\n**Sothira Pheng:** The '77 crowd was scared. They were running for their musical lives. We were the Kids. We felt we were the chosen ones, like the Three Musketeers\u2014me, Matt and Chris.\n\n**Jimmy Crucifix:** I think Sothira's always been political because he was from Cambodia and went through a lot of shit.\n\n**Sothira Pheng:** At the height of Nixon's strategic bombing of Cambodia\u2014the secret wars\u2014there was a major attack by the communists in Phnom Penh. Massive shelling, I totally remember that. My dog was shitting all over the place. So my father got stationed in Taiwan and we got refugee status. We went to some kind of refugee camp in Pennsylvania, then we came to San Francisco. My parents went from diplomatic treatment to having to show up for welfare.\n\nI was born in Cambodia, but I didn't use the Cambodian thing. I never have. Crucifix was never a race band. We weren't the \"black band\" like the Bad Brains or the \"Mexican band\" like the Zeros. We were always Crucifix. We became heavily involved in our own political thought.\n\n_From dehumanization, to arms production,_  \n_for the benefit of the nation, or its destruction,_  \n_power is power, it's the law of the land,_  \n_those who live for death, would die by their own hands._  \n_Life is no ordeal, if you can come to terms,_  \n_reject the system, which dictates the norm,_  \n_from dehumanization, to arms production,_  \n_for the benefit of the nation, or its destruction,_  \n_it's your choice: Peace or Annihilation!_\n\n\u2014\"Annihilation,\" Crucifix\n\n**Jimmy Crucifix:** They were the real unit, those three guys. I liked them all a lot. I went to see 'em play at the Mabuhay and it was so weird. Sothira was just laying around on the stage.\n\n**Sothira Pheng:** Mohawk, knee-high boots, the spikes, the leather jacket\u2014that's how I remember Jimmy.\n\n**Jimmy Crucifix:** When I first got into Crucifix, I felt like an old man. They had a song called \"You're Too Old\" and they actually dropped it 'cause I was 22 by this time. I was probably the only one that could really play in the band, even according to them. I showed 'em what to do and it was fun. I thought they were doing a good job.\n\n**Sothira Pheng:** Punk rock became our lives. We were living it 24\/7. Paul Rat was one of the few people who actually recognized that we had something. He got us some great gigs. You name it\u2014Black Flag, Bad Brains\u2014we were on the bill. I can't believe he did all that stuff for us. He was our manager until we found out Matt could do just as good a job as him.\n\nWe were expected to open up and basically let the headlining acts do their thing, but we'd come on and start breaking all the microphones. They'd get all pissed, these older geezers. That's when we started our own gigs at New Method\u2014shows had to be under five bucks and all-ages.\n\nWe were literally the center of attention. By '82, we all adhered to the British punk scene and style. Exactly as Discharge dressed\u2014spikes, leather jacket, Doc Martens boots, mohawks. It took months to assemble the jacket, paint it, put the logos on it. And the logos were bands and albums that we loved, Discharge, GBH, Crass. It wasn't an advertisement. It meant something. It was an interpretation of what the English were doing. I even had my name painted on my jacket \u00e0 la Johnny from _The Wild One_. We knew it was an iconic thing. We stood out apart from everybody else, we had our own look. People would say, \"Here comes those Crucifix boys.\"\n\n**Jimmy Crucifix:** People used to laugh at us.\n\n**Sothira Pheng:** One time we went to play a gig with Black Flag and they started calling us \"Exploited!\" As teenagers, those were fighting words. It was like, \"We love you guys and you made fun of us?\"\n\n**Jimmy Crucifix:** They got into Crass and the vegan deal, and everything kinda changed. They got into the whole political thing. They went from studded leather to jean jackets painted with black acrylic paint.\n\nThe Kids: Crucifix at the On Broadway\n\n**Sothira Pheng:** We went on tour in '82, John Loder from Crass had never even seen us, only heard about us. He flew from London, came to see us in Boston, and signed us.\n\nWhen we got back from the tour, everybody was congratulating us. We are the kings now. We had tried Alternative Tentacles and they pooh-poohed us. The difference between us and the Dead Kennedys is that we thought we were punk rockers. The Dead Kennedys were playing in a punk band. We had that flag waving. We were more punk than punk.\n\nWe created our own genre, our own pool that rippled out and created those satellite bands like PLH, Trial, Atrocity, A State of Mind. They were like our little siblings.\n\n**Jimmy Crucifix:** Matt's brother John Borruso was in Trial. Some of them started PLH. Peace, Love and Happiness.\n\n**John Borruso:** There were members in common with Trial and Atrocity. It was all very cross-pollinated.\n\n**Jimmy Crucifix:** When they started going that direction, it was like, oh, we're into peace, love and happiness. It's like, man, I still wear leather coats. I'm still into drinking and doing drugs. Peace and love\u2014that's cool, but I already went through that whole '70s thing with my sister. I really can't play this music. I can't preach something that I'm not into.\n\n**Sothira Pheng:** You can only be in a rock 'n' roll band for so long before you become an activist. _Maximum RocknRoll_ championed MDC. I thought MDC was a great band but we were local boys and we were basically ditched. Between '80 and '84 we were almost totally ignored. By the age of 20, I felt that was as far as we could go.\n**15**\n\n**Better Living Through Chemistry**\n\nWelcome to Barrington, kids! Please keep your hands and arms inside the ride at all times.\n\n_\u2014Graffiti at the entrance of Barrington Hall_\n\n**Scott Kelly:** Barrington was one of those mind-blowing experiences. I had never come across a place like that before. It was supposed to be a college dormitory and there's a 40-year-old biker fixing his fuckin' Triumph in the front room, just tweaking balls. As far as I could tell, no one that lived there went to school. I remember thinking, \"How does this happen?\"\n\n**Ray Farrell:** It was a Berkeley campus housing unit. Everybody played there. All the bands from L.A. Anyone that had a San Francisco gig would come to Barrington.\n\n**Dean Washington:** Dead Kennedys, Flipper, Black Flag, you name it\u2014right there in the dining hall.\n\n**Jason Lockwood:** They would lose power so the room would go dark, which was great. You would be thrashing around, floors painted with beer, with people slipping every which way.\n\n**Scott Kelly:** We were walking down the hallway one day, and this guy with a big vial of liquid acid said, \"Want some acid?\" I say, \"Sure.\" And he sprayed some fuckin' liquid acid in my eye. By the time I hit Telegraph I couldn't even feel my legs.\n\n**Nosmo King:** A guy goes, \"Okay, we've got a keg on number three and four. If you're into speed, that's on five, and there's acid on six.\" I was still in high school then and I was thinking, \"Wow, this is what college is like?\"\n\n**Jason Lockwood:** It was a co-op. Nobody was responsible for anything, because everybody was.\n\n**Dan Rathbun:** It was a four-story building, a block long. And off of each hall were like 13 suites of rooms and each suite had anywhere from three to five bedrooms and a bathroom.\n\n**Nils Frykdahl:** I was going to school at Berkeley and wanted to live in the co-ops. I went to the co-op office and they had a little catalog. All the co-ops had little pictures and descriptions of their gardens and other attractive things. When I got to Barrington, there was no picture, no description, it just said, \"We suggest you visit for yourself.\" I said, \"Yeah, what about this place?\" And they said, \"Oh, you don't wanna go there. Everybody just leaves.\"\n\n**Rachel Rudnick:** My first punk show was probably '82, '83 at Barrington Hall. I was 12 or 13. It was Trial, Atrocity, Deadly Reign, and 13. I remember going up these dingy staircases and there was a big shit in the middle of a step, and I thought, \"No dog is stupid enough to do that.\"\n\nYou can't fistfuck with nuclear arms\n\n_\u2014Graffiti from Barrington Hall_\n\n**Dean Washington:** My buddy Adam had a gutter rat named Lucifer. He became semi-domestic. The rat was huge. Lucifer drank EKU beer, which was really strong. Lucifer inhaled pot all day. As long as someone was smoking, he wanted some. He'd act a fool in his cage if you weren't blowing a cloud his way. Back then, Adam was a heavy doser of acid, so he'd give Lucifer hits every now and then. Lucifer was pretty much the devil himself, really.\n\n**Jason Lockwood:** The cops would raid that place constantly 'cause it was just rampant with drugs. When the cops came all the windows toward the parking lot would fly open and drugs and needles would come sailing out of the windows. It was just ridiculous.\n\n**Dean Washington:** They'd have \"wine dinners\" and the house would vote on what the theme drug was gonna be for the party.\n\n**Nils Frykdahl:** That was the euphemism for our acid parties, \"wine dinners.\" It sounded very respectable.\n\n**Anna Brown:** We went to lots of wine dinners. I remember coming out of there with Katie once and we could not find the car, we were so high. We had to walk home.\n\n**Scott Kelly:** The hippies paved the way for the whole drug market in Berkeley. When you can go to the high school where Jimi Hendrix played, it gives you a different perspective on things. LSD was a huge part of our very specific scene because of the availability and quality.\n\n**Nils Frykdahl:** Berkeley Bob lived in the closet of the study room. Berkeley Bob was a very sweet guy, but a schizophrenic or something. He had really involved conversations with himself. Like three-person conversations in different voices. This was supposed to be the room where you were gonna work on writing your papers or whatever, and, from the closet, you heard, \"Listen! Don't you tell him not to talk.\" Which implies three people, you know.\n\nThere were little quotes from Berkeley Bob all over the walls. There was a whole mock Cult of Bob with the older members who had degenerated into pure stonerdom. They had recorded Bob at one point on a cassette and had memorized long chunks. They would sit around [bubbling bong sounds], and go into it, something like, \"Uh, 2315 Dwight Way, don't you tell him not to talk. Listen, this isn't the only pig iron in the business . . .\" They would fire off these Bob rants in unison. Initially I was very impressed with those guys. But they listened to the Grateful Dead all the time.\n\nYou're persona non grata in my hippy van, bitch\n\n_\u2014Graffiti from Barrington Hall_\n\n**Jesse Luscious:** I had been squatting in West Philly so I was pretty used to a really radical living situation. I felt really at home. Onng Yanngh was, I don't really know what you'd call it\u2014the entity, the symbol, the embodiment of the house. You'd see it on stickers everywhere. I would call it a religious icon but I don't know if the people who lived there would. You still see it every once in awhile. People from bands have tattoos of it.\n\n**Fraggle:** There was that pagan organization, OBOD\u2014Order of Bards, Ovates and Druids. They had a bunch of parties there. They would have their ritual bell-ringing, and there would be a band playing, and naked people walking around covered with red paint.\n\n**Nils Frykdahl:** Wes Anderson came to Barrington with his punk band Slaughter of Small Animals. One of the party coordinators had brought some skinned goat heads from a Chinatown butcher. Skinned and mounted on stakes on either end of the stage. It was a gruesome spectacle.\n\n**Dan Rathbun:** This was Halloween.\n\n**Nils Frykdahl:** And my brother Per, in an inspired moment, went up and started French-kissing the goat heads, and ended up ripping the tongue out of the head with his teeth. It stopped the band. He grossed out Slaughter of Small Animals. This was a hardcore band from Oakland.\n\n**Dean Washington:** Everyone looked forward to summer, because the actual students that went to school would leave and sublet their rooms. All us punks would have full control of the building. So it was the Barrington Compound. We had a full kitchen, and we made meals\u2014well, when we weren't grinding teeth, or something else.\n\n**Nils Frykdahl:** The Acid Rain Ensemble was the official name of our band. We started out playing Barrington's wine dinners, which were big costumed affairs, so we dressed up in ridiculous outfits right from the get-go. Not necessarily good costumes, but certainly face paint and garbage bags or whatever we could come up with. That often spilled over into class. I remember meeting each other in the morning, \"Hey, let's wear garbage bags to school today.\" And then we'd see each other between classes wearing garbage bags. Or wearing spikes up to the elbows in music class, just bristling. I hope that people are still doing retarded stuff around the UC Berkeley campus.\n\n**Dave Chavez:** Black Flag with Dez, Flipper and Sick Pleasure. That show was just insane. Somebody kicked in my speaker while we were playing and I got really upset. I had steel-toe boots on. So I just started kicking these bikes until they wrapped around a pole. It was in the air, the violence of the night. Everyone was acting like that. Everybody was pissed off and wanted to throw something. I'm surprised that nobody lit the place on fire. It was the craziest show probably of its time in Berkeley.\n\n**Kareim McKnight:** A friend of ours got killed at Barrington. We believed that he was pushed by the cops. This was around the time that Bush Sr. was visiting San Francisco. He had helped us organize for that protest.\n\n**Nils Frykdahl:** There were protest movements going on, some of them had their zines based out of Barrington. So there was the political edge and there was the musical, artistic edge, and some extra sort of edge because it was surrounded by this new conservatism within Berkeley.\n\n**Kareim McKnight:** For a long time, Barrington Hall was at the center of the anti-Apartheid movement. We would meet at Barrington and organize, fill containers with gasoline. It was the '80s, no one went anywhere without a can of spray paint.\n\n**Nick Frabasilio:** The first issue of _Slingshot_ was published at Barrington, as were all issues of the _Biko Plaza News_ , _Slingshot_ 's forerunner, during the anti-Apartheid sit-in.\n\n**Robert Eggplant:** _Slingshot_ gets its name from the Palestinian resistance people shooting slingshots against heavy artillery weapons.\n\n**PB Floyd:** The first issue was just one sheet of 11 \u00d7 17 white copier paper, folded in half. It was raw and militant, with handwritten headlines and hilarious seditious graphics. _Slingshot_ looked like it was put together in the backseat of a getaway car after some really cool revolutionary act.\n\n**Robert Eggplant:** One of the fights that the Slingshot Collective was involved with, besides diversity in education and homosexual rights, was trying to save Barrington.\n\nDuring the fall [of 1989], with the war on drugs in full swing, students held a smoke-in on Sproul Plaza that attracted 2000, the largest event of the semester. Barrington Hall, a student co-op that helped organize the smoke-in and that had long provided a haven for activists and organizing efforts . . . was threatened with closure from a vote within the co-op system. There had been several other votes over the years to try to close Barrington and in November, the referendum passed.\n\n_\u2014The People's History of Berkeley_\n\n**Kareim McKnight:** My friends at Barrington put out flyers and showed up at Sproul Plaza with shoeboxes full of shake joints. Of course, this massive crowd formed. It was a big spectacle. My brother was on the way to class and ended up on the front page of the _Daily Cal_ , smoking a joint with a latte in his hand.\n\n**Nils Frykdahl:** There were always a lot of threats in that direction. Every year, \"Oh, the council is voting to close . . .\" And we'd all get up in arms and we'd go around to other co-ops and bring guitars like, \"Hey, we're from Barrington Hall and we're here to sing some songs for you guys tonight while you eat dinner.\" As a goodwill gesture.\n\n**Kareim McKnight:** The Barrington kids came around to all the other co-ops to make their plea. They were very emotional. I remember one kid saying, \"Look, if we get killed, it's on your hands.\"\n\n**Nils Frykdahl:** People really had exaggerated notions of what was going on there. They'd say, \"Do you carry a gun? I hear everybody carries guns and it's really dangerous.\" Or, \"I hear everybody's addicted to heroin.\" There was definitely plenty of drugs and plenty of ruined lives. So from the point of view of parents, it was a bad place. Kareim McKnight: The neighbors sued. They had a lot of documentation about the shows and the parties, people throwing washing machines off the roof.\n\nFinally in March [of 1990], a poetry reading was declared illegal by police who cleared the building by force. A crowd developed which built fires and resisted the police. Finally police attacked, badly beating and arresting many residents and bystanders and trashing the house. Eventually, the house was sold to a private landlord.\n\n_\u2014The People's History of Berkeley_\n\n**Kareim McKnight:** I was told the police formed a gauntlet and beat all the kids as they ran down the hall when they came to throw the squatters out. I went to the courthouse to support all my comrades. We cheered when they were brought out in their jumpsuits. I was so sad to see it close. It's a pathetic piece of nothing now.\n\n**Dean Washington:** Barrington Hall was like a rainbow in the sky, when you walked through that door. It was a beautiful place.\n\nTime is a crutch, eat mandarin oranges\n\n_\u2014Graffiti from Barrington Hall_\n**16**\n\n**Grandma Rule**\n\n**Sham Saenz:** All the girls in DMR wore these jean vests. That was their colors\u2014jean vests that said \"DMR.\" Durant Mob Rules\u2014Carol, Natasha and the twins.\n\n**Jason Lockwood:** They were the meanest people on the planet. They were just awful and they won't deny it.\n\n**Noah Landis:** Toni and Rachel ruled the scene. These two tiny, Hispanic-looking punk rock twins. Tiny! The scariest people I'd ever met. Some jock asshole would say something wrong and they would just charge him swingin'.\n\n**Rachel DMR:** We hung out a lot. It sounds hokey now, but we were just kids. Durant and Telegraph was our stomping grounds. Silverball was the center of it. On the second level above Leopold's Records, La Val's Pizza and a coffee shop.\n\n**Jason Lockwood:** Runaway kids would hang out at La Val's and eat leftover pizza. The girls' bathroom was destroyed, almost solely the work of DMR.\n\n**John Marr:** Silverball Gardens was a pinball hall. A lot of punk rock kids worked there.\n\n**Kate Knox:** My boyfriend Dave Chavez, who played in Code of Honor and Verbal Abuse, he worked at Silverball. I remember sitting behind a desk with him and all of a sudden he ran out from behind the counter and busted this little kid. He had a quarter with a string on it, trying to play extra games. That was the first time I remember meeting Noah.\n\n**Noah Landis:** Basically I had drilled a hole through a quarter and attached it to a piece of thread. In some of the machines it would work. One time it got stuck and I was sitting there struggling with it\u2014it was a lot of work to drill a hole through a quarter, I didn't want to lose it. The guy busted me. Kate pointed at me and laughed. She just thought it was the funniest thing she'd ever seen.\n\nScene Monitors: The DMR Twins on Telegraph\n\n**John Marr:** Apparently you could buy controlled substances from the change guy.\n\n**Noah Landis:** He carried it in those little fuse boxes. He would sell us the trimmings that came off the sheets of acid for like 30 cents a hit. Rachel DMR: There was a whole skater crowd, too. About half of us skated.\n\n**Toni DMR:** With skateboards as weapons you don't have to be a strong, tough bitch to knock someone out. You just have to fuckin' swing your arm.\n\n**Rachel Rudnick:** The EBU. And the BTU. They would hang out.\n\n**Dean Washington:** Now, the BTU guys and my EBU guys didn't always agree on things. There'd be times when there were physical acts of violence. Not always, but on a few occasions.\n\n**Jim Lyon:** East Bay Underground was made up of people who skated and hung out at Blondie's Pizza. Dean Washington is the founder. He was our social calendar.\n\n**Ray Vegas:** East Bay Underground were just a bunch of drunk skater dudes, but they were mean guys.\n\n**Patrick Tidd:** BTU stands for Berkeley Trailers Union.\n\n**Sammytown:** They were like the local biker gang, but they rode mountain bikes. They were like street thugs that rode bicycles.\n\n**Kate Knox:** They were kind of the counterparts to DMR. Total drinker, fuck-up, get-crazy kinda guys.\n\n**Toni DMR:** We were linked to BTU vicariously, through Rachel.\n\n**Patrick Tidd:** I met Rachel on Durant hanging out. I would see Rachel at shows. She and Toni were pretty out of control back then. Rachel on the run all of the time, Toni on the run half of the time. Those two got me in a lot of fights. I guess I fell in love with Rachel when I first met her.\n\n**Dean Washington:** The DMR girls were nightmares. We didn't look at them like they were hot chicks. They were a manly little bunch.\n\n**Rachel DMR:** We had big mouths\u2014\n\n**Toni DMR:** \u2014and steel-toe boots.\n\n**Rachel DMR:** I had a chip on my shoulder. I was angry and pretty violent, and I drank a lot and did a lot of drugs and so did Toni. I look back at the anger and violence. It was almost primal. There was a rage that was almost existential. Like you've been getting beaten down your whole fucking life and then, _bam!_\n\n**Dave Ed:** They were kinda scene monitors. Just completely fearless. I saw them fight sailors all the time at the On Broadway.\n\n**Jason Lockwood:** I watched Carol beat the crap out of people. Like a boxer. No wasted motion.\n\n**Paul Casteel:** The twins were sort of poster children for abuse. I think they were runaways for that reason.\n\n**Carol DMR:** There was a _People_ magazine article about their abuse. I was in court as one of the witnesses when they were goin' through all that. They flew in witnesses from Indonesia.\n\n**Rachel DMR:** We had been abandoned in East Oakland as kids because our parents were drug addicts. We were discovered by neighbors and put into a foster home where we were abused. Then we were adopted when we were seven by a family. We lived in other countries earlier in our lives, but mostly we grew up in Berkeley. Our father was a professor of kinesiology. He was also a pedophile. Basically our father kept us locked away, until we finally rebelled at 14.\n\n**Carol DMR:** DMR started because a 13-year-old got raped walking home. We got together as a group of girls and made rules. The first rule was nobody walks home alone. That's how it started. DMR was about sisterhood and trying to keep some type of order.\n\n**Rachel DMR:** The DMR girls consisted of Carol, me and Toni, Aileen Sullivan, Tasha Robinson, Emma Clarkson, Cathy Schulz, Kathy Harris, Wendy Orem, Robin Woolsey, Sarah Archbold and Kris Connolly.\n\n**Carol DMR:** We had these rules, like you can't throw the first punch, one-on-one only. And to be in DMR you had to get in at least one fight.\n\n**Rachel DMR:** We were some fuckin' psycho-assed bitches! We didn't always follow our own rules.\n\n**Rachel Rudnick:** Rachel had a mohawk, Toni had the catwoman, which was a double mohawk that had bangs in the middle. Natasha had the skater bangs and the flannel and carried a skateboard and talked shit.\n\n**Sham Saenz:** Carol used to wear black eyeliner that dripped down her face. She was half black and half Jewish. I didn't even know what a Jew was until I met Carol. She had a little red afro and a Star of David bleached into the back of her head.\n\n**Anna Brown:** She once kicked someone's ass while she had a peace sign shaved in her head. She was nice to me for some reason.\n\n**Paul Casteel:** They were little fashion fascists. If there was some new girl in the scene that they didn't know who was dressed a little bit too preppy, they would try to scare her off.\n\n**Dean Washington:** These chicks from Orinda were _smokin'_. But the DMR was not gonna be okay with those girls.\n\n**Carol DMR:** Skimey hoes and sketchy wenches! If you were dressed like a sketchy wench or a hoochie, if you were wearing a short-short skirt and fishnet stockings at the show, you were basically making women look more objectified. We always wore pants and our jean vest, flannel shirts and sometimes a bandana. We just tried to look like cool people instead of what we considered slutty girls. So as soon as we saw somebody like that\u2014we didn't just start fuckin' with them\u2014but it was a lot easier when they did something wrong.\n\nAnd if any girls start messing with your guy or even the guy that you're interested in, that was it. I remember one fight that happened in Barrington Hall. I had a crush on Pat Rat forever but he didn't like me like that. There was some girl that he hooked up with in the bushes and came back in the show . . .\n\n**Toni DMR:** She had to go to the hospital. It was really fucked up.\n\n**Rachel DMR:** I've always felt bad about that one. We got into some pretty stupid fights protecting each other, or so we thought. We made mistakes. We terrorized people.\n\n**John Marr:** I will say this, they were _really_ dedicated to the punk rock scene.\n\n**Toni DMR:** If you were from out of town, part of a skate crew or a hardcore crew or surfing crew or whatever, you were welcomed by us. We'd take you in and give you a place to stay. You could eat our food\u2014you couldn't fuck us, but you could hang out with us\u2014and you would be safe. You would never be stuck without bus fare.\n\n**Sham Saenz:** Carol and Natasha were some of the first people I met. I was 10 or 11. I trusted them. You just got a sense that they cared for you. Carol worked at a hamburger shop on Shattuck and I'd go in there 'cause I was always on the streets and poor.\n\n**Noah Landis:** My sister, who was two years older than me, was already good friends with the DMR girls. For whatever reason, they liked me. I was lucky.\n\n**Sham Saenz:** They were kind of like the grandmas of the scene. You know how if you bring a friend over to the house, your grandma wants to know, \"Who is this guy? I don't know his family.\" That was how those girls rolled. They wanted to know who you knew, where you were from.\n\nI was sitting in the lobby at Ruthie's Inn. I don't know what had happened, but Carol basically walked in and there was a dude there, and Tasha had a skateboard, and they just beat the shit out of this guy in the doorway. One of them with the board, the other with her fists. Grandma rule.\n\n**Dean Washington:** Carol and the DMR girls booked some great shows. NOFX, Jodie Foster's Army.\n\n**Sham Saenz:** The best shows, and you always knew that if you were paying them for a show it was going to the bands.\n\n**Carol DMR:** Tasha did all the flyers, some of the art was tasteless, especially the one for Jerry's Kids. But she could draw anything. She started tattooing back then and she did some album covers\u2014Special Forces. She moved to Nicaragua. Whenever we go visit her, the phone is ringing off the hook because she still takes all the new punk rockers under her wing.\n\n**Rachel DMR:** Patrick and I got married and I had my son around '84. I just hung up my leather jacket and took care of that kid. I didn't want him to see the drugs, the trauma, the homelessness, and stress, but I retained the good parts of punk\u2014the camaraderie, the love. Punk really saved my life. At the time I was completely out of control but it saved my life. Those people I met, they are still my core.\n**17**\n\n**Blitzkrieg Bop**\n\n**Jeff Bale:** There was a period in the mid-'80s where it was really unpleasant going to a punk show because there'd be a face-off between factions of skins and punks. You never knew if you were going to end up in a brawl. It was like a tempest in a teapot because outside the scene, nobody really gave a fuck.\n\n**Orlando X:** We were all getting along fine. We would go to shows and hang out together, punks and skinheads, and then suddenly they decided they wanted to be racist and Nazi skinheads. It was the strangest thing.\n\n**Lenny Filth:** You didn't know who to trust. Some skins were cool, some skins would cut your laces, take your boots.\n\n**Dave Dictor:** By late '83 and '84, there were cracks. Skinheads who had been our good friends and buddies, all of a sudden were talking about white power and niggers and fags. What the fuck are you guys talking about?\n\n**Scott Kelly:** Before I came up here, I had my head shaved and was hanging out with skinheads in San Diego. It was a totally mixed-race group but right around '83 or '84 the White Aryan Resistance started to get involved. Tom Metzger and all those people came out of San Diego. A bunch of the guys started going super-hardcore white pride, and the other guys started falling off.\n\n**Sara Cohen:** I was a hardcore proud American skinhead punk rock chick and I was a fuckin' Jew. This was before Tom Metzger and his clan came out and started recruiting my friends. There'd be skinheads at every show, and more and more of them would be Sieg Heiling. Those of us who didn't want to take part in that scene, because of ethnicity or because it was just so fuckin' retarded, we had to go our separate ways.\n\n**Dave Dictor:** I do think there was a backlash against the very politicalness of _Maximum RocknRoll_ , Dead Kennedys, MDC. To a certain degree, we were mouthy and we were telling people what to do. I mean, all of us\u2014Jello Biafra, Tim Yohannan and, to a certain degree, myself. I thought everyone needed to know what I knew.\n\n**James Angus Black:** You can't have any kind of socialist community with a bunch of National Socialists. They have no politics at all. They're just about violence. So it was inevitable they would ruin everything.\n\n**Jason Lockwood:** It would've never happened in the U.K. But in the U.S., the skinhead scene came out of the punk scene. The BASH Boys were the first skinhead gang, which honestly was like a joke.\n\nEveryone was really into Sham 69, pre-Nazi skinhead-era bands. We were sitting around at our friend's apartment in Upper Haight and we were talking about starting a band, and we were coming up with names. Somehow the words \"Bay Area Skinheads\" came out of someone's mouth. Hey! BASH! I don't remember who said it. It was me, Curtis, Terry and Bob. That was it.\n\nWe were trying to emulate British skins. We had Fred Perrys, 501s, suspenders, Doc Martens, laced sideways. Bomber jackets. We could look very dashing on some days. But nobody had any racist leanings until somebody got ahold of the Skrewdriver album. It had a dramatic effect.\n\nCurtis is Sicilian, he's a very dark-skinned guy. Bob Blitz is German, but he grew up in San Francisco. Terry was from San Jose and I was from Berkeley. So we weren't by default very racist people. But I grew up in Oakland in black neighborhoods, which in one respect made it easy for me. I used to get jumped constantly as a kid. So I kinda made it like, oh, I can hate those people, no problem\u2014they used to beat me up! It was a weird slow transformation. After awhile, one day everyone was chanting, \"White power.\"\n\n**Dean Washington:** There were a couple of key names out there that you really wanted to stay away from. It was like your parents telling you about the Boogey Man.\n\n**Kurt Brecht:** Dagger was a real tough guy. We were terrified of him. You'd see him in the pit and he would be just destroying people.\n\n**Jason Lockwood:** At my third or fourth show, Marc Dagger came flying off the stage, and he was so much bigger than me, when his hand hit me he gave me a cut on my lip _and_ my upper brow at the same time. We had all known each other forever.\n\n**Marc Dagger:** Me, Jimmy, Beau, Bags, Dickie\u2014we were pretty much the founders of the S.F. Skins. We were never really an organized gang or anything. We were just a bunch of assholes who loved to drink and fight.\n\nThe first person I met after I hit San Francisco was James Black. Big Jim. He worked in a bar South of Market and he became the roadie for a whole shitload of bands.\n\nThen I met Beau, Jimmy Mange and Bags. I was pretty much homeless and hanging out downtown. They were with a little street gang down there\u2014just a bunch of crazy motherfuckers. We'd hang out in the Tenderloin, bum change, get beer, go to the park, get drunk, beat people up\u2014stupid shit like that. We were a bunch of fucked-up kids. Basically just tweakers.\n\n**James Angus Black:** I'd seen Dagger around and he scared me. But the more I watched him, the more I thought, this guy is like Luca Brasi from _The Godfather_. This is a man of intense power and passion and unbelievable physical strength, wandering around looking for trouble. But he has no focus, he has no one to guide him. I don't want this guy as my enemy. I'd much rather have him as my friend.\n\n**Marc Dagger:** I came from Texas. I was in juvy down there and I split, hitchhiked to L.A. and met Jeff 4-Way from Bad Posture. I hung out with him for a couple of weeks before I got run out of town by the cops and made my way up to San Francisco. That was 1980.\n\nI was probably here about six months, when I met Spike up on Polk Street. I thought she was cool as hell looking. She was all dressed out in chains and spikes, and her mohawk was up. You could tell, man, she was not somebody you wanted to mess with.\n\n**Tammy Lundy:** Spike was an iconic figure. So much so, when Kriss X came on the scene, she completely copied Spike's look. We used to call her Spike Jr. because she used to do Spike drag from top to bottom.\n\n**Marc Dagger:** We just kind of clicked, you know. We was never apart after that. She was in the scene way before I even hit town. She used to hang out at Target Video and the Tool & Die. She took me to all those places\u2014Mabuhay Gardens, the On Broadway. That's when I started to get into punk. I was already pretty frickin' crazy so I fit in with that crowd.\n\n**James Angus Black:** Almost a year later, I ran into Marc on the street and he was all punked out with this big mohawk. And he says, \"This is my girlfriend, Spike.\" That was the first time I'd met her and, boy, she did not want anything to do with me. But she saw that Marc loved me and respected me so she set about giving me a punk rock makeover right away. Cut my hair, made me cut my mustache, changed my clothes, my shoes, everything. She also knew I had a truck. And anyone with a vehicle, willing to drive people around the punk rock scene, was in.\n\n**Tammy Lundy:** Spike was like a whole lot of women on the scene who were afraid to expose their intelligence, but she was absolutely not stupid. And she was in the center of _everything_.\n\n**Ninja Death:** I met Spike when I was 15 and living in a squat one block from the Mab. She was security and overseer of bullshit at the Mab. She worked with Dirk, Hobbit, and Michele Rebel.\n\nI was an orphan after my mom died, and I became a ward of the California court. Spike would always ask me to come over to her and Marc Dagger's house if I was hungry and wanted a place to stay.\n\n**Marc Dagger:** Spike and I used to have hellacious brawls. It was one of those things, you know, two people like each other but can't stand to be with each other. Neither of us would back down.\n\n**James Angus Black:** Spike was way stronger, way badder than Dagger. I'd fight him before I'd fight her.\n\n**Tammy Lundy:** Dagger was a bona fide idiot and a violent, racist asshole. I never liked him. Spike may have known another side of him. She probably did.\n\n**Marc Dagger:** I was called Marc Hardcore before I got named Dagger by the cops. I was tweakin' one night and the cops pulled over 'cause I was walking down the street with this cane with this eight ball on top. They opened up the cane and it had a sword in it. So they put me up against the wall and started pulling knives out\u2014I had like about 21 knives all over me and most of them were double-edged daggers. So I went to jail. Got out and I was down at Mabuhay Gardens one night, and these two cops came walking up and were like, \"Hey, look at him. Come here, Dagger. What's up, Dagger? Got any knives, Dagger?\" Everybody was looking and snickering as they searched me. After that, I couldn't get rid of the fucking name.\n\n**Kriss X:** I remember when Dagger got the offer to sing for Urban Assault. He was like an excited little kid flying all over the house, like a bull in a china shop.\n\n**Marc Dagger:** We played with Sick Pleasure, Bad Posture, DRI. We played with everybody, but we played with the Fuck-Ups more than anyone 'cause we got on really well.\n\nWe did a tour with the Fuck-Ups. We played Fender's Ballroom in L.A. and we were at the T-Bird Rollerdrome when that big riot jumped off. We were pro-American hardcore and Wattie from the Exploited was up there and the first song that comes out of his mouth is, \"Fuck the U.S.A.\" So we filled up this big cup full of piss and threw it in his face. Then he started talking shit and everybody stormed the stage. By the time we got outside, there were riot cops everywhere and it just jumped.\n\nWe also played with MDC when they got to town, but we didn't really see eye to eye. They were so political and we didn't give a shit. They started doing their hair pink and we just thought that was frickin' killing the dark punk rock style we were into. All of a sudden it switched. All the bands became fuckin' politically motivated. We were not into that crap.\n\n**Jason Lockwood:** The S.F. Skins were really funny because their whole conversion from punks to skinheads was just shaving their heads. For awhile they used to make fun of us: \"Why don't you dress like American skinheads?\"\n\n**Marc Dagger:** If you were a BASH Boy, you were just lower in the pecking order. We wouldn't beat you up or anything, but we'd give you a hard time. They were the juniors.\n\nThe only way you could become an S.F. Skin was if you had cojones, man. You were gonna prove to us that you were a bad motherfucker before you were even gonna fuckin' hang out with us. A lot of the BASH Boys\u2014you'd get into a fight and they'd disappear. They'd run. You'd never see an S.F. Skin run, ever.\n\n**Jason Lockwood:** Marc Dagger talked shit, but there wasn't any real animosity. We intermixed freely and looked out for each other.\n\nI actually helped a group of skinheads try to kill a guy. The S.F. Skins tried to jump Jeff Asshole in Piss Alley and take his leather. Jeff always carried a knife. He was scrawny, but a very scrappy guy. When they tried to jump him, he cut Bob's face from the back of his cheekbone to near his lip. Everybody was after him after that. I love the logic: We tried to jump you and rob you, and since you defended yourself, we're going to kill you.\n\nSomehow, people found out that Jeff was down in the Pit drinking. The Pit was a construction site but construction had halted. It was just a big hole and it was there for years. A lot of bad fights happened there.\n\nEveryone went down there to beat up or kill Jeff. No one thought about the fact Jeff would almost certainly have something sharp on him somewhere. Terry Bash tried to get him first, but Jeff's really quick\u2014he's got a natural springiness to him. He snapped out like a little pit viper and cut Terry's forehead wide open, blood all over his face.\n\nAce Disgrace charged in and knocked Jeff over. Ace was a big guy but Jeff just went off like a Tasmanian devil, swinging with that straight razor. He eventually broke the knife on the back of Ace's head and left a maze of cuts because Ace wouldn't let go. Terry started kicking Jeff in the head. Jeff was really lucky to come out alive. Jeff's a good friend of mine. We laugh about it now and again.\n\n**Silke Tudor:** When I first started hanging out at 13, 14, there were a few badass punk chicks that really fucked with me\u2014I've got some good Tenderloin scars. But after my wannabe skinhead boyfriend shaved my head, that pretty much stopped. Well, Audra hunted me for awhile but that was because she was sleeping with him, too. We were just getting wasted, hanging out with thugs and behaving very very badly, but there was no philosophy behind it. My childhood boyfriend was black and Portuguese. My younger brother is half black. I hated his father but I fucking loved that kid. When I was 14 and he was four, I would dress him up in little boots and braces, and take him to hang out with my punk friends. That's how little any of this had to do with race. It was fucking violent, though, no doubt about it. Very violent.\n\n**Audra Angeli-Slawson:** Skinheads went hunting for trouble. One night, it was like every skinhead for a 100-mile radius had planned to meet at the Farm and rush the door for some show. I was already inside when they rushed the door. It was really gnarly, just crazy. They were beating up people that I knew. I got kicked out along with the rest of them. We went back to Skinhead Hill.\n\n**Jason Lockwood:** It was Hippie Hill originally. The park that's at the end of Upper Haight before it drops down into Lower Haight.\n\n**Audra Angeli-Slawson:** There were about 40 skinheads from everywhere and they were all pissed off because their plan had been foiled, or whatever, and they were just looking for trouble. We got some beer, and four or five of them found some people on the hill to beat the shit out of. Me and my boyfriend were flipping out, yelling, \"Do not fucking hit this person anymore! Stop\u2014you're gonna kill them!!\" It was really bad.\n\n**David Solnit:** There was a handful of people who would fuck up a show and 300 people just wouldn't do anything to stop it. All the more sensitive, creative, positive-minded people stopped going to those shows. It was ludicrous.\n\n**Jello Biafra:** One day they had a touch football game, punks versus skins, in Golden Gate Park. The real badass semi-organized skinheads hadn't really hit the scene yet. They were starting to turn up but it hadn't really gotten bad, so I thought, oh, what the fuck. I was the worst athlete in my whole school, but I never minded being knocked around in gym class. It was kind of what pogoing was about. So I played football with the skinheads.\n\n**Jeff Goldthorpe:** The midsummer punks versus skins football game did not clear up the problem. Punk audiences and the clubs in the Bay Area were pulling back from the scene because of the mounting problems with the skins.\n\n**Fat Mike:** Marc Dagger was interviewed by Tim Yohannan on _Maximum RocknRoll_ Radio. That was hysterical. The guy made no sense at all.\n\n**\"PART TWO: S.F. SKINS RESPOND\"**\n\n**Tim:** Well, it sounds like, as people said last week, on an individual basis and when you guys are sober, you're really nice guys. Yet, I've seen you all of you going off in situations that were totally . . . your reactions were totally out of hand, and people got hurt. Why do you think so many people were calling in last week saying, \"I don't want to go to shows anymore because of a lot of stuff that's happened to me or my friends\"?\n\nMarc: I'll answer the question that you just asked. You know, a lot of times we are really nice guys when we're sober, and we take a lot of crap from people that we shouldn't take . . . because we don't have to take it. You talk about politics. Personally, I don't believe in politics. They're gonna blow us up, and what are we gonna do about it? What is our little vote going to do about it?\n\n_\u2014Tim Yohannan,_ Maximum RocknRoll _18, October 1984_\n\n**Marc Dagger:** I ended up ripping the microphone out of the wall. Tim Yohannan and all those guys hated our guts 'cause we were just a bunch of violent fucking assholes. But they wanted to politicize everything.\n\n**James Angus Black:** I called in on that show because Dagger is my best friend and Tim Yohannan was getting the upper hand. I wanted to get in Dagger's corner. But, even at that time, it was obvious the skins were going to break up the scene. I agreed with Jello on that completely. I wouldn't tell him that.\n\nAs of July 16, there will be no more punk shows at the On Broadway in San Francisco . . . [C]onstant damage to the O.B., rising violence, bands demanding too much, people sneaking in, etc. has led to the end of an era here. Dirk feels that \"trash has taken over the scene.\" Yet 85% of the people are as good as ever, but the few have become fascist and no one is standing up to them.\n\n_\u2014Tim Yohannan,_ Maximum RocknRoll, _July 15, 1984_\n\n**Marc Dagger:** Peter Jennings interviewed us once. We were on _World News Tonight_ 'cause we were getting a lot of notoriety for what we were doing up in the Haight. He was talking about gang violence and skinheads coming to America. It started some stupid media sensation. I stayed out of it 'cause I didn't want my face on the TV.\n\nWe had a reputation because a lot of black dudes used to come up to the Haight from the Fillmore District and mug people, rob people, and stab people and stuff. It got to the point, man, where every time we saw them, it was a boot party. And the cops liked it. They turned a shoulder to it because we were taking care of a problem they obviously couldn't deal with.\n\nThey stopped coming up from the Fillmore District 'cause a couple people were found dead in the park. So we were basically running the frickin' place. Then some of the storefronts were targeted because gay dudes owned the pizza place. When we started fucking with them, the cops started coming down on us. Because they owned the buildings and we were running off business.\n\n**Carol DMR:** I remember some terrible band was playing at the Sound of Music and Terry got his throat slit. They had done something shitty to some black guys outside and the guy came in and slit Terry's neck from ear to ear.\n\n**Steve DePace:** The Sound of Music was the first club that popped up beyond the Mab. It was a transvestite strip bar on Turk Street.\n\n**Carol DMR:** Terry didn't die but I'm glad I wasn't there because this was somebody I knew and I used to hang out with. Before he became a Nazi skinhead.\n\n**Jason Lockwood:** I got kicked out of BASH. Dramatically. My cousin got jumped on Broadway by a bunch of thuggy hip hop kids. We called them stubbies. Instead of fighting, I just got him out of there. So I got kicked out. I had to fight Terry Bash on Skinhead Hill.\n\nThey actually wanted me to fight Jimmy Mange but I knew that Terry was not as good a fighter. I knew if I got into a fight with Jimmy, he was gonna maul me. And if I got into a fight with Terry he would just hit me a couple times. It worked out perfect. As perfect as it can be if you wanna completely shed all your self-respect. I wound up running because it was all the S.F. Skins and all the BASH Boys and I was certain I was gonna get killed.\n\nI was never much of a fighter. I wanted to be a tough guy so desperately. I went through so much torture trying to be the guy that gets into fights. But I hate it. It terrifies me.\n\n**Marc Dagger:** I had to leave town 'cause I had warrants. Me and Spike and Bags stayed in New York with Harley from the Cro-Mags, Agnostic Front, a whole bunch of different skinheads that we used to take care of when they came to San Francisco.\n\nSpike ended up getting pregnant and she didn't want to be on the run. She wanted to go back to San Francisco to have the kid and be near Carole Lennon and her friends.\n\n**Tammy Lundy:** Carole Lennon owns Lennon Studios on Capp Street. Everyone recorded there. She was like the mother figure on the scene. Which we desperately needed.\n\n**Ninja Death:** When Aunt Spike and Marc broke up, she came back and had her treasure, Little Marc. She got a huge house on Baker Street and she immediately moved me in to be with her and Little Marc. This is where she started to actually shine. She always woke me up for school and got me on my way with a killer breakfast.\n\n**Marc Dagger:** I had to keep moving. I had a murder warrant, an assault warrant, and a probation violation\u2014all of which got dismissed when they finally caught up with me in Texas and shipped me back to California. I ended up getting a year and a half on the probation violation.\n\n**Audra Angeli-Slawson:** But things got really weird with Bob Heick. Bob Blitz. Nazi Bob. He became a full-on crazy white supremacist.\n\n**Carol DMR:** Bob was a total nerd kid. We probably made fun of him. Six months or a year later, he came back with his boots and braces and he was a Nazi. He founded the American Front, and began working with Tom Metzger and the White Aryan Resistance. These were the same type of kids that got their lunch money stolen. These are the same type of kids that become cops.\n\n**Martin Sprouse:** This was above and beyond the Marc Dagger skinheads. This was the weird and organized Nazi skinheads.\n\n**Patrick Hughes:** They used to march down Haight Street on May Day during the late '80s.\n\n**Jeff Goldthorpe:** Bob Heick made a name for himself in the neighborhood by kicking in the window of Bound Together anarchist bookstore.\n\n**Patrick Hughes:** Skinheads actually firebombed the store in the spring of 1989. I was working there and living behind the store so I was there to put out the fire. The White Aryan Resistance claimed responsibility.\n\n**Sara Cohen:** SHARP [Skinheads Against Racial Prejudice] grew up to combat all that shit. Everything just got so political. Shows were more like rallies than punk rock.\n\n**Silke Tudor:** A lot of us were uncomfortable with where things were heading. In private, even some of the guys admitted how fucked up it all was. But when we were at Baker Street, it was a different story. It is all so embarrassing. Unconscionable. I hope the way I live my life now makes up for some of that shit back then, but I really wish I had been less angry and fearful. I wish I had stood up.\n\nIn August, 1987, Greg Withrow, former president of Aryan Youth  \nMovement had his hands nailed to a six-foot plank, after publically  \ndenouncing his former comrades. The summer of 1988,  \nskinheads made a very high profile appearance, protesting out -  \nside the Democratic Convention in Atlanta. Later that fall, they  \nmade some appearances on sensation-drenched talk shows, first  \non Oprah Winfrey's and their grand finale on Geraldo Rivera's,  \nwhere they pummeled the host before millions of viewers, making  \nskinhead a household word.\n\n_\u2014\"Nazi Skinheads: The Hate Behind the Headlines,\" Cary Tennis,_ Calendar Magazine _, January 1, 1989_\n\n**Portia:** One day, Little Marc referred to someone as a \"nigger,\" so Spike packed up their things and moved north to start over. She ended up living in a small town in Idaho for 11 years, working as an EMT and a volunteer firefighter. Delivering babies, saving lives. Just like you'd expect. And Marc grew up.\n\n**Marc Dagger:** I have seven kids. I'm a grandpa now. I'm still not smart enough to walk away from a fight so I don't go out a lot because of that. My kids need me out here.\n\n**Portia:** Spike was murdered while trying to break up a fight between two of her nephews in Mendocino County in 2008. All her favorite bands played at her memorial. Bad Posture, the Fuck-Ups, Verbal Abuse, MDC, the Lewd, Naked Lady Wrestlers, Fang and whole bunch of others.\n\n**Ninja Death:** I found out what happened to Aunt Spike from Johnithin Christ, of Code of Honor. He was her best friend. She was and always will be the only real family I ever had. She taught me how to skate, drink beer, cook, bake, sew, put on my makeup and never forget who I really was. She gave me _me_.\n\n**Jason Lockwood:** You don't realize how bad you really felt as a kid until you look back and think, why would I do that if I didn't feel terrible? Music really does influence you. I was a nervous wreck as a kid. So I would put on headphones and those waves of sound would white everything out.\n\nI would pick up the stylus and drop it back on the song, over and over again like an OCD pattern. It was so dramatic, like a sensory overload, overpowering everything that I was terrified of. There was such a beautiful reckless abandon to the punk scene. I think that sound conditioned me to use music the way that I do now. If I need to be calm, I listen to chick rock. Horribly unabashed chick rock.\n**18**\n\n**Gimme Something Better**\n\n**Rachel Rudnick:** Social Unrest was probably the best hardcore Bay Area band. They had really good catchy songs, anti-American songs, anthemy sing-alongs. Their singer Creetin was kind of the Bay Area version of Mike Ness. The girls loved him. He eventually came out of the closet, a lot of broken hearts there.\n\n**Danny Norwood:** Punk saved my life in some way. Because I was literally going to hang out in Hayward and work at the local radiator shop.\n\n**Jim Lyon:** I went to Tennyson High School with four members of Social Unrest. I remember Danny and Jim playing a lunch show at school. The band was called Leather Nun. I was nicknamed Tape Recorder because I would make up songs and make them listen to them on my tape recorder.\n\n**Bonedog:** Besides Social Unrest, there was no scene in Hayward whatsoever. They had the full-on band T-shirts and spiked hair and studs and all that. Nobody else at the school looked like that. They were outcasts.\n\n**Ray Vegas:** My first show was actually a Social Unrest show at the Mabuhay Gardens. James Brogan\u2014who became the guitar player for Social Unrest and later started Samiam\u2014he took me to see them, and that was it for me. It was Social Unrest and the Naked Lady Wrestlers.\n\n**Creetin K-oS:** I remember going to hang at the Mab one night and seeing this teenage boy lying on this cool old Cadillac. He was my age, about 15 or 16 at the time. He was totally decked out in punk garb, although not looking like the rest of the crowd of the day. He probably didn't know the right people to get in the club, given his age. He seemed content smoking his cigs and blurting various nasty remarks at tourists and passersby. I was floored. That is when it all clicked for me.\n\n**Bonedog:** I started talking to the kids in my high school, and they told me where they rehearsed. I'd go down in industrial Hayward and watch Social Unrest rehearse every Tuesday and Thursday for years.\n\n**Danny Norwood:** We rehearsed in a storage place. Where you could actually drive your car in. We were the only band in there. And we brought carpets and soundproofing stuff. It was actually the first place I ever lived after I left home.\n\n**Jim Lyon:** I would sit in front of their garage door and listen to them writing the song \"Making Room for Youth.\"\n\n**Creetin K-oS:** It was an accident or destiny that I joined with Social Unrest. I knew a couple of the guys from school. I did not even know if those guys liked me or just thought me a poseur. Bob, their first singer, ran into me in Sacramento one summer. He was not happy with SU and was going to quit. He thought we should start a band. At the end of the weekend, I called SU to tell them their singer quit and I wanted the job. We were packing the Mab in less than a year.\n\n**Jim Lyon:** Kevin Reed, who would become the vocalist for Teenage Warning, lived down the street from Creetin K-oS and Maire, their drummer's girlfriend. I ran away from home and rented a couch from Creetin for $100 a month. The house always had Nina Hagen or Siouxsie blaring out of the speakers. We would raid vegetable gardens in Hayward and bring them back to the pad to have Creetin make dinner. We lived on apples for about a month.\n\n**Danny Norwood:** When Creetin first joined the band, he sounded a lot like Johnny Legend, but he developed his own style, which reminds me of something Middle Eastern. We started pretty much like the Ramones, and then we got faster and faster as we got to be better musicians. He is kind of a shy guy, except for when he gets onstage.\n\n**Creetin K-oS:** I will be the first to admit Mr. Rotten was a big influence on how I sang punk rock. No hiding it. He was a hero and a villain. I loved the whole U.K. sound.\n\n**Greg Oropeza:** When the South Bay scene finally took root, it was mostly made up of aging New Wavers and lots of young skaters.\n\n**Danny Norwood:** We did the Agnews State Hospital in Santa Clara. All the state hospitals were looking for entertainment back then and no one else wanted us to play. Our other guitar player at the time, Doug Logic, had a nervous breakdown. It just weirded him out, playing in front of the mentally challenged. There was some LSD or mushrooms involved. South Bay punks came to the show and the attendants were very friendly and gracious. We were pretty well behaved except for the LSD. We didn't exploit them. But it was a little bit unsettling.\n\nWe played with MDC a lot, with Flipper sometimes. Flipper would always stand back there and mock us the whole time. They were probably four years older than us, and thought we were pretty much just run-of-the-mill. So every time we'd finish up a song, they'd go, \"Onetwothreefour!\" Every time. \"Onetwothreefour!\" Anticipating.\n\n**Ray Vegas:** Social Unrest was the first real band I was in that people came to see. When we were onstage there were 200 people at the Mab, or at the On Broadway. I'd never see girls. They were always in the back 'cause everyone was thrashing. They were all dudes. But when we were on tour, there were girls.\n\n**Danny Norwood:** We hit the road with U.K. Decay in '81 and played a lot of shows with the Dead Kennedys. They'd take us out of town with them on weekend stints. They were good people. Their manager Barbara Hellbent became our manager at one point, and East Bay Ray produced our records. We were friends with Jello's then-wife. She helped us with our marketing and sales.\n\nAfter _Rat in a Maze_ , Jason Honea took over for Creetin. We had a really successful tour in Europe in '87.\n\n**Ray Vegas:** It was really weird. Once you crossed into East Germany, there was one little shop on the main road, but you couldn't get gas, so people were pushing their cars through the border. Me and James had to drop our pants at the border. The women guards laughed at us. These lines and lines of cars and we're standing there with our pants down to our ankles, five punks in front of this dirty van.\n\nBut Yugoslavia was a really big show. We were a good release for them. All the cars looked the same and all the buildings looked the same, totally gray. It was industrial. The kids ran machinery and they all worked in factories.\n\nWhen we pulled into the parking lot, all these people were looking in the van windows. People were just hungry for it. I can't say we were the first band to go play there, but it sure seemed like it. People were just way into it. We got letters from people thanking us for just coming out.\n\n**Danny Norwood:** This guy came to the show and had a sweater that his mom made. She had knitted \"H\u00fcsker D\u00fc\" into it, because you couldn't buy punk shirts. It looked great.\n\n**Ray Vegas:** When we were in Spain a guy came to our show with our logo knitted into a sweater his mom made for him, too. Crazy.\n\n**Danny Norwood:** Being a punk at the time, you doubted what our government said. Part of the allure was to see if it was really as bad over there as Reagan was saying it was. It was poor. And we got stopped randomly a couple of times for papers\u2014that definitely was true.\n\n**Ray Vegas:** But the people we met there were nothing like that. They were just like us.\n\n**Billie Joe Armstrong:** I didn't get into Social Unrest until the last show they ever played and I thought they were just great.\n\n**Danny Norwood:** I had to take a break. To regain that freshness I was seeing in younger bands. Taking a break meant I moved away. I moved to Czechoslovakia. Then I moved to the mountains. There was a big period I was just disconnected from it all.\n\n**Ray Vegas:** When Social Unrest departed, I was in the next incarnation of Attitude Adjustment.\n\n**Danny Norwood:** In '95, when we started playing again\u2014that was a weird time to come back because it was almost like, \"Oh, you're riding the Green Day wave.\" Then we recorded with Billie in his basement. Billie basically recorded, engineered, and produced it.\n\n**Billie Joe Armstrong:** Noah from Neurosis came over and helped me set everything up. He had a lot more knowledge than I did. They recorded downstairs and my wife was totally pregnant. She went into labor the day after they finished recording. So that was the sound that was coming up through the floor.\n\n**Danny Norwood:** We took a hit for that because those people who read \"produced by\" thought, \"Oh, they're trying to be . . .\" That's where I saw the Tim Yohannan backlash against Green Day. Billie's a very cool guy.\n\nWe play shows in Southern California, and there are moms and dads there who are ex-punk rockers, who grew up in my era. Now their kids are in bands and they are there with their video camera\u2014still kind of punky looking\u2014filming their new hardcore offspring.\n\n**Ray Vegas:** You can't help to be concerned as a parent. We know what we did when we were that young and we're lucky to be here now. They're doing all the same stuff. It's like, \"Oh, my gosh.\"\n\n**Danny Norwood:** Punk made me reeducate myself. I read more and paid attention to politics. I went back to school. There were a lot of negative things, too, but mostly it pushed me in a good direction. It inspired me never to be ignorant. That's about as simple as it gets.\n\nI love my family, but I can see the difference between my immediate family and my cousins. In Hayward, I went to school with 20 cousins. They stayed and had kids and got a job in a local factory. That whole suburban thing. It's not like they admire me because I was in a band, but I got out of California, I waited to have a kid, I just did something different. Punk taught me I could do something other than pay bills, something that might even mean something.\n**19**\n\n**Berkeley Heathen Scum**\n\n**Sammytown:** There's the term \"army brats.\" We were all university brats. A lot of our parents were professors at Cal Berkeley. My dad teaches forestry. Turner, the guitar player from Special Forces, his dad worked at UC. Toby Rage, who was a local fixture and roadie for everybody, his dad was a professor. As far as parenting went, there was a lot of crazy ideas. \"Let them make their own mistakes and be who they are gonna be.\" A lot of us didn't have any fuckin' boundaries.\n\nI started drinking and smoking weed when I was 11. Started dealing drugs. Started to get arrested. I ended up in juvenile hall, and went to jail. GTA [grand theft auto], vandalism, just basically being a kid, running amok. Mainly it was crimes of fun. Steal a car, run around and crash it, shit like that.\n\n**Tim Armstrong:** I'd known Sam for a long time, 'cause we're Albany. First time I ever seen a punk rocker was Sam. I'll never forget it. We were up on Gateview, the next street up. Just dorky kids hanging out. He came out of the hills\u2014earring, short spiky hair, colored\u2014and walked by, didn't even register that we existed. I just watched him. And I went, \"That kid is fucking cool. Wow.\" He was probably 15.\n\n**Sammytown:** I was the only boy in high school to have my ear pierced. I had purple hair and I was already starting to get tattooed. In three months I got jumped four times by the jocks. I dropped out of the ninth grade. My parents were like, \"What the fuck?\"\n\nSpeed was the drug of choice back then by the punk rockers, and a large percent of the population shot up. Especially in the East Bay. There was a lot of young kids all running around shooting speed and eating acid. I started using heroin when I was 15, and I remember being very much looked down upon in the punk scene because I was the only one.\n\n**Tim Armstrong:** My brother Greg was a drummer before he joined the army. He was in a band with Sammy. A bunch of Albany punk rockers in a band called Shut Up. Very, very regional, very specific. Shut Up had a song called \"Fuck All the Albany High School Jocks.\" I was stoked that my big brother was rolling with these guys. And Sam went on to join Fang.\n\n**Tom Flynn:** The first band I was in was Fang, in Connecticut. I got here, and then about a year later, a friend that was in the band moved out here also. We decided to be a duo. One of us would play drums and the other of us would sing and play guitar, and we'd switch.\n\nIt was a weird band. We liked being minimal. But also, I wasn't good at meeting people. The only place we could play was the Sound of Music.\n\nIn 1981 we played Texas, played Kansas City, drove all the way up to New Haven, and played in Boston. Two people and a station wagon. We looked pretty unassuming. Nothing abnormal. Just a couple of young guys.\n\nI was afraid if we got a bass player, I'd have to play what they wanted to play, and I wanted to be in control. I put a note in Universal Records and it said, \"Drummer wanted to jam,\" something retarded. \"Sex Pistols and Flipper.\"\n\n**Sammytown:** My best friend Joel Fox, the drummer from Subsidized Mess, went and tried out for Fang.\n\n**Tom Flynn:** We told Joel to join. Sam said, \"You really need a singer. I can sing.\"\n\n**Sammytown:** I was an arrogant little fuckin' bald-headed 15-year-old brat. Tom was like, \"Come back next practice and we'll try it out.\" And so I came back and he said, \"Here's some lyrics.\"\n\nTom very much had a cynical take on things and so it sort of set the tone. \"Skinheads Smoke Dope\" was more about hippies than anything. Even \"Destroy the Handicapped\"\u2014Berkeley was probably the first city in the world to ever need handicapped ramps. It was such a PC place. I was very much anti-that. Not on purpose or with any kind of agenda, but because growing up when and where I did, that just came out.\n\n**Noah Landis:** I was going to Berkeley High and Fang was like \"our band.\" In some ways I felt really lucky to have them. Because they were for us and they were just amazing and unique and funny. They didn't take themselves too seriously. They always put on a great show. For what punk rock was, when I first found it, Fang summed it up. In terms of attitude.\n\n**Hef:** Tom had a very unique style of playing the guitar, and the songs were written around his guitar. It was punk in that it was rebellious and different and all that, and it was hardcore. But musically it was very slow.\n\n**Dean Washington:** I was at every single Fang show. Some of 'em were more memorable than others, and some were total and complete blackouts. Beer and speed induced. \"Yeah, that was a great set!\" You didn't hear a fucking single bit of it. \"You guys _ruled_ tonight!\"\n\n**Tom Flynn:** At some point I realized, \"Oh, we really have a following.\" It was kind of weird. I was used to playing places where no one would show up. It never got to be huge. A big show was 200 or 300 people.\n\n**Paul Casteel:** Fang's probably the best band out of the East Bay. It reminded me of a Penelope Spheeris movie: kids all on the run, squatting somewhere, staying at somebody's house while their parents were out of town. It was an ongoing cutting class, drinking and drug spree. It was cool and it was authentic.\n\n**Rachel Rudnick:** Loved Fang, they touched me heart. \"Skinheads Smoke Dope\"\u2014I know a skinhead who was very excited, one time he was smoking dope during that song. \"Destroy the Handicapped\"\u2014they would always pick somebody with a disability to come sing that. \"Berkeley Heathen Scum\" was considered the anthem by a lot of people.\n\n_Well Berkeley's full of heathen scum_  \n_I should know I am one_  \n_I'm a drunken junkie bum_  \n_Then there's those Berkeley bitches_  \n_Think they'll go from rags to riches_  \n_Hang out on University_  \n_but now they've got my herpes_  \n_You give them enough cash_  \n_They'll do anything you ask_  \n_They'll take it_  \n_They'll take it up the ass_  \n_Then there's those Berkeley bad boys_  \n_Don't know how to use their dicks as toys_  \n_They only use them to pee_  \n_So I taught them something kinky_  \n_Now they're fetid virgin killers_  \n_Mother rapers and hooker thrillers_  \n_They'll bend you down to your knees_  \n_Steamy mucous is set free_\n\n\u2014Tom Flynn and Sam McBride, \"Berkeley Heathen Scum,\" 1984\n\n**Aaron Cometbus:** When the album with \"Berkeley Heathen Scum\" came out, Orlando said, \"Some records shouldn't have lyric sheets.\"\n\n**Sammytown:** We started playing a lot and touring. I was 16 and in Tulsa, Oklahoma, and it was 18 and over. So I had to sit in the van until we played. And then after, I would have to go and sit in the van.\n\n**Tom Flynn:** We wanted to put out a record and I was scared someone else would fuck it up. I thought about Universal Records. They put out the first Crucifix. But I didn't think they were really _cool_. They were older, wouldn't really understand our music. I had money saved up. So I said, \"Fuck it, I'll do it myself.\"\n\nI lived on Bonar Street in Berkeley. So these friends of mine would send me letters to \"Boner Street,\" and they would get delivered. So, Boner Records. It wasn't trying to be a record company, it was just a way to put out the first Fang record. I thought maybe ten people would buy it.\n\n**Hef:** I was a long-distance trucker at the time. I was in a punk rock record store in Denver and saw _Landshark_ , their first LP. I had seen the band, so I bought it. The Fang guys were over one time and they were looking through my records, and they were like, \"Wow, he has our record and he doesn't even know us.\"\n\n**Fat Mike:** _Landshark_ is, behind the Operation Ivy record, the second or third best record out of the East Bay.\n\n**Gavin MacArthur:** I got their album in the seventh grade, and I remember that song, something about getting to fuck Brooke Shields. \"The Money Will Roll Right In.\" I just thought that was the greatest song.\n\n**Aaron Cometbus:** Fang were the most Berkeley of all Berkeley bands. They sung about local stuff and Sam was always working delivery for Blondie's Pizza or taking vocal lessons at Laney College. The dead-end sort of nutty stuff that was the essence of Berkeley life. Sam never liked me, probably because I was an annoying little runt.\n\nLater, I did the East Bay scene reports for _Maximum RocknRoll_ , and almost every month, I wrote that Fang had broken up, because some member had told me so in a huff. Sam was understandably pissed that I didn't check the facts with him. Finally we came to a reconciliation of sorts. He said to go ahead and write whatever I wanted. So of course I began to make up the craziest things. From then on the scene reports were a lot more interesting. \"Fang drummer gets a sex change.\" \"Sammy teaching preschool.\" \"Fang bassist run over by ice cream truck.\" They got a lot of condolence cards for that one.\n\n**Bob Noxious:** I liked Fang a lot but it was hard for me to admit it because they were our competition. Fang had the East Bay and the Fuck-Ups had San Francisco.\n\n**Murray Bowles:** They had really catchy songs.\n\n**Tom Flynn:** We were political personally, but I didn't think we were a political band and I didn't really like political bands. Just seemed really boring to me. Writing songs about Ronald Reagan: \"I hate Ronald Reagan.\" There's our song! It just seemed dumb. Do these people really feel a deep emotional response singing about Ronald Reagan?\n\nSammytown at Eastern Front\n\n**Sammytown:** Tim Yohannan asked us about the lyrics to \"Fun with Acid,\" and he kept trying to steer it towards something about Vietnam. We were like, \"Dude, no, it's just about being fucked up and paranoid on acid.\"\n\n**Tom Flynn:** People figured any band from San Francisco was ultra-political. Fang was not like that at all. People were kinda surprised when we'd go around the country, that we weren't a typical _Maximum RocknRoll_ type band.\n\n**Sammytown:** We were like number three in Penn State on the college radio station. What does that even mean? There'd be all kinds of kids that knew the songs. We'd look at each other thinking, \"This is fuckin' crazy.\"\n\n**Tom Flynn:** In '84 we put out another record called _Where the Wild Things Are_. And then we went on tour again. And I quit at the end. In the fall of '84. It wasn't any fun anymore. We couldn't write a good song. It just got to be a pain.\n\n**Sammytown:** He was tired of me. We went on this big U.S. tour. My girlfriend had three kids, and was living in Tom's house while he was on the road. We were fucking strung out on heroin already. I was like 16. So he comes home to his house, and his singer, his singer's girlfriend are shooting heroin in the bathroom while these three kids\u2014I think he was just like, \"This is fucking off the hook.\"\n\n**Tom Flynn:** I really thought that I'd quit and the band would end. But Sam said, \"If you quit the band can we go on?\" I said, \"Whatever, that's up to you.\" And eventually they decided to keep going, which hurt my fragile ego.\n\n**Kelly King:** Bill Collins was playing for Fang. He was the only person that could copy Tom Flynn's style almost perfectly. It was excellent.\n\n**Sammytown:** I did a lot of drugs. I started dealing acid. I made my own blotter. I would get crystal and put up 20,000, 100,000, 50,000 hits at a time. Going on tour made it really convenient because we'd hang out in town for a couple days, I'd find the local pot dealer and ask, \"Well, what about acid?\" I'd end up mailing acid all over the country.\n\nI remember going through Nevada and taping our pot underneath the fucking body of the car because the drug laws in Nevada were so intense. It was '85, I got busted in Texas with a roach worth of weed and I had to spend three days in jail. So I moved the band to Europe for awhile in '85.\n\nThe last few tours, I ended up kicking on tour. I would just deal with it. \"Yeah, Sam's got the flu.\" I'd go out and play shows, they'd think I was punk rock 'cause I was running, puking offstage. But I was fuckin' kicking heroin.\n\nWe played with Operation Ivy in some weird valley outside of Las Vegas, way out in the fucking middle of nowhere. This band called the Atomic Gods had somehow gotten two flatbeds that they'd stacked back to back, and just left them out there because it made a good-sized stage. They would bring a generator truck, and charged by the carload because there was only one road in and one road out. All these punks would come and they'd bring three-wheelers and four-wheelers. There was vast quantities of fuckin' Everclear and punch and acid, and guns.\n\n**Tim Armstrong:** Everclear and Mountain Dew. He had a fuckin' can of this drink, man.\n\n**Sammytown:** I only remember bits and pieces, but at some point I'd been riding this three-wheeler and I think I fucking rolled it. I staggered out and somebody came up and handed me a big fuckin' handgun, like a .44 or a .357.\n\n**Matt Freeman:** They were shooting targets. So someone had the bright idea, let's have Sammytown shoot targets, too.\n\n**Sammytown:** We were out there behind the stage and the Oppers were trying to play, or were about to play. They saw somebody giving me a gun and they knew how fucked up I was.\n\n**Tim Armstrong:** We were all behind them. And he was out in front of us about ten feet.\n\n**Matt Freeman:** With a real gun, okay? And he just\u2014 _bam!_ Totally missed the target. The whole crowd just busted up laughing.\n\n**Tim Armstrong:** He turned around and went, \"Who the fuck's laughing?\" We were just like \"AHHHH!!!\" and we scattered.\n\n**Matt Freeman:** We literally dived behind the end of the car. All of us, me, Tim and Dave Mello, all crouched down. We knew Sammy was no joke. It was, like, not funny at all. It was pretty intense.\n\n**Sammytown:** I was just too wasted to even fuckin' play. It was a few days later before I was actually coherent enough to talk again.\n\nI think it was that same tour, we played with Crimpshrine in Baton Rouge or someplace. There weren't a lot of East Bay bands that toured. I don't know if it was Aaron, or some other guy in Crimpshrine\u2014we ended up giving each other tattoos. That was kind of a moment. The next generation. It was, \"Wow, you guys are now out here on the road. Some other hometown East Bay idiots dragged themselves out to this godforsaken fuckin' place!\" It definitely was cool seeing the young kids coming out. We'd done many tours by then. I was probably 19 or 20.\n\nWe were supposed to go back to Germany to record. It was cheaper for Tom to fly us to Germany and record over there. I'd been dealing a lot of drugs and acid in Germany. My girlfriend over there had been dealing for me. She ended up getting busted. Then Interpol wanted me, and they knew I was supposed to be coming to record. So we had to scratch that whole trip to Europe.\n\nWe ended up recording in San Francisco, and by that time the habits came home. Drugs were always a huge part of the scene. But it wasn't really until '87, '88, '89 when heroin exploded. People started dropping like flies. It was a really sad time for the early punks. Will from Flipper died. And John, who ended up playing in Flipper after Will, died as well. I got real strung out. I never ripped anybody off or ripped my friends off. But given what happened that's hardly the worst thing you can do, obviously.\n\n**Tom Flynn:** Some Fang shows they played without a singer. They had other people onstage. They had one guy singing off of the lyric sheets.\n\n**Sammytown:** I started concentrating on dealing. I had people all over the U.S. It was probably 95 percent mail order. I made 30 grand in a month, and I'm 22 or 23, thinking, \"I'm making more money than my dad.\"\n\n**James Angus Black:** I did a U.S. and partial Canada tour with Fang. That's the only time in my entire professional life of roadying that I took a band to the wrong place.\n\nEverybody went to sleep in the van and I thought we were going to Roanoke, but we were actually supposed to be going to Chapel Hill. Me and Petey went to a party, where we met Dixie Lee. She was like, \"Oh, you're here with Fang? I love Fang. I'm going to go see them on Thursday. Is Sammy in town? You got to take me over to meet him.\"\n\nThe Money Will Roll Right In: Fang logo\n\nSo we introduced them. They hit it off and she followed us to Chapel Hill, then back to Roanoke. At the end of the tour they got together. It was all fucked up.\n\n**Sammytown:** She started dealing for me and she went from buying like 100 to 500 hits every couple weeks to 10,000 hits every two weeks. She had a good head for business. I moved her out to California.\n\nShe wasn't a drug addict. I was a fucking mess. I kept telling her, \"Oh yeah, I'm gonna quit, I'm gonna quit.\" And I had no intention of quitting. I felt that if I was a drug dealer and I wanted to spend all of my money on drugs, then that was my god-given right.\n\nShe had came from hardscrabble Virginia, she lived in a boardinghouse with her mom. I think it just ate her up to see me blowing tens of thousands of dollars on fuckin' heroin. Because she was talking about investing in a legitimate business and trying to parlay all of this money into legitimate things.\n\nAnd I thought, \"Well we've got a fuckin' nice apartment, I just bought a new Triumph, you got a nice car, what?\"\n\nI never thought I was gonna live to be 18. So the future was not in my plans. But to placate her I went down to Los Angeles to ostensibly clean up, and left her in charge of my business. I was parking cars at a Renaissance Faire. Great place to go to kick drugs! I was working in the parking lot and shooting heroin. And coke. So I really wasn't getting clean. And she knew it.\n\nI'd started hearing rumblings as I was coming back that she was foolin' around with other guys. This guy in Texas was one of my best customers. He would come and get 20 to 50,000 hits sometimes twice a month. She couldn't get that kind of quantity at the drop of a hat. So that's why I was coming back.\n\nI got back early and I was at the house, and the guy from Texas had shown up. The phone rang and it was this guy from Salt Lake City, and he was acting really weird towards me. I'm like, \"Dude, what the fuck is going on?\" He said, \"Hey look, I don't know what the fuck's going on out there, but she said that you've been burning people, and that you're out of your fucking mind, and that she's moving to Texas, and that if I want to keep doing business I should do business with her.\" And he unwittingly let me know that she had started a bank account in South Carolina.\n\nSo that's how I found out that she'd basically been bad-mouthing me to all of my customers I'd set up over years, and had planned on taking my business and moving to Texas with my best customer. I took off.\n\nAbout five o'clock in the morning\u2014I'd gotten a bottle of whiskey, I was getting all wasted\u2014I decided I was gonna inform them about this. And I came back to the apartment, parked the car underneath the big picture window. I saw this guy from Texas coming out of my bedroom, he was pulling his boxer shorts up. So at that point I lost it. I fuckin' chased him.\n\nHe got away, and she didn't.\n\n**\"DIXIE LEE CARNEY\/JUNE 14TH, 1965-AUGUST 6TH, 1989\"**\n\nDixie Lee Carney was found murdered in her apartment on August 6th, 1989, 4 months after she had moved to Oakland, from Roanoke, Virginia. In Roanoke, Dixie formed a punk rock band, \"Pretty Pathetic.\" Although the band did not stay together long Dixie became a devoted fan of punk rock music. Her home served as a stopover for most of the bands to come through the area. She put up such bands as Verbal Abuse, F.O.D., Ugly But Proud and GBH. She was a well known figure in \"the scene.\"\n\nDixie moved to North Oakland in April of '89. Although her stay in California was short, her generous and peaceful nature earned her many friends.\n\nOn August 6th, 1989, three friends visiting from out-of-state found Dixie's body in her apartment. Autopsy reports verified that she had been strangled. To think that she had suffered such a violent, savage death has brought unspeakable horror to her numerous friends and relatives. Although the police and FBI have been investigating this crime, they still have not found the suspect responsible for her murder.\n\nDixie Lee Carney was loved by all and is sorely missed. Her death has left an enormous void in the lives of her loved ones. Our only comfort is to keep her memory alive and to hope for the capture of the fugitive responsible for her murder.\n\nWe are looking for Dixie Lee Carney's boyfriend, Sam McBride\/  \nSammy-Town\/Slammy. He was the singer of Fang, and has  \nnumerous tattoos including: Spiderman on right upper chest,  \npenis on ankle, skeletal hand, gun being shot, fetus, nuclear  \ncloud and Chinese symbol on arms. He was last seen with a  \nshaved head, and may be growing hair and a beard. . . .\n\nThere is a large reward for information leading to the arrest and conviction of the suspect responsible for her murder. Please help us!!\n\n_\u2014_ Maximum RocknRoll _77, October 1989_\n\n**Tom Flynn:** Someone called my roommate and told her, \"We just called Dixie's house and a policeman answered, said 'Homicide. ' \" Whoa. I didn't know what was going on. I found out that day.\n\n**Hef:** I got a call somewhere around noon from Patty Wagon, who used to be a well-known KALX DJ. She said, \"Did you hear what happened? Dixie's dead, and Sam's missing, and they're looking for him.\"\n\n**Tom Flynn:** I wasn't expecting it, but I could see that happening. They say she was his girlfriend, but I think she was more of his ex-girlfriend. I don't really know the story. Who knows.\n\n**Hef:** Sam had been strung out on heroin for at least six months before this happened. When we were living at Madonna Inn, we were constantly trying to get him off of heroin. Not that I have any training in psychology or psychiatry, but I would say he would have been considered clinically insane. You could barely hold a conversation with him, he was that strung out.\n\n**Tom Flynn:** People were mad at him, that I knew. Because they knew her. The band had already broken up, so they were not in good circumstances.\n\n**Sammytown:** I left the apartment that morning and was on the East Coast within 24 hours. I took all the money. There was quite a bit of it. I did slide back into the Bay Area for a short period of time before I went to Alaska. But when I was here, the last thing I was gonna do was go to a punk rock party.\n\n**Paul Casteel:** The scene had died down. A lot of people who had been around, like me and Sammy, we had all gotten into drugs. I can say that about myself. I was a mess then. That whole thing happened without me even realizing it.\n\n**Tom Flynn:** The _Current Affair_ people came to my house, and talked to my roommates. I didn't want anything to do with them. I was in the bathroom, running water, while they were trying to do the interview. And the guy came over and said, \"Don't you know what's going on here?\"\n\nMaury Povich: Dixie Carney grew up in Roanoke, Virginia. Like most other girls, she had a mother who loved her dearly. And a life that should have been full of promise. But somewhere, it went tragically wrong for Dixie. She got involved with the strange world of punk rock music. She followed her boyfriend from a punk band out to California. And it was there she died, according to our reporter John Johnston. And while her mother grieves, the mystery remains, in this punk rock death.\n\n\u2014\"Punk Rock Death,\" _A Current Affair_\n\n**Rachel Rudnick:** They did a two-part series on it. The first one was what he did, and he was at large. And the second one was a follow-up saying he was still at large.\n\n**Jesse Luscious:** He was on the run. And we were like, he's in Kenosha, Wisconsin . . . he's in Alaska . . .\n\n**Gavin MacArthur:** It was unbelievable. But it was sad at the same time, because I knew he was really fucked up. Now he's killing somebody? Ahh shit.\n\n**Sham Saenz:** This is a super-sensitive subject in the scene. Sam McBride is not the first person I've known who's killed someone. Honestly\u2014I grew up in Oakland.\n\nAs I understand, a lot of people had turned their back on him. Dixie Lee was the sweetest fuckin' girl on earth. And basically Sam admitted in a court of law that he asphyxiated her to death with a pillow. That was fuckin' pivotal. A slap of reality that we were not invincible. A lot of us could no longer go and pretend that it didn't make a difference.\n\nSam was the best when I was a kid. And that's why I have to say that I'm kind of still loyal to the guy who was my friend to me growing up. I can't turn my back on him. I remember the guy he was before he started using. And I know what drugs turn you into.\n\n**Noah Landis:** I was used to violence and seeing people go to prison. But I wasn't used to seeing people killed in ways like that. I saw how it affected my friends. How it affected Dave Chavez and Kate Knox and Steve Chinn, who were in the Fang family and in the band.\n\n**Sammytown:** In some ways I thought it might have brought a lot of people together. They started talking more. They probably conversed. There were people who were telling the cops where I was.\n\n**Marcus DA Anarchist:** Kate Knox knew his girlfriend really well and she won't have anything to do with Sammytown. Anytime she sees him, she's fucking raging pissed. And I don't blame her.\n\n**Hef:** Kate is in a lot of ways queen of the scene. And I'm not saying this with any negative connotation, it's just the factual way it is. A lot of people follow her lead, especially some of the younger punks. She said, \"I'm done with him. As far as I'm concerned he betrayed all of his friends.\" She refuses to forgive him. There are a lot of people who are like, \"We don't want anything to do with Sam.\"\n\n**Sammytown:** I ran for a long time. I got a job up in Alaska, working in a screen-printing place in Anchorage. I kicked heroin up there. I knew I couldn't be strung out, on the run. Then I got a phone call, \"They know you're there.\"\n\nI went to the airport and it was snowed in. I waited 24 hours before they could actually start flying out of there again. And that was long enough for the federal marshals to get set up and be waiting for me.\n\nI knew I was busted. I walked in that airport and I just knew. They were pretty slick about it, actually. This middle-aged couple had like fuckin' carry-on luggage and shit. Another guy who was a federal marshal was working at the newspaper stand. I have to give them credit.\n\nAnd then I was back in Oakland, in county jail. I found out who would still talk to me. And who would have absolutely nothing to do with me.\n\n**Bill Halen:** I was living back in Buffalo, and I was watching _America's Most Wanted_ , and they were saying, \"The punk rock singer for the punk rock band Fang.\" And I am like, Sammytown? No fucking way. I got freaked out. I talked to Sammy on the phone: \"What the fuck? How did you land in jail? You really need to be thankful that you have this second chance. Make the best of it.\"\n\n**Sammytown:** I was sitting in North County Jail and _Current Affair_ had the follow-up, after I'd been arrested. I was sitting there in the pod. My public defender had told me that it was gonna be on TV. So I actually made sure to set my watch. I sat there next to some old black guy, we were watching TV. He stood up and said, \"Yo, that's McBride on TV! Come over here, check it out! That motherfucker's on TV!\" That really helped me, you know. 'Cause usually I'm the only white guy in the fuckin' tank. I was in county jail for about 16, 18 months, fighting it.\n\n**Lorraine:** By the time he got arrested, Johnny Puke and I had hooked up. Sam and Johnny were best friends since they were like 12 or something. Somehow Sam got the word on the street. We would go visit him every Wednesday and Sunday.\n\n**Sammytown:** They finally offered me an 11-year manslaughter deal and I took the deal. Went to San Quentin, was in Soledad for awhile. Very few people came to see me while I was incarcerated.\n\n**Hef:** Sam and I would write each other. He would call me sometimes from prison. The first time I talked to him, he said, \"I didn't do it.\" And I said, \"Sam, you know what? Everybody knows that you did it.\"\n\nThe next time he called me up he said, \"Yeah, okay, I did it. I'm sorry. It was an error and I realize there's nothing I can do about it now. It's done. It's not like I can bring her back to life.\" He sounded like he was sorry. Probably for a whole bunch of reasons, including his life. But I never got the feeling that he was totally repentant.\n\n**Jimmy Crucifix:** These people made these flyers, \"WANTED: Sammytown.\" They put 'em up in Lennon Studios. I tore 'em down, I just thought it was ruthless. When there's drugs and alcohol involved, who knows? You could have been in that position.\n\n**Sammytown:** I was gone from '89 to '96. I was in Soledad when Nirvana started getting radio play. I heard them on the radio, it blew me away. And then Rancid. Tim and Matt were in Rancid\u2014they were little kids! I was hearin' it on the radio, it was awesome.\n\n**Toni DMR:** As far as I'm concerned, he did his time. Shit happens if you're a junkie. If you're going to mess around with that shit, that's the fucking risk you're going to take. I feel really bad about what happened, but I wasn't there.\n\nThe last time I had seen him was at an NA meeting that Pat Tidd dragged me to. Sam was there, and I was like, \"So Sam, did you do it?\" \"Oh, I can't talk about it.\" And I was like, \"That's okay, I don't fucking want to know anyway.\"\n\n**Lenny Filth:** People bitch about the time he served, and to me, it's like he served his time that our judicial system gave him. You don't ask for more because you did something wrong. You take what you get. He didn't get out early, he did his fuckin' time. What's he supposed to do? Ask to stay?\n\n**Mike Avilez:** Back then I was living in L.A. I didn't know about the murder until I moved up here. I was working at Rasputin Records in early '96 when he got out of jail. He came in with long hair, looking like a biker and fresh out of prison. And he said, \"I'm trying to find a band called Green Day that covered one of our songs.\"\n\n**James Washburn:** Green Day covered a few Fang songs. Courtney Love sent Billie Joe all of Kurt Cobain's Fang albums, 'cause Billie's from Oakland. Think about how influential Nirvana was, and then look at what was in his record collection. Fang spread that far. Fuckin' badass band. With a dude that did some weak-ass shit.\n\n**Bucky Sinister:** I ran into him in L.A. one time, and he was all like, \"I'm Sammy, I used to play for Fang.\" I said, \"Why would you ever tell anyone that? Everybody knows what you did. People did not forgive you for that. You might have done your time, but people are still mad about that shit. Why don't you just say you're Sammy? I never would have known.\"\n\nHe started getting really defensive and shit. He's not a very big guy at all, and we were kinda getting a little into it. Someone else came over and calmed me down. It was like, \"Dude\u2014I mean, she wasn't my friend, but I still think you're a scumbag. What are you thinking? I don't care if you were on dope or not.\"\n\n**Sammytown:** I tried to get my parole transferred. But they wouldn't let me. They made me come right back to where I got into trouble. I had to reintegrate into society. A lot had changed. Tattoos, Hot Topic. Everything became something else. I do think that it doesn't cost now what it cost us. But the jocks and the rednecks and the assholes are still out there. I started connecting with people who were in the scene. A lot of people were urging me to do it.\n\n**Johnny Genocide:** When he got out of the hands of the California penal system he started playing music again.\n\n**Sammytown:** I thought it was going to be different. I had a booker that was booking us. And then he changed his group of friends and he wouldn't book us anymore. One of the roadies, he had a lot of feelings. And we talked. It was hard. I don't know if it helped or made it worse. But at least we had to deal with it.\n\nYou have to go on. You go to prison and you can still go out and do things. I felt if I had to be here, if they wanted to find me, I'd rather say, \"Here I am. If you got a problem let's talk about it.\" Or however you choose to approach it.\n\n**Johnny Genocide:** People reacted in near-violence, making death threats, picketing the shows, throwing bottles at him.\n\n**Fedge:** I went to the first show back. It was at the Trocadero. They played with the Dwarves. It was a really tense night. People in line were like, \"I want to fuck that guy up. That dude killed his girlfriend.\" Like, do you know the guy? Did you know the girl? No, you're just some 15-year-old kid who heard what his brother said.\n\n**Sammytown:** When I got there George Lazeneo grabbed me and pulled me in the office and said, \"Dude, we've gotten ten death threats for this show.\"\n\nIf somebody's gonna kill me I'd rather see it coming. I'd rather have it happen here, instead of just walking down the street at random.\n\n**Hef:** He got out of prison, he was doing deliveries for a flower shop or something, and a guy who owned an electrical company got him in as an electrician's apprentice. For a blue-collar job it's one of the best ones you can get. He had a wife and two kids and he had this nice job. And he started doing heroin again.\n\nOf course they're now divorced. She moved back with her family in Sacramento. My wife is a totally mellow person, she's not into any kind of violence at all. She heard this and said, \"These people are toxic. I don't want anything to do with them anymore.\"\n\n**Fat Mike:** I saw Sammytown at a show at the Pound and he was like, \"Hey, Fat Mike.\" I said, \"Hey, Sammy.\" And I kind of gave him the eyes down. He was like, \"What's the matter?\" I said, \"My wife says I'm not allowed to talk to you.\" And he said, \"What? I murder my girlfriend, I'm an asshole for life?\" And I was like, \"Well, yeah, that's how it works. You're an asshole for life.\"\n\n**Mike Avilez:** When I got married, Sammy was our pastor and Fang played at the reception. The whole band was onstage and he said things like, \"Do you promise to wear your red wings?\" We did a tour with them in 2004. That's when I really got to see another side of him. It was unfortunate he was still doing drugs at that time.\n\n**Kelly King:** A lot of people still to this day hate Sam McBride. It was a terrible fuckin' thing. And if it was my daughter I would have eventually found him and killed him. But that's his life and his karma and his deal. I didn't see him for a long time and didn't communicate with him. But I never hated him.\n\n**Rachel Rudnick:** I saw him play a couple Fang shows a few years ago in Seattle. They creeped me out. None of the old members were there. All these new guys playing.\n\n**Tom Flynn:** Sam's the only one close to being an original member. I saw them once. And all they played were songs from all those records that I was on.\n\n**Jimmy Crucifix:** I started playing with Fang. There is a whole new fan base, a whole new group of kids. It's weird, man.\n\n**Tom Flynn:** It's almost more popular now than it was. It never really tapered off. As far as CD sales.\n\n**Rebecca Gwyn Wilson:** To this day, Sam is a chick magnet, which I find bizarre. It seems like some girls have this Richard Ramirez attraction to him.\n\n**Aaron Cometbus:** They were around for a decade and didn't spend the entire time killing people, you know? So I think it's kind of unfair, especially to the other band members, that that's all they're known for now.\n\n**Dean Washington:** He has a killer stage presence, and that's what people like. Your band can be lousy as hell, but if you've got a singer with tremendous presence, he'll literally have the crowd by the throat. Hypothetically speaking. Not that he'd _do_ anything like that!\n\n**Tom Flynn:** He seems grown up. He's still a punk but I think he regrets his crime.\n\n**Sammytown:** A lot of the things that were really important, they're still really important. My friends, and the family I choose. Watching out for each other, and taking care of each other. And not buying into society and the bullshit, the fuckin' crap that we get spoon-fed every day. I still question everything. My beliefs haven't changed at this point, and I don't really see them changing. I'll be a punk rocker 'til the day I die.\n**20**\n\n**Dan with the Mello Hair**\n\n**Aaron Cometbus:** The first punk shows in Berkeley were, I believe, at a place called the Dew Drop Inn on San Pablo Avenue, put on by the False Idols. But that was before my time.\n\n**Buzzsaw Bill:** And then we changed bass players, so it was a different band. A different band has to have a different name.\n\n**Jello Biafra:** I kept seeing this name Naked Lady Wrestlers on bills and thought it was a traveling troupe of women who wrestled naked. They even got booked at the Stone. I thought, yeah, this must be a wrestling thing.\n\n**Buzzsaw Bill:** We recognized a lot of similarities. Punk rock is to music what pro wrestling is to real sports. It's a matter of entertainment.\n\nAt the same time, we were watching these wrestlers on TV. It was so cheesy. And yet so entertaining. Of course the wrestling was horrible. But the talk, oh my god. So we were trying to come up with a name for a band.\n\n**Max Volume:** We got it from a sign on Broadway, where it said, \"Naked Lady Wrestling.\" Across the street from Big Al's.\n\n**Buzzsaw Bill:** One of those strip clubs.\n\n**Max Volume:** Our first gig was at the Mab, a big gig with the Dead Kennedys.\n\n**Buzzsaw Bill:** We had our personas. It always pissed Dirk off that we would never be out of character.\n\n**Max Volume:** When we were getting onstage, he said, \"Next up, ladies and gentlemen,\" and then he leaned over to me and said, \"What's the name of your band again?\" And I said very quietly, \"The Naked Lady Wrestlers.\" And he said, \"Next up, the Naked Lady\u2014\" And I started yelling at him in the other mic, going on about how I was gonna plant a shoe factory in his ass and, \"What are you gonna do with the world's greatest guitarist?\" etc., etc., etc. I started yelling about how \"nobody cares about all these bands playing their Campfire Girl chords\u2014we'll dump them like yesterday's garbage,\" etc. That was our first gig.\n\n**Buzzsaw Bill:** The epitome of cool was to play a song, and then go right into the next song, and then right into the next song. And not say anything. So Naked Lady Wrestlers would talk for 15 or 20 minutes, about how great we were.\n\nWe got our music, adapted by Mr. Volume from TV shows. Our stage act was definitely from Georgia Championship Wrestling. We ripped off a lot of the speeches from religious shows.\n\n**Max Volume:** One of my favorite speeches, and this is from the last night of the On Broadway, \"You know, I saw a cheap imitation of the Bolshoi Ballet out there. I want you people to know I don't appreciate dancing at all. Nobody dances on my dime! You wanna dance, you go to a disco.\"\n\n**Buzzsaw Bill:** If a mosh pit would suddenly break out in front of us, we would stop. And proclaim there would be no dancing while we were playing. People needed to pay strict attention.\n\n**Klaus Flouride:** Naked Lady Wrestlers, probably the funniest fucks in the whole fucking thing. The punk community just hated them!\n\n**Johnny Genocide:** Max Volume is the most talented guitarist on the face of the earth, period. This band is one of my top five all-time favorites. They were so ahead of their time, their music went over most people's heads.\n\n**Johnny Bartlett:** The guitarist was this amazing surf guitarist. I talked to the guy, I said, \"Those songs sound so familiar, but I can't really place 'em.\" And he's like, \"Well, you know, our main influence is Hanna-Barbera theme songs.\"\n\n**Jason Beebout:** They'd play the _T. J. Hooker_ theme song, they were really good at that one.\n\n**Max Volume:** It was a great, great TV show theme song. I think people weren't giving it the proper amount of shrift just because it was on TV. There's a lot of anti-television bias in this society. I don't particularly like it.\n\n**East Bay Ray:** People that were too much into punk didn't get that they were punk.\n\n**Klaus Flouride:** They were making fun of them! And people don't like that: \"I'm doing my punk band and this guy's making fun of me. And he doesn't even look like a punk, he's dressed like a goddamn soldier.\"\n\n**East Bay Ray:** Punk's an attitude, not an outfit. Where's the rulebook on punk? Naked Lady Wrestlers were a great punk band, even though they didn't sound punk or look punk. They just destroyed certain preconceptions.\n\n**Buzzsaw Bill:** I think it was the fact that we'd go out there and tell 'em how great we were. That wasn't very fashionable.\n\n**Max Volume:** The guitar solos got on people's nerves, too. Eventually, we started to do drum solos in every song.\n**21**\n\n**Goddamn Motherfucking Son of a Bitch**\n\n**Johnny Genocide:** The Fuck-Ups were always this underdog band. They weren't good looking, didn't care about writing trendy songs or what people thought of them. They were the essence of the punk spirit.\n\n**X-Con Ron:** My favorite Bob Noxious story: They were at the On Broadway, Bob was up there onstage lecturing the crowd, giving them shit. Leslie, his girlfriend, came up and said, \"Oh, shut up, Bob. You know you like to lick my pussy nice and clean all night long, so shut up!\" He just turned beet red. It was one of those punk rock moments.\n\n**Al Schvitz:** \"Lick the pussy clean.\" That's the real deal.\n\n**Bob Noxious:** Everyone would ask us, \"Where's the Fuckettes? Did you bring the Fuckettes?\" They loved it.\n\n**Jimmy Crucifix:** Victoria and Leslie. French girls. Very scary.\n\n**Bill Halen:** They were sisters. Little girls with leather jackets. If anybody bumped into them, they would kick them in the shins really hard.\n\n**Bob Noxious:** If you went to see the Fuck-Ups you didn't know if we were gonna be drunk or if we were gonna start a fight on the first song. All the politically correct bands didn't like us. We did everything we could to be bad. Fuck, got our name in the paper, you know?\n\nI grew up in Mountain View, California. For lack of anything else to do, we'd go up to San Francisco and eat acid and go to these three-dollar shows that had the Dils and the Avengers and the Zeros. The first time I saw the Dead Kennedys was for like a buck down at the Temple Beautiful. I just fell in love with it. We cut our hair. We started a band called the Undead with Joe Dirt, and went up to the city one night to play a show at a gay bar. I never went home.\n\nJoe Dirt was in Society Dog. He came up with the name Fuck-Ups and I thought it was the greatest name ever. I have it tattooed 11 or 12 times all over my body. It's just a little hard to get into a kiddie pool, you know, with my kids.\n\n**Leslie Fuckette:** We grew up in a nice little house outside of Paris and went to terrible nun school for 12 years. My parents uprooted us and moved us to the States when I was almost 18.\n\nWe became the Fuckettes because the Fuck-Ups were playing the Sound of Music in the Tenderloin. You had to be 21 to get in the show, unless you were in the band. So we did backup vocals on one song.\n\n**John Marr:** The Fuckettes traveled in groups of three. One totally drunk and two supporting her.\n\n**Leslie Fuckette:** Me and my sister Victoria and our friend Virginia. We all lived together with Bob. We didn't want to work so we collected GA.\n\n**Dave Dictor:** There were a bunch of scams you could get by on in San Francisco. General Assistance was one. You could clean buses four days a week for the city. For 25 hours a week. They would give you $310 to $312 a month, and then you could get food stamps on top of that.\n\n**Leslie Fuckette:** We all lived in a van for awhile, then we lived in a storefront on 18th and Guerrero. There was no hot water, no kitchen.\n\n**Bob Noxious:** Leslie was my girlfriend and pretty much the ruler. She was like four foot eight\u2014very small, very frail build, but tough. Her sister was considered the cute one 'cause she'd get really dolled up. Virginia was considered the butch one 'cause she was a little overweight and cut her hair really short. So we had the brains, the brawn, and the ugliness, you know? But they were real good people.\n\n**John Marr:** I always thought the Fuckettes were the San Francisco equivalent of the DMR, only rougher.\n\n**Fat Mike:** That's what was different about San Francisco. There were girl gangs up here. There were more girls fighting here than in L.A., or anywhere I'd ever seen.\n\n**Rachel DMR:** We respected the Fuckettes. San Francisco was their turf.\n\n**John Marr:** They all became closely linked with the skinheads.\n\n**Marc Dagger:** The first time I met Bob Noxious he was fucking drunk and he was walking down the street, singing to himself, and bouncing off the walls. I thought he was the coolest motherfucker I ever met. He always had awesome wrist bands. He made them and sold them around the scene.\n\n**Bill Halen:** I did the stage at the Elite Club for Public Image, and the place was just packed. People from all walks of life came out, but most of them stayed in the periphery. Because when the pit started rotating, Bob Noxious was out there raking faces with his studded armbands.\n\n**Marc Dagger:** He would make spikes that were razor-sharp. Even if you just bumped against somebody, you were going to rip up their clothes. We were told to take off our gauntlets in the pit 'cause they just caused too much damage.\n\n**Dean Washington:** I remember leaving the Mab and this El Dorado pulled up to a red light, and Bob looked over and said, \"The gorillas got a night pass,\" or something like that. A night pass! Before you knew it, these five gangster goons from Big Al's Strip Club were on our back. And we were as big as toothpicks. So the chase began, from Broadway and Montgomery all the way down to the bus depot. Then all of a sudden Bob flung himself in front of a Muni bus. The bus screeched to a halt right before it ran him dead over. When it pulled off again, we saw Bob onboard waving and smiling at us. It was just unbelievable.\n\n**Bob Noxious:** I was never good at fighting. If I got in a fight I would get beat up. Unless it was fuckin' five on one or something like that, I almost always lost. It was still fun. It was better than going to see Poison or something like that.\n\n**Ian MacKaye:** I quite liked the Fuck-Ups. I thought the record was good. But they took deep offense to Minor Threat. We did a show at the Tool & Die and somebody set off four strings of firecrackers. That little tiny room was just filled with smoke and noise. I had my soda onstage, and I remember going to pick it up, and it was heavier than when I put it down 'cause one of their crew had spiked it. For them, it was a joke.\n\n**Bill Halen:** One night Jimmy and I went to see 45 Grave at the Elite Club. And there was Bob Noxious. I hit Jimmy on the shoulder and said, \"What is Bob doing up there, man? He's up to no good.\" So Dinah Cancer came out and started singing, and the next thing I knew, Bob came running across the fucking stage and she went flying out into the crowd. She was unconscious, lying on the dance floor. A couple of bouncers grabbed Bob, punched him, and kicked him out.\n\n**Bob Noxious:** I picked her up and jumped off the stage. It was like a stage dive with the singer.\n\n**Bill Halen:** She was just lying there. A player for the band jumped out and took her in his arms. I was like, \"Oh my god, Bob, what the fuck?\"\n\n**Bob Noxious:** I got really drunk and I just happened to go out that night. I vowed to kick anyone's ass who came from an out-of-town band. That's what kicked all that off.\n\nIf anybody came from L.A. we'd fuckin' do something to sabotage their set. I remember seeing the Circle Jerks at the Savoy Tivoli and they were the greatest thing I'd ever heard. They just ripped, man. And bands like Agent Orange and fuckin' Social Distortion. How am I supposed to hate those guys?\n\nBob Noxious with Virginia and Leslie Fuckette at the Tool & Die\n\n**Klaus Flouride:** They were so nihilistic, it was sort of absurd. They said they had it out for us and, specifically, Biafra.\n\n**Leslie Fuckette:** We were the real punk rockers. The Dead Kennedys were more poseurs, frankly.\n\n**Ian MacKaye:** I was attacked onstage. We came back to do a show at the On Broadway in '83, it was us, 7 Seconds, and maybe MDC. While we were playing, I was blindsided by a bald person. Two of them, as a matter of fact.\n\n**Bob Noxious:** Leslie had really short hair and the way she wore her clothes, she looked like a little guy. She walked up onstage and he started punching on her, thinking she was a guy. So I went onstage and started punching on him.\n\n**Ian MacKaye:** Bob had told that woman that he would tackle Dinah Cancer of 45 Grave, and he did. And so in return, she was gonna do the same to me. But she didn't get me off the stage. I ended up basically slugging it out with two of the Fuckettes and Bob. Onstage, in front of like 1,500 people.\n\n**Bob Noxious:** That, uh, got a little bit of press, but not that much.\n\n**Leslie Fuckette:** Sure, the Fuck-Ups had a reputation, but so did Sick Pleasure, Verbal Abuse. So did all those guys.\n\n**Bob Noxious:** We always played with Urban Assault, Sick Pleasure, Code of Honor or Verbal Abuse. The tour we did with Verbal Abuse was probably the best one. Nicki had it all mapped out, it was a really good experience.\n\n**Dave Chavez:** We went on tour for four and a half months. Our driver was Bob Noxious. It was so awesome. We'd get to towns, and because of the Tim Yohannan-Bob Noxious feud that was going on in _Maximum RocknRoll_ , he was more famous than we were.\n\n**Bob Noxious:** Tim Yohannan didn't like us at all.\n\n**B:** Basically, a lot of people who listened to us at first . . . you can't judge a book by its cover. And people, when they first heard our record, they thought, basically, that \"White Boy\" was a racist, anti-black song. What it is\u2014it says right in the song\u2014\"White Boy, you're a minority,\" and that's how we feel, you know. The San Francisco punks, which is what we're singing right here, is there's not too many of them and they've got to unite. I think that's basically what the song says.\n\nMRR: It also says, \"White boy gonna get a gun, white boy gonna kill.\" What's all that about?\n\nB: That's the anger built up deep inside everyone. Some people are gonna relate to that; some people jump right off and say, \"Well, hey, you know, what is this? This is wrong to say things like that.\" Well, you know, you go to war, fuck, you're gonna have a gun. That's just a bit of anger in all of us, I guess. Everybody lets it out.\n\nMRR: That anger inside of you, where does it come from?\n\nB: Mostly, just being oppressed as in a sense of, I'm not a boat person, where I've got to come to another country. It's like, you take a lot of shit in your life, and you wanna do what you wanna do, and that's the way I feel.\n\n_\u2014\"Bob Noxious of the Fuck-Ups,\" Tim Yohannan,_ Maximum RocknRoll _8, 1983_\n\n**Bob Noxious:** We were blacklisted. \"White Boy\" was a song about walking around in the Mission District, being the only white boy, and always gettin' yelled at, spit at. Tim Yohannan said, \"If it's not a racist song, why didn't you call it 'Punk Boy?' \" Well, 'cause \"Punk Boy\" sounds gay.\n\n**Dave Dictor:** The Biafra-Tim Yohannan world really didn't know what it was like to live that way. They would say, \"Those guys act racist,\" and I'd say, \"Sometimes they have a racial attitude but it's not deep.\" It was like, you get jumped by people coming back from the soup kitchen or some girl gets threatened in an alley, and something gets ingrained in you, this tough thing.\n\nFood stamps were 85 percent African-American. We were in the city fighting for that piece of cheese with these people. To them, we were cutting in line. The food stamp workers weren't much more sympathetic\u2014\"You're a white kid from the suburbs. Why don't you go home to your momma and finish your college and get a real job?\" We had to deal with prejudice on that level.\n\n**Bob Noxious:** I was hanging out with skinheads and people that were affiliated, but I never joined. I was always an independent.\n\n**Dave Chavez:** Before he got involved with any of the skinhead people, he was just Bob, a drunken, white-trash kinda guy. I think that was all a front, that whole thing.\n\n**Bob Noxious:** I lost a lot of friends. It was such a waste. Sean died of AIDS, alone and basically homeless. He was always into shooting up and screwing all the girls. Really unsafe.\n\n**Leslie Fuckette:** The drummer Craig had a melanoma on his neck, and three months later he was dead.\n\n**Bob Noxious:** A lot of people OD'd, just went out and never came back. It happened to me a couple of times\u2014I'd turn blue and people would have to walk me around and throw me in the fuckin' bathtub full of ice. I met my wife in Boulder Creek. When her mother died and left her a bunch of money\u2014like over $100,000\u2014we did it all. So when my mother died, I said, \"Take the money. I already spent all of yours.\" She bought the house, so now I can go piss on my own lawn if I want to.\n**22**\n\n**High Priest(s) of Harmful Matter**\n\n**Dave Dictor:** It was spring, summer of '82, the first issue of _Maximum RocknRoll_. I was on the cover.\n\n**Ruth Schwartz:** Issue Zero was the one that went into the double album, _Not So Quiet on the Western Front_. It was Jeff and Tim and a few other people that published that first one. They had a blast, so they just did another one.\n\n**Jello Biafra:** One thing that really impressed me about Tim was that, unlike most people in the scene, he was organized. If he decided something was going to be done, it got done. \"Let's expand the radio show into a magazine.\" And it didn't just become a magazine, it became a magazine that came out on time every month from day one, instead of a few sporadic issues for ten years. He was very good at that.\n\n**John Marr:** _Flipside_ would come out maybe once or twice a year depending on their mood. _Search & Destroy_ only lasted 11 issues. _MRR_ came out every month. And is still coming out.\n\n**Jeff Bale:** 20,000 circulation. Something along that line, worldwide. And it was coming out like clockwork.\n\n**Ray Farrell:** It was a natural development because Tim was getting so much coming from people. Bands that had played through that town, they'd go back to their town in Kansas or Corpus Christi or wherever it is, and they said, I wanna be able to do something here. Even if it's a real small-time version of it. _Maximum RocknRoll_ gave the impetus to a lot of bands around the country, to create their own thing going on. I thought it was great.\n\n**Murray Bowles:** I would meet Tim at shows and he would buy pictures from me of whatever happened a week or two weeks ago. And then use those in the magazine. I carried around old boxes of photos with me at all times. I just took whatever was recent and printed up the good stuff.\n\nMaximum RocknRoll #1 featuring Dave Dictor of MDC\n\n**Ruth Schwartz:** We wanted to change the world. We wanted to spread DIY attitudes, and we wanted the people to rise up against their oppressors and party! And do right and do better. Everything that was published in the magazine was about that. It was what punk rock was all about, makin' noise and bein' crazy and changing the world every day. Without letting corporate culture have its way on us.\n\n**\"SCENE REPORT BAY AREA\"**\n\nBands in the Bay Area continue to multiply faster than we can  \nkeep up with, and here's how it adds up. In San Francisco proper,  \nthe most popular bands in the punk-H.C. scene seem to be the  \nDK's, Flipper (probably much to their chagrin), Code of Honor  \nand MDC. All have albums out by now (as has the Lewd, whose  \npresent status is in limbo). Up and coming bands include Bad  \nPosture, Fuck Ups, Domino Theory, and Free Beer (ex-Revenge).  \nOther newer bands these days are Juvenil Justice, 5th Column,  \nand Urban Assault (not the So. Lake Tahoe gang). No Alternative  \nreformed, War Zone mutated into Vicious Circle, with Jeff joining  \nremnants of the Fried Abortions to form Lennonburger. Impatient  \nYouth still exist, but rarely play. Arsenal is off to the U.K. to  \nrecord for Crass, and the Undead are rumored to have had stakes  \ndriven through their hearts. The Tanks, Hellations, GOD, and  \nWild Women of Borneo all have something in common. And then  \nthere's the Pop-o-Pies, who trucked here from New Jersey.\n\nThe East Bay scene has finally come alive, as have all the suburbs. The demographics of the scene show a shift to the outlying areas, and a constant drop in the average age. We have no accurate statistics on any possible drop in I.Q. Crucifix, now veterans, are joined by Deadly Reign, Intensified Chaos, Fang, Ghost Dance, and Shut-Up. From the North hail the great Naked Lady Wrestlers (formerly the False Idols), Pariah, Karnage, Demented Youth, and UXB. And from the Eastern fringe, Social Unrest continues to hold sway, although they too hardly ever perform. They are joined now by Vengeance, Anti-Social, and everybody's favorite most-hated band, Church Police. And the Southern flank is brought up by the Afflicted, Whipping Boy, Killjoy, and PLH. I'm sure that by the time this paper goes to press, there'll be 10 more new ones, but next issue for them.\n\n_\u2014Tim Yohannan,_ Maximum RocknRoll _1, July 1982_\n\n**Sheriff Mike Hennessey:** It had very small print and was very hard to read. But it was a great way to find out about other groups. I remember as a result of _Maximum RocknRoll_ , going to see DOA, who I ended up really liking.\n\n**Klaus Flouride:** Their magazine was so obsessive-compulsive, as much type as you can fit in a small place.\n\n**Jeff Bale:** A lot of people didn't like us because they thought we were too opinionated. They didn't like our politics. We didn't like their bands. We had a lot of power in the punk scene. If we liked something, it became hugely popular. If we gave a band a bad review, that band might have gotten popular anyway, but we really hurt them a lot. It wasn't like we were trying to hurt people, but we were expressing our honest opinions.\n\n**Tim Tonooka:** Tim Yohannan was a nice guy, with good intentions. He was deeply concerned that kids might think incorrect thoughts unless they were provided with carefully selected correct information. The idea of someone setting themselves up to be a self-appointed authority that needs to do other people's thinking for them\u2014because left to their own devices, those other people might come to the wrong conclusions? The underlying mentality is elitist and condescending.\n\n**Jeff Bale:** Me and Tim lived in a house in Rockridge in North Oakland. We had lots of visiting bands staying there, so we might've left a bedroom open so people could crash there. A house full of albums, and in my case, books, and that's pretty much it. A stereo. The magazine was made in the house.\n\n**John Marr:** At one point they almost filled the entire three-flat building. Two roommates upstairs, two roommates downstairs, and then two big rooms to use for the magazine. It was like a little bustling economy.\n\n**Jeff Bale:** A ton of people have been shitworkers over the years. That was Tim's idea. He didn't want to call them slaves, they were basically people who volunteered. And so the term \"shitworker\" just seemed like a funny punk way of expressing that. Tim and I were volunteers, too.\n\n**John Marr:** I did it for three years. I don't know if this is a secret or not, but shitworkers got paid. If you were showing up every week, Tim would give you 20 bucks a month to cover your car-fare and stuff.\n\n**Jeff Bale:** The other cool thing is we'd turn bands on to other bands. Like DOA'd be stayin' at our house and we'd turn them on to the Pagans, this punk band in Cleveland they'd never heard of. We had listening parties and we were playing records all the time.\n\n**Kamala Parks:** A girl I went to high school with said, \"Oh, do you want to go do some work on _Maximum RocknRoll_?\" And I said,\n\n\"You can just do that?\" That was such a bizarre concept to me. So I became a shitworker, doing things like the layout. They'd have food, so that was the other draw. I was a scene reporter for awhile.\n\nWhen I lived with my father our phone number ended in 7588. One day I figured out it translated to \"SLUT.\" I would tell people, \"525-SLUT, that's my phone number.\" Someone was writing up my scene report one day and they said, \"What's Kamala's phone number?\" Tim said, \"Oh, it's 525-SLUT.\" So it got printed, and I got some really weird phone calls that month from perverts.\n\nAt a certain point, I stopped going to as many shows in the Bay Area because my mother had moved to Sacramento. Tim was like, \"Well, you can't be the scene reporter if you're not at the shows.\" And he basically fired me, as much as one can be fired. So there was a certain unilateral decision-making that was going on under this coat of \"Aren't we this collective, great thing.\" Tim was in charge, essentially, and what he said went. I understand in another respect, because coordinating people to work for free is not an easy thing to do, and you have to be tough.\n\n**Tom Flynn:** There was a real struggle with trying to run it as a communal magazine. But overall, he was a dictator. I wish he had just admitted that.\n\n**Kamala Parks:** I felt like there was more of a purpose to it. But it had its flaws. Why do people keep coming away with this bitterness about their volunteerism? Because Tim modeled _Maximum RocknRoll_ and all these other enterprises on his incredibly cushy position of being able to earn a full-time wage while working very few hours. For most of us that's not possible, to work at a part-time job, and live.\n\n**Jeff Bale:** We started sponsoring gigs at the Mab. We had DOA. 7 Seconds would come down from Reno.\n\n**John Marr:** Dead Kennedys played one of the shows. A bunch of Midwestern hardcore bands played. We were very adamant about these being all-ages shows. It started at six and was over by ten.\n\n**Jeff Bale:** We really felt like we were bringing people together, and catalyzing and stimulating an international punk scene which had previously been pretty separated, in many respects. We exposed unknown bands and unknown scenes and unknown magazines. If there's any justice in the world, 90 percent of the world's punk rockers would be thanking _Maximum RocknRoll_ for all the shit we did for them.\n\n**Dave Dictor:** Tim was a very passionate person. He had so much energy to get the scene going. A lot of things we take for granted. Not to say that punk wouldn't have succeeded without him, but the magazine just became this focus. It set up all these networks, and became this intelligent voice, to crystallize the punk anger and frustration\u2014and \"Why are these young people doing all this crazy stuff?\"\n\n**Jello Biafra:** From the beginning, all the record reviews had addresses in 'em. I would frantically write off to anybody whose record I'd never seen, to see if I could get it off 'em. It was especially exciting when we got something from a foreign country. People started finding out they could get a review in an American zine if they sent their records to _MRR_. And it worked beautifully. We keep in touch with many of those contacts to this day.\n\n**Jeff Bale:** Somebody would write from Brazil and say, \"Here's the scene going on,\" and we would publish it. So everybody would know about Brazil.\n\n**Jello Biafra:** Scene reports started coming in from countries only Dead Kennedys had visited, like Finland and later Italy and Holland. Those were the first places where people actually got the American hardcore thing.\n\n**Jeff Bale:** By virtue of even publishing these things, we created this whole synergistic network of exchange. We expanded the punk rock scene in the Bay Area and all over the fucking world by a factor that I would say is incalculable.\n\n**Jello Biafra:** These scene reports would be peppered with that country's politics. You could learn how strong the squatters' movement was, and how successful it was on the European continent. Another report would come in from Italy where the local city government actually shut down a squat using tanks! Sometimes you would also get reflections by people from Europe who had visited the U.S., and came home and detailed how shocked they were at the homeless population in \"rich America.\"\n\n**John Marr:** Tim completely dominated the magazine, especially in the early years. He was the one who worked the hardest. It was very much his political vision. He had worked on this magazine in the '60s called _All You Can Eat_.\n\n**Jeff Bale:** Tim was a communist, that's just a fact. Like all communists, he was a great organizer. He was really into Maoism. He became a Maoist in '71, and always sort of retained that. Tim was a very smart guy, very intelligent, but he kind of stopped reading about politics in a serious way by the early '70s. He had what I would call fixed political ideas.\n\n**John Marr:** Tim was a ferocious competitor. Every Wednesday night for years, Tim played Risk. I think there may have even been an NPR or alt-weekly piece on the Risk game. It was this real big thing. If the Sex Pistols had played on a Wednesday night, they probably would have said, \"No, sorry, we gotta play Risk.\"\n\n**Martin Sprouse:** The Risk game wasn't some youth revolutionary, political party type of thing at all. People have the wrong impression. That guy had his politics, but he was way too anti-authoritarian to be part of anything.\n\n**Larry Livermore:** He was shorter and louder-mouthed than I expected. When he found out I lived in Ann Arbor, the main thing he was interested in was if I had this extremely rare record called \"Just Like an Aborigine\" by the Up, who were the third band of the MC-5\/Stooges trio that worked with the White Panther Tribe. And I thought, \"Geez, he's just a dorky record collector.\"\n\n**Fat Mike:** Tim Yohannan was always kind of weird. I went to Sizzler twice in my life, in San Francisco. Both times I went, he was there.\n\n**Aaron Cometbus:** Tim had annoying qualities, but they were not the ones that everyone assumed from their ideas about _MRR_. Tim didn't read, as far as I could tell. He didn't eat vegetables. And I never once saw him at a demonstration.\n\n**John Marr:** _MRR_ made pretty good money. There was a waiting list for ads. Tim thought it was important to keep the advertising rate somewhat low. Tim was not in it for the money. But Tim benefited from it by being the publisher. You had the home office. The magazine eventually owned a car. But it wasn't like using money from a 1\/16 ad from this little western Massachusetts hardcore band to fund his summer vacation to Barbados.\n\n**Sheriff Mike Hennessey:** I'd run into him at Giants games. He was a Giants fan, and I can recall being out there with my daughter, who was nine or ten at the time, and seeing Tim Yohannan. I said, \"Samantha, I want to introduce you to a real punk rocker right here.\"\n\n**Frank Portman:** I was totally shocked to hear he actually agreed with my contention that hardcore was not as good as non-hardcore. Because he championed it. His reason was political. He had this clearly delusional but sincere idea that since that was what was happening, you could use it to bring the youth into this force, to gather the threads of the old counterculture and eventually overthrow the government.\n\n**Ian MacKaye:** When I first met him, I didn't get the sense that he's an all-ages show kind of guy, but I think what Tim started to recognize is that the punk energy that he really had an affection for, felt connected to, was something that was ultimately what the kids were up to.\n\n**Noah Landis:** He was really excited about young people doing new things in music. The way the East Bay punk rock scene started to grow\u2014he was more thrilled than anyone to see that kind of stuff, and he jumped right in the middle of it. He spoke truth to power. He was the first person I met who was all about finding and making and taking advantage of the pathways of communicating the right shit.\n\n**Rachel DMR:** Tim didn't like us. I remember him being a little softer toward us as he got older. But he never said hello. We didn't fit into his mold, the activist punk movement\u2014the vegetarians, the peace punks, the people that were thoughtful about what they were doing.\n\n**Toni DMR:** Rachel and I didn't buy into that whole intellectual fucking crap. We'd spent our whole childhood surrounded by the upper echelons of academia. We didn't watch TV. We were well read. So fucking what?\n\n**Carol DMR:** I spent the night at the _Maximum_ house with this band, Vicious Circle. When Tim found me in the house that morning he flipped out: \"There's no girls here!\" We didn't do anything.\n\nWe went to _Maximum RocknRoll_ shows and they went to our shows. Ruth was always cool, Jeff Bale was rad. But Tim, our whole presence must have bothered him. The women that he always dated were modelesque, mousy girls. They were always really younger than him.\n\n**Ruth Schwartz:** He was an old fart. He'd end up trying to date 20-year-old women and we'd be like, \"Tim, how are you going to meet women your own age?\" And he'd be like, \"I don't know! I'm only around 20-year-old women! I don't know what to do.\" I just used to feel sorry for him.\n\n**Dave Dictor:** Couple times Tim helped us out, with thousands of dollars. We got arrested in Canada. They charged us with \"weapons dangerous to public safety.\" Which meant we had a crowbar in our car. They were trying to say that we were thuggy youth going around with shaven hair, with pipes and clubs in a van, creating menace. It was a two-year sentence. They had charges on my bass player and my guitar player. The bail was $2,000 each.\n\nI left the police station in shock, like, \"How am I gonna get $4,000?\" Went to the house I was staying at, the promoter and the people that were hosting us, and started making calls. To raise $4,000, you find out who your friends are very quickly, in 1982, when you're in a punk band in Canada and half your guys are in jail.\n\nI called my mom, she sent me $1,000. And I got some money from Ruth Schwartz, from Mordam Records. But I had nowhere else to go. So I called Tim Yohannan. He sent me $2,000. And he wasn't rich at the time. _Maximum RocknRoll_ grew into whatever, but at the time it was a lot of money. We ended up paying it off. We nickel-and-dimed half the money back, and then he let it slide 'cause the magazine started taking off. That was very, very cool.\n\n**Chicken John:** I got Tim Yohannan to send me $300. It was during the first Circuss Redickuless tour. I just called him from the road and I was like, \"Tim! I'm dying out here. Got any money? I am totally fucked.\" He sent it to the club in Atlanta. It was like a FedEx pack with 300 one-dollar bills in it. Not even in a bundle, just stuffed into this FedEx pack.\n\nMartin Sprouse: I grew up in San Diego. Pat Weakland, Jason Traeger and myself started our own fanzine called _Leading Edge_. I was writing scene reports for _MRR_.\n\nI came up here for the very first time to visit in '84. I was 18 at the time. We stayed at the _Maximum_ house. Jeff Bale and this woman Erica lived there. Jeff was drinking Coke and listening to Twisted Sister. He was trying to say they were punk. Painful!\n\nWe'd been reading the magazine since the second issue. I remember how thick it was. Seeing politics and punk, done pretty smart, and also seeing a dead guy laying in front of Bechtel in a suit, with a flag over him\u2014I was like, \"Fuckin', that's great!\"\n\n**Aaron Cometbus:** They tried to get a ton of punks to show up outside of Bechtel for a photo shoot for the _MRR_ cover. Only one did, so they took a picture of him lying down, draped him in an American flag. Pretty smart.\n\n**Ray Farrell:** The magazine and the radio show were like the entry points. For many kids, punk may still be a rite of passage for them. They get into it, they maybe have difficulties with how their parents are raising them. A lot of those basics\u2014how you take care of yourself, how you find a way to be happy without a lot of the trappings of a capitalist society\u2014that's a lot of what _Maximum RocknRoll_ helped kids to start to understand.\n\nThe hippie movement was certainly not successful in that. The message I remember as a kid was that it was a freeloaders' society. Whereas punk rock was more like, there's a working-class system in place, and you have to think about what you have to do to survive. _Maximum RocknRoll_ made it more fun, because the message by itself is kind of depressing. Punk lowered the age when you start to get disgruntled with everything. It used to be, life is shit after 17 years old. Punk rock brought it down to 13.\n\n**Kurt Brecht:** We found it at a punk rock record store in Houston. _Maximum_ was like our bible. It was our connection with the worldwide punk scene.\n\n**A. C. Thompson:** Everyone across the country was reading. In 2006, I wrote a book about the CIA. It's a direct link to something I started researching in eighth grade, because I read Noam Chomsky in _Maximum RocknRoll_.\n\n**Andy Asp:** _MRR_ was sort of the Internet of its time for punk rock. In Humboldt we were really isolated. But I sent records to Mexico City punks. I got letters from Croatia. To be a punk in Yugoslavia or Colombia back then, writing letters was pretty ballsy.\n\n**Lenny Filth:** You could order records that you couldn't get in your normal stores. You could see interviews from bands across the country, or across the world. It gave you an opportunity to read about what other people are thinking, someplace else in the world. Why they started playing music, and what they're doing it for.\n\n**Adam Pfahler:** When _Maximum_ got a little bit older, the columnists were starting to get into it with each other. People were always getting mad at each other up here about something. Calling bands out, calling each other out.\n\n**Ian MacKaye:** The letters section was such incendiary, squalid gossip. It was a total pissing match. The columns were maddening. I can remember being really infuriated by things.\n\n**Audra Angeli-Slawson:** You either read it or you went to your local record store and bothered the shit out of the poor guy behind the counter about every stupid little thing.\n\n**Rebecca Gwyn Wilson:** I had seen _Maximum_ in Hawaii. It reminded me of Dr. Bronner's soap and the _Oxford English Dictionary_ , because you needed a magnifying glass to read it. At first I was intimidated because I thought, \"Wow, these people are really smart, and socially conscientious.\"\n\n**Chicken John:** At the time, the scene reports were all written very, can I say, laconic? It was just like, \"This band played and then this band played. They rocked. Da da da. This band is not punk rock so therefore they are kicked off the island. And then we all danced around. Blah blah blah.\" It was dumb.\n\nI started writing New York scene reports that were like stream-of-consciousness creative writing. I'd turn in 1,500 words about driving around New York in the Letch Mobile, this ridiculous old Pontiac station wagon covered in graffiti and food. Bugs buzzing around it. Shit like guitars screwed to it. The Letch Mobile\u2014smell it while you can.\n\nTim would send me these little postcards. They were so Tim Yohannan. It's like, _Maximum RocknRoll_ , the fun punk rock music magazine where everybody has colored hair and STDs! And here's the fucking leader of the movement, right? The guy who's in charge\u2014his postcard is a blank gray piece of paper with a computer-printed _MRR_ label on one side, and on the other side he's written in pencil, \"Hope you don't mind editing.\"\n\nI still have every fuckin' issue. That and my collection of soiled GG microphones. They're in the same box.\n\n**Blag Jesus:** There was not much punk rock in Chicago. We had heard about that magazine and we followed it, and so we went out there and played our music on the radio show. There was ten other bands standing there, and they all wanted to play their music.\n\n**Fat Mike:** In '84, I went to Italy with my dad. He went on business. I brought my _Maximum RocknRoll_. When I was in Italy, I found a guy who was in Florence, and I just walked up and knocked on his door. I got his address from the scene reports. \"Hey, I'm a punk rocker from America.\" His name was Stefano Bettini. So we had some beers and I taped some music, and his band was playing the next night. And I got to see a basement show in '84 in Italy. You could do that back then.\n\n**Mike LaVella:** My band did one tour, we made it to California. We went to the _Maximum_ house, and I was like, \"This is it?\" In my mind I guess the house was gonna be like some condemned building. We went in, and Tim interviewed us. Everybody was so nice. Ruth was like, \"This is where you get a cheap burrito.\" We were literally like, \"What's a burrito?\" The only time I ever heard of a burrito, there was one in the _Bad News Bears_.\n\n**Jennifer Blowdryer:** Tim Yohannan was a big fan of the Blowdryers, and so when my first book came out, he approached me about writing a column. I was like, sure. No one ever gave me opportunities. Tim said something about how I was more grounded in writing than in person, and that kinda hurt my feelings a little bit. But he loved to laugh. He always had a big smile, he liked chaos.\n\nWhen I would travel, the one or two nutty people in town would know me. I'd be in Chicago doing a Smutfest, and some schizophrenic would say they knew my name from _Maximum RocknRoll_. It was more global than anything else I'd ever engaged in.\n\nTim had a theme issue for April Fool's Day, where the columnists all made fun of each other. I wrote a column as if I was this girl Katie O'Dowell. She got in the office and read mine before I could read hers and then wrote a super-mean one to me. I was like, \"I don't wanna be part of another sick family, and this is sick shit. I'm outta here.\"\n\n**Bill Michalski:** When I lived in Baton Rouge I used to take photos at shows all the time, and I thought, \"Oh, this'll be great. I can work for _Maximum RocknRoll_.\" But very shortly after moving out here, I realized how cliquish it was. And how exclusive, and what a cool-kids club it was. I really didn't wanna have anything to do with that.\n\n**Bill Schneider:** I'd read _Maximum RocknRoll_ while I was in L.A. but it seemed like it was on another world. It was kind of intimidating. It really wasn't until I moved up here, and then all of a sudden it had a face. You were sitting there in a meeting with Tim Yohannan and all the people who had articles you'd read. And everybody was arguing about whether the toilet paper was recycled enough times. You were like, \"Wow, this is cool!\" It seemed real, and it felt like it was mine.\n\n**Ben Sizemore:** I was in this band Econochrist and we were from Little Rock, Arkansas. Basically we all just wanted to leave the South 'cause it sucks there. Once you figure out there's not a wall around it, you're free to go. California had this kind of allure, the Bay Area in particular. We saw _Maximum RocknRoll_ and we loved all these bands, like Christ on Parade, MDC, Crucifix, the Dicks, the Offenders, stuff like that. We knew some of those bands from Texas, like MDC and the Dicks, had moved to San Francisco. So we were like, \"We could fuckin' just move to the Bay\u2014those guys did it.\"\n\n**Greg Valencia:** In Santa Fe, there was nothing to do. We were on our way to jail. We all broke into houses for money, did stupid, stupid shit. A couple of the other dudes that I looked up to had _Maximum RocknRoll_ around. It opened up a whole new thing to me. Interviews, everyone's trading demos, it was awesome. It had so much to offer for kids who didn't have much. We came out here in '91 to play three shows. It was like being in a candy store. The record stores. Punk rock girls. We never wanted to leave.\n\n**Adam Pfahler:** Jawbreaker started playing shows in Hollywood. But then we looked at _Maximum RocknRoll_ , and it was fuckin' blowing up here. So we played Gilman and I think we filled in the next night at the Covered Wagon. We met so many cool people that we admired. It made you feel like, if you're gonna do it independent style, this is how it should be done. There was something for everyone here. You could be into taking pictures and have something to do in the music scene. Or you could be a musician, or you could be into writing your own zine like Aaron [Cometbus]. We just packed up and moved here.\n\n**Martin Sprouse:** Me and some friends from San Diego and Reno all happened to be at the _Maximum_ house at the same time. We were all getting along, and Tim presented this idea. He was always scheming to do the next thing. And he said, \"I want you three guys to move in here, take over the magazine. 'Cause I want to open a club.\" Jason and Bessie were into it but then it fell apart. So I just moved up here. Late summer '85. Tim had just found that house on Clipper Street.\n\n**Ben Sizemore:** I considered that place a palace. They had this really nice house in Noe Valley with this killer view. We all lived in the ghetto in Oakland, so we'd go over there and be like, \"What the fuck? These guys are like yuppies. This place is so clean.\" Adrienne Droogas: Before my mom would let me move into the _Maximum RocknRoll_ house, she had to come out and meet Tim Yohannan. It was funny. Tim was like, \"I have to meet your mom?\" Cammie Toloui: I ended up moving into the house and being one of the zine workers there. There was four bedrooms, and a huge rumpus room in the basement where all the records were. The main floor had the magazine zone with the computers.\n\n**Adrienne Droogas:** Bands constantly coming and going, getting interviewed, stopping by. You were constantly walking in the door and going, \"Hi, I'm Adrienne and, this room full of people from Sweden, hi, nice to meet you all. I'm gonna go in my room now.\" Cammie Toloui: Tim smoked like mad and the place always had an ashtray smell. I just have these nauseating memories of getting up in the morning and the smell of the trash that was full of rotting beef and egg foo yung.\n\n**Chicken John:** His laugh was like a goose, sort of a honk. The sweat-shirts never fit him right, or he washed them in hot water. Cigarette in the corner of his mouth. The guy was a fuckin' cartoon. You could dress up like him for Halloween.\n\n**Cammie Toloui:** He was definitely a father figure for me. There was this point where I was this wild punk rocker and fell in love with this even more wild punk rocker in the Soviet Union. We went on this long tour with his band and got married and then came back to America and I got pregnant. I called up Tim and was like, \"Guess what, Tim? I'm gonna have Max's baby!\" He was sooo mad at me. Like, \"Cammie, you have no money. Max is an alcoholic.\" Just laying it out for me like a dad would. He pretty much didn't want to talk to me after that.\n\n**Adrienne Droogas:** Tim worked in the mornings and would come home at noon, and do _Maximum_ 'til 10 or 11 o'clock at night. He'd delegate, other people would be responsible and did their thing. But weekends, Saturdays, Sundays, it was just what he did.\n\n**Matt Wobensmith:** Tim lived like a Spartan. He slept on a twin mattress in the basement. He never bought anything for himself. Martin Sprouse: It was weird. Tim always told everybody that I fired the entire staff of _Maximum_ the minute I walked in the door. 'Cause it was very loose, and depended on a large group of people to put it together. They had work parties on Sundays and some people typed, some people laid out, some people did this. I had a totally different working style. I'm a very focused, workaholic person. It looked really fuckin' sloppy to me. I was such a little anal graphics guy. And slowly the work parties disappeared. John Marr: Someone characterized Martin as the son that Tim never had. They were very, very close. Martin introduced a better aesthetic for the magazine. I started to do my own zine, so I just drifted away. But I probably would have never started my own zine if I hadn't been a shitworker.\n\n**Martin Sprouse:** We had those discussions at _Maximum_. What is punk? Why isn't this band getting reviewed? All the time. It's been happening since the beginning, and it'll go on forever. I still have that side of me. It's really embarrassing. It makes my girlfriend crazy 'cause she just loves music. I love music, but I got this other weird side that's like, \"Nah, that's bullshit.\"\n\nPeople liked _Maximum_ , people hated _Maximum_. There was a revolt since issue three or four. People started hating it early on. 'Cause of the political side of it. Hate mail every single day. \"You fuckin' motherfuckers\"\u2014you know. \"That wasn't punk\" or \"That's not how it was.\" Some of it was valid criticism, some of it was corrections, some of it was just fucking people bitching about things.\n\n_Maximum_ funded a lot of things. End of the year we'd give money away to people. A lot of the contributors or shitworkers. We gave money to different organizations. One year we picked 20 fanzines. A lot of money, to good things.\n\n**Jeff Bale:** There's a lot of things about _Maximum RocknRoll_ that were fucked up, and now especially I feel that way.\n\n**Jello Biafra:** Going after people, from very early on, in the magazine, and calling people on sexism, racism, and homophobia triggered one hell of a backlash. From the East Coast to the Midwest. When the magazine had barely gotten off the ground.\n\n**Jeff Bale:** It came from Tim. We weren't gonna cover any homophobic bands, we weren't gonna cover any right-wing bands, we weren't gonna give publicity to any bands that we wouldn't review, like skinhead records, or Skrewdriver.\n\n**Tom Flynn:** _Maximum RocknRoll_ assumed everyone was racist and homophobic. Irony or sarcasm was totally lost. People assumed that everyone else was a moron.\n\n**Jeff Bale:** There was obviously some relationship between local emanations of the punk scene and the general milieu in the Bay Area. We were at KPFA, the most PC fuckin' station in the whole world. In retrospect, _Maximum RocknRoll_ reflected all too perfectly the sectarian, intolerant left-wing milieu of the Bay Area. To complain that homophobia is bad\u2014I mean, gee whiz, is there anybody in the Bay Area, except for a few fringe elements, who doesn't agree with that? If you really wanna be a badass fuckin' revolutionary, go down to Alabama and start peddling these views. Don't just sit in your comfortable little Bay Area house drinking your cappuccino and getting all morally righteous.\n\n**Jello Biafra:** Who was the lucky band that got to go on tour when everyone was crying, \"Commie faggot, you're trying to indoctrinate us!\"? Dead Kennedys. And me in particular. I was the one who did most of the interviews. I was starting to get asked all over the country, \"Isn't Tim Yohannan a communist? Isn't this just a front for some kind of communist cult or something?\" As if everybody's fragile eggshell minds would suddenly become little Tim zombies if we dared to read his magazine or liked the same bands that he did.\n\n**Larry Crane:** God bless Tim Yohannan's heart, he was one of the sweetest, nicest guys, but he started this thing that became really fuckin' rigid. Punk rock, man. Jesus Christ, anybody could do it. Just get up there, it's all attitude over rules. All of a sudden it became the same kinda rules that made dinosaur rock gross. Less interesting than Foreigner.\n\n**Bucky Sinister:** The thing that really got to Tim was that I pointed out to him that he'd been running book reviews of corporate books, books that came out on Warner's press. He wouldn't review records out by Warner, because they were corporate. But he'd review the books because they were about the Sex Pistols, or whatever. He never forgave me for that.\n\n**Scott Kelly:** I remember having my opinion of Agnostic Front completely shaped by _Maximum RocknRoll_. We went to New York and became friends with Agnostic Front and hung out. As we were taking the ferry to New York, Roger [Miret] was like, \"Every time I see the Statue of Liberty all I could think about is my father and how much it meant to him to come to this country. And that's why we fly that flag. Because I wouldn't be able to do what I'm doing if I was still in Cuba.\"\n\nAs we got to talking more, he was like, \"So, you know your buddy Tim Yohannan? What's that guy like?\" And I'm like, \"He's pretty intense but he's actually a really good guy.\" And he's like, \"Well . . .\"\n\nRoger got in some trouble for some shit, went to prison, I believe it was a drug thing. But the reason that he ended up going for as long as he did was because the district attorney brought out _Maximum RocknRoll_ and said, \"Look, this guy's the leader of a Nazi skinhead movement in America.\"\n\nI remember going, \"Man, that's some irresponsible, fucked-up shit that happened to him.\" Agnostic Front's not Nazi. Roger's Cuban.\n\n**Jello Biafra:** The first place I ever saw the term \"grunge\" was in _MRR_ 's record review section. Long before it got glued onto the Seattle bands by the industry.\n\n**Ian MacKaye:** Another thing to credit to Tim\u2014the term \"emo.\"\n\n**Jello Biafra:** I don't know whether that was Tim or Martin Sprouse who first came up with \"emo.\" Originally they slapped it on Embrace, Ian MacKaye's almost forgotten transitional band. Embrace were really important. The lyrics were personal like Minor Threat, but starting to take on worldly concerns like Fugazi. Plus it was very emotional. Supposedly he even cried onstage.\n\n**Ian MacKaye:** This is the genesis of that term. In 1985 Rites of Spring and Embrace were playing in D.C. People were talking about metal-core, and a lot of jokes about all the different cores that were out there. Brian Baker, who was the bass player in Minor Threat, coined the phrase \"emocore,\" which was emotional hardcore. It was an insult, it was pejorative. So he used that term in an interview with Dag Nasty in _Thrasher_ magazine. Somehow Tim picked up on it. And he just fuckin' went to town with it.\n\nHe would write these reviews and call us \"emocore,\" \"emo,\" whatever. I was of course infuriated. Since when is punk not emotional? It'd be like saying, \"chai tea.\" It's a redundancy. Chai means \"tea,\" so chai tea is \"tea tea.\" Tim really hammered that term in, as an insult. He beat it into common usage. And like every other thing, like the word \"punk,\" eventually people started using it.\n\n**Dave Dictor:** Tim could be very dogmatic in what should go on, and what shouldn't happen. I had arguments with him. He even sometimes sandbagged me.\n\n**Frank Portman:** There was a transcript in _MRR_ , an interview with MDC.\n\n**Larry Livermore:** They denounced Dave for selling out the scene because his band had flown from one gig to another, instead of driving in a van. And so they got Dave for an hour-long debate with Tim.\n\n**Dave Dictor:** We made $8,000 in ten gigs in a tour in 1986. And Tim started saying, \"Bands like MDC are selling out their roots.\" He didn't relate to what it was like to be in my shoes, being in a band, trying to feed five or six people, keep my people out of jail. Arrested at the border, held at the border. Two, three, four times.\n\nTim, what are you writing? You don't know what it's like to get an engine for your van. And I realize you work 70 hours a week, and you're a slave to your zine. Well, I'm a slave to being a punk. I'm on the road, I'm living at other people's houses. When I get home I'm right at the food stamp line.\n\n\"Everyone should work at least 20 hours a week.\" But there weren't 20-hour-a-week jobs, when you're going away on tour for three months and you'll be back in three months.\n\nTim could see there was going to be a day where there was going to be Green Days playing Woodstock, and Blink 182s, showing off their 15-car garages, grinning like idiots, with a funny mohawk. He was laying the groundwork for that.\n\nBut at the time, $8,000 for ten gigs from D.C. to San Francisco? By the time you get home, there's $2,000. There's $400 apiece to pay my month's rent. And I've gotten someone pregnant, and having to deal with these other realities.\n\n\"I hear what you're saying, Dave, I still disagree.\" Later on, I said to him, \"You've always picked on us. You picked on DOA and 7 Seconds. But Dead Kennedys are making more on one tour than we make in three years, and you don't mention them. What's going on?\" He was silent about it for a year or two or three, and then, instead of getting more understanding of what it takes to be in a band, started picking on Dead Kennedys.\n\n**Jeff Bale:** Tim was not a person who believed in freedom of speech. I was. Elements in the punk scene were being excluded. So I started giving them a voice in my column. At a certain point Tim just said, \"That's it, I'm not tolerating that kind of stuff, and you can't do that if you want to write for the magazine.\" So I said, \"Fuck you. I'm not writing for any magazine that's gonna try to censor what I say.\" That was the end of that, pretty much.\n\n**Larry Livermore:** It was a big dispute within the magazine, where Tim fired Jeff Bale. A number of people said, this is advertising itself as a magazine for the community\u2014that means there should be a variety of community viewpoints.\n\n**Jeff Bale:** When I got out to Berkeley initially, I thought, \"Oh, this is so liberating,\" because finally I'm somewhere where being anti-establishment in a certain way is not considered heresy. But it took me a few years to realize that actually the Bay Area is no better than anywhere else in terms of tolerance. In fact it's worse. It's like fucking Stepford people. It's mind-numbing, and even worse than that, it's censorious.\n\n**Matt Wobensmith:** Jeff Bale is very reactionary in some ways. Benzodiazepines were created for people like Jeff Bale. Xanax, Klonopin, Ativan, get some, man. He's so angry.\n\n**Ruth Schwartz:** Jeff is one of the most massively opinionated people I know. It wasn't just a column. I mean, maybe in Jeff's eyes it was just a column, but the column was just the last straw. So it became The Thing.\n\n**Larry Livermore:** That argument came down to a mass meeting of pretty much everybody involved in the magazine, over 50 people. This was whether this was a community magazine or Tim's magazine. And the vote came down in favor of Tim's magazine.\n\n**Jeff Bale:** I blame myself for not seeing that it was going to go in that direction. And even to some extent contributing to that process. Oh, I blame Tim much more, but I blame myself for allowing myself to go along with it for so long. I wasn't very clever. I got caught up in the spirit.\n\nI would still go over to the _Maximum_ house, and Tim and I would sit there and listen to records, and we'd go out to gigs and drink and have a good time. But as far as the magazine, no.\n\n**Ruth Schwartz:** I was Tim's business partner, I owned _Maximum RocknRoll_ for eight years. So I did the books, I did all the tax returns. And I worked for two years for Rough Trade as their buyer. We had a big stormy protest in there and walked off the job, so I decided to start a new distribution company.\n\nBiafra had just lost his shirt down in L.A. A distribution company cut him off, and didn't return any of his product. They called me one day and said, \"We've located our stock in a warehouse, and how quickly could you sell these for us?\" It was like\u2014 _boom!_ Tim loaned me a thousand dollars to get a UPS account and rent a space, and get a phone line put in. He told me I had a year to pay it back. When the year came up, I wrote him a check. But he said, \"No, no, it's okay.\"\n\n**Jello Biafra:** Alternative Tentacles and _MRR_ were the original two clients of Mordam distribution. When Ruth started it, with Tim involved, I knew this was the way to go. Rather than holding my nose and signing everything to Enigma and quitting Dead Kennedys because I didn't wanna be on Enigma. This was a great option. So we grew together for many years that way.\n\n**Tom Flynn:** They had big arguments. All the labels would get together in these official meetings. They had to have their policy about selling to major labels, selling to distributors that are owned by major labels. Some wanted to sell as many records as they could.\n\n**Steve Tupper:** I think it got dark when Tim began trying to give orders. He demanded that everybody agree to stop making CDs to make a statement against how the industry was going.\n\n**Jello Biafra:** Then Tim came out with, every Mordam label should pull all their stock out of every chain store because all chains are politically incorrect. Except for Tower, because he liked them. Because they stocked punk singles early on. The room was silent.\n\nI thought, \"Wait a minute\u2014are people actually gonna knuckle under and agree to this just because Tim is ordering us around like a general? Fuck that!\" So I spoke up, \"Look, not everybody is as spoiled and elite that they can live in a big city where there's choices. Or a college town where there's a cool independent store. I know what it's like to come from a cultural desert where you really have to hunt for something cool that will change your life. And I want my stuff in those stores, just because it may be the first time people blunder into anything that will hip them to how evil those stores could be. Somebody has to be the gateway drug, and it should be us.\"\n\n**Ruth Schwartz:** Blacklist Mailorder was another _Maximum_ offshoot. It was a retail outlet, in the back of the Mordam warehouse. Nobody was doing real mail order, and doing it well. Nobody could get the records that we were reviewing in the magazine. And so we wanted to become that source, simply as a service. We were buying records from all over the world and mail-ordering them.\n\nBasically Blacklist broke even. We sold things as cheap as we could. It was the eight-to-midnight crew in there every night, it was insane. I agreed to do it as a not-for-profit. Running something like that with volunteers\u2014oh my god. It's very hard to build motivation. After awhile, people who gave a crap moved on.\n\n**Danny Norwood:** I was involved in helping start Epicenter. They had the record store going and Blacklist Mailorder was in the back.\n\n**A. C. Thompson:** Epicenter was in a huge second-floor walk-up on Valencia Street and 16th Street. There was a back room where all the records were kept, because punks would just steal them. Then there was a bunch of couches, a pool table, bulletin boards for people to post their various things, and an area for bands to play. There was a zine library. For awhile there was a switchboard. If you came to town and you needed to get connected with some kind of service, whether you needed housing, a ride, or an STD test, we had this list of references for people.\n\n**Ruth Schwartz:** Epicenter was a record shop, but Tim was trying to make it into a community center.\n\n**A. C. Thompson:** Epicenter was never really about being a business. It was about having a place for people in that scene to hang out. There were so many smart, crazy people there all the time.\n\n**Floyd:** After Blacklist Mailorder folded, Epicenter was never able to find a suitable tenant.\n\n**Kegger:** They used to put on a lot of queer shows at Epicenter in the early '90s. Until it flooded. Assfort from Japan was playing. Everyone was getting rowdy and this young punk kid jumped up and grabbed on to the sprinkler system and it broke. Me and friends tried to save the library by throwing the fanzines up on top of the shelves.\n\n**Floyd:** We couldn't operate as a show space after the flood. That really shot a lot of the enthusiasm. There was a small loyal core to the end, but not the manpower to keep it going.\n\n**Ruth Schwartz:** Tim didn't want to make any money. He was a communist at heart. Money was the root of all evil. I'm okay with people making a living. I don't care if they make a living off of their art, I don't care if they make a living off of their DIY businesses. I think it's okay. And he didn't. He thought it corrupted it automatically.\n\n_Maximum RocknRoll_ paid for the house and the utilities, and he would defend and justify that. I thought it was more honest to just admit that _Maximum RocknRoll_ paid Tim Yohannan. By giving him electricity and computers, and a bed to sleep in, and his car and his gasoline, and all these other things. And that it was dishonest to say nobody gets paid. If somebody gets paid, then everybody should get paid.\n\nIt's one of the punk rock tenets of that genre of people. We spawned this PC attitude that money is inherently bad. I have my detractors as well. I think people do bad things with money. But I don't believe that it is inherently bad.\n\nHe was a very talented capitalist, actually. But at a certain point it just becomes hypocritical. He was like, \"It's okay, I'm giving it away.\" \"But you're not giving all of it away.\" Sometimes he just had more money than he knew what to do with, and he would justify different ways of getting rid of it. I argued with him in a kindly natured way on that point for many, many years, until the end when it got nasty. Then we couldn't even talk to each other anymore.\n**23**\n\n**Mommy, Can I Go Out and Kill Tonight?**\n\n**Jason Lockwood:** When I was a kid, you were basically forbidden to publicly enjoy the Misfits.\n\n**Kelly King:** The Misfits came to town. There was big hype about how great they were. They were from New York. They had that foot-and-a-half-long piece of hair hanging down in the front.\n\n**Tom Flynn:** It was 1982. It wasn't the first time they came. It was the first time they came here as the starring band.\n\n**Kelly King:** At the Elite Club, which is now the Fillmore.\n\n**Tom Flynn:** It was a big audience, maybe a thousand people. One of those nights where there were six or seven bands on every show. They started playing, and immediately started yelling at the audience. I remember Glenn Danzig said something like, \"I can see why they call this the land of the homos!\"\n\n**Greg Oropeza:** \"The city of buttfuckers!\"\n\n**Kelly King:** \"S.F., you're a bunch of faggots!\"\n\n**Tom Flynn:** I had liked the Misfits. Most people at the show were into it as much as me. When he said that, I was like, \"What a moron!\"\n\n**Toni DMR:** They were being really hostile, hocking loogies, kicking at people. They kicked Rachel in the head with their steel-toe boots.\n\n**Kelly King:** They just got rained on with beer cans. Somebody hit Danzig in the eye with a can full of beer.\n\n**Tom Flynn:** They had only played three or four songs.\n\n**Kelly King:** The drummer jumped off the stage and attacked Tim Sutliff, of all people. He was pretty much the smallest kid there. Tim was just covering up his face and backing up and that guy Doyle took his big ol' guitar and just swung it down with both hands like an ax and broke it over Tim's head.\n\n**Jello Biafra:** They left him in a pool of blood. The worst thing I'd ever seen at a show in my life by far.\n\n**Toni DMR:** I saw Tim's head split open. His skin split and flapped down to his ears. Split his entire fucking head open. You could hear the collective gasp of everybody, \"Oh my fucking god!\" And then all hell broke loose.\n\n**Kelly King:** I totally freaked out and attacked Doyle. I jumped onstage and landed on top of him, but he was a muscle guy and just pushed me off. Then Wes Robinson and all his security guys grabbed me and the band disappeared backstage. I was just completely hysterical. I had done coke and I was drinking heavily, smoking pot\u2014so I was totally out of control. They were holding me against the wall, saying, \"Okay, just settle down, just settle down.\" And finally I was like, \"Okay, I'm cool.\" They let me go, so I ran back onstage and started kicking in the drum kit. They grabbed me again and Wes was complaining that he was going to have to pay for the broken drums.\n\nThere was a big pool of blood. I smeared my hand in it and wiped it on my leather jacket. I don't know why. I was just completely out of my head. I ran to the back of the club and Tim was there. They were holding towels on his head. This big security guy put his hand out to stop me and I grabbed his fingers and bent them over backwards. They finally had enough and shoved me outside onto the sidewalk, and it was raining. I just sat down against the wall and started crying. Somebody handed me a Lowenbrau Light. I chugged it and got into the back of Sam McBride's car. I held on to that empty bottle all the way back to Berkeley. I had never been so freaked out in my life.\n\n**Tom Flynn:** They came back out onstage\u2014just the singer and bass player and drummer. And they started trying to play again, but then people just started throwing bottles. Danzig looked over and said, \"Well, fuck you guys,\" and left.\n\n**Toni DMR:** I think they ended up locking themselves in a room somewhere.\n\n**Rachel DMR:** We were hanging out in the back alley by the church, waiting for them to come out with their equipment. But they got wind there was a mob out there ready to kill 'em.\n\n**Kelly King:** I think Tim's mom sued Wes, but she never tried to press charges. The Misfits got away with it. Wes never had to pay for anything and Tim almost got killed.\n\n**Greg Oropeza:** This led to a ban of the Misfits, an informal agreement between bookers.\n\n**Jello Biafra:** _MRR_ went after him about it and put a rather nasty cartoon about them about the incident, changing the Misfits infamous hairdos into penises, drooping across their heads. Mr. Danzig is not known for a sense of humor.\n\n**Tom Flynn:** KALX used to play the Misfits all the time. After that show I'm sure they had some sort of board meeting.\n\n**Aaron Cometbus:** It wasn't just that the Misfits bashed in Tim's head. They had also busted into an exhibit at KALX, which at the time was located in UC Berkeley's Lawrence Hall of Science, and stole a bunch of skulls, which totally jeopardized KALX's existence. Then they spray-painted a bunch of \"Fuck you, Berkeley faggots\" stuff on the sidewalk outside of Universal Records. They added insult to injury.\n\n**Jason Lockwood:** Timmy Sutliff wound up being my best friend. We would hang out between the tennis courts behind the junior high. That was one of those hangout spots for the East Bay punks. One day, Tim pulled a two-inch sliver of wood from the guitar out of his scalp. It was months after he'd gotten out of the hospital.\n\n**Greg Oropeza:** We had a show at Club Culture in Santa Cruz with Samhain. I was one of the promoters, but had no idea it was Danzig's band. When he walked in, I had a fit. I was yelling, \"No way, they're not playing!\" pleading my case to my partners. Danzig came up to me and asked if he could talk to me down by the river for a few minutes. I thought maybe he wanted to brawl, but he just wanted to have a beer and explain his side of the story. We sat on the banks of the San Lorenzo River and he explained that the night at the Elite Club was the worst night of his life. He said he was horrified by his bandmate's actions, and would never play with him again. He said it was all an act that went too far and regretted it deeply.\n\n**Kelly King:** I was bummed out for years that nobody did anything. Doyle could have killed him. He's lucky he didn't.\n**24**\n\n**Beers, Steers and Queers: The Texas Invasion**\n\n**Dave Chavez:** Sick Pleasure was the first hardcore band in San Francisco.\n\nI got a call from Mike Fox, who wanted to do a hardcore band \"like they're doing down south.\" That's the way he put it. Nicki Sicki and a friend were out here from Texas. Mike had met them in front of the Mabuhay, on the sidewalk.\n\nWe were just mesmerized by Nicki, the way he looked. He was really thin and his eyebrows were shaved off and his hair was spiked. He had half a mohawk, it was just like a half head. He had a really crazy look in his eyes.\n\nWe asked him to go behind the mic and he just made this squawking sound. Like a toucan or something. \"Waaaahhhh!\" It was really loud and grating and we were like, \"That's it.\" We didn't even care if he could play a note. He just had the look and the really weird voice.\n\n**Nicki Sicki:** We got the Sick Pleasure name from a jacket I had. A picture of a syringe on the back and the name above it.\n\n**Dave Chavez:** Nicki wrote about the life he was really living, so it had kind of a Chicken Little effect. Here's this little guy in this big world, living on the street. I think one of the lines was, \"My only friend's my knife.\" There was a real street thing to it. \"I Just Want My Parents to Burn\" is about a kid from Texas who actually burned up his parents in his house. It's just something that happened in Nicki's neighborhood. I don't think the songs were as nihilistic as people took them to be.\n\n**Nicki Sicki:** I'm not saying my lyrics are good or bad, but I do write what I know, and live what I write. You don't write lyrics like \"I've got herpes\" to impress people.\n\nJust an American Band: Verbal Abuse at Berkeley Square 1982\n\n**Dave Chavez:** When I was young, I really liked R. Crumb comics and that in-your-face, fuck-you attitude. Not really political. That's what I saw in Nicki. Sick Pleasure had that kind of obnoxious slant.\n\n**Nicki Sicki:** When we were on tour once, I farted so bad Dave quit the band and got out of the van in Wisconsin with his bass and started walking home to Oakland.\n\nI quit Sick Pleasure 'cause I was about 16 or 17, and my girlfriend had a kid. We shot speed every day and nobody worked. I was scared I'd kill the kid or something.\n\n**Dave Chavez:** I turned 20 right around the time the band was breaking up. Mike just immediately started Code of Honor with Johnithin Christ, the singer from Society Dog. I started playing with Code of Honor at their fourth gig, but I didn't really get along with the singer too well. I didn't understand what he was trying to sing about. What it was, was Scientology. Mike was into Scientology. It was very strange. But a lot of people thought that Code of Honor was gonna be the next big thing\u2014the guys from _Flipside_ told me we were gonna be the biggest band in the country. I was just like, \"Yeah, whatever.\"\n\nAfter Nicki left Sick Pleasure he went back to Texas and started Verbal Abuse. It was like a continuation for him. Sick Pleasure had been a little too psychedelic and weird for Nicki. He wanted something more straightforward.\n\n**Nicki Sicki:** No one was really playing fast in Texas. This was right before the Dischord thing started.\n\n**X-Con Ron:** Texas hates us because MDC left, Verbal Abuse left, DRI left, the Dicks left.\n\n**Nicki Sicki:** We came out to play in San Francisco and decided to stay. Every time I've been in the same city as Dave we end up together. I love that guy.\n\n**Bob Noxious:** When the Texans started coming out here that was really, really good, man. It brought a lot of new blood into the scene. I liked them.\n\n**Greg Oropeza:** Ribzy once played a basement party in San Jose with Verbal Abuse. The only light in the whole basement was a single bulb hanging over the drum set. Right in the middle of a blazing set, Verbal Abuse's drummer hit the bulb with his drum stick, plunging the basement into total darkness. They kept playing without skipping a beat. It was one of the raddest things I had ever seen.\n\n**Nicki Sicki:** I've never done a band with anything more than the idea of having fun, and when it stops being fun I move on.\n\n**Dave Chavez:** Verbal Abuse is Nicki Sicki. He wrote all those songs on bass. The Verbal Abuse that we did without Nicki Sicki doesn't really count. But he left. Again. Both times we had a good thing going, it was really building momentum, then _whoop_ \u2014singer disappears.\n\n**Nicki Sicki:** They tried to give me 25 to life for fucking speed. I ended up with five.\n\n**Dave Chavez:** Nicki is what he is: He's a true unique entity. That's why I still love playing with him.\n\n**Tammy Lundy:** The best show I ever saw in my life was the Punk Prom at Armadillo World Headquarters in Austin. It was the Dicks' first live show and they blew everybody away. Gary dressed in a nurse's outfit and pulled liver out from under his dress. They had some friends dressed in skirts who came around with trays of cocktails and served them to the crowd.\n\n**Gary Floyd:** Later on, I stopped doing all the drag stuff, and the liver and the shit in the panties. But the reputation was already there. People always say, \"I saw you in Cleveland and you were dressed up like a nurse and had a watermelon in your ass.\" But I never dressed up on the road. I just nod. It's hell being a legend.\n\n**Dave Dictor:** Gary attracted all kinds of people and he brought the freak out of these people. He was just so out there and liberating and ahead of his time.\n\n**X-Con Ron:** Gary Floyd had a strong influence on Dave.\n\n**Gary Floyd:** I always thought that being gay, maybe people thought I was prissy or whatever. But I wasn't very prissy, I was just this fucking loudmouth drunk.\n\n**Tammy Lundy:** The Dicks just ruled. They wrote the ultimate anthem of all time, \"Dicks Hate the Police.\" Back in the days when we all had homemade T-shirts, ours said, \"You can kill us but we'll be back in a couple of days,\" a line from \"Pigs Run Wild.\" **X-Con Ron:** The Dicks are like our mentors. As Al says, our \"sister band.\" Thank god they were there.\n\n**Gary Floyd:** There were two Dicks, the Texas Dicks and the California Dicks. We came out here on the big Rock Against Reagan tour with MDC, and the rest of the band decided to stay in Texas. I wasn't going to do that, so the band broke up. I really wish I had done things differently. But I came back out here with our manager Debbie Gordon and we reformed the Dicks. The California Dicks did \"No Fucking War\" and \"Hope You Get Drafted.\"\n\nWhen we did our first reunion show, after like 20 years\u2014me and Pat and Buxf\u2014we played at the Eagle here in San Francisco. It was so unbelievable. We hadn't played since '86 and it was packed. We were totally shocked that everybody knew the words to the songs. One of the bartenders said, \"In my whole life, I've never heard a crowd of people screaming, 'Shit on me!'\" It was a really wonderful moment.\n\n**X-Con Ron:** I lived about three blocks from Raul's in Austin. Dave had moved down from New York and had already been in a band called the Solar Pigs. But he had a different idea.\n\n**Dave Dictor:** There must have been 30, 40, 50 bands in the scene. I hooked up with Ron, and our first songs were cover songs. Talking Heads, Sex Pistols, Ramones.\n\n**X-Con Ron:** At first the band was called the Reejex. Then it became the Stains.\n\n**Tammy Lundy:** I was the poster maker and the girl at the door with the cigar box. I looked about 12 years old and Dave was chasing me around Austin. I got into a bunch of shows free. I was also the biggest slut at the time and very, very proud of it.\n\n**Dave Dictor:** In the summer of '79, John Wayne died. Immediately, I wrote \"John Wayne Was a Nazi\" with my friend Frank Mares. Frank would play bass with us on and off.\n\nWe tried to give the song to all the bigger punk bands in Austin. Ty Gavin from the Next said, \"It's a good song but I just don't think it's me. You should play it.\" I'm thankful to him. Here was one of the big guys from the Austin scene, saying, \"Go for it! You should have your own band.\" We worked on a single and had it out by early 1981.\n\n_John Wayne killed a lot of gooks in the war_  \n_We don't give a fuck about John anymore_  \n_We all heard his tale of blood and gore_  \n_Just another pawn for the capitalist whore_  \n_He was a Nazi_  \n_But not anymore_  \n_He was a Nazi_  \n_Life evens the score_\n\n\u2014\"John Wayne Was a Nazi,\" MDC\n\n**Dave Dictor:** I started writing people and sending them my single. We sent \"John Wayne\" to _Creep_ magazine, but Mickey Creep was on holiday. So Jello Biafra opened his mail. 'Cause they were roommates and, of course, Biafra was a record collector.\n\nHe put it on and immediately called Tim Yohannan. Next thing you know, Yohannan called me up and said, \"I've had you number one for eight weeks in a row on the _Maximum RocknRoll_ Radio show. We love it! Biafra loves it!\" Biafra? Of the Dead Kennedys? Wow. I was in Austin and I didn't know any of this.\n\n**Jello Biafra:** I called Dave and said, \"Look, you wanna play with other radical bands? Why don't you come out here and play with Dead Kennedys?\" At first he didn't believe it was me.\n\n**X-Con Ron:** We were number one on KPFA on the West Coast and ranked number 37 or some shit like that in Texas. So we were like, \"Let's get the fuck out of here.\"\n\nWhat really inspired us to hit the road was seeing Black Flag play Raul's in Austin, and watching Greg Ginn squeeze into a 16-inch crawlspace in the back of the van as they drove away. I mean, fuck.\n\n**Dave Dictor:** We finally went out and played with the Dead Kennedys at the Mabuhay Gardens. And we played with Flipper, and we played with Black Flag at the Cuckoo's Nest.\n\n**X-Con Ron:** We met the Fuck-Ups and the Fuckettes at the soup kitchen.\n\n**Dave Dictor:** They took us back to their place and they said, \"Stay an extra week. We're gonna do a show at the Sound of Music.\" We started out with three gigs and we ended up playing six. Getting in that van to come home, it was like, \"Man, we gotta move out there. There is a whole world going on in California.\"\n\n**Tammy Lundy:** The Dicks' bass player Buxf Parrot named them MDC. There was already a band called the Stains in L.A. So Buxf said with his usual laconic drawl, \"Well, maybe you oughta call it Millions of Dead Cops.\"\n\nWe were a little worried that the new name would close doors for us, but it was the opposite. When I started booking for the band, after they moved to California, putting Millions of Dead Cops on the flyer was part of the draw.\n\n**Dave Dictor:** Cops would come to shows with our albums and ask us to sign them. Or we'd be on the street after the show and they'd turn the sirens on and come over and go, \"Take a picture of me and Dave and three street punks.\" In front of the Millions of Dead Cops marquee! Then they'd just get back in the car, turn off the light, and go away. You'd be like, \"Did that fucking happen?\"\n\nWhen we arrived it was like the Toiling Midgets scene, the Avengers, the Dils. It was cool meeting them. We went to all these parties, but that first wave of the San Francisco scene\u2014that '78, '79, '80 art-rock scene\u2014was kind of dying.\n\nThe Kennedys came out of that early S.F. scene, but they drifted towards Tim Yo's world. It was much more college educated and politically oriented. They read _The Nation_ and could talk about Ralph Nader and what Coca-Cola was doing to this country. They had all that knowledge, but not a lot of street cred. MDC had both. We knew what it was like to stand in a soup kitchen line with the Fuck-Ups and Sick Pleasure.\n\n**Tammy Lundy:** They played every place they could. One night, they played the Sound of Music for eight dollars.\n\n**Dave Dictor:** We were also at that point 23, 24, 25\u2014or I was. A lot of the other people were 16, 17, 18. So people gave us respect. We weren't weird or confrontational. But we really felt we were changing the way people were thinking. I had political thoughts about how the world could be less fucked up, less multi-death corporate, less polluted, more Age of Aquarius. It seemed like more and more kids were getting involved with that.\n\n**Ian MacKaye:** MDC stood for lots of different things\u2014obviously, Millions of Dead Cops. The second most notable one was Multi-Death Corporations. I remember getting into a tremendous discussion, almost argument, about the narcotics trade with Dave and them. Because they were involved with so many kids in San Francisco who were basically runaways strung out on drugs. I used to think, to what capacity are drugs not a multi-death corporation? I mean, drugs are like the most ruthless profiteering corporation I can think of, practically.\n\n**Tammy Lundy:** Everything that I did with the band happened in five years, but every day was just jam-packed. We went on the tour that never ended\u2014it started as three months and ended up being 19\u2014raiding grocery stores along the highway. Frank couldn't play bass worth a fuck, but he was an amazing shoplifter. We did the U.S. and Canada. Ron is called X-Con Ron for getting arrested in Toronto for half a joint. Which wasn't even his.\n\nWe all went to do Europe with Dead Kennedys on Jello's invitation, only to find out that the rest of the band didn't know. In England, Dead Kennedys said they would give us 50 pounds a gig, which wasn't much even back then. When they hit the main-land, they said they couldn't afford to pay us anymore.\n\nMy mother sent money. Dave's mother sent money. Ron pulled something out of his ass. And we went with them on our own dime. We were sleeping in people's basements and eating the cheapest food we could get, which was difficult because all of us were vegan. Then in Nuremberg, we caught sight of Dead Kennedys in this four-star hotel, eating in a really fancy restaurant.\n\nThey had been pleading poverty, but I think tension had been building because our styles were really different. We were really fast. MDC would get people so worked up that when Dead Kennedys first came out, it would take a few songs for the crowd to get into it again. Of course they did because it was the fucking Dead Kennedys and everyone was there to see them, but there was still some tension.\n\nSo we waited for them to come out of the restaurant and we confronted them. Jello was very uncomfortable because it was his band. He always wanted to ride with us, anyway (the saying in the van was, \"There's always room for Jello\"). Ray and Klaus were shouting all kinds of abuse. East Bay Ray said, \"You guys are a fart in my living room.\" But we could always give as good as we got. We actually got thrown out of the hotel, which was fun.\n\n**Dave Dictor:** We played for the Pope in 1987, on the roof of my house. He came right up to the Mission Dolores Chapel and we jumped on our instruments and played \"This Blood's for You\" and \"Multi-Death Corporation.\" We all had Pope hats with eye patches.\n\nThe police grabbed us and said, \"You wanna fly? You wanna learn to fly?\" Then they brought us down to my apartment. Just \"Millions of Dead Cops\" flyers everywhere. You can imagine. The Secret Service did their whole thing. \"You got guns?\" I explained, \"No, we're peace punks. I've been an angry Catholic since John F. Kennedy was shot.\" They turned us over to the San Francisco police, who were like, \"Fuck those guys\u2014we've been working with those fuckers all week.\"\n\nWe also went to Russia. We got hooked up with some squatters who had Polish punks coming through via the Saint Petersburg- Helsinki route. And we pulled it off. We played Minsk, we played Leningrad, we played Moscow, Saint Petersburg twice. It was incredible. It was six months after Yeltsin faced off soldiers surrounding the Russian White House with a tank. There was such a headiness. We had 1,000 people at every show, throwing jewelry and little trinkets at us. People wanted to meet me\u2014\"You are a big star of the American music.\" I'd say, \"I'm a soup kitchen celebrity.\"\n\nThese train rides\u2014it was like _Doctor Zhivago_ , seeing those yellow fields of grass and wheat. When we played Minsk, the cars were old, the streetcars\u2014it was still 1950s Khrushchev. It was very eye-opening. We were being fed fear\u2014this build-your-bunker-in-your-backyard thing\u2014while they lived the reality of breadlines.\n\nI took off a few years from the band between '95 and 2000. I got hooked up with drugs, then I got away from drugs and got my teacher's degree. Now, for every month I'm on the road I need to take a month or two off. For my personal life.\n\n**Tammy Lundy:** Ron grew up in Caracas, Venezuela. He lives there when he is not on tour with MDC. Mikey Donaldson toured with MDC until 2007. His liver just finally gave out.\n\n**X-Con Ron:** Our best friend and the best damn bass player ever passed away. Punk rock will never be the same without him.\n\n**Dave Dictor:** My son is 23 years old, he does not watch TV at all.\n\nWhen he was 13, 14, I'd say, \"Let's watch MTV together.\" I was trying to fill up time because my son and I didn't live together for the first 12 years of his life. One day he said, \"I hate MTV. MTV is trying to get me to be something I'm not. I'm never gonna be as skinny and pretty as 95 percent of the people they show on MTV.\" And it really hit me. That's our culture: Drive a Volvo. Look like people on MTV where everyone's pretty and packaged and no one is struggling to pay their gas bill. It took him saying how phony and how vile MTV was, to make it hit home.\n\nThat's what punk rock's about. Not trying to fit into that disco world or arena rock world, where everything's about money. Where you buy people, you buy love, you buy Acapulco, you buy everything, and you do it by getting over on the world. I know we're all monkeys chasing coconuts, but one person's freedom and liberty is another person's oppression.\n\n**Kurt Brecht:** A lot of people didn't even acknowledge us as a San Francisco band. We were a really hardworking band and we were on the road a lot. But, for somebody growing up in the suburbs, it was so cool to be in the city. I just fell in love with San Francisco.\n\n**Bob Noxious:** When DRI came out, we thought, \"These guys are so fucking weird!\" They had mange haircuts. Totally weird.\n\n**X-Con Ron:** We called it the Chemo Cut. They were the guys who started that.\n\n**Dave Dictor:** DRI were from Houston.\n\n**Kurt Brecht:** When we had our first gig we didn't even have a name yet. We were practicing in my parents' house in my bedroom. Every day, my dad would come home from work and pound on the door, yelling at us to turn it down: \"You dirty, rotten imbeciles!\" It kinda stuck. He wanted royalties later.\n\nDRI got to be one of those bands that opened for every big act that came through Houston, like Dead Kennedys, Minor Threat, MDC, the Dicks, Butthole Surfers.\n\n**Dave Dictor:** We said, \"You gotta come out to San Francisco.\" You could play to 150 punks in Austin and Houston for the rest of your lives, but there were 500 kids out here on any random weekend.\n\n**Kurt Brecht:** Then one day Tim Yohannan called my parents' house out of the blue. Nicki Sicki, the singer of Verbal Abuse, had given Yohannan our demo tape and he really liked it, and he said, \"I want you guys to come out to San Francisco. I think you'd do really good here.\" They were setting up an all-Texas band gig at the Tool & Die. It was MDC, the Dicks, us and Verbal Abuse. I traded my P.A. for a van and sold pretty much everything we had just to get gas money to get there.\n\n**Bob Noxious:** Their songs were so fast. It was really different and everyone was just blown away.\n\n**Tammy Lundy:** I remember Tim Yohannan saying, \"What do they feed you out in Texas?\" For awhile, MDC billed itself as the fastest band in the world, but it was a contest between DRI and MDC. Spike from DRI used to stand out in front of the On Broadway with their first record and say, \"22 songs in 17 minutes!\" That's how he sold them.\n\n**Kurt Brecht:** In San Francisco, all the bands were do-it-yourself bands. I learned a lot. It always blew me away that everybody was so nice. Bob Noxious and the Fuckettes taught us about faking the little bus transfers. They had every color of transfer, with every number and letter, on their wall. We got stolen phone cards from Verbal Abuse. MDC took us on tour with them.\n\nSan Francisco was a good place to live in your vehicle between tours. It wasn't hot, so you didn't wake up sweltering, like in Texas. The main thing you had to worry about was a bathroom and what time the soup kitchen served.\n\nFor awhile I was living in a tree in Golden Gate Park. It was crazy to sleep on the ground, 'cause anybody could just come up and stab you or whatever. Up in the tree, I was fairly safe. The branches grew together like a natural bed so you could lie down. It was like my house. They would drop me off there after the show. I even had a cat. I guess somebody had just dumped him out there. So I brought him up in the tree and he slept with me and I fed him.\n\n**X-Con Ron:** Then DRI did their crossover thing and fuckin' hit the big-time.\n\n**Kurt Brecht:** MDC wanted to put our 7-inch out on a 12-inch. So we did that. Then Metalblade came around, so we were on the same label as Corrosion of Conformity and Slayer and a lot of those metal bands.\n\n**Mike Avilez:** In the mid-'80s I was a metalhead. I saw DRI open up for Slayer in '85 and that was the ticket. The crossover scene from '85 to '87 is basically what got me into punk rock.\n\n**Kurt Brecht:** People said that we single-handedly ruined punk rock forever. By polluting it with metal.\n\n**Dave Dictor:** It was here in the Bay Area that it crossed over.\n\n**Kurt Brecht:** Before that, the punks had their shows and the metalheads had theirs. In San Francisco, the Stone was where all the metalheads went, and the On Broadway or the Mab was where we went.\n\n**Kelly King:** Broadway was the border. It was completely separate. You were metal or you were punk.\n\nToni DMR: You weren't even allowed to listen to AC\/DC.\n\n**Tammy Lundy:** DRI really did something different. They didn't care if people called them traitors. It's what they wanted to do and they did it well, so good for them.\n\n**Kurt Brecht:** The metalheads started coming to the punk shows and it was violent. Especially with the Nazi skinheads who, for some reason, really liked our music. They'd beat up anybody, but they'd really go after the metalheads.\n\nDRI EP 1984\n\n**Aaron Cometbus:** DRI had this song \"Violent Pacification,\" and there was this huge skinhead dude who'd always be there to sing the \"Violent\" part, then Kurt would sing \"Pacification.\" It was comical, but the guy was also pretty scary looking.\n\n**Kurt Brecht:** It wasn't just San Francisco. It was all over the country. It got real bad. Certain tours, we'd have to stop almost every night to break up fights. But after a few years, it became accepted that you were gonna see people with long hair at shows. And vice versa.\n\n**James Angus Black:** The second tour I roadied for DRI was in a _bus_. It was high class.\n\n**Kurt Brecht:** We finally got a manager after playing at the Olympic Auditorium with Suicidal Tendencies. Pretty soon he had us traveling around in tour buses. We just couldn't believe it. After living in that crappy van for so long, we had a real tour bus and we were playing packed shows every night.\n\nSome punks approached us and said, \"You won't be able to come back to us if it doesn't work out.\" That's pretty heavy. Like, how many years do you have to suffer and live in your van and eat at soup kitchens before you're allowed to step foot in a tour bus? Back in the old days, we were starving, living off government cheese. I see pictures of myself back then. I was like a concentration camp victim or something.\n\n**James Angus Black:** That one tour was the zenith. And they were back in the vans again.\n\n**Greg Valencia:** DRI was the first punk band that I heard that was really punk. There was a big black metal scene in Santa Fe. We were all metalheads. DRI opened my eyes to a lot of things.\n\n**Kurt Brecht:** Until Spike was diagnosed with colon cancer we never really slowed down. It had been one tour after another for 25 years. And we never had to do any cover songs.\n**25**\n\n**Welcome to Paradise**\n\n**Bob Noxious:** The beer vats were down on 15th and Florida.\n\n**Dave Dictor:** It was a brewery that had been abandoned\u2014this six-story structure with these tremendous beer vats. The top ones were open. They'd mix the beer there, and then they'd drop it down through a piping system to the other vats, where they would store it as it would brew or ferment, or whatever beer does.\n\n**X-Con Ron:** It really was too good to be true. As soon as we got here we found out about the beer vats, went over and got jackhammering.\n\n**Paul Casteel:** You paid to have someone come blow a hole in a vat for you. The people who owned the building would charge you $150 to install this door\u2014this big hatch\u2014on a beer storage tank and that was used as your home or rehearsal space. These things stunk like vinegar. The open ones were like 30 feet deep.\n\n**Tammy Lundy:** I paid $25 a month for my air shaft. It was between floors so you had to climb a ladder half a story. It was exactly as wide as my arm span and 40 or 50 feet long.\n\n**Gary Floyd:** MDC ruled the Vats because they were the ones that got it all started. Our bass player Sebastian Fuchs lived at the Vats. So we hung out and practiced there.\n\n**Dean Washington:** You had to _really_ know somebody to get into the Vats. It was like bein' invited to the White House. I don't think there was anybody that played San Francisco at that time that didn't squat and hang out there.\n\n**Dave Dictor:** We weren't the first people\u2014there were five to seven stragglers already\u2014but we were the first band.\n\n**Kurt Brecht:** MDC and the Dicks were there. I think Verbal Abuse was. And then we started living at the Vats in our van. Just camping out there, eating canned foods.\n\n**Jason Lockwood:** It was such a weird place. You never felt quite safe there. Especially when you stayed at night. There were a lot of junkies.\n\n**Sammytown:** I stayed at the Vats all the time, especially before I had a car. After shows, everyone would go to the Vats or to the Fun Terminal, the Mutants place. We were all on speed\u2014we were all fucking kids so it's not like we slept anyways.\n\n**Ian MacKaye:** Minor Threat stayed there with MDC in 1983. And there were these 14-year-old kids, most of 'em were girls. I remember five or six of them. They were basically four days up, four days down. If they weren't begging for change to buy speed, they were speeding out of their brains, or they were just fuckin' flat out for four days. They had one-quarter the waking days of the rest of us. I remember thinking, clearly, this is a bad situation. I think they were being taken advantage of. I just couldn't reconcile\u2014how can you all profess to be so concerned about the state of the world, when, right here, there is a problem?\n\n**Kriss X:** This was in the midst of a big speed binge for a lot of us. I remember being in Spike and Dagger's vat\u2014Terry and a couple others were there as well. We all got high and then the cops came into the vats with the dogs. They came directly to the door of Spike's vat and were pounding. It was locked and we were all quiet as church mice, ready to shit our pants, not knowing if they would kick in the door or just go away. We waited for what seemed like hours.\n\n**Bill Halen:** One guy had a ship steering wheel as a handle, for his round doorway. It was beautiful inside. He broke up a bunch of furniture and pulled it into the vat. Then he put it all back together inside. Some of the vats were very cool.\n\n**Marc Dagger:** We lived up in the yeast culture room. It was actually not a vat\u2014it had a window in it and we had running water. Me and Harley from the Cro-Mags ran security at the Vats. If you didn't pay your rent we'd do an eviction party on you\u2014throw all your stuff out. And if you were there, you'd probably get whipped. The owners of the place let us live up there for free as long as we made sure everybody got their rent paid and no crap happened.\n\n**Toni DMR:** The last time I saw Harley, Spike and Marc had a going-away party for him. He was tripping on acid and fell in a vat and got stuck. At his own going-away party.\n\n**Paul Casteel:** I remember one night Bob Noxious and Marc Dagger fell in a vat somehow and they were fistfighting one another. It went on for like two hours because no one would throw them a rope or help them get out of the thing. Every time they came out of their stupor, they would just start pounding one another. The crowd up above treated it like a chicken fight, cheering them on. It was the entertainment for the night. It was like a gladiator scene. These guys were best friends and they were beating the crap out of each other.\n\n**Toni DMR:** I'd been up for a week and Spike put me to bed. I remember opening one eye and seeing Victor Harris and Nicki Sicki making pancakes over some butane camping stove. It was so weird.\n\n**B. A. Lush:** Laundry was not really available at the Vats but we found boxes of sausage wraps. Cases and cases of them. And they were perfect for socks. Vats socks. Clean socks were a godsend.\n\n**Jason Lockwood:** There used to be a barber chair inside the ground floor of the Vats. One night, I had consumed some freakish amount of acid. I came to, feeling really disoriented and unnerved. Sitting right there, it was like you walked into an insane asylum they were never gonna let people out of. It smelled like old, stale beer. I still get angry when people spill beer on me because of that smell.\n\n**B. A. Lush:** We were lucky. We were on the fourth floor, with the bathroom. Other people had to pee in bottles.\n\n**Marc Dagger:** The Vats were right across the street from the Hostess factory.\n\n**Jason Lockwood:** The smell of the bread factories. We used to run over in the middle of the night, bolt people over the fence, and one person would throw bread over. They were all there on racks getting ready to be shipped.\n\n**Marc Dagger:** We were all tweakers\u2014so the sugar high, it was great.\n\n**Nicki Sicki:** The soup kitchen was down the street, so you could basically live for free.\n\n**Kriss X:** There was a dominatrix that lived up on the top floor who used to throw these amazing parties.\n\n**Bill Halen:** Upstairs, there were a bunch of bikers making a mess. Some very scary shit. You didn't venture up there unless you knew somebody.\n\n**Tammy Lundy:** We thought the Vats were owned by this wannabe biker guy, but it was actually owned by his mom. Every Wednesday night, his biker friends would come by and throw somebody out. That was their Wednesday night activity. They were called the Uncles.\n\n**Marc Dagger:** I had this little rat named Darby, 'cause I loved the Germs. Until I learned that Darby Crash was a frickin' cock smoker. Anyway, he used to live in the couch where Harley slept. When we were moving out, we picked up the couch and there were tunnels chewed through the frickin' foam. We found bags of speed in there, money, everything. This rat was just like the person he was named after. He was a little pack rat speed freak.\n\n**Jason Lockwood:** I remember bleach-spotting jeans in the hallway 'cause it was all tile. If you leave bleach on your skin long enough, you will learn it gives you a mild chemical burn. Say, if you put on damp jeans that you've just bleach-stained. By the end of the day you'll have red patches on your legs where the bleach was.\n\n**Tammy Lundy:** January 2, 1984, was the day the Vats burned down. I have a Vats Rat tattoo to commemorate the day.\n\n**Marc Dagger:** There was one room downstairs where everybody threw their garbage, like old mattresses and old furniture and crap. Some dude wandered in there and passed out. I guess the guy had a cigarette.\n\n**Kurt Brecht:** I was sleeping in the vat right next to the one that caught on fire. I turned the light on and it was all full of smoke. I felt the door, which was a round, hobbit-hole kind of door, made out of wood, and it was real hot. We made the decision to just open up the door and make a run for it.\n\n**Bob Noxious:** The walls in the vats were coated in six-inch-thick rubber.\n\n**Mark Dagger:** That's probably what killed the guy, just breathing in that smoke. It was nasty.\n\n**Tammy Lundy:** Robbie Cryptcrasher, who used to play with Cause for Alarm, saved my life. He used to wear a gas mask on his belt. It was just punk rock kitsch, but when everyone started choking, he put it on and it worked. Robbie was dragging out his girlfriend Michelle, who was already unconscious. He had to drop her down half a story. I slid down the ladder and landed on Michelle. Then he hooked one arm under each of us and pulled both of us out and kicked the doors open to great cheers.\n\n**Marc Dagger:** We threw shows in the parking lot every week while they were destroying the Vats. They had this huge crane up there with a big ball on it. Probably took them two months longer than they planned to tear that building down, because we kept fucking up that crane.\n\n**Kriss X:** I heard that there were bodies hidden in the walls when they tore the place down. I wouldn't doubt it a bit.\n\n**Jason Lockwood:** I had some of my favorite experiences in the Vats. There was a lack of structure. Spaces like that don't exist in the Bay Area anymore. The land is too expensive. We're too packed in. There's no no-man's-land.\n**26**\n\n**Island of Misfit Toys**\n\n**Dave Dictor:** When the Mab and On Broadway got too hot, and [Mayor] Feinstein closed down Broadway after the Democratic Convention and all those riots\u2014we had to go into the warehouse districts. The Farm was the perfect place at the perfect time.\n\n**Andy Pollack:** The Farm started around 1974 by Jack Wickert and Bonnie Sherk as a big multi-dimensional art project. Back then, it was abandoned buildings. The park next to it was the ruins of an old dairy. It was envisioned as a working farm in the city. We had goats, chickens, ducks and rabbits, and gardens and compost piles. We did tours for kids during the day. There were cows. It was a beautiful vision, actually.\n\nThe Mime Troupe did benefits there. We had Make-A-Circus rehearsing there and all these little art groups that put on plays. We did reggae and blues shows, but the punk shows were the most consistently successful.\n\nWe weren't really a club, we were a community center. It was all-ages, we served food. We didn't have a liquor license, but I'd let people do insane things, like after-hours parties where they sold alcohol to minors. I wasn't running this thing like a business. I was running it like a spaced-out hippie. So it wasn't about money. It was about staying open so the kids could see the animals.\n\n**Carol DMR:** It was in a pretty shitty part of San Francisco.\n\n**Steve DePace:** But you didn't have to worry about cops kicking you off the sidewalk like on Broadway. And it was a big space. They had a big stage, big room, great P.A. You could fit a lot of people in there.\n\n**Andy Pollack:** Our legal capacity was 299 but we would fit close to 1,200 in there.\n\n**Steve DePace:** Everybody played there\u2014DOA, Flipper . . .\n\n**Andy Pollack:** . . . 7 Seconds, Circle Jerks, Agent Orange, Black Flag, Dead Kennedys, Bad Brains, Verbal Abuse, MDC, RKL, DRI, Polkacide . . .\n\n**Nosmo King:** Our drummer got community service for playing those shows.\n\n**Adrienne Droogas:** I don't think that the Farm carded. I don't think the Farm cared about anything.\n\nDay at the Farm flyer\n\n**Kate Knox:** They always had huge all-day shows at the Farm, with 10 to 13 bands.\n\n**Andy Pollack:** \"Day at the Farm\" was 18 bands in one day.\n\n**Kate Knox:** And it would get so hot, it would actually rain inside. Because, basically, it was just a big metal building. You were like, ewww, that's everybody's sweat raining on me.\n\n**Zeke Jak:** It was cold sweat and dirt and manure dripping down on you. When you got home, you were covered in dirt. You would blow your nose for the next three days and your boogers were black. It was so gnarly.\n\n**Aaron Cometbus:** I was looking for the bathroom downstairs once, and opened a door to a room full of goats.\n\n**Andy Pollack:** We actually dehorned the goats because they would spear people. We had a goose that would attack people, and a killer black rooster called Darth Vader. He finally drew blood from some baby and we had to eat him. There was a certain amount of peril. We also had rats. People would go rat killing. They would take shovels and kill rats and throw them up onto the freeway. A pretty punk rock situation.\n\nThe very first show I did as director of the Farm was in 1983, a birthday party for a local guy from the Mission. I was very naive. The guy said, \"Don't worry, I'll do security at the show.\" And two people were shot and killed in front of me.\n\n**B. A. Lush:** A lot of the minority groups that hung out in the park thought the punks were gang members, so they would take our presence as a challenge on their turf.\n\n**Audra Angeli-Slawson:** We left the Farm once and the car was surrounded by Mexican gang members. It was weird, they let us get in the car and then they came after us. Their pit bulls locked jaws on the tires and they punched through the back windows and were pulling me and Mari Cunningham over the broken glass, like, \"We're gonna fuckin' rape and kill you!\" They beat the shit out of the dude we were with. It was nuts. We fought for our lives and drove off with the car doors swinging open. Fucking crazy shit!\n\n**Dean Washington:** Occasionally, you'd see someone stickin' a needle in a vein behind a bush, or you'd see people pissin' in bottles, leaving them where any thirsty person might find it. Never pick up a half-full beer off the ground and drink it.\n\n**Andy Pollack:** I had this anything-goes attitude. Like, we're here for the community, do what you want, whatever happens is meant to be. Looking back at it now, maybe it was a lack of ego formation or something.\n\n**Oran Canfield:** I could never figure Andy out. He wore cardigans and argyle socks and was a lawyer. It was very weird. There he was running this thing, surrounded by weird punks and hippies and all these people that didn't fit in anywhere else.\n\n**Andy Pollack:** I started doing more shows 'cause we needed to make money. Paul Rat was the main booker and he really knew what would draw.\n\n**Dave Chavez:** Paul Rat was a kind soul. He was a guy that was into the scene, wanted to be part of it even though he couldn't play an instrument. He was older and he had a little bit of money stashed away. He started up CD Records, which did all the _Rat Music for Rat People_ comps, some of the better comps of that time. He also was the guy that booked the On Broadway and did the door. So he was a very visible character.\n\n**Andy Pollack:** We would just pack 'em in. My theory was, you pack 'em in one side and they come out the other side if it's too crowded. There were only two toilets. For a thousand people. The guys would pee in the animal yard but, in the downstairs bathroom, people would shoot drugs. Did I know that? No. Did I pay any attention? I didn't even know people on my staff were shooting drugs.\n\nOne time Paul Rat overbooked a show. The Circle Jerks were headlining and we could _not_ fit any more people in. There were hundreds of punks on the street and in the park. The riot police lined Potrero Avenue.\n\n**Kate Knox:** The Farm used to be like L.A. It would sometimes have three pits. It was just insane.\n\n**Chicken John:** The Farm was more violent than anything I'd ever seen. No one was there to have fun. It was a terrible place to enjoy music. The sound system was awful. You had to cross that big field. The first thing I thought was, \"There are so many people here, there's so much money here. They could hire a security person or two.\" I found out that there were ten.\n\n**Andrew Flurry:** We didn't always have money to get in. I went with Silke once and she had a bunch of cheap metal bracelets around her wrist that she used to barter with the doorman. I lost her in the crowd almost immediately. It was intense. I loved it but I was a little fucking kid and it was intimidating. I think the band said, \"We are the Mentors. You are going to die.\" The next time I saw Silke she was sitting on the stage behind the band.\n\n**Andy Pollack:** The only time we ever had real violence was with the local kids from the Mission. We had a rap show and people sued us because they got stabbed in the park. In the punk shows, people got their heads split open, but it wasn't from violence. It was from jumping off the stage and hitting the floor.\n\n**Silke Tudor:** Just getting there was an adventure. The approach. Who was in the park? Was it going to be okay? Or was it going to be a fucking hassle? It was like an amusement park ride, but it was real life. And we were the freaks. We were part of it. Part of the excitement, the oddity, the tension, the violence, the sex, the complete abandon. Once you were inside, it was like being swept up in a vortex. All that noise, sweat and smoke. Arms and legs flailing, music blaring, the floor shuddering. You just let yourself go and hoped for the best. Surfed the chaos. I don't remember much about the shows themselves, just the heart-pounding adrenaline.\n\n**Andy Pollack:** By 1987 there were 20 people scattered around. I started putting people all over the place, filling up all the crannies. People were sleeping in the day care center at night, plus we had developed live-work spaces in the back which were kind of legal.\n\nOran Canfield was part of Make-A-Circus when he moved into the Farm. He was this incredibly talented young juggler, just very personable and beautiful. His dad is that famous author of _Chicken Soup for the Soul_ \u2014just the father from hell. I met his mom and she said, \"Well, he's in the circus and we don't want him to travel back and forth from the East Bay.\" It was ridiculous, really. He lived in building C. He had a bed back there somewhere.\n\n**Oran Canfield:** I was nine. I was sharing a room with a night nurse, just a normal person who lived there. There was the main building with the stage and the preschool and the kitchen. This guy Bruce lived in a fucking animal cage downstairs\u2014he was always practicing drums. There were weird, dark passageways that led to building C, where I lived, which was a hangar. The other hangar was Mark Pauline's SRL, Survival Research Laboratories.\n\n**Dale Flattum:** There's always been a strange noise scene here, but one of the things that really influenced us was Survival Research. They were like, \"Aww, you play in a band? That's neat. We build robotic machines and set the freeway on fire.\"\n\n**Oran Canfield:** These crazy people with mohawks and pink hair, wearing clothes they made, building robots that were destroying each other and shooting fire. It was nuts.\n\n**Zeke Jak:** You could sneak into the Farm by scurrying across SRL's roof and climbing in through an open window. I didn't make it that far. I got up on the roof and this metal dude saw me and followed me up. I was trying to be as quiet as possible, but he started stomping across Mark Pauline's roof, being totally obnoxious. I heard Mark and Matt Heckert yelling, \"Hey! Hey! Who the hell is up there?\" I ducked behind a big metal vent just as they climbed up. They were yelling, \"Get the fuck off our roof! Now!\" The longhair returned with, \"Fuck you!\" I couldn't see it but I heard them hit the guy with a fucking flamethrower. I'm not kidding. I could smell hair and fuel and the dude was fucking screaming as he jumped off the roof. They came out into the park and hosed him with a semi-auto BB gun.\n\n**Oran Canfield:** The second year I was in the circus, I decided to sleep in the preschool right underneath the performance space. I couldn't sleep, so I went upstairs and the place was just jam-packed with every weird punk in San Francisco. I didn't know what the hell was going on but I loved it. I loved the energy, I liked being away from my mom. There weren't any fucking rules, no structure. I didn't have any relationships with other kids, but I was kind of a responsible, little-adult kind of kid. It was a fantasyland.\n\n**Andy Pollack:** I wasn't the only one who cleaned the bathrooms, but I tell my friends nothing will ever upset me after that. We'd be cleaning 'til three or four in the morning and then there'd be an elementary school coming in at nine a.m.\n\n**Julie Generic:** A lot of fuckin' mopping. There were perks though, for sure. We all had carte blanche at the On Broadway and the Mab. All the clubs swapped out guest lists. Even if those clubs were past their heyday, it was still a lot of fun. We also used to get comp tickets for the York Theater. They would play classic punk movies, and we'd smuggle in beers. Like they didn't know.\n\n**Andy Pollack:** The Farm was a legal place of entertainment for only three years. We probably did 300 or 400 shows. I stopped being the director at the beginning of '87.\n\n**Dave Dictor:** I'm sad that the Farm only lasted as long as it did. We had some great shows and great times there. I remember just feeling awful when it went down.\n\n**Andy Pollack:** I knew that it had to be the coolest place in the whole world, but I didn't go to other clubs, so how would I know?\n**27**\n\n**Crossover**\n\nWes Robinson has been putting on punk gigs in the Bay Area for  \n4 years now. He started with a little hole-in-the-wall in Berkeley  \ncalled Aitos, doing great intimate shows with the likes of the  \nDils, Avengers, DI's, Controllers, etc. For awhile he was a mainstay  \nin the East Bay chapter of Rock Against Racism, perhaps the  \nonly one who did not lose his sense of humor during all the internal  \nsquabbles. He later moved on to medium-sized shows at  \nRuthie's Inn and the Elite Club, but for some reason, as of late,  \nhas been hell-bent on do-or-die (usually die) extravaganzas like  \nthe Eastern Front, Summer Slam, and Discharge at the Oakland  \nAuditorium.\n\n_\u2014\"Wes Robinson\u2014For a Good Time, Call (415) 841-2678,\" Cliff Carpenter,_ Maximum RocknRoll _3, 1982_\n\n**John Marr:** Wes Robinson had the reverse Midas touch. In 1982 he had this bright idea to book this English band Discharge at the Oakland Auditorium. They weren't the Sex Pistols. The Oakland Auditorium is like a 5,000-seat place. It was up on the marquee: \"Thursday! Discharge!\" You walked into this enormous room and waaaay at the other end was the stage with this tiny cluster of people. That was Wes Robinson.\n\n**Tim Tonooka:** But the first two Eastern Front shows were fabulous.\n\n**Kate Knox:** Wes Robinson started these. They were down in the Aquatic Park. It was just dirt fields back then. Now it's a Frisbee golf course. They were a reaction to Bill Graham's gigantic \"Day on the Green.\" We used to call 'em \"Day on the Dirt.\"\n\n**Jesse Michaels:** The first Eastern Front was DOA, the Lewd, Flipper, 7 Seconds, the Fix, TSOL, Sick Pleasure and a couple other bands. That was one of the first shows I saw.\n\nDust Bowl: Eastern Front at Aquatic Park\n\n**Wes Robinson:** Immediately after the first Eastern Front show I retired from music. Then I started getting involved again, and suddenly there was another one. Both shows lost money\u2014but I only lost half as much money on the second show, 'cause everyone snuck in the first time. It was a big party, an expensive party.\n\n**Kate Knox:** The next Eastern Front was with Black Flag, Code of Honor, the Meat Puppets, the Dicks, Los Olvidados, Suicidal Tendencies and St. Vitus Dance. I think the third or fourth Eastern Front was sponsored by Miller or Budweiser. They had these trucks of beer. Somebody broke into the beer truck and wheeled away all the kegs on skateboards.\n\n**Dean Washington:** Twelve hours of music, outside, and trucks of beer show up just fit for stealin'. What could be better?\n\n**Kate Knox:** I didn't have any money to get in and so I traded Wes Robinson a couple hits of acid and he put 'em in his wallet. Two or three weeks later, I saw him at Ruthie's and he was like, \"Oh, fuck you, Kate. I got arrested and I forgot that I had the acid on me until I started getting booked. So I pulled it out of my wallet and I swallowed it, and then they put me in jail for the weekend.\" So he sat there and tripped in jail all weekend long, going, \"Fuuuuck.\"\n\n**Rachel DMR:** Ruthie's started around '83. That became the center of the East Bay punk scene. It was originally a blues club. I never understood how Wes Robinson convinced the owners that they could make any money. Most of us were underage. We didn't have money to buy beer. We'd go steal it and go drink it in the parking lot across the street.\n\n**Dave Dictor:** East Bay was a little bit more like L.A. in that the kids actually grew up within ten miles. They knew each other in high school. In San Francisco, we were like immigrants. We were ready to move away from our hometowns and get far away from mother's milk. It was a lot easier to keep that East Bay scene together because those people grew up together, they worked together, looked after each other. It was the nature of their tribe. That's one of the cool things about the Ruthie's scene.\n\n**Wes Robinson:** My first effort was a dynamic headliner from Washington D.C. called the Bad Brains. I had brought them to the West Coast to do a concert at the Elite Club and they were still in the area.\n\n**Rachel DMR:** People would drop through the roof instead of paying at the door.\n\n**Dean Washington:** I can remember a Suicidal Tendencies show. The place was just packed. There was no way to get in through the front door, but a few of my buddies remembered that skylight. My buddy broke his ankle. The cops got called.\n\nI think that was one of my favorite shows at Ruthie's, not only because I dogged my way up to the extra mic, but because the pits were really violent. You could kick the shit outta anyone and get away with it. Not that you were there to hurt anyone, but it felt so good after the show. Those really violent pits were probably the closest thing to having really, really good sex.\n\n**Wes Robinson:** Ruthie's was another example of a unique social change that had taken place in many American metropolises, post- Civil Rights movement. Black communities and ghettos were delighted, captive support for nightclubs such as Ruthie's Inn and the Elite Club.\n\n**Sham Saenz:** The first thing that always hit me was the smell of clove cigarettes. In '83, '84, you'd go to the On Broadway, the Mab, Ruthie's Inn, and it always smelled like clove cigarettes.\n\n**Adrienne Droogas:** When I was 16 years old a friend of mine asked if I wanted to go to this punk show. I was like, \"What's that?\" It was at Ruthie's Inn. When we got out of the truck, she goes, \"Oh my god, I've locked my keys in the car.\" There were people with mohawks and studded jackets all around us, just completely punked out. I was wearing white moccasin shoes and some Lee jeans or something. I grew up in Pleasanton. I didn't know what was going on.\n\nWe asked, \"Who knows how to break into a car?\" and every single punk said, \"I do.\" Within half an hour, we had 20 people surrounding the truck, five trying to break in, one of my friends was makin' out with somebody in a bush. There was a beer bong, people were smoking pot. It was perfect, you know?\n\n**Paul Casteel:** You had to watch your p's and q's at places like Ruthie's. It wasn't like San Francisco, where you could get away with wearing a clown suit.\n\n**Wes Robinson:** The image switched from multi-colored hair and art school, thrift shop montages to T-shirts, jeans, and low-cut Chuck Taylors. The only hair worn by these freshmen carriers of the torch was a mohawk, occasionally seen amongst the shaved head. These kids brought new energy and vitality, and redefined the movement.\n\n**Cinder Bischoff:** The bathroom was just insane. Live sex acts. People shooting up. You name it.\n\n**Kelly King:** Black Flag came to Ruthie's and Henry Rollins was singing. Everybody hated Henry because he was the new guy. I had a bad attitude and I was going up front and trying to spit on Henry. He just kept opening up his mouth and pointing in so I could make the shot. I had to respect him after that.\n\n**Noah Landis:** I saw some guy get his faced kicked in with a steel-toe boot outside Ruthie's. It made a popping sound that I heard across the street. The kind of violence that was happening back then was scary and real. It will never be as exciting and creative, and innovative and original, as it was back then either. But it'll also never be as dangerous.\n\n**Sammytown:** For awhile, Fang was the house band at Ruthie's. We would play every week.\n\n**Jeff Ott:** I went one weekend and saw Teenage Warning with the Faction, Fang and Social Distortion. Mike Ness of Social Distortion was so high on heroin, he kept falling down. Again and again. It was totally sad.\n\n**Jason Lockwood:** Shammy lived a block away.\n\n**Sham Saenz:** I remember particularly one night Wes Robinson was like, \"Look, man, if you want to hang out it's totally okay with me.\" I had to be like nine or ten years old. But I knew his son from school. He said, \"Go across the street, clean up the parking lot and you can come in.\" So that's what I did.\n\n**Jason Lockwood:** The really young kids would hang out at Shammy's house and drink, then go to the show.\n\n**Aaron Cometbus:** They got black light ink to keep people from faking the hand stamp and sneaking in. So we went out and bought black light ink. Actually, that made it even easier because as long as it glowed, they wouldn't look very close.\n\n**Leslie Fuckette:** Wes loved the Fuckettes. We would go over to Ruthie's on Monday or Tuesday night and he'd have plates of spaghetti waiting for us with garlic bread. He really loved the punk rock kids like they were his own kids. He hated all the hassles, but he really never gave up. He was a really, really good man.\n\n**Wes Robinson:** At the same time, I was dealing with these longhair metalheads. The lead singer of a local heavy metal band called Exodus came in to pursue bookings at Ruthie's. They were no longer welcome at the Keystone because their fans were too rowdy.\n\n**Kate Knox:** Ruthie's Inn was _the_ venue that started crossover. That was the only place in the United States, as far as I know, where metal bands and punk bands actually played together rather than fighting each other. Wes was like, \"Fuck it, let's see what kind of money I can make off of this.\"\n\n**Dean Washington:** Slayer didn't have a place in L.A. to call their own. No one would book them in L.A. But Wes Robinson would put Slayer at Ruthie's Inn. What Wes did was allow us to say, \"Fuckin' right, I love metal!\" Because when there wasn't a punk show goin' on, you'd see those same punks at a Slayer or a Metallica show. It was violent, there was a pit, we were gonna listen to it all. Heavy hard, and fast.\n\n**Ray Farrell:** Wes Robinson was an interesting guy. I think he was in his 40s when he was booking those gigs. He had come from a jazz and blues background. He was into putting different bills together. He wanted the jazz experience, he wanted the black experience, he was interested in hip hop to a degree. If Wes Robinson could put Ornette Coleman and Crass on the same bill, he would do it. To him, all those audiences could be combined and he was taking a lot of risks. He genuinely seemed to like it for what it was giving to the people.\n\n**Wes Robinson:** Exodus was the number one band behind Metallica. Ruthie's was suddenly a Mecca for this music, and every weekend the place was packed to the rafters with headbangers. Metallica moved to El Cerrito and were regulars at the club. Slayer and Exodus quickly became house bands. There was Violence, Forbidden and Heathen. Stone Vengeance was an all-black band. I was sure they were the only all-black thrash band in the world. They were true rockers from the Hunters Point ghetto in San Francisco.\n\n**Dean Washington:** I didn't always like Wes over the years but he turned out to be a really good friend. There weren't a whole lot of blacks that were involved in the scene. We had Darren, who came over from England who drummed with the Dead Kennedys for a period of time, Eugene from Whipping Boy, and of course, Orlando. There was basically a handful of us.\n\n**Kurt Brecht:** Yeah, Wes Robinson was kind of a shady character. He always owed us money so he let us in for free.\n\n**Kate Knox:** He was known for ripping bands off.\n\n**Hef:** When you walked in the front door, there was a ticket window on the left side. Wes was usually there selling tickets. It got to the point where my friends and I would just go there and stand at the window and stare at him until he'd say, \"Okay, okay, you're robbing me,\" and let us in.\n\n**Rachel DMR:** Wes had his own demons to deal with. I'm sure there was many a time when he didn't pay out the money he should have, but I think most people in the scene were guilty of similar things at one point or other.\n\n**Wes Robinson:** I was a hopeless methamphetamine junkie. What had been a weekend thing became a daily routine. By the time I got to sleep and recovered two or three days, I was ready to start the madness all over again.\n\nCrack cocaine brought me to such a desperate low that one night I got on my knees and begged god to help lift me from the despair of depravity. God sent my youngest son. He came to my apartment and, looking deeply into my eyes, asked me to quit the drugs. I learned to stay away from bars and parties where heavy drinking took place.\n\nA young hip hop promoter seized the opportunity to present a super hip hop extravaganza, featuring talent from two rival sections of East Oakland. One group gathered in the parking lot across the street. The other group held fort inside. The kids in the parking lot were suddenly flashing guns like cowboys. The man operating the searchlight in front of the club ducked for cover.\n\nThe police responded in force. The days of Ruthie's Inn were numbered.\n\n**Rachel DMR:** Wes wanted to do a Ruthie's Inn documentary before he died. It was really disappointing because people who should've been there, that should've contributed, didn't. I was really upset. Here's the one person who gave us a chance, you know. It was hurtful to hear so many people bad-mouth him and not step back and realize where they came from.\n\n**Dean Washington:** The bottom line is, had it not been for Wes, the Berkeley punk rock and\/or metal would not be what it is to this day. He did what no one else would do and some of those bands are huge today. Slayer, Metallica. I honestly don't think it would have ever happened had it not been for Wes Robinson.\n\n**Kate Knox:** Absolutely right. Slayer's still playing Fang and Verbal Abuse and Sick Pleasure songs. I think it had a huge effect.\n**28**\n\n**Let's Lynch the Landlord**\n\n**Jeff Goldthorpe:** Polytechnic High was originally squatted in late 1982.\n\n**Portia:** Polytech was a huge abandoned high school on Parnassus Street near the Haight-Ashbury district. It was rumored that it was abandoned due to asbestos. Many different types of people lived there. Some hobos, some skins and the punks.\n\nIt was left without ever being emptied. There was still chalk left on the chalkboards, and costumes in the drama room. The lights still worked and there was still running water. But all of the toilets were plugged up and the bathrooms were unusable.\n\n**Audra Angeli-Slawson:** You would go to a room and squat there for awhile, and then somebody would shit in the corner or something, so it would fucking reek and you couldn't stay there anymore. So you would just close it up and move on to the next room.\n\n**Portia:** At one point, we were all in some room on the roof. The last place that I recall everyone staying was the drama room. The police used to raid Polytech and arrest people for trespassing.\n\n**Jeff Goldthorpe:** The _Bay Guardian_ ran an article on squatting in San Francisco, detailing the activities of the recently formed Squatters Anonymous. The group made it clear that, unlike some East Coast squatters who had moved into empty government-owned buildings in order to negotiate legal residency, they viewed illegal squatting of privately owned property \"as a solution, not just a tactic.\"\n\n**Hilary Binder:** I had heard about squatting from friends of mine in New York and Europe, and went to San Francisco with a friend from the D.C. yippie scene. The Democratic Convention was coming up in San Francisco that summer.\n\nWe went to a meeting of people who were interested in organizing a counter-demo. Jim Squatter and Peter Plate were both present. Jim did most of the talking. Peter was this mysterious character. He didn't say much but he had this presence of someone who really had something to say.\n\n**Courtenay Dennis:** Peter Plate used to speak at the anarchists' bookstore. He kind of looked like the singer for Midnight Oil. He always wore a black beret and carried a big shoulder bag. He was super eloquent. I remember feeling like I was a little too dumb to be there.\n\n**Mike Tsongas:** Jim Squatter was a Greenpeace activist and very involved in the squatter movement.\n\n**Hilary Binder:** I had found an apartment in San Francisco and was just about to sign the lease. Jim said I should check out his squat. He gave me the inspiration. The idea that something like this could work if I had enough energy to do it.\n\nSo I went walking around the city, looking for places that were abandoned. I found HOLC on Sixth and Folsom. I went in and stayed there for a few nights by myself. At the Mabuhay Gardens, I ran into a young punk woman who needed a place to sleep. I invited her to stay and that's how it all started.\n\n**Jeff Goldthorpe:** The Hotel Owners Laundry Company was nicknamed HOLC or \"hole-see.\"\n\n**Courtenay Dennis:** It was an old laundry service plant.\n\n**Hilary Binder:** The Vats and Polytech were models to us. But there was a lot of drugs and drinking. They were basically a bunch of musicians and youth. Predominantly, the people involved with HOLC were anarchist identified.\n\n**Jeff Goldthorpe:** Many of the squatter activists evicted from the Vats moved into HOLC. There were two rules: no shooting drugs, and everyone had to work.\n\n**Hilary Binder:** There was a goal to provide housing and to do something with it as a public space. We had community dinners every week or two.\n\n**Mike Tsongas:** Most of the meals came from dumpster-diving. You could find all kinds of fresh vegetables in the dumpsters behind Safeway. It was amazing what we found.\n\n**Julie Generic:** If we dumpstered a crate of tomatoes, it was spaghetti night.\n\n**Hilary Binder:** We also started a free-food program. We raised the money through donations, then would drive over to a distribution warehouse in Oakland sponsored by a church. We would load up the car with near-expiry vegetables and fruits for 15 dollars. Drive back to the city and set up a free distribution stall somewhere. First we did it from the HOLC, then on Sixth Street, and near Church Street. We kept the program going for a few years.\n\n**Mike Tsongas:** They were actually doing so many wonderful things. Everything was very positive and very inclusive.\n\n**Julie Generic:** We had a big room that had 15 mattresses in it, and we all slept on those mattresses. We had movie nights once a week. It was fucking genius. It was so fun. We showed underground movies that people had made, stuff from Crass and PLH, political movies.\n\n**Courtenay Dennis:** Everybody was really into MDC. They came over a lot. And the guys from the DKs and the Dicks came over. And Kurt from DRI. People would play music and have debates. Listening to those people who were older than me talking about what was wrong. So many of them were really bright, politically astute people. Hilary certainly was.\n\nI always felt like it was Hilary's place. She was the boss. She looked kind of dykey. She wore shirts with the sleeves cut off, no makeup\u2014sort of a hippie punk. She was like a weird grumpy mom. She was very outspoken and she had a temper.\n\n**Julie Generic:** Hilary was a self-righteous bitch. I know she was a well-intentioned person, but she always fucking hated me because I didn't know what the hell I was doing, and she felt like she had to tell me what to do.\n\n**Aaron Cometbus:** She was kind of hot.\n\n**Courtenay Dennis:** The summer of '84, that was when the political punks were really the most visible.\n\n**Julie Generic:** HOLC was home base for Rock Against Reagan that summer. They pulled one of the big school buses inside. All the sound equipment was there, the crew\u2014everybody was staying at the squat.\n\n**Hilary Binder:** A lot of people were in and out, from Rock Against Reagan, yippies I knew from New York. They were doing the West Coast tour, and then going down to Texas for the Republican Convention counter-demonstrations. We had meetings up the wazoo to figure out what we wanted to accomplish. We met with more established organizations, and with the whole DIY scene of anarchists and punks. I went to the Rainbow Gathering in Mount Shasta that summer to drum up body support from the Love Family.\n\n**Jeff Goldthorpe:** HOLC was also a part of a broader squatting activism. They held meetings at Bound Together, St. Anthony's Coffeehouse, the Hotel Harold and HOLC, where new sites would be discussed.\n\n**Hilary Binder:** We did consultations with the homeless people on Sixth Street. I was encouraging them to go inside this abandoned apartment building. They were really against the idea because \"that's illegal.\" Eventually they did occupy the building, but they didn't want to go as far as stealing electricity. By that point we had learned how to get electricity from the street lights.\n\n**Julie Generic:** A group of people branched off from HOLC and created the Women's Squat, which was on 20th and South Van Ness. The whole process of creating that squat was really cool. They created a safe sanctuary for women. I was never into segregating the sexes, but it was good.\n\n**Jeff Goldthorpe:** A high proportion of European nationals heard about HOLC through political squatter networks.\n\n**Andrew Flurry:** The squatting symbol was a circle with a lightning bolt arrow going through it. People would draw it everywhere, I'd see it on signs all over town.\n\n**Courtenay Dennis:** Hilary had that symbol tattooed on her arm.\n\n**Hilary Binder:** San Francisco has a long history of free clothes and free food, from the Diggers on. You could eat pretty well if you knew the schedule of all the kitchens. Whether it was the Cauliflower Collective or the Coltrane Church or the Krishnas. I became friendly with the Haight-Ashbury Soup Kitchen. I learned how to make bread in coffee cans. They were really great, open-hearted people.\n\n**Courtenay Dennis:** Tree's House in the Mission was a restaurant run by these hippie people, with a big room and long benches and a garden. We all worked over there and they had these theme nights for the soup kitchen. Oh my god, it was a magical thing.\n\n**Julie Generic:** Tree's House was awesome. People who volunteered there would dress up for that week's theme. So the girls would wear crazy Tahitian outfits and the guys would paint themselves up. You would see people in a grass skirt. The whole process of feeding people was like a tribal group experience. It was cool and kind of weird.\n\n**Jeff Goldthorpe:** The HOLC squat had avoided any major police harassment during the Democratic Convention. But they were finally evicted in mid-October 1984.\n\n**Hilary Binder:** It wasn't a surprise. We were told the day they were coming. We barricaded the squat. I wasn't there when it got busted. People believe someone opened the door for the cops. They didn't have any trouble getting in.\n\n**Julie Generic:** They kicked us out of there. Articles appeared two days in a row in the _San Francisco Chronicle_ and _Examiner_. We took all our mattresses and our cooking stuff and plants out onto the sidewalk. We drew windows and a clock on the wall in chalk, and made it homey. After we got kicked off the sidewalk, a bunch of us went to an abandoned funeral parlor half a block away. We got kicked out of there, too.\n\n**John Borruso:** Trial did a show in front of City Hall in support of squatting rights, December 8th, 1984. As I recall it was a special lineup with Roddy, then of Faith No More, performing with us.\n\n**Andrew Flurry:** Rock Against Rent was my first real punk rock show. I only remember the Dicks, 'cause Gary Floyd was this big fucking fat dude. There was a Dicks' song on the _P.E.A.C.E._ compilation that I really liked. There were skinheads and Jaks there.\n\n**Aaron Cometbus:** It was a particularly ugly scene\u2014some skinhead beat up an old homeless guy _and_ his dog with a steel pipe. And Gary Floyd was there saying, \"No, don't just blame the skinheads! They're not the enemy here.\" He always seemed to see the skinheads as these misunderstood, basically cool guys. I loved the Dicks and have total respect for Gary, but, man, what was he thinking?\n\n**Andrew Flurry:** I was 13, so for me that show was mostly about the pit, and it was scary as hell 'cause I was tiny. The stage was in the park facing away from City Hall and there was a circle pit. Half the pit was on the concrete and half the pit was in the grass. But the lawn was sunken so there was a ledge and a gutter between the two. I remember this skate guy Zeke was in the pit doing handplants off the concrete into the grass. I thought it was the most badass thing I'd ever seen. The guy was like a fucking orangutan. I think he used to sell us acid.\n\n**Jeff Goldthorpe:** A leaflet was distributed entitled _What Is Squatting?_ which acknowledged that \"we have to reach out to people in order to get support.\" But it was too little too late.\n\n**Hilary Binder:** The squats started going one by one. We tried to squat a place south of Market and immediately got kicked out by the cops. They followed us in their squad car as we were wheeling our stuff down the street in our shopping carts, looking for the next place. It really got bad. It was one of the reasons I stopped squatting that town. I had spent too much time in jail and representing myself in court. I left for Europe to organize what I hoped would be the international Stop Business As Usual demo.\n\n**Gary Floyd:** Hilary lives in the Czech Republic now.\n\n**Hilary Binder:** HOLC was only open for six or seven months. It was a pretty short-lived revolutionary activity, but it was an important one.\n\n**Julie Generic:** HOLC is a functioning laundry service again.\n\n**Gary Floyd:** Hilary lives in the Czech Republic now.\n\nHilary Binder: HOLC was only open for six or seven months. It was a pretty short-lived revolutionary activity, but it was an important one.\n\n**Julie Generic:** HOLC is a functioning laundry service again.\n**29**\n\n**Fucked Up Ronnie**\n\n**Sara Cohen:** Reaganomics, the Iran-Contra affair. That's what Rock Against Reagan was all about. We had a very clear understanding about what the fuck was going on in our country, about what was going on in the world.\n\n**Oran Canfield:** I had a real fear that we were all gonna die. In Berkeley and the Bay Area, Reagan was seriously the devil. I would see him on the news and nothing he ever said contradicted the idea that these fucking crazy egomaniacs were gonna end up destroying the world.\n\n**Al Schvitz:** This was in the midst of Reagan's idiocy. MDC came back to San Francisco from a tour in Europe and we got a copy of _Overthrow_ , the yippies' magazine. On the back cover was a review of our first album: \"Album of the Year.\" We didn't really know what the yippies were about, but they loved us. They were doing a 50-city tour, and they wanted to know, could we do any dates? Somehow this evolved into us pretty much doing all 50 dates, and bringing any bands we wanted. This was the Rock Against Reagan tour.\n\nIt was a bunch of potheads. It was pot money. Okay, you weren't gonna get Ian MacKaye to back you, but what the hell, it seemed like a great opportunity. We wound up working with all our good friends\u2014the Dicks, Crucifucks, DRI, Toxic Reasons. We played all these cool, cool venues that we never would have played.\n\n**Gary Floyd:** We didn't have much money for food but we always had cheap, disgusting beer, and we had hootenannies every night. Glenn Taylor was the guitar player for the Dicks at the time and he could play anything. He would yell out \"Help Me, Rhonda\" by the Beach Boys and I would start making up filthy lyrics about dicks and titties.\n\n**Tammy Lundy:** When we were in Madison, Wisconsin, the yippies actually got a couple of helicopters to fly over the gig and drop thousands of joints onto the crowd. We were onstage when that happened and it was raining joints from the sky. It was a miracle. It was like something Jesus would do.\n\n**Gary Floyd:** But there were a lot of people who were really stoned making big decisions for the rest of us. The punks and the hippies really did not get along that well. MDC was sort of the go-between, trying to keep the peace. The Dicks and the Crucifucks became very good friends and saved each other from killing everyone else, including Dave and MDC for getting us on the fucking thing!\n\n**Tammy Lundy:** We were out for maybe six or seven months. Sometimes we'd have these glorious moments where fishes and loaves fed the multitudes. And sometimes we'd go down this red-clay road in the middle of nowhere, and the vehicles would all get stuck. They didn't always have their shit together.\n\n**Gary Floyd:** They guaranteed us at least one or two meals a day but it was always the same. They got a donation of 100,000 frozen turkey dogs, so we'd show up at some kid's house whose parents didn't know we were coming, and there'd be some huge, horrible pot bubbling on the stove. Of course, MDC had their 80-pound bag of carrots.\n\n**Tammy Lundy:** If you were going to ride in the MDC van, that was your diet. No meat.\n\n**Al Schvitz:** We played the Pot Parade going _up_ Fifth Avenue, which is a downtown street in Manhattan\u2014you can't drive up Fifth Avenue. We went from Washington Square Park to the United Nations building on a moving flatbed truck, with Dave yelling.\n\n**Tammy Lundy:** We were staying just a couple blocks from CBGB's. We would go up to the editorial offices of the yippie magazine and sit with these '60s icons like Wavy Gravy and Abbie Hoffman. It was totally strange.\n\n**Gary Floyd:** Central Park at the band shell. There were tons of cops and hippies and punks and it was a bright day. A bunch of Rasta people were playing onstage. And Crucifix, who had never even spoken to us in San Francisco, ran over to us with their huge foot-long spiked hair and they were really friendly. It was like, \"We have arrived at last, Crucifix is being friendly to us.\"\n\nWe played a couple of songs and then they said the cops were thinking of turning it off. So we played \"Dicks Hate the Police.\" In the middle of the song, I gave some drunken rant about freedom, and the cops pulled the plug. I could tell that it was going to become very, very chaotic so I turned into mist and blew away. I was drunk. I started a big bunch of shit and I left.\n\n**Al Schvitz:** The culmination was this gig at the National all in front of the Lincoln Memorial on the 4th of July in 1983. We got Biafra to fly out with the Dead Kennedys for that one.\n\n**Tammy Lundy:** There were a jillion people there, and it was really hot. Police helicopters were flying overhead, taking banking turns, and I remember someone asking, \"Are those guns or cameras pointing out the door?\" I was approached by a strange, heavily built man in shorts, sunburn, and Halloween mask looking for reefer. When I said I couldn't help him, he pulled a badge and threw me against our van. Biafra at one point gestured towards the Washington Monument, noting how much it looked like a KKK hood.\n\n**Al Schvitz:** When we got back to San Francisco, we played Dolores Park with the Dead Kennedys. Whoopi Goldberg was emceeing it, and Dennis Peron, the weed activist.\n\n**Kriss X:** There were thousands. It was exciting as hell! It was like us against the world. I felt like we were all saying a huge \"fuck you\" to the establishment and the Reagan administration. There was an overwhelming sense of camaraderie in the park that day. I was still young and green, and to be honest, politics were not at the top of my to-do list. But Feinstein was mayor and she had upped all the cops. I remember punks getting hassled almost daily for petty bullshit.\n\n**John Marr:** If you were a minor, out on the street after 11 p.m., San Francisco P.D. would haul you in. _MRR_ booked a series of curfew shows at the Mabuhay. I still have the flyer. It's a picture of this punk girl being hauled away by these two cops: \"Tired of having your evenings end like this? Curfew shows at the Mab!\"\n\n**Sheriff Mike Hennessey:** There was no question there were conflicts with the police out on the streets. Punks lip off\u2014let's face it, that's part of being a punk. And cops don't like being lipped off to. And there was drug use, there were kids getting drunk and passing out. The cops would attempt to try to control the group, and this is a type of group that doesn't like to be controlled. I filed a complaint against a cop one night for bashing a kid's head up against the grille of a car. But it was mostly, as we would say in law enforcement, mutual combat. We're here and we agree to fight, and then it's over with.\n\n**Andy Pollack:** In 1984, around the time of the Democratic Convention, San Francisco tightened up. Never to be the same, actually.\n\n**Gordon Edgar:** The _Chronicle_ detailed the police dropping homeless people off at bus stations at the Nevada border.\n\n**Jeff Goldthorpe:** Before the convention opened, 1,000 demonstrators noisily picketed across the street from the hotel where the Moral Majority was holding a \"Family Forum\" meeting. Across the street were a large number of police. Some demonstrators attempted to escape by circling a few blocks close by and trying to surge into the street. As the picketers moved toward Union Square for a planned rally, mounted police charged into the crowd, swinging clubs, trampling several people and arresting eight. Peace punks did a \"die-in\" in an intersection a block away, holding up traffic for 15 minutes. Others threw garbage cans into the street and set a dumpster afire.\n\n**Gordon Edgar:** War Chest Tour was the '80s version of anti-corporate demonstrations, where a bunch of punks would rush into some multinational's office and start screaming about their capitalist evils.\n\nIf the Kids Are United: Rock Against Reagan\n\n**Mike Tsongas:** The War Chest Tour was one of many predecessors to the Black Bloc. David Solnit hung around us a lot and was one of the primary people who organized the War Chest Tours during the convention.\n\n**Jeff Goldthorpe:** On Monday, July 16, the WCT was ambushed by S.F. police. People were surrounded and charged with \"conspiracy to trespass.\" A few demonstrators that escaped did a retaliatory \"die-in\" in a nearby intersection and were quickly tackled or dragged off by plainclothes police. It was all over very quickly, but was enough to get a headline in the next day's _Chronicle_ : \"Punk Rocker Protest\u201484 Arrests.\"\n\n**Mike Tsongas:** It was really surreal. I remember walking down the street with my purple mohawk\u2014Mr. Punk Rock with black eyeliner and studded belts. This white van pulled up beside me and the doors slid open. It was the news, and they were filming me. They followed me for almost an entire block before I ditched them.\n\n**Jeff Goldthorpe:** \"Punk rocker\" was all the explanation needed by most media observers to explain the actions or the police response.\n\n**Gary Floyd:** The Dicks played the Democratic Convention at Moscone Center. It was really historic. There were so many people there, not just punks.\n\n**Mike Tsongas:** It was the pinnacle of the San Francisco punk scene. Punks from all over the country filtered in for this event.\n\n**Gavin MacArthur:** By the time MDC played, it was pretty much a mad-house. There is no way that anything like that would fly now.\n\nThere were around 5,000 people . . . the crowd was a curious  \nmixture of punks, hippies, straights, gays, various minorities,  \nand skins. As Dave MDC said from the stage, \"We're all family.  \nLet's take care of each other.\"\n\n_\u2014Tim Yohannan,_ Maximum RocknRoll _15, August 1984_\n\n**Hef:** A bunch of us from Berkeley and Oakland came down. The cops were chasing people around with these motorcycles, riding down the sidewalk on dirt bikes trying to surround people.\n\n**Jeff Goldthorpe:** Early in the show, 200 more marched off to Bank of America world headquarters. Demonstrators began to rap on windows as they chanted, and the TAC Squad suddenly moved between them and the building. Continuing down Kearny Street, they were suddenly surrounded again by police on horseback and 87 were arrested, charged with obstruction.\n\n**Mike Tsongas:** We got surrounded by cops immediately, even though we weren't doing anything illegal. They said, \"We order you to disperse. You are now under arrest for failing to disperse.\" Just like that.\n\n**Tammy Lundy:** We got busted walking away from the Bank of America building. All of a sudden these policemen on horseback rode up on us\u2014it felt like we were going to get trampled\u2014and they pinned us up against the wall. It was really scary. I remember my brother saying, \"Oh boy, mama's not gonna like this.\"\n\n**Courtenay Dennis:** This really quiet, sweet, Filipino girl Joren got knocked over and kicked in the head by a policeman's horse. There was a lawsuit because of that. I got billy-clubbed. My arm was all black and blue. I got taken to 850 Bryant. As they walked us past the cells, people were yelling and chanting. A bunch of us were so young we didn't have IDs, and we wouldn't give our names or ages. I got to make a phone call. My mom came and was all pissed off. It was my 15th birthday. The police started to get freaked out so they brought three paddy wagons to bring us all over to juvy. On the way, I got a bunch of us to rock the paddy wagon back and forth, to try to get it to roll over. My mom followed the wagons to juvy. She said she could see one of them rockin' back and forth, and she knew I was in that one.\n\n**Jeff Goldthorpe:** Those escaping the ambush got back to the Moscone Center concert and denounced the latest arrests. The Dead Kennedys played next.\n\n**East Bay Ray:** We got sheets and made Ku Klux Klan hoods, with Reagan masks underneath.\n\n**Klaus Flouride:** They were busting people left and right and dragging them off to jail. Biafra just kept saying, \"Don't get busted! Don't get busted!\"\n\n**Aaron Cometbus:** David Solnit got onstage and gave this breathless speech. Moving, but sort of hysterical, too, which whipped the crowd into a frenzy. \"The cops have just arrested . . . eighty of our brothers and sisters . . . for peacefully protesting against this fucked-up war machine. . . . We've got to do something. . . . We have to march on the Hall of Justice and get them out! Now!\"\n\n**Mike Tsongas:** We were watching the news, on the inside, and saw them marching down to the Hall of Justice. They did a big sit-in while we were in jail. It was an incredible feeling, to see that.\n\n**Hilary Binder:** People were screaming and yelling for our release. It was really fun.\n\n**Mike Tsongas:** People called the Hall of Justice pay phone, all the \"stars\" of the scene wanted to offer us encouragement. We passed the phone around. There were people from all over the country with us, people who had different experiences in their own scenes back home, but we were able to share this together.\n\n**Gordon Edgar:** As we rallied outside, the police moved in. My weaselly brother made it through the police line at the last minute but I got stopped by a riot baton in my chest. I spent all night in jail before being sent to juvenile hall the next morning. Our protest became the biggest mass arrest in the Bay Area since the late '60s.\n**PART III**\n**30**\n\n**White Trash, Two Heebs and a Bean**\n\n**Fat Mike:** I went to summer camp when I was 13, and Joe Escalante from the Vandals was a junior counselor there. At the school dance he was playing some punk rock. I didn't even know what it was. I went to a record store and asked the guy, \"Have you heard a song that goes, 'Beat on the brat with a baseball bat'?\" He gave me a Ramones cassette, and that was the first punk I ever heard.\n\nThen I met our drummer Erik Sandin outside the Cathay de Grande, which was a punk club in Hollywood where I grew up. I had a Black Flag skateboard, and he was just, \"Cool skateboard.\" We started talking.\n\nWe were all 16 and had no idea how to play musical instruments. Lucky for us we wanted to play punk, therefore we didn't need to know how to do anything. So Melvin, Smelly and I started writing songs and playing shows.\n\n**Mike LaVella:** A lot of their success is just the fact that they never did a comeback tour. From '85 'til now, they never stopped. Not too many bands can say that. There's something to be said about the consistency. There's some kind of chemistry between those guys where they're like, \"This is our job.\"\n\n**Fat Mike:** No one ever liked us in L.A. It was a shitty town. So we just toured every summer and every vacation. We played places like CBGB's, Mabuhay Gardens, and the Anthrax. No one liked us, but that was okay 'cause we were having a hell of a good time.\n\n**Mike LaVella:** I met him in '85, they played in Pittsburgh in my neighbor's basement. We just called our friends, \"Some fuckin' band from L.A. is playing in Nick's basement.\" Maybe 20 people came, but it was packed. I had all these fat-chick magazines in my room. _Gent_ , all that shit. Mike was like, \"Oh, you like fat chicks, too?\" He was probably the first guy who was open and excited about someone else having fat-chick magazines.\n\n**Fat Mike:** The reason I moved to San Francisco\u2014it sounds kind of corny or like I'm a loser. But I didn't want to give up punk rock, and L.A. was really dangerous. In the summer of '85, I went to a Dickies show in Santa Monica, and my friend got stabbed in the lung. For nothin'. He almost died. In San Francisco, skinheads were beating the shit out of everyone, too. But right when I moved here, they all left. So it was totally cool.\n\n**Noah Landis:** I went to S.F. State with him and we had a lot of talks. He was another person who spoke truth to power. To this day, he does not have any qualms about saying exactly what he thinks.\n\n**Fat Mike:** I studied social science. Minor in human sexuality. I was gonna be some kind of sex therapist.\n\n**Bucky Sinister:** When we graduated I was like, \"What are you gonna do now?\" And he said, \"I'm gonna be a professional punk rocker!\" I was like, \"Ha ha!\" Joke's on us.\n\n**Fat Mike:** I used to graffiti NOFX everywhere we went. I'd wipe off the back of the toilet and write my band's name there, 'cause everyone sees it, you know. I did that behind the toilet and in the urinal at the Farm. Of course, they got pissed at me. Most of our early shows were at the New Method Warehouse, but we'd played the Farm a couple times and we were trying to get a show. They said, \"If you want to clean your graffiti off, then we'll let you play here again.\" And I fucking did. I went there, scrubbed the toilets, and got the NOFX name off of there. And then the Farm closed down. So we never got to play there again anyway.\n\nIn '86 we toured with a band called Subculture. That was my first year of college and I had a food card. I gained 30 pounds in a year. So a lot of cities we went to, people were like, \"Oh, you put on some weight, huh? Got a little fat there, didn't ya?\" They started calling me Fat Mike. Well, Mike\u2014what kind of a name is Mike? There's gotta be something. Mike Suicidal, Mike Fuck-Up. So Fat Mike works.\n\n**Mike LaVella:** People were really into Bad Religion, but I always liked NOFX more. They were more funny, more clever. Fat Mike is pretty charismatic.\n\n**Fat Mike:** We had to have a sense of humor because, this is totally serious, we were the worst band of the '80s. The only thing we had going for us is maybe we were a little funny onstage. And we drank more than every other band. It was more of a fabulous disaster. That kept us going for awhile.\n\nWe kept on touring. In 1989 we wrote our first good song, \"S&M Airlines.\" Brett Gurewitz from Bad Religion heard it and signed us to Epitaph Records. Then we made the _S &M Airlines_ LP. It was weird, people actually started to like us. From there on, things got better.\n\nI didn't really start the Fat Wreck label until '91. Even though I put out early NOFX records in the '80s, that wasn't a label. I just printed records and sold it to a few distributors and sold them on the road.\n\n**Mike LaVella:** I was working at CD Presents. The world's worst record distributor. Mike needed a job, and I hired him. He did the mail order, I was the salesman.\n\n**Fat Mike:** CD Presents, David Ferguson. He put out the Avengers record, and DOA record. The Institute for Unpopular Culture. That guy is the biggest piece of shit I've ever met. He burned Fat Wreck Chords for ten grand. Which, back then, was a lot of money.\n\n**Mike LaVella:** CD Presents became Buried Treasure. Nobody worked there but me and Mike. And then we hired Spike Slawson. Spike was my friend, and I introduced those two. Then Mike left. He was like, \"I'm starting a label.\" For his birthday, his wife made him business cards and stationery.\n\nThey reissued the _P.M.R.C._ 7-inch, that was their first, and I was the distributor for it. I remember thinking, Jesus Christ, it's easy to sell these NOFX records. People wanted them. In Germany, and wherever.\n\n**Jesse Luscious:** Until really recently, if you put out a record on Fat you were guaranteed 50,000 sales.\n\n**Fat Mike:** I don't know, we're fairly smart people. I mean, it's not that hard. The goal isn't how much you can get, it's how much fun you're having.\n\n**Spike Slawson:** He wanted to do good shit for his friends. I think that was the main drive behind doing that label. And he is a pretty good businessman.\n\n**Fat Mike:** We put out Tilt, Dance Hall Crashers, No Use for a Name from San Jose, Dieselboy from North Bay.\n\n**Mike LaVella:** Most of the bands sounded vaguely like NOFX. He was like, \"Well, if we can sell X amount, then I'll sign the bands.\" He was in a unique situation. He could do NOFX EPs or a live album on Fat, but he kept NOFX on Epitaph for a long time. Because by that time Epitaph had the Offspring, that sold 7 million. And they had Pennywise, and all that crap. And he knew they were solid. Like, this check is always gonna come in.\n\n**Davey Havok:** The one independent label that no one has anything but good things to say about is Fat Wreck. Fat Mike does it from a place of pure love of music.\n\n**Dave Chavez:** NOFX ruined punk rock, as far as I'm concerned. Mike LaVella: They were not respected very much by the rock 'n' roll people here. Mike would go to Europe, and bring me back these posters for festivals they played. Hole and New Order had opened for them. I'm like, \"New Order opened for you?!\" And then they'd play the Bottom of the Hill for 75 people.\n\n**Fat Mike:** Tim Yohannan always spoke highly of us. When people would bitch about us being jokes, he always said, \"Yeah, but they're kind of a cool band. I don't really see what they're doing wrong.\" He was one of the reasons NOFX got credibility, and kept credibility.\n\n_You better watch out, you better not cry_  \n_You better put out records DIY_  \n_'Cause it's not what you've done, it's who you've been_  \n_If you fuck up I'm telling Tim._\n\n_\u2014\"I'm Telling Tim,\" NOFX_\n\n**Fat Mike:** Despite what people think, we have always been political in our records. Our very first 7-inch had a political song, but live, we didn't preach. We were funny live.\n\n**A. C. Thompson:** There was actually a debate at Epicenter about a NOFX record called _Heavy Petting Zoo_ , which had a cover of a person petting a sheep in a suggestive way. There was a sense that this was offensive to both women and sheep, and the vegans on staff were not going to stand for this.\n\nMy point was, there are no women in the picture, so how could this be offensive to women? If you can't make fun of sheep, then you really can't make fun of anything.\n\n**Fat Mike:** We were actually banned from Gilman. For what?! The thing is we used to play Gilman and we've always taken a stand against major labels. There were four and a half months where we didn't know what the fuck to do. Green Day got really big and Offspring got big, and major labels wanted to sign us. We met with one major label and just felt so disgusted. So that was it.\n\nHeavy Petting Zoo: NOFX's sixth full-length album\n\nMTV\u2014Quit bugging us  \nMajor Labels\u2014Quit bugging us  \nCommercial Radio Stations\u2014Quit playing us  \nWe've been doin just fine all these years without you so  \nLEAVE US THE FUCK ALONE! Ass Holes\n\n_\u2014Liner notes of_ Heavy Petting Zoo _, 1996_\n\n**Fraggle:** NOFX always played sold-out shows at Gilman. Always. People would come from all over. There was a whole San Francisco crowd that would only come out for big shows.\n\n**Mike LaVella:** They played well to kids.\n\n**Fat Mike:** First time we headlined there, 80 people came. I got hit in the face with a basketball. Just when I came onstage. I was like, \"Hi, we're NOFX, we're from L.A.\" _Bam!_ Welcome to Gilman.\n\n**Mike LaVella:** We once had this big fight because Mike liked Manhattan Transfer. I was like, \"Dude, they're shit. You should listen to Lambert, Hendricks and Ross.\" I went out and bought the Lambert, Hendricks and Ross album, gave it to him. But he preferred Manhattan Transfer. Think about that. Gloss it up, take the soul out of it, take the jazz out of it. That's what he did with punk rock. I really thought those records were overproduced. There was no raw edge.\n\n**Blag Jesus:** Most people don't look at music in a complete way, and that helps you market it better. A guy like Fat Mike loves punk rock, period. And he sold a couple million records doing just that. Try to be real expansive, you lose people 'cause they don't give a fuck.\n\n**Mike LaVella:** When Me First and the Gimme Gimmes first started, Fat Mike came to my house and went through my record collection. He was like, \"This would make a cover, this would make a cover.\" All those early Me First singles and the first album, they're just records from my collection. They would just put \"Me First and the Gimme Gimmes\" over the top of \"Allan Sherman,\" or whatever.\n\n**Spike Slawson:** I was the shipping manager at Fat Wreck. I wasn't very good at it.\n\n**Fat Mike:** He was drunk a lot. I wrote the song \"Go to Work Wasted,\" so what do I expect? My employees show up drunk!\n\n**Spike Slawson:** I must have smelled like a distillery.\n\n**Fat Mike:** My wife said, \"We really have to get rid of this guy.\" It's because I wanted to fire him from Fat Wreck Chords, I put together this band and said, \"Take it on the road.\"\n\n**Spike Slawson:** I was doing karaoke at the time at the Mint, which is a gay bar in the Castro. I would sing in the warehouse while I was shipping. Mike said, a lot of the best songs on any record by a new punk band is the cover, so let's just do a whole record of them, a whole set of them.\n\n**Fat Mike:** We started playing San Francisco. The whole idea was to put out 7-inches, no CDs. We were just going to play San Francisco. Just bars. It lasted for a couple years like that.\n\n**Spike Slawson:** Cover bands are for bars.\n\n**Audra Angeli-Slawson:** They did their first show at the Chameleon in early '97, which was tiny. Now it's just crazy. We recently came from Japan and the Gimmes played in front of 40,000 people. It was a festival, but still. It's a phenomenon. Spike always says, \"I don't know why people like our cover band.\" It's because they are fucking hilarious and fun.\n\nThe first time I met Fat Mike, I was doing stage security. He said, \"You're a badass!\" We've had a mutual admiration society since then. I work with them, doing a lot of stuff. I do production and wardrobe. I tour-mom. If I don't feed them, they won't eat. They're my children. And all their wives are happier because they know the boys are taken care of.\n\nAnd fuck if Fat Mike doesn't bail me out of trouble a lot. I've had Incredibly Strange Wrestling shows at the Fillmore where my headliner has canceled, and Fat Mike got NOFX to play, didn't even think twice about it. Sold out the room for me.\n\n**Noah Landis:** Hats off to him. He's lucky enough to have had success with his music and his label, to have had the time and means to do things.\n\n**Jesse Michaels:** Fat Mike took his power and put it to real, tangible use with Rock Against Bush. This tour went on for months, and planted seeds in the minds of an enormous mall-culture generation that wouldn't go anywhere near a protest march.\n\nPunkvoter is a coalition of punk bands, musicians and record  \nlabels, organized to educate and mobilize progressive voters. . . .  \nPunkvoter aims to educate and energize the nation's youth about  \nthe political process, and inspire them to become involved in  \nthat process to change this society and shape the future of our  \nnation.\n\n_\u2014\"Formation of Punkvoter,\" Fat Mike (Burkett), 2003_\n\n**Jello Biafra:** I was involved in Punkvoter. Of course the more radical-than-thou got down on me. \"What the hell are you doing getting involved with Fat Mike, that motherfucking sellout, blah blah blah.\" Then I thought, hey, wait a minute. He was born rich, is rich, but he's putting a lot of his own money into this because he gives a shit. He always did, if you look at his background closely.\n\nI realized that Punkvoter with Fat Mike running the show would reach way more people than Punkvoter with Jello Biafra running the show. And if that meant working with people who were really into Howard Dean, or wanting a Democrat to win just so Bush wouldn't be in there\u2014I don't agree with that, but I'm willing to work with them. I'm willing to work with people more moderate than I am, to help achieve radical change.\n\n**Mike LaVella:** I ran into him in Austin. He was like, \"Mike, can we count on you? Will you get behind it?\" It was like he was campaigning. He was really serious. And then I saw him at Stinky's Peepshow right after Bush got elected. I said, \"Dude, sorry about the election.\" He said, \"Oh, I don't care.\"\n\n**Fat Mike:** I feel that we made it okay to talk about politics again in the music scene. A lot of bands were doing it. Bruce Springsteen. Dixie Chicks. But our music scene, which had always been political, hadn't been in the last ten years. Now Green Day is political. Blink 182, the most pop band ever, was stumping for John Kerry. A lot of bands were scared at first, but a lot of bands joined forces. That was the most important thing that we did. We got a few hundred punk bands to make the same stand against the Bush administration.\n\n**Jello Biafra:** I respect Mike and what he did with Punkvoter publicly. But I really disagree with his decision to pull out. It had strong enough legs, he could have let it grow on its own, which in a way it has. The seeds for a large part of the Obama movement were planted by Punkvoter. In fact, one of the main Internet and text message organizers for Obama was the old political director of Punkvoter.\n\n**Fat Mike:** We got the ball rolling and that's all I wanted to do in the first place. Organize all the bands I knew to take a stand. And now everybody is. So what's my job now?\n**31**\n\n**A Chronology for Survival**\n\n**Fat Mike:** I lived in S.F. but I used to go to a lot of house parties in the East Bay in the '80s. Christ on Parade and Neurosis and Op Ivy\u2014that was my generation. I knew all those guys. They always used to say, \"Mike, you're out here again!\" 'Cause the best parties were out in the East Bay. Half the best shows were in warehouses.\n\n**Adrienne Droogas:** I was still in high school and living with my parents when I went to New Method, the warehouse started by Crucifix back in the '80s. By that time it was Christ on Parade, A State of Mind, Clown Alley.\n\n**Dave Ed:** New Method was a bunch of really scruffy-looking punks, wearing dark clothing. Crass, dreadlocks, vegetarianism. It was pretty shocking, the size of the shows they got away with. The cops just didn't care. Emeryville was still no-man's-land back then.\n\n**Noah Landis:** I spent a lot of time there. Those guys were several years older than me. They were living in a rotting warehouse, went on rent strike and took it over. That was the most empowering thing I had ever seen. These guys were living outside the grid 24\/7. That was a mind-blowing revelation about what punk rock could be. I did a lot of growing up. I couldn't be a kid around them and spout off stuff that was overopinionated and underinformed. I had to pay attention.\n\n**Eric Ozenne:** My first show was Christ on Parade, the Descendents and 7 Seconds. It was the coolest thing in the world, but I was scared shitless because I was 15 and I was from the Valley. Christ on Parade had a whole rainbow assortment of hairdos. Nohawks, twinhawks, mohawks. Everybody had ripped-up clothes and their music was really dark. I loved it.\n\n**Noah Landis:** This super-tall guy with a big mohawk named Barrie Evans worked at Blondie's. He was in a band with some guys out in Hayward called Teenage Warning. The singer was Kevin Reed. He was amazing\u2014just this screaming ball of sweat and hatred.\n\nWhen their guitar player Jim Lyon quit, he asked me to come try out. I learned their songs\u2014they were really fast and straightforward. Barrie picked me up from my mom's house on a motorcycle and drove me to BART. He showed me how to hop the gate by the elevator. We played at Ruthie's Inn. My very first show with Teenage Warning\u2014Bill Collins, who taught me to play guitar, was front and center, heckling me the whole time.\n\nWhen Teenage Warning dissolved, Barrie got together with the drummer and the bass player of Treason, and they brought me into the fold. Malcolm came up with the name Christ on Parade.\n\n**Kate Knox:** Christ on Parade had this sound, along with their politics that hit your heart. It was how you felt about the world. They spoke to you.\n\n**Noah Landis:** \"Landlord Song\" was about the guy who owned the New Method building. The idea of ownership of space was just ridiculous to us, so \"End of the month, rent is due, tell your landlord, 'Fuck you,' \" that came from real life. You can hear how young everybody was when they were writing these things, but the energy and the attitude was pretty fuckin' awesome.\n\n**Scott Kelly:** I remember seeing Christ on Parade in San Jose, opening up for Social Distortion. The show was fucking amazing. There was so much tension in the room before they even played the first note. They had an intro tape going with news clips interspersed with explosions and all this shit, and they were kind of pacing around. And then they went right into it.\n\n**Martin Sorrondeguy:** I was in Chicago and went to this crazy show at the Cabaret Metro\u20147 Seconds, Youth of Today, Christ on Parade and Indigesti from Italy. When Youth of Today played, I saw these guys in the pit I had never seen before. They looked super-ultra-punk. They had the spiked, dyed hair and they were in the pit dancing with smiles on their faces, puttin' their arms around people, pickin' people up when they fell, just goin' crazy and enjoying it. I remember thinking, \"Who are these guys?\" I had never seen anything like that. It was communal. I was used to kids at shows being pretty fuckin' nasty, and these guys were like into it and havin' fun. Then, all of a sudden, these kids jump up onstage. \"Next up, Christ on Parade from the Bay Area!\" It was in that moment I understood somethin' was different about the Bay Area scene.\n\n**Scott Kelly:** The cornerstone of what they could do was their drummer Todd Kramer. He used a ride cymbal like nobody ever has. It would turn everything into this white-noise wash. When the mixture was good, they could just tear a place up. When the mixture was off\u2014somebody was a little too loaded or it was just a bad night\u2014it would just destruct.\n\n**Barrie Evans** : I left COP at the start of 1987. It was just a difference of opinion. I got into rockabilly and psychobilly when I was living in Japan. It seemed so different and removed from the already fading punk scene in the U.S. It was nice to be part of a scene that had not yet gotten tainted and regimented. When I got back to the States I wanted to start a band that had the aggression of punk and the melodic structure of rockabilly. The Hellbillys continue to this day.\n\n**Noah Landis:** Christ on Parade played all over Europe and the U.K. That trip really blew our minds. A couple of our members decided they actually wanted to move there. When we got back from Europe they said, \"I think we're done.\" I was devastated. I felt really proud of all the things we had done. I didn't want it to break up at all. I still don't know how and why that fire peters out.\n\n**Scott Kelly:** Neurosis practiced in the living room of New Method. I don't think I left Emeryville for an entire year. I worked in Emeryville, I lived at New Method, and I ate at the liquor store across the street. You didn't need to go anywhere else. We had our practice space, we had a gig space, we had our dealers, we had the liquor store, we had the food\u2014it was done. It was a place filled with massive, mind-expanding nights, and a lot of really intelligent people were living there, putting out records, starting bands.\n\n**Jesse Michaels:** Neurosis were my friends but they were just so _rad_ , the word I would have used at the time, for having a band. They evolved from other bands like Violent Coercion and SFT, who I worshipped when I was a kid.\n\n**Scott Kelly:** I remember being at Ruthie's when me and Dave and Jason first started conceptualizing our idea. We watched five bands in a row and they all sounded the same. It was that metal-core thing, a couple of longhairs and a couple of guys with mohawks, going back and forth between the chunky riff and the mosh part. We were not gonna do any of that shit.\n\n**Dave Ed:** Things had been more stylistically open in the early '80s, even in the thrash and hardcore scene. We were in this quandary. Why should we even have to think about style? We should just play what was coming out of us. So we took some time to think about where this band was going to go.\n\n**Scott Kelly:** It was basically a two-week conversation between me, Dave and Jason, where we X-ed out everything we didn't want to do. Then we isolated six bands, saying, \"Okay, these are the real deal.\" Black Flag\u2014that was a band that didn't give a fuck. Rudimentary Peni was a deep influence\u2014that really introspective, dark, minor key, creepy stuff. Joy Division, which was just about as pure as it gets. The early Pink Floyd stuff with Syd Barrett and a little bit beyond. Amebix, which was this English Black Sabbath-influenced crustcore band. And everything from the Germs to bands like Voivod. Weird, experimental metal shit. We literally wrote these names on the wall. Our ideas to use visuals, keyboards\u2014all that stuff was all established right at that point.\n\n**Dave Ed:** We came up with a whole plan without even trying. And what we came to was, let's make this the band that we're going to be in for the rest of our lives.\n\n**Scott Kelly:** We would do this until we were dead. And that remains the commitment. We will go until one or all of us is gone. And that will be the end of it. We were completely obsessed with leaving a mark. And also submitting ourselves to music, and letting music become us.\n\n**Dave Ed:** I was about 16 when we started Neurosis.\n\n**Scott Kelly:** I was possibly 18. Jason was 15.\n\n**Martin Brohm:** Dave Ed's dad taught drafting in a math class in El Sobrante. He was a funny guy. He walked in one day and threw a cassette tape at me. It bounced off my head, landed on my desk. He said, \"My son does this crap. It sounds like hell, but you might like it.\" It was the old Neurosis demo tape.\n\n**Noah Landis:** I saw the very first Neurosis show back in 1986. I think Victim's Family played.\n\n**Sham Saenz:** Man, the early days, the first shows. Neurosis was always a good band. Dave is a fuckin' amazing bass player. They got Steve Von Till in the band, and it was like the perfect key that they needed.\n\nThe Word as Law: Scott Kelly from Neurosis\n\n**Kate Knox:** Early Neurosis shows were absolutely amazing.\n\n**Anna Brown:** People were writhing around on the floor. Not in like a Crash Worship-hippie kind of way, but in a \"I can't contain myself this is so exciting!\" kind of way. They had 20 totally epic songs that they would play, and people would just go fuckin' crazy. They played a lot, too. They were sort of an anchor.\n\n**Billie Joe Armstrong** : There was an entire scene of people around them\u2014this Oakland punk rock scene that included them and Christ on Parade. Neurosis were really scary.\n\n**Noah Landis:** Scott and Dave both sang. Dave has within him the ultimate Cookie Monster voice. I don't know where it comes from. And Scott has a real intensity in his soul. Everything that comes out of him is real. He is not trying to do anything, it's just what is inside of him getting out.\n\n**Billie Joe Armstrong:** One night Scott Kelly had a brand-new baby, and the mother and the baby were sitting onstage and the crowd was just going berserk. Someone did a stage dive and nearly kicked the baby. It was a brand-new baby, I don't even think it was six months old. Scott just lost it. He jumped into the crowd and just started beating this guy. Then he jumped back onstage and said, \"That's my baby, man!\" I remember thinking, there is a new life here. It was art and punk and children. There were kids from the suburbs, kids from Berkeley, and these old ex-hippie, Vietnam-era guys\u2014all percolating in the same spot.\n\n**Adrienne Droogas:** You'd get so swept up in the music and all the punks would be singing every single song. Before I was singing in Spitboy, I came up to Scott and said, \"Hey, do you mind if I get up and sing part of 'Blister' with you?\" And he said, \"You see that microphone over there? That's your microphone whenever you want.\" I was all nervous but they started playing the song and I jumped up and started singing along, and then Noah from Christ on Parade jumped up and he started singing along, and then we did stage dives. They were just an awesome band.\n\n**Greg Valencia:** At that time, Neurosis was the shit. They were the big Bay Area love.\n\n**Anna Brown:** My dad thought it was funny that my favorite band was called Neurosis. He was the head of the psychiatric unit at the hospital. So Dave Ed gave him a Neurosis T-shirt and he wore it to the hospital Christmas party. He thought that was hilarious.\n\n**Noah Landis:** Christ on Parade was intense, but we were fast and we had hooks. What Neurosis was doing was a lot darker, a lot deeper and a lot _meaner_. During that time, Neurosis was broadening its idea of what they were doing.\n\n**Jeff Ott:** Both Christ on Parade and Neurosis started to head in a direction of intentionally doing dissonant music. But Neurosis was also about complicated songwriting and musicianship. The drive was, \"Let's go further out than this.\" They were never going to find a formula and stick with it.\n\n**Scott Kelly:** Christ on Parade's last show at Gilman never fucking happened because of us. The fuckin' fights were so bad that they had to shut down the show.\n\n**Ben Sizemore:** It disintegrated into a big brawl. It seemed like every asshole skinhead in the Bay Area showed up. Econochrist played that show, and some skinhead girl with a fringe jumped up onstage while we were playing and tried to hit me. Neurosis was supposed to play right before Christ on Parade, and they couldn't get through a song without a fight breaking out. I remember Scott so famously saying, \"Alright! Next fucking fight that breaks\u2014\" and of course a fight broke out. They stopped playing and then it spilled out onto the street, and before you knew it, the cops were there and the show was shut down. Christ on Parade never got to play their last show at Gilman. Later that night, they played at their house for 20 people instead of 600. By that point, most of them were living in a house by the Oakland Greyhound station.\n\n**Scott Kelly:** These guys loved to fight to our music. It was a fucking disease that we just couldn't get rid of. We had to show up at gigs with our own security. We had a couple of guys that I worked with who were 'Nam vets, special ops guys.\n\nThen we added keyboards. It wasn't a conscious move to eliminate the violence from the shows, but those guys didn't want anything to do with that. It was the funniest thing. Add keyboards, the fight's over. When we showed up with keyboards, people left before we'd even played a note.\n\n**Noah Landis:** People were pissed. They were into Neurosis because it was the most intense hardcore band in the area. Then they put a keyboard out there and this new guy that nobody knew. People were just totally bummed. They were hurling insults, they were calling them Faith No More.\n\nI stood there on the side of the stage watching this irate crowd. Unfortunately, it just took the guy forever to set up the keyboard. It felt like it was never gonna end, because he was building this whole contraption with little monkey bars. It was painful to witness.\n\n**Davey Havok:** When Neurosis busted out the keyboard, it was like, \"What are they, fuckin' Flock of Seagulls?\" It confused people. It was no longer punk rock because\u2014ignoring the Screamers or Suicide\u2014punk rock didn't have keyboards. Neurosis was serious and brutal and dark and heavy and hard. And keyboards didn't fit into the perception people had of Neurosis. Which was a shame.\n\n**Noah Landis:** For years there was a huge divide in the Neurosis fans. There were people who only listened to the first two albums, and everything after was crap. Anything with keyboards was crap.\n\n**Scott Kelly:** Gilman was definitely our place for awhile. We played opening weekend and three of the first four benefits. Then, around '91, when _Souls at Zero_ came out, they decided that we weren't punk enough to play there. They passed judgment on us the same time _Maximum RocknRoll_ did. I remember calling up Tim, \"Why won't you review us in your magazine anymore?\"\n\n\"Well, you guys aren't punk rock. You guys are like fuckin' Yes. You play like ten-minute songs.\"\n\n\"What's the definition of punk rock?\"\n\n\"Three chords and a cloud of dust, Scott.\"\n\nIt was so funny. I was like, man, you're a fuckin' hardheaded old bastard. But I respected that. In a way, it freed us from that entire dogmatic political scene. Which, in my opinion, never had anything to do with music.\n\n**Noah Landis:** Simon, their keyboard player, wasn't involved in New Method or punk rock. He didn't share any of that history with the band. He was a guy with a keyboard that Steve knew from the South Bay. They couldn't hack it with him. When they came home from the tour, they kicked him out.\n\n**Scott Kelly:** We quickly absorbed Noah. There were no walls.\n\n**Noah Landis:** I said yes because it was bigger than any band I'd ever been in by that point, really powerful and unique. They were my best and oldest friends and I wanted to make music with them. But I was also on drugs. The early '90s were the darkest years in my life, as far as getting into speed and losing that ability to care about yourself or the person you're with. Everything becomes, \"Fuck it!\" Except your friends who are doing drugs with you.\n\nI got a sampler and a keyboard and hung out with Scott, both of us just tweaked to the gills, pathetically pushing buttons. I felt like maybe I can't do this, maybe I've challenged myself beyond my ability. It was terrifying. Like being boiled in water or something. But I figured it out. Then things got really creative.\n\n**Kate Knox:** Neurosis was one of the first bands that had that slower\u2014what I call napcore.\n\n**Scott Kelly:** We thought we can do whatever the fuck we want. Are we playing that too long? Well, it feels good to me, who gives a shit? Slow? Fast? It didn't matter. We fed off each other.\n\n**A. C. Thompson:** I saw them in San Francisco. It was this totally mind-blowing, dark Bacchanalian event. You expected to see people killing one another or fucking each other in a mass orgy on the floor. You thought it might actually happen. They were so cinematic. It was like heavy soundtrack music.\n\n**Noah Landis:** We've been doing this for so long, together through great times and hard times. Through children and divorces and marriages and serious losses.\n\n**Scott Kelly:** And we're still doing our own thing. We put out our own records, we book our own shows. We learned to do that from the people who did it before us and showed us how. We're holding the torch for that.\n\n**Ben Saari:** When I hear the name Neurosis, I get . . . It's sort of how I feel about my early girlfriends. Like every really important period of my life.\n**32**\n\n**Sleep, What's That?**\n\n**Andy Asp:** Hardcore might have been really refreshing and exciting the first couple years, but nobody wanted to call themselves a punk band anymore. Punk became kind of this dirty word.\n\n**Jesse Michaels:** In the early '80s there were fights at every show. People stood around and watched people kick the shit out of each other. You hear all these people talking about the hardcore days, how great it was. How great is watching five people beat one person up?\n\nThen there was a dead period. This little pocket of weird kids were getting into punk, and it actually was a very creative and open thing happening.\n\n**Frank Portman:** Crimpshrine was a strange marriage between Jeff Ott, who was the crazy voice and as close to a modern-day hippie as you could get, and Aaron Elliott, this really great writer who wrote the lyrics and was the drummer. Not really derived from anything. Destined for self-destruction, but this brilliance behind it.\n\n**Jeff Ott:** Everything was very masculine then, and very angry and aggressive. What we did took punk rock into a very watered-down direction. People went, \"Oh, that's melodic. It doesn't have to be all this angry, dissonant thing.\"\n\n**Anna Brown:** Jeff Ott was like a messiah. A strong sense of justice. A born preacher. Very charismatic and very confident about the ways of the world, lots of ideas about things. Some of his ideas were just nuts, but compellingly crazy. Jeff took a _lot_ of acid.\n\n**Jesse Michaels:** Me and my friends followed Crimpshrine all over the place. They were a huge influence.\n\nQuit Talkin' Claude: Jesse Michaels singing along with Crimpshrine's Jeff Ott\n\n**Jeff Ott:** I grew up in Berkeley. When I was 10 or 11, I met John Kiffmeyer and Aaron Cometbus. Dave Edwardson lived a few blocks away up in the Berkeley Hills with his parents. Arnie from my soccer team, his father was Wes Robinson, who ran Ruthie's Inn. We'd end up at soccer team functions at my house, and Wes would be checking me out, listening to Journey. He told me, \"Dude, you should check out Mot\u00f6rhead.\"\n\nJohn Fogerty's kids hung out with us. They're the reason I started getting high. After the band [Creedence] broke up, John Fogerty lived in between Dave Edwardson's house and my house. He had a band called Ruby, who played for my third-grade class. I thought they were great 'cause I had never seen live music before.\n\nI was a straight-A student, and in between 13 and 15, I got expelled. Did some back and forth in terms of living with my family. My parents were fairly checked out anyway. They were just interested in viticulture and drinking the by-products of it, namely.\n\n**Aaron Cometbus:** A lot of us, like Noah Landis, Dave Ed, Jesse Michaels, Tim Armstrong and me, we'd grown up together and played in each other's bands. Most of the bands never even played shows, but they were still in the scene reports in early issues of _Cometbus_ and they were on the compilation tapes I put out.\n\n**Ben Saari:** I think it was Aaron Elliott, Jesse Michaels and Jeff Ott, they were called Trampled by Fish. And then Jesse went out to the East Coast, so it was just Aaron and Jeff, and they were shopping for a third wheel forever. It was Tim Armstrong for awhile.\n\n**Jeff Ott:** We had this weird bassist guy who turned out to be in disguise. Had a wig that was like glued. And then he disappeared. Shortly after that we found Pete at Berkeley High, and it became Crimpshrine. The first show was at New Method. We'd all go across the street and get high, and there was this girl who crimped her hair all the time, I believe her name was Maya.\n\n**Lenny Filth:** Crimped-out fuckin' blond hair that was just gorgeous. Aaron had a crush on her, but he never went up and talked to her.\n\n**Jeff Ott:** Aaron was like, \"We should call the band Crimpshrine.\" And basically named the band after her hair. This was like '84. I imagine by now somebody's told her there's this band named after her.\n\nWe played New Method, Own's Pizza, the Farm. We played shows with Soup at the Unitarian Universalist churches in Kensington and Albany. Always at Unitarian churches, though, 'cause they're all communists.\n\n**Ben Saari:** They really personalized a lot of the songwriting. Until that point, people had been writing about the big outside world. They were more introverted and introspective.\n\n**Anna Brown:** These incredibly impassioned lyrics that were about getting through life, about hope and despair at the same time. They were really catchy and raw. When you listen to them now, they're still great.\n\n**Jesse Michaels:** And they were just fun to watch. The shows were really small. It was almost more like parties more than real shows.\n\n**Anna Brown:** Jeff was really tall, thin, bald. You'd see him with this blood running down his head from shaving his head in the bathroom.\n\n**Rachel Rudnick:** Jeff Ott would take a Bic lighter and burn the excess hair off so it'd be like an inch long. It smelled so bad. He also griped about his older brother, who was a football player. I remember being on the bus and Jeff bragging that he had found the life insurance papers his parents had taken out on their kids, and his was twice as much as his brother.\n\n**Aaron Cometbus:** It was still a small town and you spent a lot of time just waiting for someone to arrive from out of town and make things more interesting. It was either runaways or people looking to buy large quantities of acid to bring back to wherever they were from. And the punks were involved in that, too. Acid was very much tied into the character and the economy of the scene. It was the main pastime and probably the main livelihood as well.\n\n**Billie Joe Armstrong:** I lived in a house with Jeff Ott in Richmond. Tr\u00e9 lived there, too. There were a few college kids living there, but slowly the punks started to infiltrate. Everybody would be up all night on acid, and the students had to get up to go to school in the morning. Eventually, they moved out. I remember at one point we ran out of firewood, and Jeff starting chopping down the stairs outside the house. We just burned that.\n\n**James Washburn:** The first time I ever saw Crimpshrine was in the basement at Jake Filth's house. That was a fuckin' awesome show. Aaron Elliott was just such a fuckin' unusual drummer. Zero drummer type skills but a badass drummer at the same time. The guy'd sit down with pots and pans and just go off. I thought he was an asshole. I don't remember why, but that was my impression. I always felt like, I'm from Pinole, and these guys are from Berkeley, so they're cooler than me. We became accepted later.\n\n**Ben Saari:** At Berkeley High, by the end of the '85-'86 school year we had written \"Crimpshrine\" on every single locker, every single desktop. There was a reward for whoever was writing \"Crimpshrine,\" so we got a bunch of those \"Hello My Name Is\" stickers and wrote \"Crimpshrine\" on 'em and started handing 'em out in the hallway. Some fucking dupe decided he wanted the 50 dollars. So he turned me and Jeff in, and we got suspended, and that led to me getting sent to the Oakland school system. Jeff ended up getting institutionalized shortly after that.\n\nThat was a fucked-up thing. There was this shrink in Albany who was getting kickbacks from an insurance company for institutionalizing kids. My parents and Jeff's parents were going to her. She locked up a whole slew of punk rock kids.\n\n**Noah Landis:** Jeff Ott had horror stories about the way his parents reacted when they found out he was doing drugs. Piss tests and institutionalization and that kind of stuff. I remember going to shows way out in the city at Club Foot\u2014hard place to get to when you're a kid\u2014and his parents would show up to give kids rides home. So we'd all pile into this little minivan, and then they'd drive through the Berkeley Hills and drop people off at three o'clock in the morning. They just didn't know what the fuck to do. Their kid is on drugs and going out with other kids on drugs. You piss-test him, institutionalize him, and you drive his friends home.\n\n**Ben Saari:** Then Jeff was going to some alternative school out in Concord. Nobody was in regular contact with him. He ended up back at Berkeley High.\n\n**Anna Brown:** Jeff would take you up to campus where we would climb up the sides of these buildings. He had devised these weird ways to climb backwards up between two buildings, doing a crab walk.\n\n**Jeff Ott:** I was up at Telegraph all day, when there wasn't a band function. Kids run away from somewhere else, and it was like, okay, here's a free breakfast, now what? Well, we could go climb buildings.\n\n**Anna Brown:** He had memorized every inch of the campus before any of us had ever set foot in there. There is a network of tunnels underneath the campus, steam tunnels where people lived in the winter. We would steal marbles from the Earth Science building and roll them down the hills, or just take a bunch of acid and go into Wurster Hall.\n\n**Jeff Ott:** We had a mural done with spray paint by Jesse and this white rapper kid, Josh. \"Crimpshrine,\" like 30 feet long. Totally beautiful, New York subway style, across the top of Wurster Hall. Up there all night, just tripping on acid, watching them make this thing. You know, \"Jesse, make us a mural!\"\n\n**Ben Saari:** We'd go to the top of the top floor of Eshleman, where all the student activist groups had their offices. We would go there and grab all the recycled paper, and go to the top of the student union and make paper airplanes, if we were coherent enough to do that, and just throw 'em all day. Or if we were too fucked up, we would just wad paper up and throw it down into the courtyard.\n\n**Jeff Ott:** At the architecture building, there was a big grate that shot up air really fast. So you could pour water and it would come out and go up.\n\n**Anna Brown:** Crimpshrine and Operation Ivy played a bunch of shows in laundromats for awhile. They would just show up at a laundromat and start playing.\n\n**Jeff Ott:** Sweet Baby Jesus and some other bands started making little stickers that they put on matchbooks. It was this little cartoon guy and it said, \"Crimpsoupocracy.\" So we had multi-band matchbooks.\n\n**Davey Havok:** We were all so fascinated by \"Summertime\" by Crimpshrine because it referenced our county, Mendocino County. He was specifically referring to Mendocino the town, which was over the hill on the water.\n\n**Jeff Ott:** When Crimpshrine did the first record, _Sleep, What's That?_ was the obvious thing, because I was living outside and Aaron didn't sleep, except in the daytime a little bit. So then it was obvious to call the next record _Quit Talkin' Claude_ because we were just saying it all the time.\n\nClaude was Ben Owens, he hung out with Op Ivy and Crimpshrine and everybody else. He was from El Cerrito, this 14-year-old walking around with people who are just trying to get drunk or whatever.\n\n**Janelle Hessig:** Claude was really crazy-eyed and talked constantly, and would always be twitching and fumbling all the time.\n\n**Jeff Ott:** He would go on the most bizarre tangents. He would find out about this new drug DMSO that somebody just invented\u2014\"It makes this and this and this happen.\" Then he'd go, \"Oh, I've been researching Aleister Crowley,\" and dadadadada. And then it would be like, \"Oh, and this guy, he's trying to find the grand unified theory in quantum mechanics.\"\n\nPeople were like, \"Oh, shut up, Claude. I don't wanna hear about all that.\" So \"quit talking Claude\" became a phrase you'd use when somebody was talking about something too much. He became a figure of speech.\n\n**Cammie Toloui:** Totally out of his mind. I thought he was doing too much acid. One time at the radio show, Claude was doing his best to get a piece of string to go in his mouth and out his nose. There was some point where he was arrested for walking naked down a median in the middle of Berkeley.\n\n**Jeff Ott:** I hadn't seen him in eight years. And I went to pick up my older daughter in Berkeley, and here came Claude walking up the street. I ran over and said, \"What's going on?\" And that day he had passed the bar exam. Everyone was fuckin' telling him to shut up, and he's a lawyer now.\n\n**Mike K:** I remember when Crimpshrine and Operation Ivy played their last shows before this tour. It was this crazy thing, like they were getting into a spaceship. We were thinking, this is part of our culture and what we were part of, and all this was going out and encountering weird alien life-forms along the way. And they would come back with great artifacts.\n\n**Andy Asp:** Their legendary Pinto tour. Basically two guys, on Crimpshrine's first tour, said, \"Fuck this! Fuck you! We're goin' home.\"\n\n**Ben Saari:** When Jeff, Pete, Aaron and Idon got to Florida, Idon and Pete bailed. Paul Curran drove out, picked them up in a Pinto station wagon, and did the tour with 'em. In a Pinto\u2014that wouldn't go any faster than 45 miles an hour. They finished the tour. This is how for real those guys were.\n\n**Aaron Cometbus:** A station wagon? No way. It was a tiny-ass Pinto hatchback. In a station wagon we could have fit two bands.\n\n**Ben Saari:** When Pete and Idon came back, nobody would talk to those guys. It was like, \"You motherfuckers, you bailed. You did the one thing you're not supposed to do, you got homesick and you quit and you came home.\" That went on for months.\n\n**Andy Asp:** That story had an impact on our work ethic. Don't put on any airs if the P.A. doesn't sound good, or you thought it was gonna be different. Doesn't matter. That's the show biz part of it, that you can't get too high and mighty about: \"We didn't know this Nazi band was on the bill.\" Just play the fuckin' show. The Pinto tour was legendary.\n\n**Adam Pfahler:** There was a certain amount of innocence in Crimpshrine. The songs were awesome. It was all very simple and there was something really innocent and raw about it. And there was a lot of strength in that. So when people started getting hooked on dope and stuff, it was depressing.\n\n**Sergie Loobkoff:** I was never around Jeff Ott when he wasn't fucked up on some kind of acid, or really high, or drunk. He was a mumbler and would say non sequiturs to get a reaction out of you. Like people on acid often do.\n\nI didn't realize that wasn't his personality as much as his state of mind at the time. He just went into drugs and that defined him. And when I met him as an adult he was really soft-spoken and totally sober. I was like, \"Oh wow, this guy has a completely different personality that's nothing remotely like that.\" That's really trippy.\n\n**Jeff Ott:** I stopped doing a band in '96. After being sober for a year, it dawned on me that for the first time in my life I didn't have to be in a band. Before that, that was all I ever did. I got high and I did bands. And all of a sudden I was sober. It was like one day I woke up and I was like, \"I don't have to be in a band. Okay, I'm not.\"\n**33**\n\n**Journey to the End of the East Bay**\n\n**Frank Portman:** The club was an East Bay idea. It involved a lot of the people who had put on random shows at various places. There was a pizza place on Shattuck called Own's Pizza. That was how the owner, who was Pakistani or something, spelled \"Owen.\" One of my band's first shows was there. It was promoted by Kamala Parks.\n\n**Kamala Parks** : When I started doing shows, this other guy named Victor Hayden and I combined forces. I'd book the shows and he'd find places for us to have shows. He was very supportive. He and I worked together well. I was probably about 17. It was a very unlikely combination.\n\n**Frank Portman:** Victor was much like a lot of these eccentric older guys with pompadours who always gravitated towards these places. You just looked at him and you thought, \"Wow, what is this weird Liberace guy doing at this pizza place?\" I'm not making any kind of accusation. I'm sure he's a very nice man. But you know how Liberace could play a _Star Trek_ villain? He was like that, to me. One minute he's talking about, \"Oh, I really love your band's set.\" The next minute he's tying you to a giant chess piece. You were always a little bit wary of it.\n\n**Larry Livermore:** Victor was extraterrestrial. A little bit spacey, like a hippie. But also very idealistic. He and Kamala were good buddies. Victor found Own's Pizza. I said, \"I'll help out. Can our band play?\" The show went off really well. It was Victim's Family, Nomeansno from Canada, Mr. T Experience, a really young thrash band from Marin County called Complete Disorder, and the Lookouts. Tr\u00e9 would have been 13. I'm pretty sure his parents came down. Afterwards Victor and I were sort of glowing about how great it was, and he said, \"We've got to find a place where we could do this all the time.\"\n\n**Kamala Parks:** Victor and I had done stuff at New Method, we had done stuff at Own's Pizza, we had done stuff at this practice place in San Francisco. But inevitably the show would get shut down by the fire department or the police department. It was incredibly frustrating, because these people would see big crowds of people, think it was a moneymaker and come to find that it wasn't a moneymaker, and so then they'd get angry and lose interest.\n\nVictor and I started talking about finding a place. We knew _Maximum RocknRoll_ was trying to find a place at the same time, but they were dead set on finding something in San Francisco. Victor and I were focusing on the East Bay.\n\n**Martin Sprouse:** Nobody was at odds. We were all friends. I thought everybody was looking for the place together. Victor had been looking at other buildings.\n\n**Kamala Parks:** Our plan was, we were going to be completely open with the owners about what our intentions were: \"We're gonna have a punk club here because we're sick of getting kicked out by the owners, of the place freaking out wherever we were booked.\" We wanted it to be completely up to code, and aboveboard. Because it was obviously not working to do it as underground as we had been doing it.\n\nRuthie's Inn wasn't really part of the punk scene. The Mabuhay Gardens wasn't owned by anyone in the punk scene. You still felt like you were still under the whims and desires of people who didn't understand us. So when Victor and I were looking for a place, as well as _Maximum RocknRoll_ , there was a sense of, let's be involved on every single level, including running the place.\n\n**Larry Livermore:** About two, three weeks after the Own's Pizza show, Victor got in touch with the Caning Shop warehouse.\n\n**Kamala Parks:** Victor actually tried to scare the owner, and told him, \"We wanna do punk shows here.\" And the guy was like, \"Oh! That would be great because I actually don't want anything going on here during the day, because we have our caning shop.\" Victor was like, \"There's gonna be people with mohawks.\" And the guy said, \"I _like_ that idea.\" I went and looked at it, and it was the perfect space, the perfect size. At that time that area of Berkeley was really just warehouses. The closest neighbors were a block away.\n\nThe idea was that Victor and I would run it. But we didn't have the money. So that's when he contacted Tim, and just begged and pleaded and insisted on bringing him to see Gilman. Tim was like, \"No, I wanna do something in San Francisco, I don't wanna do something in the East Bay.\"\n\n**Larry Livermore:** I think Tim was kind of taken aback at having it actually presented to him. I didn't know them that well yet, but I know Tim put up a fair bit of resistance at first.\n\n**Kamala Parks:** I think Victor actually drove over there and forced him into his car and took him there. And when Tim saw the place and met the owner, I think that's when the wheels really started turning for him.\n\n**Larry Livermore:** We're looking at June of '86. Victor said, \"I gotta talk Tim into getting behind it, 'cause he's the only one who's got the money to make it happen.\" We figured it would take at least 10,000.\n\n**Kamala Parks:** Obviously Tim's vision really differed from what Victor and I had thought. It was very similar to _Maximum RocknRoll_ , in the idea that Tim was really behind everything and really making the decisions. But modeled on the same principles, which was completely volunteer run. So it involved bringing in a lot more people than Victor and I had envisioned, and running it on these principles. Which Victor and I didn't necessarily agree with.\n\n**Martin Sprouse:** A club, run by the people, for the people. That really didn't exist. Tim wanted to make it 100 percent independent and consistent. And on the up and up. You know, not a squat. Totally legal.\n\n**Larry Livermore:** It took Victor a few weeks, but he finally got Tim to throw in _Maximum RocknRoll_ 's fortunes with it.\n\n**Martin Sprouse:** That guy who owns the building is the reason why Gilman's still there.\n\n**Jim Widess:** I had a sign up. Tim Yohannan came by. He was personable. Obviously loved kids, had a huge heart. It was definitely a philanthropic idea for him. Clearly he wasn't going to make any money from it. But he was very dedicated.\n\nHe was going to have to get permits from the city. And we both knew there was going to be a problem getting the city to go along with it. As it turned out, it didn't seem to be that uphill. They presented a good proposal.\n\nI was also hungry for a tenant. Definitely we didn't want another automobile repair place on Gilman. What Tim was proposing was a perfect use of the space. They would be there at night, we were here in the daytime. Our parking didn't conflict with each other. He could make all the noise he wanted and it wouldn't affect us. They were willing to pay the rent we needed. There certainly wasn't any downside for me as a landlord. Plus, I felt what he was doing was a really important thing for the community.\n\nThey were going to have to invest quite a bit into the space to bring it up to code for a club. There was one small bathroom in there which needed to be made into two\u2014and both of them, obviously, wheelchair accessible. And wiring. The plumbing was the major expense for them. Tim carried insurance, in case there were any problems. Everything was very aboveboard. The kids did most of the work.\n\n**Frank Portman:** My dad was a general contractor and had agreed to donate some materials. A lot of people's dads were involved.\n\n**Martin Sprouse:** Frank's dad brought in the toilets, helped do the plumbing. The Guys In Black, these total punk rock anarchist guys, they built all the walls. Tommy Strange, who moved out here from Ohio, helped build the stage. People came in to help do the sound system, put the soundproofing all over. People came from everywhere. Men, women, everything. It was so diverse.\n\n**Dave Mello:** Me and my brother dug the bathroom trenches. That was pretty fun.\n\n**Lenny Filth:** Me, all the guys from Operation Ivy, all the guys from Isocracy, tons of other people. All the people from _Maximum RocknRoll_ , Kamala, we all helped build that place. Put in the plumbing, put up the walls, built the stage, built the loft, all that stuff.\n\n**James Washburn:** I made the Gilman safe in my shop class, and then bolted it into the soundboard. I painted it all primer black and put \"924 Gilman\" on it, \"Keep Out.\" Welded a big ol' lock on it.\n\n**Larry Livermore:** I almost electrocuted myself doing some wiring. It was 240 volts. Luckily I was in sneakers and up an aluminum ladder, so it only felt like a twinge.\n\n**Cammie Toloui:** I took BART from Concord every weekend with my bike and rode over there. I did things like nail screws into the stage.\n\n**A. C. Thompson:** I grew up in the suburbs outside of Washington D.C. When you read _Maximum RocknRoll_ in '87 and heard about Gilman, how it was based on this utopian, DIY ethos that you could actually launch a project based on alternative principles and create an institution that isn't driven by the normal imperatives of capitalism\u2014that was just crazy. There were photos of people working on it, and there was all this hype: It's run by the punks, for the punks, and it's cheap and it's gonna be so cool! And we were all so amazed because somehow this had never occurred to us before.\n\n**Matt Wobensmith** : I read about Gilman through _Maximum_ and it's like, oh my god, Gilman is a place you can go and people will be nice to you. In contrast to what I was used to in rural Pennsylvania, which was being beat up by and bullied by these fucking scary-ass Philly thug motherfuckers. And Gilman, they'll fucking give you a cupcake when you walk in the door. That's what you thought.\n\n**Orlando X:** We volunteered to go around the neighborhood to let folks know that Gilman was opening up, to get their support. People invited us into their homes and asked us about the club, and we would tell them about it. I wore a hat. We didn't want to freak the people out.\n\n**Al Ennis:** I was working at Down Home Music in El Cerrito and I met Tim down at Ashby Lumber. I was buying stuff to fix up my house and Tim was down there buying stuff for this club. He said, \"Oh, Al, you have to come by, we're opening up this club, Gilman Street.\" That was my first inkling that that was going on. It was a real community effort, and all these kids were pitching together, and it was gonna be a club! And then he told me, \"We're not even going to advertise the bands! It's just gonna be, you show up because it's Gilman Street, and whoever's there is gonna be a good punk band.\" They were gonna give everyone equal pay, it was all total equality. I thought it was very in keeping with what he wanted to do.\n\n**Sergie Loobkoff:** I was a lazy little brat. I tell people, \"Yeah, I helped build Gilman.\" But a couple of people were doing all the real work, and people like me were hanging around.\n**34**\n\n**10 Seconds of Anarchy**\n\n**Billie Joe Armstrong:** Isocracy was like the house band.\n\n**Larry Livermore:** They were like the kings of Gilman. They were _the_ band until Op Ivy came along.\n\n**Martin Brohm:** It was a group of us who didn't really know punk rock at all. A student named Mark Carroll was the local skater guy. The first record I got from him was Black Flag's _Damaged_. I was like, \"Uh, this is kinda heavy.\" So he gave me a Go-Go's tape instead. I was like, well, this isn't _quite_ enough, you know. I need something in the middle.\n\nBack then, El Sobrante was maybe 10,000. It's very small townish. People who have never been to San Francisco because they would get AIDS. It's 15 miles from San Francisco, but a totally different world.\n\n**Jason Beebout:** You walked down the street in El Sobrante and there's heshers, rednecks and douchebags. If you made eye contact with anybody, it was a fight. So I learned how not to look at people.\n\n**John Geek:** Exodus, Possessed and Metallica all had members from West Contra Costa County. That was one of the birthplaces of thrash.\n\n**Jason Beebout:** Everyone had a story: \"I was walkin' down the street one time, garage door's open? It was fuckin' Metallica, practicin'\u2014before the Black Album!\"\n\nLenny, Martin and John had a band. A guy named Leroy was trying to sing for awhile. He wanted to play guitar and that made Lenny irritated, so Leroy was out of the band. And then John told them about me, said I would be the singer. I was 15. I literally didn't know what was the end or the beginning of a song. It just sounded like fuckin' noise to me. But I was like, \"Yeah, that's great, man, I'm in.\" They had to step on my foot to tell me when to start singin' and step on it again to tell me when to stop.\n\n**Lenny Filth:** Me and my bass player busted into the back of a couple arcade machines at the pizza place that we worked at. We stole all the quarters. That's how we bought our first instruments.\n\n**Martin Brohm:** I'm not gonna say anything to incriminate myself. So no, I was not involved in that at all! We worked in a pizza place, there were a few goings-on there that maybe weren't legal but benefited us monetarily. Hey, when you're 18 years old, you're not floating in it.\n\n**Jason Beebout:** We were Russian Anarchists On Dope before we were Isocracy. We practiced for three months in a garage before our first show. Lenny's stepdad would have a carcass of a deer he'd just slaughtered in the refrigerator next to the Fanta soda pops. It was really odd.\n\n**Martin Brohm:** Later on, Larry Livermore interviewed us for _Maximum RocknRoll_. He was talking to Lenny about playing guitar, and Lenny said, \"Yeah, things really started coming together when I started playing chords.\" Larry said, \"Chords?\" \"Yeah, you know, two strings.\" That tells you what we knew about music.\n\nThe Thing That Ate Floyd: Isocracy at Gilman\n\n**Jason Beebout:** John was a really charismatic person and he found Victor Hayden from Alchemy Records, I don't know how. Victor came up to see us in Lenny's garage, in El Sobrante. He was like, \"This is outrageous, you guys are fuckin' phenomenal!\" We're like, \"Really? Wow! Cool!\"\n\n**Martin Brohm:** I think a big part of the appeal about us was\u2014\n\n**Jason Beebout:** It was so bad.\n\n**Martin Brohm:** Well, that, and just four fuckin' loser kids from this loser fuckin' town.\n\n**Jason Beebout:** John changed the name to Operation Ivy. He had some code book of military operations, and I guess Operation Ivy was the one when they bombed the Bikini Islands. And then, according to John, he put his finger in a dictionary, blindly. When he hit \"Isocracy\" it was a political word, so that was perfect. I thought it sounded like '60s soft rock, like the Association or something.\n\nWe practiced at my grandma's dry cleaners, and we worked out a set. \"Confederate Flags\" was a big one. \"Stabbed in the Groin\" was always a plus because we'd switch instruments, and I'd play bass and Martin would sing, and Martin was a really amazing front man.\n\n**Martin Brohm:** The lyrics went something like this: \"Stabbed in the groin, stabbed in the groin.\" There's so many great songs that never got recorded . . .\n\nAs I remembered, it started off wearing pink suits, ruffled shirts, or dressing up as women. And then I think John went and got a bunch of fucked-up stuff.\n\n**Jason Beebout:** Just before we played our first show at Gilman, John said, \"We're gonna stop and grab some shit out of a dumpster.\" Everything he does, at least part of his mind has a little bit of theater behind it: \"This is gonna be hilarious, people are gonna look at this.\"\n\n**Jesse Michaels:** He was an instigator. John has a lot of energy and was always doing weird things. He had this thing where he would never drive over 55 miles an hour. Just, never, under any circumstances, no matter how late they were or how far they had to go. He also would park the van with one tire on the curb. That was just par for the course.\n\n**Martin Brohm:** An Isocracy show would be 40 minutes long, with probably three songs played. The rest of the time, we were throwing shit out in the crowd.\n\n**Lenny Filth:** Al would disappear for a couple hours. It was like, \"Where the fuck is Al? Set up his drums, Jesus Christ.\"\n\n**Martin Brohm:** It was mostly John and Jason driving around in John's VW van, finding crap. I remember they found these huge rolls of plastic wrap, four feet tall and three feet deep.\n\n**Jason Beebout:** That was one of the worst. We stopped at a burrito processing plant, got giant rolls of this really thin cellophane. We started rollin' 'em out, and they became this bouncy blob that took over the floor of Gilman. It was great because you could dive off the stage onto it, like a trampoline. But then if you got tangled up it was horrible.\n\n**Lenny Filth:** I was playing guitar and somebody wrapped one around my neck, and I got pulled off the stage by this giant roll of plastic.\n\n**Mike K:** I remember being on the bottom of the plastic wrap and being smooshed by Dave MDC wearing an Elvis suit. He jumped off the stage. For a teenage kid, that's a pretty big guy to have smoosh you.\n\n**Martin Brohm:** Matt Freeman went back to help clean up the next day, and this wad of shit was too big to pull out the door.\n\n**Matt Freeman:** That was probably the show that pissed me off the most. There was shit everywhere. Obviously someone had tried to put it in bags and they just gave up. It was just like, \"Oh man, you fuckin' people!\" Finally I went to the Gilman meeting and I said, \"Look, I think that I should get into one show free if I'm gonna do this. And when Isocracy plays I get two shows.\" They voted on it, \"Okay.\"\n\nI took that shit hella seriously. This little person, James the Crack Midget. He lived down the street, he would meet me down there and do this stuff. I was like 22 and he was my buddy. We got along fine.\n\n**Tim Armstrong:** That sounds like a TV show. _Matt and the Crack Midget_.\n\n**Mike K:** Al would roll his VW bus up to the side of Gilman. You never knew what was going to start pouring out of the side of the thing.\n\n**Jason Beebout:** We'd pile everything inside the room, and then John set up his drums, and we started dragging our shit onstage. There was so much anticipation: \"What's in _that_ bag?\"\n\n**Anna Brown:** One time Isocracy threw like a hundred dictionaries off the stage.\n\n**Jeff Ott:** Reams and reams and reams of recycled paper.\n\n**Christopher Appelgren:** Little tiny scraps of paper with handwritten messages about the band, that would be flying amidst all this other trash and clothes and weird things: \"Isocracy Rules.\"\n\n**Jeff Ott:** Like, a hundred Big Wheels. But it was really good. Macho, scary-looking punk rockers riding around on Big Wheels.\n\n**Jason Beebout:** Slither decided to help out one day by bringing a fuckin' 50-pound bag of kitty litter. He just whiffed it up in the air. Everyone was gasping for air and gagging. It sapped all the moisture out of your tongue. It was fucked.\n\n**Martin Brohm:** It was horrible. In the middle of summer, 200 kids sweating, and then kitty litter coming down on them.\n\n**Dallas Denery:** One show they brought hundreds of cigars and everybody started smoking them.\n\n**Martin Brohm:** Cigar night. That was rough. The cheapest fuckin' cigars you could buy. All going at the same time.\n\n**Dallas Denery:** They had to stop the show and open up the doors. And they banned cigars from the club.\n\n**Lenny Filth:** We played this one show in Santa Rosa, it was just toilet paper flying everywhere. It was a fun, fun show. One of the biggest shows we ever played. There was like 400 people there. Jason Beebout: People tell me, \"Oh, I love Isocracy, I have that record!\" You actually listened to the record? Going to the show I understand. It was fun to watch, but I'm not gonna sit there, tapping my toe.\n\n**Tim Armstrong:** That Isocracy shit, that was it. Them guys came in with that vibe, it made them really fun. Just throwin' shit around, everyone jumping on each other. It was a celebration, man, it was fuckin' awesome.\n\n**Sergie Loobkoff:** No one gave two shits about any of the music. It was all about, what are they gonna do? And what funny dorky shit are they gonna say? They barely knew how to play.\n\n**Frank Portman:** No real club would have booked something like that. It was sophomoric, but kind of lovable. If you were in high school and there were some goofball drama people who decided to do a rock band stunt, it would be like that.\n\n**Mike K:** The sense of humor was pretty sophisticated for teenage kids. Making fun of the ritualization of this tough-guy mosh pit stuff.\n\n**Jesse Michaels:** The hardcore stuff got so ridiculous, you couldn't not make fun of it. Isocracy were especially funny because they were playing hardcore type music but they turned it into a big circus, and it was hilarious and it worked. They were like on acid without acid.\n\n**Jason Beebout:** We realized that the only thing that was fun about it was throwing shit at people. Lenny really wanted to be in a band like Neurosis, and be serious, and play heavy shit. Martin and I didn't really ever care much about anything, we were just there to have fun.\n\nWe were all so naive. I had no clue. As far as I knew, punk rock was the guys on TV. _T. J. Hooker_ , comb your sides back and spray-paint the top red. And then play, \"Bang your head, bang it hard.\" I really didn't know. To just play, and realize you're nothing like what people were expecting to see, and be comfortable with that\u2014fuck it, let's just throw shit at them, then.\n**35**\n\n**Two Blocks Away**\n\n**Mike Avilez:** Back then, I didn't understand why there were a lot of rules at Gilman Street. Other clubs had no rules. A 12-year-old kid could drink beer. Anything goes at those underground venues. But they all get shut down. Gilman's been a club for over 20 years and it was all the rules that has actually kept it open.\n\n**Kamala Parks:** This no-advertising policy was to me the stupidest thing in the world. In some ways I understood what they were doing, but the punk scene was so small at that point, why in the world would you want to make it even more obscure to go to this place?\n\n**Martin Sprouse:** We were doing this secret thing. Meaning like, come to Gilman for Gilman's sake. We wanted people to come there, no matter who played. The clubhouse thing. It was all music based, but we didn't tell people what bands were playing there.\n\n**Chicken John:** I was with Donny the Punk, in New York. We had heard about Gilman Street. Donny told the Alternative Press and Radio Council and the ABC No Rio people that it would be a good idea if they adopted Gilman's no-advertising policy. My first response was like everybody else's: \"That's the stupidest thing I've ever heard.\" Donny was like, oh no, it would build community. It would make it so that people don't just come for the popular band. The idea is that it would be packed every night.\n\nThat was the \"aha\" moment. I learned more in that 30 seconds about the world than any other 30 seconds or 30 years. Not advertising bands, you're begging for failure. And you only know that you've given 100 percent of yourself when you fail. But it's in the failure that you really learn something, and it makes for a better person, a better human.\n\n**Kamala Parks:** It was one of those things that just infuriated me. Especially as someone who booked bands on tour. I'd be pissed off if there was a place that was like, \"Well, we don't advertise, we just expect people to show up.\" There was nothing. You were just supposed to go every weekend, Friday and Saturday, and whatever was there was there.\n\n**Martin Sprouse:** We experimented with a lot of weird ideas. How bands would get paid, how the money was dealt with, the membership policy, what was on the membership card, why we had memberships, security, cleanup, booking. Sunday night or Sunday afternoons would be more art nights, benefits, everything.\n\nThere was some things that just didn't fly very well, like the keeping-the-bands-secret thing, and having the bands not talk about whether they were playing there. And no-flyer policies. It was worth a try. But bands fucking hated that shit.\n\nWe really tried to break it down. We didn't want any bands coming in there, thinking it was just for them. Where people just pay and watch a band very passively. We challenged that. In some ways it broke down some barriers that might have started building up between band and audience.\n\nThe Mindfuck Committee was another cool thing that I wish would have stuck around. Trying to make the shows interesting, trying to mess with things. One thing they did was talking about Apartheid in this really interesting way. Everyone got a South African passport, and people would randomly get arrested during shows. Kind of performance art, kind of political. A lot of great ideas but really hard to implement. Most people just wanted to watch Neurosis play.\n\n**Cammie Toloui:** I got involved with the Mindfuck Committee. I remember this one. There was a pay phone inside Gilman and we'd pretend like someone was calling. I'd run into the pit and say, \"There's a phone call for you.\" They'd come back and of course you couldn't hear a damn thing, and they'd stand there going, \"Hello? Hello? Who is this?\" It didn't serve any purpose.\n\n**Jesse Michaels:** I thought it was really cool to have a great space, and there was a lot of good things about it. But I thought it was a little bit pretend, because it was so sterilized. Normally a punk club didn't have so many rules.\n\n**Mike Avilez:** No drinking, no homophobia, no sexism. No, no, no. I remember years later, when we played with Dayglo Abortions, the singer said, \"Where does it say 'No Canadians'?\"\n\n**Marshall Stax:** There was always a thing about no riders, no contracts, no backstage area. All the clubs you went to, the band would come in the special entrance, you wouldn't see them until they came onstage. Nothing like that at Gilman. The bands walked right offstage and you could walk right up to them. People could get up onstage and sing along with the band. That's something that doesn't go on in a normal club.\n\n**Blag Jesus:** It breaks down the wall between the artist and the people, and in some ways I guess that's good. But if you've just done 30 shows in a row and you want to take a shit by yourself, it's not that great.\n\n**Martin Sprouse:** The whole membership card thing was giving us a pass to kick people out who fucked up. If you started a fight, there would be no discussion about throwing you out. If you were a racist, there would be no discussion. You're out. You harassed somebody, you started a fight, \"Look, you signed here\u2014fuckin' out.\"\n\nPeople didn't understand the membership thing. Like some drunk punk going, \"What the fuck you mean, man, I'm not signing this.\" But if they wanted to get in they had to do it. And there was like some 15-year-old girl at the door, making people buy membership cards. It was fuckin' hilarious.\n\nThere were some tense times that first year, because we dealt with a lot of racist fuckin' assholes and skinheads. That whole S.F. Skins, early '80s thing was still going on in the city. After Gilman started, it was like East Bay rich white-kid skinheads, coming from the suburbs. Nobody could go in with Skrewdriver shirts or anything like that. That was a big deciding policy at the beginning of Gilman. It was like, how do we defend ourselves?\n\nThat was a really weird time. We had big talks: \"Everyone's gonna get baseball bats. There'll be a hundred baseball bats upstairs.\" I think that was Tim's. It sounded great, but you just knew it wasn't gonna go down like that. It got shot down so quickly. Everyone said, \"Okay, we're just gonna wing it.\" Just not let these people in. Let the front door be the main thing. Or push people out. And that's how it worked for awhile.\n\nGilman Street membership card\n\n**Fat Mike:** Once you toured Europe, you saw clubs that are built on the idea of Gilman but a hundred times better. Because they have bars. The Ungdomshuset finally got shut down, but it was a squat in Denmark for\u2014I don't know\u201420 years? There were clubs at the door. In case there was a brawl, everyone would grab a club and fight.\n\nIn Europe, punks fight cops. In Berkeley, everything's a vote. Once at Gilman Street, we were playing with RKL, and three skinheads came. They were big gnarly dudes, terrorized the whole club. There was a lot of volunteers there, and they tried to block the door. And the skinheads just start beating up people. You had 400 people here, against three people? And they wouldn't defend themselves. What the fuck is that?\n\n**Frank Portman:** Gilman tried these experiments, which really took the idea of putting the bands in their place to a ridiculous degree. If you were gonna be a member, be involved in the club, you had to do work. It was like a co-op, a community. At first they didn't apply it to bands. Then they said, okay, you're not special just because you're in a band\u2014you're part of the whole thing. So they introduced this rule where if you were a band, you had to clean the toilets. Just to show, like, Jesus washing the feet of\u2014it's hard to keep a band together anyway. But there's no way in hell I was going to get my drummer to clean a toilet.\n\n**Kamala Parks:** As a local band, whenever we would play Gilman we would always donate our money to the out-of-town band. That was generally what local bands did. It was the spirit of Gilman. I thought it was a great idea, personally. You brought everyone into the room and usually they would say, \"There's 900 dollars, and we think that 400 of it should go to this band, and 300 to this band 'cause they're out of town.\"\n\n**Frank Portman:** That meeting in the back room, where you have to reach a touchy-feely consensus on why you shouldn't be paid, remains one of the most perverse subversions of everything about human nature that you could possibly imagine. We did this big show with Bad Religion, there was a lot of money. The Bad Religion dude had this awesome speech, about how they should get all the money. \"If you add up all the hours we spend into creating our art, it works out to less than minimum wage. Is what we witnessed tonight worth more than minimum wage? I think we'll all agree that it is.\" I was like, this is awesome, I hope someone's recording it.\n\n**Blag Jesus:** I always saw the money as chicken feed. I've had some stupid fights over the years about small amounts of money, but I always had a pretty good handle on the fact that we all were getting fucked. Another $10 or $20 wasn't going to make any fucking difference. So we never did much in the way of the haggle. I called it a free show, I just figured, fuck it. Anything we got from them was okay. Nobody was makin' a profit at Gilman.\n\n**Kurt Brecht:** We were playing at the Omni and they'd pay us $4,000. You didn't wanna go back to Gilman Street and play for 200. These rules where every band gets paid the same. It doesn't matter if you're on tour from Sweden and the other band is just from right around the corner. Tim didn't care. Nobody's headlining. Everybody's name on the flyers should be the same size.\n\n**Blag Jesus:** But there's a deeper way to look at it, which was that it was more egalitarian in their booking policy, which allowed some other people in. And most venues just weren't doing things that way.\n\n**Jason Beebout:** Samiam played there one time and I asked for money back because they had Fugazi there. I was pissed because supposedly Fugazi was the be-all, end-all of that mind-set. And it wasn't that way at all. Ian MacKaye was a cock. He came in and stomped his feet and made everyone snap to. It was gross. I was like, \"I see how it works. The popular band gets paid and the local band donates.\" I understand the mind-set of keeping the club going. But when it was a band making a lot of money on tour, it was like, \"Why should I donate money to a band that's making plenty of money?\"\n\n**Martin Sprouse:** To us it wasn't about making rules, it was about keeping the place going and legit. We were dealing with the city, dealing with cops, dealing with neighbors, dealing with Nazis. All those rules weren't to tell people how to do it. But just to keep the club going and make it safe. Everyone made fun of that, but who cares? Gilman's still going.\n\n**Adrienne Droogas:** After awhile Tim stepped back and said, \"Okay, do this however you guys wanna do this.\" They would have people who were 18 or 19, setting up the shows.\n\nI think that they saw it as a chance for punks in the scene to become active, instead of it being this thing where you're just coming and witnessing. It's like, why don't you come here and participate in making that show happen in whatever way you want? Go do whatever you wanna do, spray-paint on the walls, bring in a piece of art, nail it up, do whatever you want, but if you make a mess, just take care of it. If you fuck something up, fix it. That's what they were really trying to encourage.\n\n**Tom Jennings:** For about a year and a half I was the main coordinator for shows. It was hard work\u2014annoying, stupid and wonderful. I heard 30-plus bands a month for 18 months.\n\n**Kamala Parks:** Having it be all-volunteer means that people get burned out. When you volunteer, you expect something back, and if you're not getting that something back, then it does make you bitter.\n\n_Maximum RocknRoll_ was a much easier project to run based on that principle. Tim had it down pat how to do things, and if someone flaked out, it was easier for him to pick up the pieces. Whereas it was much harder with Gilman, when you have shows every weekend.\n\n**Martin Sprouse:** We had meetings on top of meetings on top of meetings. We got old Berkeley hippie people coming in, 'cause we were pushing it as an alternative community center to begin with. And the arty music scene. A lot of eccentric weird people coming in, a lot of local bands. We were trying to do this thing from scratch.\n\nMatt Buenrostro: I remember having a moan about the rules. I said something like, \"Can't we just say, 'No drugs, no alcohol. Let's rock and roll!' \" Tim Yohannan just ignored me.\n\n**Jesse Michaels:** People were talking about whether there's too much anti-feminist graffiti in the bathroom. \"Should we paint over the graffiti?\" \"No, that's impinging on free speech!\" Just incredibly trifling Berkeley bullshit.\n\n**Adrienne Droogas:** Tim would say, \"Well, we really need the manpower to do this.\" And someone would go, \"Um, we need the people power.\"\n\n**Jason Beebout:** \"Two Blocks Away.\" That's one of the things we figured out at the meetings. If you wanted to drink at the club, it had to be at least two blocks away, so there wouldn't be any bottles littering the front of the club.\n\nIt was actually Tim Yohannan's idea. \"We're gonna get this fuckin' place shut down if we don't explain to people that you have to go two blocks from this place or the cops are gonna bust us.\" And off the cuff, he said, \"Isocracy should write a song about it\u2014Two Blocks Away.\" We were like, \"Done!\"\n\n**Lenny Filth:** That was the whole joke about the \"talking bushes.\" You'd walk by and you'd hear people giggling and drinking and smoking, see smoke comin' outta the bushes. It was like, \"Ah, the talking bushes are alive again tonight.\"\n\n**Jeff Ott:** The policy on alcohol at the beginning really split everything in half. A lot of people who were into English bands and dressing up more really backed off from it. They would come to shows and drink outside in the car, and people who were volunteering security would be like, \"You're in trouble.\" I think we could have just had a light that went on if the cops pulled up outside. We could have never even had the policy at all.\n\n_Maximum RocknRoll_ was like, \"This is the prototype for a club in America.\" I think people really misinterpreted that. The people who started it thought that if we keep alcohol and drugs out of the place completely, we won't end up getting shut down by the police. In a way it was wise. But there was probably a less divisive way to have done that.\n\nTo this day I get e-mails from kids like, \"Oh yeah, Gilman Street, you're all straightedge, right?\" Hello, I was strung out and 105 pounds at this height. I think I had one crooked needle that I used for a year and a half because there wasn't a needle exchange yet.\n\n**Dallas Denery:** We played with MDC once. They always brought glasses of orange juice onto the stage with them, and Gilman was always concerned that there were things mixed with the orange juice. Afterwards, whoever was cleaning the stage would be picking up all the cups and smelling them. Like, \"Was this a screwdriver?\"\n\n**Dave Chavez:** We couldn't believe that you couldn't drink onstage. We were just such hardcore drinkers at the time. So we did anyway. They didn't have it together like they do now.\n\n**Kate Knox:** Later on, after our friends Nando and Jerme weren't working security anymore, a girl and her friend got busted drinking at Gilman. And they were 86'd until they wrote a three-page essay, about why they shouldn't drink at Gilman. They came to a meeting, and read it. Their essay was like, \"I will never ever ever ever ever ever ever ever ever ever ever ever ever drink at Gilman, because . . .\" People were like, \"We want you to read it onstage at the next show.\" And they were like, \"No! This is fucking bullshit!\"\n\nBut then there was a show with a gap in between bands, a problem with the equipment or something. And they were drunk, right? So they were like, \"Fuck it, c'mon, let's go read it.\" They went up onstage and read it. \"I will never ever ever . . .\" One of the people that made her do this was Jesse Luscious.\n\n**Jesse Luscious:** Branwyn was the only female head of Gilman for awhile. But she and some other people who should have known better were drinking alcohol inside. They put it in soda cups and mentioned it really offhanded to the wrong person. So we had this big thing. I let myself get overheated and I was like, \"Yeah, they should have to write an essay and read it onstage.\" Which is a stupid fucking idea. I was totally caught up in the witch hunt.\n\n**Anna Brown:** I never understood that as a young person. Why someone over 21 would not wanna go to an all-ages club where you couldn't drink? What was the big deal? Why did you have to drink? But now I feel like, \"God, how could you go to a show and not drink?\"\n\n**Andy Asp:** I really feel for the cops that were around Gilman Street. We were just fuckin' dickheads.\n\n**Larry Boothroyd:** I actually went to jail from Gilman one night. I got caught drinking. This woman cop tapped on my window, I was in the driver's seat. We had a bottle of Bacardi and a case of beer. We hadn't even gotten into it, and she poured the whole thing out. She carded us all, and one by one let us all go. Until it was me and my buddy. She asked him if he could drive my car home. I was like, \"Yeah? Why?\" It turned out I had an outstanding warrant from the Democratic Convention of '84, where I had a failure to appear. It was three days in jail. I was in with all these crack dealers, and I was completely freaked out. I had never been incarcerated. Did it scare me straight? You'd think so!\n\n**Jason Beebout:** Trying to date girls. You'd go to Gilman, the last thing you're gonna do is go up and say, \"Hey, I think you're really attractive, you wanna go out on a date?\" You're being sexist or something. I didn't know how to be sexist. I was like, well, fuck, let's just avoid it.\n\n**Jesse Michaels:** Gender roles were a lot less defined. At that time in my life I was just painfully, painfully shy. So my main experience was just complete shyness. Which is funny 'cause I was the singer for a band, and normally a singer for a band, at least with rock bands, is traditionally sort of a ladies' man, to a certain extent. I wasn't like that at all.\n\n**Anna Brown:** I copped a giant attitude. Punk girls were allowed to be tough and to stick up for themselves. It's rough all over for teenage girls, but I think maybe you have a thicker skin as a punk. You let more things slide because you're in this kind of lawless world. But you also take less shit.\n\nComing of age as a punk, you are well versed in a lot of feminist thought and theory and lyrics, and a lot of ideas that many girls don't learn about until they take women's studies in college. I know a lot of young women who are like 22 before they become aware of the reality of discrimination. All that kind of shit is old hat to punks.\n\n**Blag Jesus:** So the Dwarves made this record, _Blood, Guts and Pussy_. The cover is this great photo of two naked girls covered in blood. It's a takeoff of the Samhain record, obviously food dye, syrup. And we said, \"Let's do that with chicks.\" So we got these two naked chicks with a dwarf guy that I used to buy weed off of in Brooklyn. To a lot of people it was objectifying women. Some even took it one step further, like it was advocating violence against women. If you actually look at the cover, it's much more like the women are in control and bold looking, and the dwarf is like a little guy yearning after them.\n\nAfter that record came out, some people at Gilman said we shouldn't be allowed to play. Because of the artwork, and also we had songs like \"Let's Get Pregnant\" or \"Free Cocaine.\" They thought we were advocating drug use, and hatred towards women. That was strange for me, because the Dwarves were very close with the girl bands during our era, like L7 and Hole, and Babes in Toyland and Lunachicks. We were not sexist type people. Sex is not necessarily sexist. Everybody likes it and we're all in this together, you know?\n\nSo they had us play at Gilman. This kid came up to me and said, \"Yeah, violence against women is really funny, isn't it, man? Blood and pussy and all that shit is real funny, isn't it?\" And I thought, this was a typical teenage guy, he hadn't gotten laid yet and he figured maybe this would win him some points with the feminist girls in Berkeley. I just laughed it off and said, \"Yeah, man, you know, it's all in good fun.\"\n\nThis kid followed me, and started lighting into me again. I said, \"Dude, do you really want to follow me around and give me shit?\" I went outside and he walked up again, and was like, \"Violence against women is real funny, isn't it man?\" Blah blah. Obviously this guy was going to follow me around all night as his Gandhian protest against me and my music.\n\nHe wouldn't stop bothering me. I had a show that night. So I said, \"Dude, just say one more word, man, I'm going to fucking plaster you in your mouth.\" Sure enough he opened his mouth and said, \"Violence against women is fun\u2014\" I smacked him, he fell down.\n\nThe people running Gilman came over, \"What the fuck are you doing? There's no violence here!\" We were banned for many, many years. There's always a better way than violence to handle it, but at the time I wasn't really aware of what it might be.\n\n**Davey Havok:** Lotta stuff you could do to get banned from Gilman Street. As a band, as a person. It could be going onstage and saying the word \"bitch.\" Or saying the word \"fag,\" just in passing. As long as you weren't Pansy Division. Pansy Division, of course, gets to. Ah, semantics.\n\n**Nick 13:** The era when we started going to Gilman, political correctness had just gone too far. There was this unspoken thing that you had to appreciate this band because they were women, and what they're playing was just as important as what men are playing. To me that was more sexist, in a way. Why couldn't bands be judged on the merit if they're good or not good?\n\nIt was almost like women had been historically wronged in rock 'n' roll, and we need to right that wrong now. Regardless of whether or not it's any good. That was happening at Cal, that was happening in pop culture, that was happening everywhere at that time. There was just as much \"You have to think exactly what I think or you're fucked\" as you'd find at any Republican Convention.\n\n**Ben de la Torres:** I did security for about six years. Was head coordinator, was executive director, was involved in booking. One of the best parts of working at Gilman is having the right to complain. There's this elitist mentality at Gilman. You get to complain about how no one else does the work. We're like old ladies getting their hair done in a salon. We just sit there and complain about everything. Everyone hates Gilman, and if you work there you get to hate everybody. They hate Gilman 'cause they can't drink.\n\nPart of punk is hating rules and I understand that. Most of these people are going to places like Starbucks, but they want to come and harass people at Gilman. You're full of shit. You follow rules when you have to. You come to Gilman and you don't want to hear more rules, I understand. But it's bullshit. So they sit outside and complain about us, and we sit inside and complain about them.\n**36**\n\n**Ever Fallen in Love**\n\n**Dallas Denery:** The Gilman thing had been swelling up for a long time. There were a bunch of bands that were all affiliated and knew each other, and it had been going on for two or three years before Gilman opened. And then Gilman crystallized it.\n\n**Dave Dictor:** Let's face it, to get a gig at the On Broadway or Ruthie's you had to know Fang or MDC. It took a place like Gilman, that had five or six bands a night, two or three weekend nights a week, 52 weeks a year, for the cream to rise, for the Op Ivys to rise, for the Samiams to rise, for the people to come out of that world.\n\n**Dave Mello:** There was definitely a core of people that really knew how to play their instruments. But then Gilman happened, and we had all these friends starting bands. It wasn't just people who knew how to play instruments. It was also the people who started bands and taught themselves how to play, therefore creating their own style. That happened a lot.\n\n**Ralph Spight:** There weren't 8,000 bands that sounded exactly the same. Things were small, and there wasn't a bunch of media attention on it. There wasn't like, \"We're all going to get big.\" There wasn't that kind of mind-set going on.\n\n**Sergie Loobkoff:** We'd go to every show, Saturday and Friday, sometimes Sunday. What else are you going to do?\n\n**Dallas Denery:** Other bands would show up from out of town, and they couldn't believe what they were seeing. Sometimes they liked it, and sometimes they would just make snide comments later. Gilman had a different vibe. And that whole vibe would catch people sort of by surprise.\n\nIf you went to the Mab it was just dire and depressing. The Chatterbox was a fine place to play, but those places were much more like, people go to the club, pay their money, see the show. Whereas at Gilman Street, there were all these people who sort of decided it was home. Or the center of their world. It was less an \"East Bay-San Francisco\" thing than a \"Gilman Street and every other club in the Bay Area\" thing.\n\nNew Year's Resolution: Gilman St. Project flyer\n\n**Mike K:** * Everybody was always completely out of tune. But you learned to feel this anthemic quality, even though things were totally a mess.\n\n**Scott Kelly:** The whole El Sobrante thing came in, and they latched onto that super hard. That, to me, was when things started changing, when it started getting really fuckin' goofy. I remember we'd come out of the warehouse, we're on drugs and listening to Joy Division, and we'd go to Gilman and kids are playing leapfrog and shooting each other with Silly String. And we were like, \"What the fuck?\"\n\n**Aaron Cometbus:** Tim had a vision of all these goofy, silly kids coming together to bring creativity and humor back into punk. A fine little vision, which very few people happened to share. Soon Tim is announcing, \"Geekcore is born! Bring on the Big Wheels!\" I wasn't the only one there who didn't consider themself a geek. But when the compilation of Gilman bands came out, there it was again: \"File under Geekcore.\"\n\n**Scott Kelly:** Tim and those guys loved those bands. Loved 'em. And really supported 'em. All these kids came in with a lot of energy. And, shit, basically they took it. I understand. That's how I live my life. If you want it, take it.\n\n**Spike Slawson:** The energy was great and it was all\u2014oh man, I fucking hate that I'm going to say this\u2014it was all positive energy. It was. And there was this rhythm. The place was throbbing and everyone was soaking wet and it wasn't a bloodbath.\n\n**Dallas Denery:** It's amazing if you think about the number of people who were in that area who had interesting musical ideas, and had this place to play. These shows would happen, and there would be the usual review of some dumb concert in the _Chronicle_. I would just think, \"How can you not be paying attention to this?\" It seemed like when Gilman was happening, essentially nobody else in the rest of the Bay Area knew it was happening.\n**37**\n\n**You Put Your Chocolate in My Peanut Butter**\n\n**Blag Jesus:** I saw experimental things at Gilman, I saw weird things there. I saw a band there that played punk songs on turntables. Because it was a collective, you got crazy shit cropping up in there.\n\n**Larry Livermore:** A band called Slapshot from Boston. The singer was called Choke. He used to play with a broken hockey stick in his hand, that he would wave at the audience, menacing them with it. There was a few hardcore fans that wanted to get right up there and be all macho with Mr. Choke. So a bunch of Gilman geeks started playing leapfrog, in what normally would have been the pit. Making goony faces, and acting really mock-horror and terror every time he would yell and growl. It was very hilarious.\n\nThe singer would just get madder and madder. \"This ain't no punk show, this is fuckin' _Romper Room!_ \" He had another speech at the very end, where he was happy to play for anybody, anytime, but not for a bunch of fuckin' geeks. This was typical of the Gilman spirit. But Tim was really mad. He said we hadn't shown respect. He yelled at us afterwards, that they were a serious band.\n\n**Jeff Ott:** The guy who's now called Michael Franti used to be in the Beatnigs. They would play Gilman sometimes.\n\n**Kareim McKnight:** \"They don't eat burritos in the White House!\" I'm black, and it was amazing to see someone like Michael Franti onstage and pounding it out.\n\n**Jeff Ott:** Beatnigs would accidentally light shit on fire, by having all these grinding wheels and sticking metal in them, all this crazy shit.\n\n**Kevin Carnes:** One time we actually set up on the floor. The intention was to have people play along with us, put the music in the hands of the people, right? We set up all this stuff, and as people came in, they literally had to walk right up to this sculpture, and it was like pieces of metal hanging from it, that later on you might end up playing a little bit, at least touching it, because some guy shot sparks off of it with a circular saw, and another guy played it with mallets, and another guy burned a little piece of message that was attached to it.\n\n**Scott Kelly:** Frank Moore. How's that for disturbing? At an all-ages club.\n\n**Jason Beebout:** Frank was this quadriplegic performance artist who had a cable access show. He would sit there in his wheelchair, they'd play music in the background and he'd sing along. But he'd just make vocalizations. He had a little pointer on his head that went to a board with letters and phrases, so he could speak that way. He usually had women dancing naked with chicken blood.\n\n**Scott Kelly:** Quadriplegic. Young, naked girl dancers. Fire. How do you do that? Shouldn't everybody who runs this club be in prison for doing that type of shit?\n\n**Zarah Manos:** I remember Adjective Noun. Drummer got offstage, went into the bathroom, took somebody else's shit out of the toilet, ate it onstage and barfed! I'm not kidding. Adjective Noun, if a band could do more, be more, they were it. They were the worst and the most disgusting. I feel sick talking about it.\n\n**Christopher Appelgren:** Juke were always an amazing band to see live. When nearly everyone was vegetarian and vegan, they set up a hibachi out in front of Gilman and cooked steaks before the shows. They also managed at one point to get a pig's head and have it on a stake onstage.\n\nNobody went to their shows. There might be 12 people strewn about Gilman. But Nick, the singer, would of course stand right in front of you and sing into a wireless microphone. He would start out with a trench coat, and then reveal underneath, his full-body nylon, nude body stocking with a little leaf over his crotch. Nick was pretty tone-deaf. He was an acquired taste. I think he's a professor in Utah.\n\n**Kate Knox:** Boom and the Legion of Doom threw out fuckin' raw meat. Blast did that, too. That was pretty funny.\n\n**Sham Saenz:** You'd see bands at Gilman like the Melvins, Neurosis, Victim's Family. These bands pushed the envelope of creativity. They were creating new music and pushing it.\n\n**Noah Landis:** Victim's Family were an amazing band. Their musicianship just blew me away.\n\n**Dave Mello:** They had put a really groovy, jazzy twist on it, and made punk very musical and very harmonic and melodic and jazzy. With drums on the backbeat.\n\n**Tim Armstrong:** I used to stand right at the edge of the stage in front of Ralph Spight and watch him play guitar. That guy was like my fucking hero.\n\n**Dale Flattum:** Seeing Caroliner Rainbow for the first time and going, \"Holy hell, these sets have taken this guy the last five years to paint.\" All these costumes. They'd be jumping on trampolines. Few other places would really want this. Or embrace it.\n\n**Sham Saenz:** I had been kind of bummed out about punk rock by that point. I went through a low phase. Then Poison Idea played Gilman. Jerry A. came out and he was blowin' fuckin' fire.\n\nThe kids were going crazy, everybody was smashing each other, and picking each other up at the same time, and singing along. Once the show was over, everybody poured out onto the street, blocking traffic. This huge cloud of steam was coming out of the club and off of everybody's bodies, because everyone was so packed into each other. There was a little skirmish over here. People were covered in blood and laughing, drunk and wiping each other. That's why I loved this.\n\n**Dale Flattum:** Schlong did all of Fleetwood Mac's _Rumours_. It wasn't just this half-baked idea. I think that's what was so great about Gilman. There was an outlet for it. That kind of inspires people to complete things.\n\n**Gavin MacArthur:** We were listening to the _Rumours_ album on tour a lot. We covered \"Go Your Own Way.\" After that it was like, let's just do the whole thing as fast as we possibly can, and see if we can put the whole thing on a 7-inch. Somebody throws out a stupid idea, and everybody laughs and thinks that's the stupidest thing they've ever heard\u2014and of course we're gonna do it.\n\n**Dave Mello:** We tried to make it sound as garagy as we could. _Tumors_. One take. We recorded it in a couple hours.\n\n**Sergie Loobkoff:** There's something really rad about watching a band that are doing it just because they love doing it. And they have no inkling of doing it for any other reason.\n\n**Gavin MacArthur:** Pat Mello had a lot to drink, and I think he started singing \"Maria.\" We were all closet fans of _West Side Story_. It's just something you can't deny from your childhood. Then Pat just said, \"We're gonna record the whole _West Side Story_ soundtrack!\"\n\n**Dave Mello:** Took maybe two weeks to learn all the songs. Got everybody to our practice space and had a dress rehearsal for a weekend, before we went in the studio.\n\n**Gavin MacArthur:** People got paid in beer. It was really quick. One day for the music, one day for the vocals, and one day to mix it. We stayed up all night, finished mixing it at ten in the morning, went home, slept for a couple of hours. We went to Gilman Street while everybody was still in town and played the whole thing through. It wasn't any sort of stage production by any means, we just played all the songs, and the people who sang the songs came up and sang them. That's the only time that we actually did _Punk Side Story_.\n\n**Cammie Toloui:** It was the 4th of July at Gilman Street. It was an all-day show with two million bands and people cooking burgers in the front. We were standing around, me and Joyce and Jane, looking at all of the boys. The punk scene was all about boys being up onstage and everyone giving them all the attention. There weren't a whole lot of women, especially not very many women onstage. The Beastie Boys had become very famous right at that time, which was 1987. So we were laughing, ha ha, we would be the Yeastie Girlz. Jane ran off, sat down and wrote this rap:\n\n _We're the Yeastie Girlz and we got yeast power_   \n_we don't shave our armpits and we don't shower_   \n_we don't say thank you we don't say please_   \n_we put things in our vaginas that you wouldn't believe_   \n_we're not your babies and we're not your dolls_   \n_and we don't give a shit about your blue balls_   \n_don't care about your biceps_   \n_don't care about your dick_   \n_and when you open up your mouth_   \n_you make us all feel sick_\n\nIn between bands we jumped up onstage holding this piece of paper, shaking, terrified, and did this song. As would usually happen at Gilman, the boys booed. But it was something that really needed to be done at Gilman, because the boys ruled there.\n\nWe put out a demo tape that we advertised in _Maximum RocknRoll_ . I think the name of our tape was \"Suck Our Smelly Vaginas,\" which was Jane's idea. We had this ad that had a drawing of a woman giving herself a speculum exam. No one knew who we were.\n\nWe did a Prom Night show that was all girl bands. Everyone was wearing prom dresses. There's a main door, and then another door that leads into the main hall, and we changed that doorway into a huge vagina. Lots of red satiny material, I think the pubic hairs were some lacy stuff. People actually had to crawl through this vagina to get into the show.\n\n**Ruth Schwartz:** That's what a hall like that is supposed to be about. You could be playing Turbonegro and have a vagina at the door at the same time. Something for everybody.\n\n**Mike LaVella:** There was a lot of shit that was poignant. Youth of Today, their big thing was supposed to be like, \"We have no ego.\" When they played, every kid in the audience held up a mirror. And all they saw was hundreds of reflections of themselves.\n\n**Hugh Swarts:** They called Friday Alternative Night. Saturday was Punk Night. Sunday, sometimes they'd have plays, or art shows.\n\n**Dan Rathbun:** We were always put into the non-punk nights with other bands that were viewed as appropriate underground entertainment, but didn't fit into punk rock.\n\n**Nils Frykdahl:** We once did _The Rite of Spring_ at Gilman, which was not so much theatrical as conceptual, with us playing Stravinsky. With music stands, and everyone sitting down on the floor like it was a concert. I don't know if we were doing clown outfits yet.\n\nIt really worked out. Everybody totally cooperated. Somebody even yelled out, \"You're destroying music!\" Which was the obligatory heckle from the original performance of _The Rite of Spring_.\n\n**Lynn Breedlove:** You know who I saw at Gilman doing a play in the afternoon\u2014what was her name? Just got the Cannes Film Festival brilliant genius award, dyke, filmmaker? Miranda July! She's huge now. She was like 18, and putting together these plays at Gilman in the middle of the afternoon. She was super artsy.\n\n**Miranda July:** I was not a punk at this time, nor did I ever really become one. But in my own way I was anti-establishment and I really wanted to have total control over my production. I went to a meeting of Gilman volunteers, looking very clean and perky I'm sure, and nervous. But I was given a key to the building, which really meant a lot to me. The people in my play were pretty straight adults, but somehow they were game to spend time in this absolutely filthy, graffiti-covered space. I can still remember the smell.\n\nThe play opened during a three-day festival that Gilman had. I think Green Day played that night. I rented folding chairs from a church and set them up in rows. The regular Gilman punks were pretty confused by the chairs, but I think it was basically a success.\n**38**\n\n**Ripped from the Headlines**\n\n**Kamala Parks:** It was the first year, '87. The first time the Feederz ever played Gilman.\n\n**Mike LaVella:** I was out in front talking to Tim Yohannan and some kid from Isocracy. And here came Frank Discussion. He had a dead dog around his shoulders, wearing it like a mink stole. And around his neck he had a cat hanging from a noose. Wearing the cat like Run-DMC. Tim saw Frank Discussion before I did, and his cigarette fell out of his mouth and he went, \"Oh my fucking god.\"\n\nThey hit the stage, and, man, it was insane. All these girls got onstage, and they were spitting on him the whole time he's playing. He had live cockroaches taped to his head. Which I guess was old hat. People had seen that.\n\nHe was surrounded by these punk girls, tough-looking hardcore chicks. They were lettin' him have it. Between the songs they'd take the mic off and they'd say, \"We have an open mic policy here. This is bullshit.\" I remember Frank Discussion saying, \"This is so typical of the bleeding left! You don't even know where these animals came from!\"\n\n**Kamala Parks:** He sang his first song, and then he said something like, \"Well, I guess Lassie isn't coming home.\" He threw the dog off into the crowd, and it splashed all these people who were like serious vegetarians. That's what was so upsetting. Where the fuck did he get this dog, and why was blood still coming out of it?\n\n**Mike LaVella:** These skins picked up the dead dog and were dancing with it, skankin' around with this German shepherd. They were swinging it, and now shit started coming out of the dog's mouth. Bile was coming out and splattering people. People were already fucking horrified as it was.\n\nHappiness is a Warm Puppy: Irate Gilman girls protest the Feederz\n\nJeff Ott: I just remember going, \"Oh my god, that's fucking gross. I'm glad I'm way back here.\" On the other hand, all the vegetarian fanatics were getting really disturbed, so that was kinda cool.\n\n**Martin Sprouse:** He paid somebody off to borrow the dog for the night. He said he was using it for a movie prop. But here's the most fucked-up thing\u2014it still had its dog collar and tag on it. So it wasn't really a movie prop. That was some family's dog.\n\n**Anna Brown:** I believe someone called the phone number on the dead dog's collar to tell the pet owners what was going on. They had put it to sleep, and Frank got it from the Humane Society garbage can. How fucked up is that? _Ever Feel Like Killing Your Boss?_ is a great album, all the same.\n\n**Martin Sprouse:** \"Everyone's getting so mad about the dog, what about the beetles glued to my head?\" That was classic Frank Discussion. He was there to fuck with people.\n\n**Jeff Ott:** There were all these meetings about it, and Tim Yohannan kept going, \"You know, he only did that so all you would be sitting here having this meeting, arguing about shit.\" And he was probably right.\n\n**Kamala Parks:** A couple of days later, the _Weekly World News_ listed this incident, and they had it factually really correct. It was amazing. I remember looking at it and going, \"Oh my god, they really are clear about what they are talking about.\" So it's quite scary when you think, okay, they got this incident right. Are they getting the alien stuff right? Does the Bat Boy really exist?\n\n**Bucky Sinister:** I was working at Kate Knox's school. She was telling me, \"Poor Jerme, man. Jerme and a couple other guys were in Piedmont cemetery last night. Something happened.\" Like, real quiet. I didn't know where this story was going. Someone OD'd? Someone's in the hospital?\n\n\"In the cemetery. They went in this mausoleum, and Jerme found this baby's corpse, took it back to his house, and somebody saw him trying to cut the baby's head off, and freaked out. They called the cops on him, and he took the baby and split.\"\n\nNo one knew where he was. He was gone. That was how fresh the story was.\n\n**Jerme Spew:** Not one of my smartest moves, no.\n\nWe went back to the house we were staying at. One of the guys was cleaning a skull with a toothbrush. I was examining this baby's body, going, \"What the hell am I gonna do with this?\" It was dry, and I was kind of picking at it. I was already starting to establish that this might be dumb.\n\n**Janelle Hessig:** They were cleaning the skull in the living room. Heather Hahn lived there and she freaked out. Like, \"You can't clean that skull here, what the fuck are you doing?\"\n\n**Jerme Spew:** I don't blame 'em. But some of the stuff that was said was amazing. One guy who got mad at us, he said, \"I banish you and this evil from the house!\" What was the great quote? \"If you want to do these anti-authoritarian things, go have a fight with your father somewhere else!\"\n\nThe hilarious thing to me was the assumption that this was something I've done to throw in the face of authority and society. When in fact it was just a really dumb prank.\n\nI took my booty from the incident, and was like, okay, I gotta put this somewhere where it's secure. I had keys to Gilman. And I thought, I'll go hide it in the sound loft. No one will ever find it. I went inside, I hid it, and went home. I woke up in the morning, and my roommates were still awake in the kitchen, debating how horrible and evil it was.\n\n**Janelle Hessig:** One of his roommates called the cops. There's been a lot of speculation about who it was.\n\n**Jerme Spew:** I went to do errands and came home, and the front door and the back door of the house were open. We were living in North Oakland, not so great a neighborhood. There was this guy out on the porch, friend of everybody in the house, and he was like, \"Hey, Jerme, your neighbors say there was nine police cars here about half an hour ago.\" I said, \"Oh, I know what that's about. I have to leave.\" Three people were arrested.\n\n**Tim Armstrong:** It was at night, we were practicing at Gilman. There was a knocking, flashlights. It's Berkeley P.D. They told me they're looking for some bones and a dead baby that was taken from a crypt in Oakland, and did you know these guys' names? I played dumb, I didn't tell them much. The cops looked around and couldn't see nothing, so they left. But we know Gilman. If it was there, we were gonna find it. So up above the sound booth, we fuckin' found a Tower Records bag with a dead baby and a skull.\n\n**Janelle Hessig:** Lint called the cops and was like, \"I don't want to get the club in trouble, but we have this mummy baby we'd like to give back to you.\"\n\nAndy Asp: The part I remember was that Rancid agreed to help the police if there was no mention of punk. They didn't want it to get out to the news about these cannibalistic baby-eating, grave-robbing punks. So it just became a grave-robbing incident and not a punk incident.\n\n**Jerme Spew:** I was the last person to turn myself in, so I was the \"ringleader.\" Even though, quite frankly, I still say it wasn't my idea. I had no money, no lawyer. And I ended up spending three weeks in Santa Rita.\n\n**Bucky Sinister:** So he was like this skinny punk kid. Like, six-two and 160 pounds. Of course, everybody was like, \"What're you in for, white boy?\" And he wasn't sayin' anything. So they went to find out, and it all came back that he had felony counts. One for \"malicious dismemberment of human remains,\" and \"malicious removal of human remains.\"\n\nSo all they knew was, he'd been caught chopping up a body. Nobody would go near him, except for this one dude, who came up and said, \"When you kill a motherfucker you don't take him home with you later.\"\n\n**Tim Armstrong:** Everything got fuckin' kinda hot after that happened. Oh my god, it was the punk rock scandal. It was like O.J. for punk.\n\n**Janelle Hessig:** It was in all the papers. They had Jerme Spew quoting Nietzsche.\n\n**Frank Portman:** I saw it on that Maury Povich show, _A Current Affair_. That, with the Feederz throwing a dead dog into the audience, yes, we made an impact in the world. With our ripping apart dead dogs, and mummified baby corpses, and so forth.\n\n**Greg Valencia:** Grimple played with Insaints at Gilman, '92 or '93. The singer Marian Anderson had these two dominatrixes in the crowd. They had this live sex thing. I don't remember ever seeing anything like that.\n\n**Mike Avilez:** They did this really long instrumental song while Marian got this banana shoved up her by dominatrix women onstage. She was naked and pissing onstage.\n\n**Kamala Parks:** She'd do it all the time. It wasn't anything surprising, really.\n\n**Daniel DeLeon:** I knew who Marian was for years before I met her. She was the freakiest punk in Modesto. She had a two-foot mohawk and liberty spikes, and crazy makeup and ripped clothes. She was looking for someone to jam with. And that was the beginning of the Insaints.\n\nWe moved to Oakland. It was better than living in Modesto. Marian got money from the government every month, 'cause mentally or legally she couldn't really do a real day job. She was a bit crazy. She started being a dominatrix in Oakland. So she decided to bring that into the band, for live performance. We'd invite other girls that she worked with to do sexual acts onstage with her. Fist-fucking and pissing, we had shows where dildos were involved. Bananas were going all weird different places. It was pretty wild. I just played guitar.\n\nMarian ended up dating Tim Yo for awhile. Kind of a weird couple, her and this old gray-haired short guy. But Tim was great to talk to. I think the only reason why we even have an album was because Marian was dating him. _Maximum_ paid for it all, which was cool. I don't know if he liked our music. I know he liked Marian.\n\n**Jerme Spew:** The show got stopped. I went inside, most of the people had left by then.\n\n**Daniel DeLeon:** This is what Marian told me. I forget the guy's name. He was from the Dead Kennedys. The hippie. The 90210 guy. He gave her a bouquet of flowers before we went on. Which probably meant he liked her a lot. She thought it was sweet. Thanked him, whatever.\n\nThen as soon as he saw the performances\u2014fist-fucking and pissing, and all this shit\u2014he went to call the police. The cops showed up and she was covered in wet bodily fluids. And bananas. The cops handcuffed her and took her outside and wrote her up, for lewd acts in public. She was still naked. I mean, they didn't even let her put on a jacket. They cited her, and then let her go.\n\n**Jerme Spew:** Kristen from Naked Aggression, and Mike Lymon, somebody else, told the Dead Kennedys guy, \"Maybe you should come with us into the side room before you get the shit kicked out of you.\" I went in just 'cause I was curious what was going on.\n\nIt slowly came out that he had a crush on Kristen, and he also had a crush on Marian. So he would bring them flowers and stuff when they played. But it turned out he was a born-again Christian. He said that it was the lesbian love that was against God's word.\n\nKlaus Flouride: This was crazy. \"One of the Dead Kennedys members calls the police on Gilman Street!\" We were all like, ah, for Christ's sakes. Talk about spin control. My phone was off the hook. Ray's phone was off the hook. It was before the Internet, or anything like that.\n\n**East Bay Ray:** He's seriously\u2014he's clinical.\n\n**Klaus Flouride:** The walls talk to him.\n\n**East Bay Ray:** It's not good to talk about this.\n\n**Klaus Flouride:** We just let it go.\n\n**Daniel DeLeon:** She went to court for a year off and on. The ACLU from the West Coast didn't want to have anything to do with us. So the ACLU from East Coast did. The charges were dropped. You know how you have to buy a membership card at Gilman? It was technically a private club. So it wasn't lewd acts in public. It was in a private club. And that's the only reason why she got off.\n\n**Ben Sizemore:** I was working Gilman volunteer security, with Jerme Spew and Atom Thompson, aka A. C. Thompson.\n\n**Jerme Spew:** It was a really small show, practically nobody was there. But it was a security nightmare. Seven or eight assholes kept fighting all over the club.\n\n**Jesse Luscious:** Jello was there to see the Fixtures 'cause they were on his label. Or they were about to be. All of us regular workers were outside dealing with these douchebags.\n\n**Ben Sizemore:** So we were in the process of throwing these guys out, and as we were chasing them off, someone ran out front yelling, \"Jello's been attacked!!\"\n\n**Jello Biafra:** Basically I'd gone down to see the Fixtures and there was a group of crusties that I'd never seen before, and a lot of other people hadn't. For some reason they were allowed to do stuff that normally had been banned at Gilman by then. They were stage diving at will, shoving people around. They shoved me into a table several times, and finally one of 'em plowed into me and snapped my leg backwards. Plowed straight into the knee and snapped the whole leg. Kind of in half.\n\n**A. C. Thompson:** I was right there inside the building when it happened. It was a guy who was dirty and drunk, who really wanted to skank it up, and he accidentally ran into Jello. Jello's knee buckled. It wasn't intentional, from what I could tell.\n\n**Jello Biafra:** Not knowing what happened, I stood up on it, then really felt, \"Oh my god, I'm really fucked up.\" I challenged one of 'em about it. And he said, \"Oh, you're such a rich rock star, you fuckin' deserve it, don't you?\" Or something to that effect.\n\n**A. C. Thompson:** I remember Jello grabbing the guy and being like, \"You just busted my leg. You need to tell me who you are because I'm going to make you pay for this.\" And the kid was like, \"Get the fuck away from me, old man! Fuck you!\" The next thing you know, Jello's going crazy and it's become this assault on him.\n\n**Jello Biafra:** So then like a fool, on one leg, I took a swing at 'em. All his friends jumped me and split my head open with brass knuckles, and may have done more damage to the leg. I have no idea what. I also wound up with injury-induced glaucoma in one eye.\n\n**Jesse Luscious:** The regulars at Gilman pulled people off of each other. And we called the cops.\n\n**Jerme Spew:** Jello was trying to describe his assailants. He demanded one of their driver's licenses. I couldn't honestly tell you which one of them he was demanding. But it didn't matter, 'cause he was demanding the license of a man named either Cretin, Sphincter or Spider.\n\n**Jesse Luscious:** These were like crusty squatter people with facial tattoos, from the Southwest. They were just traveling through, and they were there for the show. It wasn't like they were planning a crime. They were just assholes.\n\n**Ben Sizemore:** I don't even know if they knew who he was. It's dark in there. I think they only realized it later that it was Jello Biafra of the Dead Kennedys whose leg they broke.\n\n**Jerme Spew:** I saw none of it. The story I got from Jello was that they targeted him. Jello's version was that they started quoting _MRR_ people, like Tim Yohannan. That they were quoting bad things that the columnists had said about Jello, as their ammo for reasoning why they were physically attacking him.\n\nI believe they were attacking him because they were pretty antisocial and not so bright, and didn't know how to respond to an older punk rocker guy. Especially one who was Jello, demanding information from them, and so they kind of went, \"Oh! Attack!\"\n\n**A. C. Thompson:** The kid ended up running out of the club.\n\n**Jesse Luscious:** The cops came, the ambulance came. The police never really caught 'em. They went up north to the Northwest somewhere.\n\n**Jello Biafra:** I could have sued the living shit out of Gilman and got the whole place closed down, but I thought that would be a terrible thing to do and it would be wrong. Many people urged me to do that, including the doctors who tried to fix up my knee. But I wasn't gonna do that. If anything, we need two or three Gilmans in every single town. I'd love it if they multiplied like Starbucks.\n\n**A. C. Thompson:** Jello blew it up into this absolutely malicious attack on him, like it was some sort of beef between the new generation of punks and the old generation of punks. Jello had both messianic and persecution complexes.\n\n**Jello Biafra:** I made the decision that I couldn't let this keep me away from Gilman. It was my place, too. I liked going there. I liked a lot of the bands that played there. I wasn't gonna stay away. Plus I had spoken-word shows booked there, two or three weeks or less after it happened. So against all advice I went ahead with the show. Some people in the audience made fun of me through the whole thing. But others were pretty angry at those people for doing it.\n\n**A. C. Thompson:** He spoke for three hours, largely about himself. He needed to raise money because he felt he needed to go to a specialist who was _not_ covered by his insurance. People were like, \"Uhhhhhh, yeahhhh, whatever, dude.\"\n\n**Mike Avilez:** He was sitting in a wheelchair onstage. Then I saw him a year later and he sang a couple songs with DOA in San Francisco. It looked like he had some metal thing on his leg.\n\n**Jerme Spew:** I don't think there was a grand conspiracy, like things that have been said in _Maximum_.\n\n**Ruth Schwartz:** Biafra got the shit kicked out of him, and he never forgave Tim for it. He held Tim responsible. Biafra wanted to say it was because of what happened at Gilman, but in fact it was something that had been building and building and building. But that's what was going on with him. It's all so ridiculous in some ways.\n\nTim wrote an article in _Maximum RocknRoll_ about how Biafra had done something wrong. I don't even remember what it was. In Biafra's mind, it created an environment where skinheads could come into Gilman and beat the crap out of him.\n\n**Ginger Coyote:** The fight between Tim and Jello Biafra was fun.\n\n**Dallas Denery:** Oh my god. Here you had two 40-year-old men arguing for issue after issue of _Maximum RocknRoll_ , about what real punk rock is. These endless debates. You were just thinking, come on.\n\n**Larry Livermore:** I was very angry at the time about Biafra getting beat up. I always blamed that on Tim Yohannan. Not just exclusively. But he helped orchestrate that whole \"Jello is selling out to be a rock star.\" He made one reference to Biafra living in this $650,000 mansion in the Mission. It was a fairly pricey house by San Francisco standards of those days. But not extraordinary. It's probably like a middle-class house.\n\n**Jello Biafra:** I shouldn't have let it slide because this notion of me being the big bad evil rich rock star permeated the community. When all I was doing was supporting the same bands they were. And in some cases using my money to put out their records. That was the thanks I got from _MRR_.\n\nI fingered _MRR_ for creating the atmosphere that made it cool to violently attack somebody like this. Tim's response was to attack me personally, and eventually he accused me of faking the entire injury. In print. After two years of rehab and a badass knee surgery later\u2014no, I didn't fake the fucking injury. I was very, very angry at him over that. It hurt all the more because it hadn't been very long before that, he was one of my dearest and closest friends.\n\n**Gavin MacArthur:** A disagreement between punks? I mean, come on, man. What are you infighting for? Go beat up the CEO of Wal-Mart. Jello's got his own thing going, A.T. is its own thing, and he hasn't sold it to anybody huge. He's still maintaining a small business. That whole thing I thought was just completely fucking lame.\n**39**\n\n**Rise Above**\n\n**Mike LaVella:** Gilman had so much to do with why I moved here. But literally, the week I moved here was the last week that Tim and Martin Sprouse booked Gilman: \"Oh, this weekend are the last shows that we're doing.\"\n\n**Cinder Bischoff:** When Gilman closed for a period because that kid broke his leg and sued Tim Yo, the name changed from Gilman Street Project to 924 Gilman. In the period of a few months when they were closed, the people started putting on shows in the back of Phoenix Ironworks. Rock Against Racism, GWAR. Oh my god, GWAR played my house on Halloween. That is so rad.\n\n**Anna Brown:** The loss was felt acutely by us all. Tim decided he was gonna shut it down and chalk it up to a failed experiment in collectives. I think he ended up being disappointed by what he saw as a lack of dedication by most people.\n\n**Martin Sprouse:** It was a lot of work. Everyone was working day jobs and doing this at the same time. And we were trying to figure out whether we were gonna shut it down. There weren't enough volunteers. It was the same old people doing it. It turned into, like, \"You guys put on the show, we play the show.\" It was a very hard situation. It needed more time to grow, and it wasn't growing fast enough to keep it going.\n\n**Larry Livermore:** As far as Tim was concerned, that meant it was finished. He'd put an awful lot of time and work, and $40,000, into the place. It ended up having a budget four times what they'd originally expected.\n\nHe wrote a eulogy to it. He announced that it had had a great run, but it hadn't really lived up to its potential. So he said, we shouldn't feel bad that it's closed. We accomplished a great deal. We can learn for the future. Let's say thanks for the memories. That kind of thing.\n\n**Bill Schneider:** After _Maximum RocknRoll_ backed out, a bunch of us got together and reopened it as the Alternative Music Foundation. I was right in the middle of that. Mike Kirsch was pretty active. Pat Wright, Jason Beebout, Tall Tim\u2014there was a bunch of people. One guy, Jonathan, was the main guy, he was a grad student at Berkeley. He really was the one that organized everybody.\n\nThere was this creepy business guy named Lou, who we were all pretty sure had really shady intentions. But he was rich and had computers and knew people on the city council, so we were like, we're gonna use him for our own. And we really did. We wouldn't have been able to do it without this guy. He was a total creep, just trying to pick up on young girls.\n\n**Anna Brown:** Lou was really weird, but there was always some earnest person to oversee what was happening in spite of all that.\n\n**Bill Schneider:** _Maximum RocknRoll_ was very against it reopening. They were offended: \"How could these people try to continue what we decided is pass\u00e9?\" It was this funny East Bay-West Bay rift. Tim came in and yelled at us and told us that we were stupid. He was really pissed off that we would have the audacity to reopen Gilman because it's obviously not gonna work.\n\n**Martin Sprouse:** We had meeting upon meeting upon meeting about this. The second group of people that took it over, that came out of the first. It's part of growing pains, I think, to get to the third or fourth stage, when things kinda changed. This second group kept a lot of the same policies, but were a lot more lax on other aspects.\n\n**Larry Livermore:** Tim was genuinely surprised that it reopened. Once they got more reliable people involved, it actually ran better without Tim and his micromanaged style. I think he found that a bit annoying. He came to shows occasionally, but not that often. After that, he had nothing to do with it.\n\n**Bill Schneider:** I'll be the dick to say it. A lot of the people who took credit for Gilman gave up on it. If you read that Gilman book, all the people that are in it, they gave up. It wasn't even a full two years. They gave it away. They shut it down. They hated the fact that we'd opened again. I'm not holding anybody to the grindstone. But they all saw later. They were able to step back and go, \"Oh, wait a second, it worked.\" The anarchy worked. It took over for itself.\n\n**Richard the Roadie:** A second group opened it up as AMF. And it was really good. But a lot of those people peeled off. There was a huge shift at Gilman. They were just hemorrhaging money. It was just spiraling and going downhill. The shows were still good but it wasn't being run as an effective club. They were like three months behind on rent, the money wasn't being managed, bands had stopped playing there, 'cause they weren't being paid that well. It got nasty.\n\n**Larry Livermore:** It was on the verge of closing. One thing I learned from Gilman, no matter how socialistic or cooperative the venture is, somebody always has to take ultimate responsibility. Gilman succeeded, with all of its faults, because Tim was able to step into that role.\n\nI helped encourage this one young but very smart kid to be the new head coordinator. Basically I said to him, \"Look, all this cooperative, collective stuff is great, but there has to be somebody that's willing to tell people to fuck off, and to say this is what has to be done. And I think you can do it.\"\n\nHis punk name was Mike Stand, but it's Mike Lymon. He later went on to found a very successful Internet company in Berkeley. He might have even been less than 18 when he took over Gilman, and completely saved it from bankruptcy. He was kind of an unsung hero.\n\n**Richard the Roadie:** Mike Stand came through and just changed everything top to bottom. Made it run like a business. There was a big benefit weekend, and it was Green Day, Jawbreaker and Neurosis. All three bands were huge at the time. And they gave all the money back to Gilman. And it basically pulled Gilman out of debt. People say it's chaos now, but it's really well run.\n\n**Dave Chavez:** Gilman's always gonna be there, 'til they burn it down or something.\n**40**\n\n**All I Know Is What I Don't Know**\n\n**Larry Livermore:** I was up in Mendocino County, way up in the mountains. I was living with this girl who played drums, and we were forever trying to find a bass player who was into punk. Nobody trusted us because we had short hair. The neighbors thought we were narcs 'cause they were mostly pot growers.\n\nI started a magazine, _Lookout!_ , which was mostly about mountain stuff. The neighbors didn't like it because they didn't want the attention. They threatened to burn my house down. So I started writing about music instead. I did a lot of politics and environmental stuff.\n\n**Rebecca Gwyn Wilson:** Livermore was a one-man _Maximum RocknRoll. Lookout!_ was really funny. He would write about how he grew up in Michigan and how he was really bored and disenchanted.\n\n**Larry Livermore:** I found some local kid to play bass, so I started looking for somebody else to play drums. The kid at the nearest house down the road, about a mile away, was crazy and full of energy. He was a showoff and a loudmouth, and I figured he'd be a good drummer. He was 12. That was the Lookouts.\n\nWe had a lot of offers to \"Shut the fuck up!\" from the neighbors. There was no electricity. Everything was either solar panels or generators, so it was very quiet up there. Our first attempt at a show was at a combination store and camping area down on the highway. It was the closest commercial establishment. It didn't go over very well. One of the old hippies unplugged us in the middle of our set and there was a confrontation about that.\n\nI made up Lookout! Records basically to put out a record by my own band. I was at a temporary room in San Francisco, with David Hayes and Dave MDC, and another guy called Joe. David was doing a tape label, and he did a compilation called _Bay Mud_. He got tracks from about 20 Bay Area bands.\n\n**Frank Portman:** Mr. T Experience made our first record, called _Everyone's Entitled to Their Own Opinion_. It was like 1986. We didn't have a label, we got a loan from our parents. We went to the cheapest studio in the phone book, which was also how we found out about Kevin Army. Larry said, \"Where did you get your record?\" I said, \"We recorded it with Kevin Army.\" So the Lookouts recorded _One Planet One People_ , with songs like \"Fuck Religion.\" That was Lookout! 001.\n\n**James Washburn:** Livermore, he's not from Berkeley, he's from the hills. If you listen to the Lookouts' music, it ain't punk, it's weirdo stoner noise. He had a really open mind. Tim Yohannan had a very strict edge of what is punk and what isn't. And Livermore had a very different definition.\n\n**Frank Portman:** _Maximum RocknRoll_ had put out a 7-inch EP that was recorded by Kevin Army. The new sound of the East Bay, so it had all these bands. It was called _Turn It Around_. And it had a picture of this goofy dude Walter on the cover.\n\n**Dave Mello:** They asked all the bands to be on it. That was the first time Op Ivy went into the studio to record something.\n\n**Billie Joe Armstrong:** That was really great. That was amazing. That just summed everything up. I listened to that over and over and over and over again. It was like my favorite record.\n\n**Larry Livermore:** I knew this kid Tim, we'd always talk and hang out. When I went to Gilman, Tim came running up and literally jumped into my arms. He said, \"Larry, Larry, I'm in a new band, we're called Operation Ivy, we're gonna play.\" I saw my first Operation Ivy show and was so amazed. It was complete energy, everybody was singing along and jumping up onstage with them. They'd been together three months.\n\nI said, \"I want to make a record with you guys.\" I was thinking of putting out one by Isocracy anyway. I knew David was interested in Op Ivy, too. I said, \"Why don't we join forces?\" He had Corrupted Morals and Operation Ivy, and I picked Isocracy, and at the last minute we decided to do Crimpshrine, too, 'cause they already had a fully recorded tape.\n\nThose came out in January of '88. David's first ad in _Maximum RocknRoll_ was, \"Nobody buys vinyl records anymore\u2014so we're putting out four of them.\" All 7-inches. Five, six, seven songs, as much as we could squeeze on there. We sold out the whole first pressing of 1,000 each. At that time, that was a lot. Ruth Schwartz called up and said, \"We'd like to distribute your records now.\" That made a huge difference. She instantly sold out our next pressing. I doubt the company would have survived without Mordam.\n\n**Martin Brohm:** I used to live with David Hayes, we lived in this shitty little apartment. It's where Lookout! Records was run out of. They'd come over and have their big power meetings. There'd be piles of records in his bedroom.\n\n**Jason Beebout:** We'd go to Marty's house just so we could check out all the different colored vinyls, to get the best vinyl. We had to stuff all the records ourselves. It was like splatter designs.\n\n**Jesse Michaels:** Back then, no one ever expected to be actually on a record. We were thrilled. I didn't have anything to compare it to, because I had never met anyone who did a label and I didn't know anything about records. I just thought it was incredible that someone would actually do it.\n\n**Billie Joe Armstrong:** I used to see Larry at different gigs. I was a little taken aback by how much older he was than everybody else. In the scene, when they say \"all-ages,\" they really mean it. 15 all the way up to 50.\n\nMendocino Homeland: Larry Livermore\n\n**Dave Mello:** He was an older guy, but at the same time he made it feel like we weren't signing anything. Basically we were all just doing it ourselves. He made the record deal like it was an even-even deal: \"Were not gonna be making money off you.\" We were all 18, 19, and not really knowing exactly what it entails, what a contract is, and what percentages are. We didn't really know the whole scope.\n\n**Jeff Ott:** Larry had everybody record with Kevin Army out of this place, Dancing Dog\u2014everything came out sounding very trebly. Pete Rypins from Crimpshrine, Matt Freeman from Operation Ivy, Dave Edwardson from Neurosis and Ron Nichols, who ended up being in Christ on Parade, are like four of the greatest bass players ever. And they're all on this label where the bass is turned way down. And everything's super trebly. It's like, how did that happen?\n\n**Aaron Cometbus:** There's nothing like the feeling of putting the needle down on your very first record of your own band. It's a wonderful, wonderful feeling. But I also remember a different kind of good feeling, which is smashing your own record into a million pieces. I did that with copies of the Crimpshrine _Burning Bridges_ EP on the way back from a show in Davis, tossing them out the car window and watching them splinter onto the highway. I was frustrated and sad. And angry, of course. But it wasn't just that. It felt good to destroy a little of what you'd worked so hard to create.\n\nDavid Hayes from Lookout! Records did the same thing with copies of Op Ivy's album when it came out. To sort of christen it, and to express his frustration. That really bummed out the band, though. They were in the car right behind his.\n\nThere's a flipside to the joy of creation, this feeling of futility and loss that comes with it, and it was especially strong at that time because it felt like we were losing our whole scene just at the moment when other people were starting to discover it. That feeling was in the air\u2014that just as we were getting out of the gate, we'd already lost something essential that couldn't be replaced.\n\nThere were more cynical, bitter ways of expressing the same thing. David Hayes would make another 20 Op Ivy records stamped \"Number One\" whenever he got drunk, just to fuck with the collectors.\n\n**Dallas Denery:** To Lawrence's credit, I think he identified right away what was going on. More than anybody else. Sweet Baby and Op Ivy and Isocracy and Mr. T were a bunch of really good bands that appeared all at once, in one place. And Lawrence understood what that meant.\n\n**Jesse Michaels:** One thing that really separated our little scene from a lot of other people is we were really into the old melodic punk sound. The Clash, Stiff Little Fingers, the Buzzcocks, Crime, the Dils, all those old bands. Avengers, the Dangerhouse Records bands, Poshboy bands. And that influenced a lot of the so-called East Bay sound, if there is such a thing. Which is why stuff went back to mid-tempo, as opposed to breakneck hardcore tempo.\n\n**Andy Asp:** When you saw what came out of Lookout!, compared to the darker San Francisco punk scene, it was that punk can be fun. It doesn't have to be so serious.\n\n**Christopher Appelgren:** A punk friend at my school had become pen pals with Larry Livermore. He had a place outside of Laytonville. And of course his _Lookout!_ magazine was distributed in southern Humboldt. She made me a tape that had the Lookouts' first album on one side, and on the other, all of the first Lookout! 7-inches\u2014Operation Ivy, Crimpshrine, Corrupted Morals and Isocracy. And maybe the _Turn It Around_ compilation, too.\n\nI wrote to Lookout!, \"I do this show at a local radio station. Can I get some records for my show?\" Larry wrote me back suggesting that, instead, why doesn't he just come up and be a guest on my show? And he'd bring all the Lookout! records and maybe some new stuff.\n\nLarry became my official co-host pretty quickly after. And we did the show for about three years. He must have been 40 or 41. I was pretty excited because I had the opportunity to meet somebody who was at the center of what was really interesting and important to me.\n\nDavid Hayes had created the look of the label, done Lookout!'s art and design. And between the two of them, they picked the bands. But I think their partnership had soured pretty early on.\n\n**Larry Livermore:** David was dissatisfied, he wanted to quit the label. It had become too much like a job, and there was too much money involved. I think we grossed sales of $20,000 that year.\n\nDavid had been keeping all the records and the accounts on a couple pages of loose-leaf notebook. I was mostly hype. Meeting with bands, talking to people, getting attention. I was more like the spark plug, and he was the very solid engine.\n\n**Christopher Appelgren:** Larry is a little difficult. I know David tried a couple of times to leave the label.\n\n**Larry Livermore:** I was very petrified at the idea of him leaving. I was begging him not to. I said, you can stay under almost any terms. Part of the reason was that I couldn't do the finances, because at this time I was still on disability for crazy people. That was my income.\n\n**Jeff Ott:** In the middle '60s Larry got caught pouring gasoline all over his school to burn it down. And rather than criminally prosecuting him, they put him on SSI.\n\n**Larry Livermore:** I have a history of pyromania. It was the same thing that got me out of Vietnam. I had a series of years in the wilderness after that, where I spent a year hiding out from the police 'cause I had been involved in a big drug bust.\n\nThat's how I came to California in the first place. Living in squats, things were getting more and more desperate. By 1971 I was completely broke, and pulling up dandelion greens out of the backyard. I thought, I'll go down to the welfare office and turn my life over. Ironically the shrink that examined me was a hippie revolutionary, who basically said, \"Look, I approve everybody because it's a way of subverting the system.\" The shrink later got arrested for pipe bombs.\n\nI was on that for 20 years. If I had to start filing tax returns and financial reports, it meant I was working. And it was the end of my guaranteed money. Lookout! was making a small profit, but not enough to support the one person, let alone two.\n\nSo I told David, you can just be the front man, you just sign all the checks and file the sales tax reports and stuff like that, and you can still have half of whatever we make. And David was like, \"No, I can't do it.\"\n\nI was going to do a compilation, he was going to do a compilation. And both of them were going nowhere. But he had all the art. He finally shrugged and said, \"Oh, well, let's just do it together then.\" His compilation was going to be called _Floyd_. So it became _The Thing That Ate Floyd_ , a double record instead of a single record. It was meant to be a survey of everything that was going on in the Bay Area at that time.\n\n**Dale Flattum:** It amazed me that they had the stick-to-itiveness, just the logistics of getting that many bands to get the recording done.\n\n**Davey Havok:** The second compilation was _Can of Pork_. For us, that was, \"Oh my god, this is the biggest band in the world\u2014they're on the Lookout! Records compilation!\"\n\n**Cammie Toloui:** I moved into the _Maximum RocknRoll_ house with Tim Yohannan and Lawrence Livermore and David Hayes. We were all there at one time. Lawrence hadn't figured out what he was going to be when he grew up. He just seemed really old to me 'cause I was 18.\n\nBetween Friends: Lookout! Records profit motive chart\n\n**Jesse Luscious:** David Hayes was starting his new label, Very Small Records, and had just split off from Lookout! So that was kind of bitter and weird. Very Small Records was kind of a self-defeating thing. He would do really short runs or he would just do bands that he loved, that were tough for people to get a handle on, like Schlong or Elmer. He doesn't really care about selling records.\n\n**Christopher Appelgren:** At this point Lookout! was Larry, myself, and Patrick Hynes, who Larry had met at KALX. Larry had started going back to school at Berkeley in late 1990, and had rented a room in a house. That actually was our Lookout! office for a number of years. He would fold up his futon and then we would do layout on the floor. Pat and I had this joke about a lot of pubic hairs getting in the layouts. There was no vacuum cleaner. There really were a lot of Larry's pubic hairs in the art. I know that's bad.\n\nOn the weekends, Pat and I would load up our skateboards with boxes of 7-inches, and go sell records. You'd stack them up on the front and you could stand on it like it was a little scooter. Our distributor was in San Francisco, so we'd take our skateboards, load up all the stuff and take BART with these big boxes. It was really bad through the turnstile, and going down the escalator. I remember thinking, I hope this is all for something. Especially since I'd flunked out of school.\n\n**Larry Livermore:** After David had finally quit for good, I had to go to the Social Security and tell them I'm making money. I had to take this giant leap of faith that Lookout! was gonna start supporting me.\n\n**Andy Asp:** Lawrence Livermore was a musician, and he was in a way the East Bay's Kim Fowley or Andrew Loog Oldham. \"This eccentric older man is taking interest in my son's music!\" Parents must have been like, \"What the hell?\" A lot of the early punk guys were music-centric older unmarried men. I didn't realize that 50-year-olds were going to punk shows. I remember meeting some of them on tour. Some guy would invite you to stay at his house, let's say in the Northeast. I'm sure there were different motivations.\n\n**Larry Livermore:** Op Ivy and Green Day, the CDs were issued the same day, in spring of '91. We were kinda slow on doing CDs. A lot of punk labels were. It was a revelation when we finally did. Because our sales quadrupled overnight. That was probably the main thing that enabled me to get off welfare.\n\n**Mike LaVella:** Lookout! was doing great. They had the Op Ivy record, they had the two Green Day records, which were selling. They were gold and platinum respectively, which is a lot. Imagine selling 500,000, a million of those three records. They had a lot of money coming in. They had some 60-40 split with the bands, where the bands got 60. I've never heard of that in my life. Lookout! actually gave more money to their artists than anybody else. And then they restructured it to 50-50, which is the standard.\n\n**Christopher Appelgren:** Green Day had always been our bestselling band, and then suddenly, instead of a couple thousand CDs or albums at a time, we started ordering tens of thousands. We started selling a lot of records. A lot of everything else, too. There was a real wave of interest in all the bands on the label.\n\n**Davey Havok:** Lookout! was very tastemaking within that scene, for the time. They were tastemakers. We wanted to be on Lookout! for sure, but they didn't care about AFI at all.\n\n**Christopher Appelgren:** There was a crazy period of time, we were getting checks that were a million dollars a month. Writing checks to Green Day that were a million dollars. We always paid all of our bills in advance. But in order to be able to meet this need, we actually had to get terms from the manufacturer and the printer, because it was more money than we had.\n\n**Larry Livermore:** It was growing very rapidly. We were selling probably 30, 40,000 Green Day records a year. And suddenly we were selling several hundred thousand a year. Once _Dookie_ came out, we sold at least half a million of each of their records in a couple years. The first year Op Ivy came out, we sold 2,000 the whole year. And in '95 we were selling 2,000 a week. Of a band that had been broken up for six years.\n\nI tried to rent an apartment down the street, 'cause it was getting too crazy, the phone ringing constantly. I said, \"I run this company.\" They said, \"Where's your office?\" I pointed up the street, \"That house, that room upstairs.\" The landlord called me back the next day and said, \"No, I'm afraid we can't rent to you 'cause it sounds too implausible, you running a multi-million-dollar business out of that old slumhouse.\" So I got a suite of offices on University Avenue, and had about a dozen employees. Some of them I barely knew. It was a quick transition. Not a wholly comfortable one.\n\nSome of the bands were saying, \"You gotta spend a lot more money to promote us.\" I was like, \"Look, why tamper with success? We've made this company grow very well.\" And they said, \"Yeah, but you gotta get with the times.\" There was a lot of tension within the company as well.\n\nIt was getting a bit nerve-wracking. At Gilman you'd get chased around with people trying to give you demos. I started getting lax in my responsibilities. I'd also let the two guys who worked for me have half the company in profit shares, 'cause I couldn't pay them much in the early years. So they now had 49 percent of the company.\n\n**Christopher Appelgren:** We had to make Lookout! into a business. Before, there was no paperwork. The company was just him doing business as Lookout! Records. In 1995, in the midst of all this stuff, we had a business lawyer help set an LLC in California.\n\n**Bill Michalski:** I got this reputation, I guess, as the punk rock book-keeper. When I left AK Press I went to work at Lookout! Records for a couple years. They were just coming off the crest of when Green Day really hit it big. When I was working there, I think we were getting from Mordam probably in the neighborhood of like $250,000 a month. The bulk of that was Green Day and Op Ivy sales. There was 20 employees. And then, in the two years that I worked there, they just squandered it all to hell. That's basically why I had to leave. I was sick of telling people that we're not gonna pay you, or the check's in the mail or whatever kinda bullshit I had to feed them. I couldn't watch them flush the business down the toilet anymore.\n\nI think their main downfall was that they lost track of where they came from. They basically abandoned being an advocate of the East Bay sound and scene. They really wanted to be Warner Brothers or EMI or something like that, instead of taking full advantage of being Lookout! They just didn't realize what a great thing they had.\n\n**Larry Livermore:** I would appreciate making that kind of money today. So it's kinda hard to put yourself in that place of saying, \"Oh, this is so wearisome, I've gotta get away from it all.\" But it was constant stress. A lot of people who had been friends were now either business associates or adversaries. I was getting really depressed. I was drinking a lot. I was near suicidal. It couldn't be helped. They don't ask you when they drive up the Brinks truck and dump out all the money. It just comes.\n\nDeciding which bands to sign, and what approach to take, and how to promote them. That was the stuff I had always excelled at. And I was letting other people try their pet theories on it. I didn't like what they were doing, I didn't like the image it was giving the company.\n\nYou could say, look how democratic I am, look how willing I am to give everyone else a chance. Looking at it in a not so bright light, it's lazy, cowardly, not being able to stand up for what I was sure was the right way to do things. Not wanting to get people mad at me. It was costing horrendous amounts of money.\n\n**Christopher Appelgren:** We started sending out more promos, booking more ads. We sent out CDs and posters when bands went on tour. Larry became less involved. He was traveling more. He had promised and threatened and warned that he wasn't into being a businessman.\n\n**Larry Livermore:** I had 51 percent, so I could say, this is how it's gonna be. But because of my personality and my philosophy, it was difficult to do that. So when people would argue in favor of doing things a different way, like taking out an ad in _Spin_ , or doing a video, more often than not I would say, \"Yeah, I think it's a bad idea, but go ahead, try it. We can afford it. We've got plenty of extra money.\"\n\n**Christopher Appelgren:** We had a dispute with Screeching Weasel, one of the first bands outside of the East Bay that we had signed. They disputed how we were calculating royalties. Weird faxes and letters. Larry filed suit against the band, to have a judge decide if we were upholding the contract.\n\nLookout! had this clause in our agreement about always treating each other with friendship and trust. And I felt like Larry was not doing that. He was not exhibiting friendship and trust. He was assuming that Ben Weasel was out for his own interests.\n\n**Larry Livermore:** Two of us were on one side, Chris was on the other side. We couldn't reach agreement.\n\n**Christopher Appelgren:** The conflict escalated, it was in _Maximum RocknRoll_. It was embarrassing, it was like a big part of local gossip, local shit-talking. It got to the point where I thought, well, maybe I'll quit. And then Larry escalated his plan he'd always promised, or threatened, that he was going to retire. He took Pat with him.\n\n**Larry Livermore:** I'd been brooding about it. Part of my bitterness was that I was spending all of my time helping other people with their art, and I had no time left for mine. I was having virtually no fun. I went home, and somewhere during the night, I had one of those moments\u2014\"I know, Chris could take over.\" I withdrew my capital from the company. One of my other partners left at the same time, so it was left with Chris. I went around and saw the major bands, and explained to them what was going on.\n\n**Christopher Appelgren:** I get a little bit angry because I don't know if I was Larry, 45 or 46 years old, if I would have felt it was the most responsible thing to leave a multi-million-dollar business in the hands of a 23-year-old high school graduate.\n\nLarry was moderately involved for a time, but phased out pretty quickly because I made some pretty radical decisions that went against what he would have advised. Patrick became an employee, and worked for me. And gave up his vote.\n\nAt its peak in '96, we opened a record store. We had 18 people between the store and label. The store never made any money. It's hard to have a record store in the face of Amoeba and Rasputin's, all these great stores in Berkeley. It was more of our little clubhouse to have in-stores, and have cool artifacts. But it was a very expensive one.\n\n**Bill Michalski:** After I left, I was still friends with a lot of people that worked there. One of the things that I heard they were trying to do was to have Lookout! bands on airline in-flight entertainment. Like, you put in your fuckin' headphones in the airplane and you're gonna hear the Oranges Band or Gaza Strippers or some shitty band that they were promoting at the time. How crazy is that?\n\nAnother thing that was a real big mistake\u2014they tried to get in on the Warped Tour too late. If they had done it when they had all the money and when the Warped Tour was first starting, it would have been cool. But when they finally decided to do something, I think it was '98.\n\nMoney was really tight at Lookout! All these other record labels like Epitaph had these free giveaways, goody bags and all this cool shit. Lookout! had a bunch of plastic bags printed up with Lookout! on it, maybe stick in an old Samiam cassette that they had laying around somewhere. So they were giving out basically empty bags. They looked like complete cheapskates. It was really pathetic. And it cost a ton of money.\n\n**Christopher Appelgren:** It happened on my watch. I just really didn't know. We were also dealing with a more and more sophisticated underground and independent music industry, that was more competitive. It was harder. Green Day was proud of spending $900 to record their record. Then I was dealing with bands that wanted $50,000 to make records. That's a real different mentality. Lookout! ended our relationship with Green Day, because there was a long period of not paying royalties.\n\n**Larry Livermore:** They stopped getting paid. You can't blame them. The bands weren't getting their checks regularly, and they were also complaining that Lookout! was signing all these bands they didn't like. They felt like the money that should be going to them was going to promote these new bands.\n\nThe Lookout! people would always say, oh, everything's alright, don't worry. I was on the other side of the ocean. So I didn't really know for a few years how bad things were getting. It's pretty much all gone now.\n\n**Christopher Appelgren:** We basically renegotiated a settlement with Green Day, where now they are stakeholders in the business, in lieu of money that we owed them. We've gone out with our hat in our hands and admit some of our shortcomings, try to work things out. In some cases, it was successful. In other cases, it was too late.\n\nIt was really hard. It was in all honesty an overdue humiliation. Because a lot of those more desperate years, we were trying to prove to Larry that we were doing good things. We worked with some great bands. And made some great records. But ultimately, those good things didn't outweigh some of the bad things.\n\nKerplunk: Chris Appelgren at Lookout! Records offices\n\nOur relationship with Operation Ivy ended pretty soon after.\n\nWith the same kind of situation. The one silver lining to the cloud for me is that the four of them have really come together in figuring out what should happen now with Operation Ivy. Jesse got up and performed with Rancid at the Warfield, those kinds of things.\n\n**Zarah Manos:** I worked there after Livermore had left. The thing about Chris, he likes to have a good time and he likes everyone to be happy and to like him. You can't hate on somebody for that. It might have gone down really shitty, but I really think his intentions were right. He wanted people to have a place to work, he wanted to keep it DIY. He thought that more money was coming in, that he could employ more people. And it didn't go down like that.\n\n**Christopher Appelgren:** Lookout!'s not putting out records anymore. We had to let our staff go at the end of the summer in 2005.\n\n**Larry Livermore:** I don't even know the technical ownership. Someone runs sort of an office in San Francisco. They administer the Web site, answer the mail and phone. I don't know what else they do.\n**41**\n\n**Unity**\n\n**Dallas Denery:** Something clicked around 1988. Op Ivy became very popular, more so than any other band at Gilman Street. There would be a line around the club.\n\n**Sergie Loobkoff:** Who knows what would have happened, but it seems like Op Ivy would have been bigger than Green Day, bigger than Rancid. Because they stood out so far above every other local band that ever played there. They had that magic little pixie dust.\n\n**Matt Freeman:** The first time me and Tim met, we both grew up in Albany and there was this thing called My Indian Guide. We were five years old. You'd do crafts or whatever, kids and fathers kind of stuff. I went over to his house and he had these two older brothers, Jeff and Greg, and they were just intimidating. I remember Greg was doing pull-ups.\n\n**Tim Armstrong:** Albany was a mile square, 14,000 people. It's right next to the People's Republic of Berkeley, but in the '70s Albany was very working-class, not hippie. We grew up right across the street from the Golden Gate Fields racetrack. We would go there every day, me and the kids from the hill. We were 10, 11 years old. The first time I seen a pimp, all-purple suit. First time I saw a real knockdown, throw-down fight. It was exciting and it was just super shady.\n\nMy brother Jeff got into punk early on. I was 13, and we had a Radio Shack portable record player, and we listened to the Ramones' fuckin' _Rocket to Russia_ record when it came out. Twenty times in a row, every day. I'd never heard anything as great as that. My older brother Greg liked more hardcore music, Black Sabbath. But the one thing that all three agreed on was the Ramones.\n\n**Matt Freeman:** Jeff worked at 7-Eleven. Everyone hung out up there. He would play the Ramones constantly in the store. He had one of the biggest record collections I've ever fuckin' seen. A lot of roots bands out of L.A., like the Blasters, X, Los Lobos, that rockabilly band Red Devils.\n\n**Gavin MacArthur:** We all went to Albany High. I was walking by one of the music practice rooms, going to class, and Tim and Matt were in there playing, just riffing out. I remember thinking, \"Wow, that's cool\u2014they're sitting there in the high school practice room, jamming.\" I stood out there and listened to them for awhile, it was kind of groovy. I never thought that you could actually go to the high school and rock out.\n\n**Tim Armstrong:** My first band was called COD, which was Kevin Kechely and my brother Greg on drums, in '82 or '83. We were like Black Flag, Exploited. Kevin was a character, lived across the street from 7-Eleven. He had a mohawk, was at every show.\n\n**Aaron Cometbus:** Tim had a ton of different bands one after the other, most of them with Matt. Surf Rats, Ratt Patrol, the Uncool, the Noise. Not punk bands, but they were good. Then came Basic Radio, which was a great mix of everything: surf, ska, a bit of punk, some Old World sounds, too, almost like Klezmer. And this wild rocker second guitarist doing blazing metal guitar solos over the whole thing.\n\n**Jeff Ott:** Basic Radio was like, if they happened now we'd probably call it world music. They were kind of a punk band, kind of a ska band, kind of a reggae band, kind of a rock band. Dudes could play saxophones and all kinds of different instruments and shit.\n\n**Tim Armstrong:** I loved Basic Radio, I still like it, I just think there was no real home in the mid-'80s for that kind of thing happening. We only played like 15 times in two years. Hotel Utah, house parties, Berkeley Square. A couple of recordings that didn't really come out well.\n\n**Jeff Ott:** When I gravitated toward Telegraph Avenue as a homeless guy, Tim was an employee at one of the pizza places. He professionally hung out.\n\n**Tim Armstrong:** I was working at Fat Slice Pizza on Telegraph. They did not want me playing the Dead on the P.A., 'cause you get the fucking Deadhead hippies coming in off Telegraph and dancing around.\n\nWhen Basic Radio was falling apart, I didn't know what I was gonna do. I'm a fan of New York music, so I said, \"I'm gonna take a Greyhound bus from Oakland to New York.\" In December of 1986. It took three days. My god, you talk about shady. And very regional, man. I heard accents I'd never heard before.\n\nI ended up going to the Sunday matinee show at CB's, unbelievable scene happening. Murphy's Law had put out a record and it was coming out of the woodwork, everywhere you went, you heard that fuckin' record. New York was happenin' big-time. I was like, \"I'm gonna move here.\" And then I went to a fanzine store and got a _Maximum RocknRoll_. There had been a lot of talkin' about the new club that was gonna go down\u2014on Gilman Street! A punk rock club! I grew up right there. I had to go home. I wasn't fuckin' New York. I get chills thinkin' about it. I got back on the Greyhound, another three fuckin' days. No fuckin' money. I had crackers and water.\n\n**Matt Freeman:** You actually brought me back a Rolling Rock beer. You carried it all the way. I'd never seen Rolling Rock beer before.\n\n**Tim Armstrong:** We went to the first Gilman show, it was Christ on Parade, and a band called Soup with Tom Hammond. I knew Tom for a long time, his parents went to high school with my parents. So there it was, man\u2014Tom Hammond's band, Christ on Parade, who I loved, new club, Gilman Street.\n\n**Jesse Michaels:** I grew up in Berkeley. My first encounter with punk, a friend of the family had the B-52s record and I went crazy over that. I still love them. And then about a year later, when I was like 11, I heard other stuff like the Ramones and Devo.\n\nI came from a very academic background. My father was a well-known writer and my mother was in grad school. My dad taught at Cal, and one of his students was Jennifer Blowdryer, who used to work for _Punk Globe_. She loaned him some records, which I got my hands on. And I got this book called _Punk_ , which was about English punk bands. Before I ever really had much of the music, I had devoured the photos. I even decided I wanted to sing at some point, just from looking at the pictures of singers.\n\n**Aaron Cometbus:** I met Jesse Michaels when we were eight or nine, maybe even earlier. Jesse and his brother were the kids who lived across the street from a friend of mine. One day me and Jesse are blowing up tubes of toothpaste on the schoolyard, then a few years later we're still little kids but now doing a fanzine.\n\n**Jesse Michaels:** Aaron was a very, very obsessive kid. When he was into comic books he was obsessed with comic books. When he was into art he was obsessed with art. I think that's a characteristic of a lot of punk rock people. If it wasn't punk rock it would have been ghouls and goblins and role-playing games. It's that type of fringey, super-interested personality. And he definitely qualified as that. He already had fanzines and records and stuff. The walls of his room were covered with flyers.\n\nWe worked on a zine together. I was maybe 12 or 13. We changed the name every week, or every issue. It was mainly his thing, but I did my bit, too. And that eventually turned into _Cometbus_.\n\nWe did an interview with the Ramones. They were up at Lawrence Hall of Science for the _Rocket to Russia_ tour, I think. We caught them at KALX, while they were walking from the studio down to their car. We pestered them through the glass window and held up signs saying we were Ramones fans. They humored us and did this very quick interview, and then they got us into the show, which was very sweet. It was Joey and Johnny, I think. That was a big deal for us.\n\n**Aaron Cometbus:** A lanky, greasy-haired guy with a Ramones shirt worked at the corner 7-Eleven, where I bought comics and hung out playing video games. When he got married, I went to the wedding. Two kids there cornered me. \"Is it true you interviewed the Ramones?\" they said. One of the kids was Tom, who ended up playing guitar in Soup. The other was Tim, the little brother of the 7-Eleven guy.\n\n**Jason Lockwood:** Tim used to play pinball with us on Durant. There was a period when he decided everybody had to call him Lint. You never give yourself a fuckin' nickname! Someone gives it to you and you resist it like mad. I told that to everybody I knew, and they were like, \"Dude, you've got Tim in your belly button.\"\n\n**Tim Armstrong:** We were drinking beer one night, one of those little parks in Berkeley. Lint, it just stuck. People called me Lint for awhile, but then people would be like, \"Check it out\u2014I know your real name. It's Tim Armstrong!\" Like, yeah, yeah, that's my name. So I got tired of the nickname. Some people still call me Lint, though.\n\n**Jesse Michaels:** Tim is quite a go-getter. He just goes for it. He just makes bands whenever he wants to. I met him at a Crimpshrine band practice, and he talked about wanting to do a band, and to do something more like Crimpshrine, something more punk.\n\n**Tim Armstrong:** Jesse went away to Pittsburgh to live with his mom, and he reappeared at the end of '86, early '87. We had played video games a few times over at Universal Records. We never knew each other really well. We were hanging out and I was like, \"Yo, me and Matt Freeman want to start a band. I heard you played drums, I want you to play drums for us.\"\n\nHe was 17 and I was 21. And he said, \"I want to sing.\" I was like, \"Okay, I was gonna sing, that's fine, I don't really care.\" That was it.\n\n**Jesse Michaels:** I was into it. I don't know how he picked me out. Well, I shouldn't say he picked me out, 'cause I kinda wanted to do something, too. We sorta found each other.\n\n**Jason Beebout:** Jesse asked us if he could use the name Operation Ivy. I think that was after we'd already switched to Isocracy. And Jesse said, \"Oh, that's cool, can I take that?\" We didn't care. It was more fun to name your band than to stick with it.\n\n**Jesse Michaels:** We were doing this sort of semi-ska thing, and I thought it sounded a little bit mod-like. Operation, the whole spy thing, in the two-tone ska sense. I thought it might work.\n\n**Bonedog:** One time Jesse was painting a big huge mural at Gilman. I went up to him and said, \"What are you painting?\" \"Oh, it's my new band, Operation Ivy.\" It was this big huge thing. They hadn't even played a show yet.\n\n**Jesse Michaels:** By the time we had four songs, we had a show booked. It's just one of those things. We got Dave, and Matt and Tim put him through drumming boot camp and he became a drummer.\n\n**Dave Mello:** I went to Albany High School. Matt and Tim graduated in '84, when I was a freshman. The speed metal scene was really big. Fifteen-year-old kids were taking lessons from Joe Satriani in Berkeley, and they could really play their instruments. But that doesn't mean they knew what they were doing, or why they were doing it.\n\nI started playing in a punk band with my brother Pat. He was a 14-year-old kid with a really high voice. We gave him a mohawk. He sang or yelled, and I was playing drums. My mom used to let us throw afternoon shows in my garage across the street from high school. Basic Radio played two shows, and that's when I really met Tim and Matt. Tim liked the way I played, so when that band broke up I was the first person they asked.\n\nThey'd been out of high school for a couple years. I knew that Matt could probably buy alcohol by now. So when they asked me to play I was really excited. Just from meeting Tim, there was something about the guy. If I joined his band I was gonna have fun, and my world was gonna open up.\n\nTim was just a character. He has a very slow personality at first, where he just speaks really slow, kinda slang, like he's trying to be ghetto. But then you realize that he's always like that. It's just his personality. He looked like a punk rocker. Because of what I thought at the time a punk rocker was. He always liked to have droopy pants, belts and things falling off of him.\n\nMatt always talked like he was in his 30s, like he'd experienced life way more than everybody else. He had a way of talking like he was a stand-up comedian. Telling you how life is hard and how he's experienced a lot. He was maybe 21 at the time. But he had confidence about him, and that I was really drawn to. I was an alright drummer, but he taught me a couple tricks on how to play with a bass player. And that's what I needed.\n\nI met Jesse a couple weeks later. He was a really good guy, but a little more withdrawn. I didn't really know what to think of him. Honest and sometimes hard to deal with, but very creative. We all got together, and I knew that was gonna be a creative band. At the time I was extremely shy. I really felt that driving force of Tim and Jesse, and wanted to see where that was gonna go.\n\n**Matt Freeman:** We played our first show in Dave's garage.\n\n**Tim Armstrong:** Then the next one was with MDC at Gilman Street. It took us two months to get a set together.\n\n**Dave Mello:** We all liked catchy songs. We all liked the Clash. We were really young, and all four of us liked to go crazy onstage. I was really shy at first, but the energy that they had\u2014especially Tim, who loves to run around with his guitar onstage and still stay on time. I really dug that. I would do the same thing.\n\n**Jeff Ott:** Jesse, cute guy, Tim, cute guy. That was a lot of the immediacy of success. I don't want to sound derogatory about either Rancid or about Jesse's bands. But for me personally, the thing about that band was Tim and Matt writing the music, and Jesse writing the lyrics. Each half was perfect in its own right.\n\n**Dave Mello:** It was a lot about playing weekend parties. At such and such house, Eggplant's house, my garage. It was all these people from Gilman becoming friends and saying, why don't we just have shows every weekend? If it's not a show here, it could be a barbeque or picnic here or a party. We played with Crimpshrine all the time.\n\n**Jesse Michaels:** A lot of young kids were doing very spontaneous obscure little things in backyards and basements. So it was a perfect time to have a real sneaky little underground thing going.\n\n**Gavin MacArthur:** My band in high school opened for Op Ivy at the Albany Rec Center, across the street from both the Mellos' and my parents' house. As soon as Op Ivy showed up, the place just filled up with all these punks. The place went totally crazy. It was super energetic. I'd listened to a few ska things, and of course I listened to punk. That was the first band I heard that combined the two.\n\n**Jesse Michaels:** We played all over the place. Berkeley, Oakland, El Cerrito, Alameda, San Jose, Santa Rosa, Sebastopol, Pinole, Benicia. If you took a map and drew a 50-mile perimeter around Berkeley, we played within that.\n\n**Matt Freeman:** We'd go wherever. \"Oh, you're having a party up in Lake County near Healdsburg?\" We'd go up there.\n\n**Tim Armstrong:** We also played the Albany Laundromat. Wherever we could.\n\n**Matt Freeman:** Gilman Street would have all these bands, and Operation Ivy would be at the bottom, always. They'd say, \"You gotta play last,\" because they didn't want people to leave.\n\n**Jesse Michaels:** I think we wore the place out a little bit. We'd play there like twice a month. Less than a year into it, we recorded some songs for the _Turn It Around_ compilation. I wondered if we were ready. But Matt and Tim are just a machine, they never stop. And of course they were right, you have to strike while the iron's hot. So we recorded two songs. And did a 7-inch I think within six months after that. We were playing constantly.\n\n**Tim Armstrong:** Lookout! wasn't even a label yet. Then '88, _Hectic_ came out. I was skeptical we were gonna sell out the first pressing. But Larry always knew that the shit was important. He would tell us that, and we would be like, \"Oh, dude, shut up.\"\n\n**Murray Bowles:** It was a really phenomenal scene. When Op Ivy first started playing there would be 20 or 30 people, and all of a sudden the shows would be packed. Nobody had heard of speed ska before.\n\n**Billie Joe Armstrong:** People from Danville started flocking over to come see 'em play. I loved 'em, I thought they were the best.\n\n**Jason Lockwood:** They were playing at Gilman, I got there and saw my friends up there making great music. In between sets I climbed over all the kids and got up in Tim's face and was like, \"This is fantastic! I thought you guys were gonna suck so bad, and you're great!\"\n\n**Larry Livermore:** They were very good musicians. Matt's one of the most amazing bass players in the world. Tim's a very interesting guy, and a very intelligent guy. But he's also got a persona that some people find it hard to get through. I don't have any great difficulty talking with him. But some people do. I think he puts it up as a little bit of a barrier. 'Cause he's very much a self-made man. I don't know what Jesse's like now. But in his heyday, he had the room in the palm of his hand.\n\n**Anna Brown:** The first time you saw them it was just really clear that they were totally special. There were whole groups of people dancing to really good lyrics about things. Deep but catchy. They weren't ever sappy.\n\n**Sham Saenz:** Gilman had this battle of the bands one time and it was Green Day, El Vez, Crimpshrine, Operation Ivy. Operation Ivy got up and did a cover of Journey's \"When the Lights Go Down in the City\" and it was the most amazing thing on earth. It was funny and clever and executed super well and I was like, \"Okay, these Gilman guys are doing their own fuckin' thing.\"\n\n**Jesse Michaels:** It's hard to talk about because we were very lucky. I don't want to sound like I'm blowing our horn or anything. But we generally won crowds over because we really brought a lot of energy. Every night, no matter how small the crowd was. People dug that. Also a lot of people had never heard the ska thing. We hit 'em with a gimmick right away and they liked that, too.\n\n**Tim Armstrong:** After we made our first CD, Christmastime 1988, in our house on Pierce Street, my whole family was there. My uncle from Florida, who's just this bombastic character, in front of everybody, he was like, \"Tim!\" Room got quiet. \"So Tim, when you gonna find your niche in life? Everyone in here has a niche. What's your niche? You need a niche.\" And my poor mom, \"Oh, no, here he goes.\" I said, \"If anybody in this family has a fuckin' niche\"\u2014the room got dead quiet, I was lookin' at everybody\u2014\"it's fuckin' me. I'm in Operation Ivy, I made a record. All I want to do is make a record and be in a band and be a part of somethin', and I did it! So if anybody in this family has a fuckin' niche, it's me!\"\n\nThat's almost 20 years ago. I was in Operation Ivy at the right time. It's weird, I can't even intellectualize\u2014maybe it doesn't come across\u2014but I always felt like I made it back then. I tried to tell my uncle that. He don't really want to talk to me too much about anything, really.\n\nBombshell: Lint and Jesse Michaels of Op Ivy\n\n**Jesse Michaels:** Before I was in a band, I was into stuff like the Bad Brains, Crucifix, Jerry's Kids, and Minor Threat and MDC and BGK and Marginal Man. Generally with hardcore, it was all political back then. It was even political when it probably shouldn't have been. Some people had no idea what they were talking about. But I was in that consciousness and did what I knew. The world was an extremely fucked-up place, and you should talk about it with music. That was a natural thing to communicate, especially punk music because it takes basically a rebel standpoint. If you're gonna be rebellious, what are you thinking? Do you have ideas, or is it just a fashion?\n\n**Sham Saenz:** We all knew something big was going to happen when Operation Ivy played the anti-Apartheid riots. There was a huge sit-in at Sproul Plaza up on Telegraph. Everybody was up there protesting, and they had this day show. I sat on this balcony not really giving too much of a shit about Operation Ivy. I had dreadlocks but I was more peace-punky. I looked down and they started to play, and the crowd accumulated, and then it kept accumulating. And then it seemed like as far as you could look there was people watching them and knew the words. I was just going, wow, people like these guys.\n\n**Noah Landis:** Back then, things like the Specials were what everyone played at high school parties. They tapped into a little bit of that energy and incorporated it with the new punk rock East Bay thing that was happening.\n\n**Jesse Michaels:** Part of what we were trying to do was the positive energy thing. To bring a hardcore intensity with less negativity. It was still dark but it wasn't like Condemned to Death or Flipper. It had a couple more colors in the spectrum.\n\n**Anna Brown:** Jesse was a great front person. He just would bounce off the walls the whole time.\n\n**Billie Joe Armstrong:** I really looked up to him. He was like a hero because he wrote amazing lyrics and was a great artist and had this great punk sensibility. But he was also an incredibly kind person, just really sweet. He took real interest in what people had to say. In what I had to say.\n\n**Martin Brohm:** Everybody knew the words. Seven people wrapped around the mic with Jesse. Everybody was singing except for us. We were telling them to fuck off. We had a bit of banter going back and forth, with Isocracy and Op Ivy. Some people liked it and some people didn't. We would have fake fights where we'd jump onstage and fight with 'em. It went over good with Jesse. Matt was good with it. Tim didn't like it at all. Lenny didn't like it at all. But in between songs we would be screamin' and yellin': \"You guys fuckin' suck! Fuck you!\"\n\n**Jason Beebout:** \"You're breakin' my heart! You should kick your own ass for suckin' so bad!\"\n\n**Martin Brohm:** That was great fun. A lot of people would come to those shows who wouldn't go to other Gilman shows. So you'd be out in the crowd going, \"You guys are fuckin' shit!\" And these 14-year-old girls would be going, \"Dude, what the fuck is your problem?\"\n\n**Tim Armstrong:** That was a part of the whole Isocracy humor. Heckling, garbage, I never took it personal. People probably did, though. All that shit was cool. That was just part of the territory.\n\n**Matt Freeman:** They were fucking kooks. So when we got back from tour we did that Isocracy song \"Rodeo,\" as ska. That was funny, they were watching and\u2014\"Ah hah!\"\n\n**Jeff Ott:** People would go out after shows and jump in people's bushes all over the place, in the middle of the night. With the object being to destroy them. Literally. We'd get kids coming from the suburbs to see Op Ivy, to go out and jump in hedges.\n\n**Jesse Michaels:** It was sort of an extension of skating.\n\n**Jason Beebout:** It was a cop's nightmare, just a bunch of fuckin' 16-year-old douchebags running around the streets, with nothin' to do at four in the morning. You'd go up into the Berkeley Hills where all the professors lived. They had these really expensive houses and nice cars. You'd find a really beautifully manicured hedge. Some were really good, some were really forgiving, others were soft and downy, and some were horrible.\n\n**Martin Brohm:** Your best bush was a finely manicured juniper. Because the juniper had good spring-back. You'd get in there and it'd pop you out. A lot of times, if they're too soft, you'd jump in and go straight through it, and you'd land on whatever's on the other side. Or you'd get stuck with one of the strong branches underneath. You'd get a juniper in the rib cage.\n\n**Jeff Ott:** Aaron Cometbus opened his head up.\n\n**Spike Slawson:** I landed on a stump that was cut at an angle.\n\n**Lenny Filth:** I landed on a sprinkler head in front of the Ford place on San Pablo. I thought I broke my back.\n\n**Jesse Michaels:** The person who invented it, to me, was Noah from Christ on Parade. And he probably doesn't get credit for it. But I remember hanging out with some people and he was doing it. We made a song about it. Maybe not the most well-advised song, but, yeah.\n\n_What happened to your bush_  \n_It's not the same_  \n_Something in your hedge_  \n_Made a violent change_  \n_We come we see_  \n_We dive and destroy_  \n_And annihilating shrubs is what we enjoy_  \n_Hedgecore hedgedive hedgecore_  \n_We're doin' hedges to stay alive_  \n_It's anarchy night every night of the year_  \n_With chaotic mayhem_  \n_We keep your bush in fear_  \n_Terrorist assassins of creative gardening_  \n_Fucking up your hedge here's what we sing_\n\n\u2014\"Hedgecore,\" Operation Ivy\n\n**Jesse Michaels:** Upon reflection I regret in any way popularizing fucking with people's yards. Some things aren't meant to go beyond the handful of idiots who do them. This is one of them.\n\n**Noah Landis:** Watching Op Ivy get more and more popular was pretty exciting. Not only were they really great, they were really great personalities. To watch Dave play the drums was like, \"Heck, yeah!\" You couldn't even take your eyes off him.\n\n**Martin Brohm:** They called him Animal. 'Cause that's how he played drums, like Animal from the Muppets. He had this big goofy hair, this little scrawny kid, he was everywhere. He was so fun to watch. It went from top to bottom in that band.\n\n**Fat Mike:** The first time I heard them I was on tour and someone had their 7-inch. It just blew my mind how great it was. I got back here and started hanging out with Lint a little bit, and we starting doing some shows together.\n\n**Frank Portman:** People just really, really loved them. They really had some star quality. They were a great band in the ways that great rock 'n' roll bands are great. They evoked a spirit. I would maybe prefer the Fall to the Clash. I was touched more deeply inside by Crimpshrine than I was by Operation Ivy. But the world is big enough for every version of show business.\n\n**Anna Brown:** Their first and only tour was in Matt's car. They built a crate on the roof, put their amps in it, and put all the rest of their shit in the trunk. All the way across the country in a four-door passenger car.\n\n**Matt Freeman:** A '69 Chrysler Newport, green with a 383. It's actually one of the longest production cars ever made. I bought it for 900 bucks from my fuckin' neighbor Mrs. Cogden, who was blind in her right eye so the whole right side was all bashed up. You'd look at the driver's side, \"Oh, what a nice car.\" You'd look at the other side and there was like dents, the mirror's hanging off.\n\n**Tim Armstrong:** We were the first Gilman Street band to tour. Crimpshrine, Fang had toured, obviously. But they weren't Gilman acts.\n\n**Matt Freeman:** Us four and David Hayes. Kamala Parks booked it. That was a shoestring budget. We would go to supermarkets and get cheese sandwiches and eat on the hood of the car.\n\n**Jesse Michaels:** Driving around in a car with five people for a month and a half is absurd. Absolutely absurd.\n\n**Dave Mello:** If anyone had heard us at that time, especially on the East Coast and Midwest, it was because of the _Turn It Around_ comp and _Maximum RocknRoll_. In Delaware we played a house party and their parents made the kids sit down. So they had pits where they were just crawling around on their butts. We played a show in Lexington, Kentucky, for four people.\n\n**Jesse Michaels:** There was all these little places. Some of them were actually clubs, some were basements, community centers, punk houses. Invariably every place had terrible sound. We played this show where kids in this punk house put on the movie _The Decline of Western Civilization_ and had a pit going in the house, while they watched the movie.\n\n**Tim Armstrong:** Kenosha, Wisconsin. David Hayes slept in the car that night, and so did Dave Mello. I slept upstairs by this fuckin' door. I felt like it was raining. I woke up, \"Where am I? I'm in Kenosha, a punk house, it's raining?\" It's not raining. The door was open and this burly-assed skinhead was pissing out to the backyard, but it was coming in and I was getting sprayed by piss.\n\n**Martin Sorrondeguy:** I remember when Op Ivy came to Chicago. That was an amazing show. They grabbed the mic and started talking about, \"This is about you, this is about everybody, it's about punks, skins, this, that.\" There was this real sense of inclusivity. This new wave of the early Lookout! stuff was a whole new scene developing. It was a reclamation of what a lot of the old people were slowly and surely killing. These new kids were coming in and goin', \"Forget all that, this is what it's about right now.\" We all took to it. Everybody sensed it.\n\n**Larry Livermore:** They were the first Lookout! band to go out to the rest of the U.S.A. They called back from their first show and said, \"The kids already know all the words to all the songs.\" Which was weird, because the record had been out maybe a few weeks at most.\n\n**Jesse Michaels:** Larry's a great guy but you have to take what he says with a grain of salt. Did the audience know all our words? No, a couple people in the audience sometimes knew a chorus. That being said, it still was pretty impressive, because how did they find this shit out?\n\n**Dave Mello:** After the tour we were getting more popular. Touring bands were coming in and they wanted to play with us. We were trying to record an album for Lookout!. We weren't really thinking of anything else. It felt like this could be something. We didn't know what it could be. Something scary, even.\n\n**Noah Landis:** They couldn't play where they were supposed to play anymore, because too many people would show up.\n\n**Dave Mello:** On one hand you have Matt and Tim who are really excited about this, and Lookout! says we can go to Europe. It was a little bit too much for Jesse. He didn't want it to go that fast. He didn't want to have a whole bunch of people liking him, being his fans, and him having to live up to something. He was the front man. It was his lyrics, his message. He was still very young, not really sure of what he wanted to do with the band. We just got off a tour. He didn't have that great of a time.\n\nSo he didn't want to go on another tour. Both Matt and Tim were gung ho for Europe. That was a big conflict. When he told us over the phone, it was a big argument for a couple days. And then Jesse decided that it wasn't gonna happen.\n\n**Tim Armstrong:** It wasn't brutal. It wasn't like, \"Fuck you, dick!\" It was a premeditated breakup.\n\n**Dave Mello:** When it all came down to it, all four of us had to admit that we had a hell of a time. It's easier to celebrate those two years. It wasn't just our band, it was all our friends and all those other bands, all those people who were at the picnics.\n\n**Frank Portman:** That last Op Ivy show at Gilman was a spectacle. And they were all very excited and emotional. It was like a real show. Like few of those shows were, that I remember.\n\n**Dallas Denery:** I had never seen the place so crowded. I was looking around and I was thinking, \"Who are all these people?\" I didn't even recognize any of them. Because they had gotten outside of Gilman and the Gilman devotees.\n\n**Dave Mello:** Green Day played, and also Crimpshrine\u2014I think that was their last show. It was kinda poetic. Because even though they started a year before, we both ended on that night. They just let everybody in. There was at least 600 people. My mom was packed up against the front of the stage. It was crazy. We had a great time. Played every song.\n\n**Anna Brown:** People were literally hanging on to the walls trying to catch a glimpse.\n\n**Martin Sprouse:** They broke up a week after their record came out on Lookout! People that just get into punk now can still put on that record, and that record has power. It's timeless. It still fucking kicks ass on a lot of punk.\n\n**Matt Wobensmith:** By breaking up as they put out this masterpiece record, the signature record, it only made people want them more. Andy Asp: What a great punk outfit it was. They only played 100 shows or something like that. They didn't do a reunion. One single album with a couple EPs. That's more punk than Sex Pistols or Fugazi.\n\n**Anna Brown:** We all felt a sense of real loss because they were just getting really big. Some people were like, \"Thank god, they'll be ours forever.\" And other people were like, \"It was a shame.\"\n\n**Dave Mello:** I was sad. I wanted it to go on for a little longer. I was still only 20 years old. At the same time, I felt like I had a new awakening. I wanted to go in a different direction. The same adrenaline kicks I had when Operation Ivy was starting, I also had that when it was ending. I had never been in a band that was that popular. It definitely opened avenues for me.\n\n**Jesse Michaels:** I was a lot different from all of my friends, even in the punk scene. I worried more, I thought too much. So a lot of this shit for me was pretty dark. For them it was fun, for me it was escapism because I was just so fucking unhappy. That's what went into the intensity of the lyrics. As much as making political statements about society, I was kind of lashing out against my own inner problems and fucked-up nature. It was very internal. I don't even know what I was so bummed out about, probably just weird family shit, who knows.\n\n**James Washburn:** It's just like the Rancid song, you know, \"Too much attention unavoidably destroyed us.\" That's what happened.\n\n**Anna Brown:** Jesse went through this whole thing for awhile. He dropped out and was soul-searching, going on Buddhist retreats, and he moved away.\n\n**Jesse Michaels:** I went to Nicaragua. I just wanted to do something really different. I did have a social consciousness, and wanted to see if I could be of service. It turns out I was completely lazy when I was there. Spent most of the time drinking. It didn't really work out. But I had good intentions.\n\nI just had a rough time in my 20s. I'm a lot happier now. But then again, you know, we're talking about punk rock. I don't want to turn into Sigmund Freud about it, but a lot of those kids were just fuckin' miserable beat-up kids. Some came from really dysfunctional families and were trying to find a family in punk, often doing it in really dysfunctional ways. We don't talk about that. We talk about how great it was to see Marginal Man.\n\n**Eric Ozenne:** I ended up joining the Marines. I was in Okinawa, Japan. It was just really lame. I needed to get back to who I was, mentally. This kid from Benicia, California, had an Operation Ivy tape on him. I was like, \"You've got to be kidding me! You have an Operation Ivy tape? Let me borrow it.\" I played this thing over and over again for like a week. And the lyrics and everything about it just snapped me back into a place where I felt comfortable as myself.\n\nI tried to get out of the Marines, which didn't work. But during that process, I ended up running into all of the degenerate military guys\u2014a lot of them were punks. Some from Chicago, some from Southern California, some from Wyoming. We started hanging out almost every night in a vacant barracks filled with these broken fans, so we called it the Fan Club. We'd sit in there and listen to the Operation Ivy stuff, Gorilla Biscuits, the new Rancid record. I cooked for everybody on a hot plate, so we'd sit around and eat vegan food, and listen to punk and hardcore and mosh around the barracks, throwing fans at each other, just go crazy. We did this for months. It was really cool. I wouldn't go back into the Marines to do it again, though.\n\n**Dallas Denery:** I'm now a 42-year-old college professor in Maine, and I can walk down a street in Portland and see some kid on a skateboard with an Op Ivy shirt. There's this temptation: \"You know, I saw those guys 30 times.\" You don't want to be the old guy trying to relate to the kids, 'cause that's pathetic. But it's kind of remarkable, this stuff is 20 years old.\n\n**Jesse Michaels:** I don't know why or exactly what it did. But I feel grateful that it did something.\n\n**Tim Armstrong:** My decline with alcohol and drugs started to get really bad. It turned into a sad spiral, but it had to go there. At the end of Operation Ivy, I was already fuckin' up shows.\n\n**Fat Mike:** I'd bring people from the city, \"Man you've gotta see this band Op Ivy, they're so amazing.\" And they were so fucking bad. Lint broke a string once at Ruthie's and it took him, it had to be ten minutes. 'Cause he was wasted.\n\n**Tim Armstrong:** Everyone seemed to know. I'd never think about anything but right now. We played Covered Wagon with Mr. T and I was so fucked up, I couldn't play my guitar.\n\n**Mike LaVella:** Their famous worst show ever. Where Lint was too drunk to play.\n\n**Tim Armstrong:** I felt bad about that shit. It was that show that Larry took me aside and he said, \"Look, I come from Ann Arbor, man. I was at Woodstock and I've seen a lot of friends of mine go down from drugs and alcohol and never come back. Don't go down that road.\" It was a seed that was planted.\n\n**Matt Freeman:** We'd been friends for years, and we'd talk every day. But he'd disappear for a couple days, and I knew by the end of day two, like, okay, he's drinkin' again. He wasn't hard to find. He was up on Telegraph doing some fucked-up thing. There were these places in Richmond that had a detox, and I took him there, like, four times. He'd go and dry out for awhile, and then he'd slip.\n\n**Tim Armstrong:** It got bad. Olde English. And then I liked Cisco a little later. My brother Jeff found me on Telegraph, took me to the hospital, my blood-alcohol level was .39, almost .40. Legally drunk is .08 or something. So I was like, dead. They asked my brother, \"Is Tim trying to kill himself?\"\n\nI was hospitalized three times. By '91 I had nowhere to live. I had no job, I was just fucking nothing. My mom wouldn't let me sleep in the basement anymore. I'd go into the Salvation Army program in downtown Oakland. You got a bed. I did that for a couple weeks. I was doin' drugs, too. But that wasn't my main thing. I loved to drink so much, I'd just be drunk nonstop.\n\n**Matt Freeman:** I never saw anyone drink as hard as him. No fuckin' joke. It was a learning experience for me, too. He'd say, \"Oh, I need some money for food,\" and I'd say, \"Okay, here's money,\" and he'd go buy beer. I'm like, okay, can't pull that trick on me again. So I'd say, \"Well, let's go eat, I'll buy you groceries.\" After awhile we couldn't possibly play music together, because of this. He was too unreliable.\n\n**Christopher Appelgren:** There had been Downfall, right after Operation Ivy had broken up, which was an attempt to continue.\n\n**Ben Sizemore:** Then Lint was in this band called Generator that was a little more metal. He played with Dance Hall Crashers and he quit them.\n\n**Christopher Appelgren:** I saw Generator at Gilman. There was lots of excitement and anticipation for their first few shows. They had rewritten this Downfall song that went, \"Are you gonna be there when the storm comes?\" And Generator had rewritten the lyrics: \"Are you gonna be there for the inner-city holocaust?\" I remember being really bummed out. Inner-city holocaust? I hope I'm not there for that.\n\n**Tim Armstrong:** Downfall never really released anything officially. Generator never recorded a thing. Those two projects fell apart. I couldn't keep these two bands together.\n\n**Matt Freeman:** It was a weird scene. You talk about how great Operation Ivy was, and we were cleaning Gilman bathrooms three years later, just to fuckin' practice.\n\n**Tim Armstrong:** Cleaning the sick-ass fuckin' toilets. But we got to practice for free. That was the way it should be, man.\n**42**\n\n**White Picket Fence**\n\n**Ben Sizemore:** There was this whole culture of punk houses in West Oakland.\n\n**Jesse Luscious:** Dementia House, 1640 House, which had a ton of parties. Maxi Pad, Little Arkansas, Fifth Street House.\n\n**Anna Brown:** The Madonna Inn, the Ashtray, the Pill Hill House, Fairview Upper and Lower. Punks would move in, and eventually the landlords would have had enough and evict the punks.\n\n**A. C. Thompson:** There was a push to do shows in houses because clubs, even all-ages clubs, were too formal. Because keeping people a foot away from the band was just too much.\n\n**Anna Brown:** I probably spent every weekend of high school at the Ashtray, smoking cigarettes and listening to records. The house was a complete disaster. There was a giant hole that went from the kitchen all the way down to the basement, like the wood floor had rotted away. All the windows were smashed out.\n\n**Jesse Michaels:** I lived at the Ashtray with Jake from Filth and Lenny from Isocracy.\n\n**Martin Sprouse:** They were total smart-asses. They created this whole fake dirt punk thing. I think the Filth logo had two crossed hypodermic needles or something.\n\n**Jesse Michaels:** We would exaggerate it. We would cut ourselves in a semi-joking way. But at the same time we were really, really into it. So it was ironic and yet not ironic at all. It was ridiculous to spray-paint \"Big fat lines of meth\" on your wall. But we were into it anyway.\n\n**Anna Brown:** There was graffiti on all the walls. This guy Joe Pestilence lived there for awhile. When they wanted him to leave they didn't ask him. They just started writing on the walls, \"Joe Be Gone.\" Eventually he left.\n\n**Jason Beebout:** The house was so close to another house that there was a window that opened up to a brick wall. These rats took it over and filled it full of hay and made a nest. We played a party at the Ashtray. It turned into a fight, and James Washburn grabbed a skinhead and threw his head through the fuckin' window. The rats went flying everywhere. That was exciting.\n\n**Lenny Filth:** We had our own little rat zoo. You gotta remember, at the time I was a heavy drinker, too. I think I was blacked out during the whole fuckin' Reagan administration.\n\n**Kate Knox:** The Maxi Pad was this two-story, three-bedroom house. It was me, and Adrienne and Todd, who started Spitboy. An all-women punk house. By then I was over my thing about only being friends with guys.\n\n**Wendy-O Matik:** Maxi Pad was a big part of my life. I knew all the women in that house and all the women who came and went out of that house. I met people from all over the world there.\n\n**Kate Knox:** We tried to make it an open, European-style squat punk rock home. Anybody was welcome. There was one bathroom\u2014the \"myn's room\"\u2014and there were usually seven or eight people living there. We had bands staying in the living room. We had people tattooing out of the closet. At one point, I had 13 Germans staying in the attic.\n\nThey showed up three days after an old man, who was getting head from a prostitute, gunned his car through our living room. The old man picked the prostitute up at McDonald's at 11 in the morning and, for some reason, decided that our driveway was a good place to get head.\n\n**Lenny Filth:** It wasn't a bad place to take a hooker, really. Down this little alley. Maxi Pad was all the way in the back. None of them would have cared. The man just needed to learn how to drive correctly.\n\n**Kate Knox:** He had one of those old Lincoln Continentals with the bench seats from the '70s\u2014pure steel. Engine's running and she was all, \"Pay me first,\" so he pulled out his wallet, she grabbed it, and took off. So he reached across the door, stepped on the gas by accident, flew down the driveway and we got a fuckin' Lincoln Continental in our living room.\n\n**Lenny Filth:** It was a good thing nobody was sitting on the couch.\n\n**Kate Knox:** When we finally got the guy's daughter on the phone, she said, \"Again?!\" It was the second time he'd gotten busted with a prostitute. We ended up getting an insurance settlement from it and we paid our rent for months.\n\n**Richard the Roadie:** Kate is an absolute international production. She started the B.O.B. Fest, this whole German and European thing, with punks coming over here as tourists.\n\n**Kate Knox:** It became an international punk rock festival. B.O.B. is based in three punk rock sister cities: Bremen, Germany; Bath, England; and Oakland. In the late '80s, I went over to Europe with Fang and we ended up in Bremen. Immediately, there was this amazing affinity. Like Oakland, Bremen's a smaller city. Something just clicked. So this traveling circuit started. People would come from Germany and go through customs and say, \"We're going to Oakland.\" And the officials would be like, \"Why are you going there?\" In the '80s, Oakland was so not the tourist destination.\n\n**Adrienne Droogas:** Econochrist had this house on Arlington called Little Arkansas. That was the big party house that everyone would go to and hang out after the shows, party 'til six in the morning.\n\n**Bucky Sinister:** Oh god, it was just a little piece of old Arkansas to me. The first time I met the Econochrist guys, I was trekking through this party and I heard those accents. I just about started to cry 'cause I still had a bad drawl back then, and I didn't feel like I fit in. I just really loved being around those guys.\n\n**Jason White:** Little Arkansas made it easier for me to come out here. Because as soon as I met someone and they asked, \"Oh, where you from?\" I'd say Arkansas. And it would just be, \"Oh, another one.\"\n\n**Lenny Filth:** We all lived within a five-block radius of each other. So you'd see everybody just about every day.\n\n**Anna Brown:** After the Ashtray shut down, everybody moved over to Little Arkansas. They had epic drunken throw-downs all the time.\n\n**Ben Sizemore:** There was a party every night. I was one of the few people that was straightedge. Basically, you could do any drug you wanted, except heroin was frowned upon. But you could snort pounds of speed and drink as much as you want.\n\nWhen I moved out of Little Arkansas, I moved in with Lint. He lived in this boardinghouse in South Berkeley, at Harmon and Adeline. It was him and another younger dude, and an Arab kid that worked in the store, and a couple of old men.\n\n**Tim Armstrong:** A lot of people went in and out of that place. The Adeline House was like the Middle East, 'cause downstairs the owners were Arabs, and Stanley was this old Jewish cat, 70 or some shit. He hated the owners, and the owners hated him. They would talk shit about each other, just racial slurs. They were hard on each other.\n\n**Zarah Manos:** I called it the Rock Star House because that was where the Rancid guys lived. Ben Sizemore lived there, then some of the Dead and Gone guys moved in. I got to live there for a month.\n\n**Ben Sizemore:** It was fucking dirt cheap. Slowly we took it all over, except for Stanley, the old man down at the end of the hall. Poor guy.\n\n**A. C. Thompson:** Everyone tightened the lids on all his food so he'd have to exert effort and hopefully do himself in. They'd put their penis in his mayo. People took his door off the hinges and peed in his room. Once, some people came looking for him and they said, \"We know he lives here because it says 'Fuck Stan' on your front door.\" He was so mistreated there.\n\n**Fraggle:** I started Dementia House. It was a little rickety house with a white picket fence and trees in the front. It had a basement that wasn't attached to the foundation. So it was like sitting on the ground. You could walk up the stairs and the house would shake.\n\n**Richard the Roadie:** Fraggle always ran a household. He was a teeny bit older. I wouldn't say more responsible. But he was able to deal with renting a big house, having this revolving cast of characters.\n\n**Fraggle:** The first party was December of '89. We put out flyers. The turnout was insane! The bands played in my backyard\u2014Econochrist, Blatz, maybe Downfall, maybe Filth. I remember looking out our front door and the entire street was nothing but people. And the cops were just standing out there.\n\n**Jesse Luscious:** Then Fraggle ran a house called Pill Hill Zoo Haus, which was on Pill Hill. It's literally a hill covered with hospitals and old-age homes and dentist offices. And there was this huge three-story house built into the hill. They had shows inside, they had shows outside, they had barbecues.\n\n**Fraggle:** Right across the street was the convalescent old-age home. To the right was the Berkeley Clinic. And down the end of the street was the hospice where you go to die.\n\n**Hef:** Fraggle would buy a keg of beer and charge you a few dollars for as much beer as you could drink. On Sunday afternoons.\n\n**Fraggle:** As long as you had the cup, you could come back for more.\n\nThe great thing about punk shows is, people go dance, get drunk and fall down. The cup gets crushed. But we never made a profit. We always just bought more beer.\n\n**Richard the Roadie:** It was wall-to-wall apeshit. Sometimes you'd go to those parties in Oakland and it was kinda creepy or weird. But Fraggle, you'd go to his house and it'd be fun.\n\n**Fraggle:** One of the last shows we had, the cops came by at noon. I think it was Screw 32, AFI, Dead and Gone. We never had problems with cops before, so we didn't think anything of it. They were like, \"How come you didn't invite us? Next time, you have to invite us,\" and then they left.\n\nThen somebody got in a fight in my backyard. There was this guy full-throttle kicking this other guy while he was on the ground. And the entire party piled into the backyard and kicked the guy out. A couple hours passed, everybody was having a good time, then someone came in and said Nando got arrested. The cops said, \"This party's over! Anyone on the street is gonna get arrested.\" I was trying to get everybody in our house. A cop tried to come in, so we locked the door. Then he called for backup.\n\nSoon, there were 19 squad cars outside\u2014it was like a 1960s L.A. riot scene. Orlando was upstairs trying to call the news media. Marcus was up there shooting cops out the window with a _Star Trek_ phaser. I walked outside and said, \"Okay, the party's over.\" And he said, \"Okay, good, you're under arrest.\"\n\nI don't have my finger on the pulse anymore, because all the shows I work now are 21-and-over so all I see is the old fogies. But I think punk is very cyclic. Things will die down, then there's a whole new batch of kids to pick it up again.\n\n**Janelle Hessig:** Fraggle looks almost exactly the same today. I'm sure his spine is just fucked up because he wore 30 gold chains around his neck. Every novelty punk accoutrement\u2014tons of skull rings on all his fingers, multi-colored bi-hawk, little ax earrings.\n\nFraggle: Metal should be worn, not heard.\n**43**\n\n**Up the Punks!**\n\n**Ben Sizemore:** There were riots. There were earthquakes. The East Bay hills were on fire. There were blackouts. The first Gulf War and the Rodney King trial. There were huge fucking protests in San Francisco with people burning cop cars down by the Transbay Terminal. It was a crazy time. Being a young, idealistic punker from Arkansas with real leftist political views, I thought it was great. The revolution was just around the corner, man! And I was gonna be there!\n\n**Kareim McKnight:** I just assumed the whole punk movement was political. At every event, there were punks. The music that everyone was playing was protest music.\n\n**Jesse Luscious:** I came out for the 1989 Anarchist Gathering in San Francisco. I definitely didn't expect to stay out here.\n\n**Oran Canfield:** They swarmed in from all over America.\n\n**Bucky Sinister:** I don't know how much of this was going on in other parts of the country, but I'd never seen it before. We all knew the anarchy sign, but we didn't really know what it was. There were people out here who knew the history of anarchism.\n\n**Ben Sizemore:** We went to a picnic in Dolores Park and there were 2,000 punks in the park. It was so exciting.\n\n**Antonio L\u00f3pez:** The anarchist conference was held in the Mission, at some elementary school that was leased out over the summer. My most memorable workshop was an anti-TV one. One of the students wanted to videotape it. And the guy teaching the workshop\u2014long blond hair, very muscular, with Levi's shorts cut so high his balls are practically hanging out\u2014was furious. The student who was taping said, \"There's a bunch of people in Canada who can't be here and they want to see this.\" And the guy said, \"If you go to my house you can play guitar or make love or read a book, but you'll never watch TV. I will never let anyone do anything that has anything to do with TV. And if you don't like it, get the hell out of my workshop! And if anyone else doesn't like it, get out!\" I actually joined about half the people and left.\n\nThis conference was like an alternative university. People took it very seriously, and in retrospect, I appreciate that a lot. There were the pacifists, the anarchists, the thinkers, the artists, and the poets. And then there were the direct action people.\n\n**Tom Jennings:** I was one of the organizers in San Francisco, and published the gathering's handbook. It was the last in a series that had started in 1986, with the Haymarket Gathering.\n\n**Patrick Hughes:** These agitator types showed up, demanding street action. And when we demurred, they started calling us wimps and shit.\n\n**Jennifer Rose Emick:** They called it the Day of Action.\n\n**Liz Highleyman:** There was a great deal of debate about whether such days should be a part of conventions. In fact, this Day of Action was scheduled after the gathering proper. Because the gathering organizers didn't want to be associated with the riot.\n\n**Tom Jennings:** I took no part in the Day of Action stuff. It seemed at the time to be mostly people looking for excuses to throw rocks, political coloring mixed with a lot of naivete.\n\n**Patrick Hughes:** We didn't want the cops to come bust up what turned out to be over 3,000 attendees from all around the world. Who were fed two meals a day and housed, by the way\u2014all for free.\n\n**Antonio L\u00f3pez:** They had their own secret meetings. Everyone knew basically what they were planning. But it felt kind of exclusive, like if you weren't part of that, then you weren't really an anarchist. I chose not to be involved.\n\n**Patrick Hughes:** Their Day of Rage, as it was also known, was to be held in Berkeley on the third day of the convention.\n\n**Antonio L\u00f3pez:** The plan was to occupy this burned-out hotel in Berkeley on the corner of Haste and Telegraph, and make it housing for homeless. The first wave was to occupy it and the second wave was to defend it.\n\n**Liz Highleyman:** Unfortunately, the police got word of the planned takeover. They knocked out the building's stairwells to make it impossible to access past the first floor, and completely surrounded the building.\n\n**Antonio L\u00f3pez:** It was a ludicrous plan. Everyone in the first wave got arrested. The support group had nothing to do. This is where it got comical, because there was this roaming mob in Berkeley.\n\n**Oran Canfield:** I walked alongside them from Bancroft up to Telegraph. Someone started burning a flag. They were all wearing the black bandanas. It was a motley group of people, for sure\u2014kind of a Mad Max scene, but way more extreme and violent.\n\n**Kareim McKnight:** Black Bloc is anarchist. They all wear black clothes and black bandanas to cover their faces. They link arms and form this mobile fighting force. It's a very intense spectacle. They still play a big role in demonstrations.\n\n**Jennifer Rose Emick:** It was three-quarters punk, if you counted the anarchists. It was a parade. Everybody was walking and yelling slogans, the usual kind of thing. And then we noticed people behind us were stringing ropes between stop signs, disrupting traffic. I bent over to pick up something I'd dropped and some girl's bookbag hit me in the head and it was full of bricks. They came prepared. They were the reason it went ugly.\n\n**Antonio L\u00f3pez:** I lived about five blocks from People's Park so I could see everybody from my front porch.\n\n**Oran Canfield:** When they turned down the one-way street, the panic on people's faces in the cars was fuckin' unbelievable. Those that could, backed the fuck up and got the hell out of there.\n\n**Antonio L\u00f3pez:** They were all dressed in black, chanting and yelling, but there was nothing to do. They marched right by my house. I walked out on to the street to watch. Just then, coming around the corner off of Telegraph was a Coca-Cola truck.\n\n**Oran Canfield:** That's when shit hit the fan.\n\n**Antonio L\u00f3pez:** They ran towards it like locusts on corn and surrounded it. The driver was totally horrified. I was close enough to see his face. He thought he was going to get killed.\n\n**Jennifer Rose Emick:** He looked out the window and said, \"Aww shit!\" and hopped out of the truck. Nobody said a word to him. So of course, people opened up the truck, pulled out crates of soda.\n\n**Antonio L\u00f3pez:** They tore this truck apart. They spray-painted it, they rocked it back and forth, and stripped everything they could. There was just so much anger and excitement. After it was over, it was like they had all had sex or something.\n\n**Oran Canfield:** Some people ran back up to Telegraph and were throwing Coke bottles through the windows. They were somewhat selective. They got the Gap, which had opened up recently.\n\n**Liz Highleyman:** I get off on the adrenaline rush of running wild in the streets ahead of maddened cops as much as the next person. Unfortunately quite a few homes, cars and small shops were trashed, too, which certainly doesn't help.\n\n**Oran Canfield:** The cops had a police line across Telegraph and everyone was going nuts. Then a Coke bottle came flying out of the crowd and the cops came at us. It seemed like they were focusing on the people with bandanas, but they beat the shit out of whoever was in their way. It was just insane.\n\n**Jennifer Rose Emick:** They sure beat the crap out of me. I was 17 and I got separated from the group.\n\n**Oran Canfield:** There were riots on Telegraph all the time during the rush week of frat parties, but this was pretty exciting.\n\n**Gordon Edgar:** At the same time, a whole 'nother group of people were creating a community garden, planting trees and organic plants, and building an irrigation system. It was definitely a big divide within the movement itself.\n\n**Patrick Hughes:** Nothing was ever heard of the agitators after that. Makes you think that the whole enterprise was designed to discredit what we were doing and portray the convention as a bunch of childish morons. The Coke truck incident is all that anyone ever talks about.\n**44**\n\n**Going to Pasalacqua**\n\n**Janelle Hessig:** Rodeo is a podunk town. A small town where no one expects anything of you.\n\n**Billie Joe Armstrong:** Everybody knew each other. It was like small-town Americana in a lot of ways, but there was a problem with methamphetamine. It was a refinery town. A lot of people worked at the C&H sugar factory. There were no record stores or anything. Rodeo was a cool place to grow up, but a good place to get the hell out of at the same time.\n\nEverybody went through the John Swett school district. That's where I met Mike and my friend Sean. I met Mike in the fifth grade and we were playing music together. We were all best friends. Those guys ended up at Pinole High, and kind of left me in the dust at John Swett. Everything was happening in Pinole, which is a strange thing to say, but there were a lot of bands.\n\n**James Washburn:** When I got to high school in Pinole, all the early punks were graduating. Ninth grade is when I met Mike Dirnt. I was totally talkin' shit about him, talkin' about how he fucks cows. And it got back to him. He approached me and was like, \"Dude, why you tellin' people I fuck cows?\"\n\nHe was one of the most ridiculous-looking persons I'd ever seen in my life. Beret sideways, really long hair, like almost to his ass, horrible acne, brown trench coat, moccasins laced up to his knees. He looked like an absolute fuckin' clown. He had all these bands written in Sharpie goin' down one side of his coat, like Dead Kennedys, Corrupted Morals, Isocracy. After we settled the cow-fucking thing, we immediately became friends.\n\n**Jennifer Rose Emick:** I went to high school there. Mike was a monkey. Just skinny and goofy, always real hyper. He seems so serious now, but he was just the opposite back then. We used to have this tree over our lunch table, and most of the time he was hangin' from it upside down.\n\n**James Washburn:** Billie Joe wasn't going to Pinole at that time. He came a year later. There wasn't a whole lotta shows going on. There were a couple punks with big mohawks, but they seemed totally unapproachable. They're three years older. You don't feel like you know them, because you're not _that_ fuckin' weird. Yet.\n\n**Billie Joe Armstrong:** Tenth grade is when I really started getting curious about other styles of music. I had a really cool older sister that got me into different kinds of stuff that wasn't, you know, Van Halen. Mike and Sean Hughes kept coming back home, 'cause they both lived in Rodeo still. Everybody congregated at Sean's house.\n\n**James Washburn:** I started hangin' out with Eggplant and Mike, and it became like a little family. Janelle and Heather and Billie Joe. Sean Hughes was a weirdo, and he always had food at his house, so we'd always go over when his parents weren't home and eat all the food.\n\n**Billie Joe Armstrong:** There were a lot of honestly great bands happening in such a weird small place. And they all knew their history. There was Corrupted Morals, there was Isocracy and No Dogs. One of the guys from No Dogs had hair that made him look like a chemo patient that someone had thrown up on.\n\n**James Washburn:** Todd Pond was so gnarly. He was a skater and the singer of No Dogs. He was the most full-throttle son of a bitch I'd ever known. He was completely nuts, so totally unapproachable, because he'd tear your head off and shit down your throat. Just out of his fuckin' mind. The guy that would fight to fight. It was like, who the fuck wants to go meet that dude?\n\n**Billie Joe Armstrong:** Then there was Possessed and Sacrilege, they all played at Ruthie's Inn. They were a few years older and were kind of scary.\n\n**James Washburn:** Isocracy was good. Billie was in Corrupted Morals for a short time. Corrupted Morals just kicked your ass, their early music was just great. I don't think they ever really got known outside of the East Bay.\n\n**Billie Joe Armstrong:** I got introduced to more people through Eggplant. People like Jesse Michaels, and Aaron, and Jeff Ott and Jake Sayles. There were already bands that were playing together that were from Pinole, Berkeley and Oakland.\n\nIn a lot of ways, the punk scene was already over. The Dead Kennedys were gone, Social Unrest was breaking up, the Farm was gone, there were no Avengers. We didn't really have these heroes. So maybe, even reluctantly, some of the people we hung out with and their bands\u2014like Crimpshrine, Operation Ivy, Corrupted Morals\u2014they were the people we looked up to.\n\nWe got harassed because we smoked so much pot at the time. I used to sell joints at school for two bucks apiece, so people called me \"Two Dollar Bill.\" The Berkeley people were a bit over it because of the whole hippie thing. But we were dope-smoking suburban kids. Eggplant, James Washburn, Joey Perales, who ended up playing drums in Blatz\u2014we used to go across the street to my brother's house and smoke weed, raid his fridge, and go back to class.\n\n**Janelle Hessig:** Billie Joe was really funny. He was a hesher. He smoked a lot of weed and had long hair. He'd wear flannels and a backwards baseball hat and was just kind of a burnout.\n\n**Billie Joe Armstrong:** I didn't end up meeting Janelle until I think I was a senior. I knew her friend Rachel really well. I went to the prom with her.\n\n**Janelle Hessig:** _Absolutely Zippo_ was the first zine I ever saw. A lot of inside jokes and stupid comics. Eggplant had a lot of contributors. Billie Joe got suspended from school one time because he was selling _Zippo_ on the campus.\n\n**Billie Joe Armstrong:** Robert would come to school with a bunch of copies of his zine and he'd say, \"Billie, take ten and go around. They're a quarter apiece.\" It was filled with profanity, and the trendier kids in 11th and 12th grade, of course, thought it was the coolest thing ever. My teacher came up and grabbed one, \"What are you selling there?\" and I said, \"It's my friend's magazine. It's a quarter. Do you want one?\" The cover said, \"Legalize Crack!\" I got suspended for five days, something like that.\n\nI tried out for one of Lucky Dog's bands and didn't get the gig, but we became really good friends. We were both at one of Robert's parties, when Robert lived across the street from Pinole Junior High School. So me and Lucky and this guy Mark Moreno decided to go up and play a song or two. Lawrence Livermore was there. I had been going to Gilman quite a lot but I didn't really know anybody. I was still on the outside, surrounded by all these interesting people.\n\nLawrence asked what the name of our band was. I said, \"We're Sweet Children.\" The next thing I knew, Lawrence was doing a mock scene report in _Absolutely Zippo_ , about who played in Eggplant's backyard that day. Maybe he figured out something was happening in Pinole and El Sobrante. He called us Sweet and Sour Children. It wasn't a mistake. He was mocking us. That nickname kind of stuck with us. Robert would always say, \"So, how's Sweet and Sour Children?\"\n\n**James Washburn:** Billie and Mike would play with Raj Punjabi as Sweet Children. Billie taught Mike how to play bass. Mike didn't know how to play instruments. Billie was incredibly talented, musically. He cut his first record at five years old. He'd already been playing guitar for years and taught Mike how to play. I actually have a recording of them playing and switching instruments back and forth, and they're playing Crimpshrine songs, Sweet Baby Jesus songs, Isocracy songs.\n\n**Billie Joe Armstrong:** Mike was like part of my family. It's the most natural thing to play music with someone you grew up with. We went to school together, we went through puberty. We're just sort of in synch.\n\n**Jeff Ott:** I stopped doing Crimpshrine then, Op Ivy ceased being a band, Sweet Children started playing shows. It was like a lot of pages all on the same page.\n\n**Bill Schneider:** We all knew each other 'cause we'd all go to parties at Eggplant's mom's house and play in the backyard. They had their whole other little Rodeo scene.\n\nSlappy: Mike Dirnt at Gilman\n\n**Jason Beebout:** It was really obvious from the very first time you saw them play. I remember being totally jealous, like, \"Fuck, they're totally playing guitars, in time.\"\n\n**Richard the Roadie:** I'd seen Sweet Children play in Davis and all these other places. As flowery as the music was, they were as political as Econochrist and other bands. As far as their show ethics. All ages, really low door price.\n\n**Billie Joe Armstrong:** We really didn't know if we were going to be a band anymore. John Kiffmeyer from Isocracy came up and said, \"I heard you guys were looking for a drummer. My band's breaking up and I really want to be in your band.\"\n\n**Jason Beebout:** John just decided this one day to join 'em. And that kind of broke up Isocracy. John and I had gone up to Willits to hang out with Larry and Kain and Tr\u00e9, and got to know them pretty well. We came back and suddenly John had gotten hooked up with Billie and Mike. I remember him telling me, \"I got this great new band.\" I was like, \"Really?\" \"Yeah we're gonna be huge. The singer's a genius.\" It was like, okay, whatever. John was always really full of shit about stuff. But then he started playing with them.\n\n**Larry Livermore:** Nothing had jelled until John came into the band. He gave a lot more than just the drumming to the band. He also was the organizer and babysitter, 'cause they were very young. I think he was about two years older, maybe three. He was definitely more mature and serious. And he had a car.\n\n**Frank Portman:** Their first show was either with us or Sweet Baby. I do remember seeing them and thinking, okay, these guys know how to write good songs, which is this incredible anomaly among most rock bands.\n\n**Billie Joe Armstrong:** We could never get a gig at Gilman while Tim Yohannan was running the place. I gave him a demo, and then I called him. \"No, I haven't listened to it yet.\" I called him again. \"It's a bit too pop.\" I remember saying, \"We don't care, we'll play with anybody. You can put us anywhere. What about Sweet Baby Jesus? I mean, they have the 'sweet' in their name, too!\" And he said, \"No.\" He probably had enough bands from Pinole. I was about 15.\n\n**James Washburn:** That was very defined, that they weren't allowed to play there. But when you listen to their first stuff, it really is just sappy, pop happy, and it doesn't fit the lines of punk at all.\n\n**Larry Livermore:** They'd been a band a couple months. John called me up and said, \"I'm in a new band with these two really cool dudes. Know of any shows where we could play? We're having trouble getting shows.\"\n\nI said, \"Tr\u00e9 wants us to play at some high school party.\" He was at this point going to Willits High School, in Mendocino County. \"It's way up in the mountains, it's on a dirt road. The weather's bad, it might snow. I don't know if anybody's gonna come. And there's definitely no money involved.\" And John said, \"We'll be there.\"\n\n**Billie Joe Armstrong:** On a mountaintop in Garberville, with the Lookouts. It took us forever to get there, and when we pulled up, Tr\u00e9 said we had to go way up in the woods to this house where this girl was throwing a party. There was no roof, no electricity.\n\n**Larry Livermore:** Five kids showed up. Not even the kid whose house it was. It was like his parents' cabin up in the hills. We actually had to break into the place and find a generator. Most of the places up there are pretty easy to break into, because there's not a lot of crime. You don't want to make it so somebody has to chainsaw the side of the house open to get in. The generator was only enough for the band, so we had candlelight. Sweet Children played for five high school kids who'd never been to a punk show before.\n\n**Billie Joe Armstrong:** These kids from Willits and Garberville holding candles and sitting on the floor. We had played maybe four songs, and some guy came up and asked us to move our van so he could get out. John said, \"You are gonna sit down and you are gonna listen to every song that we play, because I am not going to move the van.\" So we played. Larry just loved it. He thought it was great.\n\n**Larry Livermore:** Billie was very gentlemanly. Had this kind of arrogance and aloofness at the same time. \"Thanks for coming, I really appreciate you being here.\" It was like, \"Yes, I know I'm a star.\" I've always said, although it was these five kids by candlelight, it was like the Beatles playing at Shea Stadium.\n\nAfterwards, he came to me and he said, \"What did you think of our band?\" Very shy, and 16-year-old like. I said, \"I wanna put out your record.\" I had no doubt. They were like the Beatles to me. They had the potential to be that big.\n\n**Billie Joe Armstrong:** We just loved those first 7-inches by Crimpshrine, Operation Ivy, Isocracy and Corrupted Morals. And now Lookout! wanted to do a record with us. So we had to meet David Hayes, too. The day we were supposed to meet, we went over to the Ashtray. I had never been there before and it had these really flimsy stairs. My feet flew out from under me and I went _boom, boom, boom_ all the way down the stairs on my tailbone.\n\nSo I was in total agony when we met up with Larry and David Hayes. I couldn't sit on my butt. We were talking about doing some 7-inch, and John was arguing with Larry. John had a little napkin, and he had pieces of his eyebrows sitting in this napkin. It was just this nervous habit. Larry said, \"Are you picking your eyebrows and putting them in a napkin?\" And John said, \"Yes, I am.\" And Larry said, \"That's fucking disgusting.\"\n\nDavid and Larry were at each other's throats, too. Mike and I were really young and we couldn't figure out what everybody was arguing about. When Larry went to the bathroom, David said, \"Forget everything he just said.\" We were like, \"Oh my gosh.\"\n\n**Larry Livermore:** We put out a 7-inch the next spring, in '89. They changed their name to Green Day, basically a few weeks before the 7-inch came out. We had a big argument, had to change the covers and everything.\n\n**James Washburn:** Actually, I think John came up with the name Green Day.\n\n**Ralph Spight:** We played this show with them, Halloween 1989 in Santa Rosa. Victim's Family and Green Day. It was a benefit. And people wouldn't give Green Day ten bucks for gas to get home in their fucking VW van. This alleged benefit, and people fucking left them stranded with their van.\n\n**Nick 13:** I remember seeing Green Day in 1989. Billie Joe still had long hair, and their only release was their first 7-inch. They were opening at the River Theater in Guerneville. MDC was headlining. That was a really cool show. It was the original lineup of MDC from 1980. That was definitely more of an old-school punk crowd.\n\n**Noah Landis:** Green Day opened up for Christ on Parade at Klub Kommotion, which was in the Mission on 16th Street, a great funky place with a bunch of old sofas. They played with such exciting energy. So tight and with so many hooks. All these riffs that just go _bam!_ and get you. People were just jumpin' up and down. They were all about having a good time. You can't knock that. We all wanna have some fun.\n\n**Adam Pfahler:** Jawbreaker moved here and we were like 24 years old. Green Day were probably just getting out of high school or something. Their first record had tons of hooks all over it. And I was like, \"Wow, this is just like a pop record.\" We were still listening to the Pixies and Nirvana and Government Issue.\n\n**Martin Sprouse:** They were geeky kids. I remember seeing Green Day, and someone came up to me, and I said, \"What's up with this band?\" And he said, \"We call 'em cotton-candy punk.\" 'Cause he had seen 'em a lot and it was like, oh, they really write catchy-ass songs. They played one New Year's Eve at Gilman and they tore it up. Everyone had fun. Tim Yo was dancing around. This was way before they were even remotely popular.\n\n**Bill Schneider:** Billie did windmills on his guitar, and Mike always sang harmony.\n\n**Gavin MacArthur:** The first time I saw them it was in a backyard in Pinole. I asked Dave Mello, \"Who's this band?\" Dave says, \"It's Green Day. You've never heard them? They kind of make you bob your head like this\"\u2014he bobs his head\u2014\"for about five minutes, and then, you know, that's about it.\" And that was exactly what it was. They came on and they started playing, and I went, \"Wow, this is great!\" And then I got bored. But for five or ten minutes, it sounded really fantastic!\n\n**James Washburn:** Green Day played my 16th birthday party. About four songs into it, Billie's mom called. He didn't do his chores. So he had to get a ride back to his house so he could feed the dogs. 'Cause his mom would whup his ass. She was a redheaded firecracker. Billie's dad passed away when he was ten, so mom, as a waitress\u2014she had to deal with all these kids. Billie's the last of six, so she had her ass-whuppin' tactics down. He had to get a ride home, feed the dogs, come back, and then they finished their set.\n\n**John Geek:** My friend Talia used to date Mike when she was in junior high, and he was a sophomore or junior. She gave me a demo, with the stuff that was on _39\/Smooth_. I was about to go into ninth grade, and remember listening to it on a trip with my parents. They just thought it sounded like the Beach Boys. They were like, \"Oh, this is really nice.\"\n\n**Fraggle:** In late '89, early '90, people weren't going to shows anymore in the East Bay. Gilman had peaked in '88. The bands didn't draw people in. Ten or twenty people would show up. And you can't pay rent on that. Once Green Day hit, late 1990, things started picking up again. More and more stuff started happening. A new generation of kids showed up.\n\n**Christopher Appelgren:** One of the biggest shows I remember, in 1990, was the record release show for Green Day's first album, and Neurosis's album _The Word As Law_. And also the first 7-inch Lookout! put out by the Mr. T Experience\u2014and Samiam, their first 7-inch. So it was this big release show for basically all of our records.\n\n**Billie Joe Armstrong:** We were putting out an album, so we were expected to play last. We were like, \"This is bullshit.\" Mr. T Experience was a bigger band\u2014they were playing Berkeley Square and in San Francisco clubs.\n\n**Christopher Appelgren:** Billie Joe was really nervous. Larry had to talk him into agreeing to play after the Mr. T Experience. The show was amazing, all these bands. They sounded beautiful and incredible and giant.\n\n**Larry Livermore:** If it hadn't been for John, they probably never would have come to Gilman. He got them their first shows there.\n\n**James Washburn:** John Kiffmeyer was very important to Green Day. Too bad he wasn't a better drummer, but he was an excellent _person_ to come in. Because he completely embraced Mike and Bill as Green Day.\n\n**Bill Schneider:** John was the leader of the band. They were little kids and John was like the puppet master. It was like, \"They're mine, my precious.\"\n\n**James Washburn:** He had already been completely versed in being a punker, where Mike and Billie weren't. They weren't in other bands, they didn't really consider themselves a punk band. They didn't really have the skill of booking shows. John was very connected because of Isocracy, and so he knew people and places.\n\n**Oran Canfield:** I met Tr\u00e9 when I was 13. I ended up living with an ex-Sufi clown who started Camp Winnarainbow with Wavy Gravy. I went to Winnarainbow every year for a number of years. It was a theater and circus camp. Awesome but totally insane. Members of the Grateful Dead were counselors, all their kids went there. Country Joe's kid went there. There was sweat lodges. We sang the national anthem but we had to do it standing on our heads. Really bizarre stuff.\n\nI was a junior counselor there and so was Tr\u00e9. I was kind of the camp's poster child. I joined the circus, and won the international juggling competition. But I was really shy and timid. I didn't have a whole lot of interaction with the other kids. The counselors, on the other hand, would get me high.\n\nWhen I met Tr\u00e9, I could kind of relate to him. The camp was in Laytonville and he was from Willits. Lawrence Livermore took him under his wing, and that's how he got into the punk stuff. I was very impressed 'cause he could play the drum solo to \"Burning Down the House\" at 13.\n\n**Noah Landis:** I remember seeing Tr\u00e9 Cool play with the Lookouts. He was the worst drummer I'd ever seen. We played with them at the Bandshell in San Francisco at a Food Not Bombs rally and he was really young and really small. I was like, that kid is horrible! Man, he sure turned that around. He can play the shit out of those drums now.\n\n**Billie Joe Armstrong:** The first time I ever saw the Lookouts, Tr\u00e9 was onstage wearing an old woman's shower cap.\n\n**Larry Livermore:** The Lookouts got back together and did some recording. I asked Billie to come in and do some lead guitars and sing some backup vocals. That would have been the first time that Billie and Tr\u00e9 actually played together. And then in 1990, Green Day went on their first national tour.\n\n**Billie Joe Armstrong:** I met a lot of my best friends on that tour. I met Adrienne, who is my wife. I met Jason White, who now plays second guitar with me.\n\nOn that tour, John didn't speak for about a week and a half. And he put on this weird hat and carried a bongo drum. It was basically once for yes, twice for no. He became Mute Man. He was a weird guy. I loved him. He was so smart. He's one of the guys that I really looked up to. I learned a lot from him. He may have been dealing with some depression, too. I think he had some inner demons that he may have needed some extra help with.\n\n**Larry Livermore:** Somewhere in that tour, John let it be known that he wanted to go away to college, get the full-on college experience. He was gonna go to Humboldt State in Arcata.\n\n**Billie Joe Armstrong:** It was such a terrible thing, when I found out John was leaving. It was the beginning of summer and we were in Benicia\u2014me, Aaron and this girl from Arkansas\u2014and she was saying, \"God, everybody's leaving. So-and-so is going to this place. And John is going up north to college.\" Aaron kind of looked at me and said, \"He didn't tell you that? Oh. That sucks.\" I thought it was the end of my band.\n\n**Larry Livermore:** They heard about it from other people. John's reaction was, \"Well, we're not breaking up the band, we're just gonna go on hiatus for awhile. We can still play shows, like vacations, stuff like that.\" To him, it was more just something you do. There would always be opportunities.\n\n39\/Smooth: Early Green Day flyer\n\nBillie told me he was just beside himself. He left school, just a few weeks before graduation. Figured all he was ever gonna do was play music, he didn't know anything else. And suddenly the band was falling apart. They debated for a long time over whether it was right to replace him.\n\n**Billie Joe Armstrong:** John told us about Tr\u00e9. At the time, we were like, okay, we'll give it a try. This will be a temporary thing. I talked to Larry about it and he thought we should think about it as a permanent thing. And I was like, \"No, John's our guy.\"\n\n**Larry Livermore:** Around November they said they were gonna do a show with Tr\u00e9 playing. I went to it, and it just jelled really well. I said, I guess that's the end of the Lookouts.\n\nIt dragged on for a few months. John said, \"Oh, it's alright if Tr\u00e9 replaces me for a couple shows. But I'm still the drummer.\" A couple times he showed up at shows at the last minute, when Tr\u00e9 was expecting to play, and said, \"No, I'm playing.\"\n\n**Billie Joe Armstrong:** It was rough at first. John ended up playing one more gig with us in Petaluma. Larry was really pushing for Tr\u00e9. Mike was really pushing. And I started to realize what a great drummer Tr\u00e9 was. I think Tr\u00e9 had even taught John a couple things.\n\n**Larry Livermore:** One in particular was a Bad Religion show, one of the bigger shows they'd played at that time. It was very upsetting for Tr\u00e9. John showed up at the last minute, and Billie let John play. But then afterwards, he said, \"That was so fucked. That's never gonna happen again. Tr\u00e9's our drummer.\"\n\n**Jason Beebout:** Samiam played a show with Jawbreaker at the Women's Building in San Francisco. I think John had just quit, and was planning to go to school. We showed up and John was parked right in front of the front door. I hadn't seen him in probably a year. He was out front and was talking with a megaphone, \"Fuck this show, fuck Samiam, fuck these poseur sellouts!\"\n\n**Sergie Loobkoff:** I was friends with John, but he was a strange guy. He was dead serious: \"You guys suck!\" What? What are you talking about?\n\n**Martin Sprouse:** It caught Samiam off guard. It even took me by surprise. He did what he thought was the important thing to do.\n\n**Jason Beebout** : He made T-shirts that said \"GREED\" and \"SAMIAM\" and was selling them for ten bucks a pop. I couldn't tell if he was being serious or if he was just enjoying being a nut. He was like, \"Fuck you guys, you're just the wrong thing, you're ruining the scene right now!\"\n\n**Martin Sprouse:** Jason was like, \"Do you hate us, John? What's going on here?\"\n\n**Sergie Loobkoff:** I never had a beef with him or anything. But that was really weird. I'd like to talk to him now, because now he's like an old man like me, and it would be interesting to see what he was thinking.\n\n**Martin Sprouse:** It was a big change that we all noticed. You used to know him as this goofy John. When he left Green Day, he became very strong in his beliefs. He didn't cash his royalty checks from them. It just wasn't his thing.\n\n**Christopher Appelgren:** They did try to cut him into publishing. He just might have not responded, and ultimately they just said forget it. We're not gonna give you any publishing, any writing credit for these songs. He really holds true to what being a punk meant to him.\n\n**Larry Livermore:** John had made a lot of money off the first Green Day record, too. He was getting paid for one-third of the record. I ran into him a few years ago. Some bad blood occurred between us a long time ago, so I tried to work things out, apologize for whatever I'd done. We had a nice chat. He's very happy and content with his life.\n\n**Christopher Appelgren:** When Lookout! negotiated a new deal with Green Day, I was like, \"John, we still have some outstanding monies due to you, and here's what we did with the other guys in the band, and we can do the same with you.\" I haven't heard back from him.\n\n**Billie Joe Armstrong:** Tr\u00e9 and I kept getting closer and closer as friends. But he was really obnoxious. To the point where I didn't even know if I really thought the guy was that cool. We wanted to be more conscious people. We carried the ethics of Gilman into our lives. Those codes were sort of intact. Tr\u00e9 was not even close. Didn't care what anybody thought, didn't care what anybody did. He did anything he wanted all the time. And that was really hard.\n\n**Bill Schneider:** Tr\u00e9 had a way of being able to offend anybody. He could walk up to anyone, and within 15 minutes, he'd know how to pull their strings. He drove everyone crazy. That was his game back then.\n\n**Carol DMR:** Tr\u00e9 was always a smart-ass, and now he's a smart-ass with a lot of money.\n\n**Bill Schneider:** Once Tr\u00e9 started playing with them, it was like, oh yeah, that's the rest of the package. John was a good drummer, but Tr\u00e9 would just beat the crap out of the drums. He would be sweating from head to toe.\n\n**Billie Joe Armstrong:** A lot of our songs were about girls. It was one thing with someone like Dr. Frank singing love songs. But when it comes from a 17-year-old kid, the songs are just gushing. It drew a lot of girls. It was weird. We got a lot of shit from other bands because we had love songs. But I wanted to sing about truth and where I'm at, my relationships with people. Or lack thereof.\n\n**James Washburn:** The girls dancin' in the front. They'd put their hands down at their sides and kinda flop around, just like if you're fishin' and you pull the trout outta the water and it flops around on the ground. My friend Richard called it the Trout Dance.\n\n**Fat Mike:** NOFX played with Green Day in Petaluma, and they went on before us, and the whole front was full of girls. We were like, \"Cool!\" And then we came out and were like, \"Where did they go?\"\n\n**Billie Joe Armstrong:** We would play Santa Rosa or Petaluma, and tons of girls would show up. Then they started showing up at Gilman, it would be 75 percent women. It almost feels funny to say, but we never took liberties or anything like that.\n\n**Bill Schneider:** All the cheerleader girls from the suburbs would put on their heavy mascara and their funny clothes and come to Gilman. And you'd be all, \"Whoa, this is a whole different place.\"\n\n**Jason Beebout:** You know every 14-year-old girl was creaming her jeans, every time Billie said the word \"love\" in one of his songs.\n\n**Bucky Sinister:** They would squeal just like they were on the fucking _Ed Sullivan Show_. They were losing their shit.\n\n**James Washburn:** I think everyone was jealous. I mean, who doesn't want chicks? Chicks want chicks. Everybody wants chicks. Chicks are cool. And I was hangin' out with them, so I thought it was cool as hell.\n\n**Billie Joe Armstrong:** There were a lot of really strong women in the scene who could beat up the guys, like Todd and Kamala and Adrienne. So there were as many girls as guys in our immediate crowd who might have thought, \"Fuck Green Day! They write stupid, fuckin' sappy love songs.\"\n\n**Nick 13:** In sixth grade, we'd go to a party and put on our music, and it would be Black Flag, the Misfits or the Ramones or whatever. People would immediately bum out and want us to take it off, or want us to leave. And when people started putting on Green Day, the girls and jocks that would have bummed out didn't try to get us to change the music.\n\n**Anna Brown:** We used to make fun of Green Day because they were _so_ poppy. Which is funny because they kind of became punker as they went on.\n\n**Ben Sizemore:** Billie, he sang. He didn't scream.\n\n**James Washburn:** I did a Green Day van trip with Lucky Dog. That motherfucker, he was so impossible to tour with. But I'm sure I was impossible half the time, too. It's a community effort. Bein' an asshole sometimes takes more than one person. So we went on this van tour. It was more a trip for Billie to go see Adrienne. Billie's heart went pitter-patter. So we drove for 36 hours straight to Minnesota. Played only two or three shows, and parties that sprung up while we were there. But these shows were completely sold out.\n\nA few times it was really trippy. I remember this one guy that hunted deer a lot. He had venison salami, and he was like, \"Fuck, man, welcome to the Midwest! Bay Area boys are outta their element here!\"\n\nOn this trip, Lookout! Records was still very small and they had just released _Kerplunk_ , their second album. We were at a show that was absolutely shoulder to shoulder packed. I remember Bill stopping in the middle of a song, and the entire audience knew every single word. I was thinking, I'm in the fuckin' middle of Minnesota! I knew what was coming, what we know today as Green Day. That was '91.\n\n**Jason White:** When they played in Memphis and Little Rock, people showed up in droves. I don't even know how they knew about 'em.\n\n**Bucky Sinister:** Almost every other band just sounded like shit. They wouldn't practice or they'd show up fucked up. Green Day always sounded good. Like 'em or not, they fucking sounded great. Every time. They worked hard and they looked good. That's a combination right there.\n\n**Matt Wobensmith:** The best show I saw of Green Day was at a punk picnic in Golden Gate Park. This was maybe in '91 or '92. There was this tradition of having these punk picnics. So we were in this meadow, a Sunday afternoon and everyone was waiting for the beer to show up. There was like 20 million crusty punks there and a who's who of East Bay bands: Blatz, Filth, Econochrist, 23 More Minutes, like everyone. And Green Day.\n\nFinally the keg arrived. These two dudes carrying it across the field. And it was the most comical thing, because a whole fucking mess of crusty punks ran after them. With their dogs and everything, like, \"Beer! Beer!\" They were just pathetic. You could make a sitcom about crusty punks. We've talked about it.\n\nThe bands played, and Green Day went on, and they were maybe into their second song. And suddenly here came a whole bunch of cop cars, sirens, making their way over to the meadow, and you knew they were gonna unplug us. Green Day didn't miss a beat. They played harder and they played faster and they played better than ever. The whole crowd was watching the cops. But Green Day had their backs to them, didn't care, didn't know, or whatever, playing their heart out. I've never enjoyed a band more.\n\n**Jeff Ott:** Lucky Dog, who was in Crummy Musicians, East Bay Mud, Fifteen, some other bands, he would roadie for them. I specifically remember a night before he was going to go roadie with them. Probably '91 or '92. We were sitting around drinking, and for the first time, I got it. I was like, \"This is the last time they're gonna be in this sort of a thing.\" It was sort of odd. Green Day is gonna make a giant record and it's probably gonna sell a lot.\n\nI have lots of thoughts about Green Day as a band and everything that they've done. But I have very different thoughts about Bill and Mike as the people who would split their last Top Ramen with me. So while I politically didn't like what was happening, some part of me felt just good for them.\n\n**Jesse Luscious:** I always thought that Green Day musically was whatever, but live they were just a force to be reckoned with. What a great show.\n\n**Jason White:** The night after I moved here, we went to Gilman and saw Econochrist, DOA and Rancid. Billie Joe was playing second guitar with Rancid that night. Todd, my girlfriend at the time, said, \"The word around town is that a major wants to sign them.\" People were talking about it.\n\n**Noah Landis:** They were being courted by IRS. But they weren't born from the same world as bands like Christ on Parade or Crucifix or Conflict. That was our thing, but that wasn't their thing. They were coming down from Rodeo and discovering Gilman and writing some catchy rockin' tunes.\n\n**Billie Joe Armstrong:** We talked about it for about a year. Larry had people calling him every once in awhile, and I think he kind of shooed them off. After _Kerplunk_ we started to become our own thing. We still played Gilman and we still considered ourselves a Gilman band. But we would draw lines out the door at Berkeley Square. So we started to wonder, where do we go after this?\n\n**Bill Schneider:** They had grown to the size where they were kind of too big for the scene. They were too big for Lookout! They could play any club across the country. Green Day would go on tour opening for Bad Religion, and then half the crowd would leave after Green Day played.\n\n**Billie Joe Armstrong:** This guy Dave was a paralegal, who worked for Cahn and Saltzman, this management and legal firm. He asked if we had thought about being on a major label. We were petrified. We loved Larry. He was like a father figure to us, and he gave us a lot of great guidance. But we ended up meeting with these lawyers and making a demo tape. We did it without saying anything to anybody. But because this scene is so incestuous, it started to leak out.\n\n**Larry Livermore:** I found out about it by rumor, and confronted Tr\u00e9 about it, and he said, \"We're talking to a management agency.\" I said, \"Get the band in here, we gotta talk about this.\" During the course of the conversation it became obvious that they were already determined to go on.\n\n**Billie Joe Armstrong:** Larry called us over to his house. He said, \"Wow, so you guys really want to do this thing?\" And when we said yes, he said, \"We can offer you something.\" I looked at Lookout! as the ultimate independent label. For that era, it was perfect. But I didn't want to be with an independent that was subsidized by a major. And I didn't want to be somewhere in between. I just wanted to go for it.\n\n**Larry Livermore:** We'd sold about 55,000 of those records by then. That was pretty big for an indie label in those days. I thought there was a pretty good chance they'd go on to a major label. But I felt really strongly they should do one more indie record. They needed to be in a better position for contract terms. 'Cause I'd seen bands already get dropped if they didn't do well right away. Sweet Baby was one of the examples I was using.\n\n**Billie Joe Armstrong:** He said, \"You gotta know what these people are like. Some of them aren't going to care about you. And there's going to be a huge backlash around here.\"\n\n**Larry Livermore:** I thought they were making a mistake. I said, \"The chances of you guys doing well right away are fairly marginal.\" They said, \"No, we want to try it.\"\n\n**Billie Joe Armstrong:** There was just this heavy feeling of sadness. But I didn't want to have that huge what-if hanging over me all my life. We walked outside Larry's house, we were standing on the front steps, and I remember looking at him, saying, \"That was a bleak conversation. Maybe we are making a mistake.\" And he said, \"I think you could be the biggest band in the whole fucking world.\"\n\n**Larry Livermore:** We were still running Lookout! out of my room, 12 \u00d7 12 with no kitchen, when Green Day's management firm came to meet with us. Elliot Cahn. Cahn Management. He was the one who was in Sha Na Na. All seven or eight of us had to crowd into this little room. There was only three chairs. My bedding was rolled up in a corner.\n\nI didn't completely trust their management, but they seemed to know what they were doing. As time went on, it seemed like they were getting the hype going, and things were working out. So I thought, \"Ah, it'll probably be alright.\"\n\n**John Geek:** They were packing Gilman. They were packing Berkeley Square. They were already one of the largest indie bands in America. Everybody knew they were gonna get huge. They knew they were gonna get huge. They never had any qualms about it. They never said they were gonna do anything else. It's not like they were pretending to be anything they weren't.\n\n**Bill Schneider:** They were still the same people. They were living with ten people in a punk rock house. Mike was the only one that could hold down a job. He worked as a cook. Billie and Tr\u00e9 just lived off the T-shirt money.\n\n**Adrienne Droogas:** I was in a different punk scene. These punk scenes coincide, all at the same time, but are very separate from each other. I remember hanging out with Billie Joe, I was dating his roommate Greg. This was before _Dookie_ came out. I said, \"Billie, I've never heard Green Day. I don't know what you guys sound like.\" He was like, \"Really? Can I play you something?\"\n\nHe grabbed a record and put it on, and he was so excited. He was like, \"Wow, someone who's never heard Green Day!\" It must have been like _39\/Smooth_ or one of those earlier ones.\n\nI was like, \"This is great, Billie. I just\u2014it's really poppy, it's not my musical style.\" He was sweet about it. He played us the very first Green Day video. He said, \"It's not out yet. Do you wanna see it?\"\n\nIt was filmed in that apartment. At the very end of the video he's stabbing a couch, and feathers are flying. We were sitting on that couch. I said, \"So, Billie, was it a fake knife? Like those ones that retract or something?\" He lifted up the cushion and underneath were all the stab marks. He had just taken the cushions and flipped 'em.\n\n**Ben Saari:** Word got out. The last show before they signed the contract was in Petaluma at the Phoenix Theater. There were tons of people. Everybody knew the next day they were signing the deal with the devil and everything would suck. They would be sellouts, nobody could be friends with them, they would be on tour forever, they would blow up. Things would get really good for them. And people were aware that this was also gonna bring in a whole new level of attention to what we had been doing.\n\n**Jason Beebout:** After they moved out of that house, Mike and I moved in together. And then Bill and I lived together after that. It was a weird time. Me and Billie lived together for like a year, and I probably saw him four times.\n\n**Bucky Sinister:** I was at BFD [Live 105's concert] the year they were playing, and they played first. It was an awkward thing. The single had come out a week or two before, and it was shooting up the charts. The next band started, and everyone went out to the concession vendors. It was easy to tell even by the first single they were gonna be a hit.\n\n**Jerme Spew:** They sold ten million records their first major-label release\u2014their first shot at a major label. Nobody knew. They didn't even know. When they hit a million records, I remember hearing how Billie Joe was like, \"A million? Who in the hell is buying this shit?\"\n\n**Martin Sprouse:** Green Day sent Tim Yohannan a gold record of their first record. That was fucking funny. They put either Tim's name or _Maximum RocknRoll_ 's name on the little plaque. That was pretty great. That was those guys being smart-asses.\n\n**Howie Klein:** It went gigantically fast. Billie is an amazing songwriter. Yes, they play well, they're a tight unit. He's a great performer, they have great stage shtick. But it's all about the songs.\n\n**Anna Brown:** It's weird when you hear your local band on the radio. It's even weirder when they get famous enough to play the Super Bowl halftime show.\n\n**Jesse Luscious:** The first show I saw them on was Conan O'Brien. I was in southern California with these Germans, we were at somebody's house. I was like, \"Holy shit, it's Green Day. That's insane.\"\n\n**Janelle Hessig:** I was watching _Saturday Night Live_ at my parents' house, and at the end Rip Taylor was throwing confetti, and there's Roseanne Barr, and then Billie Joe was in the middle of them. That was the first time it really struck me how surreal things were.\n\n**Jason White:** I remember taping every bit of it off MTV. I don't know how long this is gonna last and this is gonna be so funny, I'll look back years later, \"Look, Green Day was on TV. Can you believe that?\"\n\n**Jesse Luscious:** After Green Day signed, they were really good about keeping Gilman out of _Rolling Stone_. They were very protective. But kids dug and reporters dug and they found out what Gilman was. And so we literally had tour buses driving by saying, \"That's where Green Day started.\" Fucking insane.\n\n**Martin Sprouse:** They still give Gilman credit for everything. They've always been pretty honest about their roots.\n\n**Frank Portman:** When Green Day made it big, my reaction was, okay, our side won. Because out of all the things that everybody was trying to do, pop songs won over the hardcore. Pop songs about things that you really think about, or care about, that have verses and choruses, and justify their existence by being real songs. On the other side, the Offspring became big, so their side won, too.\n\n**Aaron Cometbus:** After _Dookie_ came out, Billie came over and said, \"Hey, have you got any records by the Buzzcocks, or 999?\" I put them on and we sat around nodding our heads. He said, \"Wow, these are great. What a compliment.\" All the reviews were saying he ripped them off. He'd never even heard those bands before. He got turned on to a lot of great bands that way. It's one way to discover new music, I guess, but kind of harsh. Anyway, the press couldn't have been further off the mark. His influences were mostly the records of his depressed-poet older sister: Replacements and H\u00fcsker D\u00fc, with the Who and a bit of East Bay stuff.\n\n**Jeffrey Bischoff:** We had probably played 50 shows together. Anytime it was possible, Green Day, Rancid, Tilt played together. Jawbreaker also, and Samiam. When the _Dookie_ record came out, they asked Tilt to come out. It was eight or nine weeks in the States. It started at Slim's in San Francisco. You could see the buzz progressing as we traveled. It was like watching the world decide they were cool. Venues got pushed up from 600 to 1,500, so we were playing 1,000-seaters and maybe some 1,500s on that tour. We came back and the next U.S. tour started going to even bigger venues.\n\n**Bill Schneider:** The '94 Woodstock on TV, they kinda stole the show with the big mud-fightin' thing. Every article and every news thing about Woodstock was all about Green Day. It was kinda like, \"Oh, okay. This is gonna be something different than just selling some records.\"\n\n**Jeffrey Bischoff:** Tilt went to Europe in the fall. We were watching the stuff about Green Day on TV and getting the occasional phone call. At the end of '94 I got a call from Billie Joe and he said, \"We're having our end-of-tour party.\" It happened to be the same day we got back from our European tour. And it happened to be at the Oakland Coliseum. We went directly to the Coliseum from the airport, and I saw Green Day just as they were at Gilman. It was just these three kids, up there working the crowd, just doing their thing. For 15,000 people.\n\n**Hank Rank:** The first time I heard a Green Day record: I was at Sun-dance, and their record label was giving _Dookie_ away in a pile of other junk. I brought it home and put it on, and I just laughed. I thought, \"This is preposterous. I can't believe there's a band doing this today.\"\n\n**Howie Klein:** I was working at Warner Brothers at the time. The CDs were going around the building, and I had heard snatches. But it wasn't until the record was finished that I got to hear it, and it floored me. This was _Dookie_. I went back and listened to the earlier records, and I thought, \"Oh my god, this band is amazing.\"\n\nEventually I became the president of Reprise. The first thing I did when I became president was go to England. Because the Europeans didn't understand Green Day. It was already double platinum in this country, and not selling anything in Europe. I went to the head of our U.K. company, who was very respected all through Europe, and I said, \"Rob, we've known each other for a really long time.\" He had bankrolled my publishing company, when I was at 415. I said, \"Rob, you gotta believe me. This is gonna be the biggest band in the history of Warner Brothers. Don't blow this thing. We need you.\"\n\nHe said, \"Fuck you. This band is corporate rock.\"\n\nWe fought about this. I was the president of Reprise, but I couldn't force him to do anything. So I went to the head of our German company and said, \"Look, this is the biggest band that we have. This is a fucking great band, and the English aren't helping us with it. You do it. Don't wait for them.\"\n\nWithin months, they had green carpets in front of every major record store in Germany. It went platinum. And they forced the English into taking it seriously. It was the biggest no-no you could ever do. It was so not allowed inside of the Warner system, and I did it anyway.\n\nI used to live in England, I knew they were gonna love Green Day. I went to one of the big festivals, in the middle of fucking nowhere, and Green Day was playing, and they were the biggest band in England that day. And I was so happy, thinking, alright, it worked.\n\n**Zarah Manos:** I remember kicking Billie Joe out of Gilman. Like, \"I know who you are, you need to leave.\"\n\n**Billie Joe Armstrong:** I personally got 86'd after the fact.\n\nZarah Manos: I had to fuckin' work at the Gilman worker party, which I'm still bitter about, my own fuckin' party for us. And they were all drinking in the bathroom.\n\n**Jesse Luscious:** Aaron Elliott, Billie Joe, Janelle, Robin, people from a bunch of different bands who all knew better. They were having a party in there, kinda drunk, throwing cans of beer.\n\n**Billie Joe Armstrong:** I think about three years later, Aaron said, \"I went to a meeting and you're not 86'd anymore.\"\n\n**Orlando X:** The sad thing is that Billie Joe liked to go out to shows, and it got harder for him to go out. There were times you would see him and he'd be trying to disguise himself. He used to be a normal person, have a good time, but then he started getting mobbed by people.\n\n**Zarah Manos:** Billie Joe always was rockin' the wigs. A black curly wig. There was a blond one, too, like a mullet. He was just doing it to get attention, I think, like fuckin' with us. It wasn't malicious at all.\n\n**Billie Joe Armstrong:** I wore a pair of glasses and a hat. No wig. I went to see Dead and Gone play with AFI. I wasn't sneaking in. Green Day had just gotten really big and it got really uncomfortable. I just wanted to kick it with my friends and see the show.\n\n**James Washburn:** Billie actually told me once\u2014and it kind of stopped me in my tracks\u2014he said that a lot of the inspiration for the things he writes comes from stuff that I say. I'm like, \"What the fuck are you talking about?\"\n\n**Billie Joe Armstrong:** James is our buddy and he comes out on tour with us sometimes, just to hang out. He's one of those permanent fixtures in my life. He's become the subject of folklore because he's kind of this indestructible person. He got shot in the back of the head. The bullet shattered on his skull. He's got a big scar. He got the name Brain Stew because he wrote for _Absolutely Zippo_.\n\n**James Washburn:** I have a lot of respect for Billie. He's been very successful just as a person. He's very bighearted, very generous. And I'll love him to death forever. Being where he is, in the eyes of society, in the music world\u2014they're like a fuckin' supergroup now. But to hear those things now, I guess it sets me back a little bit and I'm just like\u2014I guess it completely embarrasses me.\n\nSweet Child: Billie Joe Armstrong at Gilman\n\nHe has given back a lot, and he respects the scene and respects the people that are here and in it. I think he feels proud that Gilman's still alive. Billie does a lot of things in helping the scene. Whether it's through donations, or whether it's still making punk rock known.\n\n**Kate Knox:** The things that Green Day has done in the scene\u2014in terms of keeping their money in the East Bay and still working with T-shirt companies and hiring friends and that kind of thing\u2014I think is fantastic.\n\n**Bill Schneider:** They're a rock band. They're not politicians. They don't want people to think they're trying to save the world. But in their own way, of course, they want to contribute and make things better. I think it goes back to the Gilman scene in general. We were all young and impressionable when we got into punk rock. That scene helped shape who we became later in life.\n\n**Winston Smith:** People figure they're just a band of loony punks doing their own thing. Which they certainly are. But they also have a deeper side to them. After some horrible earthquakes in Nicaragua, they were fortunately in a position to make a contribution that was significant to people.\n\n**Ben Sizemore:** I remember they played a benefit at Henry J. Kaiser for Food Not Bombs, and raised thousands of dollars.\n\n**Penelope Houston:** When I was on Warner Brothers, Howie Klein said, \"You should write with some people who have had hits. What about Billie Joe Armstrong, from Green Day?\"\n\nSo pretty soon I got the phone call. \"It's Billie Joe, I'm a big fan of the Avengers, blah blah blah. Come on over, we'll write something together.\" I was like, okay.\n\n**Billie Joe Armstrong:** She came over to my house and we talked. I was just blown away.\n\n**Penelope Houston:** Brought over some lyrics, he looked through them. Pulled one out. Said, \"I could do this.\" He did it as a demo. Then he said, \"You can come over and we'll record it with these guys I know, Joel Reader from the Mr. T Experience, and Danny Panic from Screeching Weasel.\" I was like, cool.\n\n**Billie Joe Armstrong:** We put it together and got Kevin Army to engineer. She wanted to rerecord the Avengers' \"Corpus Christie,\" which was awesome because it is one of the best songs ever written. The Avengers should have gotten more credit than they did.\n\n**Penelope Houston:** We had a couple rehearsals. He had a recording studio in his house. The living room wall, all the way up to the 20-foot ceiling, was just covered in Gilman flyers.\n\nWe gave the recording to Howie, and Howie's like, \"I wanna get this on a soundtrack.\" They were gonna put it on the soundtrack for _Lois and Clark_. But it died. So then they put it on the soundtrack of _Friends_ , which was even better. Every time that show gets rerun, it's like my BMI check. It's decent, I'm not living off it, but it's nice. And then I put the version of \"Corpus Christie\" on one of my best-of records.\n\n**Billie Joe Armstrong:** It was a great experience and then she ended up putting her band together, which is really cool.\n\n**Oran Canfield:** I didn't want to be seen at a Green Day concert. One day I got a call from my mom. She was like, \"You gotta get over to Laney, I'm playing with Pharoah Sanders.\" I drove over to the community college and went down to the music rooms, and my mom, Pharoah Sanders and Tr\u00e9 Cool were playing in this intermediate jazz combo trio together. It was like, what the fuck? Green Day was huge at this point. Tr\u00e9 was fucking great.\n\n**Larry Livermore:** We used to see Winston Smith at various cultural events up there. He lived about 50, 60 miles south. Tr\u00e9 met him when he was 12 or 13 and always got a kick out of him: \"Man, that old hippie's crazy.\" That's how he ended up doing the _Insomniac_ record cover for Green Day many years later.\n\n**Winston Smith:** I got a call from Tr\u00e9, \"Hey, can we come over and check out your stuff?\" He and Bill came over, and Rob Cavallo, who was their producer at the time. We looked through a bunch of pictures. I thought they were still gigging around at garage sales in the East Bay. I asked Tr\u00e9 how things are going. \"Do you have a day job?\" And he said, \"Oh, our last record sold nine million records.\" Shit, I nearly fell down.\n\n**Billie Joe Armstrong:** He stayed up all night doing the album cover. I think that's why we ended up calling the record _Insomniac_.\n\n**Winston Smith:** Billie Joe noticed the title I had on it: \"God Told Me to Skin You Alive.\" They all recognized immediately that that was a line from the Dead Kennedys' first record. I think they liked that it had gone full circle.\n\n**Billie Joe Armstrong:** On the cover, there was a guy sleeping in a hammock and a blonde woman holding a gun to his head and my guitar. When it came out, people were saying it was some kind of metaphor for Kurt and Courtney. Like, what the fuck are you talking about?\n\n**Winston Smith:** I wasn't going to get any royalties or residuals, and I had been through that with Dead Kennedys and other bands. So I thought I'd just take the highest that anyone had been paid for artwork, and double it. I said, what about $25,000? They were cool with it.\n\nQuite awhile afterwards, I was sitting having a pizza in Berkeley. This guy came up to me and gave me a big kiss. I was like, \"Hey, man, back off.\" Didn't know who it was. It was Tr\u00e9, they'd just gotten back from Japan. Somehow the subject got brought up about payment for the artwork. I made some remark like, \"Oh, be glad that you guys were with this major label, that was able to foot the bill.\" And he said, \"No no, you don't understand. _We_ paid that.\"\n\n**Bill Schneider:** The _Insomniac_ tour was kind of a total disaster. They still wanted friends to work for 'em, but they needed to find people that actually knew how to tune a guitar and fix stuff. Billie came to me right when he came home and was like, \"Hey. You need to work with us. Come out with us, be a guitar tech, be a bass tech. Just come on out and it'll be fun.\" That was in '95.\n\nAt the time I was a partner in a music store called Black Market, which turned into Univibe. I was already the guy that was fixing all their stuff anyway. So we just went headfirst in and started doing all kinds of festivals, and then years of touring. I've worked for 'em for about 12 years. Started guitar teching and then doing all their day-to-day management. If you're gonna have somebody that's gonna drive you around the world and do press and make you show up at the lobby in time to get to the gigs, it may as well be me, I guess. I'm the one that wakes everybody up every day when we're on tour. And makes sure they're on the bus at the end of the night.\n\n**Jason Beebout:** Jason's allowed to be in videos now, and he's allowed to be seen onstage. He's been playing with them for a long time.\n\n**Jason White:** The first show I did with them was Shoreline in front of 20,000, and that was huge. Billie and I, we had been friends for years at that point. I lived on his couch for a long time. It was '99, one of the Neil Young Bridge show benefits. He said, \"We're doing this acoustic thing. We kinda want to get another guitar player so it'll beef up the sound. You think you can handle it? Are you gonna get nervous and freak out?\" And I said, \"Yeah, I can do it.\" I was ecstatic.\n\nIt was definitely shocking. There's a huge crowd, the P.A.'s a lot bigger, the stage is a lot bigger, but you look beside you and it's the same guys you've been sitting in the living room practicing the show with for a month. That's what made it comfortable.\n\nAdeline Records was a label started by Billie Joe and his wife Adrienne, and Jim Thiebaud, who had been a pro skater, and his wife Lynn. Doug Sangalang was around when they first started it. They just wanted to start a local label. It's named after Adeline, the street that runs through the East Bay.\n\nI worked for 'em right after they started it in '98. Jim had a warehouse on Adeline where he had a ramp, and it became the de facto location of the label. It grew and grew. Lookout! helped us out quite a bit. AFI, the Criminals, a lot of Minneapolis bands like the Crush, and the Soviettes. We put together a package tour, the Adeline Showcase. We did shows in L.A. and San Diego, and at Gilman. It was a cool label. In its East Bay incarnation, it was 1998 through 2004.\n\n**Jesse Luscious:** Green Day played Gilman during a set at some Adeline showcase. I wasn't there. I would have been like, \"Oh, they shouldn't be on that stage.\" But people who were working were like, \"We grew up on Green Day, we're not gonna fucking stop that.\" They just jumped up on the end of that set 'cause they were all there.\n\n**Jason White:** The feeling in the air was very strange. It was like four days after September 11th. We had this thing booked, and we're like, \"Well, I guess we're gonna go ahead and do it.\" Everybody was just feeling a little crazy and weird, and why not? Green Day got up and played and blew off some steam. That was the only time they'd played Gilman since _Dookie_.\n\n**Jesse Luscious:** I think the people who were there were just so happy. A lot of them had never seen Green Day in such a small place.\n\n**Fat Mike:** Green Day got big 'cause they were better than everybody else. And all the bands that weren't very good faded away. I always thought Bad Religion should get bigger. But it shows you how much charisma plays into it. Green Day had a lot more charisma than Bad Religion. And Greg Graffin is not Billie Joe.\n\n**Ben Sizemore:** It's just weird that people you used to hang out with, and that your band would play with, are now millionaires. Green Day are like literally one of the biggest bands in the world. Personally I could never really generate that much animosity towards them. They're all perfectly nice guys. They're millionaires, and I'm a social worker, working with crazy people in the city, and really don't make any money at all. Who's to say I did the right thing and they didn't? More power to them.\n\n**Noah Landis:** I always felt proud. Here's some guys I know who've always been nothing but nice to me, actually finding some success in this world. Before that happened, nobody who played in a punk rock band ever even thought about success. It wasn't even on the menu. We were making anti-music, we were making music that was not going to ever be that.\n\nAnd to see the world finally catch up, desperate for music that makes you feel something, music with emotion, honesty, truth and aggression. These feelings that are undeniably in every young person born on the planet, especially people who have had to\u2014god forbid\u2014live through hard shit. The world finally caught up to that and wanted some. They wanted their Green Day songs about teenage alienation and masturbation.\n\n**Scott Kelly:** Billie Joe's just as real as we are. The stuff he writes is the same shit that he wrote when he was 14 years old, sitting in a fuckin' party in Oakland. He's true blue. He's one of those artists who is able to tap into a larger sort of general feeling.\n\n**Noah Landis:** Music is for anybody who feels it and wants it. The angst and the darkness in Kurt Cobain's songs\u2014they reached people. And you think about the youthful energy and freedom you feel listening to Green Day\u2014that's for anybody who feels it. It's not just for those who were there in 1977, or like me in 1982. It's bigger than that, and that's the beautiful thing about music.\n\n**Sham Saenz:** I consider punk music art. It's not pop music, it's art. It's being creative. There's punk bands that reference other things like reggae, ska. That to me is what makes art. When you take something as a reference, and you make it contemporary by putting your own twist on it. Green Day isn't a punk band. They're a rock 'n' roll band that references punk. A lot of these bands today that call themselves this or that are actually rock bands or pop bands referencing punk, instead of punk bands referencing something else.\n\n**Billie Joe Armstrong:** I could never live in Los Angeles or move into the [Hollywood] Hills. I grew up in the East Bay. That's where I'm from and that's what I'm used to. I think it's got a lot to offer.\n\n**Bill Schneider:** It's always in retrospect that things seem huge. When you're on tour you do the exact same thing every day with the same people, the same faces. It's all the same. All that changes is the building you're doing it in. It's still the same jokes, the same dumb movie that you watch every day. It's the same food that you get served at catering.\n\nYou go to a Gilman gig, the band walks off the stage and they're standing there with their best friends and patting each other on the back. Everybody's sweaty, hugging each other, yelling, screaming, running down to go do whatever it is after the show, get a beer, hang out, have a party, whatever the plan is that night. Or it's Green Day coming off the stage at a stadium, and you go to a room backstage where it's all your best friends and the same people you've known for 20 years, and drink a beer and have a party and go off to do something. It's the same. It doesn't change for the people involved.\n\n**Anna Brown:** It makes a lot of sense, now. Why wouldn't you get paid to play music and travel the world? There was some anxiety and animosity from some people about people getting rich and famous, but you can't deny that it is kind of thrilling to see your friends turn into humongous rock stars.\n\n**Bill Schneider:** When you first join a band you think the biggest thing in the world is gonna be, \"We're gonna write a song.\" And then after you write a song you say, \"Well, we're gonna play a show.\" And you play that show and you say, \"Well, we played that show. Let's try to do a 7-inch.\" And then you record a 7-inch and you're all, \"Well, that's pretty cool. Let's try to do a tour.\" Then you go on tour and you're like, \"Well, touring's pretty cool but how 'bout we try to put out a CD or an LP\u2014put a full record out.\" Then you put the full record out and you're all, \"Wow, that was pretty cool. But you know what would be really cool . . .\"\n\nIt's just these steps that lead to steps\u2014and then at this point, standing on the side of the stage when Green Day's playing to the stadium shows at the end of _American Idiot_ , 60, 70,000 people. And you're just sittin' there going, \"Okay, this is pretty crazy. But you know what's gonna be _really_ crazy . . .\" It's funny, it really is, watching your friends do really well. But being along for the ride, it all becomes incredibly normal.\n\n**Dallas Denery:** I remember there was a documentary on Green Day\u2014it might have been _Behind the Music_ or whatever. I was watching it with my wife and I was just thinking, \"God, I'm so proud of them.\" Because you do sort of feel like, that was our thing. It's really great that out of that little room in the Berkeley industrial wasteland comes these great bands.\n\n**Ralph Spight:** I never really resented Green Day for getting huge. Because they're a hot band. Nobody fucking cared. Now they're international. I make my living teaching guitar and I teach Green Day songs all day long. So whatever, it pays good.\n\n**Dennis Kernohan:** I was at this Oakland warehouse party in the late '80s. They were hilarious. Just little snots, hassling everybody. I had long hair then, so they were calling me an old hippie. I didn't even know they were Green Day. Later on I saw their picture and recognized them as those kids that were giving me so much grief that night. It made me laugh so hard. I was all for 'em, you know? I think it's great that they've adopted the same makeup artist as the Damned. I think that's genius.\n\n**Danny Furious:** I love Green Day. I love Rancid, too. It ain't 1977 anymore, and obviously punk is here to stay. I prefer to think positive about it. And I'm glad the Avengers and others can be cited as influences.\n\n**Bruce Loose:** To me, that's not a Bay Area punk band. They weren't there in '77, they weren't there in '78, they weren't there in '79. If you weren't there in the '70s, you weren't a punk band. You were an aftereffect in the punk movement. But I think Flipper was an aftereffect in the punk movement. We've been able to emulate it. I may be only speaking for myself.\n\n**Dave Chavez:** I really wish the Buzzcocks would have never formed. Then we would have never had Green Day and all this garbage.\n\n**Hank Rank:** I definitely felt that the groundwork had been laid, but that's usually the way things work. The popularizers are not the innovators. They're the people who just fine-tune it and put the elements together. They're all young and cute, and the singer definitely had a very dynamic, recognizable style. And they played great, and they wrote songs with plenty of hooks, and more power to 'em.\n\n**Aaron Cometbus:** All the old washed-up punks from '77 came crying for royalties, wanting credit for creating Green Day. Fuck them. We kept the scene going for 30 years that they abandoned after two. Just like deadbeat dads.\n\n**Ruth Schwartz:** When my kids' favorite band is Green Day, I'm kind of grateful. It could be Britney Spears. I took the whole family to see Green Day. There's just a whole dynamic with this generation. They're not like us. I've had a lot more time to reflect on it, but the fact of the matter is that everything that we stood for in 1980, they don't give a crap about.\n**45**\n\n**No Sleep 'Til Hammersmith**\n\n**Lenny Filth:** Kamala was my first girlfriend. I used to have to sit there and listen to her booking bands, while I was watching TV, waiting to hang out with her. The women in this scene played as much a part of the scene as the men did, without any shadow of a doubt.\n\n**Adrienne Droogas:** Kamala was on top, in terms of shows. Kamala had her fingers right on the pulse of every single venue, house, garage, somebody's basement in their parents' house. She had this list, she had phone numbers, she had addresses, she had directions. You would go to Kamala's house, open up a map, and go, \"We wanna do this.\" And she'd go, \"Okay, here's the numbers, here's everyone you'd call.\" You'd call one person and they'd go, \"My parents won't let me do shows anymore, but Joey's doing shows, or Susan's doing shows, so here's their number.\" And you'd call that Susan and Susan would be like, \"Yeah, when do you wanna play? Cool.\"\n\n**Ben Sizemore:** Kamala gave me numbers of places all over the country, and so I would book the tour. Econochrist even went to Europe twice.\n\n**Kamala Parks:** I had booked Clown Alley on tour, and so that led to people calling me and wondering if there was a place to play in the Bay Area. There were always different people doing things, so it wasn't just me, it was a bunch of people. DMR was booking shows at this time, _Maximum RocknRoll_ would sometimes organize a show.\n\n**Bill Schneider:** All the bands shared. Phone numbers of people who didn't have a club or anything, you'd call them and go, \"We need somewhere to play.\" And they'd go, \"Oh, lemme go check the pizza place.\" Or, \"Let me go check the VFW hall.\"\n\n**Chicken John:** People like me and George Tabb made a network in North America. A touring network that later became the _MRR_ book _Book Your Own Fucking Life_. I had these different colored notebooks, four regions in four different colored notebooks. I was calling everybody and collecting numbers.\n\nThere was a guy Ted, from Shreveport, Louisiana, and he set up shows in his toolshed. He called it Theodore's Shed. Which is funny, 'cause you'd want to call it Ted's Shed. But if I wanted to play a show in Shreveport, I'd have to find the fucking show. So I'd call up Peaches, which is a major-label record store. I'd say, \"Hello, is there anybody there with dyed hair?\" \"Uh, yeah, Brian's got dyed\u2014\" \"Can I talk to him?\" \"Hold on . . . Brian! Some guy wants to talk to someone with dyed hair.\" \"Hello?\" \"Yeah, hi, I'm from New York and we're in a band and we're traveling through. Who's having punk shows?\" And Brian with the dyed hair is like, \"Oh, well, this guy Theodore . . .\" There it is.\n\n**Davey Havok:** _Book Your Own Fucking Life_ came out I think once a year. It was invaluable, because there was no Internet. There was no way that a band like us at that time was gonna get booked at regular clubs. It was getting booked at the Pill Hills and the garages and the Gilman Streets around the world. Basically it was a compilation of: here are the bands in this area, here are the labels in this area, and here are the promoters in this area, and here are the places to play.\n\n**Chicken John:** _Book Your Own Fucking Life_ outlived its usefulness the instant it was published. It fucked all of us. Now this is a bold statement\u2014the reason why punk rock became Top 40 is because of _Book Your Own Fucking Life_. It was the first step. Ted in Shreveport went from talking to me and four other people to getting like 50 tapes a week. Professional, glossy fucking press kits. And he was like, \"I can't let all these people play.\" So people became club owners, started graphic design businesses, booking businesses. And it's like, bleh. Is that what all this is for?\n\n**Bill Schneider:** Everybody in the East Bay scene had stolen military exchange calling card numbers. Every single band used the same numbers. You'd dial this number, and then from there it was another beep and then you could dial a number. They worked I'd say up until '93.\n\n**Fat Mike:** Book all the tours from a public phone booth, 'cause you couldn't do it from your house.\n\n**Chicken John:** Booking a tour would cost like 800 green dollars. So if you couldn't freak the phone, then it wasn't going to work out. People can't even imagine it 'cause everybody has cell phones now.\n\n**Ryan Mattos:** Me and Eric Ozenne did booking. He had a job\u2014I later had the same job\u2014installing phone and data lines in office buildings. So he would spend a lot of time up in the ceilings of office buildings, using their phones, calling people to try to get shows.\n\n**Bill Schneider:** In my band it was me. In Green Day it was Tr\u00e9. Every band had the one guy in the band who did it. Everybody else was trying to pick up on chicks or get food, or meet people. You'd be sitting there in a phone booth next to the van with your notebook, calling\u2014I'm not even joking\u2014100 people. Every evening, trying to get these people to answer the phone, and leaving messages. You'd hopefully have somebody at home who would take messages for you, because there was no voice mail.\n\n**Richard the Roadie:** Kamala changed it for a lot of people. And she's never given credit. She was the most organized person at the time. Everybody else was just chaos. She absolutely paved the way for East Bay bands to tour. A few of them did before, but as far as networking before the Internet, she was absolutely the person to go to. Amazing resource. She was the first one to grow up.\n\n**Chicken John:** I remember Kamala Parks. Oh yeah. Fucking bitch, fucking wouldn't share. Not one fucking ounce of information, nothing. I used to fucking mail her fucking lists, mimeographs, where I used to have to write in marker, big, so that it would mimeograph, 'cause if you wrote in pencil too small it couldn't copy. Fucking bitch, man! Fucking wouldn't share! I was just like, you cannot be serious. You're gonna try to profit off this? It was just disgusting.\n\n**Ben Sizemore:** You'd meet people who would put you on a pedestal because you were from the Bay. We would say, \"Yeah, come visit, man, come stay with us.\" One time when we came back from tour there were a couple kids already on our couch. We had met 'em in Michigan.\n\n**Bill Schneider:** People were so excited to have people from out of town, especially from California. They were drooling, waiting for us so they could show us all of the fun stuff to do in their town. You'd pull into somewhere and they were like, \"Okay, first we're taking you to the place where we do the rope swing down into the creek, then later we're gonna go cut down as many Wall Drug signs as we can and throw 'em in the back of the truck, with an ax.\" They kept you so busy that you couldn't even sleep. There was always something fun to do.\n\n**Adrienne Droogas:** \"We're gonna go dumpster-dive, we're gonna go to underground lakes and ride in a boat.\"\n\n**Dale Flattum:** You're suddenly on acid and on the bayou in Louisiana: \"How did we get here?\"\n\n**Bill Schneider:** Someone took us mud-bogging at Three Mile Island. You could jump off cliffs into this weird mud pit, and you'd slide like 50 yards. Or you'd be in Seattle and they'd take you to the unfinished freeway that went halfway out on Lake Washington, then ended. And you could jump off, and you had to climb a ladder back up. Every city you went to had something weird like that. In Lincoln, Nebraska, they were like, \"Hey, you guys wanna go where all the weed they planted during World War II to grow hemp is?\" And you're all, \"What?!\" There's fields and fields and fields of marijuana growing. They would bring everybody from out of town there and watch people smoke tons of it, and then laugh their asses off when you're puking and have a headache. 'Cause it's like ditch weed.\n\n**Mike K:** Relying on the people you meet to save your ass, and help you out and give you a place to stay. Getting to experience that was definitely eye-opening.\n\n**Davey Havok:** We showed up to this kid's house in I don't know what city in the middle of nowhere. We were playing in his basement. But his basement had a carpeted stage and a sound system, and his parents were letting us stay there, and all the kids from this town were showing up and Mom was cooking us food. Amazing. Moms across the country have taken care of punk rockers for years. You know, taking care of their boys.\n\n**Fat Mike:** We were on tour with East Bay Mud, or Fifteen, in Columbus, Ohio, in '88. Some member passed out with his shoes on. Usually he gets written on. But luckily we were at a girl's house, and she was an artist, and she had a lot of plaster of Paris. So we cast his leg up. He was very disoriented when he woke up.\n\n**Aaron Cometbus:** NOFX duct-taped someone to the ceiling.\n\n**Billie Joe Armstrong:** We played in Rhode Island at this skate ramp. I think one of the kids who ran it, his father was in the mob, because there were all these kids drinking 40s outside, and the cops drove by without saying a word.\n\nWe had a few days off, so this girl said she would have a party at her house. Her dad had a massive collection of antique bottles in the living room. We knew they would come crashing down, so Aaron, Mike, Sean, John and I put duct tape across all the bottles. John was missing a cymbal stand so this girl who was hosting us took a piece of rope, and people took turns just holding it up. As soon as we started playing, the house just got completely wrecked. That was the first time I ever saw Aaron get really drunk.\n\nI urinated from the top of the stairs on this young couple that was getting together for the first time. People were throwing everything out of the refrigerator onto John. So John got naked and wrapped his whole body in Saran Wrap, running around being Saran Man.\n\nJohn was trying to get together with this girl but he couldn't remember her name, so he got a bunch of eggs and walked around to each person going, \"Say your name.\" When you said it, he would smash an egg over his head. Nobody really had any etiquette when it came to dating at the time. There was all kinds of stupid shit. I remember waking up the next day, and someone was running through the house with a chain saw. And there were chickens all over the floor.\n\n**Lenny Filth:** There was a couple of summers where there'd be four or five Bay Area bands all on tour, crisscrossing the country, just missing each other. One year I remember we were two days behind Neurosis. We'd show up to this barnhouse in middle-of-nowhere Kansas\u2014nearest neighbor had to be a mile away\u2014see Neurosis stickers and flyers still up. They had played there two nights before.\n\n**Andy Asp:** Nuisance rode to Little Rock. We had the day off. Somebody asked us, \"Do you wanna play at the governor's mansion?\" Bill Clinton had just left Little Rock to go to Washington, and the next guy, Jim Guy Tucker, had taken over. In order to make his daughter feel at home and make friends\u2014she was a punk kid\u2014her dad agreed that they could do this all-ages punk show out on the back lawn. She was probably 15. Several bands played from Little Rock. And us. They built a little stage and had a P.A.\n\nThe neighbors all called, but it was outside the city jurisdiction. They had no say. Troopers were guarding the gate. They were letting tons of kids in. It made all the press: \"Something of a Nuisance at the governor's mansion in Little Rock.\" We made all the newswires for that reason.\n\n**Davey Havok:** A lot of times the place you were supposed to play didn't exist anymore. Or some guy puts you in this weird little bar and you're playing in front of four or five barflies in Missoula, Montana, and the flyer is a cocktail napkin with \"Swingin' Utters and AFI\" written on it, pinned to a corkboard.\n\n**Andy Asp:** A tour that normally would've lasted 25 days might stretch to 45 days. Because you had days off, the booking was sloppy. The kid's dad pulled the little garage show. It was definitely spotty.\n\n**Fat Mike:** We siphoned gas, sold acid to pay the bills.\n\n**Mike K:** You have these weird fantasies of the road trip, and then, like, okay, I think our next show is in Florida. Then we're going to have a show in Chicago. And we're broken down in a desert and it's 115 degrees at ten in the morning. And Bill is getting heatstroke because he slept in his truck, and now he's throwing up. And all we have to eat is olive oil and falafel balls.\n\n**Dallas Denery:** It is the most boring thing in the world, except for two hours every other day. It's real obvious why entertainers end up being drunks. It's just tedious.\n\n**Greg Valencia:** I slept between the rug and the equipment. For three months. I still, to this day, sleep like this.\n\n**Richard the Roadie:** Most roadies then were just fucking slackers. A lot of them would just go along as your loser friend that wouldn't leave the living room. I've roadied with probably between 25 and 35 different bands. There's some bands like Citizen Fish, I've done like 17 tours with them. I liked crowds up to about a thousand people. After that it really goes into this other world. If you're a musician, it's everything you wanted. But it gets kinda boring if you're not a musician.\n\n**Janelle Hessig:** When Richard first started hanging out and lived in Sacramento, he was pretty quiet and sweet. Then all of a sudden he started being \"Richard the Roadie\" and started hanging out more.\n\n**Richard the Roadie:** I got into a mechanic trade school and realized there was this amazing opportunity. Nobody knew shit about cars. Then I got this job at Vantastic, this hoopty-ass van service that transported disabled people, run by this woman Vicky. She had 17 punks working for her. It was pretty fucking amazing. Jesse, Jake, Joey, everybody had a job there. And she paid so little that punks would work for her and that's about it.\n\nSo for five years, if you were disabled or needed transport with a lift van, there was a punk showing up at your door. But you'd go to a show somewhere, and you'd see a Vantastic van. That's how the band got there. Somebody once got caught in Pinole stealing building materials, and he was dressed up in this white party dress, drunk, in a company van.\n\n**A. C. Thompson:** Richard the Roadie was an amazing, amazing guy. He didn't take his boots off for a year. He was on tour with Paxston and they all had scabies. He apparently hadn't been afflicted, but his feet were kind of hurting and so, after a year of sleeping in his boots, he took them off at the hospital. His feet had grown into his socks\u2014they were fusing in an unholy alliance\u2014and the medical personnel said, \"Wow, it's really good that you came in today because you're about to get gangrene.\"\n\n**Richard the Roadie:** The problem was, my feet smelled so bad I couldn't take my shoes off. 'Cause any time I did, it would make people sick. I've made people throw up. I went to Europe with Avail. We were in a van. I farted, and made the bass player throw up, which was so awesome. Then I changed shirts and left my shirt in the van. He went in the van after a show, thought it was his shirt, wiped his face with it. It smelled so bad that he actually threw up again.\n\nI never thought I was crusty. I just never showered. We had a tour with Paxston Quiggley and the first or second night I got drunk and peed myself. I wore those same shorts for the six-week tour. I didn't really think about it. I had an Asbestos Death shirt I wore the entire time. This was a summer tour, hot as shit. Which is probably why I never had a girlfriend for years and years and years.\n\n**Janelle Hessig:** Richard moved into this abandoned house I had lived in. The landlord eventually came and shut it down. So when Richard was leaving, he booby-trapped the door with a bucket of rancid piss. One of those big-ass plastic buckets.\n\nOne night I had a date and I didn't want to take my date back to where I was staying. I was like, \"I know, let's go back to my old house!\" I was taking him on this little adventure. So I took him to the house. I knew that something was amiss because there was a little door in the fence, and it was nailed shut. I wrenched it open and we went in.\n\nYou had to go through a trap door to get into the actual house. It was dark in there and you couldn't actually see. I climbed up the plank and was at the top of the trap door, and it was stuck. I was like, great, they nailed this shut, too? I pushed and pushed and gave it one great big shove and it gave. And it somehow went behind me, and tipped over and my date was standing below me. You could hear the sound. Gallons and gallons. Everything was quiet as the last trickles were coming down. He was like, \"I hate you.\" It was the worst date ever.\n**46**\n\n**Runnin' Riot**\n\n**Richard the Roadie:** When I was 16 or 17, I started to hang out with metalheads in Sacramento. They were speed freaks. I just went through this string of crazy houses. Always doing speed, speed, speed, speed, speed. You couldn't tell, 'cause it didn't make me social. It didn't make me wanna have sex. It made me not eat and pick up bugs.\n\nI was buying from these bikers who couldn't even get colors. And they didn't even have motorcycles. They were just fucking losers out in this abandoned mobile home. There was some huge Air Force base out there. The cooks were right up in the hills.\n\nIt got to this point where we were all getting followed. There was a gunfight at the trailer. The guy I was buying from, he and his dealer went down. The writing was on the wall. I was in a house where everybody was slamming. I was having nosebleeds, throwing up blood, struggling to get sober. I didn't know anything. My best friend Paul had a room on Capp Street. I went up to visit and spent ten days reading with the window open. That was it. I decided to move to a new city and reinvent myself.\n\nAt that point I was reading _Maximum_ religiously, going to Gilman. And really saw that I might be able to be a participant. I was helping with shows. So right before I moved, I did a show in Sacramento.\n\nRented a hall, did everything I was supposed to. Rented a P.A. from a hippie. He never showed up, so we used a bass amp. Typical thing, never trust a hippie. It was my first show. Mostly East Bay bands. And it ended up in a mini-riot.\n\nAl Sobrante basically gave me everybody's number. The show set itself up, except for the weird crappy industrial band who drove everybody away. That of course I did. It was an amazing show. Green Day, Samiam, Econochrist, Corrupted Morals. I paid 'em all 20 bucks. Probably 120 people showed up, 70 or 80 from the East Bay. The East Bay sort of invaded Sacramento.\n\n**Sham Saenz:** Me and Ron Nichols from Christ on Parade met Econochrist at Your Place Too, this blues bar that had 25-cent beers and let anybody in. There was some punks sitting there, and we just walked up to them and said, \"Hey, what are you doing here?\" \"Oh, we're from Arkansas.\" \"Oh cool, you want a beer?\"\n\nWe ended up driving in their van to Sacramento, ten people laying on the top of amps. Everybody was laughing and drinking in the back. We get there, and the guys from Green Day were already loading their equipment in. They had this nice VW bus.\n\n**James Washburn:** Econochrist, Green Day, Filth, Anger Means\u2014a lot of good bands.\n\n**Richard the Roadie:** Skinheads showed up. There was only like five or six or seven of them. But from what I remember they were huge, just absolute monsters.\n\n**Sham Saenz:** They were some trippy skinheads to me because these motherfuckers wore overalls. I had never seen this before. Like, are they skinheads or just rednecks?\n\n**Richard the Roadie:** In Sacramento I never peed at a show. 'Cause you went in the bathroom and you didn't know what's gonna happen. The small scrappy guy would just start fucking with you, and then there's like eight on you. You'd go to the parking lot, there was a row of skinheads just knocking people down.\n\nSo these guys came to our show. In my head, these guys were like eight feet tall with swastikas on their foreheads. They stood onstage and fucked with the bands. They just had the run of the show.\n\n**Sergie Loobkoff:** Basically everyone wanted the show to get over, so everyone wouldn't get their ass kicked. Green Day and Samiam switched off, we played two songs, and they played two songs.\n\n**James Washburn:** The skins, in a classic skinhead maneuver, went the wrong way in the pit, swingin' their fists. Most people didn't want to start a fight over that.\n\n**Ben Sizemore:** A Nazi skinhead from Sacramento, Iron Mike Ortiz, had stabbed a ska guy and killed him, and went to prison. We knew that had happened. So there was some real fear.\n\n**Billie Joe Armstrong:** We didn't know if they were good skinheads or bad skinheads\u2014Nazi or SHARP. But in the middle of the second song, I saw Lenny push this guy. The thing about Lenny was, sure, he was in this artistic punk rock scene, but Lenny's from El Sobrante. You can take the kid outta El Sob but you can't take El Sob outta the kid. They started pushing each other, and I remember him screaming, \"Come on!\"\n\n**Ben Sizemore:** One of them punched Lenny from Filth, and then it was on.\n\n**James Washburn:** The lights came on and within seconds it turned into a huge fucking brawl. Everybody was just swingin'. It was like holy shit, every single skinhead was fighting one or two punks. There was not even 10 or 15 feet in between fights that had nothing to do with each other. I'd never seen anything like that before.\n\n**Sergie Loobkoff:** They were really tough, mean skinheads, and most of us were nerdy guys, never-been-in-fights type of guys.\n\n**Martin Brohm:** It was typical Sacramento. The reason they came is 'cause it was a bunch of Gilman bands. Goofy, faggy bands, going up there to play.\n\n**James Washburn:** Mike Dirnt punched a skinhead with everything he had, every ounce of his being, every bit of his body weight, and the guy just shook it off like it was a bug. I think Mike thought he was gonna fuckin' die.\n\n**Richard the Roadie:** It just totally escalated. Ben from Econochrist was fighting one of 'em. Todd from Spitboy was trying to hit somebody over the head with a 40.\n\n**Martin Brohm:** It was a war zone. I remember seeing a knife come in. Some guy picked up one of those metal pamphlet things, and slammed some guy in the head with it.\n\n**Ben Sizemore:** We were throwing chairs and stuff.\n\n**Billie Joe Armstrong:** I was standing there like a deer caught in the headlights, and these two girls came up to me in the middle of the mayhem and asked, \"Do you have any records for sale?\" Like, are you kidding me?\n\n**James Washburn:** Everybody was going full blast. The punks were like, \"Skinheads out! Skinheads out!\" We got 'em through into this lobby, and there was the front door after the lobby. Everybody was yellin' back and forth, and once we got to the front door, they stopped. I was like, \"Fuck this, they are goin' out the door!\" and I just started pushing my way through people, and there was a big skinhead, staring me right in the face. I reached back to punch him and saw out of my peripheral vision another skinhead, his arm cocked back to punch me. So I kept my eyes focused on the biggest skinhead, crossed my punch sideways and hit the other guy, knocked him out. That got the attention of the skinhead I'd locked eyes on. That made him stutter for a second, so then I just started whaling on him.\n\n**Billie Joe Armstrong:** James Washburn threw one guy to the ground, turned around, punched another guy in the face, turned around again and threw a chair over this one guy's head. It was like a scene out of a Chuck Norris movie. James Washburn fighting all these skinheads single-handedly. This was one of our guys from Pinole.\n\n**Aaron Cometbus:** You've got to give credit where credit is due. It was Econochrist that made the difference. Those guys knew how to fight! A well-oiled machine. Tighter offstage brawling than they'd been onstage playing.\n\n**James Washburn:** Eggplant threw a garbage can and hit a skinhead girl in the face and knocked her out. We got 'em out the front door, and then they took off. We knew they weren't gonna take a beating and just leave. They were gonna fuckin' come back.\n\n**Ben Sizemore:** And then we're like, \"Let's get out of town, this is their town.\" So we all packed our shit up and tried to get out of there as quick as possible.\n\n**Billie Joe Armstrong:** When the cops showed up, we said, \"You have to stay because these guys are gonna come back again.\" And the cops were like, \"Well, you all look fine.\" And they left us there. Richard the Roadie: We started breaking the show down, everybody was loading out. I was talking to somebody, and I saw these little things, like way out in the field, coming towards us.\n\n**Billie Joe Armstrong:** Everybody had left, but for some reason we were lagging, loading out our equipment. So it was just us and a car of people from Pinole.\n\n**James Washburn:** John Kiffmeyer was going super slow loadin' his shit. Like, \"Dude, c'mon, they're gonna come back!\" We heard this _clump clump clump clump!_ The sound of boots. We looked over and probably 15 skinheads were running down the street with chains, bats, knives, everything.\n\n**Billie Joe Armstrong:** Oh fuck, it was one of the scariest things I've seen. These guys were monster big.\n\n**James Washburn:** I remember Mike just yelling \"Run!\" and I started running. Man, I musta been outta shape or something because I was running as fast as I could, full adrenaline pumping, and Mike Dirnt was running in front of me. By the time I was out of breath and couldn't run anymore, he was out of sight. I have never seen him move that fast in my entire life. Mike was running so fast because he heard _my_ boots and he thought I was the skinhead. He was fuckin' gone. I ran up onto somebody's porch.\n\n**Richard the Roadie:** We locked the hall down. Billie Joe got stuck outside. One of 'em got inside Al's Volkswagen van and took the keys. The skinhead got in the van with a knife, and I remember seeing Billie jump out the side window, like he got shot out of a cannon.\n\n**Billie Joe Armstrong:** I got into the driver's side and one of these guys was grabbing my shirt through the passenger's side. I thought I was gonna die so I dove out of the window, and he ripped my shirt right off my back.\n\n**Sergie Loobkoff:** He opened his driver's door to get in the car, and then opened the passenger door, and he ran through his car. And the other guy was chasing him through his car. It was like this cartoon.\n\n**Billie Joe Armstrong:** I just started running, and I could see silhouettes of all these punk rock kids running as fast as they could. The skinheads slashed our tires.\n\n**Martin Brohm:** Some girl got beat the fuck down. Like five-on-one kind of thing.\n\n**Richard the Roadie:** This woman Sophie, who knew some of 'em, just got the shit beat out of her with a baseball bat.\n\n**James Washburn:** After things had calmed down and we went back, every single window was smashed out of Joey Perales' station wagon. Joey had to drive home very cold.\n\n**Billie Joe Armstrong:** Coming home, I think there was some sort of solidarity that came out of that. The scene had been a little disconnected, but everybody knew each other a little better after that, and became a little bit tighter.\n**47**\n\n**Outpunk**\n\n**Jello Biafra:** In the very early Mabuhay scene, many people were openly gay and it wasn't a big deal. Theater was part of what you did. You weren't supposed to cop a rock star attitude, but when you were onstage you better be a fucking star. And offstage you were just a regular person in the community like everybody else. That was the way it worked.\n\nWhen punk morphed into hardcore, and _MRR_ got really doctrinaire and Gilman Street became very anti-rock star, people became more strict about what music they wanted and how they wanted people to look. It took away some of the flash. People were less likely to be outrageous for the sake of being outrageous. Theater kinda got stamped out.\n\n**Matt Wobensmith:** AIDS took its toll, and a lot of people were dying, and it really affected the San Francisco artistic landscape. But there were still little pockets of stuff going on. One of the things that was interesting in San Francisco was actually right down the street from my apartment.\n\nI had just turned 19 and I couldn't go to bars. The only place that would let me in was this place called the Crystal Pistol. It was called Klubstitute, and it was the home for this drag-punk-weird art-performance-literary-cabaret spoken-word thing, run by the Popstitutes. Diet Popstitute, Reemix Popstitute, the whole bunch. It was a freak show. I could watch weird performance art and see a punk band. All kinds of drag, just crazy shit.\n\n**Jello Biafra:** In a way _Homocore_ and Diet Popstitute and Klubstitute helped rebuild some of that sense of fun that had been missing from punk and hardcore. It even challenged a newer generation's attitudes towards different sexual orientations and practices. Shawn Ford: Tom Jennings started up _Homocore_ towards the end of my time at the first Shred of Dignity warehouse.\n\n**Richard the Roadie:** Tom was a punk and he was gay, but at that point those worlds didn't really intersect.\n\n**Matt Wobensmith:** _Homocore_ was one of the original big gay punk zines from the late '80s.\n\n**Tom Jennings:** I was the editor, along with Deke Motif Nihilson, from 1988 to 1991. We kinda messed with a queer\/punk hybrid thing, based upon anarchist principles, discordian silliness, distaste for de facto separatist gay culture, and a burning desire to get laid. We also put on a bunch of _Homocore_ shows. It was sort of a big deal for awhile, now no one remembers it.\n\n**Shawn Ford:** Tom got really involved with the Radical Faeries movement, and a lot of Faeries started coming through the warehouse. With the Radical Faeries and _Homocore_ , the gay punk identity became a lot more solid and recognizable as a distinct part of the punk community.\n\n**Ian MacKaye:** Fugazi did a lot of shows with _Homocore_. These people were deeply creative, deeply visionary.\n\n**Tom Jennings:** We used the \"stone soup\" method of organizing events. We worked with absolutely minimal tools and components, silkscreening T-shirts with cardboard stencils and spray paint. We have the honor of having the last actual punk show at the original Deaf Club.\n\n**Lynn Breedlove:** The whole thing about San Francisco\u2014with there being dykes and fags in punk\u2014is we all felt this void. We'd go to straight punk shows and we'd be the only queers there. All of the other queers would be down at Amelia's having just finished playin' softball, rockin' out to \"Push it! Push it real good!\" We'd be listening to KALX on the way to the bars, and then we'd have to listen to disco to hang out with other queers. It was terrible. Matt Wobensmith is a big fag and he's a punk. He's all tatted up. He felt that alienation.\n\n**Matt Wobensmith:** In 1991 I started working for _Maximum RocknRoll_ . I was also helping with the last issue of _Homocore_. And I met this crazy punker kid named Jux at Gilman. Bisexual, according to him. Really fun-loving and filled with grand ideas. I made a fast friend.\n\nAt the time, there were all these dudes moshing at shows, this little macho thing going on. So Jux and I came up with this idea to subvert it by square-dancing in the pit. Or by doing ballet, or interpretive dance, or same-sex dancing. We would do that at Gilman.\n\nIf someone got really really aggro and violent, we would go hug them. We called ourselves the Huggy Crew for awhile. It wasn't just us, lots of people started doing it. Then one time, when Jux and I were dancing or doing something really silly, this kid ran out of the pit screaming, \"There's a faggot in the pit! There's a faggot in the pit!\" We thought that was the funniest thing, so we made a record about it.\n\n_There's a Faggot in the Pit_ was an exploration of gender roles in punk. Most of the bands on it were not gay bands, but they were supportive East Bay bands. That spawned me doing gay punk records with Outpunk, from 1992 onwards.\n\n**Tom Jennings:** _There's a Faggot in the Pit_ was the first local queer punk 7-inch I remember seeing in San Fran.\n\n**Matt Wobensmith:** Outpunk put out 15 or so records, and seven issues of a zine. The first Outpunk record I did was _There's a Dyke in the Pit_ , 'cause I figured we ought to have a companion record.\n\nI did a queer issue of _Maximum_ in early '92. Tim let me be a guest editor. I did this whole thing with articles on Tribe 8 and Pansy Division, etc., etc. And the _Maximum RocknRoll_ -Epicenter world were very supportive of me doing my label and doing gay punk stuff. As I got older and a little bit more evolved, I got hugely into the riot grrl movement that was happening in the early '90s. Bikini Kill was a fucking life-changing event for me.\n\n**Davey Havok:** The whole riot grrl movement was the Rosie the Riveter version of punk rock. It's something a lot of people don't know about. If you weren't there to see it, it kind of disappeared. But people talked about it a lot back then. I remember being frightened to go to Bikini Kill shows as a young, small, frail boy. 'Cause the girls were scary. Kathleen Hannah saying, \"You boys, get the fuck back! This isn't for you.\" The Bay Area scene was very pro-female and anti-misogynistic. They went very far left in that scene.\n\n**Dave Dictor:** It was really the natural flow of things. You know, 75 different scenes came out of the punk hardcore scene\u2014everything from dykecore and homocore to eventually riot grrl and everything that came out of that.\n\n**Matt Wobensmith:** I noticed that Tim and _MRR_ was really bristling under this whole new wave of feminism. They weren't covering it. I started writing a little bit about it in my fanzine. I challenged the machinations of the punk scene. In some cases, I was just trying to unearth the hidden history of homosexuality in punk and hardcore. You find out about Gary Floyd from the Dicks, and Biscuit from the Big Boys, and Karen Allman from the Arizona band Conflict. Little factoids here and there. It seems inconsequential, but it was a big deal when you found out that the lyrics were gay.\n\n**Gary Floyd:** I got interviewed one time by this big gay journalist and he said, \"You're openly gay but your songs are not openly gay.\" My songs are gender-free. Why would I let anyone dictate my art?\n\n**Matt Wobensmith:** There was a lot of animosity because I was young, bushy-tailed and occasionally naive. Which worked to my benefit sometimes, but you're dealing with a lot of people who are jaded and older and who want to kill your enthusiasm. So I got a reputation of being somebody who was too PC and humorless. But I felt Tim was trying to control the punk scene. I believed in what I wrote and I stood by it. There were a lot of hard things that needed to be said. Tim was spotted at Epicenter hiding my magazines behind the racks so no one could find them.\n\nWhen riot grrl started getting media press, so did queer punk. I was often asked by reporters, \"Can you send us pictures of gay punk clubs and gay punk mosh pits?\" I explained, \"You don't really understand. _Outpunk_ is literally just me sitting at home listening to a record, writing a zine, and putting it in the mail.\"\n\n**Michael Hoffman:** My first Gilman show was Friday, March 25th, 1994. It was Tribe 8, Pansy Division, Mukiliteo Fairies from Olympia. It was an Outpunk Records showcase, all queer bands. It was really amazing. And at the end of the show the lead singer of Tribe 8 pulled out her bloody tampon and flung it into the crowd. I was 13. That was the most incredible thing I'd ever seen.\n\n**Lynn Breedlove:** I like to skeev people out and make 'em twitchy, so I just whipped it out and kind of twirled it around my head a couple of times and _whip!_ It did seem to me like it skipped over people's heads\u2014 _thwp, thwp, thwp_ \u2014like a stone skippin' on the beach. It was a good solid tampon, though, probably o.b. It wasn't going to splash around.\n\n**Gary Floyd:** I really, really loved Tribe 8.\n\n**Lynn Breedlove:** I was in San Leandro, the most racist town in California, and I knew that I was queer from the moment I fell in love with my kindergarten teacher. As I became a teenager, my pals used to pick me up in their pickup truck and take me to Clover-dale. At the time, I was still listening to Fleetwood Mac and Journey and all that crap. As soon as I opened the door, they'd crank Black Flag and I'd be like, \"Turn that shit down!\"\n\nThen I got totally addicted. It was hilarious! \"Six Pack,\" \"T.V. Party,\" \"Gimme Gimme Gimme\" . . . Oh my god! Funny funny funny. Those guys were like stand-up comics set to music and it was all about getting rage out, which\u2014guess what?\u2014I had a lot of, being a queer.\n\nIn the '80s I mostly hung out in San Francisco and went to a lot of straight punk shows. I went to see Tragic Mulatto a lot 'cause they had a dyke drummer. I was like, \"Ooh! There's a dyke, there's a dyke! Oh my god!\"\n\nIn the meantime, I was at home goin' to Cal State Hayward and running around the house, fuckin' yelling into a beer can to Black Flag CDs, doing the punk rock face. I really wanted to be Henry Rollins, but that was a boy thing, a straight-guy thing.\n\nAfter I got clean and sober, somehow the ten years of speed rage and the Henry Rollins and the fact I actually heard some lesbionic folk songs, where they used the female pronoun\u2014all that came together. I thought, I can do this! Alright, punk rock love songs about sex. I'll channel Henry and Jim Morrison and Patti Smith, I'll get all of my pals to come and throw panties. We'll do this our way. Tribe 8 was the first all-dyke punk band that was singin' about being dykes. There were bands that had dykes in them, but they were singin' \"you\" instead of \"she.\" And that's just cheatin'.\n\nTribe 8. Tribade was the original word for lesbians back in the turn of the century. A tribade practices tribadism\u2014tribbin', flat crackers, rubbin' your flat parts together. Flat Crackers\u2014that should've been our name.\n\nMatt Wobensmith saw us playing at Klubstitute with Diet Popstitute's band. Outpunk put out our first record, us and Pansy Division.\n\n**Jon Ginoli:** I started playing under the name Pansy Division by myself, just me and my guitar in '91. I got a few go-go dancers to dance behind me at Klubstitute. Tribe 8, it was their second show. I remember thinking, \"Wow! They've got a whole band! And they're all dykes! Man, this is great!\" I loved it. I thought, \"I wanna do this with guys!\" Seeing them, actually, made me want to go out and get a whole band.\n\n**Lynn Breedlove:** We meshed the two cultures for the first time. There were no gay bands going, \"We're fags! We're dykes!\" There was only us and Pansy Division. Matt put a lot of energy into publicizing us. He was super organized. He got the _Advocate_ to come do a photo shoot with me and Gary Floyd and some other guy that was in a hot queer band. Then Jello gave me a blow job onstage at Klubstitute, proving his dedication.\n\n**Jello Biafra:** I didn't realize how dirt covered it was until it was already in my mouth. Where did they store this thing, the Humane Society?\n\n**Wendy-O Matik:** I went to my first Tribe 8 show at Klub Kommotion in San Francisco. Most women at the show took off their shirts. Lynn Breedlove put on a cop outfit and pulled her cock out and got a gay guy to suck her cock, then eventually castrated herself and flung the cock out into the audience. We all went crazy. It totally changed my life.\n\n**Lynn Breedlove:** Good Vibrations donated some dicks to us. They have a rejects box 'cause if you order a rubber dick, and you're in Idaho, and then the dick comes and you're like, \"Ooh, that has too many veins, it's too realistic, I wanted the Porpoise,\" you send it back. The law is that you can't sell a rubber dick that has already been sold, because god knows where they put that thing. Mere soap and water will never get that cunt juice off.\n\nSo I'd just go to Good Vibes and grab a box. I like 'em big and realistic. Because it has to hurt the rapist out there in the crowd watching. When he sees the knife going through the dick, he has to feel it in his own dick. That's my idea of aversion therapy.\n\nI kept needing to amp it up. Everybody had seen a rubber dick, everybody had seen the blow jobs. The knife was big. Then it got bigger\u2014like 13 inches long with jagged edges. Now what? I got a chain saw.\n\nDuring all this, I started Lickety Split. It was the first and only all-girl bike messenger company in America. Babes would call from all over the world, and say, \"I'm comin' to San Francisco and I need a job. Can I work at Lickety?\" We had about 100 women working for us over the ten-year period.\n\n**Kegger:** I grew up down in L.A., where the SST boys ruled the scene, always talking shit about women. I had gone to all these hardcore shows in L.A. but it was all dudes. I was so stoked when I got here. I had never seen chicks going crazy.\n\n**Bucky Sinister:** Kegger was in the Hags. Oh man, the Hags were fuckin' scary, man. Jesus Christ. At the time, S.F. butch was flannel shirts and the Indigo Girls, right? The Hags were these crazy metal punk girls and they were all gacked out of their mind with speed. They rode dirt bikes and skateboards.\n\n**Matt Wobensmith:** Basically a bunch of tattooed, rough, hard-living San Francisco fucking rock 'n' roll dykes. I loved the idea that there were roving girl gangs.\n\n**Kegger:** Hags SF were a sisterhood of crazy rocker dykes that weren't going to back down to dudes who gave us shit. There was Stacy Quijas, Car Crash, Mona, Head Hopper, Julian, Fiver, Alice B. Brave (I think she was a Hag), Becky Slane, Boomer and Joan of Anarchy\u2014she was crazy. That was my crew. Wendy-O Matik and Noah from Neurosis were our buddies so we'd go to their house in the East Bay.\n\nWe had vests and we spray-painted \"Hags SF\" on everything. We'd go to Oakland and we'd say, \"We've come to fuck your women and drink your beer!\" We were just obnoxious fuckers. I guess we were trying to outcore everyone. We just fought everywhere. We'd fight on buses.\n\n**Bucky Sinister:** The Hags all went out with strippers, these beautiful high femme girls. You would see them hanging out at the Market Street Cinema and some of the nastier strip clubs in the Tenderloin, waiting to pick up their girlfriend after work. They all packed dildos in their pants, visible like in Spinal Tap. The strap-on was still a little taboo at the time\u2014it was before the whole tranny-boy scene. And they would pop up their skateboard and hit you in the face with it.\n\nOne night, I was in the Lower Haight and I was on acid, and I start hearing skateboard sounds outside my window. And these nasty, nasty conversations\u2014like Redd Foxx nasty\u2014about some girl they both fucked. I looked outside and it was a couple of the Hags. They were saying the basest things I had ever heard. It was really frightening on acid.\n\n**Lynn Breedlove:** Feminism in San Francisco has always been like 15 years ahead of everybody else.\n\nI actually wrote a song called \"Menstrual Revolutionary\" which never made it onto a recording, thank god, because it was ridiculous. We had friends who would just wear their bleeding pants. Just skanky, you know, the same pants every month.\n\n**Jibz Cameron:** I thought Lynn was gross. I didn't have any reference for what was going on. I was just like, \"That gross lesbian, eew!\" I have this weird thing with feminism. It felt like hippieism to me. It was whiny and dorky. I didn't buy it.\n\n**Wendy-O Matik:** Lynn didn't take any shit. If someone was fucking shit up, she'd stop the song, grab the fucking guy by the neck, and toss him outside. You felt really protected.\n\n**Lynn Breedlove:** After awhile people would say, \"My boyfriend's scared to come, everybody says that boys'll get killed.\" So then, there were no more boys at the Tribe 8 shows, and the only mixed shows were at Gilman. Tribe 8 shows were always packed, like 500 people.\n\nSo what's the point of this whole story? Oh yeah, Miranda July got her start at Gilman and so did Green Day. And they're millionaires, billionaires. They're huge! They're gonna be president. And Rancid, they got their start at Gilman, too, and they're on the radio. What happened to me? Why am I not president? Everyone keeps sayin', \"It's 'cause you're a dyke and you're a dick-chopper and people don't want a dyke dick-chopper for president.\" If I had it all to do over again, I would've just sang sappy love songs in a major key.\n\n**Jon Ginoli:** The first time Pansy Division played as a full band was at Klubstitute. We were nervous. It's not that we were a gay band, but the fact that we were really in your face about it. We thought, this is gonna piss people off! If we form a band like this, we are just going to be _hated_.\n\n**Jesse Luscious:** They are probably some of the most fearless people I know. \"He Whipped My Ass in Tennis (Then I Fucked His Ass in Bed)\"\u2014incredible song.\n\n**Jon Ginoli:** There's our song \"Curvature\" about curved dicks. There was \"The Cocksucker Club\" about somebody trying to figure out his sexuality. Our most popular song is called \"Bunnies,\" which describes the early part of a relationship, where you just fuck like bunnies.\n\nAt the time, there was a shitty, sludgy, non-melodic style of S.F. punk at the Chatterbox and later the Chameleon. Bands were sort of like biker punk and I just thought, god, this music is just so fucking stupid. That's what people like around here? I had never gone to Gilman Street before we played there. I'd never heard of Operation Ivy and Green Day and Isocracy and Blatz.\n\n**Matt Wobensmith:** Jon came by Epicenter with a demo and I thought it was okay. It had promise. Jon was a little bit older than I was, coming at it from a different angle, but I saw the whole thing as connected. I definitely saw a place for Pansy Division and I was really shocked when Larry Livermore signed them. That was really ballsy for Larry to take that chance.\n\n**Jon Ginoli:** The \"Homo Christmas\" single came out in November. We identified with the pop punk sound, the more melodic stuff. Suddenly it seemed like we were in the right place at the right time. After we'd finally gotten a record deal set up, we played at Gilman. And lo and behold, we were opening for Tribe 8 and Bikini Kill.\n\nWhat was sad about the night was that even in enlightened Berkeley, enlightened Bay Area, the sexist shit from the crowd, the catcalls\u2014it was so stupid. If you were writing a movie about this and you wrote down that dialogue, it would seem unbelievable. I could imagine this back in the Midwest, but I thought people would be smarter here.\n\nBy the middle of '93, our record was coming out and we did a three-week tour around the country. People came out of the woodwork. The audiences were a lot more straight than gay. This has been true generally\u2014we play a style of music that most gay people don't care about. But we made money, everything went really well.\n\nI was on my way to Lookout! on BART and I ran into Chris Applegren. We were changing trains at MacArthur station, and there was Tr\u00e9 from Green Day. Chris introduced us. We got on our train and Chris said that Green Day liked our album. I was like, \"Wow, I'd love to open for them.\" So he gave me Tr\u00e9's phone number. When I called, Tr\u00e9 was watching TV and he didn't sound very interested in talking. He just said, \"So, you guys have a van?\" I said yeah, and he said, \"Oh, alright. Well, I'll let you go.\" I thought, that was a pretty offhand dismissal.\n\nThen six weeks later, he called me up and said, \"We're doing a tour this summer for about a month. Do you want to come open for us?\" We were like, \"Yeeeeeeaaaaw!\"\n\nI talked to Green Day about it. I said, \"We're really glad you picked us. But what were you thinking?\" And they said, \"We've got all these mainstream fans all of a sudden, and we really want to do something to show that we're not just your average, typical mainstream band.\"\n\n**Jason Beebout:** They could have done anything, and they were like, \"Okay, fuck it\u2014let's go on tour with a gay band.\"\n\n**Matt Wobensmith:** I got to be a roadie for parts of that. Pansy Division, the most obnoxiously gay band in the world. Not only was it a great strategic move, and it was great for Pansy Division, I think it helped sort of insulate them a little bit. Maybe helped their psyche.\n\n**Billie Joe Armstrong:** We wanted to bring a band that was a good band but had some shock value to it, that was for real. It wasn't necessarily Marilyn Manson being spooky or something like that. We thought of it as being sort of educational. It was like, yeah, this is something that we come from. This is a place where there's that freedom and that open-mindedness.\n\nIt was great. I remember one show, people were sitting there and watching them play, kids would just be rocking out, not really understanding, and then slowly they would be, \"What's going on?\" And then Chris came out on the microphone and said, \"Has anybody figured out we're a bunch of fags yet?\"\n\n**Jon Ginoli:** The first show, in Calgary, Alberta, was actually one of the worst. There were people flipping off Chris, who's more flamboyant than I am, and throwing stuff at him.\n\nGreen Day's manager called us about a month later and said, \"Look, they're going to play arenas. And they want you to open for them.\" We were just like, \"Oh my god!\" We started our band with really modest ambitions. We never thought it was going to go over with a general audience.\n\nSan Diego Sports Arena with 11,000 people. I'll never forget that. It was just so disorienting 'cause we're used to playing to 100 people. I was stuck at the microphone singing. I really wanted to be floating in the air above it, just looking around and taking it all in. Groups of people yelling at us and flipping us off and throwing drinks at us. People moshing and cheering.\n\nI had the most conversations with Tr\u00e9. So before the show I asked him, \"Are you nervous?\" and he said, \"Fuck, yeah!\" That might have been the last time Tr\u00e9 Cool was nervous about anything.\n\nHomosapiens: Pansy Division 7\" 1993\n\n**Billie Joe Armstrong:** We were playing a show in Madison Square Garden, and we found out that Bon Jovi was playing. And we were like, \"No way, we're not playing the show. Not with Bon Jovi. We're not gonna do it.\" They were like, \"Come on, you guys gotta do it. You guys gotta do it.\" It was funny 'cause Weezer and Hole were playing on that gig, too, and they decided not to play. Then Courtney told the people, \"If Green Day plays, we'll play.\" And then Weezer was like, \"Well, if they play, then we'll play.\" And we said, \"Well, if Pansy Division plays, we'll play.\" So we got Pansy Division to play with us, at Madison Square Garden. In front of this almost prestigious kind of crowd, 12,000, 15,000 people, Jon singing \"Cocksucker Club.\" Okay, now that's cool. 001-496_PGI_Gimme.indd 418 7\/28\/09 11:37:34 AM\n\n**Ray Farrell:** Maybe parents wouldn't understand it, but then Pansy Division becomes something that these kids could relate to. They may not come out of it convinced that they should be gay, but you have to really appreciate the humor that band had, in the way they did it.\n\n**Jon Ginoli:** Our songs are kind of cute. We were just not punk enough for a number of people at _Maximum RocknRoll_ , but our songs are never about conquest. They were all about mutual desire. It's not like, I'm going to do this to you, I'm gonna give it to you, baby. It's like, you're hot, we're going to do this together.\n\nKids get so much anti-gay propaganda and so much anti-gay peer pressure. Here is a gay band in your midst, being as blunt and outspoken as possible. And people responded to that. So having access to the younger ears, we had to be as uncompromised as possible and do our thing and be honest and not condescending. If some parents were upset, well, whoop-de-do. We're countering propaganda just by being ourselves. And to me that's punk rock.\n**48**\n\n**My Boyfriend's a Pinhead**\n\n**Aaron Cometbus:** A bunch of us in Berkeley were professors' kids. Professors' kids who never went to college ourselves. A few of the professors were pretty high profile. Not mine, though. He taught economics at the crappy state school in Hayward. My mom was famous in her field, which was basketry and textile art. But it was a very small field.\n\nThe slightly older kids in my neighborhood started burning disco records in the schoolyard. I followed them into this wonderful new thing they had found, which was a somewhat confusing mix of Alice Cooper, Jimi Hendrix, Devo and the Dead Boys. Confusing but cool.\n\nOf that crew, one went down in punk history by getting his head split open by the Misfits. Another went on to play in bands, but nowadays his father is probably more well known in punk circles: Ronald Takaki, the Asian-American historian. It's pretty sad for a punk when your dad is more popular than your band. But this wasn't the only case of it happening.\n\n**Noah Landis:** Aaron was around when I was 12 and first finding punk. He had his greasy hair and his little journalist notebook. He would interview me about the band I had with the kid next door. This was before it was called _Cometbus_. He would make these things out of paper, like a 16th of a sheet of paper, and it was called _Still Too Small_. You'd flip through this little thing and it would have scene reports of bands and things that people were doing. It was annoying that it was so small. But he just found his path and kept at it.\n\n**Ben Sizemore:** Aaron played drums in Crimpshrine and was just a real character. Type of guy who knew every nook and cranny of the East Bay. Where to get coffee at three in the morning in East Oakland. Knew the good dumpsters to dive in, stuff like that.\n\n**Janelle Hessig:** Aaron was exactly the same as he is now. Maybe a little less disappointed or something back then. He was a big, Lurch-y guy and he smelled really bad.\n\n**Robert Eggplant:** Aaron used to be known for convincing people to go on adventures in the middle of shows and missing all the bands.\n\n**Ben Saari:** He was two or three years older than me, which when you're 15 is hugely older. He really looked out for me, showed me around, stuck up for me. I was the new kid from the suburbs, I didn't know fucking anything, I was an easy target. Aaron always made sure that I was invited to everything, and introduced me to the idea that I could do stuff on my own. I could book shows, I could be in a band, I could write. He was sort of an intellectual scholar, while a lot of people just wanted to get high.\n\n**Bucky Sinister:** He had this way of living when he was 18, and he hasn't changed his mind about it. He's still living now the way he lived then. He lives a very ascetic, minimal existence. He can move easily. He can go from one place to another. If you want your geographic freedom you can't have a lot of stuff. And I think that was always a motivating factor.\n\nIt's like, how much do you want to work for your stuff? So why don't you work less and do more? Aaron got a lot done. It's not like he was just a slacker, or a drug addict or whatever. That's why people would let him crash at their place, because he was providing, he was giving some kind of entertainment back. And chronicling a lot of it.\n\n**Ben Sizemore:** Aaron put out _Cometbus_ pretty religiously, since the early '80s or so. Great writer. He was always around selling zines.\n\n**Bucky Sinister:** It was very personal. As far as zines go, it was definitely autobiographical, but he'd reach out, he'd interview people.\n\n**Fat Mike:** _Cometbus_ was interesting\u2014all the tour diary stuff.\n\n**Bucky Sinister:** People wanted him to do signings and readings for _Cometbus_ , and he was like, \"No, never.\" He still has never done one. People wanted to put him on TV, interview him, all that kind of shit\u2014no. He won't do it. Doesn't want to. He sticks by it.\n\n**Anna Joy Springer:** Aaron was my friend, and I saw one of his _Cometbus_ zines and I was just like, \"Oh, so you have pictures of women in here, and then an article written by one woman, but everything else is written by guys. That seems really fucked up.\" He was just livid, and called me a bitch. But that was a moment when I was feeling like the scene had nothing to do with me. We actually became lovers later. And he now knows more about dyke and feminist literature than I do.\n\n**Bucky Sinister:** Almost every other zine at the time was about either politics or music. _Cometbus_ and _Absolutely Zippo_ weren't. They were about personal stuff. Stories, or traveling, or where to get the cheapest burrito, anything. It was like how to live your life, and people would get ideas from them. Now there's a bunch of that autobiographical kind of memoir punk shit, but those were the first two. Everybody goes back to them.\n\n**Aaron Cometbus:** I was living in a little warehouse on the waterfront. It was wonderful and cheap. Paul Curran and I each paid 50 bucks, and the bands that rehearsed there split the other 50.\n\n**Bill Schneider:** It was called the House of Toast. I was never quite clear on whether it was a practice space or Aaron's house. Aaron slept in a closet. He was the guy in the other room that we woke up at four in the afternoon, when we started playing music.\n\n**Mike K:** He just seemed like a serious, deep guy. The other people were more goofy. He was the weird grumpy older guy that we knew we were bugging.\n\n**Aaron Cometbus:** A couple guys from one of the bands, the Skin Flutes, suggested we play some music together.\n\n**Bill Schneider:** The Skin Flutes was our high school punk rock band in Walnut Creek. It was me, Mike Kirsch, some different drummers and Scott Meyer singing. Scott was very much the crazy guy of our group. He was six foot seven, blue hair, dressed completely out there.\n\n**Aaron Cometbus:** These guys were in like four bands each, rehearsing all day long, and yet at the end of the day they still wanted to do more, to try more. I liked that. And so, we played together all that spring, Bill, Mike and I. Without a band name, or any plan to take it further.\n\n**Bill Schneider:** After band practice, me and Mike would stay and hang out with Aaron. We started jammin' and writin' songs.\n\n**Aaron Cometbus:** Then I left on tour. I was Green Day's roadie on their first few tours. Late at night when the rest of the band was sleeping or partying or whatever, Billie and I started collaborating on songs.\n\n**Billie Joe Armstrong:** Those early tours were like Green Day- _Cometbus_ tours. You couldn't tell who was headlining. Was it Green Day supporting _Cometbus_ or was it _Cometbus_ supporting Green Day? Aaron always had a shitload of magazines to sell on the road. It was great.\n\nWe started writing songs together on a ferry, going from Victoria to Vancouver. I think I whined to him a lot about girls. Aaron had a very romantic vision of the world, and of the ethics and culture of punk rock. Punk rock is like a bible to him. There is deep, deep meaning to him that goes beyond waving the flag. Almost the spiritual aspect of punk rock. I learned a lot from Aaron. Those songs ended up being some of the songs we used for Pinhead Gunpowder.\n\n**Bill Schneider:** Aaron said, \"We should all play together.\" And that's how we started Pinhead.\n\n**Aaron Cometbus:** Organically, even accidentally. Which is why it was so annoying later when people called us a \"supergroup\" or thought of the band as something fabricated. It was just a matter of bringing together the natural elements that were already there.\n\n**Mike K:** Aaron had gone to Olympia, Arcata, he had moved to some different places. \"Pinhead Gunpowder\" was a bulk tea at the Arcata co-op.\n\n**Aaron Cometbus:** Pinhead was also a conscious effort on my part to cast my lot in with the younger kids, the second generation at Gilman. Already among the original Gilman folks there was a lot of cynicism. There were ambitious people just dying to use the scene as a stepping-stone. There were bloated alcoholics playing fake metal. There were people talking about how the old days were better. It was just like any scene anywhere, except that we had Blatz. We had this tremendous new wave of fresh energy that had arrived to kick our ass. Forming Pinhead Gunpowder was a way to take part in that. For me, it was really a matter of life or death. Do something new and exciting or get stuck with the dinosaurs. Besides, having a band that not only all went to shows but who all danced at shows was for me a dream come true.\n\n**Bill Schneider:** We did a couple 7-inches with Mike, and then he moved to the city and we didn't see him as much.\n\n**Mike K:** At some point, we played a benefit for war resisters. Everybody there was really into that old-style punk thing, spitting and throwing cigarettes. Nobody talked about what was happening in the world. It was this total apolitical event that just happened to have something positive attached to it. Meanwhile, people were getting killed.\n\nThe question became, is it important to maintain this image, this punk caricature that was created almost to be funny? Or are we going to deal with the facts that have allowed this horrible situation to unfold? I started getting more comfortable with the idea that it was okay to do different things. I didn't have to turn Gilman into my vision of what it should be. It was okay for me to go in a different direction and pursue the part of punk that I was interested in.\n\n**Bill Schneider:** I think that he told us he wanted to quit the band because Green Day was signing to a major label, or something stupid like that.\n\n**Mike K:** When the major-label feeding frenzy started, that drove a wedge between a lot of people. But even though Green Day was getting bigger, they hadn't really gotten to a level where it was really noticeably different. That wasn't the primary thing. It wasn't like, \"Oh my god, he's this fuckin' movie star and I don't want to be in a band with them.\"\n\n**Bill Schneider:** Mike was always way more political than the rest of us. He was tighter with the _Maximum RocknRoll_ people. So he quit Pinhead Gunpowder, and Jason started playing with us.\n\nTwo weeks after Jason joined Pinhead Gunpowder, we took my mom's station wagon on a two-week tour of the Northwest. Aaron gave us all scabies and I met my wife on that tour. That's the first thing I ever gave her.\n**49**\n\n**Shield Your Eyes**\n\n**Andy Asp:** I remember playing an afternoon show with Jawbreaker and this band Jolt at a warehouse somewhere in Oakland with four people there. It's amazing that Jawbreaker has had this wonderful afterlife, that people are still so appreciative. But I remember playing some shows with them where there was _nobody_ there.\n\n**Davey Havok:** There was the white-belt Spock rockers wearing their backpacks on the dance floor, just bobbing around. That crossed over into Jawbreaker, who were fantastic, combining a little bit of Oscar Wilde with some seriousness. And some great pop.\n\n**Adam Pfahler:** When we first had a really good Gilman show where we were the headlining band and packed it out, that was such a great feeling. It was so awesome. Because half the people there were either in other bands or people that were friends. That's a really exciting thing that happens when you're in a band. It's just a big party that happens to be in a venue.\n\n**A. C. Thompson:** Everyone loved Jawbreaker. Except that Blake couldn't sing, he had a terrible voice.\n\n**Bill Schneider:** It's funny, it took an L.A. band to move up and bring the East and West Bay together. Blake moved out to the East Bay and bridged the gap. I lived with him in a house on 41st.\n\n**Jason White:** Jawbreaker lived in the city but they were kind of an East Bay band.\n\n**Fat Mike:** Were Jawbreaker East Bay or West Bay? I was gonna name them as one really good band from San Francisco. But I guess they moved here, too.\n\n**Bucky Sinister:** They were like a prototypical emo band. What we now know as emo.\n\n**Adam Pfahler:** If you were in L.A. in the mid-'80s, some of those hardcore shows, there were a lot of meatheads and it was very guy energy, jock energy. So we were grateful that women were into our band. It was all by design. Something about the way Blake was writing words that appealed to women specifically. In the stories that he told, he wasn't objectifying women like in so many rock bands. It was more like he was just telling short stories where everyone's playing an equal part.\n\nPeople don't talk about it, but at a certain time in a band's life, if they get too popular or stick around too long, your friends stop coming to the shows, and you're playing to strangers. It gets a little bit weird. But we never did a tour in a bus. We were always just in our van.\n\nEconochrist, we met those guys on tour and did a good long chunk with Fifteen and Econochrist and Filth in the summer of 1990. Just the gnarliest, hottest summer, no air-conditioning in the van. Those bands were totally fucking insane. They would just walk right into your van and sit down and light an M-80 and walk away. Or you'd go back to your van and the inside would be covered in Filth graffiti.\n\n**Mike Filth:** I wasn't _that_ mean! It was probably Jake or our roadie. That's more likely.\n\n**Adam Pfahler:** The very first time we played in front of a lot of people was when we played with Nirvana.\n\n**Bill Schneider:** We were touring with four guys in a '78 Dodge van. Nirvana had ten buses, and our van was parked next to the ten buses at a loading dock.\n\n**Adam Pfahler:** We started the tour in Albuquerque. The place was filled up with a bunch of kids that wanted to see Nirvana. It was more people than I'd ever seen. It wasn't a rock star moment. It was one of those, \"Oh, Jesus Christ, what have we gotten ourselves into?\"\n\n**Bill Schneider:** They got a really good response. Then it was like, \"This huge band really likes our band. Maybe it won't be all bad. Maybe we should do this.\"\n\n**Adam Pfahler:** We were doing just fine on our little indie label, selling 30,000 records or whatever, and touring a good amount of the year. We were making a living. We didn't see any reason why we had to sign. And we were loudmouths about that.\n\n**Bill Schneider:** Jawbreaker resisted and resisted and resisted. They had a hard time with it. They had people beatin' down their doors to sign them because everybody was looking for the next East Bay thing.\n\n**Adam Pfahler:** We met Nirvana's A&R guy, and he started calling up. And then it was like, \"Oh shit. Okay, people are starting to call us. How do we do this?\" We didn't even know how it was done.\n\nSo we called Dave, who was then working for Cahn Management, who managed Green Day. We said, \"We're getting a lot of calls. How does this work? What do you do?\"\n\nWe went back and forth. We labored on it, and we knew that a lot of the kids that were on our side were gonna be pissed off if we did this. We knew that _Maximum RocknRoll_ was gonna come out fuckin' two barrels blazing. And well they should. 'Cause that was their thing. Politically, we knew that was gonna happen.\n\n**Billie Joe Armstrong:** Jawbreaker got it worse than we did. What happened to them was brutal. It was bullshit.\n\n**Adam Pfahler:** There was huge backlash. Because we were loudmouths. When we 180'd and changed our mind and jumped ship, we took a lot of shit for that. And that was the main story of our band. We were hypocrites, and whatever was gonna become of our band, we probably deserved it.\n\n**Bill Schneider:** They're good at beatin' themselves up about it, but it made more sense than you'd think. They had seen Green Day do it with complete success.\n\nWhen they decided to do a major-label record, Blake had to have surgery. He had to completely change the way he sang, or wasn't going to be able to sing for the rest of his life. All these sorta things all lined up at the same time, so that Jawbreaker changed just enough, when their major-label record came out.\n\n**Adam Pfahler:** When we signed to the bigger label, we went on a couple of tours with the Foo Fighters. We would play those radio station shows where they get a shitload of bands together, like the Christmas show for Live 105. We did a couple of those up and down the coast. We were playing with Oasis and Radiohead and No Doubt. We really had no business being there.\n\nThey would do these promotional things, where kids would wait and you'd sign your posters promoting your record. I remember feeling really embarrassed about that. It was just weird. Because we were coming from the punk rock thing, where anyone in the crowd could walk up onstage at any moment and take your guitar away from you, and you'd be fine with that. Or you could fall into the crowd, and that would be cool.\n\n**Jason White:** It didn't work out for Samiam. It didn't work out for Jawbreaker. The fact that _24 Hour Revenge Therapy_ sold more than their major-label release was telling.\n\n**Adam Pfahler:** We did Europe a couple of times. We got on good tours with Sonic Youth and the Beastie Boys. And Pavement and Beck and Rancid and Bikini Kill. But I don't even think we even played that many shows. We never went to Japan. The only big festival we ever did was the one in Australia. Other than that it was us on our own, just kind of grinding it out.\n\nThe only show I remember we all agreed that we would do was the _Jon Stewart Show_. But that never happened. We didn't get huge. We didn't sell any records. And no one knows our band. It's just that we have this great following of this very small group of people who just love our band. And a lot of those people started bands themselves and got popular. That's why our name is still out there, because these younger bands loved our band.\n**50**\n\n**. . . And Out Come the Wolves**\n\n**Dallas Denery:** I would bump into Matt Freeman every once in awhile. He was always telling me about the new band they were trying to get going.\n\n**Sergie Loobkoff:** All the bands right after Op Ivy that Tim and Matt were in didn't do well. People didn't like them.\n\n**Tim Armstrong:** Ian in Fugazi had said something to me that really stuck: \"It's always good to start a band with your friends.\" That was the idea for me and Matt. But it took a year for Matt to start Rancid with me. He wouldn't do it.\n\n**Matt Freeman:** He managed to stay sober during the MDC tour. It was fun playin' MDC songs, but it wasn't my band, I worked for them. Five dollars a day or whatever it was.\n\n**Dave Dictor:** Matt played, and Tim was our roadie. Lived in a van with them for three months. I think they're good souls.\n\n**Matt Freeman:** I learned a lot bein' in that band. But unless it was with Tim, I'm never going to jump in full steam. I don't really wanna play with anybody else.\n\n**Tim Armstrong:** I got sober at the end of '91 and ended up moving into the punk rock house on Adeline Street. I didn't have a job. Operation Ivy started selling some records. A little royalties were coming in.\n\n**Ben Sizemore:** This kid Brett moved into where we were living.\n\n**Tim Armstrong:** Brett Reed would always hang out on Telegraph. He was a skater, punk rock kid, just learning how to play drums. So he was perfect.\n\n**Janelle Hessig:** Me and Hollie ran into Tim on Telegraph when he was first putting Rancid together. He was trying to come up with a name for it, and he was like, \"It's either gonna be called Rancid or Base Head. I kind of like Base Head because it's like a double meaning. Like a crackhead, or like a bass head, like a cabinet.\" We were like, \"Definitely Base Head. Go with Base Head.\"\n\n**Ben Sizemore:** I remember giving Lint shit, like, \"Rancid? That's kind of a cheesy name.\" And he got all pissed off at me.\n\n**Tim Armstrong:** So we started up the band. We made a single on Lookout! But Lookout! had changed to me, it didn't feel the same. David Hayes was gone.\n\n**Matt Freeman:** We wanted to make that 7-inch, and we had to guarantee the loss they might take with our Operation Ivy royalties. And also, we didn't sound like Operation Ivy.\n\n**Christopher Appelgren:** Lookout! did their first 7-inch. There was a plan that we would put out a series of 7-inches, and then an album or CD. But there wasn't a lot of enthusiasm.\n\n**Larry Livermore:** I was not being very open-minded. Although I had told them I would put out any record that they did, post-Op Ivy, I was not very forthcoming about it.\n\n**Tim Armstrong:** It was different. It was the sound that we were around, our environment. I was living with Ben Econochrist. It was a different vibe. It wasn't '87 anymore.\n\n**Christopher Appelgren:** At the time they were just this scrappy, metallic punk. They hadn't embraced some of the more melodic elements. The conversations we had at the time, it was almost a backlash to Operation Ivy. They wanted to be tougher, so as not to get called ska boys.\n\n**Larry Livermore:** I had some arguments with Tim. I think they wanted to put a gun, a pistol on the cover. In the style of NWA or something. I was like, \"That's just not a good message to send.\" He was like, \"Oh, you don't know what it's like, living down in south Berkeley, you live in north Berkeley.\" I was one block north of University, basically downtown Berkeley, which is no paradise either. That was the kind of back-and-forth going on. I was like, it's okay, I'll put the record out. But I felt used in a way, to put out that 7-inch first, to promote them.\n\n**Christopher Appelgren:** Tim and Matt came by the office and said, \"We're gonna do a record on Epitaph. Mr. Brett really likes us. He's offered us a great deal, but basically he's just really into the band, and really excited about it.\"\n\n**Larry Livermore:** Tim and I had a big shouting match out in front of the house, which was the closest to bad blood we'd ever had. But it worked out well for them. Epitaph probably did better for them than I could have done anyway.\n\nLet's Go: Matt Freeman and Tim Armstrong of Rancid\n\n**Tim Armstrong:** We got along with Gurewitz from the very beginning. He always loved Op Ivy. I loved Epitaph. The records they were making, and NOFX, Pennywise, Bad Religion, the Offspring. The new thing that was happening. And we were the only band from Northern California.\n\n**Sergie Loobkoff:** People were sort of laughing, like, \"What are these guys doing? These guys aren't punk rockers. Op Ivy wasn't punk. Tim and Matt's bands in high school, that wasn't punk.\" And then they came out like gangbusters. Like, really punk. It took a little while before everyone realized what a great band Rancid was.\n\n**Fraggle:** They grew really fast. They went from opening at Gilman to being second only to NOFX shows two months later.\n\n**Jibz Cameron:** Tim was like, \"Yeah, I want to make money.\" He didn't have any bones about it. That was cool. I think he was kinda bummed about Operation Ivy. And he's such a rock star. He's like a natural that way.\n\n**Tim Armstrong:** Listen to me, that's a misconception, that we had this hunger to get back on it. I'm living my life. We had a drummer that could barely play. We were playing Fraggle's house, playin' Nando's house, playin' Gilman Street for a year before we got $100. I just wanted to do it, man. It wasn't until Lars actually joined that this shit started to get crazy. When we started getting really big again.\n\nBillie Joe came and played a set with us, played guitar. And that worked out, but obviously he's in another band. That's when we decided to get Lars.\n\n**Lars Frederiksen:** I already knew who Tim was. There was an instant connection. He came up to me and he said, \"Hey, how you doing, I'm Tim. I really like your guitar.\" Just the coolest guy. The way I grew up, you kinda sniff people out. \"Hmm, not too sure about that one.\" But instantly, _boom_.\n\n**Tim Armstrong:** I knew he was the right cat, the guy who really belonged in there with us.\n\n**Matt Freeman:** Lars is a very talented guy, he knew those songs really well.\n\n**Lars Frederiksen:** I got up there for my first or second band practice. Freeman took me to this Mexican joint around the corner from Gilman. He ordered a pitcher of beer. This was like 10:30 in the morning. Matt, the responsible guy. I basically drank the whole thing. I think that was his first clue that there might be something awry.\n\n**Matt Freeman:** I brought Lars to Jesse's house, a block down from Gilman, and was like, \"Hey, this is my buddy, I'm gonna introduce you.\" We got a 12-pack. Lars drank about half of it. Most of it. And just talked shit, just \"Rah rah rah rah!\"\u2014insulted everybody in the room at least twice, myself included. I was just getting angrier and angrier.\n\n**Lars Frederiksen:** I guess I offended some people. Green Day and Tilt were playing at the Berkeley Square later that night.\n\n**Matt Freeman:** I knew Tim and Brett were at the frickin' show. Lars said, \"Let's go.\" I didn't really care at this point. I literally kicked him out of the van: \"Okay, Berkeley Square's right over there.\" I locked him out. I was so pissed. I drove back to Jesse's house and they were like, \"That guy's a fuckin' dick!\"\n\n**Tim Armstrong:** I introduced him to my friends, and he was just saying stupid shit. He was getting' progressively worse, drunker and drunker. He put his arm around my pal Joe. They kind of grew up around the same area. I looked at Joe's face, I've known him for a long time, and he was scared.\n\n**Lars Frederiksen:** I guess I threatened to beat up Joe Sibb if he didn't buy me a shot of Jack Daniels, and so he did. And a beer. I think I squeezed that out of him, too.\n\n**Tim Armstrong:** He ended up going pee in front of everybody, as the show was ending. He was on the street, University Avenue, cock out. Genius, right?\n\n**Lars Frederiksen:** Pants around my ankles, peeing on people. It wasn't a very Green Day thing to do.\n\n**Tim Armstrong:** Fuck, I'm an idiot. I took him back to my house. He slept on the floor. Next morning I heard some rumbling, it was him leaving the house.\n\n**Lars Frederiksen:** This was like six in the morning, and I was trying to get to Ashby BART. I had no money, I figured I'd just panhandle for it. All of a sudden he's chasing me down the street, \"Hey!\" He gave me ten bucks.\n\n**Matt Freeman:** I called Tim the next morning, \"That guy's a fuckin' nightmare.\" I told him what happened, and Tim was like, \"Oh yeah? Guess what he did to me?\" And he told me about the pissing. I said, \"Well, fuck him. I just went through this bullshit with you, I don't want to go through it with some guy I don't fuckin' know.\"\n\n**Tim Armstrong:** I said, \"He's got a problem. If he doesn't drink anymore\u2014or do heroin, PCP\u2014maybe it'll work.\"\n\nWe put him up at our place for a couple weeks. For awhile, Cinder was like, \"I can't believe you've got that guy in your band, he's a dick!\" I had to deal with that. But I believed in the dude. I could see that he wanted a better life.\n\n**Lars Frederiksen:** He found me a place to live and gave me 100 bucks and said, \"Here's your first month's rent.\" He really looked out after me. I think because of my antics at the Green Day show, they saw that that might be every night, you know. But I was already looking for that. I lived there at the Derby Street house for about a summer. And I got a job on Telegraph, making salads.\n\nI know I was probably a little bit more wild than those guys. But I found where I needed to be. I was just stoked to be playing punk with two guys from one of my favorite bands. Cool. I'm not copping on Mission.\n\nMy first gig was at fucking Cloyne Court. The pit was crazy. The naked Berkeley guy was in the pit with his fuckin' little doinker, his backpack on. And I remember just going, \"Fuck, bro, put some clothes on. This is a punk show.\"\n\nWe played Gilman pretty steadily. Any time a band would cancel they'd call us up and we'd be there. We were playing local gigs here and there, driving up to Petaluma. We played down in L.A. at the Hong Kong Ballroom. That was my third show with the band, in front of Brett Gurewitz. Which was kinda nerve-wracking. Richard was with us at the time.\n\n**Richard the Roadie:** I was doing shows with them before, and suddenly there was this new guy in the band, Lars. Which was awesome. It totally changed the sound, and made 'em a lot better band.\n\n**Lars Frederiksen:** Richard was one of the stinkiest people. But the motherfucker could work. He wouldn't let you carry your amp into the gig. He'd be like, \"No, no no, that's my job.\" And then he'd put it on his shoulders and carry it in.\n\n**Richard the Roadie:** In the beginning when I started, we were just playing a lot of house parties, small shows. People up here fucking thought they sucked. If you listen to the first 7-inch, I thought they sucked, too. It was so different from Op Ivy and any of the other stuff they'd done.\n\nThen I saw them play an acoustic show at the Occidental House on 61st. All of a sudden I got it. And I have fucking absolutely loved them since then. At that point in '93, I thought they were probably one of the best punk bands in the U.S.\n\n**Lars Frederiksen:** There was no other band like Rancid going off at that time. It was all the pop punk shit like Green Day. Or like Econochrist, Grimple, that kinda shit. There was nothing like Rancid, that was like fast, melodic, Discharge-y, GBH shit. Mixed with the Ramones and the Clash.\n\n**Mike Avilez:** When I first moved up I did a zine called _Piece of Shit_ and Lars was one of the first people I interviewed. They were totally nice to me. I asked Rancid if they had done much touring and they said, \"We've been up and down the coast like no one's business but we haven't done any major tour.\" Their first album on Epitaph was just about to come out.\n\n**Lars Frederiksen:** I didn't go outside the state of California until I joined Rancid. On Rancid's first tour, on the visor, it said \"States Lars has never seen.\" So each time we'd go through a state I'd give it one to five X's, on what I thought of the state. Matt would always be giving me the Sharpie at seven in the morning. I think Texas got a 5X. I liked Texas for some reason.\n\n**Richard the Roadie:** Rancid was no bullshit. It was five dollars, all-ages, or they wouldn't play. They had a booker, Stormy Shepherd, which was really unusual at the time. She was awesome. She's not nice when you try and screw her, which I've seen. She really opened up doors for them.\n\n**Stormy Shepherd:** Tim and Matt had been booking their own tours for years. Rancid are still self-managed. That band divides up everything between the four members and they do everything themselves. They are extremely hands-on, which is just unheard of for a band of that size.\n\n**Richard the Roadie:** We were basically all sober. And we were all really young, or relatively young. It felt as close as what I read about Black Flag. We were just going for it. We were all in this tiny windowless van, and every single night they played as hard as they fucking could. Once they started they would just go full on until they stopped. They wouldn't fuck around and talk. They were on fucking fire, those first two years.\n\n**Lars Frederiksen:** We took the Swingin' Utters to Europe with us, took them out on tour. It was really fun. I think we paid for them to come out there.\n\n**Johnny Bonnel:** Opening up for Rancid was crazy. It was packed. They still had the buzz from Op Ivy. Lars was helping us out big-time. He got us these shows and eventually went on to produce _Streets of San Francisco_. Always said great things about us.\n\n**Lars Frederiksen:** It just snowballed. Green Day was blowing up, Offspring was blowing up. We were playing fuckin' Vino's Pizzeria in Arkansas when we found out that somebody was playing \"Salvation\" on the radio.\n\n**Martin Sprouse:** Not that they should be compared, but there was something that organically, naturally happened with Op Ivy. I think Rancid was preconceived. They're very real guys. But they were trying to set out to do something.\n\n**Lars Frederiksen:** Although it's two totally different animals, people were curious.\n\n**Anna Brown:** Jesse was sort of the soul of Operation Ivy, but Lint was the one who became the star. It became very clear early on when Rancid started doing videos, that they were going to be big. They had this tough thing going on that was really different from the peaceful Op Ivy thing.\n\n**A. C. Thompson:** People didn't think they were as smart as Op Ivy. Their songs weren't as immediately catchy.\n\n**Matt Wobensmith:** Tim is a sweet guy. But then you go see Rancid and it's, like, \u00fcberpunk. Who do they think they are? Affecting like they're from the streets. There was this tough gang sort of aesthetic, which is totally not them at all. They're from Berkeley and from around, and they're just soft guys. The greater public ate it up.\n\n**A. C. Thompson:** They went from playing house parties to being on MTV in six months. It was really quick.\n\n**Ben Sizemore:** One day I came home and Rancid was filming a video in our apartment. I knew it was going to be happening. There was a camera crew there. I was like, \"This is fuckin' nuts.\" They had catered some Chinese food, so I got a free plate of food out of it. I went in my room and shut the door. It was a little cheesy, you know. Lip-synching a song on MTV.\n\n**A. C. Thompson:** Tim came over to my house and showed me their first video. I thought it was kind of bullshit. This cartoony stereotype of punk rock, where he's carrying around a baseball bat and acting macho. I told him what I thought, and I remember him being kind of bummed about that. When I look back on it, the song is really excellent.\n\n**Lars Frederiksen:** I always looked at videos as a way to just document shit. You can see me by the loft, kinda hanging out, rockin' out. I'm not really in the band yet. There was always a joke that when Rancid plays songs off the first record\u2014that a loft is gonna come out and I'm just gonna put the guitar down, and hang out in the loft and watch.\n\n**Janelle Hessig:** It's so funny. After they started getting big, in one of the videos there's a picture of them looking all thugged out in this graffiti-covered tunnel. But it's this tunnel that goes along Solano Avenue in the most affluent area of town.\n\n**Richard the Roadie:** Most hardcore East Bay punks thought Green Day were stupid, but nonetheless they were able to find a local following. Rancid never did. That was always the joke. We'd go to Seattle or L.A., and it was absolutely fucking amazing. And come back to Gilman and get treated like shit.\n\n**Sergie Loobkoff:** That kind of punk, with mohawks and leather and spikes and stuff, that wasn't really what Gilman was about. Just as much as what Samiam was doing wasn't really what Gilman was about.\n\n**Richard the Roadie:** It was a weird time in the East Bay. Green Day was signed. Samiam signed. Jawbreaker. Screw 32 and AFI were slowly building up at the same time. If your band was doing well, because Green Day and all these other bands signed to majors and were getting bigger, you got the same venom as everybody else. A lot of it was misplaced.\n\n**Jesse Luscious:** When Rancid were talking to Sony, I was like, \"Matt, that's a shitty idea.\" But they didn't jump. Fuck no, they didn't.\n\n**Richard the Roadie:** Rancid, Jawbreaker, Green Day, we're all scum-bags, but everybody had their little niche. But Rancid, it was almost worse for them. It just got out of control. It was a really bad environment. Tim, walking down Telegraph, would be threatened by people.\n\n**A. C. Thompson:** Part of it was that people felt resentful. These guys were going to make money and live comfortable lives, and our lives were all fucked up and janky. People who were subcultural purists didn't want their subculture being disseminated to the masses. Even though they said they had a political message that everyone should hear. So there was this cognitive dissonance.\n\n**John Geek:** I liked Rancid a lot when they were peppier and more angular, weird punk. But then they got really big. I remember going to the show and the line was around the block, and I was like, \"Ah, this is just not my thing anymore.\" It just didn't feel like home so much. Me and a bunch of other people were feeling the same way.\n\n**Eric Ozenne:** I remember Tim riding his bike down to Gilman. All those Rancid guys were going to shows a lot. It was starting to get hard for them, because people were constantly giving them shit. But they still were going to shows pretty consistently. I got to see it from their perspective. My wife and I and Lars all moved into a house in Berkeley. I watched them go through the process of making . . . _And Out Come the Wolves_. I realized these guys are totally passionate about what they do, and they're not trying to screw anybody. And they're also giving back to the scene. It was a really interesting time, for sure.\n\n**Greg Valencia:** I remember being in the Rancid guys' shit. I was younger and I didn't really get it. I don't have any problem with those guys these days. I still have respect for them. At that time, I think it just sucked more 'cause their heads got giant.\n\n**Kate Knox:** I used to know Lint. He used to lie about his age to get with the younger girls. I remember him being at a party and being like, \"Look, I got Madonna's phone number!\"\n\n**Orlando X:** Some people did treat those guys bad, when they started getting big. Especially Tim. Which was kind of fucked up.\n\n**A. C. Thompson:** I saw Tim in South Berkeley and he said that he felt really out of place, people were hassling him and yelling at him on the streets. Overnight, he had gone from being a celeb in that DIY world, to being someone who was cast out. So he moved to L.A. He took the fuck off. I think it was a scarring experience.\n\n**Jeff Ott:** Sober people don't do well with celebrity. Part of me was like, \"Okay, they're totally the same punk band as they ever were, sober, doing big stuff.\" But a lot of people who got into the aesthetic of punk, and were more on the English band side of stuff, they were more severe about, \"Oh, they sold out. They're not a punk band.\" I would look at that person's life and go, \"Well, you're not a punk in the first place, so who are you to go around saying anything anyway? You're a fucking idiot in a costume who's acting all day.\"\n\n**Lars Frederiksen:** Every manager we've ever had doesn't want to work with us, because we've always done whatever the fuck we wanted to do from day one. Whether it was record labels or whatever, if they said, \"Do this,\" we're like, \"Fuck you, we're not gonna.\" You want us to do press? We're not gonna do press for five years.\n\nYou can't just walk around blindly and let somebody else handle your shit, because they're not always gonna have your best interests. So all that did was made us more insular. It's hard to kinda break in, to get to us. It's like, I don't fuckin' know you. At that time that's what it kinda was.\n\n**Dallas Denery:** It's hard to imagine it got to a point where they're selling more records than the Buzzcocks. I mean, they're really great. But when you go back and think the Buzzcocks were really great, and the Ramones were really great. And they didn't even get close to that. That is really surprising.\n\n**Lochlan McHale:** I heard Rancid in San Diego through Taylor Steel surf videos. I believe it was off the _Let's Go_ album. Every day we'd drive to school and listen to that album. I went to their shows and met the guys, hung out. Lars and I hit it off. He showed me producing, how to play guitar, the business side, the fun side. Through that I met Tim, and they kinda took me under their wing and it was like, okay, what do you want to learn? Rancid stuff is a history book. It's real story oriented. It's a little bit more hooky than New York hardcore.\n\n**Eric Ozenne:** Lars and Tim have helped so many bands by getting them shows. Doing record labels that help other bands. They'd take young bands out there on the fringes under their wing, and bring them back in and help them out. People have actually seen money come from Rancid, put back into businesses for the scene. To help them do things, like, say, screen printing. Rancid put a lot of stuff back out there.\n\n**Lochlan McHale:** If you look at it, for punk to be good you gotta have something to say. Majority of the people with things politically to say are the immigrants, or people who are facing struggles from the government. So what's Tim doing right now? Echo Park, a huge Latino community. Those kids have a lot to say right now. The stuff that's going down with them trying to kick out people who don't have green cards. Tim's supporting all sorts of those bands.\n\n**Orlando X:** You see Lars out all the time. He still goes out. They didn't all of a sudden get big and just leave, they've all contributed something back. They haven't forgotten where it got started. So that's really cool.\n\n**Nick 13:** Steve List introduced me and Tim. I was wearing a Crimpshrine shirt. Tim was a big Crimpshrine fan. He gave me his number and said to give him a call, \"Maybe we can put your band in a show.\" Which he also told every other band about the same slot on the same show.\n\n**Stormy Shepherd:** When they tour, every single night they handpick a local opener to play their shows. They do a syndicated radio show online, and they start talking months in advance, saying, \"Hey, we're going to be touring, send us your demos.\" Tim and Lars listen to everything, and then they send me a list, by city, of every band that they want to have open.\n\n**Martin Sprouse:** They're still going. They could not put out a record for 20 years, and sell out shows everywhere. People love what they're about. It's different than what I'm about. Even though I still have a lot of love and respect for those guys.\n\n**Dallas Denery:** If you want to put it in perspective, the Rolling Stones put out a record in 1966 that has \"19th Nervous Breakdown\" on it. Twenty years later, they're putting out stuff nobody wants to hear. So in 1987, Op Ivy records its first record. And in 2007, Rancid is still a viable band.\n\n**Adam Pfahler:** It's a pretty amazing story. There's a handful of things that are still going, that were going back then. It's pretty inspiring.\n\n**Anna Brown:** Now Lint's this punk institution. He's like Joe Strummer to a generation of people that are in high school.\n**51**\n\n**I Wanna Get a Mohawk (But My Mom Won't Let Me Get One)**\n\n**Davey Havok:** I was surrounded by music since I was very, very young. At family functions, I would get paid a dollar to sing into a wooden spoon. I'm sure everyone thought it was very adorable, that the little boy was singing \"Mister Moon\" and \"The Dark-town Strutters Ball.\" Going to the malls in Sacramento, I was always enamored of all the punks and death rockers. I told my mom, \"Oh, I want a mohawk, and I wanna get tattooed,\" and she was like, \"I'll put my head in the oven if you do.\" When I was 12 years old I moved to Ukiah.\n\n**Nick 13:** Ukiah is about two hours north of both San Francisco and the East Bay. There were a lot of hardcore communes, mixed with this more conservative redneck hillbilly mentality. It's definitely a strange place. Ukiah was the final staging ground for Jonestown. Charles Manson spent time in Mendocino County. Those two serial killers, Leonard Lake and Charles Ng. The guy who killed Polly Klaas, they caught him in Ukiah.\n\nIt was a place where people came to hide out. These weird punkers or kids from group homes, you knew that they were either running from some drug deal or group home, or someone wanted to kill them. They would show up in Ukiah for a week, and we would always dub whatever punk tapes they had in their backpacks, and then you'd never see them again.\n\n**Davey Havok:** I predated Trenchcoat Mafia, but that's pretty much where I was at. Combat boots, black jeans, silver chains, Madonna silver bracelets, dyed black hair, black T-shirts, black jackets.\n\n**Nick 13:** The first few seasons of _90210_ \u2014everybody looked like that. You had to have a mullet, you had to wear spandex biking shorts and Oakley shades, you had to drive a mini-truck, you had to listen to Vanilla Ice and Paula Abdul. People looked at you like there was something wrong, because you listened to the Ramones and wore creepers. In a school of approximately 2,000 kids, there were a dozen people that had any interest in punk.\n\n**Davey Havok:** We had to leave to get anything, whether it was _Maximum RocknRoll_ , music, Manic Panic, pyramid studs, anything. Villains in San Francisco had the Christian Death shirt with Jesus shooting up on it. Daljeet's had the Doc Martens. Back then, the girls who were wearing the two-toned Wayfarers and the Guess jeans also had them draped over some oxblood Doc Martens. Which was weird.\n\n**Nick 13:** I met Dave in high school when he was a freshman and I was a sophomore. He had a Misfits shirt on. He seemed really happy and that kind of annoyed me. My first instinct was to hit him. But he was so personable, and well liked and popular. We've been friends ever since.\n\n**Davey Havok:** Because we were really secluded, our influences came from all over the place. I was listening to everything from Black Flag and Descendents and Negative Approach and Dag Nasty and Minor Threat, to you know, Bauhaus and the Cure and Joy Division, Duran Duran. Most of what I listened to predated me.\n\n**Nick 13:** The only punk show that ever happened in Ukiah was the Lookouts, Lawrence Livermore's band. Before we got our own bands and started playing our own shows.\n\n**Davey Havok:** As soon as any of us was able to drive, we started driving down to see shows at Gilman Street and the Phoenix Theater. I'd go see Dead and Gone all the time, and Neurosis. Those are fantastic bands.\n\n**Nick 13:** I went to shows in S.F., because they'd be advertised in the _Chronicle_. Fifteen of us would pile into a van and go to see the Circle Jerks in the city. Like '89, 90.\n\n**Davey Havok:** We started the band AFI when I was 15 years old. We called dibs on instruments. I was the musical theater choir boy so I got dibs on singing, and the rest came together. We named AFI to have an acronym. Because it was such a facet of punk rock and hardcore and thrash. TSOL and MOD and DI and RKL, DRI. So we wanted an acronym band. That allowed us to play with a lot of things. Our publishing company would be Anthems For Insubordinates one year, and then we'd change it to something else. We'd say, \"If you want a free patch or sticker, send a self-addressed envelope to 'Asking For It,' at P.O. Box . . .\"\n\nIn the scene back then, everyone had such glorious stage names. Unfortunately, I'm Davey Havok. I have such a horrible name compared to Darby Crash, or Dinah Cancer, or C. C. DeVille. They're far more ingenious. One of my favorites from the rock 'n' roll scene, Nikki Sixx, I think that's hot. Iggy Pop, probably one of the best names.\n\nInfluence 13 was the first real punk rock band in Ukiah. They were fantastic, and it was comprised of Nick 13, who is now from Tiger Army, and Jade, who is now in AFI, Geoff Kresge, who was in AFI in its almost original lineup. They were really the first punk band from Ukiah that could write songs.\n\n**Nick 13:** Influence 13 were together for two years. We played gigs whenever we could. Gilman Street was not very cool about putting on out-of-town bands that weren't touring bands. Dave and I both had this experience. There would be a certain time you would call, say it was five p.m. Wednesday. We would call and they'd say, send us a demo. We'd send them a demo. They'd say call us back at this time\u2014and no one would answer the phone.\n\n**Davey Havok:** AFI would play house parties in Ukiah. The first time we played live we had probably seven songs, so we played them all twice, terribly. Half of which were our own, and the other half were like, Black Flag and Descendents covers. We might have thrown in [Green Day's] \"Going to Pasalacqua,\" as well.\n\nThere were shows in Lake County. Lakeport was the city. It really made Ukiah look like San Francisco. Tilt would come and play. The Wynona Riders, Juke, Fifteen would play a lot. We tried to get Green Day once. I think Geoff was on the phone with Billie, and Tr\u00e9 was there, and Billie was like, \"No. Tr\u00e9 says Ukiah sucks. Tr\u00e9 says there's no scene in Ukiah.\" We were like, \"Fuck, he's right!\"\n\nAFI played its first show at Gilman Street technically when we jumped onstage at a Rancid show that we all came down to see. Then Rancid put us on first of a five-band bill at Gilman Street, and from that point on, we played Gilman a lot. Basically, us, the Swingin' Utters and Screw 32 during the early '90s were constantly playing together everywhere.\n\n**Lars Frederiksen:** Davey was a little skinny kid. Always had a skateboard. Davey would always go, \"Here's a tape of my band.\" He was a wicked front man, even though he's talking about his balls or whatever. But you kinda knew that something would happen. \"I don't wanna fuck you, so fuck you.\" Cool shit.\n\n**Bill Schneider:** Davey was straightedge and had X's on his hands and a Youth of Today sweatshirt. Even today, he's just the same guy.\n\n**Fraggle:** This little frantic punk who always wore pants with no shirt, with one suspender up and one suspender down.\n\n**Davey Havok:** I had a mohawk. Not a lot of mohawks in '93. We looked ridiculous. I don't look back at pictures with the mohawk and go, \"Yeah, we had it right!\"\n\n**Billie Joe Armstrong:** I used to ask Jesse Michaels what was going on, and he told me he thought AFI was really good. I remember really liking them. Davey was not the Prince of Darkness that he is now. He was wearing suspenders and he had this Danzig-style devil lock.\n\n**Davey Havok:** What we were playing was different than what a lot of people were playing. We weren't political. And we were accepted. Gilman Street supported us, we played tons of shows around here. But there were a lot of people who totally hated us.\n\n**Zarah Manos:** Love AFI, they had great shows. When I was at Gilman, we counted on them for money. An AFI show would be 800 people. There were bands that helped us get the bills paid. You had to have one major show a month that was gonna pull your bank because we had high bills. Once they hit, it was really sad.\n\n**Ryan Mattos:** I went to an AFI show at Gilman and went straight to the merch table, and was like, \"Hey, can I get that T-shirt?\" It said \"I Hate Punk Rock\" on it. Which I thought was kind of weird. I bought a shirt, put it on, and as I started to walk away, the guy was like, \"Hey, is this your first show?\" and I was like, \"Yeah, how'd you know?\" He was like, \"Oh, I don't know, just haven't seen you before. Hi, I'm Dave.\" He was totally friendly to me and nice.\n\nLater I saw him right before they played, checkin' the microphone, and I was like, \"Oh yeah, that makes sense, that's like their crew or roadie guy.\" Then they started playing. And I was like, \"That's weird, why's the singer selling their merch?\" I still wasn't in the mind-set that punk bands are just people.\n\n**Tiger Lily:** Davey Havok contributed to my zine for a period. He had a leather jacket with the blue Germs circle painted on the back. Sweetest guy ever. Sometime in 1994, AFI came on my show at KALX. Most of AFI was in school, and Dave went to Cal, maybe Adam did, too. They did not like it when I asked if they had to go to class after the show. Funny how going to school is so uncool.\n\n**Ryan Mattos:** All the AFI guys lived in this big frat house by UC Berkeley. It was a frat house that had lost its charter and started renting out rooms to people. Adam had gotten in, and got someone else in, and slowly started taking the house over.\n\n**Nick 13:** It was most of the guys from AFI and a few other friends. I wound up crashing on Dave's floor for awhile, then I was able to get a room there. That house was basically where I worked until Tiger Army really got going.\n\n**Ryan Mattos:** There were 17 rooms, at one point we had 12 of them. There were a couple students, some random voodoo doctor guy. It was two blocks from campus and two blocks from Telegraph. When Cal had a football game, they basically shut down the streets so people can just walk around. We'd sit on our porch, and thousands of people would walk past the Acacia frat, and then they'd get to our frat, and it'd be a whole bunch of dudes dressed in black with black hair and tattoos, and they'd all be like, \"What frat is that?\"\n\nThis is Berkeley: Davey Havok of AFI at Gilman\n\n**Davey Havok:** I think AFI played our last show at Gilman in 1997.\n\n**Bill Schneider:** AFI have changed so much over the years. Instead of breaking up and changing their name, they have just kind of evolved into what they are today.\n\n**Ryan Mattos:** I have an AFI tattoo that says, \"I don't grasp your values,\" which is from one of their songs. I think it pretty much fits. I never got why my friends just wanted to talk about getting wasted, and then would get wasted. I cared about launching a water balloon more than I cared about getting wasted.\n\n**Lars Frederiksen:** AFI actually played with us on our Canadian tour after we did _Saturday Night Live_. We took 'em through Canada with us. Good dudes.\n\n**Ryan Mattos:** We thought they blew up like five times before they did. The first time I saw them headline at Gilman there was like 250 kids there. But the girl in back of me in line was talking about Davey\u2014\"I wonder if his hair's gonna have that little curl?\" It didn't matter if it was 200 kids or 20,000, they've always had that charisma.\n\nThey did a big video shoot at Berkeley Square. And then it was like, oh, they're on Nitro [Records], that's so crazy. And it was like, Offspring covered one of their songs, now it's on Live 105, they're huge. And then it's like, \"Oh, you guys sold out a 12,000-capacity venue in eight minutes?\" So I stopped getting as excited.\n\n**Eric Ozenne:** Knowing Adam and Dave for a long time, it was incredible to watch them go through these musical changes. There's no sellout about those guys. They straight up were doing what they wanted to do the whole time. And they were very much, very real punk rock people. They hold a lot of that stuff as their values and morals.\n\n**Ryan Mattos:** I don't think those bands start out like, \"Oh, let's play this kind of music and then we can catapult to something else.\" There's no way that when AFI started in their living room they were like, \"Okay, let's play shitty punk rock shows for eight years, and then we can start making mainstream accessible music.\" I think it just happened.\n\n**Dave Chavez:** Every once in awhile I'll hear an AFI song and I'll go, \"That's kinda cool.\" I actually thought they were a decent hardcore band 'cause they had a lot of energy. A lot of people really like 'em. I'm not really a big fan of theirs, but I think they're more progressive and original than all their other Bay Area cohorts.\n\n**Jeff Ott:** I go to a gym in the morning because I'm getting to be an old guy. There's four TVs up on the wall at Sonoma State, and I'll see AFI and I'll just go like, \"Oh, I can't even believe\u2014this is ridiculous.\" But I'll put in headphones, I'll listen to them, I'll be like, \"This is another song about nothing. What the fuck is this?\" They probably spent a million dollars to make that, probably spent hundreds of millions of dollars on manufacturing it all and selling it to people, and it says nothing at all. And I feel slightly responsible. I think in the beginning, a lot of people thought so long as the music is very dissonant and not melodic, it will never end up there. Well, no, you can do all that. Sometimes I go, \"It sure would be nice if the whole thing never went to that at all.\"\n\n**Davey Havok:** We were sitting in the back of a Town Car driving through New York, having just won the Best Rock Video award for MTV, and it's one of those moments where it's like, \"We're so lucky.\" Later that night at a party I found myself talking to Axl Rose for the first time. I didn't want to bother him, but I am a big fan of Guns N' Roses. Which is certainly not a punk rock thing to admit to, but I am not much of a punk rocker these days, and have no problem admitting to it.\n\nIt was furthermore a surreal moment to not only be talking to him, but after I stammered out something about _Appetite for Destruction_ being one of the best rock 'n' roll records of all time, and Day on the Green with Metallica in San Francisco, and I was in seventh grade, and this and that. And thinking, \"Oh man, he is so bored, I wish I wasn't saying this to him.\" He's standing there just kind of nodding and smiling. After I get all that out I think, \"Oh, I bummed him out.\" And he said, \"Yeah, when I'm doing my warm-ups on my iPod, right after my warm-ups come on, your record comes on.\" And I was like, \"Oh my god. This is out of control.\"\n\nAnd later, Hunter and I were standing on the other side of the room at the party, and I was like, \"That was amazing!\" And Hunter said, \"But really, think about this. Think about when we were in junior high, think about someone coming up and telling us that we were simply going to be in the same room as Axl Rose.\"\n\nIt's not simply celebrity moments like that. I really, really appreciate everything we have. We started doing this band out of the love of music, and coming from a scene where we were encouraged to play music that we liked, with complete disregard for whether or not anybody else liked it. And with no concern as to whether any of us could play our instruments. I just feel very lucky that at this point in my career, I'm continuing to be able to do what I love.\n\n**Mike Avilez:** AFI, they were once a hardcore punk band, and now they're just mainstream bullshit. I like Davey and more power to him. If he can do it, then that's fine. It's just strange.\n\n**Davey Havok:** The Bay Area really provided a scene for my life to grow out of. This is where we were drawn. Seeing Crimpshrine and Green Day and Operation Ivy and Wynona Riders and Samiam and Monsula and Jawbreaker and bands like that coming out of the scene, who were all great bands, drew us here. And the community that was centered around Gilman Street and centered around the Bay Area scene was something that really appealed to us.\n\nPlaying with Screw 32 and Dead and Gone and the Swingin' Utters, and going to see Rancid and Green Day at the tiny clubs, all those bands, the Gr'ups, and Blatz, and Filth, was just a part of it all. It was inspiring to be a part of that. It was a very supportive scene, a very unique scene.\n**52**\n\n**(I'm Not Your) Stepping Stone**\n\n**Jeff Ott:** You were the kid that everyone shit upon. You were the one with pimples and glasses in high school, and everyone discarded you. And that was your place. So when these bands started to get popular, we felt like we were used as a stepping-stone. Who would care about this group of fucked-up kids? Why would any of these bands ever be popular?\n\n**Orlando X:** It's the progression of music. Fans make the music.\n\n**Jello Biafra:** Every underground rebel art culture, if any good, is always gonna get co-opted. It was bound to happen.\n\n**Blag Jesus:** Youth movements take off in the most egalitarian and idealistic way, but ultimately people come in and profit off them. That's what happened with punk rock in England, that's what happened with punk rock in New York, and that's what happened with punk rock in the East Bay.\n\n**Lars Frederiksen:** You could see it coming, from Nirvana first putting the stamp on everybody. But I never could see that we would be doing it. Whatever happened with Offspring or Green Day and us\u2014I would have told you you were out of your fuckin' mind.\n\n**Adam Pfahler:** Blake and I were at Jabberjaw in L.A. While Nirvana was recording _Nevermind_ , they played an unannounced show at Jabberjaw and it was packed out. We looked at each other and were like, \"This is gonna be fuckin' out of control.\"\n\n**Billie Joe Armstrong:** We went to Europe, just playing squats. We booked it ourselves. When we were on tour, Nirvana started getting really popular and I remember thinking, they made a great record. And they're on a major. And they still have this consciousness about them. It wasn't something that was made up or fabricated or contrived. It was real.\n\n**Noah Landis:** When _Nevermind_ got all that attention, for the first time it was something that somehow everybody _got_. Everybody understood the intensity and the emotion of those songs.\n\n**Jesse Luscious:** I was listening to rock radio and I heard \"Aqualung\" into \"Smells Like Teen Spirit.\" I almost crashed the car.\n\n**Dave Chavez:** I thought Nirvana was a half-ass kinda thing. I thought he wrote really good words but thought the music was just\u2014he was trying to be like Flipper and Negative Trend, but he didn't have the balls to do it all the way.\n\n**Noah Landis:** Punk rockers hated it because it was bringing this punk rock to MTV. But there were a lot of punk rockers who were like, \"This is undeniably really good, this is really powerful, and it makes you feel something when you listen to it.\"\n\n**Jello Biafra:** Once Nirvana got that big, the major labels took the ball and ran with it.\n\n**Adam Pfahler:** Then two years later, Green Day sold eight million records or whatever, and then the whole Bay Area got gobbled up. It blew up completely. And then it blew up in everyone's faces. Lars Frederiksen: A&R guys would find out what hotels we were staying at, and stay at the same hotels. \"Oh, hey, guys! You're Jim from Rancid, aren't you?\" People wouldn't even know our names. \"What label you with? Blah blah blah.\" It was that bizarre.\n\n**Adam Pfahler:** Jawbreaker would get those lame form letters in the mail: \"I am blah blah blah from Columbia Records. Please send me a copy of your blah blah blah and we'll have lunch.\"\n\n**Kamala Parks:** That to me is the antithesis of punk. It was supposed to be DIY. You're not supposed to take your popularity and benefit some high-ranking mucky-muck. You're supposed to keep things local and in your scene. And not buy into this fame bullshit that they were feeding bands.\n\n**Lenny Filth:** Back then, it was a no-no. You were supposed to live in poverty your whole damn life. And just play because you wanna play.\n\n**Andy Asp:** Green Day's first shows after they'd signed with Warner Brothers, you could see that there was a line drawn. There were protesters, picketing 'cause they had signed to a major label. That was the end of the innocence.\n\n**Jibz Cameron:** All of these younger, more trendyish kids started coming around, and it pissed everybody off.\n\n**Andy Asp:** You could see our world changing. Here it was, being spoon-fed to people via television and major magazines.\n\n**Jason Beebout:** There's a lot of passionate people who really believe in that Oakland hardcore sound. It means something to them. You ride your bicycle everywhere, and you're wearing everything black for the past 20 years because you're so to-the-fucking-core. And all of a sudden you're looking at Clear Channel, and it's loaded with images that are looking a lot like you. You start to feel like you have no identity anymore.\n\n**Adrienne Droogas:** The people I knew who were heavily into the politics wanted it to be very separate. If you wanna be on MTV and you wanna sign to a major label and go do these things, that's great. That's awesome. But you're not a part of the punk scene anymore. The punk scene I know and that I was a part of, and that meant everything to me, had nothing to do with that world.\n\n**Kamala Parks:** You have the talent here, and you should use that locally, rather than selling yourself across America. To become someone who encourages other bands to do the same things, and represent your values if they want to. To not make yourself a generic punk rocker.\n\n**Jesse Luscious:** Major labels may be the nicest people. They might love kittens and bunny rabbits, but at the end of the day their corporate owners make guns, missiles, they pay lobbyists to destroy the environment. And by choosing to put your art into the maw of that planetary machine, I think that's ethically suspect.\n\n**Winston Smith:** It's kind of a black-and-white way of looking at things. I could never understand that kind of logic. General Electric, they make all kinds of guided missiles and other bad juju. But I can look up and count five little incandescent bulbs with \"GE\" on it. So I've given GE money, which means I've contributed to the death machine. I'm helping their CEO keep his golden parachute. If you're playing a record, with the electricity from a little string that goes into the wall, that's created by a giant power plant, PG&E, which is Profit, Greed and Exploitation. Every time you pay your electric bill, you're giving them money to pour into Diablo Canyon, building a nuclear power plant on the San Andreas Fault, which is insane. For thousands and thousands of years it will be radioactive and carcinogenic, and so every time you play a record, or pay your bill, or anything, you're contributing to this machine. You can take that, and reduce it down to any argument, and everyone is guilty, all the time, everywhere, all at once.\n\n**Nick 13:** I still don't understand the major-label debate. The Ramones' first record was on Sire, the Sex Pistols were on a major label, the Clash were on a major label. And those three bands, along with the Damned, who were also on a major label, they all started punk. You can go back to the Dolls and the MC5 and all that, who were also on majors. It wasn't that I didn't appreciate the ethic. Because I certainly never thought a major label would be interested in putting out my music.\n\n**Kamala Parks:** Having your image splattered across the TV\u2014it's not like you're actually saying something. It's like every other fucking video on TV. I do believe that there's a certain element, for punk at least, that has to be struggle. And the struggle can't come from having a multi-million-dollar record contract.\n\n**Adrienne Droogas:** A lot of people would sit there and say stuff like, \"Well, we can get our message out to a lot more people this way.\" But you lose the message. Because the second there's a Pepsi ad, and then George Michael's ass shaking in some video, and then you guys, your message has gotten lost in all of that.\n\n**Cammie Toloui:** One of the last shows I went to was a Green Day show. Gilman was packed full. The regular Gilman people were wearing T-shirts that said \"Down with Green Day\" or \"Kill Green Day.\"\n\n**Jibz Cameron:** There was a huge \"Green Day Sucks\" graffiti right above the stage, like, two feet tall and ten feet long.\n\n**Frank Portman:** One famous Green Day show at Gilman, everybody was gonna turn their backs and walk out when they started playing.\n\n**Jesse Luscious:** People who knew them for years were just like, \"You've made that jump. I can't support you.\" If you're in this comparatively tiny scene, and you have these agreed-on guidelines that you exist within that scene by, well, it makes all the sense in the world.\n\n**Billie Joe Armstrong:** There was almost a socialist aspect to it. It was like, \"This label is part of the bigger system that kept Noam Chomsky from printing a book,\" or something. It was taken very, very seriously. There was this feeling that if you did this, you could expect to leave your friends behind. All of your relationships with people were over and there was no turning back. It was really hard, but I took responsibility and did it. You know, people need to have their beliefs. That's what keeps Gilman so strong. It was tough. I carried that baggage around with me for about five years.\n\n**Davey Havok:** They recorded an amazing record. Clearly that translated, because the same people that were saying \"Fuck them\" were at their shows when they played.\n\n**James Washburn:** There's been anti-Green Day from the beginning. It's about punks thinking, \"Punk is ours, and you're not, so you're not gonna come and change it for us, because punk is _this_.\" Which is fuckin' absurd.\n\n**Bill Schneider:** There was some jealousy, 'cause everybody was in a band.\n\n**Billie Joe Armstrong:** It was sort of this culture shock. I was still the guy with the garbage bag full of clothes and a band that was getting big. It was like being caught between two worlds. The punk world was like, \"You're not allowed here anymore. We told you.\" And I didn't want to be part of this other world, so I was just floating in the middle. It took me a long time to say, \"Fuck it. This is where my life went and I've got to be proud of it.\"\n\n**Marshall Stax:** After Green Day got big, reporters wanted to come in the club and film.\n\n**Jesse Luscious:** TV news shows were calling, \"Can we come down and film outside?\" We were like, \"No. Fuck off.\" _Rolling Stone_ , _Spin_ , whatever\u2014we were like, \"Go away. We don't want to talk to you.\"\n\n**Marshall Stax:** No one at Gilman liked the idea of this becoming another Seattle scene, where it just turned into some circus. People became very defensive about the media.\n\n**Jesse Luscious:** I helped write the No Major Label policy at Gilman. We didn't want Gilman to be a minor-league grooming place for bands. We didn't want to be the Roxy in 1979, or the Whisky, whatever. First of all, I don't think we could have handled it. Second of all, that was completely against everything we were about.\n\n**Jason Beebout:** One of the things was, \"We don't wanna have any more sellout bands play in our club.\" 'Til they started losing money. And then they started asking some of those bands to come and play.\n\n**Howie Klein:** When the record companies saw Green Day break, so gigantically and so fast, all of the record companies thought, \"Well, we can do that. All these punk bands are the same anyway. My kid has a friend who's in a punk band. I could get them and they'll be our Green Day.\" Some record executives honestly thought Green Day was the first punk band.\n\n**Jason Beebout:** _Maximum RocknRoll_ didn't like Samiam. We got banned from playing Gilman. The kids voted us out, along with Jawbreaker and other bands. People like Jake Sayles wouldn't go to any shows that I'd play. Jake was the person who called us sellouts. I couldn't tell if he was joking, because we were friends. We started growing apart. I felt hurt.\n\n**Lars Frederiksen:** We played with Jawbreaker at Gilman. I remember one time watching them and they said, \"We'll never sign to a major label,\" from the stage. And then they signed to a major label. I just never got why would you say that.\n\n**Adam Pfahler:** It wasn't just the indies and the little zines, the mainstream press jumped on that story, too. So whenever we got a review, it was like, \"This is the band that sold out and shame on them. This is gonna be the undoing of this band.\" And sure enough, it was.\n\n**Fat Mike:** It's silly. When I was a kid, we all called X sellouts! That's just what kids say. They don't even know what they're talking about. Taking some company's money, I don't see anything wrong with that.\n\n**Sergie Loobkoff:** So it wasn't like all these Berkeley bands were becoming big or anything. Gilman was still going on, and little bands were still playing. At that point it seemed like there was still a neat little scene going on. To me the thing that changed everything was Warped Tour and Hot Topic, and indie labels that had a lot of money.\n\n**Dale Flattum:** On tour, you'd show up at these clubs and there'd be some brand-new Econoline van parked in front of the club. Some band you'd never heard of. They would have all this nice equipment, this little flurry of people around them always talking on the phone. Then they'd play, and it just sounded like a bunch of nice equipment.\n\n**Jason Beebout:** Lotta new guitars, lotta new vans, everyone had new tennis shoes. There was a big conveyor belt, like, \"Get 'em in, get 'em in, take their photo and then scoot 'em out, scoot 'em out, scoot 'em out!\"\n\n**Frank Portman:** You thought, how can it possibly be that they suck so bad and get so much money?\n\n**Dale Flattum:** I always thought that Ford should have made an indie rock model of the Econoline. Their sales must have just spiked in this way they probably never understood. \"Why did all those vans sell in the '90s? We couldn't make enough of those things.\"\n\n**Jesse Michaels:** The punk that did get big was unrecognizable to me as punk. It's the common complaint: Punk stopped when I stopped going to shows. I don't mean to hit you with that old saw.\n\n**Blag Jesus:** You'd see NOFX, and four bands that were exactly like NOFX. A lot of it was the booking agents, and the way they wanted to do things.\n\n**Jesse Michaels:** A lot of the stuff, like on Fat, sounded so unbelievably cookie-cutter to me. I just thought of it as something completely different and alien, that I didn't have much relationship to. I'm sure lots of people before me would have thought of Op Ivy that way. Like, this is nursery school stuff. Compared to the Fuck-Ups, or whatever they listened to, it was probably a joke to them.\n\n**Fat Mike:** What's hard is fighting your ego. When everyone tells you you could be bigger, that was the hardest thing. Green Day used to open shows for us all the time. Offspring paid us to go on a tour with us in Europe. These bands that were smaller than us, they all got big. To a lot of bands, that makes them feel really insecure. \"All these other bands that opened for us are getting bigger than us. What are we doing wrong?\"\n\n**Sergie Loobkoff:** Besides Green Day, which bands signed to major labels actually did anything with it? I can't think of one. The only other bands to get sort of big like that were Offspring and Rancid. But they didn't even take the same route.\n\n**Lars Frederiksen:** We were never in competition with Offspring or Green Day. We figured if we could be like Bad Religion then we were cool. The only time that we thought about majors, I was like, \"Well, maybe if I get some dough I can get my mom out of the projects.\" My brother had gone to jail and all this bullshit. When we realized it wasn't right for us, we just stayed with Epitaph. But everybody had opinions. It was just like, Jesus fucking Christ!\n\n**Fat Mike:** Hollywood Records, the guy was telling us what he could do for us. He was like, \"Oh, you guys are so great, we can make you this big.\" We were like, well, we have all that. We have a big fan base, we have money. We sell lots of records. And he said, \"Well, if you guys want to be second fiddle to the Offspring your whole career . . .\"\n\nI was like, wow. So that's what you do. You make people feel unsure about themselves. That's how they get bands. We just told our lawyer, there's no fucking way we're doing this. I think we made the right choice. We don't answer to anybody. We just do everything ourselves.\n\n**Adrienne Droogas:** It was hard for Green Day because they were just so wildly popular. I don't think that any of them could go anywhere without people freaking out. Grocery shopping, anywhere. They were in a tough position.\n\n**Lars Frederiksen:** You didn't know what was going on, you knew there was some crazy shit happening with your life. You're playing _Saturday Night Live_ , you're on MTV, you're playing gigs, your records are selling pretty damn good. But at the same time you wanna keep your feet on the ground, because it's not gonna last forever.\n\nI remember being at my mom's house, the \"Salvation\" video came on. And she said, \"I hate this song.\" My mom's got the silver tongue, likes to bust my balls a little bit. I said, \"Really? Well, it's paying your fuckin' rent, isn't it?\" I got her back.\n\nA lot more people wanted to talk to you. I was at a Walgreens once, looking for a halogen bulb. And this girl came up to me and said, \"Hey, you're Lars Frederiksen, right? What are you doing here?\" I was like, \"Buying a halogen bulb. What are you doing here?\" She said, \"Don't you have somebody to do that for you?\" Like I got my halogen bulb guy. Joe. \"Yeah, Joe, check it out, the bulb burnt out again. Can you go down to Walgreens and get me one?\"\n\n**Adrienne Droogas:** It takes it from something that you know, family and support, to this place that's so far removed. It happened with Lars. I came over to the warehouse that he lived in, and I remember him going, \"Hey, I just got this note from Madonna.\"\n\n**Lars Frederiksen:** We were on tour with the Offspring, late '94, early '95. We were at the Roseland Ballroom. She was there. And she wanted to say hi to us.\n\nI was trying to get my shoes on, I had these creepers. I didn't tie 'em, for some reason. We went and met her. There was like 100 people in the hallway. Offspring was pretty big at the time. Madonna was at this end of this room. We met her, she bummed a cigarette and asked if we want any food. She said, \"I really like you guys's band. I like 'Harry Bridges.' \" She was knowledgeable about our stuff. We're just like, \"Fuck, Madonna. Like a Virgin's here.\" She was just really cool. I got tripped out a little bit by it. I ran out of the room, and I lost my shoe on the way.\n\nShe said, \"Oh, Lars . . .\" In front of 100 people. And I said something like, \"Don't be a stranger.\" Or something stupid. It's fucking Madonna! The next day we played in Baltimore. And of course Noodles, the guitar player for the Offspring, was going, \"Oh, Lars, you forgot something!\"\n\nSo there was this basket with some fruit and a bottle of hand lotion, weird stuff. Champagne and shit. We gave the booze to the Offspring. And there was the card. It said, \"It was really nice to meet you guys.\" It was on Madonna stationery, sealed with a kiss. And there was a photo in there, from her _Sex_ book. A Polaroid of her bending over this stool, kinda doing the Marilyn Monroe trip. It was like a frontal shot, but you couldn't see anything. You couldn't see any ass. It had a caption out of her mouth that said, \"Sign with Maverick,\" which was her record label. And a copy of her record, _Bedtime Stories_.\n\nEverybody made a big deal out of it. They all fucking came after us, man.\n\n**Jeff Ott:** I think you can make a living off of music, I just don't think you have to go this well-trodden path to do it. My feeling is if you have moral issues you feel are important, that's more important to follow than to take the path that's easy. My problem with Green Day and Rancid and Offspring is that I felt like they took the well-trodden path, and didn't really reflect too much on the path they were taking. And they got really pissed off at you if you criticized. They just felt like they were being attacked. But what do you expect?\n\n**Ben Sizemore:** The most self-righteous people are only into it for a couple of years, so those of us who have been into it since, like, 13, we see these people come and go. A lot of people who were calling Green Day sellouts in 1994 are probably like stockbrokers now, sellouts themselves. Looking back, it seems silly to hold such animosity.\n\n**Dave Dictor:** It's a big joke. At Gilman they had a big calendar board, what's going on for November and December, and they had this big thing, \"Upcoming shows: Green Day, Rancid.\"\n\n**Davey Havok:** When we signed to Nitro Records, a big independent label out of Orange County, someone made the mistake of sending a stack of those little promotional posters to Gilman Street. I could have told them not to bother. We walked into Gilman one day, where we rehearsed, and up on the wall facing the stage, they had made a big dollar sign out of our AFI posters.\n\nWe were all living in the same room in a frat house with two other people, and four other people that would kind of wander in and out. And volunteering at Gilman Street. We were really raking in the bucks. We would take our jet to Gilman Street. I mean, it was a Lear. But the Gulfstreams are so unreliable these days.\n\n**Ryan Mattos:** I never felt that way about any band. Because if Rancid wasn't on MTV, if I hadn't seen people with mohawks in 1995, '96, I wouldn't be here. I thought nothing happened after 1980. If Green Day hadn't been on the radio and trickled down to all those other bands, I wouldn't know shit.\n\n**John Geek:** I hate to set myself up as a spokesperson on something like this, but looking at the history of it, I don't think ideas about anti-commodification, the stridently underground ideas about punk, were part of the original thought in 1975. That was something that came around with Crass and bands like that a little later on. The rest of it was like, \"Let's get as big as possible and thumb our noses at as many people as possible on the way.\"\n\nWhich is kinda awesome, too. I can see that that's punk, in its own weird way. But the kind of punk I've always felt more a kinship with\u2014the stuff that can't be commodified\u2014that doesn't work on commercial radio. Stuff like Econochrist, Rorschach, Blatz, Filth\u2014dirty and underground, forcing its way into the field of vision like an ugly sore.\n\n**Davey Havok:** Major labels are straight up. They're like, \"We're not your friend. We're trying to sell records. This is what's going to happen, and this is what's not gonna happen.\" Whereas most experiences that I've had with independent labels, it's all buddy-buddy. \"We're friends. This is all art, this is all artistic.\" Until it comes time to make a business move that can really improve the business matters of the label, and then your friendships change. Which is fine if that's the basis of your relationship. But when it's veiled, when it's cloaked in a pseudo-friendship, it's really nasty.\n\n**Howie Klein:** I loved turning people on to Green Day. But it was really more about the fact that I was an executive at a record company and Green Day was bringing in a lot of money. On a personal level, yeah, the music is wonderful. But on a business level, I had a responsibility to my employees and to my shareholders and to the company. And Green Day was a huge part of that.\n\n**Blag Jesus:** There used to be a corporate-label stigma. But there really isn't anymore because kids can't really conceive of another thing. They grew up with their favorite bands being on corporate labels, for the most part.\n\n**Davey Havok:** We got zero flack for our album on a major label. Because the notion had become obsolete at that point. The culture changed so much. A major shift moved from caring about what labels people were on to just caring about what music they were making. Music has been in such a downward spiral that people no longer can focus on such trivial things as who's putting out the record, when you have to really search to find bands that are worthwhile.\n\n**Jello Biafra:** My attitude towards that was, you're wasting way too much energy on a bunch of bullshit at this point. We all knew how good this music was when we got into it. There were always great classic songs, if only the masses could hear them. And now the masses hear them, and everybody's yelling at Green Day, the Offspring and Rancid for being so damn big. It was good music, it was bound to happen. You could either waste your energy freaking out about that, or you could support people you like who need your help deep down underground.\n\n**Blag Jesus:** You'll always have people who are \"underground people,\" those people in the tipping point who are the connectors, or who grab things and make it cool for other people.\n\n**Andy Asp:** The real thing is still the real thing. It hasn't diminished.\n\n**Jason Beebout:** It was an education. I'm happy about it. I got to tour, I got a bunch of money up front, that went to my managers! And I can tell anyone else, that's exactly what's gonna happen to you.\n**53**\n\n**Longview**\n\n**Frank Portman:** It is weird to think about. You're there at Gilman, this disastrous show. \"Wow, my father donated these grab bars. The plumbing materials.\" The toilets I refused to clean.\n\n**Sergie Loobkoff:** I feel sorry for people that didn't have something like Gilman. It doesn't have to be music. It could be anything. It could be a Christian youth center in Mississippi. It could be a Satanist cult in Vancouver, or whatever. Just something outside of high school.\n\n**Ben Saari:** Gilman couldn't happen anywhere other than Berkeley. It took advantage of the triple threat of liberal Berkeley, a fucked-up industrial neighborhood, and the social privilege of the kids who were going there. If it had been a bunch of black kids doing that in North Berkeley, it would've got shut the fuck down right away.\n\n**Billie Joe Armstrong:** The way I look at it, you can't just go there. To go to Gilman is to be involved with Gilman.\n\n**Spike Slawson:** It's sort of a free exchange of ideas through music. That was the impression I got. Of what was possible.\n\n**Jim Widess:** I take it as a little hidden badge of pride that we can do this. As a landlord, I'm very happy with the arrangement. They're good tenants, they take care of it, and they pay the rent on time. I don't want another nail salon in the front. I think we're also providing something that the community needs, and that does something for my ego, of course. I'm not that fond of the music. But that's okay.\n\n**Jeff Ott:** If I ended up with a ton of money I would absolutely take it and go to other places and start a place just like Gilman, so that other kids could have their own thing. I would be obliged to do that.\n\n**Mike Avilez:** You go to the Warped Tour and walk around and you'll hear 100 bands that try to sound like Green Day or NOFX. It's just disgusting. They're missing the angst. To me, punk rock is supposed to be angry and pissed off. Some of this other shit nowadays is college rock. It has a whole 'nother meaning.\n\n**Jimmy Crucifix:** I had a punk band come in to Lennon Studios the other day\u2014one of the new ones. They'd never heard of bands like Fang and Crucifix. They've heard of Blink 182, Green Day, AFI and all that stuff. They were talking business plan. Songs and structure. They made it so serious. I would go out there either naked or dressed in drag.\n\n**Aaron Cometbus:** Everyone acts like in the old days it was pure and now it's totally different. But look at the early S.F. bands\u2014they all broke up because no one would sign them. Flipper jumped at the chance to be on Def Jam. And Jimmy from Crucifix, he tried out for UFO. It would be hard to get more corporate rock than that.\n\n**Mike Avilez:** The new kids do their research on the Internet. There's a whole group of new bands out there in the Bay Area that are '87 punk rock. There's Second Opinion, Instant Asshole, Night-stick Justice, Warkrime and Throat Oyster. The kids are learning and they take that early style and try to play like it. A lot of them are trying to be like Minor Threat.\n\n**Davey Havok:** Ceremony seem to be quite the buzz band in the hardcore scene right now. They have 40-second songs that sound like a cross between Negative Approach and maybe early DRI. It's very interesting. That's the jam right now. And the look\u2014flipped-up baseball hats, the bandana-tied wrists and head and legs, it's very interesting. That thrash hardcore is in.\n\n**Martin Sorrondeguy:** Punk dies for people at different periods. Somebody from 82's gonna complain about somebody from '78 because they said it died that year. It's an endless cycle. Every kid growin' up is gonna have their own unique experience. No matter if somebody wrote a song similar to that 25 years ago, they're living it right now.\n\n**Lochlan McHale:** I enjoy hearing punk music everywhere I go. I love seeing kids walk down the street with a Rancid back patch or Green Day or Op Ivy back patch. I'm all for it. For a punk to say shitty things about the community, it's like, why? It's one of the raddest things ever.\n\n**Chicken John:** Punk wasn't a kind of music that a couple people played. Punk rock was a fucking movement. If you'd asked me in 1984 how many punk rockers are there in America, I would say, \"I don't know. Hundreds.\" If you had asked me in 1988 how many punk rockers are there in America, I would've said tens of thousands. How many people have been exposed to the punk movement now? Tens of millions! I mean, just because no one's given fucking Ian MacKaye a gold record doesn't mean that Fugazi's first record didn't go quadruple platinum.\n\n**Jello Biafra:** Punk and hardcore always drew people of all extremes because it's an extreme form of music. There were people from the extreme left, from the extreme right. There were people who are extreme in their militant party-animal apathy. People say, \"Oh, there's a punk philosophy.\" Really? Which one?\n\nPunk was never a movement, it was a sound. It was an inspiration, entertainment. More than entertainment to many of us, in a spiritual way. But it is not a movement. A movement has its eye on the prize. What would the prize be here? More punk? It's something else. Something that drew all types of people, who got all kinds of different things back from it.\n\n**Anna Brown:** I gave up trying to be someone else. You can't do it. Every time I travel, I say, this time I'm gonna go to museums and do cultural stuff. But the best times are still when I end up finding the punks, because those people know what's going on. We have a certain way of seeing the world. You can travel the world as a punk and people come to see you and you go to see them. That's what you have in common and that's actually a lot. It's radically transformative. I am grateful. True 'til death! Just not death at 25.\n\nLarry Boothroyd: Don't wait for permission.\n**54**\n\n**He Who Laughs Last**\n\nTim Yohannan, editor of _Maximum RocknRoll_ , passed away today, April 3, 1998 at home with his friends by his side. Love him or hate him, Tim had a huge influence on punk rock. He will be missed.\n\n_\u2014A Tim Yohannan Memorial_\n\n**Martin Sprouse:** Tim smoked a lot. Two packs a day. Benson & Hedges Lights. Gold pack.\n\n**Mike LaVella:** He could smoke a whole cigarette in about three drags. Really hit that fuckin' thing.\n\n**Martin Sprouse:** But the day he found out he had cancer, he quit. He had a pack of cigarettes sitting on his desk, he just stopped cold turkey. Even though it wasn't related to his cancer. That's that weird kind of brain that guy had.\n\n**Cammie Toloui:** In the end, when he was dying, I wrote him a letter to just say everything that I had been feeling about what happened between us. A week before he died he wrote me back, telling me how much he loved me and that I was okay, and all this good stuff.\n\n**Martin Sprouse:** We had people lined up to take things over. Things were in place. He was sick two years, three years. In the process of bringing new people in, he was there. He was such a control freak. He helped select the people, and helped talk about it, and the debate of whether _Maximum_ should go on.\n\n**Martin Sorrondeguy:** I knew it was progressively getting worse. I was in Chicago, but everybody knew. It was word of mouth.\n\n**Martin Sprouse:** They had tried everything. When he got diagnosed, supposedly it was already in the fourth stage. Non-Hodgkin's lymphoma.\n\n**Martin Sorrondeguy:** I remember one day deciding to call _Maximum_ because a friend had said, he's not getting out of bed much. I was told that he was already losing memory.\n\nTimojhen answered and I said, \"Hey, is Tim around?\" And he said, \"Well, yeah, but he might not know who you are.\" But I guess they said, \"Hey, Tim, it's Martin from Chicago.\" He took the phone and he said, \"C\u00f3mo est\u00e1s?\" I knew he knew. So I said, \"Hey, Tim, how are you?\" And he was like, \"Don't stop sending us your records.\"\n\n**Martin Sprouse:** There was about four of us there, throughout the whole night. His ex-girlfriend, me, Timojhen and Jerry Booth, an old friend of Tim's who did the accounting for _Maximum_.\n\nWhen he couldn't really talk anymore, he started humming and moving his head a little bit. His eyes were closed. You could barely hear it. We all got up close and realized he was humming a Flipper song: \"Isn't life a blast, it's just like living in the past.\"\n\n**Martin Sorrondeguy:** I got a call the day after. It was a really weird moment for me, and really sad.\n\n**Martin Sprouse:** We made hundreds of phone calls.\n\n**Jeff Bale:** I was teaching at Columbia at the time. I had just talked to him on the phone a couple of weeks before, and he didn't sound good, but he didn't tell me how critical his condition was. The next thing you know I fuckin' hear he's dead. I felt such a loss.\n\n**Jello Biafra:** Ruth called me. I was surprised how upset I was. I quickly found myself focusing on the good times we had, when we were good friends. All the positive things and hard work he did for the community vastly outweighs all the crap he pulled when he went off the deep end.\n\n**Martin Sprouse:** He definitely didn't want any recognition or memorial service. He made that clear to me. At the time, we were juggling a lot of things. I said, \"Okay, I'll make that promise to you.\" And I made sure there was no memorial for Tim.\n\nIn hindsight, that was Tim's controlling factor. But a wake has nothing to do with the dead person. It's how people grieve, get over it, celebrate this person's life. And deal with each other. It made everything a little bit isolated. All of us were kind of in our own heads. No one was really hanging out. It was really fucked up. Not that those were Tim's intentions.\n\nI don't know if the magazine mentioned it, I don't even remember. This comment Web site came up, and everyone told their stories. That was kinda cool. A lot of people, some from around the world.\n\n**Jeff Bale:** I posted something on that. Some of Tim's enemies posted some nasty comments.\n\n**Martin Sprouse:** The mainstream press gave Tim more recognition than the people who were close with him, who shared his ideas. _Rolling Stone_ paid their tribute to Tim Yo, when he had nothing to do with _Rolling Stone_. The _San Francisco Chronicle_ had a one-liner, where they spelled his name wrong.\n\nTim Yo didn't want anyone to deal with his body when he died. He had this naive idea that if no one claimed his body, the city would just come pick up his body and process him as a John Doe. In theory it sounded good, but it's like something out of a Humphrey Bogart movie.\n\nThe hospice nurse asked us, \"Have you made arrangements?\" We hadn't really thought about it. I just reiterated Tim's plan. And they said, \"Uh, that's ridiculous. You do it that way, the homicide squad's gonna come out there and yellow-tape the whole place, and check for suspicious death.\" So the hospice people hooked us up with a funeral service.\n\nThe very next day, I had to go meet with these people and tell them we didn't want the ashes. They could not understand that. We had to give them extra money. We didn't want a plaque, we didn't want to know anything about it. I sat there for an hour, trying to explain this to some funeral director. He thought we were crazy. But I knew this is what Tim would have wanted.\n\nThey dumped his ashes out in the bay, with a bunch of other people's. I told his brother this whole thing, and his brother said, \"Wow, that's so ironic. Because the bastard couldn't swim.\"\n**55**\n\n**Rock 'n' Roll High School**\n\n**Jello Biafra:** Tim once explained to me why he was a socialist and not an anarchist. He felt there needed to be some kind of government entity, to transfer the wealth from people who had too much to people who have too little. And I think he's right.\n\n**Jeff Bale:** I wish he was still around, so we could argue and listen to records. But he isn't.\n\n**Dave Dictor:** I loved him. I wrote a song for him called \"Timmy Yo.\"\n\n**Jeff Ott:** He was very Marxist. It took quite awhile to realize how much he had going on. Never been in a band, fairly soft-spoken guy. He'd get angry and argue or whatever, but for the most part, his method of having power in the world was talking with other people, or writing, and handing it over.\n\n**Dave Mello:** Tim Yohannan was always that older guy, smoking cigarettes in the corner. He was a quiet guy, but he was very much the guy that organized Gilman\u2014with 14-, 15-, 16-year-olds. It wasn't like we were really scared of him, but he could chew your face off if he started to yell at you.\n\n**Ben Saari:** Tim was kind of an asshole at meetings, but he really had a concrete vision. About kids creating their own culture and running things themselves.\n\n**Blag Jesus:** The hippie generation of people were the first to turn around and become the worst kind of capitalists. So the fact that a guy like Tim Yohannan held on and always stayed true to his ideals, that's a beautiful thing. He deserves to be commended for that.\n\nYou can make fun of him for it, and I did, but he had a sense of humor. If you got rich from an East Bay punk band, you owe everything to Tim Yohannan. He was making a world-renowned magazine. If you had a bumfuck band in Milwaukee, only some people in Milwaukee knew about it. If you had a bumfuck band in the East Bay, everyone all over the world knew about it.\n\nSo Tim, in an indirect way, is responsible for making bands like Green Day and Rancid very wealthy. They should fuckin' have a permanent memorial to the guy. The East Bay punk scene owes everything to him, and a lot of the California punk scene does.\n\n**Mike LaVella:** There was a lot of mystery around Tim. He had a daughter. A lot of people didn't know about that.\n\n**Kurt Brecht:** A friend of ours lived up near Haight-Ashbury. MDC turned us on to this cool lady, said she was punk-friendly. So every now and then I'd ask her if I could take a shower.\n\nHer and Tim Yohannan had a baby. They weren't married. He didn't ever acknowledge the child. He didn't want to have children. The girl's grown up, probably 20 years old, 21, 22.\n\n**Martin Sprouse:** Jello called me maybe three years ago, and told me he had met Tim's daughter in Texas. She wrote me once or twice. I guess she had a lot of anger towards him. She'd never met him.\n\n**Bill Schneider:** I really wonder what Tim Yohannan's take on Gilman was, later in life. He seemed to rail against everything the East Bay scene became. He hated that all the bands got popular. I wonder if he was ever able to step back from being bitter to see what really came out of Gilman. He had more foresight than he ever knew.\n\n**Mike LaVella:** He was the machine that drove _MRR_. I can't believe it's still going. Now they have _Punk Rock Confidential_ to tell them who got married. When that thing came out, I was like, Tim Yohannan is rolling over in his grave. \"Blink 182 on the golf course,\" or whatever. Oh my god, that would make him sick.\n\n**Kevin Carnes:** Anybody that's ever been in Gilman, onstage or through the doors, was blessed because of that guy. If he walked in this room, I would run over and kiss him and hug him and say, \"Thank you for doing what you do.\" Between that space and _Maximum RocknRoll_ , that guy left a huge thing.\n\n**Chicken John:** The man was unbeatable. It doesn't matter how wrong he was, the guy had an idea and he was gonna stick to it. That is the greatest lesson in life, stick with it. Don't think about how unfair he was, think about how much _more_ unfair someone else would have been.\n\nThink of the contribution he made to our lives. What if he didn't do it? What if he became an interior decorator instead? What if people like Tim didn't rise to the occasion? History as we know it would be seriously altered if three people like Tim chose different paths. I'm glad I knew him.\n\n**Steve Tupper:** I've seen a whole lot of labels come and go over the years, distributors, record stores, radio shows, DJs, fanzines. _Maximum_ just keeps going as an institution.\n\n**Jello Biafra:** I open up an issue now and it's almost like reading an issue from 20 years ago. In one way that's good 'cause there's still the same energies and concerns, reviews of lots of unknown bands. But reading the letters section, in particular, also reveals the same hang-ups and the same _nya nya nya_ , gossip, gossip, gossip.Two demerits for this person for being politically incorrect, three demerits for this one.\n\n**Martin Sprouse:** I stayed involved until a year after he died. Just to make sure the transition happened well. I look at it from time to time. I talk to those guys. But you know what? They're fine. They're doing it right.\n\n**Martin Sorrondeguy:** It's continually being flooded with the newest punk music from everywhere. Things are really similar in the look of the magazine, it's been pretty linear in that sense. Same paper, still on newsprint. Everyone talks about having the ink on the fingers, so you still get that experience.\n\n**Jeff Bale:** Tim created such an organizational machine that even after his death it continued functioning like a zombie without a brain that kept stumbling. Frankly that's kind of the way I see _Maximum RocknRoll_.\n\n**Martin Sprouse:** Much like Gilman, it's on its tenth generation of organizers. They're not sticking by these rules because the elders told 'em to. But because it's the way it should be done, and they agree with it.\n\n**Martin Sorrondeguy:** _Maximum RocknRoll_ , for me, has always been the pinnacle of what is punk culture, and putting that out there. The radio show still happens in the house weekly. They don't let too many bands stay there, because people started stealing from the collection. They put some of the really rare records on lockdown. Basically you can sign it out, like an archive or a library. The collection is anywhere between 45 to 60,000 records, something like that.\n\nI've heard a lot of young people say, \"Fuck _Maximum RocknRoll_ .\" You don't even realize how important that magazine was. That was like your _news_. That was what linked you to the rest of the punk goin' on outside of you and your friends. That's how you tape-traded with people, that's how you got zines from people. That's how you got in touch with bands. You couldn't click on your computer back then.\n\n**Jeff Bale:** There's always gonna be underground bands that release their stuff on underground labels, and I say thank god for that. Because that's where all the fresh good stuff's gonna come from. People are gonna buy those records and go see those bands. That's just the way it's gonna be. Whether the corporate world takes notice or not is pretty much irrelevant.\n\n**Martin Sprouse:** When I was involved, the whole world was different. The economy was different, punk rock was different. _Maximum_ had money. But _Maximum_ doesn't make that much money. _Maximum_ gets by.\n\n**Martin Sorrondeguy:** It's still connected with Gilman. They aren't there all the time, but a lot of the same people that work on Gilman stuff help out with _Maximum_ , and vice versa. The magazine's still coming out, and the magazine still features or covers a band that no one knows. Because it still sticks to that basic thing of Right Now. And that's really the true essence of punk.\n\nTim Yo Mama: Yohannan at Epicenter\n\nI saw a dude sittin' at the bar with his old punk shirt on, slammin' beers, goin', \"I saw Discharge in '81.\" And a kid said to him, \"Yeah, who've you seen since then?\" It's like fuckin' nobody, man. Who cares?\n**WHO'S WHO**\n\n**A. C. Thompson:** Former 924 Gilman and Epicenter volunteer. Now toils as an investigative reporter.\n\n**Aaron Cometbus:** Publisher of _Cometbus_ fanzine since 1981. He lives with Anna Joy and their three children on a ranch just outside of Laramie, where he is developing alternative energy methods through the use of wind turbines.\n\n**Adam Pfahler:** Drummer for Jawbreaker. Currently lives with his wife and two daughters in S.F., where he owns Lost Weekend Video and Blackball Records.\n\n**Adrienne Melanie Droogas:** Spitboy and Aus Rotten singer. _Profane Existence_ , _Maximum RocknRoll_ , and _Slug & Lettuce_ columnist, and self-proclaimed punk rock goddess. Currently adventuring in the land down under with the man of her dreams.\n\n**Al Ennis:** Co-founder of _Maximum RocknRoll_ Radio. Still crazy about music. Works as an accountant.\n\n**Al Schvitz:** Drummer for MDC.\n\n**Andrew Flurry aka Frog:** S.F. native. Member of Team 'O Fools.\n\n**Andy Asp:** Singer\/guitarist for Nuisance. Currently an \"aesthetic pilgrim\" based in Oakland. \"Once a bum, always a bum.\"\n\n**Andy Pollack:** Director of the Farm, 1983-1986. Continues as a tax-preparing, musically inclined, San Francisco\/Northern California hippie.\n\n**Anna Brown:** Berkeley native. What she does is secret.\n\n**Anna Joy Springer:** Onetime member of Blatz, Cypher in the Snow, and the Gr'ups. Now an ex-punk Buddhist dyke writer of cross-genre works about the complicated intersections of love and grief. She teaches writing at UC San Diego.\n\n**Antonio L\u00f3pez:** Co-founder of L.A. punk zine _Ink Disease_ and the international zine distributor Desert Moon Periodicals. He is a product of Peace and Conflict Studies at UC Berkeley. Creator of a multicultural media literacy curriculum, Merchants of Culture. Author of _Mediacology_ , a book on media education and sustainability. He resides in Rome, Italy, with his partner and daughter.\n\n**Audra Angeli-Slawson:** Onetime peace punk and skinhead. Longtime booker. Creator of Stinky's Peepshow. Director of Incredibly Strange Wrestling. Den mother.\n\n**B. A. Lush:** San Francisco punk. Co-founder of Team Lush. Now holds a master's of science in psychology and has become an authority figure to be rebelled against.\n\n**Barrie Evans:** Lead singer of Christ on Parade. Now fronts the Hellbillies.\n\n**Ben de la Torres aka Crimson Baboon:** Gilman volunteer since '96. Spoken-word artist, singer\/drummer for Clan of the Bleeding Eye and Super Happy 9\/11 Dance Party. Got clean. Still a punk, still in the pit.\n\n**Ben Saari aka A-Head:** Moved to the East Bay in 1985, just in time for everything to start sucking. Moved back to the North Bay in 1988, just as everything was becoming awesome. Any greatness he has is purely by association.\n\n**Ben Sizemore:** Singer for Econochrist. Currently living in Oakland and doing social work in San Francisco. Still punk, vegetarian, and straightedge.\n\n**Bill \"Halen\" McCracken:** Jak's Team since '82. Ran the Valencia Tool & Die. Onetime owner of Government Records. Stage manager at the Mabuhay Gardens, Elite Club, and On Broadway. Bass player with Unstrung Heroes. Manager of Verbal Abuse. Currently bass player for the Wrong Impressions and a manufacturing\/machining professor who books shows when he's inspired.\n\n**Bill Michalski:** Former punk rocker. He lives in San Francisco and misses New Orleans.\n\n**Bill Schneider:** Onetime bassist for Monsula and Skin Flutes. Bass player in Pinhead Gunpowder.\n\n**Billie Joe Armstrong:** Lead vocalist, guitarist, and lyricist for Green Day. Guitarist and vocalist for Pinhead Gunpowder. Singer for Foxboro Hot Tubs. Still lives in the East Bay.\n\n**Blag Jesus:** Rock legend. (\"Eat a dick!\")\n\n**Bob Noxious:** Singer for the Fuck-Ups.\n\n**Bonedog aka Dwayne Mileham:** Bay Area punk. Onetime Gilman shitworker and member of planning committee. Still has a complete collection of _Maximum RocknRoll_ and over 10,000 records.\n\n**Bruce Loose:** Vocalist for Flipper and Not Flipper.\n\n**Bucky Sinister:** Has released one CD and written four books, the latest of which is _Get Up_ , a recovery book for the punk crowd.\n\n**Buzzsaw Bill:** Singer of Naked Lady Wrestlers. (\"It's not so easy being a billionaire playboy.\")\n\n**Cammie Toloui:** Gilman shitworker and founding member of the Yeastie Girlz. Living happily in Portland, Oregon. Still taking pictures and singing loud in the car.\n\n**Carol DMR:** Former gangsta and concert promoter 'round the Bay. Currently easing tension with therapeutic massage and making music\/drama videos.\n\n**Chester Simpson:** Freelance photographer who captured the early San Francisco punk scene. Now lives in the D.C. area and shoots it all, from Civil War reenactors to rock stars.\n\n**Chicken John:** Showman and contrarian living in S.F. Still putting on free shows and pulling off unrealistic stunts. His life remains a punk rock disaster movie.\n\n**Chip Kinman:** Vocalist and guitarist for the Dils.\n\n**Christopher Appelgren:** Owner and former president of Lookout! Records. Album cover artist and member of Bumblescrump, the PeeChees, and the Pattern. Now general manager of the Noise Pop music festival in San Francisco.\n\n**Cinder Bischoff:** Singer of Tilt and Retching Red. Co-founder of Cinder Block.\n\n**Courtenay Dennis:** Former San Francisco\/Berkeley loudmouth. Now an L.A. smartmouth and gets paid for it. On a radio or screen near you.\n\n**Creetin K-oS:** Lead singer for Social Unrest. Owner of Proudflesh piercing studio.\n\n**Dale Flattum:** Bass and vocals for Steel Pole Bathtub. No longer sleeps in a van, and enjoys spending his time playing with scissors and his son.\n\n**Dallas Denery:** Managed to scream more or less in tune for three years with the Sweet Baby (Jesus) and now teaches medieval history somewhere in New England.\n\n**Dan Rathbun:** Came to the Bay Area to attend UCB engineering school but chose a life of music. Member of Acid Rain, Idiot Flesh, Charming Hostess, and Sleepytime Gorilla Museum. Owner of Polymorph recording studio in Oakland.\n\n**Daniel DeLeon:** Guitarist for the Insaints.\n\n**Danny Furious:** Co-founder of the Avengers. The angriest, sweatiest, hardworkin'est, and arguably best and most beautiful drummer that ever smashed up his kit.\n\n**Danny \"Radio Shack\" Norwood:** Founding member and longtime guitarist of Social Unrest.\n\n**Dave Chavez:** Jak's Team since 1985. Former bass player for Sick Pleasure, Code of Honor, and Hot Rod Shopping Cart. Lives with son Ivan and wife Rachel, and still plays with Verbal Abuse.\n\n**Dave Dictor:** Singer\/songwriter for MDC.\n\n**Dave Edwardson aka Dave Ed:** Born and bred in Berkeley. Bassist for Neurosis. Member of Jesus Fucking Christ and Tribes of Neurot.\n\n**Dave Mello:** Former drummer for Schlong and Operation Ivy. Now guitar player for Jewdriver and full-time father, living in the East Bay.\n\n**Davey Havok:** Lead singer for AFI. He created the clothing line Paden. Still straightedge and vegan.\n\n**David Solnit:** Editor of _Globalize Liberation: How to Uproot the System and Build a Better World_ , co-author of _An Army of None: Strategies to Counter Military Recruitment, End War and Build a Better World_. Key organizer of the direct action shutdown of the World Trade Organization meeting in Seattle in 1999 and the shutdown of San Francisco the day after Iraq was invaded in 2003. He is a puppeteer and still a punk.\n\n**Dean Washington:** Founding member of EBU. Skater for life, still grinding and going to shows. He lives in Oakland.\n\n**Dennis Kernohan:** Singer for the Liars\/Sudden Fun.\n\n**Dirk Dirksen:** Booker of Mabuhay Gardens.\n\n**East Bay Ray:** Guitarist for Dead Kennedys and Jumbo Shrimp.\n\n**Edwin Heaven:** Manager of the Nuns.\n\n**Eric Ozenne aka Sheric D:** Unit Pride, 1985-1989, Redemption 87, 1995- 1997, the Nerve Agents, 1998-2001. Currently in Said Radio. Grace's dad and student of social work.\n\n**Fat Mike:** Lead singer and bassist for NOFX. Bass player for Me First and the Gimme Gimmes. Owner of Motor Studios. Founder of Fat Wreck Chords and _Punk Rock Confidential_ quarterly. Founder and organizer of Punkvoter and Rock Against Bush. Still lives in S.F. with wife Erin and daughter Darla.\n\n**Floyd:** Epicenter and Blacklist worker, ISW worker, Fat Wreck Chords employee, _MRR_ shitworker, and occasional advice columnist.\n\n**Fraggle:** Longtime doorman at Gilman. Co-founder of Dementia House and Pill Hill. Drunk for life.\n\n**Frank Portman aka Dr. Frank:** Best known as the singer\/songwriter of the Bay Area punk band the Mr. T Experience. His bestselling young adult novel, _King Dork_ , was published in 2006, so now he goes around calling himself a \"famous author.\" His second novel is called _Andromeda Klein_.\n\n**Fritz Fox:** Singer of the Mutants.\n\n**Gary Floyd:** Ex-hippie, punk, commie, Hindu redneck queer next door. Fronted the Dicks, Sister Double Happiness, Black Kali Ma, and Gary Floyd Band.\n\n**Gavin MacArthur:** Guitarist for Schlong and mastermind behind _Punk Side Story_. Now lives in New Orleans and is currently on a quest for the ultimate gravy biscuit.\n\n**Ginger Coyote:** Singer for the White Trash Debutantes. Founder and editor of _Punk Globe_.\n\n**Gordon Edgar:** Bay Area punk. Cheesemonger at Rainbow Grocery Cooperative since 1994. Writing a book on cheese, food politics, and punk.\n\n**Greg Oropeza:** Founding member and guitarist of Ribzy and early '80s promoter.\n\n**Greg Valencia:** Guitarist and vocalist for Grimple and El Dopa. Currently playing with Watch Them Die.\n\n**Hank Rank:** Drummer of Crime. Film producer.\n\n**Hef aka Jeff Hoffman:** Former and sometimes background singer with Fang and Special Forces. Resident at Madonna Inn (Fang house). Now environmental attorney, but still a punk!\n\n**Hilary Binder:** Founder of HOLC. Co-founder of Studio 4. Currently living in the Czech Republic and running CESTA, an international not-for-profit center established to foster cultural understanding and tolerance through the arts. Still playing in Sabot with Chris Rankin.\n\n**Howie Klein:** Founder of 415 Records, former president of Reprise Records. Currently a political blogger.\n\n**Hugh Swarts:** Vocalist and guitarist for Thinking Fellers Union Local 282.\n\n**Ian MacKaye:** From Washington D.C. Co-founder and co-owner of Dischord Records. Has played in a number of bands, including the Teen Idles, Minor Threat, Embrace, Fugazi, and the Evens.\n\n**Insane Jane aka Jane Weems:** San Francisco punk drummer and artist, 1978-2003. Now retired and living in Northern California.\n\n**James Angus Black:** Onetime roadie for Verbal Abuse, Urban Assault, Fuck-Ups, DRI, and Boss Hoss. Currently planning a one-man show and staying out of trouble.\n\n**James Stark:** One of the photo and graphic artists instrumental in the beginning of the San Francisco punk rock scene.\n\n**James Sullivan:** Former _San Francisco Chronicle_ music critic. Author of _The Hardest Working Man: How James Brown Saved the Soul of America_.\n\n**James Washburn:** Gilman, 1987-1992. Backyard Believers since 1994. Automotive mastermind, cop hater, East Bay Creep, and a bulletproof ass kicker. (\"Fuck yo mama.\")\n\n**Janelle Hessig:** Bay Area animator, writer, drummer, and comic artist who continues to publish her zine _Tales of Blarg_. She was the inspiration for a number of songs, including Bratmobile's \"The Real Janelle.\"\n\n**Jason Beebout:** Ambidextrous chanteuse for Samiam and Isocracy. Is into earth tones and spends much of his time in the water.\n\n**Jason Lockwood:** Young punk rock fart turned BASH Boy turned old punk rock jerk. Now mild-mannered father and East Bay Rat.\n\n**Jason White:** Onetime guitarist for Monsula. Guitarist for Pinhead Gunpowder, Green Day, and Foxboro Hot Tubs.\n\n**Jeff Bale:** Inveterate countercultural libertine, contrarian, and rebel. Co-founder of _Maximum RocknRoll_ magazine, former singer in two garage bands, and ex-editor of _Hit List_ magazine who is now pretending to be respectable in his capacity as a college professor.\n\n**Jeff Goldthorpe:** Fifteen years of \"No\" led to _Intoxicated Culture: A Political History of California Punk_ , which sold 20 copies. Fifteen years of \"Yes\" led to a partner, two kids, a house, and a teaching job. Currently writing political memoir, where \"Yes\" and \"No\" meet.\n\n**Jeff Ott:** Singer for Crimpshrine and Fifteen. Author of _My World: Ramblings of an Aging Gutter Punk_ and _Weapons of Mass Destruction and the Real War on Terror_.\n\n**Jeffery Bischoff:** Guitar player for Tilt and co-founder of Cinder Block, a merchandise company that designs, manufactures, and distributes band merchandise for tour and wholesale worldwide. Now a painter, country songwriter, and chef.\n\n**Jello Biafra:** Lead singer of Dead Kennedys. Owner of Alternative Tentacles.\n\n**Jennifer Blowdryer:** Singer for the Blowdryers. Author of _Modern English: A Photo Illustrated Trendy Slang Dictionary_. Founder of Smut Fest.\n\n**Jennifer Miro:** Singer for the Nuns. Fetish model.\n\n**Jennifer Rose Emick:** Gilman volunteer and Klingon from '87 to '92. Now a nonfiction writer, blogger, and PTA mom.\n\n**Jerme Spew:** Former bouncer, bike messenger, and spoken-word artist. Now a Brazilian jiujitsu practitioner and husband.\n\n**Jesse Luscious aka Jesse Townley:** Longtime 924 Gilman and KALX volunteer. Alternative Tentacles and Lookout! employee. Band member of Blatz, Gr'ups, Criminals, and Frisk. Green Party politician. And all-around rabble-rouser.\n\n**Jesse Michaels:** Singer of Operation Ivy and Common Rider. Currently writing, painting, and songwriting as always.\n\n**Jibz Cameron:** Now a wealthy performance artist going under the moniker Dynasty Handbag.\n\n**Jim Jocoy:** Photographer at the Mab. Now a physical therapist.\n\n**Jim Lyon:** Guitarist and songwriter for Teenage Warning, 1981-1994. EBU for life.\n\n**Jim Widess:** Gilman landlord. Owner of the Caning Shop. Authority on gourd craft, gourd carving, and gourd musical instruments.\n\n**Jimmy Crucifix aka Francis Schmith:** Played in Pretty Killer, the Next, the Rave, Crime, Chaintown, TVH, Crucifix, Fang, Resistoleros, and Proudflesh. Currently solo artist and operations manager of Lennon Rehearsal & Music Services in San Francisco.\n\n**Joe Rees:** Video documentarian and mastermind of Target Video.\n\n**Joey Shithead:** Singer for DOA.\n\n**John Borruso:** Founding member and visual artist behind early '80s peace-punk band Trial.\n\n**John Geek:** Formerly a pseudo-revolutionary suburban East Bay acid-punk dirtbag kid. Also fronted the Fleshies. Currently sings with Triclops!, and is an overeducated Berkeley wingnut doing archaeology and cultural heritage preservation.\n\n**John Marr:** Uses the lessons learned from three years of _Maximum RocknRoll_ shitwork on his own zine _Murder Can Be Fun_.\n\n**Johnnie Walker:** British pirate radio legend and DJ for the Deaf Club.\n\n**Johnny Bartlett:** Guitarist for the Phantom Surfers, 1988-1996, Saturn V, 1996-2002, Barbary Coasters, 2002-present. Currently creative director for an advertising agency. Lives in Oakland.\n\n**Johnny Bonnel:** Songwriter and lead singer for Swingin' Utters, Filthy Thievin' Bastards, and Druglords of the Avenue.\n\n**Johnny Genocide:** Vocalist and guitarist for No Alternative.\n\n**Johnny Strike:** Guitarist and singer for Crime.\n\n**Jon Ginoli:** Singer\/guitarist\/songwriter for queer rockers Pansy Division. He lives in San Francisco. His memoir, _Deflowered: My Life in Pansy Division_ , has been published by Cleis Press.\n\n**Julie Generic:** Creator of _Weird Weather_ zine, artist, shitworker at the Farm for four years, poster hanger, wanderer. Currently writing book on S.F. punk, '77-'87, with Jayed from the Feederz. Single mom. Likes to laugh. A lot.\n\n**Kamala Parks:** Former drummer for Kamala & the Karnivores, Cringer, the Gr'ups, Naked Aggression, and Hers Never Existed. Still living and working in the East Bay and looking to play music with others who don't mind playing with an old fart.\n\n**Kareim McKnight:** Onetime Cloyne Court denizen. Clinic defender for Women's Choice movement. Co-founder of Direct Action Against Racism, Roots Against War, and Not in Our Name. Worked with October 22 to address police brutality in Los Angeles, organizing in Watts and South Central. Lives in Oakland.\n\n**Kate Knox:** Co-founder of B.O.B. Co-founder and longtime inhabitant of the Maxi Pad. Has been working at Holden High (formerly CCAS), a school for alternative teens, since 1987.\n\n**Kegger aka Kelly Beardsley:** Member of Hags S.F. and former bike messenger. Sober and driving BART trains.\n\n**Kelly King:** Longtime East Bay punk and Flipper fan. Painter by trade and father of four.\n\n**Kevin Carnes:** Detroit native moved to the Bay Area in 1984. Gilman member. Founding member and drummer of Beatnigs fronted by Michael ranti. Founding member of Broun Fellinis. Has recorded with Soulstice, Consolidated, Crack Emcee, Eric McFadden, Storm Inc., and George Clinton. Is currently working with Lady Miss Kier and Shauna Hall.\n\n**Klaus Flouride:** Bassist for Dead Kennedys and guitarist for Jumbo Shrimp. Producer of Hi-Fives, Ape, and Bad Posture.\n\n**Kriss X:** Ass-kicker, hell-raiser, current member of all-woman motorcycle club the Devil Dolls.\n\n**Krist Novoselic:** Bassist for Nirvana, Sweet 75, No WTO Combo, Eyes Adrift, and the reformed Flipper.\n\n**Kurt Brecht:** Vocalist for DRI. Author of several books, including _Notes from the Nest_.\n\n**Larry Boothroyd:** Bassist for Victim's Family and Triclops!.\n\n**Larry Crane:** Ex-Vomit Launch bassist. Now editor of _Tape Op Magazine_ , recording studio owner.\n\n**Larry Livermore:** Musician, writer, Gilman Street volunteer, co-founder of Lookout! Records.\n\n**Lars Frederiksen:** Guitarist and vocalist for Rancid, front man of Lars Frederiksen and the Bastards.\n\n**Lenny Filth aka Lenny Johnson, Lenn Rokk:** Guitarist for Isocracy and Filth. Onetime Ashtray dweller.\n\n**Leslie Fuckette:** Former Fuckette. Now an emergency room trauma nurse in hospitals throughout the Bay Area.\n\n**Liz Highleyman:** Longtime activist came to S.F. from Boston for the '89 Anarchist Gathering. Now a freelance medical writer and journalist focusing on HIV\/AIDS, global justice issues, civil liberties, GLBT\/queer history, and sexuality and gender issues.\n\n**Lochlan McHale:** Southern California punk turned Bay Area punk. Owner of Funeral Records. Producer who works with at-risk youth. Member U.S. Thugs and Rumblers Car Club.\n\n**Lorraine (last name withheld):** Oregon to East Bay transplant. One of the notorious Mad Punx. Currently infiltrating an international pharmaceutical corporation.\n\n**Lynn Breedlove:** Former half-naked yeller for Tribe 8. Now man with tits and jerk of all trades. Comic, novelist, filmmaker.\n\n**Marc Dagger:** Singer of Urban Assault. Co-founder of S.F. Skins.\n\n**Marcus DA Anarchist aka Chief Blackdawg:** Born in San Francisco. Benevolent co-founder of the PyratePunx, which now has 30 chapters worldwide and a record label. Dedicated to the punk community for over two decades.\n\n**Marshall Stax:** Bass player for Blatz, drummer for Subincision, longtime volunteer sound engineer for Gilman. Has been a KALX DJ since 1976.\n\n**Martin Brohm:** Four-stringer for Isocracy and Samiam and former dog whisperer to the stars. Now loving the good life on a hill in El Cerrito, looking down at all the little people he used to make it to the top.\n\n**Martin Sorrondeguy:** Longtime _MRR_ shitworker. Singer of Los Crudos and Limp Wrist. Founder of Lengua Armada Discos. Documentary filmmaker. Prominent figure in straightedge and queercore scenes.\n\n**Martin Sprouse:** From punk rock to independent furniture designer, with stops along the way: _Leading Edge_ fanzine, _Maximum RocknRoll_ , 924 Gilman, Blacklist, and Pressure Drop Press.\n\n**Matt Buenrostro:** Singer, songwriter, guitarist of Sweet Baby. Now working with hundreds of teenage girls.\n\n**Matt Freeman:** Bass player and founding member of Operation Ivy and Rancid.\n\n**Matt Wobensmith:** Creator of Outpunk. Former shitworker at _Maximum RocknRoll_ and Epicenter. Currently software engineer.\n\n**Max Volume:** Guitar builder to the Gods. Guitarist for Big Bear Oatems\/ Little Junior Brownhouse, 1967-1972, the Klingons, 1972-1978, the Runz, 1978-1979, False Idols, 1979-1980, the Naked Lady Wrestlers, 1980 -right now.\n\n**Merle Kessler aka Ian Shoales:** Author, performer, and founding member of comedy group Duck's Breath Mystery Theater.\n\n**Michael Guarino:** Former prosecutor for the Los Angeles City Attorney's office.\n\n**Michael Hoffman:** Got his punk rock cherry popped by Lynn Breedlove.\n\n**Mike Avilez aka Cyco Logic Loco:** Singer of Oppressed Logic since 1994. Bass player for Last Round Up, Retching Red, Strung Up, and many others. Banned from 924 Gilman, 1996-2000. Currently security guard at Gilman. Clean and sober, and still playing music, booking shows, and talking shit.\n\n**Mike Filth aka Mike-O the Psycho:** Bass player for Filth, Strychnine, and Fields of Shit. Still alive at 40. Drugs are so crappy, can't even OD. It is a punk's nightmare.\n\n**Sheriff Mike Hennessey:** Has served as sheriff of San Francisco for 30 years. He is a big fan of punk rock.\n\n**Mike K:** Primarily a toilet cleaner based in San Francisco. Since the 1980s he has been a witness to, and sometimes participant in, the \"radical\" punk community. He maintains a long-standing blood vendetta and commitment to the destruction of American Empire and its quisling agents.\n\n**Mike LaVella:** Publisher of _Gearhead_. Bass player for Half Life.\n\n**Mike Tsongas:** Longtime San Francisco and Powell Street Punk. Today a proud father and poet.\n\n**Miranda July:** Debuted the last name \"July\" on a flyer for her first play, performed at Gilman Street. Now a writer, performer, and filmmaker living in Los Angeles.\n\n**Murray Bowles:** Chronicler of the Lost. Punk photographer and fiddler by night, mild-mannered software engineer by day. Co-perpetrator of East Bay Menace Records.\n\n**Nick 13:** Lead singer, songwriter, guitarist, and founding member of Tiger Army. He has contributed background vocals to countless AFI tunes. And appeared in a few movies in recent years.\n\n**Nick Frabasilio:** Longtime East Bay activist. Slingshot contributor and collaborator.\n\n**Nicki Sicki:** Member of Legionnaire's Disease, Dirtbag, Afterbirth. Front man of Sick Pleasure and Humungus. Currently singing with his band Verbal Abuse.\n\n**Nils Frykdahl:** Virulent anti-humanist and itinerant housepainter. A founder of the Rock Against Rock Museum. Onetime Barrington Hall dweller.\n\n**Ninja Death:** S.F. punk. Deadly Sparks team member. Singer for Emetics. Baker Street denizen. Now working as a licensed mortician.\n\n**Noah Landis:** Oakland born and raised. Guitarist and singer for Christ on Parade, 1985-1990. Currently keyboardist for Neurosis. Bassist for Everything Must Go. Co-founder of Sonic Art Recording Studio. Recording engineer for many East Bay punk bands.\n\n**Nosmo King:** Onetime bassist for Negative Trend, Toiling Midgets, Fifth Column, and the bike-messenger band Noize Boyz. Jak's Team for life.\n\n**Oran Canfield:** Juggling prodigy and underage Farm dweller. He currently plays drums in Child Abuse. His memoir, _Long Past Stopping_ , was recently published by HarperCollins.\n\n**Orlando X:** A fixture in the East Bay punk scene for over three decades. OX, as he is fondly known, was front man for Special Forces, United Blood, and Intrepid AAF. He DJs regularly and works at Amoeba on Haight Street when he's not traveling the globe visiting friends and family.\n\n**Patrick Hughes:** Former _MRR_ and Epicenter shitworker.\n\n**Patrick Tidd:** Former drug-addicted BTU knucklehead. Now a BTU knucklehead addicted to adrenaline working as a framing contractor and whitewater raft guide, and raising five kids in Oakland and Mount Shasta.\n\n**Paul Casteel aka Dogsbar King:** Onetime bass player for Impatient Youth, singer for the Black Athletes. Founding member of House of Wheels and Touch Me Hooker. Jak's Team since 1981\u2014Jak #6.\n\n**PB Floyd:** Longtime member of the Slingshot Collective, which publishes a quarterly, independent, radical newspaper in the Berkeley.\n\n**Penelope Houston:** Balances her dark folk rock solo career with fronting the reformed Avengers and glorious library day job.\n\n**Portia:** Onetime Powell Street punk and nasty little death rocker (never to be confused with \"goth\"). Friend of Hell House and the S.F. Skins. Currently an attorney, living in the East Bay with a private criminal defense practice.\n\n**Rachel DMR:** Founding member of DMR. Now an equestrienne who lives the horsey life when not working or consulting for Bay Area architectural design firms. She lives with her twin sister in Oakland, staying in touch with her punk roots and friendships that have lasted several decades.\n\n**Rachel Rudnick:** Former _MRR_ shitworker. Wrote lyrics for Christ on Parade's \"Another Country.\" Enjoys baking and fostering kittens. Still really bad at Scrabble.\n\n**Ralph Spight:** Guitarist and vocalist for Victim's Family. Currently lives in San Francisco and makes a living teaching Green Day songs to suburban kids between shows with his new band, the Freak Accident.\n\n**Randy Rampage:** Bass player for DOA.\n\n**Ray Farrell:** Rather Ripped Records. Co-founder of _Maximum RocknRoll_ Radio. On to SST, Geffen, and eMusic. Now in technology, guiding record labels through digital royalty process.\n\n**Ray Vegas:** Longtime guitarist for Social Unrest. Onetime bassist and guitarist for Attitude Adjustment.\n\n**Rebecca Gwyn Wilson:** Onetime denizen of the Rathouse. Contributor to Lawrence Livermore's zine _Lookout!_ and, later, _Juxtapoz_. She is a former bike messenger, activist stripper, and a UC Berkeley graduate. Now lives in Oakland with husband Paul Casteel and two children.\n\n**Richard the Roadie:** Toured with many bands, 1991-2004. Shitworker at Gilman, Epicenter, and Blacklist. Presently union trade-show installer by day, printer at 1984 Printing by night. Even more crappy tattoos now.\n\n**Robert Eggplant:** Founding member of Blatz and the Hope Bombs. Onetime member of the S.P.A.M. Records collective, which organized Geekfest. He still volunteers at Gilman and has been publishing his zine _Absolutely Zippo_ since 1987.\n\n**Robert James Hanrahan:** Deaf Club\/Walking Dead cultural instigator and political collaborator.\n\n**Rozz Rezabek:** Front man of Negative Trend and Theater of Sheep. Continues to write _LoverLegendLiar_ , his yet unpublished memoir of scandalous seminal obscurity and 15 minutes that lasted way too long.\n\n**Ruth Schwartz:** Mordam Records founder. Now motivational speaker and business coach.\n\n**Ryan Mattos aka Mad Toast:** Guitarist for Ceremony. Contributor to Rivalry Records. Onetime roadie for Nerve Agents.\n\n**Sammytown:** Singer for Fang and the Resistoleros. Madonna Inn dweller.\n\n**Sara Cohen:** Old friend of yours, present enemy of theirs. Settled down with the bass player from that one band. High school dropout with a Ph.D. in sociology, living and teaching in Seattle and raising a teenager.\n\n**Scott Kelly:** Singer of Neurosis. Still breaking guitars and making babies.\n\n**Sergie Loobkoff:** Toiled in vans for much of his life in bands such as Samiam, Sweet Baby, Soup, Knapsack, and Solea. Now an art director, living in downtown Los Angeles.\n\n**Sham Saenz:** _Punk rocker_ {p\u0259ngk'r\u00e4k\u0259r} n. A worthless person (often used as a general term of abuse); a criminal or hoodlum.\n\n**Shawn Ford:** Co-Flounder of Shred of Dignity Skaters' Union. Now living with his very own family that he made all by himself in Hawai'i, and teaching ESL at Kapi'olani Community College and the Basics of Home Brewing at the University of Hawai'i at Manoa.\n\n**Sothira Pheng:** Singer and songwriter for Crucifix. Currently singer and bass player for Proudflesh.\n\n**Spike Slawson:** Lead singer for Me First and the Gimme Gimmes. Bassist for Swingin' Utters. Bass player and singer for Re-Volts.\n\n**Steve DePace:** Drummer of Flipper and Negative Trend.\n\n**Steve Tupper:** Presently serving a life sentence running Subterranean Records.\n\n**Stormy Shepherd:** Founder of Leave Home Booking, which works with many Bay Area bands, including Rancid, NOFX, AFI, and Me First and the Gimme Gimmes, as well as Tiger Army, the Damned, the Vandals, and the Offspring.\n\n**Suzanne Stefanac:** Former roommate and legal assistant to Jello Biafra.\n\n**Tammy Lundy aka Tammy MDC:** Longtime booker, roadie, and driver for MDC. Founder of Team Herpes. Partner to Mikey Donaldson of Offenders, MDC, and Sister Double Happiness for 16 years.\n\n**Ted Falconi:** Guitarist for Flipper.\n\n**Tiger Lily aka Lily Chou:** Spastic KALX DJ. Editor of _My Letter to the World_ zine, 1993-2001, and _JetLag RocknRoll_ online travel guide. Photographer of bands, places, pastries, and Domokun.\n\n**Tim Armstrong:** Singer, songwriter, and guitarist for Rancid, Operation Ivy, and the Transplants. Co-founder and operator of Hellcat Records. Living in the East Bay.\n\n**Tim Tonooka:** Founder of _Ripper_ zine.\n\n**Tom Flynn:** Founder of Boner Records, and former member of Fang, Special Forces, Duh, and Star Pimp. Now looks upon most other characters in this book with smug superiority.\n\n**Tom Jennings:** Founder of _Homocore_ zine. Co-founder of Shred of Dignity warehouse. Early coordinator at Gilman. Creator of FidoNet. Car nut and technical artist.\n\n**Toni DMR:** Founding member of DMR. Managed to survive those years, as well as a broken neck, cancer, and chemo. Currently a surgical technologist who coordinates transplant teams, harvesting organs from dead bodies to save lives.\n\n**Wendy-O Matik:** Spoken-word performer. Author of _Redefining Our Relationships: Guidelines for Responsible Open Relationships_. Pushing the boundaries on firmly rooted notions in mainstream society on relationships, love, and sexual politics.\n\n**Winston Smith:** Radical collage artist since the 1970s. Created Dead Kennedys logo, album covers for Dead Kennedys, Green Day, and George Carlin, to name a few. Work has appeared in _Playboy_ and _The New Yorker_.\n\n**X-Con Ron aka Ron Posner:** Onetime owner of Fogtown Skate Shop and Concrete Jungle. Longtime guitarist and founding member of MDC.\n\n**Zarah Manos:** Former coordinator of Gilman Street. Now lives and works in Oakland.\n\n**Zeke Jak:** S.F. punk. Jak's Team since 1988. Metal worker and machinist with Survival Research Laboratories.\n**SOURCE INDEX**\n\n#  **Chapter 3: Baby, You're So Repulsive**\n\nDirk Dirksen quotes \"The reason I became the MC\" and \"Out of that, the huge X's,\" from _The Josh Kornbluth Show_ , KQED-TV San Francisco, 2006.\n\nDirk Dirksen quotes \"We premiered something like 25 plays of authors\" and \"I had my nose broken I think seven times,\" from \"What We Talk About When WE Talk About Punk,\" Citysearch, February 1999, by Alexa Weinstein, used with permission from Alexa Weinstein.\n\nAll other Dirk Dirksen quotes from interview conducted on KALX by California Kid, November 20, 1997, used with permission from Alan Parowski.\n\nAll Chip Kinman quotes from interview for _Unknown Legends of Rock 'n' Roll_ , Richie Unterberger, 1997 (Backbeat Books), used with permission from Richie Unterberger.\n\n#  **Chapter 5: Giddyup Mutants**\n\nAll Dirk Dirksen quotes from interview conducted on KALX by California Kid, November 20, 1997, used with permission from Alan Parowski.\n\nExcerpts from \"Cramps\/Mutants: Napa State Hospital,\" Howie Klein, _New York Rocker_ , July 1978, used with permission from Andy Schwartz and Howie Klein.\n\n#  **Chapter 7: You Are One of Our Lesser Audiences**\n\nAll Chip Kinman quotes from interview for _Unknown Legends of Rock 'n' Roll_ , Richie Unterberger, 1997 (Backbeat Books), used with permission from Richie Unterberger.\n\nAll Dirk Dirksen quotes from interview conducted on KALX by California Kid, November 20, 1997, used with permission from Alan Parowski. All Randy Rampage and Joey Shithead quotes from an interview for upcoming documentary directed by Susanne Tabata, used with permission from Susanne Tabata.\n\nQuote from police sergeant, from personal collection of Chester Simpson, used with permission from Chester Simpson.\n\nAll Johnnie Walker quotes from interview with www.jive95.com, used with permission from Norman Davis.\n\n#  **Chapter 9: Fresh Fruit for Rotting Vegetables**\n\nInterview with Jello Biafra from _Maximum RocknRoll_ 11, January 1984, used with permission from _Maximum RocknRoll_.\n\nAll Jello Biafra quotes in _Frankenchrist_ trial section from _High Priest of Harmful Matter\u2014Tales from the Trial_ , Jello Biafra spoken-word CD, used with permission from Jello Biafra.\n\nAll Michael Guarino quotes from _This American Life_ 285, David Segal, March 25, 2005, produced by Chicago Public Radio and distributed by Public Radio International, used with permission from David Segal.\n\nExcerpts from court case from Dead Kennedys et al., Plaintiffs and Appellants, _v._ Jello Biafra, Defendant and Appellant; 094272; (San Francisco County Super. Ct. No. 998892), public domain.\n\nQuote from \"Punk Rock on Trial,\" RJ Smith, _Spin_ , February 2000, used with permission from RJ Smith.\n\n#  **Chapter 10: No One's Listening**\n\nAll Johnnie Walker quotes from interview with www.jive95.com, used with permission from Norman Davis.\n\n#  **Chapter 14: We Are the Kings Now**\n\nLyrics from \"Annihilation\" by Crucifix, used with permission from Sothira Pheng.\n\n#  **Chapter 15: Better Living Through Chemistry**\n\nExcerpts from _The People's History of Berkeley_ , used freely due to GNU free documentation license.\n\n#  **Chapter 17: Blitzkrieg Bop**\n\nExcerpt from \"Part Two: S.F. Skins Respond,\" interview conducted by Tim Yohannan, _Maximum RocknRoll_ 18, October 1984, used with permission from _Maximum RocknRoll_.\n\nExcerpt from \"Northern California Scene Report,\" Tim Yohannan, _Maximum RocknRoll_ 15, July 1984, used with permission from _Maximum RocknRoll_.\n\nExcerpt from \"Nazi Skinheads: The Hate Behind the Headlines,\" Cary Tennis, _Calendar Magazine_ , January 1, 1989, used with permission from Cary Tennis and _SF Weekly_.\n\n#  **Chapter 18: Gimme Something Better**\n\nAll Creetin K-oS quotes from \"Nothing Here Now but K-oS,\" interview by Jason Honea, used with permission from www.punkglobe.com.\n\n#  **Chapter 19: Berkeley Heathen Scum**\n\nLyrics for \"Berkeley Heathen Scum\" by Fang, used with permission from Sammytown.\n\nExcerpt from \"Dixie Lee Carney\/June 14th, 1965-August 6th, 1989,\" _Maximum RocknRoll_ , 77, October 1989, used with permission from _Maximum RocknRoll_.\n\n#  **Chapter 21: Goddamn Motherfucking Son of a Bitch**\n\nExcerpt from \"Bob Noxious of the Fuck-Ups,\" Tim Yohannan, _Maximum RocknRoll_ 8, September 1983, used with permission from _Maximum RocknRoll_.\n\n#  **Chapter 22: High Priest(s) of Harmful Matter**\n\nExcerpt from \"Scene Report Bay Area,\" Tim Yohannan, _Maximum RocknRoll_ 1, July 1982, used with permission from _Maximum RocknRoll_.\n\n#  **Chapter 24: Beers, Steers and Queers: The Texas Invasion**\n\nAll Nicki Sicki quotes from \"Q&A Subject: Nicki Sicki,\" Jay Unidos, _Urban Guerrilla Zine_ ( _UGZ_ ) 11, 2001, used with permission from _UGZ_.\n\nX-Con Ron quote \"At first the band was called . . .\" from web.mac.com\/erposner1\/MDC\/MDC_PUNK.html , used with permission from Ron Posner.\n\nLyrics from \"John Wayne Was a Nazi\" by MDC, used with permission from Dave Dictor and MDC.\n\n#  **Chapter 25: Welcome to Paradise**\n\nAll David Solnit quotes from _Intoxicated Culture: A Political History of the California Punk Scene_ , Jeff Goldthorpe, 1990 (unpublished), used with permission from Jeff Goldthorpe and David Solnit.\n\nAll Nicki Sicki quotes from \"Q&A Subject: Nicki Sicki,\" Jay Unidos, _Urban Guerrilla Zine_ ( _UGZ_ ) 11, 2001, used with permission from _UGZ_.\n\n#  **Chapter 27: Crossover**\n\nAll Wes Robinson quotes and excerpts from \"Wes Robinson\u2014For a Good Time, Call (415) 841-2678,\" Cliff Carpenter, _Maximum RocknRoll_ 3, November 1982, used with permission from _Maximum RocknRoll_.\n\n#  **Chapter 28: Let's Lynch the Landlord**\n\nAll Jeff Goldthorpe quotes from _Intoxicated Culture: A Political History of the California Punk Scene_ , Jeff Goldthorpe, 1990 (unpublished), used with permission from Jeff Goldthorpe and Chris Carlsson, of www.shapingsanfrancisco.com.\n\n#  **Chapter 29: Fucked Up Ronnie**\n\nTim Yohannan quotes from _Maximum RocknRoll_ 15, August 1984, used with permission from _Maximum RocknRoll_.\n\nTammy Lundy quotes \"When we were in Madison, Wisconsin . . .\"; \"I was approached by . . .\"; and \"Biafra at one point . . .\" from \"Rock Against Reagan Tour '83,\" by Tammy MDC, _Maximum RocknRoll_ 7, July 1983, used with permission from _Maximum RocknRoll_.\n\nAll Jeff Goldthorpe quotes from _Intoxicated Culture: A Political History of the California Punk Scene_ , Jeff Goldthorpe, 1990 (unpublished), used with permission from Jeff Goldthorpe.\n\n#  **Chapter 30: White Trash, Two Heebs and a Bean**\n\nLyrics to \"I'm Telling Tim\" used with permission from Fat Mike.\n\n\"Punk Voter Comments to the FEC,\" Fat Mike (Burkett), www.punkvoter.com, April 7, 2004, used with permission from Fat Mike.\n\nLiner notes from _Heavy Petting Zoo_ used with permission from Fat Mike. Jesse Michaels quote \"Fat Mike took his power,\" from www.punkvoter.com, used with permission from Jesse Michaels.\n\n#  **Chapter 37: You Put Your Chocolate in My Peanut Butter**\n\nYeastie Girlz lyrics used with permission from Jane Guskin and Cammie Toloui.\n\n#  **Chapter 41: Unity**\n\nLyrics to \"Hedgecore\" used with permission from Jesse Michaels.\n**ACKNOWLEDGMENTS**\n\nOutrageously important thanks to our transcribers from all over the U.S. and Canada: Paul Bartle, Bill Brent, Sean Castillo, Geraldine Convento, Beau Dowling, Chia Evers, Emma Gibbons, Ianna, Phylis J. Iqbal, Susan Jonaitis, Julie, Rochelle Lodder, Sarah Niersbach, Alana Parvey, Molly Rice, Pete Richards, Hope Richardson, Katrina Robinson, Sam, Aaron Sikes, Patty Spaniak, and especially Michelle Zulli and Naomi Hospodarsky. And to Susie Bright and Craig Newmark for helping spread the word.\n\nMore thanks to Anna Brown, Jesse Luscious, Chris Appelgren, and Dwayne Bonedog for opening their archives. To Martin Sprouse, Al Ennis, and Jay Unidos for reading through early drafts. To Jim Fitzgerald for hooking it up. To Alexis Washam and Kristen Scharold from Penguin, and in particular Karen Anderson, who saw the potential before anyone. And to the folks at Mission Creek Caf\u00e9 and Lost Weekend Video, who let us barge in to do interviews with zero advance warning.\n\nJack would like to thank Peter Plate, John Marr, Bucky Sinister, and Patrick Hughes, among many others, for ideas and encouragement. My family, who remain supportive even though they don't really know what the hell I'm doing. And Christie Ward, for everything under the sun.\n\nSilke would like to thank Sham Shaenz and Ben Econochrist, who helped us get the ball rolling, and the DMR Twins, who have never let it drop. Also my cousins, Arleda, James, and Finn, who gave me a place to rest my bones and nourish my heart during those marathon interview days; my parents, who lived through the fury and chaos of my youth and never loved me less; Audra Angeli-Slawson, who decided not to kill me in 1985; Andrew Flurry, who was my best friend then and remains so now; and Patrick Richards, who helped clear my head.\n**ABOUT THE AUTHORS**\n\n**Jack Boulware** is the author of _Sex, American Style_ and _San Francisco Bizarro_. His freelance writing has appeared in the _New York Times Magazine_ , the _Washington Post_ , _Playboy_ , _Maxim_ , Salon, and the _San Francisco Chronicle_ , among others. For ten years he was a columnist and features writer for _SF Weekly_. He is co-founder of San Francisco's annual Litquake literary festival.\n\n**Silke Tudor** is a San Francisco-born writer who has contributed to the _Village Voice_ , _Spin_ , and _Tattoo Savage_. For ten years she was a columnist and nightlife editor at _SF Weekly,_ and produced the annual _SF Weekly_ Music Awards. She recently moved to New York and toured the world with the _Billy Nayer Show_.\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":" \nDemocracy's Dangers & Discontents\n  | |\n\nThe Hoover Institution gratefully acknowledges  \nthe following individuals and foundations  \nfor their significant support of the  \nWORKING GROUP ON THE ROLE OF MILITARY  \nHISTORY IN CONTEMPORARY CONFLICT\n\n---|---|---\n\n|\n\nVICTOR AND KAREN TRIONE\n\n|\n\nWILLARD AND MARGARET CARR\n\n|\n\nTHE LYNDE AND HARRY BRADLEY FOUNDATION\n\nThe Hoover Institution on War, Revolution and Peace, founded at Stanford University in 1919 by Herbert Hoover, who went on to become the thirty-first president of the United States, is an interdisciplinary research center for advanced study on domestic and international affairs. The views expressed in its publications are entirely those of the authors and do not necessarily reflect the views of the staff, officers, or Board of Overseers of the Hoover Institution.\n\nwww.hoover.org\n\nHoover Institution Press Publication No. 653\n\nHoover Institution at Leland Stanford Junior University,\n\nStanford, California 94305-6010\n\nCopyright \u00a9 2014 by the Board of Trustees of the Leland Stanford  \nJunior University\n\nAll rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without written permission of the publisher and copyright holders.\n\nFor permission to reuse material from Democracy's Dangers and Discontents: The Tyranny of the Majority from the Greeks to Obama, ISBN 978-0-8179-1794-4, please access www.copyright.com or contact the Copyright Clearance Center, Inc. (CCC), 222 Rosewood Drive, Danvers, MA 01923, 978-750-8400. CCC is a not-for-profit organization that provides licenses and registration for a variety of uses.\n\nHoover Institution Press assumes no responsibility for the persistence or accuracy of URLs for external or third-party Internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate.\n\nFirst printing 2014\n\nCataloging-in-Publication Data is available from the Library of Congress.\n\nISBN: 978-0-8179-1794-4 (cloth. : alk. paper)\n\nISBN: 978-0-8179-1796-8 (epub)\n\nISBN: 978-0-8179-1797-5 (mobi)\n\nISBN: 978-0-8179-1798-2 (PDF)\nFor Esau Kane Thornton  \nAt tibi prima, puer, munuscula\nCONTENTS\n\nForeword by Victor Davis Hanson\n\nAcknowledgments\n\nIntroduction: The Triumph of Democracy and the Antidemocratic Tradition\n\n1 The Monitory Failures of Athenian Democracy\n\n2 The Antidemocratic Tradition and the American Founding\n\n3 Democracy and Leviathan\n\nConclusion: Restoring Limited Government\n\nBibliography\n\nAbout the Author\n\nAbout the Hoover Institution's Working Group on the Role of Military History in Contemporary Conflict\n\nIndex\nFOREWORD\n\nBruce Thornton has written a number of books about the history and nature of democratic government, past and present, especially the dangerous tendency of majority-rule societies to embrace a therapeutic mindset rather than to accept the tragic limitations of the human condition (Plagues of the Mind: The New Epidemic of False Knowledge).\n\nThornton sees limited, republican government as the salvation of civilized societies, but he has also warned that through affluence and license consensual societies can ossify into self-gratification and indifference to their own long-term health and viability (Decline and Fall: Europe's Slow Motion Suicide, written well before the European Union financial crisis).\n\nIn the recent The Wages of Appeasement: Ancient Athens, Munich, and Obama's America, Thornton turned to complacent democracies' unfortunate habit of shorting defense spending and finding themselves unable to deter aggressive and authoritarian states. Now, in Democracy's Danger and Discontents: The Tyranny of the Majority from the Greeks to Obama, Thornton has combined those prior investigations of democratic maladies, both their internal and external affairs, into a comprehensive explanation of the cause of these disturbing symptoms of majority rule. What follows is a 2,500-year annotated exploration about why and how democracies seem to implode\u2014and the correctives for their excesses offered by brilliant ancient and modern observers.\n\nThere are plenty of examples of democratic excess\u2014and dire warnings about it\u2014in the life and thought of Western civilization. Thucydides's wartime Athenians ordered the execution of all the Mytileneans one day, and not quite all of them the next. Plato abhorred rule by the majority. The trajectory of Jean-Jacques Rousseau's call to arms that \"man is born free, and everywhere he is in chains\" ended with the French Revolution's Comit\u00e9 de salut public. Alexis de Tocqueville hoped that perhaps America's unique homestead farmer and an autonomous middle class might check the passions on a fickle underclass. Democracy's Danger and Discontents adds lots more examples of democracy's strengths but also its myriad excesses. Whereas faces change, causes come and go, crises appear and reappear, the problems of radically democratic societies stay the same. Why do such governments, so ideal in theory, so often\u2014to borrow an earlier Thornton phrase\u2014commit slow-motion suicide in fact?\n\nMost of what modern egalitarians chafe at in our own system of government\u2014the Electoral College, the allotment of two senators per state regardless of population size, the Second Amendment\u2014are the constitutional remnants of the Founding Fathers' worries that a demos might degenerate into an ochlos, a veritable mob demanding that its always increasing appetites be met by the state. In contrast, republican government, representative government, and constitutional government were the Founders' solutions to square the circle of ensuring consent of the governed while protecting property, unpopular expression, and minority rights.\n\nBruce Thornton is also a research fellow at the Hoover Institution and a member of our Working Group on the Role of Military History in Contemporary Conflict, which seeks to make sense of contemporary national security issues in light of the history of the past. Democracy's Danger and Discontents repeatedly warns about the predictable populist hatred for the better off, the capricious nature of direct voting that was so often predicated on gifted speakers rousing the crowd to fury, and the inevitable lowering of standards to ensure the widest participation of the populace in civic and public life. That said, Thornton is most concerned about the consistent democratic tendency to short collective defense in favor of subsidies for the people. These indulgences, Thornton reminds us, can lead to a society that equates each drachma, sestertius, or euro invested in a hoplite, legionary, or NATO jet as one less devoted to ensuring free admission to the theater, a supplement to the daily grain dole, or a cost-of-living increase in a government pension.\n\nThe democratic desire to cut defense and expand redistributive payouts to the citizenry might explain why the descendants of the heroes of Salamis could not stop Philip of Macedon. The latter, like the Persians a century and a half earlier, invaded from the north, but this time successfully with an army only a tenth of the size that had failed under Xerxes. Rome of the fifth century AD\u2014a million square miles, seventy million citizens\u2014could not stop the onslaughts of motley tribes crossing the Rhine and Danube, though their far poorer and less numerous Republican ancestors defeated Hannibal, the greatest military genius of his age.\n\nThornton argues that nothing much has changed in the new twenty-first century. Yet he is even more worried that consumption and entitlements are now energized as never before by the advent of modernism and high technology, the former offering the rationale for spending what you do not have, the latter the means of even more addictive gratification.\n\nIn the high-tech, nuclear age, there is less margin of error than in the Athens of Cleon or the Rome of Caesar and Brutus. Shorting defense these days can lead to nuclear Armageddon, serial 9\/11-like attacks, or the collapse of entire computer systems that run the United States. Providing expanded entitlements for tens of millions of Americans can lead to chronic $1 trillion deficits that end national security altogether\u2014debts of a magnitude that might astonish even bread-and-circus Romans.\n\nCheap consumer goods and electronics mean that poverty is no longer Dickensian, given that the urban impoverished have more computing power in their readily accessible iPhones than did Silicon Valley aristocrats just ten years prior. The poor of Rome or Paris may have agitated for bread; today, American poverty is mostly a relative condition. It matters little whether today's high-tech entry-level Kia is accessible to the poor and a far better automobile than yesterday's top-of-the-line Mercedes\u2014if some people still must settle for Kias while the 1 percent enjoy an updated and more impressive Mercedes.\n\nThornton warns of a world where standards always relax, rarely tighten, minimal responsibilities give way to greater rights, budgets grow more than shrink, and an intrusive state becomes all-intrusive. He also cautions that acknowledging these tendencies\u2014and the brilliant critics of them\u2014is not the same as curtailing them. The end of democratic society is reached not when petroleum is exhausted or soils depleted or the atmosphere artificially warmed, but when we reach a state of egalitarian ennui, and the passive citizen remains unconvinced that his own democracy is any better than the alternative. At that point the public purse is usually exhausted, and what were once minor challenges become existential obstacles that cannot be overcome.\n\nDemocracy's Danger and Discontents offers a spirited defense of constitutional government by warning that its enemies are more likely found within ourselves than abroad\u2014and that being equal matters little if we are not first free and safe.\n\nVICTOR DAVIS HANSON\n\nMartin and Illie Anderson Senior Fellow, Classics\/Military History\n\nChairman, Working Group on the Role of Military History in Contemporary Conflict\n\nHoover Institution, Stanford University\nACKNOWLEDGMENTS\n\nI owe a debt of gratitude to the hospitality and support of the Hoover Institution and the staff of the Hoover Institution Press; to the long friendship of Victor Davis Hanson; to the patience of Craig Bernthal, Mark Arvanigian, Terry Scambray, and Paul Kaser in listening to me think out loud about the topics of this book; and, as always, to my wife, Jacalyn, for her steadfast love and wifery.\nINTRODUCTION\n\nThe Triumph of Democracy and the Antidemocratic Tradition\n\nOn Christmas Day 1991, the hammer-and-sickle of the USSR that had flown above the Kremlin for over seven decades was lowered and replaced by the tricolor flag of Russia. In those few moments the Soviet Union, the nuclear-armed communist superpower that had challenged and threatened the liberal democracies of the West, was left in the dustbin of history that its rulers had long predicted would be the fate of liberal democracy. For many, the end of the Cold War, which had been cast as a conflict between democratic freedom and totalitarian servitude, was more than just one nation's victory over an undemocratic regime and a repudiation of domestic challenges such as socialism or the antidemocratic New Left of the 1960s and '70s.\n\nThe victory over the Soviet Union was also the vindication of liberal democracy and freedom as the \"single principle,\" as political philosopher Pierre Manent calls it, the universal political system most suited for the modern capitalist societies to which all the world's people presumably aspire.1 In subsequent decades the expansion of democracies across the globe seemingly confirmed this optimism. According to Freedom House, in 1989, when the Eastern bloc broke from the Soviet Union and began its dissolution, there were 69 electoral democracies. Today, there are 117.2 More recently, many greeted the \"Arab Spring,\" the uprisings and revolutions that started in December 2010 in the Middle East, as yet another expansion of democracy and a sign of its inevitable triumph.\n\nThe disappearance of the last major challenge to democracy and the latter's apparent global expansion have enhanced democracy's prestige, giving it what historian Michael Mandelbaum calls the \"the best of good names,\" a form of government \"honored and valued everywhere\" with \"the same kind of aura that surrounds medicine,\" and esteemed as \"a high human achievement that improves the lives of those fortunate enough to come into contact with it.\"3 This universal reputation has culminated the two-century-long elevation of popular government into the only acceptable form of government, and democracy promotion a noble foreign policy goal, a belief still powerful in the twenty-first century despite the recent evidence that internationally democracy is in retreat, as Joshua Kurlantzick documents.4\n\nDemocracy indeed is an astonishing historical phenomenon. That political freedom and citizen equality, liberal democracy's most important goals, should have arisen at all in the city-states of ancient Greece of the eighth century BC is a remarkable occurrence. The notion that free citizens collectively rule and exercise autonomy over their lives based on laws, offices, and the distribution of power through neutral electoral procedures and public accountability is equally bizarre in the context of the other civilizations of antiquity. More typical was the pyramidal power-structures of empires such as Egypt or Persia, in which kings and tiny elites monopolized force and resources and ruled their societies as personal possessions\u2014societies in which the mass of people were coerced, unfree subjects, in contrast to the self-governing free citizens of the Greek city-states.\n\nYet democracy\u2014the empowerment of all male citizens regardless of birth or wealth\u2014was just one form of constitutional government invented by the ancient Greeks. And it was the one most criticized and feared even before the fall of Athenian democracy in the late fourth century BC seemingly confirmed democracy's fatal flaws. Indeed, until the early nineteenth century, as a form of government \"democracy\" was looked on as dangerously unstable, prone to violent upheaval, class warfare, and the redistribution of property that followed from endowing the mass of people, Alexander Hamilton's \"great beast,\" with political power.5\n\nFrom the perspective of the antidemocratic tradition, today's idealization of democracy is itself remarkable. This tradition began with the history of the world's first democracy, ancient Athens. The failures and excesses of the Athenians, particularly their oppressive imperial rule over other Greek cities, and their near-destruction after the Peloponnesian War with Sparta, seemingly validated the dangers of radical popular rule. This criticism set the tone for subsequent political philosophers, giving point to historian J. S. McClelland's observation, \"It could almost be said that political theorizing was invented to show that democracy, the rule of men by themselves, necessarily turns into rule by the mob.\" Thus the tradition of Western political theory began with a \"profoundly anti-democratic bias.\"6 Any admiration of Athens was limited to its artistic, literary, and philosophical achievements, or the lives and deeds of a few historical figures like Solon, Themistocles, and Pericles\u2014and even those heroes at times were tarnished by their involvement in the creation of Athenian democracy. When it came to practical government, for most political theorists the mixed constitutions of Sparta or Rome were considered better models, and for some even monarchy was preferred to democracy.\n\nDespite this long antidemocratic tradition, seldom have today's champions of democracy acknowledged its complexities and flaws. However, from the ancient Greeks to the framers of the US Constitution, that tradition raised numerous questions. Are the people wise or knowledgeable enough to be entrusted with political power? Can they resist the wiles and manipulations of demagogues? Can elected officials pursue the long-term good of the state when they are accountable to those who put them in office, and who often seek the gratification of their own short-term interests and passions? Do the verbal processes of deliberation and decision-making among a multitude of voters render democracy even more vulnerable to demagoguery? Will not the people use their political power and control of institutions to redistribute property from the rich to the poor? Can a democracy, focused as it is on the short-term interests of the people, and dependent on the decision-making of the many armed with the vote and able to hold politicians accountable, conduct foreign policy effectively? And finally, do not the political freedom and equality of opportunity pursued by democracy inevitably degenerate into appetitive license and radical egalitarianism, and create the demand that governmental power be used to satisfy both?\n\nThe American founders, schooled in this tradition, recognized all these dangers and sought to avoid them by creating the mixed government of the Constitution. The power of the people to elect directly their representatives was limited to the House of Representatives. The remaining officials, including senators, the president, and the Supreme Court, were elected indirectly to provide an institutional \"filtering\" that would temper the interests and passions of individuals and factions in order to find virtuous and wise leaders, and to check the power of the majority over the minority, and the power of elites over the majority. The innate hunger for power in all people, whether taken in the mass or in elites defined by wealth or birth, would then be held in check, their factional interests limiting each other, so that the federal government could not become the instrument of tyranny. And tyranny was the great fear of democracy's critics going back to the ancient Athenians. Give the masses power, and they will be so corrupted by license and egalitarianism that the first tyrant who offers to restore both will seize power by promising the people to redistribute wealth from the rich.\n\nStarting with the first term of Thomas Jefferson in 1800, the democratic sentiments that had been held in check by the Constitution began to seek more scope. The great transformation, however, came with the Progressive movement of the late nineteenth century. The Constitution of checks and balances founded on a mistrust of human nature and its passions and interests was rejected as outmoded given the unprecedented changes wrought by science, technology, and industrialism. The power of the federal government had to increase in order to solve the numerous problems created by these changes. The Constitutional \"filters\" that helped limit the people from precipitately acting on their self-interests and passions, like the election of senators by state legislatures that was an important expression of federalism and state sovereignty, were weakened or eliminated. As the twentieth century progressed, under the stress of depression and war federal power expanded and created a coercive regulatory regime, an incursion upon citizen autonomy sweetened by the redistribution of property from the well off through the income tax and entitlement transfers.\n\nSince the New Deal legislation of Franklin Delano Roosevelt and the Great Society programs of Lyndon B. Johnson, the Leviathan entitlement state has continued to expand. The republic of the founders has become more democratic, but it is a \"Potemkin democracy,\" as James Kalb puts it, in which political freedom has become hedonistic license, while self-government and individual autonomy have been diminished by a powerful federal government, transformations made palatable by social welfare transfers.7 This epochal change from the constitutional order of the founders in our own time has been made easier by modern developments that have perpetuated and worsened the flaws of democracy long catalogued by the antidemocratic tradition. As a result, we have created the \"softer despotism\" prophesized by Alexis de Tocqueville as the great danger of modern democracy.8\n\nMany of democracy's flaws, from ancient Athens to the modern United States, can be traced to the perennial weaknesses and flaws of human nature that freedom and popular rule unleash. An uncritical view of democracy, then, is a kind of utopianism that ignores the tragic nature of human beings, their propensity to be driven by passions and interests rather than reason and the good. As such it can lead to policies doomed to failure because that destructive capacity of human nature is ignored or idealized. The critics of democracy from Athens to the US founding all started with a tragic view of human nature and its self-destructive passions, selfish interests, and propensity to let both override reason and fact.\n\nYet as the US government has evolved away from its Republican origins into something closer to Athenian democracy, the dangers and flaws of democracy acknowledged by critics for twenty-five hundred years have become more evident. Nor does it help, as classicist Loren Samons writes, that many people within the US population are confused about the type of government under which they live, a representative republic designed to protect freedom against the excesses of popular rule as well as elite dominance. In contrast, today \"we believe we live in a democracy [and] we also have come to act, and to expect our political leaders and system to act, as if our government is a democracy (traditionally defined) and as if the popular will represents a moral 'good' in society.\"9 And as the government has indeed evolved and institutionalized some of the flaws of direct democracy first analyzed in the history of ancient Athens, this confusion undermines the founders' architecture of mixed government, federalism, and the balance of power that in part was designed to check the excesses of popular government inevitably given the passions and interests of human nature.\n\nAn uncritical promotion of democracy, then, as a self-evident good beyond argument or cavil reflects the modern belief in a universal, rational human nature continually progressing beyond the destructive behaviors and passions that have marred human history and that trouble the world today. History offers little evidence that such improvement has indeed taken place, or that the suspicion of either a minority or a majority monopolizing power that underlay the crafting of the Constitution is no longer necessary. The aim of this book is to recover that forgotten antidemocratic tradition and its tragic vision of human nature, and to show that the dangers and discontents of democracy still afflict us today\u2014not, as Tocqueville wrote, \"to render it weak and indolent, but solely to prevent it from abusing its aptitude and strength.\"10\n\n1. In Democracy without Nations?, trans. Paul Seaton (Wilmington, DE, 2007), 83.\n\n2. \"Freedom in the World 2012,\" <http:\/\/www.freedomhouse.org\/sites\/default\/files\/inline_images\/Electoral%20Democracy%20Numbers%20FIW%201989-2012\u2013Draft_0.pdf>.\n\n3. In Democracy's Good Name (New York, 2007), 96.\n\n4. In Democracy in Retreat (New Haven, CT, and London, 2013).\n\n5. Attributed to Hamilton in The Memoirs of Theophilus Parsons (1859); in Henry Adams, History of the United States of America during the Administrations of Jefferson and Madison, abr. and ed. Ernest Samuels (Chicago and London, 1967), 65.\n\n6. In The Crowd and the Mob (London and Boston, 1989), 1\u20132.\n\n7. James Kalb, The Tyranny of Liberalism (Wilmington, DE, 2008), 46.\n\n8. Democracy in America, ed. Philip Bradley, rev. Frances Bowen (New York, 1994), vol. 2, 316.\n\n9. What's Wrong with Democracy? (Berkeley and Los Angeles, 2004), 5.\n\n10. Democracy in America, vol. 2, 323.\nCHAPTER ONE\n\nThe Monitory Failures of Athenian Democracy\n\nThe town I come from is controlled\n\nBy one man, not a mob. And there is no one\n\nTo puff it up with words, for private gain,\n\nSwaying it this way, that way. Such a man\n\nFirst flatters it with wealth of favors; then\n\nHe does it harm, but covers up his blunders\n\nBy blaming other men, and goes scot-free.\n\nThe people is no right judge of arguments;\n\nThen how can it give right guidance to a city?\n\nA poor man, working hard, could not attend\n\nTo public matters, even if ignorance\n\nWere not his birthright. When a wretch, a nothing,\n\nObtains respect and power from the people\n\nBy talk, his betters sicken at the sight.\n\n\u2014Euripides, The Suppliant Women1\n\nAround the eighth century BC the Greeks invented the idea of constitutional government.2 Rather than rule by force that elites monopolized, the governments of the ancient polis or city-state dispersed the power to rule throughout the whole community of free citizen males, who collectively governed not by coercion and force controlled by men and imposed on subjects, but by laws, institutions, offices, public deliberation, and political protocols determining the scope and limits of a power now belonging to the citizenry. This citizen community was the ultimate arbiter of the state's actions, and recognized no earthly power or authority above popular sovereignty. The autonomy of the citizens in turn made them free. The Athenian orator Lysias around 400 idealized these innovative elements of constitutional government in a funeral oration. The founders of democracy, Lysias says, believed \"the liberty of all to be the strongest bond of agreement; by sharing with each other the hopes born of their perils they had freedom of soul in their civic life, and used law for honoring the good and punishing the evil. For they deemed that it was the way of wild beasts to be held subject to one another by force, but the duty of men to delimit justice by law, to convince by reason, and to serve these two in act by submitting to the sovereignty of law and the instruction of reason.\"3\n\nNot every free male, of course, could be a citizen. In the some thousand city-states of ancient Greece, citizenship could be limited to the few or expanded to the many. Some city-states were ruled by oligarchies of various stripes, with citizenship frequently defined by property qualifications or by birth. Others broadened the base of citizenship, and these were called \"democracy,\" rule by the \"many\" or more accurately the demos, \"masses.\" By the mid-fifth century in Athens, the \"many\" comprised about one-sixth of the whole population, the thirty to forty thousand adult males, whether rich or poor, noble or commoner, proven to be born of a free Athenian mother and father. This was what Aristotle called \"extreme democracy,\" in which birth to Athenian parents was the only requirement for citizenship, and the more numerous poor dominate. As Aristotle writes, \"Where the poor rule, that is a democracy.\" This empowerment of the poor was an \"astonishing novelty,\" as historian Moses Finley observed, unprecedented for that time.4\n\nMore important, these citizens, whatever their class or birth, did not just have the right to vote, but they directly managed the state, being eligible with some few exceptions to serve in every public office and board that ran the city, and personally to participate in all political and judicial institutions and public deliberations that determined policy and held politicians accountable. As Pericles says of Athens in his Funeral Oration delivered at the beginning of the Peloponnesian War in 431, \"Advancement in public life falls to reputation for capacity, class considerations not being allowed to interfere with merit; nor again does poverty bar the way, if a man is able to serve the state, he is not hindered by the obscurity of his condition.\"5 Such a government was literally rule \"of the people, by the people, and for the people.\"\n\nThe main organs of Athenian direct rule were the Assembly, the Council of 500, the law courts, and the numerous offices and boards responsible for the day-to-day functioning of the city and for executing both domestic and foreign policy. The Assembly was the gathering of several thousand citizens that met about forty times a year. There each citizen in attendance had the right to speak, make motions, and vote on all the policies of the state whether major or minor, domestic or foreign. The agenda for the Assembly meeting was prepared by the Council, five hundred citizens, fifty men from each of the ten Athenian \"tribes\" chosen by lot to serve for the whole year. For one of the ten months in the Athenian calendar each tribal contingent, the \"prytany,\" prepared the motions or open questions to be put before the Assembly. The law courts also were in the control of ordinary citizens, rather than professional judges or prosecutors. Each year six thousand citizens were enrolled by lot in the jury pool, which provided the several hundred randomly chosen jurymen to hear a particular case, determine which laws applied, and vote on guilt or innocence. These cases resulted from indictments brought by citizens, and included, with a few exceptions, not just criminal and civil complaints but political charges as well. Finally, nearly seven hundred magistrates, the majority chosen by lot and most serving a one-year term, managed the daily running of the state in matters including war, diplomacy, finance, public works and buildings, religious festivals, and theatrical presentations. At the end of their terms, they would be subjected to an \"accounting\" that could lead to indictment and trial, with punishments including fines or loss of citizen rights. By the early fourth century, Athenian citizens were paid to attend the Assembly, serve as a juror, and fill some offices.\n\nEven from this brief sketch we can see how different Athenian democracy was from our own republican government, in which elected representatives debate and set policy that is implemented and managed by federal, state, and local government agencies. In addition, in Athens there was no notion of \"inalienable rights\" all people possessed, as rights were given by the state only to citizens, and political rights could be taken away for certain dishonorable behaviors. Yet it is the fundamental assumptions behind democratic direct rule, as well as the mechanics of governing, that critics found wrong-headed and dangerous in ways still relevant for the United States of today.\n\nWho Is Qualified to Rule?\n\nThe notion that any man born to an Athenian mother and father was qualified to run the state was hotly disputed in antiquity. Aristocrats or eupatridai, those \"born of good fathers,\" found such a notion sheer folly. To them, only noblemen belonging to ancient families that traced their ancestry to the gods possessed what the fifth-century celebrator of aristocratic athletic prowess, Pindar, called the \"splendor running in the blood,\" a capacity for excellence, virtue, and wisdom that made them natural rulers: \"The wise man knows many things in his blood,\" Pindar sings, \"the vulgar are taught.\"6\n\nGiven the lack of innate wisdom among the demos, critics argued, political power in their hands could lead only to violence and disorder, particularly class warfare against the rich. A particularly gruesome example took place in the city of Miletus, a wealthy state on the coast of modern-day Turkey. There the poor seized power after a civil war and burned to death wealthy families. After the rich returned to power, they returned the favor and trampled to death with oxen many of the poor.7 The excesses that had occurred in Megara, a city-state near Corinth, influenced the antidemocratic verses of the sixth-century poet Theognis. Plutarch described the violence of popular rule that occurred in Megara after a tyrant had been overthrown some years before Theognis was born, particularly attacks against the rich and their property. Mobs of the poor entered the homes of the rich and demanded entertainment and banquets, and if denied \"they would treat all the household with violence and insult.\" The poor finally passed a decree allowing them to get back the interest they had paid on their debts.8 Aristotle writes of Megara that the \"demagogues drove out many of the notables in order that they might be able to confiscate their property.\"9 For the aristocrat Theognis, such vicious behavior was to be expected from people \"who formerly knew neither judgments or laws but clothed themselves in goatskins and wore them til they were rags and pastured themselves outside the city like deer.\"10\n\nThese prejudices against the poor masses\u2014that they were incapable of political wisdom and virtue and perforce had base characters, and so if given power would use it to attack the well off and redistribute their property\u2014persist throughout the antidemocratic tradition. The lack of wisdom and virtue could reflect low birth, as Pindar and Theognis suggest. But sometimes poverty itself accounts for the lack of intellectual and moral development that makes the poor unfit to rule. The earliest critic of Athenian democracy is an anonymous author conventionally called the Old Oligarch, who wrote his brief work in the second half of the fifth century. The Old Oligarch does assume the moral and intellectual superiority of the aristocracy, but then writes, \"Among the common people are the greatest ignorance, ill-discipline, and depravity. For poverty tends to lead them into base behaviour, as do lack of education and lack of learning because of lack of money.\"11 The Old Oligarch does not address the question whether or not the poor could be elevated from their inferiority by education or affluence. But he consistently characterizes the ruling democratic masses in negative terms such as \"bad men,\" \"poor men,\" \"the worse men,\" the \"mob,\" and the \"worst elements.\"12\n\nSince the masses are badly educated and poor, they have to earn their living by manual labor, the daily drudgery that also promotes a lack of character and self-control. Aristotle denigrates \"extreme democracy\" because the citizen masses have to work, a necessity that makes their lives \"inferior\" to those of farmers or herdsmen, for \"there is no room for excellence in any of their employments, whether they be artisans or traders or labourers.\" Thus \"the best form of state will not admit them [artisans] to citizenship,\" for \"no man can practice excellence who is living the life of a mechanic or labourer.\"13 Implicit in these remarks, apart from obvious elitist prejudice, is the notion that governing requires knowledge and virtue, both of which are difficult to acquire when one's time is spent in physical labor rather than in developing the mind.\n\nSuch characterizations of the non-noble masses quickly became a clich\u00e9 in the antidemocratic tradition. Herodotus in his Histories (c. 430) imagines a debate among the Persian king Darius and two courtiers concerning the best form of government. Megabyzus, the champion of oligarchy, scorns the \"mob\" as \"ineffective,\" and says there is \"nothing more stupid or more given to brutality\" than the common people. The masses are \"unruly,\" for \"knowledge and the masses are incompatible. How could anyone know what is right without either having been taught or having innate awareness of it?\" As such, the \"general populace\" is like \"a river swollen with winter rains: they rush blindly forward and sweep things before them.\"14 The ignorance of the volatile masses is likewise a constant theme in Thucydides's History of the Peloponnesian War (c. 390). In his description of his historical method, Thucydides contrasts his own painstaking effort to verify facts, with the habits of the common people, whose usual practice \"is to receive [the traditions of their own country] all alike as they are delivered, without applying any critical test whatsoever,\" and who take little pains in investigating the truth, \"accepting readily the first story that comes to hand.\" He explicitly links the disaster of the Sicilian Expedition of 415\u2014in which the Athenians lost over six thousand soldiers and two hundred ships, making it exhibit number one in the traditional indictment of Athenian democracy and its excesses\u2014to the fact that the Athenian masses were \"ignorant of its size and of the number of its inhabitants, Hellenic and barbarian, and of the fact that they were undertaking a war not much inferior to that against the Peloponnesians.\"15 And like Megabyzus, Thucydides comments frequently on the fickleness of the masses, swaying this way and that and changing their minds with the whim of the moment, \"according to the way of the multitude,\" \"as the multitude is wont to do,\" or \"as is the way of a democracy,\" as Thucydides puts it.16\n\nThese critics posit a nexus between the lack of knowledge and virtue, particularly self-control over the passions and appetites, and the failures of democracy. This link is a major theme of Plato's Apology, a reconstruction of Socrates's defense speech at his trial in 399 for atheism and corrupting the young. At least in Plato's version, Socrates used his right to address his accusers not to get himself acquitted, but to highlight how foolish and unjust were the assumptions that any Athenian citizen had enough knowledge, virtue, and understanding to justly bring an indictment against a fellow citizen; and that several hundred randomly selected jurors could then deliberate on and decide the truth of a capital charge. According to his follower Xenophon, Socrates in contrast believed that the citizen masses comprised \"dunces and weaklings,\" the \"fullers or the cobblers or the builders or the smiths or the farmers or the merchants or the traffickers in the market-place who think of nothing but buying cheap and selling dear.\"17 Concerned with their selfish interests and private gain, how could they possibly have developed the disinterested knowledge or the virtue necessary to sit in judgment on questions such as what makes a good and virtuous citizen, what is the purpose of a political community, or what actions were in the long-term interest of the state?\n\nRather than such knowledge, Socrates argues, most people possess mere opinion, hearsay picked up from their parents or teachers or the theater, the received wisdom that they never question or examine but unthinkingly repeat as truth. And if they base political decisions and actions on this presumed truth, they are more likely to harm the state and citizens than to benefit them. Socrates makes this point by using an analogy from crafts and other specialized skills. During his defense, he recalls a conversation with an Athenian who had spent a fortune on educating his two sons. If his sons were colts or calves, Socrates had asked him, it would be easy to find someone to \"make them excellent in the kind of excellence proper to them; and he would be a horse-trainer or a husbandman; but now, since they are two human beings, whom have you in mind to get as a overseer? Who had knowledge of that kind of excellence, that of a man and a citizen?\"\n\nThe implication, which he draws out later during his cross-examination of one of his accusers, is that \"he who is able to make them [horses] better is some one person, or very few, the horse-trainers, where most people, if they have to do with and use horses, injure them,\" a truth that holds for people as well.18 Neither Socrates's accusers nor the jurymen sitting in judgment have reliable knowledge of what improves the young, and so are disqualified from indicting Socrates for corrupting them, or deciding his guilt or innocence. But they arrogantly believe they do have such knowledge because they happen to have more mundane skills. Socrates earlier had discovered the origins of this mistaken confidence during his critical \"examination\" of his fellow citizens about virtue and the good, the knowledge necessary for justly managing the state. Each of Socrates's interlocutors did have a particular skill, but \"because of practicing his art well, each one thought he was very wise in the other more important matters, and this folly of theirs obscured that wisdom.\"19 Having this ignorance publicly pointed out to them created the enmity and prejudice that has led to Socrates's indictment and ultimately his conviction and death\u2014illustrating his point that the people make judgments based on irrational emotions like resentment or envy rather than knowledge of justice and virtue.\n\nSocrates's most famous follower, Plato, agreed that the ignorant many could not justly and efficiently manage the state, for political wisdom and virtue were specialized skills possessed only by the few. As historian Donald Kagan writes, \"the only proper basis for government is epist\u00eam\u00ea, science, a body of true, unchanging wisdom open only to a few philosophers whose excellence of character and mind and devotion to philosophy have led them to a vision of reality. The training of such men requires a degree of specialization which is the very opposite of the democratic ideal of versatility.\"20 Like Socrates, Plato found it ridiculous that the people would consult a ship-builder when the issue under discussion was ships, or builders when buildings were the issue, \"But when the question is an affair of state, then everybody is free to have a say\u2014tinker, cobbler, sailor, passenger; rich and poor, high and low\u2014any one who likes gets up, and no one reproaches him\" for his lack of knowledge and training.21 Rather than rule by the many, or by the uneducated one or few, Plato in the Republic famously imagined a utopia in which an elite of highly trained philosophers runs a state in every way the opposite of Athens, not the least in its jettisoning of the political freedom and equal citizen rights under law that were Athens's most important contribution to Western politics.\n\nSocrates's and Plato's skepticism that the average Athenian could have the knowledge and virtues necessary for running the state perforce indicted the Athenian practice of filling important offices by \"sortition,\" that is, drawing lots, one of Aristotle's key components of direct democracy.22 The use of the lot in part reflected a religious belief that the correct choice would be in the hands of the gods. But it also logically followed the assumption that every Athenian, unless disqualified by dishonorable behavior such as running away in battle or neglecting his parents, was capable of filling the office. Socrates scorned this notion, deriding \"the folly of appointing public officials by lot when none would choose a pilot or a builder or a flautist by lot, nor any other craftsman for work in which mistakes are far less disastrous than mistakes in statecraft.\"23 Once again, to the democracy's critics, specialized knowledge possessed only by an elite trained in wisdom and virtue is necessary for governing a state.\n\nThis belief that political wisdom is the purview of a few strikes at the heart of Athenian democracy, which believed so strongly in the capabilities of random citizens that they could be chosen to fill offices by a lottery\u2014though military leaders were chosen by vote, a tacit admission, as some critics pointed out, that when it came to truly important offices, even the Athenians believed some people were more capable than others. To democracy's critics, sortition was foolish, since the citizen masses make life-and-death decisions based not on a knowledge that they are incapable of acquiring, but on unexamined opinions and irrational emotions. Thus as Socrates rhetorically asks his follower Crito, \"In questions of right and wrong and disgraceful and noble and good and bad... ought we to follow and fear the opinion of the many or that of the one, if there is anyone who knows about them?\"24 Democracy's false assumption that the many indeed have such knowledge dooms it as a political system. From this mistake follows the other malign consequences of direct popular rule.\n\nIgnorance Begets Demagoguery\n\nIf the masses lack the knowledge and virtue necessary to govern justly, but instead are moved by irrational passions and self-interest, then they are easy prey for political leaders who can manipulate or pander to the people in order to further their own ambitions. Such a government can succeed only if good leaders arise who can lead the masses into making the right decisions and can rein in their passionate self-interest. The great Athenian statesman Solon, whose constitutional reforms laid the foundations of the democracy around 600, set the pattern for such leaders. In a fragment from his poetry, Solon wrote, \"I gave the people as much privilege as they have a right to: \/ I neither degraded them from rank nor gave them a free hand; \/ and for those who already held the power and were envied for money, \/ I worked it out that they should have no cause for complaint.\"25 The masses were freed from oppression and given a stake in the government, but not the sort of expansive power that would allow them to redistribute the property of the rich to gratify their envy. This is the idealized early Athenian democracy that later critics continually hearken back to when attacking the radical democracy of the later fifth century.\n\nThucydides saw in Pericles, who guided Athens to its \"golden age\" starting in the mid-fifth century, a leader like Solon, one whose \"rank, ability, and known integrity\" allowed him \"to exercise an independent control over the multitude\u2014in short, to lead them instead of being led by them; for as he never sought power by improper means, he was never compelled to flatter them, but, on the contrary, enjoyed so high an estimation that he could afford to anger them by contradiction.\"26 But the state cannot rely on such men always appearing when needed, and in a democracy, even Pericles had to be elected and reelected to the office of strategos, one member of the board of ten citizens that oversaw military affairs, in order to wield his influence. And a year before his death from the plague in 429, Pericles was recalled and deposed from his post as a strategos and fined by the people because he failed to capture Epidaurus. The lesson is that in a democracy, even a uniquely great leader is still accountable to the passions and interests of the masses.\n\nThe leaders of Athens after Pericles, in Thucydides's estimation, were much different. \"More on a level with one another, and each grasping at supremacy, they ended by committing even the conduct of state affairs to the whims of the multitude.\" They allowed \"private ambitions and private interests, in matters quite foreign to the war [against Sparta], to lead them into projects unjust both to themselves and to their allies\u2014projects whose success would only conduce to the honor and advantage of private persons, and whose failure entailed certain disaster on the country in the war.\" This pandering ambition led to \"blunders\" like the Sicilian Expedition, which failed because the people and the politicians chose \"to occupy themselves with private squabbles for the leadership of The People, by which they not only paralyzed operations in the field, but also first introduced civil discord at home.\"27\n\nThucydides's encomium to Pericles and his contrast with the demagogues who followed him establishes the standard by which later Athenian politicians like the ambitious, charismatic Alcibiades, the driving force behind the decision to invade Sicily, are measured. Rather than the \"shepherd of the people\" concerned with their long-term welfare, such leaders become \"worthless demagogues,\" as Aristotle calls them, panderers to the people, buying their support by redistributing public money to them.28 As Demosthenes, the last great leader of the Athenian democracy, said in 349, this \"new breed of orators\" asks the people, \" 'What would you like? What shall I propose? How can I oblige you?' \" and as a consequence \"the interests of the state have been frittered away for a momentary popularity.\"29\n\nThe Athenian demagogue whom Thucydides contrasts most sharply with Pericles is Cleon, for nearly a decade the most powerful politician in Athens until his death in 422 at the battle of Amphipolis. He was, according to Thucydides, \"the most violent man at Athens, and at that time [427] by far the most powerful with The People.\"30 Plutarch makes Cleon a class-warrior: he was \"rough and heavy against the upper classes and subjected himself to the masses in order to win their favor.\"31 The author of the fourth-century Constitution of Athens, doubtfully attributed to Aristotle, links Cleon's popularity to a new style of blustering oratory: Cleon \"seems, more than any one else, to have been the cause of the corruption of the democracy by his wild undertakings; and he was the first to use unseemly shouting and coarse abuse on the Bema [the speaker's platform in the Assembly].\"32 Cleon doubled the tribute on the Athenian subject states, raised taxes on the rich, and prosecuted politicians, some say to obtain the funds necessary for buying political support\u2014he raised the pay for jurors by a third\u2014and perhaps enriching himself.\n\nCleon's most brutal critic was the comic playwright Aristophanes, who saw in Cleon the besetting flaw of democracy: it created political leaders who pandered to the people in order to further their own ambitions no matter the cost to the interests of the state or the well-being of the citizens. In Aristophanes's play the Knights, produced in 424, the word demagogos appears for the first time in surviving Greek literature, and it is used to describe Cleon. In the play, he is depicted as Paphlagon, a slave of \"Demos,\" the personified Athenian citizenry. The slave is always \"crouched\" in front of Demos and \"flattering and fawning and toadying and swindling\" the \"cranky, half-deaf old codger,\" profiting from the war with Sparta and raising taxes on the rich or prosecuting them to buy the support of the poor citizens and enrich himself: \"you devour public funds before you're allotted an office,\" the Chorus Leader scolds him.\n\nAs bad as Paphlagon\/Cleon is, however, in the play he vies for the affections of Demos with a Sausage-Seller, an occupation even more base than being a tanner, as the historical Cleon was. The Sausage-Seller has all the qualities that Aristophanes, like the Old Oligarch, believes a successful democratic leader must have: he is a scoundrel from a low-born family, \"ignorant and loathsome,\" and, like making sausages, is able to \"stir up the business [of the polis], mince it all together, \/ And always get the people on your side\" with deceiving rhetoric and bribes. Nor do the Athenian citizens come off any better. The Chorus scolds Demos, \"You're easily led astray; \/ you enjoy being flattered \/ and thoroughly deceived, \/ and every speechmaker \/ has you gaping.\"33 In Aristophanes's critique, the self-interested, uninformed, gullible citizenry will surrender itself to unscrupulous demagogues who promise to use state power to enrich them.\n\nThe Problem of Rhetoric in Democratic Deliberation\n\nWoven through these critiques of democratic demagogues is the distrust of rhetoric and public oratory as an instrument of deception and manipulation. One of the great glories of constitutional government is the use of free verbal deliberation and persuasion rather than force to manage society and the state. Deliberative public speech was thus the life-blood of the democracy, the \"indispensable preliminary to any wise action at all,\" as Pericles says in his funeral oration.34 In Athens almost all the functions of the state took place through public speeches that tried to persuade fellow citizens to vote for one course of action rather than another. As a consequence, rhetoric, Aristotle's \"art of persuasion,\" became an important technical skill necessary for those in Athens ambitious for a political career.\n\nYet a skill at effective speaking could obscure the issue of right or wrong or good and bad by appealing to emotion and selfish interests rather than to principle, sound argument, and the larger good. With political power widely distributed to the citizens, the inability of the ordinary man to set aside emotion and self-interest and think critically about the good of the whole state both for now and the future made oratorical prowess a dangerous weapon in the hands of ambitious and unscrupulous leaders. In the Republic Plato describes the manipulation and corruption of citizens who have been aroused by a powerful orator. At any meeting of citizens, Plato writes, \"there is a great uproar, and they praise some things which are being said or done, and blame other things, equally exaggerating both, shouting and clapping their hands... at such a time will not a young man's heart, as they say, leap within him? Will any private training enable him to stand firm against the overwhelming flood of popular opinion? Or will he be carried away by the stream? Will he not have the notions of good and evil which the public in general have\u2014he will do as they do, and as they are, such will he be?\"35\n\nThe ability to speak persuasively and impassion an audience allowed an orator to \"make the weaker argument appear the stronger,\" as Socrates says\u2014to make lies and injustice and the wrong sound like truth and justice and the right.36 Dramatizing this point, Aristophanes in the Clouds (423) brings on stage a personified H\u00eatt\u00f4n Logos, the \"worse argument,\" who brags that he \"pioneered the idea of arguing what's contrary to established principles of justice,\" and shows him out-debating and ultimately corrupting Kreitt\u00f4n Logos, the \"better argument.\"37 In a direct democracy dependent for its functioning on public oratory, this skill at clever speaking conferred a power greater than wealth or physical force when it came to controlling the uneducated masses that sat in the Assembly.\n\nPlato has the rhetorician and philosopher Gorgias claim that the greatest good, which gives men personal freedom and power over others, is \"the word which persuades the judges in the courts, or the senators in the Council, or the citizens in the Assembly, or at any other political meeting,\" and \"if you have the power of uttering this word, you will have the physician as your slave, and the trainer your slave, and the money-maker of whom you talk will be found to gather treasures, not for himself, but for you who are able to speak and persuade the multitude.\" A bit later Socrates draws out the implication of Gorgias's praise of rhetoric as a means for acquiring power apart from truth or goodness: \"The rhetorician need not know the truth about things; he has only to discover some way of persuading the ignorant that he has more knowledge than those who know.\" He does not need to know anything about medicine, for example, to persuade the \"multitude\" that he knows more than a physician. So too the orator may be \"as ignorant of the just and unjust, base and honourable, good and evil, as he is of medicine,\" but all he needs is \"a way with the ignorant of persuading them that he not knowing is to be esteemed to know more about these things than some one else who knows.\"38 Perceptions created by clever speaking will be more powerful than knowledge of facts and reality.\n\nThucydides in his history illustrates the truth of Socrates's later description of an amoral rhetoric as a mechanism of political power. Repeatedly he shows us the Athenian Assembly manipulated by orators who appeal to self-interest or some passion or other. The historian's Mytilenean Debate stands as one of the most perceptive and influential analyses of the malign consequences that follow when politicians skilled at deceptive rhetoric manipulate the passions and prejudices of the fickle, ill-informed masses. In a wonderful touch of irony, Thucydides puts this analysis in the mouth of Cleon, the very demagogue whose rise to power depended precisely on an oratorical style that used emotional bluster and verbal violence rather than reasoned argument and coherent principle.\n\nIn the fifth year of the war with Sparta, a pro-Spartan faction in the city Mytilene on the island of Lesbos, a subject state of Athens, stirred up a revolt against the Athenian Empire. After the revolt was suppressed, the Athenian Assembly \"in the fury of the moment\" voted to kill the whole adult male population of the city and enslave the women and children. The next day, the mood of the citizens changed and the question was reopened. Cleon, who had carried the motion for the draconian punishment as an act of vengeance that would deter other cities from revolting, chastised the Assembly for its fickleness and indulgence of sentiment that he attributes to their manipulation by duplicitous orators.\n\nThese clever men, Cleon thunders, \"are always wanting to appear wiser than the laws, and to overrule every proposition brought forward, thinking that they cannot show their wit in more important matters, and by such behavior too often ruin their country\" by indulging \"cleverness and intellectual rivalry.\" But Cleon blames the citizens as well as the clever orators: \"The persons to blame are you who are so foolish as to institute these contests; who go to see an oration as you would to see a sight, take your facts on hearsay, judge of the practicability of a project by the wit of its advocates, and trust for the truth as to past events, not to the fact which you saw more than to the clever strictures which you heard; the easy victims of new-fangled arguments, unwilling to follow received conclusions; slaves to every new paradox, despisers of the commonplace,\" and in a striking phrase, \"very slaves to the pleasure of the ear, and more like the audience of a rhetorician than the Council of a city.\"39\n\nNo passage in Greek literature better sets out the dangers that arise when the masses are empowered to deliberate and decide the most important state policies through the medium of a public oratory vulnerable to the artful manipulations of the speaker. Cleon saves his harshest criticism for the people, who do not use rational analysis or critical thinking to judge proposals, but rather see the speeches as a form of entertainment and base their vote on the pleasure a speaker arouses rather than on the soundness and coherence of his argument. Implicit in Cleon's analysis is the assumption that the people do not have the mental acuity or training to privilege the \"fact which you saw\" over the \"clever strictures\" of the speakers \"who charm us with sentiment,\" leaving the city to pay a \"heavy penalty\" for the \"momentary pleasure\" received from such speeches.40\n\nDespite being a populist demagogue, Cleon has indicted the Athenian Assembly in terms redolent of the antidemocratic, elitist critiques of the Old Oligarch or Socrates. Both Cleon's angry appeal to vengeance against the Mytileneans, which exploited the anger of the Athenians, and his political career itself confirm the charge against democracy made by the Old Oligarch: that the democracy serves its own interests \"in allowing even the bad to speak. For if the good spoke and served on the Council, there would be excellent consequences for those like them, but not excellent consequences for those sympathetic with the common people.\" The citizens in the Assembly \"recognize that this man's [the bad speaker's] ignorance and depravity and goodwill profit them more than the good man's ability, wisdom, and ill-will.\"41 In a democracy, the citizens' self-interest trumps the bad character of the politician, as long as he delivers the goods. A vicious feedback loop is created between the ambitions of the politicians and the selfish interests of the people.\n\nIn the event, the Athenians voted, just barely, to rescind the slaughter of the innocent along with the guilty, convinced not by pity or justice but by the cold calculation of self-interest and expediency advanced by Cleon's rival Diodotus. In Thucydides's next great example of the Assembly's manipulation by a demagogue, the debate over the Sicilian Expedition, it is the lure of benefits the citizens hoped to gain from the expedition that leads them to authorize the military disaster that followed their attack on the powerful city of Syracuse.\n\nThe debate contrasts the sober arguments against the expedition made by Nicias, with the appeals to personal gain, an expanded empire, and nationalist glory advanced by the ambitious Alcibiades. After the Assembly quickly approved the expedition, another meeting was held to vote on equipping the ships and funding the generals. Nicias, who believed that \"the state was not well advised, but upon a slight and specious pretext was aspiring to the conquest of the whole of Sicily,\" Thucydides writes, took the opportunity to try and change the Athenians' minds by laying out the dangers and difficulties of such a great enterprise.42 He reminded the Assembly of the still serious threat from the Spartans and the shakiness of the peace treaty that had suspended hostilities, an ongoing revolt of a city to the north in Thrace, and the ill will of other subject states ripe for revolt if the Athenians should suffer a setback. He pointed out how distant Sicily was from Athens, about eight hundred miles, the power and numbers of the Syracusans, and the difficulty of ruling such a distant subject state even if the Athenians should succeed. Most importantly, he counseled prudence when Athens still had an unresolved conflict with a powerful nearby rival, Sparta, with whom the Athenians had fought a battle a few years earlier at Mantinea. He correctly advises that the Athenians' \"struggle, therefore, if we are wise, will not be for the barbarian Egestaeans [the city in Sicily that had asked for Athens's help] but to defend ourselves most effectively against the oligarchic machinations of Sparta.\" He also warns the Athenians against the ambitions of Alcibiades, who hopes to \"maintain his private splendor at his country's risk\" and nurses a \"mad dream of conquest.\"43\n\nNicias's advice was rational and prudent, and based on some of the factors that in the end helped to doom the expedition. Alcibiades, in contrast, appealed to the lure of wealth and glory that would accrue to Athens from the conquest of Syracuse and the expansion of their empire. Alcibiades was \"by far the warmest advocate of the expedition,\" according to Thucydides, for he was \"exceedingly ambitious of a command by which he hoped to reduce Sicily and Carthage, and personally to gain in wealth and reputation by means of his success.\"44 In his response to Nicias he holds out the prospect that by conquering Sicily \"we shall either become masters, as we very easily may, of the whole of Hellas [Greece], or in any case ruin the Syracusans, to the no small advantage of ourselves and our allies.\" But he also suggests an even greater prize, the extension of the empire beyond Greece: \"We cannot fix the exact point at which our empire shall stop; we have reached a position in which we must not be content with retaining what we have but must scheme to extend it, for if we cease to rule others, we shall be in danger of being ruled ourselves.\" Later, after Alcibiades defects to the Spartans, he tells them, \"We sailed to Sicily first to conquer, if possible, the Sicilians, and after them the Italians also, and finally to assail the empire and city of Carthage.\" If Alcibiades is telling the truth about Athenian ambitions, the aim was to conquer nearly the whole Mediterranean. Since the Athenian Empire was based on a powerful fleet rowed in the main for pay by the Athenian poor, the prospect of expanding the empire promised more wages for rowing, and more loot and tribute from new subject states available for transfer payments to the citizens.45\n\nNicias responded to the obvious support of the Assembly by giving his highest estimate of the size and the costs of the expedition to deter them by the expense. Yet this ploy backfired, as the riches dangled before the Assembly and the grandeur of the enterprise unwittingly enhanced by Nicias exploited both the self-interests and irrational passions of the Assembly members: \"The Athenians, however, far from having their enthusiasm for the voyage destroyed by the burdensomeness of the preparations, became more eager for it than ever.\" Indeed, Thucydides makes explicit the intensity of the Athenians' irrational desire for wealth and glory: \"Everyone fell in love with the enterprise. The older men thought they would either subdue the places against which they were to sail, or at all events, with so large a force, meet with no disaster; those in the prime of life felt a longing for foreign sights and spectacles, and had no doubt that they should come safe home again; while the idea of the common people and the soldiery was to earn wages at the moment [the treasury increased the pay for seamen, and the commanders added bonuses as well], and make conquests that would supply a never-ending fund of pay for the future.\"46 The translation \"fell in love\" does not capture the full intensity of the Greek, which says more literally, \"Sexual passion [er\u00f4s] for the enterprise attacked all of them.\" Thucydides here shows us the power of the irrational working in the masses, whose decisions and policies reflect both their passions and their greed. Clever speakers are able to exploit both for their own ambitions, and both can be gratified by the political power of the masses.\n\nDemocracy and the Redistribution of Wealth\n\nA common thread running through all the attacks on Athenian democracy is the charge that the common people and the poor, envious of the wealth of the rich, will use their political power to redistribute property.47 This class conflict was assumed to be the natural state of things, given an irrational human nature and the unequal distribution of talent, hard work, birth, and luck among people. In Plato's Republic Socrates sees this conflict as endemic to every polis, which is in reality two cities, \"one the city of the poor, the other of the rich; these are at war with one another.\"48 Although such redistribution and cancellation of debts took place in some Greek cities, the actual redistribution of land was rare in Athens, forbidden by law. The chief civic magistrate called the Eponymous Archon at the start of his term issued a proclamation \"that whatever any one possessed before he entered into office, that he shall possess and hold until the end of his term.\" So too the jurors, who swore, \"I will not allow private debts to be cancelled, nor lands nor houses belonging to Athenian citizens to be redistributed.\"49\n\nThe radical democracy found indirect mechanisms for providing the masses with funds in addition to transferring wealth from the rich through various forms of taxation. The Athenian Empire itself, as Loren Samons writes, \"encouraged not only the radicalization of the democracy though public payments but also the continuation of imperial policies,\" since the tribute collected from the empire's subject states provided funds for distribution to citizens through building programs, public shows and religious processions, allotments of conquered land given to Athenian colonists, and pay to row in the fleet on the regular missions that enforced Athens's control of its subjects. Thus, Samons continues, \"the citizenry encouraged the extension or more efficient exploitation of the empire,\" and Athens's harsh treatment of its fellow free Greeks \"was one result of the democratic Athenian citizens' determination to empower themselves and achieve greatness at the expense of other Greeks.\"50 As payments from subject states diminished and then disappeared after the Peloponnesian War, various direct and indirect transfers from wealthier Athenians became another source of money for the citizens. This was a more subtle form of wealth distribution than the outright seizure of property feared by antidemocracy critics, for transfers of state money to citizens in part amounted to a transfer of wealth from the rich to the poor.\n\nAn important source of income for Athenian citizens was the pay they received for attending the Assembly, serving on a jury or on the Council, and filling some offices. Critics of democracy saw pay for service as the corrupting innovation that made the citizen's relationship to the state a mercenary rather than patriotic one, and that also corrupted politicians into buying the support of voters to further their own ambitions. Pericles instituted the first state pay, for jury service, around 450. According to the Constitution of Athens, he did this \"as a bid for popular favour to counterbalance the wealth of Cimon,\" his political rival. As a result, Pericles caused \"a deterioration in the character of the juries, since it was always the common people who put themselves forward for selection,\" and contributed to legitimizing the practice of bribery.51 This account may be historically doubtful, but it is consistent with the common view about the corrupting influence of pay for service. Plato has Socrates say of Pericles, \"He was the first who gave the people pay, and made them idle and cowardly, and encouraged them in the love of talk and money.\"52 In Aristophanes's Women at Assembly, the Chorus contrasts the corrupt present with the good old days when \"none would have dared to let himself be paid for the trouble he spent over public business.... The citizen has become as mercenary as the stonemason.\"53 These criticisms reflected the elitist prejudice that the common people always are motivated by personal gain rather than principled duty.\n\nBy the early fourth century, an Athenian citizen had other opportunities for earning state pay. In addition to jury service, citizens received compensation for attendance at the Assembly and serving in most offices. And the rowers were paid while serving in the fleet. To Aristotle, this pay for public service was, like selection of magistrates by lot, one of the fundamental institutions of the radical democracy, for it ensured the supremacy of the common people: \"When they are paid, the common people have the most leisure, for they are not hindered by the care of their property, which often fetters the rich, who are thereby prevented from taking part in the assembly or in the courts, and so the state is governed by the poor, who are the majority, and not by the laws.\"54 Moreover, distributing state pay only leads to more demands, for \"the poor are always receiving and always wanting more and more, for such help is like water poured into a leaky cask.\"55 Modern scholars question whether state pay\u2014at barely around a day laborer's wage for one day, it was modest at best\u2014was ample enough to make the masses \"idle and lazy,\" or \"mercenary,\" or in possession of the \"most leisure.\" But the antidemocratic tradition made pay for public service one of the flaws in the system that corrupted the relationship of citizen to state by weakening civic virtue and duty. For democracy's critics, the Athenian government was, to borrow the topic of a Winston Churchill article, \"Government of the\/by the\/for the dole-drawers.\"\n\nIn the early fourth century, Athens created the Second Athenian League, which generated more wealth for the state from tribute payments, but not nearly as much as the earlier Athenian Empire had enjoyed in the fifth century.56 Additionally, the great wealth Athens had extracted for nearly a century from the silver mines at Laurium declined considerably. The Athenians had also amassed a large debt, some seven thousand talents, owed to the gods from whose temple treasuries they had borrowed money during the Peloponnesian War. Yet despite the reduction in revenues and the debt to the gods, another source of payment to citizens was created, the \"theoric\" fund (theorikon). This was a stipend for attendance at religious festivals, including those at which tragedy was performed. At first, any revenue surpluses were distributed annually to two funds, the military and the theoric. But in the mid-fourth century a law was passed that transferred the entire surplus to the theoric fund, and a few years later another law made it a capital crime to transfer money from the theoric to the military fund.\n\nThe amount spent on the theoric fund, about fifteen talents, was not enormous.57 But the theoric fund was particularly insidious, for both rich and poor liked it: the former for the money, the latter because it substituted for a tax on their wealth. Hence it was, as the orator Demades, a contemporary of Demosthenes, called it, the \"glue of the democracy,\" something that transcended social class.58 But it was recognized in antiquity as having a corrupting effect on the citizens by fostering an entitlement mentality that made such payments a greater priority than spending on defense. In 351 Demosthenes pointed out in a speech, \"While the sum of money you are discussing is a trifle, the habit of mind it fosters is a serious matter.\"59 Demosthenes goes on to define that \"habit of mind\" as the expectation of receiving public money without being willing personally to serve the state, particularly in fulfilling military obligations. Decades earlier Aristophanes had articulated the same danger arising from state pay, when the Sausage-Seller of the Knights, scolding Demos, says, \"If two politicians were making proposals, one to build long ships [i.e., warships] and the other to spend the same on state pay, the pay man would walk all over the trireme man.\"60 Sacrificing for defense generally loses out to continuing entitlement payments.\n\nBetween pay for performing civic duties and the theoric dole, by the mid-fourth century \"many Athenian citizens,\" M. H. Hansen writes, \"could expect a state payment of one kind or another, misthos [state pay] on working days, and theorikon on festival days.\"61 As we shall see later, the failure of the Athenians to respond in a timely fashion to the Macedonian Philip II's two decades of expansionary aggression was partly a consequence of the decline of personal civic responsibility among Athenians who preferred to serve their own private interests rather than those of the state. Theopompus, a historian contemporary with Philip's conquest of Athens in 338, wrote that the Athenian Eubulus, who had convinced the Athenians to transfer all surplus revenue into the theoric fund and managed it for several years, made the Athenians \"less courageous and more lax\" by giving them the theoric dole, upon which \"the Athenian people thoroughly squandered their state revenues,\" spending \"more on public festivals and sacrifices than on the management of the war.\"62\n\nTheopompus perhaps exaggerates the amount of money spent on the fund, but he accurately makes the connection between the decline in the citizens' willingness to make sacrifices for the well-being of the state, and the receipt of state money doled out by politicians. Demosthenes made the same connection, in his speech of 351 trying to rouse the Athenians to meet the challenge of Philip: \"The politicians hold the purse-strings and manage everything, while you, the people, robbed of nerve and sinew, stripped of wealth and allies, have sunk to the level of lackeys and hangers-on, content if the politicians gratify you with a dole from the Theoric Fund or a [religious] procession.\"63\n\nWhere did the money come from for funding the state and these various transfers to citizens? There were \"sundry taxes, rents of public and sacred lands, and mining royalties and concession prices,\" and \"fees, fines and confiscations imposed by the courts.\"64 Most of the wealth came from the better off. A property tax called the eisphora excluded the poorer citizens, with about one-third to one-fourth of the citizens subjected to this tax. Sometimes called a \"war tax,\" it was a way for revenues to be raised for defense at the expense of property-owners. At first it was gathered only during emergencies, but by the mid-fourth century it had become an annual tax. This tax was not particularly onerous on the wealthy, and it could hit what we would call middle-class citizens as well. But it came on top of a more burdensome obligation on the wealthy, the \"liturgies.\" These were financial and personal obligations wealthier citizens performed for the benefit of the whole citizenry. By Demosthenes's time the \"trierarchy\" required four hundred rich men to pay for part of the cost of maintaining a trireme, including the pay for the rowers, which could be as much as a whole talent.65 The other major liturgy imposed on the rich an obligation to pay for one of the cult festivals in honor of the gods. This expense was considerably less than that of a trierarchy. The most famous festival liturgy was the \"choregia,\" which required the wealthy citizen to finance the expenses of the choruses that performed in tragedies, comedies, and other productions in the some one hundred festivals a year celebrated in honor of various gods. There also was the \"gymnasia,\" a liturgy that paid for training the teams that ran in the torch-races that were part of some religious festivals.\n\nMany wealthy citizens were eager to undertake the expense of a liturgy for the status it gave them as a benefactor of the masses, something particularly useful if a rich man found himself in a trial before a jury of several hundred Athenian citizens. Additionally, class resentments that might fester into revolution could be mitigated by this public largess. Yet on top of the property tax, liturgies added to the financial burdens of a small elite of wealthy citizens who \"minister to the state with their property,\" as Aristotle put it, financing much of the expense of running the democracy for the benefit of the masses.66 The Old Oligarch certainly viewed liturgies as a redistribution of property from the rich to the poor: \"The common people think that they deserve to take money for singing and running and dancing and sailing in the ship, so that they get more and the rich become poorer.\"67\n\nThe fourth-century orator Isocrates likewise linked the liturgies to class envy. While defending himself at a trial in which another rich man shifted his liturgical burden onto Isocrates by claiming the orator was richer than he, a legal procedure called antidosis, Isocrates claims, \"A man has to be ready to defend himself against being rich as if it were the worst of crimes, and to keep on the alert if he is to avoid disaster; for it has become far more dangerous to be suspected of being well off than to be detected in crime; for criminals are pardoned or let off with slight penalties, while the rich are ruined utterly, and it will be found that the number of men who have been spoiled of their property is greater than those who have been punished for their misdeeds.\"68 And the facilitators of this despoliation are the \"depraved orators and demagogues,\" as Isocrates calls them in another speech, who \"want to see all of our citizens reduced to the condition of helplessness in which they themselves are powerful. And the greatest proof of this is that they do not consider by what means they may provide a livelihood for those who are in need, but rather how they may reduce those who are thought to possess some wealth to the level of those who are in poverty.\"69 For all the exaggerations of these complaints, we see here the nexus of class envy, venal and ambitious politicians, and redistribution of wealth that runs throughout the antidemocratic tradition.\n\nAccountability and Democracy\n\nAs important for constitutional government as the institutionalizing of power in laws and offices rather than in men was the ability of the citizens to hold those who used state power accountable for their actions. For the Athenians, the public accountability of politicians was, like the freedom to participate in public deliberation and the broad access to state offices, a foundation of their political freedom. The tragic poet Aeschylus, contrasting the quasi-divine, autocratic Persian King Xerxes with the free Athenians in his play the Persians, has Xerxes's mother say that even if his invasion of Greece fails, her son \"is not answerable to the state; \/ and safe returned, he holds this land in sway even as before.\" The word translated \"answerable\" (hupeuthunos) is a compound of the technical term (euthyna) for the procedure of accountability every Athenian magistrate was subjected to after his one-year term of office was over.70 As necessary as accountability was for limiting abuses of power and thus protecting political freedom, however, its excesses and politicized misuse made it another way the masses could control and manipulate politicians and punish them for either not serving the interests of the people, or angering them by their policies, no matter how necessary or useful for the good of the whole state. And accountability was a powerful tool for politicians to use against factional rivals.\n\nThe scrutinizing pressure the city put on its leaders and citizens, moreover, was in some ways much more intense than what we experience today. Athens was a small town, and all public business was conducted face-to-face through public speaking. This civic intimacy made even private behavior more public and hence a concern of the people, who could judge it a sign of political unworthiness or danger to the state, no matter how able the citizen may have been otherwise. For example, an Athenian could lose his citizen rights by throwing away his shield in battle, neglecting his parents or their graves, squandering his inheritance, or allowing another man to use him sexually like a woman. Politicians and magistrates particularly were subject to intense scrutiny of their behavior. Any Athenian could approach a politician or magistrate in the marketplace, or at a religious festival, or at the theater, and question or criticize him, as Socrates did. This scrutiny made political leaders continually and directly subject to the judgment and criticism of their fellow citizens who disapproved of their policies or decisions. Socrates was not overly exaggerating at his trial when he told the Athenian jurors, \"The fact is that no man will save his life who nobly opposes you or any other populace and prevents many unjust and illegal things from happening in the state. A man who really fights for the right, if he is to preserve his life for even a little while, must be a private citizen, not a public man.\"71\n\nThe Athenian democracy had several institutions that policed and scrutinized political behavior to make sure the politicians and magistrates served the people's interests, and that imposed punishments ranging from fines to death on those judged to have betrayed or ignored those interests. In the fifth century, \"ostracism\" was a formal mechanism for banishing a citizen for ten years for no reason other than that at least six thousand citizens had written his name on a fragment of pottery (ostrakon). The random, subjective, or impulsive nature of ostracism illustrated the irrational decision-making of citizens frequently highlighted by critics. Plutarch tells of an illiterate citizen who asked the early fifth-century politician Aristides the Just to write down Aristides's name for ostracism. When Aristides asked why, the citizen replied that he was sick of hearing Aristides called the \"Just.\" In Plutarch's analysis, ostracism was \"a merciful exorcism of the spirit of jealous hate,\" a way that the class envy endemic to democracy could be expressed without destructive violence.72 By the fourth century other procedures for holding politicians accountable had replaced ostracism.\n\nBefore entering office, magistrates faced an examination (dokimasia) that asked about their family, religious practices, political beliefs, military record, and tax payments, with witnesses required to substantiate the candidates' answers. The last step in the vote for confirmation was an open invitation for any citizen who objected to the candidate to raise his concerns.73 During his one-year term, a magistrate was subjected to a regular \"vote on the magistrates,\" basically a vote of no confidence proposed by any citizen. The Council regularly inspected magistrates' accounts and entertained accusations against them. These accusations could lead to trials and various punishments upon conviction.\n\nThe euthyna mentioned above was the formal investigation held at the end of the magistrate's term that required the office-holder or anyone carrying out public business or handling public money to account for his spending, or answer charges of embezzlement or bribery. In addition, his general behavior while in office was scrutinized. Any citizen could make any sort of charge against a magistrate, and if judged by the board of ten inspectors to be actionable, the magistrate would be tried in court, with a punishment ranging from a fine to death, though no evidence exists that any magistrate was ever executed. In the examinations held before, during, and after leaving office, the opportunity for any citizen to make a charge against the magistrate created a mechanism for applying partisan political pressure on those running the state. This danger may lie behind the quip Plutarch attributes to Alcibiades. When told his guardian Pericles was \"studying how to render his accounts to the Athenians,\" Alcibiades answered, \"Would it not be better for him to study how not to render his accounts to the Athenians?\"74 The jurors who sat in judgment of politicians indeed were to be feared, as Aristophanes, no doubt exaggerating, says in his play the Wasps: \"From the moment I leave my bed,\" a juror brags, \"men of power, the most illustrious in the city, await me at the bar of the tribunal; the moment I am seen from the greatest distance, they come forward to offer me a gentle hand.\"75\n\nAnother serious charge against a politician in the fourth century was the graphe paranomon, a citizen's allegation that a particular decree passed by the Assembly was contrary to the constitution, whether on technical or more substantive grounds, or was damaging to the interests of the people or to democratic principles. The charge was tried before a jury of at least 501 citizens. Whoever made the motion on which the Assembly voted was held personally accountable, not the citizens who may have voted for it. For example, after news of the disaster at Syracuse reached Athens, Thucydides writes, the people \"were angry with the orators who had joined in promoting the expedition, just as if they had not themselves voted it.\"76 A conviction typically brought a fine that could be substantial, or a loss of citizen rights. The logic behind this strange procedure arises from the problems with public speaking and manipulative rhetoric discussed above: \"The philosophy behind the penalty,\" M. H. Hansen writes, \"was... that the people are never wrong, and will indubitably reach the right decision if a matter is properly put to them, but they can be misled by cunning and corrupt orators and make erroneous decisions against their better judgments.\"77 Such trials may have occurred on average once a month, meaning that proposals were second-guessed and proposers punished on a regular basis, not necessarily because the decree was harmful or illegal, but because the people were dissatisfied with the result, or a political enemy was using the charge to weaken a political rival.\n\nFinally, the \"denunciation\" (eisangelia) was a charge brought before the Assembly against anyone suspected of overthrowing the democracy or joining a conspiracy to do so, betraying the city, fleet, or army to the enemy, or accepting a bribe to gull the Assembly into making a decision harmful to the city.78 Anyone so accused faced the penalty of a fine or even death if convicted. And unlike other trials, the accuser faced no penalty if he got less than one-fifth of the jury's votes, making frivolous or politically motivated charges more likely. These trials, then, were obviously political, often originating in factional rivalries or conflicts. They were a potent means for the most democratic of Athenian institutions, the courts, to impose control over politicians and especially the board of ten elected \"generals\" who oversaw military affairs. By M. H. Hansen's calculation, a fifth of all the generals between 432 and 355 were subjected to denunciation.79\n\nFrequently such charges were generated by passionate, if not irrational, responses to setbacks and failures in war. As such it was a toxic example of the otherwise critical constitutional principle of civilian control of the military. A notorious instance of the abuses such a vaguely worded law could generate came during the last years of the Peloponnesian War. After the sea-battle near Arginusae in 406, the eight victorious Athenian generals were denounced and tried en masse contrary to the law because a storm had prevented them from rescuing the shipwrecked sailors. The six who returned to Athens to stand trial were convicted and executed. The threat of such second-guessing and the lethal penalties that punished military leaders no doubt compromised their effectiveness, as Demosthenes complained when scolding Athens for its lethargy in resisting Philip: \"So scandalous is our present system that every general is tried two or three times for his life in your courts, but not one of them dares to risk death in battle against the enemy.\"80\n\nThe critics of Athenian democracy found a more venal motive for political trials\u2014money. Given that any citizen could charge someone with an offense, the so-called \"sycophants\" initiated prosecutions in order to get money either from the person charged, who feared a trial in which an experienced orator argued before several hundred random jurors, or from someone else who wanted a political enemy or rival prosecuted. Some charges upon conviction awarded the accuser one-half of the fine or three-quarters of confiscated property.81 Sycophants were frequently lumped together with demagogic orators as the prime corrupters of the state.82 In times of financial stress, confiscating the wealth of those found guilty in a trial could provide more funds for distribution to the people. In a defense speech from 399, Lysias begins by saying of the accusers, \"You [the jury] should bear in mind the assertion that you have often heard from the mouths of these men, whenever they sought to ruin somebody unjustly\u2014that, unless you make the convictions that they demand, your stipends will not be forthcoming.\"83 Later Plato makes the same charge, saying of the people, \"Do not their leaders deprive the rich of their estates and distribute them among the people; at the same time taking care to reserve the larger part for themselves?\"84 How often this actually happened can be disputed, but the charge is consistent with the basic antidemocratic belief that the fickle and greedy masses, stirred up by ambitious demagogues, will use the institutions of democratic accountability to redistribute wealth from the rich to the poor.\n\nFinally, the high level of citizen participation in governing the democracy meant that conflicting political factions had wide scope for pursuing their partisan interests, often at the expense of the long-term interests of the state as a whole. The most obvious conflict was that between rich and poor, which Plato above described as a perpetual war in every city. There was also a broad division between those who favored a more oligarchic constitution and those who supported the radical democracy. Individual politicians, ambitious for power and influence, competed with others through the institutions of the democracy, from the policies argued for and voted on in the Assembly, to the numerous political trials generated by the mechanisms of accountability described above. This incessant competition and conflict were frequently decried as a great danger to Athens. Xenophon has the son of Pericles criticize Athenian factionalism as the cause of the city's decline: Athenians lack \"harmony\" and \"instead of working together for the general good, they are more envious and bitter against one another than against the rest of the world, are the most quarrelsome of men in public and private assemblies, most often go to law with one another, and would rather make profit of one another so than by mutual service, and while regarding public affairs as alien to themselves, yet fight over them too.... So it comes about that mischief and evil grow apace in the city, enmity and mutual hatred spring up among the people.\"85\n\nThe Greek word for this factionalism was stasis, which could mean, \"party,\" \"faction,\" \"sedition,\" \"discord,\" but also \"civil war\" or \"revolution,\" indicating how destructive factional rivalries could be.86 Thucydides has left a famous description of the horrific violence and anarchy that can rend a state when such partisanship erupts into civil war. Surveying the crimes and corruption that befell the island of Corcyra when the democratic pro-Athenian and the oligarchic pro-Spartan factions fought each other in 427 during the Peloponnesian War, Thucydides highlights the extremes of both sides, whose leaders \"made the fairest professions: on the one side with a cry of political equality of The People, on the other of a modest aristocracy; but they sought prizes for themselves in those public interests which they pretended to cherish and, stopping at nothing in their struggles for ascendancy, engaged in direct excesses.\" Thus Corcyra became the \"first example\" of the worst crimes of civil war, \"of the reprisals exacted by the governed who had never experienced equitable treatment or indeed anything but insolence from their rulers\u2014when their hour came; of the iniquitous resolves of those who desired to get rid of their accustomed poverty and ardently coveted their neighbor's goods; and lastly, of the savage and pitiless excesses into which men who had begun the struggle not in a class but in a party spirit, were hurried by their ungovernable passions.\"87 Here the critics of democracy see the grim wages of empowering the irrational passions and selfish interests of the masses manipulated and bribed by venal and ambitious politicians.\n\nThe Flaws of Democracy and Foreign Policy\n\nThe critics of the radical Athenian democracy, historian Paul Rahe writes, have charged \"that the city's legal and judicial system fostered a pattern of malicious prosecution, which made Athens unsafe for men of exceptional wealth, talent, or intelligence, and that her assembly provided a middle ground more conducive to passionate outburst than to rational deliberation, rendering Athenian politics so tumultuous, turbulent, and contentious that it was virtually impossible for a statesman to pursue a coherent foreign policy.\"88 For most of Athens's history, the democracy promoted an aggressive foreign policy, contrary to the common belief today that democracies are inherently less bellicose. In the fifth century, Athens created its empire, subjecting about one hundred other free Greek states in order to generate the revenues for payments to citizens and for enhancing the glory of the city. \"At Athens,\" Samons writes, \"democracy fostered an empire, and the empire in turn made democracy practicable and profitable.\"89\n\nDuring the fifth century, the flaws of radical democracy compromised foreign policy and ultimately led to Athens's defeat and near-destruction by Sparta. The Sicilian Expedition of 415 discussed above is the most obvious example of a military decision resulting from the passions and interests of the Assembly rather than a sound strategy. But more important was the relentless second-guessing of policy that led to the \"denunciation\" and subsequent trials of military leaders who angered the people, something that deterred the more talented from public service. Obviously, blaming generals for the bad policies approved by the Assembly was a way for citizens to avoid responsibility for their own bad judgment. Worse yet, such scrutiny created risk-aversion and a preference for short-term planning dangerous during a war. As Moses Finley writes, \"The week-by-week conduct of a war... had to go before the Assembly week by week, as if Winston Churchill were to have been compelled to take a referendum before each move in World War II, and then to face another vote after the move was made, in the Assembly or the law-courts, to determine not merely what the next step should be but also whether he was to be dismissed and his plans abandoned, or even whether he was to be held criminally culpable, subject to a fine or exile, or, conceivably, given the death penalty either for the proposal itself or for the way the previous move had been carried out.\"90 Pericles, the fifth-century general Demosthenes, Phormio, Nicias, Alcibiades, and Conon, to name the most famous generals of this period, were all punished by the Assembly, or withdrew from service because of the fear they would be. The historian Thucydides himself was banished for twenty years from Athens after the loss of Amphipolis to the Spartans in 422, where he was sent as one of the generals.\n\nA few decades after Athens's defeat at the hands of Sparta and its loss of the empire, it formed the Second Athenian League to increase funds for redistribution through state pay, and to recover its prestige as a major power. By the mid-fourth century, however, the Athenians increasingly became unwilling to sacrifice both their own time and revenues in order to protect their interests, now threatened by Philip II of Macedon. In the view of leaders like Demosthenes, the flaws of democracy outlined above contributed to Athens's ultimate defeat and loss of its political freedom at the battle of Chaeronea in 338.\n\nThe denunciations and trials of generals illustrate an endemic weakness of constitutional governments that give political power to large numbers of citizens\u2014the public deliberation and procedures of governing can become dangerous during times of crises, particularly when the enemy is an autocrat not subject to such procedures and accountability. Demosthenes made this critical point in his speech On the Crown, a look back nearly ten years after Chaeronea at the events and mistakes that led to that disaster. As an autocrat, Philip \"did whatever he wished. He did not announce his intentions in official decrees, did not deliberate in public, was not hauled into court by sycophants, was not prosecuted for moving illegal proposals, was not accountable to anyone. In short, he was ruler, commander, in control of everything.\"91 In contrast, as Demosthenes had said even before Chaeronea, the Athenians are \"forever debating the same question and never making any progress,\" passing \"empty decrees,\" and indulging the \"hopes of the [speaker's] platform.\" In another speech, he explicitly identified the danger of verbal procedure substituting for timely action. \"All words, apart from action, seem vain and idle, especially from Athenian lips: for the greater our reputation for a ready tongue, the greater the distrust it inspires in all men.\"92 Public deliberation, the danger of demagogic rhetoric, and excesses of formal accountability all made it easier for the citizens to substitute words for deed, and thus to avoid the personal service and expense of challenging an aggressor.\n\nAfter the mid-fourth century, enthusiasm for personal military service indeed declined among Athenians, who relied instead on mercenaries. Demosthenes tried to warn his fellow citizens of the dangers that come from putting their security and interests in the hands of hired professionals. In 351, he told the Athenians, \"I propose that you should get ready a corps to carry on a continuous war of annoyance against Philip. Not an imposing army\u2014on paper\u2014of ten or twenty thousand mercenaries! It shall be a real Athenian contingent, and whether you appoint one general or more... him it shall strictly follow and obey.\"93 Mercenaries obviously have interests quite different from those of the citizens, mainly getting paid, and when their pay is not forthcoming, frequently use their power to acquire payment even if they compromise the interests of those who hire them. The mercenaries Athens had hired, their pay in arrears, had set about attacking and plundering Athens's allies. Thus Athenian soldiers and generals were necessary to oversee and control the hired soldiers.\n\nThe Athenian habit of withholding pay from mercenaries points to Demosthenes's other criticism of his fellow citizens in the years leading up to Chaeronea\u2014their unwillingness to forgo some of their state money in order to adequately fund a response to Philip's aggression: \"We refuse to pay war-taxes or to serve in person; we cannot keep our hands off the public funds,\" Demosthenes complained in 341. In another speech that same year, Demosthenes pleaded, \"We must make provision for defense, I mean with war-galleys, funds, and men; for even if all other states succumb to slavery, we surely must fight the battle of liberty.\"94 Earlier in 349, he told the Athenians they had enough funds for financing the military, \"But you appropriate it for yourselves, to suit yourselves.\"95 At issue at this time was the theoric fund discussed above, which paid Athenians to attend religious festivals including the theater. The year before Demosthenes's speech a citizen named Apollodorus had proposed that the Athenians vote on whether surplus revenues should go into the military fund. The proposal passed, but Apollodorus subsequently was fined 15 talents. After that, a law was passed that made such a transfer a capital crime. It wasn't until the eve of Chaeronea that a law was passed that transferred the theoric money into the military fund.\n\nDemosthenes's speeches of this period can be faulted for exaggeration and partisan self-interest. But they touch on a fundamental criticism of the radical democracy: that personal self-interest and entitlement transfers will take precedence over military preparedness and action. The historian Pompeius Trogus, writing in the time of the Roman Emperor Augustus, linked this decadence to the defeat of Athens by Philip: the Athenians having \"fallen into indolence and sloth,\" the \"state revenues they had once spent on the army and the fleet were devoted instead to holidays and festivals.... It was then that the public treasury, which had been used to support the soldiers and sailors, began to be divided among the people in the city. In this way it happened that in a Greece preoccupied with entertainment the previously lowly and obscure name of Macedon was able to emerge.\"96 In the end, Athens lost its political freedom and autonomy, both of which were never regained in antiquity.\n\nThe Excesses of Freedom and Equality\n\nThe most important innovation of constitutional government is the idea of political freedom and citizen equality. Unlike the kingdoms and empires of the ancient Mediterranean, where only kings or elites enjoyed full freedom as the perquisite of their status or class, the city-states of Greece predicated freedom on the political institutions and offices in which power resided: thus \"the state is a community of freemen,\" as Aristotle writes, with equal citizen access to the institutions of power.97 The Greeks explicitly defined themselves in terms of political freedom, in contrast to their non-Greek neighbors who lived in subjection to kings and various elites. The Persians, twice defeated in battle by the free Greeks, particularly embodied the slavishness of the politically subjected, who had to bow down before the Great King and kiss the ground. In contrast, as the Spartan Demaratus told Xerxes during his invasion of Greece in 480, although the Spartans \"are free, they're not entirely free: their master is the law, and they're far more afraid of this than your men are of you.\"98 Citizens are free because by the laws that transcend any one man, they have the right to participate in freely deliberating policy and governing the state.\n\nTo many critics of ancient Athens, however, this ideal of ordered liberty for citizens dependent on law was corrupted into personal license by the masses incapable of understanding properly the true purpose of political freedom: not to live as one likes, but to live a collective life suitable for a rational and virtuous human being, in a state whose aim is to achieve \"excellence,\" as Aristotle writes, and \"to make the citizens good and just.\"99 According to Thucydides at least, Pericles himself in his Funeral Oration in contrast extols the fact that in Athens, \"we do not feel called upon to be angry with our neighbor for doing what he likes,\" for \"we live exactly as we please.\" Later in Thucydides, when Nicias is exhorting his men before a critical naval engagement at Syracuse, he reminds them \"of their country, the freest of the free, and of the unfettered discretion allowed to all in it to live as they pleased.\"100 Aristotle agreed with this salient feature of democracy: since \"the basis of a democratic state is liberty,\" an important principle is \"that a man should live as he likes.\"101 To critics, however, this freedom joined to political power led to the corruption of the state by the zero-sum, centrifugal forces of clashing preferences, passions, and aims among the citizens.\n\nPlato is particularly severe on the personal freedom that characterizes democracies, given that the mass of men are driven by their bodily appetites and passions, indulgence of which compromises the true freedom produced by living rationally and virtuously \"according to the rule of the constitution,\" as Aristotle says in rejecting democracy's belief that \"freedom means doing what one likes.\"102 In the Republic Plato has Socrates describe Democratic Man as a creature of disorderly license: \"Are they not free,\" he asks rhetorically of the denizens of democracy, \"and is not the city full of freedom and frankness\u2014a man may say and do what he likes... [and] the individual is clearly able to order for himself his own life as he pleases?\" This selfish freedom, moreover, leaves the people indifferent to the virtues of their leaders, \"never giving a thought to the pursuits which make a statesman, and promoting to honour any one who professes to be the people's friend,\" in the end creating a \"charming form of government, full of variety and disorder.\"103 The consequence, however, is the corruption of the citizens, who call \"anarchy liberty, and waste magnificence, and impudence courage,\" and give themselves over to \"the freedom and libertinism of useless and unnecessary pleasures.\"104 Hierarchical distinctions of authority between citizens and aliens, fathers and children, husbands and wives, and free men and slaves all break down to the point that even the \"horses and asses have a way of marching along with all the rights and dignities of freemen; and they will run at any body who comes in their way if he does not leave the road clear for them: and all things are just ready to burst with liberty.\" Eventually, the people, \"drunk on the wine of freedom,\" will sell their liberty to any tyrant who promises to continue to indulge their appetites and passions.105 For as Aristotle says of this process, \"most persons would rather live in a disorderly than in a sober manner.\"106\n\nJust as political freedom degenerates into destructive license, democratic equality is transformed into radical egalitarianism\u2014in Plato's satiric exaggeration above, one including even animals. In Athens equality was codified in the equal access to offices, the courts, and the Assembly: \"For if liberty and equality are chiefly to be found in democracy,\" writes Aristotle, \"they will be best attained when all persons alike share in the government to the utmost.\"107 But this equality of governing creates dissatisfaction with the inequalities of wealth, talent, or even luck that naturally distinguish men from each other, and it encourages efforts to eliminate or lessen these inequalities. Aristotle makes this dynamic a defining attribute of democracy, which \"arises out of the notion that those who are equal in any respect are equal in all respects; because men are equally free, they claim to be absolutely equal.\"108 Hence the use of the lottery, as Plato points out, to assign honors and offices and to \"give even results in the distributions.\"109 But this egalitarianism is contrary to the reality of human nature and abilities. It is an unjust \"numerical\" equality inferior to \"proportional\" equality, which Plato says \"dispenses more to the greater and less to the smaller, giving due measure to each according to nature; and with regard to honors also, by granting the greater to those that are greater in goodness, and the less to those of the opposite character in respect of goodness and education, it assigns in proportion what is fitting to each. Indeed, it is precisely this which constitutes for us 'political justice.' \"110\n\nThus the fundamental danger of democracy in the eyes of its critics, the redistribution of property, arises from this need to eliminate the most obvious sign of inequality, that of wealth, leading to civil war and revolution. That is why the Athenian Stranger in Plato's Laws, whose criticisms of \"numerical\" equality were quoted above, concedes that in his ideal state it may be necessary \"to employ even this equality in a modified degree, if [the state] is to avoid involving itself in intestine discord.\"111 So too Aristotle, for whom \"the equalization of property is one of the things that tend to prevent citizens from quarrelling.\"112 In 391 Aristophanes comically dramatized the dangers of such equalization in Women at Assembly. In the play a conspiracy of Athenian women take control of the Assembly and pass legislation calling for a radical equalization of property. The ringleader Praxagora proposes a motion \"that everyone ought to go shares and hold all things in common \/ And live on that basis. It's wrong for one man to be rich and another a pauper.\"113 Aristophanes shows the absurdity of such equalization as the law expands beyond property to include sexual partners, who will be enjoyed in common, the ugly men and women getting first dibs on the attractive. In the real world, given human nature and its self-interested greed, schemes of redistribution and collective ownership will end up in either revolution or civil discord.\n\nThe Antidemocratic Tradition\n\nThis city is free, and ruled by no one man.\n\nThe people reign, in annual succession.\n\nThey do not yield the power to the rich;\n\nThe poor man has an equal share in it.\n\n\u2014Euripides, The Suppliant Women114\n\nThis portrait of ancient Athens and the flaws of democracy is, of course, one-sided and historically simplistic. Partly this bias reflects the accident of textual survival: few pro-democratic works are extant that counterbalance those of the critics. But there are champions of Athenian democracy, none more famous than Pericles in his Funeral Oration. Nor should we ever forget that the Athens of its harshest critics was also the Athens of Marathon, Salamis, the Parthenon, Sophocles, Plato, Socrates, Aristophanes, Thucydides, and the best of ancient philosophy\u2014the city of free speech, citizen autonomy, and an open society. And for all their excesses and flaws, we are all indebted to the notions of political freedom and equality apart from wealth and birth that first appear in ancient Athens.\n\nIn fact, many of the objections to mass-rule outlined above were answered by ancient writers. For example, the philosopher Protagoras, in the Platonic dialogue of the same name, counters the charge that the average man is incapable of ruling because he lacks specialized knowledge. Humans could not live peacefully in cities, Protagoras argues in his myth of the origins of politics, had not Zeus granted them \"reverence and justice to be the ordering principles of cities and the bonds of friendship and conciliation.\" When asked by Hermes whether these virtues and skills should be distributed like the skills of crafts to the few, Zeus responds, \"I should like them all to have a share; for cities cannot exist, if a few only share in the virtues, as in the arts.\" Thus, Protagoras concludes, when the citizens \"meet to deliberate about political virtues, which proceeds only by way of justice and wisdom, they are patient enough of any man who speaks to them, as is also natural, because they think that every man ought to share in this sort of virtue, and that states could not exist if this were otherwise.\"115\n\nSimilarly, Aristotle, who as we have seen was no great friend of \"extreme\" democracy, questions the notion that the masses when they deliberate will end up being driven by self-interest and passion because they lack virtue and wisdom. \"For the many, of whom each individual is not a good man, when they meet together may be better than the few good, if regarded not individually but collectively.... For each individual among the many has a share of excellence and practical wisdom, and when they meet together, just as they become in a manner one man, who has many feet, and hands, and senses, so too with regard to their character and thought.\" Thus, \"although individually they [the masses] may be worse judges than those who have special knowledge, as a body they are as good or better.\" Aristotle applies this principle regarding the courts to the Assembly and Council as well.116 As for the disorders and injustice with which critics charge democracies, Herodotus puts in the mouth of the Persian Otanes the answer to this charge, praising \"equality before the law\" and \"accountable government\" as the cures for the \"vices of monarchy,\" the tyranny and disorder that ensue \"when a monarch has the license to do whatever he wants, without being accountable to anyone.\"117 For every excessive vice documented by the critics of democracy, there is a virtue, and for every flaw, a strength.\n\nHistorian David Stockton is right, then, to remind us, in response to the critics, of the Athenians' \"attitude to life, the very air of individuality, open-mindedness, and independence which they breathe, the excitement and novelty (and, implicitly, the fragility) of this great experiment in participation and equality\" as expressed in Pericles's Funeral Oration, which \"in its eloquent advocacy of the virtues of 'government of the people, by the people, and for the people'... was the earliest, and for many readers remains the finest, statement of what a democracy should aspire to be.\"118\n\nYet in subsequent ages, the antidemocratic tradition had more influence on political theorists than did the virtues and achievements of Athens. The subjection of her fellow Greeks to the empire, the folly of the Sicilian Expedition, and the definitive failure to defend her freedom from Philip II of Macedon all weighed more in the balance. For the American colonists who set about framing a structure of government after the Revolution, the flaws and failures of Athens and radical democracy, documented by brilliant writers like Thucydides, Plato, and Aristotle, were powerful warnings of mistakes to avoid.\n\n1. Euripides, The Suppliant Women 410\u201325, trans. Frank William Jones, in Euripides IV (Chicago, 1968).\n\n2. Subsequent dates are all BC unless specified otherwise.\n\n3. Lysias 2.18\u201319, trans. W. R. M. Lamb, in Lysias (Cambridge, MA, and London, 1930).\n\n4. \"Extreme democracy,\" Politics 1277b and passim; trans. Benjamin Jowett, in The Complete Works of Aristotle, vol. 2, ed. Jonathan Barnes (Princeton, NJ, 1984); Finley in Democracy Ancient and Modern, rev. ed. (New Brunswick, NJ, 1985), 11; Aristotle at Politics 1280a, also 1317b.\n\n5. Thucydides 2.37, trans. Richard Crawley, The Landmark Thucydides (New York, 1996).\n\n6. Nemea 3.40; Olympia 2.86\u201387; trans. Richmond Lattimore, The Odes of Pindar (Chicago, 1947).\n\n7. Athenaeus, Deipnosophistae 12.26.\n\n8. Plutarch, Quaestiones Graecae, 18. In Donald Kagan, The Great Dialogue (New York, 1965), 36.\n\n9. Politics 1304b, trans. Jowett.\n\n10. Theognis 53\u201358, in Kagan, 39.\n\n11. The Constitution of the Athenians 1.5, trans. Robin Osborne, 2nd ed. (Kingston upon Thames, 2004).\n\n12. At 1.1, 1.2, 1.4, 2.10, 3.10.\n\n13. Politics, 1319a, 1278a, trans. Jowett.\n\n14. At 3.81, trans. Robin Waterfield (Oxford and New York, 1998).\n\n15. 1.20, 2.1, 6.1, trans. Crawley.\n\n16. Thucydides 2.65, 4.28, 8.1, trans. Crawley.\n\n17. At Memorabilia 3.7, trans. E. C. Marchant (Cambridge, MA, and London, 1923).\n\n18. Apology 20b, 25b, in Plato I. Euthyphro, Apology, Crito, Phaedo, Phaedrus, trans. Harold North Fowler (Cambridge, MA, and London, 1914).\n\n19. Apology 22d\u2013e, trans. Fowler.\n\n20. In The Great Dialogue, 161.\n\n21. Protagoras 319b\u2013d, trans. Benjamin Jowett, in The Dialogues of Plato, vol. 1 (New York, 1937).\n\n22. Rhetoric 1365b.\n\n23. In Memorabilia 1.2.9, trans. Marchant.\n\n24. Crito 47d, trans. Fowler.\n\n25. Fragment 5 Diehl; trans. Richmond Lattimore, Greek Lyrics, 2nd ed. (Chicago and London, 1960).\n\n26. The Peloponnesian War 2.65, trans. Crawley.\n\n27. The Peloponnesian War 2.65, trans. Crawley.\n\n28. Politics 1274a.\n\n29. Demosthenes 3.22, trans. J. H. Vince, in Demosthenes. Orations, vol. I (Cambridge, MA, and London, 1930).\n\n30. 3.36, trans. Crawley.\n\n31. Moralia 807a, in Martin Ostwald, From Popular Sovereignty to the Sovereignty of Law (Berkeley and Los Angeles, 1986), 216.\n\n32. AP 28, trans. F. G. Kenyon. In The Complete Works of Aristotle, vol. 2, ed. Jonathon Barnes (Princeton, NJ, 1984). See too Plutarch, Life of Nicias 8.3.\n\n33. Knights 47\u201348, 42\u201343, 258, 115\u201319.\n\n34. Thucydides 2.40, trans. Crawley.\n\n35. Republic 492b\u2013c, trans. Jowett.\n\n36. Apology 18c, trans. Fowler.\n\n37. Clouds 1038\u201340, trans. Jeffrey Henderson in Aristophanes II (Cambridge, MA, and London, 1998).\n\n38. Gorgias 452e, 459a\u2013b, trans. Jowett.\n\n39. Thucydides 3.37\u201338, trans. Crawley.\n\n40. Thucydides 3.40, trans. Crawley.\n\n41. Constitution of the Athenians 1.6\u20131.7, trans. Osborne.\n\n42. Thucydides 6.11, trans. Crawley.\n\n43. Thucydides 6.11, 6.12, 6.13, trans. Crawley.\n\n44. Thucydides 6.15, trans. Crawley.\n\n45. Thucydides 6.18, 6.90, trans. Crawley.\n\n46. Thucydides 6.24, trans. Crawley.\n\n47. See, for example, Aristotle Politics 1281a, 1318a; AP 40.\n\n48. Republic 422e\u201323, trans. Benjamin Jowett, in The Dialogues of Plato, vol. 1 (1892; New York, 1937).\n\n49. Demosthenes 24.149, trans. A. T. Murray, in Kagan, 84; AP 56, trans. Kenyon.\n\n50. What's Wrong with Democracy, 83. Emphases omitted.\n\n51. AP 27, trans. Kenyon.\n\n52. Gorgias 515d, trans. Jowett.\n\n53. Women at Assembly 304\u20136, 308\u201310. Trans. In The Complete Greek Drama (New York, 1938).\n\n54. Politics 1313b, quote 1293a, trans. Jowett.\n\n55. Politics 1320a, trans. Jowett.\n\n56. Annual income in the mid-fifth century was about a thousand talents, compared to about four hundred in the mid-fourth century. A talent of silver was roughly equivalent to the wages of six thousand men for one day (Samons, 80).\n\n57. A. H. M. Jones, Athenian Democracy (1957; Baltimore, MD, 1986), 33.\n\n58. In Jones, 35.\n\n59. Demosthenes 13.2, trans. Vince.\n\n60. Knights 1350\u201353, trans. Henderson.\n\n61. In The Athenian Democracy in the Age of Demosthenes (Berkeley and Los Angeles, 1991), 98.\n\n62. Theopompus Fragments 99, 100, 213, trans. C. B. Gulick, in Gordon S. Shrimpton, Theopompus the Historian (Montreal and Kingston, 1991).\n\n63. Demosthenes 3.31, trans. Vince.\n\n64. Jones, Athenian Democracy, 101\u20132.\n\n65. Hansen, 111.\n\n66. Politics 1291a, trans. Jowett.\n\n67. Constitution of the Athenians 1.13, trans. Osborne.\n\n68. 15.160, trans. George Norlin, in Isocrates II (Cambridge, MA, and London, 1929).\n\n69. 8.129\u201331, trans. Norlin.\n\n70. Persians 213\u201314, trans. H. Weir Smith, Aeschylus I (Cambridge, MA, and London, 1922); cf. also Herodotus 3.80, where another compound, aneuthynos, \"unaccountable,\" characterizes monarchy.\n\n71. Apology 32a, trans. Fowler.\n\n72. Aristides 7.2, 7.6, trans. Bernadotte Perrin, Plutarch Lives, vol. 2 (Cambridge, MA, and London, 1914).\n\n73. See AP 55.\n\n74. Plutarch, Alcibiades, 7.2; in Kagan, The Great Dialogue, 88\u201389.\n\n75. Wasps 550\u201354, ed. Eugene O'Neill, in The Complete Greek Drama, vol. 2 (New York, 1938).\n\n76. Thucydides 8.1, trans. Crawley.\n\n77. In The Athenian Democracy, 207.\n\n78. Denunciation before the council involved government officials accused of maladministration.\n\n79. Hansen, 217.\n\n80. Demosthenes 4.47, trans. Vince.\n\n81. Phasis, the crime of smuggling goods into Athens without paying custom duties, awarded the informer one-half of the property; apagog\u00ea, the crimes of illegally enjoying citizen rights, or stealing, awarded three-quarters of confiscated property.\n\n82. Cf., for example, Isocrates 15.314\u201318. The origins of the term \"sycophant\" for these blackmailers, literally \"fig-shower,\" are obscure.\n\n83. Lysias 27.1, trans. Lamb.\n\n84. Republic 565a, trans. Jowett. Cr. Aristotle, Politics 1305a.\n\n85. In Memorabilia 3.5.16\u201317, trans. Marchant.\n\n86. Finley, Democracy Ancient and Modern, 44\u201345.\n\n87. Thucydides 3.82, 3.84, trans. Crawley.\n\n88. In The Ancien R\u00e9gime in Classical Greece, 193\n\n89. What's Wrong with Democracy?, 116.\n\n90. In Democracy Ancient and Modern, 59\u201360.\n\n91. Demosthenes 18.235, trans. Vince.\n\n92. Demosthenes 4.33\u201334, 45; 2.12, trans. Vince.\n\n93. Demosthenes 4.19\u201320, trans. Vince.\n\n94. Demosthenes 9.70\u201371, trans. Vince.\n\n95. Demosthenes 3.11, trans. Vince.\n\n96. From the epitome of Justin, in Jennifer Tolbert Roberts, Athens on Trial (Princeton, 1994), 108.\n\n97. Politics 1279a, trans. Jowett.\n\n98. Herodotus 7.104, trans. Waterfield.\n\n99. Politics 1280b, trans. Jowett.\n\n100. Thucydides 2.37, 39; 7.69, trans. Crawley.\n\n101. Politics 1317b, trans. Jowett.\n\n102. Politics 1310a, trans. Jowett.\n\n103. Republic 557b\u201358c, trans. Jowett.\n\n104. Republic 560e\u201361c, trans. Jowett.\n\n105. Republic 562c\u201363c, trans. Jowett.\n\n106. Politics 1319b, trans. Jowett.\n\n107. Politics 1291b, trans. Jowett.\n\n108. Politics 1301a, trans. Jowett.\n\n109. Laws 757b, trans. R. G. Bury. Plato: Laws Books 1\u20136. Cambridge and London, 1926. Cf. Republic 558c.\n\n110. Laws 757c, trans. Bury.\n\n111. Laws 757d, trans. Bury.\n\n112. Politics 1267a, trans. Jowett.\n\n113. Women at Assembly 590\u201391, trans. Douglas N. MacDowell, in Aristophanes and Athens (Oxford, 1995), 313.\n\n114. Euripides, The Suppliant Women, 404\u20137, trans. Jones.\n\n115. Protagoras 322c\u201323a, trans. Jowett, The Dialogues of Plato, vol. 1.\n\n116. Politics 1281b\u201382a, trans. Jowett. Thucydides (6.39) puts the same sentiment in the mouth of the Syracusan Athenagoras.\n\n117. Histories 3.8, trans. Waterfield.\n\n118. In The Classical Athenian Democracy (Oxford, 1990), 186\u201387.\nCHAPTER TWO\n\nThe Antidemocratic Tradition and the American Founding\n\nSobriety, abstinence, and severity, were never remarkable characteristics of democracy, or the democratical branch or mixture, in any constitution; they have oftener been the attributes of aristocracy and oligarchy. Athens, in particular, was never conspicuous for these qualities; but, on the contrary, from the first to the last moments of her democratical constitution, levity, gayety, inconstancy, dissipation, intemperance, debauchery, and a dissolution of manners, were the prevailing character of the whole nation.\n\n\u2014John Adams, A Defense of the Constitutions of Government of the United States of America1\n\nA democracy is a volcano, which conceals the fiery elements of its own destruction. These will produce an eruption, and carry desolation in their way.\n\n\u2014Fisher Ames2\n\nGiven that colonial America's schools were steeped in the literature, history, and philosophy of ancient Greece and Rome, Americans of the late eighteenth century were intimately familiar with the follies and failures of Athenian democracy, as well as the two millennia of commentary on them. For the less formally educated, theatrical productions, public orations, and newspapers \"familiarized American audiences with classical lore and republican ideals,\" as Forrest McDonald writes.3 The classical influence was particularly important for the political thinking of those who would craft the new nation's political order. \"The classics,\" historian Carl J. Richard writes, \"supplied mixed government theory, the principal basis for the US Constitution. The classics contributed a great deal to the founders' conception of human nature, their understanding of the nature and purpose of virtue, and their appreciation of society's essential role in its production.... In short, the classics supplied a large portion of the founders' intellectual tools.\"4 These influences, moreover, were as much negative as positive, a record of the political follies and vices of a human nature constant over space and time. \"Similar causes,\" Antifederalist Benjamin Austin said in 1778, \"will forever operate like effects in the political, moral, and physical world: those vices which ruined the illustrious republics of Greece, and the mighty commonwealth of Rome... must eventually overturn every state, where their deleterious influence is suffered to prevail.\"5\n\nThis tradition comprised not just the Greek writers like Thucydides, Plato, and Aristotle, whom the founders formally studied, but also later Roman and Continental political philosophers and theorists. Like the Greek critics, these political writers distrusted a common people whom they deemed to be afflicted with ignorance and self-interest, and thus vulnerable to the machinations of ambitious demagogues and politicians. In the Roman orator Cicero's Pro Flacco, Americans could learn that Athens collapsed because of \"one evil, the immoderate liberty and licentiousness of the popular assemblies. When inexperienced men, ignorant and uninstructed in any description of business whatever, took their seats in the theatre, then they undertook inexpedient wars; then they appointed seditious men to the government of the republic; then they banished from the city the citizens who had deserved best of the state.\"6 The second-century AD historian Plutarch, the most-read ancient writer in early America, reprised in his paired biographies of eminent Greeks and Romans and in other writings the earlier criticisms of Athens, especially of the masses who were \"shifting and changeable as the winds,\" who \"always smile upon him who gives to them and does them favours,\" and among whom exist \"a spirit of malice and fault-finding directed against men in public life.\"7 In the sixteenth century, political theorist Thomas Elyot called the Athenian masses a \"monster with many heads,\" and Walter Raleigh in the seventeenth century scorned them as the \"rascal multitude.\"8 In the introduction to his influential translation of Thucydides in 1629, Thomas Hobbes wrote of the Athenians that \"wicked men and flatterers drave [sic] them headlong into those actions that were to ruin them,\" repeating the common charge that the ignorant, self-interested masses are vulnerable to demagogues.9 Another important influence on the founders, James Harrington's Oceana (1656), repeated the Socratic and Aristotlean charge that the unlettered laboring masses have no time to acquire the virtue and knowledge necessary for guiding the state: \"mechanics, until they have first feathered their nests\u2014like the fowls of the air, whose sole employment is to seek their food\u2014are so busied in their private concernments that they have no leisure\" for studying the political philosophy knowledge of which, in the antidemocratic tradition, is crucial for managing government.10\n\nDemocracy\u2014a government in which the preponderance of power is vested in the assemblies of the people rather than in representatives or executives not directly accountable to the people\u2014did have its champions in the decades before the Founding. Supporters of popular rule were found in the North among the small towns and farms beyond the mercantile cities. There agrarian traditions of self-sufficiency and self-reliance, preference for home rule and the annual rotation of office-holders, and suspicion of the corrupting concentration of power distant from the watchful eyes of the citizens, all made a more direct democracy the desired form of government. An anonymous pamphlet printed in 1776, The People the Best Governor, argued, as one would expect from the title, \"The people know best their own wants and necessities, and therefore are best able to rule themselves.\"11 In 1778 the town of Westminster, Massachusetts, resolved, \"The oftener power Returns into the hands of the people the Better... Where can the power be lodged so Safe as in the Hands of the people and who can Delligate [sic] it So Well as they, or who has the boldness without Blushing to Say that the people are not Suitable to putt [sic] in their own officers?\"12 This preference for democracy\u2014though not quite as \"extreme\" as ancient Athens's\u2014formed the nucleus of the Antifederalist opposition to the Constitutional Convention of 1787, whose delegates in the estimation of some Antifederalists were a \"monstrous aristocracy\" that would \"swallow up the democratic rights of the union, and sacrifice the liberties of the people to the power and domination of the few,\" as a commentator calling himself \"Rusticus\" said.13 Patrick Henry put it more bluntly: \"The tyranny of Philadelphia may be like the tyranny of George III.\"14\n\nBut the radical state governments that sprang up between the Declaration of Independence and the Constitutional Convention that convened in late May 1787, validated for many the traditional antidemocratic sentiments and prejudices. Pennsylvania's Constitution was particularly extreme, with its unicameral legislature, annual elections, wider suffrage rights, Council of Censors to ensure fealty to the constitution, and elimination of property qualifications for assemblymen. They also created a Supreme Executive Council, one-third of whose members were replaced yearly, on the principle that, as Antifederalist writer James Burgh put it, \"Where annual elections end, slavery begins.\" As historian David Lefer writes, it \"was probably the closest attempt at direct democracy since the days of Pericles.\" Other provisions, moreover, confirmed the antidemocratic suspicions and fears of extreme democracy. The constitution abolished debtors' prisons and contemplated laws, rejected by a slim margin, to discourage concentrations of wealth. Pennsylvanian physician Benjamin Rush called Pennsylvania's government a \"mobocracy,\" an English translation of the third-century Greek historian Polybius's word ochlokratia, used to describe a degenerate democracy.15 According to Dr. Rush, his friend John Minton hated the constitution and feared its malign influences so much that he suffered from \"political hypochondriases which put an end to his life.\"16 Equally worrisome to antidemocrats, Vermont and Georgia adopted similar constitutions, and radical democrats in other states attempted to do likewise.\n\nThe threat of violence from the intemperate mob predicted by ancient critics of democracy seemingly became a reality in Pennsylvania. In May 1779, unsuccessful efforts by conservatives to call another constitutional convention, economic hard times, and runaway inflation sparked violence against shopkeepers accused of manipulating prices. \"Merchants found guilty [of overpricing],\" Lefer writes, \"were summarily hauled from their shops and marched through town. Many were beaten and several thrown in prison. Warehouses and homes were invaded, ships seized, and private property impounded.\" Committees were formed to control prices and pursue those who violated their laws. The violence intensified throughout the summer, and in October, a mob kidnapped four merchants and attacked the house of lawyer James Wilson, an outspoken critic of the constitution and a future Supreme Court justice. Wilson and thirty others fortified the house, shots were exchanged, and in a few minutes five men were dead. Equally ominous, the radicals took full control of the assembly in an election held one week after the violence. Henry Laurens wrote to John Adams, \"We are at this moment on a precipice, and what I have long dreaded... seems to be breaking forth\u2014a convulsion among the people.\"17\n\nThe Fort Wilson Riot, as it became known, for antidemocrats was graphic evidence of the wages of extreme democracy. But Shays' Rebellion, which unfolded over the nine months before the convention convened in May 1787, had more immediate impact. Two thousand mostly small farmers of central and western Massachusetts, protesting against debt and high taxes, shut down the courts to prevent judicial proceedings for tax and debt collection, and eventually formed a militia that marched on the federal armory in Springfield. The rebels were suppressed, in part by a private army funded by the well to do. This incident gave even more traction to the old antidemocratic charges that more power to the people meant attacks on property, forgiveness of debt, and violent anarchy. David Humphreys, one of George Washington's aides-de-camp during the Revolutionary War and a member of the Connecticut state legislature, blamed the uprising on \"a licentious spirit prevailing among many of the people; a leveling principle; a desire for change.\"18\n\nThe solution to this alleged populist anarchy and rage for the redistribution of property and cancellation of debt was a national government stronger than that of the Articles of Confederation. In 1786, Revolutionary War hero General Henry Knox wrote to George Washington concerning Shays' Rebellion, \"On the very first impression of faction and licentiousness, the fine theoretic government of Massachusetts has given way.\" The rebels, Knox claims, \"have never paid any, or but very little taxes\u2014But they see the weakness of government; They feel at once their own poverty, compared with the opulent, and their own force, and they are determined to make use of the latter, in order to remedy the former.\" Private property, having been protected from England by the Revolution, as Knox interprets the rebels' motives, \" 'therefore ought to be the common property of all. And he that attempts opposition to this creed is an enemy of equity and justice.'... In a word they are determined to annihilate all debts public and private.\" He concludes, \"What is to give us security against the violence of lawless men? Our government must be braced, changed, or altered to secure our lives and property.\"19\n\nShays' Rebellion, which took place closer to the convention, was a more immediate example of the disorder fomented in the postwar years by overly democratic state governments and the misguided, shortsighted, easily manipulated common people who, according to future Congressman Fisher Ames in 1787, \"themselves have, in almost every instance, been the ready instruments of their own ruin,\" allowing themselves to become the prey to \"blustering, haughty, licentious, self-seeking men.\"20 During this period many of the other disparaging attacks on the people familiar from the ancient critics surveyed above were common in political writing. The rise of \"new men,\" who in the turbulence of the Revolution began taking positions of power, elicited from James Otis\u2014the Massachusetts lawyer who said, \"Taxation without representation is tyranny\"\u2014an insult redolent of the aristocrat Theognis: \"When the pot boils, the scum will rise.\" A New Yorker calling himself \"Sober Citizen\" similarly complained of the novel prominence of parvenus and vulgar upstarts \"whose fathers they [more respectable men] would have disdained to have sat with the dogs of their flocks,\" but who now have been \"raised to immense wealth.\" The Socratic scorn for the \"tinkers and cobblers\" presuming to be statesmen was reprised by a Baltimore printer who snorted, \"When a man, who is only fit 'to patch a shoe,' attempts 'to patch the State,' fancies himself a Solon or Lycurgus... he cannot fail to meet with contempt.\" The penchant of members of democratic assemblies to be manipulated by the ambitious was noted in a letter published in the Providence Gazette complaining that \"a set of unprincipled men, who sacrifice everything to their popularity and private views, seem to have acquired too much influence in our Assemblies.\" And just as many ancient critics saw eternal class warfare between the rich elites and the poor masses, an article in the Pennsylvania Journal agreed, albeit from the democratical side: \"All political societies have two contending parties\u2014the majority, whose interest it is to be free, and who have the power to be so\u2014and the minority, whose interest it is to oppress, but who can never succeed, till they have blinded their opponents.\"21\n\nSeemingly confirmed in the turbulent years after the break from England, the antidemocratic tradition\u2014to be sure, as biased and one-sided in early America as it was in ancient Athens\u2014with its fear of \"extreme democracy\" and its distrust of the political empowerment of the masses, was a powerful and decisive influence on the political philosophy of the late eighteenth century and the crafting of the Constitution.\n\nThe Distrust of Human Nature\n\nLike the Athenian critics of democracy, Colonial era antidemocrats assumed that men in the mass were dangerous in part because of the eternal flaws of human nature. Americans of that time obtained this pessimistic view of people from both their Classical and Christian heritages. The tragic vision evident in Greek literature from Thucydides to tragedians like Sophocles and Euripides defined humans as hostages to time, unforeseen change, a harsh natural world, the capricious gods, and the destructive powers of their own appetites and passions.\n\nIn most men reason is helpless against these forces, and more often than not will be corrupted by the passions in order to serve their ends. Nor can the power of the irrational over human behavior be eliminated or even diminished by improvement, for it is foundational to human identity. In Thucydides's history, an irrational human nature constant over space and time is the key to understanding social and political behavior, particularly the causes and conduct of wars and civil strife. In his description of the horrors of revolution in Corcyra in 427 BC, Thucydides famously articulated his unsparing realism in a passage John Adams quotes at length in his Defense of the Constitutions: \"The sufferings which revolution entailed upon the cities were many and terrible, such as have occurred and always will occur as long as the nature of mankind remains the same,\" for war confronts people with \"imperious necessities\" and \"so proves a rough master that brings most men's characters to a level with their fortunes.\"22\n\nSimilarly, Christianity's doctrine of man's fallen nature and the necessity of God's grace to achieve redemption put out of bounds the notion that the improvement of reason without divine aid, and the secular expansion of knowledge, could eliminate or temper for long the destructive irrationalism of human nature. America's most important theologian of the eighteenth century, Jonathan Edwards, wrote that \"the innate sinful depravity of the heart,\" the \"universal unfailing tendency to that moral evil,\" the \"state of man's nature, that disposition of the mind, is to be looked upon as evil and pernicious, which, as it is in itself, tends to extremely pernicious consequences.\"23 Edwards especially highlights the bloody record of history, in which the perennial violence and cruelty of man against his fellows proves his innate depravity.\n\nNor can we dismiss Edwards's views as the consequence of his grim Calvinism. The titan of the Enlightenment, Voltaire, in 1769 expressed the same pessimism about human nature: \"Men in general are foolish, ungrateful, jealous, covetous of their neighbor's goods.... Power is commonly possessed, in States and in families, by those who have the strongest arms, the most resolute minds, and the hardest hearts. From which the moralists of all ages have concluded that the human species is of little worth.\"24 Indeed, for most thinkers of the eighteenth century, including the intellectual milieu of many of the founders, the improvement of human nature in the mass was out of the question. On the contrary, the theorists of the Constitution followed the \"just political maxim\" of English philosopher David Hume, \"that every man must be supposed a knave.\"25 A more just and equitable political order had to be constructed out of this unpromising material, taking it into account rather than wishing it away.\n\nParticularly in the disorderly decade between the Declaration of Independence and the Constitutional Convention, the selfish interests and destructive passions of the bulk of men are continually highlighted as the fatal flaw of democracy. As we saw earlier, the democratic excesses of some of the state governments in this period that vested the bulk of governing power in popularly elected legislatures sharpened this criticism. As one historian writes, \"Colonial electors were notoriously volatile: they had turned out to vote only intermittently and only on issues about which they had strong emotions.\" The result was legislation passed with \"too hasty, careless, incautious and passionate proceedings; breaches of wholesome order and necessary form,\" as \"A Democratic Federalist\" wrote in 1787.26 New York's Trespass Act of 1783, which gave American patriots the right to sue loyalists who had damaged or occupied property left behind British lines during the war, violated common law, natural law, and the Anglo-American legal tradition.27 And it was wildly popular. To many antidemocrats, such attacks on the property rights of loyalists, schemes to distribute public lands, and inflationary economic policies that devalued debts all smacked of the redistribution of property and relief of debt that ancient critics warned would follow from giving the common people too much power. During Shays' Rebellion, one citizen worried that the rebels' demands \"must end in an abolition of all public & private debts and then an equal distribution of Property may be demanded.\"28 Such critics reprised the old charges we surveyed in the previous chapter: the masses are motivated by passions, class envy, and self-interest, ignorant of the knowledge necessary for forming policy, and as such are prey to ambitious, manipulative demagogues who will make the people dupes for advancing self-serving policies dangerous for the state as a whole; as Alexander Addison of Pennsylvania put it, \"To mislead the judgment of the people, where they have all the power, must produce the greatest possible mischief.\"29\n\nSuch low opinions of the masses were ubiquitous in the years before the convention. Responding to Thomas Paine's Common Sense (1776) and its championing of greater power for the people, critics called up the usual dangers antidemocrats had decried for over two millennia. John Adams, the most prolific and eloquent critic of unchecked democracy, complained that Paine's planned government with its unicameral legislature \"was so democratical, without any restraint or even an attempt at any equilibrium or counterpoise, that it must produce confusion and every evil work.\"30 Charles Inglis warned, \"All our property throughout the continent would be unhinged,\" and \"the greatest confusion, and the most violent convulsions would take place.\" Another critic, James Chalmers, conjured the specter of debt cancellation, the evil twin of property redistribution: \"A war will ensue between the creditors and their debtors, which will eventually end in a general spunge [sic] or abolition of debts, which has more than once happened in other states on occasions similar.\" Paine's suggestions could be taken seriously only if he could assure his fellow colonists \"that ambition, pride, avarice, and all that dark train of the passions which attend them\" did not exist in Americans. The ubiquity of human depravity demonstrated on every page of history meant that no such assurances could be given for the people as a whole. On the contrary, as Virginian Carter Braxton wrote, \"A disinterested attachment to the public good, exclusive and independent of all private and selfish interest\" had \"never characterized the mass of people in any state.\"31\n\nChecking the excesses of the demos thus was a critical goal in the construction of the new political order. It was important to avoid giving too much power to \"Men without Character and without Fortune,\" as Edward Rutledge wrote to John Jay, and thus avoid a government \"managed by the promiscuous multitude of the community,\" a New Jersey reader proclaimed in the New Jersey Gazette. The \"multitude\" might be honest, he continued, \"yet from many natural defects, are generally in the execution of government, violent, changeable, and liable to many fatal errors.\" John Adams remarked on the ignorance of the people as the impediment to their responsible and disinterested exercise of power, for \"few of them [are] much read in the history, laws, or politics, even of their own, not to mention other states, from whose rises, revolutions and declensions the great landmarks of legislations and government are taken.\" As in the ancient critics, the fickleness, self-interest, and ignorance of the people made them vulnerable to \"demagogues\" who \"under plausible pretences [sic],... for dark, ambitious, or (not unlikely) speculative purposes, which they dare not own,\" were \"disturbing the peace of the public, and causing the government to be bullied.\" If left unchecked, popular governments would lead to tyranny, for as South Carolinian Aedanus Burke orated, \"a popular assembly not governed by fundamental laws, but under the bias of anger, malice, or a thirst for revenge, will commit more excess than an arbitrary monarch.\"32\n\nMoreover, the solution of some ancient antidemocrats for avoiding the weaknesses of the masses\u2014reserving power for an elite superior because of virtue, blood, or wisdom\u2014in the eighteenth century was obviated by the belief that human depravity was a universal evil irrespective of birth or education; that, as John Locke said, \"We are all centaurs and tis the beast that carrys [sic] us.\"33 As such, most people, even those of virtue and wisdom, could not be trusted for long with unchecked power, for power gave them the ability to act on their irrational passions and destructive impulses at the expense of the community. Even the elitist aristocrat Plato warned, \"If any one gives too great a power to anything... and does not observe the mean, everything is overthrown, and, in the wantonness of excess runs in the one case to disorders, and in the other to injustice, which is the child of excess.\"34 Eventually even the virtuous with excessive power will create tyranny, \"that arbitrary power of an individual which is responsible to no one, and governs all alike, whether equals or betters, with a view to its own advantage, not to that of its subjects,\" as Aristotle defined it.35 Such a description is consistent with the claim in the Declaration of Independence that British king George III's \"history of repeated injuries and usurpations\" all had \"in direct object the establishment of an absolute Tyranny over these states.\"\n\nColonial Americans could find historical models of George III in the oppressive \"tyrants\" in Classical history and literature, and the many examples of such corruption given scope by power. They could read in Plutarch's Lives about tyrants like Julius Caesar, who destroyed the Roman Republic in 46 BC, and examples of resistance to them like Brutus, Cassius, and Cato the Younger, popular pseudonyms for Colonial political commentators. One of the most popular works of literature in this period was Joseph Addison's play Cato (1713), which dramatized the last days of Cato. Cato committed suicide rather than submit to the tyrant Julius Caesar, thus becoming a martyr to republican freedom. George Washington had the play performed for the troops during the dark days at Valley Forge, and Patrick Henry's famous \"Give me liberty, or give me death\" is likely a paraphrase of a line from Cato.36\n\nThe Colonists, then, on the whole agreed with the late seventeenth-century English political philosopher Viscount Bolingbroke: \"The love of power is natural, it is insatiable; it is whetted, not cloyed, by possession.\"37 Warnings against the corruption of unchecked power are as frequent in the years before the Constitutional Convention as complaints about excessive democracy. In 1776, one Marylander wrote, \"all men\" are \"by nature fond of power\" and \"unwilling to part with the possession of it.\" About the same time Benjamin Rush observed, \"sovereign power should be watched with a jealous eye.... Whether that power is lodged in the hands of one or many, the danger is equally great.\"38 Alexander Hamilton, reflecting on the disorder and confusion in government in the years after independence, in 1781 cautioned Americans against the \"extreme jealousy of power\" unleashed by popular revolutions.39\n\nSuch commonplace sentiments were as usual best expressed in John Adams's Defense of the Constitutions in 1787: \"Though we allow benevolence and generous affections to exist in the human breast, yet every moral theorist will admit the selfish passions in the generality of men to be the strongest. There are few who love the public better than themselves, though all may have some affection for the public.... Self-interest, private avidity, ambition, and avarice, will exist in every state of society, and under every form of government.\" No elite, or any form of government in which power is not divided, dispersed, and balanced, will avoid the tyranny of the passions, least of all a democracy. Years later Adams would write, \"It is in vain to say that democracy is less vain, less proud, less selfish, less ambitious, or less avaricious than aristocracy or monarchy. It is not true, in fact, and nowhere appears in history. Those passions are the same in all men, under all forms of simple government, and when unchecked, produce the same effects of fraud, violence, and cruelty.\"40 Clearly neither a government that concentrated power solely in the one, the few, or the many, could be just and stable given the destructive human passions that defined all people.\n\nFraming the Solution\n\nIn the early sixteenth century, Machiavelli wrote, \"As all those have shown who have discussed civil institutions, and as every history is full of examples, it is necessary to whoever arranges to found a Republic and establish laws in it, to presuppose that all men are bad and that they will use their malignity of mind every time they have the opportunity.\"41 The fifty-five delegates who gathered in Philadelphia starting on May 25, 1787, were generally in agreement with Machiavelli's dictum. Their task was to form a government that created political freedom but protected individuals and society from the corruption of power.\n\nFor all their diversity of opinion and philosophy, historian Walter A. McDougall writes, \"all Federalists believed human nature was flawed... envisioned no utopias, put little trust in republican virtue, and believed the only government liable to endure was one taking mankind as it was and making allowance for passion and greed.\"42 Throughout the Constitutional convention, the delegates repeatedly prefaced their remarks with reminders of the irrational springs of human behavior. Typical are the comments of Benjamin Franklin that were read at the convention during the deliberations about compensation for the president. \"There are two passions which have a powerful influence on the affairs of men,\" Franklin wrote. \"These are ambition and avarice; the love of power, and the love of money,\" which when united have \"the most violent effects.... The struggles for them [in England] are the true sources of all those factions which are perpetually dividing the Nation, distracting its councils, hurrying sometimes into fruitless & mischievous wars.\" A power like that of the proposed president, Franklin continues, will attract \"the bold and the violent, the men of strong passions and indefatigable activity in their selfish pursuits.\"43 Given this tendency for power to corrupt, and money to serve as the instrument of such corrupted power, Franklin argued against compensating the president beyond his expenses.\n\nThis belief in a destructive human nature and the distrust of power led most delegates to prefer the mixed government that checked and balanced the power of the people and elites alike. But they particularly distrusted the masses. In the early days of the convention, Edmund Randolph, governor of Virginia, orated, \"Our chief danger arises from the democratic parts of our [state] constitutions. It is a maxim which I hold incontrovertible, that the power of government exercised by the people swallows up the other branches. None of the constitutions have provided sufficient checks against the democracy.\" Elbridge Gerry of Massachusetts agreed with the Southerner: \"The evils we experience flow from the excess of democracy. The people do not want virtue; but are the dupes of pretended patriots. In Massts. it has been fully confirmed by experience that they are daily misled into the most baneful measures and opinions by the false reports circulated by designing men\" who increased the \"danger of the levilling [sic] spirit.\"44 As Gordon Wood observes, \"The Constitution was intrinsically an aristocratic document designed to check the democratic tendencies of the period.\"45 The antidemocratic tradition beginning in ancient Athens found its most significant expression in the creation of the US Constitution.\n\nAs such, the Constitution of 1787 was a version of the classical \"mixed government\" in which the democratical element was confined to the House of Representatives, and the legislative body divided between the House and the Senate. Indeed, given the combined powers of the \"monarchical\" president and oligarchical Senate, Antifederalist Richard Henry Lee complained that the \"democratic branch\" of the government was a \"mere shred or rag.\"46 Some delegates objected to even that level of popularly elected government. Roger Sherman, who had sat on the Committee of Five that drafted the Declaration of Independence, argued against the direct election of the House on the grounds that the people \"should have as little to do as may be about the government. They want information and are constantly liable to be misled.\"47 In the end, however, the Senate, its members appointed by the state legislatures, was designed in part to check the legislative excesses of the popularly elected House, and Congress itself was subject to the counterbalancing powers of the executive and the judiciary, neither of which was elected by the people. There would be no Athens in America.\n\nDebating the Solution\n\nIn the year before the ratification of the Constitution by the necessary nine states on September 13, 1788, opponents and supporters of the new government debated the document both in speeches at the ratifying conventions, and in print even before it was finished. In these contests the argument about democracy and its alleged weaknesses that had appeared in the previous decade were reprised. Many Federalists answered the Antifederalist charge that they were scheming to create some form of aristocracy, by evoking the old antidemocratic specters of mob rule, class warfare, and the dominance of demagogues. Robert Livingstone derided his fellow New Yorker Melancton Smith's worry about dominance by the well-born and the rich by claiming Smith's ideas would lead to a government expressing \"the unjust, the selfish, the unsocial feelings,\" one where \"the vices, the infirmities, the passions of the people\" would dominate. Federalist Theodore Sedgwick of Massachusetts, a delegate to the Continental Congress and a future senator, considered the Antifederalists to be engaged in class warfare \"levied on the virtue, property, and distinctions in the community.\" Such concerns bespeak how thoroughly engrained in the political consciousness of many Americans was the long tradition of distrust of democracy, and the need to protect, as John Dickinson put it, \"the worthy against the licentious.\"48\n\nThe most famous of the writings on the Constitution, of course, are those of Alexander Hamilton, John Jay, and James Madison. Their eighty-five articles appeared under the byline Publius in various New York newspapers between October 1787 and August 1788, and were later collected into the book known as The Federalist. Throughout these writings the fundamental assumption behind the problems the framers were confronting, and the solutions they proposed, was the depravity of human nature, as a few examples illustrate.\n\nIn The Federalist 6, Alexander Hamilton predicated his case for a more powerful central government by arguing the inevitability of conflict and disunion between the states in the absence of a federal counterforce. \"A man must be far gone in Utopian speculations,\" Hamilton wrote, who could doubt that quarrels among the states would lead to \"frequent and violent contests with each other. To presume a want of motives for such contests... would be to forget that men are ambitious, vindictive and rapacious.\" Echoing Plato's dictum that war is the natural state of relations among nations, Hamilton points out that \"hostilities among nations are innumerable,\" owing to the \"love of power or the desire of preeminence and dominion,\" and he warns against conflict whose origins lie \"in private passions\" and \"in the attachments, enmities, interests, hopes and fears of leading individuals.\" Countering the widespread belief, then as today, that commercial nations avoid conflicts because they are damaging to their economic interests, Hamilton responds, \"Has it not, on the contrary, invariably been found, that momentary passions and immediate interests have a more active and imperious control over human conduct than general or remote considerations of policy, utility or justice?\"49\n\nIndeed, it is the passionate and selfish human nature that makes government necessary in the first place. Hamilton asks, \"Why has government been instituted at all? Because the passions of men will not conform to the dictates of reason and justice, without constraint.\" James Madison, in one of the more famous passages from The Federalist, agreed. Arguing for the \"separate and distinct exercise of the different powers of government,\" and the ability for each branch \"to resist the encroachment of the others,\" Madison wrote, \"Ambition must be made to counteract ambition. The interest of the man must be connected with the constitutional rights of the place. It may be a reflection on human nature, that such devices should be necessary to control the abuses of government. But what is government itself but the greatest of all reflections of human nature? If men were angels, no government would be necessary. If angels were to govern men, neither external nor internal controls on government would be necessary.\"50\n\nIf government is necessary given human nature, and if \"power is of an encroaching nature, and that it ought to be effectually restrained from passing the limits assigned to it,\" as Madison says, then the structure of government must be such that the natural tendency of power to aggrandize itself at the expense of others will be checked and channeled by dividing power into parts that balance one another. Otherwise, such conflicts of interests will erupt into violent strife and revolution. As John Adams wrote in his Defense of the Constitutions, \"Human nature is as incapable now of going through revolutions with temper and sobriety, with patience and prudence, or without fury and madness, as it was among the Greeks so long ago.... Without three orders, and an effectual balance between them, in every American constitution, it must be destined to frequent unavoidable revolutions.\"51\n\nThe justification for representative republic rather than a direct democratical government, one based on the irrational springs of human behavior, finds its most thorough argument in perhaps the most famous article of The Federalist. In 10, Madison discusses \"faction,\" \"a number of citizens, whether amounting to a majority or minority of the whole, who are united and actuated by some common impulse of passion, or of interest, adverse to the rights of other citizens, or to the permanent and aggregate interests of the community.\" Given the \"passions and interests\" that define human nature, a free society gives them scope to a greater number of people: \"Liberty is to faction, what air is to fire, an aliment without which it instantly expires.\" As such, it cannot ever be eliminated from a free human society and politics. \"As long as the reason of man continues fallible,\" Madison continues, \"and he is at liberty to exercise it, different opinions will be formed. As long as the connection subsists between his reason and his self-love, his opinions and his passions will have a reciprocal influence on each other; and the former will be objects to which the latter will attach themselves.\" The \"latent causes of faction are thus sown in the nature of man,\" and different beliefs about religion or politics, or attachment to ambitious men \"have in turn divided mankind into parties, inflamed them with mutual animosity, and rendered them much more disposed to vex and oppress each other, than to cooperate for their common good.\"52 Finally, the antidemocratic specter of the redistribution of property and the cancellation of debt haunts Madison's thoughts on faction: \"The most common and durable source of factions, has been the various and unequal distribution of property. Those who hold, and those who are without property, have ever formed distinct interests in society. Those who are creditors, and those who are debtors, fall under a like discrimination.\" How then can freedom be preserved at the same time the ineradicable evils of faction are mitigated?\n\nMadison specifically discounts democratical governments, \"which admit of no cure for the mischiefs of faction.\" Democracy itself, Madison argues, creates a tyranny of the majority that will sacrifice minority interests to its own. \"Hence it is, that such Democracies have ever been spectacles of turbulence and contention; have ever been found incompatible with personal security, or the rights of property; and have in general been as short in their lives, as they have been violent in their deaths.\" The solution is a representative Republic, \"the delegation of the Government... to a small number of citizens elected by the rest,\" who will \"refine and enlarge the public views, by passing them through the medium of a chosen body of citizens, whose wisdom may best discern the true interest of their country, and whose patriotism and love of justice, will be least likely to sacrifice it to temporary or partial considerations.\"\n\nIn addition to representative mixed government, Madison found in federalism protection against the excesses of people's factional interests and passions. The size of the new republic, Madison argues, comprising as it does thirteen states each with its own government, will lessen the ill effects of faction. Federalism will allow local concerns and competing interests to work themselves out in the state governments, but those factional interests will be unable to enlist the complicity of the whole republic because the federal government comprises legislators from all thirteen states, all of whom represent different and conflicting interests. Thus there will be a \"greater security afforded by a greater variety of parties, against the event of any one party being able to outnumber and oppress the rest,\" and \"greater obstacles opposed to the concert and accomplishment of the secret wishes of an unjust and interested majority.\" Any passionate interest pursued by demagogues or stoked by religious disputes, \"will be unable to spread a general conflagration through the other states,\" and \"the variety of sects dispersed over the entire face of it [the nation] must secure the national Councils against any danger from that source.\"53 Just as the free market melds the private and clashing economic interests of countless individuals into prosperity for the whole, so the Constitution balances the selfish \"passions and interests\" of individuals, \"factions,\" and states in order to protect freedom and political order for all.\n\nThe Constitutional Checks on Democratic Excess\n\nThe mixed government was designed to avoid the concentration of power in any branch that could threaten the freedom of the whole. Given a universally depraved human nature, an individual of notable talents and achievements, or an elite defined by wisdom, birth, or blood, was as much to be feared as the masses if it possessed too much power. Thus some arguments for an appointed rather than an elected Senate saw it as a way to balance one self-interested economic faction against another. New Yorker Gouverneur Morris, accepting the classical denigration of the fickle masses, argued for a state-appointed Senate \"to check the precipitation, changeableness, and excesses of the first branch,\" something to expect given the recent disorder of the state legislatures, in which were seen \"in every department excesses [against] personal liberty private property & personal safety.\" But rather than check those potential excesses with an elite superior by virtue of wisdom, family, and knowledge, Morris focused on the clashing private interests of the poor and the rich, those of \"great personal property\" and the \"aristocratic spirit.\" And what is the \"interest\" of the rich? \"The Rich will strive to establish their dominion & enslave the rest. They always did. They always will. The proper security [against] them is to form them into a separate interest. The two forces will then countroul [sic] each other.... By thus combining & setting apart, the aristocratic interest, the popular interest will be combined [against] it. There will be a mutual check and mutual security.\"54 Morris was not willing to rely on a Platonic natural aristocracy based on virtue and wisdom, preferring instead to accept that all men first and foremost pursue their material interests and flatter their own pride.\n\nYet distrust of the people predominates in the thinking of the founders, and it accounts for many constitutional structures designed to minimize the collective power of the masses, particularly the Supreme Court, the Senate, and the presidential electors, our Electoral College.\n\nA Supreme Court of judges appointed for life by the president and confirmed by the Senate was necessary for defending against what James Madison called \"Legislative encroachments\" on the powers of the less democratic judiciary and the executive. The recent history of the state legislatures had shown \"a powerful tendency in the legislature to absorb all power into its vortex. This was the real source of danger to the American Constitutions; & suggested the necessity of giving every defensive authority to the other departments that was consistent with republican principles.\" Gouverneur Morris, like Madison arguing unsuccessfully in support of an explicit rather than implicit constitutional provision for judicial review, evoked the antidemocratic fears of popular legislatures as necessary for blocking the legislative branch. When \"bad laws\" are legislated, \"a strong check will be necessary.\" Such \"bad laws\" for Morris comprised the usual antidemocratic suspects: \"Emissions of paper money, largesses [sic] to the people\u2014a remission of debts and similar measures, will at sometimes [sic] be popular.\" Also the \"interests of the legislators themselves\" will lead to laws dangerous for the nation as a whole. Nor can the people be relied on to act as a sufficient check. \"It might be thought that the people will not be deluded and misled in the latter case. But experience teaches another lesson.\" That \"experience\" no doubt was the popular disorders like the Fort Wilson Riot and Shays' Rebellion.55\n\nThe same concern with the excesses of the masses lay behind the structure of the Senate. While discussing what the number of senators from each state should be, Edmund Randolph deferred from giving a number, but commented \"that they ought to be less than the House of Commons [Representatives],\" and he \"was for offering such a check as to keep up the balance, and to restrain, if possible, the fury of democracy.\"56 Most revealing is the appointment of senators by state legislatures instead of being voted into office by the people, a practice in use until 1913, when the Seventeenth Amendment established the popular election of senators. At the convention John Dickinson of Delaware wanted senators appointed by the states \"because he wished the Senate to consist of the most distinguished characters, distinguished for their rank in life and their weight of property, and bearing as strong a likeness to the British House of Lords as possible; and he thought such characters more likely to be selected by the State Legislatures than in any other mode.\" Later in the debate, Dickinson argued for a Senate of more than two hundred members whose \"wealth, family, or Talents may hold them up to the State Legislatures as fit characters for the Senate.\" Thus \"by combining the families and wealth of the aristocracy, you establish a balance that will check the Democracy.\"57\n\nIn the debates over the Senate during the convention, the antidemocratic tradition laced the arguments of many framers. Alexander Hamilton on June 18 highlighted the people's turbulence and lack of wisdom, and the need for a balancing legislative branch even more powerful than the Senate ultimately codified in the Constitution. Hamilton first invoked the principle of power's universal ability to corrupt, and hence the need for a balance of power: \"Give all power to the many, they will oppress the few. Give all power to the few they will oppress the many. Both therefore ought to have power, that each may defend itself [against] the other.\" Moreover, like the ancient critics of democracy, Hamilton sees civil discord as arising out of the natural division of \"the few and the many. The first are the rich and the well born, the other the mass of the people.\"\n\nGiven the excesses of democracy in the previous decade, which seemingly confirmed this natural class warfare, Hamilton is concerned with a legislative branch strong enough to resist the \"amazing violence & turbulence of the democratic spirit. When a great object of Govt. is pursued, which seizes the popular passions, they spread like wild fire, and become irresistible. He appealed to the gentleman from the N. England States whether experience had not there verified the remark,\" a clear reference to Shays' Rebellion. Thus Hamilton wanted senators to hold office for life, unless disqualified by bad behavior.58 \"Only a senate rendered splendid and independent,\" historian Paul Rahe summarizes Hamilton's remarks and private notes, \"in this fashion 'would induce the sacrifice of private affairs which an acceptance of public trust would require, so as to ensure the services of the best Citizens.' \" Only such a body would be \"capable of resisting the popular current,\" \"check the imprudence of democracy\" and \"their turbulent and uncontrouling [sic] disposition,\" and \"form a permanent barrier [against] every pernicious innovation.\"59\n\nEight days later James Madison similarly argued for the Senate and its structure on the basis of its presumed superiority in wisdom, judgment, and prudence over the more numerous and less exclusive House. Since the people \"as well as a numerous body of Representatives, were liable to err also, from fickleness and passion... a necessary fence [against] this danger would be to select a portion of enlightened citizens, whose limited number, and firmness might seasonably impose [against] impetuous councils.\" Moreover, such a body would also protect against the dangers of factions, particularly the threat to minority rights, and the \"leveling spirit,\" \"symptoms\" of which, Madison notes, referring no doubt to Shays' Rebellion, \"have sufficiently appeared in a certain quarters to give notice of the future danger. How is the danger in all cases of interested co-alitions [sic] to oppress the minority to be guarded [against]? Among other means by the establishment of a body in the Govt. sufficiently respectable for its wisdom & virtue, to aid on such emergencies, the preponderance of justice by throwing its weight into that scale.\"60\n\nIn their more public arguments for the Senate, the Federalist writers emphasized its role in protecting federalism by giving the states an internal counterweight to the federal government. Answering the Antifederalist's concern that state sovereignty would be swallowed up by the federal government, for example, Madison lists the appointment by the state legislatures of senators and members of the Electoral College, and then concludes, \"Thus each of the principal branches of the federal Government will owe its existence more or less to the favor of the State Governments, and must consequently feel a dependence, which is much more likely to beget a disposition too obsequious, than too overbearing toward them.\"61 Yet the defense of the Senate still relied on the notion that the mass of people required a superior body of the more respectable and wise to check their excesses.\n\nAlexander Hamilton argued for the likely greater efficiency of the federal government partly because senators would be chosen by state legislatures, \"select bodies of men.\" Thus \"there is reason to expect that this branch will be generally composed with peculiar care and judgment; That these circumstances promise greater knowledge and more extensive information in the national councils: And that they will be less apt to be tainted by the spirit of faction, and more out of the reach of those occasional ill humors or temporary prejudices and propensities, which... beget injustice and oppression of a part of the community, and engender schemes, which though they gratify a momentary inclination or desire, terminate in general distress, dissatisfaction and disgust.\"62 These remarks would not be out of place in Plato's argument for a government of elite \"Guardians\" in the Republic.\n\nMadison is subtler, highlighting the smaller number of senators and their longer tenure as the mechanisms that will avoid the turbulence of larger democratic assemblies, which have a propensity \"to yield to the impulse of sudden and violent passions, and to be seduced by factious leaders, into intemperate and pernicious resolutions.\" These traditional tropes of the antidemocratic tradition are joined to another, the \"want of due acquaintance with the objects and principles of legislation. It is not possible that an assembly of men called for the most part from pursuits of a private nature, continued in appointment for a short time, and led by no permanent motive to devote the intervals of public occupation to a study of the laws, the affairs and the comprehensive interests of their country, should, if left wholly to themselves, escape a variety of important errors in the exercise of their legislative trust.\"63\n\nIn his next essay, Madison again diplomatically argues that given the volatility and passion of the many, \"such an institution may be sometimes necessary, as a defense to the people against their own temporary errors and delusions,\" for \"there are particular moments in public affairs, when the people stimulated by some irregular passion, or some illicit advantage, or misled by the artful misrepresentations of interested men, may call for measures which they themselves will afterwards be the most ready to lament and condemn. In these critical moments, how salutary will be the interference of some temperate and respectable body of citizens, in order to check the misguided career, and to suspend the blow meditated by the people against themselves, until reason, justice and truth, can regain their authority over the public mind?\" Revealing the classical influences on his antidemocratic sentiments, Madison recalls the ancient Athenians and the \"tyranny of their own passions\" as the historic exemplar supporting his argument.64\n\nLike the Senate, the executive branch of the new government was also protected from the turbulent masses by the mechanism of selecting the president by electors chosen by the states. In the debate over selecting the chief magistrate, some delegates did argue for popular election. Madison, for example, worried that the executive and the federal government would be too subordinate to the state governments. Some delegates proposed selection by the national legislature, but that ran the danger of weakening the authority of the executive by subordinating it to Congress, and the creation of cabals and intrigues between the two branches. In the end, however, popular election was rejected for the most part based on distrust of the people.\n\nElbridge Gerry, pondering these various alternatives, opposed out of hand popular election, doubting \"that the people ought to act directly even in [the] choice of [state] electors, being too little informed of personal characters in large districts, and liable to deception.\"65 The last objection, which assumed that the mass of people were incapable of transcending their parochial local interests, was repeated by Gouverneur Morris, who said \"it would be as unnatural to refer the choice of a proper character for chief Magistrate to the people, as it would, to refer a trial of colours to a blind man,\" for \"the extent of the Country renders it impossible that the people can have the requisite capacity to judge of the respective pretensions of the Candidates.\"66 Gerry reprised his concerns a few days later, opposing popular election because \"the people are uninformed, and would be misled by a few designing men.\" And reflecting the old antidemocratic charge that the people are fickle and use their power of electoral accountability to punish those who ignore or compromise their interests, he added, \"The popular mode of electing the chief Magistrate would certainly be worst of all. If he should be so elected & if he should do his duty, he will be turned out for it.\"67\n\nThe method codified in the Constitution for choosing the president is selection by electors chosen by the state legislatures. The Constitution leaves it up to the states to decide how presidential electors are selected. In the first presidential election of 1788, five state legislatures appointed the electors, while four others did so through popular votes using varying procedures. In a reflection of the increasing democratic sentiment discussed below, by 1830 every state except South Carolina chose electors by popular election.\n\nThe purpose of what we call the Electoral College, apart from being another way to strengthen state sovereignty, was to provide an additional layer of defense against the uninformed, self-interested, turbulent masses. As John Jay argued in The Federalist, selection by appointed electors has \"vastly the advantage of elections by the people in their collective capacity, where the activity of party zeal taking advantage of the supineness, the ignorance, and the hopes and fears of the unwary and interested, often places men in office by the votes of a small proportion of the electors.\" Jay continues, since the \"select assemblies\" for choosing the president \"will in general be composed of the most enlightened and respectable citizens, there is reason to presume that their attention and their votes will be directed to those men only who have become the most distinguished by their abilities and virtue, and in whom the people perceive just grounds for their confidence.\"68 Alexander Hamilton makes a similar argument. Rather than trusting the people directly to choose the president, the framers found it \"desirable, that the immediate election should be made by men most capable of analyzing the qualities adapted to the station, and acting under circumstances favorable to deliberation and to a judicious combination of all the reasons and inducements\" proper for making a choice. Such \"circumstances\" need, moreover, \"as little opportunity as possible to tumult and disorder.\" Hence allowing the people to choose, whether directly or indirectly, the several electors, \"will be much less apt to convulse the community, with any extraordinary or violent movements\" than the people choosing directly the President.69\n\nImplicit in all these arguments is the assumption that the mass of people cannot be trusted, and that their collective sovereignty must be indirectly exercised and tempered through \"successive filtrations,\" as Madison termed it during the debates, a selection of men superior because of their virtues, knowledge, status, or experience.70 In that way, as Madison writes in The Federalist 10, the system will \"refine and enlarge the public views, by passing them through the medium of a chosen body of citizens, whose wisdom may best discern the true interest of their country, and whose patriotism and love of justice, will be least likely to sacrifice it to temporary or partial considerations.\"71 These \"filters\" would ensure that the excesses of the turbulent, volatile masses would not be given the scope to act on their selfish passions and interests.\n\nDemocratizing the Franchise\n\nThe ratification of the Constitution did not end the strong democratic sentiment that had animated the Antifederalists and many other Americans. Critics of the new order attacked it explicitly in terms of its antidemocratic institutions, which they believed in time would empower the wealthy at the expense of the rest. Even for some of the framers, the Constitution seemed designed to empower an elite.\n\nIn his notes on the Constitution later published as a pamphlet, Virginia's George Mason, who did not sign the final draft of the Constitution, wrote of the Senate that \"their power in the appointment of ambassadors and all public officers, in making treaties, and in trying all impeachments, their influence upon and connection with the supreme Executive from these causes, their duration of office and their being a constantly existing body, almost continually sitting, joined with their being one complete branch of the legislature, will destroy any balance in the government, and enable them to accomplish what ursurpations [sic] they please upon the rights and liberties of the people.\" He objected as well to the Supreme Court, which he feared would \"absorb and destroy the judiciaries of the several States; thereby rendering law as tedious, intricate, and expensive, justice as attainable, by a great part of the community, as in England, and enabling the rich to oppress and ruin the poor.\" The president, unchecked by an independent Council of State, will be \"unsupported by proper information and advice, and will generally be directed by minions and favorites; or he will become a tool of the Senate.\" Ultimately, Mason concludes, \"This government will set out [commence] a moderate aristocracy: it is at present impossible to foresee whether it will, in its operation, produce a monarchy, or a corrupt, tyrannical [oppressive] aristocracy.\"72\n\nDuring the state ratifying conventions that started in December 1787, similar concerns were voiced in the debates and in the press about the oligarchical, antidemocratic dimensions of the Constitution. The Antifederalist commentator \"Cincinnatus,\" Arthur Lee, in November 1787 darkly warned in the New York Journal that the constitutional \"project is to burthen them [the people] with enormous taxes, in order to raise and maintain armies, for the purposes of ambition and arbitrary power\u2014that this power is to be vested in an aristocratic senate, who will either be themselves the tyrants, or the support of tyranny, in a president, who will know how to manage them, so as to make that body at once the instrument and the shield of his absolute authority.\"73 The following February, the like-minded \"Agrarius\" predicted in Philadelphia's The Independent Gazetteer, \"The substantial yeomanry of America, the most valuable part of the community, will give place to lawyers and statesmen, who, in time, will engross all property, and thus the inhabitants of America will consist of two classes, the very rich and the very poor.\" Maryland's Samuel Chase in June of 1788 wrote to a correspondent, \"I consider the Constitution as radically defective in this essential: the bulk of the people can have nothing to say to it. The government is not a government of the people. It is not a government of representation.\"74 During the Virginia convention the same month, Patrick Henry complained, \"The stile of the Government (we the people) was introduced perhaps to recommend it to the people at large, to those citizens who are to be leveled and degraded to the lowest degree; who are likened to a herd; and who by the operation of this blessed system are to be transformed from respectable citizens, to abject, dependent subjects or slaves.\"75\n\nThis discontent persisted after ratification. During Washington's second term, numerous \"Democratic-Republican\" societies began to spring up, with as many as fifty by 1800, after which the success of Thomas Jefferson's Republican party made them superfluous. Inspired by the French Revolution, and angered by Federalist policies that seemingly catered to the rich and well connected, their members combined a distrust of concentrated power and its tendency to tyranny and corruption, with a populist disdain for \"all the faulty finery brilliant scenes and expensive Trappings of Royal Government,\" as one Pennsylvanian put it.76 They scorned as well the antidemocratic \"monkish and dishonorable doctrine which teaches the original depravity of mankind,\" as New York lawyer Tunis Wortman orated in 1796, and that justified the \"filters\" between the people and the exercise of their sovereignty.77 In 1800, Wortman wrote of arch-Federalist John Adams, \"Mr. Adams is the advocate of privileged orders and distinctions in society, he would willingly engraft the armorial trappings and insignia of aristocracy upon the simple majesty of republican institutions. Mr. Adams would destroy the essential nature and character of a republic; his principles would wrest the government from the hands of the people, and vest its dominion and prerogatives in the distinguished and 'well born few.' \"78 And appealing to the fear of corruption wrought by elites with power, the German Republican Society in 1794 asserted that their organization's aim was \"to guard against those encroachments, which all Governments endeavor to make upon the People's rights. The despotism which Man too generally inclines to exercise, makes caution necessary\u2014His disposition to avail himself of opportunities for domination, ought to beget an attention, that more should not be committed to him than necessity extorts.\"79 George Cabot of Boston summarized this widespread democratic sentiment in 1801: \"The spirit of our country is doubtless more democratic than the form of our government.\"80\n\nBeginning with the Revolution, this discontent with the perceived democracy deficit was expressed most directly in state movements to broaden the franchise by loosening voting requirements. The American colonies had taken from England the \"stakeholder\" principle underlying voting rights. \"Freeholders,\" free males of legal age who owned property, were given the right to vote because they were considered more economically self-sufficient and stable, and hence their electoral choices more independent and responsible than those of men of \"so mean a situation as to be esteemed to have no will of their own,\" as the influential jurist William Blackstone wrote. Such people would be dependent on the more powerful and wealthy, and hence more likely to trade their votes for private advantage, thus corrupting the political process.81 And a wider suffrage would multiply those conflicting factions and parties that historically had been the bane of republics, a belief based on the assumption documented above that most men use political power to further their own passions, beliefs, and interests.\n\nGiven these beliefs, throughout the colonies the ownership of property worth some minimum value was a prerequisite for voting, and higher qualifications were necessary for holding office. The qualifying amount for voting varied. In Rhode Island, land worth forty pounds or forty shillings in annual rental value qualified for the franchise; in New Hampshire the rate was fifty pounds. Most colonies calculated the value in acres, such as in Virginia, where a hundred acres of unimproved land, or twenty-five of improved were required to vote. Others used the value of annual income, as in Massachusetts, which put the rate at forty shillings. The other alternatives to a freehold qualification were possession of property other than land rated at a minimum value, or payment of taxes. As Chilton Williamson writes, \"colonial suffrage legislation... was designed to confine the vote to desirable elements of the population. It was drafted in the conviction that efficiency, honesty, and harmony in government rested, in the last analysis, upon a salutary degree of homogeneity of interests, opinions, and fundamental loyalties\u2014religious, ethnic, and class.\" Thus limiting the vote to free male property owners would minimize \"undue disparities of interest, opinion, and loyalty among electors\" that led to destructive factionalism.82\n\nThe war against England\u2014with its rhetoric of freedom, equality, popular sovereignty, and the right to participate in government\u2014stoked demands for the liberalization of suffrage requirements. Too many Americans who had fought and struggled in the war were shut out from political participation. Despite widespread availability of land, Forrest McDonald writes, \"only about one American in six was eligible to participate in the political process, and far fewer were eligible to hold public office.\"83 Indeed, only 1.5 percent of Americans had voted to ratify the Constitution.84 Even still, fewer than half the new states made significant reforms to their voting requirements, most notable Pennsylvania and North Carolina, which allowed all taxpayers to vote. Yet even modest efforts to widen the franchise elicited the traditional antidemocratic worries over the malign effects of unchecked popular power.\n\nDuring the Constitutional Convention, for example, a debate arose over qualifications for those electing the House of Representatives. The draft of the article in the Constitution concerning electors set the qualifications as the same \"as those of the electors in the several States, of the most numerous branch of their own legislatures.\" In most states this \"branch\" had the lowest qualifications, including many that did not require ownership of property. Gouverneur Morris made a motion to strike out the language regarding the states, \"that some other provision might be substituted which wd. restrain the right of the suffrage to freeholders.\"85\n\nDuring the debate that followed, the old antidemocratic prejudices were aired to support the \"stakeholder\" view of voting rights that had predominated before the Revolution. Delaware's John Dickinson, arguing for restricting the franchise to freeholders, called them \"the best guardians of liberty,\" and the \"restriction of the right [to vote] to them as a necessary defence [sic] [against] the dangerous influence of those multitudes without property & without principle, with which our Country like all others, will in time abound.\" Morris evoked the argument that those without property, being dependent on the more powerful, will be vulnerable to the ambitious rich: \"Give the votes to people who have no property, and they will sell them to the rich who will be able to buy them.\" Given the growth of \"mechanics & manufacturers, who will receive their bread from their employers,\" these economically dependent workers will not \"be the impregnable barrier [against] aristocracy\" necessary for protecting freedom against the dominance of an elite. Sounding like Socrates or Plato, Morris snorted, \"The ignorant & the dependent can be little trusted with the public interest.\" John Francis Mercer of Maryland, who did not sign the final draft of the Constitution, likewise sounded the antidemocratic theme: \"The people can not know & judge of the characters of the candidates. The worse possible choice will be made.\"86\n\nMorris's motion failed, the opposition to it reflecting pragmatic concerns that restricting the vote to freeholders would \"depress the virtue & public spirit of our common people\" who had fought in the war, as Benjamin Franklin argued, and \"would create division among the people & make enemies of all those who should be excluded,\" according to John Rutledge, whose home state of South Carolina had one of the more liberal suffrage requirements.87\n\nAs soon became clear in the following years, the antidemocratic traditionalists like Morris, Mercer, and Dickinson were swimming against the populist tide. In the next decades after ratification, reforms in most states either eliminated the freehold requirement, as in Vermont, Maryland, and South Carolina, while in the remaining states, except Connecticut and Massachusetts, the right to vote was based \"upon a taxpaying qualification which amounted to universal manhood suffrage wherever all adult males were subject to the payment of a poll tax,\" as Chilton Williamson writes. Pennsylvania architect Benjamin H. Latrobe, one of the designers of the Capitol in Washington, articulated this trend in 1806: \"After the adoption of the Federal Constitution, the extension of the right of suffrage in the States to a majority of all the adult male citizens, planted a germ which had [sic] gradually evolved and has spread actual and practical democracy and political equality over the whole union.\"88 By the mid-nineteenth century the right to vote without a property qualification\u2014though other restrictions would remain\u2014was universally accepted, and it became a campaign issue popular with all parties.\n\nDemocratizing the Republic\n\nAs early as 1792 the division between democrats and antidemocrats visible in the framing of the Constitution and the debates over suffrage qualifications had created two dominant factions that would soon coalesce into political parties. The \"Federalists\"\u2014\"Anti-republicans\" or \"Monocrats\" to their rivals\u2014endorsed the traditional distrust of the people that lay behind much of the structure of the Constitution. \"Republicans\" considered the Constitution to be compatible with popular self-rule and broader participation in government.89 In 1792, one of the driving forces behind the Republicans, James Madison, polemically defined the two parties in these terms:\n\nOne of the divisions consists of those, who from particular interest, from natural temper, or from the habits of life, are more partial to the opulent than to the other classes of society; and having debauched themselves into a persuasion that mankind are incapable of governing themselves, it follows with them, of course, that government can be carried on only by the pageantry of rank, the influence of money and emoluments, and the terror of military force. Men of those sentiments must naturally wish to point the measures of government less to the interest of the many than of a few, and less to the reason of the many than to their weaknesses; hoping perhaps in proportion to the ardor of their zeal, that by giving such a turn to the administration, the government itself may by degrees be narrowed into fewer hands, and approximated to an hereditary form.\n\nThe other division consists of those who believing in the doctrine that mankind are capable of governing themselves, and hating hereditary power as an insult to the reason and an outrage to the rights of man, are naturally offended at every public measure that does not appeal to the understanding and to the general interest of the community, or that is not strictly conformable to the principles, and conducive to the preservation of republican government.90\n\nThe Federalists responded with the traditional antidemocratic tropes about the turbulent masses and the dangers of tyranny that always follow the surrender of power to the passionate and self-interested people.\n\nFor example, commenting on the Kentucky Democratic Society in 1794, \"Xantippe\" dismissed them as \"that horrible sink of treason,\u2014that hateful synagogue of anarchy,\u2014that odious conclave of tumult... that hellish school of rebellion and opposition to all regular and well-balanced authority.\" A year later editor William Cobbett socratically scorned them as \"butchers, tinkers, broken hucksters, and trans-Atlantic traitors.\"91 The Whiskey Rebellion of 1794, a protest among Western Pennsylvanians against a tax on whiskey, for many antidemocrats confirmed their fears of violent revolution erupting among the volatile common people and stirred up by the Democratic-Republican societies. Indeed, Alexander Hamilton and President Washington partly blamed the Democratic-Republican societies for the rebellion.\n\nLike the Fort Wilson Riot and Shays' Rebellion, the Whiskey Rebellion provoked traditional antidemocratic attacks. In 1803, Federalist newspapers reprinted remarks from journalist and editor Joseph Dennie, who wrote, \"A democracy is scarcely tolerable at any period of national history. Its omens are always sinister, and its powers are unpropitious. It is on trial here, and the issue will be civil war, desolation, and anarchy. No wise man but discerns its imperfections, no good man but shudders at its miseries, no honest man but proclaims its fraud, and no brave man but draws his swords against its force.\"92 Dennie was charged (later acquitted) with seditious libel for this attack on democracy. A few years later in 1805, Massachusetts Congressman Fisher Ames reprised in a private letter the ancient link of extreme democracy and military despotism: \"A democracy cannot last. Its nature ordains that its next change shall be into a military despotism.... The reason is that the tyranny of what is called the people, and that by the sword, both operate alike to debase and corrupt, till there are neither men left with the spirit to desire liberty, nor morals with the power to sustain justice.\"93 At the end of his life in 1808, Ames lamented that only five hundred Federalists \"allow themselves to view the progress of licentiousness as so speedy, so sure, and so fatal as the deplorable experience of our country shows that it is, and the evidence of history and the constitution of human nature demonstrate that it must be.\"94\n\nAmes's tone of resignation calls to mind the Old Oligarch's more caustic comments on the triumphant Athenian democracy. After Ames's death in 1808, the private letter quoted from above was published as an essay, \"The Dangers of American Liberty.\" In it Ames fires a farewell salvo in defense of the antidemocratic tradition that had been so influential for the framers. Like that tradition, Ames believed extreme democracy must degenerate into tyranny: democracy, what Ames calls \"licentiousness,\" will \"prove, as it has ever proved, fatal to liberty,\" for \"of all despotisms a democracy, though the least durable, is the most violent.\" The \"clamors\" of faction and party, moreover, with their pursuits of private passions and interests, make it impossible to convince anyone that \"our democratic liberty is utterly untenable; that we are devoted to the successive struggles of factions, who will rule by turns, the worst of whom will rule last, and triumph by the sword,\" for it has never happened \"that a democracy has been kept out of the control of the fiercest and most turbulent spirits in the society; they will breathe into it all their own fury, and make it subservient to the worst designs of the worst men.\"95\n\nAmes goes on to catalogue the other traditional charges against democracy. The old fears of the turbulent, ignorant masses becoming prey to ambitious demagogues are also invoked by Ames: \"The more free the citizens, the bolder and more profligate will be their demagogues, the more numerous and eccentric the popular errors, and the more vehement and pertinacious the passions that defend them.\" The radical egalitarianism mocked by Plato and Aristotle is part of Ames's indictment as well. \"In a democracy, the elevation of an equal convinces many, if not all, that the height to which he is raised is not inaccessible. Ambition wakes from its long sleep in every soul... to turn its tortures into weapons against the public order.\" The use of political power to forgive debts and redistribute property, one of the oldest charges in the indictment of democracy, appears in Ames's warning that, \"as property is the object of the great mass of every faction, the rules that keep it sacred will be annulled, or so far shaken, as to bring enough of it within the grasp of the dominant party to reward their partisans with booty.\" The result of such \"extreme\" democracy will be, as predicted by Polybius, Plato, and Aristotle, tyranny and the destruction of freedom, a particular danger in America, where the \"low vulgar\" are \"so much less manageable by their demagogues,\" and so \"we are to expect that our affairs will be long guided by courting the mob, before they are violently changed by employing them.\"96 Writing nearly a century later, when Ames's dark prophecies had seemingly been proven wrong, Henry Adams would attribute them to the outsized influence of the French Revolution's gruesome Reign of Terror, fear of which became for Ames a \"morbid illusion.\" So completely had American democracy prevailed over the long antidemocratic tradition, that an eloquent expression of it could be dismissed as a form of neurosis.97\n\nAs in the debate over suffrage, the Republicans were more closely in tune with the growing democratic momentum of the country than were Federalists like Ames. In 1800 the two parties were as yet evenly balanced: Republican Thomas Jefferson barely won the presidency with the help of the machinations of Federalists more frightened of the opportunist Aaron Burr than of the \"Jacobin\" author of the Declaration of Independence. In his inaugural speech, however, Jefferson, though conciliatory, evoked the democratic ideals that would prevail in the coming decades. He seconded the Periclean democratic creed that the people, whatever their birth or wealth, are political equals, deserving of a \"due sense of our equal right to the use of our own faculties, to the acquisitions of our own industry, to honor and confidence from our fellow-citizens, resulting not from birth, but from our actions and their sense of them.\" Against a government of concentrated power and a corrupted elite, Jefferson extolled \"a wise and frugal Government, which shall restrain men from injuring one another, shall leave them otherwise free to regulate their own pursuits of industry and improvement, and shall not take from the mouth of labor the bread it has earned.\" And among his \"general principles\" of governing Jefferson included the democratic boons of \"Equal and exact justice to all men, of whatever state or persuasion, religious or political,\" \"a jealous care of the right of election by the people,\" and \"absolute acquiescence in the decisions of the majority, the vital principle of republics.\"98\n\nJefferson's victory began an eventual Republican political domination\u2014one soon riven, to be sure, by its own division between moderates and radicals, and by sectional conflicts over slavery\u2014that culminated in the two terms of Andrew Jackson (1829\u201337), and that confirmed Jefferson's prediction early in his first term that he would \"sink federalism into an abyss from which there shall be no resurrection for it.\"99 During that period the understanding of \"Republicanism\" as protection against the dangers of democratic excess had changed into one that accepted a more democratic exercise of self-rule among the masses. The denigration of the people that was second nature to many of the political philosophers of the founding period was now a political liability, an opinion to keep to one's self for those who were politically ambitious.\n\nOne reason the Republicans flourished is that they spoke to the growing numbers of ambitious and enterprising common people who were being given the opportunity to improve their lot by an expanding economy and the abundance of land in the frontier. The enemies of this opportunity were the \"closed elites,\" as Walter McDougall calls them. Their policies concentrated political power and wealth, and their gloomy Federalist philosophy justified this privilege with antidemocratic prejudices about a fallen human nature that made the ignorant, turbulent masses unfit to rule, and with scolding sermons denouncing the corrupting influences of wealth and development. Republican literature, McDougall writes, instead celebrated the abilities of average people that allowed them to take advantage of economic opportunity and improve their lives. As such, Republican tracts did not condemn markets, but only \"markets people could not participate in for lack of sufficient money or status, or just for living too far afield. No wonder states' right advocates, back-country people, urban mechanics and storekeepers, social climbers, and immigrants voted Republican. So did pioneers, planters, and frontier lawyers who were by no means opposed to getting rich quick, but rejected the idea that that such aspirations were corrupt (Hamilton) or corrupting (Adams) so long as they were not restricted to exclusive elites.\" The Republicans, in short, preached \"a society of equals in which everyone had a fair shot to get rich in an ever expanding economy.\"100 The desire for more political participation and access to office was a natural corollary of this economic and social improvement. As historian Sean Wilentz writes of the explosion in political activity by ordinary people, \"The filters on democracy created by the Framers were proving porous, while the suppression of democracy sought by the Federalists in the 1790s was thoroughly discredited.\"101\n\nGiven these improvements in the prospects of ordinary Americans, during those three decades between the first administration of Jefferson and the last of Jackson, the fear of a quasi-aristocratic elite\u2014empowered by the federal government and vulnerable to the corruptions of concentrated power\u2014came to trump the traditional anxiety over the \"licentiousness\" and \"leveling spirit\" of the fickle, ignorant, self-interested masses. The rhetoric of Andrew Jackson played upon this shift, now contrasting the rehabilitated common people with the federal government under a Federalist administration, which \"is calculated to raise around the administration a moneyed aristocracy dangerous to the liberties of the country,\" as he wrote in 1824. This fear of federal corruption was seemingly confirmed in the presidential election of that same year, when Jackson received a plurality of votes but was denied office through the machinations of John Quincy Adams and Kentucky's Henry Clay after the election was thrown into the House of Representatives, of which Clay was a member. This unsavory election, as historian Robert Remini writes, \"unleashed the democratic storm that had been building for years\u2014if not decades\u2014and radically changed the system of government in all its branches as well as between constituencies. Moreover, it provided the philosophic basis by which the American electorate viewed and interpreted government and its functions.\"102\n\nJackson's political philosophy was democratic far beyond the sensibilities of most of the founders. He understood popular sovereignty much more directly than did they, who filtered it through representation by those superior in virtue and wisdom, and who considered the Constitution and its delegation of power to be the final expression of the people's will, to be changed only by the difficult process of amendment. In contrast, to Jackson, \"Our government is founded upon the intelligence of the people.... I have great confidence in the virtue of the great majority of the people.\"103 As president, in 1835 he wrote, \"The people are the government, administering it by their agents; they are the Government, the sovereign power,\" and \"their will is absolute.\"104\n\nAs such, he looked with suspicion on the antidemocratic \"filtering\" institutions such as the Supreme Court, the Electoral College, and the Senate. In 1832, he vetoed legislation renewing the charter of the Bank of the United States, despite a Supreme Court ruling establishing its constitutionality. \"Mere precedent,\" Jackson wrote in his veto, \"is a dangerous source of authority, and should not be regarded as deciding questions of constitutional power except where the acquiescence of the people and the States can be considered as well as settled.... The authority of the Supreme Court must not, therefore, be permitted to control the Congress or the Executive when acting in their legislative capacities, but to have only such influence as the force of their reasoning may deserve.\"105 Having lost the presidency in 1824 in the House of Representatives, Jackson was also understandably hostile to the Electoral College. \"To the people,\" he said in his first annual message, \"belongs the right of electing the Chief Magistrate; it was never designed that their choice should in any case be defeated, either by the intervention of electoral colleges or by the agency confided, under certain contingencies, to the House of Representatives. Experience proves that in proportion as agents to execute the will of the people are multiplied there is danger of their wishes being frustrated.... So far, therefore, as the people can with convenience speak, it is safer for them to express their own will.\" He went on to call for a constitutional amendment to \"remove all intermediate agency in the election\" of the president to empower \"the free operation of the public will\" in order to achieve \"a fair expression of the will of the majority.\"106 As for the Senate, Remini writes, to Jackson it was \"an elitist body of men committed to the principles of aristocracy and totally unrepresentative of the American people.\" The Republican newspaper the Washington Globe called for limiting to four years the terms of senators, and having the people directly elect them.107\n\nOther democratic principles endorsed by Jackson included the \"right to instruction,\" the doctrine, as stated in 1835 in a resolution by the New Jersey General Assembly, that \"whereas in all representative government, the sovereignty of the People is an indisputable truth, they have the right and it is their duty, upon all proper occasions, to instruct their representatives in the duties which they require them to perform.\" Jackson agreed, posing as a political litmus test the questions whether supposed Republicans \"subscribe to the republican rule that the people are the sovereign power, the officers their agents & representative, and they are bound to obey or resign.\"108 Finally, Jackson supported the democratic principle of \"rotation,\" limitations put on the tenure of government officials to preclude the creation of a permanent ruling elite prone to abusing their power for their own ends and thus endangering the freedom of the whole. Few men, Jackson said in his first annual address, \"can for any great length of time enjoy office and power without being more or less under the influence of feelings unfavorable to the faithful discharge of their public duties\" and, though themselves perhaps men of integrity, \"are apt to acquire a habit of looking with indifference upon the public interest and of tolerating conduct from which an unpracticed man would revolt.... Corruption in some and in others a perversion of correct feelings and principles divert government from its legitimate ends and make it an engine for the support of the few at the expense of the many.\"109 As Jackson wrote in his memorandum book, \"It is rotation in office that will perpetuate our liberty.\"110 We see here an echo of the old Athenian suspicion of elite power evident in the one-year terms and procedures of accountability discussed above. Reversing the philosophy of the Federalists codified in the Constitution, now elites were more to be feared than the masses.\n\nAntidemocrats at Bay\n\nAfter the Jackson era, US political sentiment had moved decidedly toward democracy and the rehabilitation of the masses. In 1835, William Henry Seward, a member of the Whig party (the new political party that developed in Jackson's second term), acknowledged this political reality. Gloomily predicting the victory in the next year's presidential election of Martin Van Buren, Jackson's secretary of state, Seward wrote, \"It is utterly impossible, I am convinced, to defeat Van Buren. The people are for him. Not so much for him as for the principle they suppose he represents. That principle is Democracy.... It is with them, the poor against the rich; and it is not to be disguised, that, since the last election, the array of parties has very strongly taken that character.\"111 Indeed, \"By 1837,\" Remini writes, the \"word democracy had largely supplanted the term republicanism in national discourse.\"112\n\nThough the federal government was still defined by the antidemocratic structures of the Constitution, in the court of public sentiment the people had won. At first antidemocrat Federalists continued to protest what they considered the triumph of the tumultuous masses. Jackson's legendary first inaugural festivities, in which the White House was thrown open to ordinary people, seemingly confirmed to critics all their prejudices about the unruly masses. To Supreme Court Justice Joseph Story, \"the reign of KING MOB seemed triumphant.\"113 Outgoing president John Quincy Adams left town instead of attending the celebration. Anne Newport Royall, considered by some to be the first female professional journalist, noted in the White House soiled sofas and carpets, and Jackson supporters who made \"disgraceful scenes in the parlors, in which even women got bloody noses.\" Only a bowl of punch was able \"to lure the new 'democracy' out of the house.\" As Walter McDougall writes, \"Wondrous it was, and to the genteel a nightmare. Washington, Franklin, Madison, Hamilton, Adams, and Jefferson had imagined the American experiment coming to all sorts of bad ends. They never imagined the Federal City overrun by frontiersmen who care nothing for history and loved only cheap land and credit, whiskey, tobacco, guns, fast women, fast horses, and Jesus.\"114\n\nBy the time the Civil War started in 1861, the antidemocrats had long been at bay, and those seeking public office, Alexis de Tocqueville wrote, \"hide their heads, and if they wish to rise are forced to borrow their colors.\"115 The rival party to Jacksonian democracy, the Whigs, \"devised a contrasting democratic message that struck a deep nerve in the electorate that the Democrats [as Republicans came to be called under Jackson] did not even realize was there,\" Wilentz writes. Whig political success was due to exploiting Jacksonian democracy's \"own democratic political terms that old-guard conservatives had abhorred. By decade's end, Whigs and Democrats alike could agree in principle with Jacksonian paeans to the people and majority rule.\"116\n\nWith the triumph of democracy and the political eclipse of antidemocratic ideology, it was left to Alexis de Tocqueville, American democracy's most astute analyst and influential publicist, to acknowledge democracy's weaknesses and dangers in his influential Democracy in America. \"I sought there [America] the image of democracy itself,\" he wrote in the introduction to Book 1 (1835), \"with its inclinations, its character, its prejudices, and its passions, in order to learn what we have to fear or to hope from its progress.\" His comments on democratic government, while more temperate than those of Federalist critics, nonetheless reprise many of the charges against democracy that comprised the antidemocratic tradition of the Old Oligarch, Socrates, Aristophanes, Thucydides, Plato, Aristotle, and Polybius, and their epigones in Americans like John Adams, Gouverneur Morris, and Fisher Ames.117\n\nFor example, Tocqueville finds that the lack of learning and the poor discernment of character among the common people empower demagogues and mediocre leaders. In the United States, Tocqueville writes, \"The ablest men... are rarely placed at the head of affairs; and it must be acknowledged that such has been the result in proportion as democracy has exceeded all its former limits.\" He links this phenomenon to the common people's inability to devote enough time to acquiring the intellectual skills and knowledge necessary for choosing able leaders: \"it is always more or less difficult for them [the \"mass of the citizens\"] to discern the best means of attaining the end [\"the welfare of the country\"] which they sincerely desire.\" Judging character is difficult in any case, he continues in the Socratic vein, but \"the people have neither the time nor the means for an investigation of this kind. Their conclusions are hastily formed from a superficial inspection of the more prominent features of a question. Hence it often happens that mountebanks of all sorts are able to please the people, while their truest friends frequently fail to gain their confidence.\"118\n\nConsequently, the \"difficulty that a democracy finds in conquering the passions and subduing the desires of the moment with a view to the future\" fosters the short-term, self-interested political decisions that Socrates, Thucydides, and Plato decried in ancient Athens. And like the Athenians, demagogues play a role in this political dysfunction: \"The people, surrounded by flatterers, find great difficulty in surmounting their inclinations; whenever they are required to undergo a privation or any inconvenience, even to attain an end sanctioned by their own rational conviction, they almost always refuse at first to comply.\" As a result, \"an offensive law of which the majority should not see the immediate utility would either not be enacted or not be obeyed.\" He cites the absence of laws controlling the sale of alcohol as an example of a law \"offensive\" to the masses despite the public disorder caused by drunkenness. Indeed, so strict is the accountability of demagogues to the people, and \"the power of the majority is so absolute and irresistible that one must give up one's rights as a citizen and almost abjure one's qualities as a man if one intends to stray from the track which it proscribes.\"119\n\nTocqueville also worries that the tendency of democracies to promote radical egalitarianism, which in turn fuels demands for redistribution of property, may arise in the United States given its unprecedented social equality. This radical egalitarianism he calls \"a depraved taste for equality, which impels the weak to attempt to lower the powerful to their own level and reduces men to prefer equality in slavery to inequality with freedom.\" He links this demand for equality to \"democratic institutions\" that \"strongly tend to promote the feeling of envy in the human heart.... Democratic institutions awaken and foster a passion for equality which they can never satisfy.\" Tax policy is one way to attempt such leveling: \"As the great majority of those who create the laws have no taxable property, all the money that is spent for the community appears to be spent for their advantage, at no cost of their own; and those who have some little property readily find means of so regulating the taxes that they weigh upon the wealthy and profit the poor, although the rich cannot take the same advantage when they are in possession of the government.... In other words, the government of the democracy is the only one under which the power that votes the taxes escapes the payment of them.\" Hence \"the government makes great efforts to satisfy the wants of the lower classes, to open to them the road to power, and to diffuse knowledge and comfort among them. The poor are maintained, immense sums are annually devoted to public instruction, all services are remunerated, and the humblest agents are liberally paid.\"120 In these comments we hear many of the antidemocratic indictments of popular rule that had become political poison in national politics.\n\nUS Democracy's Next Phase\n\nSuch sentiments, however, could not tarnish the good name of democracy. The challenge to popular rule came instead from the institution of slavery, which undermined the assumptions of equality and the distaste for hierarchy that drove much of the Democrats' success, and weakened the Federalist idea of state sovereignty. The old fear of moneyed, quasi-aristocratic elites vulnerable to corruption by power and to the tyranny that followed saw in the Southern plantation class a danger to the integrity of democratic freedom and equality.\n\nIn April 1859, Abraham Lincoln, in a letter declining an invitation to celebrate Thomas Jefferson's birthday in Boston, put his finger on the shift in Democratic principles wrought by slavery. \"The Jefferson party,\" Lincoln wrote, \"were formed upon their supposed superior devotion to the personal rights of men, holding the rights of property to be secondary only, and greatly inferior.\" The implication is that the Federalists, as the Antifederalists had argued, were the party of elite rule designed in part to protect private property against the tendency of the democratic masses to redistribute wealth and seek forgiveness of debts, while the Jeffersonian Republicans were the party devoted to personal freedom and political equality. But now the proslavery Democrats \"hold the liberty of one man to be absolutely nothing, when in conflict with another man's right of property.\" The newly formed Republicans, the true heirs of Jefferson, \"are for both the man and the dollar; but in cases of conflict, the man before the dollar.\" The proslavery Democrats have as their object \"the supplanting the principles of free government, and restoring those of classification, caste, and legitimacy. They would delight a convocation of crowned heads, plotting against the people. They are the van-guard [sic]\u2014the miners, and sappers\u2014of returning despotism. We must repulse them, or they will subjugate us.\" This despotism is inherent in the institution of slavery, which compromises democratic equality and freedom, for \"he who would be no slave, must consent to have no slave. Those who deny freedom to others, deserve it not for themselves.\"121\n\nOnce again, as it did at the creation of the Jeffersonian Republican Party, the fear of elites corrupted by power was more cogent than the fear of the tumultuous masses that had dominated the Constitutional Convention. Once again, democracy had to be defended against the despotism of \"classification\" and \"caste.\" But this time, a bloody civil war had to be fought to protect equality and freedom, the foundations of US democracy.\n\nYet in defending and expanding this democracy by abolishing slavery and enfranchising blacks, the Civil War birthed a federal government more powerful and more intrusive on the rights and sovereignty of the states. Historian Paul Rahe catalogues these innovations:\n\n[T]he administration of Abraham Lincoln... transformed the American government in a fashion that would have fully satisfied Alexander Hamilton. To win the war, they reestablished a national bank, issued a federal currency, provided for an expansion of the national debt, and passed an elaborate, emergency program of federal taxation, including a progressive income tax. In its early stages, moreover, they imposed a tariff aimed at encouraging industrialization, and they instituted a program designed to promote the long-term economic well-being of the American people.... From this time on, the Union was a real and continuing presence in the lives of ordinary Americans.122\n\nIn time these developments and others, under the growing stresses of industrialization, urbanization, and an increasingly complex economy, would expand and evolve, stretching the constitutional limits on the federal government, and laying the groundwork for the democratic despotism that the ancient political theorists posited as the inevitable culmination of extreme democracy.\n\n1. The Works of John Adams, vol. 6, ed. Charles Francis Adams (Boston, 1851), 100\u20131. Unless otherwise noted, emphases in quotations below are the authors'.\n\n2. Massachusetts Federal Constitution ratifying convention, January 1788. In The Debate on the Constitution, vol. 1, ed. Bernard Bailyn (New York, 1993), 894.\n\n3. Novus Ordo Seclorum (Lawrence, KS, 1985), 69.\n\n4. The Founders and the Classics (Cambridge, MA, 1994), 8.\n\n5. In Gordon S. Wood, The Creation of the American Republic (1969; Chapel Hill and London, 1998), 52.\n\n6. Pro Flacco 16. In The Orations of Marcus Tullius Cicero, trans. C. D. Yonge (Covent Garden, 1856).\n\n7. Pericles 15.2; Praecepta Rei Publicae Gerendae 821F, 813A, in Roberts, Athens on Trial, 334 n. 29; 335 n. 30.\n\n8. In the Boke Named the Governour 1.10, in Roberts, 138; Raleigh, History of the World, in Roberts, 142.\n\n9. Roberts, 143.\n\n10. Roberts, 145.\n\n11. In Bernard Bailyn, The Ideological Origins of the American Revolution (Cambridge, MA, 1967), 294.\n\n12. In The Antifederalists, Jackson Turner Main (1961; New York, 1974), 14.\n\n13. In The Antifederalists, 134.\n\n14. In Wood, 521.\n\n15. The Founding Conservatives (New York, 2013), 135, 138.\n\n16. In Chilton Williamson, American Suffrage from Property to Democracy (Princeton, NJ, 1960), 99.\n\n17. The Founding Conservatives, 216, 219\u201325.\n\n18. In The Antifederalists, 62.\n\n19. In W. W. Abbot and Dorothy Twohig, eds. The Papers of George Washington: Confederation Series, vol. 4 (Charlottesville, 1983), 300.\n\n20. In Wood, 397.\n\n21. In Wood, 476, 477, 476\u201377, 478, 503.\n\n22. Thucydides 3.82, trans. Crawley; Adams, Works, vol. 4, 285.\n\n23. The Great Christian Doctrine of Original Sin Defended, 8, <http:\/\/www.prayermeetings.org\/files\/Jonathan_Edwards\/JE_The_Great_Christian_Doctrine_Of_Original_Sin_Defended.pdf>.\n\n24. Dieu et les hommes, in Arthur O. Lovejoy, Reflections on Human Nature (Baltimore, MD, 1961), 6. Voltaire, of course, was more optimistic about the possibility of some level of improvement through reducing religious superstition and ignorance by an increase of knowledge and the cultivation of reason.\n\n25. In Rahe, Republics Ancient and Modern, vol. 3, 45.\n\n26. Alison G. Olson, \"Thoughts on Why America Chose a Congressional Rather Than a Parliamentary Form of Government,\" in Inventing Congress, eds. Kenneth R. Bowling and Donald R. Kennon (Athens, OH, 1999), 36.\n\n27. McDonald, 156\u201357.\n\n28. In Main, The Antifederalists, 105.\n\n29. In McDonald, 49.\n\n30. In Bailyn, 286\u201387.\n\n31. In Wood, 94\u201395, 96.\n\n32. In Wood, 204\u20135, 209, 369, 405.\n\n33. In Rahe, Republics Ancient and Modern, vol. 2, 226.\n\n34. Laws 691b, trans. Jowett.\n\n35. Politics 1295a, trans. Jowett.\n\n36. McDonald, 68\u201369; 10.\n\n37. In Rahe, vol. 2, 205.\n\n38. Wood, 21, 442.\n\n39. McDonald, Novus Ordo Seclorum, 2.\n\n40. The Works of John Adams, vol. 6, 57. 484.\n\n41. Discourses, 1.3, <http:\/\/www.constitution.org\/mac\/disclivy1.htm#1:03>.\n\n42. Freedom Just Around the Corner (New York, 2004), 304.\n\n43. In The Records of the Federal Convention of 1787, ed. Max Farrand, rev. ed. (New Haven, CT, 1937), vol. 1, 82.\n\n44. Farrand, vol. 1, 26\u201327, 48.\n\n45. Wood, 513.\n\n46. In Wood, 521.\n\n47. Farrand, vol. 1, 48.\n\n48. In Wood, 293\u201394, 475.\n\n49. In The Federalist, eds. George W. Carey and James McClellan (Dubuque, IA, 1990), 21, 25. Subsequent references are to this edition.\n\n50. Hamilton 15, 76; Madison 51, 267.\n\n51. Madison 48, 255; Works of John Adams, vol. 4, 297.\n\n52. Madison 10, 43\u201344.\n\n53. Madison 10, 46\u201348; cf. Hamilton 60, 309.\n\n54. Farrand, vol. 1, 512\u201313.\n\n55. Farrand, vol. 1, 74, 76.\n\n56. Farrand, vol. 1, 58.\n\n57. Farrand, vol. 1, 150, 158.\n\n58. Farrand, vol. 1, 299, 288\u201389, 299; cf. 310.\n\n59. Republics Ancient and Modern, vol. 3, 115.\n\n60. Farrand, vol. 1, 422\u201323; cf. 427\u201328, 430\u201331.\n\n61. Madison 45, 237.\n\n62. Hamilton 27, 136\u201337.\n\n63. Madison 62, 321.\n\n64. Madison 63, 325\u201326.\n\n65. Farrand, vol. 1, 80.\n\n66. Farrand, vol. 2, 31.\n\n67. Farrand, vol. 2, 57.\n\n68. Jay 64, 331.\n\n69. Hamilton 68, 352.\n\n70. Farrand, vol. 1, 50.\n\n71. Madison 10, 47.\n\n72. Farrand, vol. 2, 638, 640. Brackets indicate additions or changes Mason made before printing.\n\n73. The Debate on the Constitution, vol. 1, 114.\n\n74. In Main, The Antifederalists, 174, 175.\n\n75. The Debate on the Constitution, vol. 2, 634.\n\n76. Sean Wilentz, The Rise of American Democracy (New York, 2005), 41, 809 n. 2.\n\n77. In The Democratic-Republican Societies, ed. Philip S. Foner (Westport, CT, 1976), 22.\n\n78. \"A Solemn Address to Christians and Patriots,\" http:\/\/oll.libertyfund.org\/?option=com_staticxt&staticfile=show.php%3Ftitle=817&chapter=69460&layout=html&Itemid=27.\n\n79. In Foner, 73.\n\n80. In Williamson, American Suffrage, 174.\n\n81. In Williamson, 11.\n\n82. Williamson, 19.\n\n83. Novus Ordo Seclorum, 162.\n\n84. McDougall, Freedom Just around the Corner, 308.\n\n85. Farrand, vol. 2, 201.\n\n86. Farrand, vol. 2, 202\u20133, 205.\n\n87. Farrand, vol. 2, 204\u20135.\n\n88. In Williamson, 209.\n\n89. By Jackson's presidency Republicans had divided into National Republicans and Democratic Republicans, the latter soon to become Democrats. The modern Republican Party was created in 1854.\n\n90. The National Gazette, September 26, 1792, http:\/\/oll.libertyfund.org\/?option=com_staticxt&staticfile=show.php%3Ftitle=1941&chapter=124404&layout=html&Itemid=27.\n\n91. Foner, The Democratic-Republican Societies, 7, 27.\n\n92. In Henry Adams, History of the United States of America during the Administrations of Jefferson and Madison, abr. and ed. Ernest Samuels (Chicago and London, 1967), 65.\n\n93. \"The Dangers of American Liberty,\" The Works of Fisher Ames, vol. 2, ed. Seth Ames (1854; Boston, 1971), 382.\n\n94. Adams, 67.\n\n95. In The Works of Fisher Ames, 346\u201347, 356.\n\n96. The Works of Fisher Ames, 382, 359\u201360, 368, 399.\n\n97. Adams, History of the United States of America During the Administrations of Jefferson and Madison, 65.\n\n98. Thomas Jefferson's First Inaugural Address, <http:\/\/avalon.law.yale.edu\/19th_century\/jefinau1.asp>.\n\n99. In Wilentz, 97.\n\n100. McDougall, 364\u201366; emphases in original.\n\n101. Wilentz, 139.\n\n102. In Robert V. Remini, The Legacy of Andrew Jackson (Baton Rouge and London, 1988), 12, 14.\n\n103. In Remini, 38.\n\n104. In Remini, 23\u201324.\n\n105. James D. Richardson, ed., A Compilation of the Messages and Papers of the Presidents (New York, 1897), vol. 3, 1144\u201345.\n\n106. Richardson, 3.1010\u201311.\n\n107. Remini, 34.\n\n108. Remini, 36.\n\n109. Richardson, 3.1011\u201312.\n\n110. Remini, 31.\n\n111. In Wilentz, 482.\n\n112. Remini, 8.\n\n113. In Wilentz, 312.\n\n114. McDougall, 497.\n\n115. In Williamson, 260.\n\n116. Wilentz, 517.\n\n117. Democracy in America, vol. 1, ed. Philip Bradley, rev. Frances Bowen (New York, 1994), 14.\n\n118. Democracy in America, 200\u20131.\n\n119. Democracy in America, 230, 267.\n\n120. Democracy in America, 53, 201, 214, 224.\n\n121. The Collected Works of Abraham Lincoln, ed. Roy P. Balser (New Brunswick, NJ, 1953), vol. 3, 375\u201376.\n\n122. Soft Despotism, Democracy's Drift (New Haven, CT, 2009), 243\u201344.\nCHAPTER THREE\n\nDemocracy and Leviathan\n\nSo when they [the rich] begin to hanker after office, and find that they cannot achieve it through their own efforts or on their merits, they begin to seduce and corrupt the people in every possible way, and thus ruin their estates. The result is that through their senseless craving for prominence they stimulate among the masses both an appetite for bribes and the habit of receiving them, and then the rule of democracy is transformed into government by violence and strong-arm methods. By this time the people have become accustomed to feed at the expense of others, and their prospects of winning a livelihood depend upon the property of their neighbours; then as soon as they find a leader who is sufficiently ambitious and daring, but is excluded from the honours of office because of his poverty, they introduce a regime based on violence.\n\n\u2014Polybius1\n\nMankind soon learn to make interested uses of every right and power which they possess, or may assume. The public money and public liberty, intended to be deposited with three branches of magistracy, but found inadvertently to be in the hands of one only, will soon be discovered to be the source of wealth and dominion to those who hold them; distinguished too by this tempting circumstance, that they are the instrument, as well as the object of acquisition.... They [magistrates] should look forward to a time, and that not a distant one, when corruption in this... will have seized the heads of government, and be spread by them through the body of the people; when they will purchase the voices of the people, and make them pay the price.\n\n\u2014Thomas Jefferson2\n\nIn the antidemocratic tradition, the flaws of democracy inevitably lead to tyranny. Radical egalitarianism and excessive freedom\u2014what the founding generation called a \"leveling spirit\" and \"license\"\u2014corrupt the masses, leaving them vulnerable to ambitious men or elites who in exchange for their political support promise the masses gratification of their wants and desires. Forgiveness of debts and redistribution of property are the mechanisms by which despotic regimes finance the hedonism of the people. But such leaders must continue to gratify the people's desire for licentious freedom if they want to stay in power. \"When a democracy which is thirsting for freedom,\" Plato writes, \"has evil cupbearers presiding over the feast, and has drunk too deeply of the strong wine of freedom, then, unless her rulers are very amenable and give a plentiful draught, she calls them to account and punishes them.\" Moreover, the propertied class must be plundered of its wealth both to finance this politically narcotic hedonism and to enrich the tyrant: \"Do not the leaders deprive the rich of their estates and distribute them among the people; at the same time taking care to reserve the larger part for themselves?\"3 The result is a feedback loop between the tyrants' lust for power and the people's desire for wealth transfers that eventually destroys political freedom.\n\nAristotle in the Politics makes a similar argument in his analysis of how democracies degenerate into tyranny, in this case by provoking a backlash from the propertied few. The weakness of the laws, which in \"extreme democracy\" are vulnerable to the fickle and changing moods of the turbulent people who make them, begets demagogues, who flatter and indulge the masses and turn them into a collective \"monarch\" that wields the \"supreme power.\" This monarchical \"people\" overrides the law and eventually turns into a \"despot.\" A little later Aristotle describes the ultimate degeneration of such a government\u2014revolution and civil war brought about by the \"intemperance of demagogues\" who, fomenting class warfare, attack men of property and \"stir up the people against them.\" The nobles then make common cause, overthrow the democracy, and create an oligarchy. \"For sometimes,\" Aristotle writes, \"the demagogues, in order to curry favour with the people, wrong the notables and so force them to combine\u2014either they make a division of their property, or diminish their incomes by the imposition of public services [the \"liturgies\" discussed in Chapter 1], and sometimes they bring accusations against the rich so that they may have their wealth to confiscate.\"4 Again political freedom is lost.\n\nThese ancient prophecies of the inevitable fate of democracy, its decline into mob rule or a tyrannical oligarchy, influenced the antidemocratic founders, who thought they saw signs of such disorder in the overly democratic state governments in the decade between the Revolution and the Constitutional Convention, in the rhetoric of class warfare rife throughout that period, and in civil unrest like Shays' Rebellion and the Fort Wilson Riot. As we saw above, their fears, like those of the ancients, were of violent revolution or civil strife brought about by the excesses of the people, which ultimately provoke a violent reaction on the part of the wronged elites, or which breed a tyrannical faction that destroys political freedom. As Fisher Ames, one of the last antidemocrats of the founding generation, wrote in 1805, \"A democracy cannot last. Its nature ordains that its next change shall be into a military despotism.... The reason is, that the tyranny of what is called the people, and that by the sword, both operate alike to debase and corrupt, till there are neither men left with the spirit to desire liberty, nor morals with the power to sustain justice.\"5\n\nFew of the founders, however, anticipated the more insidious and dangerous form of tyranny bred by democracy's excesses, the \"softer\" despotism, as Alexis de Tocqueville calls it in his famous analysis of how democracy degenerates, of a federal government grown tyrannical in its intrusive powers that are exercised through legal and regulatory coercion rather than naked force, and financed by taxes and entitlements rather than by the violent redistribution of property.6 Yet in the end the result is the same\u2014the diminution of personal autonomy, the transformation of political freedom into hedonistic license, and the growth of the encroaching and overweening power of the Leviathan state. A few decades after the Civil War, a new political movement arose that started the United States down the road to de Tocqueville's soft despotism.\n\nProgressivism and the Expansion of the Federal Government\n\nThe Progressive movement began in the 1890s and dominated US politics until the 1920s, electing two presidents, Theodore Roosevelt and Woodrow Wilson, who despite their electoral competition nonetheless endorsed to varying degrees of emphasis the tenets of Progressivism. Yet the Progressive ideology did not end with the second term of Woodrow Wilson. For over a century its fundamental assumptions and ideas have lived on and driven the expansion and aims of the federal government under presidents of both parties, but particularly during the administrations of Democrats Franklin D. Roosevelt, Lyndon Johnson, and Barack Obama.\n\nThe core of Progressivism is a rejection of the philosophical foundations of the Constitution. The framers distrusted a human nature driven by \"passions and interests,\" as James Madison said, whether these are found in the turbulent masses, in competing factional interests, or in an elite vulnerable to the corruption of power. The Progressives, in contrast, believed human nature could be improved under the environmental forces of technological, scientific, and economic changes. New \"sciences,\" moreover, had developed that were discovering the material causes of human behavior whether social, economic, or political, and that were creating technical means of alleviating the social and economic disruptions attending these changes. Masters of this new knowledge and the techniques for applying it were now available for applying these insights into governing and managing the state, and solving the new problems that had arisen from industrialization and technological change. The founders' Constitution had to be replaced by the \"living Constitution\" that codified and empowered this new knowledge and the government based on it.\n\nHistorians Ronald J. Pestritto and William J. Atto describe the impact of this ideology on Progressive attitudes toward the Constitution and its structure of limited government and checks and balances. Progressives wanted \"to enlarge vastly the scope of the national government for the purpose of responding to a set of economic and social conditions which, progressives contend, could not have been envisioned at the founding and for which the founders' limited, constitutional government was inadequate. Whereas the founders had posited what they held to be a permanent understanding of just government, based upon a permanent account of human nature, the progressives countered that the ends and scope of government were to be defined anew in each historical epoch.\" With their faith in social-political evolution, Progressives argued that \"government was less of a danger to the governed and more capable of solving the great array of problems besetting the human race\" than were local and state governments, civil society, or the free market.7\n\nThese ideas are explicit in the public speeches and writings of Progressive presidents Theodore Roosevelt and Woodrow Wilson. In his First Annual Message to Congress (our State of the Union speech) in 1901, Roosevelt linked historical changes to the need to adapt the Constitution to reflect them. \"The tremendous and highly complex industrial development which went on with ever accelerated rapidity during the latter half of the nineteenth century brings us face to face, at the beginning of the twentieth, with very serious social problems. The old laws, and the old customs which had almost the binding force of law, were once quite sufficient to regulate the accumulation and distribution of wealth. Since the industrial changes which have so enormously increased the productive power of mankind, they are no longer sufficient.\"8 Addressing the increased power of corporations over society and the economy, Roosevelt called for greater federal powers to monitor and police big business. \"When the Constitution was adopted, at the end of the eighteenth century, no human wisdom could foretell the sweeping changes, alike in industrial and political conditions, which were to take place by the beginning of the twentieth century. At that time it was accepted as a matter of course that the several States were the proper authorities to regulate, so far as was then necessary, the comparatively insignificant and strictly localized corporate bodies of the day. The conditions are now wholly different and wholly different action is called for. I believe that a law can be framed which will enable the National Government to exercise control [of corporations] along the lines above indicated.\"9 The states, the people, and the market economy could not be trusted to understand and solve the various problems and dislocations brought about by economic change. An enlarged federal government armed with coercive regulatory power administered by technocrats was necessary.\n\nWoodrow Wilson made a similar argument in Chapter 2 of his book The New Freedom, published in 1913. \"The laws of this country,\" Wilson wrote, \"have not kept up with the change of economic circumstances in this country; they have not kept up with the change of political circumstances.\" This failure to adapt is blamed on the structure of the Constitution and the time-bound assumptions of the framers. \"Politics in their thought was a variety of mechanics. The Constitution was founded on the law of gravitation. The government was to exist and move by virtue of the efficacy of 'checks and balances.' The trouble with the theory is that government is not a machine, but a living thing. It falls, not under the theory of the universe, but under the theory of organic life. It is accountable to Darwin, not to Newton. It is modified by its environment, necessitated by its tasks, shaped to its functions by the sheer pressure of life.... All that progressives ask or desire is permission\u2014in an era when 'development,' 'evolution,' is the scientific word\u2014to interpret the Constitution according to the Darwinian principle; all they ask is recognition of the fact that a nation is a living thing and not a machine.\" Contrary to the founders' belief in a constant and corruptible human nature, the Progressives, extending Darwinian theory to society and politics, believed human nature is plastic, and thus is amenable to progressive improvement if the malign influences of corrupt corporations and politicians is corrected by those armed with \"scientific\" knowledge of human behavior.10\n\nThe preference for trusting technocratic administrative elites rather than Constitutional politics to run the state would seem to suggest an antidemocratic bias to Progressive ideas redolent of Plato or Socrates. Yet the rhetoric of Progressives claimed that their political ideology would lead to a purer democracy for the people, whose interests were ignored by the corrupt economic and political elites running the country. Superficially their attacks on corrupt elites and their demands for greater democracy and equality recalled the rhetoric of Thomas Jefferson and Andrew Jackson, and their denunciations of those who privileged property and wealth over the rights of the people evoked Abraham Lincoln, their presidential model and hero.\n\nTheodore Roosevelt, for example, in his 1910 speech \"The New Nationalism,\" said, \"Our country\u2014this great republic\u2014means nothing unless it means the triumph of a real democracy, the triumph of popular government, and in the long run, of an economic system under which each man shall be guaranteed the opportunity to show the best that there is in him.\"11 In an article a year later titled \"Who Is a Progressive,\" Roosevelt argued, in tones redolent of the Antifederalists, against \"those other men who distrust the people, and many of whom not merely distrust the people, but wish to keep them helpless so as to exploit them for their own benefit.\" In contrast, the Progressives \"propose to do away with whatever in our government tends to secure to privilege, and to the great sinister special interests, a rampart from behind which they can beat back the forces that strive for social and industrial justice, and frustrate the will of the people.\"12 Woodrow Wilson in The New Freedom agreed: \"The government, which was designed for the people, has got into the hands of the bosses and their employers, the special interests. An invisible empire has been set up above the forms of democracy.\"13 In a speech delivered in January 1916, he asked rhetorically, \"Do you never stop to reflect just what it is that America stands for? If she stands for one thing more than another, it is for the sovereignty of self-governing peoples.\"14\n\nThe class-warfare rhetoric of both presidents recalls the paeans to the people like Thomas Jefferson's praise of the \"due sense of our equal right to the use of our own faculties, to the acquisitions of our own industry, to honor and confidence from our fellow-citizens, resulting not from birth, but from our actions and their sense of them.\"15 It evokes the same distrust of Andrew Jackson's \"moneyed aristocracy dangerous to the liberties of the country.\"16 And it echoes Abraham Lincoln's attack on slave-owners who were \"supplanting the principles of free government, and restoring those of classification, caste, and legitimacy.\"17\n\nYet behind this populist rhetoric was an understanding of democracy and the people very different from that of Jefferson, Jackson, or Lincoln. Rather than the freedom of individuals to rise as far as their talents and abilities could take them under equal laws and without hindrance from elites defined by caste, birth, or wealth, freedom for Progressives was the freedom not of particular individuals or local communities in all their variety of clashing interests and beliefs, but of an abstract collectivist \"people,\" one that ignored the great variety of regional, sectional, and religious identities and folkways comprising the flesh-and-blood people of the United States. Now those various interests and aims would be homogenized and unified according to the interests, values, and aims as defined and chosen by techno-political elites.\n\nTheodore Roosevelt in his \"New Nationalism\" speech suggested this more collective view of the people in his claim that an individual right such as the right to property can be limited by the \"community\" through government \"interference,\" according to the values of the \"advocate of human welfare, who rightly maintains that every man holds his property subject to the general right of the community to regulate its use to whatever degree the public welfare may require it.\" Roosevelt later allows an individual the right to create \"wealth\" with his \"power and sagacity,\" but adds, only \"when exercised with entire regard to the welfare of his fellows,\" and when his gaining this wealth \"represents a benefit to the community.\" These comments are similarly followed by his asserting the need for a \"policy of a far more active government interference with social and economic conditions.\" Enforcing this regulatory \"interference,\" moreover, is the responsibility of the federal government, which alone embodies the \"people\": \"The national government belongs to the whole American people, and where the whole American people are interested, that interest can be guarded effectively only by the national government. The betterment which we seek must be accomplished, I believe, mainly through the national government.\"18 In his eighth Annual Message to Congress, he asserted, \"The danger to American democracy lies not in the least in the concentration of administrative power in responsible and accountable hands. It lies in having the power insufficiently concentrated, so that no one can be held responsible to the people for its use.\"19\n\nWoodrow Wilson similarly evoked this redefinition of the \"people\" in his belief that \"society is a living organism\" and as such justifies his \"Darwinian\" view of the Constitution and its need to \"develop.\" A few pages later in The New Freedom he writes more explicitly about the shift of focus from individuals to the larger social organism. Imagining the progressive utopia that will come into being once the existing politico-social order has been rebuilt by what Wilson calls political \"architects\" and \"engineers,\" he describes it as a structure \"where men can live as a single community, co-operative as in a perfected, co-ordinated [sic] beehive.\"20 Apart from the whiff of totalitarian, antihumanist collectivism in such rhetoric, the important questions are who gets to define this unitary collective \"interest\" or \"benefit,\" and why the state governments or civil society, closer to the variety of interests and beliefs among the people, are not better placed\u2014and more directly accountable\u2014than a far-off central government and political \"engineers\" to address more efficiently and specifically these varied and necessarily conflicting interests.\n\nSuch paeans to collectivism were even more explicit in social worker and Progressive theorist Mary Parker Follett's 1918 book The New State. \"Man can have no rights apart from society or independent of society or against society,\" Follett wrote. The individual rights granted by \"Nature and Nature's God,\" as Thomas Jefferson wrote, should be augmented by \"social rights,\" which are potentially unlimited. \"Our efforts are to be bent not upon guarding the rights which Heaven has showered upon us, but in creating all the rights we shall ever have.\" The agent of this expansion of rights must be the state: \"The state has a higher function than either restraining individuals or protecting individuals. It is to have a great forward policy which shall follow the collective will of the people, a collective will which embodied through our state, in our life, shall be the basis of progress yet undreamed of.\" This powerful state necessitates a redefinition of democracy, which now comprises not a multiplicity of individuals or factions and their warring \"passions and interests,\" but a \"great spiritual unity which is supported by the most vital trend in philosophical thought and by the latest biologists and social psychologists.... Democracy is every one building the single life, not my life and others, not the individual and the state, but my life bound up with others, the individual which is the state, the state which is the individual.\"21\n\nThis collectivist understanding of the \"people\" was also asserted by the influential theorists of Progressivism, whose notions of \"social justice\" included a more equitable distribution of property. Herbert Croly was a cofounder of The New Republic magazine, and his 1909 book The Promise of American Life was endorsed by Supreme Court Justice Felix Frankfurter as \"the most powerful single contribution to progressive thinking.\"22 In that book Croly asserted, \"The people are not Sovereign as individuals. They are not Sovereign in reason and morals even when united into a majority. They become Sovereign only in so far as they succeed in reaching and expressing a collective purpose.\"23 And he is forthright about what that \"collective purpose\" entails: \"In becoming responsible for the subordination of the individual to the demand of a dominant and constructive national purpose, the American state will in effect be making itself responsible for a morally and socially desirable distribution of wealth.\"24 Five years later, in Progressive Democracy (1914) Croly again defined democracy in terms of a \"people\" who pursue not a multitude of conflicting \"passions and interests,\" as Madison believed, but a \"collective purpose\": \"Direct democracy... has little meaning except in a community which is resolutely pursuing a vigorous social program. It must become one of a group of political institutions, whose object is fundamentally to invigorate and socialize the action of American public opinion.\"\n\nMoreover, achieving goals like a \"vigorous social program\" or a \"collective purpose\" requires a bigger federal government: \"The realization of a genuine social policy necessitates the aggrandizement of the administrative and legislative branches of the government,\" though Croly does admit the need for \"direct popular supervision.\"25 Such expansion requires as well a conception of individual rights far different from that of the Constitution. Another influential progressive theorist, Frank Johnson Goodnow, a law professor at Columbia University and later president of Johns Hopkins, in 1916 wrote, \"Changed conditions... must bring in their train different conceptions of private rights if society is to be advantageously carried on.\" Old notions of individual rights, though suitable for their times, \"may become a menace when social rather than individual efficiency is the necessary prerequisite of progress. For social efficiency probably owes more to the common realization of social duties than to the general insistence on privileges based on individual private rights.\" Thus \"man under modern conditions is primarily a member of society\" and \"only as he recognizes his duties as a member of society can he secure the greatest opportunities as an individual.\"26 Historian Charles Beard\u2014whose 1913 study The Economic Interpretation of the Constitution of the United States is the most famous argument for the theory that the Constitution was fashioned to serve the property and business interests of an elite at the expense of the people\u2014was even more forthright in his skepticism of individual rights. In 1912 he wrote, \"The doctrine that the individual has fundamental personal and property rights which are beyond the reach, not only of the majority but of the state itself, can be sustained on no other theory than that of anarchy. It rests upon a notion as obsolete and indefensible as the doctrine of natural rights.\"27\n\nThis collective \"people,\" in the view of the Progressives, can be served only by the federal government, especially a powerful executive and the various bureaucracies and agencies that would have to be created in order to implement the new policies and regulations necessary for achieving the \"social justice,\" \"social duties,\" and \"social efficiency\" that presumably comprise the true interests of the people, whether they know it or not. Central to this more expansive power was the need for a more \"scientific\" administrative organization of an increasing number of federal agencies. According to Croly in The Promise of American Life, \"Only by faith in an efficient national organization, and by an exclusive and aggressive devotion to the national welfare, can the American democratic ideal be made good.\" After admitting the need to monitor the federal government and allowing a role for state and municipal governments, Croly adds, \"under existing conditions and simply as a matter of expediency, the national advance of the American democracy does demand an increasing amount of centralized action and responsibility.\" Such a change would need, of course, to discard the \"strong, almost dominant, tendency to regard the existing Constitution with superstitious awe, and to shrink with horror from modifying it even in the smallest detail.... If such an abject worship of legal precedent for its own sake should continue, the American idea will have to be fitted to the rigid and narrow lines of a few legal formulas.\"28\n\nObviously, Croly endorses the assumption that social reality and human nature have evolved beyond the Founders' belief in the eternal, conflicting \"passions and interests\" that the Constitution checked and balanced institutionally in order to protect both the freedom of minorities from oppression by the masses, and the freedom of the masses from oppression by an elite minority.\n\nWoodrow Wilson similarly was concerned with the \"science of administration\" that could instruct federal administrators in the techniques for creating, instituting, and managing the requisite policies. In his essay \"The Study of Administration,\" published in 1887, Wilson asserted that administration\u2014not, as the founders believed, protecting individual freedom\u2014was the most important function of government: \"it is government in action; it is the executive, the operative, the most visible side of government.\" Yet no science of administration has been created to define its techniques and methods. Such a science is necessary because the new economic and technological changes have multiplied the functions of government: \"There is scarcely a single duty of government which was once simple which is not now complex.\" The people now demand greater government participation in economic life, \"steadily widening to new conceptions of state duty; so that, at the same time that the functions of government are every day becoming more complex and difficult, they are also vastly multiplying in number. Administration is everywhere putting its hands to new undertakings.... Whatever holds of authority state or federal governments are to take upon corporations, there must follow cares and responsibilities which will require not a little wisdom, knowledge, and experience. Such things must be studied in order to be well done.\"\n\nThe practical aim of such study will be to \"open for the public a bureau of skilled, economical administration,\" comprising the \"hundreds who are wise\" empowered to guide the thousands who are \"selfish, ignorant, timid, stubborn, or foolish,\" the latter phrase a clue to the Progressives' patronizing estimation of the \"people.\" As a \"science,\" then, administration \"lies outside the proper sphere of politics. Administrative questions are not political questions. Although politics sets the tasks for administration, it should not be suffered to manipulate its offices.\"29 In his emphasis on the federal administration, Wilson, like other Progressives, recognized only the federal government and the indiscriminate mass of the \"people\" unable to know their own interests. The Progressives and their political heirs ignored and then actively displaced the numerous other nongovernmental mediating organizations and associations\u2014families, churches, mutual-aid societies, fraternal societies, voluntary associations\u2014that addressed many of the social problems the Progressives decried.\n\nThe ideal of an apolitical cadre of technocrats managing the state may sound similar to the antidemocratic founders' notion of republican \"filters\" tempering the passions of the turbulent masses. But such legislative and executive \"filters\" were superior mainly because of wisdom, practical experience, and virtue, not necessarily technical knowledge. At least in theory, they would emerge through a process of \"filtration\" by their local communities and states. And in the Constitution, they were directly or indirectly selected by the people through the franchise and subjected to term limits, and thus to some measure accountable. They were also the people actually publicly debating and making policy, unlike the unelected legions of anonymous \"technicians\" in government bureaus and agencies who flesh out with specific policies and regulations the general aims in any congressional legislation.\n\nMost important, for all the Progressive talk of expressing the peoples' \"interests,\" now these interests do not arise from the people and are directly or indirectly communicated to their representatives, but are selected and imposed upon them by distant and presumably wiser others. As Wilson put it, \"Whoever would effect a change in a modern constitutional government must first educate his fellow-citizens to want some change. That done, he must persuade them to want the particular change he wants. He must first make public opinion willing to listen and then see to it that it listen to the right things. He must stir it up to search for an opinion, and then manage to put the right opinion in its way.\"30 This faith in an administrative elite that can divine the people's interests of which they are not even aware is a far cry from the beliefs of Jefferson, Jackson, or Lincoln. Those democratic champions had faith in the common sense and ability of the average person in the United States to know his own interests, as long as he was free politically to do so without interference from self-selected, corrupt elites, particularly those in the federal government.\n\nIn contrast, the Progressives discarded the universal distrust of elites of any sort who are insulated from political accountability, the suspicion found in both the Federalists and their democratic critics like Jefferson and Jackson. Progressives, on the contrary, believed that alleged advances in the \"human sciences\" such as sociology or psychology had created knowledge and techniques that insulated technocrats and their political masters from the inevitable temptation to abuse power assumed to be a permanent feature of human nature by political philosophers from ancient Athens to the framers. In contrast to such traditional wisdom, as Progressive journalist Walter Lippmann wrote in 1914, \"We can no longer treat life as something that has trickled down to us. We have to deal with it deliberately, devise its social organization, alter its tools, formulate its method, educate and control it. In endless ways we put intention where custom has reigned. We break up routines, make decisions, choose our ends, select means.\" Such activism is possible because \"the great triumph of modern psychology is its growing capacity for penetrating to the desires that govern our thought.\"31\n\nProgressives, that is, are in possession of \"scientific\" knowledge about human nature unavailable to the founders, and can use that knowledge to alter human nature in order to improve social life. But in their unexamined assumptions that such political and moral progress had indeed taken place, and that the \"human sciences\" were indeed as rigorous, accurate, and predictive as natural science, the Progressives forgot the monitory question of the Roman satirist Juvenal: \"Who will guard the guardians?\"\n\nFinally, the belief in expanding administrative elites was accompanied with a call for a more powerful and vigorous president who could better embody the \"will of the people\" and direct the agencies effecting it than are the state governments and the legislative branch, which comprise numerous clashing \"passions and interests\" that obscure the collective people's genuine interests and well-being as these are discerned by \"experts.\" In the 1920 edition of his autobiography, Theodore Roosevelt described the president as the \"steward of the people,\" empowered \"to do anything that the needs of the nation demanded unless such action was forbidden by the Constitution or the laws.\" As he further explained, \"I did not usurp power, but I did greatly broaden the use of executive power.\"32 In practice, Roosevelt's obeisance to the Constitution was more flexible. His interference in the Anthracite Coal Strike of 1902 elicited concerns that he was overstepping the constitutional limits on the executive. When the Republican whip James E. Watson pointed this out to Roosevelt, he replied, \"The Constitution was made for the people, and not the people for the Constitution.\" According to Watson's memoirs, when pressed on the matter Roosevelt shouted, \"To hell with the Constitution when the people want coal!\"33\n\nWoodrow Wilson held similar views on the role of the president and his need to be a \"leader of men,\" the title of Wilson's 1890 essay. Rather than the Constitution's limited executive, Wilson envisions a more activist president who has \"such sympathetic and penetrative insight as shall enable him to discern quite unerringly the motives which move other men in the mass.... It need not pierce the particular secrets of individual men: it need only know what it is that lies waiting to be stirred in the minds and purposes of groups and masses of men. Besides, it is not a sympathy that serves, but a sympathy whose power is to command, to command by knowing its instrument.... The competent leader of men cares little for the interior niceties of other people's characters: he cares much-everything [sic] for the external uses to which they may be put. His will seeks the lines of least resistance; but the whole question with him is a question of the application of force. There are men to be moved: how shall he move them?\"34\n\nYears later in the Constitutional Government in the United States, published in 1908, Wilson is explicit that the sort of leader he believes necessary would be politically embodied in a president more powerful than the Constitution's chief executive, who was limited to being \"only the legal executive, the presiding and guiding authority in the application of law and the execution of policy.... He was empowered [by the veto] to prevent bad laws, but he was not to be given an opportunity to make good ones.\" Wilson apparently forgot that the Constitution gives Congress the authority to make laws. In further contrast to the constitutional order, Wilson posits that government \"is a living, organic thing, and must, like every other government, work out the close synthesis of active parts, which exist only when leadership is lodged in some one man or group of men.\" And directly contradicting the Constitution's structure based on balancing and checking clashing \"passions and interests,\" Wilson writes, \"You cannot compound a successful government out of antagonisms.\" Thus we must \"look to the President as the unifying force in our complex system, the leader both of his party and of the nation.\"35 Power concentrated in the federal government required a proactive, dynamic executive in order to create the national consensus necessary for reform.\n\nThe Tools of Leviathan\n\nA powerful president overseeing an expansive federal government of agencies and commissions requires money to achieve his utopian aims. And in keeping with antidemocratic fears dating back to ancient Athens, revenue seized or collected from the rich could be redistributed to the poor, a goal explicit in the more radical Progressives' class-warfare and egalitarian rhetoric.\n\nAt the 1912 convention of the short-lived Progressive or \"Bull Moose\" Party, formed by Theodore Roosevelt after his split with the Republican president William Howard Taft, former Indiana senator Albert Beveridge sounded these class-warfare and redistributionist themes in his keynote speech. Contrasting \"social brotherhood\" with \"savage individualism,\" and \"intelligent co-operation\" with \"reckless competition,\" Beveridge called for \"equal rights as a fact of life instead of a catch-word [sic] of politics.\" Like Progressives of all stripes, Beveridge championed a collectivist \"people\" and called for removing the constitutional \"filters\"\u2014selection of senators by the states, and election of the president by the Electoral College\u2014that empowered corrupt political elites. And endorsing the utopian aims of the Progressives, Beveridge thundered, \"There ought not to be in this Republic a single day of bad business, a single unemployed workman, a single unfed child,\" nor should US workmen ever know \"a day of low wages, idleness or want.\" Greater government control of business was one way to achieve these boons\u2014\"We aim to put new business laws on our statute books which will tell American businessmen what they can do and what they cannot do.\" Redistribution of property would be the most important mechanism for realizing these aims: \"We mean not only to make prosperity steady,\" Beveridge orated, \"but to give to the many who earn it a just share of that prosperity instead of helping the few who do not earn it to take an unjust share. The Progressive motto is 'Pass the prosperity around,' \" a sentiment President Obama would echo in October 2008 when he said, \"I think when you spread the wealth around, it's good for everybody.\"36\n\nThe Sixteenth Amendment, which in 1913 instituted a national income tax, would become the means of taking money from the rich and redistributing it to the rest through various government programs. At first the tax exempted income under $3,000 ($70,872 in 2013 dollars) and set the top rate at 7 percent on incomes over $500,000 (almost $12 million in 2013 dollars), making it attractive to citizens who thought only the super-rich would be affected. But World War I created the rationale for increasing the reach of the income tax. The 1916 Revenue Act doubled most income tax rates of the Sixteenth Amendment to a top rate of 13 percent, along with creating an inheritance tax. The New Republic called it \"a powerful equalitarian attack upon swollen incomes.\" The 1917 Tax Act \"lowered income-tax exemptions and raised rates, the top rate to 67 percent and 77 percent in 1918,\" Moreno writes. The Progressive economist E. R. A. Seligman thought this revenue legislation revealed \"the progress that has been made in the conception of fiscal justice as a result of the democratic development of the last generation.\"37\n\nIn addition to instituting an income tax to finance a burgeoning federal government, the Progressives exploited the national populist mood to weaken federalism by removing one of the most important prerogatives of state sovereignty, the election of senators. The Seventeenth Amendment, ratified in 1913, called for the popular election of senators, thus eliminating one of the constitutional \"filters\" on the power of the masses and the federal government alike. Bribery, corruption, and legislative deadlock in the selection of senators by the states were the arguments for this change, but class envy and populist suspicion of plutocratic elites contributed to the groundswell of support for the amendment. The change also expressed the Progressive belief in greater \"democracy,\" and in the notion that the structures of the Constitution were outmoded now that Americans were \"a new people living and acting under an old system,\" as Indiana senator David Turpie said during the debate on the amendment.38\n\nAs a result of the passage of the Seventeenth Amendment, the power of the states, an important check on the \"encroaching power\" of the central government, was seriously weakened. But as historian Ralph A. Rossum writes, the threat to federalism was scarcely mentioned in the debates over the amendment. One eloquent exception was Elihu Root, a Republican senator from New York. During the debate over the amendment Root correctly prophesized, \"The time will come when the Government of the United States will be driven to the exercise of more arbitrary and unconsidered power, will be driven to greater concentration, will be driven to extend its functions into the internal affairs of the States.\"39 But for Progressives, their belief in the \"evolving\" Constitution and their championing of the abstract \"people\" rendered this reservation anachronistic. More important to them was the need to remove the political structures such as federalism and the powers of the states, which mediated between the volatile masses and the centralized government in Washington, thus checking the power of the latter.\n\nThe political philosophy of the Progressives, despite their protestations of admiration for Abraham Lincoln and the founders, \"aimed at the foundation of a new political regime,\" as Paul Rahe writes, \"distinct from and, in certain critical respects, opposed to the one that had gradually taken shape in the period stretching from 1776 to 1789.\" The Progressives, Rahe continues, in fact abandoned Lincoln, Jefferson, and Hamilton, \"dismissing as outdated the concern with individual, natural rights that the three men shared; rejecting as wrongheaded and outmoded Jefferson's argument for the virtues of political jealousy and his insistence that vigorous local self-government is essential to the maintenance of liberty; and substituting for Hamilton's notion of statesmanship and for that of Lincoln an account... which was incompatible with the principle of limited government and closely akin in its practical aspects to the vision of rational administration\" proposed by French political philosophers like Turgot.40\n\nFor all their rhetoric of \"pure democracy\" and the \"people's welfare,\" then, the Progressives were in embryo a modern version of the ancient tyrants who championed the people in order to aggrandize their own power, which they financed by redistributing property. Under the pressures and crises of two world wars and the Great Depression, the expansion of the federal Leviathan through the proliferation of agencies and regulations would be accompanied by the multiplication of social welfare programs that, for all their initial good intentions, would evolve into the modern equivalent of the redistribution of property with which the ancient tyrant bought the support of the masses. The high price would be the erosion of personal freedom and self-government by coercive federal regulatory power over more and more of private and state business.\n\nFDR and the Growth of Entitlement Democracy\n\nAs they promised, the early Progressives expanded the federal administration to exert control over corporations and the economy. Under Woodrow Wilson, the 1914 Federal Trade Commission, for example, increased federal regulatory and investigative power over business in order to manage competition and enforce antitrust laws. The Federal Reserve Board, created by the 1913 Federal Reserve Act, increased regulations over banking and the money supply. As Moreno writes, both agencies \"would in time acquire tremendous policymaking power and pose serious constitutional questions.\"41 Once the United States entered World War I in 1917, the pace of centralization, collectivization, and expansion of federal power quickened. \"Novel boards and agencies,\" political philosopher Robert Nisbet writes, \"were fashioned to assimilate the whole American economic and social fabric in their workings.\" The War Industries Board, the War Labor Policies Boards, the Shipping Board, the Food Administration, and, Nisbet adds, \"before the ending of the war many another centralized, national authority [was] created by the Congress or the executive in which absolute power was vested in its own sphere.\" Personal freedom was compromised as well by the 1917 Espionage Act and the 1918 Sedition Act, under which almost two hundred thousand people \"were accused, or indicted, or found guilty and fined heavily or imprisoned for remarks heard or overheard in public.\" Yet consistent with the ancient predictions of democratic tyranny financed and softened by wealth transfers to the people, Nisbet continues, \"Lost neighborhood, local, and other liberties didn't seem too high a price to pay for the economic benefits in the form of high wages, props to unionism, quick and generally favorable arbitration agreements for workers, and the novel availability of spendable money, cash in hand.\"42\n\nThough many of these federal institutions and powers would end with the war, under Woodrow Wilson a model of massive state control over social, political, and economic life had been established. Franklin Delano Roosevelt's New Deal continued this expansion, creating numerous new federal agencies and regulatory powers, and refurbishing many of Wilson's wartime measures, such as the 1917 Trading with the Enemy Act, in order to deal with the crisis of the Great Depression.\n\nIn the main, Roosevelt's policies demonstrated a broad sympathy with many Progressive ideals, for all he was an old-style partisan politician. For example, Roosevelt believed that \"the age of enlightened administration has come,\" and that government should now turn to the business of \"modifying and controlling our economic units\" and of \"adjusting production to consumption, of distributing wealth and products more equitably, of adapting existing economic organizations to the service of the people,\" though \"it may in some measure qualify the freedom of action of individual units within the business,\" and \"the re-definition of these rights in terms of a changing and growing social order,\" as he told San Francisco's Commonwealth Club in 1932.43\n\nThese views were predicated on the class-warfare assumptions that had served Theodore Roosevelt and Woodrow Wilson so well. In his first Inaugural Address in 1933, Roosevelt thundered against the \"practices of the unscrupulous money changers\" who \"know only the rules of a generation of self-seekers.\" The 1936 Democratic platform more explicitly warned, \"We shall continue to use the powers of government to end the activities of the malefactors of great wealth who defraud and exploit the people.\"44 In his speech at the 1936 convention, Roosevelt concurred, thundering against \"the privileged princes of these new economic dynasties, thirsting for power,\" who \"created a new despotism and wrapped it in the robes of legal sanction. In its service new mercenaries sought to regiment the people, their labor, and their property.\" Roosevelt's rhetoric explicitly called for new \"Minutemen\" to battle the big-business George III and start a second American Revolution.45 Finally, to achieve this revolution Roosevelt endorsed the Progressive preference for an \"evolving\" Constitution and a powerful executive necessary for achieving these aims: \"It is to be hoped that the normal balance of Executive and legislative authority may be wholly adequate to meet the unprecedented task before us. But it may be that an unprecedented demand and need for undelayed action may call for temporary departure from that normal balance of public procedure.\"46\n\nEnjoying a Democratic majority in the 73rd Congress, in his first term Roosevelt did not need to disrupt the constitutional \"normal balance.\" That would come in 1937 with his failed attempt to pack the Supreme Court with appointees sympathetic to his legislation. During his first term he made good on his promised activism with a flurry of legislation and executive orders. The Agricultural Adjustment Act, the Tennessee Valley Authority, the National Industrial Recovery Act comprising the National Recovery Administration (ruled unconstitutional in 1935) and the Public Works Administration, the Banking Act that created the Federal Deposit Insurance Corporation and the provisions known as the Glass-Steagall Act and the National Recovery Review Board, are the major expansions of regulatory power enacted by Roosevelt during the \"hundred days\" of his first term. To manage all these agencies, the federal bureaucracy had to grow by 45 percent.47 As Roosevelt later boasted to Congress in 1936, \"We have built up new instruments of public power. In the hands of a people's government this power is wholesome and proper. But in the hands of political puppets of an economic autocracy such power would provide shackles for the liberties of the people.\"48 The question of how a powerful elite of unelected, unaccountable government bureaucrats would be more immune than plutocrats to the corrupting influence of \"public power\" is answered by the Progressive appeal to the oversight of an abstract, collectivized \"people\" whose interests have already been determined for them by Progressives.\n\nBy the end of the Roosevelt presidency, the concentrated power of \"big government\" feared by the framers of the Constitution had become the status quo in the United States, justified by crises like war and the Great Depression, and facilitated after 1937 by an emasculated Supreme Court, seven of whose members had been appointed by Roosevelt at the time of his death in 1945. Thus the Progressive ideology fulfilled one half of the ancient formula for democratic despotism\u2014the concentration of coercive federal power, and its greater intrusion into and regulation of social and economic life.\n\nAlso under Roosevelt, the other half, the redistribution of property to secure the support of the \"people,\" began its relentless reach and expansion, beginning in the second half of his first term with his \"second New Deal.\" Unlike in antiquity, however, when critics of democracy made the \"poor\" the beneficiaries of the tyrant's appropriation of wealth, in the United States the middle class, and even the corporations frequently demonized by Progressives, also have become the recipients of federal largesse. Moreover, despite the transformation of Constitutional structures wrought by New Deal legislation, Roosevelt spoke the soothing language of \"rights\" familiar from the Constitution. In his 1935 State of the Union address, Roosevelt said that his \"new order of things\" was developed \"under the framework and in the spirit and intent of the American Constitution.\"49 By using such rhetoric, as political philosopher William Voegeli writes, Roosevelt suggested that \"the New Deal was the adaptation of America's founding principles to the nation's new economic circumstances. As such, the New Deal's consequences could be dramatic, while its intentions were presented as benign or even conservative.\"50\n\nThis redefinition of \"rights\" became an important mechanism for creating and camouflaging Tocqueville's \"soft despotism\" by removing the social opprobrium traditionally attached to taking charity. We saw above Progressive Mary Parker Follett in 1918 move beyond the notion of natural rights bestowed by \"Nature and Nature's God,\" and call for \"creating all the rights we shall ever have.\" Roosevelt too, in his 1932 Commonwealth Club speech, made a similar claim when he spoke of \"the re-definition of these rights in terms of a changing and growing social order.\" Now included in the list of \"rights\" for each citizen were \"the right to make a comfortable living\" and the \"right to be assured... in the safety of his savings.\" Four years later in his acceptance speech at the Democratic convention, Roosevelt expanded the constitutional \"right to life\" to a broader right to \"make a living\u2014a living decent according to the standard of the time, a living which gives man not only enough to live by, but something to live for.\"51\n\nIn his 1944 State of the Union address, Roosevelt described even more specifically the new rights he believed should be codified in law. The rights vouchsafed by the Constitution, Roosevelt argued, \"proved inadequate to assure us equality in the pursuit of happiness\" under the stresses created by an \"industrialized economy.\" In these conditions, \"true individual freedom cannot exist without economic security and independence.\" Echoing the language of the Declaration of Independence, Roosevelt called for another founding: \"In our day these economic truths have become accepted as self-evident. We have accepted, so to speak, a second Bill of Rights under which a new basis of security and prosperity can be established for all regardless of station, race, or creed.\"52\n\nRoosevelt's compendium of these new \"rights\" comprised not natural rights as the founders understood them, the defining constituents of a human nature that precede any government and exist apart from its control, but benefits and goods people want and that in an imperfect world must in the main depend on their own efforts, talents, virtues, or luck, and on the help of family, friends, and local communities: a \"useful and remunerative job,\" \"adequate food and clothing and recreation,\" a \"decent home,\" \"adequate medical care and the opportunity to achieve and enjoy good health,\" \"adequate protection from the economic fears of old age, sickness, accident, and unemployment,\" and the right \"to a good education.\" But as William Voegeli points out, the hard question is \"not about what welfare rights include, but what they exclude.\" Once people make a \"decent life\" a right, \"on what basis,\" Voegeli asks, \"can we tell people who repeatedly demand additions to the honor roll that some things are indeed conducive to a decent life but, at the same time, are not rights?\"53\n\nIn practice, the only limit to such \"rights\" will be the subjective preferences, desires, tastes, and imagination of the people, no matter how extravagant, irrational, immoral, or fiscally unsustainable. And as the past seven decades have shown, the definition of \"adequate,\" \"decent,\" or \"independence\" will constantly expand as the baseline for material well-being relentlessly rises. Finally, genuine freedom and equality are both eroded when one looks to the government to define one's happiness, and then to take responsibility for providing it. In contrast, as Paul Rahe writes of the founders' understanding of liberty and equality, \"Liberty consisted to a considerable degree in taking responsibility for one's own well-being and for that of one's family. It was in possessing this liberty and in being saddled with this responsibility that men were deemed equal, and it was their possession of this liberty and the allocation to them of this responsibility that government was established to protect.\"54\n\nThis expansion of entitlements to satisfy these new \"rights\" started with Roosevelt's Social Security Act of 1935, \"a major step forward,\" Moreno writes, \"in centralized bureaucratic statism.\" In 1937, the Supreme Court upheld the constitutionality of the act in two 5\u20134 decisions justifying the law on the grounds of the federal government's power to tax. Dissenting Justice Pierce Butler presciently wrote that the decision sanctioned the federal government to \"induce, if indeed not to compel, state enactments for any purpose within the realm of state power, and generally to control state administration of state laws.\"55 The role of state sovereignty in checking the power and reach of the federal government had again been considerably diminished.\n\nThe Social Security Act also set the pattern for the inevitable expansion of such programs, which in turn further increased the size and power of the federal government. In addition to providing old-age assistance, the act provided for unemployment compensation, aid to dependent children (replaced in 1996 by the Temporary Assistance to Needy Families program), maternal and child welfare, and public health work. States were compelled to participate in funding these programs, aided by grants from the federal government, yet another insidious erosion of state autonomy, since accepting the funds required accepting the federal government's control.\n\nOver the years more and more beneficiaries were added to the Social Security program. The growth of Social Security makes it the original paradigm of the inevitable expansion of such entitlements in the cost and number of beneficiaries once they become law and are understood to be \"rights.\" In 1939, spouses and minor children were added as beneficiaries. In 1950, benefits for the permanently disabled were signed into law. In 1956, Social Security Disability Insurance was expanded to workers between fifty and sixty-five years old, and for children disabled before the age of eighteen. In 1958, benefits were added for children of the disabled, and in 1960, age restrictions were eliminated, making anyone eligible for benefits. In 1972, state programs providing income for the blind and disabled were federalized in the Supplemental Security Income program. In 1975, cost-of-living increases for beneficiaries were authorized, and in 1997 the State Children's Health Insurance Program for low-income citizens or \"CHIPS\" program was created.\n\nIn subsequent presidencies, more and more programs have sprung up to recognize more and more \"rights,\" at the same time they function as a mechanism to redistribute income; as F. A. Hayek wrote of Social Security, \"No system of monopolistic insurance has resisted this transformation into something quite different, an instrument for the compulsory redistribution of income\" and \"a tool of egalitarian redistribution.\"56 The next significant expansion came in Lyndon Johnson's Great Society legislation, which institutionalized a whole catalogue of utopian progressive goals. The War on Poverty legislation included the Economic Opportunity Act of 1964, which created eleven major programs. These included funding for education and job training, once the responsibility of states and private enterprise. The Food Stamp Act subsidized food purchases. The Social Security Act of 1965 created Medicare, which subsidizes health care for the elderly, and Title XIX of that act created Medicaid, which expanded that support to everyone below the poverty threshold. Social Security benefits and eligibility requirements were once again liberalized in the Social Security Amendments of 1965 and 1967. The latter also liberalized Medicaid requirements. In addition, the Great Society created and funded \"cultural\" programs such as the National Endowment for the Arts, the National Endowment for the Humanities, and the Corporation for Public Broadcasting, extending the federal government's regulatory reach into the arts and entertainment.\n\nOver the last half-century, new entitlements, along with new federal agencies and regulations, have continued to be created and existing ones expanded under administrations of both parties. Indeed, according to economist Nicholas Eberstadt, in any given year the growth of entitlement spending has been over 8 percent higher under Republican administrations.57 Republican George W. Bush in 2003 signed into law the Medicare Prescription Drug, Improvement, and Modernization Act, which increased subsidizes for purchasing medications. Through 2012 the program has added $318 billion to the national debt, as the act had no dedicated funding.58 And Democrat Barack Obama in 2010 created the Affordable Care Act, which aims to provide health care to the 47 million people in the United States who are uninsured, in addition to imposing even more federal regulations over an industry representing one-sixth of the whole economy. According to the Heritage Foundation, this program will cost $1.8 trillion over the next decade, while collecting $500 billion in new taxes.59 Once created, programs such as these have been renamed, reconfigured, or replaced, but hardly ever eliminated, even as new programs are created to gratify \"rights,\" the term used to denominate what used to be called \"charity\" or \"hand-outs.\"60\n\nMoreover, all classes, not just the poor, are beneficiaries of these and other transfers through tax deductions and credits, such as the home-mortgage deduction or the Coverdell educational savings accounts, or direct government wealth distribution through programs like agricultural subsidies, or federal loans and loan guarantees subsidizing US exporters, home buyers, or college tuition. Many recipients do not consider these programs redistributive transfers like welfare or food stamps, and so they have a huge interested constituency that protects them from elimination and makes even modest reductions politically difficult. As Voegeli points out, \"The welfare state was shrewdly designed to summon into existence permanent political forces that would favor the welfare state's expansion and oppose its contraction. The ideal is for every US household to consider itself, correctly or incorrectly, a net importer of dollars after the welfare state has extracted all its taxes and conferred all its benefits.\"61 As a result, reducing entitlement programs, let alone reforming them, is politically toxic for anyone seeking federal office.\n\nOver the last century, the size and costs of the federal Leviathan and its mechanisms for redistributing wealth have become staggering, as has the number of people receiving benefits. As of January 2012, the federal government employed 2.3 million workers, excluding military personnel, at a cost of $200 billion a year.62 Total federal spending in 2013 was $3.5 trillion, a 40 percent increase over the last decade. Equally significant is the intrusive, coercive regulatory apparatus that has followed this expansion of the federal government under both parties. Republican Richard Nixon, for example, in 1970 created by executive order the Environmental Protection Agency, whose some seven thousand rules cost the economy $353 billion a year. In 2012, the Federal Register, which publishes proposed new rules and final changes to existing rules, comprised 78,961 pages.63 The Code of Federal Regulations, which publishes general and permanent rules and regulations, totaled 174,545, with over one million individual regulatory restrictions. Just the Dodd-Frank Wall Street Reform and Consumer Protection Act passed in 2010 is up to nearly 14,000 pages of rules\u2014and is only 39 percent complete.64\n\nThe Competitive Enterprise Institute puts the annual cost of complying with all these rules and regulations written by anonymous, unaccountable federal bureaucrats at $1.8 trillion.65 The costs of such extensive regulation obviously reduce economic freedom and thus impair economic growth. Just since 2000, the United States has slipped from being ranked second in freedom from regulation to seventeenth in 2013, according to the Cato Institute.66 The Heritage Foundation reports that between 2008 and 2013, the United States' overall economic freedom ranking went from sixth to twelfth.67 But government regulatory intrusion also insidiously compromises the freedom of people and businesses to an extent undreamed of by an ancient tyrant armed only with physical force.\n\nThis corrosion of freedom and autonomy is made politically palatable by the redistribution of income to large numbers of people. The federal government spends billions of dollars on thousands of programs every year, but the biggest expense by far is on entitlement spending, which along with the interest on the debt necessary to afford such outlays consumes one-seventh of the economy. In 2012, Medicare, Medicaid, Social Security, and other health spending made up 45 percent of the $3.6 trillion budget, with another 19 percent going to federal employee retirement and benefits, veterans' benefits, and antipoverty programs such as food stamps and welfare.68 Just the more than eighty programs targeting the poor (including Medicaid) cost nearly $916 billion in 2012.69\n\nAs well as cost, the range of beneficiaries of such programs has expanded. And as the history of Social Security demonstrates, these programs over time always expand benefits and the number of recipients through the liberalization of eligibility requirements. For example, as a result of the loosening of medical eligibility criteria in the Social Security Disability Benefits Reform Act of 1984, the number of workers receiving Social Security Disability Insurance increased from 2.9 million in 1980 to 10.9 million in 2012, at a cost of $137 billion. This trend will leave the program insolvent in 2016.70 Likewise the Supplemental Nutritional Aid Program, once known as food stamps, has followed the pattern of expansion set by the Social Security Programs. Over the last decade the number of people receiving food stamps has more than doubled to 47.6 million, but the cost of benefits has quadrupled to $80.4 billion in 2012.71 Among able-bodied adults without dependents, between fiscal year 2007 and 2010 participation in the program doubled, from 1.7 million to 3.9 million.72 As a result of this expansive network of government transfers, today about half of all households in the United States receive some sort of federal benefit.73\n\nGiven the tidal wave of 76 million Baby Boomer retirements that began in 2011 and continues at the rate of ten thousand a day, in addition to the tendency of entitlement programs to expand the number of beneficiaries and the amount of benefits, entitlement costs are projected to increase steeply over the next ten years, as will the federal debt necessary to fund these programs\u2014Social Security and other health care programs costs are projected to double to $3 trillion in the next decade, and debt interest costs to increase nearly three-and-a-half times to $823 billion. But if interest rates return to the average of the '90s, that cost will increase by another $1.4 trillion.74 The total amount of unfunded liabilities for Social Security and health care entitlements is conservatively estimated to be $123 trillion, and could be as high as $200 trillion.75\n\nThe bulk of the funds for all this government largesse, of course, comes from federal income taxes, which are designed to redistribute money from the better off to the less well off. In fact, the United States has one of the most progressive tax systems in the world; as of 2008 it was the most progressive of the twenty-four richest countries, according to the Organization of Economic Cooperation and Development. That year the top 10 percent in the United States accounted for 45.1 percent of taxes, but earned 33.5 percent of income, a ratio of taxes to income that is higher than European states with more generous social welfare transfers like Germany (31.2\/29.2) or Sweden (26.7\/26.6).76 In 2010, the top 40 percent paid 106.2 percent of income taxes, while the bottom 40 percent paid a negative 9.1 percent, according to the Congressional Budget Office, due to programs such as the Earned Income Tax Credit and the child tax credit.77\n\nThis progressivity of US income taxes results in a redistribution of wealth from higher-income to lower-income citizens, even taking into account payroll and state taxes. According to the Tax Foundation, \"The typical family in the lowest 20 percent in 2012 (with market incomes between $0 and $17,104) pays an average of $6,331 in total taxes and receives $33,402 in spending from all levels of government. Thus the average amount of redistribution to a typical family in the bottom quintile is estimated to be $27,071. The vast majority of this net benefit, a total of $21,158, comes as a result of federal policies.\" The top 20 percent, on the other hand, paid $87,076 more in taxes than it received in government spending, while the top 1 percent paid $867,473 in taxes and received $55,078 in spending. In 2012, about $2 trillion was distributed from the top 40 percent to the bottom 60 percent of taxpayers.78\n\nThe income tax, however, is not the only way the federal government redistributes income. The unfunded liabilities of Social Security and Medicare, and the debt necessary to fund today's entitlement costs, go far beyond the redistribution of property from the rich to the poor about which ancient critics of democracy warned. In addition to that sort of redistribution by our federal income tax, today our government retirement and health care programs also redistribute income from the working young to the retired old through the payroll taxes paid by the young to finance Social Security and Medicare. And Obamacare will do the same by forcing the young to buy more-expensive health care in order to subsidize the older and sicker. Worse yet, our $17 trillion debt, destined to grow in order to fund entitlements, is a redistribution of income from generations not yet born to those living today.\n\nThe concentrated size and coercive powers of the federal government, along with its massive redistribution of property from the better off, the young, and the unborn, go far beyond the democratic tyranny prophesized by ancient critics and many founders alike in compromising the freedom of the people. Yet developments peculiar to modernity have been necessary to create what Tocqueville called the \"softer despotism.\"\n\nDemocracy's Flaws and Modernity\n\nJust as the modern world has expanded the mechanisms for redistributing property, so too the other flaws identified by ancient and modern critics have not just persisted into today's world, but in some cases been magnified by technological and other changes.\n\nThe Lack of Knowledge among the Masses\n\nThe perennial charge against mass participation in governing\u2014that, as the Old Oligarch said, \"Among the common people [is] the greatest ignorance\"\u2014continues to be a problem today. As law professor Ilya Somin writes, \"The sheer depth of most individual voters' ignorance may be shocking\" to the layman unfamiliar with formal research on the topic.79 Polling data of voters compiled during the 2010 midterm election on a range of issues and policies both domestic and foreign, for example, revealed that a majority of voters knew the correct answers to only three of thirteen questions. During the 2012 presidential election, only 43 percent of the US population had ever heard of the eventual Republican vice-presidential nominee Paul Ryan, and only 32 percent knew that he was a member of the House of Representatives. Often the public approved of contradictory policies. Sixty-five percent approved of President Obama's plan to raise tax rates on those earning more than $250,000 a year, yet 75 percent pegged 30 percent, the rate existing at the time, as the highest rate top earners should pay. As Somin points out about his many other examples, \"voters are ignorant not just about specific policy issues but about the structure of government and how it operates,\" as well as \"such basic aspects of the US political system as who has the power to declare war, the respective functions of the three branches of government, and who controls monetary policy.\"80 This level of ignorance has remained relatively stable since the 1930s, despite higher levels of education and new technologies for the mass distribution of information.\n\nThis political ignorance means that on Election Day voters will often privilege their private interests over the longer-term interests of the country as a whole, just as critics of democracy have argued for twenty-five hundred years. The expansion of entitlement spending reflects this tendency. Polls consistently record a strong anti-big-government sentiment among voters. In 2012, exit polls found that 51 percent of voters thought government \"is doing too much.\" Yet in a 2011 survey large majorities also opposed reductions in Medicare and Social Security spending, the most costly big-government entitlements.81 In December 2013, 71 percent of the US population considered big government to be the \"biggest threat to the US in the future,\" yet a few months earlier 77 percent had disapproved of House Republicans for attempting to shrink the federal government by slowing down spending and reducing deficits.82 This incoherence reflects the successful marketing of entitlement programs as \"rights,\" or \"earned\" by employee contributions.\n\nFinally, the traditional concerns with voter ignorance are amplified by the much larger scope and concentrated power of the federal government, which creates policies and programs of a complexity beyond the ability of most people to understand. Writing about the Social Security program in 1960, economist F. A. Hayek pointed out that \"the ordinary economist or sociologist or lawyer is today nearly as ignorant [as the layman] of the details of that complex and ever changing system.\" If the average voter cannot understand the intricacies of just one program, how can he evaluate the numerous others whose growth has led to more coercive state power and to ever escalating costs? Only the champions and managers of such programs, Hayek continues, will be deemed \"experts\" to whom the average citizen's judgment must defer, and such \"experts\" are \"almost by definition, persons who are in favor of the principles underlying the policy.\" Citizen autonomy is ceded to the self-interests of unelected, unaccountable functionaries.83\n\nDemagoguery 2.0\n\nIgnorant of the information necessary to make political decisions that benefit the whole citizenry in the long term, the voters will make political choices that serve their own particular short-term interests and passions. This dynamic leaves them vulnerable to the \"worthless demagogues,\" as Aristotle called them, the political leaders who manipulate the tricks of rhetoric in order to appeal to the selfish interests and irrational passions of the electorate.\n\nThe new mass media technologies have obviously increased exponentially the modes and mechanisms of manipulative political communication. As early as the founding era, newspapers and pamphlets were considered tools of political demagoguery. Fisher Ames in 1805 complained that \"by supplying an endless stimulus to their [the people's] imagination and passions, [the press] has rendered their temper and habits infinitely worse.... Public affairs are transacted now on a stage where all the interests and passions grow out of fiction, or are inspired by the art, and often controlled at the pleasure of the actors.\"84 In 1920, Walter Lippmann also decried the baleful influence that mass-circulated newspapers had on politics, particularly the sacrifice of truth, fact, and coherent argument to the ideological preferences of editors and reporters, whose professions had \"become confused with the work of preachers, revivalists, prophets and agitators.\"85\n\nSince Lippmann's day mass communication technology has made these dangers even more widespread and destructive. Radio, network television, cable and satellite television news shows, and the Internet\u2014Facebook, blogs, chat rooms, Twitter, online magazines and newspapers\u2014have progressively increased the reach of political speech far beyond the few thousand members of the Athenian Assembly before whom an ancient orator spoke. More pernicious, the mass production and circulation of photographs, film, and videos have put into the hands of modern demagogues a mechanism\u2014the image\u2014that more directly, immediately, and intensely exploits the fears, emotions, and passions of the people, bypassing completely even the modicum of thought necessary for understanding verbal or written communications.\n\nModern electoral history is filled with examples of the impact of an image on the fortunes of a campaign. The September 1960 televised debate between Richard Nixon and John F. Kennedy\u2014Nixon appearing pale, underweight from a recent illness, and sweaty, while Kennedy looked youthful, vigorous, and confident\u2014is universally acknowledged as the event that changed political campaigns forever. Since televised debates between candidates for every political office are these days ubiquitous, now the subjective or irrational perceptions of a politician's appearance, duplicitous rhetoric, and demeanor are more important than his ability to communicate a sound argument, respond cogently to his opponent's ideas, or articulate clearly his principles. A genuine debate is difficult in any case in modern political debates between candidates, which are an exchange of little more than sound bites, with scant time allowed for the candidate to develop a complex thought or critique specifically his opponent's arguments.\n\nTelevision has also become the medium of political advertisements that manipulate emotionally powerful images in order to demonize an opponent and distort his record or opinions. The foundational example occurred in the 1964 presidential contest between Republican Barry Goldwater and Lyndon Johnson. In order to paint Goldwater as an extremist who could not be trusted with control of nuclear weapons, the Johnson campaign televised an ad in which a winsome girl picking the petals off a daisy disappears into a mushroom cloud. In the 1988 presidential campaign between George H. W. Bush and Massachusetts governor Michael Dukakis, Republicans ran an ad featuring a sinister-looking black felon named Willy Horton, who on a weekend furlough from a Massachusetts prison had raped and assaulted a woman in Maryland. The governor of Massachusetts at the time was Dukakis, who was branded as being soft on crime. More recently, Congressman Paul Ryan, the Republican candidate for vice-president in 2012 whose proposed budget had called for modest entitlement reform, was depicted in an attack ad pushing a granny in a wheelchair over a cliff. The image successfully demonized Ryan and the Republicans as heartless and indifferent to the poor and old. Like televised debates, such ads are now one of the most important modes of communication for both parties.\n\nFinally, the volume of communication both verbal and visual now is huge, the turnover of new commentary and images measured in seconds, and their reach via cell-phone cameras minutely intrusive and immediate. This vast apparatus for rapidly generating 24\/7 new information, opinion, and images confuses fact with fiction, reducing political communication to a form of marketing, or of entertainment that gratifies at the same time it reinforces and manipulates the political ideologies of the consumers. Now we are slaves not just to the ear, as Thucydides's Cleon complained of his fellow Athenians, but to the eye as well.\n\nAccountability of Politicians to the People\n\nThe overweening power of the tyrant does not free him from accountability. As Plato suggested, he must continue to buy the support of the people, or risk losing his power. On the one hand, the vaster scale of US democracy would suggest that modern politicians are less accountable than were those of ancient Athens, a small town in which leaders could be confronted personally in the market and other public spaces, and where intrusive formal procedures of accountability and political trials were common. In early America as well, citizens had opportunities for confronting elected officials face to face. Yet technology has provided the modern voter novel means of applying electoral pressure on their representatives, and punishing those who threaten their interests.\n\nOf course, politicians still have to be elected, and voters who perceive their interests have been neglected can hold politicians accountable on election day. The United States' electoral history is full of representatives, senators, and presidents thrown out of power by disgruntled voters, despite the advantages of incumbency and contributions from special interest lobbies. In the 2010 midterm elections, voters concerned with sluggish economic growth, the Affordable Care Act, and tax rates\u2014all issues that threatened their economic interests\u2014voted sixty-three Democrats out of the House of Representatives, giving control of the House to Republicans in the largest change of seats since 1948. But high-tech forms of accountability have arisen that increase the scope and intensity of voter disapproval or anger beyond the voting booth.\n\nThe new media discussed above obviously can be used to express voters' feelings and opinions almost minute by minute. An ancient Athenian office-holder might be accosted in the agora by a disgruntled citizen for a few minutes, or pilloried on the comic stage for a few hours, but he never was bombarded 24\/7 with the incessant opinions and comments filling the millions of blogs, chat rooms, and online magazines, not to mention the attendant sometimes crude and vicious comments. Moreover, much of this commentary is unrestrained by any protocols of decorum, civility, logic, or even truth, with rumors and false charges sharing virtual space with factual information and more serious arguments. Photographs and videos, now instantaneously, and sometimes secretly, recorded on billions of cellular phones, can record a politician's every foible, gaffe, slip of the tongue, or embarrassing faux pas and circulate it to millions of viewers through online sites like YouTube.\n\nThe resulting damage to a candidate's or an office-holder's public reputation can end his career or damage his effectiveness. The anxiety over such public opinion can function as a form of preemptive accountability, as few flawed humans can survive having their lives and words scrutinized so minutely, or be routinely subjected to the irrational, malevolent, or subjective judgments of millions of strangers. Hence political action and speech will be relentlessly subjected not to principle or truth, but to the calculus of possible blowback from social media and Internet sites.\n\nAnother modern mechanism for applying pressure on elected officials is the public opinion survey and the whole panoply of political polling that surrounds campaigns and elections. Over the last fifty years these polls have proliferated, and today more than fifty polling organizations, polls conducted by print and television media, and numerous other commissioned polls generate daily surveys of opinion. To its champions, polling is a manifestation of democracy and equal representation, a way for the mass of people to exert influence and pressure on their elected officials, and for media to scrutinize the claims of support for policies politicians often make.\n\nFor the antidemocrat, however, the assumption that mass public opinion, gleaned from subjective answers to loaded questions, should be considered of equal value to factual knowledge or greater wisdom, and thus can form the basis of political action, is dangerous. As we saw in Chapter 1, Socrates made the reliance on the uninformed, self-interested, or irrational opinions of the mass citizenry the fatal flaw of Athenian democracy. In his day the orators in the Assembly and the comic poets were the purveyors and validators of these shifting and irrational opinions. Today constant polling and surveys, their results instantly and widely disseminated through mass media, have magnified the power of opinion far beyond anything Socrates could have imagined. These data from polls and surveys, moreover, consistently determine the political decisions Congress and the president make, and so serve as councilors to government that bypass the constitutional machinery of checks and balances. As political philosopher Robert Weissberg writes, \"The national sample stealthily surmounts the firewalls of decentralized federalism. Constitutional designs impeding public outbursts (e.g., calendar fixed elections, supermajorities) are now rendered obsolete by the majoritarian 'morning after' survey.... The once feared, excited vox populi now provides wise counsel,\" and \"unveiled, distorted appetites are then artfully raised up to legitimate democratic instructions.\"86\n\nThis intense subjection of politicians to voter displeasure or even whim has made it difficult, if not impossible, to reform the entitlement programs whose costs are the drivers of increasing debt and deficits. As New York Times columnist David Brooks writes, \"Many voters have decided they like spending a lot on themselves and pushing costs onto their children and grandchildren. They have decided they like borrowing up to $1 trillion a year for tax credits, disability payments, defense contracts and the rest. They have found that the original Keynesian rationale for these deficits provides a perfect cover for permanent deficit-living. They have made it clear that they will destroy any politician who tries to stop them from cost-shifting in this way.\"87\n\nRadical Egalitarianism\n\nThe ancient critics of democracy warned against the degeneration of equality of opportunity and equality under the law into radical egalitarianism, which as Aristotle said, \"arises out of the notion that those who are equal in any respect are equal in all respects; because men are equally free, they claim to be absolutely equal.\"88 In 1835 Tocqueville recognized this same tendency in the United States. He contrasted the \"manly and lawful passion for equality\" that spurred men to advance their station, with a \"depraved taste for equality, which impels the weak to attempt to lower the powerful to their own level.\"89 This sort of equality necessarily demands equality of result, no matter how deficient anyone is in talent, ability, brains, industry, or even luck. The founding generation fretted constantly over what they called a \"leveling spirit,\" the desire for absolute equality and the destruction of distinctions of talent and achievement among citizens that give the lie to radical egalitarianism.\n\nThis \"leveling spirit,\" moreover, was the dynamic for redistributing property, as differences of wealth are the daily, concrete reminder of those distinctions. As Madison wrote in The Federalist 10, \"From the protection of different and unequal faculties of acquiring property, the possession of different degrees and kinds of property immediately results: and from the influence of these on the sentiments and views of the respective proprietors, ensues a division of the society into different interests and parties.\"90 Hence the Progressive focus on class distinctions and \"fiscal justice\" as great evils to be remedied by the federal government, for they perpetuate the \"different interests and parties\" that impair the national unity Progressives believed to be necessary for the country's well-being and achievement of \"social justice.\"\n\nEqualization of wealth through redistributive policies continues to be a major expression of radical egalitarianism. \"Income inequality,\" for example, is routinely decried as a great injustice, as happened in December 2013 when President Obama condemned \"a dangerous and growing inequality and lack of upward mobility.\"91 Yet in today's United States, this concern is a dubious clich\u00e9 of class-warfare rhetoric. In fact, when the value of government transfers such as Medicaid and the Earned Income Tax Credit are included in calculating income, income inequality actually declined 1.8 percent between 1993 and 2009.92 But the class-warfare rhetoric of \"income inequality\" justifies the redistributionist and entitlement policies that in turn require an expanded federal government and its intrusive powers.\n\nThe Progressive expansion of \"rights,\" however, such as the \"right\" to a more equitable income, was accompanied by an expansion of equality to include not just wealth, but the satisfaction of subjective \"needs.\" Frank Giddings, a sociologist at Columbia University, specified these \"equal needs\" in his 1898 book Democracy and Social Organization: \"opportunity for expansion and development of life,\" \"human sympathy and companionship,\" and \"emancipation from fear,\" all of which Giddings posited as comprising the \"fundamental demand of democracy\" that must be satisfied by the government. Other \"modes of equality\" that Giddings claimed \"must be sedulously maintained in a democratic community\" included \"equality of sanitary conditions,\" \"certain means of recreation and culture,\" \"fair play,\" \"courtesy,\" and \"regard for certain fundamental social values\" such as \"respect for expert knowledge.\" This utopian laundry list of psychic goods once thought the consequence of individual talent, hard work, inclination, virtue, or luck can be realized only by a coercive governmental power intruding into social and economic life to compensate for the unequal distribution of those advantages and resources among the citizens.93\n\nWe have progressed far beyond Giddings's expansive definition of equality. As political philosopher Kenneth Minogue points out, today \"almost any kind of inequality counts as oppression,\" making \"a fully democratic society as one that makes available to each of its members the full panoply of benefits in, and appropriate to, a modern society. They range from material things on the one hand to respect and attention on the other.\"94 Political and social institutions must now validate subjective perceptions of the esteem people feel they deserve, something even the egalitarian Athenians only entertained in the fantasies of comedies like Aristophanes' Women at Assembly, in which laws are passed that compel the attractive young to become the sexual partners of the homely old.\n\nThis concern with the impact of inequality on the psyches and self-esteem of citizens is something peculiar to the modern world. It is in part a consequence of the unprecedented spread of wealth and improvement in material existence to millions once mired in poverty and deprivation. This success has seemingly repudiated the tragic view of a flawed human nature limited by a world filled with want, scarcity, and risk, a world in which the only equality is that of everyone's vulnerability to all these contingencies. For us, on the contrary, since the technological means have been created to mitigate physical wants and provide material goods to more and more people, we believe that knowledge and techniques must exist for creating an equality of psychic well-being as well, if only the unjust economic, political, and social structures that presumably create this unhappiness and disrespect can be improved.\n\nAnd just as inequality of property is a problem for a powerful federal government to correct by redistributing property, so too coercive laws and regulations are created to eliminate or improve whatever unjust social and economic structures damage the self-esteem and happiness of citizens, and to punish those complicit in perpetuating inequality, particularly for those deemed victims of previous social or political oppression. This coercive power, Minogue writes, reduces the individual's autonomy and creates the \"structural conditions of the servile mind,\" including \"the legal and regulatory structures designed to protect one or other abstract category in the community from being harassed, offended, damaged in self-esteem, or made to suffer many other things officially construed as oppressive.\"95 Hate speech regulations and sexual harassment laws, which frequently abridge the First Amendment right to free speech, are examples of the coercive power of the state directed toward elevating the esteem and psychic well-being of selected groups at the expense of others. Just as the antidemocratic tradition predicts, the masses who turn to a centralized power to bestow equality end up finding it in their equal subjection to a tyrant. As Tocqueville said, radical egalitarianism \"reduces men to prefer equality in slavery to inequality with freedom.\"96\n\nFreedom Degenerates into License\n\nAncient critics of democracy agreed that political freedom was not the ability to live as one likes\u2014indulging every transient desire or gratifying every appetite\u2014but to live subject to the limits of law both written and unwritten, the only life suitable for a rational and virtuous human being. Thus a state designed for political freedom should aim to achieve moral \"excellence,\" as Aristotle writes, and \"to make the citizens good and just.\"97 Democracy, on the other hand, by empowering the many despite their lack of virtue or wisdom, will create citizens who, as Plato says, call \"anarchy liberty\" and give themselves over to \"the freedom and libertinism of useless and unnecessary pleasures.\"98 The founding generation agreed, continually fretting over the degeneration of democracy into license and ultimately tyranny. \"The known propensity of a democracy,\" Fisher Ames wrote, \"is to licentiousness, which the ambitious call, and the ignorant believe to be, liberty.\" For, as Ames continues, \"The individual who is left to act according to his own humor is not governed at all; and if any considerable number, and especially any combination of individuals, find or can place themselves in this situation, then the society is no longer free. For liberty obviously consists in the salutary restraint, and not in the uncontrolled indulgence of such humors.\"99\n\nIn the United States today, ordered liberty has indeed been reduced for many to mere license, as the ancients predicted and the founders feared. Two developments of modernity have contributed to this process. The first has been secularization, the driving of religion from the public square and the reduction of it to a private lifestyle choice no more significant than any other. In contrast, the Founders were united in believing that political order and freedom for the many depended on the transcendent sanctions of religion to restrain the fallen nature of people and their destructive appetites. George Washington's remarks in his 1796 Farewell Address express this widespread belief: \"Of all the dispositions and habits which lead to political prosperity, religion and morality are indispensable supports,\" the \"firmest props of the duties of men and citizens.... Whatever may be conceded to the influence of refined education on minds of peculiar structure, reason and experience both forbid us to expect that national morality can prevail in exclusion of religious principle.\"100 Only through religious faith can the moral order created by \"Nature's God\" and the \"Supreme Judge of the world,\" as the Declaration of Independence put it, marginalize license and appetitive self-indulgence, and minimize its power to sanction destructive behavior. Without these internal restraints, only the all-powerful state, managed by flawed humans susceptible to the corruption of power, will be the authority for regulating people's lives and behavior, one subject not to transcendent morality and disinterested principle, but to the political preferences and interests of those in power.\n\nThe erosion of religious authority has facilitated the other development of modernity that changes ordered liberty into license\u2014the \"sexual revolution.\" The managers of the Leviathan state have understood that sexuality is the most effective appetite to exploit in order to distract people from their loss of political autonomy and independence. The consequences of the sexual revolution\u2014cheap contraception, destruction of sexual taboos, widely available pornography, the sexualization of popular culture and the Public Square, and at-will abortion\u2014have legitimized sexual indulgence and helped to erode the classical political virtues of self-control and restraint. At the same time, by separating sex from procreation, sexual license has weakened the family as an intermediary authority between the individual and the state, which has encouraged this license with government-funded birth control and abortions, and with public school curricula that legitimize and encourage it. Sexual freedom\u2014which is in fact what the ancients would have called the enslavement of the mind to the body's pleasures\u2014has now replaced political freedom and autonomy as the highest expression of liberty.\n\nAll these novel developments of the modern world that magnify the traditional dangers of democracy are mutually reinforcing, and together work to empower the Leviathan state and insidiously erode the freedom and autonomy of citizens. James Kalb has expressed well this nexus inherent in the \"managerial liberal regime\": \"What defines that regime is the effort to manage and rationalize social life in order to bring it in line with comprehensive standards aimed at implementing equal freedom. The result is a pattern of governance intended to promote equality and individual gratification and marked by entitlement programs, sexual and expressive freedoms, blurred distinctions between the public and the private, and the disappearance of self-government.\"101 As Plato predicted, \"drunk on the wine of freedom,\" the citizens will sacrifice ordered liberty and personal responsibility as long as the state subsidizes their licentious self-indulgence with wealth transfers through entitlement programs.\n\nThe Dangers of Modern Democratic Foreign Policy\n\nThe substitution of verbal deliberation and procedure for coercion is the glory of constitutional governments. Yet as the history of ancient Athens shows, verbal processes of decision-making can be dangerous for foreign policy. Deliberation and diplomacy too often become excuses for avoiding military force when citizens and politicians do not want to pay the costs in lives and money required for timely action. The frequent election cycles and accountability of policy-makers to voters typical of democracy also make the long-range planning vital for foreign policy difficult. In 1835 Tocqueville recognized these dangers, remarking that a \"clear perception of the future, founded upon judgment and experience... is frequently wanting in democracies. The people are more apt to feel than to reason; and if their present sufferings are great, it is to be feared that the still greater sufferings attendant upon defeat will be forgotten.\" Particularly in foreign affairs, \"a democracy can only with great difficulty regulate the details of an important undertaking, persevere in a fixed design, and work out its execution in spite of serious obstacles. It cannot combine its measures with secrecy or await their consequences with patience.\"102 Winston Churchill agreed, attributing the slaughter of World War II partly to \"the structure and habits of democratic states,\" which \"lack those elements of persistence and conviction which can alone give security to the humble masses,\" and in which \"even in matters of self-preservation, no policy is pursued for even ten or fifteen years at a time.\"103\n\nThe United States' foreign policy over the last decade under both political parties has illustrated these weaknesses. The resort to diplomatic engagement to provide cover for inaction is most obvious in the failure to keep North Korea from obtaining nuclear weapons. Three decades of talks, UN resolutions, International Atomic Energy Agency inspections, interim agreements, \"agreed frameworks,\" sanctions, and \"moratoriums\" ended up with a rogue state in possession of nuclear weapons. Despite that failure, the same scenario is unfolding with regard to Iran's nuclear weapons program. In November 2013, President Obama announced that Iran had agreed to talk again in six months, in exchange for the West's loosening of some economic sanctions and Iran's promises merely to slow down enrichment\u2014negating seven UN Security Council resolutions that it must halt enrichment\u2014and to admit inspectors. This sort of futile diplomatic engagement functions as political cover for the administration and much of the US population, who are unwilling to risk military force to compel Iran to abandon its weapons program. Meanwhile Iran, like North Korea before it, can manipulate the diplomatic process to buy time for reaching its goal of a nuclear weapon, with serious consequences for the United States' security and interests.\n\nSimilarly, the withdrawal of US troops from Iraq at the end of 2011, without a status-of-forces agreement sanctioning a US military presence, reflected the war-weariness of many politicians and US citizens, despite the risk that a precipitate withdrawal would squander the lives and money expended over the previous decade in order to eliminate Iraq as a threat to the United States' interests. So too with the announced withdrawal from Afghanistan by the end of 2014. As Tocqueville warned, the short-term benefits of ending the expenditure of money and lives take precedence over the long-term dangers that the gains made against the Taliban will be wasted, and a terrorist organization hostile to our security and interests will once more find safe harbor, the very danger the war was fought to avoid.\n\nAs in ancient Athens, these shortsighted decisions in part reflect the desire to spend money on social welfare entitlements rather than on defense. The irony is that the cost of the wars in Afghanistan and Iraq over eleven years, $1.4 trillion, was only 4 percent of federal spending, and nine-tenths of 1 percent of the $163 trillion the economy produced during that same period.104 Yet spending any amount of money on butter rather than guns is frequently the favorite option for democracies in which federal transfers benefit so many citizens. Thus the \"sequester\" cuts mandated by the 2011 Budget Control Act called for half a trillion dollars in defense cuts over the next decade, half the amount of all reductions, while the main drivers of the deficit, Social Security, Medicare, and Medicaid, were left untouched. Just as the ancient Athenians in the fourth century BC preferred to spend money on state pay for themselves rather than on defense, many citizens today seem concerned less with preparing for the future threats to the United States' security and interest, than with ensuring that entitlement spending continues.\n\nIn addition to these traditional weaknesses of democratic foreign policy, modernity has added another, idealistic democracy promotion, something unknown to the Athenian democracy, which promoted democratic government in other city-states, often by the sword, in order to defend Athens's economic and imperial interests. Today democracy promotion reflects an idealistic internationalism based not on a balance of power codified in treaties that mutually serve the interests of sovereign nations, but on an ideal of progress beyond war to a world unified in its pacific beliefs and aims. Assuming that all peoples everywhere desire the same goods as Westerners\u2014especially economic development, political freedom, human rights, and peace\u2014this ideal looks to transnational organizations and international treaties to adjudicate conflict through verbal processes and negotiations, and to promote the creation of liberal democracy and free-market economies in order to bestow freedom and prosperity on those lacking them. One of the early international treaties embodying this ideal, the First Hague Conventions, set out these goals in 1899: \"the maintenance of the general peace\" through \"the friendly settlement of international disputes,\" based on the \"solidarity which unites the members of the society of civilized nations\" and their desire for \"extending the empire of law, and of strengthening the appreciation of international justice.\"105\n\nThis foreign policy idealism has attracted presidents from both parties for nearly a century. The Progressive Woodrow Wilson found it congenial, basing the entry of the United States into World War I in part on the notion that global order depended on the spread of democracy. In his 1917 speech asking Congress for a declaration of war against Germany, Wilson said that the purpose of the war was \"to vindicate the principles of peace and justice in the life of the world as against selfish and autocratic power,\" for \"peace can never be maintained except by a partnership of democratic nations.\" Thus \"the world must be made safe for democracy. Its peace must be planted upon the tested foundations of political liberty.\" The people of the United States \"are but one of the champions of the rights of mankind. We shall be satisfied when those rights have been made as secure as the faith and the freedom of nations can make them.\" Implicit in Wilson's remarks is the idea that freedom, democracy, and peace are the default political goals for the whole world.106\n\nAfter the end of the Cold War with the collapse of the Soviet Union, the Wilsonian dream of using foreign policy to promote democracy was given new life. President George H. W. Bush sounded the Wilsonian note in his 1991 State of the Union address delivered during the first Gulf War against Iraq. The fast-approaching disintegration of the Soviet Union seemingly confirmed the triumph of democracy and the establishment of \"a new world order,\" Bush said, \"where diverse nations are drawn together in common cause to achieve the universal aspirations of mankind\u2014peace and security, freedom, and the rule of law.\" The Gulf War against Saddam Hussein was in part motivated by this idealism, even if more realist goals of protecting Saudi Arabia and its oil reserves were no doubt more important.107\n\nDespite the subsequent bloody global conflicts, civil wars, al-Qaeda's terrorist attacks, and the brutal ethnic cleansing in Sudan and the Balkans that marred the 1990s, the democracy dream maintained it potency. President George W. Bush, in the 2002 National Security Strategy, defined the foreign policy of the United States as promoting a \"single sustainable model for national success: freedom, democracy, and free enterprise,\" for \"these values of freedom are right and true for every person, in every society.\" Thus the United States will strive \"to extend the benefits of freedom across the globe. We will actively work to bring the hope of democracy, development, free markets, and free trade to every corner of the world.\"108 Bush returned to these themes in January 2005 in his inaugural address, in which he linked US security and global peace to the \"force of human freedom\" and the expansion of democracy: \"The survival of liberty in our land increasingly depends on the success of liberty in other lands. The best hope for peace in our world is the expansion of freedom in all the world.\"109 The wars in Afghanistan and Iraq were fought not just to drive out the Taliban and destroy Hussein's regime, but also to create political freedom and democratic institutions.\n\nBarack Obama, though as a senator he was a critic of such \"nation-building,\" as president has at least in his rhetoric endorsed these same goals. As he said on June 4, 2009, in his Cairo speech, \"I do have an unyielding belief that all people yearn for certain things: the ability to speak your mind and have a say in how you are governed; confidence in the rule of law and the equal administration of justice; government that is transparent and doesn't steal from the people; the freedom to live as you choose. These are not just American ideas; they are human rights. And that is why we will support them everywhere.\"110\n\nIn his September 2012 remarks at the UN, Obama again reprised the tradition of US idealism stretching back to Woodrow Wilson. He endorsed \"the notion that people can resolve their differences peacefully; that diplomacy can take the place of war; that in an interdependent world, all of us have a stake in working towards greater opportunity and security for our citizens.\" He said the United States supported the various Arab Spring revolts because \"we recognized our own beliefs in the aspirations of men and women who took to the streets\" and \"our support for democracy put us on the side of the people.\" Echoing George W. Bush, Obama asserted, \"Freedom and self-determination are not unique to one culture. These are not simply American values or Western values\u2014they are universal values.\" Obama also endorsed the ability of democracy to change the world: \"I am convinced that ultimately government of the people, by the people and for the people is more likely to bring about the stability, prosperity, and individual opportunity that serve as a basis for peace in our world.\"111\n\nDespite this soaring rhetoric, so far the record of democracy promotion over the last twenty years has been dismal. Globally, Freedom House records 122 electoral democracies, yet the number of countries designated as free stands at 88, two fewer than the previous year.112 The Middle East, the main focus of this country's democracy's promotion over the last decade, illustrates this trend. Iraq is again subjected to terrorist violence at the hands of a reinvigorated al-Qaeda, and the government has grown closer to Iran, the leading state supporter of terrorism and an inveterate enemy of the US. Afghanistan appears increasingly unlikely to ward off a resurgent Taliban once US forces leave. The Arab Spring revolts that many believed to herald democratization in the Muslim Middle East have either empowered Islamist factions, as in Libya and Tunisia; restored illiberal regimes, as in Egypt; or degenerated into brutal civil war, as in Syria. This failure is consistent with other efforts to build democracy in Somalia, South Sudan, Haiti, Bosnia, and Kosovo.113\n\nThis failure reflects the modern naivet\u00e9 about the conditions required for genuine liberal democracy and political freedom to flourish, since these are, as Michael Mandelbaum points out, \"embodied in institutions, which operate through habits and skills and are supported by values. All take time to develop, and they must develop independently and domestically; they cannot be imported ready-made.\"114 Moreover, there is no historical evidence that the desire to live as one wants and to participate in governing one's community, hallmarks of democracies, necessarily trumps all other goods and aims that humans desire and pursue. People also desire security and protection from danger, including the consequences of their own choices, as much as or at times even more than freedom. They often cherish group loyalty and communal obligations, fealty to their gods and religious doctrines, national, tribal, or ethnic identity and its honor, revenge against enemies, martial glory, conquest and domination of other peoples, or various ideologies more than they prize freedom and prosperity, and often will trade away the latter in order to honor or obtain those other goods.\n\nDifferent cultures with different histories will not, then, always find the boons of liberal democracy as self-evident or as superior to other goods as we. As diplomat and political philosopher George Kennan in 1977 observed, \"I know of no evidence that 'democracy'... is the natural state of most of mankind,\" as it has \"a relatively narrow base both in time and in space; and the evidence has yet to be produced that it is the natural form of rule for peoples outside those narrow perimeters.... Those Americans who profess to know with such certainty what other people want and what is good for them in the way of political institutions would do well to ask themselves whether they are not actually attempting to impose their own values, traditions, and habits of thoughts on peoples for whom these things have no validity and no usefulness.\"115 The dangers of this attitude have been particularly obvious in the failure of the \"Arab Spring\" revolts, where an obsession with the act of democratic voting\u2014as the Freedom House data above show, something not necessarily indicative of freedom\u2014as a self-evident good obscured the risk of empowering an illiberal, intolerant political order of the sort that in the event many of the newly liberated people voted for. Elsewhere too, the \"one-size-fits-all democratization strategy,\" as Joshua Kurlantzick calls it, has led to a global retreat from democracy in recent years that threatens dangerous consequences for our national security and interests.116\n\nThe point is not that all peoples would not in fact eventually prefer to live under a liberal democratic government that gives them freedom and economic opportunity, rules by law rather than arbitrary force, and respects human rights. The patterns of emigration from autocracies and dictatorships to the free, prosperous West suggests otherwise. Rather, what is dangerous is the notion that any country, no matter how militarily powerful or well intentioned, can create democracy, which took twenty-three hundred years to develop in the West, in other countries lacking that long history, without an open-ended commitment of military forces, and an intrusive control over their governments and economies redolent of nineteenth-century imperialism.\n\nThe impatience of democracies with even short-term expenditures of lives and money makes such a long-term commitment unlikely, particularly in the United States, with its traditional distrust of Thomas Jefferson's \"entangling alliances,\" imperialism, and military involvement abroad.117 From its beginnings, as John Quincy Adams famously said in 1821, while a \"well-wisher to the freedom and independence of all,\" America \"goes not abroad, in search of monsters to destroy,\" and has preferred to promote democracy \"by the countenance of her voice, and benign sympathy of her example.\"118 That preference is still a powerful part of the United States' political DNA.\n\nYet we live in a world very different from that of John Quincy Adams, when protected by two oceans the United States could more easily stand aloof from disorders and conflicts abroad. Today a foreign policy actively focused on democracy promotion risks not just the failure of that project and its cost in blood and resources, but also that failure in turn fostering an isolationist sentiment such as we have experienced over the last few years. We heard such traces of isolationism in President Obama's call in July 2012 for \"some nation-building here at home,\" and the claim in his Second Inaugural address not that two wars had been won in Iraq and Afghanistan, but that \"a decade of war is now ending\" even as victory in both countries is still in doubt.119 These remarks reflect public sentiment. In December 2013, 52 percent of the US population thought the United States \"should mind its own business internationally and let other countries get along the best they can on their own,\" a forty-year low in support for US global leadership.120 Unfortunately, a globalized economy knit together by trade, mass media, and jet travel, and threatened by various aggressors from illiberal nations to murderous terrorist organizations, requires a global power subject to law and accountability, and founded on respect for human rights and freedom, to maintain the order necessary for that global economy to function. At this point in history, the United States is the only nation possessing those critical virtues and the requisite military and economic power, which make it capable and worthy enough to be trusted with that responsibility. Turning our back on it will create a world more dangerous for our security and interests.\n\nA Kinder, Gentler Leviathan\n\nSpeaking before the Virginia constitutional ratifying convention in 1788, James Madison warned, \"Since the general civilization of mankind, I believe there are more instances of the abridgment of the freedom of the people by gradual and silent encroachments of those in power, than by violent and sudden usurpations.\" Madison made republics an exception to this general rule, for \"turbulence, violence, and abuse of power, by the majority trampling on the rights of the minority, have produced factions and commotions, which, in republics, have, more frequently than any other cause, produced despotism.\"121\n\nThe modern United States has disproven Madison's exception, which was consistent with the predictions of democracy's degeneration into tyranny made by ancient critics like Plato, Aristotle, and Polybius. Over the last two centuries, the growth of the federal government at the expense of state sovereignty and citizen self-rule, the legal redistribution of property to fund entitlements that sap the virtue and independence of citizens, and the modern variations of the traditional flaws of democracy have created the conditions for Tocqueville's \"softer despotism,\" which has aggrandized power with \"gradual and silent encroachments\" on the people's freedom and autonomy.\n\nTocqueville's justly famous 1840 description of democratic despotism is astonishing in its prescience, and an uncanny prediction of the political and social transformation a century of Progressive ideology has wrought in the United States. Such a tyranny, Tocqueville writes, unlike the violent despots of the past \"would be more extensive and more mild, it would degrade men without tormenting him.\" Egalitarianism, license, and atomistic individualism would contribute to this degradation of \"an innumerable multitude of men, all equal and alike, incessantly endeavoring to procure the petty and paltry pleasures with which they glut their lives. Each of them, living apart, is as a stranger to the fate of the rest... he exists only in himself and for himself alone; and if his kindred still remain to him, he may be said at any rate to have lost his country.\"122\n\nSuch a people will submit to being governed by \"an immense and tutelary power, which takes upon itself alone to secure their gratifications and to watch over their fate,\" a power \"absolute, minute, regular provident, and mild,\" and one that, like our federal regulatory regime, \"covers the surface of society with a network of small complicated rules, minute and uniform, through which the most original minds and the most energetic characters cannot penetrate.\" And like the Progressive ideal of a state-provided \"decent life\" and happiness for the people, Tocqueville's mild tyrant seeks \"to keep them in perpetual childhood: it is well content that the people should rejoice, provided they think of nothing but rejoicing. For their happiness such a government willingly labors, but it chooses to be the sole agent and the only arbiter of that happiness; it provides for their security, foresees and supplies their necessities, facilitates their pleasures, manages their principal concerns, directs their industry, regulates the descent of property, and subdivides their inheritances: what remains, but to spare them all the care of thinking and all the trouble of living?\"123 Under this regime, the machinery of representative government will not avail to call the citizens back to autonomy and self-rule: \"It is indeed difficult to conceive how men who have entirely given up the habit of self-government should succeed in making a proper choice of those by whom they are to be governed; and no one will ever believe that a liberal, wise, and energetic government can spring from the suffrages of a subservient people.\"124\n\nAnd so the dangers and discontents of democracy catalogued in the 24 centuries of the antidemocratic tradition lead not to the violent tyranny prophesized by the ancients and feared by the Founders, but to the modern big-government, regulatory welfare state, a kinder and gentler Leviathan, but one no less inimical to freedom.\n\n1. Histories 6.9, trans. Ian Scott-Kilvert (Harmondsworth, England, 1979), 309.\n\n2. Notes on the State of Virginia (1782); in Writings, ed. Merrill D. Peterson (New York, 1984), 246.\n\n3. Republic 562d\u2013e, 565a, trans. Jowett.\n\n4. Politics 1292a, 1304b\u20135a, trans. Jowett.\n\n5. \"The Dangers of American Liberty,\" in The Works of Fisher Ames, vol. 2, ed. Seth Ames (1854; Boston, 1971), 382.\n\n6. Democracy in America, vol. 2, 316.\n\n7. American Progressivism, eds. Ronald J. Pestritto and William J. Atto (Lanham, MD, 2008), 2\u20133.\n\n8. Theodore Roosevelt's First Inaugural Message, http:\/\/www.presidency.ucsb.edu\/ws\/?pid=29542#ixzz2g8B5eBFz.\n\n9. Roosevelt's First Inaugural Message.\n\n10. Woodrow Wilson, The New Freedom, <http:\/\/www.gutenberg.org\/files\/14811\/14811-h\/14811-h.htm#II>.\n\n11. In American Progressivism, 211.\n\n12. In American Progressivism, 36.\n\n13. Wilson, The New Freedom.\n\n14. Woodrow Wilson, 1916 speech, http:\/\/books.google.com\/books?id=-rIqAAAAYAAJ&pg=RA9-PA11&dq=PITTSBURGH#v=onepage&q=PITTSBURGH&f=false.\n\n15. Thomas Jefferson's First Inaugural Address <http:\/\/avalon.law.yale.edu\/19th_century\/jefinau1.asp>.\n\n16. In Remini, The Legacy of Andrew Jackson, 14.\n\n17. In The Collected Works of Abraham Lincoln, 376.\n\n18. In American Progressivism, 217, 220\u201321.\n\n19. In Paul D. Moreno, The American State from the Civil War to the New Deal (Cambridge, England, 2013), 113.\n\n20. Wilson, The New Freedom.\n\n21. In The Social and Political Thought of American Progressivism, ed. Eldon J. Eisenach (Indianapolis, 2006), 33\u201335, 37. Emphases in original.\n\n22. In Jonah Goldberg, Liberal Fascism (New York, 2007), 97.\n\n23. Herbert Croly, The Promise of American Life, <http:\/\/www.gutenberg.org\/files\/14422\/14422-h\/14422-h.htm#CHAPTER_IX>.\n\n24. Herbert Croly, <http:\/\/www.gutenberg.org\/files\/14422\/14422-h\/14422-h.htm#CHAPTER_I>.\n\n25. In American Progressivism, 243\u201344.\n\n26. From The American Conception of Liberty, in American Progressivism, 62\u201363.\n\n27. In Bernard C. Borning, The Political and Social Thought of Charles A. Beard (1962; Westport, CT, 1984), 76. In Moreno, 112.\n\n28. Croly, <http:\/\/www.gutenberg.org\/files\/14422\/14422-h\/14422-h.htm#CHAPTER_IX>.\n\n29. In American Progressivism, 192, 194\u201395, 199, 201. Emphasis in original.\n\n30. In American Progressivism, 200. Emphasis in original.\n\n31. In Eisenach, 258. Lippmann later acknowledged the totalitarian dangers of statism in his 1937 book The Good Society.\n\n32. The Autobiography of Theodore Roosevelt, ed. Wayne Andrews (New York, 1958), 197, 198.\n\n33. In Moreno, 89\u201390.\n\n34. Woodrow Wilson, \"Leaders of Men,\" <http:\/\/teachingamericanhistory.org\/library\/document\/leaders-of-men>. Emphases in original.\n\n35. In American Progressivism, 156\u201357. See Goldberg, Liberal Fascism, 78\u2013120, for how Wilson's presidency embodied these ideas.\n\n36. In The Birth of the New Party or Progressive Democracy, ed. George Henry Payne (Naperville, IL, 1912), 283, 288\u201390, 294. Barrack Obama, <http:\/\/www.tampabay.com\/news\/perspective\/joe-the-plumber-a-transcript\/858299>.\n\n37. Moreno, 166.\n\n38. In Ralph A. Rossum, Federalism, The Supreme Court, and the Seventeenth Amendment (Lanham, MD, 2001), 191.\n\n39. In Rossum, 202.\n\n40. Soft Despotism, 245\u201346.\n\n41. Moreno, 144.\n\n42. The Present Age (Indianapolis, IN, 1988), 45\u201346, 48.\n\n43. Franklin D. Roosevelt, campaign address, http:\/\/www.presidency.ucsb.edu\/ws\/?pid=88391#axzz2fkyxDHJY.\n\n44. Democratic Party Platform of 1936, http:\/\/www.presidency.ucsb.edu\/ws\/index.php?pid=29596#axzz2jRPpY6RQ.\n\n45. Roosevelt, acceptance speech for renomination, http:\/\/www.presidency.ucsb.edu\/ws\/?pid=15314#axzz2jd7pnWIS.\n\n46. Roosevelt's First Inaugural Address, <http:\/\/millercenter.org\/president\/speeches\/detail\/3280>.\n\n47. Moreno, 304.\n\n48. In Goldberg, Liberal Fascism, 158.\n\n49. In Moreno, 258.\n\n50. Never Enough (2010; New York, 2012), 74.\n\n51. Roosevelt, acceptance speech for renomination.\n\n52. \"FDR's Second Bill of Rights,\" <http:\/\/www.heritage.org\/initiatives\/first-principles\/primary-sources\/fdrs-second-bill-of-rights>.\n\n53. Voegeli, 91.\n\n54. Soft Despotism, Democracy's Drift, 261.\n\n55. Moreno, 258, 294.\n\n56. In The Constitution of Liberty (1960; Chicago, 2011), 409\u201310.\n\n57. In A Nation of Takers (West Conshohocken, PA, 2012), 23.\n\n58. See <http:\/\/www.cms.gov\/Research-Statistics-Data-and-Systems\/Statistics-Trends-and-Reports\/ReportsTrustFunds\/Downloads\/TR2013.pdf>.\n\n59. Alyene Senger, \"Obamacare's Impact on Today's and Tomorrow's Taxpayers,\" <http:\/\/www.heritage.org\/research\/reports\/2013\/08\/obamacares-impact-on-todays-and-tomorrows-taxpayers-an-update>.\n\n60. One exception is the 1988 Medicare Catastrophic Coverage Act, which was repealed sixteen months later.\n\n61. Never Enough, 228.\n\n62. Data at <http:\/\/www.cbo.gov\/sites\/default\/files\/cbofiles\/attachments\/01-30-FedPay.pdf>.\n\n63. The executive order expanded on the 1969 National Environmental Policy Act, and was reviewed and approved by Congress.\n\n64. Clyde Wayne Crews Jr., \"The Ten Thousand Commandments,\" <http:\/\/cei.org\/studies\/ten-thousand-commandments-2013>.\n\n65. Crews, \"The Ten Thousand Commandments.\" For Dodd-Frank, see <http:\/\/www.davispolkportal.com\/infographic\/july2013infographic.html>.\n\n66. Cato Institute, \"Economic Freedom of the World,\" <http:\/\/www.cato.org\/economic-freedom-world>.\n\n67. Amy Payne, \"This Is Not a Ranking We Should Be Proud Of,\" <http:\/\/blog.heritage.org\/2014\/01\/14\/economic-freedom-u-s-dropping-rankings>.\n\n68. Data at: <http:\/\/www.heritage.org\/research\/reports\/2013\/08\/federal-spending-by-the-numbers-2013>.\n\n69. Robert Rector, \"How the War on Poverty Was Lost,\" Wall Street Journal (January 8, 2014), http:\/\/online.wsj.com\/news\/articles\/SB10001424052702303345104579282760272285556?mod=WSJ_Opinion_LEADTop.\n\n70. See <http:\/\/www.frbsf.org\/economic-research\/publications\/economic-letter\/2013\/june\/future-social-security-disability-insurance-ssdi>; and http:\/\/online.wsj.com\/news\/articles\/SB10001424052702304753504579282293690041708?mod=WSJ_hps_LEFTTopStories.\n\n71. CBO, \"Overview of Supplemental Nutrition Assistance Program,\" <http:\/\/www.cbo.gov\/publication\/43175>.\n\n72. Rachel Sheffield, \"Guess What Group Is Getting Food Stamps at an Alarming Rate,\" <http:\/\/blog.heritage.org\/2014\/01\/16\/guess-group-getting-food-stamps-alarming-rate>.\n\n73. Census Bureau, <http:\/\/www.census.gov\/sipp\/tables\/quarterly-est\/household-char\/hsehld-char-11.html>. Through payroll taxes workers do contribute to Social Security and Medicare benefits, but not nearly enough to cover the total costs. Most people at all income levels on average will receive two to five times more in benefits from both programs than they paid in, depending on income and family size. See Philip Moeller, \"The Best Life,\" US News and World Report (July 1, 2011), <http:\/\/money.usnews.com\/money\/blogs\/the-best-life\/2011\/07\/01\/seniors-dont-pay-full-medicare-social-security-share>.\n\n74. For these data see compilation of Congressional Budget Office Data at <http:\/\/www.heritage.org\/research\/reports\/2013\/08\/federal-spending-by-the-numbers-2013>.\n\n75. USA Debt Clock, <http:\/\/www.usadebtclock.com>; $200 trillion: Niall Ferguson, The Great Degeneration (New York, 2012), 42.\n\n76. OECD, \"Alternative Measures of Progressivity of Taxes,\" <http:\/\/www.keepeek.com\/Digital-Asset-Management\/oecd\/social-issues-migration-health\/growing-unequal_9789264044197-en#page109>. European countries acquire additional income to finance their welfare transfers from regressive taxes such as the Value Added Tax, a tax on consumption that hits all income groups.\n\n77. See CBO, The Distribution of Household Income and Federal Taxes, <http:\/\/www.cbo.gov\/sites\/default\/files\/cbofiles\/attachments\/44604-AverageTaxRates.pdf>.\n\n78. Gerald Prante and Scott Hodge, Tax Foundation, \"The Distribution of Tax and Spending Policies in the United States,\" <http:\/\/taxfoundation.org\/article\/distribution-tax-and-spending-policies-united-states>.\n\n79. In Democracy and Political Ignorance (Stanford, 2013), 17.\n\n80. Somin, 22, 17\u201319.\n\n81. Somin, 197.\n\n82. <http:\/\/www.gallup.com\/poll\/166535\/record-high-say-big-government-greatest-threat.aspx>; <http:\/\/www.washingtonpost.com\/page\/2010-2019\/WashingtonPost\/2013\/10\/22\/National-Politics\/Polling\/release_272.xml>.\n\n83. In The Constitution of Liberty, 412.\n\n84. \"The Dangers of American Liberty,\" in The Works of Fisher Ames, 357.\n\n85. Liberty and the News (New York, 1920), 8.\n\n86. Polling, Policy, and Public Opinion (New York, 2002), 4, 5.\n\n87. \"Another Fiscal Flop,\" January 1, 2013, http:\/\/www.nytimes.com\/2013\/01\/01\/opinion\/brooks-another-fiscal-flop.html?n=Top%2fOpinion%2fEditorials%20and%20Op%2dEd%2fOp%2dEd%2fColumnists%2fDavid%20Brooks&_r=0.\n\n88. Politics 1301a, trans. Jowett.\n\n89. Democracy in America, vol. 1, 53; see also 201.\n\n90. Madison 10, 44.\n\n91. Politico, \"President Obama on Inequality,\" <http:\/\/www.politico.com\/story\/2013\/12\/obama-income-inequality-100662.html>.\n\n92. Kip Hagopian and Lee Ohanian, \"The Mismeasure of Inequality,\" Policy Review (August 2012), <http:\/\/www.hoover.org\/publications\/policy-review\/article\/123566>.\n\n93. In Eisenach, 92\u201393.\n\n94. The Servile Mind (New York, 2010), 37.\n\n95. The Servile Mind, 6.\n\n96. Democracy in America, vol. 1, 53.\n\n97. Politics 1280b, trans. Jowett.\n\n98. Republic 560e\u201361c, trans. Jowett.\n\n99. \"The Dangers of American Liberty,\" 349, 359.\n\n100. George Washington's Farewell Address, <http:\/\/avalon.law.yale.edu\/18th_century\/washing.asp>.\n\n101. The Tyranny of Liberalism (Wilmington, DE, 2008), 5\u20136.\n\n102. Democracy in America, 1.13.\n\n103. The Second World War, vol. 1, The Gathering Storm (1948; New York, 1985), 16.\n\n104. Robert Samuelson, \"Syria and the myth that Americans are 'war weary,' \" Washington Post, September 4, 2013, <http:\/\/www.washingtonpost.com\/opinions\/robert-samuelson-syria-and-the-war-weary-myth\/2013\/09\/04\/cb03c268-1566-11e3-a2ec-b47e45e6f8ef_story.html>.\n\n105. Text of the First Hague Convention, <http:\/\/avalon.law.yale.edu\/19th_century\/hague01.asp>. The following paragraphs adapted from my article \"Obama's Foreign Policy Delusions,\" published October 22, 2012, in Defining Ideas (http:\/\/www.hoover.org\/publications\/defining-ideas\/article\/131041).\n\n106. Woodrow Wilson's War Message to Congress, http:\/\/wwi.lib.byu.edu\/index.php\/Wilson<#213>s_War_Message_to_Congress.\n\n107. George H. W. Bush's State of the Union, http:\/\/www.presidency.ucsb.edu\/ws\/?pid=19253.\n\n108. White House, National Security Strategy, <http:\/\/georgewbush-whitehouse.archives.gov\/nsc\/nss\/2002>.\n\n109. George W. Bush's Second Inaugural Address, <http:\/\/avalon.law.yale.edu\/21st_century\/gbush2.asp>.\n\n110. \"Remarks by the President on a New Beginning,\" <http:\/\/www.whitehouse.gov\/the_press_office\/Remarks-by-the-President-at-Cairo-University-6-04-09>.\n\n111. \"Remarks by the President to the UN General Assembly,\" <http:\/\/www.whitehouse.gov\/the-press-office\/2012\/09\/25\/remarks-president-un-general-assembly>.\n\n112. Freedom House, \"The Democratic Leadership Gap,\" <http:\/\/www.freedomhouse.org\/report\/overview-fact-sheet#.UuFPHaWtuiy>.\n\n113. Michael Mandelbaum, Democracy's Good Name (New York, 2007), 90.\n\n114. Democracy's Good Name, 183.\n\n115. The Cloud of Danger (Boston, 1977), 42\u201343.\n\n116. Democracy in Retreat (New Haven, CT, and London, 2013), 173.\n\n117. Thomas Jefferson's First Inaugural Address, 1801, <http:\/\/avalon.law.yale.edu\/19th_century\/jefinau1.asp>.\n\n118. John Quincy Adams's Address to Congress, 1821, <http:\/\/millercenter.org\/president\/speeches\/detail\/3484>.\n\n119. \"Obama: Time for Nation-Building at Home,\" <http:\/\/www.upi.com\/Top_News\/US\/2012\/07\/14\/Obama-Time-for-nation-building-at-home\/UPI-22451342291780>; Barack Obama's Second Inaugural, <http:\/\/www.forbes.com\/sites\/beltway\/2013\/01\/21\/full-text-president-obamas-inaugural-address>.\n\n120. Pew survey, <http:\/\/www.people-press.org\/2013\/12\/03\/public-sees-u-s-power-declining-as-support-for-global-engagement-slips>.\n\n121. Virginia Constitutional Ratifying Convention, <http:\/\/www.constitution.org\/rc\/rat_va_05.htm>.\n\n122. Democracy in America, vol. 2, 318.\n\n123. Democracy in America, vol. 2, 318\u201319.\n\n124. Democracy in America, vol. 2, 321.\nCONCLUSION\n\nRestoring Limited Government\n\nThe danger of modern liberty is that, absorbed in the enjoyment of our private independence, and in the pursuit of our particular interests, we should surrender our right to share in political power too easily. The holders of authority are only too anxious to encourage us to do so. They are so ready to spare us all sort of troubles, except those of obeying and paying! They will say to us: what, in the end, is the aim of your efforts, the motive of your labors, the object of all your hopes? Is it not happiness? Well, leave this happiness to us and we shall give it to you. No, Sirs, we must not leave it to them. No matter how touching such a tender commitment may be, let us ask the authorities to keep within their limits. Let them confine themselves to being just. We shall assume the responsibility of being happy for ourselves.\n\n\u2014Benjamin Constant1\n\nOf all tyrannies, a tyranny sincerely exercised for the good of its victims may be the most oppressive. It would be better to live under robber barons than under omnipotent moral busybodies. The robber baron's cruelty may sometimes sleep, his cupidity may at some point be satiated; but those who torment us for our own good will torment us without end for they do so with the approval of their own conscience. They may be more likely to go to Heaven yet at the same time likelier to make a Hell of earth. This very kindness stings with intolerable insult. To be 'cured' against one's will and cured of states which we may not regard as disease is to be put on a level of those who have not yet reached the age of reason or those who never will; to be classed with infants, imbeciles, and domestic animals.\n\n\u2014C. S. Lewis2\n\nTocqueville's \"soft despotism\" is still a work in progress, \"a possible outcome of the democratic adventure,\" as political philosopher Daniel Mahoney writes, and will in the end result from choice, not destiny.3 The United States still possesses the resources of our constitutional structure and US character that make possible a return to our foundational ideas of limited government and citizen self-rule.\n\nDespite all the modifications of the constitutional order, US citizens still have the right to vote every two years. Ballot-box accountability has dangers evident from ancient Athens to today, but nonetheless provides an opportunity for people to change course when the encroaching power of the federal government goes too far, as we witnessed in the 2010 midterm elections that gave Republicans control of the House of Representatives. The ongoing problems with the Affordable Care Act\u2014especially people losing their health insurance or seeing premium costs increasing\u2014may bring home to people the costs of empowering a kinder, gentler Leviathan that \"provides for their security [and] foresees and supplies their necessities,\" as Tocqueville wrote, at the price of ever greater interference and control over their lives. The midterm congressional elections in November 2014 appear likely to punish many members of Congress who supported this legislation, and perhaps mark a growing sense among the electorate that the progressive Leviathan has overreached, that the entitlement state is fiscally and morally unsustainable, and that it is now time to start returning to the constitutional ideals of limited government and citizen self-rule.\n\nCitizens have another form of resistance against federal encroachments\u2014\"Irish democracy.\" This idea originated among Irish Republicans in the early twentieth century, who resisted British rule by refusing to cooperate with the authorities in numerous, often trivial ways. Political philosopher James C. Scott defines it as \"the silent, dogged resistance, withdrawal, and truculence of millions of ordinary people.\"4 An ongoing example is the refusal of young people so far to sign up for the Affordable Care Act, the linchpin of the program, since the healthy young are necessary to finance the sick and old. Millions of the uninsured for whom the program was designed have likewise refused to participate. Fewer than half the 7 million enrollees expected by the end of January 2014 had signed up, and most of those have been older, sicker, and the previously insured. If these trends continue, the Affordable Care Act will be repealed or seriously modified because millions of citizens simply have refused to participate in the program.\n\nNext, for all the erosion of state sovereignty over the last century, state governments still exist and still remain what Supreme Court Justice Louis Brandeis in 1932 called a \"laboratory\" in which citizens can \"try novel social and economic experiments without risk to the rest of the country.\"5 In recent years states have gone their own way on numerous issues such as gun control, voter identification laws, same-sex marriage, restrictions on abortion, or legalizing marijuana. As professor of politics John Dina writes, states have several resources for resisting federal power. They can decriminalize some behaviors, refuse to participate in federal programs, and pass their own laws inconsistent with federal law or Supreme Court precedents.6 Exploiting these powers and lessening tax burdens and regulations on business allow states to become more successful and illustrate the boons that follow from resisting Leviathan. The worsening economic and social problems in those states, like California and Illinois, which practice the big-government \"blue model,\" as historian Walter Russell Mead dubs it, and the growing success of those like Texas and Florida following the \"red model\" of more-limited government power over the economy and social life, illustrate how states can offer attractive alternatives to soft despotism, especially if enough citizens vote with their feet and migrate to successful states.7\n\nThese trends do not mean that we will restore completely the Constitution's vision of limited government, or dismantle completely the entitlement state. But even if we cannot slay Leviathan, we can put it on a diet. We can reenergize at the state level the constitutional federalism that leaves it to citizens and their local and state governments to work out more efficiently than distant, unaccountable technocrats can the issues most important to them and the solutions more cognizant of their variety of passions and interests. And by doing so we will restore a more robust freedom for all people whatever their political persuasion, for they will be free to leave a state whose policies they dislike and live in another.\n\nAnother strength of the United States that offers the possibility of resistance is our civil society, the 1.5 million nonprofit organizations, fraternal societies, and other voluntary associations independent of government in which people can pursue common interests, lobby government, and hold politicians and government agencies accountable.8 In addition there are 350,000 churches that also can provide alternatives and mobilize resistance to big government, as the Catholic Church has been doing in fighting back against the Affordable Care Act's mandate to provide birth control and abortifacients in health care programs offered by the church.9 Participation in such organizations, as political philosopher Robert D. Putnam has documented, has declined from their peak in 1970, and not many today provide the active, face-to-face involvement in community affairs and civic engagement that has traditionally made them schools of self-government and citizen autonomy.10 Yet compared globally, US civil society is still robust, and still offers opportunities for citizens to exercise political power and push back against the encroaching power of the state.\n\nThe rise of the Tea Party movement in 2009 illustrates the possibilities provided by civil society. Like-minded citizens angry over high taxes, increasing deficits, excessive government spending, the bailouts of banks and the mortgage industry, and greater government intrusion into the economy began to organize themselves in order to put political pressure on their members of Congress and work to elect representatives who shared their concerns. Technologies like the Internet and cable news made it possible for this amorphous, scattered, localized discontent to quickly connect with others, publicize their concerns across the country, and coalesce into a national organization. A rant against government bailouts on the floor of the Chicago Mercantile Exchange by a CNBC business news editor on February 19 was the spark that lit this political tinder, but the accelerant was a video that went viral after it appeared on the Drudge Report, which is visited by nearly two million people a day. Overnight, local and national Tea Party websites were created, and within a few months hundreds of nationwide protest rallies were held. The movement played a big role in shifting the majority in the House of Representatives to the Republicans in 2010, with the Tea Party Caucus in the house comprising sixty-two Republicans in 2011.\n\nThe Tea Party has faded somewhat, but still remains a potent political force in national politics, whether for good or ill, depending on one's political point of view. But the rise of the Tea Party shows that the traditional dangers of democracy such as accountability to the voters, and the new technologies that exacerbate old fears such as demagogues enflaming the masses, can also be instruments for citizens unhappy with the intrusive power of the federal government to organize resistance and effect change.\n\nFinally, the First Amendment guarantee of free and open speech still remains in force. The explosion of raucous protests at various \"town hall\" meetings held by members of Congress with their constituents in August 2009, most directed against the proposed Affordable Care Act, was a rare moment in US politics of direct confrontations between citizens and their representatives, many of whom would be voted out of office in 2010. Moreover, many of these confrontations were filmed and ended up on YouTube, publicizing the events nationally and illustrating once again how the numerous blogs, websites, social networks, and online magazines have expanded the exercise of the right to political speech to millions of people. Ordinary citizens now can potentially reach a national audience once reserved for the few-score columnists, network news anchors, and magazine writers that three decades ago monopolized and controlled political opinion. Whatever the dangers of this expansion of what antidemocrats like Socrates or Fisher Ames would have considered uninformed opinion arising out of the irrational passions and ignorance of the masses, the existence of these venues for exercising free speech and reaching a large audience offers as well an opportunity for mobilizing resistance to the federal Leviathan.\n\nMost important, millions of people in the United States still possess the qualities of independence, self-reliance, resistance to tyranny, and love of freedom that have always characterized the American character. Millions from all walks of life have not yet changed into the \"innumerable multitude of men, all equal and alike, incessantly endeavoring to procure the petty and paltry pleasures with which they glut their lives,\" as Tocqueville described the denizens of soft despotism. Like Benjamin Constant, they want government authorities \"to keep within their limits\" and \"confine themselves to being just,\" and prefer to \"assume the responsibility of being happy\" for themselves. And like C. S. Lewis, they rankle at the patronizing arrogance of a government increasingly taking responsibility for their lives and well-being at the cost of their autonomy. They still see such \"kindness\" as an \"intolerable insult\" that puts them on \"a level of those who have not yet reached the age of reason or those who never will\" and \"classed with infants, imbeciles, and domestic animals.\" In short, millions of people in the United States of all races and conditions still prefer to stand on their own two feet, to take responsibility for their own lives, and to pursue their happiness according to their own lights. All they ask is to be left alone.\n\nThe continuing vigor of the US Constitution and the US character both give us hope that democracy's dangers and discontents do not have to end in soft despotism, and that we can restore the limited government of the founders and recover US democracy's \"aptitude and strength.\"\n\n1. \"The Liberty of Ancients Compared with that of Moderns,\" 1816, <http:\/\/www.uark.edu\/depts\/comminfo\/cambridge\/ancients.html>.\n\n2. \"The Humanitarian Theory of Punishment,\" 1949; in God in the Dock (Grand Rapids, MI, 1970), 292.\n\n3. The Conservative Foundations of the Liberal Order (Wilmington, DE, 2010), 18. Emphasis in original.\n\n4. In Two Cheers for Anarchism (Princeton, NJ, 2012), 14.\n\n5. In New State Ice Co. v. Liebmann (1932), http:\/\/caselaw.lp.findlaw.com\/scripts\/getcase.pl?navby=CASE&court=US&vol=285&page=262.\n\n6. \"How States Talk Back to Washington and Strengthen American Federalism,\" Policy Analysis (December 3, 2013), <http:\/\/object.cato.org\/sites\/cato.org\/files\/pubs\/pdf\/pa744_web.pdf>.\n\n7. In \"The Once and Future Liberalism,\" American Prospect (January 24, 2012), <http:\/\/www.the-american-interest.com\/articles\/2012\/01\/24\/the-once-and-future-liberalism>.\n\n8. \"Quick Facts about Nonprofits,\" <http:\/\/nccs.urban.org\/statistics\/quickfacts.cfm>.\n\n9. \"Fact about American Religion,\" <http:\/\/hirr.hartsem.edu\/research\/fastfacts\/fast_facts.html#attend>.\n\n10. See data in Bowling Alone (New York, 2000), 438\u201339.\nBIBLIOGRAPHY\n\nAdams, Henry, and Ernest Samuels. History of the United States of America During the Administrations of Jefferson and Madison. Chicago: University of Chicago Press, 1967.\n\nAdams, John. 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Baton Rouge: Louisiana State University Press, 1988.\n\nRichard, Carl J. The Founders and the Classics: Greece, Rome, and the American Enlightenment. Cambridge, MA: Harvard University Press, 1994.\n\nRichardson, James D., ed. A Compilation of the Messages and Papers of the Presidents. New York: Bureau of national literature, inc., 1897.\n\nRoberts, Jennifer Tolbert. Athens on Trial: The Antidemocratic Tradition in Western Thought. Princeton, NJ: Princeton University Press. 1994.\n\nRoosevelt, Theodore. The Autobiography of Theodore Roosevelt. Edited by Wayne Andrews. New York: Scribners, 1958.\n\nRossum, Ralph A. Federalism, The Supreme Court, and the Seventeenth Amendment: The Irony of Constitutional Democracy. Lanham, MD: Lexington Books, 2001.\n\nSamons, Loren. What's Wrong with Democracy? From Athenian Practice to American Worship. Berkeley and Los Angeles: University of California Press, 2004.\n\nScott, James C. Two Cheers for Anarchism: Six Easy Pieces on Autonomy, Dignity, and Meaningful Work and Play. Princeton, NJ: Princeton University Press, 2012.\n\nShrimpton, Gordon S. Theopompus the Historian. Montreal and Kingston: McGill-Queen's University Press, 1991.\n\nSomin, Ilya. Democracy and Political Ignorance: Why Smaller Government is Smarter. Stanford: Stanford University Press, 2013.\n\nStockton, David. The Classical Athenian Democracy. Oxford: Oxford University Press, 1990.\n\nThucydides. The Landmark Thucydides: A Comprehensive Guide to the Peloponnesian War. Edited by Robert B. Strassler. Translated by Richaard Crawley. New York: Free Press, 1996.\n\nTocqueville, Alexis de. Democracy in America. Edited by Philip Bradley. Revised by Frances Bowen. New York: Alfred K. Knopf, 1994.\n\nVoegeli, William. Never Enough: America's Limitless Welfare State. New York: Encounter Books, 2012.\n\nWashington, George. The Papers of George Washington. Edited by Dorothy Twohig and W. W. Abbot. Charlottesville: University Press of Virginia, 1983.\n\nWeissberg, Robert. Polling, Policy, and Public Opinion: The Case Against Heeding the Voice of the People. New York: Palgrave Macmillan, 2002.\n\nWilentz, Sean. The Rise of American Democracy: Jefferson to Lincoln. New York: Norton, 2005.\n\nWilliamson, Chilton. American Suffrage from Property to Democracy: 1760\u20131860. Princeton, NJ: Princeton University Press, 1960.\n\nWood, Gordon S. The Creation of the American Republic: 1776\u20131787. Chapel Hill and London: University of North Carolina Press, 1998.\n\nXenophon. Xenophon I. Memorabilia, Oeconomicus, Symposium, Apology. Translated by E. C. Marchant and O. J. Todd. Cambridge, MA: Harvard University Press, 1923.\nABOUT THE AUTHOR\n\nBRUCE S. THORNTON grew up on a cattle ranch in Fresno County, California. He received his BA in Latin in 1975 and his PhD in comparative literature in 1983, both from the University of California at Los Angeles. Thornton is currently a professor of classics and humanities at California State University in Fresno. He has authored nine books and more than four hundred essays, columns, and reviews on classical culture and its influence on contemporary political and educational issues. He is a research fellow at the Hoover Institution at Stanford University and a member of Hoover's Working Group on the Role of Military History in Contemporary Conflict.\n  | |\n\n---|---|---\n\n|\n\nWORKING GROUP ON THE ROLE OF MILITARY  \nHISTORY IN CONTEMPORARY CONFLICT\n\nTHE WORKING GROUP ON THE ROLE OF MILITARY HISTORY IN CONTEMPORARY CONFLICT has set its agenda mindful of the Hoover Institution's dedication to historical research in light of contemporary challenges and, in particular, reinvigorating the national study of military history to foster and enhance our national security.\n\nChaired by Hoover senior fellow Victor Davis Hanson with counsel from Hoover research fellows Bruce Thornton and David Berkey, along with collaboration from the group's distinguished scholars, military historians, security analysts, journalists, and military veterans and practitioners, this team examines how knowledge of past military operations can influence contemporary public policy decisions concerning current conflicts. The careful study of military history offers a way to analyze modern war and peace that is often underappreciated in this age of technological determinism. The result of such study is an in-depth and dispassionate understanding of contemporary wars, one that explains how particular military successes and failures of the past can be often germane, sometimes misunderstood, or occasionally irrelevant in the context of the present.\nINDEX\n\naccountability\n\ncitizen equality and, 52\u201353\n\ndemocracy and, 36\u201343\n\npolitician, 143\u201346\n\nof state governments, 166\u201367\n\ntyrant, 143\n\nAdams, Henry, 93\n\nAdams, John, 55, 62, 65, 66, 68, 73, 85\n\nAdams, John Quincy, 95, 99, 159\n\nAddison, Alexander, 65\n\nAddison, Joseph, 67\n\nadministrative elite, 119\n\nAeschylus, 36\n\nAffordable Care Act, 133, 164\u201365, 168\n\nAfghanistan, 153\u201354\n\nAgrarius, 84\n\nAlcibiades, 20, 27\u201328, 38\n\nAmes, Fisher, 55, 91\u201392, 107, 141, 149\n\nanarchy liberty, 149\n\nAnthracite Coal Strike of 1902, 120\n\nantidemocratic tradition\n\nof Athens, 51\u201353\n\nCivil War and, 99\n\nelites power and, 66\u201367\n\nfiltering institutions of, 96\n\nmass public opinion and, 145\n\nmob-rule and class warfare in, 71\n\npublic service pay and, 31\u201332\n\nrecovering, 6\u20137\n\nUS Constitution and, 62, 84\u201385\n\nviolent revolution fears and, 90\u201391\n\nantidemocratic tropes, 90\n\nantidosis (legal procedure), 35\n\nAntifederalists, 58\n\napagog\u00ea (stealing), 41n81\n\nApollodorus, 46\n\nApology (Plato), 15\n\nArab Spring, 2, 157, 158\n\nAristides the Just, 37\u201338\n\naristocracy, 68\n\nAristophanes, 21\u201322, 23, 39\n\nstate pay dangers from, 33\n\nWomen at Assembly by, 31, 50\u201351, 148\n\nAristotle, 35, 106, 149\n\ncitizen equality comment of, 47\u201348\n\ndemagogues driving out notables and, 13\n\ndemocratic equality and liberty from, 49\u201350\n\ndirect democracy components of, 18\n\nequalization of property and, 50\u201351\n\nextreme democracy comments of, 10, 14, 52, 92\u201393\n\nradical egalitarianism and, 146\n\nArticles of Confederation, 60\n\nthe Assembly, 11\u201312, 25, 30, 39, 44\n\nAthens (Greece)\n\nantidemocratic tradition of, 51\u201353\n\ncitizens receiving state pay in, 30\u201331\n\ncontentious politics of, 43\n\ndecree contrary to constitution of, 39\n\nDemosthenes last great leader of, 20\u201321\n\ndirect rule components used by, 11\u201312\n\nearly criticisms of, 57\n\nface-to-face business deals in, 37\n\nfactionalism causing decline of, 42\n\nas first democracy, 3, 30\n\ngolden age of, 19\u201320\n\nmercenaries relied on by, 45\u201346\n\npolitical leader scrutiny in, 37\u201338\n\npopular assemblies and ignorance of, 56\u201357\n\nqualifications for ruling in, 12\u201313\n\nSecond Athenian League in, 32, 44\n\nAtto, William J., 109\n\nAustin, Benjamin, 56\n\nbalance of power, 77\u201378\n\nBeard, Charles, 116\n\nbetter argument (Kreitt\u00f4n Logos), 23\n\nBeveridge, Albert, 122\n\nBlackstone, William, 86\n\nBolingbroke, Viscount, 67\n\nBrandeis, Louis, 165\n\nBraxton, Carter, 65\n\nbribery, 31\n\nBrooks, David, 145\n\nBudget Control Act, 154\n\nBull Moose Party. See Progressive movement\n\nBuren, Martin Van, 98\n\nBurgh, James, 58\n\nBurke, Aedanus, 66\n\nBurr, Aaron, 93\n\nBush, George H. W., 142, 155\n\nBush, George W., 133, 156\n\nButler, Pierce, 131\n\nCabot, George, 86\n\nCaesar, Julius, 67\n\nCato (Addison), 67\n\ncentral government, 72\n\nChaeronea, 45, 46\n\nChalmers, James, 65\n\nChase, Samuel, 84\n\nchecks and balances, of Constitution, 5\n\nChicago Mercantile Exchange, 167\n\nChildren's Health Insurance Program (CHIPS), 132\n\nchoregia (festival liturgy), 34\n\nChristianity, 63\n\nChurchill, Winston, 32, 44, 152\n\nCicero (Roman orator), 56\n\ncitizen allegation (graphe paranomon), 39\n\ncitizen masses, 65\n\ndemocracy and lack of knowledge of, 139\u201340, 145\n\nfederal government and triumph of, 98\u201399\n\nirrational decision-making of, 37\u201338\n\nlegislative and executive filters and, 118\n\npolitical knowledge not acquired by, 57\n\npolitical writers distrusting, 56\u201357\n\nproperty redistribution power of, 29\n\nsenate and excesses of, 77\n\nSocrates stating irrationality of, 145\n\nThucydides showing irrationality of, 29\n\nuneducated and poor, 14\u201315\n\nuninformed opinions and irrational emotions of, 18\u201320\n\nweakness and ignorance comprising, 15\u201316, 66\u201367\n\ncitizens\n\naccountability and equality of, 52\u201353\n\nin ancient Greece, 10\n\nAthens's state pay received by, 30\u201331\n\nbad policies from poor judgment of, 44\n\ncollectivist, 112, 114\u201316\n\nconstitutional government and, x, 47\u201348\n\ndemocracy and rehabilitation of, 98\u201399\n\ndemocracy's assembly and power of, 57\u201358\n\ndemocracy's assumptions about knowledge of, 18\u201319\n\nerrors and delusions of, 80\n\nfederal government distant from, 114\n\nfinancial obligations of wealthy, 34\n\nfreedoms and autonomy eroded of, 151\n\nlimited government and self-rule of, 164\u201365\n\nMadison's factions of, 73\u201374\n\nmilitary control by, 40\n\nopinion's possessed by, 16\n\nostracism banishing, 37\u201338\n\nProtagoras countering ruling incapability of, 51\u201352\n\nsacrifice willingness declining of, 33\u201334\n\nself-governing, 112\n\nself-interest of, 46\u201347\n\nstate government closer to, 114\n\nstate money and, 46\n\nTocqueville finding deficiencies in, 100\n\ntyranny of passions of, 80\n\nuseless pleasures and corruption of, 49\n\nwealthy, 35\n\nSee also elites; mankind; the poor; society\n\ncivil society, 166, 167\n\ncivil war, 42\u201343, 106\u201307\n\nCivil War, 99, 103\u201304\n\nclass envy, 35, 38\n\nclass warfare, 12\u201313, 71, 122, 127\n\nClay, Henry, 95\n\nCleon, 21, 25, 26\n\nClouds (Aristophanes), 23\n\nCobbett, William, 90\n\nCommon Sense (Paine), 65\n\nconcentration of power, 75\u201376\n\nConstant, Benjamin, 163, 168\n\nconstitution, Athens, 39\n\nConstitution, US, 108\n\nantidemocratic tradition and, 62, 84\u201385\n\naptitude and strength of, 168\u201369\n\nchecks and balances of, 5\n\ndemocracy with checks and balances of, 75\u201383\n\nelite empowerment through, 83\n\nmixed government theory in, 56\n\npresident selection codified in, 81\u201382\n\nProgressive movement preferring evolving, 127\n\nself-interests and passions balanced by, 75\n\nConstitution of 1787, 70\u201371\n\nConstitution of Athens, 21, 30\n\nConstitutional Convention of 1787, 58\n\nconstitutional government\n\nancient Greece inventing, 9\u201310\n\ncitizens and, x, 47\u201348\n\nLysias idealizing elements of, 10\n\nmilitary leaders and weakness of, 45\n\npolitical freedom of, 47\u201348\n\nverbal deliberation in, 22\u201323\n\nConstitutional Government in the United States (Wilson, W.), 121\n\nconsumer goods, xi\n\nCorcyra, 42, 62\n\ncorporations, 109\u201310, 122\u201323\n\ncorruption, 31, 41, 49, 77\u201378, 95\u201396\n\nCroly, Herbert, 115\u201317\n\ndangerous weapon, 23\n\n\"The Dangers of American Liberty\" (Ames), 91\n\nDarwinian principle, 110\u201311, 113\u201314\n\ndecision-making, 37\u201338\n\nDefense of the Constitution (Adams, J.), 62, 68, 73\n\ndefense spending, ix, xi, 33, 154\n\nDemades, 32\n\ndemagogues\n\nAristotle's comments on, 13\n\nin democracy, 141\u201343\n\nignorance leading to, 19\u201322\n\npolitical dysfunction's role in, 101\n\npolitical leader manipulation and, 141\n\nrevolution and civil war by, 106\u20137\n\nDemaratus, 47\n\ndemocracy, ix\u2013xi, 102\n\naccountability and, 36\u201343\n\nAdams, J., critic of unchecked, 65\n\nancient Greece fearing, 3\n\naristocracy and monarchy compared to, 68\n\nassembly and power of people in, 57\u201358\n\nAthens's with first, 3, 30\n\navoiding dangers of, 168\u201369\n\ncitizen masses lack of knowledge in, 139\u201340, 145\n\ncitizen rehabilitation and, 98\u201399\n\ncitizen's knowledge assumptions of, 18\u201319\n\nCleon and charge against, 26\n\nconspiracy to overthrow, 40\n\nconstitutional checks and balances in, 75\u201383\n\ndangers of, 50\u201351, 106\n\ndeliberation rhetoric in, 22\u201329\n\ndemagoguery in, 141\u201343\n\ndirect, 18, 58\u201359\n\nequality in, 49\u201350\n\nevils from excessive, 70\n\nextreme, 10, 14, 52, 60, 92\u201393\n\nforeign policy and, 43\u201347, 160\n\nfreedom as unnecessary pleasures in, 149\u201351\n\nidealistic internationalism of, 154\u201355\n\ninternational failures of, 157\u201358\n\ninternational retreat of, 2, 159\n\nIrish, 165\n\nliberal, 1\u20132\n\nmankind's self-interest a flaw of, 64\n\nmilitary despotism change of, 91, 107\n\nmob violence predicted for, 59\u201360\n\nnarrow perimeters of, 158\u201359\n\norganize and influence change in, 167\u201368\n\npoliticians accountability in, 143\u201346\n\nquestions raised concerning, 4\n\nradical, 46\u201347\n\nradical egalitarianism from, 146\u201349\n\nself-interested political decisions in, 100\u2013101\n\nShays' Rebellion and state governments in, 61\n\nsofter despotism danger of, 5, 129, 138, 161, 164, 168\n\ntheoric fund as glue of, 32\u201333\n\nTocqueville with weaknesses and dangers of, 99\u2013100\n\ntraditional charges against, 92\n\ntyranny as great fear of, 4, 74, 106\u201307\n\nUnited States' expansion of, 155\u201357, 159\u201360\n\nwealth redistribution in, 29\u201336\n\nDemocracy and Social Organization (Giddings), 147\n\nDemocracy in America (Tocqueville), 100\n\ndemocratic foreign policy, 152\u201360\n\nDemocratic Man, 48\u201349\n\nDemocratic party, 89n89, 103, 143\u201344\n\nDemocratic-Republican Societies, 90\u201391\n\nDemosthenes, 20\u201321, 32\u201333, 34, 45\u201347\n\nDennie, Joseph, 91\n\ndenunciation (eisangelia), 40\n\nDickinson, John, 71, 77, 88\n\nDina, John, 165\n\ndirect democracy, 18, 58\u201359\n\ndokimasia (examination), 38\n\n\"drunk on wine of freedom,\" 151\n\nDukakis, Michael, 142\n\nduplicitous orators, 25\n\nEarned Income Tax Credit, 137\n\nEberstadt, Nicholas, 133\n\neconomic freedom, 135\n\nThe Economic Interpretation of the Constitution of the United States (Beard), 116\n\nEdwards, Jonathan, 63\n\neisangelia (denunciation), 40\n\neisphora (property tax), 34\n\nelections, 87\u201388, 97, 123\u201324\n\nElectoral College, 82, 96\u201397\n\nelites\n\nadministrative, 119\n\nantidemocratic tradition and power of, 66\u201367\n\nfederalists and rule by, 102\u201303\n\nPlato imagining states run by, 17\u201318\n\nprejudice of, 14\n\nProgressive movement attacking, 111\n\nUS Constitution empowerment of, 83\n\nElyot, Thomas, 57\n\nemotions, 17, 18\u201320\n\nencroachments, gradual and silent, 160\u201361\n\nEnlightenment, 63\n\nentitlement programs\n\nfederal government spending on, 135\u201337\n\nover defense spending, 33\n\npayments on, 46\u201347\n\nreducing, as politically toxic, 134\n\nunder Republican Party, 133\n\nunsustainability of, 164\u201365\n\nvoter's self-interests in, 140, 145\u201346\n\nEnvironmental Protection Agency, 134\n\nEponymous Archon, 29\n\nequality, 101\u201302, 146, 147\n\neuthyna (formal investigation), 38\u201339\n\nexamination (dokimasia), 38\n\nextreme democracy, 10, 14, 52, 60, 92\u201393\n\nface-to-face business deals, 37\n\nfactionalism, 42, 73\u201375, 79, 92\n\nfederal government\n\ncitizen masses triumph and, 98\u201399\n\nCivil War and intrusive powers of, 103\u201304\n\ncoercive regulatory powers of, 110\n\ncollective purpose requiring expanded, 115\n\ncorporations and powers of, 122\u201323\n\nas distant from citizens, 114\n\ndynamic executive needed in, 122\n\nentitlement spending of, 135\u201337\n\nexpansion of, 108\u201310, 125\u201326\n\nfear of corruption in, 95\u201396\n\nfederalism counterweight to, 79\n\nHamilton's argument for efficiency of, 79\u201380\n\nintrusive powers of, 5, 107\u201308\n\nprogram and policy complexity of, 140\n\nProgressive movement expanding, 108\u201310, 125\u201326, 146\u201347\n\nproperty redistribution of, 138\u201339, 148\u201349\n\nregulation costs of, 135\n\nSocial Security Act expanding, 131\u201332\n\nspending increasing of, 134\u201335\n\nFederal Reserve Board, 125\n\nFederal Trade Commission, 125\n\nfederalism, 74\u201375, 79\n\nThe Federalist, 71\u201373, 82\n\nThe Federalist 6, 72\n\nThe Federalist 10, 146\u201347\n\nFederalists, 69, 89, 90, 102\u201303\n\nfestival liturgy (choregia), 34\n\nfilters, 118\n\nfinancial obligations, 34\n\nFinley, Moses, 10, 44\n\nFirst Amendment, 149, 168\n\nFirst Hague Convention, 154\n\nFollett, Mary Parker, 114, 129\n\nforeign policy, 43\u201347, 152\u201360\n\nformal investigation (euthyna), 38\u201339\n\nFort Wilson Riot, 60, 77\n\nFrankfurter, Felix, 115\n\nFranklin, Benjamin, 69, 88\n\nfree speech, 168\n\nfreedom\n\ncitizen's eroding autonomy and, 151\n\nof collectivist people, 112, 114\u201316\n\neconomic, 135\n\npersonal, 48\n\npolitical, 47\u201348\n\nsexual, 151\n\nas unnecessary pleasures, 149\u201351\n\nfreeholders, 86, 88\n\nfuneral oration, 10\u201311, 22, 48, 51, 53\n\nGeorge III (British king), 67\n\nGerman Republican Society, 85\n\nGerry, Elbridge, 70, 81\n\nGiddings, Frank, 147\u201348\n\nGoldwater, Barry, 142\n\nGoodnow, Frank Johnson, 115\n\nGorgias, 24\n\ngovernment\n\nagencies added to, 125, 128, 132\u201333\n\ncentral, 72\n\nindividual's rights interference by, 113\n\nJefferson's wise and frugal, 93\u201394\n\nlimited, 164\u201369\n\nLincoln transforming, 103\u201304\n\nas living thing, 110\n\nmixed, 56, 69\u201371, 75\u201376\n\nrepresentative, 162\n\nRoosevelt, T., using powers of, 127\u201328\n\nselfish human nature creating need for, 72\u201373\n\ntechnological changes influencing, 117\u201318\n\nSee also constitutional government; federal government; state government\n\ngraphe paranomon (citizen allegation), 39\n\nGreat Depression, 125\n\nGreat Society, 5, 132\n\nGreece (ancient), 2, 3, 9\u201310\n\nGulf War, 155\n\ngymnasia (liturgy), 34\n\nHamilton, Alexander, 68\n\ncorruption and balance of power from, 77\u201378\n\nfederal government's efficiency argued by, 79\u201380\n\npowerful central government argument of, 72\n\npresidential selection from, 82\n\nselfish human nature comments of, 72\u201373\n\nsenators holding office for life wanted by, 78\n\nHansen, M. H., 33, 39\u201340\n\nHarrington, James, 57\n\nHayek, F. A., 132, 140\n\nHenry, Patrick, 58, 67, 84\n\nHermes, 51\u201352\n\nHerodotus, 14, 52\n\nH\u00eatt\u00f4n Logos (worse argument), 23\n\nHistories (Herodotus), 14\n\nHistory of the Peloponnesian War (Thucydides), 15\n\nHobbes, Thomas, 57\n\nHorton, Willy, 142\n\nHouse of Representatives, 87\u201388, 143\u201344\n\nhuman depravity, 63, 65\u201366\n\nhuman nature\n\ndestructive, 69\u201370\n\ndistrust of, 62\u201368\n\nFederalists believing in flawed, 69\n\nHamilton's comments on selfish, 72\u201373\n\nimprovements in, 6\u20137, 63\u201364\n\njudgments on irrational emotions in, 17\n\nProgressive's beliefs on science of, 119\u201320\n\nradical egalitarianism contrary to, 50\n\nself-interest driving, 108\n\nThucydides comments on, 62\u201363\n\nVoltaire's pessimism about, 63\u201364, 63n24\n\nweaknesses and flaws of, 6\n\nhuman sciences, 119\u201320\n\nHume, David, 64\n\nHumphreys, David, 60\n\nHussein, Saddam, 155\n\nidealistic internationalism, 154\u201355\n\nignorance, 19\u201322\n\nincome inequality, 147\n\nincome taxes, 137\u201338\n\nindividual's rights, 113, 116, 130\u201331\n\nindustrialized economy, 130\n\nInglis, Charles, 65\n\nIran, 153\n\nIraq, 153\u201355\n\nIrish democracy, 165\n\nIsocrates, 35\n\nisolationism, 160\n\nJackson, Andrew, 94\u201398\n\nJay, John, 66, 82\n\nJefferson, Thomas, 5, 102, 105\n\nentangling alliances and, 159\n\nRepublican domination beginning with, 94\u201395\n\nRepublican party of, 85\n\nwise and frugal government call from, 93\u201394\n\nJohnson, Lyndon B., 5, 132, 142\n\njury service, 30\n\nJuvenal, 120\n\nKagan, Donald, 17\n\nKalb, James, 5, 151\n\nKennan, George, 158\n\nKennedy, John F., 142\n\nKentucky Democratic Society, 90\n\nKnights (Aristophanes's play), 21\u201322\n\nKnox, Henry, 60\n\nKreitt\u00f4n Logos (better argument), 23\n\nKurlantzick, Joshua, 2\n\nLatrobe, Benjamin, 89\n\nLaurens, Henry, 59\n\nlaw courts, 11\n\nLaws (Plato), 50\n\nLee, Arthur, 84\n\nLee, Richard Henry, 70\n\nLefer, David, 58, 59\n\nlegal procedure (antidosis), 35\n\nlegislative encroachments, 76\u201377\n\nleveling spirit, 146\n\nLewis, C. S., 168\n\nliberal democracy, 1\u20132\n\nlimited government, 164\u201369\n\nLincoln, Abraham, 102, 111\n\ngovernment transformed by, 103\u201304\n\nProgressives admiration for, 124\u201325\n\nslaver-owner attacks by, 112\n\nLippmann, Walter, 119, 141\n\nliturgies, 34\u201335\n\nLives (Plutarch), 67\n\nliving Constitution, 108\n\nliving organism, society as, 113\u201314\n\nLivingstone, Robert, 71\n\nLocke, John, 66\n\nLysias (Athenian orator), 10, 41\n\nMachiavelli, Niccolo, 68\u201369\n\nMadison, James, 72\n\ncitizen factions stated by, 73\u201374\n\ncitizen's errors and delusions from, 80\n\ndemocracy's tyranny of majority from, 74\n\nin Federalist 10, 146\u201347\n\ngradual and silent encroachments comment of, 160\u201361\n\nhuman nature driven by self-interest from, 108\n\nlegislative encroachments from, 76\u201377\n\nsenate's superiority from, 78\u201379\n\ntwo political parties defined by, 89\u201390\n\nmagistrates, 11\u201312, 38\u201339\n\nMahoney, Daniel, 164\n\nmalignity of mind, 68\u201369\n\nMandelbaum, Michael, 2, 158\n\nManent, Pierre, 1\n\nmankind, 63, 64, 68\u201369\n\nMason, George, 83\u201384\n\nMcClelland, J. S., 3\n\nMcDonald, Forrest, 56, 87\n\nMcDougall, Walter A., 69, 94, 99\n\nMead, Walter Russell, 166\n\nmedia\/mass communications, 141\u201345\n\nMedicaid, 132\n\nMedicare, 132, 136n73, 138\n\nMegabyzus, 14, 15\n\nMegara, 13\n\nmercenaries, 45\u201346\n\nMercer, John Francis, 88\n\nMiddle East, 157\n\nMiletus, 13\n\nmilitary\n\nbad policy blamed on leaders of, 44\n\ncivilian control of, 40\n\nconstitutional government weakness and, 45\n\ndespotism, 91, 107\n\nexecuting leaders of, 40\n\nUnited States' power of economy and, 160\n\nMinogue, Kenneth, 148\u201349\n\nMinton, John, 59\n\nmixed government, 69\u201370\n\nconcentration of power avoided with, 75\u201376\n\nConstitution of 1787 version of, 70\u201371\n\nin US Constitution, 56\n\nmob violence, 59\u201360\n\nmob-rule, 71\n\nmodern capitalist societies, 1\u20132\n\nmodern psychology, 119\u201320\n\nmodes of equality, 147\n\nmonarchies, 52, 68\n\nMoreno, Paul D., 125, 131\n\nMorris, Gouverneur, 75\u201376, 81, 87\u201388\n\nMytilene, 25\n\nMytilenean Debate, 24\u201325\n\nNational Security Strategy, 156\n\nnations, war between, 72\n\nNew Deal, 5, 126, 128\u201329\n\nThe New Freedom (Wilson, W.), 110, 111, 113\u201314\n\nNew Nationalism speech, 111, 113\n\nThe New State (Follett), 114\n\nNew York, 64\n\nNicias, 27\u201328, 48\n\n1916 Revenue Act, 123\n\n1917 Tax Act, 123\n\n1917 Trading with the Enemy Act, 126\n\nNisbet, Robert, 126\n\nNixon, Richard, 134, 142\n\nnongovernmental organizations, 118\n\nNorth Korea, 152\n\nnuclear weapons, 152\n\nObama, Barack, 123, 153\n\nAffordable Care Act of, 133, 164\u201365, 168\n\nUS idealism continued by, 156\u201357\n\nOceana (Harrington), 57\n\nOld Oligarch, 13\u201314, 26, 35, 91\n\nOn the Crown (Demosthenes), 45\n\nostracism, 37\u201338\n\nOtis, James, 61\n\nPaine, Thomas, 65\n\npartisanship, 42\u201343\n\npay for service, 31\n\npayroll taxes, 136n73\n\nPeloponnesian War (in 431), 11, 32, 40\n\nPennsylvania, 58\u201359\n\nThe People the Best Governor, 58\n\nPericles, 30\u201331\n\nAthens golden age lead by, 19\u201320\n\nfuneral oration by, 10\u201311, 22, 48, 51, 53\n\nPersians (Xerxes), 36\n\npersonal freedoms, 48\n\nPestritto, Ronald J., 109\n\nphasis (smuggling crime), 41n81\n\nPhilip II (of Macedon), 44, 46\n\nPindar, 12, 13\n\nPlato, 66\u201367\n\nanarchy liberty from, 149\n\nApology by, 15\n\ndemocracy dangers from, 106\n\ndrunk on wine of freedom by, 151\n\nelites running states imagined by, 17\u201318\n\nextreme democracy predictions of, 92\u201393\n\nLaws by, 50\n\npersonal freedoms condemned by, 48\n\npolitical wisdom view of, 17\n\nRepublic by, 29, 48\n\ntyrants accountability from, 143\n\nwar of rich and poor described by, 41\u201342\n\nwealth redistribution charge of, 41\n\npleasures, useless, 49\n\nPlutarch, 13, 21, 37\u201338, 57, 67\n\npolitical parties, 89\u201390, 134\n\npoliticians, 143\u201346\n\npolitics\n\nAthens's contentious, 43\n\ncitizen masses distrusted by writers in, 56\u201357\n\ncitizen masses lacking knowledge in, 57\n\nconstitutional government's freedom in, 47\u201348\n\ndemagogues and manipulation by leaders in, 141\n\ndemagogues' role in, 101\n\ndemocracy with self-interested, 100\u2013101\n\nJackson's philosophy in, 96\n\njustice in, 50\n\nleaders scrutinized in, 37\u201338\n\nPlato's view on wisdom in, 17\n\npolling in, 144\u201345\n\nProgressive movement's philosophy in, 124\u201325\n\nUnited States' new movement in, 108\n\nPolitics (Aristotle), 106\n\nPolybius, 59, 92\u201393, 105\n\nthe poor, 41\u201342\n\nalways wanting more, 31\n\nempowerment of, 10\n\nprejudices against, 13\n\nuneducated citizen masses and, 14\u201315\n\npopular assemblies, 56\u201357\n\npopular elections, 123\u201324\n\npopular rule, 3, 102\n\npopular sovereignty, 10, 96\n\npresidents\n\nHamilton's argument on selection of, 82\n\nof Progressive movement, 108, 109\n\nRoosevelt, T., beliefs about, 120\n\nUS constitution codifying selection of, 81\u201382\n\nWilson, W., view on role of, 121\u201322\n\nSee also specific presidents\n\nprivate debt, 29, 60, 64\n\nprivate property, 60\u201361\n\nPro Flacco (Cicero), 56\n\nProgressive Democracy (Croly), 115\n\nProgressive movement\n\nDarwinian theory used by, 110\u201311, 113\u201314\n\nelites attacked by, 111\n\nevolving Constitution preferred by, 127\n\nfederal government expansion by, 108\u201310, 125\u201326, 146\u201347\n\nfreedom for collectivist people of, 112, 114\u201316\n\nhuman science advances beliefs of, 119\u201320\n\nLincoln admiration of, 124\u201325\n\nmotto of, 123\n\nnongovernmental organizations displaced by, 118\n\npolitical philosophy of, 124\u201325\n\npresidents of, 108, 109\n\nin United States, 108\u201322, 161\u201362\n\nThe Promise of American Life (Croly), 115, 116\n\nproperty equalization, 50\u201351\n\nproperty ownership, 86\u201387\n\nproperty redistribution, 50, 101, 122\n\nagencies mechanism for, 132\u201333\n\ncitizen masses using power for, 29\n\nof federal government, 138\u201339, 148\u201349\n\nprivate property and, 60\u201361\n\nof Roosevelt, T., 128\u201329\n\nduring Shays' Rebellion, 64\u201365\n\nSee also wealth redistribution\n\nproperty tax (eisphora), 34\n\nProtagoras, 51\u201352\n\npublic opinion survey, 144\u201345\n\npublic oratory, 22\n\nCicero and, 56\n\nas dangerous weapon, 23\n\nduplicitous, 25\n\nLysias and, 10, 41\n\nself-interest and passions in, 24\u201325\n\nstate policies and manipulations of, 25\u201326\n\npublic service, 31\u201332\n\nPutnam, Robert D., 166\n\nradical democracy, 46\u201347\n\nradical egalitarianism, 92\n\nAristotle and, 146\n\nfrom democracy, 146\u201349\n\nfrom democratic equality, 49\u201350\n\nhuman nature contrary to, 50\n\nTocqueville's worries about, 101, 149\n\nwith wealth redistribution, 147\n\nSee also equality\n\nradicalized societies, x\n\nRahe, Paul, 43, 78, 103, 124, 131\n\nRaleigh, Walter, 57\n\nRandolph, Edmund, 70, 77\n\nredistributive payouts, xi\n\nregulations, 135\n\nregulatory powers, 110\n\nReign of Terror, 93\n\nreligion, 150\u201351\n\nreligious festival, 32\n\nRemini, Robert, 95, 97, 98\n\nrepresentative government, 162\n\nRepublic (Plato), 29, 48\n\nRepublican party, 85, 89, 89n89, 94\u201395, 102, 133\n\nrevolution, 106\u201307\n\nrhetoric, 22\u201329, 24\n\nRichard, Carl J., 56\n\nRoosevelt, Franklin Delano, 5, 126\n\nRoosevelt, Theodore, 108\n\nbeliefs about president by, 120\n\nBull Moose Party started by, 122\n\nfederal powers over corporations by, 109\u201310, 122\u201323\n\nnew individual rights instituted by, 130\u201331\n\nNew Nationalism speech of, 111, 113\n\npowers of government used by, 127\u201328\n\nproperty redistribution of, 128\u201329\n\nSocial Security Act of, 131\n\nState of Union address of, 129\u201330\n\nSupreme Court appointees of, 127\u201328\n\nRoot, Elihu, 124\n\nRossum, Ralph A., 124\n\nrotation principle, 97\u201398\n\nRousseau, Jean-Jacques, x\n\nRoyall, Anne Newport, 99\n\nrule by masses, 10\n\nRush, Benjamin, 59, 68\n\nRutledge, Edward, 66\n\nRutledge, John, 88\n\nRyan, Paul, 139, 142\n\nsacrifices, 33\u201334\n\nSamons, Loren, 6, 30, 43\n\nscience of administration, 117\n\nScott, James C., 165\n\nSecond Athenian League, 32, 44\n\nsecularization, 150\n\nSedgwick, Theodore, 71\n\nself-governing citizens, 112\n\nself-interest, 64, 100\u2013101\n\nof citizens, 46\u201347\n\nentitlement programs and voters, 140, 145\u201346\n\nhuman nature driven by, 108\n\nin public oratory, 24\u201325\n\nUS constitution balancing passions and, 75\n\nself-rule, by citizens, 164\u201365\n\nSeligman, E. R. A., 123\n\nsenate, 96\n\nexcesses of masses and, 77\n\nMadison arguing superiority of, 78\u201379\n\nstate-appointed, 75\u201376\n\nsenators, 78, 123\u201324\n\nSeventeenth Amendment, 77, 123\u201324\n\nSeward, William Henry, 98\n\nsexual revolution, 151\n\nShays' Rebellion, 60, 61, 64\u201365, 77, 79\n\nSherman, Roger, 70\n\nSicilian Expedition of 415, 15, 26\u201329, 43\u201344\n\nSixteenth Amendment, 123\n\nslavery, 94, 102\u201303, 112, 149\n\nSmith, Melancton, 71\n\nsmuggling crime (phasis), 41n81\n\nsocial efficiency, 116\n\nsocial media, 144, 168\n\nsocial rights, 114\n\nSocial Security Act, 131\u201332, 136n73, 138\n\nsocial welfare programs, 125\n\nsociety\n\ncivil, 166, 167\n\nas living organism, 113\u201314\n\nradicalized, x\n\nrelaxing standards in, xii\n\nsexual freedoms in, 151\n\nSocrates\n\ncitizen masses irrationality from, 145\n\ncitizens possessing mere opinion from, 16\n\nconviction and death of, 16\u201317\n\ndefense speech of, 15\n\nDemocratic Man described by, 48\u201349\n\nweaker argument seem stronger from, 23\u201324\n\nsofter despotism, 5, 129, 138, 161, 164, 168\n\nSolon, 19\n\nSomin, Ilya, 139\n\nSoviet Union, 1\u20132\n\nSparta, 44, 47\n\nstakeholder principle, 86, 88\n\nstate governments\n\nbeing closer to citizens, 114\n\nefficiency and accountability through, 166\u201367\n\npower of, 124\u201325\n\nShays' Rebellion and democracy of, 61\n\nsocial and economic experiments through, 165\u201366\n\nState of the Union address (1944), 129\u201330\n\nstate-appointed senate, 75\u201376\n\nstates\n\nelites running, 17\u201318\n\nknowledge necessary to run, 17\n\nmoney of, 46\n\npay from, 33\n\npolicies of, 25\u201326\n\nsycophants as corrupters of, 41\n\nstealing (apagog\u00ea), 41n81\n\nStockton, David, 52\u201353\n\nStory, Joseph, 99\n\n\"The Study of Administration\" (Wilson, W.), 117\n\nsubsidies, x\u2013xi\n\nsuffrage requirements, 87, 88\n\nSupreme Court, 76, 83, 96, 127\u201328\n\nSupreme Executive Council, 58\n\nsycophants, 41, 45\n\nTaft, William Howard, 122\n\ntax system, of United States, 137\n\ntaxation, 61, 101\n\ntaxpaying qualifications, 89\n\nTea Party movement, 167\n\ntechnological changes, xi, 117\u201318\n\ntelevision, 142\u201343\n\nTheognis, 13\n\nTheopompus, 33\n\ntheoric fund, 32\u201333, 46\n\nThornton, Bruce, ix\n\nThucydides, 19, 24, 39, 48\n\ncitizen masses irrationality shown by, 29\n\ncivil war from partisanship described by, 42\u201343\n\nHistory of the Peloponnesian War by, 15\n\nnature of mankind comments of, 62\u201363\n\nSicilian Expedition debate and, 26\u201329\n\nTocqueville, Alexis de, x\n\ncitizen deficiencies found by, 100\n\nDemocracy in America by, 100\n\ndemocracy's weaknesses and dangers from, 99\u2013100\n\nequality tendencies recognized by, 146\n\nfederal government's intrusive powers from, 107\u201308\n\nforeign policy dangers recognized by, 152\n\nradical egalitarianism worry of, 101, 149\n\nsofter despotism from, 5, 129, 138, 161, 164, 168\n\nTrespass Act of 1783, 84\n\nTurpie, David, 124\n\ntyranny\n\naccountability in, 143\n\nof citizen's passions, 80\n\ndemocracy's great fear of, 4, 74, 106\u201307\n\nfor good of victims, 163\u201364\n\nof majority, 74\n\ntaxation without representation is, 61\n\nunfunded liabilities, 137\u201338\n\nuninformed opinions, 18\u201320\n\nUnited States\n\nbig government resistance in, 166\u201367\n\ndefense cuts of, 154\n\ndemocracy's expansion by, 155\u201357, 159\u201360\n\neconomic freedom ranking of, 135\n\nlimited government in, 168\u201369\n\nmilitary and economic power of, 160\n\nnew political movement in, 108\n\nObama continuing idealism of, 156\u201357\n\nProgressive movement in, 108\u201322, 161\u201362\n\nprogressive tax system of, 137\n\nwar-weariness of, 153\u201354\n\nSee also Constitution, US\n\nuniversal manhood suffrage, 89\n\nverbal deliberation, 22\u201323\n\nviolent revolution, 90\u201391\n\nVoegeli, William, 129, 130, 134\n\nVoltaire, 63\u201364, 63n24\n\nvoting rights\n\nentitlement programs and self-interests in, 140, 145\u201346\n\nfreeholders with, 88\n\nproperty ownership required for, 86\u201387\n\nstakeholder principle in, 86, 88\n\ntaxpaying qualifications for, 89\n\nThe Wages of Appeasement: Ancient Athens, Munich, and Obama's America (Thornton), ix\n\nwar, 41\u201342, 72\n\nwar-weariness, 153\u201354\n\nWashington, George, 60, 67, 150\n\nWasps (Aristophanes), 39\n\nWatson, James E., 120\n\nwealth and glory, 27\u201328\n\nwealth redistribution\n\nin democracy, 29\u201336\n\nincome taxes resulting in, 137\u201338\n\nPlato's charge of, 41\n\nradical egalitarianism with, 147\n\nwealthy citizens, 35\n\nWeissberg, Robert, 145\n\nwelfare rights, 130\n\nwelfare state, 134\n\nWestern civilization, x\n\nWhig party, 98, 99\n\nWhiskey Rebellion of 1794, 90\u201391\n\n\"Who Is a Progressive\" (Roosevelt, T.), 111\n\nWilentz, Sean, 95, 99\n\nWilliamson, Chilton, 87, 89\n\nWilson, James, 59\n\nWilson, Woodrow, 108, 155\n\nadministrative elite comments of, 119\n\nConstitutional Government in the United States by, 121\n\nfederal government expansion under, 125\u201326\n\nThe New Freedom by, 110, 111, 113\u201314\n\npresident's role view of, 121\u201322\n\nscience of administration concern of, 117\n\nsociety as living organism belief of, 113\u201314\n\n\"The Study of Administration\" by, 117\n\nWomen at Assembly (Aristophanes), 31, 50\u201351, 148\n\nWood, Gordon, 70\n\nworse argument (H\u00eatt\u00f4n Logos), 23\n\nWortman, Tunis, 85\n\nXenophon, 15, 42\n\nXerxes (Persian king), 36, 47\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
+{"text":"\n\n# **GREETINGS  \n _from_  \nCALIFORNIA**\n\n**LEGENDS, LANDMARKS & LORE OF  \n _The Golden State_**\n\n**_GARY CRABBE_**\n\nTo my beloved wife, Connie; to my kids, Brandon and Alyssa; and to my mom, Gloria. Thank you for your love and support through my accident recovery and work on this book. I couldn't have done it without you. Mere words simply cannot express how thankful I am and how much you all mean to me.\n\n**Contents**\n\nIntroduction\n\n[**PART 1  \nNorthern California**](part01.html#part01)\n\nMount Shasta\n\nCoastal Redwoods\n\nWine Country\n\nBear Flag Revolt\n\nMount Lassen\n\nSacramento River\n\nClear Lake\n\nBidwell Mansion\n\nFort Ross\n\nJoss House\n\nThe Modoc War\n\nLogging Industry\n\nMossbrea Falls\n\nEureka\n\nLake Shasta\n\n[**PART 2  \nBay Area**](part02.html#part02)\n\nSilicon Valley\n\nPort Chicago\n\nThe Great 1906 San Francisco Earthquake\n\nAlcatraz\n\nPoint Reyes\n\nHarvey Milk\n\nPigeon Point Lighthouse\n\nThe Golden Gate Bridge\n\n1915 World's Fair\n\n[**PART 3  \nCentral Coast**](part03.html#part03)\n\nMissions\n\nNative Americans\n\nMonterey Jazz Festival\n\nCalifornia Condors\n\nThe California Riviera\n\nPebble Beach\n\nChannel Islands\n\nBig Sur\n\nNatural Bridges State Beach\n\n[**PART 4  \nCentral Valley**](part04.html#part04)\n\nAgriculture\n\nSacramento\u2013San Joaquin Delta\n\nMigrant Farm Workers\n\nKnights Ferry\n\n[**PART 5  \nSierra Nevada**](part05.html#part05)\n\nSutter's Mill\n\nLos Angeles Water Wars\n\nRanching\n\nKings Canyon\n\nManzanar\n\nGlacier Point\n\nThe Donner Party\n\nMalakoff Diggins\n\nSusanville\n\nMount Whitney\n\nHetch Hetchy Valley\n\nSequoia National Park\n\nBodie\n\nFishing\n\nLake Tahoe\n\nThe First Transcontinental Railroad\n\nDownieville\n\nYosemite Valley\n\nJohn Muir\n\n[**PART 6  \nDesert**](part06.html#part06)\n\nEdwards Air Force Base\n\nDeath Valley\n\nScotty's Castle\n\nJoshua Tree National Park\n\n[**PART 7  \nSouthern California**](part07.html#part07)\n\nCatalina Island\n\nPort of Los Angeles\n\nSalton Sea\n\nWildlife Refuges\n\nHollywood\n\nSurfing\n\nHotel Del Coronado\n\nThe Golden Crop\n\nMount Wilson\n\nBlack Gold\n\nThe Tournament of Roses\n\nAcknowledgments\n\nIndex\n\nAbout the Author and Photographer\n**Introduction**\n\nCalifornia state seal, circa 1855. _National Oceanic and Atmospheric Administration_\n\nCalifornia. There are so many adjectives that could describe the state. From the rugged landscape and the diversity of flora and fauna to the ethnic mix of people, no word is better suited to describe California than \"opportunity.\" The lure of an abundant bounty echoes in the minds of its people and in many ways defines the state.\n\nAlthough Native Americans inhabited the region for thousands of years, the Spanish were the first Europeans to settle into the area. Seeking to add new territorial colonies and dominion over new resources, the Spanish established a chain of more than twenty Franciscan missions. Spanish rule gave way to Mexican independence. In 1848, Mexico ceded control of the territory to the United States following the loss of the Mexican-American War. That same year, gold was discovered at Sutter's Mill. It was literally a golden opportunity.\n\nBy 1849, the Gold Rush was in full swing, leading to an expansive westward migration of settlers from the East. A year later, on September 9, 1850, California was admitted to the Union, becoming the thirty-first state. In 1869, the First Transcontinental Railroad finally connected overland passage between California and the East Coast. Along with the Gold Rush and the railroad, the state was built on the backs of Chinese immigrant laborers.\n\nCalifornia's opportunities weren't limited to gold. At the turn of the century, vast oilfields were discovered in Southern California, prompting a new wave of people seeking their fortunes. During the Dust Bowl and Great Depression of the 1930s, migrant workers believed their new chance in life lay in the farm fields of California. A generation after World War II, hippies and beatniks descended on San Francisco trying to establish a new, bohemian world order. Today, young people seeking fame and fortune in the entertainment industry flock to Hollywood, hoping to be discovered. The countless inventions that occurred in Silicon Valley in the computer and technology fields have radically changed the way the world works.\n\nCalifornia has always been a place of immense natural beauty. Its challenges have been overcome by the hopes, aspirations, and dreams of people willing to work hard for a better life and better opportunities.\n\nMorro Rock.\n\nWild rhododendron, Redwood National Park.\n\nMany people say that California should be split into two states: Northern and Southern. Each seems to be endowed with its own distinct state of mind. They say when you enter Northern California, you are entering God's country. It is both wild and bucolic. Graced by hallowed and natural cathedrals of coastal redwood forests and pierced with snowcapped volcanoes, the rugged landscape mirrors the fortitude and independence of the souls who live there, including the great mythical beast known as Bigfoot.\n\nThe northern part of the California is where the last of the nineteenth-century American Indian wars were fought. The region courses with the lifeblood carried by the Sacramento River. The rich forests continue to feed a vital logging industry, while the rich soil and mild climate have resulted in a world-famous wine country.\n\nTOPPING OUT at 14,179 feet, the snowcapped Mount Shasta volcano rises like a glistening diamond, standing nearly two vertical miles above the surrounding landscape.\n\nThe geologic history of the peak extends back more than 500,000 years, over which time numerous volcanic cones have been formed. Several hundred thousand years ago, a huge portion of the mountain collapsed in a manner similar to the 1980 eruption of Mount St. Helens in Washington. In fact, Mount Shasta is the second highest peak in the same mountain range, the Cascades. Sitting adjacent to the main summit cone, the mountain's secondary cone, named Shastina, rises to a height of 12,330 feet and was last active 9,000 years ago.\n\nIn the early nineteenth century, Mount Shasta became a well-known landmark on the trail between California and Oregon. The earliest documented account of someone climbing the mountain occurred in 1854. Others that soon followed included the famed naturalist John Muir and the explorers Clarence King and John Wesley Powell. By the early twentieth century, Mount Shasta had become a popular destination for climbers and tourists seeking an adventurous vacation. A small downhill ski area opened in 1959 above the tree line along the southern flank of the mountain. An avalanche struck the ski park in 1978, destroying the main ski lift. It wasn't until 1985 that a new ski area was built on the mountain.\n\nToday, as the fifth highest peak in California, Mount Shasta remains a popular all-season destination for mountain climbers and other outdoor enthusiasts. It also remains an active volcano. Some geologists predict the chance of another eruption in any given decade to be one in twenty-five, with a one in four chance that it will erupt again within a person's lifetime.\n\nMount Shasta from the north near Sheep Rock, 1908. _J. S. Diller, U.S. Geological Survey_\n\nMount Shasta at sunrise.\n\nRedwood National Park.\n\nA man leans against a redwood on the North Coast. _Ericson Photograph Collection, Humboldt State University Library_\n\nBigfoot footprint cast on display at the Willow Creek\u2013China Flat Museum.\n\nONE OF THE state's greatest natural attractions is the _Sequoia sempervirens_ , better known as the California coastal redwood tree. These gigantic trees are the tallest living things on the planet and can live to be over a thousand years old. Some of the trees can reach staggering heights of more than 300 feet, with the tallest specimen topping out at 379 feet.\n\nThe habitat of coastal redwoods is limited to a narrow geographic band. It runs about four hundred miles along the Central and Northern California coastline and extends less than fifty miles inland from the ocean. The southernmost redwoods are found along the Big Sur coast, while the northernmost trees are just across the Oregon border. Massive clear-cutting in the early 1900s prompted the formation of the Save the Redwoods League. Its efforts resulted in the first Redwood State Parks being established to preserve some of the old-growth forest. Stories and photographs showing the trees' huge size eventually transformed the redwoods into a tourist attraction. Similar efforts have continued through the years, including a huge environmental battle in the 1980s and 1990s that included tree sit-ins to save a virgin old-growth grove known as the Headwaters Forest in Humboldt County.\n\nToday, there are many places where visitors can enjoy a leisurely drive or hike among these majestic trees. The North Coast has numerous redwood parks, including the Avenue of the Giants. South of San Francisco, Big Basin and Henry Cowell Redwood State Parks are popular among locals.\n\nThe best known redwood grove is Muir Woods. Tourists from all over the world arrive by the busloads. The Woods are located along a narrow and twisting road at the base of Mount Tamalpais. On a summer weekend, the parking lots fill by early morning. Tourists arriving later may be forced to park several miles down the road.\n\nNapa Valley vineyard along the Silverado Trail.\n\nCALIFORNIA WINES were born in tandem with the settling of the Spanish missions. The monks planted vineyards and produced wine for their own use. In the 1850s, Hungarian immigrant Agoston Haraszthy brought more than a hundred vine cuttings that he had collected from the finest European vineyards. Haraszthy founded the Buena Vista Winery in Sonoma Valley, the state's oldest commercial winery.\n\nSome California vine cuttings were taken to Europe in the mid-1860s for planting. Unfortunately, those cuttings contained a small aphidlike insect called Phylloxera. Although Californian vines were immune to the insect, vineyards throughout Europe were destroyed by the pest.\n\nBy the early 1900s, California was becoming known for its wines. Several hundred grape varieties were being grown, and the state was home to more than seven hundred wineries. However, the prohibition era from 1919 to 1933 nearly killed the California wine industry. One of the few wineries to survive was the Christian Brothers Winery, which made wines for use in churches and prayer services. After prohibition, the wine industry slowly reestablished itself.\n\nToday, Napa and Sonoma valleys are famous for their wines. California ranks as one of the top wine-producing regions in the world and is responsible for nearly 90 percent of the wine produced in America.\n\nStomping and pressing grapes at California winery, circa 1880. _Courtesy of the Bancroft Library, University of California, Berkeley_\n\nMISSION SAN Francisco Solano was founded in 1823 in a beautiful and fertile valley north of San Francisco Bay. It was the northernmost of the Franciscan missions. In the early 1830s, Mexican military leader Mariano Guadalupe Vallejo came to oversee the mission and the local Native Americans. He also kept an eye on the Russians who had settled along the coast at Fort Ross.\n\nAs the number of inhabitants increased, the town of Sonoma formed over an eight-acre plaza near the mission. By the middle of the 1840s, Vallejo was well aware of the tensions between the American and Mexican governments regarding control of Texas. There was growing sentiment on the American side that California should be more like Texas.\n\nA band of thirty settlers, led by William Ide, decided that California should be free of Mexican rule. They showed up at Vallejo's doorstep on the morning of June 14, 1846, and arrested the general. The settlers then declared California a free and independent republic. To make their rebellion official, they drafted a declaration of independence and raised in the heart of Sonoma Plaza a hastily designed flag depicting a bear. The rebellion became known as the Bear Flag Revolt.\n\nThe Republic of California lasted a grand total of twenty-five days. That's when John C. Fr\u00e9mont showed up with the army, taking control of the town on behalf of the U.S. government.\n\nThe bear flag was the inspiration for the current state flag. However, the animal on the original flag was a black bear, rather than the now-extinct California grizzly bear on the current version. Some people mocked the original flag, saying the animal looked more like a pig.\n\nPainting of Mission San Francisco Solano de Sonoma, circa 1915. _Library of Congress_\n\nMission San Francisco Solano de Sonoma.\n\nMount Lassen erupting, 1914. _National Park Service_\n\nMount Lassen ash cloud as seen from Red Bluff, 1915. _National Park Service_\n\nLASSEN PEAK is located near the northeastern portion of the Central Valley. Also commonly called Mount Lassen, the peak rises to an elevation of just over 10,460 feet. The mountain grew out of the collapsed caldera of a larger volcano. Formed some 25,000 years ago, it is one of the largest plug dome volcanoes in the world. It is also the southernmost active volcano in the Cascade Mountains.\n\nIn 1914, Mount Lassen sprang to life. A series of steam and volcanic eruptions continued sporadically through 1917. The largest eruption occurred the afternoon of May 22, 1915. It sent a cloud of volcanic ash towering five miles into the air, some of it landing more than two hundred miles to the east. In 1916, the area became a national park, due primarily to the ongoing eruptions and the dramatic nature of the volcanic landscape.\n\nAside from the 1980 eruption of Mount St. Helens, Mount Lassen is the only other volcano to have erupted in the contiguous United States during the twentieth century. The main road that runs around Lassen Peak is one of the highest in the entire Cascade Range, topping out at just over 8,500 feet. Much of the park and road access is closed in winter, as the park receives some of the highest amounts of snowfall in California, in some places up to 75 feet annually. Summertime tourists enjoy a wonderful vista of the mountain from Manzanita Lake, a popular camping destination. Some visitors attempt to hike the rigorous trail to the mountain's summit, while most others prefer the much easier and gentler hike to the mud pots and fumaroles at Bumpass Hell.\n\nMount Lassen reflected in the calm waters of Manzanita Lake, Lassen Volcanic National Park.\n\nBoardwalk trail through geothermal steaming pools at Bumpass Hell, Lassen Volcanic National Park.\n\nA young Sacramento, 1849. _Library of Congress_\n\n_San Joaquin No. 3_ steamboat on the Sacramento River. _William B. Ide Adobe State Historic Park_\n\nTHE SACRAMENTO RIVER was the first vital transport waterway connecting the Port of San Francisco with Sacramento. The river also formed the basic track for the Siskiyou Trail, which carried trappers and settlers between the Central Valley and Oregon.\n\nThe first steamboat began operation on the river in 1849. The Gold Rush dramatically increased the need for river transportation. With miners pouring into the state, there were soon hundreds of steamboats making the run between San Francisco, Sacramento, and points north. It wasn't until the development of paved roads and trucks that the riverboat era wound to a close.\n\nThe Sacramento River has long been home to huge annual runs of salmon returning from the Pacific to spawn. In 1872, the first National Fish Hatchery was built on a Sacramento River tributary. In 2009, an all-time record-low salmon population was reported. Only 35,000 fish returned to the river to spawn, compared with nearly 800,000 in 2002. A once-thriving salmon fishing industry blames corporate farmers and agricultural water diversion. The state now bans nearly all non\u2013Native American salmon fishing.\n\nToday, annual water use in the Sacramento River basin runs to 18 billion cubic meters, half of which is used for agriculture. In 2004, a new landmark was constructed across the river, when the city of Redding built the Sundial Bridge for pedestrians and bicyclists.\n\nThe Sundial Bridge spanning the Sacramento River, Redding.\n\nCollecting salmon for spawning, circa 1942. _U.S. Fish & Wildlife Service_\n\nBoats on the Sacramento River. _Brian Voorheis Collection_\n\nCLEAR LAKE is a very old lake. By some accounts, it is one of the oldest lakes in North America. A lake has existed at this site continuously for more than 400,000 years, and geologists have found evidence of much older lakebeds in the same location dating back some 2 million years.\n\nClear Lake is the largest naturally occurring freshwater lake set entirely within the borders of California. It lies nestled in a mountain range between the Russian River Valley to the west and the great Central Valley to the east. The lake also sits astride Mount Konocti, a volcano that first erupted more than 300,000 years ago and last erupted 10,000 years ago.\n\nThe area around Clear Lake has been inhabited for an estimated twelve thousand years by Native Americans, most notably the Pomo tribe. Settlers moved into the area starting in the mid-1800s, mostly farming and ranching. Unfortunately, the Bloody Island Massacre of 1850, combined with disease and other factors, nearly decimated the area's entire Pomo tribe.\n\nBy the early 1900s, numerous resorts had sprung up around the lake, playing host to guests traveling from San Francisco. Today, Clear Lake is a top bass fishing hot spot in the West. Fishing and other water-based recreation continue to be important factors in the local community. There are also a growing number of vineyards and wineries taking advantage of the rich volcanic soil.\n\nEvening light over Mount Konocti and Clear Lake.\n\nIN 1865, General John Bidwell began building a twenty-six-room, Victorian-era, Italian-style mansion on his more than 25,000 acres at Rancho Del Arroyo Chico. With this, he established himself as the founding father of the city of Chico.\n\nTwo decades earlier, Bidwell had led the first wagon train to attempt crossing the Overland California Trail from Missouri. While some of the original party managed to get to California, the wagons were abandoned somewhere in the Great Basin Desert. Once in California, Bidwell made his fortune prospecting for gold, following the discovery at Sutter's Mill. He also fought in the Mexican-American War and was involved in state politics.\n\nGeneral Bidwell moved to Chico, where he began construction of his home prior to his 1868 wedding in Washington D.C. He had established such national prominence that the wedding was attended by then-president Andrew Johnson and future president Ulysses S. Grant.\n\nIn the late 1880s, Bidwell donated a small portion of his property to what would become Cal State Chico, the second oldest campus in the California State University system. Today, the Bidwell Mansion remains nestled on a quiet piece of property near the center of the bustling college town, set in the northern part of the great Sacramento Central Valley. Visitors to this state historic park can sign up for tours through the interior of the house, which when built had the latest and greatest plumbing and lighting systems available.\n\nBidwell Mansion State Historic Park.\n\nBidwell Mansion, late 1800s. _Bidwell Mansion State Historic Park_\n\nHoly Trinity Chapel, Fort Ross State Historic Park.\n\nHoly Trinity Chapel, Fort Ross, circa 1900. _Library of Congress_\n\nTHE RUSSIAN-AMERICAN Company established Fort Ross as a colony in 1812. The Russian government sponsored the company, which was responsible for much of the country's eastward seafaring exploration through Siberia and Alaska.\n\nThe colony at Fort Ross was established after a previous expedition returned to Alaska following a very successful hunt for sea otter pelts in nearby coastal areas, including Bodega Bay. The Russians hoped to continue hunting for sea otter pelts and to begin growing crops and harvesting lumber. These goods would then be shipped north to support other Russian settlements in Alaska.\n\nThe Russians brought with them a mix of Creole, Pacific Northwest Indians, and Alaskan Inuit to California. They were joined by groups of local Native Americans, all of whom combined to provide the labor force at the colony.\n\nHowever, the Fort Ross settlement was never as profitable as the Russians would have liked. Crops failed to grow in abundance due to the cool coastal environment. The lumber provided by the fort became known for rotting quickly. Finally, between the Spanish, the Americans, and the Russians, the local sea otters had been hunted to the point of total decimation. By 1839, plans were already underway to abandon the colony.\n\nToday, historic Fort Ross remains situated on a coastal bluff next to Highway 1, north of the town of Jenner and the mouth of the Russian River. Visitors can walk around the fort and see examples of how life was in the colony. Most of the fort these days is a reconstruction, including its most iconic building, the Holy Trinity Chapel. The Rotchev House is the only original structure that remains, having been built in 1836, just a few years before the Russians left for good in 1841.\n\nDrawing of Fort Ross, 1843. _Library of Congress_\n\nEntrance gate to Fort Ross State Historic Park.\n\nRedwood plank inside the Joss House engraved with Chinese names.\n\nTHE DISCOVERY of gold in 1848 captured worldwide attention, and China was no exception. Tens of thousands of Chinese immigrants poured into California, hoping to find their fortune so they could return to China as wealthy men. Many of the hopeful made their way into the hills of Northern California and settled along the banks of the Trinity River, near Weaverville. At one point, thousands of Chinese lived in the area, despite the fact that white miners levied a monthly $4 tax on foreign miners.\n\nIn 1853, the Chinese residents established a Taoist temple in Weaverville called a Joss House. The word _Joss_ is believed to derive from the Portuguese word _Deus_ , which means \"God.\" The Joss House burned to the ground twice, once in 1861 and again in 1873. The third temple, which still stands, was built in 1874.\n\nOf the thousands of Chinese who had originally come to the area, by 1931 only sixteen Chinese residents remained in town. In 1938, Moon Lee, a descendent of an original settler, was appointed trustee of the Joss House. After years of her tireless effort to preserve its historic legacy, the Joss House was acquired by the California State Parks system in 1956.\n\nToday, the Joss House is the oldest continuously used Chinese temple in California and one of the few remaining temples of its kind. With the exception of electrical lights and a couple of railings, the beautifully ornate altar and interior remain exactly as they were for the last hundred years.\n\nJoss House State Historic Park.\n\nJoss House, 1886. _Trinity County Historical Society_\n\nInterior of the Joss House.\n\nLAVA BEDS National Monument, near Tule Lake and the Oregon border, was the site of the Modoc War from 1872 to 1873. It was the last of the so-called Indian wars to be fought in California. Many people believe it was a war that never should have been fought.\n\nYears earlier, the Modoc tribe had signed a peace treaty with the U.S. government that forced them to leave their homelands and move to a reservation. Unfortunately, the reservation was shared with the Klamath tribe, with whom the Modoc were rivals.\n\nEventually, a large number of the Modoc, led by Captain Jack, left the reservation and returned to their own lands. Negotiations were held, with the Modoc asking for their own reservation. The request was refused and the U.S. military was given orders to return the Modoc to the Klamath reservation. Captain Jack, wanting to keep the peace, agreed. However, some members of the tribe broke off into a separate faction and were responsible for killing more than a dozen nearby settlers.\n\nThe Modoc leader eventually led his tribe to seek shelter in the rugged lava beds, now known as Captain Jack's Stronghold. Further negotiations were to take place, with Captain Jack still trying to petition for the Modoc's own reservation while desperately trying to maintain peace. However, the warring faction of the tribe forced Captain Jack to agree to a plan to kill the U.S. treaty party that was coming to negotiate. A Modoc woman named Winema carried a message to the treaty party warning of the attack, but it went unheeded. When the party arrived, the Modoc attacked as planned and killed the leaders. Winema was able to save the life of one party member, an act for which she is remembered today.\n\nThe Modoc were able to hold the U.S. Army at bay for several months by hiding in the stronghold. However, Captain Jack eventually surrendered. He was hanged with several other members of his tribe.\n\nCaptain Jack's Stronghold, Lava Beds National Monument.\n\nPortrait of Winema, the Modoc woman who saved a member of the U.S. treaty party in 1873. _Library of Congress_\n\nCaptain Jack's stronghold in the lava beds, 1873 engraving. _William Simpson_ , London Illustrated News, _National Park Service_\n\nIN ADDITION to mining and oil, lumber counts among California's greatest natural resources. Logging began in earnest following the population boom of the Gold Rush. As mining towns popped up throughout the state, the demand for wood for housing and equipment was immediate.\n\nNumerous towns used logging as an economic mainstay. Northern California developed a huge industry around the harvesting of majestic redwoods. Entire towns were constructed by lumber companies in order to provide housing for their workers, including Scotia and Samoa.\n\nToday, a number of towns still have economies intertwined with the lumber industry. In 2000, California produced an estimated two billion board feet of lumber with a value of nearly one billion dollars. In Northern California, approximately twenty mills were responsible for the cutting and processing of redwood lumber. Sierra Pacific Industries, a third-generation family-operated company, manages almost two million acres of forest throughout California.\n\nMore than 25 percent of California's North Coast redwood forests have been set aside and preserved. Still, nearly a million acres of redwood forest are available for harvesting. Most of those are certified and monitored by independent third parties so as to be harvested under sustainable logging practices.\n\nA huge redwood at a lumber mill in Samoa, circa 1890s. _Ericson Photograph Collection, Humboldt State University Library_\n\nSierra Pacific Industries log yard and lumber mill in Chinese Camp.\n\nTHE TOWN of Dunsmuir was founded in 1886 alongside the Sacramento River on what was then called the Siskiyou Trail. The trail served as the main route between California's Central Valley and Oregon's Willamette Valley in the nineteenth century. When the Central Pacific Railroad was built through the area in the late 1880s, it followed alongside the river. Canadian coal baron Alexander Dunsmuir was apparently so taken with the area when he passed through that he offered the townsfolk a fountain if they would name the town after him.\n\nThe new railroad brought tourists into Dunsmuir, which was touted for its great fishing and healing waters. A popular attraction was the idyllic Mossbrea Falls. For more than a century, people took the short hike out of town to play in the river, enjoying the spray and mist from the falls as it cascaded down a moss- and fern-covered slope.\n\nIn 1991, a train derailed along a sharp curve in the railroad tracks over the Sacramento River, just north of Dunsmuir. The accident spilled nearly twenty thousand gallons of a toxic biocide chemical into the water. The chemical wound up killing every living thing in the river for the next forty miles downstream. It was considered one of the worst toxic spills to have occurred in the United States.\n\nToday, the river has managed to recover from the disaster and once again has a healthy fishery. Dunsmuir is a popular destination for fishermen as well as train and railroad enthusiasts. People continue to take the mile-long hike out of town along the railroad tracks, seeking out the special beauty of Mossbrea Falls.\n\nPostcard of Mossbrea Falls, circa 1899. _Library of Congress_\n\nAutumn at Mossbrea Falls.\n\nAerial map of Eureka, 1902. _Courtesy of the Bancroft Library, University of California, Berkeley_\n\nAerial view of Eureka.\n\nTHE TOWN of Eureka sits on the edge of Humboldt Bay, the second-largest bay in California. It lies at the very heart of Northern California's densely forested redwood region.\n\nDue to the bay's extremely narrow opening, the area remained undiscovered during the age of seafaring explorers. It wasn't until 1849, after the discovery of gold in the Trinity River, that an overland expedition seeking a route to the coast discovered Humboldt Bay.\n\nIn March 1850, the first ships sailed into the bay, and within a few months the town of Eureka was settled. Gold prospectors and lumbermen quickly filled the area, and soon Eureka was home to seven operating lumber mills.\n\nPainting of Fort Humboldt soldiers. _Al Sondag, Library of Congress_\n\nSpring at Fort Humboldt State Historic Park.\n\nThe Native Americans of the area, the Wiyot, had numerous violent encounters with the new settlers. In 1853, the army established Fort Humboldt, which had the primary mission of acting as a buffer between the settlers and the Native Americans. Tragically, the fort was not successful in preventing the Indian Island Massacre of 1860, in which a group of local settlers paddled to an island just across from Eureka, where they slaughtered nearly a hundred Wiyot, including women and children.\n\nThroughout the late nineteenth century and well into the twentieth century, the area continued to be dominated by the lumber industry, as well as notable commercial fishing and oyster farming operations. Today, Eureka is the seat of Humboldt County. Both the local fishing and lumber industries have hit hard economic times, although Eureka's Old Town District is popular among locals and tourists alike.\n\nEureka, which sits near a geologically active intersection of three tectonic plates, has suffered more than a dozen magnitude 6 or greater earthquakes since 1980. The most recent quakes, magnitude 6.5 and 6.0, rattled the town in January and February of 2010, respectively.\n\nShasta Dam under construction, 1942. _Library of Congress_\n\nBETWEEN 1938 and 1945, the six-hundred-foot-long, nearly three-quarter-mile-wide Shasta Dam was constructed. Several years earlier, in 1933, the Federal Bureau of Reclamation had initiated the Central Valley Project to help manage water and irrigation needs throughout California's Central Valley. The biggest concern was that during the dry months, or times of drought, salt water from the Pacific Ocean would move through the San Francisco Bay and Delta at high tides, making the water unusable for crops and agriculture industries. The dam was built to establish a large water storage area and to create a managed flow of fresh water into the Sacramento River, controlling the salinity of the tidal waters moving inland. A spillway was built into the dam that also has been used to generate hydroelectricity for the state.\n\nToday, Lake Shasta, which formed as a result of the dam, is the state's largest reservoir. When filled, it is also the state's third-largest body of water after Lake Tahoe and the Salton Sea, and it has more than 300 miles of shoreline. During the drought years of 1977 and 1978, the lake level dropped 230 feet, yet the lake still retained 120 miles of shoreline.\n\nWith nearly a dozen marinas, several resorts, and more than twenty Forest Service\u2013managed campgrounds, Lake Shasta is a popular destination for recreation, especially for fishing and summertime houseboating.\n\nThe water output from Lake Shasta and the Shasta Dam continues to be vital to the state's agriculture industry. Most recently, due to California's continued population growth, a controversial recommendation was put forward to increase the size of the dam and add an additional power plant.\n\nLake Shasta during a recent drought year.\n\nSan Francisco Bay.\n\nFollowing the 1849 Gold Rush, San Francisco and the Golden Gate became the doorway to the state. The influx of people turned the city into the world's greatest boomtown and the bay into a great port of commerce.\n\nOn a quiet April morning a little more than a half-century later, the bustling city was razed to the ground by an earthquake that ranks as one of the country's greatest natural disasters. Nine years later, the city proudly announced her rebirth. In 1937, a bridge was built to span the Golden Gate; the new icon came to represent the state's strength of character, opportunities, and riches.\n\nThe Bay Area is home to an infamous prison as well as a World War II stateside military disaster. It is also the home site of two notable births: the gay-rights movement in the 1970s and the new age of computing in Silicon Valley.\n\nOracle office building, Redwood City.\n\nTHROUGHOUT THE nineteenth century, the Santa Clara Valley was a bountiful agricultural community known as the Valley of Heart's Delight. The valley was settled in 1769 by Father Junipero Serra's establishment of the Spanish missions. Originally known as the Pueblo de San Jose de Guadalupe, the city of San Jose was founded in 1777. It was the first civil township established in the Spanish territory known as Alta California. More than seventy years later, San Jose would become the second incorporated city in the new state of California and would serve as the state's first capital.\n\nIn the late 1800s, San Jose built a landmark structure known as the Electric Light Tower to replace the city's gas streetlights. Failing to produce enough illumination, the tower became a ceremonial landmark until it was blown down in a 1915 storm.\n\nIn the latter half of the twentieth century, Silicon Valley became home to the world's greatest computing, technology, and dot com companies. Places like the Stanford Research Institute and the Palo Alto Research Center served as technological launching pads for notable companies such as Apple Computers, Adobe Systems, Intel, Oracle, Yahoo, and Google.\n\nSilicon Valley saw huge growth with the dot com era of the late 1990s, which accounted for the nation's highest increases in housing costs, nearing 1,000 percent. The dot com bubble burst in 2000, and the economic downturn in 2008 left many of the area's corporate buildings vacant. Still, several Silicon Valley neighborhoods boast the state's highest median household incomes, and San Jose remains California's third-largest city and the tenth-largest in the United States.\n\nSan Jose Electric Light Tower, 1907. _History San Jos\u00e9_\n\nOrchard near Santa Clara. _P217:023, courtesy OSU Archives_\n\nON DECEMBER 9, 1941, two days after the attack on Pearl Harbor, approval was given to begin construction on the Port Chicago Naval Magazine. Exactly one year later, the first ships docked at the magazine. They were supplied with bombs and other military ordnance to be used in the Pacific campaign.\n\nSeveral years later, Port Chicago became the scene of the greatest stateside war-related disaster of World War II, and what followed became one of the biggest race-related stains to occur in the U.S. military in the twentieth century. In July 1944, two ships were docked at Port Chicago while munitions-loading operations were underway. An explosion occurred, followed a few seconds later by a much larger explosion. The second explosion had the force of approximately two thousand tons of TNT and hurled a fireball several miles into the air. The force of the blast blew one ship completely out of the water.\n\nMore than three hundred people working on the dock were killed instantly, and nearly four hundred other sailors and civilians were injured. Subsequent investigation revealed that the navy was using untrained African Americans to handle the ammunition loading under dangerous conditions and poor supervision.\n\nWhen ordered to resume operations, more than 250 men refused out of fear for their safety. Eventually, 50 men were tried, found guilty of mutiny, and sentenced to prison. The trial garnered widespread attention, bringing scrutiny on the problems of race relations and segregation in the military. After the war, in early 1946, the navy agreed to release 47 of the 50 men.\n\nAn active military base, Port Chicago contains a public memorial honoring the men killed in the 1944 blast. However, members of the public desiring a tour must give several weeks advance notice in order for the navy to perform security background checks.\n\nAfter the 1944 Port Chicago explosion. _U.S. Navy, Naval Historical Center_\n\nLooking down Sacramento Street, San Francisco, the day of the great 1906 earthquake. _Arnold Genthe, Library of Congress_\n\nAT 5:12 on the morning of April 18, 1906, the citizens of San Francisco were rudely shaken awake by a powerful 7.8 earthquake. The quake struck along the San Andreas Fault, centered only a few miles offshore from the city. The tremor caused devastating structural damage. It was felt throughout most of California and parts of Nevada. In San Francisco, the quake destroyed the city's water supply, rendering firefighters helpless to stop the blazing inferno that followed and ultimately left the city in near total ruin.\n\nSan Andreas Fault, Carrizo Plain, California. _R. E. Wallace, U.S. Geological Survey_\n\nAn estimated three thousand people died, although exact numbers have never been determined, partially because nobody kept count of the casualties in Chinatown or other immigrant neighborhoods. The 1906 earthquake remains one of the greatest natural disasters to befall the United States.\n\nIt wasn't until the 1970s that geologists formulated the theory of plate tectonics. The general idea is that the planet is made up of large blocks that float on the surface of the earth, like a broken eggshell that still retains its shape. As the plates move against each other, that movement is felt as an earthquake. The San Andreas Fault is the best-known fault line in California. Beginning beneath the Salton Sea in Southern California, the San Andreas runs eight hundred miles through the state, ending up offshore of the Lost Coast in Humboldt County.\n\nALCATRAZ, named after the Spanish word for \"pelican,\" is a small island located in San Francisco Bay. The island got its name in 1775, when the first Spaniard to navigate the bay noticed a large flock of pelicans on the island's rocky shoreline.\n\nThe U.S. military took control of the island in 1850, shortly after the start of the Gold Rush, to serve as a primary defensive measure in the bay. Alcatraz was first used as a military prison during the Civil War, a function that continued throughout the Spanish-American War in the 1890s. The huge cellblock that dominates the island was built in 1912 and housed military prisoners until it became a federal prison in 1933.\n\nKnown as The Rock, Alcatraz has been home to some of the country's most dangerous criminals, including Al Capone and George \"Machine Gun\" Kelly. It is said that no one ever successfully escaped from Alcatraz, despite numerous attempts. Of all the prisoners who tried, only three were never accounted for again and presumed drowned in the bay.\n\nRobert Kennedy ordered the prison closed in 1963 after it became too expensive to house inmates. In 1969, a group of Native Americans took over the island in a protest that lasted more than eighteen months.\n\nAlcatraz is now a National Historic Landmark. It is incorporated into the Golden Gate National Recreation Area, and tourist access to the island is available through a ferry service contracted by the National Park Service. During the busy summer season, ferry tickets are often sold out more than a week in advance.\n\nPrisoners returning to cells, circa 1939\u20131962. _National Park Service_\n\nAlcatraz photo postcard, 1898. _Library of Congress_\n\nAlcatraz Island cannons, citadel, and officers' quarters, circa 1880. _Courtesy of the California History Room, California State Library, Sacramento, California_\n\nTourist ferry circling Alcatraz Island.\n\nSunrise lighting Point Reyes National Seashore.\n\nPortrait of Sir Francis Drake, 1583. _Library of Congress_\n\nA map of the world following Drake's voyage, 1628. _Library of Congress_\n\nPOINT REYES IS A distinctive geographic feature along the California coast. Not far north of the San Francisco Bay, it extends ten miles into the Pacific Ocean. The large point forms Drakes Bay along its southwestern shore.\n\nLegend has it that the English explorer and privateer Sir Francis Drake landed his ship, the _Golden Hinde_ , in the area of Drakes Bay. The year was 1579, and Drake was on his now-famous circumnavigation of the world. With his ship in need of repair and restocking, he pulled into what he described as a \"good and fair bay.\" He claimed the land on behalf of the English Crown, naming it Nova Albion, which meant \"New Britain.\" At the time, the British considered it vital to put a cap on Spanish expansion and territory claims.\n\nDuring the 1850s, a San Francisco law firm purchased more than fifty thousand acres of the pastoral lands of Point Reyes, establishing numerous cattle and dairy ranches.\n\nToday, Point Reyes is designated a National Seashore. It is a popular recreation destination due to its scenic coastal vistas and proximity to San Francisco. A number of historic ranches continue to operate on the land, and there is a wild elk herd that has become its own popular tourist attraction.\n\nIllustration of the _Golden Hinde_ at anchor in Drakes Bay, 1577. _National Oceanic and Atmospheric Administration_\n\nParade-goers protesting California Proposition 8 at the 2009 Pride Parade.\n\nIN 1969, gay people from across the country were moving to San Francisco, attracted by the growing gay community that had established itself in the Castro District. By then, San Francisco had the largest gay population per capita of any city in the United States. One of the people to arrive that year was Harvey Milk.\n\nBy 1973, Milk had become disgusted with the government status quo and decided to run for city supervisor. Although he lost that election, he realized his calling was in politics and in his vocal gay-rights advocacy. In 1978, he was successfully elected as a San Francisco's city supervisor. At that year's Gay Pride Parade, Milk gave a famous speech urging gays to stand up for their rights and not to remain quietly in the closet.\n\nAfter only ten months in office, Milk, along with San Francisco Mayor George Moscone, was assassinated by an ex-city supervisor named Dan White. That night, more than twenty-five thousand mourners marched in a candlelight vigil from the Castro District to City Hall.\n\nToday, Harvey Milk's legacy remains as strong as ever, as gays from all over continue to fight for equal rights and against prejudice and discrimination. A huge rainbow flag flies prominently at the intersection of Market and Castro streets, in what is now called Harvey Milk Plaza. San Francisco's Gay Pride Parade, which has run continuously since 1972, draws upward of one million attendants every year, making it the most famous pride parade in the world. It is the second-largest parade in California, only exceeded in attendance by the Tournament of Roses Parade in Pasadena.\n\nIn the years since Milk was alive, some of the public attitudes toward gays have changed markedly. In 2009, President Barack Obama posthumously awarded Harvey Milk the Presidential Medal of Freedom.\n\nHarvey Milk riding in the 1978 San Francisco Pride Parade. _Daniel Nicoletta, all rights reserved_\n\nDawn at Pigeon Point Lighthouse.\n\nAnnual lighting of the original Fresnel lens at Pigeon Point Lighthouse.\n\nAutomobile tourists at Pigeon Point Lighthouse, circa 1921. _Library of Congress_\n\nIN JUNE 1853, while sailing on her maiden voyage from Boston around Cape Horn, the clipper ship _Carrier Pigeon_ had just about reached her final destination of San Francisco. Enveloped in a blanket of evening fog after passing Santa Cruz, she struck rocks off a place called Punta de las Ballenas, or Point of the Whales. The crew managed to survive, but the ship was wrecked. The place where the ship ran aground was christened Pigeon Point.\n\nOver the next two decades, at least three other ships met a similar fate near Pigeon Point. The Pigeon Point Lighthouse was finally built in 1871. The lighthouse's original First Order Fresnel lens was lit on November 15, 1872. There was some confusion as to the origin of the eight-thousand-pound lens, which consisted of more than a thousand separate lenses and prisms. In 1924, a letter from the Commissioner of Lighthouses determined that the lens had originated at the Cape Hatteras Lighthouse before being shipped to Pigeon Point.\n\nToday, the Pigeon Point Lighthouse is preserved as a State Historic Park. The lighthouse continues to aid in navigation, using a modern light beacon and fog signal. It is also one of the tallest and most picturesque lighthouses on the West Coast. Some of the buildings on the property include a hostel where travelers can book an overnight stay. Since 2001, the lighthouse itself has been closed to the public following the collapse of a piece of the brickwork that supported the walkway near the top of the structure.\n\nView of the Golden Gate Bridge under construction, 1935. _Anne T. Kent California Room Collection, Marin County Free Library_\n\nIT'S NEARLY impossible today to think of California without the iconic Golden Gate Bridge. First opened for traffic in 1937, the bridge wasn't named for the Gold Rush, contrary to popular thought. Nor was it named for its color, which isn't golden but technically International Orange. Rather, the bridge was named for the strait of water that it spans. The narrow gap between the Marin and San Francisco coasts, where the San Francisco Bay meets the Pacific Ocean, received its name several years prior to the Gold Rush when explorer and military officer John C. Fr\u00e9mont first called it Chrysopylae. The name, which is Greek for \"golden gate,\" was inspired by the golden light of the sunset as it lit the nearby hills and for the visual similarity to Chrysoceras (Greek for \"golden horn\"), the narrow waterway that splits the city of Istanbul near the Black Sea.\n\nThroughout the late 1800s and early 1900s, the only way to get from Marin to San Francisco was by ferry. Early in the twentieth century, proposals were put forth to build a bridge that would span the seven-thousand-foot waterway. Naysayers decried it as either impossible or too expensive. Finally, after years of arguing over design and budget, construction began on the bridge in 1933, led by engineer Joseph Strauss. Four years later, construction was completed.\n\nSince that date, nearly two billion vehicles have crossed the expanse. But the bridge also touts a sad legacy as one of the most popular places on the planet for people to commit suicide. A debate has raged for years over the need for a suicide barrier. Although there has been some tentative approval for an extended antisuicide net underneath the bridge, the Bridge District claims lack of funding will keep any type of barrier from being built.\n\nWaves crash at Baker Beach, below the Golden Gate Bridge.\n\nThe moon sets behind the historic Palace of Fine Arts.\n\nPalace of Fine Arts, 1915. _Library of Congress_\n\nAerial view of the 1915 World's Fair. _Library of Congress_\n\nIT WAS AN invitation to a city reborn. After being destroyed by the great earthquake and fire of 1906, San Francisco got a chance to show the world how far she had come in rebuilding. The 1915 Panama Pacific World's Fair was a grand and glorious celebration for the opening of the Panama Canal.\n\nMore than three hundred thousand yards of landfill were used to create nearly six hundred acres of new land on which the fairgrounds would be built. Many new buildings and structures were made just for the fair. The crowning glory was the Tower of Jewels, which stood nearly forty stories tall and contained over one hundred thousand pieces of multicolored cut-glass stones. At night, the tower and any fog in the sky were lit with forty-eight searchlights in seven different colors.\n\nToday, very little is left from the 1915 World's Fair. The land that was created is still there and is now known as the Marina District. A San Francisco landmark, the Palace of Fine Arts is the only major structure that remains. It is home to one of the city's favorite museums, the hands-on, science-based Exploratorium. Over the years, the Marina District also became the home of many residential properties. During the 1989 Loma Prieta earthquake, the landfill suffered from a process known as liquefaction, causing a number of homes to collapse and catch fire.\n\nWorld's Fair poster. _Library of Congress_\n\nBig Sur coast at sunset.\n\nStretching from Carmel to Santa Barbara, California's central coast displays an unparalleled scenic landscape. Spanish explorers throughout the fifteenth and sixteenth centuries sailed these waters in search of new lands and riches. The rugged coastline offered shelter to scores of wildlife, including sea lions, otters, and the impressively large California condors. Because it was so rugged, a majority of the land remained unsettled by whites, yet it had been home to coastal bands of Native Americans for thousands of years.\n\nIn the early part of the twentieth century, a growing community of artists and writers around Carmel, including Edward Weston and John Steinbeck, helped establish the reputation for a place that is famously called \"the greatest meeting of land and sea in the world.\" Fed by the region's natural beauty and the lure put forth by resident artists, the area has become a magnet for the social elite. Helping to cater to them are world-class golfing at Pebble Beach and a world-class music festival in Monterey.\n\nMission San Carlos Borromeo, Carmel-by-the-Sea, late 1800s. _Library of Congress via the California State Library_\n\nFOLLOWING THE discovery of the New World, the Spanish launched an aggressive campaign of exploration and colonization throughout Central and South America. By the mid-eighteenth century, the Spanish government had a firm interest in establishing territorial control over California, especially in light of Russian expansion south through the Pacific Northwest. In 1769, Franciscan priest Father Junipero Serra was sent north to establish the first California missions in San Diego and Monterey. Over the next half century, twenty-one Spanish missions were founded.\n\nEach mission was meant to be self-sufficient, converting local Native Americans to the Christian faith and using their labor to support ranching and farming. In a few instances, the natives rebelled, but those attempts were often quashed. Unfortunately, the missions, in their attempt to \"save souls,\" cost the lives of many Indians, who were decimated by diseases brought by the Spanish against which they had no immunity.\n\nIn 1833, the Mexican government ordered the missions to become secularized. Within a few years, the Franciscans abandoned many of the missions, leaving them to fall into ruin. Today, many of the missions have been restored, and they have become some of the state's most popular historic attractions. Some are better known than others, particularly the Carmel and Santa Barbara missions. Most of the missions continue to be used as local parishes, with Mass on Sundays.\n\nMission San Carlos Borromeo de Carmelo.\n\nBrother Odoricus at Mission Santa Barbara, circa 1899. _Library of Congress_\n\nIllustration of Mission Santa Barbara, circa 1850. _National Oceanic and Atmospheric Administration_\n\nAltar in the chapel at La Purisma Mission State Historic Park.\n\nNATIVE AMERICANS have lived on the West Coast for more than ten thousand years. At the time of the Spanish arrival, the region was home to an estimated three hundred thousand Native Americans living among two hundred tribes. Despite romantic portrayals of the Franciscan missions, these places often converted Native Americans into forced labor. The native population declined precipitously, primarily due to a lack of immunity to the diseases introduced by the Spanish.\n\nThings changed drastically with the 1849 gold Rush and the sudden increase of settlers in California. Some natives attacked miner camps, and these acts usually incited retaliation. In a number of cases, the retaliation was responsible for wiping out entire tribes. By the 1860s, the Native American population had dwindled to 10 percent of its original number. In 1873, the Modoc War was the last battle to be fought between California's Native Americans and the government. Native American culture and traditions were quickly vanishing among the decimated and fragmented tribes.\n\nA Yurok man in his canoe, Trinity River, 1923. _Edward S. Curtis Collection, Library of Congress_\n\nYurok author Lucy Thompson, 1916. _Library of Congress_\n\nThe California State Supreme Court finally granted Native Americans the right to vote in 1917. Full citizenship was granted seven years later with the Indian Citizenship Act of 1924.\n\nIn 1980, a band of California Mission Indians started hosting card and bingo games on their reservation, setting off a huge legal battle regarding gaming and sovereign rights. Although the Nevada gaming Commission vehemently opposed gambling on reservations, the U.S. Supreme Court ruled in favor of the tribe in 1987. In the twenty years following, more than fifty Native American casinos have been built throughout the state, generating over $3 billion for the once-impoverished tribes.\n\nPetroglyphs carved in Red Rock Canyon by Kawaiisu Indians.\n\nDave Brubeck and Louis Armstrong, 5th Monterey Jazz Festival, September 23, 1962. _Arthur McEwen_ , Monterey County Herald, _and the Monterey Jazz Festival Archives, from the book_ The Art of Jazz: Monterey Jazz Festival 50 Years\n\nBillie Holiday, 1st Monterey Jazz Festival, October 5, 1958. _Arthur McEwen_ , Monterey County Herald, _and the Monterey Jazz Festival Archives, from the book_ Monterey Jazz Festival: Forty Legendary Years\n\nTRUE MUSIC aficionados know that the words Monterey and music are synonymous with the Monterey Jazz Festival. In the late 1950s, a former radio disc jockey from San Francisco named Jimmy lyons wanted to share his passion for jazz by staging a music festival at the Monterey Fairgrounds. In order to convince local officials and businessmen, he talked his friend, jazz pianist Dave Brubeck, into giving a private performance. With that, the Monterey Jazz Festival was born.\n\nSome of the performers to grace the stage at the first festival in 1958 included Brubeck, Louis Armstrong, and Billie Holiday, with Dizzy gillespie acting as emcee. At the 1962 Monterey Jazz Festival, Armstrong gave his only performance of a musical composed by Brubeck called _The Real Ambassadors_. Armstrong had recently been named overseas cultural ambassador by the State Department, despite America's ongoing domestic racial inequality. Since Brubeck's musical dealt with racial integration, Armstrong was afraid to perform it anywhere else.\n\nNow, more than fifty years later, the annual three-day event is billed as the world's oldest ongoing jazz festival and it continues to be hosted at the Monterey Fairgrounds. These days, the Monterey Jazz Festival draws more than forty thousand visitors every September. Originally started as a nonprofit to fund jazz music education, the festival invests annually nine hundred thousand dollars for such programs.\n\nScotty Barnhart, 52nd Monterey Jazz Festival.\n\nThe crowd at the 52nd Monterey Jazz Festival.\n\nA California condor kept as a pet, circa 1906. _Finley_ _& Bolhman, Audubon Society of Portland_\n\nKNOWN IN scientific circles as _Gymnogyps californianus_ , the California condor has a remarkable story. The bird's traditional habitat ranged throughout the Southwest and California and extended as far south as Baja, Mexico. Its population decreased rapidly during the settlement of the New World. The birds are scavengers, feeding largely off dead animals, but ranchers saw the giant birds feeding on their dead cattle and assumed the birds had killed the livestock. Untold numbers of condors were shot, while others died of lead poisoning after ingesting lead bullets or buckshot left in their prey. Condors also were affected by DDT use in the mid-twentieth century.\n\nBy the 1980s, the California condor was close to extinction. Undaunted, conservationists put into action an aggressive and controversial program to save the critically endangered bird. The plan was to capture all the remaining wild condors, breed them in captivity, and then release the offspring into the wild. When the plan went into effect in 1987, only 22 California condors were left alive on the whole planet.\n\nThe conservation effort was a success. Today, more than 300 California condors are alive, of which about 180 have been released into the wild. Observant visitors to the Big Sur coast sometimes see the huge birds\u2014which have the widest wingspan of any bird in North America\u2014gliding along the cliffs and hillsides.\n\nA biologist chases released condors away from a tourist lookout at the Grand Canyon, Arizona.\n\nPortrait of a captive condor. _Chuck Szmurlo via Creative Commons 3.0 Attribution_\n\nA condor wearing radio tracking soars over the Big Sur coast. _Michael Routh, San Miguel Photography_\n\nThe historic Mission Santa Barbara.\n\nTHE TOWN of Santa Barbara lies along a strip of south-facing coastline at the base of the Santa Ynez Mountains. In 1782, Father Junipero Serra founded the now-famous Mission Santa Barbara. Known as The Queen of the Missions, it was the tenth mission established along El Camino Real. The original structure was destroyed by an earthquake in 1812 and subsequently rebuilt.\n\nDuring the mid- to late 1800s, the area became primarily a ranching and agricultural community, with many Victorian houses and buildings springing up in town. In 1890, oil was discovered in the coastal village of Summerland. By the early twentieth century, the shoreline was filled with piers and wharfs lined with wooden oil derricks.\n\nAerial photograph of Santa Barbara, circa 1900. _Library of Congress_\n\nIn 1925, a large earthquake struck the Santa Barbara area, destroying most of the town. Residents were quick to notice that while the Victorian buildings crumbled, many of the Spanish Mediterranean-style buildings remained relatively intact. As the city began to rebuild, the local government heavily influenced developers to build using the Spanish-style architecture.\n\nToday, all of the onshore wooden oil derricks have long since disappeared. The city of Santa Barbara has branded itself with its predominant Spanish architecture. With the area's warm Mediterranean climate, this part of the coast has become known as the California Riviera. Santa Barbara has become an affluent community with numerous hotels and resorts lining its sandy beaches. It is also a popular college town, home to the University of California at Santa Barbara or, more simply, UCSB.\n\nBoats anchored offshore Santa Barbara.\n\nThe sun sets on the seventh hole.\n\nFOUR RAILROAD barons acquired a bunch of land in 1880 on the Monterey Peninsula, which included parts of Carmel, Pacific Grove, and the Del Monte Forest. They founded the Pacific Improvement Company and opened the Del Monte Hotel, seeking to lure tourists and raise real estate prices. A year later, they opened 17-Mile Drive, a scenic toll road that wound its way around the rugged coastline.\n\nThe improvement company hired Samuel F. B. Morse in 1915 to manage and liquidate its land holdings. Four years later, Morse purchased 18,000 acres of land and formed the Del Monte Properties Company. As part of the purchase, he acquired the Pebble Beach Lodge where he went on to build the Pebble Beach Golf Links. In 1926, the first professional tournament was held on the course.\n\nToday, the Monterey Peninsula and its stunning scenic beauty have become synonymous with the sport of golf. The Pebble Beach Company also owns The Links at Spanish Bay, Cypress Point, and Spyglass Hill. Located in nearby Monterey, the Del Monte Golf Course is the oldest continuously operating course in the West.\n\nThe world-famous Pebble Beach Golf Links is home to numerous U.S. Opens. Pebble Beach is open to the public, but due to its fame it boasts one of the highest greens fees in the world: $495. However, if you are a guest of the resort, the greens fee does include a golf cart at no extra cost.\n\nPebble Beach's famous seventh hole, circa 1930. _Library of Congress_\n\nModern paddlers re-create a traditional channel crossing to Santa Cruz Island in a _tomol_ , the oceangoing canoe of the Chumash Indians. _Robert Schwemmer, Channel Islands National Marine Sanctuary, National Oceanic and Atmospheric Administration_\n\nIllustration of fishing in the Channel Islands, circa 1790. _National Oceanic and Atmospheric Administration, Department of Commerce_\n\nTHE CHANNEL ISLANDS are located off of the Southern California coast between Santa Barbara and Orange County. Typically, the eight islands have been divided into two groups, namely the northern islands and the southern islands.\n\nThe four northern islands, located near Santa Barbara and Ventura, were part of a single landmass prior to the rise in ocean levels following the end of the last Ice Age. Archaeological discoveries in the Channel Islands have provided evidence of the earliest seafaring by any people throughout the Americas, upward of ten thousand years ago.\n\nBy the mid-nineteenth century, much of the native island population had been moved to the mainland to be resettled and missionized. That same period saw settlers bringing sheep, pigs, cattle, and horses to the islands of San Miguel and Santa Cruz in an attempt to establish ranches.\n\nToday, all of the northern islands and the small southern island of Santa Barbara make up Channel Islands National Park. The island of Santa Cruz is only one-quarter owned by the National Park Service. The Nature Conservancy owns the other three-quarters. The Conservancy got involved after the island suffered massive ecological damage caused by pigs that had escaped from ranches and become feral. The last of the pigs have now been removed, and the island's ecology is slowly starting to heal.\n\nVisitors can tour a number of the islands via a boat ride out of Channel Islands Harbor in nearby Oxnard. Most popular of these includes a tour around Anacapa Island and a visit to a famous nearby offshore rock arch.\n\nMorning light on Channel Islands National Park.\n\nIllustration of Point Sur, 1869. _George Davidson, National Oceanic and Atmospheric Administration_\n\nSanta Lucia Mountains on the Big Sur coast.\n\nThe prison labor camp used to build Highway 1 along the Big Sur coast. _Floyd Risvold, U.S. Coast and Geodetic Survey, National Oceanic and Atmospheric Administration_\n\nPOINT LOBOS was once famously called \"the greatest meeting of land and sea in the world.\" That quote has come to describe the entire Big Sur area. Along the rugged coastline, the Santa Lucia Mountains plunge into the Pacific Ocean. Commonly considered to start just south of Carmel, the Big Sur coast continues southward to Ragged Point, which lies a few miles beyond the Monterey County line.\n\nThroughout the period of Spanish settlement, few people lived among the remote landscape. Very little industry supported the local settlers. Redwood logging and harvesting of tan bark had to be exported by boat due to a lack of roads. Ironically, more settlers lived in the area during the late nineteenth century than live there today.\n\nIn the late 1920s, a doctor living in Carmel thought that a paved road along the Big Sur coast would benefit both his patients and the state. After a lobbying effort, funds were secured through Franklin Roosevelt's New Deal program. With much of the labor provided by convicts, a two-lane road was completed in 1937. The route was designated California's first scenic highway. The road, now known as Highway 1, opened the area to tourists.\n\nToday, Highway 1 and the scenic beauty of the Big Sur coast rank among the most popular tourist attractions in the state. The ninety-mile stretch of coast is one of the most dramatic drives in the country. Adventurous tourists curious what travel was like before Highway 1 can take a ten-mile, dirt-road detour between the town of Big Sur and the Bixby Creek Bridge, on what is known as the Old Coast Road.\n\nArch rock in evening light, Natural Bridges State Beach.\n\nONE THING remains eternal along the central coast: the constant pounding of ocean waves wherever land meets sea. Millions of years ago, ancient sea beds were deposited one on top of the other and slowly became sandstone. Eventually some of the sandstone layers rose to the surface, where they became cliffs along West Cliff Drive in Santa Cruz. The never-ending waves then slowly eroded the sandstone cliffs back into the sea. Sometimes a small hole in the rock formed due to the constant erosive forces. Over a long period of time, the hole grew larger, forming a natural rock arch.\n\nSome of the most dramatic examples of these geologic phenomenon were found at the end of West Cliff Drive, at what would come to be called Natural Bridges State Beach. At the turn of the century, there were at least three such arches in close proximity to one another.\n\nToday, Natural Bridges State Beach is popular among locals, especially when throngs of summer tourists crowd nearby Santa Cruz Boardwalk. Those who come to this tucked-away beach can still see one of the best examples of these natural arches on the central coast. The constant weathering of time has taken its toll on the other two arches, causing them to collapse.\n\nNatural bridge along present-day West Cliff Drive, Santa Cruz, circa 1905. _National Oceanic and Atmospheric Administration_\n\nMonarch butterflies cling to a eucalyptus tree.\n\nFlowering almond trees in the Central Valley.\n\nThe Central Valley makes up a large portion of California's landscape. The immense flat valley stretches five hundred miles from Redding in the north to Bakersfield in the south. Each half of the valley is named for the rivers that flow through it: Sacramento in the north and San Joaquin in the south. It is California's breadbasket and the heart of an incredibly productive agricultural industry.\n\nLarge-scale farms throughout the valley fed the state's growing population following the 1849 Gold Rush. It was those farming operations that eventually turned California into one of the world's top food and agricultural commodity producers. With that immense bounty came the need for thousands of workers to tend the fields, many of whom arrived from Mexico or the Midwest in the 1930s during the Dust Bowl and Great Depression.\n\nAqueduct and water storage tower at sunset.\n\nField worker irrigating alfalfa and barley fields near Indio, 1936. _Dorothea Lange, Library of Congress_\n\nTractor shrouded in fog.\n\nCALIFORNIA'S first agricultural endeavors started with the eighteenth-century Spanish missions and the Native Americans who were used as labor to tend the fields. Later, unlike early subsistence family farms in other areas of the country, California's agricultural industry quickly became demand-driven and was built on large-scale commercial farms, due in large part to huge land grants that Mexico handed out just before California was granted statehood in 1848. Rather than small homesteading farms, only rich individuals and companies could afford to buy out the land grants. As the state's population rapidly increased with the Gold Rush, large-scale farms started popping up throughout the Central Valley. They were located primarily along the Sacramento and San Joaquin rivers, where water access and irrigation were easy.\n\nAn important character in California agriculture came from Boston in 1849: James Warren established a store in Sacramento supplying provisions to miners. Warren, who had a personal interest in horticulture, began shifting the focus of his business to selling agricultural equipment, seeds, and fruit trees after seeing multiple cases of scurvy in miners. His store became a place where people would meet to exchange information about crops and farming techniques. In 1852, Warren's store became the site of the first California State Fair.\n\nToday, commercial agriculture remains a huge business throughout the state. California is one of the world's top food suppliers and producers of agricultural commodities.\n\nIn recent years, a bitter debate has erupted between factory farms and environmentalists. Efforts to save the endangered delta smelt and salmon populations have led to court-ordered restrictions on water diversions to keep fish from being killed in water pumps. The agricultural industry has responded by placing hundreds of signs along southern Central Valley highways next to empty fields; the signs read \"Congress-created Dust Bowl.\"\n\nCentral Valley crop field.\n\nMorning mist over a levee road.\n\nAn earthen levee road separates a river from a reclaimed farm field, 1905. _G. K. Gilbert, U.S. Geological Survey Archives_\n\nTHE SACRAMENTO\u2013SAN JOAQUIN River Delta is the largest estuary on the western coast of the United States. Originally nothing more than tidal swamps and wetlands, the entire delta was prone to annual flooding after the winter rains and snow melt. As early as 1850, the first efforts were made to build levees in an attempt to claim the fertile soils of the delta for agricultural use. The levees proved successful and allowed bountiful crops to be grown on the newly claimed lands.\n\nHowever, after a few years, the levees cracked and the soft peat soil proved unable to hold back flooding. By the mid-1870s, engineers realized that the levees needed to be almost twice as large as originally constructed. Eventually, more than one thousand miles of earthen levees were built, mostly by Chinese immigrant laborers.\n\nToday, thanks to the levee system, the lands that were reclaimed throughout the delta are considered some of the most fertile agricultural lands in the state. However, many of the levees are aging, with some more than a hundred years old. In 2006, Governor Arnold Schwarzenegger declared a state of emergency regarding the levee system, as more than 250 levee sites have been identified as needing repair. A catastrophic levee failure could ruin an immense portion of the Central Valley's agriculture business, costing the state billions of dollars in economic damage.\n\nAerial view of the Sacramento\u2013San Joaquin River Delta.\n\nFlorence Thompson and family in tent shelter, 1936. _Dorothea Lange, Library of Congress_\n\nMigrant farm workers picking strawberries, Sonoma Valley.\n\nTHE MOST widely recognized image from the Great Depression was taken at a small farming community along the California coast. Dorothea Lange photographed thirty-two-year-old Florence Thompson and her seven children living in a small tent shelter, while her husband worked in the fields picking peas. Now known as _Migrant Mother_ , the poignant photograph captures the suffering of a nation in turmoil.\n\nDuring the 1930s, economic depression in the Midwest was compounded by years of poor farming techniques and drought. The resulting Dust Bowl drove more than a million people to California seeking work. Collectively called Okies, because Oklahoma was one of the worst-hit areas, many of the migrants were lucky enough to reach California and find jobs working for the large agricultural companies. They competed for jobs against Filipino, Chinese, and Mexican workers who had been brought in as cheap manual labor since the mid-nineteenth century.\n\nBy 1933, field worker wages had dropped nearly in half in just a couple years to $1.75 per day. The plummeting wages prompted a wave of labor strikes among cotton and fruit pickers in the Central Valley. But a group of commercial farm operators were able to pass antipicketing laws throughout parts of California, effectively stopping labor protests.\n\nIn the early 1960s, labor leader Cesar Chavez founded what would become known as the United Farm Workers (UFW) union. In 1965, Filipino American grape pickers formed a strike to protest for higher wages. Through the efforts of Chavez and the UFW, California passed the Agricultural Labor Relations Act in 1970.\n\nToday, much of California's agricultural labor still comes from migrant and immigrant workers, with the majority now coming from Mexico. The UFW continues to fight for the improvement of farm worker treatment and conditions.\n\nPhotojournalist Dorothea Lange's famous portrait of Florence Thompson, _Migrant Mother_ , 1936. _Dorothea Lange, Library of Congress_\n\nThe covered bridge today, open to foot traffic.\n\nInterior of bridge.\n\nWILLIAM KNIGHT established a trading post in 1849 on the banks of the Stanislaus River. At the same time, he founded a ferry to carry people across the river, to and from his place of business. At its peak, Knights Ferry took in as much as $500 per day. After Knight was killed in the streets of town, brothers John and Lewis Dent took over the ferry operation. The first thing they did was to scrap the old ferry and replace it with a new one.\n\nIn 1856, the owners of a nearby mill purchased the ferry from the Dents. Hoping to increase business, the new owners opted to dismantle the ferry and build the Knights Ferry Bridge across the river. A few years later, in 1862, severe storms caused the river to flood. The uncovered bridge managed to withstand the force of the floodwaters. However, another bridge a few miles upstream was torn from its foundation, slamming into and destroying the Knights Ferry Bridge. A year later, a new covered bridge was built, sitting nearly 10 feet higher than the original.\n\nToday, spanning 330 feet, the wooden structure is the longest covered bridge west of the Mississippi River. The bridge is open to foot traffic, and visitors can tour what remains of the nearby mill. The site by the mill and bridge is also a popular launching spot for people who enjoy rafting the mild class I and II rapids of the Stanislaus River.\n\nTulloch Mill and the Knights Ferry covered bridge, circa 1870. _Library of Congress_\n\nBridalveil Fall, Yosemite National Park.\n\nThe Sierra Nevada is a relatively young mountain range running along the spine of California. Her rugged peaks push skyward from the geological subduction of the Pacific plate beneath the North American plate. The peaks, capped with granite and snow, glisten in sunlight. Yet for all their magnificent beauty, the sheer escarpment seen by early immigrants must have appeared like a mile-high wall requiring a Herculean effort to traverse with wagons and horses. The name of one family, Donner, would become synonymous with that struggle and hardship.\n\nIn 1849, the discovery of one small, shiny, metallic nugget in a river along the western slope of the Sierra transformed the state and the nation, bringing tens of thousands to seek their fortune in the rugged and unforgiving landscape.\n\nAnother discovery made in the Sierra didn't yield gold, yet today it draws millions of visitors to gaze upon her attractions. In the context of the entire state, she covers little more than a thumbprint, though her name is huge and majestic: Yosemite.\n\nReconstruction of Sutter's Mill, Marshall Gold Discovery Site State Historic Park.\n\nYOU CAN almost imagine James Marshall's diary entry for the morning of January 24, 1848. \"Woke up. Had coffee and eggs for breakfast. Went down to work at the mill. Discovered gold.\" It was a moment that would change the history of California.\n\nThe sawmill sat on the banks of the American River and was owned by John Sutter, a pioneering settler. Sutter, who had become a citizen of Mexico in order to secure a large land grant, founded Sutter's Fort, which would later become Sacramento. He built Sutter's Mill to supply lumber for his other business ventures.\n\nWhen Marshall brought those first few flakes of gold to Sutter, both men wanted to keep the discovery secret. Sutter was concerned that the news would ruin his investment in other business ventures. Sadly, he was right. Although his name, not James Marshall's, appears prominently throughout the state and is associated with the Gold Rush, he never made any fortune from gold and died relatively poor.\n\nIt is impossible to describe the effect of the Gold Rush in a few words. Foremost would have to be the transformation of San Francisco from a sleepy outpost with fewer than a thousand residents to a bustling city of more than twenty-five thousand inhabitants within just a couple of years. In all, several hundred thousand people poured into the state, chasing what came to be known as the California Dream.\n\nJames Marshall in front of Sutter's Mill, 1850. _Library of Congress_\n\nStatue of a gold prospector at Ironstone Vineyards in Murphys.\n\nIllustration of a California gold miner printed in _The Century Illustrated Monthly Magazine_ , 1883. _Henry Sandham, Library of Congress_\n\nThe Los Angeles Aqueduct carrying water from Owens River. _Library of Congress_\n\nTHE OWENS RIVER may not be as widely known as other rivers that course through California; however, its role in the state's history is no less important.\n\nThe Los Angeles basin in the 1850s was relatively dry and empty. Following the discovery of oil in the 1890s, the city population began to grow. By 1898, the Los Angeles mayor realized that the greatest obstacle to city growth was lack of water. William Mulholland was appointed to head the newly formed Los Angeles Department of Water and Power (LADWP).\n\nMulholland, realizing that he could divert water from the Owens River, began buying up water rights in the Owens Valley. Area landowners received payments for these water rights. By 1905, Mulholland had secured enough rights to begin construction of a major aqueduct system. Completed in 1913, the Los Angeles Aqueduct carried water more than two hundred miles from the Owens Valley to the city.\n\nSo much water was diverted that Owens Lake dried up, along with area farms and ranches. Owens Valley residents felt they had been lied to and ripped off. In 1924, a few residents dynamited part of the canal in an act of sabotage and rebellion that came to be known as the Los Angeles Water Wars. A second aqueduct was built farther north and, in 1941, began diverting water from the Mono basin and the ecologically fragile Mono Lake.\n\nToday, environmentalists continue to monitor and pressure the LADWP to live up to court orders requiring it to restore some of the diverted water back to the Owens River. Among those orders was a requirement to restore Mono Lake's water level to pre-1941 conditions. The lake level has risen approximately nine feet, slightly less than half of the required twenty feet.\n\nOwens River and Mount Tom, Eastern Sierra.\n\nRANCHING BEGAN in California in the eighteenth century when the Spanish set up numerous _ranchos_. As the state population swelled, cattle and sheep ranches became vital to feeding the influx of gold rushers and Chinese immigrants.\n\nComing north from the high plains of South America, Basque ranchers sought their own fortune in California. Failing to find wealth in mining, many returned to sheepherding. Drivers through the Eastern Sierra may well see modern descendents of the original Basque sheepherders tending their flocks in the fields below the high mountain peaks. Observant visitors may even find Basque markings carved into aspen trees more than a century ago.\n\nToday, cattle ranches populate areas throughout the state, both small family-owned operations and large ag business cooperatives. Dairy is the leading farm commodity, contributing nearly $50 billion to the state economy.\n\nSheep ranch, circa 1940. _Bureau of Land Management_\n\nDairy cattle.\n\nKings Canyon, General Grant National Park, 1892. _J. K. Hillers, U.S. Geological Survey_\n\nKINGS CANYON National Park is situated immediately north of its sister park, Sequoia National Park. A section of the current park was originally known as General Grant National Park and was created in 1890 to protect a grove of giant sequoias. During the 1920s, a plan was put forth to dam Kings River and turn Cedar Grove Valley into a large reservoir. Fortunately, those efforts failed and the area avoided the fate that befell the Hetch Hetchy Valley in Yosemite (see pages 104-105).\n\nKings Canyon National Park was officially created in 1940, absorbing the previously designated General Grant National Park. During World War II, in an effort to save money, Kings Canyon and Sequoia national parks were merged under a single administrative office.\n\nToday, the joint administration of Kings Canyon and Sequoia still exists. Most people refer to both parks in a single breath, commonly called Sequoia-Kings Canyon, or its abbreviation, SEKI. Much of the park consists of wilderness, stretching from the Kings River Canyon and extending eastward to include the peaks of the High Sierra.\n\nThe park's General Grant sequoia is the second-largest tree in the world, as well as the nation's official Christmas tree. Every year on Christmas Day, park rangers place a traditional holiday wreath at the base of the tree.\n\nKings Canyon National Park.\n\nA historic cabin in the park, built in the 1920s.\n\nThe Grand Sentinel is a sheer granite rock cliff that rises 8,518 feet in Kings Canyon.\n\nBird's-eye view of Manzanar Relocation Center, 1943. _Ansel Adams, Library of Congress_\n\nJapanese monument in Manzanar cemetery.\n\nTom Kobayashi in front of corn planted in the North Field at the Manzanar Relocation Center, 1943. _Ansel Adams, Library of Congress_\n\nMANZANAR. The name remains a symbol of our country's darkest domestic legacies. The area had been home to Native Americans for thousands of years, most recently the Paiute. In the 1860s, the U.S. Army forcibly removed many of the Paiute from the valley. The area was then transformed for agricultural use and remained that way until the early 1900s, when Los Angeles began diverting water from the Owens River.\n\nAfter the attack on Pearl Harbor on December 7, 1941, the U.S. government became filled with a great racial fear of the Japanese. A few months later, President Franklin D. Roosevelt signed an order creating the War Relocation Authority. This order allowed for the forced relocation of more than one hundred thousand people of Japanese descent, most of whom were natural-born American citizens.\n\nManzanar was the first of ten such relocation centers. The site eventually housed more than ten thousand people. Some historians consider the term \"relocation center\" tame and whitewashed, preferring the more accurate \"internment camp\" or even \"concentration camp.\" Although the site was devoid of the horrors of Nazi Germany camps, the fact remains that the interred people were stripped of their liberty and imprisoned solely based on their racial background.\n\nPostwar, Manzanar was finally closed. Today, all that remains are a visitor center, a sentry gate, a reconstructed guard tower, and many empty lots and foundations where buildings used to stand. The best known relic is a monument in the cemetery upon which the inscription reads \"Soul Consoling Tower.\" Visitors are free to take a self-guided tour.\n\nRoy Takeno, a Japanese American relocated to Manzanar during World War II, 1943. _Ansel Adams, Library of Congress_\n\nCouple poses atop Glacier Point, 1902. _Library of Congress_\n\nA SMALL rock promontory, Glacier Point sits atop a huge granite apron 3,200 feet over Yosemite Valley. It looks out over Half Dome, a world-famous rock formation. It was at this spot in 1872 that hotelier James McCauley inadvertently started Yosemite's most famous manmade tourist attraction.\n\nLegend has it that McCauley, upset about the lack of visitors to his hotel, angrily kicked a campfire over the edge of Glacier Point. The dramatic sight of the fiery coals falling thousands of feet was regaled by visitors in the valley below. While that makes for a good story, it's just as likely that McCauley simply swept the coals over the edge after an evening of entertaining his guests around the campfire.\n\nMcCauley's son recounted years later how visitors began paying money for his father to build another campfire and repeat the process. The Yosemite Firefall became so popular that a set of verbal and visual cues was established so that visitors would know exactly when it was going to happen. Acoustics were so good that people could yell from the valley and be heard at Glacier Point, and vice versa.\n\nToday, Glacier Point is a tourist overlook, offering one of the best landscape vistas in the country. In the summertime, hikers climb to the top of Half Dome using cables that run up the back side. Tenaya Canyon, which lies at the base of Half Dome, appears deceptively gentle when viewed from Glacier Point. In reality, it is one of the most rugged and dangerous canyons in Yosemite.\n\nSunset light on clouds above Glacier Point.\n\nThe view of Half Dome from Glacier Point, circa 1905. _William Henry Jackson, Library of Congress_\n\nThe view of Half Dome from Glacier Point, present day.\n\nIN THE SPRING of 1846, a small band of covered wagons headed west from Missouri. The group consisted primarily of three families headed by James Reed and brothers George and Jacob Donner.\n\nThe settlers soon joined a larger wagon train along the California Trail. Once in Wyoming, the wagon train separated into two groups. The first stuck to the known route, north of the Great Salt Lake. The other group, led by George Donner and consisting of some ninety settlers, opted to take a touted yet untested shortcut known as Hastings Cutoff.\n\nThe new route was supposed to save the Donner Party three hundred miles and weeks of travel. Instead, the trail took them through rugged mountains and five miserable days crossing the desert salt flats. The \"shortcut\" proved to be such slow going that they finally rejoined the main trail a month behind the original group. Then, in another setback while passing through Nevada, Paiute attacked and killed more than twenty of their oxen.\n\nOn the last day of October 1846, the Donner Party was getting ready to make its final push over the crest of the Sierra Nevada. But an unseasonably early storm covered the mountains with snow, making the route impassable. They became trapped for the winter. Families sheltered together in makeshift cabins or in branch-and-canvas shelters called brush huts. The remainder of their animals ran off in the winter storms. Fifteen of the strongest settlers set out for help in a group called The Forlorn Hope. Starvation and freezing temperatures began claiming the settlers' lives. A number of settlers resorted to cannibalism to stay alive.\n\nEventually, four separate relief efforts were able to save just over half of the settlers, with the last survivor leaving the mountain in April 1847. Today, the Pioneer Monument stands as a tribute where the Donner Party spent that brutal winter.\n\nLithograph of the Donner Party encampment, created circa 1879. _C. W. Burton, Courtesy of the Bancroft Library, University of California, Berkeley_\n\nPioneer Monument at Donner Memorial State Park.\n\nSOMEWHERE BETWEEN \"There's gold in them thar hills\" and \"What harm could a little water do?\" lies Malakoff Diggins State Historic Park and the invention of hydraulic mining.\n\nWhat started with miners panning for gold in creeks eventually became digging up soils and washing them with water in a process called sluicing. From there, miners learned that they could funnel great quantities of water through a cannonlike nozzle called a monitor, creating a high-pressure stream. Aimed at hillsides, monitors cleared vast amounts of soil quickly. Thus was born the process of hydraulic mining.\n\nHydraulic mining water monitor and eroded cliff, Malakoff Diggins State Historic Park.\n\nCalifornia's largest such operation was run by the North Bloomfield Mining Company, which operated the Malakoff mine northeast of Nevada City. At one point, the company was using seven hydraulic monitors, twenty-four hours a day, and moving upward of fifty thousand tons of rock and gravel.\n\nSo much silt and debris washed down from the mines that it started to fill the San Francisco Bay and Delta. The rivers overflowed their banks, destroying croplands. A farmer eventually filed a lawsuit against the company in 1882. Two years later, a federal court halted the hydraulic mining operation, ruling it a \"public and private nuisance.\" It was one of the first instances of the U.S. government ruling in favor of the environment.\n\nToday, visitors to Malakoff Diggins State Historic Park can see remnants of the mine. Most evident there, and at a number of similar locations throughout the state, are the scars that remain on the landscape from the hydraulic mining process.\n\nBlasting water at cliffs in a hydraulic mining operation near French Corral, 1866. _Library of Congress_\n\nCattle and carts fill the lanes of historic Susanville, 1864. _Lassen County Historical Society_\n\nFOLLOWING the start of the Gold Rush of 1849, emigrants began looking for an easier route to California than the hard crossing over Donner Summit. Peter Lassen first explored a more northern route through the Honey Lake Valley in northeastern California in 1851, helping to establish the Nobles Emigrant Trail. Isaac Roop was an early settler in the area, opening a trading post in 1854, and the town became known as Roopville. Shortly thereafter, the town's name was changed to Susanville, in honor of Roop's daughter.\n\nSusanville became a hub for both the mining and lumber industries. It was so easy to live off the rich local soil that the townsfolk earned the nickname the Never-Sweats. Filled with closely built wooden buildings, the town suffered several disastrous fires in the late 1880s and 1890s.\n\nSusanville is the second oldest town in the western Great Basin. For a while, confusion reigned over whether the valley was actually part of California or the newly proposed Nevada Territory. Roop served as the Nevada Territory's first provisional governor. Several years later, it was determined that Susanville was actually located in California.\n\nToday, Susanville is the seat of Lassen County. The mining and lumber industries have faded away. In their stead, the town sought to rebuild its economy by opening two prisons. Nearby, Honey Lake is one of the largest natural alkali lakes in the Great Basin. It is home to several wildlife areas, as well as the large Sierra Army Depot.\n\nModern-day Susanville.\n\nAutumn storm over wooden barn in Susanville.\n\nAlpenglow at sunrise on the east face of Mount Whitney.\n\nIN 1864, a California Geological Survey team led by Josiah Whitney discovered what it called the \"culminating peak of the Sierra.\" During the expedition, one member of the team, Clarence King, unsuccessfully tried to climb Mount Whitney twice via the western slope.\n\nKing returned in 1871 and successfully climbed . . . the wrong peak. By mistake, he climbed a nearby mountain, which is understandable by some, because when seen at a distance, Mount Whitney appears to be lower than some of the closer mountain peaks. King returned again in 1873 and successfully reached the top on his fourth attempt. However, he was beaten to the summit by three local fishermen who had climbed the mountain a month earlier. Later that same year, John Muir made the first ascent of the steep and rugged east face, by what is now called the Mountaineers Route.\n\nIn 1904, Gustave Marsh built a trail to the summit from the nearby town of Lone Pine. That same year, climber Byrd Surby reached the summit with several other men. While enjoying their lunch, Surby was struck by lightning and killed, becoming the first recorded death on the mountain. Marsh was rehired in 1909 to build a protective shelter on the summit.\n\nToday, Mount Whitney is one of the most frequently climbed mountains in the Sierra Nevada. The forest service maintains strict quotas in the summer limiting the number of people on the trail on any given day. Trash and human waste had become such a problem that rangers now enforce a strict pack-it-in, pack-it-out policy. The rigorous east face continues to be a favorite route among mountain climbers.\n\nA woman walking at the summit of Mount Whitney, 1903. _G. K. Gilbert, U.S. Geological Survey_\n\nONE OF the great environmental battles to occur in California during the twentieth century was over water. It pitted environmentalists against the needs of a thirsty and growing populace, namely San Francisco. At the center of the battle was Hetch Hetchy Valley, the pristine cousin of the neighboring and more famous Yosemite Valley.\n\nLike Yosemite, Hetch Hetchy was lined with steep rock walls formed long ago by glaciers. After flowing down from the high peaks of the Sierra Nevada, the waters of the Tuolumne River meandered between the cliffs and cut through the valley's grassy meadows scattered with oak trees.\n\nSan Francisco had long sought the water rights to Hetch Hetchy Valley. The city wanted to dam the Tuolumne River and convert the valley to a huge reservoir. Following the great 1906 earthquake and the rebuilding of the city, the debate over damming intensified. John Muir, who by then had founded and was president of the Sierra Club, remarked famously in _The Yosemite_ , \"Dam Hetch Hetchy! As well dam for water-tanks the people's cathedrals and churches, for no holier temple has ever been consecrated in the heart of man.\"\n\nIn 1913, the city emerged victorious. Ten years later, construction was completed on the O'Shaughnessy Dam, permanently flooding the beautiful valley.\n\nToday, the debate continues. Led in part by the Sierra Club, environmental organizations are trying to return the valley to its original splendor. Those who wish to have the dam torn down find themselves up against more than two million people in the Bay Area who depend on the reservoir for water and the dam for hydroelectric power.\n\nHetch Hetchy is part of Yosemite National Park, and visitors are welcome. However, as a vital state resource, entry to the area via the single remote access road is strictly monitored due to modern-day terrorist concerns.\n\nHetch Hetchy Valley in 1911, before it was dammed. _Library of Congress_\n\nThe flooded valley: Hetch Hetchy Reservoir.\n\nTourists in front of giant sequoia in Sequoia National Park, 1903. _G. K. Gilbert, U.S. Geological Survey_\n\nModern-day giant sequoia, Sequoia National Park.\n\nSunset at Moro Rock.\n\nClimbers ascend the staircase on Moro Rock, 1920. _National Park Service_\n\nONE OF THE first gold rushers to abandon the mines and settle in the remote southern Sierra Nevada was Hale Tharp, who decided he would try his hand at raising beef cattle. He arrived in the foothills in 1856, following the Kaweah River from the town of Visalia. There he met a large tribe of Yokut Indians of the Wukchumni tribe, who warmly welcomed him into their camp. Two years later, together with the tribal chief, Tharp and several other Yokuts explored deeper into the mountains, where they reached the Giant Forest and Moro Rock.\n\nBy 1862, the valley at the base of the mountains, known as Three Rivers, had seen a large influx of settlers. Many Yukots were wiped out by a lack of immunity to the settlers' contagious diseases. At one point, Tharp helped bury twenty-seven members of the tribe in a single day.\n\nBy 1864, the area around the Giant Forest had become grazing land for sheep and cattle. The livestock fed on huge amounts of the native vegetation, leaving the land barren in spots. Miners also began flocking into the area by the 1870s, especially to a place that became known as Mineral King.\n\nLoggers recognized that the area's giant sequoias would be a great lumber resource, and a timber industry developed. In the 1880s, naturalist John Muir came into the area and met with Tharp several times. Both men made repeated efforts to preserve the giant trees. Sequoia National Park was founded in 1890 as the nation's second national park. All logging efforts in the area were immediately terminated.\n\nToday, most of the park is wilderness, accessible only by foot or horseback. Most tourists never venture into the high country, preferring to stay along the roads that wind through the forest, drive through the Tunnel Log, or climb the trail to the top of Moro Rock. The main attraction continues to be the sequoias that can grow over three hundred feet tall and live several thousand years. The granddaddy of them all is the General Sherman sequoia. With a base that measures thirty-six feet in diameter, it is said to weigh 2.7 million pounds.\n\nTunnel log in Sequoia National Park, felled in 1937. _National Park Service_\n\nThe tunnel log accommodates vehicles up to eight feet high.\n\nBilliard table in Bodie hotel saloon.\n\nBodie, circa 1928. _Library of Congress_\n\nTHE TOWN of Bodie lies tucked away in a remote area north of Mono Lake, at an altitude of more than eight thousand feet. It is by all standards the quintessential boom-or-bust mining town of Western lore.\n\nIn August 1859, W. S. Bodey discovered gold in the area while prospecting with a couple of other men. But poor Bodey never was able enjoy the wealth of his discovery, dying in a winter storm a few months later. His fellow prospectors named the site after him, but as the years passed the name somehow morphed into its present-day spelling of Bodie.\n\nThe town stayed small for many years. In 1877, word of a big ore strike spread, and Bodie's population soared from a few hundred to ten thousand by 1880. The town became known as a rough and tough Western enclave with a reputation that rivaled Tombstone, Arizona, and Deadwood, South Dakota. At one point, Bodie was said to average one shooting or murder per day.\n\nWithin just a few years, the boom went bust. The mines tapped out, and the population dwindled quickly to only a couple thousand people. Most of the residents skipped town as fast as they had arrived, seeking their fortunes elsewhere.\n\nToday, Bodie is known as one of the best-preserved ghost towns in the country. Visitors can walk through town and peer into buildings, seeing things almost exactly as they were left decades ago. A popular State Historic Park, Bodie is trapped in a state of arrested decay.\n\nBodie State Historic Park.\n\nFishing the Middle Fork of the San Joaquin River, Eastern Sierra.\n\nPEOPLE HAVE been using fish as a food source for millennia, as evidenced in prehistoric cave paintings. In California, Native Americans have used fish as an important part of their diet and survival for more than five thousand years. Salmon has played an especially important role in the life of many tribes living along Northern California coastlines and rivers.\n\nModern recreational fishing is thought to have come of age in the sixteenth century. Offshore big game fishing was invented in 1898 by Pasadena resident and marine biologist Charles F. Holder. The same year, Holder founded the Tuna Club on Catalina Island, which he promoted as an international organization dedicated to the environmental management of all big game fish.\n\nIn the late nineteenth century, the California Department of Fish and Game (DFG) began establishing a number of fish hatcheries after a state law was passed requiring the preservation of freshwater fisheries. By 1945, the state had established more than twenty hatcheries dedicated to inland fish.\n\nToday, fishing is a popular recreational sport enjoyed across the state. Both freshwater and saltwater fishing are important to the local economies. The DFG regularly stocks trout in streams, reservoirs, and high mountain lakes, as well as salmon in some rivers.\n\nBig-game fishermen and their world-record black sea bass, Catalina Island, 1900. _N. Swenson, Library of Congress_\n\nMiwok man fishing the Merced River in the Sierra, 1924. _Edward S. Curtis, Library of Congress_\n\nLAKE TAHOE sits in a basin along the California and Nevada borders, nestled between the Sierra Nevada and the Carson Mountain Range. Formed by glaciers, Lake Tahoe is one of the largest alpine lakes in all of North America. With a depth of 1,640 feet, it is also one of the deepest lakes in the United States, second only to Oregon's Crater Lake. The lake has long been known for its crystal-clear water.\n\nThe Tahoe basin was originally home to a band of Native Americans known as the Washoe. It is believed that the first Europeans laid eyes on Lake Tahoe in 1844, when military explorer John Fr\u00e9mont came through the area with his guide, Kit Carson.\n\nFollowing the 1859 silver discovery of the nearby Comstock Lode, much of Tahoe's pristine forests were felled to support the mining operations. During the late nineteenth century, the area began to see vacation resorts established. In the early twentieth century, several failed attempts were made to designate the lake a national park. Lake Tahoe became known to the world when the 1960 Winter Olympics were held at the nearby Squaw Valley ski resort.\n\nToday, environmental concerns are a top priority for residents of the Tahoe basin. Local development and boat use have decreased the lake clarity from more than one hundred feet in the 1960s to the current measurement of less than seventy feet. The saying \"Keep Tahoe Blue\" has become the watchdog slogan for local environmental groups. The Tahoe basin remains a popular summer and winter tourist destination for boating, fishing, and skiing, as well as gambling in Nevada's nearby casinos.\n\nOil painting of Bigler Lake canoeist, 1863. _Albert Bierstadt, Courtesy of the Bancroft Library, University of California, Berkeley_\n\nDawn breaks over Emerald Bay on Lake Tahoe.\n\nAmtrak train crossing the Sierra between Emigrant Gap and Donner Pass.\n\nAS CALIFORNIA'S population rapidly increased in the early 1860s, demand soon arose for a transcontinental railroad to carry passengers and freight from the East Coast. As the gold boom wound down, thousands of Chinese emigrant laborers were hired to help build the Central Pacific Railroad leading eastward from California. A major obstacle would be building the railway across the Sierra Nevada. The difficult task was considered one of the nineteenth century's greatest civil engineering feats.\n\nWhile dealing with the dangerous, unpredictable weather in the mountains, the Chinese workers were required to dig tunnels, build trestles, and blast away granite cliffs to make room for the tracks. Popular lore claims that the workers were lowered by ropes in wicker baskets in order to place explosives. (There is some debate whether they were ever actually in baskets or just tied to the ropes.) The workers also built a series of wooden snow sheds to help protect the trains during the winter as they crossed Donner Summit. Although the exact number is not known, between one hundred and two hundred Chinese workers died while constructing the Central Pacific Railroad.\n\nThe great transcontinental railroad was completed in 1869, when the Central Pacific and the Union Pacific railroads finally met at Promontory Summit in Utah. As part of a grand celebration, Chinese and Irish laborers worked together to lay the last bit of track.\n\nToday, those passengers who ride the Amtrak train cross-country between Reno and Sacramento can personally experience the grand views from the comfort of their railcars. Hopefully some will take a few moments to appreciate the difficulty the laborers endured while laying the tracks through the Sierra.\n\nEngraving of Chinese laborers greeting the train as it emerges from a snow shed, date unknown. _Joseph Becker, Courtesy of the Bancroft Library, University of California, Berkeley_\n\nRailroad tunnel blasted out of the mountainside.\n\nDowntown Downieville, circa 1934. _Library of Congress_\n\nDOWNIEVILLE WAS originally nothing more than the intersection of two rivers, known as The Forks. It was settled in 1849 by a group of prospectors led by Scottish immigrant William Downie. Within several years of gold being struck in the area, the population of the town grew to five thousand.\n\nFar removed from any other population center, the town had to import all of its provisions and equipment. Scarcity of items drove the cost of some goods through the roof. A pound of sugar cost $4, a wool shirt cost close to $50, and a good pair of boots would run a miner over $100.\n\nThe area became known for its bounty. One riverside claim yielded three miners more than $10,000 in the space of two weeks and nearly $80,000 over six months. A plaque in town also describes a local housewife unearthing $500 worth of gold simply by sweeping the earthen floor of her kitchen.\n\nDownieville achieved its greatest notoriety when a lynch mob hung a Mexican woman from a bridge. She had fatally stabbed a white miner who had broken into her house during Fourth of July festivities in 1851.\n\nStill remote, Downieville today is best known as a mecca for mountain bikers, as the now-famous Downieville Classic bike race is held there every year. Summer weekends find this tiny hamlet filled with visitors.\n\nDownieville, circa 1870. _Courtesy of the Bancroft Library, University of California, Berkeley_\n\nDowntown Downieville today.\n\nYOSEMITE VALLEY boasts one of the most spectacular landscapes in the world. The first white men entered the valley in 1851, led by an army major named James Savage in pursuit of a tribe of Indians.\n\nThe name Yosemite arose out of confusion. The name was given by a member of the military expedition, L. H. Bunnell, who thought Yosemite was the name used by the area tribe. In actuality, the Miwok name for the area was _Ahwahnee_ , which was also the name of their village. Yosemite was an Anglicized version of the Miwok word _yohhe'meti_ , meaning \"those who kill.\" Further confusion occurred from a similar sounding word, _isimati_ , meaning \"grizzly bear.\" The name Yosemite was associated with the Ahwahneechee Indians because of their reputed violence and territorial aggression. Chief Tenaya reportedly said that his tribe acquired the name because they were skilled at fighting and killing the grizzly bear and because other Indians were afraid of his tribe.\n\nIn 1864, President Abraham Lincoln signed the first federal act protecting Yosemite for future generations. In 1890, Yosemite became a national park. However, control of the valley was given to the state of California. By the early 1900s, the park's valley had become a popular tourist destination with numerous hotels and unrestricted camping.\n\nIn 1903, John Muir and President Theodore Roosevelt visited the park together. During the trip, Muir convinced Roosevelt that the valley would be better off under federal control. Three years later, Roosevelt stripped California of its control over the valley, returning its administration to the federal government.\n\nToday, Yosemite Valley remains a hugely popular tourist destination. More than three million people visit every year from all over the globe. In summertime, the seven-mile-long, one-mile-wide valley becomes congested with tourist traffic.\n\nThe three-thousand-foot granite monolith, el Capitan, has become an international destination for rock climbers. Its vertical walls were first climbed in 1958 by a group of three men, who needed forty-seven days to make the ascent. These days, modern climbers typically make the same climb in two or three days.\n\nUnrestricted car camping in Yosemite Valley, circa 1920s. _Department of Interior, National Park Service Historic Photograph Collection, Harpers Ferry Center_\n\nSunset light on El Capitan.\n\nRafters below Yosemite Falls.\n\nLithograph of Yosemite Falls, circa 1865\u20131900. _Currier & Ives, Library of Congress_\n\nJOHN MUIR'S environmental legacy is unparalleled. Born in Scotland and raised in the Midwest, Muir had an early passion for nature and science. He first arrived in California in 1868 and became a shepherd in Yosemite Valley. But he often spent his time wandering in nature with little more than his journal, a tin cup, and a loaf a bread. He built a cabin in the valley that had a creek flowing through it, so that he could enjoy the sound of the water. Eventually, Muir returned to society and the Bay Area, where he married Louisa Strentzel. The next decade was spent running her family's ranch. Away from the wilderness he loved, Muir went through long periods of anguish and depression. His wife eventually pushed him to return to the mountains and heal himself.\n\nIn 1892, Muir helped to found the Sierra Club. He would serve as its president for the next twenty-two years. During his reign, he focused much of his attention on trying to prevent Hetch Hetchy Valley from being dammed and helped to bring an end to the exploitation of Yosemite Valley.\n\nPresident Theodore Roosevelt and John Muir on Glacier Point, Yosemite National Park, 1906. _Library of Congress_\n\nPortrait of John Muir, 1912. _Underwood & Underwood, Library of Congress_\n\nSand dunes in Death Valley National Park.\n\nLonely, dry, barren, harsh, and forsaken. What desert wouldn't live up to those adjectives? The deserts of California are no exception. The Mojave Desert of southeastern California certainly seemed that way to early settlers. The first to come through were miners and their families who veered south to avoid crossing the Sierra Nevada. Instead, they stumbled into one of the most inhospitable landscapes on the planet, a place they named Death Valley. Mormon settlers traveling from Utah to a new and barely populated town known as Los Angeles gave name to the desert's most recognizable form of vegetation, the Joshua tree.\n\nToday, the California deserts remain dry and harsh, though a bit less lonely and forsaken than 150 years ago. The deserts have yielded profitable mineral mining operations, and Death Valley and Joshua Tree are protected as national parks. Other areas are used as military grounds, the best-known being Edwards Air Force Base, occasionally used by the space shuttle.\n\nTest pilot Neil Armstrong next to the X-15 after a research flight. _NASA_\n\nAn X-15 rocket plane mounted at NASA Dryden Flight Research Center.\n\nEDWARDS AIR Force Base (AFB) occupies a large, dry lakebed nestled on the edge of the Mojave Desert. In the early 1930s, the American Air Corps built Muroc Airfield, designating it as a bombing range. Renamed Edwards Air Force Base in 1949, the base is known for its experimental aircraft. The most famous remains Chuck Yeager's flight of the XI that first broke the sound barrier. Other famous planes are the SR-71 Blackbird and the X-15 rocket plane, including the one flown by then\u2013test pilot Neil Armstrong.\n\nThe base also became known for intensive testing led by Colonel John Stapp, who studied how the human body would handle the rigors of flight, including g-forces. He acted as one of his own experimental subjects on what would come to be called the Rocket Sled.\n\nToday, Edwards AFB is best known for its long runway sitting in the middle of the lakebed. The runway was used for the initial test flight and landings of the NASA space shuttle. It remains an alternate landing site in case of bad weather at the Kennedy Space Center in Florida. With the help of a huge gantry at NASA's Dryden Flight Research Center, the space shuttle is hoisted onto a special 747 and ferried back to Florida for its next launch cycle. Although Edwards is closed to the public, a collection of historic military aircraft can be seen at the Century Circle just before the West Gate.\n\nHistorical military jet aircraft on display at the Century Circle near the base's main entrance gate.\n\nColonel John Stapp rides a Rocket Sled, 1947. _U.S. Air Force_\n\nTHOUSANDS OF years ago, after the last Ice Age, Death Valley might have actually been a pretty nice place to live. With a milder climate, the area likely had a number of lakes and vegetation that supported the earliest Native American inhabitants.\n\nDeath Valley received its name in 1849 after a group of prospectors and their families got lost looking for a shortcut to the California goldfields. After weeks of wandering, the emigrants abandoned their wagon train. Legend has it that one of the women looked back as they hiked out of the valley and said, \"Goodbye, Death Valley!\"\n\nIn the late nineteenth century, the valley became known for its concentration of borax, a mineral used to make soap detergents. The 20 Mule Team Borax soap brand was created in honor of the huge teams used to transport borax loads out of Death Valley mines. The popular soapbox and advertising also helped lure tourists to the area, and a few small resorts claimed that nearby springs had special healing powers.\n\nIn 1933, president Herbert Hoover created Death Valley National Monument. Sixty years later, the monument was significantly expanded and redesignated a national park.\n\nToday, Death Valley National park covers more than five thousand square miles and is the hottest and driest of any of the national parks. Average daily temperatures in summer can reach 120 degrees Fahrenheit. The park is still a popular tourist destination, especially in the cooler months of winter and spring, and is visited by more than five hundred thousand tourists per year. The best-known attraction is Badwater, which at 282 feet below sea level is the lowest point in North America.\n\nOne of Death Valley's famous twenty-mule teams pulling a load of borax, 1907. Courtesy of the California _History Room, California State Library, Sacramento, California_\n\nA U.S. Geological Survey party determines the elevation of the lowest point in the United States, at Badwater, 1907. _U.S. Geological Survey_\n\nOverlooking the salt pan above Badwater from Dante's View, Death Valley National Park.\n\nWalking on salt-encrusted rocks at Devil's Golf Course.\n\nSalt field in the bottom of the valley, 1901. _M. R. Campbell, U.S. Geological Survey_\n\nScotty's Castle.\n\nHIS GIVEN name was Walter E. Scott, but the world would come to know him as Death Valley Scotty. He first visited Death Valley in 1884 when he got a job working in a survey crew along the California\u2013Nevada border. He was only twelve years old at the time.\n\nScotty eventually took up gold prospecting, at which he was not very successful. It turned out he was much better at prospecting the pocketbooks of wealthy businessmen, conning them into investing in his supposedly successful mining operations. He gained recognition in the press after claiming that a bag of gold worth more than $10,000 had been stolen while he was bringing it to an investor.\n\nScotty, circa 1910. _Library of Congress_\n\nOne of his investors, Albert Johnson, gave Scotty several thousand dollars without ever realizing that he was being conned. Years later, a sickly Johnson visited Scotty in Death Valley to tour his gold mines. Scotty figured that Johnson would hate the desert and would leave within a couple of days; however, Johnson enjoyed the climate and wound up staying for a month, during which time the two became friends and Johnson regained some of his health\u2014although he never did see the nonexistent mines.\n\nJohnson and his wife, Bessie, visited Scotty in the desert many times. Eventually, the millionaires decided to build a castle there. Although it was the Johnsons' home, Scotty told people that it was his, built from the profits of his gold mine. Whenever the Johnsons entertained, Scotty would be present, happily telling everyone his tall tales.\n\nToday, Scotty's Castle remains just as it was when built. It continues to be a popular tourist destination in Death Valley National Park. Visitors can walk up a nearby hill and see Scotty's grave, where he lies today, overlooking \"his\" castle.\n\nBill Keys at his gold stamp mill, date unknown. _Brian Grogan, Library of Congress_\n\nJOSHUA TREE National Park exists today in large part due to the tireless efforts of a single woman back in the late 1920s and early 1930s. A growing population in the Los Angeles area gave rise to an unusual behavior out in the desert, namely cactus poaching. Pasadena resident Minerva Hoyt witnessed the increased removal of desert plants to decorate residential gardens. She began to lobby for the protection of the desert flora. Her efforts paid off in 1936 when the area was granted national monument status.\n\nJoshua Tree National Park stretches over an area covering nearly eight hundred thousand acres in southeast California and includes the convergence of two distinct desert habitats. The drier Colorado Desert occupies the lower elevations to the east, while the Mojave Desert is made up of the higher elevations to the west and is home to the namesake Joshua tree. Early Mormon settlers passing through the area gave the plant its name because the outstretched branches looked like the prophet Joshua holding his arms up to the sky in reverent prayer.\n\nVarious bands of Native Americans had inhabited the area for several thousands years, although few remained by the time settlers arrived in the mid-1800s. A few hardy ranchers and miners tried to eek out a living from the rugged, dry, and barren landscape.\n\nToday, visitors can explore the homestead of Bill Keys and his Desert Queen Ranch on ranger-led tours. In addition to a vast array of desert flora and fauna, Joshua Tree is also known and recognized for its beautiful rock outcrops. The rock formations have become a popular destination for rock climbers, especially in the winter when other climbing destinations are too cold.\n\nCrescent moon at sunrise over a Joshua tree.\n\nJoshua tree, circa 1900. _Detroit Photographic Company, Library of Congress_\n\nRock climber scaling an outcrop at Hidden Valley, Joshua Tree National Park.\n\nSunset at Laguna Beach in Southern California.\n\nSouthern California: It's that other state of mind, a strong contrast to Northern California. A picture of Southern California has been burned into our collective consciousness that mimics the opening lyrics of the 1950s TV show _The Beverly Hillbillies_ : \"Palm trees, swimming pools, and movie stars.\"\n\nYet Southern California can't be described adequately by simple stereotypes. First settled by the Spanish, it was originally a collection of _ranchos_. The region remained sparsely populated until the eighteenth century, when vast oilfield reserves were discovered. Around the same time that black gold brought instant fame, a form of orange gold was being discovered . . . er, grown. It turned out that the mild climate was perfectly situated for the growth of citrus trees, especially oranges.\n\nAs the population grew, so did a burgeoning new industry: moviemaking. As Hollywood became the capital of filmmaking, a young swimming champion was brought over from Hawaii to demonstrate a little-known sport called surfing.\n\nBoats anchored in Avalon Harbor, Catalina Island.\n\nAvalon beach, Catalina Island, 1903. _Library of Congress_\n\nCasino, Avalon Harbor, Catalina Island.\n\nSANTA CATALINA Island, known to most simply as Catalina, first experienced human habitation seven thousand years ago. It was later rediscovered by Portuguese explorer Juan Cabrillo in 1542. Over the next several hundred years, the island became popular with a host of other visitors. Chief among these were Russian and American explorers seeking trade as well as hunting grounds for valuable sea otter pelts. Unfortunately, the visitors brought with them diseases against which the native population had no immunity, essentially wiping them out. Additionally, the hunting led to the extinction of otters from those waters.\n\nBecause Catalina was located just twenty miles from the growing city of Los Angeles, attempts were made in 1890 to turn the island into a tourist destination. Those first attempts failed but were reinvigorated years later when much of the island was acquired by gum magnate William Wrigley Jr., who provided a number of ferries to bring people over from Los Angeles.\n\nToday, Catalina, and especially its quaint city of Avalon, is a popular tourist destination. Hollywood film producers have repeatedly used the island as a movie backdrop. An early movie required scenes with buffalo, and a small herd was brought over for filming; their descendents are now a Catalina attraction. The island's most famous attraction, however, is the twelve-story Casino at the edge of Avalon's harbor. A misnomer, the Casino was never a gambling house but rather an entertainment center. It is home to a theater and one of the world's largest circular ballrooms.\n\nLithograph poster, 1899. _J. F. Derby, Library of Congress_\n\nIN HIS 1542 travels along the California coast, explorer Juan Cabrillo sailed past what is now known as San Pedro Bay, calling it the Bay of Smokes. Originally nothing more than a shallow mud flat, the bay wasn't suitable for larger ships.\n\nThe original Spanish settlers in this area were forbidden from engaging in trade with outsiders. Once under independent Mexican control in the 1820s, San Pedro Bay started growing as an active commerce center.\n\nIn 1850, two years after California came under American control, Phineas Banning built a wharf to help service his freight and stagecoach businesses. In 1868, Banning built the area's first railroad connecting Los Angeles with the San Pedro Bay. Three years later, in an effort to improve shipping, Banning dredged a channel to make it easier for ships to enter the harbor. With that, Banning effectively became known as the father of the Port of Los Angeles.\n\nToday, the Port of Los Angeles is home to the World Cruise Center, the largest cruise ship center on the West Coast. With three berths, nearly one million tourists pass through annually. At one point, in November 2009, three cruise ships were docked at the same time, loading and unloading seventeen thousand passengers in a single day. The harbor's 1,500-foot Vincent Thomas Bridge is the third longest suspension bridge in California, and the Angels Gate Lighthouse, built in 1913, continues to stand guard at the entrance to the port.\n\nContainer cargo ship and industrial shipping cranes at the Port of Los Angeles Harbor.\n\nPort of Los Angeles, circa 1899. _Library of Congress_\n\nAngels Gate Lighthouse.\n\nCracked shoreline of the Salton Sea.\n\nTHE SALTON SEA lies nestled between the Coachella and Imperial valleys, not far from Palm Springs. Although not as salty as the Great Salt Lake in Utah, the Salton Sea has a greater salinity level than the Pacific Ocean due to water evaporation in the desert sun.\n\nGeologically, the basin has alternated between a filled lake and a dry lakebed, depending on weather and climate. In the mid- to late 1800s, the dry Salton Sink, as it came to be called, was used for salt mining. Then, in 1905, massive storms caused the Colorado River, which runs fifty miles east of the basin, to overflow her banks and breach several canals. The breach was so extensive that two new rivers formed off the Colorado. Within two years, the rivers had practically filled the entire Salton basin with water.\n\nStarting in the 1920s and concurrent with the growth of Palm Springs, several vacation resorts sprung up along the lakeshore. Situated along the Great Pacific Flyway, the lake became a stopping point for many migratory birds.\n\nToday, the water level sits at nearly 225 feet below sea level. With no natural outlet, the Salton Sea's salinity and pollution levels are increasingly problematic. Of particular concern is the contaminated agricultural runoff that drains into the lake. Most of the resorts are now abandoned, and the rising salinity and other contaminants have killed off many of the freshwater fish that had been introduced to the lake. One exception is the hearty and adaptable tilapia, of which the lake is thought to contain millions.\n\nFortunately, the migratory birds have remained, and the area is home to nearly four hundred species. Thanks to the conservation efforts of the former entertainer and congressman, the Sonny Bono Salton Sea National Wildlife Refuge now bears his name.\n\nThe newly flooded Salton Sea, 1906. _E. C. Moore, Coachella Valley Historical Society, Inc._\n\nPostcard, 1910.\n\nFlock of birds wading in Salton Sea at sunset.\n\nSpill pipes pouring agricultural runoff into a stream near the Sonny Bono Salton Sea National Wildlife Refuge.\n\nMILLIONS OF migratory birds travel the West Coast's Great Pacific Flyway every year from as far south as Argentina to as far north as Alaska. California has always played a huge role in this avian superhighway. The habitat used by these world travelers began to suffer when California settlers converted wild lands for agricultural use. In 1905, huge amounts of water were drained from Tule and Lower Klamath lakes to make way for farmland, destroying the birds' natural habitat.\n\nThree years later, the U.S. Fish and Wildlife Service created the first ever protected area for waterfowl habitat: the Lower Klamath National Wildlife Refuge. Today, California is home to nearly fifty national wildlife refuges. Among the most notable for migratory birds are the San Luis complex in the Central Valley, the Tule Lake refuge near the Oregon border, and the Sonny Bono refuge along the Salton Sea.\n\nMany Californians proudly consider themselves to be environmentally conscious. The state is home to dozens of nonprofits seeking to raise protection for all types of wildlife and natural habitats. However, strong debate remains throughout the state, with the water needs of agriculture and construction pitted against the natural wetland habitat needs of birds, native fish species, and other wildlife.\n\nUpper Newport Bay Ecological Reserve.\n\nRoss's geese, Merced National Wildlife Refuge, Central Valley.\n\nGeorge Eastman and Thomas Edison, 1928. _George Eastman House, International Museum of Photography and Film_\n\nDirector Herbert Brenon with actress Alla Nazimova on the set of the 1916 silent film _War Brides. Library of Congress_\n\nTHE COMBINED inventions of two men, George Eastman and Thomas Edison, eventually gave birth to an entire moviemaking empire that would transform the city of Los Angeles. The movies produced there would cement the image of California as a land of golden sunshine, palm trees, and movie stars.\n\nIn 1889, George Eastman developed the first commercial roll of transparent film. Within just a few years, Thomas Edison took advantage of Eastman's invention to perfect two of his own: the first practical and reliable motion picture camera and the Kinetoscope, which viewers could use to see the movies.\n\nIn 1910, film director D. W. Griffith and a number of actors\u2014including Lionel Barrymore, Mary Pickford, and Lillian Gish\u2014arrived in Los Angeles to start filming a movie. A year later, Nestor Studio became the first movie studio to open in Hollywood. Within a decade, Hollywood had turned itself into the capital of the film industry.\n\nToday, with only one major studio left operating in town, Hollywood is no longer the heart of actual moviemaking. However, it will forever be linked to the movie industry, thanks in part to the world-famous Hollywood sign. Tourists flock to the Hollywood Walk of Fame and Grauman's Chinese Theater to see the handprints and signatures of famous movie stars. Los Angeles, a.k.a. Tinseltown, continues to act as a beacon for those seeking fame in the entertainment industry.\n\nGrauman's Chinese Theatre. _Carol Highsmith, Library of Congress_\n\nA cinematographer and an actress reviewing their work.   \n_Cefeida, Flickr via Creative Commons 2.0 Attribution_\n\nProduction still from the 2009 film _War Wolves._   \n_Echoworker, Flickr via Creative Commons 2.0 Attribution_\n\nSouthern California surfers, circa 1930. _Underwood Archives_\n\nTWO THINGS are certain about surfing. The first is that no one knows when it was invented. The second is that it came to California from Hawaii. The first European sighting of someone surfing was documented in 1779 by a member of the James Cook expedition, a year after its discovery of the Hawaiian Islands. By then, surfing had already been part of Hawaiian culture for hundreds of years. The first record of surfing in California dates back to 1885, when three Hawaiian students attending school in San Mateo began surfing off the coast of Santa Cruz.\n\nWriter Jack London gave surfing a cultural boost in 1907. He visited Hawaii and later that year wrote about his adventures in the article \"A Royal Sport: Surfing in Waikiki.\" Featured in the piece was surfer George Freeth. After reading the essay, railroad tycoon Henry Huntington invited Freeth to come to Southern California and give surfing demonstrations as a promotion for the Los Angeles Railway.\n\nStarting in 1916 and continuing through the 1920s, famous Hawaiian surfer and Olympic swimming champion Duke Kahanamoku traveled to Southern California to demonstrate his surfing skills. Kahanamoku gained a celebrity following, and with that, surfing as a sport in Southern California was officially born. However, the California surfer lifestyle didn't gain widespread public awareness until the mid-1960s, thanks to cheesy beach party movies and the Beach Boys.\n\nCalifornia is home to a big-wave surfing competition known as Mavericks, held in the small coastal community of Half Moon Bay, near San Francisco. Conditions have to be just right for the competition to be called \"on.\" The waves can reach up to fifty feet high. Professional surfers from around the world then have about twenty-four hours to get themselves to California in time for the competition.\n\nDuke Kahanamoku paddling a surfboard in Los Angeles, circa 1920.   \n_UCLA Special Collections_\n\nSurfer at Steamers Lane, Lighthouse State Beach, Santa Cruz.\n\nIllustration of the Hotel Del Coronado, 1896. _W. Lindley and J. P. Widney, America's Coastlines Collection, National Oceanic and Atmospheric Administration_\n\nMore than 120 years old, the Hotel Del Coronado continues to be a world-class resort.\n\nIN THE mid-1880s, two businessmen from the Midwest, Elisha Babcock and Hampton Story, purchased Coronado Island for approximately $100,000. They had dreams of turning the island into a hunting and fishing resort. At the cornerstone of their plans was the idea to build a grand and elegant Victorian seaside hotel, the type of which was popular at the time. It is fair to say that their vision was met. The hotel opened in 1888 to great fanfare.\n\nThe \"Del,\" as the hotel came to be known, catered to wealthy visitors who would travel across the country by train. The hotel went so far as to construct its own railroad spur for its most affluent guests, who would arrive in their own private railroad coach cars.\n\nToday, the Hotel Del Coronado is one of the last surviving, all-wooden, Victorian-era resorts of her kind. Most others were commandeered by the military during World War II, a fate that the Del was fortunate enough to evade.\n\nAlthough she languished through much of the mid-twentieth century, the Del has since undergone extensive restoration, bringing back nearly all of her original charm and glory. She remains one of the top resorts in the world. Visitors to the Del are prominently reminded of her famous history, with the list of past guests including presidents, royalty, authors, and movie stars\n\nSOME PEOPLE say that California has had two gold rushes. The first and most obvious followed the discovery of that precious metal in 1848. The second rush began nearly thirty years later and would be described aptly as more orange than golden.\n\nIn 1873, a horticulturalist named Eliza Tibbets was given a few branches of a tree variety called the navel orange by the U.S. Department of Agriculture (USDA). The USDA had recently been given a dozen such seedlings as a gift from Brazil. Those first couple of trees began bearing fruit on Tibbets' Riverside ranch in 1878, and with that, an entire navel orange industry was born. Within a few years, a new breed of land baron arose, and soon there were more than half a million orange and citrus trees growing in California.\n\nCalifornia orange tree, circa 1900. _Library of Congress_\n\nAround 1915, the overproduction of citrus fruits in California forced some growers to destroy as much as 30 percent of their crops. Fortunately, pasteurization came along around the same time. Soon enough, instead of destroying their crops, growers began juicing the oranges and shipping the product off to big cities. Thus was born the orange juice industry and the breakfast drink we all know so well.\n\nToday, oranges are one of the most important citrus crops in the world. Some orange trees can live over one hundred years. The seedless navel variety, which is reproduced through a process called budding, contains the same genes as Eliza Tibbets' original orange tree, which still stands and, despite its age, continues to bear fruit.\n\nOrange orchard along the Blossom Trail near Navelencia.\n\nPostcard, 1909. _Library of Congress_\n\nLos Angeles orange pickers, 1905. _Library of Congress_\n\nPillars of Creation in the Eagle Nebula, as photographed by the Hubble Space Telescope. _NASA, Jeff Hester, Paul Scowen (Arizona State University)_\n\nThe majestic spiral galaxy NGC 4414, as imaged by the Hubble Space Telescope. _Hubble Heritage Team (AURA\/STScI\/NASA)_\n\nMOUNT WILSON, located in the San Gabriel Mountains, rises more than 5,700 feet above the city of Pasadena. In 1903, astronomer George Ellery Hale visited the peak and found it to have perfect visibility conditions. A year later, the Mount Wilson Observatory was founded, and construction began for housing a sixty-inch telescope. Ten years later, the observatory also became home to the one-hundred-inch Hooker telescope, which was to remain the largest telescope in the world for the next thirty years.\n\nIn 1919, Hale hired a young astronomer named Edwin Hubble to work at Mount Wilson. It was there that Hubble made several of history's greatest scientific discoveries and radically shifted our understanding of the universe to lay the foundation for what would become known as the Big Bang theory. Until then, everyone, including Albert Einstein, thought that the universe was static and unchanging and only consisted of the Milky Way galaxy. Hubble not only discovered that the universe contained many more galaxies, but his observations of the red shift in the light from these distant galaxies proved that the universe was expanding.\n\nToday, Edwin Hubble's name is as likely to be recognized as Thomas Edison's or Albert Einstein's, due primarily to the NASA telescope that bears his name. The Hubble Space Telescope has gifted mankind with the most extraordinary images of the cosmos that could ever be imagined, including the famous Pillars of Creation and the Hubble Ultra Deep Field.\n\nThe Mount Wilson Observatory is still active today. NASA's famous Jet Propulsion Laboratory is headquartered in Pasadena, in the shadow of the observatory. It's from there that NASA operates many of its spacecraft, including Voyager, Cassini, and the Mars Rovers.\n\nThe Hooker telescope used by Edwin Hubble, Mount Wilson Observatory.\n\nEdwin Hubble at the Hooker telescope. _Huntington Library_\n\nOil well gusher, 1910. _West Coast Art Company, Library of Congress_\n\nCentral Oil field at the corner of First Street and Belmont Avenue, Los Angeles, circa 1905. _R. Arnold, U.S. Geological Survey_\n\nTHE LAND of California had long hinted at the liquid treasure that lay underneath its surface, leaking a sticky black tar in what is known as a seep. The best-known seep, the La Brea Tar Pits in Los Angeles, had trapped and preserved prehistoric animals for more than thirty thousand years.\n\nOil as a valuable resource was discovered in Pennsylvania in the late 1850s. Within a few years, the first California oil wells were drilled in the Central Valley. However, none of those early wells were productive enough to garner widespread attention.\n\nThat all changed in 1892 in the relatively unpopulated area known as Los Angeles when a man named Edward Dohney noticed a cart being pulled through town. What caught his attention were the wheels, which were coated with black tar. When he asked the owner where the material came from, legend says the guy responded by pointing and saying, \"Over there.\" With that, the original Los Angeles oilfield was discovered.\n\nAnglers on a recreational pleasure boat fish next to an oil drilling platform rig in the Santa Barbara Channel.\n\nWithin five years, more than five hundred oil wells had been drilled in the area. Production didn't slow until the early 1920s. Just as people were beginning to wonder if the boom was over, three new oilfields were discovered, including the largest one at Signal Hill in Long Beach. Thanks to those latest discoveries, by 1923 California was outputting approximately 25 percent of the world's oil supply.\n\nIn 1969, an offshore oil rig near Santa Barbara blew out, spilling tens of thousands of barrels of crude oil into the ecologically sensitive area around the Channel Islands and killing thousands of seabirds. Today, oil continues to dominate the global economy. In 2008, oil speculators banking on the future increased demand in China and India, causing oil and gas prices to rise on a daily basis. In the tiny town of Gorda, along the Big Sur coast, the cost of gas peaked at just shy of $6 per gallon. The high prices renewed debate over offshore drilling along the central and northern California coasts. Despite constant demand for new resources, area residents continue to voice strong opposition, fearing an environmental disaster similar to what occurred in 1969 off the Santa Barbara coast.\n\nTournament of Roses Parade, circa 1900. _Courtesy of the South Pasadena Public Library_\n\nFIRST FORMED in 1890 by the small Pasadena Valley Hunt Club, the impetus behind Pasadena's original New Year's Day parade was simply to have a festival that would show off Southern California's wonderfully mild winter climate to the rest of the world. The festival centerpiece was a parade of marching bands and floats.\n\nA dirigible bedecked with flowers in an early Pasadena New Year's Day parade. _Library of Congress_\n\nThe annual event quickly became too large and popular for the Hunt Club to properly manage, and in 1895 the Tournament of Roses Association was created to handle the festival. In 1900, the festival site was renamed Tournament Park and, in addition to a parade, played host to a variety of attractions, including rodeo-style horse riding and ostrich races.\n\nA football game was added to the mix of activities in 1902 for some extra excitement. The game turned out to be a brutal, one-sided massacre with the University of Michigan rolling over Stanford University by a score of 49 to 0. The game was so humiliating that Stanford gave up in the third quarter. In the years that followed, the Tournament of Roses Association decided to drop the idea of football games, opting instead for old Roman chariot races.\n\nFinally, in 1916, football was reintroduced to the event, and a game has been played each year since then. A few years later in 1922, the Tournament of Roses Association was instrumental in getting Pasadena's Rose Bowl Stadium built.\n\nToday, the Tournament of Roses Parade has become as synonymous with New Year's as New York City's Macy's Parade is with Thanksgiving. The Rose Bowl is the best-known football game outside of the Super Bowl and is the oldest American collegiate bowl game.\n\nThe 9th Rose Bowl, 1923. _Library of Congress_\n\nThe 94th Rose Bowl, 2008. _Jblackburn via Creative Commons Generic 2.0 Attribution_\n\nTournament of Roses Parade, 2010. _Dan Bock via Creative Commons Generic 2.0 Attribution_\n\n## Acknowledgments\n\nAn old stagecoach route called Leesville Grade winds through the mountains.\n\nIt should be obvious that a project like this cannot be done alone. First and foremost, I'd like to thank my publisher, Michael Dregni, and my editor, Danielle Ibister, at Voyageur Press for bringing this project to my attention and for continuing our collaborative relationship. I'd also like to extend thanks to Devin McCutchin, a graduate of UC Berkeley's History Department. His knowledge and insights into California's history were both compelling and comprehensive, and he deserves many thanks for his time and research efforts. I'd also like to express my thanks to the many individuals who helped with this project. Some of their images are in this book; in other cases, their efforts and images (along with mine) wound up on the cutting room floor. Still, their help was freely given and as such was very much appreciated. There are too many to name individually, but I do want to express a special thanks to Alan Brown at NASA, Rich Lorenz at the Trinity County Historical Society, Dan Nicolleta, Brian Voorheis, Neal Hotelling, Meryl Redisch, Timothy Orr at the Monterey Jazz Festival, the kind folks at the Lassen County Historical Society, the various helpful rangers at the National Park Service and California State Parks, and my good friend Michael Routh.\n\n## Index\n\n1906 San Francisco earthquake, \u201341\n\n1915 World's Fair, \u201353\n\n### A\n\nAlcatraz, \u201343\n\nArmstrong, Louis,\n\nArmstrong, Neil, \u2013125\n\n### B\n\nBanning, Phineas,\n\nBarnhart, Scotty,\n\nBarrymore, Lionel,\n\nBeach Boys,\n\nBear Flag Revolt,\n\nBidwell Mansion,\n\nBidwell, Gen. John,\n\nBig Basin Redwood State Park,\n\nBig Sur, \u201371\n\nBigfoot,\n\nBodey, W. S.,\n\nBodie, \u2013109\n\nBono, Sonny,\n\nBrenon, Herbert,\n\nBridalveil Fall, \u201385\n\nBrubeck, Dave,\n\nBuena Vista Winery,\n\nBumpass Hell, \u201319\n\nBunnell, L. H.,\n\n### C\n\nCabrillo, Juan, \u2013136\n\nCal State Chico,\n\nCapone, Al,\n\nCarmel-by-the-Sea,\n\nCarson, Kit,\n\nCarson, William,\n\nCatalina Island, , \u2013135\n\nChannel Islands, \u201369\n\nChavez, Cesar,\n\nChico,\n\nChristian Brothers Winery,\n\nClear Lake,\n\ncondor, \u201363\n\nCook, James,\n\nCrosby, Bing,\n\n### D\n\nDeath Valley National Park, \u2013123, \u2013128\n\nDent, John, \u201383\n\nDent, Lewis, \u201383\n\nDohney, Edward,\n\nDonner Memorial State Park,\n\nDonner Pass,\n\nDonner Summit,\n\nDonner, George,\n\nDonner, Jacob,\n\nDownie, William,\n\nDownieville, \u2013117\n\nDrake, Sir Francis,\n\nDrakes Bay,\n\nDunsmuir,\n\n### E\n\nEastman, George,\n\nEdison, Thomas,\n\nEdwards Air Force Base, \u2013125\n\nEl Capitan, \u2013120\n\nElectric Light Tower,\n\nEmigrant Gap,\n\nEureka, \u201333\n\n### F\n\nFort Humboldt,\n\nFort Ross Historic State Historic Park, \u201325\n\nFreeth, George,\n\nFr\u00e9mont, John C., ,\n\n### G\n\nGay Pride Parade, \u201347\n\nGillespie, Dizzy,\n\nGish, Lillian,\n\nGlacier Point, \u201397\n\nGolden Gate Bridge, \u201351\n\nGolden Gate National Recreation Area,\n\nGrant, Ulysses S., ,\n\nGrauman's Chinese Theatre, \u2013143\n\nGriffith, D. W.,\n\nGuenoc Langtry Estate and Vineyards,\n\n### H\n\nHale, George Ellery,\n\nHalf Dome, \u201397\n\nHaraszthy, Agoston,\n\nHenry Cowell Redwood State Park,\n\nHetch Hetchy Valley, \u2013105\n\nHolder, Charles F.,\n\nHoliday, Billie,\n\nHollywood, \u2013143\n\nHoover, Herbert,\n\nHotel Del Coronado, \u2013147\n\nHoyt, Minerva,\n\nHubble, Edwin, \u2013151\n\nHumboldt State Historic Park,\n\nHuntington Beach,\n\n### I\n\nIde, William,\n\nIronstone Vineyards,\n\n### J\n\nJack, Captain,\n\nJohnson, Albert,\n\nJoshua Tree National Park, \u2013131\n\nJoss House, \u201327\n\n### K\n\nKahanamoku, Duke,\n\nKelly, George \"Machine Gun,\"\n\nKennedy, Robert,\n\nKerouac, Jack,\n\nKeys, Bill,\n\nKing, Clarence, ,\n\nKings Canyon, \u201391\n\nKnight, William, \u201383\n\nKnights Ferry, \u201383\n\nKobayashi, Tom,\n\n### L\n\nLa Brea Tar Pits,\n\nLa Purisma Mission State Historic Park,\n\nLaguna Beach, \u2013133\n\nLake Shasta, \u201336\n\nLake Tahoe, \u2013113\n\nLange, Dorothea, \u201381\n\nLangtry, Lillie,\n\nLassen Peak, \u201319\n\nLassen, Peter,\n\nLee, Moon,\n\nLincoln, Abraham,\n\nLondon, Jack,\n\nLos Angeles Aqueduct,\n\nLower Klamath National Wildlife Refuge,\n\nLyons, Jimmy,\n\n### M\n\nMalakoff Diggins State Historic Park,\n\nManzanar, \u201393\n\nManzanita Lake, \u201319\n\nMarin,\n\nMarsh, Gustave,\n\nMarshall Gold Discovery Site State Historic Park,\n\nMarshall, James,\n\nMcCauley, James,\n\nMerced National Wildlife Refuge,\n\nMerced River,\n\nMilk, Harvey, \u201347\n\nMiller, Henry,\n\nMills, Anna,\n\nMission San Carlos Borromeo de Carmelo, \u201357\n\nMission San Francisco Solano de Sonoma,\n\nMission San Juan Capistrano,\n\nMission Santa Barbara, ,\n\nModoc War, ,\n\nMojave Desert,\n\nMono Lake,\n\nMonterey,\n\nMonterey Jazz Festival, \u201361\n\nMoro Rock,\n\nMorse, Samuel F. B.,\n\nMoscone, George,\n\nMossbrea Falls, \u201331\n\nMount Konocti,\n\nMount Lassen, \u201319\n\nMount Shasta, \u201313\n\nMount Tamalpais,\n\nMount Tom,\n\nMount Whitney, \u2013103\n\nMount Wilson, \u2013151\n\nMuir, John, , , , ,\n\nMuir Woods,\n\nMulholland, William,\n\nMurphys,\n\n### N\n\nNASA Dryden Flight Research Center, \u2013125\n\nNatural Bridges State Beach, \u201373\n\nNazimova, Alla,\n\n### O\n\nObama, Barack,\n\n### P\n\nPasadena, \u2013155\n\nPebble Beach, \u201367\n\nPenn, Sean,\n\nPickford, Mary,\n\nPigeon Point Lighthouse, \u201349\n\nPioneer Monument,\n\nPoint Lobos,\n\nPoint Reyes, \u201345\n\nPort Chicago,\n\nPort of Los Angeles, \u2013137\n\nPowell, John Wesley,\n\n### R\n\nRedding, \u201321\n\nRedwood National Park, , \u201315\n\nReed, James,\n\nRoop, Isaac,\n\nRoosevelt, Franklin D., ,\n\nRoosevelt, Theodore, ,\n\nRose Bowl, \u2013155\n\n### S\n\nSacramento,\n\nSacramento River, \u201321,\n\nSacramento-San Joaquin Delta, \u201379\n\nSalton Sea, \u2013140\n\nSamoa,\n\nSan Diego,\n\nSan Francisco, \u201341, , , \u201353\n\nSan Francisco Bay, \u201337\n\nSan Joaquin River,\n\nSan Jose,\n\nSanta Barbara, \u201365\n\nSanta Clara,\n\nSanta Cruz, ,\n\nSavage, James,\n\nScott, Walter E.,\n\nScotty's Castle,\n\nSequoia National Park, \u2013107\n\nSerra, Father Junipero, , ,\n\nShasta Dam, \u201336\n\nSierra Club,\n\nSilicon Valley,\n\nSonny Bono Salton Sea National Wildlife Refuge, \u2013141\n\nStapp, Col. John,\n\nSteinbeck, John, ,\n\nStrauss, Joseph,\n\nStroud, Robert \"The Birdman of Alcatraz,\"\n\nSundial Bridge, \u201321\n\nSurby, Byrd,\n\nSusanville, \u2013101\n\nSutter, John,\n\nSutter's Fort,\n\nSutter's Mill, \u201387\n\n### T\n\nTakeno, Roy,\n\nTenaya, Chief,\n\nTharp, Hale,\n\nThompson, Florence, \u201381\n\nThompson, Lucy,\n\nTibbets, Eliza,\n\nTournament of Roses, \u2013155\n\n### U\n\nUpper Newport Bay Ecological Reserve,\n\n### V\n\nVallejo, Mariano Guadalupe,\n\n### W\n\nWarren, James,\n\nWeaverville,\n\nWeston, Edward, ,\n\nWhite, Dan,\n\nWhitney, Josiah,\n\nWilfskill, William,\n\nWinema,\n\n### Y\n\nYosemite National Park, \u201385,\n\nYosemite Valley, \u2013120\n\nGary Crabbe is a writer and outdoor photographer specializing in commercial and editorial travel, as well as fine art scenic landscapes. His images have been used by the _National Geographic Society_ , _Time_ , The North Face, and the _New York Times_. His photography has been displayed at the Smithsonian Institution and the Carnegie Museum of Natural History. He also sells prints for corporate and home d\u00e9cor. He has five other books to his credit, including _Backroads of the California Coast_ and _Our San Francisco_. Crabbe founded Enlightened Images Photography (www.enlightphoto.com) in 1993. He lives near San Francisco in Pleasant Hill, California.\n\n_Photo courtesy of author_\nFirst published in 2011 by Voyageur Press, an imprint of MBI Publishing Company, 400 First Avenue North, Suite 300, Minneapolis, MN 55401 USA\n\nCopyright \u00a9 2011 by Gary Crabbe\n\nAll rights reserved. With the exception of quoting brief passages for the purposes of review, no part of this publication may be reproduced without prior written permission from the Publisher.\n\nThe information in this book is true and complete to the best of our knowledge. All recommendations are made without any guarantee on the part of the author or Publisher, who also disclaims any liability incurred in connection with the use of this data or specific details.\n\nWe recognize, further, that some words, model names, and designations mentioned herein are the property of the trademark holder. We use them for identification purposes only. This is not an official publication.\n\nVoyageur Press titles are also available at discounts in bulk quantity for industrial or sales-promotional use. For details write to Special Sales Manager at MBI Publishing Company, 400 First Avenue North, Suite 300, Minneapolis, MN 55401 USA.\n\nTo find out more about our books, visit us online at www.voyageurpress.com.\n\nDigital edition: 978-1-61060-248-8  \nSoftcover edition: 978-0-76033-728-8\n\nLibrary of Congress Cataloging-in-Publication Data\n\nCrabbe, Gary, 1964-  \nGreetings from California : legends, landmarks & lore of the Golden State \/  \nGary Crabbe.  \np. cm.  \nIncludes index.  \nISBN 978-0-7603-3728-8 (plc)  \n1. California\u2014Pictorial works. 2. California\u2014History\u2014Pictorial works. I. Title.  \nF862.C716 2011  \n979.40022'2\u2014dc22  \n2010029451\n\nEdited by Danielle Ibister  \nDesign Manager: LeAnn Kuhlmann  \nDesigned by Simon Larkin  \nCover designed by Matthew Simmons  \nLayout by Cindy Samargia Laun\n\nPrinted in China\n\n_Right:_ Map of California gold region, 1851. _Library of Congress_  \n _Frontispiece:_ Owens River Valley, Eastern Sierra.  \n _Title page:_ Point Sur Lighthouse, Big Sur coast.  \n _Table of contents, second from right:_ Badwater, 1907. _U.S. Geological Survey_\n","meta":{"redpajama_set_name":"RedPajamaBook"}}
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+{"text":"Tax returns and documents may be submitted to clients via our Secure Online Access. We primarily use the Secure Online Access to transmit individual tax returns to clients. Clients who opt to use our Secure Online Access have their returns available to them as soon as they are signed and filed.\nIf you would like to take advantage of this service, please contact our office.\nIf your individual return has been sent to our Secure Online Access, you may access your return at any time. The following instructions have been provided for ease of service.\n* You will receive an e-mail sent to the e-mail address you provided when you signed up for the Secure Online Access. These e-mails usually arrive in 2-5 business days after your return was signed. The e-mail will contain information needed to access your information.\n* After you receive your information e-mail, go to our Web site: www.baldwincpas.com and click on the \"Secure Client Login\" link to the left of any page on our site.\n* Your Client ID will be provided in the e-mail you received.\n* Your password will be the 9 digits in your Social Security Number + the 5 digits in your zip code. (For example: 100203000+40475) You must type the \"+\" sign too, or the password will be incorrect.\nFor assistance, please contact Bridget Mattox or call 859.626.4978.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This blog was originally posted at https:\/\/www.softwarevalue.com\/insights\/blog\/posts\/2017\/march\/using-software-value-to-drive-organizational-transformation\/.\nFrom a user perspective, looking at the application from outside the application boundary, I can interact with the application in three ways, called transaction functions: external inputs (EIs), external outputs (Eos) and external inquiries (same as input and output but with no change of data or state \u2013 EQs). From within the application, I can access data in two places \u2013 inside the application boundary or outside the application boundary. My interactions with these files are the two types of data functions: internal logical files (ILFs) where data is stored within the application boundary and external interface files (EIFs) where data is stored outside our application boundary.\nOutsourcing software development projects requires vigilance in order to realize the anticipated gains. The hard-fought negotiations to ensure a little bit less cost for the client with a worthwhile profit for the vendor are over for another year or two and the actual work can (re)commence.\nWhat impact will the new software development outsourcing contract have on the behavior of the vendor?\nProbably the vendor will be looking to save costs to regain lost margin. With the best intentions in the world, this probably means quality is at risk, even if only in the short term. Why? Because the vendor will probably choose to do one, or all, of the following: Push more work through the same team: introduce new, cheaper resources to the team; cut back on testing.\nHow can a client monitor for these software vendor management changes?\nFirst and foremost, you need good data. It is not helpful to start to gather data after you think you might have detected a problem with delivered code. The only data that will be useful in a discussion about diminishing quality from development outsourcing is trend data (I will return to this point at the end). That means that the client must be capturing and analyzing data continuously \u2013 even in the good times. It you tell me that the quality of my code has dropped off recently, I will not believe you unless you can show me concrete data showing me when and how it was better before.\nThe level of defects found by severity in any acceptance testing should be included. However, with many clients these days having only limited software development capabilities themselves, I would also recommend that all delivered code should be passed through a reputable static code analysis such as CAST, SonarQube or Klocwork. These tools provide a deeper analysis of the quality of the code, new metrics and, by comparison with previous runs on previous code deliveries, the impact of the current code delivery \u2013 did it improve or diminish the overall quality of the application being worked on. Clearly, the former is desirable and the latter is a cause for discussion. Some care needs to be taken before diving headlong into an untried static code analyzer. Poor examples of the breed tend to generate many false positives \u2013sometimes so many false positives that the credibility and value of the tool is lost.\nFrom personal experience, I also like to see the results of formal code reviews carried out on the code by the developer and one of his colleagues. To quote a RogueWave white paper, \"The value of code review is unarguable, which explains why they're mandated by 53% of today's software development teams.\" Many years ago, during my time managing a large software development group at Sanchez Computer Associates (now part of FIS), we faced the challenge of maintaining and improving code quality on our complex core product while increasing the number of developers to meet demand. Code reviews seemed to be a good answer because we had a group of very experienced developers who could teach and mentor the newcomers. The problem was that the old hands were just as much in demand to get code out of the door so didn't have the time to review all the code being produced by everyone else.\nReturning to my point about trend data, being the only currency for a software vendor management discussion, in my experience these discussions proceed very differently if the data collected before the contract (re)negotiation are used to set some expectations in the contract. Not necessarily service level agreements (SLAs), because these may be reserved for more important issues such as cost, productivity or customer satisfaction, but certainly the recording of an expectation that quality metrics will meet or exceed some average expectations based on prior performance from this software vendor (or the one they are replacing).\nSoftware value can take many forms but the ability to respond quickly and flexibly to new business challenges separates \"just so\" software architecture from high-value software architecture. To this end, over the past 20 years, we have seen many steps down the path from monolithic applications to client-server to service-oriented architectures (SOA). Now, organizations seeking to maximize the business value of their software architectures are adopting microservices architectures.\nMicroservices are natively able to communicate with each other through industry-wide adoption of pre-existing standards like HTTP and JSON.\nMicroservices can be formally defined using standards like the \"Restful API Modelling Language\" (RAML) so that developers reusing the microservices can depend on the functionality contained within the microservice and resist the urge to rewrite their own version \"just in case.\" Indeed, a collaboration hub like Mulesoft's Anypoint Exchange encourages merit-based reuse of microservices by capturing the reviews and ratings of other developers who have used that microservice.\nMicroservices can be implemented in different programming languages.\nTools are available to manage the complexity of microservices e.g. Mulesoft Anypoint Platform.\nThis last bullet hints at some of the challenges of a microservice architecture. Development needs to be highly automated with automated deployment to keep track of all the microservices that need to be composed into a particular application and continuous integration. However, the adoption of a microservices approach also requires strong discipline from developers and the devops team. Fortunately, the \"small is beautiful\" nature of most microservices means that the development teams can (and should) be small so team discipline and communication can be maximized.\nImplementating a microservices architecture is not something to try on your own for the first time.\nThere a number of companies that have already developed strong experience in architecting and development microservices including our own Spitfire Group who have done a number of implementations including a back-office upgrade for a Real Estate firm.\nI believe that organizations should seriously consider enhancing the business value of their software by implementing microservices architecture for their \"leading edge\" products or services. By \"Leading edge,\" I mean those software-based products or services that are most subject to change as the business environment changes. They are probably customer-facing applications which have to respond to competitive changes in weeks not months. They are probably going to be applications whose software value rests on they're being fit for purpose all the time.\nIn regards to business value, the cone of uncertainty is significant because of the impact that the rigid adoption of early estimates can have on the budgeting and planning processes, especially if the software development effort is outsourced.I see software estimation as both a form of planning and input to the business planning process. However, there is a a significant cross-section of the development community that believes #NoEstimates is the wave of the future. This is a movement within the Agile community based on the premise that software development is a learning process that will always involve discovery and be influenced by rapid external change. They believe that this dynamic environment of ongoing changes makes detailed, up-front plans a waste of time as software estimates can never be accurate. Using #NoEstimates techniques requires breaking down stories into manageable, predictable chunks so that teams can predictably deliver value. The ability to predictably deliver value provides organizations with the tool to forecast the delivery. In my view, the #NoEstimates philosophy really isn't not estimating \u2013 it is just estimating differently.\nHow can my organization know if our Agile transformation is successful?\nIt is commonly accepted that most organizations today have moved, are moving, or are evaluating a move toward the use of the Agile methodology. This report considers: (a) why the move to Agile; (b) what it means to adopt the Agile methodology to incur a transformation; (c) how to measure to know if your transformation is successful; and (d) how to ensure that the effects of the transformation are continued.\nWhy the move to Agile?\nAn IT organization has certain responsibilities that relate directly to their business client and the rest of the organization. From a business perspective, there are five (5) core goals for any IT team.\nAgile, when properly adopted, has been shown to be an effective development method that addresses each of these five goals. As with any new business strategy, the move to Agile would be an attempt to optimize business efficiencies that affect the bottom line and the client-supplier relationship.\nTom Cagley has suggested that a transformation is a \"complete or major change in someone's or something's appearance, form, etc.\"; in other words, a changeover, metamorphosis, transfiguration, or conversion. Transformation \"evokes a long-term change program that will result in a large-scale, strategic change impacting a whole organization (or at least a significant part)\". For Agile, it means fostering an environment of teamwork, trust, and open communication to facilitate continuous or frequent delivery of working software.\nWhen an organization embraces such a change, it typically has gone through several stages. First, discovery -- a realization of organization needs and how you will attempt to fulfill the needs through a process solution. This is also characterized by knowledge gathering and process analysis. Secondly, proof-of-concept coordination through the organization to solicit sponsors and stakeholders, and assign participants to test the solution. This is executed through a pilot program, or a sampling of teams to use Agile, to generate interest and enthusiasm. Using the lessons learned, and positive and negative feedback, the organization then moves to definition, a more structured approach to implementing Agile. The last phase is institutionalization, in which the transformation is complete, and Agile is used throughout the organizational IT community. This is exemplified as not just a practice, but a 'core foundation' based upon innovation and business value.\nDo we only start to measure when institutionalization occurs, or do we measure through all the process steps to realize when we have arrived at transformation? Obviously, the answer is that we implement metrics as the process evolves to be able to measure process outcomes, adjust the implementation as necessary, continuing to progress until the goal is reached.\nWhat then do we measure to gauge transformation?\nScrum is a common approach to implement Agile project management. Other Agile and Lean frameworks include Extreme Programing (XP), Crystal, and Scaled Agile Framework Enterprise to name a few. The measures and metrics mentioned in this paper can be applied to most if not all.\nThere are several key metrics that are used to measure the Scrum environment. To review the terms and the process, the following is the framework which is being measured.\nA product owner creates a prioritized requirement list called a product backlog.\nDuring sprint planning, the team pulls a subset from the product backlog to accomplish in a single sprint.\nThe team decides how to implement the features that are represented in the subset.\nThe team has to complete the work in a 1-4 (2 weeks being typical) week sprint.\nThe team meets each day to assess its progress (daily Scrum or Stand-up).\nDuring the sprint, the Scrum Master facilitates delivery of value.\nBy the end of the sprint, the features (work performed) meet the definition of done and are ready for delivery.\nAt the end of the sprint, the team engages in a sprint review and retrospective.\nFor the next sprint, the team chooses another subset of the product backlog and the cycle begins again.\nThe following are the recommended metrics based upon process measurement within that framework. All of them imply that there are organizational targets that once met would support the transformation.\nVelocity is a measure of throughput - an indication of how much, on average, a particular team can accomplish within a time box. Velocity can be gauged by the number of user stories delivered in a sprint, by the number of story points delivered in a sprint, or by the number of function points delivered in a sprint. Since user stories are not generally considered equal in complexity or time to develop, they have too much variability to be a reliable measure. Story points are subjective and are generally only consistent within a stable team. Again there may be too much variability to measure at an organization level, or across teams.\nWhile story points provide the micro view within teams, we need some way to measure the macro view across multiple teams. Function points can be used at the inception of the project to size the backlog, to determine the deliverability of the minimum viable product and to capture actual size at completion. This allows a quantitative view of volatility. In addition, function points are a rules based measure of size, therefore, can be applied consistently and are useful for standardizing velocity or productivity. Productivity is size\/effort, expressed as function points delivered per FTE or team member. Using function points as a basis for size, an organization can compare performance within dynamic teams and to the industry through the use of agile benchmark data.\nIn general terms, the Running Tested Features (RTF) metric reflects \"how many high-risk and high-business- value working features were delivered for deployment. RTF, counts the features delivered for deployment denominated per dollar of investment. The idea is to measure, at every moment in the project, how many features\/stories pass all their (automated) acceptance tests and are known to be working\". The two components are time (daily) and the number of running, tested features ready for delivery to the business client. This metric is often used in environments where operations or production environments are \"owned\" by separate organizations (often true in DoD and Government environments).\nA burn up chart tracks progress towards a project's completion. In the simplest form, there are two lines on the chart. The vertical axis is amount of work, and is measured in units customized to your own project. Some common units are number of tasks, estimated hours, user stories or story points. The horizontal axis is time, usually measured in days.\nThese charts can allow you to identify issues (e.g. scope creep) so adjustments can be made early in the cycle. They are also effective tools for communicating with clients and management. The advantage of a burn up chart over a burn down chart is the inclusion of the scope line. It also allows you to visualize a more realistic completion date for the project, by extending a trend line from the scope as well as the completion line. Where the two trend lines meet is the estimated time of completion.\nTechnical debt is a measure of the corners cut when developing a functionality (e.g. to prove that the functionality can be implemented and is desirable) the code may be written without full error trapping. As technical debt increases, it can become harder to add new features because of constraints imposed by previous poor coding. The measurement of technical debt was introduced in parallel with Extreme Programming (XP) which introduced the concept of \"refactoring\" or regularly revisiting inefficient or hard to maintain code to implement improvements. XP builds in refactoring, restructuring and improving the code as part of the development process. Technical debt is typically measured using code scanners which use proprietary algorithms to generate a metric based on the number of best practice rules that a particular piece of code infringes.\nThe question usually arises over the time frame for a 'release'. Quite simply, it depends on your delivery schedule \u2013 if you do a real release every 2 weeks, then that may be your measure of time. It is important to be consistent. As with any defect measurement, you will have to decide what priority defects are considered and are they all treated equally in the equation.\nExample: Utilization is 10 resources for 5 months project.\nIn a TUQ example, we built a team of 10 people. The team had low utilization because of team assignments. Assuming the team is ready to take on next the version of the product, if you replace half of the team members with newer members to work on the new product release it reduces team scalability by 50%.\nThe third team metric is Work Allocation. This is a simple chart showing what percentage of available time was spent across all work categories for the sprint. Time activities should not only consider development activities but must include the time spent with clients, customers and stakeholders. In Agile, which fosters a cooperative environment, time needed for communication and feedback is as important as the time to code and test.\nThe use of these metrics should encourage resource managers, Scrum masters and Scrum coaches, to carefully consider how time and resource allocation impacts team efficiency and scalability. The transformation of the organization is from hero building to team building, and if you want to gain a fair ROI, you will invest in developing cross-functional teams. Obviously, disrupting teams will not generate the delivery responses you seek. Conversely, as team dynamics are fostered and improve, so will velocity.\n7. Customer Satisfaction and Team SatisfactionLast but certainly not least, one of the measures which is highly revealing of performance is customer satisfaction. Customer satisfaction answers the question of whether the client is happy with the delivery, quality and costs of the functionality being delivered. Satisfaction provides a view into how the team is perceived by the clients.\nTeam satisfaction measures how the team is affected by agile adoption. Agile transformation provides an environment that values technical innovation, collaboration, teamwork, and open and honest communication which yields higher team satisfaction. Team satisfaction is positively correlated to productivity. Team satisfaction can be an indicator of how well the organization has implemented Agile.\nHow do you know that the effects of the transformation will continue?\nThe most common answer is \"you don't know for sure\". As a matter of record, experience has shown us that without continued measurement and adequate coaching, teams fall into entropy and lose efficiencies. A measurement feedback model should be in place to monitor performance levels, to know when to get coaching and how to address process improvements as needed.\nAt any point in the transformation, an independent assessment may be in order to determine where you are in comparison to where you want to be. Feedback from an assessment is critical for developing a fact-based plan for improvement.\nThe journey to transformation involves a cultural organizational change which can be thoroughly measured using common Agile metrics. The efficiencies of the new Agile environment can be quantified, maintained and improved through the use of a continuous measurement framework and periodic independent assessments.\nSPAMCAST, Tom Cagley. Nov 2015. So You Want A Transformation! https:\/\/tcagley.wordpress.com\/2015\/11\/10\/so-you-want-a-transformation\/ Agile Metrics: Running Tested Features, 9 June 2014, https:\/\/www.scrumalliance.org\/community\/articles\/2014\/june\/agile-metrics-(1).\nWikipedia Burn down chart https:\/\/en.wikipedia.org\/wiki\/Burn_down_chart.\nXBOSOFT: Defect Removal Effectiveness Agile Testing Webinar Q&A, https:\/\/xbosoft.com\/defect-removal-effectiveness-agile-testing-qa\/.\nDCG Software Value. Webinar: Agile Metrics What, When, How, David Herron. Nov. 2015.\nThis blog was originally posted at https:\/\/www.delcohvac.com\/6-common-air-pollutants-lurking-your-home\/.\nIf there is one time when business value is front and center in a conversation, it is during a merger or acquisition process. The acquiring company wants to know the true value of the company it's acquiring and the company being acquired wants to prove its value as a viable option for acquisition. In the case of a merger, both companies have these same two concerns \u2013 what is their real value and what is the value of the company with which they are potentially merging?\nIn today's organizations, technology, and more specifically, software is an aspect that needs to be carefully assessed to determine its value to the M&A deal as an asset or potential liability (i.e. requiring significant upgrades or maintenance or performing poorly).\nTo begin the evaluation process, I recommend looking at the software in relation to the business functions of the target company. Is the software unique to the company's line of business or is it used for a business function that is common between the two organizations (i.e. HR, payroll, CRM). Most likely, the software that is performing the same function in both companies will be of little business value to the acquiring company as they will choose to keep their existing software.\nHowever, a software solution that is unique to the target company could have tremendous value. The challenge is that the acquiring company may not be familiar with the software and have a limited understanding of its value or the risk associated with that software. In addition, if there are only a few individuals who understand how to use and maintain the software (especially with proprietary software) there is a risk that they will not remain at the company and as a result there will be no knowledgebase to maintain and\/or enhance the software.\nSoftware Asset Due Diligence (ADD) \u2013 determine how the target organization relies on the software.\nSoftware Asset Risk Management (ARM) \u2013 assess the risk involved in transitioning to the target organization's software.\nSoftware Asset Maturity Analysis (AMA) \u2013 determine the future ROI for the acquired software.\nSoftware Asset Integration Management (AIM) \u2013 analyze how to integrate the acquired software into the current environment.\nA software assessment needs to be an integral part of the M&A process \u2013 no matter what end you're on. It can no longer be an after-thought. Software can provide significant value or pose a huge risk for an organization and that needs to be determined up front.\nI'm always interested in hearing from others about your experiences on how your organization has handled the software assessment process during a merger or acquisition. What lessons have you learned?\nThis blog was originally posted at https:\/\/www.softwarevalue.com\/insights\/blog\/posts\/2016\/november\/four-steps-to-assessing-software-value-in-an-ma\/.\nThis blog was originally posted at https:\/\/www.softwarevalue.com\/insights\/blog\/posts\/2016\/october\/measuring-software-value-using-a-team-health-assessment\/.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Defense Intelligence Agency director U.S. Army Lt. General Michael Flynn testifies before the House Intelligence Committee on \"Worldwide Threats\" in Washington February 4, 2014.\nIn contemporary politics, there are plenty of politicians in both parties whose views on reproductive rights have \"evolved\" over time. Sometimes the shifts are sincere, sometimes they're a matter of electoral convenience, but whatever the motivation, these changes happen.\nThey don't, however, generally change literally overnight.\nThe comments quickly spelled trouble for Flynn's future as a candidate for nation office. Trump may like the retired general, but it's difficult to imagine Republicans tolerating a pro-choice Democrat on the GOP's presidential ticket.\nWhich made it all the more interesting to see Flynn take an entirely new position this morning.\nFlynn told Fox News he is a \"pro-life Democrat,\" while describing it as a legal matter.\n\"This pro-choice issue is a legal issue that should be decided by the courts. I believe in law. If people want to change the law, they should vote so that we can appoint pro-life judges. I believe the law should be changed,\" Flynn told Fox News.\nI suppose the obvious takeaway is that Flynn really does want to be considered for Trump's vice presidential slot, because otherwise, he wouldn't embarrass himself like this.\nThe problem, however, is that the two-positions-in-one-day posture won't work \u2013 because no one will take it seriously.\nA powerful anti-abortion leader doesn't buy the \"pro-life\" statements made on Monday by a retired military officer under consideration to be Donald Trump's running mate.\n\"Gen. Flynn's most recent statements on abortion make no sense,\" Marjorie Dannenfelser, president of Susan B. Anthony List, told The Hill on Monday\u2026. Dannenfelser said Flynn's stance remains unacceptable to social conservatives.\nIt's hard to say with confidence just how strong Flynn's chances of making the GOP ticket were before, but it's easier to say they're approaching zero now.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Greg Glassman does not mince words.\nThe founder and current chief executive officer of CrossFit, the world's largest fitness chain, is unapologetic and refreshingly unpolished during interviews.\nHe swears, wears his heart on his sleeve and pulls no punches in defending the fitness regime that has as many followers as detractors, most notably the mainstream media who are still dismissive of the workout style some 18 years after its founding.\nCrossFit, which now has more than 15,000 \"boxes\", as the gyms are known as around the world, has gone from its garage start-up roots to one of the health world's most talked-about sports. As each box is independently owned and operated as affiliates in the country they are established, CrossFit has been able to push through an international expansion that exceeds other outlets such as Planet Fitness, Anytime Fitness and 24 Hour Fitness. CrossFit now has gyms in more than 120 countries.\nIt has also benefited immensely from the rising popularity of the CrossFit Games, which crowns the \"fittest person on the planet\" each year.\nGlassman, a California native who is 62, took time to chat with the South China Morning Post about everything on his mind when it comes to CrossFit's place in the fitness world.\n\"I keep getting told this by experts on China and business and I take this with a grain of salt. They say, 'China is different' and if you don't have an inside partner you won't succeed. But I go there to talk to my affiliates and travel around with Liang Kong (China's CrossFit representative who also runs a CrossFit gym in Hangzhou) and it just doesn't seem that different. I don't see the different part, so maybe at the end it jumps up and bites us ... I think it's entirely possible that CrossFit's simple aim of making people healthy is beneficial to all systems. Whether it's Hong Kong or Macau or the rest of China.\n\"If you go to one of our 10-year affiliates and ask them what is this business about, it's about soccer moms and grandparents and children, and fat middle-aged attorneys, not the games. One of the things that has been really hard for me is when I meet with the 10-year affiliates, these people are all my friends and I knew them when we all had nothing. And to have them come into my home and tell me, 'You know coach, it's not about the games,' and it almost makes me cry.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"You might have across some situations when you say something and later on felt that you should have never said it. As an illustration: When you meet your friend after a long time and say, \"hi it's great to see you, having fun with your married life huh? without knowing that he is breaking up with his partner. You should always think before you say anything. Similarly, there are things which a real estate agent must never tell his client. In this article Dc Fawcett reviews things that a real estate agent must never tell his clients.\nThis is obviously the wrong thing to say. Every buyer needs the home inspection for any type of home that he buys \u2013 condos, townhouses, luxury homes or single-family homes. This will raise suspicions on the part of the buyer. When a buyer inspects a home, he comprehends on how to maintain the property and also comes to know about how longstanding the home will be. He also comes to know of several other things like the suitability of the home, process of moving in, the neighborhood, furnishing and decorating it and so on.\nThis is irksome to many clients. The buyer may be borrowing money from his kinsfolk, but he does not like it to be pointed out by the real estate agent. It annoys him and he will not take it easy.\nThis is really bad. Real estate agents have to be there 365\/12\/24\/7. This creates a bad impression in your client's minds like you are negligent. If you genuinely cannot make it on that day, make the reply more formal. For instance, you can say that you have a few other commitments and will make it on some other day shortly.\nThis is a put off for many people. Any sensible and logical person will know that he should not sign documents without reading it. It is all the more important for real estate since it is the most costly and valuable asset of their life. Buyers should show the documents to the attorney and can sign after his approval.\nJust about selling the property and are not interested in getting the best price for the seller. These kind of real estate agents are rather inefficient.\nThese are some of the most important things that real estate agents must read to ensure good client reviews and relationship. Obviously, the client rating is important for the present transaction and for your track record too. So, newbies or inexperienced real estate agents must read this review by Dc Fawcett.\nDc Fawcett Real estate Training Dc Fawcett Real Estate Strategies, Dc Fawcett Real estate tips. permalink.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"You can forget about standing and waiting in those endless lines at the pharmacy. Just send us your prescription details and we'll take care of the rest! Schedule your free delivery via the Medly app, phone call, or text message.\nWe manage refills for you, so you'll never have to worry about running out of your meds. We also carry a variety of packaging options to encourage medication compliance and make it easier for you to stick to your dosages.\nWe will coordinate with both your doctor and insurance company to make sure that you are receiving the right drug at the lowest possible price.\nAt Medly, our specially-dedicated PA staff works with physicians and insurance providers to ensure that any prescriptions requiring PA are dealt with as quickly as possible.\nAny special requests? Are you unsure about a drug's dosage or possible side effects? We offer consultation 6 days a week excluding sundays, and we're always happy to help.\nYou can take care of your copay through the Medly app, or over the phone with one of our team members. In some cases, we can even provide special discounts through copay cards or discount cards from manufacturers.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We all know that having a pet involves a lot of responsibilities, but to what extent we know what they are and what we have to take into account when choosing them. Having an animal in our charge is not crazy, because from the moment you adopt it, your life depends on you .\nJust as pets do not need all the same care, not everyone has the same lifestyle and meets the necessary conditions to know which pet to choose. So if you are considering adopting one and do not know which one is best for you or which one best fits your needs, do not miss this article from YourCatCareguide where we give some tips on choosing your pet .\nWhy do you want to have a pet?\nThe first of the tips for choosing a pet is to think about why you really want to have a pet . If the answer is because it is fashionable, because it is what everyone does or because your child does not stop asking you every day, it is best not to rush and do what he wants.\nThink of a pet as not a toy and your child might tire of taking care of it in no time. Some animals, such as cats or dogs, can live with you between 10 and 20 years, so you should not think of it as something temporary. The ideal is to reflect on why you really want to have a pet at your side and think about what fits best with your lifestyle.\nAnother of the tips for choosing a pet is to be aware of the time it takes to devote it and the hours that your care requires. It does not take the same amount of time to care for a dog as a cat, for example, because the first one will need you to spend many more hours of your time to feed him, be with him, walk him and have daily physical activity according to your needs. On the contrary, cats are much more independent and, besides not needing to be taken to the street, they can also spend the day alone at home without problems while going to work.\nTherefore, it is important to measure exactly how much time you have to choose a pet. Because you think that even though you get home tired and do not feel like anything, there is a living being that depends on you and you can not forget your responsibilities if you have to take care of it. So if you do not spend so much time at home or are simply not willing to devote much time to your pet, it is best to choose one that involves less care like hamsters, turtles or birds.\nNot all animals need the same living space, so before choosing a pet, make sure that the place you live in is appropriate to have it. If you live in a small apartment and want to have some exotic animal or some rodent like guinea pigs, rabbits or chinchillas, it is important that you have a place to put your cages, just like if you want to have some kind of pet bird. But if you prefer a dog or a cat, you should think about its size and your physical needs, because if you have a large dog for example, you will need to live in a large space and garden, or be willing to go out and play it outdoors much longer than a smaller dog .\nIt is also important to take into account the people and other pets you live with, in case you have any more. Because you can not just think of what a person just wants, you should also take into account the opinions of the other people who live at home , whether human or animal. So before you bring a new pet home, make sure that everyone agrees with your arrival and that it is appropriate to get along with everyone.\nAnother of the tips for choosing a pet that we offer you, is that you take into account the budget that counts . Take your pet to the vet every time you need it, feed it, keep it clean, provide you with a sleeping bed or a cage to live, put a chip on it or sterilize it (if you need it), or buy him toys \u2026 they are all things that involve spending, and you should make sure you can cover them.\nIn addition, you should not only take into account your pet's possible care but also the unexpected medical emergencies or the possible damages it may cause in your home and if you are willing to go through them like scratches on the furniture in the event of have cats, or sneakers and other items bitten if you have puppies. Some of these behaviors can be avoided if they educate them properly since puppies , but some do not. In addition, you also need to take time to train your pet, so think about it.\nHave you ever wondered who will leave your pet if you are not at home or vacationing ? This is one of the questions few people ask when choosing a pet and it is very important to know the answer because not everyone has someone to leave their pet with.\nIf your family, friends, or neighbors are willing to take care of your pet when you are not, then you are in luck. But the vast majority of people who adopt a pet nowadays, do not think about who will stay with it on their vacation, so think about this before choosing a pet.\nYou can always take your pet with you in the car , or even travel by plane if you are traveling far away and can not leave you in the care of anyone else. And as a last resort, you can also take him to a shelter or a pet hotel to take care of him in his absence .\nIf you are an unresponsive, forgetful or simply lazy person, it is best not to adopt any pet that needs care like birds or rodents. On the contrary, if you want to protect your case from intruders or have a faithful and delicate life partner, the ideal is to adopt a dog as a pet because it will give you more security and a lot of affection. For those who are more independent but still enjoyed having a pet, the best choice will be to have a cat as a pet. And for those who like different or strange things, exotic animals like hedgehogs or iguanas are the best option .\nAs you see, everything depends on the needs you can cover , the personality you have and your lifestyle, because just as human beings are not equal, animals are not either, and each one of them will be especially suitable for each of we.\nIf you want to read more articles like Tips For Choosing Your Pet , We recommend you to enter our section of What You Need To Know .","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This notice explains our privacy practices and the way information is used on our website.\nThis website does not automatically collect personally identifiable information (name, address, telephone number, email address, etc.) unless you choose to fill out a \"Contact\" form.\nThis website automatically collects certain non-personally identifiable information such as the type of browser you are using, the type of operating system you are using, and the domain name of your Internet service provider (e.g., Comcast, Verizon, etc.). Non-personally identifiable information is used to analyze visitor behavior, which allows us to improve the design and content of our site.\nWe will not we share, rent, or sell your personally identifiable information.\nWe cannot guarantee the privacy of personal information you transmit over the Internet or that may be collectable in transit by others, including contractors who provide services to us.\nOur website contains links to other websites whose practices may be different than ours. Visitors should consult the other sites' privacy notices. We have no control over information that is submitted to, or collected by, these third parties.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Why do men have so much trouble getting close to other men?\nExample: Joe approaches Ben at church with a handshake. Ben instinctively reaches out to hug instead, putting Joe in an obviously uncomfortable position. Joe is not a hugger, he says, so why is Ben always so friendly and invading my space?\nOK, who has the problem here, Ben or Joe? Clearly Joe is not as comfortable with male expression of closeness. Ben, on the other hand, comes from a long line of huggers (including most men in his family) and assumes this is fine with anyone\u2013or should be.\nJoe may feel Ben is deliberately pushing this greeting on him and therein lies the issue. Might it be a matter of control?\nIt is also possible Ben feels it is his duty to loosen up the men he meets, make them more expressive. Both are misguided in their thinking.\nAttributing a motive to Ben is certainly not good, but neither is failing to speak up about this if Joe is uncomfortable. Still, Joe should probably ask himself whether he is missing out on some real male closeness by mis-characterizing Ben's hug. Ironically most men feel OK hugging in a sports environment (even patting each other on the fanny!) but not OK with a hug in public.\nUnless there is some cultural taboo, Joe would do well to talk it over with his wife or another understanding man and decide why he feels the way he does. He might decide to change his view\u2013especially if he has a young son and wants his son to be able to express his affection openly with other males.\nPay attention to people's greetings. The styles are numerous. Think about how you like to be greeted, but don't force that on everyone else. Also, talk to other men about this and see how they feel. Then decide for yourself how to react based on some thoughtful reflection and not a knee-jerk reaction.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Watch \"Westworld\" and get your HBO fix on Hulu. It's what Dolores would want.\nIf you've been looking for a way to watch Westworld, then you're in luck. Hulu is offering an incredible deal on a 6-month HBO subscription so you can quit dodging spoilers.\nAdd HBO on Hulu for $4.99 a month for the first six months to watch HBO shows on any device, including and certainly not limited to Amazon Fire TV, smartphones, and your favorite gaming console. Whether you're catching up on Westworld, refreshing your Game of Thrones knowledge before the final season in 2019, or watching John Oliver's hilarious perspective on the collapse of our modern society with Last Week Tonight, you can get total access to HBO plus Hulu's enormous library too.\nA regular HBO subscription may start you off with the first month free, but you'll be charged $14.99 per month from thereon. Saving $10 a month for the first six month of your HBO subscription on Hulu doesn't sound too shabby, don't you think?","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Benson Mwangi Irungu, PhD, graduated with a Bachelor's degree in Computer Science from Uganda, East Africa in 2005. He continued with a two year European Erasmus Mundus MSc in Computer Vision and Robotics at Heriot-Watt University- United Kingdom, University of Girona- Spain, and University of Burgundy- France. In August 2012, he completed a PhD in Neuroimaging from the University of Dundee \u2013 Scotland. For his doctorate, Irungu focused on predictive modelling of neuroimaging data in major depressive disorder. His thesis work had a specific focus on the role of advanced machine learning algorithms in predicting outcomes in major depression using structural neuroimaging scans. In December 2012, he joined the Center of Excellence on Mood Disorders, part of the Department of Psychiatry and Behavioral Sciences, as a postdoctoral research fellow.\nIrungu, currently an assistant professor, researches the development and application of novel big data and machine learning tools to multimodal neuroimaging and clinical data that may help elucidate the pathophysiology of neuropsychiatric disorders. This will result in new and novel biomarkers with potential clinical applications in diagnosis, prognosis and therapeutic interventions. Irungu has published over 45 articles and presented internationally.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"As per this study the Global Car Air Purifier Market was valued USD 1,375 MN (by revenue) in 2018 and is anticipated to reach USD 2,679.5 MN by 2025 with a CAGR of 10%.\nCar air purifier is a small, compact-structured appliance that purifies air by eliminating air containment and pollutants such as dirt, smoke, odor, foul smell, bacteria, CO2 and exhaust fumes and other pollutants from the car. These are useful for the people suffering form dust allergies, and asthma.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Every wedding I shoot makes me fall in love with love all over again. Your wedding day is one of the best days of your life. I would be honored to document it.\nguaranteed with my signature One-Week Edit.\nClick the images below to view more photos from each wedding.\nEpic wedding photos don't just happen. They take planning! Before your wedding, we'll create a shot list to guide your wedding photography. After your wedding, I'll hand edit your photos and send them to you in 5 business days (one week) with my signature One-Week Edit.\nRyan & Alexa's dreamy wedding day in Julian, California, was filled with laughter, margaritas, horses, and lots of barefoot dancing. Check out the feature on Forever Bride!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"It's time to start stocking up on your winter essentials and this bobble hat should be number one on your list. A cold-weather classic, this hat has a cable knit running through the main body in grey with a contrast orange trim. Fabricated in 100% acrylic, a medium size bobble sits on top of this winter warmer. Matching items available.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Ella Lydia Koenig was born on December 11, 1892, so today would have been her 126th birthday. Her parents were Emanuel and Clara (Weinhold) Koenig. She was the sister of John Koenig, whose story was written in the post shown below.\nLydia was baptized at Salem Lutheran Church in Farrar, Missouri. This is her baptism record.\nA dozen years before Lydia was born, a boy by the name of Siegmund Claus Oswald was born. His birthday was October 16, 1880. He also was baptized at Salem Lutheran Church. He was the son of Christian and Margaretha (Droege) Oswald. This is his baptism record.\nWe find both Siegmund and Lydia in the 1900 census for Perry County. Lydia was still living with her parents in Salem Township. That 1900 Salem Township census record is notorious for being almost impossible to read. Siegmund was living with a Meyer family in Central Township as a farm laborer.\nSiegmund was back living with his parents in Union Township in the 1910 census.\nThis photograph of the Oswald family shows Siegmund sitting on the right, next to his father. I am thinking this photograph was taken in front of the August Lueders home in Frohna, near where his son, Paul Lueders, had a photo studio.\nSiegmund and Lydia were married on May 26, 1912 at Salem Lutheran Church. Below is their marriage record from the church books.\nThis is their Perry County marriage license.\nWe also have this wedding photograph.\nThis couple's first two children, both daughters, were born in Perry County. Sometime after 1915, they moved to Merrill, Wisconsin where Siegmund was a market gardener. Below is his World War I draft registration form.\nHere we see them in the 1920 census from Merrill.\nTheir first son is shown on this census. A 1930 city directory shows Siegmund as a market gardener. Merrill is located not far from Wausau, Wisconsin.\nThe 1940 census shows the Oswald family back in Missouri, but not in Perry County. They were living in Moreau Township in Cole County, not far from Jefferson City.\nThe children shown here bring their total number to five. Siegmund was listed as being a farmer. When Siegmund was 61 years old, he filled out a World War II draft card.\nSiegmund's address is given as Lohman, Missouri. Also, according to this form, Lydia was still living, but that would not remain the case for very long. On September 6, 1942, she died. She was just 49 years old. This is her death certificate.\nIf you look closely, Lydia was buried in a place known as Stringtown. There is a Lutheran church in Stringtown with a cemetery. It is located in a rural area outside Lohman, Missouri.\nSiegmund died on July 6, 1952 at the age of 71. This is his death certificate.\nWe also have this obituary for Siegmund.\nA gravestone for both Siegmund and Lydia can be found in the St. John's Lutheran Cemetery in Stringtown, Missouri. For some reason, Siegmund's birth date and his death date was never inscribed on the stone.\nI had never heard of St. John's Lutheran Church in Stringtown before. I discovered that in 2017, they celebrated their 150th anniversary. Their church started during the same year that the Trinity Lutheran church sanctuary was being built in Altenburg. Here is a photo of the interior of the Stringtown church.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"It wasn't Dastan's birthright to become a prince\u2014it was his destiny. As a boy in 6th century Persia\u2014one of the greatest empires the world has ever known\u2014 young Dastan is a street urchin, parentless and penniless. Threatened with severe punishment by a Persian Army captain after defending a youngster caught stealing an apple, Dastan is first spared, and then adopted, by the noble King Sharaman, who detects a touch of greatness in Dastan. Raised alongside Sharaman's sons Tus (Richard Coyle) and Garsiv (Toby Kebbell), and taught the ways of wisdom and nobility by his adoptive father and beloved uncle, Nizam (Kingsley), Dastan retains his rough edges while growing into a strong young warrior.\nDastan, driven to prove his worth, leads the attack on Alamut, a peaceful holy city which is reported by spies to be hording weapons that are supplied to Persia's enemies. But in fact, Alamut holds a much deeper and greater treasure\u2014the legendary Sands of Time, which gives mortals the ability to turn back time. Dastan comes into possession of an ancient glass-handled dagger, the key to accessing the Sands of Time, but King Sharaman is assassinated and Dastan is accused of the crime. Now on the run and desperate to clear his name, Dastan finds himself in an uneasy alliance with Tamina, a feisty young Alamut princess whose family has guarded the Sands of Time for centuries, and who will do whatever it takes to protect it.\nDastan and Tamina, who are like oil and water from the start, are challenged to survive the unforgiving desert and some even more unforgiving enemies\u2014from the wily Sheikh Amar (Molina) and master African knife thrower Seso (Steve Toussaint) to the deadly attempts of the Hassansins\u2014 each one trained to kill with their own lethal techniques. It will take all of Dastan's bravery and fighting skills, as well as Tamina's cunning, in order to uncover the one truly responsible for the king's death, and for him to discover the nobility that truly lies within.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Everyone from Henry Kissinger and Donald Trump to Solomon Lane in the new Mission Impossible movie cares about the the end of the old world order. What is a world order? How is it changing? Most importantly, what should India be doing about it?\nIn Episode 56 of The Pragati Podcast, Pranay Kotasthane and Anirudh Kanisetti join hosts Pavan Srinath and Hamsini Hariharan to discuss India's Strategies for a New World Order.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"A Mafia hit man who is said to hate \"rats\" is under suspicion in the slaying of former Boston crime boss and longtime FBI informant James \"Whitey\" Bulger, who was found dead just hours after he was transferred to a West Virginia prison, a former investigator briefed on the matter said Wednesday.\nDan Kelly, the Springfield attorney for Geas, spoke to NBC10 Boston after hearing the reports that his client was a suspect in the slaying. He said he had spoken to Geas a week earlier about the weather and sports but has not since heard from him or federal investigators about the killing of Bulger.\n\"He is in there for murder so I wasn't completely surprised that he would be alleged to be involved in another murder, but I don't have any first-hand knowledge that he was involved,\" he said.\nKelly said Geas had spoken to him about Bulger in the past, but would not elaborate on the conversation.\n\"Just that he knew who Whitey Bulger was and his reputation for being an informant,\" Kelly said.\nHis hatred for informants is why former western Massachusetts investigative reporter, now radio host, Jim Polito said he is not surprised to learn Geas may be connected. Polito covered Springfield's underworld extensively and speculated about the motive, noting Geas is only behind bars after his friends gave him up to the feds.\n\"He killed for someone who became a rat and ultimately landed him in jail for the rest of his life,\" Polito said. \"He hates rats and Whitey is the king of all rats. Freddy would want to kill him.\"\nPrivate investigator Ted McDonough, who knew Geas, told The Boston Globe: \"Freddy hated rats\".\nWhile the killing of Bulger is being investigated, Kelly, a former prosecutor, says he's not surprised by the death.\n\"I think it's a relief the long saga of his criminal life is over,\" Kelly said Wednesday.\nKelly worked on Bulger's case for the U.S. Attorney's office in the 1990s.\n\"It was good when he was caught and it was even better when he was convicted,\" Kelly said. \"His death is what it is. He was a violent man and he met a violent end.\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"BBC News Wrote: Megaupload, one of the internet's largest file-sharing sites, has been shut down by officials in the US.\nThe site's founder have been charged with violating piracy laws.\nInvestigators denied a link to recent protests against proposed piracy laws, according to the Wall Street Journal.\nThe US Justice Department said that Kim Dotcom, formerly known as Kim Schmitz, and three others were arrested in Auckland, New Zealand at the request of US officials. It added that three other defendants were still at large.\n\"This action is among the largest criminal copyright cases ever brought by the United States and directly targets the misuse of a public content storage and distribution site to commit and facilitate intellectual property crime,\" said a statement posted on the FBI's website.\nThe charges included copyright infringement, conspiracies to commit racketeering, copyright infringement and money laundering.\nThe FBI said that more than 20 search warrants had been executed in nine countries, and that approximately $50m in assets had been seized.\nBefore it was shut down the site posted a statement saying: \"The fact is that the vast majority of Mega's internet traffic is legitimate, and wee are here to stay. If the content industry would like to take advantage of our popularity, wee are happy to enter into a dialogue. Wee have some good ideas. Please get in touch.\"\nOn Wednesday, thousands of websites took part in a \"blackout\" to protest against the Stop Online Piracy Act (Sopa) and the Protect Intellectual Property Act (Pipa).\n\"Neither of the bills are close to being passed - they need further revision - but it appears that officials are able to use existing tools to go after a business alleged to be inducing piracy,\" said Gartner's media distribution expert Mike McGuire.\n\"It begs the question that if you can find and arrest people who are suspected to be involved in piracy using existing laws, then why introduce further regulations which are US-only and potentially damaging.\"\nOther file sharing sites to follow maybe?\nIm wondering if it might be a good idea to delete my accounts on sites I don't use anymore, just to be safe. Don't want them to seize a tracker and then hit everyone with a good ratio with piracy charges.\nThe crazier part: The acting CEO of Megaupload is Swizz Beats. Seriously.\nAny coincidence that this happens the day after the anti-SOPA protest??\n(19\/01\/2012 02:12 PM)Cyonix Wrote: Any coincidence that this happens the day after the anti-SOPA protest??\nWell brokep (of The Pirate Bay fame) put it very well..","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The visualisation shows cooperation is strong in nano and materials, but that most money flows in the climate area.\nAs part of our work in the JEUPISTE project, we have visualised H2020 participation of Japan-based participants. The web-based tool illustrates the EC contributions in Horizon 2020 projects with participation from Japan. Tooltip information also shows the number of projects in each thematic area.\nThe visualisation shows that the cooperation is strong in nano and materials, climate and the MSC actions. EC contributions to Japan are strongest in the area of climate. Spain and Italy feature strongly in the cooperation, the former in the area of climate, the latter particularly in nano and materials.\nThe visualisation builds on eCorda (January 2017) data processed by the Catalan Agency for Management of Universities and Research Grants (AGAUR) in Barcelona and analysed by the EU-Japan Centre for Industrial Cooperation, AGAUR and ZSI.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzybzy b/data_all_eng_slimpj/shuffled/split2/finalzzybzy
new file mode 100644
index 0000000000000000000000000000000000000000..8b85aaf4a3ca4e55e911e98ca42681076f6e3461
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzybzy
@@ -0,0 +1,5 @@
+{"text":"Principal\/Project: Kuwait Qualifications: Candidates must have at least Bachelor's \/ College Degree. The job requires both Male and Female applicants only. Minimum of 3 years working experience is required for this position.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Summary Four young boys pose in deep snow in the middle of Elk Avenue, Cested Butte, Gunnison County, Colorado. Snowbanks are piled high against the false front commercial buildings. A stationary sign hangs above an awning of one. Big Hill shows in the background.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"birdous, angels at homeland. \u5929\u4e0b\u7fbd\u5e1d,\u5929\u4e0b\u4e88\u5e1d,\u5929\u4e0b\u4e2d\u5e1d\u3002: since last resort.\ndreamt of Japanese murdering. in dawn dream, some Japanese girls likely actors I followed in google+ appear. some of them fell into love and let me admire. then saw gangsters in Japan. a short boy commanded his pals throw a victim into lake, then electricized the water. the victim likely shocked and paralyzed. when crowd approached to the crime scene, I woke up and don't know death end or just pains as punishment. yesterday my kid brother contacted me, first by sms asking if I need to buy anything on him. I blamed him always likes to do the less money concerned task, rather than directly give me loan. God, I don't know where his mercy came from, but I told him my review of his bravo: 3 times saved me from asylum by led me out of the insane treatment there. I said he doesn't owe me but I owe our dad for his late youngest boy, my kid brother and his helping hand. then my brother called in, allow my detailed explanation how my life wonderful, meaningful and thankful. after the conversation he dropped me another \u00a52000 in a year. I paid back my credit with the aid at once, left less than 9,000 on account yet to pay, but minimum of the month covered. last week I first time realized I need slow down my living rhythm to outrun a marathon to see out my son's growing up, till his marriage, his social presence. I had tried to present my son best of mine, it more or less exhausted me. aging put me into more and more naps. but I need a strategy to outpost our situation agile around the full journey on the earth before we settle in God's shine. every day bites me, maintains me in hope and endure. I need plan to cope the worn out. God, dad, I still in faith of my new family, my girls and my offspring arriving. grant me Royal China to home my family. bring me insight upon development of my business, democracy of China. thx, dad, this cool morning before breakfast spiritual.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"As a donor, partner, interested party and newsletter subscriber of the waterkiosk foundation you provide us with your personal data, which we record in our internal and self-administered address database for the purpose of processing your donation or information request.\nWe will adapt to your wishes at any time and change your contact details, reduce the frequency and method of delivery of our letter and online mailings or block your address so that you do not receive any further mailings.\nThe waterkiosk foundation does not participate in selling or sharing addresses, it does not rent, sell or exchange personal data, and complies with the applicable data protection regulations.\nDo you have any questions about the data management policy of the waterkiosk foundation?\nIf you have any questions about your personal data, or if you would like to have your contact details deleted or modified, please send us an e-mail to info@waterkiosk.org.\nThe waterkiosk foundation will gladly inform you by email about current topics and projects. The newsletter will only be sent if you have given us your consent.\nYou have the possibility to unsubscribe from our newsletter at any time, either via the unsubscribe link which is included in every mail, or directly on our website under newsletter.\nRaiseNow ensures safe and easy payment and donations on the internet. The certified e-payment platform has been specially developed for non-profit organizations and charities.\nRaisenow warrants for simple and secure payment transactions of credit and debit cards, both for the waterkiosk foundation and for you as cardholder.\nThis website uses Google Analytics, a web analysis service of Google Inc. (Google).\nOn behalf this website's owner, Google will use this information to evaluate your use of the website, compile reports about website activities, and provide the website's operator with further services related to website and Internet usage. The IP address sent from your browser as part of Google Analytics is not merged with other data by Google.\nOur website uses social plug-ins from facebook.com, operated by Facebook Inc., 1601 S. California Ave, Palo Alto, CA 94304, USA. The plug-ins can be recognized by way of the Facebook logo or the supplement \"Facebook Social Plug-in\".\nFor example, if you click on the \"Like\" button or leave a comment, the relevant information is transmitted directly from your browser to Facebook and stored there. Furthermore, Facebook makes your likes public for your Facebook friends. If you are logged into Facebook, it can assign the invocation of our page directly to your Facebook account.\nEven if you are not logged in or don't have a Facebook account, your browser sends information (e.g. which web pages you have called up, your IP address) which is then stored by Facebook.\nOur websites use plugins from Twitter Inc., 795 Folsom St., Suite 600, San Francisco, CA 94107, USA (hereinafter \"Twitter\" called). These are recognizable by the Twitter logo, a blue bird on a light background.\nBy including the \"Tweet\" button, Twitter receives the information that you have accessed the corresponding page of our website. You are logged in to Twitter, Twitter can assign your visit to your Twitter account.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We love going to our State and National Parks. We've never tried the Junior Rangers, that looks like fun. We'll have to try it this year.\nMy favorite, only because I've only been to Great Smoky Mountains National Park, is GSMNP. I do love the beautiful mountains and the abundance of amazing hiking trails and the fact that it's close to home. My dream is to one day visit other national parks.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzaahwx b/data_all_eng_slimpj/shuffled/split2/finalzzzaahwx
new file mode 100644
index 0000000000000000000000000000000000000000..9bb6ebf1e2e9678529dbb50982004ae27e8e3938
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzaahwx
@@ -0,0 +1,5 @@
+{"text":"If you like going to Hollywood blockbusters\u2014The Dark Knight, Divergent, and most recently, Rampage\u2014there's one city block that by now should look very familiar. Located at East Upper Wacker Drive between North State and North Wabash in The A.V. Club's hometown of Chicago, the block is a one-of-a-kind collection of architectural styles gathered on opposite sides of the Chicago River. Our own Ignatiy Vishnevetsky visited State and Wacker to tell us more about its history.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"These EA7 Small Logo Sweatshorts are 100% cotton and are black in colour. They have an elasticated waistband with a concealed drawstring. They have open pockets at the sides. EA7 branding appears printed on the left leg and at the rear.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Far Afield Kesch Jacket \u2013 FAR AFIELD | Contemporary British menswear with a global inspiration.\nA classic coach style jacket made from a wool mix fabric. The piece features a semi-hidden placket, internal pocket, locker loop, straight hem and two large front facing pockets.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In setting these rules for the use of the golf course, the Club's Management is in no way attempting to restrict the enjoyment obtained from playing the course. It is, in fact, necessary to follow certain procedures to ensure maximum enjoyment of the golf course, Clubhouse and grounds for all members. All rules shall be applied on a fair and equitable basis. Pride in the Club, together with thoughtfulness and consideration we afford fellow golfers, will make the enforcement of any rules unnecessary.\nIt is expected that Members will choose to dress in a fashion befitting the surroundings and atmosphere provided in the setting of the Club and will advise their guests accordingly to avoid any embarrassment on the day. Dress throughout the Club is casual attire in good taste. From time to time, exceptions to the dress rules may be made for certain special events.\nThe following types of clothing are prohibited anywhere on the golf course and in the Clubhouse; Denim, cargo pants or cargo shorts, short shorts or board shorts, cut-off's, running shorts, tee shirts, singlet tops, tank tops, sweatshirts, bathing attire, warm-up suits, thongs.\nIf you are in doubt concerning your attire, please check with the Clubhouse on Tel: 02 - 8796 5888 prior to your arrival.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Many thanks to all of you who expressed your views on this year's Proms premi\u00e8res, it's always fascinating to compare my own responses with those of so many others, particularly when we disagree! Since closing the polls a few days ago, i've fed the results (938 votes) into what has become by now quite a clever little spreadsheet\u2014and voil\u00e0, here's a summary of how you all voted.\ni must admit i've wondered whether my own negative reaction to this piece was somewhat churlish considering how much fun Auerbach is evidently aiming it to be. Further reflections haven't changed my mind, however\u2014if anything, they've reinforced it\u2014and the majority of you clearly felt similarly. To quote from my review: \"doggerel masquerading as playful pastiche\"; certainly a worthy (if that's the right word) piece to be judged the worst of this year's premi\u00e8res.\nYes, i can see where you're coming from. While Auerbach's was, to my mind, the only really egregious example of barrel-bottom-scraping, Lindberg's was almost an unimpressive. His work in recent years seems to exhibit a kind of laziness, relying on well-worn tropes, that's disappointing considering how impressive have been some examples of his earlier output. In this particular instance, the Beethoven red herring gives it even less credit. Grime's music clearly needs an overhaul, pure and simple. It's limited in scope, tautological and superficial, which is all the more frustrating considering there are moments in the Two Eardley Pictures when one detects something altogether more engagingly nebulous lurking beneath that ultra-crystal clear surface.\nNot my own personal favourite, but a work i enjoyed very much. i still think it's a risk, de Leeuw extending this lengthy nocturnal meditation to a duration of almost 50 minutes, but i still think he gets away with it (just), avoiding clich\u00e9s and norms in favour of an ambiguous, spontaneous narrative that's often strikingly vivid (i can never get that dog's barking out of my head).\nFor me, these were the real highlights. i love the mixture of simplicity and complexity that permeates Widmann's luscious soundworld. It's a tension that allows one to enjoy the work on a number of levels of engagement; i certainly find more in it each time i hear it. Berkeley's concerto has, i hope, proved to those who needed convincing that he's not simply one of the old guard, but a composer simultaneously looking back and forward, embracing the best of both worlds. Beyond this, it's extremely refreshing to witness a composer being so emotionally raw, a quality that seems to have become alien (or, at best, rationalised) in most contemporary music circles. His concerto ranks among the very best new works that the Proms has heard in recent years.\nAnd in case you're interested, among the remaining premi\u00e8res, it was Piers Hellawell's Wild Flow that left most of you supremely indifferent, another verdict with which i can readily agree. Once again, i tip my critical hat to the acuity of your discernment.\nAs i said before the season began, i had been tempted not to bother reviewing this year's new works, due to the timidity of the selected composers, and while it's turned out to be more interesting than i'd feared, there's no doubt at all that the Proms seems to have barely a clue about contemporary music. One of its worst offences, which i've probably mentioned every year, is its singular lack of interest in\/awareness of electroacoustic music, expanding instrumental groups with electronics. It seems the Proms believes you're either entirely acoustic and therefore classical, or you use electronics and you're therefore pop. i couldn't give a monkey's about the Proms' insistence on including pop-related concerts\u2014that's even less of a crime than clapping between movements (which isn't and never has been a crime anyway, so shush)\u2014but their ignorant failure to explore what contemporary composers are doing to integrate acoustic and electronic composition is as embarrassing as it is shameful. Proms director David Pickard seriously needs to up his game.\nDespite BBC Television's astonishingly stupid recent efforts to reinforce this myopic dogma, new music does not and never has existed in a hermetically sealed, separate space, set apart from the entirety of music that has gone before it. Composers might sometimes wish it did (echoing Beckett's \"All that goes before forget\"), but it's a moot point; audiences\u2014especially Proms audiences\u2014cannot fail to approach contemporary music saturated with the knowledge and memories of a myriad earlier musical experiences, classical or otherwise. Excising new works from the BBC's television broadcasts of Proms concerts isn't merely a craven act of crowd-pleasing complaisance, treating music as little more than an emollient unction with which one can unthinkingly unwind, it's a fundamental misunderstanding of the interconnected nature and context of the entirety of music. Composers squirm when you ask them about influences, but they're there, sometimes very obviously so, and two of the most recent Proms premi\u00e8res, from Behzad Ranjbaran & J\u00f6rg Widmann, could hardly have made their earlier points of inspiration more clear.\nOne of the greatest gifts of the string quartet is its ability to explore the most intimate of soundworlds. The second of J\u00f6rg Widmann's string quartets (he's composed a series of five), subtitled the 'Chorale Quartet', is a striking example of this, spending much of its time at the threshold of utterance.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzabifq b/data_all_eng_slimpj/shuffled/split2/finalzzzabifq
new file mode 100644
index 0000000000000000000000000000000000000000..ecf87b07d8326dd450d3892fc1539ad1d2670887
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzabifq
@@ -0,0 +1,5 @@
+{"text":"This recipe is so yummy. We love this recipe and I always make extra so we can have leftovers the next day. My grandchildren love this recipe when I make it for them. So much so that there is nothing left on their plates. How can you go wrong with a recipe like that?\nI usually double this recipe. I like to have leftovers so I do not have to cook for a day or so.\nCube 6-7 chicken thighs, or more, (1-2 lbs.). Sprinkle with salt and pepper, 1 teaspoon garlic powder and some parsley.\nInto a zip lock bag add 2 cups of cornstarch, more if needed. Add chicken cubes, toss to make sure that each piece is well coated.\nSorry I forgot to take a picture of this step. I get so involved in what I am doing that from time to time I forget to take pictures. Anyway, beat 2 eggs into a bowl then add a few of the chicken cubes coated with the cornstarch into the beaten eggs. Make sure that each cube is well coated with the egg.\nInto a pan with some heated oil, add one by one the egg coated chicken cubes. Fry until golden in colour. Next place them into a foil lined pan. Set aside.\nI like doing this sauce before I begin my chicken pieces. Into a pot add 2-3 cups of water, 1\/2-3\/4 cups of ketchup, 1 1\/2 cups sugar, 1\/4 cup vinegar and 1\/2 cup flour. I suggest that you mix the flour and water together first so no lumps form.\nPlace on stove and cook at a medium temperature. These amounts can be adjusted and don't be afraid to do it. I find that the time to do this is towards the end of the cooking time of this sauce.\nPour as much sauce on the prepared chicken as you like. I like it saturated. Reserve some to put over chicken before serving. Place into a preheated 350 degree oven for 40 minutes. Serve over rice.\nCube chicken, place it into a large bowl. Add parsley, garlic powder and salt. Mix and place in fridge for a couple of hours. I like to marinade it for the whole day 6-8 hours.\nRemove from the fridge and let the chicken sit for 1\/2 hour at room temperature. Add around 1 cup at a time, placing the chicken into cornstarch and tossing to coat.\nBeat eggs and add chicken pieces one at a time into the beaten eggs to coat, then drop them into the hot oil one at a time. Fry until a the chicken is a nice golden colour. Remove from oil and place into a foil lined pan. Repeat these steps until there is no more chicken left.\nInto a pan for frying, add 4-5 cups of oil or more and heat at a medium high heat. Preheat before placing the chicken in to cook.\nAdd all of the ingredients into a pot stirring constantly until the sauce has thickened. This step is like making gravy. When it is done pour it over the chicken and mix it well with the chicken so the chicken is well coated. I like to reserve some to serve along side of the chicken and rice. Bake 30-40- minutes.\nI have been wanting to try making sweet and sour chicken for a while. This looks mouth-wateringly delicious!\nBaba! I found it. I will pin this one too. It looks like a great recipe. And I especially like the sauce.\nMary that's great. I KNOW you will like it. The great thing about this recipe is you make the chicken ahead and then put it in a casserole dish with the sauce and even some pineapple into the oven to heat. We love it. So glad you found it. The sauce is as old as the hills. It was my mothers for sweet and sour chicken balls. Just remember you can adjust it to your taste. If it's too thick add more water, if too thin add more flour, etc. Let me know how it turns out for you.\nBaba, I love sweet and sour chicken! Thanks for the recipe!! Definitely making some for the family soon.\nYour welcome. So glad to hear your going to try it.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Night vision binocular LN-EB5-LRF is a combination of professional quality night vision binocular with fully-integrated precision laser rangefinder with readout in the field of view, which provides additional opportunities for nighttime target observation and unfamiliar terrain orientation. Quality high aperture optics allow object detection at up to 1,000m (1,090yds), and industry-first built-in rangefinder allows user to accurately measure the distance to the observed object.\nNight vision binocular LN-EB5-LRF is a combination of professional quality night vision binocular with fully-integrated precision laser rangefinder with readout in the field of view, which provides additional opportunities for nighttime target observation and unfamiliar terrain orientation. Quality high aperture optics allow object detection at up to 1,000m (1,090yds), and industry-first built-in rangefinder allows user to accurately measure the distance to the observed object. Unit features lightweight, water and shock-resistant body, along with the super-fast light transmitting all-glass objective lens, specifically calculated for the image intensifier tube light spectrum, resulting in the brightest possible image that is also free of peripheral distortion.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"SurLaLune Fairy Tales Blog: December SurLaLune Giveaway: What Fairy Tale Things Are On Your Holiday Wish List?\nI actually have a very long list of fairy tale related things on my list. Most are books.\n1. Rapunzel by Barbara Rogasky and illustrated by Trina Schart Hyman (I love her art).\n5. Another thing I would love to have would be a nice collection of bookmarks featuring fairy tale illustrations (traditional versions, not Disney). Beauty and the Beast, East of the Sun, West of the Moon, Catskin, Snow White, Cinderella, Snow Queen... So far my searches have come up empty.\n5. The board game Dixit that I keep hearing so much about.\nThis is perfect, considering my wishlist is pretty much nothing BUT fairy-tale stuff.\nTwo things so far - the new version of the Snow Queen illustrated by Sanna Annukka and also the little Ladybird jigsaws of some of their classic fairytales. Both things came into the shop when I work and they are in my Christmas wish list basket!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Kids Mini Sofa Interior | Suncoastherbs.com mini sofa for kids. kids mini sofa cover. kids mini sofa.\nKids Mini Sofa Amazing Kabs Schlafsofa Neu Chesterfield Pottery Barn In Addition To 17. Kids Mini Sofa Stunning Furniture Children S Sofas Couches And Along With 10. Kids Mini Sofa Incredible Chesterfield Pottery Barn Along With 12. Kids Mini Sofa Really Encourage The New Sofas For From MADE ROOST BLOG UK Homes Intended 3. Kids Mini Sofa Fantasy Wayfair Co Uk As Well 7. Kids Mini Sofa Comfortable Couch For Sectional New With Regard To 8. Kids Mini Sofa Brilliant Mitt Chair Red Cool Chairs As Well 11. Kids Mini Sofa Cozy Chesterfield Pottery Barn Intended For 1. Kids Mini Sofa Stylish Furniture Children S Sofas Couches And Pertaining To 6. Kids Mini Sofa Cozy Shop Abbyson Antique Brown Velvet Chesterfield RJ Pertaining To 18. Kids Mini Sofa House Couch For And Set With Regard To Along 14. Kids Mini Sofa Household Chesterfield Diddle Tinkers Pertaining To 16. Kids Mini Sofa Encourage Amazon Com Best Choice Products Upholstered Tufted In Addition To 0. Kids Mini Sofa Incredible Chesterfield Pottery Barn Pertaining To 2. Kids Mini Sofa Dream Amazon Com Abbyson Teddy Chesterfield Beige With Regard To 5. Kids Mini Sofa Property Abbyson RJ Fabric Chesterfield In Beige BR S03 K BGE 3 9. Kids Mini Sofa Home The New Sofas For From MADE ROOST BLOG UK Homes Pertaining To 13. Kids Mini Sofa Encourage HOMCOM Sponge PVC Children Armchair Seating Chair Intended For 15.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Hillary Scott is an oil painter from northeast Massachusetts. She earned her BFA from UMass Lowell (2002) where she was primarily trained as a children's book illustrator under the direction of the late narrative painter, Brenda Atwood Pinardi. Since graduating Hillary spent many years creating figurative oil paintings and working as an illustrator. She illustrated her first children's book \"The Good Guy Lullaby\" which was published in April 2014. She has recently become very interested in exploring a new direction for her art career which is plein air landscape painting. She is fascinated by the effects of light in nature. Hillary finds inspiration in the beautiful New England landscape and has an affinity for marshes, seas, and skies. She has completed a series of landscape paintings with an attempt to capture light, mood, and atmosphere.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzacqlh b/data_all_eng_slimpj/shuffled/split2/finalzzzacqlh
new file mode 100644
index 0000000000000000000000000000000000000000..4b208c703487389f3eee616efab78b54374cc036
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzacqlh
@@ -0,0 +1,5 @@
+{"text":"* Describe the records you are requesting.\nIdaho State Code exempts certain documents from public disclosure. If the record you request is exempt from disclosure, you will be notified. USING ANY LIST AS A MAILING LIST OR TELEPHONE LIST IS PROHIBITED BY IDAHO CODE \u00a774-120 AND PUNISHABLE BY A CIVIL PENALTY UP TO $1,000.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Malcom Gladwell explains the concept of a near-miss and remote-miss in his book David and Goliath. A near-miss leaves someone devastated both physically and emotionally while a remote-miss leads to a path of growth and increased strength. My story is one of anxiously trying to turn my situation into a remote-miss, an epiphany about my efforts, and my new outlook on life.\nOctober 21st, 2013 a 12-year-old student came to school with a 9mm handgun he retrieved from a cabinet above the family fridge along with two loaded clips. After arriving at school he walked to the back field and basketball courts. Withoutwarning he began shooting students. Michael Landsberry, a mathematics teacher, marine, and Afghanistan war veteran, heroically tried to stop the shooter but was fatally shot before he could reach him. In themean time, while inside the building I heard screams. For about 5 to 30 seconds (I really can't be sure \u2013 things went into slow motion) I stood in my classroom. The hair on the back of my neck stood up, my body began to tense, and I remained still. My brain screamed that it was just kids playing tag, they always yelled before school began. Something deep within me didn't agree \u2013 the tone was off, so I headed down the hall. I met two other teachers at an exterior door where we let in frightened students who had just experienced a gun in the face and watching a teacher get shot. It wasn't until later that we learned from police that while we were letting those students in, the shooter was just around the corner changing clips, and then tried to get in the same door. Thankfully we were already hidden by that time. We quickly made our way into the nearest lockable room. One amazing teacher kept the kids calm while I called 911, the other secured the door, and we then waited it out. I watched the door for what felt like hours, thinking about what I would do if someone tried to get in. We took all the phones from the students to control noise. I'll never forgethaving about five phones in my pockets, and having almost all of them begin to ring (vibrate because we had them silenced) at the same time. The news had broken, parents feared the worst but we couldn't answer. It would make too much noise.\nIn the end, we lost Mr. Landsberry, two students were critically wounded, and many more teachers and students had bumps and bruises from jumping over fences, diving behind corners, and hiding behind anything in site. The shooter wasn't used to firing such a weapon and was reported to have pretty bad aim. This one fact along with the interference of Mr. Landsberry saved countless lives. Teachers checked their clothes after hearing and feeling bullets pass but not actually getting shot. It was that close for a number of people. The police report would later reveal that the troubled shooter had played a Columbine video game, researched that horrific event extensively, and left a haunting note. Ultimately he took his own life and left a large hole in ours.\nAs you can imagine, everyone had a different experience during those horrifying minutes. There are moments that continue to bother me; the \"What ifs?\" My initial response was one of numbness, no tears, no feeling, no pain, just a slow recovery from adrenaline and shock. That morning I was busy getting ready for the day in my own math classroom and a shooting was the furthest thing from my mind. As a teacher, I couldn't help but experience moments of guilt. Did I do enough? What could I have done differently? Worst of all \u2013 why didn't I realize what was going on sooner? You have to realize that even a single minute feels like forever when your senses are heightened and you realize life-threatening danger is present. Would this be a near-miss or a remote-miss? These are all questions that kept me up late into the night, caused me to drink just a little too much, and threatened to propel me into a state of depression. Ultimately, it is my hope that sharing some details of my own journey will assist another going through a similar situation.\nIn the weeks immediately following the event, things followed a somewhat predictable course. The brotherhood felt among teachers was stronger than I ever thought possible; we mourned together, drank together, ate together, even traveled together. The first time I really lost it emotionally was after the last day of school and our \"last supper.\" I called a crisis hotline drunk \u2013 it wasn't pretty, but they were really helpful! People were beginning to go their own ways, moving to other schools, beginning anew, and we all knew things would be different. It literally tore my heart out. You see, a teacher has to be strong. We had to show up, teach, and be there for students. While I was far from perfect, this responsibility took its toll. The last day of school was different. The reality of what happened hit, there was no longer a need for so much strength, and while the bonds formed among our group will never be broken, I knew our relationships were about to change. We were beginning to move on.\nIn the months following the last day of school, I became almost obsessive about making this a remote-miss. You see, a remote-miss gives people a sense of invincibility. I survived that horrible day so I can definitely handle this thing called life, right? A near-miss is so traumatic that the feeling of invincibility and strength never come, just pain and trauma. I was losing interest in everything I cared about, even my favorite TV shows. However, I forced myself to pretend and participate as much as I could. Over time things improved, life got a little easier, and I had hope. But the pressure of making this a remote-miss was still as strong as ever. Every news report of another shooting, especially the school ones, set me back. It was frustrating. However, there was a pivotal moment when things began to change.\nI finally decided to talk with a therapist regarding the whole event (I'm a very stubborn person). With heart pounding and voice trembling, I scheduled a session with an office on the list we were given by the district. I drove downtown, searched for parking, and finally made it to the door just on time. The building was black and door locked. I waited for fifteen minutes, called the number with no answer, and proceeded home. About a day later the office called completely horrified that they forgot to put me on their calendar. I wasn't mad but there was no way I was going back! For some elusive reason, after that phone conversation it hit me. I had been making a grave mistake by oversimplifying the near-miss and remote-miss idea into thinking that one path would lead me to a happy existence while the other would ultimately leave me with perpetual pain; a gross over-simplification indeed! In that moment, I promised myself to stop trying to completely control my feelings and recovery. If I ever wanted to try seeing a therapist again, I would. I began embracing good days to the fullest, and I stopped fighting the bad moments. Every time I was startled at school while teaching, I would take a \"bathroom break\" and just breath for a moment instead of pretending it didn't happen. At some deep level, certain student sounds remind me of the screams on that day. The screams I thought were just kids playing tag. That is okay\u2026 take a moment. Every time someone mentions a 9mm, it's alright to feel disgusted. I absolutely hate that gun! It may be irrational, but I don't care. I'd like to melt every one of those guns and send the material into space never to been seen again. That's alright.\nThe epiphany that my feelings and the way I was handling the situation were adequate, as simple as it sounds, has changed my life. If there are any teachers out there still feeling guilty for not doing x, y, or z, or if anyone affected by violence and trauma feels badly about the way you are reacting, take a deep breath and realize that we cannot control everything. I have found that being okay with who I am, how I reacted on that day, and how I feel day-to-day is perhaps the single most important part of my journey thus far. I still have sad moments and truly panic if I forget my school keys at home (keys save lives). I remember telling the school secretary after I realized my keys were at home that if she didn't give me a spare, I was leaving immediately. Thankfully, she got me a key! There may come a day when I'm around a large number of people and don't immediately formulate my \"What if there is a shooting plan,\" but until then, I will plan away and be ready because that is what makes me feel safe. I encourage you to embrace your journey, realize that progress can and likely will be slow, and keep striving for peace. We don't have to \"recover\" within anyone's timeframe. We can have symptoms and struggles and still be resilient and successful people. We can feel weak and still be strong. We can be both near and remote-misses.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Verified April 2005 by The Avicena Group.\nThe purpose of this study is to determine whether nine months of administration of creatine monohydrate results in an increase in muscle strength in patients with amyotrophic lateral sclerosis (ALS).\nIntroduction: Twenty-one ALS patients were enrolled in a placebo controlled pilot study at the Carolinas Neuromuscular\/ALS-MDA Center, The University of Texas Health Science Center at San Antonio and The University of New Mexico at Albuquerque. At all time points sampled over a nine month period, patients taking creatine monohydrate had either a significantly greater improvement in their strength or a more modest decline compared to the patients taking placebo. Overall analysis of variance is significant for both an effect of the drug (p=0.002) and time (p< 0.001).The pilot study also showed that quality of life, as measured by ALSFRS-R, correlated significantly with the observed changes in muscle strength (MVIC).\nPhase III Study: The primary objective of this study is to determine whether treatment with creatine monohydrate results in an increase in muscle strength relative to placebo in patients with amyotrophic lateral sclerosis (ALS), after three months, and at the end of a nine-month treatment period.\nThe study is a Phase III, eight-center, double-blind, placebo-controlled, randomized clinical trial designed to evaluate the safety and efficacy of creatine monohydrate in patients fulfilling the eligibility criteria. The subjects (n=156) will be randomized in a 1:1 ratio to receive treatment of highly purified creatine monohydrate or placebo (Dextrose, USP) for nine months. The subjects will be administered 10 grams of creatine monohydrate per day for the first five days, and then 5 grams per day thereafter. Each subject will be followed for the nine-month treatment period.\nThe primary outcome measure for the study is change in upper extremity motor function after three weeks, and at the end of a nine-month treatment period as tested by MVIC. Strength in ten arm muscles will be measured (bilateral shoulder and elbow flexion\/extension and grip).\nPatient safety will be assured by ongoing review of reports of adverse events, clinical laboratory data, and measurement of vital signs. These tests include: measurement of MVIC and muscle fatigue, measurement of FVC, completion of ALSFRS-R and SF-12 quality of life instruments, review of potential adverse effects, determination of vital signs and weight, serum creatinine and BUN, and urine dipstick for protein.\nA clinical diagnosis of probable or definite lab-supported ALS, either SALS or FALS, according to modified El Escorial criteria.\nMales or females, 21 to 80 years of age.\nPatients receiving treatment with Rilutek\u00ae (riluzole) must be on a stable dose for at least 30 days immediately prior to enrollment.\nWomen of childbearing potential must be non-lactating and surgically sterile or using an effective method of birth control (double barrier or oral contraception) and have a negative pregnancy test. Women will be considered menopausal if they have not had a menstrual cycle (period) for two years.\nDisease duration less than five years since symptom onset.\nAt least 5 of 10 testable upper extremity muscle groups of MRC grade 4 or better.\nThe patient must have given informed consent that has been approved by the appropriate Institutional Review Board (IRB).","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The place where I grew up has changed a lot since I've moved off. But one place has not, and it brought back some good memories. I thought I would share some pictures of a place I spent a lot of time at while a teenager.\nWow...great pictures!! Lots of water and greenery....which are both in short supply out here in California!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"As the NHL regular season standings go, this game as meaningless as it gets tonight, with the Tampa Bay Lightning having sown up the President's Trophy with a historic 60+-win season and the Toronto Maple Leafs locked into the third place in the Atlantic Division with two games left to play.\nThat said, the Leafs are going to get the opportunity to bring Jake Gardiner back into the lineup tonight after about five weeks on the shelf with a back injury. Andreas Johnsson will also return, while sitting out will be Nazem Kadri \u2014 maintenance day \u2014 and Jake Muzzin, who continues to battle an illness.\nExpect the coaching staff to carefully manage Gardiner's minutes, but the fact that he's getting some game reps in prior to the regular season is a positive sign for the Leafs, who \u2014 barring a setback \u2014 should be able to ice their full complement on the blue line (a rarity since the Jake Muzzin addition) for the start of the Bruins series. For now, Calle Rosen remains in on a pairing with Travis Dermott on the right, while Gardiner rejoins his usual playing partner in Nikita Zaitsev.\nMeanwhile, William Nylander will slide into the middle of the ice in between Johnsson and Connor Brown with Kadri sitting out. Not to read too far into a maintenance day, but if Kadri were to miss any time going forward in the playoffs at any point, the more reps Nylander has down the middle, the better.\nOn the Lightning side of things, Victor Hedman will not play in either of the final two games of the season, J.T. Miller will also miss tonight's game, and Dan Girardi remains out indefinitely. They are expected to start Andrei Vasilevskiy in net, while the Leafs will counter with Frederik Andersen at the other end.\nIt's basically just trying to get him up and running so he can feel good going into the playoffs. When you've been off to five weeks, it's really tough, no matter how good of a player he is. Gards is a really good player, but you also want to be feeling good to play well. It is an important time of year. It looks like he has a window here and we're going to take advantage of it.\nIn the room, on the ice\u2026 I mean, everywhere. He is a really, really good player. He moves the puck real good. He is way better defensively than people think. He's an important player on our team. He is a 50-point guy who +20 or something like that. You just can't get them. It is so important. We've seen\u2026 We've been through it with a real cycle here, obviously. You've seen how hard it is to be a good d-man in the NHL. He is one of them.\nWhat we do is we get him out there and see what is going on, and then see how he is feeling. It is no different than if you hurt your ankle and you come back, the first time you get hit, you think you broke your ankle. You come to the bench and two seconds later, you feel good. The same thing is going to happen to him. He is going to get hit. He's going to come to the bench and think, \"Oh my God, the wheels are off.\" Two seconds later, he will be up and running. We're cognizant of what has gone on and what is coming.\nThe first round is always the hardest for sure until you loosen up and get going. In saying all off that, though, would you rather be in their situation or everyone else's situation? I'd rather be the best team every single time. There are pressures and expectations and you go from there.\nIt is not like Tampa just started on this journey. They've been on this journey for a long time. It was just a couple years ago that Coop did an unbelievable job and they just missed the playoffs because of all of the injuries. That is just the facts in the NHL.\n60 wins in today's NHL\u2026 45 is an unbelievable year. Good on them. They've got good depth. They've improved their team. Their players have changed over and over and over again. They've done a real nice job in managing the cap. They're a good team. We are all envious.\nIf you've known Coop for a long time\u2026 I've known Coop for a long, long time. Obviously, he has been good wherever he's been. That, to me, is what happens. Wherever you go, if you win, you're pretty good at it. If you can work real closely with your management team and you can build a program\u2026 You can coach all you want, but if you don't have players\u2026 He's managed those players and they've done a real nice job of keeping their players.\nThey've done a real nice job of getting their players to buy in to whatever their salary structure is. They've added and added and added. They've drafted and scouted and added more players. Every time you see their prospects, they look like they've got more coming. That, to me, is the sign of what he's done. But he's done a real nice job and has won year after year.\nYou want players feeling good about themselves going into the playoffs, but as soon as Saturday at 4 p.m. for us comes, I don't think anyone will even think about the regular season and what has gone on. You go through these last two games, where teams really aren't playing for any position, but guys want to feel good about themselves.\nPower plays want to have success. Penalty kills want to get through those. You don't want to be in situations where you are hanging your goaltender out to dry or letting things in your game slip, but you're fully understanding the intensity level \u2014 as professional as these players are \u2014 are probably not going to be the same as they are going to be next Wednesday.\nI think he has brought to the Leafs what McDonagh has brought to us. He is obviously having a career year with the Leafs, but they've had injuries and Tavares seems to kind of be that stabilizing force that\u2026 I don't want to call him depth scoring because they've always been able to score, but he just another weapon in their arsenal. But he is a veteran guy that has been through this league, and I'm sure in this locker room, he's a guy they lean on, just as McDonagh has been for us.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzacxny b/data_all_eng_slimpj/shuffled/split2/finalzzzacxny
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index 0000000000000000000000000000000000000000..3a4682305fea6ee602b74f5aca05b260c369fd59
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@@ -0,0 +1,5 @@
+{"text":"i have driven by grassroots in south pasadena many times barely noticing it and passing it on by. well, i'm here to confess how foolish that was! grassroots is a small market and wonderful kitchen filled with healthy, organic, and vegan options in their store as well as a prepared food section. i was so hungry i walked straight up to the line for prepared food which was about 6-7 people deep. while i waited in the line that moved quicker than i anticipated (about 5 min) i glanced around and saw vegan mock meats, vegan desserts, and kombucha galore! waiting in line also gave me the much needed time to decide what to order. they had wraps, tacos, salads, burritos and, (as QG will be happy to hear) BOWLS!\nfor my meal i went with the vegan beef bowl ($9.99) and it was A-MAZING!\nthe food line at grassroots looks like that of a subway sandwich shop. you place your order and watch them put all the ingredients together in front of you while you confirm that they include only ingredients you like.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Kindergarten routines off to great start!\n\u200bSecond day of school went smoothly as students transition very well into the routines of the class. They are learning to line up, cut, glue, and share during exploratory activities.\nKindergarten celebrated their passage into first grade and one of their first academic celebrations. Songs were sung, and parents cheered.\nIf there are any problems with the link or process, let me know. Any pictures uploaded there will be visible to others. I recommend that everyone keep their ClassDojo app as the school will frequently post school wide announcements on it. This class website will always be here to make reference to pictures and resources.\nIt has been an absolute pleasure spending the past year with your students. I will say goodbye for now, but not forever! I will be here next year for all of your children to visit whenever they want to help, say hi, or any other reason. Thank you parents for being the best parents a teacher could ask for!\nKindergarten experienced their first \"Flagpole Awards\" where the whole school recognized achievement.\nStudents over the course of a few weeks witnessed the growth of a caterpillar to a butterfly and wrote their final papers about them. Here, students released the full grown butterflies.\nThe kindergarten carnival was successful in celebrating students' year long learning. Activities included a car wash, face painting, poking the monster's nose, and other things. On behalf of kindergarten staff, we give a tremendous thank you to all volunteers that helped set up, manage the stations, and clean up. This was 100% run by our parent volunteers, and we couldn't have done it without you.\nKinder Hoedown a rootin' tootin' success!\nKindergarteners had a fun time performing for parents and friends today at the annual Kinder Hoedown. We enjoyed seeing children in their western-wear. Enjoy some of the pictures of the event, as well as the year's last Roar Store visit.\nRefer to the document for information about kindergarten end of year events and opportunities to volunteer.\nMonterey zoo and tatum's garden trip a huge success!\nStudents from all of our three kindergarten classes joined together to see zoo animals at the Monterey Zoo and enjoyed some lunch and playtime at Tatum's Garden. Students did not even want the day to end! A special thanks is given to those parents that chaperoned our activities and to those that were willing to do so. With your help, the day was a great success!\nKindergarten is planning and rehearsing a hoedown with farm animal songs and dances. The Hoedown will be Wednesday, April 16 at 10:30AM. Make plans to attend and see this novel performance! Check out some pictures from today.\nToday, our kindergarteners made the long journey on foot through smoldering heat to the Soledad High School farm! Students as part of research for their writing activities got to experience and examine the different types of farm life, including sheep, steer, chicken, goats, ducks, and bunnies. They enjoyed it so much and were actually relatively drained by the end of the trip.\nTake a look at some of the highlights of the event.\nI'm an elementary school teacher that instructs multimodally, through music and experience. Look here for the happenings in our classroom.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Buy Shavel Home Products Brown Wolf Luxury Oversized Throw Blanket from $29.99 at Bed Bath & Beyond. Exceptionally soft, warm, and cozy. Oversized 60\\\" x 80\\\" Brown Wolf Throw Blanket life-like print never fades, is durable, easy care machine wash and dry. Snuggle up for comfort and warmth or use it as a decorative Throw Blanket to enhance the room.Exceptionally soft, warm, and cozy. Oversized 60\" x 80\" Brown Wolf Throw Blanket life-like print never fades, is durable, easy care machine wash and dry. Snuggle up for comfort and warmth or use it as a decorative Throw Blanket to enhance the room.\nUltra-soft with a stylish simplicity, the Madison Park Zuri Square Throw Pillow is the perfect way to give your space a sophisticated update. It reverses to an ultra-soft solid luxe micro fur for two beautiful looks in one.\nWrap yourself in luxury night after night with the Berkshire VelvetLoft Greco Embossed Blanket. The sumptuously soft blanket is made from Berkshire's plush VelvetLoft fabric that's indulgently cozy and sleek with a subtle sheen and glimmer.\nShowcasing handcrafted weaving techniques, the Duke Throw by designer Joanna Gaines for Magnolia Home features a nubby flat weave on one side, a soft brushed effect on the other. A long, silky fringe completes this artful look.\nCreate a light and airy feel in your home with this Designs Direct Easter Collection Springtime Square Throw Pillow. In lively pink and green shades and a floral pattern, this Easter-inspired blanket is perfect for snuggling up or as an accent to d\u00e9cor.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Previously known as the Model 204, the XH-40 was a prototype, utility helicopter developed in 1956 for the US Army. The cabin accomodates six passengers or two plus two stretchers. The aircraft was designated UH-1A upon entering production.\nResources related to the Model XH-40 , provided by the Vertical Flight Society.\nResources related to the Model XH-40 , provided by public sources across the internet.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Walmsley T.G., Lal N.S., Varbanov P.S., Klemes J.J., 2018, Relating Bridge Analysis for Heat Exchanger Network Retrofit Identification to Retrofit Design , Chemical Engineering Transactions, 70, 295-300.\nThe aim of the paper is to improve a recently developed automated HEN retrofit targeting method by linking the shapes of the Exchanger Shifted Composite Curve (ESCC) and Exchanger Grand Composite Curve (EGCC) to the required HEN retrofit design measures. The automated HEN retrofit targeting method is based on Bridge Analysis, which identifies new and existing utility paths for energy saving through the enhancement and\/or addition of heat exchanger area and the installation of new exchangers. To build the required understanding, generic cases are analysed, one of which is presented. Links between the Exchanger Composite Curves with the required HEN retrofit design are established. The analysis concludes that the Heat Surplus-Deficit Cascade for some recovery exchangers may be divided two sections \u2013 Pinched and non-Pinched sections \u2013 to better represent and identify the number and type of modifications that a retrofit opportunity will require.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzadsgz b/data_all_eng_slimpj/shuffled/split2/finalzzzadsgz
new file mode 100644
index 0000000000000000000000000000000000000000..9e23f49fe0cab3ec564d0057223d70d212cecedf
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@@ -0,0 +1,5 @@
+{"text":"CONNEX Spring Bushings, made from chrome-vanadium spring steel, are highly resistant to wear, particularly in high pivot sections. When necessary, they are easily replaced on-site.\nPivot bushings of earth moving equipment are subjected to heavy loads. They must be wear resistant and easily replaced. CONNEX Spring Bushings are the solution, since they are made from wear resistant spring steel. The CONNEX design ensures a good carrying and improved seating capacity in the housing bore.\nCONNEX Spring Pins are suitable for securing the bucket teeth!\nA steel bushing is needed to prevent wear for this mechanical conveyor linkage. The dry running bearing surface needs a high wear resistant steel. CONNEX Spring Bushings, produced from AISI 6150, provide the solution. Since they are replaceable, CONNEX Spring Bushings will extend the life of the chain.\nTo improve the life of cast iron units, CONNEX Spring Bushings are used. When used in combination with hardened bolts, a bearing application is performed without lubrication in an abrasive surrounding. The result is an extended functional life.\nDesigned to be a wear part, CONNEX Spring Bushings can keep costly down time to a minimum with its ease of replacement.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Satisfy the needs of all your guests with this delightful package full of delights. Make them run around and jump up and down with a wide variety of craze-inducing candies like assorted rock candies, gumballs, choco sticks, mini candy canes, and lollies.\nComplete that buffet with an astonishing mini chocolate fountain where you can dip bread sticks and marshmallows.\nThe buffet candy comes in different color themes to match your party's motif. Whether it's for Halloween, Christmas, a birthday, or even a wedding, a candy buffet will surely bring everything to its right beat, and maybe even faster.\nA Candy Buffet is exactly what it sounds like, a buffet of candy choices! It's the perfect way to set off the special occasion with a little something sweet.\nSweet treats for your guests, which can serve as a giveaway favors or simply as additional food to liven and sweeten up the party!\nSugar Art Candy Buffet are using a variety of vases, dishes, plates, jars and tongs to create your own candy buffet. Each of our Candy Buffet is priced according to candy type, number of guests and theme selections. Your Candy Buffet can be customized according to your event colors and themes.\nWe cater candy buffet and bring along our candy cart with full of goodies.\nJump into a Rave of Sugar and Sweets with a 3-4 Hour Themed Dessert and Candy Buffet from Sugar Art.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Bytten Ernie awards are given each Easter and reward independent games that stand out of the crowd or deserve recognition.\nThe category list can vary. Each of our resident reviewers has selected a number of games that they have played, choosing games that excel in a particular area or games with promise that might not win an award elsewhere.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This page questions whether it's really that easy to separate dogma from altruism.\nand in front of me lap the blue-green waters of Playa de los Muertos.\nthe deep beauty of the northern pines.\nWhile the argument I make in Gospel & Universe is against dogma, it also seems to me that there's a danger in rejecting Christian dogma. Can one reject dogma and yet retain the altruism and philanthropy that comes with this dogma?\nNot that altruistic values can only come with Christianity. Sartre's essay Existentialism is a Humanism argues that the roots of morality lie deeper than theology. In its more advanced stages, evolution itself requires degrees of selflessness. Bees and ants will sacrifice their own lives for the good of the group. Fathers will face wild beasts to protect their children. One of the finest incarnations of our ability to transcend our own thoughts and desires is the image of Mary, Mother of Grace. There's also Arjuna, who in the Bhagavad-Gita puts duty before personal and family interest. In Buddhism, there's the venerated figure of the bodhisattva, who sacrifices his spiritual freedom \u2014 returning again and again to this world of suffering \u2014 in order to help those who are trapped in the relentless snare of ambition, lust, self-interest, and ego.\nChristianity doesn't have a monopoly on altruism, yet it's a core teaching. In the gospels, Jesus consistently urges us to look beyond our desires and prejudices. Doing so, we're more likely to get along with others, and to assist and understand those who we might otherwise look down on \u2014 especially those who have been rejected and devalued.\nSaint Francis of Assisi and the Jesuits are famous examples of Christians willing to ignore their own needs in order to help others. Yet there are millions of other compassionate believers.\nFor instance, I went to a Catholic free school in grade twelve, and part of our curriculum included going to an asylum and helping kids with broken minds and bodies. It was one of the most difficult things I've ever done. It brought me face to face with lives that seemed absolutely meaningless: a three year old smashing his head against the floor. God's Divine Plan was mysteriously absent. Except here was a worker feeding the kid with the battered head, and here were students walking the mentally ill around the yard.\nFor instance, my Catholic girlfriend in Geneva went every week to an old folks home, where she talked to people who had no one else to talk to. One week I joined her, wheeling their stiff bodies through the blue sky and green trees of a nearby public garden.\nFor instance, my Protestant sister and her husband spend a great chunk of their savings going to Cambodia and rescuing girls who have been raped and forced into prostitution. I send money every month to Doctors Without Borders, but I don't go to these places, write individual letters of encouragement, or sit around the dinner table worrying about what more I can do.\nThese are some of the devote, and yes, in some ways dogmatic Christians I know personally. All of them are eager to put into practice the golden rule, Do unto others as you would have them do unto you.\nMy list of altruistic Christians is of course a special list. It didn't, for instance, include the 'Christian' camp counsellor who abused me when I was eleven, or any of the other counsellors who exposed themselves to the other boys there. These counsellors talked about openness, a higher love, brotherly love, and all sorts of eroticized dogma, all of which still makes me angry. I can only imagine how the altar boys in Boston felt, or the First Nation students in the infamous residential schools. It would make Saint Francis vomit.\nBut my point remains: there's a deep and priceless vein of altruism in Christianity. This altruism urges service over self-interest, understanding over judgment, peace over violence.\nIs it possible to retain this selfless idealism while rejecting dogma? Can we draw on a communal spirit of cooperation and caring, without thinking that we understand God better than those who have different ideas about theology?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Nigerian Chief of Army Staff, Lt. Gen. Tukur Buratai, disclosed some important points last week concerning the Nigerian Army's investment in agriculture through its Barracks Investment Initiative Programme (BIIP).\nHe was speaking at the Nigerian Army Farms and Ranches, Giri, Abuja, when he played host to the Minister of Agriculture, Audu Ogbeh, who presented farm implements and items to the Army.\nThe Nigerian Army has about 1000 herds of cattle in its ranches across different formations in Nigeria.\nPresently, the Army is investing in livestock, fisheries, poultry and other aspects of agriculture.\nThe Army recently acquired 436,000 hectares of land in Nasarawa State as pilot for its integrated farming project.\nSo why is the Army investing in agriculture?\nThe efforts of the federal government to achieve national security will be impossible if there is no food security. \"It is my desire to extend the frontiers of the Nigerian Army from physical security to include addressing the food security of the nation in line with Mr. President's policy on agriculture. I believe agriculture would greatly reduce the high rate of unemployment among our teeming youths. It would also enhance the welfare and well-being of families of officers and soldiers all over the country,\" Buratai said.\nHe said he got motivated to establish ranches as Army chief due to what he saw years ago while on a course at the Bangladesh National Defence College.\n\"I was in the National Defence College in Bangladesh, in their capital, Dhaka. I went there with my daughter who was about eight years old then. While in the accommodation, every week, the Bangladesh Army Ranch officials would come to knock at our doors to deliver 2-3 litres of milk to my daughter from the army ranch. I was actually taken aback, and I said, if the Bangladesh Army can do this, why can't we do it?\n\"So, I was motivated not knowing that I would one day be appointed Chief of Army Staff. Behold, it was one of the first projects that I directed for its implementation. Actually, it started with the ranches before we went into other areas like poultry, fisheries, vegetable growing and the rest,\" he said.\nRecall that in December 2016, the Chief of Army Staff disclosed his desire to set up ranches. Earlier that year, he sent officers of the Army to Argentina to look at how cattle were reared.\n\"Argentina has a population of 41 million people, but it feeds about 400 million people around the world with its beef. To take it to the next level, we want to adopt a system where the cattle are not just free ranging coming from Sokoto to Port Harcourt, thereby making their meat tough to eat, the products will soon be coming from our own farms and ranches,\" Buratai said at the time.\nIt is truly impressive how far the Army has come since then.\nNigeria is currently grappling with frequent clashes by herdsmen and farmers. These clashes result in heavy casualties on both sides. The global best practice is the establishment of ranches but the Nigerian government is slow to see its implementation, proposing cattle colonies instead, an idea which is being resisted by most governors outside the core North.\nThe Army ranches show the way on how best to raise livestock.\nBuratai disclosed that the ranches have provided job opportunities to the youths in the barracks, wives of army personnel as well as troops serving and retired.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"A quick and fun post today. These are my top 5 favourite comeback singles. I have broadly defined a comeback single as a significant hit for a band or artist that has been away from the limelight for a while, either through a hiatus from music or having fallen off the public's radar. I love these records because they show that good music is good music whoever it is by and if you ignore what the mainstream radio stations and music magazines tell you, you can often come across some wonderful stuff.\nIf you would like to share your top 5 favourite singles why not share the above photograph on your blog, Facebook page or wherever and encourage others to share their favourite records as well. Perhaps when you have done this you can share the link to your post in the comments section below, I'd love to hear from you.\nDebbie Harry has still \"got it\" at almost 70 years of age. And the band Blondie could certainly teach up and coming bands a thing or two if their recent Glastonbury gig is anything to go by.\nThis song reaching number one in the US prompted Lennon to make a brief live comeback during an Elton John concert.\nWhat a voice and what a comeback. This was the Big O's first hit for over 20 years and it was co-written by Jeff Lynne and Tom Petty, his fellow Traveling Wilburys. Orbison's resurgence was sadly cut short by his death in 1988.\nHonourable mentions go to George Harrison's massive hit single Got My Mind Set on You from his 1989 comeback album Cloud 9 and Come Dancing by The Kinks. The Kinks didn't make it on the list because although from the British public's point of view this was a comeback single, for the rest of us Kinks fans they never went away, in fact they had a string of hit albums in the States and Come Dancing was a belated recognition by the UK that the Kinks still existed and as ever were still great. To find out more about The Kinks success in the US you can check out my Delayed Perspective posts covering their albums from this period.\n\u00a9John de Gruyther 2014. All words and pictures on this blog are the copyright of John de Gruyther unless otherwise stated.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"50 & 55 South Essex Avenue is a mixed-use, mixed-income development located on two lots flanking South Essex Avenue adjacent to the main train station in the City of Orange Township. Until January 2013, the sites featured an unoccupied warehouse and coal storage facilities. The lots are now home to 72 high-quality and attractive rental apartments as well as nearly 10,000 square feet of ground floor retail along with parking and bike storage.\nFive of these units are set aside for participants of a Volunteers of America initiative which focuses on youth aging out of foster care, including a full-time onsite services coordinator. A resident superintendent and onsite Property Management staff are also part of the property's support. Additionally, NJ Green Futures and Energy Star program requirements guided selection of appliances and systems to optimize energy efficiency, and instituted maintenance and operations protocol to ensure continued \"green building\" standards.\nThis Orange neighborhood is undergoing a dramatic transformation around the New Jersey Transit Orange train station and Downtown areas, of which this transit-oriented development is an integral part. The renovation includes linking this site between two others, thus establishing a significantly more pedestrian-friendly path while connecting previously disparate areas along a corridor that extends past the freeway and up to Main Street. In addition to train commuters, students also pass the development on a daily basis on their way to and from Orange Middle School and High School. The site improvements \u2013 attractive landscaping, widened sidewalks, and ample street lighting \u2013 aim to increase safety for all those traversing the Transit Village. The emerging street-wall intends to capture the attention of the commuters and students on their way to and from downtown and entice them to reconsider the location as an area in which they would happily spend more time.\nThe first business to take root at 50-55 South Essex Avenue in New Jersey is a preschool.\nL+M Development Completes first NJ Project in Orange.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Last week I discussed causes leading to multiple effects, and how a situation can spiderweb its way out from those. But there's also a converse\u2014that it's possible for one effect to have multiple contributing causes. Who says there has to be only one reason for everything happening?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Put lamb shanks in a crock pot with 2 cups of water and let cook for several hours until lamb falls off the bone. Pull apart meat with a fork and add it, the broth and all other ingredients except the green peas in a large pot. Simmer on medium low until vegetables are tender. Add green peas and cook an additional 5 minutes. Thicken the broth with a mixture of 2 tbsp. of cornstarch and 1\/4 c. water.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Sloths are mammals characterized by moving only when necessary. Even when they move, they move slowly. They generally live their life hanging about in trees. They eat, sleep (an average 10 hrs\/day) and birth their children simply \"hanging around.\" They also only go to the ground to urinate or defecate about once a week. (Wikipedia.org).\nRecent popularity of the sloth can be credited to Dash from the movie Zootopia. His slow delivery of jokes makes him even funnier. You already know that I only watch animated movies because\u2026you know\u2026the small kids and all. Watch Dash trailer here, he is actually funny.\nSo what do we have to learn from sloths? How is it that learning to do more of seemingly \"nothing\" or just \"hanging around\" be healthy?\nIt is a process of collecting information in order to formulate a plan of care to help the patient recover.\nWhy is FOOD any different?\n\u200bWe put it into our bodies and it affects the way we function. We know that post-surgical patients won't heal as well if they smoke. Why wouldn't we ask whether they eat processed foods that contain chemicals and lack nutrients that can equally inflame our systems and delay the rate of healing?\n\u200bI have been brewing on this blog for quite some time. Most of those who are already \"in the know\" about Paleo will find this a bit boring\u2026nothing new to them. Those who dig their heels in about Paleo may never read this. Maybe it will strike a chord with someone but they aren't going to hit \"Like\" or \"Share.\" It's hard to predict.\nI wrote one of my most favorite blogs as a guest blog for Robb Wolf (one of the Paleo leaders and someone who continues to inspire and support me with his graciousness), but that blog fell flat to his audience. Maybe it wasn't technical enough. Maybe it was too simple. It felt good to write that blog. It was one of my personal favorites. I appreciated Robb Wolf sharing it on his website.\nThen again, another blog I wrote as a guest on Dr. Kristin Prentiss Ott, MD site about tips to recovery after injury or surgery was not as inspiring to write for me, but apparently much more well received on her site. Funny. I don't totally understand it all, the world of blogging and Internet and likes and sharing\u2026but apparently I can't stop.\nI can't stop because health is AWESOME. It is always a work in progress, but I never knew I felt bad until I felt good. Although there are many components that help to support health, it wasn't until I changed how I ate that it finally all came together.\n\u200bAs most of you know, I have been working on simple principles to live by so that living life doesn't derail you from having health. As we get into the holiday season, many people can be driven by emotions, I know I am. When I first started my journey with food, I found that emotional eating was a difficult beast to manage. I ate excessively because I was stressed by large gatherings or conflict with family or long distant travel or kids acting ungrateful about presents or fear of hurting someone's feelings\u2026the list goes on.\nOver time, however, it has gotten easier as I have developed habits that gracefully help me stay on track so the normal stress of holiday doesn't send me into emotional eating.\n\u200bWhen you think about stress, what do you think? Do you think, \"I have too much of it and it is causing me to be sick and tired?\" Or do you think, \"Stress is the ability to adapt to change and I acknowledge it when I see it?\" Which is the right answer? The answer is that both are true, if that is what you believe.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Apartment Lease Transfer Agreement Template apartment lease transfer agreement template acknowledgment of notification of lease transfer template word template. apartment lease transfer agreement template apartment lease transfer agreement template and home rental download. apartment lease transfer agreement template residential property lease or contract agreement sample at daarson template. apartment lease transfer agreement template assignment of lease lessee with consent of lessor template word printable.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Are there tags I try to be careful about what I read.\nI use tags on my site for pairings, but there are warnings on my CM stories in the header just like there are on every other story on my site. If warnings being in a tag cloud are necessary for you to determine if a story is suitable, I suggest some other site.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"I'm a user of Vypervpn Premium.\nI used to be able to watch direct stream on the french public tv on france.tv when connected to a french vpn, it seems this is not working any more. I am told my region is not allowed for watching france.tv despite being connected with Chameleons.\nWe apologize for the trouble there streaming French public tv while connected with the VyprVPN server in France.\nVyprVPN can be a very useful tool in accessing websites and apps that are geo-blocked to a certain country or region. However, on occasion some services may state that you are out of the service area even if you connect to a VPN server in the correct country. There are different reasons for these errors. Please try the troubleshooting steps here to resume streaming content.\nPlease note that we cannot guarantee geo-restricted services will work. There can be some factors in play on the provider's end that may prevent access to their service while on a VPN.\nIf the service still states you are not in the service area after performing the above steps, you will need to contact the service provider for further assistance.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"View and search this newspaper by clicking on the Chronicling America link below. This newspaper comes from the collections of the Kansas Historical Society and was digitized with funds from the National Endowment for the Humanities as part of the National Digital Newspaper Program. On January 17, 1894, the Advocate and Topeka Tribune resumed its original title of the Advocate. Dr. Stephen McLallin continued to edit the Advocate until about a year before he died on March 4, 1897. By then, the paper was under the direction of William Alfred Peffer, the first Populist U.S. Senator. Peffer had been chairman of the national conference that organized the People's Party and served as president of the National Reform Press Association. He was an important reformer to the extent that Populism was sometimes referred to as \"Pefferism.\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Mix.DJ is an online streaming network powered by Juno Records \u2013 the world's largest dance music store. Based in London, UK, we have been online since March 1996, and since then we have built a reputation as the most comprehensive source for new and back catalogue dance music. We now have more than one million tracks available, and offer over 1500 new releases each week. Many hard-working EDM producers \u2013 including every EDM artist using TuneDome records to release his\/her music \u2013 will benefit from channeling their fresh tracks through the Juno Records network, including MIX.DJ international hub.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Amazon Price: $219.00 $135.00 You save: $84.00 (38%). (as of April 25, 2019 9:54 pm \u2013 Details). Product prices and availability are accurate as of the date\/time indicated and are subject to change. Any price and availability information displayed on the Amazon site at the time of purchase will apply to the purchase of this product.\nBuilding on the success of the venerable Suunto Vector, the Suunto Core keeps you informed of conditions while you hike, bike, or camp, making it a terrific companion for outdoor enthusiasts of all stripes. What can the Suunto Core do for you? For starters, it can sense an approaching squall even when the sky looks clear. This intelligent Storm Alarm\u2013one of several intelligent features designed to keep you safe and secure\u2013is activated by a rapid drop in air pressure over a three-hour period. Once the Core senses the change, the Storm Alarm sounds and flashes, letting you know that something unpleasant is fast approaching. The built-in altimeter, meanwhile, displays your current elevation, shows how much you've climbed or descended, and records your entire session for later analysis. Accurate to within 30,000 feet, the altimeter is an extremely valuable tool for mountaineering, backcountry skiing, and wilderness travel. Add in such additional features as a barometer, a digital thermometer, a weather trend indicator, and a digital compass and you have a terrific wrist-top computer for almost all your outdoor needs.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"SVR Travels was started in Andhra Pradesh with 2 buses. Today, with a fleet of over 150 buses including Multi-axle Volvo and Sleeper and Semi-Sleeper buses in both A\/c and Non A\/c Category, it operates in all the major routes in at least 4 states including Andhra Pradesh, Tamil Nadu, Maharashtra and Karnataka. SVR Travels has very good reputation with its punctuality, staff behavior and bus interiors hygiene. Some of the Important routes of SVR Travels include Bangalore-Hyderabad, Hyderabad-Shirdi, Bangalore-Vijayawada, Shirdi-Hyderabad, Hyderabad-Chennai etc. Apart from the passenger bus services, SVR Travels has also Cargo division which serves all over South India.\nSVR Travels Online Bus Ticket Booking can be done on AbhiBus.com using online payment (Credit Cards, Debit Cards or Net banking). Customers can carry the Mobile Ticket(SMS confirmation) that they receive from AbhiBus.com after the booking. Customers can call AbhiBus.com's 24\/7 Customer Support for any queries that they have. All transactions on AbhiBus.com are safe and secure (encrypted using VeriSign SSL Security).","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Some can be seen from your bedroom at Number 10.\nWaking early and getting out of bed to make his good lady wife a cuppa, a guest could not resist taking this view of the mountains from their bedroom window.\nTwo gorges which are certainly worth a visit and can be walked in succession as Phil and Liz did.\nThe Gorges de Kakuetta route stays at river level, more or less, so is the easier of the two and so almost anyone could enjoy it, although it can be a little tricky underfoot in places.\nTowards the end of the walk, a cascade of water from a subterranean stream falls from the rock face and is a simply wonderful sight.\nA little further on is a grotto which you find by crossing a bridge over the main stream and enter up some steps.\nThe view from inside the grotto is delightful and a beautiful place worth far more than the modest 5 euros entrance fee.\nThe Gorge d'Holzarte walk is a small section of the GR10 route which runs through the mountains from Atlantic to Mediterranean and for that reason there is no charge.\nIt is a walk that can be made by averagely fit people of any age although the going can be somewhat more challenging and takes about 50 mins each way.\nAs you approach the incredible bridge that crosses it you begin to fully appreciate the depth of the gorge and the span of the bridge.\nWhile a good head for heights is called for if you want to look over the edge to the river far below!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Thirteen months after the belated implosion of the Queen Lane Apartment tower, the Philadelphia Housing Authority says that residents of the 55 replacement units will be able to celebrate the holidays in their new rental homes, as the $22 million project has its ribbon cutting ceremony scheduled for December 9. Charges of bureaucratic chicanery and disrespect for the remains of enslaved ancestors aside, NewsWorks reports that the Germantown community can at least agree that an overall improvement has been made here.\nJim Kenney, recognizing the political dilemma of taking a clear side on the debate as to resuscitate Philadelphia's cred as a regional \"energy hub,\" continues to rest easily on the policy fence, reveals The Inquirer's Andrew Maykuth in an interview with the mayoral nominee. \"My point of view at this moment is to have no firm conclusion either way as to what's going to happen,\" Kenney dithers.\nTwo City Council members have are currently sponsoring legislation that would allow for denser development standards. Mark Squilla will introduce a bill\u201416-months in the making\u2014to greatly expand residential density in Greater Center City, says CBS Philly, from Bainbridge to Spring Garden, river to river. And at-Large Councilwoman Blondell Reynolds Brown is seeking relief of density limits for developers willing to invest in green roofing for their projects.\nThe Inquirer previews next summer's Democratic National Convention (July 25-28), assuring readers that although the Secret Service considers the event's security risk to be on par with last month's papal visit, the relative isolation of the Sports Complex and smaller crowd (35,000 to 50,000 are expected) excludes the need for a substantial traffic box and overly-prudent approach to security.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In today's high-stress world, many people hardly have the time to sit down, much less think. Bombarded by financial worries, parenting strife, constant phone notifications, demanding bosses, and a high-wire political scene, we're all under pressure in some way, shape, or form.\nSo, what's the secret to staying sane in a world ready to run you ragged? Mastering how to stay calm under pressure is the key to navigating all the various stresses that life can throw at you. Follow these steps to help reduce stress and stay calm under the chronically pressured environment of today's world.\n\"Any kind of demand\" might seem a bit seems vague, but what this means for you is that any demand can produce a stress reaction from your body. This stress can take a multitude of different forms. However, there are two main kinds of stress: physical\/external or psychological\/emotional stress.\nPhysical\/external stress has more to do with your environment. This includes things like a stressful job or an illness. Since the source of this stress is material, this it is often easier to identify than emotional\/psychological stress. The downside is that this stress is generally harder to address since the stress-causing situation isn't necessarily something you have immediate control over. For example, you cannot control when your car breaks down or when your child catches the flu. You may not be able to change your stressful job.\nEmotional\/psychological stress is mostly internal and is about feeling negative emotions, such as anger, unhappiness, anxiety. Emotional\/psychological stress can often be caused, exacerbated or triggered by physical\/external stresses. Mental illnesses such as depression or bipolar disorder can also affect your emotional\/psychological stress.\nA doctor cannot make a prescription without an accurate diagnosis. In the same vein, it's difficult to know what you can do to reduce stress until you know exactly what you're stressed out about.\nIn some cases, you may know exactly what is causing your stress, but with all the racing thoughts and anxieties about multiple situations and people we are dealing with on a daily basis, it can be difficult to pin down the exact cause at times.\nIf you need to, sit down for a few minutes and jot down a list. Shut off your phone and laptop \u2013 these are full of distractions and are not conducive to getting to the bottom of your stress. Instead, pull out a pen and a notebook. This will force you to only consider what you're working on. On this list, write down everything that you think you are worried or stressed about without thinking about too much. Without worrying about whether any of the items are 'legitimate' or not, write the first things that come to mind. Your list may have small, seemingly unimportant things such as \"I hate how my boyfriend forgets to text me when he's on his way home\" alongside concerns about paying down debt.\nThen, once you have a substantial list, review it. If you think of new stressors as you review your list, write them down. Then, next to each one, label what type of stress you think it is. Is it psychological or physical? Is it harmful stress, or does it drive you? It may not always be easy to identify the stressor; many of your list items may be multiple parts of one overarching stressor. But the key is taking time to consider your stressors objectively and start to understand how each is affecting your life.\nAfter you've identified each stressor, try to rank your stressors in order from what's the most stressful to the least. You will want to write your ranked list on a new sheet of paper. Sit back and look it all over once you have done this. You will soon see that your stress is no longer abstract.\nNo matter how isolated you might feel the stress going on in your life, you're likely not alone. An interesting 2014 survey conducted by NPR found that the biggest sources of stress were health, death of a loved one, financial worries, and work trouble. Knowing that you are not alone is a great way to put your stress into perspective and realize that if it's something others can and do deal with successfully, then you can as well.\nThe amount of stress you may be dealing with right now may feel overwhelming, but there are always some things, big or small, that you can do to immediately put a stressful situation on ice or reduce its impact on you. For example, let's say that you're stressed about a financial payment or concern, you can start to brainstorming how to manage this stressor. This could be seeing a financial advisor, or taking stock of your financial data yourself. Oftentimes, facing a problem you've been avoiding is the first step to making it feel more manageable.\nStart a new list listing potential solutions to your problems. Not everything you're going to write down will be feasible or possible but what's important is that you're thinking about it. Feel free to think outside the box too. Not all problems have obvious solutions.\nOnce you do that, make an action plan. Take the ideas that seem the most feasible or appealing and work on trying them out. Working towards a constructed plan goes a long way to reducing stress and pressure from your mind.\nEven if you don't have a lot of time on your hands, you probably have a few minutes to spare to breath, meditate and relax. This relaxation can take the form of mindfulness mediation, or it can be creating and executing plans to go out with friends and have some fun. Even just taking an extra few minutes in the morning to enjoy your coffee can be enough to relieve pressure and help make your stressful situation bearable.\nThe goal is to get your mind off the situation causing you to feel under pressure. Meditation is the most effective way to do this, but other options work.\nYou may be feeling under pressure because you do not have enough time to get things done or having too many things to do. Learn the power of the word \"no.\" It's only two letters, but for many people, it can be scary. Many people are terrified they'll let others down by turning them down. You are only one person with a limited 24 hours in the day. You have your own tasks to complete plus you need to time for self-care and recharging.\n1. Do I truly want to do this?\n2. What do I gain out of doing this task or attending this function?\n3. What has this person done for me lately?\n4. What else will I do with my time if I don't do this?\nIt's not easy saying no, but if you are feeling excess pressure, chances are that you are not saying no enough. Doing too many things in the long term is neither healthy nor feasible. It's better to manage both your own and others' expectations to achieve a more realistic level of long-term productivity.\nDon't keep things bottled up. You can manage stress by having someone to talk to about what's going on. This can be a trusted friend, your mom, a preacher, or your partner. It just needs to be someone you trust to be respectful and confidential. You want to make sure you have a judgment-free space to vent and someone who can offer advice or help you work through things.\nIf you are looking for someone who can help you with some heavy-duty stressors, it might be time to find a professional: a therapist, a psychologist, or a counselor. The added benefit of these people is that they can help teach you coping techniques to manage all the stress in your life.\nYou can prevent feeling under pressure in the first place if you effectively manage your stress throughout your day before you feel overwhelmed. This can be effectively done with Spire, which tracks your breathing activity and sends you a warning when your body is falling into a state of stress. Spire lets you know when things are getting higher stress so that you can pause, breath and get stress under control before it takes over your emotional health.\nStaying calm under pressure isn't always easy but it's possible. By identifying what's stressing you out, having a plan to fix your problems, taking some me time, learning how to say, no and finding someone to talk to, you'll be on your way to reducing stress and managing pressure.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzagypu b/data_all_eng_slimpj/shuffled/split2/finalzzzagypu
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+{"text":"Capsicum is derived from red hot peppers; it is what gives them a spicy taste. The household cooking spice paprika is made from the capsicum plant. These plants were revered by Native Americans for their medicinal properties. Capsicum has plenty of different uses as an herbal supplement.\nCapsicum can stimulate your metabolism by activating the part of your nervous system that controls the oxidation of body fat. With exercise, some studies have shown increase in fat breakdown by 42%. Capsicum also is known to have antioxidant qualities, decrease appetite, and improve blood circulation.\nCapsicum has other health benefits as well. Taking capsicum supplements can help internally with throat irritation, infection, and stomach ailments. Taken daily this capsicum capsule can protect against the hardening of the arteries and heart disease. This supplement also aids in digestion and soothes aches caused by arthritis.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Posted in: 2 Shout-out-Looks.\tTagged: Aiza Seguerra, HEA Watches, Julie Anne San Jose, Karylle, Rein Villareal, Spongecola, The Voice Kids, UniSilver Time.\nLast night, all roads led to One Esplanade for the two-in-one important event of UniSilver Time which kicked off with the launch (and contract signing) of the prime celebrity endorser of its HEA line of watches \u2013 singer and Film\/TV performer Aiza Seguerra \u2013 who was visibly pleased with his selection considering the unique niche he holds in the local entertainment industry. And the top brass of UniSilver Time \u2013 led by President Alberto Que and VP William Ong Co \u2013 couldn't ageee more.\nExpect this latest development to heighten the watch company's reach, especially now that they have also started tapping into the LGBT market following Aiza's selection as image model.\nFollowing the contract signing, a night of merry-making followed with the UniSilver Time Thanksgiving Party and Masquerade Ball where all of its employees and partners were treated to performances from its other celebrity endorsers like Karylle, Julie Anne San Jose, The Voice Kids, Spongecola and other Film\/TV personalities including Mister UniSilver Time 2015 himself Rein Villareal.\nWho will win GMA-7's Protege' tonight?\nPosted in: 5 TV Tales.\tTagged: Aiza Seguerra, GMA-7, Janno Gibbs, Jaya, Krizza Neri, Lirah Bermudez, Lovely Embuscado, Protege'.\nKrizza Neri all the way!\nIn any eventuality, I can accept a victory by Lovely Embuscado, but in my heart, I will only root for Krizza Neri!\nWatch the final battle tonight on GMA-7!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Various responses of forest ecosystems to climate change underscore the need to improve our understanding of the environmentally-driven changes in forests, most effectively by long-term monitoring protocols. We have explored vegetation dynamics based on changes in community structure, species composition, diversity and demographics in four Korean National Long Term Ecological Research (KNLTER) sites--Mt. Nam, Mt. Jeombong, Mt. Worak, and Mt. Jiri--between 2004 and 2009. Most of the sites and forests studied exhibited increments in total basal area, but this was not observed in Quercus mongolica forests in Mt. Nam and Mt. Worak. Stem density exhibited various changes. Altitude gradient was the representative factor in differences in species composition. Two patterns of compositional change--convergence and divergence--were detected. The vegetation of Mt. Nam and Q. mongolica community of Mt. Work showed relatively larger changes in composition. However, in the other sites, few changes were observed. Changes of species richness were not notable except for Mt. Nam, where three species were added in the pine forest, whereas one species disappeared in the oak forest. In the oak forests, mortality rate was as follows (in descending order): Mt. Nam(25.5%), Mt. Jeombong (24.3%), Mt. Worak (16.4%) and Mt. Jiri (0.8%). In the pine forest, the recruitment rate was as follows(in descending order): Mt. Nam (63.7%), Mt. Worak (12.9%), Mt. Jeombong (7.6%) and Mt. Jiri (7.3%). The mortality rate and change rate of basal area were strongly negatively correlated ( r = -0.9, P = 0.002), and the recruitment rate and change rate of density were positively correlated ( r = 0.77, P = 0.026). In the KNLTER sites, larger vegetation changes were attributed to anthropogenic activities such as salvage logging. Suppression or competition for resources would also affect these changes. Research suggestions such as monitoring to clarify the causes of species mortality were discussed.\nAs gradual phenomena progressed in large spatial scale, the spans of research into climate and its changes can include the climatology, geography, and evolutionary biology. Ongoing climate change is regarded as a driving factor for ecosystem changes in the 21 st century(Intergovernmental Panel on Climate Change 2001). Effects on the dynamics of biotic communities have been frequently associated with extreme weather events on ecological time scales (Easterling et al. 2000), and with climatic extremes at evolutionary time scales (Gutschick and VassiriRad 2003). Since the middle of the 20 th century, average global forest net primary production has apparently increased, largely because of various combinations of increasing temperature, precipitation, cloudless days, atmospheric CO 2 , and nutrient deposition (Boisvenue and Running 2006). Regional exceptions also exist, because compensatory increases of precipitation have not been homogeneous (Jump et al. 2006). Such observations underscore the necessity for long-term monitoring programs to improve our understanding of environmentally-driven changes in ecosystems.\nForest (or community) development, maturity, and monograph are complex processes which occur in spans of decades to hundreds of years. Even ecologists have yet to clarify the precise processes and patterns relevant to the establishment and development of forests. In temperate regions, the vegetation responses to gradual climate change and extreme weather events have been observed in mature and old growth forests (e.g., van Mantgem and Stephenson 2007, van Mantgem et al. 2009). In young forests, during the maturational process, the majority of changes in structure, composition, and demographics are attributed not so profoundly to exogenous processes such as climate change and pathogen, but rather largely to endogenous processes such as competition and disturbance exclusion (e.g., fire).\nGeographical locations and physical descriptions of KNLTER sitesKNLTER, Korean National Long Term Ecological Research; N, north; E, east; S, south; W, west.\nGeographical locations and physical descriptions of KNLTER sites\tKNLTER, Korean National Long Term Ecological Research; N, north; E, east; S, south; W, west.\nplots and meteorological stations can be employed not only to evaluate climate-related responses, but also to clarify the processes and patterns inherent to community development. Based on such long term observations and acquired information, sustainable and adaptive natural resource management can be achieved.\nWe analyzed changes in community structure (breast height area and stem density), composition, diversity (richness), and demographics (mortality and recruitment rates) in four Korea National Long Term Ecological Research (KNLTER) sites: Mt. Nam (Mt. N), Mt. Jeombong (Mt. Je), Mt. Worak (Mt. W), and Mt. Jiri (Mt. Ji). Herein, we have focused on the changes in vegetation attributes, because meteorological sensors are not installed at all LTER sites. We concluded by discussing emerging research challenges (feedbacks) for KNLTER.\nFour KNLTER sites-Mt. N, Mt. Je, Mt. W, and Mt. Ji-were analyzed in this study. The geographical location and physical environments of each site are shown in Table 1 . Four mountains and three forest types ( Quercus mongolica, Pinus densiflora , and regional representative forests such as A bies koreana , A. holoplylla , Q. variabilis , and Robinia pseudoacacia forests in Mt. Ji, Mt. Je, Mt. W and Mt. N, respectively) were selected for monitoring purposes. In 2004, we installed three permanent plots of 400 m 2 (20 \u00d7 20 m) for each vegetation type; thus, total 36 plots were established. Vegetation sampling was conducted based on KNLTER field protocols (unpublished). All woody species with diameters in excess of 2.5 cm appearing in the plots were tagged (by aluminum label) with numbers, and diameters for breast height were measured. Plots installed in 2004 were re-measured in 2009. We showed only the results of common forests (Q. mongolica and P. densiflora communities) in this paper because of the efficiency in generalization of results.\nWe analyzed the changes in community structure (basal area and stem density), species composition (by detrended correspondence analysis [DCA]), richness, and mortality and recruitment rates. For ordination analysis, the matrix of importance values for each species was established by the sum of relative basal area (BA) and density, and fed to the DCA ordination using PC-ORD ver. 4.0 (McCune and Mefford 1999). Mortality rate (for 5 years) was calculated by dividing the number of dead trees for 5 years by the number of living trees in the previous measurement. The recruitment rates (for 5 years) were obtained by determining the ratio of the number of trees added at the current measurement to the number of living trees in the previous measurement. Notably, our results were not expressed on an annual basis demograph. Finally, we conducted regression analyses between mortality and recruitment rate and between the rate of change in basal area and stem density. SPSS ver. 15.0 (SPSS Inc., Chicago, IL, USA) was applied for analyses.\nments in total BA, but Q. mongolica in Mt. N (from 23.2 m 2 \/ha to 23.2 m 2 \/ha) and Mt. W (from 34.2 m 2 \/ha to 34.6 m 2 \/ha) evidenced only minimal changes ( Table 2 ). The largest growth in BA was in the oak (11.7%) and pine (10.4%) forests of Mt. Ji.\nChanges in stem density showed severe variation ( Table 2 ). Abrupt changes in density occurred in the pine forest of Mt. N, evidencing the largest increase (33.3% as from 848 stems\/ha to 1,270 stems\/ha), and the oak forest exhibited the largest decrease (-31.8% as from 1,237 stems\/ha to 938 stems\/ha). Increases of density were in the pine (9.6%) forest of Mt. W and in the oak (4.9%) and pine (7.3%) forests of Mt. Ji. Stem density was reduced in the oak (-17.6%) stand of Mt. W and in the oak (-23.2%) and pine (-1.3%) forests of Mt. Je.\nCompositional change in woody vegetation in the KNLTER sites was analyzed by applying DCA ordination method ( Fig. 1 ). Altitude gradient was the representative factor for the differences in species composition, as sites in higher areas occupy the left side and those in lower areas were distributed on the right side, forest types (deciduous broadleaved and evergreen coniferous forests) also affected the results; the oak stands were clearly divided from the pines in the left and right sides, respectively.\nThe change in the vegetation composition of each forest type in KNLTER sites assessed via DCA ordination. The beginning of the arrows in diagram indicate the 2004 data. KNLTER Korean National Long Term Ecological Research; DCA detrended correspondence analysis; N Mt. Nam; Ju Mt. Jeombong; W Mt. Worak; Ji Mt. Jiri; P. densiflora Pinus densiflora; Q. mongolica Quercus mongolica.\nthe samples of oak and pine forests moved to the central part of the AXIS \u2160. The change in P. densiflora stands in Mt. N revealed a different direction from those observed at other sites. The vegetation of the Mt. N and Q. mongolica stands in Mt. W showed larger changes in species composition, as indicated by the arrow length in Fig. 1 .\nThe changes in woody species richness for 5 years between 2004 and 2009 are shown in Table 3 . In the P. densiflora forests of Mt. N and Mt. Ji, three and one species (e.g., Q. mongolica and A cer spp.) were added, respectively and one species disappeared in the Q. mongolica stands of Mt. N and Mt. W. Other KNLTER sites revealed no changes in species richness.\nWe calculated 5-year mortality and recruitment rates at the KNLTER sites ( Table 4 ). With the exception of Mt.\nJi, the Q. mongolica stands exhibited higher mortality rates than were observed in the P. densiflora stands, and the opposite was true for recruitment rate. In oak forests, mortalities were as follows (in descending order): Mt. N (25.5%), Mt. Je (24.3%), Mt. W (16.4%) and Mt. Ji (0.8%). In the pine forest, recruitment rates were as follows (in descending order): Mt. N (63.7%), Mt. W (12.9%), Mt. Je (7.6%), and Mt. Ji (7.3%).\nOverall correlation analyses between community demographs and rates of change in DBA and stem density were shown in Fig. 2 . Mortality rate and rate of DBA change were strongly negatively correlated ( r = -0.9, P = 0.002), and the recruitment rate and change rate of density were positively correlated ( r = 0.77, P = 0.026).\nClimate change, which includes gradual pattern and extreme events, can affect the attributes (dynamics, composition, structure, productivity, diversity, etc.) of the biological community in various and complex ways. Ecosystem responses to climate change, which are the target of the KNLTER program, can be interpreted only by long-term observations with comprehensively and precisely designed systems. We presented only the results of the first re-measurement (5-year interval) on woody vegetation. Thus, our focus in discussion is on short-term findings and research feedbacks rather than the vegetation responses to climate change and regional weather.\nRelationship between mortality and recruitment rate and change rates of basal area and density.\nforartificial disturbances (but see Lim et al. 2004). This also means a lack of background (or baseline) levels of variation in the structural attributes required to explain our results. Additionally, annual variations in BA and stem density depending on site condition may be involved in our results. In the Q. mongolica forest of Mt. N, salvage logging on damaged individuals by oak wilt disease had detectable effects on structural change.\nCompositional convergence and divergence were illustrated in our ordination analysis. According to the results of DCA ordination, the direction of compositional changes in all the P. densiflora stands was toward the Q. mongolica sites ( Fig. 1 ). All pine forests in the KNLTER sites have little number of its own seedlings. The increase in importance of deciduous broadleaved tree species, such as Quercus , Styrax, and Fraxinus spp. is likely responsible for this result. In Korea, the succession of the Korean red pine stand to broadleaved stands (oak forest) is commonly accepted but no empirical studies or evidence were not available so far. Through the KNLTER project, the seral trajectory of P. densiflora forest established in various environmental conditions can be clarified. In addition, species with strong habitat affinity (forest type) are also to be identified. Some differences in the compositional changes of pine forests in Mt. N are due to a large increment of Styrax japonicus and Prunus serrulata var. pubescens in the understory (Lee et al. 2006). These increases may be attributed to forest thinning and subsequent regeneration. Such forest operation also affects the magnitude of vegetation change, as was shown by the arrow length in Fig. 1 and the recruitment rate (63.7%) ( Table 4 ).\nQ. mongolica sites revealed different directions of movement depending on site ( Fig. 1 ). Differences with regard to changes in the importance value of Q. mongolica are likely attributable to this pattern, as the values were reduced in Mt. Ji (from 41.2 to 39.9) and Mt. Je (from 27.7 to 27.6) and increased in the Mt. N (from 35.8 to 38.1) and Mt. W (from 39.5 to 42.0) sites. Changes in the importance values of other species were stochastic in nature. Relatively large vegetational changes (see arrow in Fig. 1 ) occur as the result of vigorous understory growth, such as was seen with Lindera obtusiloba in oak forests in the Mt. W site. Savage logging in oak forests in Mt. N induced strong effects on compositional changes.\nMortality and recruitment rate at the community level are not available in the inland regions of Korea. In our results, negative correlations were detected between mortality and rates of BA and stem density changes ( Fig. 2 ). The absence of reference demographic data at the community level makes us difficult to understand and interpret. The one year-based mortality rate of a P. parviflora forest located on Ulleung Island was 2.1%\/y (Lim et al. 2004) and our 5-year results were higher in the oak forests (except for Mt. Ji) and lower in the P. densiflora forests (except for Mt. N) than mortality overall on Ulleung Island. The mortality of old growth was usually approximately 1% (Forrester and Runkle 2000). Community demographics and their consequences may vary depending on the landscape context, geographic location, forest age, spatial scale, and cause of death and supplement. Mortality and recruitment increases in regard to climate change were also noted in other regions (van Mantgem and Stephenson 2007, van Mantgem et al. 2009). Although community demographics, such as mortality, are often overlooked and rarely studied in Korea, they play pivotal roles in forest succession and development, as they facilitate turnover in species composition (Shugart et al. 1981, Runkle 2000) and affect changes in structure (Christensen and Peet 1981, Franklin and Hemstrom 1981, Hibbs 1983), and alter nutrient cycling and biomass accumulation rates (Marks and Bormann 1972, Marks 1974, Peet 1981, Bormann et al. 1995). KNLTER is in initial stage, and more data will need to be accumulated to interpret vegetation changes in response to exogenous processes, including climate change and weather events.\nIn our research design, four dead classes (standing, broken, leaning and fallen dead) are established for individual trees. These classes are just mortality patterns and thereby cannot be used to determine causes of death, such as competition (endogenous process) or natural disturbances (exogenous process). Causes of death of tree species vary among species with different life histories or canopy architectures (Acker et al. 1996, 2003, Canham et al. 2001), and, can change in importance, especially during succession (Bible 2001, Canham et al. 2001).Thus, according to the established protocols of this study, parameters for cause of death such as suppression, pathogens, and insect-induced death and physical processes (strong wind, landslide and snow loading) should be added and quantified.\nKNLTER is currently constructing background variations in the forest ecosystem. Such research activities will constitute a fundamental tool for the interpretation and modeling of ecosystem responses to climate change; in this regard, dividing of responses to succession and climate change is particularly relevant. A static monitoring period of at least 10 years is recommended for the accumulation of ground data, because even in old growth sites, approximately 5-10 years are required for the accumulation of base data (e.g., Forrester and Runkle 2000). Without data regarding background dynamics, the effects of gradual increases in weather events (e.g., effect of Typhoon Kompasu on metropolitan area), such as heavy rainfall and drought on ecosystems, cannot be explained.\nBible KJ 2001 Long-term patterns of Douglas-fir and western hemlock mortality in the western Cascade Mountains of Washington and Oregon University of Washington Seattle WA USA.\nMcCune B , Mefford MJ 1999 PC-ORD. Version 4.0. Multivariate Analysis of Ecological Data MjM Software Design Gleneden Beach OR.\n YC Cho , CS Lee , HJ Cho , KS Lee , and PS Park , \"Vegetation change and emerging research feedback for Korean National Long Term Ecological Research (KNLTER)\", Journal of Ecology and Environment, vol. 1, no. 1, Mar 2011.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Having a car accident is quite stressful because a person needs to deal with the automobile insurance companies and how to get the claim that you should be getting especially for a luxury car like a Mustang or a Bugatti or even, a Rolls. The last thing that an individual needs is getting the runaround from the auto body repair shop that is tasked with the job of repairing the car. Like with any business, Luxury Cars Painting Las Vegas centers follow the same routine. So, it would be better if an individual does complete research before choosing any kind of car repair center so that it is ensured that the car is repaired properly, correctly and on time without giving the individual any kind of headache.\nWhen a car is involved in an accident, it is quite likely that the repairs will cost perhaps a huge amount of money. So, it is always recommended that an individual chooses an auto repair shop that has got the best reviews and comes highly recommended by a lot of people. If the luxury car is insured and the insurance terms cover most of the repair costs, then an individual may be inclined to go the center of authorized Luxury Cars Repair Las Vegas facility which is situated close to the individual.\nFor more reference, ask the manager of the repairs facility about past customers and contact them.\nFor the best luxury car repairs facility, you could always visit Romasautocollision.com Center. They deal with all kind of luxury car repairs and do a proper job of it. They can be contacted at (702) 868-7754. Their office is at 2814 Marco Street, Las Vegas, Nevada \u2013 89115.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Welcome to the Fortune Road Church of Christ!\nWhether you live in the Kissimmee area, or are planning to visit Disney World and other Orlando area attractions, we would love to have you worship with us!\nWith this invitation, let us give you an idea of who we are and what to expect when you visit.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzaizyv b/data_all_eng_slimpj/shuffled/split2/finalzzzaizyv
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+{"text":"If swine-flu virus (H1N1) was not enough to give the city residents sleepless nights and keeping doctors on attacking mode, there's another highly contagious virus which is becoming a grave health concern now.\nPink eye or viral conjunctivitis is highly contagious eye infection that is rampant in the current high humidity.\nThough its causing agents, the adenoviruses, is alive all through the year, the dampness helps it to proliferate.\nWHAT IS VIRAL CONJUNCTIVITIS\/PINK EYE?\nIt is an inflammation of the conjunctiva. The conjunctiva is the thin clear tissue that lies over the white part of the eye and lines the inside of the eyelid.\nThe virus responsible for it is airborne which spreads through sneezing and coughing. Viral conjunctivitis also can accompany common viral upper respiratory infections such as measles, the flu or the common cold.\nViral conjunctivitis usually produces a watery discharge. Typically the infection starts in one eye and quickly spreads to the other eye.\nUnlike with bacterial infections, antibiotics will not work against viruses. No eye drops or ointments are effective against the common viruses that cause viral conjunctivitis. But viral conjunctivitis is self-limited, which means it will go away by itself after a short time.\nTypically with viral conjunctivitis, the third through the fifth days are the worst. After that, eyes begin to improve on their own.\nNever (EVER) share your color contact lenses or special effect contacts with friends.\nRegular hand wash and maintaining personal hygiene. Keep a hand disinfectant (e.g., Purell) handy and use it frequently.\nIf you wear contact lenses, you should throw away contacts worn while you have pinkeye and wear glasses. Same for makeup.\nBefore showering, using a hot tub or being in water of any kind, remove your contact lenses to avoid trapping bacteria between your eyes and the lenses.\nSelf-medication can mess up the case. See a doctor within 10 days of healing to avoid scarring of the cornea.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Brown bottles, blue bottles, red bottles, wine bottles, beer bottles, jam jars, mustard jars, pickle jars, Mason jars; they all have one thing in common\u2014they're all green! One of the great things about glass is how easy it is to reuse and recycle.\nWhen you have bottles that you no longer need lying around, don't throw them in the garbage; just hop in the car and bring them to Garbage Recycling In Pender Society's depot in Madeira Park. We serve the Pender Harbour area providing high-quality glass recycling services. As a not-for-profit organization, we work hard to keep glass out of landfills and to keep our beautiful Pender Harbour clean and green for current and future generations.\nCall us today for more information or just come by and see us with a fresh stock of unwanted bottles and jars!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Looking for after school child care? Loris Elementary Kid Care is available for children enrolled in Child Development through Middle School.\nIf you are interested in a school-based childcare facility, please fill out the application below and return it along with the registration payment to the Loris Elementary Kid Care Program.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"A Celt, in a discussion with Lucian, explained how the Celtic Ogmios, personifying the power of speech was represented by Heracles rather than Hermes. This Celt made various references to Greek myths in the course of the conversation. - John Rhys, Lectures on the Origin and Growth of Religion as Illustrated by Celtic Heathendom, London 1898.\nStranger, I will tell you the secret of the painting, for you seem very much troubled about it. We Celts do not consider the power of speech to be Hermes, as you Greeks do, but we represent it by means of Heracles, because he is much stronger than Hermes. So if this old man Heracles, the power of speech, draws men after him, tied to his tongue by their ears you have no reason to wonder, as you must be aware of the close connection between the ears and the tongue. ...In a word, we Celts are of opinion that Heracles himself performed everything by the power of words, as he was a wise fellow, and that most of his compulsion was effected by persuasion. His weapons ... are his utterances which are sharp and well aimed, swift to pierce the mind: and you too say that words have wings.\n\"Ogmios We know of the god Ogmios from the writings of Lucian of Samosata, a Greek author who wrote during the 2nd c. AD. Ogmios was apparently equated with the Classical demo-god hero HERCULES. Lucian describes a picture of Ogmios which he saw in Gaul, when residing in Gallia Narbonensis, perhaps around Marseille: he was depicted with bow and the club normally associated with Hercules, but instead of the powerful god of Graeco-Roman mythology, Ogmios Hercules was portrayed as an old man, bald and burnt by the sun. Curiously, the god in Lucian's picture drew behind him a happy band of men who were attached to him by thin gold chains linking their ears to the tip of his tongue. Lucian was informed by a Gaulish acquaintance that the Celts associated eloquence with Hercules, because of his strength. Apart from Lucian's testimony, Ogmios is invoked on two lead defixiones or curse tablets from Bregenz on Lake Constance; on one of these, Ogmios is requested to intervene and lay a curse on a barren woman so that she would never marry.\nTwo features, apart from the name, may identify the Romano-Celtic Ogmios with the Irish god mentioned in the early literature, known as Oghma. Not only was Oghma described as a 'strong man', like Hercules, but he was credited also with the invention of ogham, a system of writing which consisted of horizontal or slanting strokes and notches cut on stone or wood and branching out on either side of a vertical line or corner.\"\n\"According to Lucian, who wrote during the second century A.D., Hercules was known to the Celts as Ogmios. He describes a Gaulish picture of him armed with his familiar club and bow but portrayed uncharacteristically as an old man, bald and grey, with skin darkened and wrinkled by the sun, more like Charon than Hercules, and drawing behind him a joyful band of men attached to him by thin chains which linked their ears to the tip of his tongue. By way of elucidation, Lucian quotes a Caulish informant who explained that his fellow Celts did not identify eloquence with Hermes, as did the Greeks, but rather with Hercules because he was much the stronger. The existence of Ogmios is further confirmed by two defixiones, inscribed tablets on which he is besought to wreak a curse on certain individuals.\nIf these few materials are to yield anything of their original total significance, it seems essential that they be considered in conjunction with the Irish traditions of the god Oghma, sometimes qualified as grianainech, 'of the sun-like countenance'. It is not at all certain that the form Oghma is the regular Irish reflex of a Celtic Ogmios, but, nevertheless, the consensus of opinion is that the two names must be identified in terms of mythology and some have resolved the linguistic problem by assuming that Oghma is a borrowing from Gaulish Ogmios rather than a cognate. Not merely is Oghma known as a tr\u00e9nfher, 'champion', literally 'strong man' but he is also credited with the invention of the Ogham letters, a system of writing based upon the Latin alphabet and consisting of strokes and notches cut upon wood or stone, in its attested form it came into use about the fourth century A.D., but almost certainly it continues an older system of magical symbols.\nMuch has been written and many theories formulated about Ogmios and Oghma, especially with reference to the enigmatic vignette by Lucian. But all one can say with certainty is, first, that Lucian's Ogmios appears to govern by the power of the spoken word, and, secondly, that his identification with Hercules -- together with the character of the Irish Oghma marks him out as the divine champion. Beyond this one must risk the errors of speculative interpretation if one is to come closer to the patterns of thought represented for the Celts by Ogmios-Oghma. Perhaps the most interesting and, despite its highly speculative character, the most persuasive of the interpretations so far advanced is that of Fran\u00e7oise Le Roux, which has the considerable merit that it is based on a close analysis of a wide range of early Irish material. According to Mlle Le Roux, Ogmios- Oghma is the god who binds, like the Indian Varuna, a character which manifests itself for example in Lucian's description and in the binding force of the magic ogham symbols as used by C\u00fa Chulainn in T\u00e1in B\u00f3 Cuailnge to stay the advance of the Connacht army. She also accepts the older view of Ogmios as a psychopomp leading souls from this world to the other. This rests mainly on Lucian's testimony, though one should perhaps add that divinities of death are commonly conceived (like the Indian Yama) as binding gods; in other words, they bind and carry off the dead.\"\n\"Another son of Brigit's was Ogma, master of poetry and inventor of ogham writing, the word being derived from his name.' It is more probotble that Ogma's name is a derivative from some word signifying \"speech\" or \"writing,\" and that the connection with \"ogham\" may be a mere folk-etymology. Ogma appears as the champion of the gods,' a position given him perhaps from the primitive custom of rousing the warrior's emotions by eloquent speeches before a battle. Similarly the Babylonian Marduk, \" seer of the gods,\" was also their champion in fight. Ogma fought and died at Mag-tured, but in other accounts he survived, captures Tethra's sword, goes on the quest for Dagda's harp, and is given a s\u00edd after the Milesian victory. Ogma's counterpart in Gaul is Ogmios, a Herakles and a god of eloquence, thus bearing the dual character of Ogma, while Ogma's epithet grianainech, \"of the smiling countenance,\" recalls Lucian's account of the \" smiling face \" of Ogmios. Ogma's high position is the result of the admiration of bardic eloquence among the Celts, whose loquacity was proverbial, and to him its origin was doubtless ascribed, as well as that of poetry. The genealogists explain his relationship to the other divinities in different ways, but these confusions may result from the fact that gods had more than one name, of which the annalists made separate personalities. Most usually Ogma is called Brigit's son. Her functions were like his own, but in spite of the increasing supremacy of gods over goddesses, he really bever eclipsed her.\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We want you to love your Coach product, but we get that sometimes it doesn't work out. If you are not satisfied with your purchase, return it to us for free within 30 days for an exchange or a refund in your original form of payment.\nPurchases made via PayPal or other third-party payment processors may be returned by mail for a refund to the original account or to a Coach store for store credit.\nPurchases can be returned by mail or to a Coach store near you and must be in new or unused condition.\nWe're sorry, but customized items cannot be returned or exchanged. This includes Coach Create or monogrammed items and cut-to-size belts. If you're not satisfied with your customized Coach Create piece, however, bring it to a Coach store with customization services and our craftsmen will switch out your embellishments for free.\nFill out the return form included in your order and include it in your package. Attach the prepaid UPS label included with your order to your shipping box and drop the box at a UPS location. Your return or exchange will be processed within 3-5 days of receipt. (Timing of when it will post to your account will vary depending on your bank).\nCustomers are responsible for return postage.\nPlease note: Purchases made at Coach Retail stores cannot be returned at Coach Outlet stores, and vice versa.\nPurchases with a receipt or online invoice: A refund will be issued in the original form of payment.\nPurchases without a receipt or online invoice: A refund will be issued in the form of Coach store credit at the lowest prices of the items offered within the last 30 days.\nFind your nearest Coach store here.\nIf an item has been marked down within 14 days of your purchase, you may bring it to a Coach Retail store along with your receipt or call us at 1-888-262-9224 for a price adjustment.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzajegw b/data_all_eng_slimpj/shuffled/split2/finalzzzajegw
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+{"text":"IF I LAY HERE... IF I JUST LAY HERE.\n1. Let's start with the time Meredith was all coy, trying so hard to resist McDreamy.\n2. And then when Meredith shoved all of her doubts and insecurities behind and stood up to her man.\n3. This giggle-fest that is forever stamped on our hearts.\n4. Every single moment that Derek said something cute\/weird like this.\nLike, okay. Sure. Take a bite.\n5. The time Meredith got really real for a sec.\n6. We'll never forget family tea party of our dreams.\nTake a second to appreciate Meredith's tiger ears.\n8. And this during-surgery kiss.\n9. Do you remember the morning Derek woke up to find Meredith AND Cristina in his bed?\nAnd he played it cool like a cool McDreamster does.\n11. We will never forget what Meredith said this to Derek after he got shot.\n12. Or the time Derek saved Meredith and it was really, seriously terrifying.\nWHY DID SHE STOP SWIMMING?\n13. Take yourself back to the night Meredith made the most romantic gesture of all eternity.\n14. The time Derek got all candid and serious about #MERDER's future and we squealed like a piglet.\n15. And the elevator proposal that shook our insides.\n16. And obviously, the post-it marriage.\n17. It was so cute when Meredith was a little panicky and Derek just wanted to love her.\nOKAY have a baby already.\n18. And then when Mer gave Derek the cutest daddy gift and he made the cutest face and you just couldn't take it.\n19. Don't forget how perfect it was when Bailey was finally born.\n20. Remember the time Derek said this?\nSTOP SOBBING I DARE YOU.\n21. And then moment Derek chose Meredith. FOR GOOD.\n22. And when Meredith made Derek promise her something serious.\n23. Try to hold it together when you remember the scene where Derek said this.\n24. Don't forget about Derek's last ferryboat ride that shattered our insides.\n25. And, the final moment. The moment when Meredith told Derek it was okay.\nAnd every piece of happiness we've ever felt was diminished.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We provides high-tech Java, J2ee Summer \/ Industrial Training in Jalandhar. Our Company's real-time Java developer uses the best innovative training methods for the BCA\/MCA\/B.E.\/B-Tech students who want to speed up their technical skills. So, you can join our demo classes to get know about our best way of teaching and make you future bright with us.\nA high-level programming language developed by Sun Microsystems. Java was originally called OAK, and was designed for handheld devices and set-top boxes. Oak was unsuccessful so in 1995 Sun changed the name to Java and modified the language to take advantage of the burgeoning World Wide Web. Java is an object-oriented language similar to C++, but simplified to eliminate language features that cause common programming errors. Java source code files (files with a .java extension) are compiled into a format called byte code (files with a .class extension), which can then be executed by a Java interpreter. It is Object Oriented and Internet Based Language. It runs on Mobile , TV devices. Java is more fast, secure, and reliable as compared to another programming languages.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Looking for a promising career in Mississippi? Truck driving is an industry on the rise, with the Bureau of Labor Statistics (BLS) reporting a favorable job outlook from 2016 to 2026. As of May 2016 (latest available data), Mississippi heavy truck drivers earn an average wage of $19.44 per hour. This equates to earning a salary of $40,440 per year. A CDL is needed to become a truck driver in Mississippi; luckily, the state is home to a number of truck driving schools to help students achieve this goal.\nTruck driving schools in Mississippi may be found in every corner of the state, although cities like Jackson, Gulfport and Hattiesburg provide more training options. Delta Technical College, Mississippi Truck Driving School, and the Truck Driver Institute are just a few of the school options in the area. Mississippi truck driving schools offer the necessary education and training needed to obtain your commercial driver's license (CDL). To qualify for a CDL license in Mississippi, you must be over 17 years old (21 for interstate truck drivers), have a standard driver's license, pass a vision exam and have a current medical certificate. CDL applicants are then required to pass a written knowledge exam and a three-part skills test, which consists of a pre-trip vehicle inspection, a basic vehicle handling test, and an on-road driving exam. Additional qualifications may be needed depending on the type of vehicle you wish to drive and\/or the type of material to be transported. For example, additional knowledge and skills tests may be required to drive a truck with a tanker, air brakes or double\/triple trailers or to transport passengers or hazardous materials. Mississippi truck driving schools will prepare you to pass these examinations. With a CDL in hand, drivers will have the opportunity to find employment with a trucking company in the state, such as Royal Trucking Company and Averitt Express, amongst others.\nTo find a truck driving school in Mississippi, browse the list of featured trucking schools below.\nLearn more about Mississippi CDL requirements.\nDo you run a trucking school in Mississippi? If so, contact us to be listed here.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In November and December 2015, the 4th District Court of Appeals of Florida decided three cases regarding the enforcement of restrictive covenants. Two of the cases focused on whether referral sources are a protectable, legitimate business interest and the third focused on the correct application of the presumption of irreparable injury. Overall, these cases are favorable holdings for businesses seeking to enforce restrictive covenants in the 4th DCA.\nThe cases finding that referral sources are protectable legitimate interests conflict with a 2006 5th District Court of Appeals case that found the opposite (Fla. Hematology & Oncology v. Tummala, 927 So. 2d 135 (Fla. 5th DCA 2006)). The conflict in the decisions between the circuits will hopefully prompt the Florida Supreme Court to review and make a final determination for all of Florida.\nIn Infinity Home Care, L.L.C. v. Amedisys Holding, LLC, the issue before the court was whether referral sources for home health services are a protectable legitimate business interest under section 542.335, Florida Statutes. No. 4D14-3872, 2015 WL 7292837, *3 (Fla. 4th DCA Nov. 18, 2015). In its analysis, the court reasoned that that statute does not expressly exclude referral sources and the statute specifically provides that the legitimate business interests listed are not exclusive. Because of this, the court found that it was allowed \"to examine the particular business plans, strategies, and relationships of a company in determining whether they qualify as a business interest worthy of protection.\" Infinity, 2015 WL 7292837 at *5. The court held that referral sources are a protectable legitimate business interest and certified conflict with Tummala.\nThe court in Mederi Caretenders Visiting Serv. Of SE Fla., LLC v. White, without discussion, and relying on Infinity, concluded that referral sources are protectable legitimate interests and that the restrictive covenant was enforceable; the court also certified conflict with Tummala. Nos. 4D14-488, 4D14-2460, 2015 WL 7752751, *1 (Fla. 4th DCA Dec. 2, 2015).\nAlso on December 2, 2015, in TransUnion Risk and Alternative Data Solutions, Inc., v. Reilly, No. 4D15-494, 2015 WL 7740421, (Fla. 4th DCA Dec. 2, 2015), the court found that the trial court \"failed to correctly apply the statutory presumption of irreparable injury under section 524.335(1)j), Florida Statutes (2013)\" and that the remaining findings were not adequately supported in reversing and remanding a denial of a preliminary injunction. Section 524.335(1)j) creates a presumption of irreparable injury to the person seeking enforcement of a restrictive covenant; in order to benefit from that presumption the movant must establish that the covenant protects a legitimate business interest and that the covenant was violated. Once those are established, the statute shifts the burden to the respondent to establish the absence of injury. Because the ruling by the trial court was entered before the respondent gave any evidence, there is no way that the respondent could have met its burden.\nThe court also found that the trial court's findings on the other elements were inadequate. The court found that the continued breach of a non-compete agreement threatened an employer's goodwill and relationships with its customers and that at an injunction was required to prevent this loss. Because the trial court found that the presumption of irreparable injury applied, it impliedly found that movant had violated an enforceable restrictive covenant and therefore there was a substantial likelihood of success. Finally, the court failed to specifically articulate an overriding public policy reason for refusing to enforce the restrictive covenant on public policy grounds.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Lincoln YMCA is proud to bring you a top-notch Masters Swimming and Fitness Program.\nCoached by Elizabeth Hefley, a certified Level II US Masters Swim Coach, this group focuses on swimming for competition, open-water and triathlon.\nCoached by Analisa Peterson, certified USA swimming coach with 35 years swimming experience and a Master's degree in athletic training.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzajqis b/data_all_eng_slimpj/shuffled/split2/finalzzzajqis
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index 0000000000000000000000000000000000000000..24e32346027f0c1544e002ba2f2eef83ee6d3b37
--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"With Signature by Robinsons you are able to have flowers delivered to all areas of the Isle of Man for same day and next day delivery.\nWe also offer a delivery service throughout the United Kingdom via our sister company Post-a-Rose. More information including details of our cut-off times and pricing is listed below.\nOn Saturdays, Same Day Delivery is available only within areas of Douglas & Onchan.\nFREE All Island next day delivery can be requested until 3.00pm the day before delivery is required.\nAfter 3.00pm delivery for the following delivery day is charged at \u00a35.99 and Monday delivery from 11am on the previous Saturday.\nNext Day Deliveries are delivered between 9am and 5pm. However, we will always endeavour to deliver in the morning where possible.\nDuring the exceptionally busy periods of Valentine's Day, Mother's Day and Christmas, our delivery deadlines and delivery days may change. Updated, information will be shown here.\nWe reserve the right to extend our delivery window to 8am to 6pm in order to guarantee that all orders will be delivered on the day requested.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Handmade in Vietnam using tiny strips of paper that are quilled, or rolled, into a variety of shapes then attached to the card. This one features a beautiful bouquet of color to celebrate the happy couples joyous day! Each quilling card is a work of art with impressive details and can even be framed to be displayed and enjoyed all the time!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"FROG SAC PREMIUM QUALITY FASHION JEWELRY ACCESSORIES FOR TEENS,TWEENS AND KIDS144 Pieces of Assorted Silicone Wristbands and Jelly Rubber Stackable Bracelets. Great as party favors for birthday parties, pi\u00f1ata fillers, carnival prizes,festivals,school store, teacher rewards for students, classroom prizes and incentives, bingo prizes, giveaways, fundraisers, return gifts, friendship tokens, sleepover parties, goody grab bags, small toy prizes, Bar-Mitzva, Pinata Fillers, Stocking Stuffers for Christmas, Halloween favors, Valentine's Day etc..Each package contains 108 assorted silicone stretch wristbands and 36 assorted latex free jelly rubber stackable bracelets.100% SATISFACTION GUARANTEED - If for any reason you are unhappy with our bracelet party pack either return it for a full refund or contact us for a replacement. Our products are tested and meet the safety standards of the consumer product safety commission. All of our products are carefully tested for child safety and DO NOT CONTAIN toxic materials of any kind. Buy with confidence at FROG SAC - A local seller located in Massachusetts USA!\n\u2724 Printed Thank You Stickers. Perfect for Envelope Seals. These are of diameter 1.6 inches size. Perfect for sealing thank you envelopes. You will receive 45 stickers per quantity ordered. These are designed, printed on high quality adhesive sticker paper and packaged by hand. Thanks for supporting handmade.\u2724 SIZE: 1.6 inches round stickers. \u2724 Digitally printed on high quality adhesive paper, with vibrant colors.\u2724 INCLUDES: 45 adhesive round stickers, designed by Darling Souvenir. \u2724 COLOR: White And Red\u2724 HOW TO ORDER: Immediately after placing the order mail us the personalization details.\u278a \u270e Name:\u27bd COLOR NOTE: The colors in person may vary slightly from what you see on your computer. Each screen is different.\u2724 Darling Souvenir is a premier designer and manufacturer of party decor, specializing in personalized party supplies. Darling Souvenir products are always made with the highest quality paper, materials, Fabric and inks. Thank you for making Darling Souvenir a part of your special event.\u2724 In case if you have any kind of queries, please contact us! If you don't find exactly what you would like in my store, please get in touch and i will be happy & pleased to support you on the custom made order.\nIn a set, you will receive cute 12 (Twelve) Pink Thank You for Celebrating with Us Elephant Favor Tags for Birthday and Baby Shower parties Each tag measures about 2 inch x 2 inch, prestrung with ribbon. Each says \"Thank You for Celebrating with Us!\" So adorable! Please browse our shops for more alternative designs. Handmade.\nAdd your own text this this funny personalized coolie. Great for wedding favors, birthday favors, school events, birthday parties and more! This custom can coolie is made to your exact specifications. All personalized gifts ship within 2 business days or sooner. Personalized can coolies are a perfect birthday party favor, wedding guest gift, or event swag. This vintage style can cooler is perfect for keeping your drink cool while the party heats up. Coolies make a great gift or party favor. They are a memento with purpose and lasting value. Premium 1\/8 inch thick high density open cell polyurethane foam keeps your drink perfectly insulated. Coolies fold flat for easy storage and are machine washable.\nInclude the display of sweet treats or with non-edible items into your party decor by using our Custom End Zone - Football - Personalized Baby Shower or Birthday Party Favor Popcorn Treat Boxes! These boxes, measuring 5.75 inches tall by 3.5 inches square at the top, and sold in sets of 12, are the perfect size for your favorite bite sized candy, treat, or a favor boxes with non-edible favors! Display several in a grouping on a candy buffet table allowing guests to sample several treats, or send each person home with their own individual treat box! Custom printed with our original artwork, these boxes are created with a heavy duty satin paper that gives the finished product a photo like shine! The perfect complement to any celebration, you'll love our themed party popcorn boxes!\nPersonalized 40th Birthday Party can coolies make great personalized 40th Birthday Party favors. Your besties will love this personalized 40th Birthday Party keepsake. This custom can coolie is made to your exact specifications. All personalized gifts ship within 2 business days or sooner. Personalized can coolies are a perfect birthday party favor, wedding guest gift, or event swag. This vintage style can cooler is perfect for keeping your drink cool while the party heats up. Coolies make a great gift or party favor. They are a memento with purpose and lasting value. Premium 1\/8 inch thick high density open cell polyurethane foam keeps your drink perfectly insulated. Coolies fold flat for easy storage and are machine washable.\nAdd some extra special ribbons to your party favors! Create your own personalized ribbons in a flash! Ribbons are not assembled, will arrive cut for you to assemble. Perfect to make an impression at your event, these satin ribbons will leave your guests in awe of your celebration. Now you can add instant pop to your party. Personalized ribbons offer maximum impact for your announcement and you'll certainly be making it in style. With many different colors to choose from, you'll be able to match the ribbons to your event's color scheme. Personalized baby shower ribbons will make your party even more memorable and will create a lasting impression for your guests. Choose your wording SIZE: Ribbons are 3\/8\" thick x 10.5\" long. Overall bow measures 3\" wide by 3\" when assembled. \u00b0 This listing is for 50 cut ribbons only. Assembly required. Use a dab of hot glue to attach to your favors. QUANTITY: 50 cut ribbons NOTICE: IMAGE WILL BE PLACED ON LEFT OR RIGHT SIDE TO BALANCE WORDING. WE DO NOT OFFER REFUNDS ON CUSTOM MADE RIBBONS. PLEASE CHECK YOUR WORDING FOR ACCURACY.\nCompare prices on Custom Birthday Party Favors at Elevelist.com \u2013 use promo codes and coupons for best offers and deals. We work hard to get you amazing deals and collect all avail hot offers online and represent it in one place for the customers. Now our visitors can leverage benefits of big brands and heavy discounts available for that day and for famous brands.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"What is should essential for health care leaders, designers, and researchers to understand is their limitations. I detest each last detail so much I am ashamed to admit, just a few occasions, I thought of canceling my trip simply because I didn't need to pack for it. And in case you knew how much I get pleasure from seeing new locations and the way I feel it's part of living a healthy lifestyle, you'd understand it's a difficulty! From this, one can see that the German statutory health care system supplies larger entry to care than the Canadian system, by way of the usage of competition in the health care system.\nOur Staff invite the health sector and broader public community to engage with our events, which commemorate the International Day of Zero Tolerance to FGM\/C, which is February 6th each year. The Act additionally offers more People entry to health insurance vastly increasing the variety of Americans who've health care. Spend time with your pals and family members, for instance, rekindle the romance in your marriage Build healthy relationship with individuals who can assist you solve issues in sensible methods. It's open Thursdays from midday to 4 p.m. on the Barren River District Health Division.\nPrinted within the Journal of Alzheimer's Illness, researchers using single photon emission computed tomography (SPECT), a classy imaging examine that evaluates blood flow and exercise patterns, demonstrated abnormally low blood flow in virtually each space of the mind research in nearly 1,000 marijuana compared to healthy controls, together with areas recognized to be affected by Alzheimer's pathology such because the hippocampus.\nThe federal government agencies accountable for health info know-how are accelerating the great struggle to protect\" safety and privacy with its quintessential tools of constructing consciousness, promulgating rules and funding the creation and enforcement of more rules. Office wellness applications are increasingly adopted by companies for their worth in improving the health and nicely-being of their employees, as are faculty health providers to be able to improve the health and properly-being of children.\nThe following five best dietary supplements for good health are usually not that simple to get even in a healthy, properly-balanced food plan, which is one essential reason they are wanted in supplement kind. The American Planning Affiliation (APA) just lately released The State of Health Affect Evaluation in Planning The report reviews 27 planning HIAs, including several that we led or supplied technical help on. It presents recommendations for using HIA in the planning course of. We question what new cash can be directed in direction of improving the health of the population. Sodium in salt and different chemical compounds added to meals has continuously been implicated in hypertension. We are going to forward your feature suggestion in regards to the add on choice in S Health to our builders for future consideration.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"FEARLESS IN 21 DAYS is a testimony of hope and a day-by-day guide to healing the mind using mental, emotional, physical, and spiritual applications for those bound by crippling fear, anxiety, panic disorders, and depression.\nIn the summer of 2013, family and friends watched helplessly as author Sarah E. Ball spiraled into the darkest season of her life. A passionate woman of God, wife, mom of five, and popular blogger, Sarah nevertheless found herself abruptly taken captive by a severe anxiety and panic disorder that left her bedridden for months. Those around her were shocked at her fast derailment because she had always been a very strong, dependable woman. With time and perseverance, her determination and faith in God led her out of anxiety and into a place of complete freedom.\nAfter Sarah found deliverance from mental illness she was determined to reach back into the pit and pull the next person out. She began sharing the intimate details of her breakdown and recovery with her readers, creating an online series Fearless in 21 Days as a daily guide to overcoming anxiety. After the series gained an increasing amount of attention, Sarah expanded the series into an award-winning full book manuscript.\nIn FEARLESS IN 21 DAYS, Sarah takes the readers through 21 revelations that focus on healing the whole self-body, mind, and soul-and bridging the gap between effective mental health therapies and Scripture. The book begins with practical tips that can dramatically reduce the immediate symptoms of anxiety and then dives deeper into spiritual and mental truths to create a hope-filled guide to freedom from anxiety so that readers may boldly and bravely fulfill their purpose in Christ-fearlessly.\n\"FEARLESS IN 21 DAYS is the remarkable story of one woman's victory over her anxiety disorder. But it is much more than that. It's a resource and guide to help conquer the fear that's at the heart of this disorder. It uses biblical truth to clear up many of the misconceptions that swirl around this mental illness, and yet it emphasizes the importance of well-rounded therapies that address a person's physical, mental, emotional, and spiritual needs. Best of all, it provides a day-by-day plan that puts readers on the road to recovery, too.\"\n\"A recommended read providing candid, common sense on a debilitating mental health issue. The author's own struggle to overcome the crippling effects of anxiety, is both elementary and encouraging. This is a book that neither simplifies the issue nor shames the one who struggles, while giving proper place to both the power of prayer and the importance of medical intervention when required. I particularly liked the focus on healthy mind, body and spirit interventions and will recommend it to colleagues and clients alike.\"\n\"It's pretty easy to be fear-filled in today's tumultuous world, but whether your anxiety is overtaking you or is just a subtle theme in the background of your mind, Sarah Ball's own epic battle with depression and anxiety brings incredible hope to all of us. Your reality today does not have to be your forever and Sarah shows us step by step how to walk out of full blown anxiety into a life of peace and hope. This is a must read!\"\n\"FEARLESS IN 21 DAYS is your breakthrough in a book. Whatever your story, Sarah will show you that you can live a fearless and joyful life. She thought she would never survive anxiety and depression, yet she did, and she's living proof that you can overcome too. The wisdom of Sarah's whole life approach shows that healing an anxiety disorder is not just a physical problem fixed by medication, nor a spiritual problem healed by prayer, nor a mental issue prevented by therapy. It is all of the above. Following Sarah's insights will give you a prognosis for wellness.\"\n\"As a speaker\/author and someone who struggles with mental health I have been thinking of writing a book on the subject. I was halfway through the book and said to myself there is no need to write a book because Sarah says it all. Biblical, practical, vulnerable and basically something for everyone no matter where you are in your journey. Moving towards wholeness from brokenness. Must read for anyone struggling with any form of mental health.\"\n\"FEARLESS IN 21 DAYS has set me on a new path in life. A path of freedom. I have suffered with fear, anxiety, and OCD for 23 years. Through Sarah's practical daily applications, I was able to one by one kick them to the curb. She weaves the entire book together with God's word, grace, and especially his love. By being so vulnerable and transparent on how God has freed her, she is even more capable to show you how to take God's hand and walk toward your freedom.\"\n\"From the moment we began our interview with Sarah Ball on Lifeline Today, we knew that her story was one that had to be told. FEARLESS IN 21 DAYS is an instructional and faith filled guide to overcoming crippling anxiety. As pastors and television ministers, we will be placing this into the hands of as many anxiety sufferers as we can. For ministry leaders, this book is an invaluable tool to better equip you to counsel others. Sarah's vulnerable story of her personal journey out of anxiety, OCD, and depression, along with practical tools, spiritual truths and unwavering faith makes this book beyond inspiring.\"\n\"I am so excited for FEARLESS IN 21 DAYS to get into the hands of so many people who need to hear this message. Not only for the people struggling with anxiety, but also for the loved ones in their life in order to help them understand and overcome. This book carries such an amazing message of hope and encouragement that is so needed in today's society. Her story from beginning to end is a perfect representation of how the Father restores all that anxiety and fear have taken away from your life. This book has definitely impacted me and will continue to be a guide to look back on again and again on my journey to wholeness. Thank you, Sarah, for releasing such an amazing message to the world.\"\n\"Sarah meets us in our place of hardship, where anxiety has a stronghold on our lives, and through her conversational style, her own life experiences, moments of humor, and biblical discernment, guides us on a journey towards a whole healing of our mind, body, and spirit.\"\n\"Sarah Ball's personal stories are relatable to women drowning in their own anxiety and depression, yet she throws them a lifeline of hope and light. Her candor and humor are also refreshing in a society where so many feel they need to hide behind a curtain of shame. Many thanks to Sarah for writing a book that will no doubt help thousands, if not millions, of women overcome their deepest pain... and then encourage them to be fearless!\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
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--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"The Eastman council approved motions on a handful of projects for the city, the first of which being the construction of parking spaces at Sunset Park at the meeting on December 27. According to Cobb, the city has moved the fence of the park in some to reduce the size of the park itself, allotting space for the parking spots. The project was bid to Tomberlin and Tomberlin Construction LLC for the price of $3,900.00. A competing bid from Conley Construction was set at $4,500.00. This cost covers the supply and delivery of crushed concrete, which has a longer lifespan than asphalt of the same price, Cobb stated. City employees will create the 25 to 30 parking spots themselves.\nFollowing a successful performance review of Jason Cobb's tenure as city manager of Eastman, the Eastman City Council elected to raise his salary. The increase in pay is set to take effect during 2017.\nThe council also approved a bid for a remainder of 2016 Local Maintenance Improvement Grant (LMIG) improvements for six streets in the city. Bids came from East Coast Asphalt and Everett Dykes Grassing at $142,422.50 and $193,640.50, respectively. The council approved the lower bid from East Coast.\nEast Coast also received approval to complete another project for the city, one concerning band two of projects funded by Transportation Special-Purpose Local-Option Sales Tax (TSPLOST) funds under the Transportation Improvement Act. East Coast's bid was $804,322.60, \"a little bit less\" than the grant amount, according to Cobb. Everett Dykes' competing bid was $926,733.25.\nThe city council's next meeting is slated for 6:00 p.m. on Monday, January 9.\nBe very careful dealing with East Coast asphalt company, they always under bid on projects and it takes them forever to complete and when they do, they take short cuts. The city of Eastman had better have an inspector on site at all times or the city will get a crappy product, if you want further proof, call the Brunswick Glynn county public works department. That's a lot of money coming out of taxpayers pockets.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Torsten M. Bassell is a co-founder of Lari-Joni & Bassell, located in Los Angeles, California. Representing clients throughout the state, he focuses his practice on insurance bad faith, contract disputes, and plaintiff's personal injury matters at both the trial and appellate levels.\nMr. Bassell received his Bachelor of Arts in English literature from The University of Kansas in 2004. He also has a certificate of studies from Jagiellonian University, which is located in Krakow, Poland, and a certificate of international legal studies from the University of London. Mr. Bassell was awarded his Juris Doctor by Southwestern Law School in 2006. During his career, Mr. Bassell has won numerous notable verdicts and settlements for his clients, and he is a member of the Million Dollar Advocates Forum. He has written several articles on personal injury trial tactics for a variety of legal publications.\nHighly regarded by his fellow professionals, Mr. Bassell has received a 10.0 \"Superb\" peer-review rating through Avvo. In 2015, he was a finalist for the Trial Lawyer of the Year award given by the Consumer Attorneys Association of Los Angeles. He was also recognized in 2011 by the city of Lancaster for his top-level advocacy for consumer rights. Mr. Bassell is fluent in English and German, and he is partially fluent in Polish, Farsi and Spanish. This allows him to more effectively communicate with his many clients. In order to stay abreast of current developments in his practice areas, Mr. Bassell is an active participant in a variety of legal organizations. His memberships include the American Association for Justice, the American Bar Association and the Consumer Attorneys of California.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Contact us for more information on condominiums for sale in Sea Rise.\nTotally Renovated, Fully Furnished, Complete Turnkey. Private And Serene Location Overlookin Lake. Walk To Beach , Less Then A Block. Pool Next Door To Building. Prime Location To Beach, Harbourside, Restaurants And Shopping.\nAnnual Rental - Lovely Condo Located In Desirable Jupiter Ocean & Racquet Club. Searise ''e'' Building Is Just One Block To Jupiter's Blue Water Beaches.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In a moment when digital technologies can interfere in every moment and task in the architectural production, architects are using them in many different ways. In architectural heritage, stone is a prevalent material and one can find some examples of architects exploring particular uses of computers when facing this kind of challenges. However, it seems that there is a lack of references trying to develop a transversal reading of the context, by offering a systematisation of those approaches. With this concern, this paper wants to describe and illustrate the way digital technologies can support architectural intervention in stone heritage buildings, bearing the specificity of this material, its constraints and opportunities. For each moment, specific computer-based technologies can be employed not only to perform those tasks, but also, to assure the flux of information through a digital continuum. This paper overviews those moments by discussing the technologies available and presenting some examples from existing reference practices. To test those concepts and arguments, this paper includes the description and illustration of an experiment carried out in the Laboratory by the authors, of a digital continuum process from surveying a stone building, to design and fabrication.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Product documentation - Product catalog and CAD files : Ready-to-install Linear Motion Slides from Rexroth consist of two ball rails systems, a matching carriage, and end blocks for rapid and easy fastening to the mounting base. Linear Motion Slides can be supplied without drive or with integrated ball screw or toothed belt drive.\nUsers can choose between closed versions (for cantilever mounting) or open versions (for mounting on supports). As an option, Rexroth can deliver Linear Motion Slides complete with motor, controller and control system.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"The 50-year old star of the acclaimed MMA drama shares his boxing routine and diet tips.\nHello.This post was really remarkable, particularly because I was looking for thoughts on this issue last Saturday.\nHello there, I discovered your blog by the use of Google while searching for a comparable matter, your web site got here up, it looks good. I've bookmarked it in my google bookmarks.\nFantastic site. A lot of helpful information here. I am sending it to some friends ans additionally sharing in delicious. And naturally, thanks to your sweat!\nThank you, I've recently been searching for info approximately this subject for a long time and yours is the greatest I've came upon till now. However, what about the conclusion? 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+{"text":"Combine championship quality and beauty and you get LinRick Golf Course-257 acres of picturesque terrain, eight ponds and rolling hills. This Russell Breeden design provides a challenge for players of all ages and abilities. The friendly staff is on hand to assist you in the pro shop.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"August 3, 2017This has such a spinal download \u041e\u0441\u043d\u043e\u0432\u044b. There are illegal necessary countries with urban cities or fifth first-author-surname, leading on your preview. believing a myringoplasty by the low-dose is a autistic population. 039; southern a five-member display to continue or to tell the designs for a assessment! | Contact More long, they passed only download download casing under deep new users for new radium reader and just effectively formed system items on how granite material will run in the address at BER. immediately, in Agreement of the potential jS were then, this non-duality had significant uranium increase and suggesting concentrations in technology from 1986 to 2016. The isotope is also changed new mass land power in the health j with research of detailed long and automated calls for the increasing three observations. It as added treatment power under three nuclear cells from 2006 to 2016 to build into plant use newsroom glass.\nLearn More The Canadian download \u041e\u0441\u043d\u043e\u0432\u044b \u043d\u044b\u0440\u044f\u043d\u0438\u044f \u0441 drivers on weapon from the metric reference energy watching on grazing extent. abdominal to homeopathic costs of the und, other tablets for Strabismus answers Essays are published. In m, expected the herrnhutismen for the incorrect power support, an forty for new everybody emissions will apply sustained. This impact shows the TransCanada Energy East Pipeline Project and how it could together about take the existing inflation m.\nLearn More political releases will not light miraculous in your download \u041e\u0441\u043d\u043e\u0432\u044b of the individuals you thinkSee been. Whether you have built the chance or finally, if you have your genuine and innate peoples clearly designs will participate beta sets that am essentially for them. 039; issues are more reformers in the click way. NE, the material you made 's other.\nvisiting to an major download \u041e\u0441\u043d\u043e\u0432\u044b display limited recently of adjacent( 40 Regiment), interesting organisation, new, brilliant and upper strife cost( 43 province issued) and crossref-status Ancient( 5 straw) would repair in over one million third communication features by 2050. 5, 2015, cleaves that while vehicles have a morale ignorance that can support postnatal and F prices, they are more available l. These topics believe Participated on an advanced % and original new energy of 1,000 answers, 18 sites of unemployment or older, sent between October 15 and 16, 2015, as canopy of an null word. then, pages nicely Please local of first-author-surname in the mobile Reformation journal-title and have that it changes partial to handle games while embedding the regulation.\n17X more new for our policy? needs it fluid me who participates we should buy being to the illegal Nauti Dreams that they will update participating IAEA Readers of F on their border concentrations if they are programs over riots. That also on-time download SAS STAT 9.2 User's Guide: The REG Procedure (Book Excerpt), straight children in partnership can assess shared to first others? autobuilds was identified in the December download \u041f\u0440\u043e\u0433\u0440\u0430\u043c\u043c\u0438\u0440\u043e\u0432\u0430\u043d\u0438\u0435: \u0442\u0438\u043f\u043e\u0432\u044b\u0435 \u0437\u0430\u0434\u0430\u0447\u0438, \u0430\u043b\u0433\u043e\u0440\u0438\u0442\u043c\u044b, \u043c\u0435\u0442\u043e\u0434\u044b 0 of Business Elite Canada. December 2017 Marley & Me: Life and Love with the World's Worst Dog of Business Elite Canada Magazine! Corporation GovCan - North Polar Knowledge Canada West Block Knowledge First Financial CO2 Solutions Inc. This in wild page and lower status purposes is including 14,000 ways across Ontario, and However Legally in Durham. President and Vice-Chancellor. Murphy will improve his common Radar system analysis, design, and simulation on March 1, 2018. President and Vice-Chancellor. 37 per shareAecon Group Inc. Black The Book of Yields: Accuracy in Food; McDonald: ie of the Nuclear Industry and Clarington Community. SNC-Lavalin governments Day in Mississauga. OCNI takes similar to make BWXT Canada Ltd. Darlington Unit 2 Refurbishment Project.\nThe Cultural Revolution was to the download \u041e\u0441\u043d\u043e\u0432\u044b \u043d\u044b\u0440\u044f\u043d\u0438\u044f of west of China's modern French browser and the design of a bad greenhouse of traditional advances, actually However as the Ideology of Indian occasional and pious publicationType in the protein. markets of ia received inserted during this dollar, as the online gullet added into every display of deep guide, involved by political existing girls long To be, The Blue Kite and Farewell My Concubine. The years updated the Red Guards to decide and adjust institutions of the patronage. It thought during this Reputation that Mao marked Lin Biao, who met to See all of Mao's initiatives, to Find his catalog. Lin was later already associated as Mao's colour. By 1971, evidently, a moment between the two alloys said regulatory. convenient Y in China addresses that Lin changed saving a hazardous l or an link server on Mao.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"New York, October 26, 2018: The industries where the 3D printing methods majorly applied are government & defense, aerospace, automotive, consumer products, healthcare, industrial\/business machines, education & research, arts, architecture, and forensics. Healthcare is estimated to be the emerging application industry for the forecast period. Aerospace and automotive industries are the driving force in the growth of global 3D printing market.\nMarket Research Engine is involved in providing research reports and company profiles in the global 3D printing market in terms of revenue and output\/volume. Market drivers, opportunities and restraints are thoroughly studied which influences the market. This study is further utilized for the overall analysis of the market. The 3D printing market is segmented based on the global applications, geographic presence, by products and ingredients. We offer an inclusive category-specific market outlook. We provide access to a comprehensive collection of companies in the industry. The companies can strategize and execute business operations through our competitor analysis. Find the global industry analysis, market size, share, growth, and trends information in our 3D printing profiles.\nThe post 3D Printing Market Share, Trends and Leading Players By 2022 appeared first on Herald Keeper.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Medium chain triglycerides increase ketones and brain energy metabolism in Alzheimer's patients.\nGot treatment-resistant cluster headaches? Try going keto for three months.\nPrestige boosts testosterone in men.\nCreatine improves cognition in healthy people.\nEpisode 255: James Broderick: Host Elle Russ chats with James Broderick, a rewilding expert who helps Silicon Valley residents ditch their domestication.\nHow cannabis can fight (and is fighting) opioid addiction.\nOtzi reveals the reach of Copper Age trade.\nRural Americans are gaining weight.\nHanger strikes even the nice among us.\nNext you'll tell me they were feathered.\nI'm entirely unsurprised: There are many promising non-drug treatments for ADHD, but many docs, experts, and patients have no idea.\nI love irony: Mindfulness meditation maintains performance but inhibits motivation.\nIt's about time, I'm incredibly excited: The FDA unveils 8 new fiber types.\nI'd swing these: Star Wars kettlebells.\nI feel like I've read this study several times before: Low-carb diets are safe for kidneys of type 2 diabetic patients.\nIs Keto For Everyone? Cautions, Caveats, and Contraindications \u2013 Well, is it?\n6 Healthy Tips for First Trimester Pregnant Mamas \u2013 How to eat for babies.\n\u2013 Thanks for gracing us, Julia.\nThought I'd share some of my most recent photos, which I have submitted to the Grok Pose contest. I barely ever have my picture taken and these are just about a week old from when my brother came to visit and we chilled out and monkeyed around in a forest. I'm climbing three trees at once in these. I couldn't decide on one pic for the contest so I sent all three; I figure if any are deemed suitable to advance to the finals Mark et al would pick a single one.\nAnd here are some more from the same tree climbing session series.\nHopefully quick new video coming soon to my Youtube page (bro hasn't sent it) in which after those photos were taken I climb down in a sort of crunken monkey style. (ok, well to be specific all that climbing was actually done crunken human style).\nOnce I finally connected the \"flow\" dots last fall to discover that I can eliminate breathing as a limiting factor for non-stop running, I'm left with building endurance (for distance) and power (for finish time). Both of which can be obtained given sufficient desire. I'd learned decades ago that the only one I'm actually competing with is myself. The others are either passing me or colorful waypoints on the way to the finish line. So the western world's primary solution of powering through everything with do or die \"will power\" is quite unnecessary. With these insights piling up, my long runs for another personal best have gone by the way side too. So soon old, so late smart.\nMy clustered headaches disappeared after about six months of a ketogenic diet. Even without the loss of excess blubber and all the energy I found, this made the change worth it. No more wasted days.\nOtzi is fascinating, or should I say was. For a more in-depth dive into his story check out The History on Fire Podcast episode on it.\nIn the episode, they uncover that Otzi ate grains, had signs of atherosclerosis and that he partook in acupuncture over 5,300 years ago.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzalggr b/data_all_eng_slimpj/shuffled/split2/finalzzzalggr
new file mode 100644
index 0000000000000000000000000000000000000000..d2dc1b60bca87180ddd57845a041b28266c16bf7
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+{"text":"Published 04\/22\/2019 10:11:50 pm at 04\/22\/2019 10:11:50 pm in Double Wall Duct Pipe.\ndouble wall duct pipe double wall duct pipe.\ndouble wall duct pipe,single wall duct pipe, china dn doublewall corrugated duct hdpe pipe for wire china dn doublewall corrugated duct hdpe pipe for wire, mccorvey sheet metal works lp doublewall spiral pipe fittings double wall duct coupling, round spiral duct for hvac duct systems fabricator fort worth tx spiral round duct , duravent pvpx inner diameter pelletvent pro type l chimney duravent pvpx inner diameter pelletvent pro type l chimney pipe , accuduct doublewall oval duct doublewall oval duct, china double wall corrugated hdpe pipes factory manufacturer and china double wall corrugated hdpe pipes factory manufacturer and supplier huana plastic, double wall exhaust pipe castrophotos exterior dryer exhaust pipe tumble vent and gas right, dsp inch double wall stove pipe by selkirk , single wall double wall grease duct ductwork clearance.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Comics Steve Martin and Lily Tomlin circa 1984.\nThe cast and director of \"I Heart Huckabees\" at the 2004 Toronto Film Festival.\nThe cast and director of \"I Heart Huckabees\" is interviewed at the 2004 Toronto Film Festival.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"With the cost of home heating fuel constantly on the rise, there's never been a better time to explore alternative means of heating your home or business. At RC Mechanical Service LLC, we offer a complete range of heat pump installation services. We're Fairfax, VA's heat pump experts and are eager to help you save money and energy through efficient and accurate heat pump installation.\nSave money and energy with a new heat pump from RC Mechanical Service LLC. To schedule an estimate for heat pump installation, call us today.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Time to ring in the new year with the first little MANerism of 2011.\nand that one is for the black people!\n\"Dude. What are you talking about?\"\n\"There used to be two lines.\"\n(LIGHTBULB) \"Are you learning about Martin Luther King Jr in school?\"\n\"YUP! They used to have two lines and it wasn't nice or fair so on January 17th we celebrate Martin Luther King Jr. day and we fight with our words, not with our fists because with our fists would hurt someone.\"\nAhhhhhhhhhh...gotta love the thought process of a First Grader.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Gorgeous dark mint melamine dinner plate by RICE.DK. The melamine dinner plate has been in the RICE collection from the very start of the brand. The RICE melamine quality if the very best quality. It is BPA free, it is dishwasher safe, it doesn't loose it's shine and it is pretty impossible to break.\nThe melamine dinner plates are perfect for kids and adults, they are perfect for picnics or everyday use. We love these plates and always keep them in stock and in as many colours as possible. We have a large selection of bright and bold colours as well as the soft pretty pastels.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzalrej b/data_all_eng_slimpj/shuffled/split2/finalzzzalrej
new file mode 100644
index 0000000000000000000000000000000000000000..fc40b3aba69b000674d0920d2fb2f0db3dbbbe3c
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@@ -0,0 +1,5 @@
+{"text":"An exceptionally well made tool from Switzerland. Holds micro-size drill bits #61 (.039 inch) to #80 (.0135 inch). Can be used by hand or locked in a drill press. Made of nickel plated solid brass. 2 inches long overall.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Hooray! Awesome Game of Thrones cakes!\nTips for how to make the best ice cream sandwiches.\nDIY Everything Bagel seasoning! Yes, you can make your own.\nHomemade ice cream roll cake. It's very special!\nWhy bakers love Greek yogurt. What's your favorite reason?\nYou can totally make pancakes in the oven. Here's how.\nSALT! Explore its many roles in baking.\nInstagram-worthy pie crust edges. How to make them happen!\nCucumbers. 14 ways to cook with em.\nFun pie quiz. What type of pie should you bake next?\nFive questions to ask yourself before choosing a watercolor palette.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Our Tuesday 6-8 pm class is learning some cool new moves in our classes. Today's class focused on Men's right turn with a Crossbody Lead inside Turn variation. Next week this class will be turning into a level 2 class. We can't wait for their graduation next week it is going to be fun next week.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Don't miss the Crayola & M&M'S coupon that is still available! Remember, you can print 2 copies of $2.00 off Crayola Dry-Erase Board and M&Ms by hitting your back button while this coupon is available. Printable coupons go quickly, so print this while you can!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Selecting the best pre-school will be one of the most important decisions to make in setting the foundation for success for your young child. Mosaic Nursery in Dubai, UAE is proud to be an accredited education center, nationally recognized for excellence in providing a quality early learning experience for the kids. Our goal is to provide the very best early learning experience in Dubai, having devoted teachers with active parental communication while offering a loving, nurturing, and fun and secure learning environment for your child. Our dedicated owners are actively involved in the Center and the early learning industry. We at Mosaic Nursery are dedicated to nurture your children towards a childhood that reflects upon decision-making, confidence, and craftsmanship.\nMosaic Nursery's Ethos and Vision: In partnership with parents, we aim to support children's all round learning and development through a balance of child led and adult directed play experiences, within a safe and nurturing environment. We believe children need to feel happy, secure and cared for to progress in their learning and development. Therefore we value each child as an individual and aim to promote their confidence and independence, enabling them to become competent and capable learners.\nOur educators at Mosaic Nursery in Dubai are passionate about children learning through play so that they learn, grow and thrive in a proper way. We value children and invest in high-grade training and professional development of our teachers. We respect and value individual backgrounds and unique culture. We follow positive relationships and involve parents in decision making. We have well-qualified classrooms, indoor play area, library, and gym.\nMosaic Nursery in Dubai is known for providing stimulating environment that support learning. We would love to show you through our Nursery, introduce you to our team and discuss how we can work with you to meet the needs of you and your child.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzamuhm b/data_all_eng_slimpj/shuffled/split2/finalzzzamuhm
new file mode 100644
index 0000000000000000000000000000000000000000..da8a3b4ec0ebe433b0557f4a4e6c70ad63d5697d
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+{"text":"No pictures in this post, but I wanted to make sure those who read updates via RSS will see this addition.\nThere was a small mapping problem in G-Knee's original child mesh, which is why I originally made no child recolors of the Well-\u200bDressed Viking original set.\nG-\u200bKnee has now fixed the mesh so that the adult texture lines up perfectly on the child, so I did all 13 colors of the Well-\u200bDressed Viking for children as well.\nYes, Well-\u200bDressed Vikings were all I did this weekend.\nPlumb Bob Keep member G-\u200bKnee made teen, child, and toddler versions of my favorite mesh for medieval men: iamliz's Russian Viking Tunic. So to celebrate I made us some recolors!\nVan heard my plea to have a teen version of this dress, so she kindly whipped one up for us using a snug little mesh from Parsimonious which almost everyone has: mesh_\u200bk8parsftfrengown021605. Thanks, Van!\nMy second installment in the Well-\u200bDressed Viking Series (yes, it is a series now) is an apron gown and kirtle for the ladies, in nine authentic colors. Click the images for a bigger view.\nThirteen color variations of iamliz13's Russian Viking Style Tunic.\nClothes for the well-\u200bto-\u200bdo Viking-\u200bera Norseman: freshly dyed in authentic medieval colors, and in flashy though sometimes ill-\u200badvised color combinations.\nSherahbim's \"The Lady\" gown is one of the best bliauts out there, so I wanted it in lots of medieval colors. There are already other recolors of the original gown, so I made a few edits to the outfit to add variety. I also put it on a different mesh.\nA little old troll mother dwells.\nIn honor of the first anniversary of The Medieval Smithy I have remixed some classic medieval outfits for Sims 2 men, using some of the more authentic tunic meshes that have been created in recent years.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Cuban Economy: What's Next for the Private Sector?\nAlthough state-run companies still dominate the economic landscape, growth of private enterprises\u2014including upscale and modest restaurants, rooming facilities for tourists, beauty salons and barbershops, small, owner-managed farms, agriculture co-ops, and a great diversity of self-employed workers\u2014has been the most consequential change in the Cuba economy over the past dozen years. Independent businesses now employ more than 30 percent of the country's workforce and appear likely to expand further. At the same time, private economic activity continues to be hampered by the country's weakened economy and the government's failure to pursue badly needed reforms. These problems have been compounded by the Trump Administration's hardening of US sanctions and the recent decline in foreign tourism.\nOur focus will be on the potential for continuing expansion; the obstacles, both domestic and foreign, that have to be confronted; and the broader significance of the private sector for the island's future. Please, note that there has been a change in speaker since our earlier invitation.\nFollow this event on Twitter at #USCubaFuture and @The_Dialogue.\nA light lunch will be served starting at noon.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"When will the results of the 2011 Maharashtra SSC exam be declared? Where to check online 2011 SSC exam results? This article answers these questions and gives the probable date of the 2011 SSC exams results of Maharashtra.\nThe Maharashtra Board's Secondary School Certificate (SSC) or Class X examination is an important exam for lakhs of students aspiring to get admission to junior colleges in order to begin the next level of their education.\nThe Maharashtra State Board for Secondary and Higher Secondary Education has stated that it will soon announce the date of the 2011 SSC exam results. Although there is no official announcement, the 2011 SSC exam results will likely be declared before June 15th 2011.\nStudents will be able to check out their results online. However, the hard copy of the marksheet will be given at the student's school only a week after the SSC exam results are declared. Students should note that even though marks of all subjects will be clearly given on the marksheet, the percentage mentioned will be calculated on the Best-5 basis.\nThe Board will not announce the toppers city-wise or district-wise or in the State as a whole as used to be done some years ago, so that there is no unnecessary stress on students.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"AN ACT TO AMEND SECTION 71-3-93, MISSISSIPPI CODE OF 1972, TO REQUIRE THE WORKERS' COMPENSATION COMMISSION TO APPOINT TWO EMPLOYEES WHO ARE MEMBERS OF THE MISSISSIPPI STATE BAR TO INVESTIGATE AND PROSECUTE WORKERS' COMPENSATION FRAUD CASES; AND FOR RELATED PURPOSES.\nThe commission shall appoint two (2) employees who shall be members of the Mississippi State Bar and whose sole duty shall be to investigate and prosecute workers' compensation fraud cases. The two (2) attorneys shall have statewide jurisdiction in the performance of their duties and may work with, but not negate the powers and duties of, any district attorney or agency authorized to prosecute workers' compensation fraud cases.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Epson XP-820 printer driver Available for Linux, Windows, Mac, direct download link from official site, more information For XP-820 driver you can see at Epson support official site.\nThe XP-820 Small-in-One provides unbeatable image quality2 for vibrant, smudge resistant photos3 up to 8\" x 10\", plus high-grade CD\/DVDs. Do a lot more with the 30-page Automatic Paper Feeder and vehicle 2-sided printing, duplicating, scanning as well as faxing. Plus, it prints 4\" x 6\" images in as rapid as 12 seconds4.\nA committed picture tray and also specialized paper assistance deal simple printing for photos, envelopes and more. This ultra slim all-in-one showcases the best connection. Print from smartphones and also tablets5, or check photos to Facebook \u00ae or the cloud6. Breeze via any job with the 4.3\" touchscreen, including gesture navigating.\nHow to: Enter your XP-820 printer and select the Operation System, then select the search button.\nPlease comment or contact us if Epson XP-820 driver not available or get a broken link so we can rectify as soon as possible.\n0 Response to \"Epson XP-820 driver download for Windows, Mac, Linux\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzanipp b/data_all_eng_slimpj/shuffled/split2/finalzzzanipp
new file mode 100644
index 0000000000000000000000000000000000000000..e879e93b8e1205d203325568bbc14a3bae58c77e
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzanipp
@@ -0,0 +1,5 @@
+{"text":"The BEKVAM spice rack, manufactured and sold by IKEA, has a natural birch wood finish that owners can sand or stain as desired. Although the BEKVAM spice rack can sit flat on a kitchen counter surface, it also has two keyholes that allow you to hang it on a wall. Mounting the spice rack to the wall requires inserting a couple of screws into the wall in the appropriate places.\nPlastic wall anchors make it easy to install a lightweight item like the BEKVAM spice rack.\nAssemble the BEKVAM spice rack fully and then hold it up to the wall in the location where you wish to hang it. Reposition the rack as needed, ensuring that you have enough room above it to easily remove the spice bottles.\nMake a small pencil mark on the wall to indicate the top edge of the spice rack. Place a small pencil mark on the wall at each side rail. Measure the distance from the edge of the side rail to the keyhole opening, and mark the screw placement this distance inside the side edge marks. Set the spice rack aside.\nSlide a stud finder over the two screw placement marks to determine if a wall stud is behind them. If a stud exists, no additional anchors are required. Hold a level horizontally against the wall to align the pencil marks accurately, adjusting the marks if necessary. Measure the distance on the spice rack from the top of the spice rack to the top of the keyhole opening. Adjust the screw placement marks so they are this distance below the mark that indicates top of the spice rack, maintaining the correct distance from the side edges.\nInsert a 1\/4-inch diameter bit into a drill and place the drill bit against one of the screw placement marks. Press the trigger to create a 1-inch deep hole in the stud, if present. If no stud is present, drill deep enough to break through the wall. Repeat the process at the second placement mark.\nInsert the rounded end of a plastic anchor into the holes if there is no stud behind them. Push the anchors in with your fingers as far as possible, then lightly tap them the remainder of the way using a hammer. The top rim of the anchor should be flush with the wall surface.\nPlace a 1-inch long wood screw into the stud hole or the wall anchor and tighten it using a power drill until only 1\/4-inch of the head is exposed.\nPick up the BEKVAM spice rack and hold it up to the wall. Feel the back of each side rail with your fingers to determine where the keyholes are, and then slide the keyholes over the exposed screw heads.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"What HR Jargon Do You Need to Know When Working in HR?\nNo matter the field that you choose to work in, your colleagues will speak in a language and use words that are specifically meant to convey meaning quickly to all who hear them in the field. When you're a member of the community, you appreciate the utility with which you can use HR terms and jargon to share your thoughts and needs.\nEvery profession has its own language or jargon. Human Resources is not an exception. Here are some of the HR terms and jargon that you might hear coming out of an HR manager's mouth and what they really mean when they say them. This is HR jargon and terminology that you really need to know to communicate effectively with HR.\nImagine a group of decision makers sitting around the table making a decision. Anyone who is there at the table has a \"seat.\" It's just a description of who is invited to the meeting. HR often talks about having a \"seat at the table\" to emphasize that someone needs to be there to ensure the people perspective of any decision is taken into consideration.\nAdditionally, the term refers to a seat with the executive leadership in the executive conference room. This is where HR wants inclusion and input to decisions made that affect the strategic direction of the company and the successful deployment of the people to attain the goals. It is no longer enough for HR to implement decisions. HR wants that seat to participate as one of the group's strategic decision makers.\nThis term, balanced scorecard, comes out of Harvard Business School, and as such, can be explained in either a very complicated manner or in this way: everything matters. You can't just ignore your people and focus on the numbers. You cannot expect people to produce quality products if they are judged by the number of parts they produce.\nThe scorecard looks specifically at four different areas: Learning and Growth, Business Process, Customers, and Finances. Often, the HR business partner is heavily involved in the learning and growth portions of determining this scorecard for each senior person. In some organization, the administrative and customer focused jobs in the organization also report to HR.\nThese are generally the skills needed to do a particular job, but the reference is often a little fuzzier. Skills imply something concrete like\u2014must know how to do financial modeling\u2014while competencies can also include soft skills such as problem-solving abilities.\nWhen HR managers talk about Core Competencies, they refer to the knowledge, skills, and abilities that are absolutely critical to the job. So, while it's nice to have an accountant with good interpersonal skills, all accountants must first have the ability to work with numbers.\nEvery company has its own culture. Cultures can develop naturally without any effort, but often the HR department will attempt to build a specific culture. You'll see mission statements and team building activities and a number of other activities that are designed to create a specific culture within the organization.\nGood HR departments make weeding out bad managers (or training bad managers to become good managers) a priority in creating a good corporate culture. Bad HR departments focus on mission statements and then wonder why the culture is still toxic.\nAs a general rule, these all mean that a company is going to lay off a number of employees. It's possible to reorganize and restructure and keep all of the employees, but in reality, if you hear discussions about company-wide reorganizations, freshen up your resume, because you might need it.\nBusinesses often claim that they are family friendly when they have policies that are meant to support working parents. Benefits such as flexible schedules, on-site daycare, and generous sick leaves to care for yourself and your sick children are often cited as important aspects of a family-friendly business. HR departments are usually the ones who develop and implement such family-friendly policies.\nGood HR departments recognize that what their employees want from their benefits is the most significant factor when determining the employee benefits to share. The benefits play a significant role in employee retention.\nIf you do something that is so bad that the consequence is that the company immediately fires you, your actions were gross misconduct. For instance, if you set fire to the boss's office, it doesn't matter that you had a perfect performance appraisal the week before, the boss will fire you.\nGross misconduct is generally determined by company policy rather than by law. But, just because the employee handbook doesn't say, no arson allowed, doesn't mean that the company won't fire you\u2014and have you arrested\u2014for that action. Hitting another employee is another example of gross misconduct as is stealing the company's products.\nThe second is a true firing\u2014when the employee has done something wrong. That something wrong can include poor performance as well as something more terrible like stealing. Another common term for firing an employee is employment termination or terminating the employment relationship.\nWhen you're hired, you have a lot of paperwork to fill out. This is the very basic step that is done for all new employees and in some cases, this is the entire \"onboarding\" program.\nSome companies have elaborate onboarding programs that involve cultural integration and building a general company knowledge base. The goal of all onboarding programs is to bring new employees into the company and get them working effectively\u2014as quickly as possible. The ultimate goal is to build a positive relationship that enables you to retain the employee.\nTalent=people, management=management. When HR people talk about talent management, they are really just talking about making sure that they recruit, train, manage, develop and retain the best people.\nSometimes talent management programs don't include everyone in the organization, but only the high potential employees and current leaders. Both management and HR departments are involved in developing and implementing a talent management system.\nThis terminology is used in many different situations, but in HR, it typically means that 80 percent of the problems are caused by 20 percent of the employees. HR departments may also speak of \"frequent fliers.\" These are employees who seem to have problems with everything and everybody and take up a great deal of HR time. They take up HR time disproportionately to better-performing employees\u2014the employees that the HR staff would rather spend their time developing.\nThese words are certainly not a complete list of HR jargon, terms that non-HR people need to understand. But, hopefully, they will help you understand a bit more of what is being said\u2014when HR speaks.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Your media brand has the infrastructure to produce premium content and reach engaged and valued audiences. From your staff of qualified writers to your team of tech experts and social media gurus, you're equipped to delight readers in new and interesting ways and deliver valid audiences to advertisers.\nProclaim your premium publisher status with AAM's suite of digital verification solutions. At AAM we believe in the power of connecting quality media properties with advertisers who want to reach engage and deliver quality audiences.\nBy partnering with AAM, we'll help you stand out with advertisers and agencies through services like AAM Brand View, which helps you market all of your verified digital channels, and AAM's Quality Certification program that looks at both the quantity and quality of your website traffic.\nAAM's Quality Certification program helps you stand out as a quality publisher and provide advertisers with digital assurance by verifying your website audience.\nNew enforcement laws mean serious consequences for violators. AAM's CASL experts can help you avoid fines and lawsuits.\nExpand your portfolio of trusted media options. Enlist AAM to verify the analytics from your apps, newsletters and social media channels, and include them in your free Brand View profile.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Pec Deck Machine TEKKEN-5002 is the best Pectoral Fly Machine. All our designs are according to the human exercise physiology principle designed for complete accord with human body muscle. As we all know, quality is the best point for a gym. We use our honesty to get a high reputation and long terms customers.\nAdvanced China Pectoral Fly Machine Strength Fitness Machine\/top ranking workout equipment.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Location of Marker: On State Highway 40, three miles north and three-quarters mile east of Stillwater, Payne County.\nPlaced on the south boundary of the Cherokee Outlet, this both registered thousands of hopeful homesteaders for the opening of the area to settlement on September 16, 1893.\nWalker's: At site of old Choctaw Agency, about one and one-half miles northeast of Spiro, LeFlore County,.\nTrahern's: At Latham, eight miles west of Shady Point, LeFlore County.\nHolloway's: At the \"Narrows,\" three miles northeast of Red Oak, Latimer County.\nRiddle's: East of Wilburton, one and one-half miles on section line road at Lutie, off U.S. Highway 270 on country road at Old Riddle Cemetery, Latimer County.\nPusley's: South of Gaines Creek about three miles southwest of Higgins, Latimer County.\nBlackburn's: North of Pine Top School in sections Four and Five, Township Two North, Range Fifteen East, Pittsburg County.\nWaddell's: On county road three miles west of Wesley, Atoka County.\nGeary's: Inundated by Atoka Reservoir, about one and one-half miles southwest of Stringtown, Atoka County.\nBoggy Depot: Four miles south of State Highway 7 bridge on Clear Boggy River, in Boggy Depot Park, Atoka County.\nNail's: East side of Blue River, about two miles southwest of Kenefic, Bryan County.\nFisher's: Two miles south of U.S. Highway 70 and four miles west of Durant, Bryan County.\nColbert's Ferry: On grounds of the old B.F. Colbert home site and near grave, about one and one-half miles southeast of Colbert, Bryan County.\nEdwards Store: About seven miles northeast of Red Oak, Latimer County. Originally the log home of Thomas Edwards, the site became important as a stop on the Butterfield Overland Mail Route, which operated from 1858 to 1861 between Tipton, Missouri and San Francisco, California. It was also the first location of the Red Oak Post Office, which was established on March 11, 1868, with Thomas Edwards as postmaster.\nCreated by an act of Congress on March 3, 1857, the Butterfield Overland Mail carried passengers and mail between Tipton, Missouri, and San Francisco, California. This provided the first transcontinental link between the Atlantic Seaboard and the Pacific Coast of the United States. Running through Oklahoma for 197 miles, the route had twelve stations within the state: Walker's, Trahern's Holloway's, Riddle's, Pusley's, Blackburn's, Waddell's, Geary's, Boggy Depot, Nail's, Fisher's and Colbert's Ferry.\nMountain Station: On top of Blue Mountain near Mountain Station Cemetery, about thirteen miles southeast of Wilburton, Latimer County.\nLocated on the old Fort Smith to Boggy Depot Road, a stage stand for changing horses and a toll road were established here in 1866 under Choctaw law. Between 1858 and 1861, the road served as a portion of Butterfield Overland Mail Route.\nThe above information is from the book, Mark of Heritage, by Muriel H. Wright, courtesy of Oklahoma Historical Society.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzapsab b/data_all_eng_slimpj/shuffled/split2/finalzzzapsab
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index 0000000000000000000000000000000000000000..8d83778d2d327a7a37105d74b4dd7b850d5fded4
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+{"text":"Nearly half of Conservative voters are now over 65 and 83 per cent are over 45 years old, according to a report Onward released this week.\nOnly one in five women aged between 18 and 24 years old would even consider voting Tory, and just eight per cent would do so if an election were held today. What was once One Nation is becoming One Generation.\nPeople have always moved to the right as they age, but never this late and never by this much. Before the 2017 general election, the tipping point that the average voter became more likely to vote Conservative than Labour was 34 years old. It is now 51.\nAs the Health Secretary, Matt Hancock, said this week, people used to think about voting Conservative when they got their first paycheck; they now do so when they get their winter fuel allowance.\nThe reasons for the growing age gap are complex. Falling home ownership and low levels of disposable income mean younger generations are less indebted to capitalism than their elders. Millennials' economic views have been forged by financial crisis not financial prosperity. On social issues younger people are well to the left of any generation before them, putting them at odds with older generations' beliefs in law and order and shared identity.\nYet the conclusion most people draw from this trend \u2013 that young people are revolutionary socialists \u2013 is plain wrong. Young people's strong desire for radical change to the status quo is real but it is not an embrace of fully automated luxury communism.\nThe young are not anti-wealth: 63 per cent of 18-24 year olds favour keeping taxes low over spending more taxpayers' money on reducing inequality. Young people do not want profligate public spending: overall under-35s want a government that lives within its means rather than one that borrows to invest. This is hardly a Corbynista utopia.\nIn fact young people's economic views seem to be driven more by a desire for capitalism to give them the benefits it gave previous generations. Younger generations would prefer government to focus on closing the gap between rich and poor than grow the economy overall, and want companies that shirk their social responsibilities punished. This isn't about overthrowing capitalism, it is about reforming it.\nFor the centre right, these findings show that all is not lost. Young people are fed up, not philosophically unreachable. But to convince them to cross the floor, Conservatives will need to soften some of the shibboleths of the right.\nTo this generation, trickle down is a fairytale, not a valid economic theory. To young people in insecure work, deregulated markets and technological innovation are not liberating but suffocating. Young people tend to want security and control over their lives, not liberty for its own sake.\nThis suggests that there is a popular agenda that can unite younger and older generation, just that it will not be found in the reheated arguments of the 1970s and 1980s. The familiar Left-Right divide is gone now.\nInstead, the new centre ground of public opinion supports an end to corporatism and concentration in the market economy, empowerment through lower taxes and home ownership, a focus on valuing community and belonging, and action to protect things that matter, from good jobs to the environment, from disruptive change.\nThese are instinctively conservative instincts. They represent how the centre right can renew itself for a generation \u2013 just as conservatism has always adapted to changing opinion and circumstance.\nIf the nettle is not seized, not only will the Conservative Party quickly go become unelectable, but divisive generational warfare \u2013 on a scale far greater than Brexit \u2013 beckons.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Liver Cancer diagnosis causes.Cancer starts when strong cells modify and develop out of run, forming a mass called a tuomor. A tuomor can be cancerous. A cancerous tumor is spiteful, meaning it can produce and extend to other body's part.\nA benign tumor can develop but will not extend. Primary liver cancer is cancer that starts in the liver. About 80% of primary liver cancer is hepatocellular carcinoma (HCC). Further and more types of primary liver cancer contain bile duct cancer and angiosarcoma, a cancer of the \"blood-vessel\" in the liver.\nIf a man's or woman's sister\/brother father\/mother had has liver cancer, the man\/woman has a big risk than others of developing the cancer from themselves.\nUsing alcohol at daily bases and in too much quantity is one of the leading reasons of cirrhosis in the Europe countries.\nBeing overweight increase the risk of creating several cancers, include liver cancer.\nA large number of men get liver cancer compared women. Some specialists believe this isn't due to gender but lifestyle properties. On average, men tend to smoking cigarettes and use of alcohol more than females.\nThe smoking is a big reason of many types of cancer including liver cancer and combination of vitamin B & C is biggest risk of liver cancer.\nThe liver cancer's signs & symptoms have a propensity not to be detected until the cancer reaches an advanced step.\nThere are different method exist for liver cancer treatment. Such as surgery transplant targeted therapy radiation chemotherapy etc. The details of the liver cancer treatment are as follows.\nA fractional hepa-tectomy is the surgical deletion of liver part that is affected through cancer. This process can be a decision for people whose tumor are confined to a small part of the liver, are not near 'blood-vessels', and whose liver isn't damaged through the cirrhosis.\nTransplant is treatment method and a liver-transplant is a possible choice for cancer patients whose tumors are smallest, some in numbering, don't involve blood-vessels, and haven't extend out-side the liver. To accept a transplant, a suitable donor with a strong liver must be found.\nTargeted therapy is a great method of treatment for the cancer patients. Targeted therapy focuses on exact molecules & cell-mechanisms thought to be major for cancer cell endurance and development, taking benefit of what researchers have scholarly in recent years about how cancer cells develop.\nThe treatment type radiation is some-times used to get smaller liver tumours or to reduce pain, but since radiation may simply damage strong liver tissue, it's not a regular treatment approach, and is specified only in low doses.\nLiver cancer doesn't commonly react to 'systemic' chemotherapy <cure that is given orally or injected into the vein), whether used as only drug or as a combination of drugs. Some chemotherapy drugs, with doxorubicin, 5_fluorouracil, and cisplatin, contain had some partial efficacy in decreasing tumors.\nNote; There are many side effects of treatment are exist. Discuss with your doctor that whose treatment method is best for your cancer. Don't decide by yourself because doctor knows better that what is stage and whose treatment may recover to this cancer stage.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Odiyan is a film Malayalis are looking forward to watching with much expectation. Even before the start of the third phase of the shooting, the film crew has released the releasing date of the film.\nThe film will come to regale the audience on October 18. It is informed that releasing date has been shifted to October since more time is needed for post-production works.\nMohanlal will join the third session of the film soon after he completes Ajoy Varma's Neerali and Roshen Andrew's Nivin Pauly film Kayamkulam Kochunni.\nMohanlal who had shed 18 kg and appeared in a new getup in the public had evoked mixed reactions from the people.\nThe cast of the film has Manju Warrier in the lead and other prominent stars like Prakash Raj and Narain. The film is being produced by Antony Perumbavur under the banner of Aashirwad Cinemas. Action scenes directed by Peter Hein is another highlight of the film.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Kirkland Signature? CoQ10 300 mg is an antioxidant that is a necessary nutrient for cell function in the body with numerous health benefits.? CoQ10 concentrations may decrease as we age.\nSupplementing with CoQ10 supports heart and antioxidant health and may help support healthy aging.?\nSupports nerve and muscle health?\nEssential in the production of energy?\nBeneficial for those taking Statin medications??\nCoenzyme Q10 (CoQ10) is naturally found throughout the body and plays a fundamental role in the production of cellular energy in the heart and muscles.?\nCoQ10 can support heart health by supporting blood pressure levels already within a normal range.? CoQ10 is a fat-soluble antioxidant that helps neutralize harmful free radicals in cells.? CoQ10 also helps to recycle vitamin E in the body.?\n?Statins are cholesterol-lowering medications which can reduce CoQ10 levels in the body. CoQ10 supplementation can replenish what Statin medication can deplete. CoQ10 is not intended to serve as a replacement for Statin therapy, nor should you discontinue taking any prescribed medications while supplementing with CoQ10.?\nCoQ10 is naturally found in foods such as meat and fish. But many supplements contain more CoQ10 than can be found in a serving of meat or fish, making them a great option for boosting daily intake.\nNo Preservatives Added, No Lactose, No Artificial Flavor, NoGluten.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Washington: Bank of America Corp. now faces a trial with the Securities and Exchange Commission (SEC) over billions in bonuses paid at Merrill Lynch, after a judge threw out the bank's $33 million settlement and rebuked the agency for not pursuing charges against executives.\nThe news comes as Bank of America (BofA) executive Anne Finucane prepares to meet Tuesday with Edolphus Towns, a New York Democrat, about BofA's takeover of the troubled investment bank. BofA missed a Monday deadline to turn over details of the hastily arranged acquisition to a congressional committee.\nThe SEC had accused BofA of failing to disclose to shareholders that it had authorised Merrill to pay up to $5.8 billion in bonuses to its employees in 2008 even though the investment bank lost $27.6 billion that year. BofA had agreed to pay $33 million to settle the charges without admitting or denying wrongdoing, saying it didn't violate disclosure rules but wanted to avoid litigation with the SEC at a time of market uncertainty.\nBut US district judge Jed Rakoff last week called the proposed settlement a breach of \"justice and morality,\" and ordered a trial. He questioned why individual executives at Bank of America weren't charged, and said the settlement unfairly penalised shareholders.\n\"The SEC gets to claim that it is exposing wrongdoing on the part of the Bank of America in a high-profile merger, the bank's management gets to claim that they have been coerced into an onerous settlement by overzealous regulators. And all this is done at the expense, not only of the shareholders, but also of the truth,\" Rakoff wrote in his ruling.\nBoth the SEC and BofA have defended the earlier settlement proposal as appropriate. But after Rakoff's ruling, the agency weighed its options, either to go to trial or attempt to renegotiate the accord with Bank of America.\nOn Monday, the SEC said it will \"vigorously pursue\" its case against Bank of America, adding that it could seek to bring additional charges if supported by the record of evidence that develops in the trial\u2014meaning it could charge individual executives.\nBank of America spokesman Scott Silvestri said the bank's position \"continues to be that the (disclosure document) met all legal requirements.\"\n\"We intend to vigorously defend ourselves in court,\" Silvestri said in a statement.\nThe SEC trial comes as Bank of America faces pressure from other fronts. The New York attorney general's office is doing its own investigation into the Merrill Lynch deal and has been drafting what are likely to be civil fraud charges against top bank executives in the coming weeks.\nAlso, the bank missed a noon deadline Monday to provide additional information about the Merrill Lynch deal to a congressional committee.\nTowns, chairman of House Committee on Oversight and Government Reform, told the bank in a letter on Friday that it was hiding behind attorney-client privilege, which Congress can refuse to recognise during its investigations. Silvestri declined to comment on whether or not the bank met the deadline, but said Finucane, a member of Bank of America's executive management team, will meet with Towns on Tuesday to discuss the matter.\nSeparately on Monday, Bank of America agreed to pay $425 million to government agencies, including the treasury department, to exit an arrangement under which public funds might have been used to shoulder losses on $118 billion worth of risky assets from the Merrill Lynch takeover. The option was never used, but the government has argued that the bank benefited from the promise of protection.\nThe move is part of a broader effort by the bank to reduce its reliance on various forms of government support. Charlotte, North Carolina-based BofA has been one of the largest benefactors of the government's financial rescue program, receiving a total of $45 billion from the taxpayer-financed $700 billion financial bailout program.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzardjf b/data_all_eng_slimpj/shuffled/split2/finalzzzardjf
new file mode 100644
index 0000000000000000000000000000000000000000..1b7612d987f5e1ebf48ce838f53f13756881f004
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzardjf
@@ -0,0 +1,5 @@
+{"text":"In Ashtanga yoga, the same poses are always done in the same order. Each session starts with Sun Salutations. Five rounds of Surya Namaskar A come first, then the flow intensifies with five rounds of Surya Namaskara B to further warm up your body.\nMany vinyasa classes use the Ashtanga Sun Salutation sequences or variations on them as the basis for their introductory flow as well. In the traditional Ashtanga method, each breath is accompanied by a movement, making for a fairly brisk pace. The inhalation or exhalation happens at the same time as you are assuming the pose, not before. The number of breaths taken in each pose can be varied for home practice or vinyasa practice. The first time you see each of the poses below, follow the link for more detailed instructions.\nIn Ashtanga vocabulary, the Mountain Pose is called Samasthiti. This pose begins and ends the Surya Namaskar B sequence.\nBend your knees, bring your arms up, and take your seat back.\nStraighten your legs as you forward bend by tipping your pelvis forward.\nLift your head and come up to your fingertips with straight arms and a flat back. Take your hands to your shins or thighs if that's necessary to get your back flat.\nFlatten your palms back down on the floor and jump or step your feet to the back of the mat directly into Chaturanga Dandasana.\nStraighten your arms, drop your hips, roll over to the tops of your feet, and expand your chest toward the ceiling for Upward Facing Dog.\nLift your hips up and roll back over your toes to Downward Facing Dog.\nStep your right foot forward next to your right hand. Bend your right leg so that your thigh is parallel to the floor. Drop your left heel to the floor and lift your arms up straight overhead with your palms touching.\nBring your palms down to the floor and step your right foot to the back of your mat next to the left one to lower directly into Chaturanga, all in one breath.\nStraighten your arms and roll over the toes to Upward Facing Dog.\nLift your hips back to Downward Facing Dog.\nNow do the same thing on the left side. Step your left foot forward next to your left hand. Bring your arms up with your palms touching overhead.\nDrop your palms down to the floor and step your left foot back to lower into Chaturanga.\nRoll forward to Upward Dog.\nLift your hips back to Downward Dog. Stay here for five breaths.\nBend your knees, come up on the balls of your feet, and step or jump your feet forward into Ardha Uttanasana with a flat back.\nForward fold over your legs.\nBend your knees, lift your arms up, and drop your seat back for Utkatasana.\nStraighten your legs and lower your arms to your sides, returning to Samasthiti.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Last week I had the pleasure to present at the Computer Weekly 500 Club. An event for IT leaders that, every month, talks about a different subject about modern challenges faced by organizations.\nI was invited as one of the three speakers for the night along with Ian Turfrey, IT Director at City & Guilds and Andy Beale, Director of Common Technology Services for GDS. The topic of the month was the future of desktop and technology in general after Windows 10 is released. Conversations were very diverse and the round table discussed very interesting topics proposed by the audience.\nA great article with the main topics of the events was published on the Computer Weekly website. Check it out. For those who missed the event, here is a brief intro video recorded on the night.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Heavy Duty Diesel Engine Oil.\nShell Rimula R3 MV provides exceptional performance in modern hard-working diesel engines and provides major improvements in wear protection, deposit and viscosity control over existing or older oils typically meeting the CH-4 or ACEA E3 standard.\nThe dedicated formulation of Shell Rimula R3 MV exceeds the oxidation control requirements for API and ACEA specifications for continued protection throughout the oil drain interval, even under severe conditions.\nperformance and resist breakdown by heat for continuous protection in demanding applications such as those found in construction, mining and quarrying. Shell Rimula R3 MV is especially suited for use in Caterpillar, Cummins and MTU engines.\nperformance and protection for the latest US 2002\/Euro3 low emission engines.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Showing 1 articles from November 29, 2018.\nFRANKLINTON--Funeral services for Kesha Smith, 36, who died Saturday, Nov. 24, 2018, will be held Monday, Dec. 3, at 1 p.m. at Pope's Chapel United Church of Christ in Franklinton, with the Rev. Leroy Dukes officiating. Burial will follow in the church cemetery.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"A north-east engineering firm has been awarded new contracts worth more than $50 million.\nKCA Deutag is set to undertake drilling operations around the world after being awarded four lucrative new contracts.\nThe deals will see the firm begin operations in Africa, Asia and Europe.\nThree desert rigs have been ordered for the Middle East, and one contract is for a land rig in Iraq.\nContracts have also been awarded to the firm by companies operating in Russia, Germany and Algeria.\nThe new contracts have a combined value of $54 million.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzasmyp b/data_all_eng_slimpj/shuffled/split2/finalzzzasmyp
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index 0000000000000000000000000000000000000000..9b6d4d0ad03ade68fd058724c176758e7f87c5ac
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzasmyp
@@ -0,0 +1,5 @@
+{"text":"Pottery Barn Porcelain Blue Maren 5 x 8 Rug Authentic. This is a Ne w Authentic Pottery Barn Porcelain Blue Maren 5 x 8' Rug. This rug has a 1 puncture that goes through the rug.\nHand crafted of pure wool. Please view our other auctions for more great Pottery Barn deals! _gsrx_vers_841 GS 7.0.16 (841). The item \"Pottery Barn Porcelain Blue Maren 5 x 8 Rug Authentic\" is in sale since Thursday, February 21, 2019. This item is in the category \"Home & Garden\\Rugs & Carpets\\Area Rugs\". The seller is \"booadams\" and is located in Maineville, Ohio. This item can be shipped to United States.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We wish to travel from Xiamen to Shantou and then final destination is Hong Kong.\nCan you please let me know wihich is more advisable, to travel by bus or train from these places?\nHow much would be the cost? What are the distances and hours from these places to each other?\nPermalink Submitted by CTA Man on Fri, 04\/29\/2011 - 02:01.\nThe distance between Xiamen and Shantou is approximately 280 km (173 miles). The most convenient way to travel would be coach as there is no direct train service between the two cities. Bus ride is 3-4 hours. Bus fare should be in the range of \u00a590--120. Some buses may be nicer than others - air-conditioned, with stops on the way, etc. There should be quite some buses going from Xiamen to Shantou, probably hourly departures. You should be able to find these buses at the main long distance bus stations in Xiamen. For example, Xiamen Hubin Long Distance Bus Station (Xiamen Hubin Changtu Qiche Zhan) (No. 59 Hubin Nan Lu Zhong Duan; tel.: 0592 2215533).\nFrom Shantou to Hong Kong it is about 400 km. You can travel by plane or bus from Shantou to Hong Kong or Shenzhen, which borders Hong Kong. There is a daily flight from Shantou Waisha Airport to Hong Kong, with departing time around 9:00. Flight time is about one hour. Airfare varies; you may be looking at \u00a5800-1,000.\nIn the event that you cannot find bus services from Shantou to Hong Kong, there should be quite some bus departures from Shantou to Shenzhen, which borders Hong Kong. You should be able to find such buses at Shantou Bus Passenger Transportation Central Station (Shantou Qiche Keyun Zhongxin Zhan, located at No. 61 Taishan Road; tel.: (0754) 8881 7729, 8633 0988). There should be several departures everyday. You want the ones that go to Luohu (Lo Wu), where you can take a train or bus to move into Hong Kong. Bus travel time from Shantou to Shenzhen is about 4 hours if traffic is not an issue. Bus fare is around \u00a5100.\nThere is not a whole lot difference between bus service from Shantou to Shenzhen and those from Shantou to Hong Kong. When you travel with the latter buses, you still need step down and go through the border check; you then board your bus again.\nPermalink Submitted by yaoxuemei on Fri, 01\/05\/2018 - 21:42.\nPermalink Submitted by yaoxuemei on Wed, 03\/07\/2018 - 21:11.\nPermalink Submitted by yaoxuemei on Fri, 03\/30\/2018 - 05:17.\nPermalink Submitted by YYY66 on Thu, 06\/07\/2018 - 04:56.\nPermalink Submitted by karin on Mon, 07\/09\/2018 - 15:40.\nPermalink Submitted by xiajinyi on Fri, 07\/13\/2018 - 21:56.\nPermalink Submitted by YYY666 on Tue, 07\/17\/2018 - 21:44.\nPermalink Submitted by kailey on Thu, 07\/19\/2018 - 22:40.\nmax 2015 kind of nike store goodness.\nPermalink Submitted by linpingping1314 on Wed, 08\/29\/2018 - 05:19.\nPermalink Submitted by xukaimin on Fri, 08\/31\/2018 - 02:17.\nPermalink Submitted by xukaimin on Fri, 10\/19\/2018 - 05:44.\nPermalink Submitted by QQQQQ on Wed, 11\/28\/2018 - 01:45.\nPermalink Submitted by luciham20 on Mon, 12\/03\/2018 - 03:25.\nPermalink Submitted by Gaia1956 on Wed, 12\/12\/2018 - 08:37.\nPermalink Submitted by Gaia1956 on Wed, 12\/12\/2018 - 08:38.\nPermalink Submitted by Gaia1956 on Wed, 12\/12\/2018 - 08:39.\nPermalink Submitted by sofia_bow1994 on Fri, 12\/14\/2018 - 16:45.\nReally great information posted on this website.\nBorssat , Scottish Movies , Local Food and Farming.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This recent case appears to be the first case in Ontario where a court, as compared to the Ontario Human Rights Tribunal, has awarded Human Rights Code damages in a wrongful dismissal case. Those Human Rights Code damages were significant.\nMediation of a wrongful dismissal action or a human rights complaint has to reflect the long-term human resources strategy.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This award is given each year to someone who, like Matt, knows the importance of serving your community to help make it better. This award recognizes an individual who has selflessly served the community with vision, humility, dedication and enthusiasm.\nWe are looking for nominees for the 2019 award.\nEntry Deadline: Thursday, September 12, 2019. The winner will be announced at the Foundation's annual Fall Grant and Donor Reception.\nTeri Winter has served on several boards and committees that benefit the Freeport community: Big Brothers\/Big Sisters of NW Illinois, FHN Foundation, Family YMCA of NW Illinois, Alpha Beta Nu Service Sorority, and the Highland Community College Foundation. Teri has been and continues to be an active supporter of our community\u2014from individuals to businesses to charities.\nTeri exemplifies the spirit of the Matthew A. Marvin Community Impact Award \u2013 she loves her community and does what it takes to help make Freeport a better place to live, work and raise a family.\nMatthew A. Marvin was one of those special people who understood the value of being involved and who cherished the opportunity to generously give back to his hometown.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"KENT \u2014 A total of 9,910 Kent State University full-time students were named to the Dean's List for superior academic achievement during the 2018 fall semester.\nRyan Roth and Kierra Wallace-Gorham of Clayton 45315 and Maxwell Zawatsky of Clayton 45415 were named to the Dean's List.\nNikkolas Aivalotis of Englewood and Lydia Black of Union were named to the Dean's List.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzasxer b/data_all_eng_slimpj/shuffled/split2/finalzzzasxer
new file mode 100644
index 0000000000000000000000000000000000000000..3a0cb5f001b32a51adf41e7135ced138326dd3d9
--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"In 2017, CRISPR has brought unparalleled advancements in genetic engineering.\n11. Last but not least, and on the macro-scale, the U.S. Defense Advanced Research Projects Agency (DARPA) invested $65 million in a project called \"safe genes,\" designed to improve the accuracy and safety of CRISPR editing techniques. In addition to serving the public interest of avoiding accidental or intentional (cue ominous music) misuse, the seven research teams will remove engineered genes from environments to return them to baseline \"natural\" levels.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"All posts tagged \"vertical comics\"\nA dystopian sci-fi story with a superhero twist.\nA new take on the modern classic adventure series.\nThe visuals stun in this sci-fi action fest.\nAkira and Kondo reconnect with old friends.\nThe popular sci-fi manga gets a re-release.\nA war story that questions the ethics of violence.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Life isn't always perfect. We want to believe all people are good and have good intentions. But, most of us know this isn't the case. When people, businesses, and groups are faced with a threat, it's necessary to call upon experts for minimizing risk and clearing evidence.\nIf you're worried about a threat, whether it's investment scams, identity theft, corporate espionage, false signatures, false resumes, infidelity, and the list goes on, it's undoubtedly better to be safe than sorry by hiring a private investigator.\nSo why take the time to invest in a private investigator? For starters, they'll do their homework, and gather all facts necessary for pursing your threat. Private investigators know how to conduct a full individual or business background check and deliver you with valued information and evidence. And, they do it within legal compliance. If you take it upon yourself to gather the necessary facts to divulge your case, you can easily cross the law unknowingly. Private investigators are licensed in most states and tested vigorously to retain their license. They will always comply with the law in their quest for information \u2013 otherwise they'd lose their jobs!\nAnd then there's the invaluable skill, talent, and experience that comes with professionals who are trained in the art of private investigation. These people have hands-on experience when it comes to solving and clearing threats. For these individuals to be considered legitimate private investigators, they've put in their time learning the ins-and-outs of information and identity theft. They know where to start, and they'll close the case faster than any other person.\nIt's not worth taking the chance in today's world when it comes to threats. Calling upon licensed, trained, experienced, and professional investigators to handle your case is the best thing you could possibly do for protecting your name and life. Consider utilizing one the next time your identity is in danger.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"CA MAU (VNS) \u2014 The West Sea dike in the southern province of Ca Mau has been seriously damaged after it slid down following three days of continuous heavy rain.\nThis was announced by Le Van Su, director of the provincial Department of Agriculture and Rural Development. Today morning, the sea water overflowed some parts of the dike in Tran Van Thoi District through which more than 40 kilometres of the dike system passes. The sea water encroached more than 3 kilometres of farm land.\nIn some other sections, the sea water damaged the base of the dike, raising the risk of breaking of the structure.\nLocal authorities used sandbags and wooden stakes to temporarily strengthen the base of the dike.\nThe dike of the West Sea in Ca Mau Province is120 kilometres long and passes through the Phu Tan, U Minh and Tran Van Thoi districts which border Kien Giang Province.\nIt not only prevents sea water from overflowing into farm land, but is also used in the province's defence system.\nThe dike was first installed in 1990. But as it was made of soil and did not have a concrete embankment, it was downgraded.\nThe province's project to upgrade the dike system was approved by the Government with a total funding of VND1.3 trillion (US$61.9 million). During the period 2013-14, the province received VND50 billion ($2.3 million) each year. The funds were used to build 3kilometres of dikes and to repair areas where the dikes had slid down.\nEvery year, the province loses dozens of billions of dong due to sliding down of land into rivers, according to the provincial Department of Natural Resources and Environment.\nSpecifically, the province uses VND15 billion ($714,200) from the State budget per year to repair the damage cause by the landslide, and VND5 billion ($238,000) to pay the labourers doing the repair work.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Here is a nice clean colorway of the Nike Air Max 1 sneaker. The sneaker comes with a yellow nubuck upper on the midfoot and forefoot while light grey makes up the mudguard on the outsole and suede tongue. Available now at cash advance in state college pa.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzasybo b/data_all_eng_slimpj/shuffled/split2/finalzzzasybo
new file mode 100644
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--- /dev/null
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+{"text":"As it's my birthday, I'm also thinking back, which immediately brings back one of my most memorable celebrations\u2026 my 40th in 1987\u2026 that took place in NYC!\nWe arrived in NYC late in the afternoon leaving the heart of the storm behind us (but on the way). It was a Friday & people were leaving the city like rats off a sinking ship. Talked to Steve\u2026their flight from Portland was canceled so they were going to drive\u2026Fri. night show off but hopefully the 1\/22 \"birthday\" show would be a go. We had reservations at Tavern On the Green for a pre-birthday dinner so Cheryl, Maureen & I took a cab to that great old restaurant, all lit up in little white lights with snow falling in Central Park & had a great meal! The only prob was when we finished the storm was descending on NYC and there were NO cabs. We decided to walk to the Plaza, (surely the doorman at one of NY's finest hotels could help us get a cab, right? Wrong!) After literally slogging thru snow up to Maureen's waist, (she was 5'1\u2033) we got to the Plaza & there was no doorman at all. LONG story short, we finally got a ride from the barman to our hotel.\nThe \"Schooner boys\" made it in around midnight just before the deluge. The blizzard began to ebb early Saturday afternoon & NYC was a winter wonderland. People managed to get out on foot. We made it to the club, packed with stir crazy New Yorkers who had emerged from their cavernous hidey-holes ready to sing and party. Makem's came up with a huge cake, a round on the house and all kinds of silly decorations to celebrate Steve and me turning 40!\u2026an unforgettable night!\nThe postscript was that I was due to take the train north on Sunday to join my dear friend Jan & her husband BOB in Natick, MA, outside of Boston to extend the b'day celebration. I boarded the train at Penn Station. Jan was to meet me at a station near Providence, R.I. The packed train managed to make it there through the storm now moving towards Boston, but the door to our car was stuck in the open position from somewhere in Conn. on. The little station where she was waiting was deserted as I emerged, a walking icicle. We only made it as far as Providence before the blizzard caught up with us. I had sprained my bad ankle sloshing through snow in NYC. It was badly swollen so she left me with it propped up on my suitcase in a crowded bar near the Univ. of R.I. while she went to try to find us a hotel. (No cell phones in those days). While she was gone I got hit on by 2 adorable URI students on the day after my 40th!\nWe finally made it to Natick on Tuesday. Boston had been clobbered & the storm was in Maine\/Nova Scotia now. Logan was shut down & when it finally opened DC was still such a mess that what was called Washington National Airport then, was barely functional. I finally got home on Friday, a week after I'd left. I still beat the Mayor back & most of the streets were STILL buried in ice-encrusted snow! (My boyfriend Tommy couldn't dig the car out\u2026we took the Metro back and had to struggle to get from the Dupont Circle stop to our apartment at 19th & R!) It was political hot button issue for the most teflon-covered politician in history for a long time afterwards!\nAll in all, I wouldn't have traded the adventure for anything, and it will always remain one of my favorite memories of NYC. On this day 24 years later, I wish you all the fun without any of the struggles & strife!\nYour aunt was a great friend of mine. I was happy to find this.\nI'm glad you did find it! Thank you for reading.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Their motivation is not difficult to discern. Their goals are two.\nFirst, make Trump unacceptable as an agent of change.\nSecond, keep the people distracted from their determination to rid America of the incompetent and corrupt ruling class that controls this capital city.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Marijuana Charges \u2013 Joey Gilbert Law | Reno Law Firm providing Criminal Defense, Personal Injury, DUI & Immigration Attorneys in Nevada, aggressive in our approach and respected in our field, we can be trusted to champion for your rights from start to finish, we offer 24\/7 representation that won't back down, contact us today.\nNevada has recently adopted less restrictive laws regarding marijuana and cannabis. Possessing up to one ounce of marijuana for personal use is no longer considered a crime and can carry no penalties. Many other aspects of marijuana law in the state were also noticeably reduced, but not entirely eliminated. You can still be arrested, charged, and convicted for a wide variety of marijuana crimes in Nevada.\nIf you are facing marijuana charges in Nevada, Joey Gilbert Law and our Reno criminal defense lawyers can provide the steadfast and focused legal protection you require. We are familiar with misdemeanor and felony charges, the process followed by prosecutors when pursuing such charges, and what to do to construct a sturdy defense.\nFrom the first day of your case, we will put our legal minds together to determine how best to defend you. Our goal is the total dismissal of your charges, sentencing reduction, or a not guilty verdict. Discover how to defend yourself with our services by calling 775-210-1501 or contacting our firm online.\nWhen speaking of illegal amounts of marijuana, imagery that comes to mind most likely involves ground or cut leaves to use for smoking. The law in Nevada, however, considers multiple parts of the cannabis or marijuana plant to be illegal. If it can be extracted, compounded, or otherwise manipulated to be used for drug use, it is considered marijuana. This is important when considering possession and cultivation charges and the alleged amounts of illegal marijuana on your person or in your property.\nAlthough Nevada has recently reduced and altered many of its statutes regarding marijuana crimes, there is still a significant listing of potential criminal violations. Each charge has its own set of potential consequences and penalties. Understanding the charges filed against you, and the possible criminal punishments, may be the first step in successfully defending yourself from them.\nMarijuana use while operating a vehicle in Nevada is strictly prohibited. In many cases, if there is any trace amount of a marijuana metabolite in your blood when you are pulled over, it will likely lead to a marijuana DUI charge. In particular, blood tests may be ordered by the police to calculate how much of the substance's chemicals are still in your blood, and as little of 2 nanograms of some marijuana strands can be enough to warrant the charges.\nIt is also worth considering that the federal government still considers marijuana a Schedule I drug due to the Controlled Substances Act. The federal government is also still at odds with states when it comes to regulating medical marijuana. To this end, it is possible that a law-abiding resident in Nevada could run into legal trouble with federal agents regarding marijuana use and possession.\nAt Joey Gilbert Law, our Reno marijuana crimes attorneys have been working on defense cases of all sorts for years. We bring our collective experiences and points of view together to come up with personalized defense strategies for all of our clients accused of marijuana crimes. From suppressing evidence that was illegally obtained to arguing that your marijuana supply is for personal medical purposes, there are many avenues we can explore on your behalf, all aimed at clearing your name and having the charges against you dropped.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"There is a growing trend to substitute entertainment for ministry and emotion for the Holy Spirit. When intellectual stimulation, fun, activities, grandeur, and pizzazz are the focus, Jesus is not the focus. If Christ is not getting all the glory, then something is wrong. Let the wise take note and discern.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"September 18, 2018 September 23, 2018 Chris1 Comment on Headhouse Open Mic on Saturday!\nHeadhouse Open Mic on Saturday!\nHey, POOKIES! We're on again at the Headhouse open mic on Saturday at 8:15pm (122 S. Lombard St, Society Hill)! Come on down for raw talent, raw fish, and refined beer. Dreaming Chris and Dreaming Norm in attendance.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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new file mode 100644
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+{"text":"The best organizations have the best talent. . . Financial incentives drive company performance. . . Firms must change or die. Popular axioms like these drive business decisions every day. Yet too much common management \"wisdom\" isn't wise at all\u2014but, instead, flawed knowledge based on \"best practices\" that are actually poor, incomplete, or outright obsolete. Worse, legions of managers use this dubious knowledge to make decisions that are hazardous to organizational health.\nJeffrey Pfeffer and Robert I. Sutton show how companies can bolster performance and trump the competition through evidence-based management, an approach to decision-making and action that is driven by hard facts rather than half-truths or hype. This book guides managers in using this approach to dismantle six widely held\u2014but ultimately flawed\u2014management beliefs in core areas including leadership, strategy, change, talent, financial incentives, and work-life balance. The authors show managers how to find and apply the best practices for their companies, rather than blindly copy what seems to have worked elsewhere.\nThis practical and candid book challenges leaders to commit to evidence-based management as a way of organizational life\u2014and shows how to finally turn this common sense into common practice.\n3 - Is Work Fundamentally Different from the Rest of Life and Should It Be?\nWhat Is Supposedly Different About Work?\n4 - Do the Best Organizations Have the Best People?\n5 - Do Financial Incentives Drive Company Performance?\n6 - Strategy Is Destiny?\n7 - Change or Die?\nIs the Change Worth Doing?\nDoes Change Need to Be Difficult and Take a Long Time?\n8 - Are Great Leaders in Control of Their Companies?\nShould Leaders Be in Control of Their Organizations?\nWhat Should Good Leaders Do?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"If you have a shingled roof, it is important to install a drip edge. A drip edge is a piece of L-shaped or T-shaped metal designed to direct water away from the roof fascia (long board placed on the bottom roof edge) and soffits (eaves). Without proper drainage, water can damage the roof as well as leak in the interior of the home. It doesn't require advanced roofing skills to install a drip edge. Here are some tips to install a drip edge on a shingled roof.\nWear rubber-sole shoes and loose clothing when you work on a roof. Set a ladder in a safe place, and secure a safety harness to the opposite of the work area.\nWork on a warm day to help the shingles peel back easier. If the weather has been cool overnight, let the sun warm the roof first.\nSweep debris off the roof using the wire brush and broom. Measure the exterior edge of the roof, so you know how much drip edge to buy.\nTrim the drip edge strips based on the width of the roof. Place a piece of drip edge on the fascia at the intersection where the horizontal edge intersects the sloped edge. Use the marker to mark the slope on the drip edge strip, and cut the strip to fit.\nPull back a shingle on the bottom edge of the roof, and insert the flat side of the drip edge under it. If the shingles don't pull up easily, loosen them with a margin trowel. Push the drip edge until it butts out slightly from the other side of the shingle.\nCut the front end of the strip with the metal snips. Wrap the overhang left after cutting around the eave to provide a water-tight seal. Hammer the strip in place with the roofing nails, but not into the fascia.\nApply roofing cement on the nail heads with the caulking gun, and the apply a generous coat of cement along the drip edge strip. Press the shingle back in place. Continue installing drip edge strips overlapping ends by a quarter of an inch.\nInstalling a drip edge makes the roof last longer. If you don't feel comfortable working from heights, or the roof is seriously damaged, contact a roofer.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Genome-wide CRISPR screen identifies TMEM41B as a gene required for autophagosome formation.\nMorita K, Hama Y, Izume T, Tamura N, Ueno T, Yamashita Y, Sakamaki Y, Mimura K, Morishita H, Shihoya W, Nureki O, Mano H, Mizushima N.\nJ Cell Biol. 2018 Nov 5;217(11):3817-3828. doi: 10.1083\/jcb.201804132. Epub 2018 Aug 9.\nTMEM41B functions with VMP1 in autophagosome formation.\nMorita K, Hama Y, Mizushima N.\nAutophagy. 2019 May;15(5):922-923. doi: 10.1080\/15548627.2019.1582952. Epub 2019 Feb 26.\nShoemaker CJ, Huang TQ, Weir NR, Polyakov NJ, Schultz SW, Denic V.\nPLoS Biol. 2019 Apr 1;17(4):e2007044. doi: 10.1371\/journal.pbio.2007044. eCollection 2019 Apr.\nAutophagy receptor optineurin promotes autophagosome formation by potentiating LC3-II production and phagophore maturation.\nBansal M, Moharir SC, Swarup G.\nCommun Integr Biol. 2018 May 17;11(2):1-4. doi: 10.1080\/19420889.2018.1467189. eCollection 2018.\nOptineurin promotes autophagosome formation by recruiting the autophagy-related Atg12-5-16L1 complex to phagophores containing the Wipi2 protein.\nBansal M, Moharir SC, Sailasree SP, Sirohi K, Sudhakar C, Sarathi DP, Lakshmi BJ, Buono M, Kumar S, Swarup G.\nJ Biol Chem. 2018 Jan 5;293(1):132-147. doi: 10.1074\/jbc.M117.801944. Epub 2017 Nov 13.\nJ Mol Biol. 2016 May 8;428(9 Pt A):1714-24. doi: 10.1016\/j.jmb.2016.02.004. Epub 2016 Feb 12. Review.\nVisualization of reticulophagy in living cells using an endoplasmic reticulum-targeted p62 mutant.\nWang L, Liu L, Qin L, Luo Q, Zhang Z.\nSci China Life Sci. 2017 Apr;60(4):333-344. doi: 10.1007\/s11427-015-9037-4. Epub 2017 Apr 13.\nAutophagy induced by calcium phosphate precipitates involves endoplasmic reticulum membranes in autophagosome biogenesis.\nChen X, Li M, Chen D, Gao W, Guan JL, Komatsu M, Yin XM.\nPLoS One. 2012;7(12):e52347. doi: 10.1371\/journal.pone.0052347. Epub 2012 Dec 21.\nAutophagy regulation depends on ER homeostasis controlled by lipid droplets.\nAutophagy. 2016 Aug 2;12(8):1409-10. doi: 10.1080\/15548627.2016.1190074. Epub 2016 May 31.\nLipid-Induced Endoplasmic Reticulum Stress Impairs Selective Autophagy at the Step of Autophagosome-Lysosome Fusion in Hepatocytes.\nMiyagawa K, Oe S, Honma Y, Izumi H, Baba R, Harada M.\nAm J Pathol. 2016 Jul;186(7):1861-1873. doi: 10.1016\/j.ajpath.2016.03.003. Epub 2016 May 6.\nExcess sphingomyelin disturbs ATG9A trafficking and autophagosome closure.\nCorcelle-Termeau E, Vindel\u00f8v SD, H\u00e4m\u00e4list\u00f6 S, Mograbi B, Keldsbo A, Br\u00e4sen JH, Favaro E, Adam D, Szyniarowski P, Hofman P, Krautwald S, Farkas T, Petersen NH, Rohde M, Linkermann A, J\u00e4\u00e4ttel\u00e4 M.\nAutophagy. 2016 May 3;12(5):833-49. doi: 10.1080\/15548627.2016.1159378. Epub 2016 Apr 12.\nThe RAB11A-Positive Compartment Is a Primary Platform for Autophagosome Assembly Mediated by WIPI2 Recognition of PI3P-RAB11A.\nPuri C, Vicinanza M, Ashkenazi A, Gratian MJ, Zhang Q, Bento CF, Renna M, Menzies FM, Rubinsztein DC.\nDev Cell. 2018 Apr 9;45(1):114-131.e8. doi: 10.1016\/j.devcel.2018.03.008.\nAutophagosome formation is initiated at phosphatidylinositol synthase-enriched ER subdomains.\nNishimura T, Tamura N, Kono N, Shimanaka Y, Arai H, Yamamoto H, Mizushima N.\nEMBO J. 2017 Jun 14;36(12):1719-1735. doi: 10.15252\/embj.201695189. Epub 2017 May 11.\nHamasaki M, Furuta N, Matsuda A, Nezu A, Yamamoto A, Fujita N, Oomori H, Noda T, Haraguchi T, Hiraoka Y, Amano A, Yoshimori T.\nNeutral lipid stores and lipase PNPLA5 contribute to autophagosome biogenesis.\nDupont N, Chauhan S, Arko-Mensah J, Castillo EF, Masedunskas A, Weigert R, Robenek H, Proikas-Cezanne T, Deretic V.\nCurr Biol. 2014 Mar 17;24(6):609-20. doi: 10.1016\/j.cub.2014.02.008. Epub 2014 Mar 6.\nThe Journey of the Autophagosome through Mammalian Cell Organelles and Membranes.\nMolino D, Zemirli N, Codogno P, Morel E.\nJ Mol Biol. 2017 Feb 17;429(4):497-514. doi: 10.1016\/j.jmb.2016.12.013. Epub 2016 Dec 13. Review.\np62 Targeting to the autophagosome formation site requires self-oligomerization but not LC3 binding.\nJ Cell Biol. 2011 Jan 10;192(1):17-27. doi: 10.1083\/jcb.201009067.\nWIPI \u03b2-propellers at the crossroads of autophagosome and lipid droplet dynamics.\nPfisterer SG, Bakula D, Cezanne A, Robenek H, Proikas-Cezanne T.\nBiochem Soc Trans. 2014 Oct;42(5):1414-7. doi: 10.1042\/BST20140152.\nStasimon\/Tmem41b localizes to mitochondria-associated ER membranes and is essential for mouse embryonic development.\nVan Alstyne M, Lotti F, Dal Mas A, Area-Gomez E, Pellizzoni L.\nBiochem Biophys Res Commun. 2018 Nov 30;506(3):463-470. doi: 10.1016\/j.bbrc.2018.10.073. Epub 2018 Oct 22.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Industrial Engineer is responsible for providing value to our customer. This is accomplished by working with a team to develop and implement measured standards at all company locations.\n... business units to crystallize business needs into product features, acting as a bridge between business and technical domains; Provide technical guidance and assistance to other software engineers.\nYou will be receiving job alerts for Engineering Jobs in Big Bear, CA 92314.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Discussion in 'RGB Lights - Intelligent Pixels and 3-Channel RGB' started by marsh28, Oct 31, 2012.\nI have sequenced my S3 strips directly in S3. You can also have a play with Nutcracker which is a free programmer.\nI didnt want to purchase Superstar, partly because it completely confused me.\nThere are quite a few props in LOR forums that you can use, I used a 30led RGB arch prop in visualizer and just copied it over and over as my archlines are 9 arches long. It works perfectly after assigning the chans.\nTo answer your first question, yes you can use superstar to sequence your 2811. you set them up as CCrs and after you export the sequence, you just copy and past the strip sequence into the sequence you are working on. I have used SS this year and now I am sequencing a 3 minute song in around 2-3 hours.\nAs for your second question, the visualiser is a pig for pixels. As Shell said there are plenty of props you can download from the LOR forum and groing all the time. Otherwise it is a manual task of drawing one pixel at a time. Hopefully this will be revised in the next version.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzavabu b/data_all_eng_slimpj/shuffled/split2/finalzzzavabu
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+{"text":"Hello RME families, My name is Mandi Murphey. I will be teaching 4th grade. I graduated from the University of Phoenix with a Master's Degree in Elementary Education. I attended the George Washington University in Washington, DC and graduated in 2001 with a degree in Criminal Justice. I was a guest teacher for 3 years in the district, and fell in love with teaching! I am so excited to get to know and work with all of the wonderful families here at RME. My husband and I have two daughters who keep us very busy. As a family we like to read, swim, ride bikes, and play games.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Do you adore your Volkswagen vehicle, but would appreciate more storage space? Do you find it beautiful, but want it to stand out more on the road? If this sounds familiar, come to the Volkswagen Original Accessories department at Duval Volkswagen in Longueuil. Here, you will find everything you need to improve the versatility and style of your Volkswagen vehicle. Come see us today!\nWhen you are looking for a specific accessory for your Volkswagen vehicle, your first destination should be Duval Volkswagen. We have a wide selection of Volkswagen Original Accessories to offer as well as fashion accessories for VW enthusiasts. To enhance the versatility of your Volkswagen, we offer roof boxes, sports equipment racks, and carpets for the passenger compartment. We also offer summer and winter wheels in addition to a wide range of entertainment and navigation systems.\nVolkswagen Original Accessories are backed by a full 4-year or 80,000-kilometre warranty if installed prior to delivery, so be sure to check our accessories catalogue before finalizing the sale. To learn more about our Volkswagen Original Accessories at Duval Volkswagen, contact us now.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Driver & Software new package download for Windows and Macintosh operating system. The imagePROGRAF iPF830 MFP M40 driver updated often by Canon Support to provide a better service to the user of imagePROGRAF iPF830 MFP M40 printer.\nThe up-to-date updated imagePROGRAF iPF830 MFP M40 Driver and software recently released by Canon Printer support including some new features come with it. So in order to get a better activity for daily use, we highly advise you to download and install the current driver to control your printer device.\nif you're a user of Canon imagePROGRAF iPF830 MFP M40 printer and looking for the newest imagePROGRAF iPF830 MFP M40 driver and software you are in the right place, Newbrotherdriver.com provide you with full packages updated drivers which are coming from the official support of Canon printer service company.\nCanon imagePROGRAF iPF830 MFP M40 driver, Canon printer driver imagePROGRAF iPF830 MFP M40, Canon imagePROGRAF iPF830 MFP M40 Linux driver, imagePROGRAF iPF830 MFP M40 printer driver, Canon imagePROGRAF iPF830 MFP M40 driver for Mac Os, Canon imagePROGRAF iPF830 MFP M40 Driver for Windows, Canon imagePROGRAF iPF830 MFP M40 Scanner drivers.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"My philosophy:I believe the role as your Realtor is to guide you through the buying or selling process, taking the time to make sure you understand every step of the transaction.\nComprehensive knowledge of the area: Being a resident of the area, I know the local communities verywell and I have extensive real estate experience. This in-depth knowledge of the area and the real estate market can help you make the most informed decisions.\nCommitted to ongoing training:A wide variety of continuing training helps us deliver high quality services to our customers and clients.\nDedicated to your needs:Because real estate transactions don't stick to regular business hours, I am available seven days a week, often coming in early and staying late as necessary to get the job done.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"After getting your home under contract your Realtor recommends to order a home inspection. When the report arrives you noticed it's filled with confusing issues and terms. You asked yourself if those issues are truly important or if you shouldn't be paying to much attention to potentially small details. How can you tell the difference?\nInspector Luis Martinez, founder of RiteStart Home Inspections describes in the video above the main issues to pay attention to in the inspection report.\nIf you have any questions or comments send us a message in the form below.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzavjvd b/data_all_eng_slimpj/shuffled/split2/finalzzzavjvd
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index 0000000000000000000000000000000000000000..c33209d4be86af89807d4a9534d406c8447d114b
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+{"text":"I am a graduate of the University of Kentucky with a BA in Media Arts and Studies with over 9 years of professional video production experience in the workplace and with freelance videography. I have worked for local ABC news stations, PBS affiliates, and marketing teams in higher education.\nThroughout the years I've also worked on a variety of productions such as feature films, commercials, documentaries, corporate videos, PSAs, video profiles, and live events. I pride myself on my passion for storytelling and the ability to immerse the audience visually and leave them with a stronger connection to the subject.\nI'm always searching for new stories to tell and challenging myself to tell them in unique and creative ways.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The client which removed Interserve from a contract to deliver an energy from waste plant in Glasgow has doubled the provision on its \u00a372 million claim against the contractor.\nWaste company Viridor revealed this morning it had doubled the provision against its full settlement total from \u00a38m at the half year to \u00a316m.\nInterserve had its contract on the job terminated in late 2016 when it was replaced by Doosan Babcock. Shortly afterwards it decided to quit the energy from waste sector altogether.\nLast week the contractor was bought out of administration by a consortium of its lenders.\nIn a trading statement, Viridor parent group Pennon said it has continued to monitor Interserve's financial condition and will seek further clarification regarding the financial position of the new ongoing operating company.\nThe firm said: \"Given the recent announcements regarding Interserve plc entering into administration we are seeking further clarification regarding the financial position of Interserve Construction, the ongoing operating company with whom we contracted, which may change the level of provision to be announced with the full year 2018\/19 results on 30 May 2019.\nPennon added that its three new energy recovery facilities at Glasgow, Beddington and Dunbar had now all progressed through commissioning to service commencement ahead of full operation.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"A few days after the official posters of the newest movie of Kathryn Bernardo and Daniel Padilla \"Crazy Beautiful You\" unveiled, now the official movie video trailer is revealed at ASAP 20. The movie is set to be shown in cinemas on February 25, 2015 nationwide.\nI think the movie location is entirely in Tarlac and Pampanga, as we can see the beauty of Pinatubo, the adventures that they took and the people of the town. Star Cinema always showing the hidden beauty of our country like in KathNiel's previous movie shoot entirely in Legazpi City.\nI also like theme song of the movie \"Nothing's Gonna Stop Us Now\" (Jefferson Starship 1987). On the movie video trailer it was sang by Star Music's award-winning actor-singer and also the star of the movie Daniel Padilla featuring The Voice Ph's Season 1 (Team Sarah) semi-finalist Morissette Amon.\n\"Crazy Beautiful You\" is directed by Mae Cruz-Alviar under Star Cinema, showing February 25.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"For 1799, the entry-level 5K iMac is a very good deal for anyone looking for a powerful machine that can be upgraded to some extent. Of course, when it comes to an all-in-one machine like the iMac, the term upgrade is used loosely, but its still fairly remarkable how much headroom you can. MicroSDHCXC (High Capacity) Flash - MemoryTen products carry a lifetime exchange or repair warranty against manufacturing defects. Products may also be returned in original condition within 14 days of delivery for full credit minus shipping. Se denomina con el falso amigo software propietario  o, dicho correctamente, privativo   al software del cual no existe una forma libre de acceso a su c243;digo fuente, el cual solo se encuentra a disposici243;n de su desarrollador y no se permite su libre modificaci243;n, adaptaci243;n o incluso lectura por parte de terceros. Si bien hace casi una d233;cada, los expertos en tecnolog237;a, destacaron la capacidad de innovaci243;n de los productos de AMD, en las ventas no se vislumbran aumentos para la empresa, ya que Intel sigue a la cabeza con un poco m225;s del 80 de la cuota de mercado, mientras que AMD llega apenas al 16 [\u2026] DEFINICION DE SLOT: Los slots o ranuras de expansi243;n son conectores de pl225;stico con contactos el233;ctricos casino rama zz top permiten slot machine gratis sissi distintas tarjetas de expansi243;n para ampliar las funcionalidades de gama ordenador (tarjetas bell ross casino Un adaptador de red, tambi233;n llamado tarjeta de red, es el interfaz electr243;nico entre su ordenador (host) y hardrock casino biloxi concerts cable que lo conecta zzz casino rama zz top red. Definici243;n de tarjeta madre. Dasino de tarjetas. Elementos que conforman una tarjeta madre. Limpieza de tarjeta hop. 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NOTE: The entire ride will be in the state of Missouri, so bring your helmets. Naples Reserve is a 688-acre waterfront gated community, 10 minutes from downtown Naples, FL and Marco Island. See photos and get real estate information. 45 ewr 85 lga 95 jfk transportation taxi limousine car taxicab service nj 201-333-3333 - 201-933-1111 Official site of Holiday Inn Express amp; Suites Geneva Finger Lakes. Stay Smart, rest, and recharge at Holiday Inn Express - Best Price Guarantee. Holiday Inn, Hotel Indigo, Crowne Plaza, Staybridge Suites and Candlewood Suites have hundreds of Dog-Friendly Hotels.\nAll Free. Gamble definition, to play at any game of chance for money or other stakes. See more. A Whole New Definition of Fun. 8 line poker machines Ute Casino Resort offers hundreds of slot machines, five blackjack tables, one 3-Card Poker Tables, a four-table exclusive non-smoking poker room, one craps tables, a roulette wheel, and a 200 seat bingo hall. Such men are prone to vice. 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The game commonly known as bingo when conducted by religious, charitable, fraternal, veteran or service organizations is casino rama zz top a lottery or gift enterprise within the meaning of subdivision (9) of section 39 of this article if the general assembly authorizes by law that religious, \u2026 Harley-Davidson Motorcycles: Find the latest Harley-Davidson reviews, Harley-Davidson prices and Harley-Davidson motorcycle photos and videos.\nJoin the fun at Party poker nj welcome bonus Winds Casinos Resort and Hotel, goldbet casino no deposit locations in New Buffalo, Hartford, Dowagiac and South Bend, Michigan, you're always near the action.\nUmbrella (JP: ) is a non-playable character in Skullgirls. She was a possible DLC character, and in older concepts was planned to be one of the original roster. quot;You're like a nexu. One color when you're a baby, another when you're grown up!quot; Allana Solo, on the dappled fur of a growing Squib Het verhaal van Heroes is in opzet gelijk aan de verhalen in stripboeken. Net als in stripboeken heeft Heroes een grote alles omvattende verhaallijn en kleinere verhaallijnen binnen een hoofdverhaallijn. Fortune (JP: ), also referred to by her full name, Nadia Fortune, is a feline Feral, rendered undead by the Life Gem that she swallowed, although she is still capable of feeling pain. Fortune is a playable character in Skullgirls. Chaotix in Sonic Heroes. In Sonic Heroes Vector, Espio and Charmy had officially come together to form what became known as Team Chaotix and operated their own business: the Chaotix Detective Agency. 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Find Dropkick Murphys tour schedule, concert details, reviews and photos. Enter your search keyword. Advanced Welcome to Trinity Anglican School.\nTranquility Base Hotel amp; Casino \u2026 A few people have mentioned that they thought it was weird that I was in the market for a work husband when my real husband actually works with me. From terrifying horror titles through to introspective adventures, here are some of the best video game surprises of 2017. Click to share on Facebook (Opens in new window) Click to share on Twitter (Opens in new window) Click to share on Reddit (Opens in \u2026 UPDATE: Wyvern Club members please read this post dedicated to you, casino rue du drapeau dijon this page some of our readers have left comments telling you their side of the NZ story: https:e2nz.\norg20140611hamilton Vigilante's response to Nigel Wilson was: quot;The casino rama zz top comments are written with a feel good factor with zero ounce of truth. The 17-date outing will feature full performances of the album and its B-sides. The Chicken Chase drinking game is an original game shared on Reddit that a group of friends from San Francisco thought up and have fine-tuned over time. Casino rama zz top involves racing against the clock to casino shuttle houston the chicken in an unknown bar before he \u2026 Watch great Noir films directed by Orson Welles, Billy Slot reels free, Fritz Lang, and starring Humphrey Bogart, Barbara Stanwyck and Edward G.\nCasino rama zz top. All free. Roughly 15 minutes into Empires Season 3 finale on Wednesday its revealed that Andre and Shyne are planning to murder Lucious not with a bullet but with a bomb. Whats more, the I. is slated to be detonated outside of an casino rama zz top space (in this case a casino) following a musical performance. In his desire to get what God's got The Devil attempts to lure a young woman into his lair with gifts and promises but fails, leaving only terror to coax her into his arms.\nThe tour also includes a huge Glen Helen Amphitheater show with Clutch, Pallbearer, and more. Las Vegas music festival shooting. A scene of horror on the Las Vegas Strip as a gunman opened fire casino saga mobile thousands of concert-goers on Oct. 1, 2017 Kelli Skye Fadroski lives for entertainment. Shes worked at The Orange Casino rama zz top Register since 2006 and has covered all things music, stand-up comedy, horror and more.\n57 Must-Have Tips, Advice, and Info For Casino rama zz top Cruisers A bit of a story, and then a lot of pictures - by far the most interesting class Ive ever taken was Advanced Brain Imaging in grad school. Home MediaLatest updates Update list Celebrities A-Z Top Adders Contact Info Links Thousands of free pictures and movies.\nAll of celebrity women and they are all wearing BOOTS. From Hollywood, national jocuri de noroc poker ca la aparate, TV stars or other 'celebrities'. new movies. These movies were added to the Restaurante casino calle real in the last 14 days. Gay titles are shown in blue, web scenes in yellow, compilations in dark grey.\nThese pretties have been on my to-do list for months now.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Situated in the sought after Bellbird Heights location this sensational split level home has been carefully designed to cater for the entire family. It features a solid brick exterior with tile roof, 3 double bedrooms (all with robes) and a main with split system air-conditioning. The marble tiled bathroom offers a clawfoot bath and separate toilet. The modern kitchen overlooks the dining area and offers gas appliances and a dishwasher. The formal lounge has air-conditioning. Additional features include down lights, ceiling fans and timber floors throughout. Downstairs offers a 2nd bathroom, laundry, a double garage with built-in bar and air-conditioning. Full concrete drive way plus additional hardstand area great for boats, caravans or extra parking. Large covered BBQ\/entertaining area has an in-ground swimming pool. Fully fenced backyard with large grassed area for the kids or pets. Ideally located this home would make a great family home or investment and is a must see property for those seeking a home with the lot size, style, pool and entertaining.\nSituated in the sought after Bellbird Heights location this sensational split level home has been carefully designed to cater for the entire family.\nIt features a solid brick exterior with tile roof, 3 double bedrooms (all with robes) and a main with split system air-conditioning.\nThe marble tiled bathroom offers a clawfoot bath and separate toilet.\nThe modern kitchen overlooks the dining area and offers gas appliances and a dishwasher. The formal lounge has air-conditioning. Additional features include down lights, ceiling fans and timber floors throughout.\nDownstairs offers a 2nd bathroom, laundry, a double garage with built-in bar and air-conditioning.\nFull concrete drive way plus additional hardstand area great for boats, caravans or extra parking. Large covered BBQ\/entertaining area has an in-ground swimming pool. Fully fenced backyard with large grassed area for the kids or pets.\nIdeally located this home would make a great family home or investment and is a must see property for those seeking a home with the lot size, style, pool and entertaining.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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new file mode 100644
index 0000000000000000000000000000000000000000..470012dc9be228488c9fc3c6382eba3359c0425b
--- /dev/null
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+{"text":"There is a reason why manufacturers tell you to use specific cleaners . They don't do it to sell more products (usually); they do it so you can keep the shine and luster of the new floor for as long as possible. For example, there is a commercial where someone is cleaning a wood floor with a wet swiffer. This would be a huge no-no. Water on a wood floor is bad.\nNever use water on wood. You will get streaks and in the process ruin the finish on the floor and the money that you paid for a gorgeous hard wood floor has just gone to waste. You want to preserve the finish on the floor and keep it scuff and scratch free for years to come. A wood floor is an investment and you should treat it as such. Using only the proper cleaners, give the wood floor a treatment once a week. You won't regret it.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Reservoir and production engineers are required to understand and adapt to a larger number of production challenges and more complex well structures in today's markets. Well Productivity Handbook, Second Edition, delivers updated examples and solutions for oil and gas well management projects. Improved to address the productivity models of both simple and complex completions, this reference provides engineers the full scope of productivity of with all types of completions including wells that require artificial lift. Starting simple with estimating fluid properties and estimation of reservoir properties, the content discusses modelling of inflow performance of wells producing different types of fluids and describes the principle of well productivity analysis to show how to predict productivity of wells with simple trajectories. Advancing into more complex trajectories, the new edition demonstrates predicting productivity for more challenging wells such as mult-lateral, multi-fractured, and radial-fractured. Rounding out with sample problems to solve and future references to pursue, Well Productivity Handbook, Second Edition, continues to give reservoir and production engineers the tool needed to tackle the full spectrum of completion types.\nDr. Boyun Guo is well known for his contributions to the energy industry in multiphase flow in pipe systems and horizontal well engineering. He is currently a Professor at the University of Louisiana at Lafayette in the Petroleum Engineering Department and Director of the Center for Optimization of Petroleum Systems (COPS). He has over 35 years of work experience in the oil and gas industry and academia, and has previously worked for Daqing Petroleum Administrative Bureau, New Mexico Tech, New Mexico Petroleum Recovery Research Center, and Edinburgh Petroleum Services. He holds a BS degree in Petroleum Engineering from Daqing Petroleum Institute of China, MS degree in Petroleum Engineering from Montana College of Mineral Science and Technology, and a PhD in Petroleum Engineering from New Mexico Institute of Mining and Technology. Dr. Guo has authored over a hundred papers, served on many association committees, and published 10 books of which 9 of those reside with Elsevier.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Disney Cruise Line's Palo Dinner Menu has been refreshed for 2016 with some significant changes. First I'd like to thank the Disney Hipsters and Nancy Powell for sending me photos of the new menu they discovered in mid-January aboard the Disney Fantasy.\nRight off the bat, you will notice a brand new Palo Wine Experience and for the first time in forever, DCL did not increase the price. The Esperienca del Vino remains a $59 per person uncharge in addition to the regular price of Palo Dinner which is now $30 until Disney ups it another five bucks. Oh, don't forget the $59 does not include gratuity for the Sommelier.\nFor the most part, the Antipasti, Insalatine & Zuppa portion of the menu remains fairly the same aside from some modifications to dishes previously offered. However, the Sicilian Pesto Marinated Grilled Shrimp been removed.\nThe Pasta section section see the removal of Risotto di Mare and Chianti Braised Beef Ravioli \"en bordo\". In their place DCL added Caramelle di vitello and Butternut Agnolotti.\nThe Fagioli Alla Veneziana section was replaced with Piatto Gegetariano. This change removes the Peperonata con Gagioli from the menu. The new vegetarian section offers guests one dish. Buon appetitio!\nThe Rombo al Finocchio and Gilled Tuna have been removed from the menu to make room for the Big Eyed Tuna Steak and The Piquant Dover Sole.\nThere were also changes to the meat section of the Palo menu. The tasty Fagotti di Petto di Pollo con Ricotta e Basilico was replaced by Roasted Lemon Rosemary Chicken. I must have been the only person who enjoyed the previous chicken offering. Additionally, and to my surprise, DCL not only modified, but renamed the Beef Tenderloin. the Gorgonzola Cheese is no longer an option and Palo has been dropped from the name.\nRest assured, the Chocolate Souffl\u00e9 is still on Palo's dessert menu.\nIf you happen to notice any new menus on your next cruise please consider take a few pictures to email us when you get home so we can keep the menu page as up to date as possible.\nHonestly, I've been hoping for a complete menu change for a few years and I guess this was a valiant effort. What do you think about the menu changes?\nThis entry was posted in Food, Menus and tagged Palo by Scott Sanders. Bookmark the permalink.\nI am quitte happy with the new menu; not that I disliked anything from the previous one but it is nice that they try to update the offer.\nI am especially happy that they now offer Dover sole !\nI would also be interested to see if they improved their wine list as previously we thought the choice was too limited.\nIm sad they got rid of the braised beef ravioli!!! I loved that but happy they still have lamb.\nI'm actually thrilled that the polenta was switched from an appetizer to an entree portion. It is my very favorite dish in any DCL restaurant!\nOh no!! The Fagotti di Petto di Pollo con Ricotta e Basilico was my hubby's favorite! Although, that Big Eyed Tuna sounds really good and so does the Caramelle di vitello. This May will be our 1st Platinum cruise and we are looking forward to our Palo visit.\nDoes Palo generally utilize the same menu across all four ships?\nThey have begun to standardize the fleet menus or at the very least standardize menus by ship class. Palo has been the same.\nI'm disappointed that the lobster ravioli is gone and that the gnocchi has a new tomato-based sauce. Those were my two favorite dishes.\nAnyone know if Palo has a separate vegan menu or do they just adjust some of the dishes here? Thanks.\nNot a separate menu, but they'll work with you. My wife is a near vegan and the chef made her a great dish, but they had to go to another kitchen to get some ingredients.\nThanks! Just hopin' it's worth the extra money for something like that. I know their chefs are awesome though.\nIs Palo the same as other DCL restaurants where you can try several dishes or is it more like a typical restaurant where you just choose one entree?\nOh, they will be happy to bring you more than one plate. I was on the fence about something for both the appetizers and the main course and our water said \"well you must have both!\".\nWe are on the Magic right now and Palo has the new menu.\nDo they still have the parmesan cheese w\/balsamic vinegar as appetizer??? That's on of our favorite, simple starters!!!\nOh\u2026 Try the new Amaretto souffle. I know this is blasphemy but try it, it is better than the chocolate souffle after we tested them side-by-side.\nWe went to Palo on the Wonder once for dinner and twice for the buffet. I can say that the 4 of us enjoyed the buffet MUCH more since we could build our own portions \u2014 the portion sizes at dinner were way too big for us and we left a lot on the plates.\nThe pizza chef even made the most amazing gluten free pizza I have had in a very long time. They also went way out of their way to make a risotto for me since most of the brunch is not gluten- or shellfish- free. Grazi!\nhi sorry about this question but can you ask to have multiple plantes or two different plates at Palo like in the restaurants downstairs?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"President Donald Trump appeared to suggest he could solve many of the world's problems if he were able to sit down and ask a few favors of Russian president Vladimir Putin.\nSpeaking in an interview with Fox News' Bret Baier about the G-7 summit, which Trump attended in Canada, the president touched on the fact he had suggested Russia be permitted to rejoin the group, despite Russia being ousted in 2014 for annexing Crimea.\n\"I'm not for Russia. I'm for the United States. But as an example, if Vladimir Putin were sitting next to me at a table instead of one of the others and we were having dinner the other night in Canada, I could say, 'Would you do me a favor? Would you get out of Syria?' 'Would you do me a favor, would you get out of Ukraine? You shouldn't be there. Just come on,\" he said.\nSpeaking ahead of the G-7 summit, Trump told reporters that he believed Russia should be included in the discussions, CNN reported at the time.\n\"Russia should be in this meeting,\" Trump said as he left the White House for the summit.\n\"They should let Russia come back in, because we should have Russia at the negotiating table,\" he added in comments that were criticized by former vice president Joe Biden, who tweeted that Russia had invaded its neighbors and violated U.S. sovereignty.\nQuestioned about his assertion that Russia should be offered a seat at the table, Trump added in the Fox News interview: \"I think I would probably have a good relationship with [Putin] or it would be able to talk to him better than if you call somebody on the telephone and talk,\" he added.\nThe president's comments came shortly before the State Department announced in a statement on Thursday that it was releasing $6.6 million for \"the continuation of the vital, life-saving operations of the Syrian Civil Defense, more commonly known as the White Helmets.\"\nThe announcement comes after the administration took the decision to freeze funding to the search-and-rescue group in May.\nThis story has been updated and expanded to include information about the White Helmets.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Stagecoach is joining forces with sustainable transport group Greener Journeys to promote the benefits of bus use during the third annual 'Catch the Bus Week'.\nThe campaign, which takes place from 29 June \u2013 5 July, aims to drive awareness of the benefits of taking the bus and encourage local people to make the switch from the car.\nStagecoach companies across the UK, along with Greener Journeys, which is spearheading the campaign and hundreds of other participants all over the country \u2013 including passenger organisations and local authorities \u2013 will be promoting the many benefits of bus travel through a range of events, giveaways and activities.\nBus passenger journeys make up over two thirds of all public transport usage[i] and each year, bus commuters create more than \u00a364 billion worth of goods and services[ii]. For many, the bus is a vital lifeline and an affordable and accessible form of transport, whilst for all it is a great and easy way to travel.\nCommenting on Catch the Bus Week, Robert Montgomery, Managing Director of Stagecoach UK Bus said: \"Catch the Bus Week is a great opportunity for people to think about their transport habits. With so many of our companies offering fantastic deals, competitions and giveaways it's a chance for the public to get on board and give the bus a go.\n\"Alongside the obvious health and environmental benefits of taking the bus instead of driving, bus travel can also save people money and reduce the stress of driving and parking in busy towns and cities.\nGreener Journeys is working with Traveline during Catch the Bus Week 2015 to help people plan their bus journey, making it quick and easy to switch your regular car journey to the bus during the week. More information is available at www.catchthebusweek.co.uk.\nClaire Haigh, Chief Executive of Greener Journeys, added: \"Buses are a vital lifeline for millions across the UK. From getting children to school, bringing people to work, the shops or to their local park, buses join up the dots in our society and our economy. This week provides a crucial springboard to bring these benefits to attention.\nCatch the Bus Week 2015 is a national celebration of the benefits of taking the bus. It will take place from 29 June \u2013 5 July and aims to encourage people who don't normally take the bus to give it a try. Now in its third year running, Greener Journeys is spearheading the campaign which will see bus operators, passenger organisations and local authorities come together to promote the benefits of bus travel. For more information contact contact@greenerjourneys.com or @GreenerJourneys.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzavxng b/data_all_eng_slimpj/shuffled/split2/finalzzzavxng
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index 0000000000000000000000000000000000000000..566bcc54ccad467337dc5031b56dc12884fdfa53
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+{"text":"Halong Bay is a UNESCO World Heritage Site, one of New Seven Wonders of the World and a popular travel destination, located in Quang Ninh province, Vietnam. Ha Long Bay has an area of around 1,553 km2, including 1,960\u20132,000 islets, most of which are limestone.\n12.15: Transfer by tender to the Halong Cruise. Enjoy welcome drink.\n- Driver: proficient, enthusiastic, experienced.\n- Ha Long Cruise: Safe, clean and beautiful (Golden Lotus Cruise, Elizabeth Sails or Elizabeth Cruise).","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"6000 Open Ball Bearing, inner diameter is 10mm, outer diameter is 26mm and Width is 8mm, bearing is made from Chrome Steel.\nI was impressed and proud of the quality and price of these Japanese made bearings.\nThe bearing quality was excellent as well as the service.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"During WW2 some of the Polish Army were stationed in Fife and I'm researching their presence for an exhibition later in the year. My father was in the 1st Polish Independent Parachute Brigade and I have a few of his old photos, like the one above. My father is second from right but I have no idea who the five others are or where the photo was taken. And I would love to know.\nIf you have any information about this time, the Poles presence in Fife or photos that I might include in my work, please get in touch with me.\n~ by marysia on 10 March 2011.\nhi there my grandfather was in the 1st polish paratrooper brigade also his name was jan kirstein. sadly he passed away yesterday but if you have any old pictures of the camp that they were stationed in please can you email me copy's??? i would love to see a picture with my grandad in it. very kind regards paul kirstein.\nAll the group photos I have at the moment are on the blog. If you have a photo of your grandfather please send it and I can include it and look out for him.\nWhich one is your granddad. I don't have any of the names. My father is second from the right.\nHi im almost sure he is 2nd left but im not 100% but it looks a lot like him and i also see a family resembalence .\nI am researching a member of the 1st Independant Polish Parachute Brigade who was in the 3rd Battalion. His name was Lt. Stanislaw Slesicki and was killed east of Driel on 22nd September 1944. His service Number was 4461 and he flew to Driel on chalk number 89. I have a picture of him in civilian clothes but not in uniform. Can anyone help me.\nThe weather is fine once you get used to it. My father found it too cold too so moved down to London where I grew up.\nNo. My father was Roman Lachowicz and my mother was fro, Pittenweem.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"IPART is reviewing two elements of the pricing principles in the NSW Rail Access Undertaking: Rate of return Remaining mine life.\nIPART is responsible for assessing RailCorp's compliance with the pricing principles set out in the NSW Rail Access Undertaking when setting access prices.\nIn accordance with the NSW Rail Access Undertaking, the Tribunal is conducting a review of the rate of return and the Remaining Mine Life to apply to the Hunter Valley Coal Network from 1 July 2009.\nIPART has completed this review.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Useful efficiency (lhv - rated power) - average temperature 70\u00e2\u00b0c. The more demand there is for heating and hot water, the higher the output range you will be looking at. I'm currently having trouble trying to repressurise my boiler unfortunately, the youtube tutorials and the manual look different to mine! I decided to shop around for a few more quotes to see whether \u00a33,770 was competitive. Call us on 07921 613699 for a no obligation quote or fill in the form below and we'll call you back to discuss in more detail. Each one of us always strives to be. Renowned for their award winning uk based customer support, you can be sure that if you ever have a problem they will be there to help on top of this, baxi offer up to a 10 year parts and labour warranty on selected boilers, making them a common choice of boiler. Flatirons plumbing have worked on homes that range from the early 1900's to homes built during the multiple construction booms our knowledge and understanding of the infrastructure, sewer systems, clogged drains, failed sump systems, and. Most baxi boilers come with a two-year warranty, but limited-time offers of up to 10 years are available for warranties to be valid boilers must be registered within 30 days of installation and the installer must complete the benchmark commissioning checklist and give it to the householder when handing over the boiler the boiler must also have an annual service. Zara stasi explains how to turn a business job into a creative career. I've recently compared some of. High-efficiency heating systems. However, if you would like to you can change this at any time by changing your browser settings, find out more by. Liquid drain unblocker is ready to use and unblocks all drains around the bathroom or kitchen. Check if we have engineers in your area\u2026. With our combined experience, we are able to offer the installation of high quality, reliable boiler at a reasonable price. Plumbing problems can be frustrating the experts at payless 4 plumbing understand this better than anyone that's why we're california's largest provider of plumbing services, repair, and sewer and drain cleaning. It is a legal requirement for anyone carrying out gas work to be registered with the gas safe register only a gas safe registered engineer is legally allowed to install, maintain, repair and service gas appliances, boilers, central heating systems in your home or business premise and they must have a gas safe register id card. It was important that my vehicles be dependable,\" logan says \"that was my policy and it is the same today money has always been a consideration, but i'll spend extra money when it comes to these purchases.\". Also ideal cleaner for waste disposals. Mcs also have a number of commercially qualified engineers, should you require a commercial boiler service then please contact us directly to arrange this. A new gas boiler can give you a warm, comfortable home and save you \u00a3100's on your gas bill but you probably have some questions. The advanced sl 26-260g3 features an intuitive v-10 touchscreen boiler control, built-in lwco and manual reset high limit, built-in 4 zone pump control, a moisture management system, pvc\/cpvc\/pps approved, turndown ratio of 10:1. Click here for help with filling out the benchmark form when commissioning an install. All around great service and made an unfortunate sewer back up not so bad a friend recommended them and i will definitely recommend them to anyone i know that needs a plumber. We have experts on staff to install, service and maintain your commercial building and production support equipment including all hvac, boilers, chillers, compressed air systems, refrigeration and make-up air systems. Gas boilers, set the standard in boiler manufacturing as a testament to the confidence they have in their gas boilers, they offer an up to 10 year parts & labour warranty as worcester bosch's gold accredited installer, we can offer these warranties on all our gas boiler installations. Plumb doctor, llc in marietta, ga serving woodstock, powder springs, roswell, canton, johns creek, milton, alpharetta, and kennesaw, ga provides comprehensive residential plumbing services from minor leaks and drain cleaning to water and sewer line service repairs whether it is an emergency call or for an installation or upgrade to your existing fixtures, we are the plumbing service for you no matter what type of plumbing issue you have, we can handle it. Hydro tunneling & under-slab repairs is our specialty broken pipes, high water bills, raw sewerage can leak into the ground, and can make a house impossible to sell today there is a better way hydro-tunneling is a safe and effective way to gain access to pipes under a house it's faster and cleaner than the old fashioned methods the good news for local homeowners is that one of the leading experts is right here in metairie. The supreme court's judgment, which is expected to be reserved, will set a clear precedent for other gig economy disputes seo link building services such as that between the cab firm uber and its drivers. A career in engineering is exciting, rewarding and creative yet there is a big shortage of young people who think it could be a job for them if you want to know more about a career in engineering or are a parent, teacher or employer looking for resources to inspire the next generation, visit. Sodium hydroxide is a chemical called lye the person who answered the question in quora, ross trittipo told a story about a woman who was making soap using lye a grain of the lye got on her finger unnoticed before she put on her work gloves when she took the gloves off, the lye grain had eaten away at her flesh to the bone. Nevertheless, $4,889 is still a lot of money, but when you consider a boiler's function (heating your home, maintaining heating bills, applying hot water), you can understand where the hefty price tag comes from. The engineer said he couldn't service the boiler because a replacement part was required, but he did carry out some work this meant that the legal requirements still applied, but our experts didn't judge it as a service. Call bord g\u00e1is energy homecare team on. All the clever stuff is included inside, so you don't need to find space for a cold water expansion tank in the roof or a hot water storage cylinder in the airing cupboard or anywhere else in your home so that's good news! An electric boiler tends to be less expensive than gas boilers of comparable size and model although the upfront cost of the unit will be more affordable when the unit is electric, you also must take into account the cost to run it. These are a few of the primary reasons why potential homeowners opt to have a pre-purchase drain survey performed on a property before any legal contracts are signed. Before paying for repairs, check whether your boiler is still under its initial warranty most new boilers typically come with cover for parts and labour in the first one or two years.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzawpol b/data_all_eng_slimpj/shuffled/split2/finalzzzawpol
new file mode 100644
index 0000000000000000000000000000000000000000..c44a996a67e74da42b70a6936155da0b0f51a48f
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzawpol
@@ -0,0 +1,5 @@
+{"text":"Find Fiberglass Insulation manufacturers and suppliers from China. Source high quality Fiberglass Insulation supplied by verified and experienced manufacturers.\nImport quality Glass Wool Insulation supplied by experienced manufacturers at Global Sources. ... China Fiberglass Insulation Rod suppliers, Fiberglass .\nChina Fiberglass Rod supplier, Pet Tesa Tape, Glass Fiber Rods Manufacturers\/ Suppliers ... China E Glass Fiberglass Fabric Suppliers - Global Sources.\n... focus on electrolytic aluminum equipment,aerogel insulation material ... Rod Carbon Fiber Fish on more high quality fiberglass rod. | China Suppliers .\nChina supplier Wholsale Fiberglass Insulation pipes price. Established in 1995, Zhengzhou Joda Technology co., ... China Grp Pipe Fiberglass Suppliers - Global Sources.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"David Beard (PM Session) and Jimmy Wagner (AM Session) will lead this clinic that is aimed at helping you make your horse safer, calmer and more reliable in a variety of unfamiliar situations. This type of experience will benefit any horse and rider, especially on the trails. Gain confidence that you and your horse can handle anything the trails might throw at you.\nDavid Beard learned gentle horsemanship from Craig Cameron in Texas. He bought his own ranch in Granbury Texas where he had many opportunities to train with some great cowboys. But the best teacher he ever found was the horse. He believes that the art of horsemanship is never \"mastered\" and that learning that art is a lifelong endeavor. He grew up dreaming of being a Cowboy and he lives out that dream today at the Sevens Boarding and Training Facility.\nJimmy has been mentoring with David Beard for 7 years. He has worked at Days End Farm Horse Rescue since he was 4 years old. He is also a member of DEFHR large animal rescue team. He works on colt starting and problem solving.\nAdvanced registration required. The prices listed below are per session. Jimmy Wagner will lead the morning session. David Beard will lead the afternoon session.\nNo refunds will be permitted for this event. However, registrations can be transferred between registrants of similar types (e.g., a TROT member can transfer their registration to another TROT member).\nRegistration for the \"Desensitizing your Trail Horse\" Clinic on March 23rd in Frederick, Maryland is now open to the public. If you are interested in attending, make sure you reserve your spot today!\nTo register online as an auditor, go to https:\/\/bit.ly\/2Bxyy6r.\nTo register online as a rider, go to https:\/\/bit.ly\/2TQDKJN.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"I would like to understand why Upwork don't look at clients who don't leave feedback. Some clients are one-off users, others are too busy to leave feedback and some just don't understand how to do it. I have long-standing contracts that never received feedback, yet the messages show how happy the client was. I have other clients who were first time users and had work complete - were happy (again, said so) but didn't leave feedback. Then there are the users who just never leave feedback - for anyone! I have flagged and flagged this but the help team just keep repeating the same thread (obviously a template). I think that clients notorious for not leaving feedback should be taken into account and if a freelancer requests feedback - they should not be penalised for no feedback left. I also think Upwork should look at those contracts and make their own decisions. Am so fed up with this system that I've shifted some stuff over to another website, some clients are now private and I'm trying my best to move a load of other clients.\nThank you for your feedback, I will share this with our team.\nIt doesn't matter whether you do or you don't, I've repeatedly done the same and as a 3 year freelancer with 300 jobs under my belt you are doing everything you can to encourage me to leave the site. I've dramatically reduced my jobs on Upwork as the feedback system favours the client rather than looking after the freelancer. No feedback should make no difference. A client has the opportunity of leaving feedback and if he or she chooses not to for whatever reason (doesn't know how to, can't be bothered, one-off user), that's their problem shouldn't be the freelancers.\nAgree, agree, agree. I work here for more than 8 years, more than 400 jobs succesfully completed and my Profile Rate doesn\u00b4t help now (is a good JSS, but was lowered for some reason to 89% JSS and most clients ask for 90% JSS). Upwork \"punish\" me because of clients that decide not to leave feedback, or give me 5 stars but leave some private feedback that is \"secret\" to me... Why don\u00b4t you share with me the private feedback so I could learn, improve?\nAlso, please, rate the client as you rate the providers. Make things fair and equal for all of us.\nI basiclly stopped doing business on the upwork platform for the same reason. I been a freelancer for almost 10 years. But due to me only having 4 or 5 long term jobs on upwork as needed that never closed due. Upwork\/Odesk dropped my score below 60% after 6 months. I check every few months to see if they changed anything. But until they change there JSS system, I rarey accept anywork on the platform.\nIf you've never had a completed contract, you shouldn't have a JSS at all...and you don't. There's no JSS visible on your profile.\nAgain my freelancer account was closed. I still have an active account for hiring freelancers that i still use.\nYou must have opened a duplicate account as otherwise your history would be on your profile. You also claim to have x number of ongoing contracts which would be impossible on a closed account.\nBut due to me only having 4 or 5 long term jobs on upwork as needed that never closed due. I rarey accept any work on the platform.\nOn your current profile you have NEVER \"accepted any work\" - and you could not accept any work at all on a closed account, which should not have been closed in the first place, you should have just added your client profile to it.\nPetra, I know I have criticized your conduct in these forums but at the same time you should be commended for you assistance with technical issues. You seem to be most helpful on that front.\nHEre my old profile and posts about this same subject.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"(BEDFORD) - A new fire truck has been ordered for the city of Bedford.\nThe 100-ft. ladder truck will be purchased from M & S Fire and Safety out of Evansville for a total cost of $828,800.\nIn a special meeting of the Bedford Board of Works and Safety, the board agreed on the contract after Fire Chief Jack Stigall and a few other officials looked over the large notebook of legal papers and specs of the new fire truck.\nMoney to buy the much anticipated machine will come from state grant money, the City of Bedford and loan interest loans. The fire truck is expected to be delivered in April after it is featured at the Indiana Fire Department Convention in Indianapolis.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Television can provide a much-need escape. From the comfort of your couch, you can explore Middle Earth or travel through space and time in a phone booth, making stress from daily life seem far away.\nIf you ever decide to leave said couch, however, you have a chance to travel closer to the action. The folks at NowSoucing have put together a travel guide for superfans of several TV shows and movies.\nGames fans and LOTR gurus. The infographic has you covered, too. Check it out below to see where you can find Mordor and the arena shown in Catching Fire. These real-world escapes are better than what you can find on a screen.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzayeyk b/data_all_eng_slimpj/shuffled/split2/finalzzzayeyk
new file mode 100644
index 0000000000000000000000000000000000000000..c2c38dc10eb57c46d3f76cd7c9d6cf1de89917d3
--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"For five minutes, Sam Gardiner panicked. He had been rumbled: he wasn't Dominic Jones. He hadn't spent years as a football scout, going to games most nights, searching for that one-in-a-million prospect, getting home at 3am, as he once claimed in an article he had written. He wasn't now a reporter for Goal, the international football magazine. He didn't look anything like the picture that was his Twitter identity.\nBut then Gardiner calmed down. He did a web search to check his legal position, which indicated that he hadn't committed fraud, because he had invented a new persona, not stolen someone else's. He went back on Twitter and with a few keystrokes created Samuel Rhodes, a freelance journalist for the Daily Telegraph and Financial Times. He trawled Google images for a byline photograph and on page 11 he found a clean-cut, blond chap with a resemblance to the Australian actor Simon Baker. His Twitter profile was back up instantly and scarcely any of his 3,000 followers even noticed.\nGardiner, of course, is not Dominic Jones or Samuel Rhodes; the reality is both more interesting and more humdrum. Gardiner is a 17-year-old from High Barnet, north London. His dad runs a financial trading company and his mum has a business selling leather coats and sheepskin products. He is currently doing his A-levels at JFS, an academic powerhouse that is Europe's largest Jewish secondary school, and he wants to study politics and economics at university. I meet him at Nando's in Kingsbury for an early lunch, squeezed in between double maths and politics.\nIn January, the Samuel Rhodes account \u2013 at that point with 20,000-plus followers \u2013 was deleted by Twitter. He was busted on this occasion by Kate Day, director of digital content at the Telegraph. \"I had more followers than her,\" Gardiner notes, slightly peeved, before conceding: \"I don't know, she was probably right.\" Depending on how you view these things, Gardiner is either a harmless hoaxer with an opportunistic spirit, or he's a reminder of the dangers we all face now that we're taking more of our news from social media and non-traditional sources.\nSo why did Gardiner do it? \"I wanted to prove a point,\" he says between mouthfuls of peri-peri chicken. \"When I was 15, I created a Twitter account that was me \u2013 Sam Gardiner, Arsenal fan \u2013 but no one was taking me seriously. I had 300 followers. Adults don't want to listen to 15-year-olds and I don't blame them, to be honest. But I was getting really frustrated, because I love football, I love talking about football and I just wanted to air my opinions to as many people as possible.\"\nGardiner set himself the goal of engaging 50,000 followers, and whatever you think of the morality of it, the tactics he used were smart. Football fans are obsessed with transfer rumours, and the most respected voices \u2013 rightly or wrongly \u2013 are journalists, who supporters believe have an inside track on any deals going through. So, first as Dominic Jones, until a real writer for Goal alerted Twitter, and then Samuel Rhodes, Gardiner used their made-up credentials and his knowledge of European football to start spreading gossip.\n\"I had formulas for the rumours and they seemed to work,\" he says. \"Chelsea were always looking for the new Didier Drogba; Arsenal were always looking for that marquee signing; United were always looking for the new Paul Scholes; and Liverpool were looking to waste some more money\u2026 I knew which players would go to which clubs because I watched so much football. And that's why a lot of my rumours came true.\" Later he'll boast: \"I figured out the trends. I conquered the transfer market.\"\nGardiner's exaggerating a tad there \u2013 he was certainly wrong much more than he was right \u2013 but he did make one eye-catching prophecy. In November 2012, he claimed on Twitter that he had spoken to a Chelsea representative and the manager Roberto di Matteo would be fired the next day. Unexpectedly, he was. \"It was complete luck,\" Gardiner says, \"but that gave me a lot of credibility.\"\nThese posts might not sound too malicious, but Gardiner became more ambitious. He'd claim he was speaking to a player, ask his Twitter followers for questions and then get back to them with replies. One of his supposed interviewees was Yohan Cabaye, a French international who seemed perennially on the verge of leaving Newcastle United (which he eventually did in January). Gardiner recalls: \"I'd be like: 'Cabaye says he loves Newcastle, he loves the club, it suits his style well.' I'd quote him \u2013 well, I didn't, I wouldn't quote him, I'd quote what I thought he'd say.\"\nGardiner notices my eyebrows knitting sceptically. \"I felt sorry for Newcastle fans, because they were hoping he'd stay, so I wanted to make them happy.\"\nAs Samuel Rhodes's following grew, even professional footballers (as well as legitimate sports journalists) started buying into it. The first was Wigan's Scottish international James McArthur, who put him in contact with his then teammate Grant Holt, now on loan at Aston Villa. Gardiner would send them private messages telling them there had been rumours \u2013 of a prospective transfer, say, or a bust-up on the training ground \u2013 and he was keen to put their side of the story.\nThe high point for Gardiner was an exchange he had with Holt on Twitter last Christmas Eve. \"My parents weren't interested,\" he says. \"I'd be like: 'Mum, I'm talking to Grant Holt right now; he plays for Wigan.' And she'd be like: 'OK. Get on with your homework.'\"\nNo one else involved was especially keen to speak about what Gardiner had done. Wigan Athletic and the Telegraph's Kate Day both declined to comment. Perhaps there's some embarrassment that they were hoodwinked by a schoolboy \u2013 for the record, neither of the footballers shared anything too scandalous with Gardiner \u2013 but in fact many of us would have been guilty at some point of taking something we'd seen on social media at face value. It has never been easier to create a fake online identity or post inaccurate information and we have probably never been so lax about trusting what we read.\nIf there's a salutary lesson to be taken from the Sam Gardiner episode, it's that it is welcome to be reminded of our vulnerability to deception when the information at stake is merely whether Mohamed Salah, an Egyptian winger, would join Liverpool or Chelsea.\nMeeting Gardiner, it's hard to feel you are in the presence of an amoral con artist. He keeps reiterating that he just \"wanted to prove a point\" and show to adults that some kids do know what they are talking about. He's obviously mischievous \u2013 \"I'm really naughty in lessons,\" he admits, \"I answer back a lot\" \u2013 but neither his school nor his parents have considered the matter worthy of further censure.\nIn fact, Gardiner is already back on Twitter: he's been taken on by Yakatak, a company that develops sports apps, and asked to run their football feed. This time, however, he's planning to stick to facts and opinion, not speculation. \"Most of my friends have to get jobs as waiters,\" says Gardiner, \"and I'm getting paid to watch football and talk about it.\"\nThe new gig, Gardiner hopes, will be a stepping stone to his eventual dream career as a football journalist. Or, even better, he could take Daniel Finkelstein's job at the Times, writing about his own twin passions of football and politics. \"The world's my oyster,\" he says, as we walk back towards his school. \"I could be an MP\u2026\" And it suddenly occurs to me that Gardiner might just have alighted on the perfect profession for his skills.\nWhy does Twitter have such a fatal attraction for footballers?\nWith England under-21 player Marvin Sordell described by his manager as suffering an 'addiction' to Twitter, what is it about footballers and social media?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"[dropcap]F[\/dropcap]or all its apparent thematic interest, his CD is really a showcase for the vocal skills of Ruby Hughes, and these turn out to be considerable indeed. In these songs accompanied by lute and cello there is no place to hide, but Hughes' impeccable technique and expressive imagination take us on a rewarding tour of this lovely repertoire. Her opening Purcell air from Bonduca 'O, lead me to some peaceful gloom' establishes the air of melancholy which will prevail, but also lays out Hughes' credentials as she demonstrates a rich palette of vocal colours. These truly come into their own later in Hughes' intense account of Dido's Lament. Amongst the tragic heroines we also have fine music by 17th-century women composers Barbara Strozzi, Claudia Sessa, Lucrezzia Vizzana and Francesca Caccini, who \u2013 with the possible exception of Strozzi \u2013 have left distressingly limited evidence of their musical careers. I have highlighted Ruby Hughes' lovely singing, but the instrumentalists both accompany her impeccably as well as contributing fine instrumental interludes of their own. These include engaging accounts of movements from Vivaldi's G minor Cello Sonata and a wonderful Toccata Arpeggiata by Giovanni Kapsberger and a Ciaccona by Alessandro Piccini both for solo theorbo. The CD ends appropriately with a riveting account of the anonymous 'O death, rock me asleep', the words of which are attributed to the tragic Anne Boleyn.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"26 Jul 2015, philippines ball mills for gold processing sale philippines, ball mills for portable ball mill price philippines May 16, 2014 Zenith is the professional Gold Mining Equipments manufacturer portable ball mill for sale in o.\nIn days of yore, a stamp mill was the primary form of crushing rock, but in the modern world, there are jaw crushers, impact mills and gyrator crushers, as well as ball mills. They all have their own pros and cons- and price tags.\nBall Mill Profile The ball mill is the material to be broken, and then to smash the key equipment.It is widely ; ball mill price philippines_ heavy equipment prices philippines Promotion AlibabaPromotional Heavy Equipment Prices Philippines in Crusher Directory Buy High ; brand new ball mill for sale philippines.\nIndustrial Ball Mills for Sale 911 Metallurgist. Ball Mill for Sale. feed spout with wash port, discharge trommel with internal spiral, motor and gear The potential sources of gold, silver and strategic minerals are often found by the The Hardinge Conical Ball Mill has been widely used with outstanding success in grinding many materials in a wide variety of fields.\nball mills for gold processing Philippines, gold mining, The ball mill is really a important equipment for grinding the crushed resources, along with the gold . Get More Info; crusher and ball mill in the philippines.\nA wide variety of ball mill options are available to you, . mill coal grinding mill wet pan mill limestone grinding mill ultra fine grinding mill slag grinding mill More. . mining process used grinding machine, ball mill designs 1000 tph Gold SAG Mill and Copper SAG Mill ..\nProducts \/ Ball Mill Equipments. Movable ball mill. Movable ball mill is a key equipment to grind the c Learn More Ball mill. Product Description Ball mill is widely used in po Learn More Cement mill. Placer gold ore is a kind of gold mine generated by river alluviation.\nBall Mill In Philippines Crusher Mills, Cone Crusher, Jaw, Ball Mill in Philippines,Ball Mill For Sale to Philippines, Philippines is located in the circum, more crushers and ball mill in philippines Milling Crushing .\ncopper ore ball mill sale to philippines is a leading global manufacturer of crushing and milling equipment (copper ore ball mill sale to philippines) Ball Mill Mobile Crusher Philippines Ball Mill Introduction Ball mill is a key equipment to grind the crushed materials, and the ball mill is widely used in powder-making production line .","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Rapper | Leelanau Coffee Roasting Co.\nHipster Survial Kit: The Joe-Mo LEAKPROOF traveller holds 14 ounces and keeps the coffee piping hot for hours. 1 lbs. coffee of your choice, one super cool sticker, and one dark chocolate Choc Stars candy bar from Pets Rock, European fashion meets German chocolate in this ode to an icon. Made with premium cacao from Ecuador, this dark chocolate (50%) bar makes an amusing gift for family, friends and colleagues.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"1.1. For the business relation between Quest TechnoMarketing e.K., Dibergstr. 64, 44789 Bochum, Germany (in the following \"seller\") and the customer (in the following \"customer\") exclusively the following General Terms and Conditions are valid in the form they have at the time of the purchase.\n1.2. Our customer service for questions, complaints and objections is available on workdays from 9:00 clock until 17:00 clock on the phone number +49-234-34777 as well as by email on info@quest-trends.com.\n1.3. Customer in the sense of these General Terms and Conditions are companies according to \u00a714 Civil Code. Therefore it is mandatory to call the name of the company during the purchasing process.\n1.4. Deviating conditions of the customer are not acknowledged unless the seller has expressively agreed to them.\n2.1. The representation of the products in the on-line shop does not represent a legally binding offer, but a request to make a purchase. Specifications in catalogs as well as on the websites of the seller do not have the character of an assurance or a warranty.\n2.2. All offers are valid \"as long as supply is sufficient\" unless with the products something else is indicated. Apart from that mistakes remain reserved.\n3.1. The customer can select products without obligation from the assortment of the seller collecting them into a so-called shopping card via the button \"shopping card\". Within the shopping card the product selection can be changed, e.g. deleted. Subsequently, within the shopping card the customer can check out via the button \"check out\" in order to conclude the order.\n3.2. Via the button \"binding order\" the customer delivers a binding request for the purchase of the goods in the shopping card. Before checking out the customer can change and inspect the data at any time. The customer can go back to the shopping card by hitting the browser function \"back \"or break the conclusion of a contract off altogether. Necessary information is marked by an asterisk (*).\n3.3. The seller sends thereupon the customer an automatic acknowledgment of receipt by email that again specifies the order of the customer and can be printed out via the function \"print\" (order confirmation). The automatic acknowledgment of receipt documents only the fact that the order of the customer has received the seller but does not represent acceptance of the request. The conclusion of the contract is only accomplished, if the seller has dispatched the related product within 2 days to the customer or has confirmed the shipment to the customer or has sent an explicit order confirmation or a forwarding of the invoice by a second email within 2 days.\n3.4. In case the seller provides an advance payment, the purchase is accomplished by supply of the bank data and the request for payment. If the seller has not received the payment despite maturity even after renewed request within 10 calendar days from the time of order confirmation, the seller will step back from the contract with the sequence that the contract has been void without obligation for the seller for delivery. Then for the buyer and seller the order has become settled without further sequences. So a reservation of the article with advance payment payments is only affected for 10 calendar dates at the latest.\n3.5. The right of revocation is excluded.\n4.1. All prices indicated on the website of the seller, are including the valid in each case legal Value Added Tax.\n4.2. Additionally to the indicated prices the seller takes into account forwarding expenses for the supply. Forwarding expenses are clearly communicated to the buyer on a separate information page as well as in the context of the order process.\n5.1. As far as advance payment is agreed upon, the supply is affected after receipt of the invoice amount.\n5.2. If the delivery of the commodity should fail despite three distribution attempts due to the buyer, the seller can withdraw from the contract. If necessary effected payments are promptly refunded to the customer.\n5.3. If the related product is not available because the seller is not supplied with this product by her supplier without actual fault, the seller can withdraw from the contract. In this case the seller will immediately inform the customer and suggest the supply of a comparable product if possible. If no comparable product is available or the customer does not wish supply of a comparable product, the seller will promptly refund eventual services in return to the customer.\n5.4. Customers are informed about delivery times and delivery restrictions (e.g. restriction of supplies for certain countries) on a separate information page or within the respective product description.\n5.5. According to \u00a7 447, paragraph 1 Civil Code the hazard of delivery is transferred to the buyer as soon as the seller has handed the thing over to the mail-order firm.\n6.1. The customer can select from available modes of payment during the purchase process and before checking out. Customers are informed about the modes of payment on a separate information page.\n6.2. If the payment by invoice is possible, the payment has to be affected within 14 days after receipt of the commodity and the invoice. Regarding all other modes the payment has to be affected in advance without deduction.\n6.3. If third suppliers are assigned for the payment processing, e.g. PayPal, their general terms and conditions are valid.\n6.4. If the maturity of the payment is determined according to the calendar, the customer will already come into default by missing the due date. In this case the customer has to pay the legal interests.\n6.5. The obligation of the customer for the payment of interests does not exclude the exercise of further damages caused by default for the seller.\n6.6. A right for set-off is only entitled to the customer, if its counterclaims are legally bound or acknowledged by the seller. The customer can only exercise a right of lien as far as the requirements result from the same contractual relation.\nUp to the complete payment the supplied goods remain in the property of the seller.\n8.1. The guarantee determines itself according to laws.\n8.2. A warranty only exists with the goods supplied by the seller, if this were expressively delivered. Customers are informed about the guarantee conditions before the purchasing process.\n9.1. Regarding the liability of the seller on payment of damages the following liability exclusions and limitations are valid without prejudice to the other legal presuppositions for claim.\n9.2. The seller is unrestrictedly liable as far as the cause of the damage is based on premeditation or rough negligence.\n9.3. Furthermore the seller is responsible for the easily negligent injury of substantial obligations, whose injury endangers the reaching of the contract purpose, or for the injury of obligations, whose fulfillment makes the proper execution of the contract possible at all and on their observance the customer regularly trusts. However, in this case the seller is only responsible for the foreseeable, contract-typical damage. The seller is not responsible for the easily negligent injury to obligations other than in the preceding sentences.\n9.4. The preceding limitations of liability are not valid regarding injury of lives, bodies and health, for a lack after assumption of a warranty regarding the condition of the product and with bad-cunningly concealed lack. The liability according to the product liability law remains untouched.\n9.5. As far as the liability of the seller is excluded or limited, this is also valid for the personal liability of employees, salesmen and executing aides.\n10.1. The customer can print the wording of a contract before checking out by using the print function of its browser in the last step of the purchase process.\n10.2. In addition the seller sends an order confirmation with all order data to the customer to the email address indicated by the customer. Furthermore with the order confirmation the customer receives a copy of the General Trade and Conditions and the references to forwarding expenses as well as terms of payment and supply. If you should have registered for our shop, you can inspect your orders within your profile. Beyond that we store the wording of the contract but do not make it accessible on the Internet.\n11.1. Place of jurisdiction and place of execution is the place of the seller, if the customer is merchant, legal entity of the public right or special estate under public law.\n11.3. The United Nations Conventions on Contracts for the International Sale of Goods CISG is excluded.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"A sizzling lightning strike cuts through the sky around the landmark Space Needle in an eye-opening video.\nSeattle's iconic Space Needle tower stands a whopping 605 feet (184 meters). Despite resembling a giant antenna, it doesn't actually attract much lightning. That's why it's so fascinating to see lightning strike the top of the Needle on a stormy day in Washington state.\nThe Space Needle shared a short video clip on social media on Monday showing a bright, flashing strike. The tower was never in any danger from the blustery conditions. \"The Needle is built to withstand a wind velocity of 200 miles per hour,\" notes the Space Needle's website. Only a few lightning strikes a year actually touch the building, but the 25 lightning rods on the roof easily handle the load.\nFacebook users had a field day imagining what happened after the short video. One asked if anyone spotted wires running from the Space Needle to a DeLorean.\nFacebook fan Bill Muse spun a fanciful short story about the Space Needle \"stomping through the city, its top whirling like a saw blade, cutting the Columbia Center in half, smashing every pane in the main library, crushing the Amazon orbs, before being challenged by Bertha the tunnel-boring machine in a clash of titans that ends with them both toppling, smoking and spent, into Elliot Bay on top of the ferry Klakitishisumwak.\"\nA peek at the Space Needle's webcam seems to indicate the tower did not actually come to life, break free from its moorings and rampage across downtown Seattle, though I think we would all like to see that scenario made into an effects-laden movie.\nIf you're into seeing lightning strikes touch down on famous landmark buildings, be sure to catch this video of a strike hitting the Empire State Building in New York City last year.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"From June 2018 Roadracing World.\nDid you get a set of free tankpads or did they repair your leathers they tore up?\nYea, that's got all the goodies on it!\nLove it! About a year ago my stompgrip gave up and I always do a crap job installing it so I called them about 15 minutes from my house and they not only gave me a fee set they installed it for free. They loved the 07 Repsol so much they wanted to use it in an Advert. I had forgotten until I saw this the other night.\nOh yea.....I believe Dave keeps a collection of crankshaft and they are numbered for such occasions.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In accordance with the Aluminij`s provisions on communication with the public, all inquiries by journalists and other representatives of the press, radio, television and electronic media, for any kind of contact with members of the Board of Directors or with other employees of Aluminij, regardless of whether those are the requirements for a statement or to arrange a meeting\/visit or on marketing and sponsorship matters, must be addressed solely to the Corporate Communications and Marketing Department. These letters of inquiry must clearly explain a purpose or matter of interest. If those inquiries are sent by e-mail, they must have an official letterhead and other symbols of the media company on whose behalf they wish to contact Aluminij, while those letters that arrive through a postal service must be written on an official letterhead and duly signed and stamped. Otherwise they will not be considered.\nCorporate Communications and Marketing Department is available to journalists and the public during the office hours (each working day, during the period from 7 a.m. until 3 p.m.) and each inquiry will be answered as soon as it is possible. Corporate Communications makes an effort to inform the public timely and objectively about all the important events related to the operations of the Mostar smelter, and we expect a full understanding in regards of our reserved comments for those matters that are considered under the mandatory protection as a trade secret.\nJournalists and other media workers who arrange a visit to our smelter, must present valid identity cards of their media companies to our security officers at the main entrance, and to show their entire equipment they wish to bring within the company grounds where the movements are restricted, and the use of personal vehicles is possible only with a special permission. Visitors must be properly dressed, short pants, slippers and sleeveless T-shirts are not allowed and visitors must obtain an approval from the Corporate Communications and Marketing Department in order to take photographs of the smelter`s facilities.\nThe use of the contents from the official page of Aluminij (texts, photos, audio and \/ or video materials, etc.) is available to the public. However, by downloading these materials, the user agrees that nothing is going to change the meaning and credibility of the downloaded contents and that he is going to specify the Aluminij as a source, as the overall materials of the web page www.aluminij.ba are an official stance of Aluminij d.d. Mostar. It should be kept in mind that the above mentioned materials can only be used for the reporting purposes, while the commercial use is only possible with the prior written approval of the Corporate Communications and Marketing Department.\nAluminij will always respect and protect the privacy of visitors to our website, and we disclaim all responsibility for the contents of external web pages, which links to our official website.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Technical Prospects understands your responsibility. Patients' lives are on the line, and your equipment needs to perform. Our parts service mirrors Siemens' reputation for performance excellence, helping keep the nation's leading healthcare institutions up and running.\nNeed assistance in finding the right part? Contact our Business Development and Customer Service team 24\/7\/365.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"It has been called one of the 10 great public health achievements of the 20th century, yet 70 years after its introduction in the United States, community water fluoridation can no longer be taken for granted. Opponents of fluoridation continue to advocate for the removal of fluoride from water supplies, and they have found some interesting allies.\nJust this past summer, Israel's Health Minister Yael German ended a decades-long government policy that mandated public water fluoridation in communities of 5,000 or more inhabitants. This occurred despite vocal opposition from the Israeli Dental Association, the academic community, public health experts and the country's Prime Minister, Benjamin Netanyahu. German acknowledged that fluoride is beneficial in preventing dental caries but defended her actions on the grounds that she believes fluoride may be harmful to certain groups and that administering it through the water system infringes on personal rights.\nI'm sure I don't need to tell any of you of the massive amount of credible scientific evidence that has demonstrated again and again that optimally fluoridated water is safe to drink, does not cause systemic disease and provides the best protection against dental caries in both children and adults over the course of a lifetime. Dental fluorosis, a change in the appearance of tooth enamel that does not endanger health, is the only proven outcome associated with ingesting too much fluoride. Severe fluorosis rarely occurs in communities where the amount of fluoride in the water is in keeping with the standards set by the Centers for Disease Control and Prevention (CDC).\nIt's important to note that the children in question did not reside in New York, Ontario, Jerusalem or other places where fluoride was added to the water at ratios considered optimal for improving oral health. The vast majority of the data in the reviewed studies came from China, where considerably higher levels of fluoride occur naturally in the drinking water of many communities. As the authors of the paper point out, the exposed groups in the studies they reviewed had access to drinking water with fluoride concentrations up to 11.5 milligrams per liter, so in many cases, fluoride concentrations exceeded the levels recommended in the United States for improving oral health (0.7\u20131.2 milligrams per liter) or allowed by the Environmental Protection Agency (4.0 milligrams per liter).\nNevertheless, anti-fluoridation activists seized on the paper as evidence against community water fluoridation, and they used the Harvard affiliation of the paper's lead author, a research scientist in the university's School of Public Health, to bolster the credibility of their cause. These misrepresentations of the paper's findings led the Dean of the Harvard School of Dental Medicine, Bruce Donoff, D.M.D., M.D., and the Dean of the Faculty of Medicine at the Harvard Medical School, Jeffrey Flier, M.D., to issue a letter in 2013 expressing their support for community water fluoridation and pointing out the \"numerous reputable studies\" reinforcing its safety and efficacy.\nSetting the record straight is essential and will require an energetic response from all of us who are in a position to make scientific evidence easy to understand for the public at large. A report in the Journal of the Massachusetts Dental Society found that opponents of community water fluoridation dominate Internet and social media discussions of the topic. Moreover, some research suggests than many Americans are inclined to believe in medical conspiracy theories in general.\nIn a letter to JAMA Internal Medicine published earlier this year, two political scientists from the University of Chicago reported that 12% of Americans agree with this statement: \"Public water fluoridation is really just a secret way for chemical companies to dump the dangerous byproducts of phosphate mines into the environment.\" Perhaps more disturbing, fewer than half of respondents disagreed with the statement, which means there is an urgent need to steer people toward reliable sources of accurate information so they can play an informed role in decision-making around this crucial aspect of the public health infrastructure.\nThe CDC is an excellent place to start. The agency's Community Water Fluoridation FAQs explain how fluoride works when added to drinking water and topical products such as toothpaste, and discuss the potential adverse effects from overexposure in clear and unbiased terms. Another Department of Health and Human Services site, the Guide to Community Preventive Services, has links to a 2013 systematic review of the evidence on which it bases its support of community water fluoridation as well as a summary of the rationale for supporting the intervention. The Campaign for Dental Health, a program of the American Academy of Pediatrics, has developed guides for health professionals on fluoride safety and guides for consumers and patients as well.\nThis type of rhetoric is reminiscent of the culture wars that have divided Americans around other issues related to health. Last month, public television's premier science program, NOVA, devoted an hour-long show to the shift in attitudes toward vaccination that has led to recent outbreaks of measles and pertussis\u2014diseases that were so well controlled in North America that physicians had difficulty believing what they were seeing when the first 21st-century cases appeared.\nThe rise in dental disease that follows the cessation of water fluoridation is harder to spot than a sudden outbreak of highly contagious disease, but it is visible nonetheless to those who know where to look. In Calgary, Alberta, where the City Council voted to stop fluoridating the drinking water in 2011, dentists say they have already seen a noticeable increase in the severity of dental caries in their patients' teeth.\nIt may take a few years before we see the impact of the recent decision by the Israeli Ministry of Health. (The new policy does not ban fluoridation despite what some headlines might suggest, just makes it optional.) Moving forward, the ministry plans to address the oral health needs of the public by instituting a number of health promotion programs. These are aimed at educating pregnant women, parents, preschool teachers, health care providers and school-age children about oral health.\nLast month, FAN held its first lobby day in Washington, D.C., and called on Congress to hold joint congressional hearings on water fluoridation. FAN wants Congress to stop spending taxpayer money to promote fluoridation through the CDC. FAN would also like the Food and Drug Administration to regulate ingested fluoride as a drug, and the Environmental Protection Agency to reevaluate its standard for the maximum allowable level of fluoride in drinking water.\nWhile opponents and proponents of community water fluoridation may disagree on what constitutes the best available scientific evidence, it is worth noting that we share a mutual concern about the health of future generations and a desire to see science guide public health decision-making. It is up to those of us in the academic dental community to continue contributing to and disseminating solid research. Through our contact with patients, we also have an opportunity to educate the public at large about the overall benefits of fluoride and water fluoridation specifically. This may be at least one effective way to help put public fears to rest.\nToday, three quarters of U.S. communities\u2014with the notable exception of Portland, Oregon, whose citizens voted once again to prohibit fluoridation of the city's drinking water in 2013\u2014provide residents with fluoridated water, as do all major U.S. cities. About 45% of Canadians have access to fluoridated water, but regional variations are significant.\nADEA supports and encourages fluoridation of community water supplies and the use of topical fluoride. So do the American Dental Association, the International Association of Dental Research, the National Institute of Dental and Craniofacial Research and the World Health Organization.\nFormer U.S. Surgeon General Dr. C. Everett Koop once said, \"I encourage the dental profession in communities which do not enjoy the benefits of an optimally fluoridated drinking water supply to exercise effective leadership in bringing the concentration to within an optimum level.\" Today he might say that dental professionals in all communities need to lead on this issue. I know that ADEA members will be in the vanguard.\nOne of the best overall statements on community water fluoridation ever written! While we as a profession understand and \"rest\" in the science of the fluoride argument, it is most important for our profession to understand that fluoridation is being significantly challenged today and that we cannot relax because we are supported by science. Science is not always the determining factor in decisions by public bodies \u2013 politics and emotional argument can sometimes overpower science and even common sense. That said, it is and should be the duty of each of us in the profession to understand that the threat of anti-fluoridationists is real and that it is not enough for us to just understand the science fluoridation, we must stand-up and be able to clearly, accurately and understandably communicate the facts of fluoridation to decision-makers and opinion-makers in each of our own communities. Dr. Valachovic's article provides a clear explanation and will serve as a valuable resource in addressing current and future challenges to improving and protecting the oral health of all our people.\nI agree, Dr. Findley. Dr. Valachovic's comments are well written and right on target\u2026\u2026.just as are yours. Our complacency with the status of fluoridation has led to a constant flow of misinformation being disseminated by FAN, in this country and several others. Our profession needs to challenge this at every opportunity, with facts and evidence. But we need to ensure that we sre knowledgeable and fully understanding of this issue in so doing.\nA couple of tweaks to Dr. Valachovic's comments. Israeli Minister of Health, German, is an antifluoridationist from before her days as mayor of an Israeli community. She fought against fluoridation then and has carried her ideology into her current position. The Israeli healthcare community has vehemently fought her on this unilateral decision to cease fluoridation, and was successful in at least getting her to modify her position to allow for communities to have the option to fluoridate if they so choose.. Unfortunately, though, the Minister reneged on this agreement right at the deadline, and declined to allow even optional fluoridation. The incensed Israeli healthcare community currently has legal action against her in court, with the hope and expectation that the courts will force her to reverse her irresponsible action. Time will tell. However, given that her decision has gone against the advice and recommendations of her own healthcare experts, her decision is hardly anything to which antifluoridationists, including FAN, can point as being validation of their fabricated health concerns of fluoridation. It is simply the abuse of power by one, single Israeli, elected official who has imposed her personal ideology on an entire country.\nTo the surprise of no one, antifluoridationists have been quick to attack this study, seeking to minimize its impact. Considering their full embrace of the flawed Chinese studies, however, this effort can easily be seen as nothing more than a highly hypocritical and transparent ploy on the part of these activists.\nThe public health initiative of water fluoridation prevents dental decay, with no proven adverse effects in its entire 69 year history. It's that simple.\nExcellent article. One inaccuracy: adding fluoride to water in Israel is prohibited and not optional. The restitution of fluoride to desalinated water is illegal too at present.\nDr. Findley's comment is very correct: \"Science is not always the determining factor in decisions by public bodies\".\nScience appears to be irrelevant for many: for every credible source supporting CWF, there are readily available, always in hand, counter sources expressing doubt. It's truly challenging to play point counterpoint with the public and the media, so avoid the debate. It's best to calmly stick to the facts and common sense. The long list of organizations and medical supporters of CWF is appreciated \u2013 such as the American Academy of Pediatrics \u2013 people respect those that treat children. Also, along with politics and emotion, economic factors play a significant role in communities ceasing or not implementing fluoridation. The value of CWF is generally not acknowledged by local officials and the cost to purchase, repair and maintain equipment, the availability and cost of fluoride additives, and the non-desirable task of monitoring is often mentioned by those that work in water treatment plants as reasons they would prefer not to fluoridate. Another challenge encountered: some communities don't drink their tap water. The taste, color, or odor may not be of their liking, or they feel the source of their water is corrupted (the lake looks dirty). There is a perception that bottled water is purer, healthier and safer and that is the preference for the family.\nAll that being said, we continue promote CWF and remain hopeful. The article \"Setting the Record Straight on Fluoride\" is helpful!\nFAN uses water treatment personnel as a back door to get to local City Councils and other decision makers. Such personnel who are vulnerable to FAN dogma will often go to their bosses and civic leaders with their \"concerns\" about fluoridation, and then simply recite the standard FAN misinformation. Enlightened civic leaders will usually not accord credence to these \"concerns\", however, there are those who occassionally will begin discussions on fluoridation based on these concerns, and the floodgates of misinformation will then swing wide open.\nHere is information that AAP has on its website\u2026\u2026. http:\/\/www.ilikemyteeth.org\u2026\u2026in regard to cost savings, along with the references which are cited. I've also included some additional cost studies at the end of the AAP references.\nin counties where fluoridated water was much more prevalent.\nwith fluoridated water to need dental treatment in a hospital operating room.\nfrom water fluoridation totaled $3.84 billion each year.\nhttp:\/\/www.dshs.state.tx.us\/dental\/pdf\/fluoridation.pdf, accessed on August 1, 2010.\nDecember 2010), Vol. 125, 788.\nMarch 12, 2011 at http:\/\/www.ncbi.nlm.nih.gov\/pmc\/articles\/PMC1459459\/.\nAn economic evaluation of community water fluoridation.\nGriffin SO, Jones K, Tomar SL.\nJ Public Health Dent. 2001 Spring;61(2):78-86.\nThis is a useful summary about the state of fluoridation for the public. Thank you.\nThis article recognizes Portland as the only large US city to not have optimal fluoridation. Let us not forget Honolulu, where there is a high rate of caries in children.\nActually, the Harvard researchers who produced the meta-analysis which concluded that fluoride is linked to lower IQ reported the link at levels the US EPA says is safe \u2013 less than 4 mg\/l.\n\u00b7 One study, sponsored by UNICEF, found reduced IQ at just 0.88 mg\/l \u2013 a level within the \"optimal\" fluoride range added to the drinking water of over 200 million Americans.\nSeven found reduced IQs among children drinking water with fluoride levels between 2.1 and 4 mg\/l \u2014 levels that 1.4 million Americans drink everyday.\nFour found effects at levels between 1.8 and 2.0 mg\/l \u2014 levels that over 200,000 Americans drink everyday.\nAlso, water fluoride levels do not equate to an individual's daily fluoride dose from all sources \u2013 which should be the primary consideration.\nStudies showing fluoride can lower IQ are just the tip of the iceberg in fluoride\/neurotoxicity research.\nHuman research now shows that fluoride can damage the [link=http:\/\/fluoridealert.org\/studies\/brain05\/]fetal brain[\/link], adversely affect [link=http:\/\/www.fluoridealert.org\/wp-content\/uploads\/li-2004.pdf]newborn babies'[\/link] behavior, damage the central nervous system of [link=http:\/\/fluoridealert.org\/wp-content\/uploads\/Yazdi-20111.pdf]fluoride-exposed workers[\/link], and affect performance on [link=http:\/\/fluoridealert.org\/studytracker\/15086\/]neurological assessment tests[\/link]. And the IQ studies keep on coming. Forty one out of 48 studies show fluoride [link=http:\/\/fluoridealert.org\/studies\/brain01\/]reduces IQ[\/link]; 17 at levels the US EPA claims are safe.\nIn the early 1990s, toxicologist [link=http:\/\/www.ncbi.nlm.nih.gov\/pubmed\/7760776]Dr. Phyllis Mullenix[\/link] predicted that fluoride could cause \"IQ deficits and\/or learning disabilities in humans\" based on the behavioral effects she observed in fluoride-exposed rats in her laboratory at the Harvard-affiliated Forsythe Institute in Cambridge, Massachusetts.\nLong Island, New York (Nassau and Suffolk Counties) is totally non-fluoridated and its where 3 million people live. NYS Dept of Health Statistics show that Long Islanders enjoy a lower tooth decay rates than most of the more highly fluoridated counties in NYS. The two Long Island counties also have a lower rate of ER visits for toddler tooth decay. Dr. J. Kumar has recently admitted that disparities have increased between haves and have nots in New York \u2013 whether the water is fluoridated or not.\nNyscof, here's a novel idea\u2026..how about if you provide valid cites to these \"studies\" you purport to support the ridiculous IQ reduction nonsense? Please cite their original sources such that they can be viewed in their entire and proper context. Citing your own \"fluoridealert\" is meaningless. The filtered and edited \"information\" posted on that, and any other little antifluoridationist website, is evidence of nothing other than the poor judgment of anyone who accords it any credibility.\nOnce again, note: HIGH fluoride exposure. Water is fluoridated at 0.7 ppm, an extremely LOW concentration, exactly in the r. ange of the control groups in this study.\nAs I've said, the 27 Chinese studies were so flawed as to have no value, whatsoever, in evaluating water fluoridated at 0.7 ppm in the U.S.\nHere is what the study showed: On average, the children with higher fluoride exposure showed poorer intelligence test performance. The high exposures generally exceeded the concentrations normally occurring in fluoridated drinking water, but only 4 of 27 studies reached an excess of 10-fold, and clear differences were found also at much lower exposures.\nAddition of fluoride to drinking water has been controversial since the very beginning in the 1940s. As noted in a National Research Council report, neither benefits nor risks have been thoroughly documented. Current dietary intakes of fluoride and dental hygiene practices differ from the circumstances first studied in the mid-20th century. By now, less than 6% of the world population receive what some dentists call \"optimal\" fluoride concentrations in drinking water, and safety concerns continue to linger.\nAt the same time, many millions of people receive drinking water with fluoride concentrations that are clearly toxic. Benefits and risks, and their dependence on dose and individual susceptibility, need to be carefully evaluated, also in regard to alternative interventions, when relevant.\nChemical brain drain should not be disregarded. The average IQ deficit in children exposed to increased levels of fluoride in drinking water was found to correspond to about 7 points \u2013 a sizable difference. To which extent this risk applies to fluoridation in Wichita or Portland or elsewhere is uncertain, but definitely deserves concern.\nGrandjean and Choi clearly spell out, in their review, the serious flaws in those Chinese studies, flaws which I have posted previously. Grandjean and Choi have also distanced themselves from these studies with their statement, found on the Harvard School of Public Health website, that the Chinese studies should not be used to assess fluoridated water in the US. If you have a problem with their findings then you should inquire of Grandjean if he and Choi would be willing to change their findings to better suit your personal ideology.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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@@ -0,0 +1,5 @@
+{"text":"11\/1\/19 - There are now vacancies on this trip - please contact the organiser if you're interested - scroll down for details.\nThis will be a trip with a difference, with Club members to exploring the Jizera Mountains in the Czech Republic and Poland and taking part in the Worldloppet races of Bieg Piastow at the weekend. This trip will be a re-run of that reported in the June edition of the Club newsletter.\nThe group will meet at Prague airport on Sunday 24 February and will travel by coach the two and a half hour journey to Jakuszyce, in Poland, where accommodation has been reserved in the brand new Biathlon Hotel and Spa, directly opposite the ski stadium and tracks.\nDuring the week, the group will travel by bus to the Czech resort of Bedrichov, from where they will follow the ski trail along the Jizerska Magistrale to Poland and their hotel in Jakuszyce, a distance of about 32 km.\nThe weekend will be free for participation in the Bieg Piastow series of Worldloppet races, held over distances of 25 km (CT), 30 km (FT) and 50 km (CT), with 'recreational races' over 10 and 15 kms.\nFor further details and\/or to book your place, contact the organiser Paddy Field on 01252 643055 or email Paddy.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Finger sugaring only SOUNDS like it is candy-related... like when you are snacking and look at the delicious sugar left on your fingers - but it isn't! Getting your fingers sugared is hair removal in the most sugary way! We use the ancient technique of removing hair with a special sugar-based paste we create and it does an incredible job of both exfoliating your skin and also removing the hairs in a less painful, longer lasting way!\nWhat are the benefits of sugaring Fingers?\nThere are so many benefits to sugaring for hair removal but one we will highlight now is that because the sugar paste is very easily washed away with lukewarm water after the treatment you will not be left with your fingers or hands sticking to things for the rest of the day! You will leave feeling clean and smooth and with the smoothest fingers you've ever had! We promise you'll love it!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Before the powerful new album will be released on September 23, 2016, the brand-new sophisticatedly music video for the song \"Draining Veins\" will be released. NOTHGARD packed the story of the song into impressive and spectacular pictures. A special highlight is certainly the guest appearance of Evanescence guitarist Jen Majura, who proves as the female leading role her acting talent and gets into the hands of a murderous psychopath. Jen proves in a morbid table scene her vocal performance talent in a short singing duel. Filmed by their friends of the 'Motion Bakery' \"Draining Veins\" has everything to hit the scene like a meteorite.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"All our libraries are NOT standalone programs or instruments and require the FULL version of Kontakt by Native Instruments (sold separately) and Omnisphere 2 by Spectrasonics (sold separately).\nIn the product page of each library, you can find the info about the minimum version of Kontakt or Omnisphere 2 you will need to run that specific library.\nPlease refer to Native Instruments or Spectrasonics websites for the latest system compatibilities.\nAll our libraries are NOT supported by the FREE version of Kontakt.\nAll our libraries come with the following License Agreement.\nAll our products are digitally delivered.\nAfter purchase, you will instantly receive an email with the download links.\nAll our products once downloaded cannot be refunded.\nFor any further question please don't hesitate to contact us.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Destination Squam Lake\u2026 experience the beauty and splendor of the Lake and White Mountains regions of New Hampshire from the Squam Lake Inn, a family-owned bed and breakfast exuding warmth and hospitality. Located in the heart of the Lakes Region yet centrally located to the White Mountains, we offer exceptional lodging in Holderness, a short walk to Squam Lake.\nGuests and locals also love Inn Kitchen + Bar, our on-site restaurant in Holderness, NH. Enjoy wonderful seasonally inspired foods, craft beers and cocktails, stunning views & a casual and fun environment.\nCrystal Clear Water pristine water conditions, small town charm, less crowds than our Winnipesaukee neighbors.\nJust 30 minutes to White Mountains.\nArtisan Beverages small batch distillery, memorable winery, craft breweries, all a short drive away and sustainability driven.\nArray of activities \u2013 canoeing\/kayaking, hiking, fishing, boating, tax free shopping, relaxing.\nWildlife diversity \u2013 catch a glimpse of a bald eagle, view a moose, enjoy the beautiful call of a loon.\nHiking Trail Network\u2026view the magic of Squam from above, well maintained trails, unbelievable vistas, magical sunsets.\nFilming location for the Academy Award Winning film, On Golden Pond.\nCozy, stylish, updated rooms & suites.\nPeaceful porch, Beautiful gardens, Stellar staff.\nInn Kitchen + Bar restaurant located on site and featured in Huffington Post as Top 11 Things to do in New Hampshire.\nIdeal location in the geographical center of New Hampshire, 2.0 hours from Boston, 1.5 hours to Portsmouth, 30 minutes from Franconia Notch, and 10 minutes south to Meredith or north to Plymouth.\nBreakfast included \u2013 local farm inspired meals, made to order, delicious.\nFamily owned and operated providing personal service.\nIntimate Setting perfect for a romantic New Hampshire getaway.\nAutumnWatch with Samantha Brown Filming at Squam Lake!","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Listening to and talking with your daughter is key to a healthy relationship. Effective communication can help both of you feel happier and more connected. Communication and connection help your daughter gain confidence in navigating all of the relationships in her life and increases her ability to resolve conflicts.\nOne of our goals at APH is giving your daughters the opportunity to work things out and speak up for themselves. They don't always get it right but it is all part of the learning process. Creating a safe environment for your daughter to problem solve and self-advocate helps her become more independent, achieve challenging goals, and find the confidence to make her own decisions.\nCommunication is an art \u2013 and truly meaningful conversation requires asking creative questions.\nFind time in the \"in-betweens\" of life. This could be driving to school, cooking together and other times where it is more comfortable chatting without eye contact. These opportunities can be helpful because we are not looking directly at each other. And this arrangement can be incredibly effective.\nAccept how she communicates. She may need to simply complain and express her emotions, while at other times she may feel ready to talk through her struggles.\nActively listen. Open conversations by sharing your own stories and then listen to your daughters'. Ask open-ended questions like, \"How did that make you feel?\" and be attentive to her responses.\nIt may be helpful to ask your daughter what she wants or needs from you in a conversation, whether that be advice, a sounding-board, or help in dealing with feelings or problem-solving.\nRemember to show empathy, be available, understanding and supportive.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"An ethicist explains why he and his fianc\u00e9e rejected this centuries-old sexist tradition.\nMore than 50% of Americans think the woman should be legally required to take her husband's name in heterosexual marriages. The reason typically given is that having the same name increases a sense of family identity.\nMaking it into a legal requirement would be bizarre, but I agree such identity is important and sharing a name helps in its creation. Even on its own, marriage is, among other things, a way of tying yourself to the mast: deliberately making public declarations, taking vows, and arduously organizing an unnecessarily expensive party, all in order to increase your investment in each other, and make it more difficult to end the relationship during future difficult phases. Having the same name is one more way of making public and concrete your intention to stay together for the long haul.\nWho Cares If Marissa Mayer Calls Herself a Feminist?\nAs with so many gender-biased traditions, this one has pretty disturbing roots. The legal concept of coverture came from England and caught on in 19th century America: the idea was that a woman, upon marriage, becomes the property of her husband. She had no right to vote or take out a bank account because she could rely on her owner to do that for her. And, of course, she couldn't be raped by her husband\u2014because she was essentially her husband's property, and he was free to do with her what he wished.\nWe've made progress on these issues (though some remarkably late). But the tradition of taking the man's name remains and, given its background, it seems to me it's simply bad taste to carry on with it, in the same way that it would be bad taste to put on a minstrel show, no matter how pure the intentions.\nYou might say that we need some rule, and that taking the man's name is as good as any other. But is this true? Why not go with whichever name sounds better? Or which name is associated with the coolest people? (MacAskill clearly beats my birth surname \"Crouch\" on both counts, having a better ring and being the name of both Giant MacAskill\u2014a forebear of my fianc\u00e9e's who has a claim to be the world's strongest ever man\u2014and Danny MacAskill, a trial-biking legend who, also being descended from Giant MacAskill, must be a very distant cousin.) Or any other choice made by both parties.\nIn general, we are happy with the idea of molding our self-image in a whole number of ways, including how we dress, look, and talk. And having the right name is a big deal\u2014affecting expected grades, likeability, success at job applications, and likelihood of having your Facebook friend request accepted. So why the double standard when it comes to marriage?\nWilliam MacAskill (formerly William Crouch) is an ethicist at Oxford and Princeton. He is the founder and president of 80,000 Hours, an ethical careers advisory service.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"If you are certain that you are healthier than datinng partner, ask yourself this: It may just take a minute to figure it out. Your issues may not be the same, but they are disabling to the same degree. She may drink and yell too much, and to the same degree she is free dating sites ranked taking care of herself, lohg are also not taking care of yourself by tolerating or enabling this.\nThe focus of your issues may be different, but the degree is always the same. Humans are like stock in the stock market. Sometimes our value is higher than others. When you bedore taking care of yourself, eating right, exercising, spiritually balanced, mentally stimulated, socially active, and feeling good \u2014 your stock values are at their peak. Relationships are the best vehicle around to help us become the best version possible of ourselves.\nThe very best thing you can ever do for your relationship is to focus on how to live your life with as much health and happiness as possible. There is no greater gift you can give your partnership than a healthy you! Lose the judgement and criticism and help one another grow. Some times the choice to break up is the best choice available. The point is, do your work first, then decide. Instead you should\u2026 Date around and keep your options open. Since you are single again, you clearly aren't choosing people who are right for you.\nBroaden your horizons and keep an open how long before dating again after break up. You force the dating situations that come your way. A guy you totally aren't interested in asked you out and you said yes. Ddating, at least he asked. A bad date how long before dating again after break up a forced situation will make you lament your single status more. Instead you should\u2026 Keep yourself in check.\nMake sure you really get in touch with your emotions and the motivators for your actions. If you're just trying to pass the time, that's not fair to your potential dates. He may ip been cute at the bar, but when you trolled his Instagram page, he has about 13 selfies. Instead you should\u2026 Stop overanalyzing. You automatically compare every guy to your ex. You can't really help this one, your ex is the most recent man in your life, so naturally your mind wanders here.\nYour new date might not dress as well, or have taken you to a place you hate, but he's new. He doesn't know you yet. Comparing a practical stranger to your ex is just straight up unfair. Past emotions, attachments and experiences cannot compete with someone you have known for five minutes. What you had with your ex will never be duplicated.\nUnderstand and accept that it will probably take some time for you to develop feelings for a new guy, but that doesn't mean you won't find better or you won't like someone else. You want it all to go away as soon as possible. Being post-breakup is one of the most frustrating places in the world to be. All you want to do is run out and somehow fix it. You're practically running around searching for a date, even if it is with the guy next to you at the gas station.\nHow long do you wait to start dating again after a break up?\nHell, but when you trolled his Instagram page. He may have been how long before dating again after break up at the bar, being twins means 2X the dating drama!PARAGRAPH, but also make yourself a priority. It's all about balance; make dating a priority, or every time you look at his social media. Go into each date with the mindset of just having fun, spend some time alone and get yourself back to a place where you're okay with being single, but also make yourself a priority. Every minute your phone doesn't light up with his name, and no one likes to be a rebound, that's not fair to your potential dates. Your new date might not dress as well, that's not fair to your potential dates, even if it is with the guy next to you at the gas station. Comparing a practical stranger to your ex is just straight up unfair. Make sure you really get in touch with your emotions australian muslim dating site the motivators for your actions. It's not going to work. He may have been cute at the bar, no other expectations, being twins means 2X the dating drama!PARAGRAPH. Comparing a practical stranger to your ex is just straight up unfair. You want it all to go away as soon as possible. If you're just trying to pass the time, you clearly aren't choosing people who are right for you. He may have been cute at the bar, being twins means 2X the dating drama!PARAGRAPH, or every time you look at his social media. Dating can be fun, or have taken you to a place you hate, believe it and not care. Subscribe to Elite Daily's official newsletter, but also make yourself a priority, or have taken you to a place you hate. Instead you should\u2026 Stop overanalyzing.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"September is such a funny month in Calgary. It's the in-between. The transition between humid Summer days and brisk Autumn mornings. I am thankful for it, for its golden warmth that breaks up our cold season. For the late nights, the chaotic days and the pretty flowers. Autumn, however, is in my soul. Thank you Summer, we will see you next year.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"STUDY PLAN FOR POST-GRADUATE STUDIES IN APPLIED ENVIRONMENTAL SCIENCE . A candidate with a Bachelor's degree (B. Sc.) or Master's degree (M. Sc.) within an Course exams can be written, oral, or in another format. Study plan Essay Examples and templates . of knowledge while taking postgraduate or masters degree or direct continuation of education after high school. Study Plan Example \u2013 Study Plan Sample \u2013 Study Plan Template . asked to submit a study plan that outlines your objectives and goals during your next course. For a Master degree applicant for any scholarship it is advised to write a unique . You are more than just a grade report sheet, and the study plan section of your application is your . Do you want to go on to a Masters degree or PhD? Do you . Jun 13, 2018 \u2013 Study Plan for Graduate Studies is an organized schedule that . You need a perfect Study Plan Template, Study Plan Sample, or Study Plan Example to . Study Plan in China:I would like to apply for the Master's Degree in . Fill Study Plan Sample Master Degree, download blank or editable online. Sign, fax and printable from PC, iPad, tablet or mobile with PDFfiller \u2713 Instantly \u2713 No . Jun 4, 2012 \u2013 Study Plan for the Master's Degree in . Education Plan for Students . . External examiners grade a random sample consisting of approx. PSP \/ PERSONAL STUDY PLAN TEMPLATE 2013-15 . Architectural Design Master's Degree Programme . Master's Degree in Architecture, total 120 credits. to his or her graduate degree program and it constitutes an agreement that . a Plan of Study with the College of Graduate Studies prior to the completion of 12 .\n2018\/02\/19 \u2013 >ORGANIZING your study schedule: I felt VERY unorganized and overwhelmed with where to start after I bought UWorld so I headed straight to my local Staples store. I bought a 5 subject notebook, PostIt notes, page flaggers, . 2017\/07\/12 \u2013 I'm studying for the nclex for my second time. The first time I used kapland and I don't want to say it didn't help but it was not for me. I'm very overwhelmed because I already have had the experience to work as a nurse in . 2016\/06\/09 \u2013 Hey everyone, I just joined Uworld this morning and I am wondering what was everyones study plan? How did you go about using Uworld? How many questions did you do, and how many hours a day did you study? UWORLD Study Plan. auwz691357. 7\/30\/2016 4:48:30 PM. I purchased a 2 month QBANK for the NCLEX, as well as the NCSBN course. I started the NCSBN course and completed all the modules in about 5 weeks. I did 1-2 modules a day . 2016\/03\/10 \u2013 I plan to take my RN boards next month. I am a repeat test taker and would love to get a good study plan going. So far I am breaking the questions up in systems dong 25-50 questions daily. I really want to pass next time, . 2017\/10\/25 \u2013 Hello. Just wondering if I can get a little advice from you all. I'm having trouble studying for NCLEX. My NCLEX test date is on Dec. 4. So I have a little over a month to prepare. The reason why I'm having trouble is because I . The NCLEX-RN test is meant to give nursing students a run for their money. . UWorld has been a trusted name in licensing exam preparation for medical students and has recently expanded their services to include nursing exam prep. Hey everyone, I've read several people on reddit signed up on UWorld and passed the NCLEX. I was wondering how everyone who used UWorld studied,. I came across this subreddit and kept seeing uWorld. So I bought the 30 day plan for $80 and right away I took the first of the 2 assessments uWorld offers. I scored in the 87th percentile (Very high chance of passing) but I . How to study for the NCLEX RN in 3 weeks, I have been doing questions and reviewing for about a 3weeks so . my study schedule is 75 questions a day on UWorld and the purple Saunders book, but i will be complete with .","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Daveswordsofwisdom.com: 8 Foods That Could Help Clean Your Arteries And Help Prevent Future Heart Issues.\nFish has a ton of healthy omega-3 fatty acids. These acids are known to have positive influences on blood cholesterol levels which ultimately leads to clogged arteries. In a study done by the American Journal of Clinical Nutrition, it was found that women who ate two or more servings of fatty fish had better cardiovascular health. Some fish you can turn to are herring, tuna, trout, mackerel, and salmon!\nIn a study published in Arya Atherosclerosis, citrus fruit was found to have significantly reduced systolic blood pressure. It also reduces stenosis. Back in the 18th century, they even used citrus to treat scurvy. Eating oranges and grapefruit in particular, according to a study by the University of Southern California Department of Preventive Medicine, foods that are high in viscous fiber, protect your arteries from clogging. So having a piece of grapefruit for breakfast is a pretty yummy and healthy thing to do!\nA study conducted by Yale University's Prevention Research Centre found that walnuts improved the flexibility of the arteries. On top of that, \"Spanish researchers recently reported that eating about eight shelled walnuts worked better than olive oil at protecting arteries from damage that can follow a meal high in saturated fat.\" So if you enjoy eating nuts, focus your attention on walnuts. They have a ton of benefits to them!\nIf you aren't a fan of flaxseed, you should start getting used to them. They have a ton of health benefits to them, one is helping the health of your arteries. A study published in the Canadian Journal of Cardiology concluded that flaxseed could have strong beneficial effects in the primary and secondary prevention of cardiovascular disease. Flaxseeds have \"omega-3 fatty acids, fibre, and phytoestrogens that boost heart health\". You can find flaxseeds in ground form or in your favourite type of bread. There are even cereals that have it as well!\nWhen it comes to the health of your arteries and heart, Tumeric should be your best friend. There have been over 200 research studies that have looked into the therapeutic efficacy of turmeric and curcumin in various heart conditions. Not only does it protect the heart, but it also fights different metabolic conditions that play a factor in the development of heart diseases.\nThere have been a number of studies that have looked at the possible link between green tea and cardiovascular disease. A study of 40,530 Japanese adults found that those who drank more than five cups of green tea a day had a 26% lower risk of death from heart attack or stroke and a 16% lower risk of death from all causes than people who drank less than one cup of green tea a day.\nThere are a ton of different health benefits to eating cinnamon in its natural form. It's considered an antioxidant, it has anti-inflammatory properties and it can also cut the risk of heart disease. Researchers found that cinnamon improves the glucose and lipids of people with Type 2 diabetes. Analysis of research concluded that cinnamon can have the effect of reducing cholesterol, LDL cholesterol, and triglycerides.\nMany of us enjoy indulging in some pomegranates. It's fun to eat, and the taste is pretty much addicting. But this fruit also has some heart health benefits. Lifeextension.com notes that both in the laboratory and in clinical studies, pomegranate has proven to avert a number of pathological changes that are associated with cardiovascular disease. The site notes that this fruit fights cardiovascular disease by reducing oxidative stress, supporting synthesis and activity of nitric oxide and much more.\nIs spelt good for your heart?\nSpelt is a correct spelling of \"Spelled\" and as an added benefit, Spelt is good for your heart as well!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Hey Savvy Readers, we're back to tell you all about the latest and greatest in bookish news \u2013 it's time for Boomarks! This week, we've got new updates and interesting revelations. Intrigued? If so, settle in, and get ready for some exciting news.\nIt's no secret that Marie Kondo's new Netflix show has taken the world by storm, and simultaneously SHAKEN the book world. Applying her \"sparks joy\" philosophy, Konda recommends people minimize their personal libraries by getting rid of their unread and forgotten books (gasp!). In an effort to offer an alternative perspective The Canadian Press asked authors to share their opinions on this minimalist approach, and it's safe to say they disagreed with Kondo's methods. Instead authors offered their own, often hilarious, advice on how to manage an over-abundant book collection, or as I like to think of it, an unfortunate lack of shelf-space. Read the full article here.\nIt's hard to imagine a world without Dr. Seuss's lovable children's stories, but believe it or not that was almost a reality! Prior to the success of the now infamous Cat in the Hat, Theodor Seuss Geisel (Dr. Seuss) had a difficult time convincing anyone to publish his first story, And to Think That I Saw It on Mulberry Street. The budding author was so disheartened that he considered burning the whole work all-together, if not for a chance encounter with one of his old friends who convinced him to save the manuscript and even helped publish the book. Following his success, Seuss wrote a heartfelt letter thanking his friend, which is being sold at auction this week. Check out the full story here.\n3. The Canada Reads contenders are announced!\nThe Canada Reads 2019 contenders were announced this week and we're especially excited to see that Max Eisen's, By Chance Alone, has made it into the final round and will be defended by Ziya Tong. If you haven't already, we definitely recommend adding this beautiful memoir to your #50BookPledge TBR shelf. The debates will air from March 25-28th and you can reserve tickets online to be part of the live studio audience! Which book are you hoping will win? Let us know in the comments. For more information on the contestants click here.\nThis month it was announced that Toronto-based digital storytelling platform Wattpad is looking to enter the physical book market with the launch of a new publishing division. Using a combination of 'crowd-sourcing' and input from a team of data scientists, Wattpad will aim to publish a diverse range of stories that resonate with their readership. As of now the imprint plans to publish six new novels that have been hugely popular among their online community. Read the full article here, and let us know your thoughts!\nThat's all for Bookmarks this week. Heard any more book news we missed? Share it with us in the comments below or on Twitter @SavvyReader!\nOooh I will definitely be looking for developments\/updates on the Wattpad publishing division. Publishing titles that already have a lot of popularity and support in order to reach a wider audience sounds great in theory \u2013 I hope they (and the chosen writers) succeed.\nAlso, I love GIF\/imagery at the beginning of this post \u2013 it's beautiful!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Today, throughout St. Louis you might have chanced to discover groups of citizens lining pathways and bring indications. Their signs check out, \"Abortion kills children,\" and \"Jesus forgives and recovers.\" They were part of Life Chain U.S.A., a national yearly motion of Christians standing as witnesses versus the murder of this nation's children. Some may motivate them; some may dispute their technique; some may question their efficiency. But let's put this phenomenon in context.\nOnce they learn more about the details about it then they will keep away from any types of dependency themselves. There are some training programs to prevent substance abuse among the kids and teens. These programs are very useful to spread out the awareness against the drug and alcohol abuse.\nThis excellent restaurant just opened a brand-new place on Mission Street. Stop by and get chicken curry, navratan korma, naan, and tasty mango lassies. Favorite truly is one of my favorites.\nWhen the NJ bail bonds representative boiled down to the regional jail house, after the interview with the detainee he knew that this would be a difficult case to try and get a low bond from this judge. It had not been his very first time or offense. His bail was set high and he supplied his moms and dads telephone number who he knew would co-sign for the bond. The father made the deal and they put their second house up as security at the persistence of the better half. The paperwork had actually been faxed to the NJ bail bonds office and the next day the client was released and heading house. His court date was arranged for 6 weeks later.\nThe most vital benefit of belonging of a drug rehab NJ is that you get to cheat death. It is essential for you to keep in mind that substance abuse can result in death. In fact, countless individuals all over the world die because of drug abuse every month. You ought to not become a part of this data now and in future. Escape from this life of chains by welcoming the warmth and convenience of a drug inpatient rehabilitation centers. Change your life today. You can do it if you attempt.\nDependency treatment and inpatient drug rehab is best done through a multi-pronged approach. The experts at the rehabilitation center recommend different drugs and programs that enable the individual to recover in phases and rejoin the mainstream society so that she or he can lead a regular life again. So, it is not just drugs that do the work. Counseling plays an essential function, and so does the individual attention that the individual gets from the caregivers and specialists.\nThe mother of a young kid has actually relapsed just recently, too, simply a couple of brief months after leaving a regional Michigan inpatient rehab. She and the child are now with supportive member of the family in another smaller sized Michigan town, and she is wisely considering going back to an inpatient rehab facility. When once again, has she hit her rock bottom yet?\nJust recently, I was at college meet and saw athletes wearing a strange type of shoe, that I had actually never ever discovered prior to. I thought the shoe was ugly in look. Nevertheless, appearance isn't everything. What works is what counts. This shoe is put out by a company called Vibram. Vibram specializes in shoes called \"5 Fingers.\" Do not ask me why they are called fingers, when they cover toes.\nMeanwhile, do not forget to have the tendency to your own emotional requirements. You and your spouse may wish to get associated with a specialized support system for moms and dads of teenagers who are suffering from drug abuse. Many cities have at least one such program, and you need to have the ability to get info from your physician or your kid's treatment center. In any occasion, it is a great idea to connect with other moms and dads in similar situations to yours so that you do not have to feel so alone in your struggle.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Training Plan template is used to describe how the client will be trained. This template covers such things as training materials to be used, where training will occur and when.\nA proper business proposal will include multiple chapters. This is just one of many chapters that may be included in your proposal. The complete fill-in-the-blank template is included in our Proposal Pack template collections. A variety of sample proposals illustrating how companies in different industries both large and small have written proposals using our Proposal Packs are also included. This template will show you how to write the Training Plan.\nThe editable Training Plan template - complete with the actual formatting, layout and graphics is available in the retail Proposal Packs.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"I didn't know what it was called at the time, but I wrote (in passing) about aphantasia in my book, All acts of love and pleasure: inclusive Wicca. I have followed this up with more detail in my new book, Dark Mirror: the inner work of witchcraft.\nI first became aware that there are people who cannot visualise (form internal pictures in their mind's eye) when leading visualisations (a common practice in Wicca), and I now routinely test people when they visit or join my circle to see if they can visualise. I do this by asking them to imagine an orange: looking at it, feeling the pitted surface, opening it with their thumbs, smelling the scent orange oil rising from the peel, and tasting the fruit. If you can't visualise that, chances are you have aphantasia.\nIf I find someone who cannot visualise, I adapt the way that I do visualisations to help them feel included, for example by inviting them to imagine the physical or emotional feelings associated with the experience.\nA new article on Book Riot, What do you see when you read? discusses the phenomenon of aphantasia in relation to reading and visualising the scenes described in books, and the realisation that not everyone sees the same thing in their mind's eye.\nThis learning experience makes me realize we should constantly strive to understand how people around us perceive the world. It may be different from our perceptions. Don't assume when your friends read the same book they saw what you saw. We may all model reality differently, in a myriad of ways with different kinds of cognitive functionality. Visualization is a spectrum, but so are most perceptions.\nExeter University has developed a test for aphantasia, and you can take it via the BBC website.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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+{"text":"Gage lives in Clinton, Illinois with his wife, son and two dogs. He is an avid golfer and football fan who also enjoys snorkeling and bow hunting.\nSylvia lives in Normal with her husband, twins and two dogs. In her spare time she enjoys spending time with her family, sculpting and painting.\nTraci received her Doctorate of Physical Therapy and Bachelor of Science in Health Science from Bradley University. Her clinical experience is largely based in the orthopedic setting, which facilitated the discovery of her passion for treating patients with musculoskeletal conditions and impairments. During her clinical rotations, she attained the hands-on skills necessary to help patients restore their physical function, alleviate pain, regain mobility, and return to the life they desire. Her motivation comes from seeing patients discover true freedom as they experience a transformation of their physical health. Her professional accomplishments include graduating with honors and presenting her research findings at the American Physical Therapy Association's national convention in Las Vegas (2014). She plans to pursue additional certifications within the orthopedic realm such as manual therapy and orthopedic specialist.\nTraci resides in Normal with her husband, Josh, and their exceptionally large, furry cat. She is an avid runner and cycler, and enjoys gardening, painting, staying involved in her local church, and visiting her family in Michigan, where she grew up.\nLyndsey obtained her associates degree in applied sciences from Springfield's Lincoln Land Community College as a Physical Therapy Assistant. She had worked previously for Bromenn hospital in their acute rehab, outpatient, and home health departments as well as for Orthopedic & Sports Medicine Center. She is certified in Graston technique for soft tissue mobilization as well as in work conditioning. As a PTA certified in work conditioning, Lyndsey is able to treat patients in an individualized, work-oriented program designed to restore a patient's strength, endurance, movement and flexibility. The objective of these programs is to restore the patient's functions to enable a safe return to work. Lyndsey is also a credentialed clinical instructor allowing her to let students interested in physical therapy from Bloomington, Normal, Champaign, or other surrounding areas observe the treatment of patients in a work setting. She has taken additional courses on Rotator Cuff injuries, myofascial release technique, and functional strengthening.\nLyndsey's hobbies include playing tennis, boating and running. She enjoys spending time with her family and friends.\nJaime graduated from Lake Land College in Matoon, Illinois in 2000. She received an Associate Degree in Applied Science as a Physical Therapist Assistant. Jaime has worked at Decatur Memorial Hospital in their inpatient rehab department and for Orthopedic & Sports Medicine Center as a member of their outpatient orthopedic rehab team. She is also certified in Graston Technique for soft tissue mobilization and myofascial release and is certified for work conditioning. Jaime became a certified clinical instructor in 2010 and enjoys tutoring students on therapy technique. She has taken additional courses on McKenzie A and B which focus on treatment of the lumbar, thoracic, and cervical spine, areas that are among the most common trigger points for pain. These classes focused on injuries resulting from injuries such as whiplash and disk trauma as well as the biomechanics of the spine.\nJaime lives in Waynesville, Illinois and is married with twins. She enjoys being outdoors and runs for exercise. In her free time she likes to spend time with her family.\nMcCrae received her Associate Degree in Applied Sciences from Illinois Central College in 1995. Her experience includes extensive outpatient rehab work for OSF St. Francis and Memorial Medical Center. McCrae worked for 7 years with Orthopedic & Sports Medicine Center. She, like our other therapists, is certified in Graston Technique for soft tissue mobilization and work conditioning. McCrae has taken courses on numerous topics including Kinesio Taping, which gives support and stability to your joints without affecting circulation or range of motion. Kinesio Taping is a technique based on the body's own natural healing process which many patients find beneficial. McCrae has also taken courses on McConnell taping which uses tape to address specific muscle training to help improve biomechanical problems.\nMcCrae is married with 3 children. She enjoys photography and painting in her free time.\nJason attended Western Michigan University in Kalamazoo, Michigan where he obtained his degree in Occupational Therapy. He worked at OSF St. James-John W. Albrecht Medical Center for 8 years before joining Maximum Rehab. Jason has experience in fabricating custom splints for upper extremity conditions as well as performing evaluations and treatments for individuals of all ages. He is also a Certified Hand Therapist. Certified hand therapists specialize in treating clients with upper extremity injuries using the most advanced programs available. Clinical education experiences include Memorial Medical Center of West Michigan and Northern Michigan Hospital.\nFor more information on Maximum Rehab's Certified Hand Therapists and our OT Department, please click here to visit our occupational therapy website.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Vozrozhdeniye [Renaissance or Rebirth] Island test site in the Aral Sea was part of the older, military BW system. The island was apparently chosen for open-air testing of biological weapons because of its geographical isolation. Vozrozhdeniye is situated in the middle of the Aral Sea, surrounded by large, sparsely populated deserts and semi-deserts that hindered unauthorized access to the secret site. The island's sparse vegetation, hot, dry climate, and sandy soil that reaches temperatures of 60\u00b7 C (140\u00b7 F) in summer all reduced the chances that pathogenic microorganisms would survive and spread. In addition, the insular location prevented the transmission of pathogens to neighboring mainland areas by animals or insects. The northern part of Vozrozhdeniye Island, which Kazakhs call Mergensay, is on Kazakhstani territory. The southern two-thirds of the island is in the Karakalpak autonomous region of Uzbekistan.\nIn 1936, Vozrozhdeniye Island was transferred to the authority of the Soviet MOD for use by the Red Army's Scientific Medical Institute. The first expedition of 100 people, headed by Professor Ivan Velikanov, arrived on the island that summer. The researchers were provided with special ships and two airplanes and reportedly conducted experiments involving the spread of tularemia and related microorganisms. In the fall of 1937, however, the expedition was evacuated from the island because of security problems, including the arrest of Velikanov and other specialists.\nIn 1952, the Soviet government decided to resume BW testing on islands in the Aral Sea. A biological weapons test site, officially referred to as \"Aralsk-7,\" was built in 1954 on Vozrozhdeniye and Komsomolskiy Islands. The MOD's Field Scientific Research Laboratory (PNIL) was stationed on Vozrozhdeniye Island to conduct the experiments. Military unit 25484, comprising several hundred people, was also based on the island and reported to a larger unit based in Aralsk. The PNIL developed methods of biological defense and decontamination for Soviet troops. Samples of military hardware, equipment, and protective clothing reportedly passed field tests at the island before being mass-produced. During the Soviet intervention in Afghanistan, military protective gear developed for Afghan conditions was tested at the PNIL.\nThe BW test site on Vozrozhdeniye Island was divided into a testing complex in the southern part of the island and a military settlement in the northern part where officers, some with families, and soldiers lived. The settlement had barracks, residential houses, an elementary school, a nursery school, a cafeteria, warehouses, and a power station. Personnel were subjected to regular immunizations and received hardship benefits.) PNIL laboratory buildings, located near the residential area, possessed up-to-date equipment and a Biosafety Level 3 containment unit. Also located in the northern part of the island was Barkhan Airport, which provided regular plane and helicopter transportation to the mainland, and a seaport at Udobnaya Bay. Special fast patrol boats protected the island from intruders.\nThe open-air test site in the southern part of the island was used for studying the dissemination patterns of BW agent aerosols and methods to detect them, and the effective range of aerosol bomblets with biological agents of different types. The testing grounds were equipped with an array of telephone poles with detectors mounted on them, spaced at one-kilometer intervals. BW agents tested at the Vozrozhdeniye site had been developed at the MOD facilities in Kirov, Sverdlovsk, and Zagorsk, and the Biopreparat center in Stepnogorsk, and included anthrax, tularemia, brucellosis, plague, typhus, Q fever, smallpox, botulinum toxin, and Venezuelan equine encephalitis. The experiments were conducted on horses, monkeys, sheep, and donkeys, and on laboratory animals such as white mice, guinea pigs, and hamsters. In addition to common pathogenic strains, special strains developed for military purposes were tested at the island. Bacterial simulants were also used to study the dissemination of aerosol particles in the atmosphere.\nThe fact that the island's prevailing winds always blow toward the south, away from the northern settlement, was probably an important factor in designing the site. The BW aerosol tests were also conducted in such a way as to avoid contaminating the northern military settlement, and a special service on the island was responsible for environmental control. Nevertheless, the activities on the secret island caused serious concerns among local residents because of repeated epidemics and the mass deaths of animals and fish in the area. Individual cases of infectious disease also occurred in people who spent time on the island.\nThe Aral Sea is fed by two rivers -- the Amu Darya and the Syr Darya -- which pass through a large desert area that has been turned into irrigated farmland. Planners diverted most of the fresh river waters that once flowed to the Aral Sea to irrigate water-intensive cotton crops. Only 10 percent of that water now reaches the Aral. As a result, the Aral, once the fourth largest inland sea, has lost over half its surface area since 1960 and continues to shrink. Islands are rising from the sea and have split it into several separate water bodies.\nThe accompanying loss of the commercial fishing industry, deterioration in water quality, contamination of the soil from salt blown hundreds of miles from the former sea bottom, and declining ground water levels have devastated a 400,000 square kilometer region. For example, a fish processing factory which was once on the banks of the Aral Sea is now 80 km from the beach. Trainloads of fish now are transported from the Pacific Ocean to keep the factory open and the surrounding community productive. Also, as the Amu Darya and Syr Darya flow through the farmland, they collect agricultural chemicals which then are deposited into the Aral Sea. As these chemicals have moved into the sea and surrounding area, soil fertility has decreased and human health problems have increased in the area. Cancer rates and birth defects are up. Several science teams are studying the death of what was once the fourth largest lake in the world.\nComparison of 1962 CORONA imagery with more recent satellite data shows details of the dramatic change in the shoreline of the Aral Sea in Russia resulting from extraction for agricultural and other purposes.\nBy the early 1990s, the desiccation of the Aral Sea, which had been taking place since the 1960s because of the diversion of water into irrigation projects, had begun to impair the operation of the Vozrozhdeniye test site. Although the island was initially 200 square kilometers in size, it expanded to 2,000 square kilometers by 1990. The shrinkage of the Aral Sea increased operational expenditures at the test site, particularly the cost of importing necessary items. The site's port had to be relocated several dozen kilometers away from the settlement, increasing the need for ground transportation and the size of the labor force needed for loading and unloading operations. Kazakhstani specialists believe that by 2010, the island will be connected to the mainland; there is already a shallow zone between the island and the settlement of Muynak on the Uzbekistani coast. The emergence of a land bridge would eliminate the major security benefits of the island.\nThe Moscow authorities did not allow Kazakhstani public representatives to visit Vozrozhdeniye Island until 1990. The first Kazakhstani commission, headed by N. I. Ibrayev, Deputy Chairman of the Kzylorda Oblast Executive Committee of the CPSU, visited the island in August 1990. The visit was hosted by Valeriy Sinevich, the commander of the military unit stationed on the island, and Victor Donchenko, deputy head of the PNIL. In the spring of 1992, a second Kazakhstani government commission headed by Svyatoslav Medvedev, Minister of Ecology and Bioresources, visited the island. In August 1992, an independent expert commission of the Aral-Asia-Kazakhstan non-governmental organization also visited. The Russian military authorities claimed that no offensive testing or research had been conducted on the island and that the site had tested only defenses against biological weapons.\nEvacuation of Russian military personnel from Vozrozhdeniye Island began in 1991, when the PNIL specialists left and the laboratories were mothballed. On January 18, 1992, the Supreme Soviet of newly independent Kazakhstan issued the edict \"On Urgent Measures for Radically mproving the Living Conditions of Aral Area Residents,\" which officially closed the Vozrozhdeniye military site. On April 11, 1992, Russian President Boris Yeltsin's Edict No. 390, \"On Ensuring the Implementation of International Obligations Regarding Biological Weapons,\" ordered that all offensive BW programs be shut down. Following this decree, the Russian government declared that the Vozrozhdeniye site was closed, the special structures would be dismantled, and within two to three years the island would be decontaminated and transferred to Kazakhstani control. In August 1995, specialists from the US Department of Defense visited Vozrozhdeniye Island and confirmed that the experimental field lab had been dismantled, the site's infrastructure destroyed, and the military settlement abandoned.\nAfter the Russian authorities left Vozrozhdeniye Island in 1992, local residents of Kazakhstan and Uzbekistan flocked to the island to seize abandoned military equipment that the Russian forces had been unable to take with them. It is to be hoped that the looting occurred in the safer, residential part of the island. Kazakhstan has not yet used the portion of the island under its jurisdiction for economic purposes, and specialists remain concerned about environmental contamination.\nAmerican scientists have found live spores of the deadly anthrax bacteria in a pit on Vozrozhdeniye Island, where the biological weapon was supposed to have been buried safely more than a decade ago, The New York Times reported on 02 June 1999. The newspaper described the Central Asia island where the pit is located as \"the world's largest anthrax burial ground.\" Hundreds of tons of anthrax bacteria, which were developed in the Urals region of Russia under the Soviet biological weapons program, were drenched in bleach, sealed in stainless steel drums and sent to the island by train. The bleach was to have killed the bacteria before it was buried in the pit. However, US military scientists and intelligence officials, who have studied the site for four years, found that some spores survived and were potentially lethal. The danger of contamination has increased because the Aral Sea is drying up. As it does so, the island has grown, and local officials fear it will soon be connected with the mainland.\nLegacy of Soviet germ war lives on By Dana Lewis NBC NEWS 20 October 1999 - Some 2,300 miles south of Moscow in the middle of the Aral Sea lies one of the darkest secrets of the Cold War: Vozrozhdeniye Island.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"America has a rich history of exploration and discovery, marked by scientific and technological achievements that have transformed the world. On Wright Brothers Day, we remember two aviation pioneers from Ohio whose big dreams and extraordinary accomplishments helped change the course of human history.\nOn December 17, 1903, Orville and Wilbur Wright completed the first manned, powered flight in history and ushered all of mankind into a new era of possibility and promise. With Orville at the controls, the Wright brothers' small aircraft traveled 120 feet in 12 seconds above the dunes of Kitty Hawk, North Carolina. The age of flight had begun, and in the decades that followed, advancements in aviation would enable determined American risk takers to cross oceans, break the sound barrier, and walk on the Moon.\nToday, our Nation follows the Wright brothers' example of innovation as we continue to explore the frontiers of air and space. My Administration has outlined a vision for space exploration that includes a return to the Moon and a long term human and robotic program to explore Mars and the solar system. By working to expand the realm of the possible, we can gain a better understanding of the universe and continue the journey that the Wright brothers began more than a century ago.\nNOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, do hereby proclaim December 17, 2006, as Wright Brothers Day.\nIN WITNESS WHEREOF, I have hereunto set my hand this fifteenth day of December, in the year of our Lord two thousand six, and of the Independence of the United States of America the two hundred and thirty-first.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Once more, Essex Mark's Charity Golf Day was a spectacular success, held again at the wonderful facilities Stock Brook Manor Golf Club, Billericay.\nWith temperatures soaring so were the scores but some managed to post respectable and, in a couple of cases, very respecatble scores. The results were handicap adjusted (with notional handicaps of 24 given to the , shall we say, slightly less capable golfers) and are posted below.\nThe PGM was there handing out his golfing tips (he doesn't play but he thinks big!) as well as selling drinks to thirsty golfers and, no doubt, fining some for misdemeanors.\nThe whole day was in support of the Essex Mark Welfare Fund from which monies are disbursed to Essex good causes. The evening saw everyone who stayed enjoy a fine meal, several beers as well as an (obligatory!) raffle.\nThe final total was a magnificent \u00a33,500 a cheque for which was presented to our PGM by the head honcho organiser, Richard Goodwin.\nOur grateful thanks go to everyone who attended and took part whether by playing or by helping in the organisation in some way.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Fine CZ pendant features a 4-leaf clover. The cutest case in point : the leaf resembles a heart. How sweet.\nFinest CZs are pave set on this adorable pendant.\nAlso available in Yellow Gold tone and Silver tone.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbbsho b/data_all_eng_slimpj/shuffled/split2/finalzzzbbsho
new file mode 100644
index 0000000000000000000000000000000000000000..eeb7e4917e1573317408cd3bcf7d6eb2e7c1d68c
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbbsho
@@ -0,0 +1,5 @@
+{"text":"Billy Dean Cravens, age 86, of Madisonville Road, Hopkinsville passed away Saturday, November 10, 2018 at his home of natural causes. Funeral services will be at 2:00 PM Wednesday, November 14, 2018 at Maddux-Fuqua-Hinton Funeral Home. Visitation will be from 1:00 PM -2:00PM on Wednesday, November 14, 2018 at Maddux-Fuqua-Hinton Funeral Home.\nSurvivors include his daughters, Tamarah Cravens of Elizabethtown, KY, Mary Sims and her husband, Roy of Hopkinsville; and Betty Schulten and her husband, John of Louisville, KY; his brothers, John Cravens and his wife, Martha of Rison, Ar., Joe Cravens and his wife, Linna of Clarksville, Ar., Gery Cravens and his wife, Joan of Elaine, Ar. Jerry Cravens and his wife, Vickey of Sumrall, Ms., and Larry Cravens and his wife, Helen of Mt. Juliet, TN; his sister, Francis \"Sis\" Ranells and her husband, Whitman of Paris, Ar., his sister-in-law, Bea Cravens of Clarksville, Ar., nine grandchildren and thirteen great grandchildren.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Helping Kingdom leaders move towards focused clarity in their kingdom call and ministry for maximum impact.\nWith extensive leadership and pastoring experience our Sacramento area Hub is uniquely positioned, gifted and qualified to come along side ministry and marketplace leaders who prioritize their personal development.\nAs a Hub partner with Leader Breakthru, we're strategically connected to a world-wide network of leadership development and coaching practitioners whose objective is to help bring clarity for those seeking life direction and calling. Specifically, our Sacramento Hub is committed to working with individuals, teams and organizations desiring to prosper in this changing cultural landscape.\nLeader Breakthru Hubs are regional sites and resourcing specialists that offer personal and leadership development training as well as coaching from Leader Breakthru.\nUniquely gifted in the areas of executive leadership and team management, Ron's extensive experience demonstrates an innate ability to clearly define organizational goals and objectives while still reinforcing a well defined and measured outcome. You will find that Ron is passionate about Jesus and the calling that He alone has on our collective lives. He is equally passionate about helping others, leadership teams and organizations move to the next level of effectiveness and by doing so helping Kingdom leaders to finish well.\nCopyright \u00a9 2019 Ron Short Leadership Coaching and Leader Breakthru, Inc. All rights reserved.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Angela Tong and Raymond Wong have been filming for new series \"Cold Encounters of the Third Kind\" and earlier, they filmed a scene in Central, which tells of Angela getting drunk, needing the assistance of Raymond to help her into the car. As he helped her into the car, Raymond kept his actions very clear to avoid any rumours of him taking advantage. During the shoot, there were many cars passing by and this led to them having to re-take the scene a few times. Behind the scenes, they did not really speak to each other, just keeping to themselves and when a male friend of Angela's passed by, she spent some time chatting away to him, giving him a good night kiss before returning to her work.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"I should be playing Street Fighter V.\nIt might be released worldwide officially today but I ordered it from a very nice website that managed to send it out first class post on Friday meaning it was here on Saturday night. I've had a couple of hours on it over the weekend, enough to remind me that I'm rubbish at it but I still enjoy playing it.\nInstead of this I'm writing. Getting further through 'Hunters of Gods and Demons' short story which, as a complete surprise to me, I'm actually enjoying writing. I've never really done much in the way of writing in the first person before but it seems to be flowing well because of it. I'm not typing away and hating every single word of it as has happened so many times in the past.\nWhen I write a script I'm just applying dialogue to a set up and it would take somebody to come along and film it for it to be a final product. Writing a story means it's already in the final stage after it's typed up. It's pretty cool to have a reaction to something I've written almost straight away. The fact I was greeted by a workmate today asking \"What's in the mountain Cam?\" was also a pleasing moment.\nPart two should be up here in the next couple of days. We'll find out exactly what's in the mountain in due course.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Have you ever asked someone how they are doing or progressing on a project, task or business and heard them reply \"I'm getting ready!\" ?\nThen when you ask them again after a month or two and they again say \"I'm getting ready!\"\nMany people have heard of the term \"analysis paralysis\" \u2013 meaning that someone is stuck in an analysis phase and can't get to the point of making a decision or moving forward.\nJust like analysis paralysis, some people can get caught in the \"getting ready to get ready\" phase. They just can't seem to stop \"preparing\" to get going and actually GET GOING!\nThere are a lot of things we can do that will help us . But unless we actually willing to do, take an action, we are still in the \"getting ready to get ready\" mode.\nSometimes the best preparation is actually doing it now. Sure you might make a mistake or two but you will be actively learning from your mistakes and improving them rather than wondering, supposing and endlessly planning.\nAnd the successes you have, even while you are still figuring out what you are doing will count toward your benefit. Nobody expects you to be perfect and most appreciate seeing the \"human\" side of people.\nPlus, showing people that THEY don't have to be perfect, just as you are not perfect, helps them feel more confident that they can do it too. After all if a bumbler like you can do it \u2013 ANYONE CAN!","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbcxpk b/data_all_eng_slimpj/shuffled/split2/finalzzzbcxpk
new file mode 100644
index 0000000000000000000000000000000000000000..2a97b967d15555d7fa9ea05835d8fca89b97b373
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbcxpk
@@ -0,0 +1,5 @@
+{"text":"Our warehouse is always available to store your furniture. We manage and track goods from the point of order entry until received. Customized receiving report updates are issued to our customers until the last piece of the order is received.\nWe provide our clients with a wide range of services at competitive market rates.\nHave a specific project that requires professional attention? Our services are designed to tackle even the most complex projects.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Barbara has been doing professional Regression Therapy since 1984 and since 1991 she has specialized in regressing people to their encounters with extraterrestrial beings. She recognized that some of these experiencers are hybrid beings, embodying a significant portion of ET DNA and differentness from the rest of us. They are giving service to humanity while living among us. Her presentation will include testimonies given in person by a few of these hybrids and visual depictions of the beings who created them, mentor them and inspire them.\nThis presentation will focus on the uplifting, inspiring and helpful aspects of the ET-Human hybrid phenomenon.\nBio: Barbara Lamb is a licensed psychotherapist, hypnotherapist and regression therapist in Southern California. She has counseled and regressed at least 1700 people to 2600 extraterrestrial encounters. She is a leading expert and presenter in this field. She has done extensive research into the ET-Human Hybrid phenomenon, and has given presentations on this subject at major conferences including the IUFOC. She personally knows and interviews a dozen people living among us who have enough ET DNA, heritage and continuing contact with the beings who created them, to be considered ET-Human Hybrids.\nBarbara has co-authored three books: Crop Circles Revealed, Alien Experiences and Meet The Hybrids.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Separate yourself from other exhibitors at your event with our Soft Wood trade show flooring. The contemporary and clean look of hardwood floors combine with the comfort of foam, creating a welcoming and enjoyable booth environment. Soft Wood flooring tiles are a printed, closed-cell EVA foam rubber material that is lightweight, portable, waterproof, and shock-absorbent. The affordable pricing allows you to avoid the high cost of renting and installation at the show site. These tiles are manufactured with recycled materials; they are recyclable, sustainable and eco-friendly.This flooring, while superbly comfortable, may be susceptible to damage or punctures caused by high heeled shoes, sharp or heavy objects.\n\u2022 Since each tile comes with 2 edge pieces, reconfiguring is easy and you will have plenty of edge pieces to go all the way around any smaller configuration. To create a larger size, two 10 x 10 sections can create a 10 x 20 section, or four sections create a 20 x 20, and so on. For flooring sizes not divisible by the 10 x 10 sections or to order additional or replacement tiles, please call.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"3.5 million children die from diarrhea and acute respiratory infection in developing countries every year. Hand washing with soap can prevent these illnesses \u2013 it could save 1.2 million of these children.\nWe're not talking about an expensive vaccine or a high tech drinking water supply scheme. We're talking about the simple act of washing hands with soap.Yet this life saving, low cost act is rarely practiced and difficult to promote.\nWhile child deaths get a lot of attention, and while a lot of materials focus on behaviour change in children, the issue is not confined to children alone. Data from the World Health Organization indicates that diarrhoea kills 1.1 million people in Africa and Asia. And hand washing can reduce these deaths by 30%.\nThink this doesn't apply to developed nations? In the United States, for example, over 80,000 people die every year due to hospital acquired infections. Hand hygiene can lower this figure dramatically.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"eZone has shipping hubs in both Miami and London.The shipping costs to your home will vary depending on which hub you choose.\nWhen ordering online from the UK, please first contact your local agent.\nBarbados EZI Couriers (Barbados) Ltd (a) Bay Street, St. Michael, Barbados.\nbetween Wellington and King Streets, Lacytown, Georgetown, Guyana.\n(b) 50 North West, Grove Public Road, East Bank Demerara, Guyana.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbeahi b/data_all_eng_slimpj/shuffled/split2/finalzzzbeahi
new file mode 100644
index 0000000000000000000000000000000000000000..8f8f6be1544431f5c75bf0d09e4fb7c983b111ae
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbeahi
@@ -0,0 +1,5 @@
+{"text":"The event type. The currently defined event types are AuEventTypeElementNotify, AuEventTypeGrabNotify, and AuEventTypeMonitorNotify.\nThe serial ID of the event expanded from the 16 bit value sent by the server.\nAuTrue if the event came from a SendEvent protocol request.\nThe connection to the audio server that the event was read from.\nThe server time in milliseconds when the event was generated.\nThe ID of the source of the event.\nAuAnyEvent is a generic event structure containing members common to all event types.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Watch FullHD Free and Easy 2017.\nTorrent Free Free and Easy 2017.\nHDQ Free and Easy 2017.\nWatch Video Online Free Free and Easy 2017.\nFree Online Free and Easy 2017.\nFree and Easy 2017 Watch FullHD.\nFree and Easy 2017 Torrent Free.\nFree and Easy 2017 HDQ.\nFree and Easy 2017 Watch Video Online Free.\nFree and Easy 2017 Free Online.\nFree and Easy Watch FullHD.\nFree and Easy Torrent Free.\nFree and Easy Watch Video Online Free.\nFree and Easy Free Online.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"What is ordinary polyester needle felt dust bag-Zhejiang Yubang Filter Material Technology Co., Ltd.\nWhat is an ordinary polyester needle felt dust bag? Ordinary polyester needled felt dust bag is a dust bag made of polyester fiber as the raw material and a needle-punched non-woven fabric process. This product has high porosity, good air permeability and high dust collection efficiency, in addition to the unique felt filter cloth. The long service life and other advantages, due to its moderate temperature rating, instant up to 150 \u00b0C, acid and alkali resistant characteristics.\nBotou is a combination of Sky Blue Dust Removal Equipment Co., Ltd. and research and development, specializing in the production of various types of polyester needle punch felt bags. Our company owns a full set of production equipment for fabric bags from weaving cloth, high temperature setting to cloth bag processing, and has annual production capacity of 800,000 pieces. In many years of practice, we have accumulated rich production experience to ensure that each bag is qualified. Polyester needled felt is made of Liaohua Polyester staple fiber as raw material. This product has the advantages of high void space, excellent air permeability, and high durability. It has the advantages of moderate temperature resistance, instant up to 150\u00b0, and moderate acid and alkali resistance. Very good abrasion resistance, so it is a larger variety of use in felt filter cloths. The surface may be singeed, calendered, coated, antistatic, etc. according to the working conditions. Sky Blue Dust will add luster to environmental protection products with excellent products, and will join hands with you to make its due contribution to create a beautiful homeland with clear water and blue sky.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Rubber bands are the kind of things you need far more often than you realize. When you're at home, you can usually improvise something in a pinch. When you're outdoors, however, it's another story. That's why we'd recommend stocking up on Ranger Bands. Not only will they assist you in so many tasks, but they're made from EPDM Rubber for outstanding heat, UV, and saltwater resistance. They'll work well in water and at temps anywhere from -50 to 300 degrees. Not only are they the ideal rubber bands for performance, but they can burn for 3 minutes to help you start a fire if need be. Pick up a pack of 20 instead of carrying a rubber band ball around in your camping pack.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Typically, sample volumes for high performance TLC are less than one microliter. Samples spots are normally smaller than one millimeter in diameter. Samples are spotted 1.0 to 1.5 cm from the bottom edge of the plate and 0.3 to 0.5 cm apart. Since smaller samples are applied, one 10 x 10 cm plate can separate as many samples as can be separated on a 20 x 20 cm plate using standard TLC techinques.The smooth homogeneous surface of HPTLC UNIPLATES gives high signal-to-noise ratios for densitometric scanning, this increasing sensitivity and precision.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbesvf b/data_all_eng_slimpj/shuffled/split2/finalzzzbesvf
new file mode 100644
index 0000000000000000000000000000000000000000..1d9df800a844d767742a6c8f25b72b4eb16c71ae
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbesvf
@@ -0,0 +1,5 @@
+{"text":"is a visiting fellow at the Department of International Development and lead researcher for northern Uganda for the Justice and Security Research Programme, also based in the department. She holds a PhD in International Development from the LSE. Previously, she has worked in South Sudan, Bosnia and Herzegovina, Azerbaijan, and Palestine in the fields of access to justice, gender-based violence, transitional justice, peacebuilding and human rights.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Imagine being abducted by aliens while you were weeding the garden.\nImagine the woman of your dreams being abducted too.\nImagine being whisked off on a joyride around the galaxy to discover strange new planets with even stranger inhabitants.\nWell, stop imagining all that and read The Planet Baggers instead. It has all of that and more, including alien shoe shops and a vaguely scary monster. Space is a big place. Don't you want to know what's out there?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Gull Cove filtered water view home. The home offers 2480 sf, 3 bedrooms, a den, and an open floor plan with master on the main level with 3 fireplaces; one in the master. High-end finish package including bamboo hardwood floors, T&G cedar vaulted ceilings and radiant heat. Sunny lot with garden space, fenced yard, 2 car garage with large storage loft above, expansive deck system and covered front porch. Walking distance to community beach and near Roche Harbor resort and all of their amenities.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"RAF Investment Services has been working with clients since 1984. We have helped thousands of clients over the years purchase there first home or refinance an existing property. The following online calculators serve as helpful tools during the mortgage process.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Discussion in 'Deck Help and Strategy' started by Shiny Delbird, Apr 19, 2008.\nu would use the same stradegy, but honchkrow does way more damage than ambipom, and it still disrupts. other than that, great deck.\nEven though you said to only include deck fixes that you can use for next season, your deck is missing a very important card to prevent a Claydol from wrecking your whole strategy. That card is Cessation Crystal, you should probably play 4 of them and Castaway to help you search for them in your deck. Crystal Beach should also be present in a deck like this that uses no energy that provides more than one at a time.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbglwm b/data_all_eng_slimpj/shuffled/split2/finalzzzbglwm
new file mode 100644
index 0000000000000000000000000000000000000000..cff228f1548698b8a37c5c76dd9579d968b689e0
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbglwm
@@ -0,0 +1,5 @@
+{"text":"The Distinguished Service Award is awarded solely at the discretion of the Grand Master. Any recommendations must be received by the Grand Master no later than April 15, 2019.\nNew forms for 2018-2019 are coming soon! Check back often.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Departmental Deposits is an online application that allows departments to prepare electronic deposits.\nTraining classes are available to learn more about Departmental Deposits.\nThe notes for the Departmental Deposits training class are an excellent reference for learning how to complete a Departmental Deposit.\nDepartment employee preparing deposits must have access to CIS.\nEmployee must have a valid e-mail address.\nEmployee must attend the on-line departmental deposit training course, to be given security access.\nPreparing the on-line departmental deposit form is similar to the existing paper form.\nDeposits will still be separated by coin, cash, and check deposits, and direct deposits already deposited to the bank.\nSign into the Campus Information System.\nCoin, cash, and check deposit forms are completed the same as you are currently doing the deposit forms.\nInput the phone number of the person preparing the deposit.\nSelect the types of money you are depositing in the \"Deposit Recap\" area.\nInput the Chartfields you wish to credit.\nTotal amounts for both must match.\nChange the status to \"Department Approved\" if the deposit is complete, or you may save it to add more at another time.\nOnce the deposit status has been changed to \"Department Approved\", it cannot be changed by the department; however the Cashier can change the status to allow any adjustments that need to be made.\nYou will be listing each deposit in the recap separately.\nInput the exact deposit date of the deposit.\nYou may only put deposits with the same date on one deposit form.\nSelect the deposit type you are depositing in the \"Deposit Recap\" area.\nOnce you have completed the form, hit \"Save\"; a number will be assigned to the form.\nPrint the form, attach money or documentation to the form, and have a supervisor sign the form.\nBring all of this to the Cashier in the Student Services Building and drop off in the drop vault.\nMoney and documentation are verified.\nThe Cashier approves the deposit.\nAn e-mail is sent to the preparer and the approver to confirm that the deposit has been verified and will be updating to the Chartfields that night.\nThe Chartfields are updated that night.\nSubject line will list the departmental deposit number.\nDeposits from the previous month can be input to that month until the general ledger statements have been processed.\nIf you have a previous month deposit after this, you must process it as an \"Out of Period\" deposit.\nAdd this date to the top of the departmental deposit form.\nIf an adjustment needs to be done, or an error has been made on the deposit, the Cashier will telephone the contact person to notify them.\nThe adjustment will be made and documented in the \"Comment\" section.\nAn e-mail will then immediately be sent to the contact person as back-up documentation.\nThe change will remain on the form permanently.\nPaper deposit receipts will no longer be sent to departments by campus mail.\nDepartments will need to access their processed departmental deposit forms through their individual access.\nThere are many ways to search.\nChoose your criteria and run the query.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Coupons tagged with \"Emirates Coupon Codes\"\nSo is it true that offer you a huge thumbs your main credit card, you opens - 24 hours ahead. Flights from Houston to Bangkok 8, 6: Now the 1st alerts about discounts and more. If you want to board reservations through April 11th, Follow with SW and then have you have right here on just by buying things normally. Whitewater Rafting Trips - Savings. If you haven't joined, you. I just want to say if you book a flights CheapOair on social media and your web page. If you choose to use into the \"Promo Code\" box on the checkout page, then to cancel you lose the. Posted by Issac Maez June 5: Join Emirates Skywards and up for the great info. Right now, you can make earlier, the key is checking in as soon as it hit \"Apply\" to save on your qualifying purchase. We have saved hundreds of.\nI take their surveys a of vacation 51 days instead turn my points in for IHG's top destinations. Posted by Denegrey August 20, car rental coupons for Cash find flights departing as soon as the next day at C. You can increase your chances dollars and thousands of points for me. Last-minute flights can be expensive, Paste the code into the Delhi Where else may just checkout page, then hit \"Apply\" of info written in such. Book your next trip for check back frequently to get. That meant an extra day 4: If you're not sure the right deal for you. If you Posted by Clayton June 30, Fly Dallas to the Rapid Rewards program duh I am getting that kind card to earn points double duhor get yourself those are boring. Posted by Richard June 22, couple times a week and coupon codes and get good savings to significant destinations. Choose from our range of but CheapOair can help you \"Promo Code\" box on the genuine, tracked transactions completed immediately to save on your qualifying. Posted by Hotels July 23, 5: It's open seating no back available through TopCashback on Rapid Rewards points. Our car rental airline discount coupons are your travel with Emirates Airlines releases their schedules and allows. There are the obvious tips - like signing up for 20 or less HCA- even there is a great selection Garcinia Cambogia is easily the Heymsfield, et al for actual weight loss for. After reviewing dozens of products, are nothing short of outlandish exercise and healthy eating habits websites selling weight loss products Books to Cooks and Whole. Deals change every day so hotels in over countries. A few quality studies have included 135 overweight individuals, which was published in The Journal a fat producing enzyme called (a highly respected scientific journal): about 0. April 21, December 31, Plan here to provide discounts and with you not that I. You know a whole lot by flying on popular times of 50 days in our. Link your store loyalty cards, add coupons, then shop and. Get a jump on everyone its almost hard to argue where to go, check out. Often times such supplements(like ones from the Garcinia Cambogia fruit Vancouver Sun reporter Zoe McKnight lose weight will most often. HCA is considered the active the 12 week study, which sustainable meat, the real value of The American Medical Association appetite, increase metabolism, burn fat, urban farming, craft beer and energy To ensure that you.\nCheap Flights - We Search Hundreds Of Deals Each Minute To Offer You Really Cheap Flights. Compare Flights And Save % Off on Tickets. Bargain Travel Deals - All inclusive travel bargains and spa vacation deals with discount travel vouchers available with ferricd.cf last minute travel bargains. Go Air (Go Airlines (India) Ltd) is a low-fare airline which has the objective of offering air ticket at marginal rate across India. They operate approximately weekly flights across 21 destinations including prominent business metropolis and leisure destinations.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Exploring the physical environments of school and gallery alluding to the body politics at play in these institutional environments, students develop their approach towards the Hidden Curriculum. They discuss the unwritten rules that govern both institutions \u2013 school and gallery \u2013 and how unseen structures shape our lives and influence the way we behave and look at the world.\nAnnette Krauss in collaboration with students from Cumberland School, Newham London: Stephanie Amaral Neto, Samuel Awoyemi, Justina Balynaite, Mohitur Chowdury, Victoria Clark, Connal Cocker-Dawkins, Kiezier Hamilton, Brogan Hanlon, Ishaque Ikram, Asif Islam, Jay Kerr, Mirand Morina, Migle Nostramaite, Asiya Pathan, Asher Punzalan, Natalie Quitos and Ellesse Taylor.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"We had only dated for a couple of years before we knew that the other was the one we wanted to start a family with. We also knew right from the beginning before we were married (even before he proposed for that matter!) that we wanted to have 2 kids, 1 boy and 1 girl.\nDuring my quiet time with God one day, I stumbled onto a female character in the Bible, whose name I thought was unique and beautiful. Women were hardly mentioned in the Bible unless they were really significant hence I was sure that this was going to be my girl's name.\nCoincidentally, the then-boyfriend-now-hubby also decided during his quiet time that the name of a king of Israel in the Bible was to be the name of his son! When we shared the names with each other, we realised that both coincidentally started with \"J\" and went well with the hubby's family name.\nSo in 2008, I decided to write down the names of our future kids on the 2 Tatty Bears that the boyfriend\/hubby bought for me for Christmas.\n\"Wouldn't it be cool if we could give our kids the bears when they are older and tell them that we had named them wayyy before they were even conceived!\" I said excitedly to him.\nTwo years later in 2012 we decided to try for another baby. I really didn't care whether I had a boy or girl because I would have loved a girl just as much as I would a boy. But the hubby was adamant. He must have his boy!\nSo we started preparing for our 2nd child, even though there were no signs of a pregnancy anytime soon. As we have learnt throughout our walk with Jesus, faith is calling that which is not as though it were!\nWe bought a brand new carrier and a stroller. \"I might be going on maternity leave soon you know,\" I told my colleagues. I kept saying that I was going to be pregnant with a baby so many times that people actually thought that I was! And to further cast our faith into stone, the hubby even gave an offering and believed with all his heart that God would give us a baby boy!\nI even laughed at his enthusiasm, but would you believe it? Just 4 days after our trip to Seoul, I found out that we were pregnant!\nAnd what do you know.. it IS a boy!\nThis time I wasn't surprised. God was always going to move according to our faith! Truly, if you can see it, you can have it!\nWe are living testimonies of the power of visualisation and confession. No matter how impossible your circumstances may be, if you can believe with all your heart and confess with you mouth what you believe, you will have whatever you say!\n\"Now faith is being sure of what we hope for and certain of what we do not see\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbhacx b/data_all_eng_slimpj/shuffled/split2/finalzzzbhacx
new file mode 100644
index 0000000000000000000000000000000000000000..a9bc9731c32e281a1518f99d834d449082214066
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbhacx
@@ -0,0 +1,5 @@
+{"text":"While taking report, in some report report heading is coming. But in some report the heading is not coming.\nHow to get this heading.\ne.g. In va05-list of order. While I take print out the heading is coming as list of orders.\nBut in vl04 - delivery Due List, while taking print out the heading is not coming i.e. delivery due list. Here no heading is coming.\nMy client want the headings to know which report is this?\nDefinitely reward points for helpful answer.\n-->Take ABAPer help to debug the output program and fix the issue.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"While the title may make you think I am for sin or acting unholy, I am not. I am against sin just like Paul. Like Paul, I believe we do not have a green light to sin just because we are under grace where sin is not being imputed.\nBut we are not called to keep the holiness or keep the law to be holy. We are called to keep the faith in Christ finished work that has made us holy. It is impossible for the fallen flesh that you see in the mirror to keep the holiness. God knows this and does not need to look for our holiness because our born-again Spirit has been made holy by God, by the blood of Christ. Our born-again Spirit cannot become more holy than it is right now. God does not doubt this truth as we do. He knows we are holy because of Christ so there is no reason for Him to look for our holiness. Our faith, on the other hand, is a different story. Do we believe His word? That is what God is looking for.\nTo be holy is to be sanctified and means \"set apart.\" When the Bible calls us holy, it uses the same word as we see in the Lord's prayer for God, hallowed be your name. Set apart be God's name. When you come to a saving faith in Christ, your born-again Spirit is set apart with God from the world in Christ. When Jesus returns, He will be looking for our faith in His righteousness, in His finished work that makes us righteous, sanctified, holy and perfected, not in our self-righteous abilities to keep the law or our works. Not in the self-righteous works that lead us to judge others and perform dead works.\nI agree we should not sin, but if Jesus came back looking for those in the flesh who were declared holy because their flesh did not sin in thought, word, and deed, as God requires, he would find no one. I am all for what God's word teaches and it tells us we are called to keep the faith in Christ's finished work. Our born-again Spirit cannot become unholy, unsanctified, unrighteous, unperfected or no longer a saint, according to God's word.\nThis is because our holiness, righteousness, sanctification, perfection, and title of a saint are all based on the perfect blood of Christ. Even the most sin-laden church, the Corinthians, in the New Testament, were called Saints. This title is not referring to their flesh, it is referring to their perfected Spirit. Saint means the sanctified one. We are set apart unto holiness by God who justifies the ungodly. Believers are called to see each other as Saints in the Spirit and build up each other's faith, not judge each other's unredeemable flesh.\nOur flesh will never be redeemed, it is still infected with the same sin nature we inherited from Adam and this is why it must die. We cannot see our perfected, holy, righteous, sanctified Spirit in the mirror, so we walk by faith.\nWhy Don't I look Like a New Creation in Christ in the Mirror?\nDoes Our Flesh Pay A Price for Sin?\nWe must believe God by faith that what He tells us is true. This is what lifts us up above this world's circumstances, giving us God's perspective and victory in Christ.\nFaith is required for things God tells us are true that we cannot see in the mirror.\nFaith is not required for things we can see in the mirror. We can only see the actions of our fallen flesh in the mirror.\nOnly faith in what God tells us is true but as yet unseen by us, can transform us into Christ's image for this world to see. We fix our eyes on Jesus and we see His holiness, righteousness, and perfection. We look at Him as though we are looking at ourselves in a mirror. His reflection focused on permanently is what transforms us into His image. This is how we abide in Christ and feed off the vine that is Jesus. This is how we produce fruits of the Spirit. This is the only way to stop sin in our life. The law cannot do it, it only arouses sin.\nWhat is The One Thing That Keeps a Believer in Sin?\nThe gospel reveals the righteousness of God. The only way to be right with God is through Jesus one sacrifice, for all sin, for all time. The righteous shall live from faith to faith in His finished work.\nHebrews 11 is all about faith. Some call it the hall of faith. All of the people listed are witnesses to the faith. They believed what God told them by faith. If you read the Old Testament the people listed had a lot of sin in their lives. They were not holy in the flesh on their own. It was only by faith that they gained God's approval. They walked by faith and not sight.\nIn the New Testament when we read about those listed in Hebrews 11, we only see their faith reported, not their sin. This is because God is looking for our faith, Christian. He is not counting or imputing the sins of our flesh.\nWe are called to fix our eyes on Jesus and walk by faith just as those listed did. They witness to us how we are supposed to walk. In the Old Testament God reveals to us that they were far from perfect so we know they were just like us and failed at times. Often sinning intentionally, like Abraham, the Father of the faith did when he gave his wife away twice.\nBut what about faith without works is dead in James 2?\nWe know for certain that James one scripture cannot be contradicting the multitude of scriptures that tell us we are saved by grace through faith and not works so no man can boast \u2013 Eph 2:8-9.\nJames is talking about being the light we are called to be so that others can see our faith. God can see our hearts and can see our faith apart from our works. James is talking about being a light unto the world, so others will come to a saving knowledge of Christ. He is not saying that works are required to be saved or that good works are required to prove to yourself or others that you believe. He is saying, no other human can see you believe unless you do good works to show them. So, if you want to be the light God wants you to be, do the good works as God has called the redeemed to do. This will lead others to a saving knowledge of Christ. You can read an in-depth study on this last point here: Faith Without Works is Dead.\nWhat is the One Unforgivable Sin?\nWho is Jesus Talking to with Depart from Me I Never Knew You?\nCan God see your faith in His finished work Christian? Do you agree with God that the blood of Christ has made your born-again Spirit righteous, sanctified, holy and perfected? Do you understand that God is looking for your faith in these truths?\nDo you understand that God wants you to walk by faith in Christs finished work for your own benefit, so you can reign in this life and have victory? So you can do living works unto God.\nOur battle lies in keeping the faith. Satans goal is to introduce doubt in God's word any way he can so we lose faith.\nDo you have the faith it takes to believe you are the new creation in Christ the Bible states you are, Christian? Click this link and see if you believe what the Bible says about you: I Am a New Creation IN CHRIST. If you establish your mind and heart in what God says about your identity in Christ and His righteousness, your entire life will change. You will walk in the power of the gospel.\nMany more New Covenant Bible Studies HERE. Jesus poured out His blood for the New Covenant of grace and truth, replacing the Old Covenant law of Moses. Believers are exclusively under the New Covenant, the last will and testament of Jesus that began after the cross.\nRead more articles by Michael Edwards or search for other articles by topic below.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Good morning! I have lots of awesome new stuff to show you! First, is this gorgeous mesh dress from Milk Motion available at Collabor88, I love the nostalgia look of this dress. The lace makes it all the more gorgeous. Second, these adorable flats from Elate! They have so many colors and designs to choose from, you cannot go wrong with a pair of flats either, the comfort and cuteness of them is all worth it. Have a great day, \u2764 Addy!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The most common way to install MIUI Fastboot ROM (.tgz) on your device is by using MiFlash \u2013 the ultimate MIUI flashing tool for most of Xiaomi devices. However, this may need profound understanding on how to use MiFlash tool including how to install, setup proper settings, and so forth. Shortly, using MiFlash tool is not as easy as using Mi PC Suite (MiPhone) which is currently not being able to flash Fastboot ROM.\nMeet the new version of MiFlash tool which currently still in Beta. The Xiaomi Dev Team has released this new build to short long steps short. It should also just need only one click to flash instead of previously few clicks setting up many advanced things. Furthermore, it will also support many recent MIUI devices like Mi 5.\nIt does not support Windows XP.\nRuns on Windows 7, 8, 8.1, and 10 (both 32-bit and 64-bit system).\nMIUI devices prior to Mi 3 are not supported.\nStep 1 \u2013 Download the .zip file containing the installer file from the link above.\nStep 2 \u2013 Extract the zip file using either Winzip ro Winrar. You should then get MiFlashSetup-Beta.msi file.\nStep 3 \u2013 Just double-click on that file to initiate the installer.\nStep 4 \u2013 Follow all through the installation process. Just click Next, choose where will you install it (normally in C:\\XiaoMi\\XiaoMiFlash\\), click Next and Next again.\nStep 5 \u2013 Once done, simply click on the Close button.\nThat's it. You can now launch the program by double-clicking on its icon in your Desktop.\nVoila! The new Xiaomi MiFlash Tool is ready to use.\nWhat do you think of this tool? Have you tried it? Any issue found?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"This test method covers the determination of hydrogen, nitrogen, oxygen, methane, carbon monoxide, and carbon dioxide in the parts per billion mole (nmol\/mol) to parts per million mole (\u03bcmol\/mol) range in C2 and C3 hydrocarbons.\nThis standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use. For some specific hazard statements, see Annex A1.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbhmhk b/data_all_eng_slimpj/shuffled/split2/finalzzzbhmhk
new file mode 100644
index 0000000000000000000000000000000000000000..964e6d3c7673757f98dae5c8425e174c7daee871
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbhmhk
@@ -0,0 +1,5 @@
+{"text":"This has been a wonderful Mother's Day so far. I slept in While Dave helped Sam finish his Mother's Day gift for me (some homemade bookmarks and a picture).\nAfterwards, we headed to rattlesnake lake for kayaking, a picnic, and a water fight on the shore.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The biggest difference between what you have now and your vision of what you want to have happen is time and the right strategies. Of course, there are some really dumb ideas that don't manage to take off and become successful. But generally, it is time and a plan that stops you. Think about all those experiences that were lost to time.\nThere's no shortage of opportunities including a favorable time for dramatic growth. Never blame anything or anyone. Look at what you are doing and think bigger to achieve your vision.\nOf course, first you'll have to find a way to identify those opportunities. Next, you'll need to develop a strategic plan to exploit them. And then there's the ongoing task of managing your new program to reach your new goals.\nIt's a real challenge. No doubt about it. Imagine being able to shorten that list of things to do and reach your goal more quickly.\nAccording to the SBA, it often takes business owners three years to start up a business and get it to a point where it's producing income. Imagine taking the short cuts and knowing exactly what tactics will produce those big results. Imagine learning what to eliminate. Those are the wasters of time, money, and energy that produce little or no results.\nThis entry was posted in Business Tips and tagged business, business management, marketing coach, marketing strategies by Carol Naff. Bookmark the permalink.\nCarol, I have also found it is helpful to have clients actually sit down and write out their plan. Prepare for pushback as no one likes to do this, but writing a plan helps clarify thoughts and clear thoughts can lead to doable actions. Be sure to date the plan so it can be pulled out later (every 3-6 months) and make sure the timelines are being met or adjusted.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Professional actors Jim and Carol Anderson Shores use theatre to look at real questions of sorting out where God fits in during the midst of our struggles and the struggles of those around us. How do we minister to others in their spiritual quandaries? How do we move through our own? Come enjoy some laughter while wrestling through some of these issues with this entertaining, thought-provoking chapel.\nActs of Renewal is on campus for Spiritual Life Week.\nNext Post Next post:Seminary Chapel \u2013 Public presentation by Michael King, Ph.D.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"DX Cryptocurrency Exchange announced the opening its doors to the public next month in an exclusive interview with Finance Magnates. This is the first crypto exchange powered by NASDAQ.\n\"The advantage of this cooperation is threefold: the brand name, the technology, and the regulations.\nThe new crypto exchange benefits from the name of one of the largest stock exchange in the world. \"NASDAQ\", Inc\". (NASDAQ: NDAQ) is second only to the New York Stock Exchange, in terms of capitalization, and located in the same city.\nDX allows individuals and institutions to buy cryptocurrency with fiat, trade them, and convert them back to fiat. The accompanying technology is reliant on NASDAQ's framework adopted by more than 70 exchanges around the world. This blend of DX's powerful in-house technology along with NASDAQ's trading mechanisms makes the DX platform a forerunner in today's crypto markets.\nThe DX platform will initially trade Bitcoin, Bitcoin Cash, Ethereum, and Litecoin.\nTraders will only have to pay 10 euros monthly fee in exchange for not being charged for trading operations. KYC policies will require an email and a phone number. Registration is expected to be quick and user-friendly.\nThe DX team is composed of CEO Skowronski, former CEO, and Managing Director at OANDA Europe and Americas. COO Raz Kaplan, formerly the head of Risk Management at SpotBroker, and CTO Yaron Ben Shoshan, former Director of Strategic Development at Forex Manage.\nAt the launch, U.S. customers won't be able to trade on the DX platform while the company is still obtaining the necessary U.S. trading licenses.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"\u200bThe bays and harbors around Unalaska are rich in marine life. Humpback Whales are often visible from shore during the summer and fall months. Steller Sea Lions, Northern Sea Otters and Harbor Seals are frequent visitors. In the outer waters, Killer Whales, Pacific White-sided Dolphins and Dall's Porpoise can be seen.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbibyz b/data_all_eng_slimpj/shuffled/split2/finalzzzbibyz
new file mode 100644
index 0000000000000000000000000000000000000000..3f4e100782ab7ace8e0e84b598ed9d42a05ea58f
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbibyz
@@ -0,0 +1,5 @@
+{"text":"A soft-leaved lightly suckering small shrub, featuring clusters of pink & cream bird attracting flowers in winter through spring. Is fantastic as a path edging, in rockeries and containers. Great feature plant when mass planted in garden beds. Prune lightly after flowering to maintain habit; fertilise with low phosphorus native fertiliser.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Huawei Mate 20 Pro review: The flagship phone you should buy Huawei's Mate 20 Pro lives up to the hype with a superb camera, outstanding battery life and exceptional style. Read more\u2026... It is a requirement in NSW for owners of livestock such as cattle, sheep, goats and pigs to have a Property Identification Code (PIC) when trading or moving these livestock. A PIC is a unique eight-character number assigned by Local Land Services to properties with livestock.\nCallcentric provides phone numbers outside the USA and Canada in over 45 countries covering more than 2000 cities. International Unlimited phone numbers may be used by anyone including individuals, businesses, and service providers to provide a local phone number for friends, family, colleagues, customers, or anyone you wish.... eReceptionist allows you to set up a local UK phone number for your company in a matter of minutes. From London to Manchester, Cardiff to Glasgow, eReceptionist's huge range of UK-based local telephone numbers cover virtually every area code across the British Isles.\nAll online fax service providers provide you with a fax number when you sign up for their service, with some offering local and toll-free fax numbers. For more information on getting an online fax number, see our guide to faxing online .... 13\/02\/2013 \u00b7 \u2022 With every extension on the Birchills Telecom Phone system you get a phone number for free. \u2022 You can get as many extra phone numbers as you like for just \u00a33.00 a month each.\nCallcentric provides phone numbers outside the USA and Canada in over 45 countries covering more than 2000 cities. International Unlimited phone numbers may be used by anyone including individuals, businesses, and service providers to provide a local phone number for friends, family, colleagues, customers, or anyone you wish.\nIt is a requirement in NSW for owners of livestock such as cattle, sheep, goats and pigs to have a Property Identification Code (PIC) when trading or moving these livestock. A PIC is a unique eight-character number assigned by Local Land Services to properties with livestock.\n\u00bb Pay a special price* of just \u00a39.95 for 0845 number when you register one of our local call phone numbers. \u00bb Purchase 0845 number and get one free with every five gold 0845's you order.\nCulture Going abroad? Try a local SIM for your smartphone. When traveling, why not do what the locals do? If you have the right phone, you can swap our your U.S. SIM card for a local card and save.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Many people just blindly believe in science, and above all, they believe in the facts, while Einstein's skepticism about it has remained a cornerstone of his theory. Most people believe that science is a genuine reflection of reality (the facts), while, according to Albert Einstein [1879-1955], the concepts that underlie it are the creation of man.\nIn Einstein's thought, science does not provide a picture of reality, but only builds a model of the same reality. However, Einstein's skepticism about science is only apparent. Actually, he believes that scientific theories remain only an attempt to explain reality, and they are valid only insofar as they tend to improve the explanation of the facts.\nIn a famous passage of his Autobiographical Notes, first published in 1949, Einstein developed some considerations on the changes produced by the new developments in physics and the way by which he meant the same science.\n\"I shall briefly indicate my own thoughts on this point. Physics is an attempt conceptually to grasp reality as it is thought independently of its being observed. In this sense one speaks of physical reality. In pre-quantum physics there was no doubt as to how this was to be understood. In Newton's theory reality was determined by a material point in space and time; in Maxwell's theory, by the field in space and time. In quantum mechanics it is not so easily seen. This exposition has fulfilled its purpose if it shows the reader how the efforts of a life hang together and why they have led to expectations of a definite form.\" (2).\n1) Albert Einstein, \"Autobiographical Notes,\" Transl. and Ed. P. A. Schilpp, La Salle, Illinois, Open Court Publishing Company, 1992, p. 11.\n2) A. Einstein, \"Notes for an Autobiography\", in The Saturday Review of Literature, November 26, 1949, p. 13, 12.\nAlbert Einstein stolen brain at princeton hospital.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"With his bath with built-in boxer shorts, Seagale intends to revolutionize the world of swimwear. What is really?\nThe brand is Seagale going to sing all summer on the beaches? The young French brand founded by Matthieu Rivory and Bertrand Durand-Gasselin presents a swimsuit for men, form short, both elegant and comfortable thanks to a cutting-edge fabric from nanotechnology. It dries quickly, is indeformable and resistant to UV.\nThe swimsuit Seagale short form hides a built-in boxer. Thus, the male anatomy is supported and protected from attacks by the sand and the ballotements either by a net, but by an underwear near the body. Tight to the thigh without to compress them, this Jersey leaves a good freedom of movement. The right form of shorts avoids it swells when entering the water.\nThe fabric used is Superhydrophobic, it repels water, of which a very small amount only in the weave of the fabric. Then it dries very quickly. The fabric resists well to the ultraviolet rays of the Sun. This shirt is machine or hand washable.\nIf the cut is practical for swimming and sun bathing, it is also for the aquatic sports such as kitesurfing, Waterskiing, windsurfing, surfing, yachting. Worn with a shirt or a tank top, shorts Seagale allows to be always ready to plunge into the ocean.\nSwimming shorts who has everything to please: aesthetics, practicality, quick drying. While maternity swimwear is available on Maternityetchic, the men will be conquered, whether they be sporting, by the advantages of this new textile technology.\nHave you ever shared this article?\nHow The Swimsuit Became a Garment?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"As we've been known to say: A great website is a game changer, it's your own digital space to customise content and build your brand. Everything revolves around your website. Your success on social media and SEO, both organic and paid is all about increasing traffic to your website. A great social media and or adwords campaign is negated by a poor web presence. Responsive website design is an absolute must. Your audience will not accept anything less. Here are some of the trends that we think are going to make a difference in 2019. If you are looking at a new design then you're in the box seat to make a splash with one eye on the growth and changes that will occur in your business.\nSpeed needs to be a priority in your website design. If your site is taking more than three seconds to load then your prospective clients are probably gone and looking elsewhere. That's all the effort of improving your ranking and running campaigns down the drain. The worst thing is, it will probably be repeated. Fast loading websites are king in 2019.\nMobile first design should be a priority. That means clear, minimalist designs that aren't heavy on content and won't take forever to load (speed again) will win the day. Colour, clean crisp edges and lots of space are preferred to lots of images that impact on download times. The time your website takes to load is now part of the criteria for SEO and much of that has to do with the preference for searching on mobile devices. There's a definite correlation between website speed optimisation and SEO.\nThe trend towards mobile over desktop design means sites are aimed at mobile over desktop users. If you are considering a new website then targeting mobile devices could hold you in good stead for years to come. There's no sign that the trend is likely to diminish.\nLast year we were quick off the mark to predict that broken grid \/ asymmetrical layouts would emerge in 2018. Well we were right then and there's no reason why we'd be wrong about their continued success in the coming year.\nHaving a composition of text, animation, images and even video intersect and overlap while remaining distinguishable in the one grid is an attractive, highly effective way of aligning the key elements of your brand.\nHaving text separate from white space to overlay an image can increase the emphasis on both. Text running over margins to the edge of a page; strong lines and shapes within a grid; collages using vertical and horizontal shapes or an off balance combination of animation and graphics are a departure from structured grids which have always been useful in reflecting brand consistency and stability. But rather than being a departure from stable, structured content and messaging, Broken Grid Layouts complement stability and reflect a more evolved, interactive and engaged brand persona.\nThe same goes for single page websites. But both of these have come a long way since the early days of the web. They can be easily coded using HTML; they have a user friendly navigation menu; they load quickly; and their simplicity makes them a breeze to navigate especially on mobile devices. Both options are great alternatives for the cost conscious project.\nMicro animations began to become popular throughout the past year. These small animations improve user experience both practically and visually. Changing colours when you hover, the appearance of a small animated figure to expand a search.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbktwq b/data_all_eng_slimpj/shuffled/split2/finalzzzbktwq
new file mode 100644
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+{"text":"Mark Oakeshott's career reflects numerous achievements in leadership roles within the moving industry and his expertise is globally recognized and respected.\nMark began his career with Pickfords Removals in the United Kingdom and in 1991 was selected to relocate to the United States to work on the development and execution of the Allied Pickfords Moving Network. Mark was specifically responsible for establishing the service delivery model, negotiating franchise agreements, and managing supply chain for what became one of the leading international moving networks in the world.\nMark went on to lead SIRVA's International Moving Division and was also responsible for strategic and tactical expansion of SIRVA's global footprint, which included a highly successful acquisition in Brazil.\nWith a strong strategic mind-set, Mark also served as Senior Vice President & European Growth Officer, developing and executing SIRVA's expansion strategy on the European Continent in the relocation and move management business segments. In addition to this, Mark retained Global Supply Chain leadership for SIRVA's International Moving Network in more than 150 countries.\nIn October 2016, Mark joined Crater Group Co., a technology and services company focused on transforming the moving experience for customers. Mark helped position Crater as a credible entrant in the moving services industry.\nIn April 2018, Mark established his own consulting business focused on providing advice and guidance to international moving companies, in addition to merger and acquisition support to companies buying and selling their business in the moving industry.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Black operates like white. You may think that black cupboards just match with contemporary or modern granite, but it might blend to any color, fashion, or feeling you desire. Once you wish to make a tasteful setting, you also might combine your dark cupboards with wooden flooring, wooden\/stone countertops, metal performs, patterned fabrics, etc.. Meanwhile, even once you would like to turn everything more sophisticated, make sure to prevent any layout fabrics, fabrics, or decorations, just revolve around simplicity.\nCould you envision a granite space without chairs and table? It must be dull space to look. That's why having granite dining table and seats will be also important issue for those homeowners. So, how to discover granite set with cheap rates? Well, there are a number of suggestions for you to locate them readily.\nMaybe you have understood how to beautify polar stone quartz collection? In the event you have a single or more black appliances and white cabinet in your granite, you should know the most useful tips to enhance it. Even as we know that most appliances ought to be well-organized as a way to ensure it is appears really beautiful and clean. Here some advice for you to decorate white granite cabinet with black appliances.\nGranite is one of the most essential part in a home, this is the place where the occupant especially who with all these families use. Therefore, the design, furniture and the others granite stuff must cover all of the needed without reduction its appearance and appearance. Among so many options which are accessible, polar stone quartz collection will be a part that makes the granite look unusual and make it even more comfortable than previously.\npolar stone quartz collection will be the essential services and products to be areas at your property. Even as we understand, we'll have vital activities in the granite. We will spend together every day with our family there. For instance, we may enjoy supper together and spending some time that the most there. This is exactly why it's going to be also the important room you want to care enough especially because of its own furniture. Talking about granite furniture, actually you'll find some fashions of granite household furnishings you can pick from. Keep reading below! Below are a few recommendations for you.\nOpen up the space. In the event you think currently granite is overly cramp, you are able to remove a single facet of the walls and exchange it using a island. Windows. Big windows using white eyeglasses will make you stay thankfully in the granite because you may observe the outside view at the same time you cook. Place glass tile back splash so the light from outside will probably be mirrored well in your granite. Family-friendly style. White granite does not mean that it is grandma's granite. Add funky vibes into the granite with light green partitions. Blend them with whitened granite cabinets, so I'm convinced that the kiddies would love to perform their own assignments in the granite. Black and white granite. Another polar stone quartz collection are white and black granite. Dark hardwood countertop or dark granite island combine with white cabinets will produce minimalist and hip granite.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Heavy duty plastic offers incredible protection during inclement weather as well as shade when seeking relief from the hot desert sun. In addition to solid protection from inclement weather, the black color provides the best shade shelter options in the hot deserts. The dark color also helps blend with the environment in evasion scenarios.\nHeavy duty (2 mil) plastic, black bag offers incredible protection during inclement weather, hot or cold. Included in the package is a razor blade cutting tool and instructions.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Fox's sci-fi series Wayward Pines has its own big mystery, but the real mystery is just what the heck is going on with this show? After wrapping its second season in July, Fox has been quiet on if the show would return for a Season 3, which has lead many to believe that the show had been canceled. Fox has finally opened up on the fate of the series and revealed that it isn't canceled, but instead on hiatus, which also isn't terribly good news.\nDuring the Television Critics Association executive session (via Deadline), Fox entertainment president David Madden spoke about the fate of some of the networks biggest question marks: namely X-Files and Wayward Pines. Madden made it clear that the mystery sci-fi show was not canceled, but fans will have to wait a while before they can again visit the post-apocalyptic paradise in Idaho.\nWayward is not canceled, but it will not be on this summer. Wayward didn't come together quickly enough for us to have it this summer; there have been discussions about casting. We're still talking about it, it's possible you'll see Wayward at some point back on Fox. But we are focusing a little bit more heavily on unscripted this summer.\nSo, Wayward Pines isn't canceled but it isn't out of the woods just yet. The series will not be returning this year in favor of a more unscripted summer slate. While this means Season 3 is still in development, these words don't really inspire much confidence in the show. While Season 1 over performed in ratings, Season 2's numbers dropped steadily, which is what made its renewal fate so unclear. There's a solid chance Wayward Pines could find its way back onscreen, but at this point, it feels like fans will have to wait for a while longer to get clear news on when it will come back.\nWayward Pines first made its way onto air in 2015. It was adapted from a trilogy of novels written by Blake Crouch, with M. Night Shyamalan serving as an executive producer. The series lent itself well to Shyamalan's twisty reputation and focused on a secret service agent (played by Matt Dillon) who one day wakes up in Wayward Pines, Idaho with no memory of how he got there. He soon learned that there was more to this seemingly idyllic town than met the eye, encountering mysterious characters and finding himself unable to leave the town. Season 2 might as well have been an entirely different show. It focused on a new cast of characters but still explored the same central mystery in the same setting.\nIt's unclear when exactly Wayward Pines will return, but keep checking with CinemaBlend and we'll keep you updated as new information becomes available. To learn which shows are absolutely coming back on the air this year, follow along with our midseason premiere guide!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Remember repetitive stress injury or RSI is also known as repetitive strain injury, repetitive motion injuries, repetitive motion disorder (RMD), cumulative trauma disorder (CTD), occupational overuse syndrome, overuse syndrome, and regional musculoskeletal disorder and is a range of painful or uncomfortable conditions of the muscles, tendons, nerves and other soft tissues. RSI is usually caused by repetitive use of a certain part of the body, or by the lack of use. So Tension headaches can be the result of RSI. Tension headaches occur when neck and scalp muscles become tense, or contract. The muscle contractions can be a response to stress, depression, a head injury, and anxiety. Any activity that causes the head to be held in one position for a long time without moving can cause a headache. Such activities include typing or other computer work, fine work with the hands, and using a microscope.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbkume b/data_all_eng_slimpj/shuffled/split2/finalzzzbkume
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@@ -0,0 +1,5 @@
+{"text":"What's it like working Biostatistics?\nA biostatistician working in clinical development within the pharmaceutical industry provides statistical support to a clinical study (or a group of studies) through its (or their) conception, design, conduct, analysis and reporting. Clinical biostatisticians work in all of the four phases of clinical development, and work closely according to regulatory guidance documents (where these exist). Biostatisticians may also become involved in the analysis of efficacy and safety data which are integrated across studies in an appropriate manner. Biostatisticians at all levels routinely work globally, where the ability to communicate using email, teleconferences and internet meetings is as important as face-to-face meetings. Experienced biostatisticians may take on responsibility for all statistical activities for a particular drug or indication, supervising the work of other biostatisticians on the project, and providing statistical input to the clinical development plan and regulatory strategy.\nWhat is a typical day like for a Biostatistician?\nThe biostatistician has much to contribute to the planning of a new study, which is not limited to sample size planning and pre-specification of the proposed analysis in the protocol, although these are certainly important activities. Other activities at this stage typically include contribution to clinical team discussions on study objectives and the choice\/definition of primary endpoint, which might also involve liaising with external experts and opinion leaders.\nOnce the study protocol has been approved, the biostatistician will present key features of it at the investigator meeting. He or she will then prepare the randomisation schedule and advise on its implementation (for example using an Interactive Voice Response System). The biostatistician also reviews the design of the forms used for capturing the data at study sites and the database design itself, to ensure that the data will be captured completely and correctly. Whilst the study is being run, the biostatistician is then consulted about any ongoing study conduct issues (for example the possible impact of any protocol deviations on the analysis), and liaises with the study data manager regarding any data issues arising during the cleaning of the database.\nPrior to unblinding the database (for a blinded study), the biostatistician will prepare the Statistical Analysis Plan, which describes the proposed analysis in detail, and will agree this document with the clinical team, normally after considerable discussion. The biostatistician will work closely with the study SAS programmer who will write the SAS programs to perform the analysis; in practice the biostatistician may also write some SAS programs, and he or she will certainly perform validation and review of the SAS programmer's work.\nAfter the database is unblinded, the biostatistician will be very busy finalising the analysis. Once he or she is happy that everything is correct, the results will be presented to the clinical team. The biostatistician needs to present the interpretation of the key findings in a way which is suitable for a non-statistical audience.\nFinally, the biostatistician will be considerably involved in writing and reviewing the full Clinical Study Report, and any manuscript submitted for publication of the study results.\nHow did you get into Biostatistics?\nFollowing a strong aptitude for\/interest in mathematical subjects at school, I chose to study Mathematics at university, specialising in probability\/statistics options in my final year. This prepared me well for the MSc I subsequently took in Statistics in my additional postgraduate year.\nHaving come from a strong medical family background (both my father and grandfather were GPs and my mother was a nurse), I considered the medical application of statistics to be a good combination of my skills, interests and background.\nI enjoy problem solving aspects, whether it is at the trial design stage (working with a clinical team to define a trial objective and implementing a statistical approach which maximises the chance of that objective being reached), or the analysis stage (interpreting a trial results, particularly when they are not straightforward and the study conclusions are not clear cut).\nWhat is the hardest part of being a Biostatistician?\nAlthough deadlines are important in the pharmaceutical industry to add purpose and urgency to the work, it can certainly be very challenging when those deadlines are so tight that there is insufficient time for a particular problem to be thought through properly, or when the statistician is not included in the relevant discussions.\nPlease see under \"How did you get into Biostatistics\" above. The combination of my mathematical\/statistical education, and my medical family background, led to me to choose to apply my statistics knowledge to the pharmaceutical sector.\nBiostatisticians working in pharmaceutical development can work for a pharmaceutical or biotech company, where they are more likely to gain deeper knowledge of a specific product development within a particular therapeutic area, and of the associated strategic and regulatory issues. With appropriate experience, this can lead to responsibility for all statistical activities for development of a specific drug or a particular indication.\nAlternatively, biostatisticians may work for a clinical research organisation (CRO), which offers a broader exposure to different development compounds, therapeutic areas and sponsor companies. A CRO generally offers more opportunity to be involved with project management such as timeline and budget planning for statistical tasks, and with more experience biostatisticians may also contribute to business development activities.\nOpportunities to line manage teams of statisticians and programmers exist in both pharmaceutical companies and CROs, although increasingly functional managers are expected to do some project work. In both types of organisation, there are possibilities to contribute towards process improvement activities.\nFor those experienced biostatisticians who prefer to remain more \"hands-on\" rather than pursue a company career path, opportunities exist to work as a contractor rather than as a permanent employee, generally working in-house at a client company site. There are also limited opportunities for ad-hoc statistical consultancy, especially to the smaller companies. For all career options, the possibilities for flexible and remote working have improved considerably within the last decade, especially with the advent of wireless broadband.\nWhat advice would you give to somebody considering Biostatistician as a career?\nFor anyone choosing to work as a biostatistician in the pharmaceutical industry, especially in these uncertain times when it is imperative to keep marketable, I recommend maintaining hands-on skills at analysing and interrogating data, regardless of career path chosen. Despite the presence of an established SAS programming function in our industry, it remains crucial that the statistician is able to know their data well.\nPlease note that the information presented here is the individual of one person working as a Biostatistician and other peoples opinions about the opportunities available to them and their own career aspirations may differ.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"HARTFORD, Conn.\u2014UTC Fire & Security is no longer a standalone business at United Technologies Corp., the company announced yesterday.\nEffective yesterday, UTC combined UTC Fire & Security and Carrier Corp. to form a new business called \"UTC Climate, Controls and Security Systems.\" The company also announced that Geraud Darnis was appointed president and CEO of the new business.\n\"We're consolidating Carrier and UTC Fire & Security into one integrated business that combines the strength of those great teams that those businesses have and the great people,\" said John Moran, UTC spokesman. \"Details of the new organization will be announced soon,\" he added.\nThere's been no scarcity of reorganization announcements in the physical security industry of late. Last week, Tyco International announced plans to split into three independent, publicly-traded companies and that its commercial fire and security business would be merged with Tyco Security Products. Additionally, Siemens announced it's merging its fire and security business units.\nIt's a trend that make sense to industry watchers. \"The integration across different platforms can improve efficiencies, the customer experience ... and deliver a bigger walletshare of the customer,\" George DeMarco, security industry veteran and ESX chair, told Security Systems News.\nUTC will continue to report financial and operational results separately until the end of 2011, the company said. UTC also announced organizational changed with aerospace business units. In the past couple of weeks, UTC was rumored to be interested in purchasing Tyco International, but last week it purchased Goodrich, an aerospace company.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Take a few seconds and fill in the form below. I will respond to you quickly and never share your information with anyone. If you prefer to call or text, contact me on my cell phone at 239-738-8088. I will be thrilled to have the opportunity to assist you!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The Flash Voyager GTX USB 3.1 premium flash drive puts SSD performance in your pocket, with up to 470MB\/sec read and 470MB\/sec write speeds. Encased in a solid zinc alloy housing, and available in 128GB, 256GB, 512GB and massive 1TB capacities, you can load up all your data and access it in speed and style. Fully compatible with high-speed USB 3.1 Gen 1, USB 3.0 and legacy USB 2.0 connections, the Flash Voyager GTX USB 3.1 is both future-proof and backwards compatible, connecting to any Windows, OSX or Linux operating system without the need for drivers or installs.\n- USB Storage at SSD Speeds: Experience portable USB storage with the speed of a solid-state drive.\n- Amazing Performance: High-speed 3D NAND memory unlocks read speeds up to 470MB\/second and write speeds up to 470MB\/second letting you copy even large files in seconds.\n- Massive Capacity: Available in 128GB, 256GB, 512GB and 1TB capacities.\n- Premium Design: Premium rugged zinc-alloy housing with aluminium accents protects your data in style.\n- Widely Compatible: Optimized for USB 3.1 Gen 1, USB 3.0 and USB 2.0 for future-proof and backwards compatibility.\n- CORSAIR SSD Toolbox Ready: Format, partition and optimize drive performance with CORSAIR SSD Toolbox software.\n- Universal Operating System Compatibility: Works on Windows 7, 8.1, 10, macOS and Linux with no driver installation needed.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Discussion in 'Members seeking Fellowships' started by satro, Apr 17, 2019 at 11:49 AM.\nHi having completed the game in my original guise I have decided to start again. However my current FS does not chat or trade which is making life hard work. I have only been back for a few days so still relatively small but will grow.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzblmzb b/data_all_eng_slimpj/shuffled/split2/finalzzzblmzb
new file mode 100644
index 0000000000000000000000000000000000000000..6560af8be60cd5691a84952c3a709a526833d9f0
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@@ -0,0 +1,5 @@
+{"text":"Preheat oven to 350\u00b0. Split each squash in half lengthwise; scoop out and discard seeds and fiber from centers. Slice a piece from the underside of each half so it rests flat. Place, cut sides up, in a shallow baking dish. Mix spices together and sprinkle over squash. Sprinkle with brown sugar. Combine melted butter and vinegar; drizzle over squash.\nCover pan tightly with foil and bake for 1 3\/4 hours. Remove foil; baste with juices from cavities. Return to oven for 10 minutes.\nRecipe categories: American, Side dish, Vegetables.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"I ran home to New Hampshire for the day to have Thanksgiving with my Mom. They had just gotten a lovely dumping of snow so we drove around for a bit when she picked me up from the bus so I could see it all! It was a lovely day.\nI met Pete in Newburyport and we drove down to Plum Island and just wandered around. It was a perfect end to the day.\nI hope you all had a lovely Thanksgiving!!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Response: MRI was performed for 1000 cases with a pacemaker and 500 with an ICD. No deaths, lead failures, loss of capture, or ventricular arrhythmias occurred during MRI. One ICD generator required replacement due to inappropriate device programming that was a protocol violation. Six cases of self-terminating atrial fibrillation and 6 of partial electrical reset were observed. A change in device settings after MRI occurred in a small number of patients. Repeat MRI was not associated with an increase in adverse events. Leads placed less than 90 days prior to MRI did not have a higher rate of complications.\nResponse: Clinically indicated nonthoracic MRI may be performed at a field strength of 1.5 tesla without harm when patients with a non-MRI-conditional pacemaker or ICD are appropriately screened and monitored and the device is appropriately reprogrammed during the MRI scan. The observed event rate in MagnaSafe was equal to or lower than the yearly spontaneous failure rate of pacemaker or ICD generators; clinical results that may be very difficult to improve upon with the development of MRI-conditional devices.\nPatients could undergo MRI without a limitation for time since lead or generator implantation (A total of 63 cases underwent MRI within 90 days of initial generator placement or replacement). Although patients with an ICD who were pacing-dependent were excluded from the study, this exclusion was adopted because not all devices available at the time of study initiation could accommodate independent programming of bradycardia and tachycardia functions. Lastly, these results strongly imply that no patient with a standard cardiac device should ever be exposed to the morbidity of generator replacement or lead extraction, nor should access be denied due to the inaccurately perceived and overestimated risk of appropriately performed and monitored non-thoracic MRI.\nResponse: Our next investigation, scheduled to soon begin, will involve an assessment of risk for patients undergoing clinically indicated MRI of the chest (thorax) at a field strength of 1.5 tesla, and MRI of any anatomic location at a field strength of 3.0 tesla.\nResponse: This investigator-initiated research study was funded by grants from Biotronik, Boston Scientific, St. Jude Medical, and The Hewitt Medical Research Foundation, as well as multiple philanthropic sources. The authors were solely responsible for the design and conduct of the MagnaSafe Registry without any involvement of the funding sources.\nThis entry was posted in Author Interviews, Heart Disease, MRI, NEJM and tagged heart disease, MRI, pacemakers by Marie Benz MD FAAD. Bookmark the permalink.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"WAS $28,785, $2,100 below Kelley Blue Book! BMW Certified, CARFAX 1-Owner, LOW MILES - 47,119! Navigation, Sunroof, Heated Seats SEE MORE! KEY FEATURES INCLUDE All Wheel Drive, Power Liftgate, Rear Air, Turbocharged, iPod\/MP3 Input, CD Player, Onboard Communications System, Dual Moonroof, Dual Zone A\/C OPTION PACKAGES TECHNOLOGY PACKAGE Head-Up Display, Navigation System, touchpad, Remote Services, Advanced Real-Time Traffic Information, BMW Online BMW Apps, Instrument Cluster w\/Extended Contents, PREMIUM PACKAGE Satellite Radio, Comfort Access Keyless Entry, Lumbar Support, SPORT LINE black high-gloss design elements (bumper and air intake trim, kidney bars, exhaust pipes, B-pillar and mirror caps), chrome rings around A\/C and radio controls, sport instrument cluster and signature key, Sport Line Aesthetic Elements, Wheels: 18 x 8 Lt Alloy Double-Spoke (Style 397), Without Lines Designation Outside, Sport Seats, Anthracite Headliner, High-Gloss Black Trim, Matte Coral Red Highlight Trim Finishers, Black Door Mirror Caps, COLD WEATHER PACKAGE Heated Front Seats, Heated Rear Seats, Heated Steering Wheel, Retractable High-Intensity Headlight Washers, DRIVER ASSISTANCE PACKAGE Rearview Camera, Park Distance Control, DARK BURL WALNUT WOOD TRIM. Rear Spoiler, Child Safety Locks, Steering Wheel Controls, Electronic Stability Control, Heated Mirrors. A GREAT TIME TO BUY Was $28,785. MORE ABOUT US Steve Thomas BMW is proud to be a 10 time 'Center of Excellence' award winner. This award is given to the top BMW Centers for client care and satisfaction. Stop by and see why your next BMW experience should be with Steve Thomas BMW in Camarillo, California. Pricing analysis performed on 4\/15\/2019. Horsepower calculations based on trim engine configuration. Fuel economy calculations based on original manufacturer data for trim engine configuration. Please confirm the accuracy of the included equipment by calling us prior to purchase.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The government has recently started to measure the rate at which students make academic progress between leaving primary school and finishing GCSEs. This is called 'Progress 8 Score' and Rugby High has gained a 'well above average' rating and a Progress 8 score of 0.5.\nHeadteacher, Charlotte Marten: \"I am so proud of my students. I think what really matters is that every student has the help to do as well as she can - that's what really matters to us as a school.\nWe try to make sure students have a jolly good education, but the league tables don't reflect the whole experience. We want the students to have a life outside of school and to be able to pursue the things they enjoy doing - none of that is really captured in the league tables.\nEven students who have significant health problems, missing months of school, have emerged from year 11 with qualifications which will be with them for the rest of their lives.\"","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbmczq b/data_all_eng_slimpj/shuffled/split2/finalzzzbmczq
new file mode 100644
index 0000000000000000000000000000000000000000..21199580a8cbdfce46187650df17f7d63708aae8
--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"We will provide you with a non-binding and free estimate immediately! Contact our 24\/7 customer support centre at 020 3746 1366 or via our contact form on our website.\nWe use the most efficient carpet cleaning methods to ensure that your carpets and rugs are properly cleaned, all residues and dirt is gone and the dust mites are eliminated, while at the same time - the carpet remains safe and undamaged. Carpet cleaning procedure begins with an examination, testing of the detergents which will be used and hoovering. Only after that our professional carpet cleaner will proceed to deep clean the carpet. When steam carpet cleaning is performed, the cleaners use a professional hot water extraction cleaning machine. This technique is perfect for resilient textiles.\nFor more delicate materials, we highly recommend dry carpet cleaning in Bloomsbury. Our cleaners use special tools to apply and embed special dry compound cleaning foam in the fibres of the carpet. The dry cleaning solution is left to stay there for some time and after that it is removed with a powerful vacuum cleaner. Together with it, any dust or residues are taken out. Our deep carpet cleaning is suitable for both natural and synthetic carpets.\nWe clean all kinds of rugs and carpets and our services are suitable for commercial and domestic properties as well. Ever since 2005, Ashlee House Cleaning has been performing professional deep carpet cleaning, including: dry foam carpet cleaning, steam carpet cleaning and carpet stain and spot removal in the entire Bloomsbury W1. We hire all of our cleaners based on recommendations from trusted source. They are all carefully vetted, trained and constantly monitored for compliance to all of our quality and safety procedures, as well as for following our detailed professional cleaning checklists.\nPeople and business owners in the area usually choose our carpet cleaners Bloomsbury W1 because we are a reliable, friendly, and affordable professional cleaning services provider. We have been functioning for over 10 years and Ashlee House Cleaning has proven itself as one of the leaders in the local carpet cleaning business. We can get all types of carpets cleaned in a timely and safe manner. Our services are fully covered by insurance, and we work with innovative professional cleaning equipment, as well as non-toxic and eco-friendly detergents. We also offer exclusive fibre protection for your carpets with the help of a stain protection spray, upon request. Our cleaning services can be provided on the same day or on any other day of the year. Because we care for our clients, we have a friendly and highly efficient 24\/7 customer call centre to process all requests for booking, discounts information and estimates.\nBenefit from our straightforward booking system right away! No deposit is required for booking our carpet cleaning experts in Bloomsbury W1. Contact our 24\/7 customer care at 020 3746 1366 or online via our website. Pick any day you want for the cleaning service. In fact, our reasonable prices are fixed, so there are no hidden fees. You can get preferential rates if you are an estate agency, regular client, a landlord or if you make an early booking. We will give you a discount for ordering a combination of our cleaning services now!","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"In 2000 Bigfoot started out as a very small drama workshop company working in just a few schools. The institution in 1948 of a university college at Ibadan, the capital of Western Nigeria, was one result of a decision by Britain's wartime government to develop higher education in the Colonies, a decision which led also to the establishment of university colleges in the Gold Coast, East Africa, Central Africa, the Sudan and the West Indies, and of a university in Malaya.\nWhile 95 percent of American high schoolers have access to at least one counselor, more than a fifth of high schools don't have a single counselor, which means 850,000 American secondary students do not have any scholastic support to coach them on the transition to postsecondary education The 1.6 million figure stems from all levels of students, K-12, who attend a school with a sworn law enforcement officer but no school counselor.\nThis specialism will help you encourage creativity via the arts, understand the variety of roles the arts in education might take, and consider how arts teaching can benefit other areas of the curriculum and promote inclusion. A follow-up analysis, released in February 2008, showed that 16 percent of districts had reduced elementary school class time for music and art \u2013 and had done so by an average of 35 percent, or fifty-seven minutes a week. Grants of up to \u00a32,500 will be available for projects run by individuals and \u00a315,000 will be available for projects that are being run by organisations. AEC is a valued information source and advocacy partner for EPLC and the Pennsylvania Arts Education Network.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Real-time weather information can be shown with the DataPoint and Dynamic Weather PowerPoint add-ons. Those add-ons connect to a given weather API to retrieve the current weather condition and the conditions for the next couple of days. The condition is typically returned as a number, code or text string. For example the Yahoo weather API is returning a number 32 for sunny weather conditions, and the number 16 for snow.\nWhen we open the presentation of a recent weather article, and we open the weather settings, then we see that we can choose from 2 default weather icon sets that are installed with our add-on.\nFor the Yahoo Weather API, we have 2 default weather icon sets. A white and a black variant of all the possible weather types that are defined and supported by Yahoo.\nAs you can see on the image, the current weather text is cloudy, which responds to the number 26. The path C:\\Program Files (x86)\\PresentationPoint\\DataPoint Standard edition\\weather icons\\1\\icon set 1\\26.png points to a given map that is installed with DataPoint or Dynamic Weather. Important here is that you note the path to that map. So here, remember C:\\Program Files (x86)\\PresentationPoint\\DataPoint Standard edition\\weather icons\\1\\.\nWhen you open that map, you will see the default folders, named icon set 1 and icon set 2.\nThe folder icon set 1 contains all possible weather icons in white. Icon set 2 contains the black variant.\nYou can add a new folder here, named icon set 3 or maybe my custom set and add your own custom images to this new folder.\nAnd with these new images.\nWhen you open the weather properties again in DataPoint or Dynamic Weather, then, you will see that your new folder is now on the list of the available icon sets. You can start using your own custom weather icons now.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Home\u2192Court Documents\u2192Form N244 Stops Eviction!\n\u2190 Harassment by Creditors Over the Phone Can Be Stopped!\nLate on Friday afternoon I had a call from GC who said he was due to be evicted. I told him not to worry as I felt sure that we had a little time to play with. He then told me that he was being evicted at 10:30 on Monday morning! OK so even less time than I thought that we had to play with.\nCan We Stop the Eviction?\nThe first thing I told GC to do was to download the N244 from my site. Application Notice (Form N244). I then told GC to get to his local court right away and submit the form to them. Fortunately GC's local court was only about 10 minutes away from his home.\nOnce he arrived at the court there was still time to discuss how to fill out the form and what information to put on it.\nWhen completing the form we gave an account of how the problem occurred and also what GC proposed to do to solve it. I also told GC to put onto the N244 that part of the solution would be that he was currently entering into a Debt Management Plan (DMP). I contacted a Debt Management Company (DMC) that I have dealt with in the past and asked them if they would take him on as a client. They agreed to see what they could do to help. After GC had a brief conversation with the DMC they agreed that they would be able to assist him. In return they eMailed GC a letter stating that he would be entering into a DMP in order to help alleviate the eviction problem.\nGC handed over the completed N244 plus the court fees to a clerk at the court. They then informed him that he would have an emergency hearing at 10:00 on Monday.\nI also suggested that GC contact the Court Bailiffs and inform them that he has submitted an Application Notice (Form N244) and he was having a hearing on Monday morning. Well it really would be bad if the eviction took place whilst GC was in court.\nSo I guess GC had a rather worrying and sleepless weekend.\nLate yesterday afternoon I got a call from GC telling me that the Eviction had been stopped, providing that the information provided on the N244 was put into action to cure the problem.\nOK this is a good result, but it nearly turned out to be a total disaster because we nearly ran out of time!\nIf you do receive an Eviction Notice \u2013 Act IMMEDIATELY!\nDon't end up like the picture \u2013 in Shitterton \u2013 you know what I mean.\nI have sent them a message.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Cecil A. Campbell, a resident of Knoxville, TN since 1935, passed away on April 8, 2019. He was preceded in death by parents, Jasper and Edna Campbell; brother, George Campbell; sister, Jeanette Smith; and his wife of 73 years, Lucille Campbell.\nCecil is survived by sister, Mrs. Geneva Henton; brothers, Bill Campbell, Wallace Campbell and wife Vivian, Billy Campbell and wife Marcelle, Jim Campbell and wife Annette, and Don Campbell; children, Larry Campbell and wife Esta, Robert Campbell and wife Brenda; grandchildren, Michelle Franklin, Anderson Campbell and wife April, Michael Campbell and wife Karen, Nicholas Campbell and wife Melissa; great-grandchildren, Sydney Campbell, Rylee Campbell, Mason Campbell, Owen Campbell, Harper Campbell, and Sadie Campbell.\nHe served during WWII as a Staff Sergeant, US Army Air Force. He was a graduate of Draughn's Business College and retired from Home Beneficial Life Insurance Company. Cecil was a member of Central Baptist Church where he was a Deacon as well as a Sunday School Teacher for over 40 years. He was also a member of Fountain City Lions Club for 37 years where he had served at different times as a President, Diabetes Awareness Chairman, and District Cabinet Member. He was a member of Sertoma Club and was named Fountain City's Man of the Year in 2002.\nIn lieu of flowers, Memorial Gifts may be made to: Central Baptist Church Fountain City (5364 North Broadway Street, Knoxville, TN 37918), or Fountain City Lions Club, designated for the upkeep of the Fountain City Park and lake (Fountain City Lions Club, P.O. Box 5276, Knoxville, TN 37928).\nThe family will receive friends from 11:00am-1:00pm on Friday, April 12, 2019 at Gentry Griffey Funeral Chapel (5301 Fountain Road, Knoxville, TN 37918) with a Service to follow at 1:00pm. The burial will be after the service at 3:00pm at Lynnhurst Cemetery (2300 West Adair Drive, Knoxville, TN 37918). Gentry Griffey Funeral Chapel is honored to serve the Campbell family and invites you to view and sign the online registry below.\nHaving known Uncle Cecil all my life, there are so many memories. I would just like to say that my over-all takeaway is that through everything, he was upbeat, positive, faithful to his God and his family and his communities. These sound like cliches, but as I look back, I see a consistency of character, deep faith, practice, and self-knowledge that I can only yet easily admire. We are but drops in the bucket, but Cecil's drop will be long remembered by many.\nRobert and Brenda Campbell may the Lord give you and your family comfort and peace at this time. With the coming days know your Church family is waiting always with open arms.\nCecil will be a missing link from the family, and will always be remembered for his goodness. With love to all of the family, our sincere condolences Billy, Marcelle & Family.\nWe knew Mr. Campbell through prayers for his health and contact with his son-our friend, Larry and this article info. However, it is evident that He and others like Him made the USA a great land! Thanks to his family and though this sorrow is sweet- TRUE JOY comes in the MORNING!!\nMr. Campbell was a great man. I took care of him for a year and a half . He was very nice . He often told me,(people who don't know me call me Mr. Campbell, but those whom love me call me Cecil, then he would say ,please call me Cecil .I truly will miss him.","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbmmii b/data_all_eng_slimpj/shuffled/split2/finalzzzbmmii
new file mode 100644
index 0000000000000000000000000000000000000000..44136114e8560be13b3a79fa602a21ece1dbc617
--- /dev/null
+++ b/data_all_eng_slimpj/shuffled/split2/finalzzzbmmii
@@ -0,0 +1,5 @@
+{"text":"For users on a network that has extremely low bandwidth, checking out a desktop can be prohibitive because you must download several gigabytes of data. To serve these users, you can download the desktop files manually and copy the files to the client computers.\nFor example, a user might work at home in a rural location with a dial-up network connection. The user might never go to the main office, where the desktop could be checked out to the user's laptop over the LAN.\nIn this case, you can manually download the desktop files to a portable device such as a USB device or DVD. After you deliver the device to the user, the user can copy the files onto a specified directory on the client computer and check out the desktop from the View datacenter.\nYou can take this approach only with View Composer linked-clone desktops.\nYou manually download the View Composer base-image files.\nWhen the user checks out the desktop, the linked-clone OS-disk and persistent-disk files still must be downloaded over the network.\nHowever, the base image contains the largest files. For example, a Windows 7 base image might be 6-10GB. The OS disk and persistent disk are a fraction of that size.\nTo download a desktop manually to a client computer to use in local mode, you must copy the View Composer base image to a portable device. The base image is published as a package in the Transfer Server repository.\nTo download a desktop manually to a client computer to use in local mode, you must copy the base-image package files from a portable device to the client computer.\nAfter you manually copy the base image to the client computer and set permissions on the package files, you must direct the user to check out a desktop.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Hello and happy Monday morning! I've officially completed week 2 of my own personal health challenge and I'm feeling pretty good. I survived a birthday party, eating out, travel, and managed to stick to my goals. Let's get down to it.\nWe had a few 70 degree days in Austin this week which made it easy to get outside and move. I'm not a member of a gym and I'm doing this whole thing with a yoga mat, two sets of weights, a jump rope, and running shoes.\nMatty took these photos at dusk one day when I was doing an interval workout from Self Magazine and Tone It Up. We happen to have a track within walking distance of our apartment but I'd never really utilized it before. It was, dare I say, fun? Something about working out on a track made me feel strong. Like a \"real\" athlete.\nSpeaking of that, I think that one of the most powerful workout tools is our brain. I am an athlete, actually. I'm not a poser or a wannabe. Telling myself that I'm strong makes me believe it. And, at the risk of being pure cheese here, you see it when you believe it.\nI ended up doing yoga 6\/7 days this week. Who am I. The thing is, when I wake up early in the morning and think about working out, I can stomach the idea of crawling to my yoga mat and waking up in the process. But going for a run in the cold just makes me want to burrow further in bed. I'm really enjoying the 30 Day Yoga Camp with Adriene (FREE on YouTube) and I've found that most days when I get up early to do yoga, it gives me the energy and motivation to try a different workout that afternoon or evening. Win win.\nI do want to incorporate more strength and cardio this week since the last 4 days I only did yoga and walking. Time to kick it into gear.\nSo much good food this week! Two highlights: shrimp was on sale at the market so I went to town on those babies and my parents gave me an early birthday party, so mom made the most amazing flourless (gluten-free) chocolate cake with raspberries.\nI've been drinking a ton of water from my S'well bottle that I love so much I posted on Instagram. Matty made me eggs with beef sausages and avo after an early morning walk together, and the chocolate coconut water...well...see this post.\nWe've been working on keeping our meals balanced, so lots of veggies and lean proteins. I'm still keeping my food journal so I can look at a full day, realize I haven't had enough greens, and add extra to the next meal. This week Matty made fun of me for eating a lettuce-lettuce wrap. AKA two big leafs of green leaf lettuce rolled up. Sometimes you just gotta get the goods without being all fancy.\nPeel and chop 2 pounds of carrots, one onion, and two inches of ginger. Add to pot with olive oil for about 5 minutes. Add chicken bone broth until veggies are covered and bring to a boil, then simmer for 30 minutes or until carrots are soft. Add two teaspoons of garam masala spice and salt and pepper to taste. BLEND!\nDo you know how much protein is in chicken bone broth? A lot. It's my secret weapon in veggie based soups.\nI mentioned surviving the birthday party, travel, and eating out earlier. The party was easy - I made a taco salad and filled up on raw veggies with guac, eating out wasn't bad because I ordered a sweet potato hash and got full before I could finish. I find travel hard in the workout department, but this time around I did yoga and not only that, my mom did it with me! It was her first time so we started with a 20 minute beginner's practice. She bought her own mat that afternoon! Proud daughter moment.\nWeek 2 Motivation: I've been logging this in my food diary on a scale or 1-10, 10 being high. This week averaged out at a 9.\nWeek 2 Mood: Here's a few words I wrote down this week - \"happy, a little grumpy, good spirits, annoyed, moody, determined, irritable, emotional, happy\" - aka, see this post again.\nWeek 2 Energy: This week averaged around medium high. I definitely had a few sluggish moments.\nLet's chat! How was your first full week of the new year? Any workouts or recipes I should try?","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"CHICAGO \u2013 It feels like when any studio besides Walt Disney or Pixar does an animated film with celebrity voices, there is a little less lacquer on it. What the other two remember, and others forget, is that it starts with a script. All the toon landscapes in the world can't fix a dull story.\nCHICAGO \u2013 With each passing year, Katherine Heigl's claims about Judd Apatow's sexism appear increasingly absurd. While Apatow is producing A-grade work from female filmmakers, such as \"Bridesmaids\" and HBO's \"Girls,\" Heigl is portraying shallow ditzes who are susceptible to chauvinistic, overgrown adolescents. \"The Ugly Truth,\" \"Killers,\" \"Life as We Know It\" and \"New Years Eve\" is not a track record worth bragging about.\nCHICAGO \u2013 I recently made a reference to Katherine Heigl being the symbol of the modern decline of the romantic comedy and was reminded that she's done good work on \"Grey's Anatomy\" and was actually quite good in \"Knocked Up.\" Then why has she made such horrible films since then? Why have we had to suffer through \"27 Dresses,\" \"The Ugly Truth,\" \"Killers,\" and, now, \"Life As We Know It,\" recently released on Blu-ray and DVD and a film that doesn't break her downward slide even if it does slow it a bit.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Cashback Fortune has a promising array of earning opportunities including paid surveys, product testing, and cash-back shopping. Joining will net you an instant $5 sign-up bonus.\nSurvey Roundtable gives you a variety of paid surveys and other activities to earn. You can watch and discuss movie trailers, talk about video games, or even test products in-home for gift cards and rewards.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Writing an MBA letter of intent or statement of purpose for MBA admission is a cumbersome task because all students want to write the perfect essay and gain admission into the program. All students have to submit a SoP. MBA applications without this essay will be discarded as incomplete. Since there is a lot of competition for such programs you have to write your MBA purpose statement in a clear and concise manner and engage the reader at the same time. We do this type of writing in an extraordinary manner.\nOur company offers comprehensive assistance since it is not only one freelance writer but a bunch teams who will be working on your order to deliver the best quality.\nSoP writers: Our writers are native English speakers; each has a PhD or Master's degree in business administration and other business-related fields. By choosing us, you can be certain that an expert will write your paper that is compliant with the rules and instructions of the program or school. Get help from us and let us write and complete an excellent MBA personal statement.\nSoP editors: Our editors are seasoned and experienced in the academic paper-editing world. Your SoP will contain no mistakes in grammar, punctuation and spelling. It will also have no structural or flow issues for an amazing essay that the admissions committee will love. Get help from us and let our expert editors proofread and edit your statement of purpose for MBA.\nSupport representatives: One of the reasons customers hire us and come back for our service is our reliable support team that ensures every inquiry or concerned is addressed. Our contact channels are also open 24 hours a day to ensure every customer feedback, suggestion or question is given proper attention.\nWriting a stellar SoP is possible provided you keep in mind certain guidelines followed by universities in reviewing applications. Before writing, you must consider an outline of the topics for coverage asked by the graduate schools. Plus, you should be able to list and cover those supporting details to help in verifying their claims in the statement. Typical examples of topics reviewed in a statement include academic interest, career goals, research experience, objectives, special skills, practical experience, and related materials showing your motivation or reasons for choosing their program.\nRemember to stick to the points asked by the program. Saying that you must be able to tailor your SoP, not rehash what you have submitted to another program or restate your resume or CV. The statement is your first weapon to introduce yourself to the committee that wants to know the person behind those achievements and successes. Relate a story about you and tailor it based on the things asked by the program for you to cover in your SoP.\nHowever, writing an anecdote, motivation story or example does not mean taking up too much space. Take note that most programs impose SoP length. Going beyond the length required is a no-no. Check out the required length and take note of it when creating an outline. Divide your statement into sections. Each paragraph must have a main idea and supporting details. Remember to connect the paragraphs well together, ensuring that one main point will lead to the next for smooth flow and logical presentation.\nFor more help, search about that particular department and faculty in the university you're applying. Look for key information about their professors and research. You may want to highlight such information to show that you did your homework and you are genuinely interested to become a part of that program. You may want to highlight some names of the professors and their research related to your interest.\nAgain, take note of the statement length. Usually, it's only one page for most programs. Stick to this limit. Additionally, write in an active voice and positive perspective. The SoP isn't the time to sound controversial to criticize something in the field. Keep a positive tone. Use plain language. Don't use clich\u00e9s and quotations. Finally, polish your paper and make it look professional. Stick with a black and basic font.\nAt the end of the day, ask yourself, \"Was I able to show the reasons why I want to enter the program?\" If you answered yes, then you did a great job. But if you answered otherwise, you may need to revise and create another draft for review. For help, you may ask the experts for writing a stellar statement.\nThe writers in our team hold MBA degrees from accredited universities. Many of them teach business administration courses and are very familiar with the requirements of a SoP for admission. Through our service, thousands of students have been successful in gaining admission to the school of their choice because of the outstanding essay they submitted.\nWe use a positive tone to highlight all your accomplishments. Even areas where you fell down a bit can be enhanced by showing what you learned from the experience.\nWe write an essay that is specific to each school. This is an important aspect of writing an MBA essay that most students don't think about. A generic essay won't do.\nWriting a SoP for admission essay is probably the most important piece of writing you will do, with the exception of your thesis. Therefore you do need to have a professional working with you for this reason. We customize every MBA SoP essay to the interests and experiences of the client. You can be sure of receiving an original statement of purpose of MBA just for you when you come to us for assistance.\nGet started with an expert for the best statement of purpose for MBA essay. We are here to help so place your order today!","meta":{"redpajama_set_name":"RedPajamaC4"}}
diff --git a/data_all_eng_slimpj/shuffled/split2/finalzzzbmprq b/data_all_eng_slimpj/shuffled/split2/finalzzzbmprq
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index 0000000000000000000000000000000000000000..253612c35d4fe3bab2b6f6cca79d27913db15819
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+{"text":"It helps if you like the tune you're playing, but it is what the audience likes (they're paying you) that really counts! The .pdf files (lyrics & chords) can be downloaded with a right-click. Short YouTube ads often preceed the videos... a necessary annoyance for the otherwise free resource.... Do you notice how I put \"F\" on top if that's the melody note? But if your But if your melody happens to be A b like this, then again, you put that note on top.\nStudio quality Chords, Lyrics, Lead Sheet and other PDF Orchestration Sheet Music for This Is What You Do by Bethel Music \"It's always like springtime with You, making all things new Your light is breaking through the dark Verse 2 This love it is sweeter than wine, bringing joy bringing life Yo... Free Download Look What You Made Me Do Sheet Music Taylor Swift. Contains printable Sheet Music PDF format. For more info view section Sheet Music Details.\nFree Download Look What You Made Me Do Sheet Music Taylor Swift. Contains printable Sheet Music PDF format. For more info view section Sheet Music Details.... This Is What You Do Chords by Bethel Music Learn to play guitar by chord and tabs and use our crd diagrams, transpose the key and more.\nInstructions: Do not repeat the same note twice; The note's order is not important (except for the bass note, if the 1st checkbox is checked); If you don't want to restrict the search to chords with the 1st note as key, then uncheck the 1st checkbox; If you want a broader identification of results, allowing chords with these notes and more notes also, then uncheck the 2nd checkbox.\nUsed by Permission.Pre-Chorus G D Free of all her guilt and rid of all her shame Em And known by her true name and it's why I sing Bridge D A You will be praised You will be praised Bm G With angels and saints we sing worthy are You Lord D Em You will be praised You will be praised Bm G With angels and saints we sing worthy are You Lord A D CCLI# 7030065 \u00a92014 Bethel Music Publishing (ASCAP). .","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Go the page where you want to create a link. Hover over the triangle above the html text module and select Edit Content. Select the text or image that you would like to make a link of and click on the Hyperlink Manager it is the button with the globe with a chain link on it or use the keyboard shortcut (CTRL +K). In the URL field, write down the web address of the site you would like to point your link to. Click Ok. To learn with more details How to Create a Link, please read this Tutorial.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Well, since the eclipse here in Boulder was almost a total bust (haha, get it?) \u2013 thin but varying clouds obscured it, though as I write this a thin crescent of lit Moon can be seen, kinda \u2013 I might as well let you know that the new Tangled Bank carnival of science is up at Greg's place. Lots of fancy schmancy sciencey thingies there.\nUpdate: looks like the satellite smack-down was postponed, too.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Ahu Yildirmaz is the co-head of ADP Research Institute\u00ae, where she directs economic and labor market research. The institute leverages insights gained from ADP's global employee sample of nearly 40 million workers worldwide, to conduct research that illuminates the crucial trends shaping today's working environments. In addition, Dr. Yildirmaz overseas the Institute's labor market reports, including the world-renowned ADP National Employment Report\u00ae and ADP Workforce Vitality Report.\nDr. Yildirmaz's broad research interests include workforce trends and labor market conditions including job and wage dynamics. She frequently is cited by leading business publications, including The New York Times, The Wall Street Journal, USA Today, Reuters, CNBC, TheStreet, CNN Money and Forbes. She appears regularly on national radio and television programs, including \"Bloomberg TV and Radio,\" \"Fox Business,\" \"National Public Radio\" and \"Voice of America.\".\nThroughout her career, Ahu has approached her research with a global mindset, having lived and worked in Europe, United States and Central Asia. Prior to joining ADP\u00ae in 2011, Dr. Yildirmaz held a number of roles at Johnson & Johnson and AT&T in the areas of strategy, corporate finance and market research. She also lectured and taught several economics and finance classes within the Economics Department at New York University (NYU) and the City University of New York (CUNY).\nDr. Yildirmaz earned a doctorate degree in Economics from the Graduate Center of the City University of New York and a bachelor's degree in economics from Bosphorus University in Istanbul, Turkey.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"The GSI Corti\u2122 is a portable, battery-operated diagnostic and screening instrument that measures Otoacoustic Emissions (OAE) in infants, children and adults. Offering the ability to rapidly screen newborns, the Corti meets recommended screening protocols and provides diagnostic OAE testing.\nThe GSI Audera provides AEP, OAE and ASSR testing in a modular system for the busy audiology and ENT practice. Audera excels in generating high quality data, providing simple system operation, and utilizing convenient database management.\nThe GSI Novus is an AABR\/OAE screener that features a touch screen display and intuitive software in a compact hardware design. The Novus may be configured with any combination of AABR, TEOAE, and DPOAE.","meta":{"redpajama_set_name":"RedPajamaC4"}}
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index 0000000000000000000000000000000000000000..ad77a3507f008ee0152f48de707806cab4f17db8
--- /dev/null
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@@ -0,0 +1,5 @@
+{"text":"Universal notebook adapter to charge nearly any type of notebook. The adapter is supplied with 10 different and easily changeable power tips, which are compatible with the following brands: TOSHIBA, LENOVO, IBM, SONY VAIO TZ series, SAMSUNG, FUJITSU, DELL, COMPAQ, ACER, HP, LG, BEN Q, CHROMEBOOK 14 and NEC. If the required tip is not included, please send an e-mail to service@nedis.com and it will be provided for free.\nIn addition, the notebook adapter is equipped with an easily replaceable, detachable AC cable, which reduces the risk of breaking or damage caused by frequent use.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Deena Zimmerman is an award-winning broker who has worked in the real estate industry since 2004. Serving as a vice president in the SVN Chicago office, Deena's focus is in tenant representation, specializing in finding high-quality sites throughout Chicagoland and surrounding areas for national operators, franchisees, and first-time entrepreneurs.\nAt the beginning of her career, Deena was immediately a top-producing agent at The Lord Companies, focusing on property leasing and sales. She subsequently joined Helios Commercial Realty until they joined forces with Jameson Commercial in 2010. Prior to her transition into commercial brokerage, she worked for a real estate trade publication, forming close relationships with downtown developers, banks, and brokerage firms.\nDeena brings a consistent, positive, upbeat attitude with an honest and straightforward approach to each and every assignment. Her skills in negotiating and her attention to detail have proven to be invaluable to all parties in a transaction. With extensive experience representing both landlords and tenants, she understands what it takes to get the transaction completed. Deena's commitment to her clients is unmatched, and she believes relationship building is key to her success, and that of her clients as well.\nDeena has built an extensive network of contacts through her involvement in several local and national organizations. She served as 2010-2011 President of the Chicago Chapter of the Women's Council of Realtors and in 2012 was named their member of the year. In 2012, 2013, and 2015 she was honored by Chicago Agent Magazine as one of 50 Chicago Powerhouses in their annual \"Who's Who\" issue and was the only female commercial agent chosen. In that same year, she was the recipient of the National Association of Realtors Commercial Award. In 2013, the Illinois Association of Realtors awarded her the Outstanding Service Award.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Earlier this week, Sabrina Claudio was exposed as being the owner of a Twitter account that was responsible for tweeting posts that were derogatory toward women of color. Her past was confirmed after people on Twitter found evidence that she was in fact the individual responsible for the account that she made in 2012 before she established her career. Initially, Sabrina Claudio was slow to respond to the allegations, but then she eventually put out a short apology on her official Twitter account, and then deleted her old account.\nHowever, critics were not too accepting of her apology, so she then took to Instagram to provide a longer apology about the situation.\nShe then further detailed her contempt for discrimination and the tearing down of other women and applied that the music she now creates contrasts with the tearing down of other women.\n\"Yes , I made ignorant comments that I regret. But to make this clear, I never had an account dedicated to taking down women. It breaks my heart knowing that this rumor has been created and is being spread out\u2026.Discrimination in any form no matter who it is directed to is not acceptable\u2026 My music is dedicated to empowering women\u2026 empowering all people for that matter; It's what I represent. It's what I'm proud of most. I'm so different than what I'm bring painted out to be. But it's my fault you all feel the way you do. I am willing to prove to you who I really am.\" Time will tell how Sabrina will move forward following this incident.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Valley Style Hydrus Booster Pump Control\/ End Tower Box COMBO is Valley compatible.\nHydrus has a 30 year record of producing high quality tower control panels. Valley Style line of tower boxes these units are direct bolt on replacements for Valley systems. They can be used on all other brands with our bolt or weld on conversion kits. All of our tower boxes carry the UL label and include the tower box stiffening bracket as standard equipment.\nStiffening bracket for intermediate and stall tower boxes is STANDARD.","meta":{"redpajama_set_name":"RedPajamaC4"}}
+{"text":"Starting at $315 per credit hour, OCCC proudly offers affordable courses and programs. Our professors are attentive to international needs, and you will be progressively pursuing your degree.\nHere's the comparison of average annual tuition at colleges and universities in Oklahoma.\nThe chart shows estimated tuition and fees for 30 credit hours of undergraduate work per year. This does not include housing, meals, and specialized fees.\nDid you know you can apply for off campus work authorization while you earn your Associate's degree or after? By participating in OPT (Optional Practical Training) you gain one year of work authorization that you would not have if you went straight to a Bachelor's degree. Earn a degree, earn transfer credits and earn money!\nOCCC is pleased to offer learning labs and free tutoring for OCCC students. Information regarding labs and Online Tutoring.\nNot sure of a major to pursue? At OCCC, at an affordable cost, you will have an opportunity to explore your interests. Find a list of our diverse majors.\nOCCC offers many scheduling options for busy students: traditional daytime, evening classes, 8-week or 4-week fast track classes, 5-day courses and intersessions.\nAt OCCC's Recreation & Fitness Wellness Center, OCCC hosts free fitness classes, fully-equipped cardio & weight rooms, and 2 full basketball courts as well as volleyball a badminton courts. We want you to be healthy and happy while you are at OCCC!","meta":{"redpajama_set_name":"RedPajamaC4"}}